<![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?registers=between&min-day=1&max-day=31 Fri, 17 May 2024 12:56:16 -0700 Fri, 17 May 2024 12:56:16 -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?registers=between&min-day=1&max-day=31 Notice - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend NYSE Rule 7.31 https://regulations.justia.com/regulations/fedreg/2021/10/28/2021-23532.html https://regulations.justia.com/regulations/fedreg/2021/10/28/2021-23532.html Thu, 28 Oct 2021 00:00:00 -0700 2021-23532 Notice https://www.govinfo.gov/content/pkg/FR-2021-10-28/pdf/2021-23532.pdf Notice - Amended and Restated Order Granting Conditional Substituted Compliance in Connection With Certain Requirements Applicable to Non-U.S. Security-Based Swap Dealers and Major Security-Based Swap Participants Subject to Regulation in the Federal Republic of Germany; Amended Orders Addressing Non-U.S. Security-Based Swap Entities Subject to Regulation in the French Republic or the United Kingdom; and Order Extending the Time To Meet Certain Conditions Relating to Capital and Margin https://regulations.justia.com/regulations/fedreg/2021/10/28/2021-23445.html https://regulations.justia.com/regulations/fedreg/2021/10/28/2021-23445.html Thu, 28 Oct 2021 00:00:00 -0700 2021-23445 Notice https://www.govinfo.gov/content/pkg/FR-2021-10-28/pdf/2021-23445.pdf Notice - Order Granting Conditional Substituted Compliance in Connection With Certain Requirements Applicable to Non-U.S. Security-Based Swap Dealers and Major Security-Based Swap Participants Subject to Regulation in the Kingdom of Spain https://regulations.justia.com/regulations/fedreg/2021/10/28/2021-23444.html https://regulations.justia.com/regulations/fedreg/2021/10/28/2021-23444.html Thu, 28 Oct 2021 00:00:00 -0700 2021-23444 Notice https://www.govinfo.gov/content/pkg/FR-2021-10-28/pdf/2021-23444.pdf Notice - Self-Regulatory Organizations; Nasdaq BX, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Equity 7, Section 118 To Establish an Enhanced Market Quality Program https://regulations.justia.com/regulations/fedreg/2021/10/28/2021-23438.html https://regulations.justia.com/regulations/fedreg/2021/10/28/2021-23438.html Thu, 28 Oct 2021 00:00:00 -0700 2021-23438 Notice https://www.govinfo.gov/content/pkg/FR-2021-10-28/pdf/2021-23438.pdf Notice - Self-Regulatory Organizations; Miami International Securities Exchange, LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the MIAX Options Fee Schedule To Establish a Policy Relating to Billing Errors https://regulations.justia.com/regulations/fedreg/2021/10/28/2021-23437.html https://regulations.justia.com/regulations/fedreg/2021/10/28/2021-23437.html Thu, 28 Oct 2021 00:00:00 -0700 2021-23437 Notice https://www.govinfo.gov/content/pkg/FR-2021-10-28/pdf/2021-23437.pdf Notice - Self-Regulatory Organizations; Cboe Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Extend the Length of Its Current Global Trading Hours Session https://regulations.justia.com/regulations/fedreg/2021/10/28/2021-23436.html https://regulations.justia.com/regulations/fedreg/2021/10/28/2021-23436.html Thu, 28 Oct 2021 00:00:00 -0700 2021-23436 Notice https://www.govinfo.gov/content/pkg/FR-2021-10-28/pdf/2021-23436.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 To Modify the Enhanced Market Quality Program https://regulations.justia.com/regulations/fedreg/2021/10/28/2021-23435.html https://regulations.justia.com/regulations/fedreg/2021/10/28/2021-23435.html Thu, 28 Oct 2021 00:00:00 -0700 2021-23435 Notice https://www.govinfo.gov/content/pkg/FR-2021-10-28/pdf/2021-23435.pdf Notice - Self-Regulatory Organizations; The Nasdaq Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the Exchange's Schedule of Transaction Credits and Charges at Equity 7, Section 118(a) https://regulations.justia.com/regulations/fedreg/2021/10/28/2021-23434.html https://regulations.justia.com/regulations/fedreg/2021/10/28/2021-23434.html Thu, 28 Oct 2021 00:00:00 -0700 2021-23434 Notice https://www.govinfo.gov/content/pkg/FR-2021-10-28/pdf/2021-23434.pdf Notice - SEC Small Business Capital Formation Advisory Committee https://regulations.justia.com/regulations/fedreg/2021/10/27/2021-23391.html https://regulations.justia.com/regulations/fedreg/2021/10/27/2021-23391.html Wed, 27 Oct 2021 00:00:00 -0700 2021-23391 Notice https://www.govinfo.gov/content/pkg/FR-2021-10-27/pdf/2021-23391.pdf Notice - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the NYSE Proprietary Market Data Fee Schedule https://regulations.justia.com/regulations/fedreg/2021/10/27/2021-23344.html https://regulations.justia.com/regulations/fedreg/2021/10/27/2021-23344.html Wed, 27 Oct 2021 00:00:00 -0700 2021-23344 Notice https://www.govinfo.gov/content/pkg/FR-2021-10-27/pdf/2021-23344.pdf Notice - Self-Regulatory Organizations; BOX Exchange LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Introduce a New Data Product To Be Known as Open-Close Data Report and To Adopt Fees for Such Product https://regulations.justia.com/regulations/fedreg/2021/10/27/2021-23343.html https://regulations.justia.com/regulations/fedreg/2021/10/27/2021-23343.html Wed, 27 Oct 2021 00:00:00 -0700 2021-23343 Notice https://www.govinfo.gov/content/pkg/FR-2021-10-27/pdf/2021-23343.pdf Notice - Self-Regulatory Organizations; ICE Clear Credit LLC; Order Approving Proposed Rule Change Relating to the ICC Back-Testing Framework https://regulations.justia.com/regulations/fedreg/2021/10/26/2021-23258.html https://regulations.justia.com/regulations/fedreg/2021/10/26/2021-23258.html Tue, 26 Oct 2021 00:00:00 -0700 2021-23258 Notice https://www.govinfo.gov/content/pkg/FR-2021-10-26/pdf/2021-23258.pdf Notice - Self-Regulatory Organizations; Cboe BYX Exchange, Inc.; Notice of Filing of a Proposed Rule Change To Make Certain Clarifying Changes to Its Rule Related to Periodic Auctions https://regulations.justia.com/regulations/fedreg/2021/10/26/2021-23257.html https://regulations.justia.com/regulations/fedreg/2021/10/26/2021-23257.html Tue, 26 Oct 2021 00:00:00 -0700 2021-23257 Notice https://www.govinfo.gov/content/pkg/FR-2021-10-26/pdf/2021-23257.pdf Notice - Order Specifying the Manner and Format of Filing Unaudited Financial and Operational Information by Security-Based Swap Dealers and Major Security-Based Swap Participants That Are Not U.S. Persons and Are Relying on Substituted Compliance Determinations With Respect to Rule 18a-7 https://regulations.justia.com/regulations/fedreg/2021/10/26/2021-22817.html https://regulations.justia.com/regulations/fedreg/2021/10/26/2021-22817.html Tue, 26 Oct 2021 00:00:00 -0700 2021-22817 Notice https://www.govinfo.gov/content/pkg/FR-2021-10-26/pdf/2021-22817.pdf Notice - Public Availability of the Securities and Exchange Commission's FY 2019 Service Contract Inventory https://regulations.justia.com/regulations/fedreg/2021/10/26/2021-23306.html https://regulations.justia.com/regulations/fedreg/2021/10/26/2021-23306.html Tue, 26 Oct 2021 00:00:00 -0700 2021-23306 Notice https://www.govinfo.gov/content/pkg/FR-2021-10-26/pdf/2021-23306.pdf Notice - Asset Management Advisory Committee; Meeting https://regulations.justia.com/regulations/fedreg/2021/10/26/2021-23265.html https://regulations.justia.com/regulations/fedreg/2021/10/26/2021-23265.html Tue, 26 Oct 2021 00:00:00 -0700 2021-23265 Notice https://www.govinfo.gov/content/pkg/FR-2021-10-26/pdf/2021-23265.pdf Notice - Sunshine Act Meetings https://regulations.justia.com/regulations/fedreg/2021/10/25/2021-23295.html https://regulations.justia.com/regulations/fedreg/2021/10/25/2021-23295.html Mon, 25 Oct 2021 00:00:00 -0700 2021-23295 Notice https://www.govinfo.gov/content/pkg/FR-2021-10-25/pdf/2021-23295.pdf Notice - Sunshine Act Meetings https://regulations.justia.com/regulations/fedreg/2021/10/25/2021-23266.html https://regulations.justia.com/regulations/fedreg/2021/10/25/2021-23266.html Mon, 25 Oct 2021 00:00:00 -0700 2021-23266 Notice https://www.govinfo.gov/content/pkg/FR-2021-10-25/pdf/2021-23266.pdf Notice - Credit Suisse Asset Management, LLC., et al.; Notice of Application and Temporary Order https://regulations.justia.com/regulations/fedreg/2021/10/25/2021-23166.html https://regulations.justia.com/regulations/fedreg/2021/10/25/2021-23166.html Mon, 25 Oct 2021 00:00:00 -0700 2021-23166 Notice https://www.govinfo.gov/content/pkg/FR-2021-10-25/pdf/2021-23166.pdf Notice - Proposed Collection; Comment Request https://regulations.justia.com/regulations/fedreg/2021/10/25/2021-23161.html https://regulations.justia.com/regulations/fedreg/2021/10/25/2021-23161.html Mon, 25 Oct 2021 00:00:00 -0700 2021-23161 Notice https://www.govinfo.gov/content/pkg/FR-2021-10-25/pdf/2021-23161.pdf Notice - Proposed Collection; Comment Request https://regulations.justia.com/regulations/fedreg/2021/10/25/2021-23160.html https://regulations.justia.com/regulations/fedreg/2021/10/25/2021-23160.html Mon, 25 Oct 2021 00:00:00 -0700 2021-23160 Notice https://www.govinfo.gov/content/pkg/FR-2021-10-25/pdf/2021-23160.pdf Notice - Proposed