<![CDATA[Federal Register Recent Federal Regulation Documents - Justia Regulation Tracker - Justia Regulations Tracker]]> https://regulations.justia.com/regulations/fedreg/agencies/securities-and-exchange-commission/2021/03?registers=between&min-day=1&max-day=31 Thu, 02 May 2024 13:52:35 -0700 Thu, 02 May 2024 13:52:35 -0700 Justia Regulations Tracker Copyright 2011 Justia Inc. https://regulations.justia.com/images/justiafedregulations.gif <![CDATA[Federal Register Recent Federal Regulation Documents - Justia Regulation Tracker - Justia Regulations Tracker]]> https://regulations.justia.com/regulations/fedreg/agencies/securities-and-exchange-commission/2021/03?registers=between&min-day=1&max-day=31 Notice - 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 Fee https://regulations.justia.com/regulations/fedreg/2021/03/31/2021-06562.html https://regulations.justia.com/regulations/fedreg/2021/03/31/2021-06562.html Wed, 31 Mar 2021 00:00:00 -0700 2021-06562 Notice https://www.govinfo.gov/content/pkg/FR-2021-03-31/pdf/2021-06562.pdf Notice - Self-Regulatory Organizations; Nasdaq MRX, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Various Rules in Options 3 https://regulations.justia.com/regulations/fedreg/2021/03/31/2021-06561.html https://regulations.justia.com/regulations/fedreg/2021/03/31/2021-06561.html Wed, 31 Mar 2021 00:00:00 -0700 2021-06561 Notice https://www.govinfo.gov/content/pkg/FR-2021-03-31/pdf/2021-06561.pdf Notice - Self-Regulatory Organizations; Nasdaq GEMX, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Various Rules in Options 3 https://regulations.justia.com/regulations/fedreg/2021/03/31/2021-06559.html https://regulations.justia.com/regulations/fedreg/2021/03/31/2021-06559.html Wed, 31 Mar 2021 00:00:00 -0700 2021-06559 Notice https://www.govinfo.gov/content/pkg/FR-2021-03-31/pdf/2021-06559.pdf Notice - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Its Price List To Extend the Waiver of Equipment and Related Service Charges and Trading License Fees for NYSE Trading Floor-Based Member Organizations https://regulations.justia.com/regulations/fedreg/2021/03/31/2021-06558.html https://regulations.justia.com/regulations/fedreg/2021/03/31/2021-06558.html Wed, 31 Mar 2021 00:00:00 -0700 2021-06558 Notice https://www.govinfo.gov/content/pkg/FR-2021-03-31/pdf/2021-06558.pdf Proposed Rule - Regulatory Flexibility Agenda https://regulations.justia.com/regulations/fedreg/2021/03/31/2021-04360.html https://regulations.justia.com/regulations/fedreg/2021/03/31/2021-04360.html Wed, 31 Mar 2021 00:00:00 -0700 2021-04360 Proposed Rule https://www.govinfo.gov/content/pkg/FR-2021-03-31/pdf/2021-04360.pdf Notice - 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 Amount https://regulations.justia.com/regulations/fedreg/2021/03/30/2021-06493.html https://regulations.justia.com/regulations/fedreg/2021/03/30/2021-06493.html Tue, 30 Mar 2021 00:00:00 -0700 2021-06493 Notice https://www.govinfo.gov/content/pkg/FR-2021-03-30/pdf/2021-06493.pdf Notice - 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 Values https://regulations.justia.com/regulations/fedreg/2021/03/30/2021-06466.html https://regulations.justia.com/regulations/fedreg/2021/03/30/2021-06466.html Tue, 30 Mar 2021 00:00:00 -0700 2021-06466 Notice https://www.govinfo.gov/content/pkg/FR-2021-03-30/pdf/2021-06466.pdf Notice - 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-Location https://regulations.justia.com/regulations/fedreg/2021/03/29/2021-06349.html https://regulations.justia.com/regulations/fedreg/2021/03/29/2021-06349.html Mon, 29 Mar 2021 00:00:00 -0700 2021-06349 Notice https://www.govinfo.gov/content/pkg/FR-2021-03-29/pdf/2021-06349.pdf Notice - Self-Regulatory Organizations; NYSE Chicago, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Its Fee Schedule Related to Co-Location https://regulations.justia.com/regulations/fedreg/2021/03/29/2021-06348.html https://regulations.justia.com/regulations/fedreg/2021/03/29/2021-06348.html Mon, 29 Mar 2021 00:00:00 -0700 2021-06348 Notice https://www.govinfo.gov/content/pkg/FR-2021-03-29/pdf/2021-06348.pdf Notice - 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 Data https://regulations.justia.com/regulations/fedreg/2021/03/29/2021-06347.html https://regulations.justia.com/regulations/fedreg/2021/03/29/2021-06347.html Mon, 29 Mar 2021 00:00:00 -0700 2021-06347 Notice https://www.govinfo.gov/content/pkg/FR-2021-03-29/pdf/2021-06347.pdf Notice - 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-Location https://regulations.justia.com/regulations/fedreg/2021/03/29/2021-06346.html https://regulations.justia.com/regulations/fedreg/2021/03/29/2021-06346.html Mon, 29 Mar 2021 00:00:00 -0700 2021-06346 Notice https://www.govinfo.gov/content/pkg/FR-2021-03-29/pdf/2021-06346.pdf Notice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the NYSE Arca Equities Fees and Charges and the NYSE Arca Options Fees and Charges Related to Co-Location https://regulations.justia.com/regulations/fedreg/2021/03/29/2021-06345.html https://regulations.justia.com/regulations/fedreg/2021/03/29/2021-06345.html Mon, 29 Mar 2021 00:00:00 -0700 2021-06345 Notice https://www.govinfo.gov/content/pkg/FR-2021-03-29/pdf/2021-06345.pdf Notice - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Its Price List Related to Co-Location https://regulations.justia.com/regulations/fedreg/2021/03/29/2021-06344.html https://regulations.justia.com/regulations/fedreg/2021/03/29/2021-06344.html Mon, 29 Mar 2021 00:00:00 -0700 2021-06344 Notice https://www.govinfo.gov/content/pkg/FR-2021-03-29/pdf/2021-06344.pdf Notice - Proposed Collection; Comment Request https://regulations.justia.com/regulations/fedreg/2021/03/26/2021-06243.html https://regulations.justia.com/regulations/fedreg/2021/03/26/2021-06243.html Fri, 26 Mar 2021 00:00:00 -0700 2021-06243 Notice https://www.govinfo.gov/content/pkg/FR-2021-03-26/pdf/2021-06243.pdf Notice - Proposed Collection; Comment Request https://regulations.justia.com/regulations/fedreg/2021/03/26/2021-06242.html https://regulations.justia.com/regulations/fedreg/2021/03/26/2021-06242.html Fri, 26 Mar 2021 00:00:00 -0700 2021-06242 Notice https://www.govinfo.gov/content/pkg/FR-2021-03-26/pdf/2021-06242.pdf Notice - Proposed Collection; Comment Request https://regulations.justia.com/regulations/fedreg/2021/03/26/2021-06241.html https://regulations.justia.com/regulations/fedreg/2021/03/26/2021-06241.html Fri, 26 Mar 2021 00:00:00 -0700 2021-06241 Notice https://www.govinfo.gov/content/pkg/FR-2021-03-26/pdf/2021-06241.pdf Notice - Proposed Collection; Comment Request https://regulations.justia.com/regulations/fedreg/2021/03/26/2021-06240.html https://regulations.justia.com/regulations/fedreg/2021/03/26/2021-06240.html Fri, 26 Mar 2021 00:00:00 -0700 2021-06240 Notice https://www.govinfo.gov/content/pkg/FR-2021-03-26/pdf/2021-06240.pdf Notice - Self-Regulatory Organizations; Cboe Futures Exchange, LLC; Notice of a Filing of a Proposed Rule Change Regarding Disruptive Trading Practices https://regulations.justia.com/regulations/fedreg/2021/03/26/2021-06233.html https://regulations.justia.com/regulations/fedreg/2021/03/26/2021-06233.html Fri, 26 Mar 2021 00:00:00 -0700 2021-06233 Notice https://www.govinfo.gov/content/pkg/FR-2021-03-26/pdf/2021-06233.pdf Notice - Self-Regulatory Organizations; Cboe Futures Exchange, LLC; Notice of a Filing of a Proposed Rule Change Regarding Position Limit Rule Updates https://regulations.justia.com/regulations/fedreg/2021/03/26/2021-06232.html https://regulations.justia.com/regulations/fedreg/2021/03/26/2021-06232.html Fri, 26 Mar 2021 00:00:00 -0700 2021-06232 Notice https://www.govinfo.gov/content/pkg/FR-2021-03-26/pdf/2021-06232.pdf Notice - 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 2021 