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/2020/10?limit=200®isters=between&min-day=1&max-day=31&mode=atom2024-05-03T19:55:42-07:00Justia Inchttps://www.justia.com/Justia Regulations Trackerhttps://regulations.justia.com/images/justiafedregulations.gifCopyright 2011 Justia Inchttps://regulations.justia.com/regulations/fedreg/2020/10/30/2020-24193.htmlNotice - Sunshine Act Meetings2020-10-30T00:00:00-07:002020-10-30T00:00:00-07:002020-24193Noticehttps://www.govinfo.gov/content/pkg/FR-2020-10-30/pdf/2020-24193.pdfhttps://regulations.justia.com/regulations/fedreg/2020/10/30/2020-24022.htmlNotice - Self-Regulatory Organizations; LCH SA; Notice of Filing of Proposed Rule Change Relating to the Amendments of LCH SA Risk Liquidity Modeling Framework2020-10-30T00:00:00-07:002020-10-30T00:00:00-07:002020-24022Noticehttps://www.govinfo.gov/content/pkg/FR-2020-10-30/pdf/2020-24022.pdfhttps://regulations.justia.com/regulations/fedreg/2020/10/30/2020-24015.htmlNotice - Managed Portfolio Series and Tortoise Index Solutions, LLC2020-10-30T00:00:00-07:002020-10-30T00:00:00-07:002020-24015Noticehttps://www.govinfo.gov/content/pkg/FR-2020-10-30/pdf/2020-24015.pdfhttps://regulations.justia.com/regulations/fedreg/2020/10/29/2020-24043.htmlNotice - Sunshine Act Meetings2020-10-29T00:00:00-07:002020-10-29T00:00:00-07:002020-24043Noticehttps://www.govinfo.gov/content/pkg/FR-2020-10-29/pdf/2020-24043.pdfhttps://regulations.justia.com/regulations/fedreg/2020/10/29/2020-23920.htmlNotice - Self-Regulatory Organizations; Cboe Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating To Amend Rule 5.12020-10-29T00:00:00-07:002020-10-29T00:00:00-07:002020-23920Noticehttps://www.govinfo.gov/content/pkg/FR-2020-10-29/pdf/2020-23920.pdfhttps://regulations.justia.com/regulations/fedreg/2020/10/29/2020-23919.htmlNotice - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing of a Proposed Rule Change To Modify TRACE Dissemination Protocols Regarding Agency Pass-Through MBS or SBA-Backed ABS Traded in Specified Pool Transactions2020-10-29T00:00:00-07:002020-10-29T00:00:00-07:002020-23919Noticehttps://www.govinfo.gov/content/pkg/FR-2020-10-29/pdf/2020-23919.pdfhttps://regulations.justia.com/regulations/fedreg/2020/10/29/2020-23918.htmlNotice - Self-Regulatory Organizations; Cboe Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Renew Its Nonstandard Expirations Pilot Program2020-10-29T00:00:00-07:002020-10-29T00:00:00-07:002020-23918Noticehttps://www.govinfo.gov/content/pkg/FR-2020-10-29/pdf/2020-23918.pdfhttps://regulations.justia.com/regulations/fedreg/2020/10/29/2020-23916.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 Charges2020-10-29T00:00:00-07:002020-10-29T00:00:00-07:002020-23916Noticehttps://www.govinfo.gov/content/pkg/FR-2020-10-29/pdf/2020-23916.pdfhttps://regulations.justia.com/regulations/fedreg/2020/10/29/2020-23915.htmlNotice - Self-Regulatory Organizations; Cboe Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Extend the Operation of Its SPXPM Pilot Program2020-10-29T00:00:00-07:002020-10-29T00:00:00-07:002020-23915Noticehttps://www.govinfo.gov/content/pkg/FR-2020-10-29/pdf/2020-23915.pdfhttps://regulations.justia.com/regulations/fedreg/2020/10/29/2020-23913.htmlNotice - Self-Regulatory Organizations; Nasdaq ISE, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Extend the Pilot Period for the Exchange's Nonstandard Expirations Pilot Program2020-10-29T00:00:00-07:002020-10-29T00:00:00-07:002020-23913Noticehttps://www.govinfo.gov/content/pkg/FR-2020-10-29/pdf/2020-23913.pdfhttps://regulations.justia.com/regulations/fedreg/2020/10/28/2020-23834.htmlNotice - SEC Small Business Capital Formation Advisory Committee2020-10-28T00:00:00-07:002020-10-28T00:00:00-07:002020-23834Noticehttps://www.govinfo.gov/content/pkg/FR-2020-10-28/pdf/2020-23834.pdfhttps://regulations.justia.com/regulations/fedreg/2020/10/28/2020-23802.htmlNotice - Self-Regulatory Organizations; Nasdaq ISE, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Extend a Pilot on the Nasdaq-100 Reduced Value Index2020-10-28T00:00:00-07:002020-10-28T00:00:00-07:002020-23802Noticehttps://www.govinfo.gov/content/pkg/FR-2020-10-28/pdf/2020-23802.pdfhttps://regulations.justia.com/regulations/fedreg/2020/10/28/2020-23800.htmlNotice - Self-Regulatory Organizations; Nasdaq PHLX LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Extend the Exchange's Nonstandard Expirations Pilot Program2020-10-28T00:00:00-07:002020-10-28T00:00:00-07:002020-23800Noticehttps://www.govinfo.gov/content/pkg/FR-2020-10-28/pdf/2020-23800.pdfhttps://regulations.justia.com/regulations/fedreg/2020/10/28/2020-23799.htmlNotice - Self-Regulatory Organizations; Cboe BZX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Extend the Pilot Programs in Connection With the Listing and Trading of P.M.-Settled Series on Certain Broad-Based Index Options2020-10-28T00:00:00-07:002020-10-28T00:00:00-07:002020-23799Noticehttps://www.govinfo.gov/content/pkg/FR-2020-10-28/pdf/2020-23799.pdfhttps://regulations.justia.com/regulations/fedreg/2020/10/28/2020-23798.htmlNotice - Self-Regulatory Organizations; Cboe EDGX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Extend the Pilot Programs in Connection With the Listing and Trading of P.M.-Settled Series on Certain Broad-Based Index Options2020-10-28T00:00:00-07:002020-10-28T00:00:00-07:002020-23798Noticehttps://www.govinfo.gov/content/pkg/FR-2020-10-28/pdf/2020-23798.pdfhttps://regulations.justia.com/regulations/fedreg/2020/10/28/2020-23797.htmlNotice - Self-Regulatory Organizations; Miami International Securities Exchange, LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Exchange Rule 518, Complex Orders and Rule 519A, Risk Protection Monitor2020-10-28T00:00:00-07:002020-10-28T00:00:00-07:002020-23797Noticehttps://www.govinfo.gov/content/pkg/FR-2020-10-28/pdf/2020-23797.pdfhttps://regulations.justia.com/regulations/fedreg/2020/10/28/2020-23796.htmlNotice - Self-Regulatory Organizations; Cboe EDGX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Enhance Its Drill-Through Protections and Make Other Clarifying Changes2020-10-28T00:00:00-07:002020-10-28T00:00:00-07:002020-23796Noticehttps://www.govinfo.gov/content/pkg/FR-2020-10-28/pdf/2020-23796.pdfhttps://regulations.justia.com/regulations/fedreg/2020/10/28/2020-23795.htmlNotice - Self-Regulatory Organizations; Municipal Securities Rulemaking Board; Notice of Filing of a Proposed Rule Change To Amend MSRB Form G-322020-10-28T00:00:00-07:002020-10-28T00:00:00-07:002020-23795Noticehttps://www.govinfo.gov/content/pkg/FR-2020-10-28/pdf/2020-23795.pdfhttps://regulations.justia.com/regulations/fedreg/2020/10/28/2020-23794.htmlNotice - Self-Regulatory Organizations; The Nasdaq Stock Market LLC; Notice of Filing of Proposed Rule Change, as Modified by Amendment No. 1, To Exclude Special Purpose Acquisition Companies From the Requirement That at Least 50% of a Company's Round Lot Holders Each Hold Unrestricted Securities With a Market Value of at Least $2,5002020-10-28T00:00:00-07:002020-10-28T00:00:00-07:002020-23794Noticehttps://www.govinfo.gov/content/pkg/FR-2020-10-28/pdf/2020-23794.pdfhttps://regulations.justia.com/regulations/fedreg/2020/10/27/2020-23778.htmlNotice - Goldman Sachs (Malaysia) Sdn. Bhd., et al.; Notice of Application and Temporary Order2020-10-27T00:00:00-07:002020-10-27T00:00:00-07:002020-23778Noticehttps://www.govinfo.gov/content/pkg/FR-2020-10-27/pdf/2020-23778.pdfhttps://regulations.justia.com/regulations/fedreg/2020/10/27/2020-23754.htmlNotice - Submission for OMB Review; Comment Request2020-10-27T00:00:00-07:002020-10-27T00:00:00-07:002020-23754Noticehttps://www.govinfo.gov/content/pkg/FR-2020-10-27/pdf/2020-23754.pdfhttps://regulations.justia.com/regulations/fedreg/2020/10/27/2020-23753.htmlNotice - Submission for OMB Review; Comment Request2020-10-27T00:00:00-07:002020-10-27T00:00:00-07:002020-23753Noticehttps://www.govinfo.gov/content/pkg/FR-2020-10-27/pdf/2020-23753.pdfhttps://regulations.justia.com/regulations/fedreg/2020/10/27/2020-23752.htmlNotice - Submission for OMB Review; Comment Request2020-10-27T00:00:00-07:002020-10-27T00:00:00-07:002020-23752Noticehttps://www.govinfo.gov/content/pkg/FR-2020-10-27/pdf/2020-23752.pdfhttps://regulations.justia.com/regulations/fedreg/2020/10/27/2020-23751.htmlNotice - Submission for OMB Review; Comment Request2020-10-27T00:00:00-07:002020-10-27T00:00:00-07:002020-23751Noticehttps://www.govinfo.gov/content/pkg/FR-2020-10-27/pdf/2020-23751.pdfhttps://regulations.justia.com/regulations/fedreg/2020/10/27/2020-23750.htmlNotice - Submission for OMB Review; Comment Request2020-10-27T00:00:00-07:002020-10-27T00:00:00-07:002020-23750Noticehttps://www.govinfo.gov/content/pkg/FR-2020-10-27/pdf/2020-23750.pdfhttps://regulations.justia.com/regulations/fedreg/2020/10/27/2020-23749.htmlNotice - Submission for OMB Review; Comment Request2020-10-27T00:00:00-07:002020-10-27T00:00:00-07:002020-23749Noticehttps://www.govinfo.gov/content/pkg/FR-2020-10-27/pdf/2020-23749.pdfhttps://regulations.justia.com/regulations/fedreg/2020/10/27/2020-23748.htmlNotice - Submission for OMB Review; Comment Request2020-10-27T00:00:00-07:002020-10-27T00:00:00-07:002020-23748Noticehttps://www.govinfo.gov/content/pkg/FR-2020-10-27/pdf/2020-23748.pdfhttps://regulations.justia.com/regulations/fedreg/2020/10/27/2020-23747.htmlNotice - Submission for OMB Review; Comment Request2020-10-27T00:00:00-07:002020-10-27T00:00:00-07:002020-23747Noticehttps://www.govinfo.gov/content/pkg/FR-2020-10-27/pdf/2020-23747.pdfhttps://regulations.justia.com/regulations/fedreg/2020/10/27/2020-23685.htmlNotice - Self-Regulatory Organizations; Cboe C2 Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Enhance its Drill-Through Protections and Make Other Clarifying Changes2020-10-27T00:00:00-07:002020-10-27T00:00:00-07:002020-23685Noticehttps://www.govinfo.gov/content/pkg/FR-2020-10-27/pdf/2020-23685.pdfhttps://regulations.justia.com/regulations/fedreg/2020/10/27/2020-23684.htmlNotice - Self-Regulatory Organizations; Cboe BZX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Enhance Its Drill-Through Protections and Make Other Clarifying Change2020-10-27T00:00:00-07:002020-10-27T00:00:00-07:002020-23684Noticehttps://www.govinfo.gov/content/pkg/FR-2020-10-27/pdf/2020-23684.pdfhttps://regulations.justia.com/regulations/fedreg/2020/10/27/2020-23683.htmlNotice - Self-Regulatory Organizations; Cboe EDGA Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Extend the Current Pilot Program Related to EDGA Rule 11.15, Clearly Erroneous Executions, to the Close of Business on April 20, 20212020-10-27T00:00:00-07:002020-10-27T00:00:00-07:002020-23683Noticehttps://www.govinfo.gov/content/pkg/FR-2020-10-27/pdf/2020-23683.pdfhttps://regulations.justia.com/regulations/fedreg/2020/10/27/2020-20980.htmlRule - Publication or Submission of Quotations Without Specified Information2020-10-27T00:00:00-07:002020-10-27T00:00:00-07:002020-20980Rulehttps://www.govinfo.gov/content/pkg/FR-2020-10-27/pdf/2020-20980.pdfhttps://regulations.justia.com/regulations/fedreg/2020/10/26/2020-23706.htmlNotice - Sunshine Act Meetings2020-10-26T00:00:00-07:002020-10-26T00:00:00-07:002020-23706Noticehttps://www.govinfo.gov/content/pkg/FR-2020-10-26/pdf/2020-23706.pdfhttps://regulations.justia.com/regulations/fedreg/2020/10/26/2020-23633.htmlNotice - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing of a Proposed Rule Change To Amend the FINRA Codes of Arbitration Procedure To Increase Arbitrator Chairperson Honoraria and Certain Arbitration Fees2020-10-26T00:00:00-07:002020-10-26T00:00:00-07:002020-23633Noticehttps://www.govinfo.gov/content/pkg/FR-2020-10-26/pdf/2020-23633.pdfhttps://regulations.justia.com/regulations/fedreg/2020/10/26/2020-23575.htmlNotice - Self-Regulatory Organizations; Cboe EDGX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Extend the Current Pilot Program Related to EDGX Rule 11.15, Clearly Erroneous Executions, to the Close of Business on April 20, 20212020-10-26T00:00:00-07:002020-10-26T00:00:00-07:002020-23575Noticehttps://www.govinfo.gov/content/pkg/FR-2020-10-26/pdf/2020-23575.pdfhttps://regulations.justia.com/regulations/fedreg/2020/10/26/2020-23574.htmlNotice - Self-Regulatory Organizations; Cboe Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating To Amend Its Fees Schedule2020-10-26T00:00:00-07:002020-10-26T00:00:00-07:002020-23574Noticehttps://www.govinfo.gov/content/pkg/FR-2020-10-26/pdf/2020-23574.pdfhttps://regulations.justia.com/regulations/fedreg/2020/10/26/2020-23573.htmlNotice - Self-Regulatory Organizations; Cboe BZX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Extend the Current Pilot Program Related to BZX Rule 11.17, Clearly Erroneous Executions, to the Close of Business on April 20, 20212020-10-26T00:00:00-07:002020-10-26T00:00:00-07:002020-23573Noticehttps://www.govinfo.gov/content/pkg/FR-2020-10-26/pdf/2020-23573.pdfhttps://regulations.justia.com/regulations/fedreg/2020/10/26/2020-23572.htmlNotice - Self-Regulatory Organizations; Cboe BYX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Extend the Current Pilot Program Related to BYX Rule 11.17, Clearly Erroneous Executions, to the Close of Business on April 20, 20212020-10-26T00:00:00-07:002020-10-26T00:00:00-07:002020-23572Noticehttps://www.govinfo.gov/content/pkg/FR-2020-10-26/pdf/2020-23572.pdfhttps://regulations.justia.com/regulations/fedreg/2020/10/26/2020-23571.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 New Fee Codes Related to the Execution of Equity Legs of a Stock-Option Order2020-10-26T00:00:00-07:002020-10-26T00:00:00-07:002020-23571Noticehttps://www.govinfo.gov/content/pkg/FR-2020-10-26/pdf/2020-23571.pdfhttps://regulations.justia.com/regulations/fedreg/2020/10/26/2020-23570.htmlNotice - Self-Regulatory Organizations; Cboe EDGX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Its Fees Schedule To Adopt New Fee Codes Related to the Execution of Equity Legs of a Stock-Option Order2020-10-26T00:00:00-07:002020-10-26T00:00:00-07:002020-23570Noticehttps://www.govinfo.gov/content/pkg/FR-2020-10-26/pdf/2020-23570.pdfhttps://regulations.justia.com/regulations/fedreg/2020/10/26/2020-23568.htmlNotice - Self-Regulatory Organizations; Nasdaq PHLX LLC; Notice of Designation of a Longer Period for Commission Action on Proposed Rule Change To List and Trade Options on a Nasdaq-100® Volatility Index2020-10-26T00:00:00-07:002020-10-26T00:00:00-07:002020-23568Noticehttps://www.govinfo.gov/content/pkg/FR-2020-10-26/pdf/2020-23568.pdfhttps://regulations.justia.com/regulations/fedreg/2020/10/26/2020-23550.htmlNotice - Primark Private Equity Investments Fund and Primark Advisors LLC2020-10-26T00:00:00-07:002020-10-26T00:00:00-07:002020-23550Noticehttps://www.govinfo.gov/content/pkg/FR-2020-10-26/pdf/2020-23550.pdfhttps://regulations.justia.com/regulations/fedreg/2020/10/23/2020-23467.htmlNotice - Order Granting Conditional Exemptive Relief, Pursuant to Section 36 of the Securities Exchange Act of 1934 (“Exchange Act”) and Rule 608(e) of Regulation NMS Under the Exchange Act, Relating to the Reporting of Allocations Pursuant to the National Market System Plan Governing the Consolidated Audit Trail2020-10-23T00:00:00-07:002020-10-23T00:00:00-07:002020-23467Noticehttps://www.govinfo.gov/content/pkg/FR-2020-10-23/pdf/2020-23467.pdfhttps://regulations.justia.com/regulations/fedreg/2020/10/23/2020-23456.htmlNotice - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Extend the Pilot Program Related to FINRA Rule 11892 (Clearly Erroneous Transactions in Exchange-Listed Securities)2020-10-23T00:00:00-07:002020-10-23T00:00:00-07:002020-23456Noticehttps://www.govinfo.gov/content/pkg/FR-2020-10-23/pdf/2020-23456.pdfhttps://regulations.justia.com/regulations/fedreg/2020/10/23/2020-23455.htmlNotice - Self-Regulatory Organizations; Nasdaq BX, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Make Technical Amendments to the Options Listing Rules2020-10-23T00:00:00-07:002020-10-23T00:00:00-07:002020-23455Noticehttps://www.govinfo.gov/content/pkg/FR-2020-10-23/pdf/2020-23455.pdfhttps://regulations.justia.com/regulations/fedreg/2020/10/22/2020-23532.htmlNotice - Sunshine Act Meetings2020-10-22T00:00:00-07:002020-10-22T00:00:00-07:002020-23532Noticehttps://www.govinfo.gov/content/pkg/FR-2020-10-22/pdf/2020-23532.pdfhttps://regulations.justia.com/regulations/fedreg/2020/10/22/2020-23367.htmlNotice - Self-Regulatory Organizations; NYSE National, Inc.; Order Approving a Proposed Rule Change To Establish Fees for the NYSE National Integrated Feed2020-10-22T00:00:00-07:002020-10-22T00:00:00-07:002020-23367Noticehttps://www.govinfo.gov/content/pkg/FR-2020-10-22/pdf/2020-23367.pdfhttps://regulations.justia.com/regulations/fedreg/2020/10/22/2020-23362.htmlNotice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing of Amendment No. 3 and Order Granting Accelerated Approval of a Proposed Rule Change, as Modified by Amendment No. 3, To Amend NYSE Arca Rule 8.201-E (Commodity-Based Trust Shares) and To Permit the Listing and Trading of Shares of the Wilshire wShares Enhanced Gold Trust Under Amended NYSE Arca Rule 8.201-E2020-10-22T00:00:00-07:002020-10-22T00:00:00-07:002020-23362Noticehttps://www.govinfo.gov/content/pkg/FR-2020-10-22/pdf/2020-23362.pdfhttps://regulations.justia.com/regulations/fedreg/2020/10/22/2020-23361.htmlNotice - Self-Regulatory Organizations; Cboe Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Rule 5.34 in Connection With Its Debit/Credit Price Reasonability Check2020-10-22T00:00:00-07:002020-10-22T00:00:00-07:002020-23361Noticehttps://www.govinfo.gov/content/pkg/FR-2020-10-22/pdf/2020-23361.pdfhttps://regulations.justia.com/regulations/fedreg/2020/10/22/2020-23360.htmlNotice - Self-Regulatory Organizations; Cboe Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Enhance Its Drill-Through Protections and Make Other Clarifying Changes2020-10-22T00:00:00-07:002020-10-22T00:00:00-07:002020-23360Noticehttps://www.govinfo.gov/content/pkg/FR-2020-10-22/pdf/2020-23360.pdfhttps://regulations.justia.com/regulations/fedreg/2020/10/21/2020-23302.htmlNotice - Asset Management Advisory Committee; Meeting2020-10-21T00:00:00-07:002020-10-21T00:00:00-07:002020-23302Noticehttps://www.govinfo.gov/content/pkg/FR-2020-10-21/pdf/2020-23302.pdfhttps://regulations.justia.com/regulations/fedreg/2020/10/21/2020-23264.htmlNotice - Self-Regulatory Organizations; LCH SA; Order Approving 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 Policies2020-10-21T00:00:00-07:002020-10-21T00:00:00-07:002020-23264Noticehttps://www.govinfo.gov/content/pkg/FR-2020-10-21/pdf/2020-23264.pdfhttps://regulations.justia.com/regulations/fedreg/2020/10/21/2020-23263.htmlNotice - Self-Regulatory Organizations; Nasdaq BX, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Extend the Current Pilot Program Related to BX Rule 118902020-10-21T00:00:00-07:002020-10-21T00:00:00-07:002020-23263Noticehttps://www.govinfo.gov/content/pkg/FR-2020-10-21/pdf/2020-23263.pdfhttps://regulations.justia.com/regulations/fedreg/2020/10/21/2020-23262.htmlNotice - Self-Regulatory Organizations; Nasdaq PHLX LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Extend the Current Pilot Program Related to Phlx Rule 33122020-10-21T00:00:00-07:002020-10-21T00:00:00-07:002020-23262Noticehttps://www.govinfo.gov/content/pkg/FR-2020-10-21/pdf/2020-23262.pdfhttps://regulations.justia.com/regulations/fedreg/2020/10/21/2020-23261.htmlNotice - Self-Regulatory Organizations; Cboe Exchange, Inc.; Order Instituting Proceedings To Determine Whether To Approve or Disapprove a Proposed Rule Change To Authorize for Trading Flexible Exchange Options on Full-Value Indexes With a Contract Multiplier of One2020-10-21T00:00:00-07:002020-10-21T00:00:00-07:002020-23261Noticehttps://www.govinfo.gov/content/pkg/FR-2020-10-21/pdf/2020-23261.pdfhttps://regulations.justia.com/regulations/fedreg/2020/10/21/2020-23260.htmlNotice - Self-Regulatory Organizations; The Depository Trust Company; Notice of Filing of Proposed Rule Change To Adopt a New Service Guide To Establish the ClaimConnectTM2020-10-21T00:00:00-07:002020-10-21T00:00:00-07:002020-23260Noticehttps://www.govinfo.gov/content/pkg/FR-2020-10-21/pdf/2020-23260.pdfhttps://regulations.justia.com/regulations/fedreg/2020/10/21/2020-23259.htmlNotice - Self-Regulatory Organizations; The Nasdaq Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Rule 11890 (Clearly Erroneous Transactions)2020-10-21T00:00:00-07:002020-10-21T00:00:00-07:002020-23259Noticehttps://www.govinfo.gov/content/pkg/FR-2020-10-21/pdf/2020-23259.pdfhttps://regulations.justia.com/regulations/fedreg/2020/10/21/2020-23258.htmlNotice - Self-Regulatory Organizations; The Nasdaq Stock Market LLC; Order Approving 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 Panel2020-10-21T00:00:00-07:002020-10-21T00:00:00-07:002020-23258Noticehttps://www.govinfo.gov/content/pkg/FR-2020-10-21/pdf/2020-23258.pdfhttps://regulations.justia.com/regulations/fedreg/2020/10/21/2020-23257.htmlNotice - Self-Regulatory Organizations: Investors Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Add an Offset Peg Order Type2020-10-21T00:00:00-07:002020-10-21T00:00:00-07:002020-23257Noticehttps://www.govinfo.gov/content/pkg/FR-2020-10-21/pdf/2020-23257.pdfhttps://regulations.justia.com/regulations/fedreg/2020/10/21/2020-23256.htmlNotice - Self-Regulatory Organizations; MIAX Emerald, LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Its Fee Schedule To Adopt One-Time Membership Application Fees and Monthly Trading Permit Fees2020-10-21T00:00:00-07:002020-10-21T00:00:00-07:002020-23256Noticehttps://www.govinfo.gov/content/pkg/FR-2020-10-21/pdf/2020-23256.pdfhttps://regulations.justia.com/regulations/fedreg/2020/10/21/2020-23255.htmlNotice - Self-Regulatory Organizations; Cboe Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating To Amend the Definition of “Current Market Value” With Respect to Certain Index Options for Purposes of Calculating Margin Requirements2020-10-21T00:00:00-07:002020-10-21T00:00:00-07:002020-23255Noticehttps://www.govinfo.gov/content/pkg/FR-2020-10-21/pdf/2020-23255.pdfhttps://regulations.justia.com/regulations/fedreg/2020/10/21/2020-23254.htmlNotice - Self-Regulatory Organizations; NYSE American LLC; Notice of Filing and Immediate Effectiveness of Proposed Change To Amend the NYSE American Options Fee Schedule2020-10-21T00:00:00-07:002020-10-21T00:00:00-07:002020-23254Noticehttps://www.govinfo.gov/content/pkg/FR-2020-10-21/pdf/2020-23254.pdfhttps://regulations.justia.com/regulations/fedreg/2020/10/21/2020-23253.htmlNotice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Modify the NYSE Arca Options Fee2020-10-21T00:00:00-07:002020-10-21T00:00:00-07:002020-23253Noticehttps://www.govinfo.gov/content/pkg/FR-2020-10-21/pdf/2020-23253.pdfhttps://regulations.justia.com/regulations/fedreg/2020/10/21/2020-23250.htmlNotice - Self-Regulatory Organizations; New York Stock Exchange LLC, NYSE American LLC, NYSE Arca, Inc., NYSE Chicago, Inc., and NYSE National, Inc.; Notice of Filings of Partial Amendment No. 3 and Order Granting Accelerated Approval to Proposed Rule Changes, Each as Modified by Partial Amendment No. 3, To Establish a Wireless Fee Schedule Setting Forth Available Wireless Bandwidth Connections and Wireless Market Data Connections2020-10-21T00:00:00-07:002020-10-21T00:00:00-07:002020-23250Noticehttps://www.govinfo.gov/content/pkg/FR-2020-10-21/pdf/2020-23250.pdfhttps://regulations.justia.com/regulations/fedreg/2020/10/21/2020-23244.htmlNotice - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Extend the Pilot Period Related to FINRA Rule 6121.02 (Market-Wide Circuit Breakers in NMS Stocks)2020-10-21T00:00:00-07:002020-10-21T00:00:00-07:002020-23244Noticehttps://www.govinfo.gov/content/pkg/FR-2020-10-21/pdf/2020-23244.pdfhttps://regulations.justia.com/regulations/fedreg/2020/10/21/2020-23242.htmlNotice - 361 Social Infrastructure Fund and 361 Infrastructure Partners, LLC2020-10-21T00:00:00-07:002020-10-21T00:00:00-07:002020-23242Noticehttps://www.govinfo.gov/content/pkg/FR-2020-10-21/pdf/2020-23242.pdfhttps://regulations.justia.com/regulations/fedreg/2020/10/21/2020-23241.htmlNotice - YieldStreet Prism Fund Inc., et al.2020-10-21T00:00:00-07:002020-10-21T00:00:00-07:002020-23241Noticehttps://www.govinfo.gov/content/pkg/FR-2020-10-21/pdf/2020-23241.pdfhttps://regulations.justia.com/regulations/fedreg/2020/10/20/2020-23245.htmlNotice - Sunshine Act Meetings2020-10-20T00:00:00-07:002020-10-20T00:00:00-07:002020-23245Noticehttps://www.govinfo.gov/content/pkg/FR-2020-10-20/pdf/2020-23245.pdfhttps://regulations.justia.com/regulations/fedreg/2020/10/20/2020-23178.htmlNotice - Notice of Intention To Cancel Registration Pursuant to Section 203(h) of the Investment Advisers Act of 19402020-10-20T00:00:00-07:002020-10-20T00:00:00-07:002020-23178Noticehttps://www.govinfo.gov/content/pkg/FR-2020-10-20/pdf/2020-23178.pdfhttps://regulations.justia.com/regulations/fedreg/2020/10/20/2020-23151.htmlNotice - Self-Regulatory Organizations; MIAX PEARL, LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the MIAX PEARL Equities Fee Schedule To Adopt Connectivity Fees, Port Fees, a Technical Support Request Fee, and Historical Market Data Fee2020-10-20T00:00:00-07:002020-10-20T00:00:00-07:002020-23151Noticehttps://www.govinfo.gov/content/pkg/FR-2020-10-20/pdf/2020-23151.pdfhttps://regulations.justia.com/regulations/fedreg/2020/10/20/2020-23150.htmlNotice - Self-Regulatory Organizations; Cboe Exchange, Inc.; Order Granting Approval of a Proposed Rule Change To Adopt Position Compression Cross (“PCC”) Orders for SPX2020-10-20T00:00:00-07:002020-10-20T00:00:00-07:002020-23150Noticehttps://www.govinfo.gov/content/pkg/FR-2020-10-20/pdf/2020-23150.pdfhttps://regulations.justia.com/regulations/fedreg/2020/10/20/2020-23149.htmlNotice - Self-Regulatory Organizations; MIAX Emerald, LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Its Fee Schedule To Adopt Port Fees and Increase Certain Network Connectivity Fees2020-10-20T00:00:00-07:002020-10-20T00:00:00-07:002020-23149Noticehttps://www.govinfo.gov/content/pkg/FR-2020-10-20/pdf/2020-23149.pdfhttps://regulations.justia.com/regulations/fedreg/2020/10/20/2020-23148.htmlNotice - Self-Regulatory Organizations; The Nasdaq Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Lower the Enterprise License Fee for Broker-Dealers Distributing Nasdaq Basic to Internal Professional Subscribers as Set Forth in the Equity 7 Pricing Schedule, Section 147, and the Enterprise License Fee for Broker-Dealers Distributing Nasdaq Last Sale to Professional Subscribers at Equity 7, Section 1392020-10-20T00:00:00-07:002020-10-20T00:00:00-07:002020-23148Noticehttps://www.govinfo.gov/content/pkg/FR-2020-10-20/pdf/2020-23148.pdfhttps://regulations.justia.com/regulations/fedreg/2020/10/20/2020-23147.htmlNotice - Self-Regulatory Organizations; Fixed Income Clearing Corporation; Notice of Filing of Amendment No. 2 and Order Granting Accelerated Approval of a Proposed Rule Change, as Modified by Amendment Nos. 1 and 2, To