<![CDATA[Federal Register Recent Federal Regulation Documents - Justia Regulation Tracker

<![CDATA[Federal Register Recent Federal Regulation Documents - Justia Regulation Tracker - Justia Regulations Tracker]]> https://regulations.justia.com/regulations/fedreg/agencies/agencies-and-commissions/securities-and-exchange-commission/2021/07?registers=between&min-day=1&max-day=31 Thu, 09 May 2024 18:18:16 -0700 Thu, 09 May 2024 18:18:16 -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/2021/07?registers=between&min-day=1&max-day=31 Notice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing of Proposed Rule Change To List and Trade Shares of the Sprott ESG Gold ETF Under NYSE Arca Rule 8.201-E https://regulations.justia.com/regulations/fedreg/2021/07/30/2021-16234.html https://regulations.justia.com/regulations/fedreg/2021/07/30/2021-16234.html Fri, 30 Jul 2021 00:00:00 -0700 2021-16234 Notice https://www.govinfo.gov/content/pkg/FR-2021-07-30/pdf/2021-16234.pdf Notice - Self-Regulatory Organizations; ICE Clear Credit LLC; Notice of Filing of Proposed Rule Change Relating to the ICE Clear Credit Operating Agreement and Governance Playbook https://regulations.justia.com/regulations/fedreg/2021/07/30/2021-16233.html https://regulations.justia.com/regulations/fedreg/2021/07/30/2021-16233.html Fri, 30 Jul 2021 00:00:00 -0700 2021-16233 Notice https://www.govinfo.gov/content/pkg/FR-2021-07-30/pdf/2021-16233.pdf Notice - Self-Regulatory Organizations; LCH SA; Order Approving Proposed Rule Change Relating to the Clearing of Single-Name Credit Default Swaps by U.S. Customers https://regulations.justia.com/regulations/fedreg/2021/07/30/2021-16232.html https://regulations.justia.com/regulations/fedreg/2021/07/30/2021-16232.html Fri, 30 Jul 2021 00:00:00 -0700 2021-16232 Notice https://www.govinfo.gov/content/pkg/FR-2021-07-30/pdf/2021-16232.pdf Notice - Self-Regulatory Organizations; Nasdaq PHLX LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the Opening Process https://regulations.justia.com/regulations/fedreg/2021/07/30/2021-16231.html https://regulations.justia.com/regulations/fedreg/2021/07/30/2021-16231.html Fri, 30 Jul 2021 00:00:00 -0700 2021-16231 Notice https://www.govinfo.gov/content/pkg/FR-2021-07-30/pdf/2021-16231.pdf Notice - Self-Regulatory Organizations; Nasdaq GEMX, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the Opening Process https://regulations.justia.com/regulations/fedreg/2021/07/30/2021-16230.html https://regulations.justia.com/regulations/fedreg/2021/07/30/2021-16230.html Fri, 30 Jul 2021 00:00:00 -0700 2021-16230 Notice https://www.govinfo.gov/content/pkg/FR-2021-07-30/pdf/2021-16230.pdf Notice - Self-Regulatory Organizations; Nasdaq ISE, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the Opening Process https://regulations.justia.com/regulations/fedreg/2021/07/30/2021-16229.html https://regulations.justia.com/regulations/fedreg/2021/07/30/2021-16229.html Fri, 30 Jul 2021 00:00:00 -0700 2021-16229 Notice https://www.govinfo.gov/content/pkg/FR-2021-07-30/pdf/2021-16229.pdf Notice - Self-Regulatory Organizations; Cboe EDGX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the Fee Schedule https://regulations.justia.com/regulations/fedreg/2021/07/30/2021-16228.html https://regulations.justia.com/regulations/fedreg/2021/07/30/2021-16228.html Fri, 30 Jul 2021 00:00:00 -0700 2021-16228 Notice https://www.govinfo.gov/content/pkg/FR-2021-07-30/pdf/2021-16228.pdf Notice - Self-Regulatory Organizations; ICE Clear Europe Limited; Order Approving Proposed Rule Change Relating to the ICE Clear Europe Articles of Association https://regulations.justia.com/regulations/fedreg/2021/07/30/2021-16227.html https://regulations.justia.com/regulations/fedreg/2021/07/30/2021-16227.html Fri, 30 Jul 2021 00:00:00 -0700 2021-16227 Notice https://www.govinfo.gov/content/pkg/FR-2021-07-30/pdf/2021-16227.pdf Notice - Self-Regulatory Organizations; Nasdaq MRX, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the Opening Process https://regulations.justia.com/regulations/fedreg/2021/07/30/2021-16226.html https://regulations.justia.com/regulations/fedreg/2021/07/30/2021-16226.html Fri, 30 Jul 2021 00:00:00 -0700 2021-16226 Notice https://www.govinfo.gov/content/pkg/FR-2021-07-30/pdf/2021-16226.pdf Proposed Rule - Regulatory Flexibility Agenda https://regulations.justia.com/regulations/fedreg/2021/07/30/2021-14888.html https://regulations.justia.com/regulations/fedreg/2021/07/30/2021-14888.html Fri, 30 Jul 2021 00:00:00 -0700 2021-14888 Proposed Rule https://www.govinfo.gov/content/pkg/FR-2021-07-30/pdf/2021-14888.pdf Notice - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing of Amendment No. 2 and Order Granting Accelerated Approval of Proposed Rule Change, as Modified by Amendment No. 2, To Make Permanent Commentaries to Rule 7.35A and Commentaries to Rule 7.35B and To Make Related Changes to Rules 7.32, 7.35C, 46B, and 47 https://regulations.justia.com/regulations/fedreg/2021/07/29/2021-16122.html https://regulations.justia.com/regulations/fedreg/2021/07/29/2021-16122.html Thu, 29 Jul 2021 00:00:00 -0700 2021-16122 Notice https://www.govinfo.gov/content/pkg/FR-2021-07-29/pdf/2021-16122.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 Kryptoin Bitcoin ETF Trust Under BZX Rule 14.11(e)(4), Commodity-Based Trust Shares https://regulations.justia.com/regulations/fedreg/2021/07/29/2021-16121.html https://regulations.justia.com/regulations/fedreg/2021/07/29/2021-16121.html Thu, 29 Jul 2021 00:00:00 -0700 2021-16121 Notice https://www.govinfo.gov/content/pkg/FR-2021-07-29/pdf/2021-16121.pdf Notice - Self-Regulatory Organizations; Nasdaq BX, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Options 2 at Section 4, Obligations of Market Makers and Lead Market Makers and Section 5, Market Maker Quotations https://regulations.justia.com/regulations/fedreg/2021/07/28/2021-15994.html https://regulations.justia.com/regulations/fedreg/2021/07/28/2021-15994.html Wed, 28 Jul 2021 00:00:00 -0700 2021-15994 Notice https://www.govinfo.gov/content/pkg/FR-2021-07-28/pdf/2021-15994.pdf Notice - Self-Regulatory Organizations; ICE Clear Credit LLC; Notice of Proposed Rule Change Relating to the ICC Exercise Procedures https://regulations.justia.com/regulations/fedreg/2021/07/28/2021-15993.html https://regulations.justia.com/regulations/fedreg/2021/07/28/2021-15993.html Wed, 28 Jul 2021 00:00:00 -0700 2021-15993 Notice https://www.govinfo.gov/content/pkg/FR-2021-07-28/pdf/2021-15993.pdf Notice - Self-Regulatory Organizations; The Nasdaq Stock Market LLC; Notice of Filing of Proposed Rule Change To Establish the “Extended Trading Close” and a New “Extended Trading Close” Order Type https://regulations.justia.com/regulations/fedreg/2021/07/28/2021-15991.html https://regulations.justia.com/regulations/fedreg/2021/07/28/2021-15991.html