<![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/2021/05?registers=between&min-day=1&max-day=31 Thu, 02 May 2024 15:04:47 -0700 Thu, 02 May 2024 15:04:47 -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/2021/05?registers=between&min-day=1&max-day=31 Notice - Sunshine Act Meetings https://regulations.justia.com/regulations/fedreg/2021/05/28/2021-11502.html https://regulations.justia.com/regulations/fedreg/2021/05/28/2021-11502.html Fri, 28 May 2021 00:00:00 -0700 2021-11502 Notice https://www.govinfo.gov/content/pkg/FR-2021-05-28/pdf/2021-11502.pdf Notice - Sunshine Act Meeting; Cancellation https://regulations.justia.com/regulations/fedreg/2021/05/28/2021-11500.html https://regulations.justia.com/regulations/fedreg/2021/05/28/2021-11500.html Fri, 28 May 2021 00:00:00 -0700 2021-11500 Notice https://www.govinfo.gov/content/pkg/FR-2021-05-28/pdf/2021-11500.pdf Notice - Simplify Exchange Traded Funds and Simplify Asset Management Inc. https://regulations.justia.com/regulations/fedreg/2021/05/28/2021-11292.html https://regulations.justia.com/regulations/fedreg/2021/05/28/2021-11292.html Fri, 28 May 2021 00:00:00 -0700 2021-11292 Notice https://www.govinfo.gov/content/pkg/FR-2021-05-28/pdf/2021-11292.pdf Notice - 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 Orders https://regulations.justia.com/regulations/fedreg/2021/05/28/2021-11290.html https://regulations.justia.com/regulations/fedreg/2021/05/28/2021-11290.html Fri, 28 May 2021 00:00:00 -0700 2021-11290 Notice https://www.govinfo.gov/content/pkg/FR-2021-05-28/pdf/2021-11290.pdf Notice - 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 47 https://regulations.justia.com/regulations/fedreg/2021/05/28/2021-11289.html https://regulations.justia.com/regulations/fedreg/2021/05/28/2021-11289.html Fri, 28 May 2021 00:00:00 -0700 2021-11289 Notice https://www.govinfo.gov/content/pkg/FR-2021-05-28/pdf/2021-11289.pdf Notice - 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 Report https://regulations.justia.com/regulations/fedreg/2021/05/27/2021-11175.html https://regulations.justia.com/regulations/fedreg/2021/05/27/2021-11175.html Thu, 27 May 2021 00:00:00 -0700 2021-11175 Notice https://www.govinfo.gov/content/pkg/FR-2021-05-27/pdf/2021-11175.pdf Notice - 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 Report https://regulations.justia.com/regulations/fedreg/2021/05/27/2021-11174.html https://regulations.justia.com/regulations/fedreg/2021/05/27/2021-11174.html Thu, 27 May 2021 00:00:00 -0700 2021-11174 Notice https://www.govinfo.gov/content/pkg/FR-2021-05-27/pdf/2021-11174.pdf Notice - 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 Report https://regulations.justia.com/regulations/fedreg/2021/05/27/2021-11173.html https://regulations.justia.com/regulations/fedreg/2021/05/27/2021-11173.html Thu, 27 May 2021 00:00:00 -0700 2021-11173 Notice https://www.govinfo.gov/content/pkg/FR-2021-05-27/pdf/2021-11173.pdf Notice - 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-E https://regulations.justia.com/regulations/fedreg/2021/05/27/2021-11172.html https://regulations.justia.com/regulations/fedreg/2021/05/27/2021-11172.html Thu, 27 May 2021 00:00:00 -0700 2021-11172 Notice https://www.govinfo.gov/content/pkg/FR-2021-05-27/pdf/2021-11172.pdf Notice - 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 Combinations https://regulations.justia.com/regulations/fedreg/2021/05/26/2021-11099.html https://regulations.justia.com/regulations/fedreg/2021/05/26/2021-11099.html Wed, 26 May 2021 00:00:00 -0700 2021-11099 Notice https://www.govinfo.gov/content/pkg/FR-2021-05-26/pdf/2021-11099.pdf Notice - 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 Provisions https://regulations.justia.com/regulations/fedreg/2021/05/26/2021-11084.html https://regulations.justia.com/regulations/fedreg/2021/05/26/2021-11084.html Wed, 26 May 2021 00:00:00 -0700 2021-11084 Notice https://www.govinfo.gov/content/pkg/FR-2021-05-26/pdf/2021-11084.pdf Notice - Self-Regulatory Organizations; ICE Clear Credit LLC; Order Approving Proposed Rule Change Relating to the ICC Risk Parameter Setting and Review Policy https://regulations.justia.com/regulations/fedreg/2021/05/26/2021-11083.html https://regulations.justia.com/regulations/fedreg/2021/05/26/2021-11083.html Wed, 26 May 2021 00:00:00 -0700 2021-11083 Notice https://www.govinfo.gov/content/pkg/FR-2021-05-26/pdf/2021-11083.pdf Notice - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Its Price List https://regulations.justia.com/regulations/fedreg/2021/05/26/2021-11082.html https://regulations.justia.com/regulations/fedreg/2021/05/26/2021-11082.html Wed, 26 May 2021 00:00:00 -0700 2021-11082 Notice https://www.govinfo.gov/content/pkg/FR-2021-05-26/pdf/2021-11082.pdf Notice - 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) https://regulations.justia.com/regulations/fedreg/2021/05/26/2021-11079.html https://regulations.justia.com/regulations/fedreg/2021/05/26/2021-11079.html Wed, 26 May 2021 00:00:00 -0700 2021-11079 Notice https://www.govinfo.gov/content/pkg/FR-2021-05-26/pdf/2021-11079.pdf Notice - 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) https://regulations.justia.com/regulations/fedreg/2021/05/26/2021-11078.html https://regulations.justia.com/regulations/fedreg/2021/05/26/2021-11078.html Wed, 26 May 2021 00:00:00 -0700 2021-11078 Notice https://www.govinfo.gov/content/pkg/FR-2021-05-26/pdf/2021-11078.pdf Notice - 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”) https://regulations.justia.com/regulations/fedreg/2021/05/26/2021-11077.html https://regulations.justia.com/regulations/fedreg/2021/05/26/2021-11077.html Wed, 26 May 2021 00:00:00 -0700 2021-11077 Notice https://www.govinfo.gov/content/pkg/FR-2021-05-26/pdf/2021-11077.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/2021/05/26/2021-11076.html https://regulations.justia.com/regulations/fedreg/2021/05/26/2021-11076.html Wed, 26 May 2021 00:00:00 -0700 2021-11076 Notice https://www.govinfo.gov/content/pkg/FR-2021-05-26/pdf/2021-11076.pdf Notice - 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 Commission https://regulations.justia.com/regulations/fedreg/2021/05/26/2021-10384.html https://regulations.justia.com/regulations/fedreg/2021/05/26/2021-10384.html Wed, 26 May 2021 00:00:00 -0700 2021-10384 Notice https://www.govinfo.gov/content/pkg/FR-2021-05-26/pdf/2021-10384.pdf Notice - 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 Effected https://regulations.justia.com/regulations/fedreg/2021/05/25/2021-10968.html https://regulations.justia.com/regulations/fedreg/2021/05/25/2021-10968.html Tue, 25 May 2021 00:00:00 -0700 2021-10968 Notice https://www.govinfo.gov/content/pkg/FR-2021-05-25/pdf/2021-10968.pdf Notice - Self-Regulatory Organizations; The Options Clearing Corporation; Order Granting Approval of Proposed Rule Change Relating to Revisions to OCC's Auction Participation Requirements https://regulations.justia.com/regulations/fedreg/2021/05/25/2021-10961.html https://regulations.justia.com/regulations/fedreg/2021/05/25/2021-10961.html Tue, 25 May 2021 00:00:00 -0700 2021-10961 Notice https://www.govinfo.gov/content/pkg/FR-2021-05-25/pdf/2021-10961.pdf Notice - Calamos Investment Trust, et al. https://regulations.justia.com/regulations/fedreg/2021/05/25/2021-10960.html https://regulations.justia.com/regulations/fedreg/2021/05/25/2021-10960.html Tue, 25 May 2021 00:00:00 -0700 2021-10960 Notice https://www.govinfo.gov/content/pkg/FR-2021-05-25/pdf/2021-10960.pdf Notice - 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-2015-036 https://regulations.justia.com/regulations/fedreg/2021/05/25/2021-10959.html https://regulations.justia.com/regulations/fedreg/2021/05/25/2021-10959.html Tue, 25 May 2021 00:00:00 -0700 2021-10959 Notice