Federal Register Recent Federal Regulation Documents - Justia Regulation Tracker - Justia Regulations Tracker https://regulations.justia.com/regulations/fedreg/agencies/securities-and-exchange-commission?limit=200&mode=atom 2020-06-01T13:21:02-07:00 Justia Inc https://www.justia.com/ Justia Regulations Tracker https://regulations.justia.com/images/justiafedregulations.gif Copyright 2011 Justia Inc https://regulations.justia.com/regulations/fedreg/2020/06/01/2020-11718.html Notice - Order Under Section 17A and Section 36 of the Securities Exchange Act of 1934 Extending Temporary Exemptions From Specified Provisions of the Exchange Act and Certain Rules Thereunder 2020-06-01T00:00:00-07:00 2020-06-01T00:00:00-07:00 2020-11718 Notice https://www.govinfo.gov/content/pkg/FR-2020-06-01/pdf/2020-11718.pdf https://regulations.justia.com/regulations/fedreg/2020/06/01/2020-11657.html Notice - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To add Commentary .05 to Rule 7.35A 2020-06-01T00:00:00-07:00 2020-06-01T00:00:00-07:00 2020-11657 Notice https://www.govinfo.gov/content/pkg/FR-2020-06-01/pdf/2020-11657.pdf https://regulations.justia.com/regulations/fedreg/2020/06/01/2020-11656.html Notice - Program for Allocation of Regulatory Responsibilities Pursuant to Rule 17d-2; Notice of Filing and Order Approving and Declaring Effective an Amendment to the Plan for the Allocation of Regulatory Responsibilities Among Cboe BZX Exchange, Inc., Cboe BYX Exchange, Inc., NYSE Chicago, Inc., Cboe EDGA Exchange, Inc., Cboe EDGX Exchange, Inc., Financial Industry Regulatory Authority, Inc., MEMX LLC, Nasdaq BX, Inc., Nasdaq PHLX LLC, The Nasdaq Stock Market LLC, NYSE National, Inc., New York Stock Exchange LLC, NYSE American LLC, NYSE Arca, Inc., Investors' Exchange LLC, and Long-Term Stock Exchange, Inc. Relating to the Surveillance, Investigation, and Enforcement of Insider Trading Rules 2020-06-01T00:00:00-07:00 2020-06-01T00:00:00-07:00 2020-11656 Notice https://www.govinfo.gov/content/pkg/FR-2020-06-01/pdf/2020-11656.pdf https://regulations.justia.com/regulations/fedreg/2020/06/01/2020-11653.html Notice - Self-Regulatory Organizations; BOX Exchange LLC; Notice of Filing of Proposed Rule Change in Connection With the Proposed Commencement of Operations of Boston Security Token Exchange LLC (“BSTX”) as a Facility of the Exchange 2020-06-01T00:00:00-07:00 2020-06-01T00:00:00-07:00 2020-11653 Notice https://www.govinfo.gov/content/pkg/FR-2020-06-01/pdf/2020-11653.pdf https://regulations.justia.com/regulations/fedreg/2020/06/01/2020-11652.html Notice - Self-Regulatory Organizations; NYSE American LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Rule 960NY to Conform the Rule to Section 3.1 of the Plan for the Purpose of Developing and Implementing Procedures Designed To Facilitate the Listing and Trading of Standardized Options 2020-06-01T00:00:00-07:00 2020-06-01T00:00:00-07:00 2020-11652 Notice https://www.govinfo.gov/content/pkg/FR-2020-06-01/pdf/2020-11652.pdf https://regulations.justia.com/regulations/fedreg/2020/06/01/2020-11651.html Notice - Self-Regulatory Organizations; BOX Exchange LLC; Notice of Filing of Proposed Rule Change To Adopt Rules Governing the Trading of Equity Securities on the Exchange Through a Facility of the Exchange Known as the Boston Security Token Exchange LLC 2020-06-01T00:00:00-07:00 2020-06-01T00:00:00-07:00 2020-11651 Notice https://www.govinfo.gov/content/pkg/FR-2020-06-01/pdf/2020-11651.pdf https://regulations.justia.com/regulations/fedreg/2020/06/01/2020-11650.html Notice - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Order Approving a Proposed Rule Change To Amend the FINRA Code of Arbitration Procedure for Customer Disputes and the FINRA Code of Arbitration Procedure for Industry Disputes To Apply Minimum Fees To Requests for Expungement of Customer Dispute Information 2020-06-01T00:00:00-07:00 2020-06-01T00:00:00-07:00 2020-11650 Notice https://www.govinfo.gov/content/pkg/FR-2020-06-01/pdf/2020-11650.pdf https://regulations.justia.com/regulations/fedreg/2020/06/01/2020-11649.html Notice - Self-Regulatory Organizations; ICE Clear Credit LLC; Order Approving Proposed Rule Change Relating to the ICC Clearing Participant Default Management Procedures 2020-06-01T00:00:00-07:00 2020-06-01T00:00:00-07:00 2020-11649 Notice https://www.govinfo.gov/content/pkg/FR-2020-06-01/pdf/2020-11649.pdf https://regulations.justia.com/regulations/fedreg/2020/06/01/2020-11648.html Notice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Rule 6.72-O To Conform the Rule to Section 3.1 of the Plan for the Purpose of Developing and Implementing Procedures Designed to Facilitate the Listing and Trading of Standardized Options 2020-06-01T00:00:00-07:00 2020-06-01T00:00:00-07:00 2020-11648 Notice https://www.govinfo.gov/content/pkg/FR-2020-06-01/pdf/2020-11648.pdf https://regulations.justia.com/regulations/fedreg/2020/06/01/2020-11647.html Notice - Self-Regulatory Organizations; Nasdaq GEMX, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend GEMX's Pricing Schedule 2020-06-01T00:00:00-07:00 2020-06-01T00:00:00-07:00 2020-11647 Notice https://www.govinfo.gov/content/pkg/FR-2020-06-01/pdf/2020-11647.pdf https://regulations.justia.com/regulations/fedreg/2020/06/01/2020-11646.html Notice - Self-Regulatory Organizations; Nasdaq ISE, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the Exchange's Pricing Schedule at Options 7 2020-06-01T00:00:00-07:00 2020-06-01T00:00:00-07:00 2020-11646 Notice https://www.govinfo.gov/content/pkg/FR-2020-06-01/pdf/2020-11646.pdf https://regulations.justia.com/regulations/fedreg/2020/06/01/2020-11645.html Notice - Self-Regulatory Organizations; Nasdaq BX, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Relocate the BX Disciplinary Rules and Incorporate by Reference the Disciplinary Rules of The Nasdaq Stock Market LLC 2020-06-01T00:00:00-07:00 2020-06-01T00:00:00-07:00 2020-11645 Notice https://www.govinfo.gov/content/pkg/FR-2020-06-01/pdf/2020-11645.pdf https://regulations.justia.com/regulations/fedreg/2020/06/01/2020-10016.html Rule - Recordkeeping and Reporting Requirements for Security-Based Swap Dealers, Major Security-Based Swap Participants, and Broker-Dealers; Correction 2020-06-01T00:00:00-07:00 2020-06-01T00:00:00-07:00 2020-10016 Rule https://www.govinfo.gov/content/pkg/FR-2020-06-01/pdf/2020-10016.pdf https://regulations.justia.com/regulations/fedreg/2020/06/01/2020-07790.html Rule - Securities Offering Reform for Closed-End Investment Companies 2020-06-01T00:00:00-07:00 2020-06-01T00:00:00-07:00 2020-07790 Rule https://www.govinfo.gov/content/pkg/FR-2020-06-01/pdf/2020-07790.pdf https://regulations.justia.com/regulations/fedreg/2020/05/29/2020-11714.html Notice - Sunshine Act Meeting; Cancellation 2020-05-29T00:00:00-07:00 2020-05-29T00:00:00-07:00 2020-11714 Notice https://www.govinfo.gov/content/pkg/FR-2020-05-29/pdf/2020-11714.pdf https://regulations.justia.com/regulations/fedreg/2020/05/29/2020-11596.html Notice - Proposed Collection; Comment Request 2020-05-29T00:00:00-07:00 2020-05-29T00:00:00-07:00 2020-11596 Notice https://www.govinfo.gov/content/pkg/FR-2020-05-29/pdf/2020-11596.pdf https://regulations.justia.com/regulations/fedreg/2020/05/29/2020-11595.html Notice - Submission for OMB Review; Comment Request 2020-05-29T00:00:00-07:00 2020-05-29T00:00:00-07:00 2020-11595 Notice https://www.govinfo.gov/content/pkg/FR-2020-05-29/pdf/2020-11595.pdf https://regulations.justia.com/regulations/fedreg/2020/05/29/2020-11594.html Notice - Proposed Collection; Comment Request 2020-05-29T00:00:00-07:00 2020-05-29T00:00:00-07:00 2020-11594 Notice https://www.govinfo.gov/content/pkg/FR-2020-05-29/pdf/2020-11594.pdf https://regulations.justia.com/regulations/fedreg/2020/05/29/2020-11593.html Notice - Proposed Collection; Comment Request 2020-05-29T00:00:00-07:00 2020-05-29T00:00:00-07:00 2020-11593 Notice https://www.govinfo.gov/content/pkg/FR-2020-05-29/pdf/2020-11593.pdf https://regulations.justia.com/regulations/fedreg/2020/05/29/2020-11592.html Notice - Submission for OMB Review; Comment Request 2020-05-29T00:00:00-07:00 2020-05-29T00:00:00-07:00 2020-11592 Notice https://www.govinfo.gov/content/pkg/FR-2020-05-29/pdf/2020-11592.pdf https://regulations.justia.com/regulations/fedreg/2020/05/28/2020-11475.html Notice - Self-Regulatory Organizations; BOX Exchange LLC; Order Granting Approval of a Proposed Rule Change To Amend the Provisions of the Limited Liability Company Agreement and Bylaws 2020-05-28T00:00:00-07:00 2020-05-28T00:00:00-07:00 2020-11475 Notice https://www.govinfo.gov/content/pkg/FR-2020-05-28/pdf/2020-11475.pdf https://regulations.justia.com/regulations/fedreg/2020/05/28/2020-11474.html 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 7.35, 7.35A, 7.35B, and 7.35C 2020-05-28T00:00:00-07:00 2020-05-28T00:00:00-07:00 2020-11474 Notice https://www.govinfo.gov/content/pkg/FR-2020-05-28/pdf/2020-11474.pdf https://regulations.justia.com/regulations/fedreg/2020/05/28/2020-11473.html Notice - Self-Regulatory Organizations; The Nasdaq Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Make Certain Amendments To Eliminate the Requirement That the Intraday Indicative Value Be Disseminated for Certain Series of Index Fund Shares and All Series of Managed Fund Shares 2020-05-28T00:00:00-07:00 2020-05-28T00:00:00-07:00 2020-11473 Notice https://www.govinfo.gov/content/pkg/FR-2020-05-28/pdf/2020-11473.pdf https://regulations.justia.com/regulations/fedreg/2020/05/28/2020-11405.html Notice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending the NYSE Arca Equities Fees and Charges to Institute Ratio Threshold Fees 2020-05-28T00:00:00-07:00 2020-05-28T00:00:00-07:00 2020-11405 Notice https://www.govinfo.gov/content/pkg/FR-2020-05-28/pdf/2020-11405.pdf https://regulations.justia.com/regulations/fedreg/2020/05/28/2020-11404.html Notice - Self-Regulatory Organizations; ICE Clear Credit LLC; Order Approving Proposed Rule Change Relating to the Clearance of Additional Credit Default Swap Contracts 2020-05-28T00:00:00-07:00 2020-05-28T00:00:00-07:00 2020-11404 Notice https://www.govinfo.gov/content/pkg/FR-2020-05-28/pdf/2020-11404.pdf https://regulations.justia.com/regulations/fedreg/2020/05/28/2020-11403.html Notice - Self-Regulatory Organizations; ICE Clear Europe Limited; Notice of Filing of Proposed Rule Change, as Modified by Partial Amendment No. 1, Relating to the ICE Clear Europe Auction Terms for CDS Default Auctions and CDS Default Management Policy (formerly the CDS Default Management Framework). 