Collection; Comment Request https://regulations.justia.com/regulations/fedreg/2021/10/25/2021-23159.html https://regulations.justia.com/regulations/fedreg/2021/10/25/2021-23159.html Mon, 25 Oct 2021 00:00:00 -0700 2021-23159 Notice https://www.govinfo.gov/content/pkg/FR-2021-10-25/pdf/2021-23159.pdf Notice - Proposed Collection; Comment Request https://regulations.justia.com/regulations/fedreg/2021/10/25/2021-23158.html https://regulations.justia.com/regulations/fedreg/2021/10/25/2021-23158.html Mon, 25 Oct 2021 00:00:00 -0700 2021-23158 Notice https://www.govinfo.gov/content/pkg/FR-2021-10-25/pdf/2021-23158.pdf Notice - Proposed Collection; Comment Request https://regulations.justia.com/regulations/fedreg/2021/10/25/2021-23157.html https://regulations.justia.com/regulations/fedreg/2021/10/25/2021-23157.html Mon, 25 Oct 2021 00:00:00 -0700 2021-23157 Notice https://www.govinfo.gov/content/pkg/FR-2021-10-25/pdf/2021-23157.pdf Notice - Submission for OMB Review; Comment Request https://regulations.justia.com/regulations/fedreg/2021/10/25/2021-23156.html https://regulations.justia.com/regulations/fedreg/2021/10/25/2021-23156.html Mon, 25 Oct 2021 00:00:00 -0700 2021-23156 Notice https://www.govinfo.gov/content/pkg/FR-2021-10-25/pdf/2021-23156.pdf Notice - Submission for OMB Review; Comment Request https://regulations.justia.com/regulations/fedreg/2021/10/25/2021-23155.html https://regulations.justia.com/regulations/fedreg/2021/10/25/2021-23155.html Mon, 25 Oct 2021 00:00:00 -0700 2021-23155 Notice https://www.govinfo.gov/content/pkg/FR-2021-10-25/pdf/2021-23155.pdf Notice - Submission for OMB Review; Comment Request https://regulations.justia.com/regulations/fedreg/2021/10/25/2021-23154.html https://regulations.justia.com/regulations/fedreg/2021/10/25/2021-23154.html Mon, 25 Oct 2021 00:00:00 -0700 2021-23154 Notice https://www.govinfo.gov/content/pkg/FR-2021-10-25/pdf/2021-23154.pdf Notice - Submission for OMB Review; Comment Request https://regulations.justia.com/regulations/fedreg/2021/10/25/2021-23153.html https://regulations.justia.com/regulations/fedreg/2021/10/25/2021-23153.html Mon, 25 Oct 2021 00:00:00 -0700 2021-23153 Notice https://www.govinfo.gov/content/pkg/FR-2021-10-25/pdf/2021-23153.pdf Notice - Submission for OMB Review; Comment Request https://regulations.justia.com/regulations/fedreg/2021/10/25/2021-23152.html https://regulations.justia.com/regulations/fedreg/2021/10/25/2021-23152.html Mon, 25 Oct 2021 00:00:00 -0700 2021-23152 Notice https://www.govinfo.gov/content/pkg/FR-2021-10-25/pdf/2021-23152.pdf Notice - Submission for OMB Review; Comment Request https://regulations.justia.com/regulations/fedreg/2021/10/25/2021-23151.html https://regulations.justia.com/regulations/fedreg/2021/10/25/2021-23151.html Mon, 25 Oct 2021 00:00:00 -0700 2021-23151 Notice https://www.govinfo.gov/content/pkg/FR-2021-10-25/pdf/2021-23151.pdf Notice - Submission for OMB Review; Comment Request https://regulations.justia.com/regulations/fedreg/2021/10/25/2021-23150.html https://regulations.justia.com/regulations/fedreg/2021/10/25/2021-23150.html Mon, 25 Oct 2021 00:00:00 -0700 2021-23150 Notice https://www.govinfo.gov/content/pkg/FR-2021-10-25/pdf/2021-23150.pdf Notice - Self-Regulatory Organizations; Cboe Futures Exchange, LLC; Notice of a Filing of a Proposed Rule Change Regarding Disruptive Trading Practices https://regulations.justia.com/regulations/fedreg/2021/10/25/2021-23141.html https://regulations.justia.com/regulations/fedreg/2021/10/25/2021-23141.html Mon, 25 Oct 2021 00:00:00 -0700 2021-23141 Notice https://www.govinfo.gov/content/pkg/FR-2021-10-25/pdf/2021-23141.pdf Notice - Self-Regulatory Organizations; MEMX LLC; Notice of Designation of a Longer Period for Commission Action on a Proposed Rule Change To Establish a Retail Midpoint Liquidity Program https://regulations.justia.com/regulations/fedreg/2021/10/25/2021-23140.html https://regulations.justia.com/regulations/fedreg/2021/10/25/2021-23140.html Mon, 25 Oct 2021 00:00:00 -0700 2021-23140 Notice https://www.govinfo.gov/content/pkg/FR-2021-10-25/pdf/2021-23140.pdf Notice - Self-Regulatory Organizations; MEMX LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Adopt a Billing Errors Policy and Enable the Exchange To Agree to Alternative Payment Instructions for the Exchange's Direct Debit Collection Process https://regulations.justia.com/regulations/fedreg/2021/10/25/2021-23139.html https://regulations.justia.com/regulations/fedreg/2021/10/25/2021-23139.html Mon, 25 Oct 2021 00:00:00 -0700 2021-23139 Notice https://www.govinfo.gov/content/pkg/FR-2021-10-25/pdf/2021-23139.pdf Notice - Asset Management Advisory Committee https://regulations.justia.com/regulations/fedreg/2021/10/22/2021-23072.html https://regulations.justia.com/regulations/fedreg/2021/10/22/2021-23072.html Fri, 22 Oct 2021 00:00:00 -0700 2021-23072 Notice https://www.govinfo.gov/content/pkg/FR-2021-10-22/pdf/2021-23072.pdf Notice - Self-Regulatory Organizations; Long-Term Stock Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Extend the Date of the Pilot Related to the Market-Wide Circuit Breaker in Rule 11.280 https://regulations.justia.com/regulations/fedreg/2021/10/22/2021-23024.html https://regulations.justia.com/regulations/fedreg/2021/10/22/2021-23024.html Fri, 22 Oct 2021 00:00:00 -0700 2021-23024 Notice https://www.govinfo.gov/content/pkg/FR-2021-10-22/pdf/2021-23024.pdf Notice - Self-Regulatory Organizations; Cboe C2 Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Extend the Pilot Period Related to the Market-Wide Circuit Breaker in Rule 6.32.01 https://regulations.justia.com/regulations/fedreg/2021/10/22/2021-23023.html https://regulations.justia.com/regulations/fedreg/2021/10/22/2021-23023.html Fri, 22 Oct 2021 00:00:00 -0700 2021-23023 Notice https://www.govinfo.gov/content/pkg/FR-2021-10-22/pdf/2021-23023.pdf Notice - Self-Regulatory Organizations; Cboe Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Extend the Pilot Period Related to the Market-Wide Circuit Breaker in Rule 5.22 https://regulations.justia.com/regulations/fedreg/2021/10/22/2021-23022.html https://regulations.justia.com/regulations/fedreg/2021/10/22/2021-23022.html Fri, 22 Oct 2021 00:00:00 -0700 2021-23022 Notice https://www.govinfo.gov/content/pkg/FR-2021-10-22/pdf/2021-23022.pdf Notice - Self-Regulatory Organizations; the Options Clearing Corporation; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Concerning the Interest Rates Used for Options Pricing in the STANS Methodology Description https://regulations.justia.com/regulations/fedreg/2021/10/22/2021-23021.html https://regulations.justia.com/regulations/fedreg/2021/10/22/2021-23021.html Fri, 22 Oct 2021 00:00:00 -0700 2021-23021 Notice https://www.govinfo.gov/content/pkg/FR-2021-10-22/pdf/2021-23021.pdf Notice - Sunshine Act Meetings https://regulations.justia.com/regulations/fedreg/2021/10/21/2021-23108.html https://regulations.justia.com/regulations/fedreg/2021/10/21/2021-23108.html Thu, 21 Oct 2021 00:00:00 -0700 2021-23108 Notice https://www.govinfo.gov/content/pkg/FR-2021-10-21/pdf/2021-23108.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 To Adjust the Options Regulatory Fee https://regulations.justia.com/regulations/fedreg/2021/10/21/2021-22943.html https://regulations.justia.com/regulations/fedreg/2021/10/21/2021-22943.html Thu, 21 Oct 2021 00:00:00 -0700 2021-22943 Notice https://www.govinfo.gov/content/pkg/FR-2021-10-21/pdf/2021-22943.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 Adjust the Options Regulatory Fee https://regulations.justia.com/regulations/fedreg/2021/10/21/2021-22942.html https://regulations.justia.com/regulations/fedreg/2021/10/21/2021-22942.html Thu, 21 Oct 2021 00:00:00 -0700 2021-22942 Notice https://www.govinfo.gov/content/pkg/FR-2021-10-21/pdf/2021-22942.pdf Notice - Self-Regulatory Organizations; Cboe BYX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Extend the Pilot Related to the Market-Wide Circuit Breaker in Rule 11.18 https://regulations.justia.com/regulations/fedreg/2021/10/21/2021-22941.html https://regulations.justia.com/regulations/fedreg/2021/10/21/2021-22941.html Thu, 21 Oct 2021 00:00:00 -0700 2021-22941 Notice https://www.govinfo.gov/content/pkg/FR-2021-10-21/pdf/2021-22941.