<![CDATA[Federal Register Recent Federal Regulation Documents - Justia Regulation Tracker - Justia Regulations Tracker]]> https://regulations.justia.com/regulations/fedreg/agencies/securities-and-exchange-commission/2020/01?registers=between&min-day=1&max-day=31 Wed, 01 May 2024 22:03:54 -0700 Wed, 01 May 2024 22:03:54 -0700 Justia Regulations Tracker Copyright 2011 Justia Inc. https://regulations.justia.com/images/justiafedregulations.gif <![CDATA[Federal Register Recent Federal Regulation Documents - Justia Regulation Tracker - Justia Regulations Tracker]]> https://regulations.justia.com/regulations/fedreg/agencies/securities-and-exchange-commission/2020/01?registers=between&min-day=1&max-day=31 Notice - Sunshine Act Meetings https://regulations.justia.com/regulations/fedreg/2020/01/31/2020-02018.html https://regulations.justia.com/regulations/fedreg/2020/01/31/2020-02018.html Fri, 31 Jan 2020 00:00:00 -0800 2020-02018 Notice https://www.govinfo.gov/content/pkg/FR-2020-01-31/pdf/2020-02018.pdf Notice - Sunshine Act Meetings https://regulations.justia.com/regulations/fedreg/2020/01/31/2020-02017.html https://regulations.justia.com/regulations/fedreg/2020/01/31/2020-02017.html Fri, 31 Jan 2020 00:00:00 -0800 2020-02017 Notice https://www.govinfo.gov/content/pkg/FR-2020-01-31/pdf/2020-02017.pdf Notice - Self-Regulatory Organizations; Miami Emerald, LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Its Fee Schedule https://regulations.justia.com/regulations/fedreg/2020/01/31/2020-01787.html https://regulations.justia.com/regulations/fedreg/2020/01/31/2020-01787.html Fri, 31 Jan 2020 00:00:00 -0800 2020-01787 Notice https://www.govinfo.gov/content/pkg/FR-2020-01-31/pdf/2020-01787.pdf Notice - 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 Changes https://regulations.justia.com/regulations/fedreg/2020/01/31/2020-01786.html https://regulations.justia.com/regulations/fedreg/2020/01/31/2020-01786.html Fri, 31 Jan 2020 00:00:00 -0800 2020-01786 Notice https://www.govinfo.gov/content/pkg/FR-2020-01-31/pdf/2020-01786.pdf Notice - Self-Regulatory Organizations; The Depository Trust Company; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the DTC Fee Guide https://regulations.justia.com/regulations/fedreg/2020/01/31/2020-01785.html https://regulations.justia.com/regulations/fedreg/2020/01/31/2020-01785.html Fri, 31 Jan 2020 00:00:00 -0800 2020-01785 Notice https://www.govinfo.gov/content/pkg/FR-2020-01-31/pdf/2020-01785.pdf Notice - 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 Policy https://regulations.justia.com/regulations/fedreg/2020/01/31/2020-01784.html https://regulations.justia.com/regulations/fedreg/2020/01/31/2020-01784.html Fri, 31 Jan 2020 00:00:00 -0800 2020-01784 Notice https://www.govinfo.gov/content/pkg/FR-2020-01-31/pdf/2020-01784.pdf Notice - 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 ETF https://regulations.justia.com/regulations/fedreg/2020/01/31/2020-01783.html https://regulations.justia.com/regulations/fedreg/2020/01/31/2020-01783.html Fri, 31 Jan 2020 00:00:00 -0800 2020-01783 Notice https://www.govinfo.gov/content/pkg/FR-2020-01-31/pdf/2020-01783.pdf Notice - 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 Rules https://regulations.justia.com/regulations/fedreg/2020/01/31/2020-01782.html https://regulations.justia.com/regulations/fedreg/2020/01/31/2020-01782.html Fri, 31 Jan 2020 00:00:00 -0800 2020-01782 Notice https://www.govinfo.gov/content/pkg/FR-2020-01-31/pdf/2020-01782.pdf Notice - 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 Rules https://regulations.justia.com/regulations/fedreg/2020/01/31/2020-01781.html https://regulations.justia.com/regulations/fedreg/2020/01/31/2020-01781.html Fri, 31 Jan 2020 00:00:00 -0800 2020-01781 Notice https://www.govinfo.gov/content/pkg/FR-2020-01-31/pdf/2020-01781.pdf Notice - Self-Regulatory Organizations: Miami International Securities Exchange LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Its Fee Schedule https://regulations.justia.com/regulations/fedreg/2020/01/31/2020-01780.html https://regulations.justia.com/regulations/fedreg/2020/01/31/2020-01780.html Fri, 31 Jan 2020 00:00:00 -0800 2020-01780 Notice https://www.govinfo.gov/content/pkg/FR-2020-01-31/pdf/2020-01780.pdf Notice - 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 Options https://regulations.justia.com/regulations/fedreg/2020/01/31/2020-01779.html https://regulations.justia.com/regulations/fedreg/2020/01/31/2020-01779.html Fri, 31 Jan 2020 00:00:00 -0800 2020-01779 Notice https://www.govinfo.gov/content/pkg/FR-2020-01-31/pdf/2020-01779.pdf Notice - 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 Options https://regulations.justia.com/regulations/fedreg/2020/01/31/2020-01778.html https://regulations.justia.com/regulations/fedreg/2020/01/31/2020-01778.html Fri, 31 Jan 2020 00:00:00 -0800 2020-01778 Notice https://www.govinfo.gov/content/pkg/FR-2020-01-31/pdf/2020-01778.pdf Notice - 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 Supplement https://regulations.justia.com/regulations/fedreg/2020/01/31/2020-01517.html https://regulations.justia.com/regulations/fedreg/2020/01/31/2020-01517.html Fri, 31 Jan 2020 00:00:00 -0800 2020-01517 Notice https://www.govinfo.gov/content/pkg/FR-2020-01-31/pdf/2020-01517.pdf Notice - Self-Regulatory Organizations; LCH SA; Order Approving Proposed Rule Change Relating to Amendments to LCH SA's Liquidity Risk Modelling Framework https://regulations.justia.com/regulations/fedreg/2020/01/30/2020-01649.html https://regulations.justia.com/regulations/fedreg/2020/01/30/2020-01649.html Thu, 30 Jan 2020 00:00:00 -0800 2020-01649 Notice https://www.govinfo.gov/content/pkg/FR-2020-01-30/pdf/2020-01649.pdf Notice - 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 Securities https://regulations.justia.com/regulations/fedreg/2020/01/30/2020-01648.html https://regulations.justia.com/regulations/fedreg/2020/01/30/2020-01648.html Thu, 30 Jan 2020 00:00:00 -0800 2020-01648 Notice https://www.govinfo.gov/content/pkg/FR-2020-01-30/pdf/2020-01648.pdf Notice - Self-Regulatory Organizations; Nasdaq PHLX LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Phlx's Pricing Schedule https://regulations.justia.com/regulations/fedreg/2020/01/30/2020-01647.html