Securities and Exchange Commission 2020 – Federal Register Recent Federal Regulation Documents

Results 1,501 - 1,550 of 2,159
Self-Regulatory Organizations; Miami International Securities Exchange, LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Delay Implementation of an Amendment to Rule 518, Complex Orders, To Permit Legging Through the Simple Market
Document Number: 2020-08693
Type: Notice
Date: 2020-04-24
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2020/04/24/2020-08693.html
Self-Regulatory Organizations; The Options Clearing Corporation; Notice of Filing of Proposed Rule Change Related to Proposed Changes to The Options Clearing Corporation's Framework for Liquidity Risk Management
Document Number: 2020-08692
Type: Notice
Date: 2020-04-24
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2020/04/24/2020-08692.html
Self-Regulatory Organizations; Nasdaq ISE, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Extend the Pilot Period for the Exchange's Nonstandard Expirations Pilot Program
Document Number: 2020-08595
Type: Notice
Date: 2020-04-23
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2020/04/23/2020-08595.html
Self-Regulatory Organizations; Cboe Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Amending Its Fees Schedule
Document Number: 2020-08594
Type: Notice
Date: 2020-04-23
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2020/04/23/2020-08594.html
Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Designation of a Longer Period for Commission Action on Proceedings To Determine Whether To Approve or Disapprove a Proposed Rule Change To Permit the Exchange To List and Trade Exchange Traded Products
Document Number: 2020-08593
Type: Notice
Date: 2020-04-23
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2020/04/23/2020-08593.html
Self-Regulatory Organizations; The Nasdaq Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Permit a Longer Period of Time for Companies To Regain Compliance With the Bid Price and Market Value of Publicly Held Shares Continued Listing Requirements by Tolling the Compliance Periods Through and Including June 30, 2020
Document Number: 2020-08592
Type: Notice
Date: 2020-04-23
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2020/04/23/2020-08592.html
Self-Regulatory Organizations; Nasdaq PHLX LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Options 6, Section 5, Titled Transfer of Positions
Document Number: 2020-08591
Type: Notice
Date: 2020-04-23
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2020/04/23/2020-08591.html
Self-Regulatory Organizations; Nasdaq ISE, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Extend a Pilot on the Nasdaq 100 Reduced Value Index
Document Number: 2020-08590
Type: Notice
Date: 2020-04-23
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2020/04/23/2020-08590.html
Self-Regulatory Organizations; NYSE American LLC; Notice of Filing and Immediate Effectiveness of Proposed Change To Amend the NYSE American Options Fee Schedule
Document Number: 2020-08589
Type: Notice
Date: 2020-04-23
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2020/04/23/2020-08589.html
Self-Regulatory Organizations; Nasdaq PHLX LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Extend a Non-Standard Pilot Program
Document Number: 2020-08588
Type: Notice
Date: 2020-04-23
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2020/04/23/2020-08588.html
Capitol Series Trust and Cornerstone Capital Inc.
Document Number: 2020-08582
Type: Notice
Date: 2020-04-23
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2020/04/23/2020-08582.html
Self-Regulatory Organizations; ICE Clear Europe Limited; Notice of Filing of Partial Amendment No. 1 and Order Granting Accelerated Approval of Proposed Rule Change, as Modified by Partial Amendment No. 1, Relating to the ICE Clear Europe Rules and Procedures
Document Number: 2020-08487
Type: Notice
Date: 2020-04-23
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2020/04/23/2020-08487.html
Self-Regulatory Organizations; Cboe Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Extend the Operation of Its SPXPM Pilot Program
Document Number: 2020-08495
Type: Notice
Date: 2020-04-22
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2020/04/22/2020-08495.html
Self-Regulatory Organizations; Cboe Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Renew an Existing Pilot Program Until November 2, 2020
Document Number: 2020-08494
Type: Notice
Date: 2020-04-22
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2020/04/22/2020-08494.html
Self-Regulatory Organizations; Nasdaq BX, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Adopt a New Rule Titled Transfer of Positions Within Options 6, Section 5
Document Number: 2020-08493
Type: Notice
Date: 2020-04-22
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2020/04/22/2020-08493.html
