Securities and Exchange Commission March 6, 2020 – Federal Register Recent Federal Regulation Documents

Results 1 - 7 of 7
Sunshine Act Meetings
Document Number: 2020-04752
Type: Notice
Date: 2020-03-06
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2020/03/06/2020-04752.html
Sunshine Act Meeting; Cancellation
Document Number: 2020-04717
Type: Notice
Date: 2020-03-06
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2020/03/06/2020-04717.html
Self-Regulatory Organizations; The Options Clearing Corporation; Order Approving Proposed Rule Change To Modify the Fees for Exercise Notices Submitted After the Deadlines and To Change the Deadline for Submitting a Late Exercise Notice on Non-Expiration Dates
Document Number: 2020-04576
Type: Notice
Date: 2020-03-06
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2020/03/06/2020-04576.html
Self-Regulatory Organizations; Cboe EDGX Exchange, Inc.; Notice of Filing of a Proposed Rule Change To Amend EDGX Rule 11.8(g), Which Describes the Handling of Midpoint Discretionary Orders Entered on the Exchange
Document Number: 2020-04575
Type: Notice
Date: 2020-03-06
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2020/03/06/2020-04575.html
Self-Regulatory Organizations; ICE Clear Europe Limited; Notice of Filing of Proposed Rule Change, Security-Based Swap Submission or Advance Notice Relating to the ICE Clear Europe Rules and Procedures
Document Number: 2020-04574
Type: Notice
Date: 2020-03-06
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2020/03/06/2020-04574.html
Request for Comments on Fund Names
Document Number: 2020-04573
Type: Notice
Date: 2020-03-06
Agency: Securities and Exchange Commission, Agencies and Commissions
The Securities and Exchange Commission is seeking public comment on the framework for addressing names of registered investment companies and business development companies that are likely to mislead investors about a fund's investments and risks pursuant to section 35(d) of the Investment Company Act of 1940, rule 35d-1 thereunder, and the antifraud provisions of the Federal securities laws. The Commission is seeking public comment particularly in light of market and other developments since the adoption of rule 35d-1 in 2001.
https://regulations.justia.com/regulations/fedreg/2020/03/06/2020-04573.html
Self-Regulatory Organizations; BOX Exchange LLC; Notice of Filing of Amendment No. 2 to Proposed Rule Change To Adopt Rules Governing the Trading of Equity Securities on the Exchange Through a Facility of the Exchange Known as the Boston Security Token Exchange LLC
Document Number: 2020-04470
Type: Notice
Date: 2020-03-06
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2020/03/06/2020-04470.html
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