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/2021/01?limit=200®isters=between&min-day=1&max-day=31&mode=atom2024-05-01T20:17:15-07:00Justia Inchttps://www.justia.com/Justia Regulations Trackerhttps://regulations.justia.com/images/justiafedregulations.gifCopyright 2011 Justia Inchttps://regulations.justia.com/regulations/fedreg/2021/01/29/2021-01943.htmlNotice - Self-Regulatory Organizations; BOX Exchange LLC; Order Disapproving Proposed Rule Change, as Modified by Amendment No. 1, in Connection With the Proposed Establishment of the Boston Security Token Exchange LLC as a Facility of the Exchange2021-01-29T00:00:00-08:002021-01-29T00:00:00-08:002021-01943Noticehttps://www.govinfo.gov/content/pkg/FR-2021-01-29/pdf/2021-01943.pdfhttps://regulations.justia.com/regulations/fedreg/2021/01/29/2021-01942.htmlNotice - Self-Regulatory Organizations; Cboe Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Rule 5.242021-01-29T00:00:00-08:002021-01-29T00:00:00-08:002021-01942Noticehttps://www.govinfo.gov/content/pkg/FR-2021-01-29/pdf/2021-01942.pdfhttps://regulations.justia.com/regulations/fedreg/2021/01/29/2021-01941.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 NYSE Arca, Inc.2021-01-29T00:00:00-08:002021-01-29T00:00:00-08:002021-01941Noticehttps://www.govinfo.gov/content/pkg/FR-2021-01-29/pdf/2021-01941.pdfhttps://regulations.justia.com/regulations/fedreg/2021/01/29/2021-01940.htmlNotice - Self-Regulatory Organizations; MIAX PEARL, LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the MIAX PEARL Options Fee Schedule for Member and Non-Member Monthly Network Connectivity Fees2021-01-29T00:00:00-08:002021-01-29T00:00:00-08:002021-01940Noticehttps://www.govinfo.gov/content/pkg/FR-2021-01-29/pdf/2021-01940.pdfhttps://regulations.justia.com/regulations/fedreg/2021/01/29/2021-01939.htmlNotice - Self-Regulatory Organizations; Miami International Securities Exchange LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Its Fee Schedule for Member and Non-Member Monthly Network Connectivity Fees2021-01-29T00:00:00-08:002021-01-29T00:00:00-08:002021-01939Noticehttps://www.govinfo.gov/content/pkg/FR-2021-01-29/pdf/2021-01939.pdfhttps://regulations.justia.com/regulations/fedreg/2021/01/28/2021-01837.htmlNotice - Self-Regulatory Organizations; BOX Exchange LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Adopt Temporary IM-2020-1 (Temporary Extension for Representatives To Function as Principals)2021-01-28T00:00:00-08:002021-01-28T00:00:00-08:002021-01837Noticehttps://www.govinfo.gov/content/pkg/FR-2021-01-28/pdf/2021-01837.pdfhttps://regulations.justia.com/regulations/fedreg/2021/01/28/2021-01836.htmlNotice - Self-Regulatory Organizations; Cboe EDGX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Establish a Monthly Fee Assessed on Members' MPIDs2021-01-28T00:00:00-08:002021-01-28T00:00:00-08:002021-01836Noticehttps://www.govinfo.gov/content/pkg/FR-2021-01-28/pdf/2021-01836.pdfhttps://regulations.justia.com/regulations/fedreg/2021/01/28/2021-01835.htmlNotice - Self-Regulatory Organizations; Cboe BZX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Its Opening Process for Simple Orders2021-01-28T00:00:00-08:002021-01-28T00:00:00-08:002021-01835Noticehttps://www.govinfo.gov/content/pkg/FR-2021-01-28/pdf/2021-01835.pdfhttps://regulations.justia.com/regulations/fedreg/2021/01/28/2021-01834.htmlNotice - Self-Regulatory Organizations; Cboe Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating To Amend Its Opening Process for Simple Orders2021-01-28T00:00:00-08:002021-01-28T00:00:00-08:002021-01834Noticehttps://www.govinfo.gov/content/pkg/FR-2021-01-28/pdf/2021-01834.pdfhttps://regulations.justia.com/regulations/fedreg/2021/01/28/2021-01833.htmlNotice - Self-Regulatory Organizations; Cboe EDGX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Its Opening Process for Simple Orders2021-01-28T00:00:00-08:002021-01-28T00:00:00-08:002021-01833Noticehttps://www.govinfo.gov/content/pkg/FR-2021-01-28/pdf/2021-01833.pdfhttps://regulations.justia.com/regulations/fedreg/2021/01/28/2021-01831.htmlNotice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Designation of a Longer Period for Commission Action on a Proposed Rule Change To List and Trade Shares of the Stance Equity ESG Large Cap Core ETF Under NYSE Arca Rule 8.601-E2021-01-28T00:00:00-08:002021-01-28T00:00:00-08:002021-01831Noticehttps://www.govinfo.gov/content/pkg/FR-2021-01-28/pdf/2021-01831.pdfhttps://regulations.justia.com/regulations/fedreg/2021/01/28/2021-01830.htmlNotice - Self-Regulatory Organizations; Cboe C2 Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating To Amend Its Opening Process for Simple Orders2021-01-28T00:00:00-08:002021-01-28T00:00:00-08:002021-01830Noticehttps://www.govinfo.gov/content/pkg/FR-2021-01-28/pdf/2021-01830.pdfhttps://regulations.justia.com/regulations/fedreg/2021/01/28/2021-01816.htmlNotice - Proposed Collection; Comment Request2021-01-28T00:00:00-08:002021-01-28T00:00:00-08:002021-01816Noticehttps://www.govinfo.gov/content/pkg/FR-2021-01-28/pdf/2021-01816.pdfhttps://regulations.justia.com/regulations/fedreg/2021/01/27/2021-01731.htmlNotice - Self-Regulatory Organizations; Cboe EDGA