<![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/2020/10/08?registers=between Sat, 28 Dec 2024 17:02:02 -0800 Sat, 28 Dec 2024 17:02:02 -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/2020/10/08?registers=between 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 D-Limit Orders https://regulations.justia.com/regulations/fedreg/2020/10/08/R1-2020-21403.html https://regulations.justia.com/regulations/fedreg/2020/10/08/R1-2020-21403.html Thu, 08 Oct 2020 00:00:00 -0700 R1-2020-21403 Notice https://www.govinfo.gov/content/pkg/FR-2020-10-08/pdf/R1-2020-21403.pdf Notice - Joint Industry Plan; Notice of Filing and Immediate Effectiveness of the Forty-Ninth Amendment to the Joint Self-Regulatory Organization Plan Governing the Collection, Consolidation and Dissemination of Quotation and Transaction Information for Nasdaq-Listed Securities Traded on Exchanges on an Unlisted Trading Privileges Basis https://regulations.justia.com/regulations/fedreg/2020/10/08/2020-22342.html https://regulations.justia.com/regulations/fedreg/2020/10/08/2020-22342.html Thu, 08 Oct 2020 00:00:00 -0700 2020-22342 Notice https://www.govinfo.gov/content/pkg/FR-2020-10-08/pdf/2020-22342.pdf Notice - Consolidated Tape Association; Notice of Filing and Immediate Effectiveness of the Thirty-Fifth Substantive Amendment to the Second Restatement of the CTA Plan and Twenty-Sixth Substantive Amendment to the Restated CQ Plan https://regulations.justia.com/regulations/fedreg/2020/10/08/2020-22341.html https://regulations.justia.com/regulations/fedreg/2020/10/08/2020-22341.html Thu, 08 Oct 2020 00:00:00 -0700 2020-22341 Notice https://www.govinfo.gov/content/pkg/FR-2020-10-08/pdf/2020-22341.pdf Notice - Self-Regulatory Organizations; Cboe BYX Exchange, Inc.; Notice of Filing of Amendment No. 1 and Order Granting Accelerated Approval of a Proposed Rule Change, as Modified by Amendment No. 1, To Amend the Fifth Amended and Restated Bylaws of the Exchange's Parent Corporation, Cboe Global Markets, Inc. https://regulations.justia.com/regulations/fedreg/2020/10/08/2020-22258.html https://regulations.justia.com/regulations/fedreg/2020/10/08/2020-22258.html Thu, 08 Oct 2020 00:00:00 -0700 2020-22258 Notice https://www.govinfo.gov/content/pkg/FR-2020-10-08/pdf/2020-22258.pdf Notice - Self-Regulatory Organizations; NYSE American 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/2020/10/08/2020-22257.html https://regulations.justia.com/regulations/fedreg/2020/10/08/2020-22257.html Thu, 08 Oct 2020 00:00:00 -0700 2020-22257 Notice https://www.govinfo.gov/content/pkg/FR-2020-10-08/pdf/2020-22257.pdf Notice - Self-Regulatory Organizations; National Securities Clearing Corporation; Designation of Longer Period for Commission Action on a Proposed Rule Change, as Modified by Amendment No. 1, To Introduce the Margin Liquidity Adjustment Charge and Include a Bid-Ask Risk Charge in the VaR Charge https://regulations.justia.com/regulations/fedreg/2020/10/08/2020-22256.html https://regulations.justia.com/regulations/fedreg/2020/10/08/2020-22256.html Thu, 08 Oct 2020 00:00:00 -0700 2020-22256 Notice https://www.govinfo.gov/content/pkg/FR-2020-10-08/pdf/2020-22256.pdf Notice - Self-Regulatory Organizations; Fixed Income Clearing Corporation; Designation of Longer Period for Commission Action on a Proposed Rule Change, as Modified by Amendment No. 1, To Introduce the Margin Liquidity Adjustment Charge and Include a Bid-Ask Charge in the VaR Charges https://regulations.justia.com/regulations/fedreg/2020/10/08/2020-22255.html https://regulations.justia.com/regulations/fedreg/2020/10/08/2020-22255.html Thu, 08 Oct 2020 00:00:00 -0700 2020-22255 Notice https://www.govinfo.gov/content/pkg/FR-2020-10-08/pdf/2020-22255.pdf Notice - Self-Regulatory Organizations; Cboe BZX Exchange, Inc.; Notice of Filing of Amendment No. 1 and Order Granting Accelerated Approval of a Proposed Rule Change, as Modified by Amendment No. 1, To Amend the Fifth Amended and Restated Bylaws of the Exchange's Parent Corporation, Cboe Global Markets, Inc. https://regulations.justia.com/regulations/fedreg/2020/10/08/2020-22254.html https://regulations.justia.com/regulations/fedreg/2020/10/08/2020-22254.html Thu, 08 Oct 2020 00:00:00 -0700 2020-22254 Notice https://www.govinfo.gov/content/pkg/FR-2020-10-08/pdf/2020-22254.pdf