Federal Register Recent Federal Regulation Documents - Justia Regulation Tracker - Justia Regulations Trackerhttps://regulations.justia.com/regulations/fedreg/agencies/agencies-and-commissions/securities-and-exchange-commission/2020/05?limit=200®isters=between&min-day=1&max-day=31&mode=atom2024-05-23T15:40:14-07:00Justia Inchttps://www.justia.com/Justia Regulations Trackerhttps://regulations.justia.com/images/justiafedregulations.gifCopyright 2011 Justia Inchttps://regulations.justia.com/regulations/fedreg/2020/05/29/2020-11714.htmlNotice - Sunshine Act Meeting; Cancellation2020-05-29T00:00:00-07:002020-05-29T00:00:00-07:002020-11714Noticehttps://www.govinfo.gov/content/pkg/FR-2020-05-29/pdf/2020-11714.pdfhttps://regulations.justia.com/regulations/fedreg/2020/05/29/2020-11596.htmlNotice - Proposed Collection; Comment Request2020-05-29T00:00:00-07:002020-05-29T00:00:00-07:002020-11596Noticehttps://www.govinfo.gov/content/pkg/FR-2020-05-29/pdf/2020-11596.pdfhttps://regulations.justia.com/regulations/fedreg/2020/05/29/2020-11595.htmlNotice - Submission for OMB Review; Comment Request2020-05-29T00:00:00-07:002020-05-29T00:00:00-07:002020-11595Noticehttps://www.govinfo.gov/content/pkg/FR-2020-05-29/pdf/2020-11595.pdfhttps://regulations.justia.com/regulations/fedreg/2020/05/29/2020-11594.htmlNotice - Proposed Collection; Comment Request2020-05-29T00:00:00-07:002020-05-29T00:00:00-07:002020-11594Noticehttps://www.govinfo.gov/content/pkg/FR-2020-05-29/pdf/2020-11594.pdfhttps://regulations.justia.com/regulations/fedreg/2020/05/29/2020-11593.htmlNotice - Proposed Collection; Comment Request2020-05-29T00:00:00-07:002020-05-29T00:00:00-07:002020-11593Noticehttps://www.govinfo.gov/content/pkg/FR-2020-05-29/pdf/2020-11593.pdfhttps://regulations.justia.com/regulations/fedreg/2020/05/29/2020-11592.htmlNotice - Submission for OMB Review; Comment Request2020-05-29T00:00:00-07:002020-05-29T00:00:00-07:002020-11592Noticehttps://www.govinfo.gov/content/pkg/FR-2020-05-29/pdf/2020-11592.pdfhttps://regulations.justia.com/regulations/fedreg/2020/05/28/2020-11475.htmlNotice - Self-Regulatory Organizations; BOX Exchange LLC; Order Granting Approval of a Proposed Rule Change To Amend the Provisions of the Limited Liability Company Agreement and Bylaws2020-05-28T00:00:00-07:002020-05-28T00:00:00-07:002020-11475Noticehttps://www.govinfo.gov/content/pkg/FR-2020-05-28/pdf/2020-11475.pdfhttps://regulations.justia.com/regulations/fedreg/2020/05/28/2020-11474.htmlNotice - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Extend the Temporary Period for Specified Commentaries to Rules 7.35, 7.35A, 7.35B, and 7.35C2020-05-28T00:00:00-07:002020-05-28T00:00:00-07:002020-11474Noticehttps://www.govinfo.gov/content/pkg/FR-2020-05-28/pdf/2020-11474.pdfhttps://regulations.justia.com/regulations/fedreg/2020/05/28/2020-11473.htmlNotice - Self-Regulatory Organizations; The Nasdaq Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Make Certain Amendments To Eliminate the Requirement That the Intraday Indicative Value Be Disseminated for Certain Series of Index Fund Shares and All Series of Managed Fund Shares2020-05-28T00:00:00-07:002020-05-28T00:00:00-07:002020-11473Noticehttps://www.govinfo.gov/content/pkg/FR-2020-05-28/pdf/2020-11473.pdfhttps://regulations.justia.com/regulations/fedreg/2020/05/28/2020-11405.htmlNotice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending the NYSE Arca Equities Fees and Charges to Institute Ratio Threshold Fees2020-05-28T00:00:00-07:002020-05-28T00:00:00-07:002020-11405Noticehttps://www.govinfo.gov/content/pkg/FR-2020-05-28/pdf/2020-11405.pdfhttps://regulations.justia.com/regulations/fedreg/2020/05/28/2020-11404.htmlNotice - Self-Regulatory Organizations; ICE Clear Credit LLC; Order Approving Proposed Rule Change Relating to the Clearance of Additional Credit Default Swap Contracts2020-05-28T00:00:00-07:002020-05-28T00:00:00-07:002020-11404Noticehttps://www.govinfo.gov/content/pkg/FR-2020-05-28/pdf/2020-11404.pdfhttps://regulations.justia.com/regulations/fedreg/2020/05/28/2020-11403.htmlNotice - Self-Regulatory Organizations; ICE Clear Europe Limited; Notice of Filing of Proposed Rule Change, as Modified by Partial Amendment No. 1, Relating to the ICE Clear Europe Auction Terms for CDS Default Auctions and CDS Default Management Policy (formerly the CDS Default Management Framework).2020-05-28T00:00:00-07:002020-05-28T00:00:00-07:002020-11403Noticehttps://www.govinfo.gov/content/pkg/FR-2020-05-28/pdf/2020-11403.pdfhttps://regulations.justia.com/regulations/fedreg/2020/05/28/2020-11402.htmlNotice - Self-Regulatory Organizations; ICE Clear Credit LLC; Order Approving Proposed Rule Change Relating to ICC's Treasury Operations Policies and Procedures2020-05-28T00:00:00-07:002020-05-28T00:00:00-07:002020-11402Noticehttps://www.govinfo.gov/content/pkg/FR-2020-05-28/pdf/2020-11402.pdfhttps://regulations.justia.com/regulations/fedreg/2020/05/28/2020-11401.htmlNotice - Self-Regulatory Organizations; ICE Clear Credit LLC; Order Approving Proposed Rule Change Relating to the ICC CDS Instrument On-Boarding Policies and Procedures2020-05-28T00:00:00-07:002020-05-28T00:00:00-07:002020-11401Noticehttps://www.govinfo.gov/content/pkg/FR-2020-05-28/pdf/2020-11401.pdfhttps://regulations.justia.com/regulations/fedreg/2020/05/28/2020-11400.htmlNotice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing of Amendment No. 2 and Order Granting Accelerated Approval of a Proposed Rule Change, as Modified by Amendment No. 2, to List and Trade Shares of the SPDR SSGA Responsible Reserves ESG ETF under NYSE Arca Rule 8.600-E2020-05-28T00:00:00-07:002020-05-28T00:00:00-07:002020-11400Noticehttps://www.govinfo.gov/content/pkg/FR-2020-05-28/pdf/2020-11400.pdfhttps://regulations.justia.com/regulations/fedreg/2020/05/28/2020-11399.htmlNotice - Self-Regulatory Organizations; Cboe Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to the Debit/Credit Price Reasonability Check2020-05-28T00:00:00-07:002020-05-28T00:00:00-07:002020-11399Noticehttps://www.govinfo.gov/content/pkg/FR-2020-05-28/pdf/2020-11399.pdfhttps://regulations.justia.com/regulations/fedreg/2020/05/27/2020-11411.htmlNotice - Sunshine Act Meetings2020-05-27T00:00:00-07:002020-05-27T00:00:00-07:002020-11411Noticehttps://www.govinfo.gov/content/pkg/FR-2020-05-27/pdf/2020-11411.pdfhttps://regulations.justia.com/regulations/fedreg/2020/05/27/2020-11287.htmlNotice - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Temporarily Amend Certain Timing, Method of Service and Other