<![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/2020/10/21?registers=between Sat, 28 Dec 2024 16:41:12 -0800 Sat, 28 Dec 2024 16:41:12 -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/2020/10/21?registers=between Notice - Asset Management Advisory Committee; Meeting https://regulations.justia.com/regulations/fedreg/2020/10/21/2020-23302.html https://regulations.justia.com/regulations/fedreg/2020/10/21/2020-23302.html Wed, 21 Oct 2020 00:00:00 -0700 2020-23302 Notice https://www.govinfo.gov/content/pkg/FR-2020-10-21/pdf/2020-23302.pdf Notice - Self-Regulatory Organizations; LCH SA; Order Approving Proposed Rule Change Relating to the Clearing of Single Name Credit Default Swaps Referencing Monoline Insurance Companies and the Amendment of LCH SA's Rules in Accordance With Its Risk Policies https://regulations.justia.com/regulations/fedreg/2020/10/21/2020-23264.html https://regulations.justia.com/regulations/fedreg/2020/10/21/2020-23264.html Wed, 21 Oct 2020 00:00:00 -0700 2020-23264 Notice https://www.govinfo.gov/content/pkg/FR-2020-10-21/pdf/2020-23264.pdf Notice - Self-Regulatory Organizations; Nasdaq BX, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Extend the Current Pilot Program Related to BX Rule 11890 https://regulations.justia.com/regulations/fedreg/2020/10/21/2020-23263.html https://regulations.justia.com/regulations/fedreg/2020/10/21/2020-23263.html Wed, 21 Oct 2020 00:00:00 -0700 2020-23263 Notice https://www.govinfo.gov/content/pkg/FR-2020-10-21/pdf/2020-23263.pdf Notice - Self-Regulatory Organizations; Nasdaq PHLX LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Extend the Current Pilot Program Related to Phlx Rule 3312 https://regulations.justia.com/regulations/fedreg/2020/10/21/2020-23262.html https://regulations.justia.com/regulations/fedreg/2020/10/21/2020-23262.html Wed, 21 Oct 2020 00:00:00 -0700 2020-23262 Notice https://www.govinfo.gov/content/pkg/FR-2020-10-21/pdf/2020-23262.pdf Notice - Self-Regulatory Organizations; Cboe Exchange, Inc.; Order Instituting Proceedings To Determine Whether To Approve or Disapprove a Proposed Rule Change To Authorize for Trading Flexible Exchange Options on Full-Value Indexes With a Contract Multiplier of One https://regulations.justia.com/regulations/fedreg/2020/10/21/2020-23261.html https://regulations.justia.com/regulations/fedreg/2020/10/21/2020-23261.html Wed, 21 Oct 2020 00:00:00 -0700 2020-23261 Notice https://www.govinfo.gov/content/pkg/FR-2020-10-21/pdf/2020-23261.pdf Notice - Self-Regulatory Organizations; The Depository Trust Company; Notice of Filing of Proposed Rule Change To Adopt a New Service Guide To Establish the ClaimConnectTM https://regulations.justia.com/regulations/fedreg/2020/10/21/2020-23260.html https://regulations.justia.com/regulations/fedreg/2020/10/21/2020-23260.html Wed, 21 Oct 2020 00:00:00 -0700 2020-23260 Notice https://www.govinfo.gov/content/pkg/FR-2020-10-21/pdf/2020-23260.pdf Notice - Self-Regulatory Organizations; The Nasdaq Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Rule 11890 (Clearly Erroneous Transactions) https://regulations.justia.com/regulations/fedreg/2020/10/21/2020-23259.html https://regulations.justia.com/regulations/fedreg/2020/10/21/2020-23259.html Wed, 21 Oct 2020 00:00:00 -0700 2020-23259 Notice https://www.govinfo.gov/content/pkg/FR-2020-10-21/pdf/2020-23259.pdf Notice - Self-Regulatory Organizations; The Nasdaq Stock Market LLC; Order Approving a Proposed Rule Change To Amend the Procedures Governing the Introduction of Legal Arguments and Material Information by Companies in a Proceeding Before a Hearings Panel https://regulations.justia.com/regulations/fedreg/2020/10/21/2020-23258.html https://regulations.justia.com/regulations/fedreg/2020/10/21/2020-23258.html Wed, 21 Oct 2020 00:00:00 -0700 2020-23258 Notice https://www.govinfo.gov/content/pkg/FR-2020-10-21/pdf/2020-23258.pdf Notice - Self-Regulatory