https://regulations.justia.com/regulations/fedreg/2021/03/25/2021-06137.html https://regulations.justia.com/regulations/fedreg/2021/03/25/2021-06137.html Thu, 25 Mar 2021 00:00:00 -0700 2021-06137 Notice https://www.govinfo.gov/content/pkg/FR-2021-03-25/pdf/2021-06137.pdf Notice - 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 Makers https://regulations.justia.com/regulations/fedreg/2021/03/25/2021-06127.html https://regulations.justia.com/regulations/fedreg/2021/03/25/2021-06127.html Thu, 25 Mar 2021 00:00:00 -0700 2021-06127 Notice https://www.govinfo.gov/content/pkg/FR-2021-03-25/pdf/2021-06127.pdf Notice - Self-Regulatory Organizations; BOX Exchange LLC; Order Approving a Proposed Rule Change To Amend BOX Rule 7620 (Accommodation Transactions) https://regulations.justia.com/regulations/fedreg/2021/03/25/2021-06126.html https://regulations.justia.com/regulations/fedreg/2021/03/25/2021-06126.html Thu, 25 Mar 2021 00:00:00 -0700 2021-06126 Notice https://www.govinfo.gov/content/pkg/FR-2021-03-25/pdf/2021-06126.pdf Notice - 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 Rulebook https://regulations.justia.com/regulations/fedreg/2021/03/25/2021-06125.html https://regulations.justia.com/regulations/fedreg/2021/03/25/2021-06125.html Thu, 25 Mar 2021 00:00:00 -0700 2021-06125 Notice https://www.govinfo.gov/content/pkg/FR-2021-03-25/pdf/2021-06125.pdf Notice - 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) https://regulations.justia.com/regulations/fedreg/2021/03/25/2021-06124.html https://regulations.justia.com/regulations/fedreg/2021/03/25/2021-06124.html Thu, 25 Mar 2021 00:00:00 -0700 2021-06124 Notice https://www.govinfo.gov/content/pkg/FR-2021-03-25/pdf/2021-06124.pdf Notice - Self-Regulatory Organizations; NYSE American LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Modify the NYSE American Options Fee Schedule https://regulations.justia.com/regulations/fedreg/2021/03/25/2021-06123.html https://regulations.justia.com/regulations/fedreg/2021/03/25/2021-06123.html Thu, 25 Mar 2021 00:00:00 -0700 2021-06123 Notice https://www.govinfo.gov/content/pkg/FR-2021-03-25/pdf/2021-06123.pdf Notice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Modify the NYSE Arca Options Fee Schedule https://regulations.justia.com/regulations/fedreg/2021/03/25/2021-06122.html https://regulations.justia.com/regulations/fedreg/2021/03/25/2021-06122.html Thu, 25 Mar 2021 00:00:00 -0700 2021-06122 Notice https://www.govinfo.gov/content/pkg/FR-2021-03-25/pdf/2021-06122.pdf Notice - 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 Schedule https://regulations.justia.com/regulations/fedreg/2021/03/25/2021-06121.html https://regulations.justia.com/regulations/fedreg/2021/03/25/2021-06121.html Thu, 25 Mar 2021 00:00:00 -0700 2021-06121 Notice https://www.govinfo.gov/content/pkg/FR-2021-03-25/pdf/2021-06121.pdf Notice - 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 Schedule https://regulations.justia.com/regulations/fedreg/2021/03/25/2021-06120.html https://regulations.justia.com/regulations/fedreg/2021/03/25/2021-06120.html Thu, 25 Mar 2021 00:00:00 -0700 2021-06120 Notice https://www.govinfo.gov/content/pkg/FR-2021-03-25/pdf/2021-06120.pdf Notice - Self-Regulatory Organizations; ICE Clear Europe Limited; Order Approving Proposed Rule Change Relating to Amendments to the ICE Clear Europe Price Submission Disciplinary Framework https://regulations.justia.com/regulations/fedreg/2021/03/25/2021-06119.html https://regulations.justia.com/regulations/fedreg/2021/03/25/2021-06119.html Thu, 25 Mar 2021 00:00:00 -0700 2021-06119 Notice https://www.govinfo.gov/content/pkg/FR-2021-03-25/pdf/2021-06119.pdf Notice - 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 Schedule https://regulations.justia.com/regulations/fedreg/2021/03/25/2021-06118.html https://regulations.justia.com/regulations/fedreg/2021/03/25/2021-06118.html Thu, 25 Mar 2021 00:00:00 -0700 2021-06118 Notice https://www.govinfo.gov/content/pkg/FR-2021-03-25/pdf/2021-06118.pdf Notice - 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 Schedule https://regulations.justia.com/regulations/fedreg/2021/03/25/2021-06116.html https://regulations.justia.com/regulations/fedreg/2021/03/25/2021-06116.html Thu, 25 Mar 2021 00:00:00 -0700 2021-06116 Notice https://www.govinfo.gov/content/pkg/FR-2021-03-25/pdf/2021-06116.pdf Proposed Rule - List of Rules To Be Reviewed Pursuant to the Regulatory Flexibility Act https://regulations.justia.com/regulations/fedreg/2021/03/25/2021-05928.html https://regulations.justia.com/regulations/fedreg/2021/03/25/2021-05928.html Thu, 25 Mar 2021 00:00:00 -0700 2021-05928 Proposed Rule https://www.govinfo.gov/content/pkg/FR-2021-03-25/pdf/2021-05928.pdf Notice - 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 Bundles https://regulations.justia.com/regulations/fedreg/2021/03/24/2021-06019.html https://regulations.justia.com/regulations/fedreg/2021/03/24/2021-06019.html Wed, 24 Mar 2021 00:00:00 -0700 2021-06019 Notice https://www.govinfo.gov/content/pkg/FR-2021-03-24/pdf/2021-06019.pdf Notice - Submission for OMB Review; Comment Request https://regulations.justia.com/regulations/fedreg/2021/03/24/2021-06013.html https://regulations.justia.com/regulations/fedreg/2021/03/24/2021-06013.html Wed, 24 Mar 2021 00:00:00 -0700 2021-06013 Notice https://www.govinfo.gov/content/pkg/FR-2021-03-24/pdf/2021-06013.pdf Notice - 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 Bundles https://regulations.justia.com/regulations/fedreg/2021/03/24/2021-06011.html https://regulations.justia.com/regulations/fedreg/2021/03/24/2021-06011.html Wed, 24 Mar 2021 00:00:00 -0700 2021-06011 Notice https://www.govinfo.gov/content/pkg/FR-2021-03-24/pdf/2021-06011.pdf Notice - 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 Bundles https://regulations.justia.com/regulations/fedreg/2021/03/24/2021-06004.html https://regulations.justia.com/regulations/fedreg/2021/03/24/2021-06004.html Wed, 24 Mar 2021 00:00:00 -0700 2021-06004 Notice https://www.govinfo.gov/content/pkg/FR-2021-03-24/pdf/2021-06004.pdf Notice - Self-Regulatory Organizations; ICE Clear Credit LLC; Order Approving Proposed Rule Change Relating to the ICC Governance Playbook https://regulations.justia.com/regulations/fedreg/2021/03/24/2021-06002.html https://regulations.justia.com/regulations/fedreg/2021/03/24/2021-06002.html Wed, 24 Mar 2021 00:00:00 -0700 2021-06002 Notice https://www.govinfo.gov/content/pkg/FR-2021-03-24/pdf/2021-06002.pdf Notice - 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 Bundles https://regulations.justia.com/regulations/fedreg/2021/03/24/2021-06001.html https://regulations.justia.com/regulations/fedreg/2021/03/24/2021-06001.html Wed, 24 Mar 2021 00:00:00 -0700 2021-06001 Notice https://www.govinfo.gov/content/pkg/FR-2021-03-24/pdf/2021-06001.pdf Notice - Self-Regulatory Organizations; New York Stock Exchange LLC; Order Instituting Proceedings To Determine Whether To Approve or Disapprove a Proposed Rule Change To Amend Its Rules Establishing Maximum Fee Rates To Be Charged by Member Organizations for Forwarding Proxy and Other Materials to Beneficial Owners https://regulations.justia.com/regulations/fedreg/2021/03/24/2021-06000.html https://regulations.justia.com/regulations/fedreg/2021/03/24/2021-06000.html Wed, 24 Mar 2021 00:00:00 -0700 2021-06000 Notice https://www.govinfo.gov/content/pkg/FR-2021-03-24/pdf/2021-06000.pdf Notice - 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 Bundles https://regulations.justia.com/regulations/fedreg/2021/03/24/2021-05999.html https://regulations.justia.com/regulations/fedreg/2021/03/24/2021-05999.html Wed, 24 Mar 2021 00:00:00 -0700 2021-05999 Notice https://www.govinfo.gov/content/pkg/FR-2021-03-24/pdf/2021-05999.pdf Notice - 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” https://regulations.justia.com/regulations/fedreg/2021/03/24/2021-05998.html