<![CDATA[Federal Register Recent Federal Regulation Documents - Justia Regulation Tracker - Justia Regulations Tracker]]> https://regulations.justia.com/regulations/fedreg/agencies/securities-and-exchange-commission/2021/09?registers=between&min-day=1&max-day=30 Tue, 30 Apr 2024 05:45:10 -0700 Tue, 30 Apr 2024 05:45:10 -0700 Justia Regulations Tracker Copyright 2011 Justia Inc. https://regulations.justia.com/images/justiafedregulations.gif <![CDATA[Federal Register Recent Federal Regulation Documents - Justia Regulation Tracker - Justia Regulations Tracker]]> https://regulations.justia.com/regulations/fedreg/agencies/securities-and-exchange-commission/2021/09?registers=between&min-day=1&max-day=30 Notice - Optimum Fund Trust, et al.; Notice of Application https://regulations.justia.com/regulations/fedreg/2021/09/30/2021-21321.html https://regulations.justia.com/regulations/fedreg/2021/09/30/2021-21321.html Thu, 30 Sep 2021 00:00:00 -0700 2021-21321 Notice https://www.govinfo.gov/content/pkg/FR-2021-09-30/pdf/2021-21321.pdf Notice - 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 Tool https://regulations.justia.com/regulations/fedreg/2021/09/30/2021-21212.html https://regulations.justia.com/regulations/fedreg/2021/09/30/2021-21212.html Thu, 30 Sep 2021 00:00:00 -0700 2021-21212 Notice https://www.govinfo.gov/content/pkg/FR-2021-09-30/pdf/2021-21212.pdf Notice - 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 Changes https://regulations.justia.com/regulations/fedreg/2021/09/30/2021-21211.html https://regulations.justia.com/regulations/fedreg/2021/09/30/2021-21211.html Thu, 30 Sep 2021 00:00:00 -0700 2021-21211 Notice https://www.govinfo.gov/content/pkg/FR-2021-09-30/pdf/2021-21211.pdf Notice - 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 Rebates https://regulations.justia.com/regulations/fedreg/2021/09/30/2021-21210.html https://regulations.justia.com/regulations/fedreg/2021/09/30/2021-21210.html Thu, 30 Sep 2021 00:00:00 -0700 2021-21210 Notice https://www.govinfo.gov/content/pkg/FR-2021-09-30/pdf/2021-21210.pdf Notice - 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 Baskets https://regulations.justia.com/regulations/fedreg/2021/09/30/2021-21209.html https://regulations.justia.com/regulations/fedreg/2021/09/30/2021-21209.html Thu, 30 Sep 2021 00:00:00 -0700 2021-21209 Notice https://www.govinfo.gov/content/pkg/FR-2021-09-30/pdf/2021-21209.pdf Notice - 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 Offering https://regulations.justia.com/regulations/fedreg/2021/09/30/2021-21208.html https://regulations.justia.com/regulations/fedreg/2021/09/30/2021-21208.html Thu, 30 Sep 2021 00:00:00 -0700 2021-21208 Notice https://www.govinfo.gov/content/pkg/FR-2021-09-30/pdf/2021-21208.pdf Notice - Notice of Applications for Deregistration Under Section 8(f) of the Investment Company Act of 1940 https://regulations.justia.com/regulations/fedreg/2021/09/30/2021-21206.html https://regulations.justia.com/regulations/fedreg/2021/09/30/2021-21206.html Thu, 30 Sep 2021 00:00:00 -0700 2021-21206 Notice https://www.govinfo.gov/content/pkg/FR-2021-09-30/pdf/2021-21206.pdf Notice - The Optima Dynamic Alternatives Fund, et al; https://regulations.justia.com/regulations/fedreg/2021/09/29/2021-21187.html https://regulations.justia.com/regulations/fedreg/2021/09/29/2021-21187.html Wed, 29 Sep 2021 00:00:00 -0700 2021-21187 Notice https://www.govinfo.gov/content/pkg/FR-2021-09-29/pdf/2021-21187.pdf Notice - 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. https://regulations.justia.com/regulations/fedreg/2021/09/29/2021-21113.html https://regulations.justia.com/regulations/fedreg/2021/09/29/2021-21113.html Wed, 29 Sep 2021 00:00:00 -0700 2021-21113 Notice https://www.govinfo.gov/content/pkg/FR-2021-09-29/pdf/2021-21113.pdf Notice - 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) https://regulations.justia.com/regulations/fedreg/2021/09/29/2021-21112.html https://regulations.justia.com/regulations/fedreg/2021/09/29/2021-21112.html Wed, 29 Sep 2021 00:00:00 -0700 2021-21112 Notice https://www.govinfo.gov/content/pkg/FR-2021-09-29/pdf/2021-21112.pdf Notice - 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 Schedule https://regulations.justia.com/regulations/fedreg/2021/09/29/2021-21111.html https://regulations.justia.com/regulations/fedreg/2021/09/29/2021-21111.html Wed, 29 Sep 2021 00:00:00 -0700 2021-21111 Notice https://www.govinfo.gov/content/pkg/FR-2021-09-29/pdf/2021-21111.pdf Notice - 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 ETF https://regulations.justia.com/regulations/fedreg/2021/09/29/2021-21110.html https://regulations.justia.com/regulations/fedreg/2021/09/29/2021-21110.html Wed, 29 Sep 2021 00:00:00 -0700 2021-21110 Notice https://www.govinfo.gov/content/pkg/FR-2021-09-29/pdf/2021-21110.pdf Notice - 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-Location https://regulations.justia.com/regulations/fedreg/2021/09/29/2021-21109.html https://regulations.justia.com/regulations/fedreg/2021/09/29/2021-21109.html Wed, 29 Sep 2021 00:00:00 -0700 2021-21109 Notice https://www.govinfo.gov/content/pkg/FR-2021-09-29/pdf/2021-21109.pdf Notice - Sunshine Act Meetings https://regulations.justia.com/regulations/fedreg/2021/09/28/2021-21118.html https://regulations.justia.com/regulations/fedreg/2021/09/28/2021-21118.html Tue, 28 Sep 2021 00:00:00 -0700 2021-21118 Notice https://www.govinfo.gov/content/pkg/FR-2021-09-28/pdf/2021-21118.pdf Notice - Public Company Accounting Oversight Board; Notice of Filing of Proposed Rule on Board Determinations Under the Holding Foreign Companies Accountable Act https://regulations.justia.com/regulations/fedreg/2021/09/28/2021-21056.html https://regulations.justia.com/regulations/fedreg/2021/09/28/2021-21056.html Tue, 28 Sep 2021 00:00:00 -0700 2021-21056 Notice https://www.govinfo.gov/content/pkg/FR-2021-09-28/pdf/2021-21056.pdf Notice - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Order Instituting Proceedings To Determine Whether To Approve or Disapprove the Proposed Rule Change To Amend Rule 2165 (Financial Exploitation of Specified Adults) https://regulations.justia.com/regulations/fedreg/2021/09/28/2021-20970.html https://regulations.justia.com/regulations/fedreg/2021/09/28/2021-20970.html Tue, 28 Sep 2021 00:00:00 -0700 2021-20970 Notice https://www.govinfo.gov/content/pkg/FR-2021-09-28/pdf/2021-20970.pdf Notice - Self-Regulatory Organizations; the Options Clearing Corporation; Order Granting Approval of Proposed Rule Change Concerning the Options Clearing Corporation's Governance Arrangements https://regulations.justia.com/regulations/fedreg/2021/09/28/2021-20969.html https://regulations.justia.com/regulations/fedreg/2021/09/28/2021-20969.html Tue, 28 Sep 2021 00:00:00 -0700 2021-20969 Notice https://www.govinfo.gov/content/pkg/FR-2021-09-28/pdf/2021-20969.pdf