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/2021/05?limit=200®isters=between&min-day=1&max-day=31&mode=atom2024-05-02T17:17:06-07:00Justia Inchttps://www.justia.com/Justia Regulations Trackerhttps://regulations.justia.com/images/justiafedregulations.gifCopyright 2011 Justia Inchttps://regulations.justia.com/regulations/fedreg/2021/05/28/2021-11502.htmlNotice - Sunshine Act Meetings2021-05-28T00:00:00-07:002021-05-28T00:00:00-07:002021-11502Noticehttps://www.govinfo.gov/content/pkg/FR-2021-05-28/pdf/2021-11502.pdfhttps://regulations.justia.com/regulations/fedreg/2021/05/28/2021-11500.htmlNotice - Sunshine Act Meeting; Cancellation2021-05-28T00:00:00-07:002021-05-28T00:00:00-07:002021-11500Noticehttps://www.govinfo.gov/content/pkg/FR-2021-05-28/pdf/2021-11500.pdfhttps://regulations.justia.com/regulations/fedreg/2021/05/28/2021-11292.htmlNotice - Simplify Exchange Traded Funds and Simplify Asset Management Inc.2021-05-28T00:00:00-07:002021-05-28T00:00:00-07:002021-11292Noticehttps://www.govinfo.gov/content/pkg/FR-2021-05-28/pdf/2021-11292.pdfhttps://regulations.justia.com/regulations/fedreg/2021/05/28/2021-11290.htmlNotice - Self-Regulatory Organizations; Nasdaq ISE, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend ISE's Pricing Schedule at Options 7, Section 5, for NQX Index Options Fees and Rebates for Regular and Complex Orders2021-05-28T00:00:00-07:002021-05-28T00:00:00-07:002021-11290Noticehttps://www.govinfo.gov/content/pkg/FR-2021-05-28/pdf/2021-11290.pdfhttps://regulations.justia.com/regulations/fedreg/2021/05/28/2021-11289.htmlNotice - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Designation of a Longer Period for Commission Action on Proceedings To Determine Whether To Approve or Disapprove a Proposed Rule Change, as Modified by Amendment No. 1, To Make Permanent Commentaries to Rule 7.35A and Commentaries to Rule 7.35B and Make Related Changes to Rules 7.32, 7.35C, 46B, and 472021-05-28T00:00:00-07:002021-05-28T00:00:00-07:002021-11289Noticehttps://www.govinfo.gov/content/pkg/FR-2021-05-28/pdf/2021-11289.pdfhttps://regulations.justia.com/regulations/fedreg/2021/05/27/2021-11175.htmlNotice - Self-Regulatory Organizations; Miami International Securities Exchange, LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Adopt a New Historical Market Data Product To Be Known as the Open-Close Report2021-05-27T00:00:00-07:002021-05-27T00:00:00-07:002021-11175Noticehttps://www.govinfo.gov/content/pkg/FR-2021-05-27/pdf/2021-11175.pdfhttps://regulations.justia.com/regulations/fedreg/2021/05/27/2021-11174.htmlNotice - Self-Regulatory Organizations; MIAX PEARL, LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Adopt a New Historical Market Data Product To Be Known as the Open-Close Report2021-05-27T00:00:00-07:002021-05-27T00:00:00-07:002021-11174Noticehttps://www.govinfo.gov/content/pkg/FR-2021-05-27/pdf/2021-11174.pdfhttps://regulations.justia.com/regulations/fedreg/2021/05/27/2021-11173.htmlNotice - Self-Regulatory Organizations; MIAX Emerald, LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Adopt a New Historical Market Data Product To Be Known as the Open-Close Report2021-05-27T00:00:00-07:002021-05-27T00:00:00-07:002021-11173Noticehttps://www.govinfo.gov/content/pkg/FR-2021-05-27/pdf/2021-11173.pdfhttps://regulations.justia.com/regulations/fedreg/2021/05/27/2021-11172.htmlNotice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing of Proposed Rule Change To List and Trade Shares of the First Trust SkyBridge Bitcoin ETF Trust Under NYSE Arca Rule 8.201-E2021-05-27T00:00:00-07:002021-05-27T00:00:00-07:002021-11172Noticehttps://www.govinfo.gov/content/pkg/FR-2021-05-27/pdf/2021-11172.pdfhttps://regulations.justia.com/regulations/fedreg/2021/05/26/2021-11099.htmlNotice - Self-Regulatory Organizations; The Nasdaq Stock Market LLC; Order Disapproving a Proposed Rule Change, as Modified by Amendment No. 1, To Amend Listing Rules Applicable to Special Purpose Acquisition Companies Whose Business Plan Is To Complete One or More Business Combinations2021-05-26T00:00:00-07:002021-05-26T00:00:00-07:002021-11099Noticehttps://www.govinfo.gov/content/pkg/FR-2021-05-26/pdf/2021-11099.pdfhttps://regulations.justia.com/regulations/fedreg/2021/05/26/2021-11084.htmlNotice - Self-Regulatory Organizations; Municipal Securities Rulemaking Board; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Consisting of Amendments to MSRB Rule A-8 and the By-Laws of the Municipal Securities Rulemaking Board To Update Descriptions of Board Rulemaking Processes and Eliminate Redundant or Obsolete Provisions2021-05-26T00:00:00-07:002021-05-26T00:00:00-07:002021-11084Noticehttps://www.govinfo.gov/content/pkg/FR-2021-05-26/pdf/2021-11084.pdfhttps://regulations.justia.com/regulations/fedreg/2021/05/26/2021-11083.htmlNotice - Self-Regulatory Organizations; ICE Clear Credit LLC; Order Approving Proposed Rule Change Relating to the ICC Risk Parameter Setting and Review Policy2021-05-26T00:00:00-07:002021-05-26T00:00:00-07:002021-11083Noticehttps://www.govinfo.gov/content/pkg/FR-2021-05-26/pdf/2021-11083.pdfhttps://regulations.justia.com/regulations/fedreg/2021/05/26/2021-11082.htmlNotice - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Its Price List2021-05-26T00:00:00-07:002021-05-26T00:00:00-07:002021-11082Noticehttps://www.govinfo.gov/content/pkg/FR-2021-05-26/pdf/2021-11082.pdfhttps://regulations.justia.com/regulations/fedreg/2021/05/26/2021-11079.htmlNotice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing of Proposed Rule Change To List and Trade the Shares of ConvexityShares Daily 1.5x SPIKES Futures ETF Under NYSE Arca Rule 8.200-E (Trust Issued Receipts)2021-05-26T00:00:00-07:002021-05-26T00:00:00-07:002021-11079Noticehttps://www.govinfo.gov/content/pkg/FR-2021-05-26/pdf/2021-11079.pdfhttps://regulations.justia.com/regulations/fedreg/2021/05/26/2021-11078.htmlNotice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing of Proposed Rule Change To List and Trade the Shares of ConvexityShares 1x SPIKES Futures ETF Under NYSE Arca Rule 8.200-E (Trust Issued Receipts)2021-05-26T00:00:00-07:002021-05-26T00:00:00-07:002021-11078Noticehttps://www.govinfo.gov/content/pkg/FR-2021-05-26/pdf/2021-11078.pdfhttps://regulations.justia.com/regulations/fedreg/2021/05/26/2021-11077.htmlNotice - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing of a Proposed Rule Change To Amend FINRA Rule 1011(p) (“Specified Risk Event”)2021-05-26T00:00:00-07:002021-05-26T00:00:00-07:002021-11077Noticehttps://www.govinfo.gov/content/pkg/FR-2021-05-26/pdf/2021-11077.pdfhttps://regulations.justia.com/regulations/fedreg/2021/05/26/2021-11076.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 32021-05-26T00:00:00-07:002021-05-26T00:00:00-07:002021-11076Noticehttps://www.govinfo.gov/content/pkg/FR-2021-05-26/pdf/2021-11076.pdfhttps://regulations.justia.com/regulations/fedreg/2021/05/26/2021-10384.htmlNotice - Self-Regulatory Organizations; NYSE Chicago, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Continue Offering Certain Connectivity Services That Have Been Suspended by the Securities and Exchange Commission2021-05-26T00:00:00-07:002021-05-26T00:00:00-07:002021-10384Noticehttps://www.govinfo.gov/content/pkg/FR-2021-05-26/pdf/2021-10384.pdfhttps://regulations.justia.com/regulations/fedreg/2021/05/25/2021-10968.htmlNotice - Self-Regulatory Organizations; The Nasdaq Stock Market LLC; Order Approving a Proposed Rule Change, as Modified by Amendment No. 2, To Allow Companies To List in Connection With a Direct Listing With a Primary Offering in Which the Company Will Sell Shares Itself in the Opening Auction on the First Day of Trading on Nasdaq and To Explain How the Opening Transaction for Such a Listing Will Be Effected2021-05-25T00:00:00-07:002021-05-25T00:00:00-07:002021-10968Noticehttps://www.govinfo.gov/content/pkg/FR-2021-05-25/pdf/2021-10968.pdfhttps://regulations.justia.com/regulations/fedreg/2021/05/25/2021-10961.htmlNotice - Self-Regulatory Organizations; The Options Clearing Corporation; Order Granting Approval of Proposed Rule Change Relating to Revisions to OCC's Auction Participation Requirements2021-05-25T00:00:00-07:002021-05-25T00:00:00-07:002021-10961Noticehttps://www.govinfo.gov/content/pkg/FR-2021-05-25/pdf/2021-10961.pdfhttps://regulations.justia.com/regulations/fedreg/2021/05/25/2021-10960.htmlNotice - Calamos Investment Trust, et al.2021-05-25T00:00:00-07:002021-05-25T00:00:00-07:002021-10960Noticehttps://www.govinfo.gov/content/pkg/FR-2021-05-25/pdf/2021-10960.pdfhttps://regulations.justia.com/regulations/fedreg/2021/05/25/2021-10959.htmlNotice - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing of a Proposed Rule Change To Amend the Requirements for Covered Agency Transactions Under FINRA Rule 4210 (Margin Requirements) as Approved Pursuant to SR-FINRA-2015-0362021-05-25T00:00:00-07:002021-05-25T00:00:00-07:002021-10959Noticehttps://www.govinfo.gov/content/pkg/FR-2021-05-25/pdf/2021-10959.pdfhttps://regulations.justia.com/regulations/fedreg/2021/05/25/2021-10958.htmlNotice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Modify