Federal Register
- Sunshine Act Meetings
Nov 15, 2021 | 05:00 EST
- Proposed Collection; Comment Request
Nov 15, 2021 | 05:00 EST
- Self-Regulatory Organizations; NYSE Arca, Inc.; Order Instituting Proceedings To Determine Whether To Approve or Disapprove a Proposed Rule Change To List and Trade Shares of the Teucrium Bitcoin Futures Fund Under NYSE Arca Rule 8.200-E, Commentary .02 (Trust Issued Receipts)
Nov 15, 2021 | 05:00 EST
- Self-Regulatory Organizations; National Securities Clearing Corporation; Order Instituting Proceedings To Determine Whether To Approve or Disapprove a Proposed Rule Change To Establish the Securities Financing Transaction Clearing Service and Make Other Changes
Nov 12, 2021 | 05:00 EST
- Self-Regulatory Organizations; The Depository Trust Company; Order Instituting Proceedings To Determine Whether To Approve or Disapprove a Proposed Rule Change To Provide Settlement Services for Transactions Entered Into Under the Proposed Securities Financing Transaction Clearing Service of the National Securities Clearing Corporation
Nov 12, 2021 | 05:00 EST
- Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Reflect a Modification to the Permitted Components of the Tracking Baskets of the Putnam Focused Large Cap Growth ETF, Putnam Focused Large Cap Value ETF, Putnam Sustainable Future ETF, and Putnam Sustainable Leaders ETF
Nov 12, 2021 | 05:00 EST
- Performance-Based Investment Advisory Fees
The Securities and Exchange Commission (''Commission'' or ''SEC'') is adopting amendments to the rule under the Investment Advisers Act of 1940 (''Advisers Act'') that permits investment advisers to charge performance-based compensation to ''qualified clients.'' The rule defines ''qualified client'' with reference to specific dollar amount thresholds, which are required to be adjusted every five years to account for the effects of inflation. These amendments replace specific dollar amount thresholds in the rule's ''qualified client'' definition with references to the Commission's ''most recent order,'' as defined by the amended rule, containing the specific dollar amount thresholds adjusted for inflation.
Nov 10, 2021 | 05:00 EST
- Self-Regulatory Organizations; LCH SA; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Fees on Extension of Eligible Collateral
Nov 10, 2021 | 05:00 EST
- Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Modify the NYSE Arca Options Fee Schedule
Nov 10, 2021 | 05:00 EST
- Self-Regulatory Organizations; Miami International Securities Exchange LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Its Fee Schedule
Nov 10, 2021 | 05:00 EST
- Public Company Accounting Oversight Board; Order Granting Approval of Proposed Rule Governing Board Determinations Under the Holding Foreign Companies Accountable Act
Nov 10, 2021 | 05:00 EST
- Self-Regulatory Organizations; MIAX Emerald, LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Its Fee Schedule
Nov 10, 2021 | 05:00 EST
- Self-Regulatory Organizations; Cboe Exchange, Inc.; Notice of Filing of Amendment Nos. 2 and 3 and Order Granting Accelerated Approval of a Proposed Rule Change, as Modified by Amendment Nos. 1, 2, and 3, To Increase Position Limits for Options on Two Exchange-Traded Funds
Nov 10, 2021 | 05:00 EST
- Self-Regulatory Organizations; ICE Clear Europe Limited; Notice of Filing of Proposed Rule Change Relating to Amendments to the ICE Clear Europe Liquidity Management Procedures and Investment Management Procedures
Nov 10, 2021 | 05:00 EST
- Self-Regulatory Organizations; Nasdaq BX, Inc.; Notice of Filing of Proposed Rule Change To Amend Exchange Rules in Connection With the Proposed Merger of BX Equities LLC With and Into the Exchange
Nov 09, 2021 | 05:00 EST
- Self-Regulatory Organizations; ICE Clear Europe Limited; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Amendments to the ICE Clear Europe Clearing Rules
Nov 09, 2021 | 05:00 EST
- Self-Regulatory Organizations; Nasdaq BX, Inc.; Notice of Filing of Proposed Rule Change To Amend the BX Equities LLC Operating Agreement
Nov 09, 2021 | 05:00 EST
- Proposed Collection; Comment Request
Nov 09, 2021 | 05:00 EST
- Proposed Collection; Comment Request
Nov 09, 2021 | 05:00 EST
- Proposed Collection; Comment Request
Nov 09, 2021 | 05:00 EST
- Proposed Collection; Comment Request
Nov 09, 2021 | 05:00 EST
- Proposed Collection; Comment Request
Nov 09, 2021 | 05:00 EST
- Proposed Collection; Comment Request
Nov 09, 2021 | 05:00 EST
- Proposed Collection; Comment Request
Nov 09, 2021 | 05:00 EST
- Self-Regulatory Organizations; MIAX PEARL, LLC; Notice of Filing of Amendment No. 1 and Order Granting Accelerated Approval of a Proposed Rule Change, as Modified by Amendment No. 1, To Amend Exchange Rule 2616, Priority of Orders
Nov 08, 2021 | 05:00 EST
- Self-Regulatory Organizations; Investors Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend IEX Rule 11.330 To Retire the IEX Data Platform Data Product
Nov 08, 2021 | 05:00 EST
- Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Declaration of Effectiveness of the Fingerprint Plan of the Financial Industry Regulatory Authority, Inc.