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 Adjust the Options Regulatory Fee https://regulations.justia.com/regulations/fedreg/2021/10/21/2021-22940.html https://regulations.justia.com/regulations/fedreg/2021/10/21/2021-22940.html Thu, 21 Oct 2021 00:00:00 -0700 2021-22940 Notice https://www.govinfo.gov/content/pkg/FR-2021-10-21/pdf/2021-22940.pdf Notice - Self-Regulatory Organizations; Cboe EDGA Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Extend the Pilot Related to the Market-Wide Circuit Breaker in Rule 11.16 https://regulations.justia.com/regulations/fedreg/2021/10/21/2021-22939.html https://regulations.justia.com/regulations/fedreg/2021/10/21/2021-22939.html Thu, 21 Oct 2021 00:00:00 -0700 2021-22939 Notice https://www.govinfo.gov/content/pkg/FR-2021-10-21/pdf/2021-22939.pdf Notice - Self-Regulatory Organizations; Cboe BZX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Extend the Pilot Related to the Market-Wide Circuit Breaker in Rule 11.18 https://regulations.justia.com/regulations/fedreg/2021/10/21/2021-22938.html https://regulations.justia.com/regulations/fedreg/2021/10/21/2021-22938.html Thu, 21 Oct 2021 00:00:00 -0700 2021-22938 Notice https://www.govinfo.gov/content/pkg/FR-2021-10-21/pdf/2021-22938.pdf Notice - Self-Regulatory Organizations; MEMX LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Extend the Pilot Related to the Market Wide Circuit Breaker Until March 18, 2022 https://regulations.justia.com/regulations/fedreg/2021/10/21/2021-22937.html https://regulations.justia.com/regulations/fedreg/2021/10/21/2021-22937.html Thu, 21 Oct 2021 00:00:00 -0700 2021-22937 Notice https://www.govinfo.gov/content/pkg/FR-2021-10-21/pdf/2021-22937.pdf Notice - Self-Regulatory Organizations; The Nasdaq Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Extend the Pilot Related to Clearly Erroneous Transactions Until April 20, 2022 https://regulations.justia.com/regulations/fedreg/2021/10/21/2021-22936.html https://regulations.justia.com/regulations/fedreg/2021/10/21/2021-22936.html Thu, 21 Oct 2021 00:00:00 -0700 2021-22936 Notice https://www.govinfo.gov/content/pkg/FR-2021-10-21/pdf/2021-22936.pdf Notice - Self-Regulatory Organizations; NYSE Chicago, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Extend the Current Pilot Program Related to Rule 7.10 https://regulations.justia.com/regulations/fedreg/2021/10/21/2021-22935.html https://regulations.justia.com/regulations/fedreg/2021/10/21/2021-22935.html Thu, 21 Oct 2021 00:00:00 -0700 2021-22935 Notice https://www.govinfo.gov/content/pkg/FR-2021-10-21/pdf/2021-22935.pdf Notice - Self-Regulatory Organizations; NYSE National, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Extend the Current Pilot Program Related to Rule 7.10 https://regulations.justia.com/regulations/fedreg/2021/10/21/2021-22934.html https://regulations.justia.com/regulations/fedreg/2021/10/21/2021-22934.html Thu, 21 Oct 2021 00:00:00 -0700 2021-22934 Notice https://www.govinfo.gov/content/pkg/FR-2021-10-21/pdf/2021-22934.pdf Notice - Self-Regulatory Organizations; MEMX LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Extend the Pilot Related to Clearly Erroneous Transactions Until April 20, 2022 https://regulations.justia.com/regulations/fedreg/2021/10/21/2021-22933.html https://regulations.justia.com/regulations/fedreg/2021/10/21/2021-22933.html Thu, 21 Oct 2021 00:00:00 -0700 2021-22933 Notice https://www.govinfo.gov/content/pkg/FR-2021-10-21/pdf/2021-22933.pdf Notice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Extend the Current Pilot Program Related to Rule 7.10-E https://regulations.justia.com/regulations/fedreg/2021/10/21/2021-22932.html https://regulations.justia.com/regulations/fedreg/2021/10/21/2021-22932.html Thu, 21 Oct 2021 00:00:00 -0700 2021-22932 Notice https://www.govinfo.gov/content/pkg/FR-2021-10-21/pdf/2021-22932.pdf Notice - Self-Regulatory Organizations; NYSE American LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Extend the Current Pilot Program Related to Rule 7.10E https://regulations.justia.com/regulations/fedreg/2021/10/21/2021-22931.html https://regulations.justia.com/regulations/fedreg/2021/10/21/2021-22931.html Thu, 21 Oct 2021 00:00:00 -0700 2021-22931 Notice https://www.govinfo.gov/content/pkg/FR-2021-10-21/pdf/2021-22931.pdf Notice - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Extend the Pilot Program Related to FINRA Rule 11892 (Clearly Erroneous Transactions in Exchange-Listed Securities) https://regulations.justia.com/regulations/fedreg/2021/10/21/2021-22930.html https://regulations.justia.com/regulations/fedreg/2021/10/21/2021-22930.html Thu, 21 Oct 2021 00:00:00 -0700 2021-22930 Notice https://www.govinfo.gov/content/pkg/FR-2021-10-21/pdf/2021-22930.pdf Notice - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Extend the Current Pilot Program Related to Rule 7.10 https://regulations.justia.com/regulations/fedreg/2021/10/21/2021-22929.html https://regulations.justia.com/regulations/fedreg/2021/10/21/2021-22929.html Thu, 21 Oct 2021 00:00:00 -0700 2021-22929 Notice https://www.govinfo.gov/content/pkg/FR-2021-10-21/pdf/2021-22929.pdf Notice - Self-Regulatory Organizations; Cboe EDGX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Extend the Pilot Related to the Market-Wide Circuit Breaker in Rule 11.16 https://regulations.justia.com/regulations/fedreg/2021/10/21/2021-22928.html https://regulations.justia.com/regulations/fedreg/2021/10/21/2021-22928.html Thu, 21 Oct 2021 00:00:00 -0700 2021-22928 Notice https://www.govinfo.gov/content/pkg/FR-2021-10-21/pdf/2021-22928.pdf Notice - Self-Regulatory Organizations; Cboe Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Its Fees Schedule With Respect to Its Lead Market-Maker Incentive Programs https://regulations.justia.com/regulations/fedreg/2021/10/21/2021-22927.html https://regulations.justia.com/regulations/fedreg/2021/10/21/2021-22927.html Thu, 21 Oct 2021 00:00:00 -0700 2021-22927 Notice https://www.govinfo.gov/content/pkg/FR-2021-10-21/pdf/2021-22927.pdf Notice - Self-Regulatory Organizations; MIAX PEARL, LLC; Notice of Withdrawal of a Proposed Rule Change 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/2021/10/21/2021-22926.html https://regulations.justia.com/regulations/fedreg/2021/10/21/2021-22926.html Thu, 21 Oct 2021 00:00:00 -0700 2021-22926 Notice https://www.govinfo.gov/content/pkg/FR-2021-10-21/pdf/2021-22926.pdf Notice - Self-Regulatory Organizations; MIAX PEARL, LLC; Notice of Withdrawal of a Proposed Rule Change To Amend the MIAX Pearl Options Fee Schedule To Remove Certain Credits and Increase Trading Permit Fees https://regulations.justia.com/regulations/fedreg/2021/10/21/2021-22925.html https://regulations.justia.com/regulations/fedreg/2021/10/21/2021-22925.html Thu, 21 Oct 2021 00:00:00 -0700 2021-22925 Notice https://www.govinfo.gov/content/pkg/FR-2021-10-21/pdf/2021-22925.pdf Notice - Self-Regulatory Organizations; Cboe EDGX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Extend the Current Pilot Program Related to Clearly Erroneous Executions, to the Close of Business on April 20, 2022 https://regulations.justia.com/regulations/fedreg/2021/10/21/2021-22924.html https://regulations.justia.com/regulations/fedreg/2021/10/21/2021-22924.html Thu, 21 Oct 2021 00:00:00 -0700 2021-22924 Notice https://www.govinfo.gov/content/pkg/FR-2021-10-21/pdf/2021-22924.pdf Notice - Self-Regulatory Organizations; Cboe EDGA Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Extend the Current Pilot Program Related to Clearly Erroneous Executions, to the Close of Business on April 20, 2022 https://regulations.justia.com/regulations/fedreg/2021/10/21/2021-22923.html https://regulations.justia.com/regulations/fedreg/2021/10/21/2021-22923.html Thu, 21 Oct 2021 00:00:00 -0700 2021-22923 Notice https://www.govinfo.gov/content/pkg/FR-2021-10-21/pdf/2021-22923.pdf Notice - Self-Regulatory Organizations; Cboe BYX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating To Extend the Current Pilot Program Related To Clearly Erroneous Executions, to the Close of Business on April 20, 2022 https://regulations.justia.com/regulations/fedreg/2021/10/21/2021-22922.html https://regulations.justia.com/regulations/fedreg/2021/10/21/2021-22922.html Thu, 21 Oct 2021 00:00:00 -0700 2021-22922 Notice https://www.govinfo.gov/content/pkg/FR-2021-10-21/pdf/2021-22922.pdf Notice - Self-Regulatory Organizations; Cboe BZX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Extend the Current Pilot Program Related to Clearly Erroneous Executions, to the Close of Business on April 20, 2022 https://regulations.justia.com/regulations/fedreg/2021/10/21/2021-22921.html https://regulations.justia.com/regulations/fedreg/2021/10/21/2021-22921.html Thu, 21 Oct 2021 00:00:00 -0700 2021-22921 Notice https://www.govinfo.gov/content/pkg/FR-2021-10-21/pdf/2021-22921.pdf Notice - Submission for OMB Review; Comment Request https://regulations.justia.com/regulations/fedreg/2021/10/21/2021-22906.html https://regulations.justia.com/regulations/fedreg/2021/10/21/2021-22906.html Thu, 21 Oct 2021 00:00:00 -0700 2021-22906 Notice https://www.govinfo.gov/content/pkg/FR-2021-10-21/pdf/2021-22906.pdf Notice - Submission for OMB Review; Comment Request https://regulations.justia.com/regulations/fedreg/2021/10/21/2021-22905.html https://regulations.justia.com/regulations/fedreg/2021/10/21/2021-22905.html Thu, 21 Oct 2021 00:00:00 -0700 2021-22905 Notice https://www.govinfo.gov/content/pkg/FR-2021-10-21/pdf/2021-22905.pdf Notice - Proposed Collection; Comment Request https://regulations.justia.com/regulations/fedreg/2021/10/21/2021-22904.html https://regulations.justia.com/regulations/fedreg/2021/10/21/2021-22904.html Thu, 21 Oct 2021 00:00:00 -0700 2021-22904 Notice https://www.govinfo.gov/content/pkg/FR-2021-10-21/pdf/2021-22904.pdf