Federal Register Recent Federal Regulation Documents - Justia Regulation Tracker - Justia Regulations Trackerhttps://regulations.justia.com/regulations/fedreg/agencies/agencies-and-commissions/securities-and-exchange-commission/2020/01?limit=200®isters=between&min-day=1&max-day=31&mode=atom2024-05-23T00:29:43-07:00Justia Inchttps://www.justia.com/Justia Regulations Trackerhttps://regulations.justia.com/images/justiafedregulations.gifCopyright 2011 Justia Inchttps://regulations.justia.com/regulations/fedreg/2020/01/31/2020-02018.htmlNotice - Sunshine Act Meetings2020-01-31T00:00:00-08:002020-01-31T00:00:00-08:002020-02018Noticehttps://www.govinfo.gov/content/pkg/FR-2020-01-31/pdf/2020-02018.pdfhttps://regulations.justia.com/regulations/fedreg/2020/01/31/2020-02017.htmlNotice - Sunshine Act Meetings2020-01-31T00:00:00-08:002020-01-31T00:00:00-08:002020-02017Noticehttps://www.govinfo.gov/content/pkg/FR-2020-01-31/pdf/2020-02017.pdfhttps://regulations.justia.com/regulations/fedreg/2020/01/31/2020-01787.htmlNotice - Self-Regulatory Organizations; Miami Emerald, LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Its Fee Schedule2020-01-31T00:00:00-08:002020-01-31T00:00:00-08:002020-01787Noticehttps://www.govinfo.gov/content/pkg/FR-2020-01-31/pdf/2020-01787.pdfhttps://regulations.justia.com/regulations/fedreg/2020/01/31/2020-01786.htmlNotice - Self-Regulatory Organizations; The Depository Trust Company; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Decommission the Web Inquiry Notification System and Make Other Related and Technical Changes2020-01-31T00:00:00-08:002020-01-31T00:00:00-08:002020-01786Noticehttps://www.govinfo.gov/content/pkg/FR-2020-01-31/pdf/2020-01786.pdfhttps://regulations.justia.com/regulations/fedreg/2020/01/31/2020-01785.htmlNotice - Self-Regulatory Organizations; The Depository Trust Company; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the DTC Fee Guide2020-01-31T00:00:00-08:002020-01-31T00:00:00-08:002020-01785Noticehttps://www.govinfo.gov/content/pkg/FR-2020-01-31/pdf/2020-01785.pdfhttps://regulations.justia.com/regulations/fedreg/2020/01/31/2020-01784.htmlNotice - Self-Regulatory Organizations; ICE Clear Credit LLC; Notice of Filing of Proposed Rule Change, Security-Based Swap Submission, or Advance Notice Relating to the ICC Risk Management Model Description, ICC Stress Testing Framework, ICC Liquidity Risk Management Framework, ICC Back-Testing Framework, and ICC Risk Parameter Setting and Review Policy2020-01-31T00:00:00-08:002020-01-31T00:00:00-08:002020-01784Noticehttps://www.govinfo.gov/content/pkg/FR-2020-01-31/pdf/2020-01784.pdfhttps://regulations.justia.com/regulations/fedreg/2020/01/31/2020-01783.htmlNotice - Self-Regulatory Organizations; The Nasdaq Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Regarding Certain Changes to Investments of the First Trust TCW Opportunistic Fixed Income ETF2020-01-31T00:00:00-08:002020-01-31T00:00:00-08:002020-01783Noticehttps://www.govinfo.gov/content/pkg/FR-2020-01-31/pdf/2020-01783.pdfhttps://regulations.justia.com/regulations/fedreg/2020/01/31/2020-01782.htmlNotice - Self-Regulatory Organizations; Cboe BYX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Delete Partial Post Only at Limit Orders and References to Those Orders From the Rules2020-01-31T00:00:00-08:002020-01-31T00:00:00-08:002020-01782Noticehttps://www.govinfo.gov/content/pkg/FR-2020-01-31/pdf/2020-01782.pdfhttps://regulations.justia.com/regulations/fedreg/2020/01/31/2020-01781.htmlNotice - Self-Regulatory Organizations; Cboe BZX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Delete Partial Post Only at Limit Orders and References to Those Orders From the Rules2020-01-31T00:00:00-08:002020-01-31T00:00:00-08:002020-01781Noticehttps://www.govinfo.gov/content/pkg/FR-2020-01-31/pdf/2020-01781.pdfhttps://regulations.justia.com/regulations/fedreg/2020/01/31/2020-01780.htmlNotice - Self-Regulatory Organizations: Miami International Securities Exchange LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Its Fee Schedule2020-01-31T00:00:00-08:002020-01-31T00:00:00-08:002020-01780Noticehttps://www.govinfo.gov/content/pkg/FR-2020-01-31/pdf/2020-01780.pdfhttps://regulations.justia.com/regulations/fedreg/2020/01/31/2020-01779.htmlNotice - Self-Regulatory Organizations; Cboe EDGX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Extend the Pilot Programs in Connection With the Listing and Trading of P.M.-Settled Series on Certain Broad-Based Index Options2020-01-31T00:00:00-08:002020-01-31T00:00:00-08:002020-01779Noticehttps://www.govinfo.gov/content/pkg/FR-2020-01-31/pdf/2020-01779.pdfhttps://regulations.justia.com/regulations/fedreg/2020/01/31/2020-01778.htmlNotice - Self-Regulatory Organizations; Cboe BZX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Extend the Pilot Programs in Connection With the Listing and Trading of P.M.-Settled Series on Certain Broad-Based Index Options2020-01-31T00:00:00-08:002020-01-31T00:00:00-08:002020-01778Noticehttps://www.govinfo.gov/content/pkg/FR-2020-01-31/pdf/2020-01778.pdfhttps://regulations.justia.com/regulations/fedreg/2020/01/31/2020-01517.htmlNotice - Self-Regulatory Organizations; LCH SA; Notice of Filing of Partial Amendment No. 1 and Order Granting Accelerated Approval of Proposed Rule Change, as Modified by Partial Amendment No. 1, Relating to Amendments to CDS Clearing Supplement To Reflect the ISDA NTCE Protocol and Supplement2020-01-31T00:00:00-08:002020-01-31T00:00:00-08:002020-01517Noticehttps://www.govinfo.gov/content/pkg/FR-2020-01-31/pdf/2020-01517.pdfhttps://regulations.justia.com/regulations/fedreg/2020/01/30/2020-01649.htmlNotice - Self-Regulatory Organizations; LCH SA; Order Approving Proposed Rule Change Relating to Amendments to LCH SA's Liquidity Risk Modelling Framework2020-01-30T00:00:00-08:002020-01-30T00:00:00-08:002020-01649Noticehttps://www.govinfo.gov/content/pkg/FR-2020-01-30/pdf/2020-01649.pdfhttps://regulations.justia.com/regulations/fedreg/2020/01/30/2020-01648.htmlNotice - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend FINRA Rule 11900 To Except Certain Transactions in Corporate Debt Securities2020-01-30T00:00:00-08:002020-01-30T00:00:00-08:002020-01648Noticehttps://www.govinfo.gov/content/pkg/FR-2020-01-30/pdf/2020-01648.pdfhttps://regulations.justia.com/regulations/fedreg/2020/01/30/2020-01647.htmlNotice - Self-Regulatory Organizations; Nasdaq PHLX LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Phlx's Pricing Schedule2020-01-30T00:00:00-08:002020-01-30T00:00:00-08:002020-01647Noticehttps://www.govinfo.gov/content/pkg/FR-2020-01-30/pdf/2020-01647.pdfhttps://regulations.justia.com/regulations/fedreg/2020/01/30/2020-01646.htmlNotice - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing of Proposed Rule Change To Add New Rule 46B To Permit the Appointment of Regulatory Trading Officials and Amend Rules 47 and 