Introduce the Margin Liquidity Adjustment Charge and Include a Bid-Ask Charge in the VaR Charges2020-10-20T00:00:00-07:002020-10-20T00:00:00-07:002020-23147Noticehttps://www.govinfo.gov/content/pkg/FR-2020-10-20/pdf/2020-23147.pdfhttps://regulations.justia.com/regulations/fedreg/2020/10/20/2020-23146.htmlNotice - Self-Regulatory Organizations; Cboe Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Rule 5.242020-10-20T00:00:00-07:002020-10-20T00:00:00-07:002020-23146Noticehttps://www.govinfo.gov/content/pkg/FR-2020-10-20/pdf/2020-23146.pdfhttps://regulations.justia.com/regulations/fedreg/2020/10/20/2020-23144.htmlNotice - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Its Price List2020-10-20T00:00:00-07:002020-10-20T00:00:00-07:002020-23144Noticehttps://www.govinfo.gov/content/pkg/FR-2020-10-20/pdf/2020-23144.pdfhttps://regulations.justia.com/regulations/fedreg/2020/10/20/2020-23143.htmlNotice - Self-Regulatory Organizations; the Depository Trust Company; Notice of Filing of an Advance Notice To Amend Rule 42020-10-20T00:00:00-07:002020-10-20T00:00:00-07:002020-23143Noticehttps://www.govinfo.gov/content/pkg/FR-2020-10-20/pdf/2020-23143.pdfhttps://regulations.justia.com/regulations/fedreg/2020/10/20/2020-23142.htmlNotice - Self-Regulatory Organizations; MIAX Emerald, LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Its Fee Schedule To Adopt Application Programming Interface (“API”) Testing and Certification Fees and Network Connectivity Testing and Certification Fees2020-10-20T00:00:00-07:002020-10-20T00:00:00-07:002020-23142Noticehttps://www.govinfo.gov/content/pkg/FR-2020-10-20/pdf/2020-23142.pdfhttps://regulations.justia.com/regulations/fedreg/2020/10/20/2020-23141.htmlNotice - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Adjust FINRA Fees To Provide Sustainable Funding for FINRA's Regulatory Mission2020-10-20T00:00:00-07:002020-10-20T00:00:00-07:002020-23141Noticehttps://www.govinfo.gov/content/pkg/FR-2020-10-20/pdf/2020-23141.pdfhttps://regulations.justia.com/regulations/fedreg/2020/10/20/2020-23140.htmlNotice - Self-Regulatory Organizations; NYSE American LLC; Notice of Filing and Immediate Effectiveness of Proposed Change To Modify the NYSE American Options Fee Schedule2020-10-20T00:00:00-07:002020-10-20T00:00:00-07:002020-23140Noticehttps://www.govinfo.gov/content/pkg/FR-2020-10-20/pdf/2020-23140.pdfhttps://regulations.justia.com/regulations/fedreg/2020/10/20/2020-23139.htmlNotice - Self-Regulatory Organizations; NYSE American LLC; Notice of Designation of a Longer Period for Commission Action on a Proposed Rule Change To Modify Rules 971.1NY and 971.2NY Regarding CUBE Auctions2020-10-20T00:00:00-07:002020-10-20T00:00:00-07:002020-23139Noticehttps://www.govinfo.gov/content/pkg/FR-2020-10-20/pdf/2020-23139.pdfhttps://regulations.justia.com/regulations/fedreg/2020/10/20/2020-23138.htmlNotice - Self-Regulatory Organizations; National Securities Clearing Corporation; Notice of Amendment No. 2 and Order Granting Accelerated Approval of a Proposed Rule Change, as Modified by Amendment Nos. 1 and 2, To Introduce the Margin Liquidity Adjustment Charge and Include a Bid-Ask Risk Charge in the VaR Charge2020-10-20T00:00:00-07:002020-10-20T00:00:00-07:002020-23138Noticehttps://www.govinfo.gov/content/pkg/FR-2020-10-20/pdf/2020-23138.pdfhttps://regulations.justia.com/regulations/fedreg/2020/10/20/2020-23137.htmlNotice - Self-Regulatory Organizations; Cboe Exchange, Inc.; Notice of Filing of Amendment No. 1 and Order Granting Accelerated Approval of a Proposed Rule Change, as Modified by Amendment No. 1, To Establish a Priority Queue for Auction Response Messages2020-10-20T00:00:00-07:002020-10-20T00:00:00-07:002020-23137Noticehttps://www.govinfo.gov/content/pkg/FR-2020-10-20/pdf/2020-23137.pdfhttps://regulations.justia.com/regulations/fedreg/2020/10/19/2020-23016.htmlNotice - Self-Regulatory Organizations; Cboe Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Extend the Pilot Period Related to the Market-Wide Circuit Breaker in Rule 5.222020-10-19T00:00:00-07:002020-10-19T00:00:00-07:002020-23016Noticehttps://www.govinfo.gov/content/pkg/FR-2020-10-19/pdf/2020-23016.pdfhttps://regulations.justia.com/regulations/fedreg/2020/10/19/2020-23015.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 and Equity 7, Section 118 of the Fee Schedule2020-10-19T00:00:00-07:002020-10-19T00:00:00-07:002020-23015Noticehttps://www.govinfo.gov/content/pkg/FR-2020-10-19/pdf/2020-23015.pdfhttps://regulations.justia.com/regulations/fedreg/2020/10/19/2020-23014.htmlNotice - Self-Regulatory Organizations; The Nasdaq Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Equity 7, Section 118(a)2020-10-19T00:00:00-07:002020-10-19T00:00:00-07:002020-23014Noticehttps://www.govinfo.gov/content/pkg/FR-2020-10-19/pdf/2020-23014.pdfhttps://regulations.justia.com/regulations/fedreg/2020/10/19/2020-23013.htmlNotice - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Its Price List2020-10-19T00:00:00-07:002020-10-19T00:00:00-07:002020-23013Noticehttps://www.govinfo.gov/content/pkg/FR-2020-10-19/pdf/2020-23013.pdfhttps://regulations.justia.com/regulations/fedreg/2020/10/19/2020-23011.htmlNotice - Self-Regulatory Organizations; MEMX LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Extend the Pilot Related to the Market-Wide Circuit Breaker in Rule 11.16 and Amend Rule 11.16(b)(2) Concerning the Resumption of Trading Following a Level 3 Market-Wide Circuit Breaker Halt2020-10-19T00:00:00-07:002020-10-19T00:00:00-07:002020-23011Noticehttps://www.govinfo.gov/content/pkg/FR-2020-10-19/pdf/2020-23011.pdfhttps://regulations.justia.com/regulations/fedreg/2020/10/19/2020-23010.htmlNotice - Self-Regulatory Organizations; Cboe C2 Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Extend the Pilot Period Related to the Market-Wide Circuit Breaker in Rule 6.32.012020-10-19T00:00:00-07:002020-10-19T00:00:00-07:002020-23010Noticehttps://www.govinfo.gov/content/pkg/FR-2020-10-19/pdf/2020-23010.pdfhttps://regulations.justia.com/regulations/fedreg/2020/10/19/2020-23009.htmlNotice - Self-Regulatory Organizations; NYSE National, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Extend the Current Pilot Program Related to Rule 7.102020-10-19T00:00:00-07:002020-10-19T00:00:00-07:002020-23009Noticehttps://www.govinfo.gov/content/pkg/FR-2020-10-19/pdf/2020-23009.pdfhttps://regulations.justia.com/regulations/fedreg/2020/10/19/2020-23008.htmlNotice - Self-Regulatory Organizations; NYSE Chicago, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Extend the Current Pilot Program Related to Rule 7.102020-10-19T00:00:00-07:002020-10-19T00:00:00-07:002020-23008Noticehttps://www.govinfo.gov/content/pkg/FR-2020-10-19/pdf/2020-23008.pdfhttps://regulations.justia.com/regulations/fedreg/2020/10/19/2020-23007.htmlNotice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Extend the Current Pilot Program Related to Rule 7.10-E2020-10-19T00:00:00-07:002020-10-19T00:00:00-07:002020-23007Noticehttps://www.govinfo.gov/content/pkg/FR-2020-10-19/pdf/2020-23007.pdfhttps://regulations.justia.com/regulations/fedreg/2020/10/19/2020-23006.htmlNotice - Self-Regulatory Organizations; NYSE American LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Extend the Current Pilot Program Related to Rule 7.10E2020-10-19T00:00:00-07:002020-10-19T00:00:00-07:002020-23006Noticehttps://www.govinfo.gov/content/pkg/FR-2020-10-19/pdf/2020-23006.pdfhttps://regulations.justia.com/regulations/fedreg/2020/10/16/2020-23085.htmlNotice - Sunshine Act Meetings2020-10-16T00:00:00-07:002020-10-16T00:00:00-07:002020-23085Noticehttps://www.govinfo.gov/content/pkg/FR-2020-10-16/pdf/2020-23085.pdfhttps://regulations.justia.com/regulations/fedreg/2020/10/16/2020-22740.htmlNotice - Self-Regulatory Organizations; The Options Clearing Corporation; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Concerning The Options Clearing Corporation's Synthetic Futures Model2020-10-16T00:00:00-07:002020-10-16T00:00:00-07:002020-22740Noticehttps://www.govinfo.gov/content/pkg/FR-2020-10-16/pdf/2020-22740.pdfhttps://regulations.justia.com/regulations/fedreg/2020/10/16/2020-22739.htmlNotice - Self-Regulatory Organizations; ICE Clear Credit LLC; Notice of Filing of Proposed Rule Change, Security-Based Swap Submission, or Advance Notice Relating to the ICC Clearing Rules2020-10-16T00:00:00-07:002020-10-16T00:00:00-07:002020-22739Noticehttps://www.govinfo.gov/content/pkg/FR-2020-10-16/pdf/2020-22739.pdfhttps://regulations.justia.com/regulations/fedreg/2020/10/16/2020-22736.htmlNotice - Self-Regulatory Organizations; NYSE Chicago, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Extend the Pilot Related to the Market-Wide Circuit Breaker in Rule 7.122020-10-16T00:00:00-07:002020-10-16T00:00:00-07:002020-22736Noticehttps://www.govinfo.gov/content/pkg/FR-2020-10-16/pdf/2020-22736.pdfhttps://regulations.justia.com/regulations/fedreg/2020/10/16/2020-22735.htmlNotice - Self-Regulatory Organizations; Cboe EDGX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the Fee Schedule2020-10-16T00:00:00-07:002020-10-16T00:00:00-07:002020-22735Noticehttps://www.govinfo.gov/content/pkg/FR-2020-10-16/pdf/2020-22735.pdfhttps://regulations.justia.com/regulations/fedreg/2020/10/16/2020-22734.