<![CDATA[Federal Register Recent Federal Regulation Documents - Justia Regulation Tracker - Justia Regulations Tracker]]> https://regulations.justia.com/regulations/fedreg/agencies/securities-and-exchange-commission/2020/12/30?registers=between Thu, 21 Nov 2024 15:11:39 -0800 Thu, 21 Nov 2024 15:11:39 -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/2020/12/30?registers=between Notice - Self-Regulatory Organizations; BOX Exchange LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the Rule 16000 Series https://regulations.justia.com/regulations/fedreg/2020/12/30/2020-28896.html https://regulations.justia.com/regulations/fedreg/2020/12/30/2020-28896.html Wed, 30 Dec 2020 00:00:00 -0800 2020-28896 Notice https://www.govinfo.gov/content/pkg/FR-2020-12-30/pdf/2020-28896.pdf Notice - Self-Regulatory Organizations; The Options Clearing Corporation; Order Approving 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/2020/12/30/2020-28895.html https://regulations.justia.com/regulations/fedreg/2020/12/30/2020-28895.html Wed, 30 Dec 2020 00:00:00 -0800 2020-28895 Notice https://www.govinfo.gov/content/pkg/FR-2020-12-30/pdf/2020-28895.pdf Notice - Self-Regulatory Organizations; Nasdaq BX, Inc.; Notice of Designation of a Longer Period for Commission Action on a Proposed Rule Change To Amend Options 4, Section 5, To Limit Short Term Options Series Intervals Between Strikes Which Are Available for Quoting and Trading on BX https://regulations.justia.com/regulations/fedreg/2020/12/30/2020-28894.html https://regulations.justia.com/regulations/fedreg/2020/12/30/2020-28894.html Wed, 30 Dec 2020 00:00:00 -0800 2020-28894 Notice https://www.govinfo.gov/content/pkg/FR-2020-12-30/pdf/2020-28894.pdf Notice - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Extend the Temporary Period for Specified Commentaries to Rules 7.35, 7.35A, 7.35B, and 7.35C and Temporary Rule Relief in Rule 36.30 https://regulations.justia.com/regulations/fedreg/2020/12/30/2020-28893.html https://regulations.justia.com/regulations/fedreg/2020/12/30/2020-28893.html Wed, 30 Dec 2020 00:00:00 -0800 2020-28893 Notice https://www.govinfo.gov/content/pkg/FR-2020-12-30/pdf/2020-28893.pdf Notice - Self-Regulatory Organizations; Fixed Income Clearing Corporation; Notice of Designation of Longer Period for Commission Action and Longer Period for Comment on Proposed Rule Change To Modify the Calculation of the MBSD VaR Floor To Incorporate a Minimum Margin Amount https://regulations.justia.com/regulations/fedreg/2020/12/30/2020-28892.html https://regulations.justia.com/regulations/fedreg/2020/12/30/2020-28892.html Wed, 30 Dec 2020 00:00:00 -0800 2020-28892 Notice https://www.govinfo.gov/content/pkg/FR-2020-12-30/pdf/2020-28892.pdf Notice - Self-Regulatory Organizations; The Nasdaq Stock Market LLC; Notice of Filing of Proposed Rule Change To Amend Equity 4, Section 4703 https://regulations.justia.com/regulations/fedreg/2020/12/30/2020-28891.html https://regulations.justia.com/regulations/fedreg/2020/12/30/2020-28891.html Wed, 30 Dec 2020 00:00:00 -0800 2020-28891 Notice https://www.govinfo.gov/content/pkg/FR-2020-12-30/pdf/2020-28891.pdf Notice - Self-Regulatory Organizations; BOX Exchange LLC; Notice of Filing of Proposed Rule Change To Amend BOX Rule 7620 (Accommodation Transactions) https://regulations.justia.com/regulations/fedreg/2020/12/30/2020-28890.html https://regulations.justia.com/regulations/fedreg/2020/12/30/2020-28890.html Wed, 30 Dec 2020 00:00:00 -0800 2020-28890 Notice https://www.govinfo.gov/content/pkg/FR-2020-12-30/pdf/2020-28890.pdf Notice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Reflect a Change to the Index Underlying the United States Copper Index https://regulations.justia.com/regulations/fedreg/2020/12/30/2020-28889.html https://regulations.justia.com/regulations/fedreg/2020/12/30/2020-28889.html Wed, 30 Dec 2020 00:00:00 -0800 2020-28889 Notice https://www.govinfo.gov/content/pkg/FR-2020-12-30/pdf/2020-28889.pdf Notice - Proposed Collection and Comment Request for Form ID https://regulations.justia.com/regulations/fedreg/2020/12/30/2020-28831.html https://regulations.justia.com/regulations/fedreg/2020/12/30/2020-28831.html Wed, 30 Dec 2020 00:00:00 -0800 2020-28831 Notice https://www.govinfo.gov/content/pkg/FR-2020-12-30/pdf/2020-28831.pdf Notice - Self-Regulatory Organizations: Investors Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Related to Transaction Fees Pursuant to IEX Rule 15.110 https://regulations.justia.com/regulations/fedreg/2020/12/30/2020-28811.html https://regulations.justia.com/regulations/fedreg/2020/12/30/2020-28811.html Wed, 30 Dec 2020 00:00:00 -0800 2020-28811 Notice https://www.govinfo.gov/content/pkg/FR-2020-12-30/pdf/2020-28811.pdf Notice - Acknowledgement of Receipt of Notice of Registration as a National Securities Exchange Pursuant to Section 6(g) of the Securities