https://regulations.justia.com/regulations/fedreg/2021/03/24/2021-05998.html Wed, 24 Mar 2021 00:00:00 -0700 2021-05998 Notice https://www.govinfo.gov/content/pkg/FR-2021-03-24/pdf/2021-05998.pdf Notice - 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 Exchange https://regulations.justia.com/regulations/fedreg/2021/03/24/2021-05997.html https://regulations.justia.com/regulations/fedreg/2021/03/24/2021-05997.html Wed, 24 Mar 2021 00:00:00 -0700 2021-05997 Notice https://www.govinfo.gov/content/pkg/FR-2021-03-24/pdf/2021-05997.pdf Notice - 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 Exchange https://regulations.justia.com/regulations/fedreg/2021/03/24/2021-05996.html https://regulations.justia.com/regulations/fedreg/2021/03/24/2021-05996.html Wed, 24 Mar 2021 00:00:00 -0700 2021-05996 Notice https://www.govinfo.gov/content/pkg/FR-2021-03-24/pdf/2021-05996.pdf Notice - Self-Regulatory Organizations; National Securities Clearing Corporation; Notice of Filing of Proposed Rule Change To Amend the Supplemental Liquidity Deposit Requirements https://regulations.justia.com/regulations/fedreg/2021/03/24/2021-05995.html https://regulations.justia.com/regulations/fedreg/2021/03/24/2021-05995.html Wed, 24 Mar 2021 00:00:00 -0700 2021-05995 Notice https://www.govinfo.gov/content/pkg/FR-2021-03-24/pdf/2021-05995.pdf Notice - 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 Combinations https://regulations.justia.com/regulations/fedreg/2021/03/24/2021-05994.html https://regulations.justia.com/regulations/fedreg/2021/03/24/2021-05994.html Wed, 24 Mar 2021 00:00:00 -0700 2021-05994 Notice https://www.govinfo.gov/content/pkg/FR-2021-03-24/pdf/2021-05994.pdf Notice - Self-Regulatory Organizations; National Securities Clearing Corporation; Notice of Filing of Advance Notice To Amend the Supplemental Liquidity Deposit Requirements https://regulations.justia.com/regulations/fedreg/2021/03/24/2021-05993.html https://regulations.justia.com/regulations/fedreg/2021/03/24/2021-05993.html Wed, 24 Mar 2021 00:00:00 -0700 2021-05993 Notice https://www.govinfo.gov/content/pkg/FR-2021-03-24/pdf/2021-05993.pdf Notice - Self-Regulatory Organizations; New York Stock Exchange LLC; Order Instituting Proceedings To Determine Whether To Approve or Disapprove a Proposed Rule Change To Amend Its Rules To Prohibit Member Organizations From Seeking Reimbursement, in Certain Circumstances, From Issuers for Forwarding Proxy and Other Materials to Beneficial Owners https://regulations.justia.com/regulations/fedreg/2021/03/23/2021-05918.html https://regulations.justia.com/regulations/fedreg/2021/03/23/2021-05918.html Tue, 23 Mar 2021 00:00:00 -0700 2021-05918 Notice https://www.govinfo.gov/content/pkg/FR-2021-03-23/pdf/2021-05918.pdf Notice - 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 Effected https://regulations.justia.com/regulations/fedreg/2021/03/23/2021-05917.html https://regulations.justia.com/regulations/fedreg/2021/03/23/2021-05917.html Tue, 23 Mar 2021 00:00:00 -0700 2021-05917 Notice https://www.govinfo.gov/content/pkg/FR-2021-03-23/pdf/2021-05917.pdf Notice - 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 45 https://regulations.justia.com/regulations/fedreg/2021/03/23/2021-05916.html https://regulations.justia.com/regulations/fedreg/2021/03/23/2021-05916.html Tue, 23 Mar 2021 00:00:00 -0700 2021-05916 Notice https://www.govinfo.gov/content/pkg/FR-2021-03-23/pdf/2021-05916.pdf Notice - Self-Regulatory Organizations; Cboe EDGX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the Fee Schedule To Expand the Existing Financial Product Distribution Program To Provide for a Derived Data Platform Service https://regulations.justia.com/regulations/fedreg/2021/03/23/2021-05915.html https://regulations.justia.com/regulations/fedreg/2021/03/23/2021-05915.html Tue, 23 Mar 2021 00:00:00 -0700 2021-05915 Notice https://www.govinfo.gov/content/pkg/FR-2021-03-23/pdf/2021-05915.pdf Notice - 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 Service https://regulations.justia.com/regulations/fedreg/2021/03/23/2021-05914.html https://regulations.justia.com/regulations/fedreg/2021/03/23/2021-05914.html Tue, 23 Mar 2021 00:00:00 -0700 2021-05914 Notice https://www.govinfo.gov/content/pkg/FR-2021-03-23/pdf/2021-05914.pdf Notice - 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 Feed https://regulations.justia.com/regulations/fedreg/2021/03/23/2021-05913.html https://regulations.justia.com/regulations/fedreg/2021/03/23/2021-05913.html Tue, 23 Mar 2021 00:00:00 -0700 2021-05913 Notice https://www.govinfo.gov/content/pkg/FR-2021-03-23/pdf/2021-05913.pdf Notice - 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 Feed https://regulations.justia.com/regulations/fedreg/2021/03/23/2021-05912.html https://regulations.justia.com/regulations/fedreg/2021/03/23/2021-05912.html Tue, 23 Mar 2021 00:00:00 -0700 2021-05912 Notice https://www.govinfo.gov/content/pkg/FR-2021-03-23/pdf/2021-05912.pdf Notice - Sunshine Act Meetings https://regulations.justia.com/regulations/fedreg/2021/03/22/2021-05982.html https://regulations.justia.com/regulations/fedreg/2021/03/22/2021-05982.html Mon, 22 Mar 2021 00:00:00 -0700 2021-05982 Notice https://www.govinfo.gov/content/pkg/FR-2021-03-22/pdf/2021-05982.pdf Notice - Self-Regulatory Organizations; Cboe Futures Exchange, LLC; Notice of a Filing of a Proposed Rule Change To Update Regulatory Independence Policies https://regulations.justia.com/regulations/fedreg/2021/03/22/2021-05825.html https://regulations.justia.com/regulations/fedreg/2021/03/22/2021-05825.html Mon, 22 Mar 2021 00:00:00 -0700 2021-05825 Notice https://www.govinfo.gov/content/pkg/FR-2021-03-22/pdf/2021-05825.pdf Notice - 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 Basis https://regulations.justia.com/regulations/fedreg/2021/03/22/2021-05823.html https://regulations.justia.com/regulations/fedreg/2021/03/22/2021-05823.html Mon, 22 Mar 2021 00:00:00 -0700 2021-05823 Notice https://www.govinfo.gov/content/pkg/FR-2021-03-22/pdf/2021-05823.pdf Notice - Self-Regulatory Organizations: Investors Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Related to Transaction Fees Pursuant to IEX Rule 15.110 https://regulations.justia.com/regulations/fedreg/2021/03/22/2021-05822.html https://regulations.justia.com/regulations/fedreg/2021/03/22/2021-05822.html Mon, 22 Mar 2021 00:00:00 -0700 2021-05822 Notice https://www.govinfo.gov/content/pkg/FR-2021-03-22/pdf/2021-05822.pdf Notice - Self-Regulatory Organizations; Nasdaq BX, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Rule 4703 Regarding Reserve Orders https://regulations.justia.com/regulations/fedreg/2021/03/22/2021-05821.html https://regulations.justia.com/regulations/fedreg/2021/03/22/2021-05821.html Mon, 22 Mar 2021 00:00:00 -0700 2021-05821 Notice https://www.govinfo.gov/content/pkg/FR-2021-03-22/pdf/2021-05821.pdf Notice - Security-Based Swap Data Repositories; ICE Trade Vault, LLC; Notice of Filing of Application for Registration as a Security-Based Swap Data Repository https://regulations.justia.com/regulations/fedreg/2021/03/19/2021-05744.html https://regulations.justia.com/regulations/fedreg/2021/03/19/2021-05744.html Fri, 19 Mar 2021 00:00:00 -0700 2021-05744 Notice https://www.govinfo.gov/content/pkg/FR-2021-03-19/pdf/2021-05744.pdf Notice - 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 Orders https://regulations.justia.com/regulations/fedreg/2021/03/19/2021-05675.html https://regulations.justia.com/regulations/fedreg/2021/03/19/2021-05675.html Fri, 19 Mar 2021 00:00:00 -0700 2021-05675 Notice https://www.govinfo.gov/content/pkg/FR-2021-03-19/pdf/2021-05675.pdf Notice - 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 Orders https://regulations.justia.com/regulations/fedreg/2021/03/19/2021-05674.html