<![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/2020/11?registers=between&min-day=1&max-day=30 Sun, 05 May 2024 04:46:14 -0700 Sun, 05 May 2024 04:46:14 -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/2020/11?registers=between&min-day=1&max-day=30 Notice - Sunshine Act Meetings https://regulations.justia.com/regulations/fedreg/2020/11/30/2020-26413.html https://regulations.justia.com/regulations/fedreg/2020/11/30/2020-26413.html Mon, 30 Nov 2020 00:00:00 -0800 2020-26413 Notice https://www.govinfo.gov/content/pkg/FR-2020-11-30/pdf/2020-26413.pdf Notice - 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 1934 https://regulations.justia.com/regulations/fedreg/2020/11/30/2020-26285.html https://regulations.justia.com/regulations/fedreg/2020/11/30/2020-26285.html Mon, 30 Nov 2020 00:00:00 -0800 2020-26285 Notice https://www.govinfo.gov/content/pkg/FR-2020-11-30/pdf/2020-26285.pdf Notice - Self-Regulatory Organizations; The Depository Trust Company; Order Approving a Proposed Rule Change To Establish the ClaimConnectTM https://regulations.justia.com/regulations/fedreg/2020/11/30/2020-26282.html https://regulations.justia.com/regulations/fedreg/2020/11/30/2020-26282.html Mon, 30 Nov 2020 00:00:00 -0800 2020-26282 Notice https://www.govinfo.gov/content/pkg/FR-2020-11-30/pdf/2020-26282.pdf Notice - 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 Metrics https://regulations.justia.com/regulations/fedreg/2020/11/30/2020-26281.html https://regulations.justia.com/regulations/fedreg/2020/11/30/2020-26281.html Mon, 30 Nov 2020 00:00:00 -0800 2020-26281 Notice https://www.govinfo.gov/content/pkg/FR-2020-11-30/pdf/2020-26281.pdf Notice - 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 Schedule https://regulations.justia.com/regulations/fedreg/2020/11/30/2020-26280.html https://regulations.justia.com/regulations/fedreg/2020/11/30/2020-26280.html Mon, 30 Nov 2020 00:00:00 -0800 2020-26280 Notice https://www.govinfo.gov/content/pkg/FR-2020-11-30/pdf/2020-26280.pdf Notice - 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 Exchange https://regulations.justia.com/regulations/fedreg/2020/11/30/2020-26279.html https://regulations.justia.com/regulations/fedreg/2020/11/30/2020-26279.html Mon, 30 Nov 2020 00:00:00 -0800 2020-26279 Notice https://www.govinfo.gov/content/pkg/FR-2020-11-30/pdf/2020-26279.pdf Notice - Sunshine Act Meetings https://regulations.justia.com/regulations/fedreg/2020/11/27/2020-26316.html https://regulations.justia.com/regulations/fedreg/2020/11/27/2020-26316.html Fri, 27 Nov 2020 00:00:00 -0800 2020-26316 Notice https://www.govinfo.gov/content/pkg/FR-2020-11-27/pdf/2020-26316.pdf Notice - Main Street Capital Corporation, et al. https://regulations.justia.com/regulations/fedreg/2020/11/27/2020-26227.html https://regulations.justia.com/regulations/fedreg/2020/11/27/2020-26227.html Fri, 27 Nov 2020 00:00:00 -0800 2020-26227 Notice https://www.govinfo.gov/content/pkg/FR-2020-11-27/pdf/2020-26227.pdf Notice - 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-X https://regulations.justia.com/regulations/fedreg/2020/11/27/2020-26145.html https://regulations.justia.com/regulations/fedreg/2020/11/27/2020-26145.html Fri, 27 Nov 2020 00:00:00 -0800 2020-26145 Notice https://www.govinfo.gov/content/pkg/FR-2020-11-27/pdf/2020-26145.pdf Notice - 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 Rule https://regulations.justia.com/regulations/fedreg/2020/11/27/2020-26143.html https://regulations.justia.com/regulations/fedreg/2020/11/27/2020-26143.html Fri, 27 Nov 2020 00:00:00 -0800 2020-26143 Notice https://www.govinfo.gov/content/pkg/FR-2020-11-27/pdf/2020-26143.pdf Notice - Sunshine Act Meetings https://regulations.justia.com/regulations/fedreg/2020/11/25/2020-26196.html https://regulations.justia.com/regulations/fedreg/2020/11/25/2020-26196.html Wed, 25 Nov 2020 00:00:00 -0800 2020-26196 Notice https://www.govinfo.gov/content/pkg/FR-2020-11-25/pdf/2020-26196.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/2020/11/25/2020-26113.html https://regulations.justia.com/regulations/fedreg/2020/11/25/2020-26113.html Wed, 25 Nov 2020 00:00:00 -0800 2020-26113 Notice https://www.govinfo.gov/content/pkg/FR-2020-11-25/pdf/2020-26113.pdf Notice - 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 Exchange https://regulations.justia.com/regulations/fedreg/2020/11/25/2020-26012.html https://regulations.justia.com/regulations/fedreg/2020/11/25/2020-26012.html Wed, 25 Nov 2020 00:00:00 -0800 2020-26012 Notice https://www.govinfo.gov/content/pkg/FR-2020-11-25/pdf/2020-26012.pdf Notice - 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) https://regulations.justia.com/regulations/fedreg/2020/11/25/2020-26011.html https://regulations.justia.com/regulations/fedreg/2020/11/25/2020-26011.html Wed, 25 Nov 2020 00:00:00 -0800 2020-26011 Notice https://www.govinfo.gov/content/pkg/FR-2020-11-25/pdf/2020-26011.pdf Notice - 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 Fee https://regulations.justia.com/regulations/fedreg/2020/11/24/C1-2020-25391.html https://regulations.justia.com/regulations/fedreg/2020/11/24/C1-2020-25391.html Tue, 24 Nov 2020 00:00:00 -0800 C1-2020-25391 Notice https://www.govinfo.gov/content/pkg/FR-2020-11-24/pdf/C1-2020-25391.pdf Notice - 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 Trading https://regulations.justia.com/regulations/fedreg/2020/11/24/2020-25909.html https://regulations.justia.com/regulations/fedreg/2020/11/24/2020-25909.html Tue, 24 Nov 2020 00:00:00 -0800 2020-25909 Notice https://www.govinfo.gov/content/pkg/FR-2020-11-24/pdf/2020-25909.pdf Notice - 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) https://regulations.justia.com/regulations/fedreg/2020/11/24/2020-25902.html https://regulations.justia.com/regulations/fedreg/2020/11/24/2020-25902.html Tue, 24 Nov 2020 00:00:00 -0800 2020-25902 Notice https://www.govinfo.gov/content/pkg/FR-2020-11-24/pdf/2020-25902.pdf Notice - Self-Regulatory Organizations; MIAX PEARL, LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the MIAX PEARL Fee Schedule https://regulations.justia.com/regulations/fedreg/2020/11/24/2020-25901.html https://regulations.justia.com/regulations/fedreg/2020/11/24/2020-25901.html Tue, 24 Nov 2020 00:00:00 -0800 2020-25901 Notice https://www.govinfo.gov/content/pkg/FR-2020-11-24/pdf/2020-25901.pdf Notice - Oaktree Strategic Income II, Inc., et al. https://regulations.justia.com/regulations/fedreg/2020/11/24/2020-25900.html https://regulations.justia.com/regulations/fedreg/2020/11/24/2020-25900.html Tue, 24 Nov 2020 00:00:00 -0800 2020-25900 Notice https://www.govinfo.gov/content/pkg/FR-2020-11-24/pdf/2020-25900.pdf Notice - 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 5 https://regulations.justia.com/regulations/fedreg/2020/11/24/2020-25899.html https://regulations.justia.com/regulations/fedreg/2020/11/24/2020-25899.html Tue, 24 Nov 2020 00:00:00 -0800 2020-25899 Notice https://www.govinfo.gov/content/pkg/FR-2020-11-24/pdf/2020-25899.pdf Notice - Self-Regulatory Organizations; Nasdaq MRX, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the Pricing Schedule https://regulations.justia.com/regulations/fedreg/2020/11/24/2020-25898.html https://regulations.justia.com/regulations/fedreg/2020/11/24/2020-25898.html Tue, 24 Nov 2020 00:00:00 -0800 2020-25898 Notice https://www.govinfo.gov/content/pkg/FR-2020-11-24/pdf/2020-25898.pdf Notice - Proposed Collection; Comment Request; Extension: Rule 30b2-1 https://regulations.justia.com/regulations/fedreg/2020/11/24/2020-25897.html https://regulations.justia.com/regulations/fedreg/2020/11/24/2020-25897.html Tue, 24 Nov 2020 00:00:00 -0800 2020-25897 Notice https://www.govinfo.gov/content/pkg/FR-2020-11-24/pdf/2020-25897.pdf Notice - Proposed Collection; Comment Request https://regulations.justia.com/regulations/fedreg/2020/11/24/2020-25896.html https://regulations.justia.com/regulations/fedreg/2020/11/24/2020-25896.html Tue, 24 Nov 2020 00:00:00 -0800 2020-25896 Notice https://www.govinfo.gov/content/pkg/FR-2020-11-24/pdf/2020-25896.pdf Notice - Proposed Collection; Comment Request https://regulations.justia.com/regulations/fedreg/2020/11/24/2020-25895.html https://regulations.justia.com/regulations/fedreg/2020/11/24/2020-25895.html Tue, 24 Nov 2020 00:00:00 -0800 2020-25895 Notice https://www.govinfo.gov/content/pkg/FR-2020-11-24/pdf/2020-25895.pdf Notice - Proposed Collection; Comment Request https://regulations.justia.com/regulations/fedreg/2020/11/24/2020-25894.html https://regulations.justia.com/regulations/fedreg/2020/11/24/2020-25894.html Tue, 24 Nov 2020 00:00:00 -0800 2020-25894 Notice https://www.govinfo.gov/content/pkg/FR-2020-11-24/pdf/2020-25894.pdf Rule - Customer Margin Rules Relating to Security Futures https://regulations.justia.com/regulations/fedreg/2020/11/24/2020-24353.html https://regulations.justia.com/regulations/fedreg/2020/11/24/2020-24353.html Tue, 24 Nov 2020 00:00:00 -0800 2020-24353 Rule https://www.govinfo.gov/content/pkg/FR-2020-11-24/pdf/2020-24353.pdf Notice - 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 Securities https://regulations.justia.com/regulations/fedreg/2020/11/23/2020-25733.html https://regulations.justia.com/regulations/fedreg/2020/11/23/2020-25733.html Mon, 23 Nov 2020 00:00:00 -0800 2020-25733 Notice https://www.govinfo.gov/content/pkg/FR-2020-11-23/pdf/2020-25733.pdf Notice - 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-E https://regulations.justia.com/regulations/fedreg/2020/11/23/2020-25732.html https://regulations.justia.com/regulations/fedreg/2020/11/23/2020-25732.html Mon, 23 Nov 2020 00:00:00 -0800 2020-25732 Notice https://www.govinfo.gov/content/pkg/FR-2020-11-23/pdf/2020-25732.pdf Notice - 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 Volume https://regulations.justia.com/regulations/fedreg/2020/11/23/2020-25731.html https://regulations.justia.com/regulations/fedreg/2020/11/23/2020-25731.html Mon, 23 Nov 2020 00:00:00 -0800 2020-25731 Notice https://www.govinfo.gov/content/pkg/FR-2020-11-23/pdf/2020-25731.pdf Notice - 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 Volume https://regulations.justia.com/regulations/fedreg/2020/11/23/2020-25730.html https://regulations.justia.com/regulations/fedreg/2020/11/23/2020-25730.html Mon, 23 Nov 2020 00:00:00 -0800 2020-25730 Notice https://www.govinfo.gov/content/pkg/FR-2020-11-23/pdf/2020-25730.pdf Notice - 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 Volume https://regulations.justia.com/regulations/fedreg/2020/11/23/2020-25729.html https://regulations.justia.com/regulations/fedreg/2020/11/23/2020-25729.html Mon, 23 Nov 2020 00:00:00 -0800 2020-25729 Notice https://www.govinfo.gov/content/pkg/FR-2020-11-23/pdf/2020-25729.pdf Notice - 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 Orders https://regulations.justia.com/regulations/fedreg/2020/11/20/2020-25617.html https://regulations.justia.com/regulations/fedreg/2020/11/20/2020-25617.html Fri, 20 Nov 2020 00:00:00 -0800 2020-25617 Notice https://www.govinfo.gov/content/pkg/FR-2020-11-20/pdf/2020-25617.pdf Notice - 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 Brokers https://regulations.justia.com/regulations/fedreg/2020/11/20/2020-25616.html https://regulations.justia.com/regulations/fedreg/2020/11/20/2020-25616.html Fri, 20 Nov 2020 00:00:00 -0800 2020-25616 Notice https://www.govinfo.gov/content/pkg/FR-2020-11-20/pdf/2020-25616.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/2020/11/20/2020-25615.html https://regulations.justia.com/regulations/fedreg/2020/11/20/2020-25615.html Fri, 20 Nov 2020 00:00:00 -0800 2020-25615 Notice https://www.govinfo.gov/content/pkg/FR-2020-11-20/pdf/2020-25615.pdf Notice - 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-2018-06 https://regulations.justia.com/regulations/fedreg/2020/11/19/2020-25508.html https://regulations.justia.com/regulations/fedreg/2020/11/19/2020-25508.html Thu, 19 Nov 2020 00:00:00 -0800 2020-25508 Notice https://www.govinfo.gov/content/pkg/FR-2020-11-19/pdf/2020-25508.pdf Notice - 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-2018-044 https://regulations.justia.com/regulations/fedreg/2020/11/19/2020-25507.html https://regulations.justia.com/regulations/fedreg/2020/11/19/2020-25507.html Thu, 19 Nov 2020 00:00:00 -0800 2020-25507 Notice https://www.govinfo.gov/content/pkg/FR-2020-11-19/pdf/2020-25507.pdf Notice - 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-2018-02 https://regulations.justia.com/regulations/fedreg/2020/11/19/2020-25506.html https://regulations.justia.com/regulations/fedreg/2020/11/19/2020-25506.html Thu, 19 Nov 2020 00:00:00 -0800 2020-25506 Notice https://www.govinfo.gov/content/pkg/FR-2020-11-19/pdf/2020-25506.pdf Notice - Securities Exchange Act of 1934 https://regulations.justia.com/regulations/fedreg/2020/11/19/2020-25505.html https://regulations.justia.com/regulations/fedreg/2020/11/19/2020-25505.html Thu, 19 Nov 2020 00:00:00 -0800 2020-25505 Notice https://www.govinfo.gov/content/pkg/FR-2020-11-19/pdf/2020-25505.pdf Notice - 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-2019-01 https://regulations.justia.com/regulations/fedreg/2020/11/19/2020-25504.html https://regulations.justia.com/regulations/fedreg/2020/11/19/2020-25504.html Thu, 19 Nov 2020 00:00:00 -0800 2020-25504 Notice https://www.govinfo.gov/content/pkg/FR-2020-11-19/pdf/2020-25504.pdf Notice - Self-Regulatory Organizations; The Depository Trust Company; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the Reorganizations Service Guide https://regulations.justia.com/regulations/fedreg/2020/11/19/2020-25502.html https://regulations.justia.com/regulations/fedreg/2020/11/19/2020-25502.html Thu, 19 Nov 2020 00:00:00 -0800 2020-25502 Notice https://www.govinfo.gov/content/pkg/FR-2020-11-19/pdf/2020-25502.pdf Notice - 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 118 https://regulations.justia.com/regulations/fedreg/2020/11/19/2020-25501.html https://regulations.justia.com/regulations/fedreg/2020/11/19/2020-25501.html Thu, 19 Nov 2020 00:00:00 -0800 2020-25501 Notice https://www.govinfo.gov/content/pkg/FR-2020-11-19/pdf/2020-25501.pdf Notice - 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 Volume https://regulations.justia.com/regulations/fedreg/2020/11/19/2020-25500.html https://regulations.justia.com/regulations/fedreg/2020/11/19/2020-25500.html Thu, 19 Nov 2020 00:00:00 -0800 2020-25500 Notice https://www.govinfo.gov/content/pkg/FR-2020-11-19/pdf/2020-25500.pdf Notice - 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 Shares https://regulations.justia.com/regulations/fedreg/2020/11/19/2020-25499.html https://regulations.justia.com/regulations/fedreg/2020/11/19/2020-25499.html Thu, 19 Nov 2020 00:00:00 -0800 2020-25499 Notice https://www.govinfo.gov/content/pkg/FR-2020-11-19/pdf/2020-25499.pdf Notice - 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 Session https://regulations.justia.com/regulations/fedreg/2020/11/19/2020-25497.html https://regulations.justia.com/regulations/fedreg/2020/11/19/2020-25497.html Thu, 19 Nov 2020 00:00:00 -0800 2020-25497 Notice https://www.govinfo.gov/content/pkg/FR-2020-11-19/pdf/2020-25497.pdf Notice - 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 Session https://regulations.justia.com/regulations/fedreg/2020/11/19/2020-25496.html https://regulations.justia.com/regulations/fedreg/2020/11/19/2020-25496.html Thu, 19 Nov 2020 00:00:00 -0800 2020-25496 Notice https://www.govinfo.gov/content/pkg/FR-2020-11-19/pdf/2020-25496.pdf Notice - 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 Session https://regulations.justia.com/regulations/fedreg/2020/11/19/2020-25495.html https://regulations.justia.com/regulations/fedreg/2020/11/19/2020-25495.html Thu, 19 Nov 2020 00:00:00 -0800 2020-25495 Notice https://www.govinfo.gov/content/pkg/FR-2020-11-19/pdf/2020-25495.pdf Notice - 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 Session https://regulations.justia.com/regulations/fedreg/2020/11/19/2020-25494.html https://regulations.justia.com/regulations/fedreg/2020/11/19/2020-25494.html Thu, 19 Nov 2020 00:00:00 -0800 2020-25494 Notice https://www.govinfo.gov/content/pkg/FR-2020-11-19/pdf/2020-25494.pdf Notice - NB Crossroads Private Markets Access Fund LLC and Neuberger Berman Investment Advisers LLC https://regulations.justia.com/regulations/fedreg/2020/11/19/2020-25492.html https://regulations.justia.com/regulations/fedreg/2020/11/19/2020-25492.html Thu, 19 Nov 2020 00:00:00 -0800 2020-25492 Notice https://www.govinfo.gov/content/pkg/FR-2020-11-19/pdf/2020-25492.pdf Notice - Northern Funds and Northern Trust Investments, Inc. https://regulations.justia.com/regulations/fedreg/2020/11/19/2020-25491.html https://regulations.justia.com/regulations/fedreg/2020/11/19/2020-25491.html Thu, 19 Nov 2020 00:00:00 -0800 2020-25491 Notice https://www.govinfo.gov/content/pkg/FR-2020-11-19/pdf/2020-25491.pdf Rule - Fund of Funds Arrangements https://regulations.justia.com/regulations/fedreg/2020/11/19/2020-23355.html https://regulations.justia.com/regulations/fedreg/2020/11/19/2020-23355.html Thu, 19 Nov 2020 00:00:00 -0800 2020-23355 Rule https://www.govinfo.gov/content/pkg/FR-2020-11-19/pdf/2020-23355.pdf Notice - 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 Plan https://regulations.justia.com/regulations/fedreg/2020/11/18/2020-25441.html https://regulations.justia.com/regulations/fedreg/2020/11/18/2020-25441.html Wed, 18 Nov 2020 00:00:00 -0800 2020-25441 Notice https://www.govinfo.gov/content/pkg/FR-2020-11-18/pdf/2020-25441.pdf Notice - 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 Trail https://regulations.justia.com/regulations/fedreg/2020/11/18/2020-25393.html https://regulations.justia.com/regulations/fedreg/2020/11/18/2020-25393.html Wed, 18 Nov 2020 00:00:00 -0800 2020-25393 Notice https://www.govinfo.gov/content/pkg/FR-2020-11-18/pdf/2020-25393.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 Regarding the Amount of Rebates for Initiating a Complex Customer Best Execution Auction https://regulations.justia.com/regulations/fedreg/2020/11/18/2020-25392.html https://regulations.justia.com/regulations/fedreg/2020/11/18/2020-25392.html Wed, 18 Nov 2020 00:00:00 -0800 2020-25392 Notice https://www.govinfo.gov/content/pkg/FR-2020-11-18/pdf/2020-25392.pdf Notice - 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 Fee https://regulations.justia.com/regulations/fedreg/2020/11/18/2020-25391.html https://regulations.justia.com/regulations/fedreg/2020/11/18/2020-25391.html Wed, 18 Nov 2020 00:00:00 -0800 2020-25391 Notice https://www.govinfo.gov/content/pkg/FR-2020-11-18/pdf/2020-25391.pdf Notice - 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 Fee https://regulations.justia.com/regulations/fedreg/2020/11/18/2020-25390.html https://regulations.justia.com/regulations/fedreg/2020/11/18/2020-25390.html Wed, 18 Nov 2020 00:00:00 -0800 2020-25390 Notice https://www.govinfo.gov/content/pkg/FR-2020-11-18/pdf/2020-25390.pdf Notice - 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 Fee https://regulations.justia.com/regulations/fedreg/2020/11/18/2020-25389.html https://regulations.justia.com/regulations/fedreg/2020/11/18/2020-25389.html Wed, 18 Nov 2020 00:00:00 -0800 2020-25389 Notice https://www.govinfo.gov/content/pkg/FR-2020-11-18/pdf/2020-25389.pdf Notice - 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 Framework https://regulations.justia.com/regulations/fedreg/2020/11/18/2020-25388.html https://regulations.justia.com/regulations/fedreg/2020/11/18/2020-25388.html Wed, 18 Nov 2020 00:00:00 -0800 2020-25388 Notice https://www.govinfo.gov/content/pkg/FR-2020-11-18/pdf/2020-25388.pdf Notice - 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”) Options https://regulations.justia.com/regulations/fedreg/2020/11/18/2020-25385.html https://regulations.justia.com/regulations/fedreg/2020/11/18/2020-25385.html Wed, 18 Nov 2020 00:00:00 -0800 2020-25385 Notice https://www.govinfo.gov/content/pkg/FR-2020-11-18/pdf/2020-25385.pdf Notice - 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 Footnote https://regulations.justia.com/regulations/fedreg/2020/11/18/2020-25384.html https://regulations.justia.com/regulations/fedreg/2020/11/18/2020-25384.html Wed, 18 Nov 2020 00:00:00 -0800 2020-25384 Notice https://www.govinfo.gov/content/pkg/FR-2020-11-18/pdf/2020-25384.pdf Notice - 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 Procedures https://regulations.justia.com/regulations/fedreg/2020/11/18/2020-25383.html https://regulations.justia.com/regulations/fedreg/2020/11/18/2020-25383.html Wed, 18 Nov 2020 00:00:00 -0800 2020-25383 Notice https://www.govinfo.gov/content/pkg/FR-2020-11-18/pdf/2020-25383.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 https://regulations.justia.com/regulations/fedreg/2020/11/18/2020-25382.html https://regulations.justia.com/regulations/fedreg/2020/11/18/2020-25382.html Wed, 18 Nov 2020 00:00:00 -0800 2020-25382 Notice https://www.govinfo.gov/content/pkg/FR-2020-11-18/pdf/2020-25382.pdf Notice - 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 Facilities https://regulations.justia.com/regulations/fedreg/2020/11/18/2020-25381.html https://regulations.justia.com/regulations/fedreg/2020/11/18/2020-25381.html Wed, 18 Nov 2020 00:00:00 -0800 2020-25381 Notice https://www.govinfo.gov/content/pkg/FR-2020-11-18/pdf/2020-25381.pdf Notice - 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 4 https://regulations.justia.com/regulations/fedreg/2020/11/18/2020-25380.html https://regulations.justia.com/regulations/fedreg/2020/11/18/2020-25380.html Wed, 18 Nov 2020 00:00:00 -0800 2020-25380 Notice https://www.govinfo.gov/content/pkg/FR-2020-11-18/pdf/2020-25380.pdf Notice - Proposed Collection; Comment Request https://regulations.justia.com/regulations/fedreg/2020/11/18/2020-25356.html https://regulations.justia.com/regulations/fedreg/2020/11/18/2020-25356.html Wed, 18 Nov 2020 00:00:00 -0800 2020-25356 Notice https://www.govinfo.gov/content/pkg/FR-2020-11-18/pdf/2020-25356.pdf Notice - Proposed Collection; Comment Request https://regulations.justia.com/regulations/fedreg/2020/11/18/2020-25355.html https://regulations.justia.com/regulations/fedreg/2020/11/18/2020-25355.html Wed, 18 Nov 2020 00:00:00 -0800 2020-25355 Notice https://www.govinfo.gov/content/pkg/FR-2020-11-18/pdf/2020-25355.pdf Notice - Proposed Collection; Comment Request https://regulations.justia.com/regulations/fedreg/2020/11/18/2020-25354.html https://regulations.justia.com/regulations/fedreg/2020/11/18/2020-25354.html Wed, 18 Nov 2020 00:00:00 -0800 2020-25354 Notice https://www.govinfo.gov/content/pkg/FR-2020-11-18/pdf/2020-25354.pdf Notice - Submission for OMB Review; Comment Request https://regulations.justia.com/regulations/fedreg/2020/11/18/2020-25353.html https://regulations.justia.com/regulations/fedreg/2020/11/18/2020-25353.html Wed, 18 Nov 2020 00:00:00 -0800 2020-25353 Notice https://www.govinfo.gov/content/pkg/FR-2020-11-18/pdf/2020-25353.pdf Notice - Proposed Collection; Comment Request https://regulations.justia.com/regulations/fedreg/2020/11/18/2020-25352.html https://regulations.justia.com/regulations/fedreg/2020/11/18/2020-25352.html Wed, 18 Nov 2020 00:00:00 -0800 2020-25352 Notice https://www.govinfo.gov/content/pkg/FR-2020-11-18/pdf/2020-25352.pdf Notice - Proposed Collection for OMB Review; Comment Request https://regulations.justia.com/regulations/fedreg/2020/11/18/2020-25351.html https://regulations.justia.com/regulations/fedreg/2020/11/18/2020-25351.html Wed, 18 Nov 2020 00:00:00 -0800 2020-25351 Notice https://www.govinfo.gov/content/pkg/FR-2020-11-18/pdf/2020-25351.pdf Notice - Proposed Collection; Comment Request https://regulations.justia.com/regulations/fedreg/2020/11/18/2020-25350.html https://regulations.justia.com/regulations/fedreg/2020/11/18/2020-25350.html Wed, 18 Nov 2020 00:00:00 -0800 2020-25350 Notice https://www.govinfo.gov/content/pkg/FR-2020-11-18/pdf/2020-25350.pdf Notice - AdvisorShares Trust, et al. https://regulations.justia.com/regulations/fedreg/2020/11/17/2020-25329.html https://regulations.justia.com/regulations/fedreg/2020/11/17/2020-25329.html Tue, 17 Nov 2020 00:00:00 -0800 2020-25329 Notice https://www.govinfo.gov/content/pkg/FR-2020-11-17/pdf/2020-25329.pdf Notice - 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. https://regulations.justia.com/regulations/fedreg/2020/11/17/2020-25271.html https://regulations.justia.com/regulations/fedreg/2020/11/17/2020-25271.html Tue, 17 Nov 2020 00:00:00 -0800 2020-25271 Notice https://www.govinfo.gov/content/pkg/FR-2020-11-17/pdf/2020-25271.pdf Notice - Self-Regulatory Organizations; The Nasdaq Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Rules 4613, 4702, and 4703 https://regulations.justia.com/regulations/fedreg/2020/11/17/2020-25270.html https://regulations.justia.com/regulations/fedreg/2020/11/17/2020-25270.html Tue, 17 Nov 2020 00:00:00 -0800 2020-25270 Notice https://www.govinfo.gov/content/pkg/FR-2020-11-17/pdf/2020-25270.pdf Notice - 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-Laws https://regulations.justia.com/regulations/fedreg/2020/11/17/2020-25269.html https://regulations.justia.com/regulations/fedreg/2020/11/17/2020-25269.html Tue, 17 Nov 2020 00:00:00 -0800 2020-25269 Notice https://www.govinfo.gov/content/pkg/FR-2020-11-17/pdf/2020-25269.pdf Notice - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing of Proposed Rule Change to Amend Rules 7.35 and 7.35A https://regulations.justia.com/regulations/fedreg/2020/11/17/2020-25268.html https://regulations.justia.com/regulations/fedreg/2020/11/17/2020-25268.html Tue, 17 Nov 2020 00:00:00 -0800 2020-25268 Notice https://www.govinfo.gov/content/pkg/FR-2020-11-17/pdf/2020-25268.pdf Notice - 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 Approval https://regulations.justia.com/regulations/fedreg/2020/11/17/2020-25267.html https://regulations.justia.com/regulations/fedreg/2020/11/17/2020-25267.html Tue, 17 Nov 2020 00:00:00 -0800 2020-25267 Notice https://www.govinfo.gov/content/pkg/FR-2020-11-17/pdf/2020-25267.pdf Notice - 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-Laws https://regulations.justia.com/regulations/fedreg/2020/11/17/2020-25266.html https://regulations.justia.com/regulations/fedreg/2020/11/17/2020-25266.html Tue, 17 Nov 2020 00:00:00 -0800 2020-25266 Notice https://www.govinfo.gov/content/pkg/FR-2020-11-17/pdf/2020-25266.pdf Notice - 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-Laws https://regulations.justia.com/regulations/fedreg/2020/11/17/2020-25264.html https://regulations.justia.com/regulations/fedreg/2020/11/17/2020-25264.html Tue, 17 Nov 2020 00:00:00 -0800 2020-25264 Notice https://www.govinfo.gov/content/pkg/FR-2020-11-17/pdf/2020-25264.pdf Notice - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Its Price List https://regulations.justia.com/regulations/fedreg/2020/11/17/2020-25263.html https://regulations.justia.com/regulations/fedreg/2020/11/17/2020-25263.html Tue, 17 Nov 2020 00:00:00 -0800 2020-25263 Notice https://www.govinfo.gov/content/pkg/FR-2020-11-17/pdf/2020-25263.pdf Notice - Submission for OMB Review; Comment Request https://regulations.justia.com/regulations/fedreg/2020/11/17/2020-25256.html https://regulations.justia.com/regulations/fedreg/2020/11/17/2020-25256.html Tue, 17 Nov 2020 00:00:00 -0800 2020-25256 Notice https://www.govinfo.gov/content/pkg/FR-2020-11-17/pdf/2020-25256.pdf Notice - Submission for OMB Review; Comment Request https://regulations.justia.com/regulations/fedreg/2020/11/17/2020-25255.html https://regulations.justia.com/regulations/fedreg/2020/11/17/2020-25255.html Tue, 17 Nov 2020 00:00:00 -0800 2020-25255 Notice https://www.govinfo.gov/content/pkg/FR-2020-11-17/pdf/2020-25255.pdf Notice - Submission for OMB Review; Comment Request https://regulations.justia.com/regulations/fedreg/2020/11/17/2020-25253.html https://regulations.justia.com/regulations/fedreg/2020/11/17/2020-25253.html Tue, 17 Nov 2020 00:00:00 -0800 2020-25253 Notice https://www.govinfo.gov/content/pkg/FR-2020-11-17/pdf/2020-25253.pdf Notice - Submission for OMB Review; Comment Request https://regulations.justia.com/regulations/fedreg/2020/11/17/2020-25251.html https://regulations.justia.com/regulations/fedreg/2020/11/17/2020-25251.html Tue, 17 Nov 2020 00:00:00 -0800 2020-25251 Notice https://www.govinfo.gov/content/pkg/FR-2020-11-17/pdf/2020-25251.pdf Notice - Submission for OMB Review; Comment Request https://regulations.justia.com/regulations/fedreg/2020/11/17/2020-25248.html https://regulations.justia.com/regulations/fedreg/2020/11/17/2020-25248.html Tue, 17 Nov 2020 00:00:00 -0800 2020-25248 Notice https://www.govinfo.gov/content/pkg/FR-2020-11-17/pdf/2020-25248.pdf Notice - 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 XV https://regulations.justia.com/regulations/fedreg/2020/11/16/2020-25202.html https://regulations.justia.com/regulations/fedreg/2020/11/16/2020-25202.html Mon, 16 Nov 2020 00:00:00 -0800 2020-25202 Notice https://www.govinfo.gov/content/pkg/FR-2020-11-16/pdf/2020-25202.pdf Notice - Self-Regulatory Organizations; Cboe BZX 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/2020/11/16/2020-25182.html https://regulations.justia.com/regulations/fedreg/2020/11/16/2020-25182.html Mon, 16 Nov 2020 00:00:00 -0800 2020-25182 Notice https://www.govinfo.gov/content/pkg/FR-2020-11-16/pdf/2020-25182.pdf Notice - 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 Schedule https://regulations.justia.com/regulations/fedreg/2020/11/16/2020-25181.html https://regulations.justia.com/regulations/fedreg/2020/11/16/2020-25181.html Mon, 16 Nov 2020 00:00:00 -0800 2020-25181 Notice https://www.govinfo.gov/content/pkg/FR-2020-11-16/pdf/2020-25181.pdf Notice - 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 Mechanism https://regulations.justia.com/regulations/fedreg/2020/11/16/2020-25180.html https://regulations.justia.com/regulations/fedreg/2020/11/16/2020-25180.html