Organizations: Investors Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Add an Offset Peg Order Type https://regulations.justia.com/regulations/fedreg/2020/10/21/2020-23257.html https://regulations.justia.com/regulations/fedreg/2020/10/21/2020-23257.html Wed, 21 Oct 2020 00:00:00 -0700 2020-23257 Notice https://www.govinfo.gov/content/pkg/FR-2020-10-21/pdf/2020-23257.pdf 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 One-Time Membership Application Fees and Monthly Trading Permit Fees https://regulations.justia.com/regulations/fedreg/2020/10/21/2020-23256.html https://regulations.justia.com/regulations/fedreg/2020/10/21/2020-23256.html Wed, 21 Oct 2020 00:00:00 -0700 2020-23256 Notice https://www.govinfo.gov/content/pkg/FR-2020-10-21/pdf/2020-23256.pdf Notice - Self-Regulatory Organizations; Cboe Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating To Amend the Definition of “Current Market Value” With Respect to Certain Index Options for Purposes of Calculating Margin Requirements https://regulations.justia.com/regulations/fedreg/2020/10/21/2020-23255.html https://regulations.justia.com/regulations/fedreg/2020/10/21/2020-23255.html Wed, 21 Oct 2020 00:00:00 -0700 2020-23255 Notice https://www.govinfo.gov/content/pkg/FR-2020-10-21/pdf/2020-23255.pdf Notice - Self-Regulatory Organizations; NYSE American LLC; Notice of Filing and Immediate Effectiveness of Proposed Change To Amend the NYSE American Options Fee Schedule https://regulations.justia.com/regulations/fedreg/2020/10/21/2020-23254.html https://regulations.justia.com/regulations/fedreg/2020/10/21/2020-23254.html Wed, 21 Oct 2020 00:00:00 -0700 2020-23254 Notice https://www.govinfo.gov/content/pkg/FR-2020-10-21/pdf/2020-23254.pdf Notice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Modify the NYSE Arca Options Fee https://regulations.justia.com/regulations/fedreg/2020/10/21/2020-23253.html https://regulations.justia.com/regulations/fedreg/2020/10/21/2020-23253.html Wed, 21 Oct 2020 00:00:00 -0700 2020-23253 Notice https://www.govinfo.gov/content/pkg/FR-2020-10-21/pdf/2020-23253.pdf Notice - Self-Regulatory Organizations; New York Stock Exchange LLC, NYSE American LLC, NYSE Arca, Inc., NYSE Chicago, Inc., and NYSE National, Inc.; Notice of Filings of Partial Amendment No. 3 and Order Granting Accelerated Approval to Proposed Rule Changes, Each as Modified by Partial Amendment No. 3, To Establish a Wireless Fee Schedule Setting Forth Available Wireless Bandwidth Connections and Wireless Market Data Connections https://regulations.justia.com/regulations/fedreg/2020/10/21/2020-23250.html https://regulations.justia.com/regulations/fedreg/2020/10/21/2020-23250.html Wed, 21 Oct 2020 00:00:00 -0700 2020-23250 Notice https://www.govinfo.gov/content/pkg/FR-2020-10-21/pdf/2020-23250.pdf Notice - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Extend the Pilot Period Related to FINRA Rule 6121.02 (Market-Wide Circuit Breakers in NMS Stocks) https://regulations.justia.com/regulations/fedreg/2020/10/21/2020-23244.html https://regulations.justia.com/regulations/fedreg/2020/10/21/2020-23244.html Wed, 21 Oct 2020 00:00:00 -0700 2020-23244 Notice https://www.govinfo.gov/content/pkg/FR-2020-10-21/pdf/2020-23244.pdf Notice - 361 Social Infrastructure Fund and 361 Infrastructure Partners, LLC https://regulations.justia.com/regulations/fedreg/2020/10/21/2020-23242.html https://regulations.justia.com/regulations/fedreg/2020/10/21/2020-23242.html Wed, 21 Oct 2020 00:00:00 -0700 2020-23242 Notice https://www.govinfo.gov/content/pkg/FR-2020-10-21/pdf/2020-23242.pdf Notice - YieldStreet Prism Fund Inc., et al. https://regulations.justia.com/regulations/fedreg/2020/10/21/2020-23241.html https://regulations.justia.com/regulations/fedreg/2020/10/21/2020-23241.html Wed, 21 Oct 2020 00:00:00 -0700 2020-23241 Notice https://www.govinfo.gov/content/pkg/FR-2020-10-21/pdf/2020-23241.pdf