Securities and Exchange Commission April 2019 – Federal Register Recent Federal Regulation Documents

Results 151 - 200 of 219
Submission for OMB Review; Comment Request
Document Number: 2019-06958
Type: Notice
Date: 2019-04-09
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2019/04/09/2019-06958.html
Self-Regulatory Organizations; The Nasdaq Stock Market LLC; Notice of Filing of Proposed Rule Change To Revise the Exchange's Initial Listing Standