<![CDATA[Federal Register Recent Federal Regulation Documents - Justia Regulation Tracker - Justia Regulations Tracker]]> https://regulations.justia.com/regulations/fedreg/agencies/agencies-and-commissions/securities-and-exchange-commission/2020/02?registers=between&min-day=1&max-day=29 Tue, 07 May 2024 15:37:41 -0700 Tue, 07 May 2024 15:37:41 -0700 Justia Regulations Tracker Copyright 2011 Justia Inc. https://regulations.justia.com/images/justiafedregulations.gif <![CDATA[Federal Register Recent Federal Regulation Documents - Justia Regulation Tracker - Justia Regulations Tracker]]> https://regulations.justia.com/regulations/fedreg/agencies/agencies-and-commissions/securities-and-exchange-commission/2020/02?registers=between&min-day=1&max-day=29 Notice - Self-Regulatory Organizations; Nasdaq MRX, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Options 9, Section 21 (Anti-Money Laundering Compliance Program) https://regulations.justia.com/regulations/fedreg/2020/02/28/2020-04075.html https://regulations.justia.com/regulations/fedreg/2020/02/28/2020-04075.html Fri, 28 Feb 2020 00:00:00 -0800 2020-04075 Notice https://www.govinfo.gov/content/pkg/FR-2020-02-28/pdf/2020-04075.pdf Notice - Self-Regulatory Organizations; Nasdaq GEMX, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Options 9, Section 21 (Anti-Money Laundering Compliance Program) https://regulations.justia.com/regulations/fedreg/2020/02/28/2020-04074.html https://regulations.justia.com/regulations/fedreg/2020/02/28/2020-04074.html Fri, 28 Feb 2020 00:00:00 -0800 2020-04074 Notice https://www.govinfo.gov/content/pkg/FR-2020-02-28/pdf/2020-04074.pdf Notice - Self-Regulatory Organizations; Nasdaq PHLX LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend PSX Rule 3506 (Anti-Money Laundering Compliance Program) and Options 9, Section 21 (Anti-Money Laundering Compliance Program) https://regulations.justia.com/regulations/fedreg/2020/02/28/2020-04073.html https://regulations.justia.com/regulations/fedreg/2020/02/28/2020-04073.html Fri, 28 Feb 2020 00:00:00 -0800 2020-04073 Notice https://www.govinfo.gov/content/pkg/FR-2020-02-28/pdf/2020-04073.pdf Notice - Self-Regulatory Organizations; Nasdaq ISE, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Options 9, Section 21 (Anti-Money Laundering Compliance Program) https://regulations.justia.com/regulations/fedreg/2020/02/28/2020-04072.html https://regulations.justia.com/regulations/fedreg/2020/02/28/2020-04072.html Fri, 28 Feb 2020 00:00:00 -0800 2020-04072 Notice https://www.govinfo.gov/content/pkg/FR-2020-02-28/pdf/2020-04072.pdf Notice - Self-Regulatory Organizations; NYSE American LLC; Notice of Filing and Order Granting Accelerated Approval of a Proposed Rule Change for Certain Conforming Changes to Rule 9217 https://regulations.justia.com/regulations/fedreg/2020/02/28/2020-04071.html https://regulations.justia.com/regulations/fedreg/2020/02/28/2020-04071.html Fri, 28 Feb 2020 00:00:00 -0800 2020-04071 Notice https://www.govinfo.gov/content/pkg/FR-2020-02-28/pdf/2020-04071.pdf Proposed Rule - Prohibitions and Restrictions on Proprietary Trading and Certain Interests in, and Relationships With, Hedge Funds and Private Equity Funds https://regulations.justia.com/regulations/fedreg/2020/02/28/2020-02707.html https://regulations.justia.com/regulations/fedreg/2020/02/28/2020-02707.html Fri, 28 Feb 2020 00:00:00 -0800 2020-02707 Proposed Rule https://www.govinfo.gov/content/pkg/FR-2020-02-28/pdf/2020-02707.pdf Proposed Rule - Management's Discussion and Analysis, Selected Financial Data, and Supplementary Financial Information https://regulations.justia.com/regulations/fedreg/2020/02/28/2020-02313.html https://regulations.justia.com/regulations/fedreg/2020/02/28/2020-02313.html Fri, 28 Feb 2020 00:00:00 -0800 2020-02313 Proposed Rule https://www.govinfo.gov/content/pkg/FR-2020-02-28/pdf/2020-02313.pdf Notice - Self-Regulatory Organizations; National Securities Clearing Corporation; Notice of Filing of Advance Notice To Enhance the Calculation of the Family-Issued Securities Charge https://regulations.justia.com/regulations/fedreg/2020/02/27/2020-03997.html https://regulations.justia.com/regulations/fedreg/2020/02/27/2020-03997.html Thu, 27 Feb 2020 00:00:00 -0800 2020-03997 Notice https://www.govinfo.gov/content/pkg/FR-2020-02-27/pdf/2020-03997.pdf Notice - Self-Regulatory Organizations; Fixed Income Clearing Corporation; Notice of Filing of Advance Notice To Amend the Mortgage-Backed Securities Division Stress Testing Methodology https://regulations.justia.com/regulations/fedreg/2020/02/27/2020-03996.html https://regulations.justia.com/regulations/fedreg/2020/02/27/2020-03996.html Thu, 27 Feb 2020 00:00:00 -0800 2020-03996 Notice https://www.govinfo.gov/content/pkg/FR-2020-02-27/pdf/2020-03996.pdf Notice - Self-Regulatory Organizations; Cboe BZX Exchange, Inc.; Notice of Filing of a Proposed Rule Change Relating To Providing Members Certain Optional Risk Settings Under Proposed Interpretation and Policy .03 of Rule 11.13 https://regulations.justia.com/regulations/fedreg/2020/02/27/2020-03921.html https://regulations.justia.com/regulations/fedreg/2020/02/27/2020-03921.html Thu, 27 Feb 2020 00:00:00 -0800 2020-03921 Notice https://www.govinfo.gov/content/pkg/FR-2020-02-27/pdf/2020-03921.pdf Notice - Self-Regulatory Organizations; Cboe BZX Exchange, Inc.; Notice of Filing of a Proposed Rule Change To Eliminate the Requirement That the Intraday Indicative Value Be Disseminated as Set Forth Under Rule 14.11(c) for Certain Series of Index Fund Shares and Under Rule 14.11(i) for All Series of Managed Fund Shares https://regulations.justia.com/regulations/fedreg/2020/02/27/2020-03920.html https://regulations.justia.com/regulations/fedreg/2020/02/27/2020-03920.html Thu, 27 Feb 2020 00:00:00 -0800 2020-03920 Notice https://www.govinfo.gov/content/pkg/FR-2020-02-27/pdf/2020-03920.pdf Notice - Self-Regulatory Organizations; Cboe EDGX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Regarding Solicitation Auction Mechanism (SAM) Fees, Qualified Contingent Cross (QCC) Order Rebates, and Automated Improvement Mechanism (AIM) Fees https://regulations.justia.com/regulations/fedreg/2020/02/27/2020-03919.html https://regulations.justia.com/regulations/fedreg/2020/02/27/2020-03919.html Thu, 27 Feb 2020 00:00:00 -0800 2020-03919 Notice https://www.govinfo.gov/content/pkg/FR-2020-02-27/pdf/2020-03919.pdf Notice - Self-Regulatory Organizations; National Securities Clearing Corporation; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Establish Implementation Date of National Securities Clearing Corporation's Enhancements to the Haircut-Based Volatility Charge Applicable to Municipal Bonds https://regulations.justia.com/regulations/fedreg/2020/02/27/2020-03918.html https://regulations.justia.com/regulations/fedreg/2020/02/27/2020-03918.html Thu, 27 Feb 2020 00:00:00 -0800 2020-03918 Notice https://www.govinfo.gov/content/pkg/FR-2020-02-27/pdf/2020-03918.pdf Notice - Self-Regulatory Organizations; Cboe EDGA Exchange, Inc.; Order Disapproving Proposed Rule Change To Introduce a Liquidity Provider Protection Delay Mechanism on EDGA https://regulations.justia.com/regulations/fedreg/2020/02/27/2020-03915.html https://regulations.justia.com/regulations/fedreg/2020/02/27/2020-03915.html Thu, 27 Feb 2020 00:00:00 -0800 2020-03915 Notice https://www.govinfo.gov/content/pkg/FR-2020-02-27/pdf/2020-03915.pdf Notice - Self-Regulatory Organizations; Fixed Income Clearing Corporation; Order Approving a Proposed Rule Change Regarding the Close-Out and Funds-Only Settlement Processes Associated With the Sponsoring Member/Sponsored Member Service https://regulations.justia.com/regulations/fedreg/2020/02/27/2020-03914.html https://regulations.justia.com/regulations/fedreg/2020/02/27/2020-03914.html Thu, 27 Feb 2020 00:00:00 -0800 2020-03914 Notice https://www.govinfo.gov/content/pkg/FR-2020-02-27/pdf/2020-03914.pdf Notice - Sunshine Act Meetings https://regulations.justia.com/regulations/fedreg/2020/02/26/2020-03922.html https://regulations.justia.com/regulations/fedreg/2020/02/26/2020-03922.html Wed, 26 Feb 2020 00:00:00 -0800 2020-03922 Notice https://www.govinfo.gov/content/pkg/FR-2020-02-26/pdf/2020-03922.pdf Notice - Self-Regulatory Organizations; ICE Clear Credit LLC; Order Approving Proposed Rule Change, as Modified by Partial Amendment No. 1 and Partial Amendment No. 2, Relating to Amendments to the ICC Clearing Rules To Address Non-Default Losses, on an Accelerated Basis https://regulations.justia.com/regulations/fedreg/2020/02/26/2020-03775.html https://regulations.justia.com/regulations/fedreg/2020/02/26/2020-03775.html Wed, 26 Feb 2020 00:00:00 -0800 2020-03775 Notice https://www.govinfo.gov/content/pkg/FR-2020-02-26/pdf/2020-03775.pdf Notice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing of Amendment No. 4 and Order Granting Accelerated Approval of a Proposed Rule Change, as Modified by Amendment No. 4, To List and Trade Shares of the KFA Global Carbon ETF Under NYSE Arca Rule 8.600-E https://regulations.justia.com/regulations/fedreg/2020/02/26/2020-03774.html https://regulations.justia.com/regulations/fedreg/2020/02/26/2020-03774.html Wed, 26 Feb 2020 00:00:00 -0800 2020-03774 