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/2021/02?limit=200®isters=between&min-day=1&max-day=28&mode=atom2024-05-04T01:46:09-07:00Justia Inchttps://www.justia.com/Justia Regulations Trackerhttps://regulations.justia.com/images/justiafedregulations.gifCopyright 2011 Justia Inchttps://regulations.justia.com/regulations/fedreg/2021/02/25/2021-04049.htmlNotice - Sunshine Act Meeting; Cancellation2021-02-25T00:00:00-08:002021-02-25T00:00:00-08:002021-04049Noticehttps://www.govinfo.gov/content/pkg/FR-2021-02-25/pdf/2021-04049.pdfhttps://regulations.justia.com/regulations/fedreg/2021/02/25/2021-03896.htmlNotice - Notice of Intention To Cancel Registrations of Certain Investment Advisers Pursuant to Section 203(H) of the Investment Advisers Act of 19402021-02-25T00:00:00-08:002021-02-25T00:00:00-08:002021-03896Noticehttps://www.govinfo.gov/content/pkg/FR-2021-02-25/pdf/2021-03896.pdfhttps://regulations.justia.com/regulations/fedreg/2021/02/25/2021-03884.htmlNotice - Submission for OMB Review; Comment Request2021-02-25T00:00:00-08:002021-02-25T00:00:00-08:002021-03884Noticehttps://www.govinfo.gov/content/pkg/FR-2021-02-25/pdf/2021-03884.pdfhttps://regulations.justia.com/regulations/fedreg/2021/02/25/2021-03883.htmlNotice - Submission for OMB Review; Comment Request2021-02-25T00:00:00-08:002021-02-25T00:00:00-08:002021-03883Noticehttps://www.govinfo.gov/content/pkg/FR-2021-02-25/pdf/2021-03883.pdfhttps://regulations.justia.com/regulations/fedreg/2021/02/25/2021-03850.htmlNotice - Self-Regulatory Organizations; ICE Clear Europe Limited; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Amendments to Part BB of the ICE Clear Europe Delivery Procedures2021-02-25T00:00:00-08:002021-02-25T00:00:00-08:002021-03850Noticehttps://www.govinfo.gov/content/pkg/FR-2021-02-25/pdf/2021-03850.pdfhttps://regulations.justia.com/regulations/fedreg/2021/02/24/2021-03726.htmlNotice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing of Proposed Rule Change To Establish Procedures for the Allocation of Power to Its Co-Located Users2021-02-24T00:00:00-08:002021-02-24T00:00:00-08:002021-03726Noticehttps://www.govinfo.gov/content/pkg/FR-2021-02-24/pdf/2021-03726.pdfhttps://regulations.justia.com/regulations/fedreg/2021/02/24/2021-03725.htmlNotice - Self-Regulatory Organizations; Cboe BZX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the Fee Schedule2021-02-24T00:00:00-08:002021-02-24T00:00:00-08:002021-03725Noticehttps://www.govinfo.gov/content/pkg/FR-2021-02-24/pdf/2021-03725.pdfhttps://regulations.justia.com/regulations/fedreg/2021/02/24/2021-03724.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 32021-02-24T00:00:00-08:002021-02-24T00:00:00-08:002021-03724Noticehttps://www.govinfo.gov/content/pkg/FR-2021-02-24/pdf/2021-03724.pdfhttps://regulations.justia.com/regulations/fedreg/2021/02/24/2021-03721.htmlNotice - Self-Regulatory Organizations; NYSE Chicago, Inc.; Notice of Filing of Proposed Rule Change To Establish Procedures for the Allocation of Power to Its Co-Located Users2021-02-24T00:00:00-08:002021-02-24T00:00:00-08:002021-03721Noticehttps://www.govinfo.gov/content/pkg/FR-2021-02-24/pdf/2021-03721.pdfhttps://regulations.justia.com/regulations/fedreg/2021/02/24/2021-03720.htmlNotice - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing of Proposed Rule Change To Establish Procedures for the Allocation of Power to Its Co-Located Users2021-02-24T00:00:00-08:002021-02-24T00:00:00-08:002021-03720Noticehttps://www.govinfo.gov/content/pkg/FR-2021-02-24/pdf/2021-03720.pdfhttps://regulations.justia.com/regulations/fedreg/2021/02/24/2021-03719.htmlNotice - Self-Regulatory Organizations; NYSE American LLC; Notice of Filing of Proposed Rule Change To Establish Procedures for the Allocation of Power to Its Co-Located Users2021-02-24T00:00:00-08:002021-02-24T00:00:00-08:002021-03719Noticehttps://www.govinfo.gov/content/pkg/FR-2021-02-24/pdf/2021-03719.pdfhttps://regulations.justia.com/regulations/fedreg/2021/02/24/2021-03718.htmlNotice - Self-Regulatory Organizations; NYSE National, Inc.; Notice of Filing of Proposed Rule Change To Establish Procedures for the Allocation of Power to Its Co-Located Users2021-02-24T00:00:00-08:002021-02-24T00:00:00-08:002021-03718Noticehttps://www.govinfo.gov/content/pkg/FR-2021-02-24/pdf/2021-03718.pdfhttps://regulations.justia.com/regulations/fedreg/2021/02/24/2021-03715.htmlNotice - Columbia Funds Series Trust, et al.2021-02-24T00:00:00-08:002021-02-24T00:00:00-08:002021-03715Noticehttps://www.govinfo.gov/content/pkg/FR-2021-02-24/pdf/2021-03715.pdfhttps://regulations.justia.com/regulations/fedreg/2021/02/23/2021-03563.htmlNotice - Investor Advisory Committee Meeting2021-02-23T00:00:00-08:002021-02-23T00:00:00-08:002021-03563Noticehttps://www.govinfo.gov/content/pkg/FR-2021-02-23/pdf/2021-03563.pdfhttps://regulations.justia.com/regulations/fedreg/2021/02/23/2021-03549.htmlNotice - Self-Regulatory Organizations; MIAX Emerald, LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Its Fee Schedule To Establish Market Data Fees2021-02-23T00:00:00-08:002021-02-23T00:00:00-08:002021-03549Noticehttps://www.govinfo.gov/content/pkg/FR-2021-02-23/pdf/2021-03549.pdfhttps://regulations.justia.com/regulations/fedreg/2021/02/23/2021-03547.htmlNotice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the NYSE Arca Equities Fees and Charges2021-02-23T00:00:00-08:002021-02-23T00:00:00-08:002021-03547Noticehttps://www.govinfo.gov/content/pkg/FR-2021-02-23/pdf/2021-03547.pdfhttps://regulations.justia.com/regulations/fedreg/2021/02/23/2021-03546.htmlNotice - Self-Regulatory Organizations; Cboe Futures Exchange, LLC; Notice of a Filing of a Proposed Rule Change Regarding Rule Consolidation2021-02-23T00:00:00-08:002021-02-23T00:00:00-08:002021-03546Noticehttps://www.govinfo.gov/content/pkg/FR-2021-02-23/pdf/2021-03546.pdfhttps://regulations.justia.com/regulations/fedreg/2021/02/23/2021-03545.htmlNotice - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Rule 7.35C To Change the Auction Reference Price for Exchange-Facilitated Core Open Auctions2021-02-23T00:00:00-08:002021-02-23T00:00:00-08:002021-03545Noticehttps://www.govinfo.gov/content/pkg/FR-2021-02-23/pdf/2021-03545.pdfhttps://regulations.justia.com/regulations/fedreg/2021/02/23/2021-03544.htmlNotice - Self-Regulatory Organizations; Nasdaq PHLX LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Rule 33042021-02-23T00:00:00-08:002021-02-23T00:00:00-08:002021-03544Noticehttps://www.govinfo.gov/content/pkg/FR-2021-02-23/pdf/2021-03544.pdfhttps://regulations.justia.com/regulations/fedreg/2021/02/23/2021-03543.htmlNotice - Self-Regulatory Organizations; MIAX PEARL, LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Exchange Rule 200, Trading Permits2021-02-23T00:00:00-08:002021-02-23T00:00:00-08:002021-03543Noticehttps://www.govinfo.gov/content/pkg/FR-2021-02-23/pdf/2021-03543.pdfhttps://regulations.justia.com/regulations/fedreg/2021/02/22/2021-03637.htmlNotice - Sunshine Act Meetings2021-02-22T00:00:00-08:002021-02-22T00:00:00-08:002021-03637Noticehttps://www.govinfo.gov/content/pkg/FR-2021-02-22/pdf/2021-03637.pdfhttps://regulations.justia.com/regulations/fedreg/2021/02/22/2021-03493.htmlNotice - Self-Regulatory Organizations; ICE Clear Europe Limited; Order Approving Proposed Rule Change as Modified by Partial Amendment No. 1 Relating to Amendments to the ICE Clear Europe CDS Procedures and CDS Default Management Policy.2021-02-22T00:00:00-08:002021-02-22T00:00:00-08:002021-03493Noticehttps://www.govinfo.gov/content/pkg/FR-2021-02-22/pdf/2021-03493.pdfhttps://regulations.justia.com/regulations/fedreg/2021/02/22/2021-03461.htmlNotice - Self-Regulatory Organizations; The Nasdaq Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Equity 4, Rule 47592021-02-22T00:00:00-08:002021-02-22T00:00:00-08:002021-03461Noticehttps://www.govinfo.gov/content/pkg/FR-2021-02-22/pdf/2021-03461.pdfhttps://regulations.justia.com/regulations/fedreg/2021/02/22/2021-03460.htmlNotice - Self-Regulatory Organizations; Nasdaq BX, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Rule 47592021-02-22T00:00:00-08:002021-02-22T00:00:00-08:002021-03460Noticehttps://www.govinfo.gov/content/pkg/FR-2021-02-22/pdf/2021-03460.pdfhttps://regulations.justia.com/regulations/fedreg/2021/02/22/2021-03459.htmlNotice - Self-Regulatory Organizations; Cboe Exchange, Inc.; Notice of Withdrawal of a Proposed Rule Change, as Modified by Amendment Nos. 1 and 2, to Authorize for Trading Flexible Exchange Options on Full-Value Indexes With a Contract Multiplier of One2021-02-22T00:00:00-08:002021-02-22T00:00:00-08:002021-03459Noticehttps://www.govinfo.gov/content/pkg/FR-2021-02-22/pdf/2021-03459.pdfhttps://regulations.justia.com/regulations/fedreg/2021/02/22/2021-03455.htmlNotice - Strategas Trust and Strategas Securities, LLC2021-02-22T00:00:00-08:002021-02-22T00:00:00-08:002021-03455Noticehttps://www.govinfo.gov/content/pkg/FR-2021-02-22/pdf/2021-03455.pdfhttps://regulations.justia.com/regulations/fedreg/2021/02/19/2021-03353.htmlNotice - Order Extending the Annual Reports Filing Deadline for Certain Smaller Broker-Dealers2021-02-19T00:00:00-08:002021-02-19T00:00:00-08:002021-03353Noticehttps://www.govinfo.gov/content/pkg/FR-2021-02-19/pdf/2021-03353.pdfhttps://regulations.justia.com/regulations/fedreg/2021/02/19/2021-03344.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. 2, To Make Qualified Contingent Cross Orders Available for FLEX Option Trading2021-02-19T00:00:00-08:002021-02-19T00:00:00-08:002021-03344Noticehttps://www.govinfo.gov/content/pkg/FR-2021-02-19/pdf/2021-03344.pdfhttps://regulations.justia.com/regulations/fedreg/2021/02/19/2021-03343.htmlNotice - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Designation of a Longer Period for Commission Action on a Proposed Rule Change To Amend the 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 314.002021-02-19T00:00:00-08:002021-02-19T00:00:00-08:002021-03343Noticehttps://www.govinfo.gov/content/pkg/FR-2021-02-19/pdf/2021-03343.pdfhttps://regulations.justia.com/regulations/fedreg/2021/02/19/2021-03342.htmlNotice - Self-Regulatory Organizations; Nasdaq BX, Inc.; Notice of Filing of Amendment No. 1 and Order Granting Accelerated Approval of Proposed Rule Change, as Modified by Amendment No. 1, To Amend Options 4, Section 5, To Limit Short Term Options Series Intervals Between Strikes That Are Available for Quoting and Trading on BX2021-02-19T00:00:00-08:002021-02-19T00:00:00-08:002021-03342Noticehttps://www.govinfo.gov/content/pkg/FR-2021-02-19/pdf/2021-03342.pdfhttps://regulations.justia.com/regulations/fedreg/2021/02/19/2021-03341.htmlNotice - Self-Regulatory Organizations; Nasdaq BX, Inc.; Order Granting Approval of a Proposed Rule Change To Utilize the FIX Protocol To Submit Orders to BX's Price Improvement Auction Mechanism2021-02-19T00:00:00-08:002021-02-19T00:00:00-08:002021-03341Noticehttps://www.govinfo.gov/content/pkg/FR-2021-02-19/pdf/2021-03341.pdfhttps://regulations.justia.com/regulations/fedreg/2021/02/19/2021-03340.htmlNotice - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Its Price List2021-02-19T00:00:00-08:002021-02-19T00:00:00-08:002021-03340Noticehttps://www.govinfo.gov/content/pkg/FR-2021-02-19/pdf/2021-03340.pdfhttps://regulations.justia.com/regulations/fedreg/2021/02/19/2021-03339.htmlNotice - Self-Regulatory Organizations; Cboe Exchange, Inc.; Order Approving a Proposed Rule Change, as Modified by Amendment No. 1, To Amend Rules 5.37, 5.38, and 5.73 Related to Auction Notification Messages and Index Combo Orders in SPX in the Automated Improvement Mechanism, Complex Automated Improvement Mechanism, and FLEX Automated Improvement Mechanism2021-02-19T00:00:00-08:002021-02-19T00:00:00-08:002021-03339Noticehttps://www.govinfo.gov/content/pkg/FR-2021-02-19/pdf/2021-03339.pdfhttps://regulations.justia.com/regulations/fedreg/2021/02/19/2021-03338.htmlNotice - Self-Regulatory Organizations; New York Stock Exchange LLC; Order Instituting Proceedings To Determine Whether To Approve or Disapprove a Proposed Rule Change To Amend Rules 7.35 and 7.35A2021-02-19T00:00:00-08:002021-02-19T00:00:00-08:002021-03338Noticehttps://www.govinfo.gov/content/pkg/FR-2021-02-19/pdf/2021-03338.pdfhttps://regulations.justia.com/regulations/fedreg/2021/02/19/2021-03337.htmlNotice - Self-Regulatory Organizations; New York Stock Exchange LLC; Order Instituting Proceedings To Determine Whether To Approve or Disapprove a Proposed Rule Change To Amend the Requirement Applicable to Special Purpose Acquisition Companies Upon Consummation of a Business Combination Concerning Compliance With the Round Lot Shareholder Requirement2021-02-19T00:00:00-08:002021-02-19T00:00:00-08:002021-03337Noticehttps://www.govinfo.gov/content/pkg/FR-2021-02-19/pdf/2021-03337.pdfhttps://regulations.justia.com/regulations/fedreg/2021/02/19/2021-03336.htmlNotice - Self-Regulatory Organizations; Cboe Exchange, Inc.; Notice of Filing of Amendment No. 2 and Order Granting Accelerated Approval of a Proposed Rule Change, as Modified by Amendment Nos. 1 and 2, To Amend the Automated Price Improvement Auction Rules in Connection With Agency Order Size Requirements2021-02-19T00:00:00-08:002021-02-19T00:00:00-08:002021-03336Noticehttps://www.govinfo.gov/content/pkg/FR-2021-02-19/pdf/2021-03336.pdfhttps://regulations.justia.com/regulations/fedreg/2021/02/18/2021-03402.htmlNotice - Sunshine Act Meeting; Cancellation2021-02-18T00:00:00-08:002021-02-18T00:00:00-08:002021-03402Noticehttps://www.govinfo.gov/content/pkg/FR-2021-02-18/pdf/2021-03402.pdfhttps://regulations.justia.com/regulations/fedreg/2021/02/18/2021-03219.htmlNotice - Self-Regulatory Organizations; Cboe Exchange, Inc.; Order Approving a Proposed Rule Change, as Modified by Amendment Nos. 1 and 2, To Amend Rules 5.37 and 5.73 Related to the Solicitation of Market Makers for SPX Initiating Orders in the Automated Improvement Mechanism and FLEX Automated Improvement Mechanism2021-02-18T00:00:00-08:002021-02-18T00:00:00-08:002021-03219Noticehttps://www.govinfo.gov/content/pkg/FR-2021-02-18/pdf/2021-03219.pdfhttps://regulations.justia.com/regulations/fedreg/2021/02/18/2021-03218.htmlNotice - Self-Regulatory Organizations; OneChicago, LLC; Order Granting OneChicago, LLC's Request To