<![CDATA[Federal Register Recent Federal Regulation Documents - Justia Regulation Tracker - Justia Regulations Tracker]]> https://regulations.justia.com/regulations/fedreg/agencies/agencies-and-commissions/securities-and-exchange-commission/2020/10?registers=between&min-day=1&max-day=31 Fri, 03 May 2024 14:22:52 -0700 Fri, 03 May 2024 14:22:52 -0700 Justia Regulations Tracker Copyright 2011 Justia Inc. https://regulations.justia.com/images/justiafedregulations.gif <![CDATA[Federal Register Recent Federal Regulation Documents - Justia Regulation Tracker - Justia Regulations Tracker]]> https://regulations.justia.com/regulations/fedreg/agencies/agencies-and-commissions/securities-and-exchange-commission/2020/10?registers=between&min-day=1&max-day=31 Notice - Sunshine Act Meetings https://regulations.justia.com/regulations/fedreg/2020/10/30/2020-24193.html https://regulations.justia.com/regulations/fedreg/2020/10/30/2020-24193.html Fri, 30 Oct 2020 00:00:00 -0700 2020-24193 Notice https://www.govinfo.gov/content/pkg/FR-2020-10-30/pdf/2020-24193.pdf Notice - Self-Regulatory Organizations; LCH SA; Notice of Filing of Proposed Rule Change Relating to the Amendments of LCH SA Risk Liquidity Modeling Framework https://regulations.justia.com/regulations/fedreg/2020/10/30/2020-24022.html https://regulations.justia.com/regulations/fedreg/2020/10/30/2020-24022.html Fri, 30 Oct 2020 00:00:00 -0700 2020-24022 Notice https://www.govinfo.gov/content/pkg/FR-2020-10-30/pdf/2020-24022.pdf Notice - Managed Portfolio Series and Tortoise Index Solutions, LLC https://regulations.justia.com/regulations/fedreg/2020/10/30/2020-24015.html https://regulations.justia.com/regulations/fedreg/2020/10/30/2020-24015.html Fri, 30 Oct 2020 00:00:00 -0700 2020-24015 Notice https://www.govinfo.gov/content/pkg/FR-2020-10-30/pdf/2020-24015.pdf Notice - Sunshine Act Meetings https://regulations.justia.com/regulations/fedreg/2020/10/29/2020-24043.html https://regulations.justia.com/regulations/fedreg/2020/10/29/2020-24043.html Thu, 29 Oct 2020 00:00:00 -0700 2020-24043 Notice https://www.govinfo.gov/content/pkg/FR-2020-10-29/pdf/2020-24043.pdf Notice - Self-Regulatory Organizations; Cboe Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating To Amend Rule 5.1 https://regulations.justia.com/regulations/fedreg/2020/10/29/2020-23920.html https://regulations.justia.com/regulations/fedreg/2020/10/29/2020-23920.html Thu, 29 Oct 2020 00:00:00 -0700 2020-23920 Notice https://www.govinfo.gov/content/pkg/FR-2020-10-29/pdf/2020-23920.pdf Notice - 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 Transactions https://regulations.justia.com/regulations/fedreg/2020/10/29/2020-23919.html https://regulations.justia.com/regulations/fedreg/2020/10/29/2020-23919.html Thu, 29 Oct 2020 00:00:00 -0700 2020-23919 Notice https://www.govinfo.gov/content/pkg/FR-2020-10-29/pdf/2020-23919.pdf Notice - Self-Regulatory Organizations; Cboe Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Renew Its Nonstandard Expirations Pilot Program https://regulations.justia.com/regulations/fedreg/2020/10/29/2020-23918.html https://regulations.justia.com/regulations/fedreg/2020/10/29/2020-23918.html Thu, 29 Oct 2020 00:00:00 -0700 2020-23918 Notice https://www.govinfo.gov/content/pkg/FR-2020-10-29/pdf/2020-23918.pdf Notice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the NYSE Arca Equities Fees and Charges https://regulations.justia.com/regulations/fedreg/2020/10/29/2020-23916.html https://regulations.justia.com/regulations/fedreg/2020/10/29/2020-23916.html Thu, 29 Oct 2020 00:00:00 -0700 2020-23916 Notice https://www.govinfo.gov/content/pkg/FR-2020-10-29/pdf/2020-23916.pdf Notice - 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 Program https://regulations.justia.com/regulations/fedreg/2020/10/29/2020-23915.html https://regulations.justia.com/regulations/fedreg/2020/10/29/2020-23915.html Thu, 29 Oct 2020 00:00:00 -0700 2020-23915 Notice https://www.govinfo.gov/content/pkg/FR-2020-10-29/pdf/2020-23915.pdf Notice - 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 Program https://regulations.justia.com/regulations/fedreg/2020/10/29/2020-23913.html https://regulations.justia.com/regulations/fedreg/2020/10/29/2020-23913.html Thu, 29 Oct 2020 00:00:00 -0700 2020-23913 Notice https://www.govinfo.gov/content/pkg/FR-2020-10-29/pdf/2020-23913.pdf Notice - SEC Small Business Capital Formation Advisory Committee https://regulations.justia.com/regulations/fedreg/2020/10/28/2020-23834.html https://regulations.justia.com/regulations/fedreg/2020/10/28/2020-23834.html Wed, 28 Oct 2020 00:00:00 -0700 2020-23834 Notice https://www.govinfo.gov/content/pkg/FR-2020-10-28/pdf/2020-23834.pdf Notice - 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 Index https://regulations.justia.com/regulations/fedreg/2020/10/28/2020-23802.html https://regulations.justia.com/regulations/fedreg/2020/10/28/2020-23802.html Wed, 28 Oct 2020 00:00:00 -0700 2020-23802 Notice https://www.govinfo.gov/content/pkg/FR-2020-10-28/pdf/2020-23802.pdf Notice - Self-Regulatory Organizations; Nasdaq PHLX LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Extend the Exchange's Nonstandard Expirations Pilot Program https://regulations.justia.com/regulations/fedreg/2020/10/28/2020-23800.html https://regulations.justia.com/regulations/fedreg/2020/10/28/2020-23800.html Wed, 28 Oct 2020 00:00:00 -0700 2020-23800 Notice https://www.govinfo.gov/content/pkg/FR-2020-10-28/pdf/2020-23800.pdf Notice - 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 Options https://regulations.justia.com/regulations/fedreg/2020/10/28/2020-23799.html https://regulations.justia.com/regulations/fedreg/2020/10/28/2020-23799.html Wed, 28 Oct 2020 00:00:00 -0700 2020-23799 Notice https://www.govinfo.gov/content/pkg/FR-2020-10-28/pdf/2020-23799.pdf Notice - 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 Options https://regulations.justia.com/regulations/fedreg/2020/10/28/2020-23798.html https://regulations.justia.com/regulations/fedreg/2020/10/28/2020-23798.html Wed, 28 Oct 2020 00:00:00 -0700 2020-23798 Notice https://www.govinfo.gov/content/pkg/FR-2020-10-28/pdf/2020-23798.pdf Notice - Self-Regulatory Organizations; Miami International Securities Exchange, LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Exchange Rule 518, Complex Orders and Rule 519A, Risk Protection Monitor https://regulations.justia.com/regulations/fedreg/2020/10/28/2020-23797.html https://regulations.justia.com/regulations/fedreg/2020/10/28/2020-23797.html Wed, 28 Oct 2020 00:00:00 -0700 2020-23797 Notice https://www.govinfo.gov/content/pkg/FR-2020-10-28/pdf/2020-23797.pdf Notice - 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 Changes https://regulations.justia.com/regulations/fedreg/2020/10/28/2020-23796.html https://regulations.justia.com/regulations/fedreg/2020/10/28/2020-23796.html Wed, 28 Oct 2020 00:00:00 -0700 2020-23796 Notice https://www.govinfo.gov/content/pkg/FR-2020-10-28/pdf/2020-23796.pdf Notice - Self-Regulatory Organizations; Municipal Securities Rulemaking Board; Notice of Filing of a Proposed Rule Change To Amend MSRB Form G-32 https://regulations.justia.com/regulations/fedreg/2020/10/28/2020-23795.html https://regulations.justia.com/regulations/fedreg/2020/10/28/2020-23795.html Wed, 28 Oct 2020 00:00:00 -0700 2020-23795 Notice https://www.govinfo.gov/content/pkg/FR-2020-10-28/pdf/2020-23795.pdf Notice - 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 $2,500 https://regulations.justia.com/regulations/fedreg/2020/10/28/2020-23794.html https://regulations.justia.com/regulations/fedreg/2020/10/28/2020-23794.html Wed, 28 Oct 2020 00:00:00 -0700 2020-23794 Notice https://www.govinfo.gov/content/pkg/FR-2020-10-28/pdf/2020-23794.pdf Notice - Goldman Sachs (Malaysia) Sdn. Bhd., et al.; Notice of Application and Temporary Order https://regulations.justia.com/regulations/fedreg/2020/10/27/2020-23778.html https://regulations.justia.com/regulations/fedreg/2020/10/27/2020-23778.html Tue, 27 Oct 2020 00:00:00 -0700 2020-23778 Notice https://www.govinfo.gov/content/pkg/FR-2020-10-27/pdf/2020-23778.pdf Notice - Submission for OMB Review; Comment Request https://regulations.justia.com/regulations/fedreg/2020/10/27/2020-23754.html https://regulations.justia.com/regulations/fedreg/2020/10/27/2020-23754.html Tue, 27 Oct 2020 00:00:00 -0700 2020-23754 Notice https://www.govinfo.gov/content/pkg/FR-2020-10-27/pdf/2020-23754.pdf Notice - Submission for OMB Review; Comment Request https://regulations.justia.com/regulations/fedreg/2020/10/27/2020-23753.html https://regulations.justia.com/regulations/fedreg/2020/10/27/2020-23753.html