<![CDATA[Federal Register Recent Federal Regulation Documents - Justia Regulation Tracker - Justia Regulations Tracker]]> https://regulations.justia.com/regulations/fedreg/agencies/securities-and-exchange-commission/2020/12/17?registers=between Tue, 26 Nov 2024 10:31:10 -0800 Tue, 26 Nov 2024 10:31:10 -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/2020/12/17?registers=between Notice - Sunshine Act Meetings https://regulations.justia.com/regulations/fedreg/2020/12/17/2020-27867.html https://regulations.justia.com/regulations/fedreg/2020/12/17/2020-27867.html Thu, 17 Dec 2020 00:00:00 -0800 2020-27867 Notice https://www.govinfo.gov/content/pkg/FR-2020-12-17/pdf/2020-27867.pdf Notice - Sunshine Act Meetings https://regulations.justia.com/regulations/fedreg/2020/12/17/2020-27866.html https://regulations.justia.com/regulations/fedreg/2020/12/17/2020-27866.html Thu, 17 Dec 2020 00:00:00 -0800 2020-27866 Notice https://www.govinfo.gov/content/pkg/FR-2020-12-17/pdf/2020-27866.pdf Notice - Sunshine Act Meetings https://regulations.justia.com/regulations/fedreg/2020/12/17/2020-27862.html https://regulations.justia.com/regulations/fedreg/2020/12/17/2020-27862.html Thu, 17 Dec 2020 00:00:00 -0800 2020-27862 Notice https://www.govinfo.gov/content/pkg/FR-2020-12-17/pdf/2020-27862.pdf Notice - Palmer Square Capital BDC Inc., et al. https://regulations.justia.com/regulations/fedreg/2020/12/17/2020-27811.html https://regulations.justia.com/regulations/fedreg/2020/12/17/2020-27811.html Thu, 17 Dec 2020 00:00:00 -0800 2020-27811 Notice https://www.govinfo.gov/content/pkg/FR-2020-12-17/pdf/2020-27811.pdf Notice - Notice of Intention to Cancel Registration Pursuant to section 203(H) of the Investment Advisers Act of 1940 https://regulations.justia.com/regulations/fedreg/2020/12/17/2020-27788.html https://regulations.justia.com/regulations/fedreg/2020/12/17/2020-27788.html Thu, 17 Dec 2020 00:00:00 -0800 2020-27788 Notice https://www.govinfo.gov/content/pkg/FR-2020-12-17/pdf/2020-27788.pdf Notice - Self-Regulatory Organizations; NYSE Arca, Inc.; Order Instituting Proceedings To Determine Whether To Approve or Disapprove a Proposed Rule Change To Amend NYSE Arca Rule 8.601-E To Adopt Generic Listing Standards for Active Proxy Portfolio Shares https://regulations.justia.com/regulations/fedreg/2020/12/17/2020-27731.html https://regulations.justia.com/regulations/fedreg/2020/12/17/2020-27731.html Thu, 17 Dec 2020 00:00:00 -0800 2020-27731 Notice https://www.govinfo.gov/content/pkg/FR-2020-12-17/pdf/2020-27731.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 To Adopt Connectivity Fees, Port Fees, a Technical Support Request Fee, and Historical Market Data Fee https://regulations.justia.com/regulations/fedreg/2020/12/17/2020-27730.html https://regulations.justia.com/regulations/fedreg/2020/12/17/2020-27730.html Thu, 17 Dec 2020 00:00:00 -0800 2020-27730 Notice https://www.govinfo.gov/content/pkg/FR-2020-12-17/pdf/2020-27730.pdf Notice - Self-Regulatory Organizations; NYSE American LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the NYSE American Options Fee Schedule https://regulations.justia.com/regulations/fedreg/2020/12/17/2020-27729.html https://regulations.justia.com/regulations/fedreg/2020/12/17/2020-27729.html Thu, 17 Dec 2020 00:00:00 -0800 2020-27729 Notice https://www.govinfo.gov/content/pkg/FR-2020-12-17/pdf/2020-27729.pdf Notice - Self-Regulatory Organizations; The Depository Trust Company; Fixed Income Clearing Corporation; National Securities Clearing Corporation; Notice of Filings and Immediate Effectiveness of Proposed Rule Changes To Amend the Clearing Agencies Liquidity Risk Management Framework https://regulations.justia.com/regulations/fedreg/2020/12/17/2020-27728.html https://regulations.justia.com/regulations/fedreg/2020/12/17/2020-27728.html Thu, 17 Dec 2020 00:00:00 -0800 2020-27728 Notice https://www.govinfo.gov/content/pkg/FR-2020-12-17/pdf/2020-27728.pdf Notice - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Order Approving Proposed Rule Change To Modify TRACE Dissemination Protocols for