<![CDATA[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/2020/02/05?registers=between Sun, 19 May 2024 07:05:13 -0700 Sun, 19 May 2024 07:05:13 -0700 Justia Regulations Tracker Copyright 2011 Justia Inc. https://regulations.justia.com/images/justiafedregulations.gif <![CDATA[Federal Register Recent Federal Regulation Documents - Justia Regulation Tracker - Justia Regulations Tracker]]> https://regulations.justia.com/regulations/fedreg/agencies/agencies-and-commissions/securities-and-exchange-commission/2020/02/05?registers=between Notice - Submission for OMB Review; Comment Request https://regulations.justia.com/regulations/fedreg/2020/02/05/2020-02234.html https://regulations.justia.com/regulations/fedreg/2020/02/05/2020-02234.html Wed, 05 Feb 2020 00:00:00 -0800 2020-02234 Notice https://www.govinfo.gov/content/pkg/FR-2020-02-05/pdf/2020-02234.pdf Notice - Proposed Collection; Comment Request https://regulations.justia.com/regulations/fedreg/2020/02/05/2020-02233.html https://regulations.justia.com/regulations/fedreg/2020/02/05/2020-02233.html Wed, 05 Feb 2020 00:00:00 -0800 2020-02233 Notice https://www.govinfo.gov/content/pkg/FR-2020-02-05/pdf/2020-02233.pdf Notice - Proposed Collection; Comment Request https://regulations.justia.com/regulations/fedreg/2020/02/05/2020-02232.html https://regulations.justia.com/regulations/fedreg/2020/02/05/2020-02232.html Wed, 05 Feb 2020 00:00:00 -0800 2020-02232 Notice https://www.govinfo.gov/content/pkg/FR-2020-02-05/pdf/2020-02232.pdf Notice - Submission for OMB Review; Comment Request https://regulations.justia.com/regulations/fedreg/2020/02/05/2020-02231.html https://regulations.justia.com/regulations/fedreg/2020/02/05/2020-02231.html Wed, 05 Feb 2020 00:00:00 -0800 2020-02231 Notice https://www.govinfo.gov/content/pkg/FR-2020-02-05/pdf/2020-02231.pdf Notice - Proposed Collection; Comment Request https://regulations.justia.com/regulations/fedreg/2020/02/05/2020-02230.html https://regulations.justia.com/regulations/fedreg/2020/02/05/2020-02230.html Wed, 05 Feb 2020 00:00:00 -0800 2020-02230 Notice https://www.govinfo.gov/content/pkg/FR-2020-02-05/pdf/2020-02230.pdf Notice - Self-Regulatory Organizations; Cboe BZX Exchange, Inc.; Notice of Filing of a Proposed Rule Change Relating To Amend Certain Rules Within Rules 4.5 Through 4.16, Which Contain 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 https://regulations.justia.com/regulations/fedreg/2020/02/05/2020-02204.html https://regulations.justia.com/regulations/fedreg/2020/02/05/2020-02204.html Wed, 05 Feb 2020 00:00:00 -0800 2020-02204 Notice https://www.govinfo.gov/content/pkg/FR-2020-02-05/pdf/2020-02204.pdf Notice - Self-Regulatory Organizations; CboeBZX Exchange, Inc.; Notice of Designation of a Longer Period for Commission Action on Proceedings To Determine Whether To Approve or Disapprove a Proposed Rule Change, as Modified by Amendment No. 1, To List and Trade Shares of the iShares California Short Maturity Muni Bond ETF of the iShares U.S. ETF Trust Under Rule 14.11(i), Managed Fund Shares https://regulations.justia.com/regulations/fedreg/2020/02/05/2020-02203.html https://regulations.justia.com/regulations/fedreg/2020/02/05/2020-02203.html Wed, 05 Feb 2020 00:00:00 -0800 2020-02203 Notice https://www.govinfo.gov/content/pkg/FR-2020-02-05/pdf/2020-02203.pdf Notice - Self-Regulatory Organizations; Cboe EDGX Exchange, Inc.; Notice of Filing of a Proposed Rule Change Relating 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 https://regulations.justia.com/regulations/fedreg/2020/02/05/2020-02194.html https://regulations.justia.com/regulations/fedreg/2020/02/05/2020-02194.html Wed, 05 Feb 2020 00:00:00 -0800 2020-02194 Notice https://www.govinfo.gov/content/pkg/FR-2020-02-05/pdf/2020-02194.pdf Notice - Self-Regulatory Organizations; Cboe BYX Exchange, Inc.; Notice of Filing of a Proposed Rule Change Relating 