<![CDATA[Federal Register Recent Federal Regulation Documents - Justia Regulation Tracker

<![CDATA[Federal Register Recent Federal Regulation Documents - Justia Regulation Tracker - Justia Regulations Tracker]]> https://regulations.justia.com/regulations/fedreg/agencies/agencies-and-commissions/securities-and-exchange-commission/2021/01?registers=between&min-day=1&max-day=31 Wed, 01 May 2024 23:38:42 -0700 Wed, 01 May 2024 23:38:42 -0700 Justia Regulations Tracker Copyright 2011 Justia Inc. https://regulations.justia.com/images/justiafedregulations.gif <![CDATA[Federal Register Recent Federal Regulation Documents - Justia Regulation Tracker - Justia Regulations Tracker]]> https://regulations.justia.com/regulations/fedreg/agencies/agencies-and-commissions/securities-and-exchange-commission/2021/01?registers=between&min-day=1&max-day=31 Notice - 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 Exchange https://regulations.justia.com/regulations/fedreg/2021/01/29/2021-01943.html https://regulations.justia.com/regulations/fedreg/2021/01/29/2021-01943.html Fri, 29 Jan 2021 00:00:00 -0800 2021-01943 Notice https://www.govinfo.gov/content/pkg/FR-2021-01-29/pdf/2021-01943.pdf Notice - Self-Regulatory Organizations; Cboe Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Rule 5.24 https://regulations.justia.com/regulations/fedreg/2021/01/29/2021-01942.html https://regulations.justia.com/regulations/fedreg/2021/01/29/2021-01942.html Fri, 29 Jan 2021 00:00:00 -0800 2021-01942 Notice https://www.govinfo.gov/content/pkg/FR-2021-01-29/pdf/2021-01942.pdf Notice - 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. https://regulations.justia.com/regulations/fedreg/2021/01/29/2021-01941.html https://regulations.justia.com/regulations/fedreg/2021/01/29/2021-01941.html Fri, 29 Jan 2021 00:00:00 -0800 2021-01941 Notice https://www.govinfo.gov/content/pkg/FR-2021-01-29/pdf/2021-01941.pdf Notice - 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 Fees https://regulations.justia.com/regulations/fedreg/2021/01/29/2021-01940.html https://regulations.justia.com/regulations/fedreg/2021/01/29/2021-01940.html Fri, 29 Jan 2021 00:00:00 -0800 2021-01940 Notice https://www.govinfo.gov/content/pkg/FR-2021-01-29/pdf/2021-01940.pdf Notice - Self-Regulatory Organizations; Miami International Securities Exchange LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Its Fee Schedule for Member and Non-Member Monthly Network Connectivity Fees https://regulations.justia.com/regulations/fedreg/2021/01/29/2021-01939.html https://regulations.justia.com/regulations/fedreg/2021/01/29/2021-01939.html Fri, 29 Jan 2021 00:00:00 -0800 2021-01939 Notice https://www.govinfo.gov/content/pkg/FR-2021-01-29/pdf/2021-01939.pdf Notice - 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) https://regulations.justia.com/regulations/fedreg/2021/01/28/2021-01837.html https://regulations.justia.com/regulations/fedreg/2021/01/28/2021-01837.html Thu, 28 Jan 2021 00:00:00 -0800 2021-01837 Notice https://www.govinfo.gov/content/pkg/FR-2021-01-28/pdf/2021-01837.pdf Notice - 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' MPIDs https://regulations.justia.com/regulations/fedreg/2021/01/28/2021-01836.html https://regulations.justia.com/regulations/fedreg/2021/01/28/2021-01836.html Thu, 28 Jan 2021 00:00:00 -0800 2021-01836 Notice https://www.govinfo.gov/content/pkg/FR-2021-01-28/pdf/2021-01836.pdf Notice - 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 Orders https://regulations.justia.com/regulations/fedreg/2021/01/28/2021-01835.html https://regulations.justia.com/regulations/fedreg/2021/01/28/2021-01835.html Thu, 28 Jan 2021 00:00:00 -0800 2021-01835 Notice https://www.govinfo.gov/content/pkg/FR-2021-01-28/pdf/2021-01835.pdf Notice - 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 Orders https://regulations.justia.com/regulations/fedreg/2021/01/28/2021-01834.html https://regulations.justia.com/regulations/fedreg/2021/01/28/2021-01834.html Thu, 28 Jan 2021 00:00:00 -0800 2021-01834 Notice https://www.govinfo.gov/content/pkg/FR-2021-01-28/pdf/2021-01834.pdf Notice - 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 Orders https://regulations.justia.com/regulations/fedreg/2021/01/28/2021-01833.html https://regulations.justia.com/regulations/fedreg/2021/01/28/2021-01833.html Thu, 28 Jan 2021 00:00:00 -0800 2021-01833 Notice https://www.govinfo.gov/content/pkg/FR-2021-01-28/pdf/2021-01833.pdf Notice - 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-E https://regulations.justia.com/regulations/fedreg/2021/01/28/2021-01831.html https://regulations.justia.com/regulations/fedreg/2021/01/28/2021-01831.html Thu, 28 Jan 2021 00:00:00 -0800 2021-01831 Notice https://www.govinfo.gov/content/pkg/FR-2021-01-28/pdf/2021-01831.pdf Notice - 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 Orders https://regulations.justia.com/regulations/fedreg/2021/01/28/2021-01830.html https://regulations.justia.com/regulations/fedreg/2021/01/28/2021-01830.html Thu, 28 Jan 2021 00:00:00 -0800 2021-01830 Notice https://www.govinfo.gov/content/pkg/FR-2021-01-28/pdf/2021-01830.pdf Notice - Proposed Collection; Comment Request https://regulations.justia.com/regulations/fedreg/2021/01/28/2021-01816.html https://regulations.justia.com/regulations/fedreg/2021/01/28/2021-01816.html Thu, 28 Jan 2021 00:00:00 -0800 2021-01816 Notice https://www.govinfo.gov/content/pkg/FR-2021-01-28/pdf/2021-01816.pdf Notice - 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' MPIDs https://regulations.justia.com/regulations/fedreg/2021/01/27/2021-01731.html https://regulations.justia.com/regulations/fedreg/2021/01/27/2021-01731.html Wed, 27 Jan 2021 00:00:00 -0800 2021-01731 Notice https://www.govinfo.gov/content/pkg/FR-2021-01-27/pdf/2021-01731.pdf Notice - 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 Program https://regulations.justia.com/regulations/fedreg/2021/01/27/2021-01730.html https://regulations.justia.com/regulations/fedreg/2021/01/27/2021-01730.html Wed, 27 Jan 2021 00:00:00 -0800 2021-01730 Notice https://www.govinfo.gov/content/pkg/FR-2021-01-27/pdf/2021-01730.pdf Notice - 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 Regulations https://regulations.justia.com/regulations/fedreg/2021/01/27/2021-01729.html https://regulations.justia.com/regulations/fedreg/2021/01/27/2021-01729.html Wed, 27 Jan 2021 00:00:00 -0800 2021-01729 Notice https://www.govinfo.gov/content/pkg/FR-2021-01-27/pdf/2021-01729.pdf Notice - 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 Indexes https://regulations.justia.com/regulations/fedreg/2021/01/27/2021-01728.html https://regulations.justia.com/regulations/fedreg/2021/01/27/2021-01728.html Wed, 27 Jan 2021 00:00:00 -0800 2021-01728 Notice https://www.govinfo.gov/content/pkg/FR-2021-01-27/pdf/2021-01728.pdf Notice - Self-Regulatory Organizations; NYSE American LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the NYSE American Options Fee Schedule https://regulations.justia.com/regulations/fedreg/2021/01/27/2021-01727.html https://regulations.justia.com/regulations/fedreg/2021/01/27/2021-01727.html Wed, 27 Jan 2021 00:00:00 -0800 2021-01727 Notice https://www.govinfo.gov/content/pkg/FR-2021-01-27/pdf/2021-01727.pdf Notice - Proposed Collection; Comment Request https://regulations.justia.com/regulations/fedreg/2021/01/27/2021-01667.html https://regulations.justia.com/regulations/fedreg/2021/01/27/2021-01667.html Wed, 27 Jan 2021 00:00:00 -0800 2021-01667 Notice https://www.govinfo.gov/content/pkg/FR-2021-01-27/pdf/2021-01667.pdf Notice - Submission for OMB Review; Comment Request https://regulations.justia.com/regulations/fedreg/2021/01/27/2021-01655.html https://regulations.justia.com/regulations/fedreg/2021/01/27/2021-01655.html Wed, 27 Jan 2021 00:00:00 -0800 2021-01655 Notice https://www.govinfo.gov/content/pkg/FR-2021-01-27/pdf/2021-01655.pdf Notice - 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 Service https://regulations.justia.com/regulations/fedreg/2021/01/25/2021-01438.html https://regulations.justia.com/regulations/fedreg/2021/01/25/2021-01438.html Mon, 25 Jan 2021 00:00:00 -0800 2021-01438 Notice https://www.govinfo.gov/content/pkg/FR-2021-01-25/pdf/2021-01438.pdf Notice - Self-Regulatory Organizations; Miami International Securities Exchange LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Exchange Rule 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 2021 https://regulations.justia.com/regulations/fedreg/2021/01/25/2021-01420.html https://regulations.justia.com/regulations/fedreg/2021/01/25/2021-01420.html Mon, 25 Jan 2021 00:00:00 -0800 2021-01420 Notice https://www.govinfo.gov/content/pkg/FR-2021-01-25/pdf/2021-01420.pdf Notice - Sunshine Act Meetings https://regulations.justia.com/regulations/fedreg/2021/01/22/2021-01530.html https://regulations.justia.com/regulations/fedreg/2021/01/22/2021-01530.html Fri, 22 Jan 2021 00:00:00 -0800 2021-01530 Notice https://www.govinfo.gov/content/pkg/FR-2021-01-22/pdf/2021-01530.pdf Notice - Self-Regulatory Organizations; Nasdaq BX, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the BX Options Pricing Schedule https://regulations.justia.com/regulations/fedreg/2021/01/22/2021-01403.html https://regulations.justia.com/regulations/fedreg/2021/01/22/2021-01403.html Fri, 22 Jan 2021 00:00:00 -0800 2021-01403 Notice https://www.govinfo.gov/content/pkg/FR-2021-01-22/pdf/2021-01403.pdf Notice - 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 Quotation https://regulations.justia.com/regulations/fedreg/2021/01/22/2021-01402.html https://regulations.justia.com/regulations/fedreg/2021/01/22/2021-01402.html Fri, 22 Jan 2021 00:00:00 -0800 2021-01402 Notice https://www.govinfo.gov/content/pkg/FR-2021-01-22/pdf/2021-01402.pdf Notice - Order Making Fiscal Year 2021 Annual Adjustments to Transaction Fee Rates https://regulations.justia.com/regulations/fedreg/2021/01/22/2021-01341.html https://regulations.justia.com/regulations/fedreg/2021/01/22/2021-01341.html Fri, 22 Jan 2021 00:00:00 -0800 2021-01341 Notice https://www.govinfo.gov/content/pkg/FR-2021-01-22/pdf/2021-01341.pdf Notice - 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 Changes https://regulations.justia.com/regulations/fedreg/2021/01/22/2021-01324.html https://regulations.justia.com/regulations/fedreg/2021/01/22/2021-01324.html Fri, 22 Jan 2021 00:00:00 -0800 2021-01324 Notice https://www.govinfo.gov/content/pkg/FR-2021-01-22/pdf/2021-01324.pdf Notice - 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-X https://regulations.justia.com/regulations/fedreg/2021/01/22/2021-01311.html https://regulations.justia.com/regulations/fedreg/2021/01/22/2021-01311.html Fri, 22 Jan 2021 00:00:00 -0800 2021-01311 Notice https://www.govinfo.gov/content/pkg/FR-2021-01-22/pdf/2021-01311.pdf Notice - 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 Schedule https://regulations.justia.com/regulations/fedreg/2021/01/22/2021-01285.html https://regulations.justia.com/regulations/fedreg/2021/01/22/2021-01285.html Fri, 22 Jan 2021 00:00:00 -0800 2021-01285 Notice https://www.govinfo.gov/content/pkg/FR-2021-01-22/pdf/2021-01285.pdf Notice - Self-Regulatory Organizations; ICE Clear Credit LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to the ICC Clearing Rules https://regulations.justia.com/regulations/fedreg/2021/01/22/2021-01284.html https://regulations.justia.com/regulations/fedreg/2021/01/22/2021-01284.html Fri, 22 Jan 2021 00:00:00 -0800 2021-01284 Notice https://www.govinfo.gov/content/pkg/FR-2021-01-22/pdf/2021-01284.pdf Notice - 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 .02 https://regulations.justia.com/regulations/fedreg/2021/01/22/2021-01283.html https://regulations.justia.com/regulations/fedreg/2021/01/22/2021-01283.html Fri, 22 Jan 2021 00:00:00 -0800 2021-01283 Notice https://www.govinfo.gov/content/pkg/FR-2021-01-22/pdf/2021-01283.pdf Notice - 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 Purposes https://regulations.justia.com/regulations/fedreg/2021/01/22/2021-01282.html https://regulations.justia.com/regulations/fedreg/2021/01/22/2021-01282.html Fri, 22 Jan 2021 00:00:00 -0800 2021-01282 Notice https://www.govinfo.gov/content/pkg/FR-2021-01-22/pdf/2021-01282.pdf Notice - 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 One https://regulations.justia.com/regulations/fedreg/2021/01/22/2021-01281.html https://regulations.justia.com/regulations/fedreg/2021/01/22/2021-01281.html Fri, 22 Jan 2021 00:00:00 -0800 2021-01281 Notice https://www.govinfo.gov/content/pkg/FR-2021-01-22/pdf/2021-01281.pdf Notice - 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 Feed https://regulations.justia.com/regulations/fedreg/2021/01/22/2021-01280.html https://regulations.justia.com/regulations/fedreg/2021/01/22/2021-01280.html Fri, 22 Jan 2021 00:00:00 -0800 2021-01280 Notice https://www.govinfo.gov/content/pkg/FR-2021-01-22/pdf/2021-01280.pdf Notice - 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 Feed https://regulations.justia.com/regulations/fedreg/2021/01/22/2021-01279.html https://regulations.justia.com/regulations/fedreg/2021/01/22/2021-01279.html Fri, 22 Jan 2021 00:00:00 -0800 2021-01279 Notice https://www.govinfo.gov/content/pkg/FR-2021-01-22/pdf/2021-01279.pdf Notice - Proposed Collection; Comment Request https://regulations.justia.com/regulations/fedreg/2021/01/21/2021-01245.html https://regulations.justia.com/regulations/fedreg/2021/01/21/2021-01245.html Thu, 21 Jan 2021 00:00:00 -0800 2021-01245 Notice https://www.govinfo.gov/content/pkg/FR-2021-01-21/pdf/2021-01245.pdf Notice - 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 3 https://regulations.justia.com/regulations/fedreg/2021/01/21/2021-01136.html https://regulations.justia.com/regulations/fedreg/2021/01/21/2021-01136.html Thu, 21 Jan 2021 00:00:00 -0800 2021-01136 Notice https://www.govinfo.gov/content/pkg/FR-2021-01-21/pdf/2021-01136.pdf Notice - Self-Regulatory Organizations; New York Stock Exchange LLC, Notice of Designation of a Longer Period for Commission Action on a Proposed Rule Change To 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 47 https://regulations.justia.com/regulations/fedreg/2021/01/21/2021-01135.html https://regulations.justia.com/regulations/fedreg/2021/01/21/2021-01135.html Thu, 21 Jan 2021 00:00:00 -0800 2021-01135 Notice https://www.govinfo.gov/content/pkg/FR-2021-01-21/pdf/2021-01135.pdf Notice - 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 Exchange https://regulations.justia.com/regulations/fedreg/2021/01/21/2021-01134.html https://regulations.justia.com/regulations/fedreg/2021/01/21/2021-01134.html Thu, 21 Jan 2021 00:00:00 -0800 2021-01134 Notice https://www.govinfo.gov/content/pkg/FR-2021-01-21/pdf/2021-01134.pdf Notice - 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 Service https://regulations.justia.com/regulations/fedreg/2021/01/21/2021-01133.html https://regulations.justia.com/regulations/fedreg/2021/01/21/2021-01133.html Thu, 21 Jan 2021 00:00:00 -0800 2021-01133 Notice https://www.govinfo.gov/content/pkg/FR-2021-01-21/pdf/2021-01133.pdf Notice - Self-Regulatory Organizations; Cboe BZX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the Fee Schedule To Expand the Existing Financial Product Distribution Program To Provide for a Derived Data Platform Service https://regulations.justia.com/regulations/fedreg/2021/01/21/2021-01132.html https://regulations.justia.com/regulations/fedreg/2021/01/21/2021-01132.html Thu, 21 Jan 2021 00:00:00 -0800 2021-01132 Notice https://www.govinfo.gov/content/pkg/FR-2021-01-21/pdf/2021-01132.pdf Notice - Self-Regulatory Organizations; Cboe BZX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating To Amend Its Fees Schedule https://regulations.justia.com/regulations/fedreg/2021/01/21/2021-01131.html https://regulations.justia.com/regulations/fedreg/2021/01/21/2021-01131.html Thu, 21 Jan 2021 00:00:00 -0800 2021-01131 Notice https://www.govinfo.gov/content/pkg/FR-2021-01-21/pdf/2021-01131.pdf Notice - 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” https://regulations.justia.com/regulations/fedreg/2021/01/21/2021-01129.html https://regulations.justia.com/regulations/fedreg/2021/01/21/2021-01129.html Thu, 21 Jan 2021 00:00:00 -0800 2021-01129 Notice https://www.govinfo.gov/content/pkg/FR-2021-01-21/pdf/2021-01129.pdf Notice - Natixis ETF Trust II, et al. https://regulations.justia.com/regulations/fedreg/2021/01/19/2021-00961.html https://regulations.justia.com/regulations/fedreg/2021/01/19/2021-00961.html Tue, 19 Jan 2021 00:00:00 -0800 2021-00961 Notice https://www.govinfo.gov/content/pkg/FR-2021-01-19/pdf/2021-00961.pdf Notice - ActiveShares ETF Trust, et al. https://regulations.justia.com/regulations/fedreg/2021/01/19/2021-00960.html https://regulations.justia.com/regulations/fedreg/2021/01/19/2021-00960.html Tue, 19 Jan 2021 00:00:00 -0800 2021-00960 Notice https://www.govinfo.gov/content/pkg/FR-2021-01-19/pdf/2021-00960.pdf Notice - Invesco Capital Management LLC, et al. https://regulations.justia.com/regulations/fedreg/2021/01/19/2021-00957.html https://regulations.justia.com/regulations/fedreg/2021/01/19/2021-00957.html Tue, 19 Jan 2021 00:00:00 -0800 2021-00957 Notice https://www.govinfo.gov/content/pkg/FR-2021-01-19/pdf/2021-00957.pdf Notice - Self-Regulatory Organizations; MIAX PEARL, LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend the MIAX PEARL Fee Schedule https://regulations.justia.com/regulations/fedreg/2021/01/19/2021-00949.html https://regulations.justia.com/regulations/fedreg/2021/01/19/2021-00949.html Tue, 19 Jan 2021 00:00:00 -0800 2021-00949 Notice https://www.govinfo.gov/content/pkg/FR-2021-01-19/pdf/2021-00949.pdf Notice - 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 LLC https://regulations.justia.com/regulations/fedreg/2021/01/19/2021-00948.html https://regulations.justia.com/regulations/fedreg/2021/01/19/2021-00948.html Tue, 19 Jan 2021 00:00:00 -0800 2021-00948 Notice https://www.govinfo.gov/content/pkg/FR-2021-01-19/pdf/2021-00948.pdf Proposed Rule - Rule 144 Holding Period and Form 144 Filings https://regulations.justia.com/regulations/fedreg/2021/01/19/2020-28790.html https://regulations.justia.com/regulations/fedreg/2021/01/19/2020-28790.html Tue, 19 Jan 2021 00:00:00 -0800 2020-28790 Proposed Rule https://www.govinfo.gov/content/pkg/FR-2021-01-19/pdf/2020-28790.pdf Notice - SEC Small Business Capital Formation Advisory Committee https://regulations.justia.com/regulations/fedreg/2021/01/14/2021-00764.html https://regulations.justia.com/regulations/fedreg/2021/01/14/2021-00764.html Thu, 14 Jan 2021 00:00:00 -0800 2021-00764 Notice https://www.govinfo.gov/content/pkg/FR-2021-01-14/pdf/2021-00764.pdf Notice - Submission for OMB Review; Comment Request https://regulations.justia.com/regulations/fedreg/2021/01/14/2021-00733.html https://regulations.justia.com/regulations/fedreg/2021/01/14/2021-00733.html Thu, 14 Jan 2021 00:00:00 -0800 2021-00733 Notice https://www.govinfo.gov/content/pkg/FR-2021-01-14/pdf/2021-00733.pdf Notice - Submission for OMB Review; Comment Request https://regulations.justia.com/regulations/fedreg/2021/01/14/2021-00732.html https://regulations.justia.com/regulations/fedreg/2021/01/14/2021-00732.html Thu, 14 Jan 2021 00:00:00 -0800 2021-00732 Notice https://www.govinfo.gov/content/pkg/FR-2021-01-14/pdf/2021-00732.pdf Notice - Submission for OMB Review; Comment Request https://regulations.justia.com/regulations/fedreg/2021/01/14/2021-00728.html https://regulations.justia.com/regulations/fedreg/2021/01/14/2021-00728.html Thu, 14 Jan 2021 00:00:00 -0800 2021-00728 Notice https://www.govinfo.gov/content/pkg/FR-2021-01-14/pdf/2021-00728.pdf Notice - 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” https://regulations.justia.com/regulations/fedreg/2021/01/14/2021-00591.html https://regulations.justia.com/regulations/fedreg/2021/01/14/2021-00591.html Thu, 14 Jan 2021 00:00:00 -0800 2021-00591 Notice https://www.govinfo.gov/content/pkg/FR-2021-01-14/pdf/2021-00591.pdf Rule - Facilitating Capital Formation and Expanding Investment Opportunities by Improving Access to Capital in Private Markets