Securities and Exchange Commission January 14, 2020 – Federal Register Recent Federal Regulation Documents

Results 1 - 9 of 9
Order Making Fiscal Year 2020 Annual Adjustments to Transaction Fee Rates
Document Number: 2020-00423
Type: Notice
Date: 2020-01-14
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2020/01/14/2020-00423.html
Self-Regulatory Organizations; National Securities Clearing Corporation; Notice of Filing of Advance Notice To Issue Term Debt as Part of Its Liquidity Risk Management
Document Number: 2020-00367
Type: Notice
Date: 2020-01-14
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2020/01/14/2020-00367.html
Self-Regulatory Organizations; National Securities Clearing Corporation; Notice of Filing of Advance Notice To Enhance National Securities Clearing Corporation's Haircut-Based Volatility Charge Applicable to Municipal Bonds
Document Number: 2020-00366
Type: Notice
Date: 2020-01-14
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2020/01/14/2020-00366.html
Consolidated Tape Association; Notice of Filing of the Thirtieth Substantive Amendment to the Second Restatement of the CTA Plan and Twenty-Second Substantive Amendment to the Restated CQ Plan
Document Number: 2020-00363
Type: Notice
Date: 2020-01-14
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2020/01/14/2020-00363.html
Notice of Proposed Order Directing the Exchanges and the Financial Industry Regulatory Authority To Submit a New National Market System Plan Regarding Consolidated Equity Market Data
Document Number: 2020-00360
Type: Notice
Date: 2020-01-14
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2020/01/14/2020-00360.html
Consolidated Tape Association; Notice of Filing of the Thirty-Third Substantive Amendment to the Second Restatement of the CTA Plan and Twenty-Fourth Substantive Amendment to the Restated CQ Plan
Document Number: 2020-00359
Type: Notice
Date: 2020-01-14
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2020/01/14/2020-00359.html
Joint Industry Plan; Notice of Filing of the Forty-Seventh Amendment to the Joint Self-Regulatory Organization Plan Governing the Collection, Consolidation and Dissemination of Quotation and Transaction Information for Nasdaq-Listed Securities Traded on Exchanges on an Unlisted Trading Privileges Basis
Document Number: 2020-00358
Type: Notice
Date: 2020-01-14
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2020/01/14/2020-00358.html
Joint Industry Plan; Notice of Filing of the Forty-Fourth Amendment to the Joint Self-Regulatory Organization Plan Governing the Collection, Consolidation and Dissemination of Quotation and Transaction Information for Nasdaq-Listed Securities Traded on Exchanges on an Unlisted Trading Privileges Basis
Document Number: 2020-00357
Type: Notice
Date: 2020-01-14
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2020/01/14/2020-00357.html
Self-Regulatory Organizations; New York Stock Exchange LLC; Order Approving Proposed Rule Change To Amend Article II, Section 2.03 of the Twelfth Amended and Restated Operating Agreement of the Exchange To Remove the Independence Requirement for the Director Elected by Exchange Membership Organizations
Document Number: 2020-00348
Type: Notice
Date: 2020-01-14
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2020/01/14/2020-00348.html
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