Federal Register Recent Federal Regulation Documents - Justia Regulation Tracker - Justia Regulations Trackerhttps://regulations.justia.com/regulations/fedreg/agencies/agencies-and-commissions/securities-and-exchange-commission/2021/10/21?limit=200®isters=between&mode=atom2024-12-22T23:24:41-08:00Justia Inchttps://www.justia.com/Justia Regulations Trackerhttps://regulations.justia.com/images/justiafedregulations.gifCopyright 2011 Justia Inchttps://regulations.justia.com/regulations/fedreg/2021/10/21/2021-23108.htmlNotice - Sunshine Act Meetings2021-10-21T00:00:00-07:002021-10-21T00:00:00-07:002021-23108Noticehttps://www.govinfo.gov/content/pkg/FR-2021-10-21/pdf/2021-23108.pdfhttps://regulations.justia.com/regulations/fedreg/2021/10/21/2021-22943.htmlNotice - Self-Regulatory Organizations: MIAX PEARL, LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the MIAX Pearl Options Fee Schedule To Adjust the Options Regulatory Fee2021-10-21T00:00:00-07:002021-10-21T00:00:00-07:002021-22943Noticehttps://www.govinfo.gov/content/pkg/FR-2021-10-21/pdf/2021-22943.pdfhttps://regulations.justia.com/regulations/fedreg/2021/10/21/2021-22942.htmlNotice - Self-Regulatory Organizations: Miami International Securities Exchange LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Its Fee Schedule To Adjust the Options Regulatory Fee2021-10-21T00:00:00-07:002021-10-21T00:00:00-07:002021-22942Noticehttps://www.govinfo.gov/content/pkg/FR-2021-10-21/pdf/2021-22942.pdfhttps://regulations.justia.com/regulations/fedreg/2021/10/21/2021-22941.htmlNotice - Self-Regulatory Organizations; Cboe BYX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Extend the Pilot Related to the Market-Wide Circuit Breaker in Rule 11.182021-10-21T00:00:00-07:002021-10-21T00:00:00-07:002021-22941Noticehttps://www.govinfo.gov/content/pkg/FR-2021-10-21/pdf/2021-22941.pdfhttps://regulations.justia.com/regulations/fedreg/2021/10/21/2021-22940.htmlNotice - Self-Regulatory Organizations: MIAX Emerald, LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Its Fee Schedule To Adjust the Options Regulatory Fee2021-10-21T00:00:00-07:002021-10-21T00:00:00-07:002021-22940Noticehttps://www.govinfo.gov/content/pkg/FR-2021-10-21/pdf/2021-22940.pdfhttps://regulations.justia.com/regulations/fedreg/2021/10/21/2021-22939.htmlNotice - Self-Regulatory Organizations; Cboe EDGA Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Extend the Pilot Related to the Market-Wide Circuit Breaker in Rule 11.162021-10-21T00:00:00-07:002021-10-21T00:00:00-07:002021-22939Noticehttps://www.govinfo.gov/content/pkg/FR-2021-10-21/pdf/2021-22939.pdfhttps://regulations.justia.com/regulations/fedreg/2021/10/21/2021-22938.htmlNotice - Self-Regulatory Organizations; Cboe BZX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Extend the Pilot Related to the Market-Wide Circuit Breaker in Rule 11.182021-10-21T00:00:00-07:002021-10-21T00:00:00-07:002021-22938Noticehttps://www.govinfo.gov/content/pkg/FR-2021-10-21/pdf/2021-22938.pdfhttps://regulations.justia.com/regulations/fedreg/2021/10/21/2021-22937.htmlNotice - Self-Regulatory Organizations; MEMX LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Extend the Pilot Related to the Market Wide Circuit Breaker Until March 18, 20222021-10-21T00:00:00-07:002021-10-21T00:00:00-07:002021-22937Noticehttps://www.govinfo.gov/content/pkg/FR-2021-10-21/pdf/2021-22937.pdfhttps://regulations.justia.com/regulations/fedreg/2021/10/21/2021-22936.htmlNotice - Self-Regulatory Organizations; The Nasdaq Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Extend the Pilot Related to Clearly Erroneous Transactions Until April 20, 20222021-10-21T00:00:00-07:002021-10-21T00:00:00-07:002021-22936Noticehttps://www.govinfo.gov/content/pkg/FR-2021-10-21/pdf/2021-22936.pdfhttps://regulations.justia.com/regulations/fedreg/2021/10/21/2021-22935.htmlNotice - Self-Regulatory Organizations; NYSE