Wed, 28 Jul 2021 00:00:00 -0700 2021-15991 Notice https://www.govinfo.gov/content/pkg/FR-2021-07-28/pdf/2021-15991.pdf Rule - Adoption of Updated EDGAR Filer Manual https://regulations.justia.com/regulations/fedreg/2021/07/28/2021-15317.html https://regulations.justia.com/regulations/fedreg/2021/07/28/2021-15317.html Wed, 28 Jul 2021 00:00:00 -0700 2021-15317 Rule https://www.govinfo.gov/content/pkg/FR-2021-07-28/pdf/2021-15317.pdf Notice - Proposed Collection; Comment Request https://regulations.justia.com/regulations/fedreg/2021/07/27/2021-15943.html https://regulations.justia.com/regulations/fedreg/2021/07/27/2021-15943.html Tue, 27 Jul 2021 00:00:00 -0700 2021-15943 Notice https://www.govinfo.gov/content/pkg/FR-2021-07-27/pdf/2021-15943.pdf Notice - Sunshine Act Meetings https://regulations.justia.com/regulations/fedreg/2021/07/26/2021-15936.html https://regulations.justia.com/regulations/fedreg/2021/07/26/2021-15936.html Mon, 26 Jul 2021 00:00:00 -0700 2021-15936 Notice https://www.govinfo.gov/content/pkg/FR-2021-07-26/pdf/2021-15936.pdf Notice - Sunshine Act Meeting; Cancellation https://regulations.justia.com/regulations/fedreg/2021/07/26/2021-15907.html https://regulations.justia.com/regulations/fedreg/2021/07/26/2021-15907.html Mon, 26 Jul 2021 00:00:00 -0700 2021-15907 Notice https://www.govinfo.gov/content/pkg/FR-2021-07-26/pdf/2021-15907.pdf Notice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Permit Monday and Wednesday Expirations for Options Listed Pursuant to the Short Term Option Series Program on the Invesco QQQ TrustSM https://regulations.justia.com/regulations/fedreg/2021/07/26/2021-15832.html https://regulations.justia.com/regulations/fedreg/2021/07/26/2021-15832.html Mon, 26 Jul 2021 00:00:00 -0700 2021-15832 Notice https://www.govinfo.gov/content/pkg/FR-2021-07-26/pdf/2021-15832.pdf Notice - Self-Regulatory Organizations; NYSE National, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Its Rules To Add New Subparagraph (i)(4) to Rule 7.31 https://regulations.justia.com/regulations/fedreg/2021/07/26/2021-15822.html https://regulations.justia.com/regulations/fedreg/2021/07/26/2021-15822.html Mon, 26 Jul 2021 00:00:00 -0700 2021-15822 Notice https://www.govinfo.gov/content/pkg/FR-2021-07-26/pdf/2021-15822.pdf Notice - Self-Regulatory Organizations; NYSE American LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Permit Monday and Wednesday Expirations for Options Listed Pursuant to the Short Term Option Series Program on the Invesco QQQ TrustSM https://regulations.justia.com/regulations/fedreg/2021/07/26/2021-15819.html https://regulations.justia.com/regulations/fedreg/2021/07/26/2021-15819.html Mon, 26 Jul 2021 00:00:00 -0700 2021-15819 Notice https://www.govinfo.gov/content/pkg/FR-2021-07-26/pdf/2021-15819.pdf Notice - Self-Regulatory Organizations; MIAX PEARL, LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the MIAX Pearl Equities Fee Schedule https://regulations.justia.com/regulations/fedreg/2021/07/26/2021-15814.html https://regulations.justia.com/regulations/fedreg/2021/07/26/2021-15814.html Mon, 26 Jul 2021 00:00:00 -0700 2021-15814 Notice https://www.govinfo.gov/content/pkg/FR-2021-07-26/pdf/2021-15814.pdf Notice - Self-Regulatory Organizations; Cboe EDGX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Its Fee Schedule https://regulations.justia.com/regulations/fedreg/2021/07/26/2021-15812.html https://regulations.justia.com/regulations/fedreg/2021/07/26/2021-15812.html Mon, 26 Jul 2021 00:00:00 -0700 2021-15812 Notice https://www.govinfo.gov/content/pkg/FR-2021-07-26/pdf/2021-15812.pdf Notice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Reflect an Amendment to the Application and Exemptive Order Governing Shares of Active Proxy Portfolio Shares Issued by T. Rowe Price Exchange-Traded Funds, Inc. Which Are Listed and Traded on the Exchange https://regulations.justia.com/regulations/fedreg/2021/07/26/2021-15811.html https://regulations.justia.com/regulations/fedreg/2021/07/26/2021-15811.html Mon, 26 Jul 2021 00:00:00 -0700 2021-15811 Notice https://www.govinfo.gov/content/pkg/FR-2021-07-26/pdf/2021-15811.pdf Notice - Joint Industry Plan; Order Instituting Proceedings To Determine Whether To Approve or Disapprove an Amendment to the National Market System Plan Governing the Consolidated Audit Trail https://regulations.justia.com/regulations/fedreg/2021/07/26/2021-15810.html https://regulations.justia.com/regulations/fedreg/2021/07/26/2021-15810.html Mon, 26 Jul 2021 00:00:00 -0700 2021-15810 Notice https://www.govinfo.gov/content/pkg/FR-2021-07-26/pdf/2021-15810.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 Agency Order Credit https://regulations.justia.com/regulations/fedreg/2021/07/26/2021-15809.html https://regulations.justia.com/regulations/fedreg/2021/07/26/2021-15809.html Mon, 26 Jul 2021 00:00:00 -0700 2021-15809 Notice https://www.govinfo.gov/content/pkg/FR-2021-07-26/pdf/2021-15809.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 Cambiar Large Cap ETF, Cambiar Small Cap ETF and Cambiar SMID ETF https://regulations.justia.com/regulations/fedreg/2021/07/23/2021-15655.html https://regulations.justia.com/regulations/fedreg/2021/07/23/2021-15655.html Fri, 23 Jul 2021 00:00:00 -0700 2021-15655 Notice https://www.govinfo.gov/content/pkg/FR-2021-07-23/pdf/2021-15655.pdf Notice - Self-Regulatory Organizations; National Securities Clearing Corporation; Notice of Filing of a Proposed Rule Change To Modify the Rules & Procedures of National Securities Clearing Corporation in Connection With the Implementation of Section 1446(f) of the Internal Revenue Code of 1986 https://regulations.justia.com/regulations/fedreg/2021/07/23/2021-15654.html https://regulations.justia.com/regulations/fedreg/2021/07/23/2021-15654.html Fri, 23 Jul 2021 00:00:00 -0700 2021-15654 Notice https://www.govinfo.gov/content/pkg/FR-2021-07-23/pdf/2021-15654.