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/2020/03?limit=200®isters=between&min-day=1&max-day=31&mode=atom2024-05-02T15:37:02-07:00Justia Inchttps://www.justia.com/Justia Regulations Trackerhttps://regulations.justia.com/images/justiafedregulations.gifCopyright 2011 Justia Inchttps://regulations.justia.com/regulations/fedreg/2020/03/31/2020-06721.htmlRule - Relief for Form ID Filers and Regulation Crowdfunding and Regulation A Issuers Related to Coronavirus Disease 2019 (COVID-19)2020-03-31T00:00:00-07:002020-03-31T00:00:00-07:002020-06721Rulehttps://www.govinfo.gov/content/pkg/FR-2020-03-31/pdf/2020-06721.pdfhttps://regulations.justia.com/regulations/fedreg/2020/03/31/2020-06621.htmlNotice - Order Granting Application by The Financial Information Forum and Security Traders Association for a Temporary Exemption Pursuant to Rule 606(c) of Regulation NMS Under the Exchange Act in Response to the Effects of COVID-192020-03-31T00:00:00-07:002020-03-31T00:00:00-07:002020-06621Noticehttps://www.govinfo.gov/content/pkg/FR-2020-03-31/pdf/2020-06621.pdfhttps://regulations.justia.com/regulations/fedreg/2020/03/31/2020-06617.htmlNotice - Self-Regulatory Organizations; National Securities Clearing Corporation; Notice of Filing of Proposed Rule Change To Enhance National Securities Clearing Corporation's Haircut-Based Volatility Charge Applicable to Illiquid Securities and UITs and Make Certain Other Changes to Procedure XV2020-03-31T00:00:00-07:002020-03-31T00:00:00-07:002020-06617Noticehttps://www.govinfo.gov/content/pkg/FR-2020-03-31/pdf/2020-06617.pdfhttps://regulations.justia.com/regulations/fedreg/2020/03/31/2020-06615.htmlNotice - Self-Regulatory Organizations; Nasdaq MRX, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Options 3, Section 8, Opening2020-03-31T00:00:00-07:002020-03-31T00:00:00-07:002020-06615Noticehttps://www.govinfo.gov/content/pkg/FR-2020-03-31/pdf/2020-06615.pdfhttps://regulations.justia.com/regulations/fedreg/2020/03/31/2020-06613.htmlNotice - Self-Regulatory Organizations; Cboe BZX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Expand the Trading Hours Applicable to Managed Portfolio Shares To Include all Trading Sessions2020-03-31T00:00:00-07:002020-03-31T00:00:00-07:002020-06613Noticehttps://www.govinfo.gov/content/pkg/FR-2020-03-31/pdf/2020-06613.pdfhttps://regulations.justia.com/regulations/fedreg/2020/03/31/2020-06612.htmlNotice - Self-Regulatory Organizations; Nasdaq PHLX LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Options 3, Section 8, Openings in Options2020-03-31T00:00:00-07:002020-03-31T00:00:00-07:002020-06612Noticehttps://www.govinfo.gov/content/pkg/FR-2020-03-31/pdf/2020-06612.pdfhttps://regulations.justia.com/regulations/fedreg/2020/03/31/2020-06611.htmlNotice - Self-Regulatory Organizations; The Depository Trust Company; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the DTC Operational Arrangements With Respect to Notices Submitted to DTC for Posting to LENS2020-03-31T00:00:00-07:002020-03-31T00:00:00-07:002020-06611Noticehttps://www.govinfo.gov/content/pkg/FR-2020-03-31/pdf/2020-06611.pdfhttps://regulations.justia.com/regulations/fedreg/2020/03/31/2020-06610.htmlNotice - Self-Regulatory Organizations; MIAX PEARL, LLC; Notice of Designation of Longer Period for Commission Action on Proposed Rule Change To Adopt Rules Governing the Trading of Equity Securities2020-03-31T00:00:00-07:002020-03-31T00:00:00-07:002020-06610Noticehttps://www.govinfo.gov/content/pkg/FR-2020-03-31/pdf/2020-06610.pdfhttps://regulations.justia.com/regulations/fedreg/2020/03/31/2020-06609.htmlNotice - Self-Regulatory Organizations; Cboe Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Update the Silexx Fee Schedule2020-03-31T00:00:00-07:002020-03-31T00:00:00-07:002020-06609Noticehttps://www.govinfo.gov/content/pkg/FR-2020-03-31/pdf/2020-06609.pdfhttps://regulations.justia.com/regulations/fedreg/2020/03/31/2020-06608.htmlNotice - Self-Regulatory Organizations; Nasdaq GEMX, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Options 3, Section 8, Opening2020-03-31T00:00:00-07:002020-03-31T00:00:00-07:002020-06608Noticehttps://www.govinfo.gov/content/pkg/FR-2020-03-31/pdf/2020-06608.pdfhttps://regulations.justia.com/regulations/fedreg/2020/03/31/2020-06598.htmlNotice - Self-Regulatory Organizations; National Securities Clearing Corporation; Notice of No Objection To Advance Notice To Enhance the Calculation of the Family-Issued Securities Charge2020-03-31T00:00:00-07:002020-03-31T00:00:00-07:002020-06598Noticehttps://www.govinfo.gov/content/pkg/FR-2020-03-31/pdf/2020-06598.pdfhttps://regulations.justia.com/regulations/fedreg/2020/03/31/2020-04799.htmlProposed Rule - Facilitating Capital Formation and Expanding Investment Opportunities by Improving Access to Capital in Private Markets2020-03-31T00:00:00-07:002020-03-31T00:00:00-07:002020-04799Proposed Rulehttps://www.govinfo.gov/content/pkg/FR-2020-03-31/pdf/2020-04799.pdfhttps://regulations.justia.com/regulations/fedreg/2020/03/30/2020-06626.htmlNotice - Sunshine Act Meetings2020-03-30T00:00:00-07:002020-03-30T00:00:00-07:002020-06626Noticehttps://www.govinfo.gov/content/pkg/FR-2020-03-30/pdf/2020-06626.pdfhttps://regulations.justia.com/regulations/fedreg/2020/03/30/2020-06570.htmlNotice - Proposed Collection; Comment Request2020-03-30T00:00:00-07:002020-03-30T00:00:00-07:002020-06570Noticehttps://www.govinfo.gov/content/pkg/FR-2020-03-30/pdf/2020-06570.pdfhttps://regulations.justia.com/regulations/fedreg/2020/03/30/2020-06519.htmlNotice - Order Under Section 206a of the Investment Advisers Act of 1940 Granting Exemptions From Specified Provisions of the Investment Advisers Act and Certain Rules Thereunder2020-03-30T00:00:00-07:002020-03-30T00:00:00-07:002020-06519Noticehttps://www.govinfo.gov/content/pkg/FR-2020-03-30/pdf/2020-06519.pdfhttps://regulations.justia.com/regulations/fedreg/2020/03/30/2020-06518.htmlNotice - Order Under Section 6(C) and Section 38(A) of the Investment Company Act of 1940 Granting Exemptions From Specified Provisions of the Investment Company Act and Certain Rules Thereunder; Commission Statement Regarding Prospectus Delivery2020-03-30T00:00:00-07:002020-03-30T00:00:00-07:002020-06518Noticehttps://www.govinfo.gov/content/pkg/FR-2020-03-30/pdf/2020-06518.pdfhttps://regulations.justia.com/regulations/fedreg/2020/03/30/2020-06517.htmlNotice - Order Under Section 36 of the Securities Exchange Act of 1934 Modifying Exemptions From the Reporting and Proxy Delivery Requirements for Public Companies2020-03-30T00:00:00-07:002020-03-30T00:00:00-07:002020-06517Noticehttps://www.govinfo.gov/content/pkg/FR-2020-03-30/pdf/2020-06517.pdfhttps://regulations.justia.com/regulations/fedreg/2020/03/27/2020-06392.htmlNotice - Investment Company Act of 1940; Order Under Sections 6(c), 12(d)(1)(J), 17(b), 17(d) and 38(a) of the Investment Company Act of 1940 and Rule 17d-1 Thereunder Granting Exemptions From Specified Provisions of the Investment Company Act and Certain Rules Thereunder2020-03-27T00:00:00-07:002020-03-27T00:00:00-07:002020-06392Noticehttps://www.govinfo.gov/content/pkg/FR-2020-03-27/pdf/2020-06392.pdfhttps://regulations.justia.com/regulations/fedreg/2020/03/27/2020-06389.htmlNotice - Self-Regulatory Organizations; Nasdaq MRX, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Related to the Removal of Obsolete Listing Rules2020-03-27T00:00:00-07:002020-03-27T00:00:00-07:002020-06389Noticehttps://www.govinfo.gov/content/pkg/FR-2020-03-27/pdf/2020-06389.pdfhttps://regulations.justia.com/regulations/fedreg/2020/03/26/2020-06489.htmlNotice - Sunshine Act Meeting; Cancellation2020-03-26T00:00:00-07:002020-03-26T00:00:00-07:002020-06489Noticehttps://www.govinfo.gov/content/pkg/FR-2020-03-26/pdf/2020-06489.pdfhttps://regulations.justia.com/regulations/fedreg/2020/03/26/2020-06391.htmlNotice - Self-Regulatory Organizations; Cboe Exchange, Inc.; Notice of Withdrawal of Proposed Rule Change To Adopt Flexible Exchange Options (“FLEX Options”) With a Contract Multiplier of One (“FLEX Micro Options”)2020-03-26T00:00:00-07:002020-03-26T00:00:00-07:002020-06391Noticehttps://www.govinfo.gov/content/pkg/FR-2020-03-26/pdf/2020-06391.pdfhttps://regulations.justia.com/regulations/fedreg/2020/03/26/2020-06390.htmlNotice - Self-Regulatory Organizations; Nasdaq PHLX LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Options 4A, Section 12, Terms of Option Contracts2020-03-26T00:00:00-07:002020-03-26T00:00:00-07:002020-06390Noticehttps://www.govinfo.gov/content/pkg/FR-2020-03-26/pdf/2020-06390.pdfhttps://regulations.justia.com/regulations/fedreg/2020/03/26/2020-06388.htmlNotice - Self-Regulatory Organizations; Nasdaq GEMX, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Related to the Removal of Obsolete Listing Rules2020-03-26T00:00:00-07:002020-03-26T00:00:00-07:002020-06388Noticehttps://www.govinfo.gov/content/pkg/FR-2020-03-26/pdf/2020-06388.pdfhttps://regulations.justia.com/regulations/fedreg/2020/03/26/2020-06386.htmlNotice - Self-Regulatory Organizations; Miami International Securities Exchange, LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Exchange