<![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/2021/02?registers=between&min-day=1&max-day=28 Sat, 04 May 2024 08:10:59 -0700 Sat, 04 May 2024 08:10:59 -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/2021/02?registers=between&min-day=1&max-day=28 Notice - Sunshine Act Meeting; Cancellation https://regulations.justia.com/regulations/fedreg/2021/02/25/2021-04049.html https://regulations.justia.com/regulations/fedreg/2021/02/25/2021-04049.html Thu, 25 Feb 2021 00:00:00 -0800 2021-04049 Notice https://www.govinfo.gov/content/pkg/FR-2021-02-25/pdf/2021-04049.pdf Notice - Notice of Intention To Cancel Registrations of Certain Investment Advisers Pursuant to Section 203(H) of the Investment Advisers Act of 1940 https://regulations.justia.com/regulations/fedreg/2021/02/25/2021-03896.html https://regulations.justia.com/regulations/fedreg/2021/02/25/2021-03896.html Thu, 25 Feb 2021 00:00:00 -0800 2021-03896 Notice https://www.govinfo.gov/content/pkg/FR-2021-02-25/pdf/2021-03896.pdf Notice - Submission for OMB Review; Comment Request https://regulations.justia.com/regulations/fedreg/2021/02/25/2021-03884.html https://regulations.justia.com/regulations/fedreg/2021/02/25/2021-03884.html Thu, 25 Feb 2021 00:00:00 -0800 2021-03884 Notice https://www.govinfo.gov/content/pkg/FR-2021-02-25/pdf/2021-03884.pdf Notice - Submission for OMB Review; Comment Request https://regulations.justia.com/regulations/fedreg/2021/02/25/2021-03883.html https://regulations.justia.com/regulations/fedreg/2021/02/25/2021-03883.html Thu, 25 Feb 2021 00:00:00 -0800 2021-03883 Notice https://www.govinfo.gov/content/pkg/FR-2021-02-25/pdf/2021-03883.pdf Notice - 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 Procedures https://regulations.justia.com/regulations/fedreg/2021/02/25/2021-03850.html https://regulations.justia.com/regulations/fedreg/2021/02/25/2021-03850.html Thu, 25 Feb 2021 00:00:00 -0800 2021-03850 Notice https://www.govinfo.gov/content/pkg/FR-2021-02-25/pdf/2021-03850.pdf Notice - 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 Users https://regulations.justia.com/regulations/fedreg/2021/02/24/2021-03726.html https://regulations.justia.com/regulations/fedreg/2021/02/24/2021-03726.html Wed, 24 Feb 2021 00:00:00 -0800 2021-03726 Notice https://www.govinfo.gov/content/pkg/FR-2021-02-24/pdf/2021-03726.pdf Notice - Self-Regulatory Organizations; Cboe BZX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the Fee Schedule https://regulations.justia.com/regulations/fedreg/2021/02/24/2021-03725.html https://regulations.justia.com/regulations/fedreg/2021/02/24/2021-03725.html Wed, 24 Feb 2021 00:00:00 -0800 2021-03725 Notice https://www.govinfo.gov/content/pkg/FR-2021-02-24/pdf/2021-03725.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/2021/02/24/2021-03724.html https://regulations.justia.com/regulations/fedreg/2021/02/24/2021-03724.html Wed, 24 Feb 2021 00:00:00 -0800 2021-03724 Notice https://www.govinfo.gov/content/pkg/FR-2021-02-24/pdf/2021-03724.pdf Notice - 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 Users https://regulations.justia.com/regulations/fedreg/2021/02/24/2021-03721.html https://regulations.justia.com/regulations/fedreg/2021/02/24/2021-03721.html Wed, 24 Feb 2021 00:00:00 -0800 2021-03721 Notice https://www.govinfo.gov/content/pkg/FR-2021-02-24/pdf/2021-03721.pdf Notice - 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 Users https://regulations.justia.com/regulations/fedreg/2021/02/24/2021-03720.html https://regulations.justia.com/regulations/fedreg/2021/02/24/2021-03720.html Wed, 24 Feb 2021 00:00:00 -0800 2021-03720 Notice https://www.govinfo.gov/content/pkg/FR-2021-02-24/pdf/2021-03720.pdf Notice - 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 Users https://regulations.justia.com/regulations/fedreg/2021/02/24/2021-03719.html https://regulations.justia.com/regulations/fedreg/2021/02/24/2021-03719.html Wed, 24 Feb 2021 00:00:00 -0800 2021-03719 Notice https://www.govinfo.gov/content/pkg/FR-2021-02-24/pdf/2021-03719.pdf Notice - 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 Users https://regulations.justia.com/regulations/fedreg/2021/02/24/2021-03718.html https://regulations.justia.com/regulations/fedreg/2021/02/24/2021-03718.html Wed, 24 Feb 2021 00:00:00 -0800 2021-03718 Notice https://www.govinfo.gov/content/pkg/FR-2021-02-24/pdf/2021-03718.pdf Notice - Columbia Funds Series Trust, et al. https://regulations.justia.com/regulations/fedreg/2021/02/24/2021-03715.html https://regulations.justia.com/regulations/fedreg/2021/02/24/2021-03715.html Wed, 24 Feb 2021 00:00:00 -0800 2021-03715 Notice https://www.govinfo.gov/content/pkg/FR-2021-02-24/pdf/2021-03715.pdf Notice - Investor Advisory Committee Meeting https://regulations.justia.com/regulations/fedreg/2021/02/23/2021-03563.html https://regulations.justia.com/regulations/fedreg/2021/02/23/2021-03563.html Tue, 23 Feb 2021 00:00:00 -0800 2021-03563 Notice https://www.govinfo.gov/content/pkg/FR-2021-02-23/pdf/2021-03563.pdf Notice - Self-Regulatory Organizations; MIAX Emerald, LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Its Fee Schedule To Establish Market Data Fees https://regulations.justia.com/regulations/fedreg/2021/02/23/2021-03549.html https://regulations.justia.com/regulations/fedreg/2021/02/23/2021-03549.html Tue, 23 Feb 2021 00:00:00 -0800 2021-03549 Notice https://www.govinfo.gov/content/pkg/FR-2021-02-23/pdf/2021-03549.pdf Notice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the NYSE Arca Equities Fees and Charges https://regulations.justia.com/regulations/fedreg/2021/02/23/2021-03547.html https://regulations.justia.com/regulations/fedreg/2021/02/23/2021-03547.html Tue, 23 Feb 2021 00:00:00 -0800 2021-03547 Notice https://www.govinfo.gov/content/pkg/FR-2021-02-23/pdf/2021-03547.pdf Notice - Self-Regulatory Organizations; Cboe Futures Exchange, LLC; Notice of a Filing of a Proposed Rule Change Regarding Rule Consolidation https://regulations.justia.com/regulations/fedreg/2021/02/23/2021-03546.html https://regulations.justia.com/regulations/fedreg/2021/02/23/2021-03546.html Tue, 23 Feb 2021 00:00:00 -0800 2021-03546 Notice https://www.govinfo.gov/content/pkg/FR-2021-02-23/pdf/2021-03546.pdf Notice - 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 Auctions https://regulations.justia.com/regulations/fedreg/2021/02/23/2021-03545.html https://regulations.justia.com/regulations/fedreg/2021/02/23/2021-03545.html Tue, 23 Feb 2021 00:00:00 -0800 2021-03545 Notice https://www.govinfo.gov/content/pkg/FR-2021-02-23/pdf/2021-03545.pdf Notice - Self-Regulatory Organizations; Nasdaq PHLX LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Rule 3304 https://regulations.justia.com/regulations/fedreg/2021/02/23/2021-03544.html https://regulations.justia.com/regulations/fedreg/2021/02/23/2021-03544.html Tue, 23 Feb 2021 00:00:00 -0800 2021-03544 Notice https://www.govinfo.gov/content/pkg/FR-2021-02-23/pdf/2021-03544.pdf