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/2021/07/22/2021-15549.html https://regulations.justia.com/regulations/fedreg/2021/07/22/2021-15549.html Thu, 22 Jul 2021 00:00:00 -0700 2021-15549 Notice https://www.govinfo.gov/content/pkg/FR-2021-07-22/pdf/2021-15549.pdf Notice - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing of Proposed Rule Change To Adopt on a Permanent Basis the Pilot Program for Market-Wide Circuit Breakers in Rule 7.12 https://regulations.justia.com/regulations/fedreg/2021/07/22/2021-15548.html https://regulations.justia.com/regulations/fedreg/2021/07/22/2021-15548.html Thu, 22 Jul 2021 00:00:00 -0700 2021-15548 Notice https://www.govinfo.gov/content/pkg/FR-2021-07-22/pdf/2021-15548.pdf Notice - Investment Company Act Release No. 34334; 812-15244; MVP Private Markets Fund, et al. https://regulations.justia.com/regulations/fedreg/2021/07/22/2021-15546.html https://regulations.justia.com/regulations/fedreg/2021/07/22/2021-15546.html Thu, 22 Jul 2021 00:00:00 -0700 2021-15546 Notice https://www.govinfo.gov/content/pkg/FR-2021-07-22/pdf/2021-15546.pdf Notice - Capital Southwest Corporation, et al.; Notice of Application https://regulations.justia.com/regulations/fedreg/2021/07/22/2021-15545.html https://regulations.justia.com/regulations/fedreg/2021/07/22/2021-15545.html Thu, 22 Jul 2021 00:00:00 -0700 2021-15545 Notice https://www.govinfo.gov/content/pkg/FR-2021-07-22/pdf/2021-15545.pdf Proposed Rule - Credit Risk Retention-Notification of Extension of Review Period https://regulations.justia.com/regulations/fedreg/2021/07/22/2021-15424.html https://regulations.justia.com/regulations/fedreg/2021/07/22/2021-15424.html Thu, 22 Jul 2021 00:00:00 -0700 2021-15424 Proposed Rule https://www.govinfo.gov/content/pkg/FR-2021-07-22/pdf/2021-15424.pdf Notice - Uncommon Investment Funds Trust and Uncommon Investment Advisors LLC https://regulations.justia.com/regulations/fedreg/2021/07/21/2021-15463.html https://regulations.justia.com/regulations/fedreg/2021/07/21/2021-15463.html Wed, 21 Jul 2021 00:00:00 -0700 2021-15463 Notice https://www.govinfo.gov/content/pkg/FR-2021-07-21/pdf/2021-15463.pdf Notice - Self-Regulatory Organizations; ICE Clear Europe Limited; Notice of Partial Amendment No. 1 and Designation of Longer Period for Commission Action on 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/2021/07/21/2021-15443.html https://regulations.justia.com/regulations/fedreg/2021/07/21/2021-15443.html Wed, 21 Jul 2021 00:00:00 -0700 2021-15443 Notice https://www.govinfo.gov/content/pkg/FR-2021-07-21/pdf/2021-15443.pdf Notice - Self-Regulatory Organizations; Cboe Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Its Rules Relating to Trading Halts During the Global Trading Hours Session https://regulations.justia.com/regulations/fedreg/2021/07/21/2021-15441.html https://regulations.justia.com/regulations/fedreg/2021/07/21/2021-15441.html Wed, 21 Jul 2021 00:00:00 -0700 2021-15441 Notice https://www.govinfo.gov/content/pkg/FR-2021-07-21/pdf/2021-15441.pdf Notice - Proposed Collection; Comment Request https://regulations.justia.com/regulations/fedreg/2021/07/21/2021-15437.html https://regulations.justia.com/regulations/fedreg/2021/07/21/2021-15437.html Wed, 21 Jul 2021 00:00:00 -0700 2021-15437 Notice https://www.govinfo.gov/content/pkg/FR-2021-07-21/pdf/2021-15437.pdf Notice - Submission for OMB Review; Comment Request https://regulations.justia.com/regulations/fedreg/2021/07/21/2021-15435.html https://regulations.justia.com/regulations/fedreg/2021/07/21/2021-15435.html Wed, 21 Jul 2021 00:00:00 -0700 2021-15435 Notice https://www.govinfo.gov/content/pkg/FR-2021-07-21/pdf/2021-15435.pdf Notice - Submission for OMB Review; Comment Request https://regulations.justia.com/regulations/fedreg/2021/07/21/2021-15434.html https://regulations.justia.com/regulations/fedreg/2021/07/21/2021-15434.html Wed, 21 Jul 2021 00:00:00 -0700 2021-15434 Notice https://www.govinfo.gov/content/pkg/FR-2021-07-21/pdf/2021-15434.pdf Notice - Submission for OMB Review; Comment Request https://regulations.justia.com/regulations/fedreg/2021/07/21/2021-15433.html https://regulations.justia.com/regulations/fedreg/2021/07/21/2021-15433.html Wed, 21 Jul 2021 00:00:00 -0700 2021-15433 Notice https://www.govinfo.gov/content/pkg/FR-2021-07-21/pdf/2021-15433.pdf Notice - Submission for OMB Review; Comment Request https://regulations.justia.com/regulations/fedreg/2021/07/21/2021-15432.html https://regulations.justia.com/regulations/fedreg/2021/07/21/2021-15432.html Wed, 21 Jul 2021 00:00:00 -0700 2021-15432 Notice https://www.govinfo.gov/content/pkg/FR-2021-07-21/pdf/2021-15432.pdf Notice - Submission for OMB Review; Comment Request https://regulations.justia.com/regulations/fedreg/2021/07/21/2021-15431.html https://regulations.justia.com/regulations/fedreg/2021/07/21/2021-15431.html Wed, 21 Jul 2021 00:00:00 -0700 2021-15431 Notice https://www.govinfo.gov/content/pkg/FR-2021-07-21/pdf/2021-15431.pdf Notice - Submission for OMB Review; Comment Request https://regulations.justia.com/regulations/fedreg/2021/07/21/2021-15430.html https://regulations.justia.com/regulations/fedreg/2021/07/21/2021-15430.html Wed, 21 Jul 2021 00:00:00 -0700 2021-15430 Notice https://www.govinfo.gov/content/pkg/FR-2021-07-21/pdf/2021-15430.pdf Notice - Submission for OMB Review; Comment Request https://regulations.justia.com/regulations/fedreg/2021/07/21/2021-15429.html https://regulations.justia.com/regulations/fedreg/2021/07/21/2021-15429.html Wed, 21 Jul 2021 00:00:00 -0700 2021-15429 Notice https://www.govinfo.gov/content/pkg/FR-2021-07-21/pdf/2021-15429.pdf Notice - For Submission; Comment Request https://regulations.justia.com/regulations/fedreg/2021/07/21/2021-15428.html https://regulations.justia.com/regulations/fedreg/2021/07/21/2021-15428.html Wed, 21 Jul 2021 00:00:00 -0700 2021-15428 Notice https://www.govinfo.gov/content/pkg/FR-2021-07-21/pdf/2021-15428.pdf Notice - Proposed Collection; Comment Request https://regulations.justia.com/regulations/fedreg/2021/07/21/2021-15427.html https://regulations.justia.com/regulations/fedreg/2021/07/21/2021-15427.html Wed, 21 Jul 2021 00:00:00 -0700 2021-15427 Notice https://www.govinfo.gov/content/pkg/FR-2021-07-21/pdf/2021-15427.pdf Notice - Proposed Collection; Comment Request; Extension: Rule 22c-2 https://regulations.justia.com/regulations/fedreg/2021/07/21/2021-15426.html https://regulations.justia.com/regulations/fedreg/2021/07/21/2021-15426.html Wed, 21 Jul 2021 00:00:00 -0700 2021-15426 Notice https://www.govinfo.gov/content/pkg/FR-2021-07-21/pdf/2021-15426.pdf Notice - Sunshine Act Meetings https://regulations.justia.com/regulations/fedreg/2021/07/20/2021-15472.html https://regulations.justia.com/regulations/fedreg/2021/07/20/2021-15472.html Tue, 20 Jul 2021 00:00:00 -0700 2021-15472 Notice https://www.govinfo.gov/content/pkg/FR-2021-07-20/pdf/2021-15472.pdf Notice - Self-Regulatory Organizations; The Depository Trust Company; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Consisting of Modifications to the Text of the Rules and the Procedures, of the Service Guide for the DTC Canadian-Link Service and the DTC Operational Arrangements Relating to the Elimination of the Canadian Dollar Settlement Feature of the Canadian-Link Service https://regulations.justia.com/regulations/fedreg/2021/07/20/2021-15345.html https://regulations.justia.com/regulations/fedreg/2021/07/20/2021-15345.html Tue, 20 Jul 2021 00:00:00 -0700 2021-15345 Notice https://www.govinfo.gov/content/pkg/FR-2021-07-20/pdf/2021-15345.pdf Notice - Self-Regulatory Organizations; Nasdaq BX, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Equity 4, Rule 4703 https://regulations.justia.com/regulations/fedreg/2021/07/20/2021-15344.html https://regulations.justia.com/regulations/fedreg/2021/07/20/2021-15344.html Tue, 20 Jul 2021 00:00:00 -0700 2021-15344 Notice https://www.govinfo.gov/content/pkg/FR-2021-07-20/pdf/2021-15344.