<![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/2021/03/23?registers=between Thu, 03 Jul 2025 03:23:31 -0700 Thu, 03 Jul 2025 03:23:31 -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/2021/03/23?registers=between Notice - Self-Regulatory Organizations; New York Stock Exchange LLC; Order Instituting Proceedings To Determine Whether To Approve or Disapprove a Proposed Rule Change To Amend Its Rules To Prohibit Member Organizations From Seeking Reimbursement, in Certain Circumstances, From Issuers for Forwarding Proxy and Other Materials to Beneficial Owners https://regulations.justia.com/regulations/fedreg/2021/03/23/2021-05918.html https://regulations.justia.com/regulations/fedreg/2021/03/23/2021-05918.html Tue, 23 Mar 2021 00:00:00 -0700 2021-05918 Notice https://www.govinfo.gov/content/pkg/FR-2021-03-23/pdf/2021-05918.pdf Notice - Self-Regulatory Organizations; The Nasdaq Stock Market LLC; Notice of Designation of Longer Period for Commission Action on Proceedings To Determine Whether To Approve or Disapprove a Proposed Rule Change, as Modified by Amendment No. 1, To Allow Companies To List in Connection With a Direct Listing With a Primary Offering in Which the Company Will Sell Shares Itself in the Opening Auction on the First Day of Trading on Nasdaq and To Explain How the Opening Transaction for Such a Listing Will Be Effected https://regulations.justia.com/regulations/fedreg/2021/03/23/2021-05917.html https://regulations.justia.com/regulations/fedreg/2021/03/23/2021-05917.html Tue, 23 Mar 2021 00:00:00 -0700 2021-05917 Notice https://www.govinfo.gov/content/pkg/FR-2021-03-23/pdf/2021-05917.pdf Notice - Self-Regulatory Organizations; Nasdaq PHLX LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend General 9, Section 19, “Discretionary Power as to Customers' Accounts” and Adopt Two New Rules Within General 9 at Sections 30 and 45 https://regulations.justia.com/regulations/fedreg/2021/03/23/2021-05916.html https://regulations.justia.com/regulations/fedreg/2021/03/23/2021-05916.html Tue, 23 Mar 2021 00:00:00 -0700 2021-05916 Notice https://www.govinfo.gov/content/pkg/FR-2021-03-23/pdf/2021-05916.pdf Notice - Self-Regulatory Organizations; Cboe EDGX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the Fee Schedule To Expand the Existing Financial Product Distribution Program To Provide for a Derived Data Platform Service https://regulations.justia.com/regulations/fedreg/2021/03/23/2021-05915.html https://regulations.justia.com/regulations/fedreg/2021/03/23/2021-05915.html Tue, 23 Mar 2021 00:00:00 -0700 2021-05915 Notice https://www.govinfo.gov/content/pkg/FR-2021-03-23/pdf/2021-05915.pdf Notice - Self-Regulatory Organizations; Cboe BZX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the Fee Schedule To Expand the Existing Financial Product Distribution Program To Provide for a Derived Data Platform Service https://regulations.justia.com/regulations/fedreg/2021/03/23/2021-05914.html https://regulations.justia.com/regulations/fedreg/2021/03/23/2021-05914.html Tue, 23 Mar 2021 00:00:00 -0700 2021-05914 Notice https://www.govinfo.gov/content/pkg/FR-2021-03-23/pdf/2021-05914.pdf Notice - Self-Regulatory Organizations; Cboe BZX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the Fees Applicable to the BZX Top Feed https://regulations.justia.com/regulations/fedreg/2021/03/23/2021-05913.html https://regulations.justia.com/regulations/fedreg/2021/03/23/2021-05913.html Tue, 23 Mar 2021 00:00:00 -0700 2021-05913 Notice https://www.govinfo.gov/content/pkg/FR-2021-03-23/pdf/2021-05913.pdf Notice - Self-Regulatory Organizations; Cboe EDGX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the Fees Applicable to the EDGX Top Feed https://regulations.justia.com/regulations/fedreg/2021/03/23/2021-05912.html https://regulations.justia.com/regulations/fedreg/2021/03/23/2021-05912.html Tue, 23 Mar 2021 00:00:00 -0700 2021-05912 Notice https://www.govinfo.gov/content/pkg/FR-2021-03-23/pdf/2021-05912.pdf