Notice - Self-Regulatory Organizations; MIAX PEARL, LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Exchange Rule 200, Trading Permits https://regulations.justia.com/regulations/fedreg/2021/02/23/2021-03543.html https://regulations.justia.com/regulations/fedreg/2021/02/23/2021-03543.html Tue, 23 Feb 2021 00:00:00 -0800 2021-03543 Notice https://www.govinfo.gov/content/pkg/FR-2021-02-23/pdf/2021-03543.pdf Notice - Sunshine Act Meetings https://regulations.justia.com/regulations/fedreg/2021/02/22/2021-03637.html https://regulations.justia.com/regulations/fedreg/2021/02/22/2021-03637.html Mon, 22 Feb 2021 00:00:00 -0800 2021-03637 Notice https://www.govinfo.gov/content/pkg/FR-2021-02-22/pdf/2021-03637.pdf Notice - 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. https://regulations.justia.com/regulations/fedreg/2021/02/22/2021-03493.html https://regulations.justia.com/regulations/fedreg/2021/02/22/2021-03493.html Mon, 22 Feb 2021 00:00:00 -0800 2021-03493 Notice https://www.govinfo.gov/content/pkg/FR-2021-02-22/pdf/2021-03493.pdf Notice - Self-Regulatory Organizations; The Nasdaq Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Equity 4, Rule 4759 https://regulations.justia.com/regulations/fedreg/2021/02/22/2021-03461.html https://regulations.justia.com/regulations/fedreg/2021/02/22/2021-03461.html Mon, 22 Feb 2021 00:00:00 -0800 2021-03461 Notice https://www.govinfo.gov/content/pkg/FR-2021-02-22/pdf/2021-03461.pdf Notice - Self-Regulatory Organizations; Nasdaq BX, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Rule 4759 https://regulations.justia.com/regulations/fedreg/2021/02/22/2021-03460.html https://regulations.justia.com/regulations/fedreg/2021/02/22/2021-03460.html Mon, 22 Feb 2021 00:00:00 -0800 2021-03460 Notice https://www.govinfo.gov/content/pkg/FR-2021-02-22/pdf/2021-03460.pdf Notice - 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 One https://regulations.justia.com/regulations/fedreg/2021/02/22/2021-03459.html https://regulations.justia.com/regulations/fedreg/2021/02/22/2021-03459.html Mon, 22 Feb 2021 00:00:00 -0800 2021-03459 Notice https://www.govinfo.gov/content/pkg/FR-2021-02-22/pdf/2021-03459.pdf Notice - Strategas Trust and Strategas Securities, LLC https://regulations.justia.com/regulations/fedreg/2021/02/22/2021-03455.html https://regulations.justia.com/regulations/fedreg/2021/02/22/2021-03455.html Mon, 22 Feb 2021 00:00:00 -0800 2021-03455 Notice https://www.govinfo.gov/content/pkg/FR-2021-02-22/pdf/2021-03455.pdf Notice - Order Extending the Annual Reports Filing Deadline for Certain Smaller Broker-Dealers https://regulations.justia.com/regulations/fedreg/2021/02/19/2021-03353.html https://regulations.justia.com/regulations/fedreg/2021/02/19/2021-03353.html Fri, 19 Feb 2021 00:00:00 -0800 2021-03353 Notice https://www.govinfo.gov/content/pkg/FR-2021-02-19/pdf/2021-03353.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. 2, To Make Qualified Contingent Cross Orders Available for FLEX Option Trading https://regulations.justia.com/regulations/fedreg/2021/02/19/2021-03344.html https://regulations.justia.com/regulations/fedreg/2021/02/19/2021-03344.html Fri, 19 Feb 2021 00:00:00 -0800 2021-03344 Notice https://www.govinfo.gov/content/pkg/FR-2021-02-19/pdf/2021-03344.pdf Notice - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Designation of a Longer Period for Commission Action on a Proposed Rule Change To Amend the 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/2021/02/19/2021-03343.html https://regulations.justia.com/regulations/fedreg/2021/02/19/2021-03343.html Fri, 19 Feb 2021 00:00:00 -0800 2021-03343 Notice https://www.govinfo.gov/content/pkg/FR-2021-02-19/pdf/2021-03343.pdf Notice - 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 BX https://regulations.justia.com/regulations/fedreg/2021/02/19/2021-03342.html https://regulations.justia.com/regulations/fedreg/2021/02/19/2021-03342.html Fri, 19 Feb 2021 00:00:00 -0800 2021-03342 Notice https://www.govinfo.gov/content/pkg/FR-2021-02-19/pdf/2021-03342.pdf Notice - 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 Mechanism https://regulations.justia.com/regulations/fedreg/2021/02/19/2021-03341.html https://regulations.justia.com/regulations/fedreg/2021/02/19/2021-03341.html Fri, 19 Feb 2021 00:00:00 -0800 2021-03341 Notice https://www.govinfo.gov/content/pkg/FR-2021-02-19/pdf/2021-03341.pdf Notice - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Its Price List https://regulations.justia.com/regulations/fedreg/2021/02/19/2021-03340.html https://regulations.justia.com/regulations/fedreg/2021/02/19/2021-03340.html Fri, 19 Feb 2021 00:00:00 -0800 2021-03340 Notice https://www.govinfo.gov/content/pkg/FR-2021-02-19/pdf/2021-03340.pdf Notice - 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 Mechanism https://regulations.justia.com/regulations/fedreg/2021/02/19/2021-03339.html https://regulations.justia.com/regulations/fedreg/2021/02/19/2021-03339.html Fri, 19 Feb 2021 00:00:00 -0800 2021-03339 Notice https://www.govinfo.gov/content/pkg/FR-2021-02-19/pdf/2021-03339.pdf Notice - 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 7.35A https://regulations.justia.com/regulations/fedreg/2021/02/19/2021-03338.html https://regulations.justia.com/regulations/fedreg/2021/02/19/2021-03338.html Fri, 19 Feb 2021 00:00:00 -0800 2021-03338 Notice https://www.govinfo.gov/content/pkg/FR-2021-02-19/pdf/2021-03338.pdf Notice - 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 Requirement https://regulations.justia.com/regulations/fedreg/2021/02/19/2021-03337.html https://regulations.justia.com/regulations/fedreg/2021/02/19/2021-03337.html Fri, 19 Feb 2021 00:00:00 -0800 2021-03337 Notice https://www.govinfo.gov/content/pkg/FR-2021-02-19/pdf/2021-03337.pdf Notice - 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 Requirements https://regulations.justia.com/regulations/fedreg/2021/02/19/2021-03336.html https://regulations.justia.com/regulations/fedreg/2021/02/19/2021-03336.html Fri, 19 Feb 2021 00:00:00 -0800 2021-03336 Notice https://www.govinfo.gov/content/pkg/FR-2021-02-19/pdf/2021-03336.pdf Notice - Sunshine Act Meeting; Cancellation https://regulations.justia.com/regulations/fedreg/2021/02/18/2021-03402.html https://regulations.justia.com/regulations/fedreg/2021/02/18/2021-03402.html Thu, 18 Feb 2021 00:00:00 -0800 2021-03402 Notice https://www.govinfo.gov/content/pkg/FR-2021-02-18/pdf/2021-03402.pdf Notice - 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 Mechanism https://regulations.justia.com/regulations/fedreg/2021/02/18/2021-03219.html https://regulations.justia.com/regulations/fedreg/2021/02/18/2021-03219.html Thu, 18 Feb 2021 00:00:00 -0800 2021-03219 Notice https://www.govinfo.gov/content/pkg/FR-2021-02-18/pdf/2021-03219.pdf Notice - 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 Products https://regulations.justia.com/regulations/fedreg/2021/02/18/2021-03218.html