Federal Register Recent Federal Regulation Documents - Justia Regulation Tracker - Justia Regulations Trackerhttps://regulations.justia.com/regulations/fedreg/agencies/securities-and-exchange-commission/2021/04?limit=200®isters=between&min-day=1&max-day=30&mode=atom2024-05-02T14:04:52-07:00Justia Inchttps://www.justia.com/Justia Regulations Trackerhttps://regulations.justia.com/images/justiafedregulations.gifCopyright 2011 Justia Inchttps://regulations.justia.com/regulations/fedreg/2021/04/30/2021-09026.htmlNotice - Self-Regulatory Organizations; The Nasdaq Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend The Nasdaq Options Market's Pricing Schedule at Options 7, Section 1, General Provisions, and Options 7, Section 2, Nasdaq Options Market-Fees and Rebates2021-04-30T00:00:00-07:002021-04-30T00:00:00-07:002021-09026Noticehttps://www.govinfo.gov/content/pkg/FR-2021-04-30/pdf/2021-09026.pdfhttps://regulations.justia.com/regulations/fedreg/2021/04/30/2021-09023.htmlNotice - Self-Regulatory Organizations; Nasdaq MRX, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Delete the Exchange Membership Rules and Incorporate by Reference the Membership Rules of The Nasdaq Stock Market LLC2021-04-30T00:00:00-07:002021-04-30T00:00:00-07:002021-09023Noticehttps://www.govinfo.gov/content/pkg/FR-2021-04-30/pdf/2021-09023.pdfhttps://regulations.justia.com/regulations/fedreg/2021/04/30/2021-09022.htmlNotice - Self-Regulatory Organizations; Nasdaq GEMX, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Delete the Exchange Membership Rules and Incorporate by Reference the Membership Rules of The Nasdaq Stock Market LLC2021-04-30T00:00:00-07:002021-04-30T00:00:00-07:002021-09022Noticehttps://www.govinfo.gov/content/pkg/FR-2021-04-30/pdf/2021-09022.pdfhttps://regulations.justia.com/regulations/fedreg/2021/04/30/2021-09021.htmlNotice - Self-Regulatory Organizations; Nasdaq BX, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Options 7, Section 2, “BX Options Market- Fees and Rebates”2021-04-30T00:00:00-07:002021-04-30T00:00:00-07:002021-09021Noticehttps://www.govinfo.gov/content/pkg/FR-2021-04-30/pdf/2021-09021.pdfhttps://regulations.justia.com/regulations/fedreg/2021/04/30/2021-09019.htmlNotice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To List and Trade Shares of the iShares® Gold Trust Micro Under NYSE Arca Rule 8.201-E (Commodity-Based Trust Shares)2021-04-30T00:00:00-07:002021-04-30T00:00:00-07:002021-09019Noticehttps://www.govinfo.gov/content/pkg/FR-2021-04-30/pdf/2021-09019.pdfhttps://regulations.justia.com/regulations/fedreg/2021/04/29/2021-09039.htmlNotice - Sunshine Act Meetings2021-04-29T00:00:00-07:002021-04-29T00:00:00-07:002021-09039Noticehttps://www.govinfo.gov/content/pkg/FR-2021-04-29/pdf/2021-09039.pdfhttps://regulations.justia.com/regulations/fedreg/2021/04/29/2021-08909.htmlNotice - Self-Regulatory Organizations; MIAX PEARL, LLC; Notice of Filing and Immediate Effectiveness 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 TrustSM2021-04-29T00:00:00-07:002021-04-29T00:00:00-07:002021-08909Noticehttps://www.govinfo.gov/content/pkg/FR-2021-04-29/pdf/2021-08909.pdfhttps://regulations.justia.com/regulations/fedreg/2021/04/29/2021-08907.htmlNotice - Self-Regulatory Organizations; Miami International Securities Exchange, LLC; Notice of Filing and Immediate Effectiveness 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 TrustSM2021-04-29T00:00:00-07:002021-04-29T00:00:00-07:002021-08907Noticehttps://www.govinfo.gov/content/pkg/FR-2021-04-29/pdf/2021-08907.pdfhttps://regulations.justia.com/regulations/fedreg/2021/04/29/2021-08906.htmlNotice - Self-Regulatory Organizations; The Nasdaq Stock Market LLC; Notice of Filing and Immediate Effectiveness 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 TrustSM2021-04-29T00:00:00-07:002021-04-29T00:00:00-07:002021-08906Noticehttps://www.govinfo.gov/content/pkg/FR-2021-04-29/pdf/2021-08906.pdfhttps://regulations.justia.com/regulations/fedreg/2021/04/29/2021-08905.htmlNotice - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing of Proposed Rule Change, as Modified by Amendment No. 2, To Amend Its Rules To Prohibit Member Organizations From Seeking Reimbursement, in Certain Circumstances, From Issuers for Forwarding Proxy and Other Materials to Beneficial Owners2021-04-29T00:00:00-07:002021-04-29T00:00:00-07:002021-08905Noticehttps://www.govinfo.gov/content/pkg/FR-2021-04-29/pdf/2021-08905.pdfhttps://regulations.justia.com/regulations/fedreg/2021/04/29/2021-08904.htmlNotice - Self-Regulatory Organizations; Cboe Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Rule 4.5(d) To Allow Monday and Wednesday Expirations for Options Listed Pursuant to the Short Term Option Series Program on the Invesco QQQ Trust (“QQQ”)2021-04-29T00:00:00-07:002021-04-29T00:00:00-07:002021-08904Noticehttps://www.govinfo.gov/content/pkg/FR-2021-04-29/pdf/2021-08904.pdfhttps://regulations.justia.com/regulations/fedreg/2021/04/29/2021-08903.htmlNotice - Self-Regulatory Organizations; Nasdaq BX, Inc.; Notice of Filing and Immediate Effectiveness 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 TrustSM2021-04-29T00:00:00-07:002021-04-29T00:00:00-07:002021-08903Noticehttps://www.govinfo.gov/content/pkg/FR-2021-04-29/pdf/2021-08903.pdfhttps://regulations.justia.com/regulations/fedreg/2021/04/29/2021-08902.htmlNotice - Self-Regulatory Organizations; BOX Exchange LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the Short Term Option Series Program To Permit Monday and Wednesday Expirations for Options Listed Pursuant to the Short Term Option Series Program on the Invesco QQQ Trust SM2021-04-29T00:00:00-07:002021-04-29T00:00:00-07:002021-08902Noticehttps://www.govinfo.gov/content/pkg/FR-2021-04-29/pdf/2021-08902.pdfhttps://regulations.justia.com/regulations/fedreg/2021/04/29/2021-08901.htmlNotice - Self-Regulatory Organizations; Cboe EDGX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Rule 19.6.05 To Allow Monday and Wednesday Expirations for Options Listed Pursuant to the Short Term Option Series Program on the Invesco QQQ Trust (“QQQ”)2021-04-29T00:00:00-07:002021-04-29T00:00:00-07:002021-08901Noticehttps://www.govinfo.gov/content/pkg/FR-2021-04-29/pdf/2021-08901.pdfhttps://regulations.justia.com/regulations/fedreg/2021/04/29/2021-08900.htmlNotice - Self-Regulatory Organizations; Nasdaq ISE, LLC; Notice of Filing and Immediate Effectiveness 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 TrustSM2021-04-29T00:00:00-07:002021-04-29T00:00:00-07:002021-08900Noticehttps://www.govinfo.gov/content/pkg/FR-2021-04-29/pdf/2021-08900.pdfhttps://regulations.justia.com/regulations/fedreg/2021/04/29/2021-08899.htmlNotice - Self-Regulatory Organizations; Cboe BZX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Rule 19.6.05 To Allow Monday and Wednesday Expirations for Options Listed Pursuant to the Short Term Option Series Program on the Invesco QQQ Trust (“QQQ”)2021-04-29T00:00:00-07:002021-04-29T00:00:00-07:002021-08899Noticehttps://www.govinfo.gov/content/pkg/FR-2021-04-29/pdf/2021-08899.pdfhttps://regulations.justia.com/regulations/fedreg/2021/04/28/2021-08862.htmlNotice - Self-Regulatory Organizations; The Depository Trust Company; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Remove the Security Holder Tracking Service2021-04-28T00:00:00-07:002021-04-28T00:00:00-07:002021-08862Noticehttps://www.govinfo.gov/content/pkg/FR-2021-04-28/pdf/2021-08862.pdfhttps://regulations.justia.com/regulations/fedreg/2021/04/28/2021-08861.htmlNotice - Self-Regulatory Organizations; ICE Clear Credit LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to the ICC Transition of the Rates Used for Calculating Price Alignment Amounts2021-04-28T00:00:00-07:002021-04-28T00:00:00-07:002021-08861Noticehttps://www.govinfo.gov/content/pkg/FR-2021-04-28/pdf/2021-08861.pdfhttps://regulations.justia.com/regulations/fedreg/2021/04/28/2021-08860.htmlNotice - Self-Regulatory Organizations; Cboe Exchange, Inc.; Order Approving a Proposed Rule Change To