Federal Register Recent Federal Regulation Documents - Justia Regulation Tracker - Justia Regulations Trackerhttps://regulations.justia.com/regulations/fedreg/agencies/securities-and-exchange-commission/2020/06?limit=200®isters=between&min-day=1&max-day=30&mode=atom2024-05-21T02:52:31-07:00Justia Inchttps://www.justia.com/Justia Regulations Trackerhttps://regulations.justia.com/images/justiafedregulations.gifCopyright 2011 Justia Inchttps://regulations.justia.com/regulations/fedreg/2020/06/30/2020-14013.htmlNotice - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing of Proposed Rule Change, as Modified by Amendment No. 2, To Amend Chapter One of the Listed Company Manual To Modify the Provisions Relating to Direct Listings2020-06-30T00:00:00-07:002020-06-30T00:00:00-07:002020-14013Noticehttps://www.govinfo.gov/content/pkg/FR-2020-06-30/pdf/2020-14013.pdfhttps://regulations.justia.com/regulations/fedreg/2020/06/30/2020-14012.htmlNotice - Self-Regulatory Organizations; New York Stock 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 Amend Chapter One of the Listed Company Manual To Modify the Provisions Relating to Direct Listings2020-06-30T00:00:00-07:002020-06-30T00:00:00-07:002020-14012Noticehttps://www.govinfo.gov/content/pkg/FR-2020-06-30/pdf/2020-14012.pdfhttps://regulations.justia.com/regulations/fedreg/2020/06/30/2020-14011.htmlNotice - Self-Regulatory Organizations: Investors Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend IEX Rule 11.190(b)(13) To Discontinue the Market Maker Peg Order and Make Conforming Changes2020-06-30T00:00:00-07:002020-06-30T00:00:00-07:002020-14011Noticehttps://www.govinfo.gov/content/pkg/FR-2020-06-30/pdf/2020-14011.pdfhttps://regulations.justia.com/regulations/fedreg/2020/06/30/2020-14010.htmlNotice - Self-Regulatory Organizations; National Securities Clearing Corporation; Order Instituting Proceedings To Determine Whether To Approve or Disapprove 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 XV2020-06-30T00:00:00-07:002020-06-30T00:00:00-07:002020-14010Noticehttps://www.govinfo.gov/content/pkg/FR-2020-06-30/pdf/2020-14010.pdfhttps://regulations.justia.com/regulations/fedreg/2020/06/30/2020-14009.htmlNotice - Self-Regulatory Organizations; ICE Clear Credit LLC; Order Approving 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 Policy2020-06-30T00:00:00-07:002020-06-30T00:00:00-07:002020-14009Noticehttps://www.govinfo.gov/content/pkg/FR-2020-06-30/pdf/2020-14009.pdfhttps://regulations.justia.com/regulations/fedreg/2020/06/30/2020-14008.htmlNotice - Self-Regulatory Organizations; National Securities Clearing Corporation; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Modify the Clearing Fund Maintenance Fee2020-06-30T00:00:00-07:002020-06-30T00:00:00-07:002020-14008Noticehttps://www.govinfo.gov/content/pkg/FR-2020-06-30/pdf/2020-14008.pdfhttps://regulations.justia.com/regulations/fedreg/2020/06/30/2020-14007.htmlNotice - Self-Regulatory Organizations; MEMX LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the Exchange's Compliance Rules Regarding the National Market System Plan Governing the Consolidated Audit Trail2020-06-30T00:00:00-07:002020-06-30T00:00:00-07:002020-14007Noticehttps://www.govinfo.gov/content/pkg/FR-2020-06-30/pdf/2020-14007.pdfhttps://regulations.justia.com/regulations/fedreg/2020/06/30/2020-13830.htmlProposed Rule - Credit Risk Retention-Notification of Commencement of Review; Extension of Review Period2020-06-30T00:00:00-07:002020-06-30T00:00:00-07:002020-13830Proposed Rulehttps://www.govinfo.gov/content/pkg/FR-2020-06-30/pdf/2020-13830.pdfhttps://regulations.justia.com/regulations/fedreg/2020/06/29/2020-14017.htmlNotice - Sunshine Act Meetings2020-06-29T00:00:00-07:002020-06-29T00:00:00-07:002020-14017Noticehttps://www.govinfo.gov/content/pkg/FR-2020-06-29/pdf/2020-14017.pdfhttps://regulations.justia.com/regulations/fedreg/2020/06/29/2020-13880.htmlNotice - Self-Regulatory Organizations; Cboe BYX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to Amend Certain Rules Within Rules 4.5 Through 4.16, Which Contain the Exchange's Compliance Rule (“Compliance Rule”) Regarding the National Market System Plan Governing the Consolidated Audit Trail (the “CAT NMS Plan” or “Plan”)2020-06-29T00:00:00-07:002020-06-29T00:00:00-07:002020-13880Noticehttps://www.govinfo.gov/content/pkg/FR-2020-06-29/pdf/2020-13880.pdfhttps://regulations.justia.com/regulations/fedreg/2020/06/29/2020-13879.htmlNotice - Self-Regulatory Organizations; The Nasdaq Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Nasdaq General 7 (Consolidated Audit Trail Compliance)2020-06-29T00:00:00-07:002020-06-29T00:00:00-07:002020-13879Noticehttps://www.govinfo.gov/content/pkg/FR-2020-06-29/pdf/2020-13879.pdfhttps://regulations.justia.com/regulations/fedreg/2020/06/29/2020-13878.htmlNotice - Self-Regulatory Organizations; Miami International Securities Exchange, LLC; Notice of Filing and Order Granting Accelerated Approval of a Proposed Rule Change To Add the Consolidated Audit Trail Industry Member Compliance Rules to Exchange Rule 1014, Imposition of Fines for Minor Rule Violations2020-06-29T00:00:00-07:002020-06-29T00:00:00-07:002020-13878Noticehttps://www.govinfo.gov/content/pkg/FR-2020-06-29/pdf/2020-13878.pdfhttps://regulations.justia.com/regulations/fedreg/2020/06/29/2020-13877.htmlNotice - Self-Regulatory Organizations; Cboe BZX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating To Amend Certain Rules Within Rules 4.5 Through 4.16, Which Contain the Exchange's Compliance Rule (“Compliance Rule”) Regarding the National Market System Plan Governing the Consolidated Audit Trail (the “CAT NMS Plan” or “Plan”)2020-06-29T00:00:00-07:002020-06-29T00:00:00-07:002020-13877Noticehttps://www.govinfo.gov/content/pkg/FR-2020-06-29/pdf/2020-13877.pdfhttps://regulations.justia.com/regulations/fedreg/2020/06/29/2020-13876.htmlNotice - Self-Regulatory Organizations; Cboe EDGX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating To Amend Certain Rules Within Rules 4.5 Through 4.16, Which Contain the Exchange's Compliance Rule (“Compliance Rule”) Regarding the National Market System Plan Governing the Consolidated Audit Trail (the “CAT NMS Plan” or “Plan”)2020-06-29T00:00:00-07:002020-06-29T00:00:00-07:002020-13876Noticehttps://www.govinfo.gov/content/pkg/FR-2020-06-29/pdf/2020-13876.pdfhttps://regulations.justia.com/regulations/fedreg/2020/06/29/2020-13875.htmlNotice - Self-Regulatory Organizations; Cboe Exchange, Inc.; Notice of Filing of a Proposed Rule Change To Amend Rule 5.242020-06-29T00:00:00-07:002020-06-29T00:00:00-07:002020-13875Noticehttps://www.govinfo.gov/content/pkg/FR-2020-06-29/pdf/2020-13875.pdfhttps://regulations.justia.com/regulations/fedreg/2020/06/29/2020-13874.htmlNotice - Self-Regulatory Organizations; Cboe EDGA Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating To Amend Certain Rules Within Rules 4.5 Through 4.16, Which Contain the Exchange's Compliance Rule (“Compliance Rule”) Regarding the National Market System Plan Governing the Consolidated Audit Trail (the “CAT NMS Plan” or “Plan”)2020-06-29T00:00:00-07:002020-06-29T00:00:00-07:002020-13874Noticehttps://www.govinfo.gov/content/pkg/FR-2020-06-29/pdf/2020-13874.pdfhttps://regulations.justia.com/regulations/fedreg/2020/06/29/2020-13873.htmlNotice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Permit the Continued Listing and Trading of the WisdomTree Mortgage Plus Bond Fund2020-06-29T00:00:00-07:002020-06-29T00:00:00-07:002020-13873Noticehttps://www.govinfo.gov/content/pkg/FR-2020-06-29/pdf/2020-13873.pdfhttps://regulations.justia.com/regulations/fedreg/2020/06/29/2020-13872.htmlNotice - Self-Regulatory Organizations; Cboe Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Rule 6.1 in Order To Provide for a Consistent Documentation of Open Outcry Execution Information in the Event of an Exchange System Malfunction or Disruption2020-06-29T00:00:00-07:002020-06-29T00:00:00-07:002020-13872Noticehttps://www.govinfo.gov/content/pkg/FR-2020-06-29/pdf/2020-13872.pdfhttps://regulations.justia.com/regulations/fedreg/2020/06/29/2020-13871.htmlNotice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing of Proposed Rule Change, as Modified by Amendment No. 2, Relating to the Listing and Trading of the Shares of Natixis Vaughan Nelson Select ETF and Natixis Vaughan Nelson MidCap ETF Under Proposed NYSE Arca Rule 8.601-E2020-06-29T00:00:00-07:002020-06-29T00:00:00-07:002020-13871Noticehttps://www.govinfo.gov/content/pkg/FR-2020-06-29/pdf/2020-13871.pdfhttps://regulations.justia.com/regulations/fedreg/2020/06/29/2020-13870.htmlNotice - Self-Regulatory Organizations; Cboe BZX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the Content of the Cboe One Feed Under Rule 11.22(j) to Identify the Primary Listing Market's Official Opening and Closing Price2020-06-29T00:00:00-07:002020-06-29T00:00:00-07:002020-13870Noticehttps://www.govinfo.gov/content/pkg/FR-2020-06-29/pdf/2020-13870.pdfhttps://regulations.justia.com/regulations/fedreg/2020/06/29/2020-13869.htmlNotice - Self-Regulatory Organizations; Cboe BYX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the Content of the Cboe One Feed Under Rule 11.22(i) to Identify the Primary Listing Market's Official