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?limit=200®isters=between&min-day=1&min-month=1&max-day=31&max-month=12&mode=atom2024-04-25T01:14:19-07:00Justia Inchttps://www.justia.com/Justia Regulations Trackerhttps://regulations.justia.com/images/justiafedregulations.gifCopyright 2011 Justia Inchttps://regulations.justia.com/regulations/fedreg/2020/12/31/2020-21781.htmlProposed Rule - Regulation ATS for ATSs That Trade U.S. Government Securities, NMS Stock, and Other Securities; Regulation SCI for ATSs That Trade U.S. Treasury Securities and Agency Securities; and Electronic Corporate Bond and Municipal Securities Markets2020-12-31T00:00:00-08:002020-12-31T00:00:00-08:002020-21781Proposed Rulehttps://www.govinfo.gov/content/pkg/FR-2020-12-31/pdf/2020-21781.pdfhttps://regulations.justia.com/regulations/fedreg/2020/12/30/2020-28896.htmlNotice - Self-Regulatory Organizations; BOX Exchange LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the Rule 16000 Series2020-12-30T00:00:00-08:002020-12-30T00:00:00-08:002020-28896Noticehttps://www.govinfo.gov/content/pkg/FR-2020-12-30/pdf/2020-28896.pdfhttps://regulations.justia.com/regulations/fedreg/2020/12/30/2020-28895.htmlNotice - Self-Regulatory Organizations; The Options Clearing Corporation; Order Approving Proposed Rule Change To Adopt the OCC Third-Party Risk Management Framework and Retire the OCC Counterparty Credit Risk Management Framework2020-12-30T00:00:00-08:002020-12-30T00:00:00-08:002020-28895Noticehttps://www.govinfo.gov/content/pkg/FR-2020-12-30/pdf/2020-28895.pdfhttps://regulations.justia.com/regulations/fedreg/2020/12/30/2020-28894.htmlNotice - Self-Regulatory Organizations; Nasdaq BX, Inc.; Notice of Designation of a Longer Period for Commission Action on a 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 BX2020-12-30T00:00:00-08:002020-12-30T00:00:00-08:002020-28894Noticehttps://www.govinfo.gov/content/pkg/FR-2020-12-30/pdf/2020-28894.pdfhttps://regulations.justia.com/regulations/fedreg/2020/12/30/2020-28893.htmlNotice - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Extend the Temporary Period for Specified Commentaries to Rules 7.35, 7.35A, 7.35B, and 7.35C and Temporary Rule Relief in Rule 36.302020-12-30T00:00:00-08:002020-12-30T00:00:00-08:002020-28893Noticehttps://www.govinfo.gov/content/pkg/FR-2020-12-30/pdf/2020-28893.pdfhttps://regulations.justia.com/regulations/fedreg/2020/12/30/2020-28892.htmlNotice - Self-Regulatory Organizations; Fixed Income Clearing Corporation; Notice of Designation of Longer Period for Commission Action and Longer Period for Comment on Proposed Rule Change To Modify the Calculation of the MBSD VaR Floor To Incorporate a Minimum Margin Amount2020-12-30T00:00:00-08:002020-12-30T00:00:00-08:002020-28892Noticehttps://www.govinfo.gov/content/pkg/FR-2020-12-30/pdf/2020-28892.pdfhttps://regulations.justia.com/regulations/fedreg/2020/12/30/2020-28891.htmlNotice - Self-Regulatory Organizations; The Nasdaq Stock Market LLC; Notice of Filing of Proposed Rule Change To Amend Equity 4, Section 47032020-12-30T00:00:00-08:002020-12-30T00:00:00-08:002020-28891Noticehttps://www.govinfo.gov/content/pkg/FR-2020-12-30/pdf/2020-28891.pdfhttps://regulations.justia.com/regulations/fedreg/2020/12/30/2020-28890.htmlNotice - Self-Regulatory Organizations; BOX Exchange LLC; Notice of Filing of Proposed Rule Change To Amend BOX Rule 7620 (Accommodation Transactions)2020-12-30T00:00:00-08:002020-12-30T00:00:00-08:002020-28890Noticehttps://www.govinfo.gov/content/pkg/FR-2020-12-30/pdf/2020-28890.pdfhttps://regulations.justia.com/regulations/fedreg/2020/12/30/2020-28889.htmlNotice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Reflect a Change to the Index Underlying the United States Copper Index2020-12-30T00:00:00-08:002020-12-30T00:00:00-08:002020-28889Noticehttps://www.govinfo.gov/content/pkg/FR-2020-12-30/pdf/2020-28889.pdfhttps://regulations.justia.com/regulations/fedreg/2020/12/30/2020-28831.htmlNotice - Proposed Collection and Comment Request for Form ID2020-12-30T00:00:00-08:002020-12-30T00:00:00-08:002020-28831Noticehttps://www.govinfo.gov/content/pkg/FR-2020-12-30/pdf/2020-28831.pdfhttps://regulations.justia.com/regulations/fedreg/2020/12/30/2020-28811.htmlNotice - Self-Regulatory Organizations: Investors Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Related to Transaction Fees Pursuant to IEX Rule 15.1102020-12-30T00:00:00-08:002020-12-30T00:00:00-08:002020-28811Noticehttps://www.govinfo.gov/content/pkg/FR-2020-12-30/pdf/2020-28811.pdfhttps://regulations.justia.com/regulations/fedreg/2020/12/30/2020-28810.htmlNotice - Acknowledgement of Receipt of Notice of Registration as a National Securities Exchange Pursuant to Section 6(g) of the Securities Exchange Act of 1934 by the Minneapolis Grain Exchange, LLC2020-12-30T00:00:00-08:002020-12-30T00:00:00-08:002020-28810Noticehttps://www.govinfo.gov/content/pkg/FR-2020-12-30/pdf/2020-28810.pdfhttps://regulations.justia.com/regulations/fedreg/2020/12/30/2020-28809.htmlNotice - Self-Regulatory Organizations; ICE Clear Europe Limited; Notice of Filing and Immediate Effectiveness of Proposed Rule Change, as Modified by Amendment No. 1, Relating to Amendments to the ICE Clear Europe Clearing Rules2020-12-30T00:00:00-08:002020-12-30T00:00:00-08:002020-28809Noticehttps://www.govinfo.gov/content/pkg/FR-2020-12-30/pdf/2020-28809.pdfhttps://regulations.justia.com/regulations/fedreg/2020/12/30/2020-28808.htmlNotice - Self-Regulatory Organizations; The Nasdaq Stock Market LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Extend the Effective Date of the Temporary Amendments Concerning Exchange Rule 1.1210 From December 31, 2020, to April 30, 20212020-12-30T00:00:00-08:002020-12-30T00:00:00-08:002020-28808Noticehttps://www.govinfo.gov/content/pkg/FR-2020-12-30/pdf/2020-28808.pdfhttps://regulations.justia.com/regulations/fedreg/2020/12/30/2020-28807.htmlNotice - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing of a Proposed Rule Change To Amend FINRA Rule 8312 (FINRA BrokerCheck Disclosure)2020-12-30T00:00:00-08:002020-12-30T00:00:00-08:002020-28807Noticehttps://www.govinfo.gov/content/pkg/FR-2020-12-30/pdf/2020-28807.pdfhttps://regulations.justia.com/regulations/fedreg/2020/12/30/2020-28806.htmlNotice - Self-Regulatory Organizations; Long-Term Stock Exchange, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Rule 11.380 To Expand the Exchange's Optional Risk Controls Mechanism To Include a Net Notional Exposure Risk Check in Addition to the Gross Notional Exposure Risk Check2020-12-30T00:00:00-08:002020-12-30T00:00:00-08:002020-28806Noticehttps://www.govinfo.gov/content/pkg/FR-2020-12-30/pdf/2020-28806.pdfhttps://regulations.justia.com/regulations/fedreg/2020/12/30/2020-28805.htmlNotice - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing of Proposed Rule Change Revising Rules 46 and 46A To Permit the Appointment of Trading Officials2020-12-30T00:00:00-08:002020-12-30T00:00:00-08:002020-28805Noticehttps://www.govinfo.gov/content/pkg/FR-2020-12-30/pdf/2020-28805.pdfhttps://regulations.justia.com/regulations/fedreg/2020/12/30/2020-28804.htmlNotice - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing of Proposed Rule Change for a New Rule 5.2(j)(8)2020-12-30T00:00:00-08:002020-12-30T00:00:00-08:002020-28804Noticehttps://www.govinfo.gov/content/pkg/FR-2020-12-30/pdf/2020-28804.pdfhttps://regulations.justia.com/regulations/fedreg/2020/12/30/2020-28803.htmlNotice - Self-Regulatory Organizations; The Nasdaq Stock Market LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Extend the Expiration Date of the Temporary Amendments Set Forth in SR-NASDAQ-2020-076 Concerning Video Conference Hearings2020-12-30T00:00:00-08:002020-12-30T00:00:00-08:002020-28803Noticehttps://www.govinfo.gov/content/pkg/FR-2020-12-30/pdf/2020-28803.pdfhttps://regulations.justia.com/regulations/fedreg/2020/12/30/2020-28802.htmlNotice - Self-Regulatory Organizations; The Nasdaq Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Withdraw the Exchange's QView Product From Sale2020-12-30T00:00:00-08:002020-12-30T00:00:00-08:002020-28802Noticehttps://www.govinfo.gov/content/pkg/FR-2020-12-30/pdf/2020-28802.pdfhttps://regulations.justia.com/regulations/fedreg/2020/12/30/2020-28801.htmlNotice - Self-Regulatory Organizations; NYSE National, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Extend the Effective Date in Commentary .10 Under NYSE National Rule 2.12102020-12-30T00:00:00-08:002020-12-30T00:00:00-08:002020-28801Noticehttps://www.govinfo.gov/content/pkg/FR-2020-12-30/pdf/2020-28801.pdfhttps://regulations.justia.com/regulations/fedreg/2020/12/30/2020-25747.htmlRule - Amendments to the Commission's Rules of Practice2020-12-30T00:00:00-08:002020-12-30T00:00:00-08:002020-25747Rulehttps://www.govinfo.gov/content/pkg/FR-2020-12-30/pdf/2020-25747.pdfhttps://regulations.justia.com/regulations/fedreg/2020/12/23/2020-28540.htmlNotice - Sunshine Act Meetings2020-12-23T00:00:00-08:002020-12-23T00:00:00-08:002020-28540Noticehttps://www.govinfo.gov/content/pkg/FR-2020-12-23/pdf/2020-28540.pdfhttps://regulations.justia.com/regulations/fedreg/2020/12/23/2020-28521.htmlNotice - Sunshine Act Meeting; Cancellation2020-12-23T00:00:00-08:002020-12-23T00:00:00-08:002020-28521Noticehttps://www.govinfo.gov/content/pkg/FR-2020-12-23/pdf/2020-28521.pdfhttps://regulations.justia.com/regulations/fedreg/2020/12/23/2020-28430.htmlNotice - Proposed Collection; Comment Request2020-12-23T00:00:00-08:002020-12-23T00:00:00-08:002020-28430Noticehttps://www.govinfo.gov/content/pkg/FR-2020-12-23/pdf/2020-28430.pdfhttps://regulations.justia.com/regulations/fedreg/2020/12/23/2020-28425.htmlNotice - Proposed Collection; Comment Request2020-12-23T00:00:00-08:002020-12-23T00:00:00-08:002020-28425Noticehttps://www.govinfo.gov/content/pkg/FR-2020-12-23/pdf/2020-28425.pdfhttps://regulations.justia.com/regulations/fedreg/2020/12/23/2020-28424.htmlNotice - Proposed Collection; Comment Request2020-12-23T00:00:00-08:002020-12-23T00:00:00-08:002020-28424Noticehttps://www.govinfo.gov/content/pkg/FR-2020-12-23/pdf/2020-28424.pdfhttps://regulations.justia.com/regulations/fedreg/2020/12/23/2020-28319.htmlNotice - Self-Regulatory Organizations; The Nasdaq Stock Market LLC; Order Instituting Proceedings To Determine Whether To Approve or Disapprove 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 Effected2020-12-23T00:00:00-08:002020-12-23T00:00:00-08:002020-28319Noticehttps://www.govinfo.gov/content/pkg/FR-2020-12-23/pdf/2020-28319.pdfhttps://regulations.justia.com/regulations/fedreg/2020/12/23/2020-28318.htmlNotice - Self-Regulatory Organizations; Cboe EDGX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend EDGX Rule 11.8(g), Which Describes the Handling of MidPoint Discretionary Orders Entered on the Exchange2020-12-23T00:00:00-08:002020-12-23T00:00:00-08:002020-28318Noticehttps://www.govinfo.gov/content/pkg/FR-2020-12-23/pdf/2020-28318.pdfhttps://regulations.justia.com/regulations/fedreg/2020/12/23/2020-28317.htmlNotice - Self-Regulatory Organizations; The Options Clearing Corporation; Notice of Filing of Partial Amendment No. 1 and Order Granting Accelerated Approval of Proposed Rule Change, as Modified by Partial Amendment No. 1, To Update The Options Clearing Corporation's Recovery and Orderly Wind-Down Plan2020-12-23T00:00:00-08:002020-12-23T00:00:00-08:002020-28317Noticehttps://www.govinfo.gov/content/pkg/FR-2020-12-23/pdf/2020-28317.pdfhttps://regulations.justia.com/regulations/fedreg/2020/12/23/2020-28316.htmlNotice - Self-Regulatory Organizations; Miami International Securities Exchange, LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Chapter XVII, Audit Trail Compliance Rule2020-12-23T00:00:00-08:002020-12-23T00:00:00-08:002020-28316Noticehttps://www.govinfo.gov/content/pkg/FR-2020-12-23/pdf/2020-28316.pdfhttps://regulations.justia.com/regulations/fedreg/2020/12/23/2020-28315.htmlNotice - Self-Regulatory Organizations; NYSE American LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the Rule 6800 Series2020-12-23T00:00:00-08:002020-12-23T00:00:00-08:002020-28315Noticehttps://www.govinfo.gov/content/pkg/FR-2020-12-23/pdf/2020-28315.pdfhttps://regulations.justia.com/regulations/fedreg/2020/12/23/2020-28314.htmlNotice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the Rule 11.6800 Series2020-12-23T00:00:00-08:002020-12-23T00:00:00-08:002020-28314Noticehttps://www.govinfo.gov/content/pkg/FR-2020-12-23/pdf/2020-28314.pdfhttps://regulations.justia.com/regulations/fedreg/2020/12/23/2020-28313.htmlNotice - Self-Regulatory Organizations; NYSE Chicago, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the Rule 6.6800 Series2020-12-23T00:00:00-08:002020-12-23T00:00:00-08:002020-28313Noticehttps://www.govinfo.gov/content/pkg/FR-2020-12-23/pdf/2020-28313.pdfhttps://regulations.justia.com/regulations/fedreg/2020/12/23/2020-28312.htmlNotice - Self-Regulatory Organizations; NYSE National, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the Rule 6.6800 Series2020-12-23T00:00:00-08:002020-12-23T00:00:00-08:002020-28312Noticehttps://www.govinfo.gov/content/pkg/FR-2020-12-23/pdf/2020-28312.pdfhttps://regulations.justia.com/regulations/fedreg/2020/12/23/2020-28311.htmlNotice - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the Rule 6800 Series2020-12-23T00:00:00-08:002020-12-23T00:00:00-08:002020-28311Noticehttps://www.govinfo.gov/content/pkg/FR-2020-12-23/pdf/2020-28311.pdfhttps://regulations.justia.com/regulations/fedreg/2020/12/23/2020-28310.htmlNotice - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Order Approving a Proposed Rule Change To Amend the FINRA Codes of Arbitration Procedure To Increase Arbitrator Chairperson Honoraria and Certain Arbitration Fees2020-12-23T00:00:00-08:002020-12-23T00:00:00-08:002020-28310Noticehttps://www.govinfo.gov/content/pkg/FR-2020-12-23/pdf/2020-28310.pdfhttps://regulations.justia.com/regulations/fedreg/2020/12/23/2020-28309.htmlNotice - Program for Allocation of Regulatory Responsibilities Pursuant to Rule 17d-2; Notice of Filing and Order Approving and Declaring Effective an Amended Plan for the Allocation of Regulatory Responsibilities Between the Financial Industry Regulatory Authority, Inc. and Nasdaq GEMX, LLC2020-12-23T00:00:00-08:002020-12-23T00:00:00-08:002020-28309Noticehttps://www.govinfo.gov/content/pkg/FR-2020-12-23/pdf/2020-28309.pdfhttps://regulations.justia.com/regulations/fedreg/2020/12/23/2020-28308.htmlNotice - Program for Allocation of Regulatory Responsibilities Pursuant to Rule 17d-2; Notice of Filing and Order Approving and Declaring Effective an Amended Plan for the Allocation of Regulatory Responsibilities Between the Financial Industry Regulatory Authority, Inc. and Nasdaq MRX, LLC2020-12-23T00:00:00-08:002020-12-23T00:00:00-08:002020-28308Noticehttps://www.govinfo.gov/content/pkg/FR-2020-12-23/pdf/2020-28308.pdfhttps://regulations.justia.com/regulations/fedreg/2020/12/23/2020-28307.htmlNotice - Program for Allocation of Regulatory Responsibilities Pursuant to Rule 17d-2; Notice of Filing and Order Approving and Declaring Effective an Amended Plan for the Allocation of Regulatory Responsibilities Between the Financial Industry Regulatory Authority, Inc. and Nasdaq ISE, LLC2020-12-23T00:00:00-08:002020-12-23T00:00:00-08:002020-28307Noticehttps://www.govinfo.gov/content/pkg/FR-2020-12-23/pdf/2020-28307.pdfhttps://regulations.justia.com/regulations/fedreg/2020/12/23/2020-28305.htmlNotice - Self-Regulatory Organizations; BOX Exchange LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the Fee Schedule on the BOX Options Market LLC Facility2020-12-23T00:00:00-08:002020-12-23T00:00:00-08:002020-28305Noticehttps://www.govinfo.gov/content/pkg/FR-2020-12-23/pdf/2020-28305.pdfhttps://regulations.justia.com/regulations/fedreg/2020/12/23/2020-28304.htmlNotice - Self-Regulatory Organizations; The Nasdaq Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To No Longer Implement the OTTO Protocol2020-12-23T00:00:00-08:002020-12-23T00:00:00-08:002020-28304Noticehttps://www.govinfo.gov/content/pkg/FR-2020-12-23/pdf/2020-28304.pdfhttps://regulations.justia.com/regulations/fedreg/2020/12/23/2020-28303.htmlNotice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Regarding the Description of the “Indicative Partnership Value” Disseminated in Connection With Trading of “Units” of the United States Oil Fund, LP2020-12-23T00:00:00-08:002020-12-23T00:00:00-08:002020-28303Noticehttps://www.govinfo.gov/content/pkg/FR-2020-12-23/pdf/2020-28303.pdfhttps://regulations.justia.com/regulations/fedreg/2020/12/22/2020-28258.htmlNotice - Self-Regulatory Organizations; The Options Clearing Corporation; Notice of Filing of Partial Amendment No. 1 and Notice of No Objection To Advance Notice, as Modified by Partial Amendment No. 1, Related to Proposed Changes To Update the Options Clearing Corporation's Recovery and Orderly Wind-Down Plan2020-12-22T00:00:00-08:002020-12-22T00:00:00-08:002020-28258Noticehttps://www.govinfo.gov/content/pkg/FR-2020-12-22/pdf/2020-28258.pdfhttps://regulations.justia.com/regulations/fedreg/2020/12/22/2020-28156.htmlNotice - Order Approving Public Company Accounting Oversight Board Budget and Annual Accounting Support Fee for Calendar Year 20212020-12-22T00:00:00-08:002020-12-22T00:00:00-08:002020-28156Noticehttps://www.govinfo.gov/content/pkg/FR-2020-12-22/pdf/2020-28156.pdfhttps://regulations.justia.com/regulations/fedreg/2020/12/22/2020-28153.htmlNotice - Order Granting Temporary Exemptive Relief, Pursuant to Section 36 of the Securities Exchange Act of 1934 (“Exchange Act”) and Rule 608(e) of Regulation NMS Under the Exchange Act, From Section 8.1.1 and Section 8.1.2 of Appendix D of the National Market System Plan Governing the Consolidated Audit Trail2020-12-22T00:00:00-08:002020-12-22T00:00:00-08:002020-28153Noticehttps://www.govinfo.gov/content/pkg/FR-2020-12-22/pdf/2020-28153.pdfhttps://regulations.justia.com/regulations/fedreg/2020/12/22/2020-28151.htmlNotice - Self-Regulatory Organizations; Cboe BZX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To List and Trade Shares of the ProShares Short VIX Short-Term Futures ETF and the ProShares Ultra VIX Short-Term Futures ETF, Each a Series of ProShares Trust II, Under Rule 14.11(f)(4), Trust Issued Receipts2020-12-22T00:00:00-08:002020-12-22T00:00:00-08:002020-28151Noticehttps://www.govinfo.gov/content/pkg/FR-2020-12-22/pdf/2020-28151.pdfhttps://regulations.justia.com/regulations/fedreg/2020/12/22/2020-28150.htmlNotice - Self-Regulatory Organizations; Cboe BZX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule To List and Trade Shares of the Invesco Real Assets ESG ETF and the Invesco US Large Cap Core