<![CDATA[Federal Register Recent Federal Regulation Documents - Justia Regulation Tracker - Justia Regulations Tracker]]> https://regulations.justia.com/regulations/fedreg/agencies/securities-and-exchange-commission/2020/03/11?registers=between Tue, 26 Nov 2024 04:42:04 -0800 Tue, 26 Nov 2024 04:42:04 -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/securities-and-exchange-commission/2020/03/11?registers=between Notice - Sunshine Act Meeting; Cancellation https://regulations.justia.com/regulations/fedreg/2020/03/11/2020-05100.html https://regulations.justia.com/regulations/fedreg/2020/03/11/2020-05100.html Wed, 11 Mar 2020 00:00:00 -0700 2020-05100 Notice https://www.govinfo.gov/content/pkg/FR-2020-03-11/pdf/2020-05100.pdf Notice - Proposed Collection; Comment Request https://regulations.justia.com/regulations/fedreg/2020/03/11/2020-04951.html https://regulations.justia.com/regulations/fedreg/2020/03/11/2020-04951.html Wed, 11 Mar 2020 00:00:00 -0700 2020-04951 Notice https://www.govinfo.gov/content/pkg/FR-2020-03-11/pdf/2020-04951.pdf Notice - Proposed Collection; Comment Request https://regulations.justia.com/regulations/fedreg/2020/03/11/2020-04950.html https://regulations.justia.com/regulations/fedreg/2020/03/11/2020-04950.html Wed, 11 Mar 2020 00:00:00 -0700 2020-04950 Notice https://www.govinfo.gov/content/pkg/FR-2020-03-11/pdf/2020-04950.pdf Notice - Submission for OMB Review; Comment Request https://regulations.justia.com/regulations/fedreg/2020/03/11/2020-04949.html https://regulations.justia.com/regulations/fedreg/2020/03/11/2020-04949.html Wed, 11 Mar 2020 00:00:00 -0700 2020-04949 Notice https://www.govinfo.gov/content/pkg/FR-2020-03-11/pdf/2020-04949.pdf Notice - Submission for OMB Review; Comment Request https://regulations.justia.com/regulations/fedreg/2020/03/11/2020-04948.html https://regulations.justia.com/regulations/fedreg/2020/03/11/2020-04948.html Wed, 11 Mar 2020 00:00:00 -0700 2020-04948 Notice https://www.govinfo.gov/content/pkg/FR-2020-03-11/pdf/2020-04948.pdf Notice - Submission for OMB Review; Comment Request https://regulations.justia.com/regulations/fedreg/2020/03/11/2020-04947.html https://regulations.justia.com/regulations/fedreg/2020/03/11/2020-04947.html Wed, 11 Mar 2020 00:00:00 -0700 2020-04947 Notice https://www.govinfo.gov/content/pkg/FR-2020-03-11/pdf/2020-04947.pdf Notice - Proposed Collection; Comment Request https://regulations.justia.com/regulations/fedreg/2020/03/11/2020-04946.html https://regulations.justia.com/regulations/fedreg/2020/03/11/2020-04946.html Wed, 11 Mar 2020 00:00:00 -0700 2020-04946 Notice https://www.govinfo.gov/content/pkg/FR-2020-03-11/pdf/2020-04946.pdf Notice - Submission for OMB Review; Comment Request https://regulations.justia.com/regulations/fedreg/2020/03/11/2020-04945.html https://regulations.justia.com/regulations/fedreg/2020/03/11/2020-04945.html Wed, 11 Mar 2020 00:00:00 -0700 2020-04945 Notice https://www.govinfo.gov/content/pkg/FR-2020-03-11/pdf/2020-04945.pdf Notice - Proposed Collection; Comment Request https://regulations.justia.com/regulations/fedreg/2020/03/11/2020-04944.html https://regulations.justia.com/regulations/fedreg/2020/03/11/2020-04944.html Wed, 11 Mar 2020 00:00:00 -0700 2020-04944 Notice https://www.govinfo.gov/content/pkg/FR-2020-03-11/pdf/2020-04944.pdf Notice - Proposed Collection; Comment Request https://regulations.justia.com/regulations/fedreg/2020/03/11/2020-04943.html