Amend Rule 5.52(d) in Connection With a Market-Maker's Electronic Volume Transacted on the Exchange2021-04-28T00:00:00-07:002021-04-28T00:00:00-07:002021-08860Noticehttps://www.govinfo.gov/content/pkg/FR-2021-04-28/pdf/2021-08860.pdfhttps://regulations.justia.com/regulations/fedreg/2021/04/28/2021-08859.htmlNotice - Self-Regulatory Organizations; NYSE National, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Extending the Expiration Date of the Temporary Amendments to Rules 10.9261 and 10.98302021-04-28T00:00:00-07:002021-04-28T00:00:00-07:002021-08859Noticehttps://www.govinfo.gov/content/pkg/FR-2021-04-28/pdf/2021-08859.pdfhttps://regulations.justia.com/regulations/fedreg/2021/04/28/2021-08858.htmlNotice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Extending the Expiration Date of the Temporary Amendments to Rules 10.9261 and 10.98302021-04-28T00:00:00-07:002021-04-28T00:00:00-07:002021-08858Noticehttps://www.govinfo.gov/content/pkg/FR-2021-04-28/pdf/2021-08858.pdfhttps://regulations.justia.com/regulations/fedreg/2021/04/28/2021-08857.htmlNotice - Self-Regulatory Organizations; Nasdaq BX, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Equity 7, Section 1182021-04-28T00:00:00-07:002021-04-28T00:00:00-07:002021-08857Noticehttps://www.govinfo.gov/content/pkg/FR-2021-04-28/pdf/2021-08857.pdfhttps://regulations.justia.com/regulations/fedreg/2021/04/28/2021-08856.htmlNotice - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Extending the Expiration Date of the Temporary Amendments to Rules 9261 and 98302021-04-28T00:00:00-07:002021-04-28T00:00:00-07:002021-08856Noticehttps://www.govinfo.gov/content/pkg/FR-2021-04-28/pdf/2021-08856.pdfhttps://regulations.justia.com/regulations/fedreg/2021/04/28/2021-08855.htmlNotice - Self-Regulatory Organizations; Cboe BZX Exchange, Inc.; Notice of Filing of a Proposed Rule Change To List and Trade Shares of the Kryptoin Bitcoin ETF Trust Under BZX Rule 14.11(e)(4), Commodity-Based Trust Shares2021-04-28T00:00:00-07:002021-04-28T00:00:00-07:002021-08855Noticehttps://www.govinfo.gov/content/pkg/FR-2021-04-28/pdf/2021-08855.pdfhttps://regulations.justia.com/regulations/fedreg/2021/04/28/2021-08854.htmlNotice - Self-Regulatory Organizations; NYSE American LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Extending the Expiration Date of the Temporary Amendments to Rules 9261 and 98302021-04-28T00:00:00-07:002021-04-28T00:00:00-07:002021-08854Noticehttps://www.govinfo.gov/content/pkg/FR-2021-04-28/pdf/2021-08854.pdfhttps://regulations.justia.com/regulations/fedreg/2021/04/28/2021-08845.htmlNotice - T. Rowe Price Associates, Inc., et al.2021-04-28T00:00:00-07:002021-04-28T00:00:00-07:002021-08845Noticehttps://www.govinfo.gov/content/pkg/FR-2021-04-28/pdf/2021-08845.pdfhttps://regulations.justia.com/regulations/fedreg/2021/04/27/2021-08730.htmlNotice - Proposed Collection; Comment Request2021-04-27T00:00:00-07:002021-04-27T00:00:00-07:002021-08730Noticehttps://www.govinfo.gov/content/pkg/FR-2021-04-27/pdf/2021-08730.pdfhttps://regulations.justia.com/regulations/fedreg/2021/04/27/2021-08729.htmlNotice - Proposed Collection; Comment Request2021-04-27T00:00:00-07:002021-04-27T00:00:00-07:002021-08729Noticehttps://www.govinfo.gov/content/pkg/FR-2021-04-27/pdf/2021-08729.pdfhttps://regulations.justia.com/regulations/fedreg/2021/04/27/2021-08728.htmlNotice - Proposed Collection; Comment Request2021-04-27T00:00:00-07:002021-04-27T00:00:00-07:002021-08728Noticehttps://www.govinfo.gov/content/pkg/FR-2021-04-27/pdf/2021-08728.pdfhttps://regulations.justia.com/regulations/fedreg/2021/04/27/2021-08680.htmlNotice - Self-Regulatory Organizations; New York Stock Exchange, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Its Price List2021-04-27T00:00:00-07:002021-04-27T00:00:00-07:002021-08680Noticehttps://www.govinfo.gov/content/pkg/FR-2021-04-27/pdf/2021-08680.pdfhttps://regulations.justia.com/regulations/fedreg/2021/04/27/2021-08673.htmlNotice - Self-Regulatory Organizations; Nasdaq PHLX, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the Exchange's Pricing Schedule at Options 72021-04-27T00:00:00-07:002021-04-27T00:00:00-07:002021-08673Noticehttps://www.govinfo.gov/content/pkg/FR-2021-04-27/pdf/2021-08673.pdfhttps://regulations.justia.com/regulations/fedreg/2021/04/27/2021-08672.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)2021-04-27T00:00:00-07:002021-04-27T00:00:00-07:002021-08672Noticehttps://www.govinfo.gov/content/pkg/FR-2021-04-27/pdf/2021-08672.pdfhttps://regulations.justia.com/regulations/fedreg/2021/04/26/2021-08749.htmlNotice - Sunshine Act Meetings2021-04-26T00:00:00-07:002021-04-26T00:00:00-07:002021-08749Noticehttps://www.govinfo.gov/content/pkg/FR-2021-04-26/pdf/2021-08749.pdfhttps://regulations.justia.com/regulations/fedreg/2021/04/26/2021-08566.htmlNotice - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing of Proposed Rule Change Amending Section 102.04 of the NYSE Listed Company Manual To Establish Limits on Investments in Unregistered Investment Vehicles by Listed Closed End Funds2021-04-26T00:00:00-07:002021-04-26T00:00:00-07:002021-08566Noticehttps://www.govinfo.gov/content/pkg/FR-2021-04-26/pdf/2021-08566.pdfhttps://regulations.justia.com/regulations/fedreg/2021/04/26/2021-08565.htmlNotice - Self-Regulatory Organizations; Nasdaq PHLX LLC; Order Approving a Proposed Rule Change To Permit Monday and Wednesday Expirations for Options Listed Pursuant to the Short Term Options Program on the Invesco QQQ TrustSM2021-04-26T00:00:00-07:002021-04-26T00:00:00-07:002021-08565Noticehttps://www.govinfo.gov/content/pkg/FR-2021-04-26/pdf/2021-08565.pdfhttps://regulations.justia.com/regulations/fedreg/2021/04/23/2021-08421.htmlNotice - Self-Regulatory Organizations; Nasdaq BX, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Options 3, Section 10, Order Book Allocation2021-04-23T00:00:00-07:002021-04-23T00:00:00-07:002021-08421Noticehttps://www.govinfo.gov/content/pkg/FR-2021-04-23/pdf/2021-08421.pdfhttps://regulations.justia.com/regulations/fedreg/2021/04/23/2021-08420.htmlNotice - Self-Regulatory Organizations; Cboe Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the Automated Price Improvement Auction Rule Relating to Stop Price2021-04-23T00:00:00-07:002021-04-23T00:00:00-07:002021-08420Noticehttps://www.govinfo.gov/content/pkg/FR-2021-04-23/pdf/2021-08420.pdfhttps://regulations.justia.com/regulations/fedreg/2021/04/22/2021-08317.htmlNotice - Self-Regulatory Organizations; NYSE American LLC; Notice of Filing of Proposed Rule Change To Amend the Schedule of Wireless, Circuits, and Non-Colocation Connectivity Services Available at the Mahwah Data Center2021-04-22T00:00:00-07:002021-04-22T00:00:00-07:002021-08317Noticehttps://www.govinfo.gov/content/pkg/FR-2021-04-22/pdf/2021-08317.pdfhttps://regulations.justia.com/regulations/fedreg/2021/04/22/2021-08316.htmlNotice - Self-Regulatory Organizations; NYSE Chicago, Inc.; Notice of Filing of Proposed Rule Change To Amend the Schedule of Wireless, Circuits, and Non-Colocation Connectivity Services Available at the Mahwah Data Center2021-04-22T00:00:00-07:002021-04-22T00:00:00-07:002021-08316Noticehttps://www.govinfo.gov/content/pkg/FR-2021-04-22/pdf/2021-08316.pdfhttps://regulations.justia.com/regulations/fedreg/2021/04/22/2021-08315.htmlNotice - Self-Regulatory Organizations; ICE Clear Europe Limited; Order Approving 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 Procedures2021-04-22T00:00:00-07:002021-04-22T00:00:00-07:002021-08315Noticehttps://www.govinfo.gov/content/pkg/FR-2021-04-22/pdf/2021-08315.pdfhttps://regulations.justia.com/regulations/fedreg/2021/04/22/2021-08313.htmlNotice - Self-Regulatory Organizations; Cboe BZX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Its Fees Schedule2021-04-22T00:00:00-07:002021-04-22T00:00:00-07:002021-08313Noticehttps://www.govinfo.gov/content/pkg/FR-2021-04-22/pdf/2021-08313.pdfhttps://regulations.justia.com/regulations/fedreg/2021/04/22/2021-08312.htmlNotice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing of Proposed Rule Change To Amend the Schedule of Wireless, Circuits, and Non-Colocation Connectivity Services Available at the Mahwah Data Center2021-04-22T00:00:00-07:002021-04-22T00:00:00-07:002021-08312Noticehttps://www.govinfo.gov/content/pkg/FR-2021-04-22/pdf/2021-08312.pdfhttps://regulations.justia.com/regulations/fedreg/2021/04/22/2021-08311.htmlNotice - Self-Regulatory Organizations; BOX Exchange LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the Fee Schedule on the BOX Options Market LLC Facility2021-04-22T00:00:00-07:002021-04-22T00:00:00-07:002021-08311Noticehttps://www.govinfo.gov/content/pkg/FR-2021-04-22/pdf/2021-08311.pdfhttps://regulations.justia.com/regulations/fedreg/2021/04/22/2021-08310.htmlNotice - Self-Regulatory Organizations: MIAX PEARL, LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the MIAX Pearl Fee Schedule2021-04-22T00:00:00-07:002021-04-22T00:00:00-07:002021-08310Noticehttps://www.govinfo.gov/content/pkg/FR-2021-04-22/pdf/2021-08310.pdfhttps://regulations.justia.com/regulations/fedreg/2021/04/22/2021-08309.htmlNotice - Self-Regulatory Organizations; Cboe BYX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend its Fees Schedule2021-04-22T00:00:00-07:002021-04-22T00:00:00-07:002021-08309Noticehttps://www.govinfo.gov/content/pkg/FR-2021-04-22/pdf/2021-08309.pdfhttps://regulations.justia.com/regulations/fedreg/2021/04/22/2021-08307.htmlNotice - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing of Proposed Rule Change To Amend the Schedule of Wireless, Circuits, and Non-Colocation Connectivity Services Available at the Mahwah Data Center2021-04-22T00:00:00-07:002021-04-22T00:00:00-07:002021-08307Noticehttps://www.govinfo.gov/content/pkg/FR-2021-04-22/pdf/2021-08307.pdfhttps://regulations.justia.com/regulations/fedreg/2021/04/22/2021-08306.htmlNotice - Self-Regulatory Organizations; NYSE National, Inc.; Notice of Filing of Proposed Rule Change To Amend the Schedule of Wireless, Circuits, and Non-Colocation Connectivity Services Available at the Mahwah Data Center2021-04-22T00:00:00-07:002021-04-22T00:00:00-07:002021-08306Noticehttps://www.govinfo.gov/content/pkg/FR-2021-04-22/pdf/2021-08306.pdfhttps://regulations.justia.com/regulations/fedreg/2021/04/22/2021-08305.htmlNotice - Self-Regulatory Organizations; The Depository Trust Company; Fixed Income Clearing Corporation; National Securities Clearing Corporation; Order Approving Proposed Rule Changes To Revise the Clearing Agency Investment Policy2021-04-22T00:00:00-07:002021-04-22T00:00:00-07:002021-08305Noticehttps://www.govinfo.gov/content/pkg/FR-2021-04-22/pdf/2021-08305.pdfhttps://regulations.justia.com/regulations/fedreg/2021/04/21/2021-08253.htmlNotice - SEC Small Business Capital Formation Advisory Committee2021-04-21T00:00:00-07:002021-04-21T00:00:00-07:002021-08253Noticehttps://www.govinfo.gov/content/pkg/FR-2021-04-21/pdf/2021-08253.pdfhttps://regulations.justia.com/regulations/fedreg/2021/04/21/2021-08227.htmlNotice - Submission for OMB Review; Comment Request2021-04-21T00:00:00-07:002021-04-21T00:00:00-07:002021-08227Noticehttps://www.govinfo.gov/content/pkg/FR-2021-04-21/pdf/2021-08227.pdfhttps://regulations.justia.com/regulations/fedreg/2021/04/21/2021-08197.htmlNotice - Self-Regulatory Organizations; The Nasdaq Stock Market LLC; Notice of Designation of a Longer Period for Commission Action on a Proposed Rule Change, as Modified by Amendment No. 1, To Amend Equity 4, Rule 4754 Relating to the Limit-Up Limit-Down Closing Cross2021-04-21T00:00:00-07:002021-04-21T00:00:00-07:002021-08197Noticehttps://www.govinfo.gov/content/pkg/FR-2021-04-21/pdf/2021-08197.pdfhttps://regulations.justia.com/regulations/fedreg/2021/04/21/2021-08151.htmlNotice - Self-Regulatory Organizations; Nasdaq PHLX LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Extend the Current Pilot Program Related to Phlx Equity 4, Rule 3312 to the Close of Business on October 20, 20212021-04-21T00:00:00-07:002021-04-21T00:00:00-07:002021-08151Noticehttps://www.govinfo.gov/content/pkg/FR-2021-04-21/pdf/2021-08151.pdfhttps://regulations.justia.com/regulations/fedreg/2021/04/21/2021-08149.htmlNotice - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Extend the Time to Announce the Implementation Schedule for FINRA's Corporate Bond New Issue Reference Data Service2021-04-21T00:00:00-07:002021-04-21T00:00:00-07:002021-08149Noticehttps://www.govinfo.gov/content/pkg/FR-2021-04-21/pdf/2021-08149.pdfhttps://regulations.justia.com/regulations/fedreg/2021/04/21/2021-08148.htmlNotice - Self-Regulatory Organizations; The Nasdaq Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Extend the Current Pilot Program Related to Nasdaq Equity 11, Rule 11890 to the Close of Business on October 20, 20212021-04-21T00:00:00-07:002021-04-21T00:00:00-07:002021-08148Noticehttps://www.govinfo.gov/content/pkg/FR-2021-04-21/pdf/2021-08148.pdfhttps://regulations.justia.com/regulations/fedreg/2021/04/21/2021-08147.htmlNotice - Self-Regulatory Organizations; Cboe Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Its Rules Relating to Categories of Registration and Respective Qualification Examinations Required for Trading Permit Holders and Associated Persons That Engage in Trading Activities on the Exchange2021-04-21T00:00:00-07:002021-04-21T00:00:00-07:002021-08147Noticehttps://www.govinfo.gov/content/pkg/FR-2021-04-21/pdf/2021-08147.pdfhttps://regulations.justia.com/regulations/fedreg/2021/04/21/2021-08146.htmlNotice - Self-Regulatory Organizations; Nasdaq BX, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Extend the Current Pilot Program Related to BX Equity 11, Rule 11890 to the Close of Business on October 20, 20212021-04-21T00:00:00-07:002021-04-21T00:00:00-07:002021-08146Noticehttps://www.govinfo.gov/content/pkg/FR-2021-04-21/pdf/2021-08146.pdfhttps://regulations.justia.com/regulations/fedreg/2021/04/21/2021-08145.htmlNotice - Proposed Collection; Comment Request2021-04-21T00:00:00-07:002021-04-21T00:00:00-07:002021-08145Noticehttps://www.govinfo.gov/content/pkg/FR-2021-04-21/pdf/2021-08145.pdfhttps://regulations.justia.com/regulations/fedreg/2021/04/21/2021-08144.htmlNotice - Submission for OMB Review; Comment Request2021-04-21T00:00:00-07:002021-04-21T00:00:00-07:002021-08144Noticehttps://www.govinfo.gov/content/pkg/FR-2021-04-21/pdf/2021-08144.pdfhttps://regulations.justia.com/regulations/fedreg/2021/04/21/2021-08143.htmlNotice - Submission for OMB Review; Comment Request2021-04-21T00:00:00-07:002021-04-21T00:00:00-07:002021-08143Noticehttps://www.govinfo.gov/content/pkg/FR-2021-04-21/pdf/2021-08143.pdfhttps://regulations.justia.com/regulations/fedreg/2021/04/21/2021-08142.htmlNotice - Submission for OMB Review; Comment Request2021-04-21T00:00:00-07:002021-04-21T00:00:00-07:002021-08142Noticehttps://www.govinfo.gov/content/pkg/FR-2021-04-21/pdf/2021-08142.pdfhttps://regulations.justia.com/regulations/fedreg/2021/04/21/2021-08141.htmlNotice - Submission for OMB Review; Comment Request2021-04-21T00:00:00-07:002021-04-21T00:00:00-07:002021-08141Noticehttps://www.govinfo.gov/content/pkg/FR-2021-04-21/pdf/2021-08141.pdfhttps://regulations.justia.com/regulations/fedreg/2021/04/21/2021-08140.htmlNotice - Submission for OMB Review; Comment Request2021-04-21T00:00:00-07:002021-04-21T00:00:00-07:002021-08140Noticehttps://www.govinfo.gov/content/pkg/FR-2021-04-21/pdf/2021-08140.pdfhttps://regulations.justia.com/regulations/fedreg/2021/04/21/2021-08139.htmlNotice - Submission for OMB Review; Comment Request2021-04-21T00:00:00-07:002021-04-21T00:00:00-07:002021-08139Noticehttps://www.govinfo.gov/content/pkg/FR-2021-04-21/pdf/2021-08139.pdfhttps://regulations.justia.com/regulations/fedreg/2021/04/21/2021-08138.htmlNotice - Submission for OMB Review; Comment Request2021-04-21T00:00:00-07:002021-04-21T00:00:00-07:002021-08138Noticehttps://www.govinfo.gov/content/pkg/FR-2021-04-21/pdf/2021-08138.pdfhttps://regulations.justia.com/regulations/fedreg/2021/04/21/2021-08137.htmlNotice - Submission for OMB Review; Comment