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/2021/06?limit=200®isters=between&min-day=1&max-day=30&mode=atom2024-04-27T09:44:51-07:00Justia Inchttps://www.justia.com/Justia Regulations Trackerhttps://regulations.justia.com/images/justiafedregulations.gifCopyright 2011 Justia Inchttps://regulations.justia.com/regulations/fedreg/2021/06/30/2021-13917.htmlNotice - Self-Regulatory Organizations; Cboe BYX Exchange, Inc.; Cboe BZX Exchange, Inc.; Cboe EDGA Exchange, Inc.; Cboe EDGX Exchange, Inc.; Order Granting Approval of Proposed Rule Changes, as Modified by Amendments No. 1, Relating to the Exchanges' Process for Re-Opening Securities Listed on Other National Securities Exchanges Following the Resumption of Trading After a Halt, Suspension, or Pause Outside of Regular Trading Hours2021-06-30T00:00:00-07:002021-06-30T00:00:00-07:002021-13917Noticehttps://www.govinfo.gov/content/pkg/FR-2021-06-30/pdf/2021-13917.pdfhttps://regulations.justia.com/regulations/fedreg/2021/06/30/2021-13916.htmlNotice - Self-Regulatory Organizations; The Nasdaq Stock Market LLC; Notice of Filing of Proposed Rule Change To Modify Certain Pricing Limitations for Companies Listing in Connection With a Direct Listing Primary Offering2021-06-30T00:00:00-07:002021-06-30T00:00:00-07:002021-13916Noticehttps://www.govinfo.gov/content/pkg/FR-2021-06-30/pdf/2021-13916.pdfhttps://regulations.justia.com/regulations/fedreg/2021/06/30/2021-13915.htmlNotice - Self-Regulatory Organizations; BOX Exchange LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend BOX Rule 7300 (Preferenced Orders)2021-06-30T00:00:00-07:002021-06-30T00:00:00-07:002021-13915Noticehttps://www.govinfo.gov/content/pkg/FR-2021-06-30/pdf/2021-13915.pdfhttps://regulations.justia.com/regulations/fedreg/2021/06/30/2021-13914.htmlNotice - Self-Regulatory Organizations; NYSE American LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Rule 7.31E To Add a Retail Order Modifier and the NYSE American Equities Price List and Fee Schedule To Cross Reference the Retail Order Modifier2021-06-30T00:00:00-07:002021-06-30T00:00:00-07:002021-13914Noticehttps://www.govinfo.gov/content/pkg/FR-2021-06-30/pdf/2021-13914.pdfhttps://regulations.justia.com/regulations/fedreg/2021/06/30/2021-13913.htmlNotice - Self-Regulatory Organizations; National Securities Clearing Corporation; Notice of Designation of Longer Period for Commission Action on Proposed Rule Change To Increase the National Securities Clearing Corporation's Minimum Required Fund Deposit2021-06-30T00:00:00-07:002021-06-30T00:00:00-07:002021-13913Noticehttps://www.govinfo.gov/content/pkg/FR-2021-06-30/pdf/2021-13913.pdfhttps://regulations.justia.com/regulations/fedreg/2021/06/30/2021-13912.htmlNotice - Self-Regulatory Organizations; The Depository Trust Company; Notice of Filing of and Immediate Effectiveness of Proposed Rule Change To Modify the DTC Settlement Service Guide and the Form of DTC Pledgee's Agreement2021-06-30T00:00:00-07:002021-06-30T00:00:00-07:002021-13912Noticehttps://www.govinfo.gov/content/pkg/FR-2021-06-30/pdf/2021-13912.pdfhttps://regulations.justia.com/regulations/fedreg/2021/06/30/2021-13911.htmlNotice - Investcorp Credit Management BDC, Inc., et al.2021-06-30T00:00:00-07:002021-06-30T00:00:00-07:002021-13911Noticehttps://www.govinfo.gov/content/pkg/FR-2021-06-30/pdf/2021-13911.pdfhttps://regulations.justia.com/regulations/fedreg/2021/06/30/2021-13910.htmlNotice - iCapital KKR Private Markets Fund, et al.2021-06-30T00:00:00-07:002021-06-30T00:00:00-07:002021-13910Noticehttps://www.govinfo.gov/content/pkg/FR-2021-06-30/pdf/2021-13910.pdfhttps://regulations.justia.com/regulations/fedreg/2021/06/29/2021-13786.htmlNotice - Self-Regulatory Organizations; Nasdaq BX, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend General 9, Section 18, Payments for Market Making2021-06-29T00:00:00-07:002021-06-29T00:00:00-07:002021-13786Noticehttps://www.govinfo.gov/content/pkg/FR-2021-06-29/pdf/2021-13786.pdfhttps://regulations.justia.com/regulations/fedreg/2021/06/29/2021-13785.htmlNotice - Self-Regulatory Organizations; The Nasdaq Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend General 9, Section 18, Payments for Market Making2021-06-29T00:00:00-07:002021-06-29T00:00:00-07:002021-13785Noticehttps://www.govinfo.gov/content/pkg/FR-2021-06-29/pdf/2021-13785.pdfhttps://regulations.justia.com/regulations/fedreg/2021/06/29/2021-13784.htmlNotice - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to the Retirement of FINRA's Order Audit Trail System2021-06-29T00:00:00-07:002021-06-29T00:00:00-07:002021-13784Noticehttps://www.govinfo.gov/content/pkg/FR-2021-06-29/pdf/2021-13784.pdfhttps://regulations.justia.com/regulations/fedreg/2021/06/29/2021-13783.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 Facility2021-06-29T00:00:00-07:002021-06-29T00:00:00-07:002021-13783Noticehttps://www.govinfo.gov/content/pkg/FR-2021-06-29/pdf/2021-13783.pdfhttps://regulations.justia.com/regulations/fedreg/2021/06/28/2021-13845.htmlNotice - Sunshine Act Meetings2021-06-28T00:00:00-07:002021-06-28T00:00:00-07:002021-13845Noticehttps://www.govinfo.gov/content/pkg/FR-2021-06-28/pdf/2021-13845.pdfhttps://regulations.justia.com/regulations/fedreg/2021/06/28/2021-13813.htmlNotice - Sunshine Act Meeting; Cancellation2021-06-28T00:00:00-07:002021-06-28T00:00:00-07:002021-13813Noticehttps://www.govinfo.gov/content/pkg/FR-2021-06-28/pdf/2021-13813.pdfhttps://regulations.justia.com/regulations/fedreg/2021/06/28/2021-13664.htmlNotice - Capital Southwest Corporation2021-06-28T00:00:00-07:002021-06-28T00:00:00-07:002021-13664Noticehttps://www.govinfo.gov/content/pkg/FR-2021-06-28/pdf/2021-13664.pdfhttps://regulations.justia.com/regulations/fedreg/2021/06/28/2021-13663.htmlNotice - Lord Abbett Floating Rate High Income Fund, et al.2021-06-28T00:00:00-07:002021-06-28T00:00:00-07:002021-13663Noticehttps://www.govinfo.gov/content/pkg/FR-2021-06-28/pdf/2021-13663.pdfhttps://regulations.justia.com/regulations/fedreg/2021/06/28/2021-13660.htmlNotice - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Its Price List Regarding Ports2021-06-28T00:00:00-07:002021-06-28T00:00:00-07:002021-13660Noticehttps://www.govinfo.gov/content/pkg/FR-2021-06-28/pdf/2021-13660.pdfhttps://regulations.justia.com/regulations/fedreg/2021/06/28/2021-13659.htmlNotice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Designation of a Longer Period for Commission Action on a Proposed Rule Change To List and Trade Shares of the Valkyrie Bitcoin Fund Under NYSE Arca Rule 8.201-E2021-06-28T00:00:00-07:002021-06-28T00:00:00-07:002021-13659Noticehttps://www.govinfo.gov/content/pkg/FR-2021-06-28/pdf/2021-13659.pdfhttps://regulations.justia.com/regulations/fedreg/2021/06/28/2021-13658.