Federal Register Recent Federal Regulation Documents - Justia Regulation Tracker - Justia Regulations Trackerhttps://regulations.justia.com/regulations/fedreg/agencies/securities-and-exchange-commission/2020/04?limit=200®isters=between&min-day=1&max-day=30&mode=atom2024-04-27T22:42:32-07:00Justia Inchttps://www.justia.com/Justia Regulations Trackerhttps://regulations.justia.com/images/justiafedregulations.gifCopyright 2011 Justia Inchttps://regulations.justia.com/regulations/fedreg/2020/04/30/2020-09142.htmlNotice - Notice of Applications for Deregistration Under Section 8(f) of the Investment Company Act of 19402020-04-30T00:00:00-07:002020-04-30T00:00:00-07:002020-09142Noticehttps://www.govinfo.gov/content/pkg/FR-2020-04-30/pdf/2020-09142.pdfhttps://regulations.justia.com/regulations/fedreg/2020/04/30/2020-09141.htmlNotice - Edmunds Private Capital, LLC2020-04-30T00:00:00-07:002020-04-30T00:00:00-07:002020-09141Noticehttps://www.govinfo.gov/content/pkg/FR-2020-04-30/pdf/2020-09141.pdfhttps://regulations.justia.com/regulations/fedreg/2020/04/30/2020-09129.htmlNotice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing of Proposed Rule Change, as Modified by Amendment No. 2, To Modify Rule 6.60-O Regarding the Treatment of Orders Subject to Trade Collar Protection2020-04-30T00:00:00-07:002020-04-30T00:00:00-07:002020-09129Noticehttps://www.govinfo.gov/content/pkg/FR-2020-04-30/pdf/2020-09129.pdfhttps://regulations.justia.com/regulations/fedreg/2020/04/30/2020-09128.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 List and Trade Shares of the SPDR SSGA Responsible Reserves ESG ETF Under NYSE Arca Rule 8.600-E2020-04-30T00:00:00-07:002020-04-30T00:00:00-07:002020-09128Noticehttps://www.govinfo.gov/content/pkg/FR-2020-04-30/pdf/2020-09128.pdfhttps://regulations.justia.com/regulations/fedreg/2020/04/30/2020-09126.htmlNotice - Self-Regulatory Organizations; Cboe Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Add a New Version of the Silexx Platform2020-04-30T00:00:00-07:002020-04-30T00:00:00-07:002020-09126Noticehttps://www.govinfo.gov/content/pkg/FR-2020-04-30/pdf/2020-09126.pdfhttps://regulations.justia.com/regulations/fedreg/2020/04/30/2020-09125.htmlNotice - Self-Regulatory Organizations; NYSE American LLC; Notice of Filing of Proposed Rule Change, as Modified by Amendment No. 2, To Modify Rule 967NY Regarding the Treatment of Orders Subject to Trade Collar Protection2020-04-30T00:00:00-07:002020-04-30T00:00:00-07:002020-09125Noticehttps://www.govinfo.gov/content/pkg/FR-2020-04-30/pdf/2020-09125.pdfhttps://regulations.justia.com/regulations/fedreg/2020/04/30/2020-09124.htmlNotice - Self-Regulatory Organizations; Nasdaq BX, Inc.; Notice of Filing of Proposed Rule Change, as Modified by Amendment No. 1, To Assume Operational Responsibility for Certain Enforcement Functions Currently Performed by FINRA Under the Exchange's Authority and Supervision2020-04-30T00:00:00-07:002020-04-30T00:00:00-07:002020-09124Noticehttps://www.govinfo.gov/content/pkg/FR-2020-04-30/pdf/2020-09124.pdfhttps://regulations.justia.com/regulations/fedreg/2020/04/30/2020-09123.htmlNotice - Self-Regulatory Organizations; The Nasdaq Stock Market LLC; Order Approving Proposed Rule Change To Amend Rules 4702(b)(14) and (b)(15) To Shorten the Holding Period Requirements for Midpoint Extended Life Orders and Midpoint Extended Life Orders Plus Continuous Book2020-04-30T00:00:00-07:002020-04-30T00:00:00-07:002020-09123Noticehttps://www.govinfo.gov/content/pkg/FR-2020-04-30/pdf/2020-09123.pdfhttps://regulations.justia.com/regulations/fedreg/2020/04/30/2020-09121.htmlNotice - Legg Mason Partners Equity Trust, et al.; Notice of Application2020-04-30T00:00:00-07:002020-04-30T00:00:00-07:002020-09121Noticehttps://www.govinfo.gov/content/pkg/FR-2020-04-30/pdf/2020-09121.pdfhttps://regulations.justia.com/regulations/fedreg/2020/04/29/2020-09224.htmlNotice - Sunshine Act Meetings2020-04-29T00:00:00-07:002020-04-29T00:00:00-07:002020-09224Noticehttps://www.govinfo.gov/content/pkg/FR-2020-04-29/pdf/2020-09224.pdfhttps://regulations.justia.com/regulations/fedreg/2020/04/29/2020-09083.htmlNotice - SEC Small Business Capital Formation Advisory Committee2020-04-29T00:00:00-07:002020-04-29T00:00:00-07:002020-09083Noticehttps://www.govinfo.gov/content/pkg/FR-2020-04-29/pdf/2020-09083.pdfhttps://regulations.justia.com/regulations/fedreg/2020/04/29/2020-09050.htmlNotice - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Modify Its Application of the Proxy Delivery Requirements of NYSE Rule 451(b)(1) Through and Including May 31, 20202020-04-29T00:00:00-07:002020-04-29T00:00:00-07:002020-09050Noticehttps://www.govinfo.gov/content/pkg/FR-2020-04-29/pdf/2020-09050.pdfhttps://regulations.justia.com/regulations/fedreg/2020/04/29/2020-09036.htmlNotice - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Section 902.02 of the NYSE Listed Company Manual To Waive Initial Listing Fees and First Partial Year Annual Fees for Certain Companies Listing Upon Closing of an Acquisition of a Special Purpose Acquisition Company2020-04-29T00:00:00-07:002020-04-29T00:00:00-07:002020-09036Noticehttps://www.govinfo.gov/content/pkg/FR-2020-04-29/pdf/2020-09036.pdfhttps://regulations.justia.com/regulations/fedreg/2020/04/29/2020-09035.htmlNotice - The Alger ETF Trust, et al.2020-04-29T00:00:00-07:002020-04-29T00:00:00-07:002020-09035Noticehttps://www.govinfo.gov/content/pkg/FR-2020-04-29/pdf/2020-09035.pdfhttps://regulations.justia.com/regulations/fedreg/2020/04/28/2020-08942.htmlNotice - FS Credit Income Fund, et al.2020-04-28T00:00:00-07:002020-04-28T00:00:00-07:002020-08942Noticehttps://www.govinfo.gov/content/pkg/FR-2020-04-28/pdf/2020-08942.pdfhttps://regulations.justia.com/regulations/fedreg/2020/04/28/2020-08941.htmlNotice - Self-Regulatory Organizations; Nasdaq GEMX, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend GEMX Rules at Options 3, Section 8, Titled Options Opening Process2020-04-28T00:00:00-07:002020-04-28T00:00:00-07:002020-08941Noticehttps://www.govinfo.gov/content/pkg/FR-2020-04-28/pdf/2020-08941.pdfhttps://regulations.justia.com/regulations/fedreg/2020/04/28/2020-08940.htmlNotice - Self-Regulatory Organizations; Nasdaq ISE, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend ISE Rules at Options 3, Section 8, Titled Options Opening Process2020-04-28T00:00:00-07:002020-04-28T00:00:00-07:002020-08940Noticehttps://www.govinfo.gov/content/pkg/FR-2020-04-28/pdf/2020-08940.pdfhttps://regulations.justia.com/regulations/fedreg/2020/04/28/2020-08939.htmlNotice - Self-Regulatory Organizations; Nasdaq PHLX LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Phlx Rules at Options 3, Section 8, Titled Options Opening Process2020-04-28T00:00:00-07:002020-04-28T00:00:00-07:002020-08939Noticehttps://www.govinfo.gov/content/pkg/FR-2020-04-28/pdf/2020-08939.pdfhttps://regulations.justia.com/regulations/fedreg/2020/04/28/2020-08938.htmlNotice - Self-Regulatory Organizations; Cboe EDGA Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Provide Members Certain Optional Risk Settings Under Proposed Interpretation and Policy .03 of Rule 11.102020-04-28T00:00:00-07:002020-04-28T00:00:00-07:002020-08938Noticehttps://www.govinfo.gov/content/pkg/FR-2020-04-28/pdf/2020-08938.pdfhttps://regulations.justia.com/regulations/fedreg/2020/04/28/2020-08937.htmlNotice - Self-Regulatory Organizations; Cboe BZX Exchange, Inc.; Notice of Filing of Amendment No. 2 and Order Instituting Proceedings To Determine Whether To Approve or Disapprove a Proposed Rule Change, as Modified by Amendment No. 2, To List and Trade Shares of the −1x Short VIX Futures ETF Under BZX Rule 14.11(f)(4), Trust Issued Receipts2020-04-28T00:00:00-07:002020-04-28T00:00:00-07:002020-08937Noticehttps://www.govinfo.gov/content/pkg/FR-2020-04-28/pdf/2020-08937.pdfhttps://regulations.justia.com/regulations/fedreg/2020/04/28/2020-08936.htmlNotice - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Add Commentary .01 to Rule 7.352020-04-28T00:00:00-07:002020-04-28T00:00:00-07:002020-08936Noticehttps://www.govinfo.gov/content/pkg/FR-2020-04-28/pdf/2020-08936.pdfhttps://regulations.justia.com/regulations/fedreg/2020/04/28/2020-08934.htmlNotice - Self-Regulatory Organizations; Cboe Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Remove Its Optional Daily Risk Limits Pursuant to Rule 5.342020-04-28T00:00:00-07:002020-04-28T00:00:00-07:002020-08934Noticehttps://www.govinfo.gov/content/pkg/FR-2020-04-28/pdf/2020-08934.pdfhttps://regulations.justia.com/regulations/fedreg/2020/04/28/2020-08933.htmlNotice - Self-Regulatory Organizations; Cboe C2 Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating To Remove Its Optional Daily Risk Limits Pursuant to Rule 6.142020-04-28T00:00:00-07:002020-04-28T00:00:00-07:002020-08933Noticehttps://www.govinfo.gov/content/pkg/FR-2020-04-28/pdf/2020-08933.pdfhttps://regulations.justia.com/regulations/fedreg/2020/04/27/2020-08977.htmlNotice - Sunshine Act Meetings2020-04-27T00:00:00-07:002020-04-27T00:00:00-07:002020-08977Noticehttps://www.govinfo.gov/content/pkg/FR-2020-04-27/pdf/2020-08977.pdfhttps://regulations.justia.com/regulations/fedreg/2020/04/27/2020-08825.htmlNotice - Invesco Advisers, Inc., et al.2020-04-27T00:00:00-07:002020-04-27T00:00:00-07:002020-08825Noticehttps://www.govinfo.gov/content/pkg/FR-2020-04-27/pdf/2020-08825.pdfhttps://regulations.justia.com/regulations/fedreg/2020/04/27/2020-08824.htmlNotice - Principal Funds, Inc. et al.2020-04-27T00:00:00-07:002020-04-27T00:00:00-07:002020-08824Noticehttps://www.govinfo.gov/content/pkg/FR-2020-04-27/pdf/2020-08824.pdfhttps://regulations.justia.com/regulations/fedreg/2020/04/27/2020-08823.htmlNotice - Self-Regulatory