Tue, 27 Oct 2020 00:00:00 -0700 2020-23753 Notice https://www.govinfo.gov/content/pkg/FR-2020-10-27/pdf/2020-23753.pdf Notice - Submission for OMB Review; Comment Request https://regulations.justia.com/regulations/fedreg/2020/10/27/2020-23752.html https://regulations.justia.com/regulations/fedreg/2020/10/27/2020-23752.html Tue, 27 Oct 2020 00:00:00 -0700 2020-23752 Notice https://www.govinfo.gov/content/pkg/FR-2020-10-27/pdf/2020-23752.pdf Notice - Submission for OMB Review; Comment Request https://regulations.justia.com/regulations/fedreg/2020/10/27/2020-23751.html https://regulations.justia.com/regulations/fedreg/2020/10/27/2020-23751.html Tue, 27 Oct 2020 00:00:00 -0700 2020-23751 Notice https://www.govinfo.gov/content/pkg/FR-2020-10-27/pdf/2020-23751.pdf Notice - Submission for OMB Review; Comment Request https://regulations.justia.com/regulations/fedreg/2020/10/27/2020-23750.html https://regulations.justia.com/regulations/fedreg/2020/10/27/2020-23750.html Tue, 27 Oct 2020 00:00:00 -0700 2020-23750 Notice https://www.govinfo.gov/content/pkg/FR-2020-10-27/pdf/2020-23750.pdf Notice - Submission for OMB Review; Comment Request https://regulations.justia.com/regulations/fedreg/2020/10/27/2020-23749.html https://regulations.justia.com/regulations/fedreg/2020/10/27/2020-23749.html Tue, 27 Oct 2020 00:00:00 -0700 2020-23749 Notice https://www.govinfo.gov/content/pkg/FR-2020-10-27/pdf/2020-23749.pdf Notice - Submission for OMB Review; Comment Request https://regulations.justia.com/regulations/fedreg/2020/10/27/2020-23748.html https://regulations.justia.com/regulations/fedreg/2020/10/27/2020-23748.html Tue, 27 Oct 2020 00:00:00 -0700 2020-23748 Notice https://www.govinfo.gov/content/pkg/FR-2020-10-27/pdf/2020-23748.pdf Notice - Submission for OMB Review; Comment Request https://regulations.justia.com/regulations/fedreg/2020/10/27/2020-23747.html https://regulations.justia.com/regulations/fedreg/2020/10/27/2020-23747.html Tue, 27 Oct 2020 00:00:00 -0700 2020-23747 Notice https://www.govinfo.gov/content/pkg/FR-2020-10-27/pdf/2020-23747.pdf Notice - 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 Changes https://regulations.justia.com/regulations/fedreg/2020/10/27/2020-23685.html https://regulations.justia.com/regulations/fedreg/2020/10/27/2020-23685.html Tue, 27 Oct 2020 00:00:00 -0700 2020-23685 Notice https://www.govinfo.gov/content/pkg/FR-2020-10-27/pdf/2020-23685.pdf Notice - 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 Change https://regulations.justia.com/regulations/fedreg/2020/10/27/2020-23684.html https://regulations.justia.com/regulations/fedreg/2020/10/27/2020-23684.html Tue, 27 Oct 2020 00:00:00 -0700 2020-23684 Notice https://www.govinfo.gov/content/pkg/FR-2020-10-27/pdf/2020-23684.pdf Notice - 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, 2021 https://regulations.justia.com/regulations/fedreg/2020/10/27/2020-23683.html https://regulations.justia.com/regulations/fedreg/2020/10/27/2020-23683.html Tue, 27 Oct 2020 00:00:00 -0700 2020-23683 Notice https://www.govinfo.gov/content/pkg/FR-2020-10-27/pdf/2020-23683.pdf Rule - Publication or Submission of Quotations Without Specified Information https://regulations.justia.com/regulations/fedreg/2020/10/27/2020-20980.html https://regulations.justia.com/regulations/fedreg/2020/10/27/2020-20980.html Tue, 27 Oct 2020 00:00:00 -0700 2020-20980 Rule https://www.govinfo.gov/content/pkg/FR-2020-10-27/pdf/2020-20980.pdf Notice - Sunshine Act Meetings https://regulations.justia.com/regulations/fedreg/2020/10/26/2020-23706.html https://regulations.justia.com/regulations/fedreg/2020/10/26/2020-23706.html Mon, 26 Oct 2020 00:00:00 -0700 2020-23706 Notice https://www.govinfo.gov/content/pkg/FR-2020-10-26/pdf/2020-23706.pdf Notice - 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 Fees https://regulations.justia.com/regulations/fedreg/2020/10/26/2020-23633.html https://regulations.justia.com/regulations/fedreg/2020/10/26/2020-23633.html Mon, 26 Oct 2020 00:00:00 -0700 2020-23633 Notice https://www.govinfo.gov/content/pkg/FR-2020-10-26/pdf/2020-23633.pdf Notice - 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, 2021 https://regulations.justia.com/regulations/fedreg/2020/10/26/2020-23575.html https://regulations.justia.com/regulations/fedreg/2020/10/26/2020-23575.html Mon, 26 Oct 2020 00:00:00 -0700 2020-23575 Notice https://www.govinfo.gov/content/pkg/FR-2020-10-26/pdf/2020-23575.pdf Notice - Self-Regulatory Organizations; Cboe Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating To Amend Its Fees Schedule https://regulations.justia.com/regulations/fedreg/2020/10/26/2020-23574.html https://regulations.justia.com/regulations/fedreg/2020/10/26/2020-23574.html Mon, 26 Oct 2020 00:00:00 -0700 2020-23574 Notice https://www.govinfo.gov/content/pkg/FR-2020-10-26/pdf/2020-23574.pdf Notice - 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, 2021 https://regulations.justia.com/regulations/fedreg/2020/10/26/2020-23573.html https://regulations.justia.com/regulations/fedreg/2020/10/26/2020-23573.html Mon, 26 Oct 2020 00:00:00 -0700 2020-23573 Notice https://www.govinfo.gov/content/pkg/FR-2020-10-26/pdf/2020-23573.pdf Notice - 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, 2021 https://regulations.justia.com/regulations/fedreg/2020/10/26/2020-23572.html https://regulations.justia.com/regulations/fedreg/2020/10/26/2020-23572.html Mon, 26 Oct 2020 00:00:00 -0700 2020-23572 Notice https://www.govinfo.gov/content/pkg/FR-2020-10-26/pdf/2020-23572.pdf Notice - 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 Order https://regulations.justia.com/regulations/fedreg/2020/10/26/2020-23571.html https://regulations.justia.com/regulations/fedreg/2020/10/26/2020-23571.html Mon, 26 Oct 2020 00:00:00 -0700 2020-23571 Notice https://www.govinfo.gov/content/pkg/FR-2020-10-26/pdf/2020-23571.pdf Notice - 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 Order https://regulations.justia.com/regulations/fedreg/2020/10/26/2020-23570.html https://regulations.justia.com/regulations/fedreg/2020/10/26/2020-23570.html Mon, 26 Oct 2020 00:00:00 -0700 2020-23570 Notice https://www.govinfo.gov/content/pkg/FR-2020-10-26/pdf/2020-23570.pdf Notice - 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 Index https://regulations.justia.com/regulations/fedreg/2020/10/26/2020-23568.html https://regulations.justia.com/regulations/fedreg/2020/10/26/2020-23568.html Mon, 26 Oct 2020 00:00:00 -0700 2020-23568 Notice https://www.govinfo.gov/content/pkg/FR-2020-10-26/pdf/2020-23568.pdf Notice - Primark Private Equity Investments Fund and Primark Advisors LLC https://regulations.justia.com/regulations/fedreg/2020/10/26/2020-23550.html https://regulations.justia.com/regulations/fedreg/2020/10/26/2020-23550.html Mon, 26 Oct 2020 00:00:00 -0700 2020-23550 Notice https://www.govinfo.gov/content/pkg/FR-2020-10-26/pdf/2020-23550.pdf Notice - 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 Trail https://regulations.justia.com/regulations/fedreg/2020/10/23/2020-23467.html https://regulations.justia.com/regulations/fedreg/2020/10/23/2020-23467.html Fri, 23 Oct 2020 00:00:00 -0700 2020-23467 Notice https://www.govinfo.gov/content/pkg/FR-2020-10-23/pdf/2020-23467.pdf Notice - 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) https://regulations.justia.com/regulations/fedreg/2020/10/23/2020-23456.html https://regulations.justia.com/regulations/fedreg/2020/10/23/2020-23456.html Fri, 23 Oct 2020 00:00:00 -0700 2020-23456 Notice https://www.govinfo.gov/content/pkg/FR-2020-10-23/pdf/2020-23456.pdf Notice - Self-Regulatory Organizations; Nasdaq BX, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Make Technical Amendments to the Options Listing Rules https://regulations.justia.com/regulations/fedreg/2020/10/23/2020-23455.html https://regulations.justia.com/regulations/fedreg/2020/10/23/2020-23455.html Fri, 23 Oct 2020 00:00:00 -0700 2020-23455 Notice https://www.govinfo.gov/content/pkg/FR-2020-10-23/pdf/2020-23455.pdf Notice - Sunshine Act Meetings https://regulations.justia.com/regulations/fedreg/2020/10/22/2020-23532.html https://regulations.justia.com/regulations/fedreg/2020/10/22/2020-23532.html Thu, 22 Oct 2020 00:00:00 -0700 2020-23532 Notice https://www.govinfo.gov/content/pkg/FR-2020-10-22/pdf/2020-23532.pdf Notice - Self-Regulatory Organizations; NYSE National, Inc.; Order Approving a Proposed Rule Change To Establish Fees for the NYSE National Integrated Feed https://regulations.justia.com/regulations/fedreg/2020/10/22/2020-23367.html https://regulations.justia.com/regulations/fedreg/2020/10/22/2020-23367.html Thu, 22 Oct 2020 