<![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/2020/09/15?registers=between Fri, 17 May 2024 22:39:19 -0700 Fri, 17 May 2024 22:39:19 -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/2020/09/15?registers=between Notice - Self-Regulatory Organizations; Cboe BZX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the Options Regulatory Fee https://regulations.justia.com/regulations/fedreg/2020/09/15/C1-2020-17352.html https://regulations.justia.com/regulations/fedreg/2020/09/15/C1-2020-17352.html Tue, 15 Sep 2020 00:00:00 -0700 C1-2020-17352 Notice https://www.govinfo.gov/content/pkg/FR-2020-09-15/pdf/C1-2020-17352.pdf Notice - Nysa Series Trust https://regulations.justia.com/regulations/fedreg/2020/09/15/2020-20268.html https://regulations.justia.com/regulations/fedreg/2020/09/15/2020-20268.html Tue, 15 Sep 2020 00:00:00 -0700 2020-20268 Notice https://www.govinfo.gov/content/pkg/FR-2020-09-15/pdf/2020-20268.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 Apply Additional Initial Listing Criteria for Companies Primarily Operating in Restrictive Markets https://regulations.justia.com/regulations/fedreg/2020/09/15/2020-20259.html https://regulations.justia.com/regulations/fedreg/2020/09/15/2020-20259.html Tue, 15 Sep 2020 00:00:00 -0700 2020-20259 Notice https://www.govinfo.gov/content/pkg/FR-2020-09-15/pdf/2020-20259.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 https://regulations.justia.com/regulations/fedreg/2020/09/15/2020-20258.html https://regulations.justia.com/regulations/fedreg/2020/09/15/2020-20258.html Tue, 15 Sep 2020 00:00:00 -0700 2020-20258 Notice https://www.govinfo.gov/content/pkg/FR-2020-09-15/pdf/2020-20258.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/2020/09/15/2020-20257.html https://regulations.justia.com/regulations/fedreg/2020/09/15/2020-20257.html Tue, 15 Sep 2020 00:00:00 -0700 2020-20257 Notice https://www.govinfo.gov/content/pkg/FR-2020-09-15/pdf/2020-20257.pdf Notice - Self-Regulatory Organizations; Investors Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Correct Two Typographical Errors in IEX Rules 2.220(a)(7) and 11.410(a) https://regulations.justia.com/regulations/fedreg/2020/09/15/2020-20256.html https://regulations.justia.com/regulations/fedreg/2020/09/15/2020-20256.html Tue, 15 Sep 2020 00:00:00 -0700 2020-20256 Notice https://www.govinfo.gov/content/pkg/FR-2020-09-15/pdf/2020-20256.pdf Notice - Self-Regulatory Organizations; Cboe BZX Exchange, Inc.; Notice of Withdrawal of a Proposed Rule Change, as Modified by Amendment No. 3, To List and Trade Shares of the -1x Short VIX Futures ETF Under BZX Rule 14.11(f)(4), Trust Issued Receipts https://regulations.justia.com/regulations/fedreg/2020/09/15/2020-20255.html https://regulations.justia.com/regulations/fedreg/2020/09/15/2020-20255.html Tue, 15 Sep 2020 00:00:00 -0700 2020-20255 Notice https://www.govinfo.gov/content/pkg/FR-2020-09-15/pdf/2020-20255.pdf Notice - Self-Regulatory Organizations; The Nasdaq Stock Market LLC; Notice of Filing of Amendment No. 1 and Order Instituting Proceedings To Determine Whether To Approve or Disapprove a Proposed Rule Change, as Modified by Amendment No. 1, To Adopt a New Requirement Related to the Qualification of Management for Companies From Restrictive Markets https://regulations.justia.com/regulations/fedreg/2020/09/15/2020-20254.html https://regulations.justia.com/regulations/fedreg/2020/09/15/2020-20254.html Tue, 15 Sep 2020 00:00:00 -0700 2020-20254 Notice https://www.govinfo.gov/content/pkg/FR-2020-09-15/pdf/2020-20254.pdf Notice - Self-Regulatory Organizations; LCH SA; Order Approving Proposed Rule Change, as Modified by Amendment No. 1, Relating to LCH SA's Governance Arrangements https://regulations.justia.com/regulations/fedreg/2020/09/15/2020-20253.html https://regulations.justia.com/regulations/fedreg/2020/09/15/2020-20253.html Tue, 15 Sep 2020 00:00:00 -0700 2020-20253 Notice https://www.govinfo.gov/content/pkg/FR-2020-09-15/pdf/2020-20253.pdf Notice - Self-Regulatory Organizations; The Options Clearing Corporation; Notice of No Objection To Advance Notice Concerning Proposed Changes To Enhance OCC's Stock Loan Close-Out Process https://regulations.justia.com/regulations/fedreg/2020/09/15/2020-20252.html https://regulations.justia.com/regulations/fedreg/2020/09/15/2020-20252.html Tue, 15 Sep 2020 00:00:00 -0700 2020-20252 Notice https://www.govinfo.gov/content/pkg/FR-2020-09-15/pdf/2020-20252.pdf Rule - Amendments to Procedures With Respect to Applications Under the Investment Company Act of 1940 https://regulations.justia.com/regulations/fedreg/2020/09/15/2020-14884.html https://regulations.justia.com/regulations/fedreg/2020/09/15/2020-14884.html Tue, 15 Sep 2020 00:00:00 -0700 2020-14884 Rule https://www.govinfo.gov/content/pkg/FR-2020-09-15/pdf/2020-14884.pdf