<![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/2020/11/10?registers=between Sat, 28 Dec 2024 17:22:36 -0800 Sat, 28 Dec 2024 17:22:36 -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/2020/11/10?registers=between Notice - Notice of Intention To Cancel Registration Pursuant to the Investment Advisers Act of 1940 https://regulations.justia.com/regulations/fedreg/2020/11/10/2020-24938.html https://regulations.justia.com/regulations/fedreg/2020/11/10/2020-24938.html Tue, 10 Nov 2020 00:00:00 -0800 2020-24938 Notice https://www.govinfo.gov/content/pkg/FR-2020-11-10/pdf/2020-24938.pdf Notice - 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 Disclosure https://regulations.justia.com/regulations/fedreg/2020/11/10/2020-24889.html https://regulations.justia.com/regulations/fedreg/2020/11/10/2020-24889.html Tue, 10 Nov 2020 00:00:00 -0800 2020-24889 Notice https://www.govinfo.gov/content/pkg/FR-2020-11-10/pdf/2020-24889.pdf Notice - 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 Combinations https://regulations.justia.com/regulations/fedreg/2020/11/10/2020-24888.html https://regulations.justia.com/regulations/fedreg/2020/11/10/2020-24888.html Tue, 10 Nov 2020 00:00:00 -0800 2020-24888 Notice https://www.govinfo.gov/content/pkg/FR-2020-11-10/pdf/2020-24888.pdf Notice - 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 3 https://regulations.justia.com/regulations/fedreg/2020/11/10/2020-24887.html https://regulations.justia.com/regulations/fedreg/2020/11/10/2020-24887.html Tue, 10 Nov 2020 00:00:00 -0800 2020-24887 Notice https://www.govinfo.gov/content/pkg/FR-2020-11-10/pdf/2020-24887.pdf Notice - 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 Service https://regulations.justia.com/regulations/fedreg/2020/11/10/2020-24886.html https://regulations.justia.com/regulations/fedreg/2020/11/10/2020-24886.html Tue, 10 Nov 2020 00:00:00 -0800 2020-24886 Notice https://www.govinfo.gov/content/pkg/FR-2020-11-10/pdf/2020-24886.pdf Notice - 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 Tier https://regulations.justia.com/regulations/fedreg/2020/11/10/2020-24885.html https://regulations.justia.com/regulations/fedreg/2020/11/10/2020-24885.html Tue, 10 Nov 2020 00:00:00 -0800 2020-24885 Notice https://www.govinfo.gov/content/pkg/FR-2020-11-10/pdf/2020-24885.pdf Notice - 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 Migration https://regulations.justia.com/regulations/fedreg/2020/11/10/2020-24884.html https://regulations.justia.com/regulations/fedreg/2020/11/10/2020-24884.html Tue, 10 Nov 2020 00:00:00 -0800 2020-24884 Notice https://www.govinfo.gov/content/pkg/FR-2020-11-10/pdf/2020-24884.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 https://regulations.justia.com/regulations/fedreg/2020/11/10/2020-24883.html https://regulations.justia.com/regulations/fedreg/2020/11/10/2020-24883.html Tue, 10 Nov 2020 00:00:00 -0800 2020-24883 Notice https://www.govinfo.gov/content/pkg/FR-2020-11-10/pdf/2020-24883.pdf Notice - 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 Effected https://regulations.justia.com/regulations/fedreg/2020/11/10/2020-24882.html https://regulations.justia.com/regulations/fedreg/2020/11/10/2020-24882.html Tue, 10 Nov 2020 00:00:00 -0800 2020-24882 Notice https://www.govinfo.gov/content/pkg/FR-2020-11-10/pdf/2020-24882.pdf Notice - Public Availability of the Securities and Exchange Commission's FY 2016 and FY 2017 Service Contract Inventory https://regulations.justia.com/regulations/fedreg/2020/11/10/2020-24880.html https://regulations.justia.com/regulations/fedreg/2020/11/10/2020-24880.html Tue, 10 Nov 2020 00:00:00 -0800 2020-24880 Notice https://www.govinfo.gov/content/pkg/FR-2020-11-10/pdf/2020-24880.pdf Notice - Principal Diversified Select Real Asset Fund, et al. https://regulations.justia.com/regulations/fedreg/2020/11/10/2020-24879.html https://regulations.justia.com/regulations/fedreg/2020/11/10/2020-24879.html Tue, 10 Nov 2020 00:00:00 -0800 2020-24879 Notice https://www.govinfo.gov/content/pkg/FR-2020-11-10/pdf/2020-24879.pdf