Organizations; Cboe EDGA Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Rule 13.4(a) To Add LTSE as a Source for Market Data for Certain Purposes2020-04-27T00:00:00-07:002020-04-27T00:00:00-07:002020-08823Noticehttps://www.govinfo.gov/content/pkg/FR-2020-04-27/pdf/2020-08823.pdfhttps://regulations.justia.com/regulations/fedreg/2020/04/27/2020-08821.htmlNotice - Self-Regulatory Organizations; Nasdaq PHLX LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the Exchange's Pricing Schedule at Equity 7, Section 32020-04-27T00:00:00-07:002020-04-27T00:00:00-07:002020-08821Noticehttps://www.govinfo.gov/content/pkg/FR-2020-04-27/pdf/2020-08821.pdfhttps://regulations.justia.com/regulations/fedreg/2020/04/27/2020-08819.htmlNotice - Self-Regulatory Organizations; Cboe EDGX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Rule 13.4(a) To Add LTSE as a Source for Market Data for Certain Purposes2020-04-27T00:00:00-07:002020-04-27T00:00:00-07:002020-08819Noticehttps://www.govinfo.gov/content/pkg/FR-2020-04-27/pdf/2020-08819.pdfhttps://regulations.justia.com/regulations/fedreg/2020/04/27/2020-08818.htmlNotice - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Add Commentary .04 to Rule 7.35A To Provide DMMs, for a Temporary Period, With Limited Remote Access to Floor-Based Systems2020-04-27T00:00:00-07:002020-04-27T00:00:00-07:002020-08818Noticehttps://www.govinfo.gov/content/pkg/FR-2020-04-27/pdf/2020-08818.pdfhttps://regulations.justia.com/regulations/fedreg/2020/04/27/2020-08815.htmlNotice - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Provide a Longer Period for Listed Companies To Regain Compliance With Its $50 Million Market Capitalization/Stockholders' Equity and $1.00 Price Continued Listing Requirements by Tolling the Compliance Periods Through and Including June 30, 20202020-04-27T00:00:00-07:002020-04-27T00:00:00-07:002020-08815Noticehttps://www.govinfo.gov/content/pkg/FR-2020-04-27/pdf/2020-08815.pdfhttps://regulations.justia.com/regulations/fedreg/2020/04/27/2020-08814.htmlNotice - Self-Regulatory Organizations; The Nasdaq Stock Market LLC; Order Approving a Proposed Rule Change To Modify the Delisting Process for Securities With a Bid Price at or Below $0.10 and for Securities That Have Had One or More Reverse Stock Splits With a Cumulative Ratio of 250 Shares or More to One Over the Prior Two-Year Period2020-04-27T00:00:00-07:002020-04-27T00:00:00-07:002020-08814Noticehttps://www.govinfo.gov/content/pkg/FR-2020-04-27/pdf/2020-08814.pdfhttps://regulations.justia.com/regulations/fedreg/2020/04/27/2020-08813.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 Agility Shares Managed Risk Equity ETF, a Series of the Northern Lights Fund Trust, Under Rule 14.11(i)2020-04-27T00:00:00-07:002020-04-27T00:00:00-07:002020-08813Noticehttps://www.govinfo.gov/content/pkg/FR-2020-04-27/pdf/2020-08813.pdfhttps://regulations.justia.com/regulations/fedreg/2020/04/27/2020-08812.htmlNotice - Self-Regulatory Organizations; NYSE Chicago, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Temporarily Extend the Time Within Which Institutional Brokers Are Required To Report Non-Tape, Clearing-Only Submissions Into the Exchange's Systems2020-04-27T00:00:00-07:002020-04-27T00:00:00-07:002020-08812Noticehttps://www.govinfo.gov/content/pkg/FR-2020-04-27/pdf/2020-08812.pdfhttps://regulations.justia.com/regulations/fedreg/2020/04/27/2020-08811.htmlNotice - Self-Regulatory Organizations; Cboe BZX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Rule 11.26(a) To Add LTSE as a Source for Market Data for Certain Purposes2020-04-27T00:00:00-07:002020-04-27T00:00:00-07:002020-08811Noticehttps://www.govinfo.gov/content/pkg/FR-2020-04-27/pdf/2020-08811.pdfhttps://regulations.justia.com/regulations/fedreg/2020/04/27/2020-08810.htmlNotice - Self-Regulatory Organizations; Cboe BYX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Rule 11.26(a) To Add LTSE as a Source for Market Data for Certain Purposes2020-04-27T00:00:00-07:002020-04-27T00:00:00-07:002020-08810Noticehttps://www.govinfo.gov/content/pkg/FR-2020-04-27/pdf/2020-08810.pdfhttps://regulations.justia.com/regulations/fedreg/2020/04/27/2020-08809.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 Charges2020-04-27T00:00:00-07:002020-04-27T00:00:00-07:002020-08809Noticehttps://www.govinfo.gov/content/pkg/FR-2020-04-27/pdf/2020-08809.pdfhttps://regulations.justia.com/regulations/fedreg/2020/04/27/2020-08795.htmlNotice - Joint Industry Plan; Order Approving the Twentieth Amendment to the National Market System Plan To Address Extraordinary Market Volatility by Cboe BYX Exchange, Inc., Cboe BZX Exchange, Inc., Cboe EDGA Exchange, Inc., Cboe EDGX Exchange, Inc., Chicago Stock Exchange, Inc., Financial Industry Regulatory Authority, Inc., Investors Exchange LLC, Long-Term Stock Exchange, NASDAQ BX, Inc., NASDAQ PHLX LLC, The Nasdaq Stock Market LLC, NYSE National, Inc., New York Stock Exchange LLC, NYSE American LLC, and NYSE Arca, Inc.2020-04-27T00:00:00-07:002020-04-27T00:00:00-07:002020-08795Noticehttps://www.govinfo.gov/content/pkg/FR-2020-04-27/pdf/2020-08795.pdfhttps://regulations.justia.com/regulations/fedreg/2020/04/24/2020-08705.htmlNotice - Order Granting Conditional Exemptive Relief, Pursuant to Section 36 of the Securities Exchange Act of 1934 (“Exchange Act”) and Rule 608(e) of Regulation NMS Under the Exchange Act, From Sections 6.4, 6.7(a)(v) and 6.7(a)(vi) of the National Market System Plan Governing the Consolidated Audit Trail2020-04-24T00:00:00-07:002020-04-24T00:00:00-07:002020-08705Noticehttps://www.govinfo.gov/content/pkg/FR-2020-04-24/pdf/2020-08705.pdfhttps://regulations.justia.com/regulations/fedreg/2020/04/24/2020-08704.htmlNotice - Order Granting Limited Exemptive Relief, Pursuant to Section 36 of the Securities Exchange Act of 1934 (“Exchange Act”) and Rule 608(e) of Regulation NMS Under the Exchange Act, Related to Certain Introducing Brokers, From the Requirements of the National Market System Plan Governing the Consolidated Audit Trail2020-04-24T00:00:00-07:002020-04-24T00:00:00-07:002020-08704Noticehttps://www.govinfo.gov/content/pkg/FR-2020-04-24/pdf/2020-08704.pdfhttps://regulations.justia.com/regulations/fedreg/2020/04/24/2020-08701.htmlNotice - Self-Regulatory Organizations; New York Stock Exchange LLC; Order Instituting Proceedings To Determine Whether To Approve or Disapprove a Proposed Rule Change To Amend the NYSE Rule 6800 Series, the Exchange's Compliance Rule Regarding the National Market System Plan Governing the Consolidated Audit Trail2020-04-24T00:00:00-07:002020-04-24T00:00:00-07:002020-08701Noticehttps://www.govinfo.gov/content/pkg/FR-2020-04-24/pdf/2020-08701.pdfhttps://regulations.justia.com/regulations/fedreg/2020/04/24/2020-08700.htmlNotice - Self-Regulatory Organizations; NYSE American LLC; Order Instituting Proceedings To Determine Whether To Approve or Disapprove a Proposed Rule Change To Amend the NYSE American Rule 6800 Series, the Exchange's Compliance Rule Regarding the National Market System Plan Governing the Consolidated Audit Trail2020-04-24T00:00:00-07:002020-04-24T00:00:00-07:002020-08700Noticehttps://www.govinfo.gov/content/pkg/FR-2020-04-24/pdf/2020-08700.pdfhttps://regulations.justia.com/regulations/fedreg/2020/04/24/2020-08699.htmlNotice - Self-Regulatory Organizations; NYSE Chicago, Inc.; Order Instituting Proceedings To Determine Whether To Approve or Disapprove a Proposed Rule Change, as Modified by Amendment No. 1, To Amend the NYSE Chicago Rule 6.6800 Series, the Exchange's Compliance Rule Regarding the National Market System Plan Governing the Consolidated Audit Trail2020-04-24T00:00:00-07:002020-04-24T00:00:00-07:002020-08699Noticehttps://www.govinfo.gov/content/pkg/FR-2020-04-24/pdf/2020-08699.pdfhttps://regulations.justia.com/regulations/fedreg/2020/04/24/2020-08698.htmlNotice - Self-Regulatory Organizations; NYSE National, Inc.; Order Instituting Proceedings To Determine Whether To Approve or Disapprove a Proposed Rule Change To Amend the NYSE National Rule 6.6800 Series, the Exchange's Compliance Rule Regarding the National Market System Plan Governing the Consolidated Audit Trail2020-04-24T00:00:00-07:002020-04-24T00:00:00-07:002020-08698Noticehttps://www.govinfo.gov/content/pkg/FR-2020-04-24/pdf/2020-08698.pdfhttps://regulations.justia.com/regulations/fedreg/2020/04/24/2020-08697.htmlNotice - Self-Regulatory Organizations; NYSE Arca, Inc.; Order Instituting Proceedings To Determine Whether To Approve or Disapprove a Proposed Rule Change To Amend the NYSE Arca Rule 11.6800 Series, the Exchange's Compliance Rule Regarding the National Market System Plan Governing the Consolidated Audit Trail2020-04-24T00:00:00-07:002020-04-24T00:00:00-07:002020-08697Noticehttps://www.govinfo.gov/content/pkg/FR-2020-04-24/pdf/2020-08697.pdfhttps://regulations.justia.com/regulations/fedreg/2020/04/24/2020-08696.htmlNotice - Self-Regulatory Organizations; Municipal Securities Rulemaking Board; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Provide Dealers and Municipal Advisors Additional Time To Comply With Certain Obligations for a Temporary Period of Time and Temporarily Suspend Late Fees on Payments Owed to the MSRB2020-04-24T00:00:00-07:002020-04-24T00:00:00-07:002020-08696Noticehttps://www.govinfo.gov/content/pkg/FR-2020-04-24/pdf/2020-08696.pdfhttps://regulations.justia.com/regulations/fedreg/2020/04/24/2020-08695.htmlNotice - Self-Regulatory Organizations; NYSE Chicago, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Rule 1.1 To Include Managed Portfolio Shares in the Definition of “UTP Exchange Traded