https://regulations.justia.com/regulations/fedreg/2021/03/19/2021-05674.html Fri, 19 Mar 2021 00:00:00 -0700 2021-05674 Notice https://www.govinfo.gov/content/pkg/FR-2021-03-19/pdf/2021-05674.pdf Notice - 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-E https://regulations.justia.com/regulations/fedreg/2021/03/19/2021-05673.html https://regulations.justia.com/regulations/fedreg/2021/03/19/2021-05673.html Fri, 19 Mar 2021 00:00:00 -0700 2021-05673 Notice https://www.govinfo.gov/content/pkg/FR-2021-03-19/pdf/2021-05673.pdf Notice - 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 Shares https://regulations.justia.com/regulations/fedreg/2021/03/19/2021-05671.html https://regulations.justia.com/regulations/fedreg/2021/03/19/2021-05671.html Fri, 19 Mar 2021 00:00:00 -0700 2021-05671 Notice https://www.govinfo.gov/content/pkg/FR-2021-03-19/pdf/2021-05671.pdf Notice - 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 Shares https://regulations.justia.com/regulations/fedreg/2021/03/19/2021-05670.html https://regulations.justia.com/regulations/fedreg/2021/03/19/2021-05670.html Fri, 19 Mar 2021 00:00:00 -0700 2021-05670 Notice https://www.govinfo.gov/content/pkg/FR-2021-03-19/pdf/2021-05670.pdf Notice - Self-Regulatory Organizations; The Nasdaq Stock Market LLC; Notice of Filing of Amendment No. 1 and Order Granting Accelerated Approval of a Proposed Rule Change, as Modified by Amendment No. 1, To Modify and Expand the Package of Complimentary Services Provided to Eligible Companies and To Update the Values of Certain Complimentary Services https://regulations.justia.com/regulations/fedreg/2021/03/18/2021-05562.html https://regulations.justia.com/regulations/fedreg/2021/03/18/2021-05562.html Thu, 18 Mar 2021 00:00:00 -0700 2021-05562 Notice https://www.govinfo.gov/content/pkg/FR-2021-03-18/pdf/2021-05562.pdf Notice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the NYSE Arca Equities Fees and Charges https://regulations.justia.com/regulations/fedreg/2021/03/18/2021-05559.html https://regulations.justia.com/regulations/fedreg/2021/03/18/2021-05559.html Thu, 18 Mar 2021 00:00:00 -0700 2021-05559 Notice https://www.govinfo.gov/content/pkg/FR-2021-03-18/pdf/2021-05559.pdf Notice - Self-Regulatory Organizations; MIAX Emerald, LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Exchange Rule 200, Trading Permits https://regulations.justia.com/regulations/fedreg/2021/03/18/2021-05558.html https://regulations.justia.com/regulations/fedreg/2021/03/18/2021-05558.html Thu, 18 Mar 2021 00:00:00 -0700 2021-05558 Notice https://www.govinfo.gov/content/pkg/FR-2021-03-18/pdf/2021-05558.pdf Notice - 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 Permits https://regulations.justia.com/regulations/fedreg/2021/03/18/2021-05557.html https://regulations.justia.com/regulations/fedreg/2021/03/18/2021-05557.html Thu, 18 Mar 2021 00:00:00 -0700 2021-05557 Notice https://www.govinfo.gov/content/pkg/FR-2021-03-18/pdf/2021-05557.pdf Notice - 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 Company https://regulations.justia.com/regulations/fedreg/2021/03/18/2021-05556.html https://regulations.justia.com/regulations/fedreg/2021/03/18/2021-05556.html Thu, 18 Mar 2021 00:00:00 -0700 2021-05556 Notice https://www.govinfo.gov/content/pkg/FR-2021-03-18/pdf/2021-05556.pdf Notice - Self-Regulatory Organizations; Cboe Futures Exchange, LLC; Notice of a Filing of a Proposed Rule Change Regarding Order Information https://regulations.justia.com/regulations/fedreg/2021/03/18/2021-05555.html https://regulations.justia.com/regulations/fedreg/2021/03/18/2021-05555.html Thu, 18 Mar 2021 00:00:00 -0700 2021-05555 Notice https://www.govinfo.gov/content/pkg/FR-2021-03-18/pdf/2021-05555.pdf Notice - 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) https://regulations.justia.com/regulations/fedreg/2021/03/18/2021-05554.html https://regulations.justia.com/regulations/fedreg/2021/03/18/2021-05554.html Thu, 18 Mar 2021 00:00:00 -0700 2021-05554 Notice https://www.govinfo.gov/content/pkg/FR-2021-03-18/pdf/2021-05554.pdf Notice - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Its Price List https://regulations.justia.com/regulations/fedreg/2021/03/17/2021-05451.html https://regulations.justia.com/regulations/fedreg/2021/03/17/2021-05451.html Wed, 17 Mar 2021 00:00:00 -0700 2021-05451 Notice https://www.govinfo.gov/content/pkg/FR-2021-03-17/pdf/2021-05451.pdf Notice - 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” https://regulations.justia.com/regulations/fedreg/2021/03/17/2021-05448.html https://regulations.justia.com/regulations/fedreg/2021/03/17/2021-05448.html Wed, 17 Mar 2021 00:00:00 -0700 2021-05448 Notice https://www.govinfo.gov/content/pkg/FR-2021-03-17/pdf/2021-05448.pdf Notice - Self-Regulatory Organizations; MIAX PEARL, LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the MIAX PEARL Fee Schedule https://regulations.justia.com/regulations/fedreg/2021/03/17/2021-05445.html https://regulations.justia.com/regulations/fedreg/2021/03/17/2021-05445.html Wed, 17 Mar 2021 00:00:00 -0700 2021-05445 Notice https://www.govinfo.gov/content/pkg/FR-2021-03-17/pdf/2021-05445.pdf Notice - 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 System https://regulations.justia.com/regulations/fedreg/2021/03/17/2021-05444.html https://regulations.justia.com/regulations/fedreg/2021/03/17/2021-05444.html Wed, 17 Mar 2021 00:00:00 -0700 2021-05444 Notice https://www.govinfo.gov/content/pkg/FR-2021-03-17/pdf/2021-05444.pdf Notice - Sunshine Act Meetings https://regulations.justia.com/regulations/fedreg/2021/03/16/2021-05456.html https://regulations.justia.com/regulations/fedreg/2021/03/16/2021-05456.html Tue, 16 Mar 2021 00:00:00 -0700 2021-05456 Notice https://www.govinfo.gov/content/pkg/FR-2021-03-16/pdf/2021-05456.pdf Notice - Submission for OMB Review; Comment Request https://regulations.justia.com/regulations/fedreg/2021/03/16/2021-05378.html https://regulations.justia.com/regulations/fedreg/2021/03/16/2021-05378.html Tue, 16 Mar 2021 00:00:00 -0700 2021-05378 Notice https://www.govinfo.gov/content/pkg/FR-2021-03-16/pdf/2021-05378.pdf Notice - Submission for OMB Review; Comment Request https://regulations.justia.com/regulations/fedreg/2021/03/16/2021-05377.html https://regulations.justia.com/regulations/fedreg/2021/03/16/2021-05377.html Tue, 16 Mar 2021 00:00:00 -0700 2021-05377 Notice https://www.govinfo.gov/content/pkg/FR-2021-03-16/pdf/2021-05377.pdf Notice - Submission for OMB Review; Comment Request https://regulations.justia.com/regulations/fedreg/2021/03/16/2021-05376.html https://regulations.justia.com/regulations/fedreg/2021/03/16/2021-05376.html Tue, 16 Mar 2021 00:00:00 -0700 2021-05376 Notice https://www.govinfo.gov/content/pkg/FR-2021-03-16/pdf/2021-05376.pdf Notice - 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”) https://regulations.justia.com/regulations/fedreg/2021/03/16/2021-05348.html https://regulations.justia.com/regulations/fedreg/2021/03/16/2021-05348.html Tue, 16 Mar 2021 00:00:00 -0700 2021-05348 Notice https://www.govinfo.gov/content/pkg/FR-2021-03-16/pdf/2021-05348.pdf Notice - Self-Regulatory Organizations; National Securities Clearing Corporation; Notice of Filing of a Proposed Rule Change To Revise the Clearing Agency Investment Policy https://regulations.justia.com/regulations/fedreg/2021/03/16/2021-05347.html https://regulations.justia.com/regulations/fedreg/2021/03/16/2021-05347.html Tue, 16 Mar 2021 00:00:00 -0700 2021-05347 Notice https://www.govinfo.gov/content/pkg/FR-2021-03-16/pdf/2021-05347.pdf Notice - 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 Combinations https://regulations.justia.com/regulations/fedreg/2021/03/16/2021-05345.html https://regulations.justia.com/regulations/fedreg/2021/03/16/2021-05345.html Tue, 16 Mar 2021 00:00:00 -0700 