Federal Register Recent Federal Regulation Documents - Justia Regulation Tracker - Justia Regulations Trackerhttps://regulations.justia.com/regulations/fedreg/agencies/securities-and-exchange-commission/2021/08?limit=200®isters=between&min-day=1&max-day=31&mode=atom2024-05-05T15:31:05-07:00Justia Inchttps://www.justia.com/Justia Regulations Trackerhttps://regulations.justia.com/images/justiafedregulations.gifCopyright 2011 Justia Inchttps://regulations.justia.com/regulations/fedreg/2021/08/31/2021-18700.htmlNotice - Proposed Collection; Comment Request2021-08-31T00:00:00-07:002021-08-31T00:00:00-07:002021-18700Noticehttps://www.govinfo.gov/content/pkg/FR-2021-08-31/pdf/2021-18700.pdfhttps://regulations.justia.com/regulations/fedreg/2021/08/31/2021-18699.htmlNotice - Proposed Collection; Comment Request2021-08-31T00:00:00-07:002021-08-31T00:00:00-07:002021-18699Noticehttps://www.govinfo.gov/content/pkg/FR-2021-08-31/pdf/2021-18699.pdfhttps://regulations.justia.com/regulations/fedreg/2021/08/31/2021-18698.htmlNotice - Proposed Collection; Comment Request2021-08-31T00:00:00-07:002021-08-31T00:00:00-07:002021-18698Noticehttps://www.govinfo.gov/content/pkg/FR-2021-08-31/pdf/2021-18698.pdfhttps://regulations.justia.com/regulations/fedreg/2021/08/31/2021-18697.htmlNotice - Proposed Collection; Comment Request2021-08-31T00:00:00-07:002021-08-31T00:00:00-07:002021-18697Noticehttps://www.govinfo.gov/content/pkg/FR-2021-08-31/pdf/2021-18697.pdfhttps://regulations.justia.com/regulations/fedreg/2021/08/31/2021-18696.htmlNotice - Proposed Collection; Comment Request2021-08-31T00:00:00-07:002021-08-31T00:00:00-07:002021-18696Noticehttps://www.govinfo.gov/content/pkg/FR-2021-08-31/pdf/2021-18696.pdfhttps://regulations.justia.com/regulations/fedreg/2021/08/31/2021-18695.htmlNotice - Proposed Collection; Comment Request2021-08-31T00:00:00-07:002021-08-31T00:00:00-07:002021-18695Noticehttps://www.govinfo.gov/content/pkg/FR-2021-08-31/pdf/2021-18695.pdfhttps://regulations.justia.com/regulations/fedreg/2021/08/31/2021-18678.htmlNotice - Self-Regulatory Organizations; Fixed Income Clearing Corporation; Notice of Filing of Proposed Rule Change To Remove the Early Unwind Intraday Charge, Change the Treatment of Short-Term Treasuries, and Make Other Changes2021-08-31T00:00:00-07:002021-08-31T00:00:00-07:002021-18678Noticehttps://www.govinfo.gov/content/pkg/FR-2021-08-31/pdf/2021-18678.pdfhttps://regulations.justia.com/regulations/fedreg/2021/08/31/2021-18677.htmlNotice - Self-Regulatory Organizations; BOX Exchange LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend IM-7240-12021-08-31T00:00:00-07:002021-08-31T00:00:00-07:002021-18677Noticehttps://www.govinfo.gov/content/pkg/FR-2021-08-31/pdf/2021-18677.pdfhttps://regulations.justia.com/regulations/fedreg/2021/08/31/2021-18676.htmlNotice - Self-Regulatory Organizations; Nasdaq PHLX LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Equity 7, Section 3 To Adopt an Enhanced Market Quality Program2021-08-31T00:00:00-07:002021-08-31T00:00:00-07:002021-18676Noticehttps://www.govinfo.gov/content/pkg/FR-2021-08-31/pdf/2021-18676.pdfhttps://regulations.justia.com/regulations/fedreg/2021/08/31/2021-18675.htmlNotice - Self-Regulatory Organizations; ICE Clear Credit LLC; Order Approving Proposed Rule Change Relating to the ICC Governance Playbook, ICC Risk Management Framework, and ICC Treasury Operations Policies and Procedures2021-08-31T00:00:00-07:002021-08-31T00:00:00-07:002021-18675Noticehttps://www.govinfo.gov/content/pkg/FR-2021-08-31/pdf/2021-18675.pdfhttps://regulations.justia.com/regulations/fedreg/2021/08/31/2021-18674.htmlNotice - Self-Regulatory Organizations; Long-Term Stock Exchange, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the Director “Business Relationships” Provision and Definition of “Family Member” for Purposes of LTSE Rule 14.405(a)(2) and Supplementary Material .01 (Definition of Independence)2021-08-31T00:00:00-07:002021-08-31T00:00:00-07:002021-18674Noticehttps://www.govinfo.gov/content/pkg/FR-2021-08-31/pdf/2021-18674.pdfhttps://regulations.justia.com/regulations/fedreg/2021/08/31/2021-18673.htmlNotice - Self-Regulatory Organizations; The Nasdaq Stock Market LLC; Notice of Designation of a Longer Period for Commission Action on Proposed Rule Change To Modify Listing Rule IM-5101-2 To Permit an Acquisition Company To Contribute a Portion of Its Deposit Account to Another Entity in a Spin-off or Similar Corporate Transaction2021-08-31T00:00:00-07:002021-08-31T00:00:00-07:002021-18673Noticehttps://www.govinfo.gov/content/pkg/FR-2021-08-31/pdf/2021-18673.pdfhttps://regulations.justia.com/regulations/fedreg/2021/08/31/2021-18672.htmlNotice - Self-Regulatory Organizations; National Securities Clearing Corporation; Notice of Designation of Longer Period for Commission Action on Proposed Rule Change Relating to Confidential Information, Market Disruption Events, Systems Disconnect, and Other Changes2021-08-31T00:00:00-07:002021-08-31T00:00:00-07:002021-18672Noticehttps://www.govinfo.gov/content/pkg/FR-2021-08-31/pdf/2021-18672.pdfhttps://regulations.justia.com/regulations/fedreg/2021/08/31/2021-18671.htmlNotice - Self-Regulatory Organizations; Fixed Income Clearing Corporation; Notice of Designation of Longer Period for Commission Action on Proposed Rule Change Relating to Confidential Information, Market Disruption Events, Systems Disconnect, and Other Changes2021-08-31T00:00:00-07:002021-08-31T00:00:00-07:002021-18671Noticehttps://www.govinfo.gov/content/pkg/FR-2021-08-31/pdf/2021-18671.pdfhttps://regulations.justia.com/regulations/fedreg/2021/08/31/2021-18670.htmlNotice - Self-Regulatory Organizations; Depository Trust Company; Notice of Designation of Longer Period for Commission Action on Proposed Rule Change Relating to Confidential Information, Market Disruption Events, Systems Disconnect, and Other Changes2021-08-31T00:00:00-07:002021-08-31T00:00:00-07:002021-18670Noticehttps://www.govinfo.gov/content/pkg/FR-2021-08-31/pdf/2021-18670.pdfhttps://regulations.justia.com/regulations/fedreg/2021/08/30/2021-18756.htmlNotice - Sunshine Act Meetings2021-08-30T00:00:00-07:002021-08-30T00:00:00-07:002021-18756Noticehttps://www.govinfo.gov/content/pkg/FR-2021-08-30/pdf/2021-18756.pdfhttps://regulations.justia.com/regulations/fedreg/2021/08/30/2021-18554.htmlNotice - Self-Regulatory Organizations; Cboe Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Fees Schedule Regarding Executions in the Cboe Compression Service2021-08-30T00:00:00-07:002021-08-30T00:00:00-07:002021-18554Noticehttps://www.govinfo.gov/content/pkg/FR-2021-08-30/pdf/2021-18554.pdfhttps://regulations.justia.com/regulations/fedreg/2021/08/30/2021-18553.htmlNotice - Self-Regulatory Organizations; The Nasdaq Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend General 9, Section 51, Research