Withdraw From Registration as a National Securities Exchange Solely for the Purposes of Trading Security Futures Products2021-02-18T00:00:00-08:002021-02-18T00:00:00-08:002021-03218Noticehttps://www.govinfo.gov/content/pkg/FR-2021-02-18/pdf/2021-03218.pdfhttps://regulations.justia.com/regulations/fedreg/2021/02/18/2021-03217.htmlNotice - Self-Regulatory Organizations; ICE Clear Europe Limited; Notice of Filing of Proposed Rule Change Relating to Amendments to the ICE Clear Europe Price Submission Disciplinary Framework2021-02-18T00:00:00-08:002021-02-18T00:00:00-08:002021-03217Noticehttps://www.govinfo.gov/content/pkg/FR-2021-02-18/pdf/2021-03217.pdfhttps://regulations.justia.com/regulations/fedreg/2021/02/18/2021-03216.htmlNotice - Self-Regulatory Organizations; MIAX PEARL, LLC; Order Granting Approval of a Proposed Rule Change To Amend the Exchange's By-Laws in Connection With an Equity Rights Program2021-02-18T00:00:00-08:002021-02-18T00:00:00-08:002021-03216Noticehttps://www.govinfo.gov/content/pkg/FR-2021-02-18/pdf/2021-03216.pdfhttps://regulations.justia.com/regulations/fedreg/2021/02/18/2021-03215.htmlNotice - Self-Regulatory Organizations; NYSE National, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Its Schedule of Fees and Rebates2021-02-18T00:00:00-08:002021-02-18T00:00:00-08:002021-03215Noticehttps://www.govinfo.gov/content/pkg/FR-2021-02-18/pdf/2021-03215.pdfhttps://regulations.justia.com/regulations/fedreg/2021/02/18/2021-03214.htmlNotice - Self-Regulatory Organizations; The Nasdaq Stock Market LLC; Order Approving a Proposed Rule Change To Amend the Exchange's Rules at Equity 4, Section 4703(h) Relating to Reserve Orders2021-02-18T00:00:00-08:002021-02-18T00:00:00-08:002021-03214Noticehttps://www.govinfo.gov/content/pkg/FR-2021-02-18/pdf/2021-03214.pdfhttps://regulations.justia.com/regulations/fedreg/2021/02/18/2021-03213.htmlNotice - Self-Regulatory Organizations; Cboe C2 Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating To Amend Its Fees Schedule2021-02-18T00:00:00-08:002021-02-18T00:00:00-08:002021-03213Noticehttps://www.govinfo.gov/content/pkg/FR-2021-02-18/pdf/2021-03213.pdfhttps://regulations.justia.com/regulations/fedreg/2021/02/18/2021-03212.htmlNotice - Self-Regulatory Organizations; The Nasdaq Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the Exchange's Transaction Credits at Equity 7, Sections 114 and 118(a)2021-02-18T00:00:00-08:002021-02-18T00:00:00-08:002021-03212Noticehttps://www.govinfo.gov/content/pkg/FR-2021-02-18/pdf/2021-03212.pdfhttps://regulations.justia.com/regulations/fedreg/2021/02/17/2021-03090.htmlNotice - Self-Regulatory Organizations; The Depository Trust Company; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Add New Fees for DTC's Money Market Instrument Program2021-02-17T00:00:00-08:002021-02-17T00:00:00-08:002021-03090Noticehttps://www.govinfo.gov/content/pkg/FR-2021-02-17/pdf/2021-03090.pdfhttps://regulations.justia.com/regulations/fedreg/2021/02/17/2021-03089.htmlNotice - Self-Regulatory Organizations; The Nasdaq Stock Market LLC; Notice of Filing of Proposed Rule Change To Disseminate Abbreviated Order Imbalance Information, Amend Certain Cutoff Times for On-Open Orders Entered gor Participation in the Nasdaq Opening Cross and Extend the Time Period for Accepting Certain Limit On-Open Orders2021-02-17T00:00:00-08:002021-02-17T00:00:00-08:002021-03089Noticehttps://www.govinfo.gov/content/pkg/FR-2021-02-17/pdf/2021-03089.pdfhttps://regulations.justia.com/regulations/fedreg/2021/02/17/2021-03088.htmlNotice - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing of Amendment No. 1 and Order Instituting Proceedings To Determine Whether To Approve or Disapprove a Proposed Rule Change, as Modified by Amendment No. 1, To Amend Rule 7.35C2021-02-17T00:00:00-08:002021-02-17T00:00:00-08:002021-03088Noticehttps://www.govinfo.gov/content/pkg/FR-2021-02-17/pdf/2021-03088.pdfhttps://regulations.justia.com/regulations/fedreg/2021/02/17/2021-03087.htmlNotice - Self-Regulatory Organizations; MEMX LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the Exchange's Fee Schedule2021-02-17T00:00:00-08:002021-02-17T00:00:00-08:002021-03087Noticehttps://www.govinfo.gov/content/pkg/FR-2021-02-17/pdf/2021-03087.pdfhttps://regulations.justia.com/regulations/fedreg/2021/02/17/2021-03086.htmlNotice - Blue Tractor ETF Trust and Blue Tractor Group, LLC2021-02-17T00:00:00-08:002021-02-17T00:00:00-08:002021-03086Noticehttps://www.govinfo.gov/content/pkg/FR-2021-02-17/pdf/2021-03086.pdfhttps://regulations.justia.com/regulations/fedreg/2021/02/16/2021-03161.htmlNotice - Sunshine Act Meetings2021-02-16T00:00:00-08:002021-02-16T00:00:00-08:002021-03161Noticehttps://www.govinfo.gov/content/pkg/FR-2021-02-16/pdf/2021-03161.pdfhttps://regulations.justia.com/regulations/fedreg/2021/02/16/2021-02996.htmlNotice - Self-Regulatory Organizations; Fixed Income Clearing Corporation; Order Instituting Proceedings To Determine Whether To Approve or Disapprove a Proposed Rule Change To Modify the Calculation of the MBSD VaR Floor To Incorporate a Minimum Margin Amount2021-02-16T00:00:00-08:002021-02-16T00:00:00-08:002021-02996Noticehttps://www.govinfo.gov/content/pkg/FR-2021-02-16/pdf/2021-02996.pdfhttps://regulations.justia.com/regulations/fedreg/2021/02/16/2021-02995.htmlNotice - Self-Regulatory Organizations; ICE Clear Europe Limited; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Amendments to the ICE Clear Europe Delivery Procedures.2021-02-16T00:00:00-08:002021-02-16T00:00:00-08:002021-02995Noticehttps://www.govinfo.gov/content/pkg/FR-2021-02-16/pdf/2021-02995.pdfhttps://regulations.justia.com/regulations/fedreg/2021/02/16/2021-02994.htmlNotice - Self-Regulatory Organizations; ICE Clear Credit LLC; Notice of Filing of Proposed Rule Change Relating to the ICC Governance Playbook2021-02-16T00:00:00-08:002021-02-16T00:00:00-08:002021-02994Noticehttps://www.govinfo.gov/content/pkg/FR-2021-02-16/pdf/2021-02994.pdfhttps://regulations.justia.com/regulations/fedreg/2021/02/16/2021-02993.htmlNotice - Self-Regulatory Organizations; The Nasdaq Stock Market LLC; Notice of Filing of Proposed Rule Change To Adopt Additional Initial Listing Criteria for Companies Primarily Operating in Jurisdictions That Do Not Provide the PCAOB With the Ability To Inspect Public Accounting Firms2021-02-16T00:00:00-08:002021-02-16T00:00:00-08:002021-02993Noticehttps://www.govinfo.gov/content/pkg/FR-2021-02-16/pdf/2021-02993.pdfhttps://regulations.justia.com/regulations/fedreg/2021/02/16/2021-02992.htmlNotice - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Designation of Longer Period for Commission Action on Proposed Rule Change To Revise Rules 46 and 46A and Other Related Rules To Permit the Appointment of Trading Officials2021-02-16T00:00:00-08:002021-02-16T00:00:00-08:002021-02992Noticehttps://www.govinfo.gov/content/pkg/FR-2021-02-16/pdf/2021-02992.pdfhttps://regulations.justia.com/regulations/fedreg/2021/02/16/2021-02991.htmlNotice - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend its Price List To Extend the Waiver of Equipment and Related Service Charges and Trading License