2020-05-28T00:00:00-07:00 2020-05-28T00:00:00-07:00 2020-11403 Notice https://www.govinfo.gov/content/pkg/FR-2020-05-28/pdf/2020-11403.pdf https://regulations.justia.com/regulations/fedreg/2020/05/28/2020-11402.html Notice - Self-Regulatory Organizations; ICE Clear Credit LLC; Order Approving Proposed Rule Change Relating to ICC's Treasury Operations Policies and Procedures 2020-05-28T00:00:00-07:00 2020-05-28T00:00:00-07:00 2020-11402 Notice https://www.govinfo.gov/content/pkg/FR-2020-05-28/pdf/2020-11402.pdf https://regulations.justia.com/regulations/fedreg/2020/05/28/2020-11401.html Notice - Self-Regulatory Organizations; ICE Clear Credit LLC; Order Approving Proposed Rule Change Relating to the ICC CDS Instrument On-Boarding Policies and Procedures 2020-05-28T00:00:00-07:00 2020-05-28T00:00:00-07:00 2020-11401 Notice https://www.govinfo.gov/content/pkg/FR-2020-05-28/pdf/2020-11401.pdf https://regulations.justia.com/regulations/fedreg/2020/05/28/2020-11400.html Notice - Self-Regulatory Organizations; NYSE Arca, 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 List and Trade Shares of the SPDR SSGA Responsible Reserves ESG ETF under NYSE Arca Rule 8.600-E 2020-05-28T00:00:00-07:00 2020-05-28T00:00:00-07:00 2020-11400 Notice https://www.govinfo.gov/content/pkg/FR-2020-05-28/pdf/2020-11400.pdf https://regulations.justia.com/regulations/fedreg/2020/05/28/2020-11399.html Notice - Self-Regulatory Organizations; Cboe Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to the Debit/Credit Price Reasonability Check 2020-05-28T00:00:00-07:00 2020-05-28T00:00:00-07:00 2020-11399 Notice https://www.govinfo.gov/content/pkg/FR-2020-05-28/pdf/2020-11399.pdf https://regulations.justia.com/regulations/fedreg/2020/05/27/2020-11411.html Notice - Sunshine Act Meetings 2020-05-27T00:00:00-07:00 2020-05-27T00:00:00-07:00 2020-11411 Notice https://www.govinfo.gov/content/pkg/FR-2020-05-27/pdf/2020-11411.pdf https://regulations.justia.com/regulations/fedreg/2020/05/27/2020-11287.html Notice - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Temporarily Amend Certain Timing, Method of Service and Other Procedural Requirements in FINRA Rules During the Outbreak of the Coronavirus Disease (COVID-19) 2020-05-27T00:00:00-07:00 2020-05-27T00:00:00-07:00 2020-11287 Notice https://www.govinfo.gov/content/pkg/FR-2020-05-27/pdf/2020-11287.pdf https://regulations.justia.com/regulations/fedreg/2020/05/27/2020-11286.html Notice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Representations Relating to the Redemption Procedures Applicable to the Sprott Physical Gold Trust and the Sprott Physical Silver Trust 2020-05-27T00:00:00-07:00 2020-05-27T00:00:00-07:00 2020-11286 Notice https://www.govinfo.gov/content/pkg/FR-2020-05-27/pdf/2020-11286.pdf https://regulations.justia.com/regulations/fedreg/2020/05/27/2020-11285.html Notice - Self-Regulatory Organizations; The Depository Trust Company; Fixed Income Clearing Corporation; National Securities Clearing Corporation; Order Approving a Proposed Rule Change To Modify the Clearing Agency Model Risk Management Framework 2020-05-27T00:00:00-07:00 2020-05-27T00:00:00-07:00 2020-11285 Notice https://www.govinfo.gov/content/pkg/FR-2020-05-27/pdf/2020-11285.pdf https://regulations.justia.com/regulations/fedreg/2020/05/27/2020-11284.html Notice - Self-Regulatory Organizations; Fixed Income Clearing Corporation; Order Approving a Proposed Rule Change To Amend the Government Securities Division Rulebook Relating to the Legal Entity Identifier Requirement 2020-05-27T00:00:00-07:00 2020-05-27T00:00:00-07:00 2020-11284 Notice https://www.govinfo.gov/content/pkg/FR-2020-05-27/pdf/2020-11284.pdf https://regulations.justia.com/regulations/fedreg/2020/05/27/2020-11283.html Notice - Program for Allocation of Regulatory Responsibilities Pursuant to Rule 17d-2; Notice of Filing of Proposed Plan for the Allocation of Regulatory Responsibilities Between the Financial Industry Regulatory Authority, Inc. and MEMX LLC 2020-05-27T00:00:00-07:00 2020-05-27T00:00:00-07:00 2020-11283 Notice https://www.govinfo.gov/content/pkg/FR-2020-05-27/pdf/2020-11283.pdf https://regulations.justia.com/regulations/fedreg/2020/05/26/2020-11290.html Notice - Sunshine Act Meetings 2020-05-26T00:00:00-07:00 2020-05-26T00:00:00-07:00 2020-11290 Notice https://www.govinfo.gov/content/pkg/FR-2020-05-26/pdf/2020-11290.pdf https://regulations.justia.com/regulations/fedreg/2020/05/26/2020-11253.html Notice - Notice of Intention To Cancel Registration Pursuant to Section 203(H) of the Investment Advisers Act of 1940 2020-05-26T00:00:00-07:00 2020-05-26T00:00:00-07:00 2020-11253 Notice https://www.govinfo.gov/content/pkg/FR-2020-05-26/pdf/2020-11253.pdf https://regulations.justia.com/regulations/fedreg/2020/05/26/2020-11139.html Notice - Sutter Rock Capital Corp. 2020-05-26T00:00:00-07:00 2020-05-26T00:00:00-07:00 2020-11139 Notice https://www.govinfo.gov/content/pkg/FR-2020-05-26/pdf/2020-11139.pdf https://regulations.justia.com/regulations/fedreg/2020/05/26/2020-11138.html Notice - Self-Regulatory Organizations; ICE Clear Europe Limited; Notice of Filing and Immediate Effectiveness of Proposed Rule Change, Security-Based Swap Submission or Advance Notice Relating to Amendments to the ICE Clear Europe Auction Terms for F&O Default Auctions and F&O Default Management Policy (Formerly the F&O Default Management Framework) 2020-05-26T00:00:00-07:00 2020-05-26T00:00:00-07:00 2020-11138 Notice https://www.govinfo.gov/content/pkg/FR-2020-05-26/pdf/2020-11138.pdf https://regulations.justia.com/regulations/fedreg/2020/05/26/2020-11137.html Notice - Self-Regulatory Organizations; ICE Clear Europe Limited; Notice of Filing of Proposed Rule Change, Security-Based Swap Submission or Advance Notice Relating to the ICE Clear Europe Investment Management Procedures and Treasury and Banking Services Policy (To Be Renamed Liquidity and Investment Management Policy) 2020-05-26T00:00:00-07:00 2020-05-26T00:00:00-07:00 2020-11137 Notice https://www.govinfo.gov/content/pkg/FR-2020-05-26/pdf/2020-11137.pdf https://regulations.justia.com/regulations/fedreg/2020/05/26/2020-11136.html Notice - Self-Regulatory Organizations; NYSE National, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Its Rules To Add New Rule 7.19 2020-05-26T00:00:00-07:00 2020-05-26T00:00:00-07:00 2020-11136 Notice https://www.govinfo.gov/content/pkg/FR-2020-05-26/pdf/2020-11136.pdf https://regulations.justia.com/regulations/fedreg/2020/05/26/2020-11135.html Notice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Its Rules To Add New Rule 7.19-E 2020-05-26T00:00:00-07:00 2020-05-26T00:00:00-07:00 2020-11135 Notice https://www.govinfo.gov/content/pkg/FR-2020-05-26/pdf/2020-11135.pdf https://regulations.justia.com/regulations/fedreg/2020/05/26/2020-11134.html Notice - Self-Regulatory Organizations; NYSE Chicago, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Its Rules To Add New Rule 7.19 2020-05-26T00:00:00-07:00 2020-05-26T00:00:00-07:00 2020-11134 Notice https://www.govinfo.gov/content/pkg/FR-2020-05-26/pdf/2020-11134.pdf https://regulations.justia.com/regulations/fedreg/2020/05/26/2020-11133.html Notice - Self-Regulatory Organizations; Cboe BYX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Certain Rules in Connection With the Exchange's Disciplinary Process 2020-05-26T00:00:00-07:00 2020-05-26T00:00:00-07:00 2020-11133 Notice https://www.govinfo.gov/content/pkg/FR-2020-05-26/pdf/2020-11133.pdf https://regulations.justia.com/regulations/fedreg/2020/05/22/2020-11216.html Notice - Sunshine Act Meeting; Cancellation 2020-05-22T00:00:00-07:00 2020-05-22T00:00:00-07:00 2020-11216 Notice https://www.govinfo.gov/content/pkg/FR-2020-05-22/pdf/2020-11216.pdf https://regulations.justia.com/regulations/fedreg/2020/05/22/2020-11143.html Notice - Sunshine Act Meetings 2020-05-22T00:00:00-07:00 2020-05-22T00:00:00-07:00 2020-11143 Notice https://www.govinfo.gov/content/pkg/FR-2020-05-22/pdf/2020-11143.pdf https://regulations.justia.com/regulations/fedreg/2020/05/22/2020-11122.html Notice - Self-Regulatory Organizations; The Options Clearing Corporation; Notice of Filing of Advance Notice Concerning Changes to The Options Clearing Corporation's Non-Bank Liquidity Facility Program as Part of Its Overall Liquidity Plan 2020-05-22T00:00:00-07:00 2020-05-22T00:00:00-07:00 2020-11122 Notice https://www.govinfo.gov/content/pkg/FR-2020-05-22/pdf/2020-11122.pdf https://regulations.justia.com/regulations/fedreg/2020/05/22/2020-11045.html Notice - Self-Regulatory Organizations; New York Stock Exchange LLC, NYSE American LLC, NYSE Arca, Inc., NYSE Chicago, Inc., and NYSE National, Inc.; Order Instituting Proceedings To Determine Whether To Approve or Disapprove Proposed Rule Changes To Establish a Wireless Fee Schedule Setting Forth Available Wireless Bandwidth Connections and Wireless Market Data Connections and Associated Fees 2020-05-22T00:00:00-07:00 2020-05-22T00:00:00-07:00 2020-11045 Notice https://www.govinfo.gov/content/pkg/FR-2020-05-22/pdf/2020-11045.pdf https://regulations.justia.com/regulations/fedreg/2020/05/22/2020-11044.html Notice - Self-Regulatory Organizations; Cboe EDGX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Certain Rules in Connection With the Exchange's Disciplinary Process 2020-05-22T00:00:00-07:00 2020-05-22T00:00:00-07:00 2020-11044 Notice https://www.govinfo.gov/content/pkg/FR-2020-05-22/pdf/2020-11044.pdf https://regulations.justia.com/regulations/fedreg/2020/05/22/2020-11043.html Notice - Self-Regulatory Organizations; Cboe EDGA Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Certain Rules in Connection With the Exchange's Disciplinary Process 2020-05-22T00:00:00-07:00 2020-05-22T00:00:00-07:00 2020-11043 Notice https://www.govinfo.gov/content/pkg/FR-2020-05-22/pdf/2020-11043.pdf https://regulations.justia.com/regulations/fedreg/2020/05/22/2020-11042.html Notice - Self-Regulatory Organizations; Cboe BZX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Certain Rules in Connection With the Exchange's Disciplinary Process 2020-05-22T00:00:00-07:00 2020-05-22T00:00:00-07:00 2020-11042 Notice https://www.govinfo.gov/content/pkg/FR-2020-05-22/pdf/2020-11042.pdf https://regulations.justia.com/regulations/fedreg/2020/05/22/2020-11041.html Notice - Self-Regulatory Organizations; BOX Exchange LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend IM-3120-2 to BOX Rule 3120 (“Position Limits”) To Increase Position Limits for Options on Certain Exchange-Traded Funds (“ETFs”), and Thereby Similarly Increase Exercise Limits Under IM-3140-1 for Certain ETFs 2020-05-22T00:00:00-07:00 2020-05-22T00:00:00-07:00 2020-11041 Notice https://www.govinfo.gov/content/pkg/FR-2020-05-22/pdf/2020-11041.pdf https://regulations.justia.com/regulations/fedreg/2020/05/22/2020-11040.html Notice - Self-Regulatory Organizations; Miami International Securities Exchange, LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Exchange Rule 307, Position Limits, and Exchange Rule 309, Exercise Limits, To Increase the Position and Exercise Limits on Certain Exchange-Traded Funds 2020-05-22T00:00:00-07:00 2020-05-22T00:00:00-07:00 2020-11040 Notice https://www.govinfo.gov/content/pkg/FR-2020-05-22/pdf/2020-11040.pdf https://regulations.justia.com/regulations/fedreg/2020/05/22/2020-11039.html Notice - Self-Regulatory Organizations; BOX Exchange LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend BOX Rule 7270 (Block Trades) To Add an Automatic Matching Feature to the Facilitation Auction Mechanism 2020-05-22T00:00:00-07:00 2020-05-22T00:00:00-07:00 2020-11039 Notice https://www.govinfo.gov/content/pkg/FR-2020-05-22/pdf/2020-11039.pdf https://regulations.justia.com/regulations/fedreg/2020/05/22/2020-11035.html Notice - Varagon Capital Corporation, et al. 2020-05-22T00:00:00-07:00 2020-05-22T00:00:00-07:00 2020-11035 Notice https://www.govinfo.gov/content/pkg/FR-2020-05-22/pdf/2020-11035.pdf https://regulations.justia.com/regulations/fedreg/2020/05/22/2020-11031.html Notice - Intention To Cancel Registration Pursuant to Section 203(H) of the Investment Advisers Act of 1940 2020-05-22T00:00:00-07:00 2020-05-22T00:00:00-07:00 2020-11031 Notice https://www.govinfo.gov/content/pkg/FR-2020-05-22/pdf/2020-11031.pdf https://regulations.justia.com/regulations/fedreg/2020/05/22/2020-10963.html Notice - Amendments to the National Market System Plan Governing the Consolidated Audit Trail 2020-05-22T00:00:00-07:00 2020-05-22T00:00:00-07:00 2020-10963 Notice https://www.govinfo.gov/content/pkg/FR-2020-05-22/pdf/2020-10963.pdf https://regulations.justia.com/regulations/fedreg/2020/05/21/2020-10935.html 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 Commentaries to Rules 7.35, 7.35A, 7.35B, and 7.35C 2020-05-21T00:00:00-07:00 2020-05-21T00:00:00-07:00 2020-10935 Notice https://www.govinfo.gov/content/pkg/FR-2020-05-21/pdf/2020-10935.pdf https://regulations.justia.com/regulations/fedreg/2020/05/21/2020-10934.html Notice - Self-Regulatory Organizations; BOX Exchange LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the Fee Schedule on the BOX Options Market LLC (“BOX”) Facility To Remove the Pricing Changes That Were in Effect While the Trading Floor Was Inoperable 2020-05-21T00:00:00-07:00 2020-05-21T00:00:00-07:00 2020-10934 Notice https://www.govinfo.gov/content/pkg/FR-2020-05-21/pdf/2020-10934.pdf https://regulations.justia.com/regulations/fedreg/2020/05/21/2020-10933.html Notice - Self-Regulatory Organizations; Cboe BZX Exchange, Inc.; Notice of Designation of a Longer Period for Commission Action on a Proposed Rule Change, as Modified by Amendment No. 1, To List and Trade Shares of the JPMorgan Large Cap Growth ETF Under BZX Rule 14.11(k), Managed Portfolio Shares 2020-05-21T00:00:00-07:00 2020-05-21T00:00:00-07:00 2020-10933 Notice https://www.govinfo.gov/content/pkg/FR-2020-05-21/pdf/2020-10933.pdf https://regulations.justia.com/regulations/fedreg/2020/05/21/2020-10932.html Notice - Self-Regulatory Organizations; Cboe BZX Exchange, Inc.; Notice of Filing of Amendment No. 5 and Order Granting Accelerated Approval of a Proposed Rule Change, as Modified by Amendment No. 5, To Adopt Rule 14.11(m), Tracking Fund Shares, and To List and Trade Shares of the Fidelity Blue Chip Value ETF, Fidelity Blue Chip Growth ETF, and Fidelity New Millennium ETF 2020-05-21T00:00:00-07:00 2020-05-21T00:00:00-07:00 2020-10932 Notice https://www.govinfo.gov/content/pkg/FR-2020-05-21/pdf/2020-10932.pdf https://regulations.justia.com/regulations/fedreg/2020/05/21/2020-10931.html Notice - Self-Regulatory Organizations; Cboe Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Rule 5.24 2020-05-21T00:00:00-07:00 2020-05-21T00:00:00-07:00 2020-10931 Notice https://www.govinfo.gov/content/pkg/FR-2020-05-21/pdf/2020-10931.pdf https://regulations.justia.com/regulations/fedreg/2020/05/21/2020-10930.html Notice - Self-Regulatory Organizations; National Securities Clearing Corporation; Notice of Designation of Longer Period for Commission Action on a Proposed Rule Change To Enhance National Securities Clearing Corporation's Haircut-Based Volatility Charge Applicable to Illiquid Securities and UITs and Make Certain Other Changes to Procedure XV 2020-05-21T00:00:00-07:00 2020-05-21T00:00:00-07:00 2020-10930 Notice https://www.govinfo.gov/content/pkg/FR-2020-05-21/pdf/2020-10930.pdf https://regulations.justia.com/regulations/fedreg/2020/05/21/2020-10929.html Notice - Order Granting a Conditional Exemption From Exchange Act Section 11(d)(1) for Certain Asset Backed Securities and Other Collateral 2020-05-21T00:00:00-07:00 2020-05-21T00:00:00-07:00 2020-10929 Notice https://www.govinfo.gov/content/pkg/FR-2020-05-21/pdf/2020-10929.pdf https://regulations.justia.com/regulations/fedreg/2020/05/21/2020-10928.html Notice - Self-Regulatory Organizations; Cboe Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Its Fees Schedule 2020-05-21T00:00:00-07:00 2020-05-21T00:00:00-07:00 2020-10928 Notice https://www.govinfo.gov/content/pkg/FR-2020-05-21/pdf/2020-10928.pdf https://regulations.justia.com/regulations/fedreg/2020/05/21/2020-10927.html Notice - Self-Regulatory Organizations; BOX Exchange LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the Fee Schedule on the BOX Options Market LLC (“BOX”) Facility To Amend Section I.D., Qualified Contingent Cross Transactions 2020-05-21T00:00:00-07:00 2020-05-21T00:00:00-07:00 2020-10927 Notice https://www.govinfo.gov/content/pkg/FR-2020-05-21/pdf/2020-10927.pdf https://regulations.justia.com/regulations/fedreg/2020/05/21/2020-10926.html Notice - Self-Regulatory Organizations; NYSE Chicago, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Extend the Temporary Relief Granted to Institutional Brokers to Report Non-Tape, Clearing-Only Submissions Into the Exchange's Systems to June 30, 2020 (or Earlier) 2020-05-21T00:00:00-07:00 2020-05-21T00:00:00-07:00 2020-10926 Notice https://www.govinfo.gov/content/pkg/FR-2020-05-21/pdf/2020-10926.pdf https://regulations.justia.com/regulations/fedreg/2020/05/20/2020-10881.html Notice - Submission for OMB Review; Comment Request 2020-05-20T00:00:00-07:00 2020-05-20T00:00:00-07:00 2020-10881 Notice https://www.govinfo.gov/content/pkg/FR-2020-05-20/pdf/2020-10881.pdf https://regulations.justia.com/regulations/fedreg/2020/05/20/2020-10880.html Notice - Submission for OMB Review; Comment Request 2020-05-20T00:00:00-07:00 2020-05-20T00:00:00-07:00 2020-10880 Notice https://www.govinfo.gov/content/pkg/FR-2020-05-20/pdf/2020-10880.pdf https://regulations.justia.com/regulations/fedreg/2020/05/20/2020-10876.html Notice - Submission for OMB Review; Comment Request 2020-05-20T00:00:00-07:00 2020-05-20T00:00:00-07:00 2020-10876 Notice https://www.govinfo.gov/content/pkg/FR-2020-05-20/pdf/2020-10876.pdf https://regulations.justia.com/regulations/fedreg/2020/05/20/2020-10875.html Notice - Proposed Collection; Comment Request 2020-05-20T00:00:00-07:00 2020-05-20T00:00:00-07:00 2020-10875 Notice https://www.govinfo.gov/content/pkg/FR-2020-05-20/pdf/2020-10875.pdf https://regulations.justia.com/regulations/fedreg/2020/05/20/2020-10821.html Notice - Self-Regulatory Organizations; NYSE American LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Its Rules To Add New Rule 7.19E 2020-05-20T00:00:00-07:00 2020-05-20T00:00:00-07:00 2020-10821 Notice https://www.govinfo.gov/content/pkg/FR-2020-05-20/pdf/2020-10821.pdf https://regulations.justia.com/regulations/fedreg/2020/05/20/2020-10820.html Notice - Self-Regulatory Organizations; Cboe Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the Silexx Trading Platform Fees Schedule 