Federal Register Recent Federal Regulation Documents - Justia Regulation Tracker - Justia Regulations Trackerhttps://regulations.justia.com/regulations/fedreg/agencies/securities-and-exchange-commission/2021/11?limit=200®isters=between&min-day=1&max-day=30&mode=atom2025-03-25T14:02:46-07:00Justia Inchttps://www.justia.com/Justia Regulations Trackerhttps://regulations.justia.com/images/justiafedregulations.gifCopyright 2011 Justia Inchttps://regulations.justia.com/regulations/fedreg/2021/11/30/2021-26074.htmlNotice - Self-Regulatory Organizations; National Securities Clearing Corporation; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Make Certain Revisions and Clarifications to the Rules2021-11-30T00:00:00-08:002021-11-30T00:00:00-08:002021-26074Noticehttps://www.govinfo.gov/content/pkg/FR-2021-11-30/pdf/2021-26074.pdfhttps://regulations.justia.com/regulations/fedreg/2021/11/30/2021-26070.htmlNotice - Self-Regulatory Organizations; Fixed Income Clearing Corporation; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Make Certain Revisions and Clarifications to the Rules2021-11-30T00:00:00-08:002021-11-30T00:00:00-08:002021-26070Noticehttps://www.govinfo.gov/content/pkg/FR-2021-11-30/pdf/2021-26070.pdfhttps://regulations.justia.com/regulations/fedreg/2021/11/30/2021-26068.htmlNotice - Self-Regulatory Organizations; ICE Clear Europe Limited; Notice of Filing of Proposed Rule Change Relating to Amendments to the Counterparty Credit Risk Policy and Counterparty Credit Risk Procedures2021-11-30T00:00:00-08:002021-11-30T00:00:00-08:002021-26068Noticehttps://www.govinfo.gov/content/pkg/FR-2021-11-30/pdf/2021-26068.pdfhttps://regulations.justia.com/regulations/fedreg/2021/11/30/2021-26067.htmlNotice - Self-Regulatory Organizations; The Depository Trust Company; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Make Certain Revisions and Clarifications to the Rules2021-11-30T00:00:00-08:002021-11-30T00:00:00-08:002021-26067Noticehttps://www.govinfo.gov/content/pkg/FR-2021-11-30/pdf/2021-26067.pdfhttps://regulations.justia.com/regulations/fedreg/2021/11/30/2021-25994.htmlNotice - Self-Regulatory Organizations; Nasdaq PHLX LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Increase Position Limits for Options on Certain Exchange-Traded Funds2021-11-30T00:00:00-08:002021-11-30T00:00:00-08:002021-25994Noticehttps://www.govinfo.gov/content/pkg/FR-2021-11-30/pdf/2021-25994.pdfhttps://regulations.justia.com/regulations/fedreg/2021/11/30/2021-25992.htmlNotice - Self-Regulatory Organizations; The Nasdaq Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Adopt a Post-Only Quote Configuration Risk Protection2021-11-30T00:00:00-08:002021-11-30T00:00:00-08:002021-25992Noticehttps://www.govinfo.gov/content/pkg/FR-2021-11-30/pdf/2021-25992.pdfhttps://regulations.justia.com/regulations/fedreg/2021/11/30/2021-25991.htmlNotice - Self-Regulatory Organizations; BOX Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Increase Position Limits for Options on Certain Exchange-Traded Funds2021-11-30T00:00:00-08:002021-11-30T00:00:00-08:002021-25991Noticehttps://www.govinfo.gov/content/pkg/FR-2021-11-30/pdf/2021-25991.pdfhttps://regulations.justia.com/regulations/fedreg/2021/11/30/2021-25990.htmlNotice - Self-Regulatory Organizations; Nasdaq ISE, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Increase Position Limits for Options on Certain Exchange-Traded Funds2021-11-30T00:00:00-08:002021-11-30T00:00:00-08:002021-25990Noticehttps://www.govinfo.gov/content/pkg/FR-2021-11-30/pdf/2021-25990.pdfhttps://regulations.justia.com/regulations/fedreg/2021/11/30/2021-25989.htmlNotice - Self-Regulatory Organizations; Cboe Exchange, Inc.; Order Instituting Proceedings To Determine Whether To Approve or Disapprove a Proposed Rule Change To Amend Cboe Rule 5.4 and Make Corresponding Changes to Other Rules2021-11-30T00:00:00-08:002021-11-30T00:00:00-08:002021-25989Noticehttps://www.govinfo.gov/content/pkg/FR-2021-11-30/pdf/2021-25989.pdfhttps://regulations.justia.com/regulations/fedreg/2021/11/30/2021-25988.htmlNotice - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing of a Proposed Rule Change To Amend FINRA Rule 6732 and Expand the Scope of Exemptions That FINRA May Grant ATSs From the TRACE Reporting Requirements2021-11-30T00:00:00-08:002021-11-30T00:00:00-08:002021-25988Noticehttps://www.govinfo.gov/content/pkg/FR-2021-11-30/pdf/2021-25988.pdfhttps://regulations.justia.com/regulations/fedreg/2021/11/30/2021-25987.htmlNotice - Self-Regulatory Organizations; BOX Exchange LLC; Notice of Designation of Longer Period for Commission Action on Proceedings To Determine Whether To Approve or Disapprove a Proposed Rule Change, as Modified by Amendment No. 1, To Adopt Rules Governing the Trading of Equity Securities on the Exchange Through a Facility of the Exchange Known as BSTX LLC2021-11-30T00:00:00-08:002021-11-30T00:00:00-08:002021-25987Noticehttps://www.govinfo.gov/content/pkg/FR-2021-11-30/pdf/2021-25987.pdfhttps://regulations.justia.com/regulations/fedreg/2021/11/29/2021-26047.htmlNotice - Sunshine Act Meetings2021-11-29T00:00:00-08:002021-11-29T00:00:00-08:002021-26047Noticehttps://www.govinfo.gov/content/pkg/FR-2021-11-29/pdf/2021-26047.pdfhttps://regulations.justia.com/regulations/fedreg/2021/11/29/2021-25915.htmlNotice - Proposed Collection; Comment Request, Extension: Rule 30e-22021-11-29T00:00:00-08:002021-11-29T00:00:00-08:002021-25915Noticehttps://www.govinfo.gov/content/pkg/FR-2021-11-29/pdf/2021-25915.pdfhttps://regulations.justia.com/regulations/fedreg/2021/11/29/2021-25914.htmlNotice - Submission for OMB Review; Comment Request, Extension: Form F-32021-11-29T00:00:00-08:002021-11-29T00:00:00-08:002021-25914Noticehttps://www.govinfo.gov/content/pkg/FR-2021-11-29/pdf/2021-25914.pdfhttps://regulations.justia.com/regulations/fedreg/2021/11/29/2021-25913.htmlNotice - Proposed Collection; Comment Request; Extension: Form 1-E, Regulation E2021-11-29T00:00:00-08:002021-11-29T00:00:00-08:002021-25913Noticehttps://www.govinfo.gov/content/pkg/FR-2021-11-29/pdf/2021-25913.pdfhttps://regulations.justia.com/regulations/fedreg/2021/11/29/2021-25912.htmlNotice - Submission for OMB Review; Comment Request, Extension: Rule 206(4)-72021-11-29T00:00:00-08:002021-11-29T00:00:00-08:002021-25912Noticehttps://www.govinfo.gov/content/pkg/FR-2021-11-29/pdf/2021-25912.pdfhttps://regulations.justia.com/regulations/fedreg/2021/11/29/2021-25893.htmlNotice - Self-Regulatory Organizations; Cboe Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Add a Held Order Instruction2021-11-29T00:00:00-08:002021-11-29T00:00:00-08:002021-25893Noticehttps://www.govinfo.gov/content/pkg/FR-2021-11-29/pdf/2021-25893.pdfhttps://regulations.justia.com/regulations/fedreg/2021/11/29/2021-25883.htmlNotice - Self-Regulatory Organizations; MIAX Emerald, LLC; Suspension of and Order Instituting Proceedings To Determine Whether To Approve or Disapprove Proposed Rule Change To Amend the Exchange's Fee Schedule To Adopt a Tiered-Pricing Structure for Certain Connectivity Fees2021-11-29T00:00:00-08:002021-11-29T00:00:00-08:002021-25883Noticehttps://www.govinfo.gov/content/pkg/FR-2021-11-29/pdf/2021-25883.pdfhttps://regulations.justia.com/regulations/fedreg/2021/11/29/2021-25882.htmlNotice - Self-Regulatory Organizations; Cboe EDGX Exchange, Inc.; Notice of Filing of a Proposed Rule Change To Amend Interpretation and Policy .01 to Rule 11.10 in Connection With a Risk Setting That Users May Elect To Apply to Their Orders in Hard To Borrow Securities2021-11-29T00:00:00-08:002021-11-29T00:00:00-08:002021-25882Noticehttps://www.govinfo.gov/content/pkg/FR-2021-11-29/pdf/2021-25882.pdfhttps://regulations.justia.com/regulations/fedreg/2021/11/29/2021-25881.htmlNotice - Self-Regulatory Organizations; Cboe EDGA Exchange, Inc.; Notice of Filing of a Proposed Rule Change To Amend Interpretation and Policy .01 to Rule 11.10 in Connection With a Risk Setting That Users May Elect To Apply to Their Orders in Hard To Borrow Securities2021-11-29T00:00:00-08:002021-11-29T00:00:00-08:002021-25881Noticehttps://www.govinfo.gov/content/pkg/FR-2021-11-29/pdf/2021-25881.pdfhttps://regulations.justia.com/regulations/fedreg/2021/11/29/2021-25880.htmlNotice - Self-Regulatory Organizations; Cboe BZX Exchange, Inc.; Notice of Filing of a Proposed Rule Change To Amend Interpretation and Policy .01 to Rule 11.13 in Connection With a Risk Setting That Users May Elect To Apply to Their Orders in Hard To Borrow Securities2021-11-29T00:00:00-08:002021-11-29T00:00:00-08:002021-25880Noticehttps://www.govinfo.gov/content/pkg/FR-2021-11-29/pdf/2021-25880.pdfhttps://regulations.justia.com/regulations/fedreg/2021/11/29/2021-25879.htmlNotice - Self-Regulatory Organizations; Miami International Securities