Nov 08, 2021 | 05:00 EST
- Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing of Proposed Rule Change To List and Trade Shares of Grayscale Bitcoin Trust (BTC) Under NYSE Arca Rule 8.201-E
Nov 08, 2021 | 05:00 EST
- Self-Regulatory Organizations; Cboe BZX Exchange, Inc.; Order Instituting Proceedings To Determine Whether To Approve or Disapprove a Proposed Rule Change to List and Trade Shares of the ARK 21Shares Bitcoin ETF Under BZX Rule 14.11(e)(4), Commodity-Based Trust Shares
Nov 08, 2021 | 05:00 EST
- Proposed Collection; Comment Request
Nov 05, 2021 | 04:00 EST
- Sunshine Act Meetings
Nov 05, 2021 | 04:00 EST
- Submission for OMB Review; Comment Request
Nov 05, 2021 | 04:00 EST
- AFA Multi-Manager Credit Fund and Alternative Fund Advisors, LLC
Nov 05, 2021 | 04:00 EST
- Proposed Collection; Comment Request
Nov 05, 2021 | 04:00 EST
- Self-Regulatory Organizations; Cboe Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating To Extend the Operation of Its Flexible Exchange Options (“FLEX Options”) Pilot Program Regarding Permissible Exercise Settlement Values for FLEX Index Options
Nov 05, 2021 | 04:00 EST
- Submission Collection; Comment Request
Nov 05, 2021 | 04:00 EST
- Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Designation of a Longer Period for Commission Action on Proceedings To Determine Whether To Approve or Disapprove a Proposed Rule Change To List and Trade Shares of the Valkyrie Bitcoin Fund Under NYSE Arca Rule 8.201-E
Nov 05, 2021 | 04:00 EST
- Proposed Collection; Comment Request
Nov 05, 2021 | 04:00 EST
- Submission for OMB Review; Comment Request
Nov 05, 2021 | 04:00 EST
- Submission for OMB Review; Comment Request
Nov 05, 2021 | 04:00 EST
- Self-Regulatory Organizations; Nasdaq PHLX LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Equity 4, Rule 3301B
Nov 05, 2021 | 04:00 EST
- Submission for OMB Review; Comment Request
Nov 05, 2021 | 04:00 EST
- Self-Regulatory Organizations; New York Stock Exchange LLC, Notice of Designation of a Longer Period for Commission Action on a Proposed Rule Change To Amend Rules 7.31, 7.35, 7.35B, 7.35C, 98, and 104 Relating to the Closing Auction
Nov 05, 2021 | 04:00 EST
- Submission for OMB Review; Comment Request
Nov 05, 2021 | 04:00 EST
- Proposed Collection; Comment Request
Nov 05, 2021 | 04:00 EST
- Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Its Price List To Eliminate Expired and Obsolete Pillar Port Transition Fee Pricing
Nov 05, 2021 | 04:00 EST
- Proposed Collection; Comment Request
Nov 05, 2021 | 04:00 EST
- Submission for OMB Review; Comment Request
Nov 05, 2021 | 04:00 EST
- Order Granting Conditional Exemptions Under the Securities Exchange Act of 1934 in Connection With the Portfolio Margining of Cleared Swaps and Security-Based Swaps That Are Credit Default Swaps
The Commission is granting exemptive relief, subject to certain conditions, from compliance with certain provisions of the Securities Exchange Act of 1934 in connection with a program to portfolio margin cleared swaps customer and affiliate positions in cleared credit default swaps that are swaps and security-based swaps in a segregated account established and maintained in accordance with Section 4d(f) of the Commodity Exchange Act (in the case of a cleared swaps customer) or a cleared swaps proprietary account (in the case of an affiliate). This exemptive relief supersedes and replaces the Commission's Order Granting Conditional Exemptions under the Securities Exchange Act of 1934 in Connection with Portfolio Margining of Swaps and Security-based Swaps issued in December 2012.
Nov 05, 2021 | 04:00 EST
- Submission for OMB Review; Comment Request
Nov 05, 2021 | 04:00 EST
- Proposed Collection; Comment Request
Nov 05, 2021 | 04:00 EST
- Proposed Collection; Comment Request
Nov 05, 2021 | 04:00 EST
- Submission for OMB Review; Comment Request
Nov 05, 2021 | 04:00 EST
- Submission for OMB Review; Comment Request
Nov 05, 2021 | 04:00 EST
- Proposed Collection; Comment Request
Nov 05, 2021 | 04:00 EST
- Blackstone/GSO Floating Rate Enhanced Income Fund, et al.
