<![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/2020/06?registers=between&min-day=1&max-day=30 Mon, 06 May 2024 17:22:06 -0700 Mon, 06 May 2024 17:22:06 -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/2020/06?registers=between&min-day=1&max-day=30 Notice - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing of Proposed Rule Change, as Modified by Amendment No. 2, To Amend Chapter One of the Listed Company Manual To Modify the Provisions Relating to Direct Listings https://regulations.justia.com/regulations/fedreg/2020/06/30/2020-14013.html https://regulations.justia.com/regulations/fedreg/2020/06/30/2020-14013.html Tue, 30 Jun 2020 00:00:00 -0700 2020-14013 Notice https://www.govinfo.gov/content/pkg/FR-2020-06-30/pdf/2020-14013.pdf Notice - Self-Regulatory Organizations; New York Stock Exchange 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. 2, To Amend Chapter One of the Listed Company Manual To Modify the Provisions Relating to Direct Listings https://regulations.justia.com/regulations/fedreg/2020/06/30/2020-14012.html https://regulations.justia.com/regulations/fedreg/2020/06/30/2020-14012.html Tue, 30 Jun 2020 00:00:00 -0700 2020-14012 Notice https://www.govinfo.gov/content/pkg/FR-2020-06-30/pdf/2020-14012.pdf Notice - Self-Regulatory Organizations: Investors Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend IEX Rule 11.190(b)(13) To Discontinue the Market Maker Peg Order and Make Conforming Changes https://regulations.justia.com/regulations/fedreg/2020/06/30/2020-14011.html https://regulations.justia.com/regulations/fedreg/2020/06/30/2020-14011.html Tue, 30 Jun 2020 00:00:00 -0700 2020-14011 Notice https://www.govinfo.gov/content/pkg/FR-2020-06-30/pdf/2020-14011.pdf Notice - Self-Regulatory Organizations; National Securities Clearing Corporation; Order Instituting Proceedings To Determine Whether To Approve or Disapprove 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 XV https://regulations.justia.com/regulations/fedreg/2020/06/30/2020-14010.html https://regulations.justia.com/regulations/fedreg/2020/06/30/2020-14010.html Tue, 30 Jun 2020 00:00:00 -0700 2020-14010 Notice https://www.govinfo.gov/content/pkg/FR-2020-06-30/pdf/2020-14010.pdf Notice - Self-Regulatory Organizations; ICE Clear Credit LLC; Order Approving 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/2020/06/30/2020-14009.html https://regulations.justia.com/regulations/fedreg/2020/06/30/2020-14009.html Tue, 30 Jun 2020 00:00:00 -0700 2020-14009 Notice https://www.govinfo.gov/content/pkg/FR-2020-06-30/pdf/2020-14009.pdf Notice - Self-Regulatory Organizations; National Securities Clearing Corporation; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Modify the Clearing Fund Maintenance Fee https://regulations.justia.com/regulations/fedreg/2020/06/30/2020-14008.html https://regulations.justia.com/regulations/fedreg/2020/06/30/2020-14008.html Tue, 30 Jun 2020 00:00:00 -0700 2020-14008 Notice https://www.govinfo.gov/content/pkg/FR-2020-06-30/pdf/2020-14008.pdf Notice - Self-Regulatory Organizations; MEMX LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the Exchange's Compliance Rules Regarding the National Market System Plan Governing the Consolidated Audit Trail https://regulations.justia.com/regulations/fedreg/2020/06/30/2020-14007.html https://regulations.justia.com/regulations/fedreg/2020/06/30/2020-14007.html Tue, 30 Jun 2020 00:00:00 -0700 2020-14007 Notice https://www.govinfo.gov/content/pkg/FR-2020-06-30/pdf/2020-14007.pdf Proposed Rule - Credit Risk Retention-Notification of Commencement of Review; Extension of Review Period https://regulations.justia.com/regulations/fedreg/2020/06/30/2020-13830.html https://regulations.justia.com/regulations/fedreg/2020/06/30/2020-13830.html Tue, 30 Jun 2020 00:00:00 -0700 2020-13830 Proposed Rule https://www.govinfo.gov/content/pkg/FR-2020-06-30/pdf/2020-13830.pdf Notice - Sunshine Act Meetings https://regulations.justia.com/regulations/fedreg/2020/06/29/2020-14017.html https://regulations.justia.com/regulations/fedreg/2020/06/29/2020-14017.html Mon, 29 Jun 2020 00:00:00 -0700 2020-14017 Notice https://www.govinfo.gov/content/pkg/FR-2020-06-29/pdf/2020-14017.pdf Notice - Self-Regulatory Organizations; Cboe BYX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to Amend Certain Rules Within Rules 4.5 Through 4.16, Which Contain the Exchange's Compliance Rule (“Compliance Rule”) Regarding the National Market System Plan Governing the Consolidated Audit Trail (the “CAT NMS Plan” or “Plan”) https://regulations.justia.com/regulations/fedreg/2020/06/29/2020-13880.html https://regulations.justia.com/regulations/fedreg/2020/06/29/2020-13880.html Mon, 29 Jun 2020 00:00:00 -0700 2020-13880 Notice https://www.govinfo.gov/content/pkg/FR-2020-06-29/pdf/2020-13880.pdf Notice - Self-Regulatory Organizations; The Nasdaq Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Nasdaq General 7 (Consolidated Audit Trail Compliance) https://regulations.justia.com/regulations/fedreg/2020/06/29/2020-13879.html https://regulations.justia.com/regulations/fedreg/2020/06/29/2020-13879.html Mon, 29 Jun 2020 00:00:00 -0700 2020-13879 Notice https://www.govinfo.gov/content/pkg/FR-2020-06-29/pdf/2020-13879.pdf Notice - Self-Regulatory Organizations; Miami International Securities Exchange, LLC; Notice of Filing and Order Granting Accelerated Approval of a Proposed Rule Change To Add the Consolidated Audit Trail Industry Member Compliance Rules to Exchange Rule 1014, Imposition of Fines for Minor Rule Violations https://regulations.justia.com/regulations/fedreg/2020/06/29/2020-13878.html https://regulations.justia.com/regulations/fedreg/2020/06/29/2020-13878.html Mon, 29 Jun 2020 00:00:00 -0700 2020-13878 Notice https://www.govinfo.gov/content/pkg/FR-2020-06-29/pdf/2020-13878.pdf Notice - Self-Regulatory Organizations; Cboe BZX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating To Amend Certain Rules Within Rules 4.5 Through 4.16, Which Contain the Exchange's Compliance Rule (“Compliance Rule”) Regarding the National Market System Plan Governing the Consolidated Audit Trail (the “CAT NMS Plan” or “Plan”) https://regulations.justia.com/regulations/fedreg/2020/06/29/2020-13877.html https://regulations.justia.com/regulations/fedreg/2020/06/29/2020-13877.html Mon, 29 Jun 2020 00:00:00 -0700 2020-13877 Notice https://www.govinfo.gov/content/pkg/FR-2020-06-29/pdf/2020-13877.pdf Notice - Self-Regulatory Organizations; Cboe EDGX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating To Amend Certain Rules Within Rules 4.5 Through 4.16, Which Contain the Exchange's Compliance Rule (“Compliance Rule”) Regarding the National Market System Plan Governing the Consolidated Audit Trail (the “CAT NMS Plan” or “Plan”) https://regulations.justia.com/regulations/fedreg/2020/06/29/2020-13876.html https://regulations.justia.com/regulations/fedreg/2020/06/29/2020-13876.html Mon, 29 Jun 2020 00:00:00 -0700 2020-13876 Notice https://www.govinfo.gov/content/pkg/FR-2020-06-29/pdf/2020-13876.pdf Notice - Self-Regulatory Organizations; Cboe Exchange, Inc.; Notice of Filing of a Proposed Rule Change To Amend Rule 5.24 https://regulations.justia.com/regulations/fedreg/2020/06/29/2020-13875.html https://regulations.justia.com/regulations/fedreg/2020/06/29/2020-13875.html Mon, 29 Jun 2020 00:00:00 -0700 2020-13875 Notice https://www.govinfo.gov/content/pkg/FR-2020-06-29/pdf/2020-13875.pdf Notice - Self-Regulatory Organizations; Cboe EDGA Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating To Amend Certain Rules Within Rules 4.5 Through 4.16, Which Contain the Exchange's Compliance Rule (“Compliance Rule”) Regarding the National Market System Plan Governing the Consolidated Audit Trail (the “CAT NMS Plan” or “Plan”) https://regulations.justia.com/regulations/fedreg/2020/06/29/2020-13874.html https://regulations.justia.com/regulations/fedreg/2020/06/29/2020-13874.html Mon, 29 Jun 2020 00:00:00 -0700 2020-13874 Notice https://www.govinfo.gov/content/pkg/FR-2020-06-29/pdf/2020-13874.pdf Notice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Permit the Continued Listing and Trading of the WisdomTree Mortgage Plus Bond Fund https://regulations.justia.com/regulations/fedreg/2020/06/29/2020-13873.html https://regulations.justia.com/regulations/fedreg/2020/06/29/2020-13873.html Mon, 29 Jun 2020 00:00:00 -0700 2020-13873 Notice https://www.govinfo.gov/content/pkg/FR-2020-06-29/pdf/2020-13873.pdf Notice - Self-Regulatory Organizations; Cboe Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Rule 6.1 in Order To Provide for a Consistent Documentation of Open Outcry Execution Information in the Event of an Exchange System Malfunction or Disruption https://regulations.justia.com/regulations/fedreg/2020/06/29/2020-13872.html https://regulations.justia.com/regulations/fedreg/2020/06/29/2020-13872.html Mon, 29 Jun 2020 00:00:00 -0700 2020-13872 Notice https://www.govinfo.gov/content/pkg/FR-2020-06-29/pdf/2020-13872.pdf Notice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing of Proposed Rule Change, as Modified by Amendment No. 2, Relating to the Listing and Trading of the Shares of Natixis Vaughan Nelson Select ETF and Natixis Vaughan Nelson MidCap ETF Under Proposed NYSE Arca Rule 8.601-E https://regulations.justia.com/regulations/fedreg/2020/06/29/2020-13871.html https://regulations.justia.com/regulations/fedreg/2020/06/29/2020-13871.html Mon, 29 Jun 2020 00:00:00 -0700 2020-13871 Notice https://www.govinfo.gov/content/pkg/FR-2020-06-29/pdf/2020-13871.pdf Notice - Self-Regulatory Organizations; Cboe BZX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the Content of the Cboe One Feed Under Rule 11.22(j) to Identify the Primary Listing Market's Official Opening and Closing Price https://regulations.justia.com/regulations/fedreg/2020/06/29/2020-13870.html https://regulations.justia.com/regulations/fedreg/2020/06/29/2020-13870.html Mon, 29 Jun 2020 00:00:00 -0700 2020-13870 Notice https://www.govinfo.gov/content/pkg/FR-2020-06-29/pdf/2020-13870.pdf Notice - Self-Regulatory Organizations; Cboe BYX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the Content of the Cboe One Feed Under Rule 11.22(i) to Identify the Primary Listing Market's Official Opening and Closing Price https://regulations.justia.com/regulations/fedreg/2020/06/29/2020-13869.html https://regulations.justia.com/regulations/fedreg/2020/06/29/2020-13869.html