Federal Register Recent Federal Regulation Documents - Justia Regulation Tracker - Justia Regulations Trackerhttps://regulations.justia.com/regulations/fedreg/agencies/securities-and-exchange-commission/2021/09?limit=200®isters=between&min-day=1&max-day=30&mode=atom2024-04-30T11:18:43-07:00Justia Inchttps://www.justia.com/Justia Regulations Trackerhttps://regulations.justia.com/images/justiafedregulations.gifCopyright 2011 Justia Inchttps://regulations.justia.com/regulations/fedreg/2021/09/30/2021-21321.htmlNotice - Optimum Fund Trust, et al.; Notice of Application2021-09-30T00:00:00-07:002021-09-30T00:00:00-07:002021-21321Noticehttps://www.govinfo.gov/content/pkg/FR-2021-09-30/pdf/2021-21321.pdfhttps://regulations.justia.com/regulations/fedreg/2021/09/30/2021-21212.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 its Post-Trade Risk Management Tool2021-09-30T00:00:00-07:002021-09-30T00:00:00-07:002021-21212Noticehttps://www.govinfo.gov/content/pkg/FR-2021-09-30/pdf/2021-21212.pdfhttps://regulations.justia.com/regulations/fedreg/2021/09/30/2021-21211.htmlNotice - Self-Regulatory Organizations; Cboe Exchange, Inc.; Order Granting Approval of a Proposed Rule Change, as Modified by Amendment No. 2, To Amend Certain Rules To Accommodate the Listing and Trading of Micro FLEX Index Options and To Make Other Clarifying and Non-Substantive Changes2021-09-30T00:00:00-07:002021-09-30T00:00:00-07:002021-21211Noticehttps://www.govinfo.gov/content/pkg/FR-2021-09-30/pdf/2021-21211.pdfhttps://regulations.justia.com/regulations/fedreg/2021/09/30/2021-21210.htmlNotice - Self-Regulatory Organizations; Nasdaq BX, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend BX Options 7, Section 2, BX Options Market-Fees and Rebates2021-09-30T00:00:00-07:002021-09-30T00:00:00-07:002021-21210Noticehttps://www.govinfo.gov/content/pkg/FR-2021-09-30/pdf/2021-21210.pdfhttps://regulations.justia.com/regulations/fedreg/2021/09/30/2021-21209.htmlNotice - Self-Regulatory Organizations; NYSE Arca, Inc.; Order Granting Approval of a Proposed Rule Change To Amend Rule 8.601-E (Active Proxy Portfolio Shares) To Provide for the Use of Custom Baskets2021-09-30T00:00:00-07:002021-09-30T00:00:00-07:002021-21209Noticehttps://www.govinfo.gov/content/pkg/FR-2021-09-30/pdf/2021-21209.pdfhttps://regulations.justia.com/regulations/fedreg/2021/09/30/2021-21208.htmlNotice - Self-Regulatory Organizations; The Nasdaq Stock Market LLC; Order Instituting Proceedings To Determine Whether To Approve or Disapprove a Proposed Rule Change To Modify Certain Pricing Limitations for Companies Listing in Connection With a Direct Listing Primary Offering2021-09-30T00:00:00-07:002021-09-30T00:00:00-07:002021-21208Noticehttps://www.govinfo.gov/content/pkg/FR-2021-09-30/pdf/2021-21208.pdfhttps://regulations.justia.com/regulations/fedreg/2021/09/30/2021-21206.htmlNotice - Notice of Applications for Deregistration Under Section 8(f) of the Investment Company Act of 19402021-09-30T00:00:00-07:002021-09-30T00:00:00-07:002021-21206Noticehttps://www.govinfo.gov/content/pkg/FR-2021-09-30/pdf/2021-21206.pdfhttps://regulations.justia.com/regulations/fedreg/2021/09/29/2021-21187.htmlNotice - The Optima Dynamic Alternatives Fund, et al;2021-09-29T00:00:00-07:002021-09-29T00:00:00-07:002021-21187Noticehttps://www.govinfo.gov/content/pkg/FR-2021-09-29/pdf/2021-21187.pdfhttps://regulations.justia.com/regulations/fedreg/2021/09/29/2021-21113.htmlNotice - Program for Allocation of Regulatory Responsibilities Pursuant to Rule 17d-2; Notice of Filing and Order Approving and Declaring Effective an Amended Plan for the Allocation of Regulatory Responsibilities Among the Financial Industry Regulatory Authority, Inc., The Nasdaq Stock Market LLC, and Nasdaq BX, Inc.2021-09-29T00:00:00-07:002021-09-29T00:00:00-07:002021-21113Noticehttps://www.govinfo.gov/content/pkg/FR-2021-09-29/pdf/2021-21113.pdfhttps://regulations.justia.com/regulations/fedreg/2021/09/29/2021-21112.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 Equity 7, Section 3(a)2021-09-29T00:00:00-07:002021-09-29T00:00:00-07:002021-21112Noticehttps://www.govinfo.gov/content/pkg/FR-2021-09-29/pdf/2021-21112.pdfhttps://regulations.justia.com/regulations/fedreg/2021/09/29/2021-21111.htmlNotice - Self-Regulatory Organizations; The Nasdaq Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Equity 7, Section 118 of the Fee Schedule2021-09-29T00:00:00-07:002021-09-29T00:00:00-07:002021-21111Noticehttps://www.govinfo.gov/content/pkg/FR-2021-09-29/pdf/2021-21111.pdfhttps://regulations.justia.com/regulations/fedreg/2021/09/29/2021-21110.htmlNotice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Reflect an Amendment to the Application and Exemptive Order Governing the Fidelity Women's Leadership ETF and Fidelity Sustainability U.S. Equity ETF2021-09-29T00:00:00-07:002021-09-29T00:00:00-07:002021-21110Noticehttps://www.govinfo.gov/content/pkg/FR-2021-09-29/pdf/2021-21110.pdfhttps://regulations.justia.com/regulations/fedreg/2021/09/29/2021-21109.htmlNotice - Self-Regulatory Organizations; New York Stock Exchange LLC; NYSE American LLC; NYSE Arca, Inc.; NYSE National, Inc.; 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 Fee Schedules Related to Co-Location2021-09-29T00:00:00-07:002021-09-29T00:00:00-07:002021-21109Noticehttps://www.govinfo.gov/content/pkg/FR-2021-09-29/pdf/2021-21109.pdfhttps://regulations.justia.com/regulations/fedreg/2021/09/28/2021-21118.htmlNotice - Sunshine Act Meetings2021-09-28T00:00:00-07:002021-09-28T00:00:00-07:002021-21118Noticehttps://www.govinfo.gov/content/pkg/FR-2021-09-28/pdf/2021-21118.pdfhttps://regulations.justia.com/regulations/fedreg/2021/09/28/2021-21056.htmlNotice - Public Company Accounting Oversight Board; Notice of Filing of Proposed Rule on Board Determinations Under the Holding Foreign Companies Accountable Act2021-09-28T00:00:00-07:002021-09-28T00:00:00-07:002021-21056Noticehttps://www.govinfo.gov/content/pkg/FR-2021-09-28/pdf/2021-21056.pdfhttps://regulations.justia.com/regulations/fedreg/2021/09/28/2021-20970.htmlNotice - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Order Instituting Proceedings To Determine Whether To Approve or Disapprove the Proposed Rule Change To Amend Rule 2165 (Financial Exploitation of Specified Adults)2021-09-28T00:00:00-07:002021-09-28T00:00:00-07:002021-20970Noticehttps://www.govinfo.gov/content/pkg/FR-2021-09-28/pdf/2021-20970.pdfhttps://regulations.justia.com/regulations/fedreg/2021/09/28/2021-20969.htmlNotice - Self-Regulatory Organizations; the Options Clearing Corporation; Order Granting Approval of Proposed Rule Change Concerning the Options Clearing Corporation's Governance Arrangements2021-09-28T00:00:00-07:002021-09-28T00:00:00-07:002021-20969Noticehttps://www.govinfo.gov/content/pkg/FR-2021-09-28/pdf/2021-20969.pdfhttps://regulations.justia.com/regulations/fedreg/2021/09/27/2021-20967.htmlNotice - Sunshine Act Meetings2021-09-27T00:00:00-07:002021-09-27T00:00:00-07:002021-20967Noticehttps://www.govinfo.gov/content/pkg/FR-2021-09-27/pdf/2021-20967.pdfhttps://regulations.justia.com/regulations/fedreg/2021/09/27/2021-20904.htmlNotice - Submission for OMB Review; Comment Request2021-09-27T00:00:00-07:002021-09-27T00:00:00-07:002021-20904Noticehttps://www.govinfo.gov/content/pkg/FR-2021-09-27/pdf/2021-20904.pdfhttps://regulations.justia.com/regulations/fedreg/2021/09/27/2021-20818.htmlNotice - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Order Approving a Proposed Rule Change To Amend FINRA Rules 1210 (Registration Requirements) and 1240 (Continuing Education Requirements)2021-09-27T00:00:00-07:002021-09-27T00:00:00-07:002021-20818Noticehttps://www.govinfo.gov/content/pkg/FR-2021-09-27/pdf/2021-20818.pdfhttps://regulations.justia.com/regulations/fedreg/2021/09/27/2021-20817.htmlNotice - Self-Regulatory Organizations; ICE Clear Europe Limited; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Amendments to the ICE Clear Europe Delivery Procedures2021-09-27T00:00:00-07:002021-09-27T00:00:00-07:002021-20817Noticehttps://www.govinfo.gov/content/pkg/FR-2021-09-27/pdf/2021-20817.pdfhttps://regulations.justia.com/regulations/fedreg/2021/09/27/2021-20816.htmlNotice - Self-Regulatory Organizations; BOX 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, in Connection With the Proposed Establishment of BSTX as a Facility of the Exchange2021-09-27T00:00:00-07:002021-09-27T00:00:00-07:002021-20816Noticehttps://www.govinfo.gov/content/pkg/FR-2021-09-27/pdf/2021-20816.pdfhttps://regulations.justia.com/regulations/fedreg/2021/09/24/2021-20942.htmlNotice - Sunshine Act Meeting2021-09-24T00:00:00-07:002021-09-24T00:00:00-07:002021-20942Noticehttps://www.govinfo.gov/content/pkg/FR-2021-09-24/pdf/2021-20942.pdfhttps://regulations.justia.com/regulations/fedreg/2021/09/24/2021-20659.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 Remove ID Net Transactions From the Required Fund Deposit Calculations and Make Other Changes to the Rules2021-09-24T00:00:00-07:002021-09-24T00:00:00-07:002021-20659Noticehttps://www.govinfo.gov/content/pkg/FR-2021-09-24/pdf/2021-20659.pdfhttps://regulations.justia.com/regulations/fedreg/2021/09/24/2021-20658.htmlNotice - Self-Regulatory Organizations; Nasdaq BX, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Options 3, Section 26, Message Traffic Mitigation2021-09-24T00:00:00-07:002021-09-24T00:00:00-07:002021-20658Noticehttps://www.govinfo.gov/content/pkg/FR-2021-09-24/pdf/2021-20658.pdfhttps://regulations.justia.com/regulations/fedreg/2021/09/24/2021-20657.htmlNotice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Withdrawal of a Proposed Rule Change To Amend the NYSE Arca Equities Fees and Charges2021-09-24T00:00:00-07:002021-09-24T00:00:00-07:002021-20657Noticehttps://www.govinfo.gov/content/pkg/FR-2021-09-24/pdf/2021-20657.pdfhttps://regulations.justia.com/regulations/fedreg/2021/09/24/2021-20656.htmlNotice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Designation of a Longer Period for Commission Action on a Proposed Rule Change To Adopt New Rule 6.91P-O2021-09-24T00:00:00-07:002021-09-24T00:00:00-07:002021-20656Noticehttps://www.govinfo.gov/content/pkg/FR-2021-09-24/pdf/2021-20656.pdfhttps://regulations.justia.com/regulations/fedreg/2021/09/24/2021-20655.htmlNotice - Self-Regulatory Organizations; The Nasdaq Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Options 3, Section 26, Message Traffic Mitigation2021-09-24T00:00:00-07:002021-09-24T00:00:00-07:002021-20655Noticehttps://www.govinfo.gov/content/pkg/FR-2021-09-24/pdf/2021-20655.pdfhttps://regulations.justia.com/regulations/fedreg/2021/09/24/2021-20654.htmlNotice - Self-Regulatory Organizations; Cboe Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Make Certain Corrections and Other Clarifying Changes to the Rules2021-09-24T00:00:00-07:002021-09-24T00:00:00-07:002021-20654Noticehttps://www.govinfo.gov/content/pkg/FR-2021-09-24/pdf/2021-20654.pdfhttps://regulations.justia.com/regulations/fedreg/2021/09/23/2021-20554.htmlNotice - Securities Exchange Act of 19342021-09-23T00:00:00-07:002021-09-23T00:00:00-07:002021-20554Noticehttps://www.govinfo.gov/content/pkg/FR-2021-09-23/pdf/2021-20554.pdfhttps://regulations.justia.com/regulations/fedreg/2021/09/23/2021-20553.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 Schedule Relating to Disaster Recovery Facility 1 Gigabit ULL per Connection Fee for Members2021-09-23T00:00:00-07:002021-09-23T00:00:00-07:002021-20553Noticehttps://www.govinfo.gov/content/pkg/FR-2021-09-23/pdf/2021-20553.pdfhttps://regulations.justia.com/regulations/fedreg/2021/09/23/2021-20552.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 Facility To Reduce the Amount of the Options Regulatory Fee (“ORF”)2021-09-23T00:00:00-07:002021-09-23T00:00:00-07:002021-20552Noticehttps://www.govinfo.gov/content/pkg/FR-2021-09-23/pdf/2021-20552.pdfhttps://regulations.justia.com/regulations/fedreg/2021/09/22/2021-20614.htmlNotice - Sunshine Act Meetings2021-09-22T00:00:00-07:002021-09-22T00:00:00-07:002021-20614Noticehttps://www.govinfo.gov/content/pkg/FR-2021-09-22/pdf/2021-20614.pdfhttps://regulations.justia.com/regulations/fedreg/2021/09/22/2021-20515.htmlNotice - Securities Act of 1933; Securities Exchange Act of 1934; Order Approving the Public Company Accounting Oversight Board Supplemental Budget for Calendar Year 20212021-09-22T00:00:00-07:002021-09-22T00:00:00-07:002021-20515Noticehttps://www.govinfo.gov/content/pkg/FR-2021-09-22/pdf/2021-20515.pdfhttps://regulations.justia.com/regulations/fedreg/2021/09/22/2021-20455.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 With Respect to Open-Close Report Data2021-09-22T00:00:00-07:002021-09-22T00:00:00-07:002021-20455Noticehttps://www.govinfo.gov/content/pkg/FR-2021-09-22/pdf/2021-20455.pdfhttps://regulations.justia.com/regulations/fedreg/2021/09/22/2021-20453.htmlNotice - Self-Regulatory Organizations; Investors Exchange LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Provide That a Reserve Order May Have (i) an Odd Lot Sized Display Quantity and (ii) an Optional Random Initial and Replenishment Display Quantity2021-09-22T00:00:00-07:002021-09-22T00:00:00-07:002021-20453Noticehttps://www.govinfo.gov/content/pkg/FR-2021-09-22/pdf/2021-20453.pdfhttps://regulations.justia.com/regulations/fedreg/2021/09/22/2021-20452.htmlNotice - Self-Regulatory Organizations; MIAX Emerald, LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change by To Amend Its Fee Schedule With Respect to Open-Close Report Data2021-09-22T00:00:00-07:002021-09-22T00:00:00-07:002021-20452Noticehttps://www.govinfo.gov/content/pkg/FR-2021-09-22/pdf/2021-20452.pdfhttps://regulations.justia.com/regulations/fedreg/2021/09/22/2021-20451.htmlNotice - Self-Regulatory Organizations; MIAX PEARL, LLC; Notice of Designation of a Longer Period for Commission Action on a Proposed Rule Change To Amend Exchange Rule 2616, Priority of Orders2021-09-22T00:00:00-07:002021-09-22T00:00:00-07:002021-20451Noticehttps://www.govinfo.gov/content/pkg/FR-2021-09-22/pdf/2021-20451.pdfhttps://regulations.justia.com/regulations/fedreg/2021/09/22/2021-20449.htmlNotice - Self-Regulatory Organizations; Nasdaq ISE, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Options 