Notice https://www.govinfo.gov/content/pkg/FR-2020-02-26/pdf/2020-03774.pdf Notice - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing of a Proposed Rule Change To Amend the FINRA Code of Arbitration Procedure for Customer Disputes and the FINRA Code of Arbitration Procedure for Industry Disputes To Apply Minimum Fees to Requests for Expungement of Customer Dispute Information https://regulations.justia.com/regulations/fedreg/2020/02/26/2020-03772.html https://regulations.justia.com/regulations/fedreg/2020/02/26/2020-03772.html Wed, 26 Feb 2020 00:00:00 -0800 2020-03772 Notice https://www.govinfo.gov/content/pkg/FR-2020-02-26/pdf/2020-03772.pdf Notice - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Order Approving a Proposed Rule Change To Amend FINRA Rule 12000 Series To Expand Options Available to Customers if a Firm or Associated Person Is or Becomes Inactive https://regulations.justia.com/regulations/fedreg/2020/02/26/2020-03771.html https://regulations.justia.com/regulations/fedreg/2020/02/26/2020-03771.html Wed, 26 Feb 2020 00:00:00 -0800 2020-03771 Notice https://www.govinfo.gov/content/pkg/FR-2020-02-26/pdf/2020-03771.pdf Notice - Self-Regulatory Organizations; Cboe BZX Exchange, Inc.; Notice of Filing of Amendment No. 3 and Order Granting Accelerated Approval of a Proposed Rule Change, as Modified by Amendment No. 3 Thereto, to List and Trade Shares of the ClearBridge Focus Value ETF Under BZX Rule 14.11(k) https://regulations.justia.com/regulations/fedreg/2020/02/26/2020-03770.html https://regulations.justia.com/regulations/fedreg/2020/02/26/2020-03770.html Wed, 26 Feb 2020 00:00:00 -0800 2020-03770 Notice https://www.govinfo.gov/content/pkg/FR-2020-02-26/pdf/2020-03770.pdf Notice - Self-Regulatory Organizations; Long-Term Stock Exchange, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to the Annual Membership Fee https://regulations.justia.com/regulations/fedreg/2020/02/26/2020-03769.html https://regulations.justia.com/regulations/fedreg/2020/02/26/2020-03769.html Wed, 26 Feb 2020 00:00:00 -0800 2020-03769 Notice https://www.govinfo.gov/content/pkg/FR-2020-02-26/pdf/2020-03769.pdf Notice - Program for Allocation of Regulatory Responsibilities Pursuant to Rule 17d-2; Notice of Filing of an Amendment to the Plan for the Allocation of Regulatory Responsibilities Between Cboe BZX Exchange, Inc., Cboe BYX Exchange, Inc., BOX Exchange LLC, Cboe Exchange, Inc., Cboe C2 Exchange, Inc., NYSE Chicago, Inc., Cboe EDGA Exchange, Inc., Cboe EDGX Exchange, Inc., Financial Industry Regulatory Authority, Inc., Nasdaq ISE, LLC, Nasdaq GEMX, LLC, Nasdaq MRX, LLC, Investors Exchange LLC, Miami International Securities Exchange, LLC, MIAX PEARL, LLC, MIAX Emerald, LLC, The Nasdaq Stock Market LLC, Nasdaq BX, Inc., Nasdaq LLC, NYSE National, Inc., New York Stock Exchange LLC, NYSE American LLC, NYSE Arca, Inc., and Long-Term Stock Exchange, Inc. Concerning Covered Regulation NMS and Consolidated Audit Trail Rules https://regulations.justia.com/regulations/fedreg/2020/02/25/2020-03739.html https://regulations.justia.com/regulations/fedreg/2020/02/25/2020-03739.html Tue, 25 Feb 2020 00:00:00 -0800 2020-03739 Notice https://www.govinfo.gov/content/pkg/FR-2020-02-25/pdf/2020-03739.pdf Notice - Prospect Capital Management L.P., et al. https://regulations.justia.com/regulations/fedreg/2020/02/25/2020-03676.html https://regulations.justia.com/regulations/fedreg/2020/02/25/2020-03676.html Tue, 25 Feb 2020 00:00:00 -0800 2020-03676 Notice https://www.govinfo.gov/content/pkg/FR-2020-02-25/pdf/2020-03676.pdf Notice - Self-Regulatory Organizations; NYSE American LLC; Notice of Filing of Proposed Rule Change To Amend the Schedule of Wireless Connectivity Fees and Charges To Add Wireless Connectivity Services https://regulations.justia.com/regulations/fedreg/2020/02/25/2020-03647.html https://regulations.justia.com/regulations/fedreg/2020/02/25/2020-03647.html Tue, 25 Feb 2020 00:00:00 -0800 2020-03647 Notice https://www.govinfo.gov/content/pkg/FR-2020-02-25/pdf/2020-03647.pdf Notice - Self-Regulatory Organizations; Cboe Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the Fees Schedule https://regulations.justia.com/regulations/fedreg/2020/02/25/2020-03646.html https://regulations.justia.com/regulations/fedreg/2020/02/25/2020-03646.html Tue, 25 Feb 2020 00:00:00 -0800 2020-03646 Notice https://www.govinfo.gov/content/pkg/FR-2020-02-25/pdf/2020-03646.pdf Notice - Self-Regulatory Organizations; Cboe Exchange, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending its Financial Incentive Programs for Global Trading Hours (GTH) Lead Market-Makers (LMMs) in VIX Options https://regulations.justia.com/regulations/fedreg/2020/02/25/2020-03645.html https://regulations.justia.com/regulations/fedreg/2020/02/25/2020-03645.html Tue, 25 Feb 2020 00:00:00 -0800 2020-03645 Notice https://www.govinfo.gov/content/pkg/FR-2020-02-25/pdf/2020-03645.pdf Notice - Self-Regulatory Organizations; NYSE National, Inc.; Notice of Filing of Proposed Rule Change To Amend the Schedule of Wireless Connectivity Fees and Charges To Add Wireless Connectivity Services https://regulations.justia.com/regulations/fedreg/2020/02/25/2020-03644.html https://regulations.justia.com/regulations/fedreg/2020/02/25/2020-03644.html Tue, 25 Feb 2020 00:00:00 -0800 2020-03644 Notice https://www.govinfo.gov/content/pkg/FR-2020-02-25/pdf/2020-03644.pdf Notice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing of Proposed Rule Change To Amend the Schedule of Wireless Connectivity Fees and Charges To Add Wireless Connectivity Services https://regulations.justia.com/regulations/fedreg/2020/02/25/2020-03643.html https://regulations.justia.com/regulations/fedreg/2020/02/25/2020-03643.html Tue, 25 Feb 2020 00:00:00 -0800 2020-03643 Notice https://www.govinfo.gov/content/pkg/FR-2020-02-25/pdf/2020-03643.pdf Notice - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing of Proposed Rule Change To Amend the Schedule of Wireless Connectivity Fees and Charges To Add Wireless Connectivity Services https://regulations.justia.com/regulations/fedreg/2020/02/25/2020-03642.html https://regulations.justia.com/regulations/fedreg/2020/02/25/2020-03642.html Tue, 25 Feb 2020 00:00:00 -0800 2020-03642 Notice https://www.govinfo.gov/content/pkg/FR-2020-02-25/pdf/2020-03642.pdf Notice - Self-Regulatory Organizations; NYSE Chicago, Inc.; Notice of Filing of Proposed Rule Change To Amend the Schedule of Wireless Connectivity Fees and Charges To Add Wireless Connectivity Services https://regulations.justia.com/regulations/fedreg/2020/02/25/2020-03641.html https://regulations.justia.com/regulations/fedreg/2020/02/25/2020-03641.html Tue, 25 Feb 2020 00:00:00 -0800 2020-03641 Notice https://www.govinfo.gov/content/pkg/FR-2020-02-25/pdf/2020-03641.pdf Notice - Self-Regulatory Organizations; BOX Exchange LLC; Notice of Filing of a Proposed Rule Change To Amend the Provisions of Its Limited Liability Company Agreement and Bylaws To Accommodate the Exchange's Regulation of Multiple Facilities https://regulations.justia.com/regulations/fedreg/2020/02/25/2020-03640.html https://regulations.justia.com/regulations/fedreg/2020/02/25/2020-03640.html Tue, 25 Feb 2020 00:00:00 -0800 2020-03640 Notice https://www.govinfo.gov/content/pkg/FR-2020-02-25/pdf/2020-03640.pdf Notice - ETF Managers Trust and ETF Managers Group LLC https://regulations.justia.com/regulations/fedreg/2020/02/25/2020-03638.html https://regulations.justia.com/regulations/fedreg/2020/02/25/2020-03638.html Tue, 25 Feb 2020 00:00:00 -0800 2020-03638 Notice https://www.govinfo.gov/content/pkg/FR-2020-02-25/pdf/2020-03638.pdf Rule - Commission Guidance on Management's Discussion and Analysis of Financial Condition and Results of Operations https://regulations.justia.com/regulations/fedreg/2020/02/25/2020-02296.html https://regulations.justia.com/regulations/fedreg/2020/02/25/2020-02296.html Tue, 25 Feb 2020 00:00:00 -0800 2020-02296 Rule https://www.govinfo.gov/content/pkg/FR-2020-02-25/pdf/2020-02296.pdf Notice - Sunshine Act Meetings https://regulations.justia.com/regulations/fedreg/2020/02/24/2020-03677.html https://regulations.justia.com/regulations/fedreg/2020/02/24/2020-03677.html Mon, 24 Feb 2020 00:00:00 -0800 2020-03677 Notice https://www.govinfo.gov/content/pkg/FR-2020-02-24/pdf/2020-03677.pdf Notice - Self-Regulatory Organizations; NYSE American LLC; Notice of Filing and Immediate Effectiveness of Proposed Change To Amend Its Price List https://regulations.justia.com/regulations/fedreg/2020/02/24/2020-03546.html https://regulations.justia.com/regulations/fedreg/2020/02/24/2020-03546.html Mon, 24 Feb 2020 00:00:00 -0800 2020-03546 Notice https://www.govinfo.gov/content/pkg/FR-2020-02-24/pdf/2020-03546.pdf Notice - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the New York Stock Exchange Price List Related to Co-location Services https://regulations.justia.com/regulations/fedreg/2020/02/24/2020-03535.html https://regulations.justia.com/regulations/fedreg/2020/02/24/2020-03535.html Mon, 24 Feb 2020 00:00:00 -0800 2020-03535 Notice https://www.govinfo.gov/content/pkg/FR-2020-02-24/pdf/2020-03535.pdf Notice - Self-Regulatory Organizations; NYSE American LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the