Fees2021-02-16T00:00:00-08:002021-02-16T00:00:00-08:002021-02991Noticehttps://www.govinfo.gov/content/pkg/FR-2021-02-16/pdf/2021-02991.pdfhttps://regulations.justia.com/regulations/fedreg/2021/02/16/2020-28819.htmlRule - Modernization of Delegations of Authority to Commission Staff and Division and Office Descriptions2021-02-16T00:00:00-08:002021-02-16T00:00:00-08:002020-28819Rulehttps://www.govinfo.gov/content/pkg/FR-2021-02-16/pdf/2020-28819.pdfhttps://regulations.justia.com/regulations/fedreg/2021/02/12/2021-02962.htmlNotice - Submission for OMB Review; Comment Request2021-02-12T00:00:00-08:002021-02-12T00:00:00-08:002021-02962Noticehttps://www.govinfo.gov/content/pkg/FR-2021-02-12/pdf/2021-02962.pdfhttps://regulations.justia.com/regulations/fedreg/2021/02/12/2021-02960.htmlNotice - Proposed Collection; Comment Request2021-02-12T00:00:00-08:002021-02-12T00:00:00-08:002021-02960Noticehttps://www.govinfo.gov/content/pkg/FR-2021-02-12/pdf/2021-02960.pdfhttps://regulations.justia.com/regulations/fedreg/2021/02/12/2021-02959.htmlNotice - Submission for OMB Review; Comment Request2021-02-12T00:00:00-08:002021-02-12T00:00:00-08:002021-02959Noticehttps://www.govinfo.gov/content/pkg/FR-2021-02-12/pdf/2021-02959.pdfhttps://regulations.justia.com/regulations/fedreg/2021/02/12/2021-02958.htmlNotice - Submission for OMB Review; Comment Request2021-02-12T00:00:00-08:002021-02-12T00:00:00-08:002021-02958Noticehttps://www.govinfo.gov/content/pkg/FR-2021-02-12/pdf/2021-02958.pdfhttps://regulations.justia.com/regulations/fedreg/2021/02/12/2021-02868.htmlNotice - Self-Regulatory Organizations; ICE Clear Credit LLC; Order Approving Proposed Rule Change Relating to the ICC Clearing Participant Default Management Procedures2021-02-12T00:00:00-08:002021-02-12T00:00:00-08:002021-02868Noticehttps://www.govinfo.gov/content/pkg/FR-2021-02-12/pdf/2021-02868.pdfhttps://regulations.justia.com/regulations/fedreg/2021/02/12/2021-02866.htmlNotice - Self-Regulatory Organizations; BOX Exchange LLC; Notice of Designation of a Longer Period for Commission Action on a Proposed Rule Change To Amend BOX Rule 7620 (Accommodation Transactions)2021-02-12T00:00:00-08:002021-02-12T00:00:00-08:002021-02866Noticehttps://www.govinfo.gov/content/pkg/FR-2021-02-12/pdf/2021-02866.pdfhttps://regulations.justia.com/regulations/fedreg/2021/02/12/2021-02865.htmlNotice - Proposed Collection; Comment Request2021-02-12T00:00:00-08:002021-02-12T00:00:00-08:002021-02865Noticehttps://www.govinfo.gov/content/pkg/FR-2021-02-12/pdf/2021-02865.pdfhttps://regulations.justia.com/regulations/fedreg/2021/02/12/2021-02864.htmlNotice - Proposed Collection; Comment Request2021-02-12T00:00:00-08:002021-02-12T00:00:00-08:002021-02864Noticehttps://www.govinfo.gov/content/pkg/FR-2021-02-12/pdf/2021-02864.pdfhttps://regulations.justia.com/regulations/fedreg/2021/02/12/2021-02863.htmlNotice - Proposed Collection; Comment Request2021-02-12T00:00:00-08:002021-02-12T00:00:00-08:002021-02863Noticehttps://www.govinfo.gov/content/pkg/FR-2021-02-12/pdf/2021-02863.pdfhttps://regulations.justia.com/regulations/fedreg/2021/02/12/2021-02862.htmlNotice - Proposed Collection; Comment Request2021-02-12T00:00:00-08:002021-02-12T00:00:00-08:002021-02862Noticehttps://www.govinfo.gov/content/pkg/FR-2021-02-12/pdf/2021-02862.pdfhttps://regulations.justia.com/regulations/fedreg/2021/02/12/2021-02861.htmlNotice - Proposed Collection; Comment Request2021-02-12T00:00:00-08:002021-02-12T00:00:00-08:002021-02861Noticehttps://www.govinfo.gov/content/pkg/FR-2021-02-12/pdf/2021-02861.pdfhttps://regulations.justia.com/regulations/fedreg/2021/02/12/2021-02859.htmlNotice - Self-Regulatory Organizations; The Options Clearing Corporation; Order Approving Proposed Rule Change to Concerning the Options Clearing Corporation's System for Theoretical Analysis and Numerical Simulation (“STANS”) Methodology Documentation2021-02-12T00:00:00-08:002021-02-12T00:00:00-08:002021-02859Noticehttps://www.govinfo.gov/content/pkg/FR-2021-02-12/pdf/2021-02859.pdfhttps://regulations.justia.com/regulations/fedreg/2021/02/12/2021-02858.htmlNotice - Self-Regulatory Organizations; ICE Clear Europe Limited; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Amendments to Clearing Fees for ICE Futures Europe Three Month Swiss Average Rate Overnight (SARON®) Index Futures Contract2021-02-12T00:00:00-08:002021-02-12T00:00:00-08:002021-02858Noticehttps://www.govinfo.gov/content/pkg/FR-2021-02-12/pdf/2021-02858.pdfhttps://regulations.justia.com/regulations/fedreg/2021/02/12/2021-02857.htmlNotice - Self-Regulatory Organizations; Cboe EDGX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating To Amend the Fee Schedule2021-02-12T00:00:00-08:002021-02-12T00:00:00-08:002021-02857Noticehttps://www.govinfo.gov/content/pkg/FR-2021-02-12/pdf/2021-02857.pdfhttps://regulations.justia.com/regulations/fedreg/2021/02/11/2021-02961.htmlNotice - Sunshine Act Meeting; Cancellation2021-02-11T00:00:00-08:002021-02-11T00:00:00-08:002021-02961Noticehttps://www.govinfo.gov/content/pkg/FR-2021-02-11/pdf/2021-02961.pdfhttps://regulations.justia.com/regulations/fedreg/2021/02/11/2021-02780.htmlNotice - Self-Regulatory Organizations; Cboe Exchange, Inc.; Order Approving a Proposed Rule Change, as Modified by Amendment No. 1, To Add Options on the Mini-Russell 2000 Index to Its P.M. Pilot Program2021-02-11T00:00:00-08:002021-02-11T00:00:00-08:002021-02780Noticehttps://www.govinfo.gov/content/pkg/FR-2021-02-11/pdf/2021-02780.pdfhttps://regulations.justia.com/regulations/fedreg/2021/02/11/2021-02779.htmlNotice - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Order Approving Proposed Rule Change To Amend the By-Laws of FINRA Regulation, Inc. To Align the Grounds for Member Removal From the NAC With an Existing Provision in the FINRA By-Laws2021-02-11T00:00:00-08:002021-02-11T00:00:00-08:002021-02779Noticehttps://www.govinfo.gov/content/pkg/FR-2021-02-11/pdf/2021-02779.pdfhttps://regulations.justia.com/regulations/fedreg/2021/02/11/2021-02778.htmlNotice - Self-Regulatory Organizations; Investors Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the Rule 11.600 Series, the Exchange's Compliance Rule Regarding the National Market System Plan Governing the Consolidated Audit Trail2021-02-11T00:00:00-08:002021-02-11T00:00:00-08:002021-02778Noticehttps://www.govinfo.gov/content/pkg/FR-2021-02-11/pdf/2021-02778.pdfhttps://regulations.justia.com/regulations/fedreg/2021/02/11/2021-02777.htmlNotice - Self-Regulatory Organizations; NYSE American LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Modify Rule 971.2NY Regarding Its Complex Customer Best Execution Auction2021-02-11T00:00:00-08:002021-02-11T00:00:00-08:002021-02777Noticehttps://www.govinfo.gov/content/pkg/FR-2021-02-11/pdf/2021-02777.pdfhttps://regulations.justia.com/regulations/fedreg/2021/02/11/2021-02776.htmlNotice - Self-Regulatory Organizations; MIAX PEARL, LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the MIAX PEARL Equities Fee Schedule To Adopt Connectivity Fees, Port Fees, a Technical Support Request Fee, and a Historical Market Data Fee2021-02-11T00:00:00-08:002021-02-11T00:00:00-08:002021-02776Noticehttps://www.govinfo.gov/content/pkg/FR-2021-02-11/pdf/2021-02776.pdfhttps://regulations.justia.com/regulations/fedreg/2021/02/11/2021-02775.htmlNotice - The RBB Fund, Inc., et al.2021-02-11T00:00:00-08:002021-02-11T00:00:00-08:002021-02775Noticehttps://www.govinfo.gov/content/pkg/FR-2021-02-11/pdf/2021-02775.pdfhttps://regulations.justia.com/regulations/fedreg/2021/02/10/2021-02755.htmlNotice - Security-Based Swap Data Repositories; DTCC Data Repository (U.S.), LLC; Notice of Filing of Application for Registration as a Security-Based Swap Data Repository2021-02-10T00:00:00-08:002021-02-10T00:00:00-08:002021-02755Noticehttps://www.govinfo.gov/content/pkg/FR-2021-02-10/pdf/2021-02755.pdfhttps://regulations.justia.com/regulations/fedreg/2021/02/10/2021-02715.