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/2020/07?limit=200®isters=between&min-day=1&max-day=31&mode=atom2024-05-02T18:32:17-07:00Justia Inchttps://www.justia.com/Justia Regulations Trackerhttps://regulations.justia.com/images/justiafedregulations.gifCopyright 2011 Justia Inchttps://regulations.justia.com/regulations/fedreg/2020/07/31/2020-16840.htmlNotice - Sunshine Act Meetings2020-07-31T00:00:00-07:002020-07-31T00:00:00-07:002020-16840Noticehttps://www.govinfo.gov/content/pkg/FR-2020-07-31/pdf/2020-16840.pdfhttps://regulations.justia.com/regulations/fedreg/2020/07/31/2020-16589.htmlNotice - Notice of Intention To Cancel Registration Pursuant to Section 203(H) of the Investment Advisers Act of 19402020-07-31T00:00:00-07:002020-07-31T00:00:00-07:002020-16589Noticehttps://www.govinfo.gov/content/pkg/FR-2020-07-31/pdf/2020-16589.pdfhttps://regulations.justia.com/regulations/fedreg/2020/07/31/2020-16573.htmlNotice - Self-Regulatory Organizations; Cboe Exchange, Inc.; Notice of Designation of a Longer Period for Commission Action on a Proposed Rule Change, as Modified by Amendment No. 1, To Amend Rules 5.37, 5.38, and 5.732020-07-31T00:00:00-07:002020-07-31T00:00:00-07:002020-16573Noticehttps://www.govinfo.gov/content/pkg/FR-2020-07-31/pdf/2020-16573.pdfhttps://regulations.justia.com/regulations/fedreg/2020/07/31/2020-16572.htmlNotice - Self-Regulatory Organizations; The Nasdaq Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Defer Entry Fees for Acquisition Companies2020-07-31T00:00:00-07:002020-07-31T00:00:00-07:002020-16572Noticehttps://www.govinfo.gov/content/pkg/FR-2020-07-31/pdf/2020-16572.pdfhttps://regulations.justia.com/regulations/fedreg/2020/07/31/2020-16571.htmlNotice - Self-Regulatory Organizations; Cboe Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating To Amend Rule 10.3 by Extending the Credit Option Margin Pilot Program Through September 1, 20212020-07-31T00:00:00-07:002020-07-31T00:00:00-07:002020-16571Noticehttps://www.govinfo.gov/content/pkg/FR-2020-07-31/pdf/2020-16571.pdfhttps://regulations.justia.com/regulations/fedreg/2020/07/31/2020-16570.htmlNotice - Self-Regulatory Organizations; Cboe Exchange, Inc.; Notice of Designation of a Longer Period for Commission Action on a Proposed Rule Change, as Modified by Amendment No. 1, To Amend Its Automated Price Improvement Auction Rules in Connection With Agency Order Size Requirements2020-07-31T00:00:00-07:002020-07-31T00:00:00-07:002020-16570Noticehttps://www.govinfo.gov/content/pkg/FR-2020-07-31/pdf/2020-16570.pdfhttps://regulations.justia.com/regulations/fedreg/2020/07/31/2020-16569.htmlNotice - Self-Regulatory Organizations; Cboe Exchange, Inc.; Notice of Designation of a Longer Period for Commission Action on a Proposed Rule Change, as Modified by Amendment Nos. 1 and 2, to Amend Rules 5.37 and 5.732020-07-31T00:00:00-07:002020-07-31T00:00:00-07:002020-16569Noticehttps://www.govinfo.gov/content/pkg/FR-2020-07-31/pdf/2020-16569.pdfhttps://regulations.justia.com/regulations/fedreg/2020/07/31/2020-16568.htmlNotice - Self-Regulatory Organizations; NYSE American LLC; Notice of Filing and Order Granting Accelerated Approval of Proposed Rule Change Adding the Consolidated Audit Trail Industry Member Compliance Rules to the List of Minor Rule Violations in Rule 92172020-07-31T00:00:00-07:002020-07-31T00:00:00-07:002020-16568Noticehttps://www.govinfo.gov/content/pkg/FR-2020-07-31/pdf/2020-16568.pdfhttps://regulations.justia.com/regulations/fedreg/2020/07/31/2020-15525.htmlRule - Prohibitions and Restrictions on Proprietary Trading and Certain Interests in, and Relationships With, Hedge Funds and Private Equity Funds2020-07-31T00:00:00-07:002020-07-31T00:00:00-07:002020-15525Rulehttps://www.govinfo.gov/content/pkg/FR-2020-07-31/pdf/2020-15525.pdfhttps://regulations.justia.com/regulations/fedreg/2020/07/31/2020-15322.htmlProposed Rule - Reporting Threshold for Institutional Investment Managers2020-07-31T00:00:00-07:002020-07-31T00:00:00-07:002020-15322Proposed Rulehttps://www.govinfo.gov/content/pkg/FR-2020-07-31/pdf/2020-15322.pdfhttps://regulations.justia.com/regulations/fedreg/2020/07/30/2020-16627.htmlNotice - Sunshine Act Meetings2020-07-30T00:00:00-07:002020-07-30T00:00:00-07:002020-16627Noticehttps://www.govinfo.gov/content/pkg/FR-2020-07-30/pdf/2020-16627.pdfhttps://regulations.justia.com/regulations/fedreg/2020/07/30/2020-16476.htmlNotice - Joint Industry Plan; Order Approving Amendment to the National Market System Plan Governing the Consolidated Audit Trail2020-07-30T00:00:00-07:002020-07-30T00:00:00-07:002020-16476Noticehttps://www.govinfo.gov/content/pkg/FR-2020-07-30/pdf/2020-16476.pdfhttps://regulations.justia.com/regulations/fedreg/2020/07/30/2020-16472.htmlNotice - Self-Regulatory Organizations; The Options Clearing Corporation; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Concerning The Options Clearing Corporation's Synthetic Futures Model2020-07-30T00:00:00-07:002020-07-30T00:00:00-07:002020-16472Noticehttps://www.govinfo.gov/content/pkg/FR-2020-07-30/pdf/2020-16472.pdfhttps://regulations.justia.com/regulations/fedreg/2020/07/30/2020-16469.htmlNotice - Self-Regulatory Organizations; Nasdaq GEMX, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Options 7, Section 32020-07-30T00:00:00-07:002020-07-30T00:00:00-07:002020-16469Noticehttps://www.govinfo.gov/content/pkg/FR-2020-07-30/pdf/2020-16469.pdfhttps://regulations.justia.com/regulations/fedreg/2020/07/30/2020-16467.htmlNotice - Self-Regulatory Organizations; The Options Clearing Corporation; Notice of Filing of Proposed Rule Change To Enhance OCC's Stock Loan Close-Out Process2020-07-30T00:00:00-07:002020-07-30T00:00:00-07:002020-16467Noticehttps://www.govinfo.gov/content/pkg/FR-2020-07-30/pdf/2020-16467.pdfhttps://regulations.justia.com/regulations/fedreg/2020/07/29/2020-16376.htmlNotice - Self-Regulatory Organizations; NYSE Chicago, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Rule 7.37 To Add the Data Source for MEMX2020-07-29T00:00:00-07:002020-07-29T00:00:00-07:002020-16376Noticehttps://www.govinfo.gov/content/pkg/FR-2020-07-29/pdf/2020-16376.pdfhttps://regulations.justia.com/regulations/fedreg/2020/07/29/2020-16374.htmlNotice - Self-Regulatory Organizations; NYSE National, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Rule 7.37 To Add the Data Source for MEMX2020-07-29T00:00:00-07:002020-07-29T00:00:00-07:002020-16374Noticehttps://www.govinfo.gov/content/pkg/FR-2020-07-29/pdf/2020-16374.pdfhttps://regulations.justia.com/regulations/fedreg/2020/07/29/2020-16373.htmlNotice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Rule 7.37-E To Add the Data Source for MEMX2020-07-29T00:00:00-07:002020-07-29T00:00:00-07:002020-16373Noticehttps://www.govinfo.gov/content/pkg/FR-2020-07-29/pdf/2020-16373.pdfhttps://regulations.justia.com/regulations/fedreg/2020/07/29/2020-16372.htmlNotice - Self-Regulatory Organizations; The Nasdaq Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Listing Rule IM-5900-4 To Waive the All-Inclusive Annual Listing Fee for Any Company Not Listed on a National Securities Exchange That Is Listing Upon Closing of Its Acquisition of a Special Purpose Acquisition Company Listed on Another National Securities Exchange2020-07-29T00:00:00-07:002020-07-29T00:00:00-07:002020-16372Noticehttps://www.govinfo.gov/content/pkg/FR-2020-07-29/pdf/2020-16372.pdfhttps://regulations.justia.com/regulations/fedreg/2020/07/29/2020-16371.htmlNotice - Self-Regulatory Organizations; Cboe Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Rule 6.7 Concerning Off-Floor Transfers2020-07-29T00:00:00-07:002020-07-29T00:00:00-07:002020-16371Noticehttps://www.govinfo.gov/content/pkg/FR-2020-07-29/pdf/2020-16371.pdfhttps://regulations.justia.com/regulations/fedreg/2020/07/29/2020-16263.htmlNotice - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Rule 2360 (Options) To Increase Position Limits on Options on Certain Exchange-Traded Funds2020-07-29T00:00:00-07:002020-07-29T00:00:00-07:002020-16263Noticehttps://www.govinfo.gov/content/pkg/FR-2020-07-29/pdf/2020-16263.pdfhttps://regulations.justia.com/regulations/fedreg/2020/07/28/2020-16265.htmlNotice - Self-Regulatory Organizations; NYSE American LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the NYSE American Options Fee Schedule2020-07-28T00:00:00-07:002020-07-28T00:00:00-07:002020-16265Noticehttps://www.govinfo.gov/content/pkg/FR-2020-07-28/pdf/2020-16265.pdfhttps://regulations.justia.com/regulations/fedreg/2020/07/28/2020-16264.htmlNotice - Self-Regulatory Organizations; NYSE Chicago, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Rule 1.1 To Include Active Proxy Portfolio Shares, Tracking Fund Shares, Proxy Portfolio Shares, and Index Fund Shares2020-07-28T00:00:00-07:002020-07-28T00:00:00-07:002020-16264Noticehttps://www.govinfo.gov/content/pkg/FR-2020-07-28/pdf/2020-16264.pdfhttps://regulations.justia.com/regulations/fedreg/2020/07/28/2020-16262.htmlNotice - Self-Regulatory Organizations; NYSE National, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Rule 1.1 To Include Active Proxy Portfolio Shares, Tracking Fund