Securities and Exchange Commission April 21, 2021 – Federal Register Recent Federal Regulation Documents

Results 1 - 19 of 19
SEC Small Business Capital Formation Advisory Committee
Document Number: 2021-08253
Type: Notice
Date: 2021-04-21
Agency: Securities and Exchange Commission, Agencies and Commissions
The Securities and Exchange Commission Small Business Capital Formation Advisory Committee, established pursuant to Section 40 of the Securities Exchange Act of 1934 as added by the SEC Small Business Advocate Act of 2016, is providing notice that it will hold a public meeting by videoconference. The public is invited to submit written statements to the Committee.
https://regulations.justia.com/regulations/fedreg/2021/04/21/2021-08253.html
Submission for OMB Review; Comment Request
Document Number: 2021-08227
Type: Notice
Date: 2021-04-21
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2021/04/21/2021-08227.html
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
Document Number: 2021-08197
Type: Notice
Date: 2021-04-21
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2021/04/21/2021-08197.html
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
Document Number: 2021-08151
Type: Notice
Date: 2021-04-21
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2021/04/21/2021-08151.html
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
Document Number: 2021-08149
Type: Notice
Date: 2021-04-21
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2021/04/21/2021-08149.html
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
Document Number: 2021-08148
Type: Notice
Date: 2021-04-21
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2021/04/21/2021-08148.html
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
Document Number: 2021-08147
Type: Notice
Date: 2021-04-21
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2021/04/21/2021-08147.html
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
Document Number: 2021-08146
Type: Notice
Date: 2021-04-21
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2021/04/21/2021-08146.html
Proposed Collection; Comment Request
Document Number: 2021-08145
Type: Notice
Date: 2021-04-21
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2021/04/21/2021-08145.html
Submission for OMB Review; Comment Request
Document Number: 2021-08144
Type: Notice
Date: 2021-04-21
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2021/04/21/2021-08144.html
Submission for OMB Review; Comment Request
Document Number: 2021-08143
Type: Notice
Date: 2021-04-21
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2021/04/21/2021-08143.html
Submission for OMB Review; Comment Request
Document Number: 2021-08142
Type: Notice
Date: 2021-04-21
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2021/04/21/2021-08142.html
Submission for OMB Review; Comment Request
Document Number: 2021-08141
Type: Notice
Date: 2021-04-21
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2021/04/21/2021-08141.html
Submission for OMB Review; Comment Request
Document Number: 2021-08140
Type: Notice
Date: 2021-04-21
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2021/04/21/2021-08140.html
Submission for OMB Review; Comment Request
Document Number: 2021-08139
Type: Notice
Date: 2021-04-21
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2021/04/21/2021-08139.html
Submission for OMB Review; Comment Request
Document Number: 2021-08138
Type: Notice
Date: 2021-04-21
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2021/04/21/2021-08138.html
Submission for OMB Review; Comment Request
Document Number: 2021-08137
Type: Notice
Date: 2021-04-21
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2021/04/21/2021-08137.html
Submission for OMB Review; Comment Request
Document Number: 2021-08135
Type: Notice
Date: 2021-04-21
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2021/04/21/2021-08135.html
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.
Document Number: 2021-08049
Type: Notice
Date: 2021-04-21
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2021/04/21/2021-08049.html
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