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 December 8, 20202020-10-16T00:00:00-07:002020-10-16T00:00:00-07:002020-22734Noticehttps://www.govinfo.gov/content/pkg/FR-2020-10-16/pdf/2020-22734.pdfhttps://regulations.justia.com/regulations/fedreg/2020/10/16/2020-20655.htmlRule - Update of Statistical Disclosures for Bank and Savings and Loan Registrants2020-10-16T00:00:00-07:002020-10-16T00:00:00-07:002020-20655Rulehttps://www.govinfo.gov/content/pkg/FR-2020-10-16/pdf/2020-20655.pdfhttps://regulations.justia.com/regulations/fedreg/2020/10/16/2020-18801.htmlNotice - Proposed Amendments to the National Market System Plan Governing the Consolidated Audit Trail To Enhance Data Security2020-10-16T00:00:00-07:002020-10-16T00:00:00-07:002020-18801Noticehttps://www.govinfo.gov/content/pkg/FR-2020-10-16/pdf/2020-18801.pdfhttps://regulations.justia.com/regulations/fedreg/2020/10/15/2020-22872.htmlNotice - Self-Regulatory Organizations; Nasdaq PHLX LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Extend the Pilot Related to the Market-Wide Circuit Breaker in Rule 31012020-10-15T00:00:00-07:002020-10-15T00:00:00-07:002020-22872Noticehttps://www.govinfo.gov/content/pkg/FR-2020-10-15/pdf/2020-22872.pdfhttps://regulations.justia.com/regulations/fedreg/2020/10/15/2020-22871.htmlNotice - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Extend the Current Pilot Program Related to Rule 72020-10-15T00:00:00-07:002020-10-15T00:00:00-07:002020-22871Noticehttps://www.govinfo.gov/content/pkg/FR-2020-10-15/pdf/2020-22871.pdfhttps://regulations.justia.com/regulations/fedreg/2020/10/15/2020-22870.htmlNotice - Self-Regulatory Organizations; Cboe EDGX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Extend the Pilot Related to the Market-Wide Circuit Breaker in Rule 11.162020-10-15T00:00:00-07:002020-10-15T00:00:00-07:002020-22870Noticehttps://www.govinfo.gov/content/pkg/FR-2020-10-15/pdf/2020-22870.pdfhttps://regulations.justia.com/regulations/fedreg/2020/10/15/2020-22869.htmlNotice - Self-Regulatory Organizations; Miami International Securities Exchange LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Fee Schedule2020-10-15T00:00:00-07:002020-10-15T00:00:00-07:002020-22869Noticehttps://www.govinfo.gov/content/pkg/FR-2020-10-15/pdf/2020-22869.pdfhttps://regulations.justia.com/regulations/fedreg/2020/10/15/2020-22868.htmlNotice - Self-Regulatory Organizations; Nasdaq BX, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Extend Rule 41212020-10-15T00:00:00-07:002020-10-15T00:00:00-07:002020-22868Noticehttps://www.govinfo.gov/content/pkg/FR-2020-10-15/pdf/2020-22868.pdfhttps://regulations.justia.com/regulations/fedreg/2020/10/15/2020-22867.htmlNotice - Self-Regulatory Organizations; The Nasdaq Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Extend the Pilot Related to the Market-Wide Circuit Breaker in Rule 41212020-10-15T00:00:00-07:002020-10-15T00:00:00-07:002020-22867Noticehttps://www.govinfo.gov/content/pkg/FR-2020-10-15/pdf/2020-22867.pdfhttps://regulations.justia.com/regulations/fedreg/2020/10/15/2020-22866.htmlNotice - Self-Regulatory Organizations; Nasdaq BX, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Eliminate the Fee for BX's TradeInfo Interface in Options 72020-10-15T00:00:00-07:002020-10-15T00:00:00-07:002020-22866Noticehttps://www.govinfo.gov/content/pkg/FR-2020-10-15/pdf/2020-22866.pdfhttps://regulations.justia.com/regulations/fedreg/2020/10/15/2020-22824.htmlNotice - Snowflake, Inc.2020-10-15T00:00:00-07:002020-10-15T00:00:00-07:002020-22824Noticehttps://www.govinfo.gov/content/pkg/FR-2020-10-15/pdf/2020-22824.pdfhttps://regulations.justia.com/regulations/fedreg/2020/10/15/2020-18572.htmlRule - Rescission of Effective-Upon-Filing Procedure for NMS Plan Fee Amendments and Modified Procedures for Proposed NMS Plans and Plan Amendments2020-10-15T00:00:00-07:002020-10-15T00:00:00-07:002020-18572Rulehttps://www.govinfo.gov/content/pkg/FR-2020-10-15/pdf/2020-18572.pdfhttps://regulations.justia.com/regulations/fedreg/2020/10/14/2020-22718.htmlNotice - Self-Regulatory Organizations; NYSE National, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Harmonize Rules 10.9261 and 10.9830 With Recent Changes by the Financial Industry Regulatory Authority, Inc.2020-10-14T00:00:00-07:002020-10-14T00:00:00-07:002020-22718Noticehttps://www.govinfo.gov/content/pkg/FR-2020-10-14/pdf/2020-22718.pdfhttps://regulations.justia.com/regulations/fedreg/2020/10/14/2020-22717.htmlNotice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Extend the Pilot Related to the Market-Wide Circuit Breaker in Rule 7.12-E2020-10-14T00:00:00-07:002020-10-14T00:00:00-07:002020-22717Noticehttps://www.govinfo.gov/content/pkg/FR-2020-10-14/pdf/2020-22717.pdfhttps://regulations.justia.com/regulations/fedreg/2020/10/14/2020-22716.htmlNotice - Self-Regulatory Organizations; NYSE American LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Extend the Pilot Related to the Market-Wide Circuit Breaker in Rule 7.12E2020-10-14T00:00:00-07:002020-10-14T00:00:00-07:002020-22716Noticehttps://www.govinfo.gov/content/pkg/FR-2020-10-14/pdf/2020-22716.pdfhttps://regulations.justia.com/regulations/fedreg/2020/10/14/2020-22715.htmlNotice - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Extend the Pilot Related to the Market-Wide Circuit Breaker in Rule 7.122020-10-14T00:00:00-07:002020-10-14T00:00:00-07:002020-22715Noticehttps://www.govinfo.gov/content/pkg/FR-2020-10-14/pdf/2020-22715.pdfhttps://regulations.justia.com/regulations/fedreg/2020/10/14/2020-22714.htmlNotice - Self-Regulatory Organizations; NYSE National, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Extend the Pilot Related to the Market-Wide Circuit Breaker in Rule 7.122020-10-14T00:00:00-07:002020-10-14T00:00:00-07:002020-22714Noticehttps://www.govinfo.gov/content/pkg/FR-2020-10-14/pdf/2020-22714.pdfhttps://regulations.justia.com/regulations/fedreg/2020/10/14/2020-22713.htmlNotice - Self-Regulatory Organizations; Cboe Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating To Amend Rule 5.12020-10-14T00:00:00-07:002020-10-14T00:00:00-07:002020-22713Noticehttps://www.govinfo.gov/content/pkg/FR-2020-10-14/pdf/2020-22713.pdfhttps://regulations.justia.com/regulations/fedreg/2020/10/14/2020-22712.htmlNotice - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Designation of Longer Period for Commission Action on a Proposed Rule Change To Delete the FINRA Order Audit Trail System (OATS) Rules2020-10-14T00:00:00-07:002020-10-14T00:00:00-07:002020-22712Noticehttps://www.govinfo.gov/content/pkg/FR-2020-10-14/pdf/2020-22712.pdfhttps://regulations.justia.com/regulations/fedreg/2020/10/14/2020-22711.htmlNotice - Self-Regulatory Organizations; Investors Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend IEX Rule 11.280 To Extend the Pilot Period for the Market-Wide Circuit Breaker to the Close of Business on October 18, 20212020-10-14T00:00:00-07:002020-10-14T00:00:00-07:002020-22711Noticehttps://www.govinfo.gov/content/pkg/FR-2020-10-14/pdf/2020-22711.pdfhttps://regulations.justia.com/regulations/fedreg/2020/10/14/2020-22710.htmlNotice - Self-Regulatory Organizations; Cboe EDGA Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Extend the Pilot Related to the Market-Wide Circuit Breaker in Rule 11.162020-10-14T00:00:00-07:002020-10-14T00:00:00-07:002020-22710Noticehttps://www.govinfo.gov/content/pkg/FR-2020-10-14/pdf/2020-22710.pdfhttps://regulations.justia.com/regulations/fedreg/2020/10/14/2020-22709.htmlNotice - Self-Regulatory Organizations; Cboe BZX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Extend the Pilot Related to the Market-wide Circuit Breaker in Rule 11.182020-10-14T00:00:00-07:002020-10-14T00:00:00-07:002020-22709Noticehttps://www.govinfo.gov/content/pkg/FR-2020-10-14/pdf/2020-22709.pdfhttps://regulations.justia.com/regulations/fedreg/2020/10/14/2020-22708.htmlNotice - Self-Regulatory Organizations; Long-Term Stock Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Extend the Date of the Pilot Related to the Market-Wide Circuit Breaker in Rule 11.2802020-10-14T00:00:00-07:002020-10-14T00:00:00-07:002020-22708Noticehttps://www.govinfo.gov/content/pkg/FR-2020-10-14/pdf/2020-22708.pdfhttps://regulations.justia.com/regulations/fedreg/2020/10/14/2020-22707.htmlNotice - Self-Regulatory Organizations; MIAX PEARL, LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Extend the Pilot Related to the Market-Wide Circuit Breaker in Exchange Rule 26222020-10-14T00:00:00-07:002020-10-14T00:00:00-07:002020-22707Noticehttps://www.govinfo.gov/content/pkg/FR-2020-10-14/pdf/2020-22707.pdfhttps://regulations.justia.com/regulations/fedreg/2020/10/14/2020-22706.htmlNotice - Self-Regulatory Organizations; Cboe BZX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the Rebate Tiers in the Fee