Federal Register Recent Federal Regulation Documents - Justia Regulation Tracker - Justia Regulations Trackerhttps://regulations.justia.com/regulations/fedreg/agencies/securities-and-exchange-commission/2020/01?limit=200®isters=between&min-day=1&max-day=31&mode=atom2024-05-02T05:51:06-07:00Justia Inchttps://www.justia.com/Justia Regulations Trackerhttps://regulations.justia.com/images/justiafedregulations.gifCopyright 2011 Justia Inchttps://regulations.justia.com/regulations/fedreg/2020/01/31/2020-02018.htmlNotice - Sunshine Act Meetings2020-01-31T00:00:00-08:002020-01-31T00:00:00-08:002020-02018Noticehttps://www.govinfo.gov/content/pkg/FR-2020-01-31/pdf/2020-02018.pdfhttps://regulations.justia.com/regulations/fedreg/2020/01/31/2020-02017.htmlNotice - Sunshine Act Meetings2020-01-31T00:00:00-08:002020-01-31T00:00:00-08:002020-02017Noticehttps://www.govinfo.gov/content/pkg/FR-2020-01-31/pdf/2020-02017.pdfhttps://regulations.justia.com/regulations/fedreg/2020/01/31/2020-01787.htmlNotice - Self-Regulatory Organizations; Miami Emerald, LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Its Fee Schedule2020-01-31T00:00:00-08:002020-01-31T00:00:00-08:002020-01787Noticehttps://www.govinfo.gov/content/pkg/FR-2020-01-31/pdf/2020-01787.pdfhttps://regulations.justia.com/regulations/fedreg/2020/01/31/2020-01786.htmlNotice - Self-Regulatory Organizations; The Depository Trust Company; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Decommission the Web Inquiry Notification System and Make Other Related and Technical Changes2020-01-31T00:00:00-08:002020-01-31T00:00:00-08:002020-01786Noticehttps://www.govinfo.gov/content/pkg/FR-2020-01-31/pdf/2020-01786.pdfhttps://regulations.justia.com/regulations/fedreg/2020/01/31/2020-01785.htmlNotice - Self-Regulatory Organizations; The Depository Trust Company; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the DTC Fee Guide2020-01-31T00:00:00-08:002020-01-31T00:00:00-08:002020-01785Noticehttps://www.govinfo.gov/content/pkg/FR-2020-01-31/pdf/2020-01785.pdfhttps://regulations.justia.com/regulations/fedreg/2020/01/31/2020-01784.htmlNotice - Self-Regulatory Organizations; ICE Clear Credit LLC; Notice of Filing of Proposed Rule Change, Security-Based Swap Submission, or Advance Notice Relating to the ICC Risk Management Model Description, ICC Stress Testing Framework, ICC Liquidity Risk Management Framework, ICC Back-Testing Framework, and ICC Risk Parameter Setting and Review Policy2020-01-31T00:00:00-08:002020-01-31T00:00:00-08:002020-01784Noticehttps://www.govinfo.gov/content/pkg/FR-2020-01-31/pdf/2020-01784.pdfhttps://regulations.justia.com/regulations/fedreg/2020/01/31/2020-01783.htmlNotice - Self-Regulatory Organizations; The Nasdaq Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Regarding Certain Changes to Investments of the First Trust TCW Opportunistic Fixed Income ETF2020-01-31T00:00:00-08:002020-01-31T00:00:00-08:002020-01783Noticehttps://www.govinfo.gov/content/pkg/FR-2020-01-31/pdf/2020-01783.pdfhttps://regulations.justia.com/regulations/fedreg/2020/01/31/2020-01782.htmlNotice - Self-Regulatory Organizations; Cboe BYX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Delete Partial Post Only at Limit Orders and References to Those Orders From the Rules2020-01-31T00:00:00-08:002020-01-31T00:00:00-08:002020-01782Noticehttps://www.govinfo.gov/content/pkg/FR-2020-01-31/pdf/2020-01782.pdfhttps://regulations.justia.com/regulations/fedreg/2020/01/31/2020-01781.htmlNotice - Self-Regulatory Organizations; Cboe BZX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Delete Partial Post Only at Limit Orders and References to Those Orders From the Rules2020-01-31T00:00:00-08:002020-01-31T00:00:00-08:002020-01781Noticehttps://www.govinfo.gov/content/pkg/FR-2020-01-31/pdf/2020-01781.pdfhttps://regulations.justia.com/regulations/fedreg/2020/01/31/2020-01780.htmlNotice - Self-Regulatory Organizations: Miami International Securities Exchange LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Its Fee Schedule2020-01-31T00:00:00-08:002020-01-31T00:00:00-08:002020-01780Noticehttps://www.govinfo.gov/content/pkg/FR-2020-01-31/pdf/2020-01780.pdfhttps://regulations.justia.com/regulations/fedreg/2020/01/31/2020-01779.htmlNotice - Self-Regulatory Organizations; Cboe EDGX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Extend the Pilot Programs in Connection With the Listing and Trading of P.M.-Settled Series on Certain Broad-Based Index Options2020-01-31T00:00:00-08:002020-01-31T00:00:00-08:002020-01779Noticehttps://www.govinfo.gov/content/pkg/FR-2020-01-31/pdf/2020-01779.pdfhttps://regulations.justia.com/regulations/fedreg/2020/01/31/2020-01778.htmlNotice - Self-Regulatory Organizations; Cboe BZX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Extend the Pilot Programs in Connection With the Listing and Trading of P.M.-Settled Series on Certain Broad-Based Index Options2020-01-31T00:00:00-08:002020-01-31T00:00:00-08:002020-01778Noticehttps://www.govinfo.gov/content/pkg/FR-2020-01-31/pdf/2020-01778.pdfhttps://regulations.justia.com/regulations/fedreg/2020/01/31/2020-01517.htmlNotice - Self-Regulatory Organizations; LCH SA; Notice of Filing of Partial Amendment No. 1 and Order Granting Accelerated Approval of Proposed Rule Change, as Modified by Partial Amendment No. 1, Relating to Amendments to CDS Clearing Supplement To Reflect the ISDA NTCE Protocol and Supplement2020-01-31T00:00:00-08:002020-01-31T00:00:00-08:002020-01517Noticehttps://www.govinfo.gov/content/pkg/FR-2020-01-31/pdf/2020-01517.pdfhttps://regulations.justia.com/regulations/fedreg/2020/01/30/2020-01649.htmlNotice - Self-Regulatory Organizations; LCH SA; Order Approving Proposed Rule Change Relating to Amendments to LCH SA's Liquidity Risk Modelling Framework2020-01-30T00:00:00-08:002020-01-30T00:00:00-08:002020-01649Noticehttps://www.govinfo.gov/content/pkg/FR-2020-01-30/pdf/2020-01649.pdfhttps://regulations.justia.com/regulations/fedreg/2020/01/30/2020-01648.htmlNotice - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend FINRA Rule 11900 To Except Certain Transactions in Corporate Debt Securities2020-01-30T00:00:00-08:002020-01-30T00:00:00-08:002020-01648Noticehttps://www.govinfo.gov/content/pkg/FR-2020-01-30/pdf/2020-01648.pdfhttps://regulations.justia.com/regulations/fedreg/2020/01/30/2020-01647.htmlNotice - Self-Regulatory Organizations; Nasdaq PHLX LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Phlx's Pricing Schedule2020-01-30T00:00:00-08:002020-01-30T00:00:00-08:002020-01647Noticehttps://www.govinfo.gov/content/pkg/FR-2020-01-30/pdf/2020-01647.pdfhttps://regulations.justia.com/regulations/fedreg/2020/01/30/2020-01646.htmlNotice - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing of Proposed Rule Change To Add New Rule 46B To Permit the Appointment of Regulatory Trading Officials and Amend Rules 47 and 752020-01-30T00:00:00-08:002020-01-30T00:00:00-08:002020-01646Noticehttps://www.govinfo.gov/content/pkg/FR-2020-01-30/pdf/2020-01646.pdfhttps://regulations.justia.com/regulations/fedreg/2020/01/30/2020-01645.htmlNotice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing of Proposed Rule Change Relating to Listing and Trading of Shares of the SPDR SSGA Responsible Reserves ESG ETF under NYSE Arca Rule 8.600-E2020-01-30T00:00:00-08:002020-01-30T00:00:00-08:002020-01645Noticehttps://www.govinfo.gov/content/pkg/FR-2020-01-30/pdf/2020-01645.pdfhttps://regulations.justia.com/regulations/fedreg/2020/01/30/2020-01644.htmlNotice - Self-Regulatory Organizations; The Options Clearing Corporation; Notice of Filing of Proposed Rule Change To Modify the Fees for Exercise Notices Submitted After the Deadlines and To Change the Deadline for Submitting a Late Exercise Notice on Non-Expiration Dates2020-01-30T00:00:00-08:002020-01-30T00:00:00-08:002020-01644Noticehttps://www.govinfo.gov/content/pkg/FR-2020-01-30/pdf/2020-01644.pdfhttps://regulations.justia.com/regulations/fedreg/2020/01/30/2020-01643.htmlNotice - Self-Regulatory Organizations; The Options Clearing Corporation; Order Approving Proposed Rule Change, as Modified by Partial Amendment No. 1, Concerning a Proposed Capital Management Policy That Would Support The Options Clearing Corporation's Function as a Systemically Important Financial Market Utility2020-01-30T00:00:00-08:002020-01-30T00:00:00-08:002020-01643Noticehttps://www.govinfo.gov/content/pkg/FR-2020-01-30/pdf/2020-01643.pdfhttps://regulations.justia.com/regulations/fedreg/2020/01/30/2020-01642.htmlNotice - Self-Regulatory Organizations; The Nasdaq Stock Market LLC; Notice of Designation of a Longer Period for Commission Action on a Proposed Rule Change To Adopt a New Rule Permitting Nasdaq To Halt Trading in a Security and Request Information From the Company Regarding the Number of Unrestricted Publicly Held Shares in Certain Circumstances2020-01-30T00:00:00-08:002020-01-30T00:00:00-08:002020-01642Noticehttps://www.govinfo.gov/content/pkg/FR-2020-01-30/pdf/2020-01642.pdfhttps://regulations.justia.com/regulations/fedreg/2020/01/30/2020-01611.htmlNotice - Securities Investor Protection Corporation; Notice of Filing of Proposed Bylaw Change, as Revised by Amendment No. 1, Relating to SIPC Board Compensation; Correction2020-01-30T00:00:00-08:002020-01-30T00:00:00-08:002020-01611Noticehttps://www.govinfo.gov/content/pkg/FR-2020-01-30/pdf/2020-01611.pdfhttps://regulations.justia.com/regulations/fedreg/2020/01/30/2020-01610.htmlNotice - Securities Investor Protection Corporation; Notice of Filing of Proposed Bylaw Changes Relating to SIPC Member Assessments; Correction2020-01-30T00:00:00-08:002020-01-30T00:00:00-08:002020-01610Noticehttps://www.govinfo.gov/content/pkg/FR-2020-01-30/pdf/2020-01610.pdfhttps://regulations.justia.com/regulations/fedreg/2020/01/29/2020-01521.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 FINRA Rule 0180 (Application of Rules to Security-Based Swaps)2020-01-29T00:00:00-08:002020-01-29T00:00:00-08:002020-01521Noticehttps://www.govinfo.gov/content/pkg/FR-2020-01-29/pdf/2020-01521.pdfhttps://regulations.justia.com/regulations/fedreg/2020/01/29/2020-01520.htmlNotice - Self-Regulatory Organizations; Nasdaq MRX, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend MRX Pricing Schedule2020-01-29T00:00:00-08:002020-01-29T00:00:00-08:002020-01520Noticehttps://www.govinfo.gov/content/pkg/FR-2020-01-29/pdf/2020-01520.pdfhttps://regulations.justia.com/regulations/fedreg/2020/01/29/2020-01519.htmlNotice - Self-Regulatory Organizations; Cboe BZX Exchange, Inc.; Notice of Withdrawal of a Proposed Rule Change To Allow the JPMorgan Core Plus Bond ETF of the J.P. Morgan Exchange-Traded Fund Trust To Hold Certain Instruments in a Manner That May Not Comply With Rule 14.11(i), Managed Fund Shares2020-01-29T00:00:00-08:002020-01-29T00:00:00-08:002020-01519Noticehttps://www.govinfo.gov/content/pkg/FR-2020-01-29/pdf/2020-01519.pdfhttps://regulations.justia.com/regulations/fedreg/2020/01/29/2020-01518.htmlNotice - Self-Regulatory Organizations; Cboe C2 Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating To Amend Rule 6.31 in Connection with the Exchange's Clearing Editor2020-01-29T00:00:00-08:002020-01-29T00:00:00-08:002020-01518Noticehttps://www.govinfo.gov/content/pkg/FR-2020-01-29/pdf/2020-01518.pdfhttps://regulations.justia.com/regulations/fedreg/2020/01/29/2020-01516.htmlNotice - Self-Regulatory Organizations: MIAX PEARL, LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the MIAX PEARL Fee Schedule2020-01-29T00:00:00-08:002020-01-29T00:00:00-08:002020-01516Noticehttps://www.govinfo.gov/content/pkg/FR-2020-01-29/pdf/2020-01516.pdfhttps://regulations.justia.com/regulations/fedreg/2020/01/28/2020-01453.htmlNotice - Joint Industry Plan; Notice of Filing of the Forty-Fifth 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 Basis2020-01-28T00:00:00-08:002020-01-28T00:00:00-08:002020-01453Noticehttps://www.govinfo.gov/content/pkg/FR-2020-01-28/pdf/2020-01453.pdfhttps://regulations.justia.com/regulations/fedreg/2020/01/28/2020-01452.htmlNotice - Consolidated Tape Association; Notice of Filing of the Thirty-First Substantive Amendment to the Second Restatement of the CTA Plan2020-01-28T00:00:00-08:002020-01-28T00:00:00-08:002020-01452Noticehttps://www.govinfo.gov/content/pkg/FR-2020-01-28/pdf/2020-01452.pdfhttps://regulations.justia.com/regulations/fedreg/2020/01/28/2020-01367.htmlNotice - Self-Regulatory Organizations; ICE Clear Europe Limited; Order Approving Proposed Rule Change, as Modified by Partial Amendment No. 1, Relating to Amendments to the ICE Clear Europe CDS Procedures2020-01-28T00:00:00-08:002020-01-28T00:00:00-08:002020-01367Noticehttps://www.govinfo.gov/content/pkg/FR-2020-01-28/pdf/2020-01367.pdfhttps://regulations.justia.com/regulations/fedreg/2020/01/27/2020-01366.htmlNotice - Sunshine Act Meetings2020-01-27T00:00:00-08:002020-01-27T00:00:00-08:002020-01366Noticehttps://www.govinfo.gov/content/pkg/FR-2020-01-27/pdf/2020-01366.pdfhttps://regulations.justia.com/regulations/fedreg/2020/01/27/2020-01313.htmlNotice - SEC Small Business Capital Formation Advisory Committee2020-01-27T00:00:00-08:002020-01-27T00:00:00-08:002020-01313Noticehttps://www.govinfo.gov/content/pkg/FR-2020-01-27/pdf/2020-01313.pdfhttps://regulations.justia.com/regulations/fedreg/2020/01/27/2020-01253.htmlNotice - Self-Regulatory Organizations; Bats BZX Exchange, Inc.; Order Setting Aside Action by Delegated Authority and Approving a Proposed Rule Change, as Modified by Amendments No. 