Federal Register Recent Federal Regulation Documents - Justia Regulation Tracker - Justia Regulations Trackerhttps://regulations.justia.com/regulations/fedreg/agencies/agencies-and-commissions/securities-and-exchange-commission/2020/08?limit=200®isters=between&min-day=1&max-day=31&mode=atom2024-05-09T21:54:35-07:00Justia Inchttps://www.justia.com/Justia Regulations Trackerhttps://regulations.justia.com/images/justiafedregulations.gifCopyright 2011 Justia Inchttps://regulations.justia.com/regulations/fedreg/2020/08/31/2020-19201.htmlNotice - Sunshine Act Meetings2020-08-31T00:00:00-07:002020-08-31T00:00:00-07:002020-19201Noticehttps://www.govinfo.gov/content/pkg/FR-2020-08-31/pdf/2020-19201.pdfhttps://regulations.justia.com/regulations/fedreg/2020/08/31/2020-19079.htmlNotice - Order Making Fiscal Year 2021 Annual Adjustments to Registration Fee Rates2020-08-31T00:00:00-07:002020-08-31T00:00:00-07:002020-19079Noticehttps://www.govinfo.gov/content/pkg/FR-2020-08-31/pdf/2020-19079.pdfhttps://regulations.justia.com/regulations/fedreg/2020/08/31/2020-19061.htmlNotice - Order Granting Exemptions From Certain Rules Related to the Sale and Delivery of Physical Securities Under Regulation SHO Related to COVID-192020-08-31T00:00:00-07:002020-08-31T00:00:00-07:002020-19061Noticehttps://www.govinfo.gov/content/pkg/FR-2020-08-31/pdf/2020-19061.pdfhttps://regulations.justia.com/regulations/fedreg/2020/08/31/2020-19054.htmlNotice - Self-Regulatory Organizations; Long-Term Stock Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Rule 11.410(a)2020-08-31T00:00:00-07:002020-08-31T00:00:00-07:002020-19054Noticehttps://www.govinfo.gov/content/pkg/FR-2020-08-31/pdf/2020-19054.pdfhttps://regulations.justia.com/regulations/fedreg/2020/08/31/2020-19053.htmlNotice - Self-Regulatory Organizations; Nasdaq PHLX LLC; Notice of Filing and Order Granting Accelerated Approval of Proposed Rule Change To Add the Consolidated Audit Trail Industry Member Compliance Rules to the List of Minor Rule Violations2020-08-31T00:00:00-07:002020-08-31T00:00:00-07:002020-19053Noticehttps://www.govinfo.gov/content/pkg/FR-2020-08-31/pdf/2020-19053.pdfhttps://regulations.justia.com/regulations/fedreg/2020/08/31/2020-19052.htmlNotice - Self-Regulatory Organizations; BOX Exchange LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend BOX Rule 7160 (Transfer of Positions)2020-08-31T00:00:00-07:002020-08-31T00:00:00-07:002020-19052Noticehttps://www.govinfo.gov/content/pkg/FR-2020-08-31/pdf/2020-19052.pdfhttps://regulations.justia.com/regulations/fedreg/2020/08/31/2020-19051.htmlNotice - Self-Regulatory Organizations; NYSE Arca, Inc.; Order Approving a Proposed Rule Change, as Modified by Amendment No. 1, To List and Trade Shares of Gabelli ETFs Under Rule 8.900-E, Managed Portfolio Shares2020-08-31T00:00:00-07:002020-08-31T00:00:00-07:002020-19051Noticehttps://www.govinfo.gov/content/pkg/FR-2020-08-31/pdf/2020-19051.pdfhttps://regulations.justia.com/regulations/fedreg/2020/08/31/2020-19050.htmlNotice - Self-Regulatory Organizations; Nasdaq BX, Inc.; Notice of Filing and Order Granting Accelerated Approval of Proposed Rule Change To Add the Consolidated Audit Trail Industry Member Compliance Rules to the List of Minor Rule Violations2020-08-31T00:00:00-07:002020-08-31T00:00:00-07:002020-19050Noticehttps://www.govinfo.gov/content/pkg/FR-2020-08-31/pdf/2020-19050.pdfhttps://regulations.justia.com/regulations/fedreg/2020/08/31/2020-19049.htmlNotice - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Extend the Temporary Waiver of the Co-Location Hot Hands Fee2020-08-31T00:00:00-07:002020-08-31T00:00:00-07:002020-19049Noticehttps://www.govinfo.gov/content/pkg/FR-2020-08-31/pdf/2020-19049.pdfhttps://regulations.justia.com/regulations/fedreg/2020/08/31/2020-19048.htmlNotice - Self-Regulatory Organizations; NYSE Chicago, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Extend the Temporary Waiver of the Co-location Hot Hands Fee2020-08-31T00:00:00-07:002020-08-31T00:00:00-07:002020-19048Noticehttps://www.govinfo.gov/content/pkg/FR-2020-08-31/pdf/2020-19048.pdfhttps://regulations.justia.com/regulations/fedreg/2020/08/31/2020-19047.htmlNotice - Self-Regulatory Organizations; NYSE National, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Extend the Temporary Waiver of the Co-Location Hot Hands Fee2020-08-31T00:00:00-07:002020-08-31T00:00:00-07:002020-19047Noticehttps://www.govinfo.gov/content/pkg/FR-2020-08-31/pdf/2020-19047.pdfhttps://regulations.justia.com/regulations/fedreg/2020/08/31/2020-19046.htmlNotice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Extend the Temporary Waiver of the Co-Location Hot Hands Fee2020-08-31T00:00:00-07:002020-08-31T00:00:00-07:002020-19046Noticehttps://www.govinfo.gov/content/pkg/FR-2020-08-31/pdf/2020-19046.pdfhttps://regulations.justia.com/regulations/fedreg/2020/08/31/2020-19045.htmlNotice - Self-Regulatory Organizations; NYSE American LLC; Notice of Filing and Immediate Effectiveness of Proposed Change To Extend the Temporary Waiver of the Co-Location Hot Hands Fee2020-08-31T00:00:00-07:002020-08-31T00:00:00-07:002020-19045Noticehttps://www.govinfo.gov/content/pkg/FR-2020-08-31/pdf/2020-19045.pdfhttps://regulations.justia.com/regulations/fedreg/2020/08/31/2020-16468.htmlRule - Covered Broker-Dealer Provisions Under Title II of the Dodd-Frank Wall Street Reform and Consumer Protection Act2020-08-31T00:00:00-07:002020-08-31T00:00:00-07:002020-16468Rulehttps://www.govinfo.gov/content/pkg/FR-2020-08-31/pdf/2020-16468.pdfhttps://regulations.justia.com/regulations/fedreg/2020/08/31/2020-11480.htmlRule - Financial Disclosures About Guarantors and Issuers of Guaranteed Securities and Affiliates Whose Securities Collateralize a Registrant's Securities; Correction2020-08-31T00:00:00-07:002020-08-31T00:00:00-07:002020-11480Rulehttps://www.govinfo.gov/content/pkg/FR-2020-08-31/pdf/2020-11480.pdfhttps://regulations.justia.com/regulations/fedreg/2020/08/31/2020-11479.htmlRule - Amendments to Financial Disclosures About Acquired and Disposed Businesses2020-08-31T00:00:00-07:002020-08-31T00:00:00-07:002020-11479Rulehttps://www.govinfo.gov/content/pkg/FR-2020-08-31/pdf/2020-11479.pdfhttps://regulations.justia.com/regulations/fedreg/2020/08/28/2020-19156.htmlNotice - Sunshine Act Meetings2020-08-28T00:00:00-07:002020-08-28T00:00:00-07:002020-19156Noticehttps://www.govinfo.gov/content/pkg/FR-2020-08-28/pdf/2020-19156.pdfhttps://regulations.justia.com/regulations/fedreg/2020/08/28/2020-19076.htmlNotice - Sunshine Act Meetings2020-08-28T00:00:00-07:002020-08-28T00:00:00-07:002020-19076Noticehttps://www.govinfo.gov/content/pkg/FR-2020-08-28/pdf/2020-19076.pdfhttps://regulations.justia.com/regulations/fedreg/2020/08/28/2020-18402.htmlNotice - Proposed Collection; Comment Request2020-08-28T00:00:00-07:002020-08-28T00:00:00-07:002020-18402Noticehttps://www.govinfo.gov/content/pkg/FR-2020-08-28/pdf/2020-18402.pdfhttps://regulations.justia.com/regulations/fedreg/2020/08/27/2020-18832.htmlNotice - Self-Regulatory Organizations; Fixed Income Clearing Corporation; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Clarify the Government Securities Division Schedule of Timeframes and Schedule of GCF Repo® Timeframes and Make Other Changes2020-08-27T00:00:00-07:002020-08-27T00:00:00-07:002020-18832Noticehttps://www.govinfo.gov/content/pkg/FR-2020-08-27/pdf/2020-18832.pdfhttps://regulations.justia.com/regulations/fedreg/2020/08/27/2020-18831.htmlNotice - Self-Regulatory Organizations; NYSE National, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Its Schedule of Fees and Rebates2020-08-27T00:00:00-07:002020-08-27T00:00:00-07:002020-18831Noticehttps://www.govinfo.gov/content/pkg/FR-2020-08-27/pdf/2020-18831.pdfhttps://regulations.justia.com/regulations/fedreg/2020/08/27/2020-18830.htmlNotice - Self-Regulatory Organizations; Cboe Exchange, Inc.; Notice of Filing of Amendment No. 1 and Order Instituting Proceedings To Determine Whether to Approve or Disapprove a Proposed Rule Change, as Modified by Amendment No. 1, To Amend Rules 5.37, 5.38, and 5.73 Related to Auction Notification Messages and Index Combo Orders in SPX in the Automated Improvement Mechanism, Complex Automated Improvement Mechanism, and FLEX Automated Improvement Mechanism2020-08-27T00:00:00-07:002020-08-27T00:00:00-07:002020-18830Noticehttps://www.govinfo.gov/content/pkg/FR-2020-08-27/pdf/2020-18830.pdfhttps://regulations.justia.com/regulations/fedreg/2020/08/27/2020-18828.htmlNotice - Self-Regulatory Organizations; Cboe Exchange, Inc.; Notice of Filing of Amendment No. 1 and Order Instituting Proceedings To Determine Whether To Approve or Disapprove a Proposed Rule Change, as Modified by Amendment No. 1, To Amend Its Automated Price Improvement Auction Rules in Connection With Agency Order Size Requirements2020-08-27T00:00:00-07:002020-08-27T00:00:00-07:002020-18828Noticehttps://www.govinfo.gov/content/pkg/FR-2020-08-27/pdf/2020-18828.pdfhttps://regulations.justia.com/regulations/fedreg/2020/08/27/2020-18827.htmlNotice - Self-Regulatory Organizations; Cboe Exchange, Inc.; Notice of Filing of Amendment Nos. 1 and 2 and Order Instituting Proceedings To Determine Whether To Approve or Disapprove a Proposed Rule Change, as Modified by Amendment Nos. 1 and 2, To Amend Rules 5.37 and 5.73 Related to the Solicitation of Market Makers for SPX Initiating Orders in the Automated Improvement Mechanism and FLEX Automated Improvement Mechanism2020-08-27T00:00:00-07:002020-08-27T00:00:00-07:002020-18827Noticehttps://www.govinfo.gov/content/pkg/FR-2020-08-27/pdf/2020-18827.pdfhttps://regulations.justia.com/regulations/fedreg/2020/08/27/2020-18826.htmlNotice - Self-Regulatory Organizations; ICE Clear Credit LLC; Order Approving Proposed Rule Change Relating to the ICC Risk Management Framework, ICC Risk Management Model Description, ICC Risk Parameter Setting and Review Policy, ICC Stress Testing Framework, and ICC Liquidity Risk Management Framework2020-08-27T00:00:00-07:002020-08-27T00:00:00-07:002020-18826Noticehttps://www.govinfo.gov/content/pkg/FR-2020-08-27/pdf/2020-18826.pdfhttps://regulations.justia.com/regulations/fedreg/2020/08/27/2020-18808.htmlNotice - Proposal for OMB Review; Comment Request; Revision: Form N-142020-08-27T00:00:00-07:002020-08-27T00:00:00-07:002020-18808Noticehttps://www.govinfo.gov/content/pkg/FR-2020-08-27/pdf/2020-18808.pdfhttps://regulations.justia.com/regulations/fedreg/2020/08/27/2020-18803.htmlNotice - Submission for OMB Review; Comment Request2020-08-27T00:00:00-07:002020-08-27T00:00:00-07:002020-18803Noticehttps://www.govinfo.gov/content/pkg/FR-2020-08-27/pdf/2020-18803.pdfhttps://regulations.justia.com/regulations/fedreg/2020/08/27/2020-18802.htmlNotice - Submission for OMB Review; Comment Request2020-08-27T00:00:00-07:002020-08-27T00:00:00-07:002020-18802Noticehttps://www.govinfo.gov/content/pkg/FR-2020-08-27/pdf/2020-18802.pdfhttps://regulations.justia.com/regulations/fedreg/2020/08/25/2020-18563.htmlNotice - Self-Regulatory Organizations; NYSE Arca, Inc.; Order Granting Approval of a Proposed Rule Change, as Modified by Amendment No. 1, To List and Trade Shares of the AdvisorShares Pure US Cannabis ETF Under NYSE Arca Rule 8.600-E2020-08-25T00:00:00-07:002020-08-25T00:00:00-07:002020-18563Noticehttps://www.govinfo.gov/content/pkg/FR-2020-08-25/pdf/2020-18563.pdfhttps://regulations.justia.com/regulations/fedreg/2020/08/25/2020-18561.htmlNotice - Principal Funds, Inc., et al.; Notice of Application2020-08-25T00:00:00-07:002020-08-25T00:00:00-07:002020-18561Noticehttps://www.govinfo.gov/content/pkg/FR-2020-08-25/pdf/2020-18561.pdfhttps://regulations.justia.com/regulations/fedreg/2020/08/25/2020-18560.htmlNotice - Self-Regulatory Organizations; Fixed Income Clearing Corporation; Notice of Filing of Proposed Rule Change To Describe Key Components of the Mortgage-Backed Securities Division Stress Testing Program2020-08-25T00:00:00-07:002020-08-25T00:00:00-07:002020-18560Noticehttps://www.govinfo.gov/content/pkg/FR-2020-08-25/pdf/2020-18560.pdfhttps://regulations.justia.com/regulations/fedreg/2020/08/25/2020-18559.htmlNotice - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing of Proposed Rule Change To Amend Article IV, Section 4.05 of the Thirteenth Amended and Restated Operating Agreement of the Exchange2020-08-25T00:00:00-07:002020-08-25T00:00:00-07:002020-18559Noticehttps://www.govinfo.gov/content/pkg/FR-2020-08-25/pdf/2020-18559.pdfhttps://regulations.justia.com/regulations/fedreg/2020/08/25/2020-18558.htmlNotice - Self-Regulatory Organizations; Nasdaq BX, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend BX Pricing Schedule at Options 7, Section 2, and Options 7, Section 32020-08-25T00:00:00-07:002020-08-25T00:00:00-07:002020-18558Noticehttps://www.govinfo.gov/content/pkg/FR-2020-08-25/pdf/2020-18558.pdfhttps://regulations.justia.com/regulations/fedreg/2020/08/24/2020-18612.htmlNotice - Sunshine Act Meetings2020-08-24T00:00:00-07:002020-08-24T00:00:00-07:002020-18612Noticehttps://www.govinfo.gov/content/pkg/FR-2020-08-24/pdf/2020-18612.pdfhttps://regulations.justia.com/regulations/fedreg/2020/08/24/2020-18580.htmlNotice - Sunshine Act Meetings2020-08-24T00:00:00-07:002020-08-24T00:00:00-07:002020-18580Noticehttps://www.govinfo.gov/content/pkg/FR-2020-08-24/pdf/2020-18580.pdfhttps://regulations.justia.com/regulations/fedreg/2020/08/24/2020-18501.htmlNotice - Self-Regulatory Organizations; Cboe Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Its Fees Schedule To Adopt a New Fee Code Related to the Execution of an Equity Leg of a Stock-Option Order2020-08-24T00:00:00-07:002020-08-24T00:00:00-07:002020-18501Noticehttps://www.govinfo.gov/content/pkg/FR-2020-08-24/pdf/2020-18501.pdfhttps://regulations.justia.com/regulations/fedreg/2020/08/24/2020-18499.htmlNotice - Submission for OMB Review; Comment Request2020-08-24T00:00:00-07:002020-08-24T00:00:00-07:002020-18499Noticehttps://www.govinfo.gov/content/pkg/FR-2020-08-24/pdf/2020-18499.pdfhttps://regulations.justia.com/regulations/fedreg/2020/08/24/2020-18498.htmlNotice - Submission for OMB Review; Comment Request2020-08-24T00:00:00-07:002020-08-24T00:00:00-07:002020-18498Noticehttps://www.govinfo.gov/content/pkg/FR-2020-08-24/pdf/2020-18498.pdfhttps://regulations.justia.com/regulations/fedreg/2020/08/24/2020-18472.htmlNotice - Self-Regulatory Organizations; The Nasdaq Stock Market LLC; Notice of Withdrawal of a Proposed Rule Change To Adopt a New “Early Market On Close” Order Type2020-08-24T00:00:00-07:002020-08-24T00:00:00-07:002020-18472Noticehttps://www.govinfo.gov/content/pkg/FR-2020-08-24/pdf/2020-18472.pdfhttps://regulations.justia.com/regulations/fedreg/2020/08/24/2020-18471.htmlNotice - Self-Regulatory Organizations; The Nasdaq Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Rule 47592020-08-24T00:00:00-07:002020-08-24T00:00:00-07:002020-18471Noticehttps://www.govinfo.gov/content/pkg/FR-2020-08-24/pdf/2020-18471.pdfhttps://regulations.justia.com/regulations/fedreg/2020/08/24/2020-18469.htmlNotice - Self-Regulatory Organizations; Cboe EDGX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating To Amend its Fees Schedule2020-08-24T00:00:00-07:002020-08-24T00:00:00-07:002020-18469Noticehttps://www.govinfo.gov/content/pkg/FR-2020-08-24/pdf/2020-18469.pdfhttps://regulations.justia.com/regulations/fedreg/2020/08/24/2020-18467.htmlNotice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending the NYSE Arca Equities Fees and Charges2020-08-24T00:00:00-07:002020-08-24T00:00:00-07:002020-18467Noticehttps://www.govinfo.gov/content/pkg/FR-2020-08-24/pdf/2020-18467.pdfhttps://regulations.justia.com/regulations/fedreg/2020/08/24/2020-18465.htmlNotice - Self-Regulatory Organizations; The Nasdaq Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Rule 47592020-08-24T00:00:00-07:002020-08-24T00:00:00-07:002020-18465Noticehttps://www.govinfo.gov/content/pkg/FR-2020-08-24/pdf/2020-18465.pdfhttps://regulations.justia.com/regulations/fedreg/2020/08/24/2020-18464.htmlNotice - Self-Regulatory Organizations; Fixed Income Clearing Corporation; Order Approving Proposed Rule Change To Provide for a Passive Acknowledgement Process and Make Other Changes2020-08-24T00:00:00-07:002020-08-24T00:00:00-07:002020-18464Noticehttps://www.govinfo.gov/content/pkg/FR-2020-08-24/pdf/2020-18464.pdfhttps://regulations.justia.com/regulations/fedreg/2020/08/24/2020-18463.htmlNotice - Self-Regulatory Organizations; NYSE National, Inc.; Notice of Designation of a Longer Period for Commission Action on Proceedings to Determine Whether to Approve or Disapprove a Proposed Rule Change to Establish Fees for the NYSE National Integrated Feed2020-08-24T00:00:00-07:002020-08-24T00:00:00-07:002020-18463Noticehttps://www.govinfo.gov/content/pkg/FR-2020-08-24/pdf/2020-18463.pdfhttps://regulations.justia.com/regulations/fedreg/2020/08/24/2020-18462.htmlNotice - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Its Price List Regarding Port Fees2020-08-24T00:00:00-07:002020-08-24T00:00:00-07:002020-18462Noticehttps://www.govinfo.gov/content/pkg/FR-2020-08-24/pdf/2020-18462.pdfhttps://regulations.justia.com/regulations/fedreg/2020/08/24/2020-18461.htmlNotice - Self-Regulatory Organizations; The Options Clearing Corporation; Notice of Filing of Proposed Rule Change Concerning the Commingling of Certain Non-Customer Margin Assets with Clearing Fund Contributions in The Options Clearing Corporation's Account at the Federal Reserve Bank of Chicago2020-08-24T00:00:00-07:002020-08-24T00:00:00-07:002020-18461Noticehttps://www.govinfo.gov/content/pkg/FR-2020-08-24/pdf/2020-18461.pdfhttps://regulations.justia.com/regulations/fedreg/2020/08/21/2020-18401.htmlNotice - Proposed Collection; Comment Request2020-08-21T00:00:00-07:002020-08-21T00:00:00-07:002020-18401Noticehttps://www.govinfo.gov/content/pkg/FR-2020-08-21/pdf/2020-18401.pdfhttps://regulations.justia.com/regulations/fedreg/2020/08/21/2020-18356.htmlNotice - Self-Regulatory Organizations; Cboe BZX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating To Adopt Fees for a New Data Product on its Equity Options Platform To Be Known as Intraday Open-Close Data2020-08-21T00:00:00-07:002020-08-21T00:00:00-07:002020-18356Noticehttps://www.govinfo.gov/content/pkg/FR-2020-08-21/pdf/2020-18356.pdfhttps://regulations.justia.com/regulations/fedreg/2020/08/21/2020-18355.htmlNotice - Self-Regulatory Organizations; Nasdaq ISE, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Options 6, Section 5 (Transfer of Positions)2020-08-21T00:00:00-07:002020-08-21T00:00:00-07:002020-18355Noticehttps://www.govinfo.gov/content/pkg/FR-2020-08-21/pdf/2020-18355.pdfhttps://regulations.justia.com/regulations/fedreg/2020/08/21/2020-18354.htmlNotice - Self-Regulatory Organizations; Cboe C2 Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating To Adopt Fees for a Recently Adopted Data Product Known as Intraday Open-Close Data2020-08-21T00:00:00-07:002020-08-21T00:00:00-07:002020-18354Noticehttps://www.govinfo.gov/content/pkg/FR-2020-08-21/pdf/2020-18354.pdfhttps://regulations.justia.com/regulations/fedreg/2020/08/21/2020-18353.htmlNotice - Self-Regulatory Organizations; Cboe EDGX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating To Adopt Fees for a New Data Product on Its Equity Options Platform To Be Known as Intraday Open-Close Data2020-08-21T00:00:00-07:002020-08-21T00:00:00-07:002020-18353Noticehttps://www.govinfo.gov/content/pkg/FR-2020-08-21/pdf/2020-18353.pdfhttps://regulations.justia.com/regulations/fedreg/2020/08/21/2020-18352.htmlNotice - Self-Regulatory Organizations; The Nasdaq Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Options 6, Section 5 (Transfer of Positions)2020-08-21T00:00:00-07:002020-08-21T00:00:00-07:002020-18352Noticehttps://www.govinfo.gov/content/pkg/FR-2020-08-21/pdf/2020-18352.pdfhttps://regulations.justia.com/regulations/fedreg/2020/08/21/2020-18351.htmlNotice - Self-Regulatory Organizations; Cboe Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to Adopt Fees for a Recently Adopted Data Product Known as Intraday Open-Close Data2020-08-21T00:00:00-07:002020-08-21T00:00:00-07:002020-18351Noticehttps://www.govinfo.gov/content/pkg/FR-2020-08-21/pdf/2020-18351.pdfhttps://regulations.justia.com/regulations/fedreg/2020/08/21/2020-18350.htmlNotice - Self-Regulatory Organizations; Nasdaq BX, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Options 6, Section 5 (Transfer of Positions)2020-08-21T00:00:00-07:002020-08-21T00:00:00-07:002020-18350Noticehttps://www.govinfo.gov/content/pkg/FR-2020-08-21/pdf/2020-18350.pdfhttps://regulations.justia.com/regulations/fedreg/2020/08/21/2020-18349.htmlNotice - Self-Regulatory Organizations; Investors Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend IEX Rules 2.220(a)(7) and 11.410(a) To Include MEMX LLC in the List of Away Trading Centers to Which the Exchange Routes and the Market Data Sources the Exchange Will Use To Determine MEMX's Top of Book Quotation2020-08-21T00:00:00-07:002020-08-21T00:00:00-07:002020-18349Noticehttps://www.govinfo.gov/content/pkg/FR-2020-08-21/pdf/2020-18349.pdfhttps://regulations.justia.com/regulations/fedreg/2020/08/21/2020-18348.htmlNotice - Self-Regulatory Organizations; Nasdaq PHLX LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Options 6, Section 5 (Transfer of Positions)2020-08-21T00:00:00-07:002020-08-21T00:00:00-07:002020-18348Noticehttps://www.govinfo.gov/content/pkg/FR-2020-08-21/pdf/2020-18348.pdfhttps://regulations.justia.com/regulations/fedreg/2020/08/21/2020-18347.htmlNotice - Self-Regulatory Organizations; Nasdaq GEMX, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Options 6, Section 5 (Transfer of Positions)2020-08-21T00:00:00-07:002020-08-21T00:00:00-07:002020-18347Noticehttps://www.govinfo.gov/content/pkg/FR-2020-08-21/pdf/2020-18347.pdfhttps://regulations.justia.com/regulations/fedreg/2020/08/21/2020-18345.htmlNotice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Designation of a Longer Period for Commission Action on a Proposed Rule Change To Amend NYSE Arca Rules 5.2-E(j)(3), 5.2-E(j)(8), 5.5-E(g)(2), 8.600-E, and 8.900-E2020-08-21T00:00:00-07:002020-08-21T00:00:00-07:002020-18345Noticehttps://www.govinfo.gov/content/pkg/FR-2020-08-21/pdf/2020-18345.pdfhttps://regulations.justia.com/regulations/fedreg/2020/08/21/2020-18344.htmlNotice - Self-Regulatory Organizations; Nasdaq MRX, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Options 6, Section 5 (Transfer of Positions)2020-08-21T00:00:00-07:002020-08-21T00:00:00-07:002020-18344Noticehttps://www.govinfo.gov/content/pkg/FR-2020-08-21/pdf/2020-18344.pdfhttps://regulations.justia.com/regulations/fedreg/2020/08/21/2020-18343.htmlNotice - Self-Regulatory Organizations; MEMX LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Various Exchange Rules To Make Changes To Proposed Exchange System Functionality Prior to the Launch of the Exchange2020-08-21T00:00:00-07:002020-08-21T00:00:00-07:002020-18343Noticehttps://www.govinfo.gov/content/pkg/FR-2020-08-21/pdf/2020-18343.pdfhttps://regulations.justia.com/regulations/fedreg/2020/08/21/2020-18336.htmlNotice - Owl Rock Capital Corporation II, et al.2020-08-21T00:00:00-07:002020-08-21T00:00:00-07:002020-18336Noticehttps://www.govinfo.gov/content/pkg/FR-2020-08-21/pdf/2020-18336.pdfhttps://regulations.justia.com/regulations/fedreg/2020/08/20/2020-18204.htmlNotice - Self-Regulatory Organizations; MIAX PEARL, LLC; Order Approving a Proposed Rule Change, as Modified by Amendment No. 1, To Establish Rules Governing the Trading of Equity Securities2020-08-20T00:00:00-07:002020-08-20T00:00:00-07:002020-18204Noticehttps://www.govinfo.gov/content/pkg/FR-2020-08-20/pdf/2020-18204.pdfhttps://regulations.justia.com/regulations/fedreg/2020/08/20/2020-18203.htmlNotice - Self-Regulatory Organizations; Nasdaq ISE, LLC; Notice of Filing and Order Granting Accelerated Approval of Proposed Rule Change To Add the Consolidated Audit Trail (“CAT”) Industry Member Compliance Rules to the List of Minor Rule Violations in its Rulebook2020-08-20T00:00:00-07:002020-08-20T00:00:00-07:002020-18203Noticehttps://www.govinfo.gov/content/pkg/FR-2020-08-20/pdf/2020-18203.pdfhttps://regulations.justia.com/regulations/fedreg/2020/08/20/2020-18202.htmlNotice - Self-Regulatory Organizations; Nasdaq BX, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the Exchange's Transaction Credits, at Equity 7, Section 118(a)2020-08-20T00:00:00-07:002020-08-20T00:00:00-07:002020-18202Noticehttps://www.govinfo.gov/content/pkg/FR-2020-08-20/pdf/2020-18202.pdfhttps://regulations.justia.com/regulations/fedreg/2020/08/20/2020-18200.htmlNotice - Self-Regulatory Organizations; Cboe Exchange, Inc.; Notice of Filing of a Proposed Rule Change To Make Qualified Contingent Cross Orders Available for FLEX Trading2020-08-20T00:00:00-07:002020-08-20T00:00:00-07:002020-18200Noticehttps://www.govinfo.gov/content/pkg/FR-2020-08-20/pdf/2020-18200.pdfhttps://regulations.justia.com/regulations/fedreg/2020/08/20/2020-18199.htmlNotice - Self-Regulatory Organizations; Fixed Income Clearing Corporation; Notice of Filing of Proposed Rule Change, as Modified by Amendment No. 1, To Introduce the Margin Liquidity Adjustment Charge and Include a Bid-Ask Risk Charge in the VaR Charges2020-08-20T00:00:00-07:002020-08-20T00:00:00-07:002020-18199Noticehttps://www.govinfo.gov/content/pkg/FR-2020-08-20/pdf/2020-18199.pdfhttps://regulations.justia.com/regulations/fedreg/2020/08/20/2020-18198.htmlNotice - Self-Regulatory Organizations; National Securities Clearing Corporation; Notice of Filing of Proposed Rule Change, as Modified by Amendment No. 1, To Introduce the Margin Liquidity Adjustment Charge and Include a Bid-Ask Risk Charge in the VaR Charge2020-08-20T00:00:00-07:002020-08-20T00:00:00-07:002020-18198Noticehttps://www.govinfo.gov/content/pkg/FR-2020-08-20/pdf/2020-18198.pdfhttps://regulations.justia.com/regulations/fedreg/2020/08/19/2020-18218.htmlNotice - Sunshine Act Meetings2020-08-19T00:00:00-07:002020-08-19T00:00:00-07:002020-18218Noticehttps://www.govinfo.gov/content/pkg/FR-2020-08-19/pdf/2020-18218.pdfhttps://regulations.justia.com/regulations/fedreg/2020/08/19/2020-18101.htmlNotice - Self-Regulatory Organizations; Cboe BYX Exchange, Inc.; Notice of Filing of a Proposed Rule Change To Amend the Fifth Amended and Restated Bylaws of the Exchange's Parent Corporation, Cboe Global Markets, Inc.2020-08-19T00:00:00-07:002020-08-19T00:00:00-07:002020-18101Noticehttps://www.govinfo.gov/content/pkg/FR-2020-08-19/pdf/2020-18101.pdfhttps://regulations.justia.com/regulations/fedreg/2020/08/19/2020-18100.htmlNotice - Self-Regulatory Organizations; Cboe EDGA Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the Fee Schedule2020-08-19T00:00:00-07:002020-08-19T00:00:00-07:002020-18100Noticehttps://www.govinfo.gov/content/pkg/FR-2020-08-19/pdf/2020-18100.pdfhttps://regulations.justia.com/regulations/fedreg/2020/08/19/2020-18099.htmlNotice - Self-Regulatory Organizations; Cboe BZX Exchange, Inc.; Notice of Filing of a Proposed Rule Change To Amend the Fifth Amended and Restated Bylaws of the Exchange's Parent Corporation, Cboe Global Markets, Inc.2020-08-19T00:00:00-07:002020-08-19T00:00:00-07:002020-18099Noticehttps://www.govinfo.gov/content/pkg/FR-2020-08-19/pdf/2020-18099.pdfhttps://regulations.justia.com/regulations/fedreg/2020/08/19/2020-18098.htmlNotice - Self-Regulatory Organizations; Cboe EDGX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the Fee