Federal Register Recent Federal Regulation Documents - Justia Regulation Tracker - Justia Regulations Tracker https://regulations.justia.com/regulations/fedreg/agencies/securities-and-exchange-commission/2020/02/20?limit=200&registers=between&mode=atom 2024-11-26T06:28:52-08:00 Justia Inc https://www.justia.com/ Justia Regulations Tracker https://regulations.justia.com/images/justiafedregulations.gif Copyright 2011 Justia Inc https://regulations.justia.com/regulations/fedreg/2020/02/20/2020-03419.html Notice - Self-Regulatory Organizations; Cboe BYX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Introduce a Small Retail Broker Distribution Program 2020-02-20T00:00:00-08:00 2020-02-20T00:00:00-08:00 2020-03419 Notice https://www.govinfo.gov/content/pkg/FR-2020-02-20/pdf/2020-03419.pdf https://regulations.justia.com/regulations/fedreg/2020/02/20/2020-03418.html Notice - Self-Regulatory Organizations; Cboe EDGA Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Introduce a Small Retail Broker Distribution Program 2020-02-20T00:00:00-08:00 2020-02-20T00:00:00-08:00 2020-03418 Notice https://www.govinfo.gov/content/pkg/FR-2020-02-20/pdf/2020-03418.pdf https://regulations.justia.com/regulations/fedreg/2020/02/20/2020-03417.html Notice - Self-Regulatory Organizations; Cboe EDGX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Introduce a Small Retail Broker Distribution Program 2020-02-20T00:00:00-08:00 2020-02-20T00:00:00-08:00 2020-03417 Notice https://www.govinfo.gov/content/pkg/FR-2020-02-20/pdf/2020-03417.pdf https://regulations.justia.com/regulations/fedreg/2020/02/20/2020-03416.html Notice - Self-Regulatory Organizations; Cboe BZX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Introduce a Small Retail Broker Distribution Program 2020-02-20T00:00:00-08:00 2020-02-20T00:00:00-08:00 2020-03416 Notice https://www.govinfo.gov/content/pkg/FR-2020-02-20/pdf/2020-03416.pdf https://regulations.justia.com/regulations/fedreg/2020/02/20/2020-03415.html Notice - Self-Regulatory Organizations; Nasdaq ISE, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Its Pricing Schedule in Options 7 at Section 3 2020-02-20T00:00:00-08:00 2020-02-20T00:00:00-08:00 2020-03415 Notice https://www.govinfo.gov/content/pkg/FR-2020-02-20/pdf/2020-03415.pdf https://regulations.justia.com/regulations/fedreg/2020/02/20/2020-03414.html Notice - Self-Regulatory Organizations; Nasdaq BX, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Related to Order Types and Times-in-Force Provisions 2020-02-20T00:00:00-08:00 2020-02-20T00:00:00-08:00 2020-03414 Notice https://www.govinfo.gov/content/pkg/FR-2020-02-20/pdf/2020-03414.pdf https://regulations.justia.com/regulations/fedreg/2020/02/20/2020-03413.html Notice - Self-Regulatory Organizations; Nasdaq PHLX LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Relocate Rules From Its Current Rulebook Into Its New Rulebook Shell 2020-02-20T00:00:00-08:00 2020-02-20T00:00:00-08:00 2020-03413 Notice https://www.govinfo.gov/content/pkg/FR-2020-02-20/pdf/2020-03413.pdf https://regulations.justia.com/regulations/fedreg/2020/02/20/2020-03412.html Notice - Self-Regulatory Organizations; OneChicago, LLC; Notice of Filing of Proposed Rule Change Relating to OneChicago Rule 307 (Application of Rules and Jurisdiction) 2020-02-20T00:00:00-08:00 2020-02-20T00:00:00-08:00 2020-03412 Notice https://www.govinfo.gov/content/pkg/FR-2020-02-20/pdf/2020-03412.pdf https://regulations.justia.com/regulations/fedreg/2020/02/20/2020-03411.html Notice - Self-Regulatory Organizations; NYSE National, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Establish Fees for the NYSE National Integrated Feed 2020-02-20T00:00:00-08:00 2020-02-20T00:00:00-08:00 2020-03411 Notice https://www.govinfo.gov/content/pkg/FR-2020-02-20/pdf/2020-03411.pdf https://regulations.justia.com/regulations/fedreg/2020/02/20/2020-03372.html Notice - In the Matter of the Financial Industry Regulatory Authority, Inc. for an Order Granting the Approval of Proposed Rule Change, as Modified by