Mon, 16 Nov 2020 00:00:00 -0800 2020-25180 Notice https://www.govinfo.gov/content/pkg/FR-2020-11-16/pdf/2020-25180.pdf Notice - 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 BX https://regulations.justia.com/regulations/fedreg/2020/11/16/2020-25179.html https://regulations.justia.com/regulations/fedreg/2020/11/16/2020-25179.html Mon, 16 Nov 2020 00:00:00 -0800 2020-25179 Notice https://www.govinfo.gov/content/pkg/FR-2020-11-16/pdf/2020-25179.pdf Notice - 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 Requirement https://regulations.justia.com/regulations/fedreg/2020/11/16/2020-25178.html https://regulations.justia.com/regulations/fedreg/2020/11/16/2020-25178.html Mon, 16 Nov 2020 00:00:00 -0800 2020-25178 Notice https://www.govinfo.gov/content/pkg/FR-2020-11-16/pdf/2020-25178.pdf Notice - Sunshine Act Meetings https://regulations.justia.com/regulations/fedreg/2020/11/13/2020-25214.html https://regulations.justia.com/regulations/fedreg/2020/11/13/2020-25214.html Fri, 13 Nov 2020 00:00:00 -0800 2020-25214 Notice https://www.govinfo.gov/content/pkg/FR-2020-11-13/pdf/2020-25214.pdf Notice - 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 Order https://regulations.justia.com/regulations/fedreg/2020/11/13/2020-25166.html https://regulations.justia.com/regulations/fedreg/2020/11/13/2020-25166.html Fri, 13 Nov 2020 00:00:00 -0800 2020-25166 Notice https://www.govinfo.gov/content/pkg/FR-2020-11-13/pdf/2020-25166.pdf Notice - Upstart Holdings, Inc. https://regulations.justia.com/regulations/fedreg/2020/11/13/2020-25160.html https://regulations.justia.com/regulations/fedreg/2020/11/13/2020-25160.html Fri, 13 Nov 2020 00:00:00 -0800 2020-25160 Notice https://www.govinfo.gov/content/pkg/FR-2020-11-13/pdf/2020-25160.pdf Notice - Asset Management Advisory Committee https://regulations.justia.com/regulations/fedreg/2020/11/13/2020-25123.html https://regulations.justia.com/regulations/fedreg/2020/11/13/2020-25123.html Fri, 13 Nov 2020 00:00:00 -0800 2020-25123 Notice https://www.govinfo.gov/content/pkg/FR-2020-11-13/pdf/2020-25123.pdf Notice - Self-Regulatory Organizations; The Depository Trust Company; Order Approving a Proposed Rule Change To Amend Rule 4 https://regulations.justia.com/regulations/fedreg/2020/11/13/2020-25060.html https://regulations.justia.com/regulations/fedreg/2020/11/13/2020-25060.html Fri, 13 Nov 2020 00:00:00 -0800 2020-25060 Notice https://www.govinfo.gov/content/pkg/FR-2020-11-13/pdf/2020-25060.pdf Notice - 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 Broker https://regulations.justia.com/regulations/fedreg/2020/11/13/2020-25059.html https://regulations.justia.com/regulations/fedreg/2020/11/13/2020-25059.html Fri, 13 Nov 2020 00:00:00 -0800 2020-25059 Notice https://www.govinfo.gov/content/pkg/FR-2020-11-13/pdf/2020-25059.pdf Notice - 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 Affiliates https://regulations.justia.com/regulations/fedreg/2020/11/13/2020-25058.html https://regulations.justia.com/regulations/fedreg/2020/11/13/2020-25058.html Fri, 13 Nov 2020 00:00:00 -0800 2020-25058 Notice https://www.govinfo.gov/content/pkg/FR-2020-11-13/pdf/2020-25058.pdf Notice - 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 Affiliates https://regulations.justia.com/regulations/fedreg/2020/11/13/2020-25056.html https://regulations.justia.com/regulations/fedreg/2020/11/13/2020-25056.html Fri, 13 Nov 2020 00:00:00 -0800 2020-25056 Notice https://www.govinfo.gov/content/pkg/FR-2020-11-13/pdf/2020-25056.pdf Notice - Invesco Capital Management LLC, et al.; Notice of Application https://regulations.justia.com/regulations/fedreg/2020/11/13/2020-25050.html https://regulations.justia.com/regulations/fedreg/2020/11/13/2020-25050.html Fri, 13 Nov 2020 00:00:00 -0800 2020-25050 Notice https://www.govinfo.gov/content/pkg/FR-2020-11-13/pdf/2020-25050.pdf Notice - 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 Affiliates https://regulations.justia.com/regulations/fedreg/2020/11/12/2020-25057.html https://regulations.justia.com/regulations/fedreg/2020/11/12/2020-25057.html Thu, 12 Nov 2020 00:00:00 -0800 2020-25057 Notice https://www.govinfo.gov/content/pkg/FR-2020-11-12/pdf/2020-25057.pdf Notice - Self-Regulatory Organizations; The Depository Trust Company; Notice of No Objection To Advance Notice To Amend Rule 4 https://regulations.justia.com/regulations/fedreg/2020/11/12/2020-25006.html https://regulations.justia.com/regulations/fedreg/2020/11/12/2020-25006.html Thu, 12 Nov 2020 00:00:00 -0800 2020-25006 Notice https://www.govinfo.gov/content/pkg/FR-2020-11-12/pdf/2020-25006.pdf Notice - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing of Proposed Rule Change To Amend Rule 7.35C https://regulations.justia.com/regulations/fedreg/2020/11/12/2020-24986.html https://regulations.justia.com/regulations/fedreg/2020/11/12/2020-24986.html Thu, 12 Nov 2020 00:00:00 -0800 2020-24986 Notice https://www.govinfo.gov/content/pkg/FR-2020-11-12/pdf/2020-24986.pdf Notice - 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 1.1210 https://regulations.justia.com/regulations/fedreg/2020/11/12/2020-24967.html https://regulations.justia.com/regulations/fedreg/2020/11/12/2020-24967.html Thu, 12 Nov 2020 00:00:00 -0800 2020-24967 Notice https://www.govinfo.gov/content/pkg/FR-2020-11-12/pdf/2020-24967.pdf Notice - 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 Combination https://regulations.justia.com/regulations/fedreg/2020/11/12/2020-24966.html https://regulations.justia.com/regulations/fedreg/2020/11/12/2020-24966.html Thu, 12 Nov 2020 00:00:00 -0800 2020-24966 Notice https://www.govinfo.gov/content/pkg/FR-2020-11-12/pdf/2020-24966.pdf Notice - 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 ETPs https://regulations.justia.com/regulations/fedreg/2020/11/12/2020-24965.html https://regulations.justia.com/regulations/fedreg/2020/11/12/2020-24965.html Thu, 12 Nov 2020 00:00:00 -0800 2020-24965 Notice https://www.govinfo.gov/content/pkg/FR-2020-11-12/pdf/2020-24965.pdf Notice - 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 5704 https://regulations.justia.com/regulations/fedreg/2020/11/12/2020-24964.html https://regulations.justia.com/regulations/fedreg/2020/11/12/2020-24964.html Thu, 12 Nov 2020 00:00:00 -0800 2020-24964 Notice https://www.govinfo.gov/content/pkg/FR-2020-11-12/pdf/2020-24964.pdf Notice - 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 Makers https://regulations.justia.com/regulations/fedreg/2020/11/12/2020-24963.html https://regulations.justia.com/regulations/fedreg/2020/11/12/2020-24963.html Thu, 12 Nov 2020 00:00:00 -0800 2020-24963 Notice https://www.govinfo.gov/content/pkg/FR-2020-11-12/pdf/2020-24963.pdf Notice - 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 Tiers https://regulations.justia.com/regulations/fedreg/2020/11/12/2020-24962.html https://regulations.justia.com/regulations/fedreg/2020/11/12/2020-24962.html Thu, 12 Nov 2020 00:00:00 -0800 2020-24962 Notice https://www.govinfo.gov/content/pkg/FR-2020-11-12/pdf/2020-24962.pdf Notice - Arena Holdings Management LLC https://regulations.justia.com/regulations/fedreg/2020/11/12/2020-24956.html https://regulations.justia.com/regulations/fedreg/2020/11/12/2020-24956.html Thu, 12 Nov 2020 00:00:00 -0800 2020-24956 Notice https://www.govinfo.gov/content/pkg/FR-2020-11-12/pdf/2020-24956.pdf Notice - Notice of Intention To Cancel Registration Pursuant to the Investment Advisers Act of 1940 https://regulations.justia.com/regulations/fedreg/2020/11/10/2020-24938.html