Schedule2020-10-14T00:00:00-07:002020-10-14T00:00:00-07:002020-22706Noticehttps://www.govinfo.gov/content/pkg/FR-2020-10-14/pdf/2020-22706.pdfhttps://regulations.justia.com/regulations/fedreg/2020/10/14/2020-22705.htmlNotice - Self-Regulatory Organizations; Cboe BYX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Increase Maker Transaction Fees2020-10-14T00:00:00-07:002020-10-14T00:00:00-07:002020-22705Noticehttps://www.govinfo.gov/content/pkg/FR-2020-10-14/pdf/2020-22705.pdfhttps://regulations.justia.com/regulations/fedreg/2020/10/14/2020-22704.htmlNotice - Self-Regulatory Organizations; Cboe BYX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Extend the Pilot Related to the Market-Wide Circuit Breaker in Rule 11.182020-10-14T00:00:00-07:002020-10-14T00:00:00-07:002020-22704Noticehttps://www.govinfo.gov/content/pkg/FR-2020-10-14/pdf/2020-22704.pdfhttps://regulations.justia.com/regulations/fedreg/2020/10/14/2020-22637.htmlNotice - Self-Regulatory Organizations; NYSE National, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Adopt Temporary Commentary .10 Under NYSE National Rule 2.12102020-10-14T00:00:00-07:002020-10-14T00:00:00-07:002020-22637Noticehttps://www.govinfo.gov/content/pkg/FR-2020-10-14/pdf/2020-22637.pdfhttps://regulations.justia.com/regulations/fedreg/2020/10/14/2020-22636.htmlNotice - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Order Approving a Proposed Rule Change To Adopt FINRA Rule 3241 (Registered Person Being Named a Customer's Beneficiary or Holding a Position of Trust for a Customer)2020-10-14T00:00:00-07:002020-10-14T00:00:00-07:002020-22636Noticehttps://www.govinfo.gov/content/pkg/FR-2020-10-14/pdf/2020-22636.pdfhttps://regulations.justia.com/regulations/fedreg/2020/10/14/2020-22632.htmlNotice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Adopt Temporary Commentary .10 Under NYSE Arca Rule 2.12102020-10-14T00:00:00-07:002020-10-14T00:00:00-07:002020-22632Noticehttps://www.govinfo.gov/content/pkg/FR-2020-10-14/pdf/2020-22632.pdfhttps://regulations.justia.com/regulations/fedreg/2020/10/14/2020-22631.htmlNotice - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Adopt Temporary Commentary .10 Under NYSE Rule 12102020-10-14T00:00:00-07:002020-10-14T00:00:00-07:002020-22631Noticehttps://www.govinfo.gov/content/pkg/FR-2020-10-14/pdf/2020-22631.pdfhttps://regulations.justia.com/regulations/fedreg/2020/10/14/2020-22629.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 Cap2020-10-14T00:00:00-07:002020-10-14T00:00:00-07:002020-22629Noticehttps://www.govinfo.gov/content/pkg/FR-2020-10-14/pdf/2020-22629.pdfhttps://regulations.justia.com/regulations/fedreg/2020/10/13/2020-22640.htmlNotice - Self-Regulatory Organizations; MEMX LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Shorten the Exchange's Post-Market Session To End at 5:00 p.m. Eastern Time2020-10-13T00:00:00-07:002020-10-13T00:00:00-07:002020-22640Noticehttps://www.govinfo.gov/content/pkg/FR-2020-10-13/pdf/2020-22640.pdfhttps://regulations.justia.com/regulations/fedreg/2020/10/13/2020-22639.htmlNotice - Self-Regulatory Organizations; Cboe BZX Exchange, Inc.; Order Instituting Proceedings To Determine Whether To Approve or Disapprove 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)2020-10-13T00:00:00-07:002020-10-13T00:00:00-07:002020-22639Noticehttps://www.govinfo.gov/content/pkg/FR-2020-10-13/pdf/2020-22639.pdfhttps://regulations.justia.com/regulations/fedreg/2020/10/13/2020-22634.htmlNotice - Self-Regulatory Organizations; NYSE American LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Adopt Temporary Commentary .10 Under NYSE American Rule 2.12102020-10-13T00:00:00-07:002020-10-13T00:00:00-07:002020-22634Noticehttps://www.govinfo.gov/content/pkg/FR-2020-10-13/pdf/2020-22634.pdfhttps://regulations.justia.com/regulations/fedreg/2020/10/13/2020-22633.htmlNotice - Self-Regulatory Organizations; NYSE Chicago, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Adopt Temporary Interpretation and Policy .10 Under NYSE Chicago Article 6, Rule 132020-10-13T00:00:00-07:002020-10-13T00:00:00-07:002020-22633Noticehttps://www.govinfo.gov/content/pkg/FR-2020-10-13/pdf/2020-22633.pdfhttps://regulations.justia.com/regulations/fedreg/2020/10/13/2020-22630.htmlNotice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing of Proposed Rule Change, as Modified by Amendment No. 1, Amending NYSE Arca Rule 8.900-E To Adopt Generic Listing Standards for Managed Portfolio Shares2020-10-13T00:00:00-07:002020-10-13T00:00:00-07:002020-22630Noticehttps://www.govinfo.gov/content/pkg/FR-2020-10-13/pdf/2020-22630.pdfhttps://regulations.justia.com/regulations/fedreg/2020/10/13/2020-22617.htmlNotice - Sunshine Act Meetings2020-10-13T00:00:00-07:002020-10-13T00:00:00-07:002020-22617Noticehttps://www.govinfo.gov/content/pkg/FR-2020-10-13/pdf/2020-22617.pdfhttps://regulations.justia.com/regulations/fedreg/2020/10/13/2020-22565.htmlNotice - Notice of Proposed Exemptive Order Granting Conditional Exemption From the Broker Registration Requirements of Section 15(a) of the Securities Exchange Act of 1934 for Certain Activities of Finders2020-10-13T00:00:00-07:002020-10-13T00:00:00-07:002020-22565Noticehttps://www.govinfo.gov/content/pkg/FR-2020-10-13/pdf/2020-22565.pdfhttps://regulations.justia.com/regulations/fedreg/2020/10/13/2020-22477.htmlNotice - Self-Regulatory Organizations; MIAX PEARL, LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Adopt the MIAX PEARL Equities Fee Schedule2020-10-13T00:00:00-07:002020-10-13T00:00:00-07:002020-22477Noticehttps://www.govinfo.gov/content/pkg/FR-2020-10-13/pdf/2020-22477.pdfhttps://regulations.justia.com/regulations/fedreg/2020/10/13/2020-22476.htmlNotice - Self-Regulatory Organizations; Fixed Income Clearing Corporation; Order Approving a Proposed Rule Change To Describe Key Components of the Mortgage-Backed Securities Division Stress Testing Program2020-10-13T00:00:00-07:002020-10-13T00:00:00-07:002020-22476Noticehttps://www.govinfo.gov/content/pkg/FR-2020-10-13/pdf/2020-22476.pdfhttps://regulations.justia.com/regulations/fedreg/2020/10/13/2020-22475.htmlNotice - Self-Regulatory Organizations; The Options Clearing Corporation; Order Approving 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 Chicago2020-10-13T00:00:00-07:002020-10-13T00:00:00-07:002020-22475Noticehttps://www.govinfo.gov/content/pkg/FR-2020-10-13/pdf/2020-22475.pdfhttps://regulations.justia.com/regulations/fedreg/2020/10/13/2020-22474.htmlNotice - Self-Regulatory Organizations; LCH SA; Notice of Filing of Proposed Rule Change Relating to the Clearing of Options on Index Credit Default Swaps in Respect of North American Indices (More Specifically, CDX.NA.IG and CDX.NA.HY)2020-10-13T00:00:00-07:002020-10-13T00:00:00-07:002020-22474Noticehttps://www.govinfo.gov/content/pkg/FR-2020-10-13/pdf/2020-22474.pdfhttps://regulations.justia.com/regulations/fedreg/2020/10/13/2020-22467.htmlNotice - Joint Industry Plan; Notice of Filing of a National Market System Plan Regarding Consolidated Equity Market Data.2020-10-13T00:00:00-07:002020-10-13T00:00:00-07:002020-22467Noticehttps://www.govinfo.gov/content/pkg/FR-2020-10-13/pdf/2020-22467.pdfhttps://regulations.justia.com/regulations/fedreg/2020/10/09/2020-22552.htmlNotice - Sunshine Act Meeting; Cancellation2020-10-09T00:00:00-07:002020-10-09T00:00:00-07:002020-22552Noticehttps://www.govinfo.gov/content/pkg/FR-2020-10-09/pdf/2020-22552.pdfhttps://regulations.justia.com/regulations/fedreg/2020/10/09/2020-22455.htmlNotice - D.B. Fitzpatrick & Co., Inc.2020-10-09T00:00:00-07:002020-10-09T00:00:00-07:002020-22455Noticehttps://www.govinfo.gov/content/pkg/FR-2020-10-09/pdf/2020-22455.pdfhttps://regulations.justia.com/regulations/fedreg/2020/10/09/2020-22379.htmlNotice - Self-Regulatory Organizations; National Securities Clearing Corporation; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Enhance the Insurance and Retirement Processing Services To Provide for a New Centralized Repository and Transactional Platform Called “Insurance Information Exchange” and Make Certain Clarification Changes to the NSCC Rules & Procedures2020-10-09T00:00:00-07:002020-10-09T00:00:00-07:002020-22379Noticehttps://www.govinfo.gov/content/pkg/FR-2020-10-09/pdf/2020-22379.pdfhttps://regulations.justia.com/regulations/fedreg/2020/10/09/2020-22378.htmlNotice - Self-Regulatory Organizations; Cboe Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating To Update Its Fees Schedule in Connection With the Exchange's Plans To List and Trade Options on the S&P 500 ESG Index (“SPESG”)2020-10-09T00:00:00-07:002020-10-09T00:00:00-07:002020-22378Noticehttps://www.govinfo.gov/content/pkg/FR-2020-10-09/pdf/2020-22378.pdfhttps://regulations.justia.com/regulations/fedreg/2020/10/09/2020-22377.htmlNotice - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing of Proposed Rule Change To Adopt New Rule 8.601 (Active Proxy Portfolio Shares) and Rule 8.900 (Managed Portfolio Shares), Amend the Preamble to Rule 8P, and Amend Section 302.00 of the Listed Company