<![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/2020/07?registers=between&min-day=1&max-day=31 Thu, 02 May 2024 07:18:40 -0700 Thu, 02 May 2024 07:18:40 -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/2020/07?registers=between&min-day=1&max-day=31 Notice - Sunshine Act Meetings https://regulations.justia.com/regulations/fedreg/2020/07/31/2020-16840.html https://regulations.justia.com/regulations/fedreg/2020/07/31/2020-16840.html Fri, 31 Jul 2020 00:00:00 -0700 2020-16840 Notice https://www.govinfo.gov/content/pkg/FR-2020-07-31/pdf/2020-16840.pdf Notice - Notice of Intention To Cancel Registration Pursuant to Section 203(H) of the Investment Advisers Act of 1940 https://regulations.justia.com/regulations/fedreg/2020/07/31/2020-16589.html https://regulations.justia.com/regulations/fedreg/2020/07/31/2020-16589.html Fri, 31 Jul 2020 00:00:00 -0700 2020-16589 Notice https://www.govinfo.gov/content/pkg/FR-2020-07-31/pdf/2020-16589.pdf Notice - 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 5.73 https://regulations.justia.com/regulations/fedreg/2020/07/31/2020-16573.html https://regulations.justia.com/regulations/fedreg/2020/07/31/2020-16573.html Fri, 31 Jul 2020 00:00:00 -0700 2020-16573 Notice https://www.govinfo.gov/content/pkg/FR-2020-07-31/pdf/2020-16573.pdf Notice - Self-Regulatory Organizations; The Nasdaq Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Defer Entry Fees for Acquisition Companies https://regulations.justia.com/regulations/fedreg/2020/07/31/2020-16572.html https://regulations.justia.com/regulations/fedreg/2020/07/31/2020-16572.html Fri, 31 Jul 2020 00:00:00 -0700 2020-16572 Notice https://www.govinfo.gov/content/pkg/FR-2020-07-31/pdf/2020-16572.pdf Notice - 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, 2021 https://regulations.justia.com/regulations/fedreg/2020/07/31/2020-16571.html https://regulations.justia.com/regulations/fedreg/2020/07/31/2020-16571.html Fri, 31 Jul 2020 00:00:00 -0700 2020-16571 Notice https://www.govinfo.gov/content/pkg/FR-2020-07-31/pdf/2020-16571.pdf Notice - 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 Requirements https://regulations.justia.com/regulations/fedreg/2020/07/31/2020-16570.html https://regulations.justia.com/regulations/fedreg/2020/07/31/2020-16570.html Fri, 31 Jul 2020 00:00:00 -0700 2020-16570 Notice https://www.govinfo.gov/content/pkg/FR-2020-07-31/pdf/2020-16570.pdf Notice - 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 5.73 https://regulations.justia.com/regulations/fedreg/2020/07/31/2020-16569.html https://regulations.justia.com/regulations/fedreg/2020/07/31/2020-16569.html Fri, 31 Jul 2020 00:00:00 -0700 2020-16569 Notice https://www.govinfo.gov/content/pkg/FR-2020-07-31/pdf/2020-16569.pdf Notice - 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 9217 https://regulations.justia.com/regulations/fedreg/2020/07/31/2020-16568.html https://regulations.justia.com/regulations/fedreg/2020/07/31/2020-16568.html Fri, 31 Jul 2020 00:00:00 -0700 2020-16568 Notice https://www.govinfo.gov/content/pkg/FR-2020-07-31/pdf/2020-16568.pdf Rule - Prohibitions and Restrictions on Proprietary Trading and Certain Interests in, and Relationships With, Hedge Funds and Private Equity Funds https://regulations.justia.com/regulations/fedreg/2020/07/31/2020-15525.html https://regulations.justia.com/regulations/fedreg/2020/07/31/2020-15525.html Fri, 31 Jul 2020 00:00:00 -0700 2020-15525 Rule https://www.govinfo.gov/content/pkg/FR-2020-07-31/pdf/2020-15525.pdf Proposed Rule - Reporting Threshold for Institutional Investment Managers https://regulations.justia.com/regulations/fedreg/2020/07/31/2020-15322.html https://regulations.justia.com/regulations/fedreg/2020/07/31/2020-15322.html Fri, 31 Jul 2020 00:00:00 -0700 2020-15322 Proposed Rule https://www.govinfo.gov/content/pkg/FR-2020-07-31/pdf/2020-15322.pdf Notice - Sunshine Act Meetings https://regulations.justia.com/regulations/fedreg/2020/07/30/2020-16627.html https://regulations.justia.com/regulations/fedreg/2020/07/30/2020-16627.html Thu, 30 Jul 2020 00:00:00 -0700 2020-16627 Notice https://www.govinfo.gov/content/pkg/FR-2020-07-30/pdf/2020-16627.pdf Notice - Joint Industry Plan; Order Approving Amendment to the National Market System Plan Governing the Consolidated Audit Trail https://regulations.justia.com/regulations/fedreg/2020/07/30/2020-16476.html https://regulations.justia.com/regulations/fedreg/2020/07/30/2020-16476.html Thu, 30 Jul 2020 00:00:00 -0700 2020-16476 Notice https://www.govinfo.gov/content/pkg/FR-2020-07-30/pdf/2020-16476.pdf Notice - 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 Model https://regulations.justia.com/regulations/fedreg/2020/07/30/2020-16472.html https://regulations.justia.com/regulations/fedreg/2020/07/30/2020-16472.html Thu, 30 Jul 2020 00:00:00 -0700 2020-16472 Notice https://www.govinfo.gov/content/pkg/FR-2020-07-30/pdf/2020-16472.pdf Notice - Self-Regulatory Organizations; Nasdaq GEMX, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Options 7, Section 3 https://regulations.justia.com/regulations/fedreg/2020/07/30/2020-16469.html https://regulations.justia.com/regulations/fedreg/2020/07/30/2020-16469.html Thu, 30 Jul 2020 00:00:00 -0700 2020-16469 Notice https://www.govinfo.gov/content/pkg/FR-2020-07-30/pdf/2020-16469.pdf Notice - Self-Regulatory Organizations; The Options Clearing Corporation; Notice of Filing of Proposed Rule Change To Enhance OCC's Stock Loan Close-Out Process https://regulations.justia.com/regulations/fedreg/2020/07/30/2020-16467.html https://regulations.justia.com/regulations/fedreg/2020/07/30/2020-16467.html Thu, 30 Jul 2020 00:00:00 -0700 2020-16467 Notice https://www.govinfo.gov/content/pkg/FR-2020-07-30/pdf/2020-16467.pdf Notice - 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 MEMX https://regulations.justia.com/regulations/fedreg/2020/07/29/2020-16376.html https://regulations.justia.com/regulations/fedreg/2020/07/29/2020-16376.html Wed, 29 Jul 2020 00:00:00 -0700 2020-16376 Notice https://www.govinfo.gov/content/pkg/FR-2020-07-29/pdf/2020-16376.pdf Notice - 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 MEMX https://regulations.justia.com/regulations/fedreg/2020/07/29/2020-16374.html https://regulations.justia.com/regulations/fedreg/2020/07/29/2020-16374.html Wed, 29 Jul 2020 00:00:00 -0700 2020-16374 Notice https://www.govinfo.gov/content/pkg/FR-2020-07-29/pdf/2020-16374.pdf Notice - 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 MEMX https://regulations.justia.com/regulations/fedreg/2020/07/29/2020-16373.html https://regulations.justia.com/regulations/fedreg/2020/07/29/2020-16373.html Wed, 29 Jul 2020 00:00:00 -0700 2020-16373 Notice https://www.govinfo.gov/content/pkg/FR-2020-07-29/pdf/2020-16373.pdf Notice - 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 Exchange https://regulations.justia.com/regulations/fedreg/2020/07/29/2020-16372.html https://regulations.justia.com/regulations/fedreg/2020/07/29/2020-16372.html Wed, 29 Jul 2020 00:00:00 -0700 2020-16372 Notice https://www.govinfo.gov/content/pkg/FR-2020-07-29/pdf/2020-16372.pdf Notice - 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 Transfers https://regulations.justia.com/regulations/fedreg/2020/07/29/2020-16371.html https://regulations.justia.com/regulations/fedreg/2020/07/29/2020-16371.html Wed, 29 Jul 2020 00:00:00 -0700 2020-16371 Notice https://www.govinfo.gov/content/pkg/FR-2020-07-29/pdf/2020-16371.pdf Notice - 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 Funds https://regulations.justia.com/regulations/fedreg/2020/07/29/2020-16263.html https://regulations.justia.com/regulations/fedreg/2020/07/29/2020-16263.html Wed, 29 Jul 2020 00:00:00 -0700 2020-16263 Notice https://www.govinfo.gov/content/pkg/FR-2020-07-29/pdf/2020-16263.pdf Notice - Self-Regulatory Organizations; NYSE American LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the NYSE American Options Fee Schedule https://regulations.justia.com/regulations/fedreg/2020/07/28/2020-16265.html https://regulations.justia.com/regulations/fedreg/2020/07/28/2020-16265.html Tue, 28 Jul 2020 00:00:00 -0700 2020-16265 Notice https://www.govinfo.gov/content/pkg/FR-2020-07-28/pdf/2020-16265.pdf Notice - 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 Shares https://regulations.justia.com/regulations/fedreg/2020/07/28/2020-16264.html https://regulations.justia.com/regulations/fedreg/2020/07/28/2020-16264.html Tue, 28 Jul 2020 00:00:00 -0700 2020-16264 Notice https://www.govinfo.gov/content/pkg/FR-2020-07-28/pdf/2020-16264.pdf Notice - 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 Shares https://regulations.justia.com/regulations/fedreg/2020/07/28/2020-16262.html https://regulations.justia.com/regulations/fedreg/2020/07/28/2020-16262.html Tue, 28 Jul 2020 00:00:00 -0700 2020-16262 Notice https://www.govinfo.gov/content/pkg/FR-2020-07-28/pdf/2020-16262.pdf Notice - Self-Regulatory Organizations; Nasdaq BX, Inc.; Notice of Filing of Proposed Rule Change To Amend BX's Opening Process in Connection With a Technology Migration https://regulations.justia.com/regulations/fedreg/2020/07/27/2020-16165.html https://regulations.justia.com/regulations/fedreg/2020/07/27/2020-16165.html Mon, 27 Jul 2020 00:00:00 -0700 2020-16165 Notice https://www.govinfo.gov/content/pkg/FR-2020-07-27/pdf/2020-16165.pdf Notice - Self-Regulatory Organizations; NYSE American LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Rule 7.37E https://regulations.justia.com/regulations/fedreg/2020/07/27/2020-16164.html https://regulations.justia.com/regulations/fedreg/2020/07/27/2020-16164.html Mon, 27 Jul 2020 00:00:00 -0700 2020-16164 Notice https://www.govinfo.gov/content/pkg/FR-2020-07-27/pdf/2020-16164.pdf Notice - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Rule 7.37 https://regulations.justia.com/regulations/fedreg/2020/07/27/2020-16163.html https://regulations.justia.com/regulations/fedreg/2020/07/27/2020-16163.html Mon, 27 Jul 2020 00:00:00 -0700 2020-16163 Notice https://www.govinfo.gov/content/pkg/FR-2020-07-27/pdf/2020-16163.pdf Notice - 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 76 https://regulations.justia.com/regulations/fedreg/2020/07/27/2020-16162.html https://regulations.justia.com/regulations/fedreg/2020/07/27/2020-16162.html Mon, 27 Jul 2020 00:00:00 -0700 2020-16162 Notice https://www.govinfo.gov/content/pkg/FR-2020-07-27/pdf/2020-16162.pdf Notice - 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 Shares https://regulations.justia.com/regulations/fedreg/2020/07/27/2020-16161.html https://regulations.justia.com/regulations/fedreg/2020/07/27/2020-16161.html Mon, 27 Jul 2020 00:00:00 -0700 2020-16161 Notice https://www.govinfo.gov/content/pkg/FR-2020-07-27/pdf/2020-16161.pdf Notice - 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 Shares https://regulations.justia.com/regulations/fedreg/2020/07/27/2020-16160.html https://regulations.justia.com/regulations/fedreg/2020/07/27/2020-16160.html Mon, 27 Jul 2020 00:00:00 -0700 2020-16160 Notice https://www.govinfo.gov/content/pkg/FR-2020-07-27/pdf/2020-16160.pdf Notice - 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 Requirements https://regulations.justia.com/regulations/fedreg/2020/07/27/2020-16159.html https://regulations.justia.com/regulations/fedreg/2020/07/27/2020-16159.html Mon, 27 Jul 2020 00:00:00 -0700 2020-16159 Notice https://www.govinfo.gov/content/pkg/FR-2020-07-27/pdf/2020-16159.pdf Notice - 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 Requirements https://regulations.justia.com/regulations/fedreg/2020/07/27/2020-16158.html https://regulations.justia.com/regulations/fedreg/2020/07/27/2020-16158.html Mon, 27 Jul 2020 00:00:00 -0700 2020-16158 Notice https://www.govinfo.gov/content/pkg/FR-2020-07-27/pdf/2020-16158.pdf Notice - 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 Requirements https://regulations.justia.com/regulations/fedreg/2020/07/27/2020-16157.html https://regulations.justia.com/regulations/fedreg/2020/07/27/2020-16157.html Mon, 27 Jul 2020 00:00:00 -0700 2020-16157 Notice https://www.govinfo.gov/content/pkg/FR-2020-07-27/pdf/2020-16157.pdf Notice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Update the NYSE Arca Options Fee Schedule https://regulations.justia.com/regulations/fedreg/2020/07/27/2020-16156.html https://regulations.justia.com/regulations/fedreg/2020/07/27/2020-16156.html Mon, 27 Jul 2020 00:00:00 -0700 2020-16156 Notice https://www.govinfo.gov/content/pkg/FR-2020-07-27/pdf/2020-16156.pdf Notice - 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 Markets https://regulations.justia.com/regulations/fedreg/2020/07/27/2020-16155.html https://regulations.justia.com/regulations/fedreg/2020/07/27/2020-16155.html Mon, 27 Jul 2020 00:00:00 -0700 2020-16155 Notice https://www.govinfo.gov/content/pkg/FR-2020-07-27/pdf/2020-16155.pdf Notice - 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 Shares https://regulations.justia.com/regulations/fedreg/2020/07/27/2020-16154.html https://regulations.justia.com/regulations/fedreg/2020/07/27/2020-16154.html Mon, 27 Jul 2020 00:00:00 -0700 2020-16154 Notice https://www.govinfo.gov/content/pkg/FR-2020-07-27/pdf/2020-16154.pdf Notice - Proposed Collection; Comment Request https://regulations.justia.com/regulations/fedreg/2020/07/27/2020-16141.html https://regulations.justia.com/regulations/fedreg/2020/07/27/2020-16141.html Mon, 27 Jul 2020 00:00:00 -0700 2020-16141 Notice https://www.govinfo.gov/content/pkg/FR-2020-07-27/pdf/2020-16141.pdf Rule - Securities Offering Reform for Closed-End Investment Companies; Correction https://regulations.justia.com/regulations/fedreg/2020/07/27/2020-15170.html https://regulations.justia.com/regulations/fedreg/2020/07/27/2020-15170.html Mon, 27 Jul 2020 00:00:00 -0700 2020-15170 Rule https://www.govinfo.gov/content/pkg/FR-2020-07-27/pdf/2020-15170.pdf Notice - Sunshine Act Meeting; Cancellation https://regulations.justia.com/regulations/fedreg/2020/07/24/2020-16218.html https://regulations.justia.com/regulations/fedreg/2020/07/24/2020-16218.html Fri, 24 Jul 2020 00:00:00 -0700 2020-16218 Notice https://www.govinfo.gov/content/pkg/FR-2020-07-24/pdf/2020-16218.pdf Notice - Sunshine Act Meetings https://regulations.justia.com/regulations/fedreg/2020/07/24/2020-16217.html https://regulations.justia.com/regulations/fedreg/2020/07/24/2020-16217.html Fri, 24 Jul 2020 00:00:00 -0700 2020-16217 Notice https://www.govinfo.gov/content/pkg/FR-2020-07-24/pdf/2020-16217.pdf Notice - SEC Small Business Capital Formation Advisory Committee https://regulations.justia.com/regulations/fedreg/2020/07/24/2020-16063.html https://regulations.justia.com/regulations/fedreg/2020/07/24/2020-16063.html Fri, 24 Jul 2020 00:00:00 -0700 2020-16063 Notice https://www.govinfo.gov/content/pkg/FR-2020-07-24/pdf/2020-16063.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 118(a) https://regulations.justia.com/regulations/fedreg/2020/07/24/2020-16024.html https://regulations.justia.com/regulations/fedreg/2020/07/24/2020-16024.html Fri, 24 Jul 2020 00:00:00 -0700 2020-16024 Notice https://www.govinfo.gov/content/pkg/FR-2020-07-24/pdf/2020-16024.pdf Notice - 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 Contracts https://regulations.justia.com/regulations/fedreg/2020/07/24/2020-16022.html https://regulations.justia.com/regulations/fedreg/2020/07/24/2020-16022.html Fri, 24 Jul 2020 00:00:00 -0700 2020-16022 Notice https://www.govinfo.gov/content/pkg/FR-2020-07-24/pdf/2020-16022.pdf Notice - 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 3 https://regulations.justia.com/regulations/fedreg/2020/07/24/2020-16021.html https://regulations.justia.com/regulations/fedreg/2020/07/24/2020-16021.html Fri, 24 Jul 2020 00:00:00 -0700 2020-16021 Notice https://www.govinfo.gov/content/pkg/FR-2020-07-24/pdf/2020-16021.pdf Notice - 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 Markets https://regulations.justia.com/regulations/fedreg/2020/07/24/2020-16019.html https://regulations.justia.com/regulations/fedreg/2020/07/24/2020-16019.html Fri, 24 Jul 2020 00:00:00 -0700 2020-16019 Notice https://www.govinfo.gov/content/pkg/FR-2020-07-24/pdf/2020-16019.pdf Notice - 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 Market https://regulations.justia.com/regulations/fedreg/2020/07/24/2020-16017.html https://regulations.justia.com/regulations/fedreg/2020/07/24/2020-16017.html Fri, 24 Jul 2020 00:00:00 -0700 2020-16017 Notice https://www.govinfo.gov/content/pkg/FR-2020-07-24/pdf/2020-16017.pdf Notice - Submission for OMB Review; Comment Request https://regulations.justia.com/regulations/fedreg/2020/07/23/2020-15913.html https://regulations.justia.com/regulations/fedreg/2020/07/23/2020-15913.html Thu, 23 Jul 2020 00:00:00 -0700 2020-15913 Notice https://www.govinfo.gov/content/pkg/FR-2020-07-23/pdf/2020-15913.pdf Notice - 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 Violations https://regulations.justia.com/regulations/fedreg/2020/07/23/2020-15911.html https://regulations.justia.com/regulations/fedreg/2020/07/23/2020-15911.html Thu, 23 Jul 2020 00:00:00 -0700 2020-15911 Notice