https://regulations.justia.com/regulations/fedreg/2020/03/11/2020-04943.html Wed, 11 Mar 2020 00:00:00 -0700 2020-04943 Notice https://www.govinfo.gov/content/pkg/FR-2020-03-11/pdf/2020-04943.pdf Notice - Self-Regulatory Organizations; ICE Clear Credit LLC; Order Approving Proposed Rule Change Relating To Revising the ICC Clearing Rules To Consider the Possibility of ICC Receiving Proceeds From Default Insurance https://regulations.justia.com/regulations/fedreg/2020/03/11/2020-04920.html https://regulations.justia.com/regulations/fedreg/2020/03/11/2020-04920.html Wed, 11 Mar 2020 00:00:00 -0700 2020-04920 Notice https://www.govinfo.gov/content/pkg/FR-2020-03-11/pdf/2020-04920.pdf Notice - Self-Regulatory Organizations; Nasdaq BX, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Correct and Clarify Rules 4702(b)(3)(B) and 4703(d) https://regulations.justia.com/regulations/fedreg/2020/03/11/2020-04913.html https://regulations.justia.com/regulations/fedreg/2020/03/11/2020-04913.html Wed, 11 Mar 2020 00:00:00 -0700 2020-04913 Notice https://www.govinfo.gov/content/pkg/FR-2020-03-11/pdf/2020-04913.pdf Notice - Two Sigma Investments, LP and Two Sigma Luna, LLC https://regulations.justia.com/regulations/fedreg/2020/03/11/2020-04912.html https://regulations.justia.com/regulations/fedreg/2020/03/11/2020-04912.html Wed, 11 Mar 2020 00:00:00 -0700 2020-04912 Notice https://www.govinfo.gov/content/pkg/FR-2020-03-11/pdf/2020-04912.pdf Notice - Self-Regulatory Organizations; NYSE Chicago, Inc.; Notice of Designation of Longer Period for Commission Action on Proposed Rule Change, as Modified by Amendment No. 1, To Amend the Rule 6.6800 Series, the Exchange's Compliance Rule Regarding the National Market System Plan Governing the Consolidated Audit Trail https://regulations.justia.com/regulations/fedreg/2020/03/11/2020-04911.html https://regulations.justia.com/regulations/fedreg/2020/03/11/2020-04911.html Wed, 11 Mar 2020 00:00:00 -0700 2020-04911 Notice https://www.govinfo.gov/content/pkg/FR-2020-03-11/pdf/2020-04911.pdf Notice - Self-Regulatory Organizations; NYSE National, Inc.; Notice of Designation of Longer Period for Commission Action on Proposed Rule Change To Amend the Rule 6.6800 Series, the Exchange's Compliance Rule Regarding the National Market System Plan Governing the Consolidated Audit Trail https://regulations.justia.com/regulations/fedreg/2020/03/11/2020-04910.html https://regulations.justia.com/regulations/fedreg/2020/03/11/2020-04910.html Wed, 11 Mar 2020 00:00:00 -0700 2020-04910 Notice https://www.govinfo.gov/content/pkg/FR-2020-03-11/pdf/2020-04910.pdf Notice - Self-Regulatory Organizations; NYSE American LLC; Notice of Designation of Longer Period for Commission Action on Proposed Rule Change To Amend the Rule 6800 Series, the Exchange's Compliance Rule Regarding the National Market System Plan Governing the Consolidated Audit Trail https://regulations.justia.com/regulations/fedreg/2020/03/11/2020-04909.html https://regulations.justia.com/regulations/fedreg/2020/03/11/2020-04909.html Wed, 11 Mar 2020 00:00:00 -0700 2020-04909 Notice https://www.govinfo.gov/content/pkg/FR-2020-03-11/pdf/2020-04909.pdf Notice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Designation of Longer Period for Commission Action on Proposed Rule Change To Amend the Rule 11.6800 Series, the Exchange's Compliance Rule Regarding the National Market System