<![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/2020/07/14?registers=between Sat, 28 Dec 2024 16:36:20 -0800 Sat, 28 Dec 2024 16:36:20 -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/2020/07/14?registers=between Notice - Self-Regulatory Organizations; Cboe Exchange, Inc.; Notice of Withdrawal of a Proposed Rule Change Relating To Amend Chapter 7, Section B of the Rules, Which Contains the Exchange's Compliance Rule Regarding the National Market System Plan Governing the Consolidated Audit Trail (“CAT NMS 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/2020/07/14/2020-15119.html https://regulations.justia.com/regulations/fedreg/2020/07/14/2020-15119.html Tue, 14 Jul 2020 00:00:00 -0700 2020-15119 Notice https://www.govinfo.gov/content/pkg/FR-2020-07-14/pdf/2020-15119.pdf Notice - Self-Regulatory Organizations; Cboe BZX Exchange, Inc.; Notice of Withdrawal of a Proposed Rule Change To Amend Certain Rules Within Rules 4.5 Through 4.16, Which Contains the Exchange's Compliance Rule Regarding the National Market System Plan Governing the Consolidated Audit Trail (“CAT NMS 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/2020/07/14/2020-15118.html https://regulations.justia.com/regulations/fedreg/2020/07/14/2020-15118.html Tue, 14 Jul 2020 00:00:00 -0700 2020-15118 Notice https://www.govinfo.gov/content/pkg/FR-2020-07-14/pdf/2020-15118.pdf Notice - Self-Regulatory Organizations; Cboe EDGX Exchange, Inc.; Notice of Withdrawal of a Proposed Rule Change To Amend Certain Rules Within Rules 4.5 Through 4.16, Which Contains the Exchange's Compliance Rule Regarding the National Market System Plan Governing the Consolidated Audit Trail (“CAT NMS 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/2020/07/14/2020-15117.html https://regulations.justia.com/regulations/fedreg/2020/07/14/2020-15117.html Tue, 14 Jul 2020 00:00:00 -0700 2020-15117 Notice https://www.govinfo.gov/content/pkg/FR-2020-07-14/pdf/2020-15117.pdf Notice - Self-Regulatory Organizations; Miami International Securities Exchange, LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Temporarily Extend Filing Deadlines for Certain Supervision-Related Reports https://regulations.justia.com/regulations/fedreg/2020/07/14/2020-15116.html https://regulations.justia.com/regulations/fedreg/2020/07/14/2020-15116.html Tue, 14 Jul 2020 00:00:00 -0700 2020-15116 Notice https://www.govinfo.gov/content/pkg/FR-2020-07-14/pdf/2020-15116.pdf Notice - Self-Regulatory Organizations; Cboe BYX Exchange, Inc.; Notice of Withdrawal of a Proposed Rule Change To Amend Certain Rules Within Rules 4.5 Through 4.16, Which Contains the Exchange's Compliance Rule Regarding the National Market System Plan Governing the Consolidated Audit Trail (“CAT NMS 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/2020/07/14/2020-15115.html https://regulations.justia.com/regulations/fedreg/2020/07/14/2020-15115.html Tue, 14 Jul 2020 00:00:00 -0700 2020-15115 Notice https://www.govinfo.gov/content/pkg/FR-2020-07-14/pdf/2020-15115.pdf Notice - Self-Regulatory Organizations; Cboe EDGA Exchange, Inc.; Notice of Withdrawal of a Proposed Rule Change To Amend Certain Rules Within Rules 4.5 Through 4.16, Which Contains the Exchange's Compliance Rule Regarding the National Market System Plan Governing the Consolidated Audit Trail (“CAT NMS 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/2020/07/14/2020-15114.html https://regulations.justia.com/regulations/fedreg/2020/07/14/2020-15114.html Tue, 14 Jul 2020 00:00:00 -0700 2020-15114 Notice