2020-05-20T00:00:00-07:00 2020-05-20T00:00:00-07:00 2020-10820 Notice https://www.govinfo.gov/content/pkg/FR-2020-05-20/pdf/2020-10820.pdf https://regulations.justia.com/regulations/fedreg/2020/05/20/2020-10819.html Notice - Self-Regulatory Organizations; Cboe EDGX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Its Fees Schedule 2020-05-20T00:00:00-07:00 2020-05-20T00:00:00-07:00 2020-10819 Notice https://www.govinfo.gov/content/pkg/FR-2020-05-20/pdf/2020-10819.pdf https://regulations.justia.com/regulations/fedreg/2020/05/20/2020-10818.html Notice - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Adopt New Section 312.03T of the NYSE Listed Company Manual To Provide a Temporary Exception Through June 30, 2020 From the Application of Certain Shareholder Approval Requirements Set Forth in Sections 312.03 and 303A.08 of the Manual 2020-05-20T00:00:00-07:00 2020-05-20T00:00:00-07:00 2020-10818 Notice https://www.govinfo.gov/content/pkg/FR-2020-05-20/pdf/2020-10818.pdf https://regulations.justia.com/regulations/fedreg/2020/05/20/2020-10817.html Notice - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend its Price List 2020-05-20T00:00:00-07:00 2020-05-20T00:00:00-07:00 2020-10817 Notice https://www.govinfo.gov/content/pkg/FR-2020-05-20/pdf/2020-10817.pdf https://regulations.justia.com/regulations/fedreg/2020/05/20/2020-10816.html Notice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Modifying the NYSE Arca Options Fee Schedule Regarding Pricing Incentives for Certain Posted Volume 2020-05-20T00:00:00-07:00 2020-05-20T00:00:00-07:00 2020-10816 Notice https://www.govinfo.gov/content/pkg/FR-2020-05-20/pdf/2020-10816.pdf https://regulations.justia.com/regulations/fedreg/2020/05/20/2020-10815.html Notice - Self-Regulatory Organizations; Miami International Securities Exchange, LLC; Notice of Filing of a Proposed Rule Change To Amend Exchange Rule 518, Complex Orders, To Adopt New Interpretation and Policy .08, Related Futures Cross (“RFC”) Order Type 2020-05-20T00:00:00-07:00 2020-05-20T00:00:00-07:00 2020-10815 Notice https://www.govinfo.gov/content/pkg/FR-2020-05-20/pdf/2020-10815.pdf https://regulations.justia.com/regulations/fedreg/2020/05/20/2020-10814.html Notice - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing and Order Granting Accelerated Approval of a Proposed Rule Change To Add FINRA Rule 6800 Series (Consolidated Audit Trail Compliance Rule) to FINRA's Minor Rule Violation Plan (“MRVP”) 2020-05-20T00:00:00-07:00 2020-05-20T00:00:00-07:00 2020-10814 Notice https://www.govinfo.gov/content/pkg/FR-2020-05-20/pdf/2020-10814.pdf https://regulations.justia.com/regulations/fedreg/2020/05/20/2020-10813.html Notice - Self-Regulatory Organizations; NYSE American LLC; Notice of Filing and Immediate Effectiveness of Proposed Change To Amend Its Price List To Offer New Credits 2020-05-20T00:00:00-07:00 2020-05-20T00:00:00-07:00 2020-10813 Notice https://www.govinfo.gov/content/pkg/FR-2020-05-20/pdf/2020-10813.pdf https://regulations.justia.com/regulations/fedreg/2020/05/20/2020-10812.html Notice - Self-Regulatory Organizations; The Nasdaq Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Modify the Implementation Date for a Recent Rule Change Modifying the Delisting Process for Certain Securities With a Bid Price at or Below $0.10 or That Have Had Reverse Stock Splits With a Cumulative Ratio of 250 or More to One Over the Prior Two-Year Period 2020-05-20T00:00:00-07:00 2020-05-20T00:00:00-07:00 2020-10812 Notice https://www.govinfo.gov/content/pkg/FR-2020-05-20/pdf/2020-10812.pdf https://regulations.justia.com/regulations/fedreg/2020/05/19/2020-10770.html Notice - Order Designating Financial Industry Regulatory Authority, Inc., To Receive Form X-17A-5 (FOCUS Report) From Certain Security-Based Swap Dealers and Major Security-Based Swap Participants 2020-05-19T00:00:00-07:00 2020-05-19T00:00:00-07:00 2020-10770 Notice https://www.govinfo.gov/content/pkg/FR-2020-05-19/pdf/2020-10770.pdf https://regulations.justia.com/regulations/fedreg/2020/05/19/2020-10652.html Notice - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Withdrawal of a Proposed Rule Change To Permit the Exchange To List and Trade Exchange Traded Products 2020-05-19T00:00:00-07:00 2020-05-19T00:00:00-07:00 2020-10652 Notice https://www.govinfo.gov/content/pkg/FR-2020-05-19/pdf/2020-10652.pdf https://regulations.justia.com/regulations/fedreg/2020/05/18/C2-2020-05526.html Rule - Updated Disclosure Requirements and Summary Prospectus for Variable Annuity and Variable Life Insurance Contracts 2020-05-18T00:00:00-07:00 2020-05-18T00:00:00-07:00 C2-2020-05526 Rule https://www.govinfo.gov/content/pkg/FR-2020-05-18/pdf/C2-2020-05526.pdf https://regulations.justia.com/regulations/fedreg/2020/05/18/2020-10714.html Notice - Sunshine Act Meetings 2020-05-18T00:00:00-07:00 2020-05-18T00:00:00-07:00 2020-10714 Notice https://www.govinfo.gov/content/pkg/FR-2020-05-18/pdf/2020-10714.pdf https://regulations.justia.com/regulations/fedreg/2020/05/18/2020-10519.html Notice - Self-Regulatory Organizations; MIAX PEARL, LLC; Notice of Filing of Amendment No. 1 and Order Instituting Proceedings To Determine Whether To Approve or Disapprove a Proposed Rule Change, as Modified by Amendment No. 1, To Establish Rules Governing the Trading of Equity Securities 2020-05-18T00:00:00-07:00 2020-05-18T00:00:00-07:00 2020-10519 Notice https://www.govinfo.gov/content/pkg/FR-2020-05-18/pdf/2020-10519.pdf https://regulations.justia.com/regulations/fedreg/2020/05/18/2020-10518.html Notice - Self-Regulatory Organizations; Nasdaq BX, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the Exchange's Transaction Credits and Fees, at Equity 7, Section 118(a) 2020-05-18T00:00:00-07:00 2020-05-18T00:00:00-07:00 2020-10518 Notice https://www.govinfo.gov/content/pkg/FR-2020-05-18/pdf/2020-10518.pdf https://regulations.justia.com/regulations/fedreg/2020/05/18/2020-10517.html Notice - Self-Regulatory Organizations; Nasdaq PHLX LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Phlx's Pricing Schedule at Options 7, Section 4 2020-05-18T00:00:00-07:00 2020-05-18T00:00:00-07:00 2020-10517 Notice https://www.govinfo.gov/content/pkg/FR-2020-05-18/pdf/2020-10517.pdf https://regulations.justia.com/regulations/fedreg/2020/05/15/2020-10393.html Notice - Self-Regulatory Organizations; The Nasdaq Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Certain Internal Cross-References in General 5, Discipline 2020-05-15T00:00:00-07:00 2020-05-15T00:00:00-07:00 2020-10393 Notice https://www.govinfo.gov/content/pkg/FR-2020-05-15/pdf/2020-10393.pdf https://regulations.justia.com/regulations/fedreg/2020/05/15/2020-10392.html 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 2020-05-15T00:00:00-07:00 2020-05-15T00:00:00-07:00 2020-10392 Notice https://www.govinfo.gov/content/pkg/FR-2020-05-15/pdf/2020-10392.pdf https://regulations.justia.com/regulations/fedreg/2020/05/14/2020-10289.html Notice - Self-Regulatory Organizations; Cboe BYX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Adopting Rule 14.12 Governing the Trading, Pursuant to Unlisted Trading Privileges, of Exchange-Traded Fund Shares 2020-05-14T00:00:00-07:00 2020-05-14T00:00:00-07:00 2020-10289 Notice https://www.govinfo.gov/content/pkg/FR-2020-05-14/pdf/2020-10289.pdf https://regulations.justia.com/regulations/fedreg/2020/05/14/2020-10288.html Notice - Self-Regulatory Organizations; Cboe EDGA Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Adopting Rule 14.12 Governing the Trading, Pursuant to Unlisted Trading Privileges, of Exchange-Traded Fund Shares 2020-05-14T00:00:00-07:00 2020-05-14T00:00:00-07:00 2020-10288 Notice https://www.govinfo.gov/content/pkg/FR-2020-05-14/pdf/2020-10288.pdf https://regulations.justia.com/regulations/fedreg/2020/05/14/2020-10287.html Notice - Self-Regulatory Organizations; Cboe EDGX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Adopting Rule 14.12 Governing the Trading, Pursuant to Unlisted Trading Privileges, of Exchange-Traded Fund Shares 2020-05-14T00:00:00-07:00 2020-05-14T00:00:00-07:00 2020-10287 Notice https://www.govinfo.gov/content/pkg/FR-2020-05-14/pdf/2020-10287.pdf https://regulations.justia.com/regulations/fedreg/2020/05/14/2020-10286.html Notice - Self-Regulatory Organizations; NYSE American LLC; Notice of Filing and Immediate Effectiveness of Proposed Change Modifying the NYSE American Options Fee Schedule 2020-05-14T00:00:00-07:00 2020-05-14T00:00:00-07:00 2020-10286 Notice https://www.govinfo.gov/content/pkg/FR-2020-05-14/pdf/2020-10286.pdf https://regulations.justia.com/regulations/fedreg/2020/05/14/2020-10285.html Notice - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend FINRA Rule 9231 To Provide for the Compensation of All Panelists That Serve in Connection With a FINRA Disciplinary Hearing 2020-05-14T00:00:00-07:00 2020-05-14T00:00:00-07:00 2020-10285 Notice https://www.govinfo.gov/content/pkg/FR-2020-05-14/pdf/2020-10285.pdf https://regulations.justia.com/regulations/fedreg/2020/05/14/2020-10284.html Notice - Self-Regulatory Organizations; The Nasdaq Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Eliminate a Transitional Rule That Has Expired Related to Nasdaq Global and Global Select Markets Entry Fees 2020-05-14T00:00:00-07:00 2020-05-14T00:00:00-07:00 2020-10284 Notice https://www.govinfo.gov/content/pkg/FR-2020-05-14/pdf/2020-10284.pdf https://regulations.justia.com/regulations/fedreg/2020/05/14/2020-07905.html Rule - Definition of “Covered Clearing Agency” 2020-05-14T00:00:00-07:00 2020-05-14T00:00:00-07:00 2020-07905 Rule https://www.govinfo.gov/content/pkg/FR-2020-05-14/pdf/2020-07905.pdf https://regulations.justia.com/regulations/fedreg/2020/05/13/C1-2020-05526.html Rule - Updated