Schedule2020-08-19T00:00:00-07:002020-08-19T00:00:00-07:002020-18098Noticehttps://www.govinfo.gov/content/pkg/FR-2020-08-19/pdf/2020-18098.pdfhttps://regulations.justia.com/regulations/fedreg/2020/08/19/2020-18096.htmlNotice - Self-Regulatory Organizations; Cboe EDGX Exchange, Inc.; Notice of Filing of a Proposed Rule Change To Amend the Fifth Amended and Restated Bylaws of the Exchange's Parent Corporation, Cboe Global Markets, Inc.2020-08-19T00:00:00-07:002020-08-19T00:00:00-07:002020-18096Noticehttps://www.govinfo.gov/content/pkg/FR-2020-08-19/pdf/2020-18096.pdfhttps://regulations.justia.com/regulations/fedreg/2020/08/19/2020-18095.htmlNotice - Self-Regulatory Organizations; Cboe Exchange, Inc.; Notice of Filing of a Proposed Rule Change To Amend the Fifth Amended and Restated Bylaws of the Exchange's Parent Corporation, Cboe Global Markets, Inc.2020-08-19T00:00:00-07:002020-08-19T00:00:00-07:002020-18095Noticehttps://www.govinfo.gov/content/pkg/FR-2020-08-19/pdf/2020-18095.pdfhttps://regulations.justia.com/regulations/fedreg/2020/08/19/2020-18094.htmlNotice - Self-Regulatory Organizations; Cboe C2 Exchange, Inc.; Notice of Filing of a Proposed Rule Change to Amend the Fifth Amended and Restated Bylaws of the Exchange's Parent Corporation, Cboe Global Markets, Inc.2020-08-19T00:00:00-07:002020-08-19T00:00:00-07:002020-18094Noticehttps://www.govinfo.gov/content/pkg/FR-2020-08-19/pdf/2020-18094.pdfhttps://regulations.justia.com/regulations/fedreg/2020/08/19/2020-18090.htmlNotice - Self-Regulatory Organizations; Cboe EDGA Exchange, Inc.; Notice of Filing of a Proposed Rule Change To Amend the Fifth Amended and Restated Bylaws of the Exchange's Parent Corporation, Cboe Global Markets, Inc.2020-08-19T00:00:00-07:002020-08-19T00:00:00-07:002020-18090Noticehttps://www.govinfo.gov/content/pkg/FR-2020-08-19/pdf/2020-18090.pdfhttps://regulations.justia.com/regulations/fedreg/2020/08/19/2020-18089.htmlNotice - Self-Regulatory Organizations; Cboe BZX Exchange, Inc.; Notice of Designation of a Longer Period for Commission Action on a Proposed Rule Change, as Modified by Amendment No. 1, To List and Trade Shares of the 2x Long VIX Futures ETF, a Series of VS Trust, Under Rule 14.11(f)(4) (“Trust Issued Receipts”)2020-08-19T00:00:00-07:002020-08-19T00:00:00-07:002020-18089Noticehttps://www.govinfo.gov/content/pkg/FR-2020-08-19/pdf/2020-18089.pdfhttps://regulations.justia.com/regulations/fedreg/2020/08/19/2020-17967.htmlNotice - Self-Regulatory Organizations; BOX Exchange LLC; Notice of Filing of Amendment No. 1 and Order Instituting Proceedings To Determine Whether To Approve or Disapprove a Proposed Rule Change, as Modified by Amendment No. 1, To Adopt Rules Governing the Trading of Equity Securities on the Exchange Through a Facility of the Exchange Known as the Boston Security Token Exchange2020-08-19T00:00:00-07:002020-08-19T00:00:00-07:002020-17967Noticehttps://www.govinfo.gov/content/pkg/FR-2020-08-19/pdf/2020-17967.pdfhttps://regulations.justia.com/regulations/fedreg/2020/08/18/2020-18002.htmlNotice - Proposed Collection; Comment Request2020-08-18T00:00:00-07:002020-08-18T00:00:00-07:002020-18002Noticehttps://www.govinfo.gov/content/pkg/FR-2020-08-18/pdf/2020-18002.pdfhttps://regulations.justia.com/regulations/fedreg/2020/08/18/2020-18001.htmlNotice - Proposed Collection; Comment Request2020-08-18T00:00:00-07:002020-08-18T00:00:00-07:002020-18001Noticehttps://www.govinfo.gov/content/pkg/FR-2020-08-18/pdf/2020-18001.pdfhttps://regulations.justia.com/regulations/fedreg/2020/08/18/2020-18000.htmlNotice - Proposed Collection; Comment Request2020-08-18T00:00:00-07:002020-08-18T00:00:00-07:002020-18000Noticehttps://www.govinfo.gov/content/pkg/FR-2020-08-18/pdf/2020-18000.pdfhttps://regulations.justia.com/regulations/fedreg/2020/08/18/2020-17999.htmlNotice - Proposed Collection; Comment Request2020-08-18T00:00:00-07:002020-08-18T00:00:00-07:002020-17999Noticehttps://www.govinfo.gov/content/pkg/FR-2020-08-18/pdf/2020-17999.pdfhttps://regulations.justia.com/regulations/fedreg/2020/08/18/2020-17996.htmlNotice - Proposed Collection; Comment Request2020-08-18T00:00:00-07:002020-08-18T00:00:00-07:002020-17996Noticehttps://www.govinfo.gov/content/pkg/FR-2020-08-18/pdf/2020-17996.pdfhttps://regulations.justia.com/regulations/fedreg/2020/08/18/2020-17993.htmlNotice - Proposed Collection; Comment Request2020-08-18T00:00:00-07:002020-08-18T00:00:00-07:002020-17993Noticehttps://www.govinfo.gov/content/pkg/FR-2020-08-18/pdf/2020-17993.pdfhttps://regulations.justia.com/regulations/fedreg/2020/08/18/2020-17968.htmlNotice - Self-Regulatory Organizations; BOX Exchange LLC; Notice of Filing of Amendment No. 1 and Order Instituting Proceedings To Determine Whether To Approve or Disapprove a Proposed Rule Change, as Modified by Amendment No. 1, in Connection With the Proposed Establishment of the Boston Security Token Exchange LLC as a Facility of the Exchange2020-08-18T00:00:00-07:002020-08-18T00:00:00-07:002020-17968Noticehttps://www.govinfo.gov/content/pkg/FR-2020-08-18/pdf/2020-17968.pdfhttps://regulations.justia.com/regulations/fedreg/2020/08/18/2020-17966.htmlNotice - Self-Regulatory Organizations; The Options Clearing Corporation; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Revise the Options Clearing Corporation's Schedule of Fees2020-08-18T00:00:00-07:002020-08-18T00:00:00-07:002020-17966Noticehttps://www.govinfo.gov/content/pkg/FR-2020-08-18/pdf/2020-17966.pdfhttps://regulations.justia.com/regulations/fedreg/2020/08/18/2020-17965.htmlNotice - Self-Regulatory Organizations; New York Stock Exchange LLC, NYSE Chicago, Inc., NYSE American LLC, NYSE Arca, Inc., and NYSE National, Inc.; Notice of Designation of a Longer Period for Commission Action on Proceedings To Determine Whether To Approve or Disapprove Proposed Rule Changes, as Modified by Amendment No. 1, To Establish a Schedule of Wireless Connectivity Fees and Charges With Wireless Connections Between the Mahwah, New Jersey Data Center and Other Data Centers2020-08-18T00:00:00-07:002020-08-18T00:00:00-07:002020-17965Noticehttps://www.govinfo.gov/content/pkg/FR-2020-08-18/pdf/2020-17965.pdfhttps://regulations.justia.com/regulations/fedreg/2020/08/18/2020-17964.htmlNotice - Self-Regulatory Organizations; New York Stock Exchange LLC, NYSE Chicago, Inc., NYSE American LLC, NYSE Arca, Inc., and NYSE National, Inc.; Notice of Designation of a Longer Period for Commission Action on Proceedings To Determine Whether To Approve or Disapprove Proposed Rule Changes, as Modified by Amendment No. 1, To Amend the Schedule of Wireless Connectivity Fees and Charges To Add Wireless Connectivity Services2020-08-18T00:00:00-07:002020-08-18T00:00:00-07:002020-17964Noticehttps://www.govinfo.gov/content/pkg/FR-2020-08-18/pdf/2020-17964.pdfhttps://regulations.justia.com/regulations/fedreg/2020/08/18/2020-17963.htmlNotice - Self-Regulatory Organizations; Miami International Securities Exchange LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Its Fee Schedule2020-08-18T00:00:00-07:002020-08-18T00:00:00-07:002020-17963Noticehttps://www.govinfo.gov/content/pkg/FR-2020-08-18/pdf/2020-17963.pdfhttps://regulations.justia.com/regulations/fedreg/2020/08/18/2020-17962.htmlNotice - Self-Regulatory Organizations; Cboe Exchange, Inc.; Notice of Filing of a Proposed Rule Change To Amend Its Rules Relating to the Processing of Auction Responses2020-08-18T00:00:00-07:002020-08-18T00:00:00-07:002020-17962Noticehttps://www.govinfo.gov/content/pkg/FR-2020-08-18/pdf/2020-17962.pdfhttps://regulations.justia.com/regulations/fedreg/2020/08/18/2020-17961.htmlNotice - Self-Regulatory Organizations; Nasdaq PHLX LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Memorialize Phlx's Business Continuity and Disaster Recovery for Its Trading Floor2020-08-18T00:00:00-07:002020-08-18T00:00:00-07:002020-17961Noticehttps://www.govinfo.gov/content/pkg/FR-2020-08-18/pdf/2020-17961.pdfhttps://regulations.justia.com/regulations/fedreg/2020/08/17/2020-17828.htmlNotice - Self-Regulatory Organizations; BOX Exchange LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the Rule 16000 Series, the Exchange's Compliance Rule Regarding the National Market System Plan Governing the Consolidated Audit Trail To Be Consistent With an Amendment to the CAT NMS Plan Recently Approved by the Commission2020-08-17T00:00:00-07:002020-08-17T00:00:00-07:002020-17828Noticehttps://www.govinfo.gov/content/pkg/FR-2020-08-17/pdf/2020-17828.pdfhttps://regulations.justia.com/regulations/fedreg/2020/08/17/2020-17823.htmlNotice - Self-Regulatory Organizations; Cboe BZX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating To Amend Its Fees Schedule2020-08-17T00:00:00-07:002020-08-17T00:00:00-07:002020-17823Noticehttps://www.govinfo.gov/content/pkg/FR-2020-08-17/pdf/2020-17823.pdfhttps://regulations.justia.com/regulations/fedreg/2020/08/14/2020-17927.htmlNotice - Sunshine Act Meetings2020-08-14T00:00:00-07:002020-08-14T00:00:00-07:002020-17927Noticehttps://www.govinfo.gov/content/pkg/FR-2020-08-14/pdf/2020-17927.pdfhttps://regulations.justia.com/regulations/fedreg/2020/08/14/2020-17759.htmlNotice - Self-Regulatory Organizations; Cboe EDGX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Rule 