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?limit=200®isters=between&min-day=1&min-month=1&max-day=31&max-month=12&mode=atom2024-04-25T06:11:17-07:00Justia Inchttps://www.justia.com/Justia Regulations Trackerhttps://regulations.justia.com/images/justiafedregulations.gifCopyright 2011 Justia Inchttps://regulations.justia.com/regulations/fedreg/2021/12/29/2021-28328.htmlNotice - Self-Regulatory Organizations; ICE Clear Europe Limited; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Amendments to the ICE Clear Europe Delivery Procedures2021-12-29T00:00:00-08:002021-12-29T00:00:00-08:002021-28328Noticehttps://www.govinfo.gov/content/pkg/FR-2021-12-29/pdf/2021-28328.pdfhttps://regulations.justia.com/regulations/fedreg/2021/12/29/2021-28327.htmlNotice - Self-Regulatory Organizations; The Options Clearing Corporation; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Update The Options Clearing Corporation's Operational Loss Fee Pursuant to Its Capital Management Policy2021-12-29T00:00:00-08:002021-12-29T00:00:00-08:002021-28327Noticehttps://www.govinfo.gov/content/pkg/FR-2021-12-29/pdf/2021-28327.pdfhttps://regulations.justia.com/regulations/fedreg/2021/12/29/2021-28326.htmlNotice - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing of Proposed Rule Change To Revise the Suite of Complimentary Products and Services Offered to Listed Companies2021-12-29T00:00:00-08:002021-12-29T00:00:00-08:002021-28326Noticehttps://www.govinfo.gov/content/pkg/FR-2021-12-29/pdf/2021-28326.pdfhttps://regulations.justia.com/regulations/fedreg/2021/12/29/2021-28324.htmlNotice - Variant Alternative Income Fund, et al.2021-12-29T00:00:00-08:002021-12-29T00:00:00-08:002021-28324Noticehttps://www.govinfo.gov/content/pkg/FR-2021-12-29/pdf/2021-28324.pdfhttps://regulations.justia.com/regulations/fedreg/2021/12/29/2021-28250.htmlNotice - Self-Regulatory Organizations; National Securities Clearing Corporation; Notice of Filing of Proposed Rule Change To Enhance Capital Requirements and Make Other Changes2021-12-29T00:00:00-08:002021-12-29T00:00:00-08:002021-28250Noticehttps://www.govinfo.gov/content/pkg/FR-2021-12-29/pdf/2021-28250.pdfhttps://regulations.justia.com/regulations/fedreg/2021/12/29/2021-28249.htmlNotice - Self-Regulatory Organizations; The Depository Trust Company; Notice of Filing of Proposed Rule Change To Enhance Capital Requirements and Make Other Changes2021-12-29T00:00:00-08:002021-12-29T00:00:00-08:002021-28249Noticehttps://www.govinfo.gov/content/pkg/FR-2021-12-29/pdf/2021-28249.pdfhttps://regulations.justia.com/regulations/fedreg/2021/12/29/2021-28248.htmlNotice - Self-Regulatory Organizations; Nasdaq PHLX LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Extend the Expiration Date of the Temporary Amendments Concerning Video Conference Hearings2021-12-29T00:00:00-08:002021-12-29T00:00:00-08:002021-28248Noticehttps://www.govinfo.gov/content/pkg/FR-2021-12-29/pdf/2021-28248.pdfhttps://regulations.justia.com/regulations/fedreg/2021/12/29/2021-28247.htmlNotice - Self-Regulatory Organizations; The Nasdaq Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Extend the Expiration Date of the Temporary Amendments Concerning Video Conference Hearings2021-12-29T00:00:00-08:002021-12-29T00:00:00-08:002021-28247Noticehttps://www.govinfo.gov/content/pkg/FR-2021-12-29/pdf/2021-28247.pdfhttps://regulations.justia.com/regulations/fedreg/2021/12/29/2021-28246.htmlNotice - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing of Proposed Rule Change To Amend Rule 37 To Incorporate Standards of Conduct for the Exchange's Trading Floor2021-12-29T00:00:00-08:002021-12-29T00:00:00-08:002021-28246Noticehttps://www.govinfo.gov/content/pkg/FR-2021-12-29/pdf/2021-28246.pdfhttps://regulations.justia.com/regulations/fedreg/2021/12/29/2021-28245.htmlNotice - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend its Rules To Add New Subparagraph (i)(6) to Rule 7.312021-12-29T00:00:00-08:002021-12-29T00:00:00-08:002021-28245Noticehttps://www.govinfo.gov/content/pkg/FR-2021-12-29/pdf/2021-28245.pdfhttps://regulations.justia.com/regulations/fedreg/2021/12/29/2021-28244.htmlNotice - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing of Proposed Rule Change Proposes To Amend the Provisions of Rule 7.35B2021-12-29T00:00:00-08:002021-12-29T00:00:00-08:002021-28244Noticehttps://www.govinfo.gov/content/pkg/FR-2021-12-29/pdf/2021-28244.pdfhttps://regulations.justia.com/regulations/fedreg/2021/12/29/2021-28255.htmlNotice - Self-Regulatory Organizations; Cboe BZX Exchange, Inc.; Order Disapproving a Proposed Rule Change To List and Trade Shares of the Kryptoin Bitcoin ETF Trust Under BZX Rule 14.11(e)(4), Commodity-Based Trust Shares2021-12-29T00:00:00-08:002021-12-29T00:00:00-08:002021-28255Noticehttps://www.govinfo.gov/content/pkg/FR-2021-12-29/pdf/2021-28255.pdfhttps://regulations.justia.com/regulations/fedreg/2021/12/29/2021-28254.htmlNotice - Self-Regulatory Organizations; NYSE Arca, Inc.; Order Disapproving a Proposed Rule Change To List and Trade Shares of the Valkyrie Bitcoin Fund Under NYSE Arca Rule 8.201-E (Commodity-Based Trust Shares)2021-12-29T00:00:00-08:002021-12-29T00:00:00-08:002021-28254Noticehttps://www.govinfo.gov/content/pkg/FR-2021-12-29/pdf/2021-28254.pdfhttps://regulations.justia.com/regulations/fedreg/2021/12/29/2021-28252.htmlNotice - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing of Proposed Rule Change To Amend the NYSE Listed Company Manual To Amend Certain of Its Listing and Annual Fees2021-12-29T00:00:00-08:002021-12-29T00:00:00-08:002021-28252Noticehttps://www.govinfo.gov/content/pkg/FR-2021-12-29/pdf/2021-28252.pdfhttps://regulations.justia.com/regulations/fedreg/2021/12/29/2021-28251.htmlNotice - Self-Regulatory Organizations; Fixed Income Clearing Corporation; Notice of Filing of Proposed Rule Change To Enhance Capital Requirements and Make Other Changes2021-12-29T00:00:00-08:002021-12-29T00:00:00-08:002021-28251Noticehttps://www.govinfo.gov/content/pkg/FR-2021-12-29/pdf/2021-28251.pdfhttps://regulations.justia.com/regulations/fedreg/2021/12/29/2021-28235.htmlNotice - FMI Funds, Inc., et al.2021-12-29T00:00:00-08:002021-12-29T00:00:00-08:002021-28235Noticehttps://www.govinfo.gov/content/pkg/FR-2021-12-29/pdf/2021-28235.pdfhttps://regulations.justia.com/regulations/fedreg/2021/12/29/2021-28234.htmlNotice - Capital Group ETF Trust, et al.2021-12-29T00:00:00-08:002021-12-29T00:00:00-08:002021-28234Noticehttps://www.govinfo.gov/content/pkg/FR-2021-12-29/pdf/2021-28234.pdfhttps://regulations.justia.com/regulations/fedreg/2021/12/28/2021-28112.htmlNotice - Self-Regulatory Organizations; NYSE Arca, Inc.; Order Instituting Proceedings To Determine Whether To Approve or Disapprove a Proposed Rule Change To List and Trade Shares of the One River Carbon Neutral Bitcoin Trust Under NYSE Arca Rule 8.201-E2021-12-28T00:00:00-08:002021-12-28T00:00:00-08:002021-28112Noticehttps://www.govinfo.gov/content/pkg/FR-2021-12-28/pdf/2021-28112.pdfhttps://regulations.justia.com/regulations/fedreg/2021/12/28/2021-28111.htmlNotice - Self-Regulatory Organizations; ICE Clear Europe Limited; Order Approving Proposed Rule Change Relating to Amendments to the ICE Clear Europe Liquidity Management Procedures and Investment Management Procedures2021-12-28T00:00:00-08:002021-12-28T00:00:00-08:002021-28111Noticehttps://www.govinfo.gov/content/pkg/FR-2021-12-28/pdf/2021-28111.pdfhttps://regulations.justia.com/regulations/fedreg/2021/12/28/2021-28110.htmlNotice - Self-Regulatory Organizations; ICE Clear Europe Limited; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Amendments to the ICE Clear Europe Delivery Procedures2021-12-28T00:00:00-08:002021-12-28T00:00:00-08:002021-28110Noticehttps://www.govinfo.gov/content/pkg/FR-2021-12-28/pdf/2021-28110.pdfhttps://regulations.justia.com/regulations/fedreg/2021/12/28/2021-28109.htmlNotice - Self-Regulatory Organizations; Investors Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the FINRA Registration Fees on the Fee Schedule2021-12-28T00:00:00-08:002021-12-28T00:00:00-08:002021-28109Noticehttps://www.govinfo.gov/content/pkg/FR-2021-12-28/pdf/2021-28109.pdfhttps://regulations.justia.com/regulations/fedreg/2021/12/28/2021-28127.htmlNotice - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Section 902.03 of the NYSE Listed Company Manual To Modify Listing and Annual Fees Applicable to Certain Warrants Listed by Foreign Companies; Correction2021-12-28T00:00:00-08:002021-12-28T00:00:00-08:002021-28127Noticehttps://www.govinfo.gov/content/pkg/FR-2021-12-28/pdf/2021-28127.pdfhttps://regulations.justia.com/regulations/fedreg/2021/12/28/2021-28108.htmlNotice - Self-Regulatory Organizations; Nasdaq BX, Inc.; Order Approving Proposed Rule Changes Regarding the Transfer of Ownership of Nasdaq BX Equities LLC and the Merger of Nasdaq BX Equities LLC With and Into the Exchange2021-12-28T00:00:00-08:002021-12-28T00:00:00-08:002021-28108Noticehttps://www.govinfo.gov/content/pkg/FR-2021-12-28/pdf/2021-28108.pdfhttps://regulations.justia.com/regulations/fedreg/2021/12/27/2021-27824.htmlNotice - Self-Regulatory Organizations; Cboe BZX Exchange, Inc.; Notice of Filing of Amendment No. 1 to a Proposed Rule Change To List and Trade Shares of the ARK 21Shares Bitcoin ETF Under BZX Rule 14.11(e)(4), Commodity-Based Trust Shares2021-12-27T00:00:00-08:002021-12-27T00:00:00-08:002021-27824Noticehttps://www.govinfo.gov/content/pkg/FR-2021-12-27/pdf/2021-27824.pdfhttps://regulations.justia.com/regulations/fedreg/2021/12/27/2021-27927.htmlNotice - Self-Regulatory Organizations; NYSE American LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Rule 904 (Position Limits)2021-12-27T00:00:00-08:002021-12-27T00:00:00-08:002021-27927Noticehttps://www.govinfo.gov/content/pkg/FR-2021-12-27/pdf/2021-27927.pdfhttps://regulations.justia.com/regulations/fedreg/2021/12/27/2021-27925.htmlNotice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Rule 6.8-O (Position Limits)2021-12-27T00:00:00-08:002021-12-27T00:00:00-08:002021-27925Noticehttps://www.govinfo.gov/content/pkg/FR-2021-12-27/pdf/2021-27925.pdfhttps://regulations.justia.com/regulations/fedreg/2021/12/27/2021-27924.htmlNotice - Self-Regulatory Organizations; Cboe Exchange, Inc.; Notice of Filing of a Proposed Rule Change To Increase Position Limits for Options on the SPDR Gold Trust and iShares Silver Trust2021-12-27T00:00:00-08:002021-12-27T00:00:00-08:002021-27924Noticehttps://www.govinfo.gov/content/pkg/FR-2021-12-27/pdf/2021-27924.pdfhttps://regulations.justia.com/regulations/fedreg/2021/12/27/2021-27922.htmlNotice - Self-Regulatory Organizations; Cboe BZX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend its Fee Schedule2021-12-27T00:00:00-08:002021-12-27T00:00:00-08:002021-27922Noticehttps://www.govinfo.gov/content/pkg/FR-2021-12-27/pdf/2021-27922.pdfhttps://regulations.justia.com/regulations/fedreg/2021/12/23/2021-27817.htmlNotice - Self-Regulatory Organizations; Cboe EDGX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Make Juneteenth National Independence Day a Holiday of the Exchange2021-12-23T00:00:00-08:002021-12-23T00:00:00-08:002021-27817Noticehttps://www.govinfo.gov/content/pkg/FR-2021-12-23/pdf/2021-27817.pdfhttps://regulations.justia.com/regulations/fedreg/2021/12/23/2021-27816.htmlNotice - 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 Product2021-12-23T00:00:00-08:002021-12-23T00:00:00-08:002021-27816Noticehttps://www.govinfo.gov/content/pkg/FR-2021-12-23/pdf/2021-27816.pdfhttps://regulations.justia.com/regulations/fedreg/2021/12/23/2021-27815.htmlNotice - Self-Regulatory Organizations; New York Stock Exchange LLC, NYSE American LLC, NYSE Arca, Inc., NYSE Chicago, Inc., and NYSE National, Inc.; Suspension of and Order Instituting Proceedings To Determine Whether To Approve or Disapprove Proposed Rule Changes To Offer Wireless Connectivity to CME Group Data and Establish Associated Fees2021-12-23T00:00:00-08:002021-12-23T00:00:00-08:002021-27815Noticehttps://www.govinfo.gov/content/pkg/FR-2021-12-23/pdf/2021-27815.pdfhttps://regulations.justia.com/regulations/fedreg/2021/12/23/2021-27814.htmlNotice - Self-Regulatory Organizations; New York Stock Exchange LLC; Order Instituting Proceedings To Determine Whether To Approve or Disapprove a Proposed Rule Change To Amend NYSE Rules 7.31, 7.35, 7.35B, 7.35C, 98, and 104 Relating to the Closing Auction2021-12-23T00:00:00-08:002021-12-23T00:00:00-08:002021-27814Noticehttps://www.govinfo.gov/content/pkg/FR-2021-12-23/pdf/2021-27814.pdfhttps://regulations.justia.com/regulations/fedreg/2021/12/23/2021-27813.htmlNotice - 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 Product2021-12-23T00:00:00-08:002021-12-23T00:00:00-08:002021-27813Noticehttps://www.govinfo.gov/content/pkg/FR-2021-12-23/pdf/2021-27813.pdfhttps://regulations.justia.com/regulations/fedreg/2021/12/23/2021-27810.htmlNotice - Self-Regulatory Organizations; The Nasdaq Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Equity 7, Section 118 of the Fee Schedule2021-12-23T00:00:00-08:002021-12-23T00:00:00-08:002021-27810Noticehttps://www.govinfo.gov/content/pkg/FR-2021-12-23/pdf/2021-27810.pdfhttps://regulations.justia.com/regulations/fedreg/2021/12/23/2021-27809.htmlNotice - Self-Regulatory Organizations; Cboe BZX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Make Juneteenth National Independence Day a Holiday of the Exchange2021-12-23T00:00:00-08:002021-12-23T00:00:00-08:002021-27809Noticehttps://www.govinfo.gov/content/pkg/FR-2021-12-23/pdf/2021-27809.pdfhttps://regulations.justia.com/regulations/fedreg/2021/12/23/2021-27808.htmlNotice - Self-Regulatory Organizations; Nasdaq PHLX LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the Exchange's Pricing Schedule at Equity 7, Section 32021-12-23T00:00:00-08:002021-12-23T00:00:00-08:002021-27808Noticehttps://www.govinfo.gov/content/pkg/FR-2021-12-23/pdf/2021-27808.pdfhttps://regulations.justia.com/regulations/fedreg/2021/12/23/2021-27822.htmlNotice - Self-Regulatory Organizations; Cboe Exchange, Inc.; Notice of Filing of a Proposed Rule Change To Adopt a New Trading Session That Will Operate After the Close of the Regular Trading Hours Session2021-12-23T00:00:00-08:002021-12-23T00:00:00-08:002021-27822Noticehttps://www.govinfo.gov/content/pkg/FR-2021-12-23/pdf/2021-27822.pdfhttps://regulations.justia.com/regulations/fedreg/2021/12/23/2021-27821.htmlNotice - Self-Regulatory Organizations; NYSE Arca, Inc.; Order Approving a Proposed Rule Change To Amend Rule 6.87-O2021-12-23T00:00:00-08:002021-12-23T00:00:00-08:002021-27821Noticehttps://www.govinfo.gov/content/pkg/FR-2021-12-23/pdf/2021-27821.pdfhttps://regulations.justia.com/regulations/fedreg/2021/12/23/2021-27820.htmlNotice - Self-Regulatory Organizations; Cboe EDGA Exchange, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Make Juneteenth National Independence Day a Holiday of the Exchange2021-12-23T00:00:00-08:002021-12-23T00:00:00-08:002021-27820Noticehttps://www.govinfo.gov/content/pkg/FR-2021-12-23/pdf/2021-27820.pdfhttps://regulations.justia.com/regulations/fedreg/2021/12/23/2021-27819.htmlNotice - Self-Regulatory Organizations; Cboe EDGX Exchange, Inc.; Notice of Filing of a Proposed Rule Change To Amend Rule 25.3, Which Governs the Exchange's Minor Rule Violation Plan, in Connection With Certain Minor Rule Violations and Applicable Fines2021-12-23T00:00:00-08:002021-12-23T00:00:00-08:002021-27819Noticehttps://www.govinfo.gov/content/pkg/FR-2021-12-23/pdf/2021-27819.pdfhttps://regulations.justia.com/regulations/fedreg/2021/12/23/2021-27818.htmlNotice - Self-Regulatory Organizations; Cboe BYX Exchange, Inc.; Cboe BZX Exchange, Inc.; Cboe C2 Exchange, Inc.; Cboe EDGA Exchange, Inc.; Cboe EDGX Exchange, Inc., Cboe Exchange, Inc.; NASDAQ BX, Inc.; Nasdaq GEMX, LLC; Nasdaq ISE, LLC; Nasdaq MRX, LLC; NASDAQ PHLX LLC and the NASDAQ Stock Market LLC; Notice of Withdrawal of Proposed Rule Changes To Adopt a Fee Schedule To Establish Fees for Industry Members Related to the National Market System Plan Governing the Consolidated Audit Trail2021-12-23T00:00:00-08:002021-12-23T00:00:00-08:002021-27818Noticehttps://www.govinfo.gov/content/pkg/FR-2021-12-23/pdf/2021-27818.pdfhttps://regulations.justia.com/regulations/fedreg/2021/12/23/2021-27926.htmlNotice - Self-Regulatory Organizations; Cboe BZX Exchange, Inc.; Notice of Filing of a Proposed Rule Change To Amend Rule 25.3, Which Governs the Exchange's Minor Rule Violation Plan, in Connection With Certain Minor Rule Violations and Applicable Fines2021-12-23T00:00:00-08:002021-12-23T00:00:00-08:002021-27926Noticehttps://www.govinfo.gov/content/pkg/FR-2021-12-23/pdf/2021-27926.pdfhttps://regulations.justia.com/regulations/fedreg/2021/12/23/2021-27923.htmlNotice - Self-Regulatory Organizations; The Nasdaq Stock Market LLC; Notice of Designation of a Longer Period for Commission Action on Proceedings To Determine Whether To Approve or Disapprove a Proposed Rule Change To Modify Certain Pricing Limitations for Companies Listing in Connection With a Direct Listing Primary Offering2021-12-23T00:00:00-08:002021-12-23T00:00:00-08:002021-27923Noticehttps://www.govinfo.gov/content/pkg/FR-2021-12-23/pdf/2021-27923.pdfhttps://regulations.justia.com/regulations/fedreg/2021/12/23/2021-27921.htmlNotice - Self-Regulatory Organizations; Cboe BYX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Make Juneteenth National Independence Day a Holiday of the Exchange2021-12-23T00:00:00-08:002021-12-23T00:00:00-08:002021-27921Noticehttps://www.govinfo.gov/content/pkg/FR-2021-12-23/pdf/2021-27921.pdfhttps://regulations.justia.com/regulations/fedreg/2021/12/22/2021-27697.htmlNotice - Neuberger Berman BDC LLC, et al.2021-12-22T00:00:00-08:002021-12-22T00:00:00-08:002021-27697Noticehttps://www.govinfo.gov/content/pkg/FR-2021-12-22/pdf/2021-27697.pdfhttps://regulations.justia.com/regulations/fedreg/2021/12/22/2021-27664.htmlNotice - Order Granting Applications by Nasdaq BX, Inc., The Nasdaq Stock Market LLC, and Nasdaq PHLX 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 ISE, LLC Options 4 Options Listing Rules Incorporated by Reference2021-12-22T00:00:00-08:002021-12-22T00:00:00-08:002021-27664Noticehttps://www.govinfo.gov/content/pkg/FR-2021-12-22/pdf/2021-27664.pdfhttps://regulations.justia.com/regulations/fedreg/2021/12/22/2021-27663.htmlNotice - Self-Regulatory Organizations; NYSE American LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Adopt a New Historical Market Data Product To Be Known as the NYSE Options Open-Close Volume Summary2021-12-22T00:00:00-08:002021-12-22T00:00:00-08:002021-27663Noticehttps://www.govinfo.gov/content/pkg/FR-2021-12-22/pdf/2021-27663.pdfhttps://regulations.justia.com/regulations/fedreg/2021/12/22/2021-27662.htmlNotice - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change for Non-Substantive Conforming Changes to Rule 