<![CDATA[Federal Register Recent Federal Regulation Documents - Justia Regulation Tracker - Justia Regulations Tracker]]> https://regulations.justia.com/regulations/fedreg/agencies/securities-and-exchange-commission/2021/10/05?registers=between Sat, 26 Apr 2025 16:28:50 -0700 Sat, 26 Apr 2025 16:28:50 -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/2021/10/05?registers=between Notice - Self-Regulatory Organizations; New York Stock Exchange LLC; Order Instituting Proceedings To Determine Whether To Approve or Disapprove a 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/2021/10/05/2021-21750.html https://regulations.justia.com/regulations/fedreg/2021/10/05/2021-21750.html Tue, 05 Oct 2021 00:00:00 -0700 2021-21750 Notice https://www.govinfo.gov/content/pkg/FR-2021-10-05/pdf/2021-21750.pdf Notice - Self-Regulatory Organizations; Miami International Securities Exchange, LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change by Miami International Securities Exchange, LLC To Amend Exchange Rule 402, Criteria for Underlying Securities, Rule 403, Withdrawal of Approval of Underlying Securities, Rule 404, Series of Option Contracts Open for Trading, Rule 404A, Select Provisions of Options Listing Procedures Plan, Rule 503, Openings on the Exchange, Rule 515A, MIAX Price Improvement Mechanism (“PRIME”) and PRIME Solicitation Mechanism, and Rule 518, Complex Orders https://regulations.justia.com/regulations/fedreg/2021/10/05/2021-21749.html https://regulations.justia.com/regulations/fedreg/2021/10/05/2021-21749.html Tue, 05 Oct 2021 00:00:00 -0700 2021-21749 Notice https://www.govinfo.gov/content/pkg/FR-2021-10-05/pdf/2021-21749.pdf Notice - Self-Regulatory Organizations; MIAX PEARL, LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change by MIAX PEARL, LLC To Amend Exchange Rule 100, Definitions, Rule 402, Criteria for Underlying Securities, Rule 403, Withdrawal of Approval of Underlying Securities, Rule 404, Series of Option Contracts Open for Trading, Rule 404A, Select Provisions of Options Listing Procedures Plan, Rule 406, Long-Term Option Contracts, Rule 500, Access to and Conduct on the Exchange, Rule 503, Openings on the Exchange, Rule 515, Execution of Orders, and Rule 519, MIAX Pearl Order Monitor (“MOM”) https://regulations.justia.com/regulations/fedreg/2021/10/05/2021-21747.html https://regulations.justia.com/regulations/fedreg/2021/10/05/2021-21747.html Tue, 05 Oct 2021 00:00:00 -0700 2021-21747 Notice https://www.govinfo.gov/content/pkg/FR-2021-10-05/pdf/2021-21747.pdf Notice - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Establish an Administration and Delivery Fee for the Municipal Advisor Principal Examination https://regulations.justia.com/regulations/fedreg/2021/10/05/2021-21746.html https://regulations.justia.com/regulations/fedreg/2021/10/05/2021-21746.html Tue, 05 Oct 2021 00:00:00 -0700 2021-21746 Notice https://www.govinfo.gov/content/pkg/FR-2021-10-05/pdf/2021-21746.pdf Notice - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Extend the Pilot Related to the Market-Wide Circuit Breaker in Rule 7.12 https://regulations.justia.com/regulations/fedreg/2021/10/05/2021-21745.html https://regulations.justia.com/regulations/fedreg/2021/10/05/2021-21745.html Tue, 05 Oct 2021 00:00:00 -0700 2021-21745 Notice https://www.govinfo.gov/content/pkg/FR-2021-10-05/pdf/2021-21745.pdf Notice - Self-Regulatory Organizations; NYSE American LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend NYSE American Rule 7.2E https://regulations.justia.com/regulations/fedreg/2021/10/05/2021-21744.html https://regulations.justia.com/regulations/fedreg/2021/10/05/2021-21744.html Tue, 05 