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 the Proposed Rule Change, as Modified by Amendment No. 1, to FINRA Rules 5122 (Private Placements of Securities Issued by Members) and 5123 (Private Placements of Securities) That Would Require Members To File Retail Communications Concerning Private Placement Offerings That Are Subject to Those Rules' Filing Requirements2021-02-10T00:00:00-08:002021-02-10T00:00:00-08:002021-02715Noticehttps://www.govinfo.gov/content/pkg/FR-2021-02-10/pdf/2021-02715.pdfhttps://regulations.justia.com/regulations/fedreg/2021/02/10/2021-02714.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 Schedule2021-02-10T00:00:00-08:002021-02-10T00:00:00-08:002021-02714Noticehttps://www.govinfo.gov/content/pkg/FR-2021-02-10/pdf/2021-02714.pdfhttps://regulations.justia.com/regulations/fedreg/2021/02/10/2021-02713.htmlNotice - Self-Regulatory Organizations; Cboe BZX Exchange, Inc.; Notice of Filing of a Proposed Rule Amendment To Allow the Invesco Focused Discovery Growth ETF and Invesco Select Growth ETF (Each a “Fund” and, Collectively, the “Funds”), Each a Series of the Invesco Actively Managed Exchange-Traded Fund Trust (the “Trust”), To Strike and Publish Multiple Intra-Day Net Asset Values (“NAVs”) and an End-of-Day NAV2021-02-10T00:00:00-08:002021-02-10T00:00:00-08:002021-02713Noticehttps://www.govinfo.gov/content/pkg/FR-2021-02-10/pdf/2021-02713.pdfhttps://regulations.justia.com/regulations/fedreg/2021/02/10/2021-02712.htmlNotice - Self-Regulatory Organizations; The Depository Trust Company; Order Approving a Proposed Rule Change To Update the Distributions Service Guide2021-02-10T00:00:00-08:002021-02-10T00:00:00-08:002021-02712Noticehttps://www.govinfo.gov/content/pkg/FR-2021-02-10/pdf/2021-02712.pdfhttps://regulations.justia.com/regulations/fedreg/2021/02/10/2021-02711.htmlNotice - Self-Regulatory Organizations; The Nasdaq Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to the ALPS Active REIT ETF of ALPS ETF Trust To List and Trade Shares of the Fund Under Nasdaq Rule 57502021-02-10T00:00:00-08:002021-02-10T00:00:00-08:002021-02711Noticehttps://www.govinfo.gov/content/pkg/FR-2021-02-10/pdf/2021-02711.pdfhttps://regulations.justia.com/regulations/fedreg/2021/02/10/2021-02710.htmlNotice - Self-Regulatory Organizations; Nasdaq PHLX LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Phlx Rules2021-02-10T00:00:00-08:002021-02-10T00:00:00-08:002021-02710Noticehttps://www.govinfo.gov/content/pkg/FR-2021-02-10/pdf/2021-02710.pdfhttps://regulations.justia.com/regulations/fedreg/2021/02/10/2021-02709.htmlNotice - Self-Regulatory Organizations; Nasdaq PHLX LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Relocate Its PSX Equity and General Rules From Its Current Rulebook Into Its New Rulebook Shell and Make Other Changes to the Phlx Rules2021-02-10T00:00:00-08:002021-02-10T00:00:00-08:002021-02709Noticehttps://www.govinfo.gov/content/pkg/FR-2021-02-10/pdf/2021-02709.pdfhttps://regulations.justia.com/regulations/fedreg/2021/02/10/2021-02708.htmlNotice - Self-Regulatory Organizations; The Nasdaq Stock Market LLC; Notice of Withdrawal of a Proposed Rule Change, as Modified by Amendment Nos. 1 and 2, To Adopt a New Requirement Related to the Qualification of Management for Companies From Restrictive Markets2021-02-10T00:00:00-08:002021-02-10T00:00:00-08:002021-02708Noticehttps://www.govinfo.gov/content/pkg/FR-2021-02-10/pdf/2021-02708.pdfhttps://regulations.justia.com/regulations/fedreg/2021/02/10/2021-02707.htmlNotice - Self-Regulatory Organizations; The Nasdaq Stock Market LLC; Notice of Withdrawal of a Proposed Rule Change, as Modified by Amendment No. 1, To Amend IM-5101-1 (Use of Discretionary Authority) To Apply Additional or More Stringent Criteria to an Applicant or Listed Company Based on Considerations Related to the Company's Auditor or When a Company's Business Is Principally Administered in a Jurisdiction That Is a Restrictive Market2021-02-10T00:00:00-08:002021-02-10T00:00:00-08:002021-02707Noticehttps://www.govinfo.gov/content/pkg/FR-2021-02-10/pdf/2021-02707.pdfhttps://regulations.justia.com/regulations/fedreg/2021/02/10/2021-02704.htmlNotice - Request for Comment on Potential Money Market Fund Reform Measures in President's Working Group Report2021-02-10T00:00:00-08:002021-02-10T00:00:00-08:002021-02704Noticehttps://www.govinfo.gov/content/pkg/FR-2021-02-10/pdf/2021-02704.pdfhttps://regulations.justia.com/regulations/fedreg/2021/02/10/2021-02687.htmlNotice - Submission for OMB Review; Comment Request2021-02-10T00:00:00-08:002021-02-10T00:00:00-08:002021-02687Noticehttps://www.govinfo.gov/content/pkg/FR-2021-02-10/pdf/2021-02687.pdfhttps://regulations.justia.com/regulations/fedreg/2021/02/09/2021-02615.htmlRule - Qualifications of Accountants2021-02-09T00:00:00-08:002021-02-09T00:00:00-08:002021-02615Rulehttps://www.govinfo.gov/content/pkg/FR-2021-02-09/pdf/2021-02615.pdfhttps://regulations.justia.com/regulations/fedreg/2021/02/09/2021-02593.htmlNotice - Self-Regulatory Organizations; The Nasdaq Stock Market LLC; Notice of Withdrawal of Proposed Rule Change To Apply Additional Initial Listing Criteria for Companies Primarily Operating in Restrictive Markets2021-02-09T00:00:00-08:002021-02-09T00:00:00-08:002021-02593Noticehttps://www.govinfo.gov/content/pkg/FR-2021-02-09/pdf/2021-02593.pdfhttps://regulations.justia.com/regulations/fedreg/2021/02/09/2021-02592.htmlNotice - Self-Regulatory Organizations; Long-Term Stock Exchange, Inc.; Notice of Filing of Amendment No. 1 and Order Granting Accelerated Approval of a Proposed Rule Change, as Modified by Amendment No. 1, To Adopt Rule 14.602 Related to Promotional Services and Listing Ceremonies for Listed Companies2021-02-09T00:00:00-08:002021-02-09T00:00:00-08:002021-02592Noticehttps://www.govinfo.gov/content/pkg/FR-2021-02-09/pdf/2021-02592.pdfhttps://regulations.justia.com/regulations/fedreg/2021/02/09/2021-02591.htmlNotice - Self-Regulatory Organizations; Cboe Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Establish a Policy Relating to Billing Errors2021-02-09T00:00:00-08:002021-02-09T00:00:00-08:002021-02591Noticehttps://www.govinfo.gov/content/pkg/FR-2021-02-09/pdf/2021-02591.pdfhttps://regulations.justia.com/regulations/fedreg/2021/02/09/2021-02590.htmlNotice - Self-Regulatory Organizations; Cboe C2 Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Establish a Policy Relating to Billing Errors2021-02-09T00:00:00-08:002021-02-09T00:00:00-08:002021-02590Noticehttps://www.govinfo.gov/content/pkg/FR-2021-02-09/pdf/2021-02590.pdfhttps://regulations.justia.com/regulations/fedreg/2021/02/09/2021-02589.htmlNotice - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Section 907.00 of the Manual2021-02-09T00:00:00-08:002021-02-09T00:00:00-08:002021-02589Noticehttps://www.govinfo.gov/content/pkg/FR-2021-02-09/pdf/2021-02589.pdfhttps://regulations.justia.com/regulations/fedreg/2021/02/09/2021-02588.htmlNotice - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to the Private Placement Filer Form Under FINRA Rules 5122 and 51232021-02-09T00:00:00-08:002021-02-09T00:00:00-08:002021-02588Noticehttps://www.govinfo.gov/content/pkg/FR-2021-02-09/pdf/2021-02588.pdfhttps://regulations.justia.com/regulations/fedreg/2021/02/08/2021-02692.htmlNotice - Sunshine Act Meeting; Cancellation2021-02-08T00:00:00-08:002021-02-08T00:00:00-08:002021-02692Noticehttps://www.govinfo.gov/content/pkg/FR-2021-02-08/pdf/2021-02692.pdfhttps://regulations.justia.com/regulations/fedreg/2021/02/08/2021-02657.htmlNotice - Sunshine Act Meetings2021-02-08T00:00:00-08:002021-02-08T00:00:00-08:002021-02657Noticehttps://www.govinfo.gov/content/pkg/FR-2021-02-08/pdf/2021-02657.pdfhttps://regulations.justia.com/regulations/fedreg/2021/02/08/2021-02506.htmlNotice - Proposed Collection; Comment Request2021-02-08T00:00:00-08:002021-02-08T00:00:00-08:002021-02506Noticehttps://www.govinfo.gov/content/pkg/FR-2021-02-08/pdf/2021-02506.pdfhttps://regulations.justia.com/regulations/fedreg/2021/02/08/2021-02505.htmlNotice - Proposed Collection; Comment Request2021-02-08T00:00:00-08:002021-02-08T00:00:00-08:002021-02505Noticehttps://www.govinfo.gov/content/pkg/FR-2021-02-08/pdf/2021-02505.pdfhttps://regulations.justia.com/regulations/fedreg/2021/02/08/2021-02475.htmlNotice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing of Proposed Rule Change To Amend the NYSE Arca Equities Fees and Charges and the NYSE Arca Options Fees and Charges Related to Co-Location Services2021-02-08T00:00:00-08:002021-02-08T00:00:00-08:002021-02475Noticehttps://www.govinfo.gov/content/pkg/FR-2021-02-08/pdf/2021-02475.pdfhttps://regulations.justia.com/regulations/fedreg/2021/02/08/2021-02468.htmlNotice - Muzinich BDC, Inc., et al.2021-02-08T00:00:00-08:002021-02-08T00:00:00-08:002021-02468Noticehttps://www.govinfo.gov/content/pkg/FR-2021-02-08/pdf/2021-02468.pdfhttps://regulations.justia.com/regulations/fedreg/2021/02/08/2021-02465.htmlNotice - Self-Regulatory Organizations; NYSE American LLC; Notice of Filing of Proposed Rule Change To Amend Rule 970NY and Rule 970.1NY To Eliminate the Use of Dark Series on the Exchange2021-02-08T00:00:00-08:002021-02-08T00:00:00-08:002021-02465Noticehttps://www.govinfo.gov/content/pkg/FR-2021-02-08/pdf/2021-02465.pdfhttps://regulations.justia.com/regulations/fedreg/2021/02/05/2021-02410.htmlNotice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing of Proposed Rule Change To Amend Rule 6.86-O To Eliminate the Use of Dark Series on the Exchange2021-02-05T00:00:00-08:002021-02-05T00:00:00-08:002021-02410Noticehttps://www.govinfo.gov/content/pkg/FR-2021-02-05/pdf/2021-02410.pdfhttps://regulations.justia.com/regulations/fedreg/2021/02/05/2021-02409.htmlNotice - Self-Regulatory Organizations; NYSE National, Inc.; Notice of Filing of Proposed Rule Change To Amend its Schedule of Fees and Rebates Related to Co-Location Services2021-02-05T00:00:00-08:002021-02-05T00:00:00-08:002021-02409Noticehttps://www.govinfo.gov/content/pkg/FR-2021-02-05/pdf/2021-02409.pdfhttps://regulations.justia.com/regulations/fedreg/2021/02/05/2021-02408.htmlNotice - Self-Regulatory Organizations; NYSE Chicago, Inc.; Notice of Filing of Proposed Rule Change To Amend Its Fee Schedule Related to Co-Location Services2021-02-05T00:00:00-08:002021-02-05T00:00:00-08:002021-02408Noticehttps://www.govinfo.gov/content/pkg/FR-2021-02-05/pdf/2021-02408.pdfhttps://regulations.justia.com/regulations/fedreg/2021/02/05/2021-02407.htmlNotice - Self-Regulatory Organizations; NYSE American LLC; Notice of Filing of Proposed Rule Change To Amend the NYSE American Equities Price List and Fee Schedule and the NYSE American Options Fee Schedule Related to Co-Location Services2021-02-05T00:00:00-08:002021-02-05T00:00:00-08:002021-02407Noticehttps://www.govinfo.gov/content/pkg/FR-2021-02-05/pdf/2021-02407.pdfhttps://regulations.justia.com/regulations/fedreg/2021/02/05/2021-02406.htmlNotice - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing of Proposed Rule Change To Amend the Exchange's Price List Related to Co-Location Services2021-02-05T00:00:00-08:002021-02-05T00:00:00-08:002021-02406Noticehttps://www.govinfo.gov/content/pkg/FR-2021-02-05/pdf/2021-02406.pdfhttps://regulations.justia.com/regulations/fedreg/2021/02/05/2021-02405.htmlNotice - Self-Regulatory Organizations; MIAX Emerald, LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Its Fee Schedule To Adopt Monthly Trading Permit Fees2021-02-05T00:00:00-08:002021-02-05T00:00:00-08:002021-02405Noticehttps://www.govinfo.gov/content/pkg/FR-2021-02-05/pdf/2021-02405.pdfhttps://regulations.justia.com/regulations/fedreg/2021/02/05/2021-02404.htmlNotice - Self-Regulatory Organizations; MIAX Emerald, LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Its Fee Schedule To Adopt Port Fees and Increase Certain Network Connectivity Fees2021-02-05T00:00:00-08:002021-02-05T00:00:00-08:002021-02404Noticehttps://www.govinfo.gov/content/pkg/FR-2021-02-05/pdf/2021-02404.pdfhttps://regulations.justia.com/regulations/fedreg/2021/02/05/2021-02403.htmlNotice - Self-Regulatory Organizations; NYSE Arca, Inc.; Order Approving a Proposed Rule Change, as Modified by Amendment No. 1, Regarding the Availability of Information for the iShares Gold Trust, the iShares Silver Trust, and the iShares S&P GSCI Commodity-Indexed Trust2021-02-05T00:00:00-08:002021-02-05T00:00:00-08:002021-02403Noticehttps://www.govinfo.gov/content/pkg/FR-2021-02-05/pdf/2021-02403.pdfhttps://regulations.justia.com/regulations/fedreg/2021/02/05/2021-02400.htmlNotice - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Designation of a Longer Period for Commission Action on a Proposed Rule Change To Amend Its Rules Establishing Maximum Fee Rates To Be Charged by Member Organizations for Forwarding Proxy and Other Materials to Beneficial Owners2021-02-05T00:00:00-08:002021-02-05T00:00:00-08:002021-02400Noticehttps://www.govinfo.gov/content/pkg/FR-2021-02-05/pdf/2021-02400.pdfhttps://regulations.justia.com/regulations/fedreg/2021/02/05/2021-02399.htmlNotice - Self-Regulatory Organizations; ICE Clear Credit LLC; Notice of Filing of Proposed Rule Change Relating to the ICC Operational Risk Management Framework2021-02-05T00:00:00-08:002021-02-05T00:00:00-08:002021-02399Noticehttps://www.govinfo.gov/content/pkg/FR-2021-02-05/pdf/2021-02399.pdfhttps://regulations.justia.com/regulations/fedreg/2021/02/05/2021-02398.htmlNotice - Self-Regulatory Organizations; MIAX