Mon, 29 Jun 2020 00:00:00 -0700 2020-13869 Notice https://www.govinfo.gov/content/pkg/FR-2020-06-29/pdf/2020-13869.pdf Notice - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Order Granting Accelerated Approval of a Proposed Rule Change To Add the Consolidated Audit Trail Industry Member Compliance Rules to the List of Minor Rule Violations https://regulations.justia.com/regulations/fedreg/2020/06/29/2020-13868.html https://regulations.justia.com/regulations/fedreg/2020/06/29/2020-13868.html Mon, 29 Jun 2020 00:00:00 -0700 2020-13868 Notice https://www.govinfo.gov/content/pkg/FR-2020-06-29/pdf/2020-13868.pdf Notice - Sunshine Act Meeting; Cancellation https://regulations.justia.com/regulations/fedreg/2020/06/26/2020-13933.html https://regulations.justia.com/regulations/fedreg/2020/06/26/2020-13933.html Fri, 26 Jun 2020 00:00:00 -0700 2020-13933 Notice https://www.govinfo.gov/content/pkg/FR-2020-06-26/pdf/2020-13933.pdf Notice - Order Under Section 6(c) and Section 38(a) of the Investment Company Act of 1940 Granting Exemptions From Sections 15(c) and 32(a) of the Investment Company Act and Rules 12b-1(b)(2) and 15a-4(b)(2)(ii) Thereunder https://regulations.justia.com/regulations/fedreg/2020/06/26/2020-13790.html https://regulations.justia.com/regulations/fedreg/2020/06/26/2020-13790.html Fri, 26 Jun 2020 00:00:00 -0700 2020-13790 Notice https://www.govinfo.gov/content/pkg/FR-2020-06-26/pdf/2020-13790.pdf Notice - Self-Regulatory Organizations: Investors Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend IEX Rule Series 11.600 (Consolidated Audit Trail Compliance Rule) https://regulations.justia.com/regulations/fedreg/2020/06/26/2020-13773.html https://regulations.justia.com/regulations/fedreg/2020/06/26/2020-13773.html Fri, 26 Jun 2020 00:00:00 -0700 2020-13773 Notice https://www.govinfo.gov/content/pkg/FR-2020-06-26/pdf/2020-13773.pdf Notice - Self-Regulatory Organizations; Nasdaq BX, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Equity 7, Section 118 https://regulations.justia.com/regulations/fedreg/2020/06/26/2020-13772.html https://regulations.justia.com/regulations/fedreg/2020/06/26/2020-13772.html Fri, 26 Jun 2020 00:00:00 -0700 2020-13772 Notice https://www.govinfo.gov/content/pkg/FR-2020-06-26/pdf/2020-13772.pdf Notice - Self-Regulatory Organizations; BOX Exchange LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend BOX Rule 16000 Series (Consolidated Audit Trail Compliance Rule) https://regulations.justia.com/regulations/fedreg/2020/06/26/2020-13771.html https://regulations.justia.com/regulations/fedreg/2020/06/26/2020-13771.html Fri, 26 Jun 2020 00:00:00 -0700 2020-13771 Notice https://www.govinfo.gov/content/pkg/FR-2020-06-26/pdf/2020-13771.pdf Notice - Self-Regulatory Organizations; The Nasdaq Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Equity 7, Section 114 and Equity 7, Section 118(a) of the Fee Schedule https://regulations.justia.com/regulations/fedreg/2020/06/26/2020-13770.html https://regulations.justia.com/regulations/fedreg/2020/06/26/2020-13770.html Fri, 26 Jun 2020 00:00:00 -0700 2020-13770 Notice https://www.govinfo.gov/content/pkg/FR-2020-06-26/pdf/2020-13770.pdf Notice - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the FINRA Rule 6800 Series (Consolidated Audit Trail Compliance Rule) https://regulations.justia.com/regulations/fedreg/2020/06/26/2020-13769.html https://regulations.justia.com/regulations/fedreg/2020/06/26/2020-13769.html Fri, 26 Jun 2020 00:00:00 -0700 2020-13769 Notice https://www.govinfo.gov/content/pkg/FR-2020-06-26/pdf/2020-13769.pdf Notice - Self-Regulatory Organizations; Long-Term Stock Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the LTSE Rule 11.600 Series (Consolidated Audit Trail Compliance Rule) https://regulations.justia.com/regulations/fedreg/2020/06/26/2020-13767.html https://regulations.justia.com/regulations/fedreg/2020/06/26/2020-13767.html Fri, 26 Jun 2020 00:00:00 -0700 2020-13767 Notice https://www.govinfo.gov/content/pkg/FR-2020-06-26/pdf/2020-13767.pdf Notice - Self-Regulatory Organizations; Miami International Securities Exchange, 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/2020/06/26/2020-13766.html https://regulations.justia.com/regulations/fedreg/2020/06/26/2020-13766.html Fri, 26 Jun 2020 00:00:00 -0700 2020-13766 Notice https://www.govinfo.gov/content/pkg/FR-2020-06-26/pdf/2020-13766.pdf Notice - Self-Regulatory Organizations; The Nasdaq Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Adopt Nasdaq Rule 5750 To List and Trade Proxy Portfolio Shares https://regulations.justia.com/regulations/fedreg/2020/06/26/2020-13764.html https://regulations.justia.com/regulations/fedreg/2020/06/26/2020-13764.html Fri, 26 Jun 2020 00:00:00 -0700 2020-13764 Notice https://www.govinfo.gov/content/pkg/FR-2020-06-26/pdf/2020-13764.pdf Notice - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing of Amendment No. 2 and Order Granting Accelerated Approval of Proposed Rule Change, as Modified by Amendment No. 2, To Amend Consolidated Audit Trail Compliance Rules https://regulations.justia.com/regulations/fedreg/2020/06/25/2020-13678.html https://regulations.justia.com/regulations/fedreg/2020/06/25/2020-13678.html Thu, 25 Jun 2020 00:00:00 -0700 2020-13678 Notice https://www.govinfo.gov/content/pkg/FR-2020-06-25/pdf/2020-13678.pdf Notice - Self-Regulatory Organizations; NYSE American LLC; Notice of Filing of Amendment No. 2 and Order Granting Accelerated Approval of Proposed Rule Change, as Modified by Amendment No. 2, To Amend Consolidated Audit Trail Compliance Rules https://regulations.justia.com/regulations/fedreg/2020/06/25/2020-13671.html https://regulations.justia.com/regulations/fedreg/2020/06/25/2020-13671.html Thu, 25 Jun 2020 00:00:00 -0700 2020-13671 Notice https://www.govinfo.gov/content/pkg/FR-2020-06-25/pdf/2020-13671.pdf Notice - Self-Regulatory Organizations; NYSE Chicago, Inc.; Notice of Filing of Amendment No. 3 and Order Granting Accelerated Approval of Proposed Rule Change, as Modified by Amendment No. 3, To Amend Consolidated Audit Trail Compliance Rules https://regulations.justia.com/regulations/fedreg/2020/06/25/2020-13669.html https://regulations.justia.com/regulations/fedreg/2020/06/25/2020-13669.html Thu, 25 Jun 2020 00:00:00 -0700 2020-13669 Notice https://www.govinfo.gov/content/pkg/FR-2020-06-25/pdf/2020-13669.pdf Notice - Self-Regulatory Organizations; NYSE National, Inc.; Notice of Filing of Amendment No. 2 and Order Granting Accelerated Approval of Proposed Rule Change, as Modified by Amendment No. 2, To Amend Consolidated Audit Trail Compliance Rules https://regulations.justia.com/regulations/fedreg/2020/06/25/2020-13668.html https://regulations.justia.com/regulations/fedreg/2020/06/25/2020-13668.html Thu, 25 Jun 2020 00:00:00 -0700 2020-13668 Notice https://www.govinfo.gov/content/pkg/FR-2020-06-25/pdf/2020-13668.pdf Notice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing of Amendment No. 2 and Order Granting Accelerated Approval of Proposed Rule Change, as Modified by Amendment No. 2, To Amend Consolidated Audit Trail Compliance Rules https://regulations.justia.com/regulations/fedreg/2020/06/25/2020-13667.html https://regulations.justia.com/regulations/fedreg/2020/06/25/2020-13667.html Thu, 25 Jun 2020 00:00:00 -0700 2020-13667 Notice https://www.govinfo.gov/content/pkg/FR-2020-06-25/pdf/2020-13667.pdf Notice - Self-Regulatory Organizations; National Securities Clearing Corporation; Notice of Filing of and Immediate Effectiveness of a Proposed Rule Change To Amend Rules With Respect to Index Receipts https://regulations.justia.com/regulations/fedreg/2020/06/24/2020-13541.html https://regulations.justia.com/regulations/fedreg/2020/06/24/2020-13541.html Wed, 24 Jun 2020 00:00:00 -0700 2020-13541 Notice https://www.govinfo.gov/content/pkg/FR-2020-06-24/pdf/2020-13541.pdf Notice - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing of Amendment No. 1 and Order Granting Accelerated Approval of a Proposed Rule Change, as Modified by Amendment No. 1, 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/2020/06/24/2020-13539.html https://regulations.justia.com/regulations/fedreg/2020/06/24/2020-13539.html Wed, 24 Jun 2020 00:00:00 -0700 2020-13539 Notice https://www.govinfo.gov/content/pkg/FR-2020-06-24/pdf/2020-13539.pdf Notice - Self-Regulatory Organizations; Miami International Securities Exchange, LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Temporarily Extend Filing Deadlines for Certain Supervision-Related Reports https://regulations.justia.com/regulations/fedreg/2020/06/24/2020-13537.html https://regulations.justia.com/regulations/fedreg/2020/06/24/2020-13537.html Wed, 24 Jun 2020 00:00:00 -0700 2020-13537 Notice https://www.govinfo.gov/content/pkg/FR-2020-06-24/pdf/2020-13537.pdf Notice - Self-Regulatory Organizations; ICE Clear Europe Limited; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Amendments to the ICE Clear Europe Model Risk Governance Framework https://regulations.justia.com/regulations/fedreg/2020/06/24/2020-13536.html https://regulations.justia.com/regulations/fedreg/2020/06/24/2020-13536.html Wed, 24 Jun 2020 00:00:00 -0700 2020-13536 Notice https://www.govinfo.gov/content/pkg/FR-2020-06-24/pdf/2020-13536.pdf Notice - Self-Regulatory Organizations; Municipal Securities Rulemaking Board; Notice of Filing of a Proposed Rule Change Consisting of Amendments to MSRB Rules A-3 and A-6 That Are Designed To Improve Board Governance https://regulations.justia.com/regulations/fedreg/2020/06/24/2020-13535.html https://regulations.justia.com/regulations/fedreg/2020/06/24/2020-13535.html Wed, 24 Jun 2020 00:00:00 -0700 2020-13535 Notice https://www.govinfo.gov/content/pkg/FR-2020-06-24/pdf/2020-13535.pdf Notice - Submission for OMB Review; Comment Request https://regulations.justia.com/regulations/fedreg/2020/06/23/2020-13512.html https://regulations.justia.com/regulations/fedreg/2020/06/23/2020-13512.html Tue, 23 Jun 2020 00:00:00 -0700 2020-13512 Notice https://www.govinfo.gov/content/pkg/FR-2020-06-23/pdf/2020-13512.pdf Notice - Asset Management Advisory Committee https://regulations.justia.com/regulations/fedreg/2020/06/23/2020-13484.html https://regulations.justia.com/regulations/fedreg/2020/06/23/2020-13484.html Tue, 23 Jun 2020 00:00:00 -0700 2020-13484 Notice https://www.govinfo.gov/content/pkg/FR-2020-06-23/pdf/2020-13484.pdf