Analysts2021-08-30T00:00:00-07:002021-08-30T00:00:00-07:002021-18553Noticehttps://www.govinfo.gov/content/pkg/FR-2021-08-30/pdf/2021-18553.pdfhttps://regulations.justia.com/regulations/fedreg/2021/08/30/2021-18552.htmlNotice - Self-Regulatory Organizations; Nasdaq BX, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend General 9, Section 51, Research Analysts2021-08-30T00:00:00-07:002021-08-30T00:00:00-07:002021-18552Noticehttps://www.govinfo.gov/content/pkg/FR-2021-08-30/pdf/2021-18552.pdfhttps://regulations.justia.com/regulations/fedreg/2021/08/27/2021-18464.htmlNotice - Self-Regulatory Organizations; Cboe Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating To Amend Rule 5.332021-08-27T00:00:00-07:002021-08-27T00:00:00-07:002021-18464Noticehttps://www.govinfo.gov/content/pkg/FR-2021-08-27/pdf/2021-18464.pdfhttps://regulations.justia.com/regulations/fedreg/2021/08/27/2021-18463.htmlNotice - Self-Regulatory Organizations: MIAX PEARL, LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the MIAX Pearl Options Fee Schedule To Adjust the Options Regulatory Fee2021-08-27T00:00:00-07:002021-08-27T00:00:00-07:002021-18463Noticehttps://www.govinfo.gov/content/pkg/FR-2021-08-27/pdf/2021-18463.pdfhttps://regulations.justia.com/regulations/fedreg/2021/08/27/2021-18462.htmlNotice - Self-Regulatory Organizations: MIAX Emerald, LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Its Fee Schedule To Adjust the Options Regulatory Fee2021-08-27T00:00:00-07:002021-08-27T00:00:00-07:002021-18462Noticehttps://www.govinfo.gov/content/pkg/FR-2021-08-27/pdf/2021-18462.pdfhttps://regulations.justia.com/regulations/fedreg/2021/08/27/2021-18461.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 To Adjust the Options Regulatory Fee2021-08-27T00:00:00-07:002021-08-27T00:00:00-07:002021-18461Noticehttps://www.govinfo.gov/content/pkg/FR-2021-08-27/pdf/2021-18461.pdfhttps://regulations.justia.com/regulations/fedreg/2021/08/27/2021-18460.htmlNotice - Self-Regulatory Organizations; BOX Exchange LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the Response Time Period in the Facilitation and Solicitation Auction Mechanisms2021-08-27T00:00:00-07:002021-08-27T00:00:00-07:002021-18460Noticehttps://www.govinfo.gov/content/pkg/FR-2021-08-27/pdf/2021-18460.pdfhttps://regulations.justia.com/regulations/fedreg/2021/08/27/2021-18459.htmlNotice - Self-Regulatory Organizations; LCH SA; Notice of Filing of Proposed Rule Change Relating to Eligible Collateral and Liquidity Risk Management2021-08-27T00:00:00-07:002021-08-27T00:00:00-07:002021-18459Noticehttps://www.govinfo.gov/content/pkg/FR-2021-08-27/pdf/2021-18459.pdfhttps://regulations.justia.com/regulations/fedreg/2021/08/27/2021-18458.htmlNotice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Designation of a Longer Period for Commission Action on a Proposed Rule Change To List and Trade Shares of the NYDIG Bitcoin ETF Under NYSE Arca Rule 8.201-E2021-08-27T00:00:00-07:002021-08-27T00:00:00-07:002021-18458Noticehttps://www.govinfo.gov/content/pkg/FR-2021-08-27/pdf/2021-18458.pdfhttps://regulations.justia.com/regulations/fedreg/2021/08/27/2021-18457.htmlNotice - Self-Regulatory Organizations; Cboe BZX Exchange, Inc.; Order Instituting Proceedings To Determine Whether To Approve or Disapprove a Proposed Rule Change To List and Trade Shares of the Wise Origin Bitcoin Trust Under BZX Rule 14.11(e)(4), Commodity-Based Trust Shares2021-08-27T00:00:00-07:002021-08-27T00:00:00-07:002021-18457Noticehttps://www.govinfo.gov/content/pkg/FR-2021-08-27/pdf/2021-18457.pdfhttps://regulations.justia.com/regulations/fedreg/2021/08/26/2021-18425.htmlRule - Freedom of Information Act Regulations2021-08-26T00:00:00-07:002021-08-26T00:00:00-07:002021-18425Rulehttps://www.govinfo.gov/content/pkg/FR-2021-08-26/pdf/2021-18425.pdfhttps://regulations.justia.com/regulations/fedreg/2021/08/26/2021-18402.htmlNotice - Order Making Fiscal Year 2022 Annual Adjustments to Registration Fee Rates2021-08-26T00:00:00-07:002021-08-26T00:00:00-07:002021-18402Noticehttps://www.govinfo.gov/content/pkg/FR-2021-08-26/pdf/2021-18402.pdfhttps://regulations.justia.com/regulations/fedreg/2021/08/26/2021-18348.htmlNotice - Self-Regulatory Organizations; NYSE Arca, Inc.; Order Instituting Proceedings To Determine Whether To Approve or Disapprove a Proposed Rule Change To List and Trade Shares of the First Trust SkyBridge Bitcoin ETF Trust Under NYSE Arca Rule 8.201-E2021-08-26T00:00:00-07:002021-08-26T00:00:00-07:002021-18348Noticehttps://www.govinfo.gov/content/pkg/FR-2021-08-26/pdf/2021-18348.pdfhttps://regulations.justia.com/regulations/fedreg/2021/08/26/2021-18347.htmlNotice - Self-Regulatory Organizations; Cboe Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Its Fees Schedule With Respect to Its Strategy Fee Cap2021-08-26T00:00:00-07:002021-08-26T00:00:00-07:002021-18347Noticehttps://www.govinfo.gov/content/pkg/FR-2021-08-26/pdf/2021-18347.pdfhttps://regulations.justia.com/regulations/fedreg/2021/08/26/2021-18346.htmlNotice - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc., Inc.; Notice of Filing of Amendment No. 1 and Order Instituting Proceedings To Determine Whether To Approve or Disapprove a Proposed Rule Change, as Modified by Amendment No. 1, To Amend the Requirements for Covered Agency Transactions Under FINRA Rule 4210 (Margin Requirements) as Approved Pursuant to SR-FINRA-2015-0362021-08-26T00:00:00-07:002021-08-26T00:00:00-07:002021-18346Noticehttps://www.govinfo.gov/content/pkg/FR-2021-08-26/pdf/2021-18346.pdfhttps://regulations.justia.com/regulations/fedreg/2021/08/26/2021-18345.htmlNotice - Self-Regulatory Organizations; Cboe BZX Exchange, Inc.; Notice of Withdrawal of a Proposed Rule Change To Exclude a National Best Bid or Offer From the Calculation of the BZX Official Closing Price, as Provided in Rule 11.23(c)(2)(B)(ii)(b), That Is Outside the Bands Provided Under the Plan To Address Extraordinary Market Volatility2021-08-26T00:00:00-07:002021-08-26T00:00:00-07:002021-18345Noticehttps://www.govinfo.gov/content/pkg/FR-2021-08-26/pdf/2021-18345.pdfhttps://regulations.justia.com/regulations/fedreg/2021/08/26/2021-18335.htmlNotice - Notice of Substituted Compliance Application Submitted by the Spanish 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 Kingdom of Spain; Proposed Order2021-08-26T00:00:00-07:002021-08-26T00:00:00-07:002021-18335Noticehttps://www.govinfo.gov/content/pkg/FR-2021-08-26/pdf/2021-18335.pdfhttps://regulations.justia.com/regulations/fedreg/2021/08/25/2021-18237.htmlNotice - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Order Approving a Proposed Rule Change To Amend FINRA Rule 1011(p) (“Specified Risk Event”)2021-08-25T00:00:00-07:002021-08-25T00:00:00-07:002021-18237Noticehttps://www.govinfo.gov/content/pkg/FR-2021-08-25/pdf/2021-18237.pdfhttps://regulations.justia.com/regulations/fedreg/2021/08/25/2021-18236.htmlNotice - Self-Regulatory Organizations; Cboe Exchange, Inc.; Notice of Filing of a Proposed Rule Change To Amend Rule 5.4 and Make Corresponding Changes to Other Rules2021-08-25T00:00:00-07:002021-08-25T00:00:00-07:002021-18236Noticehttps://www.govinfo.gov/content/pkg/FR-2021-08-25/pdf/2021-18236.pdfhttps://regulations.justia.com/regulations/fedreg/2021/08/24/2021-18123.htmlNotice - Self-Regulatory Organizations; Cboe Exchange, Inc.; Notice of Filing and Order Granting Accelerated Approval of a Proposed Rule Change To Amend Rule 13.15, Which Governs the Exchange's Minor Rule Violation Plan2021-08-24T00:00:00-07:002021-08-24T00:00:00-07:002021-18123Noticehttps://www.govinfo.gov/content/pkg/FR-2021-08-24/pdf/2021-18123.pdfhttps://regulations.justia.com/regulations/fedreg/2021/08/24/2021-18122.htmlNotice - Self-Regulatory Organizations; Nasdaq GEMX, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend GEMX's Options Regulatory Fee2021-08-24T00:00:00-07:002021-08-24T00:00:00-07:002021-18122Noticehttps://www.govinfo.gov/content/pkg/FR-2021-08-24/pdf/2021-18122.pdfhttps://regulations.justia.com/regulations/fedreg/2021/08/24/2021-18121.htmlNotice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Designation of a Longer Period for Commission Action on a Proposed Rule Change for New Rules 6.1P-O, 6.37AP-O, 6.40P-O, 6.41P-O, 6.62P-O, 6.64P-O, 6.76P-O, and 6.76AP-O and Amendments to Rules 1.1, 6.1-O, 6.1A-O, 6.37-O, 6.65A-O and 6.96-O2021-08-24T00:00:00-07:002021-08-24T00:00:00-07:002021-18121Noticehttps://www.govinfo.gov/content/pkg/FR-2021-08-24/pdf/2021-18121.pdfhttps://regulations.justia.com/regulations/fedreg/2021/08/24/2021-18120.htmlNotice - Self-Regulatory Organizations; Cboe BZX Exchange, Inc.; Notice of Filing of a Proposed Rule Change To Allow the Invesco Focused Discovery Growth ETF and Invesco Select Growth ETF To Strike and Publish an Intra-Day NAV and an End-of-Day NAV2021-08-24T00:00:00-07:002021-08-24T00:00:00-07:002021-18120Noticehttps://www.govinfo.gov/content/pkg/FR-2021-08-24/pdf/2021-18120.pdfhttps://regulations.justia.com/regulations/fedreg/2021/08/24/2021-18119.htmlNotice - Self-Regulatory Organizations; New York Stock Exchange LLC; Order Disapproving a Proposed Rule Change To Amend Its Rules Establishing Maximum Fee Rates To Be Charged by Member Organizations for Forwarding Proxy and Other Materials to Beneficial Owners2021-08-24T00:00:00-07:002021-08-24T00:00:00-07:002021-18119Noticehttps://www.govinfo.gov/content/pkg/FR-2021-08-24/pdf/2021-18119.pdfhttps://regulations.justia.com/regulations/fedreg/2021/08/24/2021-18118.htmlNotice - Self-Regulatory Organizations; The Nasdaq Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Options 3, Section 17 (Kill Switch)2021-08-24T00:00:00-07:002021-08-24T00:00:00-07:002021-18118Noticehttps://www.govinfo.gov/content/pkg/FR-2021-08-24/pdf/2021-18118.pdfhttps://regulations.justia.com/regulations/fedreg/2021/08/24/2021-18117.htmlNotice - Self-Regulatory Organizations; Nasdaq PHLX LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Phlx Rules at Options 8, Section 34, FLEX Index, Equity, and Currency Options, To Extend the Maximum Expiration Term for FLEX Index and Equity Options2021-08-24T00:00:00-07:002021-08-24T00:00:00-07:002021-18117Noticehttps://www.govinfo.gov/content/pkg/FR-2021-08-24/pdf/2021-18117.pdfhttps://regulations.justia.com/regulations/fedreg/2021/08/24/2021-18109.htmlNotice - Submission for OMB Review; Comment Request2021-08-24T00:00:00-07:002021-08-24T00:00:00-07:002021-18109Noticehttps://www.govinfo.gov/content/pkg/FR-2021-08-24/pdf/2021-18109.pdfhttps://regulations.justia.com/regulations/fedreg/2021/08/24/2021-18106.htmlNotice - Submission for OMB Review; Comment Request2021-08-24T00:00:00-07:002021-08-24T00:00:00-07:002021-18106Noticehttps://www.govinfo.gov/content/pkg/FR-2021-08-24/pdf/2021-18106.pdfhttps://regulations.justia.com/regulations/fedreg/2021/08/24/2021-18105.htmlNotice - Submission for OMB Review; Comment Request2021-08-24T00:00:00-07:002021-08-24T00:00:00-07:002021-18105Noticehttps://www.govinfo.gov/content/pkg/FR-2021-08-24/pdf/2021-18105.pdfhttps://regulations.justia.com/regulations/fedreg/2021/08/23/2021-18218.htmlNotice - Sunshine Act Meetings2021-08-23T00:00:00-07:002021-08-23T00:00:00-07:002021-18218Noticehttps://www.govinfo.gov/content/pkg/FR-2021-08-23/pdf/2021-18218.pdfhttps://regulations.justia.com/regulations/fedreg/2021/08/23/2021-18173.htmlNotice - Sunshine Act Meeting; Cancellation2021-08-23T00:00:00-07:002021-08-23T00:00:00-07:002021-18173Noticehttps://www.govinfo.gov/content/pkg/FR-2021-08-23/pdf/2021-18173.pdfhttps://regulations.justia.com/regulations/fedreg/2021/08/23/2021-17966.htmlNotice - Self-Regulatory Organizations; the Options Clearing Corporation; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Make Technical Changes to the By-Laws and Rules of the Options Clearing Corporation2021-08-23T00:00:00-07:002021-08-23T00:00:00-07:002021-17966Noticehttps://www.govinfo.gov/content/pkg/FR-2021-08-23/pdf/2021-17966.pdfhttps://regulations.justia.com/regulations/fedreg/2021/08/23/2021-17965.htmlNotice - Self-Regulatory Organizations; Cboe BZX Exchange, Inc.; Notice of Filing of a Proposed Rule Change To List and Trade Shares of the Global X Bitcoin Trust Under BZX Rule 14.11(e)(4), Commodity-Based Trust Shares2021-08-23T00:00:00-07:002021-08-23T00:00:00-07:002021-17965Noticehttps://www.govinfo.gov/content/pkg/FR-2021-08-23/pdf/2021-17965.pdfhttps://regulations.justia.com/regulations/fedreg/2021/08/23/2021-17964.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-2020-0272021-08-23T00:00:00-07:002021-08-23T00:00:00-07:002021-17964Noticehttps://www.govinfo.gov/content/pkg/FR-2021-08-23/pdf/2021-17964.pdfhttps://regulations.justia.com/regulations/fedreg/2021/08/23/2021-17963.htmlNotice - Self-Regulatory Organizations; National Securities Clearing Corporation; Order Approving a Proposed Rule Change To Modify the Rules & Procedures of National Securities Clearing Corporation in Connection With the Implementation of Section 1446(f) of the Internal Revenue Code of 19862021-08-23T00:00:00-07:002021-08-23T00:00:00-07:002021-17963Noticehttps://www.govinfo.gov/content/pkg/FR-2021-08-23/pdf/2021-17963.pdfhttps://regulations.justia.com/regulations/fedreg/2021/08/20/2021-17830.htmlNotice - Self-Regulatory Organizations; Municipal Securities Rulemaking Board; Notice of Filing of a Proposed Rule Change Consisting of Amendments to Rule G-10, on Investor and Municipal Advisory Client Education and Protection, and Rule G-48, on Transactions With Sophisticated Municipal Market Professionals, To Amend Certain Dealer Obligations2021-08-20T00:00:00-07:002021-08-20T00:00:00-07:002021-17830Noticehttps://www.govinfo.gov/content/pkg/FR-2021-08-20/pdf/2021-17830.pdfhttps://regulations.justia.com/regulations/fedreg/2021/08/19/2021-17762.