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 To Eliminate the Opt-In Functionality Offered Under the Lead Market Maker Pricing https://regulations.justia.com/regulations/fedreg/2021/07/20/2021-15343.html https://regulations.justia.com/regulations/fedreg/2021/07/20/2021-15343.html Tue, 20 Jul 2021 00:00:00 -0700 2021-15343 Notice https://www.govinfo.gov/content/pkg/FR-2021-07-20/pdf/2021-15343.pdf Notice - Self-Regulatory Organizations; Cboe BYX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Its Fee Schedule https://regulations.justia.com/regulations/fedreg/2021/07/20/2021-15342.html https://regulations.justia.com/regulations/fedreg/2021/07/20/2021-15342.html Tue, 20 Jul 2021 00:00:00 -0700 2021-15342 Notice https://www.govinfo.gov/content/pkg/FR-2021-07-20/pdf/2021-15342.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 by Adopting a New Single Market Participant Identifier Investor Tier https://regulations.justia.com/regulations/fedreg/2021/07/20/2021-15341.html https://regulations.justia.com/regulations/fedreg/2021/07/20/2021-15341.html Tue, 20 Jul 2021 00:00:00 -0700 2021-15341 Notice https://www.govinfo.gov/content/pkg/FR-2021-07-20/pdf/2021-15341.pdf Notice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the NYSE Arca Equities Listing Fee Schedule https://regulations.justia.com/regulations/fedreg/2021/07/20/2021-15340.html https://regulations.justia.com/regulations/fedreg/2021/07/20/2021-15340.html Tue, 20 Jul 2021 00:00:00 -0700 2021-15340 Notice https://www.govinfo.gov/content/pkg/FR-2021-07-20/pdf/2021-15340.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/2021/07/20/2021-15339.html https://regulations.justia.com/regulations/fedreg/2021/07/20/2021-15339.html Tue, 20 Jul 2021 00:00:00 -0700 2021-15339 Notice https://www.govinfo.gov/content/pkg/FR-2021-07-20/pdf/2021-15339.pdf Notice - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Make Technical and Other Non-Substantive Changes Within FINRA Rules https://regulations.justia.com/regulations/fedreg/2021/07/20/2021-15338.html https://regulations.justia.com/regulations/fedreg/2021/07/20/2021-15338.html Tue, 20 Jul 2021 00:00:00 -0700 2021-15338 Notice https://www.govinfo.gov/content/pkg/FR-2021-07-20/pdf/2021-15338.pdf Notice - Self-Regulatory Organizations; ICE Clear Credit LLC; Notice of Filing of Proposed Rule Change Relating to the ICC Governance Playbook, ICC Risk Management Framework, and ICC Treasury Operations Policies and Procedures https://regulations.justia.com/regulations/fedreg/2021/07/20/2021-15337.html https://regulations.justia.com/regulations/fedreg/2021/07/20/2021-15337.html Tue, 20 Jul 2021 00:00:00 -0700 2021-15337 Notice https://www.govinfo.gov/content/pkg/FR-2021-07-20/pdf/2021-15337.pdf Notice - Self-Regulatory Organizations; NYSE National, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Its Schedule of Fees and Rebates https://regulations.justia.com/regulations/fedreg/2021/07/20/2021-15336.html https://regulations.justia.com/regulations/fedreg/2021/07/20/2021-15336.html Tue, 20 Jul 2021 00:00:00 -0700 2021-15336 Notice https://www.govinfo.gov/content/pkg/FR-2021-07-20/pdf/2021-15336.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/2021/07/20/2021-15335.html https://regulations.justia.com/regulations/fedreg/2021/07/20/2021-15335.html Tue, 20 Jul 2021 00:00:00 -0700 2021-15335 Notice https://www.govinfo.gov/content/pkg/FR-2021-07-20/pdf/2021-15335.pdf Notice - Self-Regulatory Organizations; Investors Exchange LLC; Notice of Filing of Amendment No. 1 and Order Granting Accelerated Approval of a Proposed Rule Change, as Modified by Amendment No. 1, To Revise the Definitions of Retail Orders and Retail Liquidity Provider Orders and Disseminate a Retail Liquidity Identifier Under the IEX Retail Price Improvement Program https://regulations.justia.com/regulations/fedreg/2021/07/19/2021-15199.html https://regulations.justia.com/regulations/fedreg/2021/07/19/2021-15199.html Mon, 19 Jul 2021 00:00:00 -0700 2021-15199 Notice https://www.govinfo.gov/content/pkg/FR-2021-07-19/pdf/2021-15199.pdf Notice - Self-Regulatory Organizations; Nasdaq MRX, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Options 2, Section 5, Market Maker Quotations https://regulations.justia.com/regulations/fedreg/2021/07/19/2021-15198.html https://regulations.justia.com/regulations/fedreg/2021/07/19/2021-15198.html Mon, 19 Jul 2021 00:00:00 -0700 2021-15198 Notice https://www.govinfo.gov/content/pkg/FR-2021-07-19/pdf/2021-15198.pdf Notice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing of Proposed Rule Change To List and Trade Shares of the NYDIG Bitcoin ETF Under NYSE Arca Rule 8.201-E https://regulations.justia.com/regulations/fedreg/2021/07/19/2021-15197.html https://regulations.justia.com/regulations/fedreg/2021/07/19/2021-15197.html Mon, 19 Jul 2021 00:00:00 -0700 2021-15197 Notice https://www.govinfo.gov/content/pkg/FR-2021-07-19/pdf/2021-15197.pdf Notice - Self-Regulatory Organizations; Nasdaq ISE, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Options 2, Section 5, Market Maker Quotations https://regulations.justia.com/regulations/fedreg/2021/07/19/2021-15196.html https://regulations.justia.com/regulations/fedreg/2021/07/19/2021-15196.html Mon, 19 Jul 2021 00:00:00 -0700 2021-15196 Notice https://www.govinfo.gov/content/pkg/FR-2021-07-19/pdf/2021-15196.pdf Notice - Self-Regulatory Organizations; Nasdaq PHLX LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Options 2, Section 5, Electronic Market Maker Obligations and Quoting Requirements https://regulations.justia.com/regulations/fedreg/2021/07/19/2021-15195.html https://regulations.justia.com/regulations/fedreg/2021/07/19/2021-15195.html Mon, 19 Jul 2021 00:00:00 -0700 2021-15195 Notice https://www.govinfo.gov/content/pkg/FR-2021-07-19/pdf/2021-15195.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 WisdomTree Bitcoin Trust Under BZX Rule 14.11(e)(4), Commodity-Based Trust Shares https://regulations.justia.com/regulations/fedreg/2021/07/19/2021-15194.html https://regulations.justia.com/regulations/fedreg/2021/07/19/2021-15194.html Mon, 19 Jul 2021 00:00:00 -0700 2021-15194 Notice https://www.govinfo.gov/content/pkg/FR-2021-07-19/pdf/2021-15194.pdf Notice - Self-Regulatory Organizations; Cboe Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the Fees Schedule With Respect to Certain Fees Related to Qualified Contingent Cross Orders and the Clearing Trading Permit Holder Fee Cap https://regulations.justia.com/regulations/fedreg/2021/07/19/2021-15193.html https://regulations.justia.com/regulations/fedreg/2021/07/19/2021-15193.html Mon, 19 Jul 2021 00:00:00 -0700 2021-15193 Notice https://www.govinfo.gov/content/pkg/FR-2021-07-19/pdf/2021-15193.