Agency Pass-Through MBS or SBA-Backed ABS Traded in Specified Pool Transactions https://regulations.justia.com/regulations/fedreg/2020/12/17/2020-27727.html https://regulations.justia.com/regulations/fedreg/2020/12/17/2020-27727.html Thu, 17 Dec 2020 00:00:00 -0800 2020-27727 Notice https://www.govinfo.gov/content/pkg/FR-2020-12-17/pdf/2020-27727.pdf Notice - Self-Regulatory Organizations; Investors Exchange LLC; Notice of Filing of Proposed Rule Change To Amend IEX Rule 11.510 To Reduce the Outbound Latency That Presently Applies to All Trading Messages Sent From IEX Back to Users of the Exchange https://regulations.justia.com/regulations/fedreg/2020/12/17/2020-27726.html https://regulations.justia.com/regulations/fedreg/2020/12/17/2020-27726.html Thu, 17 Dec 2020 00:00:00 -0800 2020-27726 Notice https://www.govinfo.gov/content/pkg/FR-2020-12-17/pdf/2020-27726.pdf Notice - Self-Regulatory Organizations; The Nasdaq Stock Market LLC; Notice of Designation of a Longer Period for Commission Action on a Proposed Rule Change, as Modified by Amendment No. 1, To Exclude Special Purpose Acquisition Companies From the Requirement That at Least 50% of a Company's Round Lot Holders Each Hold Unrestricted Securities With a Market Value of at Least $2,500 https://regulations.justia.com/regulations/fedreg/2020/12/17/2020-27725.html https://regulations.justia.com/regulations/fedreg/2020/12/17/2020-27725.html Thu, 17 Dec 2020 00:00:00 -0800 2020-27725 Notice https://www.govinfo.gov/content/pkg/FR-2020-12-17/pdf/2020-27725.pdf Notice - Self-Regulatory Organizations; Cboe EDGX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating To Amend Its Fee Schedule With Respect to Qualified Contingent Cross (“QCC”) and Solicitation Auction Mechanism (“SAM”) Orders https://regulations.justia.com/regulations/fedreg/2020/12/17/2020-27724.html https://regulations.justia.com/regulations/fedreg/2020/12/17/2020-27724.html Thu, 17 Dec 2020 00:00:00 -0800 2020-27724 Notice https://www.govinfo.gov/content/pkg/FR-2020-12-17/pdf/2020-27724.pdf Notice - Self-Regulatory Organizations; Cboe Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the Fees Schedule With Respect to Certain Fees Related to Qualified Contingent Cross Transactions the Exchange's LMM Incentive Programs https://regulations.justia.com/regulations/fedreg/2020/12/17/2020-27723.html https://regulations.justia.com/regulations/fedreg/2020/12/17/2020-27723.html Thu, 17 Dec 2020 00:00:00 -0800 2020-27723 Notice https://www.govinfo.gov/content/pkg/FR-2020-12-17/pdf/2020-27723.pdf Notice - Self-Regulatory Organizations; MIAX PEARL, LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the Fee Schedule https://regulations.justia.com/regulations/fedreg/2020/12/17/2020-27721.html https://regulations.justia.com/regulations/fedreg/2020/12/17/2020-27721.html Thu, 17 Dec 2020 00:00:00 -0800 2020-27721 Notice https://www.govinfo.gov/content/pkg/FR-2020-12-17/pdf/2020-27721.pdf Notice - Self-Regulatory Organizations; MIAX Emerald, LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the Fee Schedule https://regulations.justia.com/regulations/fedreg/2020/12/17/2020-27720.html https://regulations.justia.com/regulations/fedreg/2020/12/17/2020-27720.html Thu, 17 Dec 2020 00:00:00 -0800 2020-27720 Notice https://www.govinfo.gov/content/pkg/FR-2020-12-17/pdf/2020-27720.pdf Notice - Self-Regulatory Organizations; Miami International Securities Exchange LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the Fee Schedule https://regulations.justia.com/regulations/fedreg/2020/12/17/2020-27719.html https://regulations.justia.com/regulations/fedreg/2020/12/17/2020-27719.html Thu, 17 Dec 2020 00:00:00 -0800 2020-27719 Notice https://www.govinfo.gov/content/pkg/FR-2020-12-17/pdf/2020-27719.pdf Notice - KKR Income Opportunities Fund, et al. https://regulations.justia.com/regulations/fedreg/2020/12/17/2020-27714.html https://regulations.justia.com/regulations/fedreg/2020/12/17/2020-27714.html Thu, 17 Dec 2020 00:00:00 -0800 2020-27714 Notice https://www.govinfo.gov/content/pkg/FR-2020-12-17/pdf/2020-27714.pdf