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/2020/09?limit=200®isters=between&min-day=1&max-day=30&mode=atom2024-05-04T03:27:08-07:00Justia Inchttps://www.justia.com/Justia Regulations Trackerhttps://regulations.justia.com/images/justiafedregulations.gifCopyright 2011 Justia Inchttps://regulations.justia.com/regulations/fedreg/2020/09/30/2020-21725.htmlNotice - Sunshine Act Meetings2020-09-30T00:00:00-07:002020-09-30T00:00:00-07:002020-21725Noticehttps://www.govinfo.gov/content/pkg/FR-2020-09-30/pdf/2020-21725.pdfhttps://regulations.justia.com/regulations/fedreg/2020/09/30/2020-21707.htmlNotice - Sunshine Act Meeting; Cancellation2020-09-30T00:00:00-07:002020-09-30T00:00:00-07:002020-21707Noticehttps://www.govinfo.gov/content/pkg/FR-2020-09-30/pdf/2020-21707.pdfhttps://regulations.justia.com/regulations/fedreg/2020/09/30/2020-21605.htmlNotice - Arca U.S. Treasury Fund and Arca Capital Management, LLC2020-09-30T00:00:00-07:002020-09-30T00:00:00-07:002020-21605Noticehttps://www.govinfo.gov/content/pkg/FR-2020-09-30/pdf/2020-21605.pdfhttps://regulations.justia.com/regulations/fedreg/2020/09/30/2020-21598.htmlNotice - Securities Exchange Act of 1934; Order Granting Petition for Review, Scheduling Filing of Statements, and Denying New York Stock Exchange LLC's Motion To Lift the Stay; In the Matter of the New York Stock Exchange LLC Regarding an Order Approving a Proposed Rule Change, as Modified by Amendment No. 2, To Modify Chapter One of the Listed Company Manual To Modify the Provisions Relating to Direct Listings2020-09-30T00:00:00-07:002020-09-30T00:00:00-07:002020-21598Noticehttps://www.govinfo.gov/content/pkg/FR-2020-09-30/pdf/2020-21598.pdfhttps://regulations.justia.com/regulations/fedreg/2020/09/30/2020-21556.htmlNotice - Self-Regulatory Organizations; Municipal Securities Rulemaking Board; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Consisting of Amendments to the MSRB's Amended and Restated Articles of Incorporation2020-09-30T00:00:00-07:002020-09-30T00:00:00-07:002020-21556Noticehttps://www.govinfo.gov/content/pkg/FR-2020-09-30/pdf/2020-21556.pdfhttps://regulations.justia.com/regulations/fedreg/2020/09/30/2020-21554.htmlNotice - Self-Regulatory Organizations; Miami International Securities Exchange, LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Exchange Rule 515A, MIAX Price Improvement Mechanism (“PRIME”) and PRIME Solicitation Mechanism To Adopt a New ISO Prime Order Type2020-09-30T00:00:00-07:002020-09-30T00:00:00-07:002020-21554Noticehttps://www.govinfo.gov/content/pkg/FR-2020-09-30/pdf/2020-21554.pdfhttps://regulations.justia.com/regulations/fedreg/2020/09/30/2020-21545.htmlNotice - Deutsche Bank AG, et al.2020-09-30T00:00:00-07:002020-09-30T00:00:00-07:002020-21545Noticehttps://www.govinfo.gov/content/pkg/FR-2020-09-30/pdf/2020-21545.pdfhttps://regulations.justia.com/regulations/fedreg/2020/09/30/2020-21542.htmlNotice - Proposed Collection; Comment Request2020-09-30T00:00:00-07:002020-09-30T00:00:00-07:002020-21542Noticehttps://www.govinfo.gov/content/pkg/FR-2020-09-30/pdf/2020-21542.pdfhttps://regulations.justia.com/regulations/fedreg/2020/09/30/2020-21541.htmlNotice - Proposed Collection; Comment Request2020-09-30T00:00:00-07:002020-09-30T00:00:00-07:002020-21541Noticehttps://www.govinfo.gov/content/pkg/FR-2020-09-30/pdf/2020-21541.pdfhttps://regulations.justia.com/regulations/fedreg/2020/09/30/2020-21539.htmlNotice - Proposed Collection; Comment Request'2020-09-30T00:00:00-07:002020-09-30T00:00:00-07:002020-21539Noticehttps://www.govinfo.gov/content/pkg/FR-2020-09-30/pdf/2020-21539.pdfhttps://regulations.justia.com/regulations/fedreg/2020/09/29/2020-21410.htmlNotice - Self-Regulatory Organizations; Cboe BZX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the Fee Schedule2020-09-29T00:00:00-07:002020-09-29T00:00:00-07:002020-21410Noticehttps://www.govinfo.gov/content/pkg/FR-2020-09-29/pdf/2020-21410.pdfhttps://regulations.justia.com/regulations/fedreg/2020/09/29/2020-21409.htmlNotice - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing of Proposed Rule Change Relating to Granularity of Timestamps in Trade Reports Submitted to FINRA's Equity Trade Reporting Facilities2020-09-29T00:00:00-07:002020-09-29T00:00:00-07:002020-21409Noticehttps://www.govinfo.gov/content/pkg/FR-2020-09-29/pdf/2020-21409.pdfhttps://regulations.justia.com/regulations/fedreg/2020/09/29/2020-21408.htmlNotice - Program for Allocation of Regulatory Responsibilities Pursuant to Rule 17d-2; Notice of Filing and Order Approving and Declaring Effective an Amendment to the Plan for the Allocation of Regulatory Responsibilities Among Cboe BZX Exchange, Inc., Cboe BYX Exchange, Inc., NYSE Chicago, Inc., Cboe EDGA Exchange, Inc., Cboe EDGX Exchange, Inc., Financial Industry Regulatory Authority, Inc., MEMX LLC, MIAX PEARL, LLC, Nasdaq BX, Inc., Nasdaq PHLX LLC, The Nasdaq Stock Market LLC, NYSE National, Inc., New York Stock Exchange LLC, NYSE American LLC, NYSE Arca, Inc., Investors' Exchange LLC, and Long-Term Stock Exchange, Inc. Relating to the Surveillance, Investigation, and Enforcement of Insider Trading Rules2020-09-29T00:00:00-07:002020-09-29T00:00:00-07:002020-21408Noticehttps://www.govinfo.gov/content/pkg/FR-2020-09-29/pdf/2020-21408.pdfhttps://regulations.justia.com/regulations/fedreg/2020/09/29/2020-21407.htmlNotice - Self-Regulatory Organizations; MIAX PEARL, LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Exchange Rule 2618, Risk Settings and Trading Risk Metrics2020-09-29T00:00:00-07:002020-09-29T00:00:00-07:002020-21407Noticehttps://www.govinfo.gov/content/pkg/FR-2020-09-29/pdf/2020-21407.pdfhttps://regulations.justia.com/regulations/fedreg/2020/09/29/2020-21406.htmlNotice - Self-Regulatory Organizations; Cboe EDGX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the Fee Schedule2020-09-29T00:00:00-07:002020-09-29T00:00:00-07:002020-21406Noticehttps://www.govinfo.gov/content/pkg/FR-2020-09-29/pdf/2020-21406.pdfhttps://regulations.justia.com/regulations/fedreg/2020/09/29/2020-21405.htmlNotice - Self-Regulatory Organizations; MIAX PEARL, LLC; Notice of Filing of Amendment No. 1 and Order Granting Accelerated Approval of a Proposed Rule Change, as Modified by Amendment No. 1, to Exchange Rule 1014, Imposition of Fines for Minor Rule Violations2020-09-29T00:00:00-07:002020-09-29T00:00:00-07:002020-21405Noticehttps://www.govinfo.gov/content/pkg/FR-2020-09-29/pdf/2020-21405.pdfhttps://regulations.justia.com/regulations/fedreg/2020/09/29/2020-21404.htmlNotice - Self-Regulatory Organizations: Investors Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Related to Transaction Fees Pursuant to IEX Rule 15.110 Concerning the CQ Remove Fee2020-09-29T00:00:00-07:002020-09-29T00:00:00-07:002020-21404Noticehttps://www.govinfo.gov/content/pkg/FR-2020-09-29/pdf/2020-21404.pdfhttps://regulations.justia.com/regulations/fedreg/2020/09/29/2020-21403.htmlNotice - Self-Regulatory Organizations; Cboe EDGX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the Fee Schedule2020-09-29T00:00:00-07:002020-09-29T00:00:00-07:002020-21403Noticehttps://www.govinfo.gov/content/pkg/FR-2020-09-29/pdf/2020-21403.pdfhttps://regulations.justia.com/regulations/fedreg/2020/09/28/2020-21419.htmlNotice - Sunshine Act Meetings2020-09-28T00:00:00-07:002020-09-28T00:00:00-07:002020-21419Noticehttps://www.govinfo.gov/content/pkg/FR-2020-09-28/pdf/2020-21419.pdfhttps://regulations.justia.com/regulations/fedreg/2020/09/28/2020-21290.htmlNotice - Self-Regulatory Organizations; The Depository Trust Company; Notice of