3, Section 17, To Decommission the Exchange's Quote Removal Kill Switch Functionality2021-09-22T00:00:00-07:002021-09-22T00:00:00-07:002021-20449Noticehttps://www.govinfo.gov/content/pkg/FR-2021-09-22/pdf/2021-20449.pdfhttps://regulations.justia.com/regulations/fedreg/2021/09/22/2021-20448.htmlNotice - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing of Proposed Rule Change To Amend Rules 7.31, 7.35, 7.35B, 7.35C, 98, and 104 Relating to the Closing Auction2021-09-22T00:00:00-07:002021-09-22T00:00:00-07:002021-20448Noticehttps://www.govinfo.gov/content/pkg/FR-2021-09-22/pdf/2021-20448.pdfhttps://regulations.justia.com/regulations/fedreg/2021/09/22/2021-20447.htmlNotice - Self-Regulatory Organizations; Nasdaq PHLX, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Options 3, Section 17, To Decommission the Exchange's Quote Removal Kill Switch Functionality2021-09-22T00:00:00-07:002021-09-22T00:00:00-07:002021-20447Noticehttps://www.govinfo.gov/content/pkg/FR-2021-09-22/pdf/2021-20447.pdfhttps://regulations.justia.com/regulations/fedreg/2021/09/22/2021-20446.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 With Respect to Open-Close Report Data2021-09-22T00:00:00-07:002021-09-22T00:00:00-07:002021-20446Noticehttps://www.govinfo.gov/content/pkg/FR-2021-09-22/pdf/2021-20446.pdfhttps://regulations.justia.com/regulations/fedreg/2021/09/22/2021-20442.htmlNotice - Submission for OMB Review; Comment Request2021-09-22T00:00:00-07:002021-09-22T00:00:00-07:002021-20442Noticehttps://www.govinfo.gov/content/pkg/FR-2021-09-22/pdf/2021-20442.pdfhttps://regulations.justia.com/regulations/fedreg/2021/09/21/2021-20533.htmlNotice - Sunshine Act Meetings2021-09-21T00:00:00-07:002021-09-21T00:00:00-07:002021-20533Noticehttps://www.govinfo.gov/content/pkg/FR-2021-09-21/pdf/2021-20533.pdfhttps://regulations.justia.com/regulations/fedreg/2021/09/21/2021-20337.htmlNotice - Self-Regulatory Organizations; Nasdaq BX, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Options 3, Section 17, To Decommission the Exchange's Quote Removal Kill Switch Functionality2021-09-21T00:00:00-07:002021-09-21T00:00:00-07:002021-20337Noticehttps://www.govinfo.gov/content/pkg/FR-2021-09-21/pdf/2021-20337.pdfhttps://regulations.justia.com/regulations/fedreg/2021/09/21/2021-20336.htmlNotice - Self-Regulatory Organizations; Nasdaq GEMX, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Options 3, Section 17, To Decommission the Exchange's Quote Removal Kill Switch Functionality2021-09-21T00:00:00-07:002021-09-21T00:00:00-07:002021-20336Noticehttps://www.govinfo.gov/content/pkg/FR-2021-09-21/pdf/2021-20336.pdfhttps://regulations.justia.com/regulations/fedreg/2021/09/21/2021-20335.htmlNotice - Self-Regulatory Organizations; Nasdaq MRX, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Options 3, Section 17 To Decommission the Exchange's Quote Removal Kill Switch Functionality2021-09-21T00:00:00-07:002021-09-21T00:00:00-07:002021-20335Noticehttps://www.govinfo.gov/content/pkg/FR-2021-09-21/pdf/2021-20335.pdfhttps://regulations.justia.com/regulations/fedreg/2021/09/21/2021-20334.htmlNotice - Self-Regulatory Organizations; The Nasdaq Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Incorporate NOM Options 4 Rules by Reference to Nasdaq ISE, LLC Options 4 Rules2021-09-21T00:00:00-07:002021-09-21T00:00:00-07:002021-20334Noticehttps://www.govinfo.gov/content/pkg/FR-2021-09-21/pdf/2021-20334.pdfhttps://regulations.justia.com/regulations/fedreg/2021/09/21/2021-20333.htmlNotice - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Extend the Effectiveness of Temporary Supplementary Material .17 (Temporary Relief To Allow Remote Inspections for Calendar Year 2020 and Calendar Year 2021) Under FINRA Rule 3110 (Supervision)2021-09-21T00:00:00-07:002021-09-21T00:00:00-07:002021-20333Noticehttps://www.govinfo.gov/content/pkg/FR-2021-09-21/pdf/2021-20333.pdfhttps://regulations.justia.com/regulations/fedreg/2021/09/21/2021-20332.htmlNotice - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Its Price List2021-09-21T00:00:00-07:002021-09-21T00:00:00-07:002021-20332Noticehttps://www.govinfo.gov/content/pkg/FR-2021-09-21/pdf/2021-20332.pdfhttps://regulations.justia.com/regulations/fedreg/2021/09/21/2021-20331.htmlNotice - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the Content of the NYSE Best Quote & Trades2021-09-21T00:00:00-07:002021-09-21T00:00:00-07:002021-20331Noticehttps://www.govinfo.gov/content/pkg/FR-2021-09-21/pdf/2021-20331.pdfhttps://regulations.justia.com/regulations/fedreg/2021/09/21/2021-20330.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 Teucrium Bitcoin Futures Fund Under NYSE Arca Rule 8.200-E2021-09-21T00:00:00-07:002021-09-21T00:00:00-07:002021-20330Noticehttps://www.govinfo.gov/content/pkg/FR-2021-09-21/pdf/2021-20330.pdfhttps://regulations.justia.com/regulations/fedreg/2021/09/21/2021-20329.htmlNotice - Self-Regulatory Organizations; Nasdaq PHLX LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Incorporate the Phlx Options 4 Rules By Reference to Nasdaq ISE, LLC Options 4 Rules2021-09-21T00:00:00-07:002021-09-21T00:00:00-07:002021-20329Noticehttps://www.govinfo.gov/content/pkg/FR-2021-09-21/pdf/2021-20329.pdfhttps://regulations.justia.com/regulations/fedreg/2021/09/21/2021-20328.htmlNotice - Self-Regulatory Organizations; Cboe BZX Exchange, Inc.; Notice of Designation of a Longer Period for Commission Action on 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 Shares2021-09-21T00:00:00-07:002021-09-21T00:00:00-07:002021-20328Noticehttps://www.govinfo.gov/content/pkg/FR-2021-09-21/pdf/2021-20328.pdfhttps://regulations.justia.com/regulations/fedreg/2021/09/21/2021-20327.htmlNotice - Self-Regulatory Organizations; Cboe Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Rule 5.5(c) and Rule 5.6(d) in Connection With Time-In-Force Instructions Available for Bulk Messages for the Account of a Market Maker2021-09-21T00:00:00-07:002021-09-21T00:00:00-07:002021-20327Noticehttps://www.govinfo.gov/content/pkg/FR-2021-09-21/pdf/2021-20327.pdfhttps://regulations.justia.com/regulations/fedreg/2021/09/21/2021-20326.htmlNotice - Self-Regulatory Organizations; Nasdaq BX, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Incorporate BX Options 4 Rules By Reference to Nasdaq ISE, LLC Options 4 Rules2021-09-21T00:00:00-07:002021-09-21T00:00:00-07:002021-20326Noticehttps://www.govinfo.gov/content/pkg/FR-2021-09-21/pdf/2021-20326.pdfhttps://regulations.justia.com/regulations/fedreg/2021/09/21/2021-20325.htmlNotice - Self-Regulatory Organizations; Nasdaq PHLX LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Adopt Phlx Options 10, Section 5, Branch Office, and Options 10, Section 17, Profit Sharing Rules2021-09-21T00:00:00-07:002021-09-21T00:00:00-07:002021-20325Noticehttps://www.govinfo.gov/content/pkg/FR-2021-09-21/pdf/2021-20325.pdfhttps://regulations.justia.com/regulations/fedreg/2021/09/21/2021-20323.htmlNotice - Point72 Employee Investment Fund, L.P. and Point72 Asset