the NYSE Arca Options Fee Schedule2021-05-25T00:00:00-07:002021-05-25T00:00:00-07:002021-10958Noticehttps://www.govinfo.gov/content/pkg/FR-2021-05-25/pdf/2021-10958.pdfhttps://regulations.justia.com/regulations/fedreg/2021/05/24/2021-11013.htmlNotice - Sunshine Act Meetings2021-05-24T00:00:00-07:002021-05-24T00:00:00-07:002021-11013Noticehttps://www.govinfo.gov/content/pkg/FR-2021-05-24/pdf/2021-11013.pdfhttps://regulations.justia.com/regulations/fedreg/2021/05/24/2021-10846.htmlNotice - Self-Regulatory Organizations; Nasdaq PHLX LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Options 4, Section 5, “Series of Options Contracts Open for Trading” To Limit Short Term Options Series Intervals Between Strikes2021-05-24T00:00:00-07:002021-05-24T00:00:00-07:002021-10846Noticehttps://www.govinfo.gov/content/pkg/FR-2021-05-24/pdf/2021-10846.pdfhttps://regulations.justia.com/regulations/fedreg/2021/05/24/2021-10845.htmlNotice - Self-Regulatory Organizations; The Nasdaq Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend NOM Rules at Options 4, Section 5, “Series of Options Contracts Open for Trading” To Limit Short Term Options Series Intervals Between Strikes2021-05-24T00:00:00-07:002021-05-24T00:00:00-07:002021-10845Noticehttps://www.govinfo.gov/content/pkg/FR-2021-05-24/pdf/2021-10845.pdfhttps://regulations.justia.com/regulations/fedreg/2021/05/24/2021-10844.htmlNotice - Self-Regulatory Organizations; Nasdaq ISE, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Options 4, Section 5, “Series of Options Contracts Open for Trading” To Limit Short Term Options Series Intervals Between Strikes2021-05-24T00:00:00-07:002021-05-24T00:00:00-07:002021-10844Noticehttps://www.govinfo.gov/content/pkg/FR-2021-05-24/pdf/2021-10844.pdfhttps://regulations.justia.com/regulations/fedreg/2021/05/24/2021-10843.htmlNotice - Self-Regulatory Organizations; ICE Clear Credit LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to ICC's Fee Schedules2021-05-24T00:00:00-07:002021-05-24T00:00:00-07:002021-10843Noticehttps://www.govinfo.gov/content/pkg/FR-2021-05-24/pdf/2021-10843.pdfhttps://regulations.justia.com/regulations/fedreg/2021/05/24/2021-10842.htmlNotice - Self-Regulatory Organizations; Cboe BZX Exchange, Inc.; Order Approving a Proposed Rule Change To Extend the Cutoff Time for Accepting on Close Orders Entered for Participation in the Exchange's Closing Auction and To Clarify Changes to the Definitions of Late-Limit-On-Close and Late-Limit-On-Open Orders2021-05-24T00:00:00-07:002021-05-24T00:00:00-07:002021-10842Noticehttps://www.govinfo.gov/content/pkg/FR-2021-05-24/pdf/2021-10842.pdfhttps://regulations.justia.com/regulations/fedreg/2021/05/24/2021-10841.htmlNotice - Self-Regulatory Organizations; The Options Clearing Corporation; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Revise The Options Clearing Corporation's Schedule of Fees2021-05-24T00:00:00-07:002021-05-24T00:00:00-07:002021-10841Noticehttps://www.govinfo.gov/content/pkg/FR-2021-05-24/pdf/2021-10841.pdfhttps://regulations.justia.com/regulations/fedreg/2021/05/24/2021-10840.htmlNotice - Self-Regulatory Organizations; ICE Clear Credit LLC; Order Approving Proposed Rule Change Relating to the ICC Risk Management Model Description2021-05-24T00:00:00-07:002021-05-24T00:00:00-07:002021-10840Noticehttps://www.govinfo.gov/content/pkg/FR-2021-05-24/pdf/2021-10840.pdfhttps://regulations.justia.com/regulations/fedreg/2021/05/21/2021-10935.htmlNotice - Sunshine Act Meeting; Cancellation2021-05-21T00:00:00-07:002021-05-21T00:00:00-07:002021-10935Noticehttps://www.govinfo.gov/content/pkg/FR-2021-05-21/pdf/2021-10935.pdfhttps://regulations.justia.com/regulations/fedreg/2021/05/21/2021-10710.htmlNotice - Self-Regulatory Organizations; The Nasdaq Stock Market LLC; Order Instituting Proceedings To Determine Whether To Approve or Disapprove a 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 Firms2021-05-21T00:00:00-07:002021-05-21T00:00:00-07:002021-10710Noticehttps://www.govinfo.gov/content/pkg/FR-2021-05-21/pdf/2021-10710.pdfhttps://regulations.justia.com/regulations/fedreg/2021/05/20/2021-10606.htmlNotice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing of Amendment No. 2 and Order Granting Accelerated Approval of a Proposed Rule Change, as Modified by Amendment No. 2, To Amend NYSE Arca Rule 5.3-E To Exempt Registered Investment Companies That List Certain Categories of the Securities Defined as Derivative and Special Purpose Securities Under NYSE Arca Rules From Having To Obtain Shareholder Approval Prior to the Issuance of Securities in Connection With Certain Acquisitions of the Stock or Assets of an Affiliated Registered Investment Company2021-05-20T00:00:00-07:002021-05-20T00:00:00-07:002021-10606Noticehttps://www.govinfo.gov/content/pkg/FR-2021-05-20/pdf/2021-10606.pdfhttps://regulations.justia.com/regulations/fedreg/2021/05/20/2021-10579.htmlNotice - Self-Regulatory Organizations; BOX Exchange LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Establish Rule 7135 (Execution and Pro Rata Priority) and Rule 8055 (Lead Market Makers)2021-05-20T00:00:00-07:002021-05-20T00:00:00-07:002021-10579Noticehttps://www.govinfo.gov/content/pkg/FR-2021-05-20/pdf/2021-10579.pdfhttps://regulations.justia.com/regulations/fedreg/2021/05/19/2021-10499.htmlNotice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To List and Trade Shares of the Putnam Focused Large Cap Growth ETF; Putnam Focused Large Cap Value ETF; Putnam Sustainable Future ETF; and Putnam Sustainable Leaders ETF2021-05-19T00:00:00-07:002021-05-19T00:00:00-07:002021-10499Noticehttps://www.govinfo.gov/content/pkg/FR-2021-05-19/pdf/2021-10499.pdfhttps://regulations.justia.com/regulations/fedreg/2021/05/19/2021-10498.htmlNotice - Self-Regulatory Organizations; ICE Clear Credit LLC; Order Approving Proposed Rule Change Relating to the ICC's Treasury Operations Policies and Procedures2021-05-19T00:00:00-07:002021-05-19T00:00:00-07:002021-10498Noticehttps://www.govinfo.gov/content/pkg/FR-2021-05-19/pdf/2021-10498.pdfhttps://regulations.justia.com/regulations/fedreg/2021/05/19/2021-10497.htmlNotice - Self-Regulatory Organizations; Nasdaq PHLX LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Options 6, Section 72021-05-19T00:00:00-07:002021-05-19T00:00:00-07:002021-10497Noticehttps://www.govinfo.gov/content/pkg/FR-2021-05-19/pdf/2021-10497.pdfhttps://regulations.justia.com/regulations/fedreg/2021/05/19/2021-10496.htmlNotice - Self-Regulatory Organizations; Cboe EDGX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the Fee Schedule2021-05-19T00:00:00-07:002021-05-19T00:00:00-07:002021-10496Noticehttps://www.govinfo.gov/content/pkg/FR-2021-05-19/pdf/2021-10496.pdfhttps://regulations.justia.com/regulations/fedreg/2021/05/19/2021-10495.htmlNotice - Self-Regulatory Organizations; The Nasdaq Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Extend the Implementation Date of Its Nasdaq Opening Cross Enhancements to the End of Q2 20212021-05-19T00:00:00-07:002021-05-19T00:00:00-07:002021-10495Noticehttps://www.govinfo.gov/content/pkg/FR-2021-05-19/pdf/2021-10495.pdfhttps://regulations.justia.com/regulations/fedreg/2021/05/18/2021-10392.htmlNotice - Self-Regulatory Organizations; National Securities Clearing Corporation; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Make Clarifications, Corrections and Certain Other Changes to the NSCC Rules & Procedures2021-05-18T00:00:00-07:002021-05-18T00:00:00-07:002021-10392Noticehttps://www.govinfo.gov/content/pkg/FR-2021-05-18/pdf/2021-10392.pdfhttps://regulations.justia.com/regulations/fedreg/2021/05/18/2021-10391.htmlNotice - Order Granting Application by Nasdaq PHLX LLC for an Exemption Pursuant to Section 36(a) of the Exchange Act From the Rule Filing Requirements of Section 19(b) of the Exchange Act With Respect to Certain Rules Incorporated by Reference2021-05-18T00:00:00-07:002021-05-18T00:00:00-07:002021-10391Noticehttps://www.govinfo.gov/content/pkg/FR-2021-05-18/pdf/2021-10391.pdfhttps://regulations.justia.com/regulations/fedreg/2021/05/18/2021-10390.htmlNotice - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing of a Proposed Rule Change To Adopt a Supplemental Liquidity Schedule, and Instructions Thereto, Pursuant to FINRA Rule 4524 (Supplemental FOCUS Information)2021-05-18T00:00:00-07:002021-05-18T00:00:00-07:002021-10390Noticehttps://www.govinfo.gov/content/pkg/FR-2021-05-18/pdf/2021-10390.pdfhttps://regulations.justia.com/regulations/fedreg/2021/05/18/2021-10389.htmlNotice - Self-Regulatory Organizations; Cboe BZX Exchange, Inc.; Notice of Filing of a Proposed Rule Change To Exclude a National Best Bid or Offer From the Calculation of the BZX Official Closing Price, as Provided in Rule 11.23(c)(2)(B)(ii)(b), That Is Outside the Bands Provided Under the Plan To Address Extraordinary Market