<![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/2020/09/29?registers=between Sun, 29 Dec 2024 08:54:53 -0800 Sun, 29 Dec 2024 08:54:53 -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/2020/09/29?registers=between Notice - Self-Regulatory Organizations; Cboe BZX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the Fee Schedule https://regulations.justia.com/regulations/fedreg/2020/09/29/2020-21410.html https://regulations.justia.com/regulations/fedreg/2020/09/29/2020-21410.html Tue, 29 Sep 2020 00:00:00 -0700 2020-21410 Notice https://www.govinfo.gov/content/pkg/FR-2020-09-29/pdf/2020-21410.pdf Notice - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing of Proposed Rule Change Relating to Granularity of Timestamps in Trade Reports Submitted to FINRA's Equity Trade Reporting Facilities https://regulations.justia.com/regulations/fedreg/2020/09/29/2020-21409.html https://regulations.justia.com/regulations/fedreg/2020/09/29/2020-21409.html Tue, 29 Sep 2020 00:00:00 -0700 2020-21409 Notice https://www.govinfo.gov/content/pkg/FR-2020-09-29/pdf/2020-21409.pdf Notice - Program for Allocation of Regulatory Responsibilities Pursuant to Rule 17d-2; Notice of Filing and Order Approving and Declaring Effective an Amendment to the Plan for the Allocation of Regulatory Responsibilities Among Cboe BZX Exchange, Inc., Cboe BYX Exchange, Inc., NYSE Chicago, Inc., Cboe EDGA Exchange, Inc., Cboe EDGX Exchange, Inc., Financial Industry Regulatory Authority, Inc., MEMX LLC, MIAX PEARL, LLC, Nasdaq BX, Inc., Nasdaq PHLX LLC, The Nasdaq Stock Market LLC, NYSE National, Inc., New York Stock Exchange LLC, NYSE American LLC, NYSE Arca, Inc., Investors' Exchange LLC, and Long-Term Stock Exchange, Inc. Relating to the Surveillance, Investigation, and Enforcement of Insider Trading Rules https://regulations.justia.com/regulations/fedreg/2020/09/29/2020-21408.html https://regulations.justia.com/regulations/fedreg/2020/09/29/2020-21408.html Tue, 29 Sep 2020 00:00:00 -0700 2020-21408 Notice https://www.govinfo.gov/content/pkg/FR-2020-09-29/pdf/2020-21408.pdf Notice - Self-Regulatory Organizations; MIAX PEARL, LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Exchange Rule 2618, Risk Settings and Trading Risk Metrics https://regulations.justia.com/regulations/fedreg/2020/09/29/2020-21407.html https://regulations.justia.com/regulations/fedreg/2020/09/29/2020-21407.html Tue, 29 Sep 2020 00:00:00 -0700 2020-21407 Notice https://www.govinfo.gov/content/pkg/FR-2020-09-29/pdf/2020-21407.pdf Notice - Self-Regulatory Organizations; Cboe EDGX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the Fee Schedule https://regulations.justia.com/regulations/fedreg/2020/09/29/2020-21406.html https://regulations.justia.com/regulations/fedreg/2020/09/29/2020-21406.html Tue, 29 Sep 2020 00:00:00 -0700 2020-21406 Notice https://www.govinfo.gov/content/pkg/FR-2020-09-29/pdf/2020-21406.pdf Notice - Self-Regulatory Organizations; MIAX PEARL, LLC; Notice of Filing of Amendment No. 1 and Order Granting Accelerated Approval of a Proposed Rule Change, as Modified by Amendment No. 1, to Exchange Rule 1014, Imposition of Fines for Minor Rule Violations https://regulations.justia.com/regulations/fedreg/2020/09/29/2020-21405.html https://regulations.justia.com/regulations/fedreg/2020/09/29/2020-21405.html Tue, 29 Sep 2020 00:00:00 -0700 2020-21405 Notice https://www.govinfo.gov/content/pkg/FR-2020-09-29/pdf/2020-21405.pdf Notice - Self-Regulatory Organizations: Investors Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Related to Transaction Fees Pursuant to IEX Rule 15.110 Concerning the CQ Remove Fee https://regulations.justia.com/regulations/fedreg/2020/09/29/2020-21404.html https://regulations.justia.com/regulations/fedreg/2020/09/29/2020-21404.html Tue, 29 Sep 2020 00:00:00 -0700 2020-21404 Notice https://www.govinfo.gov/content/pkg/FR-2020-09-29/pdf/2020-21404.pdf Notice - Self-Regulatory Organizations; Cboe EDGX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the Fee Schedule https://regulations.justia.com/regulations/fedreg/2020/09/29/2020-21403.html https://regulations.justia.com/regulations/fedreg/2020/09/29/2020-21403.html Tue, 29 Sep 2020 00:00:00 -0700 2020-21403 Notice https://www.govinfo.gov/content/pkg/FR-2020-09-29/pdf/2020-21403.pdf