ESG ETF, Each a Series of the Invesco Actively Managed Exchange-Traded Fund Trust, Under Rule 14.11(m) (Tracking Fund Shares)2020-12-22T00:00:00-08:002020-12-22T00:00:00-08:002020-28150Noticehttps://www.govinfo.gov/content/pkg/FR-2020-12-22/pdf/2020-28150.pdfhttps://regulations.justia.com/regulations/fedreg/2020/12/22/2020-28149.htmlNotice - Self-Regulatory Organizations; Cboe BZX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To List and Trade Shares of the ProShares VIX Short-Term Futures ETF and the ProShares VIX Mid-Term Futures ETF, Each a Series of ProShares Trust II, Under Rule 14.11(f)(4) (Trust Issued Receipts)2020-12-22T00:00:00-08:002020-12-22T00:00:00-08:002020-28149Noticehttps://www.govinfo.gov/content/pkg/FR-2020-12-22/pdf/2020-28149.pdfhttps://regulations.justia.com/regulations/fedreg/2020/12/22/2020-28148.htmlNotice - Self-Regulatory Organizations; Cboe BZX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To List and Trade Shares of the Invesco Focused Discovery Growth ETF and the Invesco Select Growth ETF, Each a Series of the Invesco Actively Managed Exchange-Traded Fund Trust, Under Rule 14.11(m) (Tracking Fund Shares)2020-12-22T00:00:00-08:002020-12-22T00:00:00-08:002020-28148Noticehttps://www.govinfo.gov/content/pkg/FR-2020-12-22/pdf/2020-28148.pdfhttps://regulations.justia.com/regulations/fedreg/2020/12/22/2020-28147.htmlNotice - Self-Regulatory Organizations; NYSE Arca, Inc.; Order Approving a Proposed Rule Change, as Modified by Amendments No. 1 and No. 2, To List and Trade Shares of the AdvisorShares Q Portfolio Blended Allocation ETF and AdvisorShares Q Dynamic Growth ETF Under NYSE Arca Rule 8.900-E2020-12-22T00:00:00-08:002020-12-22T00:00:00-08:002020-28147Noticehttps://www.govinfo.gov/content/pkg/FR-2020-12-22/pdf/2020-28147.pdfhttps://regulations.justia.com/regulations/fedreg/2020/12/22/2020-28146.htmlNotice - Order Granting Temporary Conditional Exemptive Relief Pursuant to Section 36 of the Securities Exchange Act of 1934 (“Exchange Act”) and Rule 608(e) of Regulation NMS Under the Exchange Act, Relating to Certain Requirements of the National Market System Plan Governing the Consolidated Audit Trail2020-12-22T00:00:00-08:002020-12-22T00:00:00-08:002020-28146Noticehttps://www.govinfo.gov/content/pkg/FR-2020-12-22/pdf/2020-28146.pdfhttps://regulations.justia.com/regulations/fedreg/2020/12/21/2020-28243.htmlNotice - Sunshine Act Meeting; Cancellation2020-12-21T00:00:00-08:002020-12-21T00:00:00-08:002020-28243Noticehttps://www.govinfo.gov/content/pkg/FR-2020-12-21/pdf/2020-28243.pdfhttps://regulations.justia.com/regulations/fedreg/2020/12/21/2020-28066.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 Listing Rules Applicable to Special Purpose Acquisition Companies Whose Business Plan Is To Complete One or More Business Combinations2020-12-21T00:00:00-08:002020-12-21T00:00:00-08:002020-28066Noticehttps://www.govinfo.gov/content/pkg/FR-2020-12-21/pdf/2020-28066.pdfhttps://regulations.justia.com/regulations/fedreg/2020/12/21/2020-28015.htmlNotice - Self-Regulatory Organizations; CboeBZX 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, as Modified by Amendment No. 1, To List and Trade Shares of the 2x Long VIX Futures ETF, a Series of VS Trust, Under Rule 14.11(f)(4) (Trust Issued Receipts)2020-12-21T00:00:00-08:002020-12-21T00:00:00-08:002020-28015Noticehttps://www.govinfo.gov/content/pkg/FR-2020-12-21/pdf/2020-28015.pdfhttps://regulations.justia.com/regulations/fedreg/2020/12/21/2020-28014.htmlNotice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the NYSE Arca Equities Fees and Charges2020-12-21T00:00:00-08:002020-12-21T00:00:00-08:002020-28014Noticehttps://www.govinfo.gov/content/pkg/FR-2020-12-21/pdf/2020-28014.pdfhttps://regulations.justia.com/regulations/fedreg/2020/12/21/2020-28013.htmlNotice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing of Proposed Rule Change To List and Trade Shares of the Stance Equity ESG Large Cap Core ETF Under NYSE Arca Rule 8.601-E2020-12-21T00:00:00-08:002020-12-21T00:00:00-08:002020-28013Noticehttps://www.govinfo.gov/content/pkg/FR-2020-12-21/pdf/2020-28013.pdfhttps://regulations.justia.com/regulations/fedreg/2020/12/21/2020-28011.htmlNotice - Self-Regulatory Organizations; NYSE Arca, Inc.; 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 10.9216 and an Uncontested Offer of Settlement Under Rule 10.9270(f)2020-12-21T00:00:00-08:002020-12-21T00:00:00-08:002020-28011Noticehttps://www.govinfo.gov/content/pkg/FR-2020-12-21/pdf/2020-28011.pdfhttps://regulations.justia.com/regulations/fedreg/2020/12/21/2020-28010.htmlNotice - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing of Proposed Rule Change Amending Its Rules Establishing Maximum Fee Rates To Be Charged by Member Organizations for Forwarding Proxy and Other Materials to Beneficial Owners2020-12-21T00:00:00-08:002020-12-21T00:00:00-08:002020-28010Noticehttps://www.govinfo.gov/content/pkg/FR-2020-12-21/pdf/2020-28010.pdfhttps://regulations.justia.com/regulations/fedreg/2020/12/21/2020-28009.htmlNotice - Self-Regulatory Organizations; Cboe Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating To Amend Its Fees Schedule2020-12-21T00:00:00-08:002020-12-21T00:00:00-08:002020-28009Noticehttps://www.govinfo.gov/content/pkg/FR-2020-12-21/pdf/2020-28009.pdfhttps://regulations.justia.com/regulations/fedreg/2020/12/21/2020-28008.htmlNotice - Self-Regulatory Organizations; NYSE Arca, 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 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 Company2020-12-21T00:00:00-08:002020-12-21T00:00:00-08:002020-28008Noticehttps://www.govinfo.gov/content/pkg/FR-2020-12-21/pdf/2020-28008.pdfhttps://regulations.justia.com/regulations/fedreg/2020/12/21/2020-28007.htmlNotice - Self-Regulatory Organizations; NYSE Arca, 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 NYSE Arca Rules 5.2-E(j)(3), 5.2-E(j)(8), 5.5-E(g)(2), 8.600-E, and 8.900-E2020-12-21T00:00:00-08:002020-12-21T00:00:00-08:002020-28007Noticehttps://www.govinfo.gov/content/pkg/FR-2020-12-21/pdf/2020-28007.pdfhttps://regulations.justia.com/regulations/fedreg/2020/12/21/2020-24781.htmlRule - Use of Derivatives by Registered Investment Companies and Business Development Companies2020-12-21T00:00:00-08:002020-12-21T00:00:00-08:002020-24781Rulehttps://www.govinfo.gov/content/pkg/FR-2020-12-21/pdf/2020-24781.pdfhttps://regulations.justia.com/regulations/fedreg/2020/12/18/2020-27842.htmlNotice - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Its Price List2020-12-18T00:00:00-08:002020-12-18T00:00:00-08:002020-27842Noticehttps://www.govinfo.gov/content/pkg/FR-2020-12-18/pdf/2020-27842.pdfhttps://regulations.justia.com/regulations/fedreg/2020/12/18/2020-27841.htmlNotice - Self-Regulatory Organizations; MEMX LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend the Exchange's Fee Schedule2020-12-18T00:00:00-08:002020-12-18T00:00:00-08:002020-27841Noticehttps://www.govinfo.gov/content/pkg/FR-2020-12-18/pdf/2020-27841.pdfhttps://regulations.justia.com/regulations/fedreg/2020/12/18/2020-27840.htmlNotice - Self-Regulatory Organizations; Cboe BZX Exchange, Inc.; Order Instituting Proceedings to Determine Whether to Approve or Disapprove a Proposed Rule Change to List and Trade Shares of the -1x Short VIX Futures ETF, a Series of VS Trust, Under Rule 14.11(f)(4) (“Trust Issued Receipts”)2020-12-18T00:00:00-08:002020-12-18T00:00:00-08:002020-27840Noticehttps://www.govinfo.gov/content/pkg/FR-2020-12-18/pdf/2020-27840.pdfhttps://regulations.justia.com/regulations/fedreg/2020/12/18/2020-27839.htmlNotice - Self-Regulatory Organizations; Cboe Exchange, Inc.; Notice of Filing of Amendment No. 3 and Order Granting Accelerated Approval of a Proposed Rule Change, as Modified by Amendment No. 3, To Amend Rule 5.242020-12-18T00:00:00-08:002020-12-18T00:00:00-08:002020-27839Noticehttps://www.govinfo.gov/content/pkg/FR-2020-12-18/pdf/2020-27839.pdfhttps://regulations.justia.com/regulations/fedreg/2020/12/18/2020-27838.htmlNotice - Self-Regulatory Organizations; Nasdaq BX, Inc.; Notice of Filing of Proposed Rule Change To Amend BX Options 7, Section 2 and Section 32020-12-18T00:00:00-08:002020-12-18T00:00:00-08:002020-27838Noticehttps://www.govinfo.gov/content/pkg/FR-2020-12-18/pdf/2020-27838.pdfhttps://regulations.justia.com/regulations/fedreg/2020/12/18/2020-27837.htmlNotice - Self-Regulatory Organizations; The Nasdaq Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend NOM's Pricing Schedule at Options 7, Section 2 and Options 7, Section 32020-12-18T00:00:00-08:002020-12-18T00:00:00-08:002020-27837Noticehttps://www.govinfo.gov/content/pkg/FR-2020-12-18/pdf/2020-27837.pdfhttps://regulations.justia.com/regulations/fedreg/2020/12/18/2020-27836.htmlNotice - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing of Proposed Rule Change To Amend Its Rules To Prohibit Member Organizations From Seeking Reimbursement, in Certain Circumstances, From Issuers for Forwarding Proxy and Other Materials to Beneficial Owners2020-12-18T00:00:00-08:002020-12-18T00:00:00-08:002020-27836Noticehttps://www.govinfo.gov/content/pkg/FR-2020-12-18/pdf/2020-27836.pdfhttps://regulations.justia.com/regulations/fedreg/2020/12/17/2020-27867.htmlNotice - Sunshine Act