Federal Register Recent Federal Regulation Documents - Justia Regulation Tracker - Justia Regulations Tracker https://regulations.justia.com/regulations/fedreg/agencies/agencies-and-commissions/securities-and-exchange-commission/2020/01/23?limit=200&registers=between&mode=atom 2024-12-28T17:04:14-08:00 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/2020/01/23/2020-01097.html Notice - Self-Regulatory Organizations; New York Stock Exchange LLC; Order Instituting Proceedings To Determine Whether To Approve or Disapprove a Proposed Rule Change To Permit the Exchange To List and Trade Exchange Traded Products 2020-01-23T00:00:00-08:00 2020-01-23T00:00:00-08:00 2020-01097 Notice https://www.govinfo.gov/content/pkg/FR-2020-01-23/pdf/2020-01097.pdf https://regulations.justia.com/regulations/fedreg/2020/01/23/2020-01096.html Notice - Self-Regulatory Organizations; The Nasdaq Stock Market LLC; Notice of Filing of Proposed Rule Change To Amend Rule 4121(b) 2020-01-23T00:00:00-08:00 2020-01-23T00:00:00-08:00 2020-01096 Notice https://www.govinfo.gov/content/pkg/FR-2020-01-23/pdf/2020-01096.pdf https://regulations.justia.com/regulations/fedreg/2020/01/23/2020-01041.html Notice - Self-Regulatory Organizations; BOX Exchange 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 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 2020-01-23T00:00:00-08:00 2020-01-23T00:00:00-08:00 2020-01041 Notice https://www.govinfo.gov/content/pkg/FR-2020-01-23/pdf/2020-01041.pdf https://regulations.justia.com/regulations/fedreg/2020/01/23/2020-01040.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 2020-01-23T00:00:00-08:00 2020-01-23T00:00:00-08:00 2020-01040 Notice https://www.govinfo.gov/content/pkg/FR-2020-01-23/pdf/2020-01040.pdf https://regulations.justia.com/regulations/fedreg/2020/01/23/2020-01039.html Notice - Self-Regulatory Organizations; The Nasdaq Stock Market LLC; Notice of Designation of Longer Period for Commission Action on a Proposed Rule Change To Amend Rule 4121 2020-01-23T00:00:00-08:00 2020-01-23T00:00:00-08:00 2020-01039 Notice https://www.govinfo.gov/content/pkg/FR-2020-01-23/pdf/2020-01039.pdf https://regulations.justia.com/regulations/fedreg/2020/01/23/2020-01038.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 To Introduce Two New Pricing Tiers, Retail Order Step-Up Tier 3 and Retail Order Step-Up Tier 4 2020-01-23T00:00:00-08:00 2020-01-23T00:00:00-08:00 2020-01038 Notice https://www.govinfo.gov/content/pkg/FR-2020-01-23/pdf/2020-01038.pdf https://regulations.justia.com/regulations/fedreg/2020/01/23/2020-01037.html Notice - Self-Regulatory Organizations; NYSE American LLC; Notice of Filing and Immediate Effectiveness of Proposed Change To Add to the Rules of the Exchange the Thirteenth Amended and Restated Operating Agreement of the New York Stock Exchange LLC 2020-01-23T00:00:00-08:00 2020-01-23T00:00:00-08:00 2020-01037 Notice https://www.govinfo.gov/content/pkg/FR-2020-01-23/pdf/2020-01037.pdf https://regulations.justia.com/regulations/fedreg/2020/01/23/2020-01036.html Notice - Self-Regulatory Organizations; Cboe BZX Exchange, Inc.; Notice of Filing of a Proposed Rule Change To List and Trade Shares of the -1x Short VIX Futures ETF, a Series of VS Trust, Under Rule 14.11(f)(4) (Trust Issued Receipts) 2020-01-23T00:00:00-08:00 2020-01-23T00:00:00-08:00 2020-01036 Notice https://www.govinfo.gov/content/pkg/FR-2020-01-23/pdf/2020-01036.pdf https://regulations.justia.com/regulations/fedreg/2020/01/23/2020-01035.html Notice - Self-Regulatory Organizations; Cboe C2 Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating To Amend Its Rules Governing the Give Up of a Clearing Trading Permit