Rule 100, Definitions and Exchange Rule 503, Openings on the Exchange2020-03-26T00:00:00-07:002020-03-26T00:00:00-07:002020-06386Noticehttps://www.govinfo.gov/content/pkg/FR-2020-03-26/pdf/2020-06386.pdfhttps://regulations.justia.com/regulations/fedreg/2020/03/26/2020-06385.htmlNotice - Self-Regulatory Organizations; Nasdaq ISE, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Related to the Removal of Obsolete Listing Rules2020-03-26T00:00:00-07:002020-03-26T00:00:00-07:002020-06385Noticehttps://www.govinfo.gov/content/pkg/FR-2020-03-26/pdf/2020-06385.pdfhttps://regulations.justia.com/regulations/fedreg/2020/03/26/2020-06303.htmlNotice - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Suspend Until June 30, 2020 the Application of Its Continued Listing Requirement With Respect to Global Market Capitalization2020-03-26T00:00:00-07:002020-03-26T00:00:00-07:002020-06303Noticehttps://www.govinfo.gov/content/pkg/FR-2020-03-26/pdf/2020-06303.pdfhttps://regulations.justia.com/regulations/fedreg/2020/03/26/2020-06302.htmlNotice - Self-Regulatory Organizations; Cboe BZX Exchange, Inc.; Notice of Designation of Longer Period for Commission Action on Proposed Rule Change 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 Systems2020-03-26T00:00:00-07:002020-03-26T00:00:00-07:002020-06302Noticehttps://www.govinfo.gov/content/pkg/FR-2020-03-26/pdf/2020-06302.pdfhttps://regulations.justia.com/regulations/fedreg/2020/03/26/2020-06301.htmlNotice - Self-Regulatory Organizations; Long-Term Stock Exchange; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to the Trading of Exchange Traded Products on an Unlisted Trading Privileges Basis2020-03-26T00:00:00-07:002020-03-26T00:00:00-07:002020-06301Noticehttps://www.govinfo.gov/content/pkg/FR-2020-03-26/pdf/2020-06301.pdfhttps://regulations.justia.com/regulations/fedreg/2020/03/26/2020-06300.htmlNotice - Self-Regulatory Organizations; Cboe BYX Exchange, Inc.; Notice of Designation of Longer Period for Commission Action on Proposed Rule Change 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 Systems2020-03-26T00:00:00-07:002020-03-26T00:00:00-07:002020-06300Noticehttps://www.govinfo.gov/content/pkg/FR-2020-03-26/pdf/2020-06300.pdfhttps://regulations.justia.com/regulations/fedreg/2020/03/26/2020-06299.htmlNotice - Self-Regulatory Organizations; Cboe Exchange, Inc.; Notice of Designation of Longer Period for Commission Action on 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 Systems2020-03-26T00:00:00-07:002020-03-26T00:00:00-07:002020-06299Noticehttps://www.govinfo.gov/content/pkg/FR-2020-03-26/pdf/2020-06299.pdfhttps://regulations.justia.com/regulations/fedreg/2020/03/26/2020-06298.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 Charges2020-03-26T00:00:00-07:002020-03-26T00:00:00-07:002020-06298Noticehttps://www.govinfo.gov/content/pkg/FR-2020-03-26/pdf/2020-06298.pdfhttps://regulations.justia.com/regulations/fedreg/2020/03/26/2020-06297.htmlNotice - Self-Regulatory Organizations; Nasdaq MRX, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Related to Complex Orders2020-03-26T00:00:00-07:002020-03-26T00:00:00-07:002020-06297Noticehttps://www.govinfo.gov/content/pkg/FR-2020-03-26/pdf/2020-06297.pdfhttps://regulations.justia.com/regulations/fedreg/2020/03/26/2020-06296.htmlNotice - Self-Regulatory Organizations; Nasdaq ISE, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Related to Complex Orders2020-03-26T00:00:00-07:002020-03-26T00:00:00-07:002020-06296Noticehttps://www.govinfo.gov/content/pkg/FR-2020-03-26/pdf/2020-06296.pdfhttps://regulations.justia.com/regulations/fedreg/2020/03/26/2020-06295.htmlNotice - Self-Regulatory Organizations; ICE Clear Europe Limited; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Amendments to the Finance Procedures (the “Finance Procedures”)2020-03-26T00:00:00-07:002020-03-26T00:00:00-07:002020-06295Noticehttps://www.govinfo.gov/content/pkg/FR-2020-03-26/pdf/2020-06295.pdfhttps://regulations.justia.com/regulations/fedreg/2020/03/26/2020-06292.htmlNotice - Order Under Section 17A and Section 36 of the Securities Exchange Act of 1934 Granting Exemptions From Specified Provisions of the Exchange Act and Certain Rules Thereunder2020-03-26T00:00:00-07:002020-03-26T00:00:00-07:002020-06292Noticehttps://www.govinfo.gov/content/pkg/FR-2020-03-26/pdf/2020-06292.pdfhttps://regulations.justia.com/regulations/fedreg/2020/03/26/2020-06291.htmlNotice - Self-Regulatory Organizations; Cboe Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating To Amend Rule 5.242020-03-26T00:00:00-07:002020-03-26T00:00:00-07:002020-06291Noticehttps://www.govinfo.gov/content/pkg/FR-2020-03-26/pdf/2020-06291.pdfhttps://regulations.justia.com/regulations/fedreg/2020/03/26/2020-06290.htmlNotice - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Rules 7.35A, 7.35B, and 7.35C for a Temporary Period2020-03-26T00:00:00-07:002020-03-26T00:00:00-07:002020-06290Noticehttps://www.govinfo.gov/content/pkg/FR-2020-03-26/pdf/2020-06290.pdfhttps://regulations.justia.com/regulations/fedreg/2020/03/26/2020-06289.htmlNotice - Self-Regulatory Organizations; Cboe EDGA Exchange, Inc.; Notice of Designation of Longer Period for Commission Action on Proposed Rule Change 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 Systems2020-03-26T00:00:00-07:002020-03-26T00:00:00-07:002020-06289Noticehttps://www.govinfo.gov/content/pkg/FR-2020-03-26/pdf/2020-06289.pdfhttps://regulations.justia.com/regulations/fedreg/2020/03/26/2020-06288.htmlNotice - Self-Regulatory Organizations; Cboe EDGX Exchange, Inc.; Notice of Designation of Longer Period for Commission Action on Proposed Rule Change 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 Systems2020-03-26T00:00:00-07:002020-03-26T00:00:00-07:002020-06288Noticehttps://www.govinfo.gov/content/pkg/FR-2020-03-26/pdf/2020-06288.pdfhttps://regulations.justia.com/regulations/fedreg/2020/03/26/2020-06287.htmlNotice - Self-Regulatory Organizations; Nasdaq ISE, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the Exchanges Pricing Schedule at Options 7, Section 4, Titled Complex Order Fees and Rebates2020-03-26T00:00:00-07:002020-03-26T00:00:00-07:002020-06287Noticehttps://www.govinfo.gov/content/pkg/FR-2020-03-26/pdf/2020-06287.pdfhttps://regulations.justia.com/regulations/fedreg/2020/03/26/2020-05546.htmlRule - Accelerated Filer and Large Accelerated Filer Definitions2020-03-26T00:00:00-07:002020-03-26T00:00:00-07:002020-05546Rulehttps://www.govinfo.gov/content/pkg/FR-2020-03-26/pdf/2020-05546.pdfhttps://regulations.justia.com/regulations/fedreg/2020/03/25/2020-06197.htmlNotice - Self-Regulatory Organizations; Nasdaq PHLX LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Rule 3101(b)2020-03-25T00:00:00-07:002020-03-25T00:00:00-07:002020-06197Noticehttps://www.govinfo.gov/content/pkg/FR-2020-03-25/pdf/2020-06197.pdfhttps://regulations.justia.com/regulations/fedreg/2020/03/25/2020-06192.htmlNotice - Self-Regulatory Organizations; Nasdaq BX, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Rule 4121(b)2020-03-25T00:00:00-07:002020-03-25T00:00:00-07:002020-06192Noticehttps://www.govinfo.gov/content/pkg/FR-2020-03-25/pdf/2020-06192.pdfhttps://regulations.justia.com/regulations/fedreg/2020/03/25/2020-06191.htmlNotice - Self-Regulatory Organizations; Long-Term Stock Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Amending Rule 11.280 Concerning the Resumption of Trading Following a Level 3 Market-Wide Circuit Breaker Halt2020-03-25T00:00:00-07:002020-03-25T00:00:00-07:002020-06191Noticehttps://www.govinfo.gov/content/pkg/FR-2020-03-25/pdf/2020-06191.pdfhttps://regulations.justia.com/regulations/fedreg/2020/03/25/2020-06190.htmlNotice - Self-Regulatory Organizations; Cboe Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Its Fees Schedule2020-03-25T00:00:00-07:002020-03-25T00:00:00-07:002020-06190Noticehttps://www.govinfo.gov/content/pkg/FR-2020-03-25/pdf/2020-06190.pdfhttps://regulations.justia.com/regulations/fedreg/2020/03/25/2020-06189.htmlNotice - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend FINRA Rule 6121.02 (Market-Wide Circuit Breakers in NMS Stocks)2020-03-25T00:00:00-07:002020-03-25T00:00:00-07:002020-06189Noticehttps://www.govinfo.gov/content/pkg/FR-2020-03-25/pdf/2020-06189.pdfhttps://regulations.justia.com/regulations/fedreg/2020/03/25/2020-06188.htmlNotice - Self-Regulatory Organizations; Cboe Exchange, Inc.; Notice of Filing of Amendment Nos. 1 and 2 and Order Granting Accelerated Approval of a Proposed Rule Change, as Modified by Amendment Nos. 1 and 2, Regarding Off-Floor Position Transfers2020-03-25T00:00:00-07:002020-03-25T00:00:00-07:002020-06188Noticehttps://www.govinfo.gov/content/pkg/FR-2020-03-25/pdf/2020-06188.pdfhttps://regulations.justia.com/regulations/fedreg/2020/03/25/2020-06187.htmlNotice - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing of a Proposed Rule Change to FINRA's Suitability, Non-Cash Compensation and Capital Acquisition Broker (CAB) Rules in Response to Regulation Best