Federal Register Recent Federal Regulation Documents - Justia Regulation Tracker - Justia Regulations Tracker https://regulations.justia.com/regulations/fedreg/agencies/securities-and-exchange-commission/2021/10/21?limit=200&registers=between&mode=atom 2024-11-27T15:06:32-08:00 Justia Inc https://www.justia.com/ Justia Regulations Tracker https://regulations.justia.com/images/justiafedregulations.gif Copyright 2011 Justia Inc https://regulations.justia.com/regulations/fedreg/2021/10/21/2021-23108.html Notice - Sunshine Act Meetings 2021-10-21T00:00:00-07:00 2021-10-21T00:00:00-07:00 2021-23108 Notice https://www.govinfo.gov/content/pkg/FR-2021-10-21/pdf/2021-23108.pdf https://regulations.justia.com/regulations/fedreg/2021/10/21/2021-22943.html Notice - Self-Regulatory Organizations: MIAX PEARL, LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the MIAX Pearl Options Fee Schedule To Adjust the Options Regulatory Fee 2021-10-21T00:00:00-07:00 2021-10-21T00:00:00-07:00 2021-22943 Notice https://www.govinfo.gov/content/pkg/FR-2021-10-21/pdf/2021-22943.pdf https://regulations.justia.com/regulations/fedreg/2021/10/21/2021-22942.html Notice - Self-Regulatory Organizations: Miami International Securities Exchange LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Its Fee Schedule To Adjust the Options Regulatory Fee 2021-10-21T00:00:00-07:00 2021-10-21T00:00:00-07:00 2021-22942 Notice https://www.govinfo.gov/content/pkg/FR-2021-10-21/pdf/2021-22942.pdf https://regulations.justia.com/regulations/fedreg/2021/10/21/2021-22941.html Notice - Self-Regulatory Organizations; Cboe BYX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Extend the Pilot Related to the Market-Wide Circuit Breaker in Rule 11.18 2021-10-21T00:00:00-07:00 2021-10-21T00:00:00-07:00 2021-22941 Notice https://www.govinfo.gov/content/pkg/FR-2021-10-21/pdf/2021-22941.pdf https://regulations.justia.com/regulations/fedreg/2021/10/21/2021-22940.html Notice - Self-Regulatory Organizations: MIAX Emerald, LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Its Fee Schedule To Adjust the Options Regulatory Fee 2021-10-21T00:00:00-07:00 2021-10-21T00:00:00-07:00 2021-22940 Notice https://www.govinfo.gov/content/pkg/FR-2021-10-21/pdf/2021-22940.pdf https://regulations.justia.com/regulations/fedreg/2021/10/21/2021-22939.html Notice - Self-Regulatory Organizations; Cboe EDGA Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Extend the Pilot Related to the Market-Wide Circuit Breaker in Rule 11.16 2021-10-21T00:00:00-07:00 2021-10-21T00:00:00-07:00 2021-22939 Notice https://www.govinfo.gov/content/pkg/FR-2021-10-21/pdf/2021-22939.pdf https://regulations.justia.com/regulations/fedreg/2021/10/21/2021-22938.html Notice - Self-Regulatory Organizations; Cboe BZX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Extend the Pilot Related to the Market-Wide Circuit Breaker in Rule 11.18 2021-10-21T00:00:00-07:00 2021-10-21T00:00:00-07:00 2021-22938 Notice https://www.govinfo.gov/content/pkg/FR-2021-10-21/pdf/2021-22938.pdf https://regulations.justia.com/regulations/fedreg/2021/10/21/2021-22937.html Notice - Self-Regulatory Organizations; MEMX LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Extend the Pilot Related to the Market Wide Circuit Breaker Until March 18, 2022 2021-10-21T00:00:00-07:00 2021-10-21T00:00:00-07:00 2021-22937 Notice https://www.govinfo.gov/content/pkg/FR-2021-10-21/pdf/2021-22937.pdf https://regulations.justia.com/regulations/fedreg/2021/10/21/2021-22936.html Notice - Self-Regulatory Organizations; The Nasdaq Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Extend the Pilot Related to Clearly Erroneous Transactions Until April 20, 2022 2021-10-21T00:00:00-07:00 2021-10-21T00:00:00-07:00 2021-22936 Notice https://www.govinfo.gov/content/pkg/FR-2021-10-21/pdf/2021-22936.pdf https://regulations.justia.com/regulations/fedreg/2021/10/21/2021-22935.html Notice - Self-Regulatory Organizations; NYSE Chicago, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Extend