<![CDATA[Federal Register Recent Federal Regulation Documents - Justia Regulation Tracker

<![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?registers=between&min-day=1&min-month=1&max-day=31&max-month=12 Tue, 30 Apr 2024 11:10:45 -0700 Tue, 30 Apr 2024 11:10:45 -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?registers=between&min-day=1&min-month=1&max-day=31&max-month=12 Notice - Self-Regulatory Organizations; ICE Clear Europe Limited; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Amendments to the ICE Clear Europe Delivery Procedures https://regulations.justia.com/regulations/fedreg/2021/12/29/2021-28328.html https://regulations.justia.com/regulations/fedreg/2021/12/29/2021-28328.html Wed, 29 Dec 2021 00:00:00 -0800 2021-28328 Notice https://www.govinfo.gov/content/pkg/FR-2021-12-29/pdf/2021-28328.pdf Notice - Self-Regulatory Organizations; The Options Clearing Corporation; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Update The Options Clearing Corporation's Operational Loss Fee Pursuant to Its Capital Management Policy https://regulations.justia.com/regulations/fedreg/2021/12/29/2021-28327.html https://regulations.justia.com/regulations/fedreg/2021/12/29/2021-28327.html Wed, 29 Dec 2021 00:00:00 -0800 2021-28327 Notice https://www.govinfo.gov/content/pkg/FR-2021-12-29/pdf/2021-28327.pdf Notice - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing of Proposed Rule Change To Revise the Suite of Complimentary Products and Services Offered to Listed Companies https://regulations.justia.com/regulations/fedreg/2021/12/29/2021-28326.html https://regulations.justia.com/regulations/fedreg/2021/12/29/2021-28326.html Wed, 29 Dec 2021 00:00:00 -0800 2021-28326 Notice https://www.govinfo.gov/content/pkg/FR-2021-12-29/pdf/2021-28326.pdf Notice - Variant Alternative Income Fund, et al. https://regulations.justia.com/regulations/fedreg/2021/12/29/2021-28324.html https://regulations.justia.com/regulations/fedreg/2021/12/29/2021-28324.html Wed, 29 Dec 2021 00:00:00 -0800 2021-28324 Notice https://www.govinfo.gov/content/pkg/FR-2021-12-29/pdf/2021-28324.pdf Notice - Self-Regulatory Organizations; National Securities Clearing Corporation; Notice of Filing of Proposed Rule Change To Enhance Capital Requirements and Make Other Changes https://regulations.justia.com/regulations/fedreg/2021/12/29/2021-28250.html https://regulations.justia.com/regulations/fedreg/2021/12/29/2021-28250.html Wed, 29 Dec 2021 00:00:00 -0800 2021-28250 Notice https://www.govinfo.gov/content/pkg/FR-2021-12-29/pdf/2021-28250.pdf Notice - Self-Regulatory Organizations; The Depository Trust Company; Notice of Filing of Proposed Rule Change To Enhance Capital Requirements and Make Other Changes https://regulations.justia.com/regulations/fedreg/2021/12/29/2021-28249.html https://regulations.justia.com/regulations/fedreg/2021/12/29/2021-28249.html Wed, 29 Dec 2021 00:00:00 -0800 2021-28249 Notice https://www.govinfo.gov/content/pkg/FR-2021-12-29/pdf/2021-28249.pdf Notice - Self-Regulatory Organizations; Nasdaq PHLX LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Extend the Expiration Date of the Temporary Amendments Concerning Video Conference Hearings https://regulations.justia.com/regulations/fedreg/2021/12/29/2021-28248.html https://regulations.justia.com/regulations/fedreg/2021/12/29/2021-28248.html Wed, 29 Dec 2021 00:00:00 -0800 2021-28248 Notice https://www.govinfo.gov/content/pkg/FR-2021-12-29/pdf/2021-28248.pdf Notice - Self-Regulatory Organizations; The Nasdaq Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Extend the Expiration Date of the Temporary Amendments Concerning Video Conference Hearings https://regulations.justia.com/regulations/fedreg/2021/12/29/2021-28247.html https://regulations.justia.com/regulations/fedreg/2021/12/29/2021-28247.html Wed, 29 Dec 2021 00:00:00 -0800 2021-28247 Notice https://www.govinfo.gov/content/pkg/FR-2021-12-29/pdf/2021-28247.pdf Notice - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing of Proposed Rule Change To Amend Rule 37 To Incorporate Standards of Conduct for the Exchange's Trading Floor https://regulations.justia.com/regulations/fedreg/2021/12/29/2021-28246.html https://regulations.justia.com/regulations/fedreg/2021/12/29/2021-28246.html Wed, 29 Dec 2021 00:00:00 -0800 2021-28246 Notice https://www.govinfo.gov/content/pkg/FR-2021-12-29/pdf/2021-28246.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 Subparagraph (i)(6) to Rule 7.31 https://regulations.justia.com/regulations/fedreg/2021/12/29/2021-28245.html https://regulations.justia.com/regulations/fedreg/2021/12/29/2021-28245.html Wed, 29 Dec 2021 00:00:00 -0800 2021-28245 Notice https://www.govinfo.gov/content/pkg/FR-2021-12-29/pdf/2021-28245.pdf Notice - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing of Proposed Rule Change Proposes To Amend the Provisions of Rule 7.35B https://regulations.justia.com/regulations/fedreg/2021/12/29/2021-28244.html https://regulations.justia.com/regulations/fedreg/2021/12/29/2021-28244.html Wed, 29 Dec 2021 00:00:00 -0800 2021-28244 Notice https://www.govinfo.gov/content/pkg/FR-2021-12-29/pdf/2021-28244.pdf Notice - Self-Regulatory Organizations; Cboe BZX Exchange, Inc.; Order Disapproving 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/2021/12/29/2021-28255.html https://regulations.justia.com/regulations/fedreg/2021/12/29/2021-28255.html Wed, 29 Dec 2021 00:00:00 -0800 2021-28255 Notice https://www.govinfo.gov/content/pkg/FR-2021-12-29/pdf/2021-28255.pdf Notice - Self-Regulatory Organizations; NYSE Arca, Inc.; Order Disapproving a Proposed Rule Change To List and Trade Shares of the Valkyrie Bitcoin Fund Under NYSE Arca Rule 8.201-E (Commodity-Based Trust Shares) https://regulations.justia.com/regulations/fedreg/2021/12/29/2021-28254.html https://regulations.justia.com/regulations/fedreg/2021/12/29/2021-28254.html Wed, 29 Dec 2021 00:00:00 -0800 2021-28254 Notice https://www.govinfo.gov/content/pkg/FR-2021-12-29/pdf/2021-28254.pdf Notice - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing of Proposed Rule Change To Amend the NYSE Listed Company Manual To Amend Certain of Its Listing and Annual Fees https://regulations.justia.com/regulations/fedreg/2021/12/29/2021-28252.html https://regulations.justia.com/regulations/fedreg/2021/12/29/2021-28252.html Wed, 29 Dec 2021 00:00:00 -0800 2021-28252 Notice https://www.govinfo.gov/content/pkg/FR-2021-12-29/pdf/2021-28252.pdf Notice - Self-Regulatory Organizations; Fixed Income Clearing Corporation; Notice of Filing of Proposed Rule Change To Enhance Capital Requirements and Make Other Changes https://regulations.justia.com/regulations/fedreg/2021/12/29/2021-28251.html https://regulations.justia.com/regulations/fedreg/2021/12/29/2021-28251.html Wed, 29 Dec 2021 00:00:00 -0800 2021-28251 Notice https://www.govinfo.gov/content/pkg/FR-2021-12-29/pdf/2021-28251.pdf Notice - FMI Funds, Inc., et al. https://regulations.justia.com/regulations/fedreg/2021/12/29/2021-28235.html https://regulations.justia.com/regulations/fedreg/2021/12/29/2021-28235.html Wed, 29 Dec 2021 00:00:00 -0800 2021-28235 Notice https://www.govinfo.gov/content/pkg/FR-2021-12-29/pdf/2021-28235.pdf Notice - Capital Group ETF Trust, et al. https://regulations.justia.com/regulations/fedreg/2021/12/29/2021-28234.html https://regulations.justia.com/regulations/fedreg/2021/12/29/2021-28234.html Wed, 29 Dec 2021 00:00:00 -0800 2021-28234 Notice https://www.govinfo.gov/content/pkg/FR-2021-12-29/pdf/2021-28234.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 One River Carbon Neutral Bitcoin Trust Under NYSE Arca Rule 8.201-E https://regulations.justia.com/regulations/fedreg/2021/12/28/2021-28112.html https://regulations.justia.com/regulations/fedreg/2021/12/28/2021-28112.html Tue, 28 Dec 2021 00:00:00 -0800 2021-28112 Notice https://www.govinfo.gov/content/pkg/FR-2021-12-28/pdf/2021-28112.pdf Notice - Self-Regulatory Organizations; ICE Clear Europe Limited; Order Approving Proposed Rule Change Relating to Amendments to the ICE Clear Europe Liquidity Management Procedures and Investment Management Procedures https://regulations.justia.com/regulations/fedreg/2021/12/28/2021-28111.html https://regulations.justia.com/regulations/fedreg/2021/12/28/2021-28111.html Tue, 28 Dec 2021 00:00:00 -0800 2021-28111 Notice https://www.govinfo.gov/content/pkg/FR-2021-12-28/pdf/2021-28111.pdf Notice - Self-Regulatory Organizations; ICE Clear Europe Limited; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Amendments to the ICE Clear Europe Delivery Procedures https://regulations.justia.com/regulations/fedreg/2021/12/28/2021-28110.html https://regulations.justia.com/regulations/fedreg/2021/12/28/2021-28110.html Tue, 28 Dec 2021 00:00:00 -0800 2021-28110 Notice https://www.govinfo.gov/content/pkg/FR-2021-12-28/pdf/2021-28110.pdf Notice - Self-Regulatory Organizations; Investors Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the FINRA Registration Fees on the Fee Schedule https://regulations.justia.com/regulations/fedreg/2021/12/28/2021-28109.html https://regulations.justia.com/regulations/fedreg/2021/12/28/2021-28109.html Tue, 28 Dec 2021 00:00:00 -0800 2021-28109 Notice https://www.govinfo.gov/content/pkg/FR-2021-12-28/pdf/2021-28109.pdf Notice - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Section 902.03 of the NYSE Listed Company Manual To Modify Listing and Annual Fees Applicable to Certain Warrants Listed by Foreign Companies; Correction https://regulations.justia.com/regulations/fedreg/2021/12/28/2021-28127.html https://regulations.justia.com/regulations/fedreg/2021/12/28/2021-28127.html Tue, 28 Dec 2021 00:00:00 -0800 2021-28127 Notice https://www.govinfo.gov/content/pkg/FR-2021-12-28/pdf/2021-28127.pdf Notice - Self-Regulatory Organizations; Nasdaq BX, Inc.; Order Approving Proposed Rule Changes Regarding the Transfer of Ownership of Nasdaq BX Equities LLC