<![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/2021/02/10?registers=between Mon, 16 Jun 2025 11:52:55 -0700 Mon, 16 Jun 2025 11:52:55 -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/2021/02/10?registers=between Notice - Security-Based Swap Data Repositories; DTCC Data Repository (U.S.), LLC; Notice of Filing of Application for Registration as a Security-Based Swap Data Repository https://regulations.justia.com/regulations/fedreg/2021/02/10/2021-02755.html https://regulations.justia.com/regulations/fedreg/2021/02/10/2021-02755.html Wed, 10 Feb 2021 00:00:00 -0800 2021-02755 Notice https://www.govinfo.gov/content/pkg/FR-2021-02-10/pdf/2021-02755.pdf Notice - 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 the Proposed Rule Change, as Modified by Amendment No. 1, to FINRA Rules 5122 (Private Placements of Securities Issued by Members) and 5123 (Private Placements of Securities) That Would Require Members To File Retail Communications Concerning Private Placement Offerings That Are Subject to Those Rules' Filing Requirements https://regulations.justia.com/regulations/fedreg/2021/02/10/2021-02715.html https://regulations.justia.com/regulations/fedreg/2021/02/10/2021-02715.html Wed, 10 Feb 2021 00:00:00 -0800 2021-02715 Notice https://www.govinfo.gov/content/pkg/FR-2021-02-10/pdf/2021-02715.pdf Notice - Self-Regulatory Organizations; NYSE American LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the NYSE American Options Fee Schedule https://regulations.justia.com/regulations/fedreg/2021/02/10/2021-02714.html https://regulations.justia.com/regulations/fedreg/2021/02/10/2021-02714.html Wed, 10 Feb 2021 00:00:00 -0800 2021-02714 Notice https://www.govinfo.gov/content/pkg/FR-2021-02-10/pdf/2021-02714.pdf Notice - Self-Regulatory Organizations; Cboe BZX Exchange, Inc.; Notice of Filing of a Proposed Rule Amendment To Allow the Invesco Focused Discovery Growth ETF and Invesco Select Growth ETF (Each a “Fund” and, Collectively, the “Funds”), Each a Series of the Invesco Actively Managed Exchange-Traded Fund Trust (the “Trust”), To Strike and Publish Multiple Intra-Day Net Asset Values (“NAVs”) and an End-of-Day NAV https://regulations.justia.com/regulations/fedreg/2021/02/10/2021-02713.html https://regulations.justia.com/regulations/fedreg/2021/02/10/2021-02713.html Wed, 10 Feb 2021 00:00:00 -0800 2021-02713 Notice https://www.govinfo.gov/content/pkg/FR-2021-02-10/pdf/2021-02713.pdf Notice - Self-Regulatory Organizations; The Depository Trust Company; Order Approving a Proposed Rule Change To Update the Distributions Service Guide https://regulations.justia.com/regulations/fedreg/2021/02/10/2021-02712.html https://regulations.justia.com/regulations/fedreg/2021/02/10/2021-02712.html Wed, 10 Feb 2021 00:00:00 -0800 2021-02712 Notice https://www.govinfo.gov/content/pkg/FR-2021-02-10/pdf/2021-02712.pdf Notice - Self-Regulatory Organizations; The Nasdaq Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to the ALPS Active REIT ETF of ALPS ETF Trust To List and Trade Shares of the Fund Under Nasdaq Rule 5750 https://regulations.justia.com/regulations/fedreg/2021/02/10/2021-02711.html https://regulations.justia.com/regulations/fedreg/2021/02/10/2021-02711.html Wed, 10 Feb 2021 00:00:00 -0800 2021-02711 Notice https://www.govinfo.gov/content/pkg/FR-2021-02-10/pdf/2021-02711.pdf Notice - Self-Regulatory Organizations; Nasdaq PHLX LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Phlx Rules https://regulations.justia.com/regulations/fedreg/2021/02/10/2021-02710.html https://regulations.justia.com/regulations/fedreg/2021/02/10/2021-02710.html Wed, 10 Feb 2021 00:00:00 -0800 2021-02710 Notice https://www.govinfo.gov/content/pkg/FR-2021-02-10/pdf/2021-02710.pdf Notice - Self-Regulatory Organizations; Nasdaq PHLX LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Relocate Its PSX Equity and General Rules From Its Current Rulebook Into Its New Rulebook Shell and Make Other Changes to the Phlx Rules https://regulations.justia.com/regulations/fedreg/2021/02/10/2021-02709.html https://regulations.justia.com/regulations/fedreg/2021/02/10/2021-02709.html Wed, 10 Feb 2021 00:00:00 -0800 2021-02709 Notice https://www.govinfo.gov/content/pkg/FR-2021-02-10/pdf/2021-02709.pdf Notice - Self-Regulatory Organizations; The Nasdaq Stock Market LLC; Notice of Withdrawal of a Proposed Rule Change, as Modified by Amendment Nos. 1 and 2, To Adopt a New Requirement Related to the Qualification of Management for Companies From Restrictive Markets https://regulations.justia.com/regulations/fedreg/2021/02/10/2021-02708.html https://regulations.justia.com/regulations/fedreg/2021/02/10/2021-02708.html Wed, 10 Feb 2021 00:00:00 -0800 2021-02708 Notice https://www.govinfo.gov/content/pkg/FR-2021-02-10/pdf/2021-02708.pdf Notice - Self-Regulatory Organizations; The Nasdaq Stock Market LLC; Notice of Withdrawal of a Proposed Rule Change, as Modified by Amendment No. 1, To Amend IM-5101-1 (Use of Discretionary Authority) To Apply Additional or More Stringent Criteria to an Applicant or Listed Company Based on Considerations Related to the Company's Auditor or When a Company's Business Is Principally Administered in a Jurisdiction That Is a Restrictive Market https://regulations.justia.com/regulations/fedreg/2021/02/10/2021-02707.html https://regulations.justia.com/regulations/fedreg/2021/02/10/2021-02707.html Wed, 10 Feb 2021 00:00:00 -0800 2021-02707 Notice https://www.govinfo.gov/content/pkg/FR-2021-02-10/pdf/2021-02707.pdf Notice - Request for Comment on Potential Money Market Fund Reform Measures in President's Working Group Report https://regulations.justia.com/regulations/fedreg/2021/02/10/2021-02704.html https://regulations.justia.com/regulations/fedreg/2021/02/10/2021-02704.html Wed, 10 Feb 2021 00:00:00 -0800 2021-02704 Notice https://www.govinfo.gov/content/pkg/FR-2021-02-10/pdf/2021-02704.pdf Notice - Submission for OMB Review; Comment Request https://regulations.justia.com/regulations/fedreg/2021/02/10/2021-02687.html https://regulations.justia.com/regulations/fedreg/2021/02/10/2021-02687.html Wed, 10 Feb 2021 00:00:00 -0800 2021-02687 Notice https://www.govinfo.gov/content/pkg/FR-2021-02-10/pdf/2021-02687.pdf