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 32021-06-28T00:00:00-07:002021-06-28T00:00:00-07:002021-13658Noticehttps://www.govinfo.gov/content/pkg/FR-2021-06-28/pdf/2021-13658.pdfhttps://regulations.justia.com/regulations/fedreg/2021/06/28/2021-13657.htmlNotice - Self-Regulatory Organizations; Nasdaq BX, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the Exchange's Transaction Fees, at Equity 7, Section 118(e)2021-06-28T00:00:00-07:002021-06-28T00:00:00-07:002021-13657Noticehttps://www.govinfo.gov/content/pkg/FR-2021-06-28/pdf/2021-13657.pdfhttps://regulations.justia.com/regulations/fedreg/2021/06/28/2021-13656.htmlNotice - Self-Regulatory Organizations; Nasdaq MRX, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Options 2, Section 4 (Obligations of Market Makers)2021-06-28T00:00:00-07:002021-06-28T00:00:00-07:002021-13656Noticehttps://www.govinfo.gov/content/pkg/FR-2021-06-28/pdf/2021-13656.pdfhttps://regulations.justia.com/regulations/fedreg/2021/06/28/2021-13655.htmlNotice - Self-Regulatory Organizations; Nasdaq GEMX, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Options 2, Section 4 (Obligations of Market Makers)2021-06-28T00:00:00-07:002021-06-28T00:00:00-07:002021-13655Noticehttps://www.govinfo.gov/content/pkg/FR-2021-06-28/pdf/2021-13655.pdfhttps://regulations.justia.com/regulations/fedreg/2021/06/28/2021-13654.htmlNotice - Self-Regulatory Organizations; Nasdaq ISE, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Options 2, Section 4 (Obligations of Market Makers), Options 4, Section 3 (Criteria for Underlying Securities), Options 4, Section 8 (Long-Term Options Contracts), and Options 4A, Section 12 (Terms of Index Options Contracts)2021-06-28T00:00:00-07:002021-06-28T00:00:00-07:002021-13654Noticehttps://www.govinfo.gov/content/pkg/FR-2021-06-28/pdf/2021-13654.pdfhttps://regulations.justia.com/regulations/fedreg/2021/06/28/2021-13653.htmlNotice - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing of a Proposed Rule Change To Amend Rule 2165 (Financial Exploitation of Specified Adults)2021-06-28T00:00:00-07:002021-06-28T00:00:00-07:002021-13653Noticehttps://www.govinfo.gov/content/pkg/FR-2021-06-28/pdf/2021-13653.pdfhttps://regulations.justia.com/regulations/fedreg/2021/06/28/2021-13652.htmlNotice - Self-Regulatory Organizations: Investors Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Provide Temporary Remote Inspection Relief to IEX Members for Calendar Year 20212021-06-28T00:00:00-07:002021-06-28T00:00:00-07:002021-13652Noticehttps://www.govinfo.gov/content/pkg/FR-2021-06-28/pdf/2021-13652.pdfhttps://regulations.justia.com/regulations/fedreg/2021/06/25/2021-13522.htmlNotice - Self-Regulatory Organizations; Nasdaq PHLX LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Extend the Implementation Date for Changing the Primary and Secondary Source of Quotation Data of MEMX LLC2021-06-25T00:00:00-07:002021-06-25T00:00:00-07:002021-13522Noticehttps://www.govinfo.gov/content/pkg/FR-2021-06-25/pdf/2021-13522.pdfhttps://regulations.justia.com/regulations/fedreg/2021/06/25/2021-13521.htmlNotice - Self-Regulatory Organizations; The Nasdaq Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Extend the Implementation Date for Changing the Primary and Secondary Source of Quotation Data of MEMX LLC2021-06-25T00:00:00-07:002021-06-25T00:00:00-07:002021-13521Noticehttps://www.govinfo.gov/content/pkg/FR-2021-06-25/pdf/2021-13521.pdfhttps://regulations.justia.com/regulations/fedreg/2021/06/25/2021-13520.htmlNotice - Self-Regulatory Organizations; Nasdaq BX, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Extend the Implementation Date for Changing the Primary and Secondary Source of Quotation Data of MEMX LLC2021-06-25T00:00:00-07:002021-06-25T00:00:00-07:002021-13520Noticehttps://www.govinfo.gov/content/pkg/FR-2021-06-25/pdf/2021-13520.pdfhttps://regulations.justia.com/regulations/fedreg/2021/06/25/2021-13508.htmlNotice - Proposed Collection; Comment Request2021-06-25T00:00:00-07:002021-06-25T00:00:00-07:002021-13508Noticehttps://www.govinfo.gov/content/pkg/FR-2021-06-25/pdf/2021-13508.pdfhttps://regulations.justia.com/regulations/fedreg/2021/06/25/2021-13507.htmlNotice - Proposed Collection; Comment Request2021-06-25T00:00:00-07:002021-06-25T00:00:00-07:002021-13507Noticehttps://www.govinfo.gov/content/pkg/FR-2021-06-25/pdf/2021-13507.pdfhttps://regulations.justia.com/regulations/fedreg/2021/06/25/2021-13506.htmlNotice - Submission for OMB Review; Comment Request2021-06-25T00:00:00-07:002021-06-25T00:00:00-07:002021-13506Noticehttps://www.govinfo.gov/content/pkg/FR-2021-06-25/pdf/2021-13506.pdfhttps://regulations.justia.com/regulations/fedreg/2021/06/25/2021-13505.htmlNotice - Proposed Collection; Comment Request2021-06-25T00:00:00-07:002021-06-25T00:00:00-07:002021-13505Noticehttps://www.govinfo.gov/content/pkg/FR-2021-06-25/pdf/2021-13505.pdfhttps://regulations.justia.com/regulations/fedreg/2021/06/24/2021-13413.htmlNotice - Self-Regulatory Organizations; National Securities Clearing Corporation; Notice of Filing of Partial Amendment No. 1 and Order Granting Accelerated Approval of a Proposed Rule Change, as Modified by Partial Amendment No. 1, To Amend the Supplemental Liquidity Deposit Requirements2021-06-24T00:00:00-07:002021-06-24T00:00:00-07:002021-13413Noticehttps://www.govinfo.gov/content/pkg/FR-2021-06-24/pdf/2021-13413.pdfhttps://regulations.justia.com/regulations/fedreg/2021/06/24/2021-13288.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 for the Complex PRIME (“cPRIME”) Agency Order Credit2021-06-24T00:00:00-07:002021-06-24T00:00:00-07:002021-13288Noticehttps://www.govinfo.gov/content/pkg/FR-2021-06-24/pdf/2021-13288.pdfhttps://regulations.justia.com/regulations/fedreg/2021/06/24/2021-13287.htmlNotice - Self-Regulatory Organizations; Fixed Income Clearing Corporation; Notice of Designation of Longer Period for Commission Action on a Proposed Rule Change To Add the Sponsored GC Service and Make Other Changes2021-06-24T00:00:00-07:002021-06-24T00:00:00-07:002021-13287Noticehttps://www.govinfo.gov/content/pkg/FR-2021-06-24/pdf/2021-13287.pdfhttps://regulations.justia.com/regulations/fedreg/2021/06/24/2021-13286.htmlNotice - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing of a Proposed Rule Change To Amend FINRA Rules 1210 (Registration Requirements) and 1240 (Continuing Education Requirements)2021-06-24T00:00:00-07:002021-06-24T00:00:00-07:002021-13286Noticehttps://www.govinfo.gov/content/pkg/FR-2021-06-24/pdf/2021-13286.pdfhttps://regulations.justia.com/regulations/fedreg/2021/06/24/2021-13285.htmlNotice - Self-Regulatory Organizations; The Nasdaq Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Equity 4, Rules 4702 and 4703 in Light of Planned Changes to the System2021-06-24T00:00:00-07:002021-06-24T00:00:00-07:002021-13285Noticehttps://www.govinfo.gov/content/pkg/FR-2021-06-24/pdf/2021-13285.pdfhttps://regulations.justia.com/regulations/fedreg/2021/06/24/2021-13284.htmlNotice - Self-Regulatory Organizations; Cboe C2 Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating To Amend Its Fees Schedule2021-06-24T00:00:00-07:002021-06-24T00:00:00-07:002021-13284Noticehttps://www.govinfo.gov/content/pkg/FR-2021-06-24/pdf/2021-13284.pdfhttps://regulations.justia.com/regulations/fedreg/2021/06/24/2021-13283.htmlNotice - Self-Regulatory Organizations; Cboe Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Its