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/2020/11?limit=200®isters=between&min-day=1&max-day=30&mode=atom2024-05-05T02:42:59-07:00Justia Inchttps://www.justia.com/Justia Regulations Trackerhttps://regulations.justia.com/images/justiafedregulations.gifCopyright 2011 Justia Inchttps://regulations.justia.com/regulations/fedreg/2020/11/30/2020-26413.htmlNotice - Sunshine Act Meetings2020-11-30T00:00:00-08:002020-11-30T00:00:00-08:002020-26413Noticehttps://www.govinfo.gov/content/pkg/FR-2020-11-30/pdf/2020-26413.pdfhttps://regulations.justia.com/regulations/fedreg/2020/11/30/2020-26285.htmlNotice - Statement on Central Counterparties Authorized Under the European Markets Infrastructure Regulation Seeking To Register as a Clearing Agency or To Request Exemptions From Certain Requirements Under the Securities Exchange Act of 19342020-11-30T00:00:00-08:002020-11-30T00:00:00-08:002020-26285Noticehttps://www.govinfo.gov/content/pkg/FR-2020-11-30/pdf/2020-26285.pdfhttps://regulations.justia.com/regulations/fedreg/2020/11/30/2020-26282.htmlNotice - Self-Regulatory Organizations; The Depository Trust Company; Order Approving a Proposed Rule Change To Establish the ClaimConnectTM2020-11-30T00:00:00-08:002020-11-30T00:00:00-08:002020-26282Noticehttps://www.govinfo.gov/content/pkg/FR-2020-11-30/pdf/2020-26282.pdfhttps://regulations.justia.com/regulations/fedreg/2020/11/30/2020-26281.htmlNotice - Self-Regulatory Organizations; MIAX PEARL, LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Exchange Rule 2618, Risk Settings and Trading Risk Metrics2020-11-30T00:00:00-08:002020-11-30T00:00:00-08:002020-26281Noticehttps://www.govinfo.gov/content/pkg/FR-2020-11-30/pdf/2020-26281.pdfhttps://regulations.justia.com/regulations/fedreg/2020/11/30/2020-26280.htmlNotice - Self-Regulatory Organizations; The Depository Trust Company; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the Reorganizations Service Guide and the Guide to the Fee Schedule2020-11-30T00:00:00-08:002020-11-30T00:00:00-08:002020-26280Noticehttps://www.govinfo.gov/content/pkg/FR-2020-11-30/pdf/2020-26280.pdfhttps://regulations.justia.com/regulations/fedreg/2020/11/30/2020-26279.htmlNotice - Self-Regulatory Organizations; Cboe Exchange, Inc.; Notice of Filing of a Proposed Rule Change Amending Rule 5.52(d) in Connection With a Market-Maker's Electronic Volume Transacted on the Exchange2020-11-30T00:00:00-08:002020-11-30T00:00:00-08:002020-26279Noticehttps://www.govinfo.gov/content/pkg/FR-2020-11-30/pdf/2020-26279.pdfhttps://regulations.justia.com/regulations/fedreg/2020/11/27/2020-26316.htmlNotice - Sunshine Act Meetings2020-11-27T00:00:00-08:002020-11-27T00:00:00-08:002020-26316Noticehttps://www.govinfo.gov/content/pkg/FR-2020-11-27/pdf/2020-26316.pdfhttps://regulations.justia.com/regulations/fedreg/2020/11/27/2020-26227.htmlNotice - Main Street Capital Corporation, et al.2020-11-27T00:00:00-08:002020-11-27T00:00:00-08:002020-26227Noticehttps://www.govinfo.gov/content/pkg/FR-2020-11-27/pdf/2020-26227.pdfhttps://regulations.justia.com/regulations/fedreg/2020/11/27/2020-26145.htmlNotice - Public Company Accounting Oversight Board; Notice of Filing of Proposed Rules on Amendments to PCAOB Interim Independence Standards and PCAOB Rules To Align With Amendments to Rule 2-01 of Regulation S-X2020-11-27T00:00:00-08:002020-11-27T00:00:00-08:002020-26145Noticehttps://www.govinfo.gov/content/pkg/FR-2020-11-27/pdf/2020-26145.pdfhttps://regulations.justia.com/regulations/fedreg/2020/11/27/2020-26143.htmlNotice - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing of Proposed Rule Change To Amend Section 907.00 of the Manual To Extend the Period of Time for the Entitlement of Certain Eligible Issuers To Receive Complimentary Products and Services Under That Rule2020-11-27T00:00:00-08:002020-11-27T00:00:00-08:002020-26143Noticehttps://www.govinfo.gov/content/pkg/FR-2020-11-27/pdf/2020-26143.pdfhttps://regulations.justia.com/regulations/fedreg/2020/11/25/2020-26196.htmlNotice - Sunshine Act Meetings2020-11-25T00:00:00-08:002020-11-25T00:00:00-08:002020-26196Noticehttps://www.govinfo.gov/content/pkg/FR-2020-11-25/pdf/2020-26196.pdfhttps://regulations.justia.com/regulations/fedreg/2020/11/25/2020-26113.htmlNotice - Notice of Intention To Cancel Registration Pursuant to Section 203(H) of the Investment Advisers Act of 19402020-11-25T00:00:00-08:002020-11-25T00:00:00-08:002020-26113Noticehttps://www.govinfo.gov/content/pkg/FR-2020-11-25/pdf/2020-26113.pdfhttps://regulations.justia.com/regulations/fedreg/2020/11/25/2020-26012.htmlNotice - Self-Regulatory Organizations; The Options Clearing Corporation; Order Approving Proposed Rule Change To Adopt a New Second Amended and Restated Cross-Margining Agreement Between The Options Clearing Corporation and The Chicago Mercantile Exchange2020-11-25T00:00:00-08:002020-11-25T00:00:00-08:002020-26012Noticehttps://www.govinfo.gov/content/pkg/FR-2020-11-25/pdf/2020-26012.pdfhttps://regulations.justia.com/regulations/fedreg/2020/11/25/2020-26011.htmlNotice - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Shorten the Time Period Before a Letter of Acceptance, Waiver, and Consent Under Rule 9216 and an Uncontested Offer of Settlement Under Rule 9270(f)2020-11-25T00:00:00-08:002020-11-25T00:00:00-08:002020-26011Noticehttps://www.govinfo.gov/content/pkg/FR-2020-11-25/pdf/2020-26011.pdfhttps://regulations.justia.com/regulations/fedreg/2020/11/24/C1-2020-25391.htmlNotice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending the Fees for NYSE Arca BBO and NYSE Arca Trades by Modifying the Application of the Access Fee and Amending the Fees for NYSE Arca Trades by Adopting a Waiver Applicable to the Redistribution Fee2020-11-24T00:00:00-08:002020-11-24T00:00:00-08:00C1-2020-25391Noticehttps://www.govinfo.gov/content/pkg/FR-2020-11-24/pdf/C1-2020-25391.pdfhttps://regulations.justia.com/regulations/fedreg/2020/11/24/2020-25909.htmlNotice - Self-Regulatory Organizations; Cboe Exchange, Inc.; Notice of Filing of Amendment No. 1 and Order Instituting Proceedings to Determine Whether to Approve or Disapprove a Proposed Rule Change, as Modified by Amendment No. 1, to Make Qualified Contingent Cross Orders Available for FLEX Option Trading2020-11-24T00:00:00-08:002020-11-24T00:00:00-08:002020-25909Noticehttps://www.govinfo.gov/content/pkg/FR-2020-11-24/pdf/2020-25909.pdfhttps://regulations.justia.com/regulations/fedreg/2020/11/24/2020-25902.htmlNotice - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Adopt Temporary Supplementary Material .17 (Temporary Relief To Allow Remote Inspections for Calendar Year 2020 and Calendar Year 2021) Under FINRA Rule 3110 (Supervision)2020-11-24T00:00:00-08:002020-11-24T00:00:00-08:002020-25902Noticehttps://www.govinfo.gov/content/pkg/FR-2020-11-24/pdf/2020-25902.pdfhttps://regulations.justia.com/regulations/fedreg/2020/11/24/2020-25901.htmlNotice - Self-Regulatory Organizations; MIAX PEARL, LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the MIAX PEARL Fee Schedule2020-11-24T00:00:00-08:002020-11-24T00:00:00-08:002020-25901Noticehttps://www.govinfo.gov/content/pkg/FR-2020-11-24/pdf/2020-25901.pdfhttps://regulations.justia.com/regulations/fedreg/2020/11/24/2020-25900.htmlNotice - Oaktree Strategic Income II, Inc., et al.2020-11-24T00:00:00-08:002020-11-24T00:00:00-08:002020-25900Noticehttps://www.govinfo.gov/content/pkg/FR-2020-11-24/pdf/2020-25900.pdfhttps://regulations.justia.com/regulations/fedreg/2020/11/24/2020-25899.htmlNotice - Self-Regulatory Organizations; Nasdaq ISE, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Make Technical and Conforming Amendments to Options 4, Sections 3 and 52020-11-24T00:00:00-08:002020-11-24T00:00:00-08:002020-25899Noticehttps://www.govinfo.gov/content/pkg/FR-2020-11-24/pdf/2020-25899.pdfhttps://regulations.justia.com/regulations/fedreg/2020/11/24/2020-25898.htmlNotice - Self-Regulatory Organizations; Nasdaq MRX, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the Pricing Schedule2020-11-24T00:00:00-08:002020-11-24T00:00:00-08:002020-25898Noticehttps://www.govinfo.gov/content/pkg/FR-2020-11-24/pdf/2020-25898.pdfhttps://regulations.justia.com/regulations/fedreg/2020/11/24/2020-25897.htmlNotice - Proposed