the Current Pilot Program Related to Rule 7.10 2021-10-21T00:00:00-07:00 2021-10-21T00:00:00-07:00 2021-22935 Notice https://www.govinfo.gov/content/pkg/FR-2021-10-21/pdf/2021-22935.pdf https://regulations.justia.com/regulations/fedreg/2021/10/21/2021-22934.html Notice - Self-Regulatory Organizations; NYSE National, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Extend the Current Pilot Program Related to Rule 7.10 2021-10-21T00:00:00-07:00 2021-10-21T00:00:00-07:00 2021-22934 Notice https://www.govinfo.gov/content/pkg/FR-2021-10-21/pdf/2021-22934.pdf https://regulations.justia.com/regulations/fedreg/2021/10/21/2021-22933.html Notice - Self-Regulatory Organizations; MEMX LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Extend the Pilot Related to Clearly Erroneous Transactions Until April 20, 2022 2021-10-21T00:00:00-07:00 2021-10-21T00:00:00-07:00 2021-22933 Notice https://www.govinfo.gov/content/pkg/FR-2021-10-21/pdf/2021-22933.pdf https://regulations.justia.com/regulations/fedreg/2021/10/21/2021-22932.html Notice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Extend the Current Pilot Program Related to Rule 7.10-E 2021-10-21T00:00:00-07:00 2021-10-21T00:00:00-07:00 2021-22932 Notice https://www.govinfo.gov/content/pkg/FR-2021-10-21/pdf/2021-22932.pdf https://regulations.justia.com/regulations/fedreg/2021/10/21/2021-22931.html Notice - Self-Regulatory Organizations; NYSE American LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Extend the Current Pilot Program Related to Rule 7.10E 2021-10-21T00:00:00-07:00 2021-10-21T00:00:00-07:00 2021-22931 Notice https://www.govinfo.gov/content/pkg/FR-2021-10-21/pdf/2021-22931.pdf https://regulations.justia.com/regulations/fedreg/2021/10/21/2021-22930.html Notice - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Extend the Pilot Program Related to FINRA Rule 11892 (Clearly Erroneous Transactions in Exchange-Listed Securities) 2021-10-21T00:00:00-07:00 2021-10-21T00:00:00-07:00 2021-22930 Notice https://www.govinfo.gov/content/pkg/FR-2021-10-21/pdf/2021-22930.pdf https://regulations.justia.com/regulations/fedreg/2021/10/21/2021-22929.html Notice - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Extend the Current Pilot Program Related to Rule 7.10 2021-10-21T00:00:00-07:00 2021-10-21T00:00:00-07:00 2021-22929 Notice https://www.govinfo.gov/content/pkg/FR-2021-10-21/pdf/2021-22929.pdf https://regulations.justia.com/regulations/fedreg/2021/10/21/2021-22928.html Notice - Self-Regulatory Organizations; Cboe EDGX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Extend the Pilot Related to the Market-Wide Circuit Breaker in Rule 11.16 2021-10-21T00:00:00-07:00 2021-10-21T00:00:00-07:00 2021-22928 Notice https://www.govinfo.gov/content/pkg/FR-2021-10-21/pdf/2021-22928.pdf https://regulations.justia.com/regulations/fedreg/2021/10/21/2021-22927.html Notice - Self-Regulatory Organizations; Cboe Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Its Fees Schedule With Respect to Its Lead Market-Maker Incentive Programs 2021-10-21T00:00:00-07:00 2021-10-21T00:00:00-07:00 2021-22927 Notice https://www.govinfo.gov/content/pkg/FR-2021-10-21/pdf/2021-22927.pdf https://regulations.justia.com/regulations/fedreg/2021/10/21/2021-22926.html Notice - Self-Regulatory Organizations; MIAX PEARL, LLC; Notice of Withdrawal of a Proposed Rule Change To Amend the MIAX Pearl Options Fee Schedule To Increase the Monthly Fees for MIAX Express Network Full Service Ports 2021-10-21T00:00:00-07:00 2021-10-21T00:00:00-07:00 2021-22926 Notice https://www.govinfo.gov/content/pkg/FR-2021-10-21/pdf/2021-22926.pdf https://regulations.justia.com/regulations/fedreg/2021/10/21/2021-22925.html Notice - Self-Regulatory Organizations; MIAX PEARL, LLC; Notice of Withdrawal of a Proposed Rule Change To Amend the MIAX Pearl Options Fee Schedule To Remove Certain Credits and Increase Trading Permit Fees 2021-10-21T00:00:00-07:00 2021-10-21T00:00:00-07:00 2021-22925 Notice