Federal Register Recent Federal Regulation Documents - Justia Regulation Tracker - Justia Regulations Trackerhttps://regulations.justia.com/regulations/fedreg/agencies/securities-and-exchange-commission/2020/05?limit=200®isters=between&min-day=1&max-day=31&mode=atom2024-05-02T20:29:42-07:00Justia Inchttps://www.justia.com/Justia Regulations Trackerhttps://regulations.justia.com/images/justiafedregulations.gifCopyright 2011 Justia Inchttps://regulations.justia.com/regulations/fedreg/2020/05/29/2020-11714.htmlNotice - Sunshine Act Meeting; Cancellation2020-05-29T00:00:00-07:002020-05-29T00:00:00-07:002020-11714Noticehttps://www.govinfo.gov/content/pkg/FR-2020-05-29/pdf/2020-11714.pdfhttps://regulations.justia.com/regulations/fedreg/2020/05/29/2020-11596.htmlNotice - Proposed Collection; Comment Request2020-05-29T00:00:00-07:002020-05-29T00:00:00-07:002020-11596Noticehttps://www.govinfo.gov/content/pkg/FR-2020-05-29/pdf/2020-11596.pdfhttps://regulations.justia.com/regulations/fedreg/2020/05/29/2020-11595.htmlNotice - Submission for OMB Review; Comment Request2020-05-29T00:00:00-07:002020-05-29T00:00:00-07:002020-11595Noticehttps://www.govinfo.gov/content/pkg/FR-2020-05-29/pdf/2020-11595.pdfhttps://regulations.justia.com/regulations/fedreg/2020/05/29/2020-11594.htmlNotice - Proposed Collection; Comment Request2020-05-29T00:00:00-07:002020-05-29T00:00:00-07:002020-11594Noticehttps://www.govinfo.gov/content/pkg/FR-2020-05-29/pdf/2020-11594.pdfhttps://regulations.justia.com/regulations/fedreg/2020/05/29/2020-11593.htmlNotice - Proposed Collection; Comment Request2020-05-29T00:00:00-07:002020-05-29T00:00:00-07:002020-11593Noticehttps://www.govinfo.gov/content/pkg/FR-2020-05-29/pdf/2020-11593.pdfhttps://regulations.justia.com/regulations/fedreg/2020/05/29/2020-11592.htmlNotice - Submission for OMB Review; Comment Request2020-05-29T00:00:00-07:002020-05-29T00:00:00-07:002020-11592Noticehttps://www.govinfo.gov/content/pkg/FR-2020-05-29/pdf/2020-11592.pdfhttps://regulations.justia.com/regulations/fedreg/2020/05/28/2020-11475.htmlNotice - Self-Regulatory Organizations; BOX Exchange LLC; Order Granting Approval of a Proposed Rule Change To Amend the Provisions of the Limited Liability Company Agreement and Bylaws2020-05-28T00:00:00-07:002020-05-28T00:00:00-07:002020-11475Noticehttps://www.govinfo.gov/content/pkg/FR-2020-05-28/pdf/2020-11475.pdfhttps://regulations.justia.com/regulations/fedreg/2020/05/28/2020-11474.htmlNotice - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Extend the Temporary Period for Specified Commentaries to Rules 7.35, 7.35A, 7.35B, and 7.35C2020-05-28T00:00:00-07:002020-05-28T00:00:00-07:002020-11474Noticehttps://www.govinfo.gov/content/pkg/FR-2020-05-28/pdf/2020-11474.pdfhttps://regulations.justia.com/regulations/fedreg/2020/05/28/2020-11473.htmlNotice - Self-Regulatory Organizations; The Nasdaq Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Make Certain Amendments To Eliminate the Requirement That the Intraday Indicative Value Be Disseminated for Certain Series of Index Fund Shares and All Series of Managed Fund Shares2020-05-28T00:00:00-07:002020-05-28T00:00:00-07:002020-11473Noticehttps://www.govinfo.gov/content/pkg/FR-2020-05-28/pdf/2020-11473.pdfhttps://regulations.justia.com/regulations/fedreg/2020/05/28/2020-11405.htmlNotice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending the NYSE Arca Equities Fees and Charges to Institute Ratio Threshold Fees2020-05-28T00:00:00-07:002020-05-28T00:00:00-07:002020-11405Noticehttps://www.govinfo.gov/content/pkg/FR-2020-05-28/pdf/2020-11405.pdfhttps://regulations.justia.com/regulations/fedreg/2020/05/28/2020-11404.htmlNotice - Self-Regulatory Organizations; ICE Clear Credit LLC; Order Approving Proposed Rule Change Relating to the Clearance of Additional Credit Default Swap Contracts2020-05-28T00:00:00-07:002020-05-28T00:00:00-07:002020-11404Noticehttps://www.govinfo.gov/content/pkg/FR-2020-05-28/pdf/2020-11404.pdfhttps://regulations.justia.com/regulations/fedreg/2020/05/28/2020-11403.htmlNotice - Self-Regulatory Organizations; ICE Clear Europe Limited; Notice of Filing of Proposed Rule Change, as Modified by Partial Amendment No. 1, Relating to the ICE Clear Europe Auction Terms for CDS Default Auctions and CDS Default Management Policy (formerly the CDS Default Management Framework).2020-05-28T00:00:00-07:002020-05-28T00:00:00-07:002020-11403Noticehttps://www.govinfo.gov/content/pkg/FR-2020-05-28/pdf/2020-11403.pdfhttps://regulations.justia.com/regulations/fedreg/2020/05/28/2020-11402.htmlNotice - Self-Regulatory Organizations; ICE Clear Credit LLC; Order Approving Proposed Rule Change Relating to ICC's Treasury Operations Policies and Procedures2020-05-28T00:00:00-07:002020-05-28T00:00:00-07:002020-11402Noticehttps://www.govinfo.gov/content/pkg/FR-2020-05-28/pdf/2020-11402.pdfhttps://regulations.justia.com/regulations/fedreg/2020/05/28/2020-11401.htmlNotice - Self-Regulatory Organizations; ICE Clear Credit LLC; Order Approving Proposed Rule Change Relating to the ICC CDS Instrument On-Boarding Policies and Procedures2020-05-28T00:00:00-07:002020-05-28T00:00:00-07:002020-11401Noticehttps://www.govinfo.gov/content/pkg/FR-2020-05-28/pdf/2020-11401.pdfhttps://regulations.justia.com/regulations/fedreg/2020/05/28/2020-11400.htmlNotice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing of Amendment No. 2 and Order Granting Accelerated Approval of a Proposed Rule Change, as Modified by Amendment No. 2, to List and Trade Shares of the SPDR SSGA Responsible Reserves ESG ETF under NYSE Arca Rule 8.600-E2020-05-28T00:00:00-07:002020-05-28T00:00:00-07:002020-11400Noticehttps://www.govinfo.gov/content/pkg/FR-2020-05-28/pdf/2020-11400.pdfhttps://regulations.justia.com/regulations/fedreg/2020/05/28/2020-11399.htmlNotice - Self-Regulatory Organizations; Cboe Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to the Debit/Credit Price Reasonability Check2020-05-28T00:00:00-07:002020-05-28T00:00:00-07:002020-11399Noticehttps://www.govinfo.gov/content/pkg/FR-2020-05-28/pdf/2020-11399.pdfhttps://regulations.justia.com/regulations/fedreg/2020/05/27/2020-11411.htmlNotice - Sunshine Act Meetings2020-05-27T00:00:00-07:002020-05-27T00:00:00-07:002020-11411Noticehttps://www.govinfo.gov/content/pkg/FR-2020-05-27/pdf/2020-11411.pdfhttps://regulations.justia.com/regulations/fedreg/2020/05/27/2020-11287.htmlNotice - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Temporarily Amend Certain Timing, Method of Service and Other Procedural Requirements in FINRA Rules During the Outbreak of the Coronavirus Disease (COVID-19)2020-05-27T00:00:00-07:002020-05-27T00:00:00-07:002020-11287Noticehttps://www.govinfo.gov/content/pkg/FR-2020-05-27/pdf/2020-11287.pdfhttps://regulations.justia.com/regulations/fedreg/2020/05/27/2020-11286.htmlNotice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Representations Relating to the Redemption Procedures Applicable to the Sprott Physical Gold Trust and the Sprott Physical Silver Trust2020-05-27T00:00:00-07:002020-05-27T00:00:00-07:002020-11286Noticehttps://www.govinfo.gov/content/pkg/FR-2020-05-27/pdf/2020-11286.pdfhttps://regulations.justia.com/regulations/fedreg/2020/05/27/2020-11285.htmlNotice - Self-Regulatory Organizations; The Depository Trust Company; Fixed Income Clearing Corporation; National Securities Clearing Corporation; Order Approving a Proposed Rule Change To Modify the Clearing Agency Model Risk Management Framework2020-05-27T00:00:00-07:002020-05-27T00:00:00-07:002020-11285Noticehttps://www.govinfo.gov/content/pkg/FR-2020-05-27/pdf/2020-11285.pdfhttps://regulations.justia.com/regulations/fedreg/2020/05/27/2020-11284.htmlNotice - Self-Regulatory Organizations; Fixed Income Clearing Corporation; Order Approving a Proposed Rule Change To Amend the Government Securities Division Rulebook Relating to the Legal Entity Identifier