<![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/2020/10/14?registers=between Sun, 19 May 2024 02:59:51 -0700 Sun, 19 May 2024 02:59:51 -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/2020/10/14?registers=between Notice - Self-Regulatory Organizations; NYSE National, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Harmonize Rules 10.9261 and 10.9830 With Recent Changes by the Financial Industry Regulatory Authority, Inc. https://regulations.justia.com/regulations/fedreg/2020/10/14/2020-22718.html https://regulations.justia.com/regulations/fedreg/2020/10/14/2020-22718.html Wed, 14 Oct 2020 00:00:00 -0700 2020-22718 Notice https://www.govinfo.gov/content/pkg/FR-2020-10-14/pdf/2020-22718.pdf Notice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Extend the Pilot Related to the Market-Wide Circuit Breaker in Rule 7.12-E https://regulations.justia.com/regulations/fedreg/2020/10/14/2020-22717.html https://regulations.justia.com/regulations/fedreg/2020/10/14/2020-22717.html Wed, 14 Oct 2020 00:00:00 -0700 2020-22717 Notice https://www.govinfo.gov/content/pkg/FR-2020-10-14/pdf/2020-22717.pdf Notice - Self-Regulatory Organizations; NYSE American LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Extend the Pilot Related to the Market-Wide Circuit Breaker in Rule 7.12E https://regulations.justia.com/regulations/fedreg/2020/10/14/2020-22716.html https://regulations.justia.com/regulations/fedreg/2020/10/14/2020-22716.html Wed, 14 Oct 2020 00:00:00 -0700 2020-22716 Notice https://www.govinfo.gov/content/pkg/FR-2020-10-14/pdf/2020-22716.pdf Notice - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Extend the Pilot Related to the Market-Wide Circuit Breaker in Rule 7.12 https://regulations.justia.com/regulations/fedreg/2020/10/14/2020-22715.html https://regulations.justia.com/regulations/fedreg/2020/10/14/2020-22715.html Wed, 14 Oct 2020 00:00:00 -0700 2020-22715 Notice https://www.govinfo.gov/content/pkg/FR-2020-10-14/pdf/2020-22715.pdf Notice - Self-Regulatory Organizations; NYSE National, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Extend the Pilot Related to the Market-Wide Circuit Breaker in Rule 7.12 https://regulations.justia.com/regulations/fedreg/2020/10/14/2020-22714.html https://regulations.justia.com/regulations/fedreg/2020/10/14/2020-22714.html Wed, 14 Oct 2020 00:00:00 -0700 2020-22714 Notice https://www.govinfo.gov/content/pkg/FR-2020-10-14/pdf/2020-22714.pdf Notice - Self-Regulatory Organizations; Cboe Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating To Amend Rule 5.1 https://regulations.justia.com/regulations/fedreg/2020/10/14/2020-22713.html https://regulations.justia.com/regulations/fedreg/2020/10/14/2020-22713.html Wed, 14 Oct 2020 00:00:00 -0700 2020-22713 Notice https://www.govinfo.gov/content/pkg/FR-2020-10-14/pdf/2020-22713.pdf Notice - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Designation of Longer Period for Commission Action on a Proposed Rule Change To Delete the FINRA Order Audit Trail System (OATS) Rules https://regulations.justia.com/regulations/fedreg/2020/10/14/2020-22712.html https://regulations.justia.com/regulations/fedreg/2020/10/14/2020-22712.html Wed, 14 Oct 2020 00:00:00 -0700 2020-22712 Notice https://www.govinfo.gov/content/pkg/FR-2020-10-14/pdf/2020-22712.pdf Notice - Self-Regulatory Organizations; Investors Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend IEX Rule 11.280 To Extend the Pilot Period for the Market-Wide Circuit Breaker to the Close of Business on October 18, 2021 https://regulations.justia.com/regulations/fedreg/2020/10/14/2020-22711.html https://regulations.justia.com/regulations/fedreg/2020/10/14/2020-22711.html Wed, 14 Oct 2020 00:00:00 -0700 2020-22711 Notice https://www.govinfo.gov/content/pkg/FR-2020-10-14/pdf/2020-22711.pdf Notice - Self-Regulatory Organizations; Cboe EDGA Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Extend the Pilot Related to the Market-Wide Circuit Breaker in Rule 11.16 https://regulations.justia.com/regulations/fedreg/2020/10/14/2020-22710.html https://regulations.justia.com/regulations/fedreg/2020/10/14/2020-22710.html Wed, 14 Oct 2020 00:00:00 -0700 2020-22710 Notice https://www.govinfo.gov/content/pkg/FR-2020-10-14/pdf/2020-22710.pdf Notice - Self-Regulatory Organizations; Cboe BZX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Extend the Pilot Related to the Market-wide Circuit Breaker in Rule 11.18 https://regulations.justia.com/regulations/fedreg/2020/10/14/2020-22709.html