Federal Register Recent Federal Regulation Documents - Justia Regulation Tracker - Justia Regulations Trackerhttps://regulations.justia.com/regulations/fedreg/agencies/agencies-and-commissions/securities-and-exchange-commission/2021/01/06?limit=200®isters=between&mode=atom2025-01-20T05:26:00-08:00Justia Inchttps://www.justia.com/Justia Regulations Trackerhttps://regulations.justia.com/images/justiafedregulations.gifCopyright 2011 Justia Inchttps://regulations.justia.com/regulations/fedreg/2021/01/06/2020-29285.htmlNotice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Modify the NYSE Arca Options Fee Schedule2021-01-06T00:00:00-08:002021-01-06T00:00:00-08:002020-29285Noticehttps://www.govinfo.gov/content/pkg/FR-2021-01-06/pdf/2020-29285.pdfhttps://regulations.justia.com/regulations/fedreg/2021/01/06/2020-29284.htmlNotice - Self-Regulatory Organizations; The Nasdaq Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend General 7: Consolidated Audit Trail Compliance, the Exchange's Compliance Rule2021-01-06T00:00:00-08:002021-01-06T00:00:00-08:002020-29284Noticehttps://www.govinfo.gov/content/pkg/FR-2021-01-06/pdf/2020-29284.pdfhttps://regulations.justia.com/regulations/fedreg/2021/01/06/2020-29283.htmlNotice - Self-Regulatory Organizations; NYSE Arca, Inc.; Order Instituting Proceedings To Determine Whether To Approve or Disapprove a Proposed Rule Change, as Modified by Amendment No. 1, To Amend NYSE Arca Rule 8.900-E To Adopt Generic Listing Standards for Managed Portfolio Shares2021-01-06T00:00:00-08:002021-01-06T00:00:00-08:002020-29283Noticehttps://www.govinfo.gov/content/pkg/FR-2021-01-06/pdf/2020-29283.pdfhttps://regulations.justia.com/regulations/fedreg/2021/01/06/2020-29251.htmlNotice - Self-Regulatory Organizations; Fixed Income Clearing Corporation; Notice of Filing and Extension of the Review Period of an Advance Notice To Modify the Calculation of the MBSD VaR Floor To Incorporate a Minimum Margin Amount2021-01-06T00:00:00-08:002021-01-06T00:00:00-08:002020-29251Noticehttps://www.govinfo.gov/content/pkg/FR-2021-01-06/pdf/2020-29251.pdfhttps://regulations.justia.com/regulations/fedreg/2021/01/06/2020-29222.htmlNotice - Self-Regulatory Organizations; NYSE American LLC; Notice of Filing and Immediate Effectiveness of Proposed Change To Modify the NYSE American Options Fee Schedule2021-01-06T00:00:00-08:002021-01-06T00:00:00-08:002020-29222Noticehttps://www.govinfo.gov/content/pkg/FR-2021-01-06/pdf/2020-29222.pdfhttps://regulations.justia.com/regulations/fedreg/2021/01/06/2020-29221.htmlNotice - Self-Regulatory Organizations; The Nasdaq Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Waive Certain Fees Related to Non-Convertible Bonds2021-01-06T00:00:00-08:002021-01-06T00:00:00-08:002020-29221Noticehttps://www.govinfo.gov/content/pkg/FR-2021-01-06/pdf/2020-29221.pdfhttps://regulations.justia.com/regulations/fedreg/2021/01/06/2020-29220.htmlNotice - Self-Regulatory Organizations; MIAX PEARL, LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Exchange Rule 3100, Registration Requirements, To Adopt Temporary Interpretation and Policy .13 (Temporary Extension of the Limited Period for Registered Persons To Function as Principals)2021-01-06T00:00:00-08:002021-01-06T00:00:00-08:002020-29220Noticehttps://www.govinfo.gov/content/pkg/FR-2021-01-06/pdf/2020-29220.pdfhttps://regulations.justia.com/regulations/fedreg/2021/01/06/2020-29219.htmlNotice - Self-Regulatory Organizations; Miami International Securities Exchange LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Exchange Rule 1900, Registration Requirements, To Adopt Temporary Interpretation and Policy .13 (Temporary Extension of the Limited Period for Registered Persons To Function as Principals)2021-01-06T00:00:00-08:002021-01-06T00:00:00-08:002020-29219Noticehttps://www.govinfo.gov/content/pkg/FR-2021-01-06/pdf/2020-29219.pdfhttps://regulations.justia.com/regulations/fedreg/2021/01/06/2020-29218.htmlNotice - Self-Regulatory Organizations; MIAX Emerald, LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Exchange Rule 1900, Registration Requirements, To Adopt Temporary Interpretation and Policy .13 (Temporary Extension of the Limited Period for Registered Persons