20.10 Concerning Off-Floor Transfers2020-08-14T00:00:00-07:002020-08-14T00:00:00-07:002020-17759Noticehttps://www.govinfo.gov/content/pkg/FR-2020-08-14/pdf/2020-17759.pdfhttps://regulations.justia.com/regulations/fedreg/2020/08/14/2020-17758.htmlNotice - Self-Regulatory Organizations; Cboe BZX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Rule 20.10 Concerning Off-Floor Transfers2020-08-14T00:00:00-07:002020-08-14T00:00:00-07:002020-17758Noticehttps://www.govinfo.gov/content/pkg/FR-2020-08-14/pdf/2020-17758.pdfhttps://regulations.justia.com/regulations/fedreg/2020/08/14/2020-17757.htmlNotice - Self-Regulatory Organizations; Cboe C2 Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Rule 6.61 Concerning Off-Floor Transfers2020-08-14T00:00:00-07:002020-08-14T00:00:00-07:002020-17757Noticehttps://www.govinfo.gov/content/pkg/FR-2020-08-14/pdf/2020-17757.pdfhttps://regulations.justia.com/regulations/fedreg/2020/08/14/2020-17756.htmlNotice - Self-Regulatory Organizations; Cboe Exchange, Inc.; Notice of Designation of a Longer Period for Commission Action on a Proposed Rule Change, as Modified by Amendment No. 1, To Amend Rule 5.242020-08-14T00:00:00-07:002020-08-14T00:00:00-07:002020-17756Noticehttps://www.govinfo.gov/content/pkg/FR-2020-08-14/pdf/2020-17756.pdfhttps://regulations.justia.com/regulations/fedreg/2020/08/14/2020-17755.htmlNotice - Self-Regulatory Organizations; Nasdaq BX, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Rule 4764 and Rule 47652020-08-14T00:00:00-07:002020-08-14T00:00:00-07:002020-17755Noticehttps://www.govinfo.gov/content/pkg/FR-2020-08-14/pdf/2020-17755.pdfhttps://regulations.justia.com/regulations/fedreg/2020/08/14/2020-17754.htmlNotice - Self-Regulatory Organizations; Nasdaq PHLX LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Rule 3316 and Rule 3215 Commentary2020-08-14T00:00:00-07:002020-08-14T00:00:00-07:002020-17754Noticehttps://www.govinfo.gov/content/pkg/FR-2020-08-14/pdf/2020-17754.pdfhttps://regulations.justia.com/regulations/fedreg/2020/08/14/2020-17753.htmlNotice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Certain Changes Regarding the Underlying Benchmark for the ProShares Ultra Bloomberg Crude Oil ETF and ProShares UltraShort Bloomberg Crude Oil ETF2020-08-14T00:00:00-07:002020-08-14T00:00:00-07:002020-17753Noticehttps://www.govinfo.gov/content/pkg/FR-2020-08-14/pdf/2020-17753.pdfhttps://regulations.justia.com/regulations/fedreg/2020/08/14/2020-17745.htmlNotice - Self-Regulatory Organizations; The Options Clearing Corporation; Notice of Filing of Advance Notice Concerning Proposed Changes To Enhance OCC's Stock Loan Close-Out Process2020-08-14T00:00:00-07:002020-08-14T00:00:00-07:002020-17745Noticehttps://www.govinfo.gov/content/pkg/FR-2020-08-14/pdf/2020-17745.pdfhttps://regulations.justia.com/regulations/fedreg/2020/08/13/2020-17670.htmlNotice - Self-Regulatory Organizations; MEMX LLC; Notice of Filing and Order Granting Accelerated Approval of a Proposed Rule Change To Amend Rule 8.15 and To Add the Consolidated Audit Trail Industry Member Compliance Rules to the List of Minor Rule Violations in Rule 8.15.012020-08-13T00:00:00-07:002020-08-13T00:00:00-07:002020-17670Noticehttps://www.govinfo.gov/content/pkg/FR-2020-08-13/pdf/2020-17670.pdfhttps://regulations.justia.com/regulations/fedreg/2020/08/13/2020-17669.htmlNotice - Self-Regulatory Organizations; Cboe Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Rule 5.34 (Order and Quote Price Protection Mechanisms and Risk Controls) in Connection With Sell Market Orders in No-Bid Series2020-08-13T00:00:00-07:002020-08-13T00:00:00-07:002020-17669Noticehttps://www.govinfo.gov/content/pkg/FR-2020-08-13/pdf/2020-17669.pdfhttps://regulations.justia.com/regulations/fedreg/2020/08/13/2020-17352.htmlNotice - Self-Regulatory Organizations; Cboe BZX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the Options Regulatory Fee2020-08-13T00:00:00-07:002020-08-13T00:00:00-07:002020-17352Noticehttps://www.govinfo.gov/content/pkg/FR-2020-08-13/pdf/2020-17352.pdfhttps://regulations.justia.com/regulations/fedreg/2020/08/12/2020-17564.htmlNotice - Self-Regulatory Organizations; MIAX PEARL, LLC; Notice of Designation of Longer Period for Commission Action on Proceedings To Determine Whether To Approve or Disapprove a Proposed Rule Change, as Modified by Amendment No. 1, To Establish Rules Governing the Trading of Equity Securities2020-08-12T00:00:00-07:002020-08-12T00:00:00-07:002020-17564Noticehttps://www.govinfo.gov/content/pkg/FR-2020-08-12/pdf/2020-17564.pdfhttps://regulations.justia.com/regulations/fedreg/2020/08/12/2020-17563.htmlNotice - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing of Proposed Rule Change To Amend Rule 1222020-08-12T00:00:00-07:002020-08-12T00:00:00-07:002020-17563Noticehttps://www.govinfo.gov/content/pkg/FR-2020-08-12/pdf/2020-17563.pdfhttps://regulations.justia.com/regulations/fedreg/2020/08/12/2020-17562.htmlNotice - Self-Regulatory Organizations; New York Stock Exchange LLC; Order Granting Approval of a Proposed Rule Change To Amend Rules 7.36 and 7.37 Relating to Setter Priority and Allocation2020-08-12T00:00:00-07:002020-08-12T00:00:00-07:002020-17562Noticehttps://www.govinfo.gov/content/pkg/FR-2020-08-12/pdf/2020-17562.pdfhttps://regulations.justia.com/regulations/fedreg/2020/08/12/2020-17561.htmlNotice - Self-Regulatory Organizations; Cboe EDGX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating To Introduce a New Data Product To Be Known As Intraday Open-Close Data2020-08-12T00:00:00-07:002020-08-12T00:00:00-07:002020-17561Noticehttps://www.govinfo.gov/content/pkg/FR-2020-08-12/pdf/2020-17561.pdfhttps://regulations.justia.com/regulations/fedreg/2020/08/12/2020-17560.htmlNotice - Self-Regulatory Organizations; Cboe BZX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating To Introduce a New Data Product To Be Known As Intraday Open-Close Data2020-08-12T00:00:00-07:002020-08-12T00:00:00-07:002020-17560Noticehttps://www.govinfo.gov/content/pkg/FR-2020-08-12/pdf/2020-17560.pdfhttps://regulations.justia.com/regulations/fedreg/2020/08/12/2020-17559.htmlNotice - Self-Regulatory Organizations; Cboe C2 Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating To Introduce a New Data Product To Be Known as Intraday Open-Close Data2020-08-12T00:00:00-07:002020-08-12T00:00:00-07:002020-17559Noticehttps://www.govinfo.gov/content/pkg/FR-2020-08-12/pdf/2020-17559.pdfhttps://regulations.justia.com/regulations/fedreg/2020/08/12/2020-17558.htmlNotice - Self-Regulatory Organizations; Cboe Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating To Introduce a New Data Product To Be Known as Intraday Open-Close Data2020-08-12T00:00:00-07:002020-08-12T00:00:00-07:002020-17558Noticehttps://www.govinfo.gov/content/pkg/FR-2020-08-12/pdf/2020-17558.pdfhttps://regulations.justia.com/regulations/fedreg/2020/08/12/2020-17557.htmlNotice - Self-Regulatory Organizations; ICE Clear Credit LLC; Notice of Filing of Proposed Rule Change Relating to the ICC Risk Management Model Description2020-08-12T00:00:00-07:002020-08-12T00:00:00-07:002020-17557Noticehttps://www.govinfo.gov/content/pkg/FR-2020-08-12/pdf/2020-17557.pdfhttps://regulations.justia.com/regulations/fedreg/2020/08/12/2020-17556.htmlNotice - Self-Regulatory Organizations; NYSE American LLC; Notice of Filing and Immediate Effectiveness of Proposed Change To Amend the NYSE American Options Fee Schedule2020-08-12T00:00:00-07:002020-08-12T00:00:00-07:002020-17556Noticehttps://www.govinfo.gov/content/pkg/FR-2020-08-12/pdf/2020-17556.pdfhttps://regulations.justia.com/regulations/fedreg/2020/08/11/2020-17456.htmlNotice - Self-Regulatory Organizations; NYSE American LLC; Notice of Filing and Immediate Effectiveness of Proposed Change To Modify the NYSE American Options Fee Schedule2020-08-11T00:00:00-07:002020-08-11T00:00:00-07:002020-17456Noticehttps://www.govinfo.gov/content/pkg/FR-2020-08-11/pdf/2020-17456.pdfhttps://regulations.justia.com/regulations/fedreg/2020/08/11/2020-17455.htmlNotice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Modify the NYSE Arca Options Fee Schedule2020-08-11T00:00:00-07:002020-08-11T00:00:00-07:002020-17455Noticehttps://www.govinfo.gov/content/pkg/FR-2020-08-11/pdf/2020-17455.pdfhttps://regulations.justia.com/regulations/fedreg/2020/08/11/2020-17454.htmlNotice - Self-Regulatory Organizations; Municipal Securities Rulemaking Board; Order Granting Approval of a Proposed Rule Change Consisting of Amendments to MSRB Rules A-3 and A-6 That Are Designed To Improve Board Governance2020-08-11T00:00:00-07:002020-08-11T00:00:00-07:002020-17454Noticehttps://www.govinfo.gov/content/pkg/FR-2020-08-11/pdf/2020-17454.pdfhttps://regulations.justia.com/regulations/fedreg/2020/08/11/2020-17453.htmlNotice - Self-Regulatory Organizations; MEMX LLC; Notice of Filing of Proposed Minor Rule Violation Plan2020-08-11T00:00:00-07:002020-08-11T00:00:00-07:002020-17453Noticehttps://www.govinfo.gov/content/pkg/FR-2020-08-11/pdf/2020-17453.pdfhttps://regulations.justia.com/regulations/fedreg/2020/08/11/2020-17452.htmlNotice - Self-Regulatory Organizations; NYSE American LLC; Notice of Filing and Immediate