<![CDATA[Federal Register Recent Federal Regulation Documents - Justia Regulation Tracker - Justia Regulations Tracker]]> https://regulations.justia.com/regulations/fedreg/agencies/securities-and-exchange-commission/2020/04?registers=between&min-day=1&max-day=30 Sat, 27 Apr 2024 08:49:49 -0700 Sat, 27 Apr 2024 08:49:49 -0700 Justia Regulations Tracker Copyright 2011 Justia Inc. https://regulations.justia.com/images/justiafedregulations.gif <![CDATA[Federal Register Recent Federal Regulation Documents - Justia Regulation Tracker - Justia Regulations Tracker]]> https://regulations.justia.com/regulations/fedreg/agencies/securities-and-exchange-commission/2020/04?registers=between&min-day=1&max-day=30 Notice - Notice of Applications for Deregistration Under Section 8(f) of the Investment Company Act of 1940 https://regulations.justia.com/regulations/fedreg/2020/04/30/2020-09142.html https://regulations.justia.com/regulations/fedreg/2020/04/30/2020-09142.html Thu, 30 Apr 2020 00:00:00 -0700 2020-09142 Notice https://www.govinfo.gov/content/pkg/FR-2020-04-30/pdf/2020-09142.pdf Notice - Edmunds Private Capital, LLC https://regulations.justia.com/regulations/fedreg/2020/04/30/2020-09141.html https://regulations.justia.com/regulations/fedreg/2020/04/30/2020-09141.html Thu, 30 Apr 2020 00:00:00 -0700 2020-09141 Notice https://www.govinfo.gov/content/pkg/FR-2020-04-30/pdf/2020-09141.pdf Notice - 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 Protection https://regulations.justia.com/regulations/fedreg/2020/04/30/2020-09129.html https://regulations.justia.com/regulations/fedreg/2020/04/30/2020-09129.html Thu, 30 Apr 2020 00:00:00 -0700 2020-09129 Notice https://www.govinfo.gov/content/pkg/FR-2020-04-30/pdf/2020-09129.pdf Notice - 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-E https://regulations.justia.com/regulations/fedreg/2020/04/30/2020-09128.html https://regulations.justia.com/regulations/fedreg/2020/04/30/2020-09128.html Thu, 30 Apr 2020 00:00:00 -0700 2020-09128 Notice https://www.govinfo.gov/content/pkg/FR-2020-04-30/pdf/2020-09128.pdf Notice - 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 Platform https://regulations.justia.com/regulations/fedreg/2020/04/30/2020-09126.html https://regulations.justia.com/regulations/fedreg/2020/04/30/2020-09126.html Thu, 30 Apr 2020 00:00:00 -0700 2020-09126 Notice https://www.govinfo.gov/content/pkg/FR-2020-04-30/pdf/2020-09126.pdf Notice - 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 Protection https://regulations.justia.com/regulations/fedreg/2020/04/30/2020-09125.html https://regulations.justia.com/regulations/fedreg/2020/04/30/2020-09125.html Thu, 30 Apr 2020 00:00:00 -0700 2020-09125 Notice https://www.govinfo.gov/content/pkg/FR-2020-04-30/pdf/2020-09125.pdf Notice - 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 Supervision https://regulations.justia.com/regulations/fedreg/2020/04/30/2020-09124.html https://regulations.justia.com/regulations/fedreg/2020/04/30/2020-09124.html Thu, 30 Apr 2020 00:00:00 -0700 2020-09124 Notice https://www.govinfo.gov/content/pkg/FR-2020-04-30/pdf/2020-09124.pdf Notice - 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 Book https://regulations.justia.com/regulations/fedreg/2020/04/30/2020-09123.html https://regulations.justia.com/regulations/fedreg/2020/04/30/2020-09123.html Thu, 30 Apr 2020 00:00:00 -0700 2020-09123 Notice https://www.govinfo.gov/content/pkg/FR-2020-04-30/pdf/2020-09123.pdf Notice - Legg Mason Partners Equity Trust, et al.; Notice of Application https://regulations.justia.com/regulations/fedreg/2020/04/30/2020-09121.html https://regulations.justia.com/regulations/fedreg/2020/04/30/2020-09121.html Thu, 30 Apr 2020 00:00:00 -0700 2020-09121 Notice https://www.govinfo.gov/content/pkg/FR-2020-04-30/pdf/2020-09121.pdf Notice - Sunshine Act Meetings https://regulations.justia.com/regulations/fedreg/2020/04/29/2020-09224.html https://regulations.justia.com/regulations/fedreg/2020/04/29/2020-09224.html Wed, 29 Apr 2020 00:00:00 -0700 2020-09224 Notice https://www.govinfo.gov/content/pkg/FR-2020-04-29/pdf/2020-09224.pdf Notice - SEC Small Business Capital Formation Advisory Committee https://regulations.justia.com/regulations/fedreg/2020/04/29/2020-09083.html https://regulations.justia.com/regulations/fedreg/2020/04/29/2020-09083.html Wed, 29 Apr 2020 00:00:00 -0700 2020-09083 Notice https://www.govinfo.gov/content/pkg/FR-2020-04-29/pdf/2020-09083.pdf Notice - 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, 2020 https://regulations.justia.com/regulations/fedreg/2020/04/29/2020-09050.html https://regulations.justia.com/regulations/fedreg/2020/04/29/2020-09050.html Wed, 29 Apr 2020 00:00:00 -0700 2020-09050 Notice https://www.govinfo.gov/content/pkg/FR-2020-04-29/pdf/2020-09050.pdf Notice - 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 Company https://regulations.justia.com/regulations/fedreg/2020/04/29/2020-09036.html https://regulations.justia.com/regulations/fedreg/2020/04/29/2020-09036.html Wed, 29 Apr 2020 00:00:00 -0700 2020-09036 Notice https://www.govinfo.gov/content/pkg/FR-2020-04-29/pdf/2020-09036.pdf Notice - The Alger ETF Trust, et al. https://regulations.justia.com/regulations/fedreg/2020/04/29/2020-09035.html https://regulations.justia.com/regulations/fedreg/2020/04/29/2020-09035.html Wed, 29 Apr 2020 00:00:00 -0700 2020-09035 Notice https://www.govinfo.gov/content/pkg/FR-2020-04-29/pdf/2020-09035.pdf Notice - FS Credit Income Fund, et al. https://regulations.justia.com/regulations/fedreg/2020/04/28/2020-08942.html https://regulations.justia.com/regulations/fedreg/2020/04/28/2020-08942.html Tue, 28 Apr 2020 00:00:00 -0700 2020-08942 Notice https://www.govinfo.gov/content/pkg/FR-2020-04-28/pdf/2020-08942.pdf Notice - 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 Process https://regulations.justia.com/regulations/fedreg/2020/04/28/2020-08941.html https://regulations.justia.com/regulations/fedreg/2020/04/28/2020-08941.html Tue, 28 Apr 2020 00:00:00 -0700 2020-08941 Notice https://www.govinfo.gov/content/pkg/FR-2020-04-28/pdf/2020-08941.pdf Notice - 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 Process https://regulations.justia.com/regulations/fedreg/2020/04/28/2020-08940.html https://regulations.justia.com/regulations/fedreg/2020/04/28/2020-08940.html Tue, 28 Apr 2020 00:00:00 -0700 2020-08940 Notice https://www.govinfo.gov/content/pkg/FR-2020-04-28/pdf/2020-08940.pdf Notice - 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 Process https://regulations.justia.com/regulations/fedreg/2020/04/28/2020-08939.html https://regulations.justia.com/regulations/fedreg/2020/04/28/2020-08939.html Tue, 28 Apr 2020 00:00:00 -0700 2020-08939 Notice https://www.govinfo.gov/content/pkg/FR-2020-04-28/pdf/2020-08939.pdf Notice - 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 11.10 https://regulations.justia.com/regulations/fedreg/2020/04/28/2020-08938.html https://regulations.justia.com/regulations/fedreg/2020/04/28/2020-08938.html Tue, 28 Apr 2020 00:00:00 -0700 2020-08938 Notice https://www.govinfo.gov/content/pkg/FR-2020-04-28/pdf/2020-08938.pdf Notice - 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 Receipts https://regulations.justia.com/regulations/fedreg/2020/04/28/2020-08937.html https://regulations.justia.com/regulations/fedreg/2020/04/28/2020-08937.html Tue, 28 Apr 2020 00:00:00 -0700 2020-08937 Notice https://www.govinfo.gov/content/pkg/FR-2020-04-28/pdf/2020-08937.pdf Notice - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Add Commentary .01 to Rule 7.35 https://regulations.justia.com/regulations/fedreg/2020/04/28/2020-08936.html https://regulations.justia.com/regulations/fedreg/2020/04/28/2020-08936.html Tue, 28 Apr 2020 00:00:00 -0700 2020-08936 Notice https://www.govinfo.gov/content/pkg/FR-2020-04-28/pdf/2020-08936.pdf Notice - 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 5.34 https://regulations.justia.com/regulations/fedreg/2020/04/28/2020-08934.html https://regulations.justia.com/regulations/fedreg/2020/04/28/2020-08934.html Tue, 28 Apr 2020 00:00:00 -0700 2020-08934 Notice https://www.govinfo.gov/content/pkg/FR-2020-04-28/pdf/2020-08934.pdf Notice - 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 6.14 https://regulations.justia.com/regulations/fedreg/2020/04/28/2020-08933.html https://regulations.justia.com/regulations/fedreg/2020/04/28/2020-08933.html Tue, 28 Apr 2020 00:00:00 -0700 2020-08933 Notice https://www.govinfo.gov/content/pkg/FR-2020-04-28/pdf/2020-08933.pdf Notice - Sunshine Act Meetings https://regulations.justia.com/regulations/fedreg/2020/04/27/2020-08977.html https://regulations.justia.com/regulations/fedreg/2020/04/27/2020-08977.html Mon, 27 Apr 2020 00:00:00 -0700 2020-08977 Notice https://www.govinfo.gov/content/pkg/FR-2020-04-27/pdf/2020-08977.pdf Notice - Invesco Advisers, Inc., et al. https://regulations.justia.com/regulations/fedreg/2020/04/27/2020-08825.html https://regulations.justia.com/regulations/fedreg/2020/04/27/2020-08825.html Mon, 27 Apr 2020 00:00:00 -0700 2020-08825 Notice https://www.govinfo.gov/content/pkg/FR-2020-04-27/pdf/2020-08825.pdf Notice - Principal