<![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/2020/03/19?registers=between
Mon, 21 Jul 2025 15:55:23 -0700Mon, 21 Jul 2025 15:55:23 -0700Justia Regulations TrackerCopyright 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/2020/03/19?registers=between
Notice - Investment Advisers Act of 1940; Order Under Section 206A of the Investment Advisers Act of 1940 Granting Exemptions From Specified Provisions of the Investment Advisers Act and Certain Rules Thereunder
https://regulations.justia.com/regulations/fedreg/2020/03/19/2020-05710.html
https://regulations.justia.com/regulations/fedreg/2020/03/19/2020-05710.htmlThu, 19 Mar 2020 00:00:00 -07002020-05710Noticehttps://www.govinfo.gov/content/pkg/FR-2020-03-19/pdf/2020-05710.pdfNotice - Consolidated Tape Association; Order Approving the Thirty-First Substantive Amendment to the Second Restatement of the CTA Plan Regarding Publication of Trade Reports During Race Conditions
https://regulations.justia.com/regulations/fedreg/2020/03/19/2020-05706.html
https://regulations.justia.com/regulations/fedreg/2020/03/19/2020-05706.htmlThu, 19 Mar 2020 00:00:00 -07002020-05706Noticehttps://www.govinfo.gov/content/pkg/FR-2020-03-19/pdf/2020-05706.pdfNotice - Investment Company Act of 1940; Order Under Section 6(C) and Section 38(A) of the Investment Company Act of 1940 Granting Exemptions From Specified Provisions of the Investment Company Act and Certain Rules Thereunder; Commission Statement Regarding Prospectus Delivery
https://regulations.justia.com/regulations/fedreg/2020/03/19/2020-05705.html
https://regulations.justia.com/regulations/fedreg/2020/03/19/2020-05705.htmlThu, 19 Mar 2020 00:00:00 -07002020-05705Noticehttps://www.govinfo.gov/content/pkg/FR-2020-03-19/pdf/2020-05705.pdfNotice - Joint Industry Plan; Order Approving Forty-Fifth Amendment to the Joint Self-Regulatory Organization Plan Governing the Collection, Consolidation, and Dissemination of Quotation and Transaction Information for Nasdaq-Listed Securities Traded on Exchanges on an Unlisted Trading Privileges Basis
https://regulations.justia.com/regulations/fedreg/2020/03/19/2020-05704.html
https://regulations.justia.com/regulations/fedreg/2020/03/19/2020-05704.htmlThu, 19 Mar 2020 00:00:00 -07002020-05704Noticehttps://www.govinfo.gov/content/pkg/FR-2020-03-19/pdf/2020-05704.pdfNotice - Self-Regulatory Organizations; Cboe Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Rule 5.24
https://regulations.justia.com/regulations/fedreg/2020/03/19/2020-05703.html
https://regulations.justia.com/regulations/fedreg/2020/03/19/2020-05703.htmlThu, 19 Mar 2020 00:00:00 -07002020-05703Noticehttps://www.govinfo.gov/content/pkg/FR-2020-03-19/pdf/2020-05703.pdfNotice - Self-Regulatory Organizations; Fixed Income Clearing Corporation; Notice of No Objection To Advance Notice To Amend the Mortgage-Backed Securities Division Stress Testing Methodology
https://regulations.justia.com/regulations/fedreg/2020/03/19/2020-05697.html
https://regulations.justia.com/regulations/fedreg/2020/03/19/2020-05697.htmlThu, 19 Mar 2020 00:00:00 -07002020-05697Noticehttps://www.govinfo.gov/content/pkg/FR-2020-03-19/pdf/2020-05697.pdfNotice - Self-Regulatory Organizations; The Nasdaq Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Rule 4121 (Trading Halts Due to Extraordinary Market Volatility)
https://regulations.justia.com/regulations/fedreg/2020/03/19/2020-05680.html
https://regulations.justia.com/regulations/fedreg/2020/03/19/2020-05680.htmlThu, 19 Mar 2020 00:00:00 -07002020-05680Noticehttps://www.govinfo.gov/content/pkg/FR-2020-03-19/pdf/2020-05680.pdfNotice - Self-Regulatory Organizations; The Depository Trust Company; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the DTC Fee Guide To Add Fees Relating to the Provision of Status Information for Institutional Transactions to a Matching Utility
https://regulations.justia.com/regulations/fedreg/2020/03/19/2020-05679.html
https://regulations.justia.com/regulations/fedreg/2020/03/19/2020-05679.htmlThu, 19 Mar 2020 00:00:00 -07002020-05679Noticehttps://www.govinfo.gov/content/pkg/FR-2020-03-19/pdf/2020-05679.pdfNotice - Self-Regulatory Organizations; ICE Clear Credit LLC; Notice of Designation of Longer Period for Commission Action on Proposed Rule Change Relating to the ICC Risk Management Model Description, ICC Stress Testing Framework, ICC Liquidity Risk Management Framework, ICC Back-Testing Framework, and ICC Risk Parameter Setting and Review Policy
https://regulations.justia.com/regulations/fedreg/2020/03/19/2020-05678.html
https://regulations.justia.com/regulations/fedreg/2020/03/19/2020-05678.htmlThu, 19 Mar 2020 00:00:00 -07002020-05678Noticehttps://www.govinfo.gov/content/pkg/FR-2020-03-19/pdf/2020-05678.pdfNotice - 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 AdvisorShares Pure US Cannabis ETF Under NYSE Arca Rule 8.600-E
https://regulations.justia.com/regulations/fedreg/2020/03/19/2020-05677.html
https://regulations.justia.com/regulations/fedreg/2020/03/19/2020-05677.htmlThu, 19 Mar 2020 00:00:00 -07002020-05677Noticehttps://www.govinfo.gov/content/pkg/FR-2020-03-19/pdf/2020-05677.pdfNotice - Daxor Corporation; Notice of Application
https://regulations.justia.com/regulations/fedreg/2020/03/19/2020-05670.html
https://regulations.justia.com/regulations/fedreg/2020/03/19/2020-05670.htmlThu, 19 Mar 2020 00:00:00 -07002020-05670Noticehttps://www.govinfo.gov/content/pkg/FR-2020-03-19/pdf/2020-05670.pdf