https://regulations.justia.com/regulations/fedreg/2020/11/10/2020-24938.html Tue, 10 Nov 2020 00:00:00 -0800 2020-24938 Notice https://www.govinfo.gov/content/pkg/FR-2020-11-10/pdf/2020-24938.pdf Notice - 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 Disclosure https://regulations.justia.com/regulations/fedreg/2020/11/10/2020-24889.html https://regulations.justia.com/regulations/fedreg/2020/11/10/2020-24889.html Tue, 10 Nov 2020 00:00:00 -0800 2020-24889 Notice https://www.govinfo.gov/content/pkg/FR-2020-11-10/pdf/2020-24889.pdf Notice - 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 Combinations https://regulations.justia.com/regulations/fedreg/2020/11/10/2020-24888.html https://regulations.justia.com/regulations/fedreg/2020/11/10/2020-24888.html Tue, 10 Nov 2020 00:00:00 -0800 2020-24888 Notice https://www.govinfo.gov/content/pkg/FR-2020-11-10/pdf/2020-24888.pdf Notice - 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 3 https://regulations.justia.com/regulations/fedreg/2020/11/10/2020-24887.html https://regulations.justia.com/regulations/fedreg/2020/11/10/2020-24887.html Tue, 10 Nov 2020 00:00:00 -0800 2020-24887 Notice https://www.govinfo.gov/content/pkg/FR-2020-11-10/pdf/2020-24887.pdf Notice - 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 Service https://regulations.justia.com/regulations/fedreg/2020/11/10/2020-24886.html https://regulations.justia.com/regulations/fedreg/2020/11/10/2020-24886.html Tue, 10 Nov 2020 00:00:00 -0800 2020-24886 Notice https://www.govinfo.gov/content/pkg/FR-2020-11-10/pdf/2020-24886.pdf Notice - 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 Tier https://regulations.justia.com/regulations/fedreg/2020/11/10/2020-24885.html https://regulations.justia.com/regulations/fedreg/2020/11/10/2020-24885.html Tue, 10 Nov 2020 00:00:00 -0800 2020-24885 Notice https://www.govinfo.gov/content/pkg/FR-2020-11-10/pdf/2020-24885.pdf Notice - 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 Migration https://regulations.justia.com/regulations/fedreg/2020/11/10/2020-24884.html https://regulations.justia.com/regulations/fedreg/2020/11/10/2020-24884.html Tue, 10 Nov 2020 00:00:00 -0800 2020-24884 Notice https://www.govinfo.gov/content/pkg/FR-2020-11-10/pdf/2020-24884.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/2020/11/10/2020-24883.html https://regulations.justia.com/regulations/fedreg/2020/11/10/2020-24883.html Tue, 10 Nov 2020 00:00:00 -0800 2020-24883 Notice https://www.govinfo.gov/content/pkg/FR-2020-11-10/pdf/2020-24883.pdf Notice - 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 Effected https://regulations.justia.com/regulations/fedreg/2020/11/10/2020-24882.html https://regulations.justia.com/regulations/fedreg/2020/11/10/2020-24882.html Tue, 10 Nov 2020 00:00:00 -0800 2020-24882 Notice https://www.govinfo.gov/content/pkg/FR-2020-11-10/pdf/2020-24882.pdf Notice - Public Availability of the Securities and Exchange Commission's FY 2016 and FY 2017 Service Contract Inventory https://regulations.justia.com/regulations/fedreg/2020/11/10/2020-24880.html https://regulations.justia.com/regulations/fedreg/2020/11/10/2020-24880.html Tue, 10 Nov 2020 00:00:00 -0800 2020-24880 Notice https://www.govinfo.gov/content/pkg/FR-2020-11-10/pdf/2020-24880.pdf Notice - Principal Diversified Select Real Asset Fund, et al. https://regulations.justia.com/regulations/fedreg/2020/11/10/2020-24879.html https://regulations.justia.com/regulations/fedreg/2020/11/10/2020-24879.html Tue, 10 Nov 2020 00:00:00 -0800 2020-24879 Notice https://www.govinfo.gov/content/pkg/FR-2020-11-10/pdf/2020-24879.pdf Notice - Investor Advisory Committee Meeting https://regulations.justia.com/regulations/fedreg/2020/11/09/2020-24846.html https://regulations.justia.com/regulations/fedreg/2020/11/09/2020-24846.html Mon, 09 Nov 2020 00:00:00 -0800 2020-24846 Notice https://www.govinfo.gov/content/pkg/FR-2020-11-09/pdf/2020-24846.pdf Notice - Proposed Collection; Comment Request https://regulations.justia.com/regulations/fedreg/2020/11/09/2020-24844.html https://regulations.justia.com/regulations/fedreg/2020/11/09/2020-24844.html Mon, 09 Nov 2020 00:00:00 -0800 2020-24844 Notice https://www.govinfo.gov/content/pkg/FR-2020-11-09/pdf/2020-24844.pdf Notice - Proposed Collection; Comment Request https://regulations.justia.com/regulations/fedreg/2020/11/09/2020-24843.html https://regulations.justia.com/regulations/fedreg/2020/11/09/2020-24843.html Mon, 09 Nov 2020 00:00:00 -0800 2020-24843 Notice https://www.govinfo.gov/content/pkg/FR-2020-11-09/pdf/2020-24843.pdf Notice - Submission for OMB Review; Comment Request https://regulations.justia.com/regulations/fedreg/2020/11/09/2020-24842.html https://regulations.justia.com/regulations/fedreg/2020/11/09/2020-24842.html Mon, 09 Nov 2020 00:00:00 -0800 2020-24842 Notice https://www.govinfo.gov/content/pkg/FR-2020-11-09/pdf/2020-24842.pdf Notice - Proposed Collection; Comment Request https://regulations.justia.com/regulations/fedreg/2020/11/09/2020-24841.html https://regulations.justia.com/regulations/fedreg/2020/11/09/2020-24841.html Mon, 09 Nov 2020 00:00:00 -0800 2020-24841 Notice https://www.govinfo.gov/content/pkg/FR-2020-11-09/pdf/2020-24841.pdf Notice - Submission for OMB Review; Comment Request https://regulations.justia.com/regulations/fedreg/2020/11/09/2020-24840.html https://regulations.justia.com/regulations/fedreg/2020/11/09/2020-24840.html Mon, 09 Nov 2020 00:00:00 -0800 2020-24840 Notice https://www.govinfo.gov/content/pkg/FR-2020-11-09/pdf/2020-24840.pdf Notice - Submission for OMB Review; Comment Request https://regulations.justia.com/regulations/fedreg/2020/11/09/2020-24839.html https://regulations.justia.com/regulations/fedreg/2020/11/09/2020-24839.html Mon, 09 Nov 2020 00:00:00 -0800 2020-24839 Notice https://www.govinfo.gov/content/pkg/FR-2020-11-09/pdf/2020-24839.pdf Notice - Submission for OMB Review; Comment Request https://regulations.justia.com/regulations/fedreg/2020/11/09/2020-24838.html https://regulations.justia.com/regulations/fedreg/2020/11/09/2020-24838.html Mon, 09 Nov 2020 00:00:00 -0800 2020-24838 Notice https://www.govinfo.gov/content/pkg/FR-2020-11-09/pdf/2020-24838.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 the Exchange's Co-Location Services To Establish Procedures for the Allocation of Cabinets to Its Co-Located Users https://regulations.justia.com/regulations/fedreg/2020/11/09/2020-24792.html https://regulations.justia.com/regulations/fedreg/2020/11/09/2020-24792.html Mon, 09 Nov 2020 00:00:00 -0800 2020-24792 Notice https://www.govinfo.gov/content/pkg/FR-2020-11-09/pdf/2020-24792.pdf Notice - 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 Users https://regulations.justia.com/regulations/fedreg/2020/11/09/2020-24791.html https://regulations.justia.com/regulations/fedreg/2020/11/09/2020-24791.html Mon, 09 Nov 2020 00:00:00 -0800 2020-24791 Notice https://www.govinfo.gov/content/pkg/FR-2020-11-09/pdf/2020-24791.pdf Notice - 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 Users https://regulations.justia.com/regulations/fedreg/2020/11/09/2020-24790.html https://regulations.justia.com/regulations/fedreg/2020/11/09/2020-24790.html Mon, 09 Nov 2020 00:00:00 -0800 2020-24790 Notice https://www.govinfo.gov/content/pkg/FR-2020-11-09/pdf/2020-24790.pdf Notice - 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 Users https://regulations.justia.com/regulations/fedreg/2020/11/09/2020-24789.html https://regulations.justia.com/regulations/fedreg/2020/11/09/2020-24789.html