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/2020/10/20?limit=200&registers=between&mode=atom 2024-12-28T16:51:56-08:00 Justia Inc https://www.justia.com/ Justia Regulations Tracker https://regulations.justia.com/images/justiafedregulations.gif Copyright 2011 Justia Inc https://regulations.justia.com/regulations/fedreg/2020/10/20/2020-23245.html Notice - Sunshine Act Meetings 2020-10-20T00:00:00-07:00 2020-10-20T00:00:00-07:00 2020-23245 Notice https://www.govinfo.gov/content/pkg/FR-2020-10-20/pdf/2020-23245.pdf https://regulations.justia.com/regulations/fedreg/2020/10/20/2020-23178.html Notice - Notice of Intention To Cancel Registration Pursuant to Section 203(h) of the Investment Advisers Act of 1940 2020-10-20T00:00:00-07:00 2020-10-20T00:00:00-07:00 2020-23178 Notice https://www.govinfo.gov/content/pkg/FR-2020-10-20/pdf/2020-23178.pdf https://regulations.justia.com/regulations/fedreg/2020/10/20/2020-23151.html Notice - Self-Regulatory Organizations; MIAX PEARL, LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the MIAX PEARL Equities Fee Schedule To Adopt Connectivity Fees, Port Fees, a Technical Support Request Fee, and Historical Market Data Fee 2020-10-20T00:00:00-07:00 2020-10-20T00:00:00-07:00 2020-23151 Notice https://www.govinfo.gov/content/pkg/FR-2020-10-20/pdf/2020-23151.pdf https://regulations.justia.com/regulations/fedreg/2020/10/20/2020-23150.html Notice - Self-Regulatory Organizations; Cboe Exchange, Inc.; Order Granting Approval of a Proposed Rule Change To Adopt Position Compression Cross (“PCC”) Orders for SPX 2020-10-20T00:00:00-07:00 2020-10-20T00:00:00-07:00 2020-23150 Notice https://www.govinfo.gov/content/pkg/FR-2020-10-20/pdf/2020-23150.pdf https://regulations.justia.com/regulations/fedreg/2020/10/20/2020-23149.html Notice - Self-Regulatory Organizations; MIAX Emerald, LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Its Fee Schedule To Adopt Port Fees and Increase Certain Network Connectivity Fees 2020-10-20T00:00:00-07:00 2020-10-20T00:00:00-07:00 2020-23149 Notice https://www.govinfo.gov/content/pkg/FR-2020-10-20/pdf/2020-23149.pdf https://regulations.justia.com/regulations/fedreg/2020/10/20/2020-23148.html Notice - Self-Regulatory Organizations; The Nasdaq Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Lower the Enterprise License Fee for Broker-Dealers Distributing Nasdaq Basic to Internal Professional Subscribers as Set Forth in the Equity 7 Pricing Schedule, Section 147, and the Enterprise License Fee for Broker-Dealers Distributing Nasdaq Last Sale to Professional Subscribers at Equity 7, Section 139 2020-10-20T00:00:00-07:00 2020-10-20T00:00:00-07:00 2020-23148 Notice https://www.govinfo.gov/content/pkg/FR-2020-10-20/pdf/2020-23148.pdf https://regulations.justia.com/regulations/fedreg/2020/10/20/2020-23147.html Notice - Self-Regulatory Organizations; Fixed Income Clearing Corporation; Notice of Filing of Amendment No. 2 and Order Granting Accelerated Approval of a Proposed Rule Change, 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 2020-10-20T00:00:00-07:00 2020-10-20T00:00:00-07:00 2020-23147 Notice https://www.govinfo.gov/content/pkg/FR-2020-10-20/pdf/2020-23147.pdf https://regulations.justia.com/regulations/fedreg/2020/10/20/2020-23146.html Notice - Self-Regulatory Organizations; Cboe Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Rule 5.24 2020-10-20T00:00:00-07:00 2020-10-20T00:00:00-07:00 2020-23146 Notice https://www.govinfo.gov/content/pkg/FR-2020-10-20/pdf/2020-23146.pdf https://regulations.justia.com/regulations/fedreg/2020/10/20/2020-23144.html Notice - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Its Price List 2020-10-20T00:00:00-07:00 2020-10-20T00:00:00-07:00 2020-23144 Notice https://www.govinfo.gov/content/pkg/FR-2020-10-20/pdf/2020-23144.pdf https://regulations.justia.com/regulations/fedreg/2020/10/20/2020-23143.html Notice - Self-Regulatory Organizations; the Depository Trust Company; Notice of Filing of an Advance Notice To Amend Rule 4 2020-10-20T00:00:00-07:00 2020-10-20T00:00:00-07:00 2020-23143 Notice https://www.govinfo.gov/content/pkg/FR-2020-10-20/pdf/2020-23143.pdf https://regulations.justia.com/regulations/fedreg/2020/10/20/2020-23142.html Notice - Self-Regulatory Organizations; MIAX Emerald, LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Its Fee Schedule To Adopt Application Programming Interface (“API”) Testing and Certification Fees and Network Connectivity Testing and Certification Fees 2020-10-20T00:00:00-07:00 2020-10-20T00:00:00-07:00 2020-23142 Notice https://www.govinfo.gov/content/pkg/FR-2020-10-20/pdf/2020-23142.pdf https://regulations.justia.com/regulations/fedreg/2020/10/20/2020-23141.html Notice - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Adjust FINRA Fees To Provide Sustainable Funding for FINRA's Regulatory Mission 2020-10-20T00:00:00-07:00 2020-10-20T00:00:00-07:00 2020-23141 Notice https://www.govinfo.gov/content/pkg/FR-2020-10-20/pdf/2020-23141.pdf https://regulations.justia.com/regulations/fedreg/2020/10/20/2020-23140.html Notice - Self-Regulatory Organizations; NYSE American LLC; Notice of Filing and Immediate Effectiveness of Proposed Change To Modify the NYSE American Options Fee Schedule 2020-10-20T00:00:00-07:00 2020-10-20T00:00:00-07:00 2020-23140 Notice https://www.govinfo.gov/content/pkg/FR-2020-10-20/pdf/2020-23140.pdf https://regulations.justia.com/regulations/fedreg/2020/10/20/2020-23139.html Notice - Self-Regulatory Organizations; NYSE American LLC; Notice of Designation of a Longer Period for Commission Action on a Proposed Rule Change To Modify Rules 971.1NY and 971.2NY Regarding CUBE Auctions 2020-10-20T00:00:00-07:00 2020-10-20T00:00:00-07:00 2020-23139 Notice https://www.govinfo.gov/content/pkg/FR-2020-10-20/pdf/2020-23139.pdf https://regulations.justia.com/regulations/fedreg/2020/10/20/2020-23138.html Notice - Self-Regulatory Organizations; National Securities Clearing Corporation; Notice of Amendment No. 2 and Order Granting Accelerated Approval of a Proposed Rule Change, 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 2020-10-20T00:00:00-07:00 2020-10-20T00:00:00-07:00 2020-23138 Notice https://www.govinfo.gov/content/pkg/FR-2020-10-20/pdf/2020-23138.pdf https://regulations.justia.com/regulations/fedreg/2020/10/20/2020-23137.html 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 Establish a Priority Queue for Auction Response Messages 2020-10-20T00:00:00-07:00 2020-10-20T00:00:00-07:00 2020-23137 Notice https://www.govinfo.gov/content/pkg/FR-2020-10-20/pdf/2020-23137.pdf