<![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/2020/12/04?registers=between Tue, 21 May 2024 23:14:29 -0700 Tue, 21 May 2024 23:14:29 -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/2020/12/04?registers=between Notice - Self-Regulatory Organizations; Cboe Exchange, Inc.; Notice of Filing of a Proposed Rule Change, as Modified by Amendment No. 1, To Amend Its Rules Regarding the Minimum Increments for Electronic Bids and Offers and Exercise Prices of Certain FLEX Options and Clarify in the Rules How the System Ranks FLEX Option Bids and Offers for Allocation Purposes https://regulations.justia.com/regulations/fedreg/2020/12/04/2020-26678.html https://regulations.justia.com/regulations/fedreg/2020/12/04/2020-26678.html Fri, 04 Dec 2020 00:00:00 -0800 2020-26678 Notice https://www.govinfo.gov/content/pkg/FR-2020-12-04/pdf/2020-26678.pdf Notice - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing of Amendment No. 1 and Order Granting Accelerated Approval of a Proposed Rule Change, as Modified by Amendment No. 1 To Delete the FINRA Order Audit Trail System (OATS) https://regulations.justia.com/regulations/fedreg/2020/12/04/2020-26677.html https://regulations.justia.com/regulations/fedreg/2020/12/04/2020-26677.html Fri, 04 Dec 2020 00:00:00 -0800 2020-26677 Notice https://www.govinfo.gov/content/pkg/FR-2020-12-04/pdf/2020-26677.pdf Notice - Self-Regulatory Organizations; The Depository Trust Company; Notice of Filing of Proposed Rule Change to Allow for the Deposit of Electronic Certificates of Deposit and Technical Changes https://regulations.justia.com/regulations/fedreg/2020/12/04/2020-26676.html https://regulations.justia.com/regulations/fedreg/2020/12/04/2020-26676.html Fri, 04 Dec 2020 00:00:00 -0800 2020-26676 Notice https://www.govinfo.gov/content/pkg/FR-2020-12-04/pdf/2020-26676.pdf Notice - Self-Regulatory Organizations; Cboe BZX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to List and Trade Shares of the Fidelity Growth Opportunities ETF, Fidelity Magellan ETF, Fidelity Real Estate Investment ETF, and Fidelity Small-Mid Cap Opportunities ETF Under Rule 14.11(m) (Tracking Fund Shares) https://regulations.justia.com/regulations/fedreg/2020/12/04/2020-26675.html https://regulations.justia.com/regulations/fedreg/2020/12/04/2020-26675.html Fri, 04 Dec 2020 00:00:00 -0800 2020-26675 Notice https://www.govinfo.gov/content/pkg/FR-2020-12-04/pdf/2020-26675.pdf Notice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to the Perth Mint Physical Gold ETF https://regulations.justia.com/regulations/fedreg/2020/12/04/2020-26674.html https://regulations.justia.com/regulations/fedreg/2020/12/04/2020-26674.html Fri, 04 Dec 2020 00:00:00 -0800 2020-26674 Notice https://www.govinfo.gov/content/pkg/FR-2020-12-04/pdf/2020-26674.pdf Notice - Self-Regulatory Organizations; NYSE Arca, Inc.; Order Approving a Proposed Rule Change, as Modified by Amendment No. 2, To List and Trade Shares of Alger Mid Cap 40 ETF and Alger 25 ETF Under Rule 8.900-E https://regulations.justia.com/regulations/fedreg/2020/12/04/2020-26673.html https://regulations.justia.com/regulations/fedreg/2020/12/04/2020-26673.html Fri, 04 Dec 2020 00:00:00 -0800 2020-26673 Notice https://www.govinfo.gov/content/pkg/FR-2020-12-04/pdf/2020-26673.pdf Notice - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing of a Proposed Rule Change To Adopt FINRA Rule 4111 (Restricted Firm Obligations) and FINRA Rule 9561 (Procedures for Regulating Activities Under Rule 4111) https://regulations.justia.com/regulations/fedreg/2020/12/04/2020-26594.html https://regulations.justia.com/regulations/fedreg/2020/12/04/2020-26594.html Fri, 04 Dec 2020 00:00:00 -0800 2020-26594 Notice https://www.govinfo.gov/content/pkg/FR-2020-12-04/pdf/2020-26594.pdf Rule - Electronic Signatures in Regulation S-T Rule 302 https://regulations.justia.com/regulations/fedreg/2020/12/04/2020-26166.html https://regulations.justia.com/regulations/fedreg/2020/12/04/2020-26166.html Fri, 04 Dec 2020 00:00:00 -0800 2020-26166 Rule https://www.govinfo.gov/content/pkg/FR-2020-12-04/pdf/2020-26166.pdf