<![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/2021/05/18?registers=between Thu, 24 Jul 2025 17:27:01 -0700 Thu, 24 Jul 2025 17:27:01 -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/2021/05/18?registers=between Notice - Self-Regulatory Organizations; National Securities Clearing Corporation; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Make Clarifications, Corrections and Certain Other Changes to the NSCC Rules & Procedures https://regulations.justia.com/regulations/fedreg/2021/05/18/2021-10392.html https://regulations.justia.com/regulations/fedreg/2021/05/18/2021-10392.html Tue, 18 May 2021 00:00:00 -0700 2021-10392 Notice https://www.govinfo.gov/content/pkg/FR-2021-05-18/pdf/2021-10392.pdf Notice - Order Granting Application by Nasdaq PHLX LLC for an Exemption Pursuant to Section 36(a) of the Exchange Act From the Rule Filing Requirements of Section 19(b) of the Exchange Act With Respect to Certain Rules Incorporated by Reference https://regulations.justia.com/regulations/fedreg/2021/05/18/2021-10391.html https://regulations.justia.com/regulations/fedreg/2021/05/18/2021-10391.html Tue, 18 May 2021 00:00:00 -0700 2021-10391 Notice https://www.govinfo.gov/content/pkg/FR-2021-05-18/pdf/2021-10391.pdf Notice - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing of a Proposed Rule Change To Adopt a Supplemental Liquidity Schedule, and Instructions Thereto, Pursuant to FINRA Rule 4524 (Supplemental FOCUS Information) https://regulations.justia.com/regulations/fedreg/2021/05/18/2021-10390.html https://regulations.justia.com/regulations/fedreg/2021/05/18/2021-10390.html Tue, 18 May 2021 00:00:00 -0700 2021-10390 Notice https://www.govinfo.gov/content/pkg/FR-2021-05-18/pdf/2021-10390.pdf Notice - Self-Regulatory Organizations; Cboe BZX Exchange, Inc.; Notice of Filing of a Proposed Rule Change To Exclude a National Best Bid or Offer From the Calculation of the BZX Official Closing Price, as Provided in Rule 11.23(c)(2)(B)(ii)(b), That Is Outside the Bands Provided Under the Plan To Address Extraordinary Market Volatility https://regulations.justia.com/regulations/fedreg/2021/05/18/2021-10389.html https://regulations.justia.com/regulations/fedreg/2021/05/18/2021-10389.html Tue, 18 May 2021 00:00:00 -0700 2021-10389 Notice https://www.govinfo.gov/content/pkg/FR-2021-05-18/pdf/2021-10389.pdf Notice - Self-Regulatory Organizations; The Nasdaq Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Allow Broker-Dealers That Purchase the Nasdaq Basic Enterprise License at Equity 7, Section 147(b)(5) to Distribute Nasdaq Last Sale (“NLS”) to the General Investing Public https://regulations.justia.com/regulations/fedreg/2021/05/18/2021-10388.html https://regulations.justia.com/regulations/fedreg/2021/05/18/2021-10388.html Tue, 18 May 2021 00:00:00 -0700 2021-10388 Notice https://www.govinfo.gov/content/pkg/FR-2021-05-18/pdf/2021-10388.pdf Notice - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Withdrawal of a Proposed Rule Change To Amend Section 102.04 of the NYSE Listed Company Manual To Establish Limits on Investments in Unregistered Investment Vehicles by Listed Closed End Funds https://regulations.justia.com/regulations/fedreg/2021/05/18/2021-10387.html https://regulations.justia.com/regulations/fedreg/2021/05/18/2021-10387.html Tue, 18 May 2021 00:00:00 -0700 2021-10387 Notice https://www.govinfo.gov/content/pkg/FR-2021-05-18/pdf/2021-10387.pdf Notice - Self-Regulatory Organizations; Nasdaq BX, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Delay the Implementation of BX's Request for PRISM https://regulations.justia.com/regulations/fedreg/2021/05/18/2021-10386.html https://regulations.justia.com/regulations/fedreg/2021/05/18/2021-10386.html Tue, 18 May 2021 00:00:00 -0700 2021-10386 Notice https://www.govinfo.gov/content/pkg/FR-2021-05-18/pdf/2021-10386.pdf Notice - Self-Regulatory Organizations; NYSE National, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Continue Offering Certain Connectivity Services That Have Been Suspended by the Securities and Exchange Commission https://regulations.justia.com/regulations/fedreg/2021/05/18/2021-10385.html https://regulations.justia.com/regulations/fedreg/2021/05/18/2021-10385.html Tue, 18 May 2021 00:00:00 -0700 2021-10385 Notice https://www.govinfo.gov/content/pkg/FR-2021-05-18/pdf/2021-10385.pdf Notice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Continue Offering Certain Connectivity Services That Have Been Suspended by the Securities and Exchange Commission https://regulations.justia.com/regulations/fedreg/2021/05/18/2021-10383.html https://regulations.justia.com/regulations/fedreg/2021/05/18/2021-10383.html Tue, 18 May 2021 00:00:00 -0700 2021-10383 Notice https://www.govinfo.gov/content/pkg/FR-2021-05-18/pdf/2021-10383.pdf Notice - Self-Regulatory Organizations; NYSE American LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Continue Offering Certain Connectivity Services That Have Been Suspended by the Securities and Exchange Commission https://regulations.justia.com/regulations/fedreg/2021/05/18/2021-10382.html https://regulations.justia.com/regulations/fedreg/2021/05/18/2021-10382.html Tue, 18 May 2021 00:00:00 -0700 2021-10382 Notice https://www.govinfo.gov/content/pkg/FR-2021-05-18/pdf/2021-10382.pdf Notice - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Continue Offering Certain Connectivity Services That Have Been Suspended by the Securities and Exchange Commission https://regulations.justia.com/regulations/fedreg/2021/05/18/2021-10381.html https://regulations.justia.com/regulations/fedreg/2021/05/18/2021-10381.html Tue, 18 May 2021 00:00:00 -0700 2021-10381 Notice https://www.govinfo.gov/content/pkg/FR-2021-05-18/pdf/2021-10381.pdf Notice - Self-Regulatory Organizations; MIAX PEARL, LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the MIAX Pearl Fee Schedule To Remove the Cap on the Number of Additional Limited Service Ports Available to Market Makers https://regulations.justia.com/regulations/fedreg/2021/05/18/2021-10380.html https://regulations.justia.com/regulations/fedreg/2021/05/18/2021-10380.html Tue, 18 May 2021 00:00:00 -0700 2021-10380 Notice https://www.govinfo.gov/content/pkg/FR-2021-05-18/pdf/2021-10380.pdf Notice - Self-Regulatory Organizations; Miami International Securities Exchange, LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Its Fee Schedule To Remove the Cap on the Number of Additional Limited Service Ports Available to Market Makers https://regulations.justia.com/regulations/fedreg/2021/05/18/2021-10379.html https://regulations.justia.com/regulations/fedreg/2021/05/18/2021-10379.html Tue, 18 May 2021 00:00:00 -0700 2021-10379 Notice https://www.govinfo.gov/content/pkg/FR-2021-05-18/pdf/2021-10379.pdf