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 Wise Origin Bitcoin Trust Under BZX Rule 14.11(e)(4), Commodity-Based Trust Shares https://regulations.justia.com/regulations/fedreg/2021/07/19/2021-15192.html https://regulations.justia.com/regulations/fedreg/2021/07/19/2021-15192.html Mon, 19 Jul 2021 00:00:00 -0700 2021-15192 Notice https://www.govinfo.gov/content/pkg/FR-2021-07-19/pdf/2021-15192.pdf Notice - Self-Regulatory Organizations; BOX Exchange LLC; Notice of Designation of Longer Period for Commission Action on a 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/2021/07/19/2021-15191.html https://regulations.justia.com/regulations/fedreg/2021/07/19/2021-15191.html Mon, 19 Jul 2021 00:00:00 -0700 2021-15191 Notice https://www.govinfo.gov/content/pkg/FR-2021-07-19/pdf/2021-15191.pdf Notice - Self-Regulatory Organizations; Nasdaq GEMX, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Options 2, Section 5, Market Maker Quotations https://regulations.justia.com/regulations/fedreg/2021/07/19/2021-15190.html https://regulations.justia.com/regulations/fedreg/2021/07/19/2021-15190.html Mon, 19 Jul 2021 00:00:00 -0700 2021-15190 Notice https://www.govinfo.gov/content/pkg/FR-2021-07-19/pdf/2021-15190.pdf Notice - Self-Regulatory Organizations; National Securities Clearing Corporation; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the Clearing Agency Model Risk Management Framework https://regulations.justia.com/regulations/fedreg/2021/07/19/2021-15189.html https://regulations.justia.com/regulations/fedreg/2021/07/19/2021-15189.html Mon, 19 Jul 2021 00:00:00 -0700 2021-15189 Notice https://www.govinfo.gov/content/pkg/FR-2021-07-19/pdf/2021-15189.pdf Notice - Self-Regulatory Organizations; Fixed Income Clearing Corporation; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the Clearing Agency Model Risk Management Framework https://regulations.justia.com/regulations/fedreg/2021/07/19/2021-15188.html https://regulations.justia.com/regulations/fedreg/2021/07/19/2021-15188.html Mon, 19 Jul 2021 00:00:00 -0700 2021-15188 Notice https://www.govinfo.gov/content/pkg/FR-2021-07-19/pdf/2021-15188.pdf Notice - Self-Regulatory Organizations; The Depository Trust Company; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the Clearing Agency Model Risk Management Framework https://regulations.justia.com/regulations/fedreg/2021/07/19/2021-15187.html https://regulations.justia.com/regulations/fedreg/2021/07/19/2021-15187.html Mon, 19 Jul 2021 00:00:00 -0700 2021-15187 Notice https://www.govinfo.gov/content/pkg/FR-2021-07-19/pdf/2021-15187.pdf Notice - Self-Regulatory Organizations; Nasdaq PHLX LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Equity 4, Rules 3301A and 3301B https://regulations.justia.com/regulations/fedreg/2021/07/19/2021-15186.html https://regulations.justia.com/regulations/fedreg/2021/07/19/2021-15186.html Mon, 19 Jul 2021 00:00:00 -0700 2021-15186 Notice https://www.govinfo.gov/content/pkg/FR-2021-07-19/pdf/2021-15186.pdf Notice - DoubleLine Opportunistic Credit, et al; https://regulations.justia.com/regulations/fedreg/2021/07/16/2021-15165.html https://regulations.justia.com/regulations/fedreg/2021/07/16/2021-15165.html Fri, 16 Jul 2021 00:00:00 -0700 2021-15165 Notice https://www.govinfo.gov/content/pkg/FR-2021-07-16/pdf/2021-15165.pdf Notice - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing of Partial Amendment No. 2 and Order Granting Accelerated Approval To Proposed Rule Change, as Modified by Partial Amendment No. 2, To Amend NYSE Rules 7.35 and 7.35A https://regulations.justia.com/regulations/fedreg/2021/07/16/2021-15103.html https://regulations.justia.com/regulations/fedreg/2021/07/16/2021-15103.html Fri, 16 Jul 2021 00:00:00 -0700 2021-15103 Notice https://www.govinfo.gov/content/pkg/FR-2021-07-16/pdf/2021-15103.pdf Notice - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing of Amendment No. 2 and Order Granting Accelerated Approval to a Proposed Rule Change, as Modified by Amendment No. 2, To Amend NYSE Rule 7.35C https://regulations.justia.com/regulations/fedreg/2021/07/15/2021-15039.html https://regulations.justia.com/regulations/fedreg/2021/07/15/2021-15039.html Thu, 15 Jul 2021 00:00:00 -0700 2021-15039 Notice https://www.govinfo.gov/content/pkg/FR-2021-07-15/pdf/2021-15039.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 Fee Schedule To Add Meet-Me-Room Connectivity Services Available at the Mahwah Data Center https://regulations.justia.com/regulations/fedreg/2021/07/15/2021-15038.html https://regulations.justia.com/regulations/fedreg/2021/07/15/2021-15038.html Thu, 15 Jul 2021 00:00:00 -0700 2021-15038 Notice https://www.govinfo.gov/content/pkg/FR-2021-07-15/pdf/2021-15038.pdf Notice - Self-Regulatory Organizations; MIAX PEARL, LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change by MIAX PEARL, LLC To Amend the MIAX Pearl Options Fee Schedule https://regulations.justia.com/regulations/fedreg/2021/07/15/2021-15037.html https://regulations.justia.com/regulations/fedreg/2021/07/15/2021-15037.html Thu, 15 Jul 2021 00:00:00 -0700 2021-15037 Notice https://www.govinfo.gov/content/pkg/FR-2021-07-15/pdf/2021-15037.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 https://regulations.justia.com/regulations/fedreg/2021/07/15/2021-15036.html https://regulations.justia.com/regulations/fedreg/2021/07/15/2021-15036.html Thu, 15 Jul 2021 00:00:00 -0700 2021-15036 Notice https://www.govinfo.gov/content/pkg/FR-2021-07-15/pdf/2021-15036.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 https://regulations.justia.com/regulations/fedreg/2021/07/15/2021-15035.html https://regulations.justia.com/regulations/fedreg/2021/07/15/2021-15035.html Thu, 15 Jul 2021 00:00:00 -0700 2021-15035 Notice https://www.govinfo.gov/content/pkg/FR-2021-07-15/pdf/2021-15035.pdf Notice - Self-Regulatory Organizations; Miami International Securities Exchange LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Fees for Purge Ports https://regulations.justia.com/regulations/fedreg/2021/07/15/2021-15034.html https://regulations.justia.com/regulations/fedreg/2021/07/15/2021-15034.html Thu, 15 Jul 2021 00:00:00 -0700 2021-15034 Notice https://www.govinfo.gov/content/pkg/FR-2021-07-15/pdf/2021-15034.pdf Notice - Self-Regulatory Organizations; MIAX PEARL, LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Fees for Purge Ports https://regulations.justia.com/regulations/fedreg/2021/07/15/2021-15033.html https://regulations.justia.com/regulations/fedreg/2021/07/15/2021-15033.html Thu, 15 Jul 2021 00:00:00 -0700 2021-15033 Notice https://www.govinfo.gov/content/pkg/FR-2021-07-15/pdf/2021-15033.pdf Notice - Self-Regulatory Organizations; MIAX