Management, L.P.2021-09-21T00:00:00-07:002021-09-21T00:00:00-07:002021-20323Noticehttps://www.govinfo.gov/content/pkg/FR-2021-09-21/pdf/2021-20323.pdfhttps://regulations.justia.com/regulations/fedreg/2021/09/20/2021-20402.htmlNotice - Sunshine Act Meetings2021-09-20T00:00:00-07:002021-09-20T00:00:00-07:002021-20402Noticehttps://www.govinfo.gov/content/pkg/FR-2021-09-20/pdf/2021-20402.pdfhttps://regulations.justia.com/regulations/fedreg/2021/09/20/2021-20219.htmlNotice - Self-Regulatory Organizations; Cboe BYX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Rule 11.22 To Introduce a Product To Be Known as Cboe Premium Exchange Tools and To Amend Its Fee Schedule To Establish a Fee for a User Login That Elects To Subscribe to the Cboe Premium Exchange Tools2021-09-20T00:00:00-07:002021-09-20T00:00:00-07:002021-20219Noticehttps://www.govinfo.gov/content/pkg/FR-2021-09-20/pdf/2021-20219.pdfhttps://regulations.justia.com/regulations/fedreg/2021/09/20/2021-20218.htmlNotice - Self-Regulatory Organizations; NYSE Chicago, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Delete the Order Audit Trail System Rules in the Rule 6.7400 Series2021-09-20T00:00:00-07:002021-09-20T00:00:00-07:002021-20218Noticehttps://www.govinfo.gov/content/pkg/FR-2021-09-20/pdf/2021-20218.pdfhttps://regulations.justia.com/regulations/fedreg/2021/09/20/2021-20217.htmlNotice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Delete the Order Audit Trail System Rules in the Rule 6.7400-E Series2021-09-20T00:00:00-07:002021-09-20T00:00:00-07:002021-20217Noticehttps://www.govinfo.gov/content/pkg/FR-2021-09-20/pdf/2021-20217.pdfhttps://regulations.justia.com/regulations/fedreg/2021/09/20/2021-20216.htmlNotice - Self-Regulatory Organizations; NYSE American LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Delete the Order Audit Trail System Rules in the Rule 7400 Series2021-09-20T00:00:00-07:002021-09-20T00:00:00-07:002021-20216Noticehttps://www.govinfo.gov/content/pkg/FR-2021-09-20/pdf/2021-20216.pdfhttps://regulations.justia.com/regulations/fedreg/2021/09/20/2021-20215.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 Facility2021-09-20T00:00:00-07:002021-09-20T00:00:00-07:002021-20215Noticehttps://www.govinfo.gov/content/pkg/FR-2021-09-20/pdf/2021-20215.pdfhttps://regulations.justia.com/regulations/fedreg/2021/09/20/2021-20214.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 2(1)2021-09-20T00:00:00-07:002021-09-20T00:00:00-07:002021-20214Noticehttps://www.govinfo.gov/content/pkg/FR-2021-09-20/pdf/2021-20214.pdfhttps://regulations.justia.com/regulations/fedreg/2021/09/20/2021-20213.htmlNotice - Self-Regulatory Organizations; NYSE National, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Delete the Order Audit Trail System Rules in the Rule 6.7400 Series2021-09-20T00:00:00-07:002021-09-20T00:00:00-07:002021-20213Noticehttps://www.govinfo.gov/content/pkg/FR-2021-09-20/pdf/2021-20213.pdfhttps://regulations.justia.com/regulations/fedreg/2021/09/20/2021-20212.htmlNotice - Self-Regulatory Organizations; Nasdaq BX, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Delete the Order Audit Trail System Rules in the Equity 5 Series of the Exchange's Rulebook2021-09-20T00:00:00-07:002021-09-20T00:00:00-07:002021-20212Noticehttps://www.govinfo.gov/content/pkg/FR-2021-09-20/pdf/2021-20212.pdfhttps://regulations.justia.com/regulations/fedreg/2021/09/20/2021-20211.htmlNotice - Self-Regulatory Organizations; Nasdaq PHLX LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Delete the Order Audit Trail System Rules in the Equity 5 Series of the Exchange's Rulebook2021-09-20T00:00:00-07:002021-09-20T00:00:00-07:002021-20211Noticehttps://www.govinfo.gov/content/pkg/FR-2021-09-20/pdf/2021-20211.pdfhttps://regulations.justia.com/regulations/fedreg/2021/09/20/2021-20210.htmlNotice - Self-Regulatory Organizations; Cboe BZX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Rule 11.22 To Introduce a Product To Be Known as “Cboe Premium Exchange Tools” and To Amend Its Fee Schedule To Establish a Fee for a User Login That Elects To Subscribe to the Cboe Premium Exchange Tools2021-09-20T00:00:00-07:002021-09-20T00:00:00-07:002021-20210Noticehttps://www.govinfo.gov/content/pkg/FR-2021-09-20/pdf/2021-20210.pdfhttps://regulations.justia.com/regulations/fedreg/2021/09/20/2021-20207.htmlNotice - Pomona Investment Fund, et al.2021-09-20T00:00:00-07:002021-09-20T00:00:00-07:002021-20207Noticehttps://www.govinfo.gov/content/pkg/FR-2021-09-20/pdf/2021-20207.pdfhttps://regulations.justia.com/regulations/fedreg/2021/09/17/2021-20120.htmlNotice - Proposed Collection; Comment Request2021-09-17T00:00:00-07:002021-09-17T00:00:00-07:002021-20120Noticehttps://www.govinfo.gov/content/pkg/FR-2021-09-17/pdf/2021-20120.pdfhttps://regulations.justia.com/regulations/fedreg/2021/09/17/2021-20117.htmlNotice - Submission for OMB Review; Comment Request2021-09-17T00:00:00-07:002021-09-17T00:00:00-07:002021-20117Noticehttps://www.govinfo.gov/content/pkg/FR-2021-09-17/pdf/2021-20117.pdfhttps://regulations.justia.com/regulations/fedreg/2021/09/17/2021-20085.htmlNotice - Asset Management Advisory Committee; Meeting2021-09-17T00:00:00-07:002021-09-17T00:00:00-07:002021-20085Noticehttps://www.govinfo.gov/content/pkg/FR-2021-09-17/pdf/2021-20085.pdfhttps://regulations.justia.com/regulations/fedreg/2021/09/17/2021-20083.htmlNotice - Self-Regulatory Organizations; Cboe EDGA Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Rule 13.8 To Introduce a Product To Be Known as “Cboe Premium Exchange Tools” and To Amend Its Fee Schedule To Establish a Fee for a User Login That Elects To Subscribe to the Cboe Premium Exchange Tools2021-09-17T00:00:00-07:002021-09-17T00:00:00-07:002021-20083Noticehttps://www.govinfo.gov/content/pkg/FR-2021-09-17/pdf/2021-20083.pdfhttps://regulations.justia.com/regulations/fedreg/2021/09/17/2021-20082.htmlNotice - Self-Regulatory Organizations; Cboe EDGX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Rule 13.8 To Introduce a Product To Be Known as “Cboe Premium Exchange Tools” and To Amend Its Fee Schedule To Establish a Fee for a User Login That Elects To Subscribe to the Cboe Premium Exchange Tools2021-09-17T00:00:00-07:002021-09-17T00:00:00-07:002021-20082Noticehttps://www.govinfo.gov/content/pkg/FR-2021-09-17/pdf/2021-20082.pdfhttps://regulations.justia.com/regulations/fedreg/2021/09/17/2021-20081.htmlNotice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To List and Trade Shares of the Nuveen Growth Opportunities ETF Under NYSE Arca Rule 8.601-E (Active Proxy Portfolio Shares)2021-09-17T00:00:00-07:002021-09-17T00:00:00-07:002021-20081Noticehttps://www.govinfo.gov/content/pkg/FR-2021-09-17/pdf/2021-20081.pdfhttps://regulations.justia.com/regulations/fedreg/2021/09/17/2021-20080.htmlNotice - Self-Regulatory Organizations; Cboe BZX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the Fees in BZX Rule 14.13 Applicable To Exchange-Traded Products Listed on the Exchange2021-09-17T00:00:00-07:002021-09-17T00:00:00-07:002021-20080Noticehttps://www.govinfo.gov/content/pkg/FR-2021-09-17/pdf/2021-20080.pdfhttps://regulations.justia.com/regulations/fedreg/2021/09/17/2021-20079.htmlNotice - Self-Regulatory Organizations; Cboe BZX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Reflect an Amendment to the Application and Exemptive Order Governing the Following Funds, Shares of Which Are Listed and Traded on the Exchange Under BZX Rule 14.11(m): Fidelity Growth Opportunities ETF, Fidelity Magellan ETF, Fidelity Real Estate Investment ETF, Fidelity Small-Mid Cap Opportunities ETF, Fidelity Blue Chip Value ETF, Fidelity Blue Chip Growth ETF, and Fidelity New Millennium ETF2021-09-17T00:00:00-07:002021-09-17T00:00:00-07:002021-20079Noticehttps://www.govinfo.gov/content/pkg/FR-2021-09-17/pdf/2021-20079.pdfhttps://regulations.justia.com/regulations/fedreg/2021/09/16/2021-19973.htmlNotice - Self-Regulatory Organizations; Municipal Securities Rulemaking Board; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Provide a Further Extension of Time To Become Appropriately Qualified by Passing the Municipal Advisor Principal Qualification Examination (Series 54) Pursuant to MSRB Rule G-3, on Professional Qualification Requirements2021-09-16T00:00:00-07:002021-09-16T00:00:00-07:002021-19973Noticehttps://www.govinfo.gov/content/pkg/FR-2021-09-16/pdf/2021-19973.pdfhttps://regulations.justia.com/regulations/fedreg/2021/09/16/2021-19972.htmlNotice - Self-Regulatory Organizations; The Nasdaq Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Delete the Order Audit Trail System Rules in the Equity 5 Series of the Exchange's Rulebook2021-09-16T00:00:00-07:002021-09-16T00:00:00-07:002021-19972Noticehttps://www.govinfo.gov/content/pkg/FR-2021-09-16/pdf/2021-19972.pdfhttps://regulations.justia.com/regulations/fedreg/2021/09/16/2021-19971.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 Charges2021-09-16T00:00:00-07:002021-09-16T00:00:00-07:002021-19971Noticehttps://www.govinfo.gov/content/pkg/FR-2021-09-16/pdf/2021-19971.pdfhttps://regulations.justia.com/regulations/fedreg/2021/09/16/2021-19970.htmlNotice - Order Granting Application by The Nasdaq Stock Market LLC and Nasdaq BX, Inc. for an Exemption Pursuant to Section 36(a) of the Exchange Act From the Rule Filing Requirements of Section 19(b) of the Exchange Act With Respect to Certain Rules Incorporated by Reference2021-09-16T00:00:00-07:002021-09-16T00:00:00-07:002021-19970Noticehttps://www.govinfo.gov/content/pkg/FR-2021-09-16/pdf/2021-19970.pdfhttps://regulations.justia.com/regulations/fedreg/2021/09/16/2021-19969.htmlNotice - Self-Regulatory Organizations; Cboe BYX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Its Fee Schedule2021-09-16T00:00:00-07:002021-09-16T00:00:00-07:002021-19969Noticehttps://www.govinfo.gov/content/pkg/FR-2021-09-16/pdf/2021-19969.pdfhttps://regulations.justia.com/regulations/fedreg/2021/09/16/2021-19968.htmlNotice - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Order Granting Approval of a Proposed Rule Change Relating to Members' Filing Requirements Under FINRA Rule 6432 (Compliance With the Information Requirements of SEA Rule 15c2-11)2021-09-16T00:00:00-07:002021-09-16T00:00:00-07:002021-19968Noticehttps://www.govinfo.gov/content/pkg/FR-2021-09-16/pdf/2021-19968.pdfhttps://regulations.justia.com/regulations/fedreg/2021/09/15/2021-19864.htmlNotice - Self-Regulatory Organizations; BOX Exchange LLC; Notice of Filing of Proposed Rule Change Related to BOX Exchange LLC and BOX Holdings Group LLC Ownership Transfer Transactions2021-09-15T00:00:00-07:002021-09-15T00:00:00-07:002021-19864Noticehttps://www.govinfo.gov/content/pkg/FR-2021-09-15/pdf/2021-19864.pdfhttps://regulations.justia.com/regulations/fedreg/2021/09/15/2021-19863.htmlNotice - Self-Regulatory Organizations; ICE Clear Credit LLC; Order Approving Proposed Rule Change Relating to the ICE Clear Credit Operating Agreement and Governance Playbook2021-09-15T00:00:00-07:002021-09-15T00:00:00-07:002021-19863Noticehttps://www.govinfo.gov/content/pkg/FR-2021-09-15/pdf/2021-19863.pdfhttps://regulations.justia.com/regulations/fedreg/2021/09/15/2021-19862.htmlNotice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Modify the NYSE Arca Options Fee Schedule2021-09-15T00:00:00-07:002021-09-15T00:00:00-07:002021-19862Noticehttps://www.govinfo.gov/content/pkg/FR-2021-09-15/pdf/2021-19862.pdfhttps://regulations.justia.com/regulations/fedreg/2021/09/15/2021-19861.htmlNotice - Self-Regulatory Organizations; Cboe C2 Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Make Certain Corrections to the Rules2021-09-15T00:00:00-07:002021-09-15T00:00:00-07:002021-19861Noticehttps://www.govinfo.gov/content/pkg/FR-2021-09-15/pdf/2021-19861.pdfhttps://regulations.justia.com/regulations/fedreg/2021/09/15/2021-19860.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 Its Lead Market-Maker Incentive Programs2021-09-15T00:00:00-07:002021-09-15T00:00:00-07:002021-19860Noticehttps://www.govinfo.gov/content/pkg/FR-2021-09-15/pdf/2021-19860.pdfhttps://regulations.justia.com/regulations/fedreg/2021/09/15/2021-19859.htmlNotice - Self-Regulatory Organizations; Cboe EDGX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend EDGX Rule 11.1(a)(1) To Begin Accepting Orders at 2:30 a.m. Eastern Time2021-09-15T00:00:00-07:002021-09-15T00:00:00-07:002021-19859Noticehttps://www.govinfo.gov/content/pkg/FR-2021-09-15/pdf/2021-19859.pdfhttps://regulations.justia.com/regulations/fedreg/2021/09/15/2021-19858.htmlNotice - Self-Regulatory Organizations; Cboe Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Rule 5.32 in Connection With Participation Entitlements2021-09-15T00:00:00-07:002021-09-15T00:00:00-07:002021-19858Noticehttps://www.govinfo.gov/content/pkg/FR-2021-09-15/pdf/2021-19858.pdfhttps://regulations.justia.com/regulations/fedreg/2021/09/15/2021-19857.htmlNotice - Self-Regulatory Organizations; Cboe Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Rule 5.52 in Connection With the Minimum Initial Quote Size Requirement for Market-Makers2021-09-15T00:00:00-07:002021-09-15T00:00:00-07:002021-19857Noticehttps://www.govinfo.gov/content/pkg/FR-2021-09-15/pdf/2021-19857.pdfhttps://regulations.justia.com/regulations/fedreg/2021/09/15/2021-19856.htmlNotice - Self-Regulatory Organizations; The Nasdaq Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Extend the Expiration Date of the Temporary Amendments Concerning Video Conference Hearings2021-09-15T00:00:00-07:002021-09-15T00:00:00-07:002021-19856Noticehttps://www.govinfo.gov/content/pkg/FR-2021-09-15/pdf/2021-19856.pdfhttps://regulations.justia.com/regulations/fedreg/2021/09/15/2021-19855.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 98302021-09-15T00:00:00-07:002021-09-15T00:00:00-07:002021-19855Noticehttps://www.govinfo.gov/content/pkg/FR-2021-09-15/pdf/2021-19855.pdfhttps://regulations.justia.com/regulations/fedreg/2021/09/15/2021-19854.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 9261 and 98302021-09-15T00:00:00-07:002021-09-15T00:00:00-07:002021-19854Noticehttps://www.govinfo.gov/content/pkg/FR-2021-09-15/pdf/2021-19854.pdfhttps://regulations.justia.com/regulations/fedreg/2021/09/15/2021-19853.