Exchange, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Establish a Monthly Fee Assessed on Members' MPIDs2021-01-27T00:00:00-08:002021-01-27T00:00:00-08:002021-01731Noticehttps://www.govinfo.gov/content/pkg/FR-2021-01-27/pdf/2021-01731.pdfhttps://regulations.justia.com/regulations/fedreg/2021/01/27/2021-01730.htmlNotice - Self-Regulatory Organizations; MIAX PEARL, LLC; Notice of Designation of a Longer Period for Commission Action on a Proposed Rule Change To Amend the Exchange's By-Laws in Connection With an Equity Rights Program2021-01-27T00:00:00-08:002021-01-27T00:00:00-08:002021-01730Noticehttps://www.govinfo.gov/content/pkg/FR-2021-01-27/pdf/2021-01730.pdfhttps://regulations.justia.com/regulations/fedreg/2021/01/27/2021-01729.htmlNotice - Self-Regulatory Organizations; The Options Clearing Corporation; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Revisions to Part 39 of the Commodity Futures Trading Commission Regulations2021-01-27T00:00:00-08:002021-01-27T00:00:00-08:002021-01729Noticehttps://www.govinfo.gov/content/pkg/FR-2021-01-27/pdf/2021-01729.pdfhttps://regulations.justia.com/regulations/fedreg/2021/01/27/2021-01728.htmlNotice - Self-Regulatory Organizations; Cboe BZX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Expand the Annual Listing Fee Cap for Outcome Strategy ETPs To Include Series Having Returns Based on Two or More Reference Indexes2021-01-27T00:00:00-08:002021-01-27T00:00:00-08:002021-01728Noticehttps://www.govinfo.gov/content/pkg/FR-2021-01-27/pdf/2021-01728.pdfhttps://regulations.justia.com/regulations/fedreg/2021/01/27/2021-01727.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 Schedule2021-01-27T00:00:00-08:002021-01-27T00:00:00-08:002021-01727Noticehttps://www.govinfo.gov/content/pkg/FR-2021-01-27/pdf/2021-01727.pdfhttps://regulations.justia.com/regulations/fedreg/2021/01/27/2021-01667.htmlNotice - Proposed Collection; Comment Request2021-01-27T00:00:00-08:002021-01-27T00:00:00-08:002021-01667Noticehttps://www.govinfo.gov/content/pkg/FR-2021-01-27/pdf/2021-01667.pdfhttps://regulations.justia.com/regulations/fedreg/2021/01/27/2021-01655.htmlNotice - Submission for OMB Review; Comment Request2021-01-27T00:00:00-08:002021-01-27T00:00:00-08:002021-01655Noticehttps://www.govinfo.gov/content/pkg/FR-2021-01-27/pdf/2021-01655.pdfhttps://regulations.justia.com/regulations/fedreg/2021/01/25/2021-01438.htmlNotice - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Order Setting Aside Action by Delegated Authority and Approving a Proposed Rule Change, as Modified by Amendment No. 2, To Establish a Corporate Bond New Issue Reference Data Service2021-01-25T00:00:00-08:002021-01-25T00:00:00-08:002021-01438Noticehttps://www.govinfo.gov/content/pkg/FR-2021-01-25/pdf/2021-01438.pdfhttps://regulations.justia.com/regulations/fedreg/2021/01/25/2021-01420.htmlNotice - Self-Regulatory Organizations; Miami International Securities Exchange LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Exchange Rule 1308, Supervision of Accounts, To Adopt Temporary Rules To Extend the Time by Which Members Must Complete Their Branch Office Inspections for the Calendar Year 2020 and To Provide Temporary Remote Inspection Relief for Their Office Inspections for Calendar Years 2020 and 20212021-01-25T00:00:00-08:002021-01-25T00:00:00-08:002021-01420Noticehttps://www.govinfo.gov/content/pkg/FR-2021-01-25/pdf/2021-01420.pdfhttps://regulations.justia.com/regulations/fedreg/2021/01/22/2021-01530.htmlNotice - Sunshine Act Meetings2021-01-22T00:00:00-08:002021-01-22T00:00:00-08:002021-01530Noticehttps://www.govinfo.gov/content/pkg/FR-2021-01-22/pdf/2021-01530.pdfhttps://regulations.justia.com/regulations/fedreg/2021/01/22/2021-01403.htmlNotice - Self-Regulatory Organizations; Nasdaq BX, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the BX Options Pricing Schedule2021-01-22T00:00:00-08:002021-01-22T00:00:00-08:002021-01403Noticehttps://www.govinfo.gov/content/pkg/FR-2021-01-22/pdf/2021-01403.pdfhttps://regulations.justia.com/regulations/fedreg/2021/01/22/2021-01402.htmlNotice - Self-Regulatory Organizations: Investors Exchange LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Modify the Way It Handles Odd Lot Orders by Allowing Them To Be Displayed Orders and To Aggregate To Form a Protected Quotation2021-01-22T00:00:00-08:002021-01-22T00:00:00-08:002021-01402Noticehttps://www.govinfo.gov/content/pkg/FR-2021-01-22/pdf/2021-01402.pdfhttps://regulations.justia.com/regulations/fedreg/2021/01/22/2021-01341.htmlNotice - Order Making Fiscal Year 2021 Annual Adjustments to Transaction Fee Rates2021-01-22T00:00:00-08:002021-01-22T00:00:00-08:002021-01341Noticehttps://www.govinfo.gov/content/pkg/FR-2021-01-22/pdf/2021-01341.pdfhttps://regulations.justia.com/regulations/fedreg/2021/01/22/2021-01324.htmlNotice - Self-Regulatory Organizations; Fixed Income Clearing Corporation; Notice of No Objection To Advance Notice 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 Changes2021-01-22T00:00:00-08:002021-01-22T00:00:00-08:002021-01324Noticehttps://www.govinfo.gov/content/pkg/FR-2021-01-22/pdf/2021-01324.pdfhttps://regulations.justia.com/regulations/fedreg/2021/01/22/2021-01311.htmlNotice - Public Company Accounting Oversight