Notice - Sunshine Act Meetings https://regulations.justia.com/regulations/fedreg/2021/09/27/2021-20967.html https://regulations.justia.com/regulations/fedreg/2021/09/27/2021-20967.html Mon, 27 Sep 2021 00:00:00 -0700 2021-20967 Notice https://www.govinfo.gov/content/pkg/FR-2021-09-27/pdf/2021-20967.pdf Notice - Submission for OMB Review; Comment Request https://regulations.justia.com/regulations/fedreg/2021/09/27/2021-20904.html https://regulations.justia.com/regulations/fedreg/2021/09/27/2021-20904.html Mon, 27 Sep 2021 00:00:00 -0700 2021-20904 Notice https://www.govinfo.gov/content/pkg/FR-2021-09-27/pdf/2021-20904.pdf Notice - 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) https://regulations.justia.com/regulations/fedreg/2021/09/27/2021-20818.html https://regulations.justia.com/regulations/fedreg/2021/09/27/2021-20818.html Mon, 27 Sep 2021 00:00:00 -0700 2021-20818 Notice https://www.govinfo.gov/content/pkg/FR-2021-09-27/pdf/2021-20818.pdf Notice - Self-Regulatory Organizations; ICE Clear Europe Limited; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Amendments to the ICE Clear Europe Delivery Procedures https://regulations.justia.com/regulations/fedreg/2021/09/27/2021-20817.html https://regulations.justia.com/regulations/fedreg/2021/09/27/2021-20817.html Mon, 27 Sep 2021 00:00:00 -0700 2021-20817 Notice https://www.govinfo.gov/content/pkg/FR-2021-09-27/pdf/2021-20817.pdf Notice - 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 Exchange https://regulations.justia.com/regulations/fedreg/2021/09/27/2021-20816.html https://regulations.justia.com/regulations/fedreg/2021/09/27/2021-20816.html Mon, 27 Sep 2021 00:00:00 -0700 2021-20816 Notice https://www.govinfo.gov/content/pkg/FR-2021-09-27/pdf/2021-20816.pdf Notice - Sunshine Act Meeting https://regulations.justia.com/regulations/fedreg/2021/09/24/2021-20942.html https://regulations.justia.com/regulations/fedreg/2021/09/24/2021-20942.html Fri, 24 Sep 2021 00:00:00 -0700 2021-20942 Notice https://www.govinfo.gov/content/pkg/FR-2021-09-24/pdf/2021-20942.pdf Notice - 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 Rules https://regulations.justia.com/regulations/fedreg/2021/09/24/2021-20659.html https://regulations.justia.com/regulations/fedreg/2021/09/24/2021-20659.html Fri, 24 Sep 2021 00:00:00 -0700 2021-20659 Notice https://www.govinfo.gov/content/pkg/FR-2021-09-24/pdf/2021-20659.pdf Notice - Self-Regulatory Organizations; Nasdaq BX, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Options 3, Section 26, Message Traffic Mitigation https://regulations.justia.com/regulations/fedreg/2021/09/24/2021-20658.html https://regulations.justia.com/regulations/fedreg/2021/09/24/2021-20658.html Fri, 24 Sep 2021 00:00:00 -0700 2021-20658 Notice https://www.govinfo.gov/content/pkg/FR-2021-09-24/pdf/2021-20658.pdf Notice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Withdrawal of a Proposed Rule Change To Amend the NYSE Arca Equities Fees and Charges https://regulations.justia.com/regulations/fedreg/2021/09/24/2021-20657.html https://regulations.justia.com/regulations/fedreg/2021/09/24/2021-20657.html Fri, 24 Sep 2021 00:00:00 -0700 2021-20657 Notice https://www.govinfo.gov/content/pkg/FR-2021-09-24/pdf/2021-20657.pdf Notice - 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-O https://regulations.justia.com/regulations/fedreg/2021/09/24/2021-20656.html https://regulations.justia.com/regulations/fedreg/2021/09/24/2021-20656.html Fri, 24 Sep 2021 00:00:00 -0700 2021-20656 Notice https://www.govinfo.gov/content/pkg/FR-2021-09-24/pdf/2021-20656.pdf Notice - 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 Mitigation https://regulations.justia.com/regulations/fedreg/2021/09/24/2021-20655.html https://regulations.justia.com/regulations/fedreg/2021/09/24/2021-20655.html Fri, 24 Sep 2021 00:00:00 -0700 2021-20655 Notice https://www.govinfo.gov/content/pkg/FR-2021-09-24/pdf/2021-20655.pdf Notice - 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 Rules https://regulations.justia.com/regulations/fedreg/2021/09/24/2021-20654.html https://regulations.justia.com/regulations/fedreg/2021/09/24/2021-20654.html Fri, 24 Sep 2021 00:00:00 -0700 2021-20654 Notice https://www.govinfo.gov/content/pkg/FR-2021-09-24/pdf/2021-20654.pdf Notice - Securities Exchange Act of 1934 https://regulations.justia.com/regulations/fedreg/2021/09/23/2021-20554.html https://regulations.justia.com/regulations/fedreg/2021/09/23/2021-20554.html Thu, 23 Sep 2021 00:00:00 -0700 2021-20554 Notice https://www.govinfo.gov/content/pkg/FR-2021-09-23/pdf/2021-20554.pdf Notice - 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 Members https://regulations.justia.com/regulations/fedreg/2021/09/23/2021-20553.html https://regulations.justia.com/regulations/fedreg/2021/09/23/2021-20553.html Thu, 23 Sep 2021 00:00:00 -0700 2021-20553 Notice https://www.govinfo.gov/content/pkg/FR-2021-09-23/pdf/2021-20553.pdf Notice - 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”) https://regulations.justia.com/regulations/fedreg/2021/09/23/2021-20552.html https://regulations.justia.com/regulations/fedreg/2021/09/23/2021-20552.html Thu, 23 Sep 2021 00:00:00 -0700 2021-20552 Notice https://www.govinfo.gov/content/pkg/FR-2021-09-23/pdf/2021-20552.pdf Notice - Sunshine Act Meetings https://regulations.justia.com/regulations/fedreg/2021/09/22/2021-20614.html https://regulations.justia.com/regulations/fedreg/2021/09/22/2021-20614.html Wed, 22 Sep 2021 00:00:00 -0700 2021-20614 Notice https://www.govinfo.gov/content/pkg/FR-2021-09-22/pdf/2021-20614.pdf Notice - Securities Act of 1933; Securities Exchange Act of 1934; Order Approving the Public Company Accounting Oversight Board Supplemental Budget for Calendar Year 2021 https://regulations.justia.com/regulations/fedreg/2021/09/22/2021-20515.html https://regulations.justia.com/regulations/fedreg/2021/09/22/2021-20515.html Wed, 22 Sep 2021 00:00:00 -0700 2021-20515 Notice https://www.govinfo.gov/content/pkg/FR-2021-09-22/pdf/2021-20515.pdf Notice - 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 Data https://regulations.justia.com/regulations/fedreg/2021/09/22/2021-20455.html https://regulations.justia.com/regulations/fedreg/2021/09/22/2021-20455.html Wed, 22 Sep 2021 00:00:00 -0700 2021-20455 Notice https://www.govinfo.gov/content/pkg/FR-2021-09-22/pdf/2021-20455.pdf Notice - 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 Quantity https://regulations.justia.com/regulations/fedreg/2021/09/22/2021-20453.html https://regulations.justia.com/regulations/fedreg/2021/09/22/2021-20453.html Wed, 22 Sep 2021 00:00:00 -0700 2021-20453 Notice https://www.govinfo.gov/content/pkg/FR-2021-09-22/pdf/2021-20453.pdf Notice - 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 Data https://regulations.justia.com/regulations/fedreg/2021/09/22/2021-20452.html