Disclosure Requirements and Summary Prospectus for Variable Annuity and Variable Life Insurance Contracts 2020-05-13T00:00:00-07:00 2020-05-13T00:00:00-07:00 C1-2020-05526 Rule https://www.govinfo.gov/content/pkg/FR-2020-05-13/pdf/C1-2020-05526.pdf https://regulations.justia.com/regulations/fedreg/2020/05/13/2020-10277.html Notice - Proposed Collection; Comment Request 2020-05-13T00:00:00-07:00 2020-05-13T00:00:00-07:00 2020-10277 Notice https://www.govinfo.gov/content/pkg/FR-2020-05-13/pdf/2020-10277.pdf https://regulations.justia.com/regulations/fedreg/2020/05/13/2020-10276.html Notice - Proposed Collection; Comment Request 2020-05-13T00:00:00-07:00 2020-05-13T00:00:00-07:00 2020-10276 Notice https://www.govinfo.gov/content/pkg/FR-2020-05-13/pdf/2020-10276.pdf https://regulations.justia.com/regulations/fedreg/2020/05/13/2020-10275.html Notice - Proposed Collection; Comment Request 2020-05-13T00:00:00-07:00 2020-05-13T00:00:00-07:00 2020-10275 Notice https://www.govinfo.gov/content/pkg/FR-2020-05-13/pdf/2020-10275.pdf https://regulations.justia.com/regulations/fedreg/2020/05/13/2020-10262.html Notice - Fixed Income Market Structure Advisory Committee 2020-05-13T00:00:00-07:00 2020-05-13T00:00:00-07:00 2020-10262 Notice https://www.govinfo.gov/content/pkg/FR-2020-05-13/pdf/2020-10262.pdf https://regulations.justia.com/regulations/fedreg/2020/05/13/2020-10239.html Notice - Proposed Collection; Comment Request 2020-05-13T00:00:00-07:00 2020-05-13T00:00:00-07:00 2020-10239 Notice https://www.govinfo.gov/content/pkg/FR-2020-05-13/pdf/2020-10239.pdf https://regulations.justia.com/regulations/fedreg/2020/05/13/2020-10223.html Notice - Self-Regulatory Organizations; New York Stock Exchange LLC; NYSE National, Inc.; NYSE Arca, Inc.; NYSE American LLC; Order Granting Approval of a Proposed Rule Change, as Modified by Amendment No. 1, To Amend the Exchanges' Co-Location Services To Offer Co-Location Users Access to the NMS Network 2020-05-13T00:00:00-07:00 2020-05-13T00:00:00-07:00 2020-10223 Notice https://www.govinfo.gov/content/pkg/FR-2020-05-13/pdf/2020-10223.pdf https://regulations.justia.com/regulations/fedreg/2020/05/13/2020-10219.html 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 2020-05-13T00:00:00-07:00 2020-05-13T00:00:00-07:00 2020-10219 Notice https://www.govinfo.gov/content/pkg/FR-2020-05-13/pdf/2020-10219.pdf https://regulations.justia.com/regulations/fedreg/2020/05/13/2020-10217.html Notice - Self-Regulatory Organizations; Cboe Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating To Amend Its Fees Schedule 2020-05-13T00:00:00-07:00 2020-05-13T00:00:00-07:00 2020-10217 Notice https://www.govinfo.gov/content/pkg/FR-2020-05-13/pdf/2020-10217.pdf https://regulations.justia.com/regulations/fedreg/2020/05/13/2020-10216.html Notice - Self-Regulatory Organizations; NYSE American LLC; Notice of Filing and Immediate Effectiveness of Proposed Change To Amend the NYSE American Options Fee Schedule 2020-05-13T00:00:00-07:00 2020-05-13T00:00:00-07:00 2020-10216 Notice https://www.govinfo.gov/content/pkg/FR-2020-05-13/pdf/2020-10216.pdf https://regulations.justia.com/regulations/fedreg/2020/05/13/2020-10041.html Notice - Order Directing the Exchanges and the Financial Industry Regulatory Authority To Submit a New National Market System Plan Regarding Consolidated Equity Market Data 2020-05-13T00:00:00-07:00 2020-05-13T00:00:00-07:00 2020-10041 Notice https://www.govinfo.gov/content/pkg/FR-2020-05-13/pdf/2020-10041.pdf https://regulations.justia.com/regulations/fedreg/2020/05/13/2020-08854.html Proposed Rule - Good Faith Determinations of Fair Value 2020-05-13T00:00:00-07:00 2020-05-13T00:00:00-07:00 2020-08854 Proposed Rule https://www.govinfo.gov/content/pkg/FR-2020-05-13/pdf/2020-08854.pdf https://regulations.justia.com/regulations/fedreg/2020/05/12/2020-10068.html Notice - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Add Commentary .02 to Rule 7.35B 2020-05-12T00:00:00-07:00 2020-05-12T00:00:00-07:00 2020-10068 Notice https://www.govinfo.gov/content/pkg/FR-2020-05-12/pdf/2020-10068.pdf https://regulations.justia.com/regulations/fedreg/2020/05/12/2020-10061.html Notice - Self-Regulatory Organizations; Municipal Securities Rulemaking Board; Notice of Filing of a Proposed Rule Change To Align Certain MSRB Rules to Securities Exchange Act Rule 15l-1, Regulation Best Interest 2020-05-12T00:00:00-07:00 2020-05-12T00:00:00-07:00 2020-10061 Notice https://www.govinfo.gov/content/pkg/FR-2020-05-12/pdf/2020-10061.pdf https://regulations.justia.com/regulations/fedreg/2020/05/12/2020-10060.html Notice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing of Proposed Rule Change, as Modified by Amendment No. 1, Regarding Investments of the PIMCO Enhanced Short Maturity Active ESG Exchange-Traded Fund 2020-05-12T00:00:00-07:00 2020-05-12T00:00:00-07:00 2020-10060 Notice https://www.govinfo.gov/content/pkg/FR-2020-05-12/pdf/2020-10060.pdf https://regulations.justia.com/regulations/fedreg/2020/05/12/2020-10058.html Notice - Self-Regulatory Organizations; Cboe BYX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Provide Members Certain Optional Risk Settings Under Proposed Interpretation and Policy .03 of Rule 11.13 2020-05-12T00:00:00-07:00 2020-05-12T00:00:00-07:00 2020-10058 Notice https://www.govinfo.gov/content/pkg/FR-2020-05-12/pdf/2020-10058.pdf https://regulations.justia.com/regulations/fedreg/2020/05/12/2020-10057.html Notice - Self-Regulatory Organizations; Investors Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Modify the IEX Fee Schedule, Pursuant to IEX Rule 15.110(a) and (c), To Clarify the Circumstances in Which IEX Offers Certain Physical Port Connections 2020-05-12T00:00:00-07:00 2020-05-12T00:00:00-07:00 2020-10057 Notice https://www.govinfo.gov/content/pkg/FR-2020-05-12/pdf/2020-10057.pdf https://regulations.justia.com/regulations/fedreg/2020/05/12/2020-10056.html Notice - Self-Regulatory Organizations; Cboe EDGX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating To Amend Its Definition of Bulk Messages in Rule 16.1 and Amend Rule 21.1(j)(3) 2020-05-12T00:00:00-07:00 2020-05-12T00:00:00-07:00 2020-10056 Notice https://www.govinfo.gov/content/pkg/FR-2020-05-12/pdf/2020-10056.pdf https://regulations.justia.com/regulations/fedreg/2020/05/12/2020-10055.html Notice - Self-Regulatory Organizations; Cboe BZX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating To Amend Its Definition of Bulk Messages in Rule 16.1 and Amend Rule 21.1(l)(3) 2020-05-12T00:00:00-07:00 2020-05-12T00:00:00-07:00 2020-10055 Notice https://www.govinfo.gov/content/pkg/FR-2020-05-12/pdf/2020-10055.pdf https://regulations.justia.com/regulations/fedreg/2020/05/12/2020-10054.html Notice - Self-Regulatory Organizations; Cboe Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating To Amend Its Definition of Bulk Messages in Rule 1.1 and Amend Rule 5.5(c)(3) 2020-05-12T00:00:00-07:00 2020-05-12T00:00:00-07:00 2020-10054 Notice https://www.govinfo.gov/content/pkg/FR-2020-05-12/pdf/2020-10054.pdf https://regulations.justia.com/regulations/fedreg/2020/05/12/2020-10040.html Notice - Joint Industry Plan; Order Approving the Forty-Seventh 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, as Modified by the Commission, Concerning a Confidentiality Policy 2020-05-12T00:00:00-07:00 2020-05-12T00:00:00-07:00 2020-10040 Notice https://www.govinfo.gov/content/pkg/FR-2020-05-12/pdf/2020-10040.pdf https://regulations.justia.com/regulations/fedreg/2020/05/12/2020-10039.html Notice - Consolidated Tape Association; Order Approving the Thirty-Third Substantive Amendment to the Second Restatement of the CTA Plan and Twenty-Fourth Substantive Amendment to the Restated CQ Plan, as Modified by the Commission, Concerning a Confidentiality Policy 2020-05-12T00:00:00-07:00 2020-05-12T00:00:00-07:00 2020-10039 Notice https://www.govinfo.gov/content/pkg/FR-2020-05-12/pdf/2020-10039.pdf https://regulations.justia.com/regulations/fedreg/2020/05/12/2020-10038.html Notice - Joint Industry Plan; Order Approving the Forty-Fourth 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, as Modified by the Commission, Concerning Conflicts of Interest 2020-05-12T00:00:00-07:00 2020-05-12T00:00:00-07:00 2020-10038 Notice https://www.govinfo.gov/content/pkg/FR-2020-05-12/pdf/2020-10038.pdf https://regulations.justia.com/regulations/fedreg/2020/05/12/2020-10037.html Notice - Consolidated Tape Association; Order Approving the Thirtieth Substantive Amendment to the Second Restatement of the CTA Plan and Twenty-Second Substantive Amendment to the Restated CQ Plan, as Modified by the Commission, Concerning Conflicts of Interest 2020-05-12T00:00:00-07:00 2020-05-12T00:00:00-07:00 2020-10037 Notice https://www.govinfo.gov/content/pkg/FR-2020-05-12/pdf/2020-10037.pdf https://regulations.justia.com/regulations/fedreg/2020/05/11/2020-09959.html Notice - Self-Regulatory Organizations; The Nasdaq Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Modify the Operative Date of SR-NASDAQ-2020-012 2020-05-11T00:00:00-07:00 2020-05-11T00:00:00-07:00 2020-09959 Notice https://www.govinfo.gov/content/pkg/FR-2020-05-11/pdf/2020-09959.pdf https://regulations.justia.com/regulations/fedreg/2020/05/11/2020-09956.html Notice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Modify the NYSE Arca Options Fee Schedule 2020-05-11T00:00:00-07:00 2020-05-11T00:00:00-07:00 2020-09956 Notice https://www.govinfo.gov/content/pkg/FR-2020-05-11/pdf/2020-09956.pdf https://regulations.justia.com/regulations/fedreg/2020/05/11/2020-09955.html Notice - Self-Regulatory Organizations; Cboe C2 Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating To Amend its Definition of Bulk Messages in Rule 1.1 and Amend Rule 6.8(c)(3) 