https://regulations.justia.com/regulations/fedreg/2021/02/18/2021-03218.html Thu, 18 Feb 2021 00:00:00 -0800 2021-03218 Notice https://www.govinfo.gov/content/pkg/FR-2021-02-18/pdf/2021-03218.pdf Notice - 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 Framework https://regulations.justia.com/regulations/fedreg/2021/02/18/2021-03217.html https://regulations.justia.com/regulations/fedreg/2021/02/18/2021-03217.html Thu, 18 Feb 2021 00:00:00 -0800 2021-03217 Notice https://www.govinfo.gov/content/pkg/FR-2021-02-18/pdf/2021-03217.pdf Notice - 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 Program https://regulations.justia.com/regulations/fedreg/2021/02/18/2021-03216.html https://regulations.justia.com/regulations/fedreg/2021/02/18/2021-03216.html Thu, 18 Feb 2021 00:00:00 -0800 2021-03216 Notice https://www.govinfo.gov/content/pkg/FR-2021-02-18/pdf/2021-03216.pdf Notice - Self-Regulatory Organizations; NYSE National, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Its Schedule of Fees and Rebates https://regulations.justia.com/regulations/fedreg/2021/02/18/2021-03215.html https://regulations.justia.com/regulations/fedreg/2021/02/18/2021-03215.html Thu, 18 Feb 2021 00:00:00 -0800 2021-03215 Notice https://www.govinfo.gov/content/pkg/FR-2021-02-18/pdf/2021-03215.pdf Notice - 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 Orders https://regulations.justia.com/regulations/fedreg/2021/02/18/2021-03214.html https://regulations.justia.com/regulations/fedreg/2021/02/18/2021-03214.html Thu, 18 Feb 2021 00:00:00 -0800 2021-03214 Notice https://www.govinfo.gov/content/pkg/FR-2021-02-18/pdf/2021-03214.pdf Notice - Self-Regulatory Organizations; Cboe C2 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/2021/02/18/2021-03213.html https://regulations.justia.com/regulations/fedreg/2021/02/18/2021-03213.html Thu, 18 Feb 2021 00:00:00 -0800 2021-03213 Notice https://www.govinfo.gov/content/pkg/FR-2021-02-18/pdf/2021-03213.pdf Notice - Self-Regulatory Organizations; The Nasdaq Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the Exchange's Transaction Credits at Equity 7, Sections 114 and 118(a) https://regulations.justia.com/regulations/fedreg/2021/02/18/2021-03212.html https://regulations.justia.com/regulations/fedreg/2021/02/18/2021-03212.html Thu, 18 Feb 2021 00:00:00 -0800 2021-03212 Notice https://www.govinfo.gov/content/pkg/FR-2021-02-18/pdf/2021-03212.pdf Notice - 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 Program https://regulations.justia.com/regulations/fedreg/2021/02/17/2021-03090.html https://regulations.justia.com/regulations/fedreg/2021/02/17/2021-03090.html Wed, 17 Feb 2021 00:00:00 -0800 2021-03090 Notice https://www.govinfo.gov/content/pkg/FR-2021-02-17/pdf/2021-03090.pdf Notice - 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 Orders https://regulations.justia.com/regulations/fedreg/2021/02/17/2021-03089.html https://regulations.justia.com/regulations/fedreg/2021/02/17/2021-03089.html Wed, 17 Feb 2021 00:00:00 -0800 2021-03089 Notice https://www.govinfo.gov/content/pkg/FR-2021-02-17/pdf/2021-03089.pdf Notice - 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 7.35C https://regulations.justia.com/regulations/fedreg/2021/02/17/2021-03088.html https://regulations.justia.com/regulations/fedreg/2021/02/17/2021-03088.html Wed, 17 Feb 2021 00:00:00 -0800 2021-03088 Notice https://www.govinfo.gov/content/pkg/FR-2021-02-17/pdf/2021-03088.pdf Notice - Self-Regulatory Organizations; MEMX LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the Exchange's Fee Schedule https://regulations.justia.com/regulations/fedreg/2021/02/17/2021-03087.html https://regulations.justia.com/regulations/fedreg/2021/02/17/2021-03087.html Wed, 17 Feb 2021 00:00:00 -0800 2021-03087 Notice https://www.govinfo.gov/content/pkg/FR-2021-02-17/pdf/2021-03087.pdf Notice - Blue Tractor ETF Trust and Blue Tractor Group, LLC https://regulations.justia.com/regulations/fedreg/2021/02/17/2021-03086.html https://regulations.justia.com/regulations/fedreg/2021/02/17/2021-03086.html Wed, 17 Feb 2021 00:00:00 -0800 2021-03086 Notice https://www.govinfo.gov/content/pkg/FR-2021-02-17/pdf/2021-03086.pdf Notice - Sunshine Act Meetings https://regulations.justia.com/regulations/fedreg/2021/02/16/2021-03161.html https://regulations.justia.com/regulations/fedreg/2021/02/16/2021-03161.html Tue, 16 Feb 2021 00:00:00 -0800 2021-03161 Notice https://www.govinfo.gov/content/pkg/FR-2021-02-16/pdf/2021-03161.pdf Notice - 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 Amount https://regulations.justia.com/regulations/fedreg/2021/02/16/2021-02996.html https://regulations.justia.com/regulations/fedreg/2021/02/16/2021-02996.html Tue, 16 Feb 2021 00:00:00 -0800 2021-02996 Notice https://www.govinfo.gov/content/pkg/FR-2021-02-16/pdf/2021-02996.pdf Notice - Self-Regulatory Organizations; ICE Clear Europe Limited; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Amendments to the ICE Clear Europe Delivery Procedures. https://regulations.justia.com/regulations/fedreg/2021/02/16/2021-02995.html https://regulations.justia.com/regulations/fedreg/2021/02/16/2021-02995.html Tue, 16 Feb 2021 00:00:00 -0800 2021-02995 Notice https://www.govinfo.gov/content/pkg/FR-2021-02-16/pdf/2021-02995.pdf Notice - Self-Regulatory Organizations; ICE Clear Credit LLC; Notice of Filing of Proposed Rule Change Relating to the ICC Governance Playbook https://regulations.justia.com/regulations/fedreg/2021/02/16/2021-02994.html https://regulations.justia.com/regulations/fedreg/2021/02/16/2021-02994.html Tue, 16 Feb 2021 00:00:00 -0800 2021-02994 Notice https://www.govinfo.gov/content/pkg/FR-2021-02-16/pdf/2021-02994.pdf Notice - 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 Firms https://regulations.justia.com/regulations/fedreg/2021/02/16/2021-02993.html https://regulations.justia.com/regulations/fedreg/2021/02/16/2021-02993.html Tue, 16 Feb 2021 00:00:00 -0800 2021-02993 Notice https://www.govinfo.gov/content/pkg/FR-2021-02-16/pdf/2021-02993.pdf Notice - 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 Officials https://regulations.justia.com/regulations/fedreg/2021/02/16/2021-02992.html https://regulations.justia.com/regulations/fedreg/2021/02/16/2021-02992.html Tue, 16 Feb 2021 00:00:00 -0800 2021-02992 Notice https://www.govinfo.gov/content/pkg/FR-2021-02-16/pdf/2021-02992.pdf Notice - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend its Price List To Extend the Waiver of Equipment and Related Service Charges and Trading License Fees https://regulations.justia.com/regulations/fedreg/2021/02/16/2021-02991.html https://regulations.justia.com/regulations/fedreg/2021/02/16/2021-02991.html Tue, 16 Feb 2021 00:00:00 -0800 2021-02991 Notice https://www.govinfo.gov/content/pkg/FR-2021-02-16/pdf/2021-02991.pdf Rule - Modernization of Delegations of Authority to Commission Staff and Division and Office Descriptions