<![CDATA[Federal Register Recent Federal Regulation Documents - Justia Regulation Tracker - Justia Regulations Tracker]]> https://regulations.justia.com/regulations/fedreg/agencies/securities-and-exchange-commission/2021/05/05?registers=between Sun, 19 May 2024 14:32:02 -0700 Sun, 19 May 2024 14:32:02 -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/2021/05/05?registers=between Notice - Sunshine Act Meeting; Date Change https://regulations.justia.com/regulations/fedreg/2021/05/05/2021-09552.html https://regulations.justia.com/regulations/fedreg/2021/05/05/2021-09552.html Wed, 05 May 2021 00:00:00 -0700 2021-09552 Notice https://www.govinfo.gov/content/pkg/FR-2021-05-05/pdf/2021-09552.pdf Notice - Self-Regulatory Organizations; NYSE Chicago, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending the Fee Schedule of NYSE Chicago, Inc. https://regulations.justia.com/regulations/fedreg/2021/05/05/2021-09450.html https://regulations.justia.com/regulations/fedreg/2021/05/05/2021-09450.html Wed, 05 May 2021 00:00:00 -0700 2021-09450 Notice https://www.govinfo.gov/content/pkg/FR-2021-05-05/pdf/2021-09450.pdf Notice - Self-Regulatory Organizations; NYSE National, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending NYSE National, Inc.'s Price List https://regulations.justia.com/regulations/fedreg/2021/05/05/2021-09449.html https://regulations.justia.com/regulations/fedreg/2021/05/05/2021-09449.html Wed, 05 May 2021 00:00:00 -0700 2021-09449 Notice https://www.govinfo.gov/content/pkg/FR-2021-05-05/pdf/2021-09449.pdf Notice - Self-Regulatory Organizations; Cboe BYX Exchange, Inc.; Notice of Filing of a Proposed Rule Change To Amend the Sixth Amended and Restated Bylaws of Cboe BYX Exchange, Inc.'s Parent Corporation, Cboe Global Markets, Inc. To Implement Proxy Access https://regulations.justia.com/regulations/fedreg/2021/05/05/2021-09448.html https://regulations.justia.com/regulations/fedreg/2021/05/05/2021-09448.html Wed, 05 May 2021 00:00:00 -0700 2021-09448 Notice https://www.govinfo.gov/content/pkg/FR-2021-05-05/pdf/2021-09448.pdf Notice - Self-Regulatory Organizations; Cboe Exchange, Inc.; Notice of Filing of a Proposed Rule Change To Amend the Sixth Amended and Restated Bylaws of Cboe Exchange, Inc.'s Parent Corporation, Cboe Global Markets, Inc. To Implement Proxy Access https://regulations.justia.com/regulations/fedreg/2021/05/05/2021-09447.html https://regulations.justia.com/regulations/fedreg/2021/05/05/2021-09447.html Wed, 05 May 2021 00:00:00 -0700 2021-09447 Notice https://www.govinfo.gov/content/pkg/FR-2021-05-05/pdf/2021-09447.pdf Notice - Self-Regulatory Organizations; Cboe BZX Exchange, Inc.; Notice of Filing of a Proposed Rule Change To Amend the Sixth Amended and Restated Bylaws of Cboe BZX Exchange, Inc.'s Parent Corporation, Cboe Global Markets, Inc. To Implement Proxy Access https://regulations.justia.com/regulations/fedreg/2021/05/05/2021-09446.html https://regulations.justia.com/regulations/fedreg/2021/05/05/2021-09446.html Wed, 05 May 2021 00:00:00 -0700 2021-09446 Notice https://www.govinfo.gov/content/pkg/FR-2021-05-05/pdf/2021-09446.pdf Notice - Self-Regulatory Organizations; Cboe EDGA Exchange, Inc.; Notice of Filing of a Proposed Rule Change To Amend the Sixth Amended and Restated Bylaws of Cboe EDGA Exchange, Inc.'s Parent Corporation, Cboe Global Markets, Inc. To Implement Proxy Access https://regulations.justia.com/regulations/fedreg/2021/05/05/2021-09445.html https://regulations.justia.com/regulations/fedreg/2021/05/05/2021-09445.html Wed, 05 May 2021 00:00:00 -0700 2021-09445 Notice https://www.govinfo.gov/content/pkg/FR-2021-05-05/pdf/2021-09445.pdf Notice - Self-Regulatory Organizations; Cboe EDGX Exchange, Inc.; Notice of Filing of a Proposed Rule Change To Amend the Sixth Amended and Restated Bylaws of Cboe EDGX Exchange, Inc.'s Parent Corporation, Cboe Global Markets, Inc. To Implement Proxy Access https://regulations.justia.com/regulations/fedreg/2021/05/05/2021-09444.html https://regulations.justia.com/regulations/fedreg/2021/05/05/2021-09444.html Wed, 05 May 2021 00:00:00 -0700 2021-09444 Notice https://www.govinfo.gov/content/pkg/FR-2021-05-05/pdf/2021-09444.pdf Notice - Self-Regulatory Organizations; BOX