https://regulations.justia.com/regulations/fedreg/2021/01/14/2020-24749.html https://regulations.justia.com/regulations/fedreg/2021/01/14/2020-24749.html Thu, 14 Jan 2021 00:00:00 -0800 2020-24749 Rule https://www.govinfo.gov/content/pkg/FR-2021-01-14/pdf/2020-24749.pdf Notice - Adjustments to Civil Monetary Penalty Amounts https://regulations.justia.com/regulations/fedreg/2021/01/13/2021-00528.html https://regulations.justia.com/regulations/fedreg/2021/01/13/2021-00528.html Wed, 13 Jan 2021 00:00:00 -0800 2021-00528 Notice https://www.govinfo.gov/content/pkg/FR-2021-01-13/pdf/2021-00528.pdf Notice - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Extend Its Waiver of the Application of Certain of the Shareholder Approval Requirements in Section 312.03 of the NYSE Listed Company Manual Through March 31, 2021 Subject to Certain Conditions https://regulations.justia.com/regulations/fedreg/2021/01/13/2021-00465.html https://regulations.justia.com/regulations/fedreg/2021/01/13/2021-00465.html Wed, 13 Jan 2021 00:00:00 -0800 2021-00465 Notice https://www.govinfo.gov/content/pkg/FR-2021-01-13/pdf/2021-00465.pdf Notice - 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 Policy https://regulations.justia.com/regulations/fedreg/2021/01/12/2021-00350.html https://regulations.justia.com/regulations/fedreg/2021/01/12/2021-00350.html Tue, 12 Jan 2021 00:00:00 -0800 2021-00350 Notice https://www.govinfo.gov/content/pkg/FR-2021-01-12/pdf/2021-00350.pdf Notice - 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 Incentives https://regulations.justia.com/regulations/fedreg/2021/01/12/2021-00349.html https://regulations.justia.com/regulations/fedreg/2021/01/12/2021-00349.html Tue, 12 Jan 2021 00:00:00 -0800 2021-00349 Notice https://www.govinfo.gov/content/pkg/FR-2021-01-12/pdf/2021-00349.pdf Notice - Self-Regulatory Organizations; LCH SA; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to the Amendments of the CDSClear Fee Grid https://regulations.justia.com/regulations/fedreg/2021/01/12/2021-00348.html https://regulations.justia.com/regulations/fedreg/2021/01/12/2021-00348.html Tue, 12 Jan 2021 00:00:00 -0800 2021-00348 Notice https://www.govinfo.gov/content/pkg/FR-2021-01-12/pdf/2021-00348.pdf Notice - Symmetry Panoramic Trust and Symmetry Partners, LLC https://regulations.justia.com/regulations/fedreg/2021/01/12/2021-00330.html https://regulations.justia.com/regulations/fedreg/2021/01/12/2021-00330.html Tue, 12 Jan 2021 00:00:00 -0800 2021-00330 Notice https://www.govinfo.gov/content/pkg/FR-2021-01-12/pdf/2021-00330.pdf Proposed 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 Market https://regulations.justia.com/regulations/fedreg/2021/01/12/2020-28700.html https://regulations.justia.com/regulations/fedreg/2021/01/12/2020-28700.html Tue, 12 Jan 2021 00:00:00 -0800 2020-28700 Proposed Rule https://www.govinfo.gov/content/pkg/FR-2021-01-12/pdf/2020-28700.pdf Notice - 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 One https://regulations.justia.com/regulations/fedreg/2021/01/11/2021-00199.html https://regulations.justia.com/regulations/fedreg/2021/01/11/2021-00199.html Mon, 11 Jan 2021 00:00:00 -0800 2021-00199 Notice https://www.govinfo.gov/content/pkg/FR-2021-01-11/pdf/2021-00199.pdf Notice - 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-2015-036 https://regulations.justia.com/regulations/fedreg/2021/01/11/2021-00198.html https://regulations.justia.com/regulations/fedreg/2021/01/11/2021-00198.html Mon, 11 Jan 2021 00:00:00 -0800 2021-00198 Notice https://www.govinfo.gov/content/pkg/FR-2021-01-11/pdf/2021-00198.pdf Notice - 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 Available https://regulations.justia.com/regulations/fedreg/2021/01/11/2021-00196.html https://regulations.justia.com/regulations/fedreg/2021/01/11/2021-00196.html Mon, 11 Jan 2021 00:00:00 -0800 2021-00196 Notice https://www.govinfo.gov/content/pkg/FR-2021-01-11/pdf/2021-00196.pdf Rule - Management's Discussion and Analysis, Selected Financial Data, and Supplementary Financial Information https://regulations.justia.com/regulations/fedreg/2021/01/11/2020-26090.html https://regulations.justia.com/regulations/fedreg/2021/01/11/2020-26090.html Mon, 11 Jan 2021 00:00:00 -0800 2020-26090 Rule https://www.govinfo.gov/content/pkg/FR-2021-01-11/pdf/2020-26090.pdf Notice - Sunshine Act Meeting; Cancellation https://regulations.justia.com/regulations/fedreg/2021/01/08/2021-00319.html https://regulations.justia.com/regulations/fedreg/2021/01/08/2021-00319.html Fri, 08 Jan 2021 00:00:00 -0800 2021-00319 Notice https://www.govinfo.gov/content/pkg/FR-2021-01-08/pdf/2021-00319.pdf Notice - Sunshine Act Meetings https://regulations.justia.com/regulations/fedreg/2021/01/08/2021-00253.html https://regulations.justia.com/regulations/fedreg/2021/01/08/2021-00253.html Fri, 08 Jan 2021 00:00:00 -0800 2021-00253 Notice https://www.govinfo.gov/content/pkg/FR-2021-01-08/pdf/2021-00253.pdf Notice - Proposed Collection; Comment Request https://regulations.justia.com/regulations/fedreg/2021/01/08/2021-00145.html