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 To Adopt a Tiered-Pricing Structure for Additional Limited Service MIAX Express Interface Ports2021-08-19T00:00:00-07:002021-08-19T00:00:00-07:002021-17762Noticehttps://www.govinfo.gov/content/pkg/FR-2021-08-19/pdf/2021-17762.pdfhttps://regulations.justia.com/regulations/fedreg/2021/08/19/2021-17761.htmlNotice - Self-Regulatory Organizations; The Nasdaq Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Listing Rule 5910 To Modify the Application Fee for Companies Listing Under IM-5101-22021-08-19T00:00:00-07:002021-08-19T00:00:00-07:002021-17761Noticehttps://www.govinfo.gov/content/pkg/FR-2021-08-19/pdf/2021-17761.pdfhttps://regulations.justia.com/regulations/fedreg/2021/08/19/2021-17760.htmlNotice - Self-Regulatory Organizations; New York Stock Exchange LLC; Order Granting Approval of Proposed Rule Change, as Modified by Amendment Nos. 2 and 3, To Amend Its Rules To Prohibit Member Organizations From Seeking Reimbursement, in Certain Circumstances, From Issuers for Forwarding Proxy and Other Materials to Beneficial Owners2021-08-19T00:00:00-07:002021-08-19T00:00:00-07:002021-17760Noticehttps://www.govinfo.gov/content/pkg/FR-2021-08-19/pdf/2021-17760.pdfhttps://regulations.justia.com/regulations/fedreg/2021/08/19/2021-17759.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 a Tiered-Pricing Structure for Additional Limited Service MIAX Emerald Express Interface Ports2021-08-19T00:00:00-07:002021-08-19T00:00:00-07:002021-17759Noticehttps://www.govinfo.gov/content/pkg/FR-2021-08-19/pdf/2021-17759.pdfhttps://regulations.justia.com/regulations/fedreg/2021/08/19/2021-17758.htmlNotice - Self-Regulatory Organizations; The Nasdaq Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the Expiration Timeframe of Long-Term Index Options Series2021-08-19T00:00:00-07:002021-08-19T00:00:00-07:002021-17758Noticehttps://www.govinfo.gov/content/pkg/FR-2021-08-19/pdf/2021-17758.pdfhttps://regulations.justia.com/regulations/fedreg/2021/08/19/2021-17757.htmlNotice - Self-Regulatory Organizations; NYSE American LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Rule 952NY To Provide an Option for ATP Holders To Instruct the Exchange To Cancel Marketable Orders if a Series Is Not Opened Within a Specified Time Period2021-08-19T00:00:00-07:002021-08-19T00:00:00-07:002021-17757Noticehttps://www.govinfo.gov/content/pkg/FR-2021-08-19/pdf/2021-17757.pdfhttps://regulations.justia.com/regulations/fedreg/2021/08/19/2021-17756.htmlNotice - Self-Regulatory Organizations; Nasdaq BX, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the Expiration Timeframe of Long-Term Index Options Series2021-08-19T00:00:00-07:002021-08-19T00:00:00-07:002021-17756Noticehttps://www.govinfo.gov/content/pkg/FR-2021-08-19/pdf/2021-17756.pdfhttps://regulations.justia.com/regulations/fedreg/2021/08/18/2021-17673.htmlNotice - Self-Regulatory Organizations; NYSEARCA, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Rule 7.34-E2021-08-18T00:00:00-07:002021-08-18T00:00:00-07:002021-17673Noticehttps://www.govinfo.gov/content/pkg/FR-2021-08-18/pdf/2021-17673.pdfhttps://regulations.justia.com/regulations/fedreg/2021/08/18/2021-17672.htmlNotice - Self-Regulatory Organizations; Nasdaq PHLX LLC; Notice of Filing of Proposed Rule Change To Permit Monday and Wednesday Expirations for Options Listed Pursuant to the Short Term Option Series Program on the iShares Russell 2000 ETF (“IWM”)2021-08-18T00:00:00-07:002021-08-18T00:00:00-07:002021-17672Noticehttps://www.govinfo.gov/content/pkg/FR-2021-08-18/pdf/2021-17672.pdfhttps://regulations.justia.com/regulations/fedreg/2021/08/18/2021-17671.htmlNotice - Self-Regulatory Organizations; ICE Clear Europe Limited; Notice of Filing of Proposed Rule Change, as Modified by Partial Amendment No. 1, Relating to the ICE Clear Europe Clearing Membership Policy and Clearing Membership Procedures2021-08-18T00:00:00-07:002021-08-18T00:00:00-07:002021-17671Noticehttps://www.govinfo.gov/content/pkg/FR-2021-08-18/pdf/2021-17671.pdfhttps://regulations.justia.com/regulations/fedreg/2021/08/18/2021-17670.htmlNotice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing of Amendment No. 1 and Order Instituting Proceedings To Determine Whether To Approve or Disapprove a Proposed Rule Change, as Modified by Amendment No. 1, To List and Trade Shares of ConvexityShares Daily 1.5x SPIKES Futures ETF Under NYSE Arca Rule 8.200-E (Trust Issued Receipts)2021-08-18T00:00:00-07:002021-08-18T00:00:00-07:002021-17670Noticehttps://www.govinfo.gov/content/pkg/FR-2021-08-18/pdf/2021-17670.pdfhttps://regulations.justia.com/regulations/fedreg/2021/08/18/2021-17669.htmlNotice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing of Amendment No. 1 and Order Instituting Proceedings To Determine Whether To Approve or Disapprove a Proposed Rule Change, as Modified by Amendment No. 1, To List and Trade Shares of ConvexityShares 1x SPIKES Futures ETF Under NYSE Arca Rule 8.200-E (Trust Issued Receipts)2021-08-18T00:00:00-07:002021-08-18T00:00:00-07:002021-17669Noticehttps://www.govinfo.gov/content/pkg/FR-2021-08-18/pdf/2021-17669.pdfhttps://regulations.justia.com/regulations/fedreg/2021/08/18/2021-17668.htmlNotice - Self-Regulatory Organizations; The Nasdaq Stock Market LLC; Notice of Designation of a Longer Period for Commission Action on a Proposed Rule Change To Modify Certain Pricing Limitations for Companies Listing in Connection With a Direct Listing Primary Offering2021-08-18T00:00:00-07:002021-08-18T00:00:00-07:002021-17668Noticehttps://www.govinfo.gov/content/pkg/FR-2021-08-18/pdf/2021-17668.pdfhttps://regulations.justia.com/regulations/fedreg/2021/08/18/2021-17667.htmlNotice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the NYSE Arca Equities Fees and Charges2021-08-18T00:00:00-07:002021-08-18T00:00:00-07:002021-17667Noticehttps://www.govinfo.gov/content/pkg/FR-2021-08-18/pdf/2021-17667.pdfhttps://regulations.justia.com/regulations/fedreg/2021/08/18/2021-17644.htmlNotice - Notice of Application for the Amendment of Substituted Compliance Determination Regarding Security-Based Swap Entities Subject to Regulation in the Federal Republic of Germany; Proposed Amendments to Order2021-08-18T00:00:00-07:002021-08-18T00:00:00-07:002021-17644Noticehttps://www.govinfo.gov/content/pkg/FR-2021-08-18/pdf/2021-17644.pdfhttps://regulations.justia.com/regulations/fedreg/2021/08/17/2021-17542.htmlNotice - Self-Regulatory Organizations; Miami International Securities Exchange LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the MIAX Fee Schedule To Adopt a Tiered-Pricing Structure for Certain Connectivity Fees2021-08-17T00:00:00-07:002021-08-17T00:00:00-07:002021-17542Noticehttps://www.govinfo.gov/content/pkg/FR-2021-08-17/pdf/2021-17542.pdfhttps://regulations.justia.com/regulations/fedreg/2021/08/17/2021-17541.htmlNotice - Self-Regulatory Organizations; National Securities Clearing Corporation; Notice of Filing of Partial Amendment No. 1 and Order Granting Accelerated Approval of Proposed Rule Change, as Modified by Partial Amendment No. 1, To Increase the National Securities Clearing Corporation's Minimum Required Fund Deposit2021-08-17T00:00:00-07:002021-08-17T00:00:00-07:002021-17541Noticehttps://www.govinfo.gov/content/pkg/FR-2021-08-17/pdf/2021-17541.pdfhttps://regulations.justia.com/regulations/fedreg/2021/08/17/2021-17540.htmlNotice - Self-Regulatory Organizations; The Nasdaq Stock Market LLC; Notice of Designation of a Longer Period for Commission Action on Proceedings To Determine Whether To Approve or Disapprove a Proposed Rule Change To Adopt Additional Initial Listing Criteria for Companies Primarily Operating in Jurisdictions That Do Not Provide the PCAOB With the Ability To Inspect Public Accounting Firms2021-08-17T00:00:00-07:002021-08-17T00:00:00-07:002021-17540Noticehttps://www.govinfo.gov/content/pkg/FR-2021-08-17/pdf/2021-17540.pdfhttps://regulations.justia.com/regulations/fedreg/2021/08/17/2021-17539.htmlNotice - Self-Regulatory Organizations; MIAX Emerald, LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the MIAX Emerald Fee Schedule To Adopt a Tiered-Pricing Structure for Certain Connectivity Fees2021-08-17T00:00:00-07:002021-08-17T00:00:00-07:002021-17539Noticehttps://www.govinfo.gov/content/pkg/FR-2021-08-17/pdf/2021-17539.pdfhttps://regulations.justia.com/regulations/fedreg/2021/08/17/2021-17538.htmlNotice - Self-Regulatory Organizations; Cboe BZX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Its Fee Schedule2021-08-17T00:00:00-07:002021-08-17T00:00:00-07:002021-17538Noticehttps://www.govinfo.gov/content/pkg/FR-2021-08-17/pdf/2021-17538.pdfhttps://regulations.justia.com/regulations/fedreg/2021/08/17/2021-17537.htmlNotice - Self-Regulatory Organizations; MIAX PEARL, LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the MIAX Pearl Options Fee Schedule To Adopt a Tiered-Pricing Structure for Certain Connectivity Fees2021-08-17T00:00:00-07:002021-08-17T00:00:00-07:002021-17537Noticehttps://www.govinfo.gov/content/pkg/FR-2021-08-17/pdf/2021-17537.pdfhttps://regulations.justia.com/regulations/fedreg/2021/08/17/2021-17533.htmlNotice - Proposed Collection; Comment Request2021-08-17T00:00:00-07:002021-08-17T00:00:00-07:002021-17533Noticehttps://www.govinfo.gov/content/pkg/FR-2021-08-17/pdf/2021-17533.pdfhttps://regulations.justia.com/regulations/fedreg/2021/08/16/2021-17624.htmlNotice - Sunshine Act Meetings2021-08-16T00:00:00-07:002021-08-16T00:00:00-07:002021-17624Noticehttps://www.govinfo.gov/content/pkg/FR-2021-08-16/pdf/2021-17624.pdfhttps://regulations.justia.com/regulations/fedreg/2021/08/16/2021-17424.htmlNotice - Notice of Substituted Compliance Application Submitted by UBS AG and Credit Suisse AG in Connection With Certain Requirements Applicable to Non-U.S. Security-Based Swap Dealers Subject to Regulation in the Swiss Confederation; Proposed Order2021-08-16T00:00:00-07:002021-08-16T00:00:00-07:002021-17424Noticehttps://www.govinfo.gov/content/pkg/FR-2021-08-16/pdf/2021-17424.pdfhttps://regulations.justia.com/regulations/fedreg/2021/08/16/2021-17412.htmlNotice - Self-Regulatory Organizations; Cboe BZX Exchange, Inc.; Notice of Filing of a Proposed Rule Change To Amend Rule 14.11(m) (Tracking Fund Shares) To Provide for the Use of Custom Baskets Consistent With the Exemptive Relief Issued Pursuant to the Investment Company Act of 1940 Applicable to a Series of Tracking Fund Shares2021-08-16T00:00:00-07:002021-08-16T00:00:00-07:002021-17412Noticehttps://www.govinfo.gov/content/pkg/FR-2021-08-16/pdf/2021-17412.pdfhttps://regulations.justia.com/regulations/fedreg/2021/08/16/2021-16960.htmlRule - Recordkeeping and Reporting Requirements for Security-Based Swap Dealers, Major Security-Based Swap Participants, and Broker-Dealers; Correction2021-08-16T00:00:00-07:002021-08-16T00:00:00-07:002021-16960Rulehttps://www.govinfo.gov/content/pkg/FR-2021-08-16/pdf/2021-16960.pdfhttps://regulations.justia.com/regulations/fedreg/2021/08/12/2021-17179.htmlNotice - Self-Regulatory Organizations; The Nasdaq Stock Market LLC; Order Approving 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 Service2021-08-12T00:00:00-07:002021-08-12T00:00:00-07:002021-17179Noticehttps://www.govinfo.gov/content/pkg/FR-2021-08-12/pdf/2021-17179.pdfhttps://regulations.justia.com/regulations/fedreg/2021/08/12/2021-17178.htmlNotice - Self-Regulatory Organizations; Cboe EDGX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Its Fee Schedule2021-08-12T00:00:00-07:002021-08-12T00:00:00-07:002021-17178Noticehttps://www.govinfo.gov/content/pkg/FR-2021-08-12/pdf/2021-17178.pdfhttps://regulations.justia.com/regulations/fedreg/2021/08/12/2021-17177.htmlNotice - Self-Regulatory Organizations; The Nasdaq Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend NOM's Options Regulatory Fee2021-08-12T00:00:00-07:002021-08-12T00:00:00-07:002021-17177Noticehttps://www.govinfo.gov/content/pkg/FR-2021-08-12/pdf/2021-17177.pdfhttps://regulations.justia.com/regulations/fedreg/2021/08/12/2021-17176.htmlNotice - Self-Regulatory Organizations; NYSE American LLC; Notice of Filing and Immediate Effectiveness of Proposed Change To Amend the NYSE American Equities Price List and Fee Schedule2021-08-12T00:00:00-07:002021-08-12T00:00:00-07:002021-17176Noticehttps://www.govinfo.gov/content/pkg/FR-2021-08-12/pdf/2021-17176.pdfhttps://regulations.justia.com/regulations/fedreg/2021/08/12/2021-17175.htmlNotice - Self-Regulatory Organizations; Cboe Exchange, Inc.; Notice of Filing of a Proposed Rule Change To Amend Certain Rules To Accommodate the Listing and Trading of Micro FLEX Index Options and To Make Other Clarifying and Nonsubstantive Changes2021-08-12T00:00:00-07:002021-08-12T00:00:00-07:002021-17175Noticehttps://www.govinfo.gov/content/pkg/FR-2021-08-12/pdf/2021-17175.pdfhttps://regulations.justia.com/regulations/fedreg/2021/08/12/2021-17174.htmlNotice - Self-Regulatory Organizations; Cboe C2 Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Its Fees Schedule Relating to the Options Regulatory Fee2021-08-12T00:00:00-07:002021-08-12T00:00:00-07:002021-17174Noticehttps://www.govinfo.gov/content/pkg/FR-2021-08-12/pdf/2021-17174.pdfhttps://regulations.justia.com/regulations/fedreg/2021/08/12/2021-17173.htmlNotice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing of Proposed Rule Change To Amend Rule 8.601-E (Active Proxy Portfolio Shares) To Provide for the Use of Custom Baskets2021-08-12T00:00:00-07:002021-08-12T00:00:00-07:002021-17173Noticehttps://www.govinfo.gov/content/pkg/FR-2021-08-12/pdf/2021-17173.pdfhttps://regulations.justia.com/regulations/fedreg/2021/08/12/2021-17172.htmlNotice - Self-Regulatory