Requirement2020-05-27T00:00:00-07:002020-05-27T00:00:00-07:002020-11284Noticehttps://www.govinfo.gov/content/pkg/FR-2020-05-27/pdf/2020-11284.pdfhttps://regulations.justia.com/regulations/fedreg/2020/05/27/2020-11283.htmlNotice - Program for Allocation of Regulatory Responsibilities Pursuant to Rule 17d-2; Notice of Filing of Proposed Plan for the Allocation of Regulatory Responsibilities Between the Financial Industry Regulatory Authority, Inc. and MEMX LLC2020-05-27T00:00:00-07:002020-05-27T00:00:00-07:002020-11283Noticehttps://www.govinfo.gov/content/pkg/FR-2020-05-27/pdf/2020-11283.pdfhttps://regulations.justia.com/regulations/fedreg/2020/05/26/2020-11290.htmlNotice - Sunshine Act Meetings2020-05-26T00:00:00-07:002020-05-26T00:00:00-07:002020-11290Noticehttps://www.govinfo.gov/content/pkg/FR-2020-05-26/pdf/2020-11290.pdfhttps://regulations.justia.com/regulations/fedreg/2020/05/26/2020-11253.htmlNotice - Notice of Intention To Cancel Registration Pursuant to Section 203(H) of the Investment Advisers Act of 19402020-05-26T00:00:00-07:002020-05-26T00:00:00-07:002020-11253Noticehttps://www.govinfo.gov/content/pkg/FR-2020-05-26/pdf/2020-11253.pdfhttps://regulations.justia.com/regulations/fedreg/2020/05/26/2020-11139.htmlNotice - Sutter Rock Capital Corp.2020-05-26T00:00:00-07:002020-05-26T00:00:00-07:002020-11139Noticehttps://www.govinfo.gov/content/pkg/FR-2020-05-26/pdf/2020-11139.pdfhttps://regulations.justia.com/regulations/fedreg/2020/05/26/2020-11138.htmlNotice - Self-Regulatory Organizations; ICE Clear Europe Limited; Notice of Filing and Immediate Effectiveness of Proposed Rule Change, Security-Based Swap Submission or Advance Notice Relating to Amendments to the ICE Clear Europe Auction Terms for F&O Default Auctions and F&O Default Management Policy (Formerly the F&O Default Management Framework)2020-05-26T00:00:00-07:002020-05-26T00:00:00-07:002020-11138Noticehttps://www.govinfo.gov/content/pkg/FR-2020-05-26/pdf/2020-11138.pdfhttps://regulations.justia.com/regulations/fedreg/2020/05/26/2020-11137.htmlNotice - Self-Regulatory Organizations; ICE Clear Europe Limited; Notice of Filing of Proposed Rule Change, Security-Based Swap Submission or Advance Notice Relating to the ICE Clear Europe Investment Management Procedures and Treasury and Banking Services Policy (To Be Renamed Liquidity and Investment Management Policy)2020-05-26T00:00:00-07:002020-05-26T00:00:00-07:002020-11137Noticehttps://www.govinfo.gov/content/pkg/FR-2020-05-26/pdf/2020-11137.pdfhttps://regulations.justia.com/regulations/fedreg/2020/05/26/2020-11136.htmlNotice - Self-Regulatory Organizations; NYSE National, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Its Rules To Add New Rule 7.192020-05-26T00:00:00-07:002020-05-26T00:00:00-07:002020-11136Noticehttps://www.govinfo.gov/content/pkg/FR-2020-05-26/pdf/2020-11136.pdfhttps://regulations.justia.com/regulations/fedreg/2020/05/26/2020-11135.htmlNotice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Its Rules To Add New Rule 7.19-E2020-05-26T00:00:00-07:002020-05-26T00:00:00-07:002020-11135Noticehttps://www.govinfo.gov/content/pkg/FR-2020-05-26/pdf/2020-11135.pdfhttps://regulations.justia.com/regulations/fedreg/2020/05/26/2020-11134.htmlNotice - Self-Regulatory Organizations; NYSE Chicago, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Its Rules To Add New Rule 7.192020-05-26T00:00:00-07:002020-05-26T00:00:00-07:002020-11134Noticehttps://www.govinfo.gov/content/pkg/FR-2020-05-26/pdf/2020-11134.pdfhttps://regulations.justia.com/regulations/fedreg/2020/05/26/2020-11133.htmlNotice - Self-Regulatory Organizations; Cboe BYX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Certain Rules in Connection With the Exchange's Disciplinary Process2020-05-26T00:00:00-07:002020-05-26T00:00:00-07:002020-11133Noticehttps://www.govinfo.gov/content/pkg/FR-2020-05-26/pdf/2020-11133.pdfhttps://regulations.justia.com/regulations/fedreg/2020/05/22/2020-11216.htmlNotice - Sunshine Act Meeting; Cancellation2020-05-22T00:00:00-07:002020-05-22T00:00:00-07:002020-11216Noticehttps://www.govinfo.gov/content/pkg/FR-2020-05-22/pdf/2020-11216.pdfhttps://regulations.justia.com/regulations/fedreg/2020/05/22/2020-11143.htmlNotice - Sunshine Act Meetings2020-05-22T00:00:00-07:002020-05-22T00:00:00-07:002020-11143Noticehttps://www.govinfo.gov/content/pkg/FR-2020-05-22/pdf/2020-11143.pdfhttps://regulations.justia.com/regulations/fedreg/2020/05/22/2020-11122.htmlNotice - Self-Regulatory Organizations; The Options Clearing Corporation; Notice of Filing of Advance Notice Concerning Changes to The Options Clearing Corporation's Non-Bank Liquidity Facility Program as Part of Its Overall Liquidity Plan2020-05-22T00:00:00-07:002020-05-22T00:00:00-07:002020-11122Noticehttps://www.govinfo.gov/content/pkg/FR-2020-05-22/pdf/2020-11122.pdfhttps://regulations.justia.com/regulations/fedreg/2020/05/22/2020-11045.htmlNotice - Self-Regulatory Organizations; New York Stock Exchange LLC, NYSE American LLC, NYSE Arca, Inc., NYSE Chicago, Inc., and NYSE National, Inc.; Order Instituting Proceedings To Determine Whether To Approve or Disapprove Proposed Rule Changes To Establish a Wireless Fee Schedule Setting Forth Available Wireless Bandwidth Connections and Wireless Market Data Connections and Associated Fees2020-05-22T00:00:00-07:002020-05-22T00:00:00-07:002020-11045Noticehttps://www.govinfo.gov/content/pkg/FR-2020-05-22/pdf/2020-11045.pdfhttps://regulations.justia.com/regulations/fedreg/2020/05/22/2020-11044.htmlNotice - Self-Regulatory Organizations; Cboe EDGX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Certain Rules in Connection With the Exchange's Disciplinary Process2020-05-22T00:00:00-07:002020-05-22T00:00:00-07:002020-11044Noticehttps://www.govinfo.gov/content/pkg/FR-2020-05-22/pdf/2020-11044.pdfhttps://regulations.justia.com/regulations/fedreg/2020/05/22/2020-11043.htmlNotice - Self-Regulatory Organizations; Cboe EDGA Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Certain Rules in Connection With the Exchange's Disciplinary Process2020-05-22T00:00:00-07:002020-05-22T00:00:00-07:002020-11043Noticehttps://www.govinfo.gov/content/pkg/FR-2020-05-22/pdf/2020-11043.pdfhttps://regulations.justia.com/regulations/fedreg/2020/05/22/2020-11042.htmlNotice - Self-Regulatory Organizations; Cboe BZX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Certain Rules in Connection With the Exchange's Disciplinary Process2020-05-22T00:00:00-07:002020-05-22T00:00:00-07:002020-11042Noticehttps://www.govinfo.gov/content/pkg/FR-2020-05-22/pdf/2020-11042.pdfhttps://regulations.justia.com/regulations/fedreg/2020/05/22/2020-11041.htmlNotice - Self-Regulatory Organizations; BOX Exchange LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend IM-3120-2 to BOX Rule 3120 (“Position Limits”) To Increase Position Limits for Options on Certain Exchange-Traded Funds (“ETFs”), and Thereby Similarly Increase Exercise Limits Under IM-3140-1 for Certain ETFs2020-05-22T00:00:00-07:002020-05-22T00:00:00-07:002020-11041Noticehttps://www.govinfo.gov/content/pkg/FR-2020-05-22/pdf/2020-11041.pdfhttps://regulations.justia.com/regulations/fedreg/2020/05/22/2020-11040.htmlNotice - Self-Regulatory Organizations; Miami International Securities Exchange, LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Exchange Rule 307, Position Limits, and Exchange Rule 309, Exercise Limits, To Increase the Position and Exercise Limits on Certain Exchange-Traded Funds2020-05-22T00:00:00-07:002020-05-22T00:00:00-07:002020-11040Noticehttps://www.govinfo.gov/content/pkg/FR-2020-05-22/pdf/2020-11040.pdfhttps://regulations.justia.com/regulations/fedreg/2020/05/22/2020-11039.htmlNotice - Self-Regulatory Organizations; BOX Exchange LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend BOX Rule 7270 (Block Trades) To Add an Automatic Matching Feature to the Facilitation Auction Mechanism2020-05-22T00:00:00-07:002020-05-22T00:00:00-07:002020-11039Noticehttps://www.govinfo.gov/content/pkg/FR-2020-05-22/pdf/2020-11039.pdfhttps://regulations.justia.com/regulations/fedreg/2020/05/22/2020-11035.htmlNotice - Varagon Capital Corporation, et al.2020-05-22T00:00:00-07:002020-05-22T00:00:00-07:002020-11035Noticehttps://www.govinfo.gov/content/pkg/FR-2020-05-22/pdf/2020-11035.pdfhttps://regulations.justia.com/regulations/fedreg/2020/05/22/2020-11031.htmlNotice - Intention To Cancel Registration Pursuant to Section 203(H) of the Investment Advisers Act of 19402020-05-22T00:00:00-07:002020-05-22T00:00:00-07:002020-11031Noticehttps://www.govinfo.gov/content/pkg/FR-2020-05-22/pdf/2020-11031.pdfhttps://regulations.justia.com/regulations/fedreg/2020/05/22/2020-10963.htmlNotice - Amendments to the National Market System Plan Governing the Consolidated Audit Trail2020-05-22T00:00:00-07:002020-05-22T00:00:00-07:002020-10963Noticehttps://www.govinfo.gov/content/pkg/FR-2020-05-22/pdf/2020-10963.pdfhttps://regulations.justia.com/regulations/fedreg/2020/05/21/2020-10935.htmlNotice - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Extend the Temporary Period for Commentaries to Rules 7.35, 7.35A, 7.35B, and 7.35C2020-05-21T00:00:00-07:002020-05-21T00:00:00-07:002020-10935Noticehttps://www.govinfo.gov/content/pkg/FR-2020-05-21/pdf/2020-10935.pdfhttps://regulations.justia.com/regulations/fedreg/2020/05/21/2020-10934.htmlNotice - Self-Regulatory Organizations; BOX Exchange LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the Fee Schedule on the BOX Options Market LLC (“BOX”) Facility To Remove the Pricing Changes That Were in Effect While the Trading Floor Was Inoperable2020-05-21T00:00:00-07:002020-05-21T00:00:00-07:002020-10934Noticehttps://www.govinfo.gov/content/pkg/FR-2020-05-21/pdf/2020-10934.pdfhttps://regulations.justia.com/regulations/fedreg/2020/05/21/2020-10933.htmlNotice - Self-Regulatory Organizations; Cboe BZX Exchange, Inc.; Notice of Designation of a Longer Period for Commission Action on a Proposed Rule Change, as Modified by Amendment No. 1, To List and Trade Shares of the JPMorgan Large Cap Growth ETF Under BZX Rule 14.11(k), Managed Portfolio Shares2020-05-21T00:00:00-07:002020-05-21T00:00:00-07:002020-10933Noticehttps://www.govinfo.gov/content/pkg/FR-2020-05-21/pdf/2020-10933.pdfhttps://regulations.justia.com/regulations/fedreg/2020/05/21/2020-10932.htmlNotice - Self-Regulatory Organizations; Cboe BZX Exchange, Inc.; Notice of Filing of Amendment No. 5 and Order Granting Accelerated Approval of a Proposed Rule Change, as Modified by Amendment No. 5, To Adopt Rule 14.11(m), Tracking Fund Shares, and To List and Trade Shares of the Fidelity Blue Chip Value ETF, Fidelity Blue Chip Growth ETF, and Fidelity New Millennium ETF2020-05-21T00:00:00-07:002020-05-21T00:00:00-07:002020-10932Noticehttps://www.govinfo.gov/content/pkg/FR-2020-05-21/pdf/2020-10932.pdfhttps://regulations.justia.com/regulations/fedreg/2020/05/21/2020-10931.htmlNotice - Self-Regulatory Organizations; Cboe Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Rule 5.242020-05-21T00:00:00-07:002020-05-21T00:00:00-07:002020-10931Noticehttps://www.govinfo.gov/content/pkg/FR-2020-05-21/pdf/2020-10931.pdfhttps://regulations.justia.com/regulations/fedreg/2020/05/21/2020-10930.htmlNotice - Self-Regulatory Organizations; National Securities Clearing Corporation; Notice of Designation of Longer Period for Commission Action on a Proposed Rule Change To Enhance National Securities Clearing Corporation's Haircut-Based Volatility Charge Applicable to Illiquid Securities and UITs and Make Certain Other Changes to Procedure XV2020-05-21T00:00:00-07:002020-05-21T00:00:00-07:002020-10930Noticehttps://www.govinfo.gov/content/pkg/FR-2020-05-21/pdf/2020-10930.pdfhttps://regulations.justia.com/regulations/fedreg/2020/05/21/2020-10929.htmlNotice - Order Granting a Conditional Exemption From Exchange Act Section 11(d)(1) for Certain Asset Backed Securities and Other Collateral2020-05-21T00:00:00-07:002020-05-21T00:00:00-07:002020-10929Noticehttps://www.govinfo.gov/content/pkg/FR-2020-05-21/pdf/2020-10929.pdfhttps://regulations.justia.com/regulations/fedreg/2020/05/21/2020-10928.htmlNotice - Self-Regulatory Organizations; Cboe Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Its Fees Schedule2020-05-21T00:00:00-07:002020-05-21T00:00:00-07:002020-10928Noticehttps://www.govinfo.gov/content/pkg/FR-2020-05-21/pdf/2020-10928.pdfhttps://regulations.justia.com/regulations/fedreg/2020/05/21/2020-10927.htmlNotice - Self-Regulatory Organizations; BOX Exchange LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the Fee Schedule on the BOX Options Market LLC (“BOX”) Facility To Amend Section I.D., Qualified Contingent Cross Transactions2020-05-21T00:00:00-07:002020-05-21T00:00:00-07:002020-10927Noticehttps://www.govinfo.gov/content/pkg/FR-2020-05-21/pdf/2020-10927.pdfhttps://regulations.justia.com/regulations/fedreg/2020/05/21/2020-10926.htmlNotice - Self-Regulatory Organizations; NYSE Chicago, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Extend the Temporary Relief Granted to Institutional Brokers to Report Non-Tape, Clearing-Only Submissions Into the Exchange's Systems to June 30, 2020 (or Earlier)2020-05-21T00:00:00-07:002020-05-21T00:00:00-07:002020-10926Noticehttps://www.govinfo.gov/content/pkg/FR-2020-05-21/pdf/2020-10926.pdfhttps://regulations.justia.com/regulations/fedreg/2020/05/20/2020-10881.htmlNotice - Submission for OMB Review; Comment Request2020-05-20T00:00:00-07:002020-05-20T00:00:00-07:002020-10881Noticehttps://www.govinfo.gov/content/pkg/FR-2020-05-20/pdf/2020-10881.pdfhttps://regulations.justia.com/regulations/fedreg/2020/05/20/2020-10880.htmlNotice - Submission for OMB Review; Comment Request2020-05-20T00:00:00-07:002020-05-20T00:00:00-07:002020-10880Noticehttps://www.govinfo.gov/content/pkg/FR-2020-05-20/pdf/2020-10880.pdfhttps://regulations.justia.com/regulations/fedreg/2020/05/20/2020-10876.htmlNotice - Submission for OMB Review; Comment Request2020-05-20T00:00:00-07:002020-05-20T00:00:00-07:002020-10876Noticehttps://www.govinfo.gov/content/pkg/FR-2020-05-20/pdf/2020-10876.pdfhttps://regulations.justia.com/regulations/fedreg/2020/05/20/2020-10875.htmlNotice - Proposed Collection; Comment Request2020-05-20T00:00:00-07:002020-05-20T00:00:00-07:002020-10875Noticehttps://www.govinfo.gov/content/pkg/FR-2020-05-20/pdf/2020-10875.pdfhttps://regulations.justia.com/regulations/fedreg/2020/05/20/2020-10821.htmlNotice - Self-Regulatory Organizations; NYSE American LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Its Rules To Add New Rule 7.19E2020-05-20T00:00:00-07:002020-05-20T00:00:00-07:002020-10821Noticehttps://www.govinfo.gov/content/pkg/FR-2020-05-20/pdf/2020-10821.pdfhttps://regulations.justia.com/regulations/fedreg/2020/05/20/2020-10820.htmlNotice - Self-Regulatory Organizations; Cboe Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the Silexx Trading Platform Fees Schedule2020-05-20T00:00:00-07:002020-05-20T00:00:00-07:002020-10820Noticehttps://www.govinfo.gov/content/pkg/FR-2020-05-20/pdf/2020-10820.pdfhttps://regulations.justia.com/regulations/fedreg/2020/05/20/2020-10819.htmlNotice - Self-Regulatory Organizations; Cboe EDGX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Its Fees Schedule2020-05-20T00:00:00-07:002020-05-20T00:00:00-07:002020-10819Noticehttps://www.govinfo.gov/content/pkg/FR-2020-05-20/pdf/2020-10819.pdfhttps://regulations.justia.com/regulations/fedreg/2020/05/20/2020-10818.htmlNotice - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Adopt New Section 312.03T of the NYSE Listed Company Manual To Provide a Temporary Exception Through June 30, 2020 From the Application of Certain Shareholder Approval Requirements Set Forth in Sections 312.03 and 303A.08 of the Manual2020-05-20T00:00:00-07:002020-05-20T00:00:00-07:002020-10818Noticehttps://www.govinfo.gov/content/pkg/FR-2020-05-20/pdf/2020-10818.pdfhttps://regulations.justia.com/regulations/fedreg/2020/05/20/2020-10817.htmlNotice - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend its Price