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

Results 1 - 18 of 18
Sunshine Act Meetings
Document Number: 2020-27867
Type: Notice
Date: 2020-12-17
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2020/12/17/2020-27867.html
Sunshine Act Meetings
Document Number: 2020-27866
Type: Notice
Date: 2020-12-17
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2020/12/17/2020-27866.html
Sunshine Act Meetings
Document Number: 2020-27862
Type: Notice
Date: 2020-12-17
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2020/12/17/2020-27862.html
Palmer Square Capital BDC Inc., et al.
Document Number: 2020-27811
Type: Notice
Date: 2020-12-17
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2020/12/17/2020-27811.html
Notice of Intention to Cancel Registration Pursuant to section 203(H) of the Investment Advisers Act of 1940
Document Number: 2020-27788
Type: Notice
Date: 2020-12-17
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2020/12/17/2020-27788.html
Self-Regulatory Organizations; NYSE Arca, Inc.; Order Instituting Proceedings To Determine Whether To Approve or Disapprove a Proposed Rule Change To Amend NYSE Arca Rule 8.601-E To Adopt Generic Listing Standards for Active Proxy Portfolio Shares
Document Number: 2020-27731
Type: Notice
Date: 2020-12-17
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2020/12/17/2020-27731.html
Self-Regulatory Organizations; MIAX PEARL, LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the MIAX PEARL Equities Fee Schedule To Adopt Connectivity Fees, Port Fees, a Technical Support Request Fee, and Historical Market Data Fee
Document Number: 2020-27730
Type: Notice
Date: 2020-12-17
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2020/12/17/2020-27730.html
Self-Regulatory Organizations; NYSE American LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the NYSE American Options Fee Schedule
Document Number: 2020-27729
Type: Notice
Date: 2020-12-17
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2020/12/17/2020-27729.html
Self-Regulatory Organizations; The Depository Trust Company; Fixed Income Clearing Corporation; National Securities Clearing Corporation; Notice of Filings and Immediate Effectiveness of Proposed Rule Changes To Amend the Clearing Agencies Liquidity Risk Management Framework
Document Number: 2020-27728
Type: Notice
Date: 2020-12-17
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2020/12/17/2020-27728.html
Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Order Approving Proposed Rule Change To Modify TRACE Dissemination Protocols for Agency Pass-Through MBS or SBA-Backed ABS Traded in Specified Pool Transactions
Document Number: 2020-27727
Type: Notice
Date: 2020-12-17
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2020/12/17/2020-27727.html
Self-Regulatory Organizations; Investors Exchange LLC; Notice of Filing of Proposed Rule Change To Amend IEX Rule 11.510 To Reduce the Outbound Latency That Presently Applies to All Trading Messages Sent From IEX Back to Users of the Exchange
Document Number: 2020-27726
Type: Notice
Date: 2020-12-17
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2020/12/17/2020-27726.html
Self-Regulatory Organizations; The Nasdaq Stock Market LLC; Notice of Designation of a Longer Period for Commission Action on a Proposed Rule Change, as Modified by Amendment No. 1, To Exclude Special Purpose Acquisition Companies From the Requirement That at Least 50% of a Company's Round Lot Holders Each Hold Unrestricted Securities With a Market Value of at Least $2,500
Document Number: 2020-27725
Type: Notice
Date: 2020-12-17
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2020/12/17/2020-27725.html
Self-Regulatory Organizations; Cboe EDGX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating To Amend Its Fee Schedule With Respect to Qualified Contingent Cross (“QCC”) and Solicitation Auction Mechanism (“SAM”) Orders
Document Number: 2020-27724
Type: Notice
Date: 2020-12-17
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2020/12/17/2020-27724.html
Self-Regulatory Organizations; Cboe Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the Fees Schedule With Respect to Certain Fees Related to Qualified Contingent Cross Transactions the Exchange's LMM Incentive Programs
Document Number: 2020-27723
Type: Notice
Date: 2020-12-17
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2020/12/17/2020-27723.html
Self-Regulatory Organizations; MIAX PEARL, LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the Fee Schedule
Document Number: 2020-27721
Type: Notice
Date: 2020-12-17
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2020/12/17/2020-27721.html
Self-Regulatory Organizations; MIAX Emerald, LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the Fee Schedule
Document Number: 2020-27720
Type: Notice
Date: 2020-12-17
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2020/12/17/2020-27720.html
Self-Regulatory Organizations; Miami International Securities Exchange LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the Fee Schedule
Document Number: 2020-27719
Type: Notice
Date: 2020-12-17
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2020/12/17/2020-27719.html
KKR Income Opportunities Fund, et al.
Document Number: 2020-27714
Type: Notice
Date: 2020-12-17
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2020/12/17/2020-27714.html
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