Funds, Inc. et al. https://regulations.justia.com/regulations/fedreg/2020/04/27/2020-08824.html https://regulations.justia.com/regulations/fedreg/2020/04/27/2020-08824.html Mon, 27 Apr 2020 00:00:00 -0700 2020-08824 Notice https://www.govinfo.gov/content/pkg/FR-2020-04-27/pdf/2020-08824.pdf Notice - 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 Purposes https://regulations.justia.com/regulations/fedreg/2020/04/27/2020-08823.html https://regulations.justia.com/regulations/fedreg/2020/04/27/2020-08823.html Mon, 27 Apr 2020 00:00:00 -0700 2020-08823 Notice https://www.govinfo.gov/content/pkg/FR-2020-04-27/pdf/2020-08823.pdf Notice - 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 3 https://regulations.justia.com/regulations/fedreg/2020/04/27/2020-08821.html https://regulations.justia.com/regulations/fedreg/2020/04/27/2020-08821.html Mon, 27 Apr 2020 00:00:00 -0700 2020-08821 Notice https://www.govinfo.gov/content/pkg/FR-2020-04-27/pdf/2020-08821.pdf Notice - 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 Purposes https://regulations.justia.com/regulations/fedreg/2020/04/27/2020-08819.html https://regulations.justia.com/regulations/fedreg/2020/04/27/2020-08819.html Mon, 27 Apr 2020 00:00:00 -0700 2020-08819 Notice https://www.govinfo.gov/content/pkg/FR-2020-04-27/pdf/2020-08819.pdf Notice - 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 Systems https://regulations.justia.com/regulations/fedreg/2020/04/27/2020-08818.html https://regulations.justia.com/regulations/fedreg/2020/04/27/2020-08818.html Mon, 27 Apr 2020 00:00:00 -0700 2020-08818 Notice https://www.govinfo.gov/content/pkg/FR-2020-04-27/pdf/2020-08818.pdf Notice - 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, 2020 https://regulations.justia.com/regulations/fedreg/2020/04/27/2020-08815.html https://regulations.justia.com/regulations/fedreg/2020/04/27/2020-08815.html Mon, 27 Apr 2020 00:00:00 -0700 2020-08815 Notice https://www.govinfo.gov/content/pkg/FR-2020-04-27/pdf/2020-08815.pdf Notice - 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 Period https://regulations.justia.com/regulations/fedreg/2020/04/27/2020-08814.html https://regulations.justia.com/regulations/fedreg/2020/04/27/2020-08814.html Mon, 27 Apr 2020 00:00:00 -0700 2020-08814 Notice https://www.govinfo.gov/content/pkg/FR-2020-04-27/pdf/2020-08814.pdf Notice - 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) https://regulations.justia.com/regulations/fedreg/2020/04/27/2020-08813.html https://regulations.justia.com/regulations/fedreg/2020/04/27/2020-08813.html Mon, 27 Apr 2020 00:00:00 -0700 2020-08813 Notice https://www.govinfo.gov/content/pkg/FR-2020-04-27/pdf/2020-08813.pdf Notice - 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 Systems https://regulations.justia.com/regulations/fedreg/2020/04/27/2020-08812.html https://regulations.justia.com/regulations/fedreg/2020/04/27/2020-08812.html Mon, 27 Apr 2020 00:00:00 -0700 2020-08812 Notice https://www.govinfo.gov/content/pkg/FR-2020-04-27/pdf/2020-08812.pdf Notice - 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 Purposes https://regulations.justia.com/regulations/fedreg/2020/04/27/2020-08811.html https://regulations.justia.com/regulations/fedreg/2020/04/27/2020-08811.html Mon, 27 Apr 2020 00:00:00 -0700 2020-08811 Notice https://www.govinfo.gov/content/pkg/FR-2020-04-27/pdf/2020-08811.pdf Notice - 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 Purposes https://regulations.justia.com/regulations/fedreg/2020/04/27/2020-08810.html https://regulations.justia.com/regulations/fedreg/2020/04/27/2020-08810.html Mon, 27 Apr 2020 00:00:00 -0700 2020-08810 Notice https://www.govinfo.gov/content/pkg/FR-2020-04-27/pdf/2020-08810.pdf Notice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the NYSE Arca Equities Fees and Charges https://regulations.justia.com/regulations/fedreg/2020/04/27/2020-08809.html https://regulations.justia.com/regulations/fedreg/2020/04/27/2020-08809.html Mon, 27 Apr 2020 00:00:00 -0700 2020-08809 Notice https://www.govinfo.gov/content/pkg/FR-2020-04-27/pdf/2020-08809.pdf Notice - 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. https://regulations.justia.com/regulations/fedreg/2020/04/27/2020-08795.html https://regulations.justia.com/regulations/fedreg/2020/04/27/2020-08795.html Mon, 27 Apr 2020 00:00:00 -0700 2020-08795 Notice https://www.govinfo.gov/content/pkg/FR-2020-04-27/pdf/2020-08795.pdf Notice - 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 Trail https://regulations.justia.com/regulations/fedreg/2020/04/24/2020-08705.html https://regulations.justia.com/regulations/fedreg/2020/04/24/2020-08705.html Fri, 24 Apr 2020 00:00:00 -0700 2020-08705 Notice https://www.govinfo.gov/content/pkg/FR-2020-04-24/pdf/2020-08705.pdf Notice - 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 Trail https://regulations.justia.com/regulations/fedreg/2020/04/24/2020-08704.html https://regulations.justia.com/regulations/fedreg/2020/04/24/2020-08704.html Fri, 24 Apr 2020 00:00:00 -0700 2020-08704 Notice https://www.govinfo.gov/content/pkg/FR-2020-04-24/pdf/2020-08704.pdf Notice - Self-Regulatory Organizations; New York Stock Exchange LLC; Order Instituting Proceedings To Determine Whether To Approve or Disapprove a Proposed Rule Change To Amend the NYSE Rule 6800 Series, the Exchange's Compliance Rule Regarding the National Market System Plan Governing the Consolidated Audit Trail https://regulations.justia.com/regulations/fedreg/2020/04/24/2020-08701.html https://regulations.justia.com/regulations/fedreg/2020/04/24/2020-08701.html Fri, 24 Apr 2020 00:00:00 -0700 2020-08701 Notice https://www.govinfo.gov/content/pkg/FR-2020-04-24/pdf/2020-08701.pdf Notice - 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 Trail https://regulations.justia.com/regulations/fedreg/2020/04/24/2020-08700.html https://regulations.justia.com/regulations/fedreg/2020/04/24/2020-08700.html Fri, 24 Apr 2020 00:00:00 -0700 2020-08700 Notice https://www.govinfo.gov/content/pkg/FR-2020-04-24/pdf/2020-08700.pdf Notice - 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 Trail https://regulations.justia.com/regulations/fedreg/2020/04/24/2020-08699.html https://regulations.justia.com/regulations/fedreg/2020/04/24/2020-08699.html Fri, 24 Apr 2020 00:00:00 -0700 2020-08699 Notice https://www.govinfo.gov/content/pkg/FR-2020-04-24/pdf/2020-08699.pdf Notice - 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 Trail https://regulations.justia.com/regulations/fedreg/2020/04/24/2020-08698.html https://regulations.justia.com/regulations/fedreg/2020/04/24/2020-08698.html Fri, 24 Apr 2020 00:00:00 -0700 2020-08698 Notice https://www.govinfo.gov/content/pkg/FR-2020-04-24/pdf/2020-08698.pdf Notice - 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 Trail https://regulations.justia.com/regulations/fedreg/2020/04/24/2020-08697.html https://regulations.justia.com/regulations/fedreg/2020/04/24/2020-08697.html Fri, 24 Apr 2020 00:00:00 -0700 2020-08697 Notice https://www.govinfo.gov/content/pkg/FR-2020-04-24/pdf/2020-08697.pdf Notice - 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 MSRB https://regulations.justia.com/regulations/fedreg/2020/04/24/2020-08696.html https://regulations.justia.com/regulations/fedreg/2020/04/24/2020-08696.html Fri, 24 Apr 2020 00:00:00 -0700 2020-08696 Notice https://www.govinfo.gov/content/pkg/FR-2020-04-24/pdf/2020-08696.pdf Notice - 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” https://regulations.justia.com/regulations/fedreg/2020/04/24/2020-08695.html https://regulations.justia.com/regulations/fedreg/2020/04/24/2020-08695.html Fri, 24 Apr 2020 00:00:00 -0700 2020-08695 Notice https://www.govinfo.gov/content/pkg/FR-2020-04-24/pdf/2020-08695.pdf Notice - 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” https://regulations.justia.com/regulations/fedreg/2020/04/24/2020-08694.html https://regulations.justia.com/regulations/fedreg/2020/04/24/2020-08694.html Fri, 24 Apr 2020 00:00:00 -0700 2020-08694 Notice https://www.govinfo.gov/content/pkg/FR-2020-04-24/pdf/2020-08694.pdf Notice - 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 Market https://regulations.justia.com/regulations/fedreg/2020/04/24/2020-08693.html https://regulations.justia.com/regulations/fedreg/2020/04/24/2020-08693.html Fri, 24 Apr 2020 00:00:00 -0700 2020-08693 Notice https://www.govinfo.gov/content/pkg/FR-2020-04-24/pdf/2020-08693.pdf Notice - 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 Management https://regulations.justia.com/regulations/fedreg/2020/04/24/2020-08692.html https://regulations.justia.com/regulations/fedreg/2020/04/24/2020-08692.html Fri, 24 Apr 2020 00:00:00 -0700 2020-08692 Notice https://www.govinfo.gov/content/pkg/FR-2020-04-24/pdf/2020-08692.pdf Notice - 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 Program https://regulations.justia.com/regulations/fedreg/2020/04/23/2020-08595.html https://regulations.justia.com/regulations/fedreg/2020/04/23/2020-08595.html Thu, 23 Apr 2020 00:00:00 -0700 2020-08595 Notice https://www.govinfo.gov/content/pkg/FR-2020-04-23/pdf/2020-08595.pdf Notice - Self-Regulatory