List2020-05-20T00:00:00-07:002020-05-20T00:00:00-07:002020-10817Noticehttps://www.govinfo.gov/content/pkg/FR-2020-05-20/pdf/2020-10817.pdfhttps://regulations.justia.com/regulations/fedreg/2020/05/20/2020-10816.htmlNotice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Modifying the NYSE Arca Options Fee Schedule Regarding Pricing Incentives for Certain Posted Volume2020-05-20T00:00:00-07:002020-05-20T00:00:00-07:002020-10816Noticehttps://www.govinfo.gov/content/pkg/FR-2020-05-20/pdf/2020-10816.pdfhttps://regulations.justia.com/regulations/fedreg/2020/05/20/2020-10815.htmlNotice - Self-Regulatory Organizations; Miami International Securities Exchange, LLC; Notice of Filing of a Proposed Rule Change To Amend Exchange Rule 518, Complex Orders, To Adopt New Interpretation and Policy .08, Related Futures Cross (“RFC”) Order Type2020-05-20T00:00:00-07:002020-05-20T00:00:00-07:002020-10815Noticehttps://www.govinfo.gov/content/pkg/FR-2020-05-20/pdf/2020-10815.pdfhttps://regulations.justia.com/regulations/fedreg/2020/05/20/2020-10814.htmlNotice - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing and Order Granting Accelerated Approval of a Proposed Rule Change To Add FINRA Rule 6800 Series (Consolidated Audit Trail Compliance Rule) to FINRA's Minor Rule Violation Plan (“MRVP”)2020-05-20T00:00:00-07:002020-05-20T00:00:00-07:002020-10814Noticehttps://www.govinfo.gov/content/pkg/FR-2020-05-20/pdf/2020-10814.pdfhttps://regulations.justia.com/regulations/fedreg/2020/05/20/2020-10813.htmlNotice - Self-Regulatory Organizations; NYSE American LLC; Notice of Filing and Immediate Effectiveness of Proposed Change To Amend Its Price List To Offer New Credits2020-05-20T00:00:00-07:002020-05-20T00:00:00-07:002020-10813Noticehttps://www.govinfo.gov/content/pkg/FR-2020-05-20/pdf/2020-10813.pdfhttps://regulations.justia.com/regulations/fedreg/2020/05/20/2020-10812.htmlNotice - Self-Regulatory Organizations; The Nasdaq Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Modify the Implementation Date for a Recent Rule Change Modifying the Delisting Process for Certain Securities With a Bid Price at or Below $0.10 or That Have Had Reverse Stock Splits With a Cumulative Ratio of 250 or More to One Over the Prior Two-Year Period2020-05-20T00:00:00-07:002020-05-20T00:00:00-07:002020-10812Noticehttps://www.govinfo.gov/content/pkg/FR-2020-05-20/pdf/2020-10812.pdfhttps://regulations.justia.com/regulations/fedreg/2020/05/19/2020-10770.htmlNotice - Order Designating Financial Industry Regulatory Authority, Inc., To Receive Form X-17A-5 (FOCUS Report) From Certain Security-Based Swap Dealers and Major Security-Based Swap Participants2020-05-19T00:00:00-07:002020-05-19T00:00:00-07:002020-10770Noticehttps://www.govinfo.gov/content/pkg/FR-2020-05-19/pdf/2020-10770.pdfhttps://regulations.justia.com/regulations/fedreg/2020/05/19/2020-10652.htmlNotice - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Withdrawal of a Proposed Rule Change To Permit the Exchange To List and Trade Exchange Traded Products2020-05-19T00:00:00-07:002020-05-19T00:00:00-07:002020-10652Noticehttps://www.govinfo.gov/content/pkg/FR-2020-05-19/pdf/2020-10652.pdfhttps://regulations.justia.com/regulations/fedreg/2020/05/18/C2-2020-05526.htmlRule - Updated Disclosure Requirements and Summary Prospectus for Variable Annuity and Variable Life Insurance Contracts2020-05-18T00:00:00-07:002020-05-18T00:00:00-07:00C2-2020-05526Rulehttps://www.govinfo.gov/content/pkg/FR-2020-05-18/pdf/C2-2020-05526.pdfhttps://regulations.justia.com/regulations/fedreg/2020/05/18/2020-10714.htmlNotice - Sunshine Act Meetings2020-05-18T00:00:00-07:002020-05-18T00:00:00-07:002020-10714Noticehttps://www.govinfo.gov/content/pkg/FR-2020-05-18/pdf/2020-10714.pdfhttps://regulations.justia.com/regulations/fedreg/2020/05/18/2020-10519.htmlNotice - Self-Regulatory Organizations; MIAX PEARL, LLC; Notice of Filing of Amendment No. 1 and Order Instituting Proceedings To Determine Whether To Approve or Disapprove a Proposed Rule Change, as Modified by Amendment No. 1, To Establish Rules Governing the Trading of Equity Securities2020-05-18T00:00:00-07:002020-05-18T00:00:00-07:002020-10519Noticehttps://www.govinfo.gov/content/pkg/FR-2020-05-18/pdf/2020-10519.pdfhttps://regulations.justia.com/regulations/fedreg/2020/05/18/2020-10518.htmlNotice - Self-Regulatory Organizations; Nasdaq BX, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the Exchange's Transaction Credits and Fees, at Equity 7, Section 118(a)2020-05-18T00:00:00-07:002020-05-18T00:00:00-07:002020-10518Noticehttps://www.govinfo.gov/content/pkg/FR-2020-05-18/pdf/2020-10518.pdfhttps://regulations.justia.com/regulations/fedreg/2020/05/18/2020-10517.htmlNotice - Self-Regulatory Organizations; Nasdaq PHLX LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Phlx's Pricing Schedule at Options 7, Section 42020-05-18T00:00:00-07:002020-05-18T00:00:00-07:002020-10517Noticehttps://www.govinfo.gov/content/pkg/FR-2020-05-18/pdf/2020-10517.pdfhttps://regulations.justia.com/regulations/fedreg/2020/05/15/2020-10393.htmlNotice - Self-Regulatory Organizations; The Nasdaq Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Certain Internal Cross-References in General 5, Discipline2020-05-15T00:00:00-07:002020-05-15T00:00:00-07:002020-10393Noticehttps://www.govinfo.gov/content/pkg/FR-2020-05-15/pdf/2020-10393.pdfhttps://regulations.justia.com/regulations/fedreg/2020/05/15/2020-10392.htmlNotice - Self-Regulatory Organizations; Miami International Securities Exchange LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Its Fee Schedule2020-05-15T00:00:00-07:002020-05-15T00:00:00-07:002020-10392Noticehttps://www.govinfo.gov/content/pkg/FR-2020-05-15/pdf/2020-10392.pdfhttps://regulations.justia.com/regulations/fedreg/2020/05/14/2020-10289.htmlNotice - Self-Regulatory Organizations; Cboe BYX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Adopting Rule 14.12 Governing the Trading, Pursuant to Unlisted Trading Privileges, of Exchange-Traded Fund Shares2020-05-14T00:00:00-07:002020-05-14T00:00:00-07:002020-10289Noticehttps://www.govinfo.gov/content/pkg/FR-2020-05-14/pdf/2020-10289.pdfhttps://regulations.justia.com/regulations/fedreg/2020/05/14/2020-10288.htmlNotice - Self-Regulatory Organizations; Cboe EDGA Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Adopting Rule 14.12 Governing the Trading, Pursuant to Unlisted Trading Privileges, of Exchange-Traded Fund Shares2020-05-14T00:00:00-07:002020-05-14T00:00:00-07:002020-10288Noticehttps://www.govinfo.gov/content/pkg/FR-2020-05-14/pdf/2020-10288.pdfhttps://regulations.justia.com/regulations/fedreg/2020/05/14/2020-10287.htmlNotice - Self-Regulatory Organizations; Cboe EDGX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Adopting Rule 14.12 Governing the Trading, Pursuant to Unlisted Trading Privileges, of Exchange-Traded Fund Shares2020-05-14T00:00:00-07:002020-05-14T00:00:00-07:002020-10287Noticehttps://www.govinfo.gov/content/pkg/FR-2020-05-14/pdf/2020-10287.pdfhttps://regulations.justia.com/regulations/fedreg/2020/05/14/2020-10286.htmlNotice - Self-Regulatory Organizations; NYSE American LLC; Notice of Filing and Immediate Effectiveness of Proposed Change Modifying the NYSE American Options Fee Schedule2020-05-14T00:00:00-07:002020-05-14T00:00:00-07:002020-10286Noticehttps://www.govinfo.gov/content/pkg/FR-2020-05-14/pdf/2020-10286.pdfhttps://regulations.justia.com/regulations/fedreg/2020/05/14/2020-10285.htmlNotice - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend FINRA Rule 9231 To Provide for the Compensation of All Panelists That Serve in Connection With a FINRA Disciplinary Hearing2020-05-14T00:00:00-07:002020-05-14T00:00:00-07:002020-10285Noticehttps://www.govinfo.gov/content/pkg/FR-2020-05-14/pdf/2020-10285.pdfhttps://regulations.justia.com/regulations/fedreg/2020/05/14/2020-10284.htmlNotice - Self-Regulatory Organizations; The Nasdaq Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Eliminate a Transitional Rule That Has Expired Related to Nasdaq Global and Global Select Markets Entry