Meetings2020-12-17T00:00:00-08:002020-12-17T00:00:00-08:002020-27867Noticehttps://www.govinfo.gov/content/pkg/FR-2020-12-17/pdf/2020-27867.pdfhttps://regulations.justia.com/regulations/fedreg/2020/12/17/2020-27866.htmlNotice - Sunshine Act Meetings2020-12-17T00:00:00-08:002020-12-17T00:00:00-08:002020-27866Noticehttps://www.govinfo.gov/content/pkg/FR-2020-12-17/pdf/2020-27866.pdfhttps://regulations.justia.com/regulations/fedreg/2020/12/17/2020-27862.htmlNotice - Sunshine Act Meetings2020-12-17T00:00:00-08:002020-12-17T00:00:00-08:002020-27862Noticehttps://www.govinfo.gov/content/pkg/FR-2020-12-17/pdf/2020-27862.pdfhttps://regulations.justia.com/regulations/fedreg/2020/12/17/2020-27811.htmlNotice - Palmer Square Capital BDC Inc., et al.2020-12-17T00:00:00-08:002020-12-17T00:00:00-08:002020-27811Noticehttps://www.govinfo.gov/content/pkg/FR-2020-12-17/pdf/2020-27811.pdfhttps://regulations.justia.com/regulations/fedreg/2020/12/17/2020-27788.htmlNotice - Notice of Intention to Cancel Registration Pursuant to section 203(H) of the Investment Advisers Act of 19402020-12-17T00:00:00-08:002020-12-17T00:00:00-08:002020-27788Noticehttps://www.govinfo.gov/content/pkg/FR-2020-12-17/pdf/2020-27788.pdfhttps://regulations.justia.com/regulations/fedreg/2020/12/17/2020-27731.htmlNotice - Self-Regulatory Organizations; NYSE Arca, Inc.; Order Instituting Proceedings To Determine Whether To Approve or Disapprove a Proposed Rule Change To Amend NYSE Arca Rule 8.601-E To Adopt Generic Listing Standards for Active Proxy Portfolio Shares2020-12-17T00:00:00-08:002020-12-17T00:00:00-08:002020-27731Noticehttps://www.govinfo.gov/content/pkg/FR-2020-12-17/pdf/2020-27731.pdfhttps://regulations.justia.com/regulations/fedreg/2020/12/17/2020-27730.htmlNotice - Self-Regulatory Organizations; MIAX PEARL, LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the MIAX PEARL Equities Fee Schedule To Adopt Connectivity Fees, Port Fees, a Technical Support Request Fee, and Historical Market Data Fee2020-12-17T00:00:00-08:002020-12-17T00:00:00-08:002020-27730Noticehttps://www.govinfo.gov/content/pkg/FR-2020-12-17/pdf/2020-27730.pdfhttps://regulations.justia.com/regulations/fedreg/2020/12/17/2020-27729.htmlNotice - Self-Regulatory Organizations; NYSE American LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the NYSE American Options Fee Schedule2020-12-17T00:00:00-08:002020-12-17T00:00:00-08:002020-27729Noticehttps://www.govinfo.gov/content/pkg/FR-2020-12-17/pdf/2020-27729.pdfhttps://regulations.justia.com/regulations/fedreg/2020/12/17/2020-27728.htmlNotice - Self-Regulatory Organizations; The Depository Trust Company; Fixed Income Clearing Corporation; National Securities Clearing Corporation; Notice of Filings and Immediate Effectiveness of Proposed Rule Changes To Amend the Clearing Agencies Liquidity Risk Management Framework2020-12-17T00:00:00-08:002020-12-17T00:00:00-08:002020-27728Noticehttps://www.govinfo.gov/content/pkg/FR-2020-12-17/pdf/2020-27728.pdfhttps://regulations.justia.com/regulations/fedreg/2020/12/17/2020-27727.htmlNotice - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Order Approving Proposed Rule Change To Modify TRACE Dissemination Protocols for Agency Pass-Through MBS or SBA-Backed ABS Traded in Specified Pool Transactions2020-12-17T00:00:00-08:002020-12-17T00:00:00-08:002020-27727Noticehttps://www.govinfo.gov/content/pkg/FR-2020-12-17/pdf/2020-27727.pdfhttps://regulations.justia.com/regulations/fedreg/2020/12/17/2020-27726.htmlNotice - Self-Regulatory Organizations; Investors Exchange LLC; Notice of Filing of Proposed Rule Change To Amend IEX Rule 11.510 To Reduce the Outbound Latency That Presently Applies to All Trading Messages Sent From IEX Back to Users of the Exchange2020-12-17T00:00:00-08:002020-12-17T00:00:00-08:002020-27726Noticehttps://www.govinfo.gov/content/pkg/FR-2020-12-17/pdf/2020-27726.pdfhttps://regulations.justia.com/regulations/fedreg/2020/12/17/2020-27725.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 Exclude Special Purpose Acquisition Companies From the Requirement That at Least 50% of a Company's Round Lot Holders Each Hold Unrestricted Securities With a Market Value of at Least $2,5002020-12-17T00:00:00-08:002020-12-17T00:00:00-08:002020-27725Noticehttps://www.govinfo.gov/content/pkg/FR-2020-12-17/pdf/2020-27725.pdfhttps://regulations.justia.com/regulations/fedreg/2020/12/17/2020-27724.htmlNotice - Self-Regulatory Organizations; Cboe EDGX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating To Amend Its Fee Schedule With Respect to Qualified Contingent Cross (“QCC”) and Solicitation Auction Mechanism (“SAM”) Orders2020-12-17T00:00:00-08:002020-12-17T00:00:00-08:002020-27724Noticehttps://www.govinfo.gov/content/pkg/FR-2020-12-17/pdf/2020-27724.pdfhttps://regulations.justia.com/regulations/fedreg/2020/12/17/2020-27723.htmlNotice - Self-Regulatory Organizations; Cboe Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the Fees Schedule With Respect to Certain Fees Related to Qualified Contingent Cross Transactions the Exchange's LMM Incentive Programs2020-12-17T00:00:00-08:002020-12-17T00:00:00-08:002020-27723Noticehttps://www.govinfo.gov/content/pkg/FR-2020-12-17/pdf/2020-27723.pdfhttps://regulations.justia.com/regulations/fedreg/2020/12/17/2020-27721.htmlNotice - Self-Regulatory Organizations; MIAX PEARL, LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the Fee Schedule2020-12-17T00:00:00-08:002020-12-17T00:00:00-08:002020-27721Noticehttps://www.govinfo.gov/content/pkg/FR-2020-12-17/pdf/2020-27721.pdfhttps://regulations.justia.com/regulations/fedreg/2020/12/17/2020-27720.htmlNotice - Self-Regulatory Organizations; MIAX Emerald, LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the Fee Schedule2020-12-17T00:00:00-08:002020-12-17T00:00:00-08:002020-27720Noticehttps://www.govinfo.gov/content/pkg/FR-2020-12-17/pdf/2020-27720.pdfhttps://regulations.justia.com/regulations/fedreg/2020/12/17/2020-27719.htmlNotice - Self-Regulatory Organizations; Miami International Securities Exchange LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the Fee Schedule2020-12-17T00:00:00-08:002020-12-17T00:00:00-08:002020-27719Noticehttps://www.govinfo.gov/content/pkg/FR-2020-12-17/pdf/2020-27719.pdfhttps://regulations.justia.com/regulations/fedreg/2020/12/17/2020-27714.htmlNotice - KKR Income Opportunities Fund, et al.2020-12-17T00:00:00-08:002020-12-17T00:00:00-08:002020-27714Noticehttps://www.govinfo.gov/content/pkg/FR-2020-12-17/pdf/2020-27714.pdfhttps://regulations.justia.com/regulations/fedreg/2020/12/16/2020-27626.htmlNotice - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Order Approving a Proposed Rule Change, as Modified by Amendment No. 1, To Address Brokers With a Significant History of Misconduct2020-12-16T00:00:00-08:002020-12-16T00:00:00-08:002020-27626Noticehttps://www.govinfo.gov/content/pkg/FR-2020-12-16/pdf/2020-27626.pdfhttps://regulations.justia.com/regulations/fedreg/2020/12/16/2020-27598.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 the Market Maker Incentive for Penny Issues2020-12-16T00:00:00-08:002020-12-16T00:00:00-08:002020-27598Noticehttps://www.govinfo.gov/content/pkg/FR-2020-12-16/pdf/2020-27598.pdfhttps://regulations.justia.com/regulations/fedreg/2020/12/16/2020-27597.htmlNotice - Self-Regulatory Organizations; ICE Clear Europe Limited; Order Approving Proposed Rule Change Relating to the ICE Clear Europe Investment Management Procedures2020-12-16T00:00:00-08:002020-12-16T00:00:00-08:002020-27597Noticehttps://www.govinfo.gov/content/pkg/FR-2020-12-16/pdf/2020-27597.pdfhttps://regulations.justia.com/regulations/fedreg/2020/12/16/2020-27596.htmlNotice - Self-Regulatory Organizations; The Depository Trust Company; Fixed Income Clearing Corporation; National Securities Clearing Corporation; Notice of Filings and Immediate Effectiveness of Proposed Rule Changes To Amend the Clearing Agency Operational Risk Management Framework2020-12-16T00:00:00-08:002020-12-16T00:00:00-08:002020-27596Noticehttps://www.govinfo.gov/content/pkg/FR-2020-12-16/pdf/2020-27596.pdfhttps://regulations.justia.com/regulations/fedreg/2020/12/16/2020-27595.htmlNotice - Self-Regulatory Organizations; NYSE National, Inc.; 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 10.9216 and an Uncontested Offer of Settlement Under Rule 10.9270(f)2020-12-16T00:00:00-08:002020-12-16T00:00:00-08:002020-27595Noticehttps://www.govinfo.gov/content/pkg/FR-2020-12-16/pdf/2020-27595.pdfhttps://regulations.justia.com/regulations/fedreg/2020/12/15/2020-27615.htmlNotice - Sunshine Act Meetings2020-12-15T00:00:00-08:002020-12-15T00:00:00-08:002020-27615Noticehttps://www.govinfo.gov/content/pkg/FR-2020-12-15/pdf/2020-27615.pdfhttps://regulations.justia.com/regulations/fedreg/2020/12/15/2020-27488.