Amendment No. 2, To Establish a Corporate Bond New Issue Reference Data Service (File No. SR-FINRA-2019-008); Order Granting Petition for Review and Scheduling Filing of Statements 2020-02-20T00:00:00-08:00 2020-02-20T00:00:00-08:00 2020-03372 Notice https://www.govinfo.gov/content/pkg/FR-2020-02-20/pdf/2020-03372.pdf https://regulations.justia.com/regulations/fedreg/2020/02/20/2020-03328.html Notice - Self-Regulatory Organizations; Cboe BZX Exchange, Inc.; Notice of Filing of Amendment No. 1 and Order Instituting Proceedings To Determine Whether To Approve or Disapprove a Proposed Rule Change, as Modified by Amendment No. 1, To Adopt BZX Rule 14.11(l) To Permit the Listing and Trading of Exchange-Traded Fund Shares That Are Permitted To Operate in Reliance on Rule 6c-11 Under the Investment Company Act of 1940 2020-02-20T00:00:00-08:00 2020-02-20T00:00:00-08:00 2020-03328 Notice https://www.govinfo.gov/content/pkg/FR-2020-02-20/pdf/2020-03328.pdf https://regulations.justia.com/regulations/fedreg/2020/02/20/2020-03327.html Notice - Self-Regulatory Organizations; Cboe BZX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating To Amend the Logic That Would Be Used To Cancel MOC Orders Entered for Participation in the Cboe Market Close in the Event the Exchange Becomes Impaired 2020-02-20T00:00:00-08:00 2020-02-20T00:00:00-08:00 2020-03327 Notice https://www.govinfo.gov/content/pkg/FR-2020-02-20/pdf/2020-03327.pdf https://regulations.justia.com/regulations/fedreg/2020/02/20/2020-03326.html Notice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Designation of a Longer Period for Commission Action on a Proposed Rule Change To Adopt NYSE Arca Rule 8.601-E To Permit the Listing and Trading of Managed Portfolio Securities and To List and Trade Four Series of Managed Portfolio Securities Issued by T. Rowe Price Exchange-Traded Funds, Inc. Under Proposed NYSE Arca Rule 8.601-E 2020-02-20T00:00:00-08:00 2020-02-20T00:00:00-08:00 2020-03326 Notice https://www.govinfo.gov/content/pkg/FR-2020-02-20/pdf/2020-03326.pdf https://regulations.justia.com/regulations/fedreg/2020/02/20/2020-03325.html Notice - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Designation of a Longer Period for Commission Action on a Proposed Rule Change, as Modified by Amendment No. 1, To Amend Chapter One of the Listed Company Manual To Modify the Provisions Relating to Direct Listings 2020-02-20T00:00:00-08:00 2020-02-20T00:00:00-08:00 2020-03325 Notice https://www.govinfo.gov/content/pkg/FR-2020-02-20/pdf/2020-03325.pdf https://regulations.justia.com/regulations/fedreg/2020/02/20/2020-03324.html Notice - Self-Regulatory Organizations; The Nasdaq Stock Market LLC; Notice of Filing of Amendment No. 1 and Order Instituting Proceedings To Determine Whether To Approve or Disapprove a Proposed Rule Change, as Modified by Amendment No. 1, To Adopt Nasdaq Rule 5704 and Other Related Amendments 2020-02-20T00:00:00-08:00 2020-02-20T00:00:00-08:00 2020-03324 Notice https://www.govinfo.gov/content/pkg/FR-2020-02-20/pdf/2020-03324.pdf https://regulations.justia.com/regulations/fedreg/2020/02/20/2020-03323.html Notice - Self-Regulatory Organizations; Cboe BZX Exchange, Inc.; Notice of Designation of a Longer Period for Commission Action on a Proposed Rule Change To Adopt Rule 14.11(m), Portfolio Fund Shares, and To List and Trade Shares of the Fidelity Value ETF, Fidelity Growth ETF, and Fidelity Opportunistic ETF, Each a Series of the Fidelity Beach Street Trust, Under Proposed Rule 14.11(m) 2020-02-20T00:00:00-08:00 2020-02-20T00:00:00-08:00 2020-03323 Notice https://www.govinfo.gov/content/pkg/FR-2020-02-20/pdf/2020-03323.pdf https://regulations.justia.com/regulations/fedreg/2020/02/20/2020-03322.html Notice - Self-Regulatory Organizations; The Nasdaq Stock Market LLC; Notice of Filing of Proposed Rule Change To Assume Operational Responsibility for Certain Enforcement Functions Currently Performed by FINRA Under the Exchanges Authority and Supervision 2020-02-20T00:00:00-08:00 2020-02-20T00:00:00-08:00 