Fees2020-05-14T00:00:00-07:002020-05-14T00:00:00-07:002020-10284Noticehttps://www.govinfo.gov/content/pkg/FR-2020-05-14/pdf/2020-10284.pdfhttps://regulations.justia.com/regulations/fedreg/2020/05/14/2020-07905.htmlRule - Definition of “Covered Clearing Agency”2020-05-14T00:00:00-07:002020-05-14T00:00:00-07:002020-07905Rulehttps://www.govinfo.gov/content/pkg/FR-2020-05-14/pdf/2020-07905.pdfhttps://regulations.justia.com/regulations/fedreg/2020/05/13/C1-2020-05526.htmlRule - Updated Disclosure Requirements and Summary Prospectus for Variable Annuity and Variable Life Insurance Contracts2020-05-13T00:00:00-07:002020-05-13T00:00:00-07:00C1-2020-05526Rulehttps://www.govinfo.gov/content/pkg/FR-2020-05-13/pdf/C1-2020-05526.pdfhttps://regulations.justia.com/regulations/fedreg/2020/05/13/2020-10277.htmlNotice - Proposed Collection; Comment Request2020-05-13T00:00:00-07:002020-05-13T00:00:00-07:002020-10277Noticehttps://www.govinfo.gov/content/pkg/FR-2020-05-13/pdf/2020-10277.pdfhttps://regulations.justia.com/regulations/fedreg/2020/05/13/2020-10276.htmlNotice - Proposed Collection; Comment Request2020-05-13T00:00:00-07:002020-05-13T00:00:00-07:002020-10276Noticehttps://www.govinfo.gov/content/pkg/FR-2020-05-13/pdf/2020-10276.pdfhttps://regulations.justia.com/regulations/fedreg/2020/05/13/2020-10275.htmlNotice - Proposed Collection; Comment Request2020-05-13T00:00:00-07:002020-05-13T00:00:00-07:002020-10275Noticehttps://www.govinfo.gov/content/pkg/FR-2020-05-13/pdf/2020-10275.pdfhttps://regulations.justia.com/regulations/fedreg/2020/05/13/2020-10262.htmlNotice - Fixed Income Market Structure Advisory Committee2020-05-13T00:00:00-07:002020-05-13T00:00:00-07:002020-10262Noticehttps://www.govinfo.gov/content/pkg/FR-2020-05-13/pdf/2020-10262.pdfhttps://regulations.justia.com/regulations/fedreg/2020/05/13/2020-10239.htmlNotice - Proposed Collection; Comment Request2020-05-13T00:00:00-07:002020-05-13T00:00:00-07:002020-10239Noticehttps://www.govinfo.gov/content/pkg/FR-2020-05-13/pdf/2020-10239.pdfhttps://regulations.justia.com/regulations/fedreg/2020/05/13/2020-10223.htmlNotice - Self-Regulatory Organizations; New York Stock Exchange LLC; NYSE National, Inc.; NYSE Arca, Inc.; NYSE American LLC; Order Granting Approval of a Proposed Rule Change, as Modified by Amendment No. 1, To Amend the Exchanges' Co-Location Services To Offer Co-Location Users Access to the NMS Network2020-05-13T00:00:00-07:002020-05-13T00:00:00-07:002020-10223Noticehttps://www.govinfo.gov/content/pkg/FR-2020-05-13/pdf/2020-10223.pdfhttps://regulations.justia.com/regulations/fedreg/2020/05/13/2020-10219.htmlNotice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the NYSE Arca Equities Fees and Charges2020-05-13T00:00:00-07:002020-05-13T00:00:00-07:002020-10219Noticehttps://www.govinfo.gov/content/pkg/FR-2020-05-13/pdf/2020-10219.pdfhttps://regulations.justia.com/regulations/fedreg/2020/05/13/2020-10217.htmlNotice - Self-Regulatory Organizations; Cboe Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating To Amend Its Fees Schedule2020-05-13T00:00:00-07:002020-05-13T00:00:00-07:002020-10217Noticehttps://www.govinfo.gov/content/pkg/FR-2020-05-13/pdf/2020-10217.pdfhttps://regulations.justia.com/regulations/fedreg/2020/05/13/2020-10216.htmlNotice - Self-Regulatory Organizations; NYSE American LLC; Notice of Filing and Immediate Effectiveness of Proposed Change To Amend the NYSE American Options Fee Schedule2020-05-13T00:00:00-07:002020-05-13T00:00:00-07:002020-10216Noticehttps://www.govinfo.gov/content/pkg/FR-2020-05-13/pdf/2020-10216.pdfhttps://regulations.justia.com/regulations/fedreg/2020/05/13/2020-10041.htmlNotice - Order Directing the Exchanges and the Financial Industry Regulatory Authority To Submit a New National Market System Plan Regarding Consolidated Equity Market Data2020-05-13T00:00:00-07:002020-05-13T00:00:00-07:002020-10041Noticehttps://www.govinfo.gov/content/pkg/FR-2020-05-13/pdf/2020-10041.pdfhttps://regulations.justia.com/regulations/fedreg/2020/05/13/2020-08854.htmlProposed Rule - Good Faith Determinations of Fair Value2020-05-13T00:00:00-07:002020-05-13T00:00:00-07:002020-08854Proposed Rulehttps://www.govinfo.gov/content/pkg/FR-2020-05-13/pdf/2020-08854.pdfhttps://regulations.justia.com/regulations/fedreg/2020/05/12/2020-10068.htmlNotice - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Add Commentary .02 to Rule 7.35B2020-05-12T00:00:00-07:002020-05-12T00:00:00-07:002020-10068Noticehttps://www.govinfo.gov/content/pkg/FR-2020-05-12/pdf/2020-10068.pdfhttps://regulations.justia.com/regulations/fedreg/2020/05/12/2020-10061.htmlNotice - Self-Regulatory Organizations; Municipal Securities Rulemaking Board; Notice of Filing of a Proposed Rule Change To Align Certain MSRB Rules to Securities Exchange Act Rule 15l-1, Regulation Best Interest2020-05-12T00:00:00-07:002020-05-12T00:00:00-07:002020-10061Noticehttps://www.govinfo.gov/content/pkg/FR-2020-05-12/pdf/2020-10061.pdfhttps://regulations.justia.com/regulations/fedreg/2020/05/12/2020-10060.htmlNotice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing of Proposed Rule Change, as Modified by Amendment No. 1, Regarding Investments of the PIMCO Enhanced Short Maturity Active ESG Exchange-Traded Fund2020-05-12T00:00:00-07:002020-05-12T00:00:00-07:002020-10060Noticehttps://www.govinfo.gov/content/pkg/FR-2020-05-12/pdf/2020-10060.pdfhttps://regulations.justia.com/regulations/fedreg/2020/05/12/2020-10058.htmlNotice - Self-Regulatory Organizations; Cboe BYX 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 11.132020-05-12T00:00:00-07:002020-05-12T00:00:00-07:002020-10058Noticehttps://www.govinfo.gov/content/pkg/FR-2020-05-12/pdf/2020-10058.pdfhttps://regulations.justia.com/regulations/fedreg/2020/05/12/2020-10057.htmlNotice - Self-Regulatory Organizations; Investors Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Modify the IEX Fee Schedule, Pursuant to IEX Rule 15.110(a) and (c), To Clarify the Circumstances in Which IEX Offers Certain Physical Port Connections2020-05-12T00:00:00-07:002020-05-12T00:00:00-07:002020-10057Noticehttps://www.govinfo.gov/content/pkg/FR-2020-05-12/pdf/2020-10057.pdfhttps://regulations.justia.com/regulations/fedreg/2020/05/12/2020-10056.htmlNotice - Self-Regulatory Organizations; Cboe EDGX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating To Amend Its Definition of Bulk Messages in Rule 16.1 and Amend Rule 21.1(j)(3)2020-05-12T00:00:00-07:002020-05-12T00:00:00-07:002020-10056Noticehttps://www.govinfo.gov/content/pkg/FR-2020-05-12/pdf/2020-10056.pdfhttps://regulations.justia.com/regulations/fedreg/2020/05/12/2020-10055.htmlNotice - Self-Regulatory Organizations; Cboe BZX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating To Amend Its Definition of Bulk Messages in Rule 16.1 and Amend Rule 21.1(l)(3)2020-05-12T00:00:00-07:002020-05-12T00:00:00-07:002020-10055Noticehttps://www.govinfo.gov/content/pkg/FR-2020-05-12/pdf/2020-10055.pdfhttps://regulations.justia.com/regulations/fedreg/2020/05/12/2020-10054.htmlNotice - Self-Regulatory Organizations; Cboe Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating To Amend Its Definition of Bulk Messages in Rule 1.1 and Amend Rule 5.5(c)(3)2020-05-12T00:00:00-07:002020-05-12T00:00:00-07:002020-10054Noticehttps://www.govinfo.gov/content/pkg/FR-2020-05-12/pdf/2020-10054.pdfhttps://regulations.justia.com/regulations/fedreg/2020/05/12/2020-10040.htmlNotice - Joint Industry Plan; Order Approving the Forty-Seventh Amendment to the Joint Self-Regulatory Organization Plan Governing the Collection, Consolidation and Dissemination of Quotation and Transaction Information for Nasdaq-Listed Securities Traded on Exchanges on an Unlisted Trading Privileges, as Modified by the Commission, Concerning a Confidentiality Policy2020-05-12T00:00:00-07:002020-05-12T00:00:00-07:002020-10040Noticehttps://www.govinfo.gov/content/pkg/FR-2020-05-12/pdf/2020-10040.pdfhttps://regulations.justia.com/regulations/fedreg/2020/05/12/2020-10039.htmlNotice - Consolidated Tape