https://regulations.justia.com/regulations/fedreg/2021/01/08/2021-00145.html Fri, 08 Jan 2021 00:00:00 -0800 2021-00145 Notice https://www.govinfo.gov/content/pkg/FR-2021-01-08/pdf/2021-00145.pdf Notice - Proposed Collection; Comment Request, Upon Written Request Copies Available From: Securities and Exchange Commission, Office of FOIA Services, 100 F Street NE, Washington, DC 20549-2736 https://regulations.justia.com/regulations/fedreg/2021/01/08/2021-00144.html https://regulations.justia.com/regulations/fedreg/2021/01/08/2021-00144.html Fri, 08 Jan 2021 00:00:00 -0800 2021-00144 Notice https://www.govinfo.gov/content/pkg/FR-2021-01-08/pdf/2021-00144.pdf Notice - Self-Regulatory Organizations; ICE Clear Credit LLC; Notice of Filing of Proposed Rule Change Relating to the ICC Clearing Participant Default Management Procedures https://regulations.justia.com/regulations/fedreg/2021/01/08/2021-00096.html https://regulations.justia.com/regulations/fedreg/2021/01/08/2021-00096.html Fri, 08 Jan 2021 00:00:00 -0800 2021-00096 Notice https://www.govinfo.gov/content/pkg/FR-2021-01-08/pdf/2021-00096.pdf Notice - Esoterica Thematic Trust and Esoterica Capital LLC; Notice of Application https://regulations.justia.com/regulations/fedreg/2021/01/08/2021-00089.html https://regulations.justia.com/regulations/fedreg/2021/01/08/2021-00089.html Fri, 08 Jan 2021 00:00:00 -0800 2021-00089 Notice https://www.govinfo.gov/content/pkg/FR-2021-01-08/pdf/2021-00089.pdf Notice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Modify the NYSE Arca Options Fee Schedule https://regulations.justia.com/regulations/fedreg/2021/01/06/2020-29285.html https://regulations.justia.com/regulations/fedreg/2021/01/06/2020-29285.html Wed, 06 Jan 2021 00:00:00 -0800 2020-29285 Notice https://www.govinfo.gov/content/pkg/FR-2021-01-06/pdf/2020-29285.pdf Notice - 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 Rule https://regulations.justia.com/regulations/fedreg/2021/01/06/2020-29284.html https://regulations.justia.com/regulations/fedreg/2021/01/06/2020-29284.html Wed, 06 Jan 2021 00:00:00 -0800 2020-29284 Notice https://www.govinfo.gov/content/pkg/FR-2021-01-06/pdf/2020-29284.pdf Notice - 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 Shares https://regulations.justia.com/regulations/fedreg/2021/01/06/2020-29283.html https://regulations.justia.com/regulations/fedreg/2021/01/06/2020-29283.html Wed, 06 Jan 2021 00:00:00 -0800 2020-29283 Notice https://www.govinfo.gov/content/pkg/FR-2021-01-06/pdf/2020-29283.pdf Notice - 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 Amount https://regulations.justia.com/regulations/fedreg/2021/01/06/2020-29251.html https://regulations.justia.com/regulations/fedreg/2021/01/06/2020-29251.html Wed, 06 Jan 2021 00:00:00 -0800 2020-29251 Notice https://www.govinfo.gov/content/pkg/FR-2021-01-06/pdf/2020-29251.pdf Notice - Self-Regulatory Organizations; NYSE American LLC; Notice of Filing and Immediate Effectiveness of Proposed Change To Modify the NYSE American Options Fee Schedule https://regulations.justia.com/regulations/fedreg/2021/01/06/2020-29222.html https://regulations.justia.com/regulations/fedreg/2021/01/06/2020-29222.html Wed, 06 Jan 2021 00:00:00 -0800 2020-29222 Notice https://www.govinfo.gov/content/pkg/FR-2021-01-06/pdf/2020-29222.pdf Notice - 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 Bonds https://regulations.justia.com/regulations/fedreg/2021/01/06/2020-29221.html https://regulations.justia.com/regulations/fedreg/2021/01/06/2020-29221.html Wed, 06 Jan 2021 00:00:00 -0800 2020-29221 Notice https://www.govinfo.gov/content/pkg/FR-2021-01-06/pdf/2020-29221.pdf Notice - 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) https://regulations.justia.com/regulations/fedreg/2021/01/06/2020-29220.html https://regulations.justia.com/regulations/fedreg/2021/01/06/2020-29220.html Wed, 06 Jan 2021 00:00:00 -0800 2020-29220 Notice https://www.govinfo.gov/content/pkg/FR-2021-01-06/pdf/2020-29220.pdf Notice - Self-Regulatory Organizations; Miami International Securities Exchange LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Exchange Rule 1900, Registration Requirements, To Adopt Temporary Interpretation and Policy .13 (Temporary Extension of the Limited Period for Registered Persons To Function as Principals) https://regulations.justia.com/regulations/fedreg/2021/01/06/2020-29219.html https://regulations.justia.com/regulations/fedreg/2021/01/06/2020-29219.html Wed, 06 Jan 2021 00:00:00 -0800 2020-29219 Notice https://www.govinfo.gov/content/pkg/FR-2021-01-06/pdf/2020-29219.pdf Notice - 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) https://regulations.justia.com/regulations/fedreg/2021/01/06/2020-29218.html https://regulations.justia.com/regulations/fedreg/2021/01/06/2020-29218.html Wed, 06 Jan 2021 00:00:00 -0800 2020-29218 Notice https://www.govinfo.gov/content/pkg/FR-2021-01-06/pdf/2020-29218.pdf Notice - 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 Inventory