Exchange Act of 1934 by the Minneapolis Grain Exchange, LLC https://regulations.justia.com/regulations/fedreg/2020/12/30/2020-28810.html https://regulations.justia.com/regulations/fedreg/2020/12/30/2020-28810.html Wed, 30 Dec 2020 00:00:00 -0800 2020-28810 Notice https://www.govinfo.gov/content/pkg/FR-2020-12-30/pdf/2020-28810.pdf Notice - Self-Regulatory Organizations; ICE Clear Europe Limited; Notice of Filing and Immediate Effectiveness of Proposed Rule Change, as Modified by Amendment No. 1, Relating to Amendments to the ICE Clear Europe Clearing Rules https://regulations.justia.com/regulations/fedreg/2020/12/30/2020-28809.html https://regulations.justia.com/regulations/fedreg/2020/12/30/2020-28809.html Wed, 30 Dec 2020 00:00:00 -0800 2020-28809 Notice https://www.govinfo.gov/content/pkg/FR-2020-12-30/pdf/2020-28809.pdf Notice - Self-Regulatory Organizations; The Nasdaq Stock Market LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Extend the Effective Date of the Temporary Amendments Concerning Exchange Rule 1.1210 From December 31, 2020, to April 30, 2021 https://regulations.justia.com/regulations/fedreg/2020/12/30/2020-28808.html https://regulations.justia.com/regulations/fedreg/2020/12/30/2020-28808.html Wed, 30 Dec 2020 00:00:00 -0800 2020-28808 Notice https://www.govinfo.gov/content/pkg/FR-2020-12-30/pdf/2020-28808.pdf Notice - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing of a Proposed Rule Change To Amend FINRA Rule 8312 (FINRA BrokerCheck Disclosure) https://regulations.justia.com/regulations/fedreg/2020/12/30/2020-28807.html https://regulations.justia.com/regulations/fedreg/2020/12/30/2020-28807.html Wed, 30 Dec 2020 00:00:00 -0800 2020-28807 Notice https://www.govinfo.gov/content/pkg/FR-2020-12-30/pdf/2020-28807.pdf Notice - Self-Regulatory Organizations; Long-Term Stock Exchange, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Rule 11.380 To Expand the Exchange's Optional Risk Controls Mechanism To Include a Net Notional Exposure Risk Check in Addition to the Gross Notional Exposure Risk Check https://regulations.justia.com/regulations/fedreg/2020/12/30/2020-28806.html https://regulations.justia.com/regulations/fedreg/2020/12/30/2020-28806.html Wed, 30 Dec 2020 00:00:00 -0800 2020-28806 Notice https://www.govinfo.gov/content/pkg/FR-2020-12-30/pdf/2020-28806.pdf Notice - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing of Proposed Rule Change Revising Rules 46 and 46A To Permit the Appointment of Trading Officials https://regulations.justia.com/regulations/fedreg/2020/12/30/2020-28805.html https://regulations.justia.com/regulations/fedreg/2020/12/30/2020-28805.html Wed, 30 Dec 2020 00:00:00 -0800 2020-28805 Notice https://www.govinfo.gov/content/pkg/FR-2020-12-30/pdf/2020-28805.pdf Notice - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing of Proposed Rule Change for a New Rule 5.2(j)(8) https://regulations.justia.com/regulations/fedreg/2020/12/30/2020-28804.html https://regulations.justia.com/regulations/fedreg/2020/12/30/2020-28804.html Wed, 30 Dec 2020 00:00:00 -0800 2020-28804 Notice https://www.govinfo.gov/content/pkg/FR-2020-12-30/pdf/2020-28804.pdf Notice - Self-Regulatory Organizations; The Nasdaq Stock Market LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Extend the Expiration Date of the Temporary Amendments Set Forth in SR-NASDAQ-2020-076 Concerning Video Conference Hearings https://regulations.justia.com/regulations/fedreg/2020/12/30/2020-28803.html https://regulations.justia.com/regulations/fedreg/2020/12/30/2020-28803.html Wed, 30 Dec 2020 00:00:00 -0800 2020-28803 Notice https://www.govinfo.gov/content/pkg/FR-2020-12-30/pdf/2020-28803.pdf Notice - Self-Regulatory Organizations; The Nasdaq Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Withdraw the Exchange's QView Product From Sale https://regulations.justia.com/regulations/fedreg/2020/12/30/2020-28802.html https://regulations.justia.com/regulations/fedreg/2020/12/30/2020-28802.html Wed, 30 Dec 2020 00:00:00 -0800 2020-28802 Notice https://www.govinfo.gov/content/pkg/FR-2020-12-30/pdf/2020-28802.pdf Notice - Self-Regulatory Organizations; NYSE National, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Extend the Effective Date in Commentary .10 Under NYSE National Rule 2.1210 https://regulations.justia.com/regulations/fedreg/2020/12/30/2020-28801.html https://regulations.justia.com/regulations/fedreg/2020/12/30/2020-28801.html Wed, 30 Dec 2020 00:00:00 -0800 2020-28801 Notice https://www.govinfo.gov/content/pkg/FR-2020-12-30/pdf/2020-28801.pdf Rule - Amendments to the Commission's Rules of Practice https://regulations.justia.com/regulations/fedreg/2020/12/30/2020-25747.html https://regulations.justia.com/regulations/fedreg/2020/12/30/2020-25747.html Wed, 30 Dec 2020 00:00:00 -0800 2020-25747 Rule https://www.govinfo.gov/content/pkg/FR-2020-12-30/pdf/2020-25747.pdf