Shares, Proxy Portfolio Shares, and Index Fund Shares2020-07-28T00:00:00-07:002020-07-28T00:00:00-07:002020-16262Noticehttps://www.govinfo.gov/content/pkg/FR-2020-07-28/pdf/2020-16262.pdfhttps://regulations.justia.com/regulations/fedreg/2020/07/27/2020-16165.htmlNotice - Self-Regulatory Organizations; Nasdaq BX, Inc.; Notice of Filing of Proposed Rule Change To Amend BX's Opening Process in Connection With a Technology Migration2020-07-27T00:00:00-07:002020-07-27T00:00:00-07:002020-16165Noticehttps://www.govinfo.gov/content/pkg/FR-2020-07-27/pdf/2020-16165.pdfhttps://regulations.justia.com/regulations/fedreg/2020/07/27/2020-16164.htmlNotice - Self-Regulatory Organizations; NYSE American LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Rule 7.37E2020-07-27T00:00:00-07:002020-07-27T00:00:00-07:002020-16164Noticehttps://www.govinfo.gov/content/pkg/FR-2020-07-27/pdf/2020-16164.pdfhttps://regulations.justia.com/regulations/fedreg/2020/07/27/2020-16163.htmlNotice - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Rule 7.372020-07-27T00:00:00-07:002020-07-27T00:00:00-07:002020-16163Noticehttps://www.govinfo.gov/content/pkg/FR-2020-07-27/pdf/2020-16163.pdfhttps://regulations.justia.com/regulations/fedreg/2020/07/27/2020-16162.htmlNotice - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Delete Supplementary Material .20 to Rule 762020-07-27T00:00:00-07:002020-07-27T00:00:00-07:002020-16162Noticehttps://www.govinfo.gov/content/pkg/FR-2020-07-27/pdf/2020-16162.pdfhttps://regulations.justia.com/regulations/fedreg/2020/07/27/2020-16161.htmlNotice - Self-Regulatory Organizations; NYSE American LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Rule 1.1E To Include Active Proxy Portfolio Shares, Tracking Fund Shares, Proxy Portfolio Shares, and Index Fund Shares2020-07-27T00:00:00-07:002020-07-27T00:00:00-07:002020-16161Noticehttps://www.govinfo.gov/content/pkg/FR-2020-07-27/pdf/2020-16161.pdfhttps://regulations.justia.com/regulations/fedreg/2020/07/27/2020-16160.htmlNotice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Rule 1.1 to Include Active Proxy Portfolio Shares, Tracking Fund Shares, Proxy Portfolio Shares, and Index Fund Shares2020-07-27T00:00:00-07:002020-07-27T00:00:00-07:002020-16160Noticehttps://www.govinfo.gov/content/pkg/FR-2020-07-27/pdf/2020-16160.pdfhttps://regulations.justia.com/regulations/fedreg/2020/07/27/2020-16159.htmlNotice - Self-Regulatory Organizations; Fixed Income Clearing Corporation; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Revise the Clearing Agency Policy on Capital Requirements2020-07-27T00:00:00-07:002020-07-27T00:00:00-07:002020-16159Noticehttps://www.govinfo.gov/content/pkg/FR-2020-07-27/pdf/2020-16159.pdfhttps://regulations.justia.com/regulations/fedreg/2020/07/27/2020-16158.htmlNotice - Self-Regulatory Organizations; The Depository Trust Company; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Revise the Clearing Agency Policy on Capital Requirements2020-07-27T00:00:00-07:002020-07-27T00:00:00-07:002020-16158Noticehttps://www.govinfo.gov/content/pkg/FR-2020-07-27/pdf/2020-16158.pdfhttps://regulations.justia.com/regulations/fedreg/2020/07/27/2020-16157.htmlNotice - Self-Regulatory Organizations; National Securities Clearing Corporation; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Revise the Clearing Agency Policy on Capital Requirements2020-07-27T00:00:00-07:002020-07-27T00:00:00-07:002020-16157Noticehttps://www.govinfo.gov/content/pkg/FR-2020-07-27/pdf/2020-16157.pdfhttps://regulations.justia.com/regulations/fedreg/2020/07/27/2020-16156.htmlNotice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Update the NYSE Arca Options Fee Schedule2020-07-27T00:00:00-07:002020-07-27T00:00:00-07:002020-16156Noticehttps://www.govinfo.gov/content/pkg/FR-2020-07-27/pdf/2020-16156.pdfhttps://regulations.justia.com/regulations/fedreg/2020/07/27/2020-16155.htmlNotice - Self-Regulatory Organizations; The Nasdaq Stock Market LLC; Notice of Designation of a Longer Period for Commission Action on a Proposed Rule Change To Apply Additional Initial Listing Criteria for Companies Primarily Operating in Restrictive Markets2020-07-27T00:00:00-07:002020-07-27T00:00:00-07:002020-16155Noticehttps://www.govinfo.gov/content/pkg/FR-2020-07-27/pdf/2020-16155.pdfhttps://regulations.justia.com/regulations/fedreg/2020/07/27/2020-16154.htmlNotice - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Rule 1.1 To Include Active Proxy Portfolio Shares, Tracking Fund Shares, Proxy Portfolio Shares, and Index Fund Shares2020-07-27T00:00:00-07:002020-07-27T00:00:00-07:002020-16154Noticehttps://www.govinfo.gov/content/pkg/FR-2020-07-27/pdf/2020-16154.pdfhttps://regulations.justia.com/regulations/fedreg/2020/07/27/2020-16141.htmlNotice - Proposed Collection; Comment Request2020-07-27T00:00:00-07:002020-07-27T00:00:00-07:002020-16141Noticehttps://www.govinfo.gov/content/pkg/FR-2020-07-27/pdf/2020-16141.pdfhttps://regulations.justia.com/regulations/fedreg/2020/07/27/2020-15170.htmlRule - Securities Offering Reform for Closed-End Investment Companies; Correction2020-07-27T00:00:00-07:002020-07-27T00:00:00-07:002020-15170Rulehttps://www.govinfo.gov/content/pkg/FR-2020-07-27/pdf/2020-15170.pdfhttps://regulations.justia.com/regulations/fedreg/2020/07/24/2020-16218.htmlNotice - Sunshine Act Meeting; Cancellation2020-07-24T00:00:00-07:002020-07-24T00:00:00-07:002020-16218Noticehttps://www.govinfo.gov/content/pkg/FR-2020-07-24/pdf/2020-16218.pdfhttps://regulations.justia.com/regulations/fedreg/2020/07/24/2020-16217.htmlNotice - Sunshine Act Meetings2020-07-24T00:00:00-07:002020-07-24T00:00:00-07:002020-16217Noticehttps://www.govinfo.gov/content/pkg/FR-2020-07-24/pdf/2020-16217.pdfhttps://regulations.justia.com/regulations/fedreg/2020/07/24/2020-16063.htmlNotice - SEC Small Business Capital Formation Advisory Committee2020-07-24T00:00:00-07:002020-07-24T00:00:00-07:002020-16063Noticehttps://www.govinfo.gov/content/pkg/FR-2020-07-24/pdf/2020-16063.pdfhttps://regulations.justia.com/regulations/fedreg/2020/07/24/2020-16024.htmlNotice - Self-Regulatory Organizations; The Nasdaq Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Equity 7, Section 118(a)2020-07-24T00:00:00-07:002020-07-24T00:00:00-07:002020-16024Noticehttps://www.govinfo.gov/content/pkg/FR-2020-07-24/pdf/2020-16024.pdfhttps://regulations.justia.com/regulations/fedreg/2020/07/24/2020-16022.htmlNotice - Self-Regulatory Organizations; ICE Clear Europe Limited (“ICE Clear Europe”); Notice of Filing and Immediate Effectiveness of Proposed Rule Changes Relating to Amendments to Delivery Fees on UK Electricity Futures Contracts and Amendments to Clearing Fees of Certain Natural Gas Spot and Natural Gas Daily Futures Contracts2020-07-24T00:00:00-07:002020-07-24T00:00:00-07:002020-16022Noticehttps://www.govinfo.gov/content/pkg/FR-2020-07-24/pdf/2020-16022.pdfhttps://regulations.justia.com/regulations/fedreg/2020/07/24/2020-16021.htmlNotice - Self-Regulatory Organizations; Nasdaq PHLX LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the Exchange's Pricing Schedule at Equity 7, Section 32020-07-24T00:00:00-07:002020-07-24T00:00:00-07:002020-16021Noticehttps://www.govinfo.gov/content/pkg/FR-2020-07-24/pdf/2020-16021.pdfhttps://regulations.justia.com/regulations/fedreg/2020/07/24/2020-16019.htmlNotice - Self-Regulatory Organizations; The Nasdaq Stock Market LLC; Notice of Designation of a Longer Period for Commission Action on a Proposed Rule Change To Adopt a New Requirement Related to the Qualification of Management for Companies From Restrictive Markets2020-07-24T00:00:00-07:002020-07-24T00:00:00-07:002020-16019Noticehttps://www.govinfo.gov/content/pkg/FR-2020-07-24/pdf/2020-16019.pdfhttps://regulations.justia.com/regulations/fedreg/2020/07/24/2020-16017.htmlNotice - Self-Regulatory Organizations; The Nasdaq Stock Market LLC; Notice of Designation of a Longer Period for Commission Action on a Proposed Rule Change To Amend 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 Market2020-07-24T00:00:00-07:002020-07-24T00:00:00-07:002020-16017Noticehttps://www.govinfo.gov/content/pkg/FR-2020-07-24/pdf/2020-16017.pdfhttps://regulations.justia.com/regulations/fedreg/2020/07/23/2020-15913.htmlNotice - Submission for OMB Review; Comment Request2020-07-23T00:00:00-07:002020-07-23T00:00:00-07:002020-15913Noticehttps://www.govinfo.gov/content/pkg/FR-2020-07-23/pdf/2020-15913.pdfhttps://regulations.justia.com/regulations/fedreg/2020/07/23/2020-15911.htmlNotice - Self-Regulatory Organizations; The Nasdaq Stock Market 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 Violations2020-07-23T00:00:00-07:002020-07-23T00:00:00-07:002020-15911Noticehttps://www.govinfo.gov/content/pkg/FR-2020-07-23/pdf/2020-15911.pdfhttps://regulations.justia.com/regulations/fedreg/2020/07/23/2020-15910.htmlNotice - Self-Regulatory Organizations; NYSE American LLC; Notice of Filing and Immediate Effectiveness of Proposed Change To Modify the NYSE American Options Fee Schedule2020-07-23T00:00:00-07:002020-07-23T00:00:00-07:002020-15910Noticehttps://www.govinfo.gov/content/pkg/FR-2020-07-23/pdf/2020-15910.pdfhttps://regulations.justia.com/regulations/fedreg/2020/07/23/2020-15903.htmlNotice - Spinnaker ETF Series, et al.2020-07-23T00:00:00-07:002020-07-23T00:00:00-07:002020-15903Noticehttps://www.govinfo.gov/content/pkg/FR-2020-07-23/pdf/2020-15903.pdfhttps://regulations.justia.com/regulations/fedreg/2020/07/22/2020-15845.htmlNotice - Self-Regulatory Organizations; Nasdaq BX, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend BX's Routing Functionality2020-07-22T00:00:00-07:002020-07-22T00:00:00-07:002020-15845Noticehttps://www.govinfo.gov/content/pkg/FR-2020-07-22/pdf/2020-15845.pdfhttps://regulations.justia.com/regulations/fedreg/2020/07/22/2020-15800.htmlNotice - Proposed Collection; Comment Request2020-07-22T00:00:00-07:002020-07-22T00:00:00-07:002020-15800Noticehttps://www.govinfo.gov/content/pkg/FR-2020-07-22/pdf/2020-15800.pdfhttps://regulations.justia.com/regulations/fedreg/2020/07/22/2020-15799.htmlNotice - Submission for OMB Review; Comment Request2020-07-22T00:00:00-07:002020-07-22T00:00:00-07:002020-15799Noticehttps://www.govinfo.gov/content/pkg/FR-2020-07-22/pdf/2020-15799.pdfhttps://regulations.justia.com/regulations/fedreg/2020/07/22/2020-15798.htmlNotice - Submission for OMB Review: Comment Request2020-07-22T00:00:00-07:002020-07-22T00:00:00-07:002020-15798Noticehttps://www.govinfo.gov/content/pkg/FR-2020-07-22/pdf/2020-15798.pdfhttps://regulations.justia.com/regulations/fedreg/2020/07/22/2020-15797.htmlNotice - Submission for OMB Review; Comment Request]2020-07-22T00:00:00-07:002020-07-22T00:00:00-07:002020-15797Noticehttps://www.govinfo.gov/content/pkg/FR-2020-07-22/pdf/2020-15797.pdfhttps://regulations.justia.com/regulations/fedreg/2020/07/22/2020-15796.htmlNotice - Submission for OMB Review; Comment Request2020-07-22T00:00:00-07:002020-07-22T00:00:00-07:002020-15796Noticehttps://www.govinfo.gov/content/pkg/FR-2020-07-22/pdf/2020-15796.pdfhttps://regulations.justia.com/regulations/fedreg/2020/07/22/2020-15795.htmlNotice - Proposed Collection; Comment Request2020-07-22T00:00:00-07:002020-07-22T00:00:00-07:002020-15795Noticehttps://www.govinfo.gov/content/pkg/FR-2020-07-22/pdf/2020-15795.pdfhttps://regulations.justia.com/regulations/fedreg/2020/07/22/2020-15794.htmlNotice - Proposed Collection; Comment Request2020-07-22T00:00:00-07:002020-07-22T00:00:00-07:002020-15794Noticehttps://www.govinfo.gov/content/pkg/FR-2020-07-22/pdf/2020-15794.pdfhttps://regulations.justia.com/regulations/fedreg/2020/07/22/2020-15793.htmlNotice - Self-Regulatory Organizations; NYSE American LLC; Notice of Filing and Immediate Effectiveness of Proposed Change To Amend the NYSE American Options Fee Schedule2020-07-22T00:00:00-07:002020-07-22T00:00:00-07:002020-15793Noticehttps://www.govinfo.gov/content/pkg/FR-2020-07-22/pdf/2020-15793.pdfhttps://regulations.justia.com/regulations/fedreg/2020/07/22/2020-15792.htmlNotice - Self-Regulatory Organizations; The Nasdaq Stock Market LLC; Notice of Filing of Proposed Rule Change To Adopt a New “Early Market On Close” Order Type2020-07-22T00:00:00-07:002020-07-22T00:00:00-07:002020-15792Noticehttps://www.govinfo.gov/content/pkg/FR-2020-07-22/pdf/2020-15792.pdfhttps://regulations.justia.com/regulations/fedreg/2020/07/22/2020-15791.htmlNotice - Self-Regulatory Organizations; The Nasdaq Stock Market LLC; Notice of Withdrawal of Proposed Rule Change To Adopt a New Rule Concerning Nasdaq's Ability To Request Information From a Listed Company Regarding the Number of Unrestricted Publicly Held Shares in Certain Circumstances and Halt Trading in the Company's Security Upon the Request, and in Certain Circumstances Request a Plan To Increase the Number of Unrestricted Publicly Held Shares To an Amount That Is Higher Than the Applicable Publicly Held Shares Requirement2020-07-22T00:00:00-07:002020-07-22T00:00:00-07:002020-15791Noticehttps://www.govinfo.gov/content/pkg/FR-2020-07-22/pdf/2020-15791.pdfhttps://regulations.justia.com/regulations/fedreg/2020/07/22/2020-15790.htmlNotice - Self-Regulatory Organizations; BOX Exchange LLC; Notice of Designation of Longer Period for Commission Action on a Proposed Rule Change in Connection With the Proposed Commencement of Operations of Boston Security Token Exchange LLC (“BSTX”) as a Facility of the Exchange2020-07-22T00:00:00-07:002020-07-22T00:00:00-07:002020-15790Noticehttps://www.govinfo.gov/content/pkg/FR-2020-07-22/pdf/2020-15790.pdfhttps://regulations.justia.com/regulations/fedreg/2020/07/22/2020-15789.htmlNotice - Self-Regulatory Organizations; BOX Exchange LLC; Notice of Designation of Longer Period for Commission Action on a Proposed Rule Change to Adopt Rules Governing the Trading of Equity Securities on the Exchange Through a Facility of the Exchange Known as the Boston Security Token Exchange LLC2020-07-22T00:00:00-07:002020-07-22T00:00:00-07:002020-15789Noticehttps://www.govinfo.gov/content/pkg/FR-2020-07-22/pdf/2020-15789.pdfhttps://regulations.justia.com/regulations/fedreg/2020/07/21/2020-15691.htmlNotice - Self-Regulatory Organizations; National Securities Clearing Corporation; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Remove the NSCC Equity Options and Bond Options Service From Addendum M of the NSCC Rules & Procedures2020-07-21T00:00:00-07:002020-07-21T00:00:00-07:002020-15691Noticehttps://www.govinfo.gov/content/pkg/FR-2020-07-21/pdf/2020-15691.pdfhttps://regulations.justia.com/regulations/fedreg/2020/07/21/2020-15690.htmlNotice - Self-Regulatory Organizations; Nasdaq MRX, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Its Pricing Schedule at Options 7, Section 5, Other Options Fees and Rebates, in Connection With the Pricing for Orders Entered Into the Exchanges Price Improvement Mechanism2020-07-21T00:00:00-07:002020-07-21T00:00:00-07:002020-15690Noticehttps://www.govinfo.gov/content/pkg/FR-2020-07-21/pdf/2020-15690.pdfhttps://regulations.justia.com/regulations/fedreg/2020/07/21/2020-15689.htmlNotice - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Its Price List2020-07-21T00:00:00-07:002020-07-21T00:00:00-07:002020-15689Noticehttps://www.govinfo.gov/content/pkg/FR-2020-07-21/pdf/2020-15689.pdfhttps://regulations.justia.com/regulations/fedreg/2020/07/21/2020-15688.htmlNotice - Self-Regulatory Organizations; Nasdaq ISE, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the Exchange's Pricing Schedule at Options 72020-07-21T00:00:00-07:002020-07-21T00:00:00-07:002020-15688Noticehttps://www.govinfo.gov/content/pkg/FR-2020-07-21/pdf/2020-15688.pdfhttps://regulations.justia.com/regulations/fedreg/2020/07/21/2020-15687.htmlNotice - Self-Regulatory Organizations; Cboe Exchange, Inc.; Notice of Filing of a Proposed Rule Change Relating to Adopt Related Futures Cross (“RFC”) Orders2020-07-21T00:00:00-07:002020-07-21T00:00:00-07:002020-15687Noticehttps://www.govinfo.gov/content/pkg/FR-2020-07-21/pdf/2020-15687.pdfhttps://regulations.justia.com/regulations/fedreg/2020/07/21/2020-15685.htmlNotice - FS Global Credit Opportunities Fund, et al.2020-07-21T00:00:00-07:002020-07-21T00:00:00-07:002020-15685Noticehttps://www.govinfo.gov/content/pkg/FR-2020-07-21/pdf/2020-15685.pdfhttps://regulations.justia.com/regulations/fedreg/2020/07/20/2020-15559.htmlNotice - Self-Regulatory Organizations; Cboe BZX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the Fee Schedule2020-07-20T00:00:00-07:002020-07-20T00:00:00-07:002020-15559Noticehttps://www.govinfo.gov/content/pkg/FR-2020-07-20/pdf/2020-15559.pdfhttps://regulations.justia.com/regulations/fedreg/2020/07/20/2020-15558.htmlNotice - Self-Regulatory Organizations; Miami International Securities Exchange, LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Its Fee Schedule to Increase the Number of Additional Limited Service MIAX Express Interface Ports Available to Market Makers2020-07-20T00:00:00-07:002020-07-20T00:00:00-07:002020-15558Noticehttps://www.govinfo.gov/content/pkg/FR-2020-07-20/pdf/2020-15558.pdfhttps://regulations.justia.com/regulations/fedreg/2020/07/20/2020-15557.htmlNotice - Self-Regulatory Organizations; MIAX PEARL, LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the MIAX PEARL Fee Schedule2020-07-20T00:00:00-07:002020-07-20T00:00:00-07:002020-15557Noticehttps://www.govinfo.gov/content/pkg/FR-2020-07-20/pdf/2020-15557.pdfhttps://regulations.justia.com/regulations/fedreg/2020/07/20/2020-15556.htmlNotice - Self-Regulatory Organizations; BOX Exchange LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Sections I.C.2 (Strategy Order Facilitation and Solicitation Transactions) and II.D (Strategy QOO Order Fee Cap and Rebate) of the Fee Schedule on the BOX Options Market LLC Facility2020-07-20T00:00:00-07:002020-07-20T00:00:00-07:002020-15556Noticehttps://www.govinfo.gov/content/pkg/FR-2020-07-20/pdf/2020-15556.pdfhttps://regulations.justia.com/regulations/fedreg/2020/07/20/2020-15555.htmlNotice - Self-Regulatory Organizations; Cboe BZX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating To Adopt Rules Regarding Off-Floor Transactions and Transfers2020-07-20T00:00:00-07:002020-07-20T00:00:00-07:002020-15555Noticehttps://www.govinfo.gov/content/pkg/FR-2020-07-20/pdf/2020-15555.pdfhttps://regulations.justia.com/regulations/fedreg/2020/07/20/2020-15554.htmlNotice - Self-Regulatory Organizations; Cboe EDGX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating To Adopt Rules Regarding Off-Floor Transactions and Transfers2020-07-20T00:00:00-07:002020-07-20T00:00:00-07:002020-15554Noticehttps://www.govinfo.gov/content/pkg/FR-2020-07-20/pdf/2020-15554.pdfhttps://regulations.justia.com/regulations/fedreg/2020/07/20/2020-15553.htmlNotice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing of Proposed Rule Change To Amend NYSE Arca Rule 8.201-E (Commodity-Based Trust Shares) and To Permit the Listing and Trading of Shares of the United States Gold and Treasury Investment Trust Under NYSE Arca Rule 8.201-E2020-07-20T00:00:00-07:002020-07-20T00:00:00-07:002020-15553Noticehttps://www.govinfo.gov/content/pkg/FR-2020-07-20/pdf/2020-15553.pdfhttps://regulations.justia.com/regulations/fedreg/2020/07/20/2020-15552.htmlNotice - Self-Regulatory Organizations; The Nasdaq Stock Market LLC; Notice of Filing of Proposed Rule Change To Amend the Procedures Governing the Introduction of Legal Arguments and Material Information by Companies in a Proceeding Before a Hearings Panel2020-07-20T00:00:00-07:002020-07-20T00:00:00-07:002020-15552Noticehttps://www.govinfo.gov/content/pkg/FR-2020-07-20/pdf/2020-15552.pdfhttps://regulations.justia.com/regulations/fedreg/2020/07/20/2020-15551.htmlNotice - Self-Regulatory Organizations; Cboe Exchange, Inc.; Notice of Filing of a Proposed Rule Change Relating To Authorize for Trading Flexible Exchange Options (“FLEX options”) on Full-Value Indexes With a Contract Multiplier of One2020-07-20T00:00:00-07:002020-07-20T00:00:00-07:002020-15551Noticehttps://www.govinfo.gov/content/pkg/FR-2020-07-20/pdf/2020-15551.pdfhttps://regulations.justia.com/regulations/fedreg/2020/07/20/2020-15550.htmlNotice - Self-Regulatory Organizations; Cboe Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Rule 5.242020-07-20T00:00:00-07:002020-07-20T00:00:00-07:002020-15550Noticehttps://www.govinfo.gov/content/pkg/FR-2020-07-20/pdf/2020-15550.pdfhttps://regulations.justia.com/regulations/fedreg/2020/07/20/2020-15435.htmlNotice - Submission for OMB Review; Comment Request2020-07-20T00:00:00-07:002020-07-20T00:00:00-07:002020-15435Noticehttps://www.govinfo.gov/content/pkg/FR-2020-07-20/pdf/2020-15435.pdfhttps://regulations.justia.com/regulations/fedreg/2020/07/17/2020-15630.htmlNotice - Sunshine Act Meetings2020-07-17T00:00:00-07:002020-07-17T00:00:00-07:002020-15630Noticehttps://www.govinfo.gov/content/pkg/FR-2020-07-17/pdf/2020-15630.pdfhttps://regulations.justia.com/regulations/fedreg/2020/07/17/2020-15589.htmlNotice - Sunshine Act Meeting; Cancellation2020-07-17T00:00:00-07:002020-07-17T00:00:00-07:002020-15589Noticehttps://www.govinfo.gov/content/pkg/FR-2020-07-17/pdf/2020-15589.pdfhttps://regulations.justia.com/regulations/fedreg/2020/07/17/2020-15588.htmlNotice - Sunshine Act Meetings2020-07-17T00:00:00-07:002020-07-17T00:00:00-07:002020-15588Noticehttps://www.govinfo.gov/content/pkg/FR-2020-07-17/pdf/2020-15588.pdfhttps://regulations.justia.com/regulations/fedreg/2020/07/17/2020-15461.htmlNotice - Joint Industry Plan; Notice of Filing and Immediate Effectiveness of Amendment to the National Market System Plan Governing the Consolidated Audit Trail To Add MEMX LLC as a Participant2020-07-17T00:00:00-07:002020-07-17T00:00:00-07:002020-15461Noticehttps://www.govinfo.gov/content/pkg/FR-2020-07-17/pdf/2020-15461.pdfhttps://regulations.justia.com/regulations/fedreg/2020/07/17/2020-15452.htmlNotice - Self-Regulatory Organizations; MIAX PEARL, LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Fee Schedule2020-07-17T00:00:00-07:002020-07-17T00:00:00-07:002020-15452Noticehttps://www.govinfo.gov/content/pkg/FR-2020-07-17/pdf/2020-15452.pdfhttps://regulations.justia.com/regulations/fedreg/2020/07/17/2020-15451.htmlNotice - Self-Regulatory Organizations; Cboe BZX Exchange, Inc.; Notice of Designation of a Longer Period for Commission Action on Proceedings To Determine Whether To Approve or Disapprove a Proposed Rule Change, as Modified by Amendment No. 2, to List and Trade Shares of the −1x Short VIX Futures ETF Under BZX Rule 14.11(f)(4), Trust Issued Receipts2020-07-17T00:00:00-07:002020-07-17T00:00:00-07:002020-15451Noticehttps://www.govinfo.gov/content/pkg/FR-2020-07-17/pdf/2020-15451.pdfhttps://regulations.justia.com/regulations/fedreg/2020/07/17/2020-15450.htmlNotice - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Order Instituting Proceedings To Determine Whether To Approve or Disapprove a Proposed Rule Change, as Modified by Amendment No. 1, To Address Broker-Dealers With a Significant History of Misconduct2020-07-17T00:00:00-07:002020-07-17T00:00:00-07:002020-15450Noticehttps://www.govinfo.gov/content/pkg/FR-2020-07-17/pdf/2020-15450.pdfhttps://regulations.justia.com/regulations/fedreg/2020/07/17/2020-15449.htmlNotice - Self-Regulatory Organizations; MIAX Emerald, LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Its Fee Schedule2020-07-17T00:00:00-07:002020-07-17T00:00:00-07:002020-15449Noticehttps://www.govinfo.gov/content/pkg/FR-2020-07-17/pdf/2020-15449.pdfhttps://regulations.justia.com/regulations/fedreg/2020/07/17/2020-15448.htmlNotice - Self-Regulatory Organizations; Miami International Securities Exchange LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Fee Schedule2020-07-17T00:00:00-07:002020-07-17T00:00:00-07:002020-15448Noticehttps://www.govinfo.gov/content/pkg/FR-2020-07-17/pdf/2020-15448.pdfhttps://regulations.justia.com/regulations/fedreg/2020/07/17/2020-15436.htmlNotice - Proposed Collection; Comment Request2020-07-17T00:00:00-07:002020-07-17T00:00:00-07:002020-15436Noticehttps://www.govinfo.gov/content/pkg/FR-2020-07-17/pdf/2020-15436.pdfhttps://regulations.justia.com/regulations/fedreg/2020/07/17/2020-15434.htmlNotice - Proposed Collection; Comment Request2020-07-17T00:00:00-07:002020-07-17T00:00:00-07:002020-15434Noticehttps://www.govinfo.gov/content/pkg/FR-2020-07-17/pdf/2020-15434.pdfhttps://regulations.justia.com/regulations/fedreg/2020/07/17/2020-15417.htmlNotice - Runway Growth Credit Fund, Inc., et al.2020-07-17T00:00:00-07:002020-07-17T00:00:00-07:002020-15417Noticehttps://www.govinfo.gov/content/pkg/FR-2020-07-17/pdf/2020-15417.pdfhttps://regulations.justia.com/regulations/fedreg/2020/07/16/2020-15309.htmlNotice - Self-Regulatory Organizations; Cboe Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the Silexx Trading Platform Fees Schedule2020-07-16T00:00:00-07:002020-07-16T00:00:00-07:002020-15309Noticehttps://www.govinfo.gov/content/pkg/FR-2020-07-16/pdf/2020-15309.pdfhttps://regulations.justia.com/regulations/fedreg/2020/07/16/2020-15308.htmlNotice - Self-Regulatory Organizations; Miami International Securities Exchange LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Its Fee Schedule2020-07-16T00:00:00-07:002020-07-16T00:00:00-07:002020-15308Noticehttps://www.govinfo.gov/content/pkg/FR-2020-07-16/pdf/2020-15308.pdfhttps://regulations.justia.com/regulations/fedreg/2020/07/16/2020-15307.htmlNotice - Self-Regulatory Organizations; Cboe EDGX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the Fee Schedule Applicable to Its Equities Trading Platform To Introduce a Flat Charge for the Execution of MDOs That Are Entered With the QDP Instruction2020-07-16T00:00:00-07:002020-07-16T00:00:00-07:002020-15307Noticehttps://www.govinfo.gov/content/pkg/FR-2020-07-16/pdf/2020-15307.pdfhttps://regulations.justia.com/regulations/fedreg/2020/07/16/2020-15306.htmlNotice - Self-Regulatory Organizations; ICE Clear Credit LLC; Notice of Proposed Rule Change Relating to the ICC Risk Management Framework, ICC Risk Management Model Description, ICC Risk Parameter Setting and Review Policy, ICC Stress Testing Framework, and ICC Liquidity Risk Management Framework2020-07-16T00:00:00-07:002020-07-16T00:00:00-07:002020-15306Noticehttps://www.govinfo.gov/content/pkg/FR-2020-07-16/pdf/2020-15306.pdfhttps://regulations.justia.com/regulations/fedreg/2020/07/16/2020-15304.htmlNotice - Self-Regulatory Organizations; Cboe EDGA Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the Fee Schedule Applicable to Its Equities Trading Platform To Introduce a Flat Charge for the Execution of MDOs That Are Entered With the QDP Instruction2020-07-16T00:00:00-07:002020-07-16T00:00:00-07:002020-15304Noticehttps://www.govinfo.gov/content/pkg/FR-2020-07-16/pdf/2020-15304.pdfhttps://regulations.justia.com/regulations/fedreg/2020/07/15/2020-15297.htmlNotice - Aspiriant Defensive Allocation Fund and Aspiriant LLC2020-07-15T00:00:00-07:002020-07-15T00:00:00-07:002020-15297Noticehttps://www.govinfo.gov/content/pkg/FR-2020-07-15/pdf/2020-15297.pdfhttps://regulations.justia.com/regulations/fedreg/2020/07/15/2020-15290.htmlNotice - J.P. Morgan Exchange-Traded Fund Trust, et al.2020-07-15T00:00:00-07:002020-07-15T00:00:00-07:002020-15290Noticehttps://www.govinfo.gov/content/pkg/FR-2020-07-15/pdf/2020-15290.pdfhttps://regulations.justia.com/regulations/fedreg/2020/07/15/2020-15214.htmlNotice - Self-Regulatory Organizations; Cboe EDGX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating To Amend Its Fees Schedule2020-07-15T00:00:00-07:002020-07-15T00:00:00-07:002020-15214Noticehttps://www.govinfo.gov/content/pkg/FR-2020-07-15/pdf/2020-15214.pdfhttps://regulations.justia.com/regulations/fedreg/2020/07/15/2020-15213.htmlNotice - Self-Regulatory Organizations; Cboe Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating To Amend Its Fees Schedule With Respect To Expiring Fee Waivers and Incentive Programs2020-07-15T00:00:00-07:002020-07-15T00:00:00-07:002020-15213Noticehttps://www.govinfo.gov/content/pkg/FR-2020-07-15/pdf/2020-15213.pdfhttps://regulations.justia.com/regulations/fedreg/2020/07/15/2020-15212.htmlNotice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Designation of a Longer Period for Commission Action on a Proposed Rule Change To List and Trade Shares of Gabelli ETFs Under Rule 8.900-E, Managed Portfolio Shares2020-07-15T00:00:00-07:002020-07-15T00:00:00-07:002020-15212Noticehttps://www.govinfo.gov/content/pkg/FR-2020-07-15/pdf/2020-15212.pdfhttps://regulations.justia.com/regulations/fedreg/2020/07/15/2020-15211.htmlNotice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Its Schedule of Fees and Charges To Adopt Listing and Annual Fees for Actively Managed Proxy Shares Listed Under Rule 8.601-E and Managed Portfolio Shares Listed Under Rule 8.900-E2020-07-15T00:00:00-07:002020-07-15T00:00:00-07:002020-15211Noticehttps://www.govinfo.gov/content/pkg/FR-2020-07-15/pdf/2020-15211.pdfhttps://regulations.justia.com/regulations/fedreg/2020/07/15/2020-15210.htmlNotice - Self-Regulatory Organizations; Cboe BZX Exchange, Inc.; 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 in Rules 8.15 and 25.32020-07-15T00:00:00-07:002020-07-15T00:00:00-07:002020-15210Noticehttps://www.govinfo.gov/content/pkg/FR-2020-07-15/pdf/2020-15210.pdfhttps://regulations.justia.com/regulations/fedreg/2020/07/15/2020-15209.htmlNotice - Self-Regulatory Organizations; Cboe EDGX Exchange, Inc.; 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 in Rules 8.15 and 25.32020-07-15T00:00:00-07:002020-07-15T00:00:00-07:002020-15209Noticehttps://www.govinfo.gov/content/pkg/FR-2020-07-15/pdf/2020-15209.pdfhttps://regulations.justia.com/regulations/fedreg/2020/07/15/2020-15208.htmlNotice - Self-Regulatory Organizations; National Securities Clearing Corporation; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the Clearing Agency Risk Management Framework2020-07-15T00:00:00-07:002020-07-15T00:00:00-07:002020-15208Noticehttps://www.govinfo.gov/content/pkg/FR-2020-07-15/pdf/2020-15208.pdfhttps://regulations.justia.com/regulations/fedreg/2020/07/15/2020-15207.htmlNotice - Self-Regulatory Organizations; Fixed Income Clearing Corporation; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the Clearing Agency Risk Management Framework2020-07-15T00:00:00-07:002020-07-15T00:00:00-07:002020-15207Noticehttps://www.govinfo.gov/content/pkg/FR-2020-07-15/pdf/2020-15207.pdfhttps://regulations.justia.com/regulations/fedreg/2020/07/15/2020-15206.htmlNotice - Self-Regulatory Organizations; The Depository Trust Company; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the Clearing Agency Risk Management Framework2020-07-15T00:00:00-07:002020-07-15T00:00:00-07:002020-15206Noticehttps://www.govinfo.gov/content/pkg/FR-2020-07-15/pdf/2020-15206.pdfhttps://regulations.justia.com/regulations/fedreg/2020/07/15/2020-15205.htmlNotice - Self-Regulatory Organizations; LCH SA; Notice of Filing of Proposed Rule Change, as Modified by Amendment No. 1, Relating to Introduction of Clearing of the New Markit iTraxx MSCI ESG Screened Europe Index Contracts2020-07-15T00:00:00-07:002020-07-15T00:00:00-07:002020-15205Noticehttps://www.govinfo.gov/content/pkg/FR-2020-07-15/pdf/2020-15205.pdfhttps://regulations.justia.com/regulations/fedreg/2020/07/15/2020-15204.htmlNotice - Self-Regulatory Organizations; Cboe BZX Exchange, Inc.; Notice of Designation of a Longer Period for Commission Action on a Proposed Rule Change To Accommodate Exchange Listing and Trading of Options-Linked Securities2020-07-15T00:00:00-07:002020-07-15T00:00:00-07:002020-15204Noticehttps://www.govinfo.gov/content/pkg/FR-2020-07-15/pdf/2020-15204.pdfhttps://regulations.justia.com/regulations/fedreg/2020/07/14/2020-15119.htmlNotice - Self-Regulatory Organizations; Cboe Exchange, Inc.; Notice of Withdrawal of a Proposed Rule Change Relating To Amend Chapter 7, Section B of the Rules, Which Contains the Exchange's Compliance Rule Regarding the National Market System Plan Governing the Consolidated Audit Trail (“CAT NMS Plan”), To Be Consistent With Certain Proposed Amendments to and Exemptions From the CAT NMS Plan as Well as To Facilitate the Retirement of Certain Existing Regulatory Systems2020-07-14T00:00:00-07:002020-07-14T00:00:00-07:002020-15119Noticehttps://www.govinfo.gov/content/pkg/FR-2020-07-14/pdf/2020-15119.pdfhttps://regulations.justia.com/regulations/fedreg/2020/07/14/2020-15118.htmlNotice - Self-Regulatory Organizations; Cboe BZX Exchange, Inc.; Notice of Withdrawal of a Proposed Rule Change To Amend Certain Rules Within Rules 4.5 Through 4.16, Which Contains the Exchange's Compliance Rule Regarding the National Market System Plan Governing the Consolidated Audit Trail (“CAT NMS Plan”), To Be Consistent With Certain Proposed Amendments to and Exemptions From the CAT NMS Plan as Well as To Facilitate the Retirement of Certain Existing Regulatory Systems2020-07-14T00:00:00-07:002020-07-14T00:00:00-07:002020-15118Noticehttps://www.govinfo.gov/content/pkg/FR-2020-07-14/pdf/2020-15118.pdfhttps://regulations.justia.com/regulations/fedreg/2020/07/14/2020-15117.htmlNotice - Self-Regulatory Organizations; Cboe EDGX Exchange, Inc.; Notice of Withdrawal of a Proposed Rule Change To Amend Certain Rules Within Rules 4.5 Through 4.16, Which Contains the Exchange's Compliance Rule Regarding the National Market System Plan Governing the Consolidated Audit Trail (“CAT NMS Plan”), To Be Consistent With Certain Proposed Amendments to and Exemptions From the CAT NMS Plan as Well as To Facilitate the Retirement of Certain Existing Regulatory Systems2020-07-14T00:00:00-07:002020-07-14T00:00:00-07:002020-15117Noticehttps://www.govinfo.gov/content/pkg/FR-2020-07-14/pdf/2020-15117.pdfhttps://regulations.justia.com/regulations/fedreg/2020/07/14/2020-15116.htmlNotice - 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 Reports2020-07-14T00:00:00-07:002020-07-14T00:00:00-07:002020-15116Noticehttps://www.govinfo.gov/content/pkg/FR-2020-07-14/pdf/2020-15116.pdfhttps://regulations.justia.com/regulations/fedreg/2020/07/14/2020-15115.htmlNotice - Self-Regulatory Organizations; Cboe BYX Exchange, Inc.; Notice of Withdrawal of a Proposed Rule Change To Amend Certain Rules Within Rules 4.5 Through 4.16, Which Contains the Exchange's Compliance Rule Regarding the National Market System Plan Governing the Consolidated Audit Trail (“CAT NMS Plan”), To Be Consistent With Certain Proposed Amendments to and Exemptions From the CAT NMS Plan as Well as To Facilitate the Retirement of Certain Existing Regulatory Systems2020-07-14T00:00:00-07:002020-07-14T00:00:00-07:002020-15115Noticehttps://www.govinfo.gov/content/pkg/FR-2020-07-14/pdf/2020-15115.pdfhttps://regulations.justia.com/regulations/fedreg/2020/07/14/2020-15114.htmlNotice - Self-Regulatory Organizations; Cboe EDGA Exchange, Inc.; Notice of Withdrawal of a Proposed Rule Change To Amend Certain Rules Within Rules 4.5 Through 4.16, Which Contains the Exchange's Compliance Rule Regarding the National Market System Plan Governing the Consolidated Audit Trail (“CAT NMS Plan”), To Be Consistent With Certain Proposed Amendments to and Exemptions From the CAT NMS Plan as Well as To Facilitate the Retirement of Certain Existing Regulatory Systems2020-07-14T00:00:00-07:002020-07-14T00:00:00-07:002020-15114Noticehttps://www.govinfo.gov/content/pkg/FR-2020-07-14/pdf/2020-15114.pdfhttps://regulations.justia.com/regulations/fedreg/2020/07/14/2020-15113.htmlNotice - Self-Regulatory Organizations; Cboe Exchange, Inc.; 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 in Rule 13.152020-07-14T00:00:00-07:002020-07-14T00:00:00-07:002020-15113Noticehttps://www.govinfo.gov/content/pkg/FR-2020-07-14/pdf/2020-15113.pdfhttps://regulations.justia.com/regulations/fedreg/2020/07/14/2020-15112.htmlNotice - Self-Regulatory Organizations; Nasdaq PHLX LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Phlx's Pricing Schedule To Waive Certain Fees2020-07-14T00:00:00-07:002020-07-14T00:00:00-07:002020-15112Noticehttps://www.govinfo.gov/content/pkg/FR-2020-07-14/pdf/2020-15112.pdfhttps://regulations.justia.com/regulations/fedreg/2020/07/14/2020-15111.htmlNotice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Modify the NYSE Arca Options Fee Schedule2020-07-14T00:00:00-07:002020-07-14T00:00:00-07:002020-15111Noticehttps://www.govinfo.gov/content/pkg/FR-2020-07-14/pdf/2020-15111.pdfhttps://regulations.justia.com/regulations/fedreg/2020/07/14/2020-15110.htmlNotice - Self-Regulatory Organizations; Long-Term Stock Exchange, Inc.; 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 