and the Merger of Nasdaq BX Equities LLC With and Into the Exchange https://regulations.justia.com/regulations/fedreg/2021/12/28/2021-28108.html https://regulations.justia.com/regulations/fedreg/2021/12/28/2021-28108.html Tue, 28 Dec 2021 00:00:00 -0800 2021-28108 Notice https://www.govinfo.gov/content/pkg/FR-2021-12-28/pdf/2021-28108.pdf Notice - Self-Regulatory Organizations; Cboe BZX Exchange, Inc.; Notice of Filing of Amendment No. 1 to a Proposed Rule Change To List and Trade Shares of the ARK 21Shares Bitcoin ETF Under BZX Rule 14.11(e)(4), Commodity-Based Trust Shares https://regulations.justia.com/regulations/fedreg/2021/12/27/2021-27824.html https://regulations.justia.com/regulations/fedreg/2021/12/27/2021-27824.html Mon, 27 Dec 2021 00:00:00 -0800 2021-27824 Notice https://www.govinfo.gov/content/pkg/FR-2021-12-27/pdf/2021-27824.pdf Notice - Self-Regulatory Organizations; NYSE American LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Rule 904 (Position Limits) https://regulations.justia.com/regulations/fedreg/2021/12/27/2021-27927.html https://regulations.justia.com/regulations/fedreg/2021/12/27/2021-27927.html Mon, 27 Dec 2021 00:00:00 -0800 2021-27927 Notice https://www.govinfo.gov/content/pkg/FR-2021-12-27/pdf/2021-27927.pdf Notice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Rule 6.8-O (Position Limits) https://regulations.justia.com/regulations/fedreg/2021/12/27/2021-27925.html https://regulations.justia.com/regulations/fedreg/2021/12/27/2021-27925.html Mon, 27 Dec 2021 00:00:00 -0800 2021-27925 Notice https://www.govinfo.gov/content/pkg/FR-2021-12-27/pdf/2021-27925.pdf Notice - Self-Regulatory Organizations; Cboe Exchange, Inc.; Notice of Filing of a Proposed Rule Change To Increase Position Limits for Options on the SPDR Gold Trust and iShares Silver Trust https://regulations.justia.com/regulations/fedreg/2021/12/27/2021-27924.html https://regulations.justia.com/regulations/fedreg/2021/12/27/2021-27924.html Mon, 27 Dec 2021 00:00:00 -0800 2021-27924 Notice https://www.govinfo.gov/content/pkg/FR-2021-12-27/pdf/2021-27924.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/2021/12/27/2021-27922.html https://regulations.justia.com/regulations/fedreg/2021/12/27/2021-27922.html Mon, 27 Dec 2021 00:00:00 -0800 2021-27922 Notice https://www.govinfo.gov/content/pkg/FR-2021-12-27/pdf/2021-27922.pdf Notice - Self-Regulatory Organizations; Cboe EDGX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Make Juneteenth National Independence Day a Holiday of the Exchange https://regulations.justia.com/regulations/fedreg/2021/12/23/2021-27817.html https://regulations.justia.com/regulations/fedreg/2021/12/23/2021-27817.html Thu, 23 Dec 2021 00:00:00 -0800 2021-27817 Notice https://www.govinfo.gov/content/pkg/FR-2021-12-23/pdf/2021-27817.pdf Notice - 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 Product https://regulations.justia.com/regulations/fedreg/2021/12/23/2021-27816.html https://regulations.justia.com/regulations/fedreg/2021/12/23/2021-27816.html Thu, 23 Dec 2021 00:00:00 -0800 2021-27816 Notice https://www.govinfo.gov/content/pkg/FR-2021-12-23/pdf/2021-27816.pdf Notice - Self-Regulatory Organizations; New York Stock Exchange LLC, NYSE American LLC, NYSE Arca, Inc., NYSE Chicago, Inc., and NYSE National, Inc.; Suspension of and Order Instituting Proceedings To Determine Whether To Approve or Disapprove Proposed Rule Changes To Offer Wireless Connectivity to CME Group Data and Establish Associated Fees https://regulations.justia.com/regulations/fedreg/2021/12/23/2021-27815.html https://regulations.justia.com/regulations/fedreg/2021/12/23/2021-27815.html Thu, 23 Dec 2021 00:00:00 -0800 2021-27815 Notice https://www.govinfo.gov/content/pkg/FR-2021-12-23/pdf/2021-27815.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 Amend NYSE Rules 7.31, 7.35, 7.35B, 7.35C, 98, and 104 Relating to the Closing Auction https://regulations.justia.com/regulations/fedreg/2021/12/23/2021-27814.html https://regulations.justia.com/regulations/fedreg/2021/12/23/2021-27814.html Thu, 23 Dec 2021 00:00:00 -0800 2021-27814 Notice https://www.govinfo.gov/content/pkg/FR-2021-12-23/pdf/2021-27814.pdf Notice - 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 Product https://regulations.justia.com/regulations/fedreg/2021/12/23/2021-27813.html https://regulations.justia.com/regulations/fedreg/2021/12/23/2021-27813.html Thu, 23 Dec 2021 00:00:00 -0800 2021-27813 Notice https://www.govinfo.gov/content/pkg/FR-2021-12-23/pdf/2021-27813.pdf Notice - Self-Regulatory Organizations; The Nasdaq Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Equity 7, Section 118 of the Fee Schedule https://regulations.justia.com/regulations/fedreg/2021/12/23/2021-27810.html https://regulations.justia.com/regulations/fedreg/2021/12/23/2021-27810.html Thu, 23 Dec 2021 00:00:00 -0800 2021-27810 Notice https://www.govinfo.gov/content/pkg/FR-2021-12-23/pdf/2021-27810.pdf Notice - Self-Regulatory Organizations; Cboe BZX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Make Juneteenth National Independence Day a Holiday of the Exchange https://regulations.justia.com/regulations/fedreg/2021/12/23/2021-27809.html https://regulations.justia.com/regulations/fedreg/2021/12/23/2021-27809.html Thu, 23 Dec 2021 00:00:00 -0800 2021-27809 Notice https://www.govinfo.gov/content/pkg/FR-2021-12-23/pdf/2021-27809.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 https://regulations.justia.com/regulations/fedreg/2021/12/23/2021-27808.html https://regulations.justia.com/regulations/fedreg/2021/12/23/2021-27808.html Thu, 23 Dec 2021 00:00:00 -0800 2021-27808 Notice https://www.govinfo.gov/content/pkg/FR-2021-12-23/pdf/2021-27808.pdf Notice - Self-Regulatory Organizations; Cboe Exchange, Inc.; Notice of Filing of a Proposed Rule Change To Adopt a New Trading Session That Will Operate After the Close of the Regular Trading Hours Session https://regulations.justia.com/regulations/fedreg/2021/12/23/2021-27822.html https://regulations.justia.com/regulations/fedreg/2021/12/23/2021-27822.html Thu, 23 Dec 2021 00:00:00 -0800 2021-27822 Notice https://www.govinfo.gov/content/pkg/FR-2021-12-23/pdf/2021-27822.pdf Notice - Self-Regulatory Organizations; NYSE Arca, Inc.; Order Approving a Proposed Rule Change To Amend Rule 6.87-O https://regulations.justia.com/regulations/fedreg/2021/12/23/2021-27821.html https://regulations.justia.com/regulations/fedreg/2021/12/23/2021-27821.html Thu, 23 Dec 2021 00:00:00 -0800 2021-27821 Notice https://www.govinfo.gov/content/pkg/FR-2021-12-23/pdf/2021-27821.pdf Notice - Self-Regulatory Organizations; Cboe EDGA Exchange, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Make Juneteenth National Independence Day a Holiday of the Exchange https://regulations.justia.com/regulations/fedreg/2021/12/23/2021-27820.html https://regulations.justia.com/regulations/fedreg/2021/12/23/2021-27820.html Thu, 23 Dec 2021 00:00:00 -0800 2021-27820 Notice https://www.govinfo.gov/content/pkg/FR-2021-12-23/pdf/2021-27820.pdf Notice - Self-Regulatory Organizations; Cboe EDGX Exchange, Inc.; Notice of Filing of a Proposed Rule Change To Amend Rule 25.3, Which Governs the Exchange's Minor Rule Violation Plan, in Connection With Certain Minor Rule Violations and Applicable Fines https://regulations.justia.com/regulations/fedreg/2021/12/23/2021-27819.html https://regulations.justia.com/regulations/fedreg/2021/12/23/2021-27819.html Thu, 23 Dec 2021 00:00:00 -0800 2021-27819 Notice https://www.govinfo.gov/content/pkg/FR-2021-12-23/pdf/2021-27819.pdf Notice - 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 Withdrawal of 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 Trail https://regulations.justia.com/regulations/fedreg/2021/12/23/2021-27818.html https://regulations.justia.com/regulations/fedreg/2021/12/23/2021-27818.html Thu, 23 Dec 2021 00:00:00 -0800 2021-27818 Notice https://www.govinfo.gov/content/pkg/FR-2021-12-23/pdf/2021-27818.pdf Notice - Self-Regulatory Organizations; Cboe BZX Exchange, Inc.; Notice of Filing of a Proposed Rule Change To Amend Rule 25.3, Which Governs the Exchange's Minor Rule Violation Plan, in Connection With Certain Minor Rule Violations and Applicable Fines https://regulations.justia.com/regulations/fedreg/2021/12/23/2021-27926.html https://regulations.justia.com/regulations/fedreg/2021/12/23/2021-27926.html Thu, 23 Dec 2021 00:00:00 -0800 2021-27926 Notice https://www.govinfo.gov/content/pkg/FR-2021-12-23/pdf/2021-27926.pdf Notice - Self-Regulatory Organizations; The Nasdaq Stock Market LLC; Notice of Designation of a Longer Period for Commission Action on Proceedings To Determine Whether To Approve or Disapprove a Proposed Rule Change To Modify Certain Pricing Limitations for Companies Listing in Connection With a Direct Listing Primary Offering https://regulations.justia.com/regulations/fedreg/2021/12/23/2021-27923.html https://regulations.justia.com/regulations/fedreg/2021/12/23/2021-27923.html Thu, 23 Dec 2021 00:00:00 -0800 2021-27923 Notice https://www.govinfo.gov/content/pkg/FR-2021-12-23/pdf/2021-27923.pdf Notice - Self-Regulatory Organizations; Cboe BYX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Make Juneteenth National Independence Day a Holiday of the Exchange https://regulations.justia.com/regulations/fedreg/2021/12/23/2021-27921.html https://regulations.justia.com/regulations/fedreg/2021/12/23/2021-27921.html Thu, 23 Dec 2021 00:00:00 -0800 2021-27921 Notice https://www.govinfo.gov/content/pkg/FR-2021-12-23/pdf/2021-27921.pdf Notice - Neuberger Berman BDC LLC, et al. https://regulations.justia.com/regulations/fedreg/2021/12/22/2021-27697.html https://regulations.justia.com/regulations/fedreg/2021/12/22/2021-27697.html Wed, 22 Dec 2021 00:00:00 -0800 2021-27697 Notice https://www.govinfo.gov/content/pkg/FR-2021-12-22/pdf/2021-27697.pdf Notice - Order Granting Applications by Nasdaq BX, Inc., The