Securities and Exchange Commission February 9, 2021 – Federal Register Recent Federal Regulation Documents

Results 1 - 7 of 7
Qualifications of Accountants
Document Number: 2021-02615
Type: Rule
Date: 2021-02-09
Agency: Securities and Exchange Commission, Agencies and Commissions
This document makes technical corrections to amendments to update certain auditor independence requirements adopted in Release No. 33-10876 (October 16, 2020) (``Adopting Release''), which was published in the Federal Register on December 11, 2020.
https://regulations.justia.com/regulations/fedreg/2021/02/09/2021-02615.html
Self-Regulatory Organizations; The Nasdaq Stock Market LLC; Notice of Withdrawal of Proposed Rule Change To Apply Additional Initial Listing Criteria for Companies Primarily Operating in Restrictive Markets
Document Number: 2021-02593
Type: Notice
Date: 2021-02-09
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2021/02/09/2021-02593.html
Self-Regulatory Organizations; Long-Term Stock Exchange, Inc.; Notice of Filing of Amendment No. 1 and Order Granting Accelerated Approval of a Proposed Rule Change, as Modified by Amendment No. 1, To Adopt Rule 14.602 Related to Promotional Services and Listing Ceremonies for Listed Companies
Document Number: 2021-02592
Type: Notice
Date: 2021-02-09
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2021/02/09/2021-02592.html
Self-Regulatory Organizations; Cboe Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Establish a Policy Relating to Billing Errors
Document Number: 2021-02591
Type: Notice
Date: 2021-02-09
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2021/02/09/2021-02591.html
Self-Regulatory Organizations; Cboe C2 Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Establish a Policy Relating to Billing Errors
Document Number: 2021-02590
Type: Notice
Date: 2021-02-09
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2021/02/09/2021-02590.html
Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Section 907.00 of the Manual
Document Number: 2021-02589
Type: Notice
Date: 2021-02-09
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2021/02/09/2021-02589.html
Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to the Private Placement Filer Form Under FINRA Rules 5122 and 5123
Document Number: 2021-02588
Type: Notice
Date: 2021-02-09
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2021/02/09/2021-02588.html
This site is protected by reCAPTCHA and the Google Privacy Policy and Terms of Service apply.