https://regulations.justia.com/regulations/fedreg/2021/09/22/2021-20452.html Wed, 22 Sep 2021 00:00:00 -0700 2021-20452 Notice https://www.govinfo.gov/content/pkg/FR-2021-09-22/pdf/2021-20452.pdf Notice - 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 Orders https://regulations.justia.com/regulations/fedreg/2021/09/22/2021-20451.html https://regulations.justia.com/regulations/fedreg/2021/09/22/2021-20451.html Wed, 22 Sep 2021 00:00:00 -0700 2021-20451 Notice https://www.govinfo.gov/content/pkg/FR-2021-09-22/pdf/2021-20451.pdf Notice - 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 Functionality https://regulations.justia.com/regulations/fedreg/2021/09/22/2021-20449.html https://regulations.justia.com/regulations/fedreg/2021/09/22/2021-20449.html Wed, 22 Sep 2021 00:00:00 -0700 2021-20449 Notice https://www.govinfo.gov/content/pkg/FR-2021-09-22/pdf/2021-20449.pdf Notice - 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 Auction https://regulations.justia.com/regulations/fedreg/2021/09/22/2021-20448.html https://regulations.justia.com/regulations/fedreg/2021/09/22/2021-20448.html Wed, 22 Sep 2021 00:00:00 -0700 2021-20448 Notice https://www.govinfo.gov/content/pkg/FR-2021-09-22/pdf/2021-20448.pdf Notice - 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 Functionality https://regulations.justia.com/regulations/fedreg/2021/09/22/2021-20447.html https://regulations.justia.com/regulations/fedreg/2021/09/22/2021-20447.html Wed, 22 Sep 2021 00:00:00 -0700 2021-20447 Notice https://www.govinfo.gov/content/pkg/FR-2021-09-22/pdf/2021-20447.pdf Notice - 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 Data https://regulations.justia.com/regulations/fedreg/2021/09/22/2021-20446.html https://regulations.justia.com/regulations/fedreg/2021/09/22/2021-20446.html Wed, 22 Sep 2021 00:00:00 -0700 2021-20446 Notice https://www.govinfo.gov/content/pkg/FR-2021-09-22/pdf/2021-20446.pdf Notice - Submission for OMB Review; Comment Request https://regulations.justia.com/regulations/fedreg/2021/09/22/2021-20442.html https://regulations.justia.com/regulations/fedreg/2021/09/22/2021-20442.html Wed, 22 Sep 2021 00:00:00 -0700 2021-20442 Notice https://www.govinfo.gov/content/pkg/FR-2021-09-22/pdf/2021-20442.pdf Notice - Sunshine Act Meetings https://regulations.justia.com/regulations/fedreg/2021/09/21/2021-20533.html https://regulations.justia.com/regulations/fedreg/2021/09/21/2021-20533.html Tue, 21 Sep 2021 00:00:00 -0700 2021-20533 Notice https://www.govinfo.gov/content/pkg/FR-2021-09-21/pdf/2021-20533.pdf Notice - 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 Functionality https://regulations.justia.com/regulations/fedreg/2021/09/21/2021-20337.html https://regulations.justia.com/regulations/fedreg/2021/09/21/2021-20337.html Tue, 21 Sep 2021 00:00:00 -0700 2021-20337 Notice https://www.govinfo.gov/content/pkg/FR-2021-09-21/pdf/2021-20337.pdf Notice - 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 Functionality https://regulations.justia.com/regulations/fedreg/2021/09/21/2021-20336.html https://regulations.justia.com/regulations/fedreg/2021/09/21/2021-20336.html Tue, 21 Sep 2021 00:00:00 -0700 2021-20336 Notice https://www.govinfo.gov/content/pkg/FR-2021-09-21/pdf/2021-20336.pdf Notice - 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 Functionality https://regulations.justia.com/regulations/fedreg/2021/09/21/2021-20335.html https://regulations.justia.com/regulations/fedreg/2021/09/21/2021-20335.html Tue, 21 Sep 2021 00:00:00 -0700 2021-20335 Notice https://www.govinfo.gov/content/pkg/FR-2021-09-21/pdf/2021-20335.pdf Notice - 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 Rules https://regulations.justia.com/regulations/fedreg/2021/09/21/2021-20334.html https://regulations.justia.com/regulations/fedreg/2021/09/21/2021-20334.html Tue, 21 Sep 2021 00:00:00 -0700 2021-20334 Notice https://www.govinfo.gov/content/pkg/FR-2021-09-21/pdf/2021-20334.pdf Notice - 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) https://regulations.justia.com/regulations/fedreg/2021/09/21/2021-20333.html https://regulations.justia.com/regulations/fedreg/2021/09/21/2021-20333.html Tue, 21 Sep 2021 00:00:00 -0700 2021-20333 Notice https://www.govinfo.gov/content/pkg/FR-2021-09-21/pdf/2021-20333.pdf Notice - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Its Price List https://regulations.justia.com/regulations/fedreg/2021/09/21/2021-20332.html https://regulations.justia.com/regulations/fedreg/2021/09/21/2021-20332.html Tue, 21 Sep 2021 00:00:00 -0700 2021-20332 Notice https://www.govinfo.gov/content/pkg/FR-2021-09-21/pdf/2021-20332.pdf Notice - 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 & Trades https://regulations.justia.com/regulations/fedreg/2021/09/21/2021-20331.html https://regulations.justia.com/regulations/fedreg/2021/09/21/2021-20331.html Tue, 21 Sep 2021 00:00:00 -0700 2021-20331 Notice https://www.govinfo.gov/content/pkg/FR-2021-09-21/pdf/2021-20331.pdf Notice - 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-E https://regulations.justia.com/regulations/fedreg/2021/09/21/2021-20330.html https://regulations.justia.com/regulations/fedreg/2021/09/21/2021-20330.html Tue, 21 Sep 2021 00:00:00 -0700 2021-20330 Notice https://www.govinfo.gov/content/pkg/FR-2021-09-21/pdf/2021-20330.pdf Notice - 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 Rules https://regulations.justia.com/regulations/fedreg/2021/09/21/2021-20329.html https://regulations.justia.com/regulations/fedreg/2021/09/21/2021-20329.html Tue, 21 Sep 2021 00:00:00 -0700 2021-20329 Notice https://www.govinfo.gov/content/pkg/FR-2021-09-21/pdf/2021-20329.pdf Notice - Self-Regulatory Organizations; Cboe BZX Exchange, Inc.; Notice of Designation of a Longer Period for Commission Action on a Proposed Rule Change To List and Trade Shares of the ARK 21Shares Bitcoin ETF Under BZX Rule 14.11(e)(4), Commodity-Based Trust Shares https://regulations.justia.com/regulations/fedreg/2021/09/21/2021-20328.html https://regulations.justia.com/regulations/fedreg/2021/09/21/2021-20328.html Tue, 21 Sep 2021 00:00:00 -0700 2021-20328 Notice https://www.govinfo.gov/content/pkg/FR-2021-09-21/pdf/2021-20328.pdf Notice - 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 Maker https://regulations.justia.com/regulations/fedreg/2021/09/21/2021-20327.html https://regulations.justia.com/regulations/fedreg/2021/09/21/2021-20327.html Tue, 21 Sep 2021 00:00:00 -0700 2021-20327 Notice https://www.govinfo.gov/content/pkg/FR-2021-09-21/pdf/2021-20327.pdf Notice - 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 Rules https://regulations.justia.com/regulations/fedreg/2021/09/21/2021-20326.html https://regulations.justia.com/regulations/fedreg/2021/09/21/2021-20326.html Tue, 21 Sep 2021 00:00:00 -0700 2021-20326 Notice