Oct 2021 00:00:00 -0700 2021-21744 Notice https://www.govinfo.gov/content/pkg/FR-2021-10-05/pdf/2021-21744.pdf Notice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend NYSE Arca Rules 7.2-E and 7.2-O https://regulations.justia.com/regulations/fedreg/2021/10/05/2021-21743.html https://regulations.justia.com/regulations/fedreg/2021/10/05/2021-21743.html Tue, 05 Oct 2021 00:00:00 -0700 2021-21743 Notice https://www.govinfo.gov/content/pkg/FR-2021-10-05/pdf/2021-21743.pdf Notice - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend NYSE Rule 7.2 https://regulations.justia.com/regulations/fedreg/2021/10/05/2021-21742.html https://regulations.justia.com/regulations/fedreg/2021/10/05/2021-21742.html Tue, 05 Oct 2021 00:00:00 -0700 2021-21742 Notice https://www.govinfo.gov/content/pkg/FR-2021-10-05/pdf/2021-21742.pdf Notice - Self-Regulatory Organizations; NYSE Chicago, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend NYSE Chicago Rule 7.2 https://regulations.justia.com/regulations/fedreg/2021/10/05/2021-21741.html https://regulations.justia.com/regulations/fedreg/2021/10/05/2021-21741.html Tue, 05 Oct 2021 00:00:00 -0700 2021-21741 Notice https://www.govinfo.gov/content/pkg/FR-2021-10-05/pdf/2021-21741.pdf Notice - Self-Regulatory Organizations; NYSE National, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend NYSE National Rule 7.2 https://regulations.justia.com/regulations/fedreg/2021/10/05/2021-21740.html https://regulations.justia.com/regulations/fedreg/2021/10/05/2021-21740.html Tue, 05 Oct 2021 00:00:00 -0700 2021-21740 Notice https://www.govinfo.gov/content/pkg/FR-2021-10-05/pdf/2021-21740.pdf Notice - Potential Technical Changes to EDGAR Filer Access and Filer Account Management Processes https://regulations.justia.com/regulations/fedreg/2021/10/05/2021-21697.html https://regulations.justia.com/regulations/fedreg/2021/10/05/2021-21697.html Tue, 05 Oct 2021 00:00:00 -0700 2021-21697 Notice https://www.govinfo.gov/content/pkg/FR-2021-10-05/pdf/2021-21697.pdf Notice - Sunshine Act Meetings https://regulations.justia.com/regulations/fedreg/2021/10/05/2021-21667.html https://regulations.justia.com/regulations/fedreg/2021/10/05/2021-21667.html Tue, 05 Oct 2021 00:00:00 -0700 2021-21667 Notice https://www.govinfo.gov/content/pkg/FR-2021-10-05/pdf/2021-21667.pdf Notice - Self-Regulatory Organizations; The Options Clearing Corporation; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Revise the Options Clearing Corporation's Schedule of Fees https://regulations.justia.com/regulations/fedreg/2021/10/05/2021-21625.html https://regulations.justia.com/regulations/fedreg/2021/10/05/2021-21625.html Tue, 05 Oct 2021 00:00:00 -0700 2021-21625 Notice https://www.govinfo.gov/content/pkg/FR-2021-10-05/pdf/2021-21625.pdf Notice - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing of Proposed Rule Change To Amend the Shareholder Voting Requirement Set Forth in Section 312.07 of the NYSE Listed Company Manual https://regulations.justia.com/regulations/fedreg/2021/10/05/2021-21623.html https://regulations.justia.com/regulations/fedreg/2021/10/05/2021-21623.html Tue, 05 Oct 2021 00:00:00 -0700 2021-21623 Notice https://www.govinfo.gov/content/pkg/FR-2021-10-05/pdf/2021-21623.pdf Notice - Self-Regulatory Organizations; NYSE Arca, Inc.; Order Instituting Proceedings To Determine Whether To Approve or Disapprove a Proposed Rule Change To List and Trade Shares of the NYDIG Bitcoin ETF Under NYSE Arca Rule 8.201-E https://regulations.justia.com/regulations/fedreg/2021/10/05/2021-21622.html https://regulations.justia.com/regulations/fedreg/2021/10/05/2021-21622.html Tue, 05 Oct 2021 00:00:00 -0700 2021-21622 