Association; Order Approving the Thirty-Third Substantive Amendment to the Second Restatement of the CTA Plan and Twenty-Fourth Substantive Amendment to the Restated CQ Plan, as Modified by the Commission, Concerning a Confidentiality Policy2020-05-12T00:00:00-07:002020-05-12T00:00:00-07:002020-10039Noticehttps://www.govinfo.gov/content/pkg/FR-2020-05-12/pdf/2020-10039.pdfhttps://regulations.justia.com/regulations/fedreg/2020/05/12/2020-10038.htmlNotice - Joint Industry Plan; Order Approving the Forty-Fourth Amendment to the Joint Self-Regulatory Organization Plan Governing the Collection, Consolidation and Dissemination of Quotation and Transaction Information for Nasdaq-Listed Securities Traded on Exchanges on an Unlisted Trading Privileges Basis, as Modified by the Commission, Concerning Conflicts of Interest2020-05-12T00:00:00-07:002020-05-12T00:00:00-07:002020-10038Noticehttps://www.govinfo.gov/content/pkg/FR-2020-05-12/pdf/2020-10038.pdfhttps://regulations.justia.com/regulations/fedreg/2020/05/12/2020-10037.htmlNotice - Consolidated Tape Association; Order Approving the Thirtieth Substantive Amendment to the Second Restatement of the CTA Plan and Twenty-Second Substantive Amendment to the Restated CQ Plan, as Modified by the Commission, Concerning Conflicts of Interest2020-05-12T00:00:00-07:002020-05-12T00:00:00-07:002020-10037Noticehttps://www.govinfo.gov/content/pkg/FR-2020-05-12/pdf/2020-10037.pdfhttps://regulations.justia.com/regulations/fedreg/2020/05/11/2020-09959.htmlNotice - Self-Regulatory Organizations; The Nasdaq Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Modify the Operative Date of SR-NASDAQ-2020-0122020-05-11T00:00:00-07:002020-05-11T00:00:00-07:002020-09959Noticehttps://www.govinfo.gov/content/pkg/FR-2020-05-11/pdf/2020-09959.pdfhttps://regulations.justia.com/regulations/fedreg/2020/05/11/2020-09956.htmlNotice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Modify the NYSE Arca Options Fee Schedule2020-05-11T00:00:00-07:002020-05-11T00:00:00-07:002020-09956Noticehttps://www.govinfo.gov/content/pkg/FR-2020-05-11/pdf/2020-09956.pdfhttps://regulations.justia.com/regulations/fedreg/2020/05/11/2020-09955.htmlNotice - Self-Regulatory Organizations; Cboe C2 Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating To Amend its Definition of Bulk Messages in Rule 1.1 and Amend Rule 6.8(c)(3)2020-05-11T00:00:00-07:002020-05-11T00:00:00-07:002020-09955Noticehttps://www.govinfo.gov/content/pkg/FR-2020-05-11/pdf/2020-09955.pdfhttps://regulations.justia.com/regulations/fedreg/2020/05/11/2020-09954.htmlNotice - Self-Regulatory Organizations; BOX Exchange LLC; Notice of Filing of Proposed Rule Change To Adopt New Rule Regarding Transfer of Positions2020-05-11T00:00:00-07:002020-05-11T00:00:00-07:002020-09954Noticehttps://www.govinfo.gov/content/pkg/FR-2020-05-11/pdf/2020-09954.pdfhttps://regulations.justia.com/regulations/fedreg/2020/05/08/2020-10049.htmlNotice - Sunshine Act Meetings2020-05-08T00:00:00-07:002020-05-08T00:00:00-07:002020-10049Noticehttps://www.govinfo.gov/content/pkg/FR-2020-05-08/pdf/2020-10049.pdfhttps://regulations.justia.com/regulations/fedreg/2020/05/08/2020-09872.htmlNotice - Self-Regulatory Organizations; The Options Clearing Corporation; Notice of Filing of Advance Notice Related To Proposed Changes to The Options Clearing Corporation's Framework for Liquidity Risk Management2020-05-08T00:00:00-07:002020-05-08T00:00:00-07:002020-09872Noticehttps://www.govinfo.gov/content/pkg/FR-2020-05-08/pdf/2020-09872.pdfhttps://regulations.justia.com/regulations/fedreg/2020/05/08/2020-09862.htmlNotice - Asset Management Advisory Committee; Meeting2020-05-08T00:00:00-07:002020-05-08T00:00:00-07:002020-09862Noticehttps://www.govinfo.gov/content/pkg/FR-2020-05-08/pdf/2020-09862.pdfhttps://regulations.justia.com/regulations/fedreg/2020/05/08/2020-09861.htmlNotice - In the Matter of the Application of MEMX LLC for Registration as a National Securities Exchange Findings, Opinion, and Order of the Commission2020-05-08T00:00:00-07:002020-05-08T00:00:00-07:002020-09861Noticehttps://www.govinfo.gov/content/pkg/FR-2020-05-08/pdf/2020-09861.pdfhttps://regulations.justia.com/regulations/fedreg/2020/05/08/2020-09827.htmlNotice - Self-Regulatory Organizations; The Nasdaq Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Provide Listed Companies With a Temporary Limited Exception From Certain Shareholder Approval Requirements in Nasdaq Rules 5635(c) and (d)2020-05-08T00:00:00-07:002020-05-08T00:00:00-07:002020-09827Noticehttps://www.govinfo.gov/content/pkg/FR-2020-05-08/pdf/2020-09827.pdfhttps://regulations.justia.com/regulations/fedreg/2020/05/07/2020-09806.htmlRule - Temporary Amendments to Regulation Crowdfunding2020-05-07T00:00:00-07:002020-05-07T00:00:00-07:002020-09806Rulehttps://www.govinfo.gov/content/pkg/FR-2020-05-07/pdf/2020-09806.pdfhttps://regulations.justia.com/regulations/fedreg/2020/05/07/2020-09797.htmlNotice - Proposed Collection; Comment Request2020-05-07T00:00:00-07:002020-05-07T00:00:00-07:002020-09797Noticehttps://www.govinfo.gov/content/pkg/FR-2020-05-07/pdf/2020-09797.pdfhttps://regulations.justia.com/regulations/fedreg/2020/05/07/2020-09796.htmlNotice - Proposed Collection; Comment Request2020-05-07T00:00:00-07:002020-05-07T00:00:00-07:002020-09796Noticehttps://www.govinfo.gov/content/pkg/FR-2020-05-07/pdf/2020-09796.pdfhttps://regulations.justia.com/regulations/fedreg/2020/05/07/2020-09712.htmlNotice - Self-Regulatory Organizations; Cboe BZX Exchange, Inc.; Notice of Filing of a Proposed Rule Change To Amend Rule 14.11, Other Securities2020-05-07T00:00:00-07:002020-05-07T00:00:00-07:002020-09712Noticehttps://www.govinfo.gov/content/pkg/FR-2020-05-07/pdf/2020-09712.pdfhttps://regulations.justia.com/regulations/fedreg/2020/05/07/2020-09711.htmlNotice - Self-Regulatory Organizations; New York Stock Exchange LLC; NYSE National, Inc.; NYSE Arca, Inc.; NYSE American LLC; NYSE Chicago, Inc.; Order Granting Approval of Proposed Rule Changes Relating to Repricing of Depth-of-Book Orders in Response to a Locked or Crossed Market2020-05-07T00:00:00-07:002020-05-07T00:00:00-07:002020-09711Noticehttps://www.govinfo.gov/content/pkg/FR-2020-05-07/pdf/2020-09711.pdfhttps://regulations.justia.com/regulations/fedreg/2020/05/07/2020-09708.htmlNotice - Notice of Intention To Cancel Registration Pursuant to Section 203(H) of the Investment Advisers Act of 19402020-05-07T00:00:00-07:002020-05-07T00:00:00-07:002020-09708Noticehttps://www.govinfo.gov/content/pkg/FR-2020-05-07/pdf/2020-09708.pdfhttps://regulations.justia.com/regulations/fedreg/2020/05/06/2020-09662.htmlNotice - Investor Advisory Committee Meeting2020-05-06T00:00:00-07:002020-05-06T00:00:00-07:002020-09662Noticehttps://www.govinfo.gov/content/pkg/FR-2020-05-06/pdf/2020-09662.pdfhttps://regulations.justia.com/regulations/fedreg/2020/05/06/2020-09639.htmlNotice - Self-Regulatory Organizations; Cboe EDGX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Provide Members Certain Optional Risk Settings Under Proposed Interpretation and Policy .03 of Rule 11.102020-05-06T00:00:00-07:002020-05-06T00:00:00-07:002020-09639Noticehttps://www.govinfo.gov/content/pkg/FR-2020-05-06/pdf/2020-09639.pdfhttps://regulations.justia.com/regulations/fedreg/2020/05/06/2020-09638.htmlNotice - Self-Regulatory Organizations; Cboe Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Rule 6.9 To Permit In-Kind Transfers of Positions Off of the Exchange in Connection With Unit Investment Trusts (“UITs”)2020-05-06T00:00:00-07:002020-05-06T00:00:00-07:002020-09638Noticehttps://www.govinfo.gov/content/pkg/FR-2020-05-06/pdf/2020-09638.pdfhttps://regulations.justia.com/regulations/fedreg/2020/05/06/2020-09637.htmlNotice - Self-Regulatory Organizations; Cboe BZX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the Fees Applicable to Securities Listed on the Exchange, Which Are Set Forth in BZX Rule 14.13 (Company Listing Fees)2020-05-06T00:00:00-07:002020-05-06T00:00:00-07:002020-09637Noticehttps://www.govinfo.gov/content/pkg/FR-2020-05-06/pdf/2020-09637.pdfhttps://regulations.justia.com/regulations/fedreg/2020/05/06/2020-09635.htmlNotice - Self-Regulatory Organizations; Cboe BZX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Extend the Pilot Programs in Connection With the Listing and Trading of P.M.