Federal Register Recent Federal Regulation Documents - Justia Regulation Tracker - Justia Regulations Tracker https://regulations.justia.com/regulations/fedreg/agencies/securities-and-exchange-commission/2020/03/19?limit=200&registers=between&mode=atom 2024-11-26T04:39:55-08:00 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/2020/03/19/2020-05710.html Notice - Investment Advisers Act of 1940; Order Under Section 206A of the Investment Advisers Act of 1940 Granting Exemptions From Specified Provisions of the Investment Advisers Act and Certain Rules Thereunder 2020-03-19T00:00:00-07:00 2020-03-19T00:00:00-07:00 2020-05710 Notice https://www.govinfo.gov/content/pkg/FR-2020-03-19/pdf/2020-05710.pdf https://regulations.justia.com/regulations/fedreg/2020/03/19/2020-05706.html Notice - Consolidated Tape Association; Order Approving the Thirty-First Substantive Amendment to the Second Restatement of the CTA Plan Regarding Publication of Trade Reports During Race Conditions 2020-03-19T00:00:00-07:00 2020-03-19T00:00:00-07:00 2020-05706 Notice https://www.govinfo.gov/content/pkg/FR-2020-03-19/pdf/2020-05706.pdf https://regulations.justia.com/regulations/fedreg/2020/03/19/2020-05705.html Notice - Investment Company Act of 1940; Order Under Section 6(C) and Section 38(A) of the Investment Company Act of 1940 Granting Exemptions From Specified Provisions of the Investment Company Act and Certain Rules Thereunder; Commission Statement Regarding Prospectus Delivery 2020-03-19T00:00:00-07:00 2020-03-19T00:00:00-07:00 2020-05705 Notice https://www.govinfo.gov/content/pkg/FR-2020-03-19/pdf/2020-05705.pdf https://regulations.justia.com/regulations/fedreg/2020/03/19/2020-05704.html Notice - Joint Industry Plan; Order Approving Forty-Fifth 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 2020-03-19T00:00:00-07:00 2020-03-19T00:00:00-07:00 2020-05704 Notice https://www.govinfo.gov/content/pkg/FR-2020-03-19/pdf/2020-05704.pdf https://regulations.justia.com/regulations/fedreg/2020/03/19/2020-05703.html Notice - Self-Regulatory Organizations; Cboe Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Rule 5.24 2020-03-19T00:00:00-07:00 2020-03-19T00:00:00-07:00 2020-05703 Notice https://www.govinfo.gov/content/pkg/FR-2020-03-19/pdf/2020-05703.pdf https://regulations.justia.com/regulations/fedreg/2020/03/19/2020-05697.html Notice - Self-Regulatory Organizations; Fixed Income Clearing Corporation; Notice of No Objection To Advance Notice To Amend the Mortgage-Backed Securities Division Stress Testing Methodology 2020-03-19T00:00:00-07:00 2020-03-19T00:00:00-07:00 2020-05697 Notice https://www.govinfo.gov/content/pkg/FR-2020-03-19/pdf/2020-05697.pdf https://regulations.justia.com/regulations/fedreg/2020/03/19/2020-05680.html Notice - Self-Regulatory Organizations; The Nasdaq Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Rule 4121 (Trading Halts Due to Extraordinary Market Volatility) 2020-03-19T00:00:00-07:00 2020-03-19T00:00:00-07:00 2020-05680 Notice https://www.govinfo.gov/content/pkg/FR-2020-03-19/pdf/2020-05680.pdf https://regulations.justia.com/regulations/fedreg/2020/03/19/2020-05679.html Notice - Self-Regulatory Organizations; The Depository Trust Company; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the DTC Fee Guide To Add Fees Relating to the Provision of Status Information for Institutional Transactions to a Matching Utility 2020-03-19T00:00:00-07:00 2020-03-19T00:00:00-07:00 2020-05679 Notice https://www.govinfo.gov/content/pkg/FR-2020-03-19/pdf/2020-05679.pdf https://regulations.justia.com/regulations/fedreg/2020/03/19/2020-05678.html Notice - Self-Regulatory Organizations; ICE Clear Credit LLC; Notice of Designation of Longer Period for Commission Action on Proposed Rule Change Relating to the ICC Risk Management Model Description, ICC Stress Testing Framework, ICC Liquidity Risk Management Framework, ICC Back-Testing Framework, and ICC Risk Parameter Setting and Review Policy 2020-03-19T00:00:00-07:00 2020-03-19T00:00:00-07:00 2020-05678 Notice https://www.govinfo.gov/content/pkg/FR-2020-03-19/pdf/2020-05678.pdf https://regulations.justia.com/regulations/fedreg/2020/03/19/2020-05677.html 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 AdvisorShares Pure US Cannabis ETF Under NYSE Arca Rule 8.600-E 2020-03-19T00:00:00-07:00 2020-03-19T00:00:00-07:00 2020-05677 Notice https://www.govinfo.gov/content/pkg/FR-2020-03-19/pdf/2020-05677.pdf https://regulations.justia.com/regulations/fedreg/2020/03/19/2020-05670.html Notice - Daxor Corporation; Notice of Application 2020-03-19T00:00:00-07:00 2020-03-19T00:00:00-07:00 2020-05670 Notice https://www.govinfo.gov/content/pkg/FR-2020-03-19/pdf/2020-05670.pdf