NYSE American Equities Price List and the NYSE American Options Fee Schedule Related to Co-Location Services https://regulations.justia.com/regulations/fedreg/2020/02/24/2020-03534.html https://regulations.justia.com/regulations/fedreg/2020/02/24/2020-03534.html Mon, 24 Feb 2020 00:00:00 -0800 2020-03534 Notice https://www.govinfo.gov/content/pkg/FR-2020-02-24/pdf/2020-03534.pdf Notice - Self-Regulatory Organizations; Cboe Exchange, Inc.; Notice of Filing of a Proposed Rule Change Relating To Adopt Flexible Exchange Options (“FLEX Options”) With a Contract Multiplier of One (“FLEX Micro Options”) https://regulations.justia.com/regulations/fedreg/2020/02/24/2020-03532.html https://regulations.justia.com/regulations/fedreg/2020/02/24/2020-03532.html Mon, 24 Feb 2020 00:00:00 -0800 2020-03532 Notice https://www.govinfo.gov/content/pkg/FR-2020-02-24/pdf/2020-03532.pdf Notice - Self-Regulatory Organizations; Municipal Securities Rulemaking Board; Order Granting Approval of a Proposed Rule Change To Amend the Information Facility of the MSRB's Electronic Municipal Market Access (EMMA) System https://regulations.justia.com/regulations/fedreg/2020/02/24/2020-03531.html https://regulations.justia.com/regulations/fedreg/2020/02/24/2020-03531.html Mon, 24 Feb 2020 00:00:00 -0800 2020-03531 Notice https://www.govinfo.gov/content/pkg/FR-2020-02-24/pdf/2020-03531.pdf Notice - 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 and the NYSE Arca Options Fees and Charges Related to Co-Location Services https://regulations.justia.com/regulations/fedreg/2020/02/24/2020-03530.html https://regulations.justia.com/regulations/fedreg/2020/02/24/2020-03530.html Mon, 24 Feb 2020 00:00:00 -0800 2020-03530 Notice https://www.govinfo.gov/content/pkg/FR-2020-02-24/pdf/2020-03530.pdf Notice - Self-Regulatory Organizations; NYSE National, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the Exchange's Schedule of Fees and Rebates Related to Co-Location Services https://regulations.justia.com/regulations/fedreg/2020/02/24/2020-03529.html https://regulations.justia.com/regulations/fedreg/2020/02/24/2020-03529.html Mon, 24 Feb 2020 00:00:00 -0800 2020-03529 Notice https://www.govinfo.gov/content/pkg/FR-2020-02-24/pdf/2020-03529.pdf Notice - Sunshine Act Meetings https://regulations.justia.com/regulations/fedreg/2020/02/21/2020-03549.html https://regulations.justia.com/regulations/fedreg/2020/02/21/2020-03549.html Fri, 21 Feb 2020 00:00:00 -0800 2020-03549 Notice https://www.govinfo.gov/content/pkg/FR-2020-02-21/pdf/2020-03549.pdf Notice - Submission for OMB Review; Comment Request https://regulations.justia.com/regulations/fedreg/2020/02/21/2020-03509.html https://regulations.justia.com/regulations/fedreg/2020/02/21/2020-03509.html Fri, 21 Feb 2020 00:00:00 -0800 2020-03509 Notice https://www.govinfo.gov/content/pkg/FR-2020-02-21/pdf/2020-03509.pdf Notice - Self-Regulatory Organizations; Cboe BYX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Introduce a Small Retail Broker Distribution Program https://regulations.justia.com/regulations/fedreg/2020/02/20/2020-03419.html https://regulations.justia.com/regulations/fedreg/2020/02/20/2020-03419.html Thu, 20 Feb 2020 00:00:00 -0800 2020-03419 Notice https://www.govinfo.gov/content/pkg/FR-2020-02-20/pdf/2020-03419.pdf Notice - Self-Regulatory Organizations; Cboe EDGA Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Introduce a Small Retail Broker Distribution Program https://regulations.justia.com/regulations/fedreg/2020/02/20/2020-03418.html https://regulations.justia.com/regulations/fedreg/2020/02/20/2020-03418.html Thu, 20 Feb 2020 00:00:00 -0800 2020-03418 Notice https://www.govinfo.gov/content/pkg/FR-2020-02-20/pdf/2020-03418.pdf Notice - Self-Regulatory Organizations; Cboe EDGX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Introduce a Small Retail Broker Distribution Program https://regulations.justia.com/regulations/fedreg/2020/02/20/2020-03417.html https://regulations.justia.com/regulations/fedreg/2020/02/20/2020-03417.html Thu, 20 Feb 2020 00:00:00 -0800 2020-03417 Notice https://www.govinfo.gov/content/pkg/FR-2020-02-20/pdf/2020-03417.pdf Notice - Self-Regulatory Organizations; Cboe BZX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Introduce a Small Retail Broker Distribution Program https://regulations.justia.com/regulations/fedreg/2020/02/20/2020-03416.html https://regulations.justia.com/regulations/fedreg/2020/02/20/2020-03416.html Thu, 20 Feb 2020 00:00:00 -0800 2020-03416 Notice https://www.govinfo.gov/content/pkg/FR-2020-02-20/pdf/2020-03416.pdf Notice - Self-Regulatory Organizations; Nasdaq ISE, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Its Pricing Schedule in Options 7 at Section 3 https://regulations.justia.com/regulations/fedreg/2020/02/20/2020-03415.html https://regulations.justia.com/regulations/fedreg/2020/02/20/2020-03415.html Thu, 20 Feb 2020 00:00:00 -0800 2020-03415 Notice https://www.govinfo.gov/content/pkg/FR-2020-02-20/pdf/2020-03415.pdf Notice - Self-Regulatory Organizations; Nasdaq BX, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Related to Order Types and Times-in-Force Provisions https://regulations.justia.com/regulations/fedreg/2020/02/20/2020-03414.html https://regulations.justia.com/regulations/fedreg/2020/02/20/2020-03414.html Thu, 20 Feb 2020 00:00:00 -0800 2020-03414 Notice https://www.govinfo.gov/content/pkg/FR-2020-02-20/pdf/2020-03414.pdf Notice - Self-Regulatory Organizations; Nasdaq PHLX LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Relocate Rules From Its Current Rulebook Into Its New Rulebook Shell https://regulations.justia.com/regulations/fedreg/2020/02/20/2020-03413.html https://regulations.justia.com/regulations/fedreg/2020/02/20/2020-03413.html Thu, 20 Feb 2020 00:00:00 -0800 2020-03413 Notice https://www.govinfo.gov/content/pkg/FR-2020-02-20/pdf/2020-03413.pdf Notice - Self-Regulatory Organizations; OneChicago, LLC; Notice of Filing of Proposed Rule Change Relating to OneChicago Rule 307 (Application of Rules and Jurisdiction) https://regulations.justia.com/regulations/fedreg/2020/02/20/2020-03412.html https://regulations.justia.com/regulations/fedreg/2020/02/20/2020-03412.html Thu, 20 Feb 2020 00:00:00 -0800 2020-03412 Notice https://www.govinfo.gov/content/pkg/FR-2020-02-20/pdf/2020-03412.pdf Notice - Self-Regulatory Organizations; NYSE National, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Establish Fees for the NYSE National Integrated Feed https://regulations.justia.com/regulations/fedreg/2020/02/20/2020-03411.html https://regulations.justia.com/regulations/fedreg/2020/02/20/2020-03411.html Thu, 20 Feb 2020 00:00:00 -0800 2020-03411 Notice https://www.govinfo.gov/content/pkg/FR-2020-02-20/pdf/2020-03411.pdf Notice - In the Matter of the Financial Industry Regulatory Authority, Inc. for an Order Granting the Approval of Proposed Rule Change, as Modified by Amendment No. 2, To Establish a Corporate Bond New Issue Reference Data Service (File No. SR-FINRA-2019-008); Order Granting Petition for Review and Scheduling Filing of Statements https://regulations.justia.com/regulations/fedreg/2020/02/20/2020-03372.html https://regulations.justia.com/regulations/fedreg/2020/02/20/2020-03372.html Thu, 20 Feb 2020 00:00:00 -0800 2020-03372 Notice https://www.govinfo.gov/content/pkg/FR-2020-02-20/pdf/2020-03372.pdf Notice - Self-Regulatory Organizations; Cboe BZX Exchange, Inc.; 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 BZX Rule 14.11(l) To Permit the Listing and Trading of Exchange-Traded Fund Shares That Are Permitted To Operate in Reliance on Rule 6c-11 Under the Investment Company Act of 1940 https://regulations.justia.com/regulations/fedreg/2020/02/20/2020-03328.html https://regulations.justia.com/regulations/fedreg/2020/02/20/2020-03328.html Thu, 20 Feb 2020 00:00:00 -0800 2020-03328 Notice https://www.govinfo.gov/content/pkg/FR-2020-02-20/pdf/2020-03328.pdf Notice - Self-Regulatory Organizations; Cboe BZX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating To Amend the Logic That Would Be Used To Cancel MOC Orders Entered for Participation in the Cboe Market Close in the Event the Exchange Becomes Impaired https://regulations.justia.com/regulations/fedreg/2020/02/20/2020-03327.html https://regulations.justia.com/regulations/fedreg/2020/02/20/2020-03327.html Thu, 20 Feb 2020 00:00:00 -0800 2020-03327 Notice https://www.govinfo.gov/content/pkg/FR-2020-02-20/pdf/2020-03327.pdf Notice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Designation of a Longer Period for Commission Action on a Proposed Rule Change To Adopt NYSE Arca Rule 8.601-E To Permit the Listing and Trading of Managed Portfolio Securities and To List and Trade Four Series of Managed Portfolio Securities Issued by T. Rowe Price Exchange-Traded Funds, Inc. Under Proposed NYSE Arca Rule 8.601-E https://regulations.justia.com/regulations/fedreg/2020/02/20/2020-03326.html https://regulations.justia.com/regulations/fedreg/2020/02/20/2020-03326.html Thu, 20 Feb 2020 00:00:00 -0800 2020-03326 Notice https://www.govinfo.gov/content/pkg/FR-2020-02-20/pdf/2020-03326.pdf Notice - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Designation of a Longer Period for