https://www.govinfo.gov/content/pkg/FR-2020-07-23/pdf/2020-15911.pdf Notice - Self-Regulatory Organizations; NYSE American LLC; Notice of Filing and Immediate Effectiveness of Proposed Change To Modify the NYSE American Options Fee Schedule https://regulations.justia.com/regulations/fedreg/2020/07/23/2020-15910.html https://regulations.justia.com/regulations/fedreg/2020/07/23/2020-15910.html Thu, 23 Jul 2020 00:00:00 -0700 2020-15910 Notice https://www.govinfo.gov/content/pkg/FR-2020-07-23/pdf/2020-15910.pdf Notice - Spinnaker ETF Series, et al. https://regulations.justia.com/regulations/fedreg/2020/07/23/2020-15903.html https://regulations.justia.com/regulations/fedreg/2020/07/23/2020-15903.html Thu, 23 Jul 2020 00:00:00 -0700 2020-15903 Notice https://www.govinfo.gov/content/pkg/FR-2020-07-23/pdf/2020-15903.pdf Notice - Self-Regulatory Organizations; Nasdaq BX, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend BX's Routing Functionality https://regulations.justia.com/regulations/fedreg/2020/07/22/2020-15845.html https://regulations.justia.com/regulations/fedreg/2020/07/22/2020-15845.html Wed, 22 Jul 2020 00:00:00 -0700 2020-15845 Notice https://www.govinfo.gov/content/pkg/FR-2020-07-22/pdf/2020-15845.pdf Notice - Proposed Collection; Comment Request https://regulations.justia.com/regulations/fedreg/2020/07/22/2020-15800.html https://regulations.justia.com/regulations/fedreg/2020/07/22/2020-15800.html Wed, 22 Jul 2020 00:00:00 -0700 2020-15800 Notice https://www.govinfo.gov/content/pkg/FR-2020-07-22/pdf/2020-15800.pdf Notice - Submission for OMB Review; Comment Request https://regulations.justia.com/regulations/fedreg/2020/07/22/2020-15799.html https://regulations.justia.com/regulations/fedreg/2020/07/22/2020-15799.html Wed, 22 Jul 2020 00:00:00 -0700 2020-15799 Notice https://www.govinfo.gov/content/pkg/FR-2020-07-22/pdf/2020-15799.pdf Notice - Submission for OMB Review: Comment Request https://regulations.justia.com/regulations/fedreg/2020/07/22/2020-15798.html https://regulations.justia.com/regulations/fedreg/2020/07/22/2020-15798.html Wed, 22 Jul 2020 00:00:00 -0700 2020-15798 Notice https://www.govinfo.gov/content/pkg/FR-2020-07-22/pdf/2020-15798.pdf Notice - Submission for OMB Review; Comment Request] https://regulations.justia.com/regulations/fedreg/2020/07/22/2020-15797.html https://regulations.justia.com/regulations/fedreg/2020/07/22/2020-15797.html Wed, 22 Jul 2020 00:00:00 -0700 2020-15797 Notice https://www.govinfo.gov/content/pkg/FR-2020-07-22/pdf/2020-15797.pdf Notice - Submission for OMB Review; Comment Request https://regulations.justia.com/regulations/fedreg/2020/07/22/2020-15796.html https://regulations.justia.com/regulations/fedreg/2020/07/22/2020-15796.html Wed, 22 Jul 2020 00:00:00 -0700 2020-15796 Notice https://www.govinfo.gov/content/pkg/FR-2020-07-22/pdf/2020-15796.pdf Notice - Proposed Collection; Comment Request https://regulations.justia.com/regulations/fedreg/2020/07/22/2020-15795.html https://regulations.justia.com/regulations/fedreg/2020/07/22/2020-15795.html Wed, 22 Jul 2020 00:00:00 -0700 2020-15795 Notice https://www.govinfo.gov/content/pkg/FR-2020-07-22/pdf/2020-15795.pdf Notice - Proposed Collection; Comment Request https://regulations.justia.com/regulations/fedreg/2020/07/22/2020-15794.html https://regulations.justia.com/regulations/fedreg/2020/07/22/2020-15794.html Wed, 22 Jul 2020 00:00:00 -0700 2020-15794 Notice https://www.govinfo.gov/content/pkg/FR-2020-07-22/pdf/2020-15794.pdf Notice - Self-Regulatory Organizations; NYSE American LLC; Notice of Filing and Immediate Effectiveness of Proposed Change To Amend the NYSE American Options Fee Schedule https://regulations.justia.com/regulations/fedreg/2020/07/22/2020-15793.html https://regulations.justia.com/regulations/fedreg/2020/07/22/2020-15793.html Wed, 22 Jul 2020 00:00:00 -0700 2020-15793 Notice https://www.govinfo.gov/content/pkg/FR-2020-07-22/pdf/2020-15793.pdf Notice - Self-Regulatory Organizations; The Nasdaq Stock Market LLC; Notice of Filing of Proposed Rule Change To Adopt a New “Early Market On Close” Order Type https://regulations.justia.com/regulations/fedreg/2020/07/22/2020-15792.html https://regulations.justia.com/regulations/fedreg/2020/07/22/2020-15792.html Wed, 22 Jul 2020 00:00:00 -0700 2020-15792 Notice https://www.govinfo.gov/content/pkg/FR-2020-07-22/pdf/2020-15792.pdf Notice - 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 Requirement https://regulations.justia.com/regulations/fedreg/2020/07/22/2020-15791.html https://regulations.justia.com/regulations/fedreg/2020/07/22/2020-15791.html Wed, 22 Jul 2020 00:00:00 -0700 2020-15791 Notice https://www.govinfo.gov/content/pkg/FR-2020-07-22/pdf/2020-15791.pdf Notice - 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 Exchange https://regulations.justia.com/regulations/fedreg/2020/07/22/2020-15790.html https://regulations.justia.com/regulations/fedreg/2020/07/22/2020-15790.html Wed, 22 Jul 2020 00:00:00 -0700 2020-15790 Notice https://www.govinfo.gov/content/pkg/FR-2020-07-22/pdf/2020-15790.pdf Notice - 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 LLC https://regulations.justia.com/regulations/fedreg/2020/07/22/2020-15789.html https://regulations.justia.com/regulations/fedreg/2020/07/22/2020-15789.html Wed, 22 Jul 2020 00:00:00 -0700 2020-15789 Notice https://www.govinfo.gov/content/pkg/FR-2020-07-22/pdf/2020-15789.pdf Notice - 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 & Procedures https://regulations.justia.com/regulations/fedreg/2020/07/21/2020-15691.html https://regulations.justia.com/regulations/fedreg/2020/07/21/2020-15691.html Tue, 21 Jul 2020 00:00:00 -0700 2020-15691 Notice https://www.govinfo.gov/content/pkg/FR-2020-07-21/pdf/2020-15691.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, Section 5, Other Options Fees and Rebates, in Connection With the Pricing for Orders Entered Into the Exchanges Price Improvement Mechanism https://regulations.justia.com/regulations/fedreg/2020/07/21/2020-15690.html https://regulations.justia.com/regulations/fedreg/2020/07/21/2020-15690.html Tue, 21 Jul 2020 00:00:00 -0700 2020-15690 Notice https://www.govinfo.gov/content/pkg/FR-2020-07-21/pdf/2020-15690.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/2020/07/21/2020-15689.html https://regulations.justia.com/regulations/fedreg/2020/07/21/2020-15689.html Tue, 21 Jul 2020 00:00:00 -0700 2020-15689 Notice https://www.govinfo.gov/content/pkg/FR-2020-07-21/pdf/2020-15689.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/2020/07/21/2020-15688.html https://regulations.justia.com/regulations/fedreg/2020/07/21/2020-15688.html Tue, 21 Jul 2020 00:00:00 -0700 2020-15688 Notice https://www.govinfo.gov/content/pkg/FR-2020-07-21/pdf/2020-15688.pdf Notice - Self-Regulatory Organizations; Cboe Exchange, Inc.; Notice of Filing of a Proposed Rule Change Relating to Adopt Related Futures Cross (“RFC”) Orders https://regulations.justia.com/regulations/fedreg/2020/07/21/2020-15687.html https://regulations.justia.com/regulations/fedreg/2020/07/21/2020-15687.html Tue, 21 Jul 2020 00:00:00 -0700 2020-15687 Notice https://www.govinfo.gov/content/pkg/FR-2020-07-21/pdf/2020-15687.pdf Notice - FS Global Credit Opportunities Fund, et al. https://regulations.justia.com/regulations/fedreg/2020/07/21/2020-15685.html https://regulations.justia.com/regulations/fedreg/2020/07/21/2020-15685.html Tue, 21 Jul 2020 00:00:00 -0700 2020-15685 Notice https://www.govinfo.gov/content/pkg/FR-2020-07-21/pdf/2020-15685.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/2020/07/20/2020-15559.html https://regulations.justia.com/regulations/fedreg/2020/07/20/2020-15559.html Mon, 20 Jul 2020 00:00:00 -0700 2020-15559 Notice https://www.govinfo.gov/content/pkg/FR-2020-07-20/pdf/2020-15559.