Organizations; Cboe Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Amending Its Fees Schedule https://regulations.justia.com/regulations/fedreg/2020/04/23/2020-08594.html https://regulations.justia.com/regulations/fedreg/2020/04/23/2020-08594.html Thu, 23 Apr 2020 00:00:00 -0700 2020-08594 Notice https://www.govinfo.gov/content/pkg/FR-2020-04-23/pdf/2020-08594.pdf Notice - 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 Products https://regulations.justia.com/regulations/fedreg/2020/04/23/2020-08593.html https://regulations.justia.com/regulations/fedreg/2020/04/23/2020-08593.html Thu, 23 Apr 2020 00:00:00 -0700 2020-08593 Notice https://www.govinfo.gov/content/pkg/FR-2020-04-23/pdf/2020-08593.pdf Notice - 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, 2020 https://regulations.justia.com/regulations/fedreg/2020/04/23/2020-08592.html https://regulations.justia.com/regulations/fedreg/2020/04/23/2020-08592.html Thu, 23 Apr 2020 00:00:00 -0700 2020-08592 Notice https://www.govinfo.gov/content/pkg/FR-2020-04-23/pdf/2020-08592.pdf Notice - 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 Positions https://regulations.justia.com/regulations/fedreg/2020/04/23/2020-08591.html https://regulations.justia.com/regulations/fedreg/2020/04/23/2020-08591.html Thu, 23 Apr 2020 00:00:00 -0700 2020-08591 Notice https://www.govinfo.gov/content/pkg/FR-2020-04-23/pdf/2020-08591.pdf Notice - 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 Index https://regulations.justia.com/regulations/fedreg/2020/04/23/2020-08590.html https://regulations.justia.com/regulations/fedreg/2020/04/23/2020-08590.html Thu, 23 Apr 2020 00:00:00 -0700 2020-08590 Notice https://www.govinfo.gov/content/pkg/FR-2020-04-23/pdf/2020-08590.pdf Notice - Self-Regulatory Organizations; NYSE American LLC; Notice of Filing and Immediate Effectiveness of Proposed Change To Amend the NYSE American Options Fee Schedule https://regulations.justia.com/regulations/fedreg/2020/04/23/2020-08589.html https://regulations.justia.com/regulations/fedreg/2020/04/23/2020-08589.html Thu, 23 Apr 2020 00:00:00 -0700 2020-08589 Notice https://www.govinfo.gov/content/pkg/FR-2020-04-23/pdf/2020-08589.pdf Notice - Self-Regulatory Organizations; Nasdaq PHLX LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Extend a Non-Standard Pilot Program https://regulations.justia.com/regulations/fedreg/2020/04/23/2020-08588.html https://regulations.justia.com/regulations/fedreg/2020/04/23/2020-08588.html Thu, 23 Apr 2020 00:00:00 -0700 2020-08588 Notice https://www.govinfo.gov/content/pkg/FR-2020-04-23/pdf/2020-08588.pdf Notice - Capitol Series Trust and Cornerstone Capital Inc. https://regulations.justia.com/regulations/fedreg/2020/04/23/2020-08582.html https://regulations.justia.com/regulations/fedreg/2020/04/23/2020-08582.html Thu, 23 Apr 2020 00:00:00 -0700 2020-08582 Notice https://www.govinfo.gov/content/pkg/FR-2020-04-23/pdf/2020-08582.pdf Notice - 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 Procedures https://regulations.justia.com/regulations/fedreg/2020/04/23/2020-08487.html https://regulations.justia.com/regulations/fedreg/2020/04/23/2020-08487.html Thu, 23 Apr 2020 00:00:00 -0700 2020-08487 Notice https://www.govinfo.gov/content/pkg/FR-2020-04-23/pdf/2020-08487.pdf Notice - 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 Program https://regulations.justia.com/regulations/fedreg/2020/04/22/2020-08495.html https://regulations.justia.com/regulations/fedreg/2020/04/22/2020-08495.html Wed, 22 Apr 2020 00:00:00 -0700 2020-08495 Notice https://www.govinfo.gov/content/pkg/FR-2020-04-22/pdf/2020-08495.pdf Notice - 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, 2020 https://regulations.justia.com/regulations/fedreg/2020/04/22/2020-08494.html https://regulations.justia.com/regulations/fedreg/2020/04/22/2020-08494.html Wed, 22 Apr 2020 00:00:00 -0700 2020-08494 Notice https://www.govinfo.gov/content/pkg/FR-2020-04-22/pdf/2020-08494.pdf Notice - 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 5 https://regulations.justia.com/regulations/fedreg/2020/04/22/2020-08493.html https://regulations.justia.com/regulations/fedreg/2020/04/22/2020-08493.html Wed, 22 Apr 2020 00:00:00 -0700 2020-08493 Notice https://www.govinfo.gov/content/pkg/FR-2020-04-22/pdf/2020-08493.pdf Notice - 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 5 https://regulations.justia.com/regulations/fedreg/2020/04/22/2020-08492.html https://regulations.justia.com/regulations/fedreg/2020/04/22/2020-08492.html Wed, 22 Apr 2020 00:00:00 -0700 2020-08492 Notice https://www.govinfo.gov/content/pkg/FR-2020-04-22/pdf/2020-08492.pdf Notice - 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 5 https://regulations.justia.com/regulations/fedreg/2020/04/22/2020-08491.html https://regulations.justia.com/regulations/fedreg/2020/04/22/2020-08491.html Wed, 22 Apr 2020 00:00:00 -0700 2020-08491 Notice https://www.govinfo.gov/content/pkg/FR-2020-04-22/pdf/2020-08491.pdf Notice - 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 5 https://regulations.justia.com/regulations/fedreg/2020/04/22/2020-08490.html https://regulations.justia.com/regulations/fedreg/2020/04/22/2020-08490.html Wed, 22 Apr 2020 00:00:00 -0700 2020-08490 Notice https://www.govinfo.gov/content/pkg/FR-2020-04-22/pdf/2020-08490.pdf Notice - 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 5 https://regulations.justia.com/regulations/fedreg/2020/04/22/2020-08489.html https://regulations.justia.com/regulations/fedreg/2020/04/22/2020-08489.html Wed, 22 Apr 2020 00:00:00 -0700 2020-08489 Notice https://www.govinfo.gov/content/pkg/FR-2020-04-22/pdf/2020-08489.pdf Notice - 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 ETF https://regulations.justia.com/regulations/fedreg/2020/04/22/2020-08488.html https://regulations.justia.com/regulations/fedreg/2020/04/22/2020-08488.html Wed, 22 Apr 2020 00:00:00 -0700 2020-08488 Notice https://www.govinfo.gov/content/pkg/FR-2020-04-22/pdf/2020-08488.pdf Notice - 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 Exchange https://regulations.justia.com/regulations/fedreg/2020/04/22/2020-08486.html https://regulations.justia.com/regulations/fedreg/2020/04/22/2020-08486.html Wed, 22 Apr 2020 00:00:00 -0700 2020-08486 Notice https://www.govinfo.gov/content/pkg/FR-2020-04-22/pdf/2020-08486.pdf Notice - 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 Exchange https://regulations.justia.com/regulations/fedreg/2020/04/22/2020-08485.html https://regulations.justia.com/regulations/fedreg/2020/04/22/2020-08485.html Wed, 22 Apr 2020 00:00:00 -0700 2020-08485 Notice https://www.govinfo.gov/content/pkg/FR-2020-04-22/pdf/2020-08485.pdf Notice - 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 Process https://regulations.justia.com/regulations/fedreg/2020/04/22/2020-08484.html https://regulations.justia.com/regulations/fedreg/2020/04/22/2020-08484.html Wed, 22 Apr 2020 00:00:00 -0700 2020-08484 Notice https://www.govinfo.gov/content/pkg/FR-2020-04-22/pdf/2020-08484.pdf Notice - American Century ETF Trust, et al. https://regulations.justia.com/regulations/fedreg/2020/04/22/2020-08477.html https://regulations.justia.com/regulations/fedreg/2020/04/22/2020-08477.html Wed, 22 Apr 2020 00:00:00 -0700 2020-08477 Notice https://www.govinfo.gov/content/pkg/FR-2020-04-22/pdf/2020-08477.pdf Notice - KKR Credit Opportunities Portfolio and KKR Credit Advisors (US) LLC https://regulations.justia.com/regulations/fedreg/2020/04/22/2020-08476.html https://regulations.justia.com/regulations/fedreg/2020/04/22/2020-08476.html Wed, 22 Apr 2020 00:00:00 -0700 2020-08476 Notice https://www.govinfo.gov/content/pkg/FR-2020-04-22/pdf/2020-08476.pdf Notice - Self-Regulatory Organizations; The Options Clearing Corporation; Notice of Filing of Proposed Rule Change To Modify the Sequence for Processing Options Transactions https://regulations.justia.com/regulations/fedreg/2020/04/21/2020-08386.html https://regulations.justia.com/regulations/fedreg/2020/04/21/2020-08386.html Tue, 21 Apr 2020 00:00:00 -0700 2020-08386 Notice https://www.govinfo.gov/content/pkg/FR-2020-04-21/pdf/2020-08386.pdf Notice - 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-E https://regulations.justia.com/regulations/fedreg/2020/04/21/2020-08385.html https://regulations.justia.com/regulations/fedreg/2020/04/21/2020-08385.html Tue, 21 Apr 2020 00:00:00 -0700 2020-08385 Notice https://www.govinfo.gov/content/pkg/FR-2020-04-21/pdf/2020-08385.pdf Notice - Self-Regulatory Organizations; Cboe BYX Exchange, Inc.; Notice of Withdrawal of a Proposed Rule Change To Introduce a Small Retail Broker Distribution Program https://regulations.justia.com/regulations/fedreg/2020/04/21/2020-08384.html https://regulations.justia.com/regulations/fedreg/2020/04/21/2020-08384.html Tue, 21 Apr 2020 00:00:00 -0700 2020-08384 Notice https://www.govinfo.gov/content/pkg/FR-2020-04-21/pdf/2020-08384.pdf Notice - Self-Regulatory Organizations; Cboe BZX Exchange, Inc.; Notice of Withdrawal of a Proposed Rule Change To Introduce a Small Retail Broker Distribution Program https://regulations.justia.com/regulations/fedreg/2020/04/21/2020-08383.html