Securities and Exchange Commission August 2020 – Federal Register Recent Federal Regulation Documents

Results 151 - 189 of 189
Self-Regulatory Organizations; MEMX LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the Exchange's Rule 4.5 Regarding the National Market System Plan Governing the Consolidated Audit Trail
Document Number: 2020-17136
Type: Notice
Date: 2020-08-06
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2020/08/06/2020-17136.html
Self-Regulatory Organizations; Cboe Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to Amend Chapter 7, Section B of the Rules, Which Is 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 an Amendment to the CAT NMS Plan Recently Approved by the Securities and Exchange Commission (“Commission”)
Document Number: 2020-17135
Type: Notice
Date: 2020-08-06
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2020/08/06/2020-17135.html
Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the FINRA Rule 6800 Series (Consolidated Audit Trail Compliance Rule)
Document Number: 2020-17134
Type: Notice
Date: 2020-08-06
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2020/08/06/2020-17134.html
Self-Regulatory Organizations; Long-Term Stock Exchange, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the Exchange's Compliance Rule Regarding the CAT NMS Plan
Document Number: 2020-17133
Type: Notice
Date: 2020-08-06
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2020/08/06/2020-17133.html
Self-Regulatory Organizations; NYSE American LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the Rule 6800 Series
Document Number: 2020-17132
Type: Notice
Date: 2020-08-06
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2020/08/06/2020-17132.html
Self-Regulatory Organizations; NYSE Arca, Inc.; Order Granting Approval of a Proposed Rule Change, as Modified by Amendment No. 2, To List and Trade Shares of Natixis Vaughan Nelson Select ETF and Natixis Vaughan Nelson MidCap ETF Under NYSE Arca Rule 8.601-E
Document Number: 2020-17131
Type: Notice
Date: 2020-08-06
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2020/08/06/2020-17131.html
Self-Regulatory Organizations; BOX Exchange LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Make a Number of Non-Substantive Changes to the Rulebook
Document Number: 2020-17130
Type: Notice
Date: 2020-08-06
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2020/08/06/2020-17130.html
Self-Regulatory Organizations; ICE Clear Credit LLC; Order Approving Proposed Rule Change Relating to the ICC Exercise Procedures and ICC Clearing Rules
Document Number: 2020-17129
Type: Notice
Date: 2020-08-06
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2020/08/06/2020-17129.html
Notice of Applications for Deregistration under Section 8(f) of the Investment Company Act of 1940
Document Number: 2020-17106
Type: Notice
Date: 2020-08-05
Agency: Securities and Exchange Commission, Agencies and Commissions
Applicant, a unit investment trust, seeks an order declaring that it has ceased to be an investment company. The applicant has transferred its assets to AGL Separate Account D. Expenses of less than $10,000 incurred in connection with the reorganization were paid by American General Life Insurance Company. Filing Dates: The application was filed on December 19, 2019, and amended on June 26, 2020. Applicant's Address: lucia.williams@aig.com.
https://regulations.justia.com/regulations/fedreg/2020/08/05/2020-17106.html
Submission for OMB Review; Comment Request
Document Number: 2020-17056
Type: Notice
Date: 2020-08-05
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2020/08/05/2020-17056.html
Proposed Collection; Comment Request
Document Number: 2020-17010
Type: Notice
Date: 2020-08-05
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2020/08/05/2020-17010.html
Self-Regulatory Organizations; Miami International Securities Exchange, LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Chapter XVII, Consolidated Audit Trail Compliance Rule.
Document Number: 2020-17000
Type: Notice
Date: 2020-08-05
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2020/08/05/2020-17000.html
Self-Regulatory Organizations; NYSE National, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the Rule 6.6800 Series
Document Number: 2020-16999
Type: Notice
Date: 2020-08-05
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2020/08/05/2020-16999.html
Self-Regulatory Organizations; NYSE Chicago, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the Rule 6.6800 Series
Document Number: 2020-16998
Type: Notice
Date: 2020-08-05
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2020/08/05/2020-16998.html
Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the Rule 11.6800 Series
Document Number: 2020-16997
Type: Notice
Date: 2020-08-05
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2020/08/05/2020-16997.html
Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the Rule 6800 Series
Document Number: 2020-16996
Type: Notice
Date: 2020-08-05
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2020/08/05/2020-16996.html
Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Rule 6.8-O To Increase Position Limits for Options on Certain Exchange-Traded Funds
Document Number: 2020-16995
Type: Notice
Date: 2020-08-05
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2020/08/05/2020-16995.html
Self-Regulatory Organizations; NYSE American LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Rule 904 To Increase Position Limits for Options on Certain Exchange-Traded Funds
Document Number: 2020-16994
Type: Notice
Date: 2020-08-05
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2020/08/05/2020-16994.html
Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Extend the Temporary Period for Specified Commentaries to Rules 7.35, 7.35A, 7.35B, and 7.35C and Temporary Rule Relief in Rule 36.30
Document Number: 2020-16993
Type: Notice
Date: 2020-08-05
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2020/08/05/2020-16993.html
Self-Regulatory Organizations; Cboe BYX Exchange, Inc.; Notice of Filing of a Proposed Rule Change To Introduce Periodic Auctions for the Trading of U.S. Equity Securities
Document Number: 2020-16876
Type: Notice
Date: 2020-08-04
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2020/08/04/2020-16876.html
Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Further Extend the Expiration Date of the Temporary Amendments Set Forth in SR-FINRA-2020-015
Document Number: 2020-16875
Type: Notice
Date: 2020-08-04
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2020/08/04/2020-16875.html
Self-Regulatory Organizations; BOX Exchange LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the Fee Schedule on the BOX Options Market LLC Facility To Amend Section IX.C (Trading Floor Participant Fees) and Remove Section IX.D (Trading Floor Booth Space Fee)
Document Number: 2020-16874
Type: Notice
Date: 2020-08-04
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2020/08/04/2020-16874.html
Self-Regulatory Organizations; Nasdaq ISE, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Options 7, Sections 1, 3, and 6
Document Number: 2020-16873
Type: Notice
Date: 2020-08-04
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2020/08/04/2020-16873.html
Sunshine Act Meetings
Document Number: 2020-16903
Type: Notice
Date: 2020-08-03
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2020/08/03/2020-16903.html
Morgan Stanley Direct Lending Fund, et al.