Board; Order Granting Approval of Amendments to PCAOB Interim Independence Standards and PCAOB Rules to Align with Amendments to Rule 2-01 of Regulation S-X2021-01-22T00:00:00-08:002021-01-22T00:00:00-08:002021-01311Noticehttps://www.govinfo.gov/content/pkg/FR-2021-01-22/pdf/2021-01311.pdfhttps://regulations.justia.com/regulations/fedreg/2021/01/22/2021-01285.htmlNotice - Self-Regulatory Organizations; Cboe Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating To Amend the Silexx Trading Platform Fees Schedule2021-01-22T00:00:00-08:002021-01-22T00:00:00-08:002021-01285Noticehttps://www.govinfo.gov/content/pkg/FR-2021-01-22/pdf/2021-01285.pdfhttps://regulations.justia.com/regulations/fedreg/2021/01/22/2021-01284.htmlNotice - Self-Regulatory Organizations; ICE Clear Credit LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to the ICC Clearing Rules2021-01-22T00:00:00-08:002021-01-22T00:00:00-08:002021-01284Noticehttps://www.govinfo.gov/content/pkg/FR-2021-01-22/pdf/2021-01284.pdfhttps://regulations.justia.com/regulations/fedreg/2021/01/22/2021-01283.htmlNotice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Designation of a Longer Period for Commission Action on a Proposed Rule Change To List and Trade the Shares of the Teucrium Water Fund Under NYSE Arca Rule 8.200-E, Commentary .022021-01-22T00:00:00-08:002021-01-22T00:00:00-08:002021-01283Noticehttps://www.govinfo.gov/content/pkg/FR-2021-01-22/pdf/2021-01283.pdfhttps://regulations.justia.com/regulations/fedreg/2021/01/22/2021-01282.htmlNotice - Self-Regulatory Organizations; Cboe Exchange, Inc.; Notice of Designation of a Longer Period for Commission Action on 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 Purposes2021-01-22T00:00:00-08:002021-01-22T00:00:00-08:002021-01282Noticehttps://www.govinfo.gov/content/pkg/FR-2021-01-22/pdf/2021-01282.pdfhttps://regulations.justia.com/regulations/fedreg/2021/01/22/2021-01281.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 Authorize for Trading Flexible Exchange Options on Full-Value Indexes With a Contract Multiplier of One2021-01-22T00:00:00-08:002021-01-22T00:00:00-08:002021-01281Noticehttps://www.govinfo.gov/content/pkg/FR-2021-01-22/pdf/2021-01281.pdfhttps://regulations.justia.com/regulations/fedreg/2021/01/22/2021-01280.htmlNotice - Self-Regulatory Organizations; Cboe EDGX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the Fees Applicable to the EDGX Top Feed2021-01-22T00:00:00-08:002021-01-22T00:00:00-08:002021-01280Noticehttps://www.govinfo.gov/content/pkg/FR-2021-01-22/pdf/2021-01280.pdfhttps://regulations.justia.com/regulations/fedreg/2021/01/22/2021-01279.htmlNotice - Self-Regulatory Organizations; Cboe BZX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the Fees Applicable to the BZX Top Feed2021-01-22T00:00:00-08:002021-01-22T00:00:00-08:002021-01279Noticehttps://www.govinfo.gov/content/pkg/FR-2021-01-22/pdf/2021-01279.pdfhttps://regulations.justia.com/regulations/fedreg/2021/01/21/2021-01245.htmlNotice - Proposed Collection; Comment Request2021-01-21T00:00:00-08:002021-01-21T00:00:00-08:002021-01245Noticehttps://www.govinfo.gov/content/pkg/FR-2021-01-21/pdf/2021-01245.pdfhttps://regulations.justia.com/regulations/fedreg/2021/01/21/2021-01136.htmlNotice - Self-Regulatory Organizations; Nasdaq PHLX LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the Exchange's Pricing Schedule at Equity 7, Section 32021-01-21T00:00:00-08:002021-01-21T00:00:00-08:002021-01136Noticehttps://www.govinfo.gov/content/pkg/FR-2021-01-21/pdf/2021-01136.pdfhttps://regulations.justia.com/regulations/fedreg/2021/01/21/2021-01135.htmlNotice - Self-Regulatory Organizations; New York Stock Exchange LLC, Notice of Designation of a Longer Period for Commission Action on a Proposed Rule Change To 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 472021-01-21T00:00:00-08:002021-01-21T00:00:00-08:002021-01135Noticehttps://www.govinfo.gov/content/pkg/FR-2021-01-21/pdf/2021-01135.pdfhttps://regulations.justia.com/regulations/fedreg/2021/01/21/2021-01134.htmlNotice - Self-Regulatory Organizations; Cboe Exchange, Inc.; Notice of Withdrawal of a Proposed Rule Change Amending Rule 5.52(d) in Connection With a Market-Maker's Electronic Volume Transacted on the Exchange2021-01-21T00:00:00-08:002021-01-21T00:00:00-08:002021-01134Noticehttps://www.govinfo.gov/content/pkg/FR-2021-01-21/pdf/2021-01134.pdfhttps://regulations.justia.com/regulations/fedreg/2021/01/21/2021-01133.htmlNotice - Self-Regulatory Organizations; Cboe EDGX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the Fee Schedule To Expand the Existing Financial Product Distribution Program To Provide for a Derived Data Platform Service2021-01-21T00:00:00-08:002021-01-21T00:00:00-08:002021-01133Noticehttps://www.govinfo.gov/content/pkg/FR-2021-01-21/pdf/2021-01133.pdfhttps://regulations.justia.com/regulations/fedreg/2021/01/21/2021-01132.htmlNotice - Self-Regulatory Organizations; Cboe BZX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the Fee Schedule To Expand the Existing Financial Product Distribution Program To Provide for a Derived Data Platform