<![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/2020/03?registers=between&min-day=1&max-day=31 Thu, 02 May 2024 16:30:56 -0700 Thu, 02 May 2024 16:30:56 -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/2020/03?registers=between&min-day=1&max-day=31 Rule - Relief for Form ID Filers and Regulation Crowdfunding and Regulation A Issuers Related to Coronavirus Disease 2019 (COVID-19) https://regulations.justia.com/regulations/fedreg/2020/03/31/2020-06721.html https://regulations.justia.com/regulations/fedreg/2020/03/31/2020-06721.html Tue, 31 Mar 2020 00:00:00 -0700 2020-06721 Rule https://www.govinfo.gov/content/pkg/FR-2020-03-31/pdf/2020-06721.pdf Notice - 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-19 https://regulations.justia.com/regulations/fedreg/2020/03/31/2020-06621.html https://regulations.justia.com/regulations/fedreg/2020/03/31/2020-06621.html Tue, 31 Mar 2020 00:00:00 -0700 2020-06621 Notice https://www.govinfo.gov/content/pkg/FR-2020-03-31/pdf/2020-06621.pdf Notice - 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 XV https://regulations.justia.com/regulations/fedreg/2020/03/31/2020-06617.html https://regulations.justia.com/regulations/fedreg/2020/03/31/2020-06617.html Tue, 31 Mar 2020 00:00:00 -0700 2020-06617 Notice https://www.govinfo.gov/content/pkg/FR-2020-03-31/pdf/2020-06617.pdf Notice - Self-Regulatory Organizations; Nasdaq MRX, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Options 3, Section 8, Opening https://regulations.justia.com/regulations/fedreg/2020/03/31/2020-06615.html https://regulations.justia.com/regulations/fedreg/2020/03/31/2020-06615.html Tue, 31 Mar 2020 00:00:00 -0700 2020-06615 Notice https://www.govinfo.gov/content/pkg/FR-2020-03-31/pdf/2020-06615.pdf Notice - 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 Sessions https://regulations.justia.com/regulations/fedreg/2020/03/31/2020-06613.html https://regulations.justia.com/regulations/fedreg/2020/03/31/2020-06613.html Tue, 31 Mar 2020 00:00:00 -0700 2020-06613 Notice https://www.govinfo.gov/content/pkg/FR-2020-03-31/pdf/2020-06613.pdf Notice - Self-Regulatory Organizations; Nasdaq PHLX LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Options 3, Section 8, Openings in Options https://regulations.justia.com/regulations/fedreg/2020/03/31/2020-06612.html https://regulations.justia.com/regulations/fedreg/2020/03/31/2020-06612.html Tue, 31 Mar 2020 00:00:00 -0700 2020-06612 Notice https://www.govinfo.gov/content/pkg/FR-2020-03-31/pdf/2020-06612.pdf Notice - 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 LENS https://regulations.justia.com/regulations/fedreg/2020/03/31/2020-06611.html https://regulations.justia.com/regulations/fedreg/2020/03/31/2020-06611.html Tue, 31 Mar 2020 00:00:00 -0700 2020-06611 Notice https://www.govinfo.gov/content/pkg/FR-2020-03-31/pdf/2020-06611.pdf Notice - 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 Securities https://regulations.justia.com/regulations/fedreg/2020/03/31/2020-06610.html https://regulations.justia.com/regulations/fedreg/2020/03/31/2020-06610.html Tue, 31 Mar 2020 00:00:00 -0700 2020-06610 Notice https://www.govinfo.gov/content/pkg/FR-2020-03-31/pdf/2020-06610.pdf Notice - Self-Regulatory Organizations; Cboe Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Update the Silexx Fee Schedule https://regulations.justia.com/regulations/fedreg/2020/03/31/2020-06609.html https://regulations.justia.com/regulations/fedreg/2020/03/31/2020-06609.html Tue, 31 Mar 2020 00:00:00 -0700 2020-06609 Notice https://www.govinfo.gov/content/pkg/FR-2020-03-31/pdf/2020-06609.pdf Notice - Self-Regulatory Organizations; Nasdaq GEMX, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Options 3, Section 8, Opening https://regulations.justia.com/regulations/fedreg/2020/03/31/2020-06608.html https://regulations.justia.com/regulations/fedreg/2020/03/31/2020-06608.html Tue, 31 Mar 2020 00:00:00 -0700 2020-06608 Notice https://www.govinfo.gov/content/pkg/FR-2020-03-31/pdf/2020-06608.pdf Notice - Self-Regulatory Organizations; National Securities Clearing Corporation; Notice of No Objection To Advance Notice To Enhance the Calculation of the Family-Issued Securities Charge https://regulations.justia.com/regulations/fedreg/2020/03/31/2020-06598.html https://regulations.justia.com/regulations/fedreg/2020/03/31/2020-06598.html Tue, 31 Mar 2020 00:00:00 -0700 2020-06598 Notice https://www.govinfo.gov/content/pkg/FR-2020-03-31/pdf/2020-06598.pdf Proposed Rule - Facilitating Capital Formation and Expanding Investment Opportunities by Improving Access to Capital in Private Markets https://regulations.justia.com/regulations/fedreg/2020/03/31/2020-04799.html https://regulations.justia.com/regulations/fedreg/2020/03/31/2020-04799.html Tue, 31 Mar 2020 00:00:00 -0700 2020-04799 Proposed Rule https://www.govinfo.gov/content/pkg/FR-2020-03-31/pdf/2020-04799.pdf Notice - Sunshine Act Meetings https://regulations.justia.com/regulations/fedreg/2020/03/30/2020-06626.html https://regulations.justia.com/regulations/fedreg/2020/03/30/2020-06626.html Mon, 30 Mar 2020 00:00:00 -0700 2020-06626 Notice https://www.govinfo.gov/content/pkg/FR-2020-03-30/pdf/2020-06626.pdf Notice - Proposed Collection; Comment Request https://regulations.justia.com/regulations/fedreg/2020/03/30/2020-06570.html https://regulations.justia.com/regulations/fedreg/2020/03/30/2020-06570.html Mon, 30 Mar 2020 00:00:00 -0700 2020-06570 Notice https://www.govinfo.gov/content/pkg/FR-2020-03-30/pdf/2020-06570.pdf Notice - Order Under Section 206a of the Investment Advisers Act of 1940 Granting Exemptions From Specified Provisions of the Investment Advisers Act and Certain Rules Thereunder https://regulations.justia.com/regulations/fedreg/2020/03/30/2020-06519.html https://regulations.justia.com/regulations/fedreg/2020/03/30/2020-06519.html Mon, 30 Mar 2020 00:00:00 -0700 2020-06519 Notice https://www.govinfo.gov/content/pkg/FR-2020-03-30/pdf/2020-06519.pdf Notice - 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 Delivery https://regulations.justia.com/regulations/fedreg/2020/03/30/2020-06518.html https://regulations.justia.com/regulations/fedreg/2020/03/30/2020-06518.html Mon, 30 Mar 2020 00:00:00 -0700 2020-06518 Notice https://www.govinfo.gov/content/pkg/FR-2020-03-30/pdf/2020-06518.pdf Notice - Order Under Section 36 of the Securities Exchange Act of 1934 Modifying Exemptions From the Reporting and Proxy Delivery Requirements for Public Companies https://regulations.justia.com/regulations/fedreg/2020/03/30/2020-06517.html https://regulations.justia.com/regulations/fedreg/2020/03/30/2020-06517.html Mon, 30 Mar 2020 00:00:00 -0700 2020-06517 Notice https://www.govinfo.gov/content/pkg/FR-2020-03-30/pdf/2020-06517.pdf Notice - 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 Thereunder https://regulations.justia.com/regulations/fedreg/2020/03/27/2020-06392.html https://regulations.justia.com/regulations/fedreg/2020/03/27/2020-06392.html Fri, 27 Mar 2020 00:00:00 -0700 2020-06392 Notice https://www.govinfo.gov/content/pkg/FR-2020-03-27/pdf/2020-06392.pdf Notice - Self-Regulatory Organizations; Nasdaq MRX, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Related to the Removal of Obsolete Listing Rules https://regulations.justia.com/regulations/fedreg/2020/03/27/2020-06389.html https://regulations.justia.com/regulations/fedreg/2020/03/27/2020-06389.html Fri, 27 Mar 2020 00:00:00 -0700 2020-06389 Notice https://www.govinfo.gov/content/pkg/FR-2020-03-27/pdf/2020-06389.pdf Notice - Sunshine Act Meeting; Cancellation https://regulations.justia.com/regulations/fedreg/2020/03/26/2020-06489.html https://regulations.justia.com/regulations/fedreg/2020/03/26/2020-06489.html Thu, 26 Mar 2020 00:00:00 -0700 2020-06489 Notice https://www.govinfo.gov/content/pkg/FR-2020-03-26/pdf/2020-06489.pdf Notice - 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”) https://regulations.justia.com/regulations/fedreg/2020/03/26/2020-06391.html https://regulations.justia.com/regulations/fedreg/2020/03/26/2020-06391.html Thu, 26 Mar 2020 00:00:00 -0700 2020-06391 Notice https://www.govinfo.gov/content/pkg/FR-2020-03-26/pdf/2020-06391.pdf Notice - 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 Contracts https://regulations.justia.com/regulations/fedreg/2020/03/26/2020-06390.html https://regulations.justia.com/regulations/fedreg/2020/03/26/2020-06390.html Thu, 26 Mar 2020 00:00:00 -0700 2020-06390 Notice https://www.govinfo.gov/content/pkg/FR-2020-03-26/pdf/2020-06390.pdf Notice - Self-Regulatory Organizations; Nasdaq GEMX, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Related to the Removal of Obsolete Listing Rules https://regulations.justia.com/regulations/fedreg/2020/03/26/2020-06388.html https://regulations.justia.com/regulations/fedreg/2020/03/26/2020-06388.html Thu, 26 Mar 2020 00:00:00 -0700 2020-06388 Notice https://www.govinfo.gov/content/pkg/FR-2020-03-26/pdf/2020-06388.pdf Notice - 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 Exchange https://regulations.justia.com/regulations/fedreg/2020/03/26/2020-06386.html https://regulations.justia.com/regulations/fedreg/2020/03/26/2020-06386.html Thu, 26 Mar 2020 00:00:00 -0700 2020-06386 Notice https://www.govinfo.gov/content/pkg/FR-2020-03-26/pdf/2020-06386.pdf Notice - Self-Regulatory Organizations; Nasdaq ISE, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Related to the Removal of Obsolete Listing Rules https://regulations.justia.com/regulations/fedreg/2020/03/26/2020-06385.html https://regulations.justia.com/regulations/fedreg/2020/03/26/2020-06385.html Thu, 26 Mar 2020 00:00:00 -0700 2020-06385 Notice https://www.govinfo.gov/content/pkg/FR-2020-03-26/pdf/2020-06385.pdf Notice - 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 Capitalization https://regulations.justia.com/regulations/fedreg/2020/03/26/2020-06303.html https://regulations.justia.com/regulations/fedreg/2020/03/26/2020-06303.html Thu, 26 Mar 2020 00:00:00 -0700 2020-06303 Notice https://www.govinfo.gov/content/pkg/FR-2020-03-26/pdf/2020-06303.pdf Notice - 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 Systems https://regulations.justia.com/regulations/fedreg/2020/03/26/2020-06302.html https://regulations.justia.com/regulations/fedreg/2020/03/26/2020-06302.html Thu, 26 Mar 2020 00:00:00 -0700 2020-06302 Notice https://www.govinfo.gov/content/pkg/FR-2020-03-26/pdf/2020-06302.pdf Notice - 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 Basis https://regulations.justia.com/regulations/fedreg/2020/03/26/2020-06301.html https://regulations.justia.com/regulations/fedreg/2020/03/26/2020-06301.html Thu, 26 Mar 2020 00:00:00 -0700 2020-06301 Notice https://www.govinfo.gov/content/pkg/FR-2020-03-26/pdf/2020-06301.pdf Notice - 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 Systems https://regulations.justia.com/regulations/fedreg/2020/03/26/2020-06300.html https://regulations.justia.com/regulations/fedreg/2020/03/26/2020-06300.html Thu, 26 Mar 2020 00:00:00 -0700 2020-06300 Notice https://www.govinfo.gov/content/pkg/FR-2020-03-26/pdf/2020-06300.pdf Notice - 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 Systems https://regulations.justia.com/regulations/fedreg/2020/03/26/2020-06299.html https://regulations.justia.com/regulations/fedreg/2020/03/26/2020-06299.html Thu, 26 Mar 2020 00:00:00 -0700 2020-06299 Notice https://www.govinfo.gov/content/pkg/FR-2020-03-26/pdf/2020-06299.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/2020/03/26/2020-06298.html https://regulations.justia.com/regulations/fedreg/2020/03/26/2020-06298.html Thu, 26 Mar 2020 00:00:00 -0700 2020-06298 Notice https://www.govinfo.gov/content/pkg/FR-2020-03-26/pdf/2020-06298.pdf Notice - Self-Regulatory Organizations; Nasdaq MRX, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Related to Complex Orders https://regulations.justia.com/regulations/fedreg/2020/03/26/2020-06297.html https://regulations.justia.com/regulations/fedreg/2020/03/26/2020-06297.html Thu, 26 Mar 2020 00:00:00 -0700 2020-06297 Notice https://www.govinfo.gov/content/pkg/FR-2020-03-26/pdf/2020-06297.pdf Notice - Self-Regulatory Organizations; Nasdaq ISE, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Related to Complex Orders https://regulations.justia.com/regulations/fedreg/2020/03/26/2020-06296.html https://regulations.justia.com/regulations/fedreg/2020/03/26/2020-06296.html Thu, 26 Mar 2020 00:00:00 -0700 2020-06296 Notice https://www.govinfo.gov/content/pkg/FR-2020-03-26/pdf/2020-06296.pdf Notice - 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”) https://regulations.justia.com/regulations/fedreg/2020/03/26/2020-06295.html https://regulations.justia.com/regulations/fedreg/2020/03/26/2020-06295.html Thu, 26 Mar 2020 00:00:00 -0700 2020-06295 Notice https://www.govinfo.gov/content/pkg/FR-2020-03-26/pdf/2020-06295.pdf Notice - 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 Thereunder https://regulations.justia.com/regulations/fedreg/2020/03/26/2020-06292.html https://regulations.justia.com/regulations/fedreg/2020/03/26/2020-06292.html Thu, 26 Mar 2020 00:00:00 -0700 2020-06292 Notice https://www.govinfo.gov/content/pkg/FR-2020-03-26/pdf/2020-06292.pdf Notice - Self-Regulatory Organizations; Cboe Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating To Amend Rule 5.24 https://regulations.justia.com/regulations/fedreg/2020/03/26/2020-06291.html https://regulations.justia.com/regulations/fedreg/2020/03/26/2020-06291.html Thu, 26 Mar 2020 00:00:00 -0700 2020-06291 Notice https://www.govinfo.gov/content/pkg/FR-2020-03-26/pdf/2020-06291.pdf Notice - 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 Period https://regulations.justia.com/regulations/fedreg/2020/03/26/2020-06290.html https://regulations.justia.com/regulations/fedreg/2020/03/26/2020-06290.html Thu, 26 Mar 2020 00:00:00 -0700 2020-06290 Notice https://www.govinfo.gov/content/pkg/FR-2020-03-26/pdf/2020-06290.pdf Notice - 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 Systems https://regulations.justia.com/regulations/fedreg/2020/03/26/2020-06289.html https://regulations.justia.com/regulations/fedreg/2020/03/26/2020-06289.html Thu, 26 Mar 2020 00:00:00 -0700 2020-06289 Notice https://www.govinfo.gov/content/pkg/FR-2020-03-26/pdf/2020-06289.pdf Notice - 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 Systems https://regulations.justia.com/regulations/fedreg/2020/03/26/2020-06288.html https://regulations.justia.com/regulations/fedreg/2020/03/26/2020-06288.html Thu, 26 Mar 2020 00:00:00 -0700 2020-06288 Notice https://www.govinfo.gov/content/pkg/FR-2020-03-26/pdf/2020-06288.pdf Notice - 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 Rebates https://regulations.justia.com/regulations/fedreg/2020/03/26/2020-06287.html https://regulations.justia.com/regulations/fedreg/2020/03/26/2020-06287.html Thu, 26 Mar 2020 00:00:00 -0700 2020-06287 Notice https://www.govinfo.gov/content/pkg/FR-2020-03-26/pdf/2020-06287.pdf Rule - Accelerated Filer and Large Accelerated Filer Definitions https://regulations.justia.com/regulations/fedreg/2020/03/26/2020-05546.html https://regulations.justia.com/regulations/fedreg/2020/03/26/2020-05546.html Thu, 26 Mar 2020 00:00:00 -0700 2020-05546 Rule https://www.govinfo.gov/content/pkg/FR-2020-03-26/pdf/2020-05546.pdf Notice - Self-Regulatory Organizations; Nasdaq PHLX LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Rule 3101(b) https://regulations.justia.com/regulations/fedreg/2020/03/25/2020-06197.html https://regulations.justia.com/regulations/fedreg/2020/03/25/2020-06197.html Wed, 25 Mar 2020 00:00:00 -0700 2020-06197 Notice https://www.govinfo.gov/content/pkg/FR-2020-03-25/pdf/2020-06197.pdf Notice - Self-Regulatory Organizations; Nasdaq BX, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Rule 4121(b) https://regulations.justia.com/regulations/fedreg/2020/03/25/2020-06192.html https://regulations.justia.com/regulations/fedreg/2020/03/25/2020-06192.html Wed, 25 Mar 2020 00:00:00 -0700 2020-06192 Notice https://www.govinfo.gov/content/pkg/FR-2020-03-25/pdf/2020-06192.pdf Notice - 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 Halt https://regulations.justia.com/regulations/fedreg/2020/03/25/2020-06191.html https://regulations.justia.com/regulations/fedreg/2020/03/25/2020-06191.html Wed, 25 Mar 2020 00:00:00 -0700 2020-06191 Notice https://www.govinfo.gov/content/pkg/FR-2020-03-25/pdf/2020-06191.pdf Notice - Self-Regulatory Organizations; Cboe Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Its Fees Schedule https://regulations.justia.com/regulations/fedreg/2020/03/25/2020-06190.html https://regulations.justia.com/regulations/fedreg/2020/03/25/2020-06190.html Wed, 25 Mar 2020 00:00:00 -0700 2020-06190 Notice https://www.govinfo.gov/content/pkg/FR-2020-03-25/pdf/2020-06190.pdf Notice - 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) https://regulations.justia.com/regulations/fedreg/2020/03/25/2020-06189.html https://regulations.justia.com/regulations/fedreg/2020/03/25/2020-06189.html Wed, 25 Mar 2020 00:00:00 -0700 2020-06189 Notice https://www.govinfo.gov/content/pkg/FR-2020-03-25/pdf/2020-06189.pdf Notice - 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 Transfers https://regulations.justia.com/regulations/fedreg/2020/03/25/2020-06188.html https://regulations.justia.com/regulations/fedreg/2020/03/25/2020-06188.html Wed, 25 Mar 2020 00:00:00 -0700 2020-06188 Notice https://www.govinfo.gov/content/pkg/FR-2020-03-25/pdf/2020-06188.pdf Notice - 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 Interest https://regulations.justia.com/regulations/fedreg/2020/03/25/2020-06187.html https://regulations.justia.com/regulations/fedreg/2020/03/25/2020-06187.html Wed, 25 Mar 2020 00:00:00 -0700 2020-06187 Notice https://www.govinfo.gov/content/pkg/FR-2020-03-25/pdf/2020-06187.pdf Notice - 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) https://regulations.justia.com/regulations/fedreg/2020/03/24/2020-06119.html https://regulations.justia.com/regulations/fedreg/2020/03/24/2020-06119.html Tue, 24 Mar 2020 00:00:00 -0700 2020-06119 Notice https://www.govinfo.gov/content/pkg/FR-2020-03-24/pdf/2020-06119.pdf Notice - 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 Halt https://regulations.justia.com/regulations/fedreg/2020/03/24/2020-06118.html https://regulations.justia.com/regulations/fedreg/2020/03/24/2020-06118.html Tue, 24 Mar 2020 00:00:00 -0700 2020-06118 Notice https://www.govinfo.gov/content/pkg/FR-2020-03-24/pdf/2020-06118.pdf Notice - 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) https://regulations.justia.com/regulations/fedreg/2020/03/24/2020-06117.html https://regulations.justia.com/regulations/fedreg/2020/03/24/2020-06117.html Tue, 24 Mar 2020 00:00:00 -0700 2020-06117 Notice https://www.govinfo.gov/content/pkg/FR-2020-03-24/pdf/2020-06117.pdf Notice - 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) https://regulations.justia.com/regulations/fedreg/2020/03/24/2020-06116.html https://regulations.justia.com/regulations/fedreg/2020/03/24/2020-06116.html Tue, 24 Mar 2020 00:00:00 -0700 2020-06116 Notice https://www.govinfo.gov/content/pkg/FR-2020-03-24/pdf/2020-06116.pdf Notice - 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) https://regulations.justia.com/regulations/fedreg/2020/03/24/2020-06115.html https://regulations.justia.com/regulations/fedreg/2020/03/24/2020-06115.html Tue, 24 Mar 2020 00:00:00 -0700 2020-06115 Notice https://www.govinfo.gov/content/pkg/FR-2020-03-24/pdf/2020-06115.pdf Notice - Proposed Collection; Comment Request https://regulations.justia.com/regulations/fedreg/2020/03/24/2020-06109.html https://regulations.justia.com/regulations/fedreg/2020/03/24/2020-06109.html Tue, 24 Mar 2020 00:00:00 -0700 2020-06109 Notice https://www.govinfo.gov/content/pkg/FR-2020-03-24/pdf/2020-06109.pdf Notice - Proposed Collection; Comment Request https://regulations.justia.com/regulations/fedreg/2020/03/24/2020-06108.html https://regulations.justia.com/regulations/fedreg/2020/03/24/2020-06108.html Tue, 24 Mar 2020 00:00:00 -0700 2020-06108 Notice https://www.govinfo.gov/content/pkg/FR-2020-03-24/pdf/2020-06108.pdf Notice - 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 Halt https://regulations.justia.com/regulations/fedreg/2020/03/24/2020-06105.html https://regulations.justia.com/regulations/fedreg/2020/03/24/2020-06105.html Tue, 24 Mar 2020 00:00:00 -0700 2020-06105 Notice https://www.govinfo.gov/content/pkg/FR-2020-03-24/pdf/2020-06105.pdf Notice - 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 Time https://regulations.justia.com/regulations/fedreg/2020/03/24/2020-06104.html https://regulations.justia.com/regulations/fedreg/2020/03/24/2020-06104.html Tue, 24 Mar 2020 00:00:00 -0700 2020-06104 Notice https://www.govinfo.gov/content/pkg/FR-2020-03-24/pdf/2020-06104.pdf Notice - 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 Halt https://regulations.justia.com/regulations/fedreg/2020/03/24/2020-06103.html https://regulations.justia.com/regulations/fedreg/2020/03/24/2020-06103.html Tue, 24 Mar 2020 00:00:00 -0700 2020-06103 Notice https://www.govinfo.gov/content/pkg/FR-2020-03-24/pdf/2020-06103.pdf Notice - 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 Halt https://regulations.justia.com/regulations/fedreg/2020/03/24/2020-06102.html https://regulations.justia.com/regulations/fedreg/2020/03/24/2020-06102.html Tue, 24 Mar 2020 00:00:00 -0700 2020-06102 Notice https://www.govinfo.gov/content/pkg/FR-2020-03-24/pdf/2020-06102.pdf Notice - 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 Halt https://regulations.justia.com/regulations/fedreg/2020/03/24/2020-06101.html https://regulations.justia.com/regulations/fedreg/2020/03/24/2020-06101.html Tue, 24 Mar 2020 00:00:00 -0700 2020-06101 Notice https://www.govinfo.gov/content/pkg/FR-2020-03-24/pdf/2020-06101.pdf Notice - 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 Exchange https://regulations.justia.com/regulations/fedreg/2020/03/24/2020-06100.html https://regulations.justia.com/regulations/fedreg/2020/03/24/2020-06100.html Tue, 24 Mar 2020 00:00:00 -0700 2020-06100 Notice https://www.govinfo.gov/content/pkg/FR-2020-03-24/pdf/2020-06100.pdf Proposed Rule - Market Data Infrastructure https://regulations.justia.com/regulations/fedreg/2020/03/24/2020-03760.html https://regulations.justia.com/regulations/fedreg/2020/03/24/2020-03760.html Tue, 24 Mar 2020 00:00:00 -0700 2020-03760 Proposed Rule https://www.govinfo.gov/content/pkg/FR-2020-03-24/pdf/2020-03760.pdf Notice - 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. https://regulations.justia.com/regulations/fedreg/2020/03/23/2020-06024.html https://regulations.justia.com/regulations/fedreg/2020/03/23/2020-06024.html Mon, 23 Mar 2020 00:00:00 -0700 2020-06024 Notice https://www.govinfo.gov/content/pkg/FR-2020-03-23/pdf/2020-06024.pdf Notice - Self-Regulatory Organizations; NYSE American LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the NYSE American Options Fee Schedule https://regulations.justia.com/regulations/fedreg/2020/03/23/2020-06007.html https://regulations.justia.com/regulations/fedreg/2020/03/23/2020-06007.html Mon, 23 Mar 2020 00:00:00 -0700 2020-06007 Notice https://www.govinfo.gov/content/pkg/FR-2020-03-23/pdf/2020-06007.pdf Notice - 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-E https://regulations.justia.com/regulations/fedreg/2020/03/23/2020-06006.html https://regulations.justia.com/regulations/fedreg/2020/03/23/2020-06006.html Mon, 23 Mar 2020 00:00:00 -0700 2020-06006 Notice https://www.govinfo.gov/content/pkg/FR-2020-03-23/pdf/2020-06006.pdf Notice - 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 Fee https://regulations.justia.com/regulations/fedreg/2020/03/23/2020-06005.html https://regulations.justia.com/regulations/fedreg/2020/03/23/2020-06005.html Mon, 23 Mar 2020 00:00:00 -0700 2020-06005 Notice https://www.govinfo.gov/content/pkg/FR-2020-03-23/pdf/2020-06005.pdf Notice - 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 Halt https://regulations.justia.com/regulations/fedreg/2020/03/23/2020-06004.html https://regulations.justia.com/regulations/fedreg/2020/03/23/2020-06004.html Mon, 23 Mar 2020 00:00:00 -0700 2020-06004 Notice https://www.govinfo.gov/content/pkg/FR-2020-03-23/pdf/2020-06004.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/2020/03/23/2020-06003.html https://regulations.justia.com/regulations/fedreg/2020/03/23/2020-06003.html Mon, 23 Mar 2020 00:00:00 -0700 2020-06003 Notice https://www.govinfo.gov/content/pkg/FR-2020-03-23/pdf/2020-06003.pdf Notice - 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 Fee https://regulations.justia.com/regulations/fedreg/2020/03/23/2020-06002.html https://regulations.justia.com/regulations/fedreg/2020/03/23/2020-06002.html Mon, 23 Mar 2020 00:00:00 -0700 2020-06002 Notice https://www.govinfo.gov/content/pkg/FR-2020-03-23/pdf/2020-06002.pdf Notice - 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 Fee https://regulations.justia.com/regulations/fedreg/2020/03/23/2020-06001.html https://regulations.justia.com/regulations/fedreg/2020/03/23/2020-06001.html Mon, 23 Mar 2020 00:00:00 -0700 2020-06001 Notice https://www.govinfo.gov/content/pkg/FR-2020-03-23/pdf/2020-06001.pdf Notice - 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 Fee https://regulations.justia.com/regulations/fedreg/2020/03/23/2020-06000.html https://regulations.justia.com/regulations/fedreg/2020/03/23/2020-06000.html Mon, 23 Mar 2020 00:00:00 -0700 2020-06000 Notice https://www.govinfo.gov/content/pkg/FR-2020-03-23/pdf/2020-06000.pdf Notice - 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 Fee https://regulations.justia.com/regulations/fedreg/2020/03/23/2020-05999.html https://regulations.justia.com/regulations/fedreg/2020/03/23/2020-05999.html Mon, 23 Mar 2020 00:00:00 -0700 2020-05999 Notice https://www.govinfo.gov/content/pkg/FR-2020-03-23/pdf/2020-05999.pdf Notice - Sunshine Act Meetings https://regulations.justia.com/regulations/fedreg/2020/03/20/2020-06012.html https://regulations.justia.com/regulations/fedreg/2020/03/20/2020-06012.html Fri, 20 Mar 2020 00:00:00 -0700 2020-06012 Notice https://www.govinfo.gov/content/pkg/FR-2020-03-20/pdf/2020-06012.pdf Notice - Sunshine Act Meeting; Cancellation https://regulations.justia.com/regulations/fedreg/2020/03/20/2020-05995.html https://regulations.justia.com/regulations/fedreg/2020/03/20/2020-05995.html Fri, 20 Mar 2020 00:00:00 -0700 2020-05995 Notice https://www.govinfo.gov/content/pkg/FR-2020-03-20/pdf/2020-05995.pdf Notice - 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 Trail https://regulations.justia.com/regulations/fedreg/2020/03/20/2020-05935.html https://regulations.justia.com/regulations/fedreg/2020/03/20/2020-05935.html Fri, 20 Mar 2020 00:00:00 -0700 2020-05935 Notice https://www.govinfo.gov/content/pkg/FR-2020-03-20/pdf/2020-05935.pdf Notice - 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 Circumstances https://regulations.justia.com/regulations/fedreg/2020/03/20/2020-05850.html https://regulations.justia.com/regulations/fedreg/2020/03/20/2020-05850.html Fri, 20 Mar 2020 00:00:00 -0700 2020-05850 Notice https://www.govinfo.gov/content/pkg/FR-2020-03-20/pdf/2020-05850.pdf Notice - Self-Regulatory Organizations; NYSE American LLC; Notice of Filing and Immediate Effectiveness of Proposed Change To Amend the NYSE American Options Fee Schedule https://regulations.justia.com/regulations/fedreg/2020/03/20/2020-05849.html https://regulations.justia.com/regulations/fedreg/2020/03/20/2020-05849.html Fri, 20 Mar 2020 00:00:00 -0700 2020-05849 Notice https://www.govinfo.gov/content/pkg/FR-2020-03-20/pdf/2020-05849.pdf Notice - Self-Regulatory Organizations; Nasdaq PHLX LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amendments to Complex Orders https://regulations.justia.com/regulations/fedreg/2020/03/20/2020-05843.html https://regulations.justia.com/regulations/fedreg/2020/03/20/2020-05843.html Fri, 20 Mar 2020 00:00:00 -0700 2020-05843 Notice https://www.govinfo.gov/content/pkg/FR-2020-03-20/pdf/2020-05843.pdf Notice - Self-Regulatory Organizations; Cboe BZX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating To Amend Its Fee Schedule https://regulations.justia.com/regulations/fedreg/2020/03/20/2020-05842.html https://regulations.justia.com/regulations/fedreg/2020/03/20/2020-05842.html Fri, 20 Mar 2020 00:00:00 -0700 2020-05842 Notice https://www.govinfo.gov/content/pkg/FR-2020-03-20/pdf/2020-05842.pdf Notice - Self-Regulatory Organizations; Long-Term Stock Exchange; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Fingerprint-Based Background Checks https://regulations.justia.com/regulations/fedreg/2020/03/20/2020-05840.html https://regulations.justia.com/regulations/fedreg/2020/03/20/2020-05840.html Fri, 20 Mar 2020 00:00:00 -0700 2020-05840 Notice https://www.govinfo.gov/content/pkg/FR-2020-03-20/pdf/2020-05840.pdf Notice - AIP Private Equity Opportunities Fund I A LP, et al. https://regulations.justia.com/regulations/fedreg/2020/03/20/2020-05828.html https://regulations.justia.com/regulations/fedreg/2020/03/20/2020-05828.html Fri, 20 Mar 2020 00:00:00 -0700 2020-05828 Notice https://www.govinfo.gov/content/pkg/FR-2020-03-20/pdf/2020-05828.pdf Notice - 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 Thereunder https://regulations.justia.com/regulations/fedreg/2020/03/19/2020-05710.html https://regulations.justia.com/regulations/fedreg/2020/03/19/2020-05710.html Thu, 19 Mar 2020 00:00:00 -0700 2020-05710 Notice https://www.govinfo.gov/content/pkg/FR-2020-03-19/pdf/2020-05710.pdf Notice - 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 Conditions https://regulations.justia.com/regulations/fedreg/2020/03/19/2020-05706.html https://regulations.justia.com/regulations/fedreg/2020/03/19/2020-05706.html Thu, 19 Mar 2020 00:00:00 -0700 2020-05706 Notice https://www.govinfo.gov/content/pkg/FR-2020-03-19/pdf/2020-05706.pdf Notice - 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 Delivery https://regulations.justia.com/regulations/fedreg/2020/03/19/2020-05705.html https://regulations.justia.com/regulations/fedreg/2020/03/19/2020-05705.html Thu, 19 Mar 2020 00:00:00 -0700 2020-05705 Notice https://www.govinfo.gov/content/pkg/FR-2020-03-19/pdf/2020-05705.pdf Notice - 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 Basis https://regulations.justia.com/regulations/fedreg/2020/03/19/2020-05704.html https://regulations.justia.com/regulations/fedreg/2020/03/19/2020-05704.html Thu, 19 Mar 2020 00:00:00 -0700 2020-05704 Notice https://www.govinfo.gov/content/pkg/FR-2020-03-19/pdf/2020-05704.pdf Notice - Self-Regulatory Organizations; Cboe Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Rule 5.24 https://regulations.justia.com/regulations/fedreg/2020/03/19/2020-05703.html https://regulations.justia.com/regulations/fedreg/2020/03/19/2020-05703.html Thu, 19 Mar 2020 00:00:00 -0700 2020-05703 Notice https://www.govinfo.gov/content/pkg/FR-2020-03-19/pdf/2020-05703.pdf Notice - Self-Regulatory Organizations; Fixed Income Clearing Corporation; Notice of No Objection To Advance Notice To Amend the Mortgage-Backed Securities Division Stress Testing Methodology https://regulations.justia.com/regulations/fedreg/2020/03/19/2020-05697.html https://regulations.justia.com/regulations/fedreg/2020/03/19/2020-05697.html Thu, 19 Mar 2020 00:00:00 -0700 2020-05697 Notice https://www.govinfo.gov/content/pkg/FR-2020-03-19/pdf/2020-05697.pdf Notice - 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) https://regulations.justia.com/regulations/fedreg/2020/03/19/2020-05680.html https://regulations.justia.com/regulations/fedreg/2020/03/19/2020-05680.html Thu, 19 Mar 2020 00:00:00 -0700 2020-05680 Notice https://www.govinfo.gov/content/pkg/FR-2020-03-19/pdf/2020-05680.pdf Notice - 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 Utility https://regulations.justia.com/regulations/fedreg/2020/03/19/2020-05679.html https://regulations.justia.com/regulations/fedreg/2020/03/19/2020-05679.html Thu, 19 Mar 2020 00:00:00 -0700 2020-05679 Notice https://www.govinfo.gov/content/pkg/FR-2020-03-19/pdf/2020-05679.pdf Notice - 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 Policy https://regulations.justia.com/regulations/fedreg/2020/03/19/2020-05678.html https://regulations.justia.com/regulations/fedreg/2020/03/19/2020-05678.html Thu, 19 Mar 2020 00:00:00 -0700 2020-05678 Notice https://www.govinfo.gov/content/pkg/FR-2020-03-19/pdf/2020-05678.pdf Notice - 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-E https://regulations.justia.com/regulations/fedreg/2020/03/19/2020-05677.html https://regulations.justia.com/regulations/fedreg/2020/03/19/2020-05677.html Thu, 19 Mar 2020 00:00:00 -0700 2020-05677 Notice https://www.govinfo.gov/content/pkg/FR-2020-03-19/pdf/2020-05677.pdf Notice - Daxor Corporation; Notice of Application https://regulations.justia.com/regulations/fedreg/2020/03/19/2020-05670.html https://regulations.justia.com/regulations/fedreg/2020/03/19/2020-05670.html Thu, 19 Mar 2020 00:00:00 -0700 2020-05670 Notice https://www.govinfo.gov/content/pkg/FR-2020-03-19/pdf/2020-05670.pdf Notice - Conversus StepStone Private Markets and StepStone Conversus LLC; Notice of Application https://regulations.justia.com/regulations/fedreg/2020/03/18/2020-05562.html https://regulations.justia.com/regulations/fedreg/2020/03/18/2020-05562.html Wed, 18 Mar 2020 00:00:00 -0700 2020-05562 Notice https://www.govinfo.gov/content/pkg/FR-2020-03-18/pdf/2020-05562.pdf Notice - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing of Proposed Rule Change To Amend its Rules To Add New Rule 7.19 https://regulations.justia.com/regulations/fedreg/2020/03/18/2020-05561.html https://regulations.justia.com/regulations/fedreg/2020/03/18/2020-05561.html Wed, 18 Mar 2020 00:00:00 -0700 2020-05561 Notice https://www.govinfo.gov/content/pkg/FR-2020-03-18/pdf/2020-05561.pdf Notice - 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 Options https://regulations.justia.com/regulations/fedreg/2020/03/18/2020-05560.html https://regulations.justia.com/regulations/fedreg/2020/03/18/2020-05560.html Wed, 18 Mar 2020 00:00:00 -0700 2020-05560 Notice https://www.govinfo.gov/content/pkg/FR-2020-03-18/pdf/2020-05560.pdf Notice - 