Notice - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Add, for a Temporary Period That Begins on June 17, 2020, Commentary .06 to Rule 7.35A; Commentary .03 to Rule 7.35B; Supplementary Material .20 to Rule 76; and an Amendment to Supplementary Material .30 to Rule 36 To Support the Partial Return of Designated Market Makers to the Trading Floor https://regulations.justia.com/regulations/fedreg/2020/06/23/2020-13437.html https://regulations.justia.com/regulations/fedreg/2020/06/23/2020-13437.html Tue, 23 Jun 2020 00:00:00 -0700 2020-13437 Notice https://www.govinfo.gov/content/pkg/FR-2020-06-23/pdf/2020-13437.pdf Notice - Self-Regulatory Organizations; Cboe BZX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Rule 21.5 To Conform the Rule to Section 3.1 of the Plan for the Purpose of Developing and Implementing Procedures Designed To Facilitate the Listing and Trading of Standardized Options and Add New Rule 21.5(d) https://regulations.justia.com/regulations/fedreg/2020/06/23/2020-13436.html https://regulations.justia.com/regulations/fedreg/2020/06/23/2020-13436.html Tue, 23 Jun 2020 00:00:00 -0700 2020-13436 Notice https://www.govinfo.gov/content/pkg/FR-2020-06-23/pdf/2020-13436.pdf Notice - Self-Regulatory Organizations; Cboe EDGA Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the Content of the Cboe One Feed Under Rule 13.8(b) To Identify the Primary Listing Market's Official Opening and Closing Price https://regulations.justia.com/regulations/fedreg/2020/06/23/2020-13435.html https://regulations.justia.com/regulations/fedreg/2020/06/23/2020-13435.html Tue, 23 Jun 2020 00:00:00 -0700 2020-13435 Notice https://www.govinfo.gov/content/pkg/FR-2020-06-23/pdf/2020-13435.pdf Notice - Self-Regulatory Organizations; Cboe EDGX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the Content of the Cboe One Feed Under Rule 13.8(b) To Identify the Primary Listing Market's Official Opening and Closing Price https://regulations.justia.com/regulations/fedreg/2020/06/23/2020-13434.html https://regulations.justia.com/regulations/fedreg/2020/06/23/2020-13434.html Tue, 23 Jun 2020 00:00:00 -0700 2020-13434 Notice https://www.govinfo.gov/content/pkg/FR-2020-06-23/pdf/2020-13434.pdf Notice - Program for Allocation of Regulatory Responsibilities Pursuant to Rule 17d-2; Order Approving and Declaring Effective a Proposed Plan for the Allocation of Regulatory Responsibilities Between the Financial Industry Regulatory Authority, Inc. and MEMX LLC https://regulations.justia.com/regulations/fedreg/2020/06/23/2020-13433.html https://regulations.justia.com/regulations/fedreg/2020/06/23/2020-13433.html Tue, 23 Jun 2020 00:00:00 -0700 2020-13433 Notice https://www.govinfo.gov/content/pkg/FR-2020-06-23/pdf/2020-13433.pdf Notice - Self-Regulatory Organizations; Cboe C2 Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Rule 6.4 To Conform the Rule to Section 3.1 of the Plan for the Purpose of Developing and Implementing Procedures Designed To Facilitate the Listing and Trading of Standardized Options and Add New Rule 6.4(c) https://regulations.justia.com/regulations/fedreg/2020/06/23/2020-13432.html https://regulations.justia.com/regulations/fedreg/2020/06/23/2020-13432.html Tue, 23 Jun 2020 00:00:00 -0700 2020-13432 Notice https://www.govinfo.gov/content/pkg/FR-2020-06-23/pdf/2020-13432.pdf Notice - Self-Regulatory Organizations; Cboe EDGX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Rule 21.5 To Conform the Rule to Section 3.1 of the Plan for the Purpose of Developing and Implementing Procedures Designed To Facilitate the Listing and Trading of Standardized Options and Add New Rule 21.5(e) https://regulations.justia.com/regulations/fedreg/2020/06/23/2020-13431.html https://regulations.justia.com/regulations/fedreg/2020/06/23/2020-13431.html Tue, 23 Jun 2020 00:00:00 -0700 2020-13431 Notice https://www.govinfo.gov/content/pkg/FR-2020-06-23/pdf/2020-13431.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 518, Complex Orders https://regulations.justia.com/regulations/fedreg/2020/06/23/2020-13430.html https://regulations.justia.com/regulations/fedreg/2020/06/23/2020-13430.html Tue, 23 Jun 2020 00:00:00 -0700 2020-13430 Notice https://www.govinfo.gov/content/pkg/FR-2020-06-23/pdf/2020-13430.pdf Notice - Hamilton Lane Private Assets Fund and Hamilton Lane Advisors, L.L.C. https://regulations.justia.com/regulations/fedreg/2020/06/23/2020-13405.html https://regulations.justia.com/regulations/fedreg/2020/06/23/2020-13405.html Tue, 23 Jun 2020 00:00:00 -0700 2020-13405 Notice https://www.govinfo.gov/content/pkg/FR-2020-06-23/pdf/2020-13405.pdf Notice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing of Proposed Rule Change To Amend NYSE Arca Rule 5.2-E(j)(6) Relating to Options-Linked Securities https://regulations.justia.com/regulations/fedreg/2020/06/22/2020-13312.html https://regulations.justia.com/regulations/fedreg/2020/06/22/2020-13312.html Mon, 22 Jun 2020 00:00:00 -0700 2020-13312 Notice https://www.govinfo.gov/content/pkg/FR-2020-06-22/pdf/2020-13312.pdf Notice - Self-Regulatory Organizations; Cboe Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Rule 5.4 To Conform the Rule to Section 3.1 of the Plan for the Purpose of Developing and Implementing Procedures Designed To Facilitate the Listing and Trading of Standardized Options and Add New Rule 5.4(d) https://regulations.justia.com/regulations/fedreg/2020/06/22/2020-13311.html https://regulations.justia.com/regulations/fedreg/2020/06/22/2020-13311.html Mon, 22 Jun 2020 00:00:00 -0700 2020-13311 Notice https://www.govinfo.gov/content/pkg/FR-2020-06-22/pdf/2020-13311.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 Amend Rule 14.11, Other Securities https://regulations.justia.com/regulations/fedreg/2020/06/22/2020-13310.html https://regulations.justia.com/regulations/fedreg/2020/06/22/2020-13310.html Mon, 22 Jun 2020 00:00:00 -0700 2020-13310 Notice https://www.govinfo.gov/content/pkg/FR-2020-06-22/pdf/2020-13310.pdf Notice - Self-Regulatory Organizations; The Nasdaq Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Delay the Protocol “Ouch To Trade Options” or “OTTO” https://regulations.justia.com/regulations/fedreg/2020/06/22/2020-13309.html https://regulations.justia.com/regulations/fedreg/2020/06/22/2020-13309.html Mon, 22 Jun 2020 00:00:00 -0700 2020-13309 Notice https://www.govinfo.gov/content/pkg/FR-2020-06-22/pdf/2020-13309.pdf Notice - Self-Regulatory Organizations; ICE Clear Credit LLC; Notice of Filing of Proposed Rule Change, Security-Based Swap Submission, or Advance Notice Relating to the ICC Exercise Procedures and ICC Clearing Rules https://regulations.justia.com/regulations/fedreg/2020/06/22/2020-13308.html https://regulations.justia.com/regulations/fedreg/2020/06/22/2020-13308.html Mon, 22 Jun 2020 00:00:00 -0700 2020-13308 Notice https://www.govinfo.gov/content/pkg/FR-2020-06-22/pdf/2020-13308.pdf Notice - Sunshine Act Meetings https://regulations.justia.com/regulations/fedreg/2020/06/19/2020-13411.html https://regulations.justia.com/regulations/fedreg/2020/06/19/2020-13411.html Fri, 19 Jun 2020 00:00:00 -0700 2020-13411 Notice https://www.govinfo.gov/content/pkg/FR-2020-06-19/pdf/2020-13411.pdf Notice - Order Granting a Temporary Conditional Exemption From the Broker Registration Requirements of Section 15(a) of the Securities Exchange Act of 1934 for Certain Activities of Registered Municipal Advisors https://regulations.justia.com/regulations/fedreg/2020/06/19/2020-13284.html https://regulations.justia.com/regulations/fedreg/2020/06/19/2020-13284.html Fri, 19 Jun 2020 00:00:00 -0700 2020-13284 Notice https://www.govinfo.gov/content/pkg/FR-2020-06-19/pdf/2020-13284.pdf Notice - Self-Regulatory Organizations; Nasdaq ISE, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the ISE Disciplinary Rules in General 5 To Incorporate by Reference The Nasdaq Stock Market LLC's Series 8000 and 9000 Rules https://regulations.justia.com/regulations/fedreg/2020/06/19/2020-13209.html https://regulations.justia.com/regulations/fedreg/2020/06/19/2020-13209.html Fri, 19 Jun 2020 00:00:00 -0700 2020-13209 Notice https://www.govinfo.gov/content/pkg/FR-2020-06-19/pdf/2020-13209.pdf Notice - Self-Regulatory Organizations; Nasdaq GEMX, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the GEMX Disciplinary Rules in General 5 To Incorporate by Reference The Nasdaq Stock Market LLC's Series 8000 and 9000 Rules https://regulations.justia.com/regulations/fedreg/2020/06/19/2020-13208.html https://regulations.justia.com/regulations/fedreg/2020/06/19/2020-13208.html Fri, 19 Jun 2020 00:00:00 -0700 2020-13208 Notice https://www.govinfo.gov/content/pkg/FR-2020-06-19/pdf/2020-13208.pdf Notice - Self-Regulatory Organizations; NYSE Arca, Inc.; Order Approving a Proposed Rule Change, as Modified by Amendment No. 1, To Make Certain Changes Regarding the Investments of the PIMCO Enhanced Short Maturity Active ESG Exchange-Traded Fund https://regulations.justia.com/regulations/fedreg/2020/06/19/2020-13207.html https://regulations.justia.com/regulations/fedreg/2020/06/19/2020-13207.html Fri, 19 Jun 2020 00:00:00 -0700 2020-13207 Notice https://www.govinfo.gov/content/pkg/FR-2020-06-19/pdf/2020-13207.pdf Notice - Self-Regulatory Organizations; Cboe BZX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the Fee Schedule https://regulations.justia.com/regulations/fedreg/2020/06/19/2020-13205.html https://regulations.justia.com/regulations/fedreg/2020/06/19/2020-13205.html Fri, 19 Jun 2020 00:00:00 -0700 2020-13205 Notice https://www.govinfo.gov/content/pkg/FR-2020-06-19/pdf/2020-13205.pdf Notice - Self-Regulatory Organizations; Nasdaq MRX, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the MRX Disciplinary Rules in General 5 To Incorporate by Reference The Nasdaq Stock Market LLC's Series 8000 and 9000 Rules https://regulations.justia.com/regulations/fedreg/2020/06/19/2020-13204.html https://regulations.justia.com/regulations/fedreg/2020/06/19/2020-13204.html Fri, 19 Jun 2020 00:00:00 -0700 2020-13204 Notice https://www.govinfo.gov/content/pkg/FR-2020-06-19/pdf/2020-13204.pdf Notice - Self-Regulatory Organizations; NYSE National, Inc.; Request for Information and Additional Comment on a Proposed Rule Change To Establish Fees for the NYSE National Integrated Feed https://regulations.justia.com/regulations/fedreg/2020/06/19/2020-13201.html