https://www.govinfo.gov/content/pkg/FR-2021-10-21/pdf/2021-22925.pdf https://regulations.justia.com/regulations/fedreg/2021/10/21/2021-22924.html Notice - Self-Regulatory Organizations; Cboe EDGX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Extend the Current Pilot Program Related to Clearly Erroneous Executions, to the Close of Business on April 20, 2022 2021-10-21T00:00:00-07:00 2021-10-21T00:00:00-07:00 2021-22924 Notice https://www.govinfo.gov/content/pkg/FR-2021-10-21/pdf/2021-22924.pdf https://regulations.justia.com/regulations/fedreg/2021/10/21/2021-22923.html Notice - Self-Regulatory Organizations; Cboe EDGA Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Extend the Current Pilot Program Related to Clearly Erroneous Executions, to the Close of Business on April 20, 2022 2021-10-21T00:00:00-07:00 2021-10-21T00:00:00-07:00 2021-22923 Notice https://www.govinfo.gov/content/pkg/FR-2021-10-21/pdf/2021-22923.pdf https://regulations.justia.com/regulations/fedreg/2021/10/21/2021-22922.html Notice - Self-Regulatory Organizations; Cboe BYX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating To Extend the Current Pilot Program Related To Clearly Erroneous Executions, to the Close of Business on April 20, 2022 2021-10-21T00:00:00-07:00 2021-10-21T00:00:00-07:00 2021-22922 Notice https://www.govinfo.gov/content/pkg/FR-2021-10-21/pdf/2021-22922.pdf https://regulations.justia.com/regulations/fedreg/2021/10/21/2021-22921.html Notice - Self-Regulatory Organizations; Cboe BZX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Extend the Current Pilot Program Related to Clearly Erroneous Executions, to the Close of Business on April 20, 2022 2021-10-21T00:00:00-07:00 2021-10-21T00:00:00-07:00 2021-22921 Notice https://www.govinfo.gov/content/pkg/FR-2021-10-21/pdf/2021-22921.pdf https://regulations.justia.com/regulations/fedreg/2021/10/21/2021-22906.html Notice - Submission for OMB Review; Comment Request 2021-10-21T00:00:00-07:00 2021-10-21T00:00:00-07:00 2021-22906 Notice https://www.govinfo.gov/content/pkg/FR-2021-10-21/pdf/2021-22906.pdf https://regulations.justia.com/regulations/fedreg/2021/10/21/2021-22905.html Notice - Submission for OMB Review; Comment Request 2021-10-21T00:00:00-07:00 2021-10-21T00:00:00-07:00 2021-22905 Notice https://www.govinfo.gov/content/pkg/FR-2021-10-21/pdf/2021-22905.pdf https://regulations.justia.com/regulations/fedreg/2021/10/21/2021-22904.html Notice - Proposed Collection; Comment Request 2021-10-21T00:00:00-07:00 2021-10-21T00:00:00-07:00 2021-22904 Notice https://www.govinfo.gov/content/pkg/FR-2021-10-21/pdf/2021-22904.pdf https://regulations.justia.com/regulations/fedreg/2021/10/21/2021-22902.html Notice - For Submission Comment Request 2021-10-21T00:00:00-07:00 2021-10-21T00:00:00-07:00 2021-22902 Notice https://www.govinfo.gov/content/pkg/FR-2021-10-21/pdf/2021-22902.pdf https://regulations.justia.com/regulations/fedreg/2021/10/21/2021-22900.html Notice - Submission for OMB Review; Comment Request 2021-10-21T00:00:00-07:00 2021-10-21T00:00:00-07:00 2021-22900 Notice https://www.govinfo.gov/content/pkg/FR-2021-10-21/pdf/2021-22900.pdf https://regulations.justia.com/regulations/fedreg/2021/10/21/2021-22899.html Notice - Proposed Collection; Comment Request 2021-10-21T00:00:00-07:00 2021-10-21T00:00:00-07:00 2021-22899 Notice https://www.govinfo.gov/content/pkg/FR-2021-10-21/pdf/2021-22899.pdf https://regulations.justia.com/regulations/fedreg/2021/10/21/2021-22898.html Notice - Proposed Collection; Comment Request 2021-10-21T00:00:00-07:00 2021-10-21T00:00:00-07:00 2021-22898 Notice https://www.govinfo.gov/content/pkg/FR-2021-10-21/pdf/2021-22898.pdf https://regulations.justia.com/regulations/fedreg/2021/10/21/2021-22754.html Proposed Rule - Reopening of Comment Period for Listing Standards for Recovery of Erroneously Awarded Compensation 2021-10-21T00:00:00-07:00 2021-10-21T00:00:00-07:00 2021-22754 Proposed Rule https://www.govinfo.gov/content/pkg/FR-2021-10-21/pdf/2021-22754.pdf