<![CDATA[Federal Register Recent Federal Regulation Documents - Justia Regulation Tracker - Justia Regulations Tracker]]> https://regulations.justia.com/regulations/fedreg/agencies/securities-and-exchange-commission/2021/01/06?registers=between Sat, 11 May 2024 01:32:57 -0700 Sat, 11 May 2024 01:32:57 -0700 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/2021/01/06?registers=between Notice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Modify the NYSE Arca Options Fee Schedule https://regulations.justia.com/regulations/fedreg/2021/01/06/2020-29285.html https://regulations.justia.com/regulations/fedreg/2021/01/06/2020-29285.html Wed, 06 Jan 2021 00:00:00 -0800 2020-29285 Notice https://www.govinfo.gov/content/pkg/FR-2021-01-06/pdf/2020-29285.pdf Notice - Self-Regulatory Organizations; The Nasdaq Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend General 7: Consolidated Audit Trail Compliance, the Exchange's Compliance Rule https://regulations.justia.com/regulations/fedreg/2021/01/06/2020-29284.html https://regulations.justia.com/regulations/fedreg/2021/01/06/2020-29284.html Wed, 06 Jan 2021 00:00:00 -0800 2020-29284 Notice https://www.govinfo.gov/content/pkg/FR-2021-01-06/pdf/2020-29284.pdf Notice - Self-Regulatory Organizations; NYSE Arca, Inc.; Order Instituting Proceedings To Determine Whether To Approve or Disapprove a Proposed Rule Change, as Modified by Amendment No. 1, To Amend NYSE Arca Rule 8.900-E To Adopt Generic Listing Standards for Managed Portfolio Shares https://regulations.justia.com/regulations/fedreg/2021/01/06/2020-29283.html https://regulations.justia.com/regulations/fedreg/2021/01/06/2020-29283.html Wed, 06 Jan 2021 00:00:00 -0800 2020-29283 Notice https://www.govinfo.gov/content/pkg/FR-2021-01-06/pdf/2020-29283.pdf Notice - Self-Regulatory Organizations; Fixed Income Clearing Corporation; Notice of Filing and Extension of the Review Period of an Advance Notice To Modify the Calculation of the MBSD VaR Floor To Incorporate a Minimum Margin Amount https://regulations.justia.com/regulations/fedreg/2021/01/06/2020-29251.html https://regulations.justia.com/regulations/fedreg/2021/01/06/2020-29251.html Wed, 06 Jan 2021 00:00:00 -0800 2020-29251 Notice https://www.govinfo.gov/content/pkg/FR-2021-01-06/pdf/2020-29251.pdf Notice - Self-Regulatory Organizations; NYSE American LLC; Notice of Filing and Immediate Effectiveness of Proposed Change To Modify the NYSE American Options Fee Schedule https://regulations.justia.com/regulations/fedreg/2021/01/06/2020-29222.html https://regulations.justia.com/regulations/fedreg/2021/01/06/2020-29222.html Wed, 06 Jan 2021 00:00:00 -0800 2020-29222 Notice https://www.govinfo.gov/content/pkg/FR-2021-01-06/pdf/2020-29222.pdf Notice - Self-Regulatory Organizations; The Nasdaq Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Waive Certain Fees Related to Non-Convertible Bonds https://regulations.justia.com/regulations/fedreg/2021/01/06/2020-29221.html https://regulations.justia.com/regulations/fedreg/2021/01/06/2020-29221.html Wed, 06 Jan 2021 00:00:00 -0800 2020-29221 Notice https://www.govinfo.gov/content/pkg/FR-2021-01-06/pdf/2020-29221.pdf Notice - Self-Regulatory Organizations; MIAX PEARL, LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Exchange Rule 3100, Registration Requirements, To Adopt Temporary Interpretation and Policy .13 (Temporary Extension of the Limited Period for Registered Persons To Function as Principals) https://regulations.justia.com/regulations/fedreg/2021/01/06/2020-29220.html https://regulations.justia.com/regulations/fedreg/2021/01/06/2020-29220.html Wed, 06 Jan 2021 00:00:00 -0800 2020-29220 Notice https://www.govinfo.gov/content/pkg/FR-2021-01-06/pdf/2020-29220.pdf Notice - Self-Regulatory Organizations; Miami International Securities Exchange LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Exchange Rule 1900, Registration Requirements, To Adopt Temporary Interpretation and Policy .13 (Temporary Extension of the Limited Period for Registered Persons To Function as Principals) https://regulations.justia.com/regulations/fedreg/2021/01/06/2020-29219.html https://regulations.justia.com/regulations/fedreg/2021/01/06/2020-29219.html Wed, 06 Jan 2021 00:00:00 -0800 2020-29219 Notice https://www.govinfo.gov/content/pkg/FR-2021-01-06/pdf/2020-29219.pdf Notice - Self-Regulatory Organizations; MIAX Emerald, LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Exchange Rule 1900, Registration Requirements, To Adopt Temporary Interpretation and Policy .13 (Temporary Extension of the Limited Period for Registered Persons To Function as Principals) https://regulations.justia.com/regulations/fedreg/2021/01/06/2020-29218.html