Securities and Exchange Commission November 17, 2020 – Federal Register Recent Federal Regulation Documents

Results 1 - 14 of 14
AdvisorShares Trust, et al.
Document Number: 2020-25329
Type: Notice
Date: 2020-11-17
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2020/11/17/2020-25329.html
Self-Regulatory Organizations; The Nasdaq Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Harmonize Exchange Rules 1015, 9261, 9524 and 9830 With Recent Changes by the Financial Industry Regulatory Authority, Inc.
Document Number: 2020-25271
Type: Notice
Date: 2020-11-17
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2020/11/17/2020-25271.html
Self-Regulatory Organizations; The Nasdaq Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Rules 4613, 4702, and 4703
Document Number: 2020-25270
Type: Notice
Date: 2020-11-17
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2020/11/17/2020-25270.html
Self-Regulatory Organizations; MIAX PEARL, LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the Exchange's Certificate of Formation, Amended and Restated Limited Liability Company Agreement, and the By-Laws
Document Number: 2020-25269
Type: Notice
Date: 2020-11-17
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2020/11/17/2020-25269.html
Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing of Proposed Rule Change to Amend Rules 7.35 and 7.35A
Document Number: 2020-25268
Type: Notice
Date: 2020-11-17
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2020/11/17/2020-25268.html
Self-Regulatory Organizations; Fixed Income Clearing Corporation; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend the Government Securities Division Rulebook To Add a Pre-Payment Assessment and Certain Credits in Connection With a New Service, Which Has Not Yet Been Proposed for and Would Be Subject to Regulatory Approval
Document Number: 2020-25267
Type: Notice
Date: 2020-11-17
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2020/11/17/2020-25267.html
Self-Regulatory Organizations; MIAX Emerald, LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the Exchange's Certificate of Formation, Amended and Restated Limited Liability Company Agreement, and the By-Laws
Document Number: 2020-25266
Type: Notice
Date: 2020-11-17
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2020/11/17/2020-25266.html
Self-Regulatory Organizations; Miami International Securities Exchange LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the Exchange's Amended and Restated Certificate of Formation, Second Amended and Restated Limited Liability Company Agreement, and the Amended and Restated By-Laws
Document Number: 2020-25264
Type: Notice
Date: 2020-11-17
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2020/11/17/2020-25264.html
Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Its Price List
Document Number: 2020-25263
Type: Notice
Date: 2020-11-17
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2020/11/17/2020-25263.html
Submission for OMB Review; Comment Request
Document Number: 2020-25256
Type: Notice
Date: 2020-11-17
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2020/11/17/2020-25256.html
Submission for OMB Review; Comment Request
Document Number: 2020-25255
Type: Notice
Date: 2020-11-17
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2020/11/17/2020-25255.html
Submission for OMB Review; Comment Request
Document Number: 2020-25253
Type: Notice
Date: 2020-11-17
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2020/11/17/2020-25253.html
Submission for OMB Review; Comment Request
Document Number: 2020-25251
Type: Notice
Date: 2020-11-17
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2020/11/17/2020-25251.html
Submission for OMB Review; Comment Request
Document Number: 2020-25248
Type: Notice
Date: 2020-11-17
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2020/11/17/2020-25248.html
This site is protected by reCAPTCHA and the Google Privacy Policy and Terms of Service apply.