Procedural Requirements in FINRA Rules During the Outbreak of the Coronavirus Disease (COVID-19)2020-05-27T00:00:00-07:002020-05-27T00:00:00-07:002020-11287Noticehttps://www.govinfo.gov/content/pkg/FR-2020-05-27/pdf/2020-11287.pdfhttps://regulations.justia.com/regulations/fedreg/2020/05/27/2020-11286.htmlNotice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Representations Relating to the Redemption Procedures Applicable to the Sprott Physical Gold Trust and the Sprott Physical Silver Trust2020-05-27T00:00:00-07:002020-05-27T00:00:00-07:002020-11286Noticehttps://www.govinfo.gov/content/pkg/FR-2020-05-27/pdf/2020-11286.pdfhttps://regulations.justia.com/regulations/fedreg/2020/05/27/2020-11285.htmlNotice - Self-Regulatory Organizations; The Depository Trust Company; Fixed Income Clearing Corporation; National Securities Clearing Corporation; Order Approving a Proposed Rule Change To Modify the Clearing Agency Model Risk Management Framework2020-05-27T00:00:00-07:002020-05-27T00:00:00-07:002020-11285Noticehttps://www.govinfo.gov/content/pkg/FR-2020-05-27/pdf/2020-11285.pdfhttps://regulations.justia.com/regulations/fedreg/2020/05/27/2020-11284.htmlNotice - Self-Regulatory Organizations; Fixed Income Clearing Corporation; Order Approving a Proposed Rule Change To Amend the Government Securities Division Rulebook Relating to the Legal Entity Identifier Requirement2020-05-27T00:00:00-07:002020-05-27T00:00:00-07:002020-11284Noticehttps://www.govinfo.gov/content/pkg/FR-2020-05-27/pdf/2020-11284.pdfhttps://regulations.justia.com/regulations/fedreg/2020/05/27/2020-11283.htmlNotice - Program for Allocation of Regulatory Responsibilities Pursuant to Rule 17d-2; Notice of Filing of Proposed Plan for the Allocation of Regulatory Responsibilities Between the Financial Industry Regulatory Authority, Inc. and MEMX LLC2020-05-27T00:00:00-07:002020-05-27T00:00:00-07:002020-11283Noticehttps://www.govinfo.gov/content/pkg/FR-2020-05-27/pdf/2020-11283.pdfhttps://regulations.justia.com/regulations/fedreg/2020/05/26/2020-11290.htmlNotice - Sunshine Act Meetings2020-05-26T00:00:00-07:002020-05-26T00:00:00-07:002020-11290Noticehttps://www.govinfo.gov/content/pkg/FR-2020-05-26/pdf/2020-11290.pdfhttps://regulations.justia.com/regulations/fedreg/2020/05/26/2020-11253.htmlNotice - Notice of Intention To Cancel Registration Pursuant to Section 203(H) of the Investment Advisers Act of 19402020-05-26T00:00:00-07:002020-05-26T00:00:00-07:002020-11253Noticehttps://www.govinfo.gov/content/pkg/FR-2020-05-26/pdf/2020-11253.pdfhttps://regulations.justia.com/regulations/fedreg/2020/05/26/2020-11139.htmlNotice - Sutter Rock Capital Corp.2020-05-26T00:00:00-07:002020-05-26T00:00:00-07:002020-11139Noticehttps://www.govinfo.gov/content/pkg/FR-2020-05-26/pdf/2020-11139.pdfhttps://regulations.justia.com/regulations/fedreg/2020/05/26/2020-11138.htmlNotice - Self-Regulatory Organizations; ICE Clear Europe Limited; Notice of Filing and Immediate Effectiveness of Proposed Rule Change, Security-Based Swap Submission or Advance Notice Relating to Amendments to the ICE Clear Europe Auction Terms for F&O Default Auctions and F&O Default Management Policy (Formerly the F&O Default Management