https://regulations.justia.com/regulations/fedreg/2020/10/14/2020-22709.html Wed, 14 Oct 2020 00:00:00 -0700 2020-22709 Notice https://www.govinfo.gov/content/pkg/FR-2020-10-14/pdf/2020-22709.pdf Notice - Self-Regulatory Organizations; Long-Term Stock Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Extend the Date of the Pilot Related to the Market-Wide Circuit Breaker in Rule 11.280 https://regulations.justia.com/regulations/fedreg/2020/10/14/2020-22708.html https://regulations.justia.com/regulations/fedreg/2020/10/14/2020-22708.html Wed, 14 Oct 2020 00:00:00 -0700 2020-22708 Notice https://www.govinfo.gov/content/pkg/FR-2020-10-14/pdf/2020-22708.pdf Notice - Self-Regulatory Organizations; MIAX PEARL, LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Extend the Pilot Related to the Market-Wide Circuit Breaker in Exchange Rule 2622 https://regulations.justia.com/regulations/fedreg/2020/10/14/2020-22707.html https://regulations.justia.com/regulations/fedreg/2020/10/14/2020-22707.html Wed, 14 Oct 2020 00:00:00 -0700 2020-22707 Notice https://www.govinfo.gov/content/pkg/FR-2020-10-14/pdf/2020-22707.pdf Notice - Self-Regulatory Organizations; Cboe BZX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the Rebate Tiers in the Fee Schedule https://regulations.justia.com/regulations/fedreg/2020/10/14/2020-22706.html https://regulations.justia.com/regulations/fedreg/2020/10/14/2020-22706.html Wed, 14 Oct 2020 00:00:00 -0700 2020-22706 Notice https://www.govinfo.gov/content/pkg/FR-2020-10-14/pdf/2020-22706.pdf Notice - Self-Regulatory Organizations; Cboe BYX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Increase Maker Transaction Fees https://regulations.justia.com/regulations/fedreg/2020/10/14/2020-22705.html https://regulations.justia.com/regulations/fedreg/2020/10/14/2020-22705.html Wed, 14 Oct 2020 00:00:00 -0700 2020-22705 Notice https://www.govinfo.gov/content/pkg/FR-2020-10-14/pdf/2020-22705.pdf Notice - Self-Regulatory Organizations; Cboe BYX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Extend the Pilot Related to the Market-Wide Circuit Breaker in Rule 11.18 https://regulations.justia.com/regulations/fedreg/2020/10/14/2020-22704.html https://regulations.justia.com/regulations/fedreg/2020/10/14/2020-22704.html Wed, 14 Oct 2020 00:00:00 -0700 2020-22704 Notice https://www.govinfo.gov/content/pkg/FR-2020-10-14/pdf/2020-22704.pdf Notice - Self-Regulatory Organizations; NYSE National, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Adopt Temporary Commentary .10 Under NYSE National Rule 2.1210 https://regulations.justia.com/regulations/fedreg/2020/10/14/2020-22637.html https://regulations.justia.com/regulations/fedreg/2020/10/14/2020-22637.html Wed, 14 Oct 2020 00:00:00 -0700 2020-22637 Notice https://www.govinfo.gov/content/pkg/FR-2020-10-14/pdf/2020-22637.pdf Notice - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Order Approving a Proposed Rule Change To Adopt FINRA Rule 3241 (Registered Person Being Named a Customer's Beneficiary or Holding a Position of Trust for a Customer) https://regulations.justia.com/regulations/fedreg/2020/10/14/2020-22636.html https://regulations.justia.com/regulations/fedreg/2020/10/14/2020-22636.html Wed, 14 Oct 2020 00:00:00 -0700 2020-22636 Notice https://www.govinfo.gov/content/pkg/FR-2020-10-14/pdf/2020-22636.pdf Notice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Adopt Temporary Commentary .10 Under NYSE Arca Rule 2.1210 https://regulations.justia.com/regulations/fedreg/2020/10/14/2020-22632.html https://regulations.justia.com/regulations/fedreg/2020/10/14/2020-22632.html Wed, 14 Oct 2020 00:00:00 -0700 2020-22632 Notice https://www.govinfo.gov/content/pkg/FR-2020-10-14/pdf/2020-22632.pdf Notice - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Adopt Temporary Commentary .10 Under NYSE Rule 1210 https://regulations.justia.com/regulations/fedreg/2020/10/14/2020-22631.html https://regulations.justia.com/regulations/fedreg/2020/10/14/2020-22631.html Wed, 14 Oct 2020 00:00:00 -0700 2020-22631 Notice https://www.govinfo.gov/content/pkg/FR-2020-10-14/pdf/2020-22631.pdf Notice - Self-Regulatory Organizations; Cboe Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating To Amend Its Fees Schedule With Respect to Its Strategy Fee Cap https://regulations.justia.com/regulations/fedreg/2020/10/14/2020-22629.html https://regulations.justia.com/regulations/fedreg/2020/10/14/2020-22629.html Wed, 14 Oct 2020 00:00:00 -0700 2020-22629 Notice https://www.govinfo.gov/content/pkg/FR-2020-10-14/pdf/2020-22629.pdf