Opening and Closing Price2020-06-29T00:00:00-07:002020-06-29T00:00:00-07:002020-13869Noticehttps://www.govinfo.gov/content/pkg/FR-2020-06-29/pdf/2020-13869.pdfhttps://regulations.justia.com/regulations/fedreg/2020/06/29/2020-13868.htmlNotice - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Order Granting Accelerated Approval of a Proposed Rule Change To Add the Consolidated Audit Trail Industry Member Compliance Rules to the List of Minor Rule Violations2020-06-29T00:00:00-07:002020-06-29T00:00:00-07:002020-13868Noticehttps://www.govinfo.gov/content/pkg/FR-2020-06-29/pdf/2020-13868.pdfhttps://regulations.justia.com/regulations/fedreg/2020/06/26/2020-13933.htmlNotice - Sunshine Act Meeting; Cancellation2020-06-26T00:00:00-07:002020-06-26T00:00:00-07:002020-13933Noticehttps://www.govinfo.gov/content/pkg/FR-2020-06-26/pdf/2020-13933.pdfhttps://regulations.justia.com/regulations/fedreg/2020/06/26/2020-13790.htmlNotice - Order Under Section 6(c) and Section 38(a) of the Investment Company Act of 1940 Granting Exemptions From Sections 15(c) and 32(a) of the Investment Company Act and Rules 12b-1(b)(2) and 15a-4(b)(2)(ii) Thereunder2020-06-26T00:00:00-07:002020-06-26T00:00:00-07:002020-13790Noticehttps://www.govinfo.gov/content/pkg/FR-2020-06-26/pdf/2020-13790.pdfhttps://regulations.justia.com/regulations/fedreg/2020/06/26/2020-13773.htmlNotice - Self-Regulatory Organizations: Investors Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend IEX Rule Series 11.600 (Consolidated Audit Trail Compliance Rule)2020-06-26T00:00:00-07:002020-06-26T00:00:00-07:002020-13773Noticehttps://www.govinfo.gov/content/pkg/FR-2020-06-26/pdf/2020-13773.pdfhttps://regulations.justia.com/regulations/fedreg/2020/06/26/2020-13772.htmlNotice - Self-Regulatory Organizations; Nasdaq BX, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Equity 7, Section 1182020-06-26T00:00:00-07:002020-06-26T00:00:00-07:002020-13772Noticehttps://www.govinfo.gov/content/pkg/FR-2020-06-26/pdf/2020-13772.pdfhttps://regulations.justia.com/regulations/fedreg/2020/06/26/2020-13771.htmlNotice - Self-Regulatory Organizations; BOX Exchange LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend BOX Rule 16000 Series (Consolidated Audit Trail Compliance Rule)2020-06-26T00:00:00-07:002020-06-26T00:00:00-07:002020-13771Noticehttps://www.govinfo.gov/content/pkg/FR-2020-06-26/pdf/2020-13771.pdfhttps://regulations.justia.com/regulations/fedreg/2020/06/26/2020-13770.htmlNotice - Self-Regulatory Organizations; The Nasdaq Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Equity 7, Section 114 and Equity 7, Section 118(a) of the Fee Schedule2020-06-26T00:00:00-07:002020-06-26T00:00:00-07:002020-13770Noticehttps://www.govinfo.gov/content/pkg/FR-2020-06-26/pdf/2020-13770.pdfhttps://regulations.justia.com/regulations/fedreg/2020/06/26/2020-13769.htmlNotice - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the FINRA Rule 6800 Series (Consolidated Audit Trail Compliance Rule)2020-06-26T00:00:00-07:002020-06-26T00:00:00-07:002020-13769Noticehttps://www.govinfo.gov/content/pkg/FR-2020-06-26/pdf/2020-13769.pdfhttps://regulations.justia.com/regulations/fedreg/2020/06/26/2020-13767.htmlNotice - Self-Regulatory Organizations; Long-Term Stock Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the LTSE Rule 11.600 Series (Consolidated Audit Trail Compliance Rule)2020-06-26T00:00:00-07:002020-06-26T00:00:00-07:002020-13767Noticehttps://www.govinfo.gov/content/pkg/FR-2020-06-26/pdf/2020-13767.pdfhttps://regulations.justia.com/regulations/fedreg/2020/06/26/2020-13766.htmlNotice - Self-Regulatory Organizations; Miami International Securities Exchange, LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Chapter XVII, Consolidated Audit Trail Compliance Rule2020-06-26T00:00:00-07:002020-06-26T00:00:00-07:002020-13766Noticehttps://www.govinfo.gov/content/pkg/FR-2020-06-26/pdf/2020-13766.pdfhttps://regulations.justia.com/regulations/fedreg/2020/06/26/2020-13764.htmlNotice - Self-Regulatory Organizations; The Nasdaq Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Adopt Nasdaq Rule 5750 To List and Trade Proxy Portfolio Shares2020-06-26T00:00:00-07:002020-06-26T00:00:00-07:002020-13764Noticehttps://www.govinfo.gov/content/pkg/FR-2020-06-26/pdf/2020-13764.pdfhttps://regulations.justia.com/regulations/fedreg/2020/06/25/2020-13678.htmlNotice - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing of Amendment No. 2 and Order Granting Accelerated Approval of Proposed Rule Change, as Modified by Amendment No. 2, To Amend Consolidated Audit Trail Compliance Rules2020-06-25T00:00:00-07:002020-06-25T00:00:00-07:002020-13678Noticehttps://www.govinfo.gov/content/pkg/FR-2020-06-25/pdf/2020-13678.pdfhttps://regulations.justia.com/regulations/fedreg/2020/06/25/2020-13671.htmlNotice - Self-Regulatory Organizations; NYSE American LLC; Notice of Filing of Amendment No. 2 and Order Granting Accelerated Approval of Proposed Rule Change, as Modified by Amendment No. 2, To Amend Consolidated Audit Trail Compliance Rules2020-06-25T00:00:00-07:002020-06-25T00:00:00-07:002020-13671Noticehttps://www.govinfo.gov/content/pkg/FR-2020-06-25/pdf/2020-13671.pdfhttps://regulations.justia.com/regulations/fedreg/2020/06/25/2020-13669.htmlNotice - Self-Regulatory Organizations; NYSE Chicago, Inc.; Notice of Filing of Amendment No. 3 and Order Granting Accelerated Approval of Proposed Rule Change, as Modified by Amendment No. 3, To Amend Consolidated Audit Trail Compliance Rules2020-06-25T00:00:00-07:002020-06-25T00:00:00-07:002020-13669Noticehttps://www.govinfo.gov/content/pkg/FR-2020-06-25/pdf/2020-13669.pdfhttps://regulations.justia.com/regulations/fedreg/2020/06/25/2020-13668.htmlNotice - Self-Regulatory Organizations; NYSE National, Inc.; Notice of Filing of Amendment No. 2 and Order Granting Accelerated Approval of Proposed Rule Change, as Modified by Amendment No. 2, To Amend Consolidated Audit Trail Compliance Rules2020-06-25T00:00:00-07:002020-06-25T00:00:00-07:002020-13668Noticehttps://www.govinfo.gov/content/pkg/FR-2020-06-25/pdf/2020-13668.pdfhttps://regulations.justia.com/regulations/fedreg/2020/06/25/2020-13667.htmlNotice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing of Amendment No. 2 and Order Granting Accelerated Approval of Proposed Rule Change, as Modified by Amendment No. 2, To Amend Consolidated Audit Trail Compliance Rules2020-06-25T00:00:00-07:002020-06-25T00:00:00-07:002020-13667Noticehttps://www.govinfo.gov/content/pkg/FR-2020-06-25/pdf/2020-13667.pdfhttps://regulations.justia.com/regulations/fedreg/2020/06/24/2020-13541.htmlNotice - Self-Regulatory Organizations; National Securities Clearing Corporation; Notice of Filing of and Immediate Effectiveness of a Proposed Rule Change To Amend Rules With Respect to Index Receipts2020-06-24T00:00:00-07:002020-06-24T00:00:00-07:002020-13541Noticehttps://www.govinfo.gov/content/pkg/FR-2020-06-24/pdf/2020-13541.pdfhttps://regulations.justia.com/regulations/fedreg/2020/06/24/2020-13539.htmlNotice - Self-Regulatory Organizations; Financial Industry Regulatory Authority, 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 FINRA's Suitability, Non-Cash Compensation and Capital Acquisition Broker (CAB) Rules in Response to Regulation Best Interest2020-06-24T00:00:00-07:002020-06-24T00:00:00-07:002020-13539Noticehttps://www.govinfo.gov/content/pkg/FR-2020-06-24/pdf/2020-13539.pdfhttps://regulations.justia.com/regulations/fedreg/2020/06/24/2020-13537.htmlNotice - Self-Regulatory Organizations; Miami International Securities Exchange, LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Temporarily Extend Filing Deadlines for Certain Supervision-Related Reports2020-06-24T00:00:00-07:002020-06-24T00:00:00-07:002020-13537Noticehttps://www.govinfo.gov/content/pkg/FR-2020-06-24/pdf/2020-13537.pdfhttps://regulations.justia.com/regulations/fedreg/2020/06/24/2020-13536.htmlNotice - Self-Regulatory Organizations; ICE Clear Europe Limited; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Amendments to the ICE Clear Europe Model Risk Governance Framework2020-06-24T00:00:00-07:002020-06-24T00:00:00-07:002020-13536Noticehttps://www.govinfo.gov/content/pkg/FR-2020-06-24/pdf/2020-13536.pdfhttps://regulations.justia.com/regulations/fedreg/2020/06/24/2020-13535.htmlNotice - Self-Regulatory Organizations; Municipal Securities Rulemaking Board; Notice of Filing of a Proposed Rule Change Consisting of Amendments to MSRB Rules A-3 and A-6 That Are Designed To Improve Board Governance2020-06-24T00:00:00-07:002020-06-24T00:00:00-07:002020-13535Noticehttps://www.govinfo.gov/content/pkg/FR-2020-06-24/pdf/2020-13535.pdfhttps://regulations.justia.com/regulations/fedreg/2020/06/23/2020-13512.htmlNotice - Submission for OMB Review; Comment Request2020-06-23T00:00:00-07:002020-06-23T00:00:00-07:002020-13512Noticehttps://www.govinfo.gov/content/pkg/FR-2020-06-23/pdf/2020-13512.pdfhttps://regulations.justia.com/regulations/fedreg/2020/06/23/2020-13484.htmlNotice - Asset Management Advisory Committee2020-06-23T00:00:00-07:002020-06-23T00:00:00-07:002020-13484Noticehttps://www.govinfo.gov/content/pkg/FR-2020-06-23/pdf/2020-13484.pdfhttps://regulations.justia.com/regulations/fedreg/2020/06/23/2020-13437.htmlNotice - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Add, for