Effectiveness of Proposed Change To Amend the NYSE American Options Fee Schedule2020-08-11T00:00:00-07:002020-08-11T00:00:00-07:002020-17452Noticehttps://www.govinfo.gov/content/pkg/FR-2020-08-11/pdf/2020-17452.pdfhttps://regulations.justia.com/regulations/fedreg/2020/08/10/2020-17355.htmlNotice - Self-Regulatory Organizations; Nasdaq BX, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Various BX Rules in Connection With a Technology Migration2020-08-10T00:00:00-07:002020-08-10T00:00:00-07:002020-17355Noticehttps://www.govinfo.gov/content/pkg/FR-2020-08-10/pdf/2020-17355.pdfhttps://regulations.justia.com/regulations/fedreg/2020/08/10/2020-17353.htmlNotice - Self-Regulatory Organizations; Cboe BZX Exchange, Inc.; Order Instituting Proceedings To Determine Whether to Approve or Disapprove a Proposed Rule Change Relating to Rule 14.11, Other Securities, To Modify a Continued Listing Criterion for Certain Exchange-Traded Products2020-08-10T00:00:00-07:002020-08-10T00:00:00-07:002020-17353Noticehttps://www.govinfo.gov/content/pkg/FR-2020-08-10/pdf/2020-17353.pdfhttps://regulations.justia.com/regulations/fedreg/2020/08/10/2020-17351.htmlNotice - Self-Regulatory Organizations; Cboe C2 Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the Options Regulatory Fee2020-08-10T00:00:00-07:002020-08-10T00:00:00-07:002020-17351Noticehttps://www.govinfo.gov/content/pkg/FR-2020-08-10/pdf/2020-17351.pdfhttps://regulations.justia.com/regulations/fedreg/2020/08/10/2020-17350.htmlNotice - Self-Regulatory Organizations; Cboe Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the Options Regulatory Fee2020-08-10T00:00:00-07:002020-08-10T00:00:00-07:002020-17350Noticehttps://www.govinfo.gov/content/pkg/FR-2020-08-10/pdf/2020-17350.pdfhttps://regulations.justia.com/regulations/fedreg/2020/08/10/2020-17349.htmlNotice - Self-Regulatory Organizations; NYSE Chicago, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Governing Liability of Directors and of the Exchange2020-08-10T00:00:00-07:002020-08-10T00:00:00-07:002020-17349Noticehttps://www.govinfo.gov/content/pkg/FR-2020-08-10/pdf/2020-17349.pdfhttps://regulations.justia.com/regulations/fedreg/2020/08/10/2020-17348.htmlNotice - Self-Regulatory Organizations; The Nasdaq Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the Exchange's Compliance Rule Under General 7 of the Exchange's Rulebook2020-08-10T00:00:00-07:002020-08-10T00:00:00-07:002020-17348Noticehttps://www.govinfo.gov/content/pkg/FR-2020-08-10/pdf/2020-17348.pdfhttps://regulations.justia.com/regulations/fedreg/2020/08/10/2020-17347.htmlNotice - Self-Regulatory Organizations; Investors Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the Rule Series 11.600, the Exchange's Compliance Rule Regarding the National Market System Plan Governing the Consolidated Audit Trail to be Consistent With an Amendment Recently Approved by the Commission2020-08-10T00:00:00-07:002020-08-10T00:00:00-07:002020-17347Noticehttps://www.govinfo.gov/content/pkg/FR-2020-08-10/pdf/2020-17347.pdfhttps://regulations.justia.com/regulations/fedreg/2020/08/10/2020-17346.htmlNotice - Self-Regulatory Organizations; LCH SA; Notice of Filing of Proposed Rule Change, as Modified by Amendment No. 1, Relating to LCH SA's Governance Arrangements2020-08-10T00:00:00-07:002020-08-10T00:00:00-07:002020-17346Noticehttps://www.govinfo.gov/content/pkg/FR-2020-08-10/pdf/2020-17346.pdfhttps://regulations.justia.com/regulations/fedreg/2020/08/07/2020-17406.htmlNotice - Sunshine Act Meetings2020-08-07T00:00:00-07:002020-08-07T00:00:00-07:002020-17406Noticehttps://www.govinfo.gov/content/pkg/FR-2020-08-07/pdf/2020-17406.pdfhttps://regulations.justia.com/regulations/fedreg/2020/08/07/2020-17303.htmlNotice - Self-Regulatory Organizations; The Nasdaq Stock Market LLC; Notice of Filing of a Proposed Rule Change To Amend Nasdaq Rule 57042020-08-07T00:00:00-07:002020-08-07T00:00:00-07:002020-17303Noticehttps://www.govinfo.gov/content/pkg/FR-2020-08-07/pdf/2020-17303.pdfhttps://regulations.justia.com/regulations/fedreg/2020/08/07/2020-17260.htmlNotice - Submission for OMB Review; Comment Request2020-08-07T00:00:00-07:002020-08-07T00:00:00-07:002020-17260Noticehttps://www.govinfo.gov/content/pkg/FR-2020-08-07/pdf/2020-17260.pdfhttps://regulations.justia.com/regulations/fedreg/2020/08/07/2020-17259.htmlNotice - Submission for OMB Review; Comment Request2020-08-07T00:00:00-07:002020-08-07T00:00:00-07:002020-17259Noticehttps://www.govinfo.gov/content/pkg/FR-2020-08-07/pdf/2020-17259.pdfhttps://regulations.justia.com/regulations/fedreg/2020/08/07/2020-17258.htmlNotice - Submission for OMB review; Comment Request2020-08-07T00:00:00-07:002020-08-07T00:00:00-07:002020-17258Noticehttps://www.govinfo.gov/content/pkg/FR-2020-08-07/pdf/2020-17258.pdfhttps://regulations.justia.com/regulations/fedreg/2020/08/07/2020-17257.htmlNotice - Submission for OMB Review; Comment Request2020-08-07T00:00:00-07:002020-08-07T00:00:00-07:002020-17257Noticehttps://www.govinfo.gov/content/pkg/FR-2020-08-07/pdf/2020-17257.pdfhttps://regulations.justia.com/regulations/fedreg/2020/08/07/2020-17255.htmlNotice - Submission for OMB Review; Comment Request2020-08-07T00:00:00-07:002020-08-07T00:00:00-07:002020-17255Noticehttps://www.govinfo.gov/content/pkg/FR-2020-08-07/pdf/2020-17255.pdfhttps://regulations.justia.com/regulations/fedreg/2020/08/07/2020-17253.htmlNotice - Submission for OMB Review; Comment Request2020-08-07T00:00:00-07:002020-08-07T00:00:00-07:002020-17253Noticehttps://www.govinfo.gov/content/pkg/FR-2020-08-07/pdf/2020-17253.pdfhttps://regulations.justia.com/regulations/fedreg/2020/08/07/2020-17252.htmlNotice - Self-Regulatory Organizations; NYSE National, Inc.; Notice of Filing of Partial Amendment No. 1 to Proposed Rule Change To Amend the Schedule of Wireless Connectivity Fees and Charges To Add Wireless Connectivity Services2020-08-07T00:00:00-07:002020-08-07T00:00:00-07:002020-17252Noticehttps://www.govinfo.gov/content/pkg/FR-2020-08-07/pdf/2020-17252.pdfhttps://regulations.justia.com/regulations/fedreg/2020/08/07/2020-17251.htmlNotice - Self-Regulatory Organizations; NYSE Chicago, Inc.; Notice of Filing of Partial Amendment No. 1 to Proposed Rule Change To Amend the Schedule of Wireless Connectivity Fees and Charges To Add Wireless Connectivity Services2020-08-07T00:00:00-07:002020-08-07T00:00:00-07:002020-17251Noticehttps://www.govinfo.gov/content/pkg/FR-2020-08-07/pdf/2020-17251.pdfhttps://regulations.justia.com/regulations/fedreg/2020/08/07/2020-17250.htmlNotice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing of Partial Amendment No. 1 to Proposed Rule Change To Amend the Schedule of Wireless Connectivity Fees and Charges To Add Wireless Connectivity Services2020-08-07T00:00:00-07:002020-08-07T00:00:00-07:002020-17250Noticehttps://www.govinfo.gov/content/pkg/FR-2020-08-07/pdf/2020-17250.pdfhttps://regulations.justia.com/regulations/fedreg/2020/08/07/2020-17249.htmlNotice - Self-Regulatory Organizations; NYSE American LLC; Notice of Filing of Partial Amendment No. 1 to Proposed Rule Change To Amend the Schedule of Wireless Connectivity Fees and Charges to Add Wireless Connectivity Services2020-08-07T00:00:00-07:002020-08-07T00:00:00-07:002020-17249Noticehttps://www.govinfo.gov/content/pkg/FR-2020-08-07/pdf/2020-17249.pdfhttps://regulations.justia.com/regulations/fedreg/2020/08/07/2020-17248.htmlNotice - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing of Partial Amendment No. 1 To Proposed Rule Change To Amend the Schedule of Wireless Connectivity Fees and Charges To Add Wireless Connectivity Services2020-08-07T00:00:00-07:002020-08-07T00:00:00-07:002020-17248Noticehttps://www.govinfo.gov/content/pkg/FR-2020-08-07/pdf/2020-17248.pdfhttps://regulations.justia.com/regulations/fedreg/2020/08/07/2020-17247.htmlNotice - Self-Regulatory Organizations; NYSE National, Inc.; Notice of Filing of Partial Amendment No. 1 To Proposed Rule Change To Establish a Wireless Fee Schedule Setting Forth Available Wireless Bandwidth Connections and Associated Fees2020-08-07T00:00:00-07:002020-08-07T00:00:00-07:002020-17247Noticehttps://www.govinfo.gov/content/pkg/FR-2020-08-07/pdf/2020-17247.pdfhttps://regulations.justia.com/regulations/fedreg/2020/08/07/2020-17246.htmlNotice - Self-Regulatory Organizations; NYSE Chicago, Inc.; Notice of Filing of Partial Amendment No. 1 to Proposed Rule Change To Establish a Wireless Fee Schedule Setting Forth Available Wireless Bandwidth Connections and Associated Fees2020-08-07T00:00:00-07:002020-08-07T00:00:00-07:002020-17246Noticehttps://www.govinfo.gov/content/pkg/FR-2020-08-07/pdf/2020-17246.pdfhttps://regulations.justia.com/regulations/fedreg/2020/08/07/2020-17245.htmlNotice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing of Partial Amendment No. 1 to Proposed Rule Change To Establish a Wireless Fee Schedule Setting Forth Available Wireless Bandwidth Connections and Associated Fees2020-08-07T00:00:00-07:002020-08-07T00:00:00-07:002020-17245Noticehttps://www.govinfo.gov/content/pkg/FR-2020-08-07/pdf/2020-17245.pdfhttps://regulations.justia.com/regulations/fedreg/2020/08/07/2020-17244.htmlNotice - Self-Regulatory Organizations; NYSE