<![CDATA[Federal Register Recent Federal Regulation Documents - Justia Regulation Tracker - Justia Regulations Tracker]]> https://regulations.justia.com/regulations/fedreg/agencies/securities-and-exchange-commission/2020/11/18?registers=between Tue, 26 Nov 2024 12:33:51 -0800 Tue, 26 Nov 2024 12:33:51 -0800 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/2020/11/18?registers=between Notice - Self-Regulatory Organizations; the Options Clearing Corporation; Notice of Filing of Advance Notice Related to Proposed Changes To Update the Options Clearing Corporation's Recovery and Orderly Wind-Down Plan https://regulations.justia.com/regulations/fedreg/2020/11/18/2020-25441.html https://regulations.justia.com/regulations/fedreg/2020/11/18/2020-25441.html Wed, 18 Nov 2020 00:00:00 -0800 2020-25441 Notice https://www.govinfo.gov/content/pkg/FR-2020-11-18/pdf/2020-25441.pdf Notice - Order Granting a Temporary Conditional Exemption Pursuant to Section 36 of the Securities Exchange Act of 1934 (“Exchange Act”) and Rule 608(e) of Regulation NMS Under the Exchange Act, Relating to the Reporting of Certain Activities on the Floor of National Securities Exchanges and Certain Activities by Industry Members Off Exchange Floors, as Required by Section 6.4(d) of the National Market System Plan Governing the Consolidated Audit Trail https://regulations.justia.com/regulations/fedreg/2020/11/18/2020-25393.html https://regulations.justia.com/regulations/fedreg/2020/11/18/2020-25393.html Wed, 18 Nov 2020 00:00:00 -0800 2020-25393 Notice https://www.govinfo.gov/content/pkg/FR-2020-11-18/pdf/2020-25393.pdf Notice - Self-Regulatory Organizations; NYSE American LLC; Notice of Filing and Immediate Effectiveness of Proposed Change To Amend the NYSE American Options Fee Schedule Regarding the Amount of Rebates for Initiating a Complex Customer Best Execution Auction https://regulations.justia.com/regulations/fedreg/2020/11/18/2020-25392.html https://regulations.justia.com/regulations/fedreg/2020/11/18/2020-25392.html Wed, 18 Nov 2020 00:00:00 -0800 2020-25392 Notice https://www.govinfo.gov/content/pkg/FR-2020-11-18/pdf/2020-25392.pdf Notice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending the Fees for NYSE Arca BBO and NYSE Arca Trades by Modifying the Application of the Access Fee and Amending the Fees for NYSE Arca Trades by Adopting a Waiver Applicable to the Redistribution Fee https://regulations.justia.com/regulations/fedreg/2020/11/18/2020-25391.html https://regulations.justia.com/regulations/fedreg/2020/11/18/2020-25391.html Wed, 18 Nov 2020 00:00:00 -0800 2020-25391 Notice https://www.govinfo.gov/content/pkg/FR-2020-11-18/pdf/2020-25391.pdf Notice - Self-Regulatory Organizations; NYSE American, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending the Fees for NYSE American BBO and NYSE American Trades by Modifying the Application of the Access Fee and Amending the Fees for NYSE American Trades by Adopting a Waiver Applicable to the Redistribution Fee https://regulations.justia.com/regulations/fedreg/2020/11/18/2020-25390.html https://regulations.justia.com/regulations/fedreg/2020/11/18/2020-25390.html Wed, 18 Nov 2020 00:00:00 -0800 2020-25390 Notice https://www.govinfo.gov/content/pkg/FR-2020-11-18/pdf/2020-25390.pdf Notice - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending the Fees for NYSE BBO and NYSE Trades by Modifying the Application of the Access Fee and Amending the Fees for NYSE Trades by Adopting a Waiver Applicable to the Redistribution Fee https://regulations.justia.com/regulations/fedreg/2020/11/18/2020-25389.html https://regulations.justia.com/regulations/fedreg/2020/11/18/2020-25389.html Wed, 18 Nov 2020 00:00:00 -0800 2020-25389 Notice https://www.govinfo.gov/content/pkg/FR-2020-11-18/pdf/2020-25389.pdf Notice - Self-Regulatory Organizations; The Options Clearing Corporation; Notice of Filing of Proposed Rule Change To Adopt the OCC Third-Party Risk Management Framework and Retire the OCC Counterparty Credit Risk Management Framework https://regulations.justia.com/regulations/fedreg/2020/11/18/2020-25388.html https://regulations.justia.com/regulations/fedreg/2020/11/18/2020-25388.html Wed, 18 Nov 2020 00:00:00 -0800 2020-25388 Notice https://www.govinfo.gov/content/pkg/FR-2020-11-18/pdf/2020-25388.pdf Notice - Self-Regulatory Organizations; Cboe Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Certain Fees Related to Transactions in Mini-SPX Index (“XSP”) Options https://regulations.justia.com/regulations/fedreg/2020/11/18/2020-25385.html https://regulations.justia.com/regulations/fedreg/2020/11/18/2020-25385.html