Federal Register Recent Federal Regulation Documents - Justia Regulation Tracker - Justia Regulations Trackerhttps://regulations.justia.com/regulations/fedreg/agencies/securities-and-exchange-commission/2021/03?limit=200®isters=between&min-day=1&max-day=31&mode=atom2024-05-02T10:21:12-07:00Justia Inchttps://www.justia.com/Justia Regulations Trackerhttps://regulations.justia.com/images/justiafedregulations.gifCopyright 2011 Justia Inchttps://regulations.justia.com/regulations/fedreg/2021/03/31/2021-06562.htmlNotice - Self-Regulatory Organizations; MIAX Emerald, LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the MIAX Emerald Fee Schedule To Adopt an Excessive Quoting Fee2021-03-31T00:00:00-07:002021-03-31T00:00:00-07:002021-06562Noticehttps://www.govinfo.gov/content/pkg/FR-2021-03-31/pdf/2021-06562.pdfhttps://regulations.justia.com/regulations/fedreg/2021/03/31/2021-06561.htmlNotice - Self-Regulatory Organizations; Nasdaq MRX, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Various Rules in Options 32021-03-31T00:00:00-07:002021-03-31T00:00:00-07:002021-06561Noticehttps://www.govinfo.gov/content/pkg/FR-2021-03-31/pdf/2021-06561.pdfhttps://regulations.justia.com/regulations/fedreg/2021/03/31/2021-06559.htmlNotice - Self-Regulatory Organizations; Nasdaq GEMX, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Various Rules in Options 32021-03-31T00:00:00-07:002021-03-31T00:00:00-07:002021-06559Noticehttps://www.govinfo.gov/content/pkg/FR-2021-03-31/pdf/2021-06559.pdfhttps://regulations.justia.com/regulations/fedreg/2021/03/31/2021-06558.htmlNotice - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Its Price List To Extend the Waiver of Equipment and Related Service Charges and Trading License Fees for NYSE Trading Floor-Based Member Organizations2021-03-31T00:00:00-07:002021-03-31T00:00:00-07:002021-06558Noticehttps://www.govinfo.gov/content/pkg/FR-2021-03-31/pdf/2021-06558.pdfhttps://regulations.justia.com/regulations/fedreg/2021/03/31/2021-04360.htmlProposed Rule - Regulatory Flexibility Agenda2021-03-31T00:00:00-07:002021-03-31T00:00:00-07:002021-04360Proposed Rulehttps://www.govinfo.gov/content/pkg/FR-2021-03-31/pdf/2021-04360.pdfhttps://regulations.justia.com/regulations/fedreg/2021/03/30/2021-06493.htmlNotice - Securities Investor Protection Corporation; Order Approving the Determination of the Board of Directors of the Securities Investor Protection Corporation Not to Adjust for Inflation the Standard Maximum Cash Advance Amount and Notice of the Standard Maximum Cash Advance Amount2021-03-30T00:00:00-07:002021-03-30T00:00:00-07:002021-06493Noticehttps://www.govinfo.gov/content/pkg/FR-2021-03-30/pdf/2021-06493.pdfhttps://regulations.justia.com/regulations/fedreg/2021/03/30/2021-06466.htmlNotice - Self-Regulatory Organizations; Cboe BZX Exchange, Inc.; Notice of Designation of a Longer Period for Commission Action on a Proposed Rule Change To Allow the Invesco Focused Discovery Growth ETF and Invesco Select Growth ETF To Strike and Publish Multiple Intra-Day Net Asset Values2021-03-30T00:00:00-07:002021-03-30T00:00:00-07:002021-06466Noticehttps://www.govinfo.gov/content/pkg/FR-2021-03-30/pdf/2021-06466.pdfhttps://regulations.justia.com/regulations/fedreg/2021/03/29/2021-06349.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 Fee Schedule and the NYSE American Options Fee Schedule Related to Co-Location2021-03-29T00:00:00-07:002021-03-29T00:00:00-07:002021-06349Noticehttps://www.govinfo.gov/content/pkg/FR-2021-03-29/pdf/2021-06349.pdfhttps://regulations.justia.com/regulations/fedreg/2021/03/29/2021-06348.htmlNotice - Self-Regulatory Organizations; NYSE Chicago, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Its Fee Schedule Related to Co-Location2021-03-29T00:00:00-07:002021-03-29T00:00:00-07:002021-06348Noticehttps://www.govinfo.gov/content/pkg/FR-2021-03-29/pdf/2021-06348.pdfhttps://regulations.justia.com/regulations/fedreg/2021/03/29/2021-06347.htmlNotice - Self-Regulatory Organizations; Cboe Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Its Fees Schedule To Adopt Reduced Fees for Academics for the Sale of Historical Intraday Open-Close Volume Data2021-03-29T00:00:00-07:002021-03-29T00:00:00-07:002021-06347Noticehttps://www.govinfo.gov/content/pkg/FR-2021-03-29/pdf/2021-06347.pdfhttps://regulations.justia.com/regulations/fedreg/2021/03/29/2021-06346.htmlNotice - Self-Regulatory Organizations; NYSE National, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Its Schedule of Fees and Rebates Related to Co-Location2021-03-29T00:00:00-07:002021-03-29T00:00:00-07:002021-06346Noticehttps://www.govinfo.gov/content/pkg/FR-2021-03-29/pdf/2021-06346.pdfhttps://regulations.justia.com/regulations/fedreg/2021/03/29/2021-06345.htmlNotice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the NYSE Arca Equities Fees and Charges and the NYSE Arca Options Fees and Charges Related to Co-Location2021-03-29T00:00:00-07:002021-03-29T00:00:00-07:002021-06345Noticehttps://www.govinfo.gov/content/pkg/FR-2021-03-29/pdf/2021-06345.pdfhttps://regulations.justia.com/regulations/fedreg/2021/03/29/2021-06344.htmlNotice - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Its Price List Related to Co-Location2021-03-29T00:00:00-07:002021-03-29T00:00:00-07:002021-06344Noticehttps://www.govinfo.gov/content/pkg/FR-2021-03-29/pdf/2021-06344.pdfhttps://regulations.justia.com/regulations/fedreg/2021/03/26/2021-06243.htmlNotice - Proposed Collection; Comment Request2021-03-26T00:00:00-07:002021-03-26T00:00:00-07:002021-06243Noticehttps://www.govinfo.gov/content/pkg/FR-2021-03-26/pdf/2021-06243.pdfhttps://regulations.justia.com/regulations/fedreg/2021/03/26/2021-06242.htmlNotice - Proposed Collection; Comment Request2021-03-26T00:00:00-07:002021-03-26T00:00:00-07:002021-06242Noticehttps://www.govinfo.gov/content/pkg/FR-2021-03-26/pdf/2021-06242.pdfhttps://regulations.justia.com/regulations/fedreg/2021/03/26/2021-06241.htmlNotice - Proposed Collection; Comment Request2021-03-26T00:00:00-07:002021-03-26T00:00:00-07:002021-06241Noticehttps://www.govinfo.gov/content/pkg/FR-2021-03-26/pdf/2021-06241.pdfhttps://regulations.justia.com/regulations/fedreg/2021/03/26/2021-06240.htmlNotice - Proposed Collection; Comment Request2021-03-26T00:00:00-07:002021-03-26T00:00:00-07:002021-06240Noticehttps://www.govinfo.gov/content/pkg/FR-2021-03-26/pdf/2021-06240.pdfhttps://regulations.justia.com/regulations/fedreg/2021/03/26/2021-06233.htmlNotice - Self-Regulatory Organizations; Cboe Futures Exchange, LLC; Notice of a Filing of a Proposed Rule Change Regarding Disruptive Trading Practices2021-03-26T00:00:00-07:002021-03-26T00:00:00-07:002021-06233Noticehttps://www.govinfo.gov/content/pkg/FR-2021-03-26/pdf/2021-06233.pdfhttps://regulations.justia.com/regulations/fedreg/2021/03/26/2021-06232.htmlNotice - Self-Regulatory Organizations; Cboe Futures Exchange, LLC; Notice of a Filing of a Proposed Rule Change Regarding Position Limit Rule Updates2021-03-26T00:00:00-07:002021-03-26T00:00:00-07:002021-06232Noticehttps://www.govinfo.gov/content/pkg/FR-2021-03-26/pdf/2021-06232.pdfhttps://regulations.justia.com/regulations/fedreg/2021/03/25/2021-06137.htmlNotice - Securities Act of 1933; Securities Exchange Act of 1934; Amendment To Order Approving Public Company Accounting Oversight Board Budget and Annual Accounting Support Fee for Calendar Year 20212021-03-25T00:00:00-07:002021-03-25T00:00:00-07:002021-06137Noticehttps://www.govinfo.gov/content/pkg/FR-2021-03-25/pdf/2021-06137.pdfhttps://regulations.justia.com/regulations/fedreg/2021/03/25/2021-06127.htmlNotice - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing of Proposed Rule Change of New Rules Providing for the Registration and Obligations of Non-DMM Market Makers2021-03-25T00:00:00-07:002021-03-25T00:00:00-07:002021-06127Noticehttps://www.govinfo.gov/content/pkg/FR-2021-03-25/pdf/2021-06127.pdfhttps://regulations.justia.com/regulations/fedreg/2021/03/25/2021-06126.htmlNotice - Self-Regulatory Organizations; BOX Exchange LLC; Order Approving a Proposed Rule Change To Amend BOX Rule 7620 (Accommodation Transactions)2021-03-25T00:00:00-07:002021-03-25T00:00:00-07:002021-06126Noticehttps://www.govinfo.gov/content/pkg/FR-2021-03-25/pdf/2021-06126.pdfhttps://regulations.justia.com/regulations/fedreg/2021/03/25/2021-06125.htmlNotice - Self-Regulatory Organizations; Nasdaq BX, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the Exchange's Books and Records Rules and Update Obsolete NASD References in Its Rulebook2021-03-25T00:00:00-07:002021-03-25T00:00:00-07:002021-06125Noticehttps://www.govinfo.gov/content/pkg/FR-2021-03-25/pdf/2021-06125.pdfhttps://regulations.justia.com/regulations/fedreg/2021/03/25/2021-06124.htmlNotice - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Extend the Pilot Program Related to FINRA Rule 11892 (Clearly Erroneous Transactions in Exchange-Listed Securities)2021-03-25T00:00:00-07:002021-03-25T00:00:00-07:002021-06124Noticehttps://www.govinfo.gov/content/pkg/FR-2021-03-25/pdf/2021-06124.pdfhttps://regulations.justia.com/regulations/fedreg/2021/03/25/2021-06123.htmlNotice - Self-Regulatory Organizations; NYSE American LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Modify the NYSE American Options Fee Schedule2021-03-25T00:00:00-07:002021-03-25T00:00:00-07:002021-06123Noticehttps://www.govinfo.gov/content/pkg/FR-2021-03-25/pdf/2021-06123.pdfhttps://regulations.justia.com/regulations/fedreg/2021/03/25/2021-06122.htmlNotice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Modify the NYSE Arca Options Fee Schedule2021-03-25T00:00:00-07:002021-03-25T00:00:00-07:002021-06122Noticehttps://www.govinfo.gov/content/pkg/FR-2021-03-25/pdf/2021-06122.pdfhttps://regulations.justia.com/regulations/fedreg/2021/03/25/2021-06121.htmlNotice - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the NYSE Proprietary Market Data Fee Schedule2021-03-25T00:00:00-07:002021-03-25T00:00:00-07:002021-06121Noticehttps://www.govinfo.gov/content/pkg/FR-2021-03-25/pdf/2021-06121.pdfhttps://regulations.justia.com/regulations/fedreg/2021/03/25/2021-06120.htmlNotice - Self-Regulatory Organizations; NYSE National, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the NYSE National Proprietary Market Data Fee Schedule2021-03-25T00:00:00-07:002021-03-25T00:00:00-07:002021-06120Noticehttps://www.govinfo.gov/content/pkg/FR-2021-03-25/pdf/2021-06120.pdfhttps://regulations.justia.com/regulations/fedreg/2021/03/25/2021-06119.htmlNotice - Self-Regulatory Organizations; ICE Clear Europe Limited; Order Approving Proposed Rule Change Relating to Amendments to the ICE Clear Europe Price Submission Disciplinary Framework2021-03-25T00:00:00-07:002021-03-25T00:00:00-07:002021-06119Noticehttps://www.govinfo.gov/content/pkg/FR-2021-03-25/pdf/2021-06119.pdfhttps://regulations.justia.com/regulations/fedreg/2021/03/25/2021-06118.htmlNotice - Self-Regulatory Organizations; NYSE American LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the NYSE American Equities Proprietary Market Data Fee Schedule and the NYSE American Options Proprietary Market Data Fee Schedule2021-03-25T00:00:00-07:002021-03-25T00:00:00-07:002021-06118Noticehttps://www.govinfo.gov/content/pkg/FR-2021-03-25/pdf/2021-06118.pdfhttps://regulations.justia.com/regulations/fedreg/2021/03/25/2021-06116.htmlNotice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the NYSE Arca Equities Proprietary Market Data Fee Schedule and the NYSE Arca Options Proprietary Market Data Fee Schedule2021-03-25T00:00:00-07:002021-03-25T00:00:00-07:002021-06116Noticehttps://www.govinfo.gov/content/pkg/FR-2021-03-25/pdf/2021-06116.pdfhttps://regulations.justia.com/regulations/fedreg/2021/03/25/2021-05928.htmlProposed Rule - List of Rules To Be Reviewed Pursuant to the Regulatory Flexibility Act2021-03-25T00:00:00-07:002021-03-25T00:00:00-07:002021-05928Proposed Rulehttps://www.govinfo.gov/content/pkg/FR-2021-03-25/pdf/2021-05928.pdfhttps://regulations.justia.com/regulations/fedreg/2021/03/24/2021-06019.htmlNotice - Self-Regulatory Organizations; NYSE Chicago, Inc.; Notice of Designation of a Longer Period for Commission Action on a Proposed Rule Change To Amend the Exchange's Co-Location Services and Fee Schedule To Add Two Partial Cabinet Solution Bundles2021-03-24T00:00:00-07:002021-03-24T00:00:00-07:002021-06019Noticehttps://www.govinfo.gov/content/pkg/FR-2021-03-24/pdf/2021-06019.pdfhttps://regulations.justia.com/regulations/fedreg/2021/03/24/2021-06013.htmlNotice - Submission for OMB Review; Comment Request2021-03-24T00:00:00-07:002021-03-24T00:00:00-07:002021-06013Noticehttps://www.govinfo.gov/content/pkg/FR-2021-03-24/pdf/2021-06013.pdfhttps://regulations.justia.com/regulations/fedreg/2021/03/24/2021-06011.htmlNotice - Self-Regulatory Organizations; NYSE National, Inc.; Notice of Designation of a Longer Period for Commission Action on a Proposed Rule Change To Amend the Exchange's Co-Location Services and Fee Schedule To Add Two Partial Cabinet Solution Bundles2021-03-24T00:00:00-07:002021-03-24T00:00:00-07:002021-06011Noticehttps://www.govinfo.gov/content/pkg/FR-2021-03-24/pdf/2021-06011.pdfhttps://regulations.justia.com/regulations/fedreg/2021/03/24/2021-06004.htmlNotice - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Designation of a Longer Period for Commission Action on a Proposed Rule Change To Amend the Exchange's Co-Location Services and Fee Schedule To Add Two Partial Cabinet Solution Bundles2021-03-24T00:00:00-07:002021-03-24T00:00:00-07:002021-06004Noticehttps://www.govinfo.gov/content/pkg/FR-2021-03-24/pdf/2021-06004.pdfhttps://regulations.justia.com/regulations/fedreg/2021/03/24/2021-06002.htmlNotice - Self-Regulatory Organizations; ICE Clear Credit LLC; Order Approving Proposed Rule Change Relating to the ICC Governance Playbook2021-03-24T00:00:00-07:002021-03-24T00:00:00-07:002021-06002Noticehttps://www.govinfo.gov/content/pkg/FR-2021-03-24/pdf/2021-06002.pdfhttps://regulations.justia.com/regulations/fedreg/2021/03/24/2021-06001.htmlNotice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Designation of a Longer Period for Commission Action on a Proposed Rule Change To Amend the Exchange's Co-Location Services and Fee Schedule To Add Two Partial Cabinet Solution Bundles2021-03-24T00:00:00-07:002021-03-24T00:00:00-07:002021-06001Noticehttps://www.govinfo.gov/content/pkg/FR-2021-03-24/pdf/2021-06001.pdfhttps://regulations.justia.com/regulations/fedreg/2021/03/24/2021-06000.htmlNotice - Self-Regulatory Organizations; New York Stock Exchange LLC; Order Instituting Proceedings To Determine Whether To Approve or Disapprove a Proposed Rule Change To Amend Its Rules Establishing Maximum Fee Rates To Be Charged by Member Organizations for Forwarding Proxy and Other Materials to Beneficial Owners2021-03-24T00:00:00-07:002021-03-24T00:00:00-07:002021-06000Noticehttps://www.govinfo.gov/content/pkg/FR-2021-03-24/pdf/2021-06000.pdfhttps://regulations.justia.com/regulations/fedreg/2021/03/24/2021-05999.htmlNotice - Self-Regulatory Organizations; NYSE American LLC; Notice of Designation of a Longer Period for Commission Action on a Proposed Rule Change To Amend the Exchange's Co-Location Services and Fee Schedule To Add Two Partial Cabinet Solution Bundles2021-03-24T00:00:00-07:002021-03-24T00:00:00-07:002021-05999Noticehttps://www.govinfo.gov/content/pkg/FR-2021-03-24/pdf/2021-05999.pdfhttps://regulations.justia.com/regulations/fedreg/2021/03/24/2021-05998.htmlNotice - Self-Regulatory Organizations; MIAX Emerald, LLC; Notice of Filing of a Proposed Rule Change To Adopt Exchange Rule 531, Reports, To Provide for the New “Liquidity Taker Event Report”2021-03-24T00:00:00-07:002021-03-24T00:00:00-07:002021-05998Noticehttps://www.govinfo.gov/content/pkg/FR-2021-03-24/pdf/2021-05998.pdfhttps://regulations.justia.com/regulations/fedreg/2021/03/24/2021-05997.htmlNotice - Self-Regulatory Organizations; NYSE American LLC; Notice of Designation of a Longer Period for Commission Action on Proposed Rule Change To Amend Rule 970NY and Rule 970.1NY To Eliminate the Use of Dark Series on the Exchange2021-03-24T00:00:00-07:002021-03-24T00:00:00-07:002021-05997Noticehttps://www.govinfo.gov/content/pkg/FR-2021-03-24/pdf/2021-05997.pdfhttps://regulations.justia.com/regulations/fedreg/2021/03/24/2021-05996.htmlNotice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Designation of a Longer Period for Commission Action on Proposed Rule Change To Amend Rule 6.86-O To Eliminate the Use of Dark Series on the Exchange2021-03-24T00:00:00-07:002021-03-24T00:00:00-07:002021-05996Noticehttps://www.govinfo.gov/content/pkg/FR-2021-03-24/pdf/2021-05996.pdfhttps://regulations.justia.com/regulations/fedreg/2021/03/24/2021-05995.htmlNotice - Self-Regulatory Organizations; National Securities Clearing Corporation; Notice of Filing of Proposed Rule Change To Amend the Supplemental Liquidity Deposit Requirements2021-03-24T00:00:00-07:002021-03-24T00:00:00-07:002021-05995Noticehttps://www.govinfo.gov/content/pkg/FR-2021-03-24/pdf/2021-05995.pdfhttps://regulations.justia.com/regulations/fedreg/2021/03/24/2021-05994.