Notice - For Submission Comment Request https://regulations.justia.com/regulations/fedreg/2021/10/21/2021-22902.html https://regulations.justia.com/regulations/fedreg/2021/10/21/2021-22902.html Thu, 21 Oct 2021 00:00:00 -0700 2021-22902 Notice https://www.govinfo.gov/content/pkg/FR-2021-10-21/pdf/2021-22902.pdf Notice - Submission for OMB Review; Comment Request https://regulations.justia.com/regulations/fedreg/2021/10/21/2021-22900.html https://regulations.justia.com/regulations/fedreg/2021/10/21/2021-22900.html Thu, 21 Oct 2021 00:00:00 -0700 2021-22900 Notice https://www.govinfo.gov/content/pkg/FR-2021-10-21/pdf/2021-22900.pdf Notice - Proposed Collection; Comment Request https://regulations.justia.com/regulations/fedreg/2021/10/21/2021-22899.html https://regulations.justia.com/regulations/fedreg/2021/10/21/2021-22899.html Thu, 21 Oct 2021 00:00:00 -0700 2021-22899 Notice https://www.govinfo.gov/content/pkg/FR-2021-10-21/pdf/2021-22899.pdf Notice - Proposed Collection; Comment Request https://regulations.justia.com/regulations/fedreg/2021/10/21/2021-22898.html https://regulations.justia.com/regulations/fedreg/2021/10/21/2021-22898.html Thu, 21 Oct 2021 00:00:00 -0700 2021-22898 Notice https://www.govinfo.gov/content/pkg/FR-2021-10-21/pdf/2021-22898.pdf Proposed Rule - Reopening of Comment Period for Listing Standards for Recovery of Erroneously Awarded Compensation https://regulations.justia.com/regulations/fedreg/2021/10/21/2021-22754.html https://regulations.justia.com/regulations/fedreg/2021/10/21/2021-22754.html Thu, 21 Oct 2021 00:00:00 -0700 2021-22754 Proposed Rule https://www.govinfo.gov/content/pkg/FR-2021-10-21/pdf/2021-22754.pdf Notice - Self-Regulatory Organizations; Cboe Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating To Amend Rule 5.54 and Rule 5.55 in Connection With a Designated Primary Market-Maker's and a Lead Market-Maker's Obligation To Submit Opening Quotes for the Regular Trading Hours Session in Index Options https://regulations.justia.com/regulations/fedreg/2021/10/20/2021-22811.html https://regulations.justia.com/regulations/fedreg/2021/10/20/2021-22811.html Wed, 20 Oct 2021 00:00:00 -0700 2021-22811 Notice https://www.govinfo.gov/content/pkg/FR-2021-10-20/pdf/2021-22811.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 Between the Financial Industry Regulatory Authority, Inc. and Investors' Exchange LLC https://regulations.justia.com/regulations/fedreg/2021/10/20/2021-22810.html https://regulations.justia.com/regulations/fedreg/2021/10/20/2021-22810.html Wed, 20 Oct 2021 00:00:00 -0700 2021-22810 Notice https://www.govinfo.gov/content/pkg/FR-2021-10-20/pdf/2021-22810.pdf Notice - Self-Regulatory Organizations: Investors Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Extend the Pilot Period for the Market-Wide Circuit Breakers to March 18, 2022 https://regulations.justia.com/regulations/fedreg/2021/10/20/2021-22809.html https://regulations.justia.com/regulations/fedreg/2021/10/20/2021-22809.html Wed, 20 Oct 2021 00:00:00 -0700 2021-22809 Notice https://www.govinfo.gov/content/pkg/FR-2021-10-20/pdf/2021-22809.pdf Notice - Self-Regulatory Organizations; Cboe BZX Exchange, Inc.; Notice of Withdrawal of a Proposed Rule Change To Allow Invesco Focused Discovery Growth ETF and Invesco Select Growth ETF To Strike and Publish Multiple Intraday Net Asset Values https://regulations.justia.com/regulations/fedreg/2021/10/20/2021-22808.html https://regulations.justia.com/regulations/fedreg/2021/10/20/2021-22808.html Wed, 20 Oct 2021 00:00:00 -0700 2021-22808 Notice https://www.govinfo.gov/content/pkg/FR-2021-10-20/pdf/2021-22808.pdf Notice - Self-Regulatory Organizations; Nasdaq ISE, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the Exchange's Pricing Schedule at Options 7, Section 6.A To Modify the QCC and Solicitation Rebate Program https://regulations.justia.com/regulations/fedreg/2021/10/20/2021-22807.html https://regulations.justia.com/regulations/fedreg/2021/10/20/2021-22807.html Wed, 20 Oct 2021 00:00:00 -0700 2021-22807 Notice https://www.govinfo.gov/content/pkg/FR-2021-10-20/pdf/2021-22807.pdf Notice - Self-Regulatory Organizations; MIAX PEARL, LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change by To Extend the Pilot Related to the Market-Wide Circuit Breakers in Exchange Rule 2622 https://regulations.justia.com/regulations/fedreg/2021/10/20/2021-22806.html https://regulations.justia.com/regulations/fedreg/2021/10/20/2021-22806.html Wed, 20 Oct 2021 00:00:00 -0700 2021-22806 Notice https://www.govinfo.gov/content/pkg/FR-2021-10-20/pdf/2021-22806.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 Withdrawal of Proposed Rule Changes To Amend the Fee Schedule To Add Meet-Me-Room Connectivity Services Available at the Mahwah Data Center https://regulations.justia.com/regulations/fedreg/2021/10/20/2021-22800.html https://regulations.justia.com/regulations/fedreg/2021/10/20/2021-22800.html Wed, 20 Oct 2021 00:00:00 -0700 2021-22800 Notice https://www.govinfo.gov/content/pkg/FR-2021-10-20/pdf/2021-22800.pdf Notice - Self-Regulatory Organizations; New York Stock Exchange LLC; NYSE American LLC; NYSE Arca, Inc.; NYSE National, Inc.; NYSE Chicago, Inc.; Notice of Withdrawal of Proposed Rule Changes To Amend Each of the Exchange's Fee Schedules Related to Co-Location https://regulations.justia.com/regulations/fedreg/2021/10/20/2021-22799.html https://regulations.justia.com/regulations/fedreg/2021/10/20/2021-22799.html Wed, 20 Oct 2021 00:00:00 -0700 2021-22799 Notice https://www.govinfo.gov/content/pkg/FR-2021-10-20/pdf/2021-22799.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 Withdrawal of Proposed Rule Changes To Amend the Schedule of Wireless Connectivity Fees and Charges To Add Connectivity Services Available at the Data Center in Mahwah, New Jersey https://regulations.justia.com/regulations/fedreg/2021/10/20/2021-22798.html https://regulations.justia.com/regulations/fedreg/2021/10/20/2021-22798.html Wed, 20 Oct 2021 00:00:00 -0700 2021-22798 Notice https://www.govinfo.gov/content/pkg/FR-2021-10-20/pdf/2021-22798.pdf Notice - Self-Regulatory Organizations; Nasdaq PHLX LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Extend the Pilot Related to Clearly Erroneous Transactions Until April 20, 2022 https://regulations.justia.com/regulations/fedreg/2021/10/20/2021-22797.html https://regulations.justia.com/regulations/fedreg/2021/10/20/2021-22797.html Wed, 20 Oct 2021 00:00:00 -0700 2021-22797 Notice https://www.govinfo.gov/content/pkg/FR-2021-10-20/pdf/2021-22797.pdf Notice - Self-Regulatory Organizations; Miami International Securities Exchange, LLC, MIAX Emerald, LLC, and MIAX PEARL, LLC; Notice of Withdrawal of Proposed Rule Changes To Amend Fees for Purge Ports https://regulations.justia.com/regulations/fedreg/2021/10/20/2021-22796.html https://regulations.justia.com/regulations/fedreg/2021/10/20/2021-22796.html Wed, 20 Oct 2021 00:00:00 -0700 2021-22796 Notice https://www.govinfo.gov/content/pkg/FR-2021-10-20/pdf/2021-22796.pdf Notice - Self-Regulatory Organizations; Nasdaq BX, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Extend the Pilot Related to Clearly Erroneous Transactions Until April 20, 2022 https://regulations.justia.com/regulations/fedreg/2021/10/20/2021-22795.html https://regulations.justia.com/regulations/fedreg/2021/10/20/2021-22795.html Wed, 20 Oct 2021 00:00:00 -0700 2021-22795 Notice https://www.govinfo.gov/content/pkg/FR-2021-10-20/pdf/2021-22795.pdf Notice - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Its Rules To Add New Rule 7.13 https://regulations.justia.com/regulations/fedreg/2021/10/19/2021-22691.html https://regulations.justia.com/regulations/fedreg/2021/10/19/2021-22691.html Tue, 19 Oct 2021 00:00:00 -0700 2021-22691 Notice https://www.govinfo.gov/content/pkg/FR-2021-10-19/pdf/2021-22691.pdf Notice - Self-Regulatory Organizations; Cboe BZX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend its Fee Schedule https://regulations.justia.com/regulations/fedreg/2021/10/19/2021-22690.html https://regulations.justia.com/regulations/fedreg/2021/10/19/2021-22690.html Tue, 19 Oct 2021 00:00:00 -0700 2021-22690 Notice https://www.govinfo.gov/content/pkg/FR-2021-10-19/pdf/2021-22690.