Request2021-04-21T00:00:00-07:002021-04-21T00:00:00-07:002021-08137Noticehttps://www.govinfo.gov/content/pkg/FR-2021-04-21/pdf/2021-08137.pdfhttps://regulations.justia.com/regulations/fedreg/2021/04/21/2021-08135.htmlNotice - Submission for OMB Review; Comment Request2021-04-21T00:00:00-07:002021-04-21T00:00:00-07:002021-08135Noticehttps://www.govinfo.gov/content/pkg/FR-2021-04-21/pdf/2021-08135.pdfhttps://regulations.justia.com/regulations/fedreg/2021/04/21/2021-08049.htmlNotice - Joint Industry Plan; Notice of Filing of Amendment to the National Market System Plan Governing the Consolidated Audit Trail by BOX Exchange LLC; Cboe BYX Exchange, Inc., Cboe BZX Exchange, Inc., Cboe EDGA Exchange, Inc., Cboe EDGX Exchange, Inc., Cboe C2 Exchange, Inc. and Cboe Exchange, Inc., Financial Industry Regulatory Authority, Inc., Investors Exchange LLC, Long-Term Stock Exchange, Inc., Miami International Securities Exchange LLC, MEMX, LLC, MIAX Emerald, LLC, MIAX PEARL, LLC, Nasdaq BX, Inc., Nasdaq GEMX, LLC, Nasdaq ISE, LLC, Nasdaq MRX, LLC, Nasdaq PHLX LLC, The NASDAQ Stock Market LLC; and New York Stock Exchange LLC, NYSE American LLC, NYSE Arca, Inc., NYSE Chicago, Inc., and NYSE National, Inc.2021-04-21T00:00:00-07:002021-04-21T00:00:00-07:002021-08049Noticehttps://www.govinfo.gov/content/pkg/FR-2021-04-21/pdf/2021-08049.pdfhttps://regulations.justia.com/regulations/fedreg/2021/04/20/2021-08120.htmlNotice - Putnam ETF Trust, et al.2021-04-20T00:00:00-07:002021-04-20T00:00:00-07:002021-08120Noticehttps://www.govinfo.gov/content/pkg/FR-2021-04-20/pdf/2021-08120.pdfhttps://regulations.justia.com/regulations/fedreg/2021/04/20/2021-08050.htmlNotice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Rule 7.37-E2021-04-20T00:00:00-07:002021-04-20T00:00:00-07:002021-08050Noticehttps://www.govinfo.gov/content/pkg/FR-2021-04-20/pdf/2021-08050.pdfhttps://regulations.justia.com/regulations/fedreg/2021/04/20/2021-08048.htmlNotice - Self-Regulatory Organizations; Cboe BYX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Extend the Current Pilot Program Related to BYX Rule 11.17, Clearly Erroneous Executions, to the Close of Business on October 20, 20212021-04-20T00:00:00-07:002021-04-20T00:00:00-07:002021-08048Noticehttps://www.govinfo.gov/content/pkg/FR-2021-04-20/pdf/2021-08048.pdfhttps://regulations.justia.com/regulations/fedreg/2021/04/20/2021-08047.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 the Quorum Requirement2021-04-20T00:00:00-07:002021-04-20T00:00:00-07:002021-08047Noticehttps://www.govinfo.gov/content/pkg/FR-2021-04-20/pdf/2021-08047.pdfhttps://regulations.justia.com/regulations/fedreg/2021/04/20/2021-08046.htmlNotice - Self-Regulatory Organizations; Cboe BZX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Extend the Current Pilot Program Related to BZX Rule 11.17, Clearly Erroneous Executions, to the Close of Business on October 20, 20212021-04-20T00:00:00-07:002021-04-20T00:00:00-07:002021-08046Noticehttps://www.govinfo.gov/content/pkg/FR-2021-04-20/pdf/2021-08046.pdfhttps://regulations.justia.com/regulations/fedreg/2021/04/20/2021-08045.htmlNotice - Self-Regulatory Organizations; NYSE Chicago, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Extend the Current Pilot Program Related to Rule 7.102021-04-20T00:00:00-07:002021-04-20T00:00:00-07:002021-08045Noticehttps://www.govinfo.gov/content/pkg/FR-2021-04-20/pdf/2021-08045.pdfhttps://regulations.justia.com/regulations/fedreg/2021/04/20/2021-08043.htmlNotice - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Its Price List2021-04-20T00:00:00-07:002021-04-20T00:00:00-07:002021-08043Noticehttps://www.govinfo.gov/content/pkg/FR-2021-04-20/pdf/2021-08043.pdfhttps://regulations.justia.com/regulations/fedreg/2021/04/20/2021-08042.htmlNotice - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Extend the Current Pilot Program Related to Rule 7.102021-04-20T00:00:00-07:002021-04-20T00:00:00-07:002021-08042Noticehttps://www.govinfo.gov/content/pkg/FR-2021-04-20/pdf/2021-08042.pdfhttps://regulations.justia.com/regulations/fedreg/2021/04/20/2021-08040.htmlNotice - Self-Regulatory Organizations; Cboe EDGA Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Extend the Current Pilot Program Related to EDGA Rule 11.15, Clearly Erroneous Executions, to the Close of Business on October 20, 20212021-04-20T00:00:00-07:002021-04-20T00:00:00-07:002021-08040Noticehttps://www.govinfo.gov/content/pkg/FR-2021-04-20/pdf/2021-08040.pdfhttps://regulations.justia.com/regulations/fedreg/2021/04/20/2021-08039.htmlNotice - Self-Regulatory Organizations; NYSE National, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Extend the Current Pilot Program Related to Rule 7.102021-04-20T00:00:00-07:002021-04-20T00:00:00-07:002021-08039Noticehttps://www.govinfo.gov/content/pkg/FR-2021-04-20/pdf/2021-08039.pdfhttps://regulations.justia.com/regulations/fedreg/2021/04/20/2021-08038.htmlNotice - Self-Regulatory Organizations; Cboe C2 Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Eliminate Existing Rule 3.30 (Qualification and Registration) and Incorporate by Reference Cboe Exchange, Inc. Chapter 3, Section B, in Its Entirety2021-04-20T00:00:00-07:002021-04-20T00:00:00-07:002021-08038Noticehttps://www.govinfo.gov/content/pkg/FR-2021-04-20/pdf/2021-08038.pdfhttps://regulations.justia.com/regulations/fedreg/2021/04/20/2021-08037.htmlNotice - Self-Regulatory Organizations; NYSE American LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Extend the Current Pilot Program Related to Rule 7.10E2021-04-20T00:00:00-07:002021-04-20T00:00:00-07:002021-08037Noticehttps://www.govinfo.gov/content/pkg/FR-2021-04-20/pdf/2021-08037.pdfhttps://regulations.justia.com/regulations/fedreg/2021/04/20/2021-08036.htmlNotice - Self-Regulatory Organizations; NYSE National, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Rule 7.372021-04-20T00:00:00-07:002021-04-20T00:00:00-07:002021-08036Noticehttps://www.govinfo.gov/content/pkg/FR-2021-04-20/pdf/2021-08036.pdfhttps://regulations.justia.com/regulations/fedreg/2021/04/20/2021-08035.htmlNotice - Self-Regulatory Organizations; Cboe EDGX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Extend the Current Pilot Program Related to EDGX Rule 11.15, Clearly Erroneous Executions, to the Close of Business on October 20, 20212021-04-20T00:00:00-07:002021-04-20T00:00:00-07:002021-08035Noticehttps://www.govinfo.gov/content/pkg/FR-2021-04-20/pdf/2021-08035.pdfhttps://regulations.justia.com/regulations/fedreg/2021/04/20/2021-08034.htmlNotice - Self-Regulatory Organizations; Cboe Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating To Amend Its Fees Schedule To Adopt Reduced Permit Fees for New Floor Brokers2021-04-20T00:00:00-07:002021-04-20T00:00:00-07:002021-08034Noticehttps://www.govinfo.gov/content/pkg/FR-2021-04-20/pdf/2021-08034.pdfhttps://regulations.justia.com/regulations/fedreg/2021/04/20/2021-08033.htmlNotice - Self-Regulatory Organizations; Cboe EDGX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Its Fees Schedule2021-04-20T00:00:00-07:002021-04-20T00:00:00-07:002021-08033Noticehttps://www.govinfo.gov/content/pkg/FR-2021-04-20/pdf/2021-08033.pdfhttps://regulations.justia.com/regulations/fedreg/2021/04/20/2021-08032.htmlNotice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Extend the Current Pilot Program Related to Rule 7.10-E2021-04-20T00:00:00-07:002021-04-20T00:00:00-07:002021-08032Noticehttps://www.govinfo.gov/content/pkg/FR-2021-04-20/pdf/2021-08032.pdfhttps://regulations.justia.com/regulations/fedreg/2021/04/19/2021-08121.htmlNotice - Sunshine Act Meeting; Cancellation2021-04-19T00:00:00-07:002021-04-19T00:00:00-07:002021-08121Noticehttps://www.govinfo.gov/content/pkg/FR-2021-04-19/pdf/2021-08121.pdfhttps://regulations.justia.com/regulations/fedreg/2021/04/19/2021-07960.htmlNotice - Self-Regulatory Organizations; Cboe C2 Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Its Fees Schedule2021-04-19T00:00:00-07:002021-04-19T00:00:00-07:002021-07960Noticehttps://www.govinfo.gov/content/pkg/FR-2021-04-19/pdf/2021-07960.pdfhttps://regulations.justia.com/regulations/fedreg/2021/04/19/2021-07959.htmlNotice - Self-Regulatory Organizations; Miami International Securities Exchange, LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Exchange Rule 1801, Definitions and Exchange Rule 1809, Terms of Index Options Contracts2021-04-19T00:00:00-07:002021-04-19T00:00:00-07:002021-07959Noticehttps://www.govinfo.gov/content/pkg/FR-2021-04-19/pdf/2021-07959.pdfhttps://regulations.justia.com/regulations/fedreg/2021/04/19/2021-07952.htmlNotice - The Advisors' Inner Circle Fund, Cambiar Investors, LLC and SEI Investments Distribution Co.2021-04-19T00:00:00-07:002021-04-19T00:00:00-07:002021-07952Noticehttps://www.govinfo.gov/content/pkg/FR-2021-04-19/pdf/2021-07952.pdfhttps://regulations.justia.com/regulations/fedreg/2021/04/16/2021-07788.htmlNotice - Self-Regulatory Organizations; MIAX PEARL, LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Regarding Rebranding of the Exchange2021-04-16T00:00:00-07:002021-04-16T00:00:00-07:002021-07788Noticehttps://www.govinfo.gov/content/pkg/FR-2021-04-16/pdf/2021-07788.pdfhttps://regulations.justia.com/regulations/fedreg/2021/04/16/2021-07787.htmlNotice - Self-Regulatory Organizations; Cboe BZX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Its Fee Schedule2021-04-16T00:00:00-07:002021-04-16T00:00:00-07:002021-07787Noticehttps://www.govinfo.gov/content/pkg/FR-2021-04-16/pdf/2021-07787.pdfhttps://regulations.justia.com/regulations/fedreg/2021/04/16/2021-07786.htmlNotice - Self-Regulatory Organizations; NYSE American LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Rule 7.37E2021-04-16T00:00:00-07:002021-04-16T00:00:00-07:002021-07786Noticehttps://www.govinfo.gov/content/pkg/FR-2021-04-16/pdf/2021-07786.pdfhttps://regulations.justia.com/regulations/fedreg/2021/04/16/2021-07270.htmlNotice - Azzad Funds and Azzad Asset Management, Inc.; Notice of Application2021-04-16T00:00:00-07:002021-04-16T00:00:00-07:002021-07270Noticehttps://www.govinfo.gov/content/pkg/FR-2021-04-16/pdf/2021-07270.pdfhttps://regulations.justia.com/regulations/fedreg/2021/04/16/2021-07269.htmlNotice - SharesPost 100 Fund and Liberty Street Advisors, Inc.2021-04-16T00:00:00-07:002021-04-16T00:00:00-07:002021-07269Noticehttps://www.govinfo.gov/content/pkg/FR-2021-04-16/pdf/2021-07269.pdfhttps://regulations.justia.com/regulations/fedreg/2021/04/15/2021-07678.htmlNotice - Self-Regulatory Organizations; The Nasdaq Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Extend the Implementation Date of Enhancements to the End of Day Summary Message on Nasdaq Last Sale Plus to May 17, 20212021-04-15T00:00:00-07:002021-04-15T00:00:00-07:002021-07678Noticehttps://www.govinfo.gov/content/pkg/FR-2021-04-15/pdf/2021-07678.pdfhttps://regulations.justia.com/regulations/fedreg/2021/04/15/2021-07677.htmlNotice - Self-Regulatory Organizations; Nasdaq PHLX LLC; Order Approving a Proposed Rule Change, as Modified by Amendment No. 1, To Permit the Listing and Trading of Options Based on 1/100th the Value of the Nasdaq-100 Index2021-04-15T00:00:00-07:002021-04-15T00:00:00-07:002021-07677Noticehttps://www.govinfo.gov/content/pkg/FR-2021-04-15/pdf/2021-07677.pdfhttps://regulations.justia.com/regulations/fedreg/2021/04/15/2021-07676.htmlNotice - Self-Regulatory Organizations; Investors Exchange LLC; Notice of Filing of Proposed Rule Change To Enhance the IEX Retail Price Improvement Program for the Benefit of Retail Investors2021-04-15T00:00:00-07:002021-04-15T00:00:00-07:002021-07676Noticehttps://www.govinfo.gov/content/pkg/FR-2021-04-15/pdf/2021-07676.pdfhttps://regulations.justia.com/regulations/fedreg/2021/04/15/2021-07675.htmlNotice - Self-Regulatory Organizations; Cboe BZX Exchange, Inc.; Notice of Filing of a Proposed Rule Change to List and Trade Shares of the WisdomTree Bitcoin Trust Under BZX Rule 14.11(e)(4), Commodity-Based Trust Shares2021-04-15T00:00:00-07:002021-04-15T00:00:00-07:002021-07675Noticehttps://www.govinfo.gov/content/pkg/FR-2021-04-15/pdf/2021-07675.pdfhttps://regulations.justia.com/regulations/fedreg/2021/04/15/2021-07674.htmlNotice - Self-Regulatory Organizations; Cboe Exchange, Inc.; Notice of Filing of Amendment No. 1 and Order Granting Accelerated Approval of a Proposed Rule Change, as Modified by Amendment No. 1, To Amend Certain Rules To Accommodate the Listing and Trading of Index Options With an Index Multiplier of One2021-04-15T00:00:00-07:002021-04-15T00:00:00-07:002021-07674Noticehttps://www.govinfo.gov/content/pkg/FR-2021-04-15/pdf/2021-07674.pdfhttps://regulations.justia.com/regulations/fedreg/2021/04/14/2021-07602.htmlNotice - Self-Regulatory Organizations; MIAX PEARL, LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Exchange Rule 404A, Select Provisions of Options Listing Procedures Plan2021-04-14T00:00:00-07:002021-04-14T00:00:00-07:002021-07602Noticehttps://www.govinfo.gov/content/pkg/FR-2021-04-14/pdf/2021-07602.pdfhttps://regulations.justia.com/regulations/fedreg/2021/04/14/2021-07601.htmlNotice - Self-Regulatory Organizations; Miami International Securities Exchange, LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Exchange Rule 404A, Select Provisions of Options Listing Procedures Plan2021-04-14T00:00:00-07:002021-04-14T00:00:00-07:002021-07601Noticehttps://www.govinfo.gov/content/pkg/FR-2021-04-14/pdf/2021-07601.pdfhttps://regulations.justia.com/regulations/fedreg/2021/04/14/2021-07600.htmlNotice - Self-Regulatory Organizations; ICE Clear Credit LLC; Notice of Proposed Rule Change Relating to the ICC Risk Parameter Setting and Review Policy2021-04-14T00:00:00-07:002021-04-14T00:00:00-07:002021-07600Noticehttps://www.govinfo.gov/content/pkg/FR-2021-04-14/pdf/2021-07600.pdfhttps://regulations.justia.com/regulations/fedreg/2021/04/14/2021-07599.htmlNotice - Self-Regulatory Organizations; ICE Clear Credit LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to the ICC Clearing Rules2021-04-14T00:00:00-07:002021-04-14T00:00:00-07:002021-07599Noticehttps://www.govinfo.gov/content/pkg/FR-2021-04-14/pdf/2021-07599.pdfhttps://regulations.justia.com/regulations/fedreg/2021/04/14/2021-07598.htmlNotice - Self-Regulatory Organizations; New York Stock Exchange LLC; NYSE American LLC; NYSE National, Inc.; NYSE Arca, Inc.; NYSE Chicago, Inc.; Notice of Filing of Amendment Nos. 1 and 2 and Order Granting Accelerated Approval of Proposed Rule Changes, Each as Modified by Amendment Nos. 1 and 2, to Establish Procedures for the Allocation of Power in Co-Location When Availability Falls Below Certain Thresholds2021-04-14T00:00:00-07:002021-04-14T00:00:00-07:002021-07598Noticehttps://www.govinfo.gov/content/pkg/FR-2021-04-14/pdf/2021-07598.pdfhttps://regulations.justia.com/regulations/fedreg/2021/04/14/2021-07597.htmlNotice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change List and Trade Shares of the: Fidelity Women's Leadership ETF and Fidelity Sustainability U.S. Equity ETF2021-04-14T00:00:00-07:002021-04-14T00:00:00-07:002021-07597Noticehttps://www.govinfo.gov/content/pkg/FR-2021-04-14/pdf/2021-07597.pdfhttps://regulations.justia.com/regulations/fedreg/2021/04/14/2021-07596.