Securities and Exchange Commission July 27, 2020 – Federal Register Recent Federal Regulation Documents

Results 1 - 14 of 14
Self-Regulatory Organizations; Nasdaq BX, Inc.; Notice of Filing of Proposed Rule Change To Amend BX's Opening Process in Connection With a Technology Migration
Document Number: 2020-16165
Type: Notice
Date: 2020-07-27
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2020/07/27/2020-16165.html
Self-Regulatory Organizations; NYSE American LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Rule 7.37E
Document Number: 2020-16164
Type: Notice
Date: 2020-07-27
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2020/07/27/2020-16164.html
Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Rule 7.37
Document Number: 2020-16163
Type: Notice
Date: 2020-07-27
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2020/07/27/2020-16163.html
Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Delete Supplementary Material .20 to Rule 76
Document Number: 2020-16162
Type: Notice
Date: 2020-07-27
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2020/07/27/2020-16162.html
Self-Regulatory Organizations; NYSE American LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Rule 1.1E To Include Active Proxy Portfolio Shares, Tracking Fund Shares, Proxy Portfolio Shares, and Index Fund Shares
Document Number: 2020-16161
Type: Notice
Date: 2020-07-27
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2020/07/27/2020-16161.html
Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Rule 1.1 to Include Active Proxy Portfolio Shares, Tracking Fund Shares, Proxy Portfolio Shares, and Index Fund Shares
Document Number: 2020-16160
Type: Notice
Date: 2020-07-27
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2020/07/27/2020-16160.html
Self-Regulatory Organizations; Fixed Income Clearing Corporation; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Revise the Clearing Agency Policy on Capital Requirements
Document Number: 2020-16159
Type: Notice
Date: 2020-07-27
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2020/07/27/2020-16159.html
Self-Regulatory Organizations; The Depository Trust Company; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Revise the Clearing Agency Policy on Capital Requirements
Document Number: 2020-16158
Type: Notice
Date: 2020-07-27
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2020/07/27/2020-16158.html
Self-Regulatory Organizations; National Securities Clearing Corporation; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Revise the Clearing Agency Policy on Capital Requirements
Document Number: 2020-16157
Type: Notice
Date: 2020-07-27
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2020/07/27/2020-16157.html
Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Update the NYSE Arca Options Fee Schedule
Document Number: 2020-16156
Type: Notice
Date: 2020-07-27
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2020/07/27/2020-16156.html
Self-Regulatory Organizations; The Nasdaq Stock Market LLC; Notice of Designation of a Longer Period for Commission Action on a Proposed Rule Change To Apply Additional Initial Listing Criteria for Companies Primarily Operating in Restrictive Markets
Document Number: 2020-16155
Type: Notice
Date: 2020-07-27
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2020/07/27/2020-16155.html
Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Rule 1.1 To Include Active Proxy Portfolio Shares, Tracking Fund Shares, Proxy Portfolio Shares, and Index Fund Shares
Document Number: 2020-16154
Type: Notice
Date: 2020-07-27
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2020/07/27/2020-16154.html
Proposed Collection; Comment Request
Document Number: 2020-16141
Type: Notice
Date: 2020-07-27
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2020/07/27/2020-16141.html
Securities Offering Reform for Closed-End Investment Companies; Correction
Document Number: 2020-15170
Type: Rule
Date: 2020-07-27
Agency: Securities and Exchange Commission, Agencies and Commissions
This document makes technical corrections to amendments to rules that modify the registration, communications, and offering processes for business development companies (``BDCs'') and other closed-end investment companies adopted in Release No. 33-10771 (April 8, 2020) (``Adopting Release''), which was published in the Federal Register on June 1, 2020.
https://regulations.justia.com/regulations/fedreg/2020/07/27/2020-15170.html
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