Framework)2020-05-26T00:00:00-07:002020-05-26T00:00:00-07:002020-11138Noticehttps://www.govinfo.gov/content/pkg/FR-2020-05-26/pdf/2020-11138.pdfhttps://regulations.justia.com/regulations/fedreg/2020/05/26/2020-11137.htmlNotice - Self-Regulatory Organizations; ICE Clear Europe Limited; Notice of Filing of Proposed Rule Change, Security-Based Swap Submission or Advance Notice Relating to the ICE Clear Europe Investment Management Procedures and Treasury and Banking Services Policy (To Be Renamed Liquidity and Investment Management Policy)2020-05-26T00:00:00-07:002020-05-26T00:00:00-07:002020-11137Noticehttps://www.govinfo.gov/content/pkg/FR-2020-05-26/pdf/2020-11137.pdfhttps://regulations.justia.com/regulations/fedreg/2020/05/26/2020-11136.htmlNotice - Self-Regulatory Organizations; NYSE National, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Its Rules To Add New Rule 7.192020-05-26T00:00:00-07:002020-05-26T00:00:00-07:002020-11136Noticehttps://www.govinfo.gov/content/pkg/FR-2020-05-26/pdf/2020-11136.pdfhttps://regulations.justia.com/regulations/fedreg/2020/05/26/2020-11135.htmlNotice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Its Rules To Add New Rule 7.19-E2020-05-26T00:00:00-07:002020-05-26T00:00:00-07:002020-11135Noticehttps://www.govinfo.gov/content/pkg/FR-2020-05-26/pdf/2020-11135.pdfhttps://regulations.justia.com/regulations/fedreg/2020/05/26/2020-11134.htmlNotice - Self-Regulatory Organizations; NYSE Chicago, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Its Rules To Add New Rule 7.192020-05-26T00:00:00-07:002020-05-26T00:00:00-07:002020-11134Noticehttps://www.govinfo.gov/content/pkg/FR-2020-05-26/pdf/2020-11134.pdfhttps://regulations.justia.com/regulations/fedreg/2020/05/26/2020-11133.htmlNotice - Self-Regulatory Organizations; Cboe BYX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Certain Rules in Connection With the Exchange's Disciplinary Process2020-05-26T00:00:00-07:002020-05-26T00:00:00-07:002020-11133Noticehttps://www.govinfo.gov/content/pkg/FR-2020-05-26/pdf/2020-11133.pdfhttps://regulations.justia.com/regulations/fedreg/2020/05/22/2020-11216.htmlNotice - Sunshine Act Meeting; Cancellation2020-05-22T00:00:00-07:002020-05-22T00:00:00-07:002020-11216Noticehttps://www.govinfo.gov/content/pkg/FR-2020-05-22/pdf/2020-11216.pdfhttps://regulations.justia.com/regulations/fedreg/2020/05/22/2020-11143.htmlNotice - Sunshine Act Meetings2020-05-22T00:00:00-07:002020-05-22T00:00:00-07:002020-11143Noticehttps://www.govinfo.gov/content/pkg/FR-2020-05-22/pdf/2020-11143.pdfhttps://regulations.justia.com/regulations/fedreg/2020/05/22/2020-11122.htmlNotice - Self-Regulatory Organizations; The Options Clearing Corporation; Notice of Filing of Advance Notice Concerning Changes to The Options Clearing Corporation's Non-Bank Liquidity Facility Program as Part of Its Overall Liquidity Plan2020-05-22T00:00:00-07:002020-05-22T00:00:00-07:002020-11122Noticehttps://www.govinfo.gov/content/pkg/FR-2020-05-22/pdf/2020-11122.pdfhttps://regulations.justia.com/regulations/fedreg/2020/05/22/2020-11045.htmlNotice - Self-Regulatory Organizations; New York Stock Exchange LLC, NYSE American LLC, NYSE Arca, Inc., NYSE Chicago, Inc., and NYSE National, Inc.; Order Instituting Proceedings To Determine Whether To Approve or Disapprove Proposed Rule Changes To Establish