Organizations; Cboe Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Its Fees Schedule Relating to the Options Regulatory Fee2021-08-12T00:00:00-07:002021-08-12T00:00:00-07:002021-17172Noticehttps://www.govinfo.gov/content/pkg/FR-2021-08-12/pdf/2021-17172.pdfhttps://regulations.justia.com/regulations/fedreg/2021/08/12/2021-17170.htmlNotice - Self-Regulatory Organizations; Cboe BZX Exchange, Inc.; Notice of Designation of a Longer Period for Commission Action on Proceedings To Determine Whether To Approve or Disapprove a Proposed Rule Change To Allow Invesco Focused Discovery Growth ETF and Invesco Select Growth ETF To Strike and Publish Multiple Intraday Net Asset Values2021-08-12T00:00:00-07:002021-08-12T00:00:00-07:002021-17170Noticehttps://www.govinfo.gov/content/pkg/FR-2021-08-12/pdf/2021-17170.pdfhttps://regulations.justia.com/regulations/fedreg/2021/08/12/2021-17161.htmlNotice - Proposed Collection[s]; Comment Request2021-08-12T00:00:00-07:002021-08-12T00:00:00-07:002021-17161Noticehttps://www.govinfo.gov/content/pkg/FR-2021-08-12/pdf/2021-17161.pdfhttps://regulations.justia.com/regulations/fedreg/2021/08/12/2021-17160.htmlNotice - Proposed Collection; Comment Request2021-08-12T00:00:00-07:002021-08-12T00:00:00-07:002021-17160Noticehttps://www.govinfo.gov/content/pkg/FR-2021-08-12/pdf/2021-17160.pdfhttps://regulations.justia.com/regulations/fedreg/2021/08/12/2021-17159.htmlNotice - Proposed Collection; Comment Request2021-08-12T00:00:00-07:002021-08-12T00:00:00-07:002021-17159Noticehttps://www.govinfo.gov/content/pkg/FR-2021-08-12/pdf/2021-17159.pdfhttps://regulations.justia.com/regulations/fedreg/2021/08/12/2021-17158.htmlNotice - Proposed Collection; Comment Request2021-08-12T00:00:00-07:002021-08-12T00:00:00-07:002021-17158Noticehttps://www.govinfo.gov/content/pkg/FR-2021-08-12/pdf/2021-17158.pdfhttps://regulations.justia.com/regulations/fedreg/2021/08/12/2021-17157.htmlNotice - Proposed Collection; Comment Request2021-08-12T00:00:00-07:002021-08-12T00:00:00-07:002021-17157Noticehttps://www.govinfo.gov/content/pkg/FR-2021-08-12/pdf/2021-17157.pdfhttps://regulations.justia.com/regulations/fedreg/2021/08/12/2021-17156.htmlNotice - Proposed Collection; Comment Request2021-08-12T00:00:00-07:002021-08-12T00:00:00-07:002021-17156Noticehttps://www.govinfo.gov/content/pkg/FR-2021-08-12/pdf/2021-17156.pdfhttps://regulations.justia.com/regulations/fedreg/2021/08/12/2021-17155.htmlNotice - Proposed Collection; Comment Request2021-08-12T00:00:00-07:002021-08-12T00:00:00-07:002021-17155Noticehttps://www.govinfo.gov/content/pkg/FR-2021-08-12/pdf/2021-17155.pdfhttps://regulations.justia.com/regulations/fedreg/2021/08/12/2021-17154.htmlNotice - Proposed Collection; Comment Request2021-08-12T00:00:00-07:002021-08-12T00:00:00-07:002021-17154Noticehttps://www.govinfo.gov/content/pkg/FR-2021-08-12/pdf/2021-17154.pdfhttps://regulations.justia.com/regulations/fedreg/2021/08/12/2021-17153.htmlNotice - Proposed Collection; Comment Request2021-08-12T00:00:00-07:002021-08-12T00:00:00-07:002021-17153Noticehttps://www.govinfo.gov/content/pkg/FR-2021-08-12/pdf/2021-17153.pdfhttps://regulations.justia.com/regulations/fedreg/2021/08/12/2021-17076.htmlNotice - Self-Regulatory Organizations; National Securities Clearing Corporation; Notice of Filing of Proposed Rule Change To Establish the Securities Financing Transaction Clearing Service and Make Other Changes2021-08-12T00:00:00-07:002021-08-12T00:00:00-07:002021-17076Noticehttps://www.govinfo.gov/content/pkg/FR-2021-08-12/pdf/2021-17076.pdfhttps://regulations.justia.com/regulations/fedreg/2021/08/12/2021-17075.htmlNotice - Self-Regulatory Organizations; National Securities Clearing Corporation; Notice of Filing of Advance Notice to Establish the Securities Financing Transaction Clearing Service and Make Other Changes2021-08-12T00:00:00-07:002021-08-12T00:00:00-07:002021-17075Noticehttps://www.govinfo.gov/content/pkg/FR-2021-08-12/pdf/2021-17075.pdfhttps://regulations.justia.com/regulations/fedreg/2021/08/11/2021-17113.htmlNotice - Joint Industry Plan; Order Approving, as Modified, a National Market System Plan Regarding Consolidated Equity Market Data2021-08-11T00:00:00-07:002021-08-11T00:00:00-07:002021-17113Noticehttps://www.govinfo.gov/content/pkg/FR-2021-08-11/pdf/2021-17113.pdfhttps://regulations.justia.com/regulations/fedreg/2021/08/11/2021-17089.htmlNotice - Self-Regulatory Organizations; Nasdaq PHLX LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Phlx's Options Regulatory Fee2021-08-11T00:00:00-07:002021-08-11T00:00:00-07:002021-17089Noticehttps://www.govinfo.gov/content/pkg/FR-2021-08-11/pdf/2021-17089.pdfhttps://regulations.justia.com/regulations/fedreg/2021/08/11/2021-17088.htmlNotice - Self-Regulatory Organizations; The Options Clearing Corporation; Notice of Filing of Proposed Rule Change Concerning The Options Clearing Corporation's Governance Arrangements2021-08-11T00:00:00-07:002021-08-11T00:00:00-07:002021-17088Noticehttps://www.govinfo.gov/content/pkg/FR-2021-08-11/pdf/2021-17088.pdfhttps://regulations.justia.com/regulations/fedreg/2021/08/11/2021-17087.htmlNotice - Self-Regulatory Organizations; NYSE Arca, Inc.; Suspension of and Order Instituting Proceedings To Determine Whether To Approve or Disapprove a Proposed Rule Change To Amend the NYSE Arca Equities Fees and Charges2021-08-11T00:00:00-07:002021-08-11T00:00:00-07:002021-17087Noticehttps://www.govinfo.gov/content/pkg/FR-2021-08-11/pdf/2021-17087.pdfhttps://regulations.justia.com/regulations/fedreg/2021/08/11/2021-17086.htmlNotice - Self-Regulatory Organizations; Cboe Exchange, Inc.; Notice of Filing of Amendment No. 1 and Order Instituting Proceedings To Determine Whether To Approve or Disapprove a Proposed Rule Change, as Modified by Amendment No. 1, To Increase Position Limits for Options on Certain Exchange-Traded Funds and an Exchange-Traded Note2021-08-11T00:00:00-07:002021-08-11T00:00:00-07:002021-17086Noticehttps://www.govinfo.gov/content/pkg/FR-2021-08-11/pdf/2021-17086.pdfhttps://regulations.justia.com/regulations/fedreg/2021/08/11/2021-17085.htmlNotice - Self-Regulatory Organizations; MEMX LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Its Fee Schedule2021-08-11T00:00:00-07:002021-08-11T00:00:00-07:002021-17085Noticehttps://www.govinfo.gov/content/pkg/FR-2021-08-11/pdf/2021-17085.pdfhttps://regulations.justia.com/regulations/fedreg/2021/08/11/2021-17084.htmlNotice - Self-Regulatory Organizations; Nasdaq ISE, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend ISE's Options Regulatory Fee2021-08-11T00:00:00-07:002021-08-11T00:00:00-07:002021-17084Noticehttps://www.govinfo.gov/content/pkg/FR-2021-08-11/pdf/2021-17084.pdfhttps://regulations.justia.com/regulations/fedreg/2021/08/11/2021-17081.htmlNotice - Self-Regulatory Organizations; Cboe EDGX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Enhance and Clarify