Mon, 09 Nov 2020 00:00:00 -0800 2020-24789 Notice https://www.govinfo.gov/content/pkg/FR-2020-11-09/pdf/2020-24789.pdf Notice - 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 Users https://regulations.justia.com/regulations/fedreg/2020/11/09/2020-24788.html https://regulations.justia.com/regulations/fedreg/2020/11/09/2020-24788.html Mon, 09 Nov 2020 00:00:00 -0800 2020-24788 Notice https://www.govinfo.gov/content/pkg/FR-2020-11-09/pdf/2020-24788.pdf Notice - 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-Laws https://regulations.justia.com/regulations/fedreg/2020/11/09/2020-24787.html https://regulations.justia.com/regulations/fedreg/2020/11/09/2020-24787.html Mon, 09 Nov 2020 00:00:00 -0800 2020-24787 Notice https://www.govinfo.gov/content/pkg/FR-2020-11-09/pdf/2020-24787.pdf Notice - 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-E https://regulations.justia.com/regulations/fedreg/2020/11/09/2020-24786.html https://regulations.justia.com/regulations/fedreg/2020/11/09/2020-24786.html Mon, 09 Nov 2020 00:00:00 -0800 2020-24786 Notice https://www.govinfo.gov/content/pkg/FR-2020-11-09/pdf/2020-24786.pdf Notice - 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 Changes https://regulations.justia.com/regulations/fedreg/2020/11/09/2020-24785.html https://regulations.justia.com/regulations/fedreg/2020/11/09/2020-24785.html Mon, 09 Nov 2020 00:00:00 -0800 2020-24785 Notice https://www.govinfo.gov/content/pkg/FR-2020-11-09/pdf/2020-24785.pdf Notice - 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 Instruction https://regulations.justia.com/regulations/fedreg/2020/11/09/2020-24784.html https://regulations.justia.com/regulations/fedreg/2020/11/09/2020-24784.html Mon, 09 Nov 2020 00:00:00 -0800 2020-24784 Notice https://www.govinfo.gov/content/pkg/FR-2020-11-09/pdf/2020-24784.pdf Notice - 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 Plan https://regulations.justia.com/regulations/fedreg/2020/11/09/2020-24783.html https://regulations.justia.com/regulations/fedreg/2020/11/09/2020-24783.html Mon, 09 Nov 2020 00:00:00 -0800 2020-24783 Notice https://www.govinfo.gov/content/pkg/FR-2020-11-09/pdf/2020-24783.pdf Notice - Sunshine Act Meeting; Cancellation https://regulations.justia.com/regulations/fedreg/2020/11/06/2020-24811.html https://regulations.justia.com/regulations/fedreg/2020/11/06/2020-24811.html Fri, 06 Nov 2020 00:00:00 -0800 2020-24811 Notice https://www.govinfo.gov/content/pkg/FR-2020-11-06/pdf/2020-24811.pdf Notice - Self-Regulatory Organizations; NYSE National, Inc.; Notice of Filing of Proposed Rule Change To Amend Rule 7.31 https://regulations.justia.com/regulations/fedreg/2020/11/06/2020-24635.html https://regulations.justia.com/regulations/fedreg/2020/11/06/2020-24635.html Fri, 06 Nov 2020 00:00:00 -0800 2020-24635 Notice https://www.govinfo.gov/content/pkg/FR-2020-11-06/pdf/2020-24635.pdf Notice - Self-Regulatory Organizations; NYSE Chicago, Inc.; Notice of Filing of Proposed Rule Change To Amend Rule 7.31 https://regulations.justia.com/regulations/fedreg/2020/11/06/2020-24634.html https://regulations.justia.com/regulations/fedreg/2020/11/06/2020-24634.html Fri, 06 Nov 2020 00:00:00 -0800 2020-24634 Notice https://www.govinfo.gov/content/pkg/FR-2020-11-06/pdf/2020-24634.pdf Notice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing of Proposed Rule Change To Amend Rule 7.31-E https://regulations.justia.com/regulations/fedreg/2020/11/06/2020-24633.html https://regulations.justia.com/regulations/fedreg/2020/11/06/2020-24633.html Fri, 06 Nov 2020 00:00:00 -0800 2020-24633 Notice https://www.govinfo.gov/content/pkg/FR-2020-11-06/pdf/2020-24633.pdf Notice - Self-Regulatory Organizations; NYSE American LLC; Notice of Filing of Proposed Rule Change To Amend Rule 7.31E https://regulations.justia.com/regulations/fedreg/2020/11/06/2020-24632.html https://regulations.justia.com/regulations/fedreg/2020/11/06/2020-24632.html Fri, 06 Nov 2020 00:00:00 -0800 2020-24632 Notice https://www.govinfo.gov/content/pkg/FR-2020-11-06/pdf/2020-24632.pdf Notice - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing of Proposed Rule Change To Amend Rule 7.31 https://regulations.justia.com/regulations/fedreg/2020/11/06/2020-24631.html https://regulations.justia.com/regulations/fedreg/2020/11/06/2020-24631.html Fri, 06 Nov 2020 00:00:00 -0800 2020-24631 Notice https://www.govinfo.gov/content/pkg/FR-2020-11-06/pdf/2020-24631.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/2020/11/06/2020-24630.html https://regulations.justia.com/regulations/fedreg/2020/11/06/2020-24630.html Fri, 06 Nov 2020 00:00:00 -0800 2020-24630 Notice https://www.govinfo.gov/content/pkg/FR-2020-11-06/pdf/2020-24630.pdf Notice - 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 Requirements https://regulations.justia.com/regulations/fedreg/2020/11/06/2020-24629.html https://regulations.justia.com/regulations/fedreg/2020/11/06/2020-24629.html Fri, 06 Nov 2020 00:00:00 -0800 2020-24629 Notice https://www.govinfo.gov/content/pkg/FR-2020-11-06/pdf/2020-24629.pdf Notice - Sunshine Act Meetings https://regulations.justia.com/regulations/fedreg/2020/11/05/2020-24772.html https://regulations.justia.com/regulations/fedreg/2020/11/05/2020-24772.html Thu, 05 Nov 2020 00:00:00 -0800 2020-24772 Notice https://www.govinfo.gov/content/pkg/FR-2020-11-05/pdf/2020-24772.pdf Notice - Sunshine Act Meeting; Cancellation https://regulations.justia.com/regulations/fedreg/2020/11/05/2020-24665.html https://regulations.justia.com/regulations/fedreg/2020/11/05/2020-24665.html Thu, 05 Nov 2020 00:00:00 -0800 2020-24665 Notice https://www.govinfo.gov/content/pkg/FR-2020-11-05/pdf/2020-24665.pdf Notice - 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 Swaps https://regulations.justia.com/regulations/fedreg/2020/11/05/2020-24612.html https://regulations.justia.com/regulations/fedreg/2020/11/05/2020-24612.html Thu, 05 Nov 2020 00:00:00 -0800 2020-24612 Notice https://www.govinfo.gov/content/pkg/FR-2020-11-05/pdf/2020-24612.pdf Notice - 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 Participants https://regulations.justia.com/regulations/fedreg/2020/11/05/2020-24598.html https://regulations.justia.com/regulations/fedreg/2020/11/05/2020-24598.html Thu, 05 Nov 2020 00:00:00 -0800 2020-24598 Notice https://www.govinfo.gov/content/pkg/FR-2020-11-05/pdf/2020-24598.pdf Notice - 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) https://regulations.justia.com/regulations/fedreg/2020/11/05/2020-24501.html https://regulations.justia.com/regulations/fedreg/2020/11/05/2020-24501.html Thu, 05 Nov 2020 00:00:00 -0800 2020-24501 Notice https://www.govinfo.gov/content/pkg/FR-2020-11-05/pdf/2020-24501.pdf Notice - Self-Regulatory Organizations; ICE Clear Europe Limited; Notice of Filing of Proposed Rule Change Relating to the ICE Clear Europe Investment Management Procedures https://regulations.justia.com/regulations/fedreg/2020/11/05/2020-24500.html https://regulations.justia.com/regulations/fedreg/2020/11/05/2020-24500.html Thu, 05 Nov 2020 00:00:00 -0800 2020-24500 Notice https://www.govinfo.gov/content/pkg/FR-2020-11-05/pdf/2020-24500.pdf Notice - Self-Regulatory Organizations; ICE Clear Credit LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to ICC's Fee Schedule https://regulations.justia.com/regulations/fedreg/2020/11/05/2020-24498.html https://regulations.justia.com/regulations/fedreg/2020/11/05/2020-24498.html Thu, 05 Nov 2020 00:00:00 -0800 2020-24498 