https://regulations.justia.com/regulations/fedreg/2020/06/19/2020-13201.html Fri, 19 Jun 2020 00:00:00 -0700 2020-13201 Notice https://www.govinfo.gov/content/pkg/FR-2020-06-19/pdf/2020-13201.pdf Notice - Securities Exchange Act of 1934; Order Denying Stay; In the Matter of 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/2020/06/18/2020-13127.html https://regulations.justia.com/regulations/fedreg/2020/06/18/2020-13127.html Thu, 18 Jun 2020 00:00:00 -0700 2020-13127 Notice https://www.govinfo.gov/content/pkg/FR-2020-06-18/pdf/2020-13127.pdf Notice - Self-Regulatory Organizations; Cboe EDGX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the Fee Schedule https://regulations.justia.com/regulations/fedreg/2020/06/18/2020-13124.html https://regulations.justia.com/regulations/fedreg/2020/06/18/2020-13124.html Thu, 18 Jun 2020 00:00:00 -0700 2020-13124 Notice https://www.govinfo.gov/content/pkg/FR-2020-06-18/pdf/2020-13124.pdf Notice - Self-Regulatory Organizations; Cboe Exchange, Inc.; Notice of Filing of a Proposed Rule Change Relating To Amend Rules 5.37, 5.38 and Rule 5.73 https://regulations.justia.com/regulations/fedreg/2020/06/18/2020-13123.html https://regulations.justia.com/regulations/fedreg/2020/06/18/2020-13123.html Thu, 18 Jun 2020 00:00:00 -0700 2020-13123 Notice https://www.govinfo.gov/content/pkg/FR-2020-06-18/pdf/2020-13123.pdf Notice - Self-Regulatory Organizations; Cboe Exchange, Inc.; Notice of Filing of a Proposed Rule Change To Amend Rules 5.37 and 5.73 https://regulations.justia.com/regulations/fedreg/2020/06/18/2020-13122.html https://regulations.justia.com/regulations/fedreg/2020/06/18/2020-13122.html Thu, 18 Jun 2020 00:00:00 -0700 2020-13122 Notice https://www.govinfo.gov/content/pkg/FR-2020-06-18/pdf/2020-13122.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 Regarding Pricing Incentives for Certain Posted Volume https://regulations.justia.com/regulations/fedreg/2020/06/18/2020-13121.html https://regulations.justia.com/regulations/fedreg/2020/06/18/2020-13121.html Thu, 18 Jun 2020 00:00:00 -0700 2020-13121 Notice https://www.govinfo.gov/content/pkg/FR-2020-06-18/pdf/2020-13121.pdf Notice - Self-Regulatory Organizations; ICE Clear Europe Limited; Notice of Filing of Proposed Rule Change Relating to Amendments to the ICE Clear Europe Clearing Rules https://regulations.justia.com/regulations/fedreg/2020/06/18/2020-13120.html https://regulations.justia.com/regulations/fedreg/2020/06/18/2020-13120.html Thu, 18 Jun 2020 00:00:00 -0700 2020-13120 Notice https://www.govinfo.gov/content/pkg/FR-2020-06-18/pdf/2020-13120.pdf Notice - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Modify Temporarily the Auction Collars for Exchange-Facilitated Core Open Auctions Under Rule 7.35C https://regulations.justia.com/regulations/fedreg/2020/06/18/2020-13119.html https://regulations.justia.com/regulations/fedreg/2020/06/18/2020-13119.html Thu, 18 Jun 2020 00:00:00 -0700 2020-13119 Notice https://www.govinfo.gov/content/pkg/FR-2020-06-18/pdf/2020-13119.pdf Notice - Self-Regulatory Organizations; Cboe Exchange, Inc.; Notice of Filing of a Proposed Rule Change To Amend Its Automated Price Improvement Auction Rules in Connection With Agency Order Size Requirements https://regulations.justia.com/regulations/fedreg/2020/06/18/2020-13118.html https://regulations.justia.com/regulations/fedreg/2020/06/18/2020-13118.html Thu, 18 Jun 2020 00:00:00 -0700 2020-13118 Notice https://www.govinfo.gov/content/pkg/FR-2020-06-18/pdf/2020-13118.pdf Notice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Designation of a Longer Period for Commission Action on Proceedings To Determine Whether To Approve or Disapprove a Proposed Rule Change To List and Trade Shares of the AdvisorShares Pure U.S. Cannabis ETF Under NYSE Arca Rule 8.600-E https://regulations.justia.com/regulations/fedreg/2020/06/18/2020-13117.html https://regulations.justia.com/regulations/fedreg/2020/06/18/2020-13117.html Thu, 18 Jun 2020 00:00:00 -0700 2020-13117 Notice https://www.govinfo.gov/content/pkg/FR-2020-06-18/pdf/2020-13117.pdf Notice - Self-Regulatory Organizations; Cboe C2 Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Adopt Chapter 6, Section G Regarding Off-Floor Transactions and Transfers https://regulations.justia.com/regulations/fedreg/2020/06/18/2020-13116.html https://regulations.justia.com/regulations/fedreg/2020/06/18/2020-13116.html Thu, 18 Jun 2020 00:00:00 -0700 2020-13116 Notice https://www.govinfo.gov/content/pkg/FR-2020-06-18/pdf/2020-13116.pdf Notice - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Extend the Effective Date of the Temporary Amendments Set Forth in SR-FINRA-2020-015 https://regulations.justia.com/regulations/fedreg/2020/06/18/2020-13113.html https://regulations.justia.com/regulations/fedreg/2020/06/18/2020-13113.html Thu, 18 Jun 2020 00:00:00 -0700 2020-13113 Notice https://www.govinfo.gov/content/pkg/FR-2020-06-18/pdf/2020-13113.pdf Notice - Sunshine Act Meetings https://regulations.justia.com/regulations/fedreg/2020/06/17/2020-13089.html https://regulations.justia.com/regulations/fedreg/2020/06/17/2020-13089.html Wed, 17 Jun 2020 00:00:00 -0700 2020-13089 Notice https://www.govinfo.gov/content/pkg/FR-2020-06-17/pdf/2020-13089.pdf Notice - Proposed Collection for OMB Review; Comment Request https://regulations.justia.com/regulations/fedreg/2020/06/17/2020-13069.html https://regulations.justia.com/regulations/fedreg/2020/06/17/2020-13069.html Wed, 17 Jun 2020 00:00:00 -0700 2020-13069 Notice https://www.govinfo.gov/content/pkg/FR-2020-06-17/pdf/2020-13069.pdf Notice - Proposed Collection for OMB Review; Comment Request https://regulations.justia.com/regulations/fedreg/2020/06/17/2020-13065.html https://regulations.justia.com/regulations/fedreg/2020/06/17/2020-13065.html Wed, 17 Jun 2020 00:00:00 -0700 2020-13065 Notice https://www.govinfo.gov/content/pkg/FR-2020-06-17/pdf/2020-13065.pdf Notice - Joint Industry Plan; Notice of Filing of Amendment to the National Market System Plan Governing the Consolidated Audit Trail by BOX Options Exchange LLC, Cboe BYX Exchange, Inc., Cboe BZX Exchange, Inc., Cboe EDGA Exchange, Inc., Cboe EDGX Exchange, Inc., Cboe C2 Options Exchange, Inc., Cboe Exchange, Inc., Financial Industry Regulatory Authority, Inc., Investors' Exchange LLC, Long-Term Stock Exchange LLC, Miami International Securities Exchange, LLC, MIAX EMERALD, LLC, MIAX PEARL, LLC, Nasdaq BX, Inc., Nasdaq GEMX, LLC, Nasdaq ISE, LLC, Nasdaq MRX, LLC, Nasdaq PHLX LLC, The Nasdaq Stock Market LLC, New York Stock Exchange LLC, NYSE Arca, Inc., NYSE American, LLC, NYSE Chicago, Inc. and NYSE National, Inc. https://regulations.justia.com/regulations/fedreg/2020/06/17/2020-13000.html https://regulations.justia.com/regulations/fedreg/2020/06/17/2020-13000.html Wed, 17 Jun 2020 00:00:00 -0700 2020-13000 Notice https://www.govinfo.gov/content/pkg/FR-2020-06-17/pdf/2020-13000.pdf Notice - Order Granting Conditional Exemptive Relief, Pursuant to Section 36 of the Securities Exchange Act of 1934 (“Exchange Act”) and Rule 608(e) of Regulation NMS Under the Exchange Act, From Sections 6.4(d)(ii)(A)(2) and (B) of the National Market System Plan Governing the Consolidated Audit Trail https://regulations.justia.com/regulations/fedreg/2020/06/17/2020-12998.html https://regulations.justia.com/regulations/fedreg/2020/06/17/2020-12998.html Wed, 17 Jun 2020 00:00:00 -0700 2020-12998 Notice https://www.govinfo.gov/content/pkg/FR-2020-06-17/pdf/2020-12998.pdf Notice - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Its Price List https://regulations.justia.com/regulations/fedreg/2020/06/17/2020-12989.html https://regulations.justia.com/regulations/fedreg/2020/06/17/2020-12989.html Wed, 17 Jun 2020 00:00:00 -0700 2020-12989 Notice https://www.govinfo.gov/content/pkg/FR-2020-06-17/pdf/2020-12989.pdf Notice - Self-Regulatory Organizations; NYSE American LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Modifying the NYSE American Options Fee Schedule https://regulations.justia.com/regulations/fedreg/2020/06/17/2020-12988.html https://regulations.justia.com/regulations/fedreg/2020/06/17/2020-12988.html Wed, 17 Jun 2020 00:00:00 -0700 2020-12988 Notice https://www.govinfo.gov/content/pkg/FR-2020-06-17/pdf/2020-12988.pdf Notice - Self-Regulatory Organizations; Nasdaq GEMX, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend GEMX's Pricing Schedule at Options 7, Sections 3 and 4 https://regulations.justia.com/regulations/fedreg/2020/06/17/2020-12987.html https://regulations.justia.com/regulations/fedreg/2020/06/17/2020-12987.html Wed, 17 Jun 2020 00:00:00 -0700 2020-12987 Notice https://www.govinfo.gov/content/pkg/FR-2020-06-17/pdf/2020-12987.pdf Notice - Self-Regulatory Organizations; Cboe BZX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Its Fee Schedule https://regulations.justia.com/regulations/fedreg/2020/06/17/2020-12986.html https://regulations.justia.com/regulations/fedreg/2020/06/17/2020-12986.html Wed, 17 Jun 2020 00:00:00 -0700 2020-12986 Notice https://www.govinfo.gov/content/pkg/FR-2020-06-17/pdf/2020-12986.pdf Notice - Self-Regulatory Organizations; Nasdaq MRX, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Its Pricing Schedule at Options 7 https://regulations.justia.com/regulations/fedreg/2020/06/17/2020-12985.html https://regulations.justia.com/regulations/fedreg/2020/06/17/2020-12985.html Wed, 17 Jun 2020 00:00:00 -0700 2020-12985 Notice https://www.govinfo.gov/content/pkg/FR-2020-06-17/pdf/2020-12985.pdf Notice - Self-Regulatory Organizations; NYSE American LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Amending the NYSE American Options Fee Schedule To Adopt a New Incentive Program for Floor Brokers https://regulations.justia.com/regulations/fedreg/2020/06/17/2020-12984.html https://regulations.justia.com/regulations/fedreg/2020/06/17/2020-12984.html Wed, 17 Jun 2020 00:00:00 -0700 2020-12984 Notice https://www.govinfo.gov/content/pkg/FR-2020-06-17/pdf/2020-12984.pdf Notice - Self-Regulatory Organizations; BOX Exchange LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Section II of the Fee Schedule (Manual Transaction Fees) on the BOX Options Market LLC Facility https://regulations.justia.com/regulations/fedreg/2020/06/17/2020-12983.html https://regulations.justia.com/regulations/fedreg/2020/06/17/2020-12983.html Wed, 17 Jun 2020 00:00:00 -0700 2020-12983 