Product”2020-04-24T00:00:00-07:002020-04-24T00:00:00-07:002020-08695Noticehttps://www.govinfo.gov/content/pkg/FR-2020-04-24/pdf/2020-08695.pdfhttps://regulations.justia.com/regulations/fedreg/2020/04/24/2020-08694.htmlNotice - Self-Regulatory Organizations; NYSE National, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Rule 1.1 To Include Managed Portfolio Shares in the Definition of “UTP Exchange Traded Product”2020-04-24T00:00:00-07:002020-04-24T00:00:00-07:002020-08694Noticehttps://www.govinfo.gov/content/pkg/FR-2020-04-24/pdf/2020-08694.pdfhttps://regulations.justia.com/regulations/fedreg/2020/04/24/2020-08693.htmlNotice - Self-Regulatory Organizations; Miami International Securities Exchange, LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Delay Implementation of an Amendment to Rule 518, Complex Orders, To Permit Legging Through the Simple Market2020-04-24T00:00:00-07:002020-04-24T00:00:00-07:002020-08693Noticehttps://www.govinfo.gov/content/pkg/FR-2020-04-24/pdf/2020-08693.pdfhttps://regulations.justia.com/regulations/fedreg/2020/04/24/2020-08692.htmlNotice - Self-Regulatory Organizations; The Options Clearing Corporation; Notice of Filing of Proposed Rule Change Related to Proposed Changes to The Options Clearing Corporation's Framework for Liquidity Risk Management2020-04-24T00:00:00-07:002020-04-24T00:00:00-07:002020-08692Noticehttps://www.govinfo.gov/content/pkg/FR-2020-04-24/pdf/2020-08692.pdfhttps://regulations.justia.com/regulations/fedreg/2020/04/23/2020-08595.htmlNotice - Self-Regulatory Organizations; Nasdaq ISE, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Extend the Pilot Period for the Exchange's Nonstandard Expirations Pilot Program2020-04-23T00:00:00-07:002020-04-23T00:00:00-07:002020-08595Noticehttps://www.govinfo.gov/content/pkg/FR-2020-04-23/pdf/2020-08595.pdfhttps://regulations.justia.com/regulations/fedreg/2020/04/23/2020-08594.htmlNotice - Self-Regulatory Organizations; Cboe Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Amending Its Fees Schedule2020-04-23T00:00:00-07:002020-04-23T00:00:00-07:002020-08594Noticehttps://www.govinfo.gov/content/pkg/FR-2020-04-23/pdf/2020-08594.pdfhttps://regulations.justia.com/regulations/fedreg/2020/04/23/2020-08593.htmlNotice - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Designation of a Longer Period for Commission Action on Proceedings To Determine Whether To Approve or Disapprove a Proposed Rule Change To Permit the Exchange To List and Trade Exchange Traded Products2020-04-23T00:00:00-07:002020-04-23T00:00:00-07:002020-08593Noticehttps://www.govinfo.gov/content/pkg/FR-2020-04-23/pdf/2020-08593.pdfhttps://regulations.justia.com/regulations/fedreg/2020/04/23/2020-08592.htmlNotice - Self-Regulatory Organizations; The Nasdaq Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Permit a Longer Period of Time for Companies To Regain Compliance With the Bid Price and Market Value of Publicly Held Shares Continued Listing Requirements by Tolling the Compliance Periods Through and Including June 30, 20202020-04-23T00:00:00-07:002020-04-23T00:00:00-07:002020-08592Noticehttps://www.govinfo.gov/content/pkg/FR-2020-04-23/pdf/2020-08592.pdfhttps://regulations.justia.com/regulations/fedreg/2020/04/23/2020-08591.htmlNotice - Self-Regulatory Organizations; Nasdaq PHLX LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Options 6, Section 5, Titled Transfer of Positions2020-04-23T00:00:00-07:002020-04-23T00:00:00-07:002020-08591Noticehttps://www.govinfo.gov/content/pkg/FR-2020-04-23/pdf/2020-08591.pdfhttps://regulations.justia.com/regulations/fedreg/2020/04/23/2020-08590.htmlNotice - Self-Regulatory Organizations; Nasdaq ISE, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Extend a Pilot on the Nasdaq 100 Reduced Value Index2020-04-23T00:00:00-07:002020-04-23T00:00:00-07:002020-08590Noticehttps://www.govinfo.gov/content/pkg/FR-2020-04-23/pdf/2020-08590.pdfhttps://regulations.justia.com/regulations/fedreg/2020/04/23/2020-08589.htmlNotice - Self-Regulatory Organizations; NYSE American LLC; Notice of Filing and Immediate Effectiveness of Proposed Change To Amend the NYSE American Options Fee Schedule2020-04-23T00:00:00-07:002020-04-23T00:00:00-07:002020-08589Noticehttps://www.govinfo.gov/content/pkg/FR-2020-04-23/pdf/2020-08589.pdfhttps://regulations.justia.com/regulations/fedreg/2020/04/23/2020-08588.htmlNotice - Self-Regulatory Organizations; Nasdaq PHLX LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Extend a Non-Standard Pilot Program2020-04-23T00:00:00-07:002020-04-23T00:00:00-07:002020-08588Noticehttps://www.govinfo.gov/content/pkg/FR-2020-04-23/pdf/2020-08588.pdfhttps://regulations.justia.com/regulations/fedreg/2020/04/23/2020-08582.htmlNotice - Capitol Series Trust and Cornerstone Capital Inc.2020-04-23T00:00:00-07:002020-04-23T00:00:00-07:002020-08582Noticehttps://www.govinfo.gov/content/pkg/FR-2020-04-23/pdf/2020-08582.pdfhttps://regulations.justia.com/regulations/fedreg/2020/04/23/2020-08487.htmlNotice - Self-Regulatory Organizations; ICE Clear Europe Limited; 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 the ICE Clear Europe Rules and Procedures2020-04-23T00:00:00-07:002020-04-23T00:00:00-07:002020-08487Noticehttps://www.govinfo.gov/content/pkg/FR-2020-04-23/pdf/2020-08487.pdfhttps://regulations.justia.com/regulations/fedreg/2020/04/22/2020-08495.htmlNotice - Self-Regulatory Organizations; Cboe Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Extend the Operation of Its SPXPM Pilot Program2020-04-22T00:00:00-07:002020-04-22T00:00:00-07:002020-08495Noticehttps://www.govinfo.gov/content/pkg/FR-2020-04-22/pdf/2020-08495.pdfhttps://regulations.justia.com/regulations/fedreg/2020/04/22/2020-08494.htmlNotice - Self-Regulatory Organizations; Cboe Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Renew an Existing Pilot Program Until November 2, 20202020-04-22T00:00:00-07:002020-04-22T00:00:00-07:002020-08494Noticehttps://www.govinfo.gov/content/pkg/FR-2020-04-22/pdf/2020-08494.pdfhttps://regulations.justia.com/regulations/fedreg/2020/04/22/2020-08493.htmlNotice - Self-Regulatory Organizations; Nasdaq BX, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Adopt a New Rule Titled Transfer of Positions Within Options 6, Section 52020-04-22T00:00:00-07:002020-04-22T00:00:00-07:002020-08493Noticehttps://www.govinfo.gov/content/pkg/FR-2020-04-22/pdf/2020-08493.pdfhttps://regulations.justia.com/regulations/fedreg/2020/04/22/2020-08492.htmlNotice - Self-Regulatory Organizations; Nasdaq GEMX, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Adopt a New Rule Titled Transfer of Positions Within Options 6, Section 52020-04-22T00:00:00-07:002020-04-22T00:00:00-07:002020-08492Noticehttps://www.govinfo.gov/content/pkg/FR-2020-04-22/pdf/2020-08492.pdfhttps://regulations.justia.com/regulations/fedreg/2020/04/22/2020-08491.htmlNotice - Self-Regulatory Organizations; Nasdaq ISE, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Adopt a New Rule Titled Transfer of Positions Within Options 6, Section 52020-04-22T00:00:00-07:002020-04-22T00:00:00-07:002020-08491Noticehttps://www.govinfo.gov/content/pkg/FR-2020-04-22/pdf/2020-08491.pdfhttps://regulations.justia.com/regulations/fedreg/2020/04/22/2020-08490.htmlNotice - Self-Regulatory Organizations; Nasdaq MRX, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Adopt a New Rule Titled Transfer of Positions Within Options 6, Section 52020-04-22T00:00:00-07:002020-04-22T00:00:00-07:002020-08490Noticehttps://www.govinfo.gov/content/pkg/FR-2020-04-22/pdf/2020-08490.pdfhttps://regulations.justia.com/regulations/fedreg/2020/04/22/2020-08489.htmlNotice - Self-Regulatory Organizations; The Nasdaq Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Adopt a New Rule Titled Transfer of Positions Within Options 6, Section 52020-04-22T00:00:00-07:002020-04-22T00:00:00-07:002020-08489Noticehttps://www.govinfo.gov/content/pkg/FR-2020-04-22/pdf/2020-08489.pdfhttps://regulations.justia.com/regulations/fedreg/2020/04/22/2020-08488.htmlNotice - Self-Regulatory Organizations; The Nasdaq Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to the First Trust Tactical High Yield ETF2020-04-22T00:00:00-07:002020-04-22T00:00:00-07:002020-08488Noticehttps://www.govinfo.gov/content/pkg/FR-2020-04-22/pdf/2020-08488.pdfhttps://regulations.justia.com/regulations/fedreg/2020/04/22/2020-08486.htmlNotice - Self-Regulatory Organizations; Cboe EDGA Exchange, Inc; Notice of Designation of Longer Period for Commission Action on Proposed Rule Change To Amend EDGA Rule 11.8(e), Which Describes the Handling of MidPoint Discretionary Orders Entered on the Exchange2020-04-22T00:00:00-07:002020-04-22T00:00:00-07:002020-08486Noticehttps://www.govinfo.gov/content/pkg/FR-2020-04-22/pdf/2020-08486.pdfhttps://regulations.justia.com/regulations/fedreg/2020/04/22/2020-08485.htmlNotice - Self-Regulatory Organizations; Cboe EDGX Exchange, Inc; Notice of Designation of Longer Period for Commission Action on Proposed Rule Change To Amend EDGX Rule 11.8(g), Which Describes the Handling of MidPoint Discretionary Orders Entered on the Exchange2020-04-22T00:00:00-07:002020-04-22T00:00:00-07:002020-08485Noticehttps://www.govinfo.gov/content/pkg/FR-2020-04-22/pdf/2020-08485.pdfhttps://regulations.justia.com/regulations/fedreg/2020/04/22/2020-08484.htmlNotice - Self-Regulatory Organizations; Nasdaq MRX, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Options 3, Section 8 Relating to the Options Opening Process2020-04-22T00:00:00-07:002020-04-22T00:00:00-07:002020-08484Noticehttps://www.govinfo.gov/content/pkg/FR-2020-04-22/pdf/2020-08484.pdfhttps://regulations.justia.com/regulations/fedreg/2020/04/22/2020-08477.htmlNotice - American Century ETF Trust, et