Filing of Proposed Rule Change To Amend Rule 42020-09-28T00:00:00-07:002020-09-28T00:00:00-07:002020-21290Noticehttps://www.govinfo.gov/content/pkg/FR-2020-09-28/pdf/2020-21290.pdfhttps://regulations.justia.com/regulations/fedreg/2020/09/28/2020-21271.htmlNotice - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Designation of Longer Period for Commission Action on Proposed Rule Change To Amend NYSE Rule 1222020-09-28T00:00:00-07:002020-09-28T00:00:00-07:002020-21271Noticehttps://www.govinfo.gov/content/pkg/FR-2020-09-28/pdf/2020-21271.pdfhttps://regulations.justia.com/regulations/fedreg/2020/09/28/2020-21270.htmlNotice - Self-Regulatory Organizations; National Securities Clearing Corporation; Notice of Designation of Longer Period for Commission Action on Proceedings To Determine Whether To Approve or Disapprove a Proposed Rule Change To Enhance National Securities Clearing Corporation's Haircut-Based Volatility Charge Applicable to Illiquid Securities and UITs and Make Certain Other Changes to Procedure XV2020-09-28T00:00:00-07:002020-09-28T00:00:00-07:002020-21270Noticehttps://www.govinfo.gov/content/pkg/FR-2020-09-28/pdf/2020-21270.pdfhttps://regulations.justia.com/regulations/fedreg/2020/09/28/2020-21269.htmlNotice - Self-Regulatory Organizations; ICE Clear Credit LLC; Order Approving Proposed Rule Change Relating to the ICC Risk Management Model Description2020-09-28T00:00:00-07:002020-09-28T00:00:00-07:002020-21269Noticehttps://www.govinfo.gov/content/pkg/FR-2020-09-28/pdf/2020-21269.pdfhttps://regulations.justia.com/regulations/fedreg/2020/09/25/2020-21296.htmlNotice - Sunshine Act Meetings2020-09-25T00:00:00-07:002020-09-25T00:00:00-07:002020-21296Noticehttps://www.govinfo.gov/content/pkg/FR-2020-09-25/pdf/2020-21296.pdfhttps://regulations.justia.com/regulations/fedreg/2020/09/25/2020-21252.htmlNotice - Rule 17g-2 30 Day Notice 2020-Submission for OMB Review; Comment Request2020-09-25T00:00:00-07:002020-09-25T00:00:00-07:002020-21252Noticehttps://www.govinfo.gov/content/pkg/FR-2020-09-25/pdf/2020-21252.pdfhttps://regulations.justia.com/regulations/fedreg/2020/09/25/2020-21245.htmlNotice - Submission for OMB Review; Comment Request; Rule 17g-1 and Form NRSRO 30 Day Notice 2020; Extension2020-09-25T00:00:00-07:002020-09-25T00:00:00-07:002020-21245Noticehttps://www.govinfo.gov/content/pkg/FR-2020-09-25/pdf/2020-21245.pdfhttps://regulations.justia.com/regulations/fedreg/2020/09/25/2020-21242.htmlNotice - Submission for OMB Review; Comment Request2020-09-25T00:00:00-07:002020-09-25T00:00:00-07:002020-21242Noticehttps://www.govinfo.gov/content/pkg/FR-2020-09-25/pdf/2020-21242.pdfhttps://regulations.justia.com/regulations/fedreg/2020/09/25/2020-21142.htmlNotice - Self-Regulatory Organizations; Cboe Exchange, Inc.; Notice of Filing of Amendment No. 2 and Order Instituting Proceedings To Determine Whether To Approve or Disapprove a Proposed Rule Change, as Modified by Amendment No. 2, To Amend Rule 5.242020-09-25T00:00:00-07:002020-09-25T00:00:00-07:002020-21142Noticehttps://www.govinfo.gov/content/pkg/FR-2020-09-25/pdf/2020-21142.pdfhttps://regulations.justia.com/regulations/fedreg/2020/09/25/2020-21141.htmlNotice - Self-Regulatory Organizations; MIAX Emerald, LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Its Fee Schedule2020-09-25T00:00:00-07:002020-09-25T00:00:00-07:002020-21141Noticehttps://www.govinfo.gov/content/pkg/FR-2020-09-25/pdf/2020-21141.pdfhttps://regulations.justia.com/regulations/fedreg/2020/09/25/2020-21100.htmlRule - Prohibitions and Restrictions on Proprietary Trading and Certain Interests in, and Relationships With, Hedge Funds and Private Equity Funds; Correction2020-09-25T00:00:00-07:002020-09-25T00:00:00-07:002020-21100Rulehttps://www.govinfo.gov/content/pkg/FR-2020-09-25/pdf/2020-21100.pdfhttps://regulations.justia.com/regulations/fedreg/2020/09/24/2020-21047.htmlNotice - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Add Commentary .02 to Rule 7.352020-09-24T00:00:00-07:002020-09-24T00:00:00-07:002020-21047Noticehttps://www.govinfo.gov/content/pkg/FR-2020-09-24/pdf/2020-21047.pdfhttps://regulations.justia.com/regulations/fedreg/2020/09/24/2020-21046.htmlNotice - Self-Regulatory Organizations; MEMX LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Update Rule 13.4(a) To Add the Sources of Data for MIAX PEARL, LLC and Long-Term Stock Exchange, Inc.2020-09-24T00:00:00-07:002020-09-24T00:00:00-07:002020-21046Noticehttps://www.govinfo.gov/content/pkg/FR-2020-09-24/pdf/2020-21046.pdfhttps://regulations.justia.com/regulations/fedreg/2020/09/23/2020-20938.htmlNotice - Self-Regulatory Organizations; Cboe BZX Exchange, Inc.; Notice of Filing of a Proposed Rule Change To List and Trade Shares of the -1x Short VIX Futures ETF, a Series of VS Trust, Under Rule 14.11(f)(4) (“Trust Issued Receipts”)2020-09-23T00:00:00-07:002020-09-23T00:00:00-07:002020-20938Noticehttps://www.govinfo.gov/content/pkg/FR-2020-09-23/pdf/2020-20938.pdfhttps://regulations.justia.com/regulations/fedreg/2020/09/23/2020-20937.htmlNotice - Self-Regulatory Organizations; Nasdaq PHLX LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the Exchange's Transaction Credits at Equity 7, Section 32020-09-23T00:00:00-07:002020-09-23T00:00:00-07:002020-20937Noticehttps://www.govinfo.gov/content/pkg/FR-2020-09-23/pdf/2020-20937.pdfhttps://regulations.justia.com/regulations/fedreg/2020/09/23/2020-20936.htmlNotice - Order Granting Applications by Nasdaq BX, Inc., Nasdaq GEMX, LLC, Nasdaq ISE, LLC, Nasdaq MRX, LLC, and Nasdaq PHLX LLC for Exemption Pursuant to Section 36(a) of the Exchange Act From the Rule Filing Requirements of Section 19(b) of the Exchange Act With Respect to Certain Rules Incorporated by Reference2020-09-23T00:00:00-07:002020-09-23T00:00:00-07:002020-20936Noticehttps://www.govinfo.gov/content/pkg/FR-2020-09-23/pdf/2020-20936.pdfhttps://regulations.justia.com/regulations/fedreg/2020/09/23/2020-20935.htmlNotice - Self-Regulatory Organizations; The Nasdaq Stock Market LLC; Order Granting Approval 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 Combination2020-09-23T00:00:00-07:002020-09-23T00:00:00-07:002020-20935Noticehttps://www.govinfo.gov/content/pkg/FR-2020-09-23/pdf/2020-20935.pdfhttps://regulations.justia.com/regulations/fedreg/2020/09/23/2020-20929.htmlNotice - Proposed Collection; Comment Request2020-09-23T00:00:00-07:002020-09-23T00:00:00-07:002020-20929Noticehttps://www.govinfo.gov/content/pkg/FR-2020-09-23/pdf/2020-20929.pdfhttps://regulations.justia.com/regulations/fedreg/2020/09/22/2020-20841.htmlNotice - Self-Regulatory Organizations; MEMX LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the Manner in Which the Exchange Will Designate Members To Participate in Its Mandatory Disaster Recovery Testing for Calendar Year 20202020-09-22T00:00:00-07:002020-09-22T00:00:00-07:002020-20841Noticehttps://www.govinfo.gov/content/pkg/FR-2020-09-22/pdf/2020-20841.pdfhttps://regulations.justia.com/regulations/fedreg/2020/09/22/2020-20840.htmlNotice - Self-Regulatory Organizations; NYSE Arca, Inc.; Order Instituting Proceedings To Determine Whether To Approve or Disapprove a Proposed Rule Change To Amend NYSE Arca Rule 5.2-E(j)(6) Relating to Options-Linked Securities2020-09-22T00:00:00-07:002020-09-22T00:00:00-07:002020-20840Noticehttps://www.govinfo.gov/content/pkg/FR-2020-09-22/pdf/2020-20840.pdfhttps://regulations.justia.com/regulations/fedreg/2020/09/22/2020-20839.htmlNotice - Self-Regulatory Organizations; The Nasdaq Stock Market LLC; Notice of Filing of Proposed Rule Change To