Fees Schedule Relating to the Sale of Historical Intraday Open-Close Volume Data2021-06-24T00:00:00-07:002021-06-24T00:00:00-07:002021-13283Noticehttps://www.govinfo.gov/content/pkg/FR-2021-06-24/pdf/2021-13283.pdfhttps://regulations.justia.com/regulations/fedreg/2021/06/24/2021-13282.htmlNotice - Self-Regulatory Organizations; Cboe BZX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Open-Close Data Fees2021-06-24T00:00:00-07:002021-06-24T00:00:00-07:002021-13282Noticehttps://www.govinfo.gov/content/pkg/FR-2021-06-24/pdf/2021-13282.pdfhttps://regulations.justia.com/regulations/fedreg/2021/06/24/2021-13281.htmlNotice - Self-Regulatory Organizations; Cboe EDGX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Open-Close Data Fees2021-06-24T00:00:00-07:002021-06-24T00:00:00-07:002021-13281Noticehttps://www.govinfo.gov/content/pkg/FR-2021-06-24/pdf/2021-13281.pdfhttps://regulations.justia.com/regulations/fedreg/2021/06/24/2021-13280.htmlNotice - Calamos-Avenue Opportunities Fund and Calamos Avenue Management, LLC2021-06-24T00:00:00-07:002021-06-24T00:00:00-07:002021-13280Noticehttps://www.govinfo.gov/content/pkg/FR-2021-06-24/pdf/2021-13280.pdfhttps://regulations.justia.com/regulations/fedreg/2021/06/24/2021-13278.htmlNotice - First Eagle Alternative Capital BDC, Inc., et al.2021-06-24T00:00:00-07:002021-06-24T00:00:00-07:002021-13278Noticehttps://www.govinfo.gov/content/pkg/FR-2021-06-24/pdf/2021-13278.pdfhttps://regulations.justia.com/regulations/fedreg/2021/06/24/2021-13251.htmlNotice - Self-Regulatory Organizations; MIAX PEARL, LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the MIAX Pearl Options Fee Schedule To Adopt Fees for a New Data Product Known as the Liquidity Taker Event Report2021-06-24T00:00:00-07:002021-06-24T00:00:00-07:002021-13251Noticehttps://www.govinfo.gov/content/pkg/FR-2021-06-24/pdf/2021-13251.pdfhttps://regulations.justia.com/regulations/fedreg/2021/06/24/2021-13248.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 Adopt Fees for a New Data Product Known as the Liquidity Taker Event Report2021-06-24T00:00:00-07:002021-06-24T00:00:00-07:002021-13248Noticehttps://www.govinfo.gov/content/pkg/FR-2021-06-24/pdf/2021-13248.pdfhttps://regulations.justia.com/regulations/fedreg/2021/06/24/2021-13247.htmlNotice - Self-Regulatory Organizations; Cboe BYX Exchange, Inc.; Cboe BZX Exchange, Inc.; Cboe C2 Exchange, Inc.; Cboe EDGA Exchange, Inc.; Cboe EDGX Exchange, Inc.; Cboe Exchange, Inc.; NASDAQ BX, Inc.; Nasdaq GEMX, LLC; Nasdaq ISE, LLC; Nasdaq MRX, LLC; NASDAQ PHLX LLC and The NASDAQ Stock Market LLC; Suspension of and Order Instituting Proceedings To Determine Whether To Approve or Disapprove Proposed Rule Changes To Adopt a Fee Schedule To Establish Fees for Industry Members Related to the National Market System Plan Governing the Consolidated Audit Trail2021-06-24T00:00:00-07:002021-06-24T00:00:00-07:002021-13247Noticehttps://www.govinfo.gov/content/pkg/FR-2021-06-24/pdf/2021-13247.pdfhttps://regulations.justia.com/regulations/fedreg/2021/06/24/2021-13246.htmlNotice - Self-Regulatory Organizations; BOX Exchange LLC; Notice of Filing of Proposed Rule Change in Connection With the Proposed Commencement of Operations of Boston Security Token Exchange LLC (“BSTX”)2021-06-24T00:00:00-07:002021-06-24T00:00:00-07:002021-13246Noticehttps://www.govinfo.gov/content/pkg/FR-2021-06-24/pdf/2021-13246.pdfhttps://regulations.justia.com/regulations/fedreg/2021/06/24/2021-13245.htmlNotice - Self-Regulatory Organizations; Cboe Exchange, Inc.; Notice of Designation of a Longer Period for Commission Action on a Proposed Rule Change To Increase Position Limits for Options on Certain Exchange-Traded Funds and an Exchange-Traded Note2021-06-24T00:00:00-07:002021-06-24T00:00:00-07:002021-13245Noticehttps://www.govinfo.gov/content/pkg/FR-2021-06-24/pdf/2021-13245.pdfhttps://regulations.justia.com/regulations/fedreg/2021/06/24/2021-13244.htmlNotice - Self-Regulatory Organizations; Cboe Exchange, Inc.; Order Granting Approval of a Proposed Rule Change, as Modified by Amendment No. 1, To Amend Cboe Rules 5.37 and 5.38 in Connection With Allocations at the Conclusion of the Exchange's Automated Improvement Mechanism (“AIM”) and Complex AIM (“C-AIM”) Auctions2021-06-24T00:00:00-07:002021-06-24T00:00:00-07:002021-13244Noticehttps://www.govinfo.gov/content/pkg/FR-2021-06-24/pdf/2021-13244.pdfhttps://regulations.justia.com/regulations/fedreg/2021/06/24/2021-13243.htmlNotice - Self-Regulatory Organizations; Cboe BZX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Its Fee Schedule2021-06-24T00:00:00-07:002021-06-24T00:00:00-07:002021-13243Noticehttps://www.govinfo.gov/content/pkg/FR-2021-06-24/pdf/2021-13243.pdfhttps://regulations.justia.com/regulations/fedreg/2021/06/24/2021-13206.htmlNotice - Asset Management Advisory Committee; Meeting2021-06-24T00:00:00-07:002021-06-24T00:00:00-07:002021-13206Noticehttps://www.govinfo.gov/content/pkg/FR-2021-06-24/pdf/2021-13206.pdfhttps://regulations.justia.com/regulations/fedreg/2021/06/23/2021-13192.htmlNotice - Order Approving Adjustment for Inflation of the Dollar Amount Tests in Rule 205-3 Under the Investment Advisers Act of 19402021-06-23T00:00:00-07:002021-06-23T00:00:00-07:002021-13192Noticehttps://www.govinfo.gov/content/pkg/FR-2021-06-23/pdf/2021-13192.pdfhttps://regulations.justia.com/regulations/fedreg/2021/06/23/2021-13155.htmlNotice - Sunshine Act Meetings2021-06-23T00:00:00-07:002021-06-23T00:00:00-07:002021-13155Noticehttps://www.govinfo.gov/content/pkg/FR-2021-06-23/pdf/2021-13155.pdfhttps://regulations.justia.com/regulations/fedreg/2021/06/23/2021-13116.htmlNotice - Nationwide Mutual Funds, et al.2021-06-23T00:00:00-07:002021-06-23T00:00:00-07:002021-13116Noticehttps://www.govinfo.gov/content/pkg/FR-2021-06-23/pdf/2021-13116.pdfhttps://regulations.justia.com/regulations/fedreg/2021/06/23/2021-13105.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 Options 7, Section 52021-06-23T00:00:00-07:002021-06-23T00:00:00-07:002021-13105Noticehttps://www.govinfo.gov/content/pkg/FR-2021-06-23/pdf/2021-13105.pdfhttps://regulations.justia.com/regulations/fedreg/2021/06/23/2021-13104.htmlNotice - Self-Regulatory Organizations; Cboe Exchange, Inc.; Cboe BYX Exchange, Inc.; Cboe BZX Exchange, Inc.; Cboe EDGA Exchange, Inc.; Cboe EDGX Exchange, Inc.; Cboe C2 Exchange, Inc.; Notice of Designation of a Longer Period for Commission Action on Proposed Rule Changes To Amend the Sixth Amended and Restated Bylaws of Cboe Global Markets, Inc. To Implement Proxy Access2021-06-23T00:00:00-07:002021-06-23T00:00:00-07:002021-13104Noticehttps://www.govinfo.gov/content/pkg/FR-2021-06-23/pdf/2021-13104.pdfhttps://regulations.justia.com/regulations/fedreg/2021/06/23/2021-13103.htmlNotice - Self-Regulatory Organizations; The Depository Trust Company; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Provide Enhanced Clarity for Deadlines and Processing Times2021-06-23T00:00:00-07:002021-06-23T00:00:00-07:002021-13103Noticehttps://www.govinfo.gov/content/pkg/FR-2021-06-23/pdf/2021-13103.pdfhttps://regulations.justia.com/regulations/fedreg/2021/06/23/2021-13102.htmlNotice - Self-Regulatory Organizations; ICE Clear Credit LLC; Order Approving Proposed Rule Change Relating to the ICC End-of-Day Price Discovery Policies and Procedures2021-06-23T00:00:00-07:002021-06-23T00:00:00-07:002021-13102Noticehttps://www.govinfo.gov/content/pkg/FR-2021-06-23/pdf/2021-13102.pdfhttps://regulations.justia.com/regulations/fedreg/2021/06/23/2021-13101.htmlNotice - Self-Regulatory Organizations; Cboe BZX Exchange, Inc.; Order Instituting Proceedings To Determine Whether To Approve or Disapprove a Proposed Rule Change To List and Trade Shares of the VanEck Bitcoin Trust Under BZX Rule 14.11(e)(4), Commodity-Based Trust Shares2021-06-23T00:00:00-07:002021-06-23T00:00:00-07:002021-13101Noticehttps://www.govinfo.gov/content/pkg/FR-2021-06-23/pdf/2021-13101.pdfhttps://regulations.justia.com/regulations/fedreg/2021/06/23/2021-13100.htmlNotice - Self-Regulatory Organizations; New York Stock Exchange LLC; Order Approving a Proposed Rule Change, as Modified by Amendment No. 1, To Revise Rules 46 and 46A To Permit the Appointment of Trading Officials2021-06-23T00:00:00-07:002021-06-23T00:00:00-07:002021-13100Noticehttps://www.govinfo.gov/content/pkg/FR-2021-06-23/pdf/2021-13100.pdfhttps://regulations.justia.com/regulations/fedreg/2021/06/23/2021-13099.htmlNotice - Self-Regulatory Organizations; BOX Exchange LLC; Notice of Designation of a Longer Period for Commission Action on a Proposed Rule Change To Adopt BOX Rule 7670 To Establish a Virtual Trading Floor on BOX2021-06-23T00:00:00-07:002021-06-23T00:00:00-07:002021-13099Noticehttps://www.govinfo.gov/content/pkg/FR-2021-06-23/pdf/2021-13099.pdfhttps://regulations.justia.com/regulations/fedreg/2021/06/23/2021-13098.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 3, “Regular Order Fees and Rebates” and Section 4, “Complex Order Fees and Rebates”2021-06-23T00:00:00-07:002021-06-23T00:00:00-07:002021-13098Noticehttps://www.govinfo.gov/content/pkg/FR-2021-06-23/pdf/2021-13098.pdfhttps://regulations.justia.com/regulations/fedreg/2021/06/22/2021-13140.htmlNotice - Security-Based Swap Data Repositories; ICE Trade Vault, LLC; Order Approving Application for Registration as a Security-Based Swap Data Repository2021-06-22T00:00:00-07:002021-06-22T00:00:00-07:002021-13140Noticehttps://www.govinfo.gov/content/pkg/FR-2021-06-22/pdf/2021-13140.pdfhttps://regulations.justia.com/regulations/fedreg/2021/06/17/2021-12752.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 Its Rules To Prohibit Member Organizations From Seeking Reimbursement, in Certain Circumstances, From Issuers for Forwarding Proxy and Other Materials to Beneficial Owners2021-06-17T00:00:00-07:002021-06-17T00:00:00-07:002021-12752Noticehttps://www.govinfo.gov/content/pkg/FR-2021-06-17/pdf/2021-12752.pdfhttps://regulations.justia.com/regulations/fedreg/2021/06/17/2021-12750.htmlNotice - Self-Regulatory Organizations; NYSE American LLC; Notice of Filing and Immediate Effectiveness of Proposed Change Amending the NYSE American Equities Price List and Fee Schedule To Establish Pricing for Orders Designated as Retail Orders2021-06-17T00:00:00-07:002021-06-17T00:00:00-07:002021-12750Noticehttps://www.govinfo.gov/content/pkg/FR-2021-06-17/pdf/2021-12750.pdfhttps://regulations.justia.com/regulations/fedreg/2021/06/17/2021-12748.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 To Amend Its Rules Establishing Maximum Fee Rates To Be Charged by Member Organizations for Forwarding Proxy and Other Materials to Beneficial Owners2021-06-17T00:00:00-07:002021-06-17T00:00:00-07:002021-12748Noticehttps://www.govinfo.gov/content/pkg/FR-2021-06-17/pdf/2021-12748.pdfhttps://regulations.justia.com/regulations/fedreg/2021/06/17/2021-12747.htmlNotice - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Its Price List2021-06-17T00:00:00-07:002021-06-17T00:00:00-07:002021-12747Noticehttps://www.govinfo.gov/content/pkg/FR-2021-06-17/pdf/2021-12747.pdfhttps://regulations.justia.com/regulations/fedreg/2021/06/17/2021-12746.htmlNotice - Schwab Strategic Trust, et al.2021-06-17T00:00:00-07:002021-06-17T00:00:00-07:002021-12746Noticehttps://www.govinfo.gov/content/pkg/FR-2021-06-17/pdf/2021-12746.pdfhttps://regulations.justia.com/regulations/fedreg/2021/06/17/2021-12745.htmlNotice - Self-Regulatory Organizations; Cboe EDGA Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Its Fee Schedule2021-06-17T00:00:00-07:002021-06-17T00:00:00-07:002021-12745Noticehttps://www.govinfo.gov/content/pkg/FR-2021-06-17/pdf/2021-12745.pdfhttps://regulations.justia.com/regulations/fedreg/2021/06/16/2021-12658.htmlNotice - Proposed Collection; Comment Request2021-06-16T00:00:00-07:002021-06-16T00:00:00-07:002021-12658Noticehttps://www.govinfo.gov/content/pkg/FR-2021-06-16/pdf/2021-12658.pdfhttps://regulations.justia.com/regulations/fedreg/2021/06/16/2021-12657.htmlNotice - Proposed Collection; Comment Request2021-06-16T00:00:00-07:002021-06-16T00:00:00-07:002021-12657Noticehttps://www.govinfo.gov/content/pkg/FR-2021-06-16/pdf/2021-12657.pdfhttps://regulations.justia.com/regulations/fedreg/2021/06/16/2021-12656.htmlNotice - Proposed Collection; Comment Request2021-06-16T00:00:00-07:002021-06-16T00:00:00-07:002021-12656Noticehttps://www.govinfo.gov/content/pkg/FR-2021-06-16/pdf/2021-12656.pdfhttps://regulations.justia.com/regulations/fedreg/2021/06/16/2021-12598.htmlNotice - Self-Regulatory Organizations; Fixed Income Clearing Corporation; Notice of No Objection To Advance Notice To Modify the Calculation of the MBSD VaR Floor To Incorporate a Minimum Margin Amount2021-06-16T00:00:00-07:002021-06-16T00:00:00-07:002021-12598Noticehttps://www.govinfo.gov/content/pkg/FR-2021-06-16/pdf/2021-12598.pdfhttps://regulations.justia.com/regulations/fedreg/2021/06/16/2021-12594.htmlNotice - Self-Regulatory Organizations; Cboe EDGA Exchange, Inc.; Notice of Filing of a Proposed Rule Change To Introduce a New Data Product To Be Known as Short Sale Volume Data2021-06-16T00:00:00-07:002021-06-16T00:00:00-07:002021-12594Noticehttps://www.govinfo.gov/content/pkg/FR-2021-06-16/pdf/2021-12594.pdfhttps://regulations.justia.com/regulations/fedreg/2021/06/16/2021-12593.htmlNotice - Self-Regulatory Organizations; MEMX LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the Exchange's Fee Schedule2021-06-16T00:00:00-07:002021-06-16T00:00:00-07:002021-12593Noticehttps://www.govinfo.gov/content/pkg/FR-2021-06-16/pdf/2021-12593.pdfhttps://regulations.justia.com/regulations/fedreg/2021/06/16/2021-12592.htmlNotice - Self-Regulatory Organizations; Cboe BYX Exchange, Inc.; Notice of Filing of a Proposed Rule Change To Introduce a New Data Product To Be Known as Short Sale Volume Data2021-06-16T00:00:00-07:002021-06-16T00:00:00-07:002021-12592Noticehttps://www.govinfo.gov/content/pkg/FR-2021-06-16/pdf/2021-12592.pdfhttps://regulations.justia.com/regulations/fedreg/2021/06/16/2021-12591.htmlNotice - Self-Regulatory Organizations; Cboe BZX Exchange, Inc.; Notice of Filing of a Proposed Rule Change To