https://regulations.justia.com/regulations/fedreg/2020/01/30/2020-01647.html Thu, 30 Jan 2020 00:00:00 -0800 2020-01647 Notice https://www.govinfo.gov/content/pkg/FR-2020-01-30/pdf/2020-01647.pdf Notice - 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 75 https://regulations.justia.com/regulations/fedreg/2020/01/30/2020-01646.html https://regulations.justia.com/regulations/fedreg/2020/01/30/2020-01646.html Thu, 30 Jan 2020 00:00:00 -0800 2020-01646 Notice https://www.govinfo.gov/content/pkg/FR-2020-01-30/pdf/2020-01646.pdf Notice - 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-E https://regulations.justia.com/regulations/fedreg/2020/01/30/2020-01645.html https://regulations.justia.com/regulations/fedreg/2020/01/30/2020-01645.html Thu, 30 Jan 2020 00:00:00 -0800 2020-01645 Notice https://www.govinfo.gov/content/pkg/FR-2020-01-30/pdf/2020-01645.pdf Notice - 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 Dates https://regulations.justia.com/regulations/fedreg/2020/01/30/2020-01644.html https://regulations.justia.com/regulations/fedreg/2020/01/30/2020-01644.html Thu, 30 Jan 2020 00:00:00 -0800 2020-01644 Notice https://www.govinfo.gov/content/pkg/FR-2020-01-30/pdf/2020-01644.pdf Notice - 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 Utility https://regulations.justia.com/regulations/fedreg/2020/01/30/2020-01643.html https://regulations.justia.com/regulations/fedreg/2020/01/30/2020-01643.html Thu, 30 Jan 2020 00:00:00 -0800 2020-01643 Notice https://www.govinfo.gov/content/pkg/FR-2020-01-30/pdf/2020-01643.pdf Notice - 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 Circumstances https://regulations.justia.com/regulations/fedreg/2020/01/30/2020-01642.html https://regulations.justia.com/regulations/fedreg/2020/01/30/2020-01642.html Thu, 30 Jan 2020 00:00:00 -0800 2020-01642 Notice https://www.govinfo.gov/content/pkg/FR-2020-01-30/pdf/2020-01642.pdf Notice - Securities Investor Protection Corporation; Notice of Filing of Proposed Bylaw Change, as Revised by Amendment No. 1, Relating to SIPC Board Compensation; Correction https://regulations.justia.com/regulations/fedreg/2020/01/30/2020-01611.html https://regulations.justia.com/regulations/fedreg/2020/01/30/2020-01611.html Thu, 30 Jan 2020 00:00:00 -0800 2020-01611 Notice https://www.govinfo.gov/content/pkg/FR-2020-01-30/pdf/2020-01611.pdf Notice - Securities Investor Protection Corporation; Notice of Filing of Proposed Bylaw Changes Relating to SIPC Member Assessments; Correction https://regulations.justia.com/regulations/fedreg/2020/01/30/2020-01610.html https://regulations.justia.com/regulations/fedreg/2020/01/30/2020-01610.html Thu, 30 Jan 2020 00:00:00 -0800 2020-01610 Notice https://www.govinfo.gov/content/pkg/FR-2020-01-30/pdf/2020-01610.pdf Notice - 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) https://regulations.justia.com/regulations/fedreg/2020/01/29/2020-01521.html https://regulations.justia.com/regulations/fedreg/2020/01/29/2020-01521.html Wed, 29 Jan 2020 00:00:00 -0800 2020-01521 Notice https://www.govinfo.gov/content/pkg/FR-2020-01-29/pdf/2020-01521.pdf Notice - Self-Regulatory Organizations; Nasdaq MRX, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend MRX Pricing Schedule https://regulations.justia.com/regulations/fedreg/2020/01/29/2020-01520.html https://regulations.justia.com/regulations/fedreg/2020/01/29/2020-01520.html Wed, 29 Jan 2020 00:00:00 -0800 2020-01520 Notice https://www.govinfo.gov/content/pkg/FR-2020-01-29/pdf/2020-01520.pdf Notice - 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 Shares https://regulations.justia.com/regulations/fedreg/2020/01/29/2020-01519.html https://regulations.justia.com/regulations/fedreg/2020/01/29/2020-01519.html Wed, 29 Jan 2020 00:00:00 -0800 2020-01519 Notice https://www.govinfo.gov/content/pkg/FR-2020-01-29/pdf/2020-01519.pdf Notice - 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 Editor https://regulations.justia.com/regulations/fedreg/2020/01/29/2020-01518.html https://regulations.justia.com/regulations/fedreg/2020/01/29/2020-01518.html Wed, 29 Jan 2020 00:00:00 -0800 2020-01518 Notice https://www.govinfo.gov/content/pkg/FR-2020-01-29/pdf/2020-01518.pdf Notice - Self-Regulatory Organizations: MIAX PEARL, LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the MIAX PEARL Fee Schedule https://regulations.justia.com/regulations/fedreg/2020/01/29/2020-01516.html https://regulations.justia.com/regulations/fedreg/2020/01/29/2020-01516.html Wed, 29 Jan 2020 00:00:00 -0800 2020-01516 Notice https://www.govinfo.gov/content/pkg/FR-2020-01-29/pdf/2020-01516.pdf Notice - 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 Basis https://regulations.justia.com/regulations/fedreg/2020/01/28/2020-01453.html https://regulations.justia.com/regulations/fedreg/2020/01/28/2020-01453.html Tue, 28 Jan 2020 00:00:00 -0800 2020-01453 Notice https://www.govinfo.gov/content/pkg/FR-2020-01-28/pdf/2020-01453.pdf Notice - Consolidated Tape Association; Notice of Filing of the Thirty-First Substantive Amendment to the Second Restatement of the CTA Plan https://regulations.justia.com/regulations/fedreg/2020/01/28/2020-01452.html https://regulations.justia.com/regulations/fedreg/2020/01/28/2020-01452.html Tue, 28 Jan 2020 00:00:00 -0800 2020-01452 Notice https://www.govinfo.gov/content/pkg/FR-2020-01-28/pdf/2020-01452.pdf Notice - 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 Procedures https://regulations.justia.com/regulations/fedreg/2020/01/28/2020-01367.html https://regulations.justia.com/regulations/fedreg/2020/01/28/2020-01367.html Tue, 28 Jan 2020 00:00:00 -0800 2020-01367 Notice https://www.govinfo.gov/content/pkg/FR-2020-01-28/pdf/2020-01367.pdf Notice - Sunshine Act Meetings https://regulations.justia.com/regulations/fedreg/2020/01/27/2020-01366.html https://regulations.justia.com/regulations/fedreg/2020/01/27/2020-01366.html Mon, 27 Jan 2020 00:00:00 -0800 2020-01366 Notice https://www.govinfo.gov/content/pkg/FR-2020-01-27/pdf/2020-01366.pdf Notice - SEC Small Business Capital Formation Advisory Committee https://regulations.justia.com/regulations/fedreg/2020/01/27/2020-01313.html https://regulations.justia.com/regulations/fedreg/2020/01/27/2020-01313.html Mon, 27 Jan 2020 00:00:00 -0800 2020-01313 Notice https://www.govinfo.gov/content/pkg/FR-2020-01-27/pdf/2020-01313.pdf