<![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/2020/12/23?registers=between Wed, 22 May 2024 10:12:32 -0700 Wed, 22 May 2024 10:12:32 -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/2020/12/23?registers=between Notice - Sunshine Act Meetings https://regulations.justia.com/regulations/fedreg/2020/12/23/2020-28540.html https://regulations.justia.com/regulations/fedreg/2020/12/23/2020-28540.html Wed, 23 Dec 2020 00:00:00 -0800 2020-28540 Notice https://www.govinfo.gov/content/pkg/FR-2020-12-23/pdf/2020-28540.pdf Notice - Sunshine Act Meeting; Cancellation https://regulations.justia.com/regulations/fedreg/2020/12/23/2020-28521.html https://regulations.justia.com/regulations/fedreg/2020/12/23/2020-28521.html Wed, 23 Dec 2020 00:00:00 -0800 2020-28521 Notice https://www.govinfo.gov/content/pkg/FR-2020-12-23/pdf/2020-28521.pdf Notice - Proposed Collection; Comment Request https://regulations.justia.com/regulations/fedreg/2020/12/23/2020-28430.html https://regulations.justia.com/regulations/fedreg/2020/12/23/2020-28430.html Wed, 23 Dec 2020 00:00:00 -0800 2020-28430 Notice https://www.govinfo.gov/content/pkg/FR-2020-12-23/pdf/2020-28430.pdf Notice - Proposed Collection; Comment Request https://regulations.justia.com/regulations/fedreg/2020/12/23/2020-28425.html https://regulations.justia.com/regulations/fedreg/2020/12/23/2020-28425.html Wed, 23 Dec 2020 00:00:00 -0800 2020-28425 Notice https://www.govinfo.gov/content/pkg/FR-2020-12-23/pdf/2020-28425.pdf Notice - Proposed Collection; Comment Request https://regulations.justia.com/regulations/fedreg/2020/12/23/2020-28424.html https://regulations.justia.com/regulations/fedreg/2020/12/23/2020-28424.html Wed, 23 Dec 2020 00:00:00 -0800 2020-28424 Notice https://www.govinfo.gov/content/pkg/FR-2020-12-23/pdf/2020-28424.pdf Notice - Self-Regulatory Organizations; The Nasdaq Stock Market LLC; Order Instituting Proceedings To Determine Whether To Approve or Disapprove 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/2020/12/23/2020-28319.html https://regulations.justia.com/regulations/fedreg/2020/12/23/2020-28319.html Wed, 23 Dec 2020 00:00:00 -0800 2020-28319 Notice https://www.govinfo.gov/content/pkg/FR-2020-12-23/pdf/2020-28319.pdf Notice - Self-Regulatory Organizations; Cboe EDGX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend EDGX Rule 11.8(g), Which Describes the Handling of MidPoint Discretionary Orders Entered on the Exchange https://regulations.justia.com/regulations/fedreg/2020/12/23/2020-28318.html https://regulations.justia.com/regulations/fedreg/2020/12/23/2020-28318.html Wed, 23 Dec 2020 00:00:00 -0800 2020-28318 Notice https://www.govinfo.gov/content/pkg/FR-2020-12-23/pdf/2020-28318.pdf Notice - Self-Regulatory Organizations; The Options Clearing Corporation; Notice of Filing of Partial Amendment No. 1 and Order Granting Accelerated Approval of Proposed Rule Change, as Modified by Partial Amendment No. 1, To Update The Options Clearing Corporation's Recovery and Orderly Wind-Down Plan https://regulations.justia.com/regulations/fedreg/2020/12/23/2020-28317.html https://regulations.justia.com/regulations/fedreg/2020/12/23/2020-28317.html Wed, 23 Dec 2020 00:00:00 -0800 2020-28317 Notice https://www.govinfo.gov/content/pkg/FR-2020-12-23/pdf/2020-28317.pdf Notice - Self-Regulatory Organizations; Miami International Securities Exchange, LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Chapter XVII, Audit Trail Compliance Rule https://regulations.justia.com/regulations/fedreg/2020/12/23/2020-28316.html https://regulations.justia.com/regulations/fedreg/2020/12/23/2020-28316.html Wed, 23 Dec 2020 00:00:00 -0800 2020-28316 Notice https://www.govinfo.gov/content/pkg/FR-2020-12-23/pdf/2020-28316.pdf Notice - Self-Regulatory Organizations; NYSE American LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the Rule 6800 Series https://regulations.justia.com/regulations/fedreg/2020/12/23/2020-28315.html https://regulations.justia.com/regulations/fedreg/2020/12/23/2020-28315.html Wed, 23 Dec 2020 00:00:00 -0800 2020-28315 Notice https://www.govinfo.gov/content/pkg/FR-2020-12-23/pdf/2020-28315.pdf Notice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the Rule 11.6800 Series https://regulations.justia.com/regulations/fedreg/2020/12/23/2020-28314.html https://regulations.justia.com/regulations/fedreg/2020/12/23/2020-28314.html Wed, 23 Dec 2020 00:00:00 -0800 2020-28314 Notice https://www.govinfo.gov/content/pkg/FR-2020-12-23/pdf/2020-28314.pdf Notice - Self-Regulatory Organizations; NYSE Chicago, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the