<![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/2021/09/16?registers=between Sun, 22 Dec 2024 19:58:00 -0800 Sun, 22 Dec 2024 19:58:00 -0800 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/2021/09/16?registers=between Notice - Self-Regulatory Organizations; Municipal Securities Rulemaking Board; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Provide a Further Extension of Time To Become Appropriately Qualified by Passing the Municipal Advisor Principal Qualification Examination (Series 54) Pursuant to MSRB Rule G-3, on Professional Qualification Requirements https://regulations.justia.com/regulations/fedreg/2021/09/16/2021-19973.html https://regulations.justia.com/regulations/fedreg/2021/09/16/2021-19973.html Thu, 16 Sep 2021 00:00:00 -0700 2021-19973 Notice https://www.govinfo.gov/content/pkg/FR-2021-09-16/pdf/2021-19973.pdf Notice - Self-Regulatory Organizations; The Nasdaq Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Delete the Order Audit Trail System Rules in the Equity 5 Series of the Exchange's Rulebook https://regulations.justia.com/regulations/fedreg/2021/09/16/2021-19972.html https://regulations.justia.com/regulations/fedreg/2021/09/16/2021-19972.html Thu, 16 Sep 2021 00:00:00 -0700 2021-19972 Notice https://www.govinfo.gov/content/pkg/FR-2021-09-16/pdf/2021-19972.pdf Notice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the NYSE Arca Equities Fees and Charges https://regulations.justia.com/regulations/fedreg/2021/09/16/2021-19971.html https://regulations.justia.com/regulations/fedreg/2021/09/16/2021-19971.html Thu, 16 Sep 2021 00:00:00 -0700 2021-19971 Notice https://www.govinfo.gov/content/pkg/FR-2021-09-16/pdf/2021-19971.pdf Notice - Order Granting Application by The Nasdaq Stock Market LLC and Nasdaq BX, Inc. 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/2021/09/16/2021-19970.html https://regulations.justia.com/regulations/fedreg/2021/09/16/2021-19970.html Thu, 16 Sep 2021 00:00:00 -0700 2021-19970 Notice https://www.govinfo.gov/content/pkg/FR-2021-09-16/pdf/2021-19970.pdf Notice - Self-Regulatory Organizations; Cboe BYX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Its Fee Schedule https://regulations.justia.com/regulations/fedreg/2021/09/16/2021-19969.html https://regulations.justia.com/regulations/fedreg/2021/09/16/2021-19969.html Thu, 16 Sep 2021 00:00:00 -0700 2021-19969 Notice https://www.govinfo.gov/content/pkg/FR-2021-09-16/pdf/2021-19969.pdf Notice - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Order Granting Approval of a Proposed Rule Change Relating to Members' Filing Requirements Under FINRA Rule 6432 (Compliance With the Information Requirements of SEA Rule 15c2-11) https://regulations.justia.com/regulations/fedreg/2021/09/16/2021-19968.html https://regulations.justia.com/regulations/fedreg/2021/09/16/2021-19968.html Thu, 16 Sep 2021 00:00:00 -0700 2021-19968 Notice https://www.govinfo.gov/content/pkg/FR-2021-09-16/pdf/2021-19968.pdf