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 Fees2020-12-15T00:00:00-08:002020-12-15T00:00:00-08:002020-27488Noticehttps://www.govinfo.gov/content/pkg/FR-2020-12-15/pdf/2020-27488.pdfhttps://regulations.justia.com/regulations/fedreg/2020/12/15/2020-27487.htmlNotice - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Extend the Expiration Date of the Temporary Amendments Set Forth in SR-FINRA-2020-015 and SR-FINRA-2020-0272020-12-15T00:00:00-08:002020-12-15T00:00:00-08:002020-27487Noticehttps://www.govinfo.gov/content/pkg/FR-2020-12-15/pdf/2020-27487.pdfhttps://regulations.justia.com/regulations/fedreg/2020/12/15/2020-27486.htmlNotice - Self-Regulatory Organizations; Municipal Securities Rulemaking Board; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Provide Additional Regulatory Relief on a Temporary Basis to Dealers and Municipal Advisors Due to the Sustained Coronavirus (COVID-19) Pandemic2020-12-15T00:00:00-08:002020-12-15T00:00:00-08:002020-27486Noticehttps://www.govinfo.gov/content/pkg/FR-2020-12-15/pdf/2020-27486.pdfhttps://regulations.justia.com/regulations/fedreg/2020/12/15/2020-27485.htmlNotice - Self-Regulatory Organizations; The Nasdaq Stock Market LLC; Notice of Withdrawal of Proposed Rule Change To Lower the Enterprise License Fee for Broker-Dealers Distributing Nasdaq Basic to Internal Professional Subscribers as Set Forth in the Equity 7 Pricing Schedule, Section 147, and the Enterprise License Fee for Broker-Dealers Distributing Nasdaq Last Sale to Professional Subscribers at Equity 7, Section 1392020-12-15T00:00:00-08:002020-12-15T00:00:00-08:002020-27485Noticehttps://www.govinfo.gov/content/pkg/FR-2020-12-15/pdf/2020-27485.pdfhttps://regulations.justia.com/regulations/fedreg/2020/12/15/2020-27484.htmlNotice - Self-Regulatory Organizations; The Nasdaq Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Lower the Enterprise License Fee for Broker-Dealers Distributing Nasdaq Basic to Internal Professional Subscribers as Set Forth in the Equity 7 Pricing Schedule, Section 147, and the Enterprise License Fee for Broker-Dealers Distributing Nasdaq Last Sale to Professional Subscribers at Equity 7, Section 1392020-12-15T00:00:00-08:002020-12-15T00:00:00-08:002020-27484Noticehttps://www.govinfo.gov/content/pkg/FR-2020-12-15/pdf/2020-27484.pdfhttps://regulations.justia.com/regulations/fedreg/2020/12/15/2020-27483.htmlNotice - Self-Regulatory Organizations; The Nasdaq Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Options 1, Section 1; Options 2, Section 5; Options 3, Sections 5, 7, 10, 15 and 232020-12-15T00:00:00-08:002020-12-15T00:00:00-08:002020-27483Noticehttps://www.govinfo.gov/content/pkg/FR-2020-12-15/pdf/2020-27483.pdfhttps://regulations.justia.com/regulations/fedreg/2020/12/15/2020-27482.htmlNotice - Self-Regulatory Organizations; Municipal Securities Rulemaking Board; Order Granting Approval of a Proposed Rule Change To Amend MSRB Form G-322020-12-15T00:00:00-08:002020-12-15T00:00:00-08:002020-27482Noticehttps://www.govinfo.gov/content/pkg/FR-2020-12-15/pdf/2020-27482.pdfhttps://regulations.justia.com/regulations/fedreg/2020/12/15/2020-27481.htmlNotice - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Extend the Effective Date of the Temporary Amendments Set Forth in SR-FINRA-2020-026 From December 31, 2020 to April 30, 20212020-12-15T00:00:00-08:002020-12-15T00:00:00-08:002020-27481Noticehttps://www.govinfo.gov/content/pkg/FR-2020-12-15/pdf/2020-27481.pdfhttps://regulations.justia.com/regulations/fedreg/2020/12/14/2020-27510.htmlNotice - Sunshine Act Meetings2020-12-14T00:00:00-08:002020-12-14T00:00:00-08:002020-27510Noticehttps://www.govinfo.gov/content/pkg/FR-2020-12-14/pdf/2020-27510.pdfhttps://regulations.justia.com/regulations/fedreg/2020/12/14/2020-27499.htmlNotice - Sunshine Act Meetings2020-12-14T00:00:00-08:002020-12-14T00:00:00-08:002020-27499Noticehttps://www.govinfo.gov/content/pkg/FR-2020-12-14/pdf/2020-27499.pdfhttps://regulations.justia.com/regulations/fedreg/2020/12/14/2020-27399.htmlNotice - Self-Regulatory Organizations; Cboe EDGA Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Its Fees Schedule2020-12-14T00:00:00-08:002020-12-14T00:00:00-08:002020-27399Noticehttps://www.govinfo.gov/content/pkg/FR-2020-12-14/pdf/2020-27399.pdfhttps://regulations.justia.com/regulations/fedreg/2020/12/14/2020-27398.htmlNotice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing of Proposed Rule Change To List and Trade the Shares of the Teucrium Water Fund Under NYSE Arca Rule 8.200-E, Commentary .022020-12-14T00:00:00-08:002020-12-14T00:00:00-08:002020-27398Noticehttps://www.govinfo.gov/content/pkg/FR-2020-12-14/pdf/2020-27398.pdfhttps://regulations.justia.com/regulations/fedreg/2020/12/14/2020-27397.htmlNotice - Self-Regulatory Organizations; Nasdaq BX, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Rules 4613, 4702, and 47032020-12-14T00:00:00-08:002020-12-14T00:00:00-08:002020-27397Noticehttps://www.govinfo.gov/content/pkg/FR-2020-12-14/pdf/2020-27397.pdfhttps://regulations.justia.com/regulations/fedreg/2020/12/14/2020-27396.htmlNotice - Self-Regulatory Organizations; Fixed Income Clearing Corporation; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Establish Implementation Date of National Securities Clearing Corporation's Enhancements to the Haircut-Based Volatility Charge Applicable to Illiquid Securities and UITs and Making Certain Other Changes to Procedure XV2020-12-14T00:00:00-08:002020-12-14T00:00:00-08:002020-27396Noticehttps://www.govinfo.gov/content/pkg/FR-2020-12-14/pdf/2020-27396.pdfhttps://regulations.justia.com/regulations/fedreg/2020/12/14/2020-27395.htmlNotice - Self-Regulatory Organizations; Cboe EDGX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend its Fees Schedule2020-12-14T00:00:00-08:002020-12-14T00:00:00-08:002020-27395Noticehttps://www.govinfo.gov/content/pkg/FR-2020-12-14/pdf/2020-27395.pdfhttps://regulations.justia.com/regulations/fedreg/2020/12/14/2020-27394.htmlNotice - Self-Regulatory Organizations; The Options Clearing Corporation; Notice of Filing of Proposed Rule Change Concerning the Implementation of New Sufficiency Scenarios in The Options Clearing Corporation's Stress Testing Inventory2020-12-14T00:00:00-08:002020-12-14T00:00:00-08:002020-27394Noticehttps://www.govinfo.gov/content/pkg/FR-2020-12-14/pdf/2020-27394.pdfhttps://regulations.justia.com/regulations/fedreg/2020/12/14/2020-27393.htmlNotice - Self-Regulatory Organizations; MIAX Emerald, LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend Its Fee Schedule To Adopt a Monthly Trading Permit Fees2020-12-14T00:00:00-08:002020-12-14T00:00:00-08:002020-27393Noticehttps://www.govinfo.gov/content/pkg/FR-2020-12-14/pdf/2020-27393.pdfhttps://regulations.justia.com/regulations/fedreg/2020/12/14/2020-27392.htmlNotice - Self-Regulatory Organizations; MIAX Emerald, LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Its Fee Schedule To Adopt Port Fees and Increase Certain Network Connectivity Fees2020-12-14T00:00:00-08:002020-12-14T00:00:00-08:002020-27392Noticehttps://www.govinfo.gov/content/pkg/FR-2020-12-14/pdf/2020-27392.pdfhttps://regulations.justia.com/regulations/fedreg/2020/12/14/2020-27391.htmlNotice - Self-Regulatory Organizations; MIAX Emerald, LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Its Fee Schedule To Adopt a One-Time Membership Application Fee, Application Programming Interface (“API”) Testing and Certification Fees, and Network Connectivity Testing and Certification Fees2020-12-14T00:00:00-08:002020-12-14T00:00:00-08:002020-27391Noticehttps://www.govinfo.gov/content/pkg/FR-2020-12-14/pdf/2020-27391.pdfhttps://regulations.justia.com/regulations/fedreg/2020/12/14/2020-27390.htmlNotice - Self-Regulatory Organizations; Nasdaq ISE, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the Exchange's Market Maker Plus Program Under Options 7, Section 3, Regular Order Fees and Rebates2020-12-14T00:00:00-08:002020-12-14T00:00:00-08:002020-27390Noticehttps://www.govinfo.gov/content/pkg/FR-2020-12-14/pdf/2020-27390.pdfhttps://regulations.justia.com/regulations/fedreg/2020/12/14/2020-27389.htmlNotice - Self-Regulatory Organizations; Cboe 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, as Modified by Amendment No. 1, To Amend the Automated Price Improvement Auction Rules in Connection With Agency Order Size Requirements2020-12-14T00:00:00-08:002020-12-14T00:00:00-08:002020-27389Noticehttps://www.govinfo.gov/content/pkg/FR-2020-12-14/pdf/2020-27389.pdfhttps://regulations.justia.com/regulations/fedreg/2020/12/14/2020-27388.htmlNotice - Self-Regulatory Organizations; Cboe 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, as Modified by Amendment Nos. 1 and 2, To Amend Rules 5.37 and 5.73 Related to the Solicitation of Market Makers for SPX Initiating Orders in the Automated Improvement Mechanism and FLEX Automated Improvement Mechanism2020-12-14T00:00:00-08:002020-12-14T00:00:00-08:002020-27388Noticehttps://www.govinfo.gov/content/pkg/FR-2020-12-14/pdf/2020-27388.pdfhttps://regulations.justia.com/regulations/fedreg/2020/12/14/2020-27387.htmlNotice - Self-Regulatory Organizations; Cboe 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, as Modified by Amendment No. 1, To Amend Rules 5.37, 5.38, and 5.73 Related to Auction Notification Messages and Index Combo Orders in SPX in the Automated Improvement Mechanism, Complex Automated Improvement Mechanism, and FLEX Automated Improvement Mechanism2020-12-14T00:00:00-08:002020-12-14T00:00:00-08:002020-27387Noticehttps://www.govinfo.gov/content/pkg/FR-2020-12-14/pdf/2020-27387.pdfhttps://regulations.justia.com/regulations/fedreg/2020/12/14/2020-27386.htmlNotice - Self-Regulatory Organizations; MIAX PEARL, LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the Equities Fee Schedule2020-12-14T00:00:00-08:002020-12-14T00:00:00-08:002020-27386Noticehttps://www.govinfo.gov/content/pkg/FR-2020-12-14/pdf/2020-27386.pdfhttps://regulations.justia.com/regulations/fedreg/2020/12/14/2020-27385.htmlNotice - Self-Regulatory