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 10.98302021-09-15T00:00:00-07:002021-09-15T00:00:00-07:002021-19853Noticehttps://www.govinfo.gov/content/pkg/FR-2021-09-15/pdf/2021-19853.pdfhttps://regulations.justia.com/regulations/fedreg/2021/09/15/2021-19852.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 9830 as set Forth in SR-NYSE-2020-762021-09-15T00:00:00-07:002021-09-15T00:00:00-07:002021-19852Noticehttps://www.govinfo.gov/content/pkg/FR-2021-09-15/pdf/2021-19852.pdfhttps://regulations.justia.com/regulations/fedreg/2021/09/15/2021-19851.htmlNotice - Self-Regulatory Organizations; Nasdaq PHLX LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Extend the Expiration Date of the Temporary Amendments Concerning Video Conference Hearings2021-09-15T00:00:00-07:002021-09-15T00:00:00-07:002021-19851Noticehttps://www.govinfo.gov/content/pkg/FR-2021-09-15/pdf/2021-19851.pdfhttps://regulations.justia.com/regulations/fedreg/2021/09/15/2021-19850.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 Establish the “Extended Trading Close” and a New “Extended Trading Close” Order Type2021-09-15T00:00:00-07:002021-09-15T00:00:00-07:002021-19850Noticehttps://www.govinfo.gov/content/pkg/FR-2021-09-15/pdf/2021-19850.pdfhttps://regulations.justia.com/regulations/fedreg/2021/09/15/2021-19820.htmlNotice - High Income Securities Fund2021-09-15T00:00:00-07:002021-09-15T00:00:00-07:002021-19820Noticehttps://www.govinfo.gov/content/pkg/FR-2021-09-15/pdf/2021-19820.pdfhttps://regulations.justia.com/regulations/fedreg/2021/09/14/2021-19730.htmlNotice - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend its Price List2021-09-14T00:00:00-07:002021-09-14T00:00:00-07:002021-19730Noticehttps://www.govinfo.gov/content/pkg/FR-2021-09-14/pdf/2021-19730.pdfhttps://regulations.justia.com/regulations/fedreg/2021/09/14/2021-19729.htmlNotice - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Extend the Implementation Date of Certain Amendments to FINRA Rule 4210 Approved Pursuant to SR-FINRA-2015-0362021-09-14T00:00:00-07:002021-09-14T00:00:00-07:002021-19729Noticehttps://www.govinfo.gov/content/pkg/FR-2021-09-14/pdf/2021-19729.pdfhttps://regulations.justia.com/regulations/fedreg/2021/09/14/2021-19728.htmlNotice - Self-Regulatory Organizations; MEMX LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the Exchange's Fee Schedule2021-09-14T00:00:00-07:002021-09-14T00:00:00-07:002021-19728Noticehttps://www.govinfo.gov/content/pkg/FR-2021-09-14/pdf/2021-19728.pdfhttps://regulations.justia.com/regulations/fedreg/2021/09/14/2021-19727.htmlNotice - Self-Regulatory Organizations; ICE Clear Credit LLC; Order Approving Proposed Rule Change Relating to the ICC Exercise Procedures2021-09-14T00:00:00-07:002021-09-14T00:00:00-07:002021-19727Noticehttps://www.govinfo.gov/content/pkg/FR-2021-09-14/pdf/2021-19727.pdfhttps://regulations.justia.com/regulations/fedreg/2021/09/14/2021-19726.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 List and Trade Shares of the VanEck Bitcoin Trust Under BZX Rule 14.11(e)(4), Commodity-Based Trust Shares2021-09-14T00:00:00-07:002021-09-14T00:00:00-07:002021-19726Noticehttps://www.govinfo.gov/content/pkg/FR-2021-09-14/pdf/2021-19726.pdfhttps://regulations.justia.com/regulations/fedreg/2021/09/14/2021-19725.htmlNotice - Self-Regulatory Organizations; ICE Clear Credit LLC; Notice of Filing of Proposed Rule Change Relating to the ICC Back-Testing Framework2021-09-14T00:00:00-07:002021-09-14T00:00:00-07:002021-19725Noticehttps://www.govinfo.gov/content/pkg/FR-2021-09-14/pdf/2021-19725.pdfhttps://regulations.justia.com/regulations/fedreg/2021/09/13/2021-19613.htmlNotice - Self-Regulatory Organizations; Cboe EDGX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend its Fee Schedule2021-09-13T00:00:00-07:002021-09-13T00:00:00-07:002021-19613Noticehttps://www.govinfo.gov/content/pkg/FR-2021-09-13/pdf/2021-19613.pdfhttps://regulations.justia.com/regulations/fedreg/2021/09/13/2021-19612.htmlNotice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Modify the Arca Options Deep Market Data Product2021-09-13T00:00:00-07:002021-09-13T00:00:00-07:002021-19612Noticehttps://www.govinfo.gov/content/pkg/FR-2021-09-13/pdf/2021-19612.pdfhttps://regulations.justia.com/regulations/fedreg/2021/09/13/2021-19611.htmlNotice - Self-Regulatory Organizations; ICE Clear Europe Limited; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Amendments to Part EE of Its Delivery Procedures2021-09-13T00:00:00-07:002021-09-13T00:00:00-07:002021-19611Noticehttps://www.govinfo.gov/content/pkg/FR-2021-09-13/pdf/2021-19611.pdfhttps://regulations.justia.com/regulations/fedreg/2021/09/13/2021-19610.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 Charges2021-09-13T00:00:00-07:002021-09-13T00:00:00-07:002021-19610Noticehttps://www.govinfo.gov/content/pkg/FR-2021-09-13/pdf/2021-19610.pdfhttps://regulations.justia.com/regulations/fedreg/2021/09/10/2021-19667.htmlNotice - Sunshine Act Meetings2021-09-10T00:00:00-07:002021-09-10T00:00:00-07:002021-19667Noticehttps://www.govinfo.gov/content/pkg/FR-2021-09-10/pdf/2021-19667.pdfhttps://regulations.justia.com/regulations/fedreg/2021/09/10/2021-19542.htmlNotice - Submission for OMB Review; Comment Request2021-09-10T00:00:00-07:002021-09-10T00:00:00-07:002021-19542Noticehttps://www.govinfo.gov/content/pkg/FR-2021-09-10/pdf/2021-19542.pdfhttps://regulations.justia.com/regulations/fedreg/2021/09/10/2021-19541.htmlNotice - Submission for OMB Review; Comment Request2021-09-10T00:00:00-07:002021-09-10T00:00:00-07:002021-19541Noticehttps://www.govinfo.gov/content/pkg/FR-2021-09-10/pdf/2021-19541.pdfhttps://regulations.justia.com/regulations/fedreg/2021/09/10/2021-19509.htmlNotice - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing of Proposed Rule Change Proposing To Adopt Listing Standards for Subscription Warrants Issued by a Company Organized Solely for the Purpose of Identifying an Acquisition Target2021-09-10T00:00:00-07:002021-09-10T00:00:00-07:002021-19509Noticehttps://www.govinfo.gov/content/pkg/FR-2021-09-10/pdf/2021-19509.pdfhttps://regulations.justia.com/regulations/fedreg/2021/09/09/2021-19557.htmlNotice - Sunshine Act Meeting2021-09-09T00:00:00-07:002021-09-09T00:00:00-07:002021-19557Noticehttps://www.govinfo.gov/content/pkg/FR-2021-09-09/pdf/2021-19557.pdfhttps://regulations.justia.com/regulations/fedreg/2021/09/09/2021-19423.htmlNotice - Self-Regulatory Organizations; Nasdaq PHLX LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Various Phlx Rules2021-09-09T00:00:00-07:002021-09-09T00:00:00-07:002021-19423Noticehttps://www.govinfo.gov/content/pkg/FR-2021-09-09/pdf/2021-19423.pdfhttps://regulations.justia.com/regulations/fedreg/2021/09/09/2021-19422.htmlNotice - Self-Regulatory Organizations; Investors Exchange LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Eliminate IEX Rule 11.420 (Order Audit Trail System (“OATS”) Requirements) To Reflect the September 1, 2021 Retirement of OATS2021-09-09T00:00:00-07:002021-09-09T00:00:00-07:002021-19422Noticehttps://www.govinfo.gov/content/pkg/FR-2021-09-09/pdf/2021-19422.pdfhttps://regulations.justia.com/regulations/fedreg/2021/09/09/2021-19421.