Introduce a New Data Product To Be Known as Short Sale Volume Data2021-06-16T00:00:00-07:002021-06-16T00:00:00-07:002021-12591Noticehttps://www.govinfo.gov/content/pkg/FR-2021-06-16/pdf/2021-12591.pdfhttps://regulations.justia.com/regulations/fedreg/2021/06/16/2021-12590.htmlNotice - Self-Regulatory Organizations; Cboe EDGX Exchange, Inc.; Notice of Filing of a Proposed Rule Change To Introduce a New Data Product To Be Known as Short Sale Volume Data2021-06-16T00:00:00-07:002021-06-16T00:00:00-07:002021-12590Noticehttps://www.govinfo.gov/content/pkg/FR-2021-06-16/pdf/2021-12590.pdfhttps://regulations.justia.com/regulations/fedreg/2021/06/16/2021-12588.htmlNotice - Self-Regulatory Organizations; LCH SA; Notice of Designation of Longer Period for Commission Action on Proposed Rule Change Relating to the Clearing of Single-Name Credit Default Swaps by U.S. Customers2021-06-16T00:00:00-07:002021-06-16T00:00:00-07:002021-12588Noticehttps://www.govinfo.gov/content/pkg/FR-2021-06-16/pdf/2021-12588.pdfhttps://regulations.justia.com/regulations/fedreg/2021/06/15/2021-12480.htmlNotice - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing of a Proposed Rule Change Relating to Members' Filing Requirements Under FINRA Rule 6432 (Compliance With the Information Requirements of SEA Rule 15c2-11)2021-06-15T00:00:00-07:002021-06-15T00:00:00-07:002021-12480Noticehttps://www.govinfo.gov/content/pkg/FR-2021-06-15/pdf/2021-12480.pdfhttps://regulations.justia.com/regulations/fedreg/2021/06/15/2021-12479.htmlNotice - Self-Regulatory Organizations; MIAX Emerald, LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Its Fee Schedule To Adopt Fees for the Open-Close Report2021-06-15T00:00:00-07:002021-06-15T00:00:00-07:002021-12479Noticehttps://www.govinfo.gov/content/pkg/FR-2021-06-15/pdf/2021-12479.pdfhttps://regulations.justia.com/regulations/fedreg/2021/06/15/2021-12478.htmlNotice - Self-Regulatory Organizations; MIAX PEARL, LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the MIAX Pearl Options Fee Schedule To Adopt Fees for the Open-Close Report2021-06-15T00:00:00-07:002021-06-15T00:00:00-07:002021-12478Noticehttps://www.govinfo.gov/content/pkg/FR-2021-06-15/pdf/2021-12478.pdfhttps://regulations.justia.com/regulations/fedreg/2021/06/15/2021-12477.htmlNotice - Order Granting Applications by Nasdaq GEMX, LLC and Nasdaq MRX, LLC for 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 the Nasdaq Rule 1000 Series Incorporated by Reference2021-06-15T00:00:00-07:002021-06-15T00:00:00-07:002021-12477Noticehttps://www.govinfo.gov/content/pkg/FR-2021-06-15/pdf/2021-12477.pdfhttps://regulations.justia.com/regulations/fedreg/2021/06/15/2021-12476.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 Adopt Fees for the Open-Close Report2021-06-15T00:00:00-07:002021-06-15T00:00:00-07:002021-12476Noticehttps://www.govinfo.gov/content/pkg/FR-2021-06-15/pdf/2021-12476.pdfhttps://regulations.justia.com/regulations/fedreg/2021/06/15/2021-12475.htmlNotice - Self-Regulatory Organizations; The Nasdaq Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the Exchange's Pricing Schedule at Equity 7, Section 114(f)2021-06-15T00:00:00-07:002021-06-15T00:00:00-07:002021-12475Noticehttps://www.govinfo.gov/content/pkg/FR-2021-06-15/pdf/2021-12475.pdfhttps://regulations.justia.com/regulations/fedreg/2021/06/15/2021-12474.htmlNotice - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Order Approving Proposed Rule Change, as Modified by Amendment No. 1, to FINRA Rules 5122 (Private Placements of Securities Issued by Members) and 5123 (Private Placements of Securities) That Would Require Members To File Retail Communications Concerning Private Placement Offerings That Are Subject to Those Rules' Filing Requirements2021-06-15T00:00:00-07:002021-06-15T00:00:00-07:002021-12474Noticehttps://www.govinfo.gov/content/pkg/FR-2021-06-15/pdf/2021-12474.pdfhttps://regulations.justia.com/regulations/fedreg/2021/06/15/2021-12473.htmlNotice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Modifying the NYSE Arca Options Fee Schedule2021-06-15T00:00:00-07:002021-06-15T00:00:00-07:002021-12473Noticehttps://www.govinfo.gov/content/pkg/FR-2021-06-15/pdf/2021-12473.pdfhttps://regulations.justia.com/regulations/fedreg/2021/06/15/2021-12472.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 Kryptoin Bitcoin ETF Trust Under BZX Rule 14.11(e)(4), Commodity-Based Trust Shares2021-06-15T00:00:00-07:002021-06-15T00:00:00-07:002021-12472Noticehttps://www.govinfo.gov/content/pkg/FR-2021-06-15/pdf/2021-12472.pdfhttps://regulations.justia.com/regulations/fedreg/2021/06/14/2021-12565.htmlNotice - Sunshine Act Meetings2021-06-14T00:00:00-07:002021-06-14T00:00:00-07:002021-12565Noticehttps://www.govinfo.gov/content/pkg/FR-2021-06-14/pdf/2021-12565.pdfhttps://regulations.justia.com/regulations/fedreg/2021/06/14/2021-12509.htmlNotice - Sunshine Act Meeting; Cancellation2021-06-14T00:00:00-07:002021-06-14T00:00:00-07:002021-12509Noticehttps://www.govinfo.gov/content/pkg/FR-2021-06-14/pdf/2021-12509.pdfhttps://regulations.justia.com/regulations/fedreg/2021/06/14/2021-12439.htmlNotice - Joint Industry Plan; Notice of Designation of a Longer Period for Commission Action on a Proposed National Market System Plan Regarding Consolidated Equity Market Data2021-06-14T00:00:00-07:002021-06-14T00:00:00-07:002021-12439Noticehttps://www.govinfo.gov/content/pkg/FR-2021-06-14/pdf/2021-12439.pdfhttps://regulations.justia.com/regulations/fedreg/2021/06/14/2021-12338.htmlNotice - Self-Regulatory Organizations; The Depository Trust Company; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the Distributions Guide To Accommodate Participants' Tax Reporting and Withholding Obligations2021-06-14T00:00:00-07:002021-06-14T00:00:00-07:002021-12338Noticehttps://www.govinfo.gov/content/pkg/FR-2021-06-14/pdf/2021-12338.pdfhttps://regulations.justia.com/regulations/fedreg/2021/06/11/2021-12250.htmlNotice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Modify the NYSE Arca Options Fee Schedule2021-06-11T00:00:00-07:002021-06-11T00:00:00-07:002021-12250Noticehttps://www.govinfo.gov/content/pkg/FR-2021-06-11/pdf/2021-12250.pdfhttps://regulations.justia.com/regulations/fedreg/2021/06/11/2021-12249.htmlNotice - Self-Regulatory Organizations; NYSE American LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Modify the NYSE American Options Fee Schedule2021-06-11T00:00:00-07:002021-06-11T00:00:00-07:002021-12249Noticehttps://www.govinfo.gov/content/pkg/FR-2021-06-11/pdf/2021-12249.pdfhttps://regulations.justia.com/regulations/fedreg/2021/06/11/2021-12248.htmlNotice - Self-Regulatory Organizations; Cboe Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Its Fees Schedule To Adopt a New Floor Broker Incentive Program and To Make a Clarifying Change to the Definition of Facilitation Orders2021-06-11T00:00:00-07:002021-06-11T00:00:00-07:002021-12248Noticehttps://www.govinfo.gov/content/pkg/FR-2021-06-11/pdf/2021-12248.pdfhttps://regulations.justia.com/regulations/fedreg/2021/06/11/2021-12247.htmlNotice - Self-Regulatory Organizations; ICE