Organizations; MIAX PEARL, LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the Equities Fee Schedule2020-12-14T00:00:00-08:002020-12-14T00:00:00-08:002020-27385Noticehttps://www.govinfo.gov/content/pkg/FR-2020-12-14/pdf/2020-27385.pdfhttps://regulations.justia.com/regulations/fedreg/2020/12/11/2020-27206.htmlNotice - RMR Mortgage Trust2020-12-11T00:00:00-08:002020-12-11T00:00:00-08:002020-27206Noticehttps://www.govinfo.gov/content/pkg/FR-2020-12-11/pdf/2020-27206.pdfhttps://regulations.justia.com/regulations/fedreg/2020/12/11/2020-27203.htmlNotice - Self-Regulatory Organizations; NYSE American 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 Modify Rule 971.1NY Regarding Customer Best Execution Auctions to Provide Optional All-or-None Functionality for Larger-Sized Orders2020-12-11T00:00:00-08:002020-12-11T00:00:00-08:002020-27203Noticehttps://www.govinfo.gov/content/pkg/FR-2020-12-11/pdf/2020-27203.pdfhttps://regulations.justia.com/regulations/fedreg/2020/12/11/2020-27202.htmlNotice - Self-Regulatory Organizations; Cboe Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating To Adopt Temporary Rules To Extend the Time by Which Trading Permit Holders must Complete Their Office Inspections for the Calendar Year 2020 and To Provide Temporary Remote Inspection Relief for Their Office Inspections for Calendar Years 2020 and 20212020-12-11T00:00:00-08:002020-12-11T00:00:00-08:002020-27202Noticehttps://www.govinfo.gov/content/pkg/FR-2020-12-11/pdf/2020-27202.pdfhttps://regulations.justia.com/regulations/fedreg/2020/12/11/2020-27201.htmlNotice - Self-Regulatory Organizations; MIAX PEARL, LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Exchange Rule 2611, Odd and Mixed Lots2020-12-11T00:00:00-08:002020-12-11T00:00:00-08:002020-27201Noticehttps://www.govinfo.gov/content/pkg/FR-2020-12-11/pdf/2020-27201.pdfhttps://regulations.justia.com/regulations/fedreg/2020/12/11/2020-27200.htmlNotice - Self-Regulatory Organizations; The Nasdaq Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Relocate Its Equity and General Rules From Its Current Rulebook Into Its New Rulebook Shell2020-12-11T00:00:00-08:002020-12-11T00:00:00-08:002020-27200Noticehttps://www.govinfo.gov/content/pkg/FR-2020-12-11/pdf/2020-27200.pdfhttps://regulations.justia.com/regulations/fedreg/2020/12/11/2020-27199.htmlNotice - Self-Regulatory Organizations; NYSE Arca, 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 NYSE Arca Rule 5.2-E(j)(6) Relating to Options-Linked Securities2020-12-11T00:00:00-08:002020-12-11T00:00:00-08:002020-27199Noticehttps://www.govinfo.gov/content/pkg/FR-2020-12-11/pdf/2020-27199.pdfhttps://regulations.justia.com/regulations/fedreg/2020/12/11/2020-27091.htmlNotice - Self-Regulatory Organizations; The Nasdaq Stock Market LLC; Notice of Filing of Proposed Rule Change To Adopt Listing Rules Related to Board Diversity2020-12-11T00:00:00-08:002020-12-11T00:00:00-08:002020-27091Noticehttps://www.govinfo.gov/content/pkg/FR-2020-12-11/pdf/2020-27091.pdfhttps://regulations.justia.com/regulations/fedreg/2020/12/11/2020-26390.htmlProposed Rule - Modernization of Rules and Forms for Compensatory Securities Offerings and Sales2020-12-11T00:00:00-08:002020-12-11T00:00:00-08:002020-26390Proposed Rulehttps://www.govinfo.gov/content/pkg/FR-2020-12-11/pdf/2020-26390.pdfhttps://regulations.justia.com/regulations/fedreg/2020/12/11/2020-26374.htmlProposed Rule - Temporary Rules to Include Certain “Platform Workers” in Compensatory Offerings Under Rule 701 and Form S-82020-12-11T00:00:00-08:002020-12-11T00:00:00-08:002020-26374Proposed Rulehttps://www.govinfo.gov/content/pkg/FR-2020-12-11/pdf/2020-26374.pdfhttps://regulations.justia.com/regulations/fedreg/2020/12/11/2020-23364.htmlRule - Qualifications of Accountants2020-12-11T00:00:00-08:002020-12-11T00:00:00-08:002020-23364Rulehttps://www.govinfo.gov/content/pkg/FR-2020-12-11/pdf/2020-23364.pdfhttps://regulations.justia.com/regulations/fedreg/2020/12/10/2020-27090.htmlNotice - Self-Regulatory Organizations; Nasdaq PHLX LLC; Order Instituting Proceedings To Determine Whether To Approve or Disapprove a Proposed Rule Change To List and Trade Options on a Nasdaq-100 Volatility Index2020-12-10T00:00:00-08:002020-12-10T00:00:00-08:002020-27090Noticehttps://www.govinfo.gov/content/pkg/FR-2020-12-10/pdf/2020-27090.pdfhttps://regulations.justia.com/regulations/fedreg/2020/12/10/2020-27089.htmlNotice - Self-Regulatory Organizations; The Nasdaq Stock Market LLC; Notice of Filing of Proposed Rule Change To Adopt Listing Rule IM-5900-9 To Offer Certain Listed Companies Access to a Complimentary Board Recruiting Solution To Help Advance Diversity on Company Boards2020-12-10T00:00:00-08:002020-12-10T00:00:00-08:002020-27089Noticehttps://www.govinfo.gov/content/pkg/FR-2020-12-10/pdf/2020-27089.pdfhttps://regulations.justia.com/regulations/fedreg/2020/12/10/2020-27088.htmlNotice - Self-Regulatory Organizations; Cboe BZX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Its Fee Schedule To Update the Add Volume Tiers, To Eliminate the Remove Volume Tier, and To Eliminate Unused Fee Codes2020-12-10T00:00:00-08:002020-12-10T00:00:00-08:002020-27088Noticehttps://www.govinfo.gov/content/pkg/FR-2020-12-10/pdf/2020-27088.pdfhttps://regulations.justia.com/regulations/fedreg/2020/12/10/2020-27087.htmlNotice - Self-Regulatory Organizations; Fixed Income Clearing Corporation; Notice of Filing of Proposed Rule Change To Modify the Calculation of the MBSD VaR Floor To Incorporate a Minimum Margin Amount2020-12-10T00:00:00-08:002020-12-10T00:00:00-08:002020-27087Noticehttps://www.govinfo.gov/content/pkg/FR-2020-12-10/pdf/2020-27087.pdfhttps://regulations.justia.com/regulations/fedreg/2020/12/10/2020-27086.htmlNotice - Self-Regulatory Organizations; Cboe BYX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend its Fee Schedule To Remove Unused Routing-related Fee Codes2020-12-10T00:00:00-08:002020-12-10T00:00:00-08:002020-27086Noticehttps://www.govinfo.gov/content/pkg/FR-2020-12-10/pdf/2020-27086.pdfhttps://regulations.justia.com/regulations/fedreg/2020/12/09/2020-27029.htmlNotice - Submission for OMB Review; Comment Request2020-12-09T00:00:00-08:002020-12-09T00:00:00-08:002020-27029Noticehttps://www.govinfo.gov/content/pkg/FR-2020-12-09/pdf/2020-27029.pdfhttps://regulations.justia.com/regulations/fedreg/2020/12/09/2020-27028.htmlNotice - Submission for OMB Review; Comment Request2020-12-09T00:00:00-08:002020-12-09T00:00:00-08:002020-27028Noticehttps://www.govinfo.gov/content/pkg/FR-2020-12-09/pdf/2020-27028.pdfhttps://regulations.justia.com/regulations/fedreg/2020/12/09/2020-27027.htmlNotice - Submission for OMB Review; Comment Request2020-12-09T00:00:00-08:002020-12-09T00:00:00-08:002020-27027Noticehttps://www.govinfo.gov/content/pkg/FR-2020-12-09/pdf/2020-27027.pdfhttps://regulations.justia.com/regulations/fedreg/2020/12/09/2020-26995.htmlNotice - Self-Regulatory Organizations; MIAX PEARL, LLC; Notice of Filing of a Proposed Rule Change To Amend the Exchange's By-Laws in Connection With an Equity Rights Program2020-12-09T00:00:00-08:002020-12-09T00:00:00-08:002020-26995Noticehttps://www.govinfo.gov/content/pkg/FR-2020-12-09/pdf/2020-26995.pdfhttps://regulations.justia.com/regulations/fedreg/2020/12/09/2020-26994.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 Formation2020-12-09T00:00:00-08:002020-12-09T00:00:00-08:002020-26994Noticehttps://www.govinfo.gov/content/pkg/FR-2020-12-09/pdf/2020-26994.pdfhttps://regulations.justia.com/regulations/fedreg/2020/12/09/2020-26993.htmlNotice - Self-Regulatory Organizations; NYSE National, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Its Schedule of Fees and Rebates2020-12-09T00:00:00-08:002020-12-09T00:00:00-08:002020-26993Noticehttps://www.govinfo.gov/content/pkg/FR-2020-12-09/pdf/2020-26993.pdfhttps://regulations.justia.com/regulations/fedreg/2020/12/09/2020-26992.htmlNotice - Self-Regulatory Organizations; The Nasdaq Stock Market LLC; Notice of Designation of a Longer Period for Commission Action on Proceedings To Determine Whether To Approve or Disapprove a Proposed Rule Change To Apply Additional Initial Listing Criteria for Companies Primarily Operating in Restrictive Markets2020-12-09T00:00:00-08:002020-12-09T00:00:00-08:002020-26992Noticehttps://www.govinfo.gov/content/pkg/FR-2020-12-09/pdf/2020-26992.pdfhttps://regulations.justia.com/regulations/fedreg/2020/12/09/2020-26991.htmlNotice - Self-Regulatory Organizations; Nasdaq PHLX LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Nasdaq PSX Rules 3213, 3301A, and 3301B2020-12-09T00:00:00-08:002020-12-09T00:00:00-08:002020-26991Noticehttps://www.govinfo.gov/content/pkg/FR-2020-12-09/pdf/2020-26991.pdfhttps://regulations.justia.com/regulations/fedreg/2020/12/09/2020-26990.htmlNotice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Streamline the NYSE Arca Equities Fees and Charges2020-12-09T00:00:00-08:002020-12-09T00:00:00-08:002020-26990Noticehttps://www.govinfo.gov/content/pkg/FR-2020-12-09/pdf/2020-26990.pdfhttps://regulations.justia.com/regulations/fedreg/2020/12/09/2020-26989.htmlNotice - Self-Regulatory Organizations; MEMX LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the Exchange's Fee Schedule2020-12-09T00:00:00-08:002020-12-09T00:00:00-08:002020-26989Noticehttps://www.govinfo.gov/content/pkg/FR-2020-12-09/pdf/2020-26989.pdfhttps://regulations.justia.com/regulations/fedreg/2020/12/09/2020-26988.