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 to Increase the Number of Additional Limited Service MIAX Express Interface Ports Available to Market Makers https://regulations.justia.com/regulations/fedreg/2020/07/20/2020-15558.html https://regulations.justia.com/regulations/fedreg/2020/07/20/2020-15558.html Mon, 20 Jul 2020 00:00:00 -0700 2020-15558 Notice https://www.govinfo.gov/content/pkg/FR-2020-07-20/pdf/2020-15558.pdf Notice - Self-Regulatory Organizations; MIAX PEARL, LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the MIAX PEARL Fee Schedule https://regulations.justia.com/regulations/fedreg/2020/07/20/2020-15557.html https://regulations.justia.com/regulations/fedreg/2020/07/20/2020-15557.html Mon, 20 Jul 2020 00:00:00 -0700 2020-15557 Notice https://www.govinfo.gov/content/pkg/FR-2020-07-20/pdf/2020-15557.pdf Notice - 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 Facility https://regulations.justia.com/regulations/fedreg/2020/07/20/2020-15556.html https://regulations.justia.com/regulations/fedreg/2020/07/20/2020-15556.html Mon, 20 Jul 2020 00:00:00 -0700 2020-15556 Notice https://www.govinfo.gov/content/pkg/FR-2020-07-20/pdf/2020-15556.pdf Notice - 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 Transfers https://regulations.justia.com/regulations/fedreg/2020/07/20/2020-15555.html https://regulations.justia.com/regulations/fedreg/2020/07/20/2020-15555.html Mon, 20 Jul 2020 00:00:00 -0700 2020-15555 Notice https://www.govinfo.gov/content/pkg/FR-2020-07-20/pdf/2020-15555.pdf Notice - 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 Transfers https://regulations.justia.com/regulations/fedreg/2020/07/20/2020-15554.html https://regulations.justia.com/regulations/fedreg/2020/07/20/2020-15554.html Mon, 20 Jul 2020 00:00:00 -0700 2020-15554 Notice https://www.govinfo.gov/content/pkg/FR-2020-07-20/pdf/2020-15554.pdf Notice - 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-E https://regulations.justia.com/regulations/fedreg/2020/07/20/2020-15553.html https://regulations.justia.com/regulations/fedreg/2020/07/20/2020-15553.html Mon, 20 Jul 2020 00:00:00 -0700 2020-15553 Notice https://www.govinfo.gov/content/pkg/FR-2020-07-20/pdf/2020-15553.pdf Notice - 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 Panel https://regulations.justia.com/regulations/fedreg/2020/07/20/2020-15552.html https://regulations.justia.com/regulations/fedreg/2020/07/20/2020-15552.html Mon, 20 Jul 2020 00:00:00 -0700 2020-15552 Notice https://www.govinfo.gov/content/pkg/FR-2020-07-20/pdf/2020-15552.pdf Notice - 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 One https://regulations.justia.com/regulations/fedreg/2020/07/20/2020-15551.html https://regulations.justia.com/regulations/fedreg/2020/07/20/2020-15551.html Mon, 20 Jul 2020 00:00:00 -0700 2020-15551 Notice https://www.govinfo.gov/content/pkg/FR-2020-07-20/pdf/2020-15551.pdf Notice - Self-Regulatory Organizations; Cboe Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Rule 5.24 https://regulations.justia.com/regulations/fedreg/2020/07/20/2020-15550.html https://regulations.justia.com/regulations/fedreg/2020/07/20/2020-15550.html Mon, 20 Jul 2020 00:00:00 -0700 2020-15550 Notice https://www.govinfo.gov/content/pkg/FR-2020-07-20/pdf/2020-15550.pdf Notice - Submission for OMB Review; Comment Request https://regulations.justia.com/regulations/fedreg/2020/07/20/2020-15435.html https://regulations.justia.com/regulations/fedreg/2020/07/20/2020-15435.html Mon, 20 Jul 2020 00:00:00 -0700 2020-15435 Notice https://www.govinfo.gov/content/pkg/FR-2020-07-20/pdf/2020-15435.pdf Notice - Sunshine Act Meetings https://regulations.justia.com/regulations/fedreg/2020/07/17/2020-15630.html https://regulations.justia.com/regulations/fedreg/2020/07/17/2020-15630.html Fri, 17 Jul 2020 00:00:00 -0700 2020-15630 Notice https://www.govinfo.gov/content/pkg/FR-2020-07-17/pdf/2020-15630.pdf Notice - Sunshine Act Meeting; Cancellation https://regulations.justia.com/regulations/fedreg/2020/07/17/2020-15589.html https://regulations.justia.com/regulations/fedreg/2020/07/17/2020-15589.html Fri, 17 Jul 2020 00:00:00 -0700 2020-15589 Notice https://www.govinfo.gov/content/pkg/FR-2020-07-17/pdf/2020-15589.pdf Notice - Sunshine Act Meetings https://regulations.justia.com/regulations/fedreg/2020/07/17/2020-15588.html https://regulations.justia.com/regulations/fedreg/2020/07/17/2020-15588.html Fri, 17 Jul 2020 00:00:00 -0700 2020-15588 Notice https://www.govinfo.gov/content/pkg/FR-2020-07-17/pdf/2020-15588.pdf Notice - 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 Participant https://regulations.justia.com/regulations/fedreg/2020/07/17/2020-15461.html https://regulations.justia.com/regulations/fedreg/2020/07/17/2020-15461.html Fri, 17 Jul 2020 00:00:00 -0700 2020-15461 Notice https://www.govinfo.gov/content/pkg/FR-2020-07-17/pdf/2020-15461.pdf Notice - Self-Regulatory Organizations; MIAX PEARL, LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Fee Schedule https://regulations.justia.com/regulations/fedreg/2020/07/17/2020-15452.html https://regulations.justia.com/regulations/fedreg/2020/07/17/2020-15452.html Fri, 17 Jul 2020 00:00:00 -0700 2020-15452 Notice https://www.govinfo.gov/content/pkg/FR-2020-07-17/pdf/2020-15452.pdf Notice - 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 Receipts https://regulations.justia.com/regulations/fedreg/2020/07/17/2020-15451.html https://regulations.justia.com/regulations/fedreg/2020/07/17/2020-15451.html Fri, 17 Jul 2020 00:00:00 -0700 2020-15451 Notice https://www.govinfo.gov/content/pkg/FR-2020-07-17/pdf/2020-15451.pdf Notice - 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 Misconduct https://regulations.justia.com/regulations/fedreg/2020/07/17/2020-15450.html https://regulations.justia.com/regulations/fedreg/2020/07/17/2020-15450.html Fri, 17 Jul 2020 00:00:00 -0700 2020-15450 Notice https://www.govinfo.gov/content/pkg/FR-2020-07-17/pdf/2020-15450.pdf Notice - Self-Regulatory Organizations; MIAX Emerald, LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Its Fee Schedule https://regulations.justia.com/regulations/fedreg/2020/07/17/2020-15449.html https://regulations.justia.com/regulations/fedreg/2020/07/17/2020-15449.html Fri, 17 Jul 2020 00:00:00 -0700 2020-15449 Notice https://www.govinfo.gov/content/pkg/FR-2020-07-17/pdf/2020-15449.pdf Notice - Self-Regulatory Organizations; Miami International Securities Exchange LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Fee Schedule https://regulations.justia.com/regulations/fedreg/2020/07/17/2020-15448.html https://regulations.justia.com/regulations/fedreg/2020/07/17/2020-15448.html Fri, 17 Jul 2020 00:00:00 -0700 2020-15448 Notice https://www.govinfo.gov/content/pkg/FR-2020-07-17/pdf/2020-15448.pdf Notice - Proposed Collection; Comment Request https://regulations.justia.com/regulations/fedreg/2020/07/17/2020-15436.html https://regulations.justia.com/regulations/fedreg/2020/07/17/2020-15436.html Fri, 17 Jul 2020 00:00:00 -0700 2020-15436 Notice https://www.govinfo.gov/content/pkg/FR-2020-07-17/pdf/2020-15436.pdf Notice - Proposed Collection; Comment Request https://regulations.justia.com/regulations/fedreg/2020/07/17/2020-15434.html https://regulations.justia.com/regulations/fedreg/2020/07/17/2020-15434.html Fri, 17 Jul 2020 00:00:00 -0700 2020-15434 Notice https://www.govinfo.gov/content/pkg/FR-2020-07-17/pdf/2020-15434.pdf Notice - Runway Growth Credit Fund, Inc., et al. https://regulations.justia.com/regulations/fedreg/2020/07/17/2020-15417.html https://regulations.justia.com/regulations/fedreg/2020/07/17/2020-15417.html Fri, 17 Jul 2020 00:00:00 -0700 2020-15417 Notice https://www.govinfo.gov/content/pkg/FR-2020-07-17/pdf/2020-15417.pdf Notice - Self-Regulatory Organizations; Cboe Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the Silexx Trading Platform Fees Schedule https://regulations.justia.com/regulations/fedreg/2020/07/16/2020-15309.html https://regulations.justia.com/regulations/fedreg/2020/07/16/2020-15309.html Thu, 16 Jul 2020 00:00:00 -0700 2020-15309 Notice https://www.govinfo.gov/content/pkg/FR-2020-07-16/pdf/2020-15309.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/2020/07/16/2020-15308.html https://regulations.justia.com/regulations/fedreg/2020/07/16/2020-15308.html Thu, 16 Jul 2020 00:00:00 -0700 2020-15308 Notice https://www.govinfo.gov/content/pkg/FR-2020-07-16/pdf/2020-15308.