Collection; Comment Request; Extension: Rule 30b2-12020-11-24T00:00:00-08:002020-11-24T00:00:00-08:002020-25897Noticehttps://www.govinfo.gov/content/pkg/FR-2020-11-24/pdf/2020-25897.pdfhttps://regulations.justia.com/regulations/fedreg/2020/11/24/2020-25896.htmlNotice - Proposed Collection; Comment Request2020-11-24T00:00:00-08:002020-11-24T00:00:00-08:002020-25896Noticehttps://www.govinfo.gov/content/pkg/FR-2020-11-24/pdf/2020-25896.pdfhttps://regulations.justia.com/regulations/fedreg/2020/11/24/2020-25895.htmlNotice - Proposed Collection; Comment Request2020-11-24T00:00:00-08:002020-11-24T00:00:00-08:002020-25895Noticehttps://www.govinfo.gov/content/pkg/FR-2020-11-24/pdf/2020-25895.pdfhttps://regulations.justia.com/regulations/fedreg/2020/11/24/2020-25894.htmlNotice - Proposed Collection; Comment Request2020-11-24T00:00:00-08:002020-11-24T00:00:00-08:002020-25894Noticehttps://www.govinfo.gov/content/pkg/FR-2020-11-24/pdf/2020-25894.pdfhttps://regulations.justia.com/regulations/fedreg/2020/11/24/2020-24353.htmlRule - Customer Margin Rules Relating to Security Futures2020-11-24T00:00:00-08:002020-11-24T00:00:00-08:002020-24353Rulehttps://www.govinfo.gov/content/pkg/FR-2020-11-24/pdf/2020-24353.pdfhttps://regulations.justia.com/regulations/fedreg/2020/11/23/2020-25733.htmlNotice - Self-Regulatory Organizations; Cboe BZX Exchange, Inc.; Notice of Designation of a Longer Period for Commission Action on Proceedings To Determine Whether To Approve or Disapprove a Proposed Rule Change To Accommodate Exchange Listing and Trading of Options-Linked Securities2020-11-23T00:00:00-08:002020-11-23T00:00:00-08:002020-25733Noticehttps://www.govinfo.gov/content/pkg/FR-2020-11-23/pdf/2020-25733.pdfhttps://regulations.justia.com/regulations/fedreg/2020/11/23/2020-25732.htmlNotice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing of Proposed Rule Change Regarding the Availability of Information for the iShares Gold Trust, the iShares Silver Trust Under NYSE Arca Rule 8.201-E and the iShares S&P GSCI Commodity-Indexed Trust Under Rule 8.203-E2020-11-23T00:00:00-08:002020-11-23T00:00:00-08:002020-25732Noticehttps://www.govinfo.gov/content/pkg/FR-2020-11-23/pdf/2020-25732.pdfhttps://regulations.justia.com/regulations/fedreg/2020/11/23/2020-25731.htmlNotice - Self-Regulatory Organizations; Cboe Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Its Interpretations and Policies to Rule 5.33 in Connection With Market-Makers' Complex Orders, Quoting Obligations and Volume2020-11-23T00:00:00-08:002020-11-23T00:00:00-08:002020-25731Noticehttps://www.govinfo.gov/content/pkg/FR-2020-11-23/pdf/2020-25731.pdfhttps://regulations.justia.com/regulations/fedreg/2020/11/23/2020-25730.htmlNotice - Self-Regulatory Organizations; Cboe C2 Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Its Interpretations and Policies to Rule 6.13 in Connection With Market-Makers' Complex Orders, Quoting Obligations and Volume2020-11-23T00:00:00-08:002020-11-23T00:00:00-08:002020-25730Noticehttps://www.govinfo.gov/content/pkg/FR-2020-11-23/pdf/2020-25730.pdfhttps://regulations.justia.com/regulations/fedreg/2020/11/23/2020-25729.htmlNotice - Self-Regulatory Organizations; Cboe EDGX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Its Interpretations and Policies to Rule 21.20 in Connection With Market Makers' Complex Orders, Quoting Obligations and Volume2020-11-23T00:00:00-08:002020-11-23T00:00:00-08:002020-25729Noticehttps://www.govinfo.gov/content/pkg/FR-2020-11-23/pdf/2020-25729.pdfhttps://regulations.justia.com/regulations/fedreg/2020/11/20/2020-25617.htmlNotice - Self-Regulatory Organizations; Nasdaq MRX, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To the Exchange's Pricing Schedule at Options 7 To Amend Taker Fees for Regular Orders2020-11-20T00:00:00-08:002020-11-20T00:00:00-08:002020-25617Noticehttps://www.govinfo.gov/content/pkg/FR-2020-11-20/pdf/2020-25617.pdfhttps://regulations.justia.com/regulations/fedreg/2020/11/20/2020-25616.htmlNotice - Self-Regulatory Organizations; NYSE American LLC; Notice of Filing and Immediate Effectiveness of Proposed Change Amending the NYSE American Options Fee Schedule Regarding an Incentive Program for Floor Brokers2020-11-20T00:00:00-08:002020-11-20T00:00:00-08:002020-25616Noticehttps://www.govinfo.gov/content/pkg/FR-2020-11-20/pdf/2020-25616.pdfhttps://regulations.justia.com/regulations/fedreg/2020/11/20/2020-25615.htmlNotice - Self-Regulatory Organizations; Cboe EDGX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the Fee Schedule2020-11-20T00:00:00-08:002020-11-20T00:00:00-08:002020-25615Noticehttps://www.govinfo.gov/content/pkg/FR-2020-11-20/pdf/2020-25615.pdfhttps://regulations.justia.com/regulations/fedreg/2020/11/19/2020-25508.htmlNotice - Order Setting Aside the Order by Delegated Authority Approving SR-IEX-2018-06; In the Matter of Investors Exchange LLC, 3 World Trade Center 58th Floor, New York, NY 10007, File No. SR-IEX-2018-062020-11-19T00:00:00-08:002020-11-19T00:00:00-08:002020-25508Noticehttps://www.govinfo.gov/content/pkg/FR-2020-11-19/pdf/2020-25508.pdfhttps://regulations.justia.com/regulations/fedreg/2020/11/19/2020-25507.htmlNotice - Securities Exchange Act of 1934; In the Matter of: Cboe BZX Exchange, Inc., 400 South LaSalle Street, Chicago, IL 60605, File No. SR-CboeBZX-2018-044; Order Setting Aside the Order by Delegated Authority Disapproving SR-CboeBZX-2018-0442020-11-19T00:00:00-08:002020-11-19T00:00:00-08:002020-25507Noticehttps://www.govinfo.gov/content/pkg/FR-2020-11-19/pdf/2020-25507.pdfhttps://regulations.justia.com/regulations/fedreg/2020/11/19/2020-25506.htmlNotice - Order Setting Aside the Order by Delegated Authority Disapproving SR-NYSEArca-2018-02; In the Matter of NYSE Arca, Inc., 11 Wall St., New York, NY 10005; File No. SR-NYSEArca-2018-022020-11-19T00:00:00-08:002020-11-19T00:00:00-08:002020-25506Noticehttps://www.govinfo.gov/content/pkg/FR-2020-11-19/pdf/2020-25506.pdfhttps://regulations.justia.com/regulations/fedreg/2020/11/19/2020-25505.htmlNotice - Securities Exchange Act of 19342020-11-19T00:00:00-08:002020-11-19T00:00:00-08:002020-25505Noticehttps://www.govinfo.gov/content/pkg/FR-2020-11-19/pdf/2020-25505.pdfhttps://regulations.justia.com/regulations/fedreg/2020/11/19/2020-25504.htmlNotice - Securities Exchange Act of 1934; In the Matter of: NYSE Area, Inc., 11 Wall St., New York, NY 10005, File No. SR-NYSEArca-2019-01; Order Setting Aside the Order by Delegated Authority Disapproving SR-NYSEArca-2019-012020-11-19T00:00:00-08:002020-11-19T00:00:00-08:002020-25504Noticehttps://www.govinfo.gov/content/pkg/FR-2020-11-19/pdf/2020-25504.pdfhttps://regulations.justia.com/regulations/fedreg/2020/11/19/2020-25502.htmlNotice - Self-Regulatory Organizations; The Depository Trust Company; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the Reorganizations Service Guide2020-11-19T00:00:00-08:002020-11-19T00:00:00-08:002020-25502Noticehttps://www.govinfo.gov/content/pkg/FR-2020-11-19/pdf/2020-25502.pdfhttps://regulations.justia.com/regulations/fedreg/2020/11/19/2020-25501.htmlNotice - Self-Regulatory Organizations; The Nasdaq Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the Exchange's Transaction Credits at Equity 7, Section 1182020-11-19T00:00:00-08:002020-11-19T00:00:00-08:002020-25501Noticehttps://www.govinfo.gov/content/pkg/FR-2020-11-19/pdf/2020-25501.pdfhttps://regulations.justia.com/regulations/fedreg/2020/11/19/2020-25500.htmlNotice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Modifying the NYSE Arca Options Fee Schedule Regarding the Criteria To Qualify for a Posting Credit on Certain Customer Volume2020-11-19T00:00:00-08:002020-11-19T00:00:00-08:002020-25500Noticehttps://www.govinfo.gov/content/pkg/FR-2020-11-19/pdf/2020-25500.pdfhttps://regulations.justia.com/regulations/fedreg/2020/11/19/2020-25499.htmlNotice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Designation of a Longer Period for Commission Action on a Proposed Rule Change, as Modified by Amendment No. 1, To Amend NYSE Arca Rule 8.900-E To Adopt Generic Listing Standards for Managed Portfolio Shares2020-11-19T00:00:00-08:002020-11-19T00:00:00-08:002020-25499Noticehttps://www.govinfo.gov/content/pkg/FR-2020-11-19/pdf/2020-25499.pdfhttps://regulations.justia.com/regulations/fedreg/2020/11/19/2020-25497.htmlNotice - Self-Regulatory Organizations; Cboe EDGX Exchange, Inc.; Notice of Filing of a Proposed Rule Change To Automate the Exchange's Process for Initiating the Re-Opening of a Security Listed on the New York Stock Exchange LLC Following the Resumption of Trading After a Halt, Suspension, or Pause During the Early Trading Session, Pre-Opening Session, or Post-Closing Session2020-11-19T00:00:00-08:002020-11-19T00:00:00-08:002020-25497Noticehttps://www.govinfo.gov/content/pkg/FR-2020-11-19/pdf/2020-25497.pdfhttps://regulations.justia.com/regulations/fedreg/2020/11/19/2020-25496.htmlNotice - Self-Regulatory Organizations; Cboe BZX Exchange, Inc.; Notice of Filing of a Proposed Rule Change To Automate the Exchange's Process for Initiating the Re-Opening of a Security Listed on the New York Stock Exchange LLC Following the Resumption of Trading After a Halt, Suspension, or Pause During the Early Trading Session, Pre-Opening Session, or After Hours Trading Session2020-11-19T00:00:00-08:002020-11-19T00:00:00-08:002020-25496Noticehttps://www.govinfo.gov/content/pkg/FR-2020-11-19/pdf/2020-25496.pdfhttps://regulations.justia.com/regulations/fedreg/2020/11/19/2020-25495.htmlNotice - Self-Regulatory Organizations; Cboe BYX Exchange, Inc.; Notice of Filing of a Proposed Rule Change To Automate the Exchange's Process for Initiating the Re-Opening of a Security Listed on the New York Stock Exchange LLC Following the Resumption of Trading After a Halt, Suspension, or Pause During the Early Trading Session, Pre-Opening Session, or After Hours Trading Session2020-11-19T00:00:00-08:002020-11-19T00:00:00-08:002020-25495Noticehttps://www.govinfo.gov/content/pkg/FR-2020-11-19/pdf/2020-25495.pdfhttps://regulations.justia.com/regulations/fedreg/2020/11/19/2020-25494.htmlNotice - Self-Regulatory Organizations; Cboe EDGA Exchange, Inc.; Notice of Filing of a Proposed Rule Change To Automate the Exchange's Process for Initiating the Re-Opening of a Security Listed on the New York Stock Exchange LLC Following the Resumption of Trading After a Halt, Suspension, or Pause During the Early Trading Session, Pre-Opening Session, or Post-Closing Session2020-11-19T00:00:00-08:002020-11-19T00:00:00-08:002020-25494Noticehttps://www.govinfo.gov/content/pkg/FR-2020-11-19/pdf/2020-25494.pdfhttps://regulations.justia.com/regulations/fedreg/2020/11/19/2020-25492.htmlNotice - NB Crossroads Private Markets Access Fund LLC and Neuberger Berman Investment Advisers LLC2020-11-19T00:00:00-08:002020-11-19T00:00:00-08:002020-25492Noticehttps://www.govinfo.gov/content/pkg/FR-2020-11-19/pdf/2020-25492.pdfhttps://regulations.justia.com/regulations/fedreg/2020/11/19/2020-25491.htmlNotice - Northern Funds and Northern Trust Investments, Inc.2020-11-19T00:00:00-08:002020-11-19T00:00:00-08:002020-25491Noticehttps://www.govinfo.gov/content/pkg/FR-2020-11-19/pdf/2020-25491.pdfhttps://regulations.justia.com/regulations/fedreg/2020/11/19/2020-23355.htmlRule - Fund of Funds Arrangements2020-11-19T00:00:00-08:002020-11-19T00:00:00-08:002020-23355Rulehttps://www.govinfo.gov/content/pkg/FR-2020-11-19/pdf/2020-23355.pdfhttps://regulations.justia.com/regulations/fedreg/2020/11/18/2020-25441.htmlNotice - Self-Regulatory Organizations; the Options Clearing Corporation; Notice of Filing of Advance Notice Related to Proposed Changes To Update the Options Clearing Corporation's Recovery and Orderly Wind-Down Plan2020-11-18T00:00:00-08:002020-11-18T00:00:00-08:002020-25441Noticehttps://www.govinfo.gov/content/pkg/FR-2020-11-18/pdf/2020-25441.pdfhttps://regulations.justia.com/regulations/fedreg/2020/11/18/2020-25393.htmlNotice - Order Granting a Temporary Conditional Exemption 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 Certain Activities on the Floor of National Securities Exchanges and Certain Activities by Industry Members Off Exchange Floors, as Required by Section 6.4(d) of the National Market System Plan Governing the Consolidated Audit Trail2020-11-18T00:00:00-08:002020-11-18T00:00:00-08:002020-25393Noticehttps://www.govinfo.gov/content/pkg/FR-2020-11-18/pdf/2020-25393.pdfhttps://regulations.justia.com/regulations/fedreg/2020/11/18/2020-25392.htmlNotice - Self-Regulatory Organizations; NYSE American LLC; Notice of Filing and Immediate Effectiveness of Proposed Change To Amend the NYSE American Options Fee Schedule Regarding the Amount of Rebates for Initiating a Complex Customer Best Execution Auction2020-11-18T00:00:00-08:002020-11-18T00:00:00-08:002020-25392Noticehttps://www.govinfo.gov/content/pkg/FR-2020-11-18/pdf/2020-25392.pdfhttps://regulations.justia.com/regulations/fedreg/2020/11/18/2020-25391.htmlNotice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending the Fees for NYSE Arca BBO and NYSE Arca Trades by Modifying the Application of the Access Fee and Amending the Fees for NYSE Arca Trades by Adopting a Waiver Applicable to the Redistribution Fee2020-11-18T00:00:00-08:002020-11-18T00:00:00-08:002020-25391Noticehttps://www.govinfo.gov/content/pkg/FR-2020-11-18/pdf/2020-25391.pdfhttps://regulations.justia.com/regulations/fedreg/2020/11/18/2020-25390.htmlNotice - Self-Regulatory Organizations; NYSE American, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending the Fees for NYSE American BBO and NYSE American Trades by Modifying the Application of the Access Fee and Amending the Fees for NYSE American Trades by Adopting a Waiver Applicable to the Redistribution Fee2020-11-18T00:00:00-08:002020-11-18T00:00:00-08:002020-25390Noticehttps://www.govinfo.gov/content/pkg/FR-2020-11-18/pdf/2020-25390.pdfhttps://regulations.justia.com/regulations/fedreg/2020/11/18/2020-25389.htmlNotice - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending the Fees for NYSE BBO and NYSE Trades by Modifying the Application of the Access Fee and Amending the Fees for NYSE Trades by Adopting a Waiver Applicable to the Redistribution Fee2020-11-18T00:00:00-08:002020-11-18T00:00:00-08:002020-25389Noticehttps://www.govinfo.gov/content/pkg/FR-2020-11-18/pdf/2020-25389.pdfhttps://regulations.justia.com/regulations/fedreg/2020/11/18/2020-25388.htmlNotice - Self-Regulatory Organizations; The Options Clearing Corporation; Notice of Filing of Proposed Rule Change To Adopt the OCC Third-Party Risk Management Framework and Retire the OCC Counterparty Credit Risk Management Framework2020-11-18T00:00:00-08:002020-11-18T00:00:00-08:002020-25388Noticehttps://www.govinfo.gov/content/pkg/FR-2020-11-18/pdf/2020-25388.pdfhttps://regulations.justia.com/regulations/fedreg/2020/11/18/2020-25385.htmlNotice - Self-Regulatory Organizations; Cboe Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Certain Fees Related to Transactions in Mini-SPX Index (“XSP”) Options2020-11-18T00:00:00-08:002020-11-18T00:00:00-08:002020-25385Noticehttps://www.govinfo.gov/content/pkg/FR-2020-11-18/pdf/2020-25385.pdfhttps://regulations.justia.com/regulations/fedreg/2020/11/18/2020-25384.htmlNotice - Self-Regulatory Organizations; Cboe BZX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the Fee Schedule To Correct Drafting Error in a Footnote2020-11-18T00:00:00-08:002020-11-18T00:00:00-08:002020-25384Noticehttps://www.govinfo.gov/content/pkg/FR-2020-11-18/pdf/2020-25384.pdfhttps://regulations.justia.com/regulations/fedreg/2020/11/18/2020-25383.htmlNotice - Self-Regulatory Organizations; ICE Clear Europe Limited; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Amendments to the ICE Clear Europe Delivery Procedures2020-11-18T00:00:00-08:002020-11-18T00:00:00-08:002020-25383Noticehttps://www.govinfo.gov/content/pkg/FR-2020-11-18/pdf/2020-25383.pdfhttps://regulations.justia.com/regulations/fedreg/2020/11/18/2020-25382.