182021-12-22T00:00:00-08:002021-12-22T00:00:00-08:002021-27662Noticehttps://www.govinfo.gov/content/pkg/FR-2021-12-22/pdf/2021-27662.pdfhttps://regulations.justia.com/regulations/fedreg/2021/12/22/2021-27661.htmlNotice - Self-Regulatory Organizations; Miami International Securities Exchange, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Increase Position Limits for Options on Two Exchange-Traded Funds2021-12-22T00:00:00-08:002021-12-22T00:00:00-08:002021-27661Noticehttps://www.govinfo.gov/content/pkg/FR-2021-12-22/pdf/2021-27661.pdfhttps://regulations.justia.com/regulations/fedreg/2021/12/22/2021-27660.htmlNotice - Self-Regulatory Organizations; Investors Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Reintroduce a Market Maker Peg Order Type2021-12-22T00:00:00-08:002021-12-22T00:00:00-08:002021-27660Noticehttps://www.govinfo.gov/content/pkg/FR-2021-12-22/pdf/2021-27660.pdfhttps://regulations.justia.com/regulations/fedreg/2021/12/22/2021-27658.htmlNotice - Self-Regulatory Organizations; Cboe Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Make Juneteenth National Independence Day a Holiday of the Exchange2021-12-22T00:00:00-08:002021-12-22T00:00:00-08:002021-27658Noticehttps://www.govinfo.gov/content/pkg/FR-2021-12-22/pdf/2021-27658.pdfhttps://regulations.justia.com/regulations/fedreg/2021/12/22/2021-27657.htmlNotice - Self-Regulatory Organizations; Cboe C2 Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Its Rules To Make Juneteenth National Independence Day a Holiday of the Exchange2021-12-22T00:00:00-08:002021-12-22T00:00:00-08:002021-27657Noticehttps://www.govinfo.gov/content/pkg/FR-2021-12-22/pdf/2021-27657.pdfhttps://regulations.justia.com/regulations/fedreg/2021/12/22/2021-27656.htmlNotice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Designation of 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 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-O2021-12-22T00:00:00-08:002021-12-22T00:00:00-08:002021-27656Noticehttps://www.govinfo.gov/content/pkg/FR-2021-12-22/pdf/2021-27656.pdfhttps://regulations.justia.com/regulations/fedreg/2021/12/22/2021-27749.htmlNotice - Joint Industry Plan; Notice of Withdrawal of Amendment to the National Market System Plan Governing the Consolidated Audit Trail2021-12-22T00:00:00-08:002021-12-22T00:00:00-08:002021-27749Noticehttps://www.govinfo.gov/content/pkg/FR-2021-12-22/pdf/2021-27749.pdfhttps://regulations.justia.com/regulations/fedreg/2021/12/21/2021-27546.htmlNotice - Self-Regulatory Organizations; ICE Clear Credit LLC; Order Approving Proposed Rule Change Relating to the ICC End-of-Day Price Discovery Policies and Procedures2021-12-21T00:00:00-08:002021-12-21T00:00:00-08:002021-27546Noticehttps://www.govinfo.gov/content/pkg/FR-2021-12-21/pdf/2021-27546.pdfhttps://regulations.justia.com/regulations/fedreg/2021/12/21/2021-27545.htmlNotice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Designation of a Longer Period for Commission Action on a Proposed Rule Change To List and Trade Shares of the Bitwise Bitcoin ETP Trust Under NYSE Arca Rule 8.201-E2021-12-21T00:00:00-08:002021-12-21T00:00:00-08:002021-27545Noticehttps://www.govinfo.gov/content/pkg/FR-2021-12-21/pdf/2021-27545.pdfhttps://regulations.justia.com/regulations/fedreg/2021/12/21/2021-27544.htmlNotice - Self-Regulatory Organizations; The Nasdaq Stock Market LLC; Notice of Filing of Proposed Rule Change To Amend Nasdaq Rule 5815 Regarding the Use of a Panel Monitor Following a Compliance Determination by a Nasdaq Listings Qualification Hearings Panel2021-12-21T00:00:00-08:002021-12-21T00:00:00-08:002021-27544Noticehttps://www.govinfo.gov/content/pkg/FR-2021-12-21/pdf/2021-27544.pdfhttps://regulations.justia.com/regulations/fedreg/2021/12/21/2021-27543.htmlNotice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Designation of a Longer Period for Commission Action on a Proposed Rule Change To List and Trade Shares of Grayscale Bitcoin Trust (BTC) Under NYSE Arca Rule 8.201-E2021-12-21T00:00:00-08:002021-12-21T00:00:00-08:002021-27543Noticehttps://www.govinfo.gov/content/pkg/FR-2021-12-21/pdf/2021-27543.pdfhttps://regulations.justia.com/regulations/fedreg/2021/12/21/2021-27542.htmlNotice - Self-Regulatory Organizations; Long-Term Stock Exchange, Inc.; Notice of Filing of a Proposed Rule Change To Modify and Expand the Package of Products and Services Provided to Companies and Clarify Existing Practice Under Rule 14.6022021-12-21T00:00:00-08:002021-12-21T00:00:00-08:002021-27542Noticehttps://www.govinfo.gov/content/pkg/FR-2021-12-21/pdf/2021-27542.pdfhttps://regulations.justia.com/regulations/fedreg/2021/12/21/2021-27541.htmlNotice - Self-Regulatory Organizations; BOX Exchange LLC; Notice of Designation of Longer Period for Commission Action on Proceedings To Determine Whether To Approve or Disapprove a Proposed Rule Change, as Modified by Amendment No. 1, in Connection With the Proposed Establishment of BSTX as a Facility of the Exchange2021-12-21T00:00:00-08:002021-12-21T00:00:00-08:002021-27541Noticehttps://www.govinfo.gov/content/pkg/FR-2021-12-21/pdf/2021-27541.pdfhttps://regulations.justia.com/regulations/fedreg/2021/12/21/2021-27529.htmlNotice - Order Approving Public Company Accounting Oversight Board Budget and Annual Accounting Support Fee for Calendar Year 20222021-12-21T00:00:00-08:002021-12-21T00:00:00-08:002021-27529Noticehttps://www.govinfo.gov/content/pkg/FR-2021-12-21/pdf/2021-27529.pdfhttps://regulations.justia.com/regulations/fedreg/2021/12/20/2021-27429.htmlNotice - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Extend the Temporary Period for Specified Commentaries to Rules 7.35A and 7.35C and Temporary Rule Relief in Rule 36.302021-12-20T00:00:00-08:002021-12-20T00:00:00-08:002021-27429Noticehttps://www.govinfo.gov/content/pkg/FR-2021-12-20/pdf/2021-27429.pdfhttps://regulations.justia.com/regulations/fedreg/2021/12/20/2021-27428.htmlNotice - Self-Regulatory Organizations; Nasdaq MRX, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend MRX's Pricing Schedule at Options 7, Section 1, General Provisions2021-12-20T00:00:00-08:002021-12-20T00:00:00-08:002021-27428Noticehttps://www.govinfo.gov/content/pkg/FR-2021-12-20/pdf/2021-27428.pdfhttps://regulations.justia.com/regulations/fedreg/2021/12/20/2021-27427.htmlNotice - Self-Regulatory Organizations; BOX Exchange LLC; Order Approving a Proposed Rule Change, as Modified by Amendment No. 1, Related to BOX Exchange LLC and BOX Holdings Group LLC Ownership Transfer Transactions2021-12-20T00:00:00-08:002021-12-20T00:00:00-08:002021-27427Noticehttps://www.govinfo.gov/content/pkg/FR-2021-12-20/pdf/2021-27427.pdfhttps://regulations.justia.com/regulations/fedreg/2021/12/20/2021-27426.htmlNotice - Self-Regulatory Organizations; Nasdaq ISE, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend ISE's Pricing Schedule at Options 7, Section 1, General Provisions2021-12-20T00:00:00-08:002021-12-20T00:00:00-08:002021-27426Noticehttps://www.govinfo.gov/content/pkg/FR-2021-12-20/pdf/2021-27426.pdfhttps://regulations.justia.com/regulations/fedreg/2021/12/20/2021-27425.htmlNotice - Self-Regulatory Organizations; MIAX Emerald, LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the MIAX Emerald Fee Schedule To Adopt a Tiered-Pricing Structure for Certain Connectivity Fees2021-12-20T00:00:00-08:002021-12-20T00:00:00-08:002021-27425Noticehttps://www.govinfo.gov/content/pkg/FR-2021-12-20/pdf/2021-27425.pdfhttps://regulations.justia.com/regulations/fedreg/2021/12/20/2021-27424.htmlNotice - Self-Regulatory Organizations; Miami International Securities Exchange LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the MIAX Fee Schedule To Adopt a Tiered-Pricing Structure for Certain Connectivity Fees2021-12-20T00:00:00-08:002021-12-20T00:00:00-08:002021-27424Noticehttps://www.govinfo.gov/content/pkg/FR-2021-12-20/pdf/2021-27424.pdfhttps://regulations.justia.com/regulations/fedreg/2021/12/20/2021-27423.htmlNotice - Self-Regulatory Organizations; MIAX PEARL, LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the MIAX Pearl Options Fee Schedule To Adopt a Tiered-Pricing Structure for Certain Connectivity Fees2021-12-20T00:00:00-08:002021-12-20T00:00:00-08:002021-27423Noticehttps://www.govinfo.gov/content/pkg/FR-2021-12-20/pdf/2021-27423.pdfhttps://regulations.justia.com/regulations/fedreg/2021/12/20/2021-27422.htmlNotice - Self-Regulatory Organizations; MEMX LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the Exchange's Fee Schedule2021-12-20T00:00:00-08:002021-12-20T00:00:00-08:002021-27422Noticehttps://www.govinfo.gov/content/pkg/FR-2021-12-20/pdf/2021-27422.pdfhttps://regulations.justia.com/regulations/fedreg/2021/12/20/2021-27497.htmlNotice - Proposed Collection; Comment Request2021-12-20T00:00:00-08:002021-12-20T00:00:00-08:002021-27497Noticehttps://www.govinfo.gov/content/pkg/FR-2021-12-20/pdf/2021-27497.pdfhttps://regulations.justia.com/regulations/fedreg/2021/12/20/2021-27561.htmlRule - Credit Risk Retention-Notification of Determination of Review2021-12-20T00:00:00-08:002021-12-20T00:00:00-08:002021-27561Rulehttps://www.govinfo.gov/content/pkg/FR-2021-12-20/pdf/2021-27561.pdfhttps://regulations.justia.com/regulations/fedreg/2021/12/20/2021-27500.htmlNotice - Proposed Collection; Comment Request2021-12-20T00:00:00-08:002021-12-20T00:00:00-08:002021-27500Noticehttps://www.govinfo.gov/content/pkg/FR-2021-12-20/pdf/2021-27500.pdfhttps://regulations.justia.com/regulations/fedreg/2021/12/20/2021-27499.htmlNotice - Proposed Collection; Comment Request2021-12-20T00:00:00-08:002021-12-20T00:00:00-08:002021-27499Noticehttps://www.govinfo.gov/content/pkg/FR-2021-12-20/pdf/2021-27499.pdfhttps://regulations.justia.com/regulations/fedreg/2021/12/20/2021-27498.htmlNotice - Proposed Collection; Comment Request2021-12-20T00:00:00-08:002021-12-20T00:00:00-08:002021-27498Noticehttps://www.govinfo.gov/content/pkg/FR-2021-12-20/pdf/2021-27498.pdfhttps://regulations.justia.com/regulations/fedreg/2021/12/20/2021-27421.htmlNotice - Self-Regulatory Organizations; MIAX Emerald, LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Its Fee Schedule To Adopt a Tiered-Pricing Structure for Additional Limited Service MIAX Emerald Express Interface Ports2021-12-20T00:00:00-08:002021-12-20T00:00:00-08:002021-27421Noticehttps://www.govinfo.gov/content/pkg/FR-2021-12-20/pdf/2021-27421.pdfhttps://regulations.justia.com/regulations/fedreg/2021/12/20/2021-27420.htmlNotice - Self-Regulatory Organizations; Miami International Securities Exchange, LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Its Fee Schedule To Adopt a Tiered-Pricing Structure for Additional Limited Service MIAX Express Interface Ports2021-12-20T00:00:00-08:002021-12-20T00:00:00-08:002021-27420Noticehttps://www.govinfo.gov/content/pkg/FR-2021-12-20/pdf/2021-27420.pdfhttps://regulations.justia.com/regulations/fedreg/2021/12/20/2021-27419.htmlNotice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the NYSE Arca Equities Fees and Charges2021-12-20T00:00:00-08:002021-12-20T00:00:00-08:002021-27419Noticehttps://www.govinfo.gov/content/pkg/FR-2021-12-20/pdf/2021-27419.pdfhttps://regulations.justia.com/regulations/fedreg/2021/12/20/2021-27418.htmlNotice - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend FINRA Rule 2251 (Processing and Forwarding of Proxy and Other Issuer-Related Materials)2021-12-20T00:00:00-08:002021-12-20T00:00:00-08:002021-27418Noticehttps://www.govinfo.gov/content/pkg/FR-2021-12-20/pdf/2021-27418.pdfhttps://regulations.justia.com/regulations/fedreg/2021/12/20/2021-27417.htmlNotice - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Section 902.03 of the NYSE Listed Company Manual To Modify Listing and Annual Fees Applicable to Certain Warrants Listed by Foreign Companies2021-12-20T00:00:00-08:002021-12-20T00:00:00-08:002021-27417Noticehttps://www.govinfo.gov/content/pkg/FR-2021-12-20/pdf/2021-27417.pdfhttps://regulations.justia.com/regulations/fedreg/2021/12/17/2021-27313.htmlNotice - Fairway Private Equity & Venture Capital Opportunities Fund, et al.2021-12-17T00:00:00-08:002021-12-17T00:00:00-08:002021-27313Noticehttps://www.govinfo.gov/content/pkg/FR-2021-12-17/pdf/2021-27313.pdfhttps://regulations.justia.com/regulations/fedreg/2021/12/17/2021-27310.htmlNotice - Self-Regulatory Organizations; Cboe BZX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Its Fee Schedule by Modifying Certain Auction Fee Codes2021-12-17T00:00:00-08:002021-12-17T00:00:00-08:002021-27310Noticehttps://www.govinfo.gov/content/pkg/FR-2021-12-17/pdf/2021-27310.pdfhttps://regulations.justia.com/regulations/fedreg/2021/12/17/2021-27309.htmlNotice - Self-Regulatory Organizations; ICE Clear Europe Limited; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Amendments to the ICE Clear Europe Delivery Procedures2021-12-17T00:00:00-08:002021-12-17T00:00:00-08:002021-27309Noticehttps://www.govinfo.gov/content/pkg/FR-2021-12-17/pdf/2021-27309.pdfhttps://regulations.justia.com/regulations/fedreg/2021/12/17/2021-27308.htmlNotice - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Extend the Expiration Date of Temporary Amendments Set Forth in SR-FINRA-2020-015 and SR-FINRA-2020-0272021-12-17T00:00:00-08:002021-12-17T00:00:00-08:002021-27308Noticehttps://www.govinfo.gov/content/pkg/FR-2021-12-17/pdf/2021-27308.pdfhttps://regulations.justia.com/regulations/fedreg/2021/12/17/2021-27291.htmlNotice - Submission for OMB Review; Comment Request2021-12-17T00:00:00-08:002021-12-17T00:00:00-08:002021-27291Noticehttps://www.govinfo.gov/content/pkg/FR-2021-12-17/pdf/2021-27291.pdfhttps://regulations.justia.com/regulations/fedreg/2021/12/17/2021-27290.htmlNotice - Proposed Collection; Comment Request2021-12-17T00:00:00-08:002021-12-17T00:00:00-08:002021-27290Noticehttps://www.govinfo.gov/content/pkg/FR-2021-12-17/pdf/2021-27290.pdfhttps://regulations.justia.com/regulations/fedreg/2021/12/16/2021-27180.htmlNotice - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Its Price List To Eliminate the Underutilized Supplemental Liquidity Provider National Best Bid and Offer Setter Tier Credits2021-12-16T00:00:00-08:002021-12-16T00:00:00-08:002021-27180Noticehttps://www.govinfo.gov/content/pkg/FR-2021-12-16/pdf/2021-27180.pdfhttps://regulations.justia.com/regulations/fedreg/2021/12/15/2021-27075.htmlNotice - Self-Regulatory Organizations; Cboe BYX Exchange, Inc.; Notice of Designation of a Longer Period for Commission Action on a Proposed Rule Change To Make Certain Clarifying Changes Related to Periodic Auctions2021-12-15T00:00:00-08:002021-12-15T00:00:00-08:002021-27075Noticehttps://www.govinfo.gov/content/pkg/FR-2021-12-15/pdf/2021-27075.pdfhttps://regulations.justia.com/regulations/fedreg/2021/12/15/2021-27073.htmlNotice - Self-Regulatory Organizations; Cboe Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Its Fees Schedule2021-12-15T00:00:00-08:002021-12-15T00:00:00-08:002021-27073Noticehttps://www.govinfo.gov/content/pkg/FR-2021-12-15/pdf/2021-27073.pdfhttps://regulations.justia.com/regulations/fedreg/2021/12/15/2021-27072.htmlNotice - Self-Regulatory Organizations; Cboe Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Its Fees Schedule2021-12-15T00:00:00-08:002021-12-15T00:00:00-08:002021-27072Noticehttps://www.govinfo.gov/content/pkg/FR-2021-12-15/pdf/2021-27072.pdfhttps://regulations.justia.com/regulations/fedreg/2021/12/15/2021-27158.htmlNotice - Oaktree Fund Advisors, LLC and Oaktree Diversified Income Fund Inc.2021-12-15T00:00:00-08:002021-12-15T00:00:00-08:002021-27158Noticehttps://www.govinfo.gov/content/pkg/FR-2021-12-15/pdf/2021-27158.pdfhttps://regulations.justia.com/regulations/fedreg/2021/12/14/2021-26861.htmlNotice - Self-Regulatory Organizations; Miami International Securities Exchange LLC, MIAX PEARL, LLC; Notice of Withdrawal of Proposed Rule Changes to Amend the Fee Schedules To Adopt a Tiered-Pricing Structure for Certain Connectivity Fees2021-12-14T00:00:00-08:002021-12-14T00:00:00-08:002021-26861Noticehttps://www.govinfo.gov/content/pkg/FR-2021-12-14/pdf/2021-26861.pdfhttps://regulations.justia.com/regulations/fedreg/2021/12/14/2021-26854.htmlNotice - Submission for OMB Review; Comment Request2021-12-14T00:00:00-08:002021-12-14T00:00:00-08:002021-26854Noticehttps://www.govinfo.gov/content/pkg/FR-2021-12-14/pdf/2021-26854.pdfhttps://regulations.justia.com/regulations/fedreg/2021/12/14/2021-26991.htmlNotice - Privacy Act of 1974; System of Records; Correction2021-12-14T00:00:00-08:002021-12-14T00:00:00-08:002021-26991Noticehttps://www.govinfo.gov/content/pkg/FR-2021-12-14/pdf/2021-26991.pdfhttps://regulations.justia.com/regulations/fedreg/2021/12/14/2021-26970.htmlNotice - Self-Regulatory Organizations; New York Stock Exchange LLC; Order Instituting Proceedings To Determine Whether To Approve or Disapprove a Proposed Rule Change To Adopt Listing Standards for Subscription Warrants Issued by a Company Organized Solely for the Purpose of Identifying an Acquisition Target2021-12-14T00:00:00-08:002021-12-14T00:00:00-08:002021-26970Noticehttps://www.govinfo.gov/content/pkg/FR-2021-12-14/pdf/2021-26970.pdfhttps://regulations.justia.com/regulations/fedreg/2021/12/14/2021-26969.htmlNotice - Self-Regulatory Organizations; Nasdaq BX, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend BX's Pricing Schedule at Options 7, Section 1, General Provisions2021-12-14T00:00:00-08:002021-12-14T00:00:00-08:002021-26969Noticehttps://www.govinfo.gov/content/pkg/FR-2021-12-14/pdf/2021-26969.pdfhttps://regulations.justia.com/regulations/fedreg/2021/12/14/2021-26968.htmlNotice - MassMutual Access Pine Point Fund, et al.2021-12-14T00:00:00-08:002021-12-14T00:00:00-08:002021-26968Noticehttps://www.govinfo.gov/content/pkg/FR-2021-12-14/pdf/2021-26968.pdfhttps://regulations.justia.com/regulations/fedreg/2021/12/14/2021-26967.htmlNotice - Submission for OMB Review; Comment Request, Extension: Form 13F2021-12-14T00:00:00-08:002021-12-14T00:00:00-08:002021-26967Noticehttps://www.govinfo.gov/content/pkg/FR-2021-12-14/pdf/2021-26967.pdfhttps://regulations.justia.com/regulations/fedreg/2021/12/13/2021-26863.htmlNotice - Self-Regulatory Organizations; Miami International Securities Exchange LLC, MIAX Emerald, LLC; Notice of Withdrawal of Proposed Rule Changes To Amend the Fee Schedules To Adopt a Tiered-Pricing Structure for Additional Limited Service MIAX and MIAX Emerald Express Interface Ports2021-12-13T00:00:00-08:002021-12-13T00:00:00-08:002021-26863Noticehttps://www.govinfo.gov/content/pkg/FR-2021-12-13/pdf/2021-26863.pdfhttps://regulations.justia.com/regulations/fedreg/2021/12/13/2021-26862.htmlNotice - Self-Regulatory Organizations; MIAX Emerald, LLC; Notice of Withdrawal of Proposed Rule Change To Amend the Exchange's Fee Schedule To Adopt a Tiered-Pricing Structure for Certain Connectivity Fees2021-12-13T00:00:00-08:002021-12-13T00:00:00-08:002021-26862Noticehttps://www.govinfo.gov/content/pkg/FR-2021-12-13/pdf/2021-26862.pdfhttps://regulations.justia.com/regulations/fedreg/2021/12/13/2021-26860.htmlNotice - Self-Regulatory Organizations; The Nasdaq Stock Market LLC; Order Instituting Proceedings To Determine Whether To Approve or Disapprove a Proposed Rule Change, as Modified by Amendment No. 1, To List and Trade Shares of the Valkyrie XBTO Bitcoin Futures Fund Under Nasdaq Rule 5711(g)2021-12-13T00:00:00-08:002021-12-13T00:00:00-08:002021-26860Noticehttps://www.govinfo.gov/content/pkg/FR-2021-12-13/pdf/2021-26860.pdfhttps://regulations.justia.com/regulations/fedreg/2021/12/13/2021-26859.htmlNotice - Self-Regulatory Organizations; Nasdaq PHLX LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the Exchange's Affiliated Entity Program and Relocate Certain Rules2021-12-13T00:00:00-08:002021-12-13T00:00:00-08:002021-26859Noticehttps://www.govinfo.gov/content/pkg/FR-2021-12-13/pdf/2021-26859.pdfhttps://regulations.justia.com/regulations/fedreg/2021/12/13/2021-26858.htmlNotice - Self-Regulatory Organizations; The Nasdaq Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the Pricing Schedule at Options 7, Section 1, General Provisions2021-12-13T00:00:00-08:002021-12-13T00:00:00-08:002021-26858Noticehttps://www.govinfo.gov/content/pkg/FR-2021-12-13/pdf/2021-26858.pdfhttps://regulations.justia.com/regulations/fedreg/2021/12/13/2021-26857.htmlNotice - Self-Regulatory Organizations; MEMX LLC; Order Instituting Proceedings To Determine Whether To Approve or Disapprove a Proposed Rule Change To Establish a Retail Midpoint Liquidity Program2021-12-13T00:00:00-08:002021-12-13T00:00:00-08:002021-26857Noticehttps://www.govinfo.gov/content/pkg/FR-2021-12-13/pdf/2021-26857.pdfhttps://regulations.justia.com/regulations/fedreg/2021/12/13/2021-26855.htmlNotice - Submission for OMB Review; Comment Request2021-12-13T00:00:00-08:002021-12-13T00:00:00-08:002021-26855Noticehttps://www.govinfo.gov/content/pkg/FR-2021-12-13/pdf/2021-26855.pdfhttps://regulations.justia.com/regulations/fedreg/2021/12/13/2021-26999.htmlNotice - Sunshine Act Meetings2021-12-13T00:00:00-08:002021-12-13T00:00:00-08:002021-26999Noticehttps://www.govinfo.gov/content/pkg/FR-2021-12-13/pdf/2021-26999.pdfhttps://regulations.justia.com/regulations/fedreg/2021/12/10/2021-26714.htmlNotice - Self-Regulatory Organizations; National Securities Clearing Corporation; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Remove Mutual Fund Deposit Requirements and Remove Certain Other Provisions Relating to Clearing Fund Requirements for Limited Members From the NSCC Rules2021-12-10T00:00:00-08:002021-12-10T00:00:00-08:002021-26714Noticehttps://www.govinfo.gov/content/pkg/FR-2021-12-10/pdf/2021-26714.pdfhttps://regulations.justia.com/regulations/fedreg/2021/12/10/2021-26713.htmlNotice - Self-Regulatory Organizations; Cboe Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Extend the Temporary Remote Inspection Relief for Trading Permit Holder's Office Inspections for Calendar Years 2020 and 2021 To Include Calendar Year 2022 Through June 30, 20222021-12-10T00:00:00-08:002021-12-10T00:00:00-08:002021-26713Noticehttps://www.govinfo.gov/content/pkg/FR-2021-12-10/pdf/2021-26713.pdfhttps://regulations.justia.com/regulations/fedreg/2021/12/10/2021-26712.htmlNotice - Self-Regulatory Organizations; NYSE Arca, Inc.; Order Instituting Proceedings To Determine Whether To Approve or Disapprove a Proposed Rule Change To List and Trade Shares of the Franklin Responsibly Sourced Gold ETF Under NYSE Arca Rule 8.201-E (Commodity-Based Trust Shares)2021-12-10T00:00:00-08:002021-12-10T00:00:00-08:002021-26712Noticehttps://www.govinfo.gov/content/pkg/FR-2021-12-10/pdf/2021-26712.pdfhttps://regulations.justia.com/regulations/fedreg/2021/12/10/2021-26711.htmlNotice - Self-Regulatory Organizations; Cboe EDGX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Its Fee Schedule2021-12-10T00:00:00-08:002021-12-10T00:00:00-08:002021-26711Noticehttps://www.govinfo.gov/content/pkg/FR-2021-12-10/pdf/2021-26711.pdfhttps://regulations.justia.com/regulations/fedreg/2021/12/10/2021-26945.htmlNotice - Sunshine Act Meeting2021-12-10T00:00:00-08:002021-12-10T00:00:00-08:002021-26945Noticehttps://www.govinfo.gov/content/pkg/FR-2021-12-10/pdf/2021-26945.pdfhttps://regulations.justia.com/regulations/fedreg/2021/12/09/2021-26675.htmlNotice - Proposed Collection; Comment Request2021-12-09T00:00:00-08:002021-12-09T00:00:00-08:002021-26675Noticehttps://www.govinfo.gov/content/pkg/FR-2021-12-09/pdf/2021-26675.pdfhttps://regulations.justia.com/regulations/fedreg/2021/12/09/2021-26625.htmlNotice - Self-Regulatory Organizations; New York Stock Exchange LLC; Order Instituting Proceedings To Determine Whether To Approve or Disapprove a Proposed Rule Change To Amend the Requirements of Section 102.06 of the NYSE Listed Company Manual To Allow an Acquisition Company To Contribute a Portion of Its Trust Account to a New Acquisition Company and Spin-Off the New Acquisition Company to Its Shareholders2021-12-09T00:00:00-08:002021-12-09T00:00:00-08:002021-26625Noticehttps://www.govinfo.gov/content/pkg/FR-2021-12-09/pdf/2021-26625.pdfhttps://regulations.justia.com/regulations/fedreg/2021/12/09/2021-26624.htmlNotice - Self-Regulatory Organizations; The Nasdaq Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Modify Certain Annual Listing Fees To Be Implemented on January 1, 20222021-12-09T00:00:00-08:002021-12-09T00:00:00-08:002021-26624Noticehttps://www.govinfo.gov/content/pkg/FR-2021-12-09/pdf/2021-26624.pdfhttps://regulations.justia.com/regulations/fedreg/2021/12/09/2021-26622.htmlNotice - Bridge Builder Trust, et al.2021-12-09T00:00:00-08:002021-12-09T00:00:00-08:002021-26622Noticehttps://www.govinfo.gov/content/pkg/FR-2021-12-09/pdf/2021-26622.pdfhttps://regulations.justia.com/regulations/fedreg/2021/12/09/2021-26621.htmlNotice - PGIM Private Real Estate Fund, Inc., et al.2021-12-09T00:00:00-08:002021-12-09T00:00:00-08:002021-26621Noticehttps://www.govinfo.gov/content/pkg/FR-2021-12-09/pdf/2021-26621.pdfhttps://regulations.justia.com/regulations/fedreg/2021/12/09/2021-26528.htmlRule - Holding Foreign Companies Accountable Act Disclosure2021-12-09T00:00:00-08:002021-12-09T00:00:00-08:002021-26528Rulehttps://www.govinfo.gov/content/pkg/FR-2021-12-09/pdf/2021-26528.pdfhttps://regulations.justia.com/regulations/fedreg/2021/12/09/2021-22756.htmlRule - Filing Fee Disclosure and Payment Methods Modernization2021-12-09T00:00:00-08:002021-12-09T00:00:00-08:002021-22756Rulehttps://www.govinfo.gov/content/pkg/FR-2021-12-09/pdf/2021-22756.pdfhttps://regulations.justia.com/regulations/fedreg/2021/12/08/2021-26597.htmlNotice - Apollo Investment Corporation, et al.2021-12-08T00:00:00-08:002021-12-08T00:00:00-08:002021-26597Noticehttps://www.govinfo.gov/content/pkg/FR-2021-12-08/pdf/2021-26597.pdfhttps://regulations.justia.com/regulations/fedreg/2021/12/08/2021-26596.htmlNotice - Submission for OMB Review; Comment Request2021-12-08T00:00:00-08:002021-12-08T00:00:00-08:002021-26596Noticehttps://www.govinfo.gov/content/pkg/FR-2021-12-08/pdf/2021-26596.pdfhttps://regulations.justia.com/regulations/fedreg/2021/12/08/2021-26595.htmlNotice - Proposed Collection; Comment Request2021-12-08T00:00:00-08:002021-12-08T00:00:00-08:002021-26595Noticehttps://www.govinfo.gov/content/pkg/FR-2021-12-08/pdf/2021-26595.pdfhttps://regulations.justia.com/regulations/fedreg/2021/12/08/2021-26531.htmlNotice - Self-Regulatory Organizations; National Securities Clearing Corporation; Notice of Filing of Proposed Rule Change To Provide for a Passive Acknowledgment Process, Codify Certain Settlement Processes and Make Technical, Clarifying and Conforming Changes to the NSCC Rules & Procedures2021-12-08T00:00:00-08:002021-12-08T00:00:00-08:002021-26531Noticehttps://www.govinfo.gov/content/pkg/FR-2021-12-08/pdf/2021-26531.pdfhttps://regulations.justia.com/regulations/fedreg/2021/12/08/2021-26530.htmlNotice - Self-Regulatory Organizations; ICE Clear Credit LLC; Order Approving Proposed Rule Change Relating to the Counterparty Monitoring Procedures and the Credit Rating System Model Description and Parameterization2021-12-08T00:00:00-08:002021-12-08T00:00:00-08:002021-26530Noticehttps://www.govinfo.gov/content/pkg/FR-2021-12-08/pdf/2021-26530.pdfhttps://regulations.justia.com/regulations/fedreg/2021/12/08/2021-26529.htmlNotice - Self-Regulatory Organizations; MEMX LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Make Juneteenth National Independence Day a Holiday of the Exchange2021-12-08T00:00:00-08:002021-12-08T00:00:00-08:002021-26529Noticehttps://www.govinfo.gov/content/pkg/FR-2021-12-08/pdf/2021-26529.pdfhttps://regulations.justia.com/regulations/fedreg/2021/12/08/2021-25739.htmlProposed Rule - Reporting of Securities Loans2021-12-08T00:00:00-08:002021-12-08T00:00:00-08:002021-25739Proposed Rulehttps://www.govinfo.gov/content/pkg/FR-2021-12-08/pdf/2021-25739.pdfhttps://regulations.justia.com/regulations/fedreg/2021/12/07/2021-26455.htmlNotice - Self-Regulatory Organizations; Long-Term Stock Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Make Juneteenth National Independence Day a Holiday of the Exchange in Rule 11.110 (Hours of Trading and Trading Days)2021-12-07T00:00:00-08:002021-12-07T00:00:00-08:002021-26455Noticehttps://www.govinfo.gov/content/pkg/FR-2021-12-07/pdf/2021-26455.pdfhttps://regulations.justia.com/regulations/fedreg/2021/12/07/2021-26452.htmlNotice - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing of Proposed Rule Change To Amend FINRA Rule 6730 To Require Members To Append Modifiers to Delayed Treasury Spot and Portfolio Trades When Reporting to TRACE2021-12-07T00:00:00-08:002021-12-07T00:00:00-08:002021-26452Noticehttps://www.govinfo.gov/content/pkg/FR-2021-12-07/pdf/2021-26452.pdfhttps://regulations.justia.com/regulations/fedreg/2021/12/07/2021-26451.htmlNotice - Self-Regulatory Organizations; MIAX Emerald, LLC; Notice of Filing of Proposed Rule Change To Amend Exchange Rule 531 To Provide for a New Service Called the “High Precision Network Time Signal Service”2021-12-07T00:00:00-08:002021-12-07T00:00:00-08:002021-26451Noticehttps://www.govinfo.gov/content/pkg/FR-2021-12-07/pdf/2021-26451.pdfhttps://regulations.justia.com/regulations/fedreg/2021/12/07/2021-26450.htmlNotice - Self-Regulatory Organizations; Cboe EDGX Exchange, Inc.; Notice of Filing of a Proposed Rule Change To Introduce a New Data Product To Be Known as the Short Volume Report, Modify the Name of Rule 13.8 to “Data Products”, and Add a Preamble to Rule 13.82021-12-07T00:00:00-08:002021-12-07T00:00:00-08:002021-26450Noticehttps://www.govinfo.gov/content/pkg/FR-2021-12-07/pdf/2021-26450.pdfhttps://regulations.justia.com/regulations/fedreg/2021/12/07/2021-26449.htmlNotice - Self-Regulatory Organizations; Cboe EDGA Exchange, Inc.; Notice of Filing of a Proposed Rule Change To Introduce a New Data Product To Be Known as the Short Volume Report, Modify the Name of Rule 13.8 to “Data Products”, and Add a Preamble to Rule 13.82021-12-07T00:00:00-08:002021-12-07T00:00:00-08:002021-26449Noticehttps://www.govinfo.gov/content/pkg/FR-2021-12-07/pdf/2021-26449.pdfhttps://regulations.justia.com/regulations/fedreg/2021/12/07/2021-26448.htmlNotice - Self-Regulatory Organizations; ICE Clear Credit LLC; Notice of Filing of Proposed Rule Change Relating to the ICC Clearing Rules and ICC Exercise Procedures2021-12-07T00:00:00-08:002021-12-07T00:00:00-08:002021-26448Noticehttps://www.govinfo.gov/content/pkg/FR-2021-12-07/pdf/2021-26448.pdfhttps://regulations.justia.com/regulations/fedreg/2021/12/07/2021-26447.htmlNotice - Self-Regulatory Organizations; Cboe BYX Exchange, Inc.; Notice of Filing of a Proposed Rule Change To Introduce a New Data Product To Be Known as the Short Volume Report2021-12-07T00:00:00-08:002021-12-07T00:00:00-08:002021-26447Noticehttps://www.govinfo.gov/content/pkg/FR-2021-12-07/pdf/2021-26447.pdfhttps://regulations.justia.com/regulations/fedreg/2021/12/07/2021-26446.htmlNotice - Self-Regulatory Organizations; Cboe BZX Exchange, Inc.; Notice of Filing of a Proposed Rule Change To Introduce a New Data Product To Be Known as the Short Volume Report2021-12-07T00:00:00-08:002021-12-07T00:00:00-08:002021-26446Noticehttps://www.govinfo.gov/content/pkg/FR-2021-12-07/pdf/2021-26446.pdfhttps://regulations.justia.com/regulations/fedreg/2021/12/07/2021-26445.htmlNotice - Self-Regulatory Organizations; NYSE American LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Rule 903 To Allow Monday and Wednesday Expirations for Options Listed Pursuant to the Short Term Option Series Program on the iShares Russell 2000 ETF (“IWM”)2021-12-07T00:00:00-08:002021-12-07T00:00:00-08:002021-26445Noticehttps://www.govinfo.gov/content/pkg/FR-2021-12-07/pdf/2021-26445.pdfhttps://regulations.justia.com/regulations/fedreg/2021/12/07/2021-26444.htmlNotice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Rule 6.4-O To Allow Monday and Wednesday Expirations for Options Listed Pursuant to the Short Term Option Series Program on the iShares Russell 2000 ETF (“IWM”)2021-12-07T00:00:00-08:002021-12-07T00:00:00-08:002021-26444Noticehttps://www.govinfo.gov/content/pkg/FR-2021-12-07/pdf/2021-26444.pdfhttps://regulations.justia.com/regulations/fedreg/2021/12/07/2021-26442.htmlNotice - Self-Regulatory Organizations; Cboe BZX Exchange, Inc.; Order Disapproving a Proposed Rule Change To List and Trade Shares of the WisdomTree Bitcoin Trust Under BZX Rule 14.11(e)(4), Commodity-Based Trust Shares2021-12-07T00:00:00-08:002021-12-07T00:00:00-08:002021-26442Noticehttps://www.govinfo.gov/content/pkg/FR-2021-12-07/pdf/2021-26442.pdfhttps://regulations.justia.com/regulations/fedreg/2021/12/06/2021-26480.htmlNotice - Sunshine Act Meetings2021-12-06T00:00:00-08:002021-12-06T00:00:00-08:002021-26480Noticehttps://www.govinfo.gov/content/pkg/FR-2021-12-06/pdf/2021-26480.pdfhttps://regulations.justia.com/regulations/fedreg/2021/12/06/2021-26366.htmlNotice - Privacy Act of 1974; System of Records; Correction2021-12-06T00:00:00-08:002021-12-06T00:00:00-08:002021-26366Noticehttps://www.govinfo.gov/content/pkg/FR-2021-12-06/pdf/2021-26366.pdfhttps://regulations.justia.com/regulations/fedreg/2021/12/06/2021-26337.htmlNotice - Self-Regulatory Organizations; MEMX LLC; Order Granting Accelerated Approval of a Proposed Rule Change To Amend the Corporate Documents of the Exchange's Parent Company2021-12-06T00:00:00-08:002021-12-06T00:00:00-08:002021-26337Noticehttps://www.govinfo.gov/content/pkg/FR-2021-12-06/pdf/2021-26337.pdfhttps://regulations.justia.com/regulations/fedreg/2021/12/06/2021-26336.htmlNotice - Self-Regulatory Organizations; National Securities Clearing Corporation; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Enhance the Transparency of the Calculation of the Backtesting Charge2021-12-06T00:00:00-08:002021-12-06T00:00:00-08:002021-26336Noticehttps://www.govinfo.gov/content/pkg/FR-2021-12-06/pdf/2021-26336.pdfhttps://regulations.justia.com/regulations/fedreg/2021/12/06/2021-26328.htmlNotice - Fortune V Separate Account, et al.2021-12-06T00:00:00-08:002021-12-06T00:00:00-08:002021-26328Noticehttps://www.govinfo.gov/content/pkg/FR-2021-12-06/pdf/2021-26328.pdfhttps://regulations.justia.com/regulations/fedreg/2021/12/03/2021-26299.htmlNotice - Calamos Hunt Alternative Income Fund, et al.2021-12-03T00:00:00-08:002021-12-03T00:00:00-08:002021-26299Noticehttps://www.govinfo.gov/content/pkg/FR-2021-12-03/pdf/2021-26299.pdfhttps://regulations.justia.com/regulations/fedreg/2021/12/03/2021-26246.htmlNotice - Proposed Collection; Comment Request2021-12-03T00:00:00-08:002021-12-03T00:00:00-08:002021-26246Noticehttps://www.govinfo.gov/content/pkg/FR-2021-12-03/pdf/2021-26246.pdfhttps://regulations.justia.com/regulations/fedreg/2021/12/03/2021-26244.htmlNotice - Self-Regulatory Organizations; Cboe Exchange, Inc.; Notice of Filing of a Proposed Rule Change To Adopt a Modified Trading Schedule for Holidays2021-12-03T00:00:00-08:002021-12-03T00:00:00-08:002021-26244Noticehttps://www.govinfo.gov/content/pkg/FR-2021-12-03/pdf/2021-26244.pdfhttps://regulations.justia.com/regulations/fedreg/2021/12/03/2021-26242.htmlNotice - Self-Regulatory Organizations; The Nasdaq Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Include Juneteenth National Independence Day as a Holiday2021-12-03T00:00:00-08:002021-12-03T00:00:00-08:002021-26242Noticehttps://www.govinfo.gov/content/pkg/FR-2021-12-03/pdf/2021-26242.pdfhttps://regulations.justia.com/regulations/fedreg/2021/12/03/2021-26241.htmlNotice - Self-Regulatory Organizations; Miami International Securities Exchange, LLC; Notice of Filing of a Proposed Rule Change To Adopt Exchange Rule 532, Order and Quote Price Protection Mechanisms and Risk Controls2021-12-03T00:00:00-08:002021-12-03T00:00:00-08:002021-26241Noticehttps://www.govinfo.gov/content/pkg/FR-2021-12-03/pdf/2021-26241.pdfhttps://regulations.justia.com/regulations/fedreg/2021/12/03/2021-26240.htmlNotice - Self-Regulatory Organizations; Nasdaq PHLX LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Establish Juneteenth National Independence Day as an Exchange Holiday and Give the Exchange the Authority To Halt or Suspend Trading or Close Exchange Facilities for Certain Unanticipated Closures2021-12-03T00:00:00-08:002021-12-03T00:00:00-08:002021-26240Noticehttps://www.govinfo.gov/content/pkg/FR-2021-12-03/pdf/2021-26240.pdfhttps://regulations.justia.com/regulations/fedreg/2021/12/01/2021-26137.htmlNotice - Notice of Applications for Deregistration Under Section 8(f) of the Investment Company Act of 19402021-12-01T00:00:00-08:002021-12-01T00:00:00-08:002021-26137Noticehttps://www.govinfo.gov/content/pkg/FR-2021-12-01/pdf/2021-26137.pdfhttps://regulations.justia.com/regulations/fedreg/2021/12/01/2021-26027.htmlRule - Staff Accounting Bulletin No. 1202021-12-01T00:00:00-08:002021-12-01T00:00:00-08:002021-26027Rulehttps://www.govinfo.gov/content/pkg/FR-2021-12-01/pdf/2021-26027.pdfhttps://regulations.justia.com/regulations/fedreg/2021/12/01/2021-25840.htmlProposed Rule - Electronic Recordkeeping Requirements for Broker-Dealers, Security-Based Swap Dealers, and Major Security-Based Swap Participants2021-12-01T00:00:00-08:002021-12-01T00:00:00-08:002021-25840Proposed Rulehttps://www.govinfo.gov/content/pkg/FR-2021-12-01/pdf/2021-25840.pdfhttps://regulations.justia.com/regulations/fedreg/2021/12/01/2021-25492.htmlRule - Universal Proxy2021-12-01T00:00:00-08:002021-12-01T00:00:00-08:002021-25492Rulehttps://www.govinfo.gov/content/pkg/FR-2021-12-01/pdf/2021-25492.pdfhttps://regulations.justia.com/regulations/fedreg/2021/11/30/2021-26074.htmlNotice - Self-Regulatory Organizations; National Securities Clearing Corporation; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Make Certain Revisions and Clarifications to the Rules2021-11-30T00:00:00-08:002021-11-30T00:00:00-08:002021-26074Noticehttps://www.govinfo.gov/content/pkg/FR-2021-11-30/pdf/2021-26074.pdfhttps://regulations.justia.com/regulations/fedreg/2021/11/30/2021-26070.htmlNotice - Self-Regulatory Organizations; Fixed Income Clearing Corporation; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Make Certain Revisions and Clarifications to the Rules2021-11-30T00:00:00-08:002021-11-30T00:00:00-08:002021-26070Noticehttps://www.govinfo.gov/content/pkg/FR-2021-11-30/pdf/2021-26070.pdfhttps://regulations.justia.com/regulations/fedreg/2021/11/30/2021-26068.htmlNotice - Self-Regulatory Organizations; ICE Clear Europe Limited; Notice of Filing of Proposed Rule Change Relating to Amendments to the Counterparty Credit Risk Policy and Counterparty Credit Risk Procedures2021-11-30T00:00:00-08:002021-11-30T00:00:00-08:002021-26068Noticehttps://www.govinfo.gov/content/pkg/FR-2021-11-30/pdf/2021-26068.pdfhttps://regulations.justia.com/regulations/fedreg/2021/11/30/2021-26067.htmlNotice - Self-Regulatory Organizations; The Depository Trust Company; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Make Certain Revisions and Clarifications to the Rules2021-11-30T00:00:00-08:002021-11-30T00:00:00-08:002021-26067Noticehttps://www.govinfo.gov/content/pkg/FR-2021-11-30/pdf/2021-26067.pdfhttps://regulations.justia.com/regulations/fedreg/2021/11/30/2021-25994.htmlNotice - Self-Regulatory Organizations; Nasdaq PHLX LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Increase Position Limits for Options on Certain Exchange-Traded Funds2021-11-30T00:00:00-08:002021-11-30T00:00:00-08:002021-25994Noticehttps://www.govinfo.gov/content/pkg/FR-2021-11-30/pdf/2021-25994.pdfhttps://regulations.justia.com/regulations/fedreg/2021/11/30/2021-25992.htmlNotice - Self-Regulatory Organizations; The Nasdaq Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Adopt a Post-Only Quote Configuration Risk Protection2021-11-30T00:00:00-08:002021-11-30T00:00:00-08:002021-25992Noticehttps://www.govinfo.gov/content/pkg/FR-2021-11-30/pdf/2021-25992.pdfhttps://regulations.justia.com/regulations/fedreg/2021/11/30/2021-25991.htmlNotice - Self-Regulatory Organizations; BOX Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Increase Position Limits for Options on Certain Exchange-Traded Funds2021-11-30T00:00:00-08:002021-11-30T00:00:00-08:002021-25991Noticehttps://www.govinfo.gov/content/pkg/FR-2021-11-30/pdf/2021-25991.pdfhttps://regulations.justia.com/regulations/fedreg/2021/11/30/2021-25990.htmlNotice - Self-Regulatory Organizations; Nasdaq ISE, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Increase Position Limits for Options on Certain Exchange-Traded Funds2021-11-30T00:00:00-08:002021-11-30T00:00:00-08:002021-25990Noticehttps://www.govinfo.gov/content/pkg/FR-2021-11-30/pdf/2021-25990.pdfhttps://regulations.justia.com/regulations/fedreg/2021/11/30/2021-25989.htmlNotice - Self-Regulatory Organizations; Cboe Exchange, Inc.; Order Instituting Proceedings To Determine Whether To Approve or Disapprove a Proposed Rule Change To Amend Cboe Rule 5.4 and Make Corresponding Changes to Other Rules2021-11-30T00:00:00-08:002021-11-30T00:00:00-08:002021-25989Noticehttps://www.govinfo.gov/content/pkg/FR-2021-11-30/pdf/2021-25989.pdfhttps://regulations.justia.com/regulations/fedreg/2021/11/30/2021-25988.htmlNotice - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing of a Proposed Rule Change To Amend FINRA Rule 6732 and Expand the Scope of Exemptions That FINRA May Grant ATSs From the TRACE Reporting Requirements2021-11-30T00:00:00-08:002021-11-30T00:00:00-08:002021-25988Noticehttps://www.govinfo.gov/content/pkg/FR-2021-11-30/pdf/2021-25988.pdfhttps://regulations.justia.com/regulations/fedreg/2021/11/30/2021-25987.htmlNotice - Self-Regulatory Organizations; BOX Exchange LLC; Notice of Designation of 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 Rules Governing the Trading of Equity Securities on the Exchange Through a Facility of the Exchange Known as BSTX LLC2021-11-30T00:00:00-08:002021-11-30T00:00:00-08:002021-25987Noticehttps://www.govinfo.gov/content/pkg/FR-2021-11-30/pdf/2021-25987.pdfhttps://regulations.justia.com/regulations/fedreg/2021/11/29/2021-26047.htmlNotice - Sunshine Act Meetings2021-11-29T00:00:00-08:002021-11-29T00:00:00-08:002021-26047Noticehttps://www.govinfo.gov/content/pkg/FR-2021-11-29/pdf/2021-26047.pdfhttps://regulations.justia.com/regulations/fedreg/2021/11/29/2021-25915.htmlNotice - Proposed Collection; Comment Request, Extension: Rule 30e-22021-11-29T00:00:00-08:002021-11-29T00:00:00-08:002021-25915Noticehttps://www.govinfo.gov/content/pkg/FR-2021-11-29/pdf/2021-25915.pdfhttps://regulations.justia.com/regulations/fedreg/2021/11/29/2021-25914.htmlNotice - Submission for OMB Review; Comment Request, Extension: Form F-32021-11-29T00:00:00-08:002021-11-29T00:00:00-08:002021-25914Noticehttps://www.govinfo.gov/content/pkg/FR-2021-11-29/pdf/2021-25914.pdfhttps://regulations.justia.com/regulations/fedreg/2021/11/29/2021-25913.htmlNotice - Proposed Collection; Comment Request; Extension: Form 1-E, Regulation E2021-11-29T00:00:00-08:002021-11-29T00:00:00-08:002021-25913Noticehttps://www.govinfo.gov/content/pkg/FR-2021-11-29/pdf/2021-25913.pdfhttps://regulations.justia.com/regulations/fedreg/2021/11/29/2021-25912.htmlNotice - Submission for OMB Review; Comment Request, Extension: Rule 206(4)-72021-11-29T00:00:00-08:002021-11-29T00:00:00-08:002021-25912Noticehttps://www.govinfo.gov/content/pkg/FR-2021-11-29/pdf/2021-25912.pdfhttps://regulations.justia.com/regulations/fedreg/2021/11/29/2021-25893.htmlNotice - Self-Regulatory Organizations; Cboe Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Add a Held Order Instruction2021-11-29T00:00:00-08:002021-11-29T00:00:00-08:002021-25893Noticehttps://www.govinfo.gov/content/pkg/FR-2021-11-29/pdf/2021-25893.pdfhttps://regulations.justia.com/regulations/fedreg/2021/11/29/2021-25883.htmlNotice - Self-Regulatory Organizations; MIAX Emerald, LLC; Suspension of and Order Instituting Proceedings To Determine Whether To Approve or Disapprove Proposed Rule Change To Amend the Exchange's Fee Schedule To Adopt a Tiered-Pricing Structure for Certain Connectivity Fees2021-11-29T00:00:00-08:002021-11-29T00:00:00-08:002021-25883Noticehttps://www.govinfo.gov/content/pkg/FR-2021-11-29/pdf/2021-25883.pdfhttps://regulations.justia.com/regulations/fedreg/2021/11/29/2021-25882.htmlNotice - Self-Regulatory Organizations; Cboe EDGX Exchange, Inc.; Notice of Filing of a Proposed Rule Change To Amend Interpretation and Policy .01 to Rule 11.10 in Connection With a Risk Setting That Users May Elect To Apply to Their Orders in Hard To Borrow Securities2021-11-29T00:00:00-08:002021-11-29T00:00:00-08:002021-25882Noticehttps://www.govinfo.gov/content/pkg/FR-2021-11-29/pdf/2021-25882.pdfhttps://regulations.justia.com/regulations/fedreg/2021/11/29/2021-25881.htmlNotice - Self-Regulatory Organizations; Cboe EDGA Exchange, Inc.; Notice of Filing of a Proposed Rule Change To Amend Interpretation and Policy .01 to Rule 11.10 in Connection With a Risk Setting That Users May Elect To Apply to Their Orders in Hard To Borrow Securities2021-11-29T00:00:00-08:002021-11-29T00:00:00-08:002021-25881Noticehttps://www.govinfo.gov/content/pkg/FR-2021-11-29/pdf/2021-25881.pdfhttps://regulations.justia.com/regulations/fedreg/2021/11/29/2021-25880.htmlNotice - Self-Regulatory Organizations; Cboe BZX Exchange, Inc.; Notice of Filing of a Proposed Rule Change To Amend Interpretation and Policy .01 to Rule 11.13 in Connection With a Risk Setting That Users May Elect To Apply to Their Orders in Hard To Borrow Securities2021-11-29T00:00:00-08:002021-11-29T00:00:00-08:002021-25880Noticehttps://www.govinfo.gov/content/pkg/FR-2021-11-29/pdf/2021-25880.pdfhttps://regulations.justia.com/regulations/fedreg/2021/11/29/2021-25879.htmlNotice - Self-Regulatory Organizations; Miami International Securities Exchange, LLC, MIAX Emerald, LLC; Suspension of and Order Instituting Proceedings To Determine Whether To Approve or Disapprove Proposed Rule Changes To Amend Fee Schedules To Adopt Tiered-Pricing Structures for Additional Limited Service MIAX and MIAX Emerald Express Interface Ports2021-11-29T00:00:00-08:002021-11-29T00:00:00-08:002021-25879Noticehttps://www.govinfo.gov/content/pkg/FR-2021-11-29/pdf/2021-25879.pdfhttps://regulations.justia.com/regulations/fedreg/2021/11/29/2021-25878.htmlNotice - Self-Regulatory Organizations; Miami International Securities Exchange LLC, MIAX PEARL, LLC; Suspension of and Order Instituting Proceedings To Determine Whether To Approve or Disapprove Proposed Rule Changes To Amend the Fee Schedules To Adopt a Tiered-Pricing Structure for Certain Connectivity Fees2021-11-29T00:00:00-08:002021-11-29T00:00:00-08:002021-25878Noticehttps://www.govinfo.gov/content/pkg/FR-2021-11-29/pdf/2021-25878.pdfhttps://regulations.justia.com/regulations/fedreg/2021/11/29/2021-25877.htmlNotice - Self-Regulatory Organizations; Cboe BYX Exchange, Inc.; Notice of Filing of a Proposed Rule Change To Amend Interpretation and Policy .01 to Rule 11.13 in Connection With a Risk Setting That Users May Elect To Apply to Their Orders in Hard To Borrow Securities2021-11-29T00:00:00-08:002021-11-29T00:00:00-08:002021-25877Noticehttps://www.govinfo.gov/content/pkg/FR-2021-11-29/pdf/2021-25877.pdfhttps://regulations.justia.com/regulations/fedreg/2021/11/29/2021-25871.htmlNotice - Privacy Act of 1974; System of