Notice https://www.govinfo.gov/content/pkg/FR-2020-06-17/pdf/2020-12983.pdf Notice - Self-Regulatory Organizations; Nasdaq PHLX LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Phlx Pricing Schedule at Options 7, Section 8, Membership Fees and Options 7, Section 9, Other Member Fees https://regulations.justia.com/regulations/fedreg/2020/06/16/2020-12904.html https://regulations.justia.com/regulations/fedreg/2020/06/16/2020-12904.html Tue, 16 Jun 2020 00:00:00 -0700 2020-12904 Notice https://www.govinfo.gov/content/pkg/FR-2020-06-16/pdf/2020-12904.pdf Notice - Self-Regulatory Organizations; The Options Clearing Corporation; Notice of No Objection To Advance Notice Related to Changes to the Options Clearing Corporation's Non-Bank Repo Facility Program as Part of Its Overall Liquidity Plan https://regulations.justia.com/regulations/fedreg/2020/06/16/2020-12900.html https://regulations.justia.com/regulations/fedreg/2020/06/16/2020-12900.html Tue, 16 Jun 2020 00:00:00 -0700 2020-12900 Notice https://www.govinfo.gov/content/pkg/FR-2020-06-16/pdf/2020-12900.pdf Notice - Program for Allocation of Regulatory Responsibilities Pursuant to Rule 17d-2; Notice of Filing and Order Approving and Declaring Effective an Amendment to the Plan for the Allocation of Regulatory Responsibilities Between Cboe BZX Exchange, Inc., Cboe BYX Exchange, Inc., BOX Exchange LLC, Cboe Exchange, Inc., Cboe C2 Exchange, Inc., NYSE Chicago, Inc., Cboe EDGA Exchange, Inc., Cboe EDGX Exchange, Inc., Financial Industry Regulatory Authority, Inc., Long-Term Stock Exchange, Inc., MEMX LLC, 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, and NYSE Arca, Inc. Concerning Covered Regulation NMS and Consolidated Audit Trail Rules https://regulations.justia.com/regulations/fedreg/2020/06/16/2020-12896.html https://regulations.justia.com/regulations/fedreg/2020/06/16/2020-12896.html Tue, 16 Jun 2020 00:00:00 -0700 2020-12896 Notice https://www.govinfo.gov/content/pkg/FR-2020-06-16/pdf/2020-12896.pdf Notice - Self-Regulatory Organizations; Nasdaq PHLX LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Phlx Options 5, Section 4 https://regulations.justia.com/regulations/fedreg/2020/06/16/2020-12895.html https://regulations.justia.com/regulations/fedreg/2020/06/16/2020-12895.html Tue, 16 Jun 2020 00:00:00 -0700 2020-12895 Notice https://www.govinfo.gov/content/pkg/FR-2020-06-16/pdf/2020-12895.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/2020/06/16/2020-12894.html https://regulations.justia.com/regulations/fedreg/2020/06/16/2020-12894.html Tue, 16 Jun 2020 00:00:00 -0700 2020-12894 Notice https://www.govinfo.gov/content/pkg/FR-2020-06-16/pdf/2020-12894.pdf Notice - Self-Regulatory Organizations; The Options Clearing Corporation; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Make Administrative Updates to The Options Clearing Corporation's Risk Management Policies https://regulations.justia.com/regulations/fedreg/2020/06/16/2020-12893.html https://regulations.justia.com/regulations/fedreg/2020/06/16/2020-12893.html Tue, 16 Jun 2020 00:00:00 -0700 2020-12893 Notice https://www.govinfo.gov/content/pkg/FR-2020-06-16/pdf/2020-12893.pdf Notice - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Extend the Implementation of FINRA Rule 4240 (Margin Requirements for Credit Default Swaps) https://regulations.justia.com/regulations/fedreg/2020/06/16/2020-12892.html https://regulations.justia.com/regulations/fedreg/2020/06/16/2020-12892.html Tue, 16 Jun 2020 00:00:00 -0700 2020-12892 Notice https://www.govinfo.gov/content/pkg/FR-2020-06-16/pdf/2020-12892.pdf Notice - Self-Regulatory Organizations; Miami International Securities Exchange, LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Its Fee Schedule https://regulations.justia.com/regulations/fedreg/2020/06/15/2020-12791.html https://regulations.justia.com/regulations/fedreg/2020/06/15/2020-12791.html Mon, 15 Jun 2020 00:00:00 -0700 2020-12791 Notice https://www.govinfo.gov/content/pkg/FR-2020-06-15/pdf/2020-12791.pdf Notice - Self-Regulatory Organizations; Cboe BZX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Allow Members and Clearing Members To Establish or Adjust the Risk Settings Set Forth in Interpretation and Policy .03 of Exchange Rule 11.13 on a Risk Group Identifier Basis https://regulations.justia.com/regulations/fedreg/2020/06/15/2020-12790.html https://regulations.justia.com/regulations/fedreg/2020/06/15/2020-12790.html Mon, 15 Jun 2020 00:00:00 -0700 2020-12790 Notice https://www.govinfo.gov/content/pkg/FR-2020-06-15/pdf/2020-12790.pdf Notice - Self-Regulatory Organizations; Cboe BYX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Allow Members and Clearing Members To Establish or Adjust the Risk Settings Set Forth in Interpretation and Policy .03 of Exchange Rule 11.13 on a Risk Group Identifier Basis https://regulations.justia.com/regulations/fedreg/2020/06/15/2020-12789.html https://regulations.justia.com/regulations/fedreg/2020/06/15/2020-12789.html Mon, 15 Jun 2020 00:00:00 -0700 2020-12789 Notice https://www.govinfo.gov/content/pkg/FR-2020-06-15/pdf/2020-12789.pdf Notice - Sunshine Act Meetings https://regulations.justia.com/regulations/fedreg/2020/06/12/2020-12888.html https://regulations.justia.com/regulations/fedreg/2020/06/12/2020-12888.html Fri, 12 Jun 2020 00:00:00 -0700 2020-12888 Notice https://www.govinfo.gov/content/pkg/FR-2020-06-12/pdf/2020-12888.pdf Notice - Sunshine Act Meeting; Cancellation https://regulations.justia.com/regulations/fedreg/2020/06/12/2020-12842.html https://regulations.justia.com/regulations/fedreg/2020/06/12/2020-12842.html Fri, 12 Jun 2020 00:00:00 -0700 2020-12842 Notice https://www.govinfo.gov/content/pkg/FR-2020-06-12/pdf/2020-12842.pdf Notice - Securities Investor Protection Corporation; Order Approving Proposed Bylaw Change, as Revised by Amendment No. 1, Relating to SIPC Board Compensation https://regulations.justia.com/regulations/fedreg/2020/06/12/2020-12735.html https://regulations.justia.com/regulations/fedreg/2020/06/12/2020-12735.html Fri, 12 Jun 2020 00:00:00 -0700 2020-12735 Notice https://www.govinfo.gov/content/pkg/FR-2020-06-12/pdf/2020-12735.pdf Notice - Securities Investor Protection Corporation; Order Approving Proposed Bylaw Change Relating to SIPC Member Assessments https://regulations.justia.com/regulations/fedreg/2020/06/12/2020-12733.html https://regulations.justia.com/regulations/fedreg/2020/06/12/2020-12733.html Fri, 12 Jun 2020 00:00:00 -0700 2020-12733 Notice https://www.govinfo.gov/content/pkg/FR-2020-06-12/pdf/2020-12733.pdf Notice - Self-Regulatory Organizations; The Nasdaq Stock Market LLC; Notice of Filing of Proposed Rule Change To Adopt a New Requirement Related to the Qualification of Management for Companies From Restrictive Markets https://regulations.justia.com/regulations/fedreg/2020/06/12/2020-12686.html https://regulations.justia.com/regulations/fedreg/2020/06/12/2020-12686.html Fri, 12 Jun 2020 00:00:00 -0700 2020-12686 Notice https://www.govinfo.gov/content/pkg/FR-2020-06-12/pdf/2020-12686.pdf Notice - Self-Regulatory Organizations; The Nasdaq Stock Market LLC; Notice of Filing of Proposed Rule Change To Apply Additional Initial Listing Criteria for Companies Primarily Operating in Restrictive Markets https://regulations.justia.com/regulations/fedreg/2020/06/12/2020-12685.html https://regulations.justia.com/regulations/fedreg/2020/06/12/2020-12685.html Fri, 12 Jun 2020 00:00:00 -0700 2020-12685 Notice https://www.govinfo.gov/content/pkg/FR-2020-06-12/pdf/2020-12685.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 Add Other Existing Order Types to the List of Order Types https://regulations.justia.com/regulations/fedreg/2020/06/12/2020-12683.html https://regulations.justia.com/regulations/fedreg/2020/06/12/2020-12683.html Fri, 12 Jun 2020 00:00:00 -0700 2020-12683 Notice https://www.govinfo.gov/content/pkg/FR-2020-06-12/pdf/2020-12683.pdf Notice - Sunshine Act Meetings https://regulations.justia.com/regulations/fedreg/2020/06/11/2020-12773.html https://regulations.justia.com/regulations/fedreg/2020/06/11/2020-12773.html Thu, 11 Jun 2020 00:00:00 -0700 2020-12773 Notice https://www.govinfo.gov/content/pkg/FR-2020-06-11/pdf/2020-12773.pdf Notice - Self-Regulatory Organizations; The Nasdaq Stock Market LLC; Notice of Designation of a Longer Period for Commission Action on 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/2020/06/11/2020-12590.html https://regulations.justia.com/regulations/fedreg/2020/06/11/2020-12590.html Thu, 11 Jun 2020 00:00:00 -0700 2020-12590 Notice https://www.govinfo.gov/content/pkg/FR-2020-06-11/pdf/2020-12590.pdf Notice - Self-Regulatory Organizations; Cboe EDGX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Adopt Rule 14.13 To Permit the Trading, Pursuant to Unlisted Trading Privileges, of Tracking Fund Shares https://regulations.justia.com/regulations/fedreg/2020/06/10/2020-12525.html https://regulations.justia.com/regulations/fedreg/2020/06/10/2020-12525.html Wed, 10 Jun 2020 00:00:00 -0700 2020-12525 Notice https://www.govinfo.gov/content/pkg/FR-2020-06-10/pdf/2020-12525.pdf Notice - Self-Regulatory Organizations; Cboe EDGA Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Adopt Rule 14.13 To Permit the Trading, Pursuant to Unlisted Trading Privileges, of Tracking Fund Shares https://regulations.justia.com/regulations/fedreg/2020/06/10/2020-12524.html https://regulations.justia.com/regulations/fedreg/2020/06/10/2020-12524.html Wed, 10 Jun 2020 00:00:00 -0700 2020-12524 Notice https://www.govinfo.gov/content/pkg/FR-2020-06-10/pdf/2020-12524.pdf Notice - Self-Regulatory Organizations; BOX Exchange LLC; Notice of Withdrawal of a Proposed Rule Change, as Modified by Amendment No. 2, 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/2020/06/10/2020-12523.html https://regulations.justia.com/regulations/fedreg/2020/06/10/2020-12523.html Wed, 10 Jun 2020 00:00:00 -0700 2020-12523 Notice https://www.govinfo.gov/content/pkg/FR-2020-06-10/pdf/2020-12523.pdf Notice - Self-Regulatory Organizations; BOX Exchange LLC; Notice of Withdrawal of a Proposed Rule Change in Connection With the Proposed Commencement of Operations of Boston Security Token Exchange LLC as a Facility of the Exchange https://regulations.justia.com/regulations/fedreg/2020/06/10/2020-12522.html https://regulations.justia.com/regulations/fedreg/2020/06/10/2020-12522.html