Federal Register Recent Federal Regulation Documents - Justia Regulation Tracker - Justia Regulations Tracker https://regulations.justia.com/regulations/fedreg/agencies/securities-and-exchange-commission/2020/04/24?limit=200&registers=between&mode=atom 2024-11-26T02:20:03-08:00 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/2020/04/24/2020-08705.html Notice - Order Granting Conditional Exemptive Relief, Pursuant to Section 36 of the Securities Exchange Act of 1934 (“Exchange Act”) and Rule 608(e) of Regulation NMS Under the Exchange Act, From Sections 6.4, 6.7(a)(v) and 6.7(a)(vi) of the National Market System Plan Governing the Consolidated Audit Trail 2020-04-24T00:00:00-07:00 2020-04-24T00:00:00-07:00 2020-08705 Notice https://www.govinfo.gov/content/pkg/FR-2020-04-24/pdf/2020-08705.pdf https://regulations.justia.com/regulations/fedreg/2020/04/24/2020-08704.html Notice - Order Granting Limited Exemptive Relief, Pursuant to Section 36 of the Securities Exchange Act of 1934 (“Exchange Act”) and Rule 608(e) of Regulation NMS Under the Exchange Act, Related to Certain Introducing Brokers, From the Requirements of the National Market System Plan Governing the Consolidated Audit Trail 2020-04-24T00:00:00-07:00 2020-04-24T00:00:00-07:00 2020-08704 Notice https://www.govinfo.gov/content/pkg/FR-2020-04-24/pdf/2020-08704.pdf https://regulations.justia.com/regulations/fedreg/2020/04/24/2020-08701.html Notice - Self-Regulatory Organizations; New York Stock Exchange LLC; Order Instituting Proceedings To Determine Whether To Approve or Disapprove a Proposed Rule Change To Amend the NYSE Rule 6800 Series, the Exchange's Compliance Rule Regarding the National Market System Plan Governing the Consolidated Audit Trail 2020-04-24T00:00:00-07:00 2020-04-24T00:00:00-07:00 2020-08701 Notice https://www.govinfo.gov/content/pkg/FR-2020-04-24/pdf/2020-08701.pdf https://regulations.justia.com/regulations/fedreg/2020/04/24/2020-08700.html Notice - Self-Regulatory Organizations; NYSE American LLC; Order Instituting Proceedings To Determine Whether To Approve or Disapprove a Proposed Rule Change To Amend the NYSE American Rule 6800 Series, the Exchange's Compliance Rule Regarding the National Market System Plan Governing the Consolidated Audit Trail 2020-04-24T00:00:00-07:00 2020-04-24T00:00:00-07:00 2020-08700 Notice https://www.govinfo.gov/content/pkg/FR-2020-04-24/pdf/2020-08700.pdf https://regulations.justia.com/regulations/fedreg/2020/04/24/2020-08699.html Notice - Self-Regulatory Organizations; NYSE Chicago, Inc.; Order Instituting Proceedings To Determine Whether To Approve or Disapprove a Proposed Rule Change, as Modified by Amendment No. 1, To Amend the NYSE Chicago Rule 6.6800 Series, the Exchange's Compliance Rule Regarding the National Market System Plan Governing the Consolidated Audit Trail 2020-04-24T00:00:00-07:00 2020-04-24T00:00:00-07:00 2020-08699 Notice https://www.govinfo.gov/content/pkg/FR-2020-04-24/pdf/2020-08699.pdf https://regulations.justia.com/regulations/fedreg/2020/04/24/2020-08698.html Notice - Self-Regulatory Organizations; NYSE National, Inc.; Order Instituting Proceedings To Determine Whether To Approve or Disapprove a Proposed Rule Change To Amend the NYSE National Rule 6.6800 Series, the Exchange's Compliance Rule Regarding the National Market System Plan Governing the Consolidated Audit Trail 2020-04-24T00:00:00-07:00 2020-04-24T00:00:00-07:00 2020-08698 Notice https://www.govinfo.gov/content/pkg/FR-2020-04-24/pdf/2020-08698.pdf https://regulations.justia.com/regulations/fedreg/2020/04/24/2020-08697.html Notice - Self-Regulatory Organizations; NYSE Arca, Inc.; Order Instituting Proceedings To Determine Whether To Approve or Disapprove a Proposed Rule Change To Amend the NYSE Arca Rule 11.6800 Series, the Exchange's Compliance Rule Regarding the National Market System Plan Governing the Consolidated Audit Trail 2020-04-24T00:00:00-07:00 2020-04-24T00:00:00-07:00 2020-08697 Notice https://www.govinfo.gov/content/pkg/FR-2020-04-24/pdf/2020-08697.pdf https://regulations.justia.com/regulations/fedreg/2020/04/24/2020-08696.html Notice - Self-Regulatory Organizations; Municipal Securities Rulemaking Board; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Provide Dealers and Municipal Advisors Additional Time To Comply With Certain Obligations for a Temporary Period of Time and Temporarily Suspend Late Fees on Payments Owed to the MSRB 2020-04-24T00:00:00-07:00 2020-04-24T00:00:00-07:00 2020-08696 Notice https://www.govinfo.gov/content/pkg/FR-2020-04-24/pdf/2020-08696.pdf https://regulations.justia.com/regulations/fedreg/2020/04/24/2020-08695.html Notice - Self-Regulatory Organizations; NYSE Chicago, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Rule 1.1 To Include Managed Portfolio Shares in the Definition of “UTP Exchange Traded Product” 2020-04-24T00:00:00-07:00 2020-04-24T00:00:00-07:00 2020-08695 Notice https://www.govinfo.gov/content/pkg/FR-2020-04-24/pdf/2020-08695.pdf https://regulations.justia.com/regulations/fedreg/2020/04/24/2020-08694.html Notice - Self-Regulatory Organizations; NYSE National, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Rule 1.1 To Include Managed Portfolio Shares in the Definition of “UTP Exchange Traded Product” 2020-04-24T00:00:00-07:00 2020-04-24T00:00:00-07:00 2020-08694 Notice https://www.govinfo.gov/content/pkg/FR-2020-04-24/pdf/2020-08694.pdf https://regulations.justia.com/regulations/fedreg/2020/04/24/2020-08693.html Notice - Self-Regulatory Organizations; Miami International Securities Exchange, LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Delay Implementation of an Amendment to Rule 518, Complex Orders, To Permit Legging Through the Simple Market 2020-04-24T00:00:00-07:00 2020-04-24T00:00:00-07:00 2020-08693 Notice https://www.govinfo.gov/content/pkg/FR-2020-04-24/pdf/2020-08693.pdf https://regulations.justia.com/regulations/fedreg/2020/04/24/2020-08692.html Notice - Self-Regulatory Organizations; The Options Clearing Corporation; Notice of Filing of Proposed Rule Change Related to Proposed Changes to The Options Clearing Corporation's Framework for Liquidity Risk Management 2020-04-24T00:00:00-07:00 2020-04-24T00:00:00-07:00 2020-08692 Notice https://www.govinfo.gov/content/pkg/FR-2020-04-24/pdf/2020-08692.pdf