Violations2020-07-14T00:00:00-07:002020-07-14T00:00:00-07:002020-15110Noticehttps://www.govinfo.gov/content/pkg/FR-2020-07-14/pdf/2020-15110.pdfhttps://regulations.justia.com/regulations/fedreg/2020/07/14/2020-15109.htmlNotice - 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 Reports2020-07-14T00:00:00-07:002020-07-14T00:00:00-07:002020-15109Noticehttps://www.govinfo.gov/content/pkg/FR-2020-07-14/pdf/2020-15109.pdfhttps://regulations.justia.com/regulations/fedreg/2020/07/14/2020-15108.htmlNotice - Self-Regulatory Organizations; Nasdaq PHLX LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Temporarily Extend the Filing Requirements for Certain Written Reports Pursuant to Options 10, Section 72020-07-14T00:00:00-07:002020-07-14T00:00:00-07:002020-15108Noticehttps://www.govinfo.gov/content/pkg/FR-2020-07-14/pdf/2020-15108.pdfhttps://regulations.justia.com/regulations/fedreg/2020/07/14/2020-15107.htmlNotice - Self-Regulatory Organizations; Nasdaq ISE, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Temporarily Extend the Filing Requirements for Certain Written Reports Pursuant to Options 10, Section 72020-07-14T00:00:00-07:002020-07-14T00:00:00-07:002020-15107Noticehttps://www.govinfo.gov/content/pkg/FR-2020-07-14/pdf/2020-15107.pdfhttps://regulations.justia.com/regulations/fedreg/2020/07/14/2020-15104.htmlNotice - OFS Capital Corp., et al.2020-07-14T00:00:00-07:002020-07-14T00:00:00-07:002020-15104Noticehttps://www.govinfo.gov/content/pkg/FR-2020-07-14/pdf/2020-15104.pdfhttps://regulations.justia.com/regulations/fedreg/2020/07/13/2020-14973.htmlNotice - Self-Regulatory Organizations; Cboe BYX Exchange, Inc.; Notice of Filing and Order Granting Accelerated Approval of a Proposed Rule Change Relating to Add the Consolidated Audit Trail Industry Member Compliance Rules to the List of Minor Rule Violations in Rule 8.152020-07-13T00:00:00-07:002020-07-13T00:00:00-07:002020-14973Noticehttps://www.govinfo.gov/content/pkg/FR-2020-07-13/pdf/2020-14973.pdfhttps://regulations.justia.com/regulations/fedreg/2020/07/13/2020-14972.htmlNotice - 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 Migration2020-07-13T00:00:00-07:002020-07-13T00:00:00-07:002020-14972Noticehttps://www.govinfo.gov/content/pkg/FR-2020-07-13/pdf/2020-14972.pdfhttps://regulations.justia.com/regulations/fedreg/2020/07/13/2020-14968.htmlNotice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Modify the NYSE Arca Options Fee Schedule2020-07-13T00:00:00-07:002020-07-13T00:00:00-07:002020-14968Noticehttps://www.govinfo.gov/content/pkg/FR-2020-07-13/pdf/2020-14968.pdfhttps://regulations.justia.com/regulations/fedreg/2020/07/13/2020-14967.htmlNotice - Self-Regulatory Organizations; Cboe EDGA Exchange, Inc.; 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 in Rule 8.152020-07-13T00:00:00-07:002020-07-13T00:00:00-07:002020-14967Noticehttps://www.govinfo.gov/content/pkg/FR-2020-07-13/pdf/2020-14967.pdfhttps://regulations.justia.com/regulations/fedreg/2020/07/13/2020-14966.htmlNotice - Self-Regulatory Organizations; NYSE American LLC; Notice of Filing and Immediate Effectiveness of a Proposed Change To Modify the NYSE American Options Fee Schedule2020-07-13T00:00:00-07:002020-07-13T00:00:00-07:002020-14966Noticehttps://www.govinfo.gov/content/pkg/FR-2020-07-13/pdf/2020-14966.pdfhttps://regulations.justia.com/regulations/fedreg/2020/07/10/2020-15033.htmlNotice - Sunshine Act Meetings2020-07-10T00:00:00-07:002020-07-10T00:00:00-07:002020-15033Noticehttps://www.govinfo.gov/content/pkg/FR-2020-07-10/pdf/2020-15033.pdfhttps://regulations.justia.com/regulations/fedreg/2020/07/10/2020-15032.htmlNotice - Sunshine Act Meetings2020-07-10T00:00:00-07:002020-07-10T00:00:00-07:002020-15032Noticehttps://www.govinfo.gov/content/pkg/FR-2020-07-10/pdf/2020-15032.pdfhttps://regulations.justia.com/regulations/fedreg/2020/07/10/2020-14989.htmlNotice - Sunshine Act Meeting; Cancellation2020-07-10T00:00:00-07:002020-07-10T00:00:00-07:002020-14989Noticehttps://www.govinfo.gov/content/pkg/FR-2020-07-10/pdf/2020-14989.pdfhttps://regulations.justia.com/regulations/fedreg/2020/07/10/2020-14870.htmlNotice - Self-Regulatory Organizations; The Nasdaq Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Nasdaq Rules 6130 and IM-6200-12020-07-10T00:00:00-07:002020-07-10T00:00:00-07:002020-14870Noticehttps://www.govinfo.gov/content/pkg/FR-2020-07-10/pdf/2020-14870.pdfhttps://regulations.justia.com/regulations/fedreg/2020/07/10/2020-14869.htmlNotice - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend its Price List2020-07-10T00:00:00-07:002020-07-10T00:00:00-07:002020-14869Noticehttps://www.govinfo.gov/content/pkg/FR-2020-07-10/pdf/2020-14869.pdfhttps://regulations.justia.com/regulations/fedreg/2020/07/10/2020-14868.htmlNotice - Self-Regulatory Organizations; Cboe BZX Exchange, Inc.; Notice of Filing of a Proposed Rule Change, as Modified by Amendment No. 1, To List and Trade Shares of the 2x Long VIX Futures ETF, a Series of VS Trust, Under Rule 14.11(f)(4) (“Trust Issued Receipts”)2020-07-10T00:00:00-07:002020-07-10T00:00:00-07:002020-14868Noticehttps://www.govinfo.gov/content/pkg/FR-2020-07-10/pdf/2020-14868.pdfhttps://regulations.justia.com/regulations/fedreg/2020/07/10/2020-14867.htmlNotice - Self-Regulatory Organizations; BOX Exchange LLC; Notice of Filing and Order Granting Accelerated Approval of a Proposed Rule Change To Add Consolidated Audit Trail Rules to the List of Minor Rule Violations2020-07-10T00:00:00-07:002020-07-10T00:00:00-07:002020-14867Noticehttps://www.govinfo.gov/content/pkg/FR-2020-07-10/pdf/2020-14867.pdfhttps://regulations.justia.com/regulations/fedreg/2020/07/10/2020-14762.htmlNotice - Proposed Collection; Comment Request2020-07-10T00:00:00-07:002020-07-10T00:00:00-07:002020-14762Noticehttps://www.govinfo.gov/content/pkg/FR-2020-07-10/pdf/2020-14762.pdfhttps://regulations.justia.com/regulations/fedreg/2020/07/10/2020-14756.htmlNotice - Proposed Collection; Comment Request2020-07-10T00:00:00-07:002020-07-10T00:00:00-07:002020-14756Noticehttps://www.govinfo.gov/content/pkg/FR-2020-07-10/pdf/2020-14756.pdfhttps://regulations.justia.com/regulations/fedreg/2020/07/10/2020-14755.htmlNotice - 30 Day Notice-Submission for OMB Review; Comment Request2020-07-10T00:00:00-07:002020-07-10T00:00:00-07:002020-14755Noticehttps://www.govinfo.gov/content/pkg/FR-2020-07-10/pdf/2020-14755.pdfhttps://regulations.justia.com/regulations/fedreg/2020/07/10/2020-14754.htmlNotice - Proposed Collection; Comment Request2020-07-10T00:00:00-07:002020-07-10T00:00:00-07:002020-14754Noticehttps://www.govinfo.gov/content/pkg/FR-2020-07-10/pdf/2020-14754.pdfhttps://regulations.justia.com/regulations/fedreg/2020/07/10/2020-14753.htmlNotice - Submission for OMB Review; Comment Request2020-07-10T00:00:00-07:002020-07-10T00:00:00-07:002020-14753Noticehttps://www.govinfo.gov/content/pkg/FR-2020-07-10/pdf/2020-14753.pdfhttps://regulations.justia.com/regulations/fedreg/2020/07/10/2020-14752.htmlNotice - Proposed Collection; Comment Request2020-07-10T00:00:00-07:002020-07-10T00:00:00-07:002020-14752Noticehttps://www.govinfo.gov/content/pkg/FR-2020-07-10/pdf/2020-14752.pdfhttps://regulations.justia.com/regulations/fedreg/2020/07/10/2020-14751.htmlNotice - Proposed Collection; Comment Request2020-07-10T00:00:00-07:002020-07-10T00:00:00-07:002020-14751Noticehttps://www.govinfo.gov/content/pkg/FR-2020-07-10/pdf/2020-14751.pdfhttps://regulations.justia.com/regulations/fedreg/2020/07/10/2020-14748.htmlNotice - Proposed Collection; Comment Request2020-07-10T00:00:00-07:002020-07-10T00:00:00-07:002020-14748Noticehttps://www.govinfo.gov/content/pkg/FR-2020-07-10/pdf/2020-14748.pdfhttps://regulations.justia.com/regulations/fedreg/2020/07/10/2020-14744.htmlNotice - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Extend Its Waiver of the Application of Certain of the Shareholder Approval Requirements in Section 312.03 of the NYSE Listed Company Manual Through September 30, 2020 Subject to Certain Conditions2020-07-10T00:00:00-07:002020-07-10T00:00:00-07:002020-14744Noticehttps://www.govinfo.gov/content/pkg/FR-2020-07-10/pdf/2020-14744.pdfhttps://regulations.justia.com/regulations/fedreg/2020/07/09/2020-14750.htmlNotice - Submission for OMB Review; Comment Request2020-07-09T00:00:00-07:002020-07-09T00:00:00-07:002020-14750Noticehttps://www.govinfo.gov/content/pkg/FR-2020-07-09/pdf/2020-14750.pdfhttps://regulations.justia.com/regulations/fedreg/2020/07/09/2020-14749.htmlNotice - Submission for OMB Review; Comment Request2020-07-09T00:00:00-07:002020-07-09T00:00:00-07:002020-14749Noticehttps://www.govinfo.gov/content/pkg/FR-2020-07-09/pdf/2020-14749.pdfhttps://regulations.justia.com/regulations/fedreg/2020/07/09/2020-14747.htmlNotice - Proposed Collection; Comment Request2020-07-09T00:00:00-07:002020-07-09T00:00:00-07:002020-14747Noticehttps://www.govinfo.gov/content/pkg/FR-2020-07-09/pdf/2020-14747.pdfhttps://regulations.justia.com/regulations/fedreg/2020/07/09/2020-14743.htmlNotice - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing of a Proposed Rule Change To Adopt FINRA Rule 3241 (Registered Person Being Named a Customer's Beneficiary