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 Schedule2020-11-18T00:00:00-08:002020-11-18T00:00:00-08:002020-25382Noticehttps://www.govinfo.gov/content/pkg/FR-2020-11-18/pdf/2020-25382.pdfhttps://regulations.justia.com/regulations/fedreg/2020/11/18/2020-25381.htmlNotice - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Order Approving Proposed Rule Change Relating to Granularity of Timestamps in Trade Reports Submitted to FINRA's Equity Trade Reporting Facilities2020-11-18T00:00:00-08:002020-11-18T00:00:00-08:002020-25381Noticehttps://www.govinfo.gov/content/pkg/FR-2020-11-18/pdf/2020-25381.pdfhttps://regulations.justia.com/regulations/fedreg/2020/11/18/2020-25380.htmlNotice - Self-Regulatory Organizations; The Nasdaq Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Make Technical and Conforming Amendments to The Nasdaq Options Market Rules at Options 42020-11-18T00:00:00-08:002020-11-18T00:00:00-08:002020-25380Noticehttps://www.govinfo.gov/content/pkg/FR-2020-11-18/pdf/2020-25380.pdfhttps://regulations.justia.com/regulations/fedreg/2020/11/18/2020-25356.htmlNotice - Proposed Collection; Comment Request2020-11-18T00:00:00-08:002020-11-18T00:00:00-08:002020-25356Noticehttps://www.govinfo.gov/content/pkg/FR-2020-11-18/pdf/2020-25356.pdfhttps://regulations.justia.com/regulations/fedreg/2020/11/18/2020-25355.htmlNotice - Proposed Collection; Comment Request2020-11-18T00:00:00-08:002020-11-18T00:00:00-08:002020-25355Noticehttps://www.govinfo.gov/content/pkg/FR-2020-11-18/pdf/2020-25355.pdfhttps://regulations.justia.com/regulations/fedreg/2020/11/18/2020-25354.htmlNotice - Proposed Collection; Comment Request2020-11-18T00:00:00-08:002020-11-18T00:00:00-08:002020-25354Noticehttps://www.govinfo.gov/content/pkg/FR-2020-11-18/pdf/2020-25354.pdfhttps://regulations.justia.com/regulations/fedreg/2020/11/18/2020-25353.htmlNotice - Submission for OMB Review; Comment Request2020-11-18T00:00:00-08:002020-11-18T00:00:00-08:002020-25353Noticehttps://www.govinfo.gov/content/pkg/FR-2020-11-18/pdf/2020-25353.pdfhttps://regulations.justia.com/regulations/fedreg/2020/11/18/2020-25352.htmlNotice - Proposed Collection; Comment Request2020-11-18T00:00:00-08:002020-11-18T00:00:00-08:002020-25352Noticehttps://www.govinfo.gov/content/pkg/FR-2020-11-18/pdf/2020-25352.pdfhttps://regulations.justia.com/regulations/fedreg/2020/11/18/2020-25351.htmlNotice - Proposed Collection for OMB Review; Comment Request2020-11-18T00:00:00-08:002020-11-18T00:00:00-08:002020-25351Noticehttps://www.govinfo.gov/content/pkg/FR-2020-11-18/pdf/2020-25351.pdfhttps://regulations.justia.com/regulations/fedreg/2020/11/18/2020-25350.htmlNotice - Proposed Collection; Comment Request2020-11-18T00:00:00-08:002020-11-18T00:00:00-08:002020-25350Noticehttps://www.govinfo.gov/content/pkg/FR-2020-11-18/pdf/2020-25350.pdfhttps://regulations.justia.com/regulations/fedreg/2020/11/17/2020-25329.htmlNotice - AdvisorShares Trust, et al.2020-11-17T00:00:00-08:002020-11-17T00:00:00-08:002020-25329Noticehttps://www.govinfo.gov/content/pkg/FR-2020-11-17/pdf/2020-25329.pdfhttps://regulations.justia.com/regulations/fedreg/2020/11/17/2020-25271.htmlNotice - Self-Regulatory Organizations; The Nasdaq Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Harmonize Exchange Rules 1015, 9261, 9524 and 9830 With Recent Changes by the Financial Industry Regulatory Authority, Inc.2020-11-17T00:00:00-08:002020-11-17T00:00:00-08:002020-25271Noticehttps://www.govinfo.gov/content/pkg/FR-2020-11-17/pdf/2020-25271.pdfhttps://regulations.justia.com/regulations/fedreg/2020/11/17/2020-25270.htmlNotice - Self-Regulatory Organizations; The Nasdaq Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Rules 4613, 4702, and 47032020-11-17T00:00:00-08:002020-11-17T00:00:00-08:002020-25270Noticehttps://www.govinfo.gov/content/pkg/FR-2020-11-17/pdf/2020-25270.pdfhttps://regulations.justia.com/regulations/fedreg/2020/11/17/2020-25269.htmlNotice - Self-Regulatory Organizations; MIAX PEARL, LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the Exchange's Certificate of Formation, Amended and Restated Limited Liability Company Agreement, and the By-Laws2020-11-17T00:00:00-08:002020-11-17T00:00:00-08:002020-25269Noticehttps://www.govinfo.gov/content/pkg/FR-2020-11-17/pdf/2020-25269.pdfhttps://regulations.justia.com/regulations/fedreg/2020/11/17/2020-25268.htmlNotice - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing of Proposed Rule Change to Amend Rules 7.35 and 7.35A2020-11-17T00:00:00-08:002020-11-17T00:00:00-08:002020-25268Noticehttps://www.govinfo.gov/content/pkg/FR-2020-11-17/pdf/2020-25268.pdfhttps://regulations.justia.com/regulations/fedreg/2020/11/17/2020-25267.htmlNotice - Self-Regulatory Organizations; Fixed Income Clearing Corporation; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend the Government Securities Division Rulebook To Add a Pre-Payment Assessment and Certain Credits in Connection With a New Service, Which Has Not Yet Been Proposed for and Would Be Subject to Regulatory Approval2020-11-17T00:00:00-08:002020-11-17T00:00:00-08:002020-25267Noticehttps://www.govinfo.gov/content/pkg/FR-2020-11-17/pdf/2020-25267.pdfhttps://regulations.justia.com/regulations/fedreg/2020/11/17/2020-25266.htmlNotice - Self-Regulatory Organizations; MIAX Emerald, LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the Exchange's Certificate of Formation, Amended and Restated Limited Liability Company Agreement, and the By-Laws2020-11-17T00:00:00-08:002020-11-17T00:00:00-08:002020-25266Noticehttps://www.govinfo.gov/content/pkg/FR-2020-11-17/pdf/2020-25266.pdfhttps://regulations.justia.com/regulations/fedreg/2020/11/17/2020-25264.htmlNotice - Self-Regulatory Organizations; Miami International Securities Exchange LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the Exchange's Amended and Restated Certificate of Formation, Second Amended and Restated Limited Liability Company Agreement, and the Amended and Restated By-Laws2020-11-17T00:00:00-08:002020-11-17T00:00:00-08:002020-25264Noticehttps://www.govinfo.gov/content/pkg/FR-2020-11-17/pdf/2020-25264.pdfhttps://regulations.justia.com/regulations/fedreg/2020/11/17/2020-25263.htmlNotice - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Its Price List2020-11-17T00:00:00-08:002020-11-17T00:00:00-08:002020-25263Noticehttps://www.govinfo.gov/content/pkg/FR-2020-11-17/pdf/2020-25263.pdfhttps://regulations.justia.com/regulations/fedreg/2020/11/17/2020-25256.htmlNotice - Submission for OMB Review; Comment Request2020-11-17T00:00:00-08:002020-11-17T00:00:00-08:002020-25256Noticehttps://www.govinfo.gov/content/pkg/FR-2020-11-17/pdf/2020-25256.pdfhttps://regulations.justia.com/regulations/fedreg/2020/11/17/2020-25255.htmlNotice - Submission for OMB Review; Comment Request2020-11-17T00:00:00-08:002020-11-17T00:00:00-08:002020-25255Noticehttps://www.govinfo.gov/content/pkg/FR-2020-11-17/pdf/2020-25255.pdfhttps://regulations.justia.com/regulations/fedreg/2020/11/17/2020-25253.htmlNotice - Submission for OMB Review; Comment Request2020-11-17T00:00:00-08:002020-11-17T00:00:00-08:002020-25253Noticehttps://www.govinfo.gov/content/pkg/FR-2020-11-17/pdf/2020-25253.pdfhttps://regulations.justia.com/regulations/fedreg/2020/11/17/2020-25251.htmlNotice - Submission for OMB Review; Comment Request2020-11-17T00:00:00-08:002020-11-17T00:00:00-08:002020-25251Noticehttps://www.govinfo.gov/content/pkg/FR-2020-11-17/pdf/2020-25251.pdfhttps://regulations.justia.com/regulations/fedreg/2020/11/17/2020-25248.htmlNotice - Submission for OMB Review; Comment Request2020-11-17T00:00:00-08:002020-11-17T00:00:00-08:002020-25248Noticehttps://www.govinfo.gov/content/pkg/FR-2020-11-17/pdf/2020-25248.pdfhttps://regulations.justia.com/regulations/fedreg/2020/11/16/2020-25202.htmlNotice - Self-Regulatory Organizations; National Securities Clearing Corporation; Notice of No Objection to Advance Notice To Enhance National Securities Clearing Corporation's Haircut-Based Volatility Charge Applicable to Illiquid Securities and UITs and Make Certain Other Changes to Procedure XV2020-11-16T00:00:00-08:002020-11-16T00:00:00-08:002020-25202Noticehttps://www.govinfo.gov/content/pkg/FR-2020-11-16/pdf/2020-25202.pdfhttps://regulations.justia.com/regulations/fedreg/2020/11/16/2020-25182.htmlNotice - Self-Regulatory Organizations; Cboe BZX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating To Amend Its Fees Schedule2020-11-16T00:00:00-08:002020-11-16T00:00:00-08:002020-25182Noticehttps://www.govinfo.gov/content/pkg/FR-2020-11-16/pdf/2020-25182.pdfhttps://regulations.justia.com/regulations/fedreg/2020/11/16/2020-25181.htmlNotice - Self-Regulatory Organizations; Cboe BZX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Add