Manual2020-10-09T00:00:00-07:002020-10-09T00:00:00-07:002020-22377Noticehttps://www.govinfo.gov/content/pkg/FR-2020-10-09/pdf/2020-22377.pdfhttps://regulations.justia.com/regulations/fedreg/2020/10/09/2020-22376.htmlNotice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Harmonize Rules 10.9261 and 10.9830 With Recent Changes by the Financial Industry Regulatory Authority, Inc.2020-10-09T00:00:00-07:002020-10-09T00:00:00-07:002020-22376Noticehttps://www.govinfo.gov/content/pkg/FR-2020-10-09/pdf/2020-22376.pdfhttps://regulations.justia.com/regulations/fedreg/2020/10/09/2020-22373.htmlNotice - Development Bank of Japan Inc.2020-10-09T00:00:00-07:002020-10-09T00:00:00-07:002020-22373Noticehttps://www.govinfo.gov/content/pkg/FR-2020-10-09/pdf/2020-22373.pdfhttps://regulations.justia.com/regulations/fedreg/2020/10/09/2020-19189.htmlRule - Accredited Investor Definition2020-10-09T00:00:00-07:002020-10-09T00:00:00-07:002020-19189Rulehttps://www.govinfo.gov/content/pkg/FR-2020-10-09/pdf/2020-19189.pdfhttps://regulations.justia.com/regulations/fedreg/2020/10/09/2020-19188.htmlRule - Order Designating Certain Professional Licenses as Qualifying Natural Persons for Accredited Investor Status2020-10-09T00:00:00-07:002020-10-09T00:00:00-07:002020-19188Rulehttps://www.govinfo.gov/content/pkg/FR-2020-10-09/pdf/2020-19188.pdfhttps://regulations.justia.com/regulations/fedreg/2020/10/08/R1-2020-21403.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 D-Limit Orders2020-10-08T00:00:00-07:002020-10-08T00:00:00-07:00R1-2020-21403Noticehttps://www.govinfo.gov/content/pkg/FR-2020-10-08/pdf/R1-2020-21403.pdfhttps://regulations.justia.com/regulations/fedreg/2020/10/08/2020-22342.htmlNotice - Joint Industry Plan; Notice of Filing and Immediate Effectiveness of the Forty-Ninth 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 Basis2020-10-08T00:00:00-07:002020-10-08T00:00:00-07:002020-22342Noticehttps://www.govinfo.gov/content/pkg/FR-2020-10-08/pdf/2020-22342.pdfhttps://regulations.justia.com/regulations/fedreg/2020/10/08/2020-22341.htmlNotice - Consolidated Tape Association; Notice of Filing and Immediate Effectiveness of the Thirty-Fifth Substantive Amendment to the Second Restatement of the CTA Plan and Twenty-Sixth Substantive Amendment to the Restated CQ Plan2020-10-08T00:00:00-07:002020-10-08T00:00:00-07:002020-22341Noticehttps://www.govinfo.gov/content/pkg/FR-2020-10-08/pdf/2020-22341.pdfhttps://regulations.justia.com/regulations/fedreg/2020/10/08/2020-22258.htmlNotice - Self-Regulatory Organizations; Cboe BYX Exchange, Inc.; Notice of Filing of Amendment No. 1 and Order Granting Accelerated Approval of a Proposed Rule Change, as Modified by Amendment No. 1, To Amend the Fifth Amended and Restated Bylaws of the Exchange's Parent Corporation, Cboe Global Markets, Inc.2020-10-08T00:00:00-07:002020-10-08T00:00:00-07:002020-22258Noticehttps://www.govinfo.gov/content/pkg/FR-2020-10-08/pdf/2020-22258.pdfhttps://regulations.justia.com/regulations/fedreg/2020/10/08/2020-22257.htmlNotice - Self-Regulatory Organizations; NYSE American LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Harmonize Rules 9261 and 9830 With Recent Changes by the Financial Industry Regulatory Authority, Inc.2020-10-08T00:00:00-07:002020-10-08T00:00:00-07:002020-22257Noticehttps://www.govinfo.gov/content/pkg/FR-2020-10-08/pdf/2020-22257.pdfhttps://regulations.justia.com/regulations/fedreg/2020/10/08/2020-22256.htmlNotice - Self-Regulatory Organizations; National Securities Clearing Corporation; Designation of Longer Period for Commission Action on a 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 Charge2020-10-08T00:00:00-07:002020-10-08T00:00:00-07:002020-22256Noticehttps://www.govinfo.gov/content/pkg/FR-2020-10-08/pdf/2020-22256.pdfhttps://regulations.justia.com/regulations/fedreg/2020/10/08/2020-22255.htmlNotice - Self-Regulatory Organizations; Fixed Income Clearing Corporation; Designation of Longer Period for Commission Action on a Proposed Rule Change, as Modified by Amendment No. 1, To Introduce the Margin Liquidity Adjustment Charge and Include a Bid-Ask Charge in the VaR Charges2020-10-08T00:00:00-07:002020-10-08T00:00:00-07:002020-22255Noticehttps://www.govinfo.gov/content/pkg/FR-2020-10-08/pdf/2020-22255.pdfhttps://regulations.justia.com/regulations/fedreg/2020/10/08/2020-22254.htmlNotice - Self-Regulatory Organizations; Cboe BZX Exchange, Inc.; Notice of Filing of Amendment No. 1 and Order Granting Accelerated Approval of a Proposed Rule Change, as Modified by Amendment No. 1, To Amend the Fifth Amended and Restated Bylaws of the Exchange's Parent Corporation, Cboe Global Markets, Inc.2020-10-08T00:00:00-07:002020-10-08T00:00:00-07:002020-22254Noticehttps://www.govinfo.gov/content/pkg/FR-2020-10-08/pdf/2020-22254.pdfhttps://regulations.justia.com/regulations/fedreg/2020/10/08/2020-22253.htmlNotice - Self-Regulatory Organizations; Cboe EDGX Exchange, Inc.; Notice of Filing of Amendment No. 1 and Order Granting Accelerated Approval of a Proposed Rule Change, as Modified by Amendment No. 1, To Amend the Fifth Amended and Restated Bylaws of the Exchange's Parent Corporation, Cboe Global Markets, Inc.2020-10-08T00:00:00-07:002020-10-08T00:00:00-07:002020-22253Noticehttps://www.govinfo.gov/content/pkg/FR-2020-10-08/pdf/2020-22253.pdfhttps://regulations.justia.com/regulations/fedreg/2020/10/08/2020-22252.htmlNotice - Self-Regulatory Organizations; Cboe EDGA Exchange, Inc.; Notice of Filing of Amendment No. 1 and Order Granting Accelerated Approval of a Proposed Rule Change, as Modified by Amendment No. 1, To Amend the Fifth Amended and Restated Bylaws of the Exchange's Parent Corporation, Cboe Global Markets, Inc.2020-10-08T00:00:00-07:002020-10-08T00:00:00-07:002020-22252Noticehttps://www.govinfo.gov/content/pkg/FR-2020-10-08/pdf/2020-22252.pdfhttps://regulations.justia.com/regulations/fedreg/2020/10/08/2020-22251.htmlNotice - Self-Regulatory Organizations; Cboe Exchange, Inc.; Notice of Filing of Amendment No. 1 and Order Granting Accelerated Approval of a Proposed Rule Change, as Modified by Amendment No. 1, To Amend the Fifth Amended and Restated Bylaws of the Exchange's Parent Corporation, Cboe Global Markets, Inc.2020-10-08T00:00:00-07:002020-10-08T00:00:00-07:002020-22251Noticehttps://www.govinfo.gov/content/pkg/FR-2020-10-08/pdf/2020-22251.pdfhttps://regulations.justia.com/regulations/fedreg/2020/10/08/2020-22250.htmlNotice - Self-Regulatory Organizations; Cboe C2 Exchange, Inc.; Notice of Filing of Amendment No. 1 and Order Granting Accelerated Approval of a Proposed Rule Change, as Modified by Amendment No. 1, To Amend the Fifth Amended and Restated Bylaws of the Exchange's Parent Corporation, Cboe Global Markets, Inc.2020-10-08T00:00:00-07:002020-10-08T00:00:00-07:002020-22250Noticehttps://www.govinfo.gov/content/pkg/FR-2020-10-08/pdf/2020-22250.pdfhttps://regulations.justia.com/regulations/fedreg/2020/10/08/2020-22249.htmlNotice - Self-Regulatory Organizations; MEMX LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Adopt the Initial Fee Schedule and Other Fees for MEMX LLC2020-10-08T00:00:00-07:002020-10-08T00:00:00-07:002020-22249Noticehttps://www.govinfo.gov/content/pkg/FR-2020-10-08/pdf/2020-22249.pdfhttps://regulations.justia.com/regulations/fedreg/2020/10/08/2020-22248.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 Rules 5.2-E(j)(3), 5.2-E(j)(8), 5.5-E(g)(2), 8.600-E, and 8.900-E2020-10-08T00:00:00-07:002020-10-08T00:00:00-07:002020-22248Noticehttps://www.govinfo.gov/content/pkg/FR-2020-10-08/pdf/2020-22248.pdfhttps://regulations.justia.com/regulations/fedreg/2020/10/08/2020-22247.htmlNotice - Self-Regulatory Organizations; NYSE American LLC; Notice of Filing and Immediate Effectiveness of Proposed Change To Amend Section 220 of the NYSE American Company Guide To Eliminate a Fee Cap on Original Listing Fees for Companies Listed on Foreign Stock Exchanges and Subject All Foreign Issuers to the Original Listing Fee Schedule Applicable to All Other Newly-Listed Companies2020-10-08T00:00:00-07:002020-10-08T00:00:00-07:002020-22247Noticehttps://www.govinfo.gov/content/pkg/FR-2020-10-08/pdf/2020-22247.pdfhttps://regulations.justia.com/regulations/fedreg/2020/10/08/2020-19182.htmlRule - Modernization of Regulation S-K Items 101, 103, and 1052020-10-08T00:00:00-07:002020-10-08T00:00:00-07:002020-19182Rulehttps://www.govinfo.gov/content/pkg/FR-2020-10-08/pdf/2020-19182.pdfhttps://regulations.justia.com/regulations/fedreg/2020/10/07/2020-22294.htmlNotice - Sunshine Act Meetings2020-10-07T00:00:00-07:002020-10-07T00:00:00-07:002020-22294Noticehttps://www.govinfo.gov/content/pkg/FR-2020-10-07/pdf/2020-22294.pdfhttps://regulations.justia.com/regulations/fedreg/2020/10/07/2020-22183.htmlNotice - Invesco Capital Management LLC, et al.2020-10-07T00:00:00-07:002020-10-07T00:00:00-07:002020-22183Noticehttps://www.govinfo.gov/content/pkg/FR-2020-10-07/pdf/2020-22183.pdfhttps://regulations.justia.com/regulations/fedreg/2020/10/07/2020-22121.