1 and 2, To Introduce Cboe Market Close, a Closing Match Process for Non-BZX Listed Securities Under New Exchange Rule 11.282020-01-27T00:00:00-08:002020-01-27T00:00:00-08:002020-01253Noticehttps://www.govinfo.gov/content/pkg/FR-2020-01-27/pdf/2020-01253.pdfhttps://regulations.justia.com/regulations/fedreg/2020/01/27/2020-01237.htmlNotice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending the Schedule of Fees and Charges To Remove the Ineligibility for Certain Discounts2020-01-27T00:00:00-08:002020-01-27T00:00:00-08:002020-01237Noticehttps://www.govinfo.gov/content/pkg/FR-2020-01-27/pdf/2020-01237.pdfhttps://regulations.justia.com/regulations/fedreg/2020/01/24/2020-01191.htmlNotice - Blackstone Alternative Investment Funds and Blackstone Alternative Investment Advisors LLC; Notice of Application2020-01-24T00:00:00-08:002020-01-24T00:00:00-08:002020-01191Noticehttps://www.govinfo.gov/content/pkg/FR-2020-01-24/pdf/2020-01191.pdfhttps://regulations.justia.com/regulations/fedreg/2020/01/24/2020-00040.htmlProposed Rule - Use of Derivatives by Registered Investment Companies and Business Development Companies; Required Due Diligence by Broker-Dealers and Registered Investment Advisers Regarding Retail Customers' Transactions in Certain Leveraged/Inverse Investment Vehicles2020-01-24T00:00:00-08:002020-01-24T00:00:00-08:002020-00040Proposed Rulehttps://www.govinfo.gov/content/pkg/FR-2020-01-24/pdf/2020-00040.pdfhttps://regulations.justia.com/regulations/fedreg/2020/01/23/2020-01097.htmlNotice - Self-Regulatory Organizations; New York Stock Exchange LLC; Order Instituting Proceedings To Determine Whether To Approve or Disapprove a Proposed Rule Change To Permit the Exchange To List and Trade Exchange Traded Products2020-01-23T00:00:00-08:002020-01-23T00:00:00-08:002020-01097Noticehttps://www.govinfo.gov/content/pkg/FR-2020-01-23/pdf/2020-01097.pdfhttps://regulations.justia.com/regulations/fedreg/2020/01/23/2020-01096.htmlNotice - Self-Regulatory Organizations; The Nasdaq Stock Market LLC; Notice of Filing of Proposed Rule Change To Amend Rule 4121(b)2020-01-23T00:00:00-08:002020-01-23T00:00:00-08:002020-01096Noticehttps://www.govinfo.gov/content/pkg/FR-2020-01-23/pdf/2020-01096.pdfhttps://regulations.justia.com/regulations/fedreg/2020/01/23/2020-01041.htmlNotice - Self-Regulatory Organizations; BOX Exchange LLC; Notice of Filing of Amendment No. 1 and Order Instituting 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 the Boston Security Token Exchange LLC2020-01-23T00:00:00-08:002020-01-23T00:00:00-08:002020-01041Noticehttps://www.govinfo.gov/content/pkg/FR-2020-01-23/pdf/2020-01041.pdfhttps://regulations.justia.com/regulations/fedreg/2020/01/23/2020-01040.htmlNotice - Self-Regulatory Organizations; Nasdaq ISE, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the Exchange's Pricing Schedule at Options 72020-01-23T00:00:00-08:002020-01-23T00:00:00-08:002020-01040Noticehttps://www.govinfo.gov/content/pkg/FR-2020-01-23/pdf/2020-01040.pdfhttps://regulations.justia.com/regulations/fedreg/2020/01/23/2020-01039.htmlNotice - Self-Regulatory Organizations; The Nasdaq Stock Market LLC; Notice of Designation of Longer Period for Commission Action on a Proposed Rule Change To Amend Rule 41212020-01-23T00:00:00-08:002020-01-23T00:00:00-08:002020-01039Noticehttps://www.govinfo.gov/content/pkg/FR-2020-01-23/pdf/2020-01039.pdfhttps://regulations.justia.com/regulations/fedreg/2020/01/23/2020-01038.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 Charges To Introduce Two New Pricing Tiers, Retail Order Step-Up Tier 3 and Retail Order Step-Up Tier 42020-01-23T00:00:00-08:002020-01-23T00:00:00-08:002020-01038Noticehttps://www.govinfo.gov/content/pkg/FR-2020-01-23/pdf/2020-01038.pdfhttps://regulations.justia.com/regulations/fedreg/2020/01/23/2020-01037.htmlNotice - Self-Regulatory Organizations; NYSE American LLC; Notice of Filing and Immediate Effectiveness of Proposed Change To Add to the Rules of the Exchange the Thirteenth Amended and Restated Operating Agreement of the New York Stock Exchange LLC2020-01-23T00:00:00-08:002020-01-23T00:00:00-08:002020-01037Noticehttps://www.govinfo.gov/content/pkg/FR-2020-01-23/pdf/2020-01037.pdfhttps://regulations.justia.com/regulations/fedreg/2020/01/23/2020-01036.htmlNotice - Self-Regulatory Organizations; Cboe BZX Exchange, Inc.; Notice of Filing of a Proposed Rule Change To List and Trade Shares of the -1x Short VIX Futures ETF, a Series of VS Trust, Under Rule 14.11(f)(4) (Trust Issued Receipts)2020-01-23T00:00:00-08:002020-01-23T00:00:00-08:002020-01036Noticehttps://www.govinfo.gov/content/pkg/FR-2020-01-23/pdf/2020-01036.pdfhttps://regulations.justia.com/regulations/fedreg/2020/01/23/2020-01035.htmlNotice - Self-Regulatory Organizations; Cboe C2 Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating To Amend Its Rules Governing the Give Up of a Clearing Trading Permit Holder by a Trading Permit Holder on Exchange Transactions2020-01-23T00:00:00-08:002020-01-23T00:00:00-08:002020-01035Noticehttps://www.govinfo.gov/content/pkg/FR-2020-01-23/pdf/2020-01035.pdfhttps://regulations.justia.com/regulations/fedreg/2020/01/23/2020-01034.htmlNotice - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing of a Proposed Rule Change To Amend the Rule 6800 Series, the Exchange's Compliance Rule Regarding the National Market System Plan Governing the Consolidated Audit Trail2020-01-23T00:00:00-08:002020-01-23T00:00:00-08:002020-01034Noticehttps://www.govinfo.gov/content/pkg/FR-2020-01-23/pdf/2020-01034.pdfhttps://regulations.justia.com/regulations/fedreg/2020/01/23/2020-01033.htmlNotice - Self-Regulatory Organizations; NYSE American LLC; Notice of Filing of Proposed Rule Change To Amend the Rule 6800 Series, the Exchange's Compliance Rule Regarding the National Market System Plan Governing the Consolidated Audit Trail2020-01-23T00:00:00-08:002020-01-23T00:00:00-08:002020-01033Noticehttps://www.govinfo.gov/content/pkg/FR-2020-01-23/pdf/2020-01033.pdfhttps://regulations.justia.com/regulations/fedreg/2020/01/23/2020-01032.htmlNotice - Self-Regulatory Organizations; NYSE Chicago, Inc.; Notice of Filing of Proposed Rule Change, as Modified by Amendment No. 1 Thereto, To Amend the Rule 6.6800 Series, the Exchange's Compliance Rule Regarding the National Market System Plan Governing the Consolidated Audit Trail2020-01-23T00:00:00-08:002020-01-23T00:00:00-08:002020-01032Noticehttps://www.govinfo.gov/content/pkg/FR-2020-01-23/pdf/2020-01032.pdfhttps://regulations.justia.com/regulations/fedreg/2020/01/23/2020-01031.htmlNotice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing of Proposed Rule Change To Amend the Rule 11.6800 Series, the Exchange's Compliance Rule Regarding the National