<![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/2021/05/10?registers=between Wed, 02 Jul 2025 21:04:55 -0700 Wed, 02 Jul 2025 21:04:55 -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/2021/05/10?registers=between Notice - Sunshine Act Meeting; Cancellation https://regulations.justia.com/regulations/fedreg/2021/05/10/2021-09940.html https://regulations.justia.com/regulations/fedreg/2021/05/10/2021-09940.html Mon, 10 May 2021 00:00:00 -0700 2021-09940 Notice https://www.govinfo.gov/content/pkg/FR-2021-05-10/pdf/2021-09940.pdf Notice - Sunshine Act Meetings https://regulations.justia.com/regulations/fedreg/2021/05/10/2021-09939.html https://regulations.justia.com/regulations/fedreg/2021/05/10/2021-09939.html Mon, 10 May 2021 00:00:00 -0700 2021-09939 Notice https://www.govinfo.gov/content/pkg/FR-2021-05-10/pdf/2021-09939.pdf Notice - Self-Regulatory Organizations; National Securities Clearing Corporation; Notice of No Objection To Advance Notice To Amend the Supplemental Liquidity Deposit Requirements https://regulations.justia.com/regulations/fedreg/2021/05/10/2021-09788.html https://regulations.justia.com/regulations/fedreg/2021/05/10/2021-09788.html Mon, 10 May 2021 00:00:00 -0700 2021-09788 Notice https://www.govinfo.gov/content/pkg/FR-2021-05-10/pdf/2021-09788.pdf Notice - Self-Regulatory Organizations; Cboe EDGX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Adopt a Fee Schedule To Establish Fees for Industry Members Related to the National Market System Plan Governing the Consolidated Audit Trail https://regulations.justia.com/regulations/fedreg/2021/05/10/2021-09786.html https://regulations.justia.com/regulations/fedreg/2021/05/10/2021-09786.html Mon, 10 May 2021 00:00:00 -0700 2021-09786 Notice https://www.govinfo.gov/content/pkg/FR-2021-05-10/pdf/2021-09786.pdf Notice - Self-Regulatory Organizations; Cboe C2 Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Adopt a Fee Schedule To Establish Fees for Industry Members Related to the National Market System Plan Governing the Consolidated Audit Trail https://regulations.justia.com/regulations/fedreg/2021/05/10/2021-09785.html https://regulations.justia.com/regulations/fedreg/2021/05/10/2021-09785.html Mon, 10 May 2021 00:00:00 -0700 2021-09785 Notice https://www.govinfo.gov/content/pkg/FR-2021-05-10/pdf/2021-09785.pdf Notice - Self-Regulatory Organizations; Nasdaq GEMX, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Adopt a Fee Schedule To Establish Fees for Industry Members Related to the National Market System Plan Governing the Consolidated Audit Trail https://regulations.justia.com/regulations/fedreg/2021/05/10/2021-09784.html https://regulations.justia.com/regulations/fedreg/2021/05/10/2021-09784.html Mon, 10 May 2021 00:00:00 -0700 2021-09784 Notice https://www.govinfo.gov/content/pkg/FR-2021-05-10/pdf/2021-09784.pdf Notice - Self-Regulatory Organizations; Nasdaq ISE, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Adopt a Fee Schedule To Establish Fees for Industry Members Related to the National Market System Plan Governing the Consolidated Audit Trail https://regulations.justia.com/regulations/fedreg/2021/05/10/2021-09782.html https://regulations.justia.com/regulations/fedreg/2021/05/10/2021-09782.html Mon, 10 May 2021 00:00:00 -0700 2021-09782 Notice https://www.govinfo.gov/content/pkg/FR-2021-05-10/pdf/2021-09782.pdf Notice - Self-Regulatory Organizations: Investors Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Allow Discretionary Limit Orders To Be Reserve Orders https://regulations.justia.com/regulations/fedreg/2021/05/10/2021-09781.html https://regulations.justia.com/regulations/fedreg/2021/05/10/2021-09781.html Mon, 10 May 2021 00:00:00 -0700 2021-09781 Notice