Certain Fees Related to the Listing and Trading of Options Contracts on the Mini-SPX Index (“XSP”) and Update Certain Other Language in the Fee Schedule2020-11-16T00:00:00-08:002020-11-16T00:00:00-08:002020-25181Noticehttps://www.govinfo.gov/content/pkg/FR-2020-11-16/pdf/2020-25181.pdfhttps://regulations.justia.com/regulations/fedreg/2020/11/16/2020-25180.htmlNotice - Self-Regulatory Organizations; Nasdaq BX, Inc.; Notice of Filing of Proposed Rule Change To Utilize the FIX Protocol To Submit Orders to BX's Price Improvement Auction Mechanism2020-11-16T00:00:00-08:002020-11-16T00:00:00-08:002020-25180Noticehttps://www.govinfo.gov/content/pkg/FR-2020-11-16/pdf/2020-25180.pdfhttps://regulations.justia.com/regulations/fedreg/2020/11/16/2020-25179.htmlNotice - Self-Regulatory Organizations; Nasdaq BX, Inc.; Notice of Filing of Proposed Rule Change To Amend Options 4, Section 5, To Limit Short Term Options Series Intervals Between Strikes Which are Available for Quoting and Trading on BX2020-11-16T00:00:00-08:002020-11-16T00:00:00-08:002020-25179Noticehttps://www.govinfo.gov/content/pkg/FR-2020-11-16/pdf/2020-25179.pdfhttps://regulations.justia.com/regulations/fedreg/2020/11/16/2020-25178.htmlNotice - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing of Proposed Rule Change To Amend the Requirement Applicable to Special Purpose Acquisition Companies Upon Consummation of a Business Combination Concerning Compliance With the Round Lot Shareholder Requirement2020-11-16T00:00:00-08:002020-11-16T00:00:00-08:002020-25178Noticehttps://www.govinfo.gov/content/pkg/FR-2020-11-16/pdf/2020-25178.pdfhttps://regulations.justia.com/regulations/fedreg/2020/11/13/2020-25214.htmlNotice - Sunshine Act Meetings2020-11-13T00:00:00-08:002020-11-13T00:00:00-08:002020-25214Noticehttps://www.govinfo.gov/content/pkg/FR-2020-11-13/pdf/2020-25214.pdfhttps://regulations.justia.com/regulations/fedreg/2020/11/13/2020-25166.htmlNotice - Notice of Substituted Compliance Application Submitted by the Bundesanstalt für Finanzdienstleistungsaufsicht in Connection With Certain Requirements Applicable to Security-Based Swap Entities Subject to Regulation in the Federal Republic of Germany; Proposed Order2020-11-13T00:00:00-08:002020-11-13T00:00:00-08:002020-25166Noticehttps://www.govinfo.gov/content/pkg/FR-2020-11-13/pdf/2020-25166.pdfhttps://regulations.justia.com/regulations/fedreg/2020/11/13/2020-25160.htmlNotice - Upstart Holdings, Inc.2020-11-13T00:00:00-08:002020-11-13T00:00:00-08:002020-25160Noticehttps://www.govinfo.gov/content/pkg/FR-2020-11-13/pdf/2020-25160.pdfhttps://regulations.justia.com/regulations/fedreg/2020/11/13/2020-25123.htmlNotice - Asset Management Advisory Committee2020-11-13T00:00:00-08:002020-11-13T00:00:00-08:002020-25123Noticehttps://www.govinfo.gov/content/pkg/FR-2020-11-13/pdf/2020-25123.pdfhttps://regulations.justia.com/regulations/fedreg/2020/11/13/2020-25060.htmlNotice - Self-Regulatory Organizations; The Depository Trust Company; Order Approving a Proposed Rule Change To Amend Rule 42020-11-13T00:00:00-08:002020-11-13T00:00:00-08:002020-25060Noticehttps://www.govinfo.gov/content/pkg/FR-2020-11-13/pdf/2020-25060.pdfhttps://regulations.justia.com/regulations/fedreg/2020/11/13/2020-25059.htmlNotice - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing of Amendment No. 1 and Order Granting Accelerated Approval of a Proposed Rule Change, as Modified by Amendment No. 1, To Amend to NYSE Rule 122 Related to Orders With More Than One Broker2020-11-13T00:00:00-08:002020-11-13T00:00:00-08:002020-25059Noticehttps://www.govinfo.gov/content/pkg/FR-2020-11-13/pdf/2020-25059.pdfhttps://regulations.justia.com/regulations/fedreg/2020/11/13/2020-25058.htmlNotice - Self-Regulatory Organizations; Cboe EDGA Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Rule 14.10, Requirements for Securities Issued by the Exchange or Its Affiliates2020-11-13T00:00:00-08:002020-11-13T00:00:00-08:002020-25058Noticehttps://www.govinfo.gov/content/pkg/FR-2020-11-13/pdf/2020-25058.pdfhttps://regulations.justia.com/regulations/fedreg/2020/11/13/2020-25056.htmlNotice - Self-Regulatory Organizations; Cboe BYX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Rule 14.10, Requirements for Securities Issued by the Exchange or its Affiliates2020-11-13T00:00:00-08:002020-11-13T00:00:00-08:002020-25056Noticehttps://www.govinfo.gov/content/pkg/FR-2020-11-13/pdf/2020-25056.pdfhttps://regulations.justia.com/regulations/fedreg/2020/11/13/2020-25050.htmlNotice - Invesco Capital Management LLC, et al.; Notice of Application2020-11-13T00:00:00-08:002020-11-13T00:00:00-08:002020-25050Noticehttps://www.govinfo.gov/content/pkg/FR-2020-11-13/pdf/2020-25050.pdfhttps://regulations.justia.com/regulations/fedreg/2020/11/12/2020-25057.htmlNotice - Self-Regulatory Organizations; Cboe EDGX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Rule 14.10, Requirements for Securities Issued by the Exchange or Its Affiliates2020-11-12T00:00:00-08:002020-11-12T00:00:00-08:002020-25057Noticehttps://www.govinfo.gov/content/pkg/FR-2020-11-12/pdf/2020-25057.pdfhttps://regulations.justia.com/regulations/fedreg/2020/11/12/2020-25006.htmlNotice - Self-Regulatory Organizations; The Depository Trust Company; Notice of No Objection To Advance Notice To Amend Rule 42020-11-12T00:00:00-08:002020-11-12T00:00:00-08:002020-25006Noticehttps://www.govinfo.gov/content/pkg/FR-2020-11-12/pdf/2020-25006.pdfhttps://regulations.justia.com/regulations/fedreg/2020/11/12/2020-24986.htmlNotice - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing of Proposed Rule Change To Amend Rule 7.35C2020-11-12T00:00:00-08:002020-11-12T00:00:00-08:002020-24986Noticehttps://www.govinfo.gov/content/pkg/FR-2020-11-12/pdf/2020-24986.pdfhttps://regulations.justia.com/regulations/fedreg/2020/11/12/2020-24967.htmlNotice - Self-Regulatory Organizations; The Nasdaq Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Adopt Temporary Supplementary Material .13 (Temporary Extension of the Limited Period for Registered Persons To Function as Principals) Under Nasdaq Rule 1.12102020-11-12T00:00:00-08:002020-11-12T00:00:00-08:002020-24967Noticehttps://www.govinfo.gov/content/pkg/FR-2020-11-12/pdf/2020-24967.pdfhttps://regulations.justia.com/regulations/fedreg/2020/11/12/2020-24966.htmlNotice - Self-Regulatory Organizations; The Nasdaq Stock Market LLC; Notice of Designation of a Longer Period for Commission Action on a Proposed Rule Change, as Modified by Amendment No. 1, To Treat as an Eligible Switch, for Purposes of IM-5900-7, an Acquisition Company That Switches From NYSE to Nasdaq After Announcing a Business Combination2020-11-12T00:00:00-08:002020-11-12T00:00:00-08:002020-24966Noticehttps://www.govinfo.gov/content/pkg/FR-2020-11-12/pdf/2020-24966.pdfhttps://regulations.justia.com/regulations/fedreg/2020/11/12/2020-24965.htmlNotice - Self-Regulatory Organizations; Cboe BZX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule To Eliminate the Listing Fee Waiver for Issuers of Certain ETPs2020-11-12T00:00:00-08:002020-11-12T00:00:00-08:002020-24965Noticehttps://www.govinfo.gov/content/pkg/FR-2020-11-12/pdf/2020-24965.pdfhttps://regulations.justia.com/regulations/fedreg/2020/11/12/2020-24964.htmlNotice - Self-Regulatory Organizations; The Nasdaq Stock Market LLC; Order Instituting Proceedings To Determine Whether To Approve or Disapprove a Proposed Rule Change To Amend Nasdaq Rule 57042020-11-12T00:00:00-08:002020-11-12T00:00:00-08:002020-24964Noticehttps://www.govinfo.gov/content/pkg/FR-2020-11-12/pdf/2020-24964.pdfhttps://regulations.justia.com/regulations/fedreg/2020/11/12/2020-24963.htmlNotice - Self-Regulatory Organizations; Miami International Securities Exchange, LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Its Fee Schedule To Increase the Number of Additional Limited Service MIAX Express Interface Ports Available to Market Makers2020-11-12T00:00:00-08:002020-11-12T00:00:00-08:002020-24963Noticehttps://www.govinfo.gov/content/pkg/FR-2020-11-12/pdf/2020-24963.pdfhttps://regulations.justia.com/regulations/fedreg/2020/11/12/2020-24962.htmlNotice - Self-Regulatory Organizations; Cboe BZX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the