Amend Listing Rules Applicable to Special Purpose Acquisition Companies Whose Business Plan Is To Complete One or More Business Combinations2020-09-22T00:00:00-07:002020-09-22T00:00:00-07:002020-20839Noticehttps://www.govinfo.gov/content/pkg/FR-2020-09-22/pdf/2020-20839.pdfhttps://regulations.justia.com/regulations/fedreg/2020/09/22/2020-20838.htmlNotice - Self-Regulatory Organizations; NYSE Chicago, Inc.; Notice of Filing of Proposed Rule Change To Establish Procedures for the Allocation of Cabinets to Its Co-Located Users2020-09-22T00:00:00-07:002020-09-22T00:00:00-07:002020-20838Noticehttps://www.govinfo.gov/content/pkg/FR-2020-09-22/pdf/2020-20838.pdfhttps://regulations.justia.com/regulations/fedreg/2020/09/22/2020-20837.htmlNotice - Self-Regulatory Organizations; NYSE National, Inc.; Notice of Filing of Proposed Rule Change To Establish Procedures for the Allocation of Cabinets to Its Co-Located Users2020-09-22T00:00:00-07:002020-09-22T00:00:00-07:002020-20837Noticehttps://www.govinfo.gov/content/pkg/FR-2020-09-22/pdf/2020-20837.pdfhttps://regulations.justia.com/regulations/fedreg/2020/09/22/2020-20836.htmlNotice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing of Proposed Rule Change To Establish Procedures for the Allocation of Cabinets to Its Co-Located Users2020-09-22T00:00:00-07:002020-09-22T00:00:00-07:002020-20836Noticehttps://www.govinfo.gov/content/pkg/FR-2020-09-22/pdf/2020-20836.pdfhttps://regulations.justia.com/regulations/fedreg/2020/09/21/2020-20714.htmlNotice - Submission for OMB Review; Comment Request2020-09-21T00:00:00-07:002020-09-21T00:00:00-07:002020-20714Noticehttps://www.govinfo.gov/content/pkg/FR-2020-09-21/pdf/2020-20714.pdfhttps://regulations.justia.com/regulations/fedreg/2020/09/21/2020-20713.htmlNotice - Submission for OMB Review; Comment Request2020-09-21T00:00:00-07:002020-09-21T00:00:00-07:002020-20713Noticehttps://www.govinfo.gov/content/pkg/FR-2020-09-21/pdf/2020-20713.pdfhttps://regulations.justia.com/regulations/fedreg/2020/09/21/2020-20712.htmlNotice - Submission for OMB Review; Comment Request2020-09-21T00:00:00-07:002020-09-21T00:00:00-07:002020-20712Noticehttps://www.govinfo.gov/content/pkg/FR-2020-09-21/pdf/2020-20712.pdfhttps://regulations.justia.com/regulations/fedreg/2020/09/21/2020-20711.htmlNotice - Submission for OMB Review; Comment Request2020-09-21T00:00:00-07:002020-09-21T00:00:00-07:002020-20711Noticehttps://www.govinfo.gov/content/pkg/FR-2020-09-21/pdf/2020-20711.pdfhttps://regulations.justia.com/regulations/fedreg/2020/09/21/2020-20710.htmlNotice - Proposed Collection; Comment Request2020-09-21T00:00:00-07:002020-09-21T00:00:00-07:002020-20710Noticehttps://www.govinfo.gov/content/pkg/FR-2020-09-21/pdf/2020-20710.pdfhttps://regulations.justia.com/regulations/fedreg/2020/09/21/2020-20704.htmlNotice - Self-Regulatory Organizations; NYSE American LLC; Notice of Filing of Proposed Rule Change To Establish Procedures for the Allocation of Cabinets to Its Co-Located Users2020-09-21T00:00:00-07:002020-09-21T00:00:00-07:002020-20704Noticehttps://www.govinfo.gov/content/pkg/FR-2020-09-21/pdf/2020-20704.pdfhttps://regulations.justia.com/regulations/fedreg/2020/09/21/2020-20703.htmlNotice - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing of Proposed Rule Change To Establish Procedures for the Allocation of Cabinets to its Co-Located Users2020-09-21T00:00:00-07:002020-09-21T00:00:00-07:002020-20703Noticehttps://www.govinfo.gov/content/pkg/FR-2020-09-21/pdf/2020-20703.pdfhttps://regulations.justia.com/regulations/fedreg/2020/09/21/2020-20702.htmlNotice - Self-Regulatory Organizations; The Nasdaq Stock Market LLC; Notice of Filing of Proposed Rule Change To Allow Companies To List in Connection With a Direct Listing With a Primary Offering in Which the Company Will Sell Shares Itself in the Opening Auction on the First Day of Trading on Nasdaq and To Explain How the Opening Transaction for Such a Listing Will Be Effected2020-09-21T00:00:00-07:002020-09-21T00:00:00-07:002020-20702Noticehttps://www.govinfo.gov/content/pkg/FR-2020-09-21/pdf/2020-20702.pdfhttps://regulations.justia.com/regulations/fedreg/2020/09/21/2020-20701.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).2020-09-21T00:00:00-07:002020-09-21T00:00:00-07:002020-20701Noticehttps://www.govinfo.gov/content/pkg/FR-2020-09-21/pdf/2020-20701.pdfhttps://regulations.justia.com/regulations/fedreg/2020/09/21/2020-20700.htmlNotice - Self-Regulatory Organizations; The Nasdaq Stock Market LLC; Notice of Filing of Proposed Rule Change, As Modified by Amendment No. 1, To Treat as an Eligible Switch, for Purposes of IM-5900-7, an Acquisition Company That Switches From NYSE to Nasdaq After Announcing a Business Combination2020-09-21T00:00:00-07:002020-09-21T00:00:00-07:002020-20700Noticehttps://www.govinfo.gov/content/pkg/FR-2020-09-21/pdf/2020-20700.pdfhttps://regulations.justia.com/regulations/fedreg/2020/09/21/2020-20699.htmlNotice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing of Proposed Rule Change to Amend NYSE Arca Rule 8.601-E To Adopt Generic Listing Standards for Active Proxy Portfolio Shares2020-09-21T00:00:00-07:002020-09-21T00:00:00-07:002020-20699Noticehttps://www.govinfo.gov/content/pkg/FR-2020-09-21/pdf/2020-20699.pdfhttps://regulations.justia.com/regulations/fedreg/2020/09/21/2020-20698.htmlNotice - Self-Regulatory Organizations; Nasdaq BX, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Rule 4759.2020-09-21T00:00:00-07:002020-09-21T00:00:00-07:002020-20698Noticehttps://www.govinfo.gov/content/pkg/FR-2020-09-21/pdf/2020-20698.pdfhttps://regulations.justia.com/regulations/fedreg/2020/09/21/2020-20697.htmlNotice - Self-Regulatory Organizations; Nasdaq PHLX LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Rule 33042020-09-21T00:00:00-07:002020-09-21T00:00:00-07:002020-20697Noticehttps://www.govinfo.gov/content/pkg/FR-2020-09-21/pdf/2020-20697.pdfhttps://regulations.justia.com/regulations/fedreg/2020/09/21/2020-20696.htmlNotice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing of Proposed Rule Change To List and Trade Shares of the Alger Mid Cap 40 ETF and Alger 25 ETF Under Rule 8.900-E, Managed Portfolio Shares2020-09-21T00:00:00-07:002020-09-21T00:00:00-07:002020-20696Noticehttps://www.govinfo.gov/content/pkg/FR-2020-09-21/pdf/2020-20696.pdfhttps://regulations.justia.com/regulations/fedreg/2020/09/17/2020-20679.htmlNotice - Sunshine Act Meetings2020-09-17T00:00:00-07:002020-09-17T00:00:00-07:002020-20679Noticehttps://www.govinfo.gov/content/pkg/FR-2020-09-17/pdf/2020-20679.pdfhttps://regulations.justia.com/regulations/fedreg/2020/09/17/2020-20478.htmlNotice - Self-Regulatory Organizations; NYSE American LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Rule 7.37E To Specify the Exchange's Source of Data Feeds From MIAX PEARL, LLC2020-09-17T00:00:00-07:002020-09-17T00:00:00-07:002020-20478Noticehttps://www.govinfo.gov/content/pkg/FR-2020-09-17/pdf/2020-20478.pdfhttps://regulations.justia.com/regulations/fedreg/2020/09/17/2020-20477.htmlNotice - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Rule 7.37 To Specify the Exchange's Source of Data Feeds From MIAX PEARL, LLC.2020-09-17T00:00:00-07:002020-09-17T00:00:00-07:002020-20477Noticehttps://www.govinfo.gov/content/pkg/FR-2020-09-17/pdf/2020-20477.pdfhttps://regulations.justia.com/regulations/fedreg/2020/09/17/2020-20476.htmlNotice - Self-Regulatory Organizations; Cboe C2 Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating To Amend its Fees