https://www.govinfo.gov/content/pkg/FR-2021-05-25/pdf/2021-10959.pdf Notice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Modify the NYSE Arca Options Fee Schedule https://regulations.justia.com/regulations/fedreg/2021/05/25/2021-10958.html https://regulations.justia.com/regulations/fedreg/2021/05/25/2021-10958.html Tue, 25 May 2021 00:00:00 -0700 2021-10958 Notice https://www.govinfo.gov/content/pkg/FR-2021-05-25/pdf/2021-10958.pdf Notice - Sunshine Act Meetings https://regulations.justia.com/regulations/fedreg/2021/05/24/2021-11013.html https://regulations.justia.com/regulations/fedreg/2021/05/24/2021-11013.html Mon, 24 May 2021 00:00:00 -0700 2021-11013 Notice https://www.govinfo.gov/content/pkg/FR-2021-05-24/pdf/2021-11013.pdf Notice - 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 Strikes https://regulations.justia.com/regulations/fedreg/2021/05/24/2021-10846.html https://regulations.justia.com/regulations/fedreg/2021/05/24/2021-10846.html Mon, 24 May 2021 00:00:00 -0700 2021-10846 Notice https://www.govinfo.gov/content/pkg/FR-2021-05-24/pdf/2021-10846.pdf Notice - 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 Strikes https://regulations.justia.com/regulations/fedreg/2021/05/24/2021-10845.html https://regulations.justia.com/regulations/fedreg/2021/05/24/2021-10845.html Mon, 24 May 2021 00:00:00 -0700 2021-10845 Notice https://www.govinfo.gov/content/pkg/FR-2021-05-24/pdf/2021-10845.pdf Notice - 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 Strikes https://regulations.justia.com/regulations/fedreg/2021/05/24/2021-10844.html https://regulations.justia.com/regulations/fedreg/2021/05/24/2021-10844.html Mon, 24 May 2021 00:00:00 -0700 2021-10844 Notice https://www.govinfo.gov/content/pkg/FR-2021-05-24/pdf/2021-10844.pdf Notice - Self-Regulatory Organizations; ICE Clear Credit LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to ICC's Fee Schedules https://regulations.justia.com/regulations/fedreg/2021/05/24/2021-10843.html https://regulations.justia.com/regulations/fedreg/2021/05/24/2021-10843.html Mon, 24 May 2021 00:00:00 -0700 2021-10843 Notice https://www.govinfo.gov/content/pkg/FR-2021-05-24/pdf/2021-10843.pdf Notice - 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 Orders https://regulations.justia.com/regulations/fedreg/2021/05/24/2021-10842.html https://regulations.justia.com/regulations/fedreg/2021/05/24/2021-10842.html Mon, 24 May 2021 00:00:00 -0700 2021-10842 Notice https://www.govinfo.gov/content/pkg/FR-2021-05-24/pdf/2021-10842.pdf Notice - 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 Fees https://regulations.justia.com/regulations/fedreg/2021/05/24/2021-10841.html https://regulations.justia.com/regulations/fedreg/2021/05/24/2021-10841.html Mon, 24 May 2021 00:00:00 -0700 2021-10841 Notice https://www.govinfo.gov/content/pkg/FR-2021-05-24/pdf/2021-10841.pdf Notice - Self-Regulatory Organizations; ICE Clear Credit LLC; Order Approving Proposed Rule Change Relating to the ICC Risk Management Model Description https://regulations.justia.com/regulations/fedreg/2021/05/24/2021-10840.html https://regulations.justia.com/regulations/fedreg/2021/05/24/2021-10840.html Mon, 24 May 2021 00:00:00 -0700 2021-10840 Notice https://www.govinfo.gov/content/pkg/FR-2021-05-24/pdf/2021-10840.pdf Notice - Sunshine Act Meeting; Cancellation https://regulations.justia.com/regulations/fedreg/2021/05/21/2021-10935.html https://regulations.justia.com/regulations/fedreg/2021/05/21/2021-10935.html Fri, 21 May 2021 00:00:00 -0700 2021-10935 Notice https://www.govinfo.gov/content/pkg/FR-2021-05-21/pdf/2021-10935.pdf Notice - 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 Firms https://regulations.justia.com/regulations/fedreg/2021/05/21/2021-10710.html https://regulations.justia.com/regulations/fedreg/2021/05/21/2021-10710.html Fri, 21 May 2021 00:00:00 -0700 2021-10710 Notice https://www.govinfo.gov/content/pkg/FR-2021-05-21/pdf/2021-10710.pdf Notice - 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 Company https://regulations.justia.com/regulations/fedreg/2021/05/20/2021-10606.html https://regulations.justia.com/regulations/fedreg/2021/05/20/2021-10606.html Thu, 20 May 2021 00:00:00 -0700 2021-10606 Notice https://www.govinfo.gov/content/pkg/FR-2021-05-20/pdf/2021-10606.pdf Notice - 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) https://regulations.justia.com/regulations/fedreg/2021/05/20/2021-10579.html https://regulations.justia.com/regulations/fedreg/2021/05/20/2021-10579.html Thu, 20 May 2021 00:00:00 -0700 2021-10579 Notice https://www.govinfo.gov/content/pkg/FR-2021-05-20/pdf/2021-10579.pdf Notice - 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 ETF https://regulations.justia.com/regulations/fedreg/2021/05/19/2021-10499.html https://regulations.justia.com/regulations/fedreg/2021/05/19/2021-10499.html Wed, 19 May 2021 00:00:00 -0700 2021-10499 Notice https://www.govinfo.gov/content/pkg/FR-2021-05-19/pdf/2021-10499.pdf Notice - Self-Regulatory Organizations; ICE Clear Credit LLC; Order Approving Proposed Rule Change Relating to the ICC's Treasury Operations Policies and Procedures https://regulations.justia.com/regulations/fedreg/2021/05/19/2021-10498.html https://regulations.justia.com/regulations/fedreg/2021/05/19/2021-10498.html Wed, 19 May 2021 00:00:00 -0700 2021-10498 Notice https://www.govinfo.gov/content/pkg/FR-2021-05-19/pdf/2021-10498.pdf Notice - Self-Regulatory Organizations; Nasdaq PHLX LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Options 6, Section 7 https://regulations.justia.com/regulations/fedreg/2021/05/19/2021-10497.html https://regulations.justia.com/regulations/fedreg/2021/05/19/2021-10497.html Wed, 19 May 2021 00:00:00 -0700 2021-10497 Notice https://www.govinfo.gov/content/pkg/FR-2021-05-19/pdf/2021-10497.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/2021/05/19/2021-10496.html https://regulations.justia.com/regulations/fedreg/2021/05/19/2021-10496.html Wed, 19 May 2021 00:00:00 -0700 2021-10496 Notice https://www.govinfo.gov/content/pkg/FR-2021-05-19/pdf/2021-10496.pdf Notice - 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 2021 https://regulations.justia.com/regulations/fedreg/2021/05/19/2021-10495.html https://regulations.justia.com/regulations/fedreg/2021/05/19/2021-10495.html Wed, 19 May 2021 00:00:00 -0700 2021-10495 Notice https://www.govinfo.gov/content/pkg/FR-2021-05-19/pdf/2021-10495.pdf Notice - 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 & Procedures https://regulations.justia.com/regulations/fedreg/2021/05/18/2021-10392.html https://regulations.justia.com/regulations/fedreg/2021/05/18/2021-10392.html Tue, 18 May 2021 00:00:00 -0700 2021-10392 Notice https://www.govinfo.gov/content/pkg/FR-2021-05-18/pdf/2021-10392.pdf Notice - 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 Reference https://regulations.justia.com/regulations/fedreg/2021/05/18/2021-10391.html https://regulations.justia.com/regulations/fedreg/2021/05/18/2021-10391.html Tue, 18 May 2021 00:00:00 -0700 2021-10391 Notice https://www.govinfo.gov/content/pkg/FR-2021-05-18/pdf/2021-10391.pdf Notice - 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) https://regulations.justia.com/regulations/fedreg/2021/05/18/2021-10390.html https://regulations.justia.com/regulations/fedreg/2021/05/18/2021-10390.html Tue, 18 May 2021 00:00:00 -0700 2021-10390 Notice https://www.govinfo.gov/content/pkg/FR-2021-05-18/pdf/2021-10390.pdf Notice - 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 Volatility https://regulations.justia.com/regulations/fedreg/2021/05/18/2021-10389.html https://regulations.justia.com/regulations/fedreg/2021/05/18/2021-10389.html Tue, 18 May 2021 00:00:00 -0700 2021-10389 Notice https://www.govinfo.gov/content/pkg/FR-2021-05-18/pdf/2021-10389.pdf Notice - 