https://regulations.justia.com/regulations/fedreg/2021/01/06/2020-29217.html https://regulations.justia.com/regulations/fedreg/2021/01/06/2020-29217.html Wed, 06 Jan 2021 00:00:00 -0800 2020-29217 Notice https://www.govinfo.gov/content/pkg/FR-2021-01-06/pdf/2020-29217.pdf Notice - 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. https://regulations.justia.com/regulations/fedreg/2021/01/06/2020-29216.html https://regulations.justia.com/regulations/fedreg/2021/01/06/2020-29216.html Wed, 06 Jan 2021 00:00:00 -0800 2020-29216 Notice https://www.govinfo.gov/content/pkg/FR-2021-01-06/pdf/2020-29216.pdf Notice - 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 Service https://regulations.justia.com/regulations/fedreg/2021/01/06/2020-29215.html https://regulations.justia.com/regulations/fedreg/2021/01/06/2020-29215.html Wed, 06 Jan 2021 00:00:00 -0800 2020-29215 Notice https://www.govinfo.gov/content/pkg/FR-2021-01-06/pdf/2020-29215.pdf Notice - 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, 2021 https://regulations.justia.com/regulations/fedreg/2021/01/06/2020-29214.html https://regulations.justia.com/regulations/fedreg/2021/01/06/2020-29214.html Wed, 06 Jan 2021 00:00:00 -0800 2020-29214 Notice https://www.govinfo.gov/content/pkg/FR-2021-01-06/pdf/2020-29214.pdf Notice - 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, 2021 https://regulations.justia.com/regulations/fedreg/2021/01/06/2020-29213.html https://regulations.justia.com/regulations/fedreg/2021/01/06/2020-29213.html Wed, 06 Jan 2021 00:00:00 -0800 2020-29213 Notice https://www.govinfo.gov/content/pkg/FR-2021-01-06/pdf/2020-29213.pdf Notice - 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, 2021 https://regulations.justia.com/regulations/fedreg/2021/01/06/2020-29212.html https://regulations.justia.com/regulations/fedreg/2021/01/06/2020-29212.html Wed, 06 Jan 2021 00:00:00 -0800 2020-29212 Notice https://www.govinfo.gov/content/pkg/FR-2021-01-06/pdf/2020-29212.pdf Notice - 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, 2021 https://regulations.justia.com/regulations/fedreg/2021/01/06/2020-29211.html https://regulations.justia.com/regulations/fedreg/2021/01/06/2020-29211.html Wed, 06 Jan 2021 00:00:00 -0800 2020-29211 Notice https://www.govinfo.gov/content/pkg/FR-2021-01-06/pdf/2020-29211.pdf Rule - Good Faith Determinations of Fair Value https://regulations.justia.com/regulations/fedreg/2021/01/06/2020-26971.html https://regulations.justia.com/regulations/fedreg/2021/01/06/2020-26971.html Wed, 06 Jan 2021 00:00:00 -0800 2020-26971 Rule https://www.govinfo.gov/content/pkg/FR-2021-01-06/pdf/2020-26971.pdf Notice - Proposed Collection; Comment Request https://regulations.justia.com/regulations/fedreg/2021/01/05/2020-29155.html https://regulations.justia.com/regulations/fedreg/2021/01/05/2020-29155.html Tue, 05 Jan 2021 00:00:00 -0800 2020-29155 Notice https://www.govinfo.gov/content/pkg/FR-2021-01-05/pdf/2020-29155.pdf Notice - 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 Products https://regulations.justia.com/regulations/fedreg/2021/01/05/2020-29139.html https://regulations.justia.com/regulations/fedreg/2021/01/05/2020-29139.html Tue, 05 Jan 2021 00:00:00 -0800 2020-29139 Notice https://www.govinfo.gov/content/pkg/FR-2021-01-05/pdf/2020-29139.pdf Notice - Self-Regulatory Organizations; Miami International Securities Exchange LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Its Fee Schedule https://regulations.justia.com/regulations/fedreg/2021/01/05/2020-29138.html https://regulations.justia.com/regulations/fedreg/2021/01/05/2020-29138.html Tue, 05 Jan 2021 00:00:00 -0800 2020-29138 Notice https://www.govinfo.gov/content/pkg/FR-2021-01-05/pdf/2020-29138.pdf Notice - 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 Securities https://regulations.justia.com/regulations/fedreg/2021/01/05/2020-29137.html https://regulations.justia.com/regulations/fedreg/2021/01/05/2020-29137.html Tue, 05 Jan 2021 00:00:00 -0800 2020-29137 Notice https://www.govinfo.gov/content/pkg/FR-2021-01-05/pdf/2020-29137.pdf Notice - 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-E https://regulations.justia.com/regulations/fedreg/2021/01/05/2020-29136.html https://regulations.justia.com/regulations/fedreg/2021/01/05/2020-29136.html Tue, 05 Jan 2021 00:00:00 -0800 2020-29136 Notice https://www.govinfo.gov/content/pkg/FR-2021-01-05/pdf/2020-29136.pdf Notice - 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 Mechanism https://regulations.justia.com/regulations/fedreg/2021/01/05/2020-29135.html https://regulations.justia.com/regulations/fedreg/2021/01/05/2020-29135.html Tue, 05 Jan 2021 00:00:00 -0800 2020-29135 Notice https://www.govinfo.gov/content/pkg/FR-2021-01-05/pdf/2020-29135.pdf Notice - Self-Regulatory Organizations; Miami International Securities Exchange LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the Fee Schedule https://regulations.justia.com/regulations/fedreg/2021/01/05/2020-29134.html https://regulations.justia.com/regulations/fedreg/2021/01/05/2020-29134.html