https://regulations.justia.com/regulations/fedreg/2021/02/16/2020-28819.html https://regulations.justia.com/regulations/fedreg/2021/02/16/2020-28819.html Tue, 16 Feb 2021 00:00:00 -0800 2020-28819 Rule https://www.govinfo.gov/content/pkg/FR-2021-02-16/pdf/2020-28819.pdf Notice - Submission for OMB Review; Comment Request https://regulations.justia.com/regulations/fedreg/2021/02/12/2021-02962.html https://regulations.justia.com/regulations/fedreg/2021/02/12/2021-02962.html Fri, 12 Feb 2021 00:00:00 -0800 2021-02962 Notice https://www.govinfo.gov/content/pkg/FR-2021-02-12/pdf/2021-02962.pdf Notice - Proposed Collection; Comment Request https://regulations.justia.com/regulations/fedreg/2021/02/12/2021-02960.html https://regulations.justia.com/regulations/fedreg/2021/02/12/2021-02960.html Fri, 12 Feb 2021 00:00:00 -0800 2021-02960 Notice https://www.govinfo.gov/content/pkg/FR-2021-02-12/pdf/2021-02960.pdf Notice - Submission for OMB Review; Comment Request https://regulations.justia.com/regulations/fedreg/2021/02/12/2021-02959.html https://regulations.justia.com/regulations/fedreg/2021/02/12/2021-02959.html Fri, 12 Feb 2021 00:00:00 -0800 2021-02959 Notice https://www.govinfo.gov/content/pkg/FR-2021-02-12/pdf/2021-02959.pdf Notice - Submission for OMB Review; Comment Request https://regulations.justia.com/regulations/fedreg/2021/02/12/2021-02958.html https://regulations.justia.com/regulations/fedreg/2021/02/12/2021-02958.html Fri, 12 Feb 2021 00:00:00 -0800 2021-02958 Notice https://www.govinfo.gov/content/pkg/FR-2021-02-12/pdf/2021-02958.pdf Notice - Self-Regulatory Organizations; ICE Clear Credit LLC; Order Approving Proposed Rule Change Relating to the ICC Clearing Participant Default Management Procedures https://regulations.justia.com/regulations/fedreg/2021/02/12/2021-02868.html https://regulations.justia.com/regulations/fedreg/2021/02/12/2021-02868.html Fri, 12 Feb 2021 00:00:00 -0800 2021-02868 Notice https://www.govinfo.gov/content/pkg/FR-2021-02-12/pdf/2021-02868.pdf Notice - 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) https://regulations.justia.com/regulations/fedreg/2021/02/12/2021-02866.html https://regulations.justia.com/regulations/fedreg/2021/02/12/2021-02866.html Fri, 12 Feb 2021 00:00:00 -0800 2021-02866 Notice https://www.govinfo.gov/content/pkg/FR-2021-02-12/pdf/2021-02866.pdf Notice - Proposed Collection; Comment Request https://regulations.justia.com/regulations/fedreg/2021/02/12/2021-02865.html https://regulations.justia.com/regulations/fedreg/2021/02/12/2021-02865.html Fri, 12 Feb 2021 00:00:00 -0800 2021-02865 Notice https://www.govinfo.gov/content/pkg/FR-2021-02-12/pdf/2021-02865.pdf Notice - Proposed Collection; Comment Request https://regulations.justia.com/regulations/fedreg/2021/02/12/2021-02864.html https://regulations.justia.com/regulations/fedreg/2021/02/12/2021-02864.html Fri, 12 Feb 2021 00:00:00 -0800 2021-02864 Notice https://www.govinfo.gov/content/pkg/FR-2021-02-12/pdf/2021-02864.pdf Notice - Proposed Collection; Comment Request https://regulations.justia.com/regulations/fedreg/2021/02/12/2021-02863.html https://regulations.justia.com/regulations/fedreg/2021/02/12/2021-02863.html Fri, 12 Feb 2021 00:00:00 -0800 2021-02863 Notice https://www.govinfo.gov/content/pkg/FR-2021-02-12/pdf/2021-02863.pdf Notice - Proposed Collection; Comment Request https://regulations.justia.com/regulations/fedreg/2021/02/12/2021-02862.html https://regulations.justia.com/regulations/fedreg/2021/02/12/2021-02862.html Fri, 12 Feb 2021 00:00:00 -0800 2021-02862 Notice https://www.govinfo.gov/content/pkg/FR-2021-02-12/pdf/2021-02862.pdf Notice - Proposed Collection; Comment Request https://regulations.justia.com/regulations/fedreg/2021/02/12/2021-02861.html https://regulations.justia.com/regulations/fedreg/2021/02/12/2021-02861.html Fri, 12 Feb 2021 00:00:00 -0800 2021-02861 Notice https://www.govinfo.gov/content/pkg/FR-2021-02-12/pdf/2021-02861.pdf Notice - 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 Documentation https://regulations.justia.com/regulations/fedreg/2021/02/12/2021-02859.html https://regulations.justia.com/regulations/fedreg/2021/02/12/2021-02859.html Fri, 12 Feb 2021 00:00:00 -0800 2021-02859 Notice https://www.govinfo.gov/content/pkg/FR-2021-02-12/pdf/2021-02859.pdf Notice - 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 Contract https://regulations.justia.com/regulations/fedreg/2021/02/12/2021-02858.html https://regulations.justia.com/regulations/fedreg/2021/02/12/2021-02858.html Fri, 12 Feb 2021 00:00:00 -0800 2021-02858 Notice https://www.govinfo.gov/content/pkg/FR-2021-02-12/pdf/2021-02858.pdf Notice - Self-Regulatory Organizations; Cboe EDGX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating To Amend the Fee Schedule https://regulations.justia.com/regulations/fedreg/2021/02/12/2021-02857.html https://regulations.justia.com/regulations/fedreg/2021/02/12/2021-02857.html Fri, 12 Feb 2021 00:00:00 -0800 2021-02857 Notice https://www.govinfo.gov/content/pkg/FR-2021-02-12/pdf/2021-02857.pdf Notice - Sunshine Act Meeting; Cancellation https://regulations.justia.com/regulations/fedreg/2021/02/11/2021-02961.html https://regulations.justia.com/regulations/fedreg/2021/02/11/2021-02961.html Thu, 11 Feb 2021 00:00:00 -0800 2021-02961 Notice https://www.govinfo.gov/content/pkg/FR-2021-02-11/pdf/2021-02961.pdf Notice - 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 Program https://regulations.justia.com/regulations/fedreg/2021/02/11/2021-02780.html https://regulations.justia.com/regulations/fedreg/2021/02/11/2021-02780.html Thu, 11 Feb 2021 00:00:00 -0800 2021-02780 Notice https://www.govinfo.gov/content/pkg/FR-2021-02-11/pdf/2021-02780.pdf Notice - 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-Laws https://regulations.justia.com/regulations/fedreg/2021/02/11/2021-02779.html https://regulations.justia.com/regulations/fedreg/2021/02/11/2021-02779.html Thu, 11 Feb 2021 00:00:00 -0800 2021-02779 Notice https://www.govinfo.gov/content/pkg/FR-2021-02-11/pdf/2021-02779.pdf Notice - 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 Trail https://regulations.justia.com/regulations/fedreg/2021/02/11/2021-02778.html https://regulations.justia.com/regulations/fedreg/2021/02/11/2021-02778.html Thu, 11 Feb 2021 00:00:00 -0800 2021-02778 Notice https://www.govinfo.gov/content/pkg/FR-2021-02-11/pdf/2021-02778.pdf Notice - 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 Auction https://regulations.justia.com/regulations/fedreg/2021/02/11/2021-02777.html https://regulations.justia.com/regulations/fedreg/2021/02/11/2021-02777.html Thu, 11 Feb 2021 00:00:00 -0800 2021-02777 Notice https://www.govinfo.gov/content/pkg/FR-2021-02-11/pdf/2021-02777.pdf Notice - Self-Regulatory Organizations; MIAX PEARL, LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the MIAX PEARL Equities Fee Schedule To Adopt Connectivity Fees, Port Fees, a Technical Support