Self-Regulatory Organizations; Nasdaq GEMX, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Adopt a New Rule Titled Transfer of Positions Within Options 6, Section 5
Document Number: 2020-08492
Type: Notice
Date: 2020-04-22
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2020/04/22/2020-08492.html
Self-Regulatory Organizations; Nasdaq ISE, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Adopt a New Rule Titled Transfer of Positions Within Options 6, Section 5
Document Number: 2020-08491
Type: Notice
Date: 2020-04-22
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2020/04/22/2020-08491.html
Self-Regulatory Organizations; Nasdaq MRX, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Adopt a New Rule Titled Transfer of Positions Within Options 6, Section 5
Document Number: 2020-08490
Type: Notice
Date: 2020-04-22
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2020/04/22/2020-08490.html
Self-Regulatory Organizations; The Nasdaq Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Adopt a New Rule Titled Transfer of Positions Within Options 6, Section 5
Document Number: 2020-08489
Type: Notice
Date: 2020-04-22
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2020/04/22/2020-08489.html
Self-Regulatory Organizations; The Nasdaq Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to the First Trust Tactical High Yield ETF
Document Number: 2020-08488
Type: Notice
Date: 2020-04-22
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2020/04/22/2020-08488.html
Self-Regulatory Organizations; Cboe EDGA Exchange, Inc; Notice of Designation of Longer Period for Commission Action on Proposed Rule Change To Amend EDGA Rule 11.8(e), Which Describes the Handling of MidPoint Discretionary Orders Entered on the Exchange
Document Number: 2020-08486
Type: Notice
Date: 2020-04-22
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2020/04/22/2020-08486.html
Self-Regulatory Organizations; Cboe EDGX Exchange, Inc; Notice of Designation of Longer Period for Commission Action on Proposed Rule Change To Amend EDGX Rule 11.8(g), Which Describes the Handling of MidPoint Discretionary Orders Entered on the Exchange
Document Number: 2020-08485
Type: Notice
Date: 2020-04-22
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2020/04/22/2020-08485.html
Self-Regulatory Organizations; Nasdaq MRX, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Options 3, Section 8 Relating to the Options Opening Process
Document Number: 2020-08484
Type: Notice
Date: 2020-04-22
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2020/04/22/2020-08484.html
American Century ETF Trust, et al.
Document Number: 2020-08477
Type: Notice
Date: 2020-04-22
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2020/04/22/2020-08477.html
KKR Credit Opportunities Portfolio and KKR Credit Advisors (US) LLC
Document Number: 2020-08476
Type: Notice
Date: 2020-04-22
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2020/04/22/2020-08476.html
Self-Regulatory Organizations; The Options Clearing Corporation; Notice of Filing of Proposed Rule Change To Modify the Sequence for Processing Options Transactions
Document Number: 2020-08386
Type: Notice
Date: 2020-04-21
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2020/04/21/2020-08386.html
Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Adopt a New NYSE Arca Rule 8.900-E
Document Number: 2020-08385
Type: Notice
Date: 2020-04-21
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2020/04/21/2020-08385.html
Self-Regulatory Organizations; Cboe BYX Exchange, Inc.; Notice of Withdrawal of a Proposed Rule Change To Introduce a Small Retail Broker Distribution Program
Document Number: 2020-08384
Type: Notice
Date: 2020-04-21
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2020/04/21/2020-08384.html
Self-Regulatory Organizations; Cboe BZX Exchange, Inc.; Notice of Withdrawal of a Proposed Rule Change To Introduce a Small Retail Broker Distribution Program
Document Number: 2020-08383
Type: Notice
Date: 2020-04-21
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2020/04/21/2020-08383.html
Self-Regulatory Organizations; Cboe EDGX Exchange, Inc.; Notice of Withdrawal of a Proposed Rule Change To Introduce a Small Retail Broker Distribution Program
Document Number: 2020-08382
Type: Notice
Date: 2020-04-21
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2020/04/21/2020-08382.html
Self-Regulatory Organizations; Cboe EDGX Exchange, Inc.; Notice of Withdrawal of a Proposed Rule Change To Introduce a Small Retail Broker Distribution Program
Document Number: 2020-08381
Type: Notice
Date: 2020-04-21
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2020/04/21/2020-08381.html
Self-Regulatory Organizations; Cboe EDGA Exchange, Inc.; Notice of Withdrawal of a Proposed Rule Change To Introduce a Small Retail Broker Distribution Program