a Wireless Fee Schedule Setting Forth Available Wireless Bandwidth Connections and Wireless Market Data Connections and Associated Fees2020-05-22T00:00:00-07:002020-05-22T00:00:00-07:002020-11045Noticehttps://www.govinfo.gov/content/pkg/FR-2020-05-22/pdf/2020-11045.pdfhttps://regulations.justia.com/regulations/fedreg/2020/05/22/2020-11044.htmlNotice - Self-Regulatory Organizations; Cboe EDGX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Certain Rules in Connection With the Exchange's Disciplinary Process2020-05-22T00:00:00-07:002020-05-22T00:00:00-07:002020-11044Noticehttps://www.govinfo.gov/content/pkg/FR-2020-05-22/pdf/2020-11044.pdfhttps://regulations.justia.com/regulations/fedreg/2020/05/22/2020-11043.htmlNotice - Self-Regulatory Organizations; Cboe EDGA Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Certain Rules in Connection With the Exchange's Disciplinary Process2020-05-22T00:00:00-07:002020-05-22T00:00:00-07:002020-11043Noticehttps://www.govinfo.gov/content/pkg/FR-2020-05-22/pdf/2020-11043.pdfhttps://regulations.justia.com/regulations/fedreg/2020/05/22/2020-11042.htmlNotice - Self-Regulatory Organizations; Cboe BZX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Certain Rules in Connection With the Exchange's Disciplinary Process2020-05-22T00:00:00-07:002020-05-22T00:00:00-07:002020-11042Noticehttps://www.govinfo.gov/content/pkg/FR-2020-05-22/pdf/2020-11042.pdfhttps://regulations.justia.com/regulations/fedreg/2020/05/22/2020-11041.htmlNotice - Self-Regulatory Organizations; BOX Exchange LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend IM-3120-2 to BOX Rule 3120 (“Position Limits”) To Increase Position Limits for Options on Certain Exchange-Traded Funds (“ETFs”), and Thereby Similarly Increase Exercise Limits Under IM-3140-1 for Certain ETFs2020-05-22T00:00:00-07:002020-05-22T00:00:00-07:002020-11041Noticehttps://www.govinfo.gov/content/pkg/FR-2020-05-22/pdf/2020-11041.pdfhttps://regulations.justia.com/regulations/fedreg/2020/05/22/2020-11040.htmlNotice - Self-Regulatory Organizations; Miami International Securities Exchange, LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Exchange Rule 307, Position Limits, and Exchange Rule 309, Exercise Limits, To Increase the Position and Exercise Limits on Certain Exchange-Traded Funds2020-05-22T00:00:00-07:002020-05-22T00:00:00-07:002020-11040Noticehttps://www.govinfo.gov/content/pkg/FR-2020-05-22/pdf/2020-11040.pdfhttps://regulations.justia.com/regulations/fedreg/2020/05/22/2020-11039.htmlNotice - Self-Regulatory Organizations; BOX Exchange LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend BOX Rule 7270 (Block Trades) To Add an Automatic Matching Feature to the Facilitation Auction Mechanism2020-05-22T00:00:00-07:002020-05-22T00:00:00-07:002020-11039Noticehttps://www.govinfo.gov/content/pkg/FR-2020-05-22/pdf/2020-11039.pdfhttps://regulations.justia.com/regulations/fedreg/2020/05/22/2020-11035.htmlNotice - Varagon Capital Corporation, et al.2020-05-22T00:00:00-07:002020-05-22T00:00:00-07:002020-11035Noticehttps://www.govinfo.gov/content/pkg/FR-2020-05-22/pdf/2020-11035.pdfhttps://regulations.justia.com/regulations/fedreg/2020/05/22/2020-11031.htmlNotice - Intention To Cancel Registration Pursuant to Section 203(H) of