https://www.govinfo.gov/content/pkg/FR-2021-05-10/pdf/2021-09781.pdf Notice - Self-Regulatory Organizations; Nasdaq MRX, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Adopt a Fee Schedule To Establish Fees for Industry Members Related to the National Market System Plan Governing the Consolidated Audit Trail https://regulations.justia.com/regulations/fedreg/2021/05/10/2021-09780.html https://regulations.justia.com/regulations/fedreg/2021/05/10/2021-09780.html Mon, 10 May 2021 00:00:00 -0700 2021-09780 Notice https://www.govinfo.gov/content/pkg/FR-2021-05-10/pdf/2021-09780.pdf Notice - Self-Regulatory Organizations; The Nasdaq Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Adopt a Fee Schedule To Establish Fees for Industry Members Related to the National Market System Plan Governing the Consolidated Audit Trail https://regulations.justia.com/regulations/fedreg/2021/05/10/2021-09779.html https://regulations.justia.com/regulations/fedreg/2021/05/10/2021-09779.html Mon, 10 May 2021 00:00:00 -0700 2021-09779 Notice https://www.govinfo.gov/content/pkg/FR-2021-05-10/pdf/2021-09779.pdf Notice - Self-Regulatory Organizations; Nasdaq PHLX LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Adopt a Fee Schedule To Establish Fees for Industry Members Related to the National Market System Plan Governing the Consolidated Audit Trail https://regulations.justia.com/regulations/fedreg/2021/05/10/2021-09778.html https://regulations.justia.com/regulations/fedreg/2021/05/10/2021-09778.html Mon, 10 May 2021 00:00:00 -0700 2021-09778 Notice https://www.govinfo.gov/content/pkg/FR-2021-05-10/pdf/2021-09778.pdf Notice - Self-Regulatory Organizations; Nasdaq BX, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Adopt a Fee Schedule To Establish Fees for Industry Members Related to the National Market System Plan Governing the Consolidated Audit Trail https://regulations.justia.com/regulations/fedreg/2021/05/10/2021-09777.html https://regulations.justia.com/regulations/fedreg/2021/05/10/2021-09777.html Mon, 10 May 2021 00:00:00 -0700 2021-09777 Notice https://www.govinfo.gov/content/pkg/FR-2021-05-10/pdf/2021-09777.pdf Notice - Self-Regulatory Organizations; MEMX LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Related to the Handling of Displayed Odd Lot Orders and Non-Displayed Orders That Become Locked or Crossed https://regulations.justia.com/regulations/fedreg/2021/05/10/2021-09776.html https://regulations.justia.com/regulations/fedreg/2021/05/10/2021-09776.html Mon, 10 May 2021 00:00:00 -0700 2021-09776 Notice https://www.govinfo.gov/content/pkg/FR-2021-05-10/pdf/2021-09776.pdf Notice - Self-Regulatory Organizations; New York Stock Exchange LLC; Order Granting Approval of a Proposed Rule Change of New Rules Providing for the Registration and Obligations of Non-DMM Market Makers https://regulations.justia.com/regulations/fedreg/2021/05/10/2021-09775.html https://regulations.justia.com/regulations/fedreg/2021/05/10/2021-09775.html Mon, 10 May 2021 00:00:00 -0700 2021-09775 Notice https://www.govinfo.gov/content/pkg/FR-2021-05-10/pdf/2021-09775.pdf Notice - Self-Regulatory Organizations; Cboe Exchange, Inc.; Notice of Filing of a Proposed Rule Change To Increase Position Limits for Options on Certain Exchange-Traded Funds and an Exchange-Traded Note https://regulations.justia.com/regulations/fedreg/2021/05/10/2021-09774.html https://regulations.justia.com/regulations/fedreg/2021/05/10/2021-09774.html Mon, 10 May 2021 00:00:00 -0700 2021-09774 Notice https://www.govinfo.gov/content/pkg/FR-2021-05-10/pdf/2021-09774.pdf Notice - Self-Regulatory Organizations; Nasdaq PHLX LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Extend the Expiration Date of the Temporary Amendments Concerning Video Conference