Clear Europe Limited; Notice of Filing of Proposed Rule Change Relating to the ICE Clear Europe Articles of Association2021-06-11T00:00:00-07:002021-06-11T00:00:00-07:002021-12247Noticehttps://www.govinfo.gov/content/pkg/FR-2021-06-11/pdf/2021-12247.pdfhttps://regulations.justia.com/regulations/fedreg/2021/06/11/2021-12246.htmlNotice - Self-Regulatory Organizations; The Nasdaq Stock Market LLC; Notice of Designation of a Longer Period for Commission Action on Proceedings To Determine Whether To Approve or Disapprove a Proposed Rule Change, as Modified by Amendment No. 1, To Offer Certain Listed Companies Access to a Complimentary Board Recruiting Solution To Help Advance Diversity on Company Boards2021-06-11T00:00:00-07:002021-06-11T00:00:00-07:002021-12246Noticehttps://www.govinfo.gov/content/pkg/FR-2021-06-11/pdf/2021-12246.pdfhttps://regulations.justia.com/regulations/fedreg/2021/06/11/2021-12245.htmlNotice - Self-Regulatory Organizations; The Nasdaq Stock Market LLC; Notice of Designation of a Longer Period for Commission Action on Proceedings To Determine Whether To Approve or Disapprove a Proposed Rule Change, as Modified by Amendment No. 1, To Adopt Listing Rules Related to Board Diversity2021-06-11T00:00:00-07:002021-06-11T00:00:00-07:002021-12245Noticehttps://www.govinfo.gov/content/pkg/FR-2021-06-11/pdf/2021-12245.pdfhttps://regulations.justia.com/regulations/fedreg/2021/06/11/2021-12244.htmlNotice - Self-Regulatory Organizations; Fixed Income Clearing Corporation; Notice of Designation of Longer Period for Commission Action on Proceedings To Determine Whether To Approve or Disapprove a Proposed Rule Change To Modify the Calculation of the MBSD VaR Floor To Incorporate a Minimum Margin Amount2021-06-11T00:00:00-07:002021-06-11T00:00:00-07:002021-12244Noticehttps://www.govinfo.gov/content/pkg/FR-2021-06-11/pdf/2021-12244.pdfhttps://regulations.justia.com/regulations/fedreg/2021/06/11/2021-12243.htmlNotice - Self-Regulatory Organizations; Cboe Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Its Rules in Connection With the Number of Legs of a Complex Order That May Be Entered on a Single Order Ticket at the Time of Systemization2021-06-11T00:00:00-07:002021-06-11T00:00:00-07:002021-12243Noticehttps://www.govinfo.gov/content/pkg/FR-2021-06-11/pdf/2021-12243.pdfhttps://regulations.justia.com/regulations/fedreg/2021/06/11/2021-11572.htmlRule - Recordkeeping and Reporting Requirements for Security-Based Swap Dealers, Major Security-Based Swap Participants, and Broker-Dealers; Correction2021-06-11T00:00:00-07:002021-06-11T00:00:00-07:002021-11572Rulehttps://www.govinfo.gov/content/pkg/FR-2021-06-11/pdf/2021-11572.pdfhttps://regulations.justia.com/regulations/fedreg/2021/06/10/2021-12120.htmlNotice - Self-Regulatory Organizations; Nasdaq PHLX LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Various Phlx Rules2021-06-10T00:00:00-07:002021-06-10T00:00:00-07:002021-12120Noticehttps://www.govinfo.gov/content/pkg/FR-2021-06-10/pdf/2021-12120.pdfhttps://regulations.justia.com/regulations/fedreg/2021/06/10/2021-12112.htmlNotice - Submission for OMB Review; Comment Request2021-06-10T00:00:00-07:002021-06-10T00:00:00-07:002021-12112Noticehttps://www.govinfo.gov/content/pkg/FR-2021-06-10/pdf/2021-12112.pdfhttps://regulations.justia.com/regulations/fedreg/2021/06/10/2021-12101.htmlNotice - Submission for OMB Review; Comment Request2021-06-10T00:00:00-07:002021-06-10T00:00:00-07:002021-12101Noticehttps://www.govinfo.gov/content/pkg/FR-2021-06-10/pdf/2021-12101.pdfhttps://regulations.justia.com/regulations/fedreg/2021/06/09/2021-12104.htmlNotice - Submission for OMB Review; Comment Request2021-06-09T00:00:00-07:002021-06-09T00:00:00-07:002021-12104Noticehttps://www.govinfo.gov/content/pkg/FR-2021-06-09/pdf/2021-12104.pdfhttps://regulations.justia.com/regulations/fedreg/2021/06/09/2021-12103.htmlNotice - Submission for OMB Review; Comment Request2021-06-09T00:00:00-07:002021-06-09T00:00:00-07:002021-12103Noticehttps://www.govinfo.gov/content/pkg/FR-2021-06-09/pdf/2021-12103.pdfhttps://regulations.justia.com/regulations/fedreg/2021/06/09/2021-12102.htmlNotice - Submission for OMB Review; Comment Request2021-06-09T00:00:00-07:002021-06-09T00:00:00-07:002021-12102Noticehttps://www.govinfo.gov/content/pkg/FR-2021-06-09/pdf/2021-12102.pdfhttps://regulations.justia.com/regulations/fedreg/2021/06/09/2021-12032.htmlNotice - Self-Regulatory Organizations; Nasdaq BX, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend BX Options 7, Section 1, “General Provisions” and Section 2, “BX Options Market-Fees and Rebates”2021-06-09T00:00:00-07:002021-06-09T00:00:00-07:002021-12032Noticehttps://www.govinfo.gov/content/pkg/FR-2021-06-09/pdf/2021-12032.pdfhttps://regulations.justia.com/regulations/fedreg/2021/06/09/2021-12031.htmlNotice - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the Supplemental Inventory Schedule Pursuant to FINRA Rule 4524 (Supplemental FOCUS Information)2021-06-09T00:00:00-07:002021-06-09T00:00:00-07:002021-12031Noticehttps://www.govinfo.gov/content/pkg/FR-2021-06-09/pdf/2021-12031.pdfhttps://regulations.justia.com/regulations/fedreg/2021/06/09/2021-12029.htmlNotice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To List and Trade Shares of the Nuveen Santa Barbara Dividend Growth ETF, Nuveen Small Cap Select ETF, and Nuveen Winslow Large-Cap Growth ESG ETF Under NYSE Arca Rule 8.601-E (Active Proxy Portfolio Shares)2021-06-09T00:00:00-07:002021-06-09T00:00:00-07:002021-12029Noticehttps://www.govinfo.gov/content/pkg/FR-2021-06-09/pdf/2021-12029.pdfhttps://regulations.justia.com/regulations/fedreg/2021/06/09/2021-12026.htmlNotice - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Order Granting Approval of a Proposed Rule Change, as Modified by Amendment No. 2, To Adopt Proposed Rule 6439 (Requirements for Member Inter-Dealer Quotation Systems) and Rescind the Rules Related to the OTC Bulletin Board Service2021-06-09T00:00:00-07:002021-06-09T00:00:00-07:002021-12026Noticehttps://www.govinfo.gov/content/pkg/FR-2021-06-09/pdf/2021-12026.pdfhttps://regulations.justia.com/regulations/fedreg/2021/06/08/2021-11917.htmlNotice - Listed Funds Trust and Skyrocket Investments, LLC2021-06-08T00:00:00-07:002021-06-08T00:00:00-07:002021-11917Noticehttps://www.govinfo.gov/content/pkg/FR-2021-06-08/pdf/2021-11917.pdfhttps://regulations.justia.com/regulations/fedreg/2021/06/08/2021-11912.htmlNotice - Self-Regulatory Organizations; Miami International Securities Exchange, LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Delay Implementation of an Amendment to Rule 518, Complex Orders, To Permit Legging Through the Simple Market2021-06-08T00:00:00-07:002021-06-08T00:00:00-07:002021-11912Noticehttps://www.govinfo.gov/content/pkg/FR-2021-06-08/pdf/2021-11912.pdfhttps://regulations.justia.com/regulations/fedreg/2021/06/08/2021-11911.htmlNotice - Self-Regulatory Organizations; New York Stock Exchange LLC, NYSE American LLC, NYSE Arca, Inc., NYSE Chicago, Inc., and NYSE National, Inc.; Notice of Designation of a Longer Period