https://regulations.justia.com/regulations/fedreg/2020/04/21/2020-08383.html Tue, 21 Apr 2020 00:00:00 -0700 2020-08383 Notice https://www.govinfo.gov/content/pkg/FR-2020-04-21/pdf/2020-08383.pdf Notice - Self-Regulatory Organizations; Cboe EDGX Exchange, Inc.; Notice of Withdrawal of a Proposed Rule Change To Introduce a Small Retail Broker Distribution Program https://regulations.justia.com/regulations/fedreg/2020/04/21/2020-08382.html https://regulations.justia.com/regulations/fedreg/2020/04/21/2020-08382.html Tue, 21 Apr 2020 00:00:00 -0700 2020-08382 Notice https://www.govinfo.gov/content/pkg/FR-2020-04-21/pdf/2020-08382.pdf Notice - Self-Regulatory Organizations; Cboe EDGX Exchange, Inc.; Notice of Withdrawal of a Proposed Rule Change To Introduce a Small Retail Broker Distribution Program https://regulations.justia.com/regulations/fedreg/2020/04/21/2020-08381.html https://regulations.justia.com/regulations/fedreg/2020/04/21/2020-08381.html Tue, 21 Apr 2020 00:00:00 -0700 2020-08381 Notice https://www.govinfo.gov/content/pkg/FR-2020-04-21/pdf/2020-08381.pdf Notice - Self-Regulatory Organizations; Cboe EDGA Exchange, Inc.; Notice of Withdrawal of a Proposed Rule Change To Introduce a Small Retail Broker Distribution Program https://regulations.justia.com/regulations/fedreg/2020/04/21/2020-08380.html https://regulations.justia.com/regulations/fedreg/2020/04/21/2020-08380.html Tue, 21 Apr 2020 00:00:00 -0700 2020-08380 Notice https://www.govinfo.gov/content/pkg/FR-2020-04-21/pdf/2020-08380.pdf Notice - Self-Regulatory Organizations; National Securities Clearing Corporation; Notice of Filing of Proposed Rule Change To Modify the Clearing Agency Model Risk Management Framework https://regulations.justia.com/regulations/fedreg/2020/04/21/2020-08378.html https://regulations.justia.com/regulations/fedreg/2020/04/21/2020-08378.html Tue, 21 Apr 2020 00:00:00 -0700 2020-08378 Notice https://www.govinfo.gov/content/pkg/FR-2020-04-21/pdf/2020-08378.pdf Notice - Self-Regulatory Organizations; Fixed Income Clearing Corporation; Notice of Filing of Proposed Rule Change To Modify the Clearing Agency Model Risk Management Framework https://regulations.justia.com/regulations/fedreg/2020/04/21/2020-08377.html https://regulations.justia.com/regulations/fedreg/2020/04/21/2020-08377.html Tue, 21 Apr 2020 00:00:00 -0700 2020-08377 Notice https://www.govinfo.gov/content/pkg/FR-2020-04-21/pdf/2020-08377.pdf Notice - Self-Regulatory Organizations; Cboe EDGA Exchange, Inc.; Notice of Withdrawal of a Proposed Rule Change To Introduce a Small Retail Broker Distribution Program https://regulations.justia.com/regulations/fedreg/2020/04/21/2020-08372.html https://regulations.justia.com/regulations/fedreg/2020/04/21/2020-08372.html Tue, 21 Apr 2020 00:00:00 -0700 2020-08372 Notice https://www.govinfo.gov/content/pkg/FR-2020-04-21/pdf/2020-08372.pdf Notice - Self-Regulatory Organizations; Cboe BYX Exchange, Inc.; Notice of Withdrawal of a Proposed Rule Change To Introduce a Small Retail Broker Distribution Program https://regulations.justia.com/regulations/fedreg/2020/04/21/2020-08371.html https://regulations.justia.com/regulations/fedreg/2020/04/21/2020-08371.html Tue, 21 Apr 2020 00:00:00 -0700 2020-08371 Notice https://www.govinfo.gov/content/pkg/FR-2020-04-21/pdf/2020-08371.pdf Notice - Self-Regulatory Organizations; Cboe BZX Exchange, Inc.; Notice of Withdrawal of a Proposed Rule Change To Introduce a Small Retail Broker Distribution Program https://regulations.justia.com/regulations/fedreg/2020/04/21/2020-08370.html https://regulations.justia.com/regulations/fedreg/2020/04/21/2020-08370.html Tue, 21 Apr 2020 00:00:00 -0700 2020-08370 Notice https://www.govinfo.gov/content/pkg/FR-2020-04-21/pdf/2020-08370.pdf Notice - Self-Regulatory Organizations; The Depository Trust Company; Notice of Filing of Proposed Rule Change To Modify the Clearing Agency Model Risk Management Framework https://regulations.justia.com/regulations/fedreg/2020/04/21/2020-08369.html https://regulations.justia.com/regulations/fedreg/2020/04/21/2020-08369.html Tue, 21 Apr 2020 00:00:00 -0700 2020-08369 Notice https://www.govinfo.gov/content/pkg/FR-2020-04-21/pdf/2020-08369.pdf Notice - Self-Regulatory Organizations; Cboe Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating To Amend Its Fees Schedule https://regulations.justia.com/regulations/fedreg/2020/04/21/2020-08368.html https://regulations.justia.com/regulations/fedreg/2020/04/21/2020-08368.html Tue, 21 Apr 2020 00:00:00 -0700 2020-08368 Notice https://www.govinfo.gov/content/pkg/FR-2020-04-21/pdf/2020-08368.pdf Notice - Great Elm Capital Corp., et al. https://regulations.justia.com/regulations/fedreg/2020/04/21/2020-08350.html https://regulations.justia.com/regulations/fedreg/2020/04/21/2020-08350.html Tue, 21 Apr 2020 00:00:00 -0700 2020-08350 Notice https://www.govinfo.gov/content/pkg/FR-2020-04-21/pdf/2020-08350.pdf Notice - Sunshine Act Meetings https://regulations.justia.com/regulations/fedreg/2020/04/20/2020-08389.html https://regulations.justia.com/regulations/fedreg/2020/04/20/2020-08389.html Mon, 20 Apr 2020 00:00:00 -0700 2020-08389 Notice https://www.govinfo.gov/content/pkg/FR-2020-04-20/pdf/2020-08389.pdf Notice - Submission for OMB Review; Comment Request https://regulations.justia.com/regulations/fedreg/2020/04/20/2020-08340.html https://regulations.justia.com/regulations/fedreg/2020/04/20/2020-08340.html Mon, 20 Apr 2020 00:00:00 -0700 2020-08340 Notice https://www.govinfo.gov/content/pkg/FR-2020-04-20/pdf/2020-08340.pdf Notice - Submission for OMB Review; Comment Request https://regulations.justia.com/regulations/fedreg/2020/04/20/2020-08339.html https://regulations.justia.com/regulations/fedreg/2020/04/20/2020-08339.html Mon, 20 Apr 2020 00:00:00 -0700 2020-08339 Notice https://www.govinfo.gov/content/pkg/FR-2020-04-20/pdf/2020-08339.pdf Notice - Submission for OMB Review; Comment Request https://regulations.justia.com/regulations/fedreg/2020/04/20/2020-08338.html https://regulations.justia.com/regulations/fedreg/2020/04/20/2020-08338.html Mon, 20 Apr 2020 00:00:00 -0700 2020-08338 Notice https://www.govinfo.gov/content/pkg/FR-2020-04-20/pdf/2020-08338.pdf Notice - Submission for OMB Review; Comment Request https://regulations.justia.com/regulations/fedreg/2020/04/20/2020-08337.html https://regulations.justia.com/regulations/fedreg/2020/04/20/2020-08337.html Mon, 20 Apr 2020 00:00:00 -0700 2020-08337 Notice https://www.govinfo.gov/content/pkg/FR-2020-04-20/pdf/2020-08337.pdf Notice - Submission for OMB Review; Comment Request https://regulations.justia.com/regulations/fedreg/2020/04/20/2020-08336.html https://regulations.justia.com/regulations/fedreg/2020/04/20/2020-08336.html Mon, 20 Apr 2020 00:00:00 -0700 2020-08336 Notice https://www.govinfo.gov/content/pkg/FR-2020-04-20/pdf/2020-08336.pdf Notice - 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 LLC https://regulations.justia.com/regulations/fedreg/2020/04/20/2020-08212.html https://regulations.justia.com/regulations/fedreg/2020/04/20/2020-08212.html Mon, 20 Apr 2020 00:00:00 -0700 2020-08212 Notice https://www.govinfo.gov/content/pkg/FR-2020-04-20/pdf/2020-08212.pdf Notice - Self-Regulatory Organizations; ICE Clear Credit LLC; Notice of Filing of Proposed Rule Change, Security-Based Swap Submission, or Advance Notice Relating to ICC's Treasury Operations Policies and Procedures https://regulations.justia.com/regulations/fedreg/2020/04/20/2020-08211.html https://regulations.justia.com/regulations/fedreg/2020/04/20/2020-08211.html Mon, 20 Apr 2020 00:00:00 -0700 2020-08211 Notice https://www.govinfo.gov/content/pkg/FR-2020-04-20/pdf/2020-08211.pdf Notice - Self-Regulatory Organizations; Cboe BZX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating To Amend its Fee Schedule https://regulations.justia.com/regulations/fedreg/2020/04/20/2020-08210.html https://regulations.justia.com/regulations/fedreg/2020/04/20/2020-08210.html Mon, 20 Apr 2020 00:00:00 -0700 2020-08210 Notice https://www.govinfo.gov/content/pkg/FR-2020-04-20/pdf/2020-08210.pdf Notice - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend its Price List To Eliminate Certain Obsolete Fees https://regulations.justia.com/regulations/fedreg/2020/04/20/2020-08209.html https://regulations.justia.com/regulations/fedreg/2020/04/20/2020-08209.html Mon, 20 Apr 2020 00:00:00 -0700 2020-08209 Notice https://www.govinfo.gov/content/pkg/FR-2020-04-20/pdf/2020-08209.pdf Notice - Self-Regulatory Organizations; ICE Clear Credit LLC; Notice of Proposed Rule Change Relating to the ICC Clearing Rules https://regulations.justia.com/regulations/fedreg/2020/04/20/2020-08208.html https://regulations.justia.com/regulations/fedreg/2020/04/20/2020-08208.html Mon, 20 Apr 2020 00:00:00 -0700 2020-08208 Notice https://www.govinfo.gov/content/pkg/FR-2020-04-20/pdf/2020-08208.pdf Rule - Financial Disclosures About Guarantors and Issuers of Guaranteed Securities and Affiliates Whose Securities Collateralize a Registrant's Securities https://regulations.justia.com/regulations/fedreg/2020/04/20/2020-04776.html https://regulations.justia.com/regulations/fedreg/2020/04/20/2020-04776.html