2021-05345 Notice https://www.govinfo.gov/content/pkg/FR-2021-03-16/pdf/2021-05345.pdf Notice - Self-Regulatory Organizations; The Depository Trust Company; Notice of Filing of a Proposed Rule Change To Revise the Clearing Agency Investment Policy https://regulations.justia.com/regulations/fedreg/2021/03/16/2021-05344.html https://regulations.justia.com/regulations/fedreg/2021/03/16/2021-05344.html Tue, 16 Mar 2021 00:00:00 -0700 2021-05344 Notice https://www.govinfo.gov/content/pkg/FR-2021-03-16/pdf/2021-05344.pdf Notice - 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 Boards https://regulations.justia.com/regulations/fedreg/2021/03/16/2021-05343.html https://regulations.justia.com/regulations/fedreg/2021/03/16/2021-05343.html Tue, 16 Mar 2021 00:00:00 -0700 2021-05343 Notice https://www.govinfo.gov/content/pkg/FR-2021-03-16/pdf/2021-05343.pdf Notice - 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 3 https://regulations.justia.com/regulations/fedreg/2021/03/16/2021-05342.html https://regulations.justia.com/regulations/fedreg/2021/03/16/2021-05342.html Tue, 16 Mar 2021 00:00:00 -0700 2021-05342 Notice https://www.govinfo.gov/content/pkg/FR-2021-03-16/pdf/2021-05342.pdf Notice - Self-Regulatory Organizations; Fixed Income Clearing Corporation; Notice of Filing of a Proposed Rule Change To Revise the Clearing Agency Investment Policy https://regulations.justia.com/regulations/fedreg/2021/03/16/2021-05341.html https://regulations.justia.com/regulations/fedreg/2021/03/16/2021-05341.html Tue, 16 Mar 2021 00:00:00 -0700 2021-05341 Notice https://www.govinfo.gov/content/pkg/FR-2021-03-16/pdf/2021-05341.pdf Notice - 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 Companies https://regulations.justia.com/regulations/fedreg/2021/03/16/2021-05340.html https://regulations.justia.com/regulations/fedreg/2021/03/16/2021-05340.html Tue, 16 Mar 2021 00:00:00 -0700 2021-05340 Notice https://www.govinfo.gov/content/pkg/FR-2021-03-16/pdf/2021-05340.pdf Notice - 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 Policy https://regulations.justia.com/regulations/fedreg/2021/03/16/2021-05339.html https://regulations.justia.com/regulations/fedreg/2021/03/16/2021-05339.html Tue, 16 Mar 2021 00:00:00 -0700 2021-05339 Notice https://www.govinfo.gov/content/pkg/FR-2021-03-16/pdf/2021-05339.pdf Notice - Sunshine Act Meetings https://regulations.justia.com/regulations/fedreg/2021/03/15/2021-05379.html https://regulations.justia.com/regulations/fedreg/2021/03/15/2021-05379.html Mon, 15 Mar 2021 00:00:00 -0700 2021-05379 Notice https://www.govinfo.gov/content/pkg/FR-2021-03-15/pdf/2021-05379.pdf Notice - 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” https://regulations.justia.com/regulations/fedreg/2021/03/15/2021-05240.html https://regulations.justia.com/regulations/fedreg/2021/03/15/2021-05240.html Mon, 15 Mar 2021 00:00:00 -0700 2021-05240 Notice https://www.govinfo.gov/content/pkg/FR-2021-03-15/pdf/2021-05240.pdf Notice - 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 Shares https://regulations.justia.com/regulations/fedreg/2021/03/15/2021-05239.html https://regulations.justia.com/regulations/fedreg/2021/03/15/2021-05239.html Mon, 15 Mar 2021 00:00:00 -0700 2021-05239 Notice https://www.govinfo.gov/content/pkg/FR-2021-03-15/pdf/2021-05239.pdf Notice - 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 .02 https://regulations.justia.com/regulations/fedreg/2021/03/15/2021-05238.html https://regulations.justia.com/regulations/fedreg/2021/03/15/2021-05238.html Mon, 15 Mar 2021 00:00:00 -0700 2021-05238 Notice https://www.govinfo.gov/content/pkg/FR-2021-03-15/pdf/2021-05238.pdf Notice - 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 Interest https://regulations.justia.com/regulations/fedreg/2021/03/15/2021-05237.html https://regulations.justia.com/regulations/fedreg/2021/03/15/2021-05237.html Mon, 15 Mar 2021 00:00:00 -0700 2021-05237 Notice https://www.govinfo.gov/content/pkg/FR-2021-03-15/pdf/2021-05237.pdf Notice - 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 Shares https://regulations.justia.com/regulations/fedreg/2021/03/15/2021-05236.html https://regulations.justia.com/regulations/fedreg/2021/03/15/2021-05236.html Mon, 15 Mar 2021 00:00:00 -0700 2021-05236 Notice https://www.govinfo.gov/content/pkg/FR-2021-03-15/pdf/2021-05236.pdf Notice - Notice of Intention To Cancel Registration Pursuant to Section 203(H) of The Investment Advisers Act of 1940 https://regulations.justia.com/regulations/fedreg/2021/03/12/2021-05170.html https://regulations.justia.com/regulations/fedreg/2021/03/12/2021-05170.html Fri, 12 Mar 2021 00:00:00 -0800 2021-05170 Notice https://www.govinfo.gov/content/pkg/FR-2021-03-12/pdf/2021-05170.pdf Notice - Self-Regulatory Organizations; ICE Clear Credit LLC; Order Approving Proposed Rule Change Relating to the ICC Operational Risk Management Framework https://regulations.justia.com/regulations/fedreg/2021/03/12/2021-05133.html https://regulations.justia.com/regulations/fedreg/2021/03/12/2021-05133.html Fri, 12 Mar 2021 00:00:00 -0800 2021-05133 Notice https://www.govinfo.gov/content/pkg/FR-2021-03-12/pdf/2021-05133.pdf Notice - Self-Regulatory Organizations; ICE Clear Credit LLC; Order Approving Proposed Rule Change Relating to the Clearance of an Additional Credit Default Swap Contract https://regulations.justia.com/regulations/fedreg/2021/03/12/2021-05132.html https://regulations.justia.com/regulations/fedreg/2021/03/12/2021-05132.html Fri, 12 Mar 2021 00:00:00 -0800 2021-05132 Notice https://www.govinfo.gov/content/pkg/FR-2021-03-12/pdf/2021-05132.pdf Notice - 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 Exchange https://regulations.justia.com/regulations/fedreg/2021/03/12/2021-05131.html https://regulations.justia.com/regulations/fedreg/2021/03/12/2021-05131.html Fri, 12 Mar 2021 00:00:00 -0800 2021-05131 Notice https://www.govinfo.gov/content/pkg/FR-2021-03-12/pdf/2021-05131.pdf Notice - 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 Options https://regulations.justia.com/regulations/fedreg/2021/03/11/2021-05033.html https://regulations.justia.com/regulations/fedreg/2021/03/11/2021-05033.html Thu, 11 Mar 2021 00:00:00 -0800 2021-05033 Notice https://www.govinfo.gov/content/pkg/FR-2021-03-11/pdf/2021-05033.pdf Notice - 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 Options https://regulations.justia.com/regulations/fedreg/2021/03/11/2021-05032.html https://regulations.justia.com/regulations/fedreg/2021/03/11/2021-05032.html Thu, 11 Mar 2021 00:00:00 -0800 2021-05032 Notice https://www.govinfo.gov/content/pkg/FR-2021-03-11/pdf/2021-05032.pdf Notice - 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 Schedule https://regulations.justia.com/regulations/fedreg/2021/03/11/2021-05031.html https://regulations.justia.com/regulations/fedreg/2021/03/11/2021-05031.html Thu, 11 Mar 2021 00:00:00 -0800 2021-05031 Notice https://www.govinfo.gov/content/pkg/FR-2021-03-11/pdf/2021-05031.pdf Notice - 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 Options https://regulations.justia.com/regulations/fedreg/2021/03/11/2021-05030.html https://regulations.justia.com/regulations/fedreg/2021/03/11/2021-05030.html Thu, 11 Mar 2021 00:00:00 -0800 2021-05030 Notice https://www.govinfo.gov/content/pkg/FR-2021-03-11/pdf/2021-05030.pdf Notice - 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-E https://regulations.justia.com/regulations/fedreg/2021/03/11/2021-05029.html https://regulations.justia.com/regulations/fedreg/2021/03/11/2021-05029.html Thu, 11 Mar 2021 00:00:00 -0800 2021-05029 Notice https://www.govinfo.gov/content/pkg/FR-2021-03-11/pdf/2021-05029.pdf Notice - 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) https://regulations.justia.com/regulations/fedreg/2021/03/11/2021-05028.html