Wed, 10 Jun 2020 00:00:00 -0700 2020-12522 Notice https://www.govinfo.gov/content/pkg/FR-2020-06-10/pdf/2020-12522.pdf Notice - Self-Regulatory Organizations; Cboe EDGA Exchange, Inc.; 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 the Rule Relating to MidPoint Discretionary Orders To Allow Optional Offset or Quote Depletion Protection Instructions https://regulations.justia.com/regulations/fedreg/2020/06/10/2020-12521.html https://regulations.justia.com/regulations/fedreg/2020/06/10/2020-12521.html Wed, 10 Jun 2020 00:00:00 -0700 2020-12521 Notice https://www.govinfo.gov/content/pkg/FR-2020-06-10/pdf/2020-12521.pdf Notice - Self-Regulatory Organizations; NYSE American LLC; Order Approving a Proposed Rule Change, as Modified by Amendment No. 2, To Modify Rule 967NY Regarding the Treatment of Orders Subject to Trade Collar Protection https://regulations.justia.com/regulations/fedreg/2020/06/10/2020-12520.html https://regulations.justia.com/regulations/fedreg/2020/06/10/2020-12520.html Wed, 10 Jun 2020 00:00:00 -0700 2020-12520 Notice https://www.govinfo.gov/content/pkg/FR-2020-06-10/pdf/2020-12520.pdf Notice - Self-Regulatory Organizations; The Options Clearing Corporation; Order Approving Proposed Rule Change Related to Proposed Changes to The Options Clearing Corporation's Framework for Liquidity Risk Management https://regulations.justia.com/regulations/fedreg/2020/06/10/2020-12519.html https://regulations.justia.com/regulations/fedreg/2020/06/10/2020-12519.html Wed, 10 Jun 2020 00:00:00 -0700 2020-12519 Notice https://www.govinfo.gov/content/pkg/FR-2020-06-10/pdf/2020-12519.pdf Notice - Self-Regulatory Organizations; Cboe BYX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Adopt Rule 14.13 To Permit the Trading, Pursuant to Unlisted Trading Privileges, of Tracking Fund Shares https://regulations.justia.com/regulations/fedreg/2020/06/10/2020-12518.html https://regulations.justia.com/regulations/fedreg/2020/06/10/2020-12518.html Wed, 10 Jun 2020 00:00:00 -0700 2020-12518 Notice https://www.govinfo.gov/content/pkg/FR-2020-06-10/pdf/2020-12518.pdf Notice - Self-Regulatory Organizations; Cboe BZX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Exempt Tracking Fund Shares Listed Pursuant to Rule 14.11(m) From Certain Governance Requirements https://regulations.justia.com/regulations/fedreg/2020/06/10/2020-12517.html https://regulations.justia.com/regulations/fedreg/2020/06/10/2020-12517.html Wed, 10 Jun 2020 00:00:00 -0700 2020-12517 Notice https://www.govinfo.gov/content/pkg/FR-2020-06-10/pdf/2020-12517.pdf Notice - Self-Regulatory Organizations; Nasdaq BX, Inc.; Order Granting Approval of a Proposed Rule Change, as Modified by Amendment No. 1, To Assume Operational Responsibility for Certain Enforcement Functions Currently Performed by FINRA Under the Exchanges Authority and Supervision https://regulations.justia.com/regulations/fedreg/2020/06/10/2020-12516.html https://regulations.justia.com/regulations/fedreg/2020/06/10/2020-12516.html Wed, 10 Jun 2020 00:00:00 -0700 2020-12516 Notice https://www.govinfo.gov/content/pkg/FR-2020-06-10/pdf/2020-12516.pdf Notice - Self-Regulatory Organizations; NYSE Arca, Inc.; Order Approving a Proposed Rule Change, as Modified by Amendment No. 2, To Modify Rule 6.60-O Regarding the Treatment of Orders Subject to Trade Collar Protection https://regulations.justia.com/regulations/fedreg/2020/06/10/2020-12515.html https://regulations.justia.com/regulations/fedreg/2020/06/10/2020-12515.html Wed, 10 Jun 2020 00:00:00 -0700 2020-12515 Notice https://www.govinfo.gov/content/pkg/FR-2020-06-10/pdf/2020-12515.pdf Notice - Self-Regulatory Organizations; Cboe EDGX Exchange, Inc.; 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 the Rule Relating to MidPoint Discretionary Orders To Allow Optional Offset or Quote Depletion Protection Instructions https://regulations.justia.com/regulations/fedreg/2020/06/10/2020-12514.html https://regulations.justia.com/regulations/fedreg/2020/06/10/2020-12514.html Wed, 10 Jun 2020 00:00:00 -0700 2020-12514 Notice https://www.govinfo.gov/content/pkg/FR-2020-06-10/pdf/2020-12514.pdf Notice - Self-Regulatory Organizations; The Options Clearing Corporation; Notice of No Objection to Advance Notice Related to Proposed Changes to The Options Clearing Corporation's Framework for Liquidity Risk Management https://regulations.justia.com/regulations/fedreg/2020/06/10/2020-12500.html https://regulations.justia.com/regulations/fedreg/2020/06/10/2020-12500.html Wed, 10 Jun 2020 00:00:00 -0700 2020-12500 Notice https://www.govinfo.gov/content/pkg/FR-2020-06-10/pdf/2020-12500.pdf Notice - Submission for OMB Review; Comment Request https://regulations.justia.com/regulations/fedreg/2020/06/09/2020-12399.html https://regulations.justia.com/regulations/fedreg/2020/06/09/2020-12399.html Tue, 09 Jun 2020 00:00:00 -0700 2020-12399 Notice https://www.govinfo.gov/content/pkg/FR-2020-06-09/pdf/2020-12399.pdf Notice - Submission for OMB Review; Comment Request https://regulations.justia.com/regulations/fedreg/2020/06/09/2020-12398.html https://regulations.justia.com/regulations/fedreg/2020/06/09/2020-12398.html Tue, 09 Jun 2020 00:00:00 -0700 2020-12398 Notice https://www.govinfo.gov/content/pkg/FR-2020-06-09/pdf/2020-12398.pdf Notice - Submission for OMB Review; Comment Request https://regulations.justia.com/regulations/fedreg/2020/06/09/2020-12397.html https://regulations.justia.com/regulations/fedreg/2020/06/09/2020-12397.html Tue, 09 Jun 2020 00:00:00 -0700 2020-12397 Notice https://www.govinfo.gov/content/pkg/FR-2020-06-09/pdf/2020-12397.pdf Notice - Submission for OMB Review; Comment Request https://regulations.justia.com/regulations/fedreg/2020/06/09/2020-12396.html https://regulations.justia.com/regulations/fedreg/2020/06/09/2020-12396.html Tue, 09 Jun 2020 00:00:00 -0700 2020-12396 Notice https://www.govinfo.gov/content/pkg/FR-2020-06-09/pdf/2020-12396.pdf Notice - Submission for OMB Review; Comment Request https://regulations.justia.com/regulations/fedreg/2020/06/09/2020-12395.html https://regulations.justia.com/regulations/fedreg/2020/06/09/2020-12395.html Tue, 09 Jun 2020 00:00:00 -0700 2020-12395 Notice https://www.govinfo.gov/content/pkg/FR-2020-06-09/pdf/2020-12395.pdf Notice - Submission for OMB Review; Comment Request https://regulations.justia.com/regulations/fedreg/2020/06/09/2020-12394.html https://regulations.justia.com/regulations/fedreg/2020/06/09/2020-12394.html Tue, 09 Jun 2020 00:00:00 -0700 2020-12394 Notice https://www.govinfo.gov/content/pkg/FR-2020-06-09/pdf/2020-12394.pdf Notice - Submission for OMB Review; Comment Request https://regulations.justia.com/regulations/fedreg/2020/06/09/2020-12392.html https://regulations.justia.com/regulations/fedreg/2020/06/09/2020-12392.html Tue, 09 Jun 2020 00:00:00 -0700 2020-12392 Notice https://www.govinfo.gov/content/pkg/FR-2020-06-09/pdf/2020-12392.pdf Notice - Submission for OMB Review; Comment Request https://regulations.justia.com/regulations/fedreg/2020/06/09/2020-12391.html https://regulations.justia.com/regulations/fedreg/2020/06/09/2020-12391.html Tue, 09 Jun 2020 00:00:00 -0700 2020-12391 Notice https://www.govinfo.gov/content/pkg/FR-2020-06-09/pdf/2020-12391.pdf Notice - Proposed Collection; Comment Request https://regulations.justia.com/regulations/fedreg/2020/06/09/2020-12390.html https://regulations.justia.com/regulations/fedreg/2020/06/09/2020-12390.html Tue, 09 Jun 2020 00:00:00 -0700 2020-12390 Notice https://www.govinfo.gov/content/pkg/FR-2020-06-09/pdf/2020-12390.pdf Notice - Submission for OMB Review; Comment Request https://regulations.justia.com/regulations/fedreg/2020/06/09/2020-12389.html https://regulations.justia.com/regulations/fedreg/2020/06/09/2020-12389.html Tue, 09 Jun 2020 00:00:00 -0700 2020-12389 Notice https://www.govinfo.gov/content/pkg/FR-2020-06-09/pdf/2020-12389.pdf Notice - Self-Regulatory Organizations; Cboe EDGA Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Allow Members and Clearing Members To Establish or Adjust the Risk Settings Set Forth in Interpretation and Policy .03 of Exchange Rule 11.10 on a Risk Group Identifier Basis https://regulations.justia.com/regulations/fedreg/2020/06/09/2020-12386.html https://regulations.justia.com/regulations/fedreg/2020/06/09/2020-12386.html Tue, 09 Jun 2020 00:00:00 -0700 2020-12386 Notice https://www.govinfo.gov/content/pkg/FR-2020-06-09/pdf/2020-12386.pdf Notice - Self-Regulatory Organizations; Cboe EDGX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Allow Members and Clearing Members To Establish or Adjust the Risk Settings Set Forth in Interpretation and Policy .03 of Exchange Rule 11.10 on a Risk Group Identifier Basis https://regulations.justia.com/regulations/fedreg/2020/06/09/2020-12385.html https://regulations.justia.com/regulations/fedreg/2020/06/09/2020-12385.html Tue, 09 Jun 2020 00:00:00 -0700 2020-12385 Notice https://www.govinfo.gov/content/pkg/FR-2020-06-09/pdf/2020-12385.pdf Notice - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Section 902.02 of the NYSE Listed Company Manual Concerning Pre-Revenue Companies That Can Qualify for Reduced Listing and Annual Fees https://regulations.justia.com/regulations/fedreg/2020/06/09/2020-12384.html https://regulations.justia.com/regulations/fedreg/2020/06/09/2020-12384.html Tue, 09 Jun 2020 00:00:00 -0700 2020-12384 Notice https://www.govinfo.gov/content/pkg/FR-2020-06-09/pdf/2020-12384.pdf Notice - Self-Regulatory Organizations; Cboe Exchange, Inc.; Notice of Filing of Amendment No. 1 and Order Instituting Proceedings To Determine Whether To Approve or Disapprove a Proposed Rule Change, as Modified by Amendment No. 1, To Adopt a Delta-Adjusted at Close Order Instruction https://regulations.justia.com/regulations/fedreg/2020/06/09/2020-12381.html https://regulations.justia.com/regulations/fedreg/2020/06/09/2020-12381.html Tue, 09 Jun 2020 00:00:00 -0700 2020-12381 Notice https://www.govinfo.gov/content/pkg/FR-2020-06-09/pdf/2020-12381.pdf Notice - Self-Regulatory Organizations; Nasdaq PHLX LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Further Extend the Deadline for Certain Written Supervisory-Related Reports Pursuant to Options 10, Section 7 (Supervision of Accounts) https://regulations.justia.com/regulations/fedreg/2020/06/08/2020-12278.html https://regulations.justia.com/regulations/fedreg/2020/06/08/2020-12278.html Mon, 08 