<![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/2021/06?registers=between&min-day=1&max-day=30 Sun, 28 Apr 2024 02:53:29 -0700 Sun, 28 Apr 2024 02:53:29 -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/2021/06?registers=between&min-day=1&max-day=30 Notice - 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 Hours https://regulations.justia.com/regulations/fedreg/2021/06/30/2021-13917.html https://regulations.justia.com/regulations/fedreg/2021/06/30/2021-13917.html Wed, 30 Jun 2021 00:00:00 -0700 2021-13917 Notice https://www.govinfo.gov/content/pkg/FR-2021-06-30/pdf/2021-13917.pdf Notice - 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 Offering https://regulations.justia.com/regulations/fedreg/2021/06/30/2021-13916.html https://regulations.justia.com/regulations/fedreg/2021/06/30/2021-13916.html Wed, 30 Jun 2021 00:00:00 -0700 2021-13916 Notice https://www.govinfo.gov/content/pkg/FR-2021-06-30/pdf/2021-13916.pdf Notice - Self-Regulatory Organizations; BOX Exchange LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend BOX Rule 7300 (Preferenced Orders) https://regulations.justia.com/regulations/fedreg/2021/06/30/2021-13915.html https://regulations.justia.com/regulations/fedreg/2021/06/30/2021-13915.html Wed, 30 Jun 2021 00:00:00 -0700 2021-13915 Notice https://www.govinfo.gov/content/pkg/FR-2021-06-30/pdf/2021-13915.pdf Notice - 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 Modifier https://regulations.justia.com/regulations/fedreg/2021/06/30/2021-13914.html https://regulations.justia.com/regulations/fedreg/2021/06/30/2021-13914.html Wed, 30 Jun 2021 00:00:00 -0700 2021-13914 Notice https://www.govinfo.gov/content/pkg/FR-2021-06-30/pdf/2021-13914.pdf Notice - 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 Deposit https://regulations.justia.com/regulations/fedreg/2021/06/30/2021-13913.html https://regulations.justia.com/regulations/fedreg/2021/06/30/2021-13913.html Wed, 30 Jun 2021 00:00:00 -0700 2021-13913 Notice https://www.govinfo.gov/content/pkg/FR-2021-06-30/pdf/2021-13913.pdf Notice - 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 Agreement https://regulations.justia.com/regulations/fedreg/2021/06/30/2021-13912.html https://regulations.justia.com/regulations/fedreg/2021/06/30/2021-13912.html Wed, 30 Jun 2021 00:00:00 -0700 2021-13912 Notice https://www.govinfo.gov/content/pkg/FR-2021-06-30/pdf/2021-13912.pdf Notice - Investcorp Credit Management BDC, Inc., et al. https://regulations.justia.com/regulations/fedreg/2021/06/30/2021-13911.html https://regulations.justia.com/regulations/fedreg/2021/06/30/2021-13911.html Wed, 30 Jun 2021 00:00:00 -0700 2021-13911 Notice https://www.govinfo.gov/content/pkg/FR-2021-06-30/pdf/2021-13911.pdf Notice - iCapital KKR Private Markets Fund, et al. https://regulations.justia.com/regulations/fedreg/2021/06/30/2021-13910.html https://regulations.justia.com/regulations/fedreg/2021/06/30/2021-13910.html Wed, 30 Jun 2021 00:00:00 -0700 2021-13910 Notice https://www.govinfo.gov/content/pkg/FR-2021-06-30/pdf/2021-13910.pdf Notice - 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 Making https://regulations.justia.com/regulations/fedreg/2021/06/29/2021-13786.html https://regulations.justia.com/regulations/fedreg/2021/06/29/2021-13786.html Tue, 29 Jun 2021 00:00:00 -0700 2021-13786 Notice https://www.govinfo.gov/content/pkg/FR-2021-06-29/pdf/2021-13786.pdf Notice - 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 Making https://regulations.justia.com/regulations/fedreg/2021/06/29/2021-13785.html https://regulations.justia.com/regulations/fedreg/2021/06/29/2021-13785.html Tue, 29 Jun 2021 00:00:00 -0700 2021-13785 Notice https://www.govinfo.gov/content/pkg/FR-2021-06-29/pdf/2021-13785.pdf Notice - 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 System https://regulations.justia.com/regulations/fedreg/2021/06/29/2021-13784.html https://regulations.justia.com/regulations/fedreg/2021/06/29/2021-13784.html Tue, 29 Jun 2021 00:00:00 -0700 2021-13784 Notice https://www.govinfo.gov/content/pkg/FR-2021-06-29/pdf/2021-13784.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/2021/06/29/2021-13783.html https://regulations.justia.com/regulations/fedreg/2021/06/29/2021-13783.html Tue, 29 Jun 2021 00:00:00 -0700 2021-13783 Notice https://www.govinfo.gov/content/pkg/FR-2021-06-29/pdf/2021-13783.pdf Notice - Sunshine Act Meetings https://regulations.justia.com/regulations/fedreg/2021/06/28/2021-13845.html https://regulations.justia.com/regulations/fedreg/2021/06/28/2021-13845.html Mon, 28 Jun 2021 00:00:00 -0700 2021-13845 Notice https://www.govinfo.gov/content/pkg/FR-2021-06-28/pdf/2021-13845.pdf Notice - Sunshine Act Meeting; Cancellation https://regulations.justia.com/regulations/fedreg/2021/06/28/2021-13813.html https://regulations.justia.com/regulations/fedreg/2021/06/28/2021-13813.html Mon, 28 Jun 2021 00:00:00 -0700 2021-13813 Notice https://www.govinfo.gov/content/pkg/FR-2021-06-28/pdf/2021-13813.pdf Notice - Capital Southwest Corporation https://regulations.justia.com/regulations/fedreg/2021/06/28/2021-13664.html https://regulations.justia.com/regulations/fedreg/2021/06/28/2021-13664.html Mon, 28 Jun 2021 00:00:00 -0700 2021-13664 Notice https://www.govinfo.gov/content/pkg/FR-2021-06-28/pdf/2021-13664.pdf Notice - Lord Abbett Floating Rate High Income Fund, et al. https://regulations.justia.com/regulations/fedreg/2021/06/28/2021-13663.html https://regulations.justia.com/regulations/fedreg/2021/06/28/2021-13663.html Mon, 28 Jun 2021 00:00:00 -0700 2021-13663 Notice https://www.govinfo.gov/content/pkg/FR-2021-06-28/pdf/2021-13663.pdf Notice - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Its Price List Regarding Ports https://regulations.justia.com/regulations/fedreg/2021/06/28/2021-13660.html https://regulations.justia.com/regulations/fedreg/2021/06/28/2021-13660.html Mon, 28 Jun 2021 00:00:00 -0700 2021-13660 Notice https://www.govinfo.gov/content/pkg/FR-2021-06-28/pdf/2021-13660.pdf Notice - 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-E https://regulations.justia.com/regulations/fedreg/2021/06/28/2021-13659.html https://regulations.justia.com/regulations/fedreg/2021/06/28/2021-13659.html Mon, 28 Jun 2021 00:00:00 -0700 2021-13659 Notice https://www.govinfo.gov/content/pkg/FR-2021-06-28/pdf/2021-13659.