https://regulations.justia.com/regulations/fedreg/2021/03/11/2021-05028.html Thu, 11 Mar 2021 00:00:00 -0800 2021-05028 Notice https://www.govinfo.gov/content/pkg/FR-2021-03-11/pdf/2021-05028.pdf Notice - 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) https://regulations.justia.com/regulations/fedreg/2021/03/11/2021-05027.html https://regulations.justia.com/regulations/fedreg/2021/03/11/2021-05027.html Thu, 11 Mar 2021 00:00:00 -0800 2021-05027 Notice https://www.govinfo.gov/content/pkg/FR-2021-03-11/pdf/2021-05027.pdf Notice - Self-Regulatory Organizations; Nasdaq PHLX LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Equity 4, Rule 3301B Regarding Reserve Orders https://regulations.justia.com/regulations/fedreg/2021/03/11/2021-05026.html https://regulations.justia.com/regulations/fedreg/2021/03/11/2021-05026.html Thu, 11 Mar 2021 00:00:00 -0800 2021-05026 Notice https://www.govinfo.gov/content/pkg/FR-2021-03-11/pdf/2021-05026.pdf Notice - 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 Form https://regulations.justia.com/regulations/fedreg/2021/03/11/2021-05025.html https://regulations.justia.com/regulations/fedreg/2021/03/11/2021-05025.html Thu, 11 Mar 2021 00:00:00 -0800 2021-05025 Notice https://www.govinfo.gov/content/pkg/FR-2021-03-11/pdf/2021-05025.pdf Notice - 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 Rules https://regulations.justia.com/regulations/fedreg/2021/03/11/2021-05024.html https://regulations.justia.com/regulations/fedreg/2021/03/11/2021-05024.html Thu, 11 Mar 2021 00:00:00 -0800 2021-05024 Notice https://www.govinfo.gov/content/pkg/FR-2021-03-11/pdf/2021-05024.pdf Notice - Self-Regulatory Organizations; Cboe EDGX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the Fee Schedule https://regulations.justia.com/regulations/fedreg/2021/03/11/2021-05023.html https://regulations.justia.com/regulations/fedreg/2021/03/11/2021-05023.html Thu, 11 Mar 2021 00:00:00 -0800 2021-05023 Notice https://www.govinfo.gov/content/pkg/FR-2021-03-11/pdf/2021-05023.pdf Rule - Amendments to the Commission's Rules of Practice; Correction https://regulations.justia.com/regulations/fedreg/2021/03/10/2021-04960.html https://regulations.justia.com/regulations/fedreg/2021/03/10/2021-04960.html Wed, 10 Mar 2021 00:00:00 -0800 2021-04960 Rule https://www.govinfo.gov/content/pkg/FR-2021-03-10/pdf/2021-04960.pdf Notice - Brighthouse Life Insurance Company, et al. https://regulations.justia.com/regulations/fedreg/2021/03/10/2021-04934.html https://regulations.justia.com/regulations/fedreg/2021/03/10/2021-04934.html Wed, 10 Mar 2021 00:00:00 -0800 2021-04934 Notice https://www.govinfo.gov/content/pkg/FR-2021-03-10/pdf/2021-04934.pdf Notice - Self-Regulatory Organizations; Cboe Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating To Amend Its Fees Schedule https://regulations.justia.com/regulations/fedreg/2021/03/10/2021-04913.html https://regulations.justia.com/regulations/fedreg/2021/03/10/2021-04913.html Wed, 10 Mar 2021 00:00:00 -0800 2021-04913 Notice https://www.govinfo.gov/content/pkg/FR-2021-03-10/pdf/2021-04913.pdf Notice - 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) https://regulations.justia.com/regulations/fedreg/2021/03/10/2021-04912.html https://regulations.justia.com/regulations/fedreg/2021/03/10/2021-04912.html Wed, 10 Mar 2021 00:00:00 -0800 2021-04912 Notice https://www.govinfo.gov/content/pkg/FR-2021-03-10/pdf/2021-04912.pdf Notice - 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 Purposes https://regulations.justia.com/regulations/fedreg/2021/03/10/2021-04911.html https://regulations.justia.com/regulations/fedreg/2021/03/10/2021-04911.html Wed, 10 Mar 2021 00:00:00 -0800 2021-04911 Notice https://www.govinfo.gov/content/pkg/FR-2021-03-10/pdf/2021-04911.pdf Notice - 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 Instruction https://regulations.justia.com/regulations/fedreg/2021/03/10/2021-04910.html https://regulations.justia.com/regulations/fedreg/2021/03/10/2021-04910.html Wed, 10 Mar 2021 00:00:00 -0800 2021-04910 Notice https://www.govinfo.gov/content/pkg/FR-2021-03-10/pdf/2021-04910.pdf Notice - 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 Index https://regulations.justia.com/regulations/fedreg/2021/03/10/2021-04909.html https://regulations.justia.com/regulations/fedreg/2021/03/10/2021-04909.html Wed, 10 Mar 2021 00:00:00 -0800 2021-04909 Notice https://www.govinfo.gov/content/pkg/FR-2021-03-10/pdf/2021-04909.pdf Notice - 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-13 https://regulations.justia.com/regulations/fedreg/2021/03/09/2021-04793.html https://regulations.justia.com/regulations/fedreg/2021/03/09/2021-04793.html Tue, 09 Mar 2021 00:00:00 -0800 2021-04793 Notice https://www.govinfo.gov/content/pkg/FR-2021-03-09/pdf/2021-04793.pdf Notice - Self-Regulatory Organizations; NYSE American LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the NYSE American Options Fee Schedule https://regulations.justia.com/regulations/fedreg/2021/03/09/2021-04792.html https://regulations.justia.com/regulations/fedreg/2021/03/09/2021-04792.html Tue, 09 Mar 2021 00:00:00 -0800 2021-04792 Notice https://www.govinfo.gov/content/pkg/FR-2021-03-09/pdf/2021-04792.pdf Notice - Self-Regulatory Organizations; Cboe Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Its Fees Schedule https://regulations.justia.com/regulations/fedreg/2021/03/09/2021-04791.html https://regulations.justia.com/regulations/fedreg/2021/03/09/2021-04791.html Tue, 09 Mar 2021 00:00:00 -0800 2021-04791 Notice https://www.govinfo.gov/content/pkg/FR-2021-03-09/pdf/2021-04791.pdf Notice - Sunshine Act Meetings https://regulations.justia.com/regulations/fedreg/2021/03/08/2021-04871.html https://regulations.justia.com/regulations/fedreg/2021/03/08/2021-04871.html Mon, 08 Mar 2021 00:00:00 -0800 2021-04871 Notice https://www.govinfo.gov/content/pkg/FR-2021-03-08/pdf/2021-04871.pdf Notice - 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; Correction https://regulations.justia.com/regulations/fedreg/2021/03/08/2021-04712.html https://regulations.justia.com/regulations/fedreg/2021/03/08/2021-04712.html Mon, 08 Mar 2021 00:00:00 -0800 2021-04712 Notice https://www.govinfo.gov/content/pkg/FR-2021-03-08/pdf/2021-04712.pdf Notice - 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 2020 https://regulations.justia.com/regulations/fedreg/2021/03/08/2021-04682.html https://regulations.justia.com/regulations/fedreg/2021/03/08/2021-04682.html Mon, 08 Mar 2021 00:00:00 -0800 2021-04682 Notice https://www.govinfo.gov/content/pkg/FR-2021-03-08/pdf/2021-04682.pdf Notice - 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 Plus https://regulations.justia.com/regulations/fedreg/2021/03/08/2021-04681.html https://regulations.justia.com/regulations/fedreg/2021/03/08/2021-04681.html Mon, 08 Mar 2021 00:00:00 -0800 2021-04681 Notice https://www.govinfo.gov/content/pkg/FR-2021-03-08/pdf/2021-04681.pdf Notice - 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 Requirement https://regulations.justia.com/regulations/fedreg/2021/03/08/2021-04680.html https://regulations.justia.com/regulations/fedreg/2021/03/08/2021-04680.html Mon, 08 Mar 2021 00:00:00 -0800 2021-04680 Notice https://www.govinfo.gov/content/pkg/FR-2021-03-08/pdf/2021-04680.pdf Notice - 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 TrustSM https://regulations.justia.com/regulations/fedreg/2021/03/08/2021-04679.html https://regulations.justia.com/regulations/fedreg/2021/03/08/2021-04679.html Mon, 08 Mar 2021 00:00:00 -0800 2021-04679 Notice https://www.govinfo.gov/content/pkg/FR-2021-03-08/pdf/2021-04679.pdf Notice - 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 Procedures https://regulations.justia.com/regulations/fedreg/2021/03/08/2021-04678.html https://regulations.justia.com/regulations/fedreg/2021/03/08/2021-04678.html