Federal Register Recent Federal Regulation Documents - Justia Regulation Tracker - Justia Regulations Trackerhttps://regulations.justia.com/regulations/fedreg/agencies/securities-and-exchange-commission/2020/02?limit=200®isters=between&min-day=1&max-day=29&mode=atom2024-05-21T12:20:42-07:00Justia Inchttps://www.justia.com/Justia Regulations Trackerhttps://regulations.justia.com/images/justiafedregulations.gifCopyright 2011 Justia Inchttps://regulations.justia.com/regulations/fedreg/2020/02/28/2020-04075.htmlNotice - Self-Regulatory Organizations; Nasdaq MRX, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Options 9, Section 21 (Anti-Money Laundering Compliance Program)2020-02-28T00:00:00-08:002020-02-28T00:00:00-08:002020-04075Noticehttps://www.govinfo.gov/content/pkg/FR-2020-02-28/pdf/2020-04075.pdfhttps://regulations.justia.com/regulations/fedreg/2020/02/28/2020-04074.htmlNotice - Self-Regulatory Organizations; Nasdaq GEMX, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Options 9, Section 21 (Anti-Money Laundering Compliance Program)2020-02-28T00:00:00-08:002020-02-28T00:00:00-08:002020-04074Noticehttps://www.govinfo.gov/content/pkg/FR-2020-02-28/pdf/2020-04074.pdfhttps://regulations.justia.com/regulations/fedreg/2020/02/28/2020-04073.htmlNotice - Self-Regulatory Organizations; Nasdaq PHLX LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend PSX Rule 3506 (Anti-Money Laundering Compliance Program) and Options 9, Section 21 (Anti-Money Laundering Compliance Program)2020-02-28T00:00:00-08:002020-02-28T00:00:00-08:002020-04073Noticehttps://www.govinfo.gov/content/pkg/FR-2020-02-28/pdf/2020-04073.pdfhttps://regulations.justia.com/regulations/fedreg/2020/02/28/2020-04072.htmlNotice - Self-Regulatory Organizations; Nasdaq ISE, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Options 9, Section 21 (Anti-Money Laundering Compliance Program)2020-02-28T00:00:00-08:002020-02-28T00:00:00-08:002020-04072Noticehttps://www.govinfo.gov/content/pkg/FR-2020-02-28/pdf/2020-04072.pdfhttps://regulations.justia.com/regulations/fedreg/2020/02/28/2020-04071.htmlNotice - Self-Regulatory Organizations; NYSE American LLC; Notice of Filing and Order Granting Accelerated Approval of a Proposed Rule Change for Certain Conforming Changes to Rule 92172020-02-28T00:00:00-08:002020-02-28T00:00:00-08:002020-04071Noticehttps://www.govinfo.gov/content/pkg/FR-2020-02-28/pdf/2020-04071.pdfhttps://regulations.justia.com/regulations/fedreg/2020/02/28/2020-02707.htmlProposed Rule - Prohibitions and Restrictions on Proprietary Trading and Certain Interests in, and Relationships With, Hedge Funds and Private Equity Funds2020-02-28T00:00:00-08:002020-02-28T00:00:00-08:002020-02707Proposed Rulehttps://www.govinfo.gov/content/pkg/FR-2020-02-28/pdf/2020-02707.pdfhttps://regulations.justia.com/regulations/fedreg/2020/02/28/2020-02313.htmlProposed Rule - Management's Discussion and Analysis, Selected Financial Data, and Supplementary Financial Information2020-02-28T00:00:00-08:002020-02-28T00:00:00-08:002020-02313Proposed Rulehttps://www.govinfo.gov/content/pkg/FR-2020-02-28/pdf/2020-02313.pdfhttps://regulations.justia.com/regulations/fedreg/2020/02/27/2020-03997.htmlNotice - Self-Regulatory Organizations; National Securities Clearing Corporation; Notice of Filing of Advance Notice To Enhance the Calculation of the Family-Issued Securities Charge2020-02-27T00:00:00-08:002020-02-27T00:00:00-08:002020-03997Noticehttps://www.govinfo.gov/content/pkg/FR-2020-02-27/pdf/2020-03997.pdfhttps://regulations.justia.com/regulations/fedreg/2020/02/27/2020-03996.htmlNotice - Self-Regulatory Organizations; Fixed Income Clearing Corporation; Notice of Filing of Advance Notice To Amend the Mortgage-Backed Securities Division Stress Testing Methodology2020-02-27T00:00:00-08:002020-02-27T00:00:00-08:002020-03996Noticehttps://www.govinfo.gov/content/pkg/FR-2020-02-27/pdf/2020-03996.pdfhttps://regulations.justia.com/regulations/fedreg/2020/02/27/2020-03921.htmlNotice - Self-Regulatory Organizations; Cboe BZX Exchange, Inc.; Notice of Filing of a Proposed Rule Change Relating To Providing Members Certain Optional Risk Settings Under Proposed Interpretation and Policy .03 of Rule 11.132020-02-27T00:00:00-08:002020-02-27T00:00:00-08:002020-03921Noticehttps://www.govinfo.gov/content/pkg/FR-2020-02-27/pdf/2020-03921.pdfhttps://regulations.justia.com/regulations/fedreg/2020/02/27/2020-03920.htmlNotice - Self-Regulatory Organizations; Cboe BZX Exchange, Inc.; Notice of Filing of a Proposed Rule Change To Eliminate the Requirement That the Intraday Indicative Value Be Disseminated as Set Forth Under Rule 14.11(c) for Certain Series of Index Fund Shares and Under Rule 14.11(i) for All Series of Managed Fund Shares2020-02-27T00:00:00-08:002020-02-27T00:00:00-08:002020-03920Noticehttps://www.govinfo.gov/content/pkg/FR-2020-02-27/pdf/2020-03920.pdfhttps://regulations.justia.com/regulations/fedreg/2020/02/27/2020-03919.htmlNotice - Self-Regulatory Organizations; Cboe EDGX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Regarding Solicitation Auction Mechanism (SAM) Fees, Qualified Contingent Cross (QCC) Order Rebates, and Automated Improvement Mechanism (AIM) Fees2020-02-27T00:00:00-08:002020-02-27T00:00:00-08:002020-03919Noticehttps://www.govinfo.gov/content/pkg/FR-2020-02-27/pdf/2020-03919.pdfhttps://regulations.justia.com/regulations/fedreg/2020/02/27/2020-03918.htmlNotice - Self-Regulatory Organizations; National Securities Clearing Corporation; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Establish Implementation Date of National Securities Clearing Corporation's Enhancements to the Haircut-Based Volatility Charge Applicable to Municipal Bonds2020-02-27T00:00:00-08:002020-02-27T00:00:00-08:002020-03918Noticehttps://www.govinfo.gov/content/pkg/FR-2020-02-27/pdf/2020-03918.pdfhttps://regulations.justia.com/regulations/fedreg/2020/02/27/2020-03915.htmlNotice - Self-Regulatory Organizations; Cboe EDGA Exchange, Inc.; Order Disapproving Proposed Rule Change To Introduce a Liquidity Provider Protection Delay Mechanism on EDGA2020-02-27T00:00:00-08:002020-02-27T00:00:00-08:002020-03915Noticehttps://www.govinfo.gov/content/pkg/FR-2020-02-27/pdf/2020-03915.pdfhttps://regulations.justia.com/regulations/fedreg/2020/02/27/2020-03914.htmlNotice - Self-Regulatory Organizations; Fixed Income Clearing Corporation; Order Approving a Proposed Rule Change Regarding the Close-Out and Funds-Only Settlement Processes Associated With the Sponsoring Member/Sponsored Member Service2020-02-27T00:00:00-08:002020-02-27T00:00:00-08:002020-03914Noticehttps://www.govinfo.gov/content/pkg/FR-2020-02-27/pdf/2020-03914.pdfhttps://regulations.justia.com/regulations/fedreg/2020/02/26/2020-03922.htmlNotice - Sunshine Act Meetings2020-02-26T00:00:00-08:002020-02-26T00:00:00-08:002020-03922Noticehttps://www.govinfo.gov/content/pkg/FR-2020-02-26/pdf/2020-03922.pdfhttps://regulations.justia.com/regulations/fedreg/2020/02/26/2020-03775.htmlNotice - Self-Regulatory Organizations; ICE Clear Credit LLC; Order Approving Proposed Rule Change, as Modified by Partial Amendment No. 1 and Partial Amendment No. 2, Relating to Amendments to the ICC Clearing Rules To Address Non-Default Losses, on an Accelerated Basis2020-02-26T00:00:00-08:002020-02-26T00:00:00-08:002020-03775Noticehttps://www.govinfo.gov/content/pkg/FR-2020-02-26/pdf/2020-03775.pdfhttps://regulations.justia.com/regulations/fedreg/2020/02/26/2020-03774.htmlNotice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing of Amendment No. 4 and Order Granting Accelerated Approval of a Proposed Rule Change, as Modified by Amendment No. 4, To List and Trade Shares of the KFA Global Carbon ETF Under NYSE Arca Rule 8.600-E2020-02-26T00:00:00-08:002020-02-26T00:00:00-08:002020-03774Noticehttps://www.govinfo.gov/content/pkg/FR-2020-02-26/pdf/2020-03774.pdfhttps://regulations.justia.com/regulations/fedreg/2020/02/26/2020-03772.htmlNotice - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing of a Proposed Rule Change To Amend the FINRA Code of Arbitration Procedure for Customer Disputes and the FINRA Code of Arbitration Procedure for Industry Disputes To Apply Minimum Fees to Requests for Expungement of Customer Dispute Information2020-02-26T00:00:00-08:002020-02-26T00:00:00-08:002020-03772Noticehttps://www.govinfo.gov/content/pkg/FR-2020-02-26/pdf/2020-03772.pdfhttps://regulations.justia.com/regulations/fedreg/2020/02/26/2020-03771.htmlNotice - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Order Approving a Proposed Rule Change To Amend FINRA Rule 12000 Series To Expand Options Available to Customers if a Firm or Associated Person Is or Becomes Inactive2020-02-26T00:00:00-08:002020-02-26T00:00:00-08:002020-03771Noticehttps://www.govinfo.gov/content/pkg/FR-2020-02-26/pdf/2020-03771.pdfhttps://regulations.justia.com/regulations/fedreg/2020/02/26/2020-03770.htmlNotice - Self-Regulatory Organizations; Cboe BZX Exchange, Inc.; Notice of Filing of Amendment No. 3 and Order Granting Accelerated Approval of a Proposed Rule Change, as Modified by Amendment No. 3 Thereto, to List and Trade Shares of the ClearBridge Focus Value ETF Under BZX Rule 14.11(k)2020-02-26T00:00:00-08:002020-02-26T00:00:00-08:002020-03770Noticehttps://www.govinfo.gov/content/pkg/FR-2020-02-26/pdf/2020-03770.pdfhttps://regulations.justia.com/regulations/fedreg/2020/02/26/2020-03769.htmlNotice - Self-Regulatory Organizations; Long-Term Stock Exchange, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to the Annual Membership Fee2020-02-26T00:00:00-08:002020-02-26T00:00:00-08:002020-03769Noticehttps://www.govinfo.gov/content/pkg/FR-2020-02-26/pdf/2020-03769.pdfhttps://regulations.justia.com/regulations/fedreg/2020/02/25/2020-03739.htmlNotice - Program for Allocation of Regulatory Responsibilities Pursuant to Rule 17d-2; Notice of Filing of an Amendment to the Plan for the Allocation of Regulatory Responsibilities Between Cboe BZX Exchange, Inc., Cboe BYX Exchange, Inc., BOX Exchange LLC, Cboe Exchange, Inc., Cboe C2 Exchange, Inc., NYSE Chicago, Inc., Cboe EDGA Exchange, Inc., Cboe EDGX Exchange, Inc., Financial Industry Regulatory Authority, Inc., Nasdaq ISE, LLC, Nasdaq GEMX, LLC, Nasdaq MRX, LLC, Investors Exchange LLC, Miami International Securities Exchange, LLC, MIAX PEARL, LLC, MIAX Emerald, LLC, The Nasdaq Stock Market LLC, Nasdaq BX, Inc., Nasdaq LLC, NYSE National, Inc., New York Stock Exchange LLC, NYSE American LLC, NYSE Arca, Inc., and Long-Term Stock Exchange, Inc. Concerning Covered Regulation NMS and Consolidated Audit Trail Rules2020-02-25T00:00:00-08:002020-02-25T00:00:00-08:002020-03739Noticehttps://www.govinfo.gov/content/pkg/FR-2020-02-25/pdf/2020-03739.pdfhttps://regulations.justia.com/regulations/fedreg/2020/02/25/2020-03676.htmlNotice - Prospect Capital Management L.P., et al.2020-02-25T00:00:00-08:002020-02-25T00:00:00-08:002020-03676Noticehttps://www.govinfo.gov/content/pkg/FR-2020-02-25/pdf/2020-03676.pdfhttps://regulations.justia.com/regulations/fedreg/2020/02/25/2020-03647.htmlNotice - Self-Regulatory Organizations; NYSE American LLC; Notice of Filing of Proposed Rule Change To Amend the Schedule of Wireless Connectivity Fees and Charges To Add Wireless Connectivity Services2020-02-25T00:00:00-08:002020-02-25T00:00:00-08:002020-03647Noticehttps://www.govinfo.gov/content/pkg/FR-2020-02-25/pdf/2020-03647.pdfhttps://regulations.justia.com/regulations/fedreg/2020/02/25/2020-03646.htmlNotice - Self-Regulatory Organizations; Cboe Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the Fees Schedule2020-02-25T00:00:00-08:002020-02-25T00:00:00-08:002020-03646Noticehttps://www.govinfo.gov/content/pkg/FR-2020-02-25/pdf/2020-03646.pdfhttps://regulations.justia.com/regulations/fedreg/2020/02/25/2020-03645.htmlNotice - Self-Regulatory Organizations; Cboe Exchange, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending its Financial Incentive Programs for Global Trading Hours (GTH) Lead Market-Makers (LMMs) in VIX Options2020-02-25T00:00:00-08:002020-02-25T00:00:00-08:002020-03645Noticehttps://www.govinfo.gov/content/pkg/FR-2020-02-25/pdf/2020-03645.pdfhttps://regulations.justia.com/regulations/fedreg/2020/02/25/2020-03644.htmlNotice - Self-Regulatory Organizations; NYSE National, Inc.; Notice of Filing of Proposed Rule Change To Amend the Schedule of Wireless Connectivity Fees and Charges To Add Wireless Connectivity Services2020-02-25T00:00:00-08:002020-02-25T00:00:00-08:002020-03644Noticehttps://www.govinfo.gov/content/pkg/FR-2020-02-25/pdf/2020-03644.pdfhttps://regulations.justia.com/regulations/fedreg/2020/02/25/2020-03643.htmlNotice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing of Proposed Rule Change To Amend the Schedule of Wireless Connectivity Fees and Charges To Add Wireless Connectivity Services2020-02-25T00:00:00-08:002020-02-25T00:00:00-08:002020-03643Noticehttps://www.govinfo.gov/content/pkg/FR-2020-02-25/pdf/2020-03643.pdfhttps://regulations.justia.com/regulations/fedreg/2020/02/25/2020-03642.htmlNotice - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing of Proposed Rule Change To Amend the Schedule of Wireless Connectivity Fees and Charges To Add Wireless Connectivity Services2020-02-25T00:00:00-08:002020-02-25T00:00:00-08:002020-03642Noticehttps://www.govinfo.gov/content/pkg/FR-2020-02-25/pdf/2020-03642.pdfhttps://regulations.justia.com/regulations/fedreg/2020/02/25/2020-03641.htmlNotice - Self-Regulatory Organizations; NYSE Chicago, Inc.; Notice of Filing of Proposed Rule Change To Amend the Schedule of Wireless Connectivity Fees and Charges To Add Wireless Connectivity Services2020-02-25T00:00:00-08:002020-02-25T00:00:00-08:002020-03641Noticehttps://www.govinfo.gov/content/pkg/FR-2020-02-25/pdf/2020-03641.pdfhttps://regulations.justia.com/regulations/fedreg/2020/02/25/2020-03640.htmlNotice - Self-Regulatory Organizations; BOX Exchange LLC; Notice of Filing of a Proposed Rule Change To Amend the Provisions of Its Limited Liability Company Agreement and Bylaws To Accommodate the Exchange's Regulation of Multiple Facilities2020-02-25T00:00:00-08:002020-02-25T00:00:00-08:002020-03640Noticehttps://www.govinfo.gov/content/pkg/FR-2020-02-25/pdf/2020-03640.pdfhttps://regulations.justia.com/regulations/fedreg/2020/02/25/2020-03638.htmlNotice - ETF Managers Trust and ETF Managers Group LLC2020-02-25T00:00:00-08:002020-02-25T00:00:00-08:002020-03638Noticehttps://www.govinfo.gov/content/pkg/FR-2020-02-25/pdf/2020-03638.pdfhttps://regulations.justia.com/regulations/fedreg/2020/02/25/2020-02296.htmlRule - Commission Guidance on Management's Discussion and Analysis of Financial Condition and Results of Operations2020-02-25T00:00:00-08:002020-02-25T00:00:00-08:002020-02296Rulehttps://www.govinfo.gov/content/pkg/FR-2020-02-25/pdf/2020-02296.pdfhttps://regulations.justia.com/regulations/fedreg/2020/02/24/2020-03677.htmlNotice - Sunshine Act Meetings2020-02-24T00:00:00-08:002020-02-24T00:00:00-08:002020-03677Noticehttps://www.govinfo.gov/content/pkg/FR-2020-02-24/pdf/2020-03677.pdfhttps://regulations.justia.com/regulations/fedreg/2020/02/24/2020-03546.htmlNotice - Self-Regulatory Organizations; NYSE American LLC; Notice of Filing and Immediate Effectiveness of Proposed Change To Amend Its Price List2020-02-24T00:00:00-08:002020-02-24T00:00:00-08:002020-03546Noticehttps://www.govinfo.gov/content/pkg/FR-2020-02-24/pdf/2020-03546.pdfhttps://regulations.justia.com/regulations/fedreg/2020/02/24/2020-03535.htmlNotice - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the New York Stock Exchange Price List Related to Co-location Services2020-02-24T00:00:00-08:002020-02-24T00:00:00-08:002020-03535Noticehttps://www.govinfo.gov/content/pkg/FR-2020-02-24/pdf/2020-03535.pdfhttps://regulations.justia.com/regulations/fedreg/2020/02/24/2020-03534.htmlNotice - Self-Regulatory Organizations; NYSE American LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the NYSE American Equities Price List and the NYSE American Options Fee Schedule Related to Co-Location Services2020-02-24T00:00:00-08:002020-02-24T00:00:00-08:002020-03534Noticehttps://www.govinfo.gov/content/pkg/FR-2020-02-24/pdf/2020-03534.pdfhttps://regulations.justia.com/regulations/fedreg/2020/02/24/2020-03532.htmlNotice - Self-Regulatory Organizations; Cboe Exchange, Inc.; Notice of Filing of a Proposed Rule Change Relating To Adopt Flexible Exchange Options (“FLEX Options”) With a Contract Multiplier of One (“FLEX Micro Options”)2020-02-24T00:00:00-08:002020-02-24T00:00:00-08:002020-03532Noticehttps://www.govinfo.gov/content/pkg/FR-2020-02-24/pdf/2020-03532.pdfhttps://regulations.justia.com/regulations/fedreg/2020/02/24/2020-03531.htmlNotice - Self-Regulatory Organizations; Municipal Securities Rulemaking Board; Order Granting Approval of a Proposed Rule Change To Amend the Information Facility of the MSRB's Electronic Municipal Market Access (EMMA) System2020-02-24T00:00:00-08:002020-02-24T00:00:00-08:002020-03531Noticehttps://www.govinfo.gov/content/pkg/FR-2020-02-24/pdf/2020-03531.pdfhttps://regulations.justia.com/regulations/fedreg/2020/02/24/2020-03530.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 and the NYSE Arca Options Fees and Charges Related to Co-Location Services2020-02-24T00:00:00-08:002020-02-24T00:00:00-08:002020-03530Noticehttps://www.govinfo.gov/content/pkg/FR-2020-02-24/pdf/2020-03530.pdfhttps://regulations.justia.com/regulations/fedreg/2020/02/24/2020-03529.htmlNotice - Self-Regulatory Organizations; NYSE National, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the Exchange's Schedule of Fees and Rebates Related to Co-Location Services2020-02-24T00:00:00-08:002020-02-24T00:00:00-08:002020-03529Noticehttps://www.govinfo.gov/content/pkg/FR-2020-02-24/pdf/2020-03529.pdfhttps://regulations.justia.com/regulations/fedreg/2020/02/21/2020-03549.htmlNotice - Sunshine Act Meetings2020-02-21T00:00:00-08:002020-02-21T00:00:00-08:002020-03549Noticehttps://www.govinfo.gov/content/pkg/FR-2020-02-21/pdf/2020-03549.pdfhttps://regulations.justia.com/regulations/fedreg/2020/02/21/2020-03509.htmlNotice - Submission for OMB Review; Comment Request2020-02-21T00:00:00-08:002020-02-21T00:00:00-08:002020-03509Noticehttps://www.govinfo.gov/content/pkg/FR-2020-02-21/pdf/2020-03509.pdfhttps://regulations.justia.com/regulations/fedreg/2020/02/20/2020-03419.htmlNotice - Self-Regulatory Organizations; Cboe BYX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Introduce a Small Retail Broker Distribution Program2020-02-20T00:00:00-08:002020-02-20T00:00:00-08:002020-03419Noticehttps://www.govinfo.gov/content/pkg/FR-2020-02-20/pdf/2020-03419.pdfhttps://regulations.justia.com/regulations/fedreg/2020/02/20/2020-03418.htmlNotice - Self-Regulatory Organizations; Cboe EDGA Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Introduce a Small Retail Broker Distribution Program2020-02-20T00:00:00-08:002020-02-20T00:00:00-08:002020-03418Noticehttps://www.govinfo.gov/content/pkg/FR-2020-02-20/pdf/2020-03418.pdfhttps://regulations.justia.com/regulations/fedreg/2020/02/20/2020-03417.htmlNotice - Self-Regulatory Organizations; Cboe EDGX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Introduce a Small Retail Broker Distribution Program2020-02-20T00:00:00-08:002020-02-20T00:00:00-08:002020-03417Noticehttps://www.govinfo.gov/content/pkg/FR-2020-02-20/pdf/2020-03417.pdfhttps://regulations.justia.com/regulations/fedreg/2020/02/20/2020-03416.htmlNotice - Self-Regulatory Organizations; Cboe BZX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Introduce a Small Retail Broker Distribution Program2020-02-20T00:00:00-08:002020-02-20T00:00:00-08:002020-03416Noticehttps://www.govinfo.gov/content/pkg/FR-2020-02-20/pdf/2020-03416.pdfhttps://regulations.justia.com/regulations/fedreg/2020/02/20/2020-03415.htmlNotice - Self-Regulatory Organizations; Nasdaq ISE, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Its Pricing Schedule in Options 7 at Section 32020-02-20T00:00:00-08:002020-02-20T00:00:00-08:002020-03415Noticehttps://www.govinfo.gov/content/pkg/FR-2020-02-20/pdf/2020-03415.pdfhttps://regulations.justia.com/regulations/fedreg/2020/02/20/2020-03414.htmlNotice - Self-Regulatory Organizations; Nasdaq BX, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Related to Order Types and Times-in-Force Provisions2020-02-20T00:00:00-08:002020-02-20T00:00:00-08:002020-03414Noticehttps://www.govinfo.gov/content/pkg/FR-2020-02-20/pdf/2020-03414.pdfhttps://regulations.justia.com/regulations/fedreg/2020/02/20/2020-03413.htmlNotice - Self-Regulatory Organizations; Nasdaq PHLX LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Relocate Rules From Its Current Rulebook Into Its New Rulebook Shell2020-02-20T00:00:00-08:002020-02-20T00:00:00-08:002020-03413Noticehttps://www.govinfo.gov/content/pkg/FR-2020-02-20/pdf/2020-03413.pdfhttps://regulations.justia.com/regulations/fedreg/2020/02/20/2020-03412.htmlNotice - Self-Regulatory Organizations; OneChicago, LLC; Notice of Filing of Proposed Rule Change Relating to OneChicago Rule 307 (Application of Rules and Jurisdiction)2020-02-20T00:00:00-08:002020-02-20T00:00:00-08:002020-03412Noticehttps://www.govinfo.gov/content/pkg/FR-2020-02-20/pdf/2020-03412.pdfhttps://regulations.justia.com/regulations/fedreg/2020/02/20/2020-03411.htmlNotice - Self-Regulatory Organizations; NYSE National, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Establish Fees for the NYSE National Integrated Feed2020-02-20T00:00:00-08:002020-02-20T00:00:00-08:002020-03411Noticehttps://www.govinfo.gov/content/pkg/FR-2020-02-20/pdf/2020-03411.pdfhttps://regulations.justia.com/regulations/fedreg/2020/02/20/2020-03372.htmlNotice - In the Matter of the Financial Industry Regulatory Authority, Inc. for an Order Granting the Approval of Proposed Rule Change, as Modified by Amendment No. 2, To Establish a Corporate Bond New Issue Reference Data Service (File No. SR-FINRA-2019-008); Order Granting Petition for Review and Scheduling Filing of Statements2020-02-20T00:00:00-08:002020-02-20T00:00:00-08:002020-03372Noticehttps://www.govinfo.gov/content/pkg/FR-2020-02-20/pdf/2020-03372.pdfhttps://regulations.justia.com/regulations/fedreg/2020/02/20/2020-03328.htmlNotice - Self-Regulatory Organizations; Cboe BZX Exchange, Inc.; 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 BZX Rule 14.11(l) To Permit the Listing and Trading of Exchange-Traded Fund Shares That Are Permitted To Operate in Reliance on Rule 6c-11 Under the Investment Company Act of 19402020-02-20T00:00:00-08:002020-02-20T00:00:00-08:002020-03328Noticehttps://www.govinfo.gov/content/pkg/FR-2020-02-20/pdf/2020-03328.pdfhttps://regulations.justia.com/regulations/fedreg/2020/02/20/2020-03327.htmlNotice - Self-Regulatory Organizations; Cboe BZX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating To Amend the Logic That Would Be Used To Cancel MOC Orders Entered for Participation in the Cboe Market Close in the Event the Exchange Becomes Impaired2020-02-20T00:00:00-08:002020-02-20T00:00:00-08:002020-03327Noticehttps://www.govinfo.gov/content/pkg/FR-2020-02-20/pdf/2020-03327.pdfhttps://regulations.justia.com/regulations/fedreg/2020/02/20/2020-03326.htmlNotice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Designation of a Longer Period for Commission Action on a 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-E2020-02-20T00:00:00-08:002020-02-20T00:00:00-08:002020-03326Noticehttps://www.govinfo.gov/content/pkg/FR-2020-02-20/pdf/2020-03326.pdfhttps://regulations.justia.com/regulations/fedreg/2020/02/20/2020-03325.htmlNotice - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Designation