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/2021/06/28/2021-13658.html https://regulations.justia.com/regulations/fedreg/2021/06/28/2021-13658.html Mon, 28 Jun 2021 00:00:00 -0700 2021-13658 Notice https://www.govinfo.gov/content/pkg/FR-2021-06-28/pdf/2021-13658.pdf Notice - 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) https://regulations.justia.com/regulations/fedreg/2021/06/28/2021-13657.html https://regulations.justia.com/regulations/fedreg/2021/06/28/2021-13657.html Mon, 28 Jun 2021 00:00:00 -0700 2021-13657 Notice https://www.govinfo.gov/content/pkg/FR-2021-06-28/pdf/2021-13657.pdf Notice - 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) https://regulations.justia.com/regulations/fedreg/2021/06/28/2021-13656.html https://regulations.justia.com/regulations/fedreg/2021/06/28/2021-13656.html Mon, 28 Jun 2021 00:00:00 -0700 2021-13656 Notice https://www.govinfo.gov/content/pkg/FR-2021-06-28/pdf/2021-13656.pdf Notice - 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) https://regulations.justia.com/regulations/fedreg/2021/06/28/2021-13655.html https://regulations.justia.com/regulations/fedreg/2021/06/28/2021-13655.html Mon, 28 Jun 2021 00:00:00 -0700 2021-13655 Notice https://www.govinfo.gov/content/pkg/FR-2021-06-28/pdf/2021-13655.pdf Notice - 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) https://regulations.justia.com/regulations/fedreg/2021/06/28/2021-13654.html https://regulations.justia.com/regulations/fedreg/2021/06/28/2021-13654.html Mon, 28 Jun 2021 00:00:00 -0700 2021-13654 Notice https://www.govinfo.gov/content/pkg/FR-2021-06-28/pdf/2021-13654.pdf Notice - 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) https://regulations.justia.com/regulations/fedreg/2021/06/28/2021-13653.html https://regulations.justia.com/regulations/fedreg/2021/06/28/2021-13653.html Mon, 28 Jun 2021 00:00:00 -0700 2021-13653 Notice https://www.govinfo.gov/content/pkg/FR-2021-06-28/pdf/2021-13653.pdf Notice - 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 2021 https://regulations.justia.com/regulations/fedreg/2021/06/28/2021-13652.html https://regulations.justia.com/regulations/fedreg/2021/06/28/2021-13652.html Mon, 28 Jun 2021 00:00:00 -0700 2021-13652 Notice https://www.govinfo.gov/content/pkg/FR-2021-06-28/pdf/2021-13652.pdf Notice - 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 LLC https://regulations.justia.com/regulations/fedreg/2021/06/25/2021-13522.html https://regulations.justia.com/regulations/fedreg/2021/06/25/2021-13522.html Fri, 25 Jun 2021 00:00:00 -0700 2021-13522 Notice https://www.govinfo.gov/content/pkg/FR-2021-06-25/pdf/2021-13522.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 for Changing the Primary and Secondary Source of Quotation Data of MEMX LLC https://regulations.justia.com/regulations/fedreg/2021/06/25/2021-13521.html https://regulations.justia.com/regulations/fedreg/2021/06/25/2021-13521.html Fri, 25 Jun 2021 00:00:00 -0700 2021-13521 Notice https://www.govinfo.gov/content/pkg/FR-2021-06-25/pdf/2021-13521.pdf Notice - 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 LLC https://regulations.justia.com/regulations/fedreg/2021/06/25/2021-13520.html https://regulations.justia.com/regulations/fedreg/2021/06/25/2021-13520.html Fri, 25 Jun 2021 00:00:00 -0700 2021-13520 Notice https://www.govinfo.gov/content/pkg/FR-2021-06-25/pdf/2021-13520.pdf Notice - Proposed Collection; Comment Request https://regulations.justia.com/regulations/fedreg/2021/06/25/2021-13508.html https://regulations.justia.com/regulations/fedreg/2021/06/25/2021-13508.html Fri, 25 Jun 2021 00:00:00 -0700 2021-13508 Notice https://www.govinfo.gov/content/pkg/FR-2021-06-25/pdf/2021-13508.pdf Notice - Proposed Collection; Comment Request https://regulations.justia.com/regulations/fedreg/2021/06/25/2021-13507.html https://regulations.justia.com/regulations/fedreg/2021/06/25/2021-13507.html Fri, 25 Jun 2021 00:00:00 -0700 2021-13507 Notice https://www.govinfo.gov/content/pkg/FR-2021-06-25/pdf/2021-13507.pdf Notice - Submission for OMB Review; Comment Request https://regulations.justia.com/regulations/fedreg/2021/06/25/2021-13506.html https://regulations.justia.com/regulations/fedreg/2021/06/25/2021-13506.html Fri, 25 Jun 2021 00:00:00 -0700 2021-13506 Notice https://www.govinfo.gov/content/pkg/FR-2021-06-25/pdf/2021-13506.pdf Notice - Proposed Collection; Comment Request https://regulations.justia.com/regulations/fedreg/2021/06/25/2021-13505.html https://regulations.justia.com/regulations/fedreg/2021/06/25/2021-13505.html Fri, 25 Jun 2021 00:00:00 -0700 2021-13505 Notice https://www.govinfo.gov/content/pkg/FR-2021-06-25/pdf/2021-13505.pdf Notice - 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 Requirements https://regulations.justia.com/regulations/fedreg/2021/06/24/2021-13413.html https://regulations.justia.com/regulations/fedreg/2021/06/24/2021-13413.html Thu, 24 Jun 2021 00:00:00 -0700 2021-13413 Notice https://www.govinfo.gov/content/pkg/FR-2021-06-24/pdf/2021-13413.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 for the Complex PRIME (“cPRIME”) Agency Order Credit https://regulations.justia.com/regulations/fedreg/2021/06/24/2021-13288.html https://regulations.justia.com/regulations/fedreg/2021/06/24/2021-13288.html Thu, 24 Jun 2021 00:00:00 -0700 2021-13288 Notice https://www.govinfo.gov/content/pkg/FR-2021-06-24/pdf/2021-13288.pdf Notice - 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 Changes https://regulations.justia.com/regulations/fedreg/2021/06/24/2021-13287.html https://regulations.justia.com/regulations/fedreg/2021/06/24/2021-13287.html Thu, 24 Jun 2021 00:00:00 -0700 2021-13287 Notice https://www.govinfo.gov/content/pkg/FR-2021-06-24/pdf/2021-13287.pdf Notice - 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) https://regulations.justia.com/regulations/fedreg/2021/06/24/2021-13286.html https://regulations.justia.com/regulations/fedreg/2021/06/24/2021-13286.html Thu, 24 Jun 2021 00:00:00 -0700 2021-13286 Notice https://www.govinfo.gov/content/pkg/FR-2021-06-24/pdf/2021-13286.pdf Notice - 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 System https://regulations.justia.com/regulations/fedreg/2021/06/24/2021-13285.html https://regulations.justia.com/regulations/fedreg/2021/06/24/2021-13285.html Thu, 24 Jun 2021 00:00:00 -0700 2021-13285 Notice https://www.govinfo.gov/content/pkg/FR-2021-06-24/pdf/2021-13285.pdf Notice - Self-Regulatory Organizations; Cboe C2 Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating To Amend Its Fees Schedule https://regulations.justia.com/regulations/fedreg/2021/06/24/2021-13284.html https://regulations.justia.com/regulations/fedreg/2021/06/24/2021-13284.html Thu, 24 Jun 2021 00:00:00 -0700 2021-13284 Notice https://www.govinfo.gov/content/pkg/FR-2021-06-24/pdf/2021-13284.pdf Notice - 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 Data https://regulations.justia.com/regulations/fedreg/2021/06/24/2021-13283.html https://regulations.justia.com/regulations/fedreg/2021/06/24/2021-13283.html Thu, 24 Jun 2021 00:00:00 -0700 2021-13283 Notice https://www.govinfo.gov/content/pkg/FR-2021-06-24/pdf/2021-13283.pdf Notice - Self-Regulatory Organizations; Cboe