Nasdaq Stock Market LLC, and Nasdaq PHLX LLC for Exemption Pursuant to Section 36(a) of the Exchange Act From the Rule Filing Requirements of Section 19(b) of the Exchange Act With Respect to the Nasdaq ISE, LLC Options 4 Options Listing Rules Incorporated by Reference https://regulations.justia.com/regulations/fedreg/2021/12/22/2021-27664.html https://regulations.justia.com/regulations/fedreg/2021/12/22/2021-27664.html Wed, 22 Dec 2021 00:00:00 -0800 2021-27664 Notice https://www.govinfo.gov/content/pkg/FR-2021-12-22/pdf/2021-27664.pdf Notice - Self-Regulatory Organizations; NYSE American LLC; 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/2021/12/22/2021-27663.html https://regulations.justia.com/regulations/fedreg/2021/12/22/2021-27663.html Wed, 22 Dec 2021 00:00:00 -0800 2021-27663 Notice https://www.govinfo.gov/content/pkg/FR-2021-12-22/pdf/2021-27663.pdf Notice - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change for Non-Substantive Conforming Changes to Rule 18 https://regulations.justia.com/regulations/fedreg/2021/12/22/2021-27662.html https://regulations.justia.com/regulations/fedreg/2021/12/22/2021-27662.html Wed, 22 Dec 2021 00:00:00 -0800 2021-27662 Notice https://www.govinfo.gov/content/pkg/FR-2021-12-22/pdf/2021-27662.pdf Notice - Self-Regulatory Organizations; Miami International Securities Exchange, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Increase Position Limits for Options on Two Exchange-Traded Funds https://regulations.justia.com/regulations/fedreg/2021/12/22/2021-27661.html https://regulations.justia.com/regulations/fedreg/2021/12/22/2021-27661.html Wed, 22 Dec 2021 00:00:00 -0800 2021-27661 Notice https://www.govinfo.gov/content/pkg/FR-2021-12-22/pdf/2021-27661.pdf Notice - Self-Regulatory Organizations; Investors Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Reintroduce a Market Maker Peg Order Type https://regulations.justia.com/regulations/fedreg/2021/12/22/2021-27660.html https://regulations.justia.com/regulations/fedreg/2021/12/22/2021-27660.html Wed, 22 Dec 2021 00:00:00 -0800 2021-27660 Notice https://www.govinfo.gov/content/pkg/FR-2021-12-22/pdf/2021-27660.pdf Notice - Self-Regulatory Organizations; Cboe Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Make Juneteenth National Independence Day a Holiday of the Exchange https://regulations.justia.com/regulations/fedreg/2021/12/22/2021-27658.html https://regulations.justia.com/regulations/fedreg/2021/12/22/2021-27658.html Wed, 22 Dec 2021 00:00:00 -0800 2021-27658 Notice https://www.govinfo.gov/content/pkg/FR-2021-12-22/pdf/2021-27658.pdf Notice - Self-Regulatory Organizations; Cboe C2 Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Its Rules To Make Juneteenth National Independence Day a Holiday of the Exchange https://regulations.justia.com/regulations/fedreg/2021/12/22/2021-27657.html https://regulations.justia.com/regulations/fedreg/2021/12/22/2021-27657.html Wed, 22 Dec 2021 00:00:00 -0800 2021-27657 Notice https://www.govinfo.gov/content/pkg/FR-2021-12-22/pdf/2021-27657.pdf Notice - Self-Regulatory Organizations; NYSE Arca, Inc.; 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 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/2021/12/22/2021-27656.html https://regulations.justia.com/regulations/fedreg/2021/12/22/2021-27656.html Wed, 22 Dec 2021 00:00:00 -0800 2021-27656 Notice https://www.govinfo.gov/content/pkg/FR-2021-12-22/pdf/2021-27656.pdf Notice - Joint Industry Plan; Notice of Withdrawal of Amendment to the National Market System Plan Governing the Consolidated Audit Trail https://regulations.justia.com/regulations/fedreg/2021/12/22/2021-27749.html https://regulations.justia.com/regulations/fedreg/2021/12/22/2021-27749.html Wed, 22 Dec 2021 00:00:00 -0800 2021-27749 Notice https://www.govinfo.gov/content/pkg/FR-2021-12-22/pdf/2021-27749.pdf Notice - Self-Regulatory Organizations; ICE Clear Credit LLC; Order Approving Proposed Rule Change Relating to the ICC End-of-Day Price Discovery Policies and Procedures https://regulations.justia.com/regulations/fedreg/2021/12/21/2021-27546.html https://regulations.justia.com/regulations/fedreg/2021/12/21/2021-27546.html Tue, 21 Dec 2021 00:00:00 -0800 2021-27546 Notice https://www.govinfo.gov/content/pkg/FR-2021-12-21/pdf/2021-27546.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 Bitwise Bitcoin ETP Trust Under NYSE Arca Rule 8.201-E https://regulations.justia.com/regulations/fedreg/2021/12/21/2021-27545.html https://regulations.justia.com/regulations/fedreg/2021/12/21/2021-27545.html Tue, 21 Dec 2021 00:00:00 -0800 2021-27545 Notice https://www.govinfo.gov/content/pkg/FR-2021-12-21/pdf/2021-27545.pdf Notice - Self-Regulatory Organizations; The Nasdaq Stock Market LLC; Notice of Filing of Proposed Rule Change To Amend Nasdaq Rule 5815 Regarding the Use of a Panel Monitor Following a Compliance Determination by a Nasdaq Listings Qualification Hearings Panel https://regulations.justia.com/regulations/fedreg/2021/12/21/2021-27544.html https://regulations.justia.com/regulations/fedreg/2021/12/21/2021-27544.html Tue, 21 Dec 2021 00:00:00 -0800 2021-27544 Notice https://www.govinfo.gov/content/pkg/FR-2021-12-21/pdf/2021-27544.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 Grayscale Bitcoin Trust (BTC) Under NYSE Arca Rule 8.201-E https://regulations.justia.com/regulations/fedreg/2021/12/21/2021-27543.html https://regulations.justia.com/regulations/fedreg/2021/12/21/2021-27543.html Tue, 21 Dec 2021 00:00:00 -0800 2021-27543 Notice https://www.govinfo.gov/content/pkg/FR-2021-12-21/pdf/2021-27543.pdf Notice - Self-Regulatory Organizations; Long-Term Stock Exchange, Inc.; Notice of Filing of a Proposed Rule Change To Modify and Expand the Package of Products and Services Provided to Companies and Clarify Existing Practice Under Rule 14.602 https://regulations.justia.com/regulations/fedreg/2021/12/21/2021-27542.html https://regulations.justia.com/regulations/fedreg/2021/12/21/2021-27542.html Tue, 21 Dec 2021 00:00:00 -0800 2021-27542 Notice https://www.govinfo.gov/content/pkg/FR-2021-12-21/pdf/2021-27542.pdf Notice - 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, in Connection With the Proposed Establishment of BSTX as a Facility of the Exchange https://regulations.justia.com/regulations/fedreg/2021/12/21/2021-27541.html https://regulations.justia.com/regulations/fedreg/2021/12/21/2021-27541.html Tue, 21 Dec 2021 00:00:00 -0800 2021-27541 Notice https://www.govinfo.gov/content/pkg/FR-2021-12-21/pdf/2021-27541.pdf Notice - Order Approving Public Company Accounting Oversight Board Budget and Annual Accounting Support Fee for Calendar Year 2022 https://regulations.justia.com/regulations/fedreg/2021/12/21/2021-27529.html https://regulations.justia.com/regulations/fedreg/2021/12/21/2021-27529.html Tue, 21 Dec 2021 00:00:00 -0800 2021-27529 Notice https://www.govinfo.gov/content/pkg/FR-2021-12-21/pdf/2021-27529.pdf Notice - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Extend the Temporary Period for Specified Commentaries to Rules 7.35A and 7.35C and Temporary Rule Relief in Rule 36.30 https://regulations.justia.com/regulations/fedreg/2021/12/20/2021-27429.html https://regulations.justia.com/regulations/fedreg/2021/12/20/2021-27429.html Mon, 20 Dec 2021 00:00:00 -0800 2021-27429 Notice https://www.govinfo.gov/content/pkg/FR-2021-12-20/pdf/2021-27429.pdf Notice - Self-Regulatory Organizations; Nasdaq MRX, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend MRX's Pricing Schedule at Options 7, Section 1, General Provisions https://regulations.justia.com/regulations/fedreg/2021/12/20/2021-27428.html https://regulations.justia.com/regulations/fedreg/2021/12/20/2021-27428.html Mon, 20 Dec 2021 00:00:00 -0800 2021-27428 Notice https://www.govinfo.gov/content/pkg/FR-2021-12-20/pdf/2021-27428.pdf Notice - Self-Regulatory Organizations; BOX Exchange LLC; Order Approving a Proposed Rule Change, as Modified by Amendment No. 1, Related to BOX Exchange LLC and BOX Holdings Group LLC Ownership Transfer Transactions https://regulations.justia.com/regulations/fedreg/2021/12/20/2021-27427.html https://regulations.justia.com/regulations/fedreg/2021/12/20/2021-27427.html Mon, 20 Dec 2021 00:00:00 -0800 2021-27427 Notice https://www.govinfo.gov/content/pkg/FR-2021-12-20/pdf/2021-27427.pdf Notice - Self-Regulatory Organizations; Nasdaq ISE, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend ISE's Pricing Schedule at Options 7, Section 1, General Provisions https://regulations.justia.com/regulations/fedreg/2021/12/20/2021-27426.html https://regulations.justia.com/regulations/fedreg/2021/12/20/2021-27426.html Mon, 20 Dec 2021 00:00:00 -0800 2021-27426 Notice https://www.govinfo.gov/content/pkg/FR-2021-12-20/pdf/2021-27426.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/2021/12/20/2021-27425.html https://regulations.justia.com/regulations/fedreg/2021/12/20/2021-27425.html Mon, 20 Dec 2021 00:00:00 -0800 2021-27425 Notice https://www.govinfo.gov/content/pkg/FR-2021-12-20/pdf/2021-27425.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/2021/12/20/2021-27424.html https://regulations.justia.com/regulations/fedreg/2021/12/20/2021-27424.html Mon, 20 Dec 2021 00:00:00 -0800 2021-27424 Notice https://www.govinfo.gov/content/pkg/FR-2021-12-20/pdf/2021-27424.