Jun 2020 00:00:00 -0700 2020-12278 Notice https://www.govinfo.gov/content/pkg/FR-2020-06-08/pdf/2020-12278.pdf Notice - Self-Regulatory Organizations; Nasdaq ISE, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Further Extend the Deadline for Certain Written Supervisory-Related Reports Pursuant to Options 10, Section 7 (Supervision of Accounts) https://regulations.justia.com/regulations/fedreg/2020/06/08/2020-12277.html https://regulations.justia.com/regulations/fedreg/2020/06/08/2020-12277.html Mon, 08 Jun 2020 00:00:00 -0700 2020-12277 Notice https://www.govinfo.gov/content/pkg/FR-2020-06-08/pdf/2020-12277.pdf Notice - Self-Regulatory Organizations; MIAX Emerald, LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Exchange Rule 510, Minimum Price Variations and Minimum Trading Increments, To Conform the Rule to Section 3.1 of the Plan for the Purpose of Developing and Implementing Procedures Designed To Facilitate the Listing and Trading of Standardized Options https://regulations.justia.com/regulations/fedreg/2020/06/08/2020-12276.html https://regulations.justia.com/regulations/fedreg/2020/06/08/2020-12276.html Mon, 08 Jun 2020 00:00:00 -0700 2020-12276 Notice https://www.govinfo.gov/content/pkg/FR-2020-06-08/pdf/2020-12276.pdf Notice - Self-Regulatory Organizations; MIAX PEARL, LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Exchange Rule 404, Series of Option Contracts Open for Trading, and Rule 510, Minimum Price Variations and Minimum Trading Increments, To Conform the Rules to Section 3.1 of the Plan for the Purpose of Developing and Implementing Procedures Designed To Facilitate the Listing and Trading of Standardized Options https://regulations.justia.com/regulations/fedreg/2020/06/08/2020-12275.html https://regulations.justia.com/regulations/fedreg/2020/06/08/2020-12275.html Mon, 08 Jun 2020 00:00:00 -0700 2020-12275 Notice https://www.govinfo.gov/content/pkg/FR-2020-06-08/pdf/2020-12275.pdf Notice - Self-Regulatory Organizations; NYSE Chicago, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the Fee Schedule of NYSE Chicago, Inc. Related to Co-Location Services https://regulations.justia.com/regulations/fedreg/2020/06/08/2020-12274.html https://regulations.justia.com/regulations/fedreg/2020/06/08/2020-12274.html Mon, 08 Jun 2020 00:00:00 -0700 2020-12274 Notice https://www.govinfo.gov/content/pkg/FR-2020-06-08/pdf/2020-12274.pdf Notice - Self-Regulatory Organizations; The Options Clearing Corporation; Order Approving Proposed Rule Change To Modify the Sequence for Processing Options Transactions https://regulations.justia.com/regulations/fedreg/2020/06/08/2020-12273.html https://regulations.justia.com/regulations/fedreg/2020/06/08/2020-12273.html Mon, 08 Jun 2020 00:00:00 -0700 2020-12273 Notice https://www.govinfo.gov/content/pkg/FR-2020-06-08/pdf/2020-12273.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 404, Series of Option Contracts Open for Trading, Exchange Rule 510, Minimum Price Variations and Minimum Trading Increments, and Exchange Rule 516, Order Types Defined, To Conform the Rules to Section 3.1 of the Plan for the Purpose of Developing and Implementing Procedures Designed To Facilitate the Listing and Trading of Standardized Options https://regulations.justia.com/regulations/fedreg/2020/06/08/2020-12272.html https://regulations.justia.com/regulations/fedreg/2020/06/08/2020-12272.html Mon, 08 Jun 2020 00:00:00 -0700 2020-12272 Notice https://www.govinfo.gov/content/pkg/FR-2020-06-08/pdf/2020-12272.pdf Notice - Self-Regulatory Organizations; The Nasdaq Stock Market LLC; Notice of Filing of Proposed Rule Change To Amend IM-5101-1 (Use of Discretionary Authority) To Deny Listing or Continued Listing or To Apply Additional and More Stringent Criteria to an Applicant or Listed Company Based on Considerations Related to the Company's Auditor or When a Company's Business Is Principally Administered in a Jurisdiction That Is a Restrictive Market https://regulations.justia.com/regulations/fedreg/2020/06/08/2020-12271.html https://regulations.justia.com/regulations/fedreg/2020/06/08/2020-12271.html Mon, 08 Jun 2020 00:00:00 -0700 2020-12271 Notice https://www.govinfo.gov/content/pkg/FR-2020-06-08/pdf/2020-12271.pdf Notice - Sunshine Act Meetings https://regulations.justia.com/regulations/fedreg/2020/06/05/2020-12380.html https://regulations.justia.com/regulations/fedreg/2020/06/05/2020-12380.html Fri, 05 Jun 2020 00:00:00 -0700 2020-12380 Notice https://www.govinfo.gov/content/pkg/FR-2020-06-05/pdf/2020-12380.pdf Notice - Self-Regulatory Organizations; Municipal Securities Rulemaking Board; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Waive MSRB Market Activity Fees Related to Transactions With the Municipal Liquidity Facility Established by the Board of Governors of the Federal Reserve System https://regulations.justia.com/regulations/fedreg/2020/06/05/2020-12167.html https://regulations.justia.com/regulations/fedreg/2020/06/05/2020-12167.html Fri, 05 Jun 2020 00:00:00 -0700 2020-12167 Notice https://www.govinfo.gov/content/pkg/FR-2020-06-05/pdf/2020-12167.pdf Notice - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the Exchange's Price List Related to Co-Location Services https://regulations.justia.com/regulations/fedreg/2020/06/05/2020-12166.html https://regulations.justia.com/regulations/fedreg/2020/06/05/2020-12166.html Fri, 05 Jun 2020 00:00:00 -0700 2020-12166 Notice https://www.govinfo.gov/content/pkg/FR-2020-06-05/pdf/2020-12166.pdf Notice - Self-Regulatory Organizations; Cboe Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Its Fees Schedule in Connection With Migration https://regulations.justia.com/regulations/fedreg/2020/06/05/2020-12165.html https://regulations.justia.com/regulations/fedreg/2020/06/05/2020-12165.html Fri, 05 Jun 2020 00:00:00 -0700 2020-12165 Notice https://www.govinfo.gov/content/pkg/FR-2020-06-05/pdf/2020-12165.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/2020/06/05/2020-12164.html https://regulations.justia.com/regulations/fedreg/2020/06/05/2020-12164.html Fri, 05 Jun 2020 00:00:00 -0700 2020-12164 Notice https://www.govinfo.gov/content/pkg/FR-2020-06-05/pdf/2020-12164.pdf Notice - Self-Regulatory Organizations; NYSE National, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the Exchange's Price List Related to Co-Location Services https://regulations.justia.com/regulations/fedreg/2020/06/05/2020-12162.html https://regulations.justia.com/regulations/fedreg/2020/06/05/2020-12162.html Fri, 05 Jun 2020 00:00:00 -0700 2020-12162 Notice https://www.govinfo.gov/content/pkg/FR-2020-06-05/pdf/2020-12162.pdf Notice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the NYSE Arca Options Fees and Charges and the NYSE Arca Equities Fees and Charges Related to Co-location Services https://regulations.justia.com/regulations/fedreg/2020/06/05/2020-12161.html https://regulations.justia.com/regulations/fedreg/2020/06/05/2020-12161.html Fri, 05 Jun 2020 00:00:00 -0700 2020-12161 Notice https://www.govinfo.gov/content/pkg/FR-2020-06-05/pdf/2020-12161.pdf Notice - Self-Regulatory Organizations; Cboe Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Rule 8.16 and Rule 9.2 To Temporarily Extend the Filing Deadline for Certain Supervision-Related Reports https://regulations.justia.com/regulations/fedreg/2020/06/05/2020-12158.html https://regulations.justia.com/regulations/fedreg/2020/06/05/2020-12158.html Fri, 05 Jun 2020 00:00:00 -0700 2020-12158 Notice https://www.govinfo.gov/content/pkg/FR-2020-06-05/pdf/2020-12158.pdf Notice - Self-Regulatory Organizations; NYSE American LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the NYSE American Equities Price List and the NYSE American Options Fee Schedule Related to Co-Location Services https://regulations.justia.com/regulations/fedreg/2020/06/05/2020-12156.html https://regulations.justia.com/regulations/fedreg/2020/06/05/2020-12156.html Fri, 05 Jun 2020 00:00:00 -0700 2020-12156 Notice https://www.govinfo.gov/content/pkg/FR-2020-06-05/pdf/2020-12156.pdf Notice - Self-Regulatory Organizations; The Options Clearing Corporation; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Extend the Deadline for Clearing Members To Provide an Actionable Identifier on Customer and Non-Customer Securities Options Trades Other Than Market Maker Trades https://regulations.justia.com/regulations/fedreg/2020/06/04/2020-12018.html https://regulations.justia.com/regulations/fedreg/2020/06/04/2020-12018.html Thu, 04 Jun 2020 00:00:00 -0700 2020-12018 Notice https://www.govinfo.gov/content/pkg/FR-2020-06-04/pdf/2020-12018.pdf Notice - Self-Regulatory Organizations; NYSE Chicago, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the Services Available to Users That Use Co-location Services in the Mahwah, New Jersey Data Center https://regulations.justia.com/regulations/fedreg/2020/06/04/2020-12017.html https://regulations.justia.com/regulations/fedreg/2020/06/04/2020-12017.html Thu, 04 Jun 2020 00:00:00 -0700 2020-12017 Notice https://www.govinfo.gov/content/pkg/FR-2020-06-04/pdf/2020-12017.pdf Notice - Notice of Applications for Deregistration Under Section 8(f) of the Investment Company Act of 1940 https://regulations.justia.com/regulations/fedreg/2020/06/04/2020-12006.html https://regulations.justia.com/regulations/fedreg/2020/06/04/2020-12006.html Thu, 04 Jun 2020 00:00:00 -0700 2020-12006 Notice https://www.govinfo.gov/content/pkg/FR-2020-06-04/pdf/2020-12006.pdf Notice - Self-Regulatory Organizations; Cboe BZX Exchange, Inc.; Notice of Filing of a Proposed Rule Change To Accommodate Exchange Listing and Trading of Options-Linked Securities https://regulations.justia.com/regulations/fedreg/2020/06/03/2020-11920.html https://regulations.justia.com/regulations/fedreg/2020/06/03/2020-11920.html Wed, 03 Jun 2020 00:00:00 -0700 2020-11920 Notice https://www.govinfo.gov/content/pkg/FR-2020-06-03/pdf/2020-11920.pdf Notice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing of Proposed Rule Change To List and Trade Shares of Gabelli ETFs Under Rule 8.900-E, Managed Portfolio Shares https://regulations.justia.com/regulations/fedreg/2020/06/03/2020-11919.html https://regulations.justia.com/regulations/fedreg/2020/06/03/2020-11919.html Wed, 03 Jun 2020 00:00:00 -0700 2020-11919 Notice https://www.govinfo.gov/content/pkg/FR-2020-06-03/pdf/2020-11919.pdf Notice - Self-Regulatory Organizations; The