Market System Plan Governing the Consolidated Audit Trail2020-01-23T00:00:00-08:002020-01-23T00:00:00-08:002020-01031Noticehttps://www.govinfo.gov/content/pkg/FR-2020-01-23/pdf/2020-01031.pdfhttps://regulations.justia.com/regulations/fedreg/2020/01/23/2020-01030.htmlNotice - Self-Regulatory Organizations; NYSE National, Inc.; Notice of Filing of Proposed Rule Change To Amend the Rule 6.6800 Series, the Exchange's Compliance Rule Regarding the National Market System Plan Governing the Consolidated Audit Trail2020-01-23T00:00:00-08:002020-01-23T00:00:00-08:002020-01030Noticehttps://www.govinfo.gov/content/pkg/FR-2020-01-23/pdf/2020-01030.pdfhttps://regulations.justia.com/regulations/fedreg/2020/01/23/2020-01029.htmlNotice - Self-Regulatory Organizations; Cboe BZX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating To Amend Its Rules Governing the Give Up of a Clearing Member by a User on Exchange Transactions2020-01-23T00:00:00-08:002020-01-23T00:00:00-08:002020-01029Noticehttps://www.govinfo.gov/content/pkg/FR-2020-01-23/pdf/2020-01029.pdfhttps://regulations.justia.com/regulations/fedreg/2020/01/23/2020-01024.htmlNotice - Securities Investor Protection Corporation; Notice of Filing of Proposed Bylaw Change, as Revised by Amendment No. 1, Relating to SIPC Board Compensation2020-01-23T00:00:00-08:002020-01-23T00:00:00-08:002020-01024Noticehttps://www.govinfo.gov/content/pkg/FR-2020-01-23/pdf/2020-01024.pdfhttps://regulations.justia.com/regulations/fedreg/2020/01/23/2020-01023.htmlNotice - Securities Investor Protection Corporation; Notice of Filing of Proposed Bylaw Changes Relating to SIPC Member Assessments2020-01-23T00:00:00-08:002020-01-23T00:00:00-08:002020-01023Noticehttps://www.govinfo.gov/content/pkg/FR-2020-01-23/pdf/2020-01023.pdfhttps://regulations.justia.com/regulations/fedreg/2020/01/22/2020-00918.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 Charges To Introduce a New Lead Market Maker Credit2020-01-22T00:00:00-08:002020-01-22T00:00:00-08:002020-00918Noticehttps://www.govinfo.gov/content/pkg/FR-2020-01-22/pdf/2020-00918.pdfhttps://regulations.justia.com/regulations/fedreg/2020/01/22/2020-00917.htmlNotice - Self-Regulatory Organizations; The Nasdaq Stock Market LLC; Notice of Filing of Proposed Rule Change To Modify the Delisting Process for Securities With a Bid Price Below $0.10 and for Securities That Have Had One or More Reverse Stock Splits With a Cumulative Ratio of 250 or More to One Over the Prior Two Year Period2020-01-22T00:00:00-08:002020-01-22T00:00:00-08:002020-00917Noticehttps://www.govinfo.gov/content/pkg/FR-2020-01-22/pdf/2020-00917.pdfhttps://regulations.justia.com/regulations/fedreg/2020/01/22/2020-00915.htmlNotice - Self-Regulatory Organizations; ICE Clear Credit LLC; Order Approving Proposed Rule Change Relating to the ICC Clearing Rules To Reflect the ISDA NTCE Supplement2020-01-22T00:00:00-08:002020-01-22T00:00:00-08:002020-00915Noticehttps://www.govinfo.gov/content/pkg/FR-2020-01-22/pdf/2020-00915.pdfhttps://regulations.justia.com/regulations/fedreg/2020/01/22/2020-00914.htmlNotice - Self-Regulatory Organizations; Cboe EDGX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating To Amend Its Rules Governing the Give Up of a Clearing Member by a User on Exchange Transactions2020-01-22T00:00:00-08:002020-01-22T00:00:00-08:002020-00914Noticehttps://www.govinfo.gov/content/pkg/FR-2020-01-22/pdf/2020-00914.pdfhttps://regulations.justia.com/regulations/fedreg/2020/01/21/2020-00806.htmlNotice - Self-Regulatory Organizations; ICE Clear Credit LLC; Notice of Filing of Proposed Rule Change, Security-Based Swap Submission, or Advance Notice Relating to the ICC Clearing Rules2020-01-21T00:00:00-08:002020-01-21T00:00:00-08:002020-00806Noticehttps://www.govinfo.gov/content/pkg/FR-2020-01-21/pdf/2020-00806.pdfhttps://regulations.justia.com/regulations/fedreg/2020/01/21/2020-00805.htmlNotice - First Eagle BDC, LLC, et al.2020-01-21T00:00:00-08:002020-01-21T00:00:00-08:002020-00805Noticehttps://www.govinfo.gov/content/pkg/FR-2020-01-21/pdf/2020-00805.pdfhttps://regulations.justia.com/regulations/fedreg/2020/01/21/2020-00804.htmlNotice - Self-Regulatory Organizations; Cboe BYX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Its Fee Schedule2020-01-21T00:00:00-08:002020-01-21T00:00:00-08:002020-00804Noticehttps://www.govinfo.gov/content/pkg/FR-2020-01-21/pdf/2020-00804.pdfhttps://regulations.justia.com/regulations/fedreg/2020/01/21/2020-00803.htmlNotice - Self-Regulatory Organizations; Cboe Exchange, 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 Nos. 1 and 2, Regarding Off-Floor Position Transfers2020-01-21T00:00:00-08:002020-01-21T00:00:00-08:002020-00803Noticehttps://www.govinfo.gov/content/pkg/FR-2020-01-21/pdf/2020-00803.pdfhttps://regulations.justia.com/regulations/fedreg/2020/01/21/2020-00802.htmlNotice - Self-Regulatory Organizations; Miami International Securities Exchange LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Its Fee Schedule2020-01-21T00:00:00-08:002020-01-21T00:00:00-08:002020-00802Noticehttps://www.govinfo.gov/content/pkg/FR-2020-01-21/pdf/2020-00802.pdfhttps://regulations.justia.com/regulations/fedreg/2020/01/21/2020-00801.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 Alternative $10,000 Monthly Fee Cap for Executions at the Open2020-01-21T00:00:00-08:002020-01-21T00:00:00-08:002020-00801Noticehttps://www.govinfo.gov/content/pkg/FR-2020-01-21/pdf/2020-00801.pdfhttps://regulations.justia.com/regulations/fedreg/2020/01/21/2020-00800.htmlNotice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing of Amendment No. 2 and Order Granting Accelerated Approval of a Proposed Rule Change, as Modified by Amendment No. 2, Regarding Investments of the Janus Henderson Mortgage-Backed Securities ETF2020-01-21T00:00:00-08:002020-01-21T00:00:00-08:002020-00800Noticehttps://www.govinfo.gov/content/pkg/FR-2020-01-21/pdf/2020-00800.pdfhttps://regulations.justia.com/regulations/fedreg/2020/01/17/2020-00799.htmlNotice - Sunshine Act Meetings2020-01-17T00:00:00-08:002020-01-17T00:00:00-08:002020-00799Noticehttps://www.govinfo.gov/content/pkg/FR-2020-01-17/pdf/2020-00799.pdfhttps://regulations.justia.com/regulations/fedreg/2020/01/17/2020-00696.htmlNotice - Fixed Income Market Structure Advisory Committee2020-01-17T00:00:00-08:002020-01-17T00:00:00-08:002020-00696Noticehttps://www.govinfo.gov/content/pkg/FR-2020-01-17/pdf/2020-00696.pdfhttps://regulations.justia.com/regulations/fedreg/2020/01/17/2020-00685.htmlNotice - Self-Regulatory Organizations; Cboe Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Its Fees Schedule Related To Expiring Fee Waivers and Incentive Programs2020-01-17T00:00:00-08:002020-01-17T00:00:00-08:002020-00685Noticehttps://www.govinfo.gov/content/pkg/FR-2020-01-17/pdf/2020-00685.pdfhttps://regulations.justia.com/regulations/fedreg/2020/01/17/2020-00684.