Nov 05, 2021 | 04:00 EST
- Self-Regulatory Organizations; Miami International Securities Exchange, LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Make a Minor Adjustment to the Calculation Methodology for the BRIXXTM
Nov 04, 2021 | 04:00 EST
- Sunshine Act Meetings
Nov 04, 2021 | 04:00 EST
- Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing of Proposed Rule Change to Amend Rule 6.87-O
Nov 04, 2021 | 04:00 EST
- Self-Regulatory Organizations; The Nasdaq Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Exempt Certain Categories of Investment Companies Registered Under the Investment Company Act of 1940 From the Requirements To Obtain Shareholder Approval Prior to the Issuance of Securities in Connection With Acquisitions of the Stock or Assets of an Affiliated Registered Investment Company Under Certain Conditions
Nov 04, 2021 | 04:00 EST
- Joint Industry Plan; Order Disapproving an Amendment to the National Market System Plan Governing the Consolidated Audit Trail
Nov 04, 2021 | 04:00 EST
- Notice of Applications for Deregistration Under Section 8(f) of the Investment Company Act of 1940
Applicant, a closed-end investment company, seeks an order declaring that it has ceased to be an investment company. The applicant has transferred its assets to Cohen & Steers Infrastructure Fund, Inc., and on December 12, 2019 made a final distribution to its shareholders based on net asset value. Expenses of $387,207 incurred in connection with the reorganization were paid by the applicant and the acquiring fund. Filing Dates: The application was filed on March 12, 2021, and amended on July 30, 2021, and October 14, 2021. Applicant's Address: FundLegalGroup@cohenandsteers.com.
Nov 04, 2021 | 04:00 EST
- Self-Regulatory Organizations; Miami International Securities Exchange, LLC and MIAX Emerald, LLC; Notice of Withdrawal of Proposed Rule Changes To Establish Fees for the Exchanges' cToM Market Data Products
Nov 04, 2021 | 04:00 EST
- Self-Regulatory Organizations; Nasdaq BX, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Equity 4, Rule 4703
Nov 04, 2021 | 04:00 EST
- Self-Regulatory Organizations; Nasdaq PHLX LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Extend the Exchange's Nonstandard Expirations Pilot Program
Nov 04, 2021 | 04:00 EST
- Self-Regulatory Organizations; NYSE Arca, Inc.; Order Instituting Proceedings to Determine Whether to Approve or Disapprove a Proposed Rule Change to Adopt New Exchange Rule 6.91P-O
Nov 04, 2021 | 04:00 EST
- Self-Regulatory Organizations; Cboe Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Extend the Operation of Its SPXPM Pilot Program
Nov 03, 2021 | 04:00 EST
- Self-Regulatory Organizations; Cboe Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Renew Its Nonstandard Expirations Pilot Program Until May 2, 2022
Nov 03, 2021 | 04:00 EST
- 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
Nov 03, 2021 | 04:00 EST
- 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
Nov 03, 2021 | 04:00 EST
- Self-Regulatory Organizations; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change by Miami International Securities Exchange, LLC To Amend Exchange Rule 501, Days and Hours of Business To Make Juneteenth National Independence Day a Holiday of the Exchange
Nov 03, 2021 | 04:00 EST
- Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Reformat the Tier Rates Section of the NYSE Arca Equities Fees and Charges
Nov 03, 2021 | 04:00 EST
- Self-Regulatory Organizations; Nasdaq ISE, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Extend the Exchange's Nonstandard Expirations Pilot Program
Nov 03, 2021 | 04:00 EST
- Self-Regulatory Organizations; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change by MIAX PEARL, LLC To Amend Exchange Rule 501, Days and Hours of Business, To Make Juneteenth National Independence Day a Holiday of the Exchange
Nov 03, 2021 | 04:00 EST
- Self-Regulatory Organizations; MEMX LLC; Notice of Filing of a Proposed Rule Change To Amend the Corporate Documents of the Exchange's Parent Company
Nov 03, 2021 | 04:00 EST
- Self-Regulatory Organizations; Nasdaq BX, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Delay the Implementation of Request for PRISM
Nov 03, 2021 | 04:00 EST
- Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing of Proposed Rule Change To List and Trade Shares of the Bitwise Bitcoin ETP Trust Under NYSE Arca Rule 8.201-E
Nov 03, 2021 | 04:00 EST
- Self-Regulatory Organizations; Nasdaq ISE, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Extend the Pilot To Permit the Listing and Trading of Options on the Nasdaq 100 Reduced Value Index
Nov 03, 2021 | 04:00 EST
- Self-Regulatory Organizations; Nasdaq PHLX LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Extend the Pilot To Permit the Listing and Trading of Options on the Nasdaq 100 Micro Index
Nov 03, 2021 | 04:00 EST
- Self-Regulatory Organizations; The Depository Trust Company; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend DTC's Procedures and Make Clarifying Changes to the DTC Rules
Nov 03, 2021 | 04:00 EST
- Self-Regulatory Organizations; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change by MIAX Emerald, LLC To Amend Exchange Rule 501, Days and Hours of Business, To Make Juneteenth National Independence Day a Holiday of the Exchange
Nov 03, 2021 | 04:00 EST
- 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
Nov 03, 2021 | 04:00 EST
- Self-Regulatory Organizations; BOX Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Make Juneteenth National Independence Day a Holiday of the Exchange
Nov 03, 2021 | 04:00 EST
- Self-Regulatory Organizations; ICE Clear Credit LLC; Notice of Filing of Proposed Rule Change Relating to the ICC End-of-Day Price Discovery Policies and Procedures
Nov 02, 2021 | 04:00 EST
- Privacy Act of 1974; System of Records
The Securities and Exchange Commission (SEC) established SEC- 34, Public Health and Safety Records under the Privacy Act of 1974. This system of records maintains information collected in response to a public health emergency. Information will be collected from SEC personnel (political appointees, employees, consultants, detailees, interns, and volunteers), contractors, visitors, job applicants, and others who access or seek to access SEC facilities or worksites to assist the SEC with maintaining a safe and healthy workplace and to protect its workforce from risks associated with communicable diseases.