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 https://regulations.justia.com/regulations/fedreg/2021/10/19/2021-22689.html https://regulations.justia.com/regulations/fedreg/2021/10/19/2021-22689.html Tue, 19 Oct 2021 00:00:00 -0700 2021-22689 Notice https://www.govinfo.gov/content/pkg/FR-2021-10-19/pdf/2021-22689.pdf Notice - Self-Regulatory Organizations; Miami International Securities Exchange LLC; Notice of Withdrawal of Proposed Rule Change To Amend Its Fee Schedule To Adjust the Options Regulatory Fee https://regulations.justia.com/regulations/fedreg/2021/10/19/2021-22688.html https://regulations.justia.com/regulations/fedreg/2021/10/19/2021-22688.html Tue, 19 Oct 2021 00:00:00 -0700 2021-22688 Notice https://www.govinfo.gov/content/pkg/FR-2021-10-19/pdf/2021-22688.pdf Notice - Self-Regulatory Organizations; MIAX Emerald, LLC; Notice of Withdrawal of Proposed Rule Change To Amend Its Fee Schedule To Adjust the Options Regulatory Fee https://regulations.justia.com/regulations/fedreg/2021/10/19/2021-22687.html https://regulations.justia.com/regulations/fedreg/2021/10/19/2021-22687.html Tue, 19 Oct 2021 00:00:00 -0700 2021-22687 Notice https://www.govinfo.gov/content/pkg/FR-2021-10-19/pdf/2021-22687.pdf Notice - Self-Regulatory Organizations; MIAX PEARL, LLC; Notice of Withdrawal of Proposed Rule Change To Amend Its Fee Schedule To Adjust the Options Regulatory Fee https://regulations.justia.com/regulations/fedreg/2021/10/19/2021-22686.html https://regulations.justia.com/regulations/fedreg/2021/10/19/2021-22686.html Tue, 19 Oct 2021 00:00:00 -0700 2021-22686 Notice https://www.govinfo.gov/content/pkg/FR-2021-10-19/pdf/2021-22686.pdf Notice - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Extend the Pilot Period Related to FINRA Rule 6121.02 (Market-Wide Circuit Breakers in NMS Stocks) https://regulations.justia.com/regulations/fedreg/2021/10/19/2021-22685.html https://regulations.justia.com/regulations/fedreg/2021/10/19/2021-22685.html Tue, 19 Oct 2021 00:00:00 -0700 2021-22685 Notice https://www.govinfo.gov/content/pkg/FR-2021-10-19/pdf/2021-22685.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 https://regulations.justia.com/regulations/fedreg/2021/10/19/2021-22684.html https://regulations.justia.com/regulations/fedreg/2021/10/19/2021-22684.html Tue, 19 Oct 2021 00:00:00 -0700 2021-22684 Notice https://www.govinfo.gov/content/pkg/FR-2021-10-19/pdf/2021-22684.pdf Notice - Self-Regulatory Organizations; Cboe EDGX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Adopt a Rule Regarding the Allowance of Off-Exchange Transactions by a Member Acting as Agent Otherwise Than on EDGX in Accordance With Rule 19c-1 Under the Securities Exchange Act of 1934 https://regulations.justia.com/regulations/fedreg/2021/10/19/2021-22683.html https://regulations.justia.com/regulations/fedreg/2021/10/19/2021-22683.html Tue, 19 Oct 2021 00:00:00 -0700 2021-22683 Notice https://www.govinfo.gov/content/pkg/FR-2021-10-19/pdf/2021-22683.pdf Notice - Self-Regulatory Organizations; The Nasdaq Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Extend the Pilot Related to the Market Wide Circuit Breaker Until March 18, 2022 https://regulations.justia.com/regulations/fedreg/2021/10/19/2021-22682.html https://regulations.justia.com/regulations/fedreg/2021/10/19/2021-22682.html Tue, 19 Oct 2021 00:00:00 -0700 2021-22682 Notice https://www.govinfo.gov/content/pkg/FR-2021-10-19/pdf/2021-22682.pdf Notice - Sunshine Act Meetings https://regulations.justia.com/regulations/fedreg/2021/10/18/2021-22772.html https://regulations.justia.com/regulations/fedreg/2021/10/18/2021-22772.html Mon, 18 Oct 2021 00:00:00 -0700 2021-22772 Notice https://www.govinfo.gov/content/pkg/FR-2021-10-18/pdf/2021-22772.pdf Notice - Self-Regulatory Organizations; Cboe BZX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Adopt a Rule Regarding the Allowance of Off-Exchange Transactions by a Member Acting as Agent Otherwise Than on BZX in Accordance With Rule 19c-1 Under the Securities Exchange Act of 1934 https://regulations.justia.com/regulations/fedreg/2021/10/18/2021-22576.html https://regulations.justia.com/regulations/fedreg/2021/10/18/2021-22576.html Mon, 18 Oct 2021 00:00:00 -0700 2021-22576 Notice https://www.govinfo.gov/content/pkg/FR-2021-10-18/pdf/2021-22576.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 Securities Listed on the Exchange https://regulations.justia.com/regulations/fedreg/2021/10/18/2021-22575.html https://regulations.justia.com/regulations/fedreg/2021/10/18/2021-22575.html Mon, 18 Oct 2021 00:00:00 -0700 2021-22575 Notice https://www.govinfo.gov/content/pkg/FR-2021-10-18/pdf/2021-22575.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 Options 7, Section 10 https://regulations.justia.com/regulations/fedreg/2021/10/18/2021-22569.html https://regulations.justia.com/regulations/fedreg/2021/10/18/2021-22569.html Mon, 18 Oct 2021 00:00:00 -0700 2021-22569 Notice https://www.govinfo.gov/content/pkg/FR-2021-10-18/pdf/2021-22569.pdf Notice - Self-Regulatory Organizations; Cboe BYX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Adopt a Rule Regarding the Allowance of Off-Exchange Transactions by a Member Acting as Agent Otherwise Than on BYX in Accordance With Rule 19c-1 Under the Securities Exchange Act of 1934 https://regulations.justia.com/regulations/fedreg/2021/10/18/2021-22568.html https://regulations.justia.com/regulations/fedreg/2021/10/18/2021-22568.html Mon, 18 Oct 2021 00:00:00 -0700 2021-22568 Notice https://www.govinfo.gov/content/pkg/FR-2021-10-18/pdf/2021-22568.pdf Notice - Self-Regulatory Organizations; Nasdaq BX, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Extend the Pilot Related to the Market Wide Circuit Breaker Until March 18, 2022 https://regulations.justia.com/regulations/fedreg/2021/10/18/2021-22567.html https://regulations.justia.com/regulations/fedreg/2021/10/18/2021-22567.html Mon, 18 Oct 2021 00:00:00 -0700 2021-22567 Notice https://www.govinfo.gov/content/pkg/FR-2021-10-18/pdf/2021-22567.pdf Notice - Self-Regulatory Organizations; Nasdaq PHLX LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Options 7, Section 4, Multiply Listed Options Fees https://regulations.justia.com/regulations/fedreg/2021/10/18/2021-22566.html https://regulations.justia.com/regulations/fedreg/2021/10/18/2021-22566.html Mon, 18 Oct 2021 00:00:00 -0700 2021-22566 Notice https://www.govinfo.gov/content/pkg/FR-2021-10-18/pdf/2021-22566.pdf Notice - First Eagle Global Opportunities Fund, et al. https://regulations.justia.com/regulations/fedreg/2021/10/18/2021-22548.html https://regulations.justia.com/regulations/fedreg/2021/10/18/2021-22548.html Mon, 18 Oct 2021 00:00:00 -0700 2021-22548 Notice https://www.govinfo.gov/content/pkg/FR-2021-10-18/pdf/2021-22548.pdf Notice - Order Granting Conditional Substituted Compliance in Connection With Certain Requirements Applicable to Non-U.S. Security-Based Swap Dealers Subject to Regulation in the Swiss Confederation https://regulations.justia.com/regulations/fedreg/2021/10/15/2021-22475.html https://regulations.justia.com/regulations/fedreg/2021/10/15/2021-22475.html Fri, 15 Oct 2021 00:00:00 -0700 2021-22475 Notice https://www.govinfo.gov/content/pkg/FR-2021-10-15/pdf/2021-22475.pdf Proposed Rule - Enhanced Reporting of Proxy Votes by Registered Management Investment Companies; Reporting of Executive Compensation Votes by Institutional Investment Managers https://regulations.justia.com/regulations/fedreg/2021/10/15/2021-21549.html https://regulations.justia.com/regulations/fedreg/2021/10/15/2021-21549.html Fri, 15 Oct 2021 00:00:00 -0700 2021-21549 Proposed Rule https://www.govinfo.gov/content/pkg/FR-2021-10-15/pdf/2021-21549.pdf Notice - Sunshine Act Meeting; Cancellation https://regulations.justia.com/regulations/fedreg/2021/10/14/2021-22536.html https://regulations.justia.com/regulations/fedreg/2021/10/14/2021-22536.html Thu, 14 Oct 2021 00:00:00 -0700 2021-22536 Notice https://www.govinfo.gov/content/pkg/FR-2021-10-14/pdf/2021-22536.pdf Notice - Self-Regulatory Organizations; Nasdaq PHLX LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Extend the Pilot Related to the Market-Wide Circuit Breaker Until March 18, 2022 https://regulations.justia.com/regulations/fedreg/2021/10/14/2021-22441.html https://regulations.justia.com/regulations/fedreg/2021/10/14/2021-22441.html Thu, 14 Oct 2021 00:00:00 -0700 2021-22441 Notice https://www.govinfo.gov/content/pkg/FR-2021-10-14/pdf/2021-22441.pdf Notice - Self-Regulatory Organizations; Fixed Income Clearing Corporation; Order Approving the Proposed Rule Change Relating to Confidential Information, Market Disruption Events, and Other Changes https://regulations.justia.com/regulations/fedreg/2021/10/14/2021-22440.html https://regulations.justia.com/regulations/fedreg/2021/10/14/2021-22440.html Thu, 14 Oct 2021 00:00:00 -0700 2021-22440 Notice https://www.govinfo.gov/content/pkg/FR-2021-10-14/pdf/2021-22440.pdf Notice - Self-Regulatory Organizations; Depository Trust Company; Order Approving the Proposed Rule Change Relating to Confidential Information, Market Disruption Events, and Other Changes https://regulations.justia.com/regulations/fedreg/2021/10/14/2021-22439.html https://regulations.justia.com/regulations/fedreg/2021/10/14/2021-22439.html Thu, 14 Oct 2021 00:00:00 -0700 2021-22439 Notice https://www.govinfo.gov/content/pkg/FR-2021-10-14/pdf/2021-22439.pdf Notice - Self-Regulatory Organizations; National Securities Clearing Corporation; Order Approving the Proposed Rule Change Relating to Confidential Information, Market Disruption Events, and Other Changes https://regulations.justia.com/regulations/fedreg/2021/10/14/2021-22438.html https://regulations.justia.com/regulations/fedreg/2021/10/14/2021-22438.html Thu, 14 Oct 2021 00:00:00 -0700 2021-22438 Notice https://www.govinfo.gov/content/pkg/FR-2021-10-14/pdf/2021-22438.pdf Notice - Self-Regulatory Organizations; The Nasdaq Stock Market LLC; Order Granting Approval of a 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/2021/10/14/2021-22437.html https://regulations.justia.com/regulations/fedreg/2021/10/14/2021-22437.html Thu, 14 Oct 2021 00:00:00 -0700 2021-22437 Notice https://www.govinfo.gov/content/pkg/FR-2021-10-14/pdf/2021-22437.