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 Procedures2020-12-09T00:00:00-08:002020-12-09T00:00:00-08:002020-26988Noticehttps://www.govinfo.gov/content/pkg/FR-2020-12-09/pdf/2020-26988.pdfhttps://regulations.justia.com/regulations/fedreg/2020/12/08/2020-26902.htmlNotice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Regarding the Availability of Information for the iShares Gold Trust and the iShares Silver Trust Under NYSE Arca Rule 8.201-E (Commodity-Based Trust Shares) and iShares S&P GSCI Commodity-Indexed Trust Under Rule 8.203-E (Commodity Index Trust Shares)2020-12-08T00:00:00-08:002020-12-08T00:00:00-08:002020-26902Noticehttps://www.govinfo.gov/content/pkg/FR-2020-12-08/pdf/2020-26902.pdfhttps://regulations.justia.com/regulations/fedreg/2020/12/08/2020-26901.htmlNotice - Self-Regulatory Organizations; Fixed Income Clearing Corporation; Notice of Filing of Proposed Rule Change To Include Same-Day Settling Trades in the Risk Management, Novation, Guarantee, and Settlement Services of the Government Securities Division's Delivery-Versus-Payment Service, and Make Other Changes2020-12-08T00:00:00-08:002020-12-08T00:00:00-08:002020-26901Noticehttps://www.govinfo.gov/content/pkg/FR-2020-12-08/pdf/2020-26901.pdfhttps://regulations.justia.com/regulations/fedreg/2020/12/08/2020-26898.htmlNotice - Self-Regulatory Organizations; The Nasdaq Stock Market LLC; Notice of Designation of a Longer Period for Commission Action on Proceedings To Determine Whether To Approve or Disapprove a Proposed Rule Change, as Modified by Amendment No. 1, To Amend IM-5101-1 (Use of Discretionary Authority) To Deny Listing or Continued Listing or To Apply Additional and More Stringent Criteria to an Applicant or Listed Company Based on Considerations Related to the Company's Auditor or When a Company's Business Is Principally Administered in a Jurisdiction That Is a Restrictive Market2020-12-08T00:00:00-08:002020-12-08T00:00:00-08:002020-26898Noticehttps://www.govinfo.gov/content/pkg/FR-2020-12-08/pdf/2020-26898.pdfhttps://regulations.justia.com/regulations/fedreg/2020/12/08/2020-26897.htmlNotice - Self-Regulatory Organizations; The Nasdaq Stock Market LLC; Notice of Designation of a Longer Period for Commission Action on Proceedings To Determine Whether To Approve or Disapprove a Proposed Rule Change, as Modified by Amendment Nos. 1 and 2, To Adopt a New Requirement Related to the Qualification of Management for Companies From Restrictive Markets2020-12-08T00:00:00-08:002020-12-08T00:00:00-08:002020-26897Noticehttps://www.govinfo.gov/content/pkg/FR-2020-12-08/pdf/2020-26897.pdfhttps://regulations.justia.com/regulations/fedreg/2020/12/08/2020-26896.htmlNotice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Adopt New Rule 6.78A-O Regarding In-Kind Exchanges of Options Positions in Connection With Exchange-Traded Fund Shares and Unit Investment Trust Interests2020-12-08T00:00:00-08:002020-12-08T00:00:00-08:002020-26896Noticehttps://www.govinfo.gov/content/pkg/FR-2020-12-08/pdf/2020-26896.pdfhttps://regulations.justia.com/regulations/fedreg/2020/12/07/2020-26899.htmlNotice - Sunshine Act Meetings2020-12-07T00:00:00-08:002020-12-07T00:00:00-08:002020-26899Noticehttps://www.govinfo.gov/content/pkg/FR-2020-12-07/pdf/2020-26899.pdfhttps://regulations.justia.com/regulations/fedreg/2020/12/07/2020-26892.htmlNotice - Sunshine Act Meetings2020-12-07T00:00:00-08:002020-12-07T00:00:00-08:002020-26892Noticehttps://www.govinfo.gov/content/pkg/FR-2020-12-07/pdf/2020-26892.pdfhttps://regulations.justia.com/regulations/fedreg/2020/12/07/2020-26787.htmlNotice - Self-Regulatory Organizations; The Depository Trust Company; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change, as Modified by Amendment No. 1, To Amend the Guide to the DTC Fee Schedule2020-12-07T00:00:00-08:002020-12-07T00:00:00-08:002020-26787Noticehttps://www.govinfo.gov/content/pkg/FR-2020-12-07/pdf/2020-26787.pdfhttps://regulations.justia.com/regulations/fedreg/2020/12/07/2020-26786.htmlNotice - Self-Regulatory Organizations; Fixed Income Clearing Corporation; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change, as Modified by Amendment No. 1, To Modify the Clearance Maintenance Fee, Reduce the End of Day Position Fee of the Government Securities Division, and Describe the Current Rebate Policy2020-12-07T00:00:00-08:002020-12-07T00:00:00-08:002020-26786Noticehttps://www.govinfo.gov/content/pkg/FR-2020-12-07/pdf/2020-26786.pdfhttps://regulations.justia.com/regulations/fedreg/2020/12/07/2020-26785.htmlNotice - Self-Regulatory Organizations; National Securities Clearing Corporation; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change, as Modified by Amendment No. 1, To Amend the Fee Structure2020-12-07T00:00:00-08:002020-12-07T00:00:00-08:002020-26785Noticehttps://www.govinfo.gov/content/pkg/FR-2020-12-07/pdf/2020-26785.pdfhttps://regulations.justia.com/regulations/fedreg/2020/12/07/2020-26784.htmlNotice - Self-Regulatory Organizations; The Nasdaq Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Exempt Proxy Portfolio Shares From Certain Governance Requirements and Include Proxy Portfolio Shares to the List of Products Covered Under Nasdaq Rule 4120 (Limit Up-Limit Down Plan and Trading Halts)2020-12-07T00:00:00-08:002020-12-07T00:00:00-08:002020-26784Noticehttps://www.govinfo.gov/content/pkg/FR-2020-12-07/pdf/2020-26784.pdfhttps://regulations.justia.com/regulations/fedreg/2020/12/07/2020-26783.htmlNotice - Self-Regulatory Organizations; LCH SA; Order Approving Proposed Rule Change Relating to the Amendments to LCH SA's Liquidity Risk Modelling Framework2020-12-07T00:00:00-08:002020-12-07T00:00:00-08:002020-26783Noticehttps://www.govinfo.gov/content/pkg/FR-2020-12-07/pdf/2020-26783.pdfhttps://regulations.justia.com/regulations/fedreg/2020/12/04/2020-26678.htmlNotice - Self-Regulatory Organizations; Cboe Exchange, Inc.; Notice of Filing of a Proposed Rule Change, as Modified by Amendment No. 1, To Amend Its Rules Regarding the Minimum Increments for Electronic Bids and Offers and Exercise Prices of Certain FLEX Options and Clarify in the Rules How the System Ranks FLEX Option Bids and Offers for Allocation Purposes2020-12-04T00:00:00-08:002020-12-04T00:00:00-08:002020-26678Noticehttps://www.govinfo.gov/content/pkg/FR-2020-12-04/pdf/2020-26678.pdfhttps://regulations.justia.com/regulations/fedreg/2020/12/04/2020-26677.htmlNotice - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing of Amendment No. 1 and Order Granting Accelerated Approval of a Proposed Rule Change, as Modified by Amendment No. 1 To Delete the FINRA Order Audit Trail System (OATS)2020-12-04T00:00:00-08:002020-12-04T00:00:00-08:002020-26677Noticehttps://www.govinfo.gov/content/pkg/FR-2020-12-04/pdf/2020-26677.pdfhttps://regulations.justia.com/regulations/fedreg/2020/12/04/2020-26676.htmlNotice - Self-Regulatory Organizations; The Depository Trust Company; Notice of Filing of Proposed Rule Change to Allow for the Deposit of Electronic Certificates of Deposit and Technical Changes2020-12-04T00:00:00-08:002020-12-04T00:00:00-08:002020-26676Noticehttps://www.govinfo.gov/content/pkg/FR-2020-12-04/pdf/2020-26676.pdfhttps://regulations.justia.com/regulations/fedreg/2020/12/04/2020-26675.htmlNotice - Self-Regulatory Organizations; Cboe BZX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to List and Trade Shares of the Fidelity Growth Opportunities ETF, Fidelity Magellan ETF, Fidelity Real Estate Investment ETF, and Fidelity Small-Mid Cap Opportunities ETF Under Rule 14.11(m) (Tracking Fund Shares)2020-12-04T00:00:00-08:002020-12-04T00:00:00-08:002020-26675Noticehttps://www.govinfo.gov/content/pkg/FR-2020-12-04/pdf/2020-26675.pdfhttps://regulations.justia.com/regulations/fedreg/2020/12/04/2020-26674.htmlNotice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to the Perth Mint Physical Gold ETF2020-12-04T00:00:00-08:002020-12-04T00:00:00-08:002020-26674Noticehttps://www.govinfo.gov/content/pkg/FR-2020-12-04/pdf/2020-26674.pdfhttps://regulations.justia.com/regulations/fedreg/2020/12/04/2020-26673.htmlNotice - Self-Regulatory Organizations; NYSE Arca, Inc.; Order Approving a Proposed Rule Change, as Modified by Amendment No. 2, To List and Trade Shares of Alger Mid Cap 40 ETF and Alger 25 ETF Under Rule 8.900-E2020-12-04T00:00:00-08:002020-12-04T00:00:00-08:002020-26673Noticehttps://www.govinfo.gov/content/pkg/FR-2020-12-04/pdf/2020-26673.pdfhttps://regulations.justia.com/regulations/fedreg/2020/12/04/2020-26594.htmlNotice - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing of a Proposed Rule Change To Adopt FINRA Rule 4111 (Restricted Firm Obligations) and FINRA Rule 9561 (Procedures for Regulating Activities Under Rule 4111)2020-12-04T00:00:00-08:002020-12-04T00:00:00-08:002020-26594Noticehttps://www.govinfo.gov/content/pkg/FR-2020-12-04/pdf/2020-26594.pdfhttps://regulations.justia.com/regulations/fedreg/2020/12/04/2020-26166.htmlRule - Electronic Signatures in Regulation S-T Rule 3022020-12-04T00:00:00-08:002020-12-04T00:00:00-08:002020-26166Rulehttps://www.govinfo.gov/content/pkg/FR-2020-12-04/pdf/2020-26166.pdfhttps://regulations.justia.com/regulations/fedreg/2020/12/03/2020-26597.htmlNotice - Self-Regulatory Organizations; LCH SA; Notice of Filing of Partial Amendment