Interest2020-03-25T00:00:00-07:002020-03-25T00:00:00-07:002020-06187Noticehttps://www.govinfo.gov/content/pkg/FR-2020-03-25/pdf/2020-06187.pdfhttps://regulations.justia.com/regulations/fedreg/2020/03/24/2020-06119.htmlNotice - Self-Regulatory Organizations; Cboe BZX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Rule 11.18(b)(2) Concerning the Resumption of Trading Following a Level 3 Market-Wide Circuit Breaker Halt and Make Corresponding Changes to Rules 11.23(d) and 11.24(e)2020-03-24T00:00:00-07:002020-03-24T00:00:00-07:002020-06119Noticehttps://www.govinfo.gov/content/pkg/FR-2020-03-24/pdf/2020-06119.pdfhttps://regulations.justia.com/regulations/fedreg/2020/03/24/2020-06118.htmlNotice - Self-Regulatory Organizations; Investors Exchange LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend IEX Rule 11.280 Concerning the Resumption of Trading Following a Level 3 Market-Wide Circuit Breaker Halt2020-03-24T00:00:00-07:002020-03-24T00:00:00-07:002020-06118Noticehttps://www.govinfo.gov/content/pkg/FR-2020-03-24/pdf/2020-06118.pdfhttps://regulations.justia.com/regulations/fedreg/2020/03/24/2020-06117.htmlNotice - Self-Regulatory Organizations; Cboe EDGA Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Rule 11.16(b)(2) Concerning the Resumption of Trading Following a Level 3 Market-Wide Circuit Breaker Halt and Make Corresponding Changes to Rule 11.7(e)2020-03-24T00:00:00-07:002020-03-24T00:00:00-07:002020-06117Noticehttps://www.govinfo.gov/content/pkg/FR-2020-03-24/pdf/2020-06117.pdfhttps://regulations.justia.com/regulations/fedreg/2020/03/24/2020-06116.htmlNotice - Self-Regulatory Organizations; Cboe EDGX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Rule 11.16(b)(2) Concerning the Resumption of Trading Following a Level 3 Market-Wide Circuit Breaker Halt and Make Corresponding Changes to Rule 11.7(e)2020-03-24T00:00:00-07:002020-03-24T00:00:00-07:002020-06116Noticehttps://www.govinfo.gov/content/pkg/FR-2020-03-24/pdf/2020-06116.pdfhttps://regulations.justia.com/regulations/fedreg/2020/03/24/2020-06115.htmlNotice - Self-Regulatory Organizations; Cboe BYX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Rule 11.18(b)(2) Concerning the Resumption of Trading Following a Level 3 Market-Wide Circuit Breaker Halt and Make Corresponding Changes to Rule 11.23(e)2020-03-24T00:00:00-07:002020-03-24T00:00:00-07:002020-06115Noticehttps://www.govinfo.gov/content/pkg/FR-2020-03-24/pdf/2020-06115.pdfhttps://regulations.justia.com/regulations/fedreg/2020/03/24/2020-06109.htmlNotice - Proposed Collection; Comment Request2020-03-24T00:00:00-07:002020-03-24T00:00:00-07:002020-06109Noticehttps://www.govinfo.gov/content/pkg/FR-2020-03-24/pdf/2020-06109.pdfhttps://regulations.justia.com/regulations/fedreg/2020/03/24/2020-06108.htmlNotice - Proposed Collection; Comment Request2020-03-24T00:00:00-07:002020-03-24T00:00:00-07:002020-06108Noticehttps://www.govinfo.gov/content/pkg/FR-2020-03-24/pdf/2020-06108.pdfhttps://regulations.justia.com/regulations/fedreg/2020/03/24/2020-06105.htmlNotice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Rule 7.12-E Concerning the Resumption of Trading Following a Level 3 Market-Wide Circuit Breaker Halt2020-03-24T00:00:00-07:002020-03-24T00:00:00-07:002020-06105Noticehttps://www.govinfo.gov/content/pkg/FR-2020-03-24/pdf/2020-06105.pdfhttps://regulations.justia.com/regulations/fedreg/2020/03/24/2020-06104.htmlNotice - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Rule 7.35C To Provide Temporarily, Until May 15, 2020, the Exchange With Discretion To Facilitate a Trading Halt Auction Following a Market-Wide Circuit Breaker Halt if a Security Has Not Reopened by 3:30 p.m. Eastern Time2020-03-24T00:00:00-07:002020-03-24T00:00:00-07:002020-06104Noticehttps://www.govinfo.gov/content/pkg/FR-2020-03-24/pdf/2020-06104.pdfhttps://regulations.justia.com/regulations/fedreg/2020/03/24/2020-06103.htmlNotice - Self-Regulatory Organizations; NYSE National, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Rule 7.12 Concerning the Resumption of Trading Following a Level 3 Market-Wide Circuit Breaker Halt2020-03-24T00:00:00-07:002020-03-24T00:00:00-07:002020-06103Noticehttps://www.govinfo.gov/content/pkg/FR-2020-03-24/pdf/2020-06103.pdfhttps://regulations.justia.com/regulations/fedreg/2020/03/24/2020-06102.htmlNotice - Self-Regulatory Organizations; NYSE Chicago, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Rule 7.12 Concerning the Resumption of Trading Following a Level 3 Market-Wide Circuit Breaker Halt2020-03-24T00:00:00-07:002020-03-24T00:00:00-07:002020-06102Noticehttps://www.govinfo.gov/content/pkg/FR-2020-03-24/pdf/2020-06102.pdfhttps://regulations.justia.com/regulations/fedreg/2020/03/24/2020-06101.htmlNotice - Self-Regulatory Organizations; NYSE American LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Rule 7.12E Concerning the Resumption of Trading Following a Level 3 Market-Wide Circuit Breaker Halt2020-03-24T00:00:00-07:002020-03-24T00:00:00-07:002020-06101Noticehttps://www.govinfo.gov/content/pkg/FR-2020-03-24/pdf/2020-06101.pdfhttps://regulations.justia.com/regulations/fedreg/2020/03/24/2020-06100.htmlNotice - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Section 902.08 of the NYSE Listed Company Manual To Waive Initial Listing Fees and First Partial Year of Annual Listing Fees for NYSE Bonds Securities That List in Conjunction With Voluntary Delisting From a Regulated Foreign Exchange2020-03-24T00:00:00-07:002020-03-24T00:00:00-07:002020-06100Noticehttps://www.govinfo.gov/content/pkg/FR-2020-03-24/pdf/2020-06100.pdfhttps://regulations.justia.com/regulations/fedreg/2020/03/24/2020-03760.htmlProposed Rule - Market Data Infrastructure2020-03-24T00:00:00-07:002020-03-24T00:00:00-07:002020-03760Proposed Rulehttps://www.govinfo.gov/content/pkg/FR-2020-03-24/pdf/2020-03760.pdfhttps://regulations.justia.com/regulations/fedreg/2020/03/23/2020-06024.htmlNotice - Joint Industry Plan; Notice of Filing of the Twentieth Amendment to the National Market System Plan To Address Extraordinary Market Volatility by Cboe BYX Exchange, Inc., Cboe BZX Exchange, Inc., Cboe EDGA Exchange, Inc., Cboe EDGX Exchange, Inc., Chicago Stock Exchange, Inc., Financial Industry Regulatory Authority, Inc., Investors Exchange LLC, Long-Term Stock Exchange, NASDAQ BX, Inc., NASDAQ PHLX LLC, The Nasdaq Stock Market LLC, NYSE National, Inc., New York Stock Exchange LLC, NYSE American LLC, and NYSE Arca, Inc.2020-03-23T00:00:00-07:002020-03-23T00:00:00-07:002020-06024Noticehttps://www.govinfo.gov/content/pkg/FR-2020-03-23/pdf/2020-06024.pdfhttps://regulations.justia.com/regulations/fedreg/2020/03/23/2020-06007.htmlNotice - Self-Regulatory Organizations; NYSE American LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the NYSE American Options Fee Schedule2020-03-23T00:00:00-07:002020-03-23T00:00:00-07:002020-06007Noticehttps://www.govinfo.gov/content/pkg/FR-2020-03-23/pdf/2020-06007.pdfhttps://regulations.justia.com/regulations/fedreg/2020/03/23/2020-06006.htmlNotice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to the Listing and Trading of Shares of the First Trust TCW Securitized Plus ETF Under NYSE Arca Rule 8.600-E2020-03-23T00:00:00-07:002020-03-23T00:00:00-07:002020-06006Noticehttps://www.govinfo.gov/content/pkg/FR-2020-03-23/pdf/2020-06006.pdfhttps://regulations.justia.com/regulations/fedreg/2020/03/23/2020-06005.htmlNotice - Self-Regulatory Organizations; NYSE American LLC; Notice of Filing and Immediate Effectiveness of Proposed Change of a Temporary Waiver of the Co-Location Hot Hands Fee2020-03-23T00:00:00-07:002020-03-23T00:00:00-07:002020-06005Noticehttps://www.govinfo.gov/content/pkg/FR-2020-03-23/pdf/2020-06005.pdfhttps://regulations.justia.com/regulations/fedreg/2020/03/23/2020-06004.htmlNotice - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Rule 7.12 Concerning the Resumption of Trading Following a Level 3 Market-Wide Circuit Breaker Halt2020-03-23T00:00:00-07:002020-03-23T00:00:00-07:002020-06004Noticehttps://www.govinfo.gov/content/pkg/FR-2020-03-23/pdf/2020-06004.pdfhttps://regulations.justia.com/regulations/fedreg/2020/03/23/2020-06003.htmlNotice - Self-Regulatory Organizations; NYSE American LLC; Notice of Filing and Immediate Effectiveness of Proposed Change To Amend Its Price List2020-03-23T00:00:00-07:002020-03-23T00:00:00-07:002020-06003Noticehttps://www.govinfo.gov/content/pkg/FR-2020-03-23/pdf/2020-06003.pdfhttps://regulations.justia.com/regulations/fedreg/2020/03/23/2020-06002.htmlNotice - Self-Regulatory Organizations; NYSE Chicago, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change of a Temporary Waiver of the Co-Location Hot Hands Fee2020-03-23T00:00:00-07:002020-03-23T00:00:00-07:002020-06002Noticehttps://www.govinfo.gov/content/pkg/FR-2020-03-23/pdf/2020-06002.pdfhttps://regulations.justia.com/regulations/fedreg/2020/03/23/2020-06001.htmlNotice - Self-Regulatory Organizations; NYSE National, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change of a Temporary Waiver of the Co-Location Hot Hands Fee2020-03-23T00:00:00-07:002020-03-23T00:00:00-07:002020-06001Noticehttps://www.govinfo.gov/content/pkg/FR-2020-03-23/pdf/2020-06001.pdfhttps://regulations.justia.com/regulations/fedreg/2020/03/23/2020-06000.htmlNotice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change