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/2021/10/14/2021-22436.html https://regulations.justia.com/regulations/fedreg/2021/10/14/2021-22436.html Thu, 14 Oct 2021 00:00:00 -0700 2021-22436 Notice https://www.govinfo.gov/content/pkg/FR-2021-10-14/pdf/2021-22436.pdf Notice - Self-Regulatory Organizations; Cboe EDGA Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Adopt a Rule Regarding the Allowance of Off-Exchange Transactions by a Member Acting as Agent Otherwise Than on EDGA in Accordance With Rule 19c-1 Under the Securities Exchange Act of 1934 https://regulations.justia.com/regulations/fedreg/2021/10/14/2021-22277.html https://regulations.justia.com/regulations/fedreg/2021/10/14/2021-22277.html Thu, 14 Oct 2021 00:00:00 -0700 2021-22277 Notice https://www.govinfo.gov/content/pkg/FR-2021-10-14/pdf/2021-22277.pdf Notice - Self-Regulatory Organizations; Cboe BZX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Rule 21.1 in Connection With Time-In-Force Instructions Available for Bulk Messages and To Make a Clarifying Change https://regulations.justia.com/regulations/fedreg/2021/10/14/2021-22276.html https://regulations.justia.com/regulations/fedreg/2021/10/14/2021-22276.html Thu, 14 Oct 2021 00:00:00 -0700 2021-22276 Notice https://www.govinfo.gov/content/pkg/FR-2021-10-14/pdf/2021-22276.pdf Notice - Self-Regulatory Organizations; Cboe BZX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To List and Trade Shares of Hartford Large Cap Growth ETF, a Series of Hartford Funds Exchange-Traded Trust, Under Rule 14.11(m), Tracking Fund Shares https://regulations.justia.com/regulations/fedreg/2021/10/14/2021-22275.html https://regulations.justia.com/regulations/fedreg/2021/10/14/2021-22275.html Thu, 14 Oct 2021 00:00:00 -0700 2021-22275 Notice https://www.govinfo.gov/content/pkg/FR-2021-10-14/pdf/2021-22275.pdf Notice - Self-Regulatory Organizations; Cboe C2 Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Rule 5.5(c) and Rule 5.6 in Connection With Time-In-Force Instructions Available for Bulk Messages and To Make a Clarifying Change https://regulations.justia.com/regulations/fedreg/2021/10/14/2021-22274.html https://regulations.justia.com/regulations/fedreg/2021/10/14/2021-22274.html Thu, 14 Oct 2021 00:00:00 -0700 2021-22274 Notice https://www.govinfo.gov/content/pkg/FR-2021-10-14/pdf/2021-22274.pdf Notice - Self-Regulatory Organizations; Cboe EDGX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Rule 21.1 in Connection With Time-in-Force Instructions Available for Bulk Messages and To Make a Clarifying Change https://regulations.justia.com/regulations/fedreg/2021/10/14/2021-22269.html https://regulations.justia.com/regulations/fedreg/2021/10/14/2021-22269.html Thu, 14 Oct 2021 00:00:00 -0700 2021-22269 Notice https://www.govinfo.gov/content/pkg/FR-2021-10-14/pdf/2021-22269.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 Schwab Ariel ESG ETF https://regulations.justia.com/regulations/fedreg/2021/10/13/2021-22170.html https://regulations.justia.com/regulations/fedreg/2021/10/13/2021-22170.html Wed, 13 Oct 2021 00:00:00 -0700 2021-22170 Notice https://www.govinfo.gov/content/pkg/FR-2021-10-13/pdf/2021-22170.pdf Notice - Sunshine Act Meeting; Cancellation https://regulations.justia.com/regulations/fedreg/2021/10/08/2021-22140.html https://regulations.justia.com/regulations/fedreg/2021/10/08/2021-22140.html Fri, 08 Oct 2021 00:00:00 -0700 2021-22140 Notice https://www.govinfo.gov/content/pkg/FR-2021-10-08/pdf/2021-22140.pdf Notice - Self-Regulatory Organizations; MIAX PEARL, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Permit Monday and Wednesday Expirations for Options Listed Pursuant to the Short Term Option Series Program on the iShares Russell 2000 ETF (“IWM”) https://regulations.justia.com/regulations/fedreg/2021/10/08/2021-21996.html https://regulations.justia.com/regulations/fedreg/2021/10/08/2021-21996.html Fri, 08 Oct 2021 00:00:00 -0700 2021-21996 Notice https://www.govinfo.gov/content/pkg/FR-2021-10-08/pdf/2021-21996.pdf Notice - Self-Regulatory Organizations; Nasdaq BX, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Proposal To Permit Monday and Wednesday Expirations for Options Listed Pursuant to the Short Term Option Series Program on the iShares Russell 2000 ETF https://regulations.justia.com/regulations/fedreg/2021/10/08/2021-21995.html https://regulations.justia.com/regulations/fedreg/2021/10/08/2021-21995.html Fri, 08 Oct 2021 00:00:00 -0700 2021-21995 Notice https://www.govinfo.gov/content/pkg/FR-2021-10-08/pdf/2021-21995.pdf Notice - Self-Regulatory Organizations; Cboe EDGX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Rule 19.6.05 To Allow Monday and Wednesday Expirations for Options Listed Pursuant to the Short Term Option Series Program on the iShares Russell 2000 ETF (“IWM”) https://regulations.justia.com/regulations/fedreg/2021/10/08/2021-21994.html https://regulations.justia.com/regulations/fedreg/2021/10/08/2021-21994.html Fri, 08 Oct 2021 00:00:00 -0700 2021-21994 Notice https://www.govinfo.gov/content/pkg/FR-2021-10-08/pdf/2021-21994.pdf Notice - Self-Regulatory Organizations; Cboe BZX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Rule 19.6.05 To Allow Monday and Wednesday Expirations for Options Listed Pursuant to the Short Term Option Series Program on the iShares Russell 2000 ETF (“IWM”) https://regulations.justia.com/regulations/fedreg/2021/10/08/2021-21993.html https://regulations.justia.com/regulations/fedreg/2021/10/08/2021-21993.html Fri, 08 Oct 2021 00:00:00 -0700 2021-21993 Notice https://www.govinfo.gov/content/pkg/FR-2021-10-08/pdf/2021-21993.pdf Notice - Self-Regulatory Organizations; The Nasdaq Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Delay Implementation of SR-NASDAQ-2021-009 https://regulations.justia.com/regulations/fedreg/2021/10/08/2021-21992.html https://regulations.justia.com/regulations/fedreg/2021/10/08/2021-21992.html Fri, 08 Oct 2021 00:00:00 -0700 2021-21992 Notice https://www.govinfo.gov/content/pkg/FR-2021-10-08/pdf/2021-21992.pdf Notice - Self-Regulatory Organizations; The Nasdaq Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Proposal To Permit Monday and Wednesday Expirations for Options Listed Pursuant to the Short Term Option Series Program on the iShares Russell 2000 ETF https://regulations.justia.com/regulations/fedreg/2021/10/08/2021-21991.html https://regulations.justia.com/regulations/fedreg/2021/10/08/2021-21991.html Fri, 08 Oct 2021 00:00:00 -0700 2021-21991 Notice https://www.govinfo.gov/content/pkg/FR-2021-10-08/pdf/2021-21991.pdf Notice - Self-Regulatory Organizations; BOX Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Permit Monday and Wednesday Expirations for Options Listed Pursuant to the Short Term Option Series Program on the iShares Russell 2000 ETF https://regulations.justia.com/regulations/fedreg/2021/10/08/2021-21989.html https://regulations.justia.com/regulations/fedreg/2021/10/08/2021-21989.html Fri, 08 Oct 2021 00:00:00 -0700 2021-21989 Notice https://www.govinfo.gov/content/pkg/FR-2021-10-08/pdf/2021-21989.pdf Notice - Self-Regulatory Organizations; The Nasdaq Stock Market LLC; Order Granting Approval of a Proposed Rule Change To Adopt Additional Initial Listing Criteria for Companies Primarily Operating in Jurisdictions That Do Not Provide the PCAOB With the Ability To Inspect Public Accounting Firms https://regulations.justia.com/regulations/fedreg/2021/10/08/2021-21988.html https://regulations.justia.com/regulations/fedreg/2021/10/08/2021-21988.html Fri, 08 Oct 2021 00:00:00 -0700 2021-21988 Notice https://www.govinfo.gov/content/pkg/FR-2021-10-08/pdf/2021-21988.pdf Notice - Self-Regulatory Organizations; The Nasdaq Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the Discretion Attribute, at Equity 4, Rule 4703, in Light of Planned Changes to the System https://regulations.justia.com/regulations/fedreg/2021/10/08/2021-21987.html https://regulations.justia.com/regulations/fedreg/2021/10/08/2021-21987.html Fri, 08 Oct 2021 00:00:00 -0700 2021-21987 Notice https://www.govinfo.gov/content/pkg/FR-2021-10-08/pdf/2021-21987.pdf Notice - Self-Regulatory Organizations; Cboe Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Rule 4.5(d) To Allow Monday and Wednesday Expirations for Options Listed Pursuant to the Short Term Option Series Program on the iShares Russell 2000 ETF (“IWM”) https://regulations.justia.com/regulations/fedreg/2021/10/08/2021-21985.html https://regulations.justia.com/regulations/fedreg/2021/10/08/2021-21985.html Fri, 08 Oct 2021 00:00:00 -0700 2021-21985 Notice