Schedule2020-09-17T00:00:00-07:002020-09-17T00:00:00-07:002020-20476Noticehttps://www.govinfo.gov/content/pkg/FR-2020-09-17/pdf/2020-20476.pdfhttps://regulations.justia.com/regulations/fedreg/2020/09/17/2020-20475.htmlNotice - Self-Regulatory Organizations; MEMX, LLC; Order Declaring Effective a Minor Rule Violation Plan2020-09-17T00:00:00-07:002020-09-17T00:00:00-07:002020-20475Noticehttps://www.govinfo.gov/content/pkg/FR-2020-09-17/pdf/2020-20475.pdfhttps://regulations.justia.com/regulations/fedreg/2020/09/17/2020-20474.htmlNotice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing of Proposed Rule Change To Amend NYSE Arca Rule 5.3-E to Exempt Issuers of Certain Derivative and Special Purpose Securities From Having To Obtain Shareholder Approval Prior to the Issuance of Securities in Connection With Certain Acquisitions of the Stock or Assets of an Affiliated Company2020-09-17T00:00:00-07:002020-09-17T00:00:00-07:002020-20474Noticehttps://www.govinfo.gov/content/pkg/FR-2020-09-17/pdf/2020-20474.pdfhttps://regulations.justia.com/regulations/fedreg/2020/09/17/2020-20473.htmlNotice - Self-Regulatory Organizations; Cboe Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating To Amend Its Fees Schedule With Respect to Its Strategy Fee Cap2020-09-17T00:00:00-07:002020-09-17T00:00:00-07:002020-20473Noticehttps://www.govinfo.gov/content/pkg/FR-2020-09-17/pdf/2020-20473.pdfhttps://regulations.justia.com/regulations/fedreg/2020/09/17/2020-20472.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 New Version of the Silexx Platform2020-09-17T00:00:00-07:002020-09-17T00:00:00-07:002020-20472Noticehttps://www.govinfo.gov/content/pkg/FR-2020-09-17/pdf/2020-20472.pdfhttps://regulations.justia.com/regulations/fedreg/2020/09/17/2020-20451.htmlNotice - Rand Capital Corporation, et al.2020-09-17T00:00:00-07:002020-09-17T00:00:00-07:002020-20451Noticehttps://www.govinfo.gov/content/pkg/FR-2020-09-17/pdf/2020-20451.pdfhttps://regulations.justia.com/regulations/fedreg/2020/09/17/2020-18825.htmlProposed Rule - Administration of the Electronic Data Gathering, Analysis, and Retrieval System2020-09-17T00:00:00-07:002020-09-17T00:00:00-07:002020-18825Proposed Rulehttps://www.govinfo.gov/content/pkg/FR-2020-09-17/pdf/2020-18825.pdfhttps://regulations.justia.com/regulations/fedreg/2020/09/16/2020-20539.htmlNotice - Sunshine Act Meetings2020-09-16T00:00:00-07:002020-09-16T00:00:00-07:002020-20539Noticehttps://www.govinfo.gov/content/pkg/FR-2020-09-16/pdf/2020-20539.pdfhttps://regulations.justia.com/regulations/fedreg/2020/09/16/2020-20364.htmlNotice - Self-Regulatory Organizations; Cboe Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend its Fees Schedule in Connection With Migration2020-09-16T00:00:00-07:002020-09-16T00:00:00-07:002020-20364Noticehttps://www.govinfo.gov/content/pkg/FR-2020-09-16/pdf/2020-20364.pdfhttps://regulations.justia.com/regulations/fedreg/2020/09/16/2020-20363.htmlNotice - Self-Regulatory Organizations; NYSE National, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Rule 7.37 To Update the Exchange's Source of Data Feeds From MIAX PEARL, LLC2020-09-16T00:00:00-07:002020-09-16T00:00:00-07:002020-20363Noticehttps://www.govinfo.gov/content/pkg/FR-2020-09-16/pdf/2020-20363.pdfhttps://regulations.justia.com/regulations/fedreg/2020/09/16/2020-20362.htmlNotice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Rule 7.37-E To Update the Exchange's Source of Data Feeds From MIAX PEARL, LLC2020-09-16T00:00:00-07:002020-09-16T00:00:00-07:002020-20362Noticehttps://www.govinfo.gov/content/pkg/FR-2020-09-16/pdf/2020-20362.pdfhttps://regulations.justia.com/regulations/fedreg/2020/09/16/2020-20361.htmlNotice - Self-Regulatory Organizations; the Nasdaq Stock Market LLC; Notice of Designation of a Longer Period for Commission Action on a Proposed Rule Change To Amend Nasdaq Rule 57042020-09-16T00:00:00-07:002020-09-16T00:00:00-07:002020-20361Noticehttps://www.govinfo.gov/content/pkg/FR-2020-09-16/pdf/2020-20361.pdfhttps://regulations.justia.com/regulations/fedreg/2020/09/16/2020-20360.htmlNotice - Self-Regulatory Organizations; Cboe BYX Exchange, Inc.; Notice of Designation of a Longer Period for Commission Action on a Proposed Rule Change To Introduce Periodic Auctions for the Trading of U.S. Equity Securities2020-09-16T00:00:00-07:002020-09-16T00:00:00-07:002020-20360Noticehttps://www.govinfo.gov/content/pkg/FR-2020-09-16/pdf/2020-20360.pdfhttps://regulations.justia.com/regulations/fedreg/2020/09/16/2020-20359.htmlNotice - Self-Regulatory Organizations; Nasdaq BX, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Decommission TradeInfo2020-09-16T00:00:00-07:002020-09-16T00:00:00-07:002020-20359Noticehttps://www.govinfo.gov/content/pkg/FR-2020-09-16/pdf/2020-20359.pdfhttps://regulations.justia.com/regulations/fedreg/2020/09/16/2020-20358.htmlNotice - Self-Regulatory Organizations; The Options Clearing Corporation; Order Approving Proposed Rule Change To Enhance OCC's Stock Loan Close-Out Process2020-09-16T00:00:00-07:002020-09-16T00:00:00-07:002020-20358Noticehttps://www.govinfo.gov/content/pkg/FR-2020-09-16/pdf/2020-20358.pdfhttps://regulations.justia.com/regulations/fedreg/2020/09/15/C1-2020-17352.htmlNotice - Self-Regulatory Organizations; Cboe BZX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the Options Regulatory Fee2020-09-15T00:00:00-07:002020-09-15T00:00:00-07:00C1-2020-17352Noticehttps://www.govinfo.gov/content/pkg/FR-2020-09-15/pdf/C1-2020-17352.pdfhttps://regulations.justia.com/regulations/fedreg/2020/09/15/2020-20268.htmlNotice - Nysa Series Trust2020-09-15T00:00:00-07:002020-09-15T00:00:00-07:002020-20268Noticehttps://www.govinfo.gov/content/pkg/FR-2020-09-15/pdf/2020-20268.pdfhttps://regulations.justia.com/regulations/fedreg/2020/09/15/2020-20259.htmlNotice - Self-Regulatory Organizations; The Nasdaq Stock Market LLC; Order Instituting Proceedings To Determine Whether To Approve or Disapprove a Proposed Rule Change To Apply Additional Initial Listing Criteria for Companies Primarily Operating in Restrictive Markets2020-09-15T00:00:00-07:002020-09-15T00:00:00-07:002020-20259Noticehttps://www.govinfo.gov/content/pkg/FR-2020-09-15/pdf/2020-20259.pdfhttps://regulations.justia.com/regulations/fedreg/2020/09/15/2020-20258.htmlNotice - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Its Price List2020-09-15T00:00:00-07:002020-09-15T00:00:00-07:002020-20258Noticehttps://www.govinfo.gov/content/pkg/FR-2020-09-15/pdf/2020-20258.pdfhttps://regulations.justia.com/regulations/fedreg/2020/09/15/2020-20257.htmlNotice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the NYSE Arca Equities Fees and Charges2020-09-15T00:00:00-07:002020-09-15T00:00:00-07:002020-20257Noticehttps://www.govinfo.gov/content/pkg/FR-2020-09-15/pdf/2020-20257.pdfhttps://regulations.justia.com/regulations/fedreg/2020/09/15/2020-20256.htmlNotice - Self-Regulatory Organizations; Investors Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Correct Two Typographical Errors in IEX Rules 2.220(a)(7) and 11.410(a)2020-09-15T00:00:00-07:002020-09-15T00:00:00-07:002020-20256Noticehttps://www.govinfo.gov/content/pkg/FR-2020-09-15/pdf/2020-20256.pdfhttps://regulations.justia.com/regulations/fedreg/2020/09/15/2020-20255.htmlNotice - Self-Regulatory Organizations; Cboe BZX Exchange, Inc.; Notice of Withdrawal of a Proposed Rule Change, as Modified by Amendment No. 3, To List and Trade Shares of the -1x Short VIX Futures ETF Under BZX Rule 14.11(f)(4), Trust Issued Receipts2020-09-15T00:00:00-07:002020-09-15T00:00:00-07:002020-20255Noticehttps://www.govinfo.gov/content/pkg/FR-2020-09-15/pdf/2020-20255.pdfhttps://regulations.justia.com/regulations/fedreg/2020/09/15/2020-20254.htmlNotice - Self-Regulatory Organizations; The Nasdaq Stock Market 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 a New Requirement Related to the Qualification of Management for Companies From Restrictive Markets2020-09-15T00:00:00-07:002020-09-15T00:00:00-07:002020-20254Noticehttps://www.govinfo.gov/content/pkg/FR-2020-09-15/pdf/2020-20254.pdfhttps://regulations.justia.com/regulations/fedreg/2020/09/15/2020-20253.htmlNotice - Self-Regulatory Organizations; LCH SA; Order Approving Proposed Rule Change, as Modified by Amendment No. 1, Relating to LCH SA's Governance Arrangements2020-09-15T00:00:00-07:002020-09-15T00:00:00-07:002020-20253Noticehttps://www.govinfo.gov/content/pkg/FR-2020-09-15/pdf/2020-20253.pdfhttps://regulations.justia.com/regulations/fedreg/2020/09/15/2020-20252.htmlNotice - Self-Regulatory Organizations; The Options Clearing Corporation; Notice of No Objection To Advance Notice Concerning Proposed Changes To Enhance OCC's Stock Loan Close-Out Process2020-09-15T00:00:00-07:002020-09-15T00:00:00-07:002020-20252Noticehttps://www.govinfo.gov/content/pkg/FR-2020-09-15/pdf/2020-20252.pdfhttps://regulations.justia.com/regulations/fedreg/2020/09/15/2020-14884.htmlRule - Amendments to Procedures With Respect to Applications Under the Investment Company Act of 19402020-09-15T00:00:00-07:002020-09-15T00:00:00-07:002020-14884Rulehttps://www.govinfo.gov/content/pkg/FR-2020-09-15/pdf/2020-14884.pdfhttps://regulations.justia.com/regulations/fedreg/2020/09/14/2020-20271.htmlNotice - Sunshine Act Meetings2020-09-14T00:00:00-07:002020-09-14T00:00:00-07:002020-20271Noticehttps://www.govinfo.gov/content/pkg/FR-2020-09-14/pdf/2020-20271.pdfhttps://regulations.justia.com/regulations/fedreg/2020/09/14/2020-20133.htmlNotice - Self-Regulatory Organizations; Cboe Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Rule 5.242020-09-14T00:00:00-07:002020-09-14T00:00:00-07:002020-20133Noticehttps://www.govinfo.gov/content/pkg/FR-2020-09-14/pdf/2020-20133.pdfhttps://regulations.justia.com/regulations/fedreg/2020/09/14/2020-20132.htmlNotice - [Release No. 34-89788; File No. 4-678] HEADProgram for Allocation of Regulatory Responsibilities Pursuant to Rule 17d-2; Notice of Filing and Order Approving and Declaring Effective an Amended Proposed Plan for the Allocation of Regulatory Responsibilities Among the Financial Industry Regulatory Authority, Inc., Miami International Securities Exchange, LLC, MIAX PEARL, LLC, and MIAX Emerald, LLC2020-09-14T00:00:00-07:002020-09-14T00:00:00-07:002020-20132Noticehttps://www.govinfo.gov/content/pkg/FR-2020-09-14/pdf/2020-20132.pdfhttps://regulations.justia.com/regulations/fedreg/2020/09/14/2020-20131.htmlNotice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Modify the NYSE Arca Options Fee Schedule2020-09-14T00:00:00-07:002020-09-14T00:00:00-07:002020-20131Noticehttps://www.govinfo.gov/content/pkg/FR-2020-09-14/pdf/2020-20131.pdfhttps://regulations.justia.com/regulations/fedreg/2020/09/14/2020-20130.htmlNotice - Self-Regulatory Organizations; Miami International Securities Exchange, LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Adopt Exchange Rule 1326, Transfer of Positions2020-09-14T00:00:00-07:002020-09-14T00:00:00-07:002020-20130Noticehttps://www.govinfo.gov/content/pkg/FR-2020-09-14/pdf/2020-20130.pdfhttps://regulations.justia.com/regulations/fedreg/2020/09/14/2020-20129.htmlNotice - Self-Regulatory Organizations; MEMX LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Adopt Rule 15.3, Collection of Exchange Fees and Other Claims and Billing Policy2020-09-14T00:00:00-07:002020-09-14T00:00:00-07:002020-20129Noticehttps://www.govinfo.gov/content/pkg/FR-2020-09-14/pdf/2020-20129.pdfhttps://regulations.justia.com/regulations/fedreg/2020/09/14/2020-20128.htmlNotice - Self-Regulatory Organizations; Nasdaq BX, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Rule 47592020-09-14T00:00:00-07:002020-09-14T00:00:00-07:002020-20128Noticehttps://www.govinfo.gov/content/pkg/FR-2020-09-14/pdf/2020-20128.pdfhttps://regulations.justia.com/regulations/fedreg/2020/09/14/2020-20127.htmlNotice - Self-Regulatory Organizations; Nasdaq PHLX LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Rule 33042020-09-14T00:00:00-07:002020-09-14T00:00:00-07:002020-20127Noticehttps://www.govinfo.gov/content/pkg/FR-2020-09-14/pdf/2020-20127.pdfhttps://regulations.justia.com/regulations/fedreg/2020/09/14/2020-20126.htmlNotice - Self-Regulatory Organizations; The Nasdaq Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Equity 7, Section 114(e) and Equity 7, Section 118 of the Fee Schedule2020-09-14T00:00:00-07:002020-09-14T00:00:00-07:002020-20126Noticehttps://www.govinfo.gov/content/pkg/FR-2020-09-14/pdf/2020-20126.pdfhttps://regulations.justia.com/regulations/fedreg/2020/09/14/2020-20125.htmlNotice - Self-Regulatory Organizations; Cboe BZX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Update Rule 11.26(a), Stating It Will Utilize MIAX PEARL Market Data From the CQSUQDF for Purposes of Order Handling, Routing, Execution, and Related Compliance Processes2020-09-14T00:00:00-07:002020-09-14T00:00:00-07:002020-20125Noticehttps://www.govinfo.gov/content/pkg/FR-2020-09-14/pdf/2020-20125.pdfhttps://regulations.justia.com/regulations/fedreg/2020/09/14/2020-20124.htmlNotice - Self-Regulatory Organizations; Cboe BYX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Rule 11.26(a), Stating It Will Utilize MIAX PEARL Market Data From the CQSUQDF for Purposes of Order Handling, Routing, Execution, and Related Compliance Processes2020-09-14T00:00:00-07:002020-09-14T00:00:00-07:002020-20124Noticehttps://www.govinfo.gov/content/pkg/FR-2020-09-14/pdf/2020-20124.pdfhttps://regulations.justia.com/regulations/fedreg/2020/09/14/2020-20123.htmlNotice - Self-Regulatory Organizations; Cboe EDGX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Update Rule 13.4(a), Stating It Will Utilize MIAX PEARL Market Data From the CQSUQDF for Purposes of Order Handling, Routing, Execution, and Related Compliance Processes2020-09-14T00:00:00-07:002020-09-14T00:00:00-07:002020-20123Noticehttps://www.govinfo.gov/content/pkg/FR-2020-09-14/pdf/2020-20123.pdfhttps://regulations.justia.com/regulations/fedreg/2020/09/14/2020-20121.htmlNotice - Self-Regulatory Organizations; Cboe EDGA Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Update Rule 13.4(a), Stating It Will Utilize MIAX PEARL Market Data From the CQSUQDF for Purposes of Order Handling, Routing, Execution, and Related Compliance Processes2020-09-14T00:00:00-07:002020-09-14T00:00:00-07:002020-20121Noticehttps://www.govinfo.gov/content/pkg/FR-2020-09-14/pdf/2020-20121.pdfhttps://regulations.justia.com/regulations/fedreg/2020/09/11/2020-20022.htmlNotice - Self-Regulatory Organizations; MIAX PEARL, LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the MIAX PEARL Fee Schedule2020-09-11T00:00:00-07:002020-09-11T00:00:00-07:002020-20022Noticehttps://www.govinfo.gov/content/pkg/FR-2020-09-11/pdf/2020-20022.pdfhttps://regulations.justia.com/regulations/fedreg/2020/09/10/2020-20026.htmlNotice - 1WS Credit Income Fund, et al.2020-09-10T00:00:00-07:002020-09-10T00:00:00-07:002020-20026Noticehttps://www.govinfo.gov/content/pkg/FR-2020-09-10/pdf/2020-20026.pdfhttps://regulations.justia.com/regulations/fedreg/2020/09/10/2020-20025.htmlNotice - Self-Regulatory Organizations; Miami International Securities Exchange LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Its Fee