al.2020-04-22T00:00:00-07:002020-04-22T00:00:00-07:002020-08477Noticehttps://www.govinfo.gov/content/pkg/FR-2020-04-22/pdf/2020-08477.pdfhttps://regulations.justia.com/regulations/fedreg/2020/04/22/2020-08476.htmlNotice - KKR Credit Opportunities Portfolio and KKR Credit Advisors (US) LLC2020-04-22T00:00:00-07:002020-04-22T00:00:00-07:002020-08476Noticehttps://www.govinfo.gov/content/pkg/FR-2020-04-22/pdf/2020-08476.pdfhttps://regulations.justia.com/regulations/fedreg/2020/04/21/2020-08386.htmlNotice - Self-Regulatory Organizations; The Options Clearing Corporation; Notice of Filing of Proposed Rule Change To Modify the Sequence for Processing Options Transactions2020-04-21T00:00:00-07:002020-04-21T00:00:00-07:002020-08386Noticehttps://www.govinfo.gov/content/pkg/FR-2020-04-21/pdf/2020-08386.pdfhttps://regulations.justia.com/regulations/fedreg/2020/04/21/2020-08385.htmlNotice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Adopt a New NYSE Arca Rule 8.900-E2020-04-21T00:00:00-07:002020-04-21T00:00:00-07:002020-08385Noticehttps://www.govinfo.gov/content/pkg/FR-2020-04-21/pdf/2020-08385.pdfhttps://regulations.justia.com/regulations/fedreg/2020/04/21/2020-08384.htmlNotice - Self-Regulatory Organizations; Cboe BYX Exchange, Inc.; Notice of Withdrawal of a Proposed Rule Change To Introduce a Small Retail Broker Distribution Program2020-04-21T00:00:00-07:002020-04-21T00:00:00-07:002020-08384Noticehttps://www.govinfo.gov/content/pkg/FR-2020-04-21/pdf/2020-08384.pdfhttps://regulations.justia.com/regulations/fedreg/2020/04/21/2020-08383.htmlNotice - Self-Regulatory Organizations; Cboe BZX Exchange, Inc.; Notice of Withdrawal of a Proposed Rule Change To Introduce a Small Retail Broker Distribution Program2020-04-21T00:00:00-07:002020-04-21T00:00:00-07:002020-08383Noticehttps://www.govinfo.gov/content/pkg/FR-2020-04-21/pdf/2020-08383.pdfhttps://regulations.justia.com/regulations/fedreg/2020/04/21/2020-08382.htmlNotice - Self-Regulatory Organizations; Cboe EDGX Exchange, Inc.; Notice of Withdrawal of a Proposed Rule Change To Introduce a Small Retail Broker Distribution Program2020-04-21T00:00:00-07:002020-04-21T00:00:00-07:002020-08382Noticehttps://www.govinfo.gov/content/pkg/FR-2020-04-21/pdf/2020-08382.pdfhttps://regulations.justia.com/regulations/fedreg/2020/04/21/2020-08381.htmlNotice - Self-Regulatory Organizations; Cboe EDGX Exchange, Inc.; Notice of Withdrawal of a Proposed Rule Change To Introduce a Small Retail Broker Distribution Program2020-04-21T00:00:00-07:002020-04-21T00:00:00-07:002020-08381Noticehttps://www.govinfo.gov/content/pkg/FR-2020-04-21/pdf/2020-08381.pdfhttps://regulations.justia.com/regulations/fedreg/2020/04/21/2020-08380.htmlNotice - Self-Regulatory Organizations; Cboe EDGA Exchange, Inc.; Notice of Withdrawal of a Proposed Rule Change To Introduce a Small Retail Broker Distribution Program2020-04-21T00:00:00-07:002020-04-21T00:00:00-07:002020-08380Noticehttps://www.govinfo.gov/content/pkg/FR-2020-04-21/pdf/2020-08380.pdfhttps://regulations.justia.com/regulations/fedreg/2020/04/21/2020-08378.htmlNotice - Self-Regulatory Organizations; National Securities Clearing Corporation; Notice of Filing of Proposed Rule Change To Modify the Clearing Agency Model Risk Management Framework2020-04-21T00:00:00-07:002020-04-21T00:00:00-07:002020-08378Noticehttps://www.govinfo.gov/content/pkg/FR-2020-04-21/pdf/2020-08378.pdfhttps://regulations.justia.com/regulations/fedreg/2020/04/21/2020-08377.htmlNotice - Self-Regulatory Organizations; Fixed Income Clearing Corporation; Notice of Filing of Proposed Rule Change To Modify the Clearing Agency Model Risk Management Framework2020-04-21T00:00:00-07:002020-04-21T00:00:00-07:002020-08377Noticehttps://www.govinfo.gov/content/pkg/FR-2020-04-21/pdf/2020-08377.pdfhttps://regulations.justia.com/regulations/fedreg/2020/04/21/2020-08372.htmlNotice - Self-Regulatory Organizations; Cboe EDGA Exchange, Inc.; Notice of Withdrawal of a Proposed Rule Change To Introduce a Small Retail Broker Distribution Program2020-04-21T00:00:00-07:002020-04-21T00:00:00-07:002020-08372Noticehttps://www.govinfo.gov/content/pkg/FR-2020-04-21/pdf/2020-08372.pdfhttps://regulations.justia.com/regulations/fedreg/2020/04/21/2020-08371.htmlNotice - Self-Regulatory Organizations; Cboe BYX Exchange, Inc.; Notice of Withdrawal of a Proposed Rule Change To Introduce a Small Retail Broker Distribution Program2020-04-21T00:00:00-07:002020-04-21T00:00:00-07:002020-08371Noticehttps://www.govinfo.gov/content/pkg/FR-2020-04-21/pdf/2020-08371.pdfhttps://regulations.justia.com/regulations/fedreg/2020/04/21/2020-08370.htmlNotice - Self-Regulatory Organizations; Cboe BZX Exchange, Inc.; Notice of Withdrawal of a Proposed Rule Change To Introduce a Small Retail Broker Distribution Program2020-04-21T00:00:00-07:002020-04-21T00:00:00-07:002020-08370Noticehttps://www.govinfo.gov/content/pkg/FR-2020-04-21/pdf/2020-08370.pdfhttps://regulations.justia.com/regulations/fedreg/2020/04/21/2020-08369.htmlNotice - Self-Regulatory Organizations; The Depository Trust Company; Notice of Filing of Proposed Rule Change To Modify the Clearing Agency Model Risk Management Framework2020-04-21T00:00:00-07:002020-04-21T00:00:00-07:002020-08369Noticehttps://www.govinfo.gov/content/pkg/FR-2020-04-21/pdf/2020-08369.pdfhttps://regulations.justia.com/regulations/fedreg/2020/04/21/2020-08368.htmlNotice - Self-Regulatory Organizations; Cboe Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating To Amend Its Fees Schedule2020-04-21T00:00:00-07:002020-04-21T00:00:00-07:002020-08368Noticehttps://www.govinfo.gov/content/pkg/FR-2020-04-21/pdf/2020-08368.pdfhttps://regulations.justia.com/regulations/fedreg/2020/04/21/2020-08350.htmlNotice - Great Elm Capital Corp., et al.2020-04-21T00:00:00-07:002020-04-21T00:00:00-07:002020-08350Noticehttps://www.govinfo.gov/content/pkg/FR-2020-04-21/pdf/2020-08350.pdfhttps://regulations.justia.com/regulations/fedreg/2020/04/20/2020-08389.htmlNotice - Sunshine Act Meetings2020-04-20T00:00:00-07:002020-04-20T00:00:00-07:002020-08389Noticehttps://www.govinfo.gov/content/pkg/FR-2020-04-20/pdf/2020-08389.pdfhttps://regulations.justia.com/regulations/fedreg/2020/04/20/2020-08340.htmlNotice - Submission for OMB Review; Comment Request2020-04-20T00:00:00-07:002020-04-20T00:00:00-07:002020-08340Noticehttps://www.govinfo.gov/content/pkg/FR-2020-04-20/pdf/2020-08340.pdfhttps://regulations.justia.com/regulations/fedreg/2020/04/20/2020-08339.htmlNotice - Submission for OMB Review; Comment Request2020-04-20T00:00:00-07:002020-04-20T00:00:00-07:002020-08339Noticehttps://www.govinfo.gov/content/pkg/FR-2020-04-20/pdf/2020-08339.pdfhttps://regulations.justia.com/regulations/fedreg/2020/04/20/2020-08338.htmlNotice - Submission for OMB Review; Comment Request2020-04-20T00:00:00-07:002020-04-20T00:00:00-07:002020-08338Noticehttps://www.govinfo.gov/content/pkg/FR-2020-04-20/pdf/2020-08338.pdfhttps://regulations.justia.com/regulations/fedreg/2020/04/20/2020-08337.htmlNotice - Submission for OMB Review; Comment Request2020-04-20T00:00:00-07:002020-04-20T00:00:00-07:002020-08337Noticehttps://www.govinfo.gov/content/pkg/FR-2020-04-20/pdf/2020-08337.pdfhttps://regulations.justia.com/regulations/fedreg/2020/04/20/2020-08336.htmlNotice - Submission for OMB Review; Comment Request2020-04-20T00:00:00-07:002020-04-20T00:00:00-07:002020-08336Noticehttps://www.govinfo.gov/content/pkg/FR-2020-04-20/pdf/2020-08336.pdfhttps://regulations.justia.com/regulations/fedreg/2020/04/20/2020-08212.htmlNotice - Self-Regulatory Organizations; BOX Exchange LLC; Notice of Designation of Longer Period for Commission Action on Proceedings To Determine Whether To Approve or Disapprove a Proposed Rule Change, as Modified by Amendment No. 2, To Adopt Rules Governing the Trading of Equity Securities on the Exchange Through a Facility of the Exchange Known as the Boston Security Token Exchange LLC2020-04-20T00:00:00-07:002020-04-20T00:00:00-07:002020-08212Noticehttps://www.govinfo.gov/content/pkg/FR-2020-04-20/pdf/2020-08212.pdfhttps://regulations.justia.com/regulations/fedreg/2020/04/20/2020-08211.htmlNotice - Self-Regulatory Organizations; ICE Clear Credit LLC; Notice of Filing of Proposed Rule Change, Security-Based Swap Submission, or Advance Notice Relating to ICC's Treasury Operations Policies and Procedures2020-04-20T00:00:00-07:002020-04-20T00:00:00-07:002020-08211Noticehttps://www.govinfo.gov/content/pkg/FR-2020-04-20/pdf/2020-08211.pdfhttps://regulations.justia.com/regulations/fedreg/2020/04/20/2020-08210.htmlNotice - Self-Regulatory Organizations; Cboe BZX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating To Amend its Fee Schedule2020-04-20T00:00:00-07:002020-04-20T00:00:00-07:002020-08210Noticehttps://www.govinfo.gov/content/pkg/FR-2020-04-20/pdf/2020-08210.pdfhttps://regulations.justia.com/regulations/fedreg/2020/04/20/2020-08209.htmlNotice - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend its Price List To Eliminate Certain Obsolete Fees2020-04-20T00:00:00-07:002020-04-20T00:00:00-07:002020-08209Noticehttps://www.govinfo.gov/content/pkg/FR-2020-04-20/pdf/2020-08209.pdfhttps://regulations.justia.com/regulations/fedreg/2020/04/20/2020-08208.htmlNotice - Self-Regulatory Organizations; ICE Clear Credit LLC; Notice of Proposed Rule Change Relating to the ICC Clearing Rules2020-04-20T00:00:00-07:002020-04-20T00:00:00-07:002020-08208Noticehttps://www.govinfo.gov/content/pkg/FR-2020-04-20/pdf/2020-08208.pdfhttps://regulations.justia.com/regulations/fedreg/2020/04/20/2020-04776.htmlRule - Financial Disclosures About Guarantors and Issuers of Guaranteed Securities and Affiliates Whose Securities Collateralize a Registrant's