Exchange LLC; Notice of Filing of Proposed Rule Change To Adopt BOX Rule 7670 To Establish a Virtual Trading Floor on BOX https://regulations.justia.com/regulations/fedreg/2021/05/05/2021-09443.html https://regulations.justia.com/regulations/fedreg/2021/05/05/2021-09443.html Wed, 05 May 2021 00:00:00 -0700 2021-09443 Notice https://www.govinfo.gov/content/pkg/FR-2021-05-05/pdf/2021-09443.pdf Notice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending the NYSE Arca Options Fees and Charges and the NYSE Arca Equities Fees and Charges Schedules https://regulations.justia.com/regulations/fedreg/2021/05/05/2021-09442.html https://regulations.justia.com/regulations/fedreg/2021/05/05/2021-09442.html Wed, 05 May 2021 00:00:00 -0700 2021-09442 Notice https://www.govinfo.gov/content/pkg/FR-2021-05-05/pdf/2021-09442.pdf Notice - Self-Regulatory Organizations; NYSE American LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the NYSE American Equities Price List and Fee Schedule and the NYSE American Options Fee Schedule https://regulations.justia.com/regulations/fedreg/2021/05/05/2021-09441.html https://regulations.justia.com/regulations/fedreg/2021/05/05/2021-09441.html Wed, 05 May 2021 00:00:00 -0700 2021-09441 Notice https://www.govinfo.gov/content/pkg/FR-2021-05-05/pdf/2021-09441.pdf Notice - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending the New York Stock Exchange Price List https://regulations.justia.com/regulations/fedreg/2021/05/05/2021-09440.html https://regulations.justia.com/regulations/fedreg/2021/05/05/2021-09440.html Wed, 05 May 2021 00:00:00 -0700 2021-09440 Notice https://www.govinfo.gov/content/pkg/FR-2021-05-05/pdf/2021-09440.pdf Notice - Self-Regulatory Organizations; MIAX PEARL, LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Interpretation and Policy .13 (Temporary Extension of the Limited Period for Registered Persons To Function as Principals) to Exchange Rule 3100, Registration Requirements, To Extend The Expiration Date of The Temporary Amendment Set Forth in SR-PEARL-2020-36 from April 30, 2021 to June 30, 2021 https://regulations.justia.com/regulations/fedreg/2021/05/05/2021-09439.html https://regulations.justia.com/regulations/fedreg/2021/05/05/2021-09439.html Wed, 05 May 2021 00:00:00 -0700 2021-09439 Notice https://www.govinfo.gov/content/pkg/FR-2021-05-05/pdf/2021-09439.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/2021/05/05/2021-09438.html https://regulations.justia.com/regulations/fedreg/2021/05/05/2021-09438.html Wed, 05 May 2021 00:00:00 -0700 2021-09438 Notice https://www.govinfo.gov/content/pkg/FR-2021-05-05/pdf/2021-09438.pdf Notice - Self-Regulatory Organizations; NYSE Chicago, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Extend the Effective Date in Interpretation and Policy .10 Under NYSE Chicago Article 6, Rule 13 https://regulations.justia.com/regulations/fedreg/2021/05/05/2021-09437.html https://regulations.justia.com/regulations/fedreg/2021/05/05/2021-09437.html Wed, 05 May 2021 00:00:00 -0700 2021-09437 Notice https://www.govinfo.gov/content/pkg/FR-2021-05-05/pdf/2021-09437.pdf Notice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Extend the Effective Date in Commentary .10 under NYSE Arca Rule 2.1210 https://regulations.justia.com/regulations/fedreg/2021/05/05/2021-09436.html https://regulations.justia.com/regulations/fedreg/2021/05/05/2021-09436.html Wed, 05 May 2021 00:00:00 -0700 2021-09436 Notice https://www.govinfo.gov/content/pkg/FR-2021-05-05/pdf/2021-09436.pdf Notice - Self-Regulatory Organizations; NYSE American LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Extend the Effective Date in Commentary .10 under NYSE American Rule 2.1210 https://regulations.justia.com/regulations/fedreg/2021/05/05/2021-09435.html https://regulations.justia.com/regulations/fedreg/2021/05/05/2021-09435.html Wed, 05 May 2021 00:00:00 -0700 2021-09435 Notice https://www.govinfo.gov/content/pkg/FR-2021-05-05/pdf/2021-09435.pdf Notice - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Extend the Effective Date in Commentary .10 Under NYSE Rule 1210 https://regulations.justia.com/regulations/fedreg/2021/05/05/2021-09434.html https://regulations.justia.com/regulations/fedreg/2021/05/05/2021-09434.html