<![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/2020/11/05?registers=between Thu, 23 May 2024 06:10:20 -0700 Thu, 23 May 2024 06:10:20 -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/2020/11/05?registers=between Notice - Sunshine Act Meetings https://regulations.justia.com/regulations/fedreg/2020/11/05/2020-24772.html https://regulations.justia.com/regulations/fedreg/2020/11/05/2020-24772.html Thu, 05 Nov 2020 00:00:00 -0800 2020-24772 Notice https://www.govinfo.gov/content/pkg/FR-2020-11-05/pdf/2020-24772.pdf Notice - Sunshine Act Meeting; Cancellation https://regulations.justia.com/regulations/fedreg/2020/11/05/2020-24665.html https://regulations.justia.com/regulations/fedreg/2020/11/05/2020-24665.html Thu, 05 Nov 2020 00:00:00 -0800 2020-24665 Notice https://www.govinfo.gov/content/pkg/FR-2020-11-05/pdf/2020-24665.pdf Notice - Proposed Order Granting Conditional Exemptions Under the Securities Exchange Act of 1934 in Connection With the Portfolio Margining of Swaps and Security-Based Swaps That Are Credit Default Swaps https://regulations.justia.com/regulations/fedreg/2020/11/05/2020-24612.html https://regulations.justia.com/regulations/fedreg/2020/11/05/2020-24612.html Thu, 05 Nov 2020 00:00:00 -0800 2020-24612 Notice https://www.govinfo.gov/content/pkg/FR-2020-11-05/pdf/2020-24612.pdf Notice - Order Granting Exemptions From Sections 8 and 15(a)(1) of the Securities Exchange Act of 1934 and Rules 3b-13(b)(2), 8c-1, 10b-10, 15a-1(c), 15a-1(d) and 15c2-1 Thereunder in Connection With the Revision of the Definition of “Security” To Encompass Security-Based Swaps and Determining the Expiration Date for a Temporary Exemption From Section 29(b) of the Securities Exchange Act of 1934 in Connection With Registration of Security-Based Swap Dealers and Major Security-Based Swap Participants https://regulations.justia.com/regulations/fedreg/2020/11/05/2020-24598.html https://regulations.justia.com/regulations/fedreg/2020/11/05/2020-24598.html Thu, 05 Nov 2020 00:00:00 -0800 2020-24598 Notice https://www.govinfo.gov/content/pkg/FR-2020-11-05/pdf/2020-24598.pdf Notice - Self-Regulatory Organizations; Cboe BZX Exchange, Inc.; Notice of Designation of a Longer Period for Commission Action on a Proposed Rule Change To List and Trade Shares of the -1x Short VIX Futures ETF, a Series of VS Trust, Under BZX Rule 14.11(f)(4) (Trust Issued Receipts) https://regulations.justia.com/regulations/fedreg/2020/11/05/2020-24501.html https://regulations.justia.com/regulations/fedreg/2020/11/05/2020-24501.html Thu, 05 Nov 2020 00:00:00 -0800 2020-24501 Notice https://www.govinfo.gov/content/pkg/FR-2020-11-05/pdf/2020-24501.pdf Notice - Self-Regulatory Organizations; ICE Clear Europe Limited; Notice of Filing of Proposed Rule Change Relating to the ICE Clear Europe Investment Management Procedures https://regulations.justia.com/regulations/fedreg/2020/11/05/2020-24500.html https://regulations.justia.com/regulations/fedreg/2020/11/05/2020-24500.html Thu, 05 Nov 2020 00:00:00 -0800 2020-24500 Notice https://www.govinfo.gov/content/pkg/FR-2020-11-05/pdf/2020-24500.pdf Notice - Self-Regulatory Organizations; ICE Clear Credit LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to ICC's Fee Schedule https://regulations.justia.com/regulations/fedreg/2020/11/05/2020-24498.html https://regulations.justia.com/regulations/fedreg/2020/11/05/2020-24498.html Thu, 05 Nov 2020 00:00:00 -0800 2020-24498 Notice https://www.govinfo.gov/content/pkg/FR-2020-11-05/pdf/2020-24498.pdf Notice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Designation of a Longer Period for Commission Action on a Proposed Rule Change To Amend NYSE Arca Rule 5.3-E To Exempt Registered Investment Companies that List Certain Categories of the Securities Defined as Derivative and Special Purpose Securities Under NYSE Arca Rules From Having To Obtain Shareholder Approval Prior to the Issuance of Securities in Connection With Certain Acquisitions of the Stock or Assets of an Affiliated Company https://regulations.justia.com/regulations/fedreg/2020/11/05/2020-24497.html https://regulations.justia.com/regulations/fedreg/2020/11/05/2020-24497.html Thu, 05 Nov 2020 00:00:00 -0800 2020-24497 Notice https://www.govinfo.gov/content/pkg/FR-2020-11-05/pdf/2020-24497.pdf Notice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Designation of a Longer Period for Commission Action on a Proposed Rule Change To Amend NYSE Arca Rule 8.601-E To Adopt Generic Listing Standards for Active Proxy Portfolio Shares https://regulations.justia.com/regulations/fedreg/2020/11/05/2020-24496.html https://regulations.justia.com/regulations/fedreg/2020/11/05/2020-24496.html Thu, 05 Nov 2020 00:00:00 -0800 2020-24496 Notice https://www.govinfo.gov/content/pkg/FR-2020-11-05/pdf/2020-24496.pdf Notice - Self-Regulatory Organizations; Cboe BYX Exchange, Inc.; Notice of Filing of Amendment No. 2 and Order Instituting Proceedings To Determine Whether To Approve or Disapprove a Proposed Rule Change, as Modified by Amendment No. 2, To Introduce Periodic Auctions for the Trading of U.S. Equity Securities https://regulations.justia.com/regulations/fedreg/2020/11/05/2020-24495.html https://regulations.justia.com/regulations/fedreg/2020/11/05/2020-24495.html Thu, 05 Nov 2020 00:00:00 -0800 2020-24495 Notice https://www.govinfo.gov/content/pkg/FR-2020-11-05/pdf/2020-24495.pdf Proposed Rule - Portfolio Margining of Uncleared Swaps and Non-Cleared Security-Based Swaps https://regulations.justia.com/regulations/fedreg/2020/11/05/2020-23928.html https://regulations.justia.com/regulations/fedreg/2020/11/05/2020-23928.html Thu, 05 Nov 2020 00:00:00 -0800 2020-23928 Proposed Rule https://www.govinfo.gov/content/pkg/FR-2020-11-05/pdf/2020-23928.pdf Rule - Whistleblower Program Rules https://regulations.justia.com/regulations/fedreg/2020/11/05/2020-21444.html https://regulations.justia.com/regulations/fedreg/2020/11/05/2020-21444.html Thu, 05 Nov 2020 00:00:00 -0800 2020-21444 Rule https://www.govinfo.gov/content/pkg/FR-2020-11-05/pdf/2020-21444.pdf Proposed Rule - Tailored Shareholder Reports, Treatment of Annual Prospectus Updates for Existing Investors, and Improved Fee and Risk Disclosure for Mutual Funds and Exchange-Traded Funds; Fee Information in Investment Company Advertisements https://regulations.justia.com/regulations/fedreg/2020/11/05/2020-17449.html https://regulations.justia.com/regulations/fedreg/2020/11/05/2020-17449.html Thu, 05 Nov 2020 00:00:00 -0800 2020-17449 Proposed Rule https://www.govinfo.gov/content/pkg/FR-2020-11-05/pdf/2020-17449.pdf