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 Applicable to Its Equities Trading Platform To Introduce a Flat Charge for the Execution of MDOs That Are Entered With the QDP Instruction https://regulations.justia.com/regulations/fedreg/2020/07/16/2020-15307.html https://regulations.justia.com/regulations/fedreg/2020/07/16/2020-15307.html Thu, 16 Jul 2020 00:00:00 -0700 2020-15307 Notice https://www.govinfo.gov/content/pkg/FR-2020-07-16/pdf/2020-15307.pdf Notice - 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 Framework https://regulations.justia.com/regulations/fedreg/2020/07/16/2020-15306.html https://regulations.justia.com/regulations/fedreg/2020/07/16/2020-15306.html Thu, 16 Jul 2020 00:00:00 -0700 2020-15306 Notice https://www.govinfo.gov/content/pkg/FR-2020-07-16/pdf/2020-15306.pdf Notice - Self-Regulatory Organizations; Cboe EDGA Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the Fee Schedule Applicable to Its Equities Trading Platform To Introduce a Flat Charge for the Execution of MDOs That Are Entered With the QDP Instruction https://regulations.justia.com/regulations/fedreg/2020/07/16/2020-15304.html https://regulations.justia.com/regulations/fedreg/2020/07/16/2020-15304.html Thu, 16 Jul 2020 00:00:00 -0700 2020-15304 Notice https://www.govinfo.gov/content/pkg/FR-2020-07-16/pdf/2020-15304.pdf Notice - Aspiriant Defensive Allocation Fund and Aspiriant LLC https://regulations.justia.com/regulations/fedreg/2020/07/15/2020-15297.html https://regulations.justia.com/regulations/fedreg/2020/07/15/2020-15297.html Wed, 15 Jul 2020 00:00:00 -0700 2020-15297 Notice https://www.govinfo.gov/content/pkg/FR-2020-07-15/pdf/2020-15297.pdf Notice - J.P. Morgan Exchange-Traded Fund Trust, et al. https://regulations.justia.com/regulations/fedreg/2020/07/15/2020-15290.html https://regulations.justia.com/regulations/fedreg/2020/07/15/2020-15290.html Wed, 15 Jul 2020 00:00:00 -0700 2020-15290 Notice https://www.govinfo.gov/content/pkg/FR-2020-07-15/pdf/2020-15290.pdf Notice - Self-Regulatory Organizations; Cboe EDGX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating To Amend Its Fees Schedule https://regulations.justia.com/regulations/fedreg/2020/07/15/2020-15214.html https://regulations.justia.com/regulations/fedreg/2020/07/15/2020-15214.html Wed, 15 Jul 2020 00:00:00 -0700 2020-15214 Notice https://www.govinfo.gov/content/pkg/FR-2020-07-15/pdf/2020-15214.pdf Notice - 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 Programs https://regulations.justia.com/regulations/fedreg/2020/07/15/2020-15213.html https://regulations.justia.com/regulations/fedreg/2020/07/15/2020-15213.html Wed, 15 Jul 2020 00:00:00 -0700 2020-15213 Notice https://www.govinfo.gov/content/pkg/FR-2020-07-15/pdf/2020-15213.pdf Notice - 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 Shares https://regulations.justia.com/regulations/fedreg/2020/07/15/2020-15212.html https://regulations.justia.com/regulations/fedreg/2020/07/15/2020-15212.html Wed, 15 Jul 2020 00:00:00 -0700 2020-15212 Notice https://www.govinfo.gov/content/pkg/FR-2020-07-15/pdf/2020-15212.pdf Notice - 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-E https://regulations.justia.com/regulations/fedreg/2020/07/15/2020-15211.html https://regulations.justia.com/regulations/fedreg/2020/07/15/2020-15211.html Wed, 15 Jul 2020 00:00:00 -0700 2020-15211 Notice https://www.govinfo.gov/content/pkg/FR-2020-07-15/pdf/2020-15211.pdf Notice - 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 25.3 https://regulations.justia.com/regulations/fedreg/2020/07/15/2020-15210.html https://regulations.justia.com/regulations/fedreg/2020/07/15/2020-15210.html Wed, 15 Jul 2020 00:00:00 -0700 2020-15210 Notice https://www.govinfo.gov/content/pkg/FR-2020-07-15/pdf/2020-15210.pdf Notice - 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 25.3 https://regulations.justia.com/regulations/fedreg/2020/07/15/2020-15209.html https://regulations.justia.com/regulations/fedreg/2020/07/15/2020-15209.html Wed, 15 Jul 2020 00:00:00 -0700 2020-15209 Notice https://www.govinfo.gov/content/pkg/FR-2020-07-15/pdf/2020-15209.pdf Notice - 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 Framework https://regulations.justia.com/regulations/fedreg/2020/07/15/2020-15208.html https://regulations.justia.com/regulations/fedreg/2020/07/15/2020-15208.html Wed, 15 Jul 2020 00:00:00 -0700 2020-15208 Notice https://www.govinfo.gov/content/pkg/FR-2020-07-15/pdf/2020-15208.pdf Notice - 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 Framework https://regulations.justia.com/regulations/fedreg/2020/07/15/2020-15207.html https://regulations.justia.com/regulations/fedreg/2020/07/15/2020-15207.html Wed, 15 Jul 2020 00:00:00 -0700 2020-15207 Notice https://www.govinfo.gov/content/pkg/FR-2020-07-15/pdf/2020-15207.pdf Notice - 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 Framework https://regulations.justia.com/regulations/fedreg/2020/07/15/2020-15206.html https://regulations.justia.com/regulations/fedreg/2020/07/15/2020-15206.html Wed, 15 Jul 2020 00:00:00 -0700 2020-15206 Notice https://www.govinfo.gov/content/pkg/FR-2020-07-15/pdf/2020-15206.pdf Notice - 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 Contracts https://regulations.justia.com/regulations/fedreg/2020/07/15/2020-15205.html https://regulations.justia.com/regulations/fedreg/2020/07/15/2020-15205.html Wed, 15 Jul 2020 00:00:00 -0700 2020-15205 Notice https://www.govinfo.gov/content/pkg/FR-2020-07-15/pdf/2020-15205.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 Accommodate Exchange Listing and Trading of Options-Linked Securities https://regulations.justia.com/regulations/fedreg/2020/07/15/2020-15204.html https://regulations.justia.com/regulations/fedreg/2020/07/15/2020-15204.html Wed, 15 Jul 2020 00:00:00 -0700 2020-15204 Notice https://www.govinfo.gov/content/pkg/FR-2020-07-15/pdf/2020-15204.pdf Notice - 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 Systems https://regulations.justia.com/regulations/fedreg/2020/07/14/2020-15119.html https://regulations.justia.com/regulations/fedreg/2020/07/14/2020-15119.html Tue, 14 Jul 2020 00:00:00 -0700 2020-15119 Notice https://www.govinfo.gov/content/pkg/FR-2020-07-14/pdf/2020-15119.pdf Notice - 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 Systems https://regulations.justia.com/regulations/fedreg/2020/07/14/2020-15118.html https://regulations.justia.com/regulations/fedreg/2020/07/14/2020-15118.html Tue, 14 Jul 2020 00:00:00 -0700 2020-15118 Notice https://www.govinfo.gov/content/pkg/FR-2020-07-14/pdf/2020-15118.pdf Notice - 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 Systems https://regulations.justia.com/regulations/fedreg/2020/07/14/2020-15117.html https://regulations.justia.com/regulations/fedreg/2020/07/14/2020-15117.html Tue, 14 Jul 2020 00:00:00 -0700 2020-15117 Notice https://www.govinfo.gov/content/pkg/FR-2020-07-14/pdf/2020-15117.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/2020/07/14/2020-15116.html https://regulations.justia.com/regulations/fedreg/2020/07/14/2020-15116.html Tue, 14 Jul 2020 00:00:00 -0700 2020-15116 Notice https://www.govinfo.gov/content/pkg/FR-2020-07-14/pdf/2020-15116.pdf Notice - 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 Systems https://regulations.justia.com/regulations/fedreg/2020/07/14/2020-15115.html https://regulations.justia.com/regulations/fedreg/2020/07/14/2020-15115.html Tue, 14 Jul 2020 00:00:00 -0700 2020-15115 Notice https://www.govinfo.gov/content/pkg/FR-2020-07-14/pdf/2020-15115.pdf Notice - 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 Systems https://regulations.justia.com/regulations/fedreg/2020/07/14/2020-15114.html https://regulations.justia.com/regulations/fedreg/2020/07/14/2020-15114.html Tue, 14 Jul 2020 00:00:00 -0700 2020-15114 Notice https://www.govinfo.gov/content/pkg/FR-2020-07-14/pdf/2020-15114.pdf Notice - 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 13.15 https://regulations.justia.com/regulations/fedreg/2020/07/14/2020-15113.html https://regulations.justia.com/regulations/fedreg/2020/07/14/2020-15113.html Tue, 14 Jul 2020 00:00:00 -0700 2020-15113 Notice https://www.govinfo.gov/content/pkg/FR-2020-07-14/pdf/2020-15113.pdf Notice - 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 Fees https://regulations.justia.com/regulations/fedreg/2020/07/14/2020-15112.html https://regulations.justia.com/regulations/fedreg/2020/07/14/2020-15112.html Tue, 14 Jul 2020 00:00:00 -0700 2020-15112 Notice https://www.govinfo.gov/content/pkg/FR-2020-07-14/pdf/2020-15112.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/2020/07/14/2020-15111.html https://regulations.justia.com/regulations/fedreg/2020/07/14/2020-15111.html Tue, 14 Jul 2020 00:00:00 -0700 2020-15111 Notice https://www.govinfo.gov/content/pkg/FR-2020-07-14/pdf/2020-15111.pdf Notice - 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 Violations https://regulations.justia.com/regulations/fedreg/2020/07/14/2020-15110.html https://regulations.justia.com/regulations/fedreg/2020/07/14/2020-15110.html Tue, 14 Jul 2020 00:00:00 -0700 2020-15110 Notice https://www.govinfo.gov/content/pkg/FR-2020-07-14/pdf/2020-15110.