<![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/2021/04/21?registers=between Thu, 26 Jun 2025 10:23:07 -0700 Thu, 26 Jun 2025 10:23:07 -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/2021/04/21?registers=between Notice - SEC Small Business Capital Formation Advisory Committee https://regulations.justia.com/regulations/fedreg/2021/04/21/2021-08253.html https://regulations.justia.com/regulations/fedreg/2021/04/21/2021-08253.html Wed, 21 Apr 2021 00:00:00 -0700 2021-08253 Notice https://www.govinfo.gov/content/pkg/FR-2021-04-21/pdf/2021-08253.pdf Notice - Submission for OMB Review; Comment Request https://regulations.justia.com/regulations/fedreg/2021/04/21/2021-08227.html https://regulations.justia.com/regulations/fedreg/2021/04/21/2021-08227.html Wed, 21 Apr 2021 00:00:00 -0700 2021-08227 Notice https://www.govinfo.gov/content/pkg/FR-2021-04-21/pdf/2021-08227.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, as Modified by Amendment No. 1, To Amend Equity 4, Rule 4754 Relating to the Limit-Up Limit-Down Closing Cross https://regulations.justia.com/regulations/fedreg/2021/04/21/2021-08197.html https://regulations.justia.com/regulations/fedreg/2021/04/21/2021-08197.html Wed, 21 Apr 2021 00:00:00 -0700 2021-08197 Notice https://www.govinfo.gov/content/pkg/FR-2021-04-21/pdf/2021-08197.pdf Notice - Self-Regulatory Organizations; Nasdaq PHLX LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Extend the Current Pilot Program Related to Phlx Equity 4, Rule 3312 to the Close of Business on October 20, 2021 https://regulations.justia.com/regulations/fedreg/2021/04/21/2021-08151.html https://regulations.justia.com/regulations/fedreg/2021/04/21/2021-08151.html Wed, 21 Apr 2021 00:00:00 -0700 2021-08151 Notice https://www.govinfo.gov/content/pkg/FR-2021-04-21/pdf/2021-08151.pdf Notice - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Extend the Time to Announce the Implementation Schedule for FINRA's Corporate Bond New Issue Reference Data Service https://regulations.justia.com/regulations/fedreg/2021/04/21/2021-08149.html https://regulations.justia.com/regulations/fedreg/2021/04/21/2021-08149.html Wed, 21 Apr 2021 00:00:00 -0700 2021-08149 Notice https://www.govinfo.gov/content/pkg/FR-2021-04-21/pdf/2021-08149.pdf Notice - Self-Regulatory Organizations; The Nasdaq Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Extend the Current Pilot Program Related to Nasdaq Equity 11, Rule 11890 to the Close of Business on October 20, 2021 https://regulations.justia.com/regulations/fedreg/2021/04/21/2021-08148.html https://regulations.justia.com/regulations/fedreg/2021/04/21/2021-08148.html Wed, 21 Apr 2021 00:00:00 -0700 2021-08148 Notice https://www.govinfo.gov/content/pkg/FR-2021-04-21/pdf/2021-08148.pdf Notice - Self-Regulatory Organizations; Cboe Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Its Rules Relating to Categories of Registration and Respective Qualification Examinations Required for Trading Permit Holders and Associated Persons That Engage in Trading Activities on the Exchange https://regulations.justia.com/regulations/fedreg/2021/04/21/2021-08147.html https://regulations.justia.com/regulations/fedreg/2021/04/21/2021-08147.html Wed, 21 Apr 2021 00:00:00 -0700 2021-08147 Notice https://www.govinfo.gov/content/pkg/FR-2021-04-21/pdf/2021-08147.pdf Notice - Self-Regulatory Organizations; Nasdaq BX, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Extend the Current Pilot Program Related to BX Equity 11, Rule 11890 to the Close of Business on October 20, 2021 https://regulations.justia.com/regulations/fedreg/2021/04/21/2021-08146.html https://regulations.justia.com/regulations/fedreg/2021/04/21/2021-08146.html Wed, 21 Apr 2021 00:00:00 -0700 2021-08146 Notice https://www.govinfo.gov/content/pkg/FR-2021-04-21/pdf/2021-08146.pdf Notice - Proposed Collection; Comment Request https://regulations.justia.com/regulations/fedreg/2021/04/21/2021-08145.html https://regulations.justia.com/regulations/fedreg/2021/04/21/2021-08145.html Wed, 21 Apr 