Mon, 20 Apr 2020 00:00:00 -0700 2020-04776 Rule https://www.govinfo.gov/content/pkg/FR-2020-04-20/pdf/2020-04776.pdf Notice - Sunshine Act Meeting; Cancellation https://regulations.justia.com/regulations/fedreg/2020/04/17/2020-08238.html https://regulations.justia.com/regulations/fedreg/2020/04/17/2020-08238.html Fri, 17 Apr 2020 00:00:00 -0700 2020-08238 Notice https://www.govinfo.gov/content/pkg/FR-2020-04-17/pdf/2020-08238.pdf Notice - Proposed Collection; Comment Request https://regulations.justia.com/regulations/fedreg/2020/04/17/2020-08122.html https://regulations.justia.com/regulations/fedreg/2020/04/17/2020-08122.html Fri, 17 Apr 2020 00:00:00 -0700 2020-08122 Notice https://www.govinfo.gov/content/pkg/FR-2020-04-17/pdf/2020-08122.pdf Notice - 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 Instruction https://regulations.justia.com/regulations/fedreg/2020/04/17/2020-08088.html https://regulations.justia.com/regulations/fedreg/2020/04/17/2020-08088.html Fri, 17 Apr 2020 00:00:00 -0700 2020-08088 Notice https://www.govinfo.gov/content/pkg/FR-2020-04-17/pdf/2020-08088.pdf Notice - Self-Regulatory Organizations; Nasdaq PHLX LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Phlx's Pricing Schedule https://regulations.justia.com/regulations/fedreg/2020/04/17/2020-08087.html https://regulations.justia.com/regulations/fedreg/2020/04/17/2020-08087.html Fri, 17 Apr 2020 00:00:00 -0700 2020-08087 Notice https://www.govinfo.gov/content/pkg/FR-2020-04-17/pdf/2020-08087.pdf Notice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing of Amendment No. 2 and Order Granting Accelerated Approval of a Proposed Rule Change, as Modified by Amendment No. 2, to Adopt NYSE Arca Rule 5.2-E(j)(8) Governing the Listing and Trading of Exchange-Traded Fund Shares https://regulations.justia.com/regulations/fedreg/2020/04/17/2020-08086.html https://regulations.justia.com/regulations/fedreg/2020/04/17/2020-08086.html Fri, 17 Apr 2020 00:00:00 -0700 2020-08086 Notice https://www.govinfo.gov/content/pkg/FR-2020-04-17/pdf/2020-08086.pdf Notice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the NYSE Arca Equities Fees and Charges https://regulations.justia.com/regulations/fedreg/2020/04/15/2020-07948.html https://regulations.justia.com/regulations/fedreg/2020/04/15/2020-07948.html Wed, 15 Apr 2020 00:00:00 -0700 2020-07948 Notice https://www.govinfo.gov/content/pkg/FR-2020-04-15/pdf/2020-07948.pdf Notice - 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 Schedule https://regulations.justia.com/regulations/fedreg/2020/04/15/2020-07947.html https://regulations.justia.com/regulations/fedreg/2020/04/15/2020-07947.html Wed, 15 Apr 2020 00:00:00 -0700 2020-07947 Notice https://www.govinfo.gov/content/pkg/FR-2020-04-15/pdf/2020-07947.pdf Notice - 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 Series https://regulations.justia.com/regulations/fedreg/2020/04/15/2020-07903.html https://regulations.justia.com/regulations/fedreg/2020/04/15/2020-07903.html Wed, 15 Apr 2020 00:00:00 -0700 2020-07903 Notice https://www.govinfo.gov/content/pkg/FR-2020-04-15/pdf/2020-07903.pdf Notice - 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. https://regulations.justia.com/regulations/fedreg/2020/04/15/2020-07900.html https://regulations.justia.com/regulations/fedreg/2020/04/15/2020-07900.html Wed, 15 Apr 2020 00:00:00 -0700 2020-07900 Notice https://www.govinfo.gov/content/pkg/FR-2020-04-15/pdf/2020-07900.pdf Notice - 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. https://regulations.justia.com/regulations/fedreg/2020/04/15/2020-07898.html https://regulations.justia.com/regulations/fedreg/2020/04/15/2020-07898.html Wed, 15 Apr 2020 00:00:00 -0700 2020-07898 Notice https://www.govinfo.gov/content/pkg/FR-2020-04-15/pdf/2020-07898.pdf Notice - Self-Regulatory Organizations; ICE Clear Credit LLC; Notice of Filing of Proposed Rule Change Relating to the ICC Clearing Participant Default Management Procedures https://regulations.justia.com/regulations/fedreg/2020/04/15/2020-07897.html https://regulations.justia.com/regulations/fedreg/2020/04/15/2020-07897.html Wed, 15 Apr 2020 00:00:00 -0700 2020-07897 Notice https://www.govinfo.gov/content/pkg/FR-2020-04-15/pdf/2020-07897.pdf Notice - Self-Regulatory Organizations; National Securities Clearing Corporation; Notice of Filing of Advance Notice To Enhance National Securities Clearing Corporation's Haircut-Based Volatility Charge Applicable to Illiquid Securities and UITs and Make Certain Other Changes to Procedure XV https://regulations.justia.com/regulations/fedreg/2020/04/15/2020-07896.html https://regulations.justia.com/regulations/fedreg/2020/04/15/2020-07896.html Wed, 15 Apr 2020 00:00:00 -0700 2020-07896 Notice https://www.govinfo.gov/content/pkg/FR-2020-04-15/pdf/2020-07896.pdf Notice - 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 Trail https://regulations.justia.com/regulations/fedreg/2020/04/14/2020-07789.html https://regulations.justia.com/regulations/fedreg/2020/04/14/2020-07789.html Tue, 14 Apr 2020 00:00:00 -0700 2020-07789 Notice https://www.govinfo.gov/content/pkg/FR-2020-04-14/pdf/2020-07789.pdf Notice - 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 Thereunder https://regulations.justia.com/regulations/fedreg/2020/04/14/2020-07788.html https://regulations.justia.com/regulations/fedreg/2020/04/14/2020-07788.html Tue, 14 Apr 2020 00:00:00 -0700 2020-07788 Notice https://www.govinfo.gov/content/pkg/FR-2020-04-14/pdf/2020-07788.pdf Notice - 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. https://regulations.justia.com/regulations/fedreg/2020/04/14/2020-07781.html https://regulations.justia.com/regulations/fedreg/2020/04/14/2020-07781.html Tue, 14 Apr 2020 00:00:00 -0700 2020-07781 Notice https://www.govinfo.gov/content/pkg/FR-2020-04-14/pdf/2020-07781.pdf Notice - 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. https://regulations.justia.com/regulations/fedreg/2020/04/14/2020-07780.html https://regulations.justia.com/regulations/fedreg/2020/04/14/2020-07780.html Tue, 14 Apr 2020 00:00:00 -0700 2020-07780 Notice https://www.govinfo.gov/content/pkg/FR-2020-04-14/pdf/2020-07780.pdf Notice - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend its Price List To Respond to the Current Volatile Market Environment That Has Resulted in Unprecedented Average Daily Volumes and the Temporary Closure of the Trading Floor https://regulations.justia.com/regulations/fedreg/2020/04/14/2020-07779.html https://regulations.justia.com/regulations/fedreg/2020/04/14/2020-07779.html Tue, 14 Apr 2020 00:00:00 -0700 2020-07779 Notice https://www.govinfo.gov/content/pkg/FR-2020-04-14/pdf/2020-07779.pdf Notice - 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. https://regulations.justia.com/regulations/fedreg/2020/04/14/2020-07778.html https://regulations.justia.com/regulations/fedreg/2020/04/14/2020-07778.html Tue, 14 Apr 2020 00:00:00 -0700 2020-07778 Notice https://www.govinfo.gov/content/pkg/FR-2020-04-14/pdf/2020-07778.pdf Notice - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing of a Proposed Rule Change To Address Brokers With a Significant History of Misconduct https://regulations.justia.com/regulations/fedreg/2020/04/14/2020-07777.html https://regulations.justia.com/regulations/fedreg/2020/04/14/2020-07777.html Tue, 14 Apr 2020 00:00:00 -0700 2020-07777 Notice https://www.govinfo.gov/content/pkg/FR-2020-04-14/pdf/2020-07777.pdf Notice - 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 11.13 https://regulations.justia.com/regulations/fedreg/2020/04/14/2020-07776.html https://regulations.justia.com/regulations/fedreg/2020/04/14/2020-07776.html Tue, 14 Apr 2020 00:00:00 -0700 2020-07776 Notice https://www.govinfo.gov/content/pkg/FR-2020-04-14/pdf/2020-07776.pdf Notice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Modify the NYSE Arca Options Fee Schedule https://regulations.justia.com/regulations/fedreg/2020/04/14/2020-07775.html https://regulations.justia.com/regulations/fedreg/2020/04/14/2020-07775.html Tue, 14 Apr 2020 00:00:00 -0700 2020-07775 Notice https://www.govinfo.gov/content/pkg/FR-2020-04-14/pdf/2020-07775.pdf Notice - Self-Regulatory Organizations; NYSE American LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Modify the NYSE American Options Fee Schedule https://regulations.justia.com/regulations/fedreg/2020/04/14/2020-07774.html https://regulations.justia.com/regulations/fedreg/2020/04/14/2020-07774.html Tue, 14 Apr 2020 00:00:00 -0700 2020-07774 Notice https://www.govinfo.gov/content/pkg/FR-2020-04-14/pdf/2020-07774.pdf Notice - Self-Regulatory Organizations; NYSE American LLC; Notice of Filing and Immediate Effectiveness of Proposed Change To Modify the NYSE American Options Fee Schedule https://regulations.justia.com/regulations/fedreg/2020/04/14/2020-07773.html https://regulations.justia.com/regulations/fedreg/2020/04/14/2020-07773.html Tue, 14 Apr 2020 00:00:00 -0700 2020-07773 Notice https://www.govinfo.gov/content/pkg/FR-2020-04-14/pdf/2020-07773.pdf Notice - 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 7.10 https://regulations.justia.com/regulations/fedreg/2020/04/14/2020-07772.html