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 Public https://regulations.justia.com/regulations/fedreg/2021/05/18/2021-10388.html https://regulations.justia.com/regulations/fedreg/2021/05/18/2021-10388.html Tue, 18 May 2021 00:00:00 -0700 2021-10388 Notice https://www.govinfo.gov/content/pkg/FR-2021-05-18/pdf/2021-10388.pdf Notice - 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 Funds https://regulations.justia.com/regulations/fedreg/2021/05/18/2021-10387.html https://regulations.justia.com/regulations/fedreg/2021/05/18/2021-10387.html Tue, 18 May 2021 00:00:00 -0700 2021-10387 Notice https://www.govinfo.gov/content/pkg/FR-2021-05-18/pdf/2021-10387.pdf Notice - 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 PRISM https://regulations.justia.com/regulations/fedreg/2021/05/18/2021-10386.html https://regulations.justia.com/regulations/fedreg/2021/05/18/2021-10386.html Tue, 18 May 2021 00:00:00 -0700 2021-10386 Notice https://www.govinfo.gov/content/pkg/FR-2021-05-18/pdf/2021-10386.pdf Notice - 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 Commission https://regulations.justia.com/regulations/fedreg/2021/05/18/2021-10385.html https://regulations.justia.com/regulations/fedreg/2021/05/18/2021-10385.html Tue, 18 May 2021 00:00:00 -0700 2021-10385 Notice https://www.govinfo.gov/content/pkg/FR-2021-05-18/pdf/2021-10385.pdf Notice - 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 Commission https://regulations.justia.com/regulations/fedreg/2021/05/18/2021-10383.html https://regulations.justia.com/regulations/fedreg/2021/05/18/2021-10383.html Tue, 18 May 2021 00:00:00 -0700 2021-10383 Notice https://www.govinfo.gov/content/pkg/FR-2021-05-18/pdf/2021-10383.pdf Notice - 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 Commission https://regulations.justia.com/regulations/fedreg/2021/05/18/2021-10382.html https://regulations.justia.com/regulations/fedreg/2021/05/18/2021-10382.html Tue, 18 May 2021 00:00:00 -0700 2021-10382 Notice https://www.govinfo.gov/content/pkg/FR-2021-05-18/pdf/2021-10382.pdf Notice - 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 Commission https://regulations.justia.com/regulations/fedreg/2021/05/18/2021-10381.html https://regulations.justia.com/regulations/fedreg/2021/05/18/2021-10381.html Tue, 18 May 2021 00:00:00 -0700 2021-10381 Notice https://www.govinfo.gov/content/pkg/FR-2021-05-18/pdf/2021-10381.pdf Notice - Self-Regulatory Organizations; MIAX PEARL, LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the MIAX Pearl Fee Schedule To Remove the Cap on the Number of Additional Limited Service Ports Available to Market Makers https://regulations.justia.com/regulations/fedreg/2021/05/18/2021-10380.html https://regulations.justia.com/regulations/fedreg/2021/05/18/2021-10380.html Tue, 18 May 2021 00:00:00 -0700 2021-10380 Notice https://www.govinfo.gov/content/pkg/FR-2021-05-18/pdf/2021-10380.pdf Notice - Self-Regulatory Organizations; Miami International Securities Exchange, LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Its Fee Schedule To Remove the Cap on the Number of Additional Limited Service Ports Available to Market Makers https://regulations.justia.com/regulations/fedreg/2021/05/18/2021-10379.html https://regulations.justia.com/regulations/fedreg/2021/05/18/2021-10379.html Tue, 18 May 2021 00:00:00 -0700 2021-10379 Notice https://www.govinfo.gov/content/pkg/FR-2021-05-18/pdf/2021-10379.pdf Notice - Sunshine Act Meetings https://regulations.justia.com/regulations/fedreg/2021/05/17/2021-10457.html https://regulations.justia.com/regulations/fedreg/2021/05/17/2021-10457.html Mon, 17 May 2021 00:00:00 -0700 2021-10457 Notice https://www.govinfo.gov/content/pkg/FR-2021-05-17/pdf/2021-10457.pdf Notice - Delaware Wilshire Private Markets Master Fund, et al.; Notice of Application https://regulations.justia.com/regulations/fedreg/2021/05/17/2021-10340.html https://regulations.justia.com/regulations/fedreg/2021/05/17/2021-10340.html Mon, 17 May 2021 00:00:00 -0700 2021-10340 Notice https://www.govinfo.gov/content/pkg/FR-2021-05-17/pdf/2021-10340.pdf Notice - Submission for OMB Review; Comment Request https://regulations.justia.com/regulations/fedreg/2021/05/17/2021-10319.html https://regulations.justia.com/regulations/fedreg/2021/05/17/2021-10319.html Mon, 17 May 2021 00:00:00 -0700 2021-10319 Notice https://www.govinfo.gov/content/pkg/FR-2021-05-17/pdf/2021-10319.pdf Notice - Submission for OMB Review; Comment Request https://regulations.justia.com/regulations/fedreg/2021/05/17/2021-10316.html https://regulations.justia.com/regulations/fedreg/2021/05/17/2021-10316.html Mon, 17 May 2021 00:00:00 -0700 2021-10316 Notice https://www.govinfo.gov/content/pkg/FR-2021-05-17/pdf/2021-10316.pdf Notice - 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 Feeds https://regulations.justia.com/regulations/fedreg/2021/05/17/2021-10278.html https://regulations.justia.com/regulations/fedreg/2021/05/17/2021-10278.html Mon, 17 May 2021 00:00:00 -0700 2021-10278 Notice https://www.govinfo.gov/content/pkg/FR-2021-05-17/pdf/2021-10278.pdf Notice - Self-Regulatory Organizations; ICE Clear Credit LLC; Order Approving Proposed Rule Change Relating to the ICC Clearing Rules and ICC Exercise Procedures https://regulations.justia.com/regulations/fedreg/2021/05/17/2021-10277.html https://regulations.justia.com/regulations/fedreg/2021/05/17/2021-10277.html Mon, 17 May 2021 00:00:00 -0700 2021-10277 Notice https://www.govinfo.gov/content/pkg/FR-2021-05-17/pdf/2021-10277.pdf Notice - 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 Series https://regulations.justia.com/regulations/fedreg/2021/05/17/2021-10276.html https://regulations.justia.com/regulations/fedreg/2021/05/17/2021-10276.html Mon, 17 May 2021 00:00:00 -0700 2021-10276 Notice https://www.govinfo.gov/content/pkg/FR-2021-05-17/pdf/2021-10276.pdf Notice - 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 Values https://regulations.justia.com/regulations/fedreg/2021/05/17/2021-10275.html https://regulations.justia.com/regulations/fedreg/2021/05/17/2021-10275.html Mon, 17 May 2021 00:00:00 -0700 2021-10275 Notice https://www.govinfo.gov/content/pkg/FR-2021-05-17/pdf/2021-10275.pdf Notice - 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 Protections https://regulations.justia.com/regulations/fedreg/2021/05/17/2021-10274.html https://regulations.justia.com/regulations/fedreg/2021/05/17/2021-10274.html Mon, 17 May 2021 00:00:00 -0700 2021-10274 Notice https://www.govinfo.gov/content/pkg/FR-2021-05-17/pdf/2021-10274.pdf Notice - 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 Protections https://regulations.justia.com/regulations/fedreg/2021/05/17/2021-10273.html https://regulations.justia.com/regulations/fedreg/2021/05/17/2021-10273.html Mon, 17 May 2021 00:00:00 -0700 2021-10273 Notice https://www.govinfo.gov/content/pkg/FR-2021-05-17/pdf/2021-10273.pdf Notice - 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 Errors https://regulations.justia.com/regulations/fedreg/2021/05/17/2021-10272.html https://regulations.justia.com/regulations/fedreg/2021/05/17/2021-10272.html Mon, 17 May 2021 00:00:00 -0700 2021-10272 Notice https://www.govinfo.gov/content/pkg/FR-2021-05-17/pdf/2021-10272.pdf Proposed Rule - Performance-Based Investment Advisory Fees https://regulations.justia.com/regulations/fedreg/2021/05/17/2021-10164.html https://regulations.justia.com/regulations/fedreg/2021/05/17/2021-10164.html Mon, 17 May 2021 00:00:00 -0700 2021-10164 Proposed Rule https://www.govinfo.gov/content/pkg/FR-2021-05-17/pdf/2021-10164.pdf Notice - 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 Model https://regulations.justia.com/regulations/fedreg/2021/05/14/2021-10187.html https://regulations.justia.com/regulations/fedreg/2021/05/14/2021-10187.html Fri, 14 May 2021 