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, as Modified by Amendment, No. 1, To Amend Listing Rules Applicable to Special Purpose Acquisition Companies Whose Business Plan Is To Complete One or More Business Combinations2021-03-24T00:00:00-07:002021-03-24T00:00:00-07:002021-05994Noticehttps://www.govinfo.gov/content/pkg/FR-2021-03-24/pdf/2021-05994.pdfhttps://regulations.justia.com/regulations/fedreg/2021/03/24/2021-05993.htmlNotice - Self-Regulatory Organizations; National Securities Clearing Corporation; Notice of Filing of Advance Notice To Amend the Supplemental Liquidity Deposit Requirements2021-03-24T00:00:00-07:002021-03-24T00:00:00-07:002021-05993Noticehttps://www.govinfo.gov/content/pkg/FR-2021-03-24/pdf/2021-05993.pdfhttps://regulations.justia.com/regulations/fedreg/2021/03/23/2021-05918.htmlNotice - Self-Regulatory Organizations; New York Stock Exchange LLC; Order Instituting Proceedings To Determine Whether To Approve or Disapprove a Proposed Rule Change To Amend Its Rules To Prohibit Member Organizations From Seeking Reimbursement, in Certain Circumstances, From Issuers for Forwarding Proxy and Other Materials to Beneficial Owners2021-03-23T00:00:00-07:002021-03-23T00:00:00-07:002021-05918Noticehttps://www.govinfo.gov/content/pkg/FR-2021-03-23/pdf/2021-05918.pdfhttps://regulations.justia.com/regulations/fedreg/2021/03/23/2021-05917.htmlNotice - Self-Regulatory Organizations; The Nasdaq Stock Market 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. 1, To Allow Companies To List in Connection With a Direct Listing With a Primary Offering in Which the Company Will Sell Shares Itself in the Opening Auction on the First Day of Trading on Nasdaq and To Explain How the Opening Transaction for Such a Listing Will Be Effected2021-03-23T00:00:00-07:002021-03-23T00:00:00-07:002021-05917Noticehttps://www.govinfo.gov/content/pkg/FR-2021-03-23/pdf/2021-05917.pdfhttps://regulations.justia.com/regulations/fedreg/2021/03/23/2021-05916.htmlNotice - Self-Regulatory Organizations; Nasdaq PHLX LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend General 9, Section 19, “Discretionary Power as to Customers' Accounts” and Adopt Two New Rules Within General 9 at Sections 30 and 452021-03-23T00:00:00-07:002021-03-23T00:00:00-07:002021-05916Noticehttps://www.govinfo.gov/content/pkg/FR-2021-03-23/pdf/2021-05916.pdfhttps://regulations.justia.com/regulations/fedreg/2021/03/23/2021-05915.htmlNotice - Self-Regulatory Organizations; Cboe EDGX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the Fee Schedule To Expand the Existing Financial Product Distribution Program To Provide for a Derived Data Platform Service2021-03-23T00:00:00-07:002021-03-23T00:00:00-07:002021-05915Noticehttps://www.govinfo.gov/content/pkg/FR-2021-03-23/pdf/2021-05915.pdfhttps://regulations.justia.com/regulations/fedreg/2021/03/23/2021-05914.htmlNotice - Self-Regulatory Organizations; Cboe BZX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the Fee Schedule To Expand the Existing Financial Product Distribution Program To Provide for a Derived Data Platform Service2021-03-23T00:00:00-07:002021-03-23T00:00:00-07:002021-05914Noticehttps://www.govinfo.gov/content/pkg/FR-2021-03-23/pdf/2021-05914.pdfhttps://regulations.justia.com/regulations/fedreg/2021/03/23/2021-05913.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 the BZX Top Feed2021-03-23T00:00:00-07:002021-03-23T00:00:00-07:002021-05913Noticehttps://www.govinfo.gov/content/pkg/FR-2021-03-23/pdf/2021-05913.pdfhttps://regulations.justia.com/regulations/fedreg/2021/03/23/2021-05912.htmlNotice - Self-Regulatory Organizations; Cboe EDGX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the Fees Applicable to the EDGX Top Feed2021-03-23T00:00:00-07:002021-03-23T00:00:00-07:002021-05912Noticehttps://www.govinfo.gov/content/pkg/FR-2021-03-23/pdf/2021-05912.pdfhttps://regulations.justia.com/regulations/fedreg/2021/03/22/2021-05982.htmlNotice - Sunshine Act Meetings2021-03-22T00:00:00-07:002021-03-22T00:00:00-07:002021-05982Noticehttps://www.govinfo.gov/content/pkg/FR-2021-03-22/pdf/2021-05982.pdfhttps://regulations.justia.com/regulations/fedreg/2021/03/22/2021-05825.htmlNotice - Self-Regulatory Organizations; Cboe Futures Exchange, LLC; Notice of a Filing of a Proposed Rule Change To Update Regulatory Independence Policies2021-03-22T00:00:00-07:002021-03-22T00:00:00-07:002021-05825Noticehttps://www.govinfo.gov/content/pkg/FR-2021-03-22/pdf/2021-05825.pdfhttps://regulations.justia.com/regulations/fedreg/2021/03/22/2021-05823.htmlNotice - Self-Regulatory Organizations; The Depository Trust Company; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Remove the Requirement for Participants To Submit Monthly Position Confirmations and Clarify Participant Obligation To Reconcile Activity on a Regular Basis2021-03-22T00:00:00-07:002021-03-22T00:00:00-07:002021-05823Noticehttps://www.govinfo.gov/content/pkg/FR-2021-03-22/pdf/2021-05823.pdfhttps://regulations.justia.com/regulations/fedreg/2021/03/22/2021-05822.htmlNotice - Self-Regulatory Organizations: Investors Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Related to Transaction Fees Pursuant to IEX Rule 15.1102021-03-22T00:00:00-07:002021-03-22T00:00:00-07:002021-05822Noticehttps://www.govinfo.gov/content/pkg/FR-2021-03-22/pdf/2021-05822.pdfhttps://regulations.justia.com/regulations/fedreg/2021/03/22/2021-05821.htmlNotice - Self-Regulatory Organizations; Nasdaq BX, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Rule 4703 Regarding Reserve Orders2021-03-22T00:00:00-07:002021-03-22T00:00:00-07:002021-05821Noticehttps://www.govinfo.gov/content/pkg/FR-2021-03-22/pdf/2021-05821.pdfhttps://regulations.justia.com/regulations/fedreg/2021/03/19/2021-05744.htmlNotice - Security-Based Swap Data Repositories; ICE Trade Vault, LLC; Notice of Filing of Application for Registration as a Security-Based Swap Data Repository2021-03-19T00:00:00-07:002021-03-19T00:00:00-07:002021-05744Noticehttps://www.govinfo.gov/content/pkg/FR-2021-03-19/pdf/2021-05744.pdfhttps://regulations.justia.com/regulations/fedreg/2021/03/19/2021-05675.htmlNotice - Self-Regulatory Organizations; Investors Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Allow Retail Orders To Trade With Certain Aggressively Priced Displayed Odd Lot Orders2021-03-19T00:00:00-07:002021-03-19T00:00:00-07:002021-05675Noticehttps://www.govinfo.gov/content/pkg/FR-2021-03-19/pdf/2021-05675.pdfhttps://regulations.justia.com/regulations/fedreg/2021/03/19/2021-05674.htmlNotice - Self-Regulatory Organizations; MIAX PEARL, LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Adopt a Minimum Execution Quantity Instruction for Orders2021-03-19T00:00:00-07:002021-03-19T00:00:00-07:002021-05674Noticehttps://www.govinfo.gov/content/pkg/FR-2021-03-19/pdf/2021-05674.pdfhttps://regulations.justia.com/regulations/fedreg/2021/03/19/2021-05673.htmlNotice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Listing and Trading of Shares of the T. Rowe Price U.S. Equity Research ETF Under NYSE Arca Rule 8.601-E2021-03-19T00:00:00-07:002021-03-19T00:00:00-07:002021-05673Noticehttps://www.govinfo.gov/content/pkg/FR-2021-03-19/pdf/2021-05673.pdfhttps://regulations.justia.com/regulations/fedreg/2021/03/19/2021-05671.htmlNotice - Self-Regulatory Organizations; Cboe BZX Exchange, Inc.; Notice of Filing of a Proposed Rule Change To List and Trade Shares of the VanEck Bitcoin Trust, Under BZX Rule 14.11(e)(4), Commodity-Based Trust Shares2021-03-19T00:00:00-07:002021-03-19T00:00:00-07:002021-05671Noticehttps://www.govinfo.gov/content/pkg/FR-2021-03-19/pdf/2021-05671.pdfhttps://regulations.justia.com/regulations/fedreg/2021/03/19/2021-05670.htmlNotice - Self-Regulatory Organizations; Cboe BZX Exchange, Inc.; Notice of Filing of a Proposed Rule Change To List and Trade Shares of the VanEck Bitcoin Trust, Under BZX Rule 14.11(e)(4), Commodity-Based Trust Shares2021-03-19T00:00:00-07:002021-03-19T00:00:00-07:002021-05670Noticehttps://www.govinfo.gov/content/pkg/FR-2021-03-19/pdf/2021-05670.pdfhttps://regulations.justia.com/regulations/fedreg/2021/03/18/2021-05562.htmlNotice - Self-Regulatory Organizations; The Nasdaq Stock Market LLC; Notice of Filing of Amendment No. 1 and Order Granting Accelerated Approval of a Proposed Rule Change, as Modified by Amendment No. 1, To Modify and Expand the Package of Complimentary Services Provided to Eligible Companies and To Update the Values of Certain Complimentary Services2021-03-18T00:00:00-07:002021-03-18T00:00:00-07:002021-05562Noticehttps://www.govinfo.gov/content/pkg/FR-2021-03-18/pdf/2021-05562.pdfhttps://regulations.justia.com/regulations/fedreg/2021/03/18/2021-05559.