-Settled Series on Certain Broad-Based Index Options2020-05-06T00:00:00-07:002020-05-06T00:00:00-07:002020-09635Noticehttps://www.govinfo.gov/content/pkg/FR-2020-05-06/pdf/2020-09635.pdfhttps://regulations.justia.com/regulations/fedreg/2020/05/06/2020-09634.htmlNotice - Self-Regulatory Organizations; Cboe EDGX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Extend the Pilot Programs in Connection With the Listing and Trading of P.M.-Settled Series on Certain Broad-Based Index Options2020-05-06T00:00:00-07:002020-05-06T00:00:00-07:002020-09634Noticehttps://www.govinfo.gov/content/pkg/FR-2020-05-06/pdf/2020-09634.pdfhttps://regulations.justia.com/regulations/fedreg/2020/05/06/2020-09632.htmlNotice - Self-Regulatory Organizations; Cboe Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Extend the Operation of Its Flexible Exchange Options (“FLEX Options”) PM Exercise Settlement Pilot Program for FLEX Index Options2020-05-06T00:00:00-07:002020-05-06T00:00:00-07:002020-09632Noticehttps://www.govinfo.gov/content/pkg/FR-2020-05-06/pdf/2020-09632.pdfhttps://regulations.justia.com/regulations/fedreg/2020/05/05/2020-09710.htmlNotice - Sunshine Act Meetings2020-05-05T00:00:00-07:002020-05-05T00:00:00-07:002020-09710Noticehttps://www.govinfo.gov/content/pkg/FR-2020-05-05/pdf/2020-09710.pdfhttps://regulations.justia.com/regulations/fedreg/2020/05/05/2020-09631.htmlNotice - Sunshine Act Meetings2020-05-05T00:00:00-07:002020-05-05T00:00:00-07:002020-09631Noticehttps://www.govinfo.gov/content/pkg/FR-2020-05-05/pdf/2020-09631.pdfhttps://regulations.justia.com/regulations/fedreg/2020/05/05/2020-09612.htmlNotice - USCF Advisers LLC, et al.2020-05-05T00:00:00-07:002020-05-05T00:00:00-07:002020-09612Noticehttps://www.govinfo.gov/content/pkg/FR-2020-05-05/pdf/2020-09612.pdfhttps://regulations.justia.com/regulations/fedreg/2020/05/05/2020-09528.htmlNotice - Self-Regulatory Organizations; New York Stock Exchange LLC; Order Approving a Proposed Rule Change To Amend Its Rules To Add New Rule 7.192020-05-05T00:00:00-07:002020-05-05T00:00:00-07:002020-09528Noticehttps://www.govinfo.gov/content/pkg/FR-2020-05-05/pdf/2020-09528.pdfhttps://regulations.justia.com/regulations/fedreg/2020/05/05/2020-09527.htmlNotice - Self-Regulatory Organizations; ICE Clear Credit LLC; Order Instituting Proceedings To Determine Whether To Approve or Disapprove Proposed Rule Change Relating to the ICC Risk Management Model Description, ICC Stress Testing Framework, ICC Liquidity Risk Management Framework, ICC Back-Testing Framework, and ICC Risk Parameter Setting and Review Policy2020-05-05T00:00:00-07:002020-05-05T00:00:00-07:002020-09527Noticehttps://www.govinfo.gov/content/pkg/FR-2020-05-05/pdf/2020-09527.pdfhttps://regulations.justia.com/regulations/fedreg/2020/05/05/2020-09526.htmlNotice - Self-Regulatory Organizations; Cboe EDGX Exchange, Inc.; Order Instituting Proceedings To Determine Whether To Approve or Disapprove a Proposed Rule Change To Amend Certain Rules Within Rules 4.5 Through 4.16, Which Contains the Exchange's Compliance Rule (“Compliance Rule”) Regarding the National Market System Plan Governing the Consolidated Audit Trail (the “CAT NMS Plan” or “Plan”), To Be Consistent with Certain Proposed Amendments to and Exemptions From the CAT NMS Plan as Well as To Facilitate the Retirement of Certain Existing Regulatory Systems2020-05-05T00:00:00-07:002020-05-05T00:00:00-07:002020-09526Noticehttps://www.govinfo.gov/content/pkg/FR-2020-05-05/pdf/2020-09526.pdfhttps://regulations.justia.com/regulations/fedreg/2020/05/05/2020-09525.htmlNotice - Self-Regulatory Organizations; Cboe EDGA Exchange, Inc.; Order Instituting Proceedings To Determine Whether To Approve or Disapprove a Proposed Rule Change To Amend Certain Rules Within Rules 4.5 Through 4.16, Which Contains the Exchange's Compliance Rule (“Compliance Rule”) Regarding the National Market System Plan Governing the Consolidated Audit Trail (the “CAT NMS Plan” or “Plan”), To Be Consistent With Certain Proposed Amendments To and Exemptions From the CAT NMS Plan as Well as To Facilitate the Retirement of Certain Existing Regulatory Systems2020-05-05T00:00:00-07:002020-05-05T00:00:00-07:002020-09525Noticehttps://www.govinfo.gov/content/pkg/FR-2020-05-05/pdf/2020-09525.pdfhttps://regulations.justia.com/regulations/fedreg/2020/05/05/2020-09523.htmlNotice - Self-Regulatory Organizations; Cboe BZX Exchange, Inc.; Order Instituting Proceedings To Determine Whether To Approve or Disapprove a Proposed Rule Change To Amend Certain Rules Within Rules 4.5 Through 4.16, Which Contains the Exchange's Compliance Rule (“Compliance Rule”) Regarding the National Market System Plan Governing the Consolidated Audit Trail (the “CAT NMS Plan” or “Plan”), To Be Consistent With Certain Proposed Amendments to and Exemptions From the CAT NMS Plan as Well as To Facilitate the Retirement of Certain Existing Regulatory Systems2020-05-05T00:00:00-07:002020-05-05T00:00:00-07:002020-09523Noticehttps://www.govinfo.gov/content/pkg/FR-2020-05-05/pdf/2020-09523.pdfhttps://regulations.justia.com/regulations/fedreg/2020/05/05/2020-09522.htmlNotice - Self-Regulatory Organizations; Cboe BYX Exchange, Inc.; Order Instituting Proceedings To Determine Whether To Approve or Disapprove a Proposed Rule Change To Amend Certain Rules Within Rules 4.5 Through 4.16, Which Contains the Exchange's Compliance Rule (“Compliance Rule”) Regarding the National Market System Plan Governing the Consolidated Audit Trail (the “CAT NMS Plan” or “Plan”), To Be Consistent With Certain Proposed Amendments to and Exemptions From the CAT NMS Plan as Well as To Facilitate the Retirement of Certain Existing Regulatory Systems2020-05-05T00:00:00-07:002020-05-05T00:00:00-07:002020-09522Noticehttps://www.govinfo.gov/content/pkg/FR-2020-05-05/pdf/2020-09522.pdfhttps://regulations.justia.com/regulations/fedreg/2020/05/05/2020-09521.htmlNotice - Self-Regulatory Organizations; Cboe Exchange, Inc.; Order Instituting Proceedings To Determine Whether To Approve or Disapprove a Proposed Rule Change To Amend Chapter 7, Section B of the Rules, Which Contains the Exchange's Compliance Rule (“Compliance Rule”) Regarding the National Market System Plan Governing the Consolidated Audit Trail (the “CAT NMS Plan” or “Plan”), To Be Consistent With Certain Proposed Amendments to and Exemptions From the CAT NMS Plan as Well as To Facilitate the Retirement of Certain Existing Regulatory Systems2020-05-05T00:00:00-07:002020-05-05T00:00:00-07:002020-09521Noticehttps://www.govinfo.gov/content/pkg/FR-2020-05-05/pdf/2020-09521.pdfhttps://regulations.justia.com/regulations/fedreg/2020/05/05/2020-09520.htmlNotice - Self-Regulatory Organizations; Cboe Exchange, Inc.; Notice of Filing of Amendment No. 1 and Order Granting Accelerated Approval of a Proposed Rule Change, as Modified by Amendment No. 1, To Increase Position Limits for Options on Certain Exchange-Traded Funds and Indexes2020-05-05T00:00:00-07:002020-05-05T00:00:00-07:002020-09520Noticehttps://www.govinfo.gov/content/pkg/FR-2020-05-05/pdf/2020-09520.pdfhttps://regulations.justia.com/regulations/fedreg/2020/05/05/2020-09519.htmlNotice - Self-Regulatory Organizations; Miami International Securities Exchange, LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To List and Trade Options That Overlie Five Advanced Fundamentals LLC Commercial Real Estate Indexes2020-05-05T00:00:00-07:002020-05-05T00:00:00-07:002020-09519Noticehttps://www.govinfo.gov/content/pkg/FR-2020-05-05/pdf/2020-09519.pdfhttps://regulations.justia.com/regulations/fedreg/2020/05/05/2020-09518.htmlNotice - Self-Regulatory Organizations; Fixed Income Clearing