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 Technology https://regulations.justia.com/regulations/fedreg/2020/03/18/2020-05559.html https://regulations.justia.com/regulations/fedreg/2020/03/18/2020-05559.html Wed, 18 Mar 2020 00:00:00 -0700 2020-05559 Notice https://www.govinfo.gov/content/pkg/FR-2020-03-18/pdf/2020-05559.pdf Notice - 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 Mechanism https://regulations.justia.com/regulations/fedreg/2020/03/18/2020-05558.html https://regulations.justia.com/regulations/fedreg/2020/03/18/2020-05558.html Wed, 18 Mar 2020 00:00:00 -0700 2020-05558 Notice https://www.govinfo.gov/content/pkg/FR-2020-03-18/pdf/2020-05558.pdf Notice - 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-E https://regulations.justia.com/regulations/fedreg/2020/03/18/2020-05557.html https://regulations.justia.com/regulations/fedreg/2020/03/18/2020-05557.html Wed, 18 Mar 2020 00:00:00 -0700 2020-05557 Notice https://www.govinfo.gov/content/pkg/FR-2020-03-18/pdf/2020-05557.pdf Notice - 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 7.38 https://regulations.justia.com/regulations/fedreg/2020/03/18/2020-05556.html https://regulations.justia.com/regulations/fedreg/2020/03/18/2020-05556.html Wed, 18 Mar 2020 00:00:00 -0700 2020-05556 Notice https://www.govinfo.gov/content/pkg/FR-2020-03-18/pdf/2020-05556.pdf Notice - 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 7.38 https://regulations.justia.com/regulations/fedreg/2020/03/18/2020-05555.html https://regulations.justia.com/regulations/fedreg/2020/03/18/2020-05555.html Wed, 18 Mar 2020 00:00:00 -0700 2020-05555 Notice https://www.govinfo.gov/content/pkg/FR-2020-03-18/pdf/2020-05555.pdf Notice - 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-E https://regulations.justia.com/regulations/fedreg/2020/03/18/2020-05554.html https://regulations.justia.com/regulations/fedreg/2020/03/18/2020-05554.html Wed, 18 Mar 2020 00:00:00 -0700 2020-05554 Notice https://www.govinfo.gov/content/pkg/FR-2020-03-18/pdf/2020-05554.pdf Notice - 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 7.38E https://regulations.justia.com/regulations/fedreg/2020/03/18/2020-05553.html https://regulations.justia.com/regulations/fedreg/2020/03/18/2020-05553.html Wed, 18 Mar 2020 00:00:00 -0700 2020-05553 Notice https://www.govinfo.gov/content/pkg/FR-2020-03-18/pdf/2020-05553.pdf Notice - 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 7.38 https://regulations.justia.com/regulations/fedreg/2020/03/18/2020-05552.html https://regulations.justia.com/regulations/fedreg/2020/03/18/2020-05552.html Wed, 18 Mar 2020 00:00:00 -0700 2020-05552 Notice https://www.govinfo.gov/content/pkg/FR-2020-03-18/pdf/2020-05552.pdf Notice - 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 Rules https://regulations.justia.com/regulations/fedreg/2020/03/17/2020-05479.html https://regulations.justia.com/regulations/fedreg/2020/03/17/2020-05479.html Tue, 17 Mar 2020 00:00:00 -0700 2020-05479 Notice https://www.govinfo.gov/content/pkg/FR-2020-03-17/pdf/2020-05479.pdf Notice - Self-Regulatory Organizations; Cboe BYX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating To Amend the Fee Schedule https://regulations.justia.com/regulations/fedreg/2020/03/17/2020-05377.html https://regulations.justia.com/regulations/fedreg/2020/03/17/2020-05377.html Tue, 17 Mar 2020 00:00:00 -0700 2020-05377 Notice https://www.govinfo.gov/content/pkg/FR-2020-03-17/pdf/2020-05377.pdf Notice - 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) https://regulations.justia.com/regulations/fedreg/2020/03/17/2020-05373.html https://regulations.justia.com/regulations/fedreg/2020/03/17/2020-05373.html Tue, 17 Mar 2020 00:00:00 -0700 2020-05373 Notice https://www.govinfo.gov/content/pkg/FR-2020-03-17/pdf/2020-05373.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 To Add New Rule 46B To Permit the Appointment of Regulatory Trading Officials and Amend Rules 47 and 75 https://regulations.justia.com/regulations/fedreg/2020/03/17/2020-05372.html https://regulations.justia.com/regulations/fedreg/2020/03/17/2020-05372.html Tue, 17 Mar 2020 00:00:00 -0700 2020-05372 Notice https://www.govinfo.gov/content/pkg/FR-2020-03-17/pdf/2020-05372.pdf Notice - Self-Regulatory Organizations; The Nasdaq Stock Market LLC; Order Granting Approval of a Proposed Rule Change To Amend Rule 4121(b) https://regulations.justia.com/regulations/fedreg/2020/03/17/2020-05371.html https://regulations.justia.com/regulations/fedreg/2020/03/17/2020-05371.html Tue, 17 Mar 2020 00:00:00 -0700 2020-05371 Notice https://www.govinfo.gov/content/pkg/FR-2020-03-17/pdf/2020-05371.pdf Notice - Sunshine Act Meetings https://regulations.justia.com/regulations/fedreg/2020/03/16/2020-05502.html https://regulations.justia.com/regulations/fedreg/2020/03/16/2020-05502.html Mon, 16 Mar 2020 00:00:00 -0700 2020-05502 Notice https://www.govinfo.gov/content/pkg/FR-2020-03-16/pdf/2020-05502.pdf Notice - Guinness Atkinson Funds and Guinness Atkinson Asset Management, Inc.; Notice of Application https://regulations.justia.com/regulations/fedreg/2020/03/16/2020-05245.html https://regulations.justia.com/regulations/fedreg/2020/03/16/2020-05245.html Mon, 16 Mar 2020 00:00:00 -0700 2020-05245 Notice https://www.govinfo.gov/content/pkg/FR-2020-03-16/pdf/2020-05245.pdf Notice - 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 Data https://regulations.justia.com/regulations/fedreg/2020/03/16/2020-05243.html https://regulations.justia.com/regulations/fedreg/2020/03/16/2020-05243.html Mon, 16 Mar 2020 00:00:00 -0700 2020-05243 Notice https://www.govinfo.gov/content/pkg/FR-2020-03-16/pdf/2020-05243.pdf Notice - 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”) https://regulations.justia.com/regulations/fedreg/2020/03/16/2020-05241.html https://regulations.justia.com/regulations/fedreg/2020/03/16/2020-05241.html Mon, 16 Mar 2020 00:00:00 -0700 2020-05241 Notice https://www.govinfo.gov/content/pkg/FR-2020-03-16/pdf/2020-05241.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 (“BOX”) Facility To Amend Section V., Eligible Orders Routed to an Away Exchange https://regulations.justia.com/regulations/fedreg/2020/03/16/2020-05240.html https://regulations.justia.com/regulations/fedreg/2020/03/16/2020-05240.html Mon, 16 Mar 2020 00:00:00 -0700 2020-05240 Notice https://www.govinfo.gov/content/pkg/FR-2020-03-16/pdf/2020-05240.pdf Notice - Self-Regulatory Organizations; Cboe BZX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating To Amend its Fee Schedule https://regulations.justia.com/regulations/fedreg/2020/03/16/2020-05239.html https://regulations.justia.com/regulations/fedreg/2020/03/16/2020-05239.html Mon, 16 Mar 2020 00:00:00 -0700 2020-05239 Notice https://www.govinfo.gov/content/pkg/FR-2020-03-16/pdf/2020-05239.pdf Notice - 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 Rule https://regulations.justia.com/regulations/fedreg/2020/03/16/2020-05238.html https://regulations.justia.com/regulations/fedreg/2020/03/16/2020-05238.html Mon, 16 Mar 2020 00:00:00 -0700 2020-05238 Notice https://www.govinfo.gov/content/pkg/FR-2020-03-16/pdf/2020-05238.pdf Notice - 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) https://regulations.justia.com/regulations/fedreg/2020/03/16/2020-05237.html https://regulations.justia.com/regulations/fedreg/2020/03/16/2020-05237.html Mon, 16 Mar 2020 00:00:00 -0700 2020-05237 Notice https://www.govinfo.gov/content/pkg/FR-2020-03-16/pdf/2020-05237.pdf Notice - 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 Indexes https://regulations.justia.com/regulations/fedreg/2020/03/16/2020-05236.html https://regulations.justia.com/regulations/fedreg/2020/03/16/2020-05236.html Mon, 16 Mar 2020 00:00:00 -0700 2020-05236 Notice https://www.govinfo.gov/content/pkg/FR-2020-03-16/pdf/2020-05236.pdf Notice - Self-Regulatory Organizations; Miami International Securities Exchange LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Fee Schedule https://regulations.justia.com/regulations/fedreg/2020/03/16/2020-05235.html https://regulations.justia.com/regulations/fedreg/2020/03/16/2020-05235.html Mon, 16 Mar 2020 00:00:00 -0700 2020-05235 Notice https://www.govinfo.gov/content/pkg/FR-2020-03-16/pdf/2020-05235.pdf Notice - 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 Auction https://regulations.justia.com/regulations/fedreg/2020/03/16/2020-05234.html https://regulations.justia.com/regulations/fedreg/2020/03/16/2020-05234.html Mon, 16 Mar 2020 00:00:00 -0700 2020-05234 Notice https://www.govinfo.gov/content/pkg/FR-2020-03-16/pdf/2020-05234.pdf Notice - Sunshine Act Meeting; Cancellation https://regulations.justia.com/regulations/fedreg/2020/03/13/2020-05267.html https://regulations.justia.com/regulations/fedreg/2020/03/13/2020-05267.html Fri, 13 Mar 2020 00:00:00 -0700 2020-05267 Notice https://www.govinfo.gov/content/pkg/FR-2020-03-13/pdf/2020-05267.pdf Notice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Modify the NYSE Arca Options Fee Schedule https://regulations.justia.com/regulations/fedreg/2020/03/13/2020-05105.html https://regulations.justia.com/regulations/fedreg/2020/03/13/2020-05105.html Fri, 13 Mar 2020 00:00:00 -0700 2020-05105 Notice https://www.govinfo.gov/content/pkg/FR-2020-03-13/pdf/2020-05105.pdf Notice - Sunshine Act Meeting; Cancellation https://regulations.justia.com/regulations/fedreg/2020/03/12/2020-05163.html https://regulations.justia.com/regulations/fedreg/2020/03/12/2020-05163.html Thu, 12 Mar 2020 00:00:00 -0700 2020-05163 Notice https://www.govinfo.gov/content/pkg/FR-2020-03-12/pdf/2020-05163.