Document Number: 2020-08380
Type: Notice
Date: 2020-04-21
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2020/04/21/2020-08380.html
Self-Regulatory Organizations; National Securities Clearing Corporation; Notice of Filing of Proposed Rule Change To Modify the Clearing Agency Model Risk Management Framework
Document Number: 2020-08378
Type: Notice
Date: 2020-04-21
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2020/04/21/2020-08378.html
Self-Regulatory Organizations; Fixed Income Clearing Corporation; Notice of Filing of Proposed Rule Change To Modify the Clearing Agency Model Risk Management Framework
Document Number: 2020-08377
Type: Notice
Date: 2020-04-21
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2020/04/21/2020-08377.html
Self-Regulatory Organizations; Cboe EDGA Exchange, Inc.; Notice of Withdrawal of a Proposed Rule Change To Introduce a Small Retail Broker Distribution Program
Document Number: 2020-08372
Type: Notice
Date: 2020-04-21
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2020/04/21/2020-08372.html
Self-Regulatory Organizations; Cboe BYX Exchange, Inc.; Notice of Withdrawal of a Proposed Rule Change To Introduce a Small Retail Broker Distribution Program
Document Number: 2020-08371
Type: Notice
Date: 2020-04-21
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2020/04/21/2020-08371.html
Self-Regulatory Organizations; Cboe BZX Exchange, Inc.; Notice of Withdrawal of a Proposed Rule Change To Introduce a Small Retail Broker Distribution Program
Document Number: 2020-08370
Type: Notice
Date: 2020-04-21
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2020/04/21/2020-08370.html
Self-Regulatory Organizations; The Depository Trust Company; Notice of Filing of Proposed Rule Change To Modify the Clearing Agency Model Risk Management Framework
Document Number: 2020-08369
Type: Notice
Date: 2020-04-21
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2020/04/21/2020-08369.html
Self-Regulatory Organizations; Cboe Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating To Amend Its Fees Schedule
Document Number: 2020-08368
Type: Notice
Date: 2020-04-21
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2020/04/21/2020-08368.html
Great Elm Capital Corp., et al.
Document Number: 2020-08350
Type: Notice
Date: 2020-04-21
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2020/04/21/2020-08350.html
Sunshine Act Meetings
Document Number: 2020-08389
Type: Notice
Date: 2020-04-20
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2020/04/20/2020-08389.html
Submission for OMB Review; Comment Request
Document Number: 2020-08340
Type: Notice
Date: 2020-04-20
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2020/04/20/2020-08340.html
Submission for OMB Review; Comment Request
Document Number: 2020-08339
Type: Notice
Date: 2020-04-20
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2020/04/20/2020-08339.html
Submission for OMB Review; Comment Request
Document Number: 2020-08338
Type: Notice
Date: 2020-04-20
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2020/04/20/2020-08338.html
Submission for OMB Review; Comment Request
Document Number: 2020-08337
Type: Notice
Date: 2020-04-20
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2020/04/20/2020-08337.html
Submission for OMB Review; Comment Request
Document Number: 2020-08336
Type: Notice
Date: 2020-04-20
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2020/04/20/2020-08336.html
Self-Regulatory Organizations; BOX Exchange LLC; Notice of Designation of Longer Period for Commission Action on Proceedings To Determine Whether To Approve or Disapprove a Proposed Rule Change, as Modified by Amendment No. 2, 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
Document Number: 2020-08212
Type: Notice
Date: 2020-04-20
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2020/04/20/2020-08212.html
Self-Regulatory Organizations; ICE Clear Credit LLC; Notice of Filing of Proposed Rule Change, Security-Based Swap Submission, or Advance Notice Relating to ICC's Treasury Operations Policies and Procedures
Document Number: 2020-08211
Type: Notice
Date: 2020-04-20
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2020/04/20/2020-08211.html
Self-Regulatory Organizations; Cboe BZX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating To Amend its Fee Schedule
Document Number: 2020-08210
Type: Notice
Date: 2020-04-20
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2020/04/20/2020-08210.html
Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend its Price List To Eliminate Certain Obsolete Fees
Document Number: 2020-08209
Type: Notice
Date: 2020-04-20
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2020/04/20/2020-08209.html
This site is protected by reCAPTCHA and the Google Privacy Policy and Terms of Service apply.