Document Number: 2020-16830
Type: Notice
Date: 2020-08-03
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2020/08/03/2020-16830.html
Joint Industry Plan; Notice of Filing and Immediate Effectiveness of Amendment to the Plan To Address Extraordinary Market Volatility To Add MEMX LLC as a Participant
Document Number: 2020-16808
Type: Notice
Date: 2020-08-03
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2020/08/03/2020-16808.html
Joint Industry Plan; Notice of Filing and Immediate Effectiveness of Amendment to the National Market System Plan for the Selection and Reservation of Securities Symbols to Add MEMX LLC as a Party Thereto
Document Number: 2020-16807
Type: Notice
Date: 2020-08-03
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2020/08/03/2020-16807.html
Joint Industry Plan; Notice of Filing and Immediate Effectiveness of Amendment to the Plan Establishing Procedures Under Rule 605 of Regulation NMS To Add the MEMX LLC as a Participant
Document Number: 2020-16806
Type: Notice
Date: 2020-08-03
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2020/08/03/2020-16806.html
Joint Industry Plan; Notice of Filing and Immediate Effectiveness of the Forty-Eighth 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
Document Number: 2020-16805
Type: Notice
Date: 2020-08-03
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2020/08/03/2020-16805.html
Consolidated Tape Association; Notice of Filing and Immediate Effectiveness of the Thirty-Fourth Substantive Amendment to the Second Restatement of the CTA Plan and Twenty-Fifth Substantive Amendment to the Restated CQ Plan
Document Number: 2020-16804
Type: Notice
Date: 2020-08-03
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2020/08/03/2020-16804.html
1WS Credit Income Fund, et al.
Document Number: 2020-16714
Type: Notice
Date: 2020-08-03
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2020/08/03/2020-16714.html
Blackstone Alternative Investment Funds; Blackstone Alternative Investment Advisors LLC
Document Number: 2020-16712
Type: Notice
Date: 2020-08-03
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2020/08/03/2020-16712.html
Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Order Granting Accelerated Approval of Proposed Rule Change To Add the Consolidated Audit Trail Industry Member Compliance Rules To the List of Minor Rule Violations in Rule 10.9217
Document Number: 2020-16710
Type: Notice
Date: 2020-08-03
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2020/08/03/2020-16710.html
Self-Regulatory Organizations; The Nasdaq Stock Market LLC; Notice of Filing of Proposed Rule Change To Adopt Listing Rule IM-5900-8 To Offer a Complimentary Global Targeting Tool to Acquisition Companies Listed Pursuant to Nasdaq IM-5101-2 that Have Publicly Announced Entering Into a Binding Agreement for a Business Combination
Document Number: 2020-16709
Type: Notice
Date: 2020-08-03
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2020/08/03/2020-16709.html
Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Designation of a Longer Period for Commission Action on a Proposed Rule Change to Amend NYSE Arca Rule 5.2-E(j)(6) Relating to Options-Linked Securities
Document Number: 2020-16708
Type: Notice
Date: 2020-08-03
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2020/08/03/2020-16708.html
Self-Regulatory Organizations; NYSE National, Inc.; Notice of Filing and Order Granting Accelerated Approval of Proposed Rule Change To Add the Consolidated Audit Trail Industry Member Compliance Rules To the List of Minor Rule Violations in Rule 10.9217
Document Number: 2020-16707
Type: Notice
Date: 2020-08-03
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2020/08/03/2020-16707.html
Self-Regulatory Organizations; NYSE Chicago, Inc.; Notice of Filing and Order Granting Accelerated Approval of Proposed Rule Change To Add the Consolidated Audit Trail Industry Member Compliance Rules to the List of Minor Rule Violations in Article 12, Rule 8
Document Number: 2020-16706
Type: Notice
Date: 2020-08-03
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2020/08/03/2020-16706.html
Self-Regulatory Organizations; ICEEU Limited; Order Approving Proposed Rule Change Relating to Amendments to the ICEEU Clearing Rules
Document Number: 2020-16705
Type: Notice
Date: 2020-08-03
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2020/08/03/2020-16705.html
Self-Regulatory Organizations; National Securities Clearing Corporation; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Modify Fees for the Subscription-Based Portfolio Composition File Reporting Service
Document Number: 2020-16704
Type: Notice
Date: 2020-08-03
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2020/08/03/2020-16704.html
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