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 MIAX PEARL LLC as a Party Thereto2020-10-07T00:00:00-07:002020-10-07T00:00:00-07:002020-22121Noticehttps://www.govinfo.gov/content/pkg/FR-2020-10-07/pdf/2020-22121.pdfhttps://regulations.justia.com/regulations/fedreg/2020/10/07/2020-22118.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 MIAX PEARL, LLC as a Participant2020-10-07T00:00:00-07:002020-10-07T00:00:00-07:002020-22118Noticehttps://www.govinfo.gov/content/pkg/FR-2020-10-07/pdf/2020-22118.pdfhttps://regulations.justia.com/regulations/fedreg/2020/10/07/2020-22117.htmlNotice - Joint Industry Plan; Notice of Filing and Immediate Effectiveness of Amendment to the Plan To Address Extraordinary Market Volatility To Add MIAX PEARL LLC as a Participant2020-10-07T00:00:00-07:002020-10-07T00:00:00-07:002020-22117Noticehttps://www.govinfo.gov/content/pkg/FR-2020-10-07/pdf/2020-22117.pdfhttps://regulations.justia.com/regulations/fedreg/2020/10/07/2020-22111.htmlNotice - Horizon Funds and Horizon Investments, LLC2020-10-07T00:00:00-07:002020-10-07T00:00:00-07:002020-22111Noticehttps://www.govinfo.gov/content/pkg/FR-2020-10-07/pdf/2020-22111.pdfhttps://regulations.justia.com/regulations/fedreg/2020/10/07/2020-22098.htmlNotice - Self-Regulatory Organizations; Municipal Securities Rulemaking Board; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Consisting of Amendments to the By-Laws of the Municipal Securities Rulemaking Board To Reflect Recent Changes To MSRB Rules A-3, A-4, and A-62020-10-07T00:00:00-07:002020-10-07T00:00:00-07:002020-22098Noticehttps://www.govinfo.gov/content/pkg/FR-2020-10-07/pdf/2020-22098.pdfhttps://regulations.justia.com/regulations/fedreg/2020/10/07/2020-22097.htmlNotice - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing of a Proposed Rule Change To Adopt FINRA Rule 6439 (Requirements for Member Inter-Dealer Quotation Systems) and Delete the Rules Related to the OTC Bulletin Board Service2020-10-07T00:00:00-07:002020-10-07T00:00:00-07:002020-22097Noticehttps://www.govinfo.gov/content/pkg/FR-2020-10-07/pdf/2020-22097.pdfhttps://regulations.justia.com/regulations/fedreg/2020/10/07/2020-22096.htmlNotice - Self-Regulatory Organizations; The Options Clearing Corporation; Notice of Filing of Proposed Rule Change To Adopt a New Second Amended and Restated Cross-Margining Agreement Between The Options Clearing Corporation and The Chicago Mercantile Exchange2020-10-07T00:00:00-07:002020-10-07T00:00:00-07:002020-22096Noticehttps://www.govinfo.gov/content/pkg/FR-2020-10-07/pdf/2020-22096.pdfhttps://regulations.justia.com/regulations/fedreg/2020/10/07/2020-22095.htmlNotice - Self-Regulatory Organizations; Cboe Exchange, Inc.; Notice of Designation of a Longer Period for Commission Action on a Proposed Rule Change To Make Qualified Contingent Cross Orders Available for FLEX Trading2020-10-07T00:00:00-07:002020-10-07T00:00:00-07:002020-22095Noticehttps://www.govinfo.gov/content/pkg/FR-2020-10-07/pdf/2020-22095.pdfhttps://regulations.justia.com/regulations/fedreg/2020/10/06/2020-21989.htmlNotice - Notice of Intention To Cancel Registration Pursuant to Section 203(H) of The Investment Advisers Act of 19402020-10-06T00:00:00-07:002020-10-06T00:00:00-07:002020-21989Noticehttps://www.govinfo.gov/content/pkg/FR-2020-10-06/pdf/2020-21989.pdfhttps://regulations.justia.com/regulations/fedreg/2020/10/05/C1-2020-20359.htmlNotice - Self-Regulatory Organizations; Nasdaq BX, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Decommission TradeInfo2020-10-05T00:00:00-07:002020-10-05T00:00:00-07:00C1-2020-20359Noticehttps://www.govinfo.gov/content/pkg/FR-2020-10-05/pdf/C1-2020-20359.pdfhttps://regulations.justia.com/regulations/fedreg/2020/10/05/2020-22009.htmlNotice - Sunshine Act Meetings2020-10-05T00:00:00-07:002020-10-05T00:00:00-07:002020-22009Noticehttps://www.govinfo.gov/content/pkg/FR-2020-10-05/pdf/2020-22009.pdfhttps://regulations.justia.com/regulations/fedreg/2020/10/02/2020-21956.htmlNotice - Sunshine Act Meetings2020-10-02T00:00:00-07:002020-10-02T00:00:00-07:002020-21956Noticehttps://www.govinfo.gov/content/pkg/FR-2020-10-02/pdf/2020-21956.pdfhttps://regulations.justia.com/regulations/fedreg/2020/10/02/2020-21838.htmlNotice - Frost Family of Funds and Frost Investment Advisors, LLC2020-10-02T00:00:00-07:002020-10-02T00:00:00-07:002020-21838Noticehttps://www.govinfo.gov/content/pkg/FR-2020-10-02/pdf/2020-21838.pdfhttps://regulations.justia.com/regulations/fedreg/2020/10/02/2020-21785.htmlNotice - Self-Regulatory Organizations; National Securities Clearing Corporation; Notice of Filing of Amendment No. 2 and Notice of No Objection to Advance Notice, as Modified by Amendment Nos. 1 and 2, To Introduce the Margin Liquidity Adjustment Charge and Include a Bid-Ask Risk Charge in the VaR Charge2020-10-02T00:00:00-07:002020-10-02T00:00:00-07:002020-21785Noticehttps://www.govinfo.gov/content/pkg/FR-2020-10-02/pdf/2020-21785.pdfhttps://regulations.justia.com/regulations/fedreg/2020/10/02/2020-21784.htmlNotice - Self-Regulatory Organizations; Fixed Income Clearing Corporation; Notice of Filing of Amendment No. 2 and Notice of No Objection to Advance Notice, as Modified by Amendment Nos. 1 and 2, to Introduce the Margin Liquidity Adjustment Charge and Include a Bid-Ask Charge in the VaR Charges2020-10-02T00:00:00-07:002020-10-02T00:00:00-07:002020-21784Noticehttps://www.govinfo.gov/content/pkg/FR-2020-10-02/pdf/2020-21784.pdfhttps://regulations.justia.com/regulations/fedreg/2020/10/02/2020-21768.htmlNotice - Self-Regulatory Organizations; MEMX, LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Extend the Current Pilot Program Related to MEMX Rule 11.15, Clearly Erroneous Executions2020-10-02T00:00:00-07:002020-10-02T00:00:00-07:002020-21768Noticehttps://www.govinfo.gov/content/pkg/FR-2020-10-02/pdf/2020-21768.pdfhttps://regulations.justia.com/regulations/fedreg/2020/10/02/2020-21767.htmlNotice - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Extend its Waiver of the Application of Certain of the Shareholder Approval Requirements in Section 312.03 of the NYSE Listed Company Manual Through December 31, 2020 Subject to Certain Conditions2020-10-02T00:00:00-07:002020-10-02T00:00:00-07:002020-21767Noticehttps://www.govinfo.gov/content/pkg/FR-2020-10-02/pdf/2020-21767.pdfhttps://regulations.justia.com/regulations/fedreg/2020/10/02/2020-21765.htmlNotice - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Harmonize Rules 9261 and 9830 with Recent Changes by the Financial Industry Regulatory Authority, Inc.2020-10-02T00:00:00-07:002020-10-02T00:00:00-07:002020-21765Noticehttps://www.govinfo.gov/content/pkg/FR-2020-10-02/pdf/2020-21765.pdfhttps://regulations.justia.com/regulations/fedreg/2020/10/02/2020-21764.htmlNotice - Self-Regulatory Organizations; New York Stock Exchange LLC, Notice of Designation of a Longer Period for Commission Action on a Proposed Rule Change to Amend Article IV, Section 4.05 of the Thirteenth Amended and Restated Operating Agreement of the Exchange2020-10-02T00:00:00-07:002020-10-02T00:00:00-07:002020-21764Noticehttps://www.govinfo.gov/content/pkg/FR-2020-10-02/pdf/2020-21764.pdfhttps://regulations.justia.com/regulations/fedreg/2020/10/01/2020-21676.htmlNotice - Notice of Applications for Deregistration Under Section 8(f) of the Investment Company Act of 19402020-10-01T00:00:00-07:002020-10-01T00:00:00-07:002020-21676Noticehttps://www.govinfo.gov/content/pkg/FR-2020-10-01/pdf/2020-21676.pdfhttps://regulations.justia.com/regulations/fedreg/2020/10/01/2020-21662.htmlNotice - Self-Regulatory Organizations; Cboe Exchange, Inc.; Notice of Designation of a Longer Period for Commission Action on a Proposed Rule Change To Amend Rules Relating to the Processing of Auction Responses2020-10-01T00:00:00-07:002020-10-01T00:00:00-07:002020-21662Noticehttps://www.govinfo.gov/content/pkg/FR-2020-10-01/pdf/2020-21662.pdfhttps://regulations.justia.com/regulations/fedreg/2020/10/01/2020-21661.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 36.302020-10-01T00:00:00-07:002020-10-01T00:00:00-07:002020-21661Noticehttps://www.govinfo.gov/content/pkg/FR-2020-10-01/pdf/2020-21661.pdfhttps://regulations.justia.com/regulations/fedreg/2020/10/01/2020-21660.htmlNotice - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing of a Proposed Rule Change To Amend the Codes of Arbitration Procedure Relating to Requests To Expunge Customer Dispute Information, Including Creating a Special Arbitrator Roster To Decide Certain Expungement Requests2020-10-01T00:00:00-07:002020-10-01T00:00:00-07:002020-21660Noticehttps://www.govinfo.gov/content/pkg/FR-2020-10-01/pdf/2020-21660.pdfhttps://regulations.justia.com/regulations/fedreg/2020/10/01/2020-21659.htmlNotice - Self-Regulatory Organizations; Municipal Securities Rulemaking Board; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Consisting of Amendments to MSRB Rules A-3 and A-4 Relating to Board Quorum, Meeting, and Voting Requirements2020-10-01T00:00:00-07:002020-10-01T00:00:00-07:002020-21659Noticehttps://www.govinfo.gov/content/pkg/FR-2020-10-01/pdf/2020-21659.pdf