Securities and Exchange Commission August 5, 2021 – Federal Register Recent Federal Regulation Documents

Results 1 - 9 of 9
Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Reformat the Basic Rates Section of the NYSE Arca Equities Fees and Charges
Document Number: 2021-16678
Type: Notice
Date: 2021-08-05
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2021/08/05/2021-16678.html
Self-Regulatory Organizations; Nasdaq BX, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the Options 4 Listing Rules
Document Number: 2021-16677
Type: Notice
Date: 2021-08-05
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2021/08/05/2021-16677.html
Self-Regulatory Organizations; The Nasdaq Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Options 4 Listing Rules
Document Number: 2021-16676
Type: Notice
Date: 2021-08-05
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2021/08/05/2021-16676.html
Self-Regulatory Organizations; New York Stock Exchange LLC; NYSE National, Inc.; NYSE American LLC; NYSE Chicago, Inc.; Notice of Designation of a Longer Period for Commission Action on Proceedings To Determine Whether To Approve or Disapprove a Proposed Rule Change To Amend Each of the Exchange's Co-Location Services and Fee Schedule To Add Two Partial Cabinet Solution Bundles
Document Number: 2021-16675
Type: Notice
Date: 2021-08-05
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2021/08/05/2021-16675.html
Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Designation of a Longer Period for Commission Action on Proceedings To Determine Whether To Approve or Disapprove a Proposed Rule Change To Amend NYSE Arca's Co-Location Services and Fee Schedule To Add Two Partial Cabinet Solution Bundles
Document Number: 2021-16674
Type: Notice
Date: 2021-08-05
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2021/08/05/2021-16674.html
Notice of Intention To Cancel Registration of Certain Municipal Advisors Pursuant to Section 15b(c)(3) of the Securities Exchange Act of 1934
Document Number: 2021-16673
Type: Notice
Date: 2021-08-05
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2021/08/05/2021-16673.html
Self-Regulatory Organizations; Cboe Exchange, Inc.; Notice of Withdrawal of 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: 2021-16672
Type: Notice
Date: 2021-08-05
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2021/08/05/2021-16672.html
Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Order Approving a Proposed Rule Change, as Modified by Amendment No. 1 and Amendment No. 2, To Adopt FINRA Rule 4111 (Restricted Firm Obligations) and FINRA Rule 9561 (Procedures for Regulating Activities Under Rule 4111)
Document Number: 2021-16671
Type: Notice
Date: 2021-08-05
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2021/08/05/2021-16671.html
Notice of Applications for Deregistration Under Section 8(f) of the Investment Company Act of 1940
Document Number: 2021-16658
Type: Notice
Date: 2021-08-05
Agency: Securities and Exchange Commission, Agencies and Commissions
Applicant, a closed-end investment company, seeks an order declaring that it has ceased to be an investment company. On May 17, 2019, August 28, 2019, December 20, 2019, April 2, 2020, and July 1, 2020, applicant made liquidating distributions to its shareholders based on net asset value. Expenses of $67,000 incurred in connection with the liquidation were paid by the applicant. Applicant also has retained $67,000 for the purpose of paying outstanding accrued liabilities. Filing Dates: The application was filed on October 14, 2020 and amended on July 27, 2021. Applicant's Address: Jonathan.Gaines@dechert.com.
https://regulations.justia.com/regulations/fedreg/2021/08/05/2021-16658.html
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