or Holding a Position of Trust for a Customer)2020-07-09T00:00:00-07:002020-07-09T00:00:00-07:002020-14743Noticehttps://www.govinfo.gov/content/pkg/FR-2020-07-09/pdf/2020-14743.pdfhttps://regulations.justia.com/regulations/fedreg/2020/07/09/2020-14742.htmlNotice - Self-Regulatory Organizations; Cboe BZX Exchange, Inc.; Order Granting Approval of Proposed Rule Change, as Modified by Amendment No. 1, To List and Trade Shares of the JPMorgan Large Cap Growth ETF Under Rule 14.11(k), Managed Portfolio Shares2020-07-09T00:00:00-07:002020-07-09T00:00:00-07:002020-14742Noticehttps://www.govinfo.gov/content/pkg/FR-2020-07-09/pdf/2020-14742.pdfhttps://regulations.justia.com/regulations/fedreg/2020/07/09/2020-14741.htmlNotice - Self-Regulatory Organizations; Long-Term Stock Exchange, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to the Designation of Members for Mandatory Disaster Recovery Testing Pursuant to Regulation SCI for Calendar Year 20202020-07-09T00:00:00-07:002020-07-09T00:00:00-07:002020-14741Noticehttps://www.govinfo.gov/content/pkg/FR-2020-07-09/pdf/2020-14741.pdfhttps://regulations.justia.com/regulations/fedreg/2020/07/08/2020-14633.htmlNotice - Keystone Private Income Fund and Keystone National Group, LLC2020-07-08T00:00:00-07:002020-07-08T00:00:00-07:002020-14633Noticehttps://www.govinfo.gov/content/pkg/FR-2020-07-08/pdf/2020-14633.pdfhttps://regulations.justia.com/regulations/fedreg/2020/07/08/2020-14631.htmlNotice - Self-Regulatory Organizations; Miami International Securities Exchange, LLC; Order Approving a Proposed Rule Change To Amend Exchange Rule 518, Complex Orders, To Adopt New Interpretation and Policy .08, Related Futures Cross Orders2020-07-08T00:00:00-07:002020-07-08T00:00:00-07:002020-14631Noticehttps://www.govinfo.gov/content/pkg/FR-2020-07-08/pdf/2020-14631.pdfhttps://regulations.justia.com/regulations/fedreg/2020/07/08/2020-14630.htmlNotice - 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 Orders2020-07-08T00:00:00-07:002020-07-08T00:00:00-07:002020-14630Noticehttps://www.govinfo.gov/content/pkg/FR-2020-07-08/pdf/2020-14630.pdfhttps://regulations.justia.com/regulations/fedreg/2020/07/08/2020-14629.htmlNotice - 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 and Exchange Rule 515A, MIAX Price Improvement Mechanism (“PRIME”) and PRIME Solicitation Mechanism2020-07-08T00:00:00-07:002020-07-08T00:00:00-07:002020-14629Noticehttps://www.govinfo.gov/content/pkg/FR-2020-07-08/pdf/2020-14629.pdfhttps://regulations.justia.com/regulations/fedreg/2020/07/08/2020-14627.htmlNotice - Self-Regulatory Organizations; ICE Clear Europe Limited; Notice of Filing of Partial Amendment No. 1 and Order Granting Accelerated Approval of Proposed Rule Change, as Modified by Partial Amendment No. 1, Relating to the ICE Clear Europe Investment Management Procedures and Treasury and Banking Services Policy2020-07-08T00:00:00-07:002020-07-08T00:00:00-07:002020-14627Noticehttps://www.govinfo.gov/content/pkg/FR-2020-07-08/pdf/2020-14627.pdfhttps://regulations.justia.com/regulations/fedreg/2020/07/08/2020-14615.htmlNotice - Investment Company Act of 1940 Release no. 33916/July 1, 2020; In the Matter of Allianz Life Insurance Co. of North America, et al. File No. 812-147222020-07-08T00:00:00-07:002020-07-08T00:00:00-07:002020-14615Noticehttps://www.govinfo.gov/content/pkg/FR-2020-07-08/pdf/2020-14615.pdfhttps://regulations.justia.com/regulations/fedreg/2020/07/07/2020-14507.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 7.35C2020-07-07T00:00:00-07:002020-07-07T00:00:00-07:002020-14507Noticehttps://www.govinfo.gov/content/pkg/FR-2020-07-07/pdf/2020-14507.pdfhttps://regulations.justia.com/regulations/fedreg/2020/07/07/2020-14505.htmlNotice - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing of Proposed Rule Change To Amend Rules 7.36 and 7.372020-07-07T00:00:00-07:002020-07-07T00:00:00-07:002020-14505Noticehttps://www.govinfo.gov/content/pkg/FR-2020-07-07/pdf/2020-14505.pdfhttps://regulations.justia.com/regulations/fedreg/2020/07/07/2020-14494.htmlNotice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing of Proposed Rule Change To Amend NYSE Arca Rules 5.2-E(j)(3), 5.2-E(j)(8), 5.5-E(g)(2), 8.600-E and 8.900-E2020-07-07T00:00:00-07:002020-07-07T00:00:00-07:002020-14494Noticehttps://www.govinfo.gov/content/pkg/FR-2020-07-07/pdf/2020-14494.pdfhttps://regulations.justia.com/regulations/fedreg/2020/07/07/2020-14492.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 Facility To Establish Section I.C.2 (Strategy Order Facilitation and Solicitation Transactions)2020-07-07T00:00:00-07:002020-07-07T00:00:00-07:002020-14492Noticehttps://www.govinfo.gov/content/pkg/FR-2020-07-07/pdf/2020-14492.pdfhttps://regulations.justia.com/regulations/fedreg/2020/07/07/2020-14491.htmlNotice - Self-Regulatory Organizations; Fixed Income Clearing Corporation; Notice of Filing of Proposed Rule Change To Provide for a Passive Acknowledgement Process and Make Other Changes2020-07-07T00:00:00-07:002020-07-07T00:00:00-07:002020-14491Noticehttps://www.govinfo.gov/content/pkg/FR-2020-07-07/pdf/2020-14491.pdfhttps://regulations.justia.com/regulations/fedreg/2020/07/07/2020-14490.htmlNotice - Self-Regulatory Organizations; NYSE Arca, 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 List and Trade Two Series of Active Proxy Portfolio Shares Issued by the American Century ETF Trust Under NYSE Arca Rule 8.601-E2020-07-07T00:00:00-07:002020-07-07T00:00:00-07:002020-14490Noticehttps://www.govinfo.gov/content/pkg/FR-2020-07-07/pdf/2020-14490.pdfhttps://regulations.justia.com/regulations/fedreg/2020/07/07/2020-14487.htmlNotice - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Temporarily Extend the Time To Complete Office Inspections Under FINRA Rule 3110 (Supervision)2020-07-07T00:00:00-07:002020-07-07T00:00:00-07:002020-14487Noticehttps://www.govinfo.gov/content/pkg/FR-2020-07-07/pdf/2020-14487.pdfhttps://regulations.justia.com/regulations/fedreg/2020/07/06/2020-14565.htmlNotice - Sunshine Act Meetings2020-07-06T00:00:00-07:002020-07-06T00:00:00-07:002020-14565Noticehttps://www.govinfo.gov/content/pkg/FR-2020-07-06/pdf/2020-14565.pdfhttps://regulations.justia.com/regulations/fedreg/2020/07/06/2020-14498.htmlNotice - Sunshine Act Meeting; Cancellation2020-07-06T00:00:00-07:002020-07-06T00:00:00-07:002020-14498Noticehttps://www.govinfo.gov/content/pkg/FR-2020-07-06/pdf/2020-14498.pdfhttps://regulations.justia.com/regulations/fedreg/2020/07/06/2020-14493.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 Facility2020-07-06T00:00:00-07:002020-07-06T00:00:00-07:002020-14493Noticehttps://www.govinfo.gov/content/pkg/FR-2020-07-06/pdf/2020-14493.pdfhttps://regulations.justia.com/regulations/fedreg/2020/07/06/2020-14489.htmlNotice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing of Amendment No. 3 and Order Granting Accelerated Approval of a Proposed Rule Change, as Modified by Amendment No. 3, to List and Trade Four Series of Active Proxy Portfolio Shares Issued by T. Rowe Price Exchange-Traded Funds, Inc. Under NYSE Arca Rule 8.601-E2020-07-06T00:00:00-07:002020-07-06T00:00:00-07:002020-14489Noticehttps://www.govinfo.gov/content/pkg/FR-2020-07-06/pdf/2020-14489.pdfhttps://regulations.justia.com/regulations/fedreg/2020/07/06/2020-14488.htmlNotice - Self-Regulatory Organizations; Cboe Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Its Fees Schedule2020-07-06T00:00:00-07:002020-07-06T00:00:00-07:002020-14488Noticehttps://www.govinfo.gov/content/pkg/FR-2020-07-06/pdf/2020-14488.pdfhttps://regulations.justia.com/regulations/fedreg/2020/07/06/2020-14389.htmlNotice - Self-Regulatory Organizations; ICE Clear Europe Limited; Order Approving 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 Policy2020-07-06T00:00:00-07:002020-07-06T00:00:00-07:002020-14389Noticehttps://www.govinfo.gov/content/pkg/FR-2020-07-06/pdf/2020-14389.pdfhttps://regulations.justia.com/regulations/fedreg/2020/07/06/2020-14388.htmlNotice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing of Amendment No. 6 and Order Granting Accelerated Approval of a Proposed Rule Change, as Modified by Amendment No. 6, To Adopt NYSE Arca Rule 8.601-E To Permit the Listing and Trading of Active Proxy Portfolio Shares and To List and Trade Shares of the Natixis U.S. Equity Opportunities ETF Under Proposed NYSE Arca Rule 8.601-E2020-07-06T00:00:00-07:002020-07-06T00:00:00-07:002020-14388Noticehttps://www.govinfo.gov/content/pkg/FR-2020-07-06/pdf/2020-14388.pdfhttps://regulations.justia.com/regulations/fedreg/2020/07/06/2020-14387.htmlNotice - 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 Fee2020-07-06T00:00:00-07:002020-07-06T00:00:00-07:002020-14387Noticehttps://www.govinfo.gov/content/pkg/FR-2020-07-06/pdf/2020-14387.pdfhttps://regulations.justia.com/regulations/fedreg/2020/07/06/2020-14386.htmlNotice - 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 Fee2020-07-06T00:00:00-07:002020-07-06T00:00:00-07:002020-14386Noticehttps://www.govinfo.gov/content/pkg/FR-2020-07-06/pdf/2020-14386.pdfhttps://regulations.justia.com/regulations/fedreg/2020/07/06/2020-14385.htmlNotice - 