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 Extend a Waiver of New Firm Application Fees for Certain Applications and of Bond Trading License Fees and To Discontinue the Liquidity Provider Incentive Program and the Agency Order Rebate Program2020-01-17T00:00:00-08:002020-01-17T00:00:00-08:002020-00684Noticehttps://www.govinfo.gov/content/pkg/FR-2020-01-17/pdf/2020-00684.pdfhttps://regulations.justia.com/regulations/fedreg/2020/01/17/2020-00683.htmlNotice - Self-Regulatory Organizations; Cboe BZX Exchange, Inc.; 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 Clearbridge Small Cap Value ETF Under BZX Rule 14.11(k)2020-01-17T00:00:00-08:002020-01-17T00:00:00-08:002020-00683Noticehttps://www.govinfo.gov/content/pkg/FR-2020-01-17/pdf/2020-00683.pdfhttps://regulations.justia.com/regulations/fedreg/2020/01/17/2020-00682.htmlNotice - Self-Regulatory Organizations; Investors Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Correct Three Typographical Errors in IEX Rules 11.190(e) and 11.220(a)(7)2020-01-17T00:00:00-08:002020-01-17T00:00:00-08:002020-00682Noticehttps://www.govinfo.gov/content/pkg/FR-2020-01-17/pdf/2020-00682.pdfhttps://regulations.justia.com/regulations/fedreg/2020/01/17/2020-00681.htmlNotice - Self-Regulatory Organizations; Cboe BZX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating To Amend Its Fee Schedule2020-01-17T00:00:00-08:002020-01-17T00:00:00-08:002020-00681Noticehttps://www.govinfo.gov/content/pkg/FR-2020-01-17/pdf/2020-00681.pdfhttps://regulations.justia.com/regulations/fedreg/2020/01/16/2020-00589.htmlNotice - Self-Regulatory Organizations; MIAX PEARL, LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend, Reorganize and Enhance Its Membership, Registration and Qualification Rules and Consolidate These Rules Into New Chapter XXXI Registration, Qualification and Continuing Education2020-01-16T00:00:00-08:002020-01-16T00:00:00-08:002020-00589Noticehttps://www.govinfo.gov/content/pkg/FR-2020-01-16/pdf/2020-00589.pdfhttps://regulations.justia.com/regulations/fedreg/2020/01/16/2020-00588.htmlNotice - Self-Regulatory Organizations; BOX Exchange LLC; Notice of Withdrawal of Proposed Rule Change To Amend the Fee Schedule on the BOX Options Market LLC Facility To Establish BOX Connectivity Fees for Participants and Non-Participants Who Connect to the BOX Network2020-01-16T00:00:00-08:002020-01-16T00:00:00-08:002020-00588Noticehttps://www.govinfo.gov/content/pkg/FR-2020-01-16/pdf/2020-00588.pdfhttps://regulations.justia.com/regulations/fedreg/2020/01/16/2020-00586.htmlNotice - Self-Regulatory Organizations; MIAX Emerald, LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend, Reorganize and Enhance Its Membership, Registration and Qualification Rules and Consolidate These Rules Into New Chapter XIX Registration, Qualification and Continuing Education2020-01-16T00:00:00-08:002020-01-16T00:00:00-08:002020-00586Noticehttps://www.govinfo.gov/content/pkg/FR-2020-01-16/pdf/2020-00586.pdfhttps://regulations.justia.com/regulations/fedreg/2020/01/16/2020-00568.htmlNotice - Order Extending Temporary Exemptions From Exchange Act Section 8 and Exchange Act Rules 8c-1, 10b-16, 15a-1, 15c2-1 and 15c2-5 in Connection With the Revision of the Definition of “Security” To Encompass Security-Based Swaps2020-01-16T00:00:00-08:002020-01-16T00:00:00-08:002020-00568Noticehttps://www.govinfo.gov/content/pkg/FR-2020-01-16/pdf/2020-00568.pdfhttps://regulations.justia.com/regulations/fedreg/2020/01/16/2020-00559.htmlNotice - Submission for OMB Review; Comment Request2020-01-16T00:00:00-08:002020-01-16T00:00:00-08:002020-00559Noticehttps://www.govinfo.gov/content/pkg/FR-2020-01-16/pdf/2020-00559.pdfhttps://regulations.justia.com/regulations/fedreg/2020/01/15/2020-00485.htmlNotice - Self-Regulatory Organizations; NYSE National, Inc.; Notice of Filing of Amendment No. 1 to Proposed Rule Change Amending the Exchange's Price List Related to Co-Location Services in the Mahwah, New Jersey Data Center2020-01-15T00:00:00-08:002020-01-15T00:00:00-08:002020-00485Noticehttps://www.govinfo.gov/content/pkg/FR-2020-01-15/pdf/2020-00485.pdfhttps://regulations.justia.com/regulations/fedreg/2020/01/15/2020-00484.htmlNotice - Self-Regulatory Organizations; NYSE American LLC; Notice of Filing of Amendment No. 1 to Proposed Rule Change Amending the NYSE American Equities Price List and the NYSE American Options Fee Schedule Related to Co-Location Services in the Mahwah, New Jersey Data Center2020-01-15T00:00:00-08:002020-01-15T00:00:00-08:002020-00484Noticehttps://www.govinfo.gov/content/pkg/FR-2020-01-15/pdf/2020-00484.pdfhttps://regulations.justia.com/regulations/fedreg/2020/01/15/2020-00483.htmlNotice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing of Amendment No. 1 to Proposed Rule Change Amending the NYSE Arca Options Fees and Charges and the NYSE Arca Equities Fees and Charges Related to Co-location Services in the Mahwah, New Jersey Data Center2020-01-15T00:00:00-08:002020-01-15T00:00:00-08:002020-00483Noticehttps://www.govinfo.gov/content/pkg/FR-2020-01-15/pdf/2020-00483.pdfhttps://regulations.justia.com/regulations/fedreg/2020/01/15/2020-00482.htmlNotice - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing of Amendment No. 1 to Proposed Rule Change Amending the Exchange's Price List Related to Co-Location Services in the Mahwah, New Jersey Data Center2020-01-15T00:00:00-08:002020-01-15T00:00:00-08:002020-00482Noticehttps://www.govinfo.gov/content/pkg/FR-2020-01-15/pdf/2020-00482.pdfhttps://regulations.justia.com/regulations/fedreg/2020/01/15/2020-00480.htmlNotice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Its Schedule of Fees and Charges To Modify the Annual Fees Applicable To Exchange Traded Products and Managed Fund Shares and Managed Trust Securities2020-01-15T00:00:00-08:002020-01-15T00:00:00-08:002020-00480Noticehttps://www.govinfo.gov/content/pkg/FR-2020-01-15/pdf/2020-00480.pdfhttps://regulations.justia.com/regulations/fedreg/2020/01/15/2020-00451.htmlNotice - Goldman Sachs Real Estate Diversified Income Fund, et al.2020-01-15T00:00:00-08:002020-01-15T00:00:00-08:002020-00451Noticehttps://www.govinfo.gov/content/pkg/FR-2020-01-15/pdf/2020-00451.pdfhttps://regulations.justia.com/regulations/fedreg/2020/01/15/2019-28476.htmlProposed Rule - Amendments to Rule 2-01, Qualifications of Accountants2020-01-15T00:00:00-08:002020-01-15T00:00:00-08:002019-28476Proposed Rulehttps://www.govinfo.gov/content/pkg/FR-2020-01-15/pdf/2019-28476.pdfhttps://regulations.justia.com/regulations/fedreg/2020/01/15/2019-28407.htmlProposed Rule - Disclosure of Payments by Resource