https://regulations.justia.com/regulations/fedreg/2021/01/06/2020-29218.html Wed, 06 Jan 2021 00:00:00 -0800 2020-29218 Notice https://www.govinfo.gov/content/pkg/FR-2021-01-06/pdf/2020-29218.pdf Notice - Self-Regulatory Organizations; The Options Clearing Corporation; Order Granting Accelerated Approval of Proposed Rule Change Concerning the Implementation of New Sufficiency Scenarios in the Options Clearing Corporation's Stress Testing Inventory https://regulations.justia.com/regulations/fedreg/2021/01/06/2020-29217.html https://regulations.justia.com/regulations/fedreg/2021/01/06/2020-29217.html Wed, 06 Jan 2021 00:00:00 -0800 2020-29217 Notice https://www.govinfo.gov/content/pkg/FR-2021-01-06/pdf/2020-29217.pdf Notice - Joint Industry Plan; Notice of Filing of Amendment to the National Market System Plan Governing the Consolidated Audit Trail by BOX Exchange LLC; Cboe BYX Exchange, Inc., Cboe BZX Exchange, Inc., Cboe EDGA Exchange, Inc., Cboe EDGX Exchange, Inc., Cboe C2 Exchange, Inc. and Cboe Exchange, Inc., Financial Industry Regulatory Authority, Inc., Investors Exchange LLC, Long-Term Stock Exchange, Inc., Miami International Securities Exchange LLC, MEMX, LLC, MIAX Emerald, LLC, MIAX PEARL, LLC, Nasdaq BX, Inc., Nasdaq GEMX, LLC, Nasdaq ISE, LLC, Nasdaq MRX, LLC, Nasdaq PHLX LLC, The NASDAQ Stock Market LLC; and New York Stock Exchange LLC, NYSE American LLC, NYSE Arca, Inc., NYSE Chicago, Inc., and NYSE National, Inc. https://regulations.justia.com/regulations/fedreg/2021/01/06/2020-29216.html https://regulations.justia.com/regulations/fedreg/2021/01/06/2020-29216.html Wed, 06 Jan 2021 00:00:00 -0800 2020-29216 Notice https://www.govinfo.gov/content/pkg/FR-2021-01-06/pdf/2020-29216.pdf Notice - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing of Amendment No. 1 and Order Instituting Proceedings To Determine Whether To Approve or Disapprove a Proposed Rule Change, as Modified by Amendment No. 1, To Adopt Proposed Rule 6439 (Requirements for Member Inter-Dealer Quotation Systems) and Rescind the Rules Related to the OTC Bulletin Board Service https://regulations.justia.com/regulations/fedreg/2021/01/06/2020-29215.html https://regulations.justia.com/regulations/fedreg/2021/01/06/2020-29215.html Wed, 06 Jan 2021 00:00:00 -0800 2020-29215 Notice https://www.govinfo.gov/content/pkg/FR-2021-01-06/pdf/2020-29215.pdf Notice - Self-Regulatory Organizations; NYSE American LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Extending the Expiration Date of the Temporary Amendments to Rules 9261 and 9830 as Set Forth in SR-NYSEAMER-2020-69 From December 31, 2020, to April 30, 2021 https://regulations.justia.com/regulations/fedreg/2021/01/06/2020-29214.html https://regulations.justia.com/regulations/fedreg/2021/01/06/2020-29214.html Wed, 06 Jan 2021 00:00:00 -0800 2020-29214 Notice https://www.govinfo.gov/content/pkg/FR-2021-01-06/pdf/2020-29214.pdf Notice - Self-Regulatory Organizations; NYSE National, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Extending the Expiration Date of the Temporary Amendments to Rules 10.9261 and 10.9830 as Set Forth in SR-NYSENAT-2020-31 From December 31, 2020, to April 30, 2021 https://regulations.justia.com/regulations/fedreg/2021/01/06/2020-29213.html https://regulations.justia.com/regulations/fedreg/2021/01/06/2020-29213.html Wed, 06 Jan 2021 00:00:00 -0800 2020-29213 Notice https://www.govinfo.gov/content/pkg/FR-2021-01-06/pdf/2020-29213.pdf Notice - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Extending the Expiration Date of the Temporary Amendments to Rules 9261 and 9830 as Set Forth in SR-NYSE-2020-76 From December 31, 2020, to April 30, 2021 https://regulations.justia.com/regulations/fedreg/2021/01/06/2020-29212.html https://regulations.justia.com/regulations/fedreg/2021/01/06/2020-29212.html Wed, 06 Jan 2021 00:00:00 -0800 2020-29212 Notice https://www.govinfo.gov/content/pkg/FR-2021-01-06/pdf/2020-29212.pdf Notice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Extending the Expiration Date of the Temporary Amendments to Rules 10.9261 and 10.9830 as Set Forth in SR-NYSEArca-2020-85 From December 31, 2020, to April 30, 2021 https://regulations.justia.com/regulations/fedreg/2021/01/06/2020-29211.html https://regulations.justia.com/regulations/fedreg/2021/01/06/2020-29211.html Wed, 06 Jan 2021 00:00:00 -0800 2020-29211 Notice https://www.govinfo.gov/content/pkg/FR-2021-01-06/pdf/2020-29211.pdf Rule - Good Faith Determinations of Fair Value https://regulations.justia.com/regulations/fedreg/2021/01/06/2020-26971.html https://regulations.justia.com/regulations/fedreg/2021/01/06/2020-26971.html Wed, 06 Jan 2021 00:00:00 -0800 2020-26971 Rule https://www.govinfo.gov/content/pkg/FR-2021-01-06/pdf/2020-26971.pdf