Exchange, LLC, MIAX Emerald, LLC; Suspension of and Order Instituting Proceedings To Determine Whether To Approve or Disapprove Proposed Rule Changes To Amend Fee Schedules To Adopt Tiered-Pricing Structures for Additional Limited Service MIAX and MIAX Emerald Express Interface Ports2021-11-29T00:00:00-08:002021-11-29T00:00:00-08:002021-25879Noticehttps://www.govinfo.gov/content/pkg/FR-2021-11-29/pdf/2021-25879.pdfhttps://regulations.justia.com/regulations/fedreg/2021/11/29/2021-25878.htmlNotice - Self-Regulatory Organizations; Miami International Securities Exchange LLC, MIAX PEARL, LLC; Suspension of and Order Instituting Proceedings To Determine Whether To Approve or Disapprove Proposed Rule Changes To Amend the Fee Schedules To Adopt a Tiered-Pricing Structure for Certain Connectivity Fees2021-11-29T00:00:00-08:002021-11-29T00:00:00-08:002021-25878Noticehttps://www.govinfo.gov/content/pkg/FR-2021-11-29/pdf/2021-25878.pdfhttps://regulations.justia.com/regulations/fedreg/2021/11/29/2021-25877.htmlNotice - Self-Regulatory Organizations; Cboe BYX Exchange, Inc.; Notice of Filing of a Proposed Rule Change To Amend Interpretation and Policy .01 to Rule 11.13 in Connection With a Risk Setting That Users May Elect To Apply to Their Orders in Hard To Borrow Securities2021-11-29T00:00:00-08:002021-11-29T00:00:00-08:002021-25877Noticehttps://www.govinfo.gov/content/pkg/FR-2021-11-29/pdf/2021-25877.pdfhttps://regulations.justia.com/regulations/fedreg/2021/11/29/2021-25871.htmlNotice - Privacy Act of 1974; System of Records2021-11-29T00:00:00-08:002021-11-29T00:00:00-08:002021-25871Noticehttps://www.govinfo.gov/content/pkg/FR-2021-11-29/pdf/2021-25871.pdfhttps://regulations.justia.com/regulations/fedreg/2021/11/29/2021-25862.htmlNotice - Bain Capital Specialty Finance, Inc., et al.2021-11-29T00:00:00-08:002021-11-29T00:00:00-08:002021-25862Noticehttps://www.govinfo.gov/content/pkg/FR-2021-11-29/pdf/2021-25862.pdfhttps://regulations.justia.com/regulations/fedreg/2021/11/29/2021-25745.htmlNotice - Consolidated Tape Association; Notice of Filing of the Thirty-Seventh Substantive Amendment to the Second Restatement of the CTA Plan and Twenty-Eighth Substantive Amendment to the Restated CQ Plan2021-11-29T00:00:00-08:002021-11-29T00:00:00-08:002021-25745Noticehttps://www.govinfo.gov/content/pkg/FR-2021-11-29/pdf/2021-25745.pdfhttps://regulations.justia.com/regulations/fedreg/2021/11/26/2021-25759.htmlNotice - Self-Regulatory Organizations; MIAX Emerald, LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Its Fee Schedule2021-11-26T00:00:00-08:002021-11-26T00:00:00-08:002021-25759Noticehttps://www.govinfo.gov/content/pkg/FR-2021-11-26/pdf/2021-25759.pdfhttps://regulations.justia.com/regulations/fedreg/2021/11/26/2021-25758.htmlNotice - Self-Regulatory Organizations; Miami International Securities Exchange LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Its Fee Schedule2021-11-26T00:00:00-08:002021-11-26T00:00:00-08:002021-25758Noticehttps://www.govinfo.gov/content/pkg/FR-2021-11-26/pdf/2021-25758.pdfhttps://regulations.justia.com/regulations/fedreg/2021/11/26/2021-25757.htmlNotice - Self-Regulatory Organizations; MIAX PEARL, LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Its Fee Schedule2021-11-26T00:00:00-08:002021-11-26T00:00:00-08:002021-25757Noticehttps://www.govinfo.gov/content/pkg/FR-2021-11-26/pdf/2021-25757.pdfhttps://regulations.justia.com/regulations/fedreg/2021/11/26/2021-25756.htmlNotice - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Extend the Implementation Date of Certain Amendments to FINRA Rule 4210 Approved Pursuant to SR-FINRA-2015-0362021-11-26T00:00:00-08:002021-11-26T00:00:00-08:002021-25756Noticehttps://www.govinfo.gov/content/pkg/FR-2021-11-26/pdf/2021-25756.pdfhttps://regulations.justia.com/regulations/fedreg/2021/11/26/2021-25755.htmlNotice - Self-Regulatory Organizations; New York Stock Exchange LLC; Order Approving of a Proposed Rule Change To Amend the Shareholder Voting Requirement Set Forth in Section 312.07 of the NYSE Listed Company Manual2021-11-26T00:00:00-08:002021-11-26T00:00:00-08:002021-25755Noticehttps://www.govinfo.gov/content/pkg/FR-2021-11-26/pdf/2021-25755.pdfhttps://regulations.justia.com/regulations/fedreg/2021/11/26/2021-25754.htmlNotice - Self-Regulatory Organizations; Nasdaq PHLX LLC; Order Approving a Proposed Rule Change To Amend Options 4A, Section 12 Regarding the Calculation of the Closing Volume Weighted Average Price for Options on the Nasdaq-100® Volatility Index in Certain Circumstances2021-11-26T00:00:00-08:002021-11-26T00:00:00-08:002021-25754Noticehttps://www.govinfo.gov/content/pkg/FR-2021-11-26/pdf/2021-25754.pdfhttps://regulations.justia.com/regulations/fedreg/2021/11/26/2021-25753.htmlNotice - Self-Regulatory Organizations: Investors Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Modify the Definition of a Retail Order for the Retail Price Improvement Program2021-11-26T00:00:00-08:002021-11-26T00:00:00-08:002021-25753Noticehttps://www.govinfo.gov/content/pkg/FR-2021-11-26/pdf/2021-25753.pdfhttps://regulations.justia.com/regulations/fedreg/2021/11/26/2021-25752.htmlNotice - Consolidated Tape Association; Notice of Filing of the Twenty-Fifth Charges Amendment to the Second Restatement of the CTA Plan and Sixteenth Charges Amendment to the Restated CQ Plan2021-11-26T00:00:00-08:002021-11-26T00:00:00-08:002021-25752Noticehttps://www.govinfo.gov/content/pkg/FR-2021-11-26/pdf/2021-25752.pdfhttps://regulations.justia.com/regulations/fedreg/2021/11/26/2021-25751.htmlNotice - Self-Regulatory Organizations; Cboe BZX Exchange, Inc.; Notice of Filing of Amendment No. 2 and Order Granting Accelerated Approval of a Proposed Rule Change, as Modified by Amendment No. 2, To Allow the Invesco Focused Discovery Growth ETF and Invesco Select Growth ETF To Strike and Publish an Intra-Day Net Asset Value2021-11-26T00:00:00-08:002021-11-26T00:00:00-08:002021-25751Noticehttps://www.govinfo.gov/content/pkg/FR-2021-11-26/pdf/2021-25751.pdfhttps://regulations.justia.com/regulations/fedreg/2021/11/26/2021-25750.htmlNotice - Self-Regulatory Organizations; The Nasdaq Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Adopt Alternative Initial and Continued Listing Requirements for Acquisition Companies Listing on the Nasdaq Global Market2021-11-26T00:00:00-08:002021-11-26T00:00:00-08:002021-25750Noticehttps://www.govinfo.gov/content/pkg/FR-2021-11-26/pdf/2021-25750.pdfhttps://regulations.justia.com/regulations/fedreg/2021/11/26/2021-25749.htmlNotice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the NYSE Arca Equities Fees and Charges2021-11-26T00:00:00-08:002021-11-26T00:00:00-08:002021-25749Noticehttps://www.govinfo.gov/content/pkg/FR-2021-11-26/pdf/2021-25749.pdfhttps://regulations.justia.com/regulations/fedreg/2021/11/26/2021-25748.htmlNotice - Joint Industry Plan; Notice of Filing of the Fifty-First Amendment to the Joint Self-Regulatory Organization Plan Governing the Collection, Consolidation and Dissemination of Quotation and Transaction Information for Nasdaq-Listed Securities Traded on Exchanges on an Unlisted Trading Privileges Basis2021-11-26T00:00:00-08:002021-11-26T00:00:00-08:002021-25748Noticehttps://www.govinfo.gov/content/pkg/FR-2021-11-26/pdf/2021-25748.pdfhttps://regulations.justia.com/regulations/fedreg/2021/11/26/2021-25747.htmlNotice - Joint Industry Plan; Notice of Filing of the Fifty-Second Amendment to the Joint Self-Regulatory Organization Plan Governing the Collection, Consolidation and Dissemination of Quotation and Transaction Information for Nasdaq-Listed Securities Traded on Exchanges on an Unlisted Trading Privileges Basis2021-11-26T00:00:00-08:002021-11-26T00:00:00-08:002021-25747Noticehttps://www.govinfo.gov/content/pkg/FR-2021-11-26/pdf/2021-25747.pdfhttps://regulations.justia.com/regulations/fedreg/2021/11/26/2021-25746.htmlNotice - Self-Regulatory Organizations; Cboe BZX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend How the BZX Official Closing Price Is Determined for a BZX-Listed Security That Is Not a Corporate Security, Pursuant to Rule 11.23(c)(2)(B)(ii)(b)2021-11-26T00:00:00-08:002021-11-26T00:00:00-08:002021-25746Noticehttps://www.govinfo.gov/content/pkg/FR-2021-11-26/pdf/2021-25746.pdfhttps://regulations.justia.com/regulations/fedreg/2021/11/26/2021-25722.htmlNotice - Bow River Capital Evergreen Fund, et al.2021-11-26T00:00:00-08:002021-11-26T00:00:00-08:002021-25722Noticehttps://www.govinfo.gov/content/pkg/FR-2021-11-26/pdf/2021-25722.pdfhttps://regulations.justia.com/regulations/fedreg/2021/11/26/2021-25420.htmlProposed Rule - Proxy Voting Advice2021-11-26T00:00:00-08:002021-11-26T00:00:00-08:002021-25420Proposed