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/2021/12/20/2021-27423.html https://regulations.justia.com/regulations/fedreg/2021/12/20/2021-27423.html Mon, 20 Dec 2021 00:00:00 -0800 2021-27423 Notice https://www.govinfo.gov/content/pkg/FR-2021-12-20/pdf/2021-27423.pdf Notice - Self-Regulatory Organizations; MEMX LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the Exchange's Fee Schedule https://regulations.justia.com/regulations/fedreg/2021/12/20/2021-27422.html https://regulations.justia.com/regulations/fedreg/2021/12/20/2021-27422.html Mon, 20 Dec 2021 00:00:00 -0800 2021-27422 Notice https://www.govinfo.gov/content/pkg/FR-2021-12-20/pdf/2021-27422.pdf Notice - Proposed Collection; Comment Request https://regulations.justia.com/regulations/fedreg/2021/12/20/2021-27497.html https://regulations.justia.com/regulations/fedreg/2021/12/20/2021-27497.html Mon, 20 Dec 2021 00:00:00 -0800 2021-27497 Notice https://www.govinfo.gov/content/pkg/FR-2021-12-20/pdf/2021-27497.pdf Rule - Credit Risk Retention-Notification of Determination of Review https://regulations.justia.com/regulations/fedreg/2021/12/20/2021-27561.html https://regulations.justia.com/regulations/fedreg/2021/12/20/2021-27561.html Mon, 20 Dec 2021 00:00:00 -0800 2021-27561 Rule https://www.govinfo.gov/content/pkg/FR-2021-12-20/pdf/2021-27561.pdf Notice - Proposed Collection; Comment Request https://regulations.justia.com/regulations/fedreg/2021/12/20/2021-27500.html https://regulations.justia.com/regulations/fedreg/2021/12/20/2021-27500.html Mon, 20 Dec 2021 00:00:00 -0800 2021-27500 Notice https://www.govinfo.gov/content/pkg/FR-2021-12-20/pdf/2021-27500.pdf Notice - Proposed Collection; Comment Request https://regulations.justia.com/regulations/fedreg/2021/12/20/2021-27499.html https://regulations.justia.com/regulations/fedreg/2021/12/20/2021-27499.html Mon, 20 Dec 2021 00:00:00 -0800 2021-27499 Notice https://www.govinfo.gov/content/pkg/FR-2021-12-20/pdf/2021-27499.pdf Notice - Proposed Collection; Comment Request https://regulations.justia.com/regulations/fedreg/2021/12/20/2021-27498.html https://regulations.justia.com/regulations/fedreg/2021/12/20/2021-27498.html Mon, 20 Dec 2021 00:00:00 -0800 2021-27498 Notice https://www.govinfo.gov/content/pkg/FR-2021-12-20/pdf/2021-27498.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/2021/12/20/2021-27421.html https://regulations.justia.com/regulations/fedreg/2021/12/20/2021-27421.html Mon, 20 Dec 2021 00:00:00 -0800 2021-27421 Notice https://www.govinfo.gov/content/pkg/FR-2021-12-20/pdf/2021-27421.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/2021/12/20/2021-27420.html https://regulations.justia.com/regulations/fedreg/2021/12/20/2021-27420.html Mon, 20 Dec 2021 00:00:00 -0800 2021-27420 Notice https://www.govinfo.gov/content/pkg/FR-2021-12-20/pdf/2021-27420.pdf Notice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the NYSE Arca Equities Fees and Charges https://regulations.justia.com/regulations/fedreg/2021/12/20/2021-27419.html https://regulations.justia.com/regulations/fedreg/2021/12/20/2021-27419.html Mon, 20 Dec 2021 00:00:00 -0800 2021-27419 Notice https://www.govinfo.gov/content/pkg/FR-2021-12-20/pdf/2021-27419.pdf Notice - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend FINRA Rule 2251 (Processing and Forwarding of Proxy and Other Issuer-Related Materials) https://regulations.justia.com/regulations/fedreg/2021/12/20/2021-27418.html https://regulations.justia.com/regulations/fedreg/2021/12/20/2021-27418.html Mon, 20 Dec 2021 00:00:00 -0800 2021-27418 Notice https://www.govinfo.gov/content/pkg/FR-2021-12-20/pdf/2021-27418.pdf Notice - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Section 902.03 of the NYSE Listed Company Manual To Modify Listing and Annual Fees Applicable to Certain Warrants Listed by Foreign Companies https://regulations.justia.com/regulations/fedreg/2021/12/20/2021-27417.html https://regulations.justia.com/regulations/fedreg/2021/12/20/2021-27417.html Mon, 20 Dec 2021 00:00:00 -0800 2021-27417 Notice https://www.govinfo.gov/content/pkg/FR-2021-12-20/pdf/2021-27417.pdf Notice - Fairway Private Equity & Venture Capital Opportunities Fund, et al. https://regulations.justia.com/regulations/fedreg/2021/12/17/2021-27313.html https://regulations.justia.com/regulations/fedreg/2021/12/17/2021-27313.html Fri, 17 Dec 2021 00:00:00 -0800 2021-27313 Notice https://www.govinfo.gov/content/pkg/FR-2021-12-17/pdf/2021-27313.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 by Modifying Certain Auction Fee Codes https://regulations.justia.com/regulations/fedreg/2021/12/17/2021-27310.html https://regulations.justia.com/regulations/fedreg/2021/12/17/2021-27310.html Fri, 17 Dec 2021 00:00:00 -0800 2021-27310 Notice https://www.govinfo.gov/content/pkg/FR-2021-12-17/pdf/2021-27310.pdf Notice - Self-Regulatory Organizations; ICE Clear Europe Limited; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Amendments to the ICE Clear Europe Delivery Procedures https://regulations.justia.com/regulations/fedreg/2021/12/17/2021-27309.html https://regulations.justia.com/regulations/fedreg/2021/12/17/2021-27309.html Fri, 17 Dec 2021 00:00:00 -0800 2021-27309 Notice https://www.govinfo.gov/content/pkg/FR-2021-12-17/pdf/2021-27309.pdf Notice - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Extend the Expiration Date of Temporary Amendments Set Forth in SR-FINRA-2020-015 and SR-FINRA-2020-027 https://regulations.justia.com/regulations/fedreg/2021/12/17/2021-27308.html https://regulations.justia.com/regulations/fedreg/2021/12/17/2021-27308.html Fri, 17 Dec 2021 00:00:00 -0800 2021-27308 Notice https://www.govinfo.gov/content/pkg/FR-2021-12-17/pdf/2021-27308.pdf Notice - Submission for OMB Review; Comment Request https://regulations.justia.com/regulations/fedreg/2021/12/17/2021-27291.html https://regulations.justia.com/regulations/fedreg/2021/12/17/2021-27291.html Fri, 17 Dec 2021 00:00:00 -0800 2021-27291 Notice https://www.govinfo.gov/content/pkg/FR-2021-12-17/pdf/2021-27291.pdf Notice - Proposed Collection; Comment Request https://regulations.justia.com/regulations/fedreg/2021/12/17/2021-27290.html https://regulations.justia.com/regulations/fedreg/2021/12/17/2021-27290.html Fri, 17 Dec 2021 00:00:00 -0800 2021-27290 Notice https://www.govinfo.gov/content/pkg/FR-2021-12-17/pdf/2021-27290.pdf Notice - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Its Price List To Eliminate the Underutilized Supplemental Liquidity Provider National Best Bid and Offer Setter Tier Credits https://regulations.justia.com/regulations/fedreg/2021/12/16/2021-27180.html https://regulations.justia.com/regulations/fedreg/2021/12/16/2021-27180.html Thu, 16 Dec 2021 00:00:00 -0800 2021-27180 Notice https://www.govinfo.gov/content/pkg/FR-2021-12-16/pdf/2021-27180.pdf Notice - Self-Regulatory Organizations; Cboe BYX Exchange, Inc.; Notice of Designation of a Longer Period for Commission Action on a Proposed Rule Change To Make Certain Clarifying Changes Related to Periodic Auctions https://regulations.justia.com/regulations/fedreg/2021/12/15/2021-27075.html https://regulations.justia.com/regulations/fedreg/2021/12/15/2021-27075.html Wed, 15 Dec 2021 00:00:00 -0800 2021-27075 Notice https://www.govinfo.gov/content/pkg/FR-2021-12-15/pdf/2021-27075.pdf Notice - Self-Regulatory Organizations; Cboe Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Its Fees Schedule https://regulations.justia.com/regulations/fedreg/2021/12/15/2021-27073.html https://regulations.justia.com/regulations/fedreg/2021/12/15/2021-27073.html Wed, 15 Dec 2021 00:00:00 -0800 2021-27073 Notice https://www.govinfo.gov/content/pkg/FR-2021-12-15/pdf/2021-27073.pdf Notice - Self-Regulatory Organizations; Cboe Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Its Fees Schedule https://regulations.justia.com/regulations/fedreg/2021/12/15/2021-27072.html https://regulations.justia.com/regulations/fedreg/2021/12/15/2021-27072.html Wed, 15 Dec 2021 00:00:00 -0800 2021-27072 Notice https://www.govinfo.gov/content/pkg/FR-2021-12-15/pdf/2021-27072.pdf Notice - Oaktree Fund Advisors, LLC and Oaktree Diversified Income Fund Inc. https://regulations.justia.com/regulations/fedreg/2021/12/15/2021-27158.html https://regulations.justia.com/regulations/fedreg/2021/12/15/2021-27158.html Wed, 15 Dec 2021 00:00:00 -0800 2021-27158 Notice https://www.govinfo.gov/content/pkg/FR-2021-12-15/pdf/2021-27158.pdf Notice - Self-Regulatory Organizations; Miami International Securities Exchange LLC, MIAX PEARL, LLC; Notice of Withdrawal of Proposed Rule Changes to Amend the Fee Schedules To Adopt a Tiered-Pricing Structure for Certain Connectivity Fees https://regulations.justia.com/regulations/fedreg/2021/12/14/2021-26861.html https://regulations.justia.com/regulations/fedreg/2021/12/14/2021-26861.html Tue, 14 Dec 2021 00:00:00 -0800 2021-26861 Notice https://www.govinfo.gov/content/pkg/FR-2021-12-14/pdf/2021-26861.pdf Notice - Submission for OMB Review; Comment Request https://regulations.justia.com/regulations/fedreg/2021/12/14/2021-26854.html https://regulations.justia.com/regulations/fedreg/2021/12/14/2021-26854.html Tue, 14 Dec 2021 00:00:00 -0800 2021-26854 Notice https://www.govinfo.gov/content/pkg/FR-2021-12-14/pdf/2021-26854.pdf Notice - Privacy Act of 1974; System of Records; Correction https://regulations.justia.com/regulations/fedreg/2021/12/14/2021-26991.html https://regulations.justia.com/regulations/fedreg/2021/12/14/2021-26991.html Tue, 14 Dec 2021 00:00:00 -0800 2021-26991 Notice https://www.govinfo.gov/content/pkg/FR-2021-12-14/pdf/2021-26991.