American LLC; Notice of Filing of Partial Amendment No. 1 to Proposed Rule Change To Establish a Wireless Fee Schedule Setting Forth Available Wireless Bandwidth Connections and Associated Fees2020-08-07T00:00:00-07:002020-08-07T00:00:00-07:002020-17244Noticehttps://www.govinfo.gov/content/pkg/FR-2020-08-07/pdf/2020-17244.pdfhttps://regulations.justia.com/regulations/fedreg/2020/08/07/2020-17243.htmlNotice - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing of Partial Amendment No. 1 to Proposed Rule Change To Establish a Wireless Fee Schedule Setting Forth Available Wireless Bandwidth Connections and Associated Fees2020-08-07T00:00:00-07:002020-08-07T00:00:00-07:002020-17243Noticehttps://www.govinfo.gov/content/pkg/FR-2020-08-07/pdf/2020-17243.pdfhttps://regulations.justia.com/regulations/fedreg/2020/08/07/2020-17242.htmlNotice - Self-Regulatory Organizations; Cboe BYX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating To Amend Rule 4.5, Which Is Part of the Exchange's Compliance Rule (“Compliance Rule”) Regarding the National Market System Plan Governing the Consolidated Audit Trail (the “CAT NMS Plan” or “Plan”) To Be Consistent With an Amendment to the CAT NMS Plan Recently Approved by the Securities and Exchange Commission (the “Commission”)2020-08-07T00:00:00-07:002020-08-07T00:00:00-07:002020-17242Noticehttps://www.govinfo.gov/content/pkg/FR-2020-08-07/pdf/2020-17242.pdfhttps://regulations.justia.com/regulations/fedreg/2020/08/07/2020-17241.htmlNotice - Self-Regulatory Organizations; Cboe BZX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to Amend Rule 4.5, Which is Part of the Exchange's Compliance Rule (“Compliance Rule”) Regarding the National Market System Plan Governing the Consolidated Audit Trail (the “CAT NMS Plan” or “Plan”) to be Consistent with an Amendment to the CAT NMS Plan Recently Approved by the Securities and Exchange Commission (the “Commission”)2020-08-07T00:00:00-07:002020-08-07T00:00:00-07:002020-17241Noticehttps://www.govinfo.gov/content/pkg/FR-2020-08-07/pdf/2020-17241.pdfhttps://regulations.justia.com/regulations/fedreg/2020/08/07/2020-17240.htmlNotice - Self-Regulatory Organizations; Cboe EDGA Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating To Amend Rule 4.5, Which Is Part of the Exchange's Compliance Rule (“Compliance Rule”) Regarding the National Market System Plan Governing the Consolidated Audit Trail (the “CAT NMS Plan” or “Plan”) To Be Consistent With an Amendment to the CAT NMS Plan Recently Approved by the Securities and Exchange Commission (the “Commission”)2020-08-07T00:00:00-07:002020-08-07T00:00:00-07:002020-17240Noticehttps://www.govinfo.gov/content/pkg/FR-2020-08-07/pdf/2020-17240.pdfhttps://regulations.justia.com/regulations/fedreg/2020/08/07/2020-17239.htmlNotice - Self-Regulatory Organizations; Cboe EDGX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating To Amend Rule 4.5, Which Is Part of the Exchange's Compliance Rule (“Compliance Rule”) Regarding the National Market System Plan Governing the Consolidated Audit Trail (the “CAT NMS Plan” or “Plan”) To Be Consistent With an Amendment to the CAT NMS Plan Recently Approved by the Securities and Exchange Commission (the “Commission”)2020-08-07T00:00:00-07:002020-08-07T00:00:00-07:002020-17239Noticehttps://www.govinfo.gov/content/pkg/FR-2020-08-07/pdf/2020-17239.pdfhttps://regulations.justia.com/regulations/fedreg/2020/08/06/2020-17136.htmlNotice - Self-Regulatory Organizations; MEMX LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the Exchange's Rule 4.5 Regarding the National Market System Plan Governing the Consolidated Audit Trail2020-08-06T00:00:00-07:002020-08-06T00:00:00-07:002020-17136Noticehttps://www.govinfo.gov/content/pkg/FR-2020-08-06/pdf/2020-17136.pdfhttps://regulations.justia.com/regulations/fedreg/2020/08/06/2020-17135.htmlNotice - Self-Regulatory Organizations; Cboe Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to Amend Chapter 7, Section B of the Rules, Which Is the Exchange's Compliance Rule (“Compliance Rule”) Regarding the National Market System Plan Governing the Consolidated Audit Trail (the “CAT NMS Plan” or “Plan”) To Be Consistent With an Amendment to the CAT NMS Plan Recently Approved by the Securities and Exchange Commission (“Commission”)2020-08-06T00:00:00-07:002020-08-06T00:00:00-07:002020-17135Noticehttps://www.govinfo.gov/content/pkg/FR-2020-08-06/pdf/2020-17135.pdfhttps://regulations.justia.com/regulations/fedreg/2020/08/06/2020-17134.htmlNotice - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the FINRA Rule 6800 Series (Consolidated Audit Trail Compliance Rule)2020-08-06T00:00:00-07:002020-08-06T00:00:00-07:002020-17134Noticehttps://www.govinfo.gov/content/pkg/FR-2020-08-06/pdf/2020-17134.pdfhttps://regulations.justia.com/regulations/fedreg/2020/08/06/2020-17133.htmlNotice - Self-Regulatory Organizations; Long-Term Stock Exchange, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the Exchange's Compliance Rule Regarding the CAT NMS Plan2020-08-06T00:00:00-07:002020-08-06T00:00:00-07:002020-17133Noticehttps://www.govinfo.gov/content/pkg/FR-2020-08-06/pdf/2020-17133.pdfhttps://regulations.justia.com/regulations/fedreg/2020/08/06/2020-17132.htmlNotice - Self-Regulatory Organizations; NYSE American LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the Rule 6800 Series2020-08-06T00:00:00-07:002020-08-06T00:00:00-07:002020-17132Noticehttps://www.govinfo.gov/content/pkg/FR-2020-08-06/pdf/2020-17132.pdfhttps://regulations.justia.com/regulations/fedreg/2020/08/06/2020-17131.htmlNotice - Self-Regulatory Organizations; NYSE Arca, Inc.; Order Granting Approval of a Proposed Rule Change, as Modified by Amendment No. 2, To List and Trade Shares of Natixis Vaughan Nelson Select ETF and Natixis Vaughan Nelson MidCap ETF Under NYSE Arca Rule 8.601-E2020-08-06T00:00:00-07:002020-08-06T00:00:00-07:002020-17131Noticehttps://www.govinfo.gov/content/pkg/FR-2020-08-06/pdf/2020-17131.pdfhttps://regulations.justia.com/regulations/fedreg/2020/08/06/2020-17130.htmlNotice - Self-Regulatory Organizations; BOX Exchange LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Make a Number of Non-Substantive Changes to the Rulebook2020-08-06T00:00:00-07:002020-08-06T00:00:00-07:002020-17130Noticehttps://www.govinfo.gov/content/pkg/FR-2020-08-06/pdf/2020-17130.pdfhttps://regulations.justia.com/regulations/fedreg/2020/08/06/2020-17129.htmlNotice - Self-Regulatory Organizations; ICE Clear Credit LLC; Order Approving Proposed Rule Change Relating to the ICC Exercise Procedures and ICC Clearing Rules2020-08-06T00:00:00-07:002020-08-06T00:00:00-07:002020-17129Noticehttps://www.govinfo.gov/content/pkg/FR-2020-08-06/pdf/2020-17129.pdfhttps://regulations.justia.com/regulations/fedreg/2020/08/05/2020-17106.htmlNotice - Notice of Applications for Deregistration under Section 8(f) of the Investment Company Act of 19402020-08-05T00:00:00-07:002020-08-05T00:00:00-07:002020-17106Noticehttps://www.govinfo.gov/content/pkg/FR-2020-08-05/pdf/2020-17106.pdfhttps://regulations.justia.com/regulations/fedreg/2020/08/05/2020-17056.htmlNotice - Submission for OMB Review; Comment Request2020-08-05T00:00:00-07:002020-08-05T00:00:00-07:002020-17056Noticehttps://www.govinfo.gov/content/pkg/FR-2020-08-05/pdf/2020-17056.pdfhttps://regulations.justia.com/regulations/fedreg/2020/08/05/2020-17010.htmlNotice - Proposed Collection; Comment Request2020-08-05T00:00:00-07:002020-08-05T00:00:00-07:002020-17010Noticehttps://www.govinfo.gov/content/pkg/FR-2020-08-05/pdf/2020-17010.pdfhttps://regulations.justia.com/regulations/fedreg/2020/08/05/2020-17000.htmlNotice - Self-Regulatory Organizations; Miami International Securities Exchange, LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Chapter XVII, Consolidated Audit Trail Compliance Rule.2020-08-05T00:00:00-07:002020-08-05T00:00:00-07:002020-17000Noticehttps://www.govinfo.gov/content/pkg/FR-2020-08-05/pdf/2020-17000.pdfhttps://regulations.justia.com/regulations/fedreg/2020/08/05/2020-16999.htmlNotice - Self-Regulatory Organizations; NYSE National, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the Rule 6.6800 Series2020-08-05T00:00:00-07:002020-08-05T00:00:00-07:002020-16999Noticehttps://www.govinfo.gov/content/pkg/FR-2020-08-05/pdf/2020-16999.pdfhttps://regulations.justia.com/regulations/fedreg/2020/08/05/2020-16998.htmlNotice - Self-Regulatory Organizations; NYSE Chicago, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the Rule 6.6800 Series2020-08-05T00:00:00-07:002020-08-05T00:00:00-07:002020-16998Noticehttps://www.govinfo.gov/content/pkg/FR-2020-08-05/pdf/2020-16998.pdfhttps://regulations.justia.com/regulations/fedreg/2020/08/05/2020-16997.htmlNotice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the Rule 11.6800 Series2020-08-05T00:00:00-07:002020-08-05T00:00:00-07:002020-16997Noticehttps://www.govinfo.gov/content/pkg/FR-2020-08-05/pdf/2020-16997.pdfhttps://regulations.justia.com/regulations/fedreg/2020/08/05/2020-16996.htmlNotice - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the Rule 6800 