Mon, 08 Mar 2021 00:00:00 -0800 2021-04678 Notice https://www.govinfo.gov/content/pkg/FR-2021-03-08/pdf/2021-04678.pdf Notice - 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 2020 https://regulations.justia.com/regulations/fedreg/2021/03/08/2021-04677.html https://regulations.justia.com/regulations/fedreg/2021/03/08/2021-04677.html Mon, 08 Mar 2021 00:00:00 -0800 2021-04677 Notice https://www.govinfo.gov/content/pkg/FR-2021-03-08/pdf/2021-04677.pdf Notice - 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-E https://regulations.justia.com/regulations/fedreg/2021/03/08/2021-04676.html https://regulations.justia.com/regulations/fedreg/2021/03/08/2021-04676.html Mon, 08 Mar 2021 00:00:00 -0800 2021-04676 Notice https://www.govinfo.gov/content/pkg/FR-2021-03-08/pdf/2021-04676.pdf Notice - Proposed Collection; Comment Request https://regulations.justia.com/regulations/fedreg/2021/03/08/2021-04662.html https://regulations.justia.com/regulations/fedreg/2021/03/08/2021-04662.html Mon, 08 Mar 2021 00:00:00 -0800 2021-04662 Notice https://www.govinfo.gov/content/pkg/FR-2021-03-08/pdf/2021-04662.pdf Notice - Submission for OMB Review; Comment Request https://regulations.justia.com/regulations/fedreg/2021/03/08/2021-04661.html https://regulations.justia.com/regulations/fedreg/2021/03/08/2021-04661.html Mon, 08 Mar 2021 00:00:00 -0800 2021-04661 Notice https://www.govinfo.gov/content/pkg/FR-2021-03-08/pdf/2021-04661.pdf Notice - Submission for OMB Review; Comment Request https://regulations.justia.com/regulations/fedreg/2021/03/08/2021-04658.html https://regulations.justia.com/regulations/fedreg/2021/03/08/2021-04658.html Mon, 08 Mar 2021 00:00:00 -0800 2021-04658 Notice https://www.govinfo.gov/content/pkg/FR-2021-03-08/pdf/2021-04658.pdf Notice - Proposed Collection; Comment Request https://regulations.justia.com/regulations/fedreg/2021/03/08/2021-04657.html https://regulations.justia.com/regulations/fedreg/2021/03/08/2021-04657.html Mon, 08 Mar 2021 00:00:00 -0800 2021-04657 Notice https://www.govinfo.gov/content/pkg/FR-2021-03-08/pdf/2021-04657.pdf Notice - Submission for OMB Review; Comment Request https://regulations.justia.com/regulations/fedreg/2021/03/08/2021-04656.html https://regulations.justia.com/regulations/fedreg/2021/03/08/2021-04656.html Mon, 08 Mar 2021 00:00:00 -0800 2021-04656 Notice https://www.govinfo.gov/content/pkg/FR-2021-03-08/pdf/2021-04656.pdf Notice - Submission for OMB Review; Comment Request https://regulations.justia.com/regulations/fedreg/2021/03/08/2021-04655.html https://regulations.justia.com/regulations/fedreg/2021/03/08/2021-04655.html Mon, 08 Mar 2021 00:00:00 -0800 2021-04655 Notice https://www.govinfo.gov/content/pkg/FR-2021-03-08/pdf/2021-04655.pdf Notice - 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 2020 https://regulations.justia.com/regulations/fedreg/2021/03/05/2021-04531.html https://regulations.justia.com/regulations/fedreg/2021/03/05/2021-04531.html Fri, 05 Mar 2021 00:00:00 -0800 2021-04531 Notice https://www.govinfo.gov/content/pkg/FR-2021-03-05/pdf/2021-04531.pdf Notice - Self-Regulatory Organizations; New York Stock Exchange LLC; Order Instituting Proceedings To Determine Whether To Approve or Disapprove a Proposed Rule Change To 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 47 https://regulations.justia.com/regulations/fedreg/2021/03/05/2021-04530.html https://regulations.justia.com/regulations/fedreg/2021/03/05/2021-04530.html Fri, 05 Mar 2021 00:00:00 -0800 2021-04530 Notice https://www.govinfo.gov/content/pkg/FR-2021-03-05/pdf/2021-04530.pdf Notice - Self-Regulatory Organizations; Nasdaq BX, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Various BX Options Rules https://regulations.justia.com/regulations/fedreg/2021/03/05/2021-04529.html https://regulations.justia.com/regulations/fedreg/2021/03/05/2021-04529.html Fri, 05 Mar 2021 00:00:00 -0800 2021-04529 Notice https://www.govinfo.gov/content/pkg/FR-2021-03-05/pdf/2021-04529.pdf Notice - Rand Capital Corporation, et al. https://regulations.justia.com/regulations/fedreg/2021/03/05/2021-04501.html https://regulations.justia.com/regulations/fedreg/2021/03/05/2021-04501.html Fri, 05 Mar 2021 00:00:00 -0800 2021-04501 Notice https://www.govinfo.gov/content/pkg/FR-2021-03-05/pdf/2021-04501.pdf Rule - Investment Adviser Marketing https://regulations.justia.com/regulations/fedreg/2021/03/05/2020-28868.html https://regulations.justia.com/regulations/fedreg/2021/03/05/2020-28868.html Fri, 05 Mar 2021 00:00:00 -0800 2020-28868 Rule https://www.govinfo.gov/content/pkg/FR-2021-03-05/pdf/2020-28868.pdf Notice - 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 5 https://regulations.justia.com/regulations/fedreg/2021/03/04/2021-04428.html https://regulations.justia.com/regulations/fedreg/2021/03/04/2021-04428.html Thu, 04 Mar 2021 00:00:00 -0800 2021-04428 Notice https://www.govinfo.gov/content/pkg/FR-2021-03-04/pdf/2021-04428.pdf Notice - 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” https://regulations.justia.com/regulations/fedreg/2021/03/04/2021-04427.html https://regulations.justia.com/regulations/fedreg/2021/03/04/2021-04427.html Thu, 04 Mar 2021 00:00:00 -0800 2021-04427 Notice https://www.govinfo.gov/content/pkg/FR-2021-03-04/pdf/2021-04427.pdf Notice - 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 Jersey https://regulations.justia.com/regulations/fedreg/2021/03/04/2021-04426.html https://regulations.justia.com/regulations/fedreg/2021/03/04/2021-04426.html Thu, 04 Mar 2021 00:00:00 -0800 2021-04426 Notice https://www.govinfo.gov/content/pkg/FR-2021-03-04/pdf/2021-04426.pdf Notice - 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 Jersey https://regulations.justia.com/regulations/fedreg/2021/03/04/2021-04425.html https://regulations.justia.com/regulations/fedreg/2021/03/04/2021-04425.html Thu, 04 Mar 2021 00:00:00 -0800 2021-04425 Notice https://www.govinfo.gov/content/pkg/FR-2021-03-04/pdf/2021-04425.pdf Notice - 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 Jersey https://regulations.justia.com/regulations/fedreg/2021/03/04/2021-04424.html https://regulations.justia.com/regulations/fedreg/2021/03/04/2021-04424.html Thu, 04 Mar 2021 00:00:00 -0800 2021-04424 Notice https://www.govinfo.gov/content/pkg/FR-2021-03-04/pdf/2021-04424.pdf Notice - 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 Jersey https://regulations.justia.com/regulations/fedreg/2021/03/04/2021-04423.html https://regulations.justia.com/regulations/fedreg/2021/03/04/2021-04423.html Thu, 04 Mar 2021 00:00:00 -0800 2021-04423 Notice https://www.govinfo.gov/content/pkg/FR-2021-03-04/pdf/2021-04423.pdf Notice - 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 Jersey https://regulations.justia.com/regulations/fedreg/2021/03/04/2021-04422.html https://regulations.justia.com/regulations/fedreg/2021/03/04/2021-04422.html Thu, 04 Mar 2021 00:00:00 -0800 2021-04422 Notice https://www.govinfo.gov/content/pkg/FR-2021-03-04/pdf/2021-04422.pdf Notice - [Notice of Applications for Deregistration Under Section 8(f) of the Investment Company Act of 1940 https://regulations.justia.com/regulations/fedreg/2021/03/04/2021-04411.html https://regulations.justia.com/regulations/fedreg/2021/03/04/2021-04411.html Thu, 04 Mar 2021 00:00:00 -0800 2021-04411 Notice https://www.govinfo.gov/content/pkg/FR-2021-03-04/pdf/2021-04411.pdf Notice - Sunshine Act Meetings https://regulations.justia.com/regulations/fedreg/2021/03/03/2021-04490.html https://regulations.justia.com/regulations/fedreg/2021/03/03/2021-04490.html Wed, 03 Mar 2021 00:00:00 -0800 2021-04490 Notice https://www.govinfo.gov/content/pkg/FR-2021-03-03/pdf/2021-04490.pdf Notice - Asset Management Advisory Committee https://regulations.justia.com/regulations/fedreg/2021/03/03/2021-04394.html https://regulations.justia.com/regulations/fedreg/2021/03/03/2021-04394.html