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 Fee2020-07-06T00:00:00-07:002020-07-06T00:00:00-07:002020-14385Noticehttps://www.govinfo.gov/content/pkg/FR-2020-07-06/pdf/2020-14385.pdfhttps://regulations.justia.com/regulations/fedreg/2020/07/06/2020-14384.htmlNotice - 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 Fee2020-07-06T00:00:00-07:002020-07-06T00:00:00-07:002020-14384Noticehttps://www.govinfo.gov/content/pkg/FR-2020-07-06/pdf/2020-14384.pdfhttps://regulations.justia.com/regulations/fedreg/2020/07/06/2020-14379.htmlNotice - 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 Fee2020-07-06T00:00:00-07:002020-07-06T00:00:00-07:002020-14379Noticehttps://www.govinfo.gov/content/pkg/FR-2020-07-06/pdf/2020-14379.pdfhttps://regulations.justia.com/regulations/fedreg/2020/07/06/2020-14371.htmlNotice - Order Under Section 17(h)(4) of the Securities Exchange Act of 1934 Granting Exemption from Rule 17h-1T and Rule 17h-2T for Certain Broker-Dealers Maintaining Capital, Including Subordinated Debt of Greater Than $20 Million But Less Than $50 Million2020-07-06T00:00:00-07:002020-07-06T00:00:00-07:002020-14371Noticehttps://www.govinfo.gov/content/pkg/FR-2020-07-06/pdf/2020-14371.pdfhttps://regulations.justia.com/regulations/fedreg/2020/07/02/2020-14236.htmlNotice - Self-Regulatory Organizations; Nasdaq BX, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Options 3, Section 3 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 Options2020-07-02T00:00:00-07:002020-07-02T00:00:00-07:002020-14236Noticehttps://www.govinfo.gov/content/pkg/FR-2020-07-02/pdf/2020-14236.pdfhttps://regulations.justia.com/regulations/fedreg/2020/07/02/2020-14235.htmlNotice - Self-Regulatory Organizations; Nasdaq PHLX LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Options 3, Section 3 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 Options2020-07-02T00:00:00-07:002020-07-02T00:00:00-07:002020-14235Noticehttps://www.govinfo.gov/content/pkg/FR-2020-07-02/pdf/2020-14235.pdfhttps://regulations.justia.com/regulations/fedreg/2020/07/02/2020-14234.htmlNotice - Self-Regulatory Organizations; The Nasdaq Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Options 3, Section 3 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 Options2020-07-02T00:00:00-07:002020-07-02T00:00:00-07:002020-14234Noticehttps://www.govinfo.gov/content/pkg/FR-2020-07-02/pdf/2020-14234.pdfhttps://regulations.justia.com/regulations/fedreg/2020/07/02/2020-14233.htmlNotice - Self-Regulatory Organizations; MIAX PEARL, LLC.; Notice of Filing and Order Granting Accelerated Approval of a Proposed Rule Change, As Modified by Amendment No. 1, To Add the Consolidated Audit Trail Industry Member Compliance Rules to Exchange Rule 1014, Imposition of Fines for Minor Rule Violations2020-07-02T00:00:00-07:002020-07-02T00:00:00-07:002020-14233Noticehttps://www.govinfo.gov/content/pkg/FR-2020-07-02/pdf/2020-14233.pdfhttps://regulations.justia.com/regulations/fedreg/2020/07/02/2020-14232.htmlNotice - Self-Regulatory Organizations; Investors Exchange LLC; Notice of Designation of Longer Period for Commission Action on Proceedings To Determine Whether To Approve or Disapprove a Proposed Rule Change To Add a New Discretionary Limit Order Type Called D-Limit2020-07-02T00:00:00-07:002020-07-02T00:00:00-07:002020-14232Noticehttps://www.govinfo.gov/content/pkg/FR-2020-07-02/pdf/2020-14232.pdfhttps://regulations.justia.com/regulations/fedreg/2020/07/02/2020-14231.htmlNotice - Self-Regulatory Organizations; Nasdaq PHLX LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Modify the Implementation Date of the Proposed Rule Change To Amend Exchange Rules 3301A and 3301B2020-07-02T00:00:00-07:002020-07-02T00:00:00-07:002020-14231Noticehttps://www.govinfo.gov/content/pkg/FR-2020-07-02/pdf/2020-14231.pdfhttps://regulations.justia.com/regulations/fedreg/2020/07/02/2020-14230.htmlNotice - Self-Regulatory Organizations; Nasdaq MRX, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Options 3, Section 3 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 Options2020-07-02T00:00:00-07:002020-07-02T00:00:00-07:002020-14230Noticehttps://www.govinfo.gov/content/pkg/FR-2020-07-02/pdf/2020-14230.pdfhttps://regulations.justia.com/regulations/fedreg/2020/07/02/2020-14229.htmlNotice - Self-Regulatory Organizations; Nasdaq GEMX, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Options 3, Section 3 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 Options2020-07-02T00:00:00-07:002020-07-02T00:00:00-07:002020-14229Noticehttps://www.govinfo.gov/content/pkg/FR-2020-07-02/pdf/2020-14229.pdfhttps://regulations.justia.com/regulations/fedreg/2020/07/02/2020-14223.htmlNotice - Notice of Applications for Deregistration Under Section 8(f) of the Investment Company Act of 19402020-07-02T00:00:00-07:002020-07-02T00:00:00-07:002020-14223Noticehttps://www.govinfo.gov/content/pkg/FR-2020-07-02/pdf/2020-14223.pdfhttps://regulations.justia.com/regulations/fedreg/2020/07/01/2020-14122.htmlNotice - Conversus StepStone Private Markets, et al.2020-07-01T00:00:00-07:002020-07-01T00:00:00-07:002020-14122Noticehttps://www.govinfo.gov/content/pkg/FR-2020-07-01/pdf/2020-14122.pdfhttps://regulations.justia.com/regulations/fedreg/2020/07/01/2020-14121.htmlNotice - Self-Regulatory Organizations; Cboe Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to Amend Chapter 7, Section B of the Rules, Which Contains the Exchange's Compliance Rule (“Compliance Rule”) Regarding the National Market System Plan Governing the Consolidated Audit Trail (the “CAT NMS Plan” or “Plan”)2020-07-01T00:00:00-07:002020-07-01T00:00:00-07:002020-14121Noticehttps://www.govinfo.gov/content/pkg/FR-2020-07-01/pdf/2020-14121.pdfhttps://regulations.justia.com/regulations/fedreg/2020/07/01/2020-14120.htmlNotice - Self-Regulatory Organizations; Nasdaq ISE, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Options 9, Sections 13 and 15 To Increase the Position and Exercise Limits for Options on Certain Exchange-Traded Funds2020-07-01T00:00:00-07:002020-07-01T00:00:00-07:002020-14120Noticehttps://www.govinfo.gov/content/pkg/FR-2020-07-01/pdf/2020-14120.pdfhttps://regulations.justia.com/regulations/fedreg/2020/07/01/2020-14119.htmlNotice - Self-Regulatory Organizations; Investors 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 Violations2020-07-01T00:00:00-07:002020-07-01T00:00:00-07:002020-14119Noticehttps://www.govinfo.gov/content/pkg/FR-2020-07-01/pdf/2020-14119.pdfhttps://regulations.justia.com/regulations/fedreg/2020/07/01/2020-14118.htmlNotice - Self-Regulatory Organizations; Nasdaq ISE, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Options 3, Section 3 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 Options2020-07-01T00:00:00-07:002020-07-01T00:00:00-07:002020-14118Noticehttps://www.govinfo.gov/content/pkg/FR-2020-07-01/pdf/2020-14118.pdfhttps://regulations.justia.com/regulations/fedreg/2020/07/01/2020-14117.htmlNotice - Self-Regulatory Organizations; Nasdaq BX, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Options 9, Sections 13 and 15 To Increase the Position and Exercise Limits for Options on the SPDR® S&P 500® ETF Trust2020-07-01T00:00:00-07:002020-07-01T00:00:00-07:002020-14117Noticehttps://www.govinfo.gov/content/pkg/FR-2020-07-01/pdf/2020-14117.pdfhttps://regulations.justia.com/regulations/fedreg/2020/07/01/2020-14116.htmlNotice - Self-Regulatory Organizations; Nasdaq PHLX LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Options 9, Section 13 To Increase the Position Limits for Options on Certain Exchange-Traded Funds2020-07-01T00:00:00-07:002020-07-01T00:00:00-07:002020-14116Noticehttps://www.govinfo.gov/content/pkg/FR-2020-07-01/pdf/2020-14116.pdfhttps://regulations.justia.com/regulations/fedreg/2020/07/01/2020-14115.htmlNotice - Self-Regulatory Organizations; Municipal Securities Rulemaking Board; Order Granting Approval of a Proposed Rule Change To Align Certain MSRB Rules to Securities Exchange Act Rule 15 l2020-07-01T00:00:00-07:002020-07-01T00:00:00-07:002020-14115Noticehttps://www.govinfo.gov/content/pkg/FR-2020-07-01/pdf/2020-14115.pdfhttps://regulations.justia.com/regulations/fedreg/2020/07/01/2020-14113.htmlNotice - Self-Regulatory Organizations; The Nasdaq Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Options 9, Sections 13 and 15 To Increase the Position and Exercise Limits for Options on the SPDR® S&P 500® ETF Trust2020-07-01T00:00:00-07:002020-07-01T00:00:00-07:002020-14113Noticehttps://www.govinfo.gov/content/pkg/FR-2020-07-01/pdf/2020-14113.pdfhttps://regulations.justia.com/regulations/fedreg/2020/07/01/2020-14106.htmlNotice - Proposal for OMB Review; Comment Request2020-07-01T00:00:00-07:002020-07-01T00:00:00-07:002020-14106Noticehttps://www.govinfo.gov/content/pkg/FR-2020-07-01/pdf/2020-14106.pdfhttps://regulations.justia.com/regulations/fedreg/2020/07/01/2020-12902.htmlRule - Updated Disclosure Requirements and Summary Prospectus for Variable Annuity and Variable Life Insurance Contracts; Correction2020-07-01T00:00:00-07:002020-07-01T00:00:00-07:002020-12902Rulehttps://www.govinfo.gov/content/pkg/FR-2020-07-01/pdf/2020-12902.pdf