Volatility2021-05-18T00:00:00-07:002021-05-18T00:00:00-07:002021-10389Noticehttps://www.govinfo.gov/content/pkg/FR-2021-05-18/pdf/2021-10389.pdfhttps://regulations.justia.com/regulations/fedreg/2021/05/18/2021-10388.htmlNotice - Self-Regulatory Organizations; The Nasdaq Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Allow Broker-Dealers That Purchase the Nasdaq Basic Enterprise License at Equity 7, Section 147(b)(5) to Distribute Nasdaq Last Sale (“NLS”) to the General Investing Public2021-05-18T00:00:00-07:002021-05-18T00:00:00-07:002021-10388Noticehttps://www.govinfo.gov/content/pkg/FR-2021-05-18/pdf/2021-10388.pdfhttps://regulations.justia.com/regulations/fedreg/2021/05/18/2021-10387.htmlNotice - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Withdrawal of a Proposed Rule Change To Amend Section 102.04 of the NYSE Listed Company Manual To Establish Limits on Investments in Unregistered Investment Vehicles by Listed Closed End Funds2021-05-18T00:00:00-07:002021-05-18T00:00:00-07:002021-10387Noticehttps://www.govinfo.gov/content/pkg/FR-2021-05-18/pdf/2021-10387.pdfhttps://regulations.justia.com/regulations/fedreg/2021/05/18/2021-10386.htmlNotice - Self-Regulatory Organizations; Nasdaq BX, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Delay the Implementation of BX's Request for PRISM2021-05-18T00:00:00-07:002021-05-18T00:00:00-07:002021-10386Noticehttps://www.govinfo.gov/content/pkg/FR-2021-05-18/pdf/2021-10386.pdfhttps://regulations.justia.com/regulations/fedreg/2021/05/18/2021-10385.htmlNotice - Self-Regulatory Organizations; NYSE National, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Continue Offering Certain Connectivity Services That Have Been Suspended by the Securities and Exchange Commission2021-05-18T00:00:00-07:002021-05-18T00:00:00-07:002021-10385Noticehttps://www.govinfo.gov/content/pkg/FR-2021-05-18/pdf/2021-10385.pdfhttps://regulations.justia.com/regulations/fedreg/2021/05/18/2021-10383.htmlNotice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Continue Offering Certain Connectivity Services That Have Been Suspended by the Securities and Exchange Commission2021-05-18T00:00:00-07:002021-05-18T00:00:00-07:002021-10383Noticehttps://www.govinfo.gov/content/pkg/FR-2021-05-18/pdf/2021-10383.pdfhttps://regulations.justia.com/regulations/fedreg/2021/05/18/2021-10382.htmlNotice - Self-Regulatory Organizations; NYSE American LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Continue Offering Certain Connectivity Services That Have Been Suspended by the Securities and Exchange Commission2021-05-18T00:00:00-07:002021-05-18T00:00:00-07:002021-10382Noticehttps://www.govinfo.gov/content/pkg/FR-2021-05-18/pdf/2021-10382.pdfhttps://regulations.justia.com/regulations/fedreg/2021/05/18/2021-10381.htmlNotice - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Continue Offering Certain Connectivity Services That Have Been Suspended by the Securities and Exchange Commission2021-05-18T00:00:00-07:002021-05-18T00:00:00-07:002021-10381Noticehttps://www.govinfo.gov/content/pkg/FR-2021-05-18/pdf/2021-10381.pdfhttps://regulations.justia.com/regulations/fedreg/2021/05/18/2021-10380.htmlNotice - Self-Regulatory Organizations; MIAX PEARL, LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the MIAX Pearl Fee Schedule To Remove the Cap on the Number of Additional Limited Service Ports Available to Market Makers2021-05-18T00:00:00-07:002021-05-18T00:00:00-07:002021-10380Noticehttps://www.govinfo.gov/content/pkg/FR-2021-05-18/pdf/2021-10380.pdfhttps://regulations.justia.com/regulations/fedreg/2021/05/18/2021-10379.htmlNotice - Self-Regulatory Organizations; Miami International Securities Exchange, LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Its Fee Schedule To Remove the Cap on the Number of Additional Limited Service Ports Available to Market Makers2021-05-18T00:00:00-07:002021-05-18T00:00:00-07:002021-10379Noticehttps://www.govinfo.gov/content/pkg/FR-2021-05-18/pdf/2021-10379.pdfhttps://regulations.justia.com/regulations/fedreg/2021/05/17/2021-10457.htmlNotice - Sunshine Act Meetings2021-05-17T00:00:00-07:002021-05-17T00:00:00-07:002021-10457Noticehttps://www.govinfo.gov/content/pkg/FR-2021-05-17/pdf/2021-10457.pdfhttps://regulations.justia.com/regulations/fedreg/2021/05/17/2021-10340.htmlNotice - Delaware Wilshire Private Markets Master Fund, et al.; Notice of Application2021-05-17T00:00:00-07:002021-05-17T00:00:00-07:002021-10340Noticehttps://www.govinfo.gov/content/pkg/FR-2021-05-17/pdf/2021-10340.pdfhttps://regulations.justia.com/regulations/fedreg/2021/05/17/2021-10319.htmlNotice - Submission for OMB Review; Comment Request2021-05-17T00:00:00-07:002021-05-17T00:00:00-07:002021-10319Noticehttps://www.govinfo.gov/content/pkg/FR-2021-05-17/pdf/2021-10319.pdfhttps://regulations.justia.com/regulations/fedreg/2021/05/17/2021-10316.htmlNotice - Submission for OMB Review; Comment Request2021-05-17T00:00:00-07:002021-05-17T00:00:00-07:002021-10316Noticehttps://www.govinfo.gov/content/pkg/FR-2021-05-17/pdf/2021-10316.pdfhttps://regulations.justia.com/regulations/fedreg/2021/05/17/2021-10278.htmlNotice - Self-Regulatory Organizations; The Nasdaq Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Temporarily Suspend Publication on Certain Proprietary Data Feeds2021-05-17T00:00:00-07:002021-05-17T00:00:00-07:002021-10278Noticehttps://www.govinfo.gov/content/pkg/FR-2021-05-17/pdf/2021-10278.pdfhttps://regulations.justia.com/regulations/fedreg/2021/05/17/2021-10277.htmlNotice - Self-Regulatory Organizations; ICE Clear Credit LLC; Order Approving Proposed Rule Change Relating to the ICC Clearing Rules and ICC Exercise Procedures2021-05-17T00:00:00-07:002021-05-17T00:00:00-07:002021-10277Noticehttps://www.govinfo.gov/content/pkg/FR-2021-05-17/pdf/2021-10277.pdfhttps://regulations.justia.com/regulations/fedreg/2021/05/17/2021-10276.htmlNotice - Self-Regulatory Organizations; Nasdaq PHLX LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Various Phlx Listing Rules Related to Bid/Ask Differentials for Long-Term Options Series2021-05-17T00:00:00-07:002021-05-17T00:00:00-07:002021-10276Noticehttps://www.govinfo.gov/content/pkg/FR-2021-05-17/pdf/2021-10276.pdfhttps://regulations.justia.com/regulations/fedreg/2021/05/17/2021-10275.htmlNotice - Self-Regulatory Organizations; Cboe BZX Exchange, Inc.; Order Instituting Proceedings To Determine Whether To Approve or Disapprove a Proposed Rule Change To Allow Invesco Focused Discovery Growth ETF and Invesco Select Growth ETF To Strike and Publish Multiple Intraday Net Asset Values2021-05-17T00:00:00-07:002021-05-17T00:00:00-07:002021-10275Noticehttps://www.govinfo.gov/content/pkg/FR-2021-05-17/pdf/2021-10275.pdfhttps://regulations.justia.com/regulations/fedreg/2021/05/17/2021-10274.htmlNotice - Self-Regulatory Organizations; The Nasdaq Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the Nasdaq Options Market LLC Rules at Options 3, Section 7, Types of Orders and Order and Quote Protocols, and Options 3, Section 15, Risk Protections2021-05-17T00:00:00-07:002021-05-17T00:00:00-07:002021-10274Noticehttps://www.govinfo.gov/content/pkg/FR-2021-05-17/pdf/2021-10274.pdfhttps://regulations.justia.com/regulations/fedreg/2021/05/17/2021-10273.htmlNotice - Self-Regulatory Organizations; Nasdaq BX, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend BX Rules at Options 3, Section 7, Types of Orders and Order and Quote Protocols, and Options 3, Section 15, Risk Protections2021-05-17T00:00:00-07:002021-05-17T00:00:00-07:002021-10273Noticehttps://www.govinfo.gov/content/pkg/FR-2021-05-17/pdf/2021-10273.pdfhttps://regulations.justia.com/regulations/fedreg/2021/05/17/2021-10272.htmlNotice - Self-Regulatory Organizations; BOX Exchange LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the Fee Schedule on the BOX Options Market LLC Facility To Establish a Policy Relating to Billing Errors2021-05-17T00:00:00-07:002021-05-17T00:00:00-07:002021-10272Noticehttps://www.govinfo.gov/content/pkg/FR-2021-05-17/pdf/2021-10272.pdfhttps://regulations.justia.com/regulations/fedreg/2021/05/17/2021-10164.htmlProposed Rule - Performance-Based Investment Advisory Fees2021-05-17T00:00:00-07:002021-05-17T00:00:00-07:002021-10164Proposed Rulehttps://www.govinfo.gov/content/pkg/FR-2021-05-17/pdf/2021-10164.pdfhttps://regulations.justia.com/regulations/fedreg/2021/05/14/2021-10187.htmlNotice - Self-Regulatory Organizations; The Options Clearing Corporation; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Concerning The Options Clearing Corporation's Synthetic Futures Model2021-05-14T00:00:00-07:002021-05-14T00:00:00-07:002021-10187Noticehttps://www.govinfo.gov/content/pkg/FR-2021-05-14/pdf/2021-10187.pdfhttps://regulations.justia.com/regulations/fedreg/2021/05/14/2021-10178.htmlNotice - Self-Regulatory Organizations; Cboe BZX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Its Fee