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 Schedule2021-04-14T00:00:00-07:002021-04-14T00:00:00-07:002021-07596Noticehttps://www.govinfo.gov/content/pkg/FR-2021-04-14/pdf/2021-07596.pdfhttps://regulations.justia.com/regulations/fedreg/2021/04/14/2021-07595.htmlNotice - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Extend the Effective Date of the Temporary Amendments Set Forth in SR-FINRA-2020-026 and SR-FINRA-2020-043 From April 30, 2021, to June 30, 20212021-04-14T00:00:00-07:002021-04-14T00:00:00-07:002021-07595Noticehttps://www.govinfo.gov/content/pkg/FR-2021-04-14/pdf/2021-07595.pdfhttps://regulations.justia.com/regulations/fedreg/2021/04/14/2021-07594.htmlNotice - Self-Regulatory Organizations: Miami International Securities Exchange LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Its Fee Schedule Regarding cPRIME Agency Order Rebates2021-04-14T00:00:00-07:002021-04-14T00:00:00-07:002021-07594Noticehttps://www.govinfo.gov/content/pkg/FR-2021-04-14/pdf/2021-07594.pdfhttps://regulations.justia.com/regulations/fedreg/2021/04/14/2021-07593.htmlNotice - Joint Industry Plan; Notice of Designation of a Longer Period for Commission Action on a Proposed National Market System Plan Regarding Consolidated Equity Market Data2021-04-14T00:00:00-07:002021-04-14T00:00:00-07:002021-07593Noticehttps://www.govinfo.gov/content/pkg/FR-2021-04-14/pdf/2021-07593.pdfhttps://regulations.justia.com/regulations/fedreg/2021/04/14/2021-07592.htmlNotice - Self-Regulatory Organizations; NYSE Chicago, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Rule 7.372021-04-14T00:00:00-07:002021-04-14T00:00:00-07:002021-07592Noticehttps://www.govinfo.gov/content/pkg/FR-2021-04-14/pdf/2021-07592.pdfhttps://regulations.justia.com/regulations/fedreg/2021/04/14/2021-07590.htmlNotice - Nuveen Fund Advisors, LLC, et al.2021-04-14T00:00:00-07:002021-04-14T00:00:00-07:002021-07590Noticehttps://www.govinfo.gov/content/pkg/FR-2021-04-14/pdf/2021-07590.pdfhttps://regulations.justia.com/regulations/fedreg/2021/04/13/2021-07528.htmlNotice - Order Scheduling Filing of Statements of Review in the Matter of the CBOE BZX Exchange, Inc. for an Order of Approval of Proposed Rule Change To List and Trade Shares of the -1x Short VIX Futures ETF (File No. SR-CboeBZX-2020-070)2021-04-13T00:00:00-07:002021-04-13T00:00:00-07:002021-07528Noticehttps://www.govinfo.gov/content/pkg/FR-2021-04-13/pdf/2021-07528.pdfhttps://regulations.justia.com/regulations/fedreg/2021/04/13/2021-07526.htmlNotice - In the Matter of the Cboe BZX Exchange, Inc. For an Order of Approval of Proposed Rule Change To List and Trade Shares of the 2x Long VIX Futures ETF (File No. SR-CboeBZX-2020-053); Order Scheduling Filing of Statements on Review2021-04-13T00:00:00-07:002021-04-13T00:00:00-07:002021-07526Noticehttps://www.govinfo.gov/content/pkg/FR-2021-04-13/pdf/2021-07526.pdfhttps://regulations.justia.com/regulations/fedreg/2021/04/13/2021-07497.htmlNotice - Self-Regulatory Organizations: Notice of Filing and Immediate Effectiveness of a Proposed Rule Change by Miami International Securities Exchange LLC To Amend Its Fee Schedule2021-04-13T00:00:00-07:002021-04-13T00:00:00-07:002021-07497Noticehttps://www.govinfo.gov/content/pkg/FR-2021-04-13/pdf/2021-07497.pdfhttps://regulations.justia.com/regulations/fedreg/2021/04/13/2021-07496.htmlNotice - Self-Regulatory Organizations; MIAX PEARL, LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the MIAX Pearl Equities Fee Schedule2021-04-13T00:00:00-07:002021-04-13T00:00:00-07:002021-07496Noticehttps://www.govinfo.gov/content/pkg/FR-2021-04-13/pdf/2021-07496.pdfhttps://regulations.justia.com/regulations/fedreg/2021/04/13/2021-07495.htmlNotice - Self-Regulatory Organizations: Notice of Filing and Immediate Effectiveness of a Proposed Rule Change by MIAX PEARL, LLC To Amend the MIAX Pearl Fee Schedule2021-04-13T00:00:00-07:002021-04-13T00:00:00-07:002021-07495Noticehttps://www.govinfo.gov/content/pkg/FR-2021-04-13/pdf/2021-07495.pdfhttps://regulations.justia.com/regulations/fedreg/2021/04/13/2021-07494.htmlNotice - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Extend the Expiration Date of the Temporary Amendments Set Forth in SR-FINRA-2020-015 and SR-FINRA-2020-0272021-04-13T00:00:00-07:002021-04-13T00:00:00-07:002021-07494Noticehttps://www.govinfo.gov/content/pkg/FR-2021-04-13/pdf/2021-07494.pdfhttps://regulations.justia.com/regulations/fedreg/2021/04/13/2021-07493.htmlNotice - Self-Regulatory Organizations; Cboe EDGX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the Fee Schedule2021-04-13T00:00:00-07:002021-04-13T00:00:00-07:002021-07493Noticehttps://www.govinfo.gov/content/pkg/FR-2021-04-13/pdf/2021-07493.pdfhttps://regulations.justia.com/regulations/fedreg/2021/04/13/2021-07492.htmlNotice - Self-Regulatory Organizations; ICE Clear Credit LLC; Notice of Filing of Proposed Rule Change Relating to the ICC Risk Management Model Description2021-04-13T00:00:00-07:002021-04-13T00:00:00-07:002021-07492Noticehttps://www.govinfo.gov/content/pkg/FR-2021-04-13/pdf/2021-07492.pdfhttps://regulations.justia.com/regulations/fedreg/2021/04/13/2021-07491.htmlNotice - Self-Regulatory Organizations; The Nasdaq Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Insert Language Concerning an Initial Listing Requirement Applicable to American Depository Receipts or Shares2021-04-13T00:00:00-07:002021-04-13T00:00:00-07:002021-07491Noticehttps://www.govinfo.gov/content/pkg/FR-2021-04-13/pdf/2021-07491.pdfhttps://regulations.justia.com/regulations/fedreg/2021/04/13/2021-07490.htmlNotice - Self-Regulatory Organizations; New York Stock Exchange LLC, NYSE American LLC, NYSE Arca, Inc., NYSE Chicago, Inc., and NYSE National, Inc.; Notice of Designation of a Longer Period for Commission Action on Proposed Rule Changes To Amend the Schedule of Wireless Connectivity Fees and Charges To Add Circuits for Connectivity Into and Out of the Data Center in Mahwah, New Jersey2021-04-13T00:00:00-07:002021-04-13T00:00:00-07:002021-07490Noticehttps://www.govinfo.gov/content/pkg/FR-2021-04-13/pdf/2021-07490.pdfhttps://regulations.justia.com/regulations/fedreg/2021/04/13/2021-07489.htmlNotice - Self-Regulatory Organizations; ICE Clear Credit LLC; Notice of Filing of Proposed Rule Change Relating to ICC's Treasury Operations Policies and Procedures2021-04-13T00:00:00-07:002021-04-13T00:00:00-07:002021-07489Noticehttps://www.govinfo.gov/content/pkg/FR-2021-04-13/pdf/2021-07489.pdfhttps://regulations.justia.com/regulations/fedreg/2021/04/13/2021-07488.htmlNotice - The Ohio National Life Insurance Company, et al.2021-04-13T00:00:00-07:002021-04-13T00:00:00-07:002021-07488Noticehttps://www.govinfo.gov/content/pkg/FR-2021-04-13/pdf/2021-07488.pdfhttps://regulations.justia.com/regulations/fedreg/2021/04/12/2021-07573.htmlNotice - Sunshine Act Meetings2021-04-12T00:00:00-07:002021-04-12T00:00:00-07:002021-07573Noticehttps://www.govinfo.gov/content/pkg/FR-2021-04-12/pdf/2021-07573.pdfhttps://regulations.justia.com/regulations/fedreg/2021/04/12/2021-07557.htmlNotice - Sunshine Act Meeting; Cancellation2021-04-12T00:00:00-07:002021-04-12T00:00:00-07:002021-07557Noticehttps://www.govinfo.gov/content/pkg/FR-2021-04-12/pdf/2021-07557.pdfhttps://regulations.justia.com/regulations/fedreg/2021/04/12/2021-07454.htmlNotice - Self-Regulatory Organizations; The Options Clearing Corporation; Notice of No Objection To Advance Notice Relating to OCC's Establishment of Persistent Minimum Skin-in-the-Game2021-04-12T00:00:00-07:002021-04-12T00:00:00-07:002021-07454Noticehttps://www.govinfo.gov/content/pkg/FR-2021-04-12/pdf/2021-07454.pdfhttps://regulations.justia.com/regulations/fedreg/2021/04/12/2021-07391.htmlNotice - Self-Regulatory Organizations; Nasdaq PHLX LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the Phlx Options Rules at Options 4 Under the Options 4 Title in the Exchanges Rulebooks Shell Structure2021-04-12T00:00:00-07:002021-04-12T00:00:00-07:002021-07391Noticehttps://www.govinfo.gov/content/pkg/FR-2021-04-12/pdf/2021-07391.pdfhttps://regulations.justia.com/regulations/fedreg/2021/04/12/2021-07390.htmlNotice - Joint Industry Plan; Order Instituting Proceedings To Determine Whether To Approve or Disapprove an Amendment to the National Market System Plan Governing the Consolidated Audit Trail2021-04-12T00:00:00-07:002021-04-12T00:00:00-07:002021-07390Noticehttps://www.govinfo.gov/content/pkg/FR-2021-04-12/pdf/2021-07390.pdfhttps://regulations.justia.com/regulations/fedreg/2021/04/12/2021-07389.htmlNotice - Self-Regulatory Organizations; Nasdaq ISE, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Extend the Nonstandard Expirations Pilot Program2021-04-12T00:00:00-07:002021-04-12T00:00:00-07:002021-07389Noticehttps://www.govinfo.gov/content/pkg/FR-2021-04-12/pdf/2021-07389.pdfhttps://regulations.justia.com/regulations/fedreg/2021/04/12/2021-07388.htmlNotice - Self-Regulatory Organizations; Nasdaq