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 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/2021/12/14/2021-26970.html https://regulations.justia.com/regulations/fedreg/2021/12/14/2021-26970.html Tue, 14 Dec 2021 00:00:00 -0800 2021-26970 Notice https://www.govinfo.gov/content/pkg/FR-2021-12-14/pdf/2021-26970.pdf Notice - Self-Regulatory Organizations; Nasdaq BX, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend BX's Pricing Schedule at Options 7, Section 1, General Provisions https://regulations.justia.com/regulations/fedreg/2021/12/14/2021-26969.html https://regulations.justia.com/regulations/fedreg/2021/12/14/2021-26969.html Tue, 14 Dec 2021 00:00:00 -0800 2021-26969 Notice https://www.govinfo.gov/content/pkg/FR-2021-12-14/pdf/2021-26969.pdf Notice - MassMutual Access Pine Point Fund, et al. https://regulations.justia.com/regulations/fedreg/2021/12/14/2021-26968.html https://regulations.justia.com/regulations/fedreg/2021/12/14/2021-26968.html Tue, 14 Dec 2021 00:00:00 -0800 2021-26968 Notice https://www.govinfo.gov/content/pkg/FR-2021-12-14/pdf/2021-26968.pdf Notice - Submission for OMB Review; Comment Request, Extension: Form 13F https://regulations.justia.com/regulations/fedreg/2021/12/14/2021-26967.html https://regulations.justia.com/regulations/fedreg/2021/12/14/2021-26967.html Tue, 14 Dec 2021 00:00:00 -0800 2021-26967 Notice https://www.govinfo.gov/content/pkg/FR-2021-12-14/pdf/2021-26967.pdf Notice - Self-Regulatory Organizations; Miami International Securities Exchange LLC, MIAX Emerald, LLC; Notice of Withdrawal of Proposed Rule Changes To Amend the Fee Schedules To Adopt a Tiered-Pricing Structure for Additional Limited Service MIAX and MIAX Emerald Express Interface Ports https://regulations.justia.com/regulations/fedreg/2021/12/13/2021-26863.html https://regulations.justia.com/regulations/fedreg/2021/12/13/2021-26863.html Mon, 13 Dec 2021 00:00:00 -0800 2021-26863 Notice https://www.govinfo.gov/content/pkg/FR-2021-12-13/pdf/2021-26863.pdf Notice - Self-Regulatory Organizations; MIAX Emerald, LLC; Notice of Withdrawal of Proposed Rule Change To Amend the Exchange's Fee Schedule To Adopt a Tiered-Pricing Structure for Certain Connectivity Fees https://regulations.justia.com/regulations/fedreg/2021/12/13/2021-26862.html https://regulations.justia.com/regulations/fedreg/2021/12/13/2021-26862.html Mon, 13 Dec 2021 00:00:00 -0800 2021-26862 Notice https://www.govinfo.gov/content/pkg/FR-2021-12-13/pdf/2021-26862.pdf Notice - Self-Regulatory Organizations; The Nasdaq Stock Market LLC; Order Instituting Proceedings To Determine Whether To Approve or Disapprove 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/2021/12/13/2021-26860.html https://regulations.justia.com/regulations/fedreg/2021/12/13/2021-26860.html Mon, 13 Dec 2021 00:00:00 -0800 2021-26860 Notice https://www.govinfo.gov/content/pkg/FR-2021-12-13/pdf/2021-26860.pdf Notice - Self-Regulatory Organizations; Nasdaq PHLX LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the Exchange's Affiliated Entity Program and Relocate Certain Rules https://regulations.justia.com/regulations/fedreg/2021/12/13/2021-26859.html https://regulations.justia.com/regulations/fedreg/2021/12/13/2021-26859.html Mon, 13 Dec 2021 00:00:00 -0800 2021-26859 Notice https://www.govinfo.gov/content/pkg/FR-2021-12-13/pdf/2021-26859.pdf Notice - Self-Regulatory Organizations; The Nasdaq Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the Pricing Schedule at Options 7, Section 1, General Provisions https://regulations.justia.com/regulations/fedreg/2021/12/13/2021-26858.html https://regulations.justia.com/regulations/fedreg/2021/12/13/2021-26858.html Mon, 13 Dec 2021 00:00:00 -0800 2021-26858 Notice https://www.govinfo.gov/content/pkg/FR-2021-12-13/pdf/2021-26858.pdf Notice - Self-Regulatory Organizations; MEMX LLC; Order Instituting Proceedings To Determine Whether To Approve or Disapprove a Proposed Rule Change To Establish a Retail Midpoint Liquidity Program https://regulations.justia.com/regulations/fedreg/2021/12/13/2021-26857.html https://regulations.justia.com/regulations/fedreg/2021/12/13/2021-26857.html Mon, 13 Dec 2021 00:00:00 -0800 2021-26857 Notice https://www.govinfo.gov/content/pkg/FR-2021-12-13/pdf/2021-26857.pdf Notice - Submission for OMB Review; Comment Request https://regulations.justia.com/regulations/fedreg/2021/12/13/2021-26855.html https://regulations.justia.com/regulations/fedreg/2021/12/13/2021-26855.html Mon, 13 Dec 2021 00:00:00 -0800 2021-26855 Notice https://www.govinfo.gov/content/pkg/FR-2021-12-13/pdf/2021-26855.pdf Notice - Sunshine Act Meetings https://regulations.justia.com/regulations/fedreg/2021/12/13/2021-26999.html https://regulations.justia.com/regulations/fedreg/2021/12/13/2021-26999.html Mon, 13 Dec 2021 00:00:00 -0800 2021-26999 Notice https://www.govinfo.gov/content/pkg/FR-2021-12-13/pdf/2021-26999.pdf Notice - Self-Regulatory Organizations; National Securities Clearing Corporation; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Remove Mutual Fund Deposit Requirements and Remove Certain Other Provisions Relating to Clearing Fund Requirements for Limited Members From the NSCC Rules https://regulations.justia.com/regulations/fedreg/2021/12/10/2021-26714.html https://regulations.justia.com/regulations/fedreg/2021/12/10/2021-26714.html Fri, 10 Dec 2021 00:00:00 -0800 2021-26714 Notice https://www.govinfo.gov/content/pkg/FR-2021-12-10/pdf/2021-26714.pdf Notice - Self-Regulatory Organizations; Cboe Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Extend the Temporary Remote Inspection Relief for Trading Permit Holder's Office Inspections for Calendar Years 2020 and 2021 To Include Calendar Year 2022 Through June 30, 2022 https://regulations.justia.com/regulations/fedreg/2021/12/10/2021-26713.html https://regulations.justia.com/regulations/fedreg/2021/12/10/2021-26713.html Fri, 10 Dec 2021 00:00:00 -0800 2021-26713 Notice https://www.govinfo.gov/content/pkg/FR-2021-12-10/pdf/2021-26713.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 Franklin Responsibly Sourced Gold ETF Under NYSE Arca Rule 8.201-E (Commodity-Based Trust Shares) https://regulations.justia.com/regulations/fedreg/2021/12/10/2021-26712.html https://regulations.justia.com/regulations/fedreg/2021/12/10/2021-26712.html Fri, 10 Dec 2021 00:00:00 -0800 2021-26712 Notice https://www.govinfo.gov/content/pkg/FR-2021-12-10/pdf/2021-26712.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/2021/12/10/2021-26711.html https://regulations.justia.com/regulations/fedreg/2021/12/10/2021-26711.html Fri, 10 Dec 2021 00:00:00 -0800 2021-26711 Notice https://www.govinfo.gov/content/pkg/FR-2021-12-10/pdf/2021-26711.pdf Notice - Sunshine Act Meeting https://regulations.justia.com/regulations/fedreg/2021/12/10/2021-26945.html https://regulations.justia.com/regulations/fedreg/2021/12/10/2021-26945.html Fri, 10 Dec 2021 00:00:00 -0800 2021-26945 Notice https://www.govinfo.gov/content/pkg/FR-2021-12-10/pdf/2021-26945.pdf Notice - Proposed Collection; Comment Request https://regulations.justia.com/regulations/fedreg/2021/12/09/2021-26675.html https://regulations.justia.com/regulations/fedreg/2021/12/09/2021-26675.html Thu, 09 Dec 2021 00:00:00 -0800 2021-26675 Notice https://www.govinfo.gov/content/pkg/FR-2021-12-09/pdf/2021-26675.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 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/2021/12/09/2021-26625.html https://regulations.justia.com/regulations/fedreg/2021/12/09/2021-26625.html Thu, 09 Dec 2021 00:00:00 -0800 2021-26625 Notice https://www.govinfo.gov/content/pkg/FR-2021-12-09/pdf/2021-26625.pdf Notice - Self-Regulatory Organizations; The Nasdaq Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Modify Certain Annual Listing Fees To Be Implemented on January 1, 2022 https://regulations.justia.com/regulations/fedreg/2021/12/09/2021-26624.html https://regulations.justia.com/regulations/fedreg/2021/12/09/2021-26624.html Thu, 09 Dec 2021 00:00:00 -0800 2021-26624 Notice https://www.govinfo.gov/content/pkg/FR-2021-12-09/pdf/2021-26624.pdf Notice - Bridge Builder Trust, et al. https://regulations.justia.com/regulations/fedreg/2021/12/09/2021-26622.html https://regulations.justia.com/regulations/fedreg/2021/12/09/2021-26622.html Thu, 09 Dec 2021 00:00:00 -0800 2021-26622 Notice https://www.govinfo.gov/content/pkg/FR-2021-12-09/pdf/2021-26622.pdf Notice - PGIM Private Real Estate Fund, Inc., et al. https://regulations.justia.com/regulations/fedreg/2021/12/09/2021-26621.html https://regulations.justia.com/regulations/fedreg/2021/12/09/2021-26621.html Thu, 09 Dec 2021 00:00:00 -0800 2021-26621 Notice https://www.govinfo.gov/content/pkg/FR-2021-12-09/pdf/2021-26621.pdf Rule - Holding Foreign Companies Accountable Act Disclosure https://regulations.justia.com/regulations/fedreg/2021/12/09/2021-26528.html https://regulations.justia.com/regulations/fedreg/2021/12/09/2021-26528.html Thu, 09 Dec 2021 00:00:00 -0800 2021-26528 Rule https://www.govinfo.gov/content/pkg/FR-2021-12-09/pdf/2021-26528.pdf Rule - Filing Fee Disclosure and Payment Methods Modernization https://regulations.justia.com/regulations/fedreg/2021/12/09/2021-22756.html https://regulations.justia.com/regulations/fedreg/2021/12/09/2021-22756.html Thu, 09 Dec 2021 00:00:00 -0800 2021-22756 Rule https://www.govinfo.gov/content/pkg/FR-2021-12-09/pdf/2021-22756.pdf Notice - Apollo Investment Corporation, et al. https://regulations.justia.com/regulations/fedreg/2021/12/08/2021-26597.html https://regulations.justia.com/regulations/fedreg/2021/12/08/2021-26597.html Wed, 08 Dec 2021 00:00:00 -0800 2021-26597 Notice https://www.govinfo.gov/content/pkg/FR-2021-12-08/pdf/2021-26597.pdf Notice - Submission for OMB Review; Comment Request https://regulations.justia.com/regulations/fedreg/2021/12/08/2021-26596.html https://regulations.justia.com/regulations/fedreg/2021/12/08/2021-26596.html Wed, 08 Dec 2021 00:00:00 -0800 2021-26596 Notice https://www.govinfo.gov/content/pkg/FR-2021-12-08/pdf/2021-26596.pdf Notice - Proposed Collection; Comment Request https://regulations.justia.com/regulations/fedreg/2021/12/08/2021-26595.html https://regulations.justia.com/regulations/fedreg/2021/12/08/2021-26595.html Wed, 08 Dec 2021 00:00:00 -0800 2021-26595 Notice https://www.govinfo.gov/content/pkg/FR-2021-12-08/pdf/2021-26595.pdf Notice - Self-Regulatory Organizations; National Securities Clearing Corporation; Notice of Filing of Proposed Rule Change To Provide for a Passive Acknowledgment Process, Codify Certain Settlement Processes and Make Technical, Clarifying and Conforming Changes to the NSCC Rules & Procedures https://regulations.justia.com/regulations/fedreg/2021/12/08/2021-26531.html https://regulations.justia.com/regulations/fedreg/2021/12/08/2021-26531.html Wed, 08 Dec 