Schedule2021-05-14T00:00:00-07:002021-05-14T00:00:00-07:002021-10178Noticehttps://www.govinfo.gov/content/pkg/FR-2021-05-14/pdf/2021-10178.pdfhttps://regulations.justia.com/regulations/fedreg/2021/05/14/2021-10176.htmlNotice - Self-Regulatory Organizations; Nasdaq BX, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Relocate Its Equity and General Rules From Its Current Rulebook Into Its New Rulebook Shell2021-05-14T00:00:00-07:002021-05-14T00:00:00-07:002021-10176Noticehttps://www.govinfo.gov/content/pkg/FR-2021-05-14/pdf/2021-10176.pdfhttps://regulations.justia.com/regulations/fedreg/2021/05/14/2021-10175.htmlNotice - Self-Regulatory Organizations; National Securities Clearing Corporation; Notice of Filing of Proposed Rule Change To Increase the National Securities Clearing Corporation's Minimum Required Fund Deposit2021-05-14T00:00:00-07:002021-05-14T00:00:00-07:002021-10175Noticehttps://www.govinfo.gov/content/pkg/FR-2021-05-14/pdf/2021-10175.pdfhttps://regulations.justia.com/regulations/fedreg/2021/05/14/2021-10174.htmlNotice - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Designation of a Longer Period for Commission Action on Proceedings To Determine Whether To Approve or Disapprove a Proposed Rule Change, as Modified by Amendment No. 2, To Amend Rule 7.35C2021-05-14T00:00:00-07:002021-05-14T00:00:00-07:002021-10174Noticehttps://www.govinfo.gov/content/pkg/FR-2021-05-14/pdf/2021-10174.pdfhttps://regulations.justia.com/regulations/fedreg/2021/05/14/2021-10173.htmlNotice - Self-Regulatory Organizations; ICE Clear Credit LLC; Order Approving Proposed Rule Change Relating to the ICC Recovery Plan and the ICC Wind-Down Plan2021-05-14T00:00:00-07:002021-05-14T00:00:00-07:002021-10173Noticehttps://www.govinfo.gov/content/pkg/FR-2021-05-14/pdf/2021-10173.pdfhttps://regulations.justia.com/regulations/fedreg/2021/05/14/2021-10172.htmlNotice - Self-Regulatory Organizations; Cboe BYX Exchange, Inc.; Notice of Filing of a Proposed Rule Change Relating to the Exchange's Process for Re-Opening Securities Listed on Other National Securities Exchanges Following the Resumption of Trading After a Halt, Suspension, or Pause During the Early Trading Session, Pre-Opening Session, or After Hours Trading Session2021-05-14T00:00:00-07:002021-05-14T00:00:00-07:002021-10172Noticehttps://www.govinfo.gov/content/pkg/FR-2021-05-14/pdf/2021-10172.pdfhttps://regulations.justia.com/regulations/fedreg/2021/05/14/2021-10171.htmlNotice - Self-Regulatory Organizations; Cboe EDGX Exchange, Inc.; Notice of Filing of a Proposed Rule Change Relating to the Exchange's Process for Re-Opening Securities Listed on Other National Securities Exchanges Following the Resumption of Trading After a Halt, Suspension, or Pause During the Early Trading Session, Pre-Opening Session, or Post-Closing Session2021-05-14T00:00:00-07:002021-05-14T00:00:00-07:002021-10171Noticehttps://www.govinfo.gov/content/pkg/FR-2021-05-14/pdf/2021-10171.pdfhttps://regulations.justia.com/regulations/fedreg/2021/05/14/2021-10170.htmlNotice - Self-Regulatory Organizations; Cboe EDGA Exchange, Inc.; Notice of Filing of a Proposed Rule Change Relating to the Exchange's Process for Re-Opening Securities Listed on Other National Securities Exchanges Following the Resumption of Trading After a Halt, Suspension, or Pause During the Early Trading Session, Pre-Opening Session, or Post-Closing Session2021-05-14T00:00:00-07:002021-05-14T00:00:00-07:002021-10170Noticehttps://www.govinfo.gov/content/pkg/FR-2021-05-14/pdf/2021-10170.pdfhttps://regulations.justia.com/regulations/fedreg/2021/05/14/2021-10169.htmlNotice - Self-Regulatory Organizations; Cboe BZX Exchange, Inc.; Notice of Filing of a Proposed Rule Change Relating to the Exchange's Process for Re-Opening Securities Listed on Other National Securities Exchanges Following the Resumption of Trading After a Halt, Suspension, or Pause During the Early Trading Session, Pre-Opening Session, or After Hours Trading Session2021-05-14T00:00:00-07:002021-05-14T00:00:00-07:002021-10169Noticehttps://www.govinfo.gov/content/pkg/FR-2021-05-14/pdf/2021-10169.pdfhttps://regulations.justia.com/regulations/fedreg/2021/05/14/2021-10159.htmlNotice - Teachers Insurance and Annuity Association of America, et al.2021-05-14T00:00:00-07:002021-05-14T00:00:00-07:002021-10159Noticehttps://www.govinfo.gov/content/pkg/FR-2021-05-14/pdf/2021-10159.pdfhttps://regulations.justia.com/regulations/fedreg/2021/05/13/2021-10056.htmlNotice - Self-Regulatory Organizations; New York Stock Exchange LLC, NYSE American LLC, NYSE Arca, Inc., NYSE Chicago, Inc., and NYSE National, Inc.; Suspension of and Order Instituting Proceedings To Determine Whether To Approve or Disapprove Proposed Rule Changes To Amend the Fee Schedules Related to Co-Location2021-05-13T00:00:00-07:002021-05-13T00:00:00-07:002021-10056Noticehttps://www.govinfo.gov/content/pkg/FR-2021-05-13/pdf/2021-10056.pdfhttps://regulations.justia.com/regulations/fedreg/2021/05/12/2021-10065.htmlNotice - Security-Based Swap Data Repositories; DTCC Data Repository (U.S.), LLC; Order Approving Application for Registration as a Security-Based Swap Data Repository2021-05-12T00:00:00-07:002021-05-12T00:00:00-07:002021-10065Noticehttps://www.govinfo.gov/content/pkg/FR-2021-05-12/pdf/2021-10065.pdfhttps://regulations.justia.com/regulations/fedreg/2021/05/12/2021-10057.htmlNotice - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Designation of a Longer Period for Commission Action on Proceedings To Determine Whether To Approve or Disapprove a Proposed Rule Change, as Modified by Partial Amendment No. 1, To Amend Rules 7.35 and 7.35A2021-05-12T00:00:00-07:002021-05-12T00:00:00-07:002021-10057Noticehttps://www.govinfo.gov/content/pkg/FR-2021-05-12/pdf/2021-10057.pdfhttps://regulations.justia.com/regulations/fedreg/2021/05/12/2021-10055.htmlNotice - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing of a Proposed Rule Change Relating to Security-Based Swaps2021-05-12T00:00:00-07:002021-05-12T00:00:00-07:002021-10055Noticehttps://www.govinfo.gov/content/pkg/FR-2021-05-12/pdf/2021-10055.pdfhttps://regulations.justia.com/regulations/fedreg/2021/05/12/2021-10054.htmlNotice - Self-Regulatory Organizations; National Securities Clearing Corporation; Notice of Designation of Longer Period for Commission Action and Longer Period for Comment on Proposed Rule Change To Amend the Supplemental Liquidity Deposit Requirements2021-05-12T00:00:00-07:002021-05-12T00:00:00-07:002021-10054Noticehttps://www.govinfo.gov/content/pkg/FR-2021-05-12/pdf/2021-10054.pdfhttps://regulations.justia.com/regulations/fedreg/2021/05/12/2021-09975.htmlNotice - Self-Regulatory Organizations; MIAX Emerald, LLC; Order Approving Proposed Rule Change To Adopt Exchange Rule 531(a), Reports, To Provide for a New “Liquidity Taker Event Report”2021-05-12T00:00:00-07:002021-05-12T00:00:00-07:002021-09975Noticehttps://www.govinfo.gov/content/pkg/FR-2021-05-12/pdf/2021-09975.pdfhttps://regulations.justia.com/regulations/fedreg/2021/05/12/2021-09974.htmlNotice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Withdrawal of a Proposed Rule Change To List and Trade the Shares of the Teucrium Water Fund Under NYSE Arca Rule 8.200-E, Commentary .022021-05-12T00:00:00-07:002021-05-12T00:00:00-07:002021-09974Noticehttps://www.govinfo.gov/content/pkg/FR-2021-05-12/pdf/2021-09974.pdfhttps://regulations.justia.com/regulations/fedreg/2021/05/12/2021-09971.htmlNotice - Self-Regulatory Organizations; New York Stock Exchange LLC, NYSE American LLC, NYSE Arca, Inc., NYSE Chicago, Inc., and NYSE National, Inc.; Order Instituting Proceedings To Determine Whether To Approve or Disapprove Proposed Rule Changes To Amend the Exchange's Price List Related to Co-Location To Establish Two Additional Partial Cabinet Solution Bundles2021-05-12T00:00:00-07:002021-05-12T00:00:00-07:002021-09971Noticehttps://www.govinfo.gov/content/pkg/FR-2021-05-12/pdf/2021-09971.pdfhttps://regulations.justia.com/regulations/fedreg/2021/05/12/2021-09970.htmlNotice - Self-Regulatory Organizations; Cboe EDGA Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the Fee Schedule2021-05-12T00:00:00-07:002021-05-12T00:00:00-07:002021-09970Noticehttps://www.govinfo.gov/content/pkg/FR-2021-05-12/pdf/2021-09970.pdfhttps://regulations.justia.com/regulations/fedreg/2021/05/12/2021-09969.htmlNotice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing of a Proposed Rule Change To List and Trade Shares of the Valkyrie Bitcoin Fund Under NYSE Arca Rule 8.201-E2021-05-12T00:00:00-07:002021-05-12T00:00:00-07:002021-09969Noticehttps://www.govinfo.gov/content/pkg/FR-2021-05-12/pdf/2021-09969.pdfhttps://regulations.justia.com/regulations/fedreg/2021/05/11/2021-09900.htmlNotice - Proposed Collection; Comment Request2021-05-11T00:00:00-07:002021-05-11T00:00:00-07:002021-09900Noticehttps://www.govinfo.gov/content/pkg/FR-2021-05-11/pdf/2021-09900.pdfhttps://regulations.justia.com/regulations/fedreg/2021/05/11/2021-09890.htmlNotice - Self-Regulatory Organizations; Cboe Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating To Extend