Equity Transaction Fee Rebate Tiers2020-11-12T00:00:00-08:002020-11-12T00:00:00-08:002020-24962Noticehttps://www.govinfo.gov/content/pkg/FR-2020-11-12/pdf/2020-24962.pdfhttps://regulations.justia.com/regulations/fedreg/2020/11/12/2020-24956.htmlNotice - Arena Holdings Management LLC2020-11-12T00:00:00-08:002020-11-12T00:00:00-08:002020-24956Noticehttps://www.govinfo.gov/content/pkg/FR-2020-11-12/pdf/2020-24956.pdfhttps://regulations.justia.com/regulations/fedreg/2020/11/10/2020-24938.htmlNotice - Notice of Intention To Cancel Registration Pursuant to the Investment Advisers Act of 19402020-11-10T00:00:00-08:002020-11-10T00:00:00-08:002020-24938Noticehttps://www.govinfo.gov/content/pkg/FR-2020-11-10/pdf/2020-24938.pdfhttps://regulations.justia.com/regulations/fedreg/2020/11/10/2020-24889.htmlNotice - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend FINRA Rules To Reflect Name Changes to Two FINRA Departments: The Office of Dispute Resolution and the Department of Registration and Disclosure2020-11-10T00:00:00-08:002020-11-10T00:00:00-08:002020-24889Noticehttps://www.govinfo.gov/content/pkg/FR-2020-11-10/pdf/2020-24889.pdfhttps://regulations.justia.com/regulations/fedreg/2020/11/10/2020-24888.htmlNotice - Self-Regulatory Organizations; The Nasdaq Stock Market LLC; Notice of Designation of a Longer Period for Commission Action on a Proposed Rule Change To Amend Listing Rules Applicable to Special Purpose Acquisition Companies Whose Business Plan Is To Complete One or More Business Combinations2020-11-10T00:00:00-08:002020-11-10T00:00:00-08:002020-24888Noticehttps://www.govinfo.gov/content/pkg/FR-2020-11-10/pdf/2020-24888.pdfhttps://regulations.justia.com/regulations/fedreg/2020/11/10/2020-24887.htmlNotice - Self-Regulatory Organizations; Nasdaq PHLX LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the Exchange's Transaction Fees at Equity 7, Section 32020-11-10T00:00:00-08:002020-11-10T00:00:00-08:002020-24887Noticehttps://www.govinfo.gov/content/pkg/FR-2020-11-10/pdf/2020-24887.pdfhttps://regulations.justia.com/regulations/fedreg/2020/11/10/2020-24886.htmlNotice - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Designation of a Longer Period for Commission Action on 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 Service2020-11-10T00:00:00-08:002020-11-10T00:00:00-08:002020-24886Noticehttps://www.govinfo.gov/content/pkg/FR-2020-11-10/pdf/2020-24886.pdfhttps://regulations.justia.com/regulations/fedreg/2020/11/10/2020-24885.htmlNotice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending the NYSE Arca Equities Fees and Charges To Adopt an Alternative Method To Qualify for the Tier 2 Pricing Tier2020-11-10T00:00:00-08:002020-11-10T00:00:00-08:002020-24885Noticehttps://www.govinfo.gov/content/pkg/FR-2020-11-10/pdf/2020-24885.pdfhttps://regulations.justia.com/regulations/fedreg/2020/11/10/2020-24884.htmlNotice - Self-Regulatory Organizations; Cboe Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Its Fees Schedule in Connection With Migration2020-11-10T00:00:00-08:002020-11-10T00:00:00-08:002020-24884Noticehttps://www.govinfo.gov/content/pkg/FR-2020-11-10/pdf/2020-24884.pdfhttps://regulations.justia.com/regulations/fedreg/2020/11/10/2020-24883.htmlNotice - Self-Regulatory Organizations; Cboe Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating To Amend Its Fees Schedule2020-11-10T00:00:00-08:002020-11-10T00:00:00-08:002020-24883Noticehttps://www.govinfo.gov/content/pkg/FR-2020-11-10/pdf/2020-24883.pdfhttps://regulations.justia.com/regulations/fedreg/2020/11/10/2020-24882.htmlNotice - Self-Regulatory Organizations; The Nasdaq Stock Market LLC; Notice of Designation of a Longer Period for Commission Action on a Proposed Rule Change, To Allow Companies To List in Connection With a Direct Listing With a Primary Offering in Which the Company Will Sell Shares Itself in the Opening Auction on the First Day of Trading on Nasdaq and To Explain How the Opening Transaction for Such a Listing Will Be Effected2020-11-10T00:00:00-08:002020-11-10T00:00:00-08:002020-24882Noticehttps://www.govinfo.gov/content/pkg/FR-2020-11-10/pdf/2020-24882.pdfhttps://regulations.justia.com/regulations/fedreg/2020/11/10/2020-24880.htmlNotice - Public Availability of the Securities and Exchange Commission's FY 2016 and FY 2017 Service Contract Inventory2020-11-10T00:00:00-08:002020-11-10T00:00:00-08:002020-24880Noticehttps://www.govinfo.gov/content/pkg/FR-2020-11-10/pdf/2020-24880.pdfhttps://regulations.justia.com/regulations/fedreg/2020/11/10/2020-24879.htmlNotice - Principal Diversified Select Real Asset Fund, et al.2020-11-10T00:00:00-08:002020-11-10T00:00:00-08:002020-24879Noticehttps://www.govinfo.gov/content/pkg/FR-2020-11-10/pdf/2020-24879.pdfhttps://regulations.justia.com/regulations/fedreg/2020/11/09/2020-24846.htmlNotice - Investor Advisory Committee Meeting2020-11-09T00:00:00-08:002020-11-09T00:00:00-08:002020-24846Noticehttps://www.govinfo.gov/content/pkg/FR-2020-11-09/pdf/2020-24846.pdfhttps://regulations.justia.com/regulations/fedreg/2020/11/09/2020-24844.htmlNotice - Proposed Collection; Comment Request2020-11-09T00:00:00-08:002020-11-09T00:00:00-08:002020-24844Noticehttps://www.govinfo.gov/content/pkg/FR-2020-11-09/pdf/2020-24844.pdfhttps://regulations.justia.com/regulations/fedreg/2020/11/09/2020-24843.htmlNotice - Proposed Collection; Comment Request2020-11-09T00:00:00-08:002020-11-09T00:00:00-08:002020-24843Noticehttps://www.govinfo.gov/content/pkg/FR-2020-11-09/pdf/2020-24843.pdfhttps://regulations.justia.com/regulations/fedreg/2020/11/09/2020-24842.htmlNotice - Submission for OMB Review; Comment Request2020-11-09T00:00:00-08:002020-11-09T00:00:00-08:002020-24842Noticehttps://www.govinfo.gov/content/pkg/FR-2020-11-09/pdf/2020-24842.pdfhttps://regulations.justia.com/regulations/fedreg/2020/11/09/2020-24841.htmlNotice - Proposed Collection; Comment Request2020-11-09T00:00:00-08:002020-11-09T00:00:00-08:002020-24841Noticehttps://www.govinfo.gov/content/pkg/FR-2020-11-09/pdf/2020-24841.pdfhttps://regulations.justia.com/regulations/fedreg/2020/11/09/2020-24840.htmlNotice - Submission for OMB Review; Comment Request2020-11-09T00:00:00-08:002020-11-09T00:00:00-08:002020-24840Noticehttps://www.govinfo.gov/content/pkg/FR-2020-11-09/pdf/2020-24840.pdfhttps://regulations.justia.com/regulations/fedreg/2020/11/09/2020-24839.htmlNotice - Submission for OMB Review; Comment Request2020-11-09T00:00:00-08:002020-11-09T00:00:00-08:002020-24839Noticehttps://www.govinfo.gov/content/pkg/FR-2020-11-09/pdf/2020-24839.pdfhttps://regulations.justia.com/regulations/fedreg/2020/11/09/2020-24838.htmlNotice - Submission for OMB Review; Comment Request2020-11-09T00:00:00-08:002020-11-09T00:00:00-08:002020-24838Noticehttps://www.govinfo.gov/content/pkg/FR-2020-11-09/pdf/2020-24838.pdfhttps://regulations.justia.com/regulations/fedreg/2020/11/09/2020-24792.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 the Exchange's Co-Location Services To Establish Procedures for the Allocation of Cabinets to Its Co-Located Users2020-11-09T00:00:00-08:002020-11-09T00:00:00-08:002020-24792Noticehttps://www.govinfo.gov/content/pkg/FR-2020-11-09/pdf/2020-24792.pdfhttps://regulations.justia.com/regulations/fedreg/2020/11/09/2020-24791.htmlNotice - Self-Regulatory Organizations; NYSE National, Inc.; Notice of Designation of a Longer Period for Commission Action on a Proposed Rule Change To Amend the Exchange's Co-Location Services To Establish Procedures for the Allocation of Cabinets to Its Co-Located Users2020-11-09T00:00:00-08:002020-11-09T00:00:00-08:002020-24791Noticehttps://www.govinfo.gov/content/pkg/FR-2020-11-09/pdf/2020-24791.pdfhttps://regulations.justia.com/regulations/fedreg/2020/11/09/2020-24790.htmlNotice - Self-Regulatory Organizations; NYSE Chicago, Inc.; Notice of Designation of a Longer Period for Commission Action on a Proposed Rule Change To Amend the Exchange's Co-Location Services To Establish Procedures for the Allocation of Cabinets to Its Co-Located Users2020-11-09T00:00:00-08:002020-11-09T00:00:00-08:002020-24790Noticehttps://www.govinfo.gov/content/pkg/FR-2020-11-09/pdf/2020-24790.pdfhttps://regulations.justia.com/regulations/fedreg/2020/11/09/2020-24789.htmlNotice - Self-Regulatory Organizations; NYSE American, LLC; Notice of Designation of a Longer Period for Commission Action on a Proposed Rule Change To Amend the Exchange's Co-Location Services To Establish Procedures for the Allocation of Cabinets to Its Co-Located Users2020-11-09T00:00:00-08:002020-11-09T00:00:00-08:002020-24789Noticehttps://www.govinfo.gov/content/pkg/FR-2020-11-09/pdf/2020-24789.pdfhttps://regulations.justia.com/regulations/fedreg/2020/11/09/2020-24788.htmlNotice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Designation of a Longer Period for Commission Action on a Proposed Rule Change To Amend the Exchange's Co-Location Services To Establish Procedures for the Allocation of Cabinets to Its Co-Located Users2020-11-09T00:00:00-08:002020-11-09T00:00:00-08:002020-24788Noticehttps://www.govinfo.gov/content/pkg/FR-2020-11-09/pdf/2020-24788.pdfhttps://regulations.justia.com/regulations/fedreg/2020/11/09/2020-24787.htmlNotice - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing of a Proposed Rule Change To Amend the By-Laws of FINRA Regulation, Inc. To Align the Grounds for Member Removal From the NAC With an Existing Provision in the FINRA By-Laws2020-11-09T00:00:00-08:002020-11-09T00:00:00-08:002020-24787Noticehttps://www.govinfo.gov/content/pkg/FR-2020-11-09/pdf/2020-24787.pdfhttps://regulations.justia.com/regulations/fedreg/2020/11/09/2020-24786.htmlNotice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing of Proposed Rule Change To List and Trade Shares of the AdvisorShares Q Portfolio Blended Allocation ETF and AdvisorShares Q Dynamic Growth ETF Under Rule 8.900-E2020-11-09T00:00:00-08:002020-11-09T00:00:00-08:002020-24786Noticehttps://www.govinfo.gov/content/pkg/FR-2020-11-09/pdf/2020-24786.pdfhttps://regulations.justia.com/regulations/fedreg/2020/11/09/2020-24785.htmlNotice - Self-Regulatory Organizations; Fixed Income Clearing Corporation; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the Government Securities Division Rulebook To Clarify Which Funds-Only Settlement Payments and Underlying Marks Are Applicable to Certain Transactions, and Make Other Changes2020-11-09T00:00:00-08:002020-11-09T00:00:00-08:002020-24785Noticehttps://www.govinfo.gov/content/pkg/FR-2020-11-09/pdf/2020-24785.pdfhttps://regulations.justia.com/regulations/fedreg/2020/11/09/2020-24784.htmlNotice - Self-Regulatory Organizations; Cboe Exchange, Inc; Order Approving a Proposed Rule Change, as Modified by Amendment No. 1, To Adopt the Delta-Adjusted at Close Order Instruction2020-11-09T00:00:00-08:002020-11-09T00:00:00-08:002020-24784Noticehttps://www.govinfo.gov/content/pkg/FR-2020-11-09/pdf/2020-24784.pdfhttps://regulations.justia.com/regulations/fedreg/2020/11/09/2020-24783.htmlNotice - Self-Regulatory Organizations; The Options Clearing Corporation; Notice of Filing of Proposed Rule Change To Update The Options Clearing Corporation's Recovery and Orderly Wind-Down Plan2020-11-09T00:00:00-08:002020-11-09T00:00:00-08:002020-24783Noticehttps://www.govinfo.gov/content/pkg/FR-2020-11-09/pdf/2020-24783.pdfhttps://regulations.justia.com/regulations/fedreg/2020/11/06/2020-24811.htmlNotice - Sunshine Act Meeting; Cancellation2020-11-06T00:00:00-08:002020-11-06T00:00:00-08:002020-24811Noticehttps://www.govinfo.gov/content/pkg/FR-2020-11-06/pdf/2020-24811.pdfhttps://regulations.justia.com/regulations/fedreg/2020/11/06/2020-24635.htmlNotice - Self-Regulatory Organizations; NYSE National, Inc.; Notice of Filing of Proposed Rule Change To Amend Rule 7.312020-11-06T00:00:00-08:002020-11-06T00:00:00-08:002020-24635Noticehttps://www.govinfo.gov/content/pkg/FR-2020-11-06/pdf/2020-24635.pdfhttps://regulations.justia.com/regulations/fedreg/2020/11/06/2020-24634.htmlNotice - Self-Regulatory Organizations; NYSE Chicago, Inc.; Notice of Filing of Proposed Rule Change To Amend Rule 7.312020-11-06T00:00:00-08:002020-11-06T00:00:00-08:002020-24634Noticehttps://www.govinfo.gov/content/pkg/FR-2020-11-06/pdf/2020-24634.pdfhttps://regulations.justia.com/regulations/fedreg/2020/11/06/2020-24633.htmlNotice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing of Proposed Rule Change To Amend Rule 7.31-E2020-11-06T00:00:00-08:002020-11-06T00:00:00-08:002020-24633Noticehttps://www.govinfo.gov/content/pkg/FR-2020-11-06/pdf/2020-24633.pdfhttps://regulations.justia.com/regulations/fedreg/2020/11/06/2020-24632.htmlNotice - Self-Regulatory Organizations; NYSE American LLC; Notice of Filing of Proposed Rule Change To Amend Rule 7.31E2020-11-06T00:00:00-08:002020-11-06T00:00:00-08:002020-24632Noticehttps://www.govinfo.gov/content/pkg/FR-2020-11-06/pdf/2020-24632.pdfhttps://regulations.justia.com/regulations/fedreg/2020/11/06/2020-24631.htmlNotice - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing of Proposed Rule Change To Amend Rule 7.312020-11-06T00:00:00-08:002020-11-06T00:00:00-08:002020-24631Noticehttps://www.govinfo.gov/content/pkg/FR-2020-11-06/pdf/2020-24631.pdfhttps://regulations.justia.com/regulations/fedreg/2020/11/06/2020-24630.htmlNotice - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend its Price List2020-11-06T00:00:00-08:002020-11-06T00:00:00-08:002020-24630Noticehttps://www.govinfo.gov/content/pkg/FR-2020-11-06/pdf/2020-24630.pdfhttps://regulations.justia.com/regulations/fedreg/2020/11/06/2020-24629.htmlNotice - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing of Proposed Amendments to FINRA Rules 5122 (Private Placements of Securities Issued by Members) and 5123 (Private Placements of Securities) That Would Require Members To File Retail Communications Concerning Private Placement Offerings That Are Subject to Those Rules' Filing Requirements2020-11-06T00:00:00-08:002020-11-06T00:00:00-08:002020-24629Noticehttps://www.govinfo.gov/content/pkg/FR-2020-11-06/pdf/2020-24629.pdfhttps://regulations.justia.com/regulations/fedreg/2020/11/05/2020-24772.htmlNotice - Sunshine Act Meetings2020-11-05T00:00:00-08:002020-11-05T00:00:00-08:002020-24772Noticehttps://www.govinfo.gov/content/pkg/FR-2020-11-05/pdf/2020-24772.pdfhttps://regulations.justia.com/regulations/fedreg/2020/11/05/2020-24665.htmlNotice - Sunshine Act Meeting; Cancellation2020-11-05T00:00:00-08:002020-11-05T00:00:00-08:002020-24665Noticehttps://www.govinfo.gov/content/pkg/FR-2020-11-05/pdf/2020-24665.pdfhttps://regulations.justia.com/regulations/fedreg/2020/11/05/2020-24612.htmlNotice - Proposed Order Granting Conditional Exemptions Under the Securities Exchange Act of 1934 in Connection With the Portfolio Margining of Swaps and Security-Based Swaps That Are Credit Default Swaps2020-11-05T00:00:00-08:002020-11-05T00:00:00-08:002020-24612Noticehttps://www.govinfo.gov/content/pkg/FR-2020-11-05/pdf/2020-24612.pdfhttps://regulations.justia.com/regulations/fedreg/2020/11/05/2020-24598.htmlNotice - Order Granting Exemptions From Sections 8 and 15(a)(1) of the Securities Exchange Act of 1934 and Rules 3b-13(b)(2), 8c-1, 10b-10, 15a-1(c), 15a-1(d) and 15c2-1 Thereunder in Connection With the Revision of the Definition of “Security” To Encompass Security-Based Swaps and Determining the Expiration Date for a Temporary Exemption From Section 29(b) of the Securities Exchange Act of 1934 in Connection With Registration of Security-Based Swap Dealers and Major Security-Based Swap Participants2020-11-05T00:00:00-08:002020-11-05T00:00:00-08:002020-24598Noticehttps://www.govinfo.gov/content/pkg/FR-2020-11-05/pdf/2020-24598.pdfhttps://regulations.justia.com/regulations/fedreg/2020/11/05/2020-24501.htmlNotice - Self-Regulatory Organizations; Cboe BZX Exchange, Inc.; Notice of Designation of a Longer Period for Commission Action on a Proposed Rule Change To List and Trade Shares of the -1x Short VIX Futures ETF, a Series of VS Trust, Under BZX Rule 14.11(f)(4) (Trust Issued Receipts)2020-11-05T00:00:00-08:002020-11-05T00:00:00-08:002020-24501Noticehttps://www.govinfo.gov/content/pkg/FR-2020-11-05/pdf/2020-24501.pdfhttps://regulations.justia.com/regulations/fedreg/2020/11/05/2020-24500.htmlNotice - Self-Regulatory Organizations; ICE Clear Europe Limited; Notice of Filing of Proposed Rule Change Relating to the ICE Clear Europe Investment Management