2020-05-11T00:00:00-07:00 2020-05-11T00:00:00-07:00 2020-09955 Notice https://www.govinfo.gov/content/pkg/FR-2020-05-11/pdf/2020-09955.pdf https://regulations.justia.com/regulations/fedreg/2020/05/11/2020-09954.html Notice - Self-Regulatory Organizations; BOX Exchange LLC; Notice of Filing of Proposed Rule Change To Adopt New Rule Regarding Transfer of Positions 2020-05-11T00:00:00-07:00 2020-05-11T00:00:00-07:00 2020-09954 Notice https://www.govinfo.gov/content/pkg/FR-2020-05-11/pdf/2020-09954.pdf https://regulations.justia.com/regulations/fedreg/2020/05/08/2020-10049.html Notice - Sunshine Act Meetings 2020-05-08T00:00:00-07:00 2020-05-08T00:00:00-07:00 2020-10049 Notice https://www.govinfo.gov/content/pkg/FR-2020-05-08/pdf/2020-10049.pdf https://regulations.justia.com/regulations/fedreg/2020/05/08/2020-09872.html Notice - Self-Regulatory Organizations; The Options Clearing Corporation; Notice of Filing of Advance Notice Related To Proposed Changes to The Options Clearing Corporation's Framework for Liquidity Risk Management 2020-05-08T00:00:00-07:00 2020-05-08T00:00:00-07:00 2020-09872 Notice https://www.govinfo.gov/content/pkg/FR-2020-05-08/pdf/2020-09872.pdf https://regulations.justia.com/regulations/fedreg/2020/05/08/2020-09862.html Notice - Asset Management Advisory Committee; Meeting 2020-05-08T00:00:00-07:00 2020-05-08T00:00:00-07:00 2020-09862 Notice https://www.govinfo.gov/content/pkg/FR-2020-05-08/pdf/2020-09862.pdf https://regulations.justia.com/regulations/fedreg/2020/05/08/2020-09861.html Notice - In the Matter of the Application of MEMX LLC for Registration as a National Securities Exchange Findings, Opinion, and Order of the Commission 2020-05-08T00:00:00-07:00 2020-05-08T00:00:00-07:00 2020-09861 Notice https://www.govinfo.gov/content/pkg/FR-2020-05-08/pdf/2020-09861.pdf https://regulations.justia.com/regulations/fedreg/2020/05/08/2020-09827.html Notice - Self-Regulatory Organizations; The Nasdaq Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Provide Listed Companies With a Temporary Limited Exception From Certain Shareholder Approval Requirements in Nasdaq Rules 5635(c) and (d) 2020-05-08T00:00:00-07:00 2020-05-08T00:00:00-07:00 2020-09827 Notice https://www.govinfo.gov/content/pkg/FR-2020-05-08/pdf/2020-09827.pdf https://regulations.justia.com/regulations/fedreg/2020/05/07/2020-09806.html Rule - Temporary Amendments to Regulation Crowdfunding 2020-05-07T00:00:00-07:00 2020-05-07T00:00:00-07:00 2020-09806 Rule https://www.govinfo.gov/content/pkg/FR-2020-05-07/pdf/2020-09806.pdf https://regulations.justia.com/regulations/fedreg/2020/05/07/2020-09797.html Notice - Proposed Collection; Comment Request 2020-05-07T00:00:00-07:00 2020-05-07T00:00:00-07:00 2020-09797 Notice https://www.govinfo.gov/content/pkg/FR-2020-05-07/pdf/2020-09797.pdf https://regulations.justia.com/regulations/fedreg/2020/05/07/2020-09796.html Notice - Proposed Collection; Comment Request 2020-05-07T00:00:00-07:00 2020-05-07T00:00:00-07:00 2020-09796 Notice https://www.govinfo.gov/content/pkg/FR-2020-05-07/pdf/2020-09796.pdf https://regulations.justia.com/regulations/fedreg/2020/05/07/2020-09712.html Notice - Self-Regulatory Organizations; Cboe BZX Exchange, Inc.; Notice of Filing of a Proposed Rule Change To Amend Rule 14.11, Other Securities 2020-05-07T00:00:00-07:00 2020-05-07T00:00:00-07:00 2020-09712 Notice https://www.govinfo.gov/content/pkg/FR-2020-05-07/pdf/2020-09712.pdf https://regulations.justia.com/regulations/fedreg/2020/05/07/2020-09711.html Notice - Self-Regulatory Organizations; New York Stock Exchange LLC; NYSE National, Inc.; NYSE Arca, Inc.; NYSE American LLC; NYSE Chicago, Inc.; Order Granting Approval of Proposed Rule Changes Relating to Repricing of Depth-of-Book Orders in Response to a Locked or Crossed Market 2020-05-07T00:00:00-07:00 2020-05-07T00:00:00-07:00 2020-09711 Notice https://www.govinfo.gov/content/pkg/FR-2020-05-07/pdf/2020-09711.pdf https://regulations.justia.com/regulations/fedreg/2020/05/07/2020-09708.html Notice - Notice of Intention To Cancel Registration Pursuant to Section 203(H) of the Investment Advisers Act of 1940 2020-05-07T00:00:00-07:00 2020-05-07T00:00:00-07:00 2020-09708 Notice https://www.govinfo.gov/content/pkg/FR-2020-05-07/pdf/2020-09708.pdf https://regulations.justia.com/regulations/fedreg/2020/05/06/2020-09662.html Notice - Investor Advisory Committee Meeting 2020-05-06T00:00:00-07:00 2020-05-06T00:00:00-07:00 2020-09662 Notice https://www.govinfo.gov/content/pkg/FR-2020-05-06/pdf/2020-09662.pdf https://regulations.justia.com/regulations/fedreg/2020/05/06/2020-09639.html Notice - Self-Regulatory Organizations; Cboe EDGX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Provide Members Certain Optional Risk Settings Under Proposed Interpretation and Policy .03 of Rule 11.10 2020-05-06T00:00:00-07:00 2020-05-06T00:00:00-07:00 2020-09639 Notice https://www.govinfo.gov/content/pkg/FR-2020-05-06/pdf/2020-09639.pdf https://regulations.justia.com/regulations/fedreg/2020/05/06/2020-09638.html Notice - Self-Regulatory Organizations; Cboe Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Rule 6.9 To Permit In-Kind Transfers of Positions Off of the Exchange in Connection With Unit Investment Trusts (“UITs”) 2020-05-06T00:00:00-07:00 2020-05-06T00:00:00-07:00 2020-09638 Notice https://www.govinfo.gov/content/pkg/FR-2020-05-06/pdf/2020-09638.pdf https://regulations.justia.com/regulations/fedreg/2020/05/06/2020-09637.html Notice - Self-Regulatory Organizations; Cboe BZX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the Fees Applicable to Securities Listed on the Exchange, Which Are Set Forth in BZX Rule 14.13 (Company Listing Fees) 2020-05-06T00:00:00-07:00 2020-05-06T00:00:00-07:00 2020-09637 Notice https://www.govinfo.gov/content/pkg/FR-2020-05-06/pdf/2020-09637.pdf https://regulations.justia.com/regulations/fedreg/2020/05/06/2020-09635.html Notice - Self-Regulatory Organizations; Cboe BZX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Extend the Pilot Programs in Connection With the Listing and Trading of P.M.-Settled Series on Certain Broad-Based Index Options 2020-05-06T00:00:00-07:00 2020-05-06T00:00:00-07:00 2020-09635 Notice https://www.govinfo.gov/content/pkg/FR-2020-05-06/pdf/2020-09635.pdf https://regulations.justia.com/regulations/fedreg/2020/05/06/2020-09634.html Notice - Self-Regulatory Organizations; Cboe EDGX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Extend the Pilot Programs in Connection With the Listing and Trading of P.M.-Settled Series on Certain Broad-Based Index Options 2020-05-06T00:00:00-07:00 2020-05-06T00:00:00-07:00 2020-09634 Notice https://www.govinfo.gov/content/pkg/FR-2020-05-06/pdf/2020-09634.pdf https://regulations.justia.com/regulations/fedreg/2020/05/06/2020-09632.html Notice - Self-Regulatory Organizations; Cboe Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Extend the Operation of Its Flexible Exchange Options (“FLEX Options”) PM Exercise Settlement Pilot Program for FLEX Index Options 2020-05-06T00:00:00-07:00 2020-05-06T00:00:00-07:00 2020-09632 Notice https://www.govinfo.gov/content/pkg/FR-2020-05-06/pdf/2020-09632.pdf https://regulations.justia.com/regulations/fedreg/2020/05/05/2020-09710.html Notice - Sunshine Act Meetings 2020-05-05T00:00:00-07:00 2020-05-05T00:00:00-07:00 2020-09710 Notice https://www.govinfo.gov/content/pkg/FR-2020-05-05/pdf/2020-09710.pdf https://regulations.justia.com/regulations/fedreg/2020/05/05/2020-09631.html Notice - Sunshine Act Meetings 2020-05-05T00:00:00-07:00 2020-05-05T00:00:00-07:00 2020-09631 Notice https://www.govinfo.gov/content/pkg/FR-2020-05-05/pdf/2020-09631.pdf https://regulations.justia.com/regulations/fedreg/2020/05/05/2020-09612.html Notice - USCF Advisers LLC, et al. 2020-05-05T00:00:00-07:00 2020-05-05T00:00:00-07:00 2020-09612 Notice https://www.govinfo.gov/content/pkg/FR-2020-05-05/pdf/2020-09612.pdf https://regulations.justia.com/regulations/fedreg/2020/05/05/2020-09528.html Notice - Self-Regulatory Organizations; New York Stock Exchange LLC; Order Approving a Proposed Rule Change To Amend Its Rules To Add New Rule 7.19 2020-05-05T00:00:00-07:00 2020-05-05T00:00:00-07:00 2020-09528 Notice https://www.govinfo.gov/content/pkg/FR-2020-05-05/pdf/2020-09528.pdf https://regulations.justia.com/regulations/fedreg/2020/05/05/2020-09527.html Notice - Self-Regulatory Organizations; ICE Clear Credit LLC; Order Instituting Proceedings To Determine Whether To Approve or Disapprove Proposed Rule Change Relating to the ICC Risk Management Model Description, ICC Stress Testing Framework, ICC Liquidity Risk Management Framework, ICC Back-Testing Framework, and ICC Risk Parameter Setting and Review Policy 2020-05-05T00:00:00-07:00 2020-05-05T00:00:00-07:00 2020-09527 Notice https://www.govinfo.gov/content/pkg/FR-2020-05-05/pdf/2020-09527.pdf https://regulations.justia.com/regulations/fedreg/2020/05/05/2020-09526.html Notice - Self-Regulatory Organizations; Cboe EDGX Exchange, Inc.; Order Instituting Proceedings To Determine Whether To Approve or Disapprove a Proposed Rule Change To Amend Certain Rules Within Rules 4.5 Through 4.16, Which Contains the Exchange's Compliance Rule (“Compliance Rule”) Regarding the National Market System Plan Governing the Consolidated Audit Trail (the “CAT NMS Plan” or “Plan”), To Be Consistent with Certain Proposed Amendments to and Exemptions From the CAT NMS Plan as Well as To Facilitate the Retirement of Certain Existing Regulatory Systems 2020-05-05T00:00:00-07:00 2020-05-05T00:00:00-07:00 2020-09526 Notice https://www.govinfo.gov/content/pkg/FR-2020-05-05/pdf/2020-09526.pdf https://regulations.justia.com/regulations/fedreg/2020/05/05/2020-09525.html Notice - Self-Regulatory