752020-01-30T00:00:00-08:002020-01-30T00:00:00-08:002020-01646Noticehttps://www.govinfo.gov/content/pkg/FR-2020-01-30/pdf/2020-01646.pdfhttps://regulations.justia.com/regulations/fedreg/2020/01/30/2020-01645.htmlNotice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing of Proposed Rule Change Relating to Listing and Trading of Shares of the SPDR SSGA Responsible Reserves ESG ETF under NYSE Arca Rule 8.600-E2020-01-30T00:00:00-08:002020-01-30T00:00:00-08:002020-01645Noticehttps://www.govinfo.gov/content/pkg/FR-2020-01-30/pdf/2020-01645.pdfhttps://regulations.justia.com/regulations/fedreg/2020/01/30/2020-01644.htmlNotice - Self-Regulatory Organizations; The Options Clearing Corporation; Notice of Filing of Proposed Rule Change To Modify the Fees for Exercise Notices Submitted After the Deadlines and To Change the Deadline for Submitting a Late Exercise Notice on Non-Expiration Dates2020-01-30T00:00:00-08:002020-01-30T00:00:00-08:002020-01644Noticehttps://www.govinfo.gov/content/pkg/FR-2020-01-30/pdf/2020-01644.pdfhttps://regulations.justia.com/regulations/fedreg/2020/01/30/2020-01643.htmlNotice - Self-Regulatory Organizations; The Options Clearing Corporation; Order Approving Proposed Rule Change, as Modified by Partial Amendment No. 1, Concerning a Proposed Capital Management Policy That Would Support The Options Clearing Corporation's Function as a Systemically Important Financial Market Utility2020-01-30T00:00:00-08:002020-01-30T00:00:00-08:002020-01643Noticehttps://www.govinfo.gov/content/pkg/FR-2020-01-30/pdf/2020-01643.pdfhttps://regulations.justia.com/regulations/fedreg/2020/01/30/2020-01642.htmlNotice - Self-Regulatory Organizations; The Nasdaq Stock Market LLC; Notice of Designation of a Longer Period for Commission Action on a Proposed Rule Change To Adopt a New Rule Permitting Nasdaq To Halt Trading in a Security and Request Information From the Company Regarding the Number of Unrestricted Publicly Held Shares in Certain Circumstances2020-01-30T00:00:00-08:002020-01-30T00:00:00-08:002020-01642Noticehttps://www.govinfo.gov/content/pkg/FR-2020-01-30/pdf/2020-01642.pdfhttps://regulations.justia.com/regulations/fedreg/2020/01/30/2020-01611.htmlNotice - Securities Investor Protection Corporation; Notice of Filing of Proposed Bylaw Change, as Revised by Amendment No. 1, Relating to SIPC Board Compensation; Correction2020-01-30T00:00:00-08:002020-01-30T00:00:00-08:002020-01611Noticehttps://www.govinfo.gov/content/pkg/FR-2020-01-30/pdf/2020-01611.pdfhttps://regulations.justia.com/regulations/fedreg/2020/01/30/2020-01610.htmlNotice - Securities Investor Protection Corporation; Notice of Filing of Proposed Bylaw Changes Relating to SIPC Member Assessments; Correction2020-01-30T00:00:00-08:002020-01-30T00:00:00-08:002020-01610Noticehttps://www.govinfo.gov/content/pkg/FR-2020-01-30/pdf/2020-01610.pdfhttps://regulations.justia.com/regulations/fedreg/2020/01/29/2020-01521.htmlNotice - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Extend the Expiration Date of FINRA Rule 0180 (Application of Rules to Security-Based Swaps)2020-01-29T00:00:00-08:002020-01-29T00:00:00-08:002020-01521Noticehttps://www.govinfo.gov/content/pkg/FR-2020-01-29/pdf/2020-01521.pdfhttps://regulations.justia.com/regulations/fedreg/2020/01/29/2020-01520.htmlNotice - Self-Regulatory Organizations; Nasdaq MRX, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend MRX Pricing Schedule2020-01-29T00:00:00-08:002020-01-29T00:00:00-08:002020-01520Noticehttps://www.govinfo.gov/content/pkg/FR-2020-01-29/pdf/2020-01520.pdfhttps://regulations.justia.com/regulations/fedreg/2020/01/29/2020-01519.htmlNotice - Self-Regulatory Organizations; Cboe BZX Exchange, Inc.; Notice of Withdrawal of a Proposed Rule Change To Allow the JPMorgan Core Plus Bond ETF of the J.P. Morgan Exchange-Traded Fund Trust To Hold Certain Instruments in a Manner That May Not Comply With Rule 14.11(i), Managed Fund Shares2020-01-29T00:00:00-08:002020-01-29T00:00:00-08:002020-01519Noticehttps://www.govinfo.gov/content/pkg/FR-2020-01-29/pdf/2020-01519.pdfhttps://regulations.justia.com/regulations/fedreg/2020/01/29/2020-01518.htmlNotice - Self-Regulatory Organizations; Cboe C2 Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating To Amend Rule 6.31 in Connection with the Exchange's Clearing Editor2020-01-29T00:00:00-08:002020-01-29T00:00:00-08:002020-01518Noticehttps://www.govinfo.gov/content/pkg/FR-2020-01-29/pdf/2020-01518.pdfhttps://regulations.justia.com/regulations/fedreg/2020/01/29/2020-01516.htmlNotice - Self-Regulatory Organizations: MIAX PEARL, LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the MIAX PEARL Fee Schedule2020-01-29T00:00:00-08:002020-01-29T00:00:00-08:002020-01516Noticehttps://www.govinfo.gov/content/pkg/FR-2020-01-29/pdf/2020-01516.pdfhttps://regulations.justia.com/regulations/fedreg/2020/01/28/2020-01453.htmlNotice - Joint Industry Plan; Notice of Filing of the Forty-Fifth Amendment to the Joint Self-Regulatory Organization Plan Governing the Collection, Consolidation and Dissemination of Quotation and Transaction Information for Nasdaq-Listed Securities Traded on Exchanges on an Unlisted Trading Privileges Basis2020-01-28T00:00:00-08:002020-01-28T00:00:00-08:002020-01453Noticehttps://www.govinfo.gov/content/pkg/FR-2020-01-28/pdf/2020-01453.pdfhttps://regulations.justia.com/regulations/fedreg/2020/01/28/2020-01452.htmlNotice - Consolidated Tape Association; Notice of Filing of the Thirty-First Substantive Amendment to the Second Restatement of the CTA Plan2020-01-28T00:00:00-08:002020-01-28T00:00:00-08:002020-01452Noticehttps://www.govinfo.gov/content/pkg/FR-2020-01-28/pdf/2020-01452.pdfhttps://regulations.justia.com/regulations/fedreg/2020/01/28/2020-01367.htmlNotice - Self-Regulatory Organizations; ICE Clear Europe Limited; Order Approving Proposed Rule Change, as Modified by Partial Amendment No. 1, Relating to Amendments to the ICE Clear Europe CDS Procedures2020-01-28T00:00:00-08:002020-01-28T00:00:00-08:002020-01367Noticehttps://www.govinfo.gov/content/pkg/FR-2020-01-28/pdf/2020-01367.pdfhttps://regulations.justia.com/regulations/fedreg/2020/01/27/2020-01366.htmlNotice - Sunshine Act Meetings2020-01-27T00:00:00-08:002020-01-27T00:00:00-08:002020-01366Noticehttps://www.govinfo.gov/content/pkg/FR-2020-01-27/pdf/2020-01366.pdfhttps://regulations.justia.com/regulations/fedreg/2020/01/27/2020-01313.htmlNotice - SEC Small Business Capital Formation Advisory Committee2020-01-27T00:00:00-08:002020-01-27T00:00:00-08:002020-01313Noticehttps://www.govinfo.gov/content/pkg/FR-2020-01-27/pdf/2020-01313.pdfhttps://regulations.justia.com/regulations/fedreg/2020/01/27/2020-01253.htmlNotice - Self-Regulatory Organizations; Bats BZX Exchange, Inc.; Order Setting Aside Action by Delegated Authority and Approving a Proposed Rule Change, as Modified by Amendments No. 1 and 2, To Introduce Cboe Market Close, a Closing Match Process for Non-BZX Listed Securities Under New Exchange Rule 