BZX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Open-Close Data Fees https://regulations.justia.com/regulations/fedreg/2021/06/24/2021-13282.html https://regulations.justia.com/regulations/fedreg/2021/06/24/2021-13282.html Thu, 24 Jun 2021 00:00:00 -0700 2021-13282 Notice https://www.govinfo.gov/content/pkg/FR-2021-06-24/pdf/2021-13282.pdf Notice - Self-Regulatory Organizations; Cboe EDGX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Open-Close Data Fees https://regulations.justia.com/regulations/fedreg/2021/06/24/2021-13281.html https://regulations.justia.com/regulations/fedreg/2021/06/24/2021-13281.html Thu, 24 Jun 2021 00:00:00 -0700 2021-13281 Notice https://www.govinfo.gov/content/pkg/FR-2021-06-24/pdf/2021-13281.pdf Notice - Calamos-Avenue Opportunities Fund and Calamos Avenue Management, LLC https://regulations.justia.com/regulations/fedreg/2021/06/24/2021-13280.html https://regulations.justia.com/regulations/fedreg/2021/06/24/2021-13280.html Thu, 24 Jun 2021 00:00:00 -0700 2021-13280 Notice https://www.govinfo.gov/content/pkg/FR-2021-06-24/pdf/2021-13280.pdf Notice - First Eagle Alternative Capital BDC, Inc., et al. https://regulations.justia.com/regulations/fedreg/2021/06/24/2021-13278.html https://regulations.justia.com/regulations/fedreg/2021/06/24/2021-13278.html Thu, 24 Jun 2021 00:00:00 -0700 2021-13278 Notice https://www.govinfo.gov/content/pkg/FR-2021-06-24/pdf/2021-13278.pdf Notice - 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 Report https://regulations.justia.com/regulations/fedreg/2021/06/24/2021-13251.html https://regulations.justia.com/regulations/fedreg/2021/06/24/2021-13251.html Thu, 24 Jun 2021 00:00:00 -0700 2021-13251 Notice https://www.govinfo.gov/content/pkg/FR-2021-06-24/pdf/2021-13251.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 Adopt Fees for a New Data Product Known as the Liquidity Taker Event Report https://regulations.justia.com/regulations/fedreg/2021/06/24/2021-13248.html https://regulations.justia.com/regulations/fedreg/2021/06/24/2021-13248.html Thu, 24 Jun 2021 00:00:00 -0700 2021-13248 Notice https://www.govinfo.gov/content/pkg/FR-2021-06-24/pdf/2021-13248.pdf Notice - 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 Trail https://regulations.justia.com/regulations/fedreg/2021/06/24/2021-13247.html https://regulations.justia.com/regulations/fedreg/2021/06/24/2021-13247.html Thu, 24 Jun 2021 00:00:00 -0700 2021-13247 Notice https://www.govinfo.gov/content/pkg/FR-2021-06-24/pdf/2021-13247.pdf Notice - 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”) https://regulations.justia.com/regulations/fedreg/2021/06/24/2021-13246.html https://regulations.justia.com/regulations/fedreg/2021/06/24/2021-13246.html Thu, 24 Jun 2021 00:00:00 -0700 2021-13246 Notice https://www.govinfo.gov/content/pkg/FR-2021-06-24/pdf/2021-13246.pdf Notice - 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 Note https://regulations.justia.com/regulations/fedreg/2021/06/24/2021-13245.html https://regulations.justia.com/regulations/fedreg/2021/06/24/2021-13245.html Thu, 24 Jun 2021 00:00:00 -0700 2021-13245 Notice https://www.govinfo.gov/content/pkg/FR-2021-06-24/pdf/2021-13245.pdf Notice - 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”) Auctions https://regulations.justia.com/regulations/fedreg/2021/06/24/2021-13244.html https://regulations.justia.com/regulations/fedreg/2021/06/24/2021-13244.html Thu, 24 Jun 2021 00:00:00 -0700 2021-13244 Notice https://www.govinfo.gov/content/pkg/FR-2021-06-24/pdf/2021-13244.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/2021/06/24/2021-13243.html https://regulations.justia.com/regulations/fedreg/2021/06/24/2021-13243.html Thu, 24 Jun 2021 00:00:00 -0700 2021-13243 Notice https://www.govinfo.gov/content/pkg/FR-2021-06-24/pdf/2021-13243.pdf Notice - Asset Management Advisory Committee; Meeting https://regulations.justia.com/regulations/fedreg/2021/06/24/2021-13206.html https://regulations.justia.com/regulations/fedreg/2021/06/24/2021-13206.html Thu, 24 Jun 2021 00:00:00 -0700 2021-13206 Notice https://www.govinfo.gov/content/pkg/FR-2021-06-24/pdf/2021-13206.pdf Notice - Order Approving Adjustment for Inflation of the Dollar Amount Tests in Rule 205-3 Under the Investment Advisers Act of 1940 https://regulations.justia.com/regulations/fedreg/2021/06/23/2021-13192.html https://regulations.justia.com/regulations/fedreg/2021/06/23/2021-13192.html Wed, 23 Jun 2021 00:00:00 -0700 2021-13192 Notice https://www.govinfo.gov/content/pkg/FR-2021-06-23/pdf/2021-13192.pdf Notice - Sunshine Act Meetings https://regulations.justia.com/regulations/fedreg/2021/06/23/2021-13155.html https://regulations.justia.com/regulations/fedreg/2021/06/23/2021-13155.html Wed, 23 Jun 2021 00:00:00 -0700 2021-13155 Notice https://www.govinfo.gov/content/pkg/FR-2021-06-23/pdf/2021-13155.pdf Notice - Nationwide Mutual Funds, et al. https://regulations.justia.com/regulations/fedreg/2021/06/23/2021-13116.html https://regulations.justia.com/regulations/fedreg/2021/06/23/2021-13116.html Wed, 23 Jun 2021 00:00:00 -0700 2021-13116 Notice https://www.govinfo.gov/content/pkg/FR-2021-06-23/pdf/2021-13116.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 Options 7, Section 5 https://regulations.justia.com/regulations/fedreg/2021/06/23/2021-13105.html https://regulations.justia.com/regulations/fedreg/2021/06/23/2021-13105.html Wed, 23 Jun 2021 00:00:00 -0700 2021-13105 Notice https://www.govinfo.gov/content/pkg/FR-2021-06-23/pdf/2021-13105.pdf Notice - 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 Access https://regulations.justia.com/regulations/fedreg/2021/06/23/2021-13104.html https://regulations.justia.com/regulations/fedreg/2021/06/23/2021-13104.html Wed, 23 Jun 2021 00:00:00 -0700 2021-13104 Notice https://www.govinfo.gov/content/pkg/FR-2021-06-23/pdf/2021-13104.pdf Notice - 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 Times https://regulations.justia.com/regulations/fedreg/2021/06/23/2021-13103.html https://regulations.justia.com/regulations/fedreg/2021/06/23/2021-13103.html Wed, 23 Jun 2021 00:00:00 -0700 2021-13103 Notice https://www.govinfo.gov/content/pkg/FR-2021-06-23/pdf/2021-13103.pdf Notice - Self-Regulatory Organizations; ICE Clear Credit LLC; Order Approving Proposed Rule Change Relating to the ICC End-of-Day Price Discovery Policies and Procedures https://regulations.justia.com/regulations/fedreg/2021/06/23/2021-13102.html https://regulations.justia.com/regulations/fedreg/2021/06/23/2021-13102.html Wed, 23 Jun 2021 00:00:00 -0700 2021-13102 Notice https://www.govinfo.gov/content/pkg/FR-2021-06-23/pdf/2021-13102.pdf Notice - 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 Shares https://regulations.justia.com/regulations/fedreg/2021/06/23/2021-13101.html https://regulations.justia.com/regulations/fedreg/2021/06/23/2021-13101.html Wed, 23 Jun 2021 00:00:00 -0700 2021-13101 Notice https://www.govinfo.gov/content/pkg/FR-2021-06-23/pdf/2021-13101.pdf Notice - 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 Officials https://regulations.justia.com/regulations/fedreg/2021/06/23/2021-13100.html https://regulations.justia.com/regulations/fedreg/2021/06/23/2021-13100.html Wed, 23 Jun 2021 00:00:00 -0700 2021-13100 Notice https://www.govinfo.gov/content/pkg/FR-2021-06-23/pdf/2021-13100.pdf Notice - 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 BOX https://regulations.justia.com/regulations/fedreg/2021/06/23/2021-13099.html https://regulations.justia.com/regulations/fedreg/2021/06/23/2021-13099.html Wed, 23 Jun 2021 00:00:00 -0700 2021-13099 Notice https://www.govinfo.gov/content/pkg/FR-2021-06-23/pdf/2021-13099.