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 Charges2021-03-18T00:00:00-07:002021-03-18T00:00:00-07:002021-05559Noticehttps://www.govinfo.gov/content/pkg/FR-2021-03-18/pdf/2021-05559.pdfhttps://regulations.justia.com/regulations/fedreg/2021/03/18/2021-05558.htmlNotice - Self-Regulatory Organizations; MIAX Emerald, LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Exchange Rule 200, Trading Permits2021-03-18T00:00:00-07:002021-03-18T00:00:00-07:002021-05558Noticehttps://www.govinfo.gov/content/pkg/FR-2021-03-18/pdf/2021-05558.pdfhttps://regulations.justia.com/regulations/fedreg/2021/03/18/2021-05557.htmlNotice - Self-Regulatory Organizations; Miami International Securities Exchange, LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Exchange Rule 200, Trading Permits2021-03-18T00:00:00-07:002021-03-18T00:00:00-07:002021-05557Noticehttps://www.govinfo.gov/content/pkg/FR-2021-03-18/pdf/2021-05557.pdfhttps://regulations.justia.com/regulations/fedreg/2021/03/18/2021-05556.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, as Modified by Amendment No. 1, To Amend NYSE Arca Rule 5.3-E To Exempt Registered Investment Companies That List Certain Categories of the Securities Defined as Derivative and Special Purpose Securities Under NYSE Arca Rules From Having To Obtain Shareholder Approval Prior to the Issuance of Securities in Connection With Certain Acquisitions of the Stock or Assets of an Affiliated Company2021-03-18T00:00:00-07:002021-03-18T00:00:00-07:002021-05556Noticehttps://www.govinfo.gov/content/pkg/FR-2021-03-18/pdf/2021-05556.pdfhttps://regulations.justia.com/regulations/fedreg/2021/03/18/2021-05555.htmlNotice - Self-Regulatory Organizations; Cboe Futures Exchange, LLC; Notice of a Filing of a Proposed Rule Change Regarding Order Information2021-03-18T00:00:00-07:002021-03-18T00:00:00-07:002021-05555Noticehttps://www.govinfo.gov/content/pkg/FR-2021-03-18/pdf/2021-05555.pdfhttps://regulations.justia.com/regulations/fedreg/2021/03/18/2021-05554.htmlNotice - Self-Regulatory Organizations; The Nasdaq Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the Exchange's Transaction Credits at Equity 7, Section 118(a)2021-03-18T00:00:00-07:002021-03-18T00:00:00-07:002021-05554Noticehttps://www.govinfo.gov/content/pkg/FR-2021-03-18/pdf/2021-05554.pdfhttps://regulations.justia.com/regulations/fedreg/2021/03/17/2021-05451.htmlNotice - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Its Price List2021-03-17T00:00:00-07:002021-03-17T00:00:00-07:002021-05451Noticehttps://www.govinfo.gov/content/pkg/FR-2021-03-17/pdf/2021-05451.pdfhttps://regulations.justia.com/regulations/fedreg/2021/03/17/2021-05448.htmlNotice - Self-Regulatory Organizations; Nasdaq PHLX 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 Modify Phlx Options 8, Section 26, “Trading Halts, Business Continuity and Disaster Recovery”2021-03-17T00:00:00-07:002021-03-17T00:00:00-07:002021-05448Noticehttps://www.govinfo.gov/content/pkg/FR-2021-03-17/pdf/2021-05448.pdfhttps://regulations.justia.com/regulations/fedreg/2021/03/17/2021-05445.htmlNotice - Self-Regulatory Organizations; MIAX PEARL, LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the MIAX PEARL Fee Schedule2021-03-17T00:00:00-07:002021-03-17T00:00:00-07:002021-05445Noticehttps://www.govinfo.gov/content/pkg/FR-2021-03-17/pdf/2021-05445.pdfhttps://regulations.justia.com/regulations/fedreg/2021/03/17/2021-05444.htmlNotice - Self-Regulatory Organizations; MIAX PEARL, LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Exchange Rule 2300, Supervision, and Exchange Rule 2301, Supervisory Control System2021-03-17T00:00:00-07:002021-03-17T00:00:00-07:002021-05444Noticehttps://www.govinfo.gov/content/pkg/FR-2021-03-17/pdf/2021-05444.pdfhttps://regulations.justia.com/regulations/fedreg/2021/03/16/2021-05456.htmlNotice - Sunshine Act Meetings2021-03-16T00:00:00-07:002021-03-16T00:00:00-07:002021-05456Noticehttps://www.govinfo.gov/content/pkg/FR-2021-03-16/pdf/2021-05456.pdfhttps://regulations.justia.com/regulations/fedreg/2021/03/16/2021-05378.htmlNotice - Submission for OMB Review; Comment Request2021-03-16T00:00:00-07:002021-03-16T00:00:00-07:002021-05378Noticehttps://www.govinfo.gov/content/pkg/FR-2021-03-16/pdf/2021-05378.pdfhttps://regulations.justia.com/regulations/fedreg/2021/03/16/2021-05377.htmlNotice - Submission for OMB Review; Comment Request2021-03-16T00:00:00-07:002021-03-16T00:00:00-07:002021-05377Noticehttps://www.govinfo.gov/content/pkg/FR-2021-03-16/pdf/2021-05377.pdfhttps://regulations.justia.com/regulations/fedreg/2021/03/16/2021-05376.htmlNotice - Submission for OMB Review; Comment Request2021-03-16T00:00:00-07:002021-03-16T00:00:00-07:002021-05376Noticehttps://www.govinfo.gov/content/pkg/FR-2021-03-16/pdf/2021-05376.pdfhttps://regulations.justia.com/regulations/fedreg/2021/03/16/2021-05348.htmlNotice - Self-Regulatory Organizations; Cboe Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Update its Fees Schedule in Connection With the Exchange's Plans To List and Trade Options on the Mini-RUT Index (“MRUT” or “Mini-RUT”)2021-03-16T00:00:00-07:002021-03-16T00:00:00-07:002021-05348Noticehttps://www.govinfo.gov/content/pkg/FR-2021-03-16/pdf/2021-05348.pdfhttps://regulations.justia.com/regulations/fedreg/2021/03/16/2021-05347.htmlNotice - Self-Regulatory Organizations; National Securities Clearing Corporation; Notice of Filing of a Proposed Rule Change To Revise the Clearing Agency Investment Policy2021-03-16T00:00:00-07:002021-03-16T00:00:00-07:002021-05347Noticehttps://www.govinfo.gov/content/pkg/FR-2021-03-16/pdf/2021-05347.pdfhttps://regulations.justia.com/regulations/fedreg/2021/03/16/2021-05345.htmlNotice - Self-Regulatory Organizations; The Nasdaq Stock Market LLC; Notice of Filing of Proposed Rule Change, as Modified by Amendment, No. 1, To Amend Listing Rules Applicable to Special Purpose Acquisition Companies Whose Business Plan is To Complete One or More Business Combinations2021-03-16T00:00:00-07:002021-03-16T00:00:00-07:002021-05345Noticehttps://www.govinfo.gov/content/pkg/FR-2021-03-16/pdf/2021-05345.pdfhttps://regulations.justia.com/regulations/fedreg/2021/03/16/2021-05344.htmlNotice - Self-Regulatory Organizations; The Depository Trust Company; Notice of Filing of a Proposed Rule Change To Revise the Clearing Agency Investment Policy2021-03-16T00:00:00-07:002021-03-16T00:00:00-07:002021-05344Noticehttps://www.govinfo.gov/content/pkg/FR-2021-03-16/pdf/2021-05344.pdfhttps://regulations.justia.com/regulations/fedreg/2021/03/16/2021-05343.htmlNotice - Self-Regulatory Organizations; The Nasdaq Stock Market LLC; Notice of Filing of Amendments No. 1 and Order Instituting Proceedings To Determine Whether To Approve or Disapprove Proposed Rule Changes, as Modified by Amendments No. 1, To Adopt Listing Rules Related to Board Diversity and To Offer Certain Listed Companies Access to a Complimentary Board Recruiting Solution To Help Advance Diversity on Company Boards2021-03-16T00:00:00-07:002021-03-16T00:00:00-07:002021-05343Noticehttps://www.govinfo.gov/content/pkg/FR-2021-03-16/pdf/2021-05343.pdfhttps://regulations.justia.com/regulations/fedreg/2021/03/16/2021-05342.