Schedule2020-09-10T00:00:00-07:002020-09-10T00:00:00-07:002020-20025Noticehttps://www.govinfo.gov/content/pkg/FR-2020-09-10/pdf/2020-20025.pdfhttps://regulations.justia.com/regulations/fedreg/2020/09/10/2020-20024.htmlNotice - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Section 902.02 of the NYSE Listed Company Manual To Waive Initial Listing Fees and First Partial Year Annual Listing Fees for Any Issuer Not Listed on a National Securities Exchange That Is Listing Upon Closing of Its Acquisition of a SPAC Listed on the NYSE2020-09-10T00:00:00-07:002020-09-10T00:00:00-07:002020-20024Noticehttps://www.govinfo.gov/content/pkg/FR-2020-09-10/pdf/2020-20024.pdfhttps://regulations.justia.com/regulations/fedreg/2020/09/10/2020-20023.htmlNotice - Self-Regulatory Organizations; Cboe Exchange, Inc.; Order Granting Accelerated Approval of a Proposed Rule Change, as Modified by Amendment No. 1 Thereto, To Permanently Adopt the Related Futures Cross Order Type2020-09-10T00:00:00-07:002020-09-10T00:00:00-07:002020-20023Noticehttps://www.govinfo.gov/content/pkg/FR-2020-09-10/pdf/2020-20023.pdfhttps://regulations.justia.com/regulations/fedreg/2020/09/10/2020-20021.htmlNotice - Self-Regulatory Organizations; Miami International Securities Exchange, LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Its Fee Schedule To Increase the Number of Additional Limited Service MIAX Express Interface Ports Available to Market Makers2020-09-10T00:00:00-07:002020-09-10T00:00:00-07:002020-20021Noticehttps://www.govinfo.gov/content/pkg/FR-2020-09-10/pdf/2020-20021.pdfhttps://regulations.justia.com/regulations/fedreg/2020/09/10/2020-19946.htmlNotice - Self-Regulatory Organizations; The Nasdaq Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Proposed Rule Change To Amend The NASDAQ Options Market LLC Pricing Schedule at Options 7, Section 2 and Update Other Rule Text Within Options 7, Section 1 and Options 7, Section 52020-09-10T00:00:00-07:002020-09-10T00:00:00-07:002020-19946Noticehttps://www.govinfo.gov/content/pkg/FR-2020-09-10/pdf/2020-19946.pdfhttps://regulations.justia.com/regulations/fedreg/2020/09/10/2020-19945.htmlNotice - Self-Regulatory Organizations; Long-Term Stock Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Continue Suspending the Application of Order Price Collars in Rule 11.190(f)(1) Until October 8, 20202020-09-10T00:00:00-07:002020-09-10T00:00:00-07:002020-19945Noticehttps://www.govinfo.gov/content/pkg/FR-2020-09-10/pdf/2020-19945.pdfhttps://regulations.justia.com/regulations/fedreg/2020/09/10/2020-19944.htmlNotice - Self-Regulatory Organizations; Cboe Exchange, Inc.; Notice of Designation of Longer Period for Commission Action on Proceedings To Determine Whether To Approve or Disapprove a Proposed Rule Change To Adopt a Delta-Adjusted at Close Order Instruction2020-09-10T00:00:00-07:002020-09-10T00:00:00-07:002020-19944Noticehttps://www.govinfo.gov/content/pkg/FR-2020-09-10/pdf/2020-19944.pdfhttps://regulations.justia.com/regulations/fedreg/2020/09/10/2020-19943.htmlNotice - Self-Regulatory Organizations; MEMX LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the Corporate Documents of the Exchange's Parent Company2020-09-10T00:00:00-07:002020-09-10T00:00:00-07:002020-19943Noticehttps://www.govinfo.gov/content/pkg/FR-2020-09-10/pdf/2020-19943.pdfhttps://regulations.justia.com/regulations/fedreg/2020/09/10/2020-19942.htmlNotice - Self-Regulatory Organizations; LCH SA; Notice of Filing of Proposed Rule Change Relating to the Clearing of Single Name Credit Default Swaps Referencing Monoline Insurance Companies and the Amendment of LCH SA's Rules in Accordance With its Risk Policies2020-09-10T00:00:00-07:002020-09-10T00:00:00-07:002020-19942Noticehttps://www.govinfo.gov/content/pkg/FR-2020-09-10/pdf/2020-19942.pdfhttps://regulations.justia.com/regulations/fedreg/2020/09/10/2020-19941.htmlNotice - Self-Regulatory Organizations; Nasdaq BX, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Its Rules in Connection With a Technology Migration To Enhanced Nasdaq, Inc. Functionality2020-09-10T00:00:00-07:002020-09-10T00:00:00-07:002020-19941Noticehttps://www.govinfo.gov/content/pkg/FR-2020-09-10/pdf/2020-19941.pdfhttps://regulations.justia.com/regulations/fedreg/2020/09/09/2020-19918.htmlNotice - Resource Credit Income Fund and Sierra Crest Investment Management LLC2020-09-09T00:00:00-07:002020-09-09T00:00:00-07:002020-19918Noticehttps://www.govinfo.gov/content/pkg/FR-2020-09-09/pdf/2020-19918.pdfhttps://regulations.justia.com/regulations/fedreg/2020/09/09/2020-19850.htmlNotice - Self-Regulatory Organizations; Cboe BYX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Update Rule 11.26(a), Stating It Will Utilize MEMX Market Data From the CQS/UQDF for Purposes of Order Handling, Routing, Execution, and Related Compliance Processes2020-09-09T00:00:00-07:002020-09-09T00:00:00-07:002020-19850Noticehttps://www.govinfo.gov/content/pkg/FR-2020-09-09/pdf/2020-19850.pdfhttps://regulations.justia.com/regulations/fedreg/2020/09/09/2020-19848.htmlNotice - Self-Regulatory Organizations; Cboe EDGX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Update Rule 13.4(a), Stating It Will Utilize MEMX Market Data From the CQS/UQDF for Purposes of Order Handling, Routing, Execution, and Related Compliance Processes2020-09-09T00:00:00-07:002020-09-09T00:00:00-07:002020-19848Noticehttps://www.govinfo.gov/content/pkg/FR-2020-09-09/pdf/2020-19848.pdfhttps://regulations.justia.com/regulations/fedreg/2020/09/09/2020-19847.htmlNotice - Self-Regulatory Organizations; Cboe EDGA Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Update Rule 13.4(a), Stating It Will Utilize MEMX Market Data From the CQS/UQDF for Purposes of Order Handling, Routing, Execution, and Related Compliance Processes2020-09-09T00:00:00-07:002020-09-09T00:00:00-07:002020-19847Noticehttps://www.govinfo.gov/content/pkg/FR-2020-09-09/pdf/2020-19847.pdfhttps://regulations.justia.com/regulations/fedreg/2020/09/09/2020-19846.htmlNotice - Self-Regulatory Organizations; Cboe Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To List and Trade Options That Overlie the S&P 500 ESG Index2020-09-09T00:00:00-07:002020-09-09T00:00:00-07:002020-19846Noticehttps://www.govinfo.gov/content/pkg/FR-2020-09-09/pdf/2020-19846.pdfhttps://regulations.justia.com/regulations/fedreg/2020/09/09/2020-19845.htmlNotice - Self-Regulatory Organizations; MIAX PEARL, LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Exchange Rule 2613 Usage of Data Feeds2020-09-09T00:00:00-07:002020-09-09T00:00:00-07:002020-19845Noticehttps://www.govinfo.gov/content/pkg/FR-2020-09-09/pdf/2020-19845.pdfhttps://regulations.justia.com/regulations/fedreg/2020/09/09/2020-19844.htmlNotice - Self-Regulatory Organizations; The Nasdaq Stock Market LLC; Designation of a Longer Period for Commission Action on a Proposed Rule Change To Amend the Procedures Governing the Introduction of Legal Arguments and Material Information by Companies in a Proceeding Before a Hearings Panel2020-09-09T00:00:00-07:002020-09-09T00:00:00-07:002020-19844Noticehttps://www.govinfo.gov/content/pkg/FR-2020-09-09/pdf/2020-19844.pdfhttps://regulations.justia.com/regulations/fedreg/2020/09/09/2020-19843.htmlNotice - Self-Regulatory Organizations; Cboe Exchange, Inc.; Notice of Designation of a Longer Period for Commission Action on a Proposed Rule Change To Authorize for Trading Flexible Exchange Options on Full-Value Indexes With a Contract Multiplier of