Nov 02, 2021 | 04:00 EST
- Self-Regulatory Organizations; The Options Clearing Corporation; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Concerning Revisions to the Titles of Certain Options Clearing Corporation Personnel
Nov 02, 2021 | 04:00 EST
- Self-Regulatory Organizations; The Options Clearing Corporation; Notice of Filing and Extension of Review Period of Advance Notice Relating to OCC's Adoption of Cloud Infrastructure for New Clearing, Risk Management, and Data Management Applications
Nov 02, 2021 | 04:00 EST
- Self-Regulatory Organizations; NYSE Arca, Inc.; Order Instituting Proceedings To Determine Whether To Approve or Disapprove a Proposed Rule Change To List and Trade Shares of the Sprott ESG Gold ETF Under NYSE Arca Rule 8.201-E (Commodity-Based Trust Shares)
Nov 02, 2021 | 04:00 EST
- Self-Regulatory Organizations; Municipal Securities Rulemaking Board; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Further Extend the Regulatory Relief and Permit Dealers To Conduct Office Inspections Remotely Until June 30, 2022, Pursuant to MSRB Rule G-27, on Supervision
Nov 02, 2021 | 04:00 EST
- Self-Regulatory Organizations; Cboe BYX Exchange, Inc.; Cboe BZX Exchange, Inc.; Cboe C2 Exchange, Inc.; Cboe EDGA Exchange, Inc.; Cboe EDGX Exchange, Inc., Cboe Exchange, Inc.; NASDAQ BX, Inc.; Nasdaq GEMX, LLC; Nasdaq ISE, LLC; Nasdaq MRX, LLC; NASDAQ PHLX LLC and The NASDAQ Stock Market LLC; Notice of Designation of Longer Period for Commission Action on Proceedings To Determine Whether To Approve or Disapprove Proposed Rule Changes To Adopt a Fee Schedule To Establish Fees for Industry Members Related to the National Market System Plan Governing the Consolidated Audit Trail
Nov 02, 2021 | 04:00 EST
- Self-Regulatory Organizations; ICE Clear Credit LLC; Notice of Filing of Proposed Rule Change Relating to the Counterparty Monitoring Procedures and the Credit Rating System Model Description and Parameterization
Nov 01, 2021 | 04:00 EST
- Sunshine Act Meetings
Nov 01, 2021 | 04:00 EST
- 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
Nov 01, 2021 | 04:00 EST
- 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
Nov 01, 2021 | 04:00 EST
- Self-Regulatory Organizations; The Nasdaq Stock Market LLC; Notice of Filing of Amendment No. 1 and Order Instituting Proceedings To Determine Whether To Approve or Disapprove a Proposed Rule Change, as Modified by Amendment No. 1, To Establish the “Extended Trading Close” and a New “Extended Trading Close” Order Type
Nov 01, 2021 | 04:00 EST
- Self-Regulatory Organizations; Miami International Securities Exchange LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Its Fee Schedule To Adopt an Incentive Program for Market Makers in SPIKES® Options
Nov 01, 2021 | 04:00 EST
- Self-Regulatory Organizations; Nasdaq BX, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Equity 7, Section 118 To Establish an Enhanced Market Quality Program
Oct 28, 2021 | 04:00 EST
- Self-Regulatory Organizations; Nasdaq PHLX LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the Exchange's Pricing Schedule at Equity 7, Section 3 To Modify the Enhanced Market Quality Program
Oct 28, 2021 | 04:00 EST
- Self-Regulatory Organizations; The Nasdaq Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the Exchange's Schedule of Transaction Credits and Charges at Equity 7, Section 118(a)
Oct 28, 2021 | 04:00 EST
- Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend NYSE Rule 7.31
Oct 28, 2021 | 04:00 EST
- Order Granting Conditional Substituted Compliance in Connection With Certain Requirements Applicable to Non-U.S. Security-Based Swap Dealers and Major Security-Based Swap Participants Subject to Regulation in the Kingdom of Spain
Oct 28, 2021 | 04:00 EST
- Amended and Restated Order Granting Conditional Substituted Compliance in Connection With Certain Requirements Applicable to Non-U.S. Security-Based Swap Dealers and Major Security-Based Swap Participants Subject to Regulation in the Federal Republic of Germany; Amended Orders Addressing Non-U.S. Security-Based Swap Entities Subject to Regulation in the French Republic or the United Kingdom; and Order Extending the Time To Meet Certain Conditions Relating to Capital and Margin
Oct 28, 2021 | 04:00 EST
- Self-Regulatory Organizations; Cboe Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Extend the Length of Its Current Global Trading Hours Session
Oct 28, 2021 | 04:00 EST
- Self-Regulatory Organizations; Miami International Securities Exchange, LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the MIAX Options Fee Schedule To Establish a Policy Relating to Billing Errors
Oct 28, 2021 | 04:00 EST
- SEC Small Business Capital Formation Advisory Committee
The Securities and Exchange Commission Small Business Capital Formation Advisory Committee, established pursuant to Section 40 of the Securities Exchange Act of 1934 as added by the SEC Small Business Advocate Act of 2016, is providing notice that it will hold a public meeting by videoconference. The public is invited to submit written statements to the Committee.