2021 00:00:00 -0800 2021-26531 Notice https://www.govinfo.gov/content/pkg/FR-2021-12-08/pdf/2021-26531.pdf Notice - Self-Regulatory Organizations; ICE Clear Credit LLC; Order Approving Proposed Rule Change Relating to the Counterparty Monitoring Procedures and the Credit Rating System Model Description and Parameterization https://regulations.justia.com/regulations/fedreg/2021/12/08/2021-26530.html https://regulations.justia.com/regulations/fedreg/2021/12/08/2021-26530.html Wed, 08 Dec 2021 00:00:00 -0800 2021-26530 Notice https://www.govinfo.gov/content/pkg/FR-2021-12-08/pdf/2021-26530.pdf Notice - Self-Regulatory Organizations; MEMX LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Make Juneteenth National Independence Day a Holiday of the Exchange https://regulations.justia.com/regulations/fedreg/2021/12/08/2021-26529.html https://regulations.justia.com/regulations/fedreg/2021/12/08/2021-26529.html Wed, 08 Dec 2021 00:00:00 -0800 2021-26529 Notice https://www.govinfo.gov/content/pkg/FR-2021-12-08/pdf/2021-26529.pdf Proposed Rule - Reporting of Securities Loans https://regulations.justia.com/regulations/fedreg/2021/12/08/2021-25739.html https://regulations.justia.com/regulations/fedreg/2021/12/08/2021-25739.html Wed, 08 Dec 2021 00:00:00 -0800 2021-25739 Proposed Rule https://www.govinfo.gov/content/pkg/FR-2021-12-08/pdf/2021-25739.pdf Notice - Self-Regulatory Organizations; Long-Term Stock Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Make Juneteenth National Independence Day a Holiday of the Exchange in Rule 11.110 (Hours of Trading and Trading Days) https://regulations.justia.com/regulations/fedreg/2021/12/07/2021-26455.html https://regulations.justia.com/regulations/fedreg/2021/12/07/2021-26455.html Tue, 07 Dec 2021 00:00:00 -0800 2021-26455 Notice https://www.govinfo.gov/content/pkg/FR-2021-12-07/pdf/2021-26455.pdf Notice - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing of Proposed Rule Change To Amend FINRA Rule 6730 To Require Members To Append Modifiers to Delayed Treasury Spot and Portfolio Trades When Reporting to TRACE https://regulations.justia.com/regulations/fedreg/2021/12/07/2021-26452.html https://regulations.justia.com/regulations/fedreg/2021/12/07/2021-26452.html Tue, 07 Dec 2021 00:00:00 -0800 2021-26452 Notice https://www.govinfo.gov/content/pkg/FR-2021-12-07/pdf/2021-26452.pdf Notice - Self-Regulatory Organizations; MIAX Emerald, LLC; Notice of Filing of Proposed Rule Change To Amend Exchange Rule 531 To Provide for a New Service Called the “High Precision Network Time Signal Service” https://regulations.justia.com/regulations/fedreg/2021/12/07/2021-26451.html https://regulations.justia.com/regulations/fedreg/2021/12/07/2021-26451.html Tue, 07 Dec 2021 00:00:00 -0800 2021-26451 Notice https://www.govinfo.gov/content/pkg/FR-2021-12-07/pdf/2021-26451.pdf Notice - Self-Regulatory Organizations; Cboe EDGX Exchange, Inc.; Notice of Filing of a Proposed Rule Change To Introduce a New Data Product To Be Known as the Short Volume Report, Modify the Name of Rule 13.8 to “Data Products”, and Add a Preamble to Rule 13.8 https://regulations.justia.com/regulations/fedreg/2021/12/07/2021-26450.html https://regulations.justia.com/regulations/fedreg/2021/12/07/2021-26450.html Tue, 07 Dec 2021 00:00:00 -0800 2021-26450 Notice https://www.govinfo.gov/content/pkg/FR-2021-12-07/pdf/2021-26450.pdf Notice - Self-Regulatory Organizations; Cboe EDGA Exchange, Inc.; Notice of Filing of a Proposed Rule Change To Introduce a New Data Product To Be Known as the Short Volume Report, Modify the Name of Rule 13.8 to “Data Products”, and Add a Preamble to Rule 13.8 https://regulations.justia.com/regulations/fedreg/2021/12/07/2021-26449.html https://regulations.justia.com/regulations/fedreg/2021/12/07/2021-26449.html Tue, 07 Dec 2021 00:00:00 -0800 2021-26449 Notice https://www.govinfo.gov/content/pkg/FR-2021-12-07/pdf/2021-26449.pdf Notice - Self-Regulatory Organizations; ICE Clear Credit LLC; Notice of Filing of Proposed Rule Change Relating to the ICC Clearing Rules and ICC Exercise Procedures https://regulations.justia.com/regulations/fedreg/2021/12/07/2021-26448.html https://regulations.justia.com/regulations/fedreg/2021/12/07/2021-26448.html Tue, 07 Dec 2021 00:00:00 -0800 2021-26448 Notice https://www.govinfo.gov/content/pkg/FR-2021-12-07/pdf/2021-26448.pdf Notice - Self-Regulatory Organizations; Cboe BYX Exchange, Inc.; Notice of Filing of a Proposed Rule Change To Introduce a New Data Product To Be Known as the Short Volume Report https://regulations.justia.com/regulations/fedreg/2021/12/07/2021-26447.html https://regulations.justia.com/regulations/fedreg/2021/12/07/2021-26447.html Tue, 07 Dec 2021 00:00:00 -0800 2021-26447 Notice https://www.govinfo.gov/content/pkg/FR-2021-12-07/pdf/2021-26447.pdf Notice - Self-Regulatory Organizations; Cboe BZX Exchange, Inc.; Notice of Filing of a Proposed Rule Change To Introduce a New Data Product To Be Known as the Short Volume Report https://regulations.justia.com/regulations/fedreg/2021/12/07/2021-26446.html https://regulations.justia.com/regulations/fedreg/2021/12/07/2021-26446.html Tue, 07 Dec 2021 00:00:00 -0800 2021-26446 Notice https://www.govinfo.gov/content/pkg/FR-2021-12-07/pdf/2021-26446.pdf Notice - Self-Regulatory Organizations; NYSE American LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Rule 903 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/2021/12/07/2021-26445.html https://regulations.justia.com/regulations/fedreg/2021/12/07/2021-26445.html Tue, 07 Dec 2021 00:00:00 -0800 2021-26445 Notice https://www.govinfo.gov/content/pkg/FR-2021-12-07/pdf/2021-26445.pdf Notice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Rule 6.4-O 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/2021/12/07/2021-26444.html https://regulations.justia.com/regulations/fedreg/2021/12/07/2021-26444.html Tue, 07 Dec 2021 00:00:00 -0800 2021-26444 Notice https://www.govinfo.gov/content/pkg/FR-2021-12-07/pdf/2021-26444.pdf Notice - Self-Regulatory Organizations; Cboe BZX Exchange, Inc.; Order Disapproving 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/2021/12/07/2021-26442.html https://regulations.justia.com/regulations/fedreg/2021/12/07/2021-26442.html Tue, 07 Dec 2021 00:00:00 -0800 2021-26442 Notice https://www.govinfo.gov/content/pkg/FR-2021-12-07/pdf/2021-26442.pdf Notice - Sunshine Act Meetings https://regulations.justia.com/regulations/fedreg/2021/12/06/2021-26480.html https://regulations.justia.com/regulations/fedreg/2021/12/06/2021-26480.html Mon, 06 Dec 2021 00:00:00 -0800 2021-26480 Notice https://www.govinfo.gov/content/pkg/FR-2021-12-06/pdf/2021-26480.pdf Notice - Privacy Act of 1974; System of Records; Correction https://regulations.justia.com/regulations/fedreg/2021/12/06/2021-26366.html https://regulations.justia.com/regulations/fedreg/2021/12/06/2021-26366.html Mon, 06 Dec 2021 00:00:00 -0800 2021-26366 Notice https://www.govinfo.gov/content/pkg/FR-2021-12-06/pdf/2021-26366.pdf Notice - Self-Regulatory Organizations; MEMX LLC; Order Granting Accelerated Approval of a Proposed Rule Change To Amend the Corporate Documents of the Exchange's Parent Company https://regulations.justia.com/regulations/fedreg/2021/12/06/2021-26337.html https://regulations.justia.com/regulations/fedreg/2021/12/06/2021-26337.html Mon, 06 Dec 2021 00:00:00 -0800 2021-26337 Notice https://www.govinfo.gov/content/pkg/FR-2021-12-06/pdf/2021-26337.pdf Notice - Self-Regulatory Organizations; National Securities Clearing Corporation; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Enhance the Transparency of the Calculation of the Backtesting Charge https://regulations.justia.com/regulations/fedreg/2021/12/06/2021-26336.html https://regulations.justia.com/regulations/fedreg/2021/12/06/2021-26336.html Mon, 06 Dec 2021 00:00:00 -0800 2021-26336 Notice https://www.govinfo.gov/content/pkg/FR-2021-12-06/pdf/2021-26336.pdf Notice - Fortune V Separate Account, et al. https://regulations.justia.com/regulations/fedreg/2021/12/06/2021-26328.html https://regulations.justia.com/regulations/fedreg/2021/12/06/2021-26328.html Mon, 06 Dec 2021 00:00:00 -0800 2021-26328 Notice https://www.govinfo.gov/content/pkg/FR-2021-12-06/pdf/2021-26328.pdf Notice - Calamos Hunt Alternative Income Fund, et al. https://regulations.justia.com/regulations/fedreg/2021/12/03/2021-26299.html https://regulations.justia.com/regulations/fedreg/2021/12/03/2021-26299.html Fri, 03 Dec 2021 00:00:00 -0800 2021-26299 Notice https://www.govinfo.gov/content/pkg/FR-2021-12-03/pdf/2021-26299.pdf Notice - Proposed Collection; Comment Request https://regulations.justia.com/regulations/fedreg/2021/12/03/2021-26246.html https://regulations.justia.com/regulations/fedreg/2021/12/03/2021-26246.html Fri, 03 Dec 2021 00:00:00 -0800 2021-26246 Notice https://www.govinfo.gov/content/pkg/FR-2021-12-03/pdf/2021-26246.pdf Notice - Self-Regulatory Organizations; Cboe Exchange, Inc.; Notice of Filing of a Proposed Rule Change To Adopt a Modified Trading Schedule for Holidays https://regulations.justia.com/regulations/fedreg/2021/12/03/2021-26244.html https://regulations.justia.com/regulations/fedreg/2021/12/03/2021-26244.html Fri, 03 Dec 2021 00:00:00 -0800 2021-26244 Notice https://www.govinfo.gov/content/pkg/FR-2021-12-03/pdf/2021-26244.pdf Notice - Self-Regulatory Organizations; The Nasdaq Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Include Juneteenth National Independence Day as a Holiday https://regulations.justia.com/regulations/fedreg/2021/12/03/2021-26242.html https://regulations.justia.com/regulations/fedreg/2021/12/03/2021-26242.html Fri, 03 Dec 2021 00:00:00 -0800 2021-26242 Notice https://www.govinfo.gov/content/pkg/FR-2021-12-03/pdf/2021-26242.pdf Notice - Self-Regulatory Organizations; Miami International Securities Exchange, LLC; Notice of Filing of a Proposed Rule Change To Adopt Exchange Rule 532, Order