Commission Action on a Proposed Rule Change, as Modified by Amendment No. 1, To Amend Chapter One of the Listed Company Manual To Modify the Provisions Relating to Direct Listings https://regulations.justia.com/regulations/fedreg/2020/02/20/2020-03325.html https://regulations.justia.com/regulations/fedreg/2020/02/20/2020-03325.html Thu, 20 Feb 2020 00:00:00 -0800 2020-03325 Notice https://www.govinfo.gov/content/pkg/FR-2020-02-20/pdf/2020-03325.pdf Notice - Self-Regulatory Organizations; The Nasdaq Stock Market 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 Nasdaq Rule 5704 and Other Related Amendments https://regulations.justia.com/regulations/fedreg/2020/02/20/2020-03324.html https://regulations.justia.com/regulations/fedreg/2020/02/20/2020-03324.html Thu, 20 Feb 2020 00:00:00 -0800 2020-03324 Notice https://www.govinfo.gov/content/pkg/FR-2020-02-20/pdf/2020-03324.pdf Notice - Self-Regulatory Organizations; Cboe BZX Exchange, Inc.; Notice of Designation of a Longer Period for Commission Action on a Proposed Rule Change To Adopt Rule 14.11(m), Portfolio Fund Shares, and To List and Trade Shares of the Fidelity Value ETF, Fidelity Growth ETF, and Fidelity Opportunistic ETF, Each a Series of the Fidelity Beach Street Trust, Under Proposed Rule 14.11(m) https://regulations.justia.com/regulations/fedreg/2020/02/20/2020-03323.html https://regulations.justia.com/regulations/fedreg/2020/02/20/2020-03323.html Thu, 20 Feb 2020 00:00:00 -0800 2020-03323 Notice https://www.govinfo.gov/content/pkg/FR-2020-02-20/pdf/2020-03323.pdf Notice - Self-Regulatory Organizations; The Nasdaq Stock Market LLC; Notice of Filing of Proposed Rule Change To Assume Operational Responsibility for Certain Enforcement Functions Currently Performed by FINRA Under the Exchanges Authority and Supervision https://regulations.justia.com/regulations/fedreg/2020/02/20/2020-03322.html https://regulations.justia.com/regulations/fedreg/2020/02/20/2020-03322.html Thu, 20 Feb 2020 00:00:00 -0800 2020-03322 Notice https://www.govinfo.gov/content/pkg/FR-2020-02-20/pdf/2020-03322.pdf Notice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Designation of a Longer Period for Commission Action on a Proposed Rule Change To Adopt NYSE Arca Rule 8.602-E To Permit the Listing and Trading of Actively Managed Solution Shares and To List and Trade Two Series of Actively Managed Solution Shares Issued by the American Century ETF Trust Under Proposed NYSE Arca Rule 8.602-E https://regulations.justia.com/regulations/fedreg/2020/02/20/2020-03321.html https://regulations.justia.com/regulations/fedreg/2020/02/20/2020-03321.html Thu, 20 Feb 2020 00:00:00 -0800 2020-03321 Notice https://www.govinfo.gov/content/pkg/FR-2020-02-20/pdf/2020-03321.pdf Notice - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing of Amendment No. 3 and Order Granting Accelerated Approval of a Proposed Rule Change, as Modified by Amendment No. 3, To Amend the Definition of Family Member in Listing Rule 5605(a)(2) for Purposes of the Definition of Independent Director https://regulations.justia.com/regulations/fedreg/2020/02/20/2020-03320.html https://regulations.justia.com/regulations/fedreg/2020/02/20/2020-03320.html Thu, 20 Feb 2020 00:00:00 -0800 2020-03320 Notice https://www.govinfo.gov/content/pkg/FR-2020-02-20/pdf/2020-03320.pdf Notice - Self-Regulatory Organizations; NYSE Arca, Inc.; 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 Establish Generic Listing Standards for Derivative Securities Products That Are Permitted To Operate in Reliance on Rule 6c-11 Under the Investment Company Act of 1940 https://regulations.justia.com/regulations/fedreg/2020/02/20/2020-03319.html https://regulations.justia.com/regulations/fedreg/2020/02/20/2020-03319.html Thu, 20 Feb 2020 00:00:00 -0800 2020-03319 Notice https://www.govinfo.gov/content/pkg/FR-2020-02-20/pdf/2020-03319.pdf Notice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Designation of a Longer Period for Commission Action on a Proposed Rule Change To Adopt NYSE Arca Rule 8.602-E To Permit the Listing and Trading of Actively Managed Solution Shares and To List and Trade Shares of the Natixis ETF Under Proposed NYSE Arca Rule 8.602-E https://regulations.justia.com/regulations/fedreg/2020/02/20/2020-03318.html https://regulations.justia.com/regulations/fedreg/2020/02/20/2020-03318.html Thu, 20 Feb 2020 00:00:00 -0800 2020-03318 Notice https://www.govinfo.gov/content/pkg/FR-2020-02-20/pdf/2020-03318.pdf Notice - Self-Regulatory Organizations; National Securities Clearing Corporation; Order Approving a Proposed Rule Change To Enhance National Securities Clearing Corporation's Haircut-Based Volatility Charge Applicable to Municipal Bonds https://regulations.justia.com/regulations/fedreg/2020/02/20/2020-03317.html https://regulations.justia.com/regulations/fedreg/2020/02/20/2020-03317.html Thu, 20 Feb 2020 00:00:00 -0800 2020-03317 Notice https://www.govinfo.gov/content/pkg/FR-2020-02-20/pdf/2020-03317.pdf Notice - Self-Regulatory Organizations; Cboe BZX Exchange, Inc.; Notice of Withdrawal of a Proposed Rule Change, as Modified by Amendment No. 1, To List and Trade Shares of the iShares California Short Maturity Muni Bond ETF Under Rule 14.11(i) https://regulations.justia.com/regulations/fedreg/2020/02/20/2020-03316.html https://regulations.justia.com/regulations/fedreg/2020/02/20/2020-03316.html Thu, 20 Feb 2020 00:00:00 -0800 2020-03316 Notice https://www.govinfo.gov/content/pkg/FR-2020-02-20/pdf/2020-03316.pdf Notice - Self-Regulatory Organizations; BOX Exchange LLC; Notice of Designation of Longer Period for Commission Action on a Proposed Rule Change in Connection With the Proposed Commencement of Operations of Boston Security Token Exchange LLC as a Facility of the Exchange https://regulations.justia.com/regulations/fedreg/2020/02/20/2020-03315.html https://regulations.justia.com/regulations/fedreg/2020/02/20/2020-03315.html Thu, 20 Feb 2020 00:00:00 -0800 2020-03315 Notice https://www.govinfo.gov/content/pkg/FR-2020-02-20/pdf/2020-03315.pdf Notice - 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 https://regulations.justia.com/regulations/fedreg/2020/02/20/2020-03314.html https://regulations.justia.com/regulations/fedreg/2020/02/20/2020-03314.html Thu, 20 Feb 2020 00:00:00 -0800 2020-03314 Notice https://www.govinfo.gov/content/pkg/FR-2020-02-20/pdf/2020-03314.pdf Notice - Self-Regulatory Organizations; Investors Exchange LLC; Notice of Designation of Longer Period for Commission Action on a Proposed Rule Change To Add a New Discretionary Limit Order Type Called D-Limit https://regulations.justia.com/regulations/fedreg/2020/02/19/2020-03185.html https://regulations.justia.com/regulations/fedreg/2020/02/19/2020-03185.html Wed, 19 Feb 2020 00:00:00 -0800 2020-03185 Notice https://www.govinfo.gov/content/pkg/FR-2020-02-19/pdf/2020-03185.pdf Notice - 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 https://regulations.justia.com/regulations/fedreg/2020/02/19/2020-03184.html https://regulations.justia.com/regulations/fedreg/2020/02/19/2020-03184.html Wed, 19 Feb 2020 00:00:00 -0800 2020-03184 Notice https://www.govinfo.gov/content/pkg/FR-2020-02-19/pdf/2020-03184.pdf Notice - 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 https://regulations.justia.com/regulations/fedreg/2020/02/19/2020-03183.html https://regulations.justia.com/regulations/fedreg/2020/02/19/2020-03183.html Wed, 19 Feb 2020 00:00:00 -0800 2020-03183 Notice https://www.govinfo.gov/content/pkg/FR-2020-02-19/pdf/2020-03183.pdf Notice - Self-Regulatory Organizations; Cboe BZX Exchange, Inc.; Notice of Designation of a Longer Period for Commission Action on Proceedings To Determine Whether To Approve or Disapprove a Proposed Rule Change To Introduce the Small Retail Broker Distribution Program https://regulations.justia.com/regulations/fedreg/2020/02/19/2020-03182.html https://regulations.justia.com/regulations/fedreg/2020/02/19/2020-03182.html Wed, 19 Feb 2020 00:00:00 -0800 2020-03182 Notice https://www.govinfo.gov/content/pkg/FR-2020-02-19/pdf/2020-03182.pdf Notice - Self-Regulatory Organizations; Cboe BYX Exchange, Inc.; Notice of Designation of a Longer Period for Commission Action on Proceedings To Determine Whether To Approve or Disapprove a Proposed Rule Change To Introduce the Small Retail Broker Distribution Program https://regulations.justia.com/regulations/fedreg/2020/02/19/2020-03181.html https://regulations.justia.com/regulations/fedreg/2020/02/19/2020-03181.html Wed, 19 Feb 2020 00:00:00 -0800 2020-03181 Notice https://www.govinfo.gov/content/pkg/FR-2020-02-19/pdf/2020-03181.pdf Notice - Self-Regulatory Organizations; Cboe EDGX Exchange, Inc.; Notice of Designation of a Longer Period for Commission Action on Proceedings To Determine Whether To Approve or Disapprove a Proposed Rule Change To Introduce the Small Retail Broker Distribution Program https://regulations.justia.com/regulations/fedreg/2020/02/19/2020-03180.html https://regulations.justia.com/regulations/fedreg/2020/02/19/2020-03180.html Wed, 19 Feb 2020 00:00:00 -0800 2020-03180 Notice https://www.govinfo.gov/content/pkg/FR-2020-02-19/pdf/2020-03180.pdf Notice - Self-Regulatory Organizations; Cboe EDGA Exchange, Inc.; Notice of Designation