00:00:00 -0700 2021-10187 Notice https://www.govinfo.gov/content/pkg/FR-2021-05-14/pdf/2021-10187.pdf Notice - Self-Regulatory Organizations; Cboe BZX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Its Fee Schedule https://regulations.justia.com/regulations/fedreg/2021/05/14/2021-10178.html https://regulations.justia.com/regulations/fedreg/2021/05/14/2021-10178.html Fri, 14 May 2021 00:00:00 -0700 2021-10178 Notice https://www.govinfo.gov/content/pkg/FR-2021-05-14/pdf/2021-10178.pdf Notice - 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 Shell https://regulations.justia.com/regulations/fedreg/2021/05/14/2021-10176.html https://regulations.justia.com/regulations/fedreg/2021/05/14/2021-10176.html Fri, 14 May 2021 00:00:00 -0700 2021-10176 Notice https://www.govinfo.gov/content/pkg/FR-2021-05-14/pdf/2021-10176.pdf Notice - 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 Deposit https://regulations.justia.com/regulations/fedreg/2021/05/14/2021-10175.html https://regulations.justia.com/regulations/fedreg/2021/05/14/2021-10175.html Fri, 14 May 2021 00:00:00 -0700 2021-10175 Notice https://www.govinfo.gov/content/pkg/FR-2021-05-14/pdf/2021-10175.pdf Notice - 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 7.35C https://regulations.justia.com/regulations/fedreg/2021/05/14/2021-10174.html https://regulations.justia.com/regulations/fedreg/2021/05/14/2021-10174.html Fri, 14 May 2021 00:00:00 -0700 2021-10174 Notice https://www.govinfo.gov/content/pkg/FR-2021-05-14/pdf/2021-10174.pdf Notice - Self-Regulatory Organizations; ICE Clear Credit LLC; Order Approving Proposed Rule Change Relating to the ICC Recovery Plan and the ICC Wind-Down Plan https://regulations.justia.com/regulations/fedreg/2021/05/14/2021-10173.html https://regulations.justia.com/regulations/fedreg/2021/05/14/2021-10173.html Fri, 14 May 2021 00:00:00 -0700 2021-10173 Notice https://www.govinfo.gov/content/pkg/FR-2021-05-14/pdf/2021-10173.pdf Notice - 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 Session https://regulations.justia.com/regulations/fedreg/2021/05/14/2021-10172.html https://regulations.justia.com/regulations/fedreg/2021/05/14/2021-10172.html Fri, 14 May 2021 00:00:00 -0700 2021-10172 Notice https://www.govinfo.gov/content/pkg/FR-2021-05-14/pdf/2021-10172.pdf Notice - 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 Session https://regulations.justia.com/regulations/fedreg/2021/05/14/2021-10171.html https://regulations.justia.com/regulations/fedreg/2021/05/14/2021-10171.html Fri, 14 May 2021 00:00:00 -0700 2021-10171 Notice https://www.govinfo.gov/content/pkg/FR-2021-05-14/pdf/2021-10171.pdf Notice - 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 Session https://regulations.justia.com/regulations/fedreg/2021/05/14/2021-10170.html https://regulations.justia.com/regulations/fedreg/2021/05/14/2021-10170.html Fri, 14 May 2021 00:00:00 -0700 2021-10170 Notice https://www.govinfo.gov/content/pkg/FR-2021-05-14/pdf/2021-10170.pdf Notice - 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 Session https://regulations.justia.com/regulations/fedreg/2021/05/14/2021-10169.html https://regulations.justia.com/regulations/fedreg/2021/05/14/2021-10169.html Fri, 14 May 2021 00:00:00 -0700 2021-10169 Notice https://www.govinfo.gov/content/pkg/FR-2021-05-14/pdf/2021-10169.pdf Notice - Teachers Insurance and Annuity Association of America, et al. https://regulations.justia.com/regulations/fedreg/2021/05/14/2021-10159.html https://regulations.justia.com/regulations/fedreg/2021/05/14/2021-10159.html Fri, 14 May 2021 00:00:00 -0700 2021-10159 Notice https://www.govinfo.gov/content/pkg/FR-2021-05-14/pdf/2021-10159.pdf Notice - 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-Location https://regulations.justia.com/regulations/fedreg/2021/05/13/2021-10056.html https://regulations.justia.com/regulations/fedreg/2021/05/13/2021-10056.html Thu, 13 May 2021 00:00:00 -0700 2021-10056 Notice https://www.govinfo.gov/content/pkg/FR-2021-05-13/pdf/2021-10056.pdf Notice - Security-Based Swap Data Repositories; DTCC Data Repository (U.S.), LLC; Order Approving Application for Registration as a Security-Based Swap Data Repository https://regulations.justia.com/regulations/fedreg/2021/05/12/2021-10065.html https://regulations.justia.com/regulations/fedreg/2021/05/12/2021-10065.html Wed, 12 May 2021 00:00:00 -0700 2021-10065 Notice https://www.govinfo.gov/content/pkg/FR-2021-05-12/pdf/2021-10065.pdf Notice - 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 7.35A https://regulations.justia.com/regulations/fedreg/2021/05/12/2021-10057.html https://regulations.justia.com/regulations/fedreg/2021/05/12/2021-10057.html Wed, 12 May 2021 00:00:00 -0700 2021-10057 Notice https://www.govinfo.gov/content/pkg/FR-2021-05-12/pdf/2021-10057.pdf Notice - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing of a Proposed Rule Change Relating to Security-Based Swaps https://regulations.justia.com/regulations/fedreg/2021/05/12/2021-10055.html https://regulations.justia.com/regulations/fedreg/2021/05/12/2021-10055.html Wed, 12 May 2021 00:00:00 -0700 2021-10055 Notice https://www.govinfo.gov/content/pkg/FR-2021-05-12/pdf/2021-10055.pdf Notice - 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 Requirements https://regulations.justia.com/regulations/fedreg/2021/05/12/2021-10054.html https://regulations.justia.com/regulations/fedreg/2021/05/12/2021-10054.html Wed, 12 May 2021 00:00:00 -0700 2021-10054 Notice https://www.govinfo.gov/content/pkg/FR-2021-05-12/pdf/2021-10054.pdf Notice - 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” https://regulations.justia.com/regulations/fedreg/2021/05/12/2021-09975.html https://regulations.justia.com/regulations/fedreg/2021/05/12/2021-09975.html Wed, 12 May 2021 00:00:00 -0700 2021-09975 Notice https://www.govinfo.gov/content/pkg/FR-2021-05-12/pdf/2021-09975.pdf Notice - 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 .02 https://regulations.justia.com/regulations/fedreg/2021/05/12/2021-09974.html https://regulations.justia.com/regulations/fedreg/2021/05/12/2021-09974.html Wed, 12 May 2021 00:00:00 -0700 2021-09974 Notice https://www.govinfo.gov/content/pkg/FR-2021-05-12/pdf/2021-09974.pdf Notice - 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 Bundles https://regulations.justia.com/regulations/fedreg/2021/05/12/2021-09971.html https://regulations.justia.com/regulations/fedreg/2021/05/12/2021-09971.html Wed, 12 May 2021 00:00:00 -0700 2021-09971 Notice https://www.govinfo.gov/content/pkg/FR-2021-05-12/pdf/2021-09971.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/2021/05/12/2021-09970.html https://regulations.justia.com/regulations/fedreg/2021/05/12/2021-09970.html Wed, 12 May 2021 00:00:00 -0700 2021-09970 Notice https://www.govinfo.gov/content/pkg/FR-2021-05-12/pdf/2021-09970.pdf Notice - 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-E https://regulations.justia.com/regulations/fedreg/2021/05/12/2021-09969.html https://regulations.justia.com/regulations/fedreg/2021/05/12/2021-09969.html Wed, 12 May 2021 00:00:00 -0700 2021-09969 Notice https://www.govinfo.gov/content/pkg/FR-2021-05-12/pdf/2021-09969.pdf Notice - Proposed Collection; Comment Request https://regulations.justia.com/regulations/fedreg/2021/05/11/2021-09900.html https://regulations.justia.com/regulations/fedreg/2021/05/11/2021-09900.html Tue, 11 May 2021 00:00:00 -0700 2021-09900 Notice https://www.govinfo.gov/content/pkg/FR-2021-05-11/pdf/2021-09900.pdf Notice - 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 Options https://regulations.justia.com/regulations/fedreg/2021/05/11/2021-09890.html https://regulations.justia.com/regulations/fedreg/2021/05/11/2021-09890.html Tue, 11 May 2021 00:00:00 -0700 2021-09890 Notice