Request Fee, and a Historical Market Data Fee https://regulations.justia.com/regulations/fedreg/2021/02/11/2021-02776.html https://regulations.justia.com/regulations/fedreg/2021/02/11/2021-02776.html Thu, 11 Feb 2021 00:00:00 -0800 2021-02776 Notice https://www.govinfo.gov/content/pkg/FR-2021-02-11/pdf/2021-02776.pdf Notice - The RBB Fund, Inc., et al. https://regulations.justia.com/regulations/fedreg/2021/02/11/2021-02775.html https://regulations.justia.com/regulations/fedreg/2021/02/11/2021-02775.html Thu, 11 Feb 2021 00:00:00 -0800 2021-02775 Notice https://www.govinfo.gov/content/pkg/FR-2021-02-11/pdf/2021-02775.pdf Notice - Security-Based Swap Data Repositories; DTCC Data Repository (U.S.), LLC; Notice of Filing of Application for Registration as a Security-Based Swap Data Repository https://regulations.justia.com/regulations/fedreg/2021/02/10/2021-02755.html https://regulations.justia.com/regulations/fedreg/2021/02/10/2021-02755.html Wed, 10 Feb 2021 00:00:00 -0800 2021-02755 Notice https://www.govinfo.gov/content/pkg/FR-2021-02-10/pdf/2021-02755.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 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 Requirements https://regulations.justia.com/regulations/fedreg/2021/02/10/2021-02715.html https://regulations.justia.com/regulations/fedreg/2021/02/10/2021-02715.html Wed, 10 Feb 2021 00:00:00 -0800 2021-02715 Notice https://www.govinfo.gov/content/pkg/FR-2021-02-10/pdf/2021-02715.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/2021/02/10/2021-02714.html https://regulations.justia.com/regulations/fedreg/2021/02/10/2021-02714.html Wed, 10 Feb 2021 00:00:00 -0800 2021-02714 Notice https://www.govinfo.gov/content/pkg/FR-2021-02-10/pdf/2021-02714.pdf Notice - 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 NAV https://regulations.justia.com/regulations/fedreg/2021/02/10/2021-02713.html https://regulations.justia.com/regulations/fedreg/2021/02/10/2021-02713.html Wed, 10 Feb 2021 00:00:00 -0800 2021-02713 Notice https://www.govinfo.gov/content/pkg/FR-2021-02-10/pdf/2021-02713.pdf Notice - Self-Regulatory Organizations; The Depository Trust Company; Order Approving a Proposed Rule Change To Update the Distributions Service Guide https://regulations.justia.com/regulations/fedreg/2021/02/10/2021-02712.html https://regulations.justia.com/regulations/fedreg/2021/02/10/2021-02712.html Wed, 10 Feb 2021 00:00:00 -0800 2021-02712 Notice https://www.govinfo.gov/content/pkg/FR-2021-02-10/pdf/2021-02712.pdf Notice - 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 5750 https://regulations.justia.com/regulations/fedreg/2021/02/10/2021-02711.html https://regulations.justia.com/regulations/fedreg/2021/02/10/2021-02711.html Wed, 10 Feb 2021 00:00:00 -0800 2021-02711 Notice https://www.govinfo.gov/content/pkg/FR-2021-02-10/pdf/2021-02711.pdf Notice - Self-Regulatory Organizations; Nasdaq PHLX LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Phlx Rules https://regulations.justia.com/regulations/fedreg/2021/02/10/2021-02710.html https://regulations.justia.com/regulations/fedreg/2021/02/10/2021-02710.html Wed, 10 Feb 2021 00:00:00 -0800 2021-02710 Notice https://www.govinfo.gov/content/pkg/FR-2021-02-10/pdf/2021-02710.pdf Notice - 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 Rules https://regulations.justia.com/regulations/fedreg/2021/02/10/2021-02709.html https://regulations.justia.com/regulations/fedreg/2021/02/10/2021-02709.html Wed, 10 Feb 2021 00:00:00 -0800 2021-02709 Notice https://www.govinfo.gov/content/pkg/FR-2021-02-10/pdf/2021-02709.pdf Notice - 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 Markets https://regulations.justia.com/regulations/fedreg/2021/02/10/2021-02708.html https://regulations.justia.com/regulations/fedreg/2021/02/10/2021-02708.html Wed, 10 Feb 2021 00:00:00 -0800 2021-02708 Notice https://www.govinfo.gov/content/pkg/FR-2021-02-10/pdf/2021-02708.pdf Notice - 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 Market https://regulations.justia.com/regulations/fedreg/2021/02/10/2021-02707.html https://regulations.justia.com/regulations/fedreg/2021/02/10/2021-02707.html Wed, 10 Feb 2021 00:00:00 -0800 2021-02707 Notice https://www.govinfo.gov/content/pkg/FR-2021-02-10/pdf/2021-02707.pdf Notice - Request for Comment on Potential Money Market Fund Reform Measures in President's Working Group Report https://regulations.justia.com/regulations/fedreg/2021/02/10/2021-02704.html https://regulations.justia.com/regulations/fedreg/2021/02/10/2021-02704.html Wed, 10 Feb 2021 00:00:00 -0800 2021-02704 Notice https://www.govinfo.gov/content/pkg/FR-2021-02-10/pdf/2021-02704.pdf Notice - Submission for OMB Review; Comment Request https://regulations.justia.com/regulations/fedreg/2021/02/10/2021-02687.html https://regulations.justia.com/regulations/fedreg/2021/02/10/2021-02687.html Wed, 10 Feb 2021 00:00:00 -0800 2021-02687 Notice https://www.govinfo.gov/content/pkg/FR-2021-02-10/pdf/2021-02687.pdf Rule - Qualifications of Accountants https://regulations.justia.com/regulations/fedreg/2021/02/09/2021-02615.html https://regulations.justia.com/regulations/fedreg/2021/02/09/2021-02615.html Tue, 09 Feb 2021 00:00:00 -0800 2021-02615 Rule https://www.govinfo.gov/content/pkg/FR-2021-02-09/pdf/2021-02615.pdf Notice - 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 Markets https://regulations.justia.com/regulations/fedreg/2021/02/09/2021-02593.html https://regulations.justia.com/regulations/fedreg/2021/02/09/2021-02593.html Tue, 09 Feb 2021 00:00:00 -0800 2021-02593 Notice https://www.govinfo.gov/content/pkg/FR-2021-02-09/pdf/2021-02593.pdf Notice - 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 Companies https://regulations.justia.com/regulations/fedreg/2021/02/09/2021-02592.html https://regulations.justia.com/regulations/fedreg/2021/02/09/2021-02592.html Tue, 09 Feb 2021 00:00:00 -0800 2021-02592 Notice https://www.govinfo.gov/content/pkg/FR-2021-02-09/pdf/2021-02592.pdf Notice - Self-Regulatory Organizations; Cboe Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Establish a Policy Relating to Billing Errors https://regulations.justia.com/regulations/fedreg/2021/02/09/2021-02591.html https://regulations.justia.com/regulations/fedreg/2021/02/09/2021-02591.html Tue, 09 Feb 2021 00:00:00 -0800 2021-02591 Notice https://www.govinfo.gov/content/pkg/FR-2021-02-09/pdf/2021-02591.pdf Notice - 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 Errors https://regulations.justia.com/regulations/fedreg/2021/02/09/2021-02590.html https://regulations.justia.com/regulations/fedreg/2021/02/09/2021-02590.html Tue, 09 Feb 2021 00:00:00 -0800 2021-02590 Notice https://www.govinfo.gov/content/pkg/FR-2021-02-09/pdf/2021-02590.pdf Notice - 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 Manual https://regulations.justia.com/regulations/fedreg/2021/02/09/2021-02589.html https://regulations.justia.com/regulations/fedreg/2021/02/09/2021-02589.html