of a Longer Period for Commission Action on Proceedings To Determine Whether To Approve or Disapprove a Proposed Rule Change To Introduce the Small Retail Broker Distribution Program https://regulations.justia.com/regulations/fedreg/2020/02/19/2020-03179.html https://regulations.justia.com/regulations/fedreg/2020/02/19/2020-03179.html Wed, 19 Feb 2020 00:00:00 -0800 2020-03179 Notice https://www.govinfo.gov/content/pkg/FR-2020-02-19/pdf/2020-03179.pdf Notice - Self-Regulatory Organizations; Cboe Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the Fee Schedule Regarding the Automated Improvement Mechanism (AIM) and Solicitation Auction Mechanism (SAM) https://regulations.justia.com/regulations/fedreg/2020/02/19/2020-03178.html https://regulations.justia.com/regulations/fedreg/2020/02/19/2020-03178.html Wed, 19 Feb 2020 00:00:00 -0800 2020-03178 Notice https://www.govinfo.gov/content/pkg/FR-2020-02-19/pdf/2020-03178.pdf Notice - Self-Regulatory Organizations; Cboe BZX Exchange, Inc.; Notice of Filing of Amendment No. 2 and Order Granting Accelerated Approval of a Proposed Rule Change, as Modified by Amendment No. 2 thereto, To List and Trade Shares of the American Century Focused Dynamic Growth ETF and American Century Focused Large Cap Value ETF Under BZX Rule 14.11(k) https://regulations.justia.com/regulations/fedreg/2020/02/19/2020-03176.html https://regulations.justia.com/regulations/fedreg/2020/02/19/2020-03176.html Wed, 19 Feb 2020 00:00:00 -0800 2020-03176 Notice https://www.govinfo.gov/content/pkg/FR-2020-02-19/pdf/2020-03176.pdf Rule - Adoption of Updated EDGAR Filer Manual https://regulations.justia.com/regulations/fedreg/2020/02/19/2020-02083.html https://regulations.justia.com/regulations/fedreg/2020/02/19/2020-02083.html Wed, 19 Feb 2020 00:00:00 -0800 2020-02083 Rule https://www.govinfo.gov/content/pkg/FR-2020-02-19/pdf/2020-02083.pdf Notice - Self-Regulatory Organizations; Nasdaq BX, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Remove Listing Rule and Other Amendments https://regulations.justia.com/regulations/fedreg/2020/02/18/2020-03101.html https://regulations.justia.com/regulations/fedreg/2020/02/18/2020-03101.html Tue, 18 Feb 2020 00:00:00 -0800 2020-03101 Notice https://www.govinfo.gov/content/pkg/FR-2020-02-18/pdf/2020-03101.pdf Notice - Self-Regulatory Organizations; The Nasdaq Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Remove Listing Rule and Other Amendments https://regulations.justia.com/regulations/fedreg/2020/02/18/2020-03100.html https://regulations.justia.com/regulations/fedreg/2020/02/18/2020-03100.html Tue, 18 Feb 2020 00:00:00 -0800 2020-03100 Notice https://www.govinfo.gov/content/pkg/FR-2020-02-18/pdf/2020-03100.pdf Notice - Self-Regulatory Organizations; NYSE Chicago, Inc.; Notice of Filing of Proposed Rule Change To Establish a Schedule of Wireless Connectivity Fees and Charges With Wireless Connections https://regulations.justia.com/regulations/fedreg/2020/02/18/2020-03099.html https://regulations.justia.com/regulations/fedreg/2020/02/18/2020-03099.html Tue, 18 Feb 2020 00:00:00 -0800 2020-03099 Notice https://www.govinfo.gov/content/pkg/FR-2020-02-18/pdf/2020-03099.pdf Notice - Self-Regulatory Organizations; NYSE National, Inc.; Notice of Filing of Proposed Rule Change To Establish a Schedule of Wireless Connectivity Fees and Charges With Wireless Connections https://regulations.justia.com/regulations/fedreg/2020/02/18/2020-03098.html https://regulations.justia.com/regulations/fedreg/2020/02/18/2020-03098.html Tue, 18 Feb 2020 00:00:00 -0800 2020-03098 Notice https://www.govinfo.gov/content/pkg/FR-2020-02-18/pdf/2020-03098.pdf Notice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing of Proposed Rule Change To Establish a Schedule of Wireless Connectivity Fees and Charges With Wireless Connections https://regulations.justia.com/regulations/fedreg/2020/02/18/2020-03097.html https://regulations.justia.com/regulations/fedreg/2020/02/18/2020-03097.html Tue, 18 Feb 2020 00:00:00 -0800 2020-03097 Notice https://www.govinfo.gov/content/pkg/FR-2020-02-18/pdf/2020-03097.pdf Notice - Self-Regulatory Organizations; NYSE American LLC; Notice of Filing of Proposed Rule Change To Establish a Schedule of Wireless Connectivity Fees and Charges With Wireless Connections https://regulations.justia.com/regulations/fedreg/2020/02/18/2020-03096.html https://regulations.justia.com/regulations/fedreg/2020/02/18/2020-03096.html Tue, 18 Feb 2020 00:00:00 -0800 2020-03096 Notice https://www.govinfo.gov/content/pkg/FR-2020-02-18/pdf/2020-03096.pdf Notice - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing of Proposed Rule Change To Establish a Schedule of Wireless Connectivity Fees and Charges With Wireless Connections https://regulations.justia.com/regulations/fedreg/2020/02/18/2020-03095.html https://regulations.justia.com/regulations/fedreg/2020/02/18/2020-03095.html Tue, 18 Feb 2020 00:00:00 -0800 2020-03095 Notice https://www.govinfo.gov/content/pkg/FR-2020-02-18/pdf/2020-03095.pdf Notice - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Its Price List https://regulations.justia.com/regulations/fedreg/2020/02/18/2020-03094.html https://regulations.justia.com/regulations/fedreg/2020/02/18/2020-03094.html Tue, 18 Feb 2020 00:00:00 -0800 2020-03094 Notice https://www.govinfo.gov/content/pkg/FR-2020-02-18/pdf/2020-03094.pdf Notice - Self-Regulatory Organizations; Cboe Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Its Fees Schedule in Connection With Migration https://regulations.justia.com/regulations/fedreg/2020/02/18/2020-03093.html https://regulations.justia.com/regulations/fedreg/2020/02/18/2020-03093.html Tue, 18 Feb 2020 00:00:00 -0800 2020-03093 Notice https://www.govinfo.gov/content/pkg/FR-2020-02-18/pdf/2020-03093.pdf Notice - Self-Regulatory Organizations; National Securities Clearing Corporation; Notice of Filing of Proposed Rule Change to Enhance the Calculation of the Family-Issued Securities Charge https://regulations.justia.com/regulations/fedreg/2020/02/18/2020-03092.html https://regulations.justia.com/regulations/fedreg/2020/02/18/2020-03092.html Tue, 18 Feb 2020 00:00:00 -0800 2020-03092 Notice https://www.govinfo.gov/content/pkg/FR-2020-02-18/pdf/2020-03092.pdf Notice - Self-Regulatory Organizations; BOX Exchange LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the Fee Schedule on the BOX Options Market LLC Facility To Establish BOX Connectivity Fees for Participants and Non-Participants Who Connect to the BOX Network https://regulations.justia.com/regulations/fedreg/2020/02/18/2020-03091.html https://regulations.justia.com/regulations/fedreg/2020/02/18/2020-03091.html Tue, 18 Feb 2020 00:00:00 -0800 2020-03091 Notice https://www.govinfo.gov/content/pkg/FR-2020-02-18/pdf/2020-03091.pdf Notice - Self-Regulatory Organizations; Cboe BYX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the BYX Fee Schedule To Correct an Inadvertent Drafting Error Introduced in a Previous Rule Filing https://regulations.justia.com/regulations/fedreg/2020/02/18/2020-03090.html https://regulations.justia.com/regulations/fedreg/2020/02/18/2020-03090.html Tue, 18 Feb 2020 00:00:00 -0800 2020-03090 Notice https://www.govinfo.gov/content/pkg/FR-2020-02-18/pdf/2020-03090.pdf Notice - Self-Regulatory Organizations; Cboe BZX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Its Fee Schedule https://regulations.justia.com/regulations/fedreg/2020/02/18/2020-03089.html https://regulations.justia.com/regulations/fedreg/2020/02/18/2020-03089.html Tue, 18 Feb 2020 00:00:00 -0800 2020-03089 Notice https://www.govinfo.gov/content/pkg/FR-2020-02-18/pdf/2020-03089.pdf Notice - Self-Regulatory Organizations; Cboe Futures Exchange, LLC; Notice of Filing of a Proposed Rule Change Regarding Quoting Functionality https://regulations.justia.com/regulations/fedreg/2020/02/18/2020-03088.html https://regulations.justia.com/regulations/fedreg/2020/02/18/2020-03088.html Tue, 18 Feb 2020 00:00:00 -0800 2020-03088 Notice https://www.govinfo.gov/content/pkg/FR-2020-02-18/pdf/2020-03088.pdf Notice - Self-Regulatory Organizations; The Depository Trust Company; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Transition the Application Used for Participant Access to the Imaging Function Relating to Deposited Certificates From a Non-Web-Based Application to a Web-Based Application https://regulations.justia.com/regulations/fedreg/2020/02/18/2020-03087.html https://regulations.justia.com/regulations/fedreg/2020/02/18/2020-03087.html Tue, 18 Feb 2020 00:00:00 -0800 2020-03087 Notice https://www.govinfo.gov/content/pkg/FR-2020-02-18/pdf/2020-03087.pdf Notice - Self-Regulatory Organizations; National Securities Clearing Corporation; Notice of No Objection To Advance Notice To Enhance National Securities Clearing Corporation's Haircut-Based Volatility Charge Applicable to Municipal Bonds https://regulations.justia.com/regulations/fedreg/2020/02/18/2020-03055.html https://regulations.justia.com/regulations/fedreg/2020/02/18/2020-03055.html Tue, 18 Feb 2020 00:00:00 -0800 2020-03055 Notice https://www.govinfo.gov/content/pkg/FR-2020-02-18/pdf/2020-03055.pdf Notice - Sunshine Act Meetings https://regulations.justia.com/regulations/fedreg/2020/02/14/2020-03116.html