00:00:00 -0700 2020-23367 Notice https://www.govinfo.gov/content/pkg/FR-2020-10-22/pdf/2020-23367.pdf Notice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing of Amendment No. 3 and Order Granting Accelerated Approval of a Proposed Rule Change, as Modified by Amendment No. 3, To 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-E https://regulations.justia.com/regulations/fedreg/2020/10/22/2020-23362.html https://regulations.justia.com/regulations/fedreg/2020/10/22/2020-23362.html Thu, 22 Oct 2020 00:00:00 -0700 2020-23362 Notice https://www.govinfo.gov/content/pkg/FR-2020-10-22/pdf/2020-23362.pdf Notice - 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 Check https://regulations.justia.com/regulations/fedreg/2020/10/22/2020-23361.html https://regulations.justia.com/regulations/fedreg/2020/10/22/2020-23361.html Thu, 22 Oct 2020 00:00:00 -0700 2020-23361 Notice https://www.govinfo.gov/content/pkg/FR-2020-10-22/pdf/2020-23361.pdf Notice - 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 Changes https://regulations.justia.com/regulations/fedreg/2020/10/22/2020-23360.html https://regulations.justia.com/regulations/fedreg/2020/10/22/2020-23360.html Thu, 22 Oct 2020 00:00:00 -0700 2020-23360 Notice https://www.govinfo.gov/content/pkg/FR-2020-10-22/pdf/2020-23360.pdf Notice - Asset Management Advisory Committee; Meeting https://regulations.justia.com/regulations/fedreg/2020/10/21/2020-23302.html https://regulations.justia.com/regulations/fedreg/2020/10/21/2020-23302.html Wed, 21 Oct 2020 00:00:00 -0700 2020-23302 Notice https://www.govinfo.gov/content/pkg/FR-2020-10-21/pdf/2020-23302.pdf Notice - 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 Policies https://regulations.justia.com/regulations/fedreg/2020/10/21/2020-23264.html https://regulations.justia.com/regulations/fedreg/2020/10/21/2020-23264.html Wed, 21 Oct 2020 00:00:00 -0700 2020-23264 Notice https://www.govinfo.gov/content/pkg/FR-2020-10-21/pdf/2020-23264.pdf Notice - 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 11890 https://regulations.justia.com/regulations/fedreg/2020/10/21/2020-23263.html https://regulations.justia.com/regulations/fedreg/2020/10/21/2020-23263.html Wed, 21 Oct 2020 00:00:00 -0700 2020-23263 Notice https://www.govinfo.gov/content/pkg/FR-2020-10-21/pdf/2020-23263.pdf Notice - 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 3312 https://regulations.justia.com/regulations/fedreg/2020/10/21/2020-23262.html https://regulations.justia.com/regulations/fedreg/2020/10/21/2020-23262.html Wed, 21 Oct 2020 00:00:00 -0700 2020-23262 Notice https://www.govinfo.gov/content/pkg/FR-2020-10-21/pdf/2020-23262.pdf Notice - 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 One https://regulations.justia.com/regulations/fedreg/2020/10/21/2020-23261.html https://regulations.justia.com/regulations/fedreg/2020/10/21/2020-23261.html Wed, 21 Oct 2020 00:00:00 -0700 2020-23261 Notice https://www.govinfo.gov/content/pkg/FR-2020-10-21/pdf/2020-23261.pdf Notice - Self-Regulatory Organizations; The Depository Trust Company; Notice of Filing of Proposed Rule Change To Adopt a New Service Guide To Establish the ClaimConnectTM https://regulations.justia.com/regulations/fedreg/2020/10/21/2020-23260.html https://regulations.justia.com/regulations/fedreg/2020/10/21/2020-23260.html Wed, 21 Oct 2020 00:00:00 -0700 2020-23260 Notice https://www.govinfo.gov/content/pkg/FR-2020-10-21/pdf/2020-23260.pdf Notice - 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) https://regulations.justia.com/regulations/fedreg/2020/10/21/2020-23259.html https://regulations.justia.com/regulations/fedreg/2020/10/21/2020-23259.html Wed, 21 Oct 2020 00:00:00 -0700 2020-23259 Notice https://www.govinfo.gov/content/pkg/FR-2020-10-21/pdf/2020-23259.pdf Notice - 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 Panel https://regulations.justia.com/regulations/fedreg/2020/10/21/2020-23258.html https://regulations.justia.com/regulations/fedreg/2020/10/21/2020-23258.html Wed, 21 Oct 2020 00:00:00 -0700 2020-23258 Notice https://www.govinfo.gov/content/pkg/FR-2020-10-21/pdf/2020-23258.pdf Notice - Self-Regulatory Organizations: Investors Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Add an Offset Peg Order Type https://regulations.justia.com/regulations/fedreg/2020/10/21/2020-23257.html https://regulations.justia.com/regulations/fedreg/2020/10/21/2020-23257.html Wed, 21 Oct 2020 00:00:00 -0700 2020-23257 Notice https://www.govinfo.gov/content/pkg/FR-2020-10-21/pdf/2020-23257.pdf Notice - 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 Fees https://regulations.justia.com/regulations/fedreg/2020/10/21/2020-23256.html https://regulations.justia.com/regulations/fedreg/2020/10/21/2020-23256.html Wed, 21 Oct 2020 00:00:00 -0700 2020-23256 Notice https://www.govinfo.gov/content/pkg/FR-2020-10-21/pdf/2020-23256.pdf Notice - 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 Requirements https://regulations.justia.com/regulations/fedreg/2020/10/21/2020-23255.html https://regulations.justia.com/regulations/fedreg/2020/10/21/2020-23255.html Wed, 21 Oct 2020 00:00:00 -0700 2020-23255 Notice https://www.govinfo.gov/content/pkg/FR-2020-10-21/pdf/2020-23255.pdf Notice - Self-Regulatory Organizations; NYSE American LLC; Notice of Filing and Immediate Effectiveness of Proposed Change To Amend the NYSE American Options Fee Schedule https://regulations.justia.com/regulations/fedreg/2020/10/21/2020-23254.html https://regulations.justia.com/regulations/fedreg/2020/10/21/2020-23254.html Wed, 21 Oct 2020 00:00:00 -0700 2020-23254 Notice https://www.govinfo.gov/content/pkg/FR-2020-10-21/pdf/2020-23254.pdf Notice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Modify the NYSE Arca Options Fee https://regulations.justia.com/regulations/fedreg/2020/10/21/2020-23253.html https://regulations.justia.com/regulations/fedreg/2020/10/21/2020-23253.html Wed, 21 Oct 2020 00:00:00 -0700 2020-23253 Notice https://www.govinfo.gov/content/pkg/FR-2020-10-21/pdf/2020-23253.pdf Notice - 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 Connections https://regulations.justia.com/regulations/fedreg/2020/10/21/2020-23250.html https://regulations.justia.com/regulations/fedreg/2020/10/21/2020-23250.html Wed, 21 Oct 2020 00:00:00 -0700 2020-23250 Notice https://www.govinfo.gov/content/pkg/FR-2020-10-21/pdf/2020-23250.pdf Notice - 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) https://regulations.justia.com/regulations/fedreg/2020/10/21/2020-23244.html https://regulations.justia.com/regulations/fedreg/2020/10/21/2020-23244.html Wed, 21 Oct 2020 00:00:00 -0700 2020-23244 Notice https://www.govinfo.gov/content/pkg/FR-2020-10-21/pdf/2020-23244.pdf Notice - 361 Social Infrastructure Fund and 361 Infrastructure Partners, LLC https://regulations.justia.com/regulations/fedreg/2020/10/21/2020-23242.html https://regulations.justia.com/regulations/fedreg/2020/10/21/2020-23242.html Wed, 21 Oct 2020 00:00:00 -0700 2020-23242 Notice https://www.govinfo.gov/content/pkg/FR-2020-10-21/pdf/2020-23242.pdf Notice - YieldStreet Prism Fund Inc., et al. https://regulations.justia.com/regulations/fedreg/2020/10/21/2020-23241.html https://regulations.justia.com/regulations/fedreg/2020/10/21/2020-23241.html Wed, 21 Oct 2020 00:00:00 -0700 2020-23241 Notice https://www.govinfo.gov/content/pkg/FR-2020-10-21/pdf/2020-23241.pdf Notice - Sunshine Act Meetings https://regulations.justia.com/regulations/fedreg/2020/10/20/2020-23245.html https://regulations.justia.com/regulations/fedreg/2020/10/20/2020-23245.html Tue, 20 Oct 2020 00:00:00 -0700 2020-23245 Notice https://www.govinfo.gov/content/pkg/FR-2020-10-20/pdf/2020-23245.pdf Notice - Notice of Intention To Cancel Registration Pursuant to Section 203(h) of the Investment Advisers Act of 1940 https://regulations.justia.com/regulations/fedreg/2020/10/20/2020-23178.html https://regulations.justia.com/regulations/fedreg/2020/10/20/2020-23178.html Tue, 20 Oct 2020 00:00:00 -0700 2020-23178 Notice https://www.govinfo.gov/content/pkg/FR-2020-10-20/pdf/2020-23178.pdf Notice - 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 Fee https://regulations.justia.com/regulations/fedreg/2020/10/20/2020-23151.html https://regulations.justia.com/regulations/fedreg/2020/10/20/2020-23151.html Tue, 20 Oct 2020 00:00:00 -0700 2020-23151 Notice https://www.govinfo.gov/content/pkg/FR-2020-10-20/pdf/2020-23151.pdf Notice - Self-Regulatory Organizations; Cboe Exchange, Inc.; Order Granting Approval of a Proposed Rule Change To Adopt Position Compression Cross (“PCC”) Orders for SPX https://regulations.justia.com/regulations/fedreg/2020/10/20/2020-23150.html