Holder by a Trading Permit Holder on Exchange Transactions 2020-01-23T00:00:00-08:00 2020-01-23T00:00:00-08:00 2020-01035 Notice https://www.govinfo.gov/content/pkg/FR-2020-01-23/pdf/2020-01035.pdf https://regulations.justia.com/regulations/fedreg/2020/01/23/2020-01034.html Notice - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing of a Proposed Rule Change To Amend the Rule 6800 Series, the Exchange's Compliance Rule Regarding the National Market System Plan Governing the Consolidated Audit Trail 2020-01-23T00:00:00-08:00 2020-01-23T00:00:00-08:00 2020-01034 Notice https://www.govinfo.gov/content/pkg/FR-2020-01-23/pdf/2020-01034.pdf https://regulations.justia.com/regulations/fedreg/2020/01/23/2020-01033.html Notice - Self-Regulatory Organizations; NYSE American LLC; Notice of Filing of Proposed Rule Change To Amend the Rule 6800 Series, the Exchange's Compliance Rule Regarding the National Market System Plan Governing the Consolidated Audit Trail 2020-01-23T00:00:00-08:00 2020-01-23T00:00:00-08:00 2020-01033 Notice https://www.govinfo.gov/content/pkg/FR-2020-01-23/pdf/2020-01033.pdf https://regulations.justia.com/regulations/fedreg/2020/01/23/2020-01032.html Notice - Self-Regulatory Organizations; NYSE Chicago, Inc.; Notice of Filing of Proposed Rule Change, as Modified by Amendment No. 1 Thereto, To Amend the Rule 6.6800 Series, the Exchange's Compliance Rule Regarding the National Market System Plan Governing the Consolidated Audit Trail 2020-01-23T00:00:00-08:00 2020-01-23T00:00:00-08:00 2020-01032 Notice https://www.govinfo.gov/content/pkg/FR-2020-01-23/pdf/2020-01032.pdf https://regulations.justia.com/regulations/fedreg/2020/01/23/2020-01031.html Notice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing of Proposed Rule Change To Amend the Rule 11.6800 Series, the Exchange's Compliance Rule Regarding the National Market System Plan Governing the Consolidated Audit Trail 2020-01-23T00:00:00-08:00 2020-01-23T00:00:00-08:00 2020-01031 Notice https://www.govinfo.gov/content/pkg/FR-2020-01-23/pdf/2020-01031.pdf https://regulations.justia.com/regulations/fedreg/2020/01/23/2020-01030.html Notice - Self-Regulatory Organizations; NYSE National, Inc.; Notice of Filing of Proposed Rule Change To Amend the Rule 6.6800 Series, the Exchange's Compliance Rule Regarding the National Market System Plan Governing the Consolidated Audit Trail 2020-01-23T00:00:00-08:00 2020-01-23T00:00:00-08:00 2020-01030 Notice https://www.govinfo.gov/content/pkg/FR-2020-01-23/pdf/2020-01030.pdf https://regulations.justia.com/regulations/fedreg/2020/01/23/2020-01029.html Notice - Self-Regulatory Organizations; Cboe BZX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating To Amend Its Rules Governing the Give Up of a Clearing Member by a User on Exchange Transactions 2020-01-23T00:00:00-08:00 2020-01-23T00:00:00-08:00 2020-01029 Notice https://www.govinfo.gov/content/pkg/FR-2020-01-23/pdf/2020-01029.pdf https://regulations.justia.com/regulations/fedreg/2020/01/23/2020-01024.html Notice - Securities Investor Protection Corporation; Notice of Filing of Proposed Bylaw Change, as Revised by Amendment No. 1, Relating to SIPC Board Compensation 2020-01-23T00:00:00-08:00 2020-01-23T00:00:00-08:00 2020-01024 Notice https://www.govinfo.gov/content/pkg/FR-2020-01-23/pdf/2020-01024.pdf https://regulations.justia.com/regulations/fedreg/2020/01/23/2020-01023.html Notice - Securities Investor Protection Corporation; Notice of Filing of Proposed Bylaw Changes Relating to SIPC Member Assessments 2020-01-23T00:00:00-08:00 2020-01-23T00:00:00-08:00 2020-01023 Notice https://www.govinfo.gov/content/pkg/FR-2020-01-23/pdf/2020-01023.pdf