Rulehttps://www.govinfo.gov/content/pkg/FR-2021-11-26/pdf/2021-25420.pdfhttps://regulations.justia.com/regulations/fedreg/2021/11/24/2021-25628.htmlNotice - MVP Private Markets Fund, et al.2021-11-24T00:00:00-08:002021-11-24T00:00:00-08:002021-25628Noticehttps://www.govinfo.gov/content/pkg/FR-2021-11-24/pdf/2021-25628.pdfhttps://regulations.justia.com/regulations/fedreg/2021/11/24/2021-25625.htmlNotice - Self-Regulatory Organizations; Cboe BZX Exchange, Inc.; Order Instituting Proceedings To Determine Whether To Approve or Disapprove a Proposed Rule Change To List and Trade Shares of the Global X Bitcoin Trust Under BZX Rule 14.11(e)(4), Commodity-Based Trust Shares2021-11-24T00:00:00-08:002021-11-24T00:00:00-08:002021-25625Noticehttps://www.govinfo.gov/content/pkg/FR-2021-11-24/pdf/2021-25625.pdfhttps://regulations.justia.com/regulations/fedreg/2021/11/24/2021-25624.htmlNotice - Self-Regulatory Organizations; The Options Clearing Corporation; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Correct an Inadvertent Omission in a Prior Proposed Rule Change Concerning OCC's Schedule of Fees2021-11-24T00:00:00-08:002021-11-24T00:00:00-08:002021-25624Noticehttps://www.govinfo.gov/content/pkg/FR-2021-11-24/pdf/2021-25624.pdfhttps://regulations.justia.com/regulations/fedreg/2021/11/24/2021-25623.htmlNotice - Self-Regulatory Organizations; ICE Clear Credit LLC; Order Approving Proposed Rule Change Relating to the Stress Testing Framework and the Indirect Participant Risk Monitoring and Review Policy2021-11-24T00:00:00-08:002021-11-24T00:00:00-08:002021-25623Noticehttps://www.govinfo.gov/content/pkg/FR-2021-11-24/pdf/2021-25623.pdfhttps://regulations.justia.com/regulations/fedreg/2021/11/23/2021-25479.htmlNotice - Self-Regulatory Organizations; ICE Clear Europe Limited; Order Approving Proposed Rule Change Relating to Amendments to the ICE Clear Europe Collateral and Haircut Procedures2021-11-23T00:00:00-08:002021-11-23T00:00:00-08:002021-25479Noticehttps://www.govinfo.gov/content/pkg/FR-2021-11-23/pdf/2021-25479.pdfhttps://regulations.justia.com/regulations/fedreg/2021/11/23/2021-25478.htmlNotice - Self-Regulatory Organizations; The Nasdaq Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend FINRA Fees2021-11-23T00:00:00-08:002021-11-23T00:00:00-08:002021-25478Noticehttps://www.govinfo.gov/content/pkg/FR-2021-11-23/pdf/2021-25478.pdfhttps://regulations.justia.com/regulations/fedreg/2021/11/23/2021-25477.htmlNotice - Self-Regulatory Organizations; Cboe Futures Exchange, LLC; Notice of a Filing of a Proposed Rule Change Regarding Block Trade Recordkeeping Requirements2021-11-23T00:00:00-08:002021-11-23T00:00:00-08:002021-25477Noticehttps://www.govinfo.gov/content/pkg/FR-2021-11-23/pdf/2021-25477.pdfhttps://regulations.justia.com/regulations/fedreg/2021/11/23/2021-25476.htmlNotice - Self-Regulatory Organizations; Cboe Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Rule 5.342021-11-23T00:00:00-08:002021-11-23T00:00:00-08:002021-25476Noticehttps://www.govinfo.gov/content/pkg/FR-2021-11-23/pdf/2021-25476.pdfhttps://regulations.justia.com/regulations/fedreg/2021/11/23/2021-25475.htmlNotice - Self-Regulatory Organizations; Cboe C2 Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Rule 5.342021-11-23T00:00:00-08:002021-11-23T00:00:00-08:002021-25475Noticehttps://www.govinfo.gov/content/pkg/FR-2021-11-23/pdf/2021-25475.pdfhttps://regulations.justia.com/regulations/fedreg/2021/11/22/2021-25360.htmlNotice - Self-Regulatory Organizations; MIAX PEARL, LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the MIAX Pearl Options Fee Schedule and the MIAX Pearl Equities Fee Schedule To Establish a Policy Relating to Billing Errors2021-11-22T00:00:00-08:002021-11-22T00:00:00-08:002021-25360Noticehttps://www.govinfo.gov/content/pkg/FR-2021-11-22/pdf/2021-25360.pdfhttps://regulations.justia.com/regulations/fedreg/2021/11/22/2021-25359.htmlNotice - Self-Regulatory Organizations; MIAX Emerald, LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the MIAX Emerald Fee Schedule To Establish a Policy Relating to Billing Errors2021-11-22T00:00:00-08:002021-11-22T00:00:00-08:002021-25359Noticehttps://www.govinfo.gov/content/pkg/FR-2021-11-22/pdf/2021-25359.pdfhttps://regulations.justia.com/regulations/fedreg/2021/11/22/2021-25358.htmlNotice - Self-Regulatory Organizations; NYSE National, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Update the Procedures for the Allocation of Cabinets and Power to Its Colocated Users2021-11-22T00:00:00-08:002021-11-22T00:00:00-08:002021-25358Noticehttps://www.govinfo.gov/content/pkg/FR-2021-11-22/pdf/2021-25358.pdfhttps://regulations.justia.com/regulations/fedreg/2021/11/22/2021-25357.htmlNotice - Self-Regulatory Organizations; NYSE Chicago, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Update the Procedures for the Allocation of Cabinets and Power to Its Colocated Users2021-11-22T00:00:00-08:002021-11-22T00:00:00-08:002021-25357Noticehttps://www.govinfo.gov/content/pkg/FR-2021-11-22/pdf/2021-25357.pdfhttps://regulations.justia.com/regulations/fedreg/2021/11/22/2021-25356.htmlNotice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Update the Procedures for the Allocation of Cabinets and Power to Its Colocated Users2021-11-22T00:00:00-08:002021-11-22T00:00:00-08:002021-25356Noticehttps://www.govinfo.gov/content/pkg/FR-2021-11-22/pdf/2021-25356.pdfhttps://regulations.justia.com/regulations/fedreg/2021/11/22/2021-25355.htmlNotice - Self-Regulatory Organizations; NYSE American LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Update the Procedures for the Allocation of Cabinets and Power to Its Colocated Users2021-11-22T00:00:00-08:002021-11-22T00:00:00-08:002021-25355Noticehttps://www.govinfo.gov/content/pkg/FR-2021-11-22/pdf/2021-25355.pdfhttps://regulations.justia.com/regulations/fedreg/2021/11/22/2021-25354.htmlNotice - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Update the Procedures for the Allocation of Cabinets and Power to Its Colocated Users2021-11-22T00:00:00-08:002021-11-22T00:00:00-08:002021-25354Noticehttps://www.govinfo.gov/content/pkg/FR-2021-11-22/pdf/2021-25354.pdfhttps://regulations.justia.com/regulations/fedreg/2021/11/22/2021-25353.htmlNotice - Self-Regulatory Organizations; Nasdaq BX, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend FINRA Fees2021-11-22T00:00:00-08:002021-11-22T00:00:00-08:002021-25353Noticehttps://www.govinfo.gov/content/pkg/FR-2021-11-22/pdf/2021-25353.pdfhttps://regulations.justia.com/regulations/fedreg/2021/11/22/2021-25352.htmlNotice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Rule 6.64-O To Provide an Option for OTP Holders and OTP Firms To Instruct the Exchange To Cancel Marketable Orders If a Series Is Not Opened Within a Specified Time Period2021-11-22T00:00:00-08:002021-11-22T00:00:00-08:002021-25352Noticehttps://www.govinfo.gov/content/pkg/FR-2021-11-22/pdf/2021-25352.pdfhttps://regulations.justia.com/regulations/fedreg/2021/11/22/2021-25351.htmlNotice - Self-Regulatory Organizations; Nasdaq MRX, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend FINRA Fees2021-11-22T00:00:00-08:002021-11-22T00:00:00-08:002021-25351Noticehttps://www.govinfo.gov/content/pkg/FR-2021-11-22/pdf/2021-25351.pdfhttps://regulations.justia.com/regulations/fedreg/2021/11/22/2021-25350.htmlNotice - Self-Regulatory Organizations; Nasdaq GEMX, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend FINRA Fees2021-11-22T00:00:00-08:002021-11-22T00:00:00-08:002021-25350Noticehttps://www.govinfo.gov/content/pkg/FR-2021-11-22/pdf/2021-25350.pdfhttps://regulations.justia.com/regulations/fedreg/2021/11/22/2021-25349.htmlNotice - Self-Regulatory Organizations; Nasdaq ISE, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend FINRA Fees2021-11-22T00:00:00-08:002021-11-22T00:00:00-08:002021-25349Noticehttps://www.govinfo.gov/content/pkg/FR-2021-11-22/pdf/2021-25349.pdfhttps://regulations.justia.com/regulations/fedreg/2021/11/22/2021-25348.htmlNotice - Self-Regulatory Organizations; ICE Clear Credit LLC; Order Approving Proposed Rule Change Relating to the ICC CDS Instrument On-Boarding Policies and Procedures2021-11-22T00:00:00-08:002021-11-22T00:00:00-08:002021-25348Noticehttps://www.govinfo.gov/content/pkg/FR-2021-11-22/pdf/2021-25348.pdfhttps://regulations.justia.com/regulations/fedreg/2021/11/22/2021-25346.htmlNotice - Self-Regulatory Organizations; The Nasdaq Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Retire Certain Order Entry Protocols and Related Fees, at Equity 7, Section 1152021-11-22T00:00:00-08:002021-11-22T00:00:00-08:002021-25346Noticehttps://www.govinfo.gov/content/pkg/FR-2021-11-22/pdf/2021-25346.pdfhttps://regulations.justia.com/regulations/fedreg/2021/11/22/2021-24523.htmlProposed Rule - Updating EDGAR Filing Requirements2021-11-22T00:00:00-08:002021-11-22T00:00:00-08:002021-24523Proposed