https://regulations.justia.com/regulations/fedreg/2020/10/20/2020-23150.html Tue, 20 Oct 2020 00:00:00 -0700 2020-23150 Notice https://www.govinfo.gov/content/pkg/FR-2020-10-20/pdf/2020-23150.pdf Notice - 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 Fees https://regulations.justia.com/regulations/fedreg/2020/10/20/2020-23149.html https://regulations.justia.com/regulations/fedreg/2020/10/20/2020-23149.html Tue, 20 Oct 2020 00:00:00 -0700 2020-23149 Notice https://www.govinfo.gov/content/pkg/FR-2020-10-20/pdf/2020-23149.pdf Notice - 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 139 https://regulations.justia.com/regulations/fedreg/2020/10/20/2020-23148.html https://regulations.justia.com/regulations/fedreg/2020/10/20/2020-23148.html Tue, 20 Oct 2020 00:00:00 -0700 2020-23148 Notice https://www.govinfo.gov/content/pkg/FR-2020-10-20/pdf/2020-23148.pdf Notice - 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 Charges https://regulations.justia.com/regulations/fedreg/2020/10/20/2020-23147.html https://regulations.justia.com/regulations/fedreg/2020/10/20/2020-23147.html Tue, 20 Oct 2020 00:00:00 -0700 2020-23147 Notice https://www.govinfo.gov/content/pkg/FR-2020-10-20/pdf/2020-23147.pdf Notice - Self-Regulatory Organizations; Cboe Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Rule 5.24 https://regulations.justia.com/regulations/fedreg/2020/10/20/2020-23146.html https://regulations.justia.com/regulations/fedreg/2020/10/20/2020-23146.html Tue, 20 Oct 2020 00:00:00 -0700 2020-23146 Notice https://www.govinfo.gov/content/pkg/FR-2020-10-20/pdf/2020-23146.pdf Notice - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Its Price List https://regulations.justia.com/regulations/fedreg/2020/10/20/2020-23144.html https://regulations.justia.com/regulations/fedreg/2020/10/20/2020-23144.html Tue, 20 Oct 2020 00:00:00 -0700 2020-23144 Notice https://www.govinfo.gov/content/pkg/FR-2020-10-20/pdf/2020-23144.pdf Notice - Self-Regulatory Organizations; the Depository Trust Company; Notice of Filing of an Advance Notice To Amend Rule 4 https://regulations.justia.com/regulations/fedreg/2020/10/20/2020-23143.html https://regulations.justia.com/regulations/fedreg/2020/10/20/2020-23143.html Tue, 20 Oct 2020 00:00:00 -0700 2020-23143 Notice https://www.govinfo.gov/content/pkg/FR-2020-10-20/pdf/2020-23143.pdf Notice - 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 Fees https://regulations.justia.com/regulations/fedreg/2020/10/20/2020-23142.html https://regulations.justia.com/regulations/fedreg/2020/10/20/2020-23142.html Tue, 20 Oct 2020 00:00:00 -0700 2020-23142 Notice https://www.govinfo.gov/content/pkg/FR-2020-10-20/pdf/2020-23142.pdf Notice - 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 Mission https://regulations.justia.com/regulations/fedreg/2020/10/20/2020-23141.html https://regulations.justia.com/regulations/fedreg/2020/10/20/2020-23141.html Tue, 20 Oct 2020 00:00:00 -0700 2020-23141 Notice https://www.govinfo.gov/content/pkg/FR-2020-10-20/pdf/2020-23141.pdf Notice - Self-Regulatory Organizations; NYSE American LLC; Notice of Filing and Immediate Effectiveness of Proposed Change To Modify the NYSE American Options Fee Schedule https://regulations.justia.com/regulations/fedreg/2020/10/20/2020-23140.html https://regulations.justia.com/regulations/fedreg/2020/10/20/2020-23140.html Tue, 20 Oct 2020 00:00:00 -0700 2020-23140 Notice https://www.govinfo.gov/content/pkg/FR-2020-10-20/pdf/2020-23140.pdf Notice - 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 Auctions https://regulations.justia.com/regulations/fedreg/2020/10/20/2020-23139.html https://regulations.justia.com/regulations/fedreg/2020/10/20/2020-23139.html Tue, 20 Oct 2020 00:00:00 -0700 2020-23139 Notice https://www.govinfo.gov/content/pkg/FR-2020-10-20/pdf/2020-23139.pdf Notice - 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 Charge https://regulations.justia.com/regulations/fedreg/2020/10/20/2020-23138.html https://regulations.justia.com/regulations/fedreg/2020/10/20/2020-23138.html Tue, 20 Oct 2020 00:00:00 -0700 2020-23138 Notice https://www.govinfo.gov/content/pkg/FR-2020-10-20/pdf/2020-23138.pdf Notice - 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 Messages https://regulations.justia.com/regulations/fedreg/2020/10/20/2020-23137.html https://regulations.justia.com/regulations/fedreg/2020/10/20/2020-23137.html Tue, 20 Oct 2020 00:00:00 -0700 2020-23137 Notice https://www.govinfo.gov/content/pkg/FR-2020-10-20/pdf/2020-23137.pdf Notice - 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 5.22 https://regulations.justia.com/regulations/fedreg/2020/10/19/2020-23016.html https://regulations.justia.com/regulations/fedreg/2020/10/19/2020-23016.html Mon, 19 Oct 2020 00:00:00 -0700 2020-23016 Notice https://www.govinfo.gov/content/pkg/FR-2020-10-19/pdf/2020-23016.pdf Notice - Self-Regulatory Organizations; The Nasdaq Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Equity 7, Section 114 and Equity 7, Section 118 of the Fee Schedule https://regulations.justia.com/regulations/fedreg/2020/10/19/2020-23015.html https://regulations.justia.com/regulations/fedreg/2020/10/19/2020-23015.html Mon, 19 Oct 2020 00:00:00 -0700 2020-23015 Notice https://www.govinfo.gov/content/pkg/FR-2020-10-19/pdf/2020-23015.pdf Notice - Self-Regulatory Organizations; The Nasdaq Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Equity 7, Section 118(a) https://regulations.justia.com/regulations/fedreg/2020/10/19/2020-23014.html https://regulations.justia.com/regulations/fedreg/2020/10/19/2020-23014.html Mon, 19 Oct 2020 00:00:00 -0700 2020-23014 Notice https://www.govinfo.gov/content/pkg/FR-2020-10-19/pdf/2020-23014.pdf Notice - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Its Price List https://regulations.justia.com/regulations/fedreg/2020/10/19/2020-23013.html https://regulations.justia.com/regulations/fedreg/2020/10/19/2020-23013.html Mon, 19 Oct 2020 00:00:00 -0700 2020-23013 Notice https://www.govinfo.gov/content/pkg/FR-2020-10-19/pdf/2020-23013.pdf Notice - 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 Halt https://regulations.justia.com/regulations/fedreg/2020/10/19/2020-23011.html https://regulations.justia.com/regulations/fedreg/2020/10/19/2020-23011.html Mon, 19 Oct 2020 00:00:00 -0700 2020-23011 Notice https://www.govinfo.gov/content/pkg/FR-2020-10-19/pdf/2020-23011.pdf Notice - 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 6.32.01 https://regulations.justia.com/regulations/fedreg/2020/10/19/2020-23010.html https://regulations.justia.com/regulations/fedreg/2020/10/19/2020-23010.html Mon, 19 Oct 2020 00:00:00 -0700 2020-23010 Notice https://www.govinfo.gov/content/pkg/FR-2020-10-19/pdf/2020-23010.pdf Notice - 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 7.10 https://regulations.justia.com/regulations/fedreg/2020/10/19/2020-23009.html https://regulations.justia.com/regulations/fedreg/2020/10/19/2020-23009.html Mon, 19 Oct 2020 00:00:00 -0700 2020-23009 Notice https://www.govinfo.gov/content/pkg/FR-2020-10-19/pdf/2020-23009.pdf Notice - 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 7.10 https://regulations.justia.com/regulations/fedreg/2020/10/19/2020-23008.html https://regulations.justia.com/regulations/fedreg/2020/10/19/2020-23008.html Mon, 19 Oct 2020 00:00:00 -0700 2020-23008 Notice https://www.govinfo.gov/content/pkg/FR-2020-10-19/pdf/2020-23008.pdf Notice - 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-E https://regulations.justia.com/regulations/fedreg/2020/10/19/2020-23007.html https://regulations.justia.com/regulations/fedreg/2020/10/19/2020-23007.html Mon, 19 Oct 2020 00:00:00 -0700 2020-23007 Notice https://www.govinfo.gov/content/pkg/FR-2020-10-19/pdf/2020-23007.pdf Notice - 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 7.10E https://regulations.justia.com/regulations/fedreg/2020/10/19/2020-23006.html https://regulations.justia.com/regulations/fedreg/2020/10/19/2020-23006.html Mon, 19 Oct 2020 00:00:00 -0700 2020-23006 Notice https://www.govinfo.gov/content/pkg/FR-2020-10-19/pdf/2020-23006.pdf Notice - Sunshine Act Meetings https://regulations.justia.com/regulations/fedreg/2020/10/16/2020-23085.html https://regulations.justia.com/regulations/fedreg/2020/10/16/2020-23085.html Fri, 16 Oct 2020 00:00:00 -0700 2020-23085 Notice https://www.govinfo.gov/content/pkg/FR-2020-10-16/pdf/2020-23085.pdf Notice - Self-Regulatory Organizations; The Options Clearing Corporation; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Concerning The Options Clearing Corporation's Synthetic Futures Model