https://www.govinfo.gov/content/pkg/FR-2021-05-11/pdf/2021-09890.pdf Notice - 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 Index https://regulations.justia.com/regulations/fedreg/2021/05/11/2021-09889.html https://regulations.justia.com/regulations/fedreg/2021/05/11/2021-09889.html Tue, 11 May 2021 00:00:00 -0700 2021-09889 Notice https://www.govinfo.gov/content/pkg/FR-2021-05-11/pdf/2021-09889.pdf Notice - 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 Exchange https://regulations.justia.com/regulations/fedreg/2021/05/11/2021-09888.html https://regulations.justia.com/regulations/fedreg/2021/05/11/2021-09888.html Tue, 11 May 2021 00:00:00 -0700 2021-09888 Notice https://www.govinfo.gov/content/pkg/FR-2021-05-11/pdf/2021-09888.pdf Notice - 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 Exchange https://regulations.justia.com/regulations/fedreg/2021/05/11/2021-09887.html https://regulations.justia.com/regulations/fedreg/2021/05/11/2021-09887.html Tue, 11 May 2021 00:00:00 -0700 2021-09887 Notice https://www.govinfo.gov/content/pkg/FR-2021-05-11/pdf/2021-09887.pdf Notice - 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 36.30 https://regulations.justia.com/regulations/fedreg/2021/05/11/2021-09886.html https://regulations.justia.com/regulations/fedreg/2021/05/11/2021-09886.html Tue, 11 May 2021 00:00:00 -0700 2021-09886 Notice https://www.govinfo.gov/content/pkg/FR-2021-05-11/pdf/2021-09886.pdf Notice - 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 Strikes https://regulations.justia.com/regulations/fedreg/2021/05/11/2021-09885.html https://regulations.justia.com/regulations/fedreg/2021/05/11/2021-09885.html Tue, 11 May 2021 00:00:00 -0700 2021-09885 Notice https://www.govinfo.gov/content/pkg/FR-2021-05-11/pdf/2021-09885.pdf Notice - Self-Regulatory Organizations; Miami International Securities Exchange, LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Exchange Rule 404 To Limit Short Term Options Series Intervals Between Strikes https://regulations.justia.com/regulations/fedreg/2021/05/11/2021-09884.html https://regulations.justia.com/regulations/fedreg/2021/05/11/2021-09884.html Tue, 11 May 2021 00:00:00 -0700 2021-09884 Notice https://www.govinfo.gov/content/pkg/FR-2021-05-11/pdf/2021-09884.pdf Notice - 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 Amounts https://regulations.justia.com/regulations/fedreg/2021/05/11/2021-09883.html https://regulations.justia.com/regulations/fedreg/2021/05/11/2021-09883.html Tue, 11 May 2021 00:00:00 -0700 2021-09883 Notice https://www.govinfo.gov/content/pkg/FR-2021-05-11/pdf/2021-09883.pdf Notice - 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, 2021 https://regulations.justia.com/regulations/fedreg/2021/05/11/2021-09882.html https://regulations.justia.com/regulations/fedreg/2021/05/11/2021-09882.html Tue, 11 May 2021 00:00:00 -0700 2021-09882 Notice https://www.govinfo.gov/content/pkg/FR-2021-05-11/pdf/2021-09882.pdf Rule - Adoption of Updated EDGAR Filer Manual, Form ID Amendments https://regulations.justia.com/regulations/fedreg/2021/05/11/2021-08759.html https://regulations.justia.com/regulations/fedreg/2021/05/11/2021-08759.html Tue, 11 May 2021 00:00:00 -0700 2021-08759 Rule https://www.govinfo.gov/content/pkg/FR-2021-05-11/pdf/2021-08759.pdf Notice - Sunshine Act Meeting; Cancellation https://regulations.justia.com/regulations/fedreg/2021/05/10/2021-09940.html https://regulations.justia.com/regulations/fedreg/2021/05/10/2021-09940.html Mon, 10 May 2021 00:00:00 -0700 2021-09940 Notice https://www.govinfo.gov/content/pkg/FR-2021-05-10/pdf/2021-09940.pdf Notice - Sunshine Act Meetings https://regulations.justia.com/regulations/fedreg/2021/05/10/2021-09939.html https://regulations.justia.com/regulations/fedreg/2021/05/10/2021-09939.html Mon, 10 May 2021 00:00:00 -0700 2021-09939 Notice https://www.govinfo.gov/content/pkg/FR-2021-05-10/pdf/2021-09939.pdf Notice - Self-Regulatory Organizations; National Securities Clearing Corporation; Notice of No Objection To Advance Notice To Amend the Supplemental Liquidity Deposit Requirements https://regulations.justia.com/regulations/fedreg/2021/05/10/2021-09788.html https://regulations.justia.com/regulations/fedreg/2021/05/10/2021-09788.html Mon, 10 May 2021 00:00:00 -0700 2021-09788 Notice https://www.govinfo.gov/content/pkg/FR-2021-05-10/pdf/2021-09788.pdf Notice - 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 Trail https://regulations.justia.com/regulations/fedreg/2021/05/10/2021-09786.html https://regulations.justia.com/regulations/fedreg/2021/05/10/2021-09786.html Mon, 10 May 2021 00:00:00 -0700 2021-09786 Notice https://www.govinfo.gov/content/pkg/FR-2021-05-10/pdf/2021-09786.pdf Notice - 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 Trail https://regulations.justia.com/regulations/fedreg/2021/05/10/2021-09785.html https://regulations.justia.com/regulations/fedreg/2021/05/10/2021-09785.html Mon, 10 May 2021 00:00:00 -0700 2021-09785 Notice https://www.govinfo.gov/content/pkg/FR-2021-05-10/pdf/2021-09785.pdf Notice - 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 Trail https://regulations.justia.com/regulations/fedreg/2021/05/10/2021-09784.html https://regulations.justia.com/regulations/fedreg/2021/05/10/2021-09784.html Mon, 10 May 2021 00:00:00 -0700 2021-09784 Notice https://www.govinfo.gov/content/pkg/FR-2021-05-10/pdf/2021-09784.pdf Notice - 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 Trail https://regulations.justia.com/regulations/fedreg/2021/05/10/2021-09782.html https://regulations.justia.com/regulations/fedreg/2021/05/10/2021-09782.html Mon, 10 May 2021 00:00:00 -0700 2021-09782 Notice https://www.govinfo.gov/content/pkg/FR-2021-05-10/pdf/2021-09782.pdf Notice - Self-Regulatory Organizations: Investors Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Allow Discretionary Limit Orders To Be Reserve Orders https://regulations.justia.com/regulations/fedreg/2021/05/10/2021-09781.html https://regulations.justia.com/regulations/fedreg/2021/05/10/2021-09781.html Mon, 10 May 2021 00:00:00 -0700 2021-09781 Notice https://www.govinfo.gov/content/pkg/FR-2021-05-10/pdf/2021-09781.pdf Notice - 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 Trail https://regulations.justia.com/regulations/fedreg/2021/05/10/2021-09780.html https://regulations.justia.com/regulations/fedreg/2021/05/10/2021-09780.html Mon, 10 May 2021 00:00:00 -0700 2021-09780 Notice https://www.govinfo.gov/content/pkg/FR-2021-05-10/pdf/2021-09780.pdf Notice - 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 Trail https://regulations.justia.com/regulations/fedreg/2021/05/10/2021-09779.html https://regulations.justia.com/regulations/fedreg/2021/05/10/2021-09779.html Mon, 10 May 2021 00:00:00 -0700 2021-09779 Notice https://www.govinfo.gov/content/pkg/FR-2021-05-10/pdf/2021-09779.pdf Notice - 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 Trail https://regulations.justia.com/regulations/fedreg/2021/05/10/2021-09778.html https://regulations.justia.com/regulations/fedreg/2021/05/10/2021-09778.html Mon, 10 May 2021 00:00:00 -0700 2021-09778 Notice https://www.govinfo.gov/content/pkg/FR-2021-05-10/pdf/2021-09778.pdf Notice - 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 Trail https://regulations.justia.com/regulations/fedreg/2021/05/10/2021-09777.html https://regulations.justia.com/regulations/fedreg/2021/05/10/2021-09777.html Mon, 10 May 2021 00:00:00 -0700 2021-09777 Notice https://www.govinfo.gov/content/pkg/FR-2021-05-10/pdf/2021-09777.pdf Notice - 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 Crossed https://regulations.justia.com/regulations/fedreg/2021/05/10/2021-09776.html https://regulations.justia.com/regulations/fedreg/2021/05/10/2021-09776.html Mon, 10 May 2021 00:00:00 -0700 2021-09776 Notice