Its Price Adjust Process and Modify the Bulk Message Fat Finger Check2021-08-11T00:00:00-07:002021-08-11T00:00:00-07:002021-17081Noticehttps://www.govinfo.gov/content/pkg/FR-2021-08-11/pdf/2021-17081.pdfhttps://regulations.justia.com/regulations/fedreg/2021/08/11/2021-17080.htmlNotice - Self-Regulatory Organizations; Cboe BZX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Modify the Bulk Message Fat Finger Check2021-08-11T00:00:00-07:002021-08-11T00:00:00-07:002021-17080Noticehttps://www.govinfo.gov/content/pkg/FR-2021-08-11/pdf/2021-17080.pdfhttps://regulations.justia.com/regulations/fedreg/2021/08/11/2021-17079.htmlNotice - Self-Regulatory Organizations; Cboe C2 Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Enhance and Clarify Its Price Adjust Process and Modify the Bulk Message Fat Finger Check2021-08-11T00:00:00-07:002021-08-11T00:00:00-07:002021-17079Noticehttps://www.govinfo.gov/content/pkg/FR-2021-08-11/pdf/2021-17079.pdfhttps://regulations.justia.com/regulations/fedreg/2021/08/11/2021-17078.htmlNotice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing of a Proposed Rule Change To List and Trade Shares of Teucrium Bitcoin Futures Fund Under NYSE Arca Rule 8.200-E2021-08-11T00:00:00-07:002021-08-11T00:00:00-07:002021-17078Noticehttps://www.govinfo.gov/content/pkg/FR-2021-08-11/pdf/2021-17078.pdfhttps://regulations.justia.com/regulations/fedreg/2021/08/11/2021-17077.htmlNotice - Self-Regulatory Organizations; The Depository Trust Company; Notice of Filing of a Proposed Rule Change To Provide Settlement Services for Transactions Entered Into Under the Proposed Securities Financing Transaction Clearing Service of the National Securities Clearing Corporation2021-08-11T00:00:00-07:002021-08-11T00:00:00-07:002021-17077Noticehttps://www.govinfo.gov/content/pkg/FR-2021-08-11/pdf/2021-17077.pdfhttps://regulations.justia.com/regulations/fedreg/2021/08/11/2021-17074.htmlNotice - Self-Regulatory Organizations; National Securities Clearing Corporation; Notice of Filing of a Proposed Rule Change To Remove ID Net Transactions From the Required Fund Deposit Calculations and Make Other Changes to the Rules2021-08-11T00:00:00-07:002021-08-11T00:00:00-07:002021-17074Noticehttps://www.govinfo.gov/content/pkg/FR-2021-08-11/pdf/2021-17074.pdfhttps://regulations.justia.com/regulations/fedreg/2021/08/10/2021-16967.htmlNotice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing of Proposed Rule Change New Rule 6.91P-O2021-08-10T00:00:00-07:002021-08-10T00:00:00-07:002021-16967Noticehttps://www.govinfo.gov/content/pkg/FR-2021-08-10/pdf/2021-16967.pdfhttps://regulations.justia.com/regulations/fedreg/2021/08/10/2021-16966.htmlNotice - Self-Regulatory Organizations; Cboe Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Rules 3.31, 3.33 and 3.342021-08-10T00:00:00-07:002021-08-10T00:00:00-07:002021-16966Noticehttps://www.govinfo.gov/content/pkg/FR-2021-08-10/pdf/2021-16966.pdfhttps://regulations.justia.com/regulations/fedreg/2021/08/10/2021-16965.htmlNotice - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Order Approving a Proposed Rule Change To Adopt a Supplemental Liquidity Schedule, and Instructions Thereto, Pursuant to FINRA Rule 4524 (Supplemental FOCUS Information)2021-08-10T00:00:00-07:002021-08-10T00:00:00-07:002021-16965Noticehttps://www.govinfo.gov/content/pkg/FR-2021-08-10/pdf/2021-16965.pdfhttps://regulations.justia.com/regulations/fedreg/2021/08/10/2021-16964.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 Schedule2021-08-10T00:00:00-07:002021-08-10T00:00:00-07:002021-16964Noticehttps://www.govinfo.gov/content/pkg/FR-2021-08-10/pdf/2021-16964.pdfhttps://regulations.justia.com/regulations/fedreg/2021/08/09/2021-17001.htmlNotice - Sunshine Act Meetings2021-08-09T00:00:00-07:002021-08-09T00:00:00-07:002021-17001Noticehttps://www.govinfo.gov/content/pkg/FR-2021-08-09/pdf/2021-17001.pdfhttps://regulations.justia.com/regulations/fedreg/2021/08/09/2021-16906.htmlNotice - Submission for OMB Review; Comment Request2021-08-09T00:00:00-07:002021-08-09T00:00:00-07:002021-16906Noticehttps://www.govinfo.gov/content/pkg/FR-2021-08-09/pdf/2021-16906.pdfhttps://regulations.justia.com/regulations/fedreg/2021/08/09/2021-16905.htmlNotice - Submission for OMB Review; Comment Request2021-08-09T00:00:00-07:002021-08-09T00:00:00-07:002021-16905Noticehttps://www.govinfo.gov/content/pkg/FR-2021-08-09/pdf/2021-16905.pdfhttps://regulations.justia.com/regulations/fedreg/2021/08/09/2021-16885.htmlNotice - Self-Regulatory Organizations; BOX Exchange LLC; Notice of Designation of Longer Period for Commission Action on a Proposed Rule Change in Connection With the Proposed Commencement of Operations of Boston Security Token Exchange LLC2021-08-09T00:00:00-07:002021-08-09T00:00:00-07:002021-16885Noticehttps://www.govinfo.gov/content/pkg/FR-2021-08-09/pdf/2021-16885.pdfhttps://regulations.justia.com/regulations/fedreg/2021/08/09/2021-16884.htmlNotice - Self-Regulatory Organizations; BOX Exchange LLC; Notice of Filing of Amendment No. 1 and Order Granting Accelerated Approval of a Proposed Rule Change, as Modified by Amendment No. 1, To Adopt BOX Rule 7670 To Establish a Virtual Trading Floor on BOX2021-08-09T00:00:00-07:002021-08-09T00:00:00-07:002021-16884Noticehttps://www.govinfo.gov/content/pkg/FR-2021-08-09/pdf/2021-16884.pdfhttps://regulations.justia.com/regulations/fedreg/2021/08/06/2021-16796.htmlNotice - Self-Regulatory Organizations; Cboe Exchange, Inc.; Cboe BYX Exchange, Inc.; Cboe BZX Exchange, Inc.; Cboe EDGA Exchange, Inc.; Cboe EDGX Exchange, Inc.; Cboe C2 Exchange, Inc.; Notice of Filing of Amendment No. 1 and Order Granting Accelerated Approval of a Proposed Rule Change, as Modified by Amendment Nos. 1, To Amend the Sixth Amended and Restated Bylaws of Cboe Global Markets, Inc. To Implement Proxy Access2021-08-06T00:00:00-07:002021-08-06T00:00:00-07:002021-16796Noticehttps://www.govinfo.gov/content/pkg/FR-2021-08-06/pdf/2021-16796.pdfhttps://regulations.justia.com/regulations/fedreg/2021/08/06/2021-16789.htmlNotice - Self-Regulatory Organizations; MIAX PEARL, LLC; Notice of Filing of Proposed Rule Change To Amend Exchange Rule 2616, Priority of Orders2021-08-06T00:00:00-07:002021-08-06T00:00:00-07:002021-16789Noticehttps://www.govinfo.gov/content/pkg/FR-2021-08-06/pdf/2021-16789.pdfhttps://regulations.justia.com/regulations/fedreg/2021/08/06/2021-16788.htmlNotice - Self-Regulatory Organizations; Cboe BZX Exchange, Inc.; Notice of Filing of a Proposed Rule Change To List and Trade Shares of the ARK 21Shares Bitcoin ETF Under BZX Rule 14.11(e)(4), Commodity-Based Trust Shares2021-08-06T00:00:00-07:002021-08-06T00:00:00-07:002021-16788Noticehttps://www.govinfo.gov/content/pkg/FR-2021-08-06/pdf/2021-16788.pdfhttps://regulations.justia.com/regulations/fedreg/2021/08/06/2021-16657.htmlNotice - Order Granting 