https://www.govinfo.gov/content/pkg/FR-2021-10-08/pdf/2021-21985.pdf Notice - Self-Regulatory Organizations; Miami International Securities Exchange, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Permit Monday and Wednesday Expirations for Options Listed Pursuant to the Short Term Option Series Program on the iShares Russell 2000 ETF (“IWM”) https://regulations.justia.com/regulations/fedreg/2021/10/08/2021-21984.html https://regulations.justia.com/regulations/fedreg/2021/10/08/2021-21984.html Fri, 08 Oct 2021 00:00:00 -0700 2021-21984 Notice https://www.govinfo.gov/content/pkg/FR-2021-10-08/pdf/2021-21984.pdf Notice - Self-Regulatory Organizations; Nasdaq ISE, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Permit Monday and Wednesday Expirations for Options Listed Pursuant to the Short Term Option Series Program on the iShares Russell 2000 ETF https://regulations.justia.com/regulations/fedreg/2021/10/08/2021-21983.html https://regulations.justia.com/regulations/fedreg/2021/10/08/2021-21983.html Fri, 08 Oct 2021 00:00:00 -0700 2021-21983 Notice https://www.govinfo.gov/content/pkg/FR-2021-10-08/pdf/2021-21983.pdf Rule - Adoption of Updated EDGAR Filer Manual, Form ID Amendments https://regulations.justia.com/regulations/fedreg/2021/10/07/2021-21915.html https://regulations.justia.com/regulations/fedreg/2021/10/07/2021-21915.html Thu, 07 Oct 2021 00:00:00 -0700 2021-21915 Rule https://www.govinfo.gov/content/pkg/FR-2021-10-07/pdf/2021-21915.pdf Notice - Self-Regulatory Organizations; Cboe BZX Exchange, Inc.; Order Setting Aside Action by Delegated Authority and Approving a Proposed Rule Change, as Modified by Amendment Nos. 2 and 4, To List and Trade Shares of the 2x Long VIX Futures ETF Under BZX Rule 14.11(f)(4) (Trust Issued Receipts) https://regulations.justia.com/regulations/fedreg/2021/10/07/2021-21880.html https://regulations.justia.com/regulations/fedreg/2021/10/07/2021-21880.html Thu, 07 Oct 2021 00:00:00 -0700 2021-21880 Notice https://www.govinfo.gov/content/pkg/FR-2021-10-07/pdf/2021-21880.pdf Notice - Self-Regulatory Organizations; Cboe BZX Exchange, Inc.; Order Setting Aside Action by Delegated Authority and Approving a Proposed Rule Change, as Modified by Amendment Nos. 1 and 3, To List and Trade Shares of the -1x Short VIX Futures ETF Under BZX Rule 14.11(f)(4) (Trust Issued Receipts) https://regulations.justia.com/regulations/fedreg/2021/10/07/2021-21877.html https://regulations.justia.com/regulations/fedreg/2021/10/07/2021-21877.html Thu, 07 Oct 2021 00:00:00 -0700 2021-21877 Notice https://www.govinfo.gov/content/pkg/FR-2021-10-07/pdf/2021-21877.pdf Notice - Self-Regulatory Organizations; NYSE Arca, Inc.; 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-E https://regulations.justia.com/regulations/fedreg/2021/10/07/2021-21871.html https://regulations.justia.com/regulations/fedreg/2021/10/07/2021-21871.html Thu, 07 Oct 2021 00:00:00 -0700 2021-21871 Notice https://www.govinfo.gov/content/pkg/FR-2021-10-07/pdf/2021-21871.pdf Notice - Self-Regulatory Organizations; NYSE Chicago, Inc.; 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/2021/10/07/2021-21870.html https://regulations.justia.com/regulations/fedreg/2021/10/07/2021-21870.html Thu, 07 Oct 2021 00:00:00 -0700 2021-21870 Notice https://www.govinfo.gov/content/pkg/FR-2021-10-07/pdf/2021-21870.pdf Notice - Self-Regulatory Organizations; Nasdaq PHLX LLC; Notice of Filing of Proposed Rule Change To Amend Options 4A, Section 12 Regarding the Closing Volume Weighted Average Price (“Closing VWAP”) for Listing and Trading of Options on the Nasdaq-100® Volatility Index https://regulations.justia.com/regulations/fedreg/2021/10/07/2021-21869.html https://regulations.justia.com/regulations/fedreg/2021/10/07/2021-21869.html Thu, 07 Oct 2021 00:00:00 -0700 2021-21869 Notice https://www.govinfo.gov/content/pkg/FR-2021-10-07/pdf/2021-21869.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/2021/10/07/2021-21868.html https://regulations.justia.com/regulations/fedreg/2021/10/07/2021-21868.html Thu, 07 Oct 2021 00:00:00 -0700 2021-21868 Notice https://www.govinfo.gov/content/pkg/FR-2021-10-07/pdf/2021-21868.pdf Notice - Self-Regulatory Organizations; ICE Clear Europe Limited; Notice of Filing of Proposed Rule Change Relating to Amendments to the ICE Clear Europe Collateral and Haircut Procedures https://regulations.justia.com/regulations/fedreg/2021/10/07/2021-21866.html https://regulations.justia.com/regulations/fedreg/2021/10/07/2021-21866.html Thu, 07 Oct 2021 00:00:00 -0700 2021-21866 Notice https://www.govinfo.gov/content/pkg/FR-2021-10-07/pdf/2021-21866.pdf Notice - Self-Regulatory Organizations; ICE Clear Credit LLC; Notice of Filing of Proposed Rule Change Relating to the Stress Testing Framework and the Indirect Participant Risk Monitoring and Review Policy https://regulations.justia.com/regulations/fedreg/2021/10/07/2021-21865.html https://regulations.justia.com/regulations/fedreg/2021/10/07/2021-21865.html Thu, 07 Oct 2021 00:00:00 -0700 2021-21865 Notice https://www.govinfo.gov/content/pkg/FR-2021-10-07/pdf/2021-21865.pdf Notice - Self-Regulatory Organizations; Fixed Income Clearing Corporation; Order Approving Proposed Rule Change To Remove the Early Unwind Intraday Charge, Change the Treatment of Short-Term Treasuries, and Make Other Changes https://regulations.justia.com/regulations/fedreg/2021/10/07/2021-21863.html https://regulations.justia.com/regulations/fedreg/2021/10/07/2021-21863.html Thu, 07 Oct 2021 00:00:00 -0700 2021-21863 Notice https://www.govinfo.gov/content/pkg/FR-2021-10-07/pdf/2021-21863.pdf Notice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing of Amendment No. 1 and Order Instituting Proceedings To Determine Whether To Approve or Disapprove a Proposed Rule Change, as Modified by Amendment No. 1, To Adopt New Rules 6.1P-O, 6.37AP-O, 6.40P-O, 6.41P-O, 6.62P-O, 6.64P-O, 6.76P-O, and 6.76AP-O and Amendments to Rules 1.1, 6.1-O, 6.1A-O, 6.37-O, 6.65A-O and 6.96-O https://regulations.justia.com/regulations/fedreg/2021/10/07/2021-21624.html https://regulations.justia.com/regulations/fedreg/2021/10/07/2021-21624.html Thu, 07 Oct 2021 00:00:00 -0700 2021-21624 Notice https://www.govinfo.gov/content/pkg/FR-2021-10-07/pdf/2021-21624.pdf Notice - Self-Regulatory Organizations; NYSE National, Inc.; 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/2021/10/06/2021-21864.html https://regulations.justia.com/regulations/fedreg/2021/10/06/2021-21864.html Wed, 06 Oct 2021 00:00:00 -0700 2021-21864 Notice https://www.govinfo.gov/content/pkg/FR-2021-10-06/pdf/2021-21864.pdf Notice - Self-Regulatory Organizations; NYSE American LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Extend the Pilot Related to the Market-Wide Circuit Breaker in Rule 7.12E https://regulations.justia.com/regulations/fedreg/2021/10/06/2021-21773.html https://regulations.justia.com/regulations/fedreg/2021/10/06/2021-21773.html Wed, 06 Oct 2021 00:00:00 -0700 2021-21773 Notice https://www.govinfo.gov/content/pkg/FR-2021-10-06/pdf/2021-21773.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 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/2021/10/06/2021-21772.html https://regulations.justia.com/regulations/fedreg/2021/10/06/2021-21772.html Wed, 06 Oct 2021 00:00:00 -0700 2021-21772 Notice https://www.govinfo.gov/content/pkg/FR-2021-10-06/pdf/2021-21772.pdf Notice - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Designation of a Longer Period for Commission Action on 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/2021/10/06/2021-21771.html https://regulations.justia.com/regulations/fedreg/2021/10/06/2021-21771.html Wed, 06 Oct 2021 00:00:00 -0700 2021-21771 Notice https://www.govinfo.gov/content/pkg/FR-2021-10-06/pdf/2021-21771.