Securities and Exchange Commission June 3, 2021 – Federal Register Recent Federal Regulation Documents

Results 1 - 14 of 14
Self-Regulatory Organizations; The Nasdaq Stock Market LLC; Notice of Filing of Amendment No. 1 and Order Granting Accelerated Approval of Proposed Rule Change, as Modified by Amendment No. 1, To Amend Equity 4, Rule 4754 Relating to the Limit Up-Limit Down Closing Cross
Document Number: 2021-11693
Type: Notice
Date: 2021-06-03
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2021/06/03/2021-11693.html
Self-Regulatory Organizations; BOX Exchange LLC; Notice of Filing of Proposed Rule Change To Amend BOX Rule 5050 (Series of Options Contracts Open for Trading) To Limit Short Term Options Series Intervals
Document Number: 2021-11691
Type: Notice
Date: 2021-06-03
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2021/06/03/2021-11691.html
Joint Industry Plan; Order Approving the Fiftieth Amendment to the Joint Self-Regulatory Organization Plan Governing the Collection, Consolidation and Dissemination of Quotation and Transaction Information for Nasdaq-Listed Securities Traded on Exchanges on an Unlisted Trading Privileges Basis, as Modified by Amendment Nos. 1 and 2
Document Number: 2021-11687
Type: Notice
Date: 2021-06-03
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2021/06/03/2021-11687.html
Consolidated Tape Association; Order Approving the Thirty-Sixth Substantive Amendment to the Second Restatement of the CTA Plan and the Twenty-Seventh Substantive Amendment to the Restated CQ Plan
Document Number: 2021-11686
Type: Notice
Date: 2021-06-03
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2021/06/03/2021-11686.html
Franklin Templeton Co-Investing Interval Fund, et al.
Document Number: 2021-11614
Type: Notice
Date: 2021-06-03
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2021/06/03/2021-11614.html
Self-Regulatory Organizations; Cboe Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Rule 3.54 and Rule 3.10
Document Number: 2021-11613
Type: Notice
Date: 2021-06-03
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2021/06/03/2021-11613.html
Self-Regulatory Organizations; Long-Term Stock Exchange; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to a Temporary Reduction in the Initial Listing Fee
Document Number: 2021-11612
Type: Notice
Date: 2021-06-03
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2021/06/03/2021-11612.html
Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending the NYSE Arca Equities Fees and Charges
Document Number: 2021-11611
Type: Notice
Date: 2021-06-03
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2021/06/03/2021-11611.html
Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To List and Trade Shares of the American Century Sustainable Growth ETF
Document Number: 2021-11610
Type: Notice
Date: 2021-06-03
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2021/06/03/2021-11610.html
Self-Regulatory Organizations; Cboe C2 Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Align the Exchange's Rulebook With the Rulebook of Its Affiliated Exchange, Cboe Options, Inc. (“Cboe Options”) and Make Other Formatting Changes
Document Number: 2021-11609
Type: Notice
Date: 2021-06-03
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2021/06/03/2021-11609.html
Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Eliminate the Per-Transaction Fee for Late and Corrective Reports to the FINRA/Nasdaq TRF and To Increase the Participation Fee
Document Number: 2021-11608
Type: Notice
Date: 2021-06-03
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2021/06/03/2021-11608.html
Self-Regulatory Organizations; Cboe Exchange, Inc.; Notice of Designation of a Longer Period for Commission Action on Proceedings To Determine Whether To Approve or Disapprove a Proposed Rule Change, as Modified by Amendment No. 1, To Amend Its Rules Regarding the Minimum Increments for Electronic Bids and Offers and Exercise Prices of Certain FLEX Options and Clarify in the Rules How the System Ranks FLEX Option Bids and Offers for Allocation Purposes
Document Number: 2021-11607
Type: Notice
Date: 2021-06-03
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2021/06/03/2021-11607.html
Self-Regulatory Organizations; The Options Clearing Corporation; Order Approving Proposed Rule Change To Establish OCC's Persistent Minimum Skin-In-The-Game
Document Number: 2021-11606
Type: Notice
Date: 2021-06-03
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2021/06/03/2021-11606.html
Self-Regulatory Organizations; Fixed Income Clearing Corporation; Notice of Filing of Advance Notice To Add the Sponsored GC Service and Make Other Changes
Document Number: 2021-11605
Type: Notice
Date: 2021-06-03
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2021/06/03/2021-11605.html
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