One2020-09-09T00:00:00-07:002020-09-09T00:00:00-07:002020-19843Noticehttps://www.govinfo.gov/content/pkg/FR-2020-09-09/pdf/2020-19843.pdfhttps://regulations.justia.com/regulations/fedreg/2020/09/09/2020-19841.htmlNotice - Self-Regulatory Organizations; The Nasdaq Stock Market LLC; Order Instituting Proceedings To Determine Whether To Approve or Disapprove a Proposed Rule Change To Amend IM-5101-1 (Use of Discretionary Authority) To Deny Listing or Continued Listing or To Apply Additional and More Stringent Criteria to an Applicant or Listed Company Based on Considerations Related to the Company's Auditor or When a Company's Business Is Principally Administered in a Jurisdiction That Is a Restrictive Market2020-09-09T00:00:00-07:002020-09-09T00:00:00-07:002020-19841Noticehttps://www.govinfo.gov/content/pkg/FR-2020-09-09/pdf/2020-19841.pdfhttps://regulations.justia.com/regulations/fedreg/2020/09/09/2020-19839.htmlNotice - Self-Regulatory Organizations; MIAX PEARL, LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to the Designation of Members for Mandatory Disaster Recovery Testing Pursuant to Regulation SCI for Calendar Year 20202020-09-09T00:00:00-07:002020-09-09T00:00:00-07:002020-19839Noticehttps://www.govinfo.gov/content/pkg/FR-2020-09-09/pdf/2020-19839.pdfhttps://regulations.justia.com/regulations/fedreg/2020/09/09/2020-19838.htmlNotice - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Temporarily Amend FINRA Rules 1015, 9261, 9524 and 9830 To Permit Hearings Under Those Rules To Be Conducted by Video Conference2020-09-09T00:00:00-07:002020-09-09T00:00:00-07:002020-19838Noticehttps://www.govinfo.gov/content/pkg/FR-2020-09-09/pdf/2020-19838.pdfhttps://regulations.justia.com/regulations/fedreg/2020/09/09/2020-19827.htmlNotice - Federated Hermes Adviser Series, et al.; Notice of Application2020-09-09T00:00:00-07:002020-09-09T00:00:00-07:002020-19827Noticehttps://www.govinfo.gov/content/pkg/FR-2020-09-09/pdf/2020-19827.pdfhttps://regulations.justia.com/regulations/fedreg/2020/09/08/2020-19904.htmlNotice - Sunshine Act Meetings2020-09-08T00:00:00-07:002020-09-08T00:00:00-07:002020-19904Noticehttps://www.govinfo.gov/content/pkg/FR-2020-09-08/pdf/2020-19904.pdfhttps://regulations.justia.com/regulations/fedreg/2020/09/08/2020-19851.htmlNotice - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Its Price List2020-09-08T00:00:00-07:002020-09-08T00:00:00-07:002020-19851Noticehttps://www.govinfo.gov/content/pkg/FR-2020-09-08/pdf/2020-19851.pdfhttps://regulations.justia.com/regulations/fedreg/2020/09/08/2020-19849.htmlNotice - Self-Regulatory Organizations; Cboe BZX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Update Rule 11.26(a), Stating It Will Utilize MEMX Market Data From the CQS/UQDF for Purposes of Order Handling, Routing, Execution, and Related Compliance Processes2020-09-08T00:00:00-07:002020-09-08T00:00:00-07:002020-19849Noticehttps://www.govinfo.gov/content/pkg/FR-2020-09-08/pdf/2020-19849.pdfhttps://regulations.justia.com/regulations/fedreg/2020/09/08/2020-19842.htmlNotice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Modify the NYSE Arca Options Fee Schedule2020-09-08T00:00:00-07:002020-09-08T00:00:00-07:002020-19842Noticehttps://www.govinfo.gov/content/pkg/FR-2020-09-08/pdf/2020-19842.pdfhttps://regulations.justia.com/regulations/fedreg/2020/09/08/2020-19724.htmlNotice - Proposed Collection; Comment Request2020-09-08T00:00:00-07:002020-09-08T00:00:00-07:002020-19724Noticehttps://www.govinfo.gov/content/pkg/FR-2020-09-08/pdf/2020-19724.pdfhttps://regulations.justia.com/regulations/fedreg/2020/09/08/2020-19723.htmlNotice - Proposed Collection; Comment Request2020-09-08T00:00:00-07:002020-09-08T00:00:00-07:002020-19723Noticehttps://www.govinfo.gov/content/pkg/FR-2020-09-08/pdf/2020-19723.pdfhttps://regulations.justia.com/regulations/fedreg/2020/09/08/2020-19722.htmlNotice - Proposed Collection; Comment Request2020-09-08T00:00:00-07:002020-09-08T00:00:00-07:002020-19722Noticehttps://www.govinfo.gov/content/pkg/FR-2020-09-08/pdf/2020-19722.pdfhttps://regulations.justia.com/regulations/fedreg/2020/09/08/2020-19721.htmlNotice - Proposed Collection; Comment Request2020-09-08T00:00:00-07:002020-09-08T00:00:00-07:002020-19721Noticehttps://www.govinfo.gov/content/pkg/FR-2020-09-08/pdf/2020-19721.pdfhttps://regulations.justia.com/regulations/fedreg/2020/09/08/2020-19719.htmlNotice - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Temporarily Adopt (1) Supplementary Material .12 (Temporary Extension of the Limited Period for Registered Persons To Function as Principals) Under FINRA Rule 1210 and (2) Supplementary Material .07 (Temporary Extension of the Limited Period for Persons To Function as Operations Professionals) Under FINRA Rule 12202020-09-08T00:00:00-07:002020-09-08T00:00:00-07:002020-19719Noticehttps://www.govinfo.gov/content/pkg/FR-2020-09-08/pdf/2020-19719.pdfhttps://regulations.justia.com/regulations/fedreg/2020/09/08/2020-19718.htmlNotice - Self-Regulatory Organizations; Nasdaq BX, Inc.; Order Approving Proposed Rule Change To Amend BX's Opening Process in Connection With a Technology Migration2020-09-08T00:00:00-07:002020-09-08T00:00:00-07:002020-19718Noticehttps://www.govinfo.gov/content/pkg/FR-2020-09-08/pdf/2020-19718.pdfhttps://regulations.justia.com/regulations/fedreg/2020/09/08/2020-19717.htmlNotice - Self-Regulatory Organizations; MIAX PEARL, LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Implement a Second Equity Rights Program2020-09-08T00:00:00-07:002020-09-08T00:00:00-07:002020-19717Noticehttps://www.govinfo.gov/content/pkg/FR-2020-09-08/pdf/2020-19717.pdfhttps://regulations.justia.com/regulations/fedreg/2020/09/08/2020-19716.htmlNotice - Self-Regulatory Organizations; Nasdaq PHLX LLC; Notice of Filing of Proposed Rule Change To List and Trade Options on a Nasdaq-100® Volatility Index2020-09-08T00:00:00-07:002020-09-08T00:00:00-07:002020-19716Noticehttps://www.govinfo.gov/content/pkg/FR-2020-09-08/pdf/2020-19716.pdfhttps://regulations.justia.com/regulations/fedreg/2020/09/08/2020-19715.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 8.201-E (Commodity-Based Trust Shares) and To Permit the Listing and Trading of Shares of the United States Gold and Treasury Investment Trust Under NYSE Arca Rule 8.201-E2020-09-08T00:00:00-07:002020-09-08T00:00:00-07:002020-19715Noticehttps://www.govinfo.gov/content/pkg/FR-2020-09-08/pdf/2020-19715.pdfhttps://regulations.justia.com/regulations/fedreg/2020/09/08/2020-19714.htmlNotice - Self-Regulatory Organizations; NYSE American LLC; Notice of Filing of Proposed Rule Change To Modify Rules 971.1NY and 971.2NY2020-09-08T00:00:00-07:002020-09-08T00:00:00-07:002020-19714Noticehttps://www.govinfo.gov/content/pkg/FR-2020-09-08/pdf/2020-19714.pdfhttps://regulations.justia.com/regulations/fedreg/2020/09/04/2020-19787.htmlNotice - Sunshine Act Meetings2020-09-04T00:00:00-07:002020-09-04T00:00:00-07:002020-19787Noticehttps://www.govinfo.gov/content/pkg/FR-2020-09-04/pdf/2020-19787.pdfhttps://regulations.justia.com/regulations/fedreg/2020/09/04/2020-19658.htmlNotice - Self-Regulatory Organizations; Fixed Income Clearing Corporation; Notice of Filing of Advance Notice, as Modified by Amendment No. 1, To Introduce the Margin Liquidity Adjustment Charge and Include a Bid-Ask Risk Charge in the VaR Charges2020-09-04T00:00:00-07:002020-09-04T00:00:00-07:002020-19658Noticehttps://www.govinfo.gov/content/pkg/FR-2020-09-04/pdf/2020-19658.pdfhttps://regulations.justia.com/regulations/fedreg/2020/09/04/2020-19656.htmlNotice - Self-Regulatory Organizations; National Securities Clearing Corporation; Notice of Filing of