https://regulations.justia.com/regulations/fedreg/2020/10/16/2020-22740.html https://regulations.justia.com/regulations/fedreg/2020/10/16/2020-22740.html Fri, 16 Oct 2020 00:00:00 -0700 2020-22740 Notice https://www.govinfo.gov/content/pkg/FR-2020-10-16/pdf/2020-22740.pdf Notice - 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 Rules https://regulations.justia.com/regulations/fedreg/2020/10/16/2020-22739.html https://regulations.justia.com/regulations/fedreg/2020/10/16/2020-22739.html Fri, 16 Oct 2020 00:00:00 -0700 2020-22739 Notice https://www.govinfo.gov/content/pkg/FR-2020-10-16/pdf/2020-22739.pdf Notice - 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 7.12 https://regulations.justia.com/regulations/fedreg/2020/10/16/2020-22736.html https://regulations.justia.com/regulations/fedreg/2020/10/16/2020-22736.html Fri, 16 Oct 2020 00:00:00 -0700 2020-22736 Notice https://www.govinfo.gov/content/pkg/FR-2020-10-16/pdf/2020-22736.pdf Notice - Self-Regulatory Organizations; Cboe EDGX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the Fee Schedule https://regulations.justia.com/regulations/fedreg/2020/10/16/2020-22735.html https://regulations.justia.com/regulations/fedreg/2020/10/16/2020-22735.html Fri, 16 Oct 2020 00:00:00 -0700 2020-22735 Notice https://www.govinfo.gov/content/pkg/FR-2020-10-16/pdf/2020-22735.pdf Notice - 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, 2020 https://regulations.justia.com/regulations/fedreg/2020/10/16/2020-22734.html https://regulations.justia.com/regulations/fedreg/2020/10/16/2020-22734.html Fri, 16 Oct 2020 00:00:00 -0700 2020-22734 Notice https://www.govinfo.gov/content/pkg/FR-2020-10-16/pdf/2020-22734.pdf Rule - Update of Statistical Disclosures for Bank and Savings and Loan Registrants https://regulations.justia.com/regulations/fedreg/2020/10/16/2020-20655.html https://regulations.justia.com/regulations/fedreg/2020/10/16/2020-20655.html Fri, 16 Oct 2020 00:00:00 -0700 2020-20655 Rule https://www.govinfo.gov/content/pkg/FR-2020-10-16/pdf/2020-20655.pdf Notice - Proposed Amendments to the National Market System Plan Governing the Consolidated Audit Trail To Enhance Data Security https://regulations.justia.com/regulations/fedreg/2020/10/16/2020-18801.html https://regulations.justia.com/regulations/fedreg/2020/10/16/2020-18801.html Fri, 16 Oct 2020 00:00:00 -0700 2020-18801 Notice https://www.govinfo.gov/content/pkg/FR-2020-10-16/pdf/2020-18801.pdf Notice - 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 3101 https://regulations.justia.com/regulations/fedreg/2020/10/15/2020-22872.html https://regulations.justia.com/regulations/fedreg/2020/10/15/2020-22872.html Thu, 15 Oct 2020 00:00:00 -0700 2020-22872 Notice https://www.govinfo.gov/content/pkg/FR-2020-10-15/pdf/2020-22872.pdf Notice - 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 7 https://regulations.justia.com/regulations/fedreg/2020/10/15/2020-22871.html https://regulations.justia.com/regulations/fedreg/2020/10/15/2020-22871.html Thu, 15 Oct 2020 00:00:00 -0700 2020-22871 Notice https://www.govinfo.gov/content/pkg/FR-2020-10-15/pdf/2020-22871.pdf Notice - 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 11.16 https://regulations.justia.com/regulations/fedreg/2020/10/15/2020-22870.html https://regulations.justia.com/regulations/fedreg/2020/10/15/2020-22870.html Thu, 15 Oct 2020 00:00:00 -0700 2020-22870 Notice https://www.govinfo.gov/content/pkg/FR-2020-10-15/pdf/2020-22870.pdf Notice - Self-Regulatory Organizations; Miami International Securities Exchange LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Fee Schedule https://regulations.justia.com/regulations/fedreg/2020/10/15/2020-22869.html https://regulations.justia.com/regulations/fedreg/2020/10/15/2020-22869.html Thu, 15 Oct 2020 00:00:00 -0700 2020-22869 Notice https://www.govinfo.gov/content/pkg/FR-2020-10-15/pdf/2020-22869.pdf Notice - Self-Regulatory Organizations; Nasdaq BX, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Extend Rule 4121 https://regulations.justia.com/regulations/fedreg/2020/10/15/2020-22868.html https://regulations.justia.com/regulations/fedreg/2020/10/15/2020-22868.html Thu, 15 Oct 2020 00:00:00 -0700 2020-22868 Notice https://www.govinfo.gov/content/pkg/FR-2020-10-15/pdf/2020-22868.pdf Notice - 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 4121 https://regulations.justia.com/regulations/fedreg/2020/10/15/2020-22867.html https://regulations.justia.com/regulations/fedreg/2020/10/15/2020-22867.html Thu, 15 Oct 2020 00:00:00 -0700 2020-22867 Notice https://www.govinfo.gov/content/pkg/FR-2020-10-15/pdf/2020-22867.pdf Notice - 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 7 https://regulations.justia.com/regulations/fedreg/2020/10/15/2020-22866.html https://regulations.justia.com/regulations/fedreg/2020/10/15/2020-22866.html Thu, 15 Oct 2020 00:00:00 -0700 2020-22866 Notice https://www.govinfo.gov/content/pkg/FR-2020-10-15/pdf/2020-22866.pdf Notice - Snowflake, Inc. https://regulations.justia.com/regulations/fedreg/2020/10/15/2020-22824.html https://regulations.justia.com/regulations/fedreg/2020/10/15/2020-22824.html Thu, 15 Oct 2020 00:00:00 -0700 2020-22824 Notice https://www.govinfo.gov/content/pkg/FR-2020-10-15/pdf/2020-22824.pdf Rule - Rescission of Effective-Upon-Filing Procedure for NMS Plan Fee Amendments and Modified Procedures for Proposed NMS Plans and Plan Amendments https://regulations.justia.com/regulations/fedreg/2020/10/15/2020-18572.html https://regulations.justia.com/regulations/fedreg/2020/10/15/2020-18572.html Thu, 15 Oct 2020 00:00:00 -0700 2020-18572 Rule https://www.govinfo.gov/content/pkg/FR-2020-10-15/pdf/2020-18572.pdf Notice - 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. https://regulations.justia.com/regulations/fedreg/2020/10/14/2020-22718.html https://regulations.justia.com/regulations/fedreg/2020/10/14/2020-22718.html Wed, 14 Oct 2020 00:00:00 -0700 2020-22718 Notice https://www.govinfo.gov/content/pkg/FR-2020-10-14/pdf/2020-22718.pdf Notice - 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-E https://regulations.justia.com/regulations/fedreg/2020/10/14/2020-22717.html https://regulations.justia.com/regulations/fedreg/2020/10/14/2020-22717.html Wed, 14 Oct 2020 00:00:00 -0700 2020-22717 Notice https://www.govinfo.gov/content/pkg/FR-2020-10-14/pdf/2020-22717.pdf Notice - 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 7.12E https://regulations.justia.com/regulations/fedreg/2020/10/14/2020-22716.html https://regulations.justia.com/regulations/fedreg/2020/10/14/2020-22716.html Wed, 14 Oct 2020 00:00:00 -0700 2020-22716 Notice https://www.govinfo.gov/content/pkg/FR-2020-10-14/pdf/2020-22716.pdf Notice - 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 7.12 https://regulations.justia.com/regulations/fedreg/2020/10/14/2020-22715.html https://regulations.justia.com/regulations/fedreg/2020/10/14/2020-22715.html Wed, 14 Oct 2020 00:00:00 -0700 2020-22715 Notice https://www.govinfo.gov/content/pkg/FR-2020-10-14/pdf/2020-22715.pdf Notice - 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 7.12 https://regulations.justia.com/regulations/fedreg/2020/10/14/2020-22714.html https://regulations.justia.com/regulations/fedreg/2020/10/14/2020-22714.html Wed, 14 Oct 2020 00:00:00 -0700 2020-22714 Notice https://www.govinfo.gov/content/pkg/FR-2020-10-14/pdf/2020-22714.pdf Notice - Self-Regulatory Organizations; Cboe Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating To Amend Rule 5.1 https://regulations.justia.com/regulations/fedreg/2020/10/14/2020-22713.html https://regulations.justia.com/regulations/fedreg/2020/10/14/2020-22713.html Wed, 14 Oct 2020 00:00:00 -0700 2020-22713 Notice https://www.govinfo.gov/content/pkg/FR-2020-10-14/pdf/2020-22713.pdf Notice - 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) Rules https://regulations.justia.com/regulations/fedreg/2020/10/14/2020-22712.html https://regulations.justia.com/regulations/fedreg/2020/10/14/2020-22712.html Wed, 14 Oct 2020 00:00:00 -0700 2020-22712 Notice https://www.govinfo.gov/content/pkg/FR-2020-10-14/pdf/2020-22712.pdf Notice - 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, 2021 https://regulations.justia.com/regulations/fedreg/2020/10/14/2020-22711.html https://regulations.justia.com/regulations/fedreg/2020/10/14/2020-22711.html Wed, 14 Oct 2020 00:00:00 -0700 2020-22711 Notice https://www.govinfo.gov/content/pkg/FR-2020-10-14/pdf/2020-22711.pdf Notice - 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 11.16 https://regulations.justia.com/regulations/fedreg/2020/10/14/2020-22710.html https://regulations.justia.com/regulations/fedreg/2020/10/14/2020-22710.html