the Investment Advisers Act of 19402020-05-22T00:00:00-07:002020-05-22T00:00:00-07:002020-11031Noticehttps://www.govinfo.gov/content/pkg/FR-2020-05-22/pdf/2020-11031.pdfhttps://regulations.justia.com/regulations/fedreg/2020/05/22/2020-10963.htmlNotice - Amendments to the National Market System Plan Governing the Consolidated Audit Trail2020-05-22T00:00:00-07:002020-05-22T00:00:00-07:002020-10963Noticehttps://www.govinfo.gov/content/pkg/FR-2020-05-22/pdf/2020-10963.pdfhttps://regulations.justia.com/regulations/fedreg/2020/05/21/2020-10935.htmlNotice - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Extend the Temporary Period for Commentaries to Rules 7.35, 7.35A, 7.35B, and 7.35C2020-05-21T00:00:00-07:002020-05-21T00:00:00-07:002020-10935Noticehttps://www.govinfo.gov/content/pkg/FR-2020-05-21/pdf/2020-10935.pdfhttps://regulations.justia.com/regulations/fedreg/2020/05/21/2020-10934.htmlNotice - Self-Regulatory Organizations; BOX Exchange LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the Fee Schedule on the BOX Options Market LLC (“BOX”) Facility To Remove the Pricing Changes That Were in Effect While the Trading Floor Was Inoperable2020-05-21T00:00:00-07:002020-05-21T00:00:00-07:002020-10934Noticehttps://www.govinfo.gov/content/pkg/FR-2020-05-21/pdf/2020-10934.pdfhttps://regulations.justia.com/regulations/fedreg/2020/05/21/2020-10933.htmlNotice - Self-Regulatory Organizations; Cboe BZX Exchange, Inc.; Notice of Designation of a Longer Period for Commission Action on a Proposed Rule Change, as Modified by Amendment No. 1, To List and Trade Shares of the JPMorgan Large Cap Growth ETF Under BZX Rule 14.11(k), Managed Portfolio Shares2020-05-21T00:00:00-07:002020-05-21T00:00:00-07:002020-10933Noticehttps://www.govinfo.gov/content/pkg/FR-2020-05-21/pdf/2020-10933.pdfhttps://regulations.justia.com/regulations/fedreg/2020/05/21/2020-10932.htmlNotice - Self-Regulatory Organizations; Cboe BZX Exchange, Inc.; Notice of Filing of Amendment No. 5 and Order Granting Accelerated Approval of a Proposed Rule Change, as Modified by Amendment No. 5, To Adopt Rule 14.11(m), Tracking Fund Shares, and To List and Trade Shares of the Fidelity Blue Chip Value ETF, Fidelity Blue Chip Growth ETF, and Fidelity New Millennium ETF2020-05-21T00:00:00-07:002020-05-21T00:00:00-07:002020-10932Noticehttps://www.govinfo.gov/content/pkg/FR-2020-05-21/pdf/2020-10932.pdfhttps://regulations.justia.com/regulations/fedreg/2020/05/21/2020-10931.htmlNotice - Self-Regulatory Organizations; Cboe Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Rule 5.242020-05-21T00:00:00-07:002020-05-21T00:00:00-07:002020-10931Noticehttps://www.govinfo.gov/content/pkg/FR-2020-05-21/pdf/2020-10931.pdfhttps://regulations.justia.com/regulations/fedreg/2020/05/21/2020-10930.htmlNotice - Self-Regulatory Organizations; National Securities Clearing Corporation; Notice of Designation of Longer Period for Commission Action on a Proposed Rule Change To Enhance National Securities Clearing Corporation's Haircut-Based Volatility Charge Applicable to Illiquid Securities and UITs and Make Certain Other Changes to Procedure XV2020-05-21T00:00:00-07:002020-05-21T00:00:00-07:002020-10930Noticehttps://www.govinfo.gov/content/pkg/FR-2020-05-21/pdf/2020-10930.pdf