11.282020-01-27T00:00:00-08:002020-01-27T00:00:00-08:002020-01253Noticehttps://www.govinfo.gov/content/pkg/FR-2020-01-27/pdf/2020-01253.pdfhttps://regulations.justia.com/regulations/fedreg/2020/01/27/2020-01237.htmlNotice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending the Schedule of Fees and Charges To Remove the Ineligibility for Certain Discounts2020-01-27T00:00:00-08:002020-01-27T00:00:00-08:002020-01237Noticehttps://www.govinfo.gov/content/pkg/FR-2020-01-27/pdf/2020-01237.pdfhttps://regulations.justia.com/regulations/fedreg/2020/01/24/2020-01191.htmlNotice - Blackstone Alternative Investment Funds and Blackstone Alternative Investment Advisors LLC; Notice of Application2020-01-24T00:00:00-08:002020-01-24T00:00:00-08:002020-01191Noticehttps://www.govinfo.gov/content/pkg/FR-2020-01-24/pdf/2020-01191.pdfhttps://regulations.justia.com/regulations/fedreg/2020/01/24/2020-00040.htmlProposed Rule - Use of Derivatives by Registered Investment Companies and Business Development Companies; Required Due Diligence by Broker-Dealers and Registered Investment Advisers Regarding Retail Customers' Transactions in Certain Leveraged/Inverse Investment Vehicles2020-01-24T00:00:00-08:002020-01-24T00:00:00-08:002020-00040Proposed Rulehttps://www.govinfo.gov/content/pkg/FR-2020-01-24/pdf/2020-00040.pdfhttps://regulations.justia.com/regulations/fedreg/2020/01/23/2020-01097.htmlNotice - Self-Regulatory Organizations; New York Stock Exchange LLC; Order Instituting Proceedings To Determine Whether To Approve or Disapprove a Proposed Rule Change To Permit the Exchange To List and Trade Exchange Traded Products2020-01-23T00:00:00-08:002020-01-23T00:00:00-08:002020-01097Noticehttps://www.govinfo.gov/content/pkg/FR-2020-01-23/pdf/2020-01097.pdfhttps://regulations.justia.com/regulations/fedreg/2020/01/23/2020-01096.htmlNotice - Self-Regulatory Organizations; The Nasdaq Stock Market LLC; Notice of Filing of Proposed Rule Change To Amend Rule 4121(b)2020-01-23T00:00:00-08:002020-01-23T00:00:00-08:002020-01096Noticehttps://www.govinfo.gov/content/pkg/FR-2020-01-23/pdf/2020-01096.pdfhttps://regulations.justia.com/regulations/fedreg/2020/01/23/2020-01041.htmlNotice - Self-Regulatory Organizations; BOX Exchange LLC; Notice of Filing of Amendment No. 1 and Order Instituting Proceedings To Determine Whether To Approve or Disapprove a Proposed Rule Change, as Modified by Amendment No. 1, To Adopt Rules Governing the Trading of Equity Securities on the Exchange Through a Facility of the Exchange Known as the Boston Security Token Exchange LLC2020-01-23T00:00:00-08:002020-01-23T00:00:00-08:002020-01041Noticehttps://www.govinfo.gov/content/pkg/FR-2020-01-23/pdf/2020-01041.pdfhttps://regulations.justia.com/regulations/fedreg/2020/01/23/2020-01040.htmlNotice - Self-Regulatory Organizations; Nasdaq ISE, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the Exchange's Pricing Schedule at Options 72020-01-23T00:00:00-08:002020-01-23T00:00:00-08:002020-01040Noticehttps://www.govinfo.gov/content/pkg/FR-2020-01-23/pdf/2020-01040.pdfhttps://regulations.justia.com/regulations/fedreg/2020/01/23/2020-01039.htmlNotice - Self-Regulatory Organizations; The Nasdaq Stock Market LLC; Notice of Designation of Longer Period for Commission Action on a Proposed Rule Change To Amend Rule 41212020-01-23T00:00:00-08:002020-01-23T00:00:00-08:002020-01039Noticehttps://www.govinfo.gov/content/pkg/FR-2020-01-23/pdf/2020-01039.pdfhttps://regulations.justia.com/regulations/fedreg/2020/01/23/2020-01038.htmlNotice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the