of a Longer Period for Commission Action on a Proposed Rule Change, as Modified by Amendment No. 1, To Amend Chapter One of the Listed Company Manual To Modify the Provisions Relating to Direct Listings2020-02-20T00:00:00-08:002020-02-20T00:00:00-08:002020-03325Noticehttps://www.govinfo.gov/content/pkg/FR-2020-02-20/pdf/2020-03325.pdfhttps://regulations.justia.com/regulations/fedreg/2020/02/20/2020-03324.htmlNotice - Self-Regulatory Organizations; The Nasdaq Stock Market 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 Nasdaq Rule 5704 and Other Related Amendments2020-02-20T00:00:00-08:002020-02-20T00:00:00-08:002020-03324Noticehttps://www.govinfo.gov/content/pkg/FR-2020-02-20/pdf/2020-03324.pdfhttps://regulations.justia.com/regulations/fedreg/2020/02/20/2020-03323.htmlNotice - Self-Regulatory Organizations; Cboe BZX Exchange, Inc.; Notice of Designation of a Longer Period for Commission Action on a Proposed Rule Change To Adopt Rule 14.11(m), Portfolio Fund Shares, and To List and Trade Shares of the Fidelity Value ETF, Fidelity Growth ETF, and Fidelity Opportunistic ETF, Each a Series of the Fidelity Beach Street Trust, Under Proposed Rule 14.11(m)2020-02-20T00:00:00-08:002020-02-20T00:00:00-08:002020-03323Noticehttps://www.govinfo.gov/content/pkg/FR-2020-02-20/pdf/2020-03323.pdfhttps://regulations.justia.com/regulations/fedreg/2020/02/20/2020-03322.htmlNotice - Self-Regulatory Organizations; The Nasdaq Stock Market LLC; Notice of Filing of Proposed Rule Change To Assume Operational Responsibility for Certain Enforcement Functions Currently Performed by FINRA Under the Exchanges Authority and Supervision2020-02-20T00:00:00-08:002020-02-20T00:00:00-08:002020-03322Noticehttps://www.govinfo.gov/content/pkg/FR-2020-02-20/pdf/2020-03322.pdfhttps://regulations.justia.com/regulations/fedreg/2020/02/20/2020-03321.htmlNotice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Designation of a Longer Period for Commission Action on a 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-E2020-02-20T00:00:00-08:002020-02-20T00:00:00-08:002020-03321Noticehttps://www.govinfo.gov/content/pkg/FR-2020-02-20/pdf/2020-03321.pdfhttps://regulations.justia.com/regulations/fedreg/2020/02/20/2020-03320.htmlNotice - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing of Amendment No. 3 and Order Granting Accelerated Approval of a Proposed Rule Change, as Modified by Amendment No. 3, To Amend the Definition of Family Member in Listing Rule 5605(a)(2) for Purposes of the Definition of Independent Director2020-02-20T00:00:00-08:002020-02-20T00:00:00-08:002020-03320Noticehttps://www.govinfo.gov/content/pkg/FR-2020-02-20/pdf/2020-03320.pdfhttps://regulations.justia.com/regulations/fedreg/2020/02/20/2020-03319.htmlNotice - Self-Regulatory Organizations; NYSE Arca, Inc.; 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 Establish Generic Listing Standards for Derivative Securities Products That Are Permitted To Operate in Reliance on Rule 6c-11 Under the Investment Company Act of 19402020-02-20T00:00:00-08:002020-02-20T00:00:00-08:002020-03319Noticehttps://www.govinfo.gov/content/pkg/FR-2020-02-20/pdf/2020-03319.pdfhttps://regulations.justia.com/regulations/fedreg/2020/02/20/2020-03318.htmlNotice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Designation of a Longer Period for Commission Action on a 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-E2020-02-20T00:00:00-08:002020-02-20T00:00:00-08:002020-03318Noticehttps://www.govinfo.gov/content/pkg/FR-2020-02-20/pdf/2020-03318.pdfhttps://regulations.justia.com/regulations/fedreg/2020/02/20/2020-03317.htmlNotice - Self-Regulatory Organizations; National Securities Clearing Corporation; Order Approving a Proposed Rule Change To Enhance National Securities Clearing Corporation's Haircut-Based Volatility Charge Applicable to Municipal Bonds2020-02-20T00:00:00-08:002020-02-20T00:00:00-08:002020-03317Noticehttps://www.govinfo.gov/content/pkg/FR-2020-02-20/pdf/2020-03317.pdfhttps://regulations.justia.com/regulations/fedreg/2020/02/20/2020-03316.htmlNotice - Self-Regulatory Organizations; Cboe BZX Exchange, Inc.; Notice of Withdrawal of a Proposed Rule Change, as Modified by Amendment No. 1, To List and Trade Shares of the iShares California Short Maturity Muni Bond ETF Under Rule 14.11(i)2020-02-20T00:00:00-08:002020-02-20T00:00:00-08:002020-03316Noticehttps://www.govinfo.gov/content/pkg/FR-2020-02-20/pdf/2020-03316.pdfhttps://regulations.justia.com/regulations/fedreg/2020/02/20/2020-03315.htmlNotice - Self-Regulatory Organizations; BOX Exchange LLC; Notice of Designation of Longer Period for Commission Action on a Proposed Rule Change in Connection With the Proposed Commencement of Operations of Boston Security Token Exchange LLC as a Facility of the Exchange2020-02-20T00:00:00-08:002020-02-20T00:00:00-08:002020-03315Noticehttps://www.govinfo.gov/content/pkg/FR-2020-02-20/pdf/2020-03315.pdfhttps://regulations.justia.com/regulations/fedreg/2020/02/20/2020-03314.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 Charges2020-02-20T00:00:00-08:002020-02-20T00:00:00-08:002020-03314Noticehttps://www.govinfo.gov/content/pkg/FR-2020-02-20/pdf/2020-03314.pdfhttps://regulations.justia.com/regulations/fedreg/2020/02/19/2020-03185.htmlNotice - Self-Regulatory Organizations; Investors Exchange LLC; Notice of Designation of Longer Period for Commission Action on a Proposed Rule Change To Add a New Discretionary Limit Order Type Called D-Limit2020-02-19T00:00:00-08:002020-02-19T00:00:00-08:002020-03185Noticehttps://www.govinfo.gov/content/pkg/FR-2020-02-19/pdf/2020-03185.pdfhttps://regulations.justia.com/regulations/fedreg/2020/02/19/2020-03184.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 Charges2020-02-19T00:00:00-08:002020-02-19T00:00:00-08:002020-03184Noticehttps://www.govinfo.gov/content/pkg/FR-2020-02-19/pdf/2020-03184.pdfhttps://regulations.justia.com/regulations/fedreg/2020/02/19/2020-03183.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 Charges2020-02-19T00:00:00-08:002020-02-19T00:00:00-08:002020-03183Noticehttps://www.govinfo.gov/content/pkg/FR-2020-02-19/pdf/2020-03183.pdfhttps://regulations.justia.com/regulations/fedreg/2020/02/19/2020-03182.htmlNotice - Self-Regulatory Organizations; Cboe BZX Exchange, Inc.; Notice of Designation of a Longer Period for Commission Action on Proceedings To Determine Whether To Approve or Disapprove a Proposed Rule Change To Introduce the Small Retail Broker Distribution Program2020-02-19T00:00:00-08:002020-02-19T00:00:00-08:002020-03182Noticehttps://www.govinfo.gov/content/pkg/FR-2020-02-19/pdf/2020-03182.pdfhttps://regulations.justia.com/regulations/fedreg/2020/02/19/2020-03181.htmlNotice - Self-Regulatory Organizations; Cboe BYX Exchange, Inc.; Notice of Designation of a Longer Period for Commission Action on Proceedings To Determine Whether To Approve or Disapprove a Proposed Rule Change To Introduce the Small Retail Broker Distribution Program2020-02-19T00:00:00-08:002020-02-19T00:00:00-08:002020-03181Noticehttps://www.govinfo.gov/content/pkg/FR-2020-02-19/pdf/2020-03181.pdfhttps://regulations.justia.com/regulations/fedreg/2020/02/19/2020-03180.htmlNotice - Self-Regulatory Organizations; Cboe EDGX Exchange, Inc.; Notice of Designation of a Longer Period for Commission Action on Proceedings To Determine Whether To Approve or Disapprove a Proposed Rule Change To Introduce the Small Retail Broker Distribution Program2020-02-19T00:00:00-08:002020-02-19T00:00:00-08:002020-03180Noticehttps://www.govinfo.gov/content/pkg/FR-2020-02-19/pdf/2020-03180.pdfhttps://regulations.justia.com/regulations/fedreg/2020/02/19/2020-03179.htmlNotice - Self-Regulatory Organizations; Cboe EDGA Exchange, Inc.; Notice of Designation of a Longer Period for Commission Action on Proceedings To Determine Whether To Approve or Disapprove a Proposed Rule Change To