for Commission Action on Proposed Rule Changes To Amend the Fee Schedule To Add Meet-Me-Room Connectivity Services Available at the Mahwah Data Center2021-06-08T00:00:00-07:002021-06-08T00:00:00-07:002021-11911Noticehttps://www.govinfo.gov/content/pkg/FR-2021-06-08/pdf/2021-11911.pdfhttps://regulations.justia.com/regulations/fedreg/2021/06/07/2021-11949.htmlNotice - Sunshine Act Meetings2021-06-07T00:00:00-07:002021-06-07T00:00:00-07:002021-11949Noticehttps://www.govinfo.gov/content/pkg/FR-2021-06-07/pdf/2021-11949.pdfhttps://regulations.justia.com/regulations/fedreg/2021/06/07/2021-11798.htmlNotice - Self-Regulatory Organizations; MIAX PEARL, LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Rule 531, Reports and Market Data Products, To Adopt the Liquidity Taker Event Report for Options Trading2021-06-07T00:00:00-07:002021-06-07T00:00:00-07:002021-11798Noticehttps://www.govinfo.gov/content/pkg/FR-2021-06-07/pdf/2021-11798.pdfhttps://regulations.justia.com/regulations/fedreg/2021/06/07/2021-11797.htmlNotice - Self-Regulatory Organizations; Miami International Securities Exchange, LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Rule 531, Reports and Market Data Products, To Adopt the Liquidity Taker Event Report2021-06-07T00:00:00-07:002021-06-07T00:00:00-07:002021-11797Noticehttps://www.govinfo.gov/content/pkg/FR-2021-06-07/pdf/2021-11797.pdfhttps://regulations.justia.com/regulations/fedreg/2021/06/07/2021-11796.htmlNotice - Self-Regulatory Organizations; Cboe Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the Silexx Trading Platform Fees Schedule2021-06-07T00:00:00-07:002021-06-07T00:00:00-07:002021-11796Noticehttps://www.govinfo.gov/content/pkg/FR-2021-06-07/pdf/2021-11796.pdfhttps://regulations.justia.com/regulations/fedreg/2021/06/04/2021-11715.htmlNotice - Notice of Applications for Deregistration Under Section 8(f) of the Investment Company Act of 19402021-06-04T00:00:00-07:002021-06-04T00:00:00-07:002021-11715Noticehttps://www.govinfo.gov/content/pkg/FR-2021-06-04/pdf/2021-11715.pdfhttps://regulations.justia.com/regulations/fedreg/2021/06/03/2021-11693.htmlNotice - Self-Regulatory Organizations; The Nasdaq Stock Market LLC; Notice of Filing of Amendment No. 1 and Order Granting Accelerated Approval of Proposed Rule Change, as Modified by Amendment No. 1, To Amend Equity 4, Rule 4754 Relating to the Limit Up-Limit Down Closing Cross2021-06-03T00:00:00-07:002021-06-03T00:00:00-07:002021-11693Noticehttps://www.govinfo.gov/content/pkg/FR-2021-06-03/pdf/2021-11693.pdfhttps://regulations.justia.com/regulations/fedreg/2021/06/03/2021-11691.htmlNotice - Self-Regulatory Organizations; BOX Exchange LLC; Notice of Filing of Proposed Rule Change To Amend BOX Rule 5050 (Series of Options Contracts Open for Trading) To Limit Short Term Options Series Intervals2021-06-03T00:00:00-07:002021-06-03T00:00:00-07:002021-11691Noticehttps://www.govinfo.gov/content/pkg/FR-2021-06-03/pdf/2021-11691.pdfhttps://regulations.justia.com/regulations/fedreg/2021/06/03/2021-11687.htmlNotice - Joint Industry Plan; Order Approving the Fiftieth Amendment to the Joint Self-Regulatory Organization Plan Governing the Collection, Consolidation and Dissemination of Quotation and Transaction Information for Nasdaq-Listed Securities Traded on Exchanges on an Unlisted Trading Privileges Basis, as Modified by Amendment Nos. 1 and 22021-06-03T00:00:00-07:002021-06-03T00:00:00-07:002021-11687Noticehttps://www.govinfo.gov/content/pkg/FR-2021-06-03/pdf/2021-11687.pdfhttps://regulations.justia.com/regulations/fedreg/2021/06/03/2021-11686.htmlNotice - Consolidated Tape Association; Order Approving the Thirty-Sixth Substantive Amendment to the Second Restatement of the CTA Plan and the Twenty-Seventh Substantive Amendment to the Restated CQ Plan2021-06-03T00:00:00-07:002021-06-03T00:00:00-07:002021-11686Noticehttps://www.govinfo.gov/content/pkg/FR-2021-06-03/pdf/2021-11686.pdfhttps://regulations.justia.com/regulations/fedreg/2021/06/03/2021-11614.htmlNotice - Franklin Templeton Co-Investing Interval Fund, et al.2021-06-03T00:00:00-07:002021-06-03T00:00:00-07:002021-11614Noticehttps://www.govinfo.gov/content/pkg/FR-2021-06-03/pdf/2021-11614.pdfhttps://regulations.justia.com/regulations/fedreg/2021/06/03/2021-11613.htmlNotice - Self-Regulatory Organizations; Cboe Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Rule 3.54 and Rule 3.102021-06-03T00:00:00-07:002021-06-03T00:00:00-07:002021-11613Noticehttps://www.govinfo.gov/content/pkg/FR-2021-06-03/pdf/2021-11613.pdfhttps://regulations.justia.com/regulations/fedreg/2021/06/03/2021-11612.htmlNotice - Self-Regulatory Organizations; Long-Term Stock Exchange; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to a Temporary Reduction in the Initial Listing Fee2021-06-03T00:00:00-07:002021-06-03T00:00:00-07:002021-11612Noticehttps://www.govinfo.gov/content/pkg/FR-2021-06-03/pdf/2021-11612.pdfhttps://regulations.justia.com/regulations/fedreg/2021/06/03/2021-11611.htmlNotice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending the NYSE Arca Equities Fees and Charges2021-06-03T00:00:00-07:002021-06-03T00:00:00-07:002021-11611Noticehttps://www.govinfo.gov/content/pkg/FR-2021-06-03/pdf/2021-11611.pdfhttps://regulations.justia.com/regulations/fedreg/2021/06/03/2021-11610.htmlNotice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To List and Trade Shares of the American Century Sustainable Growth ETF2021-06-03T00:00:00-07:002021-06-03T00:00:00-07:002021-11610Noticehttps://www.govinfo.gov/content/pkg/FR-2021-06-03/pdf/2021-11610.pdfhttps://regulations.justia.com/regulations/fedreg/2021/06/03/2021-11609.htmlNotice - Self-Regulatory Organizations; Cboe C2 Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Align the Exchange's Rulebook With the Rulebook of Its Affiliated Exchange, Cboe Options, Inc. (“Cboe Options”) and Make Other Formatting Changes2021-06-03T00:00:00-07:002021-06-03T00:00:00-07:002021-11609Noticehttps://www.govinfo.gov/content/pkg/FR-2021-06-03/pdf/2021-11609.pdfhttps://regulations.justia.com/regulations/fedreg/2021/06/03/2021-11608.htmlNotice - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Eliminate the Per-Transaction Fee for Late and Corrective Reports to the FINRA/Nasdaq TRF and To Increase the Participation Fee2021-06-03T00:00:00-07:002021-06-03T00:00:00-07:002021-11608Noticehttps://www.govinfo.gov/content/pkg/FR-2021-06-03/pdf/2021-11608.pdfhttps://regulations.justia.com/regulations/fedreg/2021/06/03/2021-11607.htmlNotice - Self-Regulatory Organizations; Cboe Exchange, Inc.; Notice of Designation of a Longer Period for Commission Action on Proceedings To Determine Whether To Approve or Disapprove a Proposed Rule Change, as Modified by Amendment No. 1, To Amend Its Rules Regarding the Minimum Increments for Electronic Bids and Offers and Exercise Prices of Certain FLEX Options and Clarify in the Rules How the System Ranks FLEX Option Bids and Offers for Allocation Purposes2021-06-03T00:00:00-07:002021-06-03T00:00:00-07:002021-11607Noticehttps://www.govinfo.gov/content/pkg/FR-2021-06-03/pdf/2021-11607.pdfhttps://regulations.justia.com/regulations/fedreg/2021/06/03/2021-11606.htmlNotice - Self-Regulatory Organizations; The Options Clearing Corporation; Order Approving Proposed Rule Change To Establish OCC's Persistent Minimum Skin-In-The-Game2021-06-03T00:00:00-07:002021-06-03T00:00:00-07:002021-11606Noticehttps://www.govinfo.gov/content/pkg/FR-2021-06-03/pdf/2021-11606.pdfhttps://regulations.justia.com/regulations/fedreg/2021/06/03/2021-11605.htmlNotice - Self-Regulatory Organizations; Fixed Income Clearing Corporation; Notice of Filing of Advance Notice To Add the Sponsored GC Service and Make Other Changes2021-06-03T00:00:00-07:002021-06-03T00:00:00-07:002021-11605Noticehttps://www.govinfo.gov/content/pkg/FR-2021-06-03/pdf/2021-11605.pdfhttps://regulations.justia.com/regulations/fedreg/2021/06/02/2021-11533.