Notice https://www.govinfo.gov/content/pkg/FR-2020-11-05/pdf/2020-24498.pdf Notice - 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 Company https://regulations.justia.com/regulations/fedreg/2020/11/05/2020-24497.html https://regulations.justia.com/regulations/fedreg/2020/11/05/2020-24497.html Thu, 05 Nov 2020 00:00:00 -0800 2020-24497 Notice https://www.govinfo.gov/content/pkg/FR-2020-11-05/pdf/2020-24497.pdf Notice - 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 Shares https://regulations.justia.com/regulations/fedreg/2020/11/05/2020-24496.html https://regulations.justia.com/regulations/fedreg/2020/11/05/2020-24496.html Thu, 05 Nov 2020 00:00:00 -0800 2020-24496 Notice https://www.govinfo.gov/content/pkg/FR-2020-11-05/pdf/2020-24496.pdf Notice - 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 Securities https://regulations.justia.com/regulations/fedreg/2020/11/05/2020-24495.html https://regulations.justia.com/regulations/fedreg/2020/11/05/2020-24495.html Thu, 05 Nov 2020 00:00:00 -0800 2020-24495 Notice https://www.govinfo.gov/content/pkg/FR-2020-11-05/pdf/2020-24495.pdf Proposed Rule - Portfolio Margining of Uncleared Swaps and Non-Cleared Security-Based Swaps https://regulations.justia.com/regulations/fedreg/2020/11/05/2020-23928.html https://regulations.justia.com/regulations/fedreg/2020/11/05/2020-23928.html Thu, 05 Nov 2020 00:00:00 -0800 2020-23928 Proposed Rule https://www.govinfo.gov/content/pkg/FR-2020-11-05/pdf/2020-23928.pdf Rule - Whistleblower Program Rules https://regulations.justia.com/regulations/fedreg/2020/11/05/2020-21444.html https://regulations.justia.com/regulations/fedreg/2020/11/05/2020-21444.html Thu, 05 Nov 2020 00:00:00 -0800 2020-21444 Rule https://www.govinfo.gov/content/pkg/FR-2020-11-05/pdf/2020-21444.pdf Proposed 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 Advertisements https://regulations.justia.com/regulations/fedreg/2020/11/05/2020-17449.html https://regulations.justia.com/regulations/fedreg/2020/11/05/2020-17449.html Thu, 05 Nov 2020 00:00:00 -0800 2020-17449 Proposed Rule https://www.govinfo.gov/content/pkg/FR-2020-11-05/pdf/2020-17449.pdf Notice - Sunshine Act Meetings https://regulations.justia.com/regulations/fedreg/2020/11/04/2020-24613.html https://regulations.justia.com/regulations/fedreg/2020/11/04/2020-24613.html Wed, 04 Nov 2020 00:00:00 -0800 2020-24613 Notice https://www.govinfo.gov/content/pkg/FR-2020-11-04/pdf/2020-24613.pdf Notice - Notice of Applications for Deregistration Under Section 8(f) of the Investment Company Act of 1940 https://regulations.justia.com/regulations/fedreg/2020/11/04/2020-24481.html https://regulations.justia.com/regulations/fedreg/2020/11/04/2020-24481.html Wed, 04 Nov 2020 00:00:00 -0800 2020-24481 Notice https://www.govinfo.gov/content/pkg/FR-2020-11-04/pdf/2020-24481.pdf Notice - First Eagle Credit Opportunities Fund, et al. https://regulations.justia.com/regulations/fedreg/2020/11/04/2020-24469.html https://regulations.justia.com/regulations/fedreg/2020/11/04/2020-24469.html Wed, 04 Nov 2020 00:00:00 -0800 2020-24469 Notice https://www.govinfo.gov/content/pkg/FR-2020-11-04/pdf/2020-24469.pdf Notice - New York Life Insurance and Annuity Corporation, et al; Notice of Application https://regulations.justia.com/regulations/fedreg/2020/11/04/2020-24449.html https://regulations.justia.com/regulations/fedreg/2020/11/04/2020-24449.html Wed, 04 Nov 2020 00:00:00 -0800 2020-24449 Notice https://www.govinfo.gov/content/pkg/FR-2020-11-04/pdf/2020-24449.pdf Notice - 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 Shares https://regulations.justia.com/regulations/fedreg/2020/11/04/2020-24377.html https://regulations.justia.com/regulations/fedreg/2020/11/04/2020-24377.html Wed, 04 Nov 2020 00:00:00 -0800 2020-24377 Notice https://www.govinfo.gov/content/pkg/FR-2020-11-04/pdf/2020-24377.pdf Rule - Procedural Requirements and Resubmission Thresholds Under Exchange Act Rule 14a-8 https://regulations.justia.com/regulations/fedreg/2020/11/04/2020-21580.html https://regulations.justia.com/regulations/fedreg/2020/11/04/2020-21580.html Wed, 04 Nov 2020 00:00:00 -0800 2020-21580 Rule https://www.govinfo.gov/content/pkg/FR-2020-11-04/pdf/2020-21580.pdf Notice - Sunshine Act Meetings https://regulations.justia.com/regulations/fedreg/2020/11/03/2020-24490.html https://regulations.justia.com/regulations/fedreg/2020/11/03/2020-24490.html Tue, 03 Nov 2020 00:00:00 -0800 2020-24490 Notice https://www.govinfo.gov/content/pkg/FR-2020-11-03/pdf/2020-24490.pdf Notice - 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 Options https://regulations.justia.com/regulations/fedreg/2020/11/03/2020-24270.html https://regulations.justia.com/regulations/fedreg/2020/11/03/2020-24270.html Tue, 03 Nov 2020 00:00:00 -0800 2020-24270 Notice https://www.govinfo.gov/content/pkg/FR-2020-11-03/pdf/2020-24270.pdf Notice - 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 Exchange https://regulations.justia.com/regulations/fedreg/2020/11/03/2020-24269.html https://regulations.justia.com/regulations/fedreg/2020/11/03/2020-24269.html Tue, 03 Nov 2020 00:00:00 -0800 2020-24269 Notice https://www.govinfo.gov/content/pkg/FR-2020-11-03/pdf/2020-24269.pdf Notice - 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 Securities https://regulations.justia.com/regulations/fedreg/2020/11/03/2020-24268.html https://regulations.justia.com/regulations/fedreg/2020/11/03/2020-24268.html Tue, 03 Nov 2020 00:00:00 -0800 2020-24268 Notice https://www.govinfo.gov/content/pkg/FR-2020-11-03/pdf/2020-24268.pdf Rule - Adoption of Updated EDGAR Filer Manual https://regulations.justia.com/regulations/fedreg/2020/11/03/2020-22391.html https://regulations.justia.com/regulations/fedreg/2020/11/03/2020-22391.html Tue, 03 Nov 2020 00:00:00 -0800 2020-22391 Rule https://www.govinfo.gov/content/pkg/FR-2020-11-03/pdf/2020-22391.pdf Notice - Sunshine Act Meetings https://regulations.justia.com/regulations/fedreg/2020/11/02/2020-24286.html https://regulations.justia.com/regulations/fedreg/2020/11/02/2020-24286.html Mon, 02 Nov 2020 00:00:00 -0800 2020-24286 Notice https://www.govinfo.gov/content/pkg/FR-2020-11-02/pdf/2020-24286.pdf Notice - Sunshine Act Meetings https://regulations.justia.com/regulations/fedreg/2020/11/02/2020-24285.html https://regulations.justia.com/regulations/fedreg/2020/11/02/2020-24285.html Mon, 02 Nov 2020 00:00:00 -0800 2020-24285 Notice https://www.govinfo.gov/content/pkg/FR-2020-11-02/pdf/2020-24285.pdf Notice - Fixed Income Market Structure Advisory Committee https://regulations.justia.com/regulations/fedreg/2020/11/02/2020-24168.html https://regulations.justia.com/regulations/fedreg/2020/11/02/2020-24168.html Mon, 02 Nov 2020 00:00:00 -0800 2020-24168 Notice https://www.govinfo.gov/content/pkg/FR-2020-11-02/pdf/2020-24168.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 Establish Market Data Fees https://regulations.justia.com/regulations/fedreg/2020/11/02/2020-24162.html https://regulations.justia.com/regulations/fedreg/2020/11/02/2020-24162.html Mon, 02 Nov 2020 00:00:00 -0800 2020-24162 Notice https://www.govinfo.gov/content/pkg/FR-2020-11-02/pdf/2020-24162.pdf Notice - Investment Managers Series Trust II and AXS Investments LLC https://regulations.justia.com/regulations/fedreg/2020/11/02/2020-24160.html https://regulations.justia.com/regulations/fedreg/2020/11/02/2020-24160.html Mon, 02 Nov 2020 00:00:00 -0800 2020-24160 Notice https://www.govinfo.gov/content/pkg/FR-2020-11-02/pdf/2020-24160.pdf