<![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/2021/04/12?registers=between Tue, 24 Jun 2025 10:34:29 -0700 Tue, 24 Jun 2025 10:34:29 -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/2021/04/12?registers=between Notice - Sunshine Act Meetings https://regulations.justia.com/regulations/fedreg/2021/04/12/2021-07573.html https://regulations.justia.com/regulations/fedreg/2021/04/12/2021-07573.html Mon, 12 Apr 2021 00:00:00 -0700 2021-07573 Notice https://www.govinfo.gov/content/pkg/FR-2021-04-12/pdf/2021-07573.pdf Notice - Sunshine Act Meeting; Cancellation https://regulations.justia.com/regulations/fedreg/2021/04/12/2021-07557.html https://regulations.justia.com/regulations/fedreg/2021/04/12/2021-07557.html Mon, 12 Apr 2021 00:00:00 -0700 2021-07557 Notice https://www.govinfo.gov/content/pkg/FR-2021-04-12/pdf/2021-07557.pdf Notice - Self-Regulatory Organizations; The Options Clearing Corporation; Notice of No Objection To Advance Notice Relating to OCC's Establishment of Persistent Minimum Skin-in-the-Game https://regulations.justia.com/regulations/fedreg/2021/04/12/2021-07454.html https://regulations.justia.com/regulations/fedreg/2021/04/12/2021-07454.html Mon, 12 Apr 2021 00:00:00 -0700 2021-07454 Notice https://www.govinfo.gov/content/pkg/FR-2021-04-12/pdf/2021-07454.pdf Notice - Self-Regulatory Organizations; Nasdaq PHLX LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the Phlx Options Rules at Options 4 Under the Options 4 Title in the Exchanges Rulebooks Shell Structure https://regulations.justia.com/regulations/fedreg/2021/04/12/2021-07391.html https://regulations.justia.com/regulations/fedreg/2021/04/12/2021-07391.html Mon, 12 Apr 2021 00:00:00 -0700 2021-07391 Notice https://www.govinfo.gov/content/pkg/FR-2021-04-12/pdf/2021-07391.pdf Notice - Joint Industry Plan; Order Instituting Proceedings To Determine Whether To Approve or Disapprove an Amendment to the National Market System Plan Governing the Consolidated Audit Trail https://regulations.justia.com/regulations/fedreg/2021/04/12/2021-07390.html https://regulations.justia.com/regulations/fedreg/2021/04/12/2021-07390.html Mon, 12 Apr 2021 00:00:00 -0700 2021-07390 Notice https://www.govinfo.gov/content/pkg/FR-2021-04-12/pdf/2021-07390.pdf Notice - Self-Regulatory Organizations; Nasdaq ISE, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Extend the Nonstandard Expirations Pilot Program https://regulations.justia.com/regulations/fedreg/2021/04/12/2021-07389.html https://regulations.justia.com/regulations/fedreg/2021/04/12/2021-07389.html Mon, 12 Apr 2021 00:00:00 -0700 2021-07389 Notice https://www.govinfo.gov/content/pkg/FR-2021-04-12/pdf/2021-07389.pdf Notice - Self-Regulatory Organizations; Nasdaq ISE, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Extend the Pilot To Permit the Listing and Trading of Options Based on 1/5 https://regulations.justia.com/regulations/fedreg/2021/04/12/2021-07388.html https://regulations.justia.com/regulations/fedreg/2021/04/12/2021-07388.html Mon, 12 Apr 2021 00:00:00 -0700 2021-07388 Notice https://www.govinfo.gov/content/pkg/FR-2021-04-12/pdf/2021-07388.pdf Notice - Self-Regulatory Organizations; Nasdaq PHLX LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Extend the Nonstandard Expirations Pilot Program https://regulations.justia.com/regulations/fedreg/2021/04/12/2021-07387.html https://regulations.justia.com/regulations/fedreg/2021/04/12/2021-07387.html Mon, 12 Apr 2021 00:00:00 -0700 2021-07387 Notice https://www.govinfo.gov/content/pkg/FR-2021-04-12/pdf/2021-07387.pdf Notice - Self-Regulatory Organizations; The Options Clearing Corporation; Notice of Designation of Longer Period for Commission Action on Proposed Rule Change To Establish OCC's Persistent Minimum Skin-in-the-Game https://regulations.justia.com/regulations/fedreg/2021/04/12/2021-07386.html https://regulations.justia.com/regulations/fedreg/2021/04/12/2021-07386.html Mon, 12 Apr 2021 00:00:00 -0700 2021-07386 Notice https://www.govinfo.gov/content/pkg/FR-2021-04-12/pdf/2021-07386.pdf Notice - Self-Regulatory Organizations; Cboe Exchange, Inc.; Notice of Filing of a Proposed Rule Change Relating To Adopt Rule 6.10 To Introduce a Voluntary Compression Service for Market Makers https://regulations.justia.com/regulations/fedreg/2021/04/12/2021-07385.html https://regulations.justia.com/regulations/fedreg/2021/04/12/2021-07385.html Mon, 12 Apr 2021 00:00:00 -0700 2021-07385 Notice https://www.govinfo.gov/content/pkg/FR-2021-04-12/pdf/2021-07385.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 8, “Membership Fees” https://regulations.justia.com/regulations/fedreg/2021/04/12/2021-07384.html https://regulations.justia.com/regulations/fedreg/2021/04/12/2021-07384.html Mon, 12 Apr 2021 00:00:00 -0700 2021-07384 Notice https://www.govinfo.gov/content/pkg/FR-2021-04-12/pdf/2021-07384.pdf Notice - Notice of Intention To Cancel Registrations of Certain Investment Advisers Pursuant to Section 203(H) of the Investment Advisers Act of 1940 https://regulations.justia.com/regulations/fedreg/2021/04/12/2021-07358.html https://regulations.justia.com/regulations/fedreg/2021/04/12/2021-07358.html Mon, 12 Apr 2021 00:00:00 -0700 2021-07358 Notice https://www.govinfo.gov/content/pkg/FR-2021-04-12/pdf/2021-07358.pdf