<![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/2020/03/26?registers=between Sat, 28 Dec 2024 17:12:11 -0800 Sat, 28 Dec 2024 17:12:11 -0800 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/2020/03/26?registers=between Notice - Sunshine Act Meeting; Cancellation https://regulations.justia.com/regulations/fedreg/2020/03/26/2020-06489.html https://regulations.justia.com/regulations/fedreg/2020/03/26/2020-06489.html Thu, 26 Mar 2020 00:00:00 -0700 2020-06489 Notice https://www.govinfo.gov/content/pkg/FR-2020-03-26/pdf/2020-06489.pdf Notice - Self-Regulatory Organizations; Cboe Exchange, Inc.; Notice of Withdrawal of Proposed Rule Change To Adopt Flexible Exchange Options (“FLEX Options”) With a Contract Multiplier of One (“FLEX Micro Options”) https://regulations.justia.com/regulations/fedreg/2020/03/26/2020-06391.html https://regulations.justia.com/regulations/fedreg/2020/03/26/2020-06391.html Thu, 26 Mar 2020 00:00:00 -0700 2020-06391 Notice https://www.govinfo.gov/content/pkg/FR-2020-03-26/pdf/2020-06391.pdf Notice - Self-Regulatory Organizations; Nasdaq PHLX LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Options 4A, Section 12, Terms of Option Contracts https://regulations.justia.com/regulations/fedreg/2020/03/26/2020-06390.html https://regulations.justia.com/regulations/fedreg/2020/03/26/2020-06390.html Thu, 26 Mar 2020 00:00:00 -0700 2020-06390 Notice https://www.govinfo.gov/content/pkg/FR-2020-03-26/pdf/2020-06390.pdf Notice - Self-Regulatory Organizations; Nasdaq GEMX, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Related to the Removal of Obsolete Listing Rules https://regulations.justia.com/regulations/fedreg/2020/03/26/2020-06388.html https://regulations.justia.com/regulations/fedreg/2020/03/26/2020-06388.html Thu, 26 Mar 2020 00:00:00 -0700 2020-06388 Notice https://www.govinfo.gov/content/pkg/FR-2020-03-26/pdf/2020-06388.pdf Notice - Self-Regulatory Organizations; Miami International Securities Exchange, LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Exchange Rule 100, Definitions and Exchange Rule 503, Openings on the Exchange https://regulations.justia.com/regulations/fedreg/2020/03/26/2020-06386.html https://regulations.justia.com/regulations/fedreg/2020/03/26/2020-06386.html Thu, 26 Mar 2020 00:00:00 -0700 2020-06386 Notice https://www.govinfo.gov/content/pkg/FR-2020-03-26/pdf/2020-06386.pdf Notice - Self-Regulatory Organizations; Nasdaq ISE, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Related to the Removal of Obsolete Listing Rules https://regulations.justia.com/regulations/fedreg/2020/03/26/2020-06385.html https://regulations.justia.com/regulations/fedreg/2020/03/26/2020-06385.html Thu, 26 Mar 2020 00:00:00 -0700 2020-06385 Notice https://www.govinfo.gov/content/pkg/FR-2020-03-26/pdf/2020-06385.pdf Notice - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Suspend Until June 30, 2020 the Application of Its Continued Listing Requirement With Respect to Global Market Capitalization https://regulations.justia.com/regulations/fedreg/2020/03/26/2020-06303.html https://regulations.justia.com/regulations/fedreg/2020/03/26/2020-06303.html Thu, 26 Mar 2020 00:00:00 -0700 2020-06303 Notice https://www.govinfo.gov/content/pkg/FR-2020-03-26/pdf/2020-06303.pdf Notice - Self-Regulatory Organizations; Cboe BZX Exchange, Inc.; Notice of Designation of Longer Period for Commission Action on Proposed Rule Change 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/2020/03/26/2020-06302.html https://regulations.justia.com/regulations/fedreg/2020/03/26/2020-06302.html Thu, 26 Mar 2020 00:00:00 -0700 2020-06302 Notice https://www.govinfo.gov/content/pkg/FR-2020-03-26/pdf/2020-06302.pdf Notice - Self-Regulatory Organizations; Long-Term Stock Exchange; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to the Trading of Exchange Traded Products on an Unlisted Trading Privileges Basis https://regulations.justia.com/regulations/fedreg/2020/03/26/2020-06301.html https://regulations.justia.com/regulations/fedreg/2020/03/26/2020-06301.html Thu, 26 Mar 2020 00:00:00 -0700 2020-06301 Notice https://www.govinfo.gov/content/pkg/FR-2020-03-26/pdf/2020-06301.pdf Notice - Self-Regulatory Organizations; Cboe BYX Exchange, Inc.; Notice of Designation of Longer Period for Commission Action on Proposed Rule Change 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/2020/03/26/2020-06300.html https://regulations.justia.com/regulations/fedreg/2020/03/26/2020-06300.html Thu, 26 Mar 2020 00:00:00 -0700 2020-06300 Notice https://www.govinfo.gov/content/pkg/FR-2020-03-26/pdf/2020-06300.pdf Notice - Self-Regulatory Organizations; Cboe Exchange, Inc.; Notice of Designation of Longer Period for Commission Action on 