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

Results 101 - 109 of 109
Self-Regulatory Organizations; Long-Term Stock Exchange, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the Rule Series 11.600
Document Number: 2020-29027
Type: Notice
Date: 2021-01-04
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2021/01/04/2020-29027.html
Self-Regulatory Organizations; MEMX LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Rules 4.5 and 4.7 Regarding the National Market System Plan Governing the Consolidated Audit Trail
Document Number: 2020-29026
Type: Notice
Date: 2021-01-04
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2021/01/04/2020-29026.html
Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Reflect a Change in the Time of Calculation and Publication of the Wilshire Gold Index Applicable to Shares of the Wilshire wShares Enhanced Gold Trust
Document Number: 2020-29025
Type: Notice
Date: 2021-01-04
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2021/01/04/2020-29025.html
Self-Regulatory Organizations; ICE Clear Europe Limited; Notice of Filing of Proposed Rule Change Relating to Amendments to the ICE Clear Europe CDS Procedures and CDS Default Management Policy
Document Number: 2020-29023
Type: Notice
Date: 2021-01-04
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2021/01/04/2020-29023.html
Self-Regulatory Organizations; The Depository Trust Company; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Add a Fee for the New ClaimConnectTM
Document Number: 2020-29022
Type: Notice
Date: 2021-01-04
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2021/01/04/2020-29022.html
Self-Regulatory Organizations; Cboe BYX Exchange, Inc.; Cboe BZX Exchange, Inc.; Cboe EDGA Exchange, Inc.; Cboe EDGX Exchange, Inc.; Order Granting Approval of Proposed Rule Changes To Revise Each Exchange's Process for Re-Opening Trading of NYSE-Listed Securities Outside of Regular Trading Hours
Document Number: 2020-29021
Type: Notice
Date: 2021-01-04
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2021/01/04/2020-29021.html
Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing of Proposed Rule Change To Amend the NYSE Listed Company Manual To Revise the Shareholder Approval Requirements in Sections 312.03 and 312.04 and the Requirements for Related Party Transactions in Section 314.00
Document Number: 2020-29020
Type: Notice
Date: 2021-01-04
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2021/01/04/2020-29020.html
Self-Regulatory Organizations; Cboe BZX Exchange, Inc.; Notice of Withdrawal of a Proposed Rule Change To Accommodate Exchange Listing and Trading of Options-Linked Securities
Document Number: 2020-29019
Type: Notice
Date: 2021-01-04
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2021/01/04/2020-29019.html
Notice of Applications for Deregistration Under Section 8(f) of the Investment Company Act of 1940
Document Number: 2020-29013
Type: Notice
Date: 2021-01-04
Agency: Securities and Exchange Commission, Agencies and Commissions
Applicant seeks an order declaring that it has ceased to be an investment company. On April 22, 2020, applicant made a liquidating distribution to its shareholders based on net asset value. Expenses of approximately $97,923 incurred in connection with the reorganization were paid by the applicant and the applicant's investment adviser. Filing Dates: The application was filed on July 29, 2020, and amended on December 3, 2020. Applicant's Address: Craig.Ruckman@allianzgi.com.
https://regulations.justia.com/regulations/fedreg/2021/01/04/2020-29013.html
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