Organizations; Cboe EDGA Exchange, Inc.; Order Instituting Proceedings To Determine Whether To Approve or Disapprove a Proposed Rule Change To Amend Certain Rules Within Rules 4.5 Through 4.16, Which Contains the Exchange's Compliance Rule (“Compliance Rule”) Regarding the National Market System Plan Governing the Consolidated Audit Trail (the “CAT NMS Plan” or “Plan”), To Be Consistent With Certain Proposed Amendments To and Exemptions From the CAT NMS Plan as Well as To Facilitate the Retirement of Certain Existing Regulatory Systems 2020-05-05T00:00:00-07:00 2020-05-05T00:00:00-07:00 2020-09525 Notice https://www.govinfo.gov/content/pkg/FR-2020-05-05/pdf/2020-09525.pdf https://regulations.justia.com/regulations/fedreg/2020/05/05/2020-09523.html Notice - Self-Regulatory Organizations; Cboe BZX Exchange, Inc.; Order Instituting Proceedings To Determine Whether To Approve or Disapprove a Proposed Rule Change To Amend Certain Rules Within Rules 4.5 Through 4.16, Which Contains the Exchange's Compliance Rule (“Compliance Rule”) Regarding the National Market System Plan Governing the Consolidated Audit Trail (the “CAT NMS Plan” or “Plan”), To Be Consistent With Certain Proposed Amendments to and Exemptions From the CAT NMS Plan as Well as To Facilitate the Retirement of Certain Existing Regulatory Systems 2020-05-05T00:00:00-07:00 2020-05-05T00:00:00-07:00 2020-09523 Notice https://www.govinfo.gov/content/pkg/FR-2020-05-05/pdf/2020-09523.pdf https://regulations.justia.com/regulations/fedreg/2020/05/05/2020-09522.html Notice - Self-Regulatory Organizations; Cboe BYX Exchange, Inc.; Order Instituting Proceedings To Determine Whether To Approve or Disapprove a Proposed Rule Change To Amend Certain Rules Within Rules 4.5 Through 4.16, Which Contains the Exchange's Compliance Rule (“Compliance Rule”) Regarding the National Market System Plan Governing the Consolidated Audit Trail (the “CAT NMS Plan” or “Plan”), To Be Consistent With Certain Proposed Amendments to and Exemptions From the CAT NMS Plan as Well as To Facilitate the Retirement of Certain Existing Regulatory Systems 2020-05-05T00:00:00-07:00 2020-05-05T00:00:00-07:00 2020-09522 Notice https://www.govinfo.gov/content/pkg/FR-2020-05-05/pdf/2020-09522.pdf https://regulations.justia.com/regulations/fedreg/2020/05/05/2020-09521.html Notice - Self-Regulatory Organizations; Cboe Exchange, Inc.; Order Instituting Proceedings To Determine Whether To Approve or Disapprove a Proposed Rule Change To Amend Chapter 7, Section B of the Rules, Which Contains the Exchange's Compliance Rule (“Compliance Rule”) Regarding the National Market System Plan Governing the Consolidated Audit Trail (the “CAT NMS Plan” or “Plan”), To Be Consistent With Certain Proposed Amendments to and Exemptions From the CAT NMS Plan as Well as To Facilitate the Retirement of Certain Existing Regulatory Systems 2020-05-05T00:00:00-07:00 2020-05-05T00:00:00-07:00 2020-09521 Notice https://www.govinfo.gov/content/pkg/FR-2020-05-05/pdf/2020-09521.pdf https://regulations.justia.com/regulations/fedreg/2020/05/05/2020-09520.html Notice - Self-Regulatory Organizations; Cboe Exchange, Inc.; Notice of Filing of Amendment No. 1 and Order Granting Accelerated Approval of a Proposed Rule Change, as Modified by Amendment No. 1, To Increase Position Limits for Options on Certain Exchange-Traded Funds and Indexes 2020-05-05T00:00:00-07:00 2020-05-05T00:00:00-07:00 2020-09520 Notice https://www.govinfo.gov/content/pkg/FR-2020-05-05/pdf/2020-09520.pdf https://regulations.justia.com/regulations/fedreg/2020/05/05/2020-09519.html Notice - Self-Regulatory Organizations; Miami International Securities Exchange, LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To List and Trade Options That Overlie Five Advanced Fundamentals LLC Commercial Real Estate Indexes 2020-05-05T00:00:00-07:00 2020-05-05T00:00:00-07:00 2020-09519 Notice https://www.govinfo.gov/content/pkg/FR-2020-05-05/pdf/2020-09519.pdf https://regulations.justia.com/regulations/fedreg/2020/05/05/2020-09518.html Notice - Self-Regulatory Organizations; Fixed Income Clearing Corporation; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Modify the Government Securities Division Rulebook, Mortgage-Backed Securities Division Clearing Rules, and Mortgage-Backed Securities Division EPN Rules 2020-05-05T00:00:00-07:00 2020-05-05T00:00:00-07:00 2020-09518 Notice https://www.govinfo.gov/content/pkg/FR-2020-05-05/pdf/2020-09518.pdf https://regulations.justia.com/regulations/fedreg/2020/05/05/2020-09517.html Notice - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing of Amendment No. 1 and Order Granting Accelerated Approval of a Proposed Rule Change, as Modified by Amendment No. 1, To Add New Exchange Rule 46B To Permit the Appointment of Regulatory Trading Officials and Amend Exchange Rule 47 To Permit Regulatory Trading Officials To Review Whether a Bid or Offer Is Eligible for Inclusion in the Closing Auction 2020-05-05T00:00:00-07:00 2020-05-05T00:00:00-07:00 2020-09517 Notice https://www.govinfo.gov/content/pkg/FR-2020-05-05/pdf/2020-09517.pdf https://regulations.justia.com/regulations/fedreg/2020/05/04/2020-09626.html Notice - Sunshine Act Meetings 2020-05-04T00:00:00-07:00 2020-05-04T00:00:00-07:00 2020-09626 Notice https://www.govinfo.gov/content/pkg/FR-2020-05-04/pdf/2020-09626.pdf https://regulations.justia.com/regulations/fedreg/2020/05/04/2020-09560.html Notice - Sunshine Act Meetings 2020-05-04T00:00:00-07:00 2020-05-04T00:00:00-07:00 2020-09560 Notice https://www.govinfo.gov/content/pkg/FR-2020-05-04/pdf/2020-09560.pdf https://regulations.justia.com/regulations/fedreg/2020/05/04/2020-09529.html Notice - Sunshine Act Meetings 2020-05-04T00:00:00-07:00 2020-05-04T00:00:00-07:00 2020-09529 Notice https://www.govinfo.gov/content/pkg/FR-2020-05-04/pdf/2020-09529.pdf https://regulations.justia.com/regulations/fedreg/2020/05/04/2020-09378.html Notice - First Trust Series Fund, et. al. 2020-05-04T00:00:00-07:00 2020-05-04T00:00:00-07:00 2020-09378 Notice https://www.govinfo.gov/content/pkg/FR-2020-05-04/pdf/2020-09378.pdf https://regulations.justia.com/regulations/fedreg/2020/05/04/2020-09375.html Notice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Its Schedule of Fees and Charges 2020-05-04T00:00:00-07:00 2020-05-04T00:00:00-07:00 2020-09375 Notice https://www.govinfo.gov/content/pkg/FR-2020-05-04/pdf/2020-09375.pdf https://regulations.justia.com/regulations/fedreg/2020/05/04/2020-09374.html Notice - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend FINRA Rule 8312 (FINRA BrokerCheck Disclosure) To Allow the Dissemination of IAPD Information Through BrokerCheck 2020-05-04T00:00:00-07:00 2020-05-04T00:00:00-07:00 2020-09374 Notice https://www.govinfo.gov/content/pkg/FR-2020-05-04/pdf/2020-09374.pdf https://regulations.justia.com/regulations/fedreg/2020/05/04/2020-09372.html Notice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Rule 1.1 To Modify the Definition of “UTP Derivative Securities Product” and Rule 5.1-E(a) To Incorporate the Modified Definition of “UTP Exchange Traded Product” 2020-05-04T00:00:00-07:00 2020-05-04T00:00:00-07:00 2020-09372 Notice https://www.govinfo.gov/content/pkg/FR-2020-05-04/pdf/2020-09372.pdf https://regulations.justia.com/regulations/fedreg/2020/05/01/2020-09449.html Notice - Sunshine Act Meeting; Cancellation 2020-05-01T00:00:00-07:00 2020-05-01T00:00:00-07:00 2020-09449 Notice https://www.govinfo.gov/content/pkg/FR-2020-05-01/pdf/2020-09449.pdf https://regulations.justia.com/regulations/fedreg/2020/05/01/2020-09300.html Notice - 60 Day Notice-Proposed Collection; Comment Request 2020-05-01T00:00:00-07:00 2020-05-01T00:00:00-07:00 2020-09300 Notice https://www.govinfo.gov/content/pkg/FR-2020-05-01/pdf/2020-09300.pdf https://regulations.justia.com/regulations/fedreg/2020/05/01/2020-09299.html Notice - Proposed Collection; Comment Request 2020-05-01T00:00:00-07:00 2020-05-01T00:00:00-07:00 2020-09299 Notice https://www.govinfo.gov/content/pkg/FR-2020-05-01/pdf/2020-09299.pdf https://regulations.justia.com/regulations/fedreg/2020/05/01/2020-09297.html Notice - Proposed Collection; Comment Request 2020-05-01T00:00:00-07:00 2020-05-01T00:00:00-07:00 2020-09297 Notice https://www.govinfo.gov/content/pkg/FR-2020-05-01/pdf/2020-09297.pdf https://regulations.justia.com/regulations/fedreg/2020/05/01/2020-09295.html Notice - Proposed Collection; Comment Request 2020-05-01T00:00:00-07:00 2020-05-01T00:00:00-07:00 2020-09295 Notice https://www.govinfo.gov/content/pkg/FR-2020-05-01/pdf/2020-09295.pdf https://regulations.justia.com/regulations/fedreg/2020/05/01/2020-09294.html Notice - Proposed Collection; Comment Request 2020-05-01T00:00:00-07:00 2020-05-01T00:00:00-07:00 2020-09294 Notice https://www.govinfo.gov/content/pkg/FR-2020-05-01/pdf/2020-09294.pdf https://regulations.justia.com/regulations/fedreg/2020/05/01/2020-09293.html Notice - Proposed Collection; Comment Request 2020-05-01T00:00:00-07:00 2020-05-01T00:00:00-07:00 2020-09293 Notice https://www.govinfo.gov/content/pkg/FR-2020-05-01/pdf/2020-09293.pdf https://regulations.justia.com/regulations/fedreg/2020/05/01/2020-09291.html Notice - Proposed Collection; Comment Request 2020-05-01T00:00:00-07:00 2020-05-01T00:00:00-07:00 2020-09291 Notice https://www.govinfo.gov/content/pkg/FR-2020-05-01/pdf/2020-09291.pdf https://regulations.justia.com/regulations/fedreg/2020/05/01/2020-09290.html Notice - Submission for OMB Review; Comment Request 2020-05-01T00:00:00-07:00 2020-05-01T00:00:00-07:00 2020-09290 Notice https://www.govinfo.gov/content/pkg/FR-2020-05-01/pdf/2020-09290.pdf https://regulations.justia.com/regulations/fedreg/2020/05/01/2020-09253.html Notice - Self-Regulatory Organizations; NYSE American LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Rule 928NY Relating to the Risk Limitation Mechanism 2020-05-01T00:00:00-07:00 2020-05-01T00:00:00-07:00 2020-09253 Notice https://www.govinfo.gov/content/pkg/FR-2020-05-01/pdf/2020-09253.pdf https://regulations.justia.com/regulations/fedreg/2020/05/01/2020-09252.html Notice - Self-Regulatory Organizations; NYSE American LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Rule 1.1E To Modify the Definition of “UTP Exchange Traded Product” and Rule 5.1E To Incorporate the Modified Definition of “UTP Exchange Traded Product” 2020-05-01T00:00:00-07:00 2020-05-01T00:00:00-07:00 2020-09252 Notice https://www.govinfo.gov/content/pkg/FR-2020-05-01/pdf/2020-09252.pdf https://regulations.justia.com/regulations/fedreg/2020/05/01/2020-09251.html Notice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Rule 6.40-O Relating to the Risk Limitation Mechanism 2020-05-01T00:00:00-07:00 2020-05-01T00:00:00-07:00 2020-09251 Notice https://www.govinfo.gov/content/pkg/FR-2020-05-01/pdf/2020-09251.pdf https://regulations.justia.com/regulations/fedreg/2020/05/01/2020-09250.html Notice - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Rule 1.1 To Modify the Definition of “UTP Exchange Traded Product” and Rule 5.1 To Incorporate the Modified Definition of “UTP Exchange Traded Product” 2020-05-01T00:00:00-07:00 2020-05-01T00:00:00-07:00 2020-09250 Notice https://www.govinfo.gov/content/pkg/FR-2020-05-01/pdf/2020-09250.pdf https://regulations.justia.com/regulations/fedreg/2020/05/01/2020-09249.html Notice - Self-Regulatory Organizations; Nasdaq PHLX LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Various Phlx Rules Related to Routing, Remote Specialist, and Assistant Lead Market Maker 2020-05-01T00:00:00-07:00 2020-05-01T00:00:00-07:00 2020-09249 Notice https://www.govinfo.gov/content/pkg/FR-2020-05-01/pdf/2020-09249.pdf https://regulations.justia.com/regulations/fedreg/2020/05/01/2020-09248.html Notice - Self-Regulatory Organizations; Cboe BZX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Regarding the Listing Rule of the Hartford Core Bond ETF 2020-05-01T00:00:00-07:00 2020-05-01T00:00:00-07:00 2020-09248 Notice https://www.govinfo.gov/content/pkg/FR-2020-05-01/pdf/2020-09248.pdf https://regulations.justia.com/regulations/fedreg/2020/05/01/2020-05526.html Rule - Updated Disclosure Requirements and Summary Prospectus for Variable Annuity and Variable Life Insurance Contracts 2020-05-01T00:00:00-07:00 2020-05-01T00:00:00-07:00 2020-05526 Rule https://www.govinfo.gov/content/pkg/FR-2020-05-01/pdf/2020-05526.pdf https://regulations.justia.com/regulations/fedreg/2020/04/30/2020-09142.html Notice - Notice of Applications for Deregistration Under Section 8(f) of the Investment Company Act of 1940 2020-04-30T00:00:00-07:00 2020-04-30T00:00:00-07:00 2020-09142 Notice https://www.govinfo.gov/content/pkg/FR-2020-04-30/pdf/2020-09142.pdf https://regulations.justia.com/regulations/fedreg/2020/04/30/2020-09141.html Notice - Edmunds Private Capital, LLC 2020-04-30T00:00:00-07:00 2020-04-30T00:00:00-07:00 2020-09141 Notice https://www.govinfo.gov/content/pkg/FR-2020-04-30/pdf/2020-09141.pdf https://regulations.justia.com/regulations/fedreg/2020/04/30/2020-09129.html Notice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing of Proposed Rule Change, as Modified by Amendment No. 2, To Modify Rule 6.60-O Regarding the Treatment of Orders Subject to Trade Collar Protection 2020-04-30T00:00:00-07:00 2020-04-30T00:00:00-07:00 2020-09129 Notice https://www.govinfo.gov/content/pkg/FR-2020-04-30/pdf/2020-09129.pdf https://regulations.justia.com/regulations/fedreg/2020/04/30/2020-09128.html Notice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing of Amendment No. 1 and Order Instituting Proceedings To Determine Whether To Approve or Disapprove a Proposed Rule Change, as Modified by Amendment No. 1, To List and Trade Shares of the SPDR SSGA Responsible Reserves ESG ETF Under NYSE Arca Rule 8.600-E 2020-04-30T00:00:00-07:00 2020-04-30T00:00:00-07:00 2020-09128 Notice https://www.govinfo.gov/content/pkg/FR-2020-04-30/pdf/2020-09128.pdf https://regulations.justia.com/regulations/fedreg/2020/04/30/2020-09126.html Notice - Self-Regulatory Organizations; Cboe Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Add a New Version of the Silexx Platform 2020-04-30T00:00:00-07:00 2020-04-30T00:00:00-07:00 2020-09126 Notice https://www.govinfo.gov/content/pkg/FR-2020-04-30/pdf/2020-09126.pdf https://regulations.justia.com/regulations/fedreg/2020/04/30/2020-09125.html Notice - Self-Regulatory Organizations; NYSE American LLC; Notice of Filing of Proposed Rule Change, as Modified by Amendment No. 2, To Modify Rule 967NY Regarding the Treatment of Orders Subject to Trade Collar Protection 2020-04-30T00:00:00-07:00 2020-04-30T00:00:00-07:00 2020-09125 Notice https://www.govinfo.gov/content/pkg/FR-2020-04-30/pdf/2020-09125.pdf https://regulations.justia.com/regulations/fedreg/2020/04/30/2020-09124.html Notice - Self-Regulatory Organizations; Nasdaq BX, Inc.; Notice of Filing of Proposed Rule Change, as Modified by Amendment No. 1, To Assume Operational Responsibility for Certain Enforcement Functions Currently Performed by FINRA Under the Exchange's Authority and Supervision 2020-04-30T00:00:00-07:00 2020-04-30T00:00:00-07:00 2020-09124 Notice https://www.govinfo.gov/content/pkg/FR-2020-04-30/pdf/2020-09124.pdf https://regulations.justia.com/regulations/fedreg/2020/04/30/2020-09123.html Notice - Self-Regulatory Organizations; The Nasdaq Stock Market LLC; Order Approving Proposed Rule Change To Amend Rules 4702(b)(14) and (b)(15) To Shorten the Holding Period Requirements for Midpoint Extended Life Orders and Midpoint Extended Life Orders Plus Continuous Book 2020-04-30T00:00:00-07:00 2020-04-30T00:00:00-07:00 2020-09123 Notice https://www.govinfo.gov/content/pkg/FR-2020-04-30/pdf/2020-09123.pdf https://regulations.justia.com/regulations/fedreg/2020/04/30/2020-09121.html Notice - Legg Mason Partners Equity Trust, et al.; Notice of Application 2020-04-30T00:00:00-07:00 2020-04-30T00:00:00-07:00 2020-09121 Notice https://www.govinfo.gov/content/pkg/FR-2020-04-30/pdf/2020-09121.pdf https://regulations.justia.com/regulations/fedreg/2020/04/29/2020-09224.html Notice - Sunshine Act Meetings 2020-04-29T00:00:00-07:00 2020-04-29T00:00:00-07:00 2020-09224 Notice https://www.govinfo.gov/content/pkg/FR-2020-04-29/pdf/2020-09224.pdf https://regulations.justia.com/regulations/fedreg/2020/04/29/2020-09083.html Notice - SEC Small Business Capital Formation Advisory Committee 2020-04-29T00:00:00-07:00 2020-04-29T00:00:00-07:00 2020-09083 Notice https://www.govinfo.gov/content/pkg/FR-2020-04-29/pdf/2020-09083.pdf https://regulations.justia.com/regulations/fedreg/2020/04/29/2020-09050.html Notice - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Modify Its Application of the Proxy Delivery Requirements of NYSE Rule 451(b)(1) Through and Including May 31, 2020 2020-04-29T00:00:00-07:00 2020-04-29T00:00:00-07:00 2020-09050 Notice https://www.govinfo.gov/content/pkg/FR-2020-04-29/pdf/2020-09050.pdf https://regulations.justia.com/regulations/fedreg/2020/04/29/2020-09036.html Notice - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Section 902.02 of the NYSE Listed Company Manual To Waive Initial Listing Fees and First Partial Year Annual Fees for Certain Companies Listing Upon Closing of an Acquisition of a Special Purpose Acquisition Company 2020-04-29T00:00:00-07:00 2020-04-29T00:00:00-07:00 2020-09036 Notice https://www.govinfo.gov/content/pkg/FR-2020-04-29/pdf/2020-09036.pdf https://regulations.justia.com/regulations/fedreg/2020/04/29/2020-09035.html Notice - The Alger ETF Trust, et al. 2020-04-29T00:00:00-07:00 2020-04-29T00:00:00-07:00 2020-09035 Notice https://www.govinfo.gov/content/pkg/FR-2020-04-29/pdf/2020-09035.pdf https://regulations.justia.com/regulations/fedreg/2020/04/28/2020-08942.html Notice - FS Credit Income Fund, et al. 2020-04-28T00:00:00-07:00 2020-04-28T00:00:00-07:00 2020-08942 Notice https://www.govinfo.gov/content/pkg/FR-2020-04-28/pdf/2020-08942.pdf https://regulations.justia.com/regulations/fedreg/2020/04/28/2020-08941.html Notice - Self-Regulatory Organizations; Nasdaq GEMX, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend GEMX Rules at Options 3, Section 8, Titled Options Opening Process 2020-04-28T00:00:00-07:00 2020-04-28T00:00:00-07:00 2020-08941 Notice https://www.govinfo.gov/content/pkg/FR-2020-04-28/pdf/2020-08941.pdf https://regulations.justia.com/regulations/fedreg/2020/04/28/2020-08940.html Notice - Self-Regulatory Organizations; Nasdaq ISE, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend ISE Rules at Options 3, Section 8, Titled Options Opening Process 2020-04-28T00:00:00-07:00 2020-04-28T00:00:00-07:00 2020-08940 Notice https://www.govinfo.gov/content/pkg/FR-2020-04-28/pdf/2020-08940.pdf https://regulations.justia.com/regulations/fedreg/2020/04/28/2020-08939.html Notice - Self-Regulatory Organizations; Nasdaq PHLX LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Phlx Rules at Options 3, Section 8, Titled Options Opening Process 2020-04-28T00:00:00-07:00 2020-04-28T00:00:00-07:00 2020-08939 Notice https://www.govinfo.gov/content/pkg/FR-2020-04-28/pdf/2020-08939.pdf https://regulations.justia.com/regulations/fedreg/2020/04/28/2020-08938.html Notice - Self-Regulatory Organizations; Cboe EDGA Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Provide Members Certain Optional Risk Settings Under Proposed Interpretation and Policy .03 of Rule 11.10 2020-04-28T00:00:00-07:00 2020-04-28T00:00:00-07:00 2020-08938 Notice https://www.govinfo.gov/content/pkg/FR-2020-04-28/pdf/2020-08938.pdf