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 7, Section 32021-03-16T00:00:00-07:002021-03-16T00:00:00-07:002021-05342Noticehttps://www.govinfo.gov/content/pkg/FR-2021-03-16/pdf/2021-05342.pdfhttps://regulations.justia.com/regulations/fedreg/2021/03/16/2021-05341.htmlNotice - Self-Regulatory Organizations; Fixed Income Clearing Corporation; Notice of Filing of a Proposed Rule Change To Revise the Clearing Agency Investment Policy2021-03-16T00:00:00-07:002021-03-16T00:00:00-07:002021-05341Noticehttps://www.govinfo.gov/content/pkg/FR-2021-03-16/pdf/2021-05341.pdfhttps://regulations.justia.com/regulations/fedreg/2021/03/16/2021-05340.htmlNotice - Self-Regulatory Organizations; Long-Term Stock Exchange, Inc.; Order Approving Proposed Rule Change To Amend LTSE Rule 14.501 To Specify the Process for Enforcing Compliance With LTSE Rule 14.425 for Listed Companies2021-03-16T00:00:00-07:002021-03-16T00:00:00-07:002021-05340Noticehttps://www.govinfo.gov/content/pkg/FR-2021-03-16/pdf/2021-05340.pdfhttps://regulations.justia.com/regulations/fedreg/2021/03/16/2021-05339.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 Futures and Options Risk Policy and Futures and Options Risk Procedures and Retirement of the Futures and Options Concentration Charge Policy2021-03-16T00:00:00-07:002021-03-16T00:00:00-07:002021-05339Noticehttps://www.govinfo.gov/content/pkg/FR-2021-03-16/pdf/2021-05339.pdfhttps://regulations.justia.com/regulations/fedreg/2021/03/15/2021-05379.htmlNotice - Sunshine Act Meetings2021-03-15T00:00:00-07:002021-03-15T00:00:00-07:002021-05379Noticehttps://www.govinfo.gov/content/pkg/FR-2021-03-15/pdf/2021-05379.pdfhttps://regulations.justia.com/regulations/fedreg/2021/03/15/2021-05240.htmlNotice - Self-Regulatory Organizations; Nasdaq PHLX LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Proposed Rule Change To Amend Options 7, Section 3, “Rebates and Fees for Adding and Removing Liquidity in SPY”2021-03-15T00:00:00-07:002021-03-15T00:00:00-07:002021-05240Noticehttps://www.govinfo.gov/content/pkg/FR-2021-03-15/pdf/2021-05240.pdfhttps://regulations.justia.com/regulations/fedreg/2021/03/15/2021-05239.htmlNotice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Withdrawal of a Proposed Rule Change To Amend NYSE Arca Rule 8.601-E To Adopt Generic Listing Standards for Active Proxy Portfolio Shares2021-03-15T00:00:00-07:002021-03-15T00:00:00-07:002021-05239Noticehttps://www.govinfo.gov/content/pkg/FR-2021-03-15/pdf/2021-05239.pdfhttps://regulations.justia.com/regulations/fedreg/2021/03/15/2021-05238.htmlNotice - Self-Regulatory Organizations; NYSE Arca, Inc.; Order Instituting Proceedings To Determine Whether To Approve or Disapprove a Proposed Rule Change Relating To List and Trade the Shares of the Teucrium Water Fund Under NYSE Arca Rule 8.200-E, Commentary .022021-03-15T00:00:00-07:002021-03-15T00:00:00-07:002021-05238Noticehttps://www.govinfo.gov/content/pkg/FR-2021-03-15/pdf/2021-05238.pdfhttps://regulations.justia.com/regulations/fedreg/2021/03/15/2021-05237.htmlNotice - Self-Regulatory Organizations; MIAX PEARL, LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Exchange Rule 519C, Mass Cancellation of Trading Interest2021-03-15T00:00:00-07:002021-03-15T00:00:00-07:002021-05237Noticehttps://www.govinfo.gov/content/pkg/FR-2021-03-15/pdf/2021-05237.pdfhttps://regulations.justia.com/regulations/fedreg/2021/03/15/2021-05236.htmlNotice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Withdrawal of a Proposed Rule Change, as Modified by Amendment No. 1, To Amend NYSE Arca Rule 8.900-E To Adopt Generic Listing Standards for Managed Portfolio Shares2021-03-15T00:00:00-07:002021-03-15T00:00:00-07:002021-05236Noticehttps://www.govinfo.gov/content/pkg/FR-2021-03-15/pdf/2021-05236.pdfhttps://regulations.justia.com/regulations/fedreg/2021/03/12/2021-05170.htmlNotice - Notice of Intention To Cancel Registration Pursuant to Section 203(H) of The Investment Advisers Act of 19402021-03-12T00:00:00-08:002021-03-12T00:00:00-08:002021-05170Noticehttps://www.govinfo.gov/content/pkg/FR-2021-03-12/pdf/2021-05170.pdfhttps://regulations.justia.com/regulations/fedreg/2021/03/12/2021-05133.htmlNotice - Self-Regulatory Organizations; ICE Clear Credit LLC; Order Approving Proposed Rule Change Relating to the ICC Operational Risk Management Framework2021-03-12T00:00:00-08:002021-03-12T00:00:00-08:002021-05133Noticehttps://www.govinfo.gov/content/pkg/FR-2021-03-12/pdf/2021-05133.pdfhttps://regulations.justia.com/regulations/fedreg/2021/03/12/2021-05132.htmlNotice - Self-Regulatory Organizations; ICE Clear Credit LLC; Order Approving Proposed Rule Change Relating to the Clearance of an Additional Credit Default Swap Contract2021-03-12T00:00:00-08:002021-03-12T00:00:00-08:002021-05132Noticehttps://www.govinfo.gov/content/pkg/FR-2021-03-12/pdf/2021-05132.pdfhttps://regulations.justia.com/regulations/fedreg/2021/03/12/2021-05131.htmlNotice - Self-Regulatory Organizations; Cboe Exchange, Inc.; Notice of Filing of a Proposed Rule Change To Amend Rule 5.52(d) in Connection With a Market-Maker's Electronic Volume Transacted on the Exchange2021-03-12T00:00:00-08:002021-03-12T00:00:00-08:002021-05131Noticehttps://www.govinfo.gov/content/pkg/FR-2021-03-12/pdf/2021-05131.pdfhttps://regulations.justia.com/regulations/fedreg/2021/03/11/2021-05033.htmlNotice - Self-Regulatory Organizations; Cboe BYX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Rule 11.13 (Order Execution and Routing), as Well as its Fee Schedule, To Delete References to the INET and RDOX Routing Options2021-03-11T00:00:00-08:002021-03-11T00:00:00-08:002021-05033Noticehttps://www.govinfo.gov/content/pkg/FR-2021-03-11/pdf/2021-05033.pdfhttps://regulations.justia.com/regulations/fedreg/2021/03/11/2021-05032.htmlNotice - Self-Regulatory Organizations; Cboe EDGX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Rule 11.11 (Routing to Away Trading Centers), as Well as Its Fee Schedule, To Delete References to the INET and RDOX Routing Options2021-03-11T00:00:00-08:002021-03-11T00:00:00-08:002021-05032Noticehttps://www.govinfo.gov/content/pkg/FR-2021-03-11/pdf/2021-05032.pdfhttps://regulations.justia.com/regulations/fedreg/2021/03/11/2021-05031.htmlNotice - Self-Regulatory Organizations; Cboe EDGA Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Rule 11.11 (Routing to Away Trading Centers), as Well as Its Fee Schedule, To Delete References to the INET and RDOX Routing Options and To Delete All References to the C-LNK Routing and Connectivity Option From Its Fee Schedule2021-03-11T00:00:00-08:002021-03-11T00:00:00-08:002021-05031Noticehttps://www.govinfo.gov/content/pkg/FR-2021-03-11/pdf/2021-05031.pdfhttps://regulations.justia.com/regulations/fedreg/2021/03/11/2021-05030.htmlNotice - Self-Regulatory Organizations; Cboe BZX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Rule 11.13 (Order Execution and Routing), as Well as Its Fee Schedule, To Delete References to the INET, RDOX, and TRIMminus Routing Options2021-03-11T00:00:00-08:002021-03-11T00:00:00-08:002021-05030Noticehttps://www.govinfo.gov/content/pkg/FR-2021-03-11/pdf/2021-05030.pdfhttps://regulations.justia.com/regulations/fedreg/2021/03/11/2021-05029.htmlNotice - Self-Regulatory Organizations; NYSE Arca, Inc.; Order Approving a Proposed Rule Change, as Modified by Amendment No. 2, To List and Trade Shares of the Stance Equity ESG Large Cap Core ETF Under NYSE Arca Rule 8.601-E2021-03-11T00:00:00-08:002021-03-11T00:00:00-08:002021-05029Noticehttps://www.govinfo.gov/content/pkg/FR-2021-03-11/pdf/2021-05029.pdfhttps://regulations.justia.com/regulations/fedreg/2021/03/11/2021-05028.htmlNotice - Self-Regulatory Organizations; Cboe BZX Exchange, Inc.; Notice of Filing of Amendment Nos. 2 and 4 and Order Granting Accelerated Approval of a Proposed Rule Change, as Modified by Amendment Nos. 2 and 4, To List and Trade Shares of the 2x Long VIX Futures ETF Under BZX Rule 14.11(f)(4) (Trust Issued Receipts)2021-03-11T00:00:00-08:002021-03-11T00:00:00-08:002021-05028Noticehttps://www.govinfo.gov/content/pkg/FR-2021-03-11/pdf/2021-05028.pdfhttps://regulations.justia.com/regulations/fedreg/2021/03/11/2021-05027.htmlNotice - Self-Regulatory Organizations; Cboe BZX Exchange, Inc.; Notice of Filing of Amendment Nos. 1 and 3 and Order Granting Accelerated Approval of a Proposed Rule Change, as Modified by Amendment Nos. 1 and 3, To List and Trade Shares of the −1x Short VIX Futures ETF Under BZX Rule 14.11(f)(4) (Trust Issued Receipts)2021-03-11T00:00:00-08:002021-03-11T00:00:00-08:002021-05027Noticehttps://www.govinfo.gov/content/pkg/FR-2021-03-11/pdf/2021-05027.pdfhttps://regulations.justia.com/regulations/fedreg/2021/03/11/2021-05026.htmlNotice - Self-Regulatory Organizations; Nasdaq PHLX LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Equity 4, Rule 3301B Regarding Reserve Orders2021-03-11T00:00:00-08:002021-03-11T00:00:00-08:002021-05026Noticehttps://www.govinfo.gov/content/pkg/FR-2021-03-11/pdf/2021-05026.pdfhttps://regulations.justia.com/regulations/fedreg/2021/03/11/2021-05025.htmlNotice - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Permit Firms To File a Form U4 Based on an Electronically Signed Copy of the Form2021-03-11T00:00:00-08:002021-03-11T00:00:00-08:002021-05025Noticehttps://www.govinfo.gov/content/pkg/FR-2021-03-11/pdf/2021-05025.pdfhttps://regulations.justia.com/regulations/fedreg/2021/03/11/2021-05024.htmlNotice - Self-Regulatory Organizations; National Securities Clearing Corporation; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Remove the InsurExpress and Replacements Services From Rule 57 of the NSCC Rules2021-03-11T00:00:00-08:002021-03-11T00:00:00-08:002021-05024Noticehttps://www.govinfo.gov/content/pkg/FR-2021-03-11/pdf/2021-05024.pdfhttps://regulations.justia.com/regulations/fedreg/2021/03/11/2021-05023.htmlNotice - Self-Regulatory Organizations; Cboe EDGX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the Fee Schedule2021-03-11T00:00:00-08:002021-03-11T00:00:00-08:002021-05023Noticehttps://www.govinfo.gov/content/pkg/FR-2021-03-11/pdf/2021-05023.pdfhttps://regulations.justia.com/regulations/fedreg/2021/03/10/2021-04960.htmlRule - Amendments to the Commission's Rules of Practice; Correction2021-03-10T00:00:00-08:002021-03-10T00:00:00-08:002021-04960Rulehttps://www.govinfo.gov/content/pkg/FR-2021-03-10/pdf/2021-04960.pdfhttps://regulations.justia.com/regulations/fedreg/2021/03/10/2021-04934.htmlNotice - Brighthouse Life Insurance Company, et al.2021-03-10T00:00:00-08:002021-03-10T00:00:00-08:002021-04934Noticehttps://www.govinfo.gov/content/pkg/FR-2021-03-10/pdf/2021-04934.pdfhttps://regulations.justia.com/regulations/fedreg/2021/03/10/2021-04913.htmlNotice - Self-Regulatory Organizations; Cboe Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating To Amend Its Fees Schedule2021-03-10T00:00:00-08:002021-03-10T00:00:00-08:002021-04913Noticehttps://www.govinfo.gov/content/pkg/FR-2021-03-10/pdf/2021-04913.pdfhttps://regulations.justia.com/regulations/fedreg/2021/03/10/2021-04912.htmlNotice - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Order Instituting Proceedings To Determine Whether To Approve or Disapprove the Proposed Rule Change To Adopt FINRA Rule 4111 (Restricted Firm Obligations) and FINRA Rule 9561 (Procedures for Regulating Activities Under Rule 4111)2021-03-10T00:00:00-08:002021-03-10T00:00:00-08:002021-04912Noticehttps://www.govinfo.gov/content/pkg/FR-2021-03-10/pdf/2021-04912.pdfhttps://regulations.justia.com/regulations/fedreg/2021/03/10/2021-04911.htmlNotice - Self-Regulatory Organizations; Cboe Exchange, Inc.; Order Instituting Proceedings To Determine Whether To Approve or Disapprove a Proposed Rule Change, as Modified by Amendment No. 1, To Amend its Rules Regarding the Minimum Increments for Electronic Bids and Offers and Exercise Prices of Certain FLEX Options and Clarify in the Rules How the System Ranks FLEX Option Bids and Offers for Allocation Purposes2021-03-10T00:00:00-08:002021-03-10T00:00:00-08:002021-04911Noticehttps://www.govinfo.gov/content/pkg/FR-2021-03-10/pdf/2021-04911.pdfhttps://regulations.justia.com/regulations/fedreg/2021/03/10/2021-04910.htmlNotice - Self-Regulatory Organizations; MEMX LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Exchange Rule 11.6(h)(1) To Enable Users To Include a Limit Price on a Pegged Order With a Primary Peg Instruction2021-03-10T00:00:00-08:002021-03-10T00:00:00-08:002021-04910Noticehttps://www.govinfo.gov/content/pkg/FR-2021-03-10/pdf/2021-04910.pdfhttps://regulations.justia.com/regulations/fedreg/2021/03/10/2021-04909.htmlNotice - Self-Regulatory Organizations; Nasdaq PHLX 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 List and Trade Options on a Nasdaq-100 Volatility Index2021-03-10T00:00:00-08:002021-03-10T00:00:00-08:002021-04909Noticehttps://www.govinfo.gov/content/pkg/FR-2021-03-10/pdf/2021-04909.pdfhttps://regulations.justia.com/regulations/fedreg/2021/03/09/2021-04793.htmlNotice - Self-Regulatory Organizations; Municipal Securities Rulemaking Board; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Reduce the Rates of Assessment for Certain Underwriting, Transaction, and Technology Fees Under MSRB Rule A-132021-03-09T00:00:00-08:002021-03-09T00:00:00-08:002021-04793Noticehttps://www.govinfo.gov/content/pkg/FR-2021-03-09/pdf/2021-04793.pdfhttps://regulations.justia.com/regulations/fedreg/2021/03/09/2021-04792.htmlNotice - Self-Regulatory Organizations; NYSE American LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the NYSE American Options Fee Schedule2021-03-09T00:00:00-08:002021-03-09T00:00:00-08:002021-04792Noticehttps://www.govinfo.gov/content/pkg/FR-2021-03-09/pdf/2021-04792.pdfhttps://regulations.justia.com/regulations/fedreg/2021/03/09/2021-04791.htmlNotice - Self-Regulatory Organizations; Cboe Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Its Fees Schedule2021-03-09T00:00:00-08:002021-03-09T00:00:00-08:002021-04791Noticehttps://www.govinfo.gov/content/pkg/FR-2021-03-09/pdf/2021-04791.pdfhttps://regulations.justia.com/regulations/fedreg/2021/03/08/2021-04871.htmlNotice - Sunshine Act Meetings2021-03-08T00:00:00-08:002021-03-08T00:00:00-08:002021-04871Noticehttps://www.govinfo.gov/content/pkg/FR-2021-03-08/pdf/2021-04871.pdfhttps://regulations.justia.com/regulations/fedreg/2021/03/08/2021-04712.htmlNotice - Self-Regulatory Organizations; Notice of Filing and Immediate Effectiveness of the Fiftieth 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; Correction2021-03-08T00:00:00-08:002021-03-08T00:00:00-08:002021-04712Noticehttps://www.govinfo.gov/content/pkg/FR-2021-03-08/pdf/2021-04712.pdfhttps://regulations.justia.com/regulations/fedreg/2021/03/08/2021-04682.htmlNotice - Self-Regulatory Organizations; Cboe EDGA Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposal To Permit the Exchange To Look Back Only to July 2020 To Correct Certain Billing Errors Which Were Discovered in October 20202021-03-08T00:00:00-08:002021-03-08T00:00:00-08:002021-04682Noticehttps://www.govinfo.gov/content/pkg/FR-2021-03-08/pdf/2021-04682.pdfhttps://regulations.justia.com/regulations/fedreg/2021/03/08/2021-04681.htmlNotice - Self-Regulatory Organizations; The Nasdaq Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Enhance the End of Day Summary Message on Nasdaq Last Sale Plus2021-03-08T00:00:00-08:002021-03-08T00:00:00-08:002021-04681Noticehttps://www.govinfo.gov/content/pkg/FR-2021-03-08/pdf/2021-04681.pdfhttps://regulations.justia.com/regulations/fedreg/2021/03/08/2021-04680.htmlNotice - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Withdrawal of a Proposed Rule Change To Amend the Requirement Applicable to Special Purpose Acquisition Companies Upon Consummation of a Business Combination Concerning Compliance With the Round Lot Shareholder Requirement2021-03-08T00:00:00-08:002021-03-08T00:00:00-08:002021-04680Noticehttps://www.govinfo.gov/content/pkg/FR-2021-03-08/pdf/2021-04680.pdfhttps://regulations.justia.com/regulations/fedreg/2021/03/08/2021-04679.htmlNotice - Self-Regulatory Organizations; Nasdaq PHLX LLC; Notice of Filing of Proposed Rule Change To Permit Monday and Wednesday Expirations for Options Listed Pursuant to the Short Term Option Series Program on the Invesco QQQ TrustSM2021-03-08T00:00:00-08:002021-03-08T00:00:00-08:002021-04679Noticehttps://www.govinfo.gov/content/pkg/FR-2021-03-08/pdf/2021-04679.pdfhttps://regulations.justia.com/regulations/fedreg/2021/03/08/2021-04678.htmlNotice - Self-Regulatory Organizations; ICE Clear Europe Limited; Notice of Filing of Proposed Rule Change Relating to the ICE Clear Europe CDS Clearing Stress Testing Policy, CDS End of Day Price Discovery Policy, CDS Risk Model Description and CDS Risk Policy and CDS Parameters Review Procedures2021-03-08T00:00:00-08:002021-03-08T00:00:00-08:002021-04678Noticehttps://www.govinfo.gov/content/pkg/FR-2021-03-08/pdf/2021-04678.pdfhttps://regulations.justia.com/regulations/fedreg/2021/03/08/2021-04677.htmlNotice - Self-Regulatory Organizations; Cboe