Emerald, LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Its Fee Schedule To Adopt a One-Time Membership Application Fee, Application Programming Interface (“API”) Testing and Certification Fees, and Network Connectivity Testing and Certification Fees2021-02-05T00:00:00-08:002021-02-05T00:00:00-08:002021-02398Noticehttps://www.govinfo.gov/content/pkg/FR-2021-02-05/pdf/2021-02398.pdfhttps://regulations.justia.com/regulations/fedreg/2021/02/05/2021-02397.htmlNotice - Self-Regulatory Organizations; New York Stock Exchange LLC; Order Approving a Proposed Rule Change To Adopt NYSE Rule 5.2(j)(8) Governing the Listing and Trading of Exchange-Traded Fund Shares2021-02-05T00:00:00-08:002021-02-05T00:00:00-08:002021-02397Noticehttps://www.govinfo.gov/content/pkg/FR-2021-02-05/pdf/2021-02397.pdfhttps://regulations.justia.com/regulations/fedreg/2021/02/05/2021-02396.htmlNotice - Self-Regulatory Organizations; Cboe Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Its Fee Schedule2021-02-05T00:00:00-08:002021-02-05T00:00:00-08:002021-02396Noticehttps://www.govinfo.gov/content/pkg/FR-2021-02-05/pdf/2021-02396.pdfhttps://regulations.justia.com/regulations/fedreg/2021/02/05/2021-02395.htmlNotice - Self-Regulatory Organizations; MEMX LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Add Interpretation and Policy .03 to Exchange Rule 4.2 Regarding the Provision of Members' Broker-Dealer Annual Reports2021-02-05T00:00:00-08:002021-02-05T00:00:00-08:002021-02395Noticehttps://www.govinfo.gov/content/pkg/FR-2021-02-05/pdf/2021-02395.pdfhttps://regulations.justia.com/regulations/fedreg/2021/02/05/2021-02372.htmlNotice - The Advisors' Inner Circle Fund and Pathstone Family Office, LLC; Notice of Application2021-02-05T00:00:00-08:002021-02-05T00:00:00-08:002021-02372Noticehttps://www.govinfo.gov/content/pkg/FR-2021-02-05/pdf/2021-02372.pdfhttps://regulations.justia.com/regulations/fedreg/2021/02/04/2021-02269.htmlNotice - Notice of Applications for Deregistration Under Section 8(f) of the Investment Company Act of 19402021-02-04T00:00:00-08:002021-02-04T00:00:00-08:002021-02269Noticehttps://www.govinfo.gov/content/pkg/FR-2021-02-04/pdf/2021-02269.pdfhttps://regulations.justia.com/regulations/fedreg/2021/02/04/2021-02267.htmlNotice - Self-Regulatory Organizations; Long-Term Stock Exchange, Inc.; Notice of Filing of a Proposed Rule Change To Amend LTSE Rule 14.501 To Specify the Process for Enforcing Compliance With LTSE Rule 14.425 for Listed Companies2021-02-04T00:00:00-08:002021-02-04T00:00:00-08:002021-02267Noticehttps://www.govinfo.gov/content/pkg/FR-2021-02-04/pdf/2021-02267.pdfhttps://regulations.justia.com/regulations/fedreg/2021/02/04/2021-02266.htmlNotice - Self-Regulatory Organizations; Investors Exchange, LLC; Order Granting Approval of Proposed Rule Change To Amend IEX Rule 11.510 To Reduce the Outbound Latency That Presently Applies to All Messages Sent From IEX Back to Users of the Exchange2021-02-04T00:00:00-08:002021-02-04T00:00:00-08:002021-02266Noticehttps://www.govinfo.gov/content/pkg/FR-2021-02-04/pdf/2021-02266.pdfhttps://regulations.justia.com/regulations/fedreg/2021/02/04/2021-02265.htmlNotice - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Sections 902.02 and 902.11 of the NYSE Listed Company Manual To Defer the Billing of Initial Listing Fees Payable by Acquisition Companies2021-02-04T00:00:00-08:002021-02-04T00:00:00-08:002021-02265Noticehttps://www.govinfo.gov/content/pkg/FR-2021-02-04/pdf/2021-02265.pdfhttps://regulations.justia.com/regulations/fedreg/2021/02/04/2021-02264.htmlNotice - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Designation of a Longer Period for Commission Action on a Proposed Rule Change To Amend Its Rules To Prohibit Member Organizations From Seeking Reimbursement, in Certain Circumstances, From Issuers for Forwarding Proxy and Other Materials to Beneficial Owners2021-02-04T00:00:00-08:002021-02-04T00:00:00-08:002021-02264Noticehttps://www.govinfo.gov/content/pkg/FR-2021-02-04/pdf/2021-02264.pdfhttps://regulations.justia.com/regulations/fedreg/2021/02/03/2021-02373.htmlNotice - Sunshine Act Meetings2021-02-03T00:00:00-08:002021-02-03T00:00:00-08:002021-02373Noticehttps://www.govinfo.gov/content/pkg/FR-2021-02-03/pdf/2021-02373.pdfhttps://regulations.justia.com/regulations/fedreg/2021/02/03/2021-02188.htmlNotice - Self-Regulatory Organizations; Cboe BZX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the Exchange's CAT Compliance Rule To Be Consistent With a Conditional Exemption Granted by the SEC From Certain Allocation Reporting Requirements2021-02-03T00:00:00-08:002021-02-03T00:00:00-08:002021-02188Noticehttps://www.govinfo.gov/content/pkg/FR-2021-02-03/pdf/2021-02188.pdfhttps://regulations.justia.com/regulations/fedreg/2021/02/03/2021-02187.htmlNotice - Self-Regulatory Organizations; Cboe EDGA Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the Exchange's CAT Compliance Rule To Be Consistent With a Conditional Exemption Granted by the SEC From Certain Allocation Reporting Requirements2021-02-03T00:00:00-08:002021-02-03T00:00:00-08:002021-02187Noticehttps://www.govinfo.gov/content/pkg/FR-2021-02-03/pdf/2021-02187.pdfhttps://regulations.justia.com/regulations/fedreg/2021/02/03/2021-02186.htmlNotice - Self-Regulatory Organizations; Cboe Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the Exchange's CAT Compliance Rule To Be Consistent With a Conditional Exemption Granted by the SEC From Certain Allocation Reporting Requirements2021-02-03T00:00:00-08:002021-02-03T00:00:00-08:002021-02186Noticehttps://www.govinfo.gov/content/pkg/FR-2021-02-03/pdf/2021-02186.pdfhttps://regulations.justia.com/regulations/fedreg/2021/02/03/2021-02185.htmlNotice - Self-Regulatory Organizations; Cboe EDGX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the Exchange's CAT Compliance Rule To Be Consistent With a Conditional Exemption Granted by the SEC From Certain Allocation Reporting Requirements2021-02-03T00:00:00-08:002021-02-03T00:00:00-08:002021-02185Noticehttps://www.govinfo.gov/content/pkg/FR-2021-02-03/pdf/2021-02185.pdfhttps://regulations.justia.com/regulations/fedreg/2021/02/03/2021-02184.htmlNotice - Self-Regulatory Organizations; Cboe BYX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the Exchange's CAT Compliance Rule To Be Consistent With a Conditional Exemption Granted by the SEC From Certain Allocation Reporting Requirements2021-02-03T00:00:00-08:002021-02-03T00:00:00-08:002021-02184Noticehttps://www.govinfo.gov/content/pkg/FR-2021-02-03/pdf/2021-02184.pdfhttps://regulations.justia.com/regulations/fedreg/2021/02/03/2021-00381.htmlRule - Adoption of Updated EDGAR Filer Manual, Proposed Collection and Comment Request for Form ID2021-02-03T00:00:00-08:002021-02-03T00:00:00-08:002021-00381Rulehttps://www.govinfo.gov/content/pkg/FR-2021-02-03/pdf/2021-00381.pdfhttps://regulations.justia.com/regulations/fedreg/2021/02/03/2020-28273.htmlRule - Administration of the Electronic Data Gathering, Analysis, and Retrieval System2021-02-03T00:00:00-08:002021-02-03T00:00:00-08:002020-28273Rulehttps://www.govinfo.gov/content/pkg/FR-2021-02-03/pdf/2020-28273.pdfhttps://regulations.justia.com/regulations/fedreg/2021/02/02/2021-02179.htmlNotice - Hamilton Lane Private Assets Fund, et al.2021-02-02T00:00:00-08:002021-02-02T00:00:00-08:002021-02179Noticehttps://www.govinfo.gov/content/pkg/FR-2021-02-02/pdf/2021-02179.pdfhttps://regulations.justia.com/regulations/fedreg/2021/02/02/2021-02171.htmlNotice - Securities Act of 1933; Securities Exchange Act of 1934; Order Regarding Review of Financial Accounting Standards Board (FASB) Accounting Support Fee for 2021 Under Section 109 of the Sarbanes-Oxley Act of 20022021-02-02T00:00:00-08:002021-02-02T00:00:00-08:002021-02171Noticehttps://www.govinfo.gov/content/pkg/FR-2021-02-02/pdf/2021-02171.pdfhttps://regulations.justia.com/regulations/fedreg/2021/02/02/2021-02128.htmlNotice - Securities Investor Protection Corporation; Determination2021-02-02T00:00:00-08:002021-02-02T00:00:00-08:002021-02128Noticehttps://www.govinfo.gov/content/pkg/FR-2021-02-02/pdf/2021-02128.pdfhttps://regulations.justia.com/regulations/fedreg/2021/02/02/2021-02126.htmlNotice - Submission for OMB Review; Comment Request2021-02-02T00:00:00-08:002021-02-02T00:00:00-08:002021-02126Noticehttps://www.govinfo.gov/content/pkg/FR-2021-02-02/pdf/2021-02126.pdfhttps://regulations.justia.com/regulations/fedreg/2021/02/02/2021-02124.htmlNotice - Submission for OMB Review; Comment Request2021-02-02T00:00:00-08:002021-02-02T00:00:00-08:002021-02124Noticehttps://www.govinfo.gov/content/pkg/FR-2021-02-02/pdf/2021-02124.pdfhttps://regulations.justia.com/regulations/fedreg/2021/02/02/2021-02123.htmlNotice - Submission for OMB Review; Comment Request2021-02-02T00:00:00-08:002021-02-02T00:00:00-08:002021-02123Noticehttps://www.govinfo.gov/content/pkg/FR-2021-02-02/pdf/2021-02123.pdfhttps://regulations.justia.com/regulations/fedreg/2021/02/02/2021-02122.htmlNotice - Submission for OMB Review; Comment Request2021-02-02T00:00:00-08:002021-02-02T00:00:00-08:002021-02122Noticehttps://www.govinfo.gov/content/pkg/FR-2021-02-02/pdf/2021-02122.pdfhttps://regulations.justia.com/regulations/fedreg/2021/02/02/2021-02119.htmlNotice - Self-Regulatory Organizations; Cboe EDGX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the Fee Schedule2021-02-02T00:00:00-08:002021-02-02T00:00:00-08:002021-02119Noticehttps://www.govinfo.gov/content/pkg/FR-2021-02-02/pdf/2021-02119.pdfhttps://regulations.justia.com/regulations/fedreg/2021/02/02/2021-02118.htmlNotice - Self-Regulatory Organizations; Cboe EDGA Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the Fee Schedule2021-02-02T00:00:00-08:002021-02-02T00:00:00-08:002021-02118Noticehttps://www.govinfo.gov/content/pkg/FR-2021-02-02/pdf/2021-02118.pdfhttps://regulations.justia.com/regulations/fedreg/2021/02/02/2021-02117.htmlNotice - Self-Regulatory Organizations; Cboe BYX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Its Fee Schedule To Eliminate Certain Routing Fee Codes2021-02-02T00:00:00-08:002021-02-02T00:00:00-08:002021-02117Noticehttps://www.govinfo.gov/content/pkg/FR-2021-02-02/pdf/2021-02117.pdfhttps://regulations.justia.com/regulations/fedreg/2021/02/02/2021-02116.htmlNotice - Self-Regulatory Organizations; Cboe BZX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating To Amend Its Fee Schedule To Eliminate Certain Routing Fee Codes2021-02-02T00:00:00-08:002021-02-02T00:00:00-08:002021-02116Noticehttps://www.govinfo.gov/content/pkg/FR-2021-02-02/pdf/2021-02116.pdfhttps://regulations.justia.com/regulations/fedreg/2021/02/02/2021-02115.htmlNotice - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Rule 7.322021-02-02T00:00:00-08:002021-02-02T00:00:00-08:002021-02115Noticehttps://www.govinfo.gov/content/pkg/FR-2021-02-02/pdf/2021-02115.pdfhttps://regulations.justia.com/regulations/fedreg/2021/02/01/2021-02155.htmlNotice - Sunshine Act Meetings2021-02-01T00:00:00-08:002021-02-01T00:00:00-08:002021-02155Noticehttps://www.govinfo.gov/content/pkg/FR-2021-02-01/pdf/2021-02155.pdfhttps://regulations.justia.com/regulations/fedreg/2021/02/01/2021-02131.htmlNotice - Sunshine Act Meeting; Cancellation2021-02-01T00:00:00-08:002021-02-01T00:00:00-08:002021-02131Noticehttps://www.govinfo.gov/content/pkg/FR-2021-02-01/pdf/2021-02131.pdfhttps://regulations.justia.com/regulations/fedreg/2021/02/01/2021-02010.htmlNotice - Self-Regulatory Organizations; The Nasdaq Stock Market LLC; Order Approving a Proposed Rule Change, as Modified by Amendment No. 1, To Exclude Special Purpose Acquisition Companies From the Requirement That at Least 50% of a Company's Round Lot Holders Each Hold Unrestricted Securities With a Market Value of at Least $2,5002021-02-01T00:00:00-08:002021-02-01T00:00:00-08:002021-02010Noticehttps://www.govinfo.gov/content/pkg/FR-2021-02-01/pdf/2021-02010.pdfhttps://regulations.justia.com/regulations/fedreg/2021/02/01/2021-02009.htmlNotice - Self-Regulatory Organizations; The Nasdaq Stock Market LLC; Notice of Designation of a Longer Period for Commission Action on Proceedings To Determine Whether To Approve or Disapprove a Proposed Rule Change To Amend Nasdaq Rule 57042021-02-01T00:00:00-08:002021-02-01T00:00:00-08:002021-02009Noticehttps://www.govinfo.gov/content/pkg/FR-2021-02-01/pdf/2021-02009.pdfhttps://regulations.justia.com/regulations/fedreg/2021/02/01/2021-02006.htmlNotice - Self-Regulatory Organizations; Cboe BYX 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. 2, To Introduce Periodic Auctions for the Trading of U.S. Equity Securities2021-02-01T00:00:00-08:002021-02-01T00:00:00-08:002021-02006Noticehttps://www.govinfo.gov/content/pkg/FR-2021-02-01/pdf/2021-02006.pdfhttps://regulations.justia.com/regulations/fedreg/2021/02/01/2021-02005.htmlNotice - Self-Regulatory Organizations; Cboe Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating To Amend the Definition of “Current Market Value” for Purposes of Calculating Margin Requirements for Certain Options2021-02-01T00:00:00-08:002021-02-01T00:00:00-08:002021-02005Noticehttps://www.govinfo.gov/content/pkg/FR-2021-02-01/pdf/2021-02005.pdfhttps://regulations.justia.com/regulations/fedreg/2021/02/01/2021-02004.htmlNotice - Self-Regulatory Organizations; ICE Clear Credit LLC; Notice of Filing of Proposed Rule Change, Security-Based Swap Submission, or Advance Notice Relating to the Clearance of an Additional Credit Default Swap Contract2021-02-01T00:00:00-08:002021-02-01T00:00:00-08:002021-02004Noticehttps://www.govinfo.gov/content/pkg/FR-2021-02-01/pdf/2021-02004.pdfhttps://regulations.justia.com/regulations/fedreg/2021/02/01/2021-02003.htmlNotice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Its Schedule of Fees and Charges To Establish Annual Fees for Exchange Traded Products2021-02-01T00:00:00-08:002021-02-01T00:00:00-08:002021-02003Noticehttps://www.govinfo.gov/content/pkg/FR-2021-02-01/pdf/2021-02003.pdfhttps://regulations.justia.com/regulations/fedreg/2021/02/01/2020-28194.htmlRule - Exemption From the Definition of “Clearing Agency” for Certain Activities of Security-Based Swap Dealers and Security-Based Swap Execution Facilities2021-02-01T00:00:00-08:002021-02-01T00:00:00-08:002020-28194Rulehttps://www.govinfo.gov/content/pkg/FR-2021-02-01/pdf/2020-28194.pdf