Rulehttps://www.govinfo.gov/content/pkg/FR-2021-11-22/pdf/2021-24523.pdfhttps://regulations.justia.com/regulations/fedreg/2021/11/22/2021-25544.htmlNotice - Sunshine Act Meetings2021-11-22T00:00:00-08:002021-11-22T00:00:00-08:002021-25544Noticehttps://www.govinfo.gov/content/pkg/FR-2021-11-22/pdf/2021-25544.pdfhttps://regulations.justia.com/regulations/fedreg/2021/11/18/2021-25188.htmlNotice - Investor Advisory Committee Meeting2021-11-18T00:00:00-08:002021-11-18T00:00:00-08:002021-25188Noticehttps://www.govinfo.gov/content/pkg/FR-2021-11-18/pdf/2021-25188.pdfhttps://regulations.justia.com/regulations/fedreg/2021/11/18/2021-25173.htmlNotice - Proposed Collection; Comment Request2021-11-18T00:00:00-08:002021-11-18T00:00:00-08:002021-25173Noticehttps://www.govinfo.gov/content/pkg/FR-2021-11-18/pdf/2021-25173.pdfhttps://regulations.justia.com/regulations/fedreg/2021/11/18/2021-25172.htmlNotice - Proposed Collection; Comment Request2021-11-18T00:00:00-08:002021-11-18T00:00:00-08:002021-25172Noticehttps://www.govinfo.gov/content/pkg/FR-2021-11-18/pdf/2021-25172.pdfhttps://regulations.justia.com/regulations/fedreg/2021/11/18/2021-25171.htmlNotice - Submission for OMB Review; Comment Request2021-11-18T00:00:00-08:002021-11-18T00:00:00-08:002021-25171Noticehttps://www.govinfo.gov/content/pkg/FR-2021-11-18/pdf/2021-25171.pdfhttps://regulations.justia.com/regulations/fedreg/2021/11/18/2021-25170.htmlNotice - Proposed Collection; Comment Request2021-11-18T00:00:00-08:002021-11-18T00:00:00-08:002021-25170Noticehttps://www.govinfo.gov/content/pkg/FR-2021-11-18/pdf/2021-25170.pdfhttps://regulations.justia.com/regulations/fedreg/2021/11/18/2021-25130.htmlNotice - Self-Regulatory Organizations; The Nasdaq Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Equity 7, Section 118 of the Fee Schedule2021-11-18T00:00:00-08:002021-11-18T00:00:00-08:002021-25130Noticehttps://www.govinfo.gov/content/pkg/FR-2021-11-18/pdf/2021-25130.pdfhttps://regulations.justia.com/regulations/fedreg/2021/11/18/2021-25129.htmlNotice - Self-Regulatory Organizations; Cboe BZX Exchange, Inc.; Order Disapproving a Proposed Rule Change To List and Trade Shares of the VanEck Bitcoin Trust Under BZX Rule 14.11(e)(4), Commodity-Based Trust Shares2021-11-18T00:00:00-08:002021-11-18T00:00:00-08:002021-25129Noticehttps://www.govinfo.gov/content/pkg/FR-2021-11-18/pdf/2021-25129.pdfhttps://regulations.justia.com/regulations/fedreg/2021/11/18/2021-25128.htmlNotice - Self-Regulatory Organizations; Investors Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Make Juneteenth National Independence Day a Holiday of the Exchange2021-11-18T00:00:00-08:002021-11-18T00:00:00-08:002021-25128Noticehttps://www.govinfo.gov/content/pkg/FR-2021-11-18/pdf/2021-25128.pdfhttps://regulations.justia.com/regulations/fedreg/2021/11/18/2021-25127.htmlNotice - Self-Regulatory Organizations; NYSE American LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the NYSE American Equities Price List and Fee Schedule and the NYSE American Options Fee Schedule Regarding Colocation Services2021-11-18T00:00:00-08:002021-11-18T00:00:00-08:002021-25127Noticehttps://www.govinfo.gov/content/pkg/FR-2021-11-18/pdf/2021-25127.pdfhttps://regulations.justia.com/regulations/fedreg/2021/11/18/2021-25126.htmlNotice - Self-Regulatory Organizations; BOX Exchange LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the Fee Schedule on the BOX Options Market LLC Facility2021-11-18T00:00:00-08:002021-11-18T00:00:00-08:002021-25126Noticehttps://www.govinfo.gov/content/pkg/FR-2021-11-18/pdf/2021-25126.pdfhttps://regulations.justia.com/regulations/fedreg/2021/11/18/2021-25125.htmlNotice - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the New York Stock Exchange Price List Regarding Colocation Services2021-11-18T00:00:00-08:002021-11-18T00:00:00-08:002021-25125Noticehttps://www.govinfo.gov/content/pkg/FR-2021-11-18/pdf/2021-25125.pdfhttps://regulations.justia.com/regulations/fedreg/2021/11/18/2021-25124.htmlNotice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the NYSE Arca Options Fees and Charges and the NYSE Arca Equities Fees and Charges Regarding Colocation Services2021-11-18T00:00:00-08:002021-11-18T00:00:00-08:002021-25124Noticehttps://www.govinfo.gov/content/pkg/FR-2021-11-18/pdf/2021-25124.pdfhttps://regulations.justia.com/regulations/fedreg/2021/11/18/2021-25123.htmlNotice - Self-Regulatory Organizations; NYSE Chicago, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the Fee Schedule of NYSE Chicago, Inc. Regarding Colocation Services2021-11-18T00:00:00-08:002021-11-18T00:00:00-08:002021-25123Noticehttps://www.govinfo.gov/content/pkg/FR-2021-11-18/pdf/2021-25123.pdfhttps://regulations.justia.com/regulations/fedreg/2021/11/18/2021-25122.htmlNotice - Self-Regulatory Organizations; NYSE National, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the Exchange's Price List Regarding Colocation Services2021-11-18T00:00:00-08:002021-11-18T00:00:00-08:002021-25122Noticehttps://www.govinfo.gov/content/pkg/FR-2021-11-18/pdf/2021-25122.pdfhttps://regulations.justia.com/regulations/fedreg/2021/11/17/2021-25021.htmlNotice - Self-Regulatory Organizations; Investors Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Its Fee Schedule for Market Data Fees2021-11-17T00:00:00-08:002021-11-17T00:00:00-08:002021-25021Noticehttps://www.govinfo.gov/content/pkg/FR-2021-11-17/pdf/2021-25021.pdfhttps://regulations.justia.com/regulations/fedreg/2021/11/17/2021-25020.htmlNotice - Self-Regulatory Organizations; MIAX PEARL, LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the MIAX Pearl Options Fee Schedule To Increase the Monthly Fees for MIAX Express Network Full Service Ports2021-11-17T00:00:00-08:002021-11-17T00:00:00-08:002021-25020Noticehttps://www.govinfo.gov/content/pkg/FR-2021-11-17/pdf/2021-25020.pdfhttps://regulations.justia.com/regulations/fedreg/2021/11/17/2021-25019.htmlNotice - Self-Regulatory Organizations; MIAX PEARL, LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the MIAX Pearl Options Fee Schedule To Remove Certain Credits and Increase Trading Permit Fees2021-11-17T00:00:00-08:002021-11-17T00:00:00-08:002021-25019Noticehttps://www.govinfo.gov/content/pkg/FR-2021-11-17/pdf/2021-25019.pdfhttps://regulations.justia.com/regulations/fedreg/2021/11/17/2021-25018.htmlNotice - Self-Regulatory Organizations; MEMX LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the Exchange's Fee Schedule2021-11-17T00:00:00-08:002021-11-17T00:00:00-08:002021-25018Noticehttps://www.govinfo.gov/content/pkg/FR-2021-11-17/pdf/2021-25018.pdfhttps://regulations.justia.com/regulations/fedreg/2021/11/17/2021-25017.htmlNotice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Designation of a Longer Period for Commission Action on a Proposed Rule Change To List and Trade Shares of the One River Carbon Neutral Bitcoin Trust Under NYSE Arca Rule 8.201-E2021-11-17T00:00:00-08:002021-11-17T00:00:00-08:002021-25017Noticehttps://www.govinfo.gov/content/pkg/FR-2021-11-17/pdf/2021-25017.pdfhttps://regulations.justia.com/regulations/fedreg/2021/11/17/2021-25016.htmlNotice - Self-Regulatory Organizations; Cboe Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Its Fees Schedule2021-11-17T00:00:00-08:002021-11-17T00:00:00-08:002021-25016Noticehttps://www.govinfo.gov/content/pkg/FR-2021-11-17/pdf/2021-25016.pdfhttps://regulations.justia.com/regulations/fedreg/2021/11/17/2021-25015.htmlNotice - Self-Regulatory Organizations; Miami International Securities Exchange, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the MIAX Options Fee Schedule2021-11-17T00:00:00-08:002021-11-17T00:00:00-08:002021-25015Noticehttps://www.govinfo.gov/content/pkg/FR-2021-11-17/pdf/2021-25015.pdfhttps://regulations.justia.com/regulations/fedreg/2021/11/17/2021-25014.htmlNotice - Self-Regulatory Organizations; MIAX Emerald, LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Section 1(a)(ii) of the Fee Schedule To Revise the Application of the Tier Calculation2021-11-17T00:00:00-08:002021-11-17T00:00:00-08:002021-25014Noticehttps://www.govinfo.gov/content/pkg/FR-2021-11-17/pdf/2021-25014.pdfhttps://regulations.justia.com/regulations/fedreg/2021/11/16/2021-25030.htmlNotice - Sunshine Act Meetings2021-11-16T00:00:00-08:002021-11-16T00:00:00-08:002021-25030Noticehttps://www.govinfo.gov/content/pkg/FR-2021-11-16/pdf/2021-25030.pdfhttps://regulations.justia.com/regulations/fedreg/2021/11/16/2021-24897.htmlNotice - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Its Price List2021-11-16T00:00:00-08:002021-11-16T00:00:00-08:002021-24897Noticehttps://www.govinfo.gov/content/pkg/FR-2021-11-16/pdf/2021-24897.pdfhttps://regulations.justia.com/regulations/fedreg/2021/11/16/2021-24896.htmlNotice - Self-Regulatory