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 Schedule of Wireless Connectivity Fees and Charges To Add Circuits for Connectivity Into and Out of the Data Center in Mahwah, New Jersey2021-06-02T00:00:00-07:002021-06-02T00:00:00-07:002021-11533Noticehttps://www.govinfo.gov/content/pkg/FR-2021-06-02/pdf/2021-11533.pdfhttps://regulations.justia.com/regulations/fedreg/2021/06/02/2021-11532.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 WisdomTree Bitcoin Trust Under BZX Rule 14.11(e)(4), Commodity-Based Trust Shares2021-06-02T00:00:00-07:002021-06-02T00:00:00-07:002021-11532Noticehttps://www.govinfo.gov/content/pkg/FR-2021-06-02/pdf/2021-11532.pdfhttps://regulations.justia.com/regulations/fedreg/2021/06/02/2021-11531.htmlNotice - Self-Regulatory Organizations; Investors Exchange LLC; Notice of Designation of a Longer Period for Commission Action on a Proposed Rule Change To Enhance the IEX Retail Price Improvement Program for the Benefit of Retail Investors2021-06-02T00:00:00-07:002021-06-02T00:00:00-07:002021-11531Noticehttps://www.govinfo.gov/content/pkg/FR-2021-06-02/pdf/2021-11531.pdfhttps://regulations.justia.com/regulations/fedreg/2021/06/02/2021-11530.htmlNotice - Self-Regulatory Organizations; MIAX Emerald, LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Its Fee Schedule To Adopt Fees for a New Data Product Known as the Liquidity Taker Event Report2021-06-02T00:00:00-07:002021-06-02T00:00:00-07:002021-11530Noticehttps://www.govinfo.gov/content/pkg/FR-2021-06-02/pdf/2021-11530.pdfhttps://regulations.justia.com/regulations/fedreg/2021/06/02/2021-11529.htmlNotice - Self-Regulatory Organizations; ICE Clear Europe Limited; Notice of Filing of Proposed Rule Change Relating to the Clearing Rules, Clearing Procedures, Finance Procedures, Delivery Procedures, CDS Procedures, Membership Procedures, Complaint Resolution Procedures and General Contract Terms2021-06-02T00:00:00-07:002021-06-02T00:00:00-07:002021-11529Noticehttps://www.govinfo.gov/content/pkg/FR-2021-06-02/pdf/2021-11529.pdfhttps://regulations.justia.com/regulations/fedreg/2021/06/02/2021-11410.htmlNotice - Self-Regulatory Organizations; BOX Exchange LLC; Notice of Filing of Proposed Rule Change To Adopt Rules Governing the Trading of Equity Securities on the Exchange Through a Facility of the Exchange Known as Boston Security Token Exchange LLC2021-06-02T00:00:00-07:002021-06-02T00:00:00-07:002021-11410Noticehttps://www.govinfo.gov/content/pkg/FR-2021-06-02/pdf/2021-11410.pdfhttps://regulations.justia.com/regulations/fedreg/2021/06/01/2021-11598.htmlNotice - Sunshine Act Meetings2021-06-01T00:00:00-07:002021-06-01T00:00:00-07:002021-11598Noticehttps://www.govinfo.gov/content/pkg/FR-2021-06-01/pdf/2021-11598.pdfhttps://regulations.justia.com/regulations/fedreg/2021/06/01/2021-11479.htmlNotice - Investor Advisory Committee Meeting2021-06-01T00:00:00-07:002021-06-01T00:00:00-07:002021-11479Noticehttps://www.govinfo.gov/content/pkg/FR-2021-06-01/pdf/2021-11479.pdfhttps://regulations.justia.com/regulations/fedreg/2021/06/01/2021-11409.htmlNotice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the NYSE Arca Equities Fees and Charges2021-06-01T00:00:00-07:002021-06-01T00:00:00-07:002021-11409Noticehttps://www.govinfo.gov/content/pkg/FR-2021-06-01/pdf/2021-11409.pdfhttps://regulations.justia.com/regulations/fedreg/2021/06/01/2021-11408.htmlNotice - Self-Regulatory Organizations; Cboe BZX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Define the Terms “Derivative Security” and “UTP Derivative Security” and Amend Certain Related Rules2021-06-01T00:00:00-07:002021-06-01T00:00:00-07:002021-11408Noticehttps://www.govinfo.gov/content/pkg/FR-2021-06-01/pdf/2021-11408.pdfhttps://regulations.justia.com/regulations/fedreg/2021/06/01/2021-11407.htmlNotice - Self-Regulatory Organizations; Fixed Income Clearing Corporation; Notice of Filing of Proposed Rule Change To Add the Sponsored GC Service and Make Other Changes2021-06-01T00:00:00-07:002021-06-01T00:00:00-07:002021-11407Noticehttps://www.govinfo.gov/content/pkg/FR-2021-06-01/pdf/2021-11407.pdfhttps://regulations.justia.com/regulations/fedreg/2021/06/01/2021-11406.htmlNotice - Self-Regulatory Organizations; Cboe BZX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Its Fee Schedule2021-06-01T00:00:00-07:002021-06-01T00:00:00-07:002021-11406Noticehttps://www.govinfo.gov/content/pkg/FR-2021-06-01/pdf/2021-11406.pdfhttps://regulations.justia.com/regulations/fedreg/2021/06/01/2021-11405.htmlNotice - Self-Regulatory Organizations; The Nasdaq Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the Exchange's Transaction Credits at Equity 7, Section 118(a)2021-06-01T00:00:00-07:002021-06-01T00:00:00-07:002021-11405Noticehttps://www.govinfo.gov/content/pkg/FR-2021-06-01/pdf/2021-11405.pdfhttps://regulations.justia.com/regulations/fedreg/2021/06/01/2021-11404.htmlNotice - Self-Regulatory Organizations; Cboe Exchange, Inc.; Notice of Designation of a Longer Period for Commission Action on a Proposed Rule Change To Adopt Rule 6.10 To Introduce a Voluntary Compression Service2021-06-01T00:00:00-07:002021-06-01T00:00:00-07:002021-11404Noticehttps://www.govinfo.gov/content/pkg/FR-2021-06-01/pdf/2021-11404.pdfhttps://regulations.justia.com/regulations/fedreg/2021/06/01/2021-11403.htmlNotice - Self-Regulatory Organizations; Nasdaq BX, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Equity 7, Section 1182021-06-01T00:00:00-07:002021-06-01T00:00:00-07:002021-11403Noticehttps://www.govinfo.gov/content/pkg/FR-2021-06-01/pdf/2021-11403.pdfhttps://regulations.justia.com/regulations/fedreg/2021/06/01/2021-11402.htmlNotice - Self-Regulatory Organizations; Cboe BZX Exchange, Inc.; Notice of Filing of a Proposed Rule Change To List and Trade Shares of the Wise Origin Bitcoin Trust Under BZX Rule 14.11(e)(4), Commodity-Based Trust Shares2021-06-01T00:00:00-07:002021-06-01T00:00:00-07:002021-11402Noticehttps://www.govinfo.gov/content/pkg/FR-2021-06-01/pdf/2021-11402.pdfhttps://regulations.justia.com/regulations/fedreg/2021/06/01/2021-11282.htmlRule - Market Data Infrastructure2021-06-01T00:00:00-07:002021-06-01T00:00:00-07:002021-11282Rulehttps://www.govinfo.gov/content/pkg/FR-2021-06-01/pdf/2021-11282.pdf