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/2020/03/26/2020-06299.html https://regulations.justia.com/regulations/fedreg/2020/03/26/2020-06299.html Thu, 26 Mar 2020 00:00:00 -0700 2020-06299 Notice https://www.govinfo.gov/content/pkg/FR-2020-03-26/pdf/2020-06299.pdf 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 https://regulations.justia.com/regulations/fedreg/2020/03/26/2020-06298.html https://regulations.justia.com/regulations/fedreg/2020/03/26/2020-06298.html Thu, 26 Mar 2020 00:00:00 -0700 2020-06298 Notice https://www.govinfo.gov/content/pkg/FR-2020-03-26/pdf/2020-06298.pdf Notice - Self-Regulatory Organizations; Nasdaq MRX, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Related to Complex Orders https://regulations.justia.com/regulations/fedreg/2020/03/26/2020-06297.html https://regulations.justia.com/regulations/fedreg/2020/03/26/2020-06297.html Thu, 26 Mar 2020 00:00:00 -0700 2020-06297 Notice https://www.govinfo.gov/content/pkg/FR-2020-03-26/pdf/2020-06297.pdf Notice - Self-Regulatory Organizations; Nasdaq ISE, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Related to Complex Orders https://regulations.justia.com/regulations/fedreg/2020/03/26/2020-06296.html https://regulations.justia.com/regulations/fedreg/2020/03/26/2020-06296.html Thu, 26 Mar 2020 00:00:00 -0700 2020-06296 Notice https://www.govinfo.gov/content/pkg/FR-2020-03-26/pdf/2020-06296.pdf Notice - Self-Regulatory Organizations; ICE Clear Europe Limited; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Amendments to the Finance Procedures (the “Finance Procedures”) https://regulations.justia.com/regulations/fedreg/2020/03/26/2020-06295.html https://regulations.justia.com/regulations/fedreg/2020/03/26/2020-06295.html Thu, 26 Mar 2020 00:00:00 -0700 2020-06295 Notice https://www.govinfo.gov/content/pkg/FR-2020-03-26/pdf/2020-06295.pdf Notice - Order Under Section 17A and Section 36 of the Securities Exchange Act of 1934 Granting Exemptions From Specified Provisions of the Exchange Act and Certain Rules Thereunder https://regulations.justia.com/regulations/fedreg/2020/03/26/2020-06292.html https://regulations.justia.com/regulations/fedreg/2020/03/26/2020-06292.html Thu, 26 Mar 2020 00:00:00 -0700 2020-06292 Notice https://www.govinfo.gov/content/pkg/FR-2020-03-26/pdf/2020-06292.pdf Notice - Self-Regulatory Organizations; Cboe Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating To Amend Rule 5.24 https://regulations.justia.com/regulations/fedreg/2020/03/26/2020-06291.html https://regulations.justia.com/regulations/fedreg/2020/03/26/2020-06291.html Thu, 26 Mar 2020 00:00:00 -0700 2020-06291 Notice https://www.govinfo.gov/content/pkg/FR-2020-03-26/pdf/2020-06291.pdf Notice - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Rules 7.35A, 7.35B, and 7.35C for a Temporary Period https://regulations.justia.com/regulations/fedreg/2020/03/26/2020-06290.html https://regulations.justia.com/regulations/fedreg/2020/03/26/2020-06290.html Thu, 26 Mar 2020 00:00:00 -0700 2020-06290 Notice https://www.govinfo.gov/content/pkg/FR-2020-03-26/pdf/2020-06290.pdf Notice - Self-Regulatory Organizations; Cboe EDGA Exchange, Inc.; Notice of Designation of Longer Period for Commission Action on Proposed Rule Change 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/2020/03/26/2020-06289.html https://regulations.justia.com/regulations/fedreg/2020/03/26/2020-06289.html Thu, 26 Mar 2020 00:00:00 -0700 2020-06289 Notice https://www.govinfo.gov/content/pkg/FR-2020-03-26/pdf/2020-06289.pdf Notice - Self-Regulatory Organizations; Cboe EDGX Exchange, Inc.; Notice of Designation of Longer Period for Commission Action on Proposed Rule Change 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/2020/03/26/2020-06288.html https://regulations.justia.com/regulations/fedreg/2020/03/26/2020-06288.html Thu, 26 Mar 2020 00:00:00 -0700 2020-06288 Notice https://www.govinfo.gov/content/pkg/FR-2020-03-26/pdf/2020-06288.pdf Notice - Self-Regulatory Organizations; Nasdaq ISE, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the Exchanges Pricing Schedule at Options 7, Section 4, Titled Complex Order Fees and Rebates https://regulations.justia.com/regulations/fedreg/2020/03/26/2020-06287.html https://regulations.justia.com/regulations/fedreg/2020/03/26/2020-06287.html Thu, 26 Mar 2020 00:00:00 -0700 2020-06287 Notice https://www.govinfo.gov/content/pkg/FR-2020-03-26/pdf/2020-06287.pdf Rule - Accelerated Filer and Large Accelerated Filer Definitions https://regulations.justia.com/regulations/fedreg/2020/03/26/2020-05546.html https://regulations.justia.com/regulations/fedreg/2020/03/26/2020-05546.html Thu, 26 Mar 2020 00:00:00 -0700 2020-05546 Rule https://www.govinfo.gov/content/pkg/FR-2020-03-26/pdf/2020-05546.pdf