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 3, “Regular Order Fees and Rebates” and Section 4, “Complex Order Fees and Rebates” https://regulations.justia.com/regulations/fedreg/2021/06/23/2021-13098.html https://regulations.justia.com/regulations/fedreg/2021/06/23/2021-13098.html Wed, 23 Jun 2021 00:00:00 -0700 2021-13098 Notice https://www.govinfo.gov/content/pkg/FR-2021-06-23/pdf/2021-13098.pdf Notice - Security-Based Swap Data Repositories; ICE Trade Vault, LLC; Order Approving Application for Registration as a Security-Based Swap Data Repository https://regulations.justia.com/regulations/fedreg/2021/06/22/2021-13140.html https://regulations.justia.com/regulations/fedreg/2021/06/22/2021-13140.html Tue, 22 Jun 2021 00:00:00 -0700 2021-13140 Notice https://www.govinfo.gov/content/pkg/FR-2021-06-22/pdf/2021-13140.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 Its Rules To Prohibit Member Organizations From Seeking Reimbursement, in Certain Circumstances, From Issuers for Forwarding Proxy and Other Materials to Beneficial Owners https://regulations.justia.com/regulations/fedreg/2021/06/17/2021-12752.html https://regulations.justia.com/regulations/fedreg/2021/06/17/2021-12752.html Thu, 17 Jun 2021 00:00:00 -0700 2021-12752 Notice https://www.govinfo.gov/content/pkg/FR-2021-06-17/pdf/2021-12752.pdf Notice - 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 Orders https://regulations.justia.com/regulations/fedreg/2021/06/17/2021-12750.html https://regulations.justia.com/regulations/fedreg/2021/06/17/2021-12750.html Thu, 17 Jun 2021 00:00:00 -0700 2021-12750 Notice https://www.govinfo.gov/content/pkg/FR-2021-06-17/pdf/2021-12750.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 To Amend Its Rules Establishing Maximum Fee Rates To Be Charged by Member Organizations for Forwarding Proxy and Other Materials to Beneficial Owners https://regulations.justia.com/regulations/fedreg/2021/06/17/2021-12748.html https://regulations.justia.com/regulations/fedreg/2021/06/17/2021-12748.html Thu, 17 Jun 2021 00:00:00 -0700 2021-12748 Notice https://www.govinfo.gov/content/pkg/FR-2021-06-17/pdf/2021-12748.pdf Notice - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Its Price List https://regulations.justia.com/regulations/fedreg/2021/06/17/2021-12747.html https://regulations.justia.com/regulations/fedreg/2021/06/17/2021-12747.html Thu, 17 Jun 2021 00:00:00 -0700 2021-12747 Notice https://www.govinfo.gov/content/pkg/FR-2021-06-17/pdf/2021-12747.pdf Notice - Schwab Strategic Trust, et al. https://regulations.justia.com/regulations/fedreg/2021/06/17/2021-12746.html https://regulations.justia.com/regulations/fedreg/2021/06/17/2021-12746.html Thu, 17 Jun 2021 00:00:00 -0700 2021-12746 Notice https://www.govinfo.gov/content/pkg/FR-2021-06-17/pdf/2021-12746.pdf Notice - Self-Regulatory Organizations; Cboe EDGA Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Its Fee Schedule https://regulations.justia.com/regulations/fedreg/2021/06/17/2021-12745.html https://regulations.justia.com/regulations/fedreg/2021/06/17/2021-12745.html Thu, 17 Jun 2021 00:00:00 -0700 2021-12745 Notice https://www.govinfo.gov/content/pkg/FR-2021-06-17/pdf/2021-12745.pdf Notice - Proposed Collection; Comment Request https://regulations.justia.com/regulations/fedreg/2021/06/16/2021-12658.html https://regulations.justia.com/regulations/fedreg/2021/06/16/2021-12658.html Wed, 16 Jun 2021 00:00:00 -0700 2021-12658 Notice https://www.govinfo.gov/content/pkg/FR-2021-06-16/pdf/2021-12658.pdf Notice - Proposed Collection; Comment Request https://regulations.justia.com/regulations/fedreg/2021/06/16/2021-12657.html https://regulations.justia.com/regulations/fedreg/2021/06/16/2021-12657.html Wed, 16 Jun 2021 00:00:00 -0700 2021-12657 Notice https://www.govinfo.gov/content/pkg/FR-2021-06-16/pdf/2021-12657.pdf Notice - Proposed Collection; Comment Request https://regulations.justia.com/regulations/fedreg/2021/06/16/2021-12656.html https://regulations.justia.com/regulations/fedreg/2021/06/16/2021-12656.html Wed, 16 Jun 2021 00:00:00 -0700 2021-12656 Notice https://www.govinfo.gov/content/pkg/FR-2021-06-16/pdf/2021-12656.pdf Notice - 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 Amount https://regulations.justia.com/regulations/fedreg/2021/06/16/2021-12598.html https://regulations.justia.com/regulations/fedreg/2021/06/16/2021-12598.html Wed, 16 Jun 2021 00:00:00 -0700 2021-12598 Notice https://www.govinfo.gov/content/pkg/FR-2021-06-16/pdf/2021-12598.pdf Notice - 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 Data https://regulations.justia.com/regulations/fedreg/2021/06/16/2021-12594.html https://regulations.justia.com/regulations/fedreg/2021/06/16/2021-12594.html Wed, 16 Jun 2021 00:00:00 -0700 2021-12594 Notice https://www.govinfo.gov/content/pkg/FR-2021-06-16/pdf/2021-12594.pdf Notice - Self-Regulatory Organizations; MEMX LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the Exchange's Fee Schedule https://regulations.justia.com/regulations/fedreg/2021/06/16/2021-12593.html https://regulations.justia.com/regulations/fedreg/2021/06/16/2021-12593.html Wed, 16 Jun 2021 00:00:00 -0700 2021-12593 Notice https://www.govinfo.gov/content/pkg/FR-2021-06-16/pdf/2021-12593.pdf Notice - 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 Data https://regulations.justia.com/regulations/fedreg/2021/06/16/2021-12592.html https://regulations.justia.com/regulations/fedreg/2021/06/16/2021-12592.html Wed, 16 Jun 2021 00:00:00 -0700 2021-12592 Notice https://www.govinfo.gov/content/pkg/FR-2021-06-16/pdf/2021-12592.pdf Notice - 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 Data https://regulations.justia.com/regulations/fedreg/2021/06/16/2021-12591.html https://regulations.justia.com/regulations/fedreg/2021/06/16/2021-12591.html Wed, 16 Jun 2021 00:00:00 -0700 2021-12591 Notice https://www.govinfo.gov/content/pkg/FR-2021-06-16/pdf/2021-12591.pdf