Records2021-11-29T00:00:00-08:002021-11-29T00:00:00-08:002021-25871Noticehttps://www.govinfo.gov/content/pkg/FR-2021-11-29/pdf/2021-25871.pdfhttps://regulations.justia.com/regulations/fedreg/2021/11/29/2021-25862.htmlNotice - Bain Capital Specialty Finance, Inc., et al.2021-11-29T00:00:00-08:002021-11-29T00:00:00-08:002021-25862Noticehttps://www.govinfo.gov/content/pkg/FR-2021-11-29/pdf/2021-25862.pdfhttps://regulations.justia.com/regulations/fedreg/2021/11/29/2021-25745.htmlNotice - Consolidated Tape Association; Notice of Filing of the Thirty-Seventh Substantive Amendment to the Second Restatement of the CTA Plan and Twenty-Eighth Substantive Amendment to the Restated CQ Plan2021-11-29T00:00:00-08:002021-11-29T00:00:00-08:002021-25745Noticehttps://www.govinfo.gov/content/pkg/FR-2021-11-29/pdf/2021-25745.pdfhttps://regulations.justia.com/regulations/fedreg/2021/11/26/2021-25759.htmlNotice - Self-Regulatory Organizations; MIAX Emerald, LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Its Fee Schedule2021-11-26T00:00:00-08:002021-11-26T00:00:00-08:002021-25759Noticehttps://www.govinfo.gov/content/pkg/FR-2021-11-26/pdf/2021-25759.pdfhttps://regulations.justia.com/regulations/fedreg/2021/11/26/2021-25758.htmlNotice - Self-Regulatory Organizations; Miami International Securities Exchange LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Its Fee Schedule2021-11-26T00:00:00-08:002021-11-26T00:00:00-08:002021-25758Noticehttps://www.govinfo.gov/content/pkg/FR-2021-11-26/pdf/2021-25758.pdfhttps://regulations.justia.com/regulations/fedreg/2021/11/26/2021-25757.htmlNotice - Self-Regulatory Organizations; MIAX PEARL, LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Its Fee Schedule2021-11-26T00:00:00-08:002021-11-26T00:00:00-08:002021-25757Noticehttps://www.govinfo.gov/content/pkg/FR-2021-11-26/pdf/2021-25757.pdfhttps://regulations.justia.com/regulations/fedreg/2021/11/26/2021-25756.htmlNotice - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Extend the Implementation Date of Certain Amendments to FINRA Rule 4210 Approved Pursuant to SR-FINRA-2015-0362021-11-26T00:00:00-08:002021-11-26T00:00:00-08:002021-25756Noticehttps://www.govinfo.gov/content/pkg/FR-2021-11-26/pdf/2021-25756.pdfhttps://regulations.justia.com/regulations/fedreg/2021/11/26/2021-25755.htmlNotice - Self-Regulatory Organizations; New York Stock Exchange LLC; Order Approving of a Proposed Rule Change To Amend the Shareholder Voting Requirement Set Forth in Section 312.07 of the NYSE Listed Company Manual2021-11-26T00:00:00-08:002021-11-26T00:00:00-08:002021-25755Noticehttps://www.govinfo.gov/content/pkg/FR-2021-11-26/pdf/2021-25755.pdfhttps://regulations.justia.com/regulations/fedreg/2021/11/26/2021-25754.htmlNotice - Self-Regulatory Organizations; Nasdaq PHLX LLC; Order Approving a Proposed Rule Change To Amend Options 4A, Section 12 Regarding the Calculation of the Closing Volume Weighted Average Price for Options on the Nasdaq-100® Volatility Index in Certain Circumstances2021-11-26T00:00:00-08:002021-11-26T00:00:00-08:002021-25754Noticehttps://www.govinfo.gov/content/pkg/FR-2021-11-26/pdf/2021-25754.pdfhttps://regulations.justia.com/regulations/fedreg/2021/11/26/2021-25753.htmlNotice - Self-Regulatory Organizations: Investors Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Modify the Definition of a Retail Order for the Retail Price Improvement Program2021-11-26T00:00:00-08:002021-11-26T00:00:00-08:002021-25753Noticehttps://www.govinfo.gov/content/pkg/FR-2021-11-26/pdf/2021-25753.pdfhttps://regulations.justia.com/regulations/fedreg/2021/11/26/2021-25752.htmlNotice - Consolidated Tape Association; Notice of Filing of the Twenty-Fifth Charges Amendment to the Second Restatement of the CTA Plan and Sixteenth Charges Amendment to the Restated CQ Plan2021-11-26T00:00:00-08:002021-11-26T00:00:00-08:002021-25752Noticehttps://www.govinfo.gov/content/pkg/FR-2021-11-26/pdf/2021-25752.pdfhttps://regulations.justia.com/regulations/fedreg/2021/11/26/2021-25751.htmlNotice - Self-Regulatory Organizations; Cboe BZX Exchange, Inc.; Notice of Filing of Amendment No. 2 and Order Granting Accelerated Approval of a Proposed Rule Change, as Modified by Amendment No. 2, To Allow the Invesco Focused Discovery Growth ETF and Invesco Select Growth ETF To Strike and Publish an Intra-Day Net Asset Value2021-11-26T00:00:00-08:002021-11-26T00:00:00-08:002021-25751Noticehttps://www.govinfo.gov/content/pkg/FR-2021-11-26/pdf/2021-25751.pdfhttps://regulations.justia.com/regulations/fedreg/2021/11/26/2021-25750.htmlNotice - Self-Regulatory Organizations; The Nasdaq Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Adopt Alternative Initial and Continued Listing Requirements for Acquisition Companies Listing on the Nasdaq Global Market2021-11-26T00:00:00-08:002021-11-26T00:00:00-08:002021-25750Noticehttps://www.govinfo.gov/content/pkg/FR-2021-11-26/pdf/2021-25750.pdfhttps://regulations.justia.com/regulations/fedreg/2021/11/26/2021-25749.htmlNotice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the NYSE Arca Equities Fees and Charges2021-11-26T00:00:00-08:002021-11-26T00:00:00-08:002021-25749Noticehttps://www.govinfo.gov/content/pkg/FR-2021-11-26/pdf/2021-25749.pdfhttps://regulations.justia.com/regulations/fedreg/2021/11/26/2021-25748.htmlNotice - Joint Industry Plan; Notice of Filing of the Fifty-First 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 Basis2021-11-26T00:00:00-08:002021-11-26T00:00:00-08:002021-25748Noticehttps://www.govinfo.gov/content/pkg/FR-2021-11-26/pdf/2021-25748.pdfhttps://regulations.justia.com/regulations/fedreg/2021/11/26/2021-25747.htmlNotice - Joint Industry Plan; Notice of Filing of the Fifty-Second 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 Basis2021-11-26T00:00:00-08:002021-11-26T00:00:00-08:002021-25747Noticehttps://www.govinfo.gov/content/pkg/FR-2021-11-26/pdf/2021-25747.pdfhttps://regulations.justia.com/regulations/fedreg/2021/11/26/2021-25746.htmlNotice - Self-Regulatory Organizations; Cboe BZX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend How the BZX Official Closing Price Is Determined for a BZX-Listed Security That Is Not a Corporate Security, Pursuant to Rule 11.23(c)(2)(B)(ii)(b)2021-11-26T00:00:00-08:002021-11-26T00:00:00-08:002021-25746Noticehttps://www.govinfo.gov/content/pkg/FR-2021-11-26/pdf/2021-25746.pdfhttps://regulations.justia.com/regulations/fedreg/2021/11/26/2021-25722.htmlNotice - Bow River Capital Evergreen Fund, et al.2021-11-26T00:00:00-08:002021-11-26T00:00:00-08:002021-25722Noticehttps://www.govinfo.gov/content/pkg/FR-2021-11-26/pdf/2021-25722.pdfhttps://regulations.justia.com/regulations/fedreg/2021/11/26/2021-25420.htmlProposed Rule - Proxy Voting Advice2021-11-26T00:00:00-08:002021-11-26T00:00:00-08:002021-25420Proposed Rulehttps://www.govinfo.gov/content/pkg/FR-2021-11-26/pdf/2021-25420.pdfhttps://regulations.justia.com/regulations/fedreg/2021/11/24/2021-25628.htmlNotice - MVP Private Markets Fund, et al.2021-11-24T00:00:00-08:002021-11-24T00:00:00-08:002021-25628Noticehttps://www.govinfo.gov/content/pkg/FR-2021-11-24/pdf/2021-25628.pdfhttps://regulations.justia.com/regulations/fedreg/2021/11/24/2021-25625.htmlNotice - Self-Regulatory Organizations; Cboe BZX Exchange, Inc.; Order Instituting Proceedings To Determine Whether To Approve or Disapprove a Proposed Rule Change To List and Trade Shares of the Global X Bitcoin Trust Under BZX Rule 14.11(e)(4), Commodity-Based Trust Shares2021-11-24T00:00:00-08:002021-11-24T00:00:00-08:002021-25625Noticehttps://www.govinfo.gov/content/pkg/FR-2021-11-24/pdf/2021-25625.pdfhttps://regulations.justia.com/regulations/fedreg/2021/11/24/2021-25624.htmlNotice - Self-Regulatory Organizations; The Options Clearing Corporation; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Correct an Inadvertent Omission in a Prior Proposed Rule Change Concerning OCC's Schedule of Fees2021-11-24T00:00:00-08:002021-11-24T00:00:00-08:002021-25624Noticehttps://www.govinfo.gov/content/pkg/FR-2021-11-24/pdf/2021-25624.pdfhttps://regulations.justia.com/regulations/fedreg/2021/11/24/2021-25623.htmlNotice - Self-Regulatory Organizations; ICE Clear Credit LLC; Order Approving Proposed Rule Change Relating to the Stress Testing Framework and the Indirect Participant Risk Monitoring and Review Policy2021-11-24T00:00:00-08:002021-11-24T00:00:00-08:002021-25623Noticehttps://www.govinfo.gov/content/pkg/FR-2021-11-24/pdf/2021-25623.pdfhttps://regulations.justia.com/regulations/fedreg/2021/11/23/2021-25479.htmlNotice - Self-Regulatory Organizations; ICE Clear Europe Limited; Order Approving Proposed Rule Change Relating to Amendments to the ICE Clear Europe Collateral and Haircut Procedures2021-11-23T00:00:00-08:002021-11-23T00:00:00-08:002021-25479Noticehttps://www.govinfo.gov/content/pkg/FR-2021-11-23/pdf/2021-25479.pdfhttps://regulations.justia.com/regulations/fedreg/2021/11/23/2021-25478.htmlNotice - Self-Regulatory Organizations; The Nasdaq Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend FINRA Fees2021-11-23T00:00:00-08:002021-11-23T00:00:00-08:002021-25478Noticehttps://www.govinfo.gov/content/pkg/FR-2021-11-23/pdf/2021-25478.pdfhttps://regulations.justia.com/regulations/fedreg/2021/11/23/2021-25477.htmlNotice - Self-Regulatory Organizations; Cboe Futures Exchange, LLC; Notice of a Filing of a Proposed Rule Change Regarding Block Trade Recordkeeping Requirements2021-11-23T00:00:00-08:002021-11-23T00:00:00-08:002021-25477Noticehttps://www.govinfo.gov/content/pkg/FR-2021-11-23/pdf/2021-25477.pdf