Tue, 09 Feb 2021 00:00:00 -0800 2021-02589 Notice https://www.govinfo.gov/content/pkg/FR-2021-02-09/pdf/2021-02589.pdf Notice - 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 5123 https://regulations.justia.com/regulations/fedreg/2021/02/09/2021-02588.html https://regulations.justia.com/regulations/fedreg/2021/02/09/2021-02588.html Tue, 09 Feb 2021 00:00:00 -0800 2021-02588 Notice https://www.govinfo.gov/content/pkg/FR-2021-02-09/pdf/2021-02588.pdf Notice - Sunshine Act Meeting; Cancellation https://regulations.justia.com/regulations/fedreg/2021/02/08/2021-02692.html https://regulations.justia.com/regulations/fedreg/2021/02/08/2021-02692.html Mon, 08 Feb 2021 00:00:00 -0800 2021-02692 Notice https://www.govinfo.gov/content/pkg/FR-2021-02-08/pdf/2021-02692.pdf Notice - Sunshine Act Meetings https://regulations.justia.com/regulations/fedreg/2021/02/08/2021-02657.html https://regulations.justia.com/regulations/fedreg/2021/02/08/2021-02657.html Mon, 08 Feb 2021 00:00:00 -0800 2021-02657 Notice https://www.govinfo.gov/content/pkg/FR-2021-02-08/pdf/2021-02657.pdf Notice - Proposed Collection; Comment Request https://regulations.justia.com/regulations/fedreg/2021/02/08/2021-02506.html https://regulations.justia.com/regulations/fedreg/2021/02/08/2021-02506.html Mon, 08 Feb 2021 00:00:00 -0800 2021-02506 Notice https://www.govinfo.gov/content/pkg/FR-2021-02-08/pdf/2021-02506.pdf Notice - Proposed Collection; Comment Request https://regulations.justia.com/regulations/fedreg/2021/02/08/2021-02505.html https://regulations.justia.com/regulations/fedreg/2021/02/08/2021-02505.html Mon, 08 Feb 2021 00:00:00 -0800 2021-02505 Notice https://www.govinfo.gov/content/pkg/FR-2021-02-08/pdf/2021-02505.pdf Notice - 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 Services https://regulations.justia.com/regulations/fedreg/2021/02/08/2021-02475.html https://regulations.justia.com/regulations/fedreg/2021/02/08/2021-02475.html Mon, 08 Feb 2021 00:00:00 -0800 2021-02475 Notice https://www.govinfo.gov/content/pkg/FR-2021-02-08/pdf/2021-02475.pdf Notice - Muzinich BDC, Inc., et al. https://regulations.justia.com/regulations/fedreg/2021/02/08/2021-02468.html https://regulations.justia.com/regulations/fedreg/2021/02/08/2021-02468.html Mon, 08 Feb 2021 00:00:00 -0800 2021-02468 Notice https://www.govinfo.gov/content/pkg/FR-2021-02-08/pdf/2021-02468.pdf Notice - 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 Exchange https://regulations.justia.com/regulations/fedreg/2021/02/08/2021-02465.html https://regulations.justia.com/regulations/fedreg/2021/02/08/2021-02465.html Mon, 08 Feb 2021 00:00:00 -0800 2021-02465 Notice https://www.govinfo.gov/content/pkg/FR-2021-02-08/pdf/2021-02465.pdf Notice - 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 Exchange https://regulations.justia.com/regulations/fedreg/2021/02/05/2021-02410.html https://regulations.justia.com/regulations/fedreg/2021/02/05/2021-02410.html Fri, 05 Feb 2021 00:00:00 -0800 2021-02410 Notice https://www.govinfo.gov/content/pkg/FR-2021-02-05/pdf/2021-02410.pdf Notice - 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 Services https://regulations.justia.com/regulations/fedreg/2021/02/05/2021-02409.html https://regulations.justia.com/regulations/fedreg/2021/02/05/2021-02409.html Fri, 05 Feb 2021 00:00:00 -0800 2021-02409 Notice https://www.govinfo.gov/content/pkg/FR-2021-02-05/pdf/2021-02409.pdf Notice - Self-Regulatory Organizations; NYSE Chicago, Inc.; Notice of Filing of Proposed Rule Change To Amend Its Fee Schedule Related to Co-Location Services https://regulations.justia.com/regulations/fedreg/2021/02/05/2021-02408.html https://regulations.justia.com/regulations/fedreg/2021/02/05/2021-02408.html Fri, 05 Feb 2021 00:00:00 -0800 2021-02408 Notice https://www.govinfo.gov/content/pkg/FR-2021-02-05/pdf/2021-02408.pdf Notice - 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 Services https://regulations.justia.com/regulations/fedreg/2021/02/05/2021-02407.html https://regulations.justia.com/regulations/fedreg/2021/02/05/2021-02407.html Fri, 05 Feb 2021 00:00:00 -0800 2021-02407 Notice https://www.govinfo.gov/content/pkg/FR-2021-02-05/pdf/2021-02407.pdf Notice - 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 Services https://regulations.justia.com/regulations/fedreg/2021/02/05/2021-02406.html https://regulations.justia.com/regulations/fedreg/2021/02/05/2021-02406.html Fri, 05 Feb 2021 00:00:00 -0800 2021-02406 Notice https://www.govinfo.gov/content/pkg/FR-2021-02-05/pdf/2021-02406.pdf Notice - Self-Regulatory Organizations; MIAX Emerald, LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Its Fee Schedule To Adopt Monthly Trading Permit Fees https://regulations.justia.com/regulations/fedreg/2021/02/05/2021-02405.html https://regulations.justia.com/regulations/fedreg/2021/02/05/2021-02405.html Fri, 05 Feb 2021 00:00:00 -0800 2021-02405 Notice https://www.govinfo.gov/content/pkg/FR-2021-02-05/pdf/2021-02405.pdf Notice - Self-Regulatory Organizations; MIAX Emerald, LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Its Fee Schedule To Adopt Port Fees and Increase Certain Network Connectivity Fees https://regulations.justia.com/regulations/fedreg/2021/02/05/2021-02404.html https://regulations.justia.com/regulations/fedreg/2021/02/05/2021-02404.html Fri, 05 Feb 2021 00:00:00 -0800 2021-02404 Notice https://www.govinfo.gov/content/pkg/FR-2021-02-05/pdf/2021-02404.pdf Notice - 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 Trust https://regulations.justia.com/regulations/fedreg/2021/02/05/2021-02403.html https://regulations.justia.com/regulations/fedreg/2021/02/05/2021-02403.html Fri, 05 Feb 2021 00:00:00 -0800 2021-02403 Notice https://www.govinfo.gov/content/pkg/FR-2021-02-05/pdf/2021-02403.pdf Notice - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Designation of a Longer Period for Commission Action on a Proposed Rule Change To Amend Its Rules Establishing Maximum Fee Rates To Be Charged by Member Organizations for Forwarding Proxy and Other Materials to Beneficial Owners https://regulations.justia.com/regulations/fedreg/2021/02/05/2021-02400.html https://regulations.justia.com/regulations/fedreg/2021/02/05/2021-02400.html Fri, 05 Feb 2021 00:00:00 -0800 2021-02400 Notice https://www.govinfo.gov/content/pkg/FR-2021-02-05/pdf/2021-02400.pdf Notice - Self-Regulatory Organizations; ICE Clear Credit LLC; Notice of Filing of Proposed Rule Change Relating to the ICC Operational Risk Management Framework https://regulations.justia.com/regulations/fedreg/2021/02/05/2021-02399.html https://regulations.justia.com/regulations/fedreg/2021/02/05/2021-02399.html Fri, 05 Feb 2021 00:00:00 -0800 2021-02399 Notice https://www.govinfo.gov/content/pkg/FR-2021-02-05/pdf/2021-02399.pdf Notice - Self-Regulatory Organizations; MIAX Emerald, LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Its Fee Schedule To Adopt a One-Time Membership