Notice - 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 Data https://regulations.justia.com/regulations/fedreg/2021/06/16/2021-12590.html https://regulations.justia.com/regulations/fedreg/2021/06/16/2021-12590.html Wed, 16 Jun 2021 00:00:00 -0700 2021-12590 Notice https://www.govinfo.gov/content/pkg/FR-2021-06-16/pdf/2021-12590.pdf Notice - 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. Customers https://regulations.justia.com/regulations/fedreg/2021/06/16/2021-12588.html https://regulations.justia.com/regulations/fedreg/2021/06/16/2021-12588.html Wed, 16 Jun 2021 00:00:00 -0700 2021-12588 Notice https://www.govinfo.gov/content/pkg/FR-2021-06-16/pdf/2021-12588.pdf Notice - 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) https://regulations.justia.com/regulations/fedreg/2021/06/15/2021-12480.html https://regulations.justia.com/regulations/fedreg/2021/06/15/2021-12480.html Tue, 15 Jun 2021 00:00:00 -0700 2021-12480 Notice https://www.govinfo.gov/content/pkg/FR-2021-06-15/pdf/2021-12480.pdf Notice - Self-Regulatory Organizations; MIAX Emerald, LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Its Fee Schedule To Adopt Fees for the Open-Close Report https://regulations.justia.com/regulations/fedreg/2021/06/15/2021-12479.html https://regulations.justia.com/regulations/fedreg/2021/06/15/2021-12479.html Tue, 15 Jun 2021 00:00:00 -0700 2021-12479 Notice https://www.govinfo.gov/content/pkg/FR-2021-06-15/pdf/2021-12479.pdf Notice - 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 Report https://regulations.justia.com/regulations/fedreg/2021/06/15/2021-12478.html https://regulations.justia.com/regulations/fedreg/2021/06/15/2021-12478.html Tue, 15 Jun 2021 00:00:00 -0700 2021-12478 Notice https://www.govinfo.gov/content/pkg/FR-2021-06-15/pdf/2021-12478.pdf Notice - 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 Reference https://regulations.justia.com/regulations/fedreg/2021/06/15/2021-12477.html https://regulations.justia.com/regulations/fedreg/2021/06/15/2021-12477.html Tue, 15 Jun 2021 00:00:00 -0700 2021-12477 Notice https://www.govinfo.gov/content/pkg/FR-2021-06-15/pdf/2021-12477.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 Adopt Fees for the Open-Close Report https://regulations.justia.com/regulations/fedreg/2021/06/15/2021-12476.html https://regulations.justia.com/regulations/fedreg/2021/06/15/2021-12476.html Tue, 15 Jun 2021 00:00:00 -0700 2021-12476 Notice https://www.govinfo.gov/content/pkg/FR-2021-06-15/pdf/2021-12476.pdf Notice - Self-Regulatory Organizations; The Nasdaq Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the Exchange's Pricing Schedule at Equity 7, Section 114(f) https://regulations.justia.com/regulations/fedreg/2021/06/15/2021-12475.html https://regulations.justia.com/regulations/fedreg/2021/06/15/2021-12475.html Tue, 15 Jun 2021 00:00:00 -0700 2021-12475 Notice https://www.govinfo.gov/content/pkg/FR-2021-06-15/pdf/2021-12475.pdf Notice - 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 Requirements https://regulations.justia.com/regulations/fedreg/2021/06/15/2021-12474.html https://regulations.justia.com/regulations/fedreg/2021/06/15/2021-12474.html Tue, 15 Jun 2021 00:00:00 -0700 2021-12474 Notice https://www.govinfo.gov/content/pkg/FR-2021-06-15/pdf/2021-12474.pdf Notice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Modifying the NYSE Arca Options Fee Schedule https://regulations.justia.com/regulations/fedreg/2021/06/15/2021-12473.html https://regulations.justia.com/regulations/fedreg/2021/06/15/2021-12473.html Tue, 15 Jun 2021 00:00:00 -0700 2021-12473 Notice https://www.govinfo.gov/content/pkg/FR-2021-06-15/pdf/2021-12473.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 Kryptoin Bitcoin ETF Trust Under BZX Rule 14.11(e)(4), Commodity-Based Trust Shares https://regulations.justia.com/regulations/fedreg/2021/06/15/2021-12472.html https://regulations.justia.com/regulations/fedreg/2021/06/15/2021-12472.html Tue, 15 Jun 2021 00:00:00 -0700 2021-12472 Notice https://www.govinfo.gov/content/pkg/FR-2021-06-15/pdf/2021-12472.pdf Notice - Sunshine Act Meetings https://regulations.justia.com/regulations/fedreg/2021/06/14/2021-12565.html https://regulations.justia.com/regulations/fedreg/2021/06/14/2021-12565.html Mon, 14 Jun 2021 00:00:00 -0700 2021-12565 Notice https://www.govinfo.gov/content/pkg/FR-2021-06-14/pdf/2021-12565.pdf Notice - Sunshine Act Meeting; Cancellation https://regulations.justia.com/regulations/fedreg/2021/06/14/2021-12509.html https://regulations.justia.com/regulations/fedreg/2021/06/14/2021-12509.html Mon, 14 Jun 2021 00:00:00 -0700 2021-12509 Notice https://www.govinfo.gov/content/pkg/FR-2021-06-14/pdf/2021-12509.pdf Notice - Joint Industry Plan; Notice of Designation of a Longer Period for Commission Action on a Proposed National Market System Plan Regarding Consolidated Equity Market Data https://regulations.justia.com/regulations/fedreg/2021/06/14/2021-12439.html https://regulations.justia.com/regulations/fedreg/2021/06/14/2021-12439.html Mon, 14 Jun 2021 00:00:00 -0700 2021-12439 Notice https://www.govinfo.gov/content/pkg/FR-2021-06-14/pdf/2021-12439.pdf Notice - 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 Obligations https://regulations.justia.com/regulations/fedreg/2021/06/14/2021-12338.html https://regulations.justia.com/regulations/fedreg/2021/06/14/2021-12338.html Mon, 14 Jun 2021 00:00:00 -0700 2021-12338 Notice https://www.govinfo.gov/content/pkg/FR-2021-06-14/pdf/2021-12338.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/2021/06/11/2021-12250.html https://regulations.justia.com/regulations/fedreg/2021/06/11/2021-12250.html Fri, 11 Jun 2021 00:00:00 -0700 2021-12250 Notice https://www.govinfo.gov/content/pkg/FR-2021-06-11/pdf/2021-12250.pdf Notice - Self-Regulatory Organizations; NYSE American LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Modify the NYSE American Options Fee Schedule https://regulations.justia.com/regulations/fedreg/2021/06/11/2021-12249.html https://regulations.justia.com/regulations/fedreg/2021/06/11/2021-12249.html Fri, 11 Jun 2021 00:00:00 -0700 2021-12249 Notice https://www.govinfo.gov/content/pkg/FR-2021-06-11/pdf/2021-12249.pdf Notice - 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 Orders https://regulations.justia.com/regulations/fedreg/2021/06/11/2021-12248.html https://regulations.justia.com/regulations/fedreg/2021/06/11/2021-12248.html Fri, 11 Jun 2021 00:00:00 -0700 2021-12248 Notice https://www.govinfo.gov/content/pkg/FR-2021-06-11/pdf/2021-12248.pdf Notice - Self-Regulatory Organizations; ICE Clear Europe Limited; Notice of Filing of Proposed Rule Change Relating to the ICE Clear Europe Articles of Association https://regulations.justia.com/regulations/fedreg/2021/06/11/2021-12247.html