of a Temporary Waiver of the Co-Location Hot Hands Fee2020-03-23T00:00:00-07:002020-03-23T00:00:00-07:002020-06000Noticehttps://www.govinfo.gov/content/pkg/FR-2020-03-23/pdf/2020-06000.pdfhttps://regulations.justia.com/regulations/fedreg/2020/03/23/2020-05999.htmlNotice - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change of a Temporary Waiver of the Co-Location Hot Hands Fee2020-03-23T00:00:00-07:002020-03-23T00:00:00-07:002020-05999Noticehttps://www.govinfo.gov/content/pkg/FR-2020-03-23/pdf/2020-05999.pdfhttps://regulations.justia.com/regulations/fedreg/2020/03/20/2020-06012.htmlNotice - Sunshine Act Meetings2020-03-20T00:00:00-07:002020-03-20T00:00:00-07:002020-06012Noticehttps://www.govinfo.gov/content/pkg/FR-2020-03-20/pdf/2020-06012.pdfhttps://regulations.justia.com/regulations/fedreg/2020/03/20/2020-05995.htmlNotice - Sunshine Act Meeting; Cancellation2020-03-20T00:00:00-07:002020-03-20T00:00:00-07:002020-05995Noticehttps://www.govinfo.gov/content/pkg/FR-2020-03-20/pdf/2020-05995.pdfhttps://regulations.justia.com/regulations/fedreg/2020/03/20/2020-05935.htmlNotice - Order Granting Conditional Exemptive Relief, Pursuant to Section 36 and Rule 608(e) of the Securities Exchange Act of 1934, From Section 6.4(d)(ii)(C) and Appendix D Sections 4.1.6, 6.2, 8.1.1, 8.2, 9.1, 9.2, 9.4, 10.1, and 10.3 of the National Market System Plan Governing the Consolidated Audit Trail2020-03-20T00:00:00-07:002020-03-20T00:00:00-07:002020-05935Noticehttps://www.govinfo.gov/content/pkg/FR-2020-03-20/pdf/2020-05935.pdfhttps://regulations.justia.com/regulations/fedreg/2020/03/20/2020-05850.htmlNotice - Self-Regulatory Organizations; The Nasdaq Stock Market 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 Amend Rule 5815 To Preclude Stay During Hearing Panel Review of Staff Delisting Determinations in Certain Circumstances2020-03-20T00:00:00-07:002020-03-20T00:00:00-07:002020-05850Noticehttps://www.govinfo.gov/content/pkg/FR-2020-03-20/pdf/2020-05850.pdfhttps://regulations.justia.com/regulations/fedreg/2020/03/20/2020-05849.htmlNotice - Self-Regulatory Organizations; NYSE American LLC; Notice of Filing and Immediate Effectiveness of Proposed Change To Amend the NYSE American Options Fee Schedule2020-03-20T00:00:00-07:002020-03-20T00:00:00-07:002020-05849Noticehttps://www.govinfo.gov/content/pkg/FR-2020-03-20/pdf/2020-05849.pdfhttps://regulations.justia.com/regulations/fedreg/2020/03/20/2020-05843.htmlNotice - Self-Regulatory Organizations; Nasdaq PHLX LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amendments to Complex Orders2020-03-20T00:00:00-07:002020-03-20T00:00:00-07:002020-05843Noticehttps://www.govinfo.gov/content/pkg/FR-2020-03-20/pdf/2020-05843.pdfhttps://regulations.justia.com/regulations/fedreg/2020/03/20/2020-05842.htmlNotice - Self-Regulatory Organizations; Cboe BZX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating To Amend Its Fee Schedule2020-03-20T00:00:00-07:002020-03-20T00:00:00-07:002020-05842Noticehttps://www.govinfo.gov/content/pkg/FR-2020-03-20/pdf/2020-05842.pdfhttps://regulations.justia.com/regulations/fedreg/2020/03/20/2020-05840.htmlNotice - Self-Regulatory Organizations; Long-Term Stock Exchange; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Fingerprint-Based Background Checks2020-03-20T00:00:00-07:002020-03-20T00:00:00-07:002020-05840Noticehttps://www.govinfo.gov/content/pkg/FR-2020-03-20/pdf/2020-05840.pdfhttps://regulations.justia.com/regulations/fedreg/2020/03/20/2020-05828.htmlNotice - AIP Private Equity Opportunities Fund I A LP, et al.2020-03-20T00:00:00-07:002020-03-20T00:00:00-07:002020-05828Noticehttps://www.govinfo.gov/content/pkg/FR-2020-03-20/pdf/2020-05828.pdfhttps://regulations.justia.com/regulations/fedreg/2020/03/19/2020-05710.htmlNotice - Investment Advisers Act of 1940; Order Under Section 206A of the Investment Advisers Act of 1940 Granting Exemptions From Specified Provisions of the Investment Advisers Act and Certain Rules Thereunder2020-03-19T00:00:00-07:002020-03-19T00:00:00-07:002020-05710Noticehttps://www.govinfo.gov/content/pkg/FR-2020-03-19/pdf/2020-05710.pdfhttps://regulations.justia.com/regulations/fedreg/2020/03/19/2020-05706.htmlNotice - Consolidated Tape Association; Order Approving the Thirty-First Substantive Amendment to the Second Restatement of the CTA Plan Regarding Publication of Trade Reports During Race Conditions2020-03-19T00:00:00-07:002020-03-19T00:00:00-07:002020-05706Noticehttps://www.govinfo.gov/content/pkg/FR-2020-03-19/pdf/2020-05706.pdfhttps://regulations.justia.com/regulations/fedreg/2020/03/19/2020-05705.htmlNotice - Investment Company Act of 1940; Order Under Section 6(C) and Section 38(A) of the Investment Company Act of 1940 Granting Exemptions From Specified Provisions of the Investment Company Act and Certain Rules Thereunder; Commission Statement Regarding Prospectus Delivery2020-03-19T00:00:00-07:002020-03-19T00:00:00-07:002020-05705Noticehttps://www.govinfo.gov/content/pkg/FR-2020-03-19/pdf/2020-05705.pdfhttps://regulations.justia.com/regulations/fedreg/2020/03/19/2020-05704.htmlNotice - Joint Industry Plan; Order Approving 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 Basis2020-03-19T00:00:00-07:002020-03-19T00:00:00-07:002020-05704Noticehttps://www.govinfo.gov/content/pkg/FR-2020-03-19/pdf/2020-05704.pdfhttps://regulations.justia.com/regulations/fedreg/2020/03/19/2020-05703.htmlNotice - Self-Regulatory Organizations; Cboe Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Rule 5.242020-03-19T00:00:00-07:002020-03-19T00:00:00-07:002020-05703Noticehttps://www.govinfo.gov/content/pkg/FR-2020-03-19/pdf/2020-05703.pdfhttps://regulations.justia.com/regulations/fedreg/2020/03/19/2020-05697.htmlNotice - Self-Regulatory Organizations; Fixed Income Clearing Corporation; Notice of No Objection To Advance Notice To Amend the Mortgage-Backed Securities Division Stress Testing Methodology2020-03-19T00:00:00-07:002020-03-19T00:00:00-07:002020-05697Noticehttps://www.govinfo.gov/content/pkg/FR-2020-03-19/pdf/2020-05697.pdfhttps://regulations.justia.com/regulations/fedreg/2020/03/19/2020-05680.htmlNotice - Self-Regulatory Organizations; The Nasdaq Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Rule 4121 (Trading Halts Due to Extraordinary Market Volatility)2020-03-19T00:00:00-07:002020-03-19T00:00:00-07:002020-05680Noticehttps://www.govinfo.gov/content/pkg/FR-2020-03-19/pdf/2020-05680.pdfhttps://regulations.justia.com/regulations/fedreg/2020/03/19/2020-05679.htmlNotice - Self-Regulatory Organizations; The Depository Trust Company; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the DTC Fee Guide To Add Fees Relating to the Provision of Status Information for Institutional Transactions to a Matching Utility2020-03-19T00:00:00-07:002020-03-19T00:00:00-07:002020-05679Noticehttps://www.govinfo.gov/content/pkg/FR-2020-03-19/pdf/2020-05679.pdfhttps://regulations.justia.com/regulations/fedreg/2020/03/19/2020-05678.htmlNotice - Self-Regulatory Organizations; ICE Clear Credit LLC; Notice of Designation of Longer Period for Commission Action on Proposed Rule Change 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 Policy2020-03-19T00:00:00-07:002020-03-19T00:00:00-07:002020-05678Noticehttps://www.govinfo.gov/content/pkg/FR-2020-03-19/pdf/2020-05678.pdfhttps://regulations.justia.com/regulations/fedreg/2020/03/19/2020-05677.htmlNotice - Self-Regulatory Organizations; NYSE Arca, Inc.; Order Instituting Proceedings To Determine Whether To Approve or Disapprove a Proposed Rule Change To List and Trade Shares of the AdvisorShares Pure US Cannabis ETF Under NYSE Arca Rule 8.600-E2020-03-19T00:00:00-07:002020-03-19T00:00:00-07:002020-05677Noticehttps://www.govinfo.gov/content/pkg/FR-2020-03-19/pdf/2020-05677.pdfhttps://regulations.justia.com/regulations/fedreg/2020/03/19/2020-05670.htmlNotice - Daxor Corporation; Notice of Application2020-03-19T00:00:00-07:002020-03-19T00:00:00-07:002020-05670Noticehttps://www.govinfo.gov/content/pkg/FR-2020-03-19/pdf/2020-05670.pdfhttps://regulations.justia.com/regulations/fedreg/2020/03/18/2020-05562.htmlNotice - Conversus StepStone Private Markets and StepStone Conversus LLC; Notice of Application2020-03-18T00:00:00-07:002020-03-18T00:00:00-07:002020-05562Noticehttps://www.govinfo.gov/content/pkg/FR-2020-03-18/pdf/2020-05562.pdfhttps://regulations.justia.com/regulations/fedreg/2020/03/18/2020-05561.htmlNotice - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing of Proposed Rule Change To Amend its Rules To Add New Rule 7.192020-03-18T00:00:00-07:002020-03-18T00:00:00-07:002020-05561Noticehttps://www.govinfo.gov/content/pkg/FR-2020-03-18/pdf/2020-05561.pdfhttps://regulations.justia.com/regulations/fedreg/2020/03/18/2020-05560.htmlNotice - Self-Regulatory Organizations; Nasdaq PHLX LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Certain Phlx Rules To Remove References to Mini