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/2020/03/12/2020-05029.html https://regulations.justia.com/regulations/fedreg/2020/03/12/2020-05029.html Thu, 12 Mar 2020 00:00:00 -0700 2020-05029 Notice https://www.govinfo.gov/content/pkg/FR-2020-03-12/pdf/2020-05029.pdf Notice - 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) https://regulations.justia.com/regulations/fedreg/2020/03/12/2020-05026.html https://regulations.justia.com/regulations/fedreg/2020/03/12/2020-05026.html Thu, 12 Mar 2020 00:00:00 -0700 2020-05026 Notice https://www.govinfo.gov/content/pkg/FR-2020-03-12/pdf/2020-05026.pdf Notice - 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 Schedule https://regulations.justia.com/regulations/fedreg/2020/03/12/2020-05025.html https://regulations.justia.com/regulations/fedreg/2020/03/12/2020-05025.html Thu, 12 Mar 2020 00:00:00 -0700 2020-05025 Notice https://www.govinfo.gov/content/pkg/FR-2020-03-12/pdf/2020-05025.pdf Notice - Sunshine Act Meeting; Cancellation https://regulations.justia.com/regulations/fedreg/2020/03/11/2020-05100.html https://regulations.justia.com/regulations/fedreg/2020/03/11/2020-05100.html Wed, 11 Mar 2020 00:00:00 -0700 2020-05100 Notice https://www.govinfo.gov/content/pkg/FR-2020-03-11/pdf/2020-05100.pdf Notice - Proposed Collection; Comment Request https://regulations.justia.com/regulations/fedreg/2020/03/11/2020-04951.html https://regulations.justia.com/regulations/fedreg/2020/03/11/2020-04951.html Wed, 11 Mar 2020 00:00:00 -0700 2020-04951 Notice https://www.govinfo.gov/content/pkg/FR-2020-03-11/pdf/2020-04951.pdf Notice - Proposed Collection; Comment Request https://regulations.justia.com/regulations/fedreg/2020/03/11/2020-04950.html https://regulations.justia.com/regulations/fedreg/2020/03/11/2020-04950.html Wed, 11 Mar 2020 00:00:00 -0700 2020-04950 Notice https://www.govinfo.gov/content/pkg/FR-2020-03-11/pdf/2020-04950.pdf Notice - Submission for OMB Review; Comment Request https://regulations.justia.com/regulations/fedreg/2020/03/11/2020-04949.html https://regulations.justia.com/regulations/fedreg/2020/03/11/2020-04949.html Wed, 11 Mar 2020 00:00:00 -0700 2020-04949 Notice https://www.govinfo.gov/content/pkg/FR-2020-03-11/pdf/2020-04949.pdf Notice - Submission for OMB Review; Comment Request https://regulations.justia.com/regulations/fedreg/2020/03/11/2020-04948.html https://regulations.justia.com/regulations/fedreg/2020/03/11/2020-04948.html Wed, 11 Mar 2020 00:00:00 -0700 2020-04948 Notice https://www.govinfo.gov/content/pkg/FR-2020-03-11/pdf/2020-04948.pdf Notice - Submission for OMB Review; Comment Request https://regulations.justia.com/regulations/fedreg/2020/03/11/2020-04947.html https://regulations.justia.com/regulations/fedreg/2020/03/11/2020-04947.html Wed, 11 Mar 2020 00:00:00 -0700 2020-04947 Notice https://www.govinfo.gov/content/pkg/FR-2020-03-11/pdf/2020-04947.pdf Notice - Proposed Collection; Comment Request https://regulations.justia.com/regulations/fedreg/2020/03/11/2020-04946.html https://regulations.justia.com/regulations/fedreg/2020/03/11/2020-04946.html Wed, 11 Mar 2020 00:00:00 -0700 2020-04946 Notice https://www.govinfo.gov/content/pkg/FR-2020-03-11/pdf/2020-04946.pdf Notice - Submission for OMB Review; Comment Request https://regulations.justia.com/regulations/fedreg/2020/03/11/2020-04945.html https://regulations.justia.com/regulations/fedreg/2020/03/11/2020-04945.html Wed, 11 Mar 2020 00:00:00 -0700 2020-04945 Notice https://www.govinfo.gov/content/pkg/FR-2020-03-11/pdf/2020-04945.pdf Notice - Proposed Collection; Comment Request https://regulations.justia.com/regulations/fedreg/2020/03/11/2020-04944.html https://regulations.justia.com/regulations/fedreg/2020/03/11/2020-04944.html Wed, 11 Mar 2020 00:00:00 -0700 2020-04944 Notice https://www.govinfo.gov/content/pkg/FR-2020-03-11/pdf/2020-04944.pdf Notice - Proposed Collection; Comment Request https://regulations.justia.com/regulations/fedreg/2020/03/11/2020-04943.html https://regulations.justia.com/regulations/fedreg/2020/03/11/2020-04943.html Wed, 11 Mar 2020 00:00:00 -0700 2020-04943 Notice https://www.govinfo.gov/content/pkg/FR-2020-03-11/pdf/2020-04943.pdf Notice - 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 Insurance https://regulations.justia.com/regulations/fedreg/2020/03/11/2020-04920.html https://regulations.justia.com/regulations/fedreg/2020/03/11/2020-04920.html Wed, 11 Mar 2020 00:00:00 -0700 2020-04920 Notice https://www.govinfo.gov/content/pkg/FR-2020-03-11/pdf/2020-04920.pdf Notice - 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) https://regulations.justia.com/regulations/fedreg/2020/03/11/2020-04913.html https://regulations.justia.com/regulations/fedreg/2020/03/11/2020-04913.html Wed, 11 Mar 2020 00:00:00 -0700 2020-04913 Notice https://www.govinfo.gov/content/pkg/FR-2020-03-11/pdf/2020-04913.pdf Notice - Two Sigma Investments, LP and Two Sigma Luna, LLC https://regulations.justia.com/regulations/fedreg/2020/03/11/2020-04912.html https://regulations.justia.com/regulations/fedreg/2020/03/11/2020-04912.html Wed, 11 Mar 2020 00:00:00 -0700 2020-04912 Notice https://www.govinfo.gov/content/pkg/FR-2020-03-11/pdf/2020-04912.pdf Notice - 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 Trail https://regulations.justia.com/regulations/fedreg/2020/03/11/2020-04911.html https://regulations.justia.com/regulations/fedreg/2020/03/11/2020-04911.html Wed, 11 Mar 2020 00:00:00 -0700 2020-04911 Notice https://www.govinfo.gov/content/pkg/FR-2020-03-11/pdf/2020-04911.pdf Notice - 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 Trail https://regulations.justia.com/regulations/fedreg/2020/03/11/2020-04910.html https://regulations.justia.com/regulations/fedreg/2020/03/11/2020-04910.html Wed, 11 Mar 2020 00:00:00 -0700 2020-04910 Notice https://www.govinfo.gov/content/pkg/FR-2020-03-11/pdf/2020-04910.pdf Notice - 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 Trail https://regulations.justia.com/regulations/fedreg/2020/03/11/2020-04909.html https://regulations.justia.com/regulations/fedreg/2020/03/11/2020-04909.html Wed, 11 Mar 2020 00:00:00 -0700 2020-04909 Notice https://www.govinfo.gov/content/pkg/FR-2020-03-11/pdf/2020-04909.pdf Notice - 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 Trail https://regulations.justia.com/regulations/fedreg/2020/03/11/2020-04908.html https://regulations.justia.com/regulations/fedreg/2020/03/11/2020-04908.html Wed, 11 Mar 2020 00:00:00 -0700 2020-04908 Notice https://www.govinfo.gov/content/pkg/FR-2020-03-11/pdf/2020-04908.pdf Notice - 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 Trail https://regulations.justia.com/regulations/fedreg/2020/03/11/2020-04907.html https://regulations.justia.com/regulations/fedreg/2020/03/11/2020-04907.html Wed, 11 Mar 2020 00:00:00 -0700 2020-04907 Notice https://www.govinfo.gov/content/pkg/FR-2020-03-11/pdf/2020-04907.pdf Notice - Self-Regulatory Organizations; Cboe EDGX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend its Fee Schedule https://regulations.justia.com/regulations/fedreg/2020/03/11/2020-04906.html https://regulations.justia.com/regulations/fedreg/2020/03/11/2020-04906.html Wed, 11 Mar 2020 00:00:00 -0700 2020-04906 Notice https://www.govinfo.gov/content/pkg/FR-2020-03-11/pdf/2020-04906.pdf Notice - 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) https://regulations.justia.com/regulations/fedreg/2020/03/11/2020-04905.html https://regulations.justia.com/regulations/fedreg/2020/03/11/2020-04905.html Wed, 11 Mar 2020 00:00:00 -0700 2020-04905 Notice