Tue, 05 Jan 2021 00:00:00 -0800 2020-29134 Notice https://www.govinfo.gov/content/pkg/FR-2021-01-05/pdf/2020-29134.pdf Notice - Self-Regulatory Organizations; MIAX PEARL, LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the MIAX PEARL Fee Schedule https://regulations.justia.com/regulations/fedreg/2021/01/05/2020-29133.html https://regulations.justia.com/regulations/fedreg/2021/01/05/2020-29133.html Tue, 05 Jan 2021 00:00:00 -0800 2020-29133 Notice https://www.govinfo.gov/content/pkg/FR-2021-01-05/pdf/2020-29133.pdf Notice - Self-Regulatory Organizations; Miami International Securities Exchange, LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Its Fee Schedule To Increase the Number of Additional Limited Service MIAX Express Interface Ports Available to Market Makers https://regulations.justia.com/regulations/fedreg/2021/01/05/2020-29132.html https://regulations.justia.com/regulations/fedreg/2021/01/05/2020-29132.html Tue, 05 Jan 2021 00:00:00 -0800 2020-29132 Notice https://www.govinfo.gov/content/pkg/FR-2021-01-05/pdf/2020-29132.pdf Notice - 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 Auctions https://regulations.justia.com/regulations/fedreg/2021/01/05/2020-29131.html https://regulations.justia.com/regulations/fedreg/2021/01/05/2020-29131.html Tue, 05 Jan 2021 00:00:00 -0800 2020-29131 Notice https://www.govinfo.gov/content/pkg/FR-2021-01-05/pdf/2020-29131.pdf Notice - Sunshine Act Meetings https://regulations.justia.com/regulations/fedreg/2021/01/04/2020-29201.html https://regulations.justia.com/regulations/fedreg/2021/01/04/2020-29201.html Mon, 04 Jan 2021 00:00:00 -0800 2020-29201 Notice https://www.govinfo.gov/content/pkg/FR-2021-01-04/pdf/2020-29201.pdf Notice - Self-Regulatory Organizations; Long-Term Stock Exchange, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the Rule Series 11.600 https://regulations.justia.com/regulations/fedreg/2021/01/04/2020-29027.html https://regulations.justia.com/regulations/fedreg/2021/01/04/2020-29027.html Mon, 04 Jan 2021 00:00:00 -0800 2020-29027 Notice https://www.govinfo.gov/content/pkg/FR-2021-01-04/pdf/2020-29027.pdf Notice - 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 Trail https://regulations.justia.com/regulations/fedreg/2021/01/04/2020-29026.html https://regulations.justia.com/regulations/fedreg/2021/01/04/2020-29026.html Mon, 04 Jan 2021 00:00:00 -0800 2020-29026 Notice https://www.govinfo.gov/content/pkg/FR-2021-01-04/pdf/2020-29026.pdf Notice - 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 Trust https://regulations.justia.com/regulations/fedreg/2021/01/04/2020-29025.html https://regulations.justia.com/regulations/fedreg/2021/01/04/2020-29025.html Mon, 04 Jan 2021 00:00:00 -0800 2020-29025 Notice https://www.govinfo.gov/content/pkg/FR-2021-01-04/pdf/2020-29025.pdf Notice - 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 Policy https://regulations.justia.com/regulations/fedreg/2021/01/04/2020-29023.html https://regulations.justia.com/regulations/fedreg/2021/01/04/2020-29023.html Mon, 04 Jan 2021 00:00:00 -0800 2020-29023 Notice https://www.govinfo.gov/content/pkg/FR-2021-01-04/pdf/2020-29023.pdf Notice - 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 ClaimConnectTM https://regulations.justia.com/regulations/fedreg/2021/01/04/2020-29022.html https://regulations.justia.com/regulations/fedreg/2021/01/04/2020-29022.html Mon, 04 Jan 2021 00:00:00 -0800 2020-29022 Notice https://www.govinfo.gov/content/pkg/FR-2021-01-04/pdf/2020-29022.pdf Notice - 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 Hours https://regulations.justia.com/regulations/fedreg/2021/01/04/2020-29021.html https://regulations.justia.com/regulations/fedreg/2021/01/04/2020-29021.html Mon, 04 Jan 2021 00:00:00 -0800 2020-29021 Notice https://www.govinfo.gov/content/pkg/FR-2021-01-04/pdf/2020-29021.pdf Notice - 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 314.00 https://regulations.justia.com/regulations/fedreg/2021/01/04/2020-29020.html https://regulations.justia.com/regulations/fedreg/2021/01/04/2020-29020.html Mon, 04 Jan 2021 00:00:00 -0800 2020-29020 Notice https://www.govinfo.gov/content/pkg/FR-2021-01-04/pdf/2020-29020.pdf Notice - Self-Regulatory Organizations; Cboe BZX Exchange, Inc.; Notice of Withdrawal of a Proposed Rule Change To Accommodate Exchange Listing and Trading of Options-Linked Securities https://regulations.justia.com/regulations/fedreg/2021/01/04/2020-29019.html https://regulations.justia.com/regulations/fedreg/2021/01/04/2020-29019.html Mon, 04 Jan 2021 00:00:00 -0800 2020-29019 Notice https://www.govinfo.gov/content/pkg/FR-2021-01-04/pdf/2020-29019.pdf Notice - Notice of Applications for Deregistration Under Section 8(f) of the Investment Company Act of 1940 https://regulations.justia.com/regulations/fedreg/2021/01/04/2020-29013.html https://regulations.justia.com/regulations/fedreg/2021/01/04/2020-29013.html Mon, 04 Jan 2021 00:00:00 -0800 2020-29013 Notice https://www.govinfo.gov/content/pkg/FR-2021-01-04/pdf/2020-29013.pdf