the Operation of Its Flexible Exchange Options (“FLEX Options”) Pilot Program Regarding Permissible Exercise Settlement Values for FLEX Index Options2021-05-11T00:00:00-07:002021-05-11T00:00:00-07:002021-09890Noticehttps://www.govinfo.gov/content/pkg/FR-2021-05-11/pdf/2021-09890.pdfhttps://regulations.justia.com/regulations/fedreg/2021/05/11/2021-09889.htmlNotice - Self-Regulatory Organizations; Nasdaq PHLX LLC; Notice of Filing of Amendment Nos. 1 and 2 and Order Granting Accelerated Approval of a Proposed Rule Change, as Modified by Amendment Nos. 1 and 2, To List and Trade Options on a Nasdaq-100 Volatility Index2021-05-11T00:00:00-07:002021-05-11T00:00:00-07:002021-09889Noticehttps://www.govinfo.gov/content/pkg/FR-2021-05-11/pdf/2021-09889.pdfhttps://regulations.justia.com/regulations/fedreg/2021/05/11/2021-09888.htmlNotice - Self-Regulatory Organizations; NYSE Arca, Inc.; Order Granting Approval of a Proposed Rule Change, as Modified by Amendment No. 1, To Amend NYSE Arca Rule 6.86-O To Eliminate the Use of Dark Series on the Exchange2021-05-11T00:00:00-07:002021-05-11T00:00:00-07:002021-09888Noticehttps://www.govinfo.gov/content/pkg/FR-2021-05-11/pdf/2021-09888.pdfhttps://regulations.justia.com/regulations/fedreg/2021/05/11/2021-09887.htmlNotice - Self-Regulatory Organizations; NYSE American, LLC.; Order Granting Approval of a Proposed Rule Change, as Modified by Amendment No. 1, To Amend Rule 970NY and Rule 970.1NY To Eliminate the Use of Dark Series on the Exchange2021-05-11T00:00:00-07:002021-05-11T00:00:00-07:002021-09887Noticehttps://www.govinfo.gov/content/pkg/FR-2021-05-11/pdf/2021-09887.pdfhttps://regulations.justia.com/regulations/fedreg/2021/05/11/2021-09886.htmlNotice - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Extend the Temporary Period for Specified Commentaries to Rules 7.35, 7.35A, 7.35B, and 7.35C and Temporary Rule Relief in Rule 36.302021-05-11T00:00:00-07:002021-05-11T00:00:00-07:002021-09886Noticehttps://www.govinfo.gov/content/pkg/FR-2021-05-11/pdf/2021-09886.pdfhttps://regulations.justia.com/regulations/fedreg/2021/05/11/2021-09885.htmlNotice - Self-Regulatory Organizations; MIAX PEARL, LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Exchange Rule 404 To Limit Short Term Options Series Intervals Between Strikes2021-05-11T00:00:00-07:002021-05-11T00:00:00-07:002021-09885Noticehttps://www.govinfo.gov/content/pkg/FR-2021-05-11/pdf/2021-09885.pdfhttps://regulations.justia.com/regulations/fedreg/2021/05/11/2021-09884.htmlNotice - Self-Regulatory Organizations; Miami International Securities Exchange, LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Exchange Rule 404 To Limit Short Term Options Series Intervals Between Strikes2021-05-11T00:00:00-07:002021-05-11T00:00:00-07:002021-09884Noticehttps://www.govinfo.gov/content/pkg/FR-2021-05-11/pdf/2021-09884.pdfhttps://regulations.justia.com/regulations/fedreg/2021/05/11/2021-09883.htmlNotice - Self-Regulatory Organizations; ICE Clear Europe Limited; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to the ICEEU Transition of the Rates Used for Calculating Price Alignment Amounts2021-05-11T00:00:00-07:002021-05-11T00:00:00-07:002021-09883Noticehttps://www.govinfo.gov/content/pkg/FR-2021-05-11/pdf/2021-09883.pdfhttps://regulations.justia.com/regulations/fedreg/2021/05/11/2021-09882.htmlNotice - Self-Regulatory Organizations; Nasdaq BX, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Delay the Implementation of BX's Rule Amendment To Limit Short Term Options Series Intervals to July 1, 20212021-05-11T00:00:00-07:002021-05-11T00:00:00-07:002021-09882Noticehttps://www.govinfo.gov/content/pkg/FR-2021-05-11/pdf/2021-09882.pdfhttps://regulations.justia.com/regulations/fedreg/2021/05/11/2021-08759.htmlRule - Adoption of Updated EDGAR Filer Manual, Form ID Amendments2021-05-11T00:00:00-07:002021-05-11T00:00:00-07:002021-08759Rulehttps://www.govinfo.gov/content/pkg/FR-2021-05-11/pdf/2021-08759.pdfhttps://regulations.justia.com/regulations/fedreg/2021/05/10/2021-09940.htmlNotice - Sunshine Act Meeting; Cancellation2021-05-10T00:00:00-07:002021-05-10T00:00:00-07:002021-09940Noticehttps://www.govinfo.gov/content/pkg/FR-2021-05-10/pdf/2021-09940.pdfhttps://regulations.justia.com/regulations/fedreg/2021/05/10/2021-09939.htmlNotice - Sunshine Act Meetings2021-05-10T00:00:00-07:002021-05-10T00:00:00-07:002021-09939Noticehttps://www.govinfo.gov/content/pkg/FR-2021-05-10/pdf/2021-09939.pdfhttps://regulations.justia.com/regulations/fedreg/2021/05/10/2021-09788.htmlNotice - Self-Regulatory Organizations; National Securities Clearing Corporation; Notice of No Objection To Advance Notice To Amend the Supplemental Liquidity Deposit Requirements2021-05-10T00:00:00-07:002021-05-10T00:00:00-07:002021-09788Noticehttps://www.govinfo.gov/content/pkg/FR-2021-05-10/pdf/2021-09788.pdfhttps://regulations.justia.com/regulations/fedreg/2021/05/10/2021-09786.htmlNotice - Self-Regulatory Organizations; Cboe EDGX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Adopt a Fee Schedule To Establish Fees for Industry Members Related to the National Market System Plan Governing the Consolidated Audit Trail2021-05-10T00:00:00-07:002021-05-10T00:00:00-07:002021-09786Noticehttps://www.govinfo.gov/content/pkg/FR-2021-05-10/pdf/2021-09786.pdfhttps://regulations.justia.com/regulations/fedreg/2021/05/10/2021-09785.htmlNotice - Self-Regulatory Organizations; Cboe C2 Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Adopt a Fee Schedule To Establish Fees for Industry Members Related to the National Market System Plan Governing the Consolidated Audit Trail2021-05-10T00:00:00-07:002021-05-10T00:00:00-07:002021-09785Noticehttps://www.govinfo.gov/content/pkg/FR-2021-05-10/pdf/2021-09785.pdfhttps://regulations.justia.com/regulations/fedreg/2021/05/10/2021-09784.htmlNotice - Self-Regulatory Organizations; Nasdaq GEMX, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Adopt a Fee Schedule To Establish Fees for Industry Members Related to the National Market System Plan Governing the Consolidated Audit Trail2021-05-10T00:00:00-07:002021-05-10T00:00:00-07:002021-09784Noticehttps://www.govinfo.gov/content/pkg/FR-2021-05-10/pdf/2021-09784.pdfhttps://regulations.justia.com/regulations/fedreg/2021/05/10/2021-09782.htmlNotice - Self-Regulatory Organizations; Nasdaq ISE, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Adopt a Fee Schedule To Establish Fees for Industry Members Related to the National Market System Plan Governing the Consolidated Audit Trail2021-05-10T00:00:00-07:002021-05-10T00:00:00-07:002021-09782Noticehttps://www.govinfo.gov/content/pkg/FR-2021-05-10/pdf/2021-09782.pdfhttps://regulations.justia.com/regulations/fedreg/2021/05/10/2021-09781.htmlNotice - Self-Regulatory Organizations: Investors Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Allow Discretionary Limit Orders To Be Reserve Orders2021-05-10T00:00:00-07:002021-05-10T00:00:00-07:002021-09781Noticehttps://www.govinfo.gov/content/pkg/FR-2021-05-10/pdf/2021-09781.pdfhttps://regulations.justia.com/regulations/fedreg/2021/05/10/2021-09780.htmlNotice - Self-Regulatory Organizations; Nasdaq MRX, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Adopt a Fee Schedule To Establish Fees for Industry Members Related to the National Market System Plan Governing the Consolidated Audit Trail2021-05-10T00:00:00-07:002021-05-10T00:00:00-07:002021-09780Noticehttps://www.govinfo.gov/content/pkg/FR-2021-05-10/pdf/2021-09780.pdfhttps://regulations.justia.com/regulations/fedreg/2021/05/10/2021-09779.htmlNotice - Self-Regulatory Organizations; The Nasdaq Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Adopt a Fee Schedule To Establish Fees for Industry Members Related to the National Market System Plan Governing the Consolidated Audit Trail2021-05-10T00:00:00-07:002021-05-10T00:00:00-07:002021-09779Noticehttps://www.govinfo.gov/content/pkg/FR-2021-05-10/pdf/2021-09779.pdfhttps://regulations.justia.com/regulations/fedreg/2021/05/10/2021-09778.htmlNotice - Self-Regulatory Organizations; Nasdaq PHLX LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Adopt a Fee Schedule To Establish Fees for Industry Members Related to the National Market System Plan Governing the Consolidated Audit Trail2021-05-10T00:00:00-07:002021-05-10T00:00:00-07:002021-09778Noticehttps://www.govinfo.gov/content/pkg/FR-2021-05-10/pdf/2021-09778.pdfhttps://regulations.justia.com/regulations/fedreg/2021/05/10/2021-09777.htmlNotice - Self-Regulatory Organizations; Nasdaq BX, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Adopt a Fee Schedule To Establish Fees for Industry Members Related to the National Market System Plan Governing the Consolidated Audit Trail2021-05-10T00:00:00-07:002021-05-10T00:00:00-07:002021-09777Noticehttps://www.govinfo.gov/content/pkg/FR-2021-05-10/pdf/2021-09777.pdfhttps://regulations.justia.com/regulations/fedreg/2021/05/10/2021-09776.htmlNotice - Self-Regulatory Organizations; MEMX LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Related to the Handling of Displayed Odd Lot Orders and Non-Displayed Orders That Become Locked or Crossed2021-05-10T00:00:00-07:002021-05-10T00:00:00-07:002021-09776Noticehttps://www.govinfo.gov/content/pkg/FR-2021-05-10/pdf/2021-09776.pdfhttps://regulations.justia.com/regulations/fedreg/2021/05/10/2021-09775.htmlNotice - Self-Regulatory Organizations; New York Stock Exchange LLC; Order Granting Approval of a Proposed Rule Change of New Rules Providing for the Registration and Obligations of Non-DMM Market Makers2021-05-10T00:00:00-07:002021-05-10T00:00:00-07:002021-09775Noticehttps://www.govinfo.gov/content/pkg/FR-2021-05-10/pdf/2021-09775.pdfhttps://regulations.justia.com/regulations/fedreg/2021/05/10/2021-09774.htmlNotice - Self-Regulatory Organizations; Cboe Exchange, Inc.; Notice of Filing of a Proposed Rule Change To Increase Position Limits for Options on Certain Exchange-Traded Funds and an Exchange-Traded Note2021-05-10T00:00:00-07:002021-05-10T00:00:00-07:002021-09774Noticehttps://www.govinfo.gov/content/pkg/FR-2021-05-10/pdf/2021-09774.pdfhttps://regulations.justia.com/regulations/fedreg/2021/05/10/2021-09773.htmlNotice - Self-Regulatory Organizations; Nasdaq PHLX LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Extend the Expiration Date of the Temporary Amendments Concerning Video Conference Hearings2021-05-10T00:00:00-07:002021-05-10T00:00:00-07:002021-09773Noticehttps://www.govinfo.gov/content/pkg/FR-2021-05-10/pdf/2021-09773.pdfhttps://regulations.justia.com/regulations/fedreg/2021/05/10/2021-09772.htmlNotice - Self-Regulatory Organizations; Nasdaq MRX, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Extend the Expiration Date of the Temporary Amendments Concerning Video Conference Hearings2021-05-10T00:00:00-07:002021-05-10T00:00:00-07:002021-09772Noticehttps://www.govinfo.gov/content/pkg/FR-2021-05-10/pdf/2021-09772.pdfhttps://regulations.justia.com/regulations/fedreg/2021/05/10/2021-09771.htmlNotice - Self-Regulatory Organizations; Nasdaq GEMX, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Extend the Expiration Date of the Temporary Amendments Concerning Video Conference Hearings2021-05-10T00:00:00-07:002021-05-10T00:00:00-07:002021-09771Noticehttps://www.govinfo.gov/content/pkg/FR-2021-05-10/pdf/2021-09771.pdfhttps://regulations.justia.com/regulations/fedreg/2021/05/10/2021-09770.htmlNotice - Self-Regulatory Organizations; The Nasdaq Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Extend the Expiration Date of the Temporary Amendments Concerning Video Conference Hearings2021-05-10T00:00:00-07:002021-05-10T00:00:00-07:002021-09770Noticehttps://www.govinfo.gov/content/pkg/FR-2021-05-10/pdf/2021-09770.pdfhttps://regulations.justia.com/regulations/fedreg/2021/05/10/2021-09769.htmlNotice - Self-Regulatory Organizations; Cboe BZX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Adopt a Fee Schedule To Establish Fees for Industry Members Related to the National Market System Plan Governing the Consolidated Audit Trail2021-05-10T00:00:00-07:002021-05-10T00:00:00-07:002021-09769Noticehttps://www.govinfo.gov/content/pkg/FR-2021-05-10/pdf/2021-09769.pdfhttps://regulations.justia.com/regulations/fedreg/2021/05/10/2021-09768.htmlNotice - Self-Regulatory Organizations; Cboe BYX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Adopt a Fee Schedule to Establish Fees for Industry Members Related to the National Market System Plan Governing the Consolidated Audit Trail2021-05-10T00:00:00-07:002021-05-10T00:00:00-07:002021-09768Noticehttps://www.govinfo.gov/content/pkg/FR-2021-05-10/pdf/2021-09768.pdfhttps://regulations.justia.com/regulations/fedreg/2021/05/10/2021-09767.htmlNotice - Self-Regulatory Organizations; Cboe Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Adopt a Fee Schedule to Establish Fees for Industry Members Related to the National Market System Plan Governing the Consolidated Audit Trail2021-05-10T00:00:00-07:002021-05-10T00:00:00-07:002021-09767Noticehttps://www.govinfo.gov/content/pkg/FR-2021-05-10/pdf/2021-09767.pdfhttps://regulations.justia.com/regulations/fedreg/2021/05/10/2021-09766.htmlNotice - Self-Regulatory Organizations; Cboe EDGA Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Adopt a Fee Schedule To Establish Fees for Industry Members Related to the National Market System Plan Governing the Consolidated Audit Trail2021-05-10T00:00:00-07:002021-05-10T00:00:00-07:002021-09766Noticehttps://www.govinfo.gov/content/pkg/FR-2021-05-10/pdf/2021-09766.pdfhttps://regulations.justia.com/regulations/fedreg/2021/05/07/2021-09650.htmlNotice - Trinity Capital, Inc.2021-05-07T00:00:00-07:002021-05-07T00:00:00-07:002021-09650Noticehttps://www.govinfo.gov/content/pkg/FR-2021-05-07/pdf/2021-09650.pdfhttps://regulations.justia.com/regulations/fedreg/2021/05/07/2021-09646.htmlNotice - Self-Regulatory Organizations; The Nasdaq Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Connectivity, Surveillance and Risk Management Services and Fees2021-05-07T00:00:00-07:002021-05-07T00:00:00-07:002021-09646Noticehttps://www.govinfo.gov/content/pkg/FR-2021-05-07/pdf/2021-09646.pdfhttps://regulations.justia.com/regulations/fedreg/2021/05/07/2021-09645.htmlNotice - Self-Regulatory Organizations; Miami International Securities Exchange, LLC: Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the Exchange's Rulebook and Fee Schedule To Reflect a Rebranding of the Exchange's Affiliate, MIAX PEARL, LLC (“MIAX Pearl”)2021-05-07T00:00:00-07:002021-05-07T00:00:00-07:002021-09645Noticehttps://www.govinfo.gov/content/pkg/FR-2021-05-07/pdf/2021-09645.pdfhttps://regulations.justia.com/regulations/fedreg/2021/05/07/2021-09644.htmlNotice - Self-Regulatory Organizations; MIAX Emerald, LLC: Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the Exchange's Rulebook and Fee Schedule To Reflect a Rebranding of the Exchange's Affiliate, MIAX PEARL, LLC (“MIAX Pearl”)2021-05-07T00:00:00-07:002021-05-07T00:00:00-07:002021-09644Noticehttps://www.govinfo.gov/content/pkg/FR-2021-05-07/pdf/2021-09644.pdfhttps://regulations.justia.com/regulations/fedreg/2021/05/07/2021-09643.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 Procedures2021-05-07T00:00:00-07:002021-05-07T00:00:00-07:002021-09643Noticehttps://www.govinfo.gov/content/pkg/FR-2021-05-07/pdf/2021-09643.pdfhttps://regulations.justia.com/regulations/fedreg/2021/05/06/2021-09528.htmlNotice - Self-Regulatory Organizations; ICE Clear Credit LLC; Notice of Filing of Proposed Rule Change Relating to the ICC End-of-Day Price Discovery Policies and Procedures2021-05-06T00:00:00-07:002021-05-06T00:00:00-07:002021-09528Noticehttps://www.govinfo.gov/content/pkg/FR-2021-05-06/pdf/2021-09528.pdfhttps://regulations.justia.com/regulations/fedreg/2021/05/06/2021-09527.htmlNotice - Self-Regulatory Organizations; The Nasdaq Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Extend the Effective Date of the Temporary Amendments Concerning Exchange Rule 1210 From April 30, 2021, to June 30, 20212021-05-06T00:00:00-07:002021-05-06T00:00:00-07:002021-09527Noticehttps://www.govinfo.gov/content/pkg/FR-2021-05-06/pdf/2021-09527.pdfhttps://regulations.justia.com/regulations/fedreg/2021/05/06/2021-09526.htmlNotice - Self-Regulatory Organizations; The Depository Trust Company; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Update the DTC Corporate Actions Distributions Service Guide2021-05-06T00:00:00-07:002021-05-06T00:00:00-07:002021-09526Noticehttps://www.govinfo.gov/content/pkg/FR-2021-05-06/pdf/2021-09526.pdfhttps://regulations.justia.com/regulations/fedreg/2021/05/06/2021-09524.htmlNotice - Notice of Applications for Deregistration Under Section 8(f) of the Investment Company Act of 19402021-05-06T00:00:00-07:002021-05-06T00:00:00-07:002021-09524Noticehttps://www.govinfo.gov/content/pkg/FR-2021-05-06/pdf/2021-09524.pdfhttps://regulations.justia.com/regulations/fedreg/2021/05/06/2021-08301.htmlProposed Rule - Reopening of Comment Period for Universal Proxy2021-05-06T00:00:00-07:002021-05-06T00:00:00-07:002021-08301Proposed Rulehttps://www.govinfo.gov/content/pkg/FR-2021-05-06/pdf/2021-08301.pdfhttps://regulations.justia.com/regulations/fedreg/2021/05/05/2021-09552.htmlNotice - Sunshine Act Meeting; Date Change2021-05-05T00:00:00-07:002021-05-05T00:00:00-07:002021-09552Noticehttps://www.govinfo.gov/content/pkg/FR-2021-05-05/pdf/2021-09552.pdfhttps://regulations.justia.com/regulations/fedreg/2021/05/05/2021-09450.htmlNotice - Self-Regulatory Organizations; NYSE Chicago, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending the Fee Schedule of NYSE Chicago, Inc.2021-05-05T00:00:00-07:002021-05-05T00:00:00-07:002021-09450Noticehttps://www.govinfo.gov/content/pkg/FR-2021-05-05/pdf/2021-09450.pdfhttps://regulations.justia.com/regulations/fedreg/2021/05/05/2021-09449.htmlNotice - Self-Regulatory Organizations; NYSE National, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending NYSE National, Inc.'s Price