Notice - 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 11.28 https://regulations.justia.com/regulations/fedreg/2020/01/27/2020-01253.html https://regulations.justia.com/regulations/fedreg/2020/01/27/2020-01253.html Mon, 27 Jan 2020 00:00:00 -0800 2020-01253 Notice https://www.govinfo.gov/content/pkg/FR-2020-01-27/pdf/2020-01253.pdf Notice - 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 Discounts https://regulations.justia.com/regulations/fedreg/2020/01/27/2020-01237.html https://regulations.justia.com/regulations/fedreg/2020/01/27/2020-01237.html Mon, 27 Jan 2020 00:00:00 -0800 2020-01237 Notice https://www.govinfo.gov/content/pkg/FR-2020-01-27/pdf/2020-01237.pdf Notice - Blackstone Alternative Investment Funds and Blackstone Alternative Investment Advisors LLC; Notice of Application https://regulations.justia.com/regulations/fedreg/2020/01/24/2020-01191.html https://regulations.justia.com/regulations/fedreg/2020/01/24/2020-01191.html Fri, 24 Jan 2020 00:00:00 -0800 2020-01191 Notice https://www.govinfo.gov/content/pkg/FR-2020-01-24/pdf/2020-01191.pdf Proposed 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 Vehicles https://regulations.justia.com/regulations/fedreg/2020/01/24/2020-00040.html https://regulations.justia.com/regulations/fedreg/2020/01/24/2020-00040.html Fri, 24 Jan 2020 00:00:00 -0800 2020-00040 Proposed Rule https://www.govinfo.gov/content/pkg/FR-2020-01-24/pdf/2020-00040.pdf Notice - 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 Products https://regulations.justia.com/regulations/fedreg/2020/01/23/2020-01097.html https://regulations.justia.com/regulations/fedreg/2020/01/23/2020-01097.html Thu, 23 Jan 2020 00:00:00 -0800 2020-01097 Notice https://www.govinfo.gov/content/pkg/FR-2020-01-23/pdf/2020-01097.pdf Notice - Self-Regulatory Organizations; The Nasdaq Stock Market LLC; Notice of Filing of Proposed Rule Change To Amend Rule 4121(b) https://regulations.justia.com/regulations/fedreg/2020/01/23/2020-01096.html https://regulations.justia.com/regulations/fedreg/2020/01/23/2020-01096.html Thu, 23 Jan 2020 00:00:00 -0800 2020-01096 Notice https://www.govinfo.gov/content/pkg/FR-2020-01-23/pdf/2020-01096.pdf Notice - 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 LLC https://regulations.justia.com/regulations/fedreg/2020/01/23/2020-01041.html https://regulations.justia.com/regulations/fedreg/2020/01/23/2020-01041.html Thu, 23 Jan 2020 00:00:00 -0800 2020-01041 Notice https://www.govinfo.gov/content/pkg/FR-2020-01-23/pdf/2020-01041.pdf Notice - 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 7 https://regulations.justia.com/regulations/fedreg/2020/01/23/2020-01040.html https://regulations.justia.com/regulations/fedreg/2020/01/23/2020-01040.html Thu, 23 Jan 2020 00:00:00 -0800 2020-01040 Notice https://www.govinfo.gov/content/pkg/FR-2020-01-23/pdf/2020-01040.pdf Notice - 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 4121 https://regulations.justia.com/regulations/fedreg/2020/01/23/2020-01039.html https://regulations.justia.com/regulations/fedreg/2020/01/23/2020-01039.html Thu, 23 Jan 2020 00:00:00 -0800 2020-01039 Notice https://www.govinfo.gov/content/pkg/FR-2020-01-23/pdf/2020-01039.pdf Notice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the NYSE Arca Equities Fees and Charges To Introduce Two New Pricing Tiers, Retail Order Step-Up Tier 3 and Retail Order Step-Up Tier 4 https://regulations.justia.com/regulations/fedreg/2020/01/23/2020-01038.html https://regulations.justia.com/regulations/fedreg/2020/01/23/2020-01038.html Thu, 23 Jan 2020 00:00:00 -0800 2020-01038 Notice https://www.govinfo.gov/content/pkg/FR-2020-01-23/pdf/2020-01038.pdf Notice - 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 LLC https://regulations.justia.com/regulations/fedreg/2020/01/23/2020-01037.html https://regulations.justia.com/regulations/fedreg/2020/01/23/2020-01037.html Thu, 23 Jan 2020 00:00:00 -0800 2020-01037 Notice https://www.govinfo.gov/content/pkg/FR-2020-01-23/pdf/2020-01037.pdf Notice - 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) https://regulations.justia.com/regulations/fedreg/2020/01/23/2020-01036.html https://regulations.justia.com/regulations/fedreg/2020/01/23/2020-01036.html Thu, 23 Jan 2020 00:00:00 -0800 2020-01036 Notice https://www.govinfo.gov/content/pkg/FR-2020-01-23/pdf/2020-01036.pdf Notice - 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 Transactions https://regulations.justia.com/regulations/fedreg/2020/01/23/2020-01035.html https://regulations.justia.com/regulations/fedreg/2020/01/23/2020-01035.html Thu, 23 Jan 2020 00:00:00 -0800 2020-01035 Notice https://www.govinfo.gov/content/pkg/FR-2020-01-23/pdf/2020-01035.pdf Notice - 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 Trail https://regulations.justia.com/regulations/fedreg/2020/01/23/2020-01034.html https://regulations.justia.com/regulations/fedreg/2020/01/23/2020-01034.html Thu, 23 Jan 2020 00:00:00 -0800 2020-01034 Notice https://www.govinfo.gov/content/pkg/FR-2020-01-23/pdf/2020-01034.pdf Notice - 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 Trail https://regulations.justia.com/regulations/fedreg/2020/01/23/2020-01033.html https://regulations.justia.com/regulations/fedreg/2020/01/23/2020-01033.html Thu, 23 Jan 2020 00:00:00 -0800 2020-01033 Notice https://www.govinfo.gov/content/pkg/FR-2020-01-23/pdf/2020-01033.pdf Notice - 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 Trail https://regulations.justia.com/regulations/fedreg/2020/01/23/2020-01032.html https://regulations.justia.com/regulations/fedreg/2020/01/23/2020-01032.html Thu, 23 Jan 2020 00:00:00 -0800 2020-01032 Notice https://www.govinfo.gov/content/pkg/FR-2020-01-23/pdf/2020-01032.pdf Notice - 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 Trail https://regulations.justia.com/regulations/fedreg/2020/01/23/2020-01031.html https://regulations.justia.com/regulations/fedreg/2020/01/23/2020-01031.html Thu, 23 Jan 2020 00:00:00 -0800 2020-01031 Notice https://www.govinfo.gov/content/pkg/FR-2020-01-23/pdf/2020-01031.pdf Notice - 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 Trail https://regulations.justia.com/regulations/fedreg/2020/01/23/2020-01030.html https://regulations.justia.com/regulations/fedreg/2020/01/23/2020-01030.html