https://www.govinfo.gov/content/pkg/FR-2021-09-21/pdf/2021-20326.pdf Notice - 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 Rules https://regulations.justia.com/regulations/fedreg/2021/09/21/2021-20325.html https://regulations.justia.com/regulations/fedreg/2021/09/21/2021-20325.html Tue, 21 Sep 2021 00:00:00 -0700 2021-20325 Notice https://www.govinfo.gov/content/pkg/FR-2021-09-21/pdf/2021-20325.pdf Notice - Point72 Employee Investment Fund, L.P. and Point72 Asset Management, L.P. https://regulations.justia.com/regulations/fedreg/2021/09/21/2021-20323.html https://regulations.justia.com/regulations/fedreg/2021/09/21/2021-20323.html Tue, 21 Sep 2021 00:00:00 -0700 2021-20323 Notice https://www.govinfo.gov/content/pkg/FR-2021-09-21/pdf/2021-20323.pdf Notice - Sunshine Act Meetings https://regulations.justia.com/regulations/fedreg/2021/09/20/2021-20402.html https://regulations.justia.com/regulations/fedreg/2021/09/20/2021-20402.html Mon, 20 Sep 2021 00:00:00 -0700 2021-20402 Notice https://www.govinfo.gov/content/pkg/FR-2021-09-20/pdf/2021-20402.pdf Notice - 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 Tools https://regulations.justia.com/regulations/fedreg/2021/09/20/2021-20219.html https://regulations.justia.com/regulations/fedreg/2021/09/20/2021-20219.html Mon, 20 Sep 2021 00:00:00 -0700 2021-20219 Notice https://www.govinfo.gov/content/pkg/FR-2021-09-20/pdf/2021-20219.pdf Notice - 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 Series https://regulations.justia.com/regulations/fedreg/2021/09/20/2021-20218.html https://regulations.justia.com/regulations/fedreg/2021/09/20/2021-20218.html Mon, 20 Sep 2021 00:00:00 -0700 2021-20218 Notice https://www.govinfo.gov/content/pkg/FR-2021-09-20/pdf/2021-20218.pdf Notice - 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 Series https://regulations.justia.com/regulations/fedreg/2021/09/20/2021-20217.html https://regulations.justia.com/regulations/fedreg/2021/09/20/2021-20217.html Mon, 20 Sep 2021 00:00:00 -0700 2021-20217 Notice https://www.govinfo.gov/content/pkg/FR-2021-09-20/pdf/2021-20217.pdf Notice - 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 Series https://regulations.justia.com/regulations/fedreg/2021/09/20/2021-20216.html https://regulations.justia.com/regulations/fedreg/2021/09/20/2021-20216.html Mon, 20 Sep 2021 00:00:00 -0700 2021-20216 Notice https://www.govinfo.gov/content/pkg/FR-2021-09-20/pdf/2021-20216.pdf Notice - 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 https://regulations.justia.com/regulations/fedreg/2021/09/20/2021-20215.html https://regulations.justia.com/regulations/fedreg/2021/09/20/2021-20215.html Mon, 20 Sep 2021 00:00:00 -0700 2021-20215 Notice https://www.govinfo.gov/content/pkg/FR-2021-09-20/pdf/2021-20215.pdf Notice - 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) https://regulations.justia.com/regulations/fedreg/2021/09/20/2021-20214.html https://regulations.justia.com/regulations/fedreg/2021/09/20/2021-20214.html Mon, 20 Sep 2021 00:00:00 -0700 2021-20214 Notice https://www.govinfo.gov/content/pkg/FR-2021-09-20/pdf/2021-20214.pdf Notice - 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 Series https://regulations.justia.com/regulations/fedreg/2021/09/20/2021-20213.html https://regulations.justia.com/regulations/fedreg/2021/09/20/2021-20213.html Mon, 20 Sep 2021 00:00:00 -0700 2021-20213 Notice https://www.govinfo.gov/content/pkg/FR-2021-09-20/pdf/2021-20213.pdf Notice - 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 Rulebook https://regulations.justia.com/regulations/fedreg/2021/09/20/2021-20212.html https://regulations.justia.com/regulations/fedreg/2021/09/20/2021-20212.html Mon, 20 Sep 2021 00:00:00 -0700 2021-20212 Notice https://www.govinfo.gov/content/pkg/FR-2021-09-20/pdf/2021-20212.pdf Notice - 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 Rulebook https://regulations.justia.com/regulations/fedreg/2021/09/20/2021-20211.html https://regulations.justia.com/regulations/fedreg/2021/09/20/2021-20211.html Mon, 20 Sep 2021 00:00:00 -0700 2021-20211 Notice https://www.govinfo.gov/content/pkg/FR-2021-09-20/pdf/2021-20211.pdf Notice - 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 Tools https://regulations.justia.com/regulations/fedreg/2021/09/20/2021-20210.html https://regulations.justia.com/regulations/fedreg/2021/09/20/2021-20210.html Mon, 20 Sep 2021 00:00:00 -0700 2021-20210 Notice https://www.govinfo.gov/content/pkg/FR-2021-09-20/pdf/2021-20210.pdf Notice - Pomona Investment Fund, et al. https://regulations.justia.com/regulations/fedreg/2021/09/20/2021-20207.html https://regulations.justia.com/regulations/fedreg/2021/09/20/2021-20207.html Mon, 20 Sep 2021 00:00:00 -0700 2021-20207 Notice https://www.govinfo.gov/content/pkg/FR-2021-09-20/pdf/2021-20207.pdf Notice - Proposed Collection; Comment Request https://regulations.justia.com/regulations/fedreg/2021/09/17/2021-20120.html https://regulations.justia.com/regulations/fedreg/2021/09/17/2021-20120.html Fri, 17 Sep 2021 00:00:00 -0700 2021-20120 Notice https://www.govinfo.gov/content/pkg/FR-2021-09-17/pdf/2021-20120.pdf Notice - Submission for OMB Review; Comment Request https://regulations.justia.com/regulations/fedreg/2021/09/17/2021-20117.html https://regulations.justia.com/regulations/fedreg/2021/09/17/2021-20117.html Fri, 17 Sep 2021 00:00:00 -0700 2021-20117 Notice https://www.govinfo.gov/content/pkg/FR-2021-09-17/pdf/2021-20117.pdf Notice - Asset Management Advisory Committee; Meeting https://regulations.justia.com/regulations/fedreg/2021/09/17/2021-20085.html https://regulations.justia.com/regulations/fedreg/2021/09/17/2021-20085.html Fri, 17 Sep 2021 00:00:00 -0700 2021-20085 Notice https://www.govinfo.gov/content/pkg/FR-2021-09-17/pdf/2021-20085.pdf Notice - 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 Tools https://regulations.justia.com/regulations/fedreg/2021/09/17/2021-20083.html https://regulations.justia.com/regulations/fedreg/2021/09/17/2021-20083.html Fri, 17 Sep 2021 00:00:00 -0700 2021-20083 Notice https://www.govinfo.gov/content/pkg/FR-2021-09-17/pdf/2021-20083.pdf Notice - 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 Tools https://regulations.justia.com/regulations/fedreg/2021/09/17/2021-20082.html https://regulations.justia.com/regulations/fedreg/2021/09/17/2021-20082.html Fri, 17 Sep 2021 00:00:00 -0700 2021-20082 Notice https://www.govinfo.gov/content/pkg/FR-2021-09-17/pdf/2021-20082.pdf Notice - 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) https://regulations.justia.com/regulations/fedreg/2021/09/17/2021-20081.html https://regulations.justia.com/regulations/fedreg/2021/09/17/2021-20081.html Fri, 17 Sep 2021 00:00:00 -0700 2021-20081 Notice https://www.govinfo.gov/content/pkg/FR-2021-09-17/pdf/2021-20081.pdf Notice - 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 