https://regulations.justia.com/regulations/fedreg/2021/06/11/2021-12247.html Fri, 11 Jun 2021 00:00:00 -0700 2021-12247 Notice https://www.govinfo.gov/content/pkg/FR-2021-06-11/pdf/2021-12247.pdf Notice - Self-Regulatory Organizations; The Nasdaq Stock Market LLC; Notice of Designation of a Longer Period for Commission Action on Proceedings To Determine Whether To Approve or Disapprove a Proposed Rule Change, as Modified by Amendment No. 1, To Offer Certain Listed Companies Access to a Complimentary Board Recruiting Solution To Help Advance Diversity on Company Boards https://regulations.justia.com/regulations/fedreg/2021/06/11/2021-12246.html https://regulations.justia.com/regulations/fedreg/2021/06/11/2021-12246.html Fri, 11 Jun 2021 00:00:00 -0700 2021-12246 Notice https://www.govinfo.gov/content/pkg/FR-2021-06-11/pdf/2021-12246.pdf Notice - Self-Regulatory Organizations; The Nasdaq Stock Market LLC; Notice of Designation of a Longer Period for Commission Action on Proceedings To Determine Whether To Approve or Disapprove a Proposed Rule Change, as Modified by Amendment No. 1, To Adopt Listing Rules Related to Board Diversity https://regulations.justia.com/regulations/fedreg/2021/06/11/2021-12245.html https://regulations.justia.com/regulations/fedreg/2021/06/11/2021-12245.html Fri, 11 Jun 2021 00:00:00 -0700 2021-12245 Notice https://www.govinfo.gov/content/pkg/FR-2021-06-11/pdf/2021-12245.pdf Notice - 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 Amount https://regulations.justia.com/regulations/fedreg/2021/06/11/2021-12244.html https://regulations.justia.com/regulations/fedreg/2021/06/11/2021-12244.html Fri, 11 Jun 2021 00:00:00 -0700 2021-12244 Notice https://www.govinfo.gov/content/pkg/FR-2021-06-11/pdf/2021-12244.pdf Notice - 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 Systemization https://regulations.justia.com/regulations/fedreg/2021/06/11/2021-12243.html https://regulations.justia.com/regulations/fedreg/2021/06/11/2021-12243.html Fri, 11 Jun 2021 00:00:00 -0700 2021-12243 Notice https://www.govinfo.gov/content/pkg/FR-2021-06-11/pdf/2021-12243.pdf Rule - Recordkeeping and Reporting Requirements for Security-Based Swap Dealers, Major Security-Based Swap Participants, and Broker-Dealers; Correction https://regulations.justia.com/regulations/fedreg/2021/06/11/2021-11572.html https://regulations.justia.com/regulations/fedreg/2021/06/11/2021-11572.html Fri, 11 Jun 2021 00:00:00 -0700 2021-11572 Rule https://www.govinfo.gov/content/pkg/FR-2021-06-11/pdf/2021-11572.pdf Notice - Self-Regulatory Organizations; Nasdaq PHLX LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Various Phlx Rules https://regulations.justia.com/regulations/fedreg/2021/06/10/2021-12120.html https://regulations.justia.com/regulations/fedreg/2021/06/10/2021-12120.html Thu, 10 Jun 2021 00:00:00 -0700 2021-12120 Notice https://www.govinfo.gov/content/pkg/FR-2021-06-10/pdf/2021-12120.pdf Notice - Submission for OMB Review; Comment Request https://regulations.justia.com/regulations/fedreg/2021/06/10/2021-12112.html https://regulations.justia.com/regulations/fedreg/2021/06/10/2021-12112.html Thu, 10 Jun 2021 00:00:00 -0700 2021-12112 Notice https://www.govinfo.gov/content/pkg/FR-2021-06-10/pdf/2021-12112.pdf Notice - Submission for OMB Review; Comment Request https://regulations.justia.com/regulations/fedreg/2021/06/10/2021-12101.html https://regulations.justia.com/regulations/fedreg/2021/06/10/2021-12101.html Thu, 10 Jun 2021 00:00:00 -0700 2021-12101 Notice https://www.govinfo.gov/content/pkg/FR-2021-06-10/pdf/2021-12101.pdf Notice - Submission for OMB Review; Comment Request https://regulations.justia.com/regulations/fedreg/2021/06/09/2021-12104.html https://regulations.justia.com/regulations/fedreg/2021/06/09/2021-12104.html Wed, 09 Jun 2021 00:00:00 -0700 2021-12104 Notice https://www.govinfo.gov/content/pkg/FR-2021-06-09/pdf/2021-12104.pdf Notice - Submission for OMB Review; Comment Request https://regulations.justia.com/regulations/fedreg/2021/06/09/2021-12103.html https://regulations.justia.com/regulations/fedreg/2021/06/09/2021-12103.html Wed, 09 Jun 2021 00:00:00 -0700 2021-12103 Notice https://www.govinfo.gov/content/pkg/FR-2021-06-09/pdf/2021-12103.pdf Notice - Submission for OMB Review; Comment Request https://regulations.justia.com/regulations/fedreg/2021/06/09/2021-12102.html https://regulations.justia.com/regulations/fedreg/2021/06/09/2021-12102.html Wed, 09 Jun 2021 00:00:00 -0700 2021-12102 Notice https://www.govinfo.gov/content/pkg/FR-2021-06-09/pdf/2021-12102.pdf Notice - 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” https://regulations.justia.com/regulations/fedreg/2021/06/09/2021-12032.html https://regulations.justia.com/regulations/fedreg/2021/06/09/2021-12032.html Wed, 09 Jun 2021 00:00:00 -0700 2021-12032 Notice https://www.govinfo.gov/content/pkg/FR-2021-06-09/pdf/2021-12032.pdf Notice - 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) https://regulations.justia.com/regulations/fedreg/2021/06/09/2021-12031.html https://regulations.justia.com/regulations/fedreg/2021/06/09/2021-12031.html Wed, 09 Jun 2021 00:00:00 -0700 2021-12031 Notice https://www.govinfo.gov/content/pkg/FR-2021-06-09/pdf/2021-12031.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 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) https://regulations.justia.com/regulations/fedreg/2021/06/09/2021-12029.html https://regulations.justia.com/regulations/fedreg/2021/06/09/2021-12029.html Wed, 09 Jun 2021 00:00:00 -0700 2021-12029 Notice https://www.govinfo.gov/content/pkg/FR-2021-06-09/pdf/2021-12029.pdf Notice - 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 Service https://regulations.justia.com/regulations/fedreg/2021/06/09/2021-12026.html https://regulations.justia.com/regulations/fedreg/2021/06/09/2021-12026.html Wed, 09 Jun 2021 00:00:00 -0700 2021-12026 Notice https://www.govinfo.gov/content/pkg/FR-2021-06-09/pdf/2021-12026.pdf Notice - Listed Funds Trust and Skyrocket Investments, LLC https://regulations.justia.com/regulations/fedreg/2021/06/08/2021-11917.html https://regulations.justia.com/regulations/fedreg/2021/06/08/2021-11917.html Tue, 08 Jun 2021 00:00:00 -0700 2021-11917 Notice https://www.govinfo.gov/content/pkg/FR-2021-06-08/pdf/2021-11917.pdf Notice - 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 Market https://regulations.justia.com/regulations/fedreg/2021/06/08/2021-11912.html https://regulations.justia.com/regulations/fedreg/2021/06/08/2021-11912.html Tue, 08 Jun 2021 00:00:00 -0700 2021-11912 Notice https://www.govinfo.gov/content/pkg/FR-2021-06-08/pdf/2021-11912.pdf Notice - 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 Center https://regulations.justia.com/regulations/fedreg/2021/06/08/2021-11911.html