BZX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposal To Permit the Exchange To Look Back Only to July 2020 To Correct Certain Billing Errors Which Were Discovered in October 20202021-03-08T00:00:00-08:002021-03-08T00:00:00-08:002021-04677Noticehttps://www.govinfo.gov/content/pkg/FR-2021-03-08/pdf/2021-04677.pdfhttps://regulations.justia.com/regulations/fedreg/2021/03/08/2021-04676.htmlNotice - Self-Regulatory Organizations; NYSE Arca, Inc.; Order Disapproving a Proposed Rule Change To Amend NYSE Arca Rules 5.2-E(j)(3), 5.2-E(j)(8), 5.5-E(g)(2), 8.600-E, and 8.900-E2021-03-08T00:00:00-08:002021-03-08T00:00:00-08:002021-04676Noticehttps://www.govinfo.gov/content/pkg/FR-2021-03-08/pdf/2021-04676.pdfhttps://regulations.justia.com/regulations/fedreg/2021/03/08/2021-04662.htmlNotice - Proposed Collection; Comment Request2021-03-08T00:00:00-08:002021-03-08T00:00:00-08:002021-04662Noticehttps://www.govinfo.gov/content/pkg/FR-2021-03-08/pdf/2021-04662.pdfhttps://regulations.justia.com/regulations/fedreg/2021/03/08/2021-04661.htmlNotice - Submission for OMB Review; Comment Request2021-03-08T00:00:00-08:002021-03-08T00:00:00-08:002021-04661Noticehttps://www.govinfo.gov/content/pkg/FR-2021-03-08/pdf/2021-04661.pdfhttps://regulations.justia.com/regulations/fedreg/2021/03/08/2021-04658.htmlNotice - Submission for OMB Review; Comment Request2021-03-08T00:00:00-08:002021-03-08T00:00:00-08:002021-04658Noticehttps://www.govinfo.gov/content/pkg/FR-2021-03-08/pdf/2021-04658.pdfhttps://regulations.justia.com/regulations/fedreg/2021/03/08/2021-04657.htmlNotice - Proposed Collection; Comment Request2021-03-08T00:00:00-08:002021-03-08T00:00:00-08:002021-04657Noticehttps://www.govinfo.gov/content/pkg/FR-2021-03-08/pdf/2021-04657.pdfhttps://regulations.justia.com/regulations/fedreg/2021/03/08/2021-04656.htmlNotice - Submission for OMB Review; Comment Request2021-03-08T00:00:00-08:002021-03-08T00:00:00-08:002021-04656Noticehttps://www.govinfo.gov/content/pkg/FR-2021-03-08/pdf/2021-04656.pdfhttps://regulations.justia.com/regulations/fedreg/2021/03/08/2021-04655.htmlNotice - Submission for OMB Review; Comment Request2021-03-08T00:00:00-08:002021-03-08T00:00:00-08:002021-04655Noticehttps://www.govinfo.gov/content/pkg/FR-2021-03-08/pdf/2021-04655.pdfhttps://regulations.justia.com/regulations/fedreg/2021/03/05/2021-04531.htmlNotice - Self-Regulatory Organizations; Cboe EDGX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposal To Permit the Exchange To Look Back Only to July 2020 To Correct Certain Billing Errors Which Were Discovered in October 20202021-03-05T00:00:00-08:002021-03-05T00:00:00-08:002021-04531Noticehttps://www.govinfo.gov/content/pkg/FR-2021-03-05/pdf/2021-04531.pdfhttps://regulations.justia.com/regulations/fedreg/2021/03/05/2021-04530.htmlNotice - Self-Regulatory Organizations; New York Stock Exchange LLC; Order Instituting Proceedings To Determine Whether To Approve or Disapprove a Proposed Rule Change To Make Permanent Commentaries to Rule 7.35A and Commentaries to Rule 7.35B and Make Related Changes to Rules 7.32, 7.35C, 46B, and 472021-03-05T00:00:00-08:002021-03-05T00:00:00-08:002021-04530Noticehttps://www.govinfo.gov/content/pkg/FR-2021-03-05/pdf/2021-04530.pdfhttps://regulations.justia.com/regulations/fedreg/2021/03/05/2021-04529.htmlNotice - Self-Regulatory Organizations; Nasdaq BX, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Various BX Options Rules2021-03-05T00:00:00-08:002021-03-05T00:00:00-08:002021-04529Noticehttps://www.govinfo.gov/content/pkg/FR-2021-03-05/pdf/2021-04529.pdfhttps://regulations.justia.com/regulations/fedreg/2021/03/05/2021-04501.htmlNotice - Rand Capital Corporation, et al.2021-03-05T00:00:00-08:002021-03-05T00:00:00-08:002021-04501Noticehttps://www.govinfo.gov/content/pkg/FR-2021-03-05/pdf/2021-04501.pdfhttps://regulations.justia.com/regulations/fedreg/2021/03/05/2020-28868.htmlRule - Investment Adviser Marketing2021-03-05T00:00:00-08:002021-03-05T00:00:00-08:002020-28868Rulehttps://www.govinfo.gov/content/pkg/FR-2021-03-05/pdf/2020-28868.pdfhttps://regulations.justia.com/regulations/fedreg/2021/03/04/2021-04428.htmlNotice - Self-Regulatory Organizations; Nasdaq ISE, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Various Rules in Options 3 and Options 52021-03-04T00:00:00-08:002021-03-04T00:00:00-08:002021-04428Noticehttps://www.govinfo.gov/content/pkg/FR-2021-03-04/pdf/2021-04428.pdfhttps://regulations.justia.com/regulations/fedreg/2021/03/04/2021-04427.htmlNotice - Self-Regulatory Organizations; Nasdaq PHLX LLC; Notice of Designation of a Longer Period for Commission Action on a Proposed Rule Change To Modify Phlx Options 8, Section 26, “Trading Halts, Business Continuity and Disaster Recovery”2021-03-04T00:00:00-08:002021-03-04T00:00:00-08:002021-04427Noticehttps://www.govinfo.gov/content/pkg/FR-2021-03-04/pdf/2021-04427.pdfhttps://regulations.justia.com/regulations/fedreg/2021/03/04/2021-04426.htmlNotice - Self-Regulatory Organizations; NYSE Chicago, Inc.; Notice of Filing of Proposed Rule Change To Amend the Schedule of Wireless Connectivity Fees and Charges To Add Circuits for Connectivity Into and Out of the Data Center in Mahwah, New Jersey2021-03-04T00:00:00-08:002021-03-04T00:00:00-08:002021-04426Noticehttps://www.govinfo.gov/content/pkg/FR-2021-03-04/pdf/2021-04426.pdfhttps://regulations.justia.com/regulations/fedreg/2021/03/04/2021-04425.htmlNotice - Self-Regulatory Organizations; NYSE American LLC; Notice of Filing of Proposed Rule Change To Amend the Schedule of Wireless Connectivity Fees and Charges To Add Circuits for Connectivity Into and Out of the Data Center in Mahwah, New Jersey2021-03-04T00:00:00-08:002021-03-04T00:00:00-08:002021-04425Noticehttps://www.govinfo.gov/content/pkg/FR-2021-03-04/pdf/2021-04425.pdfhttps://regulations.justia.com/regulations/fedreg/2021/03/04/2021-04424.htmlNotice - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing of Proposed Rule Change To Amend the Schedule of Wireless Connectivity Fees and Charges To Add Circuits for Connectivity Into and Out of the Data Center in Mahwah, New Jersey2021-03-04T00:00:00-08:002021-03-04T00:00:00-08:002021-04424Noticehttps://www.govinfo.gov/content/pkg/FR-2021-03-04/pdf/2021-04424.pdfhttps://regulations.justia.com/regulations/fedreg/2021/03/04/2021-04423.htmlNotice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing of Proposed Rule Change To Amend the Schedule of Wireless Connectivity Fees and Charges To Add Circuits for Connectivity Into and Out of the Data Center in Mahwah, New Jersey2021-03-04T00:00:00-08:002021-03-04T00:00:00-08:002021-04423Noticehttps://www.govinfo.gov/content/pkg/FR-2021-03-04/pdf/2021-04423.pdfhttps://regulations.justia.com/regulations/fedreg/2021/03/04/2021-04422.htmlNotice - Self-Regulatory Organizations; NYSE National, Inc.; Notice of Filing of Proposed Rule Change To Amend the Schedule of Wireless Connectivity Fees and Charges To Add Circuits for Connectivity Into and Out of the Data Center in Mahwah, New Jersey2021-03-04T00:00:00-08:002021-03-04T00:00:00-08:002021-04422Noticehttps://www.govinfo.gov/content/pkg/FR-2021-03-04/pdf/2021-04422.pdfhttps://regulations.justia.com/regulations/fedreg/2021/03/04/2021-04411.htmlNotice - [Notice of Applications for Deregistration Under Section 8(f) of the Investment Company Act of 19402021-03-04T00:00:00-08:002021-03-04T00:00:00-08:002021-04411Noticehttps://www.govinfo.gov/content/pkg/FR-2021-03-04/pdf/2021-04411.pdfhttps://regulations.justia.com/regulations/fedreg/2021/03/03/2021-04490.htmlNotice - Sunshine Act Meetings2021-03-03T00:00:00-08:002021-03-03T00:00:00-08:002021-04490Noticehttps://www.govinfo.gov/content/pkg/FR-2021-03-03/pdf/2021-04490.pdfhttps://regulations.justia.com/regulations/fedreg/2021/03/03/2021-04394.htmlNotice - Asset Management Advisory Committee2021-03-03T00:00:00-08:002021-03-03T00:00:00-08:002021-04394Noticehttps://www.govinfo.gov/content/pkg/FR-2021-03-03/pdf/2021-04394.pdfhttps://regulations.justia.com/regulations/fedreg/2021/03/03/2021-04310.htmlNotice - Self-Regulatory Organizations; The Nasdaq Stock Market LLC; Notice of Designation of a Longer Period for Commission Action on a Proposed Rule Change To Modify the Quorum Requirement for Non-U.S. Companies Under Certain Limited