Exchange https://regulations.justia.com/regulations/fedreg/2021/09/17/2021-20080.html https://regulations.justia.com/regulations/fedreg/2021/09/17/2021-20080.html Fri, 17 Sep 2021 00:00:00 -0700 2021-20080 Notice https://www.govinfo.gov/content/pkg/FR-2021-09-17/pdf/2021-20080.pdf Notice - 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 ETF https://regulations.justia.com/regulations/fedreg/2021/09/17/2021-20079.html https://regulations.justia.com/regulations/fedreg/2021/09/17/2021-20079.html Fri, 17 Sep 2021 00:00:00 -0700 2021-20079 Notice https://www.govinfo.gov/content/pkg/FR-2021-09-17/pdf/2021-20079.pdf Notice - 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 Requirements https://regulations.justia.com/regulations/fedreg/2021/09/16/2021-19973.html https://regulations.justia.com/regulations/fedreg/2021/09/16/2021-19973.html Thu, 16 Sep 2021 00:00:00 -0700 2021-19973 Notice https://www.govinfo.gov/content/pkg/FR-2021-09-16/pdf/2021-19973.pdf Notice - 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 Rulebook https://regulations.justia.com/regulations/fedreg/2021/09/16/2021-19972.html https://regulations.justia.com/regulations/fedreg/2021/09/16/2021-19972.html Thu, 16 Sep 2021 00:00:00 -0700 2021-19972 Notice https://www.govinfo.gov/content/pkg/FR-2021-09-16/pdf/2021-19972.pdf Notice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the NYSE Arca Equities Fees and Charges https://regulations.justia.com/regulations/fedreg/2021/09/16/2021-19971.html https://regulations.justia.com/regulations/fedreg/2021/09/16/2021-19971.html Thu, 16 Sep 2021 00:00:00 -0700 2021-19971 Notice https://www.govinfo.gov/content/pkg/FR-2021-09-16/pdf/2021-19971.pdf Notice - 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 Reference https://regulations.justia.com/regulations/fedreg/2021/09/16/2021-19970.html https://regulations.justia.com/regulations/fedreg/2021/09/16/2021-19970.html Thu, 16 Sep 2021 00:00:00 -0700 2021-19970 Notice https://www.govinfo.gov/content/pkg/FR-2021-09-16/pdf/2021-19970.pdf Notice - Self-Regulatory Organizations; Cboe BYX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Its Fee Schedule https://regulations.justia.com/regulations/fedreg/2021/09/16/2021-19969.html https://regulations.justia.com/regulations/fedreg/2021/09/16/2021-19969.html Thu, 16 Sep 2021 00:00:00 -0700 2021-19969 Notice https://www.govinfo.gov/content/pkg/FR-2021-09-16/pdf/2021-19969.pdf Notice - 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) https://regulations.justia.com/regulations/fedreg/2021/09/16/2021-19968.html https://regulations.justia.com/regulations/fedreg/2021/09/16/2021-19968.html Thu, 16 Sep 2021 00:00:00 -0700 2021-19968 Notice https://www.govinfo.gov/content/pkg/FR-2021-09-16/pdf/2021-19968.pdf Notice - 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 Transactions https://regulations.justia.com/regulations/fedreg/2021/09/15/2021-19864.html https://regulations.justia.com/regulations/fedreg/2021/09/15/2021-19864.html Wed, 15 Sep 2021 00:00:00 -0700 2021-19864 Notice https://www.govinfo.gov/content/pkg/FR-2021-09-15/pdf/2021-19864.pdf Notice - Self-Regulatory Organizations; ICE Clear Credit LLC; Order Approving Proposed Rule Change Relating to the ICE Clear Credit Operating Agreement and Governance Playbook https://regulations.justia.com/regulations/fedreg/2021/09/15/2021-19863.html https://regulations.justia.com/regulations/fedreg/2021/09/15/2021-19863.html Wed, 15 Sep 2021 00:00:00 -0700 2021-19863 Notice https://www.govinfo.gov/content/pkg/FR-2021-09-15/pdf/2021-19863.pdf Notice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Modify the NYSE Arca Options Fee Schedule https://regulations.justia.com/regulations/fedreg/2021/09/15/2021-19862.html https://regulations.justia.com/regulations/fedreg/2021/09/15/2021-19862.html Wed, 15 Sep 2021 00:00:00 -0700 2021-19862 Notice https://www.govinfo.gov/content/pkg/FR-2021-09-15/pdf/2021-19862.pdf Notice - Self-Regulatory Organizations; Cboe C2 Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Make Certain Corrections to the Rules https://regulations.justia.com/regulations/fedreg/2021/09/15/2021-19861.html https://regulations.justia.com/regulations/fedreg/2021/09/15/2021-19861.html Wed, 15 Sep 2021 00:00:00 -0700 2021-19861 Notice https://www.govinfo.gov/content/pkg/FR-2021-09-15/pdf/2021-19861.pdf Notice - 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 Programs https://regulations.justia.com/regulations/fedreg/2021/09/15/2021-19860.html https://regulations.justia.com/regulations/fedreg/2021/09/15/2021-19860.html Wed, 15 Sep 2021 00:00:00 -0700 2021-19860 Notice https://www.govinfo.gov/content/pkg/FR-2021-09-15/pdf/2021-19860.pdf Notice - 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 Time https://regulations.justia.com/regulations/fedreg/2021/09/15/2021-19859.html https://regulations.justia.com/regulations/fedreg/2021/09/15/2021-19859.html Wed, 15 Sep 2021 00:00:00 -0700 2021-19859 Notice https://www.govinfo.gov/content/pkg/FR-2021-09-15/pdf/2021-19859.pdf Notice - 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 Entitlements https://regulations.justia.com/regulations/fedreg/2021/09/15/2021-19858.html https://regulations.justia.com/regulations/fedreg/2021/09/15/2021-19858.html Wed, 15 Sep 2021 00:00:00 -0700 2021-19858 Notice https://www.govinfo.gov/content/pkg/FR-2021-09-15/pdf/2021-19858.pdf Notice - 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-Makers https://regulations.justia.com/regulations/fedreg/2021/09/15/2021-19857.html https://regulations.justia.com/regulations/fedreg/2021/09/15/2021-19857.html Wed, 15 Sep 2021 00:00:00 -0700 2021-19857 Notice https://www.govinfo.gov/content/pkg/FR-2021-09-15/pdf/2021-19857.pdf Notice - 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 Hearings https://regulations.justia.com/regulations/fedreg/2021/09/15/2021-19856.html https://regulations.justia.com/regulations/fedreg/2021/09/15/2021-19856.html Wed, 15 Sep 2021 00:00:00 -0700 2021-19856 Notice https://www.govinfo.gov/content/pkg/FR-2021-09-15/pdf/2021-19856.pdf Notice - 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 9830 https://regulations.justia.com/regulations/fedreg/2021/09/15/2021-19855.html https://regulations.justia.com/regulations/fedreg/2021/09/15/2021-19855.html Wed, 15 Sep 2021 00:00:00 -0700 2021-19855 Notice https://www.govinfo.gov/content/pkg/FR-2021-09-15/pdf/2021-19855.pdf Notice - 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 9830 https://regulations.justia.com/regulations/fedreg/2021/09/15/2021-19854.html https://regulations.justia.com/regulations/fedreg/2021/09/15/2021-19854.html Wed, 15 Sep 2021 00:00:00 -0700 2021-19854 Notice https://www.govinfo.gov/content/pkg/FR-2021-09-15/pdf/2021-19854.pdf Notice - 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 10.9830 