a Temporary Period That Begins on June 17, 2020, Commentary .06 to Rule 7.35A; Commentary .03 to Rule 7.35B; Supplementary Material .20 to Rule 76; and an Amendment to Supplementary Material .30 to Rule 36 To Support the Partial Return of Designated Market Makers to the Trading Floor2020-06-23T00:00:00-07:002020-06-23T00:00:00-07:002020-13437Noticehttps://www.govinfo.gov/content/pkg/FR-2020-06-23/pdf/2020-13437.pdfhttps://regulations.justia.com/regulations/fedreg/2020/06/23/2020-13436.htmlNotice - Self-Regulatory Organizations; Cboe BZX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Rule 21.5 To Conform the Rule to Section 3.1 of the Plan for the Purpose of Developing and Implementing Procedures Designed To Facilitate the Listing and Trading of Standardized Options and Add New Rule 21.5(d)2020-06-23T00:00:00-07:002020-06-23T00:00:00-07:002020-13436Noticehttps://www.govinfo.gov/content/pkg/FR-2020-06-23/pdf/2020-13436.pdfhttps://regulations.justia.com/regulations/fedreg/2020/06/23/2020-13435.htmlNotice - Self-Regulatory Organizations; Cboe EDGA Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the Content of the Cboe One Feed Under Rule 13.8(b) To Identify the Primary Listing Market's Official Opening and Closing Price2020-06-23T00:00:00-07:002020-06-23T00:00:00-07:002020-13435Noticehttps://www.govinfo.gov/content/pkg/FR-2020-06-23/pdf/2020-13435.pdfhttps://regulations.justia.com/regulations/fedreg/2020/06/23/2020-13434.htmlNotice - Self-Regulatory Organizations; Cboe EDGX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the Content of the Cboe One Feed Under Rule 13.8(b) To Identify the Primary Listing Market's Official Opening and Closing Price2020-06-23T00:00:00-07:002020-06-23T00:00:00-07:002020-13434Noticehttps://www.govinfo.gov/content/pkg/FR-2020-06-23/pdf/2020-13434.pdfhttps://regulations.justia.com/regulations/fedreg/2020/06/23/2020-13433.htmlNotice - Program for Allocation of Regulatory Responsibilities Pursuant to Rule 17d-2; Order Approving and Declaring Effective a Proposed Plan for the Allocation of Regulatory Responsibilities Between the Financial Industry Regulatory Authority, Inc. and MEMX LLC2020-06-23T00:00:00-07:002020-06-23T00:00:00-07:002020-13433Noticehttps://www.govinfo.gov/content/pkg/FR-2020-06-23/pdf/2020-13433.pdfhttps://regulations.justia.com/regulations/fedreg/2020/06/23/2020-13432.htmlNotice - Self-Regulatory Organizations; Cboe C2 Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Rule 6.4 To Conform the Rule to Section 3.1 of the Plan for the Purpose of Developing and Implementing Procedures Designed To Facilitate the Listing and Trading of Standardized Options and Add New Rule 6.4(c)2020-06-23T00:00:00-07:002020-06-23T00:00:00-07:002020-13432Noticehttps://www.govinfo.gov/content/pkg/FR-2020-06-23/pdf/2020-13432.pdfhttps://regulations.justia.com/regulations/fedreg/2020/06/23/2020-13431.htmlNotice - Self-Regulatory Organizations; Cboe EDGX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Rule 21.5 To Conform the Rule to Section 3.1 of the Plan for the Purpose of Developing and Implementing Procedures Designed To Facilitate the Listing and Trading of Standardized Options and Add New Rule 21.5(e)2020-06-23T00:00:00-07:002020-06-23T00:00:00-07:002020-13431Noticehttps://www.govinfo.gov/content/pkg/FR-2020-06-23/pdf/2020-13431.pdfhttps://regulations.justia.com/regulations/fedreg/2020/06/23/2020-13430.htmlNotice - Self-Regulatory Organizations; Miami International Securities Exchange, LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Exchange Rule 518, Complex Orders2020-06-23T00:00:00-07:002020-06-23T00:00:00-07:002020-13430Noticehttps://www.govinfo.gov/content/pkg/FR-2020-06-23/pdf/2020-13430.pdfhttps://regulations.justia.com/regulations/fedreg/2020/06/23/2020-13405.htmlNotice - Hamilton Lane Private Assets Fund and Hamilton Lane Advisors, L.L.C.2020-06-23T00:00:00-07:002020-06-23T00:00:00-07:002020-13405Noticehttps://www.govinfo.gov/content/pkg/FR-2020-06-23/pdf/2020-13405.pdfhttps://regulations.justia.com/regulations/fedreg/2020/06/22/2020-13312.htmlNotice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing of Proposed Rule Change To Amend NYSE Arca Rule 5.2-E(j)(6) Relating to Options-Linked Securities2020-06-22T00:00:00-07:002020-06-22T00:00:00-07:002020-13312Noticehttps://www.govinfo.gov/content/pkg/FR-2020-06-22/pdf/2020-13312.pdfhttps://regulations.justia.com/regulations/fedreg/2020/06/22/2020-13311.htmlNotice - Self-Regulatory Organizations; Cboe Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Rule 5.4 To Conform the Rule to Section 3.1 of the Plan for the Purpose of Developing and Implementing Procedures Designed To Facilitate the Listing and Trading of Standardized Options and Add New Rule 5.4(d)2020-06-22T00:00:00-07:002020-06-22T00:00:00-07:002020-13311Noticehttps://www.govinfo.gov/content/pkg/FR-2020-06-22/pdf/2020-13311.pdfhttps://regulations.justia.com/regulations/fedreg/2020/06/22/2020-13310.htmlNotice - Self-Regulatory Organizations; Cboe BZX Exchange, Inc.; Notice of Designation of a Longer Period for Commission Action on a Proposed Rule Change To Amend Rule 14.11, Other Securities2020-06-22T00:00:00-07:002020-06-22T00:00:00-07:002020-13310Noticehttps://www.govinfo.gov/content/pkg/FR-2020-06-22/pdf/2020-13310.pdfhttps://regulations.justia.com/regulations/fedreg/2020/06/22/2020-13309.htmlNotice - Self-Regulatory Organizations; The Nasdaq Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Delay the Protocol “Ouch To Trade Options” or “OTTO”2020-06-22T00:00:00-07:002020-06-22T00:00:00-07:002020-13309Noticehttps://www.govinfo.gov/content/pkg/FR-2020-06-22/pdf/2020-13309.pdfhttps://regulations.justia.com/regulations/fedreg/2020/06/22/2020-13308.htmlNotice - Self-Regulatory Organizations; ICE Clear Credit LLC; Notice of Filing of Proposed Rule Change, Security-Based Swap Submission, or Advance Notice Relating to the ICC Exercise Procedures and ICC Clearing Rules2020-06-22T00:00:00-07:002020-06-22T00:00:00-07:002020-13308Noticehttps://www.govinfo.gov/content/pkg/FR-2020-06-22/pdf/2020-13308.pdfhttps://regulations.justia.com/regulations/fedreg/2020/06/19/2020-13411.htmlNotice - Sunshine Act Meetings2020-06-19T00:00:00-07:002020-06-19T00:00:00-07:002020-13411Noticehttps://www.govinfo.gov/content/pkg/FR-2020-06-19/pdf/2020-13411.pdfhttps://regulations.justia.com/regulations/fedreg/2020/06/19/2020-13284.htmlNotice - Order Granting a Temporary Conditional Exemption From the Broker Registration Requirements of Section 15(a) of the Securities Exchange Act of 1934 for Certain Activities of Registered Municipal Advisors2020-06-19T00:00:00-07:002020-06-19T00:00:00-07:002020-13284Noticehttps://www.govinfo.gov/content/pkg/FR-2020-06-19/pdf/2020-13284.pdfhttps://regulations.justia.com/regulations/fedreg/2020/06/19/2020-13209.htmlNotice - Self-Regulatory Organizations; Nasdaq ISE, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the ISE Disciplinary Rules in General 5 To Incorporate by Reference The Nasdaq Stock Market LLC's Series 8000 and 9000 Rules2020-06-19T00:00:00-07:002020-06-19T00:00:00-07:002020-13209Noticehttps://www.govinfo.gov/content/pkg/FR-2020-06-19/pdf/2020-13209.pdfhttps://regulations.justia.com/regulations/fedreg/2020/06/19/2020-13208.htmlNotice - Self-Regulatory Organizations; Nasdaq GEMX, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the GEMX Disciplinary Rules in General 5 To Incorporate by Reference The Nasdaq Stock Market LLC's Series 8000 and 9000 Rules2020-06-19T00:00:00-07:002020-06-19T00:00:00-07:002020-13208Noticehttps://www.govinfo.gov/content/pkg/FR-2020-06-19/pdf/2020-13208.pdfhttps://regulations.justia.com/regulations/fedreg/2020/06/19/2020-13207.htmlNotice - Self-Regulatory Organizations; NYSE Arca, Inc.; Order Approving a Proposed Rule Change, as Modified by Amendment No. 1, To Make Certain Changes Regarding the Investments of the PIMCO Enhanced Short Maturity Active ESG Exchange-Traded Fund2020-06-19T00:00:00-07:002020-06-19T00:00:00-07:002020-13207Noticehttps://www.govinfo.gov/content/pkg/FR-2020-06-19/pdf/2020-13207.pdfhttps://regulations.justia.com/regulations/fedreg/2020/06/19/2020-13205.htmlNotice - Self-Regulatory Organizations; Cboe BZX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the Fee Schedule2020-06-19T00:00:00-07:002020-06-19T00:00:00-07:002020-13205Noticehttps://www.govinfo.gov/content/pkg/FR-2020-06-19/pdf/2020-13205.pdfhttps://regulations.justia.com/regulations/fedreg/2020/06/19/2020-13204.htmlNotice - Self-Regulatory Organizations; Nasdaq MRX, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the MRX Disciplinary Rules in General 5 To Incorporate by Reference The Nasdaq Stock Market LLC's Series 8000 and 9000 Rules2020-06-19T00:00:00-07:002020-06-19T00:00:00-07:002020-13204Noticehttps://www.govinfo.gov/content/pkg/FR-2020-06-19/pdf/2020-13204.pdfhttps://regulations.justia.com/regulations/fedreg/2020/06/19/2020-13201.htmlNotice - Self-Regulatory Organizations; NYSE National, Inc.; Request for Information and Additional Comment on a Proposed Rule Change To Establish Fees for the NYSE National Integrated Feed2020-06-19T00:00:00-07:002020-06-19T00:00:00-07:002020-13201Noticehttps://www.govinfo.gov/content/pkg/FR-2020-06-19/pdf/2020-13201.pdfhttps://regulations.justia.com/regulations/fedreg/2020/06/18/2020-13127.htmlNotice - Securities Exchange Act of 1934; Order Denying Stay; In the Matter of Order Directing the Exchanges and the Financial Industry Regulatory Authority To Submit a New National Market System Plan Regarding Consolidated Equity Market Data2020-06-18T00:00:00-07:002020-06-18T00:00:00-07:002020-13127Noticehttps://www.govinfo.gov/content/pkg/FR-2020-06-18/pdf/2020-13127.pdfhttps://regulations.justia.com/regulations/fedreg/2020/06/18/2020-13124.htmlNotice - Self-Regulatory Organizations; Cboe EDGX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the Fee Schedule2020-06-18T00:00:00-07:002020-06-18T00:00:00-07:002020-13124Noticehttps://www.govinfo.gov/content/pkg/FR-2020-06-18/pdf/2020-13124.pdfhttps://regulations.justia.com/regulations/fedreg/2020/06/18/2020-13123.htmlNotice - Self-Regulatory Organizations; Cboe Exchange, Inc.; Notice of Filing of a Proposed Rule Change Relating To Amend Rules 5.37, 5.38 and Rule 5.732020-06-18T00:00:00-07:002020-06-18T00:00:00-07:002020-13123Noticehttps://www.govinfo.gov/content/pkg/FR-2020-06-18/pdf/2020-13123.pdfhttps://regulations.justia.com/regulations/fedreg/2020/06/18/2020-13122.htmlNotice - Self-Regulatory Organizations; Cboe Exchange, Inc.; Notice of Filing of a Proposed Rule Change To Amend Rules 5.37 and 5.732020-06-18T00:00:00-07:002020-06-18T00:00:00-07:002020-13122Noticehttps://www.govinfo.gov/content/pkg/FR-2020-06-18/pdf/2020-13122.pdfhttps://regulations.justia.com/regulations/fedreg/2020/06/18/2020-13121.htmlNotice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Modify the NYSE Arca Options Fee Schedule Regarding Pricing Incentives for Certain Posted Volume2020-06-18T00:00:00-07:002020-06-18T00:00:00-07:002020-13121Noticehttps://www.govinfo.gov/content/pkg/FR-2020-06-18/pdf/2020-13121.pdfhttps://regulations.justia.com/regulations/fedreg/2020/06/18/2020-13120.htmlNotice - Self-Regulatory Organizations; ICE Clear Europe Limited; Notice of Filing of Proposed Rule Change Relating to Amendments to the ICE Clear Europe Clearing Rules2020-06-18T00:00:00-07:002020-06-18T00:00:00-07:002020-13120Noticehttps://www.govinfo.gov/content/pkg/FR-2020-06-18/pdf/2020-13120.pdfhttps://regulations.justia.com/regulations/fedreg/2020/06/18/2020-13119.htmlNotice - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Modify Temporarily the Auction Collars for Exchange-Facilitated Core Open Auctions Under Rule 7.35C2020-06-18T00:00:00-07:002020-06-18T00:00:00-07:002020-13119Noticehttps://www.govinfo.gov/content/pkg/FR-2020-06-18/pdf/2020-13119.pdfhttps://regulations.justia.com/regulations/fedreg/2020/06/18/2020-13118.htmlNotice - Self-Regulatory Organizations; Cboe Exchange, Inc.; Notice of Filing of a Proposed Rule Change To Amend Its Automated Price Improvement Auction Rules in Connection With Agency Order Size Requirements2020-06-18T00:00:00-07:002020-06-18T00:00:00-07:002020-13118Noticehttps://www.govinfo.gov/content/pkg/FR-2020-06-18/pdf/2020-13118.pdfhttps://regulations.justia.com/regulations/fedreg/2020/06/18/2020-13117.htmlNotice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Designation of a Longer Period for Commission Action on Proceedings To Determine Whether To Approve or Disapprove a Proposed Rule Change To List and Trade Shares of the AdvisorShares Pure U.S. Cannabis ETF Under NYSE Arca Rule 8.600-E2020-06-18T00:00:00-07:002020-06-18T00:00:00-07:002020-13117Noticehttps://www.govinfo.gov/content/pkg/FR-2020-06-18/pdf/2020-13117.pdfhttps://regulations.justia.com/regulations/fedreg/2020/06/18/2020-13116.htmlNotice - Self-Regulatory Organizations; Cboe C2 Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Adopt Chapter 6, Section G Regarding Off-Floor Transactions and Transfers2020-06-18T00:00:00-07:002020-06-18T00:00:00-07:002020-13116Noticehttps://www.govinfo.gov/content/pkg/FR-2020-06-18/pdf/2020-13116.pdfhttps://regulations.justia.com/regulations/fedreg/2020/06/18/2020-13113.htmlNotice - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Extend the Effective Date of the Temporary Amendments Set Forth in SR-FINRA-2020-0152020-06-18T00:00:00-07:002020-06-18T00:00:00-07:002020-13113Noticehttps://www.govinfo.gov/content/pkg/FR-2020-06-18/pdf/2020-13113.pdfhttps://regulations.justia.com/regulations/fedreg/2020/06/17/2020-13089.htmlNotice - Sunshine Act Meetings2020-06-17T00:00:00-07:002020-06-17T00:00:00-07:002020-13089Noticehttps://www.govinfo.gov/content/pkg/FR-2020-06-17/pdf/2020-13089.pdfhttps://regulations.justia.com/regulations/fedreg/2020/06/17/2020-13069.htmlNotice - Proposed Collection for OMB Review; Comment Request2020-06-17T00:00:00-07:002020-06-17T00:00:00-07:002020-13069Noticehttps://www.govinfo.gov/content/pkg/FR-2020-06-17/pdf/2020-13069.pdfhttps://regulations.justia.com/regulations/fedreg/2020/06/17/2020-13065.htmlNotice - Proposed Collection for OMB Review; Comment Request2020-06-17T00:00:00-07:002020-06-17T00:00:00-07:002020-13065Noticehttps://www.govinfo.gov/content/pkg/FR-2020-06-17/pdf/2020-13065.pdfhttps://regulations.justia.com/regulations/fedreg/2020/06/17/2020-13000.htmlNotice - Joint Industry Plan; Notice of Filing of Amendment to the National Market System Plan Governing the Consolidated Audit Trail by BOX Options Exchange LLC, Cboe BYX Exchange, Inc., Cboe BZX Exchange, Inc., Cboe EDGA Exchange, Inc., Cboe EDGX Exchange, Inc., Cboe C2 Options Exchange, Inc., Cboe Exchange, Inc., Financial Industry Regulatory Authority, Inc., Investors' Exchange LLC, Long-Term Stock Exchange LLC, Miami International Securities Exchange, LLC, MIAX EMERALD, LLC, MIAX PEARL, LLC, Nasdaq BX, Inc., Nasdaq GEMX, LLC, Nasdaq ISE, LLC, Nasdaq MRX, LLC, Nasdaq PHLX LLC, The Nasdaq Stock Market LLC, New York Stock Exchange LLC, NYSE Arca, Inc., NYSE American, LLC, NYSE Chicago, Inc. and NYSE National, Inc.2020-06-17T00:00:00-07:002020-06-17T00:00:00-07:002020-13000Noticehttps://www.govinfo.gov/content/pkg/FR-2020-06-17/pdf/2020-13000.pdfhttps://regulations.justia.com/regulations/fedreg/2020/06/17/2020-12998.htmlNotice - Order Granting Conditional Exemptive Relief, Pursuant to Section 36 of the Securities Exchange Act of 1934 (“Exchange Act”) and Rule 608(e) of Regulation NMS Under the Exchange Act, From Sections 6.4(d)(ii)(A)(2) and (B) of the National Market System Plan Governing the Consolidated Audit Trail2020-06-17T00:00:00-07:002020-06-17T00:00:00-07:002020-12998Noticehttps://www.govinfo.gov/content/pkg/FR-2020-06-17/pdf/2020-12998.pdfhttps://regulations.justia.com/regulations/fedreg/2020/06/17/2020-12989.htmlNotice - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Its Price List2020-06-17T00:00:00-07:002020-06-17T00:00:00-07:002020-12989Noticehttps://www.govinfo.gov/content/pkg/FR-2020-06-17/pdf/2020-12989.pdfhttps://regulations.justia.com/regulations/fedreg/2020/06/17/2020-12988.htmlNotice - Self-Regulatory Organizations; NYSE American LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Modifying the NYSE American Options Fee Schedule2020-06-17T00:00:00-07:002020-06-17T00:00:00-07:002020-12988Noticehttps://www.govinfo.gov/content/pkg/FR-2020-06-17/pdf/2020-12988.pdfhttps://regulations.justia.com/regulations/fedreg/2020/06/17/2020-12987.htmlNotice - Self-Regulatory Organizations; Nasdaq GEMX, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend GEMX's Pricing Schedule at Options 7, Sections 3 and 42020-06-17T00:00:00-07:002020-06-17T00:00:00-07:002020-12987Noticehttps://www.govinfo.gov/content/pkg/FR-2020-06-17/pdf/2020-12987.pdfhttps://regulations.justia.com/regulations/fedreg/2020/06/17/2020-12986.htmlNotice - Self-Regulatory Organizations; Cboe BZX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Its Fee Schedule2020-06-17T00:00:00-07:002020-06-17T00:00:00-07:002020-12986Noticehttps://www.govinfo.gov/content/pkg/FR-2020-06-17/pdf/2020-12986.pdfhttps://regulations.justia.com/regulations/fedreg/2020/06/17/2020-12985.htmlNotice - Self-Regulatory Organizations; Nasdaq MRX, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Its Pricing Schedule at Options 72020-06-17T00:00:00-07:002020-06-17T00:00:00-07:002020-12985Noticehttps://www.govinfo.gov/content/pkg/FR-2020-06-17/pdf/2020-12985.pdfhttps://regulations.justia.com/regulations/fedreg/2020/06/17/2020-12984.htmlNotice - Self-Regulatory Organizations; NYSE American LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Amending the NYSE American Options Fee Schedule To Adopt a New Incentive Program for Floor Brokers2020-06-17T00:00:00-07:002020-06-17T00:00:00-07:002020-12984Noticehttps://www.govinfo.gov/content/pkg/FR-2020-06-17/pdf/2020-12984.pdfhttps://regulations.justia.com/regulations/fedreg/2020/06/17/2020-12983.htmlNotice - Self-Regulatory Organizations; BOX Exchange LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Section II of the Fee Schedule (Manual Transaction Fees) on the BOX Options Market LLC Facility2020-06-17T00:00:00-07:002020-06-17T00:00:00-07:002020-12983Noticehttps://www.govinfo.gov/content/pkg/FR-2020-06-17/pdf/2020-12983.pdfhttps://regulations.justia.com/regulations/fedreg/2020/06/16/2020-12904.htmlNotice - Self-Regulatory Organizations; Nasdaq PHLX LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Phlx Pricing Schedule at Options 7, Section 8, Membership Fees