Federal Register Recent Federal Regulation Documents - Justia Regulation Tracker - Justia Regulations Tracker https://regulations.justia.com/regulations/fedreg/agencies/securities-and-exchange-commission/2020/06/01?limit=200&registers=between&mode=atom 2024-11-25T08:51:38-08:00 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/2020/06/01/2020-11718.html Notice - Order Under Section 17A and Section 36 of the Securities Exchange Act of 1934 Extending Temporary Exemptions From Specified Provisions of the Exchange Act and Certain Rules Thereunder 2020-06-01T00:00:00-07:00 2020-06-01T00:00:00-07:00 2020-11718 Notice https://www.govinfo.gov/content/pkg/FR-2020-06-01/pdf/2020-11718.pdf https://regulations.justia.com/regulations/fedreg/2020/06/01/2020-11657.html Notice - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To add Commentary .05 to Rule 7.35A 2020-06-01T00:00:00-07:00 2020-06-01T00:00:00-07:00 2020-11657 Notice https://www.govinfo.gov/content/pkg/FR-2020-06-01/pdf/2020-11657.pdf https://regulations.justia.com/regulations/fedreg/2020/06/01/2020-11656.html Notice - Program for Allocation of Regulatory Responsibilities Pursuant to Rule 17d-2; Notice of Filing and Order Approving and Declaring Effective an Amendment to the Plan for the Allocation of Regulatory Responsibilities Among Cboe BZX Exchange, Inc., Cboe BYX Exchange, Inc., NYSE Chicago, Inc., Cboe EDGA Exchange, Inc., Cboe EDGX Exchange, Inc., Financial Industry Regulatory Authority, Inc., MEMX LLC, Nasdaq BX, Inc., Nasdaq PHLX LLC, The Nasdaq Stock Market LLC, NYSE National, Inc., New York Stock Exchange LLC, NYSE American LLC, NYSE Arca, Inc., Investors' Exchange LLC, and Long-Term Stock Exchange, Inc. Relating to the Surveillance, Investigation, and Enforcement of Insider Trading Rules 2020-06-01T00:00:00-07:00 2020-06-01T00:00:00-07:00 2020-11656 Notice https://www.govinfo.gov/content/pkg/FR-2020-06-01/pdf/2020-11656.pdf https://regulations.justia.com/regulations/fedreg/2020/06/01/2020-11653.html Notice - Self-Regulatory Organizations; BOX Exchange LLC; Notice of Filing of Proposed Rule Change in Connection With the Proposed Commencement of Operations of Boston Security Token Exchange LLC (“BSTX”) as a Facility of the Exchange 2020-06-01T00:00:00-07:00 2020-06-01T00:00:00-07:00 2020-11653 Notice https://www.govinfo.gov/content/pkg/FR-2020-06-01/pdf/2020-11653.pdf https://regulations.justia.com/regulations/fedreg/2020/06/01/2020-11652.html Notice - Self-Regulatory Organizations; NYSE American LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Rule 960NY to Conform the Rule to Section 3.1 of the Plan for the Purpose of Developing and Implementing Procedures Designed To Facilitate the Listing and Trading of Standardized Options 2020-06-01T00:00:00-07:00 2020-06-01T00:00:00-07:00 2020-11652 Notice https://www.govinfo.gov/content/pkg/FR-2020-06-01/pdf/2020-11652.pdf https://regulations.justia.com/regulations/fedreg/2020/06/01/2020-11651.html Notice - Self-Regulatory Organizations; BOX Exchange LLC; Notice of Filing of Proposed Rule Change To Adopt Rules Governing the Trading of Equity Securities on the Exchange Through a Facility of the Exchange Known as the Boston Security Token Exchange LLC 2020-06-01T00:00:00-07:00 2020-06-01T00:00:00-07:00 2020-11651 Notice https://www.govinfo.gov/content/pkg/FR-2020-06-01/pdf/2020-11651.pdf https://regulations.justia.com/regulations/fedreg/2020/06/01/2020-11650.html Notice - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Order Approving a Proposed Rule Change To Amend the FINRA Code of Arbitration Procedure for Customer Disputes and the FINRA Code of Arbitration Procedure for Industry Disputes To Apply Minimum Fees To Requests for Expungement of Customer Dispute Information 2020-06-01T00:00:00-07:00 2020-06-01T00:00:00-07:00 2020-11650 Notice https://www.govinfo.gov/content/pkg/FR-2020-06-01/pdf/2020-11650.pdf https://regulations.justia.com/regulations/fedreg/2020/06/01/2020-11649.html Notice - Self-Regulatory Organizations; ICE Clear Credit LLC; Order Approving Proposed Rule Change Relating to the ICC Clearing Participant Default Management Procedures 2020-06-01T00:00:00-07:00 2020-06-01T00:00:00-07:00 2020-11649 Notice https://www.govinfo.gov/content/pkg/FR-2020-06-01/pdf/2020-11649.pdf https://regulations.justia.com/regulations/fedreg/2020/06/01/2020-11648.html Notice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Rule 6.72-O To Conform the Rule to Section 3.1 of the Plan for the Purpose of Developing and Implementing Procedures Designed to Facilitate the Listing and Trading of Standardized Options 2020-06-01T00:00:00-07:00 2020-06-01T00:00:00-07:00 2020-11648 Notice https://www.govinfo.gov/content/pkg/FR-2020-06-01/pdf/2020-11648.pdf https://regulations.justia.com/regulations/fedreg/2020/06/01/2020-11647.html Notice - Self-Regulatory Organizations; Nasdaq GEMX, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend GEMX's Pricing Schedule 2020-06-01T00:00:00-07:00 2020-06-01T00:00:00-07:00 2020-11647 Notice https://www.govinfo.gov/content/pkg/FR-2020-06-01/pdf/2020-11647.pdf https://regulations.justia.com/regulations/fedreg/2020/06/01/2020-11646.html Notice - Self-Regulatory Organizations; Nasdaq ISE, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the Exchange's Pricing Schedule at Options 7 2020-06-01T00:00:00-07:00 2020-06-01T00:00:00-07:00 2020-11646 Notice https://www.govinfo.gov/content/pkg/FR-2020-06-01/pdf/2020-11646.pdf https://regulations.justia.com/regulations/fedreg/2020/06/01/2020-11645.html Notice - Self-Regulatory Organizations; Nasdaq BX, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Relocate the BX Disciplinary Rules and Incorporate by Reference the Disciplinary Rules of The Nasdaq Stock Market LLC 2020-06-01T00:00:00-07:00 2020-06-01T00:00:00-07:00 2020-11645 Notice https://www.govinfo.gov/content/pkg/FR-2020-06-01/pdf/2020-11645.pdf https://regulations.justia.com/regulations/fedreg/2020/06/01/2020-10016.html Rule - Recordkeeping and Reporting Requirements for Security-Based Swap Dealers, Major Security-Based Swap Participants, and Broker-Dealers; Correction 2020-06-01T00:00:00-07:00 2020-06-01T00:00:00-07:00 2020-10016 Rule https://www.govinfo.gov/content/pkg/FR-2020-06-01/pdf/2020-10016.pdf https://regulations.justia.com/regulations/fedreg/2020/06/01/2020-07790.html Rule - Securities Offering Reform for Closed-End Investment Companies 2020-06-01T00:00:00-07:00 2020-06-01T00:00:00-07:00 2020-07790 Rule https://www.govinfo.gov/content/pkg/FR-2020-06-01/pdf/2020-07790.pdf