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

Results 1 - 7 of 7
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: C1-2021-16671
Type: Notice
Date: 2021-09-03
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2021/09/03/C1-2021-16671.html
Sunshine Act Meetings
Document Number: 2021-19290
Type: Notice
Date: 2021-09-03
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2021/09/03/2021-19290.html
Self-Regulatory Organizations; Fixed Income Clearing Corporation; Notice of Filing of Amendment No. 1 and Order Granting Accelerated Approval of a Proposed Rule Change, as Modified by Amendment No. 1, To Add the Sponsored GC Service and Make Other Changes
Document Number: 2021-19046
Type: Notice
Date: 2021-09-03
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2021/09/03/2021-19046.html
Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Extend the Temporary Period for Specified Commentaries to Rules 7.35A and 7.35C and Temporary Rule Relief in Rule 36.30
Document Number: 2021-19045
Type: Notice
Date: 2021-09-03
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2021/09/03/2021-19045.html
Submission for OMB Review; Comment Request
Document Number: 2021-19030
Type: Notice
Date: 2021-09-03
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2021/09/03/2021-19030.html
Submission for OMB Review; Comment Request
Document Number: 2021-19029
Type: Notice
Date: 2021-09-03
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2021/09/03/2021-19029.html
Submission for OMB Review; Comment Request
Document Number: 2021-19028
Type: Notice
Date: 2021-09-03
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2021/09/03/2021-19028.html
This site is protected by reCAPTCHA and the Google Privacy Policy and Terms of Service apply.