<![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/2021/04/01?registers=between Tue, 24 Jun 2025 13:28:36 -0700 Tue, 24 Jun 2025 13:28:36 -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/2021/04/01?registers=between Notice - Submission for OMB Review; Comment Request https://regulations.justia.com/regulations/fedreg/2021/04/01/2021-06732.html https://regulations.justia.com/regulations/fedreg/2021/04/01/2021-06732.html Thu, 01 Apr 2021 00:00:00 -0700 2021-06732 Notice https://www.govinfo.gov/content/pkg/FR-2021-04-01/pdf/2021-06732.pdf Notice - Proposed Collection; Comment Request https://regulations.justia.com/regulations/fedreg/2021/04/01/2021-06731.html https://regulations.justia.com/regulations/fedreg/2021/04/01/2021-06731.html Thu, 01 Apr 2021 00:00:00 -0700 2021-06731 Notice https://www.govinfo.gov/content/pkg/FR-2021-04-01/pdf/2021-06731.pdf Notice - Self-Regulatory Organizations; Cboe BYX Exchange, Inc.; Notice of Filing of Amendments No. 3 and No. 4, and Order Granting Accelerated Approval of a Proposed Rule Change, as Modified by Amendments No. 3 and No. 4, To Introduce Periodic Auctions for the Trading of U.S. Equity Securities https://regulations.justia.com/regulations/fedreg/2021/04/01/2021-06676.html https://regulations.justia.com/regulations/fedreg/2021/04/01/2021-06676.html Thu, 01 Apr 2021 00:00:00 -0700 2021-06676 Notice https://www.govinfo.gov/content/pkg/FR-2021-04-01/pdf/2021-06676.pdf Notice - Self-Regulatory Organizations; Nasdaq ISE, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend ISE's Pricing Schedule at Options 7, Section 9, Part C To Reduce the Options Regulatory Fee https://regulations.justia.com/regulations/fedreg/2021/04/01/2021-06673.html https://regulations.justia.com/regulations/fedreg/2021/04/01/2021-06673.html Thu, 01 Apr 2021 00:00:00 -0700 2021-06673 Notice https://www.govinfo.gov/content/pkg/FR-2021-04-01/pdf/2021-06673.pdf Notice - Self-Regulatory Organizations; Nasdaq PHLX, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Phlx's Pricing Schedule at Options 7, Section 6, Part D To Reduce the Phlx Options Regulatory Fee https://regulations.justia.com/regulations/fedreg/2021/04/01/2021-06672.html https://regulations.justia.com/regulations/fedreg/2021/04/01/2021-06672.html Thu, 01 Apr 2021 00:00:00 -0700 2021-06672 Notice https://www.govinfo.gov/content/pkg/FR-2021-04-01/pdf/2021-06672.pdf Notice - Self-Regulatory Organizations; MIAX PEARL, LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Exchange Rule 2614, Orders and Order Instructions, To Adopt and Make Available the Reserve Quantity Instruction for Orders on the MIAX PEARL Equities Platform https://regulations.justia.com/regulations/fedreg/2021/04/01/2021-06671.html https://regulations.justia.com/regulations/fedreg/2021/04/01/2021-06671.html Thu, 01 Apr 2021 00:00:00 -0700 2021-06671 Notice https://www.govinfo.gov/content/pkg/FR-2021-04-01/pdf/2021-06671.pdf Notice - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Rule 103B, Which Governs the Allocation of Securities to Designated Market Makers https://regulations.justia.com/regulations/fedreg/2021/04/01/2021-06670.html https://regulations.justia.com/regulations/fedreg/2021/04/01/2021-06670.html Thu, 01 Apr 2021 00:00:00 -0700 2021-06670 Notice https://www.govinfo.gov/content/pkg/FR-2021-04-01/pdf/2021-06670.pdf Notice - Self-Regulatory Organizations; The Nasdaq Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Waive the Entry Fee and the All-Inclusive Annual Listing Fee for Any Company Not Listed on a National Securities Exchange That Is Listing Upon Closing of Its Acquisition of a Special Purpose Acquisition Company Listed on Nasdaq https://regulations.justia.com/regulations/fedreg/2021/04/01/2021-06669.html https://regulations.justia.com/regulations/fedreg/2021/04/01/2021-06669.html Thu, 01 Apr 2021 00:00:00 -0700 2021-06669 Notice https://www.govinfo.gov/content/pkg/FR-2021-04-01/pdf/2021-06669.pdf Notice - Self-Regulatory Organizations; The Nasdaq Stock Market LLC; Notice of Designation of a Longer Period for Commission Action on a Proposed Rule Change To Adopt Additional Initial Listing Criteria for Companies Primarily Operating in Jurisdictions That Do Not Provide the PCAOB With the Ability To Inspect Public Accounting Firms https://regulations.justia.com/regulations/fedreg/2021/04/01/2021-06668.html https://regulations.justia.com/regulations/fedreg/2021/04/01/2021-06668.html Thu, 01 Apr 2021 00:00:00 -0700 2021-06668 Notice https://www.govinfo.gov/content/pkg/FR-2021-04-01/pdf/2021-06668.pdf Notice - Notice of Applications for Deregistration Under Section 8(f) of the Investment Company Act of 1940 https://regulations.justia.com/regulations/fedreg/2021/04/01/2021-06654.html https://regulations.justia.com/regulations/fedreg/2021/04/01/2021-06654.html Thu, 01 Apr 2021 00:00:00 -0700 2021-06654 Notice https://www.govinfo.gov/content/pkg/FR-2021-04-01/pdf/2021-06654.pdf