https://www.govinfo.gov/content/pkg/FR-2021-05-10/pdf/2021-09776.pdf Notice - 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 Makers https://regulations.justia.com/regulations/fedreg/2021/05/10/2021-09775.html https://regulations.justia.com/regulations/fedreg/2021/05/10/2021-09775.html Mon, 10 May 2021 00:00:00 -0700 2021-09775 Notice https://www.govinfo.gov/content/pkg/FR-2021-05-10/pdf/2021-09775.pdf Notice - 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 Note https://regulations.justia.com/regulations/fedreg/2021/05/10/2021-09774.html https://regulations.justia.com/regulations/fedreg/2021/05/10/2021-09774.html Mon, 10 May 2021 00:00:00 -0700 2021-09774 Notice https://www.govinfo.gov/content/pkg/FR-2021-05-10/pdf/2021-09774.pdf Notice - 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 Hearings https://regulations.justia.com/regulations/fedreg/2021/05/10/2021-09773.html https://regulations.justia.com/regulations/fedreg/2021/05/10/2021-09773.html Mon, 10 May 2021 00:00:00 -0700 2021-09773 Notice https://www.govinfo.gov/content/pkg/FR-2021-05-10/pdf/2021-09773.pdf Notice - 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 Hearings https://regulations.justia.com/regulations/fedreg/2021/05/10/2021-09772.html https://regulations.justia.com/regulations/fedreg/2021/05/10/2021-09772.html Mon, 10 May 2021 00:00:00 -0700 2021-09772 Notice https://www.govinfo.gov/content/pkg/FR-2021-05-10/pdf/2021-09772.pdf Notice - 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 Hearings https://regulations.justia.com/regulations/fedreg/2021/05/10/2021-09771.html https://regulations.justia.com/regulations/fedreg/2021/05/10/2021-09771.html Mon, 10 May 2021 00:00:00 -0700 2021-09771 Notice https://www.govinfo.gov/content/pkg/FR-2021-05-10/pdf/2021-09771.pdf Notice - 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 Hearings https://regulations.justia.com/regulations/fedreg/2021/05/10/2021-09770.html https://regulations.justia.com/regulations/fedreg/2021/05/10/2021-09770.html Mon, 10 May 2021 00:00:00 -0700 2021-09770 Notice https://www.govinfo.gov/content/pkg/FR-2021-05-10/pdf/2021-09770.pdf Notice - 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 Trail https://regulations.justia.com/regulations/fedreg/2021/05/10/2021-09769.html https://regulations.justia.com/regulations/fedreg/2021/05/10/2021-09769.html Mon, 10 May 2021 00:00:00 -0700 2021-09769 Notice https://www.govinfo.gov/content/pkg/FR-2021-05-10/pdf/2021-09769.pdf Notice - 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 Trail https://regulations.justia.com/regulations/fedreg/2021/05/10/2021-09768.html https://regulations.justia.com/regulations/fedreg/2021/05/10/2021-09768.html Mon, 10 May 2021 00:00:00 -0700 2021-09768 Notice https://www.govinfo.gov/content/pkg/FR-2021-05-10/pdf/2021-09768.pdf Notice - 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 Trail https://regulations.justia.com/regulations/fedreg/2021/05/10/2021-09767.html https://regulations.justia.com/regulations/fedreg/2021/05/10/2021-09767.html Mon, 10 May 2021 00:00:00 -0700 2021-09767 Notice https://www.govinfo.gov/content/pkg/FR-2021-05-10/pdf/2021-09767.pdf Notice - 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 Trail https://regulations.justia.com/regulations/fedreg/2021/05/10/2021-09766.html https://regulations.justia.com/regulations/fedreg/2021/05/10/2021-09766.html Mon, 10 May 2021 00:00:00 -0700 2021-09766 Notice https://www.govinfo.gov/content/pkg/FR-2021-05-10/pdf/2021-09766.pdf Notice - Trinity Capital, Inc. https://regulations.justia.com/regulations/fedreg/2021/05/07/2021-09650.html https://regulations.justia.com/regulations/fedreg/2021/05/07/2021-09650.html Fri, 07 May 2021 00:00:00 -0700 2021-09650 Notice https://www.govinfo.gov/content/pkg/FR-2021-05-07/pdf/2021-09650.pdf Notice - 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 Fees https://regulations.justia.com/regulations/fedreg/2021/05/07/2021-09646.html https://regulations.justia.com/regulations/fedreg/2021/05/07/2021-09646.html Fri, 07 May 2021 00:00:00 -0700 2021-09646 Notice https://www.govinfo.gov/content/pkg/FR-2021-05-07/pdf/2021-09646.pdf Notice - 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”) https://regulations.justia.com/regulations/fedreg/2021/05/07/2021-09645.html https://regulations.justia.com/regulations/fedreg/2021/05/07/2021-09645.html Fri, 07 May 2021 00:00:00 -0700 2021-09645 Notice https://www.govinfo.gov/content/pkg/FR-2021-05-07/pdf/2021-09645.pdf Notice - 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”) https://regulations.justia.com/regulations/fedreg/2021/05/07/2021-09644.html https://regulations.justia.com/regulations/fedreg/2021/05/07/2021-09644.html Fri, 07 May 2021 00:00:00 -0700 2021-09644 Notice https://www.govinfo.gov/content/pkg/FR-2021-05-07/pdf/2021-09644.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/2021/05/07/2021-09643.html https://regulations.justia.com/regulations/fedreg/2021/05/07/2021-09643.html Fri, 07 May 2021 00:00:00 -0700 2021-09643 Notice https://www.govinfo.gov/content/pkg/FR-2021-05-07/pdf/2021-09643.pdf Notice - 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 Procedures https://regulations.justia.com/regulations/fedreg/2021/05/06/2021-09528.html https://regulations.justia.com/regulations/fedreg/2021/05/06/2021-09528.html Thu, 06 May 2021 00:00:00 -0700 2021-09528 Notice https://www.govinfo.gov/content/pkg/FR-2021-05-06/pdf/2021-09528.pdf Notice - 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, 2021 https://regulations.justia.com/regulations/fedreg/2021/05/06/2021-09527.html https://regulations.justia.com/regulations/fedreg/2021/05/06/2021-09527.html Thu, 06 May 2021 00:00:00 -0700 2021-09527 Notice https://www.govinfo.gov/content/pkg/FR-2021-05-06/pdf/2021-09527.pdf Notice - 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 Guide https://regulations.justia.com/regulations/fedreg/2021/05/06/2021-09526.html https://regulations.justia.com/regulations/fedreg/2021/05/06/2021-09526.html Thu, 06 May 2021 00:00:00 -0700 2021-09526 Notice https://www.govinfo.gov/content/pkg/FR-2021-05-06/pdf/2021-09526.pdf Notice - Notice of Applications for Deregistration Under Section 8(f) of the Investment Company Act of 1940 https://regulations.justia.com/regulations/fedreg/2021/05/06/2021-09524.html https://regulations.justia.com/regulations/fedreg/2021/05/06/2021-09524.html Thu, 06 May 2021 00:00:00 -0700 2021-09524 Notice https://www.govinfo.gov/content/pkg/FR-2021-05-06/pdf/2021-09524.pdf Proposed Rule - Reopening of Comment Period for Universal Proxy https://regulations.justia.com/regulations/fedreg/2021/05/06/2021-08301.html https://regulations.justia.com/regulations/fedreg/2021/05/06/2021-08301.html Thu, 06 May 2021 00:00:00 -0700 2021-08301 Proposed Rule https://www.govinfo.gov/content/pkg/FR-2021-05-06/pdf/2021-08301.pdf Notice - Sunshine Act Meeting; Date Change https://regulations.justia.com/regulations/fedreg/2021/05/05/2021-09552.html https://regulations.justia.com/regulations/fedreg/2021/05/05/2021-09552.html Wed, 05 May 2021 00:00:00 -0700 2021-09552 Notice https://www.govinfo.gov/content/pkg/FR-2021-05-05/pdf/2021-09552.pdf Notice - Self-Regulatory Organizations; NYSE Chicago, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending the Fee Schedule of NYSE Chicago, Inc. https://regulations.justia.com/regulations/fedreg/2021/05/05/2021-09450.html https://regulations.justia.com/regulations/fedreg/2021/05/05/2021-09450.html Wed, 05 May 2021 00:00:00 -0700 2021-09450 Notice https://www.govinfo.gov/content/pkg/FR-2021-05-05/pdf/2021-09450.pdf Notice - Self-Regulatory Organizations; NYSE National, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending NYSE National, Inc.'s Price List https://regulations.justia.com/regulations/fedreg/2021/05/05/2021-09449.html