https://regulations.justia.com/regulations/fedreg/2020/02/14/2020-03116.html Fri, 14 Feb 2020 00:00:00 -0800 2020-03116 Notice https://www.govinfo.gov/content/pkg/FR-2020-02-14/pdf/2020-03116.pdf Notice - Self-Regulatory Organizations; Cboe EDGX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Adopt the Dark Routing Technique Routing Option; To Eliminate References to the ROUD, ROUE, and ROUQ Routing Options; and To Reflect Additional Routing Strategies for Which the Exchange May Route Orders With a Short Sale Instruction https://regulations.justia.com/regulations/fedreg/2020/02/13/2020-02838.html https://regulations.justia.com/regulations/fedreg/2020/02/13/2020-02838.html Thu, 13 Feb 2020 00:00:00 -0800 2020-02838 Notice https://www.govinfo.gov/content/pkg/FR-2020-02-13/pdf/2020-02838.pdf Notice - Self-Regulatory Organizations; National Securities Clearing Corporation; Notice of No Objection to Advance Notice To Issue Term Debt as Part of Its Liquidity Risk Management Framework https://regulations.justia.com/regulations/fedreg/2020/02/12/2020-02790.html https://regulations.justia.com/regulations/fedreg/2020/02/12/2020-02790.html Wed, 12 Feb 2020 00:00:00 -0800 2020-02790 Notice https://www.govinfo.gov/content/pkg/FR-2020-02-12/pdf/2020-02790.pdf Notice - Submission for OMB Review; Comment Request https://regulations.justia.com/regulations/fedreg/2020/02/12/2020-02782.html https://regulations.justia.com/regulations/fedreg/2020/02/12/2020-02782.html Wed, 12 Feb 2020 00:00:00 -0800 2020-02782 Notice https://www.govinfo.gov/content/pkg/FR-2020-02-12/pdf/2020-02782.pdf Notice - Submission for OMB Review; Comment Request https://regulations.justia.com/regulations/fedreg/2020/02/12/2020-02781.html https://regulations.justia.com/regulations/fedreg/2020/02/12/2020-02781.html Wed, 12 Feb 2020 00:00:00 -0800 2020-02781 Notice https://www.govinfo.gov/content/pkg/FR-2020-02-12/pdf/2020-02781.pdf Notice - Proposed Collection; Comment Request https://regulations.justia.com/regulations/fedreg/2020/02/12/2020-02780.html https://regulations.justia.com/regulations/fedreg/2020/02/12/2020-02780.html Wed, 12 Feb 2020 00:00:00 -0800 2020-02780 Notice https://www.govinfo.gov/content/pkg/FR-2020-02-12/pdf/2020-02780.pdf Notice - Proposed Collection; Comment Request https://regulations.justia.com/regulations/fedreg/2020/02/12/2020-02779.html https://regulations.justia.com/regulations/fedreg/2020/02/12/2020-02779.html Wed, 12 Feb 2020 00:00:00 -0800 2020-02779 Notice https://www.govinfo.gov/content/pkg/FR-2020-02-12/pdf/2020-02779.pdf Notice - Proposed Collection; Comment Request https://regulations.justia.com/regulations/fedreg/2020/02/12/2020-02778.html https://regulations.justia.com/regulations/fedreg/2020/02/12/2020-02778.html Wed, 12 Feb 2020 00:00:00 -0800 2020-02778 Notice https://www.govinfo.gov/content/pkg/FR-2020-02-12/pdf/2020-02778.pdf Notice - Self-Regulatory Organizations; MIAX PEARL, LLC; Notice of Filing of a Proposed Rule Change To Adopt Rules Governing the Trading of Equity Securities https://regulations.justia.com/regulations/fedreg/2020/02/12/2020-02750.html https://regulations.justia.com/regulations/fedreg/2020/02/12/2020-02750.html Wed, 12 Feb 2020 00:00:00 -0800 2020-02750 Notice https://www.govinfo.gov/content/pkg/FR-2020-02-12/pdf/2020-02750.pdf Notice - Self-Regulatory Organizations; Investors Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Related to Fees Pursuant to Rule 15.110 https://regulations.justia.com/regulations/fedreg/2020/02/12/2020-02749.html https://regulations.justia.com/regulations/fedreg/2020/02/12/2020-02749.html Wed, 12 Feb 2020 00:00:00 -0800 2020-02749 Notice https://www.govinfo.gov/content/pkg/FR-2020-02-12/pdf/2020-02749.pdf Notice - Self-Regulatory Organizations; ICE Clear Europe Limited; Order Approving Proposed Rule Change Relating to the ICE Clear Europe Collateral and Haircut Policy and Collateral and Haircut Procedures https://regulations.justia.com/regulations/fedreg/2020/02/12/2020-02748.html https://regulations.justia.com/regulations/fedreg/2020/02/12/2020-02748.html Wed, 12 Feb 2020 00:00:00 -0800 2020-02748 Notice https://www.govinfo.gov/content/pkg/FR-2020-02-12/pdf/2020-02748.pdf Notice - Self-Regulatory Organizations; Long-Term Stock Exchange, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to the Initial Listing Fee and Annual Listing Fee https://regulations.justia.com/regulations/fedreg/2020/02/12/2020-02747.html https://regulations.justia.com/regulations/fedreg/2020/02/12/2020-02747.html Wed, 12 Feb 2020 00:00:00 -0800 2020-02747 Notice https://www.govinfo.gov/content/pkg/FR-2020-02-12/pdf/2020-02747.pdf Notice - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Eliminate Transaction Credits and Trade Reporting Fees Applicable to Retail Participants That Use the FINRA/Nasdaq Trade Reporting Facility https://regulations.justia.com/regulations/fedreg/2020/02/12/2020-02746.html https://regulations.justia.com/regulations/fedreg/2020/02/12/2020-02746.html Wed, 12 Feb 2020 00:00:00 -0800 2020-02746 Notice https://www.govinfo.gov/content/pkg/FR-2020-02-12/pdf/2020-02746.pdf Notice - Proposed Collection; Comment Request; 30 Day Notice-Submission for OMB Review; Comment Request; Extension: Rule 22e-4 (30 Day Notice 2019) https://regulations.justia.com/regulations/fedreg/2020/02/12/2020-02733.html https://regulations.justia.com/regulations/fedreg/2020/02/12/2020-02733.html Wed, 12 Feb 2020 00:00:00 -0800 2020-02733 Notice https://www.govinfo.gov/content/pkg/FR-2020-02-12/pdf/2020-02733.pdf Notice - Securities Act of 1933, Release No. 10753/February 6, 2020; Securities Exchange Act of 1934, Release No. 88137/February 6, 2020; Order Regarding Review of FASB Accounting Support Fee for 2020 Under Section 109 of The Sarbanes-Oxley Act of 2002 https://regulations.justia.com/regulations/fedreg/2020/02/11/2020-02678.html https://regulations.justia.com/regulations/fedreg/2020/02/11/2020-02678.html Tue, 11 Feb 2020 00:00:00 -0800 2020-02678 Notice https://www.govinfo.gov/content/pkg/FR-2020-02-11/pdf/2020-02678.pdf Notice - Joint Industry Plan; Notice of Filing and Immediate Effectiveness of Amendment to the Plan To Address Extraordinary Market Volatility To Add the Long-Term Stock Exchange LLC as a Participant https://regulations.justia.com/regulations/fedreg/2020/02/11/2020-02633.html https://regulations.justia.com/regulations/fedreg/2020/02/11/2020-02633.html Tue, 11 Feb 2020 00:00:00 -0800 2020-02633 Notice https://www.govinfo.gov/content/pkg/FR-2020-02-11/pdf/2020-02633.pdf Notice - Self-Regulatory Organizations; NYSE American LLC; Notice of Filing of Amendment No. 1 and Order Granting Accelerated Approval of a Proposed Rule Change, as Modified by Amendment No. 1, To Allow Certain Flexible Equity Options To Be Cash Settled https://regulations.justia.com/regulations/fedreg/2020/02/11/2020-02631.html https://regulations.justia.com/regulations/fedreg/2020/02/11/2020-02631.html Tue, 11 Feb 2020 00:00:00 -0800 2020-02631 Notice https://www.govinfo.gov/content/pkg/FR-2020-02-11/pdf/2020-02631.pdf Notice - Self-Regulatory Organizations; The Options Clearing Corporation; Notice of Filing of Advance Notice Concerning a Master Repurchase Agreement as Part of OCC's Overall Liquidity Plan https://regulations.justia.com/regulations/fedreg/2020/02/11/2020-02622.html https://regulations.justia.com/regulations/fedreg/2020/02/11/2020-02622.html Tue, 11 Feb 2020 00:00:00 -0800 2020-02622 Notice https://www.govinfo.gov/content/pkg/FR-2020-02-11/pdf/2020-02622.pdf Notice - Sunshine Act Meetings https://regulations.justia.com/regulations/fedreg/2020/02/10/2020-02649.html https://regulations.justia.com/regulations/fedreg/2020/02/10/2020-02649.html Mon, 10 Feb 2020 00:00:00 -0800 2020-02649 Notice https://www.govinfo.gov/content/pkg/FR-2020-02-10/pdf/2020-02649.pdf Notice - Self-Regulatory Organizations; NYSE National, Inc.; Notice of Withdrawal of a Proposed Rule Change To Establish Fees for the NYSE National Integrated Feed https://regulations.justia.com/regulations/fedreg/2020/02/10/2020-02523.html https://regulations.justia.com/regulations/fedreg/2020/02/10/2020-02523.html Mon, 10 Feb 2020 00:00:00 -0800 2020-02523 Notice https://www.govinfo.gov/content/pkg/FR-2020-02-10/pdf/2020-02523.pdf Notice - Self-Regulatory Organizations; Cboe BYX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Adopt Rule 14.11 To Permit the Trading, Pursuant to Unlisted Trading Privileges, of Managed Portfolio Shares, Which Are Shares of Actively Managed Exchange-Traded Funds for Which the Portfolio Is Disclosed in Accordance With Standard Mutual Fund Disclosure Rules https://regulations.justia.com/regulations/fedreg/2020/02/07/2020-02417.html https://regulations.justia.com/regulations/fedreg/2020/02/07/2020-02417.html Fri, 07 Feb 2020 00:00:00 -0800 2020-02417 Notice https://www.govinfo.gov/content/pkg/FR-2020-02-07/pdf/2020-02417.pdf Notice - Self-Regulatory Organizations; Cboe EDGA Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Adopt Rule 14.11 To Permit the Trading, Pursuant to Unlisted Trading Privileges, of Managed Portfolio Shares, Which Are Shares of Actively Managed Exchange-Traded Funds for Which the Portfolio Is Disclosed in Accordance With Standard Mutual