https://www.govinfo.gov/content/pkg/FR-2020-07-14/pdf/2020-15114.pdf Notice - Self-Regulatory Organizations; Cboe Exchange, Inc.; Notice of Filing and Order Granting Accelerated Approval of a Proposed Rule Change To Add the Consolidated Audit Trail Industry Member Compliance Rules to the List of Minor Rule Violations in Rule 13.15 https://regulations.justia.com/regulations/fedreg/2020/07/14/2020-15113.html https://regulations.justia.com/regulations/fedreg/2020/07/14/2020-15113.html Tue, 14 Jul 2020 00:00:00 -0700 2020-15113 Notice https://www.govinfo.gov/content/pkg/FR-2020-07-14/pdf/2020-15113.pdf Notice - Self-Regulatory Organizations; Nasdaq PHLX LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Phlx's Pricing Schedule To Waive Certain Fees https://regulations.justia.com/regulations/fedreg/2020/07/14/2020-15112.html https://regulations.justia.com/regulations/fedreg/2020/07/14/2020-15112.html Tue, 14 Jul 2020 00:00:00 -0700 2020-15112 Notice https://www.govinfo.gov/content/pkg/FR-2020-07-14/pdf/2020-15112.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/2020/07/14/2020-15111.html https://regulations.justia.com/regulations/fedreg/2020/07/14/2020-15111.html Tue, 14 Jul 2020 00:00:00 -0700 2020-15111 Notice https://www.govinfo.gov/content/pkg/FR-2020-07-14/pdf/2020-15111.pdf Notice - Self-Regulatory Organizations; Long-Term Stock Exchange, Inc.; Notice of Filing and Order Granting Accelerated Approval of a Proposed Rule Change To Add the Consolidated Audit Trail Industry Member Compliance Rules to the List of Minor Rule Violations https://regulations.justia.com/regulations/fedreg/2020/07/14/2020-15110.html https://regulations.justia.com/regulations/fedreg/2020/07/14/2020-15110.html Tue, 14 Jul 2020 00:00:00 -0700 2020-15110 Notice https://www.govinfo.gov/content/pkg/FR-2020-07-14/pdf/2020-15110.pdf Notice - Self-Regulatory Organizations; Cboe Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Rule 8.16 and Rule 9.2 to Temporarily Extend the Filing Deadline for Certain Supervision-Related Reports https://regulations.justia.com/regulations/fedreg/2020/07/14/2020-15109.html https://regulations.justia.com/regulations/fedreg/2020/07/14/2020-15109.html Tue, 14 Jul 2020 00:00:00 -0700 2020-15109 Notice https://www.govinfo.gov/content/pkg/FR-2020-07-14/pdf/2020-15109.pdf Notice - Self-Regulatory Organizations; Nasdaq PHLX LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Temporarily Extend the Filing Requirements for Certain Written Reports Pursuant to Options 10, Section 7 https://regulations.justia.com/regulations/fedreg/2020/07/14/2020-15108.html https://regulations.justia.com/regulations/fedreg/2020/07/14/2020-15108.html Tue, 14 Jul 2020 00:00:00 -0700 2020-15108 Notice https://www.govinfo.gov/content/pkg/FR-2020-07-14/pdf/2020-15108.pdf Notice - Self-Regulatory Organizations; Nasdaq ISE, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Temporarily Extend the Filing Requirements for Certain Written Reports Pursuant to Options 10, Section 7 https://regulations.justia.com/regulations/fedreg/2020/07/14/2020-15107.html https://regulations.justia.com/regulations/fedreg/2020/07/14/2020-15107.html Tue, 14 Jul 2020 00:00:00 -0700 2020-15107 Notice https://www.govinfo.gov/content/pkg/FR-2020-07-14/pdf/2020-15107.pdf Notice - OFS Capital Corp., et al. https://regulations.justia.com/regulations/fedreg/2020/07/14/2020-15104.html https://regulations.justia.com/regulations/fedreg/2020/07/14/2020-15104.html Tue, 14 Jul 2020 00:00:00 -0700 2020-15104 Notice https://www.govinfo.gov/content/pkg/FR-2020-07-14/pdf/2020-15104.pdf