<![CDATA[Federal Register Recent Federal Regulation Documents - Justia Regulation Tracker - Justia Regulations Tracker]]> https://regulations.justia.com/regulations/fedreg/agencies/securities-and-exchange-commission/2020/04/09?registers=between Sun, 12 May 2024 14:04:09 -0700 Sun, 12 May 2024 14:04:09 -0700 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/2020/04/09?registers=between Notice - Self-Regulatory Organizations; Cboe BZX Exchange, Inc.; Order Approving a Proposed Rule Change, as Modified by Amendment No. 1, To Eliminate the Requirement That an Intraday Indicative Value Be Disseminated as Set Forth Under Rule 14.11(c) for Certain Series of Index Fund Shares and Under Rule 14.11(i) for All Series of Managed Fund Shares https://regulations.justia.com/regulations/fedreg/2020/04/09/2020-07446.html https://regulations.justia.com/regulations/fedreg/2020/04/09/2020-07446.html Thu, 09 Apr 2020 00:00:00 -0700 2020-07446 Notice https://www.govinfo.gov/content/pkg/FR-2020-04-09/pdf/2020-07446.pdf Notice - Self-Regulatory Organizations; BOX Exchange LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the Fee Schedule on the BOX Options Market LLC (“BOX”) Facility To Reflect Certain Pricing Changes That Will Be in Effect While the BOX Trading Floor Is Inoperable https://regulations.justia.com/regulations/fedreg/2020/04/09/2020-07445.html https://regulations.justia.com/regulations/fedreg/2020/04/09/2020-07445.html Thu, 09 Apr 2020 00:00:00 -0700 2020-07445 Notice https://www.govinfo.gov/content/pkg/FR-2020-04-09/pdf/2020-07445.pdf Notice - Self-Regulatory Organizations; Cboe BZX Exchange, Inc.; Notice of Filing of a Proposed Rule Change To List and Trade Shares of the JPMorgan Large Cap Growth ETF Under Rule 14.11(k), Managed Portfolio Shares https://regulations.justia.com/regulations/fedreg/2020/04/09/2020-07444.html https://regulations.justia.com/regulations/fedreg/2020/04/09/2020-07444.html Thu, 09 Apr 2020 00:00:00 -0700 2020-07444 Notice https://www.govinfo.gov/content/pkg/FR-2020-04-09/pdf/2020-07444.pdf Notice - Self-Regulatory Organizations; The Nasdaq Stock Market LLC; Notice of Filing of Amendment No. 4 and Order Granting Accelerated Approval of a Proposed Rule Change, as Modified by Amendment No. 4, To Adopt Nasdaq Rule 5704 Governing the Listing and Trading of Exchange Traded Fund Shares https://regulations.justia.com/regulations/fedreg/2020/04/09/2020-07440.html https://regulations.justia.com/regulations/fedreg/2020/04/09/2020-07440.html Thu, 09 Apr 2020 00:00:00 -0700 2020-07440 Notice https://www.govinfo.gov/content/pkg/FR-2020-04-09/pdf/2020-07440.pdf Notice - Self-Regulatory Organizations; MIAX PEARL, LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Fee Schedule https://regulations.justia.com/regulations/fedreg/2020/04/09/2020-07439.html https://regulations.justia.com/regulations/fedreg/2020/04/09/2020-07439.html Thu, 09 Apr 2020 00:00:00 -0700 2020-07439 Notice https://www.govinfo.gov/content/pkg/FR-2020-04-09/pdf/2020-07439.pdf Notice - Self-Regulatory Organizations; Fixed Income Clearing Corporation; Notice of Filing of Proposed Rule Change To Amend the Government Securities Division Rulebook Relating to the Legal Entity Identifier Requirement https://regulations.justia.com/regulations/fedreg/2020/04/09/2020-07437.html https://regulations.justia.com/regulations/fedreg/2020/04/09/2020-07437.html Thu, 09 Apr 2020 00:00:00 -0700 2020-07437 Notice https://www.govinfo.gov/content/pkg/FR-2020-04-09/pdf/2020-07437.pdf Notice - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Extend the Compliance Date for SR-FINRA-2019-014 https://regulations.justia.com/regulations/fedreg/2020/04/09/2020-07436.html https://regulations.justia.com/regulations/fedreg/2020/04/09/2020-07436.html Thu, 09 Apr 2020 00:00:00 -0700 2020-07436 Notice https://www.govinfo.gov/content/pkg/FR-2020-04-09/pdf/2020-07436.pdf Notice - Self-Regulatory Organizations; MIAX Emerald, LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Fee Schedule https://regulations.justia.com/regulations/fedreg/2020/04/09/2020-07435.html https://regulations.justia.com/regulations/fedreg/2020/04/09/2020-07435.html Thu, 09 Apr 2020 00:00:00 -0700 2020-07435 Notice https://www.govinfo.gov/content/pkg/FR-2020-04-09/pdf/2020-07435.pdf Notice - Self-Regulatory Organizations; Cboe EDGX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Expand the Trading Hours Applicable to Managed Portfolio Shares To Include All Trading Sessions https://regulations.justia.com/regulations/fedreg/2020/04/09/2020-07434.html https://regulations.justia.com/regulations/fedreg/2020/04/09/2020-07434.html Thu, 09 Apr 2020 00:00:00 -0700 2020-07434 Notice https://www.govinfo.gov/content/pkg/FR-2020-04-09/pdf/2020-07434.pdf Notice - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Add Commentary .03 to Rule 7.35C https://regulations.justia.com/regulations/fedreg/2020/04/09/2020-07433.html https://regulations.justia.com/regulations/fedreg/2020/04/09/2020-07433.html Thu, 09 Apr 2020 00:00:00 -0700 2020-07433 Notice https://www.govinfo.gov/content/pkg/FR-2020-04-09/pdf/2020-07433.pdf Notice - Self-Regulatory Organizations; Cboe EDGA Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Expand the Trading Hours Applicable to Managed Portfolio Shares To Include All Trading Sessions https://regulations.justia.com/regulations/fedreg/2020/04/09/2020-07432.html https://regulations.justia.com/regulations/fedreg/2020/04/09/2020-07432.html Thu, 09 Apr 2020 00:00:00 -0700 2020-07432 Notice https://www.govinfo.gov/content/pkg/FR-2020-04-09/pdf/2020-07432.pdf Rule - Accelerated Filer and Large Accelerated Filer Definitions; Correction https://regulations.justia.com/regulations/fedreg/2020/04/09/2020-06926.html https://regulations.justia.com/regulations/fedreg/2020/04/09/2020-06926.html Thu, 09 Apr 2020 00:00:00 -0700 2020-06926 Rule https://www.govinfo.gov/content/pkg/FR-2020-04-09/pdf/2020-06926.pdf