ISE, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Extend the Pilot To Permit the Listing and Trading of Options Based on 1/52021-04-12T00:00:00-07:002021-04-12T00:00:00-07:002021-07388Noticehttps://www.govinfo.gov/content/pkg/FR-2021-04-12/pdf/2021-07388.pdfhttps://regulations.justia.com/regulations/fedreg/2021/04/12/2021-07387.htmlNotice - Self-Regulatory Organizations; Nasdaq PHLX LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Extend the Nonstandard Expirations Pilot Program2021-04-12T00:00:00-07:002021-04-12T00:00:00-07:002021-07387Noticehttps://www.govinfo.gov/content/pkg/FR-2021-04-12/pdf/2021-07387.pdfhttps://regulations.justia.com/regulations/fedreg/2021/04/12/2021-07386.htmlNotice - Self-Regulatory Organizations; The Options Clearing Corporation; Notice of Designation of Longer Period for Commission Action on Proposed Rule Change To Establish OCC's Persistent Minimum Skin-in-the-Game2021-04-12T00:00:00-07:002021-04-12T00:00:00-07:002021-07386Noticehttps://www.govinfo.gov/content/pkg/FR-2021-04-12/pdf/2021-07386.pdfhttps://regulations.justia.com/regulations/fedreg/2021/04/12/2021-07385.htmlNotice - Self-Regulatory Organizations; Cboe Exchange, Inc.; Notice of Filing of a Proposed Rule Change Relating To Adopt Rule 6.10 To Introduce a Voluntary Compression Service for Market Makers2021-04-12T00:00:00-07:002021-04-12T00:00:00-07:002021-07385Noticehttps://www.govinfo.gov/content/pkg/FR-2021-04-12/pdf/2021-07385.pdfhttps://regulations.justia.com/regulations/fedreg/2021/04/12/2021-07384.htmlNotice - Self-Regulatory Organizations; Nasdaq PHLX LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Phlx's Pricing Schedule at Options 7, Section 8, “Membership Fees”2021-04-12T00:00:00-07:002021-04-12T00:00:00-07:002021-07384Noticehttps://www.govinfo.gov/content/pkg/FR-2021-04-12/pdf/2021-07384.pdfhttps://regulations.justia.com/regulations/fedreg/2021/04/12/2021-07358.htmlNotice - Notice of Intention To Cancel Registrations of Certain Investment Advisers Pursuant to Section 203(H) of the Investment Advisers Act of 19402021-04-12T00:00:00-07:002021-04-12T00:00:00-07:002021-07358Noticehttps://www.govinfo.gov/content/pkg/FR-2021-04-12/pdf/2021-07358.pdfhttps://regulations.justia.com/regulations/fedreg/2021/04/09/2021-07274.htmlNotice - Self-Regulatory Organizations; Cboe BZX Exchange, Inc.; Notice of Filing of a Proposed Rule Change To Extend the Cutoff Time for Accepting on Close Orders Entered for Participation in the Exchange's Closing Auction and To Clarify Changes to the Definitions of Late-Limit-On-Close and Late-Limit-On-Open Orders as Provided in Exchange Rule 11.232021-04-09T00:00:00-07:002021-04-09T00:00:00-07:002021-07274Noticehttps://www.govinfo.gov/content/pkg/FR-2021-04-09/pdf/2021-07274.pdfhttps://regulations.justia.com/regulations/fedreg/2021/04/09/2021-07273.htmlNotice - Self-Regulatory Organizations; MEMX LLC; Notice of Filing and Order Granting Accelerated Approval of a Proposed Rule Change To Amend the Corporate Documents of the Exchange's Parent Company2021-04-09T00:00:00-07:002021-04-09T00:00:00-07:002021-07273Noticehttps://www.govinfo.gov/content/pkg/FR-2021-04-09/pdf/2021-07273.pdfhttps://regulations.justia.com/regulations/fedreg/2021/04/09/2021-07272.htmlNotice - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; 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 Adopt Proposed Rule 6439 (Requirements for Member Inter-Dealer Quotation Systems) and Rescind the Rules Related to the OTC Bulletin Board Service2021-04-09T00:00:00-07:002021-04-09T00:00:00-07:002021-07272Noticehttps://www.govinfo.gov/content/pkg/FR-2021-04-09/pdf/2021-07272.pdfhttps://regulations.justia.com/regulations/fedreg/2021/04/09/2021-07271.htmlNotice - Self-Regulatory Organizations; Nasdaq BX, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend BX Options 7, Section 1, “General Provisions,” and Options 7, Section 2, “BX Options Market-Fees and Rebates”2021-04-09T00:00:00-07:002021-04-09T00:00:00-07:002021-07271Noticehttps://www.govinfo.gov/content/pkg/FR-2021-04-09/pdf/2021-07271.pdfhttps://regulations.justia.com/regulations/fedreg/2021/04/09/2020-28370.htmlRule - Market Data Infrastructure2021-04-09T00:00:00-07:002021-04-09T00:00:00-07:002020-28370Rulehttps://www.govinfo.gov/content/pkg/FR-2021-04-09/pdf/2020-28370.pdfhttps://regulations.justia.com/regulations/fedreg/2021/04/08/2021-07255.htmlNotice - Notice of Substituted Compliance Application Submitted by the United Kingdom Financial Conduct Authority in Connection With Certain Requirements Applicable to Security-Based Swap Dealers and Major Security-Based Swap Participants Subject to Regulation in the United Kingdom; Proposed Order2021-04-08T00:00:00-07:002021-04-08T00:00:00-07:002021-07255Noticehttps://www.govinfo.gov/content/pkg/FR-2021-04-08/pdf/2021-07255.pdfhttps://regulations.justia.com/regulations/fedreg/2021/04/08/2021-07254.htmlNotice - Reopening of Comment Period for Order Proposing Conditional Substituted Compliance in Connection With Certain Requirements Applicable to Non-U.S. Security-Based Swap Dealers and Major Security-Based Swap Participants Subject to Regulation in the French Republic2021-04-08T00:00:00-07:002021-04-08T00:00:00-07:002021-07254Noticehttps://www.govinfo.gov/content/pkg/FR-2021-04-08/pdf/2021-07254.pdfhttps://regulations.justia.com/regulations/fedreg/2021/04/08/2021-07200.htmlNotice - Self-Regulatory Organizations; Cboe EDGX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Rule 19.6 (Series of Options Contracts Open for Trading) in Connection With Limiting the Number of Strikes Listed for Short Term Option Series Which are Available for Quoting and Trading on the Exchange2021-04-08T00:00:00-07:002021-04-08T00:00:00-07:002021-07200Noticehttps://www.govinfo.gov/content/pkg/FR-2021-04-08/pdf/2021-07200.pdfhttps://regulations.justia.com/regulations/fedreg/2021/04/08/2021-07199.htmlNotice - Self-Regulatory Organizations; NYSE American LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Rule 985NY2021-04-08T00:00:00-07:002021-04-08T00:00:00-07:002021-07199Noticehttps://www.govinfo.gov/content/pkg/FR-2021-04-08/pdf/2021-07199.pdfhttps://regulations.justia.com/regulations/fedreg/2021/04/08/2021-07198.htmlNotice - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing of Amendment No. 1 and Order Granting Accelerated Approval to a Proposed Rule Change, as Modified by Amendment No. 1, To Amend the NYSE Listed Company Manual To Revise the Shareholder Approval Requirements in Sections 312.03 and 312.04 and the Requirements for Related Party Transactions in Section 314.002021-04-08T00:00:00-07:002021-04-08T00:00:00-07:002021-07198Noticehttps://www.govinfo.gov/content/pkg/FR-2021-04-08/pdf/2021-07198.pdfhttps://regulations.justia.com/regulations/fedreg/2021/04/08/2021-07197.htmlNotice - Self-Regulatory Organizations; The Nasdaq Stock Market LLC; Order Approving Proposed Rule Change, as Modified by Amendment No. 2, To Disseminate Abbreviated Order Imbalance Information for the Nasdaq Opening Cross, Amend Certain Cutoff Times for On-Open Orders Entered for Participation in the Nasdaq Opening Cross, and Extend the Time Period for Accepting Certain Limit-On-Open Orders2021-04-08T00:00:00-07:002021-04-08T00:00:00-07:002021-07197Noticehttps://www.govinfo.gov/content/pkg/FR-2021-04-08/pdf/2021-07197.pdfhttps://regulations.justia.com/regulations/fedreg/2021/04/08/2021-07196.htmlNotice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Rule 6.90-O2021-04-08T00:00:00-07:002021-04-08T00:00:00-07:002021-07196Noticehttps://www.govinfo.gov/content/pkg/FR-2021-04-08/pdf/2021-07196.pdfhttps://regulations.justia.com/regulations/fedreg/2021/04/08/2021-07194.