<![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/2020/10/02?registers=between Sat, 28 Dec 2024 15:59:41 -0800 Sat, 28 Dec 2024 15:59:41 -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/2020/10/02?registers=between Notice - Sunshine Act Meetings https://regulations.justia.com/regulations/fedreg/2020/10/02/2020-21956.html https://regulations.justia.com/regulations/fedreg/2020/10/02/2020-21956.html Fri, 02 Oct 2020 00:00:00 -0700 2020-21956 Notice https://www.govinfo.gov/content/pkg/FR-2020-10-02/pdf/2020-21956.pdf Notice - Frost Family of Funds and Frost Investment Advisors, LLC https://regulations.justia.com/regulations/fedreg/2020/10/02/2020-21838.html https://regulations.justia.com/regulations/fedreg/2020/10/02/2020-21838.html Fri, 02 Oct 2020 00:00:00 -0700 2020-21838 Notice https://www.govinfo.gov/content/pkg/FR-2020-10-02/pdf/2020-21838.pdf Notice - 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 https://regulations.justia.com/regulations/fedreg/2020/10/02/2020-21785.html https://regulations.justia.com/regulations/fedreg/2020/10/02/2020-21785.html Fri, 02 Oct 2020 00:00:00 -0700 2020-21785 Notice https://www.govinfo.gov/content/pkg/FR-2020-10-02/pdf/2020-21785.pdf Notice - 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 https://regulations.justia.com/regulations/fedreg/2020/10/02/2020-21784.html https://regulations.justia.com/regulations/fedreg/2020/10/02/2020-21784.html Fri, 02 Oct 2020 00:00:00 -0700 2020-21784 Notice https://www.govinfo.gov/content/pkg/FR-2020-10-02/pdf/2020-21784.pdf Notice - 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 https://regulations.justia.com/regulations/fedreg/2020/10/02/2020-21768.html https://regulations.justia.com/regulations/fedreg/2020/10/02/2020-21768.html Fri, 02 Oct 2020 00:00:00 -0700 2020-21768 Notice https://www.govinfo.gov/content/pkg/FR-2020-10-02/pdf/2020-21768.pdf Notice - 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 https://regulations.justia.com/regulations/fedreg/2020/10/02/2020-21767.html https://regulations.justia.com/regulations/fedreg/2020/10/02/2020-21767.html Fri, 02 Oct 2020 00:00:00 -0700 2020-21767 Notice https://www.govinfo.gov/content/pkg/FR-2020-10-02/pdf/2020-21767.pdf Notice - 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. https://regulations.justia.com/regulations/fedreg/2020/10/02/2020-21765.html https://regulations.justia.com/regulations/fedreg/2020/10/02/2020-21765.html Fri, 02 Oct 2020 00:00:00 -0700 2020-21765 Notice https://www.govinfo.gov/content/pkg/FR-2020-10-02/pdf/2020-21765.pdf Notice - 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 https://regulations.justia.com/regulations/fedreg/2020/10/02/2020-21764.html https://regulations.justia.com/regulations/fedreg/2020/10/02/2020-21764.html Fri, 02 Oct 2020 00:00:00 -0700 2020-21764 Notice https://www.govinfo.gov/content/pkg/FR-2020-10-02/pdf/2020-21764.pdf