Application Fee, Application Programming Interface (“API”) Testing and Certification Fees, and Network Connectivity Testing and Certification Fees https://regulations.justia.com/regulations/fedreg/2021/02/05/2021-02398.html https://regulations.justia.com/regulations/fedreg/2021/02/05/2021-02398.html Fri, 05 Feb 2021 00:00:00 -0800 2021-02398 Notice https://www.govinfo.gov/content/pkg/FR-2021-02-05/pdf/2021-02398.pdf Notice - 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 Shares https://regulations.justia.com/regulations/fedreg/2021/02/05/2021-02397.html https://regulations.justia.com/regulations/fedreg/2021/02/05/2021-02397.html Fri, 05 Feb 2021 00:00:00 -0800 2021-02397 Notice https://www.govinfo.gov/content/pkg/FR-2021-02-05/pdf/2021-02397.pdf Notice - Self-Regulatory Organizations; Cboe Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Its Fee Schedule https://regulations.justia.com/regulations/fedreg/2021/02/05/2021-02396.html https://regulations.justia.com/regulations/fedreg/2021/02/05/2021-02396.html Fri, 05 Feb 2021 00:00:00 -0800 2021-02396 Notice https://www.govinfo.gov/content/pkg/FR-2021-02-05/pdf/2021-02396.pdf Notice - 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 Reports https://regulations.justia.com/regulations/fedreg/2021/02/05/2021-02395.html https://regulations.justia.com/regulations/fedreg/2021/02/05/2021-02395.html Fri, 05 Feb 2021 00:00:00 -0800 2021-02395 Notice https://www.govinfo.gov/content/pkg/FR-2021-02-05/pdf/2021-02395.pdf Notice - The Advisors' Inner Circle Fund and Pathstone Family Office, LLC; Notice of Application https://regulations.justia.com/regulations/fedreg/2021/02/05/2021-02372.html https://regulations.justia.com/regulations/fedreg/2021/02/05/2021-02372.html Fri, 05 Feb 2021 00:00:00 -0800 2021-02372 Notice https://www.govinfo.gov/content/pkg/FR-2021-02-05/pdf/2021-02372.pdf Notice - Notice of Applications for Deregistration Under Section 8(f) of the Investment Company Act of 1940 https://regulations.justia.com/regulations/fedreg/2021/02/04/2021-02269.html https://regulations.justia.com/regulations/fedreg/2021/02/04/2021-02269.html Thu, 04 Feb 2021 00:00:00 -0800 2021-02269 Notice https://www.govinfo.gov/content/pkg/FR-2021-02-04/pdf/2021-02269.pdf Notice - 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 Companies https://regulations.justia.com/regulations/fedreg/2021/02/04/2021-02267.html https://regulations.justia.com/regulations/fedreg/2021/02/04/2021-02267.html Thu, 04 Feb 2021 00:00:00 -0800 2021-02267 Notice https://www.govinfo.gov/content/pkg/FR-2021-02-04/pdf/2021-02267.pdf Notice - 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 Exchange https://regulations.justia.com/regulations/fedreg/2021/02/04/2021-02266.html https://regulations.justia.com/regulations/fedreg/2021/02/04/2021-02266.html Thu, 04 Feb 2021 00:00:00 -0800 2021-02266 Notice https://www.govinfo.gov/content/pkg/FR-2021-02-04/pdf/2021-02266.pdf Notice - 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 Companies https://regulations.justia.com/regulations/fedreg/2021/02/04/2021-02265.html https://regulations.justia.com/regulations/fedreg/2021/02/04/2021-02265.html Thu, 04 Feb 2021 00:00:00 -0800 2021-02265 Notice https://www.govinfo.gov/content/pkg/FR-2021-02-04/pdf/2021-02265.pdf Notice - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Designation of a Longer Period for Commission Action on a Proposed Rule Change To Amend Its Rules To Prohibit Member Organizations From Seeking Reimbursement, in Certain Circumstances, From Issuers for Forwarding Proxy and Other Materials to Beneficial Owners https://regulations.justia.com/regulations/fedreg/2021/02/04/2021-02264.html https://regulations.justia.com/regulations/fedreg/2021/02/04/2021-02264.html Thu, 04 Feb 2021 00:00:00 -0800 2021-02264 Notice https://www.govinfo.gov/content/pkg/FR-2021-02-04/pdf/2021-02264.pdf Notice - Sunshine Act Meetings https://regulations.justia.com/regulations/fedreg/2021/02/03/2021-02373.html https://regulations.justia.com/regulations/fedreg/2021/02/03/2021-02373.html Wed, 03 Feb 2021 00:00:00 -0800 2021-02373 Notice https://www.govinfo.gov/content/pkg/FR-2021-02-03/pdf/2021-02373.pdf Notice - 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 Requirements https://regulations.justia.com/regulations/fedreg/2021/02/03/2021-02188.html https://regulations.justia.com/regulations/fedreg/2021/02/03/2021-02188.html Wed, 03 Feb 2021 00:00:00 -0800 2021-02188 Notice https://www.govinfo.gov/content/pkg/FR-2021-02-03/pdf/2021-02188.pdf Notice - 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 Requirements https://regulations.justia.com/regulations/fedreg/2021/02/03/2021-02187.html https://regulations.justia.com/regulations/fedreg/2021/02/03/2021-02187.html Wed, 03 Feb 2021 00:00:00 -0800 2021-02187 Notice https://www.govinfo.gov/content/pkg/FR-2021-02-03/pdf/2021-02187.pdf Notice - 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 Requirements https://regulations.justia.com/regulations/fedreg/2021/02/03/2021-02186.html https://regulations.justia.com/regulations/fedreg/2021/02/03/2021-02186.html Wed, 03 Feb 2021 00:00:00 -0800 2021-02186 Notice https://www.govinfo.gov/content/pkg/FR-2021-02-03/pdf/2021-02186.pdf Notice - 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 Requirements https://regulations.justia.com/regulations/fedreg/2021/02/03/2021-02185.html https://regulations.justia.com/regulations/fedreg/2021/02/03/2021-02185.html Wed, 03 Feb 2021 00:00:00 -0800 2021-02185 Notice https://www.govinfo.gov/content/pkg/FR-2021-02-03/pdf/2021-02185.pdf Notice - 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 Requirements https://regulations.justia.com/regulations/fedreg/2021/02/03/2021-02184.html https://regulations.justia.com/regulations/fedreg/2021/02/03/2021-02184.html Wed, 03 Feb 2021 00:00:00 -0800 2021-02184 Notice https://www.govinfo.gov/content/pkg/FR-2021-02-03/pdf/2021-02184.pdf Rule - Adoption of Updated EDGAR Filer Manual, Proposed Collection and Comment Request for Form ID https://regulations.justia.com/regulations/fedreg/2021/02/03/2021-00381.html https://regulations.justia.com/regulations/fedreg/2021/02/03/2021-00381.html Wed, 03 Feb 2021 00:00:00 -0800 2021-00381 Rule https://www.govinfo.gov/content/pkg/FR-2021-02-03/pdf/2021-00381.pdf Rule - Administration of the Electronic Data Gathering, Analysis, and Retrieval System https://regulations.justia.com/regulations/fedreg/2021/02/03/2020-28273.html https://regulations.justia.com/regulations/fedreg/2021/02/03/2020-28273.html Wed, 03 Feb 2021 00:00:00 -0800 2020-28273 Rule https://www.govinfo.gov/content/pkg/FR-2021-02-03/pdf/2020-28273.pdf Notice - Hamilton Lane Private Assets Fund, et al. https://regulations.justia.com/regulations/fedreg/2021/02/02/2021-02179.html https://regulations.justia.com/regulations/fedreg/2021/02/02/2021-02179.html Tue, 02 Feb 2021 00:00:00 -0800 2021-02179 Notice https://www.govinfo.gov/content/pkg/FR-2021-02-02/pdf/2021-02179.pdf