Extraction Issuers2020-01-15T00:00:00-08:002020-01-15T00:00:00-08:002019-28407Proposed Rulehttps://www.govinfo.gov/content/pkg/FR-2020-01-15/pdf/2019-28407.pdfhttps://regulations.justia.com/regulations/fedreg/2020/01/15/2019-28304.htmlProposed Rule - Amending the “Accredited Investor” Definition2020-01-15T00:00:00-08:002020-01-15T00:00:00-08:002019-28304Proposed Rulehttps://www.govinfo.gov/content/pkg/FR-2020-01-15/pdf/2019-28304.pdfhttps://regulations.justia.com/regulations/fedreg/2020/01/14/2020-00423.htmlNotice - Order Making Fiscal Year 2020 Annual Adjustments to Transaction Fee Rates2020-01-14T00:00:00-08:002020-01-14T00:00:00-08:002020-00423Noticehttps://www.govinfo.gov/content/pkg/FR-2020-01-14/pdf/2020-00423.pdfhttps://regulations.justia.com/regulations/fedreg/2020/01/14/2020-00367.htmlNotice - Self-Regulatory Organizations; National Securities Clearing Corporation; Notice of Filing of Advance Notice To Issue Term Debt as Part of Its Liquidity Risk Management2020-01-14T00:00:00-08:002020-01-14T00:00:00-08:002020-00367Noticehttps://www.govinfo.gov/content/pkg/FR-2020-01-14/pdf/2020-00367.pdfhttps://regulations.justia.com/regulations/fedreg/2020/01/14/2020-00366.htmlNotice - Self-Regulatory Organizations; National Securities Clearing Corporation; Notice of Filing of Advance Notice To Enhance National Securities Clearing Corporation's Haircut-Based Volatility Charge Applicable to Municipal Bonds2020-01-14T00:00:00-08:002020-01-14T00:00:00-08:002020-00366Noticehttps://www.govinfo.gov/content/pkg/FR-2020-01-14/pdf/2020-00366.pdfhttps://regulations.justia.com/regulations/fedreg/2020/01/14/2020-00363.htmlNotice - Consolidated Tape Association; Notice of Filing of the Thirtieth Substantive Amendment to the Second Restatement of the CTA Plan and Twenty-Second Substantive Amendment to the Restated CQ Plan2020-01-14T00:00:00-08:002020-01-14T00:00:00-08:002020-00363Noticehttps://www.govinfo.gov/content/pkg/FR-2020-01-14/pdf/2020-00363.pdfhttps://regulations.justia.com/regulations/fedreg/2020/01/14/2020-00360.htmlNotice - Notice of Proposed Order Directing the Exchanges and the Financial Industry Regulatory Authority To Submit a New National Market System Plan Regarding Consolidated Equity Market Data2020-01-14T00:00:00-08:002020-01-14T00:00:00-08:002020-00360Noticehttps://www.govinfo.gov/content/pkg/FR-2020-01-14/pdf/2020-00360.pdfhttps://regulations.justia.com/regulations/fedreg/2020/01/14/2020-00359.htmlNotice - Consolidated Tape Association; Notice of Filing of the Thirty-Third Substantive Amendment to the Second Restatement of the CTA Plan and Twenty-Fourth Substantive Amendment to the Restated CQ Plan2020-01-14T00:00:00-08:002020-01-14T00:00:00-08:002020-00359Noticehttps://www.govinfo.gov/content/pkg/FR-2020-01-14/pdf/2020-00359.pdfhttps://regulations.justia.com/regulations/fedreg/2020/01/14/2020-00358.htmlNotice - Joint Industry Plan; Notice of Filing of the Forty-Seventh 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 Basis2020-01-14T00:00:00-08:002020-01-14T00:00:00-08:002020-00358Noticehttps://www.govinfo.gov/content/pkg/FR-2020-01-14/pdf/2020-00358.pdfhttps://regulations.justia.com/regulations/fedreg/2020/01/14/2020-00357.htmlNotice - Joint Industry Plan; Notice of Filing of the Forty-Fourth 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 Basis2020-01-14T00:00:00-08:002020-01-14T00:00:00-08:002020-00357Noticehttps://www.govinfo.gov/content/pkg/FR-2020-01-14/pdf/2020-00357.pdfhttps://regulations.justia.com/regulations/fedreg/2020/01/14/2020-00348.htmlNotice - Self-Regulatory Organizations; New York Stock Exchange LLC; Order Approving Proposed Rule Change To Amend Article II, Section 2.03 of the Twelfth Amended and Restated Operating Agreement of the Exchange To Remove the Independence Requirement for the Director Elected by Exchange Membership Organizations2020-01-14T00:00:00-08:002020-01-14T00:00:00-08:002020-00348Noticehttps://www.govinfo.gov/content/pkg/FR-2020-01-14/pdf/2020-00348.pdfhttps://regulations.justia.com/regulations/fedreg/2020/01/13/2020-00373.htmlNotice - Sunshine Act Meetings2020-01-13T00:00:00-08:002020-01-13T00:00:00-08:002020-00373Noticehttps://www.govinfo.gov/content/pkg/FR-2020-01-13/pdf/2020-00373.pdfhttps://regulations.justia.com/regulations/fedreg/2020/01/13/2020-00312.htmlNotice - Kayne Anderson MLP/Midstream Investment Company, et al.2020-01-13T00:00:00-08:002020-01-13T00:00:00-08:002020-00312Noticehttps://www.govinfo.gov/content/pkg/FR-2020-01-13/pdf/2020-00312.pdfhttps://regulations.justia.com/regulations/fedreg/2020/01/13/2020-00306.htmlNotice - Adjustments to Civil Monetary Penalty Amounts2020-01-13T00:00:00-08:002020-01-13T00:00:00-08:002020-00306Noticehttps://www.govinfo.gov/content/pkg/FR-2020-01-13/pdf/2020-00306.pdfhttps://regulations.justia.com/regulations/fedreg/2020/01/13/2020-00264.htmlNotice - Self-Regulatory Organizations; NYSE American LLC; Notice of Filing and Immediate Effectiveness of Proposed Change To Amend the NYSE American Options Fee Schedule Regarding the Floor Broker Prepayment Program2020-01-13T00:00:00-08:002020-01-13T00:00:00-08:002020-00264Noticehttps://www.govinfo.gov/content/pkg/FR-2020-01-13/pdf/2020-00264.pdfhttps://regulations.justia.com/regulations/fedreg/2020/01/13/2020-00263.htmlNotice - Self-Regulatory Organizations; NYSE American LLC; Notice of Filing and Immediate Effectiveness of Proposed Change To Amend the NYSE American Options Fee Schedule Regarding Fees Charged Under the Market Maker Sliding Scale2020-01-13T00:00:00-08:002020-01-13T00:00:00-08:002020-00263Noticehttps://www.govinfo.gov/content/pkg/FR-2020-01-13/pdf/2020-00263.pdfhttps://regulations.justia.com/regulations/fedreg/2020/01/13/2020-00262.htmlNotice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the NYSE Arca Options Fee Schedule Regarding the Floor Broker Prepayment Program2020-01-13T00:00:00-08:002020-01-13T00:00:00-08:002020-00262Noticehttps://www.govinfo.gov/content/pkg/FR-2020-01-13/pdf/2020-00262.pdfhttps://regulations.justia.com/regulations/fedreg/2020/01/10/2020-00204.htmlNotice - Self-Regulatory Organizations; Miami International Securities Exchange LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Its Fee Schedule2020-01-10T00:00:00-08:002020-01-10T00:00:00-08:002020-00204Noticehttps://www.govinfo.gov/content/pkg/FR-2020-01-10/pdf/2020-00204.pdfhttps://regulations.justia.com/regulations/fedreg/2020/01/10/2020-00203.htmlNotice - Self-Regulatory Organizations; Fixed Income Clearing Corporation; Notice of Filing of Proposed Rule Change Regarding the Close-Out and Funds-Only Settlement Processes Associated With the Sponsoring Member/Sponsored Member