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/2020/07/14/2020-15109.html https://regulations.justia.com/regulations/fedreg/2020/07/14/2020-15109.html Tue, 14 Jul 2020 00:00:00 -0700 2020-15109 Notice https://www.govinfo.gov/content/pkg/FR-2020-07-14/pdf/2020-15109.pdf Notice - 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 7 https://regulations.justia.com/regulations/fedreg/2020/07/14/2020-15108.html https://regulations.justia.com/regulations/fedreg/2020/07/14/2020-15108.html Tue, 14 Jul 2020 00:00:00 -0700 2020-15108 Notice https://www.govinfo.gov/content/pkg/FR-2020-07-14/pdf/2020-15108.pdf Notice - 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 7 https://regulations.justia.com/regulations/fedreg/2020/07/14/2020-15107.html https://regulations.justia.com/regulations/fedreg/2020/07/14/2020-15107.html Tue, 14 Jul 2020 00:00:00 -0700 2020-15107 Notice https://www.govinfo.gov/content/pkg/FR-2020-07-14/pdf/2020-15107.pdf Notice - OFS Capital Corp., et al. https://regulations.justia.com/regulations/fedreg/2020/07/14/2020-15104.html https://regulations.justia.com/regulations/fedreg/2020/07/14/2020-15104.html Tue, 14 Jul 2020 00:00:00 -0700 2020-15104 Notice https://www.govinfo.gov/content/pkg/FR-2020-07-14/pdf/2020-15104.pdf Notice - 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 8.15 https://regulations.justia.com/regulations/fedreg/2020/07/13/2020-14973.html https://regulations.justia.com/regulations/fedreg/2020/07/13/2020-14973.html Mon, 13 Jul 2020 00:00:00 -0700 2020-14973 Notice https://www.govinfo.gov/content/pkg/FR-2020-07-13/pdf/2020-14973.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/2020/07/13/2020-14972.html https://regulations.justia.com/regulations/fedreg/2020/07/13/2020-14972.html Mon, 13 Jul 2020 00:00:00 -0700 2020-14972 Notice https://www.govinfo.gov/content/pkg/FR-2020-07-13/pdf/2020-14972.pdf Notice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Modify the NYSE Arca Options Fee Schedule https://regulations.justia.com/regulations/fedreg/2020/07/13/2020-14968.html https://regulations.justia.com/regulations/fedreg/2020/07/13/2020-14968.html Mon, 13 Jul 2020 00:00:00 -0700 2020-14968 Notice https://www.govinfo.gov/content/pkg/FR-2020-07-13/pdf/2020-14968.pdf Notice - 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 8.15 https://regulations.justia.com/regulations/fedreg/2020/07/13/2020-14967.html https://regulations.justia.com/regulations/fedreg/2020/07/13/2020-14967.html Mon, 13 Jul 2020 00:00:00 -0700 2020-14967 Notice https://www.govinfo.gov/content/pkg/FR-2020-07-13/pdf/2020-14967.pdf Notice - Self-Regulatory Organizations; NYSE American LLC; Notice of Filing and Immediate Effectiveness of a Proposed Change To Modify the NYSE American Options Fee Schedule https://regulations.justia.com/regulations/fedreg/2020/07/13/2020-14966.html https://regulations.justia.com/regulations/fedreg/2020/07/13/2020-14966.html Mon, 13 Jul 2020 00:00:00 -0700 2020-14966 Notice https://www.govinfo.gov/content/pkg/FR-2020-07-13/pdf/2020-14966.pdf Notice - Sunshine Act Meetings https://regulations.justia.com/regulations/fedreg/2020/07/10/2020-15033.html https://regulations.justia.com/regulations/fedreg/2020/07/10/2020-15033.html Fri, 10 Jul 2020 00:00:00 -0700 2020-15033 Notice https://www.govinfo.gov/content/pkg/FR-2020-07-10/pdf/2020-15033.pdf Notice - Sunshine Act Meetings https://regulations.justia.com/regulations/fedreg/2020/07/10/2020-15032.html https://regulations.justia.com/regulations/fedreg/2020/07/10/2020-15032.html Fri, 10 Jul 2020 00:00:00 -0700 2020-15032 Notice https://www.govinfo.gov/content/pkg/FR-2020-07-10/pdf/2020-15032.pdf Notice - Sunshine Act Meeting; Cancellation https://regulations.justia.com/regulations/fedreg/2020/07/10/2020-14989.html https://regulations.justia.com/regulations/fedreg/2020/07/10/2020-14989.html Fri, 10 Jul 2020 00:00:00 -0700 2020-14989 Notice https://www.govinfo.gov/content/pkg/FR-2020-07-10/pdf/2020-14989.pdf Notice - 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-6200-1 https://regulations.justia.com/regulations/fedreg/2020/07/10/2020-14870.html https://regulations.justia.com/regulations/fedreg/2020/07/10/2020-14870.html Fri, 10 Jul 2020 00:00:00 -0700 2020-14870 Notice https://www.govinfo.gov/content/pkg/FR-2020-07-10/pdf/2020-14870.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/2020/07/10/2020-14869.html https://regulations.justia.com/regulations/fedreg/2020/07/10/2020-14869.html Fri, 10 Jul 2020 00:00:00 -0700 2020-14869 Notice https://www.govinfo.gov/content/pkg/FR-2020-07-10/pdf/2020-14869.pdf Notice - 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”) https://regulations.justia.com/regulations/fedreg/2020/07/10/2020-14868.html https://regulations.justia.com/regulations/fedreg/2020/07/10/2020-14868.html Fri, 10 Jul 2020 00:00:00 -0700 2020-14868 Notice https://www.govinfo.gov/content/pkg/FR-2020-07-10/pdf/2020-14868.pdf Notice - 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 Violations https://regulations.justia.com/regulations/fedreg/2020/07/10/2020-14867.html https://regulations.justia.com/regulations/fedreg/2020/07/10/2020-14867.html Fri, 10 Jul 2020 00:00:00 -0700 2020-14867 Notice https://www.govinfo.gov/content/pkg/FR-2020-07-10/pdf/2020-14867.pdf Notice - Proposed Collection; Comment Request https://regulations.justia.com/regulations/fedreg/2020/07/10/2020-14762.html https://regulations.justia.com/regulations/fedreg/2020/07/10/2020-14762.html Fri, 10 Jul 2020 00:00:00 -0700 2020-14762 Notice https://www.govinfo.gov/content/pkg/FR-2020-07-10/pdf/2020-14762.pdf Notice - Proposed Collection; Comment Request https://regulations.justia.com/regulations/fedreg/2020/07/10/2020-14756.html https://regulations.justia.com/regulations/fedreg/2020/07/10/2020-14756.html Fri, 10 Jul 2020 00:00:00 -0700 2020-14756 Notice https://www.govinfo.gov/content/pkg/FR-2020-07-10/pdf/2020-14756.pdf Notice - 30 Day Notice-Submission for OMB Review; Comment Request https://regulations.justia.com/regulations/fedreg/2020/07/10/2020-14755.html https://regulations.justia.com/regulations/fedreg/2020/07/10/2020-14755.html Fri, 10 Jul 2020 00:00:00 -0700 2020-14755 Notice https://www.govinfo.gov/content/pkg/FR-2020-07-10/pdf/2020-14755.pdf Notice - Proposed Collection; Comment Request https://regulations.justia.com/regulations/fedreg/2020/07/10/2020-14754.html https://regulations.justia.com/regulations/fedreg/2020/07/10/2020-14754.html Fri, 10 Jul 2020 00:00:00 -0700 2020-14754 Notice https://www.govinfo.gov/content/pkg/FR-2020-07-10/pdf/2020-14754.pdf Notice - Submission for OMB Review; Comment Request https://regulations.justia.com/regulations/fedreg/2020/07/10/2020-14753.html https://regulations.justia.com/regulations/fedreg/2020/07/10/2020-14753.html Fri, 10 Jul 2020 00:00:00 -0700 2020-14753 Notice https://www.govinfo.gov/content/pkg/FR-2020-07-10/pdf/2020-14753.pdf Notice - Proposed Collection; Comment Request https://regulations.justia.com/regulations/fedreg/2020/07/10/2020-14752.html https://regulations.justia.com/regulations/fedreg/2020/07/10/2020-14752.html Fri, 10 Jul 2020 00:00:00 -0700 2020-14752 Notice https://www.govinfo.gov/content/pkg/FR-2020-07-10/pdf/2020-14752.pdf Notice - Proposed Collection; Comment Request https://regulations.justia.com/regulations/fedreg/2020/07/10/2020-14751.html https://regulations.justia.com/regulations/fedreg/2020/07/10/2020-14751.html Fri, 10 Jul 2020 00:00:00 -0700 2020-14751 Notice https://www.govinfo.gov/content/pkg/FR-2020-07-10/pdf/2020-14751.pdf Notice - Proposed Collection; Comment Request https://regulations.justia.com/regulations/fedreg/2020/07/10/2020-14748.html https://regulations.justia.com/regulations/fedreg/2020/07/10/2020-14748.html Fri, 10 Jul 2020 00:00:00 -0700 2020-14748 Notice https://www.govinfo.gov/content/pkg/FR-2020-07-10/pdf/2020-14748.pdf Notice - 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 Conditions https://regulations.justia.com/regulations/fedreg/2020/07/10/2020-14744.html https://regulations.justia.com/regulations/fedreg/2020/07/10/2020-14744.html Fri, 10 Jul 2020 00:00:00 -0700 2020-14744 Notice https://www.govinfo.gov/content/pkg/FR-2020-07-10/pdf/2020-14744.pdf Notice - Submission for OMB Review; Comment Request https://regulations.justia.com/regulations/fedreg/2020/07/09/2020-14750.html https://regulations.justia.com/regulations/fedreg/2020/07/09/2020-14750.html Thu, 09 Jul 2020 00:00:00 -0700 2020-14750 Notice https://www.govinfo.gov/content/pkg/FR-2020-07-09/pdf/2020-14750.pdf Notice - Submission for OMB Review; Comment Request https://regulations.justia.com/regulations/fedreg/2020/07/09/2020-14749.html https://regulations.justia.com/regulations/fedreg/2020/07/09/2020-14749.html Thu, 09 Jul 2020 00:00:00 -0700 2020-14749 Notice https://www.govinfo.gov/content/pkg/FR-2020-07-09/pdf/2020-14749.pdf Notice - Proposed Collection; Comment Request