Notice https://www.govinfo.gov/content/pkg/FR-2021-10-05/pdf/2021-21622.pdf Notice - Self-Regulatory Organizations; MIAX Emerald, LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Its Fee Schedule To Adopt a Tiered-Pricing Structure for Additional Limited Service MIAX Emerald Express Interface Ports https://regulations.justia.com/regulations/fedreg/2021/10/05/2021-21619.html https://regulations.justia.com/regulations/fedreg/2021/10/05/2021-21619.html Tue, 05 Oct 2021 00:00:00 -0700 2021-21619 Notice https://www.govinfo.gov/content/pkg/FR-2021-10-05/pdf/2021-21619.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 To Adopt a Tiered-Pricing Structure for Additional Limited Service MIAX Express Interface Ports https://regulations.justia.com/regulations/fedreg/2021/10/05/2021-21618.html https://regulations.justia.com/regulations/fedreg/2021/10/05/2021-21618.html Tue, 05 Oct 2021 00:00:00 -0700 2021-21618 Notice https://www.govinfo.gov/content/pkg/FR-2021-10-05/pdf/2021-21618.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 Franklin Responsibly Sourced Gold ETF Under NYSE Arca Rule 8.201-E https://regulations.justia.com/regulations/fedreg/2021/10/05/2021-21617.html https://regulations.justia.com/regulations/fedreg/2021/10/05/2021-21617.html Tue, 05 Oct 2021 00:00:00 -0700 2021-21617 Notice https://www.govinfo.gov/content/pkg/FR-2021-10-05/pdf/2021-21617.pdf Notice - Self-Regulatory Organizations; ICE Clear Europe Limited; Order Approving Proposed Rule Change, as Modified by Partial Amendment No. 1, Relating to the ICE Clear Europe Clearing Membership Policy and Clearing Membership Procedures https://regulations.justia.com/regulations/fedreg/2021/10/05/2021-21616.html https://regulations.justia.com/regulations/fedreg/2021/10/05/2021-21616.html Tue, 05 Oct 2021 00:00:00 -0700 2021-21616 Notice https://www.govinfo.gov/content/pkg/FR-2021-10-05/pdf/2021-21616.pdf Notice - Self-Regulatory Organizations; ICE Clear Credit LLC; Notice of Filing of Proposed Rule Change Relating to the ICC CDS Instrument On-Boarding Policies and Procedures https://regulations.justia.com/regulations/fedreg/2021/10/05/2021-21615.html https://regulations.justia.com/regulations/fedreg/2021/10/05/2021-21615.html Tue, 05 Oct 2021 00:00:00 -0700 2021-21615 Notice https://www.govinfo.gov/content/pkg/FR-2021-10-05/pdf/2021-21615.pdf Notice - Self-Regulatory Organizations; LCH SA; Order Approving Proposed Rule Change Relating to Eligible Collateral and Liquidity Risk Management https://regulations.justia.com/regulations/fedreg/2021/10/05/2021-21614.html https://regulations.justia.com/regulations/fedreg/2021/10/05/2021-21614.html Tue, 05 Oct 2021 00:00:00 -0700 2021-21614 Notice https://www.govinfo.gov/content/pkg/FR-2021-10-05/pdf/2021-21614.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 Kryptoin Bitcoin ETF Trust Under BZX Rule 14.11(e)(4), Commodity-Based Trust Shares https://regulations.justia.com/regulations/fedreg/2021/10/05/2021-21613.html https://regulations.justia.com/regulations/fedreg/2021/10/05/2021-21613.html Tue, 05 Oct 2021 00:00:00 -0700 2021-21613 Notice https://www.govinfo.gov/content/pkg/FR-2021-10-05/pdf/2021-21613.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 Global X Bitcoin Trust Under BZX Rule 14.11(e)(4), Commodity-Based Trust Shares https://regulations.justia.com/regulations/fedreg/2021/10/05/2021-21612.html https://regulations.justia.com/regulations/fedreg/2021/10/05/2021-21612.html Tue, 05 Oct 2021 00:00:00 -0700 2021-21612 Notice https://www.govinfo.gov/content/pkg/FR-2021-10-05/pdf/2021-21612.