Hearings https://regulations.justia.com/regulations/fedreg/2021/05/10/2021-09773.html https://regulations.justia.com/regulations/fedreg/2021/05/10/2021-09773.html Mon, 10 May 2021 00:00:00 -0700 2021-09773 Notice https://www.govinfo.gov/content/pkg/FR-2021-05-10/pdf/2021-09773.pdf Notice - Self-Regulatory Organizations; Nasdaq MRX, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Extend the Expiration Date of the Temporary Amendments Concerning Video Conference Hearings https://regulations.justia.com/regulations/fedreg/2021/05/10/2021-09772.html https://regulations.justia.com/regulations/fedreg/2021/05/10/2021-09772.html Mon, 10 May 2021 00:00:00 -0700 2021-09772 Notice https://www.govinfo.gov/content/pkg/FR-2021-05-10/pdf/2021-09772.pdf Notice - Self-Regulatory Organizations; Nasdaq GEMX, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Extend the Expiration Date of the Temporary Amendments Concerning Video Conference Hearings https://regulations.justia.com/regulations/fedreg/2021/05/10/2021-09771.html https://regulations.justia.com/regulations/fedreg/2021/05/10/2021-09771.html Mon, 10 May 2021 00:00:00 -0700 2021-09771 Notice https://www.govinfo.gov/content/pkg/FR-2021-05-10/pdf/2021-09771.pdf Notice - Self-Regulatory Organizations; The Nasdaq Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Extend the Expiration Date of the Temporary Amendments Concerning Video Conference Hearings https://regulations.justia.com/regulations/fedreg/2021/05/10/2021-09770.html https://regulations.justia.com/regulations/fedreg/2021/05/10/2021-09770.html Mon, 10 May 2021 00:00:00 -0700 2021-09770 Notice https://www.govinfo.gov/content/pkg/FR-2021-05-10/pdf/2021-09770.pdf Notice - Self-Regulatory Organizations; Cboe BZX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Adopt a Fee Schedule To Establish Fees for Industry Members Related to the National Market System Plan Governing the Consolidated Audit Trail https://regulations.justia.com/regulations/fedreg/2021/05/10/2021-09769.html https://regulations.justia.com/regulations/fedreg/2021/05/10/2021-09769.html Mon, 10 May 2021 00:00:00 -0700 2021-09769 Notice https://www.govinfo.gov/content/pkg/FR-2021-05-10/pdf/2021-09769.pdf Notice - Self-Regulatory Organizations; Cboe BYX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Adopt a Fee Schedule to Establish Fees for Industry Members Related to the National Market System Plan Governing the Consolidated Audit Trail https://regulations.justia.com/regulations/fedreg/2021/05/10/2021-09768.html https://regulations.justia.com/regulations/fedreg/2021/05/10/2021-09768.html Mon, 10 May 2021 00:00:00 -0700 2021-09768 Notice https://www.govinfo.gov/content/pkg/FR-2021-05-10/pdf/2021-09768.pdf Notice - Self-Regulatory Organizations; Cboe Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Adopt a Fee Schedule to Establish Fees for Industry Members Related to the National Market System Plan Governing the Consolidated Audit Trail https://regulations.justia.com/regulations/fedreg/2021/05/10/2021-09767.html https://regulations.justia.com/regulations/fedreg/2021/05/10/2021-09767.html Mon, 10 May 2021 00:00:00 -0700 2021-09767 Notice https://www.govinfo.gov/content/pkg/FR-2021-05-10/pdf/2021-09767.pdf Notice - Self-Regulatory Organizations; Cboe EDGA Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Adopt a Fee Schedule To Establish Fees for Industry Members Related to the National Market System Plan Governing the Consolidated Audit Trail https://regulations.justia.com/regulations/fedreg/2021/05/10/2021-09766.html https://regulations.justia.com/regulations/fedreg/2021/05/10/2021-09766.html Mon, 10 May 2021 00:00:00 -0700 2021-09766 Notice https://www.govinfo.gov/content/pkg/FR-2021-05-10/pdf/2021-09766.pdf