and Options 7, Section 9, Other Member Fees2020-06-16T00:00:00-07:002020-06-16T00:00:00-07:002020-12904Noticehttps://www.govinfo.gov/content/pkg/FR-2020-06-16/pdf/2020-12904.pdfhttps://regulations.justia.com/regulations/fedreg/2020/06/16/2020-12900.htmlNotice - Self-Regulatory Organizations; The Options Clearing Corporation; Notice of No Objection To Advance Notice Related to Changes to the Options Clearing Corporation's Non-Bank Repo Facility Program as Part of Its Overall Liquidity Plan2020-06-16T00:00:00-07:002020-06-16T00:00:00-07:002020-12900Noticehttps://www.govinfo.gov/content/pkg/FR-2020-06-16/pdf/2020-12900.pdfhttps://regulations.justia.com/regulations/fedreg/2020/06/16/2020-12896.htmlNotice - Program for Allocation of Regulatory Responsibilities Pursuant to Rule 17d-2; Notice of Filing and Order Approving and Declaring Effective an Amendment to the Plan for the Allocation of Regulatory Responsibilities Between Cboe BZX Exchange, Inc., Cboe BYX Exchange, Inc., BOX Exchange LLC, Cboe Exchange, Inc., Cboe C2 Exchange, Inc., NYSE Chicago, Inc., Cboe EDGA Exchange, Inc., Cboe EDGX Exchange, Inc., Financial Industry Regulatory Authority, Inc., Long-Term Stock Exchange, Inc., MEMX LLC, Nasdaq ISE, LLC, Nasdaq GEMX, LLC, Nasdaq MRX, LLC, Investors Exchange LLC, Miami International Securities Exchange, LLC, MIAX PEARL, LLC, MIAX Emerald, LLC, The Nasdaq Stock Market LLC, Nasdaq BX, Inc., Nasdaq PHLX LLC, NYSE National, Inc., New York Stock Exchange LLC, NYSE American LLC, and NYSE Arca, Inc. Concerning Covered Regulation NMS and Consolidated Audit Trail Rules2020-06-16T00:00:00-07:002020-06-16T00:00:00-07:002020-12896Noticehttps://www.govinfo.gov/content/pkg/FR-2020-06-16/pdf/2020-12896.pdfhttps://regulations.justia.com/regulations/fedreg/2020/06/16/2020-12895.htmlNotice - Self-Regulatory Organizations; Nasdaq PHLX LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Phlx Options 5, Section 42020-06-16T00:00:00-07:002020-06-16T00:00:00-07:002020-12895Noticehttps://www.govinfo.gov/content/pkg/FR-2020-06-16/pdf/2020-12895.pdfhttps://regulations.justia.com/regulations/fedreg/2020/06/16/2020-12894.htmlNotice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Modify the NYSE Arca Options Fee Schedule2020-06-16T00:00:00-07:002020-06-16T00:00:00-07:002020-12894Noticehttps://www.govinfo.gov/content/pkg/FR-2020-06-16/pdf/2020-12894.pdfhttps://regulations.justia.com/regulations/fedreg/2020/06/16/2020-12893.htmlNotice - Self-Regulatory Organizations; The Options Clearing Corporation; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Make Administrative Updates to The Options Clearing Corporation's Risk Management Policies2020-06-16T00:00:00-07:002020-06-16T00:00:00-07:002020-12893Noticehttps://www.govinfo.gov/content/pkg/FR-2020-06-16/pdf/2020-12893.pdfhttps://regulations.justia.com/regulations/fedreg/2020/06/16/2020-12892.htmlNotice - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Extend the Implementation of FINRA Rule 4240 (Margin Requirements for Credit Default Swaps)2020-06-16T00:00:00-07:002020-06-16T00:00:00-07:002020-12892Noticehttps://www.govinfo.gov/content/pkg/FR-2020-06-16/pdf/2020-12892.pdfhttps://regulations.justia.com/regulations/fedreg/2020/06/15/2020-12791.htmlNotice - Self-Regulatory Organizations; Miami International Securities Exchange, LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Its Fee Schedule2020-06-15T00:00:00-07:002020-06-15T00:00:00-07:002020-12791Noticehttps://www.govinfo.gov/content/pkg/FR-2020-06-15/pdf/2020-12791.pdfhttps://regulations.justia.com/regulations/fedreg/2020/06/15/2020-12790.htmlNotice - Self-Regulatory Organizations; Cboe BZX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Allow Members and Clearing Members To Establish or Adjust the Risk Settings Set Forth in Interpretation and Policy .03 of Exchange Rule 11.13 on a Risk Group Identifier Basis2020-06-15T00:00:00-07:002020-06-15T00:00:00-07:002020-12790Noticehttps://www.govinfo.gov/content/pkg/FR-2020-06-15/pdf/2020-12790.pdfhttps://regulations.justia.com/regulations/fedreg/2020/06/15/2020-12789.htmlNotice - Self-Regulatory Organizations; Cboe BYX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Allow Members and Clearing Members To Establish or Adjust the Risk Settings Set Forth in Interpretation and Policy .03 of Exchange Rule 11.13 on a Risk Group Identifier Basis2020-06-15T00:00:00-07:002020-06-15T00:00:00-07:002020-12789Noticehttps://www.govinfo.gov/content/pkg/FR-2020-06-15/pdf/2020-12789.pdfhttps://regulations.justia.com/regulations/fedreg/2020/06/12/2020-12888.htmlNotice - Sunshine Act Meetings2020-06-12T00:00:00-07:002020-06-12T00:00:00-07:002020-12888Noticehttps://www.govinfo.gov/content/pkg/FR-2020-06-12/pdf/2020-12888.pdfhttps://regulations.justia.com/regulations/fedreg/2020/06/12/2020-12842.htmlNotice - Sunshine Act Meeting; Cancellation2020-06-12T00:00:00-07:002020-06-12T00:00:00-07:002020-12842Noticehttps://www.govinfo.gov/content/pkg/FR-2020-06-12/pdf/2020-12842.pdfhttps://regulations.justia.com/regulations/fedreg/2020/06/12/2020-12735.htmlNotice - Securities Investor Protection Corporation; Order Approving Proposed Bylaw Change, as Revised by Amendment No. 1, Relating to SIPC Board Compensation2020-06-12T00:00:00-07:002020-06-12T00:00:00-07:002020-12735Noticehttps://www.govinfo.gov/content/pkg/FR-2020-06-12/pdf/2020-12735.pdfhttps://regulations.justia.com/regulations/fedreg/2020/06/12/2020-12733.htmlNotice - Securities Investor Protection Corporation; Order Approving Proposed Bylaw Change Relating to SIPC Member Assessments2020-06-12T00:00:00-07:002020-06-12T00:00:00-07:002020-12733Noticehttps://www.govinfo.gov/content/pkg/FR-2020-06-12/pdf/2020-12733.pdfhttps://regulations.justia.com/regulations/fedreg/2020/06/12/2020-12686.htmlNotice - Self-Regulatory Organizations; The Nasdaq Stock Market LLC; Notice of Filing of Proposed Rule Change To Adopt a New Requirement Related to the Qualification of Management for Companies From Restrictive Markets2020-06-12T00:00:00-07:002020-06-12T00:00:00-07:002020-12686Noticehttps://www.govinfo.gov/content/pkg/FR-2020-06-12/pdf/2020-12686.pdfhttps://regulations.justia.com/regulations/fedreg/2020/06/12/2020-12685.htmlNotice - Self-Regulatory Organizations; The Nasdaq Stock Market LLC; Notice of Filing of Proposed Rule Change To Apply Additional Initial Listing Criteria for Companies Primarily Operating in Restrictive Markets2020-06-12T00:00:00-07:002020-06-12T00:00:00-07:002020-12685Noticehttps://www.govinfo.gov/content/pkg/FR-2020-06-12/pdf/2020-12685.pdfhttps://regulations.justia.com/regulations/fedreg/2020/06/12/2020-12683.htmlNotice - Self-Regulatory Organizations; Nasdaq GEMX, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Options 3, Section 7, Types of Orders, To Add Other Existing Order Types to the List of Order Types2020-06-12T00:00:00-07:002020-06-12T00:00:00-07:002020-12683Noticehttps://www.govinfo.gov/content/pkg/FR-2020-06-12/pdf/2020-12683.pdfhttps://regulations.justia.com/regulations/fedreg/2020/06/11/2020-12773.htmlNotice - Sunshine Act Meetings2020-06-11T00:00:00-07:002020-06-11T00:00:00-07:002020-12773Noticehttps://www.govinfo.gov/content/pkg/FR-2020-06-11/pdf/2020-12773.pdfhttps://regulations.justia.com/regulations/fedreg/2020/06/11/2020-12590.htmlNotice - Self-Regulatory Organizations; The Nasdaq Stock Market 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 Adopt a New Rule Concerning Nasdaq's Ability To Request Information From a Listed Company Regarding the Number of Unrestricted Publicly Held Shares in Certain Circumstances and Halt Trading in the Company's Security Upon the Request, and in Certain Circumstances Request a Plan To Increase the Number of Unrestricted Publicly Held Shares To an Amount That is Higher Than the Applicable Publicly Held Shares Requirement2020-06-11T00:00:00-07:002020-06-11T00:00:00-07:002020-12590Noticehttps://www.govinfo.gov/content/pkg/FR-2020-06-11/pdf/2020-12590.pdfhttps://regulations.justia.com/regulations/fedreg/2020/06/10/2020-12525.htmlNotice - Self-Regulatory Organizations; Cboe EDGX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Adopt Rule 14.13 To Permit the Trading, Pursuant to Unlisted Trading Privileges, of Tracking Fund Shares2020-06-10T00:00:00-07:002020-06-10T00:00:00-07:002020-12525Noticehttps://www.govinfo.gov/content/pkg/FR-2020-06-10/pdf/2020-12525.pdfhttps://regulations.justia.com/regulations/fedreg/2020/06/10/2020-12524.htmlNotice - Self-Regulatory Organizations; Cboe EDGA Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Adopt Rule 14.13 To Permit the Trading, Pursuant to Unlisted Trading Privileges, of Tracking Fund Shares2020-06-10T00:00:00-07:002020-06-10T00:00:00-07:002020-12524Noticehttps://www.govinfo.gov/content/pkg/FR-2020-06-10/pdf/2020-12524.pdfhttps://regulations.justia.com/regulations/fedreg/2020/06/10/2020-12523.htmlNotice - Self-Regulatory Organizations; BOX Exchange LLC; Notice of Withdrawal of a Proposed Rule Change, as Modified by Amendment No. 2, To Adopt Rules Governing the Trading of Equity Securities on the Exchange Through a Facility of the Exchange Known as the Boston Security Token Exchange LLC2020-06-10T00:00:00-07:002020-06-10T00:00:00-07:002020-12523Noticehttps://www.govinfo.gov/content/pkg/FR-2020-06-10/pdf/2020-12523.pdfhttps://regulations.justia.com/regulations/fedreg/2020/06/10/2020-12522.htmlNotice - Self-Regulatory Organizations; BOX Exchange LLC; Notice of Withdrawal of a Proposed Rule Change in Connection With the Proposed Commencement of Operations of Boston Security Token Exchange LLC as a Facility of the Exchange2020-06-10T00:00:00-07:002020-06-10T00:00:00-07:002020-12522Noticehttps://www.govinfo.gov/content/pkg/FR-2020-06-10/pdf/2020-12522.pdfhttps://regulations.justia.com/regulations/fedreg/2020/06/10/2020-12521.htmlNotice - Self-Regulatory Organizations; Cboe EDGA 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 Amend the Rule Relating to MidPoint Discretionary Orders To Allow Optional Offset or Quote Depletion Protection Instructions2020-06-10T00:00:00-07:002020-06-10T00:00:00-07:002020-12521Noticehttps://www.govinfo.gov/content/pkg/FR-2020-06-10/pdf/2020-12521.pdfhttps://regulations.justia.com/regulations/fedreg/2020/06/10/2020-12520.htmlNotice - Self-Regulatory Organizations; NYSE American LLC; Order Approving a Proposed Rule Change, as Modified by Amendment No. 2, To Modify Rule 967NY Regarding the Treatment of Orders Subject to Trade Collar Protection2020-06-10T00:00:00-07:002020-06-10T00:00:00-07:002020-12520Noticehttps://www.govinfo.gov/content/pkg/FR-2020-06-10/pdf/2020-12520.pdfhttps://regulations.justia.com/regulations/fedreg/2020/06/10/2020-12519.htmlNotice - Self-Regulatory Organizations; The Options Clearing Corporation; Order Approving Proposed Rule Change Related to Proposed Changes to The Options Clearing Corporation's Framework for Liquidity Risk Management2020-06-10T00:00:00-07:002020-06-10T00:00:00-07:002020-12519Noticehttps://www.govinfo.gov/content/pkg/FR-2020-06-10/pdf/2020-12519.pdfhttps://regulations.justia.com/regulations/fedreg/2020/06/10/2020-12518.htmlNotice - Self-Regulatory Organizations; Cboe BYX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Adopt Rule 14.13 To Permit the Trading, Pursuant to Unlisted Trading Privileges, of Tracking Fund Shares2020-06-10T00:00:00-07:002020-06-10T00:00:00-07:002020-12518Noticehttps://www.govinfo.gov/content/pkg/FR-2020-06-10/pdf/2020-12518.pdfhttps://regulations.justia.com/regulations/fedreg/2020/06/10/2020-12517.htmlNotice - Self-Regulatory Organizations; Cboe BZX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Exempt Tracking Fund Shares Listed Pursuant to Rule 14.11(m) From Certain Governance Requirements2020-06-10T00:00:00-07:002020-06-10T00:00:00-07:002020-12517Noticehttps://www.govinfo.gov/content/pkg/FR-2020-06-10/pdf/2020-12517.pdfhttps://regulations.justia.com/regulations/fedreg/2020/06/10/2020-12516.htmlNotice - Self-Regulatory Organizations; Nasdaq BX, Inc.; Order Granting Approval of a Proposed Rule Change, as Modified by Amendment No. 1, To Assume Operational Responsibility for Certain Enforcement Functions Currently Performed by FINRA Under the Exchanges Authority and Supervision2020-06-10T00:00:00-07:002020-06-10T00:00:00-07:002020-12516Noticehttps://www.govinfo.gov/content/pkg/FR-2020-06-10/pdf/2020-12516.pdfhttps://regulations.justia.com/regulations/fedreg/2020/06/10/2020-12515.htmlNotice - Self-Regulatory Organizations; NYSE Arca, Inc.; Order Approving a Proposed Rule Change, as Modified by Amendment No. 2, To Modify Rule 6.60-O Regarding the Treatment of Orders Subject to Trade Collar Protection2020-06-10T00:00:00-07:002020-06-10T00:00:00-07:002020-12515Noticehttps://www.govinfo.gov/content/pkg/FR-2020-06-10/pdf/2020-12515.pdfhttps://regulations.justia.com/regulations/fedreg/2020/06/10/2020-12514.htmlNotice - Self-Regulatory Organizations; Cboe EDGX 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 Amend the Rule Relating to MidPoint Discretionary Orders To Allow Optional Offset or Quote Depletion Protection Instructions2020-06-10T00:00:00-07:002020-06-10T00:00:00-07:002020-12514Noticehttps://www.govinfo.gov/content/pkg/FR-2020-06-10/pdf/2020-12514.pdfhttps://regulations.justia.com/regulations/fedreg/2020/06/10/2020-12500.htmlNotice - Self-Regulatory Organizations; The Options Clearing Corporation; Notice of No Objection to Advance Notice Related to Proposed Changes to The Options Clearing Corporation's Framework for Liquidity Risk Management2020-06-10T00:00:00-07:002020-06-10T00:00:00-07:002020-12500Noticehttps://www.govinfo.gov/content/pkg/FR-2020-06-10/pdf/2020-12500.pdfhttps://regulations.justia.com/regulations/fedreg/2020/06/09/2020-12399.htmlNotice - Submission for OMB Review; Comment Request2020-06-09T00:00:00-07:002020-06-09T00:00:00-07:002020-12399Noticehttps://www.govinfo.gov/content/pkg/FR-2020-06-09/pdf/2020-12399.pdfhttps://regulations.justia.com/regulations/fedreg/2020/06/09/2020-12398.htmlNotice - Submission for OMB Review; Comment Request2020-06-09T00:00:00-07:002020-06-09T00:00:00-07:002020-12398Noticehttps://www.govinfo.gov/content/pkg/FR-2020-06-09/pdf/2020-12398.pdfhttps://regulations.justia.com/regulations/fedreg/2020/06/09/2020-12397.htmlNotice - Submission for OMB Review; Comment Request2020-06-09T00:00:00-07:002020-06-09T00:00:00-07:002020-12397Noticehttps://www.govinfo.gov/content/pkg/FR-2020-06-09/pdf/2020-12397.pdfhttps://regulations.justia.com/regulations/fedreg/2020/06/09/2020-12396.htmlNotice - Submission for OMB Review; Comment Request2020-06-09T00:00:00-07:002020-06-09T00:00:00-07:002020-12396Noticehttps://www.govinfo.gov/content/pkg/FR-2020-06-09/pdf/2020-12396.pdfhttps://regulations.justia.com/regulations/fedreg/2020/06/09/2020-12395.htmlNotice - Submission for OMB Review; Comment Request2020-06-09T00:00:00-07:002020-06-09T00:00:00-07:002020-12395Noticehttps://www.govinfo.gov/content/pkg/FR-2020-06-09/pdf/2020-12395.pdfhttps://regulations.justia.com/regulations/fedreg/2020/06/09/2020-12394.htmlNotice - Submission for OMB Review; Comment Request2020-06-09T00:00:00-07:002020-06-09T00:00:00-07:002020-12394Noticehttps://www.govinfo.gov/content/pkg/FR-2020-06-09/pdf/2020-12394.pdfhttps://regulations.justia.com/regulations/fedreg/2020/06/09/2020-12392.htmlNotice - Submission for OMB Review; Comment Request2020-06-09T00:00:00-07:002020-06-09T00:00:00-07:002020-12392Noticehttps://www.govinfo.gov/content/pkg/FR-2020-06-09/pdf/2020-12392.pdfhttps://regulations.justia.com/regulations/fedreg/2020/06/09/2020-12391.htmlNotice - Submission for OMB Review; Comment Request2020-06-09T00:00:00-07:002020-06-09T00:00:00-07:002020-12391Noticehttps://www.govinfo.gov/content/pkg/FR-2020-06-09/pdf/2020-12391.pdfhttps://regulations.justia.com/regulations/fedreg/2020/06/09/2020-12390.htmlNotice - Proposed Collection; Comment Request2020-06-09T00:00:00-07:002020-06-09T00:00:00-07:002020-12390Noticehttps://www.govinfo.gov/content/pkg/FR-2020-06-09/pdf/2020-12390.pdfhttps://regulations.justia.com/regulations/fedreg/2020/06/09/2020-12389.htmlNotice - Submission for OMB Review; Comment Request2020-06-09T00:00:00-07:002020-06-09T00:00:00-07:002020-12389Noticehttps://www.govinfo.gov/content/pkg/FR-2020-06-09/pdf/2020-12389.pdfhttps://regulations.justia.com/regulations/fedreg/2020/06/09/2020-12386.htmlNotice - Self-Regulatory Organizations; Cboe EDGA Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Allow Members and Clearing Members To Establish or Adjust the Risk Settings Set Forth in Interpretation and Policy .03 of Exchange Rule 11.10 on a Risk Group Identifier Basis2020-06-09T00:00:00-07:002020-06-09T00:00:00-07:002020-12386Noticehttps://www.govinfo.gov/content/pkg/FR-2020-06-09/pdf/2020-12386.pdfhttps://regulations.justia.com/regulations/fedreg/2020/06/09/2020-12385.htmlNotice - Self-Regulatory Organizations; Cboe EDGX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Allow Members and Clearing Members To Establish or Adjust the Risk Settings Set Forth in Interpretation and Policy .03 of Exchange Rule 11.10 on a Risk Group Identifier Basis2020-06-09T00:00:00-07:002020-06-09T00:00:00-07:002020-12385Noticehttps://www.govinfo.gov/content/pkg/FR-2020-06-09/pdf/2020-12385.pdfhttps://regulations.justia.com/regulations/fedreg/2020/06/09/2020-12384.htmlNotice - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Section 902.02 of the NYSE Listed Company Manual Concerning Pre-Revenue Companies That Can Qualify for Reduced Listing and Annual Fees2020-06-09T00:00:00-07:002020-06-09T00:00:00-07:002020-12384Noticehttps://www.govinfo.gov/content/pkg/FR-2020-06-09/pdf/2020-12384.pdfhttps://regulations.justia.com/regulations/fedreg/2020/06/09/2020-12381.htmlNotice - Self-Regulatory Organizations; Cboe Exchange, Inc.; Notice of Filing of Amendment No. 1 and Order Instituting Proceedings To Determine Whether To Approve or Disapprove a Proposed Rule Change, as Modified by Amendment No. 1, To Adopt a Delta-Adjusted at Close Order Instruction2020-06-09T00:00:00-07:002020-06-09T00:00:00-07:002020-12381Noticehttps://www.govinfo.gov/content/pkg/FR-2020-06-09/pdf/2020-12381.pdfhttps://regulations.justia.com/regulations/fedreg/2020/06/08/2020-12278.htmlNotice - Self-Regulatory Organizations; Nasdaq PHLX LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Further Extend the Deadline for Certain Written Supervisory-Related Reports Pursuant to Options 10, Section 7 (Supervision of Accounts)2020-06-08T00:00:00-07:002020-06-08T00:00:00-07:002020-12278Noticehttps://www.govinfo.gov/content/pkg/FR-2020-06-08/pdf/2020-12278.pdfhttps://regulations.justia.com/regulations/fedreg/2020/06/08/2020-12277.htmlNotice - Self-Regulatory Organizations; Nasdaq ISE, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Further Extend the Deadline for Certain Written Supervisory-Related Reports Pursuant to Options 10, Section 7 (Supervision of Accounts)2020-06-08T00:00:00-07:002020-06-08T00:00:00-07:002020-12277Noticehttps://www.govinfo.gov/content/pkg/FR-2020-06-08/pdf/2020-12277.pdfhttps://regulations.justia.com/regulations/fedreg/2020/06/08/2020-12276.htmlNotice - Self-Regulatory Organizations; MIAX Emerald, LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Exchange Rule 510, Minimum Price Variations and Minimum Trading Increments, To Conform the Rule to Section 3.1 of the Plan for the Purpose of Developing and Implementing Procedures Designed To Facilitate the Listing and Trading of Standardized Options2020-06-08T00:00:00-07:002020-06-08T00:00:00-07:002020-12276Noticehttps://www.govinfo.gov/content/pkg/FR-2020-06-08/pdf/2020-12276.pdfhttps://regulations.justia.com/regulations/fedreg/2020/06/08/2020-12275.htmlNotice - Self-Regulatory Organizations; MIAX PEARL, LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Exchange Rule 404, Series of Option Contracts Open for Trading, and Rule 510, Minimum Price Variations and Minimum Trading Increments, To Conform the Rules to Section 3.1 of the Plan for the Purpose of Developing and Implementing Procedures Designed To Facilitate the Listing and Trading of Standardized Options2020-06-08T00:00:00-07:002020-06-08T00:00:00-07:002020-12275Noticehttps://www.govinfo.gov/content/pkg/FR-2020-06-08/pdf/2020-12275.pdfhttps://regulations.justia.com/regulations/fedreg/2020/06/08/2020-12274.htmlNotice - Self-Regulatory Organizations; NYSE Chicago, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the Fee Schedule of NYSE Chicago, Inc. Related to Co-Location Services2020-06-08T00:00:00-07:002020-06-08T00:00:00-07:002020-12274Noticehttps://www.govinfo.gov/content/pkg/FR-2020-06-08/pdf/2020-12274.pdfhttps://regulations.justia.com/regulations/fedreg/2020/06/08/2020-12273.htmlNotice - Self-Regulatory Organizations; The Options Clearing Corporation; Order Approving Proposed Rule Change To Modify the Sequence for Processing Options Transactions2020-06-08T00:00:00-07:002020-06-08T00:00:00-07:002020-12273Noticehttps://www.govinfo.gov/content/pkg/FR-2020-06-08/pdf/2020-12273.pdfhttps://regulations.justia.com/regulations/fedreg/2020/06/08/2020-12272.htmlNotice - Self-Regulatory Organizations; Miami International Securities Exchange, LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Exchange Rule 404, Series of Option Contracts Open for Trading, Exchange Rule 510, Minimum Price Variations and Minimum Trading Increments, and Exchange Rule 516, Order Types Defined, To Conform the Rules to Section 3.1 of the Plan for the Purpose of Developing and Implementing Procedures Designed To Facilitate the Listing and Trading of Standardized Options2020-06-08T00:00:00-07:002020-06-08T00:00:00-07:002020-12272Noticehttps://www.govinfo.gov/content/pkg/FR-2020-06-08/pdf/2020-12272.pdfhttps://regulations.justia.com/regulations/fedreg/2020/06/08/2020-12271.htmlNotice - Self-Regulatory Organizations; The Nasdaq Stock Market LLC; Notice of Filing of Proposed Rule Change To Amend IM-5101-1 (Use of Discretionary Authority) To Deny Listing or Continued Listing or To Apply Additional and More Stringent Criteria to an Applicant or Listed Company Based on Considerations Related to the Company's Auditor or When a Company's Business Is Principally Administered in a Jurisdiction That Is a Restrictive Market2020-06-08T00:00:00-07:002020-06-08T00:00:00-07:002020-12271Noticehttps://www.govinfo.gov/content/pkg/FR-2020-06-08/pdf/2020-12271.pdfhttps://regulations.justia.com/regulations/fedreg/2020/06/05/2020-12380.htmlNotice - Sunshine Act Meetings2020-06-05T00:00:00-07:002020-06-05T00:00:00-07:002020-12380Noticehttps://www.govinfo.gov/content/pkg/FR-2020-06-05/pdf/2020-12380.pdfhttps://regulations.justia.com/regulations/fedreg/2020/06/05/2020-12167.htmlNotice - Self-Regulatory Organizations; Municipal Securities Rulemaking Board; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Waive MSRB Market Activity Fees Related to Transactions With the Municipal Liquidity Facility Established by the Board of Governors of the Federal Reserve System2020-06-05T00:00:00-07:002020-06-05T00:00:00-07:002020-12167Noticehttps://www.govinfo.gov/content/pkg/FR-2020-06-05/pdf/2020-12167.pdfhttps://regulations.justia.com/regulations/fedreg/2020/06/05/2020-12166.htmlNotice - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the Exchange's Price List Related to Co-Location Services2020-06-05T00:00:00-07:002020-06-05T00:00:00-07:002020-12166Noticehttps://www.govinfo.gov/content/pkg/FR-2020-06-05/pdf/2020-12166.pdfhttps://regulations.justia.com/regulations/fedreg/2020/06/05/2020-12165.htmlNotice - Self-Regulatory Organizations; Cboe Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Its Fees Schedule in Connection With Migration2020-06-05T00:00:00-07:002020-06-05T00:00:00-07:002020-12165Noticehttps://www.govinfo.gov/content/pkg/FR-2020-06-05/pdf/2020-12165.pdfhttps://regulations.justia.com/regulations/fedreg/2020/06/05/2020-12164.htmlNotice - Self-Regulatory Organizations; Cboe BZX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating To Amend Its Fee Schedule2020-06-05T00:00:00-07:002020-06-05T00:00:00-07:002020-12164Noticehttps://www.govinfo.gov/content/pkg/FR-2020-06-05/pdf/2020-12164.pdfhttps://regulations.justia.com/regulations/fedreg/2020/06/05/2020-12162.htmlNotice - Self-Regulatory Organizations; NYSE National, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the Exchange's Price List Related to Co-Location Services2020-06-05T00:00:00-07:002020-06-05T00:00:00-07:002020-12162Noticehttps://www.govinfo.gov/content/pkg/FR-2020-06-05/pdf/2020-12162.pdfhttps://regulations.justia.com/regulations/fedreg/2020/06/05/2020-12161.htmlNotice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the NYSE Arca Options Fees and Charges and the NYSE Arca Equities Fees and Charges Related to Co-location Services2020-06-05T00:00:00-07:002020-06-05T00:00:00-07:002020-12161Noticehttps://www.govinfo.gov/content/pkg/FR-2020-06-05/pdf/2020-12161.pdfhttps://regulations.justia.com/regulations/fedreg/2020/06/05/2020-12158.htmlNotice - Self-Regulatory Organizations; Cboe Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Rule 8.16 and Rule 9.2 To Temporarily Extend the Filing Deadline for Certain Supervision-Related Reports2020-06-05T00:00:00-07:002020-06-05T00:00:00-07:002020-12158Noticehttps://www.govinfo.gov/content/pkg/FR-2020-06-05/pdf/2020-12158.pdfhttps://regulations.justia.com/regulations/fedreg/2020/06/05/2020-12156.htmlNotice - Self-Regulatory Organizations; NYSE American LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the NYSE American Equities Price List and the NYSE American Options Fee Schedule Related to Co-Location Services2020-06-05T00:00:00-07:002020-06-05T00:00:00-07:002020-12156Noticehttps://www.govinfo.gov/content/pkg/FR-2020-06-05/pdf/2020-12156.pdfhttps://regulations.justia.com/regulations/fedreg/2020/06/04/2020-12018.htmlNotice - Self-Regulatory Organizations; The Options Clearing Corporation; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Extend the Deadline for Clearing Members To Provide an Actionable Identifier on Customer and Non-Customer Securities Options Trades Other Than Market Maker Trades2020-06-04T00:00:00-07:002020-06-04T00:00:00-07:002020-12018Noticehttps://www.govinfo.gov/content/pkg/FR-2020-06-04/pdf/2020-12018.pdfhttps://regulations.justia.com/regulations/fedreg/2020/06/04/2020-12017.htmlNotice - Self-Regulatory Organizations; NYSE Chicago, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the Services Available to Users That Use Co-location Services in the Mahwah, New Jersey Data Center2020-06-04T00:00:00-07:002020-06-04T00:00:00-07:002020-12017Noticehttps://www.govinfo.gov/content/pkg/FR-2020-06-04/pdf/2020-12017.pdfhttps://regulations.justia.com/regulations/fedreg/2020/06/04/2020-12006.htmlNotice - Notice of Applications for Deregistration Under Section 8(f) of the Investment Company Act of 19402020-06-04T00:00:00-07:002020-06-04T00:00:00-07:002020-12006Noticehttps://www.govinfo.gov/content/pkg/FR-2020-06-04/pdf/2020-12006.pdfhttps://regulations.justia.com/regulations/fedreg/2020/06/03/2020-11920.htmlNotice - Self-Regulatory Organizations; Cboe BZX Exchange, Inc.; Notice of Filing of a Proposed Rule Change To Accommodate Exchange Listing and Trading of Options-Linked Securities2020-06-03T00:00:00-07:002020-06-03T00:00:00-07:002020-11920Noticehttps://www.govinfo.gov/content/pkg/FR-2020-06-03/pdf/2020-11920.pdfhttps://regulations.justia.com/regulations/fedreg/2020/06/03/2020-11919.htmlNotice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing of Proposed Rule Change To List and Trade Shares of Gabelli ETFs Under Rule 8.900-E, Managed Portfolio Shares2020-06-03T00:00:00-07:002020-06-03T00:00:00-07:002020-11919Noticehttps://www.govinfo.gov/content/pkg/FR-2020-06-03/pdf/2020-11919.pdfhttps://regulations.justia.com/regulations/fedreg/2020/06/03/2020-11917.htmlNotice - Self-Regulatory