Securities2020-04-20T00:00:00-07:002020-04-20T00:00:00-07:002020-04776Rulehttps://www.govinfo.gov/content/pkg/FR-2020-04-20/pdf/2020-04776.pdfhttps://regulations.justia.com/regulations/fedreg/2020/04/17/2020-08238.htmlNotice - Sunshine Act Meeting; Cancellation2020-04-17T00:00:00-07:002020-04-17T00:00:00-07:002020-08238Noticehttps://www.govinfo.gov/content/pkg/FR-2020-04-17/pdf/2020-08238.pdfhttps://regulations.justia.com/regulations/fedreg/2020/04/17/2020-08122.htmlNotice - Proposed Collection; Comment Request2020-04-17T00:00:00-07:002020-04-17T00:00:00-07:002020-08122Noticehttps://www.govinfo.gov/content/pkg/FR-2020-04-17/pdf/2020-08122.pdfhttps://regulations.justia.com/regulations/fedreg/2020/04/17/2020-08088.htmlNotice - Self-Regulatory Organizations; Cboe Exchange, Inc.; Notice of Designation of Longer Period for Commission Action on Proposed Rule Change Relating to Adopt a Delta-Adjusted at Close Order Instruction2020-04-17T00:00:00-07:002020-04-17T00:00:00-07:002020-08088Noticehttps://www.govinfo.gov/content/pkg/FR-2020-04-17/pdf/2020-08088.pdfhttps://regulations.justia.com/regulations/fedreg/2020/04/17/2020-08087.htmlNotice - Self-Regulatory Organizations; Nasdaq PHLX LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Phlx's Pricing Schedule2020-04-17T00:00:00-07:002020-04-17T00:00:00-07:002020-08087Noticehttps://www.govinfo.gov/content/pkg/FR-2020-04-17/pdf/2020-08087.pdfhttps://regulations.justia.com/regulations/fedreg/2020/04/17/2020-08086.htmlNotice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing of Amendment No. 2 and Order Granting Accelerated Approval of a Proposed Rule Change, as Modified by Amendment No. 2, to Adopt NYSE Arca Rule 5.2-E(j)(8) Governing the Listing and Trading of Exchange-Traded Fund Shares2020-04-17T00:00:00-07:002020-04-17T00:00:00-07:002020-08086Noticehttps://www.govinfo.gov/content/pkg/FR-2020-04-17/pdf/2020-08086.pdfhttps://regulations.justia.com/regulations/fedreg/2020/04/15/2020-07948.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 Charges2020-04-15T00:00:00-07:002020-04-15T00:00:00-07:002020-07948Noticehttps://www.govinfo.gov/content/pkg/FR-2020-04-15/pdf/2020-07948.pdfhttps://regulations.justia.com/regulations/fedreg/2020/04/15/2020-07947.htmlNotice - Self-Regulatory Organizations; Cboe BZX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Rule 11.8(e) Related to the Exchange's Lead Market Maker Program and To Make Corresponding Changes to its Fee Schedule2020-04-15T00:00:00-07:002020-04-15T00:00:00-07:002020-07947Noticehttps://www.govinfo.gov/content/pkg/FR-2020-04-15/pdf/2020-07947.pdfhttps://regulations.justia.com/regulations/fedreg/2020/04/15/2020-07903.htmlNotice - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change for Certain Changes and Corrections to the NYSE Rule 9000 Series2020-04-15T00:00:00-07:002020-04-15T00:00:00-07:002020-07903Noticehttps://www.govinfo.gov/content/pkg/FR-2020-04-15/pdf/2020-07903.pdfhttps://regulations.justia.com/regulations/fedreg/2020/04/15/2020-07900.htmlNotice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Rule 7.37-E To Specify the Exchange's Source of Data Feeds From the Long-Term Stock Exchange, Inc.2020-04-15T00:00:00-07:002020-04-15T00:00:00-07:002020-07900Noticehttps://www.govinfo.gov/content/pkg/FR-2020-04-15/pdf/2020-07900.pdfhttps://regulations.justia.com/regulations/fedreg/2020/04/15/2020-07898.htmlNotice - Self-Regulatory Organizations; NYSE National, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Rule 7.37 To Specify the Exchange's Source of Data Feeds From the Long-Term Stock Exchange, Inc.2020-04-15T00:00:00-07:002020-04-15T00:00:00-07:002020-07898Noticehttps://www.govinfo.gov/content/pkg/FR-2020-04-15/pdf/2020-07898.pdfhttps://regulations.justia.com/regulations/fedreg/2020/04/15/2020-07897.htmlNotice - Self-Regulatory Organizations; ICE Clear Credit LLC; Notice of Filing of Proposed Rule Change Relating to the ICC Clearing Participant Default Management Procedures2020-04-15T00:00:00-07:002020-04-15T00:00:00-07:002020-07897Noticehttps://www.govinfo.gov/content/pkg/FR-2020-04-15/pdf/2020-07897.pdfhttps://regulations.justia.com/regulations/fedreg/2020/04/15/2020-07896.htmlNotice - Self-Regulatory Organizations; National Securities Clearing Corporation; Notice of Filing of Advance Notice To Enhance National Securities Clearing Corporation's Haircut-Based Volatility Charge Applicable to Illiquid Securities and UITs and Make Certain Other Changes to Procedure XV2020-04-15T00:00:00-07:002020-04-15T00:00:00-07:002020-07896Noticehttps://www.govinfo.gov/content/pkg/FR-2020-04-15/pdf/2020-07896.pdfhttps://regulations.justia.com/regulations/fedreg/2020/04/14/2020-07789.htmlNotice - Order Granting Conditional Exemptive Relief, Pursuant to Section 36 of the Securities Exchange Act of 1934 (“Exchange Act”) and Rule 608(e) of Regulation NMS Under the Exchange Act to Rule 608(e) of Regulation NMS Under the Exchange Act, Relating to Granularity of Timestamps Specified in Section 6.8(b) and Appendix D, Section 3 of the National Market System Plan Governing the Consolidated Audit Trail2020-04-14T00:00:00-07:002020-04-14T00:00:00-07:002020-07789Noticehttps://www.govinfo.gov/content/pkg/FR-2020-04-14/pdf/2020-07789.pdfhttps://regulations.justia.com/regulations/fedreg/2020/04/14/2020-07788.htmlNotice - Order Under Sections 6(c), 17(d), 38(a), and 57(i) of the Investment Company Act of 1940 and Rule 17d-1 Thereunder Granting Exemptions From Specified Provisions of the Investment Company Act and Certain Rules Thereunder2020-04-14T00:00:00-07:002020-04-14T00:00:00-07:002020-07788Noticehttps://www.govinfo.gov/content/pkg/FR-2020-04-14/pdf/2020-07788.pdfhttps://regulations.justia.com/regulations/fedreg/2020/04/14/2020-07781.htmlNotice - Self-Regulatory Organizations; NYSE American LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Rule 7.37E To Specify the Exchange's Source of Data Feeds From the Long-Term Stock Exchange, Inc.2020-04-14T00:00:00-07:002020-04-14T00:00:00-07:002020-07781Noticehttps://www.govinfo.gov/content/pkg/FR-2020-04-14/pdf/2020-07781.pdfhttps://regulations.justia.com/regulations/fedreg/2020/04/14/2020-07780.htmlNotice - Self-Regulatory Organizations; NYSE Chicago, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Rule 7.37 To Update the Exchange's Source of Data Feeds From the Long-Term Stock Exchange, Inc.2020-04-14T00:00:00-07:002020-04-14T00:00:00-07:002020-07780Noticehttps://www.govinfo.gov/content/pkg/FR-2020-04-14/pdf/2020-07780.pdfhttps://regulations.justia.com/regulations/fedreg/2020/04/14/2020-07779.htmlNotice - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend its Price List To Respond to the Current Volatile Market Environment That Has Resulted in Unprecedented Average Daily Volumes and the Temporary Closure of the Trading Floor2020-04-14T00:00:00-07:002020-04-14T00:00:00-07:002020-07779Noticehttps://www.govinfo.gov/content/pkg/FR-2020-04-14/pdf/2020-07779.pdfhttps://regulations.justia.com/regulations/fedreg/2020/04/14/2020-07778.htmlNotice - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Rule 7.37 To Specify the Exchange's Source of Data Feeds From the Long-Term Stock Exchange, Inc.2020-04-14T00:00:00-07:002020-04-14T00:00:00-07:002020-07778Noticehttps://www.govinfo.gov/content/pkg/FR-2020-04-14/pdf/2020-07778.pdfhttps://regulations.justia.com/regulations/fedreg/2020/04/14/2020-07777.htmlNotice - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing of a Proposed Rule Change To Address Brokers With a Significant History of Misconduct2020-04-14T00:00:00-07:002020-04-14T00:00:00-07:002020-07777Noticehttps://www.govinfo.gov/content/pkg/FR-2020-04-14/pdf/2020-07777.pdfhttps://regulations.justia.com/regulations/fedreg/2020/04/14/2020-07776.htmlNotice - Self-Regulatory Organizations; Cboe BZX Exchange, Inc.; Order Approving a Proposed Rule Change To Provide Members Certain Optional Risk Settings Under Proposed Interpretation and Policy .03 of Rule 11.132020-04-14T00:00:00-07:002020-04-14T00:00:00-07:002020-07776Noticehttps://www.govinfo.gov/content/pkg/FR-2020-04-14/pdf/2020-07776.pdfhttps://regulations.justia.com/regulations/fedreg/2020/04/14/2020-07775.htmlNotice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Modify the NYSE Arca Options Fee Schedule2020-04-14T00:00:00-07:002020-04-14T00:00:00-07:002020-07775Noticehttps://www.govinfo.gov/content/pkg/FR-2020-04-14/pdf/2020-07775.pdfhttps://regulations.justia.com/regulations/fedreg/2020/04/14/2020-07774.htmlNotice - Self-Regulatory Organizations; NYSE American LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Modify the NYSE American Options Fee Schedule2020-04-14T00:00:00-07:002020-04-14T00:00:00-07:002020-07774Noticehttps://www.govinfo.gov/content/pkg/FR-2020-04-14/pdf/2020-07774.pdfhttps://regulations.justia.com/regulations/fedreg/2020/04/14/2020-07773.htmlNotice - Self-Regulatory Organizations; NYSE American LLC; Notice of Filing and Immediate Effectiveness of Proposed Change To Modify the NYSE American Options Fee Schedule2020-04-14T00:00:00-07:002020-04-14T00:00:00-07:002020-07773Noticehttps://www.govinfo.gov/content/pkg/FR-2020-04-14/pdf/2020-07773.pdfhttps://regulations.justia.com/regulations/fedreg/2020/04/14/2020-07772.htmlNotice - Self-Regulatory Organizations; NYSE National, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Extend the Current Pilot Program Related to Rule 7.102020-04-14T00:00:00-07:002020-04-14T00:00:00-07:002020-07772Noticehttps://www.govinfo.gov/content/pkg/FR-2020-04-14/pdf/2020-07772.pdfhttps://regulations.justia.com/regulations/fedreg/2020/04/14/2020-07771.htmlNotice - Self-Regulatory Organizations; NYSE Chicago, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Extend the Current Pilot Program Related to Rule 7.102020-04-14T00:00:00-07:002020-04-14T00:00:00-07:002020-07771Noticehttps://www.govinfo.gov/content/pkg/FR-2020-04-14/pdf/2020-07771.pdfhttps://regulations.justia.com/regulations/fedreg/2020/04/14/2020-07770.htmlNotice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Extend the Current Pilot Program Related To Rule 7.10-E2020-04-14T00:00:00-07:002020-04-14T00:00:00-07:002020-07770Noticehttps://www.govinfo.gov/content/pkg/FR-2020-04-14/pdf/2020-07770.pdfhttps://regulations.justia.com/regulations/fedreg/2020/04/14/2020-07769.htmlNotice - Self-Regulatory Organizations; NYSE American LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Extend the Current Pilot Program Related to Rule 7.10E2020-04-14T00:00:00-07:002020-04-14T00:00:00-07:002020-07769Noticehttps://www.govinfo.gov/content/pkg/FR-2020-04-14/pdf/2020-07769.pdfhttps://regulations.justia.com/regulations/fedreg/2020/04/14/2020-07768.htmlNotice - Self-Regulatory Organizations; The Nasdaq Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Rule 47592020-04-14T00:00:00-07:002020-04-14T00:00:00-07:002020-07768Noticehttps://www.govinfo.gov/content/pkg/FR-2020-04-14/pdf/2020-07768.pdfhttps://regulations.justia.com/regulations/fedreg/2020/04/14/2020-07767.