Fund Disclosure Rules https://regulations.justia.com/regulations/fedreg/2020/02/07/2020-02416.html https://regulations.justia.com/regulations/fedreg/2020/02/07/2020-02416.html Fri, 07 Feb 2020 00:00:00 -0800 2020-02416 Notice https://www.govinfo.gov/content/pkg/FR-2020-02-07/pdf/2020-02416.pdf Notice - Self-Regulatory Organizations; Cboe EDGX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Adopt Rule 14.11 To Permit the Trading, Pursuant to Unlisted Trading Privileges, of Managed Portfolio Shares, Which Are Shares of Actively Managed Exchange-Traded Funds for Which the Portfolio Is Disclosed in Accordance With Standard Mutual Fund Disclosure Rules https://regulations.justia.com/regulations/fedreg/2020/02/07/2020-02415.html https://regulations.justia.com/regulations/fedreg/2020/02/07/2020-02415.html Fri, 07 Feb 2020 00:00:00 -0800 2020-02415 Notice https://www.govinfo.gov/content/pkg/FR-2020-02-07/pdf/2020-02415.pdf Notice - Investor Advisory Committee Meeting https://regulations.justia.com/regulations/fedreg/2020/02/06/2020-02375.html https://regulations.justia.com/regulations/fedreg/2020/02/06/2020-02375.html Thu, 06 Feb 2020 00:00:00 -0800 2020-02375 Notice https://www.govinfo.gov/content/pkg/FR-2020-02-06/pdf/2020-02375.pdf Notice - Self-Regulatory Organizations; NYSE National, Inc.; Suspension of and Order Instituting Proceedings To Determine Whether To Approve or Disapprove a Proposed Rule Change To Establish Fees for the NYSE National Integrated Feed https://regulations.justia.com/regulations/fedreg/2020/02/06/2020-02280.html https://regulations.justia.com/regulations/fedreg/2020/02/06/2020-02280.html Thu, 06 Feb 2020 00:00:00 -0800 2020-02280 Notice https://www.govinfo.gov/content/pkg/FR-2020-02-06/pdf/2020-02280.pdf Notice - Self-Regulatory Organizations; Cboe BZX Exchange, Inc.; Notice of Designation of a Longer Period for Commission Action on a Proposed Rule Change, as Modified by Amendment No. 1, To List and Trade Shares of the Clearbridge Focus Value ETF Under BZX Rule 14.11(k) https://regulations.justia.com/regulations/fedreg/2020/02/06/2020-02279.html https://regulations.justia.com/regulations/fedreg/2020/02/06/2020-02279.html Thu, 06 Feb 2020 00:00:00 -0800 2020-02279 Notice https://www.govinfo.gov/content/pkg/FR-2020-02-06/pdf/2020-02279.pdf Notice - Self-Regulatory Organizations; Cboe BZX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To List and Trade Shares of the Hartford Core Bond ETF of the Hartford Funds Exchange-Traded Trust Under Rule 14.11(i), Managed Fund Shares https://regulations.justia.com/regulations/fedreg/2020/02/06/2020-02278.html https://regulations.justia.com/regulations/fedreg/2020/02/06/2020-02278.html Thu, 06 Feb 2020 00:00:00 -0800 2020-02278 Notice https://www.govinfo.gov/content/pkg/FR-2020-02-06/pdf/2020-02278.pdf Notice - Notice of Applications for Deregistration Under Section 8(f) of the Investment Company Act of 1940 https://regulations.justia.com/regulations/fedreg/2020/02/06/2020-02277.html https://regulations.justia.com/regulations/fedreg/2020/02/06/2020-02277.html Thu, 06 Feb 2020 00:00:00 -0800 2020-02277 Notice https://www.govinfo.gov/content/pkg/FR-2020-02-06/pdf/2020-02277.pdf Notice - Submission for OMB Review; Comment Request https://regulations.justia.com/regulations/fedreg/2020/02/05/2020-02234.html https://regulations.justia.com/regulations/fedreg/2020/02/05/2020-02234.html Wed, 05 Feb 2020 00:00:00 -0800 2020-02234 Notice https://www.govinfo.gov/content/pkg/FR-2020-02-05/pdf/2020-02234.pdf Notice - Proposed Collection; Comment Request https://regulations.justia.com/regulations/fedreg/2020/02/05/2020-02233.html https://regulations.justia.com/regulations/fedreg/2020/02/05/2020-02233.html Wed, 05 Feb 2020 00:00:00 -0800 2020-02233 Notice https://www.govinfo.gov/content/pkg/FR-2020-02-05/pdf/2020-02233.pdf Notice - Proposed Collection; Comment Request https://regulations.justia.com/regulations/fedreg/2020/02/05/2020-02232.html https://regulations.justia.com/regulations/fedreg/2020/02/05/2020-02232.html Wed, 05 Feb 2020 00:00:00 -0800 2020-02232 Notice https://www.govinfo.gov/content/pkg/FR-2020-02-05/pdf/2020-02232.pdf Notice - Submission for OMB Review; Comment Request https://regulations.justia.com/regulations/fedreg/2020/02/05/2020-02231.html https://regulations.justia.com/regulations/fedreg/2020/02/05/2020-02231.html Wed, 05 Feb 2020 00:00:00 -0800 2020-02231 Notice https://www.govinfo.gov/content/pkg/FR-2020-02-05/pdf/2020-02231.pdf Notice - Proposed Collection; Comment Request https://regulations.justia.com/regulations/fedreg/2020/02/05/2020-02230.html https://regulations.justia.com/regulations/fedreg/2020/02/05/2020-02230.html Wed, 05 Feb 2020 00:00:00 -0800 2020-02230 Notice https://www.govinfo.gov/content/pkg/FR-2020-02-05/pdf/2020-02230.pdf Notice - Self-Regulatory Organizations; Cboe BZX Exchange, Inc.; Notice of Filing of a Proposed Rule Change Relating To Amend Certain Rules Within Rules 4.5 Through 4.16, Which Contain the Exchange's Compliance Rule (“Compliance Rule”) Regarding the National Market System Plan Governing the Consolidated Audit Trail (the “CAT NMS Plan” or “Plan”), To Be Consistent With Certain Proposed Amendments to and Exemptions From the CAT NMS Plan as Well as To Facilitate the Retirement of Certain Existing Regulatory Systems https://regulations.justia.com/regulations/fedreg/2020/02/05/2020-02204.html https://regulations.justia.com/regulations/fedreg/2020/02/05/2020-02204.html Wed, 05 Feb 2020 00:00:00 -0800 2020-02204 Notice https://www.govinfo.gov/content/pkg/FR-2020-02-05/pdf/2020-02204.pdf Notice - Self-Regulatory Organizations; CboeBZX Exchange, Inc.; Notice of Designation of a Longer Period for Commission Action on Proceedings To Determine Whether To Approve or Disapprove a Proposed Rule Change, as Modified by Amendment No. 1, To List and Trade Shares of the iShares California Short Maturity Muni Bond ETF of the iShares U.S. ETF Trust Under Rule 14.11(i), Managed Fund Shares https://regulations.justia.com/regulations/fedreg/2020/02/05/2020-02203.html https://regulations.justia.com/regulations/fedreg/2020/02/05/2020-02203.html Wed, 05 Feb 2020 00:00:00 -0800 2020-02203 Notice https://www.govinfo.gov/content/pkg/FR-2020-02-05/pdf/2020-02203.pdf Notice - Self-Regulatory Organizations; Cboe EDGX Exchange, Inc.; Notice of Filing of a Proposed Rule Change Relating To Amend Certain Rules Within Rules 4.5 Through 4.16, Which Contains the Exchange's Compliance Rule (“Compliance Rule”) Regarding the National Market System Plan Governing the Consolidated Audit Trail (the “CAT NMS Plan” or “Plan”), To Be Consistent With Certain Proposed Amendments to and Exemptions From the CAT NMS Plan as Well as To Facilitate the Retirement of Certain Existing Regulatory Systems https://regulations.justia.com/regulations/fedreg/2020/02/05/2020-02194.html https://regulations.justia.com/regulations/fedreg/2020/02/05/2020-02194.html Wed, 05 Feb 2020 00:00:00 -0800 2020-02194 Notice https://www.govinfo.gov/content/pkg/FR-2020-02-05/pdf/2020-02194.pdf Notice - Self-Regulatory Organizations; Cboe BYX Exchange, Inc.; Notice of Filing of a Proposed Rule Change Relating To Amend Certain Rules Within Rules 4.5 Through 4.16, Which Contains the Exchange's Compliance Rule (“Compliance Rule”) Regarding the National Market System Plan Governing the Consolidated Audit Trail (the “CAT NMS Plan” or “Plan”), to be Consistent With Certain Proposed Amendments to and Exemptions From the CAT NMS Plan as Well as To Facilitate the Retirement of Certain Existing Regulatory Systems https://regulations.justia.com/regulations/fedreg/2020/02/05/2020-02193.html https://regulations.justia.com/regulations/fedreg/2020/02/05/2020-02193.html Wed, 05 Feb 2020 00:00:00 -0800 2020-02193 Notice https://www.govinfo.gov/content/pkg/FR-2020-02-05/pdf/2020-02193.pdf Notice - Self-Regulatory Organizations; NYSE National, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Certain Grammatical or Non-Substantive Changes to the NYSE National Rule 10.8000 and Rule 10.9000 https://regulations.justia.com/regulations/fedreg/2020/02/05/2020-02192.html https://regulations.justia.com/regulations/fedreg/2020/02/05/2020-02192.html Wed, 05 Feb 2020 00:00:00 -0800 2020-02192 Notice https://www.govinfo.gov/content/pkg/FR-2020-02-05/pdf/2020-02192.pdf Notice - Self-Regulatory Organizations; BOX Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Exchange Rule 10070, Anti-Money Laundering Compliance Program, To Reflect the Financial Crimes Enforcement Network's Adoption of a Final Rule on Customer Due Diligence Requirements for Financial Institutions https://regulations.justia.com/regulations/fedreg/2020/02/05/2020-02191.html https://regulations.justia.com/regulations/fedreg/2020/02/05/2020-02191.html Wed, 05 Feb 2020 00:00:00 -0800 2020-02191 Notice https://www.govinfo.gov/content/pkg/FR-2020-02-05/pdf/2020-02191.pdf Notice - Self-Regulatory Organizations; Cboe Exchange, Inc.; Notice of Filing of a Proposed Rule Change Relating To Amend Chapter 7, Section B of the Rules, Which Contains the Exchange's Compliance Rule (“Compliance Rule”) Regarding the National Market System Plan Governing the Consolidated Audit Trail (the “CAT NMS Plan” or “Plan”), to be Consistent