https://regulations.justia.com/regulations/fedreg/2021/05/05/2021-09449.html Wed, 05 May 2021 00:00:00 -0700 2021-09449 Notice https://www.govinfo.gov/content/pkg/FR-2021-05-05/pdf/2021-09449.pdf Notice - 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 Access https://regulations.justia.com/regulations/fedreg/2021/05/05/2021-09448.html https://regulations.justia.com/regulations/fedreg/2021/05/05/2021-09448.html Wed, 05 May 2021 00:00:00 -0700 2021-09448 Notice https://www.govinfo.gov/content/pkg/FR-2021-05-05/pdf/2021-09448.pdf Notice - 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 Access https://regulations.justia.com/regulations/fedreg/2021/05/05/2021-09447.html https://regulations.justia.com/regulations/fedreg/2021/05/05/2021-09447.html Wed, 05 May 2021 00:00:00 -0700 2021-09447 Notice https://www.govinfo.gov/content/pkg/FR-2021-05-05/pdf/2021-09447.pdf Notice - 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 Access https://regulations.justia.com/regulations/fedreg/2021/05/05/2021-09446.html https://regulations.justia.com/regulations/fedreg/2021/05/05/2021-09446.html Wed, 05 May 2021 00:00:00 -0700 2021-09446 Notice https://www.govinfo.gov/content/pkg/FR-2021-05-05/pdf/2021-09446.pdf Notice - 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 Access https://regulations.justia.com/regulations/fedreg/2021/05/05/2021-09445.html https://regulations.justia.com/regulations/fedreg/2021/05/05/2021-09445.html Wed, 05 May 2021 00:00:00 -0700 2021-09445 Notice https://www.govinfo.gov/content/pkg/FR-2021-05-05/pdf/2021-09445.pdf Notice - 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 Access https://regulations.justia.com/regulations/fedreg/2021/05/05/2021-09444.html https://regulations.justia.com/regulations/fedreg/2021/05/05/2021-09444.html Wed, 05 May 2021 00:00:00 -0700 2021-09444 Notice https://www.govinfo.gov/content/pkg/FR-2021-05-05/pdf/2021-09444.pdf Notice - 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 BOX https://regulations.justia.com/regulations/fedreg/2021/05/05/2021-09443.html https://regulations.justia.com/regulations/fedreg/2021/05/05/2021-09443.html Wed, 05 May 2021 00:00:00 -0700 2021-09443 Notice https://www.govinfo.gov/content/pkg/FR-2021-05-05/pdf/2021-09443.pdf Notice - 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 Schedules https://regulations.justia.com/regulations/fedreg/2021/05/05/2021-09442.html https://regulations.justia.com/regulations/fedreg/2021/05/05/2021-09442.html Wed, 05 May 2021 00:00:00 -0700 2021-09442 Notice https://www.govinfo.gov/content/pkg/FR-2021-05-05/pdf/2021-09442.pdf Notice - 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 Schedule https://regulations.justia.com/regulations/fedreg/2021/05/05/2021-09441.html https://regulations.justia.com/regulations/fedreg/2021/05/05/2021-09441.html Wed, 05 May 2021 00:00:00 -0700 2021-09441 Notice https://www.govinfo.gov/content/pkg/FR-2021-05-05/pdf/2021-09441.pdf Notice - 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 List https://regulations.justia.com/regulations/fedreg/2021/05/05/2021-09440.html https://regulations.justia.com/regulations/fedreg/2021/05/05/2021-09440.html Wed, 05 May 2021 00:00:00 -0700 2021-09440 Notice https://www.govinfo.gov/content/pkg/FR-2021-05-05/pdf/2021-09440.pdf Notice - 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, 2021 https://regulations.justia.com/regulations/fedreg/2021/05/05/2021-09439.html https://regulations.justia.com/regulations/fedreg/2021/05/05/2021-09439.html Wed, 05 May 2021 00:00:00 -0700 2021-09439 Notice https://www.govinfo.gov/content/pkg/FR-2021-05-05/pdf/2021-09439.pdf Notice - 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 2.1210 https://regulations.justia.com/regulations/fedreg/2021/05/05/2021-09438.html https://regulations.justia.com/regulations/fedreg/2021/05/05/2021-09438.html Wed, 05 May 2021 00:00:00 -0700 2021-09438 Notice https://www.govinfo.gov/content/pkg/FR-2021-05-05/pdf/2021-09438.pdf Notice - 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 13 https://regulations.justia.com/regulations/fedreg/2021/05/05/2021-09437.html https://regulations.justia.com/regulations/fedreg/2021/05/05/2021-09437.html Wed, 05 May 2021 00:00:00 -0700 2021-09437 Notice https://www.govinfo.gov/content/pkg/FR-2021-05-05/pdf/2021-09437.pdf Notice - 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 2.1210 https://regulations.justia.com/regulations/fedreg/2021/05/05/2021-09436.html https://regulations.justia.com/regulations/fedreg/2021/05/05/2021-09436.html Wed, 05 May 2021 00:00:00 -0700 2021-09436 Notice https://www.govinfo.gov/content/pkg/FR-2021-05-05/pdf/2021-09436.pdf Notice - 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 2.1210 https://regulations.justia.com/regulations/fedreg/2021/05/05/2021-09435.html https://regulations.justia.com/regulations/fedreg/2021/05/05/2021-09435.html Wed, 05 May 2021 00:00:00 -0700 2021-09435 Notice https://www.govinfo.gov/content/pkg/FR-2021-05-05/pdf/2021-09435.pdf Notice - 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 1210 https://regulations.justia.com/regulations/fedreg/2021/05/05/2021-09434.html https://regulations.justia.com/regulations/fedreg/2021/05/05/2021-09434.html Wed, 05 May 2021 00:00:00 -0700 2021-09434 Notice https://www.govinfo.gov/content/pkg/FR-2021-05-05/pdf/2021-09434.pdf Notice - 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, 2021 https://regulations.justia.com/regulations/fedreg/2021/05/05/2021-09433.html https://regulations.justia.com/regulations/fedreg/2021/05/05/2021-09433.html Wed, 05 May 2021 00:00:00 -0700 2021-09433 Notice https://www.govinfo.gov/content/pkg/FR-2021-05-05/pdf/2021-09433.pdf Notice - 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, 2021 https://regulations.justia.com/regulations/fedreg/2021/05/05/2021-09432.html https://regulations.justia.com/regulations/fedreg/2021/05/05/2021-09432.html Wed, 05 May 2021 00:00:00 -0700 2021-09432 Notice https://www.govinfo.gov/content/pkg/FR-2021-05-05/pdf/2021-09432.pdf Notice - 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 eQuotes https://regulations.justia.com/regulations/fedreg/2021/05/05/2021-09431.html https://regulations.justia.com/regulations/fedreg/2021/05/05/2021-09431.html Wed, 05 May 2021 00:00:00 -0700 2021-09431 Notice https://www.govinfo.gov/content/pkg/FR-2021-05-05/pdf/2021-09431.pdf Notice - 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 Access https://regulations.justia.com/regulations/fedreg/2021/05/05/2021-09430.html https://regulations.justia.com/regulations/fedreg/2021/05/05/2021-09430.html Wed, 05 May 2021 00:00:00 -0700 2021-09430 Notice https://www.govinfo.gov/content/pkg/FR-2021-05-05/pdf/2021-09430.pdf Notice - 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 Renewals https://regulations.justia.com/regulations/fedreg/2021/05/05/2021-09428.html https://regulations.justia.com/regulations/fedreg/2021/05/05/2021-09428.html Wed, 05 May 2021 00:00:00 -0700 2021-09428 Notice https://www.govinfo.gov/content/pkg/FR-2021-05-05/pdf/2021-09428.pdf Notice - 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 Index https://regulations.justia.com/regulations/fedreg/2021/05/05/2021-09281.html https://regulations.justia.com/regulations/fedreg/2021/05/05/2021-09281.html Wed, 05 May 2021 00:00:00 -0700 2021-09281 Notice https://www.govinfo.gov/content/pkg/FR-2021-05-05/pdf/2021-09281.pdf Notice - 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 Shares https://regulations.justia.com/regulations/fedreg/2021/05/05/2021-09280.html https://regulations.justia.com/regulations/fedreg/2021/05/05/2021-09280.html Wed, 05 May 2021 00:00:00 -0700 2021-09280 Notice https://www.govinfo.gov/content/pkg/FR-2021-05-05/pdf/2021-09280.pdf Notice - HPS Corporate Lending Fund and HPS Investment Partners, LLC