2020-03322 Notice https://www.govinfo.gov/content/pkg/FR-2020-02-20/pdf/2020-03322.pdf https://regulations.justia.com/regulations/fedreg/2020/02/20/2020-03321.html Notice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Designation of a Longer Period for Commission Action on a Proposed Rule Change To Adopt NYSE Arca Rule 8.602-E To Permit the Listing and Trading of Actively Managed Solution Shares and To List and Trade Two Series of Actively Managed Solution Shares Issued by the American Century ETF Trust Under Proposed NYSE Arca Rule 8.602-E 2020-02-20T00:00:00-08:00 2020-02-20T00:00:00-08:00 2020-03321 Notice https://www.govinfo.gov/content/pkg/FR-2020-02-20/pdf/2020-03321.pdf https://regulations.justia.com/regulations/fedreg/2020/02/20/2020-03320.html Notice - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing of Amendment No. 3 and Order Granting Accelerated Approval of a Proposed Rule Change, as Modified by Amendment No. 3, To Amend the Definition of Family Member in Listing Rule 5605(a)(2) for Purposes of the Definition of Independent Director 2020-02-20T00:00:00-08:00 2020-02-20T00:00:00-08:00 2020-03320 Notice https://www.govinfo.gov/content/pkg/FR-2020-02-20/pdf/2020-03320.pdf https://regulations.justia.com/regulations/fedreg/2020/02/20/2020-03319.html Notice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing of Amendment No. 1 and Order Instituting Proceedings To Determine Whether To Approve or Disapprove a Proposed Rule Change, as Modified by Amendment No. 1, To Establish Generic Listing Standards for Derivative Securities Products That Are Permitted To Operate in Reliance on Rule 6c-11 Under the Investment Company Act of 1940 2020-02-20T00:00:00-08:00 2020-02-20T00:00:00-08:00 2020-03319 Notice https://www.govinfo.gov/content/pkg/FR-2020-02-20/pdf/2020-03319.pdf https://regulations.justia.com/regulations/fedreg/2020/02/20/2020-03318.html Notice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Designation of a Longer Period for Commission Action on a Proposed Rule Change To Adopt NYSE Arca Rule 8.602-E To Permit the Listing and Trading of Actively Managed Solution Shares and To List and Trade Shares of the Natixis ETF Under Proposed NYSE Arca Rule 8.602-E 2020-02-20T00:00:00-08:00 2020-02-20T00:00:00-08:00 2020-03318 Notice https://www.govinfo.gov/content/pkg/FR-2020-02-20/pdf/2020-03318.pdf https://regulations.justia.com/regulations/fedreg/2020/02/20/2020-03317.html Notice - Self-Regulatory Organizations; National Securities Clearing Corporation; Order Approving a Proposed Rule Change To Enhance National Securities Clearing Corporation's Haircut-Based Volatility Charge Applicable to Municipal Bonds 2020-02-20T00:00:00-08:00 2020-02-20T00:00:00-08:00 2020-03317 Notice https://www.govinfo.gov/content/pkg/FR-2020-02-20/pdf/2020-03317.pdf https://regulations.justia.com/regulations/fedreg/2020/02/20/2020-03316.html Notice - Self-Regulatory Organizations; Cboe BZX Exchange, Inc.; Notice of Withdrawal of a Proposed Rule Change, as Modified by Amendment No. 1, To List and Trade Shares of the iShares California Short Maturity Muni Bond ETF Under Rule 14.11(i) 2020-02-20T00:00:00-08:00 2020-02-20T00:00:00-08:00 2020-03316 Notice https://www.govinfo.gov/content/pkg/FR-2020-02-20/pdf/2020-03316.pdf https://regulations.justia.com/regulations/fedreg/2020/02/20/2020-03315.html Notice - Self-Regulatory Organizations; BOX Exchange LLC; Notice of Designation of Longer Period for Commission Action on a Proposed Rule Change in Connection With the Proposed Commencement of Operations of Boston Security Token Exchange LLC as a Facility of the Exchange 2020-02-20T00:00:00-08:00 2020-02-20T00:00:00-08:00 2020-03315 Notice https://www.govinfo.gov/content/pkg/FR-2020-02-20/pdf/2020-03315.pdf https://regulations.justia.com/regulations/fedreg/2020/02/20/2020-03314.html 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 2020-02-20T00:00:00-08:00 2020-02-20T00:00:00-08:00 2020-03314 Notice https://www.govinfo.gov/content/pkg/FR-2020-02-20/pdf/2020-03314.pdf