Circumstances2021-03-03T00:00:00-08:002021-03-03T00:00:00-08:002021-04310Noticehttps://www.govinfo.gov/content/pkg/FR-2021-03-03/pdf/2021-04310.pdfhttps://regulations.justia.com/regulations/fedreg/2021/03/03/2021-04309.htmlNotice - Self-Regulatory Organizations; Cboe Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend an Exchange Rule Relating to Inactive Nominees2021-03-03T00:00:00-08:002021-03-03T00:00:00-08:002021-04309Noticehttps://www.govinfo.gov/content/pkg/FR-2021-03-03/pdf/2021-04309.pdfhttps://regulations.justia.com/regulations/fedreg/2021/03/03/2021-04308.htmlNotice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Regarding the Listing and Trading Rule for Shares of the Alger 25 ETF2021-03-03T00:00:00-08:002021-03-03T00:00:00-08:002021-04308Noticehttps://www.govinfo.gov/content/pkg/FR-2021-03-03/pdf/2021-04308.pdfhttps://regulations.justia.com/regulations/fedreg/2021/03/03/2021-04307.htmlNotice - Self-Regulatory Organizations; The Nasdaq Stock Market LLC; Notice of Filing of Proposed Rule Change To Amend Rule 4754 Relating to the Limit-Up Limit-Down Closing Cross2021-03-03T00:00:00-08:002021-03-03T00:00:00-08:002021-04307Noticehttps://www.govinfo.gov/content/pkg/FR-2021-03-03/pdf/2021-04307.pdfhttps://regulations.justia.com/regulations/fedreg/2021/03/02/2021-04222.htmlNotice - Self-Regulatory Organizations; The Nasdaq Stock Market LLC; Notice of Filing of Proposed Rule Change, as Modified by Amendment No. 1, To Allow Companies To List in Connection With a Direct Listing With a Primary Offering in Which the Company Will Sell Shares Itself in the Opening Auction on the First Day of Trading on Nasdaq and To Explain How the Opening Transaction for Such a Listing Will Be Effected2021-03-02T00:00:00-08:002021-03-02T00:00:00-08:002021-04222Noticehttps://www.govinfo.gov/content/pkg/FR-2021-03-02/pdf/2021-04222.pdfhttps://regulations.justia.com/regulations/fedreg/2021/03/02/2021-04221.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 Clearing Rules2021-03-02T00:00:00-08:002021-03-02T00:00:00-08:002021-04221Noticehttps://www.govinfo.gov/content/pkg/FR-2021-03-02/pdf/2021-04221.pdfhttps://regulations.justia.com/regulations/fedreg/2021/03/02/2021-04220.htmlNotice - Order Granting Application by Cboe C2 Exchange, Inc. for Exemption Pursuant to Section 36(a) of the Exchange Act From the Rule Filing Requirements of Section 19(b) of the Exchange Act With Respect to Certain Rules Incorporated by Reference2021-03-02T00:00:00-08:002021-03-02T00:00:00-08:002021-04220Noticehttps://www.govinfo.gov/content/pkg/FR-2021-03-02/pdf/2021-04220.pdfhttps://regulations.justia.com/regulations/fedreg/2021/03/02/2021-04219.htmlNotice - Order Granting Application by Nasdaq ISE, LLC for Exemption Pursuant to Section 36(a) of the Exchange Act From the Rule Filing Requirements of Section 19(b) of the Exchange Act With Respect to the Nasdaq Rule 1000 Series Incorporated by Reference2021-03-02T00:00:00-08:002021-03-02T00:00:00-08:002021-04219Noticehttps://www.govinfo.gov/content/pkg/FR-2021-03-02/pdf/2021-04219.pdfhttps://regulations.justia.com/regulations/fedreg/2021/03/02/2021-04218.htmlNotice - Self-Regulatory Organizations; MIAX Emerald, LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Its Fee Schedule To Adopt Port Fees, Increase Certain Network Connectivity Fees, and Increase the Number of Additional Limited Service MIAX Emerald Express Interface Ports Available to Market Makers2021-03-02T00:00:00-08:002021-03-02T00:00:00-08:002021-04218Noticehttps://www.govinfo.gov/content/pkg/FR-2021-03-02/pdf/2021-04218.pdfhttps://regulations.justia.com/regulations/fedreg/2021/03/02/2021-04217.htmlNotice - Self-Regulatory Organizations; The Options Clearing Corporation; Notice of Filing of Proposed Rule Change To Establish OCC's Persistent Minimum Skin-in-the-Game2021-03-02T00:00:00-08:002021-03-02T00:00:00-08:002021-04217Noticehttps://www.govinfo.gov/content/pkg/FR-2021-03-02/pdf/2021-04217.pdfhttps://regulations.justia.com/regulations/fedreg/2021/03/02/2021-04216.htmlNotice - Self-Regulatory Organizations; Cboe Exchange, Inc.; Notice of Designation of a Longer Period for Commission Action on a Proposed Rule Change To Amend Certain Rules To Accommodate the Listing and Trading of Index Options With an Index Multiplier of One2021-03-02T00:00:00-08:002021-03-02T00:00:00-08:002021-04216Noticehttps://www.govinfo.gov/content/pkg/FR-2021-03-02/pdf/2021-04216.pdfhttps://regulations.justia.com/regulations/fedreg/2021/03/02/2021-04215.htmlNotice - Lewis Family Advisors, LLC2021-03-02T00:00:00-08:002021-03-02T00:00:00-08:002021-04215Noticehttps://www.govinfo.gov/content/pkg/FR-2021-03-02/pdf/2021-04215.pdfhttps://regulations.justia.com/regulations/fedreg/2021/03/01/2021-04273.htmlNotice - Sunshine Act Meetings2021-03-01T00:00:00-08:002021-03-01T00:00:00-08:002021-04273Noticehttps://www.govinfo.gov/content/pkg/FR-2021-03-01/pdf/2021-04273.pdfhttps://regulations.justia.com/regulations/fedreg/2021/03/01/2021-04177.htmlNotice - Self-Regulatory Organizations; NYSE American LLC; Notice of Filing and Immediate Effectiveness of Proposed Change Amending the NYSE American Options Fee Schedule To Introduce Pricing for the Use of a New AON Functionality in Single-Leg and Complex Customer Best Execution Auctions2021-03-01T00:00:00-08:002021-03-01T00:00:00-08:002021-04177Noticehttps://www.govinfo.gov/content/pkg/FR-2021-03-01/pdf/2021-04177.pdfhttps://regulations.justia.com/regulations/fedreg/2021/03/01/2021-04139.htmlNotice - Submission for OMB Review; Comment Request; Upon Written Request2021-03-01T00:00:00-08:002021-03-01T00:00:00-08:002021-04139Noticehttps://www.govinfo.gov/content/pkg/FR-2021-03-01/pdf/2021-04139.pdfhttps://regulations.justia.com/regulations/fedreg/2021/03/01/2021-04092.htmlNotice - Order Granting Application by Cboe C2 Exchange, Inc. for Exemption Pursuant to Section 36(a) of the Exchange Act From the Rule Filing Requirements of Section 19(b) of the Exchange Act With Respect to Certain Rules Incorporated by Reference2021-03-01T00:00:00-08:002021-03-01T00:00:00-08:002021-04092Noticehttps://www.govinfo.gov/content/pkg/FR-2021-03-01/pdf/2021-04092.pdfhttps://regulations.justia.com/regulations/fedreg/2021/03/01/2021-04091.htmlNotice - Order Granting Application by MIAX PEARL, LLC for an Exemption Pursuant to Section 36(a) of the Exchange Act From the Rule Filing Requirements of Section 19(b) of the Exchange Act With Respect to Certain Rules Incorporated by Reference2021-03-01T00:00:00-08:002021-03-01T00:00:00-08:002021-04091Noticehttps://www.govinfo.gov/content/pkg/FR-2021-03-01/pdf/2021-04091.pdfhttps://regulations.justia.com/regulations/fedreg/2021/03/01/2021-04090.htmlNotice - Self-Regulatory Organizations; Cboe EDGX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Order Start Times During Its Early Trading Session2021-03-01T00:00:00-08:002021-03-01T00:00:00-08:002021-04090Noticehttps://www.govinfo.gov/content/pkg/FR-2021-03-01/pdf/2021-04090.pdfhttps://regulations.justia.com/regulations/fedreg/2021/03/01/2021-04089.htmlNotice - Joint Industry Plan; Notice of Filing and Immediate Effectiveness of the Fiftieth 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 Basis2021-03-01T00:00:00-08:002021-03-01T00:00:00-08:002021-04089Noticehttps://www.govinfo.gov/content/pkg/FR-2021-03-01/pdf/2021-04089.pdfhttps://regulations.justia.com/regulations/fedreg/2021/03/01/2021-04088.htmlNotice - Consolidated Tape Association; Notice of Filing of the Thirty-Sixth Substantive Amendment to the Second Restatement of the CTA Plan and Twenty-Seventh Substantive Amendment to the Restated CQ Plan2021-03-01T00:00:00-08:002021-03-01T00:00:00-08:002021-04088Noticehttps://www.govinfo.gov/content/pkg/FR-2021-03-01/pdf/2021-04088.pdfhttps://regulations.justia.com/regulations/fedreg/2021/03/01/2021-04087.htmlNotice - Self-Regulatory Organizations; The Options Clearing Corporation; Notice of Filing of Advance Notice Relating to OCC's Establishment of Persistent Minimum Skin-In-The-Game2021-03-01T00:00:00-08:002021-03-01T00:00:00-08:002021-04087Noticehttps://www.govinfo.gov/content/pkg/FR-2021-03-01/pdf/2021-04087.pdfhttps://regulations.justia.com/regulations/fedreg/2021/03/01/2021-04075.htmlNotice - Star Mountain Credit Opportunities Fund, LP, et al.2021-03-01T00:00:00-08:002021-03-01T00:00:00-08:002021-04075Noticehttps://www.govinfo.gov/content/pkg/FR-2021-03-01/pdf/2021-04075.pdf