https://regulations.justia.com/regulations/fedreg/2021/06/08/2021-11911.html Tue, 08 Jun 2021 00:00:00 -0700 2021-11911 Notice https://www.govinfo.gov/content/pkg/FR-2021-06-08/pdf/2021-11911.pdf Notice - Sunshine Act Meetings https://regulations.justia.com/regulations/fedreg/2021/06/07/2021-11949.html https://regulations.justia.com/regulations/fedreg/2021/06/07/2021-11949.html Mon, 07 Jun 2021 00:00:00 -0700 2021-11949 Notice https://www.govinfo.gov/content/pkg/FR-2021-06-07/pdf/2021-11949.pdf Notice - 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 Trading https://regulations.justia.com/regulations/fedreg/2021/06/07/2021-11798.html https://regulations.justia.com/regulations/fedreg/2021/06/07/2021-11798.html Mon, 07 Jun 2021 00:00:00 -0700 2021-11798 Notice https://www.govinfo.gov/content/pkg/FR-2021-06-07/pdf/2021-11798.pdf Notice - 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 Report https://regulations.justia.com/regulations/fedreg/2021/06/07/2021-11797.html https://regulations.justia.com/regulations/fedreg/2021/06/07/2021-11797.html Mon, 07 Jun 2021 00:00:00 -0700 2021-11797 Notice https://www.govinfo.gov/content/pkg/FR-2021-06-07/pdf/2021-11797.pdf Notice - Self-Regulatory Organizations; Cboe Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the Silexx Trading Platform Fees Schedule https://regulations.justia.com/regulations/fedreg/2021/06/07/2021-11796.html https://regulations.justia.com/regulations/fedreg/2021/06/07/2021-11796.html Mon, 07 Jun 2021 00:00:00 -0700 2021-11796 Notice https://www.govinfo.gov/content/pkg/FR-2021-06-07/pdf/2021-11796.pdf Notice - Notice of Applications for Deregistration Under Section 8(f) of the Investment Company Act of 1940 https://regulations.justia.com/regulations/fedreg/2021/06/04/2021-11715.html https://regulations.justia.com/regulations/fedreg/2021/06/04/2021-11715.html Fri, 04 Jun 2021 00:00:00 -0700 2021-11715 Notice https://www.govinfo.gov/content/pkg/FR-2021-06-04/pdf/2021-11715.pdf Notice - 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 Cross https://regulations.justia.com/regulations/fedreg/2021/06/03/2021-11693.html https://regulations.justia.com/regulations/fedreg/2021/06/03/2021-11693.html Thu, 03 Jun 2021 00:00:00 -0700 2021-11693 Notice https://www.govinfo.gov/content/pkg/FR-2021-06-03/pdf/2021-11693.pdf Notice - 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 Intervals https://regulations.justia.com/regulations/fedreg/2021/06/03/2021-11691.html https://regulations.justia.com/regulations/fedreg/2021/06/03/2021-11691.html Thu, 03 Jun 2021 00:00:00 -0700 2021-11691 Notice https://www.govinfo.gov/content/pkg/FR-2021-06-03/pdf/2021-11691.pdf Notice - 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 2 https://regulations.justia.com/regulations/fedreg/2021/06/03/2021-11687.html https://regulations.justia.com/regulations/fedreg/2021/06/03/2021-11687.html Thu, 03 Jun 2021 00:00:00 -0700 2021-11687 Notice https://www.govinfo.gov/content/pkg/FR-2021-06-03/pdf/2021-11687.pdf Notice - 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 Plan https://regulations.justia.com/regulations/fedreg/2021/06/03/2021-11686.html https://regulations.justia.com/regulations/fedreg/2021/06/03/2021-11686.html Thu, 03 Jun 2021 00:00:00 -0700 2021-11686 Notice https://www.govinfo.gov/content/pkg/FR-2021-06-03/pdf/2021-11686.pdf Notice - Franklin Templeton Co-Investing Interval Fund, et al. https://regulations.justia.com/regulations/fedreg/2021/06/03/2021-11614.html https://regulations.justia.com/regulations/fedreg/2021/06/03/2021-11614.html Thu, 03 Jun 2021 00:00:00 -0700 2021-11614 Notice https://www.govinfo.gov/content/pkg/FR-2021-06-03/pdf/2021-11614.pdf Notice - Self-Regulatory Organizations; Cboe Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Rule 3.54 and Rule 3.10 https://regulations.justia.com/regulations/fedreg/2021/06/03/2021-11613.html https://regulations.justia.com/regulations/fedreg/2021/06/03/2021-11613.html Thu, 03 Jun 2021 00:00:00 -0700 2021-11613 Notice https://www.govinfo.gov/content/pkg/FR-2021-06-03/pdf/2021-11613.pdf Notice - 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 Fee https://regulations.justia.com/regulations/fedreg/2021/06/03/2021-11612.html https://regulations.justia.com/regulations/fedreg/2021/06/03/2021-11612.html Thu, 03 Jun 2021 00:00:00 -0700 2021-11612 Notice https://www.govinfo.gov/content/pkg/FR-2021-06-03/pdf/2021-11612.pdf Notice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending the NYSE Arca Equities Fees and Charges https://regulations.justia.com/regulations/fedreg/2021/06/03/2021-11611.html https://regulations.justia.com/regulations/fedreg/2021/06/03/2021-11611.html Thu, 03 Jun 2021 00:00:00 -0700 2021-11611 Notice https://www.govinfo.gov/content/pkg/FR-2021-06-03/pdf/2021-11611.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 American Century Sustainable Growth ETF https://regulations.justia.com/regulations/fedreg/2021/06/03/2021-11610.html https://regulations.justia.com/regulations/fedreg/2021/06/03/2021-11610.html Thu, 03 Jun 2021 00:00:00 -0700 2021-11610 Notice https://www.govinfo.gov/content/pkg/FR-2021-06-03/pdf/2021-11610.pdf Notice - 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 Changes https://regulations.justia.com/regulations/fedreg/2021/06/03/2021-11609.html https://regulations.justia.com/regulations/fedreg/2021/06/03/2021-11609.html Thu, 03 Jun 2021 00:00:00 -0700 2021-11609 Notice https://www.govinfo.gov/content/pkg/FR-2021-06-03/pdf/2021-11609.pdf Notice - 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 Fee https://regulations.justia.com/regulations/fedreg/2021/06/03/2021-11608.html https://regulations.justia.com/regulations/fedreg/2021/06/03/2021-11608.html Thu, 03 Jun 2021 00:00:00 -0700 2021-11608 Notice https://www.govinfo.gov/content/pkg/FR-2021-06-03/pdf/2021-11608.pdf Notice - Self-Regulatory Organizations; Cboe Exchange, Inc.; Notice of Designation of a Longer Period for Commission Action on Proceedings To Determine Whether To Approve or Disapprove a Proposed Rule Change, as Modified by Amendment No. 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 Purposes https://regulations.justia.com/regulations/fedreg/2021/06/03/2021-11607.html https://regulations.justia.com/regulations/fedreg/2021/06/03/2021-11607.html Thu, 03 Jun 2021 00:00:00 -0700 2021-11607 Notice https://www.govinfo.gov/content/pkg/FR-2021-06-03/pdf/2021-11607.pdf Notice - Self-Regulatory Organizations; The Options Clearing Corporation; Order Approving Proposed Rule Change To Establish OCC's Persistent Minimum Skin-In-The-Game https://regulations.justia.com/regulations/fedreg/2021/06/03/2021-11606.html https://regulations.justia.com/regulations/fedreg/2021/06/03/2021-11606.html Thu, 03 Jun 2021 00:00:00 -0700 2021-11606 Notice https://www.govinfo.gov/content/pkg/FR-2021-06-03/pdf/2021-11606.pdf Notice - Self-Regulatory Organizations; Fixed Income Clearing Corporation; Notice of Filing of Advance Notice To Add the Sponsored GC Service and Make Other Changes https://regulations.justia.com/regulations/fedreg/2021/06/03/2021-11605.html https://regulations.justia.com/regulations/fedreg/2021/06/03/2021-11605.html Thu, 03 Jun 2021 00:00:00 -0700 2021-11605 Notice https://www.govinfo.gov/content/pkg/FR-2021-06-03/pdf/2021-11605.