Notice - Self-Regulatory Organizations; Cboe EDGX Exchange, Inc.; Notice of Filing of Amendment No. 1 and Order Granting Accelerated Approval of a Proposed Rule Change, as Modified by Amendment No. 1, To Amend the Fifth Amended and Restated Bylaws of the Exchange's Parent Corporation, Cboe Global Markets, Inc. https://regulations.justia.com/regulations/fedreg/2020/10/08/2020-22253.html https://regulations.justia.com/regulations/fedreg/2020/10/08/2020-22253.html Thu, 08 Oct 2020 00:00:00 -0700 2020-22253 Notice https://www.govinfo.gov/content/pkg/FR-2020-10-08/pdf/2020-22253.pdf Notice - Self-Regulatory Organizations; Cboe EDGA Exchange, Inc.; Notice of Filing of Amendment No. 1 and Order Granting Accelerated Approval of a Proposed Rule Change, as Modified by Amendment No. 1, To Amend the Fifth Amended and Restated Bylaws of the Exchange's Parent Corporation, Cboe Global Markets, Inc. https://regulations.justia.com/regulations/fedreg/2020/10/08/2020-22252.html https://regulations.justia.com/regulations/fedreg/2020/10/08/2020-22252.html Thu, 08 Oct 2020 00:00:00 -0700 2020-22252 Notice https://www.govinfo.gov/content/pkg/FR-2020-10-08/pdf/2020-22252.pdf Notice - Self-Regulatory Organizations; Cboe Exchange, Inc.; Notice of Filing of Amendment No. 1 and Order Granting Accelerated Approval of a Proposed Rule Change, as Modified by Amendment No. 1, To Amend the Fifth Amended and Restated Bylaws of the Exchange's Parent Corporation, Cboe Global Markets, Inc. https://regulations.justia.com/regulations/fedreg/2020/10/08/2020-22251.html https://regulations.justia.com/regulations/fedreg/2020/10/08/2020-22251.html Thu, 08 Oct 2020 00:00:00 -0700 2020-22251 Notice https://www.govinfo.gov/content/pkg/FR-2020-10-08/pdf/2020-22251.pdf Notice - Self-Regulatory Organizations; Cboe C2 Exchange, Inc.; Notice of Filing of Amendment No. 1 and Order Granting Accelerated Approval of a Proposed Rule Change, as Modified by Amendment No. 1, To Amend the Fifth Amended and Restated Bylaws of the Exchange's Parent Corporation, Cboe Global Markets, Inc. https://regulations.justia.com/regulations/fedreg/2020/10/08/2020-22250.html https://regulations.justia.com/regulations/fedreg/2020/10/08/2020-22250.html Thu, 08 Oct 2020 00:00:00 -0700 2020-22250 Notice https://www.govinfo.gov/content/pkg/FR-2020-10-08/pdf/2020-22250.pdf Notice - Self-Regulatory Organizations; MEMX LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Adopt the Initial Fee Schedule and Other Fees for MEMX LLC https://regulations.justia.com/regulations/fedreg/2020/10/08/2020-22249.html https://regulations.justia.com/regulations/fedreg/2020/10/08/2020-22249.html Thu, 08 Oct 2020 00:00:00 -0700 2020-22249 Notice https://www.govinfo.gov/content/pkg/FR-2020-10-08/pdf/2020-22249.pdf Notice - Self-Regulatory Organizations; NYSE Arca, Inc.; Order Instituting Proceedings To Determine Whether To Approve or Disapprove a Proposed Rule Change To Amend NYSE Arca Rules 5.2-E(j)(3), 5.2-E(j)(8), 5.5-E(g)(2), 8.600-E, and 8.900-E https://regulations.justia.com/regulations/fedreg/2020/10/08/2020-22248.html https://regulations.justia.com/regulations/fedreg/2020/10/08/2020-22248.html Thu, 08 Oct 2020 00:00:00 -0700 2020-22248 Notice https://www.govinfo.gov/content/pkg/FR-2020-10-08/pdf/2020-22248.pdf Notice - Self-Regulatory Organizations; NYSE American LLC; Notice of Filing and Immediate Effectiveness of Proposed Change To Amend Section 220 of the NYSE American Company Guide To Eliminate a Fee Cap on Original Listing Fees for Companies Listed on Foreign Stock Exchanges and Subject All Foreign Issuers to the Original Listing Fee Schedule Applicable to All Other Newly-Listed Companies https://regulations.justia.com/regulations/fedreg/2020/10/08/2020-22247.html https://regulations.justia.com/regulations/fedreg/2020/10/08/2020-22247.html Thu, 08 Oct 2020 00:00:00 -0700 2020-22247 Notice https://www.govinfo.gov/content/pkg/FR-2020-10-08/pdf/2020-22247.pdf Rule - Modernization of Regulation S-K Items 101, 103, and 105 https://regulations.justia.com/regulations/fedreg/2020/10/08/2020-19182.html https://regulations.justia.com/regulations/fedreg/2020/10/08/2020-19182.html Thu, 08 Oct 2020 00:00:00 -0700 2020-19182 Rule https://www.govinfo.gov/content/pkg/FR-2020-10-08/pdf/2020-19182.pdf