<![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/2020/04/14?registers=between Sun, 13 Jul 2025 01:37:20 -0700 Sun, 13 Jul 2025 01:37:20 -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/2020/04/14?registers=between Notice - Order Granting Conditional Exemptive Relief, Pursuant to Section 36 of the Securities Exchange Act of 1934 (“Exchange Act”) and Rule 608(e) of Regulation NMS Under the Exchange Act to Rule 608(e) of Regulation NMS Under the Exchange Act, Relating to Granularity of Timestamps Specified in Section 6.8(b) and Appendix D, Section 3 of the National Market System Plan Governing the Consolidated Audit Trail https://regulations.justia.com/regulations/fedreg/2020/04/14/2020-07789.html https://regulations.justia.com/regulations/fedreg/2020/04/14/2020-07789.html Tue, 14 Apr 2020 00:00:00 -0700 2020-07789 Notice https://www.govinfo.gov/content/pkg/FR-2020-04-14/pdf/2020-07789.pdf Notice - Order Under Sections 6(c), 17(d), 38(a), and 57(i) of the Investment Company Act of 1940 and Rule 17d-1 Thereunder Granting Exemptions From Specified Provisions of the Investment Company Act and Certain Rules Thereunder https://regulations.justia.com/regulations/fedreg/2020/04/14/2020-07788.html https://regulations.justia.com/regulations/fedreg/2020/04/14/2020-07788.html Tue, 14 Apr 2020 00:00:00 -0700 2020-07788 Notice https://www.govinfo.gov/content/pkg/FR-2020-04-14/pdf/2020-07788.pdf Notice - Self-Regulatory Organizations; NYSE American LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Rule 7.37E To Specify the Exchange's Source of Data Feeds From the Long-Term Stock Exchange, Inc. https://regulations.justia.com/regulations/fedreg/2020/04/14/2020-07781.html https://regulations.justia.com/regulations/fedreg/2020/04/14/2020-07781.html Tue, 14 Apr 2020 00:00:00 -0700 2020-07781 Notice https://www.govinfo.gov/content/pkg/FR-2020-04-14/pdf/2020-07781.pdf Notice - Self-Regulatory Organizations; NYSE Chicago, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Rule 7.37 To Update the Exchange's Source of Data Feeds From the Long-Term Stock Exchange, Inc. https://regulations.justia.com/regulations/fedreg/2020/04/14/2020-07780.html https://regulations.justia.com/regulations/fedreg/2020/04/14/2020-07780.html Tue, 14 Apr 2020 00:00:00 -0700 2020-07780 Notice https://www.govinfo.gov/content/pkg/FR-2020-04-14/pdf/2020-07780.pdf Notice - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend its Price List To Respond to the Current Volatile Market Environment That Has Resulted in Unprecedented Average Daily Volumes and the Temporary Closure of the Trading Floor https://regulations.justia.com/regulations/fedreg/2020/04/14/2020-07779.html https://regulations.justia.com/regulations/fedreg/2020/04/14/2020-07779.html Tue, 14 Apr 2020 00:00:00 -0700 2020-07779 Notice https://www.govinfo.gov/content/pkg/FR-2020-04-14/pdf/2020-07779.pdf Notice - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Rule 7.37 To Specify the Exchange's Source of Data Feeds From the Long-Term Stock Exchange, Inc. https://regulations.justia.com/regulations/fedreg/2020/04/14/2020-07778.html https://regulations.justia.com/regulations/fedreg/2020/04/14/2020-07778.html Tue, 14 Apr 2020 00:00:00 -0700 2020-07778 Notice https://www.govinfo.gov/content/pkg/FR-2020-04-14/pdf/2020-07778.pdf Notice - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing of a Proposed Rule Change To Address Brokers With a Significant History of Misconduct https://regulations.justia.com/regulations/fedreg/2020/04/14/2020-07777.html https://regulations.justia.com/regulations/fedreg/2020/04/14/2020-07777.html Tue, 14 Apr 2020 00:00:00 -0700 2020-07777 Notice https://www.govinfo.gov/content/pkg/FR-2020-04-14/pdf/2020-07777.pdf Notice - Self-Regulatory Organizations; Cboe BZX Exchange, Inc.; Order Approving a Proposed Rule Change To Provide Members Certain Optional Risk Settings Under Proposed Interpretation and Policy .03 of Rule 11.13 