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 United Kingdom2021-08-06T00:00:00-07:002021-08-06T00:00:00-07:002021-16657Noticehttps://www.govinfo.gov/content/pkg/FR-2021-08-06/pdf/2021-16657.pdfhttps://regulations.justia.com/regulations/fedreg/2021/08/05/2021-16678.htmlNotice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Reformat the Basic Rates Section of the NYSE Arca Equities Fees and Charges2021-08-05T00:00:00-07:002021-08-05T00:00:00-07:002021-16678Noticehttps://www.govinfo.gov/content/pkg/FR-2021-08-05/pdf/2021-16678.pdfhttps://regulations.justia.com/regulations/fedreg/2021/08/05/2021-16677.htmlNotice - Self-Regulatory Organizations; Nasdaq BX, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the Options 4 Listing Rules2021-08-05T00:00:00-07:002021-08-05T00:00:00-07:002021-16677Noticehttps://www.govinfo.gov/content/pkg/FR-2021-08-05/pdf/2021-16677.pdfhttps://regulations.justia.com/regulations/fedreg/2021/08/05/2021-16676.htmlNotice - Self-Regulatory Organizations; The Nasdaq Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Options 4 Listing Rules2021-08-05T00:00:00-07:002021-08-05T00:00:00-07:002021-16676Noticehttps://www.govinfo.gov/content/pkg/FR-2021-08-05/pdf/2021-16676.pdfhttps://regulations.justia.com/regulations/fedreg/2021/08/05/2021-16675.htmlNotice - Self-Regulatory Organizations; New York Stock Exchange LLC; NYSE National, Inc.; NYSE American LLC; NYSE Chicago, Inc.; Notice of Designation of a Longer Period for Commission Action on Proceedings To Determine Whether To Approve or Disapprove a Proposed Rule Change To Amend Each of the Exchange's Co-Location Services and Fee Schedule To Add Two Partial Cabinet Solution Bundles2021-08-05T00:00:00-07:002021-08-05T00:00:00-07:002021-16675Noticehttps://www.govinfo.gov/content/pkg/FR-2021-08-05/pdf/2021-16675.pdfhttps://regulations.justia.com/regulations/fedreg/2021/08/05/2021-16674.htmlNotice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Designation of a Longer Period for Commission Action on Proceedings To Determine Whether To Approve or Disapprove a Proposed Rule Change To Amend NYSE Arca's Co-Location Services and Fee Schedule To Add Two Partial Cabinet Solution Bundles2021-08-05T00:00:00-07:002021-08-05T00:00:00-07:002021-16674Noticehttps://www.govinfo.gov/content/pkg/FR-2021-08-05/pdf/2021-16674.pdfhttps://regulations.justia.com/regulations/fedreg/2021/08/05/2021-16673.htmlNotice - Notice of Intention To Cancel Registration of Certain Municipal Advisors Pursuant to Section 15b(c)(3) of the Securities Exchange Act of 19342021-08-05T00:00:00-07:002021-08-05T00:00:00-07:002021-16673Noticehttps://www.govinfo.gov/content/pkg/FR-2021-08-05/pdf/2021-16673.pdfhttps://regulations.justia.com/regulations/fedreg/2021/08/05/2021-16672.htmlNotice - Self-Regulatory Organizations; Cboe Exchange, Inc.; Notice of Withdrawal of a Proposed Rule Change, as Modified by Amendment No. 1, To Amend Its Rules Regarding the Minimum Increments for Electronic Bids and Offers and Exercise Prices of Certain FLEX Options and Clarify in the Rules How the System Ranks FLEX Option Bids and Offers for Allocation Purposes2021-08-05T00:00:00-07:002021-08-05T00:00:00-07:002021-16672Noticehttps://www.govinfo.gov/content/pkg/FR-2021-08-05/pdf/2021-16672.pdfhttps://regulations.justia.com/regulations/fedreg/2021/08/05/2021-16671.htmlNotice - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Order Approving a Proposed Rule Change, as Modified by Amendment No. 1 and Amendment No. 2, To Adopt FINRA Rule 4111 (Restricted Firm Obligations) and FINRA Rule 9561 (Procedures for Regulating Activities Under Rule 4111)2021-08-05T00:00:00-07:002021-08-05T00:00:00-07:002021-16671Noticehttps://www.govinfo.gov/content/pkg/FR-2021-08-05/pdf/2021-16671.pdfhttps://regulations.justia.com/regulations/fedreg/2021/08/05/2021-16658.htmlNotice - Notice of Applications for Deregistration Under Section 8(f) of the Investment Company Act of 19402021-08-05T00:00:00-07:002021-08-05T00:00:00-07:002021-16658Noticehttps://www.govinfo.gov/content/pkg/FR-2021-08-05/pdf/2021-16658.pdfhttps://regulations.justia.com/regulations/fedreg/2021/08/04/2021-16550.htmlNotice - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Designation of a Longer Period for Commission Action on a Proposed Rule Change Relating to Members' Filing Requirements Under FINRA Rule 6432 (Compliance With the Information Requirements of SEA Rule 15c2-11)2021-08-04T00:00:00-07:002021-08-04T00:00:00-07:002021-16550Noticehttps://www.govinfo.gov/content/pkg/FR-2021-08-04/pdf/2021-16550.pdfhttps://regulations.justia.com/regulations/fedreg/2021/08/03/2021-16555.htmlNotice - Sunshine Act Meetings2021-08-03T00:00:00-07:002021-08-03T00:00:00-07:002021-16555Noticehttps://www.govinfo.gov/content/pkg/FR-2021-08-03/pdf/2021-16555.pdfhttps://regulations.justia.com/regulations/fedreg/2021/08/03/2021-16456.htmlNotice - Self-Regulatory Organizations; Cboe Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Enhance and Clarify its Price Adjust Process for Certain Market-Maker Interest, Specifically Book Only Orders and Bulk Messages Submitted Through Bulk Ports and Modify the Bulk Message Fat Finger Check2021-08-03T00:00:00-07:002021-08-03T00:00:00-07:002021-16456Noticehttps://www.govinfo.gov/content/pkg/FR-2021-08-03/pdf/2021-16456.pdfhttps://regulations.justia.com/regulations/fedreg/2021/08/02/2021-16410.htmlNotice - Proposed Collection; Comment Request2021-08-02T00:00:00-07:002021-08-02T00:00:00-07:002021-16410Noticehttps://www.govinfo.gov/content/pkg/FR-2021-08-02/pdf/2021-16410.pdfhttps://regulations.justia.com/regulations/fedreg/2021/08/02/2021-16409.htmlNotice - Proposed Collection; Comment Request2021-08-02T00:00:00-07:002021-08-02T00:00:00-07:002021-16409Noticehttps://www.govinfo.gov/content/pkg/FR-2021-08-02/pdf/2021-16409.pdfhttps://regulations.justia.com/regulations/fedreg/2021/08/02/2021-16404.htmlNotice - Proposed Collection; Comment Request2021-08-02T00:00:00-07:002021-08-02T00:00:00-07:002021-16404Noticehttps://www.govinfo.gov/content/pkg/FR-2021-08-02/pdf/2021-16404.pdfhttps://regulations.justia.com/regulations/fedreg/2021/08/02/2021-16403.htmlNotice - Proposed Collection; Comment Request2021-08-02T00:00:00-07:002021-08-02T00:00:00-07:002021-16403Noticehttps://www.govinfo.gov/content/pkg/FR-2021-08-02/pdf/2021-16403.pdfhttps://regulations.justia.com/regulations/fedreg/2021/08/02/2021-16373.htmlNotice - Columbia ETF Trust I, et al.2021-08-02T00:00:00-07:002021-08-02T00:00:00-07:002021-16373Noticehttps://www.govinfo.gov/content/pkg/FR-2021-08-02/pdf/2021-16373.pdfhttps://regulations.justia.com/regulations/fedreg/2021/08/02/2021-16135.htmlNotice - Order Granting 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 Republic2021-08-02T00:00:00-07:002021-08-02T00:00:00-07:002021-16135Noticehttps://www.govinfo.gov/content/pkg/FR-2021-08-02/pdf/2021-16135.pdf