https://regulations.justia.com/regulations/fedreg/2021/09/15/2021-19853.html https://regulations.justia.com/regulations/fedreg/2021/09/15/2021-19853.html Wed, 15 Sep 2021 00:00:00 -0700 2021-19853 Notice https://www.govinfo.gov/content/pkg/FR-2021-09-15/pdf/2021-19853.pdf Notice - 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-2020-76 https://regulations.justia.com/regulations/fedreg/2021/09/15/2021-19852.html https://regulations.justia.com/regulations/fedreg/2021/09/15/2021-19852.html Wed, 15 Sep 2021 00:00:00 -0700 2021-19852 Notice https://www.govinfo.gov/content/pkg/FR-2021-09-15/pdf/2021-19852.pdf Notice - 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 Hearings https://regulations.justia.com/regulations/fedreg/2021/09/15/2021-19851.html https://regulations.justia.com/regulations/fedreg/2021/09/15/2021-19851.html Wed, 15 Sep 2021 00:00:00 -0700 2021-19851 Notice https://www.govinfo.gov/content/pkg/FR-2021-09-15/pdf/2021-19851.pdf Notice - Self-Regulatory Organizations; The Nasdaq Stock Market LLC; Notice of Designation of a Longer Period for Commission Action on a Proposed Rule Change To Establish the “Extended Trading Close” and a New “Extended Trading Close” Order Type https://regulations.justia.com/regulations/fedreg/2021/09/15/2021-19850.html https://regulations.justia.com/regulations/fedreg/2021/09/15/2021-19850.html Wed, 15 Sep 2021 00:00:00 -0700 2021-19850 Notice https://www.govinfo.gov/content/pkg/FR-2021-09-15/pdf/2021-19850.pdf Notice - High Income Securities Fund https://regulations.justia.com/regulations/fedreg/2021/09/15/2021-19820.html https://regulations.justia.com/regulations/fedreg/2021/09/15/2021-19820.html Wed, 15 Sep 2021 00:00:00 -0700 2021-19820 Notice https://www.govinfo.gov/content/pkg/FR-2021-09-15/pdf/2021-19820.pdf Notice - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend its Price List https://regulations.justia.com/regulations/fedreg/2021/09/14/2021-19730.html https://regulations.justia.com/regulations/fedreg/2021/09/14/2021-19730.html Tue, 14 Sep 2021 00:00:00 -0700 2021-19730 Notice https://www.govinfo.gov/content/pkg/FR-2021-09-14/pdf/2021-19730.pdf Notice - 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-2015-036 https://regulations.justia.com/regulations/fedreg/2021/09/14/2021-19729.html https://regulations.justia.com/regulations/fedreg/2021/09/14/2021-19729.html Tue, 14 Sep 2021 00:00:00 -0700 2021-19729 Notice https://www.govinfo.gov/content/pkg/FR-2021-09-14/pdf/2021-19729.pdf Notice - Self-Regulatory Organizations; MEMX LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the Exchange's Fee Schedule https://regulations.justia.com/regulations/fedreg/2021/09/14/2021-19728.html https://regulations.justia.com/regulations/fedreg/2021/09/14/2021-19728.html Tue, 14 Sep 2021 00:00:00 -0700 2021-19728 Notice https://www.govinfo.gov/content/pkg/FR-2021-09-14/pdf/2021-19728.pdf Notice - Self-Regulatory Organizations; ICE Clear Credit LLC; Order Approving Proposed Rule Change Relating to the ICC Exercise Procedures https://regulations.justia.com/regulations/fedreg/2021/09/14/2021-19727.html https://regulations.justia.com/regulations/fedreg/2021/09/14/2021-19727.html Tue, 14 Sep 2021 00:00:00 -0700 2021-19727 Notice https://www.govinfo.gov/content/pkg/FR-2021-09-14/pdf/2021-19727.pdf Notice - 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 Shares https://regulations.justia.com/regulations/fedreg/2021/09/14/2021-19726.html https://regulations.justia.com/regulations/fedreg/2021/09/14/2021-19726.html Tue, 14 Sep 2021 00:00:00 -0700 2021-19726 Notice https://www.govinfo.gov/content/pkg/FR-2021-09-14/pdf/2021-19726.pdf Notice - Self-Regulatory Organizations; ICE Clear Credit LLC; Notice of Filing of Proposed Rule Change Relating to the ICC Back-Testing Framework https://regulations.justia.com/regulations/fedreg/2021/09/14/2021-19725.html https://regulations.justia.com/regulations/fedreg/2021/09/14/2021-19725.html Tue, 14 Sep 2021 00:00:00 -0700 2021-19725 Notice https://www.govinfo.gov/content/pkg/FR-2021-09-14/pdf/2021-19725.pdf Notice - Self-Regulatory Organizations; Cboe EDGX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend its Fee Schedule https://regulations.justia.com/regulations/fedreg/2021/09/13/2021-19613.html https://regulations.justia.com/regulations/fedreg/2021/09/13/2021-19613.html Mon, 13 Sep 2021 00:00:00 -0700 2021-19613 Notice https://www.govinfo.gov/content/pkg/FR-2021-09-13/pdf/2021-19613.pdf Notice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Modify the Arca Options Deep Market Data Product https://regulations.justia.com/regulations/fedreg/2021/09/13/2021-19612.html https://regulations.justia.com/regulations/fedreg/2021/09/13/2021-19612.html Mon, 13 Sep 2021 00:00:00 -0700 2021-19612 Notice https://www.govinfo.gov/content/pkg/FR-2021-09-13/pdf/2021-19612.pdf Notice - 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 Procedures https://regulations.justia.com/regulations/fedreg/2021/09/13/2021-19611.html https://regulations.justia.com/regulations/fedreg/2021/09/13/2021-19611.html Mon, 13 Sep 2021 00:00:00 -0700 2021-19611 Notice https://www.govinfo.gov/content/pkg/FR-2021-09-13/pdf/2021-19611.pdf Notice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the NYSE Arca Equities Fees and Charges https://regulations.justia.com/regulations/fedreg/2021/09/13/2021-19610.html https://regulations.justia.com/regulations/fedreg/2021/09/13/2021-19610.html Mon, 13 Sep 2021 00:00:00 -0700 2021-19610 Notice https://www.govinfo.gov/content/pkg/FR-2021-09-13/pdf/2021-19610.pdf Notice - Sunshine Act Meetings https://regulations.justia.com/regulations/fedreg/2021/09/10/2021-19667.html https://regulations.justia.com/regulations/fedreg/2021/09/10/2021-19667.html Fri, 10 Sep 2021 00:00:00 -0700 2021-19667 Notice https://www.govinfo.gov/content/pkg/FR-2021-09-10/pdf/2021-19667.pdf Notice - Submission for OMB Review; Comment Request https://regulations.justia.com/regulations/fedreg/2021/09/10/2021-19542.html https://regulations.justia.com/regulations/fedreg/2021/09/10/2021-19542.html Fri, 10 Sep 2021 00:00:00 -0700 2021-19542 Notice https://www.govinfo.gov/content/pkg/FR-2021-09-10/pdf/2021-19542.pdf Notice - Submission for OMB Review; Comment Request https://regulations.justia.com/regulations/fedreg/2021/09/10/2021-19541.html https://regulations.justia.com/regulations/fedreg/2021/09/10/2021-19541.html Fri, 10 Sep 2021 00:00:00 -0700 2021-19541 Notice https://www.govinfo.gov/content/pkg/FR-2021-09-10/pdf/2021-19541.pdf Notice - 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 Target https://regulations.justia.com/regulations/fedreg/2021/09/10/2021-19509.html https://regulations.justia.com/regulations/fedreg/2021/09/10/2021-19509.html Fri, 10 Sep 2021 00:00:00 -0700 2021-19509 Notice https://www.govinfo.gov/content/pkg/FR-2021-09-10/pdf/2021-19509.pdf