Securities and Exchange Commission January 12, 2021 – Federal Register Recent Federal Regulation Documents

Results 1 - 5 of 5
Self-Regulatory Organizations; ICE Clear Europe Limited; Notice of Filing of Partial Amendment No. 1 To Proposed Rule Change Relating to Amendments to the ICE Clear Europe CDS Procedures and CDS Default Management Policy
Document Number: 2021-00350
Type: Notice
Date: 2021-01-12
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2021/01/12/2021-00350.html
Self-Regulatory Organizations; Cboe BZX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Its Fee Schedule Relating to LMM Financial Incentives
Document Number: 2021-00349
Type: Notice
Date: 2021-01-12
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2021/01/12/2021-00349.html
Self-Regulatory Organizations; LCH SA; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to the Amendments of the CDSClear Fee Grid
Document Number: 2021-00348
Type: Notice
Date: 2021-01-12
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2021/01/12/2021-00348.html
Symmetry Panoramic Trust and Symmetry Partners, LLC
Document Number: 2021-00330
Type: Notice
Date: 2021-01-12
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2021/01/12/2021-00330.html
Notice of Proposed Conditional Exemptive Order Granting a Conditional Exemption From the Information Review Requirement and the Recordkeeping Requirement Under the Securities Exchange Act of 1934 for Certain Publications or Submissions of Broker-Dealer Quotations on an Expert Market
Document Number: 2020-28700
Type: Proposed Rule
Date: 2021-01-12
Agency: Securities and Exchange Commission, Agencies and Commissions
Pursuant to Section 36(a)(1) of the Securities Exchange Act of 1934 (the ``Exchange Act'') and Rule 15c2-11 under the Exchange Act (as published in the Federal Register on October 27, 2020, ``Amended Rule 15c2-11'' or the ``Amended Rule''), the Securities and Exchange Commission (the ``SEC'' or the ``Commission'') is proposing to grant exemptive relief, subject to certain conditions, to permit broker- dealers to publish or submit proprietary quotations for securities, on a continuous basis, in a market where the distribution of such quotations is restricted to sophisticated or professional investors, without complying with the information review and recordkeeping requirements of Amended Rule 15c2-11(a)(1)(i) and (d)(1)(i)(A), respectively.
https://regulations.justia.com/regulations/fedreg/2021/01/12/2020-28700.html
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