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 Migration2020-04-14T00:00:00-07:002020-04-14T00:00:00-07:002020-07767Noticehttps://www.govinfo.gov/content/pkg/FR-2020-04-14/pdf/2020-07767.pdfhttps://regulations.justia.com/regulations/fedreg/2020/04/13/2020-07658.htmlNotice - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Extend the Current Pilot Program Related to Rule 7.102020-04-13T00:00:00-07:002020-04-13T00:00:00-07:002020-07658Noticehttps://www.govinfo.gov/content/pkg/FR-2020-04-13/pdf/2020-07658.pdfhttps://regulations.justia.com/regulations/fedreg/2020/04/13/2020-07657.htmlNotice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend the NYSE Arca Options Fee Schedule2020-04-13T00:00:00-07:002020-04-13T00:00:00-07:002020-07657Noticehttps://www.govinfo.gov/content/pkg/FR-2020-04-13/pdf/2020-07657.pdfhttps://regulations.justia.com/regulations/fedreg/2020/04/13/2020-07656.htmlNotice - Self-Regulatory Organizations; National Securities Clearing Corporation; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Remove Access to the Fund/SERV Service by Data Services Only Members in Rule 52 and Revise the Defined Term for Fund/SERV in the NSCC Rules2020-04-13T00:00:00-07:002020-04-13T00:00:00-07:002020-07656Noticehttps://www.govinfo.gov/content/pkg/FR-2020-04-13/pdf/2020-07656.pdfhttps://regulations.justia.com/regulations/fedreg/2020/04/13/2020-07655.htmlNotice - Self-Regulatory Organizations; Nasdaq PHLX LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Phlx's Pricing Schedule at Options 7, Section 42020-04-13T00:00:00-07:002020-04-13T00:00:00-07:002020-07655Noticehttps://www.govinfo.gov/content/pkg/FR-2020-04-13/pdf/2020-07655.pdfhttps://regulations.justia.com/regulations/fedreg/2020/04/13/2020-07654.htmlNotice - Self-Regulatory Organizations; NYSE American LLC; Notice of Filing and Immediate Effectiveness of Proposed Change To Amend the NYSE American Options Fee Schedule2020-04-13T00:00:00-07:002020-04-13T00:00:00-07:002020-07654Noticehttps://www.govinfo.gov/content/pkg/FR-2020-04-13/pdf/2020-07654.pdfhttps://regulations.justia.com/regulations/fedreg/2020/04/13/2020-07653.htmlNotice - Self-Regulatory Organizations; Nasdaq PHLX LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Exchange Rules 3301A and 3301B2020-04-13T00:00:00-07:002020-04-13T00:00:00-07:002020-07653Noticehttps://www.govinfo.gov/content/pkg/FR-2020-04-13/pdf/2020-07653.pdfhttps://regulations.justia.com/regulations/fedreg/2020/04/13/2020-07652.htmlNotice - Self-Regulatory Organizations; Cboe Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Interpretation and Policy .01 to Rule 5.24 in Connection with Business Continuity and Disaster Recovery Testing2020-04-13T00:00:00-07:002020-04-13T00:00:00-07:002020-07652Noticehttps://www.govinfo.gov/content/pkg/FR-2020-04-13/pdf/2020-07652.pdfhttps://regulations.justia.com/regulations/fedreg/2020/04/13/2020-07651.htmlNotice - Self-Regulatory Organizations; LCH SA; Order Approving Proposed Rule Change Relating to Amendments to the Wind Down Plan2020-04-13T00:00:00-07:002020-04-13T00:00:00-07:002020-07651Noticehttps://www.govinfo.gov/content/pkg/FR-2020-04-13/pdf/2020-07651.pdfhttps://regulations.justia.com/regulations/fedreg/2020/04/13/2020-07649.htmlNotice - Self-Regulatory Organizations; Cboe C2 Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Rule 6.34 in Connection With Business Continuity and Disaster Recovery Testing2020-04-13T00:00:00-07:002020-04-13T00:00:00-07:002020-07649Noticehttps://www.govinfo.gov/content/pkg/FR-2020-04-13/pdf/2020-07649.pdfhttps://regulations.justia.com/regulations/fedreg/2020/04/10/2020-07750.htmlNotice - Sunshine Act Meetings2020-04-10T00:00:00-07:002020-04-10T00:00:00-07:002020-07750Noticehttps://www.govinfo.gov/content/pkg/FR-2020-04-10/pdf/2020-07750.pdfhttps://regulations.justia.com/regulations/fedreg/2020/04/10/2020-07695.htmlNotice - Sunshine Act Meeting; Cancellation2020-04-10T00:00:00-07:002020-04-10T00:00:00-07:002020-07695Noticehttps://www.govinfo.gov/content/pkg/FR-2020-04-10/pdf/2020-07695.pdfhttps://regulations.justia.com/regulations/fedreg/2020/04/10/2020-07557.htmlNotice - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Waive the Application of Certain of the Shareholder Approval Requirements in Section 312.03 of the NYSE Listed Company Manual Through June 30, 2020 Subject to Certain Conditions2020-04-10T00:00:00-07:002020-04-10T00:00:00-07:002020-07557Noticehttps://www.govinfo.gov/content/pkg/FR-2020-04-10/pdf/2020-07557.pdfhttps://regulations.justia.com/regulations/fedreg/2020/04/10/2020-07553.htmlNotice - Self-Regulatory Organizations; Cboe EDGX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the Fee Schedule2020-04-10T00:00:00-07:002020-04-10T00:00:00-07:002020-07553Noticehttps://www.govinfo.gov/content/pkg/FR-2020-04-10/pdf/2020-07553.pdfhttps://regulations.justia.com/regulations/fedreg/2020/04/10/2020-07550.htmlNotice - Self-Regulatory Organizations; Cboe BZX Exchange, Inc.; Notice of Filing of Amendment No. 2 and Order Granting Accelerated Approval of a Proposed Rule Change, as Modified by Amendment No. 2, To Adopt BZX Rule 14.11(l) Governing the Listing and Trading of Exchange-Traded Fund Shares2020-04-10T00:00:00-07:002020-04-10T00:00:00-07:002020-07550Noticehttps://www.govinfo.gov/content/pkg/FR-2020-04-10/pdf/2020-07550.pdfhttps://regulations.justia.com/regulations/fedreg/2020/04/10/2020-07548.htmlNotice - Self-Regulatory Organizations; The Nasdaq Stock Market LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to the First Trust California Municipal High Income ETF and the First Trust Municipal High Income ETF2020-04-10T00:00:00-07:002020-04-10T00:00:00-07:002020-07548Noticehttps://www.govinfo.gov/content/pkg/FR-2020-04-10/pdf/2020-07548.pdfhttps://regulations.justia.com/regulations/fedreg/2020/04/10/2020-07546.htmlNotice - Self-Regulatory Organizations; Cboe BYX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Expand the Trading Hours Applicable to Managed Portfolio Shares To Include All Trading Sessions2020-04-10T00:00:00-07:002020-04-10T00:00:00-07:002020-07546Noticehttps://www.govinfo.gov/content/pkg/FR-2020-04-10/pdf/2020-07546.pdfhttps://regulations.justia.com/regulations/fedreg/2020/04/09/2020-07446.htmlNotice - Self-Regulatory Organizations; Cboe BZX Exchange, Inc.; Order Approving a Proposed Rule Change, as Modified by Amendment No. 1, To Eliminate the Requirement That an 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 Shares2020-04-09T00:00:00-07:002020-04-09T00:00:00-07:002020-07446Noticehttps://www.govinfo.gov/content/pkg/FR-2020-04-09/pdf/2020-07446.pdfhttps://regulations.justia.com/regulations/fedreg/2020/04/09/2020-07445.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 (“BOX”) Facility To Reflect Certain Pricing Changes That Will Be in Effect While the BOX Trading Floor Is Inoperable2020-04-09T00:00:00-07:002020-04-09T00:00:00-07:002020-07445Noticehttps://www.govinfo.gov/content/pkg/FR-2020-04-09/pdf/2020-07445.pdfhttps://regulations.justia.com/regulations/fedreg/2020/04/09/2020-07444.htmlNotice - Self-Regulatory Organizations; Cboe BZX Exchange, Inc.; Notice of Filing of a Proposed Rule Change To List and Trade Shares of the JPMorgan Large Cap Growth ETF Under Rule 14.11(k), Managed Portfolio Shares2020-04-09T00:00:00-07:002020-04-09T00:00:00-07:002020-07444Noticehttps://www.govinfo.gov/content/pkg/FR-2020-04-09/pdf/2020-07444.pdfhttps://regulations.justia.com/regulations/fedreg/2020/04/09/2020-07440.htmlNotice - Self-Regulatory Organizations; The Nasdaq Stock Market LLC; Notice of Filing of Amendment No. 4 and Order Granting Accelerated Approval of a Proposed Rule Change, as Modified by Amendment No. 4, To Adopt Nasdaq Rule 5704 Governing the Listing and Trading of Exchange Traded Fund Shares2020-04-09T00:00:00-07:002020-04-09T00:00:00-07:002020-07440Noticehttps://www.govinfo.gov/content/pkg/FR-2020-04-09/pdf/2020-07440.pdfhttps://regulations.justia.com/regulations/fedreg/2020/04/09/2020-07439.htmlNotice - Self-Regulatory Organizations; MIAX PEARL, LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Fee Schedule2020-04-09T00:00:00-07:002020-04-09T00:00:00-07:002020-07439Noticehttps://www.govinfo.gov/content/pkg/FR-2020-04-09/pdf/2020-07439.pdfhttps://regulations.justia.com/regulations/fedreg/2020/04/09/2020-07437.htmlNotice - Self-Regulatory Organizations; Fixed Income Clearing Corporation; Notice of Filing of Proposed Rule Change To Amend the Government Securities Division Rulebook Relating to