Series2020-08-05T00:00:00-07:002020-08-05T00:00:00-07:002020-16996Noticehttps://www.govinfo.gov/content/pkg/FR-2020-08-05/pdf/2020-16996.pdfhttps://regulations.justia.com/regulations/fedreg/2020/08/05/2020-16995.htmlNotice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Rule 6.8-O To Increase Position Limits for Options on Certain Exchange-Traded Funds2020-08-05T00:00:00-07:002020-08-05T00:00:00-07:002020-16995Noticehttps://www.govinfo.gov/content/pkg/FR-2020-08-05/pdf/2020-16995.pdfhttps://regulations.justia.com/regulations/fedreg/2020/08/05/2020-16994.htmlNotice - Self-Regulatory Organizations; NYSE American LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Rule 904 To Increase Position Limits for Options on Certain Exchange-Traded Funds2020-08-05T00:00:00-07:002020-08-05T00:00:00-07:002020-16994Noticehttps://www.govinfo.gov/content/pkg/FR-2020-08-05/pdf/2020-16994.pdfhttps://regulations.justia.com/regulations/fedreg/2020/08/05/2020-16993.htmlNotice - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Extend the Temporary Period for Specified Commentaries to Rules 7.35, 7.35A, 7.35B, and 7.35C and Temporary Rule Relief in Rule 36.302020-08-05T00:00:00-07:002020-08-05T00:00:00-07:002020-16993Noticehttps://www.govinfo.gov/content/pkg/FR-2020-08-05/pdf/2020-16993.pdfhttps://regulations.justia.com/regulations/fedreg/2020/08/04/2020-16876.htmlNotice - Self-Regulatory Organizations; Cboe BYX Exchange, Inc.; Notice of Filing of a Proposed Rule Change To Introduce Periodic Auctions for the Trading of U.S. Equity Securities2020-08-04T00:00:00-07:002020-08-04T00:00:00-07:002020-16876Noticehttps://www.govinfo.gov/content/pkg/FR-2020-08-04/pdf/2020-16876.pdfhttps://regulations.justia.com/regulations/fedreg/2020/08/04/2020-16875.htmlNotice - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Further Extend the Expiration Date of the Temporary Amendments Set Forth in SR-FINRA-2020-0152020-08-04T00:00:00-07:002020-08-04T00:00:00-07:002020-16875Noticehttps://www.govinfo.gov/content/pkg/FR-2020-08-04/pdf/2020-16875.pdfhttps://regulations.justia.com/regulations/fedreg/2020/08/04/2020-16874.htmlNotice - Self-Regulatory Organizations; BOX Exchange LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the Fee Schedule on the BOX Options Market LLC Facility To Amend Section IX.C (Trading Floor Participant Fees) and Remove Section IX.D (Trading Floor Booth Space Fee)2020-08-04T00:00:00-07:002020-08-04T00:00:00-07:002020-16874Noticehttps://www.govinfo.gov/content/pkg/FR-2020-08-04/pdf/2020-16874.pdfhttps://regulations.justia.com/regulations/fedreg/2020/08/04/2020-16873.htmlNotice - Self-Regulatory Organizations; Nasdaq ISE, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Options 7, Sections 1, 3, and 62020-08-04T00:00:00-07:002020-08-04T00:00:00-07:002020-16873Noticehttps://www.govinfo.gov/content/pkg/FR-2020-08-04/pdf/2020-16873.pdfhttps://regulations.justia.com/regulations/fedreg/2020/08/03/2020-16903.htmlNotice - Sunshine Act Meetings2020-08-03T00:00:00-07:002020-08-03T00:00:00-07:002020-16903Noticehttps://www.govinfo.gov/content/pkg/FR-2020-08-03/pdf/2020-16903.pdfhttps://regulations.justia.com/regulations/fedreg/2020/08/03/2020-16830.htmlNotice - Morgan Stanley Direct Lending Fund, et al.2020-08-03T00:00:00-07:002020-08-03T00:00:00-07:002020-16830Noticehttps://www.govinfo.gov/content/pkg/FR-2020-08-03/pdf/2020-16830.pdfhttps://regulations.justia.com/regulations/fedreg/2020/08/03/2020-16808.htmlNotice - Joint Industry Plan; Notice of Filing and Immediate Effectiveness of Amendment to the Plan To Address Extraordinary Market Volatility To Add MEMX LLC as a Participant2020-08-03T00:00:00-07:002020-08-03T00:00:00-07:002020-16808Noticehttps://www.govinfo.gov/content/pkg/FR-2020-08-03/pdf/2020-16808.pdfhttps://regulations.justia.com/regulations/fedreg/2020/08/03/2020-16807.htmlNotice - Joint Industry Plan; Notice of Filing and Immediate Effectiveness of Amendment to the National Market System Plan for the Selection and Reservation of Securities Symbols to Add MEMX LLC as a Party Thereto2020-08-03T00:00:00-07:002020-08-03T00:00:00-07:002020-16807Noticehttps://www.govinfo.gov/content/pkg/FR-2020-08-03/pdf/2020-16807.pdfhttps://regulations.justia.com/regulations/fedreg/2020/08/03/2020-16806.htmlNotice - Joint Industry Plan; Notice of Filing and Immediate Effectiveness of Amendment to the Plan Establishing Procedures Under Rule 605 of Regulation NMS To Add the MEMX LLC as a Participant2020-08-03T00:00:00-07:002020-08-03T00:00:00-07:002020-16806Noticehttps://www.govinfo.gov/content/pkg/FR-2020-08-03/pdf/2020-16806.pdfhttps://regulations.justia.com/regulations/fedreg/2020/08/03/2020-16805.htmlNotice - Joint Industry Plan; Notice of Filing and Immediate Effectiveness of the Forty-Eighth Amendment to the Joint Self-Regulatory Organization Plan Governing the Collection, Consolidation and Dissemination of Quotation and Transaction Information for Nasdaq-Listed Securities Traded on Exchanges on an Unlisted Trading Privileges Basis2020-08-03T00:00:00-07:002020-08-03T00:00:00-07:002020-16805Noticehttps://www.govinfo.gov/content/pkg/FR-2020-08-03/pdf/2020-16805.pdfhttps://regulations.justia.com/regulations/fedreg/2020/08/03/2020-16804.htmlNotice - Consolidated Tape Association; Notice of Filing and Immediate Effectiveness of the Thirty-Fourth Substantive Amendment to the Second Restatement of the CTA Plan and Twenty-Fifth Substantive Amendment to the Restated CQ Plan2020-08-03T00:00:00-07:002020-08-03T00:00:00-07:002020-16804Noticehttps://www.govinfo.gov/content/pkg/FR-2020-08-03/pdf/2020-16804.pdfhttps://regulations.justia.com/regulations/fedreg/2020/08/03/2020-16714.htmlNotice - 1WS Credit Income Fund, et al.2020-08-03T00:00:00-07:002020-08-03T00:00:00-07:002020-16714Noticehttps://www.govinfo.gov/content/pkg/FR-2020-08-03/pdf/2020-16714.pdfhttps://regulations.justia.com/regulations/fedreg/2020/08/03/2020-16712.htmlNotice - Blackstone Alternative Investment Funds; Blackstone Alternative Investment Advisors LLC2020-08-03T00:00:00-07:002020-08-03T00:00:00-07:002020-16712Noticehttps://www.govinfo.gov/content/pkg/FR-2020-08-03/pdf/2020-16712.pdfhttps://regulations.justia.com/regulations/fedreg/2020/08/03/2020-16710.htmlNotice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Order Granting Accelerated Approval of Proposed Rule Change To Add the Consolidated Audit Trail Industry Member Compliance Rules To the List of Minor Rule Violations in Rule 10.92172020-08-03T00:00:00-07:002020-08-03T00:00:00-07:002020-16710Noticehttps://www.govinfo.gov/content/pkg/FR-2020-08-03/pdf/2020-16710.pdfhttps://regulations.justia.com/regulations/fedreg/2020/08/03/2020-16709.htmlNotice - Self-Regulatory Organizations; The Nasdaq Stock Market LLC; Notice of Filing of Proposed Rule Change To Adopt Listing Rule IM-5900-8 To Offer a Complimentary Global Targeting Tool to Acquisition Companies Listed Pursuant to Nasdaq IM-5101-2 that Have Publicly Announced Entering Into a Binding Agreement for a Business Combination2020-08-03T00:00:00-07:002020-08-03T00:00:00-07:002020-16709Noticehttps://www.govinfo.gov/content/pkg/FR-2020-08-03/pdf/2020-16709.pdfhttps://regulations.justia.com/regulations/fedreg/2020/08/03/2020-16708.htmlNotice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Designation of a Longer Period for Commission Action on a Proposed Rule Change to Amend NYSE Arca Rule 5.2-E(j)(6) Relating to Options-Linked Securities2020-08-03T00:00:00-07:002020-08-03T00:00:00-07:002020-16708Noticehttps://www.govinfo.gov/content/pkg/FR-2020-08-03/pdf/2020-16708.pdfhttps://regulations.justia.com/regulations/fedreg/2020/08/03/2020-16707.htmlNotice - Self-Regulatory Organizations; NYSE National, Inc.; Notice of Filing and Order Granting Accelerated Approval of Proposed Rule Change To Add the Consolidated Audit Trail Industry Member Compliance Rules To the List of Minor Rule Violations in Rule 10.92172020-08-03T00:00:00-07:002020-08-03T00:00:00-07:002020-16707Noticehttps://www.govinfo.gov/content/pkg/FR-2020-08-03/pdf/2020-16707.pdfhttps://regulations.justia.com/regulations/fedreg/2020/08/03/2020-16706.htmlNotice - Self-Regulatory Organizations; NYSE Chicago, Inc.; Notice of Filing and Order Granting Accelerated Approval of Proposed Rule Change To Add the Consolidated Audit Trail Industry Member Compliance Rules to the List of Minor Rule Violations in Article 12, Rule 82020-08-03T00:00:00-07:002020-08-03T00:00:00-07:002020-16706Noticehttps://www.govinfo.gov/content/pkg/FR-2020-08-03/pdf/2020-16706.pdfhttps://regulations.justia.com/regulations/fedreg/2020/08/03/2020-16705.htmlNotice - Self-Regulatory Organizations; ICEEU Limited; Order Approving Proposed Rule Change Relating to Amendments to the ICEEU Clearing Rules2020-08-03T00:00:00-07:002020-08-03T00:00:00-07:002020-16705Noticehttps://www.govinfo.gov/content/pkg/FR-2020-08-03/pdf/2020-16705.pdfhttps://regulations.justia.com/regulations/fedreg/2020/08/03/2020-16704.htmlNotice - Self-Regulatory Organizations; National Securities Clearing Corporation; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Modify Fees for the Subscription-Based Portfolio Composition File Reporting Service2020-08-03T00:00:00-07:002020-08-03T00:00:00-07:002020-16704Noticehttps://www.govinfo.gov/content/pkg/FR-2020-08-03/pdf/2020-16704.pdf