NYSE Arca Equities Fees and Charges To Introduce Two New Pricing Tiers, Retail Order Step-Up Tier 3 and Retail Order Step-Up Tier 42020-01-23T00:00:00-08:002020-01-23T00:00:00-08:002020-01038Noticehttps://www.govinfo.gov/content/pkg/FR-2020-01-23/pdf/2020-01038.pdfhttps://regulations.justia.com/regulations/fedreg/2020/01/23/2020-01037.htmlNotice - Self-Regulatory Organizations; NYSE American LLC; Notice of Filing and Immediate Effectiveness of Proposed Change To Add to the Rules of the Exchange the Thirteenth Amended and Restated Operating Agreement of the New York Stock Exchange LLC2020-01-23T00:00:00-08:002020-01-23T00:00:00-08:002020-01037Noticehttps://www.govinfo.gov/content/pkg/FR-2020-01-23/pdf/2020-01037.pdfhttps://regulations.justia.com/regulations/fedreg/2020/01/23/2020-01036.htmlNotice - Self-Regulatory Organizations; Cboe BZX Exchange, Inc.; Notice of Filing of a Proposed Rule Change To List and Trade Shares of the -1x Short VIX Futures ETF, a Series of VS Trust, Under Rule 14.11(f)(4) (Trust Issued Receipts)2020-01-23T00:00:00-08:002020-01-23T00:00:00-08:002020-01036Noticehttps://www.govinfo.gov/content/pkg/FR-2020-01-23/pdf/2020-01036.pdfhttps://regulations.justia.com/regulations/fedreg/2020/01/23/2020-01035.htmlNotice - Self-Regulatory Organizations; Cboe C2 Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating To Amend Its Rules Governing the Give Up of a Clearing Trading Permit Holder by a Trading Permit Holder on Exchange Transactions2020-01-23T00:00:00-08:002020-01-23T00:00:00-08:002020-01035Noticehttps://www.govinfo.gov/content/pkg/FR-2020-01-23/pdf/2020-01035.pdfhttps://regulations.justia.com/regulations/fedreg/2020/01/23/2020-01034.htmlNotice - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing of a Proposed Rule Change To Amend the Rule 6800 Series, the Exchange's Compliance Rule Regarding the National Market System Plan Governing the Consolidated Audit Trail2020-01-23T00:00:00-08:002020-01-23T00:00:00-08:002020-01034Noticehttps://www.govinfo.gov/content/pkg/FR-2020-01-23/pdf/2020-01034.pdfhttps://regulations.justia.com/regulations/fedreg/2020/01/23/2020-01033.htmlNotice - Self-Regulatory Organizations; NYSE American LLC; Notice of Filing of Proposed Rule Change To Amend the Rule 6800 Series, the Exchange's Compliance Rule Regarding the National Market System Plan Governing the Consolidated Audit Trail2020-01-23T00:00:00-08:002020-01-23T00:00:00-08:002020-01033Noticehttps://www.govinfo.gov/content/pkg/FR-2020-01-23/pdf/2020-01033.pdfhttps://regulations.justia.com/regulations/fedreg/2020/01/23/2020-01032.htmlNotice - Self-Regulatory Organizations; NYSE Chicago, Inc.; Notice of Filing of Proposed Rule Change, as Modified by Amendment No. 1 Thereto, To Amend the Rule 6.6800 Series, the Exchange's Compliance Rule Regarding the National Market System Plan Governing the Consolidated Audit Trail2020-01-23T00:00:00-08:002020-01-23T00:00:00-08:002020-01032Noticehttps://www.govinfo.gov/content/pkg/FR-2020-01-23/pdf/2020-01032.pdfhttps://regulations.justia.com/regulations/fedreg/2020/01/23/2020-01031.htmlNotice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing of Proposed Rule Change To Amend the Rule 11.6800 Series, the Exchange's Compliance Rule Regarding the National Market System Plan Governing the Consolidated Audit Trail2020-01-23T00:00:00-08:002020-01-23T00:00:00-08:002020-01031Noticehttps://www.govinfo.gov/content/pkg/FR-2020-01-23/pdf/2020-01031.pdf