2021 00:00:00 -0700 2021-08145 Notice https://www.govinfo.gov/content/pkg/FR-2021-04-21/pdf/2021-08145.pdf Notice - Submission for OMB Review; Comment Request https://regulations.justia.com/regulations/fedreg/2021/04/21/2021-08144.html https://regulations.justia.com/regulations/fedreg/2021/04/21/2021-08144.html Wed, 21 Apr 2021 00:00:00 -0700 2021-08144 Notice https://www.govinfo.gov/content/pkg/FR-2021-04-21/pdf/2021-08144.pdf Notice - Submission for OMB Review; Comment Request https://regulations.justia.com/regulations/fedreg/2021/04/21/2021-08143.html https://regulations.justia.com/regulations/fedreg/2021/04/21/2021-08143.html Wed, 21 Apr 2021 00:00:00 -0700 2021-08143 Notice https://www.govinfo.gov/content/pkg/FR-2021-04-21/pdf/2021-08143.pdf Notice - Submission for OMB Review; Comment Request https://regulations.justia.com/regulations/fedreg/2021/04/21/2021-08142.html https://regulations.justia.com/regulations/fedreg/2021/04/21/2021-08142.html Wed, 21 Apr 2021 00:00:00 -0700 2021-08142 Notice https://www.govinfo.gov/content/pkg/FR-2021-04-21/pdf/2021-08142.pdf Notice - Submission for OMB Review; Comment Request https://regulations.justia.com/regulations/fedreg/2021/04/21/2021-08141.html https://regulations.justia.com/regulations/fedreg/2021/04/21/2021-08141.html Wed, 21 Apr 2021 00:00:00 -0700 2021-08141 Notice https://www.govinfo.gov/content/pkg/FR-2021-04-21/pdf/2021-08141.pdf Notice - Submission for OMB Review; Comment Request https://regulations.justia.com/regulations/fedreg/2021/04/21/2021-08140.html https://regulations.justia.com/regulations/fedreg/2021/04/21/2021-08140.html Wed, 21 Apr 2021 00:00:00 -0700 2021-08140 Notice https://www.govinfo.gov/content/pkg/FR-2021-04-21/pdf/2021-08140.pdf Notice - Submission for OMB Review; Comment Request https://regulations.justia.com/regulations/fedreg/2021/04/21/2021-08139.html https://regulations.justia.com/regulations/fedreg/2021/04/21/2021-08139.html Wed, 21 Apr 2021 00:00:00 -0700 2021-08139 Notice https://www.govinfo.gov/content/pkg/FR-2021-04-21/pdf/2021-08139.pdf Notice - Submission for OMB Review; Comment Request https://regulations.justia.com/regulations/fedreg/2021/04/21/2021-08138.html https://regulations.justia.com/regulations/fedreg/2021/04/21/2021-08138.html Wed, 21 Apr 2021 00:00:00 -0700 2021-08138 Notice https://www.govinfo.gov/content/pkg/FR-2021-04-21/pdf/2021-08138.pdf Notice - Submission for OMB Review; Comment Request https://regulations.justia.com/regulations/fedreg/2021/04/21/2021-08137.html https://regulations.justia.com/regulations/fedreg/2021/04/21/2021-08137.html Wed, 21 Apr 2021 00:00:00 -0700 2021-08137 Notice https://www.govinfo.gov/content/pkg/FR-2021-04-21/pdf/2021-08137.pdf Notice - Submission for OMB Review; Comment Request https://regulations.justia.com/regulations/fedreg/2021/04/21/2021-08135.html https://regulations.justia.com/regulations/fedreg/2021/04/21/2021-08135.html Wed, 21 Apr 2021 00:00:00 -0700 2021-08135 Notice https://www.govinfo.gov/content/pkg/FR-2021-04-21/pdf/2021-08135.pdf Notice - Joint Industry Plan; Notice of Filing of Amendment to the National Market System Plan Governing the Consolidated Audit Trail by BOX Exchange LLC; Cboe BYX Exchange, Inc., Cboe BZX Exchange, Inc., Cboe EDGA Exchange, Inc., Cboe EDGX Exchange, Inc., Cboe C2 Exchange, Inc. and Cboe Exchange, Inc., Financial Industry Regulatory Authority, Inc., Investors Exchange LLC, Long-Term Stock Exchange, Inc., Miami International Securities Exchange LLC, MEMX, LLC, MIAX Emerald, LLC, MIAX PEARL, LLC, Nasdaq BX, Inc., Nasdaq GEMX, LLC, Nasdaq ISE, LLC, Nasdaq MRX, LLC, Nasdaq PHLX LLC, The NASDAQ Stock Market LLC; and New York Stock Exchange LLC, NYSE American LLC, NYSE Arca, Inc., NYSE Chicago, Inc., and NYSE National, Inc. https://regulations.justia.com/regulations/fedreg/2021/04/21/2021-08049.html https://regulations.justia.com/regulations/fedreg/2021/04/21/2021-08049.html Wed, 21 Apr 2021 00:00:00 -0700 2021-08049 Notice https://www.govinfo.gov/content/pkg/FR-2021-04-21/pdf/2021-08049.pdf