https://regulations.justia.com/regulations/fedreg/2021/05/04/2021-09385.html https://regulations.justia.com/regulations/fedreg/2021/05/04/2021-09385.html Tue, 04 May 2021 00:00:00 -0700 2021-09385 Notice https://www.govinfo.gov/content/pkg/FR-2021-05-04/pdf/2021-09385.pdf Notice - Proposed Collection; Comment Request https://regulations.justia.com/regulations/fedreg/2021/05/04/2021-09354.html https://regulations.justia.com/regulations/fedreg/2021/05/04/2021-09354.html Tue, 04 May 2021 00:00:00 -0700 2021-09354 Notice https://www.govinfo.gov/content/pkg/FR-2021-05-04/pdf/2021-09354.pdf Notice - Proposed Collection; Comment Request https://regulations.justia.com/regulations/fedreg/2021/05/04/2021-09353.html https://regulations.justia.com/regulations/fedreg/2021/05/04/2021-09353.html Tue, 04 May 2021 00:00:00 -0700 2021-09353 Notice https://www.govinfo.gov/content/pkg/FR-2021-05-04/pdf/2021-09353.pdf Notice - Proposed Collection; Comment Request https://regulations.justia.com/regulations/fedreg/2021/05/04/2021-09352.html https://regulations.justia.com/regulations/fedreg/2021/05/04/2021-09352.html Tue, 04 May 2021 00:00:00 -0700 2021-09352 Notice https://www.govinfo.gov/content/pkg/FR-2021-05-04/pdf/2021-09352.pdf Notice - Proposed Collection; Comment Request https://regulations.justia.com/regulations/fedreg/2021/05/04/2021-09351.html https://regulations.justia.com/regulations/fedreg/2021/05/04/2021-09351.html Tue, 04 May 2021 00:00:00 -0700 2021-09351 Notice https://www.govinfo.gov/content/pkg/FR-2021-05-04/pdf/2021-09351.pdf Notice - Proposed Collection; Comment Request https://regulations.justia.com/regulations/fedreg/2021/05/04/2021-09350.html https://regulations.justia.com/regulations/fedreg/2021/05/04/2021-09350.html Tue, 04 May 2021 00:00:00 -0700 2021-09350 Notice https://www.govinfo.gov/content/pkg/FR-2021-05-04/pdf/2021-09350.pdf Notice - Proposed Collection; Comment Request https://regulations.justia.com/regulations/fedreg/2021/05/04/2021-09349.html https://regulations.justia.com/regulations/fedreg/2021/05/04/2021-09349.html Tue, 04 May 2021 00:00:00 -0700 2021-09349 Notice https://www.govinfo.gov/content/pkg/FR-2021-05-04/pdf/2021-09349.pdf Notice - Proposed Collection; Comment Request https://regulations.justia.com/regulations/fedreg/2021/05/04/2021-09348.html https://regulations.justia.com/regulations/fedreg/2021/05/04/2021-09348.html Tue, 04 May 2021 00:00:00 -0700 2021-09348 Notice https://www.govinfo.gov/content/pkg/FR-2021-05-04/pdf/2021-09348.pdf Notice - Proposed Collection; Comment Request https://regulations.justia.com/regulations/fedreg/2021/05/04/2021-09347.html https://regulations.justia.com/regulations/fedreg/2021/05/04/2021-09347.html Tue, 04 May 2021 00:00:00 -0700 2021-09347 Notice https://www.govinfo.gov/content/pkg/FR-2021-05-04/pdf/2021-09347.pdf Notice - 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 Options https://regulations.justia.com/regulations/fedreg/2021/05/04/2021-09285.html https://regulations.justia.com/regulations/fedreg/2021/05/04/2021-09285.html Tue, 04 May 2021 00:00:00 -0700 2021-09285 Notice https://www.govinfo.gov/content/pkg/FR-2021-05-04/pdf/2021-09285.pdf Notice - 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 Options https://regulations.justia.com/regulations/fedreg/2021/05/04/2021-09284.html https://regulations.justia.com/regulations/fedreg/2021/05/04/2021-09284.html Tue, 04 May 2021 00:00:00 -0700 2021-09284 Notice https://www.govinfo.gov/content/pkg/FR-2021-05-04/pdf/2021-09284.pdf Notice - 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 Program https://regulations.justia.com/regulations/fedreg/2021/05/04/2021-09283.html https://regulations.justia.com/regulations/fedreg/2021/05/04/2021-09283.html Tue, 04 May 2021 00:00:00 -0700 2021-09283 Notice https://www.govinfo.gov/content/pkg/FR-2021-05-04/pdf/2021-09283.pdf Notice - 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, 2021 https://regulations.justia.com/regulations/fedreg/2021/05/04/2021-09282.html https://regulations.justia.com/regulations/fedreg/2021/05/04/2021-09282.html Tue, 04 May 2021 00:00:00 -0700 2021-09282 Notice https://www.govinfo.gov/content/pkg/FR-2021-05-04/pdf/2021-09282.pdf Notice - Sunshine Act Meetings https://regulations.justia.com/regulations/fedreg/2021/05/03/2021-09398.html https://regulations.justia.com/regulations/fedreg/2021/05/03/2021-09398.html Mon, 03 May 2021 00:00:00 -0700 2021-09398 Notice https://www.govinfo.gov/content/pkg/FR-2021-05-03/pdf/2021-09398.pdf Notice - Sunshine Act Meetings; Cancellation https://regulations.justia.com/regulations/fedreg/2021/05/03/2021-09305.html https://regulations.justia.com/regulations/fedreg/2021/05/03/2021-09305.html Mon, 03 May 2021 00:00:00 -0700 2021-09305 Notice https://www.govinfo.gov/content/pkg/FR-2021-05-03/pdf/2021-09305.pdf Notice - 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-2020-20 https://regulations.justia.com/regulations/fedreg/2021/05/03/2021-09133.html https://regulations.justia.com/regulations/fedreg/2021/05/03/2021-09133.html Mon, 03 May 2021 00:00:00 -0700 2021-09133 Notice https://www.govinfo.gov/content/pkg/FR-2021-05-03/pdf/2021-09133.pdf Notice - 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”) Auctions https://regulations.justia.com/regulations/fedreg/2021/05/03/2021-09132.html https://regulations.justia.com/regulations/fedreg/2021/05/03/2021-09132.html Mon, 03 May 2021 00:00:00 -0700 2021-09132 Notice https://www.govinfo.gov/content/pkg/FR-2021-05-03/pdf/2021-09132.pdf Notice - 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, 2021 https://regulations.justia.com/regulations/fedreg/2021/05/03/2021-09131.html https://regulations.justia.com/regulations/fedreg/2021/05/03/2021-09131.html Mon, 03 May 2021 00:00:00 -0700 2021-09131 Notice https://www.govinfo.gov/content/pkg/FR-2021-05-03/pdf/2021-09131.pdf Notice - 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 7 https://regulations.justia.com/regulations/fedreg/2021/05/03/2021-09130.html https://regulations.justia.com/regulations/fedreg/2021/05/03/2021-09130.html Mon, 03 May 2021 00:00:00 -0700 2021-09130 Notice https://www.govinfo.gov/content/pkg/FR-2021-05-03/pdf/2021-09130.pdf Notice - 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 Trading https://regulations.justia.com/regulations/fedreg/2021/05/03/2021-09129.html https://regulations.justia.com/regulations/fedreg/2021/05/03/2021-09129.html Mon, 03 May 2021 00:00:00 -0700 2021-09129 Notice https://www.govinfo.gov/content/pkg/FR-2021-05-03/pdf/2021-09129.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/2021/05/03/2021-09027.html https://regulations.justia.com/regulations/fedreg/2021/05/03/2021-09027.html Mon, 03 May 2021 00:00:00 -0700 2021-09027 Notice https://www.govinfo.gov/content/pkg/FR-2021-05-03/pdf/2021-09027.pdf Notice - 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. Customers https://regulations.justia.com/regulations/fedreg/2021/05/03/2021-09025.html https://regulations.justia.com/regulations/fedreg/2021/05/03/2021-09025.html Mon, 03 May 2021 00:00:00 -0700 2021-09025 Notice https://www.govinfo.gov/content/pkg/FR-2021-05-03/pdf/2021-09025.pdf Notice - 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 Shares https://regulations.justia.com/regulations/fedreg/2021/05/03/2021-09024.html https://regulations.justia.com/regulations/fedreg/2021/05/03/2021-09024.html Mon, 03 May 2021 00:00:00 -0700 2021-09024 Notice https://www.govinfo.gov/content/pkg/FR-2021-05-03/pdf/2021-09024.pdf Notice - 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 https://regulations.justia.com/regulations/fedreg/2021/05/03/2021-09020.html https://regulations.justia.com/regulations/fedreg/2021/05/03/2021-09020.html Mon, 03 May 2021 00:00:00 -0700 2021-09020 Notice https://www.govinfo.gov/content/pkg/FR-2021-05-03/pdf/2021-09020.pdf