List2021-05-05T00:00:00-07:002021-05-05T00:00:00-07:002021-09449Noticehttps://www.govinfo.gov/content/pkg/FR-2021-05-05/pdf/2021-09449.pdfhttps://regulations.justia.com/regulations/fedreg/2021/05/05/2021-09448.htmlNotice - Self-Regulatory Organizations; Cboe BYX Exchange, Inc.; Notice of Filing of a Proposed Rule Change To Amend the Sixth Amended and Restated Bylaws of Cboe BYX Exchange, Inc.'s Parent Corporation, Cboe Global Markets, Inc. To Implement Proxy Access2021-05-05T00:00:00-07:002021-05-05T00:00:00-07:002021-09448Noticehttps://www.govinfo.gov/content/pkg/FR-2021-05-05/pdf/2021-09448.pdfhttps://regulations.justia.com/regulations/fedreg/2021/05/05/2021-09447.htmlNotice - Self-Regulatory Organizations; Cboe Exchange, Inc.; Notice of Filing of a Proposed Rule Change To Amend the Sixth Amended and Restated Bylaws of Cboe Exchange, Inc.'s Parent Corporation, Cboe Global Markets, Inc. To Implement Proxy Access2021-05-05T00:00:00-07:002021-05-05T00:00:00-07:002021-09447Noticehttps://www.govinfo.gov/content/pkg/FR-2021-05-05/pdf/2021-09447.pdfhttps://regulations.justia.com/regulations/fedreg/2021/05/05/2021-09446.htmlNotice - Self-Regulatory Organizations; Cboe BZX Exchange, Inc.; Notice of Filing of a Proposed Rule Change To Amend the Sixth Amended and Restated Bylaws of Cboe BZX Exchange, Inc.'s Parent Corporation, Cboe Global Markets, Inc. To Implement Proxy Access2021-05-05T00:00:00-07:002021-05-05T00:00:00-07:002021-09446Noticehttps://www.govinfo.gov/content/pkg/FR-2021-05-05/pdf/2021-09446.pdfhttps://regulations.justia.com/regulations/fedreg/2021/05/05/2021-09445.htmlNotice - Self-Regulatory Organizations; Cboe EDGA Exchange, Inc.; Notice of Filing of a Proposed Rule Change To Amend the Sixth Amended and Restated Bylaws of Cboe EDGA Exchange, Inc.'s Parent Corporation, Cboe Global Markets, Inc. To Implement Proxy Access2021-05-05T00:00:00-07:002021-05-05T00:00:00-07:002021-09445Noticehttps://www.govinfo.gov/content/pkg/FR-2021-05-05/pdf/2021-09445.pdfhttps://regulations.justia.com/regulations/fedreg/2021/05/05/2021-09444.htmlNotice - Self-Regulatory Organizations; Cboe EDGX Exchange, Inc.; Notice of Filing of a Proposed Rule Change To Amend the Sixth Amended and Restated Bylaws of Cboe EDGX Exchange, Inc.'s Parent Corporation, Cboe Global Markets, Inc. To Implement Proxy Access2021-05-05T00:00:00-07:002021-05-05T00:00:00-07:002021-09444Noticehttps://www.govinfo.gov/content/pkg/FR-2021-05-05/pdf/2021-09444.pdfhttps://regulations.justia.com/regulations/fedreg/2021/05/05/2021-09443.htmlNotice - Self-Regulatory Organizations; BOX Exchange LLC; Notice of Filing of Proposed Rule Change To Adopt BOX Rule 7670 To Establish a Virtual Trading Floor on BOX2021-05-05T00:00:00-07:002021-05-05T00:00:00-07:002021-09443Noticehttps://www.govinfo.gov/content/pkg/FR-2021-05-05/pdf/2021-09443.pdfhttps://regulations.justia.com/regulations/fedreg/2021/05/05/2021-09442.htmlNotice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending the NYSE Arca Options Fees and Charges and the NYSE Arca Equities Fees and Charges Schedules2021-05-05T00:00:00-07:002021-05-05T00:00:00-07:002021-09442Noticehttps://www.govinfo.gov/content/pkg/FR-2021-05-05/pdf/2021-09442.pdfhttps://regulations.justia.com/regulations/fedreg/2021/05/05/2021-09441.htmlNotice - Self-Regulatory Organizations; NYSE American LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the NYSE American Equities Price List and Fee Schedule and the NYSE American Options Fee Schedule2021-05-05T00:00:00-07:002021-05-05T00:00:00-07:002021-09441Noticehttps://www.govinfo.gov/content/pkg/FR-2021-05-05/pdf/2021-09441.pdfhttps://regulations.justia.com/regulations/fedreg/2021/05/05/2021-09440.htmlNotice - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending the New York Stock Exchange Price List2021-05-05T00:00:00-07:002021-05-05T00:00:00-07:002021-09440Noticehttps://www.govinfo.gov/content/pkg/FR-2021-05-05/pdf/2021-09440.pdfhttps://regulations.justia.com/regulations/fedreg/2021/05/05/2021-09439.htmlNotice - Self-Regulatory Organizations; MIAX PEARL, LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Interpretation and Policy .13 (Temporary Extension of the Limited Period for Registered Persons To Function as Principals) to Exchange Rule 3100, Registration Requirements, To Extend The Expiration Date of The Temporary Amendment Set Forth in SR-PEARL-2020-36 from April 30, 2021 to June 30, 20212021-05-05T00:00:00-07:002021-05-05T00:00:00-07:002021-09439Noticehttps://www.govinfo.gov/content/pkg/FR-2021-05-05/pdf/2021-09439.pdfhttps://regulations.justia.com/regulations/fedreg/2021/05/05/2021-09438.htmlNotice - Self-Regulatory Organizations; NYSE National, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Extend the Effective Date in Commentary .10 Under NYSE National Rule 2.12102021-05-05T00:00:00-07:002021-05-05T00:00:00-07:002021-09438Noticehttps://www.govinfo.gov/content/pkg/FR-2021-05-05/pdf/2021-09438.pdfhttps://regulations.justia.com/regulations/fedreg/2021/05/05/2021-09437.htmlNotice - Self-Regulatory Organizations; NYSE Chicago, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Extend the Effective Date in Interpretation and Policy .10 Under NYSE Chicago Article 6, Rule 132021-05-05T00:00:00-07:002021-05-05T00:00:00-07:002021-09437Noticehttps://www.govinfo.gov/content/pkg/FR-2021-05-05/pdf/2021-09437.pdfhttps://regulations.justia.com/regulations/fedreg/2021/05/05/2021-09436.htmlNotice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Extend the Effective Date in Commentary .10 under NYSE Arca Rule 2.12102021-05-05T00:00:00-07:002021-05-05T00:00:00-07:002021-09436Noticehttps://www.govinfo.gov/content/pkg/FR-2021-05-05/pdf/2021-09436.pdfhttps://regulations.justia.com/regulations/fedreg/2021/05/05/2021-09435.htmlNotice - Self-Regulatory Organizations; NYSE American LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Extend the Effective Date in Commentary .10 under NYSE American Rule 2.12102021-05-05T00:00:00-07:002021-05-05T00:00:00-07:002021-09435Noticehttps://www.govinfo.gov/content/pkg/FR-2021-05-05/pdf/2021-09435.pdfhttps://regulations.justia.com/regulations/fedreg/2021/05/05/2021-09434.htmlNotice - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Extend the Effective Date in Commentary .10 Under NYSE Rule 12102021-05-05T00:00:00-07:002021-05-05T00:00:00-07:002021-09434Noticehttps://www.govinfo.gov/content/pkg/FR-2021-05-05/pdf/2021-09434.pdfhttps://regulations.justia.com/regulations/fedreg/2021/05/05/2021-09433.htmlNotice - Self-Regulatory Organizations; Miami International Securities Exchange, LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Interpretation and Policy .13 (Temporary Extension of the Limited Period for Registered Persons to Function as Principals) To Exchange Rule 1900, Registration Requirements, To Extend the Expiration Date of the Temporary Amendment Set Forth in SR-MIAX-2020-42 from April 30, 2021 to June 30, 20212021-05-05T00:00:00-07:002021-05-05T00:00:00-07:002021-09433Noticehttps://www.govinfo.gov/content/pkg/FR-2021-05-05/pdf/2021-09433.pdfhttps://regulations.justia.com/regulations/fedreg/2021/05/05/2021-09432.htmlNotice - Self-Regulatory Organizations; MIAX Emerald, LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Interpretation and Policy .13 (Temporary Extension of the Limited Period for Registered Persons To Function as Principals) to Exchange Rule 1900, Registration Requirements, To Extend the Expiration Date of the Temporary Amendment Set Forth in SR-EMERALD-2020-21 From April 30, 2021 to June 30, 20212021-05-05T00:00:00-07:002021-05-05T00:00:00-07:002021-09432Noticehttps://www.govinfo.gov/content/pkg/FR-2021-05-05/pdf/2021-09432.pdfhttps://regulations.justia.com/regulations/fedreg/2021/05/05/2021-09431.htmlNotice - Self-Regulatory Organizations; MIAX Emerald, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Exchange Rule 515, Execution of Orders and Quotes; Rule 516, Order Types Defined; Rule 517, Quote Types Defined; Rule 605, Market Maker Orders; and Rule 612, Aggregate Risk Manager To Eliminate Fill-or-Kill (FOK) Orders and FOK eQuotes2021-05-05T00:00:00-07:002021-05-05T00:00:00-07:002021-09431Noticehttps://www.govinfo.gov/content/pkg/FR-2021-05-05/pdf/2021-09431.pdfhttps://regulations.justia.com/regulations/fedreg/2021/05/05/2021-09430.htmlNotice - Self-Regulatory Organizations; Cboe C2 Exchange, Inc.; Notice of Filing of a Proposed Rule Change To Amend the Sixth Amended and Restated Bylaws of Cboe C2 Exchange, Inc.'s Parent Corporation, Cboe Global Markets, Inc. To Implement Proxy Access2021-05-05T00:00:00-07:002021-05-05T00:00:00-07:002021-09430Noticehttps://www.govinfo.gov/content/pkg/FR-2021-05-05/pdf/2021-09430.pdfhttps://regulations.justia.com/regulations/fedreg/2021/05/05/2021-09428.htmlNotice - Self-Regulatory Organizations; National Securities Clearing Corporation; Notice of Filing of and No Objection to Advance Notice Regarding the Renewal of a 364-Day Committed Revolving Line-of-Credit and Future Annual