Thu, 23 Jan 2020 00:00:00 -0800 2020-01030 Notice https://www.govinfo.gov/content/pkg/FR-2020-01-23/pdf/2020-01030.pdf Notice - 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 Transactions https://regulations.justia.com/regulations/fedreg/2020/01/23/2020-01029.html https://regulations.justia.com/regulations/fedreg/2020/01/23/2020-01029.html Thu, 23 Jan 2020 00:00:00 -0800 2020-01029 Notice https://www.govinfo.gov/content/pkg/FR-2020-01-23/pdf/2020-01029.pdf Notice - Securities Investor Protection Corporation; Notice of Filing of Proposed Bylaw Change, as Revised by Amendment No. 1, Relating to SIPC Board Compensation https://regulations.justia.com/regulations/fedreg/2020/01/23/2020-01024.html https://regulations.justia.com/regulations/fedreg/2020/01/23/2020-01024.html Thu, 23 Jan 2020 00:00:00 -0800 2020-01024 Notice https://www.govinfo.gov/content/pkg/FR-2020-01-23/pdf/2020-01024.pdf Notice - Securities Investor Protection Corporation; Notice of Filing of Proposed Bylaw Changes Relating to SIPC Member Assessments https://regulations.justia.com/regulations/fedreg/2020/01/23/2020-01023.html https://regulations.justia.com/regulations/fedreg/2020/01/23/2020-01023.html Thu, 23 Jan 2020 00:00:00 -0800 2020-01023 Notice https://www.govinfo.gov/content/pkg/FR-2020-01-23/pdf/2020-01023.pdf Notice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the NYSE Arca Equities Fees and Charges To Introduce a New Lead Market Maker Credit https://regulations.justia.com/regulations/fedreg/2020/01/22/2020-00918.html https://regulations.justia.com/regulations/fedreg/2020/01/22/2020-00918.html Wed, 22 Jan 2020 00:00:00 -0800 2020-00918 Notice https://www.govinfo.gov/content/pkg/FR-2020-01-22/pdf/2020-00918.pdf Notice - 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 Period https://regulations.justia.com/regulations/fedreg/2020/01/22/2020-00917.html https://regulations.justia.com/regulations/fedreg/2020/01/22/2020-00917.html Wed, 22 Jan 2020 00:00:00 -0800 2020-00917 Notice https://www.govinfo.gov/content/pkg/FR-2020-01-22/pdf/2020-00917.pdf Notice - Self-Regulatory Organizations; ICE Clear Credit LLC; Order Approving Proposed Rule Change Relating to the ICC Clearing Rules To Reflect the ISDA NTCE Supplement https://regulations.justia.com/regulations/fedreg/2020/01/22/2020-00915.html https://regulations.justia.com/regulations/fedreg/2020/01/22/2020-00915.html Wed, 22 Jan 2020 00:00:00 -0800 2020-00915 Notice https://www.govinfo.gov/content/pkg/FR-2020-01-22/pdf/2020-00915.pdf Notice - 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 Transactions https://regulations.justia.com/regulations/fedreg/2020/01/22/2020-00914.html https://regulations.justia.com/regulations/fedreg/2020/01/22/2020-00914.html Wed, 22 Jan 2020 00:00:00 -0800 2020-00914 Notice https://www.govinfo.gov/content/pkg/FR-2020-01-22/pdf/2020-00914.pdf Notice - 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 Rules https://regulations.justia.com/regulations/fedreg/2020/01/21/2020-00806.html https://regulations.justia.com/regulations/fedreg/2020/01/21/2020-00806.html Tue, 21 Jan 2020 00:00:00 -0800 2020-00806 Notice https://www.govinfo.gov/content/pkg/FR-2020-01-21/pdf/2020-00806.pdf Notice - First Eagle BDC, LLC, et al. https://regulations.justia.com/regulations/fedreg/2020/01/21/2020-00805.html https://regulations.justia.com/regulations/fedreg/2020/01/21/2020-00805.html Tue, 21 Jan 2020 00:00:00 -0800 2020-00805 Notice https://www.govinfo.gov/content/pkg/FR-2020-01-21/pdf/2020-00805.pdf Notice - Self-Regulatory Organizations; Cboe BYX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Its Fee Schedule https://regulations.justia.com/regulations/fedreg/2020/01/21/2020-00804.html https://regulations.justia.com/regulations/fedreg/2020/01/21/2020-00804.html Tue, 21 Jan 2020 00:00:00 -0800 2020-00804 Notice https://www.govinfo.gov/content/pkg/FR-2020-01-21/pdf/2020-00804.pdf Notice - 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 Transfers https://regulations.justia.com/regulations/fedreg/2020/01/21/2020-00803.html https://regulations.justia.com/regulations/fedreg/2020/01/21/2020-00803.html Tue, 21 Jan 2020 00:00:00 -0800 2020-00803 Notice https://www.govinfo.gov/content/pkg/FR-2020-01-21/pdf/2020-00803.pdf Notice - Self-Regulatory Organizations; Miami International Securities Exchange LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Its Fee Schedule https://regulations.justia.com/regulations/fedreg/2020/01/21/2020-00802.html https://regulations.justia.com/regulations/fedreg/2020/01/21/2020-00802.html Tue, 21 Jan 2020 00:00:00 -0800 2020-00802 Notice https://www.govinfo.gov/content/pkg/FR-2020-01-21/pdf/2020-00802.pdf Notice - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Its Price List To Eliminate the Alternative $10,000 Monthly Fee Cap for Executions at the Open https://regulations.justia.com/regulations/fedreg/2020/01/21/2020-00801.html https://regulations.justia.com/regulations/fedreg/2020/01/21/2020-00801.html Tue, 21 Jan 2020 00:00:00 -0800 2020-00801 Notice https://www.govinfo.gov/content/pkg/FR-2020-01-21/pdf/2020-00801.pdf Notice - 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 ETF https://regulations.justia.com/regulations/fedreg/2020/01/21/2020-00800.html https://regulations.justia.com/regulations/fedreg/2020/01/21/2020-00800.html Tue, 21 Jan 2020 00:00:00 -0800 2020-00800 Notice https://www.govinfo.gov/content/pkg/FR-2020-01-21/pdf/2020-00800.pdf Notice - Sunshine Act Meetings https://regulations.justia.com/regulations/fedreg/2020/01/17/2020-00799.html https://regulations.justia.com/regulations/fedreg/2020/01/17/2020-00799.html Fri, 17 Jan 2020 00:00:00 -0800 2020-00799 Notice https://www.govinfo.gov/content/pkg/FR-2020-01-17/pdf/2020-00799.pdf Notice - Fixed Income Market Structure Advisory Committee https://regulations.justia.com/regulations/fedreg/2020/01/17/2020-00696.html https://regulations.justia.com/regulations/fedreg/2020/01/17/2020-00696.html Fri, 17 Jan 2020 00:00:00 -0800 2020-00696 Notice https://www.govinfo.gov/content/pkg/FR-2020-01-17/pdf/2020-00696.pdf Notice - 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 Programs https://regulations.justia.com/regulations/fedreg/2020/01/17/2020-00685.html https://regulations.justia.com/regulations/fedreg/2020/01/17/2020-00685.html