Service2021-01-21T00:00:00-08:002021-01-21T00:00:00-08:002021-01132Noticehttps://www.govinfo.gov/content/pkg/FR-2021-01-21/pdf/2021-01132.pdfhttps://regulations.justia.com/regulations/fedreg/2021/01/21/2021-01131.htmlNotice - Self-Regulatory Organizations; Cboe BZX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating To Amend Its Fees Schedule2021-01-21T00:00:00-08:002021-01-21T00:00:00-08:002021-01131Noticehttps://www.govinfo.gov/content/pkg/FR-2021-01-21/pdf/2021-01131.pdfhttps://regulations.justia.com/regulations/fedreg/2021/01/21/2021-01129.htmlNotice - Self-Regulatory Organizations; Nasdaq Phlx LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Modify Phlx Options 8, Section 28, “Responsibilities of Floor Brokers” and Section 30, “Crossing, Facilitation and Solicited Orders”2021-01-21T00:00:00-08:002021-01-21T00:00:00-08:002021-01129Noticehttps://www.govinfo.gov/content/pkg/FR-2021-01-21/pdf/2021-01129.pdfhttps://regulations.justia.com/regulations/fedreg/2021/01/19/2021-00961.htmlNotice - Natixis ETF Trust II, et al.2021-01-19T00:00:00-08:002021-01-19T00:00:00-08:002021-00961Noticehttps://www.govinfo.gov/content/pkg/FR-2021-01-19/pdf/2021-00961.pdfhttps://regulations.justia.com/regulations/fedreg/2021/01/19/2021-00960.htmlNotice - ActiveShares ETF Trust, et al.2021-01-19T00:00:00-08:002021-01-19T00:00:00-08:002021-00960Noticehttps://www.govinfo.gov/content/pkg/FR-2021-01-19/pdf/2021-00960.pdfhttps://regulations.justia.com/regulations/fedreg/2021/01/19/2021-00957.htmlNotice - Invesco Capital Management LLC, et al.2021-01-19T00:00:00-08:002021-01-19T00:00:00-08:002021-00957Noticehttps://www.govinfo.gov/content/pkg/FR-2021-01-19/pdf/2021-00957.pdfhttps://regulations.justia.com/regulations/fedreg/2021/01/19/2021-00949.htmlNotice - Self-Regulatory Organizations; MIAX PEARL, LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend the MIAX PEARL Fee Schedule2021-01-19T00:00:00-08:002021-01-19T00:00:00-08:002021-00949Noticehttps://www.govinfo.gov/content/pkg/FR-2021-01-19/pdf/2021-00949.pdfhttps://regulations.justia.com/regulations/fedreg/2021/01/19/2021-00948.htmlNotice - Self-Regulatory Organizations; Nasdaq ISE, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Delete the Exchange Membership Rules and Incorporate by Reference the Membership Rules of The Nasdaq Stock Market LLC2021-01-19T00:00:00-08:002021-01-19T00:00:00-08:002021-00948Noticehttps://www.govinfo.gov/content/pkg/FR-2021-01-19/pdf/2021-00948.pdfhttps://regulations.justia.com/regulations/fedreg/2021/01/19/2020-28790.htmlProposed Rule - Rule 144 Holding Period and Form 144 Filings2021-01-19T00:00:00-08:002021-01-19T00:00:00-08:002020-28790Proposed Rulehttps://www.govinfo.gov/content/pkg/FR-2021-01-19/pdf/2020-28790.pdfhttps://regulations.justia.com/regulations/fedreg/2021/01/14/2021-00764.htmlNotice - SEC Small Business Capital Formation Advisory Committee2021-01-14T00:00:00-08:002021-01-14T00:00:00-08:002021-00764Noticehttps://www.govinfo.gov/content/pkg/FR-2021-01-14/pdf/2021-00764.pdfhttps://regulations.justia.com/regulations/fedreg/2021/01/14/2021-00733.htmlNotice - Submission for OMB Review; Comment Request2021-01-14T00:00:00-08:002021-01-14T00:00:00-08:002021-00733Noticehttps://www.govinfo.gov/content/pkg/FR-2021-01-14/pdf/2021-00733.pdfhttps://regulations.justia.com/regulations/fedreg/2021/01/14/2021-00732.htmlNotice - Submission for OMB Review; Comment Request2021-01-14T00:00:00-08:002021-01-14T00:00:00-08:002021-00732Noticehttps://www.govinfo.gov/content/pkg/FR-2021-01-14/pdf/2021-00732.pdfhttps://regulations.justia.com/regulations/fedreg/2021/01/14/2021-00728.htmlNotice - Submission for OMB Review; Comment Request2021-01-14T00:00:00-08:002021-01-14T00:00:00-08:002021-00728Noticehttps://www.govinfo.gov/content/pkg/FR-2021-01-14/pdf/2021-00728.pdfhttps://regulations.justia.com/regulations/fedreg/2021/01/14/2021-00591.htmlNotice - Self-Regulatory Organizations; Nasdaq PHLX LLC; Notice of Filing of Proposed Rule Change To Modify Phlx Options 8, Section 26, “Trading Halts, Business Continuity and Disaster Recovery”2021-01-14T00:00:00-08:002021-01-14T00:00:00-08:002021-00591Noticehttps://www.govinfo.gov/content/pkg/FR-2021-01-14/pdf/2021-00591.pdfhttps://regulations.justia.com/regulations/fedreg/2021/01/14/2020-24749.htmlRule - Facilitating Capital Formation and Expanding Investment Opportunities by Improving Access to Capital in Private Markets2021-01-14T00:00:00-08:002021-01-14T00:00:00-08:002020-24749Rulehttps://www.govinfo.gov/content/pkg/FR-2021-01-14/pdf/2020-24749.pdfhttps://regulations.justia.com/regulations/fedreg/2021/01/13/2021-00528.htmlNotice - Adjustments to Civil Monetary Penalty Amounts2021-01-13T00:00:00-08:002021-01-13T00:00:00-08:002021-00528Noticehttps://www.govinfo.gov/content/pkg/FR-2021-01-13/pdf/2021-00528.pdfhttps://regulations.justia.com/regulations/fedreg/2021/01/13/2021-00465.htmlNotice - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Extend Its Waiver of the Application of Certain of the Shareholder Approval Requirements in Section 312.03 of the NYSE Listed Company Manual Through March 31, 2021 Subject to Certain Conditions2021-01-13T00:00:00-08:002021-01-13T00:00:00-08:002021-00465Noticehttps://www.govinfo.gov/content/pkg/FR-2021-01-13/pdf/2021-00465.pdfhttps://regulations.justia.com/regulations/fedreg/2021/01/12/2021-00350.htmlNotice - Self-Regulatory Organizations; ICE Clear Europe Limited; Notice of Filing of Partial Amendment No. 1 To Proposed Rule Change Relating to Amendments to the ICE Clear Europe CDS Procedures and CDS Default Management Policy2021-01-12T00:00:00-08:002021-01-12T00:00:00-08:002021-00350Noticehttps://www.govinfo.gov/content/pkg/FR-2021-01-12/pdf/2021-00350.pdfhttps://regulations.justia.com/regulations/fedreg/2021/01/12/2021-00349.htmlNotice - Self-Regulatory Organizations; Cboe BZX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Its Fee Schedule Relating to LMM Financial Incentives2021-01-12T00:00:00-08:002021-01-12T00:00:00-08:002021-00349Noticehttps://www.govinfo.gov/content/pkg/FR-2021-01-12/pdf/2021-00349.pdfhttps://regulations.justia.com/regulations/fedreg/2021/01/12/2021-00348.htmlNotice - Self-Regulatory Organizations; LCH SA; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to the Amendments of the CDSClear Fee Grid2021-01-12T00:00:00-08:002021-01-12T00:00:00-08:002021-00348Noticehttps://www.govinfo.gov/content/pkg/FR-2021-01-12/pdf/2021-00348.pdfhttps://regulations.justia.com/regulations/fedreg/2021/01/12/2021-00330.htmlNotice - Symmetry Panoramic Trust and Symmetry Partners, LLC2021-01-12T00:00:00-08:002021-01-12T00:00:00-08:002021-00330Noticehttps://www.govinfo.gov/content/pkg/FR-2021-01-12/pdf/2021-00330.pdfhttps://regulations.justia.com/regulations/fedreg/2021/01/12/2020-28700.htmlProposed Rule - Notice of Proposed Conditional Exemptive Order Granting a Conditional Exemption From the Information Review Requirement and the Recordkeeping Requirement Under the Securities Exchange Act of 1934 for Certain Publications or Submissions of Broker-Dealer Quotations on an Expert Market2021-01-12T00:00:00-08:002021-01-12T00:00:00-08:002020-28700Proposed Rulehttps://www.govinfo.gov/content/pkg/FR-2021-01-12/pdf/2020-28700.pdfhttps://regulations.justia.com/regulations/fedreg/2021/01/11/2021-00199.htmlNotice - Self-Regulatory Organizations; Cboe Exchange, Inc.; Notice of Filing of a Proposed Rule Change To Amend Certain Rules To Accommodate the Listing and Trading of Index Options With an Index Multiplier of One2021-01-11T00:00:00-08:002021-01-11T00:00:00-08:002021-00199Noticehttps://www.govinfo.gov/content/pkg/FR-2021-01-11/pdf/2021-00199.pdfhttps://regulations.justia.com/regulations/fedreg/2021/01/11/2021-00198.htmlNotice - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Extend the Implementation Date of Certain Amendments to FINRA Rule 4210 Approved Pursuant to SR-FINRA-2015-0362021-01-11T00:00:00-08:002021-01-11T00:00:00-08:002021-00198Noticehttps://www.govinfo.gov/content/pkg/FR-2021-01-11/pdf/2021-00198.pdfhttps://regulations.justia.com/regulations/fedreg/2021/01/11/2021-00196.htmlNotice - Self-Regulatory Organizations; MEMX LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Exchange Rule 11.8(b) Relating to the Handling of Limit Orders When the National Best Bid or Offer Is Not Available2021-01-11T00:00:00-08:002021-01-11T00:00:00-08:002021-00196Noticehttps://www.govinfo.gov/content/pkg/FR-2021-01-11/pdf/2021-00196.pdfhttps://regulations.justia.com/regulations/fedreg/2021/01/11/2020-26090.htmlRule - Management's Discussion and Analysis, Selected Financial Data, and Supplementary Financial Information2021-01-11T00:00:00-08:002021-01-11T00:00:00-08:002020-26090Rulehttps://www.govinfo.gov/content/pkg/FR-2021-01-11/pdf/2020-26090.pdfhttps://regulations.justia.com/regulations/fedreg/2021/01/08/2021-00319.htmlNotice - Sunshine Act Meeting; Cancellation2021-01-08T00:00:00-08:002021-01-08T00:00:00-08:002021-00319Noticehttps://www.govinfo.gov/content/pkg/FR-2021-01-08/pdf/2021-00319.pdfhttps://regulations.justia.com/regulations/fedreg/2021/01/08/2021-00253.htmlNotice - Sunshine Act Meetings2021-01-08T00:00:00-08:002021-01-08T00:00:00-08:002021-00253Noticehttps://www.govinfo.gov/content/pkg/FR-2021-01-08/pdf/2021-00253.pdfhttps://regulations.justia.com/regulations/fedreg/2021/01/08/2021-00145.htmlNotice - Proposed Collection; Comment Request2021-01-08T00:00:00-08:002021-01-08T00:00:00-08:002021-00145Noticehttps://www.govinfo.gov/content/pkg/FR-2021-01-08/pdf/2021-00145.pdfhttps://regulations.justia.com/regulations/fedreg/2021/01/08/2021-00144.htmlNotice - Proposed Collection; Comment Request, Upon Written Request Copies Available From: Securities and Exchange Commission, Office of FOIA Services, 100 F Street NE, Washington, DC 20549-27362021-01-08T00:00:00-08:002021-01-08T00:00:00-08:002021-00144Noticehttps://www.govinfo.gov/content/pkg/FR-2021-01-08/pdf/2021-00144.pdfhttps://regulations.justia.com/regulations/fedreg/2021/01/08/2021-00096.htmlNotice - Self-Regulatory Organizations; ICE Clear Credit LLC; Notice of Filing of Proposed Rule Change Relating to the ICC Clearing Participant Default Management Procedures2021-01-08T00:00:00-08:002021-01-08T00:00:00-08:002021-00096Noticehttps://www.govinfo.gov/content/pkg/FR-2021-01-08/pdf/2021-00096.pdfhttps://regulations.justia.com/regulations/fedreg/2021/01/08/2021-00089.htmlNotice - Esoterica Thematic Trust and Esoterica Capital LLC; Notice of