Oct 27, 2021 | 04:00 EST
- Self-Regulatory Organizations; BOX Exchange LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Introduce a New Data Product To Be Known as Open-Close Data Report and To Adopt Fees for Such Product
Oct 27, 2021 | 04:00 EST
- Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the NYSE Proprietary Market Data Fee Schedule
Oct 27, 2021 | 04:00 EST
- Self-Regulatory Organizations; Cboe BYX Exchange, Inc.; Notice of Filing of a Proposed Rule Change To Make Certain Clarifying Changes to Its Rule Related to Periodic Auctions
Oct 26, 2021 | 04:00 EST
- Order Specifying the Manner and Format of Filing Unaudited Financial and Operational Information by Security-Based Swap Dealers and Major Security-Based Swap Participants That Are Not U.S. Persons and Are Relying on Substituted Compliance Determinations With Respect to Rule 18a-7
Oct 26, 2021 | 04:00 EST
- Public Availability of the Securities and Exchange Commission's FY 2019 Service Contract Inventory
Oct 26, 2021 | 04:00 EST
- Asset Management Advisory Committee; Meeting
Notice is being provided that the Securities and Exchange Commission Asset Management Advisory Committee (''AMAC'') will hold a public meeting on November 3, 2021, by remote means. The meeting will begin at 10:00 a.m. (ET) and will be open to the public via webcast on the Commission's website at www.sec.gov. Persons needing special accommodations to take part because of a disability should notify the contact person listed below. The public is invited to submit written statements to the Committee. The meeting will include a discussion of matters in the asset management industry relating to the Evolution of Advice and the Small Advisers and Small Funds Subcommittees, including potential recommendations.
Oct 26, 2021 | 04:00 EST
- Self-Regulatory Organizations; ICE Clear Credit LLC; Order Approving Proposed Rule Change Relating to the ICC Back-Testing Framework
Oct 26, 2021 | 04:00 EST
- Proposed Collection; Comment Request
Oct 25, 2021 | 04:00 EST
- Proposed Collection; Comment Request
Oct 25, 2021 | 04:00 EST
- Submission for OMB Review; Comment Request
Oct 25, 2021 | 04:00 EST
- Sunshine Act Meetings
Oct 25, 2021 | 04:00 EST
- Submission for OMB Review; Comment Request
Oct 25, 2021 | 04:00 EST
- Proposed Collection; Comment Request
Oct 25, 2021 | 04:00 EST
- Self-Regulatory Organizations; MEMX LLC; Notice of Designation of a Longer Period for Commission Action on a Proposed Rule Change To Establish a Retail Midpoint Liquidity Program
Oct 25, 2021 | 04:00 EST
- Submission for OMB Review; Comment Request
Oct 25, 2021 | 04:00 EST
- Credit Suisse Asset Management, LLC., et al.; Notice of Application and Temporary Order
Oct 25, 2021 | 04:00 EST
- Proposed Collection; Comment Request
Oct 25, 2021 | 04:00 EST
- Submission for OMB Review; Comment Request
Oct 25, 2021 | 04:00 EST
- Submission for OMB Review; Comment Request
Oct 25, 2021 | 04:00 EST
- Sunshine Act Meetings
Oct 25, 2021 | 04:00 EST
- Submission for OMB Review; Comment Request
Oct 25, 2021 | 04:00 EST
- Submission for OMB Review; Comment Request
Oct 25, 2021 | 04:00 EST
- Proposed Collection; Comment Request
Oct 25, 2021 | 04:00 EST
- Self-Regulatory Organizations; MEMX LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Adopt a Billing Errors Policy and Enable the Exchange To Agree to Alternative Payment Instructions for the Exchange's Direct Debit Collection Process
Oct 25, 2021 | 04:00 EST
- Self-Regulatory Organizations; Cboe Futures Exchange, LLC; Notice of a Filing of a Proposed Rule Change Regarding Disruptive Trading Practices
Oct 25, 2021 | 04:00 EST
- Self-Regulatory Organizations; the Options Clearing Corporation; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Concerning the Interest Rates Used for Options Pricing in the STANS Methodology Description
Oct 22, 2021 | 04:00 EST
- Self-Regulatory Organizations; Cboe C2 Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Extend the Pilot Period Related to the Market-Wide Circuit Breaker in Rule 6.32.01
Oct 22, 2021 | 04:00 EST
- Self-Regulatory Organizations; Cboe Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Extend the Pilot Period Related to the Market-Wide Circuit Breaker in Rule 5.22
Oct 22, 2021 | 04:00 EST
- Asset Management Advisory Committee
Notice is being provided that the Securities and Exchange Commission Asset Management Advisory Committee (''AMAC'') will hold a public meeting on October 28, 2021, by remote means. The meeting will begin at 10:00 a.m. (ET) and will be open to the public via webcast on the Commission's website at www.sec.gov. Persons needing special accommodations to take part because of a disability should notify the contact person listed below. The public is invited to submit written statements to the Committee. The meeting will include a discussion of matters in the asset management industry relating to the Evolution of Advice and the Small Advisers and Small Funds Subcommittees, including panel discussions and potential recommendations.