Wed, 05 May 2021 00:00:00 -0700 2021-09434 Notice https://www.govinfo.gov/content/pkg/FR-2021-05-05/pdf/2021-09434.pdf Notice - Self-Regulatory Organizations; Miami International Securities Exchange, LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Interpretation and Policy .13 (Temporary Extension of the Limited Period for Registered Persons to Function as Principals) To Exchange Rule 1900, Registration Requirements, To Extend the Expiration Date of the Temporary Amendment Set Forth in SR-MIAX-2020-42 from April 30, 2021 to June 30, 2021 https://regulations.justia.com/regulations/fedreg/2021/05/05/2021-09433.html https://regulations.justia.com/regulations/fedreg/2021/05/05/2021-09433.html Wed, 05 May 2021 00:00:00 -0700 2021-09433 Notice https://www.govinfo.gov/content/pkg/FR-2021-05-05/pdf/2021-09433.pdf Notice - Self-Regulatory Organizations; MIAX Emerald, LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Interpretation and Policy .13 (Temporary Extension of the Limited Period for Registered Persons To Function as Principals) to Exchange Rule 1900, Registration Requirements, To Extend the Expiration Date of the Temporary Amendment Set Forth in SR-EMERALD-2020-21 From April 30, 2021 to June 30, 2021 https://regulations.justia.com/regulations/fedreg/2021/05/05/2021-09432.html https://regulations.justia.com/regulations/fedreg/2021/05/05/2021-09432.html Wed, 05 May 2021 00:00:00 -0700 2021-09432 Notice https://www.govinfo.gov/content/pkg/FR-2021-05-05/pdf/2021-09432.pdf Notice - Self-Regulatory Organizations; MIAX Emerald, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Exchange Rule 515, Execution of Orders and Quotes; Rule 516, Order Types Defined; Rule 517, Quote Types Defined; Rule 605, Market Maker Orders; and Rule 612, Aggregate Risk Manager To Eliminate Fill-or-Kill (FOK) Orders and FOK eQuotes https://regulations.justia.com/regulations/fedreg/2021/05/05/2021-09431.html https://regulations.justia.com/regulations/fedreg/2021/05/05/2021-09431.html Wed, 05 May 2021 00:00:00 -0700 2021-09431 Notice https://www.govinfo.gov/content/pkg/FR-2021-05-05/pdf/2021-09431.pdf Notice - Self-Regulatory Organizations; Cboe C2 Exchange, Inc.; Notice of Filing of a Proposed Rule Change To Amend the Sixth Amended and Restated Bylaws of Cboe C2 Exchange, Inc.'s Parent Corporation, Cboe Global Markets, Inc. To Implement Proxy Access https://regulations.justia.com/regulations/fedreg/2021/05/05/2021-09430.html https://regulations.justia.com/regulations/fedreg/2021/05/05/2021-09430.html Wed, 05 May 2021 00:00:00 -0700 2021-09430 Notice https://www.govinfo.gov/content/pkg/FR-2021-05-05/pdf/2021-09430.pdf Notice - Self-Regulatory Organizations; National Securities Clearing Corporation; Notice of Filing of and No Objection to Advance Notice Regarding the Renewal of a 364-Day Committed Revolving Line-of-Credit and Future Annual Renewals https://regulations.justia.com/regulations/fedreg/2021/05/05/2021-09428.html https://regulations.justia.com/regulations/fedreg/2021/05/05/2021-09428.html Wed, 05 May 2021 00:00:00 -0700 2021-09428 Notice https://www.govinfo.gov/content/pkg/FR-2021-05-05/pdf/2021-09428.pdf Notice - Self-Regulatory Organizations; Nasdaq PHLX LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change to the Exchange's Pricing Schedule at Options 7 To Adopt Pricing for Index Options on the Nasdaq 100 Micro Index https://regulations.justia.com/regulations/fedreg/2021/05/05/2021-09281.html https://regulations.justia.com/regulations/fedreg/2021/05/05/2021-09281.html Wed, 05 May 2021 00:00:00 -0700 2021-09281 Notice https://www.govinfo.gov/content/pkg/FR-2021-05-05/pdf/2021-09281.pdf Notice - Self-Regulatory Organizations; Cboe BZX Exchange, Inc.; Notice of Designation of a Longer Period for Commission Action on a Proposed Rule Change To List and Trade Shares of the VanEck Bitcoin Trust Under BZX Rule 14.11(e)(4), Commodity-Based Trust Shares https://regulations.justia.com/regulations/fedreg/2021/05/05/2021-09280.html https://regulations.justia.com/regulations/fedreg/2021/05/05/2021-09280.html Wed, 05 May 2021 00:00:00 -0700 2021-09280 Notice https://www.govinfo.gov/content/pkg/FR-2021-05-05/pdf/2021-09280.pdf