Securities and Exchange Commission October 2, 2020 – Federal Register Recent Federal Regulation Documents

Results 1 - 8 of 8
Sunshine Act Meetings
Document Number: 2020-21956
Type: Notice
Date: 2020-10-02
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2020/10/02/2020-21956.html
Frost Family of Funds and Frost Investment Advisors, LLC
Document Number: 2020-21838
Type: Notice
Date: 2020-10-02
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2020/10/02/2020-21838.html
Self-Regulatory Organizations; National Securities Clearing Corporation; Notice of Filing of Amendment No. 2 and Notice of No Objection to Advance Notice, as Modified by Amendment Nos. 1 and 2, To Introduce the Margin Liquidity Adjustment Charge and Include a Bid-Ask Risk Charge in the VaR Charge
Document Number: 2020-21785
Type: Notice
Date: 2020-10-02
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2020/10/02/2020-21785.html
Self-Regulatory Organizations; Fixed Income Clearing Corporation; Notice of Filing of Amendment No. 2 and Notice of No Objection to Advance Notice, as Modified by Amendment Nos. 1 and 2, to Introduce the Margin Liquidity Adjustment Charge and Include a Bid-Ask Charge in the VaR Charges
Document Number: 2020-21784
Type: Notice
Date: 2020-10-02
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2020/10/02/2020-21784.html
Self-Regulatory Organizations; MEMX, LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Extend the Current Pilot Program Related to MEMX Rule 11.15, Clearly Erroneous Executions
Document Number: 2020-21768
Type: Notice
Date: 2020-10-02
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2020/10/02/2020-21768.html
Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Extend its Waiver of the Application of Certain of the Shareholder Approval Requirements in Section 312.03 of the NYSE Listed Company Manual Through December 31, 2020 Subject to Certain Conditions
Document Number: 2020-21767
Type: Notice
Date: 2020-10-02
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2020/10/02/2020-21767.html
Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Harmonize Rules 9261 and 9830 with Recent Changes by the Financial Industry Regulatory Authority, Inc.
Document Number: 2020-21765
Type: Notice
Date: 2020-10-02
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2020/10/02/2020-21765.html
Self-Regulatory Organizations; New York Stock Exchange LLC, Notice of Designation of a Longer Period for Commission Action on a Proposed Rule Change to Amend Article IV, Section 4.05 of the Thirteenth Amended and Restated Operating Agreement of the Exchange
Document Number: 2020-21764
Type: Notice
Date: 2020-10-02
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2020/10/02/2020-21764.html
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