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 Makers2021-04-08T00:00:00-07:002021-04-08T00:00:00-07:002021-07194Noticehttps://www.govinfo.gov/content/pkg/FR-2021-04-08/pdf/2021-07194.pdfhttps://regulations.justia.com/regulations/fedreg/2021/04/06/2021-06989.htmlNotice - Self-Regulatory Organizations; The Options Clearing Corporation; Notice of Filing of Proposed Rule Change Relating to Revisions to OCC's Auction Participation Requirements2021-04-06T00:00:00-07:002021-04-06T00:00:00-07:002021-06989Noticehttps://www.govinfo.gov/content/pkg/FR-2021-04-06/pdf/2021-06989.pdfhttps://regulations.justia.com/regulations/fedreg/2021/04/06/2021-06987.htmlNotice - Self-Regulatory Organizations; The Nasdaq Stock Market LLC; Order Disapproving a Proposed Rule Change To Amend Nasdaq Rule 57042021-04-06T00:00:00-07:002021-04-06T00:00:00-07:002021-06987Noticehttps://www.govinfo.gov/content/pkg/FR-2021-04-06/pdf/2021-06987.pdfhttps://regulations.justia.com/regulations/fedreg/2021/04/05/2021-07081.htmlNotice - Sunshine Act Meetings2021-04-05T00:00:00-07:002021-04-05T00:00:00-07:002021-07081Noticehttps://www.govinfo.gov/content/pkg/FR-2021-04-05/pdf/2021-07081.pdfhttps://regulations.justia.com/regulations/fedreg/2021/04/05/2021-07065.htmlNotice - Sunshine Act Meetings2021-04-05T00:00:00-07:002021-04-05T00:00:00-07:002021-07065Noticehttps://www.govinfo.gov/content/pkg/FR-2021-04-05/pdf/2021-07065.pdfhttps://regulations.justia.com/regulations/fedreg/2021/04/05/2021-06886.htmlNotice - Self-Regulatory Organizations: Investors Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Transaction Fees Pursuant to IEX Rule 15.1102021-04-05T00:00:00-07:002021-04-05T00:00:00-07:002021-06886Noticehttps://www.govinfo.gov/content/pkg/FR-2021-04-05/pdf/2021-06886.pdfhttps://regulations.justia.com/regulations/fedreg/2021/04/05/2021-06885.htmlNotice - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing of Amendment No. 1 and Order Instituting Proceedings To Determine Whether To Approve or Disapprove a Proposed Rule Change, as Modified by Amendment No. 1, To Revise Rules 46 and 46A and Other Related Rules To Permit the Appointment of Trading Officials2021-04-05T00:00:00-07:002021-04-05T00:00:00-07:002021-06885Noticehttps://www.govinfo.gov/content/pkg/FR-2021-04-05/pdf/2021-06885.pdfhttps://regulations.justia.com/regulations/fedreg/2021/04/05/2021-06884.htmlNotice - Self-Regulatory Organizations; ICE Clear Credit LLC; Notice of Filing of Proposed Rule Change Relating to the ICC Recovery Plan and the ICC Wind-Down Plan2021-04-05T00:00:00-07:002021-04-05T00:00:00-07:002021-06884Noticehttps://www.govinfo.gov/content/pkg/FR-2021-04-05/pdf/2021-06884.pdfhttps://regulations.justia.com/regulations/fedreg/2021/04/05/2021-06292.htmlRule - Holding Foreign Companies Accountable Act Disclosure2021-04-05T00:00:00-07:002021-04-05T00:00:00-07:002021-06292Rulehttps://www.govinfo.gov/content/pkg/FR-2021-04-05/pdf/2021-06292.pdfhttps://regulations.justia.com/regulations/fedreg/2021/04/02/2021-06777.htmlNotice - Self-Regulatory Organizations; The Depository Trust Company; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the Recovery & Wind-Down Plan2021-04-02T00:00:00-07:002021-04-02T00:00:00-07:002021-06777Noticehttps://www.govinfo.gov/content/pkg/FR-2021-04-02/pdf/2021-06777.pdfhttps://regulations.justia.com/regulations/fedreg/2021/04/02/2021-06776.htmlNotice - Self-Regulatory Organizations; Cboe Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Rule 5.34 Relating to Its Fat Finger Check in Connection With Multi-Class Spread Orders2021-04-02T00:00:00-07:002021-04-02T00:00:00-07:002021-06776Noticehttps://www.govinfo.gov/content/pkg/FR-2021-04-02/pdf/2021-06776.pdfhttps://regulations.justia.com/regulations/fedreg/2021/04/02/2021-06774.htmlNotice - Self-Regulatory Organizations; Fixed Income Clearing Corporation; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the Recovery & Wind-Down Plan2021-04-02T00:00:00-07:002021-04-02T00:00:00-07:002021-06774Noticehttps://www.govinfo.gov/content/pkg/FR-2021-04-02/pdf/2021-06774.pdfhttps://regulations.justia.com/regulations/fedreg/2021/04/02/2021-06770.htmlNotice - Self-Regulatory Organizations; National Securities Clearing Corporation; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the Recovery & Wind-Down Plan2021-04-02T00:00:00-07:002021-04-02T00:00:00-07:002021-06770Noticehttps://www.govinfo.gov/content/pkg/FR-2021-04-02/pdf/2021-06770.pdfhttps://regulations.justia.com/regulations/fedreg/2021/04/01/2021-06732.htmlNotice - Submission for OMB Review; Comment Request2021-04-01T00:00:00-07:002021-04-01T00:00:00-07:002021-06732Noticehttps://www.govinfo.gov/content/pkg/FR-2021-04-01/pdf/2021-06732.pdfhttps://regulations.justia.com/regulations/fedreg/2021/04/01/2021-06731.htmlNotice - Proposed Collection; Comment Request2021-04-01T00:00:00-07:002021-04-01T00:00:00-07:002021-06731Noticehttps://www.govinfo.gov/content/pkg/FR-2021-04-01/pdf/2021-06731.pdfhttps://regulations.justia.com/regulations/fedreg/2021/04/01/2021-06676.htmlNotice - Self-Regulatory Organizations; Cboe BYX Exchange, Inc.; Notice of Filing of Amendments No. 3 and No. 4, and Order Granting Accelerated Approval of a Proposed Rule Change, as Modified by Amendments No. 3 and No. 4, To Introduce Periodic Auctions for the Trading of U.S. Equity Securities2021-04-01T00:00:00-07:002021-04-01T00:00:00-07:002021-06676Noticehttps://www.govinfo.gov/content/pkg/FR-2021-04-01/pdf/2021-06676.pdfhttps://regulations.justia.com/regulations/fedreg/2021/04/01/2021-06673.htmlNotice - Self-Regulatory Organizations; Nasdaq ISE, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend ISE's Pricing Schedule at Options 7, Section 9, Part C To Reduce the Options Regulatory Fee2021-04-01T00:00:00-07:002021-04-01T00:00:00-07:002021-06673Noticehttps://www.govinfo.gov/content/pkg/FR-2021-04-01/pdf/2021-06673.pdfhttps://regulations.justia.com/regulations/fedreg/2021/04/01/2021-06672.htmlNotice - Self-Regulatory Organizations; Nasdaq PHLX, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Phlx's Pricing Schedule at Options 7, Section 6, Part D To Reduce the Phlx Options Regulatory Fee2021-04-01T00:00:00-07:002021-04-01T00:00:00-07:002021-06672Noticehttps://www.govinfo.gov/content/pkg/FR-2021-04-01/pdf/2021-06672.pdfhttps://regulations.justia.com/regulations/fedreg/2021/04/01/2021-06671.htmlNotice - Self-Regulatory Organizations; MIAX PEARL, LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Exchange Rule 2614, Orders and Order Instructions, To Adopt and Make Available the Reserve Quantity Instruction for Orders on the MIAX PEARL Equities Platform2021-04-01T00:00:00-07:002021-04-01T00:00:00-07:002021-06671Noticehttps://www.govinfo.gov/content/pkg/FR-2021-04-01/pdf/2021-06671.pdfhttps://regulations.justia.com/regulations/fedreg/2021/04/01/2021-06670.htmlNotice - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Rule 103B, Which Governs the Allocation of Securities to Designated Market Makers2021-04-01T00:00:00-07:002021-04-01T00:00:00-07:002021-06670Noticehttps://www.govinfo.gov/content/pkg/FR-2021-04-01/pdf/2021-06670.pdfhttps://regulations.justia.com/regulations/fedreg/2021/04/01/2021-06669.htmlNotice - Self-Regulatory Organizations; The Nasdaq Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Waive the Entry Fee and the All-Inclusive Annual Listing Fee for Any Company Not Listed on a National Securities Exchange That Is Listing Upon Closing of Its Acquisition of a Special Purpose Acquisition Company Listed on Nasdaq2021-04-01T00:00:00-07:002021-04-01T00:00:00-07:002021-06669Noticehttps://www.govinfo.gov/content/pkg/FR-2021-04-01/pdf/2021-06669.pdfhttps://regulations.justia.com/regulations/fedreg/2021/04/01/2021-06668.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 Adopt Additional Initial Listing Criteria for Companies Primarily Operating in Jurisdictions That Do Not Provide the PCAOB With the Ability To Inspect Public Accounting Firms2021-04-01T00:00:00-07:002021-04-01T00:00:00-07:002021-06668Noticehttps://www.govinfo.gov/content/pkg/FR-2021-04-01/pdf/2021-06668.pdfhttps://regulations.justia.com/regulations/fedreg/2021/04/01/2021-06654.htmlNotice - Notice of Applications for Deregistration Under Section 8(f) of the Investment Company Act of 19402021-04-01T00:00:00-07:002021-04-01T00:00:00-07:002021-06654Noticehttps://www.govinfo.gov/content/pkg/FR-2021-04-01/pdf/2021-06654.pdf