Wed, 18 Nov 2020 00:00:00 -0800 2020-25385 Notice https://www.govinfo.gov/content/pkg/FR-2020-11-18/pdf/2020-25385.pdf Notice - Self-Regulatory Organizations; Cboe BZX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the Fee Schedule To Correct Drafting Error in a Footnote https://regulations.justia.com/regulations/fedreg/2020/11/18/2020-25384.html https://regulations.justia.com/regulations/fedreg/2020/11/18/2020-25384.html Wed, 18 Nov 2020 00:00:00 -0800 2020-25384 Notice https://www.govinfo.gov/content/pkg/FR-2020-11-18/pdf/2020-25384.pdf Notice - Self-Regulatory Organizations; ICE Clear Europe Limited; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Amendments to the ICE Clear Europe Delivery Procedures https://regulations.justia.com/regulations/fedreg/2020/11/18/2020-25383.html https://regulations.justia.com/regulations/fedreg/2020/11/18/2020-25383.html Wed, 18 Nov 2020 00:00:00 -0800 2020-25383 Notice https://www.govinfo.gov/content/pkg/FR-2020-11-18/pdf/2020-25383.pdf Notice - Self-Regulatory Organizations; MIAX PEARL, LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the MIAX PEARL Equities Fee Schedule https://regulations.justia.com/regulations/fedreg/2020/11/18/2020-25382.html https://regulations.justia.com/regulations/fedreg/2020/11/18/2020-25382.html Wed, 18 Nov 2020 00:00:00 -0800 2020-25382 Notice https://www.govinfo.gov/content/pkg/FR-2020-11-18/pdf/2020-25382.pdf Notice - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Order Approving Proposed Rule Change Relating to Granularity of Timestamps in Trade Reports Submitted to FINRA's Equity Trade Reporting Facilities https://regulations.justia.com/regulations/fedreg/2020/11/18/2020-25381.html https://regulations.justia.com/regulations/fedreg/2020/11/18/2020-25381.html Wed, 18 Nov 2020 00:00:00 -0800 2020-25381 Notice https://www.govinfo.gov/content/pkg/FR-2020-11-18/pdf/2020-25381.pdf Notice - Self-Regulatory Organizations; The Nasdaq Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Make Technical and Conforming Amendments to The Nasdaq Options Market Rules at Options 4 https://regulations.justia.com/regulations/fedreg/2020/11/18/2020-25380.html https://regulations.justia.com/regulations/fedreg/2020/11/18/2020-25380.html Wed, 18 Nov 2020 00:00:00 -0800 2020-25380 Notice https://www.govinfo.gov/content/pkg/FR-2020-11-18/pdf/2020-25380.pdf Notice - Proposed Collection; Comment Request https://regulations.justia.com/regulations/fedreg/2020/11/18/2020-25356.html https://regulations.justia.com/regulations/fedreg/2020/11/18/2020-25356.html Wed, 18 Nov 2020 00:00:00 -0800 2020-25356 Notice https://www.govinfo.gov/content/pkg/FR-2020-11-18/pdf/2020-25356.pdf Notice - Proposed Collection; Comment Request https://regulations.justia.com/regulations/fedreg/2020/11/18/2020-25355.html https://regulations.justia.com/regulations/fedreg/2020/11/18/2020-25355.html Wed, 18 Nov 2020 00:00:00 -0800 2020-25355 Notice https://www.govinfo.gov/content/pkg/FR-2020-11-18/pdf/2020-25355.pdf Notice - Proposed Collection; Comment Request https://regulations.justia.com/regulations/fedreg/2020/11/18/2020-25354.html https://regulations.justia.com/regulations/fedreg/2020/11/18/2020-25354.html Wed, 18 Nov 2020 00:00:00 -0800 2020-25354 Notice https://www.govinfo.gov/content/pkg/FR-2020-11-18/pdf/2020-25354.pdf Notice - Submission for OMB Review; Comment Request https://regulations.justia.com/regulations/fedreg/2020/11/18/2020-25353.html https://regulations.justia.com/regulations/fedreg/2020/11/18/2020-25353.html Wed, 18 Nov 2020 00:00:00 -0800 2020-25353 Notice https://www.govinfo.gov/content/pkg/FR-2020-11-18/pdf/2020-25353.pdf Notice - Proposed Collection; Comment Request https://regulations.justia.com/regulations/fedreg/2020/11/18/2020-25352.html https://regulations.justia.com/regulations/fedreg/2020/11/18/2020-25352.html Wed, 18 Nov 2020 00:00:00 -0800 2020-25352 Notice https://www.govinfo.gov/content/pkg/FR-2020-11-18/pdf/2020-25352.pdf Notice - Proposed Collection for OMB Review; Comment Request https://regulations.justia.com/regulations/fedreg/2020/11/18/2020-25351.html https://regulations.justia.com/regulations/fedreg/2020/11/18/2020-25351.html Wed, 18 Nov 2020 00:00:00 -0800 2020-25351 Notice https://www.govinfo.gov/content/pkg/FR-2020-11-18/pdf/2020-25351.pdf Notice - Proposed Collection; Comment Request https://regulations.justia.com/regulations/fedreg/2020/11/18/2020-25350.html https://regulations.justia.com/regulations/fedreg/2020/11/18/2020-25350.html Wed, 18 Nov 2020 00:00:00 -0800 2020-25350 Notice https://www.govinfo.gov/content/pkg/FR-2020-11-18/pdf/2020-25350.pdf