Renewals2021-05-05T00:00:00-07:002021-05-05T00:00:00-07:002021-09428Noticehttps://www.govinfo.gov/content/pkg/FR-2021-05-05/pdf/2021-09428.pdfhttps://regulations.justia.com/regulations/fedreg/2021/05/05/2021-09281.htmlNotice - Self-Regulatory Organizations; Nasdaq PHLX LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change to the Exchange's Pricing Schedule at Options 7 To Adopt Pricing for Index Options on the Nasdaq 100 Micro Index2021-05-05T00:00:00-07:002021-05-05T00:00:00-07:002021-09281Noticehttps://www.govinfo.gov/content/pkg/FR-2021-05-05/pdf/2021-09281.pdfhttps://regulations.justia.com/regulations/fedreg/2021/05/05/2021-09280.htmlNotice - Self-Regulatory Organizations; Cboe BZX Exchange, Inc.; Notice of Designation of a Longer Period for Commission Action on a Proposed Rule Change To List and Trade Shares of the VanEck Bitcoin Trust Under BZX Rule 14.11(e)(4), Commodity-Based Trust Shares2021-05-05T00:00:00-07:002021-05-05T00:00:00-07:002021-09280Noticehttps://www.govinfo.gov/content/pkg/FR-2021-05-05/pdf/2021-09280.pdfhttps://regulations.justia.com/regulations/fedreg/2021/05/04/2021-09385.htmlNotice - HPS Corporate Lending Fund and HPS Investment Partners, LLC2021-05-04T00:00:00-07:002021-05-04T00:00:00-07:002021-09385Noticehttps://www.govinfo.gov/content/pkg/FR-2021-05-04/pdf/2021-09385.pdfhttps://regulations.justia.com/regulations/fedreg/2021/05/04/2021-09354.htmlNotice - Proposed Collection; Comment Request2021-05-04T00:00:00-07:002021-05-04T00:00:00-07:002021-09354Noticehttps://www.govinfo.gov/content/pkg/FR-2021-05-04/pdf/2021-09354.pdfhttps://regulations.justia.com/regulations/fedreg/2021/05/04/2021-09353.htmlNotice - Proposed Collection; Comment Request2021-05-04T00:00:00-07:002021-05-04T00:00:00-07:002021-09353Noticehttps://www.govinfo.gov/content/pkg/FR-2021-05-04/pdf/2021-09353.pdfhttps://regulations.justia.com/regulations/fedreg/2021/05/04/2021-09352.htmlNotice - Proposed Collection; Comment Request2021-05-04T00:00:00-07:002021-05-04T00:00:00-07:002021-09352Noticehttps://www.govinfo.gov/content/pkg/FR-2021-05-04/pdf/2021-09352.pdfhttps://regulations.justia.com/regulations/fedreg/2021/05/04/2021-09351.htmlNotice - Proposed Collection; Comment Request2021-05-04T00:00:00-07:002021-05-04T00:00:00-07:002021-09351Noticehttps://www.govinfo.gov/content/pkg/FR-2021-05-04/pdf/2021-09351.pdfhttps://regulations.justia.com/regulations/fedreg/2021/05/04/2021-09350.htmlNotice - Proposed Collection; Comment Request2021-05-04T00:00:00-07:002021-05-04T00:00:00-07:002021-09350Noticehttps://www.govinfo.gov/content/pkg/FR-2021-05-04/pdf/2021-09350.pdfhttps://regulations.justia.com/regulations/fedreg/2021/05/04/2021-09349.htmlNotice - Proposed Collection; Comment Request2021-05-04T00:00:00-07:002021-05-04T00:00:00-07:002021-09349Noticehttps://www.govinfo.gov/content/pkg/FR-2021-05-04/pdf/2021-09349.pdfhttps://regulations.justia.com/regulations/fedreg/2021/05/04/2021-09348.htmlNotice - Proposed Collection; Comment Request2021-05-04T00:00:00-07:002021-05-04T00:00:00-07:002021-09348Noticehttps://www.govinfo.gov/content/pkg/FR-2021-05-04/pdf/2021-09348.pdfhttps://regulations.justia.com/regulations/fedreg/2021/05/04/2021-09347.htmlNotice - Proposed Collection; Comment Request2021-05-04T00:00:00-07:002021-05-04T00:00:00-07:002021-09347Noticehttps://www.govinfo.gov/content/pkg/FR-2021-05-04/pdf/2021-09347.pdfhttps://regulations.justia.com/regulations/fedreg/2021/05/04/2021-09285.htmlNotice - Self-Regulatory Organizations; Cboe EDGX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Extend the Pilot Programs in Connection With the Listing and Trading of P.M.-Settled Series on Certain Broad-Based Index Options2021-05-04T00:00:00-07:002021-05-04T00:00:00-07:002021-09285Noticehttps://www.govinfo.gov/content/pkg/FR-2021-05-04/pdf/2021-09285.pdfhttps://regulations.justia.com/regulations/fedreg/2021/05/04/2021-09284.htmlNotice - Self-Regulatory Organizations; Cboe BZX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Extend the Pilot Programs in Connection With the Listing and Trading of P.M.-Settled Series on Certain Broad-Based Index Options2021-05-04T00:00:00-07:002021-05-04T00:00:00-07:002021-09284Noticehttps://www.govinfo.gov/content/pkg/FR-2021-05-04/pdf/2021-09284.pdfhttps://regulations.justia.com/regulations/fedreg/2021/05/04/2021-09283.htmlNotice - Self-Regulatory Organizations; Cboe Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Extend the Operation of Its SPXPM Pilot Program2021-05-04T00:00:00-07:002021-05-04T00:00:00-07:002021-09283Noticehttps://www.govinfo.gov/content/pkg/FR-2021-05-04/pdf/2021-09283.pdfhttps://regulations.justia.com/regulations/fedreg/2021/05/04/2021-09282.htmlNotice - Self-Regulatory Organizations; Cboe Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Renew Its Nonstandard Expirations Pilot Program Until November 1, 20212021-05-04T00:00:00-07:002021-05-04T00:00:00-07:002021-09282Noticehttps://www.govinfo.gov/content/pkg/FR-2021-05-04/pdf/2021-09282.pdfhttps://regulations.justia.com/regulations/fedreg/2021/05/03/2021-09398.htmlNotice - Sunshine Act Meetings2021-05-03T00:00:00-07:002021-05-03T00:00:00-07:002021-09398Noticehttps://www.govinfo.gov/content/pkg/FR-2021-05-03/pdf/2021-09398.pdfhttps://regulations.justia.com/regulations/fedreg/2021/05/03/2021-09305.htmlNotice - Sunshine Act Meetings; Cancellation2021-05-03T00:00:00-07:002021-05-03T00:00:00-07:002021-09305Noticehttps://www.govinfo.gov/content/pkg/FR-2021-05-03/pdf/2021-09305.pdfhttps://regulations.justia.com/regulations/fedreg/2021/05/03/2021-09133.htmlNotice - Self-Regulatory Organizations: Investors Exchange LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Extend the Expiration Date of the Temporary Amendments Set Forth in SR-IEX-2020-202021-05-03T00:00:00-07:002021-05-03T00:00:00-07:002021-09133Noticehttps://www.govinfo.gov/content/pkg/FR-2021-05-03/pdf/2021-09133.pdfhttps://regulations.justia.com/regulations/fedreg/2021/05/03/2021-09132.htmlNotice - Self-Regulatory Organizations; Cboe Exchange, Inc.; Notice of Filing of a Proposed Rule Change To Amend Rule 5.37 and Rule 5.38 in Connection With Allocations at the Conclusion of the Exchange's Automated Improvement Mechanism (“AIM”) and Complex AIM (“C-AIM”) Auctions2021-05-03T00:00:00-07:002021-05-03T00:00:00-07:002021-09132Noticehttps://www.govinfo.gov/content/pkg/FR-2021-05-03/pdf/2021-09132.pdfhttps://regulations.justia.com/regulations/fedreg/2021/05/03/2021-09131.htmlNotice - Self-Regulatory Organizations; BOX Exchange LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Extend the Effective Date of the Temporary Amendment set Forth in SR-BOX-2021-02 From April 30, 2021, to June 30, 20212021-05-03T00:00:00-07:002021-05-03T00:00:00-07:002021-09131Noticehttps://www.govinfo.gov/content/pkg/FR-2021-05-03/pdf/2021-09131.pdfhttps://regulations.justia.com/regulations/fedreg/2021/05/03/2021-09130.htmlNotice - Self-Regulatory Organizations; Nasdaq MRX, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the Exchange's Pricing Schedule at Options 72021-05-03T00:00:00-07:002021-05-03T00:00:00-07:002021-09130Noticehttps://www.govinfo.gov/content/pkg/FR-2021-05-03/pdf/2021-09130.pdfhttps://regulations.justia.com/regulations/fedreg/2021/05/03/2021-09129.htmlNotice - Self-Regulatory Organizations; Cboe Exchange, Inc.; Notice of Withdrawal of a Proposed Rule Change, as Modified by Amendment No. 2, To Make Qualified Contingent Cross Orders Available for FLEX Option Trading2021-05-03T00:00:00-07:002021-05-03T00:00:00-07:002021-09129Noticehttps://www.govinfo.gov/content/pkg/FR-2021-05-03/pdf/2021-09129.pdfhttps://regulations.justia.com/regulations/fedreg/2021/05/03/2021-09027.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 Procedures2021-05-03T00:00:00-07:002021-05-03T00:00:00-07:002021-09027Noticehttps://www.govinfo.gov/content/pkg/FR-2021-05-03/pdf/2021-09027.pdfhttps://regulations.justia.com/regulations/fedreg/2021/05/03/2021-09025.htmlNotice - Self-Regulatory Organizations; LCH SA; Notice of Filing of Proposed Rule Change Relating to the Clearing of Single-Name Credit Default Swaps by U.S. Customers2021-05-03T00:00:00-07:002021-05-03T00:00:00-07:002021-09025Noticehttps://www.govinfo.gov/content/pkg/FR-2021-05-03/pdf/2021-09025.pdfhttps://regulations.justia.com/regulations/fedreg/2021/05/03/2021-09024.htmlNotice - Self-Regulatory Organizations; The Nasdaq Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Adopt Nasdaq Rule 5760 To Permit the Listing and Trading of Managed Portfolio Shares2021-05-03T00:00:00-07:002021-05-03T00:00:00-07:002021-09024Noticehttps://www.govinfo.gov/content/pkg/FR-2021-05-03/pdf/2021-09024.pdfhttps://regulations.justia.com/regulations/fedreg/2021/05/03/2021-09020.htmlNotice - Self-Regulatory Organizations; BOX Exchange LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the Fee Schedule on the BOX Options Market LLC Facility2021-05-03T00:00:00-07:002021-05-03T00:00:00-07:002021-09020Noticehttps://www.govinfo.gov/content/pkg/FR-2021-05-03/pdf/2021-09020.pdf