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 Sprott ESG Gold ETF Under NYSE Arca Rule 8.201-E (Commodity-Based Trust Shares)2021-09-09T00:00:00-07:002021-09-09T00:00:00-07:002021-19421Noticehttps://www.govinfo.gov/content/pkg/FR-2021-09-09/pdf/2021-19421.pdfhttps://regulations.justia.com/regulations/fedreg/2021/09/09/2021-19420.htmlNotice - Self-Regulatory Organizations; The Nasdaq Stock Market LLC; Notice of Filing of a Proposed Rule Change, as Modified by Amendment No. 1, To List and Trade Shares of the Valkyrie XBTO Bitcoin Futures Fund Under Nasdaq Rule 5711(g)2021-09-09T00:00:00-07:002021-09-09T00:00:00-07:002021-19420Noticehttps://www.govinfo.gov/content/pkg/FR-2021-09-09/pdf/2021-19420.pdfhttps://regulations.justia.com/regulations/fedreg/2021/09/09/2021-19419.htmlNotice - Self-Regulatory Organizations; The Depository Trust Company; Notice of Designation of Longer Period for Commission Action on 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 Corporation2021-09-09T00:00:00-07:002021-09-09T00:00:00-07:002021-19419Noticehttps://www.govinfo.gov/content/pkg/FR-2021-09-09/pdf/2021-19419.pdfhttps://regulations.justia.com/regulations/fedreg/2021/09/09/2021-19418.htmlNotice - Self-Regulatory Organizations; National Securities Clearing Corporation; Notice of Designation of Longer Period for Commission Action on a Proposed Rule Change To Establish the Securities Financing Transaction Clearing Service and Make Other Changes2021-09-09T00:00:00-07:002021-09-09T00:00:00-07:002021-19418Noticehttps://www.govinfo.gov/content/pkg/FR-2021-09-09/pdf/2021-19418.pdfhttps://regulations.justia.com/regulations/fedreg/2021/09/09/2021-19416.htmlNotice - SEC Small Business Capital Formation Advisory Committee2021-09-09T00:00:00-07:002021-09-09T00:00:00-07:002021-19416Noticehttps://www.govinfo.gov/content/pkg/FR-2021-09-09/pdf/2021-19416.pdfhttps://regulations.justia.com/regulations/fedreg/2021/09/08/2021-19489.htmlNotice - MainStay CBRE Global Infrastructure Megatrends Fund, et al.2021-09-08T00:00:00-07:002021-09-08T00:00:00-07:002021-19489Noticehttps://www.govinfo.gov/content/pkg/FR-2021-09-08/pdf/2021-19489.pdfhttps://regulations.justia.com/regulations/fedreg/2021/09/08/2021-19296.htmlNotice - Self-Regulatory Organizations; Long-Term Stock Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Eliminate LTSE Rule 11.420 (Order Audit Trail System (“OATS”) Requirements)2021-09-08T00:00:00-07:002021-09-08T00:00:00-07:002021-19296Noticehttps://www.govinfo.gov/content/pkg/FR-2021-09-08/pdf/2021-19296.pdfhttps://regulations.justia.com/regulations/fedreg/2021/09/08/2021-19295.htmlNotice - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Delete the Order Audit Trail System Rules in the Rule 7400 Series2021-09-08T00:00:00-07:002021-09-08T00:00:00-07:002021-19295Noticehttps://www.govinfo.gov/content/pkg/FR-2021-09-08/pdf/2021-19295.pdfhttps://regulations.justia.com/regulations/fedreg/2021/09/08/2021-19294.htmlNotice - Self-Regulatory Organizations; MEMX LLC; Notice of Filing of a Proposed Rule Change To Establish a Retail Midpoint Liquidity Program2021-09-08T00:00:00-07:002021-09-08T00:00:00-07:002021-19294Noticehttps://www.govinfo.gov/content/pkg/FR-2021-09-08/pdf/2021-19294.pdfhttps://regulations.justia.com/regulations/fedreg/2021/09/08/2021-19293.htmlNotice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing of Proposed Rule Change To List and Trade Shares of the Franklin Responsibly Sourced Gold ETF Under NYSE Arca Rule 8.201-E2021-09-08T00:00:00-07:002021-09-08T00:00:00-07:002021-19293Noticehttps://www.govinfo.gov/content/pkg/FR-2021-09-08/pdf/2021-19293.pdfhttps://regulations.justia.com/regulations/fedreg/2021/09/08/2021-19292.htmlNotice - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing of Proposed Rule Change To Amend the Requirements of Section 102.06 of the NYSE Listed Company Manual To Allow an Acquisition Company To Contribute a Portion of Its Trust Account to a New Acquisition Company and Spin-Off the New Acquisition Company to Its Shareholders2021-09-08T00:00:00-07:002021-09-08T00:00:00-07:002021-19292Noticehttps://www.govinfo.gov/content/pkg/FR-2021-09-08/pdf/2021-19292.pdfhttps://regulations.justia.com/regulations/fedreg/2021/09/08/2021-19291.htmlNotice - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Extend the Expiration Dates of FINRA Rules 0180 (Application of Rules to Security-Based Swaps) and 4240 (Margin Requirements for Credit Default Swaps) and Amend FINRA Rule 4240 To Add Supplementary Material .022021-09-08T00:00:00-07:002021-09-08T00:00:00-07:002021-19291Noticehttps://www.govinfo.gov/content/pkg/FR-2021-09-08/pdf/2021-19291.pdfhttps://regulations.justia.com/regulations/fedreg/2021/09/08/2021-19289.htmlNotice - Investment Managers Series Trust and Hamilton Lane Advisors, L.L.C.; Notice of Application2021-09-08T00:00:00-07:002021-09-08T00:00:00-07:002021-19289Noticehttps://www.govinfo.gov/content/pkg/FR-2021-09-08/pdf/2021-19289.pdfhttps://regulations.justia.com/regulations/fedreg/2021/09/07/2021-19368.htmlNotice - Sunshine Act Meetings2021-09-07T00:00:00-07:002021-09-07T00:00:00-07:002021-19368Noticehttps://www.govinfo.gov/content/pkg/FR-2021-09-07/pdf/2021-19368.pdfhttps://regulations.justia.com/regulations/fedreg/2021/09/07/2021-19341.htmlNotice - Joint Industry Plan; Notice of Designation of a Longer Period for Commission Action on a Proposed Amendment to the National Market System Plan Governing the Consolidated Audit Trail2021-09-07T00:00:00-07:002021-09-07T00:00:00-07:002021-19341Noticehttps://www.govinfo.gov/content/pkg/FR-2021-09-07/pdf/2021-19341.pdfhttps://regulations.justia.com/regulations/fedreg/2021/09/07/2021-19201.htmlNotice - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Designation of a Longer Period for Commission Action on Proposed Rule Change To Adopt on a Permanent Basis the Pilot Program for Market-Wide Circuit Breakers in Rule 7.12.2021-09-07T00:00:00-07:002021-09-07T00:00:00-07:002021-19201Noticehttps://www.govinfo.gov/content/pkg/FR-2021-09-07/pdf/2021-19201.pdfhttps://regulations.justia.com/regulations/fedreg/2021/09/03/C1-2021-16671.