https://www.govinfo.gov/content/pkg/FR-2020-03-11/pdf/2020-04905.pdf Notice - 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 Instruction https://regulations.justia.com/regulations/fedreg/2020/03/11/2020-04904.html https://regulations.justia.com/regulations/fedreg/2020/03/11/2020-04904.html Wed, 11 Mar 2020 00:00:00 -0700 2020-04904 Notice https://www.govinfo.gov/content/pkg/FR-2020-03-11/pdf/2020-04904.pdf Notice - 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 Period https://regulations.justia.com/regulations/fedreg/2020/03/11/2020-04903.html https://regulations.justia.com/regulations/fedreg/2020/03/11/2020-04903.html Wed, 11 Mar 2020 00:00:00 -0700 2020-04903 Notice https://www.govinfo.gov/content/pkg/FR-2020-03-11/pdf/2020-04903.pdf Notice - 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 Facility https://regulations.justia.com/regulations/fedreg/2020/03/11/2020-04902.html https://regulations.justia.com/regulations/fedreg/2020/03/11/2020-04902.html Wed, 11 Mar 2020 00:00:00 -0700 2020-04902 Notice https://www.govinfo.gov/content/pkg/FR-2020-03-11/pdf/2020-04902.pdf Notice - 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 Exchange https://regulations.justia.com/regulations/fedreg/2020/03/10/2020-04901.html https://regulations.justia.com/regulations/fedreg/2020/03/10/2020-04901.html Tue, 10 Mar 2020 00:00:00 -0700 2020-04901 Notice https://www.govinfo.gov/content/pkg/FR-2020-03-10/pdf/2020-04901.pdf Notice - Proposed Collection; Comment Request https://regulations.justia.com/regulations/fedreg/2020/03/10/2020-04875.html https://regulations.justia.com/regulations/fedreg/2020/03/10/2020-04875.html Tue, 10 Mar 2020 00:00:00 -0700 2020-04875 Notice https://www.govinfo.gov/content/pkg/FR-2020-03-10/pdf/2020-04875.pdf Notice - Waterside Capital Corporation https://regulations.justia.com/regulations/fedreg/2020/03/10/2020-04797.html https://regulations.justia.com/regulations/fedreg/2020/03/10/2020-04797.html Tue, 10 Mar 2020 00:00:00 -0700 2020-04797 Notice https://www.govinfo.gov/content/pkg/FR-2020-03-10/pdf/2020-04797.pdf Notice - 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 Requirement https://regulations.justia.com/regulations/fedreg/2020/03/10/2020-04790.html https://regulations.justia.com/regulations/fedreg/2020/03/10/2020-04790.html Tue, 10 Mar 2020 00:00:00 -0700 2020-04790 Notice https://www.govinfo.gov/content/pkg/FR-2020-03-10/pdf/2020-04790.pdf Notice - 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 Book https://regulations.justia.com/regulations/fedreg/2020/03/10/2020-04788.html https://regulations.justia.com/regulations/fedreg/2020/03/10/2020-04788.html Tue, 10 Mar 2020 00:00:00 -0700 2020-04788 Notice https://www.govinfo.gov/content/pkg/FR-2020-03-10/pdf/2020-04788.pdf Notice - 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 Network https://regulations.justia.com/regulations/fedreg/2020/03/10/2020-04787.html https://regulations.justia.com/regulations/fedreg/2020/03/10/2020-04787.html Tue, 10 Mar 2020 00:00:00 -0700 2020-04787 Notice https://www.govinfo.gov/content/pkg/FR-2020-03-10/pdf/2020-04787.pdf Rule - Exemptions From Investment Adviser Registration for Advisers to Certain Rural Business Investment Companies https://regulations.justia.com/regulations/fedreg/2020/03/10/2020-04571.html https://regulations.justia.com/regulations/fedreg/2020/03/10/2020-04571.html Tue, 10 Mar 2020 00:00:00 -0700 2020-04571 Rule https://www.govinfo.gov/content/pkg/FR-2020-03-10/pdf/2020-04571.pdf Notice - Sunshine Act Meetings https://regulations.justia.com/regulations/fedreg/2020/03/09/2020-04863.html https://regulations.justia.com/regulations/fedreg/2020/03/09/2020-04863.html Mon, 09 Mar 2020 00:00:00 -0700 2020-04863 Notice https://www.govinfo.gov/content/pkg/FR-2020-03-09/pdf/2020-04863.pdf Notice - 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 Plan https://regulations.justia.com/regulations/fedreg/2020/03/09/2020-04771.html https://regulations.justia.com/regulations/fedreg/2020/03/09/2020-04771.html Mon, 09 Mar 2020 00:00:00 -0700 2020-04771 Notice https://www.govinfo.gov/content/pkg/FR-2020-03-09/pdf/2020-04771.pdf Notice - Order Under Section 36 of the Securities Exchange Act of 1934 Granting Exemptions From Specified Provisions of the Exchange Act and Certain Rules Thereunder https://regulations.justia.com/regulations/fedreg/2020/03/09/2020-04763.html https://regulations.justia.com/regulations/fedreg/2020/03/09/2020-04763.html Mon, 09 Mar 2020 00:00:00 -0700 2020-04763 Notice https://www.govinfo.gov/content/pkg/FR-2020-03-09/pdf/2020-04763.pdf Notice - 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 Quotation https://regulations.justia.com/regulations/fedreg/2020/03/09/2020-04678.html https://regulations.justia.com/regulations/fedreg/2020/03/09/2020-04678.html Mon, 09 Mar 2020 00:00:00 -0700 2020-04678 Notice https://www.govinfo.gov/content/pkg/FR-2020-03-09/pdf/2020-04678.pdf Notice - 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 Auction https://regulations.justia.com/regulations/fedreg/2020/03/09/2020-04677.html https://regulations.justia.com/regulations/fedreg/2020/03/09/2020-04677.html Mon, 09 Mar 2020 00:00:00 -0700 2020-04677 Notice https://www.govinfo.gov/content/pkg/FR-2020-03-09/pdf/2020-04677.pdf Notice - Sunshine Act Meetings https://regulations.justia.com/regulations/fedreg/2020/03/06/2020-04752.html https://regulations.justia.com/regulations/fedreg/2020/03/06/2020-04752.html Fri, 06 Mar 2020 00:00:00 -0800 2020-04752 Notice https://www.govinfo.gov/content/pkg/FR-2020-03-06/pdf/2020-04752.pdf Notice - Sunshine Act Meeting; Cancellation https://regulations.justia.com/regulations/fedreg/2020/03/06/2020-04717.html https://regulations.justia.com/regulations/fedreg/2020/03/06/2020-04717.html Fri, 06 Mar 2020 00:00:00 -0800 2020-04717 Notice https://www.govinfo.gov/content/pkg/FR-2020-03-06/pdf/2020-04717.pdf Notice - 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 Dates https://regulations.justia.com/regulations/fedreg/2020/03/06/2020-04576.html https://regulations.justia.com/regulations/fedreg/2020/03/06/2020-04576.html Fri, 06 Mar 2020 00:00:00 -0800 2020-04576 Notice https://www.govinfo.gov/content/pkg/FR-2020-03-06/pdf/2020-04576.pdf Notice - 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 Exchange https://regulations.justia.com/regulations/fedreg/2020/03/06/2020-04575.html https://regulations.justia.com/regulations/fedreg/2020/03/06/2020-04575.html Fri, 06 Mar 2020 00:00:00 -0800 2020-04575 Notice https://www.govinfo.gov/content/pkg/FR-2020-03-06/pdf/2020-04575.pdf Notice - 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 Procedures https://regulations.justia.com/regulations/fedreg/2020/03/06/2020-04574.html https://regulations.justia.com/regulations/fedreg/2020/03/06/2020-04574.html Fri, 06 Mar 2020 00:00:00 -0800 2020-04574 Notice https://www.govinfo.gov/content/pkg/FR-2020-03-06/pdf/2020-04574.pdf Notice - Request for Comments on Fund Names https://regulations.justia.com/regulations/fedreg/2020/03/06/2020-04573.html https://regulations.justia.com/regulations/fedreg/2020/03/06/2020-04573.html Fri, 06 Mar 2020 00:00:00 -0800 2020-04573 Notice https://www.govinfo.gov/content/pkg/FR-2020-03-06/pdf/2020-04573.pdf Notice - 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 LLC https://regulations.justia.com/regulations/fedreg/2020/03/06/2020-04470.html https://regulations.justia.com/regulations/fedreg/2020/03/06/2020-04470.html Fri, 06 Mar 2020 00:00:00 -0800 2020-04470 Notice https://www.govinfo.gov/content/pkg/FR-2020-03-06/pdf/2020-04470.pdf Notice - Sunshine Act Meetings https://regulations.justia.com/regulations/fedreg/2020/03/05/2020-04636.html https://regulations.justia.com/regulations/fedreg/2020/03/05/2020-04636.html Thu, 05 Mar 2020 00:00:00 -0800 2020-04636 Notice https://www.govinfo.gov/content/pkg/FR-2020-03-05/pdf/2020-04636.pdf Notice - Notice of Applications for Deregistration Under Section 8(f) of the Investment Company Act of 1940 https://regulations.justia.com/regulations/fedreg/2020/03/05/2020-04474.html https://regulations.justia.com/regulations/fedreg/2020/03/05/2020-04474.html Thu, 05 Mar 2020 00:00:00 -0800 2020-04474 Notice https://www.govinfo.gov/content/pkg/FR-2020-03-05/pdf/2020-04474.pdf Notice - Self-Regulatory Organizations; The Nasdaq Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Rule 5702 https://regulations.justia.com/regulations/fedreg/2020/03/05/2020-04471.html https://regulations.justia.com/regulations/fedreg/2020/03/05/2020-04471.html Thu, 05 Mar 2020 00:00:00 -0800 2020-04471 Notice