Introduce the Small Retail Broker Distribution Program2020-02-19T00:00:00-08:002020-02-19T00:00:00-08:002020-03179Noticehttps://www.govinfo.gov/content/pkg/FR-2020-02-19/pdf/2020-03179.pdfhttps://regulations.justia.com/regulations/fedreg/2020/02/19/2020-03178.htmlNotice - Self-Regulatory Organizations; Cboe Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the Fee Schedule Regarding the Automated Improvement Mechanism (AIM) and Solicitation Auction Mechanism (SAM)2020-02-19T00:00:00-08:002020-02-19T00:00:00-08:002020-03178Noticehttps://www.govinfo.gov/content/pkg/FR-2020-02-19/pdf/2020-03178.pdfhttps://regulations.justia.com/regulations/fedreg/2020/02/19/2020-03176.htmlNotice - Self-Regulatory Organizations; Cboe BZX Exchange, Inc.; Notice of Filing of Amendment No. 2 and Order Granting Accelerated Approval of a Proposed Rule Change, as Modified by Amendment No. 2 thereto, To List and Trade Shares of the American Century Focused Dynamic Growth ETF and American Century Focused Large Cap Value ETF Under BZX Rule 14.11(k)2020-02-19T00:00:00-08:002020-02-19T00:00:00-08:002020-03176Noticehttps://www.govinfo.gov/content/pkg/FR-2020-02-19/pdf/2020-03176.pdfhttps://regulations.justia.com/regulations/fedreg/2020/02/19/2020-02083.htmlRule - Adoption of Updated EDGAR Filer Manual2020-02-19T00:00:00-08:002020-02-19T00:00:00-08:002020-02083Rulehttps://www.govinfo.gov/content/pkg/FR-2020-02-19/pdf/2020-02083.pdfhttps://regulations.justia.com/regulations/fedreg/2020/02/18/2020-03101.htmlNotice - Self-Regulatory Organizations; Nasdaq BX, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Remove Listing Rule and Other Amendments2020-02-18T00:00:00-08:002020-02-18T00:00:00-08:002020-03101Noticehttps://www.govinfo.gov/content/pkg/FR-2020-02-18/pdf/2020-03101.pdfhttps://regulations.justia.com/regulations/fedreg/2020/02/18/2020-03100.htmlNotice - Self-Regulatory Organizations; The Nasdaq Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Remove Listing Rule and Other Amendments2020-02-18T00:00:00-08:002020-02-18T00:00:00-08:002020-03100Noticehttps://www.govinfo.gov/content/pkg/FR-2020-02-18/pdf/2020-03100.pdfhttps://regulations.justia.com/regulations/fedreg/2020/02/18/2020-03099.htmlNotice - Self-Regulatory Organizations; NYSE Chicago, Inc.; Notice of Filing of Proposed Rule Change To Establish a Schedule of Wireless Connectivity Fees and Charges With Wireless Connections2020-02-18T00:00:00-08:002020-02-18T00:00:00-08:002020-03099Noticehttps://www.govinfo.gov/content/pkg/FR-2020-02-18/pdf/2020-03099.pdfhttps://regulations.justia.com/regulations/fedreg/2020/02/18/2020-03098.htmlNotice - Self-Regulatory Organizations; NYSE National, Inc.; Notice of Filing of Proposed Rule Change To Establish a Schedule of Wireless Connectivity Fees and Charges With Wireless Connections2020-02-18T00:00:00-08:002020-02-18T00:00:00-08:002020-03098Noticehttps://www.govinfo.gov/content/pkg/FR-2020-02-18/pdf/2020-03098.pdfhttps://regulations.justia.com/regulations/fedreg/2020/02/18/2020-03097.htmlNotice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing of Proposed Rule Change To Establish a Schedule of Wireless Connectivity Fees and Charges With Wireless Connections2020-02-18T00:00:00-08:002020-02-18T00:00:00-08:002020-03097Noticehttps://www.govinfo.gov/content/pkg/FR-2020-02-18/pdf/2020-03097.pdfhttps://regulations.justia.com/regulations/fedreg/2020/02/18/2020-03096.htmlNotice - Self-Regulatory Organizations; NYSE American LLC; Notice of Filing of Proposed Rule Change To Establish a Schedule of Wireless Connectivity Fees and Charges With Wireless Connections2020-02-18T00:00:00-08:002020-02-18T00:00:00-08:002020-03096Noticehttps://www.govinfo.gov/content/pkg/FR-2020-02-18/pdf/2020-03096.pdfhttps://regulations.justia.com/regulations/fedreg/2020/02/18/2020-03095.htmlNotice - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing of Proposed Rule Change To Establish a Schedule of Wireless Connectivity Fees and Charges With Wireless Connections2020-02-18T00:00:00-08:002020-02-18T00:00:00-08:002020-03095Noticehttps://www.govinfo.gov/content/pkg/FR-2020-02-18/pdf/2020-03095.pdfhttps://regulations.justia.com/regulations/fedreg/2020/02/18/2020-03094.htmlNotice - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Its Price List2020-02-18T00:00:00-08:002020-02-18T00:00:00-08:002020-03094Noticehttps://www.govinfo.gov/content/pkg/FR-2020-02-18/pdf/2020-03094.pdfhttps://regulations.justia.com/regulations/fedreg/2020/02/18/2020-03093.htmlNotice - Self-Regulatory Organizations; Cboe Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Its Fees Schedule in Connection With Migration2020-02-18T00:00:00-08:002020-02-18T00:00:00-08:002020-03093Noticehttps://www.govinfo.gov/content/pkg/FR-2020-02-18/pdf/2020-03093.pdfhttps://regulations.justia.com/regulations/fedreg/2020/02/18/2020-03092.htmlNotice - Self-Regulatory Organizations; National Securities Clearing Corporation; Notice of Filing of Proposed Rule Change to Enhance the Calculation of the Family-Issued Securities Charge2020-02-18T00:00:00-08:002020-02-18T00:00:00-08:002020-03092Noticehttps://www.govinfo.gov/content/pkg/FR-2020-02-18/pdf/2020-03092.pdfhttps://regulations.justia.com/regulations/fedreg/2020/02/18/2020-03091.htmlNotice - Self-Regulatory Organizations; BOX Exchange LLC; Notice of Filing and Immediate Effectiveness of a 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 Network2020-02-18T00:00:00-08:002020-02-18T00:00:00-08:002020-03091Noticehttps://www.govinfo.gov/content/pkg/FR-2020-02-18/pdf/2020-03091.pdfhttps://regulations.justia.com/regulations/fedreg/2020/02/18/2020-03090.htmlNotice - Self-Regulatory Organizations; Cboe BYX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the BYX Fee Schedule To Correct an Inadvertent Drafting Error Introduced in a Previous Rule Filing2020-02-18T00:00:00-08:002020-02-18T00:00:00-08:002020-03090Noticehttps://www.govinfo.gov/content/pkg/FR-2020-02-18/pdf/2020-03090.pdfhttps://regulations.justia.com/regulations/fedreg/2020/02/18/2020-03089.htmlNotice - Self-Regulatory Organizations; Cboe BZX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Its Fee Schedule2020-02-18T00:00:00-08:002020-02-18T00:00:00-08:002020-03089Noticehttps://www.govinfo.gov/content/pkg/FR-2020-02-18/pdf/2020-03089.pdfhttps://regulations.justia.com/regulations/fedreg/2020/02/18/2020-03088.htmlNotice - Self-Regulatory Organizations; Cboe Futures Exchange, LLC; Notice of Filing of a Proposed Rule Change Regarding Quoting Functionality2020-02-18T00:00:00-08:002020-02-18T00:00:00-08:002020-03088Noticehttps://www.govinfo.gov/content/pkg/FR-2020-02-18/pdf/2020-03088.pdfhttps://regulations.justia.com/regulations/fedreg/2020/02/18/2020-03087.htmlNotice - Self-Regulatory Organizations; The Depository Trust Company; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Transition the Application Used for Participant Access to the Imaging Function Relating to Deposited Certificates From a Non-Web-Based Application to a Web-Based Application2020-02-18T00:00:00-08:002020-02-18T00:00:00-08:002020-03087Noticehttps://www.govinfo.gov/content/pkg/FR-2020-02-18/pdf/2020-03087.pdfhttps://regulations.justia.com/regulations/fedreg/2020/02/18/2020-03055.htmlNotice - Self-Regulatory Organizations; National Securities Clearing Corporation; Notice of No Objection To Advance Notice To Enhance National Securities Clearing Corporation's Haircut-Based Volatility Charge Applicable to Municipal Bonds2020-02-18T00:00:00-08:002020-02-18T00:00:00-08:002020-03055Noticehttps://www.govinfo.gov/content/pkg/FR-2020-02-18/pdf/2020-03055.pdfhttps://regulations.justia.com/regulations/fedreg/2020/02/14/2020-03116.htmlNotice - Sunshine Act Meetings2020-02-14T00:00:00-08:002020-02-14T00:00:00-08:002020-03116Noticehttps://www.govinfo.gov/content/pkg/FR-2020-02-14/pdf/2020-03116.pdfhttps://regulations.justia.com/regulations/fedreg/2020/02/13/2020-02838.htmlNotice - Self-Regulatory Organizations; Cboe EDGX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Adopt the Dark Routing Technique Routing Option; To Eliminate References to the ROUD, ROUE, and ROUQ Routing Options; and To Reflect Additional Routing Strategies for Which the Exchange May Route Orders With a Short Sale Instruction2020-02-13T00:00:00-08:002020-02-13T00:00:00-08:002020-02838Noticehttps://www.govinfo.gov/content/pkg/FR-2020-02-13/pdf/2020-02838.pdfhttps://regulations.justia.com/regulations/fedreg/2020/02/12/2020-02790.htmlNotice - Self-Regulatory Organizations; National Securities Clearing Corporation; Notice of No Objection to Advance Notice To Issue Term Debt as Part of Its Liquidity Risk Management Framework2020-02-12T00:00:00-08:002020-02-12T00:00:00-08:002020-02790Noticehttps://www.govinfo.gov/content/pkg/FR-2020-02-12/pdf/2020-02790.pdfhttps://regulations.justia.com/regulations/fedreg/2020/02/12/2020-02782.htmlNotice - Submission for OMB Review; Comment Request2020-02-12T00:00:00-08:002020-02-12T00:00:00-08:002020-02782Noticehttps://www.govinfo.gov/content/pkg/FR-2020-02-12/pdf/2020-02782.pdfhttps://regulations.justia.com/regulations/fedreg/2020/02/12/2020-02781.htmlNotice - Submission for OMB Review; Comment Request2020-02-12T00:00:00-08:002020-02-12T00:00:00-08:002020-02781Noticehttps://www.govinfo.gov/content/pkg/FR-2020-02-12/pdf/2020-02781.pdfhttps://regulations.justia.com/regulations/fedreg/2020/02/12/2020-02780.htmlNotice - Proposed Collection; Comment Request2020-02-12T00:00:00-08:002020-02-12T00:00:00-08:002020-02780Noticehttps://www.govinfo.gov/content/pkg/FR-2020-02-12/pdf/2020-02780.pdfhttps://regulations.justia.com/regulations/fedreg/2020/02/12/2020-02779.htmlNotice - Proposed Collection; Comment Request2020-02-12T00:00:00-08:002020-02-12T00:00:00-08:002020-02779Noticehttps://www.govinfo.gov/content/pkg/FR-2020-02-12/pdf/2020-02779.pdfhttps://regulations.justia.com/regulations/fedreg/2020/02/12/2020-02778.htmlNotice - Proposed Collection; Comment Request2020-02-12T00:00:00-08:002020-02-12T00:00:00-08:002020-02778Noticehttps://www.govinfo.gov/content/pkg/FR-2020-02-12/pdf/2020-02778.pdfhttps://regulations.justia.com/regulations/fedreg/2020/02/12/2020-02750.htmlNotice - Self-Regulatory Organizations; MIAX PEARL, LLC; Notice of Filing of a Proposed Rule Change To Adopt Rules Governing the Trading of Equity Securities2020-02-12T00:00:00-08:002020-02-12T00:00:00-08:002020-02750Noticehttps://www.govinfo.gov/content/pkg/FR-2020-02-12/pdf/2020-02750.pdfhttps://regulations.justia.com/regulations/fedreg/2020/02/12/2020-02749.htmlNotice - Self-Regulatory Organizations; Investors Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Related to Fees Pursuant to Rule 15.1102020-02-12T00:00:00-08:002020-02-12T00:00:00-08:002020-02749Noticehttps://www.govinfo.gov/content/pkg/FR-2020-02-12/pdf/2020-02749.pdfhttps://regulations.justia.com/regulations/fedreg/2020/02/12/2020-02748.htmlNotice - Self-Regulatory Organizations; ICE Clear Europe Limited; Order Approving Proposed Rule Change Relating to the ICE Clear Europe Collateral and Haircut Policy and Collateral and Haircut Procedures2020-02-12T00:00:00-08:002020-02-12T00:00:00-08:002020-02748Noticehttps://www.govinfo.gov/content/pkg/FR-2020-02-12/pdf/2020-02748.pdfhttps://regulations.justia.com/regulations/fedreg/2020/02/12/2020-02747.htmlNotice - Self-Regulatory Organizations; Long-Term Stock Exchange, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to the Initial Listing Fee and Annual Listing Fee2020-02-12T00:00:00-08:002020-02-12T00:00:00-08:002020-02747Noticehttps://www.govinfo.gov/content/pkg/FR-2020-02-12/pdf/2020-02747.pdfhttps://regulations.justia.com/regulations/fedreg/2020/02/12/2020-02746.htmlNotice - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Eliminate Transaction Credits and Trade Reporting Fees Applicable to Retail Participants That Use the FINRA/Nasdaq Trade Reporting Facility2020-02-12T00:00:00-08:002020-02-12T00:00:00-08:002020-02746Noticehttps://www.govinfo.gov/content/pkg/FR-2020-02-12/pdf/2020-02746.pdfhttps://regulations.justia.com/regulations/fedreg/2020/02/12/2020-02733.htmlNotice - Proposed Collection; Comment Request; 30 Day Notice-Submission for OMB Review; Comment Request; Extension: Rule 22e-4 (30 Day Notice 2019)2020-02-12T00:00:00-08:002020-02-12T00:00:00-08:002020-02733Noticehttps://www.govinfo.gov/content/pkg/FR-2020-02-12/pdf/2020-02733.pdfhttps://regulations.justia.com/regulations/fedreg/2020/02/11/2020-02678.htmlNotice - Securities Act of 1933, Release No. 10753/February 6, 2020; Securities Exchange Act of 1934, Release No. 88137/February 6, 2020; Order Regarding Review of FASB Accounting Support Fee for 2020 Under Section 109 of The Sarbanes-Oxley Act of 20022020-02-11T00:00:00-08:002020-02-11T00:00:00-08:002020-02678Noticehttps://www.govinfo.gov/content/pkg/FR-2020-02-11/pdf/2020-02678.pdfhttps://regulations.justia.com/regulations/fedreg/2020/02/11/2020-02633.htmlNotice - Joint Industry Plan; Notice of Filing and Immediate Effectiveness of Amendment to the Plan To Address Extraordinary Market Volatility To Add the Long-Term Stock Exchange LLC as a Participant2020-02-11T00:00:00-08:002020-02-11T00:00:00-08:002020-02633Noticehttps://www.govinfo.gov/content/pkg/FR-2020-02-11/pdf/2020-02633.pdfhttps://regulations.justia.com/regulations/fedreg/2020/02/11/2020-02631.htmlNotice - Self-Regulatory Organizations; NYSE American LLC; Notice of Filing of Amendment No. 1 and Order Granting Accelerated Approval of a Proposed Rule Change, as Modified by Amendment No. 1, To Allow Certain Flexible Equity Options To Be Cash Settled2020-02-11T00:00:00-08:002020-02-11T00:00:00-08:002020-02631Noticehttps://www.govinfo.gov/content/pkg/FR-2020-02-11/pdf/2020-02631.pdfhttps://regulations.justia.com/regulations/fedreg/2020/02/11/2020-02622.htmlNotice - Self-Regulatory Organizations; The Options Clearing Corporation; Notice of Filing of Advance Notice Concerning a Master Repurchase Agreement as Part of OCC's Overall Liquidity Plan2020-02-11T00:00:00-08:002020-02-11T00:00:00-08:002020-02622Noticehttps://www.govinfo.gov/content/pkg/FR-2020-02-11/pdf/2020-02622.pdfhttps://regulations.justia.com/regulations/fedreg/2020/02/10/2020-02649.htmlNotice - Sunshine Act Meetings2020-02-10T00:00:00-08:002020-02-10T00:00:00-08:002020-02649Noticehttps://www.govinfo.gov/content/pkg/FR-2020-02-10/pdf/2020-02649.pdfhttps://regulations.justia.com/regulations/fedreg/2020/02/10/2020-02523.htmlNotice - Self-Regulatory Organizations; NYSE National, Inc.; Notice of Withdrawal of a Proposed Rule Change To Establish Fees for the NYSE National Integrated Feed2020-02-10T00:00:00-08:002020-02-10T00:00:00-08:002020-02523Noticehttps://www.govinfo.gov/content/pkg/FR-2020-02-10/pdf/2020-02523.pdfhttps://regulations.justia.com/regulations/fedreg/2020/02/07/2020-02417.htmlNotice - Self-Regulatory Organizations; Cboe BYX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Adopt Rule 14.11 To Permit the Trading, Pursuant to Unlisted Trading Privileges, of Managed Portfolio Shares, Which Are Shares of Actively Managed Exchange-Traded Funds for Which the Portfolio Is Disclosed in Accordance With Standard Mutual Fund Disclosure Rules2020-02-07T00:00:00-08:002020-02-07T00:00:00-08:002020-02417Noticehttps://www.govinfo.gov/content/pkg/FR-2020-02-07/pdf/2020-02417.pdfhttps://regulations.justia.com/regulations/fedreg/2020/02/07/2020-02416.htmlNotice - Self-Regulatory Organizations; Cboe EDGA Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Adopt Rule 14.11 To Permit the Trading, Pursuant to Unlisted Trading Privileges, of Managed Portfolio Shares, Which Are Shares of Actively Managed Exchange-Traded Funds for Which the Portfolio Is Disclosed in Accordance With Standard Mutual Fund Disclosure