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 Nasdaq IM-5101-2 To Permit an Acquisition Company To Contribute a Portion of Its Deposit Account to Another Entity in a Spin-Off or Similar Corporate Transaction https://regulations.justia.com/regulations/fedreg/2021/10/06/2021-21770.html https://regulations.justia.com/regulations/fedreg/2021/10/06/2021-21770.html Wed, 06 Oct 2021 00:00:00 -0700 2021-21770 Notice https://www.govinfo.gov/content/pkg/FR-2021-10-06/pdf/2021-21770.pdf Notice - Self-Regulatory Organizations; Cboe BZX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Exempt Certain Categories of Investment Companies Registered Under the Investment Company Act of 1940 From the Requirement To Obtain Shareholder Approval Prior to the Issuance of Securities in Connection With Certain Acquisitions of the Stock or Assets of an Affiliated Registered Investment Company https://regulations.justia.com/regulations/fedreg/2021/10/06/2021-21769.html https://regulations.justia.com/regulations/fedreg/2021/10/06/2021-21769.html Wed, 06 Oct 2021 00:00:00 -0700 2021-21769 Notice https://www.govinfo.gov/content/pkg/FR-2021-10-06/pdf/2021-21769.pdf Notice - Order Granting Application of Investors Exchange LLC for a Limited Exemption From Rule 602 of Regulation NMS for Its Retail Price Improvement Program https://regulations.justia.com/regulations/fedreg/2021/10/06/2021-21768.html https://regulations.justia.com/regulations/fedreg/2021/10/06/2021-21768.html Wed, 06 Oct 2021 00:00:00 -0700 2021-21768 Notice https://www.govinfo.gov/content/pkg/FR-2021-10-06/pdf/2021-21768.pdf Notice - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing of a Proposed Rule Change To Amend FINRA Rule 2231 (Customer Account Statements) https://regulations.justia.com/regulations/fedreg/2021/10/06/2021-21767.html https://regulations.justia.com/regulations/fedreg/2021/10/06/2021-21767.html Wed, 06 Oct 2021 00:00:00 -0700 2021-21767 Notice https://www.govinfo.gov/content/pkg/FR-2021-10-06/pdf/2021-21767.pdf Notice - Self-Regulatory Organizations; New York Stock Exchange LLC, NYSE American LLC, NYSE Arca, Inc., NYSE Chicago, Inc., and NYSE National, Inc.; Order Disapproving Proposed Rule Changes, as Modified by Partial Amendment No. 1, To Amend Each Exchange's Fee Schedule To Add Two Partial Cabinet Bundles Available in Co-Location and Establish Associated Fees https://regulations.justia.com/regulations/fedreg/2021/10/06/2021-21752.html https://regulations.justia.com/regulations/fedreg/2021/10/06/2021-21752.html Wed, 06 Oct 2021 00:00:00 -0700 2021-21752 Notice https://www.govinfo.gov/content/pkg/FR-2021-10-06/pdf/2021-21752.pdf 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 Notice - Self-Regulatory Organizations; MIAX Emerald, LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the MIAX Emerald Fee Schedule To Adopt a Tiered-Pricing Structure for Certain Connectivity Fees https://regulations.justia.com/regulations/fedreg/2021/10/04/2021-21492.html https://regulations.justia.com/regulations/fedreg/2021/10/04/2021-21492.html Mon, 04 Oct 2021 00:00:00 -0700 2021-21492 Notice https://www.govinfo.gov/content/pkg/FR-2021-10-04/pdf/2021-21492.pdf Notice - Self-Regulatory Organizations; Miami International Securities Exchange LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the MIAX Fee Schedule To Adopt a Tiered-Pricing Structure for Certain Connectivity Fees https://regulations.justia.com/regulations/fedreg/2021/10/04/2021-21491.html https://regulations.justia.com/regulations/fedreg/2021/10/04/2021-21491.html Mon, 04 Oct 2021 00:00:00 -0700 2021-21491 Notice https://www.govinfo.gov/content/pkg/FR-2021-10-04/pdf/2021-21491.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 To Adopt a Tiered-Pricing Structure for Certain Connectivity Fees https://regulations.justia.com/regulations/fedreg/2021/10/04/2021-21490.html https://regulations.justia.com/regulations/fedreg/2021/10/04/2021-21490.html Mon, 04 Oct 2021 00:00:00 -0700 2021-21490 Notice https://www.govinfo.gov/content/pkg/FR-2021-10-04/pdf/2021-21490.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 Fee Schedule To Add Meet-Me-Room Connectivity Services Available at the Mahwah Data Center https://regulations.justia.com/regulations/fedreg/2021/10/04/2021-21489.html https://regulations.justia.com/regulations/fedreg/2021/10/04/2021-21489.html Mon, 04 Oct 2021 00:00:00 -0700 2021-21489 Notice https://www.govinfo.gov/content/pkg/FR-2021-10-04/pdf/2021-21489.pdf Notice - Self-Regulatory Organizations; Cboe Exchange, Inc.; Notice of Designation of a Longer Period for Commission Action on a Proposed Rule Change To Amend Rule 5.4 and Make Corresponding Changes to Other Rules https://regulations.justia.com/regulations/fedreg/2021/10/04/2021-21488.html https://regulations.justia.com/regulations/fedreg/2021/10/04/2021-21488.html Mon, 04 Oct 2021 00:00:00 -0700 2021-21488 Notice https://www.govinfo.gov/content/pkg/FR-2021-10-04/pdf/2021-21488.pdf Notice - Self-Regulatory Organizations; Nasdaq PHLX LLC; Order Approving a Proposed Rule Change To Permit Monday and Wednesday Expirations for Options Listed Pursuant to the Short Term Options Program on the iShares Russell 2000 ETF (IWM) https://regulations.justia.com/regulations/fedreg/2021/10/04/2021-21487.html https://regulations.justia.com/regulations/fedreg/2021/10/04/2021-21487.html Mon, 04 Oct 2021 00:00:00 -0700 2021-21487 Notice https://www.govinfo.gov/content/pkg/FR-2021-10-04/pdf/2021-21487.pdf Notice - Self-Regulatory Organizations; BOX Exchange LLC; Notice of Designation of a Longer Period for Commission Action on a Proposed Rule Change Related to BOX Exchange LLC and BOX Holdings Group LLC Ownership Transfer Transactions https://regulations.justia.com/regulations/fedreg/2021/10/04/2021-21486.html https://regulations.justia.com/regulations/fedreg/2021/10/04/2021-21486.html Mon, 04 Oct 2021 00:00:00 -0700 2021-21486 Notice https://www.govinfo.gov/content/pkg/FR-2021-10-04/pdf/2021-21486.pdf Notice - Self-Regulatory Organizations; Cboe BZX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to the Exchange's Fee Schedule https://regulations.justia.com/regulations/fedreg/2021/10/04/2021-21485.html https://regulations.justia.com/regulations/fedreg/2021/10/04/2021-21485.html Mon, 04 Oct 2021 00:00:00 -0700 2021-21485 Notice https://www.govinfo.gov/content/pkg/FR-2021-10-04/pdf/2021-21485.pdf Notice - Self-Regulatory Organizations; Cboe BYX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the Exchange's Fee Schedule https://regulations.justia.com/regulations/fedreg/2021/10/04/2021-21484.html https://regulations.justia.com/regulations/fedreg/2021/10/04/2021-21484.html Mon, 04 Oct 2021 00:00:00 -0700 2021-21484 Notice https://www.govinfo.gov/content/pkg/FR-2021-10-04/pdf/2021-21484.pdf Notice - Self-Regulatory Organizations; Cboe BZX Exchange, Inc.; Order Granting Approval of a Proposed Rule Change To Amend Rule 14.11(m) (Tracking Fund Shares) To Provide for the Use of Custom Baskets Consistent With the Exemptive Relief Issued Pursuant to the Investment Company Act of 1940 Applicable to a Series of Tracking Fund Shares https://regulations.justia.com/regulations/fedreg/2021/10/04/2021-21483.html https://regulations.justia.com/regulations/fedreg/2021/10/04/2021-21483.html Mon, 04 Oct 2021 00:00:00 -0700 2021-21483 Notice https://www.govinfo.gov/content/pkg/FR-2021-10-04/pdf/2021-21483.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 Allow the Invesco Focused Discovery Growth ETF and Invesco Select Growth ETF To Strike and Publish an Intra-Day NAV and an End-of-Day NAV https://regulations.justia.com/regulations/fedreg/2021/10/04/2021-21482.html https://regulations.justia.com/regulations/fedreg/2021/10/04/2021-21482.html Mon, 04 Oct 2021 00:00:00 -0700 2021-21482 Notice https://www.govinfo.gov/content/pkg/FR-2021-10-04/pdf/2021-21482.pdf Notice - Self-Regulatory Organizations; Nasdaq BX, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Establish a New Rule Requiring Members To Input Accurate Information Into BX Systems https://regulations.justia.com/regulations/fedreg/2021/10/04/2021-21481.html https://regulations.justia.com/regulations/fedreg/2021/10/04/2021-21481.html Mon, 04 Oct 2021 00:00:00 -0700 2021-21481 Notice https://www.govinfo.gov/content/pkg/FR-2021-10-04/pdf/2021-21481.pdf Notice - Sunshine Act Meeting; Cancellation https://regulations.justia.com/regulations/fedreg/2021/10/01/2021-21516.html https://regulations.justia.com/regulations/fedreg/2021/10/01/2021-21516.html Fri, 01 Oct 2021 00:00:00 -0700 2021-21516 Notice https://www.govinfo.gov/content/pkg/FR-2021-10-01/pdf/2021-21516.pdf Notice - Self-Regulatory Organizations; Cboe Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Rule 4.13 To Allow the Exchange To List up to 12 Standard Monthly Expirations for Certain Index Options https://regulations.justia.com/regulations/fedreg/2021/10/01/2021-21355.html https://regulations.justia.com/regulations/fedreg/2021/10/01/2021-21355.html Fri, 01 Oct 2021 00:00:00 -0700 2021-21355 Notice https://www.govinfo.gov/content/pkg/FR-2021-10-01/pdf/2021-21355.pdf Notice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Adopt a New Historical Market Data Product To Be Known as the NYSE Options Open-Close Volume Summary https://regulations.justia.com/regulations/fedreg/2021/10/01/2021-21354.html https://regulations.justia.com/regulations/fedreg/2021/10/01/2021-21354.html Fri, 01 Oct 2021 00:00:00 -0700 2021-21354 Notice https://www.govinfo.gov/content/pkg/FR-2021-10-01/pdf/2021-21354.pdf Notice - Self-Regulatory Organizations; Cboe EDGA Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the Exchange's Fee Schedule https://regulations.justia.com/regulations/fedreg/2021/10/01/2021-21353.html https://regulations.justia.com/regulations/fedreg/2021/10/01/2021-21353.html Fri, 01 Oct 2021 00:00:00 -0700 2021-21353 Notice https://www.govinfo.gov/content/pkg/FR-2021-10-01/pdf/2021-21353.pdf Notice - Self-Regulatory Organizations; Cboe EDGX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the Exchange's Fee Schedule https://regulations.justia.com/regulations/fedreg/2021/10/01/2021-21352.html https://regulations.justia.com/regulations/fedreg/2021/10/01/2021-21352.html Fri, 01 Oct 2021 00:00:00 -0700 2021-21352 Notice https://www.govinfo.gov/content/pkg/FR-2021-10-01/pdf/2021-21352.pdf