Notice - Sunshine Act Meeting https://regulations.justia.com/regulations/fedreg/2021/09/09/2021-19557.html https://regulations.justia.com/regulations/fedreg/2021/09/09/2021-19557.html Thu, 09 Sep 2021 00:00:00 -0700 2021-19557 Notice https://www.govinfo.gov/content/pkg/FR-2021-09-09/pdf/2021-19557.pdf Notice - Self-Regulatory Organizations; Nasdaq PHLX LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Various Phlx Rules https://regulations.justia.com/regulations/fedreg/2021/09/09/2021-19423.html https://regulations.justia.com/regulations/fedreg/2021/09/09/2021-19423.html Thu, 09 Sep 2021 00:00:00 -0700 2021-19423 Notice https://www.govinfo.gov/content/pkg/FR-2021-09-09/pdf/2021-19423.pdf Notice - 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 OATS https://regulations.justia.com/regulations/fedreg/2021/09/09/2021-19422.html https://regulations.justia.com/regulations/fedreg/2021/09/09/2021-19422.html Thu, 09 Sep 2021 00:00:00 -0700 2021-19422 Notice https://www.govinfo.gov/content/pkg/FR-2021-09-09/pdf/2021-19422.pdf Notice - 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) https://regulations.justia.com/regulations/fedreg/2021/09/09/2021-19421.html https://regulations.justia.com/regulations/fedreg/2021/09/09/2021-19421.html Thu, 09 Sep 2021 00:00:00 -0700 2021-19421 Notice https://www.govinfo.gov/content/pkg/FR-2021-09-09/pdf/2021-19421.pdf Notice - 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) https://regulations.justia.com/regulations/fedreg/2021/09/09/2021-19420.html https://regulations.justia.com/regulations/fedreg/2021/09/09/2021-19420.html Thu, 09 Sep 2021 00:00:00 -0700 2021-19420 Notice https://www.govinfo.gov/content/pkg/FR-2021-09-09/pdf/2021-19420.pdf Notice - 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 Corporation https://regulations.justia.com/regulations/fedreg/2021/09/09/2021-19419.html https://regulations.justia.com/regulations/fedreg/2021/09/09/2021-19419.html Thu, 09 Sep 2021 00:00:00 -0700 2021-19419 Notice https://www.govinfo.gov/content/pkg/FR-2021-09-09/pdf/2021-19419.pdf Notice - 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 Changes https://regulations.justia.com/regulations/fedreg/2021/09/09/2021-19418.html https://regulations.justia.com/regulations/fedreg/2021/09/09/2021-19418.html Thu, 09 Sep 2021 00:00:00 -0700 2021-19418 Notice https://www.govinfo.gov/content/pkg/FR-2021-09-09/pdf/2021-19418.pdf Notice - SEC Small Business Capital Formation Advisory Committee https://regulations.justia.com/regulations/fedreg/2021/09/09/2021-19416.html https://regulations.justia.com/regulations/fedreg/2021/09/09/2021-19416.html Thu, 09 Sep 2021 00:00:00 -0700 2021-19416 Notice https://www.govinfo.gov/content/pkg/FR-2021-09-09/pdf/2021-19416.pdf Notice - MainStay CBRE Global Infrastructure Megatrends Fund, et al. https://regulations.justia.com/regulations/fedreg/2021/09/08/2021-19489.html https://regulations.justia.com/regulations/fedreg/2021/09/08/2021-19489.html Wed, 08 Sep 2021 00:00:00 -0700 2021-19489 Notice https://www.govinfo.gov/content/pkg/FR-2021-09-08/pdf/2021-19489.pdf Notice - 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) https://regulations.justia.com/regulations/fedreg/2021/09/08/2021-19296.html https://regulations.justia.com/regulations/fedreg/2021/09/08/2021-19296.html Wed, 08 Sep 2021 00:00:00 -0700 2021-19296 Notice https://www.govinfo.gov/content/pkg/FR-2021-09-08/pdf/2021-19296.pdf Notice - 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 Series https://regulations.justia.com/regulations/fedreg/2021/09/08/2021-19295.html https://regulations.justia.com/regulations/fedreg/2021/09/08/2021-19295.html Wed, 08 Sep 2021 00:00:00 -0700 2021-19295 Notice https://www.govinfo.gov/content/pkg/FR-2021-09-08/pdf/2021-19295.pdf Notice - Self-Regulatory Organizations; MEMX LLC; Notice of Filing of a Proposed Rule Change To Establish a Retail Midpoint Liquidity Program https://regulations.justia.com/regulations/fedreg/2021/09/08/2021-19294.html https://regulations.justia.com/regulations/fedreg/2021/09/08/2021-19294.html Wed, 08 Sep 2021 00:00:00 -0700 2021-19294 Notice https://www.govinfo.gov/content/pkg/FR-2021-09-08/pdf/2021-19294.pdf Notice - 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-E https://regulations.justia.com/regulations/fedreg/2021/09/08/2021-19293.html https://regulations.justia.com/regulations/fedreg/2021/09/08/2021-19293.html Wed, 08 Sep 2021 00:00:00 -0700 2021-19293 Notice https://www.govinfo.gov/content/pkg/FR-2021-09-08/pdf/2021-19293.pdf Notice - 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 Shareholders https://regulations.justia.com/regulations/fedreg/2021/09/08/2021-19292.html https://regulations.justia.com/regulations/fedreg/2021/09/08/2021-19292.html Wed, 08 Sep 2021 00:00:00 -0700 2021-19292 Notice https://www.govinfo.gov/content/pkg/FR-2021-09-08/pdf/2021-19292.pdf Notice - 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 .02 https://regulations.justia.com/regulations/fedreg/2021/09/08/2021-19291.html https://regulations.justia.com/regulations/fedreg/2021/09/08/2021-19291.html Wed, 08 Sep 2021 00:00:00 -0700 2021-19291 Notice https://www.govinfo.gov/content/pkg/FR-2021-09-08/pdf/2021-19291.pdf Notice - Investment Managers Series Trust and Hamilton Lane Advisors, L.L.C.; Notice of Application https://regulations.justia.com/regulations/fedreg/2021/09/08/2021-19289.html https://regulations.justia.com/regulations/fedreg/2021/09/08/2021-19289.html Wed, 08 Sep 2021 00:00:00 -0700 2021-19289 Notice https://www.govinfo.gov/content/pkg/FR-2021-09-08/pdf/2021-19289.pdf Notice - Sunshine Act Meetings https://regulations.justia.com/regulations/fedreg/2021/09/07/2021-19368.html https://regulations.justia.com/regulations/fedreg/2021/09/07/2021-19368.html Tue, 07 Sep 2021 00:00:00 -0700 2021-19368 Notice https://www.govinfo.gov/content/pkg/FR-2021-09-07/pdf/2021-19368.pdf Notice - 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 Trail https://regulations.justia.com/regulations/fedreg/2021/09/07/2021-19341.html https://regulations.justia.com/regulations/fedreg/2021/09/07/2021-19341.html Tue, 07 Sep 2021 00:00:00 -0700 2021-19341 Notice https://www.govinfo.gov/content/pkg/FR-2021-09-07/pdf/2021-19341.pdf Notice - 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. https://regulations.justia.com/regulations/fedreg/2021/09/07/2021-19201.html https://regulations.justia.com/regulations/fedreg/2021/09/07/2021-19201.html Tue, 07 Sep 2021 00:00:00 -0700 2021-19201 Notice https://www.govinfo.gov/content/pkg/FR-2021-09-07/pdf/2021-19201.pdf Notice - 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) https://regulations.justia.com/regulations/fedreg/2021/09/03/C1-2021-16671.html https://regulations.justia.com/regulations/fedreg/2021/09/03/C1-2021-16671.html Fri, 03 Sep 2021 00:00:00 -0700 C1-2021-16671 