Application2021-01-08T00:00:00-08:002021-01-08T00:00:00-08:002021-00089Noticehttps://www.govinfo.gov/content/pkg/FR-2021-01-08/pdf/2021-00089.pdfhttps://regulations.justia.com/regulations/fedreg/2021/01/06/2020-29285.htmlNotice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Modify the NYSE Arca Options Fee Schedule2021-01-06T00:00:00-08:002021-01-06T00:00:00-08:002020-29285Noticehttps://www.govinfo.gov/content/pkg/FR-2021-01-06/pdf/2020-29285.pdfhttps://regulations.justia.com/regulations/fedreg/2021/01/06/2020-29284.htmlNotice - Self-Regulatory Organizations; The Nasdaq Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend General 7: Consolidated Audit Trail Compliance, the Exchange's Compliance Rule2021-01-06T00:00:00-08:002021-01-06T00:00:00-08:002020-29284Noticehttps://www.govinfo.gov/content/pkg/FR-2021-01-06/pdf/2020-29284.pdfhttps://regulations.justia.com/regulations/fedreg/2021/01/06/2020-29283.htmlNotice - Self-Regulatory Organizations; NYSE Arca, Inc.; 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 8.900-E To Adopt Generic Listing Standards for Managed Portfolio Shares2021-01-06T00:00:00-08:002021-01-06T00:00:00-08:002020-29283Noticehttps://www.govinfo.gov/content/pkg/FR-2021-01-06/pdf/2020-29283.pdfhttps://regulations.justia.com/regulations/fedreg/2021/01/06/2020-29251.htmlNotice - Self-Regulatory Organizations; Fixed Income Clearing Corporation; Notice of Filing and Extension of the Review Period of an Advance Notice To Modify the Calculation of the MBSD VaR Floor To Incorporate a Minimum Margin Amount2021-01-06T00:00:00-08:002021-01-06T00:00:00-08:002020-29251Noticehttps://www.govinfo.gov/content/pkg/FR-2021-01-06/pdf/2020-29251.pdfhttps://regulations.justia.com/regulations/fedreg/2021/01/06/2020-29222.htmlNotice - Self-Regulatory Organizations; NYSE American LLC; Notice of Filing and Immediate Effectiveness of Proposed Change To Modify the NYSE American Options Fee Schedule2021-01-06T00:00:00-08:002021-01-06T00:00:00-08:002020-29222Noticehttps://www.govinfo.gov/content/pkg/FR-2021-01-06/pdf/2020-29222.pdfhttps://regulations.justia.com/regulations/fedreg/2021/01/06/2020-29221.htmlNotice - Self-Regulatory Organizations; The Nasdaq Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Waive Certain Fees Related to Non-Convertible Bonds2021-01-06T00:00:00-08:002021-01-06T00:00:00-08:002020-29221Noticehttps://www.govinfo.gov/content/pkg/FR-2021-01-06/pdf/2020-29221.pdfhttps://regulations.justia.com/regulations/fedreg/2021/01/06/2020-29220.htmlNotice - Self-Regulatory Organizations; MIAX PEARL, LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Exchange Rule 3100, Registration Requirements, To Adopt Temporary Interpretation and Policy .13 (Temporary Extension of the Limited Period for Registered Persons To Function as Principals)2021-01-06T00:00:00-08:002021-01-06T00:00:00-08:002020-29220Noticehttps://www.govinfo.gov/content/pkg/FR-2021-01-06/pdf/2020-29220.pdfhttps://regulations.justia.com/regulations/fedreg/2021/01/06/2020-29219.htmlNotice - Self-Regulatory Organizations; Miami International Securities Exchange LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Exchange Rule 1900, Registration Requirements, To Adopt Temporary Interpretation and Policy .13 (Temporary Extension of the Limited Period for Registered Persons To Function as Principals)2021-01-06T00:00:00-08:002021-01-06T00:00:00-08:002020-29219Noticehttps://www.govinfo.gov/content/pkg/FR-2021-01-06/pdf/2020-29219.pdfhttps://regulations.justia.com/regulations/fedreg/2021/01/06/2020-29218.htmlNotice - Self-Regulatory Organizations; MIAX Emerald, LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Exchange Rule 1900, Registration Requirements, To Adopt Temporary Interpretation and Policy .13 (Temporary Extension of the Limited Period for Registered Persons To Function as Principals)2021-01-06T00:00:00-08:002021-01-06T00:00:00-08:002020-29218Noticehttps://www.govinfo.gov/content/pkg/FR-2021-01-06/pdf/2020-29218.pdfhttps://regulations.justia.com/regulations/fedreg/2021/01/06/2020-29217.htmlNotice - Self-Regulatory Organizations; The Options Clearing Corporation; Order Granting Accelerated Approval of Proposed Rule Change Concerning the Implementation of New Sufficiency Scenarios in the Options Clearing Corporation's Stress Testing Inventory2021-01-06T00:00:00-08:002021-01-06T00:00:00-08:002020-29217Noticehttps://www.govinfo.gov/content/pkg/FR-2021-01-06/pdf/2020-29217.pdfhttps://regulations.justia.com/regulations/fedreg/2021/01/06/2020-29216.htmlNotice - Joint Industry Plan; Notice of Filing of Amendment to the National Market System Plan Governing the Consolidated Audit Trail by BOX Exchange LLC; Cboe BYX Exchange, Inc., Cboe BZX Exchange, Inc., Cboe EDGA Exchange, Inc., Cboe EDGX Exchange, Inc., Cboe C2 Exchange, Inc. and Cboe Exchange, Inc., Financial Industry Regulatory Authority, Inc., Investors Exchange LLC, Long-Term Stock Exchange, Inc., Miami International Securities Exchange LLC, MEMX, LLC, MIAX Emerald, LLC, MIAX PEARL, LLC, Nasdaq BX, Inc., Nasdaq GEMX, LLC, Nasdaq ISE, LLC, Nasdaq MRX, LLC, Nasdaq PHLX LLC, The NASDAQ Stock Market LLC; and New York Stock Exchange LLC, NYSE American LLC, NYSE Arca, Inc., NYSE Chicago, Inc., and NYSE