Oct 22, 2021 | 04:00 EST
- Self-Regulatory Organizations; Long-Term Stock Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Extend the Date of the Pilot Related to the Market-Wide Circuit Breaker in Rule 11.280
Oct 22, 2021 | 04:00 EST
- Reopening of Comment Period for Listing Standards for Recovery of Erroneously Awarded Compensation
The Securities and Exchange Commission (''Commission'') is reopening the comment period for its proposal to implement the provisions of Section 954 of the Dodd-Frank Wall Street Reform and Consumer Protection Act of 2010 (''Dodd-Frank Act''). The proposed rule would direct the national securities exchanges and national securities associations to establish listing standards that would require each issuer to develop and implement a policy providing for the recovery, under certain circumstances, of incentive-based compensation based on financial information required to be reported under the securities laws that is received by current or former executive officers, and require disclosure of the policy (the ''Proposed Rules''). The Proposed Rules were set forth in a release published in the Federal Register on July 14, 2015 (Release No. 34-75342) (the ''Proposing Release''), and the related comment period ended on September 14, 2015. The reopening of this comment period is intended to allow interested persons further opportunity to analyze and comment upon the Proposed Rules in light of developments since the publication of the Proposing Release and our further consideration of the Section 954 mandate.
Oct 21, 2021 | 04:00 EST
- Sunshine Act Meetings
Oct 21, 2021 | 04:00 EST
- Self-Regulatory Organizations; NYSE Chicago, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Extend the Current Pilot Program Related to Rule 7.10
Oct 21, 2021 | 04:00 EST
- Self-Regulatory Organizations: MIAX Emerald, LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Its Fee Schedule To Adjust the Options Regulatory Fee
Oct 21, 2021 | 04:00 EST
- Self-Regulatory Organizations; MEMX LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Extend the Pilot Related to Clearly Erroneous Transactions Until April 20, 2022
Oct 21, 2021 | 04:00 EST
- Submission for OMB Review; Comment Request
Oct 21, 2021 | 04:00 EST
- Self-Regulatory Organizations; NYSE National, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Extend the Current Pilot Program Related to Rule 7.10
Oct 21, 2021 | 04:00 EST
- Self-Regulatory Organizations; Cboe BYX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Extend the Pilot Related to the Market-Wide Circuit Breaker in Rule 11.18
Oct 21, 2021 | 04:00 EST
- Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Extend the Current Pilot Program Related to Rule 7.10-E
Oct 21, 2021 | 04:00 EST
- Submission for OMB Review; Comment Request
Oct 21, 2021 | 04:00 EST
- Proposed Collection; Comment Request
Oct 21, 2021 | 04:00 EST
- Self-Regulatory Organizations; Cboe EDGA Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Extend the Pilot Related to the Market-Wide Circuit Breaker in Rule 11.16
Oct 21, 2021 | 04:00 EST
- Self-Regulatory Organizations; Cboe BZX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Extend the Current Pilot Program Related to Clearly Erroneous Executions, to the Close of Business on April 20, 2022
Oct 21, 2021 | 04:00 EST
- Self-Regulatory Organizations; Cboe Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Its Fees Schedule With Respect to Its Lead Market-Maker Incentive Programs
Oct 21, 2021 | 04:00 EST
- Self-Regulatory Organizations; MIAX PEARL, LLC; Notice of Withdrawal of a Proposed Rule Change To Amend the MIAX Pearl Options Fee Schedule To Increase the Monthly Fees for MIAX Express Network Full Service Ports
Oct 21, 2021 | 04:00 EST
- Proposed Collection; Comment Request
Oct 21, 2021 | 04:00 EST
- Self-Regulatory Organizations; Cboe BZX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Extend the Pilot Related to the Market-Wide Circuit Breaker in Rule 11.18
Oct 21, 2021 | 04:00 EST
- Self-Regulatory Organizations; NYSE American LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Extend the Current Pilot Program Related to Rule 7.10E
Oct 21, 2021 | 04:00 EST
- Self-Regulatory Organizations; Cboe BYX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating To Extend the Current Pilot Program Related To Clearly Erroneous Executions, to the Close of Business on April 20, 2022
Oct 21, 2021 | 04:00 EST
- Self-Regulatory Organizations; Cboe EDGX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Extend the Pilot Related to the Market-Wide Circuit Breaker in Rule 11.16
Oct 21, 2021 | 04:00 EST
- Self-Regulatory Organizations; Cboe EDGA Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Extend the Current Pilot Program Related to Clearly Erroneous Executions, to the Close of Business on April 20, 2022
Oct 21, 2021 | 04:00 EST
- Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Extend the Current Pilot Program Related to Rule 7.10
Oct 21, 2021 | 04:00 EST
- Self-Regulatory Organizations: Miami International Securities Exchange LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Its Fee Schedule To Adjust the Options Regulatory Fee
Oct 21, 2021 | 04:00 EST
- Self-Regulatory Organizations: MIAX PEARL, LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the MIAX Pearl Options Fee Schedule To Adjust the Options Regulatory Fee
Oct 21, 2021 | 04:00 EST
- Self-Regulatory Organizations; MEMX LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Extend the Pilot Related to the Market Wide Circuit Breaker Until March 18, 2022
Oct 21, 2021 | 04:00 EST
- Self-Regulatory Organizations; MIAX PEARL, LLC; Notice of Withdrawal of a Proposed Rule Change To Amend the MIAX Pearl Options Fee Schedule To Remove Certain Credits and Increase Trading Permit Fees
Oct 21, 2021 | 04:00 EST
- For Submission Comment Request
Oct 21, 2021 | 04:00 EST
- Self-Regulatory Organizations; Cboe EDGX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Extend the Current Pilot Program Related to Clearly Erroneous Executions, to the Close of Business on April 20, 2022
Oct 21, 2021 | 04:00 EST
- Self-Regulatory Organizations; The Nasdaq Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Extend the Pilot Related to Clearly Erroneous Transactions Until April 20, 2022
Oct 21, 2021 | 04:00 EST
- Proposed Collection; Comment Request
Oct 21, 2021 | 04:00 EST
- Submission for OMB Review; Comment Request
Oct 21, 2021 | 04:00 EST
- Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Extend the Pilot Program Related to FINRA Rule 11892 (Clearly Erroneous Transactions in Exchange-Listed Securities)
Oct 21, 2021 | 04:00 EST
- Self-Regulatory Organizations; New York Stock Exchange LLC; NYSE American LLC; NYSE Arca, Inc.; NYSE National, Inc.; NYSE Chicago, Inc.; Notice of Withdrawal of Proposed Rule Changes To Amend Each of the Exchange's Fee Schedules Related to Co-Location
Oct 20, 2021 | 04:00 EST
- Program for Allocation of Regulatory Responsibilities Pursuant to Rule 17d-2; Notice of Filing and Order Approving and Declaring Effective an Amended Plan for the Allocation of Regulatory Responsibilities Between the Financial Industry Regulatory Authority, Inc. and Investors' Exchange LLC
Oct 20, 2021 | 04:00 EST
- Self-Regulatory Organizations; New York Stock Exchange LLC, NYSE American LLC, NYSE Arca, Inc., NYSE Chicago, Inc., and NYSE National, Inc.; Notice of Withdrawal of Proposed Rule Changes To Amend the Fee Schedule To Add Meet-Me-Room Connectivity Services Available at the Mahwah Data Center
Oct 20, 2021 | 04:00 EST
- Self-Regulatory Organizations; Nasdaq BX, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Extend the Pilot Related to Clearly Erroneous Transactions Until April 20, 2022
Oct 20, 2021 | 04:00 EST
- Self-Regulatory Organizations; Cboe BZX Exchange, Inc.; Notice of Withdrawal of a Proposed Rule Change To Allow Invesco Focused Discovery Growth ETF and Invesco Select Growth ETF To Strike and Publish Multiple Intraday Net Asset Values
Oct 20, 2021 | 04:00 EST
- Self-Regulatory Organizations; Cboe Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating To Amend Rule 5.54 and Rule 5.55 in Connection With a Designated Primary Market-Maker's and a Lead Market-Maker's Obligation To Submit Opening Quotes for the Regular Trading Hours Session in Index Options
Oct 20, 2021 | 04:00 EST
- Self-Regulatory Organizations; Nasdaq ISE, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the Exchange's Pricing Schedule at Options 7, Section 6.A To Modify the QCC and Solicitation Rebate Program
Oct 20, 2021 | 04:00 EST
- Self-Regulatory Organizations; Miami International Securities Exchange, LLC, MIAX Emerald, LLC, and MIAX PEARL, LLC; Notice of Withdrawal of Proposed Rule Changes To Amend Fees for Purge Ports
Oct 20, 2021 | 04:00 EST
- Self-Regulatory Organizations: Investors Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Extend the Pilot Period for the Market-Wide Circuit Breakers to March 18, 2022
Oct 20, 2021 | 04:00 EST
- Self-Regulatory Organizations; Nasdaq PHLX LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Extend the Pilot Related to Clearly Erroneous Transactions Until April 20, 2022
Oct 20, 2021 | 04:00 EST
- Self-Regulatory Organizations; New York Stock Exchange LLC, NYSE American LLC, NYSE Arca, Inc., NYSE Chicago, Inc., and NYSE National, Inc.; Notice of Withdrawal of Proposed Rule Changes To Amend the Schedule of Wireless Connectivity Fees and Charges To Add Connectivity Services Available at the Data Center in Mahwah, New Jersey
Oct 20, 2021 | 04:00 EST
- Self-Regulatory Organizations; MIAX PEARL, LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change by To Extend the Pilot Related to the Market-Wide Circuit Breakers in Exchange Rule 2622
