Federal Register Recent Federal Regulation Documents - Justia Regulation Tracker - Justia Regulations Trackerhttps://regulations.justia.com/regulations/fedreg/agencies/agencies-and-commissions/securities-and-exchange-commission/2020/11/10?limit=200®isters=between&mode=atom2024-05-18T15:57:55-07:00Justia Inchttps://www.justia.com/Justia Regulations Trackerhttps://regulations.justia.com/images/justiafedregulations.gifCopyright 2011 Justia Inchttps://regulations.justia.com/regulations/fedreg/2020/11/10/2020-24938.htmlNotice - Notice of Intention To Cancel Registration Pursuant to the Investment Advisers Act of 19402020-11-10T00:00:00-08:002020-11-10T00:00:00-08:002020-24938Noticehttps://www.govinfo.gov/content/pkg/FR-2020-11-10/pdf/2020-24938.pdfhttps://regulations.justia.com/regulations/fedreg/2020/11/10/2020-24889.htmlNotice - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend FINRA Rules To Reflect Name Changes to Two FINRA Departments: The Office of Dispute Resolution and the Department of Registration and Disclosure2020-11-10T00:00:00-08:002020-11-10T00:00:00-08:002020-24889Noticehttps://www.govinfo.gov/content/pkg/FR-2020-11-10/pdf/2020-24889.pdfhttps://regulations.justia.com/regulations/fedreg/2020/11/10/2020-24888.htmlNotice - Self-Regulatory Organizations; The Nasdaq Stock Market LLC; Notice of Designation of a Longer Period for Commission Action on a Proposed Rule Change To Amend Listing Rules Applicable to Special Purpose Acquisition Companies Whose Business Plan Is To Complete One or More Business Combinations2020-11-10T00:00:00-08:002020-11-10T00:00:00-08:002020-24888Noticehttps://www.govinfo.gov/content/pkg/FR-2020-11-10/pdf/2020-24888.pdfhttps://regulations.justia.com/regulations/fedreg/2020/11/10/2020-24887.htmlNotice - Self-Regulatory Organizations; Nasdaq PHLX LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the Exchange's Transaction Fees at Equity 7, Section 32020-11-10T00:00:00-08:002020-11-10T00:00:00-08:002020-24887Noticehttps://www.govinfo.gov/content/pkg/FR-2020-11-10/pdf/2020-24887.pdfhttps://regulations.justia.com/regulations/fedreg/2020/11/10/2020-24886.htmlNotice - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Designation of a Longer Period for Commission Action on a Proposed Rule Change To Adopt FINRA Rule 6439 (Requirements for Member Inter-Dealer Quotation Systems) and Delete the Rules Related to the OTC Bulletin Board Service2020-11-10T00:00:00-08:002020-11-10T00:00:00-08:002020-24886Noticehttps://www.govinfo.gov/content/pkg/FR-2020-11-10/pdf/2020-24886.pdfhttps://regulations.justia.com/regulations/fedreg/2020/11/10/2020-24885.htmlNotice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending the NYSE Arca Equities Fees and Charges To Adopt an Alternative Method To Qualify for the Tier 2 Pricing Tier2020-11-10T00:00:00-08:002020-11-10T00:00:00-08:002020-24885Noticehttps://www.govinfo.gov/content/pkg/FR-2020-11-10/pdf/2020-24885.pdfhttps://regulations.justia.com/regulations/fedreg/2020/11/10/2020-24884.htmlNotice - Self-Regulatory Organizations; Cboe Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Its Fees Schedule in Connection With Migration2020-11-10T00:00:00-08:002020-11-10T00:00:00-08:002020-24884Noticehttps://www.govinfo.gov/content/pkg/FR-2020-11-10/pdf/2020-24884.pdfhttps://regulations.justia.com/regulations/fedreg/2020/11/10/2020-24883.htmlNotice - Self-Regulatory Organizations; Cboe Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating To Amend Its Fees Schedule2020-11-10T00:00:00-08:002020-11-10T00:00:00-08:002020-24883Noticehttps://www.govinfo.gov/content/pkg/FR-2020-11-10/pdf/2020-24883.pdfhttps://regulations.justia.com/regulations/fedreg/2020/11/10/2020-24882.htmlNotice - Self-Regulatory Organizations; The Nasdaq Stock Market LLC; Notice of Designation of a Longer Period for Commission Action on a Proposed Rule Change, To Allow Companies To List in Connection With a Direct Listing With a Primary Offering in Which the Company Will Sell Shares Itself in the Opening Auction on the First Day of Trading on Nasdaq and To Explain How the Opening Transaction for Such a Listing Will Be Effected2020-11-10T00:00:00-08:002020-11-10T00:00:00-08:002020-24882Noticehttps://www.govinfo.gov/content/pkg/FR-2020-11-10/pdf/2020-24882.pdfhttps://regulations.justia.com/regulations/fedreg/2020/11/10/2020-24880.htmlNotice - Public Availability of the Securities and Exchange Commission's FY 2016 and FY 2017 Service Contract Inventory2020-11-10T00:00:00-08:002020-11-10T00:00:00-08:002020-24880Noticehttps://www.govinfo.gov/content/pkg/FR-2020-11-10/pdf/2020-24880.pdfhttps://regulations.justia.com/regulations/fedreg/2020/11/10/2020-24879.htmlNotice - Principal Diversified Select Real Asset Fund, et al.2020-11-10T00:00:00-08:002020-11-10T00:00:00-08:002020-24879Noticehttps://www.govinfo.gov/content/pkg/FR-2020-11-10/pdf/2020-24879.pdf