Fri, 17 Jan 2020 00:00:00 -0800 2020-00685 Notice https://www.govinfo.gov/content/pkg/FR-2020-01-17/pdf/2020-00685.pdf Notice - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Its Price List 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 Program https://regulations.justia.com/regulations/fedreg/2020/01/17/2020-00684.html https://regulations.justia.com/regulations/fedreg/2020/01/17/2020-00684.html Fri, 17 Jan 2020 00:00:00 -0800 2020-00684 Notice https://www.govinfo.gov/content/pkg/FR-2020-01-17/pdf/2020-00684.pdf Notice - 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) https://regulations.justia.com/regulations/fedreg/2020/01/17/2020-00683.html https://regulations.justia.com/regulations/fedreg/2020/01/17/2020-00683.html Fri, 17 Jan 2020 00:00:00 -0800 2020-00683 Notice https://www.govinfo.gov/content/pkg/FR-2020-01-17/pdf/2020-00683.pdf Notice - 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) https://regulations.justia.com/regulations/fedreg/2020/01/17/2020-00682.html https://regulations.justia.com/regulations/fedreg/2020/01/17/2020-00682.html Fri, 17 Jan 2020 00:00:00 -0800 2020-00682 Notice https://www.govinfo.gov/content/pkg/FR-2020-01-17/pdf/2020-00682.pdf Notice - Self-Regulatory Organizations; Cboe BZX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating To Amend Its Fee Schedule https://regulations.justia.com/regulations/fedreg/2020/01/17/2020-00681.html https://regulations.justia.com/regulations/fedreg/2020/01/17/2020-00681.html Fri, 17 Jan 2020 00:00:00 -0800 2020-00681 Notice https://www.govinfo.gov/content/pkg/FR-2020-01-17/pdf/2020-00681.pdf Notice - 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 Education https://regulations.justia.com/regulations/fedreg/2020/01/16/2020-00589.html https://regulations.justia.com/regulations/fedreg/2020/01/16/2020-00589.html Thu, 16 Jan 2020 00:00:00 -0800 2020-00589 Notice https://www.govinfo.gov/content/pkg/FR-2020-01-16/pdf/2020-00589.pdf Notice - 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 Network https://regulations.justia.com/regulations/fedreg/2020/01/16/2020-00588.html https://regulations.justia.com/regulations/fedreg/2020/01/16/2020-00588.html Thu, 16 Jan 2020 00:00:00 -0800 2020-00588 Notice https://www.govinfo.gov/content/pkg/FR-2020-01-16/pdf/2020-00588.pdf Notice - 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 Education https://regulations.justia.com/regulations/fedreg/2020/01/16/2020-00586.html https://regulations.justia.com/regulations/fedreg/2020/01/16/2020-00586.html Thu, 16 Jan 2020 00:00:00 -0800 2020-00586 Notice https://www.govinfo.gov/content/pkg/FR-2020-01-16/pdf/2020-00586.pdf Notice - 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 Swaps https://regulations.justia.com/regulations/fedreg/2020/01/16/2020-00568.html https://regulations.justia.com/regulations/fedreg/2020/01/16/2020-00568.html Thu, 16 Jan 2020 00:00:00 -0800 2020-00568 Notice https://www.govinfo.gov/content/pkg/FR-2020-01-16/pdf/2020-00568.pdf Notice - Submission for OMB Review; Comment Request https://regulations.justia.com/regulations/fedreg/2020/01/16/2020-00559.html https://regulations.justia.com/regulations/fedreg/2020/01/16/2020-00559.html Thu, 16 Jan 2020 00:00:00 -0800 2020-00559 Notice https://www.govinfo.gov/content/pkg/FR-2020-01-16/pdf/2020-00559.pdf Notice - 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 Center https://regulations.justia.com/regulations/fedreg/2020/01/15/2020-00485.html https://regulations.justia.com/regulations/fedreg/2020/01/15/2020-00485.html Wed, 15 Jan 2020 00:00:00 -0800 2020-00485 Notice https://www.govinfo.gov/content/pkg/FR-2020-01-15/pdf/2020-00485.pdf Notice - 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 Center https://regulations.justia.com/regulations/fedreg/2020/01/15/2020-00484.html https://regulations.justia.com/regulations/fedreg/2020/01/15/2020-00484.html Wed, 15 Jan 2020 00:00:00 -0800 2020-00484 Notice https://www.govinfo.gov/content/pkg/FR-2020-01-15/pdf/2020-00484.pdf Notice - 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 Center https://regulations.justia.com/regulations/fedreg/2020/01/15/2020-00483.html https://regulations.justia.com/regulations/fedreg/2020/01/15/2020-00483.html Wed, 15 Jan 2020 00:00:00 -0800 2020-00483 Notice https://www.govinfo.gov/content/pkg/FR-2020-01-15/pdf/2020-00483.pdf Notice - 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 Center https://regulations.justia.com/regulations/fedreg/2020/01/15/2020-00482.html https://regulations.justia.com/regulations/fedreg/2020/01/15/2020-00482.html Wed, 15 Jan 2020 00:00:00 -0800 2020-00482 Notice https://www.govinfo.gov/content/pkg/FR-2020-01-15/pdf/2020-00482.pdf Notice - 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 Securities https://regulations.justia.com/regulations/fedreg/2020/01/15/2020-00480.html https://regulations.justia.com/regulations/fedreg/2020/01/15/2020-00480.html Wed, 15 Jan 2020 00:00:00 -0800 2020-00480 Notice https://www.govinfo.gov/content/pkg/FR-2020-01-15/pdf/2020-00480.pdf Notice - Goldman Sachs Real Estate Diversified Income Fund, et al. https://regulations.justia.com/regulations/fedreg/2020/01/15/2020-00451.html https://regulations.justia.com/regulations/fedreg/2020/01/15/2020-00451.html Wed, 15 Jan 2020 00:00:00 -0800 2020-00451 Notice https://www.govinfo.gov/content/pkg/FR-2020-01-15/pdf/2020-00451.pdf Proposed Rule - Amendments to Rule 2-01, Qualifications of Accountants https://regulations.justia.com/regulations/fedreg/2020/01/15/2019-28476.html https://regulations.justia.com/regulations/fedreg/2020/01/15/2019-28476.html Wed, 15 Jan 2020 00:00:00 -0800 2019-28476 Proposed Rule https://www.govinfo.gov/content/pkg/FR-2020-01-15/pdf/2019-28476.pdf Proposed Rule - Disclosure of Payments by Resource Extraction Issuers https://regulations.justia.com/regulations/fedreg/2020/01/15/2019-28407.html https://regulations.justia.com/regulations/fedreg/2020/01/15/2019-28407.html Wed, 15 Jan 2020 00:00:00 -0800 2019-28407 Proposed Rule https://www.govinfo.gov/content/pkg/FR-2020-01-15/pdf/2019-28407.pdf Proposed Rule - Amending the “Accredited Investor” Definition https://regulations.justia.com/regulations/fedreg/2020/01/15/2019-28304.html https://regulations.justia.com/regulations/fedreg/2020/01/15/2019-28304.html Wed, 