https://regulations.justia.com/regulations/fedreg/2020/04/14/2020-07772.html Tue, 14 Apr 2020 00:00:00 -0700 2020-07772 Notice https://www.govinfo.gov/content/pkg/FR-2020-04-14/pdf/2020-07772.pdf Notice - 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 7.10 https://regulations.justia.com/regulations/fedreg/2020/04/14/2020-07771.html https://regulations.justia.com/regulations/fedreg/2020/04/14/2020-07771.html Tue, 14 Apr 2020 00:00:00 -0700 2020-07771 Notice https://www.govinfo.gov/content/pkg/FR-2020-04-14/pdf/2020-07771.pdf Notice - 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-E https://regulations.justia.com/regulations/fedreg/2020/04/14/2020-07770.html https://regulations.justia.com/regulations/fedreg/2020/04/14/2020-07770.html Tue, 14 Apr 2020 00:00:00 -0700 2020-07770 Notice https://www.govinfo.gov/content/pkg/FR-2020-04-14/pdf/2020-07770.pdf Notice - 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 7.10E https://regulations.justia.com/regulations/fedreg/2020/04/14/2020-07769.html https://regulations.justia.com/regulations/fedreg/2020/04/14/2020-07769.html Tue, 14 Apr 2020 00:00:00 -0700 2020-07769 Notice https://www.govinfo.gov/content/pkg/FR-2020-04-14/pdf/2020-07769.pdf Notice - Self-Regulatory Organizations; The Nasdaq Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Rule 4759 https://regulations.justia.com/regulations/fedreg/2020/04/14/2020-07768.html https://regulations.justia.com/regulations/fedreg/2020/04/14/2020-07768.html Tue, 14 Apr 2020 00:00:00 -0700 2020-07768 Notice https://www.govinfo.gov/content/pkg/FR-2020-04-14/pdf/2020-07768.pdf Notice - 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 Migration https://regulations.justia.com/regulations/fedreg/2020/04/14/2020-07767.html https://regulations.justia.com/regulations/fedreg/2020/04/14/2020-07767.html Tue, 14 Apr 2020 00:00:00 -0700 2020-07767 Notice https://www.govinfo.gov/content/pkg/FR-2020-04-14/pdf/2020-07767.pdf Notice - 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 7.10 https://regulations.justia.com/regulations/fedreg/2020/04/13/2020-07658.html https://regulations.justia.com/regulations/fedreg/2020/04/13/2020-07658.html Mon, 13 Apr 2020 00:00:00 -0700 2020-07658 Notice https://www.govinfo.gov/content/pkg/FR-2020-04-13/pdf/2020-07658.pdf Notice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend the NYSE Arca Options Fee Schedule https://regulations.justia.com/regulations/fedreg/2020/04/13/2020-07657.html https://regulations.justia.com/regulations/fedreg/2020/04/13/2020-07657.html Mon, 13 Apr 2020 00:00:00 -0700 2020-07657 Notice https://www.govinfo.gov/content/pkg/FR-2020-04-13/pdf/2020-07657.pdf Notice - 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 Rules https://regulations.justia.com/regulations/fedreg/2020/04/13/2020-07656.html https://regulations.justia.com/regulations/fedreg/2020/04/13/2020-07656.html Mon, 13 Apr 2020 00:00:00 -0700 2020-07656 Notice https://www.govinfo.gov/content/pkg/FR-2020-04-13/pdf/2020-07656.pdf Notice - Self-Regulatory Organizations; Nasdaq PHLX LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Phlx's Pricing Schedule at Options 7, Section 4 https://regulations.justia.com/regulations/fedreg/2020/04/13/2020-07655.html https://regulations.justia.com/regulations/fedreg/2020/04/13/2020-07655.html Mon, 13 Apr 2020 00:00:00 -0700 2020-07655 Notice https://www.govinfo.gov/content/pkg/FR-2020-04-13/pdf/2020-07655.pdf Notice - Self-Regulatory Organizations; NYSE American LLC; Notice of Filing and Immediate Effectiveness of Proposed Change To Amend the NYSE American Options Fee Schedule https://regulations.justia.com/regulations/fedreg/2020/04/13/2020-07654.html https://regulations.justia.com/regulations/fedreg/2020/04/13/2020-07654.html Mon, 13 Apr 2020 00:00:00 -0700 2020-07654 Notice https://www.govinfo.gov/content/pkg/FR-2020-04-13/pdf/2020-07654.pdf Notice - Self-Regulatory Organizations; Nasdaq PHLX LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Exchange Rules 3301A and 3301B https://regulations.justia.com/regulations/fedreg/2020/04/13/2020-07653.html https://regulations.justia.com/regulations/fedreg/2020/04/13/2020-07653.html Mon, 13 Apr 2020 00:00:00 -0700 2020-07653 Notice https://www.govinfo.gov/content/pkg/FR-2020-04-13/pdf/2020-07653.pdf Notice - 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 Testing https://regulations.justia.com/regulations/fedreg/2020/04/13/2020-07652.html https://regulations.justia.com/regulations/fedreg/2020/04/13/2020-07652.html Mon, 13 Apr 2020 00:00:00 -0700 2020-07652 Notice https://www.govinfo.gov/content/pkg/FR-2020-04-13/pdf/2020-07652.pdf Notice - Self-Regulatory Organizations; LCH SA; Order Approving Proposed Rule Change Relating to Amendments to the Wind Down Plan https://regulations.justia.com/regulations/fedreg/2020/04/13/2020-07651.html https://regulations.justia.com/regulations/fedreg/2020/04/13/2020-07651.html Mon, 13 Apr 2020 00:00:00 -0700 2020-07651 Notice https://www.govinfo.gov/content/pkg/FR-2020-04-13/pdf/2020-07651.pdf Notice - 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 Testing https://regulations.justia.com/regulations/fedreg/2020/04/13/2020-07649.html https://regulations.justia.com/regulations/fedreg/2020/04/13/2020-07649.html Mon, 13 Apr 2020 00:00:00 -0700 2020-07649 Notice https://www.govinfo.gov/content/pkg/FR-2020-04-13/pdf/2020-07649.pdf Notice - Sunshine Act Meetings https://regulations.justia.com/regulations/fedreg/2020/04/10/2020-07750.html https://regulations.justia.com/regulations/fedreg/2020/04/10/2020-07750.html Fri, 10 Apr 2020 00:00:00 -0700 2020-07750 Notice https://www.govinfo.gov/content/pkg/FR-2020-04-10/pdf/2020-07750.pdf Notice - Sunshine Act Meeting; Cancellation https://regulations.justia.com/regulations/fedreg/2020/04/10/2020-07695.html https://regulations.justia.com/regulations/fedreg/2020/04/10/2020-07695.html Fri, 10 Apr 2020 00:00:00 -0700 2020-07695 Notice https://www.govinfo.gov/content/pkg/FR-2020-04-10/pdf/2020-07695.pdf Notice - 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 Conditions https://regulations.justia.com/regulations/fedreg/2020/04/10/2020-07557.html https://regulations.justia.com/regulations/fedreg/2020/04/10/2020-07557.html Fri, 10 Apr 2020 00:00:00 -0700 2020-07557 Notice https://www.govinfo.gov/content/pkg/FR-2020-04-10/pdf/2020-07557.pdf Notice - Self-Regulatory Organizations; Cboe EDGX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the Fee Schedule https://regulations.justia.com/regulations/fedreg/2020/04/10/2020-07553.html https://regulations.justia.com/regulations/fedreg/2020/04/10/2020-07553.html Fri, 10 Apr 2020 00:00:00 -0700 2020-07553 Notice https://www.govinfo.gov/content/pkg/FR-2020-04-10/pdf/2020-07553.pdf Notice - 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 Shares https://regulations.justia.com/regulations/fedreg/2020/04/10/2020-07550.html https://regulations.justia.com/regulations/fedreg/2020/04/10/2020-07550.html Fri, 10 Apr 2020 00:00:00 -0700 2020-07550 Notice https://www.govinfo.gov/content/pkg/FR-2020-04-10/pdf/2020-07550.pdf Notice - 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 ETF https://regulations.justia.com/regulations/fedreg/2020/04/10/2020-07548.html https://regulations.justia.com/regulations/fedreg/2020/04/10/2020-07548.html Fri, 10 Apr 2020 00:00:00 -0700 2020-07548 Notice https://www.govinfo.gov/content/pkg/FR-2020-04-10/pdf/2020-07548.pdf Notice - 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 Sessions https://regulations.justia.com/regulations/fedreg/2020/04/10/2020-07546.html https://regulations.justia.com/regulations/fedreg/2020/04/10/2020-07546.html Fri, 10 Apr 2020 00:00:00 -0700 2020-07546 Notice https://www.govinfo.gov/content/pkg/FR-2020-04-10/pdf/2020-07546.pdf Notice - 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 Shares https://regulations.justia.com/regulations/fedreg/2020/04/09/2020-07446.html https://regulations.justia.com/regulations/fedreg/2020/04/09/2020-07446.html Thu, 09 Apr 2020 00:00:00 -0700 2020-07446 Notice https://www.govinfo.gov/content/pkg/FR-2020-04-09/pdf/2020-07446.pdf Notice - 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 Inoperable https://regulations.justia.com/regulations/fedreg/2020/04/09/2020-07445.html https://regulations.justia.com/regulations/fedreg/2020/04/09/2020-07445.html Thu, 09 Apr 2020 00:00:00 -0700 2020-07445 Notice https://www.govinfo.gov/content/pkg/FR-2020-04-09/pdf/2020-07445.pdf Notice - 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 Shares https://regulations.justia.com/regulations/fedreg/2020/04/09/2020-07444.html https://regulations.justia.com/regulations/fedreg/2020/04/09/2020-07444.html Thu, 09 Apr 2020 00:00:00 -0700 2020-07444 Notice https://www.govinfo.gov/content/pkg/FR-2020-04-09/pdf/2020-07444.pdf Notice - 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 Shares https://regulations.justia.com/regulations/fedreg/2020/04/09/2020-07440.html https://regulations.justia.com/regulations/fedreg/2020/04/09/2020-07440.html Thu, 09 Apr 2020 00:00:00 -0700 2020-07440 Notice https://www.govinfo.gov/content/pkg/FR-2020-04-09/pdf/2020-07440.pdf