Securities and Exchange Commission May 4, 2020 – Federal Register Recent Federal Regulation Documents

Sunshine Act Meetings

Document Number: 2020-09626

Type: Notice

Date: 2020-05-04

Agency: Securities and Exchange Commission, Agencies and Commissions

https://regulations.justia.com/regulations/fedreg/2020/05/04/2020-09626.html

Sunshine Act Meetings

Document Number: 2020-09560

Type: Notice

Date: 2020-05-04

Agency: Securities and Exchange Commission, Agencies and Commissions

https://regulations.justia.com/regulations/fedreg/2020/05/04/2020-09560.html

Sunshine Act Meetings

Document Number: 2020-09529

Type: Notice

Date: 2020-05-04

Agency: Securities and Exchange Commission, Agencies and Commissions

https://regulations.justia.com/regulations/fedreg/2020/05/04/2020-09529.html

First Trust Series Fund, et. al.

Document Number: 2020-09378

Type: Notice

Date: 2020-05-04

Agency: Securities and Exchange Commission, Agencies and Commissions

https://regulations.justia.com/regulations/fedreg/2020/05/04/2020-09378.html

Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Its Schedule of Fees and Charges

Document Number: 2020-09375

Type: Notice

Date: 2020-05-04

Agency: Securities and Exchange Commission, Agencies and Commissions

https://regulations.justia.com/regulations/fedreg/2020/05/04/2020-09375.html

Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend FINRA Rule 8312 (FINRA BrokerCheck Disclosure) To Allow the Dissemination of IAPD Information Through BrokerCheck

Document Number: 2020-09374

Type: Notice

Date: 2020-05-04

Agency: Securities and Exchange Commission, Agencies and Commissions

https://regulations.justia.com/regulations/fedreg/2020/05/04/2020-09374.html

Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Rule 1.1 To Modify the Definition of “UTP Derivative Securities Product” and Rule 5.1-E(a) To Incorporate the Modified Definition of “UTP Exchange Traded Product”

Document Number: 2020-09372

Type: Notice

Date: 2020-05-04

Agency: Securities and Exchange Commission, Agencies and Commissions

https://regulations.justia.com/regulations/fedreg/2020/05/04/2020-09372.html