Plan Governing the Consolidated Audit Trail https://regulations.justia.com/regulations/fedreg/2020/03/11/2020-04908.html https://regulations.justia.com/regulations/fedreg/2020/03/11/2020-04908.html Wed, 11 Mar 2020 00:00:00 -0700 2020-04908 Notice https://www.govinfo.gov/content/pkg/FR-2020-03-11/pdf/2020-04908.pdf Notice - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Designation of Longer Period for Commission Action on Proposed Rule Change To Amend the Rule 6800 Series, the Exchange's Compliance Rule Regarding the National Market System Plan Governing the Consolidated Audit Trail https://regulations.justia.com/regulations/fedreg/2020/03/11/2020-04907.html https://regulations.justia.com/regulations/fedreg/2020/03/11/2020-04907.html Wed, 11 Mar 2020 00:00:00 -0700 2020-04907 Notice https://www.govinfo.gov/content/pkg/FR-2020-03-11/pdf/2020-04907.pdf Notice - Self-Regulatory Organizations; Cboe EDGX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend its Fee Schedule https://regulations.justia.com/regulations/fedreg/2020/03/11/2020-04906.html https://regulations.justia.com/regulations/fedreg/2020/03/11/2020-04906.html Wed, 11 Mar 2020 00:00:00 -0700 2020-04906 Notice https://www.govinfo.gov/content/pkg/FR-2020-03-11/pdf/2020-04906.pdf Notice - Self-Regulatory Organizations; Cboe EDGA Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the Fee Schedule Applicable to Members and Non-Members of the Exchange Pursuant to EDGA Rules 15.1(a) and (c) https://regulations.justia.com/regulations/fedreg/2020/03/11/2020-04905.html https://regulations.justia.com/regulations/fedreg/2020/03/11/2020-04905.html Wed, 11 Mar 2020 00:00:00 -0700 2020-04905 Notice https://www.govinfo.gov/content/pkg/FR-2020-03-11/pdf/2020-04905.pdf Notice - Self-Regulatory Organizations; Cboe EDGA Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Adopt the Dark Routing Technique Routing Option; To Eliminate References to the ROUD, ROUE, and ROUQ Routing Options; and To Reflect Additional Routing Strategies for Which the Exchange May Route Orders With a Short Sale Instruction https://regulations.justia.com/regulations/fedreg/2020/03/11/2020-04904.html https://regulations.justia.com/regulations/fedreg/2020/03/11/2020-04904.html Wed, 11 Mar 2020 00:00:00 -0700 2020-04904 Notice https://www.govinfo.gov/content/pkg/FR-2020-03-11/pdf/2020-04904.pdf Notice - Self-Regulatory Organizations; The Nasdaq Stock Market LLC; Notice of Designation of Longer Period for Commission Action on Proposed Rule Change To Modify the Delisting Process for Securities With a Bid Price Below $0.10 and for Securities That Have Had One or More Reverse Stock Splits With a Cumulative Ratio of 250 or More to One Over the Prior Two-Year Period https://regulations.justia.com/regulations/fedreg/2020/03/11/2020-04903.html https://regulations.justia.com/regulations/fedreg/2020/03/11/2020-04903.html Wed, 11 Mar 2020 00:00:00 -0700 2020-04903 Notice https://www.govinfo.gov/content/pkg/FR-2020-03-11/pdf/2020-04903.pdf Notice - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Modify the Trade Reporting Fees Applicable to the FINRA/NYSE Trade Reporting Facility https://regulations.justia.com/regulations/fedreg/2020/03/11/2020-04902.html https://regulations.justia.com/regulations/fedreg/2020/03/11/2020-04902.html Wed, 11 Mar 2020 00:00:00 -0700 2020-04902 Notice https://www.govinfo.gov/content/pkg/FR-2020-03-11/pdf/2020-04902.pdf