Options2020-03-18T00:00:00-07:002020-03-18T00:00:00-07:002020-05560Noticehttps://www.govinfo.gov/content/pkg/FR-2020-03-18/pdf/2020-05560.pdfhttps://regulations.justia.com/regulations/fedreg/2020/03/18/2020-05559.htmlNotice - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Extend the Transition Period for Member Organizations To Transition to the Utilization of Ports That Connect to the Exchange Using Pillar Technology2020-03-18T00:00:00-07:002020-03-18T00:00:00-07:002020-05559Noticehttps://www.govinfo.gov/content/pkg/FR-2020-03-18/pdf/2020-05559.pdfhttps://regulations.justia.com/regulations/fedreg/2020/03/18/2020-05558.htmlNotice - Self-Regulatory Organizations; Cboe Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Its Rules Related to the Automated Improvement Mechanism and Complex Automated Improvement Mechanism2020-03-18T00:00:00-07:002020-03-18T00:00:00-07:002020-05558Noticehttps://www.govinfo.gov/content/pkg/FR-2020-03-18/pdf/2020-05558.pdfhttps://regulations.justia.com/regulations/fedreg/2020/03/18/2020-05557.htmlNotice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing of Proposed Rule Change Amending Rule 7.31-E (Orders and Modifiers) Relating to How Orders Are Repriced and Make Related Changes to Rules 7.35-E, 7.36-E, and 7.38-E2020-03-18T00:00:00-07:002020-03-18T00:00:00-07:002020-05557Noticehttps://www.govinfo.gov/content/pkg/FR-2020-03-18/pdf/2020-05557.pdfhttps://regulations.justia.com/regulations/fedreg/2020/03/18/2020-05556.htmlNotice - Self-Regulatory Organizations; NYSE National, Inc.; Notice of Filing of Proposed Rule Change Amending Rule 7.31 (Orders and Modifiers) Relating to How Orders Are Repriced and Make Related Changes to Rules 7.36 and 7.382020-03-18T00:00:00-07:002020-03-18T00:00:00-07:002020-05556Noticehttps://www.govinfo.gov/content/pkg/FR-2020-03-18/pdf/2020-05556.pdfhttps://regulations.justia.com/regulations/fedreg/2020/03/18/2020-05555.htmlNotice - Self-Regulatory Organizations; NYSE Chicago, Inc.; Notice of Filing of Proposed Rule Change Amending Rule 7.31 (Orders and Modifiers) Relating to How Orders Are Repriced and Make Related Changes to Rules 7.36 and 7.382020-03-18T00:00:00-07:002020-03-18T00:00:00-07:002020-05555Noticehttps://www.govinfo.gov/content/pkg/FR-2020-03-18/pdf/2020-05555.pdfhttps://regulations.justia.com/regulations/fedreg/2020/03/18/2020-05554.htmlNotice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Designation of a Longer Period for Commission Action on a Proposed Rule Change Relating to Listing and Trading of Shares of the SPDR SSGA Responsible Reserves ESG ETF Under NYSE Arca Rule 8.600-E2020-03-18T00:00:00-07:002020-03-18T00:00:00-07:002020-05554Noticehttps://www.govinfo.gov/content/pkg/FR-2020-03-18/pdf/2020-05554.pdfhttps://regulations.justia.com/regulations/fedreg/2020/03/18/2020-05553.htmlNotice - Self-Regulatory Organizations; NYSE American LLC; Notice of Filing of Proposed Rule Change Amending Rule 7.31E (Orders and Modifiers) Relating to How Orders are Repriced and Make Related Changes to Rules 7.35E, 7.36E, and 7.38E2020-03-18T00:00:00-07:002020-03-18T00:00:00-07:002020-05553Noticehttps://www.govinfo.gov/content/pkg/FR-2020-03-18/pdf/2020-05553.pdfhttps://regulations.justia.com/regulations/fedreg/2020/03/18/2020-05552.htmlNotice - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing of Proposed Rule Change Amending Rule 7.31 (Orders and Modifiers) Relating to How Orders are Repriced and Make Related Changes to Rules 7.35, 7.36, and 7.382020-03-18T00:00:00-07:002020-03-18T00:00:00-07:002020-05552Noticehttps://www.govinfo.gov/content/pkg/FR-2020-03-18/pdf/2020-05552.pdfhttps://regulations.justia.com/regulations/fedreg/2020/03/17/2020-05479.htmlNotice - Program for Allocation of Regulatory Responsibilities Pursuant to Rule 17d-2; Order Approving and Declaring Effective a Proposed 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 PHLX 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 Rules2020-03-17T00:00:00-07:002020-03-17T00:00:00-07:002020-05479Noticehttps://www.govinfo.gov/content/pkg/FR-2020-03-17/pdf/2020-05479.pdfhttps://regulations.justia.com/regulations/fedreg/2020/03/17/2020-05377.htmlNotice - Self-Regulatory Organizations; Cboe BYX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating To Amend the Fee Schedule2020-03-17T00:00:00-07:002020-03-17T00:00:00-07:002020-05377Noticehttps://www.govinfo.gov/content/pkg/FR-2020-03-17/pdf/2020-05377.pdfhttps://regulations.justia.com/regulations/fedreg/2020/03/17/2020-05373.htmlNotice - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Withdrawal of a Proposed Rule Change To Amend Its Rules To Add New Rule 7.19 (Pre-Trade Risk Controls)2020-03-17T00:00:00-07:002020-03-17T00:00:00-07:002020-05373Noticehttps://www.govinfo.gov/content/pkg/FR-2020-03-17/pdf/2020-05373.pdfhttps://regulations.justia.com/regulations/fedreg/2020/03/17/2020-05372.htmlNotice - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Designation of a Longer Period for Commission Action on a Proposed Rule Change To Add New Rule 46B To Permit the Appointment of Regulatory Trading Officials and Amend Rules 47 and 752020-03-17T00:00:00-07:002020-03-17T00:00:00-07:002020-05372Noticehttps://www.govinfo.gov/content/pkg/FR-2020-03-17/pdf/2020-05372.pdfhttps://regulations.justia.com/regulations/fedreg/2020/03/17/2020-05371.htmlNotice - Self-Regulatory Organizations; The Nasdaq Stock Market LLC; Order Granting Approval of a Proposed Rule Change To Amend Rule 4121(b)2020-03-17T00:00:00-07:002020-03-17T00:00:00-07:002020-05371Noticehttps://www.govinfo.gov/content/pkg/FR-2020-03-17/pdf/2020-05371.pdfhttps://regulations.justia.com/regulations/fedreg/2020/03/16/2020-05502.htmlNotice - Sunshine Act Meetings2020-03-16T00:00:00-07:002020-03-16T00:00:00-07:002020-05502Noticehttps://www.govinfo.gov/content/pkg/FR-2020-03-16/pdf/2020-05502.pdfhttps://regulations.justia.com/regulations/fedreg/2020/03/16/2020-05245.htmlNotice - Guinness Atkinson Funds and Guinness Atkinson Asset Management, Inc.; Notice of Application2020-03-16T00:00:00-07:002020-03-16T00:00:00-07:002020-05245Noticehttps://www.govinfo.gov/content/pkg/FR-2020-03-16/pdf/2020-05245.pdfhttps://regulations.justia.com/regulations/fedreg/2020/03/16/2020-05243.htmlNotice - Reopening of Comment Period for Notice of Proposed Order Directing the Exchanges and the Financial Industry Regulatory Authority To Submit a New National Market System Plan Regarding Consolidated Equity Market Data2020-03-16T00:00:00-07:002020-03-16T00:00:00-07:002020-05243Noticehttps://www.govinfo.gov/content/pkg/FR-2020-03-16/pdf/2020-05243.pdfhttps://regulations.justia.com/regulations/fedreg/2020/03/16/2020-05241.htmlNotice - Self-Regulatory Organizations; ICE Clear Europe Limited; Notice of Filing and Immediate Effectiveness of Proposed Rule Changes Relating to Clearing Member Transaction Fees for Certain Equity Derivatives Contracts, Specifically the Fee Caps for the Block Only Standard and Flexible Single Stock Futures and Options (“the Contracts”)2020-03-16T00:00:00-07:002020-03-16T00:00:00-07:002020-05241Noticehttps://www.govinfo.gov/content/pkg/FR-2020-03-16/pdf/2020-05241.pdfhttps://regulations.justia.com/regulations/fedreg/2020/03/16/2020-05240.htmlNotice - 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 (“BOX”) Facility To Amend Section V., Eligible Orders Routed to an Away Exchange2020-03-16T00:00:00-07:002020-03-16T00:00:00-07:002020-05240Noticehttps://www.govinfo.gov/content/pkg/FR-2020-03-16/pdf/2020-05240.pdfhttps://regulations.justia.com/regulations/fedreg/2020/03/16/2020-05239.htmlNotice - Self-Regulatory Organizations; Cboe BZX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating To Amend its Fee Schedule2020-03-16T00:00:00-07:002020-03-16T00:00:00-07:002020-05239Noticehttps://www.govinfo.gov/content/pkg/FR-2020-03-16/pdf/2020-05239.pdfhttps://regulations.justia.com/regulations/fedreg/2020/03/16/2020-05238.htmlNotice - Self-Regulatory Organizations; MIAX PEARL, LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Chapter XVII, Consolidated Audit Trail Compliance Rule2020-03-16T00:00:00-07:002020-03-16T00:00:00-07:002020-05238Noticehttps://www.govinfo.gov/content/pkg/FR-2020-03-16/pdf/2020-05238.pdfhttps://regulations.justia.com/regulations/fedreg/2020/03/16/2020-05237.htmlNotice - Self-Regulatory Organizations; Cboe BZX Exchange, Inc.; Notice of Withdrawal of Proposed Rule Change, as Modified by Amendment No. 1, To List and Trade Shares of the Clearbridge Small Cap Value ETF Under BZX Rule 14.11(k)2020-03-16T00:00:00-07:002020-03-16T00:00:00-07:002020-05237Noticehttps://www.govinfo.gov/content/pkg/FR-2020-03-16/pdf/2020-05237.pdfhttps://regulations.justia.com/regulations/fedreg/2020/03/16/2020-05236.htmlNotice - Self-Regulatory Organizations; Cboe Exchange, Inc.; Notice of Filing of a Proposed Rule Change To Increase Position Limits for Options on Certain Exchange-Traded Funds (“ETFs”) and Indexes2020-03-16T00:00:00-07:002020-03-16T00:00:00-07:002020-05236Noticehttps://www.govinfo.gov/content/pkg/FR-2020-03-16/pdf/2020-05236.pdfhttps://regulations.justia.com/regulations/fedreg/2020/03/16/2020-05235.htmlNotice - Self-Regulatory Organizations; Miami International Securities Exchange LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Fee Schedule2020-03-16T00:00:00-07:002020-03-16T00:00:00-07:002020-05235Noticehttps://www.govinfo.gov/content/pkg/FR-2020-03-16/pdf/2020-05235.pdfhttps://regulations.justia.com/regulations/fedreg/2020/03/16/2020-05234.htmlNotice - Self-Regulatory Organizations; Cboe Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Its Rules Related to the Complex Order Auction2020-03-16T00:00:00-07:002020-03-16T00:00:00-07:002020-05234Noticehttps://www.govinfo.gov/content/pkg/FR-2020-03-16/pdf/2020-05234.pdfhttps://regulations.justia.com/regulations/fedreg/2020/03/13/2020-05267.htmlNotice - Sunshine Act Meeting; Cancellation2020-03-13T00:00:00-07:002020-03-13T00:00:00-07:002020-05267Noticehttps://www.govinfo.gov/content/pkg/FR-2020-03-13/pdf/2020-05267.pdfhttps://regulations.justia.com/regulations/fedreg/2020/03/13/2020-05105.htmlNotice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Modify the NYSE Arca Options Fee Schedule2020-03-13T00:00:00-07:002020-03-13T00:00:00-07:002020-05105Noticehttps://www.govinfo.gov/content/pkg/FR-2020-03-13/pdf/2020-05105.pdfhttps://regulations.justia.com/regulations/fedreg/2020/03/12/2020-05163.htmlNotice - Sunshine Act Meeting; Cancellation2020-03-12T00:00:00-07:002020-03-12T00:00:00-07:002020-05163Noticehttps://www.govinfo.gov/content/pkg/FR-2020-03-12/pdf/2020-05163.pdfhttps://regulations.justia.com/regulations/fedreg/2020/03/12/2020-05029.htmlNotice - 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 Bonds2020-03-12T00:00:00-07:002020-03-12T00:00:00-07:002020-05029Noticehttps://www.govinfo.gov/content/pkg/FR-2020-03-12/pdf/2020-05029.pdfhttps://regulations.justia.com/regulations/fedreg/2020/03/12/2020-05026.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 4121(b)2020-03-12T00:00:00-07:002020-03-12T00:00:00-07:002020-05026Noticehttps://www.govinfo.gov/content/pkg/FR-2020-03-12/pdf/2020-05026.pdfhttps://regulations.justia.com/regulations/fedreg/2020/03/12/2020-05025.htmlNotice - Self-Regulatory Organizations; Cboe Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating To Make Certain Non-Substantive Changes To Clean Up Its Fees Schedule2020-03-12T00:00:00-07:002020-03-12T00:00:00-07:002020-05025Noticehttps://www.govinfo.gov/content/pkg/FR-2020-03-12/pdf/2020-05025.pdfhttps://regulations.justia.com/regulations/fedreg/2020/03/11/2020-05100.htmlNotice - Sunshine Act Meeting; Cancellation2020-03-11T00:00:00-07:002020-03-11T00:00:00-07:002020-05100Noticehttps://www.govinfo.gov/content/pkg/FR-2020-03-11/pdf/2020-05100.pdfhttps://regulations.justia.com/regulations/fedreg/2020/03/11/2020-04951.htmlNotice - Proposed Collection; Comment Request2020-03-11T00:00:00-07:002020-03-11T00:00:00-07:002020-04951Noticehttps://www.govinfo.gov/content/pkg/FR-2020-03-11/pdf/2020-04951.pdfhttps://regulations.justia.com/regulations/fedreg/2020/03/11/2020-04950.htmlNotice - Proposed Collection; Comment Request2020-03-11T00:00:00-07:002020-03-11T00:00:00-07:002020-04950Noticehttps://www.govinfo.gov/content/pkg/FR-2020-03-11/pdf/2020-04950.pdfhttps://regulations.justia.com/regulations/fedreg/2020/03/11/2020-04949.htmlNotice - Submission for OMB Review; Comment Request2020-03-11T00:00:00-07:002020-03-11T00:00:00-07:002020-04949Noticehttps://www.govinfo.gov/content/pkg/FR-2020-03-11/pdf/2020-04949.pdfhttps://regulations.justia.com/regulations/fedreg/2020/03/11/2020-04948.htmlNotice - Submission for OMB Review; Comment Request2020-03-11T00:00:00-07:002020-03-11T00:00:00-07:002020-04948Noticehttps://www.govinfo.gov/content/pkg/FR-2020-03-11/pdf/2020-04948.pdfhttps://regulations.justia.com/regulations/fedreg/2020/03/11/2020-04947.htmlNotice - Submission for OMB Review; Comment Request2020-03-11T00:00:00-07:002020-03-11T00:00:00-07:002020-04947Noticehttps://www.govinfo.gov/content/pkg/FR-2020-03-11/pdf/2020-04947.pdfhttps://regulations.justia.com/regulations/fedreg/2020/03/11/2020-04946.htmlNotice - Proposed Collection; Comment Request2020-03-11T00:00:00-07:002020-03-11T00:00:00-07:002020-04946Noticehttps://www.govinfo.gov/content/pkg/FR-2020-03-11/pdf/2020-04946.pdfhttps://regulations.justia.com/regulations/fedreg/2020/03/11/2020-04945.htmlNotice - Submission for OMB Review; Comment Request2020-03-11T00:00:00-07:002020-03-11T00:00:00-07:002020-04945Noticehttps://www.govinfo.gov/content/pkg/FR-2020-03-11/pdf/2020-04945.pdfhttps://regulations.justia.com/regulations/fedreg/2020/03/11/2020-04944.htmlNotice - Proposed Collection; Comment Request2020-03-11T00:00:00-07:002020-03-11T00:00:00-07:002020-04944Noticehttps://www.govinfo.gov/content/pkg/FR-2020-03-11/pdf/2020-04944.pdfhttps://regulations.justia.com/regulations/fedreg/2020/03/11/2020-04943.htmlNotice - Proposed Collection; Comment Request2020-03-11T00:00:00-07:002020-03-11T00:00:00-07:002020-04943Noticehttps://www.govinfo.gov/content/pkg/FR-2020-03-11/pdf/2020-04943.pdfhttps://regulations.justia.com/regulations/fedreg/2020/03/11/2020-04920.htmlNotice - Self-Regulatory Organizations; ICE Clear Credit LLC; Order Approving Proposed Rule Change Relating To Revising the ICC Clearing Rules To Consider the Possibility of ICC Receiving Proceeds From Default Insurance2020-03-11T00:00:00-07:002020-03-11T00:00:00-07:002020-04920Noticehttps://www.govinfo.gov/content/pkg/FR-2020-03-11/pdf/2020-04920.pdfhttps://regulations.justia.com/regulations/fedreg/2020/03/11/2020-04913.htmlNotice - Self-Regulatory Organizations; Nasdaq BX, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Correct and Clarify Rules 4702(b)(3)(B) and 4703(d)2020-03-11T00:00:00-07:002020-03-11T00:00:00-07:002020-04913Noticehttps://www.govinfo.gov/content/pkg/FR-2020-03-11/pdf/2020-04913.pdfhttps://regulations.justia.com/regulations/fedreg/2020/03/11/2020-04912.htmlNotice - Two Sigma Investments, LP and Two Sigma Luna, LLC2020-03-11T00:00:00-07:002020-03-11T00:00:00-07:002020-04912Noticehttps://www.govinfo.gov/content/pkg/FR-2020-03-11/pdf/2020-04912.pdfhttps://regulations.justia.com/regulations/fedreg/2020/03/11/2020-04911.htmlNotice - Self-Regulatory Organizations; NYSE Chicago, Inc.; Notice of Designation of Longer Period for Commission Action on Proposed Rule Change, as Modified by Amendment No. 1, To Amend the Rule 6.6800 Series, the Exchange's Compliance Rule Regarding the National Market System Plan Governing the Consolidated Audit Trail2020-03-11T00:00:00-07:002020-03-11T00:00:00-07:002020-04911Noticehttps://www.govinfo.gov/content/pkg/FR-2020-03-11/pdf/2020-04911.pdfhttps://regulations.justia.com/regulations/fedreg/2020/03/11/2020-04910.htmlNotice - Self-Regulatory Organizations; NYSE National, Inc.; Notice of Designation of Longer Period for Commission Action on Proposed Rule Change To Amend the Rule 6.6800 Series, the Exchange's Compliance Rule Regarding the National Market System Plan Governing the Consolidated Audit Trail2020-03-11T00:00:00-07:002020-03-11T00:00:00-07:002020-04910Noticehttps://www.govinfo.gov/content/pkg/FR-2020-03-11/pdf/2020-04910.pdfhttps://regulations.justia.com/regulations/fedreg/2020/03/11/2020-04909.htmlNotice - Self-Regulatory Organizations; NYSE American LLC; Notice of Designation of Longer Period for Commission Action on Proposed Rule Change To Amend the Rule 6800 Series, the Exchange's Compliance Rule Regarding the National Market System Plan Governing the Consolidated Audit Trail2020-03-11T00:00:00-07:002020-03-11T00:00:00-07:002020-04909Noticehttps://www.govinfo.gov/content/pkg/FR-2020-03-11/pdf/2020-04909.pdfhttps://regulations.justia.com/regulations/fedreg/2020/03/11/2020-04908.htmlNotice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Designation of Longer Period for Commission Action on 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 Trail2020-03-11T00:00:00-07:002020-03-11T00:00:00-07:002020-04908Noticehttps://www.govinfo.gov/content/pkg/FR-2020-03-11/pdf/2020-04908.pdfhttps://regulations.justia.com/regulations/fedreg/2020/03/11/2020-04907.htmlNotice - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Designation of Longer Period for Commission Action on Proposed Rule Change To Amend the Rule 6800 Series, the Exchange's Compliance Rule Regarding the National Market System Plan Governing the Consolidated Audit Trail2020-03-11T00:00:00-07:002020-03-11T00:00:00-07:002020-04907Noticehttps://www.govinfo.gov/content/pkg/FR-2020-03-11/pdf/2020-04907.pdfhttps://regulations.justia.com/regulations/fedreg/2020/03/11/2020-04906.htmlNotice - Self-Regulatory Organizations; Cboe EDGX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend its Fee Schedule2020-03-11T00:00:00-07:002020-03-11T00:00:00-07:002020-04906Noticehttps://www.govinfo.gov/content/pkg/FR-2020-03-11/pdf/2020-04906.pdfhttps://regulations.justia.com/regulations/fedreg/2020/03/11/2020-04905.htmlNotice - Self-Regulatory Organizations; Cboe EDGA Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the Fee Schedule Applicable to Members and Non-Members of the Exchange Pursuant to EDGA Rules 15.1(a) and (c)2020-03-11T00:00:00-07:002020-03-11T00:00:00-07:002020-04905Noticehttps://www.govinfo.gov/content/pkg/FR-2020-03-11/pdf/2020-04905.pdfhttps://regulations.justia.com/regulations/fedreg/2020/03/11/2020-04904.htmlNotice - Self-Regulatory Organizations; Cboe EDGA 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 Instruction2020-03-11T00:00:00-07:002020-03-11T00:00:00-07:002020-04904Noticehttps://www.govinfo.gov/content/pkg/FR-2020-03-11/pdf/2020-04904.pdfhttps://regulations.justia.com/regulations/fedreg/2020/03/11/2020-04903.htmlNotice - Self-Regulatory Organizations; The Nasdaq Stock Market LLC; Notice of Designation of Longer Period for Commission Action on Proposed Rule Change To Modify the Delisting Process for Securities With a Bid Price Below $0.10 and for Securities That Have Had One or More Reverse Stock Splits With a Cumulative Ratio of 250 or More to One Over the Prior Two-Year Period2020-03-11T00:00:00-07:002020-03-11T00:00:00-07:002020-04903Noticehttps://www.govinfo.gov/content/pkg/FR-2020-03-11/pdf/2020-04903.pdfhttps://regulations.justia.com/regulations/fedreg/2020/03/11/2020-04902.htmlNotice - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Modify the Trade Reporting Fees Applicable to the FINRA/NYSE Trade Reporting Facility2020-03-11T00:00:00-07:002020-03-11T00:00:00-07:002020-04902Noticehttps://www.govinfo.gov/content/pkg/FR-2020-03-11/pdf/2020-04902.pdfhttps://regulations.justia.com/regulations/fedreg/2020/03/10/2020-04901.htmlNotice - Self-Regulatory Organizations; Cboe EDGA Exchange, Inc.; Notice of Filing of a Proposed Rule Change To Amend EDGA Rule 11.8(e), Which Describes the Handling of MidPoint Discretionary Orders Entered on the Exchange2020-03-10T00:00:00-07:002020-03-10T00:00:00-07:002020-04901Noticehttps://www.govinfo.gov/content/pkg/FR-2020-03-10/pdf/2020-04901.pdfhttps://regulations.justia.com/regulations/fedreg/2020/03/10/2020-04875.htmlNotice - Proposed Collection; Comment Request2020-03-10T00:00:00-07:002020-03-10T00:00:00-07:002020-04875Noticehttps://www.govinfo.gov/content/pkg/FR-2020-03-10/pdf/2020-04875.pdfhttps://regulations.justia.com/regulations/fedreg/2020/03/10/2020-04797.htmlNotice - Waterside Capital Corporation2020-03-10T00:00:00-07:002020-03-10T00:00:00-07:002020-04797Noticehttps://www.govinfo.gov/content/pkg/FR-2020-03-10/pdf/2020-04797.pdfhttps://regulations.justia.com/regulations/fedreg/2020/03/10/2020-04790.htmlNotice - Self-Regulatory Organizations; The Nasdaq Stock Market LLC; Order Instituting Proceedings To Determine Whether To Approve or Disapprove a Proposed Rule Change To Adopt a New Rule Concerning Nasdaq's Ability To Request Information From a Listed Company Regarding the Number of Unrestricted Publicly Held Shares in Certain Circumstances and Halt Trading in the Company's Security Upon the Request, and in Certain Circumstances Request a Plan To Increase the Number of Unrestricted Publicly Held Shares to an Amount That Is Higher Than the Applicable Publicly Held Shares Requirement2020-03-10T00:00:00-07:002020-03-10T00:00:00-07:002020-04790Noticehttps://www.govinfo.gov/content/pkg/FR-2020-03-10/pdf/2020-04790.pdfhttps://regulations.justia.com/regulations/fedreg/2020/03/10/2020-04788.htmlNotice - Self-Regulatory Organizations; The Nasdaq Stock Market LLC; Notice of Filing of Proposed Rule Change To Amend Rules 4702(b)(14) and (b)(15) To Shorten the Holding Period Requirements for Midpoint Extended Life Orders and Midpoint Extended Life Orders Plus Continuous Book2020-03-10T00:00:00-07:002020-03-10T00:00:00-07:002020-04788Noticehttps://www.govinfo.gov/content/pkg/FR-2020-03-10/pdf/2020-04788.pdfhttps://regulations.justia.com/regulations/fedreg/2020/03/10/2020-04787.htmlNotice - Self-Regulatory Organizations; New York Stock Exchange LLC; NYSE National, Inc.; NYSE Arca, Inc.; NYSE American LLC; Notice of Designation of 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 Amend the Exchanges' Co-Location Services To Offer Co-Location Users Access to the NMS Network2020-03-10T00:00:00-07:002020-03-10T00:00:00-07:002020-04787Noticehttps://www.govinfo.gov/content/pkg/FR-2020-03-10/pdf/2020-04787.pdfhttps://regulations.justia.com/regulations/fedreg/2020/03/10/2020-04571.htmlRule - Exemptions From Investment Adviser Registration for Advisers to Certain Rural Business Investment Companies2020-03-10T00:00:00-07:002020-03-10T00:00:00-07:002020-04571Rulehttps://www.govinfo.gov/content/pkg/FR-2020-03-10/pdf/2020-04571.pdfhttps://regulations.justia.com/regulations/fedreg/2020/03/09/2020-04863.htmlNotice - Sunshine Act Meetings2020-03-09T00:00:00-07:002020-03-09T00:00:00-07:002020-04863Noticehttps://www.govinfo.gov/content/pkg/FR-2020-03-09/pdf/2020-04863.pdfhttps://regulations.justia.com/regulations/fedreg/2020/03/09/2020-04771.htmlNotice - Self-Regulatory Organizations; The Options Clearing Corporation; Notice of No Objection to Advance Notice Concerning a Master Repurchase Agreement as Part of OCC's Overall Liquidity Plan2020-03-09T00:00:00-07:002020-03-09T00:00:00-07:002020-04771Noticehttps://www.govinfo.gov/content/pkg/FR-2020-03-09/pdf/2020-04771.pdfhttps://regulations.justia.com/regulations/fedreg/2020/03/09/2020-04763.htmlNotice - Order Under Section 36 of the Securities Exchange Act of 1934 Granting Exemptions From Specified Provisions of the Exchange Act and Certain Rules Thereunder2020-03-09T00:00:00-07:002020-03-09T00:00:00-07:002020-04763Noticehttps://www.govinfo.gov/content/pkg/FR-2020-03-09/pdf/2020-04763.pdfhttps://regulations.justia.com/regulations/fedreg/2020/03/09/2020-04678.htmlNotice - Self-Regulatory Organizations; Investors Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend IEX Rules 2.220(a)(7) and 11.410(a) To Include the Long-Term Stock Exchange, Inc. (LTSE) in the List of Away Trading Centers to Which the Exchange Routes and the Market Data Sources the Exchange Will Use To Determine LTSE's Top of Book Quotation2020-03-09T00:00:00-07:002020-03-09T00:00:00-07:002020-04678Noticehttps://www.govinfo.gov/content/pkg/FR-2020-03-09/pdf/2020-04678.pdfhttps://regulations.justia.com/regulations/fedreg/2020/03/09/2020-04677.htmlNotice - Self-Regulatory Organizations; Cboe Exchange, Inc.; Notice of Filing of a Proposed Rule Change Relating To Adopt a Delta-Adjusted at Close (DAC) Order Instruction That a User May Apply to an Order When Entering it Into the System for Execution in an Electronic or Open Outcry Auction2020-03-09T00:00:00-07:002020-03-09T00:00:00-07:002020-04677Noticehttps://www.govinfo.gov/content/pkg/FR-2020-03-09/pdf/2020-04677.pdfhttps://regulations.justia.com/regulations/fedreg/2020/03/06/2020-04752.htmlNotice - Sunshine Act Meetings2020-03-06T00:00:00-08:002020-03-06T00:00:00-08:002020-04752Noticehttps://www.govinfo.gov/content/pkg/FR-2020-03-06/pdf/2020-04752.pdfhttps://regulations.justia.com/regulations/fedreg/2020/03/06/2020-04717.htmlNotice - Sunshine Act Meeting; Cancellation2020-03-06T00:00:00-08:002020-03-06T00:00:00-08:002020-04717Noticehttps://www.govinfo.gov/content/pkg/FR-2020-03-06/pdf/2020-04717.pdfhttps://regulations.justia.com/regulations/fedreg/2020/03/06/2020-04576.htmlNotice - Self-Regulatory Organizations; The Options Clearing Corporation; Order Approving 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 Dates2020-03-06T00:00:00-08:002020-03-06T00:00:00-08:002020-04576Noticehttps://www.govinfo.gov/content/pkg/FR-2020-03-06/pdf/2020-04576.pdfhttps://regulations.justia.com/regulations/fedreg/2020/03/06/2020-04575.htmlNotice - Self-Regulatory Organizations; Cboe EDGX Exchange, Inc.; Notice of Filing of a Proposed Rule Change To Amend EDGX Rule 11.8(g), Which Describes the Handling of Midpoint Discretionary Orders Entered on the Exchange2020-03-06T00:00:00-08:002020-03-06T00:00:00-08:002020-04575Noticehttps://www.govinfo.gov/content/pkg/FR-2020-03-06/pdf/2020-04575.pdfhttps://regulations.justia.com/regulations/fedreg/2020/03/06/2020-04574.htmlNotice - Self-Regulatory Organizations; ICE Clear Europe Limited; Notice of Filing of Proposed Rule Change, Security-Based Swap Submission or Advance Notice Relating to the ICE Clear Europe Rules and Procedures2020-03-06T00:00:00-08:002020-03-06T00:00:00-08:002020-04574Noticehttps://www.govinfo.gov/content/pkg/FR-2020-03-06/pdf/2020-04574.pdfhttps://regulations.justia.com/regulations/fedreg/2020/03/06/2020-04573.htmlNotice - Request for Comments on Fund Names2020-03-06T00:00:00-08:002020-03-06T00:00:00-08:002020-04573Noticehttps://www.govinfo.gov/content/pkg/FR-2020-03-06/pdf/2020-04573.pdfhttps://regulations.justia.com/regulations/fedreg/2020/03/06/2020-04470.htmlNotice - Self-Regulatory Organizations; BOX Exchange LLC; Notice of Filing of Amendment No. 2 to Proposed Rule Change 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 LLC2020-03-06T00:00:00-08:002020-03-06T00:00:00-08:002020-04470Noticehttps://www.govinfo.gov/content/pkg/FR-2020-03-06/pdf/2020-04470.pdfhttps://regulations.justia.com/regulations/fedreg/2020/03/05/2020-04636.htmlNotice - Sunshine Act Meetings2020-03-05T00:00:00-08:002020-03-05T00:00:00-08:002020-04636Noticehttps://www.govinfo.gov/content/pkg/FR-2020-03-05/pdf/2020-04636.pdfhttps://regulations.justia.com/regulations/fedreg/2020/03/05/2020-04474.htmlNotice - Notice of Applications for Deregistration Under Section 8(f) of the