Rule 6.6800 Series https://regulations.justia.com/regulations/fedreg/2020/12/23/2020-28313.html https://regulations.justia.com/regulations/fedreg/2020/12/23/2020-28313.html Wed, 23 Dec 2020 00:00:00 -0800 2020-28313 Notice https://www.govinfo.gov/content/pkg/FR-2020-12-23/pdf/2020-28313.pdf Notice - Self-Regulatory Organizations; NYSE National, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the Rule 6.6800 Series https://regulations.justia.com/regulations/fedreg/2020/12/23/2020-28312.html https://regulations.justia.com/regulations/fedreg/2020/12/23/2020-28312.html Wed, 23 Dec 2020 00:00:00 -0800 2020-28312 Notice https://www.govinfo.gov/content/pkg/FR-2020-12-23/pdf/2020-28312.pdf Notice - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the Rule 6800 Series https://regulations.justia.com/regulations/fedreg/2020/12/23/2020-28311.html https://regulations.justia.com/regulations/fedreg/2020/12/23/2020-28311.html Wed, 23 Dec 2020 00:00:00 -0800 2020-28311 Notice https://www.govinfo.gov/content/pkg/FR-2020-12-23/pdf/2020-28311.pdf Notice - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Order Approving a Proposed Rule Change To Amend the FINRA Codes of Arbitration Procedure To Increase Arbitrator Chairperson Honoraria and Certain Arbitration Fees https://regulations.justia.com/regulations/fedreg/2020/12/23/2020-28310.html https://regulations.justia.com/regulations/fedreg/2020/12/23/2020-28310.html Wed, 23 Dec 2020 00:00:00 -0800 2020-28310 Notice https://www.govinfo.gov/content/pkg/FR-2020-12-23/pdf/2020-28310.pdf Notice - Program for Allocation of Regulatory Responsibilities Pursuant to Rule 17d-2; Notice of Filing and Order Approving and Declaring Effective an Amended Plan for the Allocation of Regulatory Responsibilities Between the Financial Industry Regulatory Authority, Inc. and Nasdaq GEMX, LLC https://regulations.justia.com/regulations/fedreg/2020/12/23/2020-28309.html https://regulations.justia.com/regulations/fedreg/2020/12/23/2020-28309.html Wed, 23 Dec 2020 00:00:00 -0800 2020-28309 Notice https://www.govinfo.gov/content/pkg/FR-2020-12-23/pdf/2020-28309.pdf Notice - Program for Allocation of Regulatory Responsibilities Pursuant to Rule 17d-2; Notice of Filing and Order Approving and Declaring Effective an Amended Plan for the Allocation of Regulatory Responsibilities Between the Financial Industry Regulatory Authority, Inc. and Nasdaq MRX, LLC https://regulations.justia.com/regulations/fedreg/2020/12/23/2020-28308.html https://regulations.justia.com/regulations/fedreg/2020/12/23/2020-28308.html Wed, 23 Dec 2020 00:00:00 -0800 2020-28308 Notice https://www.govinfo.gov/content/pkg/FR-2020-12-23/pdf/2020-28308.pdf Notice - Program for Allocation of Regulatory Responsibilities Pursuant to Rule 17d-2; Notice of Filing and Order Approving and Declaring Effective an Amended Plan for the Allocation of Regulatory Responsibilities Between the Financial Industry Regulatory Authority, Inc. and Nasdaq ISE, LLC https://regulations.justia.com/regulations/fedreg/2020/12/23/2020-28307.html https://regulations.justia.com/regulations/fedreg/2020/12/23/2020-28307.html Wed, 23 Dec 2020 00:00:00 -0800 2020-28307 Notice https://www.govinfo.gov/content/pkg/FR-2020-12-23/pdf/2020-28307.pdf Notice - Self-Regulatory Organizations; BOX Exchange LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the Fee Schedule on the BOX Options Market LLC Facility https://regulations.justia.com/regulations/fedreg/2020/12/23/2020-28305.html https://regulations.justia.com/regulations/fedreg/2020/12/23/2020-28305.html Wed, 23 Dec 2020 00:00:00 -0800 2020-28305 Notice https://www.govinfo.gov/content/pkg/FR-2020-12-23/pdf/2020-28305.pdf Notice - Self-Regulatory Organizations; The Nasdaq Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To No Longer Implement the OTTO Protocol https://regulations.justia.com/regulations/fedreg/2020/12/23/2020-28304.html https://regulations.justia.com/regulations/fedreg/2020/12/23/2020-28304.html Wed, 23 Dec 2020 00:00:00 -0800 2020-28304 Notice https://www.govinfo.gov/content/pkg/FR-2020-12-23/pdf/2020-28304.pdf Notice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Regarding the Description of the “Indicative Partnership Value” Disseminated in Connection With Trading of “Units” of the United States Oil Fund, LP https://regulations.justia.com/regulations/fedreg/2020/12/23/2020-28303.html https://regulations.justia.com/regulations/fedreg/2020/12/23/2020-28303.html Wed, 23 Dec 2020 00:00:00 -0800 2020-28303 Notice https://www.govinfo.gov/content/pkg/FR-2020-12-23/pdf/2020-28303.pdf