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)2021-09-03T00:00:00-07:002021-09-03T00:00:00-07:00C1-2021-16671Noticehttps://www.govinfo.gov/content/pkg/FR-2021-09-03/pdf/C1-2021-16671.pdfhttps://regulations.justia.com/regulations/fedreg/2021/09/03/2021-19290.htmlNotice - Sunshine Act Meetings2021-09-03T00:00:00-07:002021-09-03T00:00:00-07:002021-19290Noticehttps://www.govinfo.gov/content/pkg/FR-2021-09-03/pdf/2021-19290.pdfhttps://regulations.justia.com/regulations/fedreg/2021/09/03/2021-19046.htmlNotice - Self-Regulatory Organizations; Fixed Income Clearing Corporation; Notice of Filing of Amendment No. 1 and Order Granting Accelerated Approval of a Proposed Rule Change, as Modified by Amendment No. 1, To Add the Sponsored GC Service and Make Other Changes2021-09-03T00:00:00-07:002021-09-03T00:00:00-07:002021-19046Noticehttps://www.govinfo.gov/content/pkg/FR-2021-09-03/pdf/2021-19046.pdfhttps://regulations.justia.com/regulations/fedreg/2021/09/03/2021-19045.htmlNotice - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Extend the Temporary Period for Specified Commentaries to Rules 7.35A and 7.35C and Temporary Rule Relief in Rule 36.302021-09-03T00:00:00-07:002021-09-03T00:00:00-07:002021-19045Noticehttps://www.govinfo.gov/content/pkg/FR-2021-09-03/pdf/2021-19045.pdfhttps://regulations.justia.com/regulations/fedreg/2021/09/03/2021-19030.htmlNotice - Submission for OMB Review; Comment Request2021-09-03T00:00:00-07:002021-09-03T00:00:00-07:002021-19030Noticehttps://www.govinfo.gov/content/pkg/FR-2021-09-03/pdf/2021-19030.pdfhttps://regulations.justia.com/regulations/fedreg/2021/09/03/2021-19029.htmlNotice - Submission for OMB Review; Comment Request2021-09-03T00:00:00-07:002021-09-03T00:00:00-07:002021-19029Noticehttps://www.govinfo.gov/content/pkg/FR-2021-09-03/pdf/2021-19029.pdfhttps://regulations.justia.com/regulations/fedreg/2021/09/03/2021-19028.htmlNotice - Submission for OMB Review; Comment Request2021-09-03T00:00:00-07:002021-09-03T00:00:00-07:002021-19028Noticehttps://www.govinfo.gov/content/pkg/FR-2021-09-03/pdf/2021-19028.pdfhttps://regulations.justia.com/regulations/fedreg/2021/09/02/2021-18950.htmlNotice - Self-Regulatory Organizations; Fixed Income Clearing Corporation; Notice of Filing of Amendment No. 1 and Notice of No Objection to Advance Notice, as Modified by Amendment No. 1, To Add the Sponsored GC Service and Make Other Changes2021-09-02T00:00:00-07:002021-09-02T00:00:00-07:002021-18950Noticehttps://www.govinfo.gov/content/pkg/FR-2021-09-02/pdf/2021-18950.pdfhttps://regulations.justia.com/regulations/fedreg/2021/09/02/2021-18949.htmlNotice - Self-Regulatory Organizations; MIAX PEARL, LLC; Suspension of and Order Instituting Proceedings To Determine Whether To Approve or Disapprove Proposed Rule Changes To Amend the MIAX Pearl Options Fee Schedule To Increase the Monthly Fees for MIAX Express Network Full Service Ports2021-09-02T00:00:00-07:002021-09-02T00:00:00-07:002021-18949Noticehttps://www.govinfo.gov/content/pkg/FR-2021-09-02/pdf/2021-18949.pdfhttps://regulations.justia.com/regulations/fedreg/2021/09/02/2021-18948.htmlNotice - Self-Regulatory Organizations; MIAX PEARL, LLC; Suspension of and Order Instituting Proceedings To Determine Whether To Approve or Disapprove Proposed Rule Changes To Amend the MIAX Pearl Options Fee Schedule To Remove Certain Credits and Increase Trading Permit Fees2021-09-02T00:00:00-07:002021-09-02T00:00:00-07:002021-18948Noticehttps://www.govinfo.gov/content/pkg/FR-2021-09-02/pdf/2021-18948.pdfhttps://regulations.justia.com/regulations/fedreg/2021/09/02/2021-18947.htmlNotice - Self-Regulatory Organizations; BOX 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 Adopt Rules Governing the Trading of Equity Securities on the Exchange Through a Facility of the Exchange Known as the Boston Security Token Exchange LLC2021-09-02T00:00:00-07:002021-09-02T00:00:00-07:002021-18947Noticehttps://www.govinfo.gov/content/pkg/FR-2021-09-02/pdf/2021-18947.pdfhttps://regulations.justia.com/regulations/fedreg/2021/09/02/2021-18946.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 Proceedings To Determine Whether To Approve or Disapprove 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 Jersey2021-09-02T00:00:00-07:002021-09-02T00:00:00-07:002021-18946Noticehttps://www.govinfo.gov/content/pkg/FR-2021-09-02/pdf/2021-18946.pdfhttps://regulations.justia.com/regulations/fedreg/2021/09/02/2021-18945.htmlNotice - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Form CMA (Continuing Membership Application Form)2021-09-02T00:00:00-07:002021-09-02T00:00:00-07:002021-18945Noticehttps://www.govinfo.gov/content/pkg/FR-2021-09-02/pdf/2021-18945.pdfhttps://regulations.justia.com/regulations/fedreg/2021/09/02/2021-18944.htmlNotice - Self-Regulatory Organizations; Miami International Securities Exchange, LLC, MIAX Emerald, LLC, and MIAX PEARL, LLC; Suspension of and Order Instituting Proceedings To Determine Whether To Approve or Disapprove Proposed Rule Changes To Amend Fees for Purge Ports2021-09-02T00:00:00-07:002021-09-02T00:00:00-07:002021-18944Noticehttps://www.govinfo.gov/content/pkg/FR-2021-09-02/pdf/2021-18944.pdfhttps://regulations.justia.com/regulations/fedreg/2021/09/02/2021-18943.htmlNotice - Self-Regulatory Organizations; The Nasdaq Stock Market LLC; Notice of Filing of Proposed Rule Change To Amend Nasdaq Rule 5750 (Proxy Portfolio 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 Proxy Portfolio Shares2021-09-02T00:00:00-07:002021-09-02T00:00:00-07:002021-18943Noticehttps://www.govinfo.gov/content/pkg/FR-2021-09-02/pdf/2021-18943.pdfhttps://regulations.justia.com/regulations/fedreg/2021/09/02/2021-18942.htmlNotice - Self-Regulatory Organizations; Miami International Securities Exchange, LLC and MIAX Emerald, LLC; Suspension of and Order Instituting Proceedings To Determine Whether To Approve or Disapprove Proposed Rule Changes To Establish Fees for the Exchanges' cToM Market Data Products2021-09-02T00:00:00-07:002021-09-02T00:00:00-07:002021-18942Noticehttps://www.govinfo.gov/content/pkg/FR-2021-09-02/pdf/2021-18942.pdfhttps://regulations.justia.com/regulations/fedreg/2021/09/02/2021-18941.htmlNotice - Self-Regulatory Organizations; ICE Clear Europe Limited; Order Granting Approval of Proposed Rule Change, as Modified by Partial Amendment No. 1, Relating to the Clearing Rules, Clearing Procedures, Finance Procedures, Delivery Procedures, CDS Procedures, Membership Procedures, Complaint Resolution Procedures, and General Contract Terms2021-09-02T00:00:00-07:002021-09-02T00:00:00-07:002021-18941Noticehttps://www.govinfo.gov/content/pkg/FR-2021-09-02/pdf/2021-18941.pdfhttps://regulations.justia.com/regulations/fedreg/2021/09/02/2021-18927.htmlNotice - Notice of Applications for Deregistration Under Section 8(f) of the Investment Company Act of 19402021-09-02T00:00:00-07:002021-09-02T00:00:00-07:002021-18927Noticehttps://www.govinfo.gov/content/pkg/FR-2021-09-02/pdf/2021-18927.pdfhttps://regulations.justia.com/regulations/fedreg/2021/09/01/2021-18908.htmlNotice - Investor Advisory Committee Meeting2021-09-01T00:00:00-07:002021-09-01T00:00:00-07:002021-18908Noticehttps://www.govinfo.gov/content/pkg/FR-2021-09-01/pdf/2021-18908.pdfhttps://regulations.justia.com/regulations/fedreg/2021/09/01/2021-18901.htmlNotice - Request for Information and Comments on Broker-Dealer and Investment Adviser Digital Engagement Practices, Related Tools and Methods, and Regulatory Considerations and Potential Approaches; Information and Comments on Investment Adviser Use of Technology To Develop and Provide Investment Advice2021-09-01T00:00:00-07:002021-09-01T00:00:00-07:002021-18901Noticehttps://www.govinfo.gov/content/pkg/FR-2021-09-01/pdf/2021-18901.pdfhttps://regulations.justia.com/regulations/fedreg/2021/09/01/2021-18802.htmlNotice - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending the Term “Related Party Transactions” Under Section 314.00 of the NYSE Listed Company Manual2021-09-01T00:00:00-07:002021-09-01T00:00:00-07:002021-18802Noticehttps://www.govinfo.gov/content/pkg/FR-2021-09-01/pdf/2021-18802.pdf