https://regulations.justia.com/regulations/fedreg/2020/07/09/2020-14747.html https://regulations.justia.com/regulations/fedreg/2020/07/09/2020-14747.html Thu, 09 Jul 2020 00:00:00 -0700 2020-14747 Notice https://www.govinfo.gov/content/pkg/FR-2020-07-09/pdf/2020-14747.pdf Notice - 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) https://regulations.justia.com/regulations/fedreg/2020/07/09/2020-14743.html https://regulations.justia.com/regulations/fedreg/2020/07/09/2020-14743.html Thu, 09 Jul 2020 00:00:00 -0700 2020-14743 Notice https://www.govinfo.gov/content/pkg/FR-2020-07-09/pdf/2020-14743.pdf Notice - 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 Shares https://regulations.justia.com/regulations/fedreg/2020/07/09/2020-14742.html https://regulations.justia.com/regulations/fedreg/2020/07/09/2020-14742.html Thu, 09 Jul 2020 00:00:00 -0700 2020-14742 Notice https://www.govinfo.gov/content/pkg/FR-2020-07-09/pdf/2020-14742.pdf Notice - 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 2020 https://regulations.justia.com/regulations/fedreg/2020/07/09/2020-14741.html https://regulations.justia.com/regulations/fedreg/2020/07/09/2020-14741.html Thu, 09 Jul 2020 00:00:00 -0700 2020-14741 Notice https://www.govinfo.gov/content/pkg/FR-2020-07-09/pdf/2020-14741.pdf Notice - Keystone Private Income Fund and Keystone National Group, LLC https://regulations.justia.com/regulations/fedreg/2020/07/08/2020-14633.html https://regulations.justia.com/regulations/fedreg/2020/07/08/2020-14633.html Wed, 08 Jul 2020 00:00:00 -0700 2020-14633 Notice https://www.govinfo.gov/content/pkg/FR-2020-07-08/pdf/2020-14633.pdf Notice - 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 Orders https://regulations.justia.com/regulations/fedreg/2020/07/08/2020-14631.html https://regulations.justia.com/regulations/fedreg/2020/07/08/2020-14631.html Wed, 08 Jul 2020 00:00:00 -0700 2020-14631 Notice https://www.govinfo.gov/content/pkg/FR-2020-07-08/pdf/2020-14631.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/2020/07/08/2020-14630.html https://regulations.justia.com/regulations/fedreg/2020/07/08/2020-14630.html Wed, 08 Jul 2020 00:00:00 -0700 2020-14630 Notice https://www.govinfo.gov/content/pkg/FR-2020-07-08/pdf/2020-14630.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 and Exchange Rule 515A, MIAX Price Improvement Mechanism (“PRIME”) and PRIME Solicitation Mechanism https://regulations.justia.com/regulations/fedreg/2020/07/08/2020-14629.html https://regulations.justia.com/regulations/fedreg/2020/07/08/2020-14629.html Wed, 08 Jul 2020 00:00:00 -0700 2020-14629 Notice https://www.govinfo.gov/content/pkg/FR-2020-07-08/pdf/2020-14629.pdf Notice - 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 Policy https://regulations.justia.com/regulations/fedreg/2020/07/08/2020-14627.html https://regulations.justia.com/regulations/fedreg/2020/07/08/2020-14627.html Wed, 08 Jul 2020 00:00:00 -0700 2020-14627 Notice https://www.govinfo.gov/content/pkg/FR-2020-07-08/pdf/2020-14627.pdf Notice - 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. 812-14722 https://regulations.justia.com/regulations/fedreg/2020/07/08/2020-14615.html https://regulations.justia.com/regulations/fedreg/2020/07/08/2020-14615.html Wed, 08 Jul 2020 00:00:00 -0700 2020-14615 Notice https://www.govinfo.gov/content/pkg/FR-2020-07-08/pdf/2020-14615.pdf Notice - 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 7.35C https://regulations.justia.com/regulations/fedreg/2020/07/07/2020-14507.html https://regulations.justia.com/regulations/fedreg/2020/07/07/2020-14507.html Tue, 07 Jul 2020 00:00:00 -0700 2020-14507 Notice https://www.govinfo.gov/content/pkg/FR-2020-07-07/pdf/2020-14507.pdf Notice - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing of Proposed Rule Change To Amend Rules 7.36 and 7.37 https://regulations.justia.com/regulations/fedreg/2020/07/07/2020-14505.html https://regulations.justia.com/regulations/fedreg/2020/07/07/2020-14505.html Tue, 07 Jul 2020 00:00:00 -0700 2020-14505 Notice https://www.govinfo.gov/content/pkg/FR-2020-07-07/pdf/2020-14505.pdf Notice - 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-E https://regulations.justia.com/regulations/fedreg/2020/07/07/2020-14494.html https://regulations.justia.com/regulations/fedreg/2020/07/07/2020-14494.html Tue, 07 Jul 2020 00:00:00 -0700 2020-14494 Notice https://www.govinfo.gov/content/pkg/FR-2020-07-07/pdf/2020-14494.pdf Notice - Self-Regulatory Organizations; BOX Exchange LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the Fee Schedule on the BOX Options Market LLC Facility To Establish Section I.C.2 (Strategy Order Facilitation and Solicitation Transactions) https://regulations.justia.com/regulations/fedreg/2020/07/07/2020-14492.html https://regulations.justia.com/regulations/fedreg/2020/07/07/2020-14492.html Tue, 07 Jul 2020 00:00:00 -0700 2020-14492 Notice https://www.govinfo.gov/content/pkg/FR-2020-07-07/pdf/2020-14492.pdf Notice - Self-Regulatory Organizations; Fixed Income Clearing Corporation; Notice of Filing of Proposed Rule Change To Provide for a Passive Acknowledgement Process and Make Other Changes https://regulations.justia.com/regulations/fedreg/2020/07/07/2020-14491.html https://regulations.justia.com/regulations/fedreg/2020/07/07/2020-14491.html Tue, 07 Jul 2020 00:00:00 -0700 2020-14491 Notice https://www.govinfo.gov/content/pkg/FR-2020-07-07/pdf/2020-14491.pdf Notice - 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-E https://regulations.justia.com/regulations/fedreg/2020/07/07/2020-14490.html https://regulations.justia.com/regulations/fedreg/2020/07/07/2020-14490.html Tue, 07 Jul 2020 00:00:00 -0700 2020-14490 Notice https://www.govinfo.gov/content/pkg/FR-2020-07-07/pdf/2020-14490.pdf Notice - 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) https://regulations.justia.com/regulations/fedreg/2020/07/07/2020-14487.html https://regulations.justia.com/regulations/fedreg/2020/07/07/2020-14487.html Tue, 07 Jul 2020 00:00:00 -0700 2020-14487 Notice https://www.govinfo.gov/content/pkg/FR-2020-07-07/pdf/2020-14487.pdf Notice - Sunshine Act Meetings https://regulations.justia.com/regulations/fedreg/2020/07/06/2020-14565.html https://regulations.justia.com/regulations/fedreg/2020/07/06/2020-14565.html Mon, 06 Jul 2020 00:00:00 -0700 2020-14565 Notice https://www.govinfo.gov/content/pkg/FR-2020-07-06/pdf/2020-14565.pdf Notice - Sunshine Act Meeting; Cancellation https://regulations.justia.com/regulations/fedreg/2020/07/06/2020-14498.html https://regulations.justia.com/regulations/fedreg/2020/07/06/2020-14498.html Mon, 06 Jul 2020 00:00:00 -0700 2020-14498 Notice https://www.govinfo.gov/content/pkg/FR-2020-07-06/pdf/2020-14498.pdf Notice - Self-Regulatory Organizations; BOX Exchange LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend the Fee Schedule on the BOX Options Market LLC Facility https://regulations.justia.com/regulations/fedreg/2020/07/06/2020-14493.html https://regulations.justia.com/regulations/fedreg/2020/07/06/2020-14493.html Mon, 06 Jul 2020 00:00:00 -0700 2020-14493 Notice https://www.govinfo.gov/content/pkg/FR-2020-07-06/pdf/2020-14493.pdf Notice - 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-E https://regulations.justia.com/regulations/fedreg/2020/07/06/2020-14489.html https://regulations.justia.com/regulations/fedreg/2020/07/06/2020-14489.html Mon, 06 Jul 2020 00:00:00 -0700 2020-14489 Notice https://www.govinfo.gov/content/pkg/FR-2020-07-06/pdf/2020-14489.pdf Notice - Self-Regulatory Organizations; Cboe Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Its Fees Schedule https://regulations.justia.com/regulations/fedreg/2020/07/06/2020-14488.html https://regulations.justia.com/regulations/fedreg/2020/07/06/2020-14488.html Mon, 06 Jul 2020 00:00:00 -0700 2020-14488 Notice https://www.govinfo.gov/content/pkg/FR-2020-07-06/pdf/2020-14488.pdf Notice - 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 Policy https://regulations.justia.com/regulations/fedreg/2020/07/06/2020-14389.html https://regulations.justia.com/regulations/fedreg/2020/07/06/2020-14389.html Mon, 06 Jul 2020 00:00:00 -0700 2020-14389 Notice https://www.govinfo.gov/content/pkg/FR-2020-07-06/pdf/2020-14389.pdf Notice - 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-E https://regulations.justia.com/regulations/fedreg/2020/07/06/2020-14388.html https://regulations.justia.com/regulations/fedreg/2020/07/06/2020-14388.html Mon, 06 Jul 2020 00:00:00 -0700 2020-14388 Notice https://www.govinfo.gov/content/pkg/FR-2020-07-06/pdf/2020-14388.