Options Clearing Corporation; Notice of Filing of Advance Notice of and No Objection to The Options Clearing Corporation's Proposal To Enter Into a New Credit Facility Agreement https://regulations.justia.com/regulations/fedreg/2020/06/03/2020-11917.html https://regulations.justia.com/regulations/fedreg/2020/06/03/2020-11917.html Wed, 03 Jun 2020 00:00:00 -0700 2020-11917 Notice https://www.govinfo.gov/content/pkg/FR-2020-06-03/pdf/2020-11917.pdf Notice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Extend the Temporary Waiver of the Co-Location Hot Hands Fee https://regulations.justia.com/regulations/fedreg/2020/06/02/2020-11784.html https://regulations.justia.com/regulations/fedreg/2020/06/02/2020-11784.html Tue, 02 Jun 2020 00:00:00 -0700 2020-11784 Notice https://www.govinfo.gov/content/pkg/FR-2020-06-02/pdf/2020-11784.pdf Notice - Self-Regulatory Organizations; BOX Exchange LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Replace BOX Rule 7260 (Penny Pilot Program) To Conform the Rule to Section 3.1 of the Plan for the Purpose of Developing and Implementing Procedures Designed To Facilitate the Listing and Trading of Standardized Options and Make Other Non Substantive Changes to References to the Penny Pilot Program https://regulations.justia.com/regulations/fedreg/2020/06/02/2020-11783.html https://regulations.justia.com/regulations/fedreg/2020/06/02/2020-11783.html Tue, 02 Jun 2020 00:00:00 -0700 2020-11783 Notice https://www.govinfo.gov/content/pkg/FR-2020-06-02/pdf/2020-11783.pdf Notice - Self-Regulatory Organizations; NYSE National, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Extend the Temporary Waiver of the Co-location Hot Hands Fee https://regulations.justia.com/regulations/fedreg/2020/06/02/2020-11782.html https://regulations.justia.com/regulations/fedreg/2020/06/02/2020-11782.html Tue, 02 Jun 2020 00:00:00 -0700 2020-11782 Notice https://www.govinfo.gov/content/pkg/FR-2020-06-02/pdf/2020-11782.pdf Notice - Self-Regulatory Organizations; NYSE Chicago, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Extend the Temporary Waiver of the Co-Location Hot Hands Fee https://regulations.justia.com/regulations/fedreg/2020/06/02/2020-11781.html https://regulations.justia.com/regulations/fedreg/2020/06/02/2020-11781.html Tue, 02 Jun 2020 00:00:00 -0700 2020-11781 Notice https://www.govinfo.gov/content/pkg/FR-2020-06-02/pdf/2020-11781.pdf Notice - Self-Regulatory Organizations; NYSE American LLC; Notice of Filing and Immediate Effectiveness of Proposed Change To Extend the Temporary Waiver of the Co-Location Hot Hands Fee https://regulations.justia.com/regulations/fedreg/2020/06/02/2020-11780.html https://regulations.justia.com/regulations/fedreg/2020/06/02/2020-11780.html Tue, 02 Jun 2020 00:00:00 -0700 2020-11780 Notice https://www.govinfo.gov/content/pkg/FR-2020-06-02/pdf/2020-11780.pdf Notice - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Extend the Temporary Waiver of the Co-Location Hot Hands Fee https://regulations.justia.com/regulations/fedreg/2020/06/02/2020-11779.html https://regulations.justia.com/regulations/fedreg/2020/06/02/2020-11779.html Tue, 02 Jun 2020 00:00:00 -0700 2020-11779 Notice https://www.govinfo.gov/content/pkg/FR-2020-06-02/pdf/2020-11779.pdf Notice - Self-Regulatory Organizations; ICE Clear Credit LLC; Order Approving Proposed Rule Change Relating to the ICC Clearing Rules https://regulations.justia.com/regulations/fedreg/2020/06/02/2020-11777.html https://regulations.justia.com/regulations/fedreg/2020/06/02/2020-11777.html Tue, 02 Jun 2020 00:00:00 -0700 2020-11777 Notice https://www.govinfo.gov/content/pkg/FR-2020-06-02/pdf/2020-11777.pdf Notice - Order Under Section 17A and Section 36 of the Securities Exchange Act of 1934 Extending Temporary Exemptions From Specified Provisions of the Exchange Act and Certain Rules Thereunder https://regulations.justia.com/regulations/fedreg/2020/06/01/2020-11718.html https://regulations.justia.com/regulations/fedreg/2020/06/01/2020-11718.html Mon, 01 Jun 2020 00:00:00 -0700 2020-11718 Notice https://www.govinfo.gov/content/pkg/FR-2020-06-01/pdf/2020-11718.pdf Notice - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To add Commentary .05 to Rule 7.35A https://regulations.justia.com/regulations/fedreg/2020/06/01/2020-11657.html https://regulations.justia.com/regulations/fedreg/2020/06/01/2020-11657.html Mon, 01 Jun 2020 00:00:00 -0700 2020-11657 Notice https://www.govinfo.gov/content/pkg/FR-2020-06-01/pdf/2020-11657.pdf Notice - Program for Allocation of Regulatory Responsibilities Pursuant to Rule 17d-2; Notice of Filing and Order Approving and Declaring Effective an Amendment to the Plan for the Allocation of Regulatory Responsibilities Among Cboe BZX Exchange, Inc., Cboe BYX Exchange, Inc., NYSE Chicago, Inc., Cboe EDGA Exchange, Inc., Cboe EDGX Exchange, Inc., Financial Industry Regulatory Authority, Inc., MEMX LLC, Nasdaq BX, Inc., Nasdaq PHLX LLC, The Nasdaq Stock Market LLC, NYSE National, Inc., New York Stock Exchange LLC, NYSE American LLC, NYSE Arca, Inc., Investors' Exchange LLC, and Long-Term Stock Exchange, Inc. Relating to the Surveillance, Investigation, and Enforcement of Insider Trading Rules https://regulations.justia.com/regulations/fedreg/2020/06/01/2020-11656.html https://regulations.justia.com/regulations/fedreg/2020/06/01/2020-11656.html Mon, 01 Jun 2020 00:00:00 -0700 2020-11656 Notice https://www.govinfo.gov/content/pkg/FR-2020-06-01/pdf/2020-11656.pdf Notice - Self-Regulatory Organizations; BOX Exchange LLC; Notice of Filing of Proposed Rule Change in Connection With the Proposed Commencement of Operations of Boston Security Token Exchange LLC (“BSTX”) as a Facility of the Exchange https://regulations.justia.com/regulations/fedreg/2020/06/01/2020-11653.html https://regulations.justia.com/regulations/fedreg/2020/06/01/2020-11653.html Mon, 01 Jun 2020 00:00:00 -0700 2020-11653 Notice https://www.govinfo.gov/content/pkg/FR-2020-06-01/pdf/2020-11653.pdf Notice - Self-Regulatory Organizations; NYSE American LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Rule 960NY to Conform the Rule to Section 3.1 of the Plan for the Purpose of Developing and Implementing Procedures Designed To Facilitate the Listing and Trading of Standardized Options https://regulations.justia.com/regulations/fedreg/2020/06/01/2020-11652.html https://regulations.justia.com/regulations/fedreg/2020/06/01/2020-11652.html Mon, 01 Jun 2020 00:00:00 -0700 2020-11652 Notice https://www.govinfo.gov/content/pkg/FR-2020-06-01/pdf/2020-11652.pdf Notice - Self-Regulatory Organizations; BOX Exchange LLC; Notice of Filing of 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/2020/06/01/2020-11651.html https://regulations.justia.com/regulations/fedreg/2020/06/01/2020-11651.html Mon, 01 Jun 2020 00:00:00 -0700 2020-11651 Notice https://www.govinfo.gov/content/pkg/FR-2020-06-01/pdf/2020-11651.pdf Notice - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Order Approving a Proposed Rule Change To Amend the FINRA Code of Arbitration Procedure for Customer Disputes and the FINRA Code of Arbitration Procedure for Industry Disputes To Apply Minimum Fees To Requests for Expungement of Customer Dispute Information https://regulations.justia.com/regulations/fedreg/2020/06/01/2020-11650.html https://regulations.justia.com/regulations/fedreg/2020/06/01/2020-11650.html Mon, 01 Jun 2020 00:00:00 -0700 2020-11650 Notice https://www.govinfo.gov/content/pkg/FR-2020-06-01/pdf/2020-11650.pdf Notice - Self-Regulatory Organizations; ICE Clear Credit LLC; Order Approving Proposed Rule Change Relating to the ICC Clearing Participant Default Management Procedures https://regulations.justia.com/regulations/fedreg/2020/06/01/2020-11649.html https://regulations.justia.com/regulations/fedreg/2020/06/01/2020-11649.html Mon, 01 Jun 2020 00:00:00 -0700 2020-11649 Notice https://www.govinfo.gov/content/pkg/FR-2020-06-01/pdf/2020-11649.pdf Notice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Rule 6.72-O To Conform the Rule to Section 3.1 of the Plan for the Purpose of Developing and Implementing Procedures Designed to Facilitate the Listing and Trading of Standardized Options https://regulations.justia.com/regulations/fedreg/2020/06/01/2020-11648.html https://regulations.justia.com/regulations/fedreg/2020/06/01/2020-11648.html Mon, 01 Jun 2020 00:00:00 -0700 2020-11648 Notice https://www.govinfo.gov/content/pkg/FR-2020-06-01/pdf/2020-11648.pdf Notice - Self-Regulatory Organizations; Nasdaq GEMX, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend GEMX's Pricing Schedule https://regulations.justia.com/regulations/fedreg/2020/06/01/2020-11647.html https://regulations.justia.com/regulations/fedreg/2020/06/01/2020-11647.html Mon, 01 Jun 2020 00:00:00 -0700 2020-11647 Notice https://www.govinfo.gov/content/pkg/FR-2020-06-01/pdf/2020-11647.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/2020/06/01/2020-11646.html https://regulations.justia.com/regulations/fedreg/2020/06/01/2020-11646.html Mon, 01 Jun 2020 00:00:00 -0700 2020-11646 Notice https://www.govinfo.gov/content/pkg/FR-2020-06-01/pdf/2020-11646.pdf Notice - Self-Regulatory Organizations; Nasdaq BX, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Relocate the BX Disciplinary Rules and Incorporate by Reference the Disciplinary Rules of The Nasdaq Stock Market LLC https://regulations.justia.com/regulations/fedreg/2020/06/01/2020-11645.html https://regulations.justia.com/regulations/fedreg/2020/06/01/2020-11645.html Mon, 01 Jun 2020 00:00:00 -0700 2020-11645 Notice https://www.govinfo.gov/content/pkg/FR-2020-06-01/pdf/2020-11645.pdf Rule - Recordkeeping and Reporting Requirements for Security-Based Swap Dealers, Major Security-Based Swap Participants, and Broker-Dealers; Correction https://regulations.justia.com/regulations/fedreg/2020/06/01/2020-10016.html https://regulations.justia.com/regulations/fedreg/2020/06/01/2020-10016.html Mon, 01 Jun 2020 00:00:00 -0700 2020-10016 Rule https://www.govinfo.gov/content/pkg/FR-2020-06-01/pdf/2020-10016.pdf Rule - Securities Offering Reform for Closed-End Investment Companies https://regulations.justia.com/regulations/fedreg/2020/06/01/2020-07790.html https://regulations.justia.com/regulations/fedreg/2020/06/01/2020-07790.html Mon, 01 Jun 2020 00:00:00 -0700 2020-07790 Rule https://www.govinfo.gov/content/pkg/FR-2020-06-01/pdf/2020-07790.pdf