Notice - Self-Regulatory Organizations; MIAX PEARL, LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Fee Schedule https://regulations.justia.com/regulations/fedreg/2020/04/09/2020-07439.html https://regulations.justia.com/regulations/fedreg/2020/04/09/2020-07439.html Thu, 09 Apr 2020 00:00:00 -0700 2020-07439 Notice https://www.govinfo.gov/content/pkg/FR-2020-04-09/pdf/2020-07439.pdf Notice - 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 Requirement https://regulations.justia.com/regulations/fedreg/2020/04/09/2020-07437.html https://regulations.justia.com/regulations/fedreg/2020/04/09/2020-07437.html Thu, 09 Apr 2020 00:00:00 -0700 2020-07437 Notice https://www.govinfo.gov/content/pkg/FR-2020-04-09/pdf/2020-07437.pdf Notice - 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-2019-014 https://regulations.justia.com/regulations/fedreg/2020/04/09/2020-07436.html https://regulations.justia.com/regulations/fedreg/2020/04/09/2020-07436.html Thu, 09 Apr 2020 00:00:00 -0700 2020-07436 Notice https://www.govinfo.gov/content/pkg/FR-2020-04-09/pdf/2020-07436.pdf Notice - Self-Regulatory Organizations; MIAX Emerald, LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Fee Schedule https://regulations.justia.com/regulations/fedreg/2020/04/09/2020-07435.html https://regulations.justia.com/regulations/fedreg/2020/04/09/2020-07435.html Thu, 09 Apr 2020 00:00:00 -0700 2020-07435 Notice https://www.govinfo.gov/content/pkg/FR-2020-04-09/pdf/2020-07435.pdf Notice - 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 Sessions https://regulations.justia.com/regulations/fedreg/2020/04/09/2020-07434.html https://regulations.justia.com/regulations/fedreg/2020/04/09/2020-07434.html Thu, 09 Apr 2020 00:00:00 -0700 2020-07434 Notice https://www.govinfo.gov/content/pkg/FR-2020-04-09/pdf/2020-07434.pdf Notice - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Add Commentary .03 to Rule 7.35C https://regulations.justia.com/regulations/fedreg/2020/04/09/2020-07433.html https://regulations.justia.com/regulations/fedreg/2020/04/09/2020-07433.html Thu, 09 Apr 2020 00:00:00 -0700 2020-07433 Notice https://www.govinfo.gov/content/pkg/FR-2020-04-09/pdf/2020-07433.pdf Notice - 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 Sessions https://regulations.justia.com/regulations/fedreg/2020/04/09/2020-07432.html https://regulations.justia.com/regulations/fedreg/2020/04/09/2020-07432.html Thu, 09 Apr 2020 00:00:00 -0700 2020-07432 Notice https://www.govinfo.gov/content/pkg/FR-2020-04-09/pdf/2020-07432.pdf Rule - Accelerated Filer and Large Accelerated Filer Definitions; Correction https://regulations.justia.com/regulations/fedreg/2020/04/09/2020-06926.html https://regulations.justia.com/regulations/fedreg/2020/04/09/2020-06926.html Thu, 09 Apr 2020 00:00:00 -0700 2020-06926 Rule https://www.govinfo.gov/content/pkg/FR-2020-04-09/pdf/2020-06926.pdf Notice - 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 Offering https://regulations.justia.com/regulations/fedreg/2020/04/08/2020-07335.html https://regulations.justia.com/regulations/fedreg/2020/04/08/2020-07335.html Wed, 08 Apr 2020 00:00:00 -0700 2020-07335 Notice https://www.govinfo.gov/content/pkg/FR-2020-04-08/pdf/2020-07335.pdf Notice - Self-Regulatory Organizations; ICE Clear Credit LLC; Notice of Filing of Proposed Rule Change, Security-Based Swap Submission, or Advance Notice Relating to the ICC CDS Instrument On-Boarding Policies and Procedures https://regulations.justia.com/regulations/fedreg/2020/04/08/2020-07334.html https://regulations.justia.com/regulations/fedreg/2020/04/08/2020-07334.html Wed, 08 Apr 2020 00:00:00 -0700 2020-07334 Notice https://www.govinfo.gov/content/pkg/FR-2020-04-08/pdf/2020-07334.pdf Notice - Self-Regulatory Organizations; Miami International Securities Exchange, LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Temporarily Extend Certain Filing Requirements https://regulations.justia.com/regulations/fedreg/2020/04/08/2020-07333.html https://regulations.justia.com/regulations/fedreg/2020/04/08/2020-07333.html Wed, 08 Apr 2020 00:00:00 -0700 2020-07333 Notice https://www.govinfo.gov/content/pkg/FR-2020-04-08/pdf/2020-07333.pdf Notice - 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 Facilities https://regulations.justia.com/regulations/fedreg/2020/04/08/2020-07332.html https://regulations.justia.com/regulations/fedreg/2020/04/08/2020-07332.html Wed, 08 Apr 2020 00:00:00 -0700 2020-07332 Notice https://www.govinfo.gov/content/pkg/FR-2020-04-08/pdf/2020-07332.pdf Notice - 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 10.9217 https://regulations.justia.com/regulations/fedreg/2020/04/07/2020-07234.html https://regulations.justia.com/regulations/fedreg/2020/04/07/2020-07234.html Tue, 07 Apr 2020 00:00:00 -0700 2020-07234 Notice https://www.govinfo.gov/content/pkg/FR-2020-04-07/pdf/2020-07234.pdf Notice - 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 Services https://regulations.justia.com/regulations/fedreg/2020/04/07/2020-07233.html https://regulations.justia.com/regulations/fedreg/2020/04/07/2020-07233.html Tue, 07 Apr 2020 00:00:00 -0700 2020-07233 Notice https://www.govinfo.gov/content/pkg/FR-2020-04-07/pdf/2020-07233.pdf Notice - 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 Centers https://regulations.justia.com/regulations/fedreg/2020/04/07/2020-07232.html https://regulations.justia.com/regulations/fedreg/2020/04/07/2020-07232.html Tue, 07 Apr 2020 00:00:00 -0700 2020-07232 Notice https://www.govinfo.gov/content/pkg/FR-2020-04-07/pdf/2020-07232.pdf Notice - 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 Feed https://regulations.justia.com/regulations/fedreg/2020/04/07/2020-07231.html https://regulations.justia.com/regulations/fedreg/2020/04/07/2020-07231.html Tue, 07 Apr 2020 00:00:00 -0700 2020-07231 Notice https://www.govinfo.gov/content/pkg/FR-2020-04-07/pdf/2020-07231.pdf Notice - Self-Regulatory Organizations; ICE Clear Credit LLC; Notice of Filing of Proposed Rule Change Relating to the Clearance of Additional Credit Default Swap Contracts https://regulations.justia.com/regulations/fedreg/2020/04/07/2020-07230.html https://regulations.justia.com/regulations/fedreg/2020/04/07/2020-07230.html Tue, 07 Apr 2020 00:00:00 -0700 2020-07230 Notice https://www.govinfo.gov/content/pkg/FR-2020-04-07/pdf/2020-07230.pdf Notice - 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 Exchange https://regulations.justia.com/regulations/fedreg/2020/04/07/2020-07229.html https://regulations.justia.com/regulations/fedreg/2020/04/07/2020-07229.html Tue, 07 Apr 2020 00:00:00 -0700 2020-07229 Notice https://www.govinfo.gov/content/pkg/FR-2020-04-07/pdf/2020-07229.pdf Notice - 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-E https://regulations.justia.com/regulations/fedreg/2020/04/07/2020-07228.html https://regulations.justia.com/regulations/fedreg/2020/04/07/2020-07228.html Tue, 07 Apr 2020 00:00:00 -0700 2020-07228 Notice https://www.govinfo.gov/content/pkg/FR-2020-04-07/pdf/2020-07228.pdf Notice - 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-E https://regulations.justia.com/regulations/fedreg/2020/04/07/2020-07227.html https://regulations.justia.com/regulations/fedreg/2020/04/07/2020-07227.html Tue, 07 Apr 2020 00:00:00 -0700 2020-07227 Notice https://www.govinfo.gov/content/pkg/FR-2020-04-07/pdf/2020-07227.pdf Notice - 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-E https://regulations.justia.com/regulations/fedreg/2020/04/07/2020-07226.html https://regulations.justia.com/regulations/fedreg/2020/04/07/2020-07226.html Tue, 07 Apr 2020 00:00:00 -0700 2020-07226 Notice https://www.govinfo.gov/content/pkg/FR-2020-04-07/pdf/2020-07226.pdf Notice - 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 Program https://regulations.justia.com/regulations/fedreg/2020/04/07/2020-07224.html https://regulations.justia.com/regulations/fedreg/2020/04/07/2020-07224.html Tue, 07 Apr 2020 00:00:00 -0700 2020-07224 Notice https://www.govinfo.gov/content/pkg/FR-2020-04-07/pdf/2020-07224.pdf Notice - Sunshine Act Meetings https://regulations.justia.com/regulations/fedreg/2020/04/06/2020-07260.html https://regulations.justia.com/regulations/fedreg/2020/04/06/2020-07260.html Mon, 06 Apr 2020 00:00:00 -0700 2020-07260 Notice https://www.govinfo.gov/content/pkg/FR-2020-04-06/pdf/2020-07260.pdf Notice - Sunshine Act Meetings https://regulations.justia.com/regulations/fedreg/2020/04/06/2020-07259.html https://regulations.justia.com/regulations/fedreg/2020/04/06/2020-07259.html Mon, 06 Apr 2020 00:00:00 -0700 2020-07259 Notice https://www.govinfo.gov/content/pkg/FR-2020-04-06/pdf/2020-07259.pdf Notice - Sunshine Act Meetings https://regulations.justia.com/regulations/fedreg/2020/04/06/2020-07206.html https://regulations.justia.com/regulations/fedreg/2020/04/06/2020-07206.html Mon, 06 Apr 2020 00:00:00 -0700 2020-07206 Notice https://www.govinfo.gov/content/pkg/FR-2020-04-06/pdf/2020-07206.pdf Notice - Self-Regulatory Organizations; Cboe Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating To Amend Rule 5.24 https://regulations.justia.com/regulations/fedreg/2020/04/06/2020-07090.html