<![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/2020/02/28?registers=between Sun, 19 May 2024 14:30:27 -0700 Sun, 19 May 2024 14:30:27 -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/2020/02/28?registers=between Notice - Self-Regulatory Organizations; Nasdaq MRX, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Options 9, Section 21 (Anti-Money Laundering Compliance Program) https://regulations.justia.com/regulations/fedreg/2020/02/28/2020-04075.html https://regulations.justia.com/regulations/fedreg/2020/02/28/2020-04075.html Fri, 28 Feb 2020 00:00:00 -0800 2020-04075 Notice https://www.govinfo.gov/content/pkg/FR-2020-02-28/pdf/2020-04075.pdf Notice - Self-Regulatory Organizations; Nasdaq GEMX, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Options 9, Section 21 (Anti-Money Laundering Compliance Program) https://regulations.justia.com/regulations/fedreg/2020/02/28/2020-04074.html https://regulations.justia.com/regulations/fedreg/2020/02/28/2020-04074.html Fri, 28 Feb 2020 00:00:00 -0800 2020-04074 Notice https://www.govinfo.gov/content/pkg/FR-2020-02-28/pdf/2020-04074.pdf Notice - Self-Regulatory Organizations; Nasdaq PHLX LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend PSX Rule 3506 (Anti-Money Laundering Compliance Program) and Options 9, Section 21 (Anti-Money Laundering Compliance Program) https://regulations.justia.com/regulations/fedreg/2020/02/28/2020-04073.html https://regulations.justia.com/regulations/fedreg/2020/02/28/2020-04073.html Fri, 28 Feb 2020 00:00:00 -0800 2020-04073 Notice https://www.govinfo.gov/content/pkg/FR-2020-02-28/pdf/2020-04073.pdf Notice - Self-Regulatory Organizations; Nasdaq ISE, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Options 9, Section 21 (Anti-Money Laundering Compliance Program) https://regulations.justia.com/regulations/fedreg/2020/02/28/2020-04072.html https://regulations.justia.com/regulations/fedreg/2020/02/28/2020-04072.html Fri, 28 Feb 2020 00:00:00 -0800 2020-04072 Notice https://www.govinfo.gov/content/pkg/FR-2020-02-28/pdf/2020-04072.pdf Notice - Self-Regulatory Organizations; NYSE American LLC; Notice of Filing and Order Granting Accelerated Approval of a Proposed Rule Change for Certain Conforming Changes to Rule 9217 https://regulations.justia.com/regulations/fedreg/2020/02/28/2020-04071.html https://regulations.justia.com/regulations/fedreg/2020/02/28/2020-04071.html Fri, 28 Feb 2020 00:00:00 -0800 2020-04071 Notice https://www.govinfo.gov/content/pkg/FR-2020-02-28/pdf/2020-04071.pdf Proposed Rule - Prohibitions and Restrictions on Proprietary Trading and Certain Interests in, and Relationships With, Hedge Funds and Private Equity Funds https://regulations.justia.com/regulations/fedreg/2020/02/28/2020-02707.html https://regulations.justia.com/regulations/fedreg/2020/02/28/2020-02707.html Fri, 28 Feb 2020 00:00:00 -0800 2020-02707 Proposed Rule https://www.govinfo.gov/content/pkg/FR-2020-02-28/pdf/2020-02707.pdf Proposed Rule - Management's Discussion and Analysis, Selected Financial Data, and Supplementary Financial Information https://regulations.justia.com/regulations/fedreg/2020/02/28/2020-02313.html https://regulations.justia.com/regulations/fedreg/2020/02/28/2020-02313.html Fri, 28 Feb 2020 00:00:00 -0800 2020-02313 Proposed Rule https://www.govinfo.gov/content/pkg/FR-2020-02-28/pdf/2020-02313.pdf