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 Schedule of Wireless Connectivity Fees and Charges To Add Circuits for Connectivity Into and Out of the Data Center in Mahwah, New Jersey https://regulations.justia.com/regulations/fedreg/2021/06/02/2021-11533.html https://regulations.justia.com/regulations/fedreg/2021/06/02/2021-11533.html Wed, 02 Jun 2021 00:00:00 -0700 2021-11533 Notice https://www.govinfo.gov/content/pkg/FR-2021-06-02/pdf/2021-11533.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 WisdomTree Bitcoin Trust Under BZX Rule 14.11(e)(4), Commodity-Based Trust Shares https://regulations.justia.com/regulations/fedreg/2021/06/02/2021-11532.html https://regulations.justia.com/regulations/fedreg/2021/06/02/2021-11532.html Wed, 02 Jun 2021 00:00:00 -0700 2021-11532 Notice https://www.govinfo.gov/content/pkg/FR-2021-06-02/pdf/2021-11532.pdf Notice - 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 Investors https://regulations.justia.com/regulations/fedreg/2021/06/02/2021-11531.html https://regulations.justia.com/regulations/fedreg/2021/06/02/2021-11531.html Wed, 02 Jun 2021 00:00:00 -0700 2021-11531 Notice https://www.govinfo.gov/content/pkg/FR-2021-06-02/pdf/2021-11531.pdf Notice - Self-Regulatory Organizations; MIAX Emerald, LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Its Fee Schedule To Adopt Fees for a New Data Product Known as the Liquidity Taker Event Report https://regulations.justia.com/regulations/fedreg/2021/06/02/2021-11530.html https://regulations.justia.com/regulations/fedreg/2021/06/02/2021-11530.html Wed, 02 Jun 2021 00:00:00 -0700 2021-11530 Notice https://www.govinfo.gov/content/pkg/FR-2021-06-02/pdf/2021-11530.pdf Notice - 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 Terms https://regulations.justia.com/regulations/fedreg/2021/06/02/2021-11529.html https://regulations.justia.com/regulations/fedreg/2021/06/02/2021-11529.html Wed, 02 Jun 2021 00:00:00 -0700 2021-11529 Notice https://www.govinfo.gov/content/pkg/FR-2021-06-02/pdf/2021-11529.pdf Notice - 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 LLC https://regulations.justia.com/regulations/fedreg/2021/06/02/2021-11410.html https://regulations.justia.com/regulations/fedreg/2021/06/02/2021-11410.html Wed, 02 Jun 2021 00:00:00 -0700 2021-11410 Notice https://www.govinfo.gov/content/pkg/FR-2021-06-02/pdf/2021-11410.pdf Notice - Sunshine Act Meetings https://regulations.justia.com/regulations/fedreg/2021/06/01/2021-11598.html https://regulations.justia.com/regulations/fedreg/2021/06/01/2021-11598.html Tue, 01 Jun 2021 00:00:00 -0700 2021-11598 Notice https://www.govinfo.gov/content/pkg/FR-2021-06-01/pdf/2021-11598.pdf Notice - Investor Advisory Committee Meeting https://regulations.justia.com/regulations/fedreg/2021/06/01/2021-11479.html https://regulations.justia.com/regulations/fedreg/2021/06/01/2021-11479.html Tue, 01 Jun 2021 00:00:00 -0700 2021-11479 Notice https://www.govinfo.gov/content/pkg/FR-2021-06-01/pdf/2021-11479.pdf Notice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the NYSE Arca Equities Fees and Charges https://regulations.justia.com/regulations/fedreg/2021/06/01/2021-11409.html https://regulations.justia.com/regulations/fedreg/2021/06/01/2021-11409.html Tue, 01 Jun 2021 00:00:00 -0700 2021-11409 Notice https://www.govinfo.gov/content/pkg/FR-2021-06-01/pdf/2021-11409.pdf Notice - 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 Rules https://regulations.justia.com/regulations/fedreg/2021/06/01/2021-11408.html https://regulations.justia.com/regulations/fedreg/2021/06/01/2021-11408.html Tue, 01 Jun 2021 00:00:00 -0700 2021-11408 Notice https://www.govinfo.gov/content/pkg/FR-2021-06-01/pdf/2021-11408.pdf Notice - Self-Regulatory Organizations; Fixed Income Clearing Corporation; Notice of Filing of Proposed Rule Change To Add the Sponsored GC Service and Make Other Changes https://regulations.justia.com/regulations/fedreg/2021/06/01/2021-11407.html https://regulations.justia.com/regulations/fedreg/2021/06/01/2021-11407.html Tue, 01 Jun 2021 00:00:00 -0700 2021-11407 Notice https://www.govinfo.gov/content/pkg/FR-2021-06-01/pdf/2021-11407.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/2021/06/01/2021-11406.html https://regulations.justia.com/regulations/fedreg/2021/06/01/2021-11406.html Tue, 01 Jun 2021 00:00:00 -0700 2021-11406 Notice https://www.govinfo.gov/content/pkg/FR-2021-06-01/pdf/2021-11406.pdf Notice - Self-Regulatory Organizations; The Nasdaq Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the Exchange's Transaction Credits at Equity 7, Section 118(a) https://regulations.justia.com/regulations/fedreg/2021/06/01/2021-11405.html https://regulations.justia.com/regulations/fedreg/2021/06/01/2021-11405.html Tue, 01 Jun 2021 00:00:00 -0700 2021-11405 Notice https://www.govinfo.gov/content/pkg/FR-2021-06-01/pdf/2021-11405.pdf Notice - 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 Service https://regulations.justia.com/regulations/fedreg/2021/06/01/2021-11404.html https://regulations.justia.com/regulations/fedreg/2021/06/01/2021-11404.html Tue, 01 Jun 2021 00:00:00 -0700 2021-11404 Notice https://www.govinfo.gov/content/pkg/FR-2021-06-01/pdf/2021-11404.pdf Notice - Self-Regulatory Organizations; Nasdaq BX, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Equity 7, Section 118 https://regulations.justia.com/regulations/fedreg/2021/06/01/2021-11403.html https://regulations.justia.com/regulations/fedreg/2021/06/01/2021-11403.html Tue, 01 Jun 2021 00:00:00 -0700 2021-11403 Notice https://www.govinfo.gov/content/pkg/FR-2021-06-01/pdf/2021-11403.pdf Notice - 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 Shares https://regulations.justia.com/regulations/fedreg/2021/06/01/2021-11402.html https://regulations.justia.com/regulations/fedreg/2021/06/01/2021-11402.html Tue, 01 Jun 2021 00:00:00 -0700 2021-11402 Notice https://www.govinfo.gov/content/pkg/FR-2021-06-01/pdf/2021-11402.pdf Rule - Market Data Infrastructure https://regulations.justia.com/regulations/fedreg/2021/06/01/2021-11282.html https://regulations.justia.com/regulations/fedreg/2021/06/01/2021-11282.html Tue, 01 Jun 2021 00:00:00 -0700 2021-11282 Rule https://www.govinfo.gov/content/pkg/FR-2021-06-01/pdf/2021-11282.pdf