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/2020/07/06/2020-14387.html https://regulations.justia.com/regulations/fedreg/2020/07/06/2020-14387.html Mon, 06 Jul 2020 00:00:00 -0700 2020-14387 Notice https://www.govinfo.gov/content/pkg/FR-2020-07-06/pdf/2020-14387.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/2020/07/06/2020-14386.html https://regulations.justia.com/regulations/fedreg/2020/07/06/2020-14386.html Mon, 06 Jul 2020 00:00:00 -0700 2020-14386 Notice https://www.govinfo.gov/content/pkg/FR-2020-07-06/pdf/2020-14386.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/2020/07/06/2020-14385.html https://regulations.justia.com/regulations/fedreg/2020/07/06/2020-14385.html Mon, 06 Jul 2020 00:00:00 -0700 2020-14385 Notice https://www.govinfo.gov/content/pkg/FR-2020-07-06/pdf/2020-14385.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/2020/07/06/2020-14384.html https://regulations.justia.com/regulations/fedreg/2020/07/06/2020-14384.html Mon, 06 Jul 2020 00:00:00 -0700 2020-14384 Notice https://www.govinfo.gov/content/pkg/FR-2020-07-06/pdf/2020-14384.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/2020/07/06/2020-14379.html https://regulations.justia.com/regulations/fedreg/2020/07/06/2020-14379.html Mon, 06 Jul 2020 00:00:00 -0700 2020-14379 Notice https://www.govinfo.gov/content/pkg/FR-2020-07-06/pdf/2020-14379.pdf Notice - 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 Million https://regulations.justia.com/regulations/fedreg/2020/07/06/2020-14371.html https://regulations.justia.com/regulations/fedreg/2020/07/06/2020-14371.html Mon, 06 Jul 2020 00:00:00 -0700 2020-14371 Notice https://www.govinfo.gov/content/pkg/FR-2020-07-06/pdf/2020-14371.pdf Notice - 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 Options https://regulations.justia.com/regulations/fedreg/2020/07/02/2020-14236.html https://regulations.justia.com/regulations/fedreg/2020/07/02/2020-14236.html Thu, 02 Jul 2020 00:00:00 -0700 2020-14236 Notice https://www.govinfo.gov/content/pkg/FR-2020-07-02/pdf/2020-14236.pdf Notice - 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 Options https://regulations.justia.com/regulations/fedreg/2020/07/02/2020-14235.html https://regulations.justia.com/regulations/fedreg/2020/07/02/2020-14235.html Thu, 02 Jul 2020 00:00:00 -0700 2020-14235 Notice https://www.govinfo.gov/content/pkg/FR-2020-07-02/pdf/2020-14235.pdf Notice - 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 Options https://regulations.justia.com/regulations/fedreg/2020/07/02/2020-14234.html https://regulations.justia.com/regulations/fedreg/2020/07/02/2020-14234.html Thu, 02 Jul 2020 00:00:00 -0700 2020-14234 Notice https://www.govinfo.gov/content/pkg/FR-2020-07-02/pdf/2020-14234.pdf Notice - 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 Violations https://regulations.justia.com/regulations/fedreg/2020/07/02/2020-14233.html https://regulations.justia.com/regulations/fedreg/2020/07/02/2020-14233.html Thu, 02 Jul 2020 00:00:00 -0700 2020-14233 Notice https://www.govinfo.gov/content/pkg/FR-2020-07-02/pdf/2020-14233.pdf Notice - 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-Limit https://regulations.justia.com/regulations/fedreg/2020/07/02/2020-14232.html https://regulations.justia.com/regulations/fedreg/2020/07/02/2020-14232.html Thu, 02 Jul 2020 00:00:00 -0700 2020-14232 Notice https://www.govinfo.gov/content/pkg/FR-2020-07-02/pdf/2020-14232.pdf Notice - 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 3301B https://regulations.justia.com/regulations/fedreg/2020/07/02/2020-14231.html https://regulations.justia.com/regulations/fedreg/2020/07/02/2020-14231.html Thu, 02 Jul 2020 00:00:00 -0700 2020-14231 Notice https://www.govinfo.gov/content/pkg/FR-2020-07-02/pdf/2020-14231.pdf Notice - 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 Options https://regulations.justia.com/regulations/fedreg/2020/07/02/2020-14230.html https://regulations.justia.com/regulations/fedreg/2020/07/02/2020-14230.html Thu, 02 Jul 2020 00:00:00 -0700 2020-14230 Notice https://www.govinfo.gov/content/pkg/FR-2020-07-02/pdf/2020-14230.pdf Notice - 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 Options https://regulations.justia.com/regulations/fedreg/2020/07/02/2020-14229.html https://regulations.justia.com/regulations/fedreg/2020/07/02/2020-14229.html Thu, 02 Jul 2020 00:00:00 -0700 2020-14229 Notice https://www.govinfo.gov/content/pkg/FR-2020-07-02/pdf/2020-14229.pdf Notice - Notice of Applications for Deregistration Under Section 8(f) of the Investment Company Act of 1940 https://regulations.justia.com/regulations/fedreg/2020/07/02/2020-14223.html https://regulations.justia.com/regulations/fedreg/2020/07/02/2020-14223.html Thu, 02 Jul 2020 00:00:00 -0700 2020-14223 Notice https://www.govinfo.gov/content/pkg/FR-2020-07-02/pdf/2020-14223.pdf Notice - Conversus StepStone Private Markets, et al. https://regulations.justia.com/regulations/fedreg/2020/07/01/2020-14122.html https://regulations.justia.com/regulations/fedreg/2020/07/01/2020-14122.html Wed, 01 Jul 2020 00:00:00 -0700 2020-14122 Notice https://www.govinfo.gov/content/pkg/FR-2020-07-01/pdf/2020-14122.pdf Notice - 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”) https://regulations.justia.com/regulations/fedreg/2020/07/01/2020-14121.html https://regulations.justia.com/regulations/fedreg/2020/07/01/2020-14121.html Wed, 01 Jul 2020 00:00:00 -0700 2020-14121 Notice https://www.govinfo.gov/content/pkg/FR-2020-07-01/pdf/2020-14121.pdf Notice - 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 Funds https://regulations.justia.com/regulations/fedreg/2020/07/01/2020-14120.html https://regulations.justia.com/regulations/fedreg/2020/07/01/2020-14120.html Wed, 01 Jul 2020 00:00:00 -0700 2020-14120 Notice https://www.govinfo.gov/content/pkg/FR-2020-07-01/pdf/2020-14120.pdf Notice - 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 Violations https://regulations.justia.com/regulations/fedreg/2020/07/01/2020-14119.html https://regulations.justia.com/regulations/fedreg/2020/07/01/2020-14119.html Wed, 01 Jul 2020 00:00:00 -0700 2020-14119 Notice https://www.govinfo.gov/content/pkg/FR-2020-07-01/pdf/2020-14119.pdf Notice - 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 Options https://regulations.justia.com/regulations/fedreg/2020/07/01/2020-14118.html https://regulations.justia.com/regulations/fedreg/2020/07/01/2020-14118.html Wed, 01 Jul 2020 00:00:00 -0700 2020-14118 Notice https://www.govinfo.gov/content/pkg/FR-2020-07-01/pdf/2020-14118.pdf Notice - 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 Trust https://regulations.justia.com/regulations/fedreg/2020/07/01/2020-14117.html https://regulations.justia.com/regulations/fedreg/2020/07/01/2020-14117.html Wed, 01 Jul 2020 00:00:00 -0700 2020-14117 Notice https://www.govinfo.gov/content/pkg/FR-2020-07-01/pdf/2020-14117.pdf Notice - 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 Funds https://regulations.justia.com/regulations/fedreg/2020/07/01/2020-14116.html https://regulations.justia.com/regulations/fedreg/2020/07/01/2020-14116.html Wed, 01 Jul 2020 00:00:00 -0700 2020-14116 Notice https://www.govinfo.gov/content/pkg/FR-2020-07-01/pdf/2020-14116.pdf Notice - 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 l https://regulations.justia.com/regulations/fedreg/2020/07/01/2020-14115.html https://regulations.justia.com/regulations/fedreg/2020/07/01/2020-14115.html Wed, 01 Jul 2020 00:00:00 -0700 2020-14115 Notice https://www.govinfo.gov/content/pkg/FR-2020-07-01/pdf/2020-14115.pdf Notice - 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 Trust https://regulations.justia.com/regulations/fedreg/2020/07/01/2020-14113.html https://regulations.justia.com/regulations/fedreg/2020/07/01/2020-14113.html Wed, 01 Jul 2020 00:00:00 -0700 2020-14113 Notice https://www.govinfo.gov/content/pkg/FR-2020-07-01/pdf/2020-14113.pdf Notice - Proposal for OMB Review; Comment Request https://regulations.justia.com/regulations/fedreg/2020/07/01/2020-14106.html https://regulations.justia.com/regulations/fedreg/2020/07/01/2020-14106.html Wed, 01 Jul 2020 00:00:00 -0700 2020-14106 Notice https://www.govinfo.gov/content/pkg/FR-2020-07-01/pdf/2020-14106.pdf Rule - Updated Disclosure Requirements and Summary Prospectus for Variable Annuity and Variable Life Insurance Contracts; Correction https://regulations.justia.com/regulations/fedreg/2020/07/01/2020-12902.html https://regulations.justia.com/regulations/fedreg/2020/07/01/2020-12902.html Wed, 01 Jul 2020 00:00:00 -0700 2020-12902 Rule https://www.govinfo.gov/content/pkg/FR-2020-07-01/pdf/2020-12902.pdf