Investment Company Act of 19402020-03-05T00:00:00-08:002020-03-05T00:00:00-08:002020-04474Noticehttps://www.govinfo.gov/content/pkg/FR-2020-03-05/pdf/2020-04474.pdfhttps://regulations.justia.com/regulations/fedreg/2020/03/05/2020-04471.htmlNotice - Self-Regulatory Organizations; The Nasdaq Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Rule 57022020-03-05T00:00:00-08:002020-03-05T00:00:00-08:002020-04471Noticehttps://www.govinfo.gov/content/pkg/FR-2020-03-05/pdf/2020-04471.pdfhttps://regulations.justia.com/regulations/fedreg/2020/03/04/2020-04392.htmlNotice - Self-Regulatory Organizations; Nasdaq GEMX, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Options 3, Section 7, “Types of Orders” To Permit the Exchange To Determine the Availability of Order Types and Time-In-Force Provisions2020-03-04T00:00:00-08:002020-03-04T00:00:00-08:002020-04392Noticehttps://www.govinfo.gov/content/pkg/FR-2020-03-04/pdf/2020-04392.pdfhttps://regulations.justia.com/regulations/fedreg/2020/03/04/2020-04391.htmlNotice - Self-Regulatory Organizations; LCH SA; Notice of Filing of Proposed Rule Change Relating to Amendments to the Wind Down Plan2020-03-04T00:00:00-08:002020-03-04T00:00:00-08:002020-04391Noticehttps://www.govinfo.gov/content/pkg/FR-2020-03-04/pdf/2020-04391.pdfhttps://regulations.justia.com/regulations/fedreg/2020/03/03/2020-04433.htmlNotice - Sunshine Act Meetings2020-03-03T00:00:00-08:002020-03-03T00:00:00-08:002020-04433Noticehttps://www.govinfo.gov/content/pkg/FR-2020-03-03/pdf/2020-04433.pdfhttps://regulations.justia.com/regulations/fedreg/2020/03/03/2020-04352.htmlNotice - Submission for OMB Review; Comment Request2020-03-03T00:00:00-08:002020-03-03T00:00:00-08:002020-04352Noticehttps://www.govinfo.gov/content/pkg/FR-2020-03-03/pdf/2020-04352.pdfhttps://regulations.justia.com/regulations/fedreg/2020/03/03/2020-04351.htmlNotice - Proposed Collection; Comment Request2020-03-03T00:00:00-08:002020-03-03T00:00:00-08:002020-04351Noticehttps://www.govinfo.gov/content/pkg/FR-2020-03-03/pdf/2020-04351.pdfhttps://regulations.justia.com/regulations/fedreg/2020/03/03/2020-04350.htmlNotice - Submission for OMB Review; Comment Request2020-03-03T00:00:00-08:002020-03-03T00:00:00-08:002020-04350Noticehttps://www.govinfo.gov/content/pkg/FR-2020-03-03/pdf/2020-04350.pdfhttps://regulations.justia.com/regulations/fedreg/2020/03/03/2020-04349.htmlNotice - Submission for OMB Review; Comment Request2020-03-03T00:00:00-08:002020-03-03T00:00:00-08:002020-04349Noticehttps://www.govinfo.gov/content/pkg/FR-2020-03-03/pdf/2020-04349.pdfhttps://regulations.justia.com/regulations/fedreg/2020/03/03/2020-04348.htmlNotice - Proposed Collection; Comment Request2020-03-03T00:00:00-08:002020-03-03T00:00:00-08:002020-04348Noticehttps://www.govinfo.gov/content/pkg/FR-2020-03-03/pdf/2020-04348.pdfhttps://regulations.justia.com/regulations/fedreg/2020/03/03/2020-04294.htmlNotice - Self-Regulatory Organizations; NYSE Arca, Inc.; Order Disapproving a Proposed Rule Change, as Modified by Amendment No. 1, To Amend NYSE Arca Rule 8.201-E (Commodity-Based Trust Shares) and To List and Trade Shares of the United States Bitcoin and Treasury Investment Trust Under NYSE Arca Rule 8.201-E2020-03-03T00:00:00-08:002020-03-03T00:00:00-08:002020-04294Noticehttps://www.govinfo.gov/content/pkg/FR-2020-03-03/pdf/2020-04294.pdfhttps://regulations.justia.com/regulations/fedreg/2020/03/03/2020-04292.htmlNotice - Self-Regulatory Organizations; Nasdaq ISE, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Options 3, Section 7 Related to Order Types and Times-in-Force Provisions2020-03-03T00:00:00-08:002020-03-03T00:00:00-08:002020-04292Noticehttps://www.govinfo.gov/content/pkg/FR-2020-03-03/pdf/2020-04292.pdfhttps://regulations.justia.com/regulations/fedreg/2020/03/03/2020-04291.htmlNotice - Self-Regulatory Organizations; Nasdaq GEMX, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Options 7, Section 3, Titled Regular Order Fees and Rebates2020-03-03T00:00:00-08:002020-03-03T00:00:00-08:002020-04291Noticehttps://www.govinfo.gov/content/pkg/FR-2020-03-03/pdf/2020-04291.pdfhttps://regulations.justia.com/regulations/fedreg/2020/03/03/2020-04290.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 72020-03-03T00:00:00-08:002020-03-03T00:00:00-08:002020-04290Noticehttps://www.govinfo.gov/content/pkg/FR-2020-03-03/pdf/2020-04290.pdfhttps://regulations.justia.com/regulations/fedreg/2020/03/03/2020-04289.htmlNotice - Self-Regulatory Organizations; Nasdaq MRX, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Options 3, Section 7 Related to Order Types and Times-in-Force Provisions2020-03-03T00:00:00-08:002020-03-03T00:00:00-08:002020-04289Noticehttps://www.govinfo.gov/content/pkg/FR-2020-03-03/pdf/2020-04289.pdfhttps://regulations.justia.com/regulations/fedreg/2020/03/03/2020-04288.htmlNotice - Self-Regulatory Organizations; The Nasdaq Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend The Nasdaq Options Market LLC (“NOM”) Rules at Options 3, Section 72020-03-03T00:00:00-08:002020-03-03T00:00:00-08:002020-04288Noticehttps://www.govinfo.gov/content/pkg/FR-2020-03-03/pdf/2020-04288.pdfhttps://regulations.justia.com/regulations/fedreg/2020/03/03/2020-04287.htmlNotice - Self-Regulatory Organizations; Nasdaq PHLX LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Options 3, Section 7 Related to Order Types and Times-in-Force Provisions2020-03-03T00:00:00-08:002020-03-03T00:00:00-08:002020-04287Noticehttps://www.govinfo.gov/content/pkg/FR-2020-03-03/pdf/2020-04287.pdfhttps://regulations.justia.com/regulations/fedreg/2020/03/03/2020-04286.htmlNotice - Self-Regulatory Organizations; Cboe Futures Exchange, LLC; Notice of Filing of Proposed Rule Change Relating To Exchange Jurisdiction2020-03-03T00:00:00-08:002020-03-03T00:00:00-08:002020-04286Noticehttps://www.govinfo.gov/content/pkg/FR-2020-03-03/pdf/2020-04286.pdfhttps://regulations.justia.com/regulations/fedreg/2020/03/03/2020-04285.htmlNotice - Self-Regulatory Organizations; Cboe BZX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Allow the Franklin Liberty International Aggregate Bond Fund To Hold Certain Instruments in a Manner That May Not Comply With the Generic Listing Requirements of Rule 14.11(i)2020-03-03T00:00:00-08:002020-03-03T00:00:00-08:002020-04285Noticehttps://www.govinfo.gov/content/pkg/FR-2020-03-03/pdf/2020-04285.pdfhttps://regulations.justia.com/regulations/fedreg/2020/03/02/2020-04296.htmlNotice - Sunshine Act Meetings2020-03-02T00:00:00-08:002020-03-02T00:00:00-08:002020-04296Noticehttps://www.govinfo.gov/content/pkg/FR-2020-03-02/pdf/2020-04296.pdfhttps://regulations.justia.com/regulations/fedreg/2020/03/02/2020-04295.htmlNotice - Sunshine Act Meetings2020-03-02T00:00:00-08:002020-03-02T00:00:00-08:002020-04295Noticehttps://www.govinfo.gov/content/pkg/FR-2020-03-02/pdf/2020-04295.pdfhttps://regulations.justia.com/regulations/fedreg/2020/03/02/2020-04187.htmlNotice - Self-Regulatory Organizations; Cboe BZX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Codify the Cancel Back Order Type and To Add That the Post Only Order Designated as Cancel Back May Remove Liquidity Pursuant to Exchange Rule 21.12020-03-02T00:00:00-08:002020-03-02T00:00:00-08:002020-04187Noticehttps://www.govinfo.gov/content/pkg/FR-2020-03-02/pdf/2020-04187.pdfhttps://regulations.justia.com/regulations/fedreg/2020/03/02/2020-04186.htmlNotice - Self-Regulatory Organizations; Fixed Income Clearing Corporation; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Adopt the Interpretive Guidance With Respect to Settlement Finality2020-03-02T00:00:00-08:002020-03-02T00:00:00-08:002020-04186Noticehttps://www.govinfo.gov/content/pkg/FR-2020-03-02/pdf/2020-04186.pdfhttps://regulations.justia.com/regulations/fedreg/2020/03/02/2020-04185.htmlNotice - Self-Regulatory Organizations; Cboe BZX Exchange, Inc.; Notice of Designation of a Longer Period for Commission Action on 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)2020-03-02T00:00:00-08:002020-03-02T00:00:00-08:002020-04185Noticehttps://www.govinfo.gov/content/pkg/FR-2020-03-02/pdf/2020-04185.pdfhttps://regulations.justia.com/regulations/fedreg/2020/03/02/2020-04184.htmlNotice - Self-Regulatory Organizations; The Nasdaq Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend General 9, Section 1, Titled General Standards2020-03-02T00:00:00-08:002020-03-02T00:00:00-08:002020-04184Noticehttps://www.govinfo.gov/content/pkg/FR-2020-03-02/pdf/2020-04184.pdfhttps://regulations.justia.com/regulations/fedreg/2020/03/02/2020-04183.htmlNotice - Self-Regulatory Organizations; Cboe Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Rules 4.13 and 5.31 Concerning the Modified Opening Auction Process2020-03-02T00:00:00-08:002020-03-02T00:00:00-08:002020-04183Noticehttps://www.govinfo.gov/content/pkg/FR-2020-03-02/pdf/2020-04183.pdfhttps://regulations.justia.com/regulations/fedreg/2020/03/02/2020-03705.htmlRule - Delegation of Authority to the General Counsel of the Commission2020-03-02T00:00:00-08:002020-03-02T00:00:00-08:002020-03705Rulehttps://www.govinfo.gov/content/pkg/FR-2020-03-02/pdf/2020-03705.pdf