<![CDATA[Federal Register Recent Federal Regulation Documents - Justia Regulation Tracker - Justia Regulations Tracker]]> https://regulations.justia.com/regulations/fedreg/agencies/securities-and-exchange-commission/2020/04/02?registers=between Fri, 22 Nov 2024 18:50:33 -0800 Fri, 22 Nov 2024 18:50:33 -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/2020/04/02?registers=between Notice - Self-Regulatory Organizations; Nasdaq PHLX LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Phlx Rule 3312 https://regulations.justia.com/regulations/fedreg/2020/04/02/2020-06858.html https://regulations.justia.com/regulations/fedreg/2020/04/02/2020-06858.html Thu, 02 Apr 2020 00:00:00 -0700 2020-06858 Notice https://www.govinfo.gov/content/pkg/FR-2020-04-02/pdf/2020-06858.pdf Notice - Self-Regulatory Organizations; Cboe Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating To Amend Rule 6.6 in Connection With Updates Permitted Through the Clearing Editor https://regulations.justia.com/regulations/fedreg/2020/04/02/2020-06857.html https://regulations.justia.com/regulations/fedreg/2020/04/02/2020-06857.html Thu, 02 Apr 2020 00:00:00 -0700 2020-06857 Notice https://www.govinfo.gov/content/pkg/FR-2020-04-02/pdf/2020-06857.pdf Notice - Self-Regulatory Organizations; Investors Exchange LLC; Order Instituting Proceedings To Determine Whether To Approve or Disapprove a Proposed Rule Change To Add a New Discretionary Limit Order Type Called D-Limit https://regulations.justia.com/regulations/fedreg/2020/04/02/2020-06856.html https://regulations.justia.com/regulations/fedreg/2020/04/02/2020-06856.html Thu, 02 Apr 2020 00:00:00 -0700 2020-06856 Notice https://www.govinfo.gov/content/pkg/FR-2020-04-02/pdf/2020-06856.pdf Notice - Self-Regulatory Organizations; Cboe BZX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to Extend the Current Pilot Program Related to BZX Rule 11.17, Clearly Erroneous Executions, to the Close of Business on October 20, 2020 https://regulations.justia.com/regulations/fedreg/2020/04/02/2020-06855.html https://regulations.justia.com/regulations/fedreg/2020/04/02/2020-06855.html Thu, 02 Apr 2020 00:00:00 -0700 2020-06855 Notice https://www.govinfo.gov/content/pkg/FR-2020-04-02/pdf/2020-06855.pdf Notice - Self-Regulatory Organizations; Nasdaq BX, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Extend the Current Pilot Program Related to BX Rule 11890 https://regulations.justia.com/regulations/fedreg/2020/04/02/2020-06854.html https://regulations.justia.com/regulations/fedreg/2020/04/02/2020-06854.html Thu, 02 Apr 2020 00:00:00 -0700 2020-06854 Notice https://www.govinfo.gov/content/pkg/FR-2020-04-02/pdf/2020-06854.pdf Notice - Self-Regulatory Organizations; The Nasdaq Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Extend the Current Pilot Program Related to Nasdaq Rule 11890 by Six Months https://regulations.justia.com/regulations/fedreg/2020/04/02/2020-06853.html https://regulations.justia.com/regulations/fedreg/2020/04/02/2020-06853.html Thu, 02 Apr 2020 00:00:00 -0700 2020-06853 Notice https://www.govinfo.gov/content/pkg/FR-2020-04-02/pdf/2020-06853.pdf Notice - Self-Regulatory Organizations; Cboe EDGX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Extend the Current Pilot Program Related to EDGX Rule 11.15, Clearly Erroneous Executions, to the Close of Business on October 20, 2020 https://regulations.justia.com/regulations/fedreg/2020/04/02/2020-06852.html https://regulations.justia.com/regulations/fedreg/2020/04/02/2020-06852.html Thu, 02 Apr 2020 00:00:00 -0700 2020-06852 Notice https://www.govinfo.gov/content/pkg/FR-2020-04-02/pdf/2020-06852.pdf Notice - Self-Regulatory Organizations; Cboe BYX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Extend the Current Pilot Program Related to BYX Rule 11.17, Clearly Erroneous Executions, to the Close of Business on October 20, 2020 https://regulations.justia.com/regulations/fedreg/2020/04/02/2020-06851.html https://regulations.justia.com/regulations/fedreg/2020/04/02/2020-06851.html Thu, 02 Apr 2020 00:00:00 -0700 2020-06851 Notice https://www.govinfo.gov/content/pkg/FR-2020-04-02/pdf/2020-06851.pdf Notice - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Extend the Pilot Program Related to FINRA Rule 11892 (Clearly Erroneous Transactions in Exchange-Listed Securities) https://regulations.justia.com/regulations/fedreg/2020/04/02/2020-06850.html https://regulations.justia.com/regulations/fedreg/2020/04/02/2020-06850.html Thu, 02 Apr 2020 00:00:00 -0700 2020-06850 Notice https://www.govinfo.gov/content/pkg/FR-2020-04-02/pdf/2020-06850.pdf Notice - Self-Regulatory Organizations; National Securities Clearing Corporation; Order Approving a Proposed Rule Change To Enhance the Calculation of the Family-Issued Securities Charge https://regulations.justia.com/regulations/fedreg/2020/04/02/2020-06849.html https://regulations.justia.com/regulations/fedreg/2020/04/02/2020-06849.html Thu, 02 Apr 2020 00:00:00 -0700 2020-06849 Notice https://www.govinfo.gov/content/pkg/FR-2020-04-02/pdf/2020-06849.pdf Notice - Self-Regulatory Organizations; Cboe EDGA Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Extend the Current Pilot Program Related to EDGA Rule 11.15, Clearly Erroneous Executions, to the Close of Business on October 20, 2020 https://regulations.justia.com/regulations/fedreg/2020/04/02/2020-06848.html https://regulations.justia.com/regulations/fedreg/2020/04/02/2020-06848.html Thu, 02 Apr 2020 00:00:00 -0700 2020-06848 Notice https://www.govinfo.gov/content/pkg/FR-2020-04-02/pdf/2020-06848.pdf Notice - In the Matter of the BOX Exchange LLC Regarding Proposed Rule Changes To Amend the Fee Schedule on the BOX Market LLC Options Facility To Establish BOX Connectivity Fees for Participants and Non-Participants Who Connect to the BOX Network (File Nos. SR-BOX-2018-24, SR-BOX-2018-37, and SR-BOX-2019-04); Order Affirming Action by Delegated Authority and Disapproving Proposed Rule Changes Related to Connectivity and Port Fee https://regulations.justia.com/regulations/fedreg/2020/04/02/2020-06837.html https://regulations.justia.com/regulations/fedreg/2020/04/02/2020-06837.html Thu, 02 Apr 2020 00:00:00 -0700 2020-06837 Notice https://www.govinfo.gov/content/pkg/FR-2020-04-02/pdf/2020-06837.pdf