Wed, 03 Mar 2021 00:00:00 -0800 2021-04394 Notice https://www.govinfo.gov/content/pkg/FR-2021-03-03/pdf/2021-04394.pdf Notice - 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 Circumstances https://regulations.justia.com/regulations/fedreg/2021/03/03/2021-04310.html https://regulations.justia.com/regulations/fedreg/2021/03/03/2021-04310.html Wed, 03 Mar 2021 00:00:00 -0800 2021-04310 Notice https://www.govinfo.gov/content/pkg/FR-2021-03-03/pdf/2021-04310.pdf Notice - 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 Nominees https://regulations.justia.com/regulations/fedreg/2021/03/03/2021-04309.html https://regulations.justia.com/regulations/fedreg/2021/03/03/2021-04309.html Wed, 03 Mar 2021 00:00:00 -0800 2021-04309 Notice https://www.govinfo.gov/content/pkg/FR-2021-03-03/pdf/2021-04309.pdf Notice - 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 ETF https://regulations.justia.com/regulations/fedreg/2021/03/03/2021-04308.html https://regulations.justia.com/regulations/fedreg/2021/03/03/2021-04308.html Wed, 03 Mar 2021 00:00:00 -0800 2021-04308 Notice https://www.govinfo.gov/content/pkg/FR-2021-03-03/pdf/2021-04308.pdf Notice - 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 Cross https://regulations.justia.com/regulations/fedreg/2021/03/03/2021-04307.html https://regulations.justia.com/regulations/fedreg/2021/03/03/2021-04307.html Wed, 03 Mar 2021 00:00:00 -0800 2021-04307 Notice https://www.govinfo.gov/content/pkg/FR-2021-03-03/pdf/2021-04307.pdf Notice - 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 Effected https://regulations.justia.com/regulations/fedreg/2021/03/02/2021-04222.html https://regulations.justia.com/regulations/fedreg/2021/03/02/2021-04222.html Tue, 02 Mar 2021 00:00:00 -0800 2021-04222 Notice https://www.govinfo.gov/content/pkg/FR-2021-03-02/pdf/2021-04222.pdf Notice - 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 Rules https://regulations.justia.com/regulations/fedreg/2021/03/02/2021-04221.html https://regulations.justia.com/regulations/fedreg/2021/03/02/2021-04221.html Tue, 02 Mar 2021 00:00:00 -0800 2021-04221 Notice https://www.govinfo.gov/content/pkg/FR-2021-03-02/pdf/2021-04221.pdf Notice - 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 Reference https://regulations.justia.com/regulations/fedreg/2021/03/02/2021-04220.html https://regulations.justia.com/regulations/fedreg/2021/03/02/2021-04220.html Tue, 02 Mar 2021 00:00:00 -0800 2021-04220 Notice https://www.govinfo.gov/content/pkg/FR-2021-03-02/pdf/2021-04220.pdf Notice - 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 Reference https://regulations.justia.com/regulations/fedreg/2021/03/02/2021-04219.html https://regulations.justia.com/regulations/fedreg/2021/03/02/2021-04219.html Tue, 02 Mar 2021 00:00:00 -0800 2021-04219 Notice https://www.govinfo.gov/content/pkg/FR-2021-03-02/pdf/2021-04219.pdf Notice - 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 Makers https://regulations.justia.com/regulations/fedreg/2021/03/02/2021-04218.html https://regulations.justia.com/regulations/fedreg/2021/03/02/2021-04218.html Tue, 02 Mar 2021 00:00:00 -0800 2021-04218 Notice https://www.govinfo.gov/content/pkg/FR-2021-03-02/pdf/2021-04218.pdf Notice - Self-Regulatory Organizations; The Options Clearing Corporation; Notice of Filing of Proposed Rule Change To Establish OCC's Persistent Minimum Skin-in-the-Game https://regulations.justia.com/regulations/fedreg/2021/03/02/2021-04217.html https://regulations.justia.com/regulations/fedreg/2021/03/02/2021-04217.html Tue, 02 Mar 2021 00:00:00 -0800 2021-04217 Notice https://www.govinfo.gov/content/pkg/FR-2021-03-02/pdf/2021-04217.pdf Notice - 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 One https://regulations.justia.com/regulations/fedreg/2021/03/02/2021-04216.html https://regulations.justia.com/regulations/fedreg/2021/03/02/2021-04216.html Tue, 02 Mar 2021 00:00:00 -0800 2021-04216 Notice https://www.govinfo.gov/content/pkg/FR-2021-03-02/pdf/2021-04216.pdf Notice - Lewis Family Advisors, LLC https://regulations.justia.com/regulations/fedreg/2021/03/02/2021-04215.html https://regulations.justia.com/regulations/fedreg/2021/03/02/2021-04215.html Tue, 02 Mar 2021 00:00:00 -0800 2021-04215 Notice https://www.govinfo.gov/content/pkg/FR-2021-03-02/pdf/2021-04215.pdf Notice - Sunshine Act Meetings https://regulations.justia.com/regulations/fedreg/2021/03/01/2021-04273.html https://regulations.justia.com/regulations/fedreg/2021/03/01/2021-04273.html Mon, 01 Mar 2021 00:00:00 -0800 2021-04273 Notice https://www.govinfo.gov/content/pkg/FR-2021-03-01/pdf/2021-04273.pdf Notice - 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 Auctions https://regulations.justia.com/regulations/fedreg/2021/03/01/2021-04177.html https://regulations.justia.com/regulations/fedreg/2021/03/01/2021-04177.html Mon, 01 Mar 2021 00:00:00 -0800 2021-04177 Notice https://www.govinfo.gov/content/pkg/FR-2021-03-01/pdf/2021-04177.pdf Notice - Submission for OMB Review; Comment Request; Upon Written Request https://regulations.justia.com/regulations/fedreg/2021/03/01/2021-04139.html https://regulations.justia.com/regulations/fedreg/2021/03/01/2021-04139.html Mon, 01 Mar 2021 00:00:00 -0800 2021-04139 Notice https://www.govinfo.gov/content/pkg/FR-2021-03-01/pdf/2021-04139.pdf Notice - 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 Reference https://regulations.justia.com/regulations/fedreg/2021/03/01/2021-04092.html https://regulations.justia.com/regulations/fedreg/2021/03/01/2021-04092.html Mon, 01 Mar 2021 00:00:00 -0800 2021-04092 Notice https://www.govinfo.gov/content/pkg/FR-2021-03-01/pdf/2021-04092.pdf Notice - 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 Reference https://regulations.justia.com/regulations/fedreg/2021/03/01/2021-04091.html https://regulations.justia.com/regulations/fedreg/2021/03/01/2021-04091.html Mon, 01 Mar 2021 00:00:00 -0800 2021-04091 Notice https://www.govinfo.gov/content/pkg/FR-2021-03-01/pdf/2021-04091.pdf Notice - 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 Session https://regulations.justia.com/regulations/fedreg/2021/03/01/2021-04090.html https://regulations.justia.com/regulations/fedreg/2021/03/01/2021-04090.html Mon, 01 Mar 2021 00:00:00 -0800 2021-04090 Notice https://www.govinfo.gov/content/pkg/FR-2021-03-01/pdf/2021-04090.pdf Notice - 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 Basis https://regulations.justia.com/regulations/fedreg/2021/03/01/2021-04089.html https://regulations.justia.com/regulations/fedreg/2021/03/01/2021-04089.html Mon, 01 Mar 2021 00:00:00 -0800 2021-04089 Notice https://www.govinfo.gov/content/pkg/FR-2021-03-01/pdf/2021-04089.pdf Notice - 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 Plan https://regulations.justia.com/regulations/fedreg/2021/03/01/2021-04088.html https://regulations.justia.com/regulations/fedreg/2021/03/01/2021-04088.html Mon, 01 Mar 2021 00:00:00 -0800 2021-04088 Notice https://www.govinfo.gov/content/pkg/FR-2021-03-01/pdf/2021-04088.pdf Notice - Self-Regulatory Organizations; The Options Clearing Corporation; Notice of Filing of Advance Notice Relating to OCC's Establishment of Persistent Minimum Skin-In-The-Game https://regulations.justia.com/regulations/fedreg/2021/03/01/2021-04087.html https://regulations.justia.com/regulations/fedreg/2021/03/01/2021-04087.html Mon, 01 Mar 2021 00:00:00 -0800 2021-04087 Notice https://www.govinfo.gov/content/pkg/FR-2021-03-01/pdf/2021-04087.pdf Notice - Star Mountain Credit Opportunities Fund, LP, et al. https://regulations.justia.com/regulations/fedreg/2021/03/01/2021-04075.html https://regulations.justia.com/regulations/fedreg/2021/03/01/2021-04075.html Mon, 01 Mar 2021 00:00:00 -0800 2021-04075 Notice https://www.govinfo.gov/content/pkg/FR-2021-03-01/pdf/2021-04075.pdf