and Quote Price Protection Mechanisms and Risk Controls https://regulations.justia.com/regulations/fedreg/2021/12/03/2021-26241.html https://regulations.justia.com/regulations/fedreg/2021/12/03/2021-26241.html Fri, 03 Dec 2021 00:00:00 -0800 2021-26241 Notice https://www.govinfo.gov/content/pkg/FR-2021-12-03/pdf/2021-26241.pdf Notice - Self-Regulatory Organizations; Nasdaq PHLX LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Establish Juneteenth National Independence Day as an Exchange Holiday and Give the Exchange the Authority To Halt or Suspend Trading or Close Exchange Facilities for Certain Unanticipated Closures https://regulations.justia.com/regulations/fedreg/2021/12/03/2021-26240.html https://regulations.justia.com/regulations/fedreg/2021/12/03/2021-26240.html Fri, 03 Dec 2021 00:00:00 -0800 2021-26240 Notice https://www.govinfo.gov/content/pkg/FR-2021-12-03/pdf/2021-26240.pdf Notice - Notice of Applications for Deregistration Under Section 8(f) of the Investment Company Act of 1940 https://regulations.justia.com/regulations/fedreg/2021/12/01/2021-26137.html https://regulations.justia.com/regulations/fedreg/2021/12/01/2021-26137.html Wed, 01 Dec 2021 00:00:00 -0800 2021-26137 Notice https://www.govinfo.gov/content/pkg/FR-2021-12-01/pdf/2021-26137.pdf Rule - Staff Accounting Bulletin No. 120 https://regulations.justia.com/regulations/fedreg/2021/12/01/2021-26027.html https://regulations.justia.com/regulations/fedreg/2021/12/01/2021-26027.html Wed, 01 Dec 2021 00:00:00 -0800 2021-26027 Rule https://www.govinfo.gov/content/pkg/FR-2021-12-01/pdf/2021-26027.pdf Proposed Rule - Electronic Recordkeeping Requirements for Broker-Dealers, Security-Based Swap Dealers, and Major Security-Based Swap Participants https://regulations.justia.com/regulations/fedreg/2021/12/01/2021-25840.html https://regulations.justia.com/regulations/fedreg/2021/12/01/2021-25840.html Wed, 01 Dec 2021 00:00:00 -0800 2021-25840 Proposed Rule https://www.govinfo.gov/content/pkg/FR-2021-12-01/pdf/2021-25840.pdf Rule - Universal Proxy https://regulations.justia.com/regulations/fedreg/2021/12/01/2021-25492.html https://regulations.justia.com/regulations/fedreg/2021/12/01/2021-25492.html Wed, 01 Dec 2021 00:00:00 -0800 2021-25492 Rule https://www.govinfo.gov/content/pkg/FR-2021-12-01/pdf/2021-25492.pdf Notice - 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 Rules https://regulations.justia.com/regulations/fedreg/2021/11/30/2021-26074.html https://regulations.justia.com/regulations/fedreg/2021/11/30/2021-26074.html Tue, 30 Nov 2021 00:00:00 -0800 2021-26074 Notice https://www.govinfo.gov/content/pkg/FR-2021-11-30/pdf/2021-26074.pdf Notice - 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 Rules https://regulations.justia.com/regulations/fedreg/2021/11/30/2021-26070.html https://regulations.justia.com/regulations/fedreg/2021/11/30/2021-26070.html Tue, 30 Nov 2021 00:00:00 -0800 2021-26070 Notice https://www.govinfo.gov/content/pkg/FR-2021-11-30/pdf/2021-26070.pdf Notice - 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 Procedures https://regulations.justia.com/regulations/fedreg/2021/11/30/2021-26068.html https://regulations.justia.com/regulations/fedreg/2021/11/30/2021-26068.html Tue, 30 Nov 2021 00:00:00 -0800 2021-26068 Notice https://www.govinfo.gov/content/pkg/FR-2021-11-30/pdf/2021-26068.pdf Notice - 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 Rules https://regulations.justia.com/regulations/fedreg/2021/11/30/2021-26067.html https://regulations.justia.com/regulations/fedreg/2021/11/30/2021-26067.html Tue, 30 Nov 2021 00:00:00 -0800 2021-26067 Notice https://www.govinfo.gov/content/pkg/FR-2021-11-30/pdf/2021-26067.pdf Notice - 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 Funds https://regulations.justia.com/regulations/fedreg/2021/11/30/2021-25994.html https://regulations.justia.com/regulations/fedreg/2021/11/30/2021-25994.html Tue, 30 Nov 2021 00:00:00 -0800 2021-25994 Notice https://www.govinfo.gov/content/pkg/FR-2021-11-30/pdf/2021-25994.pdf Notice - 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 Protection https://regulations.justia.com/regulations/fedreg/2021/11/30/2021-25992.html https://regulations.justia.com/regulations/fedreg/2021/11/30/2021-25992.html Tue, 30 Nov 2021 00:00:00 -0800 2021-25992 Notice https://www.govinfo.gov/content/pkg/FR-2021-11-30/pdf/2021-25992.pdf Notice - 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 Funds https://regulations.justia.com/regulations/fedreg/2021/11/30/2021-25991.html https://regulations.justia.com/regulations/fedreg/2021/11/30/2021-25991.html Tue, 30 Nov 2021 00:00:00 -0800 2021-25991 Notice https://www.govinfo.gov/content/pkg/FR-2021-11-30/pdf/2021-25991.pdf Notice - 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 Funds https://regulations.justia.com/regulations/fedreg/2021/11/30/2021-25990.html https://regulations.justia.com/regulations/fedreg/2021/11/30/2021-25990.html Tue, 30 Nov 2021 00:00:00 -0800 2021-25990 Notice https://www.govinfo.gov/content/pkg/FR-2021-11-30/pdf/2021-25990.pdf Notice - 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 Rules https://regulations.justia.com/regulations/fedreg/2021/11/30/2021-25989.html https://regulations.justia.com/regulations/fedreg/2021/11/30/2021-25989.html Tue, 30 Nov 2021 00:00:00 -0800 2021-25989 Notice https://www.govinfo.gov/content/pkg/FR-2021-11-30/pdf/2021-25989.pdf Notice - 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 Requirements https://regulations.justia.com/regulations/fedreg/2021/11/30/2021-25988.html https://regulations.justia.com/regulations/fedreg/2021/11/30/2021-25988.html Tue, 30 Nov 2021 00:00:00 -0800 2021-25988 Notice https://www.govinfo.gov/content/pkg/FR-2021-11-30/pdf/2021-25988.pdf Notice - 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 LLC https://regulations.justia.com/regulations/fedreg/2021/11/30/2021-25987.html https://regulations.justia.com/regulations/fedreg/2021/11/30/2021-25987.html Tue, 30 Nov 2021 00:00:00 -0800 2021-25987 Notice https://www.govinfo.gov/content/pkg/FR-2021-11-30/pdf/2021-25987.pdf Notice - Sunshine Act Meetings https://regulations.justia.com/regulations/fedreg/2021/11/29/2021-26047.html https://regulations.justia.com/regulations/fedreg/2021/11/29/2021-26047.html Mon, 29 Nov 2021 00:00:00 -0800 2021-26047 Notice https://www.govinfo.gov/content/pkg/FR-2021-11-29/pdf/2021-26047.pdf Notice - Proposed Collection; Comment Request, Extension: Rule 30e-2 https://regulations.justia.com/regulations/fedreg/2021/11/29/2021-25915.html https://regulations.justia.com/regulations/fedreg/2021/11/29/2021-25915.html Mon, 29 Nov 2021 00:00:00 -0800 2021-25915 Notice https://www.govinfo.gov/content/pkg/FR-2021-11-29/pdf/2021-25915.pdf Notice - Submission for OMB Review; Comment Request, Extension: Form F-3 https://regulations.justia.com/regulations/fedreg/2021/11/29/2021-25914.html https://regulations.justia.com/regulations/fedreg/2021/11/29/2021-25914.html Mon, 29 Nov 2021 00:00:00 -0800 2021-25914 Notice https://www.govinfo.gov/content/pkg/FR-2021-11-29/pdf/2021-25914.pdf Notice - Proposed Collection; Comment Request; Extension: Form 1-E, Regulation E https://regulations.justia.com/regulations/fedreg/2021/11/29/2021-25913.html https://regulations.justia.com/regulations/fedreg/2021/11/29/2021-25913.html Mon, 29 Nov 2021 00:00:00 -0800 2021-25913 Notice https://www.govinfo.gov/content/pkg/FR-2021-11-29/pdf/2021-25913.pdf Notice - Submission for OMB Review; Comment Request, Extension: Rule 206(4)-7 https://regulations.justia.com/regulations/fedreg/2021/11/29/2021-25912.html https://regulations.justia.com/regulations/fedreg/2021/11/29/2021-25912.html Mon, 29 Nov 2021 00:00:00 -0800 2021-25912 Notice https://www.govinfo.gov/content/pkg/FR-2021-11-29/pdf/2021-25912.pdf Notice - Self-Regulatory Organizations; Cboe Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Add a Held Order Instruction https://regulations.justia.com/regulations/fedreg/2021/11/29/2021-25893.html https://regulations.justia.com/regulations/fedreg/2021/11/29/2021-25893.html Mon, 29 Nov 2021 00:00:00 -0800 2021-25893 Notice https://www.govinfo.gov/content/pkg/FR-2021-11-29/pdf/2021-25893.pdf Notice - 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 Fees https://regulations.justia.com/regulations/fedreg/2021/11/29/2021-25883.html https://regulations.justia.com/regulations/fedreg/2021/11/29/2021-25883.html Mon, 29 Nov 2021 00:00:00 -0800 2021-25883 Notice https://www.govinfo.gov/content/pkg/FR-2021-11-29/pdf/2021-25883.pdf Notice - 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 Securities https://regulations.justia.com/regulations/fedreg/2021/11/29/2021-25882.html https://regulations.justia.com/regulations/fedreg/2021/11/29/2021-25882.html Mon, 29 Nov 2021 00:00:00 -0800 2021-25882 Notice https://www.govinfo.gov/content/pkg/FR-2021-11-29/pdf/2021-25882.pdf Notice - 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 Securities https://regulations.justia.com/regulations/fedreg/2021/11/29/2021-25881.html https://regulations.justia.com/regulations/fedreg/2021/11/29/2021-25881.html Mon, 29 Nov 2021 00:00:00 -0800 2021-25881 Notice https://www.govinfo.gov/content/pkg/FR-2021-11-29/pdf/2021-25881.pdf Notice - 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 Securities https://regulations.justia.com/regulations/fedreg/2021/11/29/2021-25880.html https://regulations.justia.com/regulations/fedreg/2021/11/29/2021-25880.html Mon, 29 Nov 2021 00:00:00 -0800 2021-25880 Notice https://www.govinfo.gov/content/pkg/FR-2021-11-29/pdf/2021-25880.pdf Notice - 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 Ports https://regulations.justia.com/regulations/fedreg/2021/11/29/2021-25879.html https://regulations.justia.com/regulations/fedreg/2021/11/29/2021-25879.html Mon, 29 Nov 2021 00:00:00 -0800 2021-25879 Notice https://www.govinfo.gov/content/pkg/FR-2021-11-29/pdf/2021-25879.pdf