Service2020-01-10T00:00:00-08:002020-01-10T00:00:00-08:002020-00203Noticehttps://www.govinfo.gov/content/pkg/FR-2020-01-10/pdf/2020-00203.pdfhttps://regulations.justia.com/regulations/fedreg/2020/01/10/2020-00202.htmlNotice - Self-Regulatory Organizations; Cboe Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the Opening Triggers for its Opening Rotation Process for Equity Options2020-01-10T00:00:00-08:002020-01-10T00:00:00-08:002020-00202Noticehttps://www.govinfo.gov/content/pkg/FR-2020-01-10/pdf/2020-00202.pdfhttps://regulations.justia.com/regulations/fedreg/2020/01/10/2020-00201.htmlNotice - Self-Regulatory Organizations; Cboe C2 Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the Opening Triggers for Its Opening Rotation Process for Equity Options2020-01-10T00:00:00-08:002020-01-10T00:00:00-08:002020-00201Noticehttps://www.govinfo.gov/content/pkg/FR-2020-01-10/pdf/2020-00201.pdfhttps://regulations.justia.com/regulations/fedreg/2020/01/10/2020-00200.htmlNotice - Self-Regulatory Organizations; Cboe EDGX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the Opening Triggers for Its Opening Rotation Process for Equity Options2020-01-10T00:00:00-08:002020-01-10T00:00:00-08:002020-00200Noticehttps://www.govinfo.gov/content/pkg/FR-2020-01-10/pdf/2020-00200.pdfhttps://regulations.justia.com/regulations/fedreg/2020/01/09/2020-00118.htmlNotice - Self-Regulatory Organizations; LCH SA; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to the Amendments of the CDSClear Fee Grid2020-01-09T00:00:00-08:002020-01-09T00:00:00-08:002020-00118Noticehttps://www.govinfo.gov/content/pkg/FR-2020-01-09/pdf/2020-00118.pdfhttps://regulations.justia.com/regulations/fedreg/2020/01/09/2020-00117.htmlNotice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Withdrawal of a Proposed Rule Change, as Modified by Amendment No. 1, To List and Trade Shares of the Innovator PTAM Core Bond Fund ETF Under NYSE Arca Rule 8.600-E2020-01-09T00:00:00-08:002020-01-09T00:00:00-08:002020-00117Noticehttps://www.govinfo.gov/content/pkg/FR-2020-01-09/pdf/2020-00117.pdfhttps://regulations.justia.com/regulations/fedreg/2020/01/08/2020-00168.htmlNotice - Sunshine Act Meetings2020-01-08T00:00:00-08:002020-01-08T00:00:00-08:002020-00168Noticehttps://www.govinfo.gov/content/pkg/FR-2020-01-08/pdf/2020-00168.pdfhttps://regulations.justia.com/regulations/fedreg/2020/01/08/2020-00062.htmlNotice - Self-Regulatory Organizations; LCH SA; Order Approving Proposed Rule Change Relating to Amendments to CDSClear Reference Guide To Allow Index Basis Packages Margining2020-01-08T00:00:00-08:002020-01-08T00:00:00-08:002020-00062Noticehttps://www.govinfo.gov/content/pkg/FR-2020-01-08/pdf/2020-00062.pdfhttps://regulations.justia.com/regulations/fedreg/2020/01/08/2020-00061.htmlNotice - Self-Regulatory Organizations; Cboe Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Rules Regarding Complex Orders2020-01-08T00:00:00-08:002020-01-08T00:00:00-08:002020-00061Noticehttps://www.govinfo.gov/content/pkg/FR-2020-01-08/pdf/2020-00061.pdfhttps://regulations.justia.com/regulations/fedreg/2020/01/08/2020-00060.htmlNotice - Self-Regulatory Organizations; The Nasdaq Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the Exchange's Transaction Fees at Equity 7, Section 118(a)2020-01-08T00:00:00-08:002020-01-08T00:00:00-08:002020-00060Noticehttps://www.govinfo.gov/content/pkg/FR-2020-01-08/pdf/2020-00060.pdfhttps://regulations.justia.com/regulations/fedreg/2020/01/07/2020-00032.htmlNotice - Self-Regulatory Organizations; ICE Clear Europe Limited; Notice of Filing and Immediate Effectiveness of Proposed Rule Changes Relating to Clearing Member Charges and Rates of Return on Cash and Collateral in Relation to Margin Deposits and Guaranty Fund Contributions for All Clearing Member House and Customer Accounts2020-01-07T00:00:00-08:002020-01-07T00:00:00-08:002020-00032Noticehttps://www.govinfo.gov/content/pkg/FR-2020-01-07/pdf/2020-00032.pdfhttps://regulations.justia.com/regulations/fedreg/2020/01/07/2020-00031.htmlNotice - Self-Regulatory Organizations; The Depository Trust Company; Order Approving a Proposed Rule Change To Amend the Redemptions Guide Relating to the Call Lottery Process for Partial Redemptions2020-01-07T00:00:00-08:002020-01-07T00:00:00-08:002020-00031Noticehttps://www.govinfo.gov/content/pkg/FR-2020-01-07/pdf/2020-00031.pdfhttps://regulations.justia.com/regulations/fedreg/2020/01/07/2019-28537.htmlNotice - Self-Regulatory Organizations; MIAX Emerald, LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Its Fee Schedule2020-01-07T00:00:00-08:002020-01-07T00:00:00-08:002019-28537Noticehttps://www.govinfo.gov/content/pkg/FR-2020-01-07/pdf/2019-28537.pdfhttps://regulations.justia.com/regulations/fedreg/2020/01/07/2019-28536.htmlNotice - Self-Regulatory Organizations; MIAX PEARL, LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the MIAX PEARL Fee Schedule2020-01-07T00:00:00-08:002020-01-07T00:00:00-08:002019-28536Noticehttps://www.govinfo.gov/content/pkg/FR-2020-01-07/pdf/2019-28536.pdfhttps://regulations.justia.com/regulations/fedreg/2020/01/07/2019-28535.htmlNotice - Self-Regulatory Organizations; Miami International Securities Exchange LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Its Fee Schedule2020-01-07T00:00:00-08:002020-01-07T00:00:00-08:002019-28535Noticehttps://www.govinfo.gov/content/pkg/FR-2020-01-07/pdf/2019-28535.pdfhttps://regulations.justia.com/regulations/fedreg/2020/01/07/2019-28534.htmlNotice - Self-Regulatory Organizations; Cboe Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Its Fees Schedule2020-01-07T00:00:00-08:002020-01-07T00:00:00-08:002019-28534Noticehttps://www.govinfo.gov/content/pkg/FR-2020-01-07/pdf/2019-28534.pdfhttps://regulations.justia.com/regulations/fedreg/2020/01/06/2019-28499.htmlNotice - Investor Advisory Committee Meeting2020-01-06T00:00:00-08:002020-01-06T00:00:00-08:002019-28499Noticehttps://www.govinfo.gov/content/pkg/FR-2020-01-06/pdf/2019-28499.pdfhttps://regulations.justia.com/regulations/fedreg/2020/01/06/2019-28491.htmlNotice - Fundrise Real Estate Interval Fund, LLC, et al.2020-01-06T00:00:00-08:002020-01-06T00:00:00-08:002019-28491Noticehttps://www.govinfo.gov/content/pkg/FR-2020-01-06/pdf/2019-28491.pdfhttps://regulations.justia.com/regulations/fedreg/2020/01/06/2019-28448.htmlNotice - Self-Regulatory Organizations; Miami International Securities Exchange, LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Exchange Rule 315, Anti-Money Laundering Compliance Program, To Reflect the Financial Crimes Enforcement Network's Adoption of a Final Rule on Customer Due Diligence Requirements for Financial Institutions2020-01-06T00:00:00-08:002020-01-06T00:00:00-08:002019-28448Noticehttps://www.govinfo.gov/content/pkg/FR-2020-01-06/pdf/2019-28448.pdfhttps://regulations.justia.com/regulations/fedreg/2020/01/03/2019-28540.htmlNotice - Sunshine Act Meetings2020-01-03T00:00:00-08:002020-01-03T00:00:00-08:002019-28540Noticehttps://www.govinfo.gov/content/pkg/FR-2020-01-03/pdf/2019-28540.pdfhttps://regulations.justia.com/regulations/fedreg/2020/01/03/2019-28480.htmlNotice - Sunshine Act Meetings2020-01-03T00:00:00-08:002020-01-03T00:00:00-08:002019-28480Noticehttps://www.govinfo.gov/content/pkg/FR-2020-01-03/pdf/2019-28480.pdfhttps://regulations.justia.com/regulations/fedreg/2020/01/03/2019-28415.htmlNotice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing of Proposed Rule Change To Adopt NYSE Arca Rule 8.602-E To Permit the Listing and Trading of Actively Managed Solution Shares and To List and Trade Two Series of Actively Managed Solution Shares Issued by the American Century ETF Trust Under Proposed NYSE Arca Rule 8.602-E2020-01-03T00:00:00-08:002020-01-03T00:00:00-08:002019-28415Noticehttps://www.govinfo.gov/content/pkg/FR-2020-01-03/pdf/2019-28415.pdfhttps://regulations.justia.com/regulations/fedreg/2020/01/03/2019-28414.htmlNotice - Self-Regulatory Organizations; The Nasdaq Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Modify the Exchange's All-Inclusive Annual Listing Fees for Exchange Traded Products2020-01-03T00:00:00-08:002020-01-03T00:00:00-08:002019-28414Noticehttps://www.govinfo.gov/content/pkg/FR-2020-01-03/pdf/2019-28414.pdfhttps://regulations.justia.com/regulations/fedreg/2020/01/03/2019-28413.htmlNotice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing of Proposed Rule Change To Adopt NYSE Arca Rule 8.602-E To Permit the Listing and Trading of Actively Managed Solution Shares and To List and Trade Shares of the Natixis ETF Under Proposed NYSE Arca Rule 8.602-E2020-01-03T00:00:00-08:002020-01-03T00:00:00-08:002019-28413Noticehttps://www.govinfo.gov/content/pkg/FR-2020-01-03/pdf/2019-28413.pdfhttps://regulations.justia.com/regulations/fedreg/2020/01/03/2019-28412.htmlNotice - Self-Regulatory Organizations; BOX Exchange LLC; Notice of Filing of a Proposed Rule Change in Connection With the Proposed Commencement of Operations of Boston Security Token Exchange LLC as a Facility of the Exchange2020-01-03T00:00:00-08:002020-01-03T00:00:00-08:002019-28412Noticehttps://www.govinfo.gov/content/pkg/FR-2020-01-03/pdf/2019-28412.pdfhttps://regulations.justia.com/regulations/fedreg/2020/01/03/2019-28411.htmlNotice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing of Proposed Rule Change To Adopt NYSE Arca Rule 8.601-E To Permit the Listing and Trading of Managed Portfolio Securities and To List and Trade Four Series of Managed Portfolio Securities Issued by T. Rowe Price Exchange-Traded Funds, Inc. Under Proposed NYSE Arca Rule 8.601-E2020-01-03T00:00:00-08:002020-01-03T00:00:00-08:002019-28411Noticehttps://www.govinfo.gov/content/pkg/FR-2020-01-03/pdf/2019-28411.pdfhttps://regulations.justia.com/regulations/fedreg/2020/01/03/2019-28362.htmlNotice - Self-Regulatory Organizations; Cboe BZX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To List Shares of the ARK Genomic Revolution ETF and ARK Autonomous Technology and Robotics ETF Under Rule 14.11(i), Managed Fund Shares2020-01-03T00:00:00-08:002020-01-03T00:00:00-08:002019-28362Noticehttps://www.govinfo.gov/content/pkg/FR-2020-01-03/pdf/2019-28362.pdfhttps://regulations.justia.com/regulations/fedreg/2020/01/03/2019-28361.htmlNotice - Self-Regulatory Organizations; Cboe BYX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Interpretation and Policy .01 of Rule 2.4 To Allow the Exchange To Provide Annual Notification to Individual Members That Are Subject to Paragraph (b) of Rule 2.42020-01-03T00:00:00-08:002020-01-03T00:00:00-08:002019-28361Noticehttps://www.govinfo.gov/content/pkg/FR-2020-01-03/pdf/2019-28361.pdfhttps://regulations.justia.com/regulations/fedreg/2020/01/03/2019-28360.htmlNotice - Self-Regulatory Organizations; Long-Term Stock Exchange, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to the Membership Waive-in Process for FINRA Members2020-01-03T00:00:00-08:002020-01-03T00:00:00-08:002019-28360Noticehttps://www.govinfo.gov/content/pkg/FR-2020-01-03/pdf/2019-28360.pdfhttps://regulations.justia.com/regulations/fedreg/2020/01/03/2019-28349.htmlNotice - Notice of Applications for Deregistration Under Section 8(f) of the Investment Company Act of 19402020-01-03T00:00:00-08:002020-01-03T00:00:00-08:002019-28349Noticehttps://www.govinfo.gov/content/pkg/FR-2020-01-03/pdf/2019-28349.pdfhttps://regulations.justia.com/regulations/fedreg/2020/01/02/2019-28320.htmlNotice - Submission for OMB Review; Comment Request2020-01-02T00:00:00-08:002020-01-02T00:00:00-08:002019-28320Noticehttps://www.govinfo.gov/content/pkg/FR-2020-01-02/pdf/2019-28320.pdfhttps://regulations.justia.com/regulations/fedreg/2020/01/02/2019-28319.htmlNotice - Submission for OMB Review; Comment Request2020-01-02T00:00:00-08:002020-01-02T00:00:00-08:002019-28319Noticehttps://www.govinfo.gov/content/pkg/FR-2020-01-02/pdf/2019-28319.pdfhttps://regulations.justia.com/regulations/fedreg/2020/01/02/2019-28318.htmlNotice - Proposed Collection; Comment Request2020-01-02T00:00:00-08:002020-01-02T00:00:00-08:002019-28318Noticehttps://www.govinfo.gov/content/pkg/FR-2020-01-02/pdf/2019-28318.pdfhttps://regulations.justia.com/regulations/fedreg/2020/01/02/2019-28317.htmlNotice - Submission for OMB Review; Comment Request2020-01-02T00:00:00-08:002020-01-02T00:00:00-08:002019-28317Noticehttps://www.govinfo.gov/content/pkg/FR-2020-01-02/pdf/2019-28317.pdfhttps://regulations.justia.com/regulations/fedreg/2020/01/02/2019-28278.htmlNotice - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Order Granting Accelerated Approval of a Proposed Rule Change To Add Certain Recently Adopted Trading Rules To the List of Minor Rule Violations in Rule 92172020-01-02T00:00:00-08:002020-01-02T00:00:00-08:002019-28278Noticehttps://www.govinfo.gov/content/pkg/FR-2020-01-02/pdf/2019-28278.pdfhttps://regulations.justia.com/regulations/fedreg/2020/01/02/2019-28277.htmlNotice - Self-Regulatory Organizations; ICE Clear Credit LLC; Order Approving Proposed Rule Change Relating to ICC's Treasury Operations Policies and Procedures2020-01-02T00:00:00-08:002020-01-02T00:00:00-08:002019-28277Noticehttps://www.govinfo.gov/content/pkg/FR-2020-01-02/pdf/2019-28277.pdfhttps://regulations.justia.com/regulations/fedreg/2020/01/02/2019-28276.htmlNotice - Self-Regulatory Organizations; National Securities Clearing Corporation; Notice of Filing of Proposed Rule Change To Enhance National Securities Clearing Corporation's Haircut-Based Volatility Charge Applicable to Municipal Bonds2020-01-02T00:00:00-08:002020-01-02T00:00:00-08:002019-28276Noticehttps://www.govinfo.gov/content/pkg/FR-2020-01-02/pdf/2019-28276.pdf