Chicago, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Extend the Current Pilot Program Related to Rule 7.102021-10-21T00:00:00-07:002021-10-21T00:00:00-07:002021-22935Noticehttps://www.govinfo.gov/content/pkg/FR-2021-10-21/pdf/2021-22935.pdfhttps://regulations.justia.com/regulations/fedreg/2021/10/21/2021-22934.htmlNotice - Self-Regulatory Organizations; NYSE National, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Extend the Current Pilot Program Related to Rule 7.102021-10-21T00:00:00-07:002021-10-21T00:00:00-07:002021-22934Noticehttps://www.govinfo.gov/content/pkg/FR-2021-10-21/pdf/2021-22934.pdfhttps://regulations.justia.com/regulations/fedreg/2021/10/21/2021-22933.htmlNotice - Self-Regulatory Organizations; MEMX LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Extend the Pilot Related to Clearly Erroneous Transactions Until April 20, 20222021-10-21T00:00:00-07:002021-10-21T00:00:00-07:002021-22933Noticehttps://www.govinfo.gov/content/pkg/FR-2021-10-21/pdf/2021-22933.pdfhttps://regulations.justia.com/regulations/fedreg/2021/10/21/2021-22932.htmlNotice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Extend the Current Pilot Program Related to Rule 7.10-E2021-10-21T00:00:00-07:002021-10-21T00:00:00-07:002021-22932Noticehttps://www.govinfo.gov/content/pkg/FR-2021-10-21/pdf/2021-22932.pdfhttps://regulations.justia.com/regulations/fedreg/2021/10/21/2021-22931.htmlNotice - Self-Regulatory Organizations; NYSE American LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Extend the Current Pilot Program Related to Rule 7.10E2021-10-21T00:00:00-07:002021-10-21T00:00:00-07:002021-22931Noticehttps://www.govinfo.gov/content/pkg/FR-2021-10-21/pdf/2021-22931.pdfhttps://regulations.justia.com/regulations/fedreg/2021/10/21/2021-22930.htmlNotice - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Extend the Pilot Program Related to FINRA Rule 11892 (Clearly Erroneous Transactions in Exchange-Listed Securities)2021-10-21T00:00:00-07:002021-10-21T00:00:00-07:002021-22930Noticehttps://www.govinfo.gov/content/pkg/FR-2021-10-21/pdf/2021-22930.pdfhttps://regulations.justia.com/regulations/fedreg/2021/10/21/2021-22929.htmlNotice - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Extend the Current Pilot Program Related to Rule 7.102021-10-21T00:00:00-07:002021-10-21T00:00:00-07:002021-22929Noticehttps://www.govinfo.gov/content/pkg/FR-2021-10-21/pdf/2021-22929.pdfhttps://regulations.justia.com/regulations/fedreg/2021/10/21/2021-22928.htmlNotice - Self-Regulatory Organizations; Cboe EDGX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Extend the Pilot Related to the Market-Wide Circuit Breaker in Rule 11.162021-10-21T00:00:00-07:002021-10-21T00:00:00-07:002021-22928Noticehttps://www.govinfo.gov/content/pkg/FR-2021-10-21/pdf/2021-22928.pdfhttps://regulations.justia.com/regulations/fedreg/2021/10/21/2021-22927.htmlNotice - Self-Regulatory Organizations; Cboe Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Its Fees Schedule With Respect to Its Lead Market-Maker Incentive Programs2021-10-21T00:00:00-07:002021-10-21T00:00:00-07:002021-22927Noticehttps://www.govinfo.gov/content/pkg/FR-2021-10-21/pdf/2021-22927.pdfhttps://regulations.justia.com/regulations/fedreg/2021/10/21/2021-22926.htmlNotice - Self-Regulatory Organizations; MIAX PEARL, LLC; Notice of Withdrawal of a Proposed Rule Change To Amend the MIAX Pearl Options Fee Schedule To Increase the Monthly Fees for MIAX Express Network Full Service Ports2021-10-21T00:00:00-07:002021-10-21T00:00:00-07:002021-22926Noticehttps://www.govinfo.gov/content/pkg/FR-2021-10-21/pdf/2021-22926.pdfhttps://regulations.justia.com/regulations/fedreg/2021/10/21/2021-22925.htmlNotice - Self-Regulatory Organizations; MIAX PEARL, LLC; Notice of Withdrawal of a Proposed Rule Change To Amend the MIAX Pearl Options Fee Schedule To Remove Certain Credits and Increase Trading Permit