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 WisdomTree Bitcoin Trust Under BZX Rule 14.11(e)(4), Commodity-Based Trust Shares https://regulations.justia.com/regulations/fedreg/2021/10/05/2021-21611.html https://regulations.justia.com/regulations/fedreg/2021/10/05/2021-21611.html Tue, 05 Oct 2021 00:00:00 -0700 2021-21611 Notice https://www.govinfo.gov/content/pkg/FR-2021-10-05/pdf/2021-21611.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, 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/2021/10/05/2021-21610.html https://regulations.justia.com/regulations/fedreg/2021/10/05/2021-21610.html Tue, 05 Oct 2021 00:00:00 -0700 2021-21610 Notice https://www.govinfo.gov/content/pkg/FR-2021-10-05/pdf/2021-21610.pdf Notice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing of Proposed Rule Change To List and Trade Shares of the One River Carbon Neutral Bitcoin Trust Under NYSE Arca Rule 8.201-E https://regulations.justia.com/regulations/fedreg/2021/10/05/2021-21609.html https://regulations.justia.com/regulations/fedreg/2021/10/05/2021-21609.html Tue, 05 Oct 2021 00:00:00 -0700 2021-21609 Notice https://www.govinfo.gov/content/pkg/FR-2021-10-05/pdf/2021-21609.pdf Notice - Submission for OMB Review; Comment Request https://regulations.justia.com/regulations/fedreg/2021/10/05/2021-21590.html https://regulations.justia.com/regulations/fedreg/2021/10/05/2021-21590.html Tue, 05 Oct 2021 00:00:00 -0700 2021-21590 Notice https://www.govinfo.gov/content/pkg/FR-2021-10-05/pdf/2021-21590.pdf Notice - Proposed Collection; Comment Request https://regulations.justia.com/regulations/fedreg/2021/10/05/2021-21589.html https://regulations.justia.com/regulations/fedreg/2021/10/05/2021-21589.html Tue, 05 Oct 2021 00:00:00 -0700 2021-21589 Notice https://www.govinfo.gov/content/pkg/FR-2021-10-05/pdf/2021-21589.pdf Notice - Submission for OMB Review; Comment Request https://regulations.justia.com/regulations/fedreg/2021/10/05/2021-21588.html https://regulations.justia.com/regulations/fedreg/2021/10/05/2021-21588.html Tue, 05 Oct 2021 00:00:00 -0700 2021-21588 Notice https://www.govinfo.gov/content/pkg/FR-2021-10-05/pdf/2021-21588.pdf Notice - Proposed Collection; Comment Request https://regulations.justia.com/regulations/fedreg/2021/10/05/2021-21587.html https://regulations.justia.com/regulations/fedreg/2021/10/05/2021-21587.html Tue, 05 Oct 2021 00:00:00 -0700 2021-21587 Notice https://www.govinfo.gov/content/pkg/FR-2021-10-05/pdf/2021-21587.pdf Notice - Proposed Collection; Comment Request https://regulations.justia.com/regulations/fedreg/2021/10/05/2021-21586.html https://regulations.justia.com/regulations/fedreg/2021/10/05/2021-21586.html Tue, 05 Oct 2021 00:00:00 -0700 2021-21586 Notice https://www.govinfo.gov/content/pkg/FR-2021-10-05/pdf/2021-21586.pdf Notice - Submission for OMB Review; Comment Request https://regulations.justia.com/regulations/fedreg/2021/10/05/2021-21585.html https://regulations.justia.com/regulations/fedreg/2021/10/05/2021-21585.html Tue, 05 Oct 2021 00:00:00 -0700 2021-21585 Notice https://www.govinfo.gov/content/pkg/FR-2021-10-05/pdf/2021-21585.pdf Notice - Submission for OMB Review; Comment Request https://regulations.justia.com/regulations/fedreg/2021/10/05/2021-21584.html https://regulations.justia.com/regulations/fedreg/2021/10/05/2021-21584.html Tue, 05 Oct 2021 00:00:00 -0700 2021-21584 Notice https://www.govinfo.gov/content/pkg/FR-2021-10-05/pdf/2021-21584.pdf Notice - Submission for OMB Review; Comment Request https://regulations.justia.com/regulations/fedreg/2021/10/05/2021-21583.html https://regulations.justia.com/regulations/fedreg/2021/10/05/2021-21583.html Tue, 05 Oct 2021 00:00:00 -0700 2021-21583 Notice https://www.govinfo.gov/content/pkg/FR-2021-10-05/pdf/2021-21583.pdf