Wed, 14 Oct 2020 00:00:00 -0700 2020-22710 Notice https://www.govinfo.gov/content/pkg/FR-2020-10-14/pdf/2020-22710.pdf Notice - 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 11.18 https://regulations.justia.com/regulations/fedreg/2020/10/14/2020-22709.html https://regulations.justia.com/regulations/fedreg/2020/10/14/2020-22709.html Wed, 14 Oct 2020 00:00:00 -0700 2020-22709 Notice https://www.govinfo.gov/content/pkg/FR-2020-10-14/pdf/2020-22709.pdf Notice - 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 11.280 https://regulations.justia.com/regulations/fedreg/2020/10/14/2020-22708.html https://regulations.justia.com/regulations/fedreg/2020/10/14/2020-22708.html Wed, 14 Oct 2020 00:00:00 -0700 2020-22708 Notice https://www.govinfo.gov/content/pkg/FR-2020-10-14/pdf/2020-22708.pdf Notice - 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 2622 https://regulations.justia.com/regulations/fedreg/2020/10/14/2020-22707.html https://regulations.justia.com/regulations/fedreg/2020/10/14/2020-22707.html Wed, 14 Oct 2020 00:00:00 -0700 2020-22707 Notice https://www.govinfo.gov/content/pkg/FR-2020-10-14/pdf/2020-22707.pdf Notice - 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 Schedule https://regulations.justia.com/regulations/fedreg/2020/10/14/2020-22706.html https://regulations.justia.com/regulations/fedreg/2020/10/14/2020-22706.html Wed, 14 Oct 2020 00:00:00 -0700 2020-22706 Notice https://www.govinfo.gov/content/pkg/FR-2020-10-14/pdf/2020-22706.pdf Notice - Self-Regulatory Organizations; Cboe BYX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Increase Maker Transaction Fees https://regulations.justia.com/regulations/fedreg/2020/10/14/2020-22705.html https://regulations.justia.com/regulations/fedreg/2020/10/14/2020-22705.html Wed, 14 Oct 2020 00:00:00 -0700 2020-22705 Notice https://www.govinfo.gov/content/pkg/FR-2020-10-14/pdf/2020-22705.pdf Notice - 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 11.18 https://regulations.justia.com/regulations/fedreg/2020/10/14/2020-22704.html https://regulations.justia.com/regulations/fedreg/2020/10/14/2020-22704.html Wed, 14 Oct 2020 00:00:00 -0700 2020-22704 Notice https://www.govinfo.gov/content/pkg/FR-2020-10-14/pdf/2020-22704.pdf Notice - 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 2.1210 https://regulations.justia.com/regulations/fedreg/2020/10/14/2020-22637.html https://regulations.justia.com/regulations/fedreg/2020/10/14/2020-22637.html Wed, 14 Oct 2020 00:00:00 -0700 2020-22637 Notice https://www.govinfo.gov/content/pkg/FR-2020-10-14/pdf/2020-22637.pdf Notice - 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) https://regulations.justia.com/regulations/fedreg/2020/10/14/2020-22636.html https://regulations.justia.com/regulations/fedreg/2020/10/14/2020-22636.html Wed, 14 Oct 2020 00:00:00 -0700 2020-22636 Notice https://www.govinfo.gov/content/pkg/FR-2020-10-14/pdf/2020-22636.pdf Notice - 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 2.1210 https://regulations.justia.com/regulations/fedreg/2020/10/14/2020-22632.html https://regulations.justia.com/regulations/fedreg/2020/10/14/2020-22632.html Wed, 14 Oct 2020 00:00:00 -0700 2020-22632 Notice https://www.govinfo.gov/content/pkg/FR-2020-10-14/pdf/2020-22632.pdf Notice - 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 1210 https://regulations.justia.com/regulations/fedreg/2020/10/14/2020-22631.html https://regulations.justia.com/regulations/fedreg/2020/10/14/2020-22631.html Wed, 14 Oct 2020 00:00:00 -0700 2020-22631 Notice https://www.govinfo.gov/content/pkg/FR-2020-10-14/pdf/2020-22631.pdf Notice - Self-Regulatory Organizations; Cboe Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating To Amend Its Fees Schedule With Respect to Its Strategy Fee Cap https://regulations.justia.com/regulations/fedreg/2020/10/14/2020-22629.html https://regulations.justia.com/regulations/fedreg/2020/10/14/2020-22629.html Wed, 14 Oct 2020 00:00:00 -0700 2020-22629 Notice https://www.govinfo.gov/content/pkg/FR-2020-10-14/pdf/2020-22629.pdf Notice - 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 Time https://regulations.justia.com/regulations/fedreg/2020/10/13/2020-22640.html https://regulations.justia.com/regulations/fedreg/2020/10/13/2020-22640.html Tue, 13 Oct 2020 00:00:00 -0700 2020-22640 Notice https://www.govinfo.gov/content/pkg/FR-2020-10-13/pdf/2020-22640.pdf Notice - 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) https://regulations.justia.com/regulations/fedreg/2020/10/13/2020-22639.html https://regulations.justia.com/regulations/fedreg/2020/10/13/2020-22639.html Tue, 13 Oct 2020 00:00:00 -0700 2020-22639 Notice https://www.govinfo.gov/content/pkg/FR-2020-10-13/pdf/2020-22639.pdf Notice - 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 2.1210 https://regulations.justia.com/regulations/fedreg/2020/10/13/2020-22634.html https://regulations.justia.com/regulations/fedreg/2020/10/13/2020-22634.html Tue, 13 Oct 2020 00:00:00 -0700 2020-22634 Notice https://www.govinfo.gov/content/pkg/FR-2020-10-13/pdf/2020-22634.pdf Notice - 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 13 https://regulations.justia.com/regulations/fedreg/2020/10/13/2020-22633.html https://regulations.justia.com/regulations/fedreg/2020/10/13/2020-22633.html Tue, 13 Oct 2020 00:00:00 -0700 2020-22633 Notice https://www.govinfo.gov/content/pkg/FR-2020-10-13/pdf/2020-22633.pdf Notice - 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 Shares https://regulations.justia.com/regulations/fedreg/2020/10/13/2020-22630.html https://regulations.justia.com/regulations/fedreg/2020/10/13/2020-22630.html Tue, 13 Oct 2020 00:00:00 -0700 2020-22630 Notice https://www.govinfo.gov/content/pkg/FR-2020-10-13/pdf/2020-22630.pdf Notice - Sunshine Act Meetings https://regulations.justia.com/regulations/fedreg/2020/10/13/2020-22617.html https://regulations.justia.com/regulations/fedreg/2020/10/13/2020-22617.html Tue, 13 Oct 2020 00:00:00 -0700 2020-22617 Notice https://www.govinfo.gov/content/pkg/FR-2020-10-13/pdf/2020-22617.pdf Notice - 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 Finders https://regulations.justia.com/regulations/fedreg/2020/10/13/2020-22565.html https://regulations.justia.com/regulations/fedreg/2020/10/13/2020-22565.html Tue, 13 Oct 2020 00:00:00 -0700 2020-22565 Notice https://www.govinfo.gov/content/pkg/FR-2020-10-13/pdf/2020-22565.pdf Notice - Self-Regulatory Organizations; MIAX PEARL, LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Adopt the MIAX PEARL Equities Fee Schedule https://regulations.justia.com/regulations/fedreg/2020/10/13/2020-22477.html https://regulations.justia.com/regulations/fedreg/2020/10/13/2020-22477.html Tue, 13 Oct 2020 00:00:00 -0700 2020-22477 Notice https://www.govinfo.gov/content/pkg/FR-2020-10-13/pdf/2020-22477.pdf Notice - 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 Program https://regulations.justia.com/regulations/fedreg/2020/10/13/2020-22476.html https://regulations.justia.com/regulations/fedreg/2020/10/13/2020-22476.html Tue, 13 Oct 2020 00:00:00 -0700 2020-22476 Notice https://www.govinfo.gov/content/pkg/FR-2020-10-13/pdf/2020-22476.pdf Notice - 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 Chicago https://regulations.justia.com/regulations/fedreg/2020/10/13/2020-22475.html https://regulations.justia.com/regulations/fedreg/2020/10/13/2020-22475.html Tue, 13 Oct 2020 00:00:00 -0700 2020-22475 Notice https://www.govinfo.gov/content/pkg/FR-2020-10-13/pdf/2020-22475.pdf Notice - 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) https://regulations.justia.com/regulations/fedreg/2020/10/13/2020-22474.html https://regulations.justia.com/regulations/fedreg/2020/10/13/2020-22474.html Tue, 13 Oct 2020 00:00:00 -0700 2020-22474 Notice https://www.govinfo.gov/content/pkg/FR-2020-10-13/pdf/2020-22474.pdf Notice - Joint Industry Plan; Notice of Filing of a National Market System Plan Regarding Consolidated Equity Market Data. https://regulations.justia.com/regulations/fedreg/2020/10/13/2020-22467.html https://regulations.justia.com/regulations/fedreg/2020/10/13/2020-22467.html Tue, 13 Oct 2020 00:00:00 -0700 2020-22467 Notice https://www.govinfo.gov/content/pkg/FR-2020-10-13/pdf/2020-22467.pdf Notice - Sunshine Act Meeting; Cancellation https://regulations.justia.com/regulations/fedreg/2020/10/09/2020-22552.html https://regulations.justia.com/regulations/fedreg/2020/10/09/2020-22552.html Fri, 09 Oct 2020 00:00:00 -0700 2020-22552 Notice https://www.govinfo.gov/content/pkg/FR-2020-10-09/pdf/2020-22552.pdf Notice - D.B. Fitzpatrick & Co., Inc. https://regulations.justia.com/regulations/fedreg/2020/10/09/2020-22455.html