With Certain Proposed Amendments to and Exemptions From the CAT NMS Plan as Well as To Facilitate the Retirement of Certain Existing Regulatory Systems https://regulations.justia.com/regulations/fedreg/2020/02/05/2020-02190.html https://regulations.justia.com/regulations/fedreg/2020/02/05/2020-02190.html Wed, 05 Feb 2020 00:00:00 -0800 2020-02190 Notice https://www.govinfo.gov/content/pkg/FR-2020-02-05/pdf/2020-02190.pdf Notice - Self-Regulatory Organizations; Miami International Securities Exchange, LLC; Notice of Filing of a Proposed Rule Change To Amend MIAX Chapter XVII, Consolidated Audit Trail Compliance Rule https://regulations.justia.com/regulations/fedreg/2020/02/05/2020-02189.html https://regulations.justia.com/regulations/fedreg/2020/02/05/2020-02189.html Wed, 05 Feb 2020 00:00:00 -0800 2020-02189 Notice https://www.govinfo.gov/content/pkg/FR-2020-02-05/pdf/2020-02189.pdf Notice - Self-Regulatory Organizations; Cboe EDGA Exchange, Inc.; Notice of Filing of a Proposed Rule Change Relating To Amend Certain Rules Within Rules 4.5 Through 4.16, Which Contain the Exchange's Compliance Rule (“Compliance Rule”) Regarding the National Market System Plan Governing the Consolidated Audit Trail (the “CAT NMS Plan” or “Plan”), To Be Consistent With Certain Proposed Amendments to and Exemptions From the CAT NMS Plan as Well as To Facilitate the Retirement of Certain Existing Regulatory Systems https://regulations.justia.com/regulations/fedreg/2020/02/05/2020-02187.html https://regulations.justia.com/regulations/fedreg/2020/02/05/2020-02187.html Wed, 05 Feb 2020 00:00:00 -0800 2020-02187 Notice https://www.govinfo.gov/content/pkg/FR-2020-02-05/pdf/2020-02187.pdf Notice - Self-Regulatory Organizations; The Nasdaq Stock Market LLC; Notice of Designation of a Longer Period for Commission Action on a Proposed Rule Change To Amend Rule 5815 To Preclude Stay During Hearing Panel Review of Staff Delisting Determinations in Certain Circumstances https://regulations.justia.com/regulations/fedreg/2020/02/05/2020-02186.html https://regulations.justia.com/regulations/fedreg/2020/02/05/2020-02186.html Wed, 05 Feb 2020 00:00:00 -0800 2020-02186 Notice https://www.govinfo.gov/content/pkg/FR-2020-02-05/pdf/2020-02186.pdf Notice - Self-Regulatory Organizations; National Securities Clearing Corporation; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Enhance National Securities Clearing Corporation's Automated Customer Account Transfer Service (ACATS) Transfer Processes and Make Certain Clarifications in Rule 50 https://regulations.justia.com/regulations/fedreg/2020/02/05/2020-02185.html https://regulations.justia.com/regulations/fedreg/2020/02/05/2020-02185.html Wed, 05 Feb 2020 00:00:00 -0800 2020-02185 Notice https://www.govinfo.gov/content/pkg/FR-2020-02-05/pdf/2020-02185.pdf Notice - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Designation of Longer Period for Commission Action To Determine Whether To Approve or Disapprove a Proposed Rule Change To Amend NYSE's Rules To Add New Rule 7.19 (Pre-Trade Risk Controls) https://regulations.justia.com/regulations/fedreg/2020/02/04/2020-02052.html https://regulations.justia.com/regulations/fedreg/2020/02/04/2020-02052.html Tue, 04 Feb 2020 00:00:00 -0800 2020-02052 Notice https://www.govinfo.gov/content/pkg/FR-2020-02-04/pdf/2020-02052.pdf Notice - Self-Regulatory Organizations; The Nasdaq Stock Market LLC; Notice of Filing of Amendment No. 2 and Order Granting Accelerated Approval of a Proposed Rule Change, as Modified by Amendment No. 2, To Amend Rules 4120 and 4753 https://regulations.justia.com/regulations/fedreg/2020/02/04/2020-02051.html https://regulations.justia.com/regulations/fedreg/2020/02/04/2020-02051.html Tue, 04 Feb 2020 00:00:00 -0800 2020-02051 Notice https://www.govinfo.gov/content/pkg/FR-2020-02-04/pdf/2020-02051.pdf Notice - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Extend the Effective Date for Eliminating Computer-to-Computer Interface as a Technological Option for TRACE Reporting https://regulations.justia.com/regulations/fedreg/2020/02/04/2020-02050.html https://regulations.justia.com/regulations/fedreg/2020/02/04/2020-02050.html Tue, 04 Feb 2020 00:00:00 -0800 2020-02050 Notice https://www.govinfo.gov/content/pkg/FR-2020-02-04/pdf/2020-02050.pdf Notice - Self-Regulatory Organizations; Cboe BZX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating To Amend the Exchange's Opening Process To Allow for an Opening Auction, Similar to that Available on Cboe Exchange, Inc. (“Cboe Options”) and Cboe EDGX Exchange, Inc. (“EDGX Options”), and Make Other Conforming Changes to Rules 16.1 and 21.17 https://regulations.justia.com/regulations/fedreg/2020/02/04/2020-02049.html https://regulations.justia.com/regulations/fedreg/2020/02/04/2020-02049.html Tue, 04 Feb 2020 00:00:00 -0800 2020-02049 Notice https://www.govinfo.gov/content/pkg/FR-2020-02-04/pdf/2020-02049.pdf Notice - Self-Regulatory Organizations; Cboe BZX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Provide an Exemption to Certain Governance Requirements for Series of Managed Portfolio Shares Listed on the Exchange Pursuant to Rule 14.11(k) https://regulations.justia.com/regulations/fedreg/2020/02/04/2020-02048.html https://regulations.justia.com/regulations/fedreg/2020/02/04/2020-02048.html Tue, 04 Feb 2020 00:00:00 -0800 2020-02048 Notice https://www.govinfo.gov/content/pkg/FR-2020-02-04/pdf/2020-02048.pdf Notice - FS Energy and Power Fund and FS/EIG Advisor, LLC https://regulations.justia.com/regulations/fedreg/2020/02/04/2020-02032.html https://regulations.justia.com/regulations/fedreg/2020/02/04/2020-02032.html Tue, 04 Feb 2020 00:00:00 -0800 2020-02032 Notice https://www.govinfo.gov/content/pkg/FR-2020-02-04/pdf/2020-02032.pdf Rule - Risk Mitigation Techniques for Uncleared Security-Based Swaps https://regulations.justia.com/regulations/fedreg/2020/02/04/2019-27762.html https://regulations.justia.com/regulations/fedreg/2020/02/04/2019-27762.html Tue, 04 Feb 2020 00:00:00 -0800 2019-27762 Rule https://www.govinfo.gov/content/pkg/FR-2020-02-04/pdf/2019-27762.pdf Notice - Order Designating Certain Jurisdictions as “Listed Jurisdictions” for Purposes of Applying the Security-Based Swap Dealer De Minimis Exception of Rule 3a71-3(d) Under the Exchange Act to Certain Cross-Border Security-Based Swap Transactions https://regulations.justia.com/regulations/fedreg/2020/02/04/2019-27761.html https://regulations.justia.com/regulations/fedreg/2020/02/04/2019-27761.html Tue, 04 Feb 2020 00:00:00 -0800 2019-27761 Notice https://www.govinfo.gov/content/pkg/FR-2020-02-04/pdf/2019-27761.pdf Rule - Cross-Border Application of Certain Security-Based Swap Requirements https://regulations.justia.com/regulations/fedreg/2020/02/04/2019-27760.html https://regulations.justia.com/regulations/fedreg/2020/02/04/2019-27760.html Tue, 04 Feb 2020 00:00:00 -0800 2019-27760 Rule https://www.govinfo.gov/content/pkg/FR-2020-02-04/pdf/2019-27760.pdf Notice - Sunshine Act Meetings https://regulations.justia.com/regulations/fedreg/2020/02/03/2020-02055.html https://regulations.justia.com/regulations/fedreg/2020/02/03/2020-02055.html Mon, 03 Feb 2020 00:00:00 -0800 2020-02055 Notice https://www.govinfo.gov/content/pkg/FR-2020-02-03/pdf/2020-02055.pdf Notice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Designation of a Longer Period for Commission Action on a Proposed Rule Change To List and Trade Shares of the AdvisorShares Pure US Cannabis ETF Under NYSE Arca Rule 8.600-E https://regulations.justia.com/regulations/fedreg/2020/02/03/2020-01914.html https://regulations.justia.com/regulations/fedreg/2020/02/03/2020-01914.html Mon, 03 Feb 2020 00:00:00 -0800 2020-01914 Notice https://www.govinfo.gov/content/pkg/FR-2020-02-03/pdf/2020-01914.pdf Notice - Self-Regulatory Organizations; The Nasdaq Stock Market LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Clarify the Term “Closing Price” in Rule 5635(d)(1)(A) Relating to Shareholder Approval for Transactions Other Than Public Offerings https://regulations.justia.com/regulations/fedreg/2020/02/03/2020-01912.html https://regulations.justia.com/regulations/fedreg/2020/02/03/2020-01912.html Mon, 03 Feb 2020 00:00:00 -0800 2020-01912 Notice https://www.govinfo.gov/content/pkg/FR-2020-02-03/pdf/2020-01912.pdf Notice - Self-Regulatory Organizations; ICE Clear Credit LLC; Notice of Filing of Partial Amendment No. 2 to Proposed Rule Change Relating to Amendments to the ICC Clearing Rules To Address Non-Default Losses https://regulations.justia.com/regulations/fedreg/2020/02/03/2020-01910.html https://regulations.justia.com/regulations/fedreg/2020/02/03/2020-01910.html Mon, 03 Feb 2020 00:00:00 -0800 2020-01910 Notice https://www.govinfo.gov/content/pkg/FR-2020-02-03/pdf/2020-01910.pdf Notice - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Rule 104(f)(5) To Extend the Operative Date of the Requirements of Rules 104(f)(2) and (3) to Exchange Traded Products https://regulations.justia.com/regulations/fedreg/2020/02/03/2020-01909.html https://regulations.justia.com/regulations/fedreg/2020/02/03/2020-01909.html Mon, 03 Feb 2020 00:00:00 -0800 2020-01909 Notice https://www.govinfo.gov/content/pkg/FR-2020-02-03/pdf/2020-01909.pdf