Fees2021-10-21T00:00:00-07:002021-10-21T00:00:00-07:002021-22925Noticehttps://www.govinfo.gov/content/pkg/FR-2021-10-21/pdf/2021-22925.pdfhttps://regulations.justia.com/regulations/fedreg/2021/10/21/2021-22924.htmlNotice - Self-Regulatory Organizations; Cboe EDGX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Extend the Current Pilot Program Related to Clearly Erroneous Executions, to the Close of Business on April 20, 20222021-10-21T00:00:00-07:002021-10-21T00:00:00-07:002021-22924Noticehttps://www.govinfo.gov/content/pkg/FR-2021-10-21/pdf/2021-22924.pdfhttps://regulations.justia.com/regulations/fedreg/2021/10/21/2021-22923.htmlNotice - Self-Regulatory Organizations; Cboe EDGA Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Extend the Current Pilot Program Related to Clearly Erroneous Executions, to the Close of Business on April 20, 20222021-10-21T00:00:00-07:002021-10-21T00:00:00-07:002021-22923Noticehttps://www.govinfo.gov/content/pkg/FR-2021-10-21/pdf/2021-22923.pdfhttps://regulations.justia.com/regulations/fedreg/2021/10/21/2021-22922.htmlNotice - Self-Regulatory Organizations; Cboe BYX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating To Extend the Current Pilot Program Related To Clearly Erroneous Executions, to the Close of Business on April 20, 20222021-10-21T00:00:00-07:002021-10-21T00:00:00-07:002021-22922Noticehttps://www.govinfo.gov/content/pkg/FR-2021-10-21/pdf/2021-22922.pdfhttps://regulations.justia.com/regulations/fedreg/2021/10/21/2021-22921.htmlNotice - Self-Regulatory Organizations; Cboe BZX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Extend the Current Pilot Program Related to Clearly Erroneous Executions, to the Close of Business on April 20, 20222021-10-21T00:00:00-07:002021-10-21T00:00:00-07:002021-22921Noticehttps://www.govinfo.gov/content/pkg/FR-2021-10-21/pdf/2021-22921.pdfhttps://regulations.justia.com/regulations/fedreg/2021/10/21/2021-22906.htmlNotice - Submission for OMB Review; Comment Request2021-10-21T00:00:00-07:002021-10-21T00:00:00-07:002021-22906Noticehttps://www.govinfo.gov/content/pkg/FR-2021-10-21/pdf/2021-22906.pdfhttps://regulations.justia.com/regulations/fedreg/2021/10/21/2021-22905.htmlNotice - Submission for OMB Review; Comment Request2021-10-21T00:00:00-07:002021-10-21T00:00:00-07:002021-22905Noticehttps://www.govinfo.gov/content/pkg/FR-2021-10-21/pdf/2021-22905.pdfhttps://regulations.justia.com/regulations/fedreg/2021/10/21/2021-22904.htmlNotice - Proposed Collection; Comment Request2021-10-21T00:00:00-07:002021-10-21T00:00:00-07:002021-22904Noticehttps://www.govinfo.gov/content/pkg/FR-2021-10-21/pdf/2021-22904.pdfhttps://regulations.justia.com/regulations/fedreg/2021/10/21/2021-22902.htmlNotice - For Submission Comment Request2021-10-21T00:00:00-07:002021-10-21T00:00:00-07:002021-22902Noticehttps://www.govinfo.gov/content/pkg/FR-2021-10-21/pdf/2021-22902.pdfhttps://regulations.justia.com/regulations/fedreg/2021/10/21/2021-22900.htmlNotice - Submission for OMB Review; Comment Request2021-10-21T00:00:00-07:002021-10-21T00:00:00-07:002021-22900Noticehttps://www.govinfo.gov/content/pkg/FR-2021-10-21/pdf/2021-22900.pdfhttps://regulations.justia.com/regulations/fedreg/2021/10/21/2021-22899.htmlNotice - Proposed Collection; Comment Request2021-10-21T00:00:00-07:002021-10-21T00:00:00-07:002021-22899Noticehttps://www.govinfo.gov/content/pkg/FR-2021-10-21/pdf/2021-22899.pdfhttps://regulations.justia.com/regulations/fedreg/2021/10/21/2021-22898.htmlNotice - Proposed Collection; Comment Request2021-10-21T00:00:00-07:002021-10-21T00:00:00-07:002021-22898Noticehttps://www.govinfo.gov/content/pkg/FR-2021-10-21/pdf/2021-22898.pdfhttps://regulations.justia.com/regulations/fedreg/2021/10/21/2021-22754.htmlProposed Rule - Reopening of Comment Period for Listing Standards for Recovery of Erroneously Awarded Compensation2021-10-21T00:00:00-07:002021-10-21T00:00:00-07:002021-22754Proposed Rulehttps://www.govinfo.gov/content/pkg/FR-2021-10-21/pdf/2021-22754.pdf