https://regulations.justia.com/regulations/fedreg/2020/10/09/2020-22455.html Fri, 09 Oct 2020 00:00:00 -0700 2020-22455 Notice https://www.govinfo.gov/content/pkg/FR-2020-10-09/pdf/2020-22455.pdf Notice - 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 & Procedures https://regulations.justia.com/regulations/fedreg/2020/10/09/2020-22379.html https://regulations.justia.com/regulations/fedreg/2020/10/09/2020-22379.html Fri, 09 Oct 2020 00:00:00 -0700 2020-22379 Notice https://www.govinfo.gov/content/pkg/FR-2020-10-09/pdf/2020-22379.pdf Notice - 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”) https://regulations.justia.com/regulations/fedreg/2020/10/09/2020-22378.html https://regulations.justia.com/regulations/fedreg/2020/10/09/2020-22378.html Fri, 09 Oct 2020 00:00:00 -0700 2020-22378 Notice https://www.govinfo.gov/content/pkg/FR-2020-10-09/pdf/2020-22378.pdf Notice - 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 Manual https://regulations.justia.com/regulations/fedreg/2020/10/09/2020-22377.html https://regulations.justia.com/regulations/fedreg/2020/10/09/2020-22377.html Fri, 09 Oct 2020 00:00:00 -0700 2020-22377 Notice https://www.govinfo.gov/content/pkg/FR-2020-10-09/pdf/2020-22377.pdf Notice - 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. https://regulations.justia.com/regulations/fedreg/2020/10/09/2020-22376.html https://regulations.justia.com/regulations/fedreg/2020/10/09/2020-22376.html Fri, 09 Oct 2020 00:00:00 -0700 2020-22376 Notice https://www.govinfo.gov/content/pkg/FR-2020-10-09/pdf/2020-22376.pdf Notice - Development Bank of Japan Inc. https://regulations.justia.com/regulations/fedreg/2020/10/09/2020-22373.html https://regulations.justia.com/regulations/fedreg/2020/10/09/2020-22373.html Fri, 09 Oct 2020 00:00:00 -0700 2020-22373 Notice https://www.govinfo.gov/content/pkg/FR-2020-10-09/pdf/2020-22373.pdf Rule - Accredited Investor Definition https://regulations.justia.com/regulations/fedreg/2020/10/09/2020-19189.html https://regulations.justia.com/regulations/fedreg/2020/10/09/2020-19189.html Fri, 09 Oct 2020 00:00:00 -0700 2020-19189 Rule https://www.govinfo.gov/content/pkg/FR-2020-10-09/pdf/2020-19189.pdf Rule - Order Designating Certain Professional Licenses as Qualifying Natural Persons for Accredited Investor Status https://regulations.justia.com/regulations/fedreg/2020/10/09/2020-19188.html https://regulations.justia.com/regulations/fedreg/2020/10/09/2020-19188.html Fri, 09 Oct 2020 00:00:00 -0700 2020-19188 Rule https://www.govinfo.gov/content/pkg/FR-2020-10-09/pdf/2020-19188.pdf Notice - 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 Orders https://regulations.justia.com/regulations/fedreg/2020/10/08/R1-2020-21403.html https://regulations.justia.com/regulations/fedreg/2020/10/08/R1-2020-21403.html Thu, 08 Oct 2020 00:00:00 -0700 R1-2020-21403 Notice https://www.govinfo.gov/content/pkg/FR-2020-10-08/pdf/R1-2020-21403.pdf Notice - 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 Basis https://regulations.justia.com/regulations/fedreg/2020/10/08/2020-22342.html https://regulations.justia.com/regulations/fedreg/2020/10/08/2020-22342.html Thu, 08 Oct 2020 00:00:00 -0700 2020-22342 Notice https://www.govinfo.gov/content/pkg/FR-2020-10-08/pdf/2020-22342.pdf Notice - 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 Plan https://regulations.justia.com/regulations/fedreg/2020/10/08/2020-22341.html https://regulations.justia.com/regulations/fedreg/2020/10/08/2020-22341.html Thu, 08 Oct 2020 00:00:00 -0700 2020-22341 Notice https://www.govinfo.gov/content/pkg/FR-2020-10-08/pdf/2020-22341.pdf Notice - 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. https://regulations.justia.com/regulations/fedreg/2020/10/08/2020-22258.html https://regulations.justia.com/regulations/fedreg/2020/10/08/2020-22258.html Thu, 08 Oct 2020 00:00:00 -0700 2020-22258 Notice https://www.govinfo.gov/content/pkg/FR-2020-10-08/pdf/2020-22258.pdf Notice - 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. https://regulations.justia.com/regulations/fedreg/2020/10/08/2020-22257.html https://regulations.justia.com/regulations/fedreg/2020/10/08/2020-22257.html Thu, 08 Oct 2020 00:00:00 -0700 2020-22257 Notice https://www.govinfo.gov/content/pkg/FR-2020-10-08/pdf/2020-22257.pdf Notice - 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 Charge https://regulations.justia.com/regulations/fedreg/2020/10/08/2020-22256.html https://regulations.justia.com/regulations/fedreg/2020/10/08/2020-22256.html Thu, 08 Oct 2020 00:00:00 -0700 2020-22256 Notice https://www.govinfo.gov/content/pkg/FR-2020-10-08/pdf/2020-22256.pdf Notice - 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 Charges https://regulations.justia.com/regulations/fedreg/2020/10/08/2020-22255.html https://regulations.justia.com/regulations/fedreg/2020/10/08/2020-22255.html Thu, 08 Oct 2020 00:00:00 -0700 2020-22255 Notice https://www.govinfo.gov/content/pkg/FR-2020-10-08/pdf/2020-22255.pdf Notice - 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. https://regulations.justia.com/regulations/fedreg/2020/10/08/2020-22254.html https://regulations.justia.com/regulations/fedreg/2020/10/08/2020-22254.html Thu, 08 Oct 2020 00:00:00 -0700 2020-22254 Notice https://www.govinfo.gov/content/pkg/FR-2020-10-08/pdf/2020-22254.pdf Notice - 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. https://regulations.justia.com/regulations/fedreg/2020/10/08/2020-22253.html https://regulations.justia.com/regulations/fedreg/2020/10/08/2020-22253.html Thu, 08 Oct 2020 00:00:00 -0700 2020-22253 Notice https://www.govinfo.gov/content/pkg/FR-2020-10-08/pdf/2020-22253.pdf Notice - 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. https://regulations.justia.com/regulations/fedreg/2020/10/08/2020-22252.html https://regulations.justia.com/regulations/fedreg/2020/10/08/2020-22252.html Thu, 08 Oct 2020 00:00:00 -0700 2020-22252 Notice https://www.govinfo.gov/content/pkg/FR-2020-10-08/pdf/2020-22252.pdf Notice - 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. https://regulations.justia.com/regulations/fedreg/2020/10/08/2020-22251.html https://regulations.justia.com/regulations/fedreg/2020/10/08/2020-22251.html Thu, 08 Oct 2020 00:00:00 -0700 2020-22251 Notice https://www.govinfo.gov/content/pkg/FR-2020-10-08/pdf/2020-22251.pdf Notice - 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. https://regulations.justia.com/regulations/fedreg/2020/10/08/2020-22250.html https://regulations.justia.com/regulations/fedreg/2020/10/08/2020-22250.html Thu, 08 Oct 2020 00:00:00 -0700 2020-22250 Notice https://www.govinfo.gov/content/pkg/FR-2020-10-08/pdf/2020-22250.pdf Notice - 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 LLC https://regulations.justia.com/regulations/fedreg/2020/10/08/2020-22249.html https://regulations.justia.com/regulations/fedreg/2020/10/08/2020-22249.html Thu, 08 Oct 2020 00:00:00 -0700 2020-22249 Notice https://www.govinfo.gov/content/pkg/FR-2020-10-08/pdf/2020-22249.pdf Notice - 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-E https://regulations.justia.com/regulations/fedreg/2020/10/08/2020-22248.html https://regulations.justia.com/regulations/fedreg/2020/10/08/2020-22248.html Thu, 08 Oct 2020 00:00:00 -0700 2020-22248 Notice https://www.govinfo.gov/content/pkg/FR-2020-10-08/pdf/2020-22248.pdf Notice - 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 Companies https://regulations.justia.com/regulations/fedreg/2020/10/08/2020-22247.html https://regulations.justia.com/regulations/fedreg/2020/10/08/2020-22247.html Thu, 08 Oct 2020 00:00:00 -0700 2020-22247 Notice https://www.govinfo.gov/content/pkg/FR-2020-10-08/pdf/2020-22247.pdf Rule - Modernization of Regulation S-K Items 101, 103, and 105 https://regulations.justia.com/regulations/fedreg/2020/10/08/2020-19182.html https://regulations.justia.com/regulations/fedreg/2020/10/08/2020-19182.html Thu, 08 Oct 2020 00:00:00 -0700 2020-19182 Rule https://www.govinfo.gov/content/pkg/FR-2020-10-08/pdf/2020-19182.pdf Notice - Sunshine Act Meetings https://regulations.justia.com/regulations/fedreg/2020/10/07/2020-22294.html https://regulations.justia.com/regulations/fedreg/2020/10/07/2020-22294.html Wed, 07 Oct 2020 00:00:00 -0700 2020-22294 Notice https://www.govinfo.gov/content/pkg/FR-2020-10-07/pdf/2020-22294.pdf Notice - Invesco Capital Management LLC, et al. https://regulations.justia.com/regulations/fedreg/2020/10/07/2020-22183.html https://regulations.justia.com/regulations/fedreg/2020/10/07/2020-22183.html Wed, 07 Oct 2020 00:00:00 -0700 2020-22183 Notice https://www.govinfo.gov/content/pkg/FR-2020-10-07/pdf/2020-22183.pdf