Emerald, LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Fees for Purge Ports https://regulations.justia.com/regulations/fedreg/2021/07/15/2021-15032.html https://regulations.justia.com/regulations/fedreg/2021/07/15/2021-15032.html Thu, 15 Jul 2021 00:00:00 -0700 2021-15032 Notice https://www.govinfo.gov/content/pkg/FR-2021-07-15/pdf/2021-15032.pdf Notice - Self-Regulatory Organizations; Miami International Securities Exchange LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Establish Fees for the cToM Market Data Product https://regulations.justia.com/regulations/fedreg/2021/07/15/2021-15031.html https://regulations.justia.com/regulations/fedreg/2021/07/15/2021-15031.html Thu, 15 Jul 2021 00:00:00 -0700 2021-15031 Notice https://www.govinfo.gov/content/pkg/FR-2021-07-15/pdf/2021-15031.pdf Notice - Self-Regulatory Organizations; MIAX Emerald, LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Establish Fees for the cToM Market Data Product https://regulations.justia.com/regulations/fedreg/2021/07/15/2021-15030.html https://regulations.justia.com/regulations/fedreg/2021/07/15/2021-15030.html Thu, 15 Jul 2021 00:00:00 -0700 2021-15030 Notice https://www.govinfo.gov/content/pkg/FR-2021-07-15/pdf/2021-15030.pdf Notice - Fidelity Beach Street Trust, et al. https://regulations.justia.com/regulations/fedreg/2021/07/15/2021-15015.html https://regulations.justia.com/regulations/fedreg/2021/07/15/2021-15015.html Thu, 15 Jul 2021 00:00:00 -0700 2021-15015 Notice https://www.govinfo.gov/content/pkg/FR-2021-07-15/pdf/2021-15015.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 Remove References and Fees Associated With the 10Gb Fiber Connection https://regulations.justia.com/regulations/fedreg/2021/07/14/2021-14904.html https://regulations.justia.com/regulations/fedreg/2021/07/14/2021-14904.html Wed, 14 Jul 2021 00:00:00 -0700 2021-14904 Notice https://www.govinfo.gov/content/pkg/FR-2021-07-14/pdf/2021-14904.pdf Notice - Self-Regulatory Organizations; Cboe Exchange, Inc.; Notice of Filing of Amendment No. 1 and Order Granting Accelerated Approval of a Proposed Rule Change, as Modified by Amendment No. 1, To Adopt Rule 6.10 To Introduce a Voluntary Multilateral Compression Service for SPX Options https://regulations.justia.com/regulations/fedreg/2021/07/14/2021-14901.html https://regulations.justia.com/regulations/fedreg/2021/07/14/2021-14901.html Wed, 14 Jul 2021 00:00:00 -0700 2021-14901 Notice https://www.govinfo.gov/content/pkg/FR-2021-07-14/pdf/2021-14901.pdf Notice - Self-Regulatory Organizations; Miami International Securities Exchange, LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the MIAX Options Fee Schedule To Remove References and Fees Associated With the 10Gb Fiber Connection https://regulations.justia.com/regulations/fedreg/2021/07/14/2021-14900.html https://regulations.justia.com/regulations/fedreg/2021/07/14/2021-14900.html Wed, 14 Jul 2021 00:00:00 -0700 2021-14900 Notice https://www.govinfo.gov/content/pkg/FR-2021-07-14/pdf/2021-14900.pdf Notice - Self-Regulatory Organizations; Fixed Income Clearing Corporation; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Modify the FICC Government Securities Division Rulebook, FICC Mortgage-Backed Securities Division Clearing Rules, and FICC Mortgage-Backed Securities Division EPN Rules https://regulations.justia.com/regulations/fedreg/2021/07/13/2021-14802.html https://regulations.justia.com/regulations/fedreg/2021/07/13/2021-14802.html Tue, 13 Jul 2021 00:00:00 -0700 2021-14802 Notice https://www.govinfo.gov/content/pkg/FR-2021-07-13/pdf/2021-14802.pdf Notice - Self-Regulatory Organizations; The Nasdaq Stock Market LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Listing Rule 5910 To Establish Entry and All-Inclusive Annual Listing Fees for Companies Listing Under IM-5101-2 on the Nasdaq Global Market https://regulations.justia.com/regulations/fedreg/2021/07/13/2021-14800.html https://regulations.justia.com/regulations/fedreg/2021/07/13/2021-14800.html Tue, 13 Jul 2021 00:00:00 -0700 2021-14800 Notice https://www.govinfo.gov/content/pkg/FR-2021-07-13/pdf/2021-14800.pdf Notice - Self-Regulatory Organizations; The Nasdaq Stock Market LLC; Notice of Filing of Proposed Rule Change To Modify Listing Rule IM-5101-2 To Permit an Acquisition Company To Contribute a Portion of Its Deposit Account to Another Entity in a Spin-Off or Similar Corporate Transaction https://regulations.justia.com/regulations/fedreg/2021/07/13/2021-14799.html https://regulations.justia.com/regulations/fedreg/2021/07/13/2021-14799.html Tue, 13 Jul 2021 00:00:00 -0700 2021-14799 Notice https://www.govinfo.gov/content/pkg/FR-2021-07-13/pdf/2021-14799.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/2021/07/13/2021-14798.html https://regulations.justia.com/regulations/fedreg/2021/07/13/2021-14798.html Tue, 13 Jul 2021 00:00:00 -0700 2021-14798 Notice https://www.govinfo.gov/content/pkg/FR-2021-07-13/pdf/2021-14798.pdf Notice - Self-Regulatory Organizations; The Depository Trust Company; Notice of Filing of Proposed Rule Change Relating to Confidential Information, Market Disruption Events, and Other Changes https://regulations.justia.com/regulations/fedreg/2021/07/13/2021-14797.html https://regulations.justia.com/regulations/fedreg/2021/07/13/2021-14797.html Tue, 13 Jul 2021 00:00:00 -0700 2021-14797 Notice https://www.govinfo.gov/content/pkg/FR-2021-07-13/pdf/2021-14797.pdf Notice - Self-Regulatory Organizations; Fixed Income Clearing Corporation; Notice of Filing of Proposed Rule Change Relating to Confidential Information, Market Disruption Events, and Other Changes https://regulations.justia.com/regulations/fedreg/2021/07/13/2021-14796.html https://regulations.justia.com/regulations/fedreg/2021/07/13/2021-14796.html Tue, 13 Jul 2021 00:00:00 -0700 2021-14796 Notice https://www.govinfo.gov/content/pkg/FR-2021-07-13/pdf/2021-14796.pdf Notice - Self-Regulatory Organizations; The Depository Trust Company; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the Reorganizations Service Guide https://regulations.justia.com/regulations/fedreg/2021/07/13/2021-14795.html https://regulations.justia.com/regulations/fedreg/2021/07/13/2021-14795.html Tue, 13 Jul 2021 00:00:00 -0700 2021-14795 Notice https://www.govinfo.gov/content/pkg/FR-2021-07-13/pdf/2021-14795.