15 Jan 2020 00:00:00 -0800 2019-28304 Proposed Rule https://www.govinfo.gov/content/pkg/FR-2020-01-15/pdf/2019-28304.pdf Notice - Order Making Fiscal Year 2020 Annual Adjustments to Transaction Fee Rates https://regulations.justia.com/regulations/fedreg/2020/01/14/2020-00423.html https://regulations.justia.com/regulations/fedreg/2020/01/14/2020-00423.html Tue, 14 Jan 2020 00:00:00 -0800 2020-00423 Notice https://www.govinfo.gov/content/pkg/FR-2020-01-14/pdf/2020-00423.pdf Notice - Self-Regulatory Organizations; National Securities Clearing Corporation; Notice of Filing of Advance Notice To Issue Term Debt as Part of Its Liquidity Risk Management https://regulations.justia.com/regulations/fedreg/2020/01/14/2020-00367.html https://regulations.justia.com/regulations/fedreg/2020/01/14/2020-00367.html Tue, 14 Jan 2020 00:00:00 -0800 2020-00367 Notice https://www.govinfo.gov/content/pkg/FR-2020-01-14/pdf/2020-00367.pdf Notice - 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 Bonds https://regulations.justia.com/regulations/fedreg/2020/01/14/2020-00366.html https://regulations.justia.com/regulations/fedreg/2020/01/14/2020-00366.html Tue, 14 Jan 2020 00:00:00 -0800 2020-00366 Notice https://www.govinfo.gov/content/pkg/FR-2020-01-14/pdf/2020-00366.pdf Notice - 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 Plan https://regulations.justia.com/regulations/fedreg/2020/01/14/2020-00363.html https://regulations.justia.com/regulations/fedreg/2020/01/14/2020-00363.html Tue, 14 Jan 2020 00:00:00 -0800 2020-00363 Notice https://www.govinfo.gov/content/pkg/FR-2020-01-14/pdf/2020-00363.pdf Notice - 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 Data https://regulations.justia.com/regulations/fedreg/2020/01/14/2020-00360.html https://regulations.justia.com/regulations/fedreg/2020/01/14/2020-00360.html Tue, 14 Jan 2020 00:00:00 -0800 2020-00360 Notice https://www.govinfo.gov/content/pkg/FR-2020-01-14/pdf/2020-00360.pdf Notice - 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 Plan https://regulations.justia.com/regulations/fedreg/2020/01/14/2020-00359.html https://regulations.justia.com/regulations/fedreg/2020/01/14/2020-00359.html Tue, 14 Jan 2020 00:00:00 -0800 2020-00359 Notice https://www.govinfo.gov/content/pkg/FR-2020-01-14/pdf/2020-00359.pdf Notice - 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 Basis https://regulations.justia.com/regulations/fedreg/2020/01/14/2020-00358.html https://regulations.justia.com/regulations/fedreg/2020/01/14/2020-00358.html Tue, 14 Jan 2020 00:00:00 -0800 2020-00358 Notice https://www.govinfo.gov/content/pkg/FR-2020-01-14/pdf/2020-00358.pdf Notice - 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 Basis https://regulations.justia.com/regulations/fedreg/2020/01/14/2020-00357.html https://regulations.justia.com/regulations/fedreg/2020/01/14/2020-00357.html Tue, 14 Jan 2020 00:00:00 -0800 2020-00357 Notice https://www.govinfo.gov/content/pkg/FR-2020-01-14/pdf/2020-00357.pdf Notice - 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 Organizations https://regulations.justia.com/regulations/fedreg/2020/01/14/2020-00348.html https://regulations.justia.com/regulations/fedreg/2020/01/14/2020-00348.html Tue, 14 Jan 2020 00:00:00 -0800 2020-00348 Notice https://www.govinfo.gov/content/pkg/FR-2020-01-14/pdf/2020-00348.pdf Notice - Sunshine Act Meetings https://regulations.justia.com/regulations/fedreg/2020/01/13/2020-00373.html https://regulations.justia.com/regulations/fedreg/2020/01/13/2020-00373.html Mon, 13 Jan 2020 00:00:00 -0800 2020-00373 Notice https://www.govinfo.gov/content/pkg/FR-2020-01-13/pdf/2020-00373.pdf Notice - Kayne Anderson MLP/Midstream Investment Company, et al. https://regulations.justia.com/regulations/fedreg/2020/01/13/2020-00312.html https://regulations.justia.com/regulations/fedreg/2020/01/13/2020-00312.html Mon, 13 Jan 2020 00:00:00 -0800 2020-00312 Notice https://www.govinfo.gov/content/pkg/FR-2020-01-13/pdf/2020-00312.pdf Notice - Adjustments to Civil Monetary Penalty Amounts https://regulations.justia.com/regulations/fedreg/2020/01/13/2020-00306.html https://regulations.justia.com/regulations/fedreg/2020/01/13/2020-00306.html Mon, 13 Jan 2020 00:00:00 -0800 2020-00306 Notice https://www.govinfo.gov/content/pkg/FR-2020-01-13/pdf/2020-00306.pdf Notice - 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 Program https://regulations.justia.com/regulations/fedreg/2020/01/13/2020-00264.html https://regulations.justia.com/regulations/fedreg/2020/01/13/2020-00264.html Mon, 13 Jan 2020 00:00:00 -0800 2020-00264 Notice https://www.govinfo.gov/content/pkg/FR-2020-01-13/pdf/2020-00264.pdf Notice - 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 Scale https://regulations.justia.com/regulations/fedreg/2020/01/13/2020-00263.html https://regulations.justia.com/regulations/fedreg/2020/01/13/2020-00263.html Mon, 13 Jan 2020 00:00:00 -0800 2020-00263 Notice https://www.govinfo.gov/content/pkg/FR-2020-01-13/pdf/2020-00263.pdf Notice - 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 Program https://regulations.justia.com/regulations/fedreg/2020/01/13/2020-00262.html https://regulations.justia.com/regulations/fedreg/2020/01/13/2020-00262.html Mon, 13 Jan 2020 00:00:00 -0800 2020-00262 Notice https://www.govinfo.gov/content/pkg/FR-2020-01-13/pdf/2020-00262.pdf Notice - Self-Regulatory Organizations; Miami International Securities Exchange LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Its Fee Schedule https://regulations.justia.com/regulations/fedreg/2020/01/10/2020-00204.html https://regulations.justia.com/regulations/fedreg/2020/01/10/2020-00204.html Fri, 10 Jan 2020 00:00:00 -0800 2020-00204 Notice https://www.govinfo.gov/content/pkg/FR-2020-01-10/pdf/2020-00204.pdf Notice - 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 Service https://regulations.justia.com/regulations/fedreg/2020/01/10/2020-00203.html https://regulations.justia.com/regulations/fedreg/2020/01/10/2020-00203.html Fri, 10 Jan 2020 00:00:00 -0800 2020-00203 Notice https://www.govinfo.gov/content/pkg/FR-2020-01-10/pdf/2020-00203.pdf Notice - 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 Options https://regulations.justia.com/regulations/fedreg/2020/01/10/2020-00202.html https://regulations.justia.com/regulations/fedreg/2020/01/10/2020-00202.html