Sunshine Act Meetings

by the Securities and Exchange Commission on 12/17/2020.

Sunshine Act Meetings

by the Securities and Exchange Commission on 12/17/2020.

Self-Regulatory Organizations; NYSE Arca, Inc.; Order Instituting Proceedings To Determine Whether To Approve or Disapprove a Proposed Rule Change To Amend NYSE Arca Rule 8.601-E To Adopt Generic Listing Standards for Active Proxy Portfolio Shares

by the Securities and Exchange Commission on 12/17/2020.

Enterprise Regulatory Capital Framework

by the Federal Housing Finance Agency and the Federal Housing Enterprise Oversight Office on 12/17/2020.

The Federal Housing Finance Agency (FHFA or the Agency) is adopting a final rule (final rule) that establishes risk-based and leverage capital requirements for the Federal National Mortgage Association (Fannie Mae) and the Federal Home Loan Mortgage Corporation (Freddie Mac, and with Fannie Mae, each an Enterprise). The final rule also makes...

Self-Regulatory Organizations; ICE Clear Europe Limited; Order Approving Proposed Rule Change Relating to the ICE Clear Europe Investment Management Procedures

by the Securities and Exchange Commission on 12/16/2020.

Self-Regulatory Organizations; The Nasdaq Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Lower the Enterprise License Fee for Broker-Dealers Distributing Nasdaq Basic to Internal Professional Subscribers as Set Forth in the Equity 7 Pricing Schedule, Section 147, and the Enterprise License Fee for Broker-Dealers Distributing Nasdaq Last Sale to Professional Subscribers at Equity 7, Section 139

by the Securities and Exchange Commission on 12/15/2020.

Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing of Proposed Rule Change To List and Trade the Shares of the Teucrium Water Fund Under NYSE Arca Rule 8.200-E, Commentary .02

by the Securities and Exchange Commission on 12/14/2020.

Sunshine Act Meetings

by the Securities and Exchange Commission on 12/14/2020.

Self-Regulatory Organizations; MIAX PEARL, LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Exchange Rule 2611, Odd and Mixed Lots

by the Securities and Exchange Commission on 12/11/2020.

Self-Regulatory Organizations; The Nasdaq Stock Market LLC; Notice of Filing of Proposed Rule Change To Adopt Listing Rules Related to Board Diversity

by the Securities and Exchange Commission on 12/11/2020.

Self-Regulatory Organizations; The Nasdaq Stock Market LLC; Notice of Filing of Proposed Rule Change To Adopt Listing Rule IM-5900-9 To Offer Certain Listed Companies Access to a Complimentary Board Recruiting Solution To Help Advance Diversity on Company Boards

by the Securities and Exchange Commission on 12/10/2020.

Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Regarding the Availability of Information for the iShares Gold Trust and the iShares Silver Trust Under NYSE Arca Rule 8.201-E (Commodity-Based Trust Shares) and iShares S&P GSCI Commodity-Indexed Trust Under Rule 8.203-E (Commodity Index Trust Shares)

by the Securities and Exchange Commission on 12/08/2020.

Exemption From Registration for Certain Foreign Intermediaries

by the Commodity Futures Trading Commission on 12/07/2020.

The Commodity Futures Trading Commission (CFTC or Commission) is adopting amendments (Final Rule) revising the conditions set forth in the Commission regulation under which a person located outside of the United States (each, a foreign located person) engaged in the activity of a commodity pool operator (CPO) in connection with commodity...

Self-Regulatory Organizations; The Nasdaq Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Exempt Proxy Portfolio Shares From Certain Governance Requirements and Include Proxy Portfolio Shares to the List of Products Covered Under Nasdaq Rule 4120 (Limit Up-Limit Down Plan and Trading Halts)

by the Securities and Exchange Commission on 12/07/2020.

Sunshine Act Meetings

by the Commodity Futures Trading Commission on 12/04/2020.

Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing of a Proposed Rule Change To Adopt FINRA Rule 4111 (Restricted Firm Obligations) and FINRA Rule 9561 (Procedures for Regulating Activities Under Rule 4111)

by the Securities and Exchange Commission on 12/04/2020.

Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Deemed Approval of a Proposed Rule Change To Adopt Rule 8.601 (Active Proxy Portfolio Shares) and Rule 8.900 (Managed Portfolio Shares), Amend the Preamble to Rule 8P, and Amend Section 302.00 of the Listed Company Manual

by the Securities and Exchange Commission on 12/03/2020.

Agency Information Collection Activities: Proposed Revised Collection, Comment Request: “Swap Data Recordkeeping and Reporting Requirements”

by the Commodity Futures Trading Commission on 12/02/2020.

The Commodity Futures Trading Commission (``CFTC'' or ``Commission'') is announcing an opportunity for public comment on the revision of an information collection by the agency. Under the Paperwork Reduction Act of 1995 (``PRA''), Federal agencies are required to publish notice in the Federal Register concerning each revised collection of...

Agency Information Collection Activities: Proposed Revised Collection, Comment Request: “Real Time Public Reporting”

by the Commodity Futures Trading Commission on 12/02/2020.

The Commodity Futures Trading Commission (``CFTC'' or ``Commission'') is announcing an opportunity for public comment on the revision of an information collection by the agency. Under the Paperwork Reduction Act of 1995 (``PRA''), Federal agencies are required to publish notice in the Federal Register concerning each revised collection of...

Proposed Collection; Comment Request

by the Securities and Exchange Commission on 12/02/2020.