the Legal Entity Identifier Requirement2020-04-09T00:00:00-07:002020-04-09T00:00:00-07:002020-07437Noticehttps://www.govinfo.gov/content/pkg/FR-2020-04-09/pdf/2020-07437.pdfhttps://regulations.justia.com/regulations/fedreg/2020/04/09/2020-07436.htmlNotice - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Extend the Compliance Date for SR-FINRA-2019-0142020-04-09T00:00:00-07:002020-04-09T00:00:00-07:002020-07436Noticehttps://www.govinfo.gov/content/pkg/FR-2020-04-09/pdf/2020-07436.pdfhttps://regulations.justia.com/regulations/fedreg/2020/04/09/2020-07435.htmlNotice - Self-Regulatory Organizations; MIAX Emerald, LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Fee Schedule2020-04-09T00:00:00-07:002020-04-09T00:00:00-07:002020-07435Noticehttps://www.govinfo.gov/content/pkg/FR-2020-04-09/pdf/2020-07435.pdfhttps://regulations.justia.com/regulations/fedreg/2020/04/09/2020-07434.htmlNotice - Self-Regulatory Organizations; Cboe EDGX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Expand the Trading Hours Applicable to Managed Portfolio Shares To Include All Trading Sessions2020-04-09T00:00:00-07:002020-04-09T00:00:00-07:002020-07434Noticehttps://www.govinfo.gov/content/pkg/FR-2020-04-09/pdf/2020-07434.pdfhttps://regulations.justia.com/regulations/fedreg/2020/04/09/2020-07433.htmlNotice - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Add Commentary .03 to Rule 7.35C2020-04-09T00:00:00-07:002020-04-09T00:00:00-07:002020-07433Noticehttps://www.govinfo.gov/content/pkg/FR-2020-04-09/pdf/2020-07433.pdfhttps://regulations.justia.com/regulations/fedreg/2020/04/09/2020-07432.htmlNotice - Self-Regulatory Organizations; Cboe EDGA Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Expand the Trading Hours Applicable to Managed Portfolio Shares To Include All Trading Sessions2020-04-09T00:00:00-07:002020-04-09T00:00:00-07:002020-07432Noticehttps://www.govinfo.gov/content/pkg/FR-2020-04-09/pdf/2020-07432.pdfhttps://regulations.justia.com/regulations/fedreg/2020/04/09/2020-06926.htmlRule - Accelerated Filer and Large Accelerated Filer Definitions; Correction2020-04-09T00:00:00-07:002020-04-09T00:00:00-07:002020-06926Rulehttps://www.govinfo.gov/content/pkg/FR-2020-04-09/pdf/2020-06926.pdfhttps://regulations.justia.com/regulations/fedreg/2020/04/08/2020-07335.htmlNotice - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Add Commentary .03 to Rule 7.35A To Provide That, for a Temporary Period, the Exchange Would Permit a DMM Limited Entry To the Trading Floor To Effect Manually a Core Open Auction in Connection With a Listed Company's Post-IPO Public Offering2020-04-08T00:00:00-07:002020-04-08T00:00:00-07:002020-07335Noticehttps://www.govinfo.gov/content/pkg/FR-2020-04-08/pdf/2020-07335.pdfhttps://regulations.justia.com/regulations/fedreg/2020/04/08/2020-07334.htmlNotice - Self-Regulatory Organizations; ICE Clear Credit LLC; Notice of Filing of Proposed Rule Change, Security-Based Swap Submission, or Advance Notice Relating to the ICC CDS Instrument On-Boarding Policies and Procedures2020-04-08T00:00:00-07:002020-04-08T00:00:00-07:002020-07334Noticehttps://www.govinfo.gov/content/pkg/FR-2020-04-08/pdf/2020-07334.pdfhttps://regulations.justia.com/regulations/fedreg/2020/04/08/2020-07333.htmlNotice - Self-Regulatory Organizations; Miami International Securities Exchange, LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Temporarily Extend Certain Filing Requirements2020-04-08T00:00:00-07:002020-04-08T00:00:00-07:002020-07333Noticehttps://www.govinfo.gov/content/pkg/FR-2020-04-08/pdf/2020-07333.pdfhttps://regulations.justia.com/regulations/fedreg/2020/04/08/2020-07332.htmlNotice - Self-Regulatory Organizations; BOX Exchange LLC; Notice of Designation of Longer Period for Commission Action on a Proposed Rule Change To Amend the Provisions of the Limited Liability Company Agreement and Bylaws To Accommodate the Exchange's Regulation of Multiple Facilities2020-04-08T00:00:00-07:002020-04-08T00:00:00-07:002020-07332Noticehttps://www.govinfo.gov/content/pkg/FR-2020-04-08/pdf/2020-07332.pdfhttps://regulations.justia.com/regulations/fedreg/2020/04/07/2020-07234.htmlNotice - Self-Regulatory Organizations; NYSE National, Inc.; Notice of Filing and Order Granting Accelerated Approval of a Proposed Rule Change, as Modified by Amendment No. 1, To Add the Exchange's Supervision Rules to the List of Minor Rule Violations in Rule 10.92172020-04-07T00:00:00-07:002020-04-07T00:00:00-07:002020-07234Noticehttps://www.govinfo.gov/content/pkg/FR-2020-04-07/pdf/2020-07234.pdfhttps://regulations.justia.com/regulations/fedreg/2020/04/07/2020-07233.htmlNotice - Self-Regulatory Organizations; New York Stock Exchange LLC, NYSE Chicago, Inc., NYSE American LLC, NYSE Arca, Inc., and NYSE National, Inc.; Notice of Designation of a Longer Period for Commission Action on Proposed Rule Changes To Amend the Schedule of Wireless Connectivity Fees and Charges To Add Wireless Connectivity Services2020-04-07T00:00:00-07:002020-04-07T00:00:00-07:002020-07233Noticehttps://www.govinfo.gov/content/pkg/FR-2020-04-07/pdf/2020-07233.pdfhttps://regulations.justia.com/regulations/fedreg/2020/04/07/2020-07232.htmlNotice - Self-Regulatory Organizations; New York Stock Exchange LLC, NYSE Chicago, Inc., NYSE American LLC, NYSE Arca, Inc., and NYSE National, Inc.; Notice of Designation of a Longer Period for Commission Action on Proposed Rule Changes To Establish a Schedule of Wireless Connectivity Fees and Charges With Wireless Connections Between the Mahwah, New Jersey Data Center and Other Data Centers2020-04-07T00:00:00-07:002020-04-07T00:00:00-07:002020-07232Noticehttps://www.govinfo.gov/content/pkg/FR-2020-04-07/pdf/2020-07232.pdfhttps://regulations.justia.com/regulations/fedreg/2020/04/07/2020-07231.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 Feed2020-04-07T00:00:00-07:002020-04-07T00:00:00-07:002020-07231Noticehttps://www.govinfo.gov/content/pkg/FR-2020-04-07/pdf/2020-07231.pdfhttps://regulations.justia.com/regulations/fedreg/2020/04/07/2020-07230.htmlNotice - Self-Regulatory Organizations; ICE Clear Credit LLC; Notice of Filing of Proposed Rule Change Relating to the Clearance of Additional Credit Default Swap Contracts2020-04-07T00:00:00-07:002020-04-07T00:00:00-07:002020-07230Noticehttps://www.govinfo.gov/content/pkg/FR-2020-04-07/pdf/2020-07230.pdfhttps://regulations.justia.com/regulations/fedreg/2020/04/07/2020-07229.htmlNotice - Self-Regulatory Organizations; BOX Exchange LLC; Order Instituting Proceedings To Determine Whether To Approve or Disapprove a Proposed Rule Change in Connection With the Proposed Commencement of Operations of the Boston Security Token Exchange LLC as a Facility of the Exchange2020-04-07T00:00:00-07:002020-04-07T00:00:00-07:002020-07229Noticehttps://www.govinfo.gov/content/pkg/FR-2020-04-07/pdf/2020-07229.pdfhttps://regulations.justia.com/regulations/fedreg/2020/04/07/2020-07228.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 List and Trade Four Series of Active Proxy Portfolio Shares Issued by T. Rowe Price Exchange-Traded Funds, Inc. Under Proposed NYSE Arca Rule 8.601-E2020-04-07T00:00:00-07:002020-04-07T00:00:00-07:002020-07228Noticehttps://www.govinfo.gov/content/pkg/FR-2020-04-07/pdf/2020-07228.pdfhttps://regulations.justia.com/regulations/fedreg/2020/04/07/2020-07227.htmlNotice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing of Amendment No. 2 and Order Instituting Proceedings To Determine Whether To Approve or Disapprove a Proposed Rule Change, as Modified by Amendment No. 2, To List and Trade Two Series of Active Proxy Portfolio Shares Issued by the American Century ETF Trust Under Proposed NYSE Arca Rule 8.601-E2020-04-07T00:00:00-07:002020-04-07T00:00:00-07:002020-07227Noticehttps://www.govinfo.gov/content/pkg/FR-2020-04-07/pdf/2020-07227.pdfhttps://regulations.justia.com/regulations/fedreg/2020/04/07/2020-07226.htmlNotice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing of Amendment No. 2 and Order Instituting Proceedings To Determine Whether To Approve or Disapprove a Proposed Rule Change, as Modified by Amendment No. 2, To Adopt NYSE Arca Rule 8.601-E To Permit the Listing and Trading of Active Proxy Portfolio Shares and To List and Trade Shares of the Natixis ETF Under Proposed NYSE Arca Rule 8.601-E2020-04-07T00:00:00-07:002020-04-07T00:00:00-07:002020-07226Noticehttps://www.govinfo.gov/content/pkg/FR-2020-04-07/pdf/2020-07226.pdfhttps://regulations.justia.com/regulations/fedreg/2020/04/07/2020-07224.htmlNotice - Joint Industry Plan; Order Approving Amendment No. 5 to the Plan for the Purpose of Developing and Implementing Procedures Designed To Facilitate the Listing and Trading of Standardized Options To Adopt a Penny Interval Program2020-04-07T00:00:00-07:002020-04-07T00:00:00-07:002020-07224Noticehttps://www.govinfo.gov/content/pkg/FR-2020-04-07/pdf/2020-07224.pdfhttps://regulations.justia.com/regulations/fedreg/2020/04/06/2020-07260.htmlNotice - Sunshine Act Meetings2020-04-06T00:00:00-07:002020-04-06T00:00:00-07:002020-07260Noticehttps://www.govinfo.gov/content/pkg/FR-2020-04-06/pdf/2020-07260.pdfhttps://regulations.justia.com/regulations/fedreg/2020/04/06/2020-07259.htmlNotice - Sunshine Act Meetings2020-04-06T00:00:00-07:002020-04-06T00:00:00-07:002020-07259Noticehttps://www.govinfo.gov/content/pkg/FR-2020-04-06/pdf/2020-07259.pdfhttps://regulations.justia.com/regulations/fedreg/2020/04/06/2020-07206.htmlNotice - Sunshine Act Meetings2020-04-06T00:00:00-07:002020-04-06T00:00:00-07:002020-07206Noticehttps://www.govinfo.gov/content/pkg/FR-2020-04-06/pdf/2020-07206.pdfhttps://regulations.justia.com/regulations/fedreg/2020/04/06/2020-07090.htmlNotice - Self-Regulatory