<![CDATA[Federal Register Recent Federal Regulation Documents - Justia Regulation Tracker - Justia Regulations Tracker]]> https://regulations.justia.com/regulations/fedreg/agencies/securities-and-exchange-commission/2020/03/19?registers=between Tue, 26 Nov 2024 04:26:27 -0800 Tue, 26 Nov 2024 04:26:27 -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/2020/03/19?registers=between 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 https://regulations.justia.com/regulations/fedreg/2020/03/19/2020-05710.html https://regulations.justia.com/regulations/fedreg/2020/03/19/2020-05710.html Thu, 19 Mar 2020 00:00:00 -0700 2020-05710 Notice https://www.govinfo.gov/content/pkg/FR-2020-03-19/pdf/2020-05710.pdf 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 https://regulations.justia.com/regulations/fedreg/2020/03/19/2020-05706.html https://regulations.justia.com/regulations/fedreg/2020/03/19/2020-05706.html Thu, 19 Mar 2020 00:00:00 -0700 2020-05706 Notice https://www.govinfo.gov/content/pkg/FR-2020-03-19/pdf/2020-05706.pdf 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 https://regulations.justia.com/regulations/fedreg/2020/03/19/2020-05705.html https://regulations.justia.com/regulations/fedreg/2020/03/19/2020-05705.html Thu, 19 Mar 2020 00:00:00 -0700 2020-05705 Notice https://www.govinfo.gov/content/pkg/FR-2020-03-19/pdf/2020-05705.pdf 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 https://regulations.justia.com/regulations/fedreg/2020/03/19/2020-05704.html https://regulations.justia.com/regulations/fedreg/2020/03/19/2020-05704.html Thu, 19 Mar 2020 00:00:00 -0700 2020-05704 Notice https://www.govinfo.gov/content/pkg/FR-2020-03-19/pdf/2020-05704.pdf Notice - Self-Regulatory Organizations; Cboe Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Rule 5.24 https://regulations.justia.com/regulations/fedreg/2020/03/19/2020-05703.html https://regulations.justia.com/regulations/fedreg/2020/03/19/2020-05703.html Thu, 19 Mar 2020 00:00:00 -0700 2020-05703 Notice https://www.govinfo.gov/content/pkg/FR-2020-03-19/pdf/2020-05703.pdf 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 https://regulations.justia.com/regulations/fedreg/2020/03/19/2020-05697.html https://regulations.justia.com/regulations/fedreg/2020/03/19/2020-05697.html Thu, 19 Mar 2020 00:00:00 -0700 2020-05697 Notice https://www.govinfo.gov/content/pkg/FR-2020-03-19/pdf/2020-05697.pdf 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) https://regulations.justia.com/regulations/fedreg/2020/03/19/2020-05680.html https://regulations.justia.com/regulations/fedreg/2020/03/19/2020-05680.html Thu, 19 Mar 2020 00:00:00 -0700 2020-05680 Notice https://www.govinfo.gov/content/pkg/FR-2020-03-19/pdf/2020-05680.pdf 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 https://regulations.justia.com/regulations/fedreg/2020/03/19/2020-05679.html https://regulations.justia.com/regulations/fedreg/2020/03/19/2020-05679.html Thu, 19 Mar 2020 00:00:00 -0700 2020-05679 Notice https://www.govinfo.gov/content/pkg/FR-2020-03-19/pdf/2020-05679.pdf 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 https://regulations.justia.com/regulations/fedreg/2020/03/19/2020-05678.html https://regulations.justia.com/regulations/fedreg/2020/03/19/2020-05678.html Thu, 19 Mar 2020 00:00:00 -0700 2020-05678 Notice https://www.govinfo.gov/content/pkg/FR-2020-03-19/pdf/2020-05678.pdf 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 https://regulations.justia.com/regulations/fedreg/2020/03/19/2020-05677.html https://regulations.justia.com/regulations/fedreg/2020/03/19/2020-05677.html Thu, 19 Mar 2020 00:00:00 -0700 2020-05677 Notice https://www.govinfo.gov/content/pkg/FR-2020-03-19/pdf/2020-05677.pdf Notice - Daxor Corporation; Notice of Application https://regulations.justia.com/regulations/fedreg/2020/03/19/2020-05670.html https://regulations.justia.com/regulations/fedreg/2020/03/19/2020-05670.html Thu, 19 Mar 2020 00:00:00 -0700 2020-05670 Notice https://www.govinfo.gov/content/pkg/FR-2020-03-19/pdf/2020-05670.pdf