National, Inc.2021-01-06T00:00:00-08:002021-01-06T00:00:00-08:002020-29216Noticehttps://www.govinfo.gov/content/pkg/FR-2021-01-06/pdf/2020-29216.pdfhttps://regulations.justia.com/regulations/fedreg/2021/01/06/2020-29215.htmlNotice - Self-Regulatory Organizations; Financial Industry Regulatory Authority, 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 Adopt Proposed Rule 6439 (Requirements for Member Inter-Dealer Quotation Systems) and Rescind the Rules Related to the OTC Bulletin Board Service2021-01-06T00:00:00-08:002021-01-06T00:00:00-08:002020-29215Noticehttps://www.govinfo.gov/content/pkg/FR-2021-01-06/pdf/2020-29215.pdfhttps://regulations.justia.com/regulations/fedreg/2021/01/06/2020-29214.htmlNotice - Self-Regulatory Organizations; NYSE American LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Extending the Expiration Date of the Temporary Amendments to Rules 9261 and 9830 as Set Forth in SR-NYSEAMER-2020-69 From December 31, 2020, to April 30, 20212021-01-06T00:00:00-08:002021-01-06T00:00:00-08:002020-29214Noticehttps://www.govinfo.gov/content/pkg/FR-2021-01-06/pdf/2020-29214.pdfhttps://regulations.justia.com/regulations/fedreg/2021/01/06/2020-29213.htmlNotice - Self-Regulatory Organizations; NYSE National, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Extending the Expiration Date of the Temporary Amendments to Rules 10.9261 and 10.9830 as Set Forth in SR-NYSENAT-2020-31 From December 31, 2020, to April 30, 20212021-01-06T00:00:00-08:002021-01-06T00:00:00-08:002020-29213Noticehttps://www.govinfo.gov/content/pkg/FR-2021-01-06/pdf/2020-29213.pdfhttps://regulations.justia.com/regulations/fedreg/2021/01/06/2020-29212.htmlNotice - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Extending the Expiration Date of the Temporary Amendments to Rules 9261 and 9830 as Set Forth in SR-NYSE-2020-76 From December 31, 2020, to April 30, 20212021-01-06T00:00:00-08:002021-01-06T00:00:00-08:002020-29212Noticehttps://www.govinfo.gov/content/pkg/FR-2021-01-06/pdf/2020-29212.pdfhttps://regulations.justia.com/regulations/fedreg/2021/01/06/2020-29211.htmlNotice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Extending the Expiration Date of the Temporary Amendments to Rules 10.9261 and 10.9830 as Set Forth in SR-NYSEArca-2020-85 From December 31, 2020, to April 30, 20212021-01-06T00:00:00-08:002021-01-06T00:00:00-08:002020-29211Noticehttps://www.govinfo.gov/content/pkg/FR-2021-01-06/pdf/2020-29211.pdfhttps://regulations.justia.com/regulations/fedreg/2021/01/06/2020-26971.htmlRule - Good Faith Determinations of Fair Value2021-01-06T00:00:00-08:002021-01-06T00:00:00-08:002020-26971Rulehttps://www.govinfo.gov/content/pkg/FR-2021-01-06/pdf/2020-26971.pdfhttps://regulations.justia.com/regulations/fedreg/2021/01/05/2020-29155.htmlNotice - Proposed Collection; Comment Request2021-01-05T00:00:00-08:002021-01-05T00:00:00-08:002020-29155Noticehttps://www.govinfo.gov/content/pkg/FR-2021-01-05/pdf/2020-29155.pdfhttps://regulations.justia.com/regulations/fedreg/2021/01/05/2020-29139.htmlNotice - Self-Regulatory Organizations; Cboe BZX Exchange, Inc.; Order Disapproving a Proposed Rule Change Relating to Rule 14.11, Other Securities, To Modify a Continued Listing Criterion for Certain Exchange-Traded Products2021-01-05T00:00:00-08:002021-01-05T00:00:00-08:002020-29139Noticehttps://www.govinfo.gov/content/pkg/FR-2021-01-05/pdf/2020-29139.pdfhttps://regulations.justia.com/regulations/fedreg/2021/01/05/2020-29138.htmlNotice - Self-Regulatory Organizations; Miami International Securities Exchange LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Its Fee Schedule2021-01-05T00:00:00-08:002021-01-05T00:00:00-08:002020-29138Noticehttps://www.govinfo.gov/content/pkg/FR-2021-01-05/pdf/2020-29138.pdfhttps://regulations.justia.com/regulations/fedreg/2021/01/05/2020-29137.htmlNotice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Withdrawal of a Proposed Rule Change To Amend NYSE Arca Rule 5.2-E(j)(6) Relating to Options-Linked Securities2021-01-05T00:00:00-08:002021-01-05T00:00:00-08:002020-29137Noticehttps://www.govinfo.gov/content/pkg/FR-2021-01-05/pdf/2020-29137.pdfhttps://regulations.justia.com/regulations/fedreg/2021/01/05/2020-29136.htmlNotice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Designation of a Longer Period for Commission Action on a 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-E2021-01-05T00:00:00-08:002021-01-05T00:00:00-08:002020-29136Noticehttps://www.govinfo.gov/content/pkg/FR-2021-01-05/pdf/2020-29136.pdfhttps://regulations.justia.com/regulations/fedreg/2021/01/05/2020-29135.htmlNotice - Self-Regulatory Organizations; Nasdaq BX, Inc.; Notice of Designation of a Longer Period for Commission Action on a Proposed Rule Change To Utilize the FIX Protocol To Submit Orders to BX's Price Improvement Auction Mechanism2021-01-05T00:00:00-08:002021-01-05T00:00:00-08:002020-29135Noticehttps://www.govinfo.gov/content/pkg/FR-2021-01-05/pdf/2020-29135.pdfhttps://regulations.justia.com/regulations/fedreg/2021/01/05/2020-29134.htmlNotice - Self-Regulatory Organizations; Miami International Securities Exchange LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the Fee Schedule2021-01-05T00:00:00-08:002021-01-05T00:00:00-08:002020-29134Noticehttps://www.govinfo.gov/content/pkg/FR-2021-01-05/pdf/2020-29134.pdfhttps://regulations.justia.com/regulations/fedreg/2021/01/05/2020-29133.htmlNotice - Self-Regulatory Organizations; MIAX PEARL, LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the MIAX PEARL Fee Schedule2021-01-05T00:00:00-08:002021-01-05T00:00:00-08:002020-29133Noticehttps://www.govinfo.gov/content/pkg/FR-2021-01-05/pdf/2020-29133.pdfhttps://regulations.justia.com/regulations/fedreg/2021/01/05/2020-29132.htmlNotice - Self-Regulatory Organizations; Miami International Securities Exchange, LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Its Fee Schedule To Increase the Number of Additional Limited Service MIAX Express Interface Ports Available to Market Makers2021-01-05T00:00:00-08:002021-01-05T00:00:00-08:002020-29132Noticehttps://www.govinfo.gov/content/pkg/FR-2021-01-05/pdf/2020-29132.pdfhttps://regulations.justia.com/regulations/fedreg/2021/01/05/2020-29131.htmlNotice - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Add Commentary .07 to Rule 7.35A To Provide That, for a Temporary Period, the Exchange Will Permit DMMs Limited-Entry to the Trading Floor or Remote Access to Floor-Based System for Certain Auctions2021-01-05T00:00:00-08:002021-01-05T00:00:00-08:002020-29131Noticehttps://www.govinfo.gov/content/pkg/FR-2021-01-05/pdf/2020-29131.pdfhttps://regulations.justia.com/regulations/fedreg/2021/01/04/2020-29201.htmlNotice - Sunshine Act Meetings2021-01-04T00:00:00-08:002021-01-04T00:00:00-08:002020-29201Noticehttps://www.govinfo.gov/content/pkg/FR-2021-01-04/pdf/2020-29201.pdfhttps://regulations.justia.com/regulations/fedreg/2021/01/04/2020-29027.htmlNotice - Self-Regulatory Organizations; Long-Term Stock Exchange, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the Rule Series 11.6002021-01-04T00:00:00-08:002021-01-04T00:00:00-08:002020-29027Noticehttps://www.govinfo.gov/content/pkg/FR-2021-01-04/pdf/2020-29027.pdfhttps://regulations.justia.com/regulations/fedreg/2021/01/04/2020-29026.htmlNotice - Self-Regulatory Organizations; MEMX LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Rules 4.5 and 4.7 Regarding the National Market System Plan Governing the Consolidated Audit Trail2021-01-04T00:00:00-08:002021-01-04T00:00:00-08:002020-29026Noticehttps://www.govinfo.gov/content/pkg/FR-2021-01-04/pdf/2020-29026.pdfhttps://regulations.justia.com/regulations/fedreg/2021/01/04/2020-29025.htmlNotice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Reflect a Change in the Time of Calculation and Publication of the Wilshire Gold Index Applicable to Shares of the Wilshire wShares Enhanced Gold Trust2021-01-04T00:00:00-08:002021-01-04T00:00:00-08:002020-29025Noticehttps://www.govinfo.gov/content/pkg/FR-2021-01-04/pdf/2020-29025.pdfhttps://regulations.justia.com/regulations/fedreg/2021/01/04/2020-29023.htmlNotice - Self-Regulatory Organizations; ICE Clear Europe Limited; Notice of Filing of Proposed Rule Change Relating to Amendments to the ICE Clear Europe CDS Procedures and CDS Default Management Policy2021-01-04T00:00:00-08:002021-01-04T00:00:00-08:002020-29023Noticehttps://www.govinfo.gov/content/pkg/FR-2021-01-04/pdf/2020-29023.pdfhttps://regulations.justia.com/regulations/fedreg/2021/01/04/2020-29022.htmlNotice - Self-Regulatory Organizations; The Depository Trust Company; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Add a Fee for the New ClaimConnectTM2021-01-04T00:00:00-08:002021-01-04T00:00:00-08:002020-29022Noticehttps://www.govinfo.gov/content/pkg/FR-2021-01-04/pdf/2020-29022.pdfhttps://regulations.justia.com/regulations/fedreg/2021/01/04/2020-29021.htmlNotice - Self-Regulatory Organizations; Cboe BYX Exchange, Inc.; Cboe BZX Exchange, Inc.; Cboe EDGA Exchange, Inc.; Cboe EDGX Exchange, Inc.; Order Granting Approval of Proposed Rule Changes To Revise Each Exchange's Process for Re-Opening Trading of NYSE-Listed Securities Outside of Regular Trading Hours2021-01-04T00:00:00-08:002021-01-04T00:00:00-08:002020-29021Noticehttps://www.govinfo.gov/content/pkg/FR-2021-01-04/pdf/2020-29021.pdfhttps://regulations.justia.com/regulations/fedreg/2021/01/04/2020-29020.htmlNotice - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing of Proposed Rule Change To Amend the NYSE Listed Company Manual To Revise the Shareholder Approval Requirements in Sections 312.03 and 312.04 and the Requirements for Related Party Transactions in Section 314.002021-01-04T00:00:00-08:002021-01-04T00:00:00-08:002020-29020Noticehttps://www.govinfo.gov/content/pkg/FR-2021-01-04/pdf/2020-29020.pdfhttps://regulations.justia.com/regulations/fedreg/2021/01/04/2020-29019.htmlNotice - Self-Regulatory Organizations; Cboe BZX Exchange, Inc.; Notice of Withdrawal of a Proposed Rule Change To Accommodate Exchange Listing and Trading of Options-Linked Securities2021-01-04T00:00:00-08:002021-01-04T00:00:00-08:002020-29019Noticehttps://www.govinfo.gov/content/pkg/FR-2021-01-04/pdf/2020-29019.pdfhttps://regulations.justia.com/regulations/fedreg/2021/01/04/2020-29013.htmlNotice - Notice of Applications for Deregistration Under Section 8(f) of the Investment Company Act of 19402021-01-04T00:00:00-08:002021-01-04T00:00:00-08:002020-29013Noticehttps://www.govinfo.gov/content/pkg/FR-2021-01-04/pdf/2020-29013.pdf