https://regulations.justia.com/regulations/fedreg/2020/04/06/2020-07090.html Mon, 06 Apr 2020 00:00:00 -0700 2020-07090 Notice https://www.govinfo.gov/content/pkg/FR-2020-04-06/pdf/2020-07090.pdf Notice - 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, 2020 https://regulations.justia.com/regulations/fedreg/2020/04/06/2020-07084.html https://regulations.justia.com/regulations/fedreg/2020/04/06/2020-07084.html Mon, 06 Apr 2020 00:00:00 -0700 2020-07084 Notice https://www.govinfo.gov/content/pkg/FR-2020-04-06/pdf/2020-07084.pdf Notice - Self-Regulatory Organizations; Nasdaq PHLX LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Temporarily Extend Certain Filing Requirements https://regulations.justia.com/regulations/fedreg/2020/04/06/2020-07083.html https://regulations.justia.com/regulations/fedreg/2020/04/06/2020-07083.html Mon, 06 Apr 2020 00:00:00 -0700 2020-07083 Notice https://www.govinfo.gov/content/pkg/FR-2020-04-06/pdf/2020-07083.pdf Notice - Self-Regulatory Organizations; Cboe Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating To Amend Its Fees Schedule https://regulations.justia.com/regulations/fedreg/2020/04/06/2020-07082.html https://regulations.justia.com/regulations/fedreg/2020/04/06/2020-07082.html Mon, 06 Apr 2020 00:00:00 -0700 2020-07082 Notice https://www.govinfo.gov/content/pkg/FR-2020-04-06/pdf/2020-07082.pdf Notice - 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 Credit https://regulations.justia.com/regulations/fedreg/2020/04/06/2020-07081.html https://regulations.justia.com/regulations/fedreg/2020/04/06/2020-07081.html Mon, 06 Apr 2020 00:00:00 -0700 2020-07081 Notice https://www.govinfo.gov/content/pkg/FR-2020-04-06/pdf/2020-07081.pdf Notice - 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, 2020 https://regulations.justia.com/regulations/fedreg/2020/04/06/2020-07080.html https://regulations.justia.com/regulations/fedreg/2020/04/06/2020-07080.html Mon, 06 Apr 2020 00:00:00 -0700 2020-07080 Notice https://www.govinfo.gov/content/pkg/FR-2020-04-06/pdf/2020-07080.pdf Notice - 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” Fee https://regulations.justia.com/regulations/fedreg/2020/04/06/2020-07079.html https://regulations.justia.com/regulations/fedreg/2020/04/06/2020-07079.html Mon, 06 Apr 2020 00:00:00 -0700 2020-07079 Notice https://www.govinfo.gov/content/pkg/FR-2020-04-06/pdf/2020-07079.pdf Notice - 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” Fee https://regulations.justia.com/regulations/fedreg/2020/04/06/2020-07078.html https://regulations.justia.com/regulations/fedreg/2020/04/06/2020-07078.html Mon, 06 Apr 2020 00:00:00 -0700 2020-07078 Notice https://www.govinfo.gov/content/pkg/FR-2020-04-06/pdf/2020-07078.pdf Notice - 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” Fee https://regulations.justia.com/regulations/fedreg/2020/04/06/2020-07077.html https://regulations.justia.com/regulations/fedreg/2020/04/06/2020-07077.html Mon, 06 Apr 2020 00:00:00 -0700 2020-07077 Notice https://www.govinfo.gov/content/pkg/FR-2020-04-06/pdf/2020-07077.pdf Notice - 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” Fee https://regulations.justia.com/regulations/fedreg/2020/04/06/2020-07076.html https://regulations.justia.com/regulations/fedreg/2020/04/06/2020-07076.html Mon, 06 Apr 2020 00:00:00 -0700 2020-07076 Notice https://www.govinfo.gov/content/pkg/FR-2020-04-06/pdf/2020-07076.pdf Notice - 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 LLC https://regulations.justia.com/regulations/fedreg/2020/04/06/2020-07075.html https://regulations.justia.com/regulations/fedreg/2020/04/06/2020-07075.html Mon, 06 Apr 2020 00:00:00 -0700 2020-07075 Notice https://www.govinfo.gov/content/pkg/FR-2020-04-06/pdf/2020-07075.pdf Notice - 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” Fee https://regulations.justia.com/regulations/fedreg/2020/04/06/2020-07073.html https://regulations.justia.com/regulations/fedreg/2020/04/06/2020-07073.html Mon, 06 Apr 2020 00:00:00 -0700 2020-07073 Notice https://www.govinfo.gov/content/pkg/FR-2020-04-06/pdf/2020-07073.pdf Notice - Proposed Collection; Comment Request https://regulations.justia.com/regulations/fedreg/2020/04/03/2020-07025.html https://regulations.justia.com/regulations/fedreg/2020/04/03/2020-07025.html Fri, 03 Apr 2020 00:00:00 -0700 2020-07025 Notice https://www.govinfo.gov/content/pkg/FR-2020-04-03/pdf/2020-07025.pdf Notice - Proposed Collection; Comment Request https://regulations.justia.com/regulations/fedreg/2020/04/03/2020-07024.html https://regulations.justia.com/regulations/fedreg/2020/04/03/2020-07024.html Fri, 03 Apr 2020 00:00:00 -0700 2020-07024 Notice https://www.govinfo.gov/content/pkg/FR-2020-04-03/pdf/2020-07024.pdf Notice - Proposed Collection; Comment Request https://regulations.justia.com/regulations/fedreg/2020/04/03/2020-07023.html https://regulations.justia.com/regulations/fedreg/2020/04/03/2020-07023.html Fri, 03 Apr 2020 00:00:00 -0700 2020-07023 Notice https://www.govinfo.gov/content/pkg/FR-2020-04-03/pdf/2020-07023.pdf Notice - Proposed Collection; Comment Request https://regulations.justia.com/regulations/fedreg/2020/04/03/2020-07022.html https://regulations.justia.com/regulations/fedreg/2020/04/03/2020-07022.html Fri, 03 Apr 2020 00:00:00 -0700 2020-07022 Notice https://www.govinfo.gov/content/pkg/FR-2020-04-03/pdf/2020-07022.pdf Notice - 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 Supervision https://regulations.justia.com/regulations/fedreg/2020/04/03/2020-06959.html https://regulations.justia.com/regulations/fedreg/2020/04/03/2020-06959.html Fri, 03 Apr 2020 00:00:00 -0700 2020-06959 Notice https://www.govinfo.gov/content/pkg/FR-2020-04-03/pdf/2020-06959.pdf Notice - 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 Securities https://regulations.justia.com/regulations/fedreg/2020/04/03/2020-06958.html https://regulations.justia.com/regulations/fedreg/2020/04/03/2020-06958.html Fri, 03 Apr 2020 00:00:00 -0700 2020-06958 Notice https://www.govinfo.gov/content/pkg/FR-2020-04-03/pdf/2020-06958.pdf Notice - Self-Regulatory Organizations; National Securities Clearing Corporation; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Revise the Clearing Agency Investment Policy https://regulations.justia.com/regulations/fedreg/2020/04/03/2020-06957.html https://regulations.justia.com/regulations/fedreg/2020/04/03/2020-06957.html Fri, 03 Apr 2020 00:00:00 -0700 2020-06957 Notice https://www.govinfo.gov/content/pkg/FR-2020-04-03/pdf/2020-06957.pdf Notice - Self-Regulatory Organizations; The Depository Trust Company; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Revise the Clearing Agency Investment Policy https://regulations.justia.com/regulations/fedreg/2020/04/03/2020-06956.html https://regulations.justia.com/regulations/fedreg/2020/04/03/2020-06956.html Fri, 03 Apr 2020 00:00:00 -0700 2020-06956 Notice https://www.govinfo.gov/content/pkg/FR-2020-04-03/pdf/2020-06956.pdf Notice - Self-Regulatory Organizations; Fixed Income Clearing Corporation; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Revise the Clearing Agency Investment Policy https://regulations.justia.com/regulations/fedreg/2020/04/03/2020-06955.html https://regulations.justia.com/regulations/fedreg/2020/04/03/2020-06955.html Fri, 03 Apr 2020 00:00:00 -0700 2020-06955 Notice https://www.govinfo.gov/content/pkg/FR-2020-04-03/pdf/2020-06955.pdf Notice - 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 Fees https://regulations.justia.com/regulations/fedreg/2020/04/03/2020-06954.html https://regulations.justia.com/regulations/fedreg/2020/04/03/2020-06954.html Fri, 03 Apr 2020 00:00:00 -0700 2020-06954 Notice https://www.govinfo.gov/content/pkg/FR-2020-04-03/pdf/2020-06954.pdf Notice - Self-Regulatory Organizations; Nasdaq PHLX LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Phlx Rule 3312 https://regulations.justia.com/regulations/fedreg/2020/04/02/2020-06858.html https://regulations.justia.com/regulations/fedreg/2020/04/02/2020-06858.html Thu, 02 Apr 2020 00:00:00 -0700 2020-06858 Notice https://www.govinfo.gov/content/pkg/FR-2020-04-02/pdf/2020-06858.pdf Notice - 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 Editor https://regulations.justia.com/regulations/fedreg/2020/04/02/2020-06857.html https://regulations.justia.com/regulations/fedreg/2020/04/02/2020-06857.html Thu, 02 Apr 2020 00:00:00 -0700 2020-06857 Notice https://www.govinfo.gov/content/pkg/FR-2020-04-02/pdf/2020-06857.pdf Notice - 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-Limit https://regulations.justia.com/regulations/fedreg/2020/04/02/2020-06856.html https://regulations.justia.com/regulations/fedreg/2020/04/02/2020-06856.html Thu, 02 Apr 2020 00:00:00 -0700 2020-06856 Notice https://www.govinfo.gov/content/pkg/FR-2020-04-02/pdf/2020-06856.pdf Notice - 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, 2020 https://regulations.justia.com/regulations/fedreg/2020/04/02/2020-06855.html https://regulations.justia.com/regulations/fedreg/2020/04/02/2020-06855.html Thu, 02 Apr 2020 00:00:00 -0700 2020-06855 Notice https://www.govinfo.gov/content/pkg/FR-2020-04-02/pdf/2020-06855.pdf