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 https://regulations.justia.com/regulations/fedreg/2020/02/05/2020-02193.html https://regulations.justia.com/regulations/fedreg/2020/02/05/2020-02193.html Wed, 05 Feb 2020 00:00:00 -0800 2020-02193 Notice https://www.govinfo.gov/content/pkg/FR-2020-02-05/pdf/2020-02193.pdf Notice - Self-Regulatory Organizations; NYSE National, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Certain Grammatical or Non-Substantive Changes to the NYSE National Rule 10.8000 and Rule 10.9000 https://regulations.justia.com/regulations/fedreg/2020/02/05/2020-02192.html https://regulations.justia.com/regulations/fedreg/2020/02/05/2020-02192.html Wed, 05 Feb 2020 00:00:00 -0800 2020-02192 Notice https://www.govinfo.gov/content/pkg/FR-2020-02-05/pdf/2020-02192.pdf Notice - Self-Regulatory Organizations; BOX Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Exchange Rule 10070, Anti-Money Laundering Compliance Program, To Reflect the Financial Crimes Enforcement Network's Adoption of a Final Rule on Customer Due Diligence Requirements for Financial Institutions https://regulations.justia.com/regulations/fedreg/2020/02/05/2020-02191.html https://regulations.justia.com/regulations/fedreg/2020/02/05/2020-02191.html Wed, 05 Feb 2020 00:00:00 -0800 2020-02191 Notice https://www.govinfo.gov/content/pkg/FR-2020-02-05/pdf/2020-02191.pdf Notice - Self-Regulatory Organizations; Cboe Exchange, Inc.; Notice of Filing of a Proposed Rule Change Relating 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 https://regulations.justia.com/regulations/fedreg/2020/02/05/2020-02190.html https://regulations.justia.com/regulations/fedreg/2020/02/05/2020-02190.html Wed, 05 Feb 2020 00:00:00 -0800 2020-02190 Notice https://www.govinfo.gov/content/pkg/FR-2020-02-05/pdf/2020-02190.pdf Notice - Self-Regulatory Organizations; Miami International Securities Exchange, LLC; Notice of Filing of a Proposed Rule Change To Amend MIAX Chapter XVII, Consolidated Audit Trail Compliance Rule https://regulations.justia.com/regulations/fedreg/2020/02/05/2020-02189.html https://regulations.justia.com/regulations/fedreg/2020/02/05/2020-02189.html Wed, 05 Feb 2020 00:00:00 -0800 2020-02189 Notice https://www.govinfo.gov/content/pkg/FR-2020-02-05/pdf/2020-02189.pdf Notice - Self-Regulatory Organizations; Cboe EDGA Exchange, Inc.; Notice of Filing of a Proposed Rule Change Relating To Amend Certain Rules Within Rules 4.5 Through 4.16, Which Contain 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 https://regulations.justia.com/regulations/fedreg/2020/02/05/2020-02187.html https://regulations.justia.com/regulations/fedreg/2020/02/05/2020-02187.html Wed, 05 Feb 2020 00:00:00 -0800 2020-02187 Notice https://www.govinfo.gov/content/pkg/FR-2020-02-05/pdf/2020-02187.pdf Notice - Self-Regulatory Organizations; The Nasdaq Stock Market LLC; Notice of Designation of a Longer Period for Commission Action on a Proposed Rule Change To Amend Rule 5815 To Preclude Stay During Hearing Panel Review of Staff Delisting Determinations in Certain Circumstances https://regulations.justia.com/regulations/fedreg/2020/02/05/2020-02186.html https://regulations.justia.com/regulations/fedreg/2020/02/05/2020-02186.html Wed, 05 Feb 2020 00:00:00 -0800 2020-02186 Notice https://www.govinfo.gov/content/pkg/FR-2020-02-05/pdf/2020-02186.pdf Notice - Self-Regulatory Organizations; National Securities Clearing Corporation; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Enhance National Securities Clearing Corporation's Automated Customer Account Transfer Service (ACATS) Transfer Processes and Make Certain Clarifications in Rule 50 https://regulations.justia.com/regulations/fedreg/2020/02/05/2020-02185.html https://regulations.justia.com/regulations/fedreg/2020/02/05/2020-02185.html Wed, 05 Feb 2020 00:00:00 -0800 2020-02185 Notice https://www.govinfo.gov/content/pkg/FR-2020-02-05/pdf/2020-02185.pdf