Organizations; The Options Clearing Corporation; Notice of Filing of Advance Notice of and No Objection to The Options Clearing Corporation's Proposal To Enter Into a New Credit Facility Agreement2020-06-03T00:00:00-07:002020-06-03T00:00:00-07:002020-11917Noticehttps://www.govinfo.gov/content/pkg/FR-2020-06-03/pdf/2020-11917.pdfhttps://regulations.justia.com/regulations/fedreg/2020/06/02/2020-11784.htmlNotice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Extend the Temporary Waiver of the Co-Location Hot Hands Fee2020-06-02T00:00:00-07:002020-06-02T00:00:00-07:002020-11784Noticehttps://www.govinfo.gov/content/pkg/FR-2020-06-02/pdf/2020-11784.pdfhttps://regulations.justia.com/regulations/fedreg/2020/06/02/2020-11783.htmlNotice - Self-Regulatory Organizations; BOX Exchange LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Replace BOX Rule 7260 (Penny Pilot Program) To Conform the Rule to Section 3.1 of the Plan for the Purpose of Developing and Implementing Procedures Designed To Facilitate the Listing and Trading of Standardized Options and Make Other Non Substantive Changes to References to the Penny Pilot Program2020-06-02T00:00:00-07:002020-06-02T00:00:00-07:002020-11783Noticehttps://www.govinfo.gov/content/pkg/FR-2020-06-02/pdf/2020-11783.pdfhttps://regulations.justia.com/regulations/fedreg/2020/06/02/2020-11782.htmlNotice - Self-Regulatory Organizations; NYSE National, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Extend the Temporary Waiver of the Co-location Hot Hands Fee2020-06-02T00:00:00-07:002020-06-02T00:00:00-07:002020-11782Noticehttps://www.govinfo.gov/content/pkg/FR-2020-06-02/pdf/2020-11782.pdfhttps://regulations.justia.com/regulations/fedreg/2020/06/02/2020-11781.htmlNotice - Self-Regulatory Organizations; NYSE Chicago, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Extend the Temporary Waiver of the Co-Location Hot Hands Fee2020-06-02T00:00:00-07:002020-06-02T00:00:00-07:002020-11781Noticehttps://www.govinfo.gov/content/pkg/FR-2020-06-02/pdf/2020-11781.pdfhttps://regulations.justia.com/regulations/fedreg/2020/06/02/2020-11780.htmlNotice - Self-Regulatory Organizations; NYSE American LLC; Notice of Filing and Immediate Effectiveness of Proposed Change To Extend the Temporary Waiver of the Co-Location Hot Hands Fee2020-06-02T00:00:00-07:002020-06-02T00:00:00-07:002020-11780Noticehttps://www.govinfo.gov/content/pkg/FR-2020-06-02/pdf/2020-11780.pdfhttps://regulations.justia.com/regulations/fedreg/2020/06/02/2020-11779.htmlNotice - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Extend the Temporary Waiver of the Co-Location Hot Hands Fee2020-06-02T00:00:00-07:002020-06-02T00:00:00-07:002020-11779Noticehttps://www.govinfo.gov/content/pkg/FR-2020-06-02/pdf/2020-11779.pdfhttps://regulations.justia.com/regulations/fedreg/2020/06/02/2020-11777.htmlNotice - Self-Regulatory Organizations; ICE Clear Credit LLC; Order Approving Proposed Rule Change Relating to the ICC Clearing Rules2020-06-02T00:00:00-07:002020-06-02T00:00:00-07:002020-11777Noticehttps://www.govinfo.gov/content/pkg/FR-2020-06-02/pdf/2020-11777.pdfhttps://regulations.justia.com/regulations/fedreg/2020/06/01/2020-11718.htmlNotice - Order Under Section 17A and Section 36 of the Securities Exchange Act of 1934 Extending Temporary Exemptions From Specified Provisions of the Exchange Act and Certain Rules Thereunder2020-06-01T00:00:00-07:002020-06-01T00:00:00-07:002020-11718Noticehttps://www.govinfo.gov/content/pkg/FR-2020-06-01/pdf/2020-11718.pdfhttps://regulations.justia.com/regulations/fedreg/2020/06/01/2020-11657.htmlNotice - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To add Commentary .05 to Rule 7.35A2020-06-01T00:00:00-07:002020-06-01T00:00:00-07:002020-11657Noticehttps://www.govinfo.gov/content/pkg/FR-2020-06-01/pdf/2020-11657.pdfhttps://regulations.justia.com/regulations/fedreg/2020/06/01/2020-11656.htmlNotice - Program for Allocation of Regulatory Responsibilities Pursuant to Rule 17d-2; Notice of Filing and Order Approving and Declaring Effective an Amendment to the Plan for the Allocation of Regulatory Responsibilities Among Cboe BZX Exchange, Inc., Cboe BYX Exchange, Inc., NYSE Chicago, Inc., Cboe EDGA Exchange, Inc., Cboe EDGX Exchange, Inc., Financial Industry Regulatory Authority, Inc., MEMX LLC, Nasdaq BX, Inc., Nasdaq PHLX LLC, The Nasdaq Stock Market LLC, NYSE National, Inc., New York Stock Exchange LLC, NYSE American LLC, NYSE Arca, Inc., Investors' Exchange LLC, and Long-Term Stock Exchange, Inc. Relating to the Surveillance, Investigation, and Enforcement of Insider Trading Rules2020-06-01T00:00:00-07:002020-06-01T00:00:00-07:002020-11656Noticehttps://www.govinfo.gov/content/pkg/FR-2020-06-01/pdf/2020-11656.pdfhttps://regulations.justia.com/regulations/fedreg/2020/06/01/2020-11653.htmlNotice - Self-Regulatory Organizations; BOX Exchange LLC; Notice of Filing of Proposed Rule Change in Connection With the Proposed Commencement of Operations of Boston Security Token Exchange LLC (“BSTX”) as a Facility of the Exchange2020-06-01T00:00:00-07:002020-06-01T00:00:00-07:002020-11653Noticehttps://www.govinfo.gov/content/pkg/FR-2020-06-01/pdf/2020-11653.pdfhttps://regulations.justia.com/regulations/fedreg/2020/06/01/2020-11652.htmlNotice - Self-Regulatory Organizations; NYSE American LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Rule 960NY to Conform the Rule to Section 3.1 of the Plan for the Purpose of Developing and Implementing Procedures Designed To Facilitate the Listing and Trading of Standardized Options2020-06-01T00:00:00-07:002020-06-01T00:00:00-07:002020-11652Noticehttps://www.govinfo.gov/content/pkg/FR-2020-06-01/pdf/2020-11652.pdfhttps://regulations.justia.com/regulations/fedreg/2020/06/01/2020-11651.htmlNotice - Self-Regulatory Organizations; BOX Exchange LLC; Notice of Filing of Proposed Rule Change To Adopt Rules Governing the Trading of Equity Securities on the Exchange Through a Facility of the Exchange Known as the Boston Security Token Exchange LLC2020-06-01T00:00:00-07:002020-06-01T00:00:00-07:002020-11651Noticehttps://www.govinfo.gov/content/pkg/FR-2020-06-01/pdf/2020-11651.pdfhttps://regulations.justia.com/regulations/fedreg/2020/06/01/2020-11650.htmlNotice - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Order Approving a Proposed Rule Change To Amend the FINRA Code of Arbitration Procedure for Customer Disputes and the FINRA Code of Arbitration Procedure for Industry Disputes To Apply Minimum Fees To Requests for Expungement of Customer Dispute Information2020-06-01T00:00:00-07:002020-06-01T00:00:00-07:002020-11650Noticehttps://www.govinfo.gov/content/pkg/FR-2020-06-01/pdf/2020-11650.pdfhttps://regulations.justia.com/regulations/fedreg/2020/06/01/2020-11649.htmlNotice - Self-Regulatory Organizations; ICE Clear Credit LLC; Order Approving Proposed Rule Change Relating to the ICC Clearing Participant Default Management Procedures2020-06-01T00:00:00-07:002020-06-01T00:00:00-07:002020-11649Noticehttps://www.govinfo.gov/content/pkg/FR-2020-06-01/pdf/2020-11649.pdfhttps://regulations.justia.com/regulations/fedreg/2020/06/01/2020-11648.htmlNotice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Rule 6.72-O To Conform the Rule to Section 3.1 of the Plan for the Purpose of Developing and Implementing Procedures Designed to Facilitate the Listing and Trading of Standardized Options2020-06-01T00:00:00-07:002020-06-01T00:00:00-07:002020-11648Noticehttps://www.govinfo.gov/content/pkg/FR-2020-06-01/pdf/2020-11648.pdfhttps://regulations.justia.com/regulations/fedreg/2020/06/01/2020-11647.htmlNotice - Self-Regulatory Organizations; Nasdaq GEMX, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend GEMX's Pricing Schedule2020-06-01T00:00:00-07:002020-06-01T00:00:00-07:002020-11647Noticehttps://www.govinfo.gov/content/pkg/FR-2020-06-01/pdf/2020-11647.pdfhttps://regulations.justia.com/regulations/fedreg/2020/06/01/2020-11646.htmlNotice - Self-Regulatory Organizations; Nasdaq ISE, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the Exchange's Pricing Schedule at Options 72020-06-01T00:00:00-07:002020-06-01T00:00:00-07:002020-11646Noticehttps://www.govinfo.gov/content/pkg/FR-2020-06-01/pdf/2020-11646.pdfhttps://regulations.justia.com/regulations/fedreg/2020/06/01/2020-11645.htmlNotice - Self-Regulatory Organizations; Nasdaq BX, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Relocate the BX Disciplinary Rules and Incorporate by Reference the Disciplinary Rules of The Nasdaq Stock Market LLC2020-06-01T00:00:00-07:002020-06-01T00:00:00-07:002020-11645Noticehttps://www.govinfo.gov/content/pkg/FR-2020-06-01/pdf/2020-11645.pdfhttps://regulations.justia.com/regulations/fedreg/2020/06/01/2020-10016.htmlRule - Recordkeeping and Reporting Requirements for Security-Based Swap Dealers, Major Security-Based Swap Participants, and Broker-Dealers; Correction2020-06-01T00:00:00-07:002020-06-01T00:00:00-07:002020-10016Rulehttps://www.govinfo.gov/content/pkg/FR-2020-06-01/pdf/2020-10016.pdfhttps://regulations.justia.com/regulations/fedreg/2020/06/01/2020-07790.htmlRule - Securities Offering Reform for Closed-End Investment Companies2020-06-01T00:00:00-07:002020-06-01T00:00:00-07:002020-07790Rulehttps://www.govinfo.gov/content/pkg/FR-2020-06-01/pdf/2020-07790.pdf