Fri, 10 Jan 2020 00:00:00 -0800 2020-00202 Notice https://www.govinfo.gov/content/pkg/FR-2020-01-10/pdf/2020-00202.pdf Notice - 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 Options https://regulations.justia.com/regulations/fedreg/2020/01/10/2020-00201.html https://regulations.justia.com/regulations/fedreg/2020/01/10/2020-00201.html Fri, 10 Jan 2020 00:00:00 -0800 2020-00201 Notice https://www.govinfo.gov/content/pkg/FR-2020-01-10/pdf/2020-00201.pdf Notice - 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 Options https://regulations.justia.com/regulations/fedreg/2020/01/10/2020-00200.html https://regulations.justia.com/regulations/fedreg/2020/01/10/2020-00200.html Fri, 10 Jan 2020 00:00:00 -0800 2020-00200 Notice https://www.govinfo.gov/content/pkg/FR-2020-01-10/pdf/2020-00200.pdf Notice - Self-Regulatory Organizations; LCH SA; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to the Amendments of the CDSClear Fee Grid https://regulations.justia.com/regulations/fedreg/2020/01/09/2020-00118.html https://regulations.justia.com/regulations/fedreg/2020/01/09/2020-00118.html Thu, 09 Jan 2020 00:00:00 -0800 2020-00118 Notice https://www.govinfo.gov/content/pkg/FR-2020-01-09/pdf/2020-00118.pdf Notice - 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-E https://regulations.justia.com/regulations/fedreg/2020/01/09/2020-00117.html https://regulations.justia.com/regulations/fedreg/2020/01/09/2020-00117.html Thu, 09 Jan 2020 00:00:00 -0800 2020-00117 Notice https://www.govinfo.gov/content/pkg/FR-2020-01-09/pdf/2020-00117.pdf Notice - Sunshine Act Meetings https://regulations.justia.com/regulations/fedreg/2020/01/08/2020-00168.html https://regulations.justia.com/regulations/fedreg/2020/01/08/2020-00168.html Wed, 08 Jan 2020 00:00:00 -0800 2020-00168 Notice https://www.govinfo.gov/content/pkg/FR-2020-01-08/pdf/2020-00168.pdf Notice - Self-Regulatory Organizations; LCH SA; Order Approving Proposed Rule Change Relating to Amendments to CDSClear Reference Guide To Allow Index Basis Packages Margining https://regulations.justia.com/regulations/fedreg/2020/01/08/2020-00062.html https://regulations.justia.com/regulations/fedreg/2020/01/08/2020-00062.html Wed, 08 Jan 2020 00:00:00 -0800 2020-00062 Notice https://www.govinfo.gov/content/pkg/FR-2020-01-08/pdf/2020-00062.pdf Notice - Self-Regulatory Organizations; Cboe Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Rules Regarding Complex Orders https://regulations.justia.com/regulations/fedreg/2020/01/08/2020-00061.html https://regulations.justia.com/regulations/fedreg/2020/01/08/2020-00061.html Wed, 08 Jan 2020 00:00:00 -0800 2020-00061 Notice https://www.govinfo.gov/content/pkg/FR-2020-01-08/pdf/2020-00061.pdf Notice - Self-Regulatory Organizations; The Nasdaq Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the Exchange's Transaction Fees at Equity 7, Section 118(a) https://regulations.justia.com/regulations/fedreg/2020/01/08/2020-00060.html https://regulations.justia.com/regulations/fedreg/2020/01/08/2020-00060.html Wed, 08 Jan 2020 00:00:00 -0800 2020-00060 Notice https://www.govinfo.gov/content/pkg/FR-2020-01-08/pdf/2020-00060.pdf Notice - 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 Accounts https://regulations.justia.com/regulations/fedreg/2020/01/07/2020-00032.html https://regulations.justia.com/regulations/fedreg/2020/01/07/2020-00032.html Tue, 07 Jan 2020 00:00:00 -0800 2020-00032 Notice https://www.govinfo.gov/content/pkg/FR-2020-01-07/pdf/2020-00032.pdf Notice - 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 Redemptions https://regulations.justia.com/regulations/fedreg/2020/01/07/2020-00031.html https://regulations.justia.com/regulations/fedreg/2020/01/07/2020-00031.html Tue, 07 Jan 2020 00:00:00 -0800 2020-00031 Notice https://www.govinfo.gov/content/pkg/FR-2020-01-07/pdf/2020-00031.pdf Notice - Self-Regulatory Organizations; MIAX Emerald, LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Its Fee Schedule https://regulations.justia.com/regulations/fedreg/2020/01/07/2019-28537.html https://regulations.justia.com/regulations/fedreg/2020/01/07/2019-28537.html Tue, 07 Jan 2020 00:00:00 -0800 2019-28537 Notice https://www.govinfo.gov/content/pkg/FR-2020-01-07/pdf/2019-28537.pdf Notice - Self-Regulatory Organizations; MIAX PEARL, LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the MIAX PEARL Fee Schedule https://regulations.justia.com/regulations/fedreg/2020/01/07/2019-28536.html https://regulations.justia.com/regulations/fedreg/2020/01/07/2019-28536.html Tue, 07 Jan 2020 00:00:00 -0800 2019-28536 Notice https://www.govinfo.gov/content/pkg/FR-2020-01-07/pdf/2019-28536.pdf Notice - Self-Regulatory Organizations; Miami International Securities Exchange LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Its Fee Schedule https://regulations.justia.com/regulations/fedreg/2020/01/07/2019-28535.html https://regulations.justia.com/regulations/fedreg/2020/01/07/2019-28535.html Tue, 07 Jan 2020 00:00:00 -0800 2019-28535 Notice https://www.govinfo.gov/content/pkg/FR-2020-01-07/pdf/2019-28535.pdf Notice - Self-Regulatory Organizations; Cboe Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Its Fees Schedule https://regulations.justia.com/regulations/fedreg/2020/01/07/2019-28534.html https://regulations.justia.com/regulations/fedreg/2020/01/07/2019-28534.html Tue, 07 Jan 2020 00:00:00 -0800 2019-28534 Notice https://www.govinfo.gov/content/pkg/FR-2020-01-07/pdf/2019-28534.pdf Notice - Investor Advisory Committee Meeting https://regulations.justia.com/regulations/fedreg/2020/01/06/2019-28499.html https://regulations.justia.com/regulations/fedreg/2020/01/06/2019-28499.html Mon, 06 Jan 2020 00:00:00 -0800 2019-28499 Notice https://www.govinfo.gov/content/pkg/FR-2020-01-06/pdf/2019-28499.pdf Notice - Fundrise Real Estate Interval Fund, LLC, et al. https://regulations.justia.com/regulations/fedreg/2020/01/06/2019-28491.html https://regulations.justia.com/regulations/fedreg/2020/01/06/2019-28491.html Mon, 06 Jan 2020 00:00:00 -0800 2019-28491 Notice https://www.govinfo.gov/content/pkg/FR-2020-01-06/pdf/2019-28491.pdf Notice - 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 Institutions https://regulations.justia.com/regulations/fedreg/2020/01/06/2019-28448.html