Organizations; Cboe BZX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Reflect a Modification to the Permitted Components of the Tracking Baskets of the Invesco Real Assets ESG ETF and Invesco US Large Cap Core ETF2021-11-16T00:00:00-08:002021-11-16T00:00:00-08:002021-24896Noticehttps://www.govinfo.gov/content/pkg/FR-2021-11-16/pdf/2021-24896.pdfhttps://regulations.justia.com/regulations/fedreg/2021/11/15/2021-24967.htmlNotice - Sunshine Act Meetings2021-11-15T00:00:00-08:002021-11-15T00:00:00-08:002021-24967Noticehttps://www.govinfo.gov/content/pkg/FR-2021-11-15/pdf/2021-24967.pdfhttps://regulations.justia.com/regulations/fedreg/2021/11/15/2021-24882.htmlNotice - Proposed Collection; Comment Request2021-11-15T00:00:00-08:002021-11-15T00:00:00-08:002021-24882Noticehttps://www.govinfo.gov/content/pkg/FR-2021-11-15/pdf/2021-24882.pdfhttps://regulations.justia.com/regulations/fedreg/2021/11/15/2021-24764.htmlNotice - Self-Regulatory Organizations; NYSE Arca, Inc.; Order Instituting Proceedings To Determine Whether To Approve or Disapprove a Proposed Rule Change To List and Trade Shares of the Teucrium Bitcoin Futures Fund Under NYSE Arca Rule 8.200-E, Commentary .02 (Trust Issued Receipts)2021-11-15T00:00:00-08:002021-11-15T00:00:00-08:002021-24764Noticehttps://www.govinfo.gov/content/pkg/FR-2021-11-15/pdf/2021-24764.pdfhttps://regulations.justia.com/regulations/fedreg/2021/11/12/2021-24621.htmlNotice - Self-Regulatory Organizations; The Depository Trust Company; Order Instituting Proceedings To Determine Whether To Approve or Disapprove a Proposed Rule Change To Provide Settlement Services for Transactions Entered Into Under the Proposed Securities Financing Transaction Clearing Service of the National Securities Clearing Corporation2021-11-12T00:00:00-08:002021-11-12T00:00:00-08:002021-24621Noticehttps://www.govinfo.gov/content/pkg/FR-2021-11-12/pdf/2021-24621.pdfhttps://regulations.justia.com/regulations/fedreg/2021/11/12/2021-24620.htmlNotice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Reflect a Modification to the Permitted Components of the Tracking Baskets of the Putnam Focused Large Cap Growth ETF, Putnam Focused Large Cap Value ETF, Putnam Sustainable Future ETF, and Putnam Sustainable Leaders ETF2021-11-12T00:00:00-08:002021-11-12T00:00:00-08:002021-24620Noticehttps://www.govinfo.gov/content/pkg/FR-2021-11-12/pdf/2021-24620.pdfhttps://regulations.justia.com/regulations/fedreg/2021/11/12/2021-24619.htmlNotice - Self-Regulatory Organizations; National Securities Clearing Corporation; Order Instituting Proceedings To Determine Whether To Approve or Disapprove a Proposed Rule Change To Establish the Securities Financing Transaction Clearing Service and Make Other Changes2021-11-12T00:00:00-08:002021-11-12T00:00:00-08:002021-24619Noticehttps://www.govinfo.gov/content/pkg/FR-2021-11-12/pdf/2021-24619.pdfhttps://regulations.justia.com/regulations/fedreg/2021/11/10/2021-24566.htmlNotice - Public Company Accounting Oversight Board; Order Granting Approval of Proposed Rule Governing Board Determinations Under the Holding Foreign Companies Accountable Act2021-11-10T00:00:00-08:002021-11-10T00:00:00-08:002021-24566Noticehttps://www.govinfo.gov/content/pkg/FR-2021-11-10/pdf/2021-24566.pdfhttps://regulations.justia.com/regulations/fedreg/2021/11/10/2021-24532.htmlNotice - Self-Regulatory Organizations; MIAX Emerald, LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Its Fee Schedule2021-11-10T00:00:00-08:002021-11-10T00:00:00-08:002021-24532Noticehttps://www.govinfo.gov/content/pkg/FR-2021-11-10/pdf/2021-24532.pdfhttps://regulations.justia.com/regulations/fedreg/2021/11/10/2021-24531.htmlNotice - Self-Regulatory Organizations; Cboe Exchange, Inc.; Notice of Filing of Amendment Nos. 2 and 3 and Order Granting Accelerated Approval of a Proposed Rule Change, as Modified by Amendment Nos. 1, 2, and 3, To Increase Position Limits for Options on Two Exchange-Traded Funds2021-11-10T00:00:00-08:002021-11-10T00:00:00-08:002021-24531Noticehttps://www.govinfo.gov/content/pkg/FR-2021-11-10/pdf/2021-24531.pdfhttps://regulations.justia.com/regulations/fedreg/2021/11/10/2021-24530.htmlNotice - Self-Regulatory Organizations; Miami International Securities Exchange LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Its Fee Schedule2021-11-10T00:00:00-08:002021-11-10T00:00:00-08:002021-24530Noticehttps://www.govinfo.gov/content/pkg/FR-2021-11-10/pdf/2021-24530.pdfhttps://regulations.justia.com/regulations/fedreg/2021/11/10/2021-24529.htmlNotice - Self-Regulatory Organizations; ICE Clear Europe Limited; Notice of Filing of Proposed Rule Change Relating to Amendments to the ICE Clear Europe Liquidity Management Procedures and Investment Management Procedures2021-11-10T00:00:00-08:002021-11-10T00:00:00-08:002021-24529Noticehttps://www.govinfo.gov/content/pkg/FR-2021-11-10/pdf/2021-24529.pdfhttps://regulations.justia.com/regulations/fedreg/2021/11/10/2021-24528.htmlNotice - Self-Regulatory Organizations; LCH SA; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Fees on Extension of Eligible Collateral2021-11-10T00:00:00-08:002021-11-10T00:00:00-08:002021-24528Noticehttps://www.govinfo.gov/content/pkg/FR-2021-11-10/pdf/2021-24528.pdfhttps://regulations.justia.com/regulations/fedreg/2021/11/10/2021-24527.htmlNotice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Modify the NYSE Arca Options Fee Schedule2021-11-10T00:00:00-08:002021-11-10T00:00:00-08:002021-24527Noticehttps://www.govinfo.gov/content/pkg/FR-2021-11-10/pdf/2021-24527.pdfhttps://regulations.justia.com/regulations/fedreg/2021/11/10/2021-24525.htmlRule - Performance-Based Investment Advisory Fees2021-11-10T00:00:00-08:002021-11-10T00:00:00-08:002021-24525Rulehttps://www.govinfo.gov/content/pkg/FR-2021-11-10/pdf/2021-24525.pdfhttps://regulations.justia.com/regulations/fedreg/2021/11/09/2021-24429.htmlNotice - Proposed Collection; Comment Request2021-11-09T00:00:00-08:002021-11-09T00:00:00-08:002021-24429Noticehttps://www.govinfo.gov/content/pkg/FR-2021-11-09/pdf/2021-24429.pdfhttps://regulations.justia.com/regulations/fedreg/2021/11/09/2021-24428.htmlNotice - Proposed Collection; Comment Request2021-11-09T00:00:00-08:002021-11-09T00:00:00-08:002021-24428Noticehttps://www.govinfo.gov/content/pkg/FR-2021-11-09/pdf/2021-24428.pdfhttps://regulations.justia.com/regulations/fedreg/2021/11/09/2021-24427.htmlNotice - Proposed Collection; Comment Request2021-11-09T00:00:00-08:002021-11-09T00:00:00-08:002021-24427Noticehttps://www.govinfo.gov/content/pkg/FR-2021-11-09/pdf/2021-24427.pdfhttps://regulations.justia.com/regulations/fedreg/2021/11/09/2021-24426.htmlNotice - Proposed Collection; Comment Request2021-11-09T00:00:00-08:002021-11-09T00:00:00-08:002021-24426Noticehttps://www.govinfo.gov/content/pkg/FR-2021-11-09/pdf/2021-24426.pdfhttps://regulations.justia.com/regulations/fedreg/2021/11/09/2021-24425.htmlNotice - Proposed Collection; Comment Request2021-11-09T00:00:00-08:002021-11-09T00:00:00-08:002021-24425Noticehttps://www.govinfo.gov/content/pkg/FR-2021-11-09/pdf/2021-24425.pdfhttps://regulations.justia.com/regulations/fedreg/2021/11/09/2021-24424.htmlNotice - Proposed Collection; Comment Request2021-11-09T00:00:00-08:002021-11-09T00:00:00-08:002021-24424Noticehttps://www.govinfo.gov/content/pkg/FR-2021-11-09/pdf/2021-24424.pdfhttps://regulations.justia.com/regulations/fedreg/2021/11/09/2021-24423.htmlNotice - Proposed Collection; Comment Request2021-11-09T00:00:00-08:002021-11-09T00:00:00-08:002021-24423Noticehttps://www.govinfo.gov/content/pkg/FR-2021-11-09/pdf/2021-24423.pdfhttps://regulations.justia.com/regulations/fedreg/2021/11/09/2021-24414.htmlNotice - Self-Regulatory Organizations; ICE Clear Europe Limited; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Amendments to the ICE Clear Europe Clearing Rules2021-11-09T00:00:00-08:002021-11-09T00:00:00-08:002021-24414Noticehttps://www.govinfo.gov/content/pkg/FR-2021-11-09/pdf/2021-24414.pdfhttps://regulations.justia.com/regulations/fedreg/2021/11/09/2021-24413.htmlNotice - Self-Regulatory Organizations; Nasdaq BX, Inc.; Notice of Filing of Proposed Rule Change To Amend Exchange Rules in Connection With the Proposed Merger of BX Equities LLC With and Into the Exchange2021-11-09T00:00:00-08:002021-11-09T00:00:00-08:002021-24413Noticehttps://www.govinfo.gov/content/pkg/FR-2021-11-09/pdf/2021-24413.pdfhttps://regulations.justia.com/regulations/fedreg/2021/11/09/2021-24412.htmlNotice - Self-Regulatory Organizations; Nasdaq BX, Inc.; Notice of Filing of Proposed Rule Change To Amend the BX Equities LLC Operating Agreement2021-11-09T00:00:00-08:002021-11-09T00:00:00-08:002021-24412Noticehttps://www.govinfo.gov/content/pkg/FR-2021-11-09/pdf/2021-24412.pdfhttps://regulations.justia.com/regulations/fedreg/2021/11/08/2021-24327.htmlNotice - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Declaration of Effectiveness of the Fingerprint Plan of the Financial Industry Regulatory Authority, Inc.2021-11-08T00:00:00-08:002021-11-08T00:00:00-08:002021-24327Noticehttps://www.govinfo.gov/content/pkg/FR-2021-11-08/pdf/2021-24327.pdfhttps://regulations.justia.com/regulations/fedreg/2021/11/08/2021-24326.htmlNotice - Self-Regulatory Organizations; Cboe BZX Exchange, Inc.; Order Instituting Proceedings To Determine Whether To Approve or Disapprove a Proposed Rule Change to List and Trade Shares of the ARK 21Shares Bitcoin ETF Under BZX Rule 14.11(e)(4), Commodity-Based Trust Shares2021-11-08T00:00:00-08:002021-11-08T00:00:00-08:002021-24326Noticehttps://www.govinfo.gov/content/pkg/FR-2021-11-08/pdf/2021-24326.pdfhttps://regulations.justia.com/regulations/fedreg/2021/11/08/2021-24325.htmlNotice - Self-Regulatory Organizations; MIAX PEARL, LLC; Notice of Filing of Amendment No. 1 and Order Granting Accelerated Approval of a Proposed Rule Change, as Modified by Amendment No. 1, To Amend Exchange Rule 2616, Priority of Orders2021-11-08T00:00:00-08:002021-11-08T00:00:00-08:002021-24325Noticehttps://www.govinfo.gov/content/pkg/FR-2021-11-08/pdf/2021-24325.pdfhttps://regulations.justia.com/regulations/fedreg/2021/11/08/2021-24324.htmlNotice - Self-Regulatory Organizations; Investors Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend IEX Rule 11.330 To Retire the IEX Data Platform Data Product2021-11-08T00:00:00-08:002021-11-08T00:00:00-08:002021-24324Noticehttps://www.govinfo.gov/content/pkg/FR-2021-11-08/pdf/2021-24324.pdfhttps://regulations.justia.com/regulations/fedreg/2021/11/08/2021-24323.htmlNotice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing of Proposed Rule Change To List and Trade Shares of Grayscale Bitcoin Trust (BTC) Under NYSE Arca Rule 8.201-E2021-11-08T00:00:00-08:002021-11-08T00:00:00-08:002021-24323Noticehttps://www.govinfo.gov/content/pkg/FR-2021-11-08/pdf/2021-24323.pdfhttps://regulations.justia.com/regulations/fedreg/2021/11/05/2021-24345.htmlNotice - Sunshine Act Meetings2021-11-05T00:00:00-07:002021-11-05T00:00:00-07:002021-24345Noticehttps://www.govinfo.gov/content/pkg/FR-2021-11-05/pdf/2021-24345.pdfhttps://regulations.justia.com/regulations/fedreg/2021/11/05/2021-24295.htmlNotice - AFA Multi-Manager Credit Fund and Alternative Fund Advisors, LLC2021-11-05T00:00:00-07:002021-11-05T00:00:00-07:002021-24295Noticehttps://www.govinfo.gov/content/pkg/FR-2021-11-05/pdf/2021-24295.pdfhttps://regulations.justia.com/regulations/fedreg/2021/11/05/2021-24170.htmlNotice - Order Granting Conditional Exemptions Under the Securities Exchange Act of 1934 in Connection With the Portfolio Margining of Cleared Swaps and Security-Based Swaps That Are Credit Default Swaps2021-11-05T00:00:00-07:002021-11-05T00:00:00-07:002021-24170Noticehttps://www.govinfo.gov/content/pkg/FR-2021-11-05/pdf/2021-24170.pdfhttps://regulations.justia.com/regulations/fedreg/2021/11/05/2021-24169.htmlNotice - Self-Regulatory Organizations; Cboe Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating To Extend the Operation of Its Flexible Exchange Options (“FLEX Options”) Pilot Program Regarding Permissible Exercise Settlement Values for FLEX Index Options2021-11-05T00:00:00-07:002021-11-05T00:00:00-07:002021-24169Noticehttps://www.govinfo.gov/content/pkg/FR-2021-11-05/pdf/2021-24169.pdfhttps://regulations.justia.com/regulations/fedreg/2021/11/05/2021-24168.htmlNotice - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Its Price List To Eliminate Expired and Obsolete Pillar Port Transition Fee Pricing2021-11-05T00:00:00-07:002021-11-05T00:00:00-07:002021-24168Noticehttps://www.govinfo.gov/content/pkg/FR-2021-11-05/pdf/2021-24168.pdfhttps://regulations.justia.com/regulations/fedreg/2021/11/05/2021-24167.htmlNotice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Designation of a Longer Period for Commission Action on Proceedings To Determine Whether To Approve or Disapprove a Proposed Rule Change To List and Trade Shares of the Valkyrie Bitcoin Fund Under NYSE Arca Rule 8.201-E2021-11-05T00:00:00-07:002021-11-05T00:00:00-07:002021-24167Noticehttps://www.govinfo.gov/content/pkg/FR-2021-11-05/pdf/2021-24167.pdfhttps://regulations.justia.com/regulations/fedreg/2021/11/05/2021-24166.htmlNotice - Self-Regulatory Organizations; New York Stock Exchange LLC, Notice of Designation of a Longer Period for Commission Action on a Proposed Rule Change To Amend Rules 7.31, 7.35, 7.35B, 7.35C, 98, and 104 Relating to the Closing Auction2021-11-05T00:00:00-07:002021-11-05T00:00:00-07:002021-24166Noticehttps://www.govinfo.gov/content/pkg/FR-2021-11-05/pdf/2021-24166.pdfhttps://regulations.justia.com/regulations/fedreg/2021/11/05/2021-24165.htmlNotice - Self-Regulatory Organizations; Nasdaq PHLX LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Equity 4, Rule 3301B2021-11-05T00:00:00-07:002021-11-05T00:00:00-07:002021-24165Noticehttps://www.govinfo.gov/content/pkg/FR-2021-11-05/pdf/2021-24165.pdfhttps://regulations.justia.com/regulations/fedreg/2021/11/05/2021-24148.htmlNotice - Blackstone/GSO Floating Rate Enhanced Income Fund, et al.2021-11-05T00:00:00-07:002021-11-05T00:00:00-07:002021-24148Noticehttps://www.govinfo.gov/content/pkg/FR-2021-11-05/pdf/2021-24148.pdfhttps://regulations.justia.com/regulations/fedreg/2021/11/05/2021-24147.htmlNotice - Proposed Collection; Comment Request2021-11-05T00:00:00-07:002021-11-05T00:00:00-07:002021-24147Noticehttps://www.govinfo.gov/content/pkg/FR-2021-11-05/pdf/2021-24147.pdfhttps://regulations.justia.com/regulations/fedreg/2021/11/05/2021-24146.htmlNotice - Submission for OMB Review; Comment Request2021-11-05T00:00:00-07:002021-11-05T00:00:00-07:002021-24146Noticehttps://www.govinfo.gov/content/pkg/FR-2021-11-05/pdf/2021-24146.pdfhttps://regulations.justia.com/regulations/fedreg/2021/11/05/2021-24145.htmlNotice - Submission Collection; Comment Request2021-11-05T00:00:00-07:002021-11-05T00:00:00-07:002021-24145Noticehttps://www.govinfo.gov/content/pkg/FR-2021-11-05/pdf/2021-24145.pdfhttps://regulations.justia.com/regulations/fedreg/2021/11/05/2021-24144.htmlNotice - Proposed Collection; Comment Request2021-11-05T00:00:00-07:002021-11-05T00:00:00-07:002021-24144Noticehttps://www.govinfo.gov/content/pkg/FR-2021-11-05/pdf/2021-24144.pdfhttps://regulations.justia.com/regulations/fedreg/2021/11/05/2021-24143.htmlNotice - Submission for OMB Review; Comment Request2021-11-05T00:00:00-07:002021-11-05T00:00:00-07:002021-24143Noticehttps://www.govinfo.gov/content/pkg/FR-2021-11-05/pdf/2021-24143.pdfhttps://regulations.justia.com/regulations/fedreg/2021/11/05/2021-24142.htmlNotice - Submission for OMB Review; Comment Request2021-11-05T00:00:00-07:002021-11-05T00:00:00-07:002021-24142Noticehttps://www.govinfo.gov/content/pkg/FR-2021-11-05/pdf/2021-24142.pdfhttps://regulations.justia.com/regulations/fedreg/2021/11/05/2021-24140.htmlNotice - Submission for OMB Review; Comment Request2021-11-05T00:00:00-07:002021-11-05T00:00:00-07:002021-24140Noticehttps://www.govinfo.gov/content/pkg/FR-2021-11-05/pdf/2021-24140.pdfhttps://regulations.justia.com/regulations/fedreg/2021/11/05/2021-24139.htmlNotice - Proposed Collection; Comment Request2021-11-05T00:00:00-07:002021-11-05T00:00:00-07:002021-24139Noticehttps://www.govinfo.gov/content/pkg/FR-2021-11-05/pdf/2021-24139.pdfhttps://regulations.justia.com/regulations/fedreg/2021/11/05/2021-24138.htmlNotice - Proposed Collection; Comment Request2021-11-05T00:00:00-07:002021-11-05T00:00:00-07:002021-24138Noticehttps://www.govinfo.gov/content/pkg/FR-2021-11-05/pdf/2021-24138.pdfhttps://regulations.justia.com/regulations/fedreg/2021/11/05/2021-24137.htmlNotice - Proposed Collection; Comment Request2021-11-05T00:00:00-07:002021-11-05T00:00:00-07:002021-24137Noticehttps://www.govinfo.gov/content/pkg/FR-2021-11-05/pdf/2021-24137.pdfhttps://regulations.justia.com/regulations/fedreg/2021/11/05/2021-24136.htmlNotice - Submission for OMB Review; Comment Request2021-11-05T00:00:00-07:002021-11-05T00:00:00-07:002021-24136Noticehttps://www.govinfo.gov/content/pkg/FR-2021-11-05/pdf/2021-24136.pdfhttps://regulations.justia.com/regulations/fedreg/2021/11/05/2021-24135.htmlNotice - Proposed Collection; Comment Request2021-11-05T00:00:00-07:002021-11-05T00:00:00-07:002021-24135Noticehttps://www.govinfo.gov/content/pkg/FR-2021-11-05/pdf/2021-24135.pdfhttps://regulations.justia.com/regulations/fedreg/2021/11/05/2021-24134.htmlNotice - Submission for OMB Review; Comment Request2021-11-05T00:00:00-07:002021-11-05T00:00:00-07:002021-24134Noticehttps://www.govinfo.gov/content/pkg/FR-2021-11-05/pdf/2021-24134.pdfhttps://regulations.justia.com/regulations/fedreg/2021/11/05/2021-24133.htmlNotice - Proposed Collection; Comment Request2021-11-05T00:00:00-07:002021-11-05T00:00:00-07:002021-24133Noticehttps://www.govinfo.gov/content/pkg/FR-2021-11-05/pdf/2021-24133.pdfhttps://regulations.justia.com/regulations/fedreg/2021/11/05/2021-24132.htmlNotice - Submission for OMB Review; Comment Request2021-11-05T00:00:00-07:002021-11-05T00:00:00-07:002021-24132Noticehttps://www.govinfo.gov/content/pkg/FR-2021-11-05/pdf/2021-24132.pdfhttps://regulations.justia.com/regulations/fedreg/2021/11/05/2021-24131.htmlNotice - Submission for OMB Review; Comment Request2021-11-05T00:00:00-07:002021-11-05T00:00:00-07:002021-24131Noticehttps://www.govinfo.gov/content/pkg/FR-2021-11-05/pdf/2021-24131.pdfhttps://regulations.justia.com/regulations/fedreg/2021/11/05/2021-24130.htmlNotice - Proposed Collection; Comment Request2021-11-05T00:00:00-07:002021-11-05T00:00:00-07:002021-24130Noticehttps://www.govinfo.gov/content/pkg/FR-2021-11-05/pdf/2021-24130.pdfhttps://regulations.justia.com/regulations/fedreg/2021/11/05/2021-24129.htmlNotice - Submission for OMB Review; Comment Request2021-11-05T00:00:00-07:002021-11-05T00:00:00-07:002021-24129Noticehttps://www.govinfo.gov/content/pkg/FR-2021-11-05/pdf/2021-24129.pdfhttps://regulations.justia.com/regulations/fedreg/2021/11/04/2021-24222.htmlNotice - Sunshine Act Meetings2021-11-04T00:00:00-07:002021-11-04T00:00:00-07:002021-24222Noticehttps://www.govinfo.gov/content/pkg/FR-2021-11-04/pdf/2021-24222.pdfhttps://regulations.justia.com/regulations/fedreg/2021/11/04/2021-24035.htmlNotice - Joint Industry Plan; Order Disapproving an Amendment to the National Market System Plan Governing the Consolidated Audit Trail2021-11-04T00:00:00-07:002021-11-04T00:00:00-07:002021-24035Noticehttps://www.govinfo.gov/content/pkg/FR-2021-11-04/pdf/2021-24035.pdfhttps://regulations.justia.com/regulations/fedreg/2021/11/04/2021-24018.htmlNotice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing of Proposed Rule Change to Amend Rule 6.87-O2021-11-04T00:00:00-07:002021-11-04T00:00:00-07:002021-24018Noticehttps://www.govinfo.gov/content/pkg/FR-2021-11-04/pdf/2021-24018.pdfhttps://regulations.justia.com/regulations/fedreg/2021/11/04/2021-24017.htmlNotice - Self-Regulatory Organizations; Miami International Securities Exchange, LLC and MIAX Emerald, LLC; Notice of Withdrawal of Proposed Rule Changes To Establish Fees for the Exchanges' cToM Market Data Products2021-11-04T00:00:00-07:002021-11-04T00:00:00-07:002021-24017Noticehttps://www.govinfo.gov/content/pkg/FR-2021-11-04/pdf/2021-24017.pdfhttps://regulations.justia.com/regulations/fedreg/2021/11/04/2021-24016.htmlNotice - Self-Regulatory Organizations; Nasdaq BX, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Equity 4, Rule 47032021-11-04T00:00:00-07:002021-11-04T00:00:00-07:002021-24016Noticehttps://www.govinfo.gov/content/pkg/FR-2021-11-04/pdf/2021-24016.pdfhttps://regulations.justia.com/regulations/fedreg/2021/11/04/2021-24015.htmlNotice - Self-Regulatory Organizations; The Nasdaq Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Exempt Certain Categories of Investment Companies Registered Under the Investment Company Act of 1940 From the Requirements To Obtain Shareholder Approval Prior to the Issuance of Securities in Connection With Acquisitions of the Stock or Assets of an Affiliated Registered Investment Company Under Certain Conditions2021-11-04T00:00:00-07:002021-11-04T00:00:00-07:002021-24015Noticehttps://www.govinfo.gov/content/pkg/FR-2021-11-04/pdf/2021-24015.pdfhttps://regulations.justia.com/regulations/fedreg/2021/11/04/2021-24014.htmlNotice - Self-Regulatory Organizations; NYSE Arca, Inc.; Order Instituting Proceedings to Determine Whether to Approve or Disapprove a Proposed Rule Change to Adopt New Exchange Rule 6.91P-O2021-11-04T00:00:00-07:002021-11-04T00:00:00-07:002021-24014Noticehttps://www.govinfo.gov/content/pkg/FR-2021-11-04/pdf/2021-24014.pdfhttps://regulations.justia.com/regulations/fedreg/2021/11/04/2021-24013.htmlNotice - Self-Regulatory Organizations; Nasdaq PHLX LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Extend the Exchange's Nonstandard Expirations Pilot Program2021-11-04T00:00:00-07:002021-11-04T00:00:00-07:002021-24013Noticehttps://www.govinfo.gov/content/pkg/FR-2021-11-04/pdf/2021-24013.pdfhttps://regulations.justia.com/regulations/fedreg/2021/11/04/2021-24012.htmlNotice - Self-Regulatory Organizations; Miami International Securities Exchange, LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Make a Minor Adjustment to the Calculation Methodology for the BRIXXTM2021-11-04T00:00:00-07:002021-11-04T00:00:00-07:002021-24012Noticehttps://www.govinfo.gov/content/pkg/FR-2021-11-04/pdf/2021-24012.pdfhttps://regulations.justia.com/regulations/fedreg/2021/11/04/2021-24000.htmlNotice - Notice of Applications for Deregistration Under Section 8(f) of the Investment Company Act of 19402021-11-04T00:00:00-07:002021-11-04T00:00:00-07:002021-24000Noticehttps://www.govinfo.gov/content/pkg/FR-2021-11-04/pdf/2021-24000.pdfhttps://regulations.justia.com/regulations/fedreg/2021/11/03/2021-23934.htmlNotice - Self-Regulatory Organizations; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change by MIAX Emerald, LLC To Amend Exchange Rule 501, Days and Hours of Business, To Make Juneteenth National Independence Day a Holiday of the Exchange2021-11-03T00:00:00-07:002021-11-03T00:00:00-07:002021-23934Noticehttps://www.govinfo.gov/content/pkg/FR-2021-11-03/pdf/2021-23934.pdfhttps://regulations.justia.com/regulations/fedreg/2021/11/03/2021-23933.htmlNotice - Self-Regulatory Organizations; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change by Miami International Securities Exchange, LLC To Amend Exchange Rule 501, Days and Hours of Business To Make Juneteenth National Independence Day a Holiday of the Exchange2021-11-03T00:00:00-07:002021-11-03T00:00:00-07:002021-23933Noticehttps://www.govinfo.gov/content/pkg/FR-2021-11-03/pdf/2021-23933.pdfhttps://regulations.justia.com/regulations/fedreg/2021/11/03/2021-23932.htmlNotice - Self-Regulatory Organizations; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change by MIAX PEARL, LLC To Amend Exchange Rule 501, Days and Hours of Business, To Make Juneteenth National Independence Day a Holiday of the Exchange2021-11-03T00:00:00-07:002021-11-03T00:00:00-07:002021-23932Noticehttps://www.govinfo.gov/content/pkg/FR-2021-11-03/pdf/2021-23932.pdfhttps://regulations.justia.com/regulations/fedreg/2021/11/03/2021-23931.htmlNotice - Self-Regulatory Organizations; Cboe Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Renew Its Nonstandard Expirations Pilot Program Until May 2, 20222021-11-03T00:00:00-07:002021-11-03T00:00:00-07:002021-23931Noticehttps://www.govinfo.gov/content/pkg/FR-2021-11-03/pdf/2021-23931.pdfhttps://regulations.justia.com/regulations/fedreg/2021/11/03/2021-23930.htmlNotice - Self-Regulatory Organizations; Cboe Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Extend the Operation of Its SPXPM Pilot Program2021-11-03T00:00:00-07:002021-11-03T00:00:00-07:002021-23930Noticehttps://www.govinfo.gov/content/pkg/FR-2021-11-03/pdf/2021-23930.pdfhttps://regulations.justia.com/regulations/fedreg/2021/11/03/2021-23929.htmlNotice - Self-Regulatory Organizations; Cboe BZX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Extend the Pilot Programs in Connection With the Listing and Trading of P.M.-Settled Series on Certain Broad-Based Index Options2021-11-03T00:00:00-07:002021-11-03T00:00:00-07:002021-23929Noticehttps://www.govinfo.gov/content/pkg/FR-2021-11-03/pdf/2021-23929.pdfhttps://regulations.justia.com/regulations/fedreg/2021/11/03/2021-23928.htmlNotice - Self-Regulatory Organizations; Cboe EDGX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Extend the Pilot Programs in Connection With the Listing and Trading of P.M.