Oct 20, 2021 | 04:00 EST
- Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Its Rules To Add New Rule 7.13
Oct 19, 2021 | 04:00 EST
- Self-Regulatory Organizations; The Nasdaq Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Extend the Pilot Related to the Market Wide Circuit Breaker Until March 18, 2022
Oct 19, 2021 | 04:00 EST
- Self-Regulatory Organizations; Miami International Securities Exchange LLC; Notice of Withdrawal of Proposed Rule Change To Amend Its Fee Schedule To Adjust the Options Regulatory Fee
Oct 19, 2021 | 04:00 EST
- Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Extend the Pilot Period Related to FINRA Rule 6121.02 (Market-Wide Circuit Breakers in NMS Stocks)
Oct 19, 2021 | 04:00 EST
- Self-Regulatory Organizations; Miami International Securities Exchange, LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Its Fee Schedule
Oct 19, 2021 | 04:00 EST
- Self-Regulatory Organizations; Cboe EDGX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Adopt a Rule Regarding the Allowance of Off-Exchange Transactions by a Member Acting as Agent Otherwise Than on EDGX in Accordance With Rule 19c-1 Under the Securities Exchange Act of 1934
Oct 19, 2021 | 04:00 EST
- Self-Regulatory Organizations; Cboe BZX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend its Fee Schedule
Oct 19, 2021 | 04:00 EST
- Self-Regulatory Organizations; MIAX PEARL, LLC; Notice of Withdrawal of Proposed Rule Change To Amend Its Fee Schedule To Adjust the Options Regulatory Fee
Oct 19, 2021 | 04:00 EST
- 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
Oct 19, 2021 | 04:00 EST
- Self-Regulatory Organizations; MIAX Emerald, LLC; Notice of Withdrawal of Proposed Rule Change To Amend Its Fee Schedule To Adjust the Options Regulatory Fee
Oct 19, 2021 | 04:00 EST
- Self-Regulatory Organizations; Cboe BZX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the Fees in BZX Rule 14.13 Applicable to Securities Listed on the Exchange
Oct 18, 2021 | 04:00 EST
- Self-Regulatory Organizations; Nasdaq PHLX LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Options 7, Section 4, Multiply Listed Options Fees
Oct 18, 2021 | 04:00 EST
- Sunshine Act Meetings
Oct 18, 2021 | 04:00 EST
- Self-Regulatory Organizations; Nasdaq BX, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Extend the Pilot Related to the Market Wide Circuit Breaker Until March 18, 2022
Oct 18, 2021 | 04:00 EST
- Self-Regulatory Organizations; Cboe BYX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Adopt a Rule Regarding the Allowance of Off-Exchange Transactions by a Member Acting as Agent Otherwise Than on BYX in Accordance With Rule 19c-1 Under the Securities Exchange Act of 1934
Oct 18, 2021 | 04:00 EST
- Self-Regulatory Organizations; Nasdaq PHLX LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the Exchange's Pricing Schedule at Options 7, Section 10
Oct 18, 2021 | 04:00 EST
- Self-Regulatory Organizations; Cboe BZX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Adopt a Rule Regarding the Allowance of Off-Exchange Transactions by a Member Acting as Agent Otherwise Than on BZX in Accordance With Rule 19c-1 Under the Securities Exchange Act of 1934
Oct 18, 2021 | 04:00 EST
- First Eagle Global Opportunities Fund, et al.
Oct 18, 2021 | 04:00 EST
- Order Granting Conditional Substituted Compliance in Connection With Certain Requirements Applicable to Non-U.S. Security-Based Swap Dealers Subject to Regulation in the Swiss Confederation
Oct 15, 2021 | 04:00 EST
- Enhanced Reporting of Proxy Votes by Registered Management Investment Companies; Reporting of Executive Compensation Votes by Institutional Investment Managers
The Securities and Exchange Commission (''Commission'') is proposing to amend Form N-PX under the Investment Company Act of 1940 (''Investment Company Act'') to enhance the information mutual funds, exchange-traded funds (''ETFs''), and certain other funds currently report annually about their proxy votes and to make that information easier to analyze. The Commission also is proposing rule and form amendments under the Securities Exchange Act of 1934 (''Exchange Act'') that would require an institutional investment manager subject to the Exchange Act to report annually on Form N-PX how it voted proxies relating to executive compensation matters, as required by the Exchange Act. The proposed reporting requirements for institutional investment managers, if adopted, would complete implementation of those requirements under the Dodd-Frank Wall Street Reform and Consumer Protection Act (''Dodd-Frank Act'').
Oct 15, 2021 | 04:00 EST
- Self-Regulatory Organizations; Cboe BZX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Rule 21.1 in Connection With Time-In-Force Instructions Available for Bulk Messages and To Make a Clarifying Change
Oct 14, 2021 | 04:00 EST