https://www.govinfo.gov/content/pkg/FR-2020-03-05/pdf/2020-04471.pdf Notice - 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 Provisions https://regulations.justia.com/regulations/fedreg/2020/03/04/2020-04392.html https://regulations.justia.com/regulations/fedreg/2020/03/04/2020-04392.html Wed, 04 Mar 2020 00:00:00 -0800 2020-04392 Notice https://www.govinfo.gov/content/pkg/FR-2020-03-04/pdf/2020-04392.pdf Notice - Self-Regulatory Organizations; LCH SA; Notice of Filing of Proposed Rule Change Relating to Amendments to the Wind Down Plan https://regulations.justia.com/regulations/fedreg/2020/03/04/2020-04391.html https://regulations.justia.com/regulations/fedreg/2020/03/04/2020-04391.html Wed, 04 Mar 2020 00:00:00 -0800 2020-04391 Notice https://www.govinfo.gov/content/pkg/FR-2020-03-04/pdf/2020-04391.pdf Notice - Sunshine Act Meetings https://regulations.justia.com/regulations/fedreg/2020/03/03/2020-04433.html https://regulations.justia.com/regulations/fedreg/2020/03/03/2020-04433.html Tue, 03 Mar 2020 00:00:00 -0800 2020-04433 Notice https://www.govinfo.gov/content/pkg/FR-2020-03-03/pdf/2020-04433.pdf Notice - Submission for OMB Review; Comment Request https://regulations.justia.com/regulations/fedreg/2020/03/03/2020-04352.html https://regulations.justia.com/regulations/fedreg/2020/03/03/2020-04352.html Tue, 03 Mar 2020 00:00:00 -0800 2020-04352 Notice https://www.govinfo.gov/content/pkg/FR-2020-03-03/pdf/2020-04352.pdf Notice - Proposed Collection; Comment Request https://regulations.justia.com/regulations/fedreg/2020/03/03/2020-04351.html https://regulations.justia.com/regulations/fedreg/2020/03/03/2020-04351.html Tue, 03 Mar 2020 00:00:00 -0800 2020-04351 Notice https://www.govinfo.gov/content/pkg/FR-2020-03-03/pdf/2020-04351.pdf Notice - Submission for OMB Review; Comment Request https://regulations.justia.com/regulations/fedreg/2020/03/03/2020-04350.html https://regulations.justia.com/regulations/fedreg/2020/03/03/2020-04350.html Tue, 03 Mar 2020 00:00:00 -0800 2020-04350 Notice https://www.govinfo.gov/content/pkg/FR-2020-03-03/pdf/2020-04350.pdf Notice - Submission for OMB Review; Comment Request https://regulations.justia.com/regulations/fedreg/2020/03/03/2020-04349.html https://regulations.justia.com/regulations/fedreg/2020/03/03/2020-04349.html Tue, 03 Mar 2020 00:00:00 -0800 2020-04349 Notice https://www.govinfo.gov/content/pkg/FR-2020-03-03/pdf/2020-04349.pdf Notice - Proposed Collection; Comment Request https://regulations.justia.com/regulations/fedreg/2020/03/03/2020-04348.html https://regulations.justia.com/regulations/fedreg/2020/03/03/2020-04348.html Tue, 03 Mar 2020 00:00:00 -0800 2020-04348 Notice https://www.govinfo.gov/content/pkg/FR-2020-03-03/pdf/2020-04348.pdf Notice - 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-E https://regulations.justia.com/regulations/fedreg/2020/03/03/2020-04294.html https://regulations.justia.com/regulations/fedreg/2020/03/03/2020-04294.html Tue, 03 Mar 2020 00:00:00 -0800 2020-04294 Notice https://www.govinfo.gov/content/pkg/FR-2020-03-03/pdf/2020-04294.pdf Notice - 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 Provisions https://regulations.justia.com/regulations/fedreg/2020/03/03/2020-04292.html https://regulations.justia.com/regulations/fedreg/2020/03/03/2020-04292.html Tue, 03 Mar 2020 00:00:00 -0800 2020-04292 Notice https://www.govinfo.gov/content/pkg/FR-2020-03-03/pdf/2020-04292.pdf Notice - 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 Rebates https://regulations.justia.com/regulations/fedreg/2020/03/03/2020-04291.html https://regulations.justia.com/regulations/fedreg/2020/03/03/2020-04291.html Tue, 03 Mar 2020 00:00:00 -0800 2020-04291 Notice https://www.govinfo.gov/content/pkg/FR-2020-03-03/pdf/2020-04291.pdf Notice - 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 7 https://regulations.justia.com/regulations/fedreg/2020/03/03/2020-04290.html https://regulations.justia.com/regulations/fedreg/2020/03/03/2020-04290.html Tue, 03 Mar 2020 00:00:00 -0800 2020-04290 Notice https://www.govinfo.gov/content/pkg/FR-2020-03-03/pdf/2020-04290.pdf Notice - 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 Provisions https://regulations.justia.com/regulations/fedreg/2020/03/03/2020-04289.html https://regulations.justia.com/regulations/fedreg/2020/03/03/2020-04289.html Tue, 03 Mar 2020 00:00:00 -0800 2020-04289 Notice https://www.govinfo.gov/content/pkg/FR-2020-03-03/pdf/2020-04289.pdf Notice - 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 7 https://regulations.justia.com/regulations/fedreg/2020/03/03/2020-04288.html https://regulations.justia.com/regulations/fedreg/2020/03/03/2020-04288.html Tue, 03 Mar 2020 00:00:00 -0800 2020-04288 Notice https://www.govinfo.gov/content/pkg/FR-2020-03-03/pdf/2020-04288.pdf Notice - 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 Provisions https://regulations.justia.com/regulations/fedreg/2020/03/03/2020-04287.html https://regulations.justia.com/regulations/fedreg/2020/03/03/2020-04287.html Tue, 03 Mar 2020 00:00:00 -0800 2020-04287 Notice https://www.govinfo.gov/content/pkg/FR-2020-03-03/pdf/2020-04287.pdf Notice - Self-Regulatory Organizations; Cboe Futures Exchange, LLC; Notice of Filing of Proposed Rule Change Relating To Exchange Jurisdiction https://regulations.justia.com/regulations/fedreg/2020/03/03/2020-04286.html https://regulations.justia.com/regulations/fedreg/2020/03/03/2020-04286.html Tue, 03 Mar 2020 00:00:00 -0800 2020-04286 Notice https://www.govinfo.gov/content/pkg/FR-2020-03-03/pdf/2020-04286.pdf Notice - 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) https://regulations.justia.com/regulations/fedreg/2020/03/03/2020-04285.html https://regulations.justia.com/regulations/fedreg/2020/03/03/2020-04285.html Tue, 03 Mar 2020 00:00:00 -0800 2020-04285 Notice https://www.govinfo.gov/content/pkg/FR-2020-03-03/pdf/2020-04285.pdf Notice - Sunshine Act Meetings https://regulations.justia.com/regulations/fedreg/2020/03/02/2020-04296.html https://regulations.justia.com/regulations/fedreg/2020/03/02/2020-04296.html Mon, 02 Mar 2020 00:00:00 -0800 2020-04296 Notice https://www.govinfo.gov/content/pkg/FR-2020-03-02/pdf/2020-04296.pdf Notice - Sunshine Act Meetings https://regulations.justia.com/regulations/fedreg/2020/03/02/2020-04295.html https://regulations.justia.com/regulations/fedreg/2020/03/02/2020-04295.html Mon, 02 Mar 2020 00:00:00 -0800 2020-04295 Notice https://www.govinfo.gov/content/pkg/FR-2020-03-02/pdf/2020-04295.pdf Notice - 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 21.1 https://regulations.justia.com/regulations/fedreg/2020/03/02/2020-04187.html https://regulations.justia.com/regulations/fedreg/2020/03/02/2020-04187.html Mon, 02 Mar 2020 00:00:00 -0800 2020-04187 Notice https://www.govinfo.gov/content/pkg/FR-2020-03-02/pdf/2020-04187.pdf Notice - 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 Finality https://regulations.justia.com/regulations/fedreg/2020/03/02/2020-04186.html https://regulations.justia.com/regulations/fedreg/2020/03/02/2020-04186.html Mon, 02 Mar 2020 00:00:00 -0800 2020-04186 Notice https://www.govinfo.gov/content/pkg/FR-2020-03-02/pdf/2020-04186.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 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) https://regulations.justia.com/regulations/fedreg/2020/03/02/2020-04185.html https://regulations.justia.com/regulations/fedreg/2020/03/02/2020-04185.html Mon, 02 Mar 2020 00:00:00 -0800 2020-04185 Notice https://www.govinfo.gov/content/pkg/FR-2020-03-02/pdf/2020-04185.pdf Notice - 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 Standards https://regulations.justia.com/regulations/fedreg/2020/03/02/2020-04184.html https://regulations.justia.com/regulations/fedreg/2020/03/02/2020-04184.html Mon, 02 Mar 2020 00:00:00 -0800 2020-04184 Notice https://www.govinfo.gov/content/pkg/FR-2020-03-02/pdf/2020-04184.pdf Notice - 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 Process https://regulations.justia.com/regulations/fedreg/2020/03/02/2020-04183.html https://regulations.justia.com/regulations/fedreg/2020/03/02/2020-04183.html Mon, 02 Mar 2020 00:00:00 -0800 2020-04183 Notice https://www.govinfo.gov/content/pkg/FR-2020-03-02/pdf/2020-04183.pdf Rule - Delegation of Authority to the General Counsel of the Commission https://regulations.justia.com/regulations/fedreg/2020/03/02/2020-03705.html https://regulations.justia.com/regulations/fedreg/2020/03/02/2020-03705.html Mon, 02 Mar 2020 00:00:00 -0800 2020-03705 Rule https://www.govinfo.gov/content/pkg/FR-2020-03-02/pdf/2020-03705.pdf