https://regulations.justia.com/regulations/fedreg/2020/04/14/2020-07776.html https://regulations.justia.com/regulations/fedreg/2020/04/14/2020-07776.html Tue, 14 Apr 2020 00:00:00 -0700 2020-07776 Notice https://www.govinfo.gov/content/pkg/FR-2020-04-14/pdf/2020-07776.pdf Notice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Modify the NYSE Arca Options Fee Schedule https://regulations.justia.com/regulations/fedreg/2020/04/14/2020-07775.html https://regulations.justia.com/regulations/fedreg/2020/04/14/2020-07775.html Tue, 14 Apr 2020 00:00:00 -0700 2020-07775 Notice https://www.govinfo.gov/content/pkg/FR-2020-04-14/pdf/2020-07775.pdf Notice - Self-Regulatory Organizations; NYSE American LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Modify the NYSE American Options Fee Schedule https://regulations.justia.com/regulations/fedreg/2020/04/14/2020-07774.html https://regulations.justia.com/regulations/fedreg/2020/04/14/2020-07774.html Tue, 14 Apr 2020 00:00:00 -0700 2020-07774 Notice https://www.govinfo.gov/content/pkg/FR-2020-04-14/pdf/2020-07774.pdf Notice - Self-Regulatory Organizations; NYSE American LLC; Notice of Filing and Immediate Effectiveness of Proposed Change To Modify the NYSE American Options Fee Schedule https://regulations.justia.com/regulations/fedreg/2020/04/14/2020-07773.html https://regulations.justia.com/regulations/fedreg/2020/04/14/2020-07773.html Tue, 14 Apr 2020 00:00:00 -0700 2020-07773 Notice https://www.govinfo.gov/content/pkg/FR-2020-04-14/pdf/2020-07773.pdf Notice - Self-Regulatory Organizations; NYSE National, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Extend the Current Pilot Program Related to Rule 7.10 https://regulations.justia.com/regulations/fedreg/2020/04/14/2020-07772.html https://regulations.justia.com/regulations/fedreg/2020/04/14/2020-07772.html Tue, 14 Apr 2020 00:00:00 -0700 2020-07772 Notice https://www.govinfo.gov/content/pkg/FR-2020-04-14/pdf/2020-07772.pdf Notice - Self-Regulatory Organizations; NYSE Chicago, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Extend the Current Pilot Program Related to Rule 7.10 https://regulations.justia.com/regulations/fedreg/2020/04/14/2020-07771.html https://regulations.justia.com/regulations/fedreg/2020/04/14/2020-07771.html Tue, 14 Apr 2020 00:00:00 -0700 2020-07771 Notice https://www.govinfo.gov/content/pkg/FR-2020-04-14/pdf/2020-07771.pdf Notice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Extend the Current Pilot Program Related To Rule 7.10-E https://regulations.justia.com/regulations/fedreg/2020/04/14/2020-07770.html https://regulations.justia.com/regulations/fedreg/2020/04/14/2020-07770.html Tue, 14 Apr 2020 00:00:00 -0700 2020-07770 Notice https://www.govinfo.gov/content/pkg/FR-2020-04-14/pdf/2020-07770.pdf Notice - Self-Regulatory Organizations; NYSE American LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Extend the Current Pilot Program Related to Rule 7.10E https://regulations.justia.com/regulations/fedreg/2020/04/14/2020-07769.html https://regulations.justia.com/regulations/fedreg/2020/04/14/2020-07769.html Tue, 14 Apr 2020 00:00:00 -0700 2020-07769 Notice https://www.govinfo.gov/content/pkg/FR-2020-04-14/pdf/2020-07769.pdf Notice - Self-Regulatory Organizations; The Nasdaq Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Rule 4759 https://regulations.justia.com/regulations/fedreg/2020/04/14/2020-07768.html https://regulations.justia.com/regulations/fedreg/2020/04/14/2020-07768.html Tue, 14 Apr 2020 00:00:00 -0700 2020-07768 Notice https://www.govinfo.gov/content/pkg/FR-2020-04-14/pdf/2020-07768.pdf Notice - Self-Regulatory Organizations; Cboe Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Its Fees Schedule in Connection With Migration https://regulations.justia.com/regulations/fedreg/2020/04/14/2020-07767.html https://regulations.justia.com/regulations/fedreg/2020/04/14/2020-07767.html Tue, 14 Apr 2020 00:00:00 -0700 2020-07767 Notice https://www.govinfo.gov/content/pkg/FR-2020-04-14/pdf/2020-07767.pdf