No. 1 and Order Granting Accelerated Approval of Proposed Rule Change, as Modified by Partial Amendment No. 1, Relating to the Clearing of Options on Index Credit Default Swaps in Respect of North American Indices (More Specifically, CDX.NA.IG and CDX.NA.HY)2020-12-03T00:00:00-08:002020-12-03T00:00:00-08:002020-26597Noticehttps://www.govinfo.gov/content/pkg/FR-2020-12-03/pdf/2020-26597.pdfhttps://regulations.justia.com/regulations/fedreg/2020/12/03/2020-26596.htmlNotice - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Deemed Approval of a Proposed Rule Change To Adopt Rule 8.601 (Active Proxy Portfolio Shares) and Rule 8.900 (Managed Portfolio Shares), Amend the Preamble to Rule 8P, and Amend Section 302.00 of the Listed Company Manual2020-12-03T00:00:00-08:002020-12-03T00:00:00-08:002020-26596Noticehttps://www.govinfo.gov/content/pkg/FR-2020-12-03/pdf/2020-26596.pdfhttps://regulations.justia.com/regulations/fedreg/2020/12/03/2020-26595.htmlNotice - Self-Regulatory Organizations; ICE Clear Credit LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change, as Modified by Partial Amendment No. 1, Relating to ICC's Fee Schedule2020-12-03T00:00:00-08:002020-12-03T00:00:00-08:002020-26595Noticehttps://www.govinfo.gov/content/pkg/FR-2020-12-03/pdf/2020-26595.pdfhttps://regulations.justia.com/regulations/fedreg/2020/12/02/2020-26591.htmlNotice - Proposed Collection; Comment Request2020-12-02T00:00:00-08:002020-12-02T00:00:00-08:002020-26591Noticehttps://www.govinfo.gov/content/pkg/FR-2020-12-02/pdf/2020-26591.pdfhttps://regulations.justia.com/regulations/fedreg/2020/12/02/2020-26590.htmlNotice - Notice of Applications for Deregistration Under Section 8(f) of the Investment Company Act of 19402020-12-02T00:00:00-08:002020-12-02T00:00:00-08:002020-26590Noticehttps://www.govinfo.gov/content/pkg/FR-2020-12-02/pdf/2020-26590.pdfhttps://regulations.justia.com/regulations/fedreg/2020/12/02/2020-26589.htmlNotice - Proposed Collection; Comment Request2020-12-02T00:00:00-08:002020-12-02T00:00:00-08:002020-26589Noticehttps://www.govinfo.gov/content/pkg/FR-2020-12-02/pdf/2020-26589.pdfhttps://regulations.justia.com/regulations/fedreg/2020/12/02/2020-26588.htmlNotice - Proposed Collection; Comment Request2020-12-02T00:00:00-08:002020-12-02T00:00:00-08:002020-26588Noticehttps://www.govinfo.gov/content/pkg/FR-2020-12-02/pdf/2020-26588.pdfhttps://regulations.justia.com/regulations/fedreg/2020/12/01/2020-26550.htmlNotice - Sunshine Act Meetings2020-12-01T00:00:00-08:002020-12-01T00:00:00-08:002020-26550Noticehttps://www.govinfo.gov/content/pkg/FR-2020-12-01/pdf/2020-26550.pdfhttps://regulations.justia.com/regulations/fedreg/2020/12/01/2020-26505.htmlNotice - Submission for OMB Review; Comment Request2020-12-01T00:00:00-08:002020-12-01T00:00:00-08:002020-26505Noticehttps://www.govinfo.gov/content/pkg/FR-2020-12-01/pdf/2020-26505.pdfhttps://regulations.justia.com/regulations/fedreg/2020/12/01/2020-26501.htmlNotice - Self-Regulatory Organizations; BOX Exchange LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend BOX Rule 7020 (“Days and Hours of Business”)2020-12-01T00:00:00-08:002020-12-01T00:00:00-08:002020-26501Noticehttps://www.govinfo.gov/content/pkg/FR-2020-12-01/pdf/2020-26501.pdfhttps://regulations.justia.com/regulations/fedreg/2020/12/01/2020-26500.htmlNotice - Self-Regulatory Organizations; BOX Exchange LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the Provisions of the Exchange's Second Amended and Restated Limited Liability Company Agreement2020-12-01T00:00:00-08:002020-12-01T00:00:00-08:002020-26500Noticehttps://www.govinfo.gov/content/pkg/FR-2020-12-01/pdf/2020-26500.pdfhttps://regulations.justia.com/regulations/fedreg/2020/12/01/2020-26499.htmlNotice - Self-Regulatory Organizations; The Nasdaq Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Modify Certain Annual Listing Fees2020-12-01T00:00:00-08:002020-12-01T00:00:00-08:002020-26499Noticehttps://www.govinfo.gov/content/pkg/FR-2020-12-01/pdf/2020-26499.pdfhttps://regulations.justia.com/regulations/fedreg/2020/12/01/2020-26497.htmlNotice - Proposed Collection; Comment Request2020-12-01T00:00:00-08:002020-12-01T00:00:00-08:002020-26497Noticehttps://www.govinfo.gov/content/pkg/FR-2020-12-01/pdf/2020-26497.pdfhttps://regulations.justia.com/regulations/fedreg/2020/12/01/2020-26494.htmlNotice - Submission for OMB Review; Comment Request2020-12-01T00:00:00-08:002020-12-01T00:00:00-08:002020-26494Noticehttps://www.govinfo.gov/content/pkg/FR-2020-12-01/pdf/2020-26494.pdfhttps://regulations.justia.com/regulations/fedreg/2020/12/01/2020-26419.htmlNotice - Order Granting Conditional Exemptive Relief, Pursuant to Section 36 of the Securities Exchange Act of 1934 (“Exchange Act”) With Respect to Futures Contracts on the SPIKESTM2020-12-01T00:00:00-08:002020-12-01T00:00:00-08:002020-26419Noticehttps://www.govinfo.gov/content/pkg/FR-2020-12-01/pdf/2020-26419.pdfhttps://regulations.justia.com/regulations/fedreg/2020/12/01/2020-26412.htmlNotice - Self-Regulatory Organizations; BOX Exchange LLC; Notice of Designation of Longer Period for Commission Action on Proposed Rule Change, as Modified by Amendment No. 1, a Proposed Rule Change in Connection With the Proposed Establishment of the Boston Security Token Exchange LLC as a Facility of the Exchange2020-12-01T00:00:00-08:002020-12-01T00:00:00-08:002020-26412Noticehttps://www.govinfo.gov/content/pkg/FR-2020-12-01/pdf/2020-26412.pdfhttps://regulations.justia.com/regulations/fedreg/2020/12/01/2020-26411.htmlNotice - Self-Regulatory Organizations; BOX Exchange LLC; Notice of Designation of Longer Period for Commission Action on Proposed Rule Change, as Modified by Amendment No. 1, To Adopt Rules Governing the Trading of Equity Securities on the Exchange Through a Facility of the Exchange Known as the Boston Security Token Exchange LLC2020-12-01T00:00:00-08:002020-12-01T00:00:00-08:002020-26411Noticehttps://www.govinfo.gov/content/pkg/FR-2020-12-01/pdf/2020-26411.pdfhttps://regulations.justia.com/regulations/fedreg/2020/12/01/2020-26406.htmlNotice - Self-Regulatory Organizations; Cboe EDGX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Extend Its Early Trading Session2020-12-01T00:00:00-08:002020-12-01T00:00:00-08:002020-26406Noticehttps://www.govinfo.gov/content/pkg/FR-2020-12-01/pdf/2020-26406.pdfhttps://regulations.justia.com/regulations/fedreg/2020/12/01/2020-26405.htmlNotice - Self-Regulatory Organizations; Miami International Securities Exchange, LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Delay Implementation of an Amendment to Rule 518, Complex Orders, To Permit Legging Through the Simple Market2020-12-01T00:00:00-08:002020-12-01T00:00:00-08:002020-26405Noticehttps://www.govinfo.gov/content/pkg/FR-2020-12-01/pdf/2020-26405.pdfhttps://regulations.justia.com/regulations/fedreg/2020/12/01/2020-26404.htmlNotice - Self-Regulatory Organizations; ICE Clear Credit LLC; Order Approving Proposed Rule Change, Security-Based Swap Submission, or Advance Notice Relating to the ICC Clearing Rules2020-12-01T00:00:00-08:002020-12-01T00:00:00-08:002020-26404Noticehttps://www.govinfo.gov/content/pkg/FR-2020-12-01/pdf/2020-26404.pdfhttps://regulations.justia.com/regulations/fedreg/2020/12/01/2020-26403.htmlNotice - Self-Regulatory Organizations; Cboe Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating To Amend Its Fees Schedule2020-12-01T00:00:00-08:002020-12-01T00:00:00-08:002020-26403Noticehttps://www.govinfo.gov/content/pkg/FR-2020-12-01/pdf/2020-26403.pdfhttps://regulations.justia.com/regulations/fedreg/2020/12/01/2020-26402.htmlNotice - Self-Regulatory Organizations; Nasdaq MRX, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Its Pricing Schedule at Options 7 for Orders Entered Into the Exchange's Price Improvement Mechanism2020-12-01T00:00:00-08:002020-12-01T00:00:00-08:002020-26402Noticehttps://www.govinfo.gov/content/pkg/FR-2020-12-01/pdf/2020-26402.pdfhttps://regulations.justia.com/regulations/fedreg/2020/12/01/2020-26401.htmlNotice - Self-Regulatory Organizations; National Securities Clearing Corporation; Order Approving a Proposed Rule Change To Enhance National Securities Clearing Corporation's Haircut-Based Volatility Charge Applicable to Illiquid Securities and UITs and Make Certain Other Changes to Procedure XV2020-12-01T00:00:00-08:002020-12-01T00:00:00-08:002020-26401Noticehttps://www.govinfo.gov/content/pkg/FR-2020-12-01/pdf/2020-26401.pdfhttps://regulations.justia.com/regulations/fedreg/2020/12/01/2020-26400.htmlNotice - Self-Regulatory Organizations; Nasdaq ISE, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change to an Amendment to Options 7, Section 4, Related to Complex Orders Fees and Rebates, and Options 7, Section 92020-12-01T00:00:00-08:002020-12-01T00:00:00-08:002020-26400Noticehttps://www.govinfo.gov/content/pkg/FR-2020-12-01/pdf/2020-26400.pdfhttps://regulations.justia.com/regulations/fedreg/2020/12/01/2020-26399.htmlNotice - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing of Proposed Rule Change To Make Permanent Commentaries to Rule 7.35A and Commentaries to Rule 7.35B and Make Related Changes to Rules 7.32, 7.35C, 46B, and 472020-12-01T00:00:00-08:002020-12-01T00:00:00-08:002020-26399Noticehttps://www.govinfo.gov/content/pkg/FR-2020-12-01/pdf/2020-26399.pdfhttps://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.pdf