Advance Notice, as Modified by Amendment No. 1, To Introduce the Margin Liquidity Adjustment Charge and Include a Bid-Ask Risk Charge in the VaR Charge2020-09-04T00:00:00-07:002020-09-04T00:00:00-07:002020-19656Noticehttps://www.govinfo.gov/content/pkg/FR-2020-09-04/pdf/2020-19656.pdfhttps://regulations.justia.com/regulations/fedreg/2020/09/04/2020-19653.htmlNotice - Self-Regulatory Organizations; Cboe BZX Exchange, Inc.; Order Instituting Proceedings To Determine Whether To Approve or Disapprove a Proposed Rule Change To Accommodate Exchange Listing and Trading of Options-Linked Securities2020-09-04T00:00:00-07:002020-09-04T00:00:00-07:002020-19653Noticehttps://www.govinfo.gov/content/pkg/FR-2020-09-04/pdf/2020-19653.pdfhttps://regulations.justia.com/regulations/fedreg/2020/09/04/2020-19561.htmlNotice - BlackRock ETF Trust III, et al.2020-09-04T00:00:00-07:002020-09-04T00:00:00-07:002020-19561Noticehttps://www.govinfo.gov/content/pkg/FR-2020-09-04/pdf/2020-19561.pdfhttps://regulations.justia.com/regulations/fedreg/2020/09/03/2020-19649.htmlNotice - Sunshine Act Meeting; Cancellation2020-09-03T00:00:00-07:002020-09-03T00:00:00-07:002020-19649Noticehttps://www.govinfo.gov/content/pkg/FR-2020-09-03/pdf/2020-19649.pdfhttps://regulations.justia.com/regulations/fedreg/2020/09/03/2020-19518.htmlNotice - Investor Advisory Committee Meeting2020-09-03T00:00:00-07:002020-09-03T00:00:00-07:002020-19518Noticehttps://www.govinfo.gov/content/pkg/FR-2020-09-03/pdf/2020-19518.pdfhttps://regulations.justia.com/regulations/fedreg/2020/09/03/2020-19454.htmlNotice - Self-Regulatory Organizations; Long-Term Stock Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Temporarily Suspend the Application of Order Price Collars in Rule 11.190(f)(1) Until September 8, 20202020-09-03T00:00:00-07:002020-09-03T00:00:00-07:002020-19454Noticehttps://www.govinfo.gov/content/pkg/FR-2020-09-03/pdf/2020-19454.pdfhttps://regulations.justia.com/regulations/fedreg/2020/09/03/2020-19453.htmlNotice - Self-Regulatory Organizations; Cboe Exchange, Inc.; Notice of Filing of a Proposed Rule Change Relating To Adopt Compression Orders2020-09-03T00:00:00-07:002020-09-03T00:00:00-07:002020-19453Noticehttps://www.govinfo.gov/content/pkg/FR-2020-09-03/pdf/2020-19453.pdfhttps://regulations.justia.com/regulations/fedreg/2020/09/03/2020-19452.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 MIAX PEARL, LLC in the List of Away Trading Centers To Which the Exchange Routes and the Market Data Sources the Exchange Will Use To Determine MIAX PEARL's Top of Book Quotation2020-09-03T00:00:00-07:002020-09-03T00:00:00-07:002020-19452Noticehttps://www.govinfo.gov/content/pkg/FR-2020-09-03/pdf/2020-19452.pdfhttps://regulations.justia.com/regulations/fedreg/2020/09/03/2020-19451.htmlNotice - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Security Futures Risk Disclosure Statement2020-09-03T00:00:00-07:002020-09-03T00:00:00-07:002020-19451Noticehttps://www.govinfo.gov/content/pkg/FR-2020-09-03/pdf/2020-19451.pdfhttps://regulations.justia.com/regulations/fedreg/2020/09/03/2020-16338.htmlRule - Supplement to Commission Guidance Regarding Proxy Voting Responsibilities of Investment Advisers2020-09-03T00:00:00-07:002020-09-03T00:00:00-07:002020-16338Rulehttps://www.govinfo.gov/content/pkg/FR-2020-09-03/pdf/2020-16338.pdfhttps://regulations.justia.com/regulations/fedreg/2020/09/03/2020-16337.htmlRule - Exemptions From the Proxy Rules for Proxy Voting Advice2020-09-03T00:00:00-07:002020-09-03T00:00:00-07:002020-16337Rulehttps://www.govinfo.gov/content/pkg/FR-2020-09-03/pdf/2020-16337.pdfhttps://regulations.justia.com/regulations/fedreg/2020/09/02/2020-19468.htmlRule - Temporary Amendments to Regulation Crowdfunding; Extension2020-09-02T00:00:00-07:002020-09-02T00:00:00-07:002020-19468Rulehttps://www.govinfo.gov/content/pkg/FR-2020-09-02/pdf/2020-19468.pdfhttps://regulations.justia.com/regulations/fedreg/2020/09/02/2020-19427.htmlNotice - Spinnaker ETF Series, et al.2020-09-02T00:00:00-07:002020-09-02T00:00:00-07:002020-19427Noticehttps://www.govinfo.gov/content/pkg/FR-2020-09-02/pdf/2020-19427.pdfhttps://regulations.justia.com/regulations/fedreg/2020/09/02/2020-19426.htmlNotice - Notice of Applications for Deregistration Under Section 8(f) of the Investment Company Act of 19402020-09-02T00:00:00-07:002020-09-02T00:00:00-07:002020-19426Noticehttps://www.govinfo.gov/content/pkg/FR-2020-09-02/pdf/2020-19426.pdfhttps://regulations.justia.com/regulations/fedreg/2020/09/02/2020-19406.htmlNotice - Morgan Stanley Direct Lending Fund, et al.2020-09-02T00:00:00-07:002020-09-02T00:00:00-07:002020-19406Noticehttps://www.govinfo.gov/content/pkg/FR-2020-09-02/pdf/2020-19406.pdfhttps://regulations.justia.com/regulations/fedreg/2020/09/02/2020-19327.htmlNotice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Modify the NYSE Arca Options Fee Schedule2020-09-02T00:00:00-07:002020-09-02T00:00:00-07:002020-19327Noticehttps://www.govinfo.gov/content/pkg/FR-2020-09-02/pdf/2020-19327.pdfhttps://regulations.justia.com/regulations/fedreg/2020/09/02/2020-19326.htmlNotice - Self-Regulatory Organizations; NYSE American LLC; Notice of Filing and Immediate Effectiveness of Proposed Change To Modify the NYSE American Options Fee Schedule2020-09-02T00:00:00-07:002020-09-02T00:00:00-07:002020-19326Noticehttps://www.govinfo.gov/content/pkg/FR-2020-09-02/pdf/2020-19326.pdfhttps://regulations.justia.com/regulations/fedreg/2020/09/01/2020-19300.htmlNotice - Asset Management Advisory Committee2020-09-01T00:00:00-07:002020-09-01T00:00:00-07:002020-19300Noticehttps://www.govinfo.gov/content/pkg/FR-2020-09-01/pdf/2020-19300.pdfhttps://regulations.justia.com/regulations/fedreg/2020/09/01/2020-19204.htmlNotice - Self-Regulatory Organizations; Investors Exchange LLC; Order Approving a Proposed Rule Change To Add a New Discretionary Limit Order Type Called D-Limit2020-09-01T00:00:00-07:002020-09-01T00:00:00-07:002020-19204Noticehttps://www.govinfo.gov/content/pkg/FR-2020-09-01/pdf/2020-19204.pdfhttps://regulations.justia.com/regulations/fedreg/2020/09/01/2020-19203.htmlNotice - Self-Regulatory Organizations; New York Stock Exchange LLC; Order Approving a Proposed Rule Change, as Modified by Amendment No. 2, To Amend Chapter One of the Listed Company Manual To Modify the Provisions Relating to Direct Listings2020-09-01T00:00:00-07:002020-09-01T00:00:00-07:002020-19203Noticehttps://www.govinfo.gov/content/pkg/FR-2020-09-01/pdf/2020-19203.pdfhttps://regulations.justia.com/regulations/fedreg/2020/09/01/2020-19192.htmlNotice - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing of a Proposed Rule Change To Delete the FINRA Order Audit Trail System (OATS) Rules2020-09-01T00:00:00-07:002020-09-01T00:00:00-07:002020-19192Noticehttps://www.govinfo.gov/content/pkg/FR-2020-09-01/pdf/2020-19192.pdfhttps://regulations.justia.com/regulations/fedreg/2020/09/01/2020-19191.htmlNotice - Self-Regulatory Organizations; LCH SA; Order Approving Proposed Rule Change, as Modified by Amendment No. 1, Relating to Clearing of Markit iTraxx MSCI ESG Screened Europe Index Contracts2020-09-01T00:00:00-07:002020-09-01T00:00:00-07:002020-19191Noticehttps://www.govinfo.gov/content/pkg/FR-2020-09-01/pdf/2020-19191.pdfhttps://regulations.justia.com/regulations/fedreg/2020/09/01/2020-19190.htmlNotice - Self-Regulatory Organizations; Cboe BZX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the Fee Schedule2020-09-01T00:00:00-07:002020-09-01T00:00:00-07:002020-19190Noticehttps://www.govinfo.gov/content/pkg/FR-2020-09-01/pdf/2020-19190.pdf