-Settled Series on Certain Broad-Based Index Options2021-11-03T00:00:00-07:002021-11-03T00:00:00-07:002021-23928Noticehttps://www.govinfo.gov/content/pkg/FR-2021-11-03/pdf/2021-23928.pdfhttps://regulations.justia.com/regulations/fedreg/2021/11/03/2021-23927.htmlNotice - Self-Regulatory Organizations; MEMX LLC; Notice of Filing of a Proposed Rule Change To Amend the Corporate Documents of the Exchange's Parent Company2021-11-03T00:00:00-07:002021-11-03T00:00:00-07:002021-23927Noticehttps://www.govinfo.gov/content/pkg/FR-2021-11-03/pdf/2021-23927.pdfhttps://regulations.justia.com/regulations/fedreg/2021/11/03/2021-23926.htmlNotice - Self-Regulatory Organizations; Nasdaq BX, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Delay the Implementation of Request for PRISM2021-11-03T00:00:00-07:002021-11-03T00:00:00-07:002021-23926Noticehttps://www.govinfo.gov/content/pkg/FR-2021-11-03/pdf/2021-23926.pdfhttps://regulations.justia.com/regulations/fedreg/2021/11/03/2021-23925.htmlNotice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Reformat the Tier Rates Section of the NYSE Arca Equities Fees and Charges2021-11-03T00:00:00-07:002021-11-03T00:00:00-07:002021-23925Noticehttps://www.govinfo.gov/content/pkg/FR-2021-11-03/pdf/2021-23925.pdfhttps://regulations.justia.com/regulations/fedreg/2021/11/03/2021-23924.htmlNotice - Self-Regulatory Organizations; Nasdaq ISE, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Extend the Exchange's Nonstandard Expirations Pilot Program2021-11-03T00:00:00-07:002021-11-03T00:00:00-07:002021-23924Noticehttps://www.govinfo.gov/content/pkg/FR-2021-11-03/pdf/2021-23924.pdfhttps://regulations.justia.com/regulations/fedreg/2021/11/03/2021-23923.htmlNotice - Self-Regulatory Organizations; Nasdaq ISE, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Extend the Pilot To Permit the Listing and Trading of Options on the Nasdaq 100 Reduced Value Index2021-11-03T00:00:00-07:002021-11-03T00:00:00-07:002021-23923Noticehttps://www.govinfo.gov/content/pkg/FR-2021-11-03/pdf/2021-23923.pdfhttps://regulations.justia.com/regulations/fedreg/2021/11/03/2021-23922.htmlNotice - Self-Regulatory Organizations; Nasdaq PHLX LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Extend the Pilot To Permit the Listing and Trading of Options on the Nasdaq 100 Micro Index2021-11-03T00:00:00-07:002021-11-03T00:00:00-07:002021-23922Noticehttps://www.govinfo.gov/content/pkg/FR-2021-11-03/pdf/2021-23922.pdfhttps://regulations.justia.com/regulations/fedreg/2021/11/03/2021-23921.htmlNotice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing of Proposed Rule Change To List and Trade Shares of the Bitwise Bitcoin ETP Trust Under NYSE Arca Rule 8.201-E2021-11-03T00:00:00-07:002021-11-03T00:00:00-07:002021-23921Noticehttps://www.govinfo.gov/content/pkg/FR-2021-11-03/pdf/2021-23921.pdfhttps://regulations.justia.com/regulations/fedreg/2021/11/03/2021-23920.htmlNotice - Self-Regulatory Organizations; BOX Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Make Juneteenth National Independence Day a Holiday of the Exchange2021-11-03T00:00:00-07:002021-11-03T00:00:00-07:002021-23920Noticehttps://www.govinfo.gov/content/pkg/FR-2021-11-03/pdf/2021-23920.pdfhttps://regulations.justia.com/regulations/fedreg/2021/11/03/2021-23919.htmlNotice - Self-Regulatory Organizations; ICE Clear Europe Limited; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Amendments to the ICE Clear Europe Delivery Procedures2021-11-03T00:00:00-07:002021-11-03T00:00:00-07:002021-23919Noticehttps://www.govinfo.gov/content/pkg/FR-2021-11-03/pdf/2021-23919.pdfhttps://regulations.justia.com/regulations/fedreg/2021/11/03/2021-23918.htmlNotice - Self-Regulatory Organizations; The Depository Trust Company; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend DTC's Procedures and Make Clarifying Changes to the DTC Rules2021-11-03T00:00:00-07:002021-11-03T00:00:00-07:002021-23918Noticehttps://www.govinfo.gov/content/pkg/FR-2021-11-03/pdf/2021-23918.pdfhttps://regulations.justia.com/regulations/fedreg/2021/11/02/2021-23821.htmlNotice - Privacy Act of 1974; System of Records2021-11-02T00:00:00-07:002021-11-02T00:00:00-07:002021-23821Noticehttps://www.govinfo.gov/content/pkg/FR-2021-11-02/pdf/2021-23821.pdfhttps://regulations.justia.com/regulations/fedreg/2021/11/02/2021-23817.htmlNotice - Self-Regulatory Organizations; Cboe BYX Exchange, Inc.; Cboe BZX Exchange, Inc.; Cboe C2 Exchange, Inc.; Cboe EDGA Exchange, Inc.; Cboe EDGX Exchange, Inc., Cboe Exchange, Inc.; NASDAQ BX, Inc.; Nasdaq GEMX, LLC; Nasdaq ISE, LLC; Nasdaq MRX, LLC; NASDAQ PHLX LLC and The NASDAQ Stock Market LLC; Notice of Designation of Longer Period for Commission Action on Proceedings To Determine Whether To Approve or Disapprove Proposed Rule Changes To Adopt a Fee Schedule To Establish Fees for Industry Members Related to the National Market System Plan Governing the Consolidated Audit Trail2021-11-02T00:00:00-07:002021-11-02T00:00:00-07:002021-23817Noticehttps://www.govinfo.gov/content/pkg/FR-2021-11-02/pdf/2021-23817.pdfhttps://regulations.justia.com/regulations/fedreg/2021/11/02/2021-23816.htmlNotice - Self-Regulatory Organizations; The Options Clearing Corporation; Notice of Filing and Extension of Review Period of Advance Notice Relating to OCC's Adoption of Cloud Infrastructure for New Clearing, Risk Management, and Data Management Applications2021-11-02T00:00:00-07:002021-11-02T00:00:00-07:002021-23816Noticehttps://www.govinfo.gov/content/pkg/FR-2021-11-02/pdf/2021-23816.pdfhttps://regulations.justia.com/regulations/fedreg/2021/11/02/2021-23815.htmlNotice - Self-Regulatory Organizations; The Options Clearing Corporation; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Concerning Revisions to the Titles of Certain Options Clearing Corporation Personnel2021-11-02T00:00:00-07:002021-11-02T00:00:00-07:002021-23815Noticehttps://www.govinfo.gov/content/pkg/FR-2021-11-02/pdf/2021-23815.pdfhttps://regulations.justia.com/regulations/fedreg/2021/11/02/2021-23813.htmlNotice - Self-Regulatory Organizations; ICE Clear Credit LLC; Notice of Filing of Proposed Rule Change Relating to the ICC End-of-Day Price Discovery Policies and Procedures2021-11-02T00:00:00-07:002021-11-02T00:00:00-07:002021-23813Noticehttps://www.govinfo.gov/content/pkg/FR-2021-11-02/pdf/2021-23813.pdfhttps://regulations.justia.com/regulations/fedreg/2021/11/02/2021-23810.htmlNotice - Self-Regulatory Organizations; NYSE Arca, Inc.; Order Instituting Proceedings To Determine Whether To Approve or Disapprove a Proposed Rule Change To List and Trade Shares of the Sprott ESG Gold ETF Under NYSE Arca Rule 8.201-E (Commodity-Based Trust Shares)2021-11-02T00:00:00-07:002021-11-02T00:00:00-07:002021-23810Noticehttps://www.govinfo.gov/content/pkg/FR-2021-11-02/pdf/2021-23810.pdfhttps://regulations.justia.com/regulations/fedreg/2021/11/02/2021-23809.htmlNotice - Self-Regulatory Organizations; Municipal Securities Rulemaking Board; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Further Extend the Regulatory Relief and Permit Dealers To Conduct Office Inspections Remotely Until June 30, 2022, Pursuant to MSRB Rule G-27, on Supervision2021-11-02T00:00:00-07:002021-11-02T00:00:00-07:002021-23809Noticehttps://www.govinfo.gov/content/pkg/FR-2021-11-02/pdf/2021-23809.pdfhttps://regulations.justia.com/regulations/fedreg/2021/11/01/2021-23857.htmlNotice - Sunshine Act Meetings2021-11-01T00:00:00-07:002021-11-01T00:00:00-07:002021-23857Noticehttps://www.govinfo.gov/content/pkg/FR-2021-11-01/pdf/2021-23857.pdfhttps://regulations.justia.com/regulations/fedreg/2021/11/01/2021-23676.htmlNotice - Self-Regulatory Organizations; ICE Clear Credit LLC; Notice of Filing of Proposed Rule Change Relating to the Counterparty Monitoring Procedures and the Credit Rating System Model Description and Parameterization2021-11-01T00:00:00-07:002021-11-01T00:00:00-07:002021-23676Noticehttps://www.govinfo.gov/content/pkg/FR-2021-11-01/pdf/2021-23676.pdfhttps://regulations.justia.com/regulations/fedreg/2021/11/01/2021-23673.htmlNotice - Self-Regulatory Organizations; Miami International Securities Exchange LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Its Fee Schedule To Adopt an Incentive Program for Market Makers in SPIKES® Options2021-11-01T00:00:00-07:002021-11-01T00:00:00-07:002021-23673Noticehttps://www.govinfo.gov/content/pkg/FR-2021-11-01/pdf/2021-23673.pdfhttps://regulations.justia.com/regulations/fedreg/2021/11/01/2021-23672.htmlNotice - Self-Regulatory Organizations; MIAX Emerald, LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Establish Fees for the cToM Market Data Product2021-11-01T00:00:00-07:002021-11-01T00:00:00-07:002021-23672Noticehttps://www.govinfo.gov/content/pkg/FR-2021-11-01/pdf/2021-23672.pdfhttps://regulations.justia.com/regulations/fedreg/2021/11/01/2021-23671.htmlNotice - Self-Regulatory Organizations; Miami International Securities Exchange, LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Establish Fees for the cToM Market Data Product2021-11-01T00:00:00-07:002021-11-01T00:00:00-07:002021-23671Noticehttps://www.govinfo.gov/content/pkg/FR-2021-11-01/pdf/2021-23671.pdfhttps://regulations.justia.com/regulations/fedreg/2021/11/01/2021-23670.htmlNotice - Self-Regulatory Organizations; The Nasdaq Stock Market LLC; Notice of Filing of Amendment No. 1 and Order Instituting Proceedings To Determine Whether To Approve or Disapprove a Proposed Rule Change, as Modified by Amendment No. 1, To Establish the “Extended Trading Close” and a New “Extended Trading Close” Order Type2021-11-01T00:00:00-07:002021-11-01T00:00:00-07:002021-23670Noticehttps://www.govinfo.gov/content/pkg/FR-2021-11-01/pdf/2021-23670.pdf