Notice https://www.govinfo.gov/content/pkg/FR-2021-09-03/pdf/C1-2021-16671.pdf Notice - Sunshine Act Meetings https://regulations.justia.com/regulations/fedreg/2021/09/03/2021-19290.html https://regulations.justia.com/regulations/fedreg/2021/09/03/2021-19290.html Fri, 03 Sep 2021 00:00:00 -0700 2021-19290 Notice https://www.govinfo.gov/content/pkg/FR-2021-09-03/pdf/2021-19290.pdf Notice - 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 Changes https://regulations.justia.com/regulations/fedreg/2021/09/03/2021-19046.html https://regulations.justia.com/regulations/fedreg/2021/09/03/2021-19046.html Fri, 03 Sep 2021 00:00:00 -0700 2021-19046 Notice https://www.govinfo.gov/content/pkg/FR-2021-09-03/pdf/2021-19046.pdf Notice - 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 36.30 https://regulations.justia.com/regulations/fedreg/2021/09/03/2021-19045.html https://regulations.justia.com/regulations/fedreg/2021/09/03/2021-19045.html Fri, 03 Sep 2021 00:00:00 -0700 2021-19045 Notice https://www.govinfo.gov/content/pkg/FR-2021-09-03/pdf/2021-19045.pdf Notice - Submission for OMB Review; Comment Request https://regulations.justia.com/regulations/fedreg/2021/09/03/2021-19030.html https://regulations.justia.com/regulations/fedreg/2021/09/03/2021-19030.html Fri, 03 Sep 2021 00:00:00 -0700 2021-19030 Notice https://www.govinfo.gov/content/pkg/FR-2021-09-03/pdf/2021-19030.pdf Notice - Submission for OMB Review; Comment Request https://regulations.justia.com/regulations/fedreg/2021/09/03/2021-19029.html https://regulations.justia.com/regulations/fedreg/2021/09/03/2021-19029.html Fri, 03 Sep 2021 00:00:00 -0700 2021-19029 Notice https://www.govinfo.gov/content/pkg/FR-2021-09-03/pdf/2021-19029.pdf Notice - Submission for OMB Review; Comment Request https://regulations.justia.com/regulations/fedreg/2021/09/03/2021-19028.html https://regulations.justia.com/regulations/fedreg/2021/09/03/2021-19028.html Fri, 03 Sep 2021 00:00:00 -0700 2021-19028 Notice https://www.govinfo.gov/content/pkg/FR-2021-09-03/pdf/2021-19028.pdf Notice - 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 Changes https://regulations.justia.com/regulations/fedreg/2021/09/02/2021-18950.html https://regulations.justia.com/regulations/fedreg/2021/09/02/2021-18950.html Thu, 02 Sep 2021 00:00:00 -0700 2021-18950 Notice https://www.govinfo.gov/content/pkg/FR-2021-09-02/pdf/2021-18950.pdf Notice - 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 Ports https://regulations.justia.com/regulations/fedreg/2021/09/02/2021-18949.html https://regulations.justia.com/regulations/fedreg/2021/09/02/2021-18949.html Thu, 02 Sep 2021 00:00:00 -0700 2021-18949 Notice https://www.govinfo.gov/content/pkg/FR-2021-09-02/pdf/2021-18949.pdf Notice - 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 Fees https://regulations.justia.com/regulations/fedreg/2021/09/02/2021-18948.html https://regulations.justia.com/regulations/fedreg/2021/09/02/2021-18948.html Thu, 02 Sep 2021 00:00:00 -0700 2021-18948 Notice https://www.govinfo.gov/content/pkg/FR-2021-09-02/pdf/2021-18948.pdf Notice - 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 LLC https://regulations.justia.com/regulations/fedreg/2021/09/02/2021-18947.html https://regulations.justia.com/regulations/fedreg/2021/09/02/2021-18947.html Thu, 02 Sep 2021 00:00:00 -0700 2021-18947 Notice https://www.govinfo.gov/content/pkg/FR-2021-09-02/pdf/2021-18947.pdf Notice - 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 Jersey https://regulations.justia.com/regulations/fedreg/2021/09/02/2021-18946.html https://regulations.justia.com/regulations/fedreg/2021/09/02/2021-18946.html Thu, 02 Sep 2021 00:00:00 -0700 2021-18946 Notice https://www.govinfo.gov/content/pkg/FR-2021-09-02/pdf/2021-18946.pdf Notice - 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) https://regulations.justia.com/regulations/fedreg/2021/09/02/2021-18945.html https://regulations.justia.com/regulations/fedreg/2021/09/02/2021-18945.html Thu, 02 Sep 2021 00:00:00 -0700 2021-18945 Notice https://www.govinfo.gov/content/pkg/FR-2021-09-02/pdf/2021-18945.pdf Notice - 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 Ports https://regulations.justia.com/regulations/fedreg/2021/09/02/2021-18944.html https://regulations.justia.com/regulations/fedreg/2021/09/02/2021-18944.html Thu, 02 Sep 2021 00:00:00 -0700 2021-18944 Notice https://www.govinfo.gov/content/pkg/FR-2021-09-02/pdf/2021-18944.pdf Notice - 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 Shares https://regulations.justia.com/regulations/fedreg/2021/09/02/2021-18943.html https://regulations.justia.com/regulations/fedreg/2021/09/02/2021-18943.html Thu, 02 Sep 2021 00:00:00 -0700 2021-18943 Notice https://www.govinfo.gov/content/pkg/FR-2021-09-02/pdf/2021-18943.pdf Notice - 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 Products https://regulations.justia.com/regulations/fedreg/2021/09/02/2021-18942.html https://regulations.justia.com/regulations/fedreg/2021/09/02/2021-18942.html Thu, 02 Sep 2021 00:00:00 -0700 2021-18942 Notice https://www.govinfo.gov/content/pkg/FR-2021-09-02/pdf/2021-18942.pdf Notice - 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 Terms https://regulations.justia.com/regulations/fedreg/2021/09/02/2021-18941.html https://regulations.justia.com/regulations/fedreg/2021/09/02/2021-18941.html Thu, 02 Sep 2021 00:00:00 -0700 2021-18941 Notice https://www.govinfo.gov/content/pkg/FR-2021-09-02/pdf/2021-18941.pdf Notice - Notice of Applications for Deregistration Under Section 8(f) of the Investment Company Act of 1940 https://regulations.justia.com/regulations/fedreg/2021/09/02/2021-18927.html https://regulations.justia.com/regulations/fedreg/2021/09/02/2021-18927.html Thu, 02 Sep 2021 00:00:00 -0700 2021-18927 Notice https://www.govinfo.gov/content/pkg/FR-2021-09-02/pdf/2021-18927.pdf Notice - Investor Advisory Committee Meeting https://regulations.justia.com/regulations/fedreg/2021/09/01/2021-18908.html https://regulations.justia.com/regulations/fedreg/2021/09/01/2021-18908.html Wed, 01 Sep 2021 00:00:00 -0700 2021-18908 Notice https://www.govinfo.gov/content/pkg/FR-2021-09-01/pdf/2021-18908.pdf Notice - 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 Advice https://regulations.justia.com/regulations/fedreg/2021/09/01/2021-18901.html https://regulations.justia.com/regulations/fedreg/2021/09/01/2021-18901.html Wed, 01 Sep 2021 00:00:00 -0700 2021-18901 Notice https://www.govinfo.gov/content/pkg/FR-2021-09-01/pdf/2021-18901.pdf Notice - 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 Manual https://regulations.justia.com/regulations/fedreg/2021/09/01/2021-18802.html https://regulations.justia.com/regulations/fedreg/2021/09/01/2021-18802.html Wed, 01 Sep 2021 00:00:00 -0700 2021-18802 Notice https://www.govinfo.gov/content/pkg/FR-2021-09-01/pdf/2021-18802.pdf