Notice - 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 2002 https://regulations.justia.com/regulations/fedreg/2021/02/02/2021-02171.html https://regulations.justia.com/regulations/fedreg/2021/02/02/2021-02171.html Tue, 02 Feb 2021 00:00:00 -0800 2021-02171 Notice https://www.govinfo.gov/content/pkg/FR-2021-02-02/pdf/2021-02171.pdf Notice - Securities Investor Protection Corporation; Determination https://regulations.justia.com/regulations/fedreg/2021/02/02/2021-02128.html https://regulations.justia.com/regulations/fedreg/2021/02/02/2021-02128.html Tue, 02 Feb 2021 00:00:00 -0800 2021-02128 Notice https://www.govinfo.gov/content/pkg/FR-2021-02-02/pdf/2021-02128.pdf Notice - Submission for OMB Review; Comment Request https://regulations.justia.com/regulations/fedreg/2021/02/02/2021-02126.html https://regulations.justia.com/regulations/fedreg/2021/02/02/2021-02126.html Tue, 02 Feb 2021 00:00:00 -0800 2021-02126 Notice https://www.govinfo.gov/content/pkg/FR-2021-02-02/pdf/2021-02126.pdf Notice - Submission for OMB Review; Comment Request https://regulations.justia.com/regulations/fedreg/2021/02/02/2021-02124.html https://regulations.justia.com/regulations/fedreg/2021/02/02/2021-02124.html Tue, 02 Feb 2021 00:00:00 -0800 2021-02124 Notice https://www.govinfo.gov/content/pkg/FR-2021-02-02/pdf/2021-02124.pdf Notice - Submission for OMB Review; Comment Request https://regulations.justia.com/regulations/fedreg/2021/02/02/2021-02123.html https://regulations.justia.com/regulations/fedreg/2021/02/02/2021-02123.html Tue, 02 Feb 2021 00:00:00 -0800 2021-02123 Notice https://www.govinfo.gov/content/pkg/FR-2021-02-02/pdf/2021-02123.pdf Notice - Submission for OMB Review; Comment Request https://regulations.justia.com/regulations/fedreg/2021/02/02/2021-02122.html https://regulations.justia.com/regulations/fedreg/2021/02/02/2021-02122.html Tue, 02 Feb 2021 00:00:00 -0800 2021-02122 Notice https://www.govinfo.gov/content/pkg/FR-2021-02-02/pdf/2021-02122.pdf Notice - Self-Regulatory Organizations; Cboe EDGX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the Fee Schedule https://regulations.justia.com/regulations/fedreg/2021/02/02/2021-02119.html https://regulations.justia.com/regulations/fedreg/2021/02/02/2021-02119.html Tue, 02 Feb 2021 00:00:00 -0800 2021-02119 Notice https://www.govinfo.gov/content/pkg/FR-2021-02-02/pdf/2021-02119.pdf Notice - Self-Regulatory Organizations; Cboe EDGA Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the Fee Schedule https://regulations.justia.com/regulations/fedreg/2021/02/02/2021-02118.html https://regulations.justia.com/regulations/fedreg/2021/02/02/2021-02118.html Tue, 02 Feb 2021 00:00:00 -0800 2021-02118 Notice https://www.govinfo.gov/content/pkg/FR-2021-02-02/pdf/2021-02118.pdf Notice - 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 Codes https://regulations.justia.com/regulations/fedreg/2021/02/02/2021-02117.html https://regulations.justia.com/regulations/fedreg/2021/02/02/2021-02117.html Tue, 02 Feb 2021 00:00:00 -0800 2021-02117 Notice https://www.govinfo.gov/content/pkg/FR-2021-02-02/pdf/2021-02117.pdf Notice - 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 Codes https://regulations.justia.com/regulations/fedreg/2021/02/02/2021-02116.html https://regulations.justia.com/regulations/fedreg/2021/02/02/2021-02116.html Tue, 02 Feb 2021 00:00:00 -0800 2021-02116 Notice https://www.govinfo.gov/content/pkg/FR-2021-02-02/pdf/2021-02116.pdf Notice - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Rule 7.32 https://regulations.justia.com/regulations/fedreg/2021/02/02/2021-02115.html https://regulations.justia.com/regulations/fedreg/2021/02/02/2021-02115.html Tue, 02 Feb 2021 00:00:00 -0800 2021-02115 Notice https://www.govinfo.gov/content/pkg/FR-2021-02-02/pdf/2021-02115.pdf Notice - Sunshine Act Meetings https://regulations.justia.com/regulations/fedreg/2021/02/01/2021-02155.html https://regulations.justia.com/regulations/fedreg/2021/02/01/2021-02155.html Mon, 01 Feb 2021 00:00:00 -0800 2021-02155 Notice https://www.govinfo.gov/content/pkg/FR-2021-02-01/pdf/2021-02155.pdf Notice - Sunshine Act Meeting; Cancellation https://regulations.justia.com/regulations/fedreg/2021/02/01/2021-02131.html https://regulations.justia.com/regulations/fedreg/2021/02/01/2021-02131.html Mon, 01 Feb 2021 00:00:00 -0800 2021-02131 Notice https://www.govinfo.gov/content/pkg/FR-2021-02-01/pdf/2021-02131.pdf Notice - 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 $2,500 https://regulations.justia.com/regulations/fedreg/2021/02/01/2021-02010.html https://regulations.justia.com/regulations/fedreg/2021/02/01/2021-02010.html Mon, 01 Feb 2021 00:00:00 -0800 2021-02010 Notice https://www.govinfo.gov/content/pkg/FR-2021-02-01/pdf/2021-02010.pdf Notice - 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 5704 https://regulations.justia.com/regulations/fedreg/2021/02/01/2021-02009.html https://regulations.justia.com/regulations/fedreg/2021/02/01/2021-02009.html Mon, 01 Feb 2021 00:00:00 -0800 2021-02009 Notice https://www.govinfo.gov/content/pkg/FR-2021-02-01/pdf/2021-02009.pdf Notice - 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 Securities https://regulations.justia.com/regulations/fedreg/2021/02/01/2021-02006.html https://regulations.justia.com/regulations/fedreg/2021/02/01/2021-02006.html Mon, 01 Feb 2021 00:00:00 -0800 2021-02006 Notice https://www.govinfo.gov/content/pkg/FR-2021-02-01/pdf/2021-02006.pdf Notice - 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 Options https://regulations.justia.com/regulations/fedreg/2021/02/01/2021-02005.html https://regulations.justia.com/regulations/fedreg/2021/02/01/2021-02005.html Mon, 01 Feb 2021 00:00:00 -0800 2021-02005 Notice https://www.govinfo.gov/content/pkg/FR-2021-02-01/pdf/2021-02005.pdf Notice - 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 Contract https://regulations.justia.com/regulations/fedreg/2021/02/01/2021-02004.html https://regulations.justia.com/regulations/fedreg/2021/02/01/2021-02004.html Mon, 01 Feb 2021 00:00:00 -0800 2021-02004 Notice https://www.govinfo.gov/content/pkg/FR-2021-02-01/pdf/2021-02004.pdf Notice - 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 Products https://regulations.justia.com/regulations/fedreg/2021/02/01/2021-02003.html https://regulations.justia.com/regulations/fedreg/2021/02/01/2021-02003.html Mon, 01 Feb 2021 00:00:00 -0800 2021-02003 Notice https://www.govinfo.gov/content/pkg/FR-2021-02-01/pdf/2021-02003.pdf Rule - Exemption From the Definition of “Clearing Agency” for Certain Activities of Security-Based Swap Dealers and Security-Based Swap Execution Facilities https://regulations.justia.com/regulations/fedreg/2021/02/01/2020-28194.html https://regulations.justia.com/regulations/fedreg/2021/02/01/2020-28194.html Mon, 01 Feb 2021 00:00:00 -0800 2020-28194 Rule https://www.govinfo.gov/content/pkg/FR-2021-02-01/pdf/2020-28194.pdf