Rules2020-02-07T00:00:00-08:002020-02-07T00:00:00-08:002020-02416Noticehttps://www.govinfo.gov/content/pkg/FR-2020-02-07/pdf/2020-02416.pdfhttps://regulations.justia.com/regulations/fedreg/2020/02/07/2020-02415.htmlNotice - Self-Regulatory Organizations; Cboe EDGX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Adopt Rule 14.11 To Permit the Trading, Pursuant to Unlisted Trading Privileges, of Managed Portfolio Shares, Which Are Shares of Actively Managed Exchange-Traded Funds for Which the Portfolio Is Disclosed in Accordance With Standard Mutual Fund Disclosure Rules2020-02-07T00:00:00-08:002020-02-07T00:00:00-08:002020-02415Noticehttps://www.govinfo.gov/content/pkg/FR-2020-02-07/pdf/2020-02415.pdfhttps://regulations.justia.com/regulations/fedreg/2020/02/06/2020-02375.htmlNotice - Investor Advisory Committee Meeting2020-02-06T00:00:00-08:002020-02-06T00:00:00-08:002020-02375Noticehttps://www.govinfo.gov/content/pkg/FR-2020-02-06/pdf/2020-02375.pdfhttps://regulations.justia.com/regulations/fedreg/2020/02/06/2020-02280.htmlNotice - Self-Regulatory Organizations; NYSE National, Inc.; Suspension of and Order Instituting Proceedings To Determine Whether To Approve or Disapprove a Proposed Rule Change To Establish Fees for the NYSE National Integrated Feed2020-02-06T00:00:00-08:002020-02-06T00:00:00-08:002020-02280Noticehttps://www.govinfo.gov/content/pkg/FR-2020-02-06/pdf/2020-02280.pdfhttps://regulations.justia.com/regulations/fedreg/2020/02/06/2020-02279.htmlNotice - Self-Regulatory Organizations; Cboe BZX Exchange, Inc.; Notice of Designation of a Longer Period for Commission Action on a Proposed Rule Change, as Modified by Amendment No. 1, To List and Trade Shares of the Clearbridge Focus Value ETF Under BZX Rule 14.11(k)2020-02-06T00:00:00-08:002020-02-06T00:00:00-08:002020-02279Noticehttps://www.govinfo.gov/content/pkg/FR-2020-02-06/pdf/2020-02279.pdfhttps://regulations.justia.com/regulations/fedreg/2020/02/06/2020-02278.htmlNotice - Self-Regulatory Organizations; Cboe BZX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To List and Trade Shares of the Hartford Core Bond ETF of the Hartford Funds Exchange-Traded Trust Under Rule 14.11(i), Managed Fund Shares2020-02-06T00:00:00-08:002020-02-06T00:00:00-08:002020-02278Noticehttps://www.govinfo.gov/content/pkg/FR-2020-02-06/pdf/2020-02278.pdfhttps://regulations.justia.com/regulations/fedreg/2020/02/06/2020-02277.htmlNotice - Notice of Applications for Deregistration Under Section 8(f) of the Investment Company Act of 19402020-02-06T00:00:00-08:002020-02-06T00:00:00-08:002020-02277Noticehttps://www.govinfo.gov/content/pkg/FR-2020-02-06/pdf/2020-02277.pdfhttps://regulations.justia.com/regulations/fedreg/2020/02/05/2020-02234.htmlNotice - Submission for OMB Review; Comment Request2020-02-05T00:00:00-08:002020-02-05T00:00:00-08:002020-02234Noticehttps://www.govinfo.gov/content/pkg/FR-2020-02-05/pdf/2020-02234.pdfhttps://regulations.justia.com/regulations/fedreg/2020/02/05/2020-02233.htmlNotice - Proposed Collection; Comment Request2020-02-05T00:00:00-08:002020-02-05T00:00:00-08:002020-02233Noticehttps://www.govinfo.gov/content/pkg/FR-2020-02-05/pdf/2020-02233.pdfhttps://regulations.justia.com/regulations/fedreg/2020/02/05/2020-02232.htmlNotice - Proposed Collection; Comment Request2020-02-05T00:00:00-08:002020-02-05T00:00:00-08:002020-02232Noticehttps://www.govinfo.gov/content/pkg/FR-2020-02-05/pdf/2020-02232.pdfhttps://regulations.justia.com/regulations/fedreg/2020/02/05/2020-02231.htmlNotice - Submission for OMB Review; Comment Request2020-02-05T00:00:00-08:002020-02-05T00:00:00-08:002020-02231Noticehttps://www.govinfo.gov/content/pkg/FR-2020-02-05/pdf/2020-02231.pdfhttps://regulations.justia.com/regulations/fedreg/2020/02/05/2020-02230.htmlNotice - Proposed Collection; Comment Request2020-02-05T00:00:00-08:002020-02-05T00:00:00-08:002020-02230Noticehttps://www.govinfo.gov/content/pkg/FR-2020-02-05/pdf/2020-02230.pdfhttps://regulations.justia.com/regulations/fedreg/2020/02/05/2020-02204.htmlNotice - Self-Regulatory Organizations; Cboe BZX Exchange, Inc.; Notice of Filing of a Proposed Rule Change Relating To Amend Certain Rules Within Rules 4.5 Through 4.16, Which Contain the Exchange's Compliance Rule (“Compliance Rule”) Regarding the National Market System Plan Governing the Consolidated Audit Trail (the “CAT NMS Plan” or “Plan”), To Be Consistent With Certain Proposed Amendments to and Exemptions From the CAT NMS Plan as Well as To Facilitate the Retirement of Certain Existing Regulatory Systems2020-02-05T00:00:00-08:002020-02-05T00:00:00-08:002020-02204Noticehttps://www.govinfo.gov/content/pkg/FR-2020-02-05/pdf/2020-02204.pdfhttps://regulations.justia.com/regulations/fedreg/2020/02/05/2020-02203.htmlNotice - Self-Regulatory Organizations; CboeBZX Exchange, Inc.; Notice of Designation of a Longer Period for Commission Action on Proceedings To Determine Whether To Approve or Disapprove a Proposed Rule Change, as Modified by Amendment No. 1, To List and Trade Shares of the iShares California Short Maturity Muni Bond ETF of the iShares U.S. ETF Trust Under Rule 14.11(i), Managed Fund Shares2020-02-05T00:00:00-08:002020-02-05T00:00:00-08:002020-02203Noticehttps://www.govinfo.gov/content/pkg/FR-2020-02-05/pdf/2020-02203.pdfhttps://regulations.justia.com/regulations/fedreg/2020/02/05/2020-02194.htmlNotice - Self-Regulatory Organizations; Cboe EDGX Exchange, Inc.; Notice of Filing of a Proposed Rule Change Relating To Amend Certain Rules Within Rules 4.5 Through 4.16, Which Contains the Exchange's Compliance Rule (“Compliance Rule”) Regarding the National Market System Plan Governing the Consolidated Audit Trail (the “CAT NMS Plan” or “Plan”), To Be Consistent With Certain Proposed Amendments to and Exemptions From the CAT NMS Plan as Well as To Facilitate the Retirement of Certain Existing Regulatory Systems2020-02-05T00:00:00-08:002020-02-05T00:00:00-08:002020-02194Noticehttps://www.govinfo.gov/content/pkg/FR-2020-02-05/pdf/2020-02194.pdfhttps://regulations.justia.com/regulations/fedreg/2020/02/05/2020-02193.htmlNotice - Self-Regulatory Organizations; Cboe BYX Exchange, Inc.; Notice of Filing of a Proposed Rule Change Relating To Amend Certain Rules Within Rules 4.5 Through 4.16, Which Contains the Exchange's Compliance Rule (“Compliance Rule”) Regarding the National Market System Plan Governing the Consolidated Audit Trail (the “CAT NMS Plan” or “Plan”), to be Consistent With Certain Proposed Amendments to and Exemptions From the CAT NMS Plan as Well as To Facilitate the Retirement of Certain Existing Regulatory Systems2020-02-05T00:00:00-08:002020-02-05T00:00:00-08:002020-02193Noticehttps://www.govinfo.gov/content/pkg/FR-2020-02-05/pdf/2020-02193.pdfhttps://regulations.justia.com/regulations/fedreg/2020/02/05/2020-02192.htmlNotice - Self-Regulatory Organizations; NYSE National, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Certain Grammatical or Non-Substantive Changes to the NYSE National Rule 10.8000 and Rule 10.90002020-02-05T00:00:00-08:002020-02-05T00:00:00-08:002020-02192Noticehttps://www.govinfo.gov/content/pkg/FR-2020-02-05/pdf/2020-02192.pdfhttps://regulations.justia.com/regulations/fedreg/2020/02/05/2020-02191.htmlNotice - Self-Regulatory Organizations; BOX Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Exchange Rule 10070, 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 Institutions2020-02-05T00:00:00-08:002020-02-05T00:00:00-08:002020-02191Noticehttps://www.govinfo.gov/content/pkg/FR-2020-02-05/pdf/2020-02191.pdfhttps://regulations.justia.com/regulations/fedreg/2020/02/05/2020-02190.htmlNotice - Self-Regulatory Organizations; Cboe Exchange, Inc.; Notice of Filing of a Proposed Rule Change Relating To Amend Chapter 7, Section B of the Rules, Which Contains the Exchange's Compliance Rule (“Compliance Rule”) Regarding the National Market System Plan Governing the Consolidated Audit Trail (the “CAT NMS Plan” or “Plan”), to be Consistent With Certain Proposed Amendments to and Exemptions From the CAT NMS Plan as Well as To Facilitate the Retirement of Certain Existing Regulatory Systems2020-02-05T00:00:00-08:002020-02-05T00:00:00-08:002020-02190Noticehttps://www.govinfo.gov/content/pkg/FR-2020-02-05/pdf/2020-02190.pdfhttps://regulations.justia.com/regulations/fedreg/2020/02/05/2020-02189.htmlNotice - Self-Regulatory Organizations; Miami International Securities Exchange, LLC; Notice of Filing of a Proposed Rule Change To Amend MIAX Chapter XVII, Consolidated Audit Trail Compliance Rule2020-02-05T00:00:00-08:002020-02-05T00:00:00-08:002020-02189Noticehttps://www.govinfo.gov/content/pkg/FR-2020-02-05/pdf/2020-02189.pdfhttps://regulations.justia.com/regulations/fedreg/2020/02/05/2020-02187.htmlNotice - Self-Regulatory Organizations; Cboe EDGA Exchange, Inc.; Notice of Filing of a Proposed Rule Change Relating To Amend Certain Rules Within Rules 4.5 Through 4.16, Which Contain the Exchange's Compliance Rule (“Compliance Rule”) Regarding the National Market System Plan Governing the Consolidated Audit Trail (the “CAT NMS Plan” or “Plan”), To Be Consistent With Certain Proposed Amendments to and Exemptions From the CAT NMS Plan as Well as To Facilitate the Retirement of Certain Existing Regulatory Systems2020-02-05T00:00:00-08:002020-02-05T00:00:00-08:002020-02187Noticehttps://www.govinfo.gov/content/pkg/FR-2020-02-05/pdf/2020-02187.pdfhttps://regulations.justia.com/regulations/fedreg/2020/02/05/2020-02186.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 Amend Rule 5815 To Preclude Stay During Hearing Panel Review of Staff Delisting Determinations in Certain Circumstances2020-02-05T00:00:00-08:002020-02-05T00:00:00-08:002020-02186Noticehttps://www.govinfo.gov/content/pkg/FR-2020-02-05/pdf/2020-02186.pdfhttps://regulations.justia.com/regulations/fedreg/2020/02/05/2020-02185.htmlNotice - Self-Regulatory Organizations; National Securities Clearing Corporation; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Enhance National Securities Clearing Corporation's Automated Customer Account Transfer Service (ACATS) Transfer Processes and Make Certain Clarifications in Rule 502020-02-05T00:00:00-08:002020-02-05T00:00:00-08:002020-02185Noticehttps://www.govinfo.gov/content/pkg/FR-2020-02-05/pdf/2020-02185.pdfhttps://regulations.justia.com/regulations/fedreg/2020/02/04/2020-02052.htmlNotice - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Designation of Longer Period for Commission Action To Determine Whether To Approve or Disapprove a Proposed Rule Change To Amend NYSE's Rules To Add New Rule 7.19 (Pre-Trade Risk Controls)2020-02-04T00:00:00-08:002020-02-04T00:00:00-08:002020-02052Noticehttps://www.govinfo.gov/content/pkg/FR-2020-02-04/pdf/2020-02052.pdfhttps://regulations.justia.com/regulations/fedreg/2020/02/04/2020-02051.htmlNotice - Self-Regulatory Organizations; The Nasdaq Stock Market LLC; Notice of Filing of Amendment No. 2 and Order Granting Accelerated Approval of a Proposed Rule Change, as Modified by Amendment No. 2, To Amend Rules 4120 and 47532020-02-04T00:00:00-08:002020-02-04T00:00:00-08:002020-02051Noticehttps://www.govinfo.gov/content/pkg/FR-2020-02-04/pdf/2020-02051.pdfhttps://regulations.justia.com/regulations/fedreg/2020/02/04/2020-02050.htmlNotice - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Extend the Effective Date for Eliminating Computer-to-Computer Interface as a Technological Option for TRACE Reporting2020-02-04T00:00:00-08:002020-02-04T00:00:00-08:002020-02050Noticehttps://www.govinfo.gov/content/pkg/FR-2020-02-04/pdf/2020-02050.pdfhttps://regulations.justia.com/regulations/fedreg/2020/02/04/2020-02049.htmlNotice - Self-Regulatory Organizations; Cboe BZX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating To Amend the Exchange's Opening Process To Allow for an Opening Auction, Similar to that Available on Cboe Exchange, Inc. (“Cboe Options”) and Cboe EDGX Exchange, Inc. (“EDGX Options”), and Make Other Conforming Changes to Rules 16.1 and 21.172020-02-04T00:00:00-08:002020-02-04T00:00:00-08:002020-02049Noticehttps://www.govinfo.gov/content/pkg/FR-2020-02-04/pdf/2020-02049.pdfhttps://regulations.justia.com/regulations/fedreg/2020/02/04/2020-02048.htmlNotice - Self-Regulatory Organizations; Cboe BZX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Provide an Exemption to Certain Governance Requirements for Series of Managed Portfolio Shares Listed on the Exchange Pursuant to Rule 14.11(k)2020-02-04T00:00:00-08:002020-02-04T00:00:00-08:002020-02048Noticehttps://www.govinfo.gov/content/pkg/FR-2020-02-04/pdf/2020-02048.pdfhttps://regulations.justia.com/regulations/fedreg/2020/02/04/2020-02032.htmlNotice - FS Energy and Power Fund and FS/EIG Advisor, LLC2020-02-04T00:00:00-08:002020-02-04T00:00:00-08:002020-02032Noticehttps://www.govinfo.gov/content/pkg/FR-2020-02-04/pdf/2020-02032.pdfhttps://regulations.justia.com/regulations/fedreg/2020/02/04/2019-27762.htmlRule - Risk Mitigation Techniques for Uncleared Security-Based Swaps2020-02-04T00:00:00-08:002020-02-04T00:00:00-08:002019-27762Rulehttps://www.govinfo.gov/content/pkg/FR-2020-02-04/pdf/2019-27762.pdfhttps://regulations.justia.com/regulations/fedreg/2020/02/04/2019-27761.htmlNotice - Order Designating Certain Jurisdictions as “Listed Jurisdictions” for Purposes of Applying the Security-Based Swap Dealer De Minimis Exception of Rule 3a71-3(d) Under the Exchange Act to Certain Cross-Border Security-Based Swap Transactions2020-02-04T00:00:00-08:002020-02-04T00:00:00-08:002019-27761Noticehttps://www.govinfo.gov/content/pkg/FR-2020-02-04/pdf/2019-27761.pdfhttps://regulations.justia.com/regulations/fedreg/2020/02/04/2019-27760.htmlRule - Cross-Border Application of Certain Security-Based Swap Requirements2020-02-04T00:00:00-08:002020-02-04T00:00:00-08:002019-27760Rulehttps://www.govinfo.gov/content/pkg/FR-2020-02-04/pdf/2019-27760.pdfhttps://regulations.justia.com/regulations/fedreg/2020/02/03/2020-02055.htmlNotice - Sunshine Act Meetings2020-02-03T00:00:00-08:002020-02-03T00:00:00-08:002020-02055Noticehttps://www.govinfo.gov/content/pkg/FR-2020-02-03/pdf/2020-02055.pdfhttps://regulations.justia.com/regulations/fedreg/2020/02/03/2020-01914.htmlNotice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Designation of a Longer Period for Commission Action on a Proposed Rule Change To List and Trade Shares of the AdvisorShares Pure US Cannabis ETF Under NYSE Arca Rule 8.600-E2020-02-03T00:00:00-08:002020-02-03T00:00:00-08:002020-01914Noticehttps://www.govinfo.gov/content/pkg/FR-2020-02-03/pdf/2020-01914.pdfhttps://regulations.justia.com/regulations/fedreg/2020/02/03/2020-01912.htmlNotice - Self-Regulatory Organizations; The Nasdaq Stock Market LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Clarify the Term “Closing Price” in Rule 5635(d)(1)(A) Relating to Shareholder Approval for Transactions Other Than Public Offerings2020-02-03T00:00:00-08:002020-02-03T00:00:00-08:002020-01912Noticehttps://www.govinfo.gov/content/pkg/FR-2020-02-03/pdf/2020-01912.pdfhttps://regulations.justia.com/regulations/fedreg/2020/02/03/2020-01910.htmlNotice - Self-Regulatory Organizations; ICE Clear Credit LLC; Notice of Filing of Partial Amendment No. 2 to Proposed Rule Change Relating to Amendments to the ICC Clearing Rules To Address Non-Default Losses2020-02-03T00:00:00-08:002020-02-03T00:00:00-08:002020-01910Noticehttps://www.govinfo.gov/content/pkg/FR-2020-02-03/pdf/2020-01910.pdfhttps://regulations.justia.com/regulations/fedreg/2020/02/03/2020-01909.htmlNotice - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Rule 104(f)(5) To Extend the Operative Date of the Requirements of Rules 104(f)(2) and (3) to Exchange Traded Products2020-02-03T00:00:00-08:002020-02-03T00:00:00-08:002020-01909Noticehttps://www.govinfo.gov/content/pkg/FR-2020-02-03/pdf/2020-01909.pdf