Notice - 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 Fees https://regulations.justia.com/regulations/fedreg/2021/11/29/2021-25878.html https://regulations.justia.com/regulations/fedreg/2021/11/29/2021-25878.html Mon, 29 Nov 2021 00:00:00 -0800 2021-25878 Notice https://www.govinfo.gov/content/pkg/FR-2021-11-29/pdf/2021-25878.pdf Notice - 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 Securities https://regulations.justia.com/regulations/fedreg/2021/11/29/2021-25877.html https://regulations.justia.com/regulations/fedreg/2021/11/29/2021-25877.html Mon, 29 Nov 2021 00:00:00 -0800 2021-25877 Notice https://www.govinfo.gov/content/pkg/FR-2021-11-29/pdf/2021-25877.pdf Notice - Privacy Act of 1974; System of Records https://regulations.justia.com/regulations/fedreg/2021/11/29/2021-25871.html https://regulations.justia.com/regulations/fedreg/2021/11/29/2021-25871.html Mon, 29 Nov 2021 00:00:00 -0800 2021-25871 Notice https://www.govinfo.gov/content/pkg/FR-2021-11-29/pdf/2021-25871.pdf Notice - Bain Capital Specialty Finance, Inc., et al. https://regulations.justia.com/regulations/fedreg/2021/11/29/2021-25862.html https://regulations.justia.com/regulations/fedreg/2021/11/29/2021-25862.html Mon, 29 Nov 2021 00:00:00 -0800 2021-25862 Notice https://www.govinfo.gov/content/pkg/FR-2021-11-29/pdf/2021-25862.pdf Notice - 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 Plan https://regulations.justia.com/regulations/fedreg/2021/11/29/2021-25745.html https://regulations.justia.com/regulations/fedreg/2021/11/29/2021-25745.html Mon, 29 Nov 2021 00:00:00 -0800 2021-25745 Notice https://www.govinfo.gov/content/pkg/FR-2021-11-29/pdf/2021-25745.pdf Notice - Self-Regulatory Organizations; MIAX Emerald, LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Its Fee Schedule https://regulations.justia.com/regulations/fedreg/2021/11/26/2021-25759.html https://regulations.justia.com/regulations/fedreg/2021/11/26/2021-25759.html Fri, 26 Nov 2021 00:00:00 -0800 2021-25759 Notice https://www.govinfo.gov/content/pkg/FR-2021-11-26/pdf/2021-25759.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/2021/11/26/2021-25758.html https://regulations.justia.com/regulations/fedreg/2021/11/26/2021-25758.html Fri, 26 Nov 2021 00:00:00 -0800 2021-25758 Notice https://www.govinfo.gov/content/pkg/FR-2021-11-26/pdf/2021-25758.pdf Notice - Self-Regulatory Organizations; MIAX PEARL, LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Its Fee Schedule https://regulations.justia.com/regulations/fedreg/2021/11/26/2021-25757.html https://regulations.justia.com/regulations/fedreg/2021/11/26/2021-25757.html Fri, 26 Nov 2021 00:00:00 -0800 2021-25757 Notice https://www.govinfo.gov/content/pkg/FR-2021-11-26/pdf/2021-25757.pdf Notice - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Extend the Implementation Date of Certain Amendments to FINRA Rule 4210 Approved Pursuant to SR-FINRA-2015-036 https://regulations.justia.com/regulations/fedreg/2021/11/26/2021-25756.html https://regulations.justia.com/regulations/fedreg/2021/11/26/2021-25756.html Fri, 26 Nov 2021 00:00:00 -0800 2021-25756 Notice https://www.govinfo.gov/content/pkg/FR-2021-11-26/pdf/2021-25756.pdf Notice - 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 Manual https://regulations.justia.com/regulations/fedreg/2021/11/26/2021-25755.html https://regulations.justia.com/regulations/fedreg/2021/11/26/2021-25755.html Fri, 26 Nov 2021 00:00:00 -0800 2021-25755 Notice https://www.govinfo.gov/content/pkg/FR-2021-11-26/pdf/2021-25755.pdf Notice - 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 Circumstances https://regulations.justia.com/regulations/fedreg/2021/11/26/2021-25754.html https://regulations.justia.com/regulations/fedreg/2021/11/26/2021-25754.html Fri, 26 Nov 2021 00:00:00 -0800 2021-25754 Notice https://www.govinfo.gov/content/pkg/FR-2021-11-26/pdf/2021-25754.pdf Notice - 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 Program https://regulations.justia.com/regulations/fedreg/2021/11/26/2021-25753.html https://regulations.justia.com/regulations/fedreg/2021/11/26/2021-25753.html Fri, 26 Nov 2021 00:00:00 -0800 2021-25753 Notice https://www.govinfo.gov/content/pkg/FR-2021-11-26/pdf/2021-25753.pdf Notice - 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 Plan https://regulations.justia.com/regulations/fedreg/2021/11/26/2021-25752.html https://regulations.justia.com/regulations/fedreg/2021/11/26/2021-25752.html Fri, 26 Nov 2021 00:00:00 -0800 2021-25752 Notice https://www.govinfo.gov/content/pkg/FR-2021-11-26/pdf/2021-25752.pdf Notice - 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 Value https://regulations.justia.com/regulations/fedreg/2021/11/26/2021-25751.html https://regulations.justia.com/regulations/fedreg/2021/11/26/2021-25751.html Fri, 26 Nov 2021 00:00:00 -0800 2021-25751 Notice https://www.govinfo.gov/content/pkg/FR-2021-11-26/pdf/2021-25751.pdf Notice - 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 Market https://regulations.justia.com/regulations/fedreg/2021/11/26/2021-25750.html https://regulations.justia.com/regulations/fedreg/2021/11/26/2021-25750.html Fri, 26 Nov 2021 00:00:00 -0800 2021-25750 Notice https://www.govinfo.gov/content/pkg/FR-2021-11-26/pdf/2021-25750.pdf Notice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the NYSE Arca Equities Fees and Charges https://regulations.justia.com/regulations/fedreg/2021/11/26/2021-25749.html https://regulations.justia.com/regulations/fedreg/2021/11/26/2021-25749.html Fri, 26 Nov 2021 00:00:00 -0800 2021-25749 Notice https://www.govinfo.gov/content/pkg/FR-2021-11-26/pdf/2021-25749.pdf Notice - 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 Basis https://regulations.justia.com/regulations/fedreg/2021/11/26/2021-25748.html https://regulations.justia.com/regulations/fedreg/2021/11/26/2021-25748.html Fri, 26 Nov 2021 00:00:00 -0800 2021-25748 Notice https://www.govinfo.gov/content/pkg/FR-2021-11-26/pdf/2021-25748.pdf Notice - 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 Basis https://regulations.justia.com/regulations/fedreg/2021/11/26/2021-25747.html https://regulations.justia.com/regulations/fedreg/2021/11/26/2021-25747.html Fri, 26 Nov 2021 00:00:00 -0800 2021-25747 Notice https://www.govinfo.gov/content/pkg/FR-2021-11-26/pdf/2021-25747.pdf Notice - 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) https://regulations.justia.com/regulations/fedreg/2021/11/26/2021-25746.html https://regulations.justia.com/regulations/fedreg/2021/11/26/2021-25746.html Fri, 26 Nov 2021 00:00:00 -0800 2021-25746 Notice https://www.govinfo.gov/content/pkg/FR-2021-11-26/pdf/2021-25746.pdf Notice - Bow River Capital Evergreen Fund, et al. https://regulations.justia.com/regulations/fedreg/2021/11/26/2021-25722.html https://regulations.justia.com/regulations/fedreg/2021/11/26/2021-25722.html Fri, 26 Nov 2021 00:00:00 -0800 2021-25722 Notice https://www.govinfo.gov/content/pkg/FR-2021-11-26/pdf/2021-25722.pdf Proposed Rule - Proxy Voting Advice https://regulations.justia.com/regulations/fedreg/2021/11/26/2021-25420.html https://regulations.justia.com/regulations/fedreg/2021/11/26/2021-25420.html Fri, 26 Nov 2021 00:00:00 -0800 2021-25420 Proposed Rule https://www.govinfo.gov/content/pkg/FR-2021-11-26/pdf/2021-25420.pdf Notice - MVP Private Markets Fund, et al. https://regulations.justia.com/regulations/fedreg/2021/11/24/2021-25628.html https://regulations.justia.com/regulations/fedreg/2021/11/24/2021-25628.html Wed, 24 Nov 2021 00:00:00 -0800 2021-25628 Notice https://www.govinfo.gov/content/pkg/FR-2021-11-24/pdf/2021-25628.pdf Notice - 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 Shares https://regulations.justia.com/regulations/fedreg/2021/11/24/2021-25625.html https://regulations.justia.com/regulations/fedreg/2021/11/24/2021-25625.html Wed, 24 Nov 2021 00:00:00 -0800 2021-25625 Notice https://www.govinfo.gov/content/pkg/FR-2021-11-24/pdf/2021-25625.pdf Notice - 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 Fees https://regulations.justia.com/regulations/fedreg/2021/11/24/2021-25624.html https://regulations.justia.com/regulations/fedreg/2021/11/24/2021-25624.html Wed, 24 Nov 2021 00:00:00 -0800 2021-25624 Notice https://www.govinfo.gov/content/pkg/FR-2021-11-24/pdf/2021-25624.pdf Notice - 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 Policy https://regulations.justia.com/regulations/fedreg/2021/11/24/2021-25623.html https://regulations.justia.com/regulations/fedreg/2021/11/24/2021-25623.html Wed, 24 Nov 2021 00:00:00 -0800 2021-25623 Notice https://www.govinfo.gov/content/pkg/FR-2021-11-24/pdf/2021-25623.pdf Notice - Self-Regulatory Organizations; ICE Clear Europe Limited; Order Approving Proposed Rule Change Relating to Amendments to the ICE Clear Europe Collateral and Haircut Procedures https://regulations.justia.com/regulations/fedreg/2021/11/23/2021-25479.html https://regulations.justia.com/regulations/fedreg/2021/11/23/2021-25479.html Tue, 23 Nov 2021 00:00:00 -0800 2021-25479 Notice https://www.govinfo.gov/content/pkg/FR-2021-11-23/pdf/2021-25479.pdf Notice - Self-Regulatory Organizations; The Nasdaq Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend FINRA Fees https://regulations.justia.com/regulations/fedreg/2021/11/23/2021-25478.html https://regulations.justia.com/regulations/fedreg/2021/11/23/2021-25478.html Tue, 23 Nov 2021 00:00:00 -0800 2021-25478 Notice https://www.govinfo.gov/content/pkg/FR-2021-11-23/pdf/2021-25478.pdf Notice - Self-Regulatory Organizations; Cboe Futures Exchange, LLC; Notice of a Filing of a Proposed Rule Change Regarding Block Trade Recordkeeping Requirements https://regulations.justia.com/regulations/fedreg/2021/11/23/2021-25477.html https://regulations.justia.com/regulations/fedreg/2021/11/23/2021-25477.html Tue, 23 Nov 2021 00:00:00 -0800 2021-25477 Notice https://www.govinfo.gov/content/pkg/FR-2021-11-23/pdf/2021-25477.pdf