Procedures2020-11-05T00:00:00-08:002020-11-05T00:00:00-08:002020-24500Noticehttps://www.govinfo.gov/content/pkg/FR-2020-11-05/pdf/2020-24500.pdfhttps://regulations.justia.com/regulations/fedreg/2020/11/05/2020-24498.htmlNotice - Self-Regulatory Organizations; ICE Clear Credit LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to ICC's Fee Schedule2020-11-05T00:00:00-08:002020-11-05T00:00:00-08:002020-24498Noticehttps://www.govinfo.gov/content/pkg/FR-2020-11-05/pdf/2020-24498.pdfhttps://regulations.justia.com/regulations/fedreg/2020/11/05/2020-24497.htmlNotice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Designation of a Longer Period for Commission Action on a Proposed Rule Change To Amend NYSE Arca Rule 5.3-E To Exempt Registered Investment Companies that List Certain Categories of the Securities Defined as Derivative and Special Purpose Securities Under NYSE Arca Rules From Having To Obtain Shareholder Approval Prior to the Issuance of Securities in Connection With Certain Acquisitions of the Stock or Assets of an Affiliated Company2020-11-05T00:00:00-08:002020-11-05T00:00:00-08:002020-24497Noticehttps://www.govinfo.gov/content/pkg/FR-2020-11-05/pdf/2020-24497.pdfhttps://regulations.justia.com/regulations/fedreg/2020/11/05/2020-24496.htmlNotice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Designation of a Longer Period for Commission Action on a Proposed Rule Change To Amend NYSE Arca Rule 8.601-E To Adopt Generic Listing Standards for Active Proxy Portfolio Shares2020-11-05T00:00:00-08:002020-11-05T00:00:00-08:002020-24496Noticehttps://www.govinfo.gov/content/pkg/FR-2020-11-05/pdf/2020-24496.pdfhttps://regulations.justia.com/regulations/fedreg/2020/11/05/2020-24495.htmlNotice - Self-Regulatory Organizations; Cboe BYX Exchange, Inc.; Notice of Filing of Amendment No. 2 and Order Instituting Proceedings To Determine Whether To Approve or Disapprove a Proposed Rule Change, as Modified by Amendment No. 2, To Introduce Periodic Auctions for the Trading of U.S. Equity Securities2020-11-05T00:00:00-08:002020-11-05T00:00:00-08:002020-24495Noticehttps://www.govinfo.gov/content/pkg/FR-2020-11-05/pdf/2020-24495.pdfhttps://regulations.justia.com/regulations/fedreg/2020/11/05/2020-23928.htmlProposed Rule - Portfolio Margining of Uncleared Swaps and Non-Cleared Security-Based Swaps2020-11-05T00:00:00-08:002020-11-05T00:00:00-08:002020-23928Proposed Rulehttps://www.govinfo.gov/content/pkg/FR-2020-11-05/pdf/2020-23928.pdfhttps://regulations.justia.com/regulations/fedreg/2020/11/05/2020-21444.htmlRule - Whistleblower Program Rules2020-11-05T00:00:00-08:002020-11-05T00:00:00-08:002020-21444Rulehttps://www.govinfo.gov/content/pkg/FR-2020-11-05/pdf/2020-21444.pdfhttps://regulations.justia.com/regulations/fedreg/2020/11/05/2020-17449.htmlProposed Rule - Tailored Shareholder Reports, Treatment of Annual Prospectus Updates for Existing Investors, and Improved Fee and Risk Disclosure for Mutual Funds and Exchange-Traded Funds; Fee Information in Investment Company Advertisements2020-11-05T00:00:00-08:002020-11-05T00:00:00-08:002020-17449Proposed Rulehttps://www.govinfo.gov/content/pkg/FR-2020-11-05/pdf/2020-17449.pdfhttps://regulations.justia.com/regulations/fedreg/2020/11/04/2020-24613.htmlNotice - Sunshine Act Meetings2020-11-04T00:00:00-08:002020-11-04T00:00:00-08:002020-24613Noticehttps://www.govinfo.gov/content/pkg/FR-2020-11-04/pdf/2020-24613.pdfhttps://regulations.justia.com/regulations/fedreg/2020/11/04/2020-24481.htmlNotice - Notice of Applications for Deregistration Under Section 8(f) of the Investment Company Act of 19402020-11-04T00:00:00-08:002020-11-04T00:00:00-08:002020-24481Noticehttps://www.govinfo.gov/content/pkg/FR-2020-11-04/pdf/2020-24481.pdfhttps://regulations.justia.com/regulations/fedreg/2020/11/04/2020-24469.htmlNotice - First Eagle Credit Opportunities Fund, et al.2020-11-04T00:00:00-08:002020-11-04T00:00:00-08:002020-24469Noticehttps://www.govinfo.gov/content/pkg/FR-2020-11-04/pdf/2020-24469.pdfhttps://regulations.justia.com/regulations/fedreg/2020/11/04/2020-24449.htmlNotice - New York Life Insurance and Annuity Corporation, et al; Notice of Application2020-11-04T00:00:00-08:002020-11-04T00:00:00-08:002020-24449Noticehttps://www.govinfo.gov/content/pkg/FR-2020-11-04/pdf/2020-24449.pdfhttps://regulations.justia.com/regulations/fedreg/2020/11/04/2020-24377.htmlNotice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Designation of a Longer Period for Commission Action on a Proposed Rule Change, as Modified by Amendment No. 1, To List and Trade Shares of the Alger Mid Cap 40 ETF and Alger 25 ETF Under Rule 8.900-E, Managed Portfolio Shares2020-11-04T00:00:00-08:002020-11-04T00:00:00-08:002020-24377Noticehttps://www.govinfo.gov/content/pkg/FR-2020-11-04/pdf/2020-24377.pdfhttps://regulations.justia.com/regulations/fedreg/2020/11/04/2020-21580.htmlRule - Procedural Requirements and Resubmission Thresholds Under Exchange Act Rule 14a-82020-11-04T00:00:00-08:002020-11-04T00:00:00-08:002020-21580Rulehttps://www.govinfo.gov/content/pkg/FR-2020-11-04/pdf/2020-21580.pdfhttps://regulations.justia.com/regulations/fedreg/2020/11/03/2020-24490.htmlNotice - Sunshine Act Meetings2020-11-03T00:00:00-08:002020-11-03T00:00:00-08:002020-24490Noticehttps://www.govinfo.gov/content/pkg/FR-2020-11-03/pdf/2020-24490.pdfhttps://regulations.justia.com/regulations/fedreg/2020/11/03/2020-24270.htmlNotice - Self-Regulatory Organizations; Cboe Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating To Extend the Operation of Its Flexible Exchange Options (“FLEX Options”) Pilot Program Regarding Permissible Exercise Settlement Values for FLEX Index Options2020-11-03T00:00:00-08:002020-11-03T00:00:00-08:002020-24270Noticehttps://www.govinfo.gov/content/pkg/FR-2020-11-03/pdf/2020-24270.pdfhttps://regulations.justia.com/regulations/fedreg/2020/11/03/2020-24269.htmlNotice - Self-Regulatory Organizations; MEMX LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Enable Members To Designate Certain Orders To Be Identified as Retail Orders to the Exchange2020-11-03T00:00:00-08:002020-11-03T00:00:00-08:002020-24269Noticehttps://www.govinfo.gov/content/pkg/FR-2020-11-03/pdf/2020-24269.pdfhttps://regulations.justia.com/regulations/fedreg/2020/11/03/2020-24268.htmlNotice - Self-Regulatory Organizations; Cboe BZX Exchange, Inc.; Notice of Designation of a Longer Period for Commission Action on Proceedings To Determine Whether To Approve or Disapprove a Proposed Rule Change To Amend Rule 14.11, Other Securities2020-11-03T00:00:00-08:002020-11-03T00:00:00-08:002020-24268Noticehttps://www.govinfo.gov/content/pkg/FR-2020-11-03/pdf/2020-24268.pdfhttps://regulations.justia.com/regulations/fedreg/2020/11/03/2020-22391.htmlRule - Adoption of Updated EDGAR Filer Manual2020-11-03T00:00:00-08:002020-11-03T00:00:00-08:002020-22391Rulehttps://www.govinfo.gov/content/pkg/FR-2020-11-03/pdf/2020-22391.pdfhttps://regulations.justia.com/regulations/fedreg/2020/11/02/2020-24286.htmlNotice - Sunshine Act Meetings2020-11-02T00:00:00-08:002020-11-02T00:00:00-08:002020-24286Noticehttps://www.govinfo.gov/content/pkg/FR-2020-11-02/pdf/2020-24286.pdfhttps://regulations.justia.com/regulations/fedreg/2020/11/02/2020-24285.htmlNotice - Sunshine Act Meetings2020-11-02T00:00:00-08:002020-11-02T00:00:00-08:002020-24285Noticehttps://www.govinfo.gov/content/pkg/FR-2020-11-02/pdf/2020-24285.pdfhttps://regulations.justia.com/regulations/fedreg/2020/11/02/2020-24168.htmlNotice - Fixed Income Market Structure Advisory Committee2020-11-02T00:00:00-08:002020-11-02T00:00:00-08:002020-24168Noticehttps://www.govinfo.gov/content/pkg/FR-2020-11-02/pdf/2020-24168.pdfhttps://regulations.justia.com/regulations/fedreg/2020/11/02/2020-24162.htmlNotice - Self-Regulatory Organizations; MIAX Emerald, LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Its Fee Schedule To Establish Market Data Fees2020-11-02T00:00:00-08:002020-11-02T00:00:00-08:002020-24162Noticehttps://www.govinfo.gov/content/pkg/FR-2020-11-02/pdf/2020-24162.pdfhttps://regulations.justia.com/regulations/fedreg/2020/11/02/2020-24160.htmlNotice - Investment Managers Series Trust II and AXS Investments LLC2020-11-02T00:00:00-08:002020-11-02T00:00:00-08:002020-24160Noticehttps://www.govinfo.gov/content/pkg/FR-2020-11-02/pdf/2020-24160.pdf