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/2021/07/13/2021-14794.html https://regulations.justia.com/regulations/fedreg/2021/07/13/2021-14794.html Tue, 13 Jul 2021 00:00:00 -0700 2021-14794 Notice https://www.govinfo.gov/content/pkg/FR-2021-07-13/pdf/2021-14794.pdf Notice - Self-Regulatory Organizations; NYSE American LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Rule 903 To Limit Short Term Options Series Intervals https://regulations.justia.com/regulations/fedreg/2021/07/13/2021-14793.html https://regulations.justia.com/regulations/fedreg/2021/07/13/2021-14793.html Tue, 13 Jul 2021 00:00:00 -0700 2021-14793 Notice https://www.govinfo.gov/content/pkg/FR-2021-07-13/pdf/2021-14793.pdf Notice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Rules 6.4-O To Limit Short Term Options Series Intervals https://regulations.justia.com/regulations/fedreg/2021/07/13/2021-14792.html https://regulations.justia.com/regulations/fedreg/2021/07/13/2021-14792.html Tue, 13 Jul 2021 00:00:00 -0700 2021-14792 Notice https://www.govinfo.gov/content/pkg/FR-2021-07-13/pdf/2021-14792.pdf Notice - Self-Regulatory Organizations; National Securities Clearing Corporation; Notice of Filing of Proposed Rule Change Relating To Confidential Information, Market Disruption Events, and Other Changes https://regulations.justia.com/regulations/fedreg/2021/07/13/2021-14791.html https://regulations.justia.com/regulations/fedreg/2021/07/13/2021-14791.html Tue, 13 Jul 2021 00:00:00 -0700 2021-14791 Notice https://www.govinfo.gov/content/pkg/FR-2021-07-13/pdf/2021-14791.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 First Trust SkyBridge Bitcoin ETF Trust Under NYSE Arca Rule 8.201-E https://regulations.justia.com/regulations/fedreg/2021/07/13/2021-14790.html https://regulations.justia.com/regulations/fedreg/2021/07/13/2021-14790.html Tue, 13 Jul 2021 00:00:00 -0700 2021-14790 Notice https://www.govinfo.gov/content/pkg/FR-2021-07-13/pdf/2021-14790.pdf Notice - Hartford Funds Exchange-Traded Trust, et al. https://regulations.justia.com/regulations/fedreg/2021/07/13/2021-14788.html https://regulations.justia.com/regulations/fedreg/2021/07/13/2021-14788.html Tue, 13 Jul 2021 00:00:00 -0700 2021-14788 Notice https://www.govinfo.gov/content/pkg/FR-2021-07-13/pdf/2021-14788.pdf Notice - Commonwealth Credit Partners BDC I, Inc., et al. https://regulations.justia.com/regulations/fedreg/2021/07/13/2021-14787.html https://regulations.justia.com/regulations/fedreg/2021/07/13/2021-14787.html Tue, 13 Jul 2021 00:00:00 -0700 2021-14787 Notice https://www.govinfo.gov/content/pkg/FR-2021-07-13/pdf/2021-14787.pdf Notice - Sunshine Act Meetings https://regulations.justia.com/regulations/fedreg/2021/07/12/2021-14892.html https://regulations.justia.com/regulations/fedreg/2021/07/12/2021-14892.html Mon, 12 Jul 2021 00:00:00 -0700 2021-14892 Notice https://www.govinfo.gov/content/pkg/FR-2021-07-12/pdf/2021-14892.pdf Notice - Public Availability of the Securities and Exchange Commission's FY2018 Service Contract Inventory https://regulations.justia.com/regulations/fedreg/2021/07/12/2021-14734.html https://regulations.justia.com/regulations/fedreg/2021/07/12/2021-14734.html Mon, 12 Jul 2021 00:00:00 -0700 2021-14734 Notice https://www.govinfo.gov/content/pkg/FR-2021-07-12/pdf/2021-14734.pdf Notice - Self-Regulatory Organizations; Cboe BZX Exchange, Inc.; Notice of Withdrawal 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/2021/07/12/2021-14695.html https://regulations.justia.com/regulations/fedreg/2021/07/12/2021-14695.html Mon, 12 Jul 2021 00:00:00 -0700 2021-14695 Notice https://www.govinfo.gov/content/pkg/FR-2021-07-12/pdf/2021-14695.pdf Notice - Self-Regulatory Organizations; Cboe BYX Exchange, Inc.; Notice of Withdrawal 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/2021/07/12/2021-14694.html https://regulations.justia.com/regulations/fedreg/2021/07/12/2021-14694.html Mon, 12 Jul 2021 00:00:00 -0700 2021-14694 Notice https://www.govinfo.gov/content/pkg/FR-2021-07-12/pdf/2021-14694.pdf Notice - Self-Regulatory Organizations; Cboe EDGA Exchange, Inc.; Notice of Withdrawal 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/2021/07/12/2021-14693.html https://regulations.justia.com/regulations/fedreg/2021/07/12/2021-14693.html Mon, 12 Jul 2021 00:00:00 -0700 2021-14693 Notice https://www.govinfo.gov/content/pkg/FR-2021-07-12/pdf/2021-14693.pdf Notice - Self-Regulatory Organizations; Cboe EDGX Exchange, Inc.; Notice of Withdrawal 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/2021/07/12/2021-14691.html https://regulations.justia.com/regulations/fedreg/2021/07/12/2021-14691.html Mon, 12 Jul 2021 00:00:00 -0700 2021-14691 Notice https://www.govinfo.gov/content/pkg/FR-2021-07-12/pdf/2021-14691.pdf Notice - New Age Alpha Trust and New Age Alpha Advisors, LLC https://regulations.justia.com/regulations/fedreg/2021/07/09/2021-14651.html https://regulations.justia.com/regulations/fedreg/2021/07/09/2021-14651.html Fri, 09 Jul 2021 00:00:00 -0700 2021-14651 Notice https://www.govinfo.gov/content/pkg/FR-2021-07-09/pdf/2021-14651.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 the Shares of ConvexityShares Daily 1.5x SPIKES Futures ETF Under NYSE Arca Rule 8.200-E (Trust Issued Receipts) https://regulations.justia.com/regulations/fedreg/2021/07/09/2021-14606.html https://regulations.justia.com/regulations/fedreg/2021/07/09/2021-14606.html Fri, 09 Jul 2021 00:00:00 -0700 2021-14606 Notice https://www.govinfo.gov/content/pkg/FR-2021-07-09/pdf/2021-14606.pdf Notice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing of Proposed Rule Change for New Rules 6.1P-O, 6.37AP-O, 6.40P-O, 6.41P-O, 6.62P-O, 6.64P-O, 6.76P-O, and 6.76AP-O and Amendments to Rules 1.1, 6.1-O, 6.1A-O, 6.37-O, 6.65A-O and 6.96-O https://regulations.justia.com/regulations/fedreg/2021/07/09/2021-14391.html https://regulations.justia.com/regulations/fedreg/2021/07/09/2021-14391.html Fri, 09 Jul 2021 00:00:00 -0700 2021-14391 Notice https://www.govinfo.gov/content/pkg/FR-2021-07-09/pdf/2021-14391.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 the Shares of ConvexityShares 1x SPIKES Futures ETF Under NYSE Arca Rule 8.200-E (Trust Issued Receipts) https://regulations.justia.com/regulations/fedreg/2021/07/08/2021-14607.html https://regulations.justia.com/regulations/fedreg/2021/07/08/2021-14607.html Thu, 08 Jul 2021 00:00:00 -0700 2021-14607 Notice https://www.govinfo.gov/content/pkg/FR-2021-07-08/pdf/2021-14607.pdf Notice - Submission for OMB Review; Comment Request https://regulations.justia.com/regulations/fedreg/2021/07/08/2021-14583.html https://regulations.justia.com/regulations/fedreg/2021/07/08/2021-14583.html Thu, 08 Jul 2021 00:00:00 -0700 2021-14583 Notice https://www.govinfo.gov/content/pkg/FR-2021-07-08/pdf/2021-14583.pdf Notice - Submission for OMB Review; Comment Request https://regulations.justia.com/regulations/fedreg/2021/07/08/2021-14581.html https://regulations.justia.com/regulations/fedreg/2021/07/08/2021-14581.html Thu, 08 Jul 2021 00:00:00 -0700 2021-14581 Notice https://www.govinfo.gov/content/pkg/FR-2021-07-08/pdf/2021-14581.pdf Notice - Submission for OMB Review; Comment Request https://regulations.justia.com/regulations/fedreg/2021/07/08/2021-14580.html https://regulations.justia.com/regulations/fedreg/2021/07/08/2021-14580.html Thu, 08 Jul 2021 00:00:00 -0700 2021-14580 Notice https://www.govinfo.gov/content/pkg/FR-2021-07-08/pdf/2021-14580.pdf Notice - Proposed Collection; Comment Request https://regulations.justia.com/regulations/fedreg/2021/07/08/2021-14579.html https://regulations.justia.com/regulations/fedreg/2021/07/08/2021-14579.html Thu, 08 Jul 2021 00:00:00 -0700 2021-14579 Notice https://www.govinfo.gov/content/pkg/FR-2021-07-08/pdf/2021-14579.pdf Notice - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Reformat the Section of the NYSE Price List Setting Forth Credits Applicable to Supplemental Liquidity Providers https://regulations.justia.com/regulations/fedreg/2021/07/08/2021-14500.html https://regulations.justia.com/regulations/fedreg/2021/07/08/2021-14500.html Thu, 08 Jul 2021 00:00:00 -0700 2021-14500 Notice https://www.govinfo.gov/content/pkg/FR-2021-07-08/pdf/2021-14500.pdf Notice - Self-Regulatory Organizations; Fixed Income Clearing Corporation; Order Approving 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/2021/07/07/2021-14390.html https://regulations.justia.com/regulations/fedreg/2021/07/07/2021-14390.html Wed, 07 Jul 2021 00:00:00 -0700 2021-14390 Notice https://www.govinfo.gov/content/pkg/FR-2021-07-07/pdf/2021-14390.pdf Notice - Self-Regulatory Organizations; Cboe BYX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the Content of the Cboe One Feed Under Rule 11.22(i) To Identify the Current Day Consolidated High and Low Prices https://regulations.justia.com/regulations/fedreg/2021/07/07/2021-14389.html https://regulations.justia.com/regulations/fedreg/2021/07/07/2021-14389.html Wed, 07 Jul 2021 00:00:00 -0700 2021-14389 Notice https://www.govinfo.gov/content/pkg/FR-2021-07-07/pdf/2021-14389.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 and Charges at Equity 7, Section 118(a) https://regulations.justia.com/regulations/fedreg/2021/07/07/2021-14388.html https://regulations.justia.com/regulations/fedreg/2021/07/07/2021-14388.html Wed, 07 Jul 2021 00:00:00 -0700 2021-14388 Notice https://www.govinfo.gov/content/pkg/FR-2021-07-07/pdf/2021-14388.pdf Notice - Self-Regulatory Organizations; Cboe EDGA Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the Content of the Cboe One Feed Under Rule 13.8(b) To Identify the Current Day Consolidated High and Low Prices https://regulations.justia.com/regulations/fedreg/2021/07/07/2021-14387.html https://regulations.justia.com/regulations/fedreg/2021/07/07/2021-14387.html Wed, 07 Jul 2021 00:00:00 -0700 2021-14387 Notice https://www.govinfo.gov/content/pkg/FR-2021-07-07/pdf/2021-14387.pdf Notice - Self-Regulatory Organizations; Cboe EDGX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the Content of the Cboe One Feed Under Rule 13.8(b) To Identify the Current Day Consolidated High and Low Prices https://regulations.justia.com/regulations/fedreg/2021/07/07/2021-14386.html https://regulations.justia.com/regulations/fedreg/2021/07/07/2021-14386.html Wed, 07 Jul 2021 00:00:00 -0700 2021-14386 Notice https://www.govinfo.gov/content/pkg/FR-2021-07-07/pdf/2021-14386.pdf Notice - Self-Regulatory Organizations; Cboe BZX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the Content of the Cboe One Feed Under Rule 11.22(j) To Identify the Current Day Consolidated High and Low Prices https://regulations.justia.com/regulations/fedreg/2021/07/07/2021-14385.html https://regulations.justia.com/regulations/fedreg/2021/07/07/2021-14385.html Wed, 07 Jul 2021 00:00:00 -0700 2021-14385 Notice https://www.govinfo.gov/content/pkg/FR-2021-07-07/pdf/2021-14385.pdf Notice - Sunshine Act Meetings https://regulations.justia.com/regulations/fedreg/2021/07/06/2021-14427.html https://regulations.justia.com/regulations/fedreg/2021/07/06/2021-14427.html Tue, 06 Jul 2021 00:00:00 -0700 2021-14427 Notice https://www.govinfo.gov/content/pkg/FR-2021-07-06/pdf/2021-14427.pdf Notice - Sunshine Act Meeting; Cancellation https://regulations.justia.com/regulations/fedreg/2021/07/06/2021-14426.html https://regulations.justia.com/regulations/fedreg/2021/07/06/2021-14426.html Tue, 06 Jul 2021 00:00:00 -0700 2021-14426 Notice https://www.govinfo.gov/content/pkg/FR-2021-07-06/pdf/2021-14426.pdf Notice - Proposed Collection; Comment Request https://regulations.justia.com/regulations/fedreg/2021/07/06/2021-14263.html https://regulations.justia.com/regulations/fedreg/2021/07/06/2021-14263.html Tue, 06 Jul 2021 00:00:00 -0700 2021-14263 Notice https://www.govinfo.gov/content/pkg/FR-2021-07-06/pdf/2021-14263.pdf Notice - BNY Mellon Alcentra Opportunistic Global Credit Income Fund and BNY Mellon Investment Adviser, Inc. https://regulations.justia.com/regulations/fedreg/2021/07/06/2021-14261.html https://regulations.justia.com/regulations/fedreg/2021/07/06/2021-14261.html Tue, 06 Jul 2021 00:00:00 -0700 2021-14261 Notice https://www.govinfo.gov/content/pkg/FR-2021-07-06/pdf/2021-14261.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/2021/07/06/2021-14254.html https://regulations.justia.com/regulations/fedreg/2021/07/06/2021-14254.html Tue, 06 Jul 2021 00:00:00 -0700 2021-14254 Notice https://www.govinfo.gov/content/pkg/FR-2021-07-06/pdf/2021-14254.pdf Notice - Sunshine Act Meetings https://regulations.justia.com/regulations/fedreg/2021/07/02/2021-14381.html https://regulations.justia.com/regulations/fedreg/2021/07/02/2021-14381.html Fri, 02 Jul 2021 00:00:00 -0700 2021-14381 Notice https://www.govinfo.gov/content/pkg/FR-2021-07-02/pdf/2021-14381.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 Exclude a National Best Bid or Offer From the Calculation of the BZX Official Closing Price, as Provided in Rule 11.23(c)(2)(B)(ii)(b), That Is Outside the Bands Provided Under the Plan To Address Extraordinary Market Volatility https://regulations.justia.com/regulations/fedreg/2021/07/01/2021-14013.html https://regulations.justia.com/regulations/fedreg/2021/07/01/2021-14013.html Thu, 01 Jul 2021 00:00:00 -0700 2021-14013 Notice https://www.govinfo.gov/content/pkg/FR-2021-07-01/pdf/2021-14013.pdf Notice - Joint Industry Plan; Notice of Designation of a Longer Period for Commission Action on a Proposed Amendment to the National Market System Plan Governing the Consolidated Audit Trail https://regulations.justia.com/regulations/fedreg/2021/07/01/2021-14012.html https://regulations.justia.com/regulations/fedreg/2021/07/01/2021-14012.html Thu, 01 Jul 2021 00:00:00 -0700 2021-14012 Notice https://www.govinfo.gov/content/pkg/FR-2021-07-01/pdf/2021-14012.pdf Notice - Notice of Applications for Deregistration Under Section 8(f) of the Investment Company Act of 1940 https://regulations.justia.com/regulations/fedreg/2021/07/01/2021-14006.html https://regulations.justia.com/regulations/fedreg/2021/07/01/2021-14006.html Thu, 01 Jul 2021 00:00:00 -0700 2021-14006 Notice https://www.govinfo.gov/content/pkg/FR-2021-07-01/pdf/2021-14006.pdf