To Function as Principals)2021-01-06T00:00:00-08:002021-01-06T00:00:00-08:002020-29218Noticehttps://www.govinfo.gov/content/pkg/FR-2021-01-06/pdf/2020-29218.pdfhttps://regulations.justia.com/regulations/fedreg/2021/01/06/2020-29217.htmlNotice - Self-Regulatory Organizations; The Options Clearing Corporation; Order Granting Accelerated Approval of Proposed Rule Change Concerning the Implementation of New Sufficiency Scenarios in the Options Clearing Corporation's Stress Testing Inventory2021-01-06T00:00:00-08:002021-01-06T00:00:00-08:002020-29217Noticehttps://www.govinfo.gov/content/pkg/FR-2021-01-06/pdf/2020-29217.pdfhttps://regulations.justia.com/regulations/fedreg/2021/01/06/2020-29216.htmlNotice - Joint Industry Plan; Notice of Filing of Amendment to the National Market System Plan Governing the Consolidated Audit Trail by BOX Exchange LLC; Cboe BYX Exchange, Inc., Cboe BZX Exchange, Inc., Cboe EDGA Exchange, Inc., Cboe EDGX Exchange, Inc., Cboe C2 Exchange, Inc. and Cboe Exchange, Inc., Financial Industry Regulatory Authority, Inc., Investors Exchange LLC, Long-Term Stock Exchange, Inc., Miami International Securities Exchange LLC, MEMX, LLC, MIAX Emerald, LLC, MIAX PEARL, LLC, Nasdaq BX, Inc., Nasdaq GEMX, LLC, Nasdaq ISE, LLC, Nasdaq MRX, LLC, Nasdaq PHLX LLC, The NASDAQ Stock Market LLC; and New York Stock Exchange LLC, NYSE American LLC, NYSE Arca, Inc., NYSE Chicago, Inc., and NYSE National, Inc.2021-01-06T00:00:00-08:002021-01-06T00:00:00-08:002020-29216Noticehttps://www.govinfo.gov/content/pkg/FR-2021-01-06/pdf/2020-29216.pdfhttps://regulations.justia.com/regulations/fedreg/2021/01/06/2020-29215.htmlNotice - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing of Amendment No. 1 and Order Instituting Proceedings To Determine Whether To Approve or Disapprove a Proposed Rule Change, as Modified by Amendment No. 1, To Adopt Proposed Rule 6439 (Requirements for Member Inter-Dealer Quotation Systems) and Rescind the Rules Related to the OTC Bulletin Board Service2021-01-06T00:00:00-08:002021-01-06T00:00:00-08:002020-29215Noticehttps://www.govinfo.gov/content/pkg/FR-2021-01-06/pdf/2020-29215.pdfhttps://regulations.justia.com/regulations/fedreg/2021/01/06/2020-29214.htmlNotice - Self-Regulatory Organizations; NYSE American LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Extending the Expiration Date of the Temporary Amendments to Rules 9261 and 9830 as Set Forth in SR-NYSEAMER-2020-69 From December 31, 2020, to April 30, 20212021-01-06T00:00:00-08:002021-01-06T00:00:00-08:002020-29214Noticehttps://www.govinfo.gov/content/pkg/FR-2021-01-06/pdf/2020-29214.pdfhttps://regulations.justia.com/regulations/fedreg/2021/01/06/2020-29213.htmlNotice - Self-Regulatory Organizations; NYSE National, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Extending the Expiration Date of the Temporary Amendments to Rules 10.9261 and 10.9830 as Set Forth in SR-NYSENAT-2020-31 From December 31, 2020, to April 30, 20212021-01-06T00:00:00-08:002021-01-06T00:00:00-08:002020-29213Noticehttps://www.govinfo.gov/content/pkg/FR-2021-01-06/pdf/2020-29213.pdfhttps://regulations.justia.com/regulations/fedreg/2021/01/06/2020-29212.htmlNotice - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Extending the Expiration Date of the Temporary Amendments to Rules 9261 and 9830 as Set Forth in SR-NYSE-2020-76 From December 31, 2020, to April 30, 20212021-01-06T00:00:00-08:002021-01-06T00:00:00-08:002020-29212Noticehttps://www.govinfo.gov/content/pkg/FR-2021-01-06/pdf/2020-29212.pdfhttps://regulations.justia.com/regulations/fedreg/2021/01/06/2020-29211.htmlNotice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Extending the Expiration Date of the Temporary Amendments to Rules 10.9261 and 10.9830 as Set Forth in SR-NYSEArca-2020-85 From December 31, 2020, to April 30, 20212021-01-06T00:00:00-08:002021-01-06T00:00:00-08:002020-29211Noticehttps://www.govinfo.gov/content/pkg/FR-2021-01-06/pdf/2020-29211.pdfhttps://regulations.justia.com/regulations/fedreg/2021/01/06/2020-26971.htmlRule - Good Faith Determinations of Fair Value2021-01-06T00:00:00-08:002021-01-06T00:00:00-08:002020-26971Rulehttps://www.govinfo.gov/content/pkg/FR-2021-01-06/pdf/2020-26971.pdf