<![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/2020/09/09?registers=between Thu, 23 May 2024 10:19:11 -0700 Thu, 23 May 2024 10:19:11 -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/2020/09/09?registers=between Notice - Resource Credit Income Fund and Sierra Crest Investment Management LLC https://regulations.justia.com/regulations/fedreg/2020/09/09/2020-19918.html https://regulations.justia.com/regulations/fedreg/2020/09/09/2020-19918.html Wed, 09 Sep 2020 00:00:00 -0700 2020-19918 Notice https://www.govinfo.gov/content/pkg/FR-2020-09-09/pdf/2020-19918.pdf Notice - Self-Regulatory Organizations; Cboe BYX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Update Rule 11.26(a), Stating It Will Utilize MEMX Market Data From the CQS/UQDF for Purposes of Order Handling, Routing, Execution, and Related Compliance Processes https://regulations.justia.com/regulations/fedreg/2020/09/09/2020-19850.html https://regulations.justia.com/regulations/fedreg/2020/09/09/2020-19850.html Wed, 09 Sep 2020 00:00:00 -0700 2020-19850 Notice https://www.govinfo.gov/content/pkg/FR-2020-09-09/pdf/2020-19850.pdf Notice - Self-Regulatory Organizations; Cboe EDGX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Update Rule 13.4(a), Stating It Will Utilize MEMX Market Data From the CQS/UQDF for Purposes of Order Handling, Routing, Execution, and Related Compliance Processes https://regulations.justia.com/regulations/fedreg/2020/09/09/2020-19848.html https://regulations.justia.com/regulations/fedreg/2020/09/09/2020-19848.html Wed, 09 Sep 2020 00:00:00 -0700 2020-19848 Notice https://www.govinfo.gov/content/pkg/FR-2020-09-09/pdf/2020-19848.pdf Notice - Self-Regulatory Organizations; Cboe EDGA Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Update Rule 13.4(a), Stating It Will Utilize MEMX Market Data From the CQS/UQDF for Purposes of Order Handling, Routing, Execution, and Related Compliance Processes https://regulations.justia.com/regulations/fedreg/2020/09/09/2020-19847.html https://regulations.justia.com/regulations/fedreg/2020/09/09/2020-19847.html Wed, 09 Sep 2020 00:00:00 -0700 2020-19847 Notice https://www.govinfo.gov/content/pkg/FR-2020-09-09/pdf/2020-19847.pdf Notice - Self-Regulatory Organizations; Cboe Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To List and Trade Options That Overlie the S&P 500 ESG Index https://regulations.justia.com/regulations/fedreg/2020/09/09/2020-19846.html https://regulations.justia.com/regulations/fedreg/2020/09/09/2020-19846.html Wed, 09 Sep 2020 00:00:00 -0700 2020-19846 Notice https://www.govinfo.gov/content/pkg/FR-2020-09-09/pdf/2020-19846.pdf Notice - Self-Regulatory Organizations; MIAX PEARL, LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Exchange Rule 2613 Usage of Data Feeds https://regulations.justia.com/regulations/fedreg/2020/09/09/2020-19845.html https://regulations.justia.com/regulations/fedreg/2020/09/09/2020-19845.html Wed, 09 Sep 2020 00:00:00 -0700 2020-19845 Notice https://www.govinfo.gov/content/pkg/FR-2020-09-09/pdf/2020-19845.pdf Notice - Self-Regulatory Organizations; The Nasdaq Stock Market LLC; Designation of a Longer Period for Commission Action on a Proposed Rule Change To Amend the Procedures Governing the Introduction of Legal Arguments and Material Information by Companies in a Proceeding Before a Hearings Panel https://regulations.justia.com/regulations/fedreg/2020/09/09/2020-19844.html https://regulations.justia.com/regulations/fedreg/2020/09/09/2020-19844.html Wed, 09 Sep 2020 00:00:00 -0700 2020-19844 Notice https://www.govinfo.gov/content/pkg/FR-2020-09-09/pdf/2020-19844.pdf Notice - Self-Regulatory Organizations; Cboe Exchange, Inc.; Notice of Designation of a Longer Period for Commission Action on a Proposed Rule Change To Authorize for Trading Flexible Exchange Options on Full-Value Indexes With a Contract Multiplier of One https://regulations.justia.com/regulations/fedreg/2020/09/09/2020-19843.html https://regulations.justia.com/regulations/fedreg/2020/09/09/2020-19843.html Wed, 09 Sep 2020 00:00:00 -0700 2020-19843 Notice https://www.govinfo.gov/content/pkg/FR-2020-09-09/pdf/2020-19843.pdf Notice - Self-Regulatory Organizations; The Nasdaq Stock Market LLC; Order Instituting Proceedings To Determine Whether To Approve or Disapprove a Proposed Rule Change To Amend IM-5101-1 (Use of Discretionary Authority) To Deny Listing or Continued Listing or To Apply Additional and More Stringent Criteria to an Applicant or Listed Company Based on Considerations Related to the Company's Auditor or When a Company's Business Is Principally Administered in a Jurisdiction That Is a Restrictive Market https://regulations.justia.com/regulations/fedreg/2020/09/09/2020-19841.html https://regulations.justia.com/regulations/fedreg/2020/09/09/2020-19841.html Wed, 09 Sep 2020 00:00:00 -0700 2020-19841 Notice https://www.govinfo.gov/content/pkg/FR-2020-09-09/pdf/2020-19841.pdf Notice - Self-Regulatory Organizations; MIAX PEARL, LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to the Designation of Members for Mandatory Disaster Recovery Testing Pursuant to Regulation SCI for Calendar Year 2020 https://regulations.justia.com/regulations/fedreg/2020/09/09/2020-19839.html https://regulations.justia.com/regulations/fedreg/2020/09/09/2020-19839.html Wed, 09 Sep 2020 00:00:00 -0700 2020-19839 Notice https://www.govinfo.gov/content/pkg/FR-2020-09-09/pdf/2020-19839.pdf Notice - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Temporarily Amend FINRA Rules 1015, 9261, 9524 and 9830 To Permit Hearings Under Those Rules To Be Conducted by Video Conference https://regulations.justia.com/regulations/fedreg/2020/09/09/2020-19838.html https://regulations.justia.com/regulations/fedreg/2020/09/09/2020-19838.html Wed, 09 Sep 2020 00:00:00 -0700 2020-19838 Notice https://www.govinfo.gov/content/pkg/FR-2020-09-09/pdf/2020-19838.pdf Notice - Federated Hermes Adviser Series, et al.; Notice of Application https://regulations.justia.com/regulations/fedreg/2020/09/09/2020-19827.html https://regulations.justia.com/regulations/fedreg/2020/09/09/2020-19827.html Wed, 09 Sep 2020 00:00:00 -0700 2020-19827 Notice https://www.govinfo.gov/content/pkg/FR-2020-09-09/pdf/2020-19827.pdf