<![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/2021/11/02?registers=between Fri, 27 Jun 2025 17:59:10 -0700 Fri, 27 Jun 2025 17:59:10 -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/2021/11/02?registers=between Notice - Privacy Act of 1974; System of Records https://regulations.justia.com/regulations/fedreg/2021/11/02/2021-23821.html https://regulations.justia.com/regulations/fedreg/2021/11/02/2021-23821.html Tue, 02 Nov 2021 00:00:00 -0700 2021-23821 Notice https://www.govinfo.gov/content/pkg/FR-2021-11-02/pdf/2021-23821.pdf Notice - Self-Regulatory Organizations; Cboe BYX Exchange, Inc.; Cboe BZX Exchange, Inc.; Cboe C2 Exchange, Inc.; Cboe EDGA Exchange, Inc.; Cboe EDGX Exchange, Inc., Cboe Exchange, Inc.; NASDAQ BX, Inc.; Nasdaq GEMX, LLC; Nasdaq ISE, LLC; Nasdaq MRX, LLC; NASDAQ PHLX LLC and The NASDAQ Stock Market LLC; Notice of Designation of Longer Period for Commission Action on Proceedings To Determine Whether To Approve or Disapprove Proposed Rule Changes 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/2021/11/02/2021-23817.html https://regulations.justia.com/regulations/fedreg/2021/11/02/2021-23817.html Tue, 02 Nov 2021 00:00:00 -0700 2021-23817 Notice https://www.govinfo.gov/content/pkg/FR-2021-11-02/pdf/2021-23817.pdf Notice - Self-Regulatory Organizations; The Options Clearing Corporation; Notice of Filing and Extension of Review Period of Advance Notice Relating to OCC's Adoption of Cloud Infrastructure for New Clearing, Risk Management, and Data Management Applications https://regulations.justia.com/regulations/fedreg/2021/11/02/2021-23816.html https://regulations.justia.com/regulations/fedreg/2021/11/02/2021-23816.html Tue, 02 Nov 2021 00:00:00 -0700 2021-23816 Notice https://www.govinfo.gov/content/pkg/FR-2021-11-02/pdf/2021-23816.pdf Notice - Self-Regulatory Organizations; The Options Clearing Corporation; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Concerning Revisions to the Titles of Certain Options Clearing Corporation Personnel https://regulations.justia.com/regulations/fedreg/2021/11/02/2021-23815.html https://regulations.justia.com/regulations/fedreg/2021/11/02/2021-23815.html Tue, 02 Nov 2021 00:00:00 -0700 2021-23815 Notice https://www.govinfo.gov/content/pkg/FR-2021-11-02/pdf/2021-23815.pdf Notice - Self-Regulatory Organizations; ICE Clear Credit LLC; Notice of Filing of Proposed Rule Change Relating to the ICC End-of-Day Price Discovery Policies and Procedures https://regulations.justia.com/regulations/fedreg/2021/11/02/2021-23813.html https://regulations.justia.com/regulations/fedreg/2021/11/02/2021-23813.html Tue, 02 Nov 2021 00:00:00 -0700 2021-23813 Notice https://www.govinfo.gov/content/pkg/FR-2021-11-02/pdf/2021-23813.pdf Notice - Self-Regulatory Organizations; NYSE Arca, Inc.; Order Instituting Proceedings To Determine Whether To Approve or Disapprove a Proposed Rule Change To List and Trade Shares of the Sprott ESG Gold ETF Under NYSE Arca Rule 8.201-E (Commodity-Based Trust Shares) https://regulations.justia.com/regulations/fedreg/2021/11/02/2021-23810.html https://regulations.justia.com/regulations/fedreg/2021/11/02/2021-23810.html Tue, 02 Nov 2021 00:00:00 -0700 2021-23810 Notice https://www.govinfo.gov/content/pkg/FR-2021-11-02/pdf/2021-23810.pdf Notice - Self-Regulatory Organizations; Municipal Securities Rulemaking Board; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Further Extend the Regulatory Relief and Permit Dealers To Conduct Office Inspections Remotely Until June 30, 2022, Pursuant to MSRB Rule G-27, on Supervision https://regulations.justia.com/regulations/fedreg/2021/11/02/2021-23809.html https://regulations.justia.com/regulations/fedreg/2021/11/02/2021-23809.html Tue, 02 Nov 2021 00:00:00 -0700 2021-23809 Notice https://www.govinfo.gov/content/pkg/FR-2021-11-02/pdf/2021-23809.pdf