Organizations; Cboe Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating To Amend Rule 5.242020-04-06T00:00:00-07:002020-04-06T00:00:00-07:002020-07090Noticehttps://www.govinfo.gov/content/pkg/FR-2020-04-06/pdf/2020-07090.pdfhttps://regulations.justia.com/regulations/fedreg/2020/04/06/2020-07084.htmlNotice - Self-Regulatory Organizations; Cboe Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Rule 8.16 and Rule 9.2 To Temporarily Extend the Filing Requirements for Certain Supervision-Related Reports, Currently Due April 1, 2020 to June 1, 20202020-04-06T00:00:00-07:002020-04-06T00:00:00-07:002020-07084Noticehttps://www.govinfo.gov/content/pkg/FR-2020-04-06/pdf/2020-07084.pdfhttps://regulations.justia.com/regulations/fedreg/2020/04/06/2020-07083.htmlNotice - Self-Regulatory Organizations; Nasdaq PHLX LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Temporarily Extend Certain Filing Requirements2020-04-06T00:00:00-07:002020-04-06T00:00:00-07:002020-07083Noticehttps://www.govinfo.gov/content/pkg/FR-2020-04-06/pdf/2020-07083.pdfhttps://regulations.justia.com/regulations/fedreg/2020/04/06/2020-07082.htmlNotice - Self-Regulatory Organizations; Cboe Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating To Amend Its Fees Schedule2020-04-06T00:00:00-07:002020-04-06T00:00:00-07:002020-07082Noticehttps://www.govinfo.gov/content/pkg/FR-2020-04-06/pdf/2020-07082.pdfhttps://regulations.justia.com/regulations/fedreg/2020/04/06/2020-07081.htmlNotice - Self-Regulatory Organizations; Nasdaq PHLX LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Waive Certain Trading Floor Fees as Well as Adopt a Trading Floor Credit2020-04-06T00:00:00-07:002020-04-06T00:00:00-07:002020-07081Noticehttps://www.govinfo.gov/content/pkg/FR-2020-04-06/pdf/2020-07081.pdfhttps://regulations.justia.com/regulations/fedreg/2020/04/06/2020-07080.htmlNotice - Self-Regulatory Organizations; Nasdaq ISE, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Temporarily Extend the Filing Requirements for Certain Written Reports, Currently Due April 1, 2020 Pursuant to Options 10, Section 7, to June 1, 20202020-04-06T00:00:00-07:002020-04-06T00:00:00-07:002020-07080Noticehttps://www.govinfo.gov/content/pkg/FR-2020-04-06/pdf/2020-07080.pdfhttps://regulations.justia.com/regulations/fedreg/2020/04/06/2020-07079.htmlNotice - Self-Regulatory Organizations; NYSE American LLC; Notice of Filing and Immediate Effectiveness of Proposed Change for an Extension of the Temporary Waiver of the Co-Location “Hot Hands” Fee2020-04-06T00:00:00-07:002020-04-06T00:00:00-07:002020-07079Noticehttps://www.govinfo.gov/content/pkg/FR-2020-04-06/pdf/2020-07079.pdfhttps://regulations.justia.com/regulations/fedreg/2020/04/06/2020-07078.htmlNotice - Self-Regulatory Organizations; NYSE Chicago, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change for an Extension of the Temporary Waiver of the Co-location “Hot Hands” Fee2020-04-06T00:00:00-07:002020-04-06T00:00:00-07:002020-07078Noticehttps://www.govinfo.gov/content/pkg/FR-2020-04-06/pdf/2020-07078.pdfhttps://regulations.justia.com/regulations/fedreg/2020/04/06/2020-07077.htmlNotice - Self-Regulatory Organizations; NYSE National, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change for an Extension of the Temporary Waiver of the Co-location “Hot Hands” Fee2020-04-06T00:00:00-07:002020-04-06T00:00:00-07:002020-07077Noticehttps://www.govinfo.gov/content/pkg/FR-2020-04-06/pdf/2020-07077.pdfhttps://regulations.justia.com/regulations/fedreg/2020/04/06/2020-07076.htmlNotice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change for an Extension of the Temporary Waiver of the Co-Location “Hot Hands” Fee2020-04-06T00:00:00-07:002020-04-06T00:00:00-07:002020-07076Noticehttps://www.govinfo.gov/content/pkg/FR-2020-04-06/pdf/2020-07076.pdfhttps://regulations.justia.com/regulations/fedreg/2020/04/06/2020-07075.htmlNotice - Self-Regulatory Organizations; Nasdaq PHLX LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Relocate the Phlx Series 8000 and 9000 Rules and Incorporate by Reference the Disciplinary Rules of The Nasdaq Stock Market LLC2020-04-06T00:00:00-07:002020-04-06T00:00:00-07:002020-07075Noticehttps://www.govinfo.gov/content/pkg/FR-2020-04-06/pdf/2020-07075.pdfhttps://regulations.justia.com/regulations/fedreg/2020/04/06/2020-07073.htmlNotice - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change for an Extension of the Temporary Waiver of the Co-Location “Hot Hands” Fee2020-04-06T00:00:00-07:002020-04-06T00:00:00-07:002020-07073Noticehttps://www.govinfo.gov/content/pkg/FR-2020-04-06/pdf/2020-07073.pdfhttps://regulations.justia.com/regulations/fedreg/2020/04/03/2020-07025.htmlNotice - Proposed Collection; Comment Request2020-04-03T00:00:00-07:002020-04-03T00:00:00-07:002020-07025Noticehttps://www.govinfo.gov/content/pkg/FR-2020-04-03/pdf/2020-07025.pdfhttps://regulations.justia.com/regulations/fedreg/2020/04/03/2020-07024.htmlNotice - Proposed Collection; Comment Request2020-04-03T00:00:00-07:002020-04-03T00:00:00-07:002020-07024Noticehttps://www.govinfo.gov/content/pkg/FR-2020-04-03/pdf/2020-07024.pdfhttps://regulations.justia.com/regulations/fedreg/2020/04/03/2020-07023.htmlNotice - Proposed Collection; Comment Request2020-04-03T00:00:00-07:002020-04-03T00:00:00-07:002020-07023Noticehttps://www.govinfo.gov/content/pkg/FR-2020-04-03/pdf/2020-07023.pdfhttps://regulations.justia.com/regulations/fedreg/2020/04/03/2020-07022.htmlNotice - Proposed Collection; Comment Request2020-04-03T00:00:00-07:002020-04-03T00:00:00-07:002020-07022Noticehttps://www.govinfo.gov/content/pkg/FR-2020-04-03/pdf/2020-07022.pdfhttps://regulations.justia.com/regulations/fedreg/2020/04/03/2020-06959.htmlNotice - Self-Regulatory Organizations; The Nasdaq Stock Market 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 Assume Operational Responsibility for Certain Enforcement Functions Currently Performed by FINRA Under the Exchanges Authority and Supervision2020-04-03T00:00:00-07:002020-04-03T00:00:00-07:002020-06959Noticehttps://www.govinfo.gov/content/pkg/FR-2020-04-03/pdf/2020-06959.pdfhttps://regulations.justia.com/regulations/fedreg/2020/04/03/2020-06958.htmlNotice - Self-Regulatory Organizations; Long-Term Stock Exchange, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to the Pre-Market Session and Regular Market Session Opening Process for Non-LTSE-Primary-Listed Securities2020-04-03T00:00:00-07:002020-04-03T00:00:00-07:002020-06958Noticehttps://www.govinfo.gov/content/pkg/FR-2020-04-03/pdf/2020-06958.pdfhttps://regulations.justia.com/regulations/fedreg/2020/04/03/2020-06957.htmlNotice - Self-Regulatory Organizations; National Securities Clearing Corporation; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Revise the Clearing Agency Investment Policy2020-04-03T00:00:00-07:002020-04-03T00:00:00-07:002020-06957Noticehttps://www.govinfo.gov/content/pkg/FR-2020-04-03/pdf/2020-06957.pdfhttps://regulations.justia.com/regulations/fedreg/2020/04/03/2020-06956.htmlNotice - Self-Regulatory Organizations; The Depository Trust Company; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Revise the Clearing Agency Investment Policy2020-04-03T00:00:00-07:002020-04-03T00:00:00-07:002020-06956Noticehttps://www.govinfo.gov/content/pkg/FR-2020-04-03/pdf/2020-06956.pdfhttps://regulations.justia.com/regulations/fedreg/2020/04/03/2020-06955.htmlNotice - Self-Regulatory Organizations; Fixed Income Clearing Corporation; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Revise the Clearing Agency Investment Policy2020-04-03T00:00:00-07:002020-04-03T00:00:00-07:002020-06955Noticehttps://www.govinfo.gov/content/pkg/FR-2020-04-03/pdf/2020-06955.pdfhttps://regulations.justia.com/regulations/fedreg/2020/04/03/2020-06954.htmlNotice - Self-Regulatory Organizations; The Options Clearing Corporation; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Update The Options Clearing Corporation's Operational Loss Fee in OCC's Schedule of Fees2020-04-03T00:00:00-07:002020-04-03T00:00:00-07:002020-06954Noticehttps://www.govinfo.gov/content/pkg/FR-2020-04-03/pdf/2020-06954.pdfhttps://regulations.justia.com/regulations/fedreg/2020/04/02/2020-06858.htmlNotice - Self-Regulatory Organizations; Nasdaq PHLX LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Phlx Rule 33122020-04-02T00:00:00-07:002020-04-02T00:00:00-07:002020-06858Noticehttps://www.govinfo.gov/content/pkg/FR-2020-04-02/pdf/2020-06858.pdfhttps://regulations.justia.com/regulations/fedreg/2020/04/02/2020-06857.htmlNotice - Self-Regulatory Organizations; Cboe Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating To Amend Rule 6.6 in Connection With Updates Permitted Through the Clearing Editor2020-04-02T00:00:00-07:002020-04-02T00:00:00-07:002020-06857Noticehttps://www.govinfo.gov/content/pkg/FR-2020-04-02/pdf/2020-06857.pdfhttps://regulations.justia.com/regulations/fedreg/2020/04/02/2020-06856.htmlNotice - Self-Regulatory Organizations; Investors Exchange LLC; Order Instituting Proceedings To Determine Whether To Approve or Disapprove a Proposed Rule Change To Add a New Discretionary Limit Order Type Called D-Limit2020-04-02T00:00:00-07:002020-04-02T00:00:00-07:002020-06856Noticehttps://www.govinfo.gov/content/pkg/FR-2020-04-02/pdf/2020-06856.pdfhttps://regulations.justia.com/regulations/fedreg/2020/04/02/2020-06855.htmlNotice - Self-Regulatory Organizations; Cboe BZX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to Extend the Current Pilot Program Related to BZX Rule 11.17, Clearly Erroneous Executions, to the Close of Business on October 20, 20202020-04-02T00:00:00-07:002020-04-02T00:00:00-07:002020-06855Noticehttps://www.govinfo.gov/content/pkg/FR-2020-04-02/pdf/2020-06855.pdf