Securities and Exchange Commission April 1, 2021 – Federal Register Recent Federal Regulation Documents

Results 1 - 10 of 10
Submission for OMB Review; Comment Request
Document Number: 2021-06732
Type: Notice
Date: 2021-04-01
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2021/04/01/2021-06732.html
Proposed Collection; Comment Request
Document Number: 2021-06731
Type: Notice
Date: 2021-04-01
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2021/04/01/2021-06731.html
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
Document Number: 2021-06676
Type: Notice
Date: 2021-04-01
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2021/04/01/2021-06676.html
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
Document Number: 2021-06673
Type: Notice
Date: 2021-04-01
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2021/04/01/2021-06673.html
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
Document Number: 2021-06672
Type: Notice
Date: 2021-04-01
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2021/04/01/2021-06672.html
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
Document Number: 2021-06671
Type: Notice
Date: 2021-04-01
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2021/04/01/2021-06671.html
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
Document Number: 2021-06670
Type: Notice
Date: 2021-04-01
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2021/04/01/2021-06670.html
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
Document Number: 2021-06669
Type: Notice
Date: 2021-04-01
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2021/04/01/2021-06669.html
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
Document Number: 2021-06668
Type: Notice
Date: 2021-04-01
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2021/04/01/2021-06668.html
Notice of Applications for Deregistration Under Section 8(f) of the Investment Company Act of 1940
Document Number: 2021-06654
Type: Notice
Date: 2021-04-01
Agency: Securities and Exchange Commission, Agencies and Commissions
Applicant seeks an order declaring that it has ceased to be an investment company. Applicant has never made a public offering of its securities under the Investment Company Act of 1940. Filing Date: The application was filed on February 22, 2021, and amended on March 25, 2021. Applicant's Address: kevin.bettsteller@dlapiper.com.
https://regulations.justia.com/regulations/fedreg/2021/04/01/2021-06654.html
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