Corporation; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Modify the Government Securities Division Rulebook, Mortgage-Backed Securities Division Clearing Rules, and Mortgage-Backed Securities Division EPN Rules2020-05-05T00:00:00-07:002020-05-05T00:00:00-07:002020-09518Noticehttps://www.govinfo.gov/content/pkg/FR-2020-05-05/pdf/2020-09518.pdfhttps://regulations.justia.com/regulations/fedreg/2020/05/05/2020-09517.htmlNotice - Self-Regulatory Organizations; New York Stock Exchange 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 Add New Exchange Rule 46B To Permit the Appointment of Regulatory Trading Officials and Amend Exchange Rule 47 To Permit Regulatory Trading Officials To Review Whether a Bid or Offer Is Eligible for Inclusion in the Closing Auction2020-05-05T00:00:00-07:002020-05-05T00:00:00-07:002020-09517Noticehttps://www.govinfo.gov/content/pkg/FR-2020-05-05/pdf/2020-09517.pdfhttps://regulations.justia.com/regulations/fedreg/2020/05/04/2020-09626.htmlNotice - Sunshine Act Meetings2020-05-04T00:00:00-07:002020-05-04T00:00:00-07:002020-09626Noticehttps://www.govinfo.gov/content/pkg/FR-2020-05-04/pdf/2020-09626.pdfhttps://regulations.justia.com/regulations/fedreg/2020/05/04/2020-09560.htmlNotice - Sunshine Act Meetings2020-05-04T00:00:00-07:002020-05-04T00:00:00-07:002020-09560Noticehttps://www.govinfo.gov/content/pkg/FR-2020-05-04/pdf/2020-09560.pdfhttps://regulations.justia.com/regulations/fedreg/2020/05/04/2020-09529.htmlNotice - Sunshine Act Meetings2020-05-04T00:00:00-07:002020-05-04T00:00:00-07:002020-09529Noticehttps://www.govinfo.gov/content/pkg/FR-2020-05-04/pdf/2020-09529.pdfhttps://regulations.justia.com/regulations/fedreg/2020/05/04/2020-09378.htmlNotice - First Trust Series Fund, et. al.2020-05-04T00:00:00-07:002020-05-04T00:00:00-07:002020-09378Noticehttps://www.govinfo.gov/content/pkg/FR-2020-05-04/pdf/2020-09378.pdfhttps://regulations.justia.com/regulations/fedreg/2020/05/04/2020-09375.htmlNotice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Its Schedule of Fees and Charges2020-05-04T00:00:00-07:002020-05-04T00:00:00-07:002020-09375Noticehttps://www.govinfo.gov/content/pkg/FR-2020-05-04/pdf/2020-09375.pdfhttps://regulations.justia.com/regulations/fedreg/2020/05/04/2020-09374.htmlNotice - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend FINRA Rule 8312 (FINRA BrokerCheck Disclosure) To Allow the Dissemination of IAPD Information Through BrokerCheck2020-05-04T00:00:00-07:002020-05-04T00:00:00-07:002020-09374Noticehttps://www.govinfo.gov/content/pkg/FR-2020-05-04/pdf/2020-09374.pdfhttps://regulations.justia.com/regulations/fedreg/2020/05/04/2020-09372.htmlNotice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Rule 1.1 To Modify the Definition of “UTP Derivative Securities Product” and Rule 5.1-E(a) To Incorporate the Modified Definition of “UTP Exchange Traded Product”2020-05-04T00:00:00-07:002020-05-04T00:00:00-07:002020-09372Noticehttps://www.govinfo.gov/content/pkg/FR-2020-05-04/pdf/2020-09372.pdfhttps://regulations.justia.com/regulations/fedreg/2020/05/01/2020-09449.htmlNotice - Sunshine Act Meeting; Cancellation2020-05-01T00:00:00-07:002020-05-01T00:00:00-07:002020-09449Noticehttps://www.govinfo.gov/content/pkg/FR-2020-05-01/pdf/2020-09449.pdfhttps://regulations.justia.com/regulations/fedreg/2020/05/01/2020-09300.htmlNotice - 60 Day Notice-Proposed Collection; Comment Request2020-05-01T00:00:00-07:002020-05-01T00:00:00-07:002020-09300Noticehttps://www.govinfo.gov/content/pkg/FR-2020-05-01/pdf/2020-09300.pdfhttps://regulations.justia.com/regulations/fedreg/2020/05/01/2020-09299.htmlNotice - Proposed Collection; Comment Request2020-05-01T00:00:00-07:002020-05-01T00:00:00-07:002020-09299Noticehttps://www.govinfo.gov/content/pkg/FR-2020-05-01/pdf/2020-09299.pdfhttps://regulations.justia.com/regulations/fedreg/2020/05/01/2020-09297.htmlNotice - Proposed Collection; Comment Request2020-05-01T00:00:00-07:002020-05-01T00:00:00-07:002020-09297Noticehttps://www.govinfo.gov/content/pkg/FR-2020-05-01/pdf/2020-09297.pdfhttps://regulations.justia.com/regulations/fedreg/2020/05/01/2020-09295.htmlNotice - Proposed Collection; Comment Request2020-05-01T00:00:00-07:002020-05-01T00:00:00-07:002020-09295Noticehttps://www.govinfo.gov/content/pkg/FR-2020-05-01/pdf/2020-09295.pdfhttps://regulations.justia.com/regulations/fedreg/2020/05/01/2020-09294.htmlNotice - Proposed Collection; Comment Request2020-05-01T00:00:00-07:002020-05-01T00:00:00-07:002020-09294Noticehttps://www.govinfo.gov/content/pkg/FR-2020-05-01/pdf/2020-09294.pdfhttps://regulations.justia.com/regulations/fedreg/2020/05/01/2020-09293.htmlNotice - Proposed Collection; Comment Request2020-05-01T00:00:00-07:002020-05-01T00:00:00-07:002020-09293Noticehttps://www.govinfo.gov/content/pkg/FR-2020-05-01/pdf/2020-09293.pdfhttps://regulations.justia.com/regulations/fedreg/2020/05/01/2020-09291.htmlNotice - Proposed Collection; Comment Request2020-05-01T00:00:00-07:002020-05-01T00:00:00-07:002020-09291Noticehttps://www.govinfo.gov/content/pkg/FR-2020-05-01/pdf/2020-09291.pdfhttps://regulations.justia.com/regulations/fedreg/2020/05/01/2020-09290.htmlNotice - Submission for OMB Review; Comment Request2020-05-01T00:00:00-07:002020-05-01T00:00:00-07:002020-09290Noticehttps://www.govinfo.gov/content/pkg/FR-2020-05-01/pdf/2020-09290.pdfhttps://regulations.justia.com/regulations/fedreg/2020/05/01/2020-09253.htmlNotice - Self-Regulatory Organizations; NYSE American LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Rule 928NY Relating to the Risk Limitation Mechanism2020-05-01T00:00:00-07:002020-05-01T00:00:00-07:002020-09253Noticehttps://www.govinfo.gov/content/pkg/FR-2020-05-01/pdf/2020-09253.pdfhttps://regulations.justia.com/regulations/fedreg/2020/05/01/2020-09252.htmlNotice - Self-Regulatory Organizations; NYSE American LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Rule 1.1E To Modify the Definition of “UTP Exchange Traded Product” and Rule 5.1E To Incorporate the Modified Definition of “UTP Exchange Traded Product”2020-05-01T00:00:00-07:002020-05-01T00:00:00-07:002020-09252Noticehttps://www.govinfo.gov/content/pkg/FR-2020-05-01/pdf/2020-09252.pdfhttps://regulations.justia.com/regulations/fedreg/2020/05/01/2020-09251.htmlNotice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Rule 6.40-O Relating to the Risk Limitation Mechanism2020-05-01T00:00:00-07:002020-05-01T00:00:00-07:002020-09251Noticehttps://www.govinfo.gov/content/pkg/FR-2020-05-01/pdf/2020-09251.pdfhttps://regulations.justia.com/regulations/fedreg/2020/05/01/2020-09250.htmlNotice - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Rule 1.1 To Modify the Definition of “UTP Exchange Traded Product” and Rule 5.1 To Incorporate the Modified Definition of “UTP Exchange Traded Product”2020-05-01T00:00:00-07:002020-05-01T00:00:00-07:002020-09250Noticehttps://www.govinfo.gov/content/pkg/FR-2020-05-01/pdf/2020-09250.pdfhttps://regulations.justia.com/regulations/fedreg/2020/05/01/2020-09249.htmlNotice - Self-Regulatory Organizations; Nasdaq PHLX LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Various Phlx Rules Related to Routing, Remote Specialist, and Assistant Lead Market Maker2020-05-01T00:00:00-07:002020-05-01T00:00:00-07:002020-09249Noticehttps://www.govinfo.gov/content/pkg/FR-2020-05-01/pdf/2020-09249.pdfhttps://regulations.justia.com/regulations/fedreg/2020/05/01/2020-09248.htmlNotice - Self-Regulatory Organizations; Cboe BZX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Regarding the Listing Rule of the Hartford Core Bond ETF2020-05-01T00:00:00-07:002020-05-01T00:00:00-07:002020-09248Noticehttps://www.govinfo.gov/content/pkg/FR-2020-05-01/pdf/2020-09248.pdfhttps://regulations.justia.com/regulations/fedreg/2020/05/01/2020-05526.htmlRule - Updated Disclosure Requirements and Summary Prospectus for Variable Annuity and Variable Life Insurance Contracts2020-05-01T00:00:00-07:002020-05-01T00:00:00-07:002020-05526Rulehttps://www.govinfo.gov/content/pkg/FR-2020-05-01/pdf/2020-05526.pdf