Notice - 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 Thereto https://regulations.justia.com/regulations/fedreg/2020/10/07/2020-22121.html https://regulations.justia.com/regulations/fedreg/2020/10/07/2020-22121.html Wed, 07 Oct 2020 00:00:00 -0700 2020-22121 Notice https://www.govinfo.gov/content/pkg/FR-2020-10-07/pdf/2020-22121.pdf Notice - 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 Participant https://regulations.justia.com/regulations/fedreg/2020/10/07/2020-22118.html https://regulations.justia.com/regulations/fedreg/2020/10/07/2020-22118.html Wed, 07 Oct 2020 00:00:00 -0700 2020-22118 Notice https://www.govinfo.gov/content/pkg/FR-2020-10-07/pdf/2020-22118.pdf Notice - 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 Participant https://regulations.justia.com/regulations/fedreg/2020/10/07/2020-22117.html https://regulations.justia.com/regulations/fedreg/2020/10/07/2020-22117.html Wed, 07 Oct 2020 00:00:00 -0700 2020-22117 Notice https://www.govinfo.gov/content/pkg/FR-2020-10-07/pdf/2020-22117.pdf Notice - Horizon Funds and Horizon Investments, LLC https://regulations.justia.com/regulations/fedreg/2020/10/07/2020-22111.html https://regulations.justia.com/regulations/fedreg/2020/10/07/2020-22111.html Wed, 07 Oct 2020 00:00:00 -0700 2020-22111 Notice https://www.govinfo.gov/content/pkg/FR-2020-10-07/pdf/2020-22111.pdf Notice - 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-6 https://regulations.justia.com/regulations/fedreg/2020/10/07/2020-22098.html https://regulations.justia.com/regulations/fedreg/2020/10/07/2020-22098.html Wed, 07 Oct 2020 00:00:00 -0700 2020-22098 Notice https://www.govinfo.gov/content/pkg/FR-2020-10-07/pdf/2020-22098.pdf Notice - 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 Service https://regulations.justia.com/regulations/fedreg/2020/10/07/2020-22097.html https://regulations.justia.com/regulations/fedreg/2020/10/07/2020-22097.html Wed, 07 Oct 2020 00:00:00 -0700 2020-22097 Notice https://www.govinfo.gov/content/pkg/FR-2020-10-07/pdf/2020-22097.pdf Notice - 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 Exchange https://regulations.justia.com/regulations/fedreg/2020/10/07/2020-22096.html https://regulations.justia.com/regulations/fedreg/2020/10/07/2020-22096.html Wed, 07 Oct 2020 00:00:00 -0700 2020-22096 Notice https://www.govinfo.gov/content/pkg/FR-2020-10-07/pdf/2020-22096.pdf Notice - 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 Trading https://regulations.justia.com/regulations/fedreg/2020/10/07/2020-22095.html https://regulations.justia.com/regulations/fedreg/2020/10/07/2020-22095.html Wed, 07 Oct 2020 00:00:00 -0700 2020-22095 Notice https://www.govinfo.gov/content/pkg/FR-2020-10-07/pdf/2020-22095.pdf Notice - Notice of Intention To Cancel Registration Pursuant to Section 203(H) of The Investment Advisers Act of 1940 https://regulations.justia.com/regulations/fedreg/2020/10/06/2020-21989.html https://regulations.justia.com/regulations/fedreg/2020/10/06/2020-21989.html Tue, 06 Oct 2020 00:00:00 -0700 2020-21989 Notice https://www.govinfo.gov/content/pkg/FR-2020-10-06/pdf/2020-21989.pdf Notice - Self-Regulatory Organizations; Nasdaq BX, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Decommission TradeInfo https://regulations.justia.com/regulations/fedreg/2020/10/05/C1-2020-20359.html https://regulations.justia.com/regulations/fedreg/2020/10/05/C1-2020-20359.html Mon, 05 Oct 2020 00:00:00 -0700 C1-2020-20359 Notice https://www.govinfo.gov/content/pkg/FR-2020-10-05/pdf/C1-2020-20359.pdf Notice - Sunshine Act Meetings https://regulations.justia.com/regulations/fedreg/2020/10/05/2020-22009.html https://regulations.justia.com/regulations/fedreg/2020/10/05/2020-22009.html Mon, 05 Oct 2020 00:00:00 -0700 2020-22009 Notice https://www.govinfo.gov/content/pkg/FR-2020-10-05/pdf/2020-22009.pdf Notice - Sunshine Act Meetings https://regulations.justia.com/regulations/fedreg/2020/10/02/2020-21956.html https://regulations.justia.com/regulations/fedreg/2020/10/02/2020-21956.html Fri, 02 Oct 2020 00:00:00 -0700 2020-21956 Notice https://www.govinfo.gov/content/pkg/FR-2020-10-02/pdf/2020-21956.pdf Notice - Frost Family of Funds and Frost Investment Advisors, LLC https://regulations.justia.com/regulations/fedreg/2020/10/02/2020-21838.html https://regulations.justia.com/regulations/fedreg/2020/10/02/2020-21838.html Fri, 02 Oct 2020 00:00:00 -0700 2020-21838 Notice https://www.govinfo.gov/content/pkg/FR-2020-10-02/pdf/2020-21838.pdf Notice - 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 Charge https://regulations.justia.com/regulations/fedreg/2020/10/02/2020-21785.html https://regulations.justia.com/regulations/fedreg/2020/10/02/2020-21785.html Fri, 02 Oct 2020 00:00:00 -0700 2020-21785 Notice https://www.govinfo.gov/content/pkg/FR-2020-10-02/pdf/2020-21785.pdf Notice - 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 Charges https://regulations.justia.com/regulations/fedreg/2020/10/02/2020-21784.html https://regulations.justia.com/regulations/fedreg/2020/10/02/2020-21784.html Fri, 02 Oct 2020 00:00:00 -0700 2020-21784 Notice https://www.govinfo.gov/content/pkg/FR-2020-10-02/pdf/2020-21784.pdf Notice - 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 Executions https://regulations.justia.com/regulations/fedreg/2020/10/02/2020-21768.html https://regulations.justia.com/regulations/fedreg/2020/10/02/2020-21768.html Fri, 02 Oct 2020 00:00:00 -0700 2020-21768 Notice https://www.govinfo.gov/content/pkg/FR-2020-10-02/pdf/2020-21768.pdf Notice - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Extend its Waiver of the Application of Certain of the Shareholder Approval Requirements in Section 312.03 of the NYSE Listed Company Manual Through December 31, 2020 Subject to Certain Conditions https://regulations.justia.com/regulations/fedreg/2020/10/02/2020-21767.html https://regulations.justia.com/regulations/fedreg/2020/10/02/2020-21767.html Fri, 02 Oct 2020 00:00:00 -0700 2020-21767 Notice https://www.govinfo.gov/content/pkg/FR-2020-10-02/pdf/2020-21767.pdf Notice - 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. https://regulations.justia.com/regulations/fedreg/2020/10/02/2020-21765.html https://regulations.justia.com/regulations/fedreg/2020/10/02/2020-21765.html Fri, 02 Oct 2020 00:00:00 -0700 2020-21765 Notice https://www.govinfo.gov/content/pkg/FR-2020-10-02/pdf/2020-21765.pdf Notice - 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 Exchange https://regulations.justia.com/regulations/fedreg/2020/10/02/2020-21764.html https://regulations.justia.com/regulations/fedreg/2020/10/02/2020-21764.html Fri, 02 Oct 2020 00:00:00 -0700 2020-21764 Notice https://www.govinfo.gov/content/pkg/FR-2020-10-02/pdf/2020-21764.pdf Notice - Notice of Applications for Deregistration Under Section 8(f) of the Investment Company Act of 1940 https://regulations.justia.com/regulations/fedreg/2020/10/01/2020-21676.html https://regulations.justia.com/regulations/fedreg/2020/10/01/2020-21676.html Thu, 01 Oct 2020 00:00:00 -0700 2020-21676 Notice https://www.govinfo.gov/content/pkg/FR-2020-10-01/pdf/2020-21676.pdf Notice - 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 Responses https://regulations.justia.com/regulations/fedreg/2020/10/01/2020-21662.html https://regulations.justia.com/regulations/fedreg/2020/10/01/2020-21662.html Thu, 01 Oct 2020 00:00:00 -0700 2020-21662 Notice https://www.govinfo.gov/content/pkg/FR-2020-10-01/pdf/2020-21662.pdf Notice - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Extend the Temporary Period for Specified Commentaries to Rules 7.35, 7.35A, 7.35B, and 7.35C and Temporary Rule Relief in Rule 36.30 https://regulations.justia.com/regulations/fedreg/2020/10/01/2020-21661.html https://regulations.justia.com/regulations/fedreg/2020/10/01/2020-21661.html Thu, 01 Oct 2020 00:00:00 -0700 2020-21661 Notice https://www.govinfo.gov/content/pkg/FR-2020-10-01/pdf/2020-21661.pdf Notice - 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 Requests https://regulations.justia.com/regulations/fedreg/2020/10/01/2020-21660.html https://regulations.justia.com/regulations/fedreg/2020/10/01/2020-21660.html Thu, 01 Oct 2020 00:00:00 -0700 2020-21660 Notice https://www.govinfo.gov/content/pkg/FR-2020-10-01/pdf/2020-21660.pdf Notice - 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 Requirements https://regulations.justia.com/regulations/fedreg/2020/10/01/2020-21659.html https://regulations.justia.com/regulations/fedreg/2020/10/01/2020-21659.html Thu, 01 Oct 2020 00:00:00 -0700 2020-21659 Notice https://www.govinfo.gov/content/pkg/FR-2020-10-01/pdf/2020-21659.pdf