https://regulations.justia.com/regulations/fedreg/2020/01/06/2019-28448.html Mon, 06 Jan 2020 00:00:00 -0800 2019-28448 Notice https://www.govinfo.gov/content/pkg/FR-2020-01-06/pdf/2019-28448.pdf Notice - Sunshine Act Meetings https://regulations.justia.com/regulations/fedreg/2020/01/03/2019-28540.html https://regulations.justia.com/regulations/fedreg/2020/01/03/2019-28540.html Fri, 03 Jan 2020 00:00:00 -0800 2019-28540 Notice https://www.govinfo.gov/content/pkg/FR-2020-01-03/pdf/2019-28540.pdf Notice - Sunshine Act Meetings https://regulations.justia.com/regulations/fedreg/2020/01/03/2019-28480.html https://regulations.justia.com/regulations/fedreg/2020/01/03/2019-28480.html Fri, 03 Jan 2020 00:00:00 -0800 2019-28480 Notice https://www.govinfo.gov/content/pkg/FR-2020-01-03/pdf/2019-28480.pdf Notice - 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-E https://regulations.justia.com/regulations/fedreg/2020/01/03/2019-28415.html https://regulations.justia.com/regulations/fedreg/2020/01/03/2019-28415.html Fri, 03 Jan 2020 00:00:00 -0800 2019-28415 Notice https://www.govinfo.gov/content/pkg/FR-2020-01-03/pdf/2019-28415.pdf Notice - 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 Products https://regulations.justia.com/regulations/fedreg/2020/01/03/2019-28414.html https://regulations.justia.com/regulations/fedreg/2020/01/03/2019-28414.html Fri, 03 Jan 2020 00:00:00 -0800 2019-28414 Notice https://www.govinfo.gov/content/pkg/FR-2020-01-03/pdf/2019-28414.pdf Notice - 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-E https://regulations.justia.com/regulations/fedreg/2020/01/03/2019-28413.html https://regulations.justia.com/regulations/fedreg/2020/01/03/2019-28413.html Fri, 03 Jan 2020 00:00:00 -0800 2019-28413 Notice https://www.govinfo.gov/content/pkg/FR-2020-01-03/pdf/2019-28413.pdf Notice - 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 Exchange https://regulations.justia.com/regulations/fedreg/2020/01/03/2019-28412.html https://regulations.justia.com/regulations/fedreg/2020/01/03/2019-28412.html Fri, 03 Jan 2020 00:00:00 -0800 2019-28412 Notice https://www.govinfo.gov/content/pkg/FR-2020-01-03/pdf/2019-28412.pdf Notice - 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-E https://regulations.justia.com/regulations/fedreg/2020/01/03/2019-28411.html https://regulations.justia.com/regulations/fedreg/2020/01/03/2019-28411.html Fri, 03 Jan 2020 00:00:00 -0800 2019-28411 Notice https://www.govinfo.gov/content/pkg/FR-2020-01-03/pdf/2019-28411.pdf Notice - 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 Shares https://regulations.justia.com/regulations/fedreg/2020/01/03/2019-28362.html https://regulations.justia.com/regulations/fedreg/2020/01/03/2019-28362.html Fri, 03 Jan 2020 00:00:00 -0800 2019-28362 Notice https://www.govinfo.gov/content/pkg/FR-2020-01-03/pdf/2019-28362.pdf Notice - 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 2.4 https://regulations.justia.com/regulations/fedreg/2020/01/03/2019-28361.html https://regulations.justia.com/regulations/fedreg/2020/01/03/2019-28361.html Fri, 03 Jan 2020 00:00:00 -0800 2019-28361 Notice https://www.govinfo.gov/content/pkg/FR-2020-01-03/pdf/2019-28361.pdf Notice - 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 Members https://regulations.justia.com/regulations/fedreg/2020/01/03/2019-28360.html https://regulations.justia.com/regulations/fedreg/2020/01/03/2019-28360.html Fri, 03 Jan 2020 00:00:00 -0800 2019-28360 Notice https://www.govinfo.gov/content/pkg/FR-2020-01-03/pdf/2019-28360.pdf Notice - Notice of Applications for Deregistration Under Section 8(f) of the Investment Company Act of 1940 https://regulations.justia.com/regulations/fedreg/2020/01/03/2019-28349.html https://regulations.justia.com/regulations/fedreg/2020/01/03/2019-28349.html Fri, 03 Jan 2020 00:00:00 -0800 2019-28349 Notice https://www.govinfo.gov/content/pkg/FR-2020-01-03/pdf/2019-28349.pdf Notice - Submission for OMB Review; Comment Request https://regulations.justia.com/regulations/fedreg/2020/01/02/2019-28320.html https://regulations.justia.com/regulations/fedreg/2020/01/02/2019-28320.html Thu, 02 Jan 2020 00:00:00 -0800 2019-28320 Notice https://www.govinfo.gov/content/pkg/FR-2020-01-02/pdf/2019-28320.pdf Notice - Submission for OMB Review; Comment Request https://regulations.justia.com/regulations/fedreg/2020/01/02/2019-28319.html https://regulations.justia.com/regulations/fedreg/2020/01/02/2019-28319.html Thu, 02 Jan 2020 00:00:00 -0800 2019-28319 Notice https://www.govinfo.gov/content/pkg/FR-2020-01-02/pdf/2019-28319.pdf Notice - Proposed Collection; Comment Request https://regulations.justia.com/regulations/fedreg/2020/01/02/2019-28318.html https://regulations.justia.com/regulations/fedreg/2020/01/02/2019-28318.html Thu, 02 Jan 2020 00:00:00 -0800 2019-28318 Notice https://www.govinfo.gov/content/pkg/FR-2020-01-02/pdf/2019-28318.pdf Notice - Submission for OMB Review; Comment Request https://regulations.justia.com/regulations/fedreg/2020/01/02/2019-28317.html https://regulations.justia.com/regulations/fedreg/2020/01/02/2019-28317.html Thu, 02 Jan 2020 00:00:00 -0800 2019-28317 Notice https://www.govinfo.gov/content/pkg/FR-2020-01-02/pdf/2019-28317.pdf Notice - 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 9217 https://regulations.justia.com/regulations/fedreg/2020/01/02/2019-28278.html https://regulations.justia.com/regulations/fedreg/2020/01/02/2019-28278.html Thu, 02 Jan 2020 00:00:00 -0800 2019-28278 Notice https://www.govinfo.gov/content/pkg/FR-2020-01-02/pdf/2019-28278.pdf Notice - Self-Regulatory Organizations; ICE Clear Credit LLC; Order Approving Proposed Rule Change Relating to ICC's Treasury Operations Policies and Procedures https://regulations.justia.com/regulations/fedreg/2020/01/02/2019-28277.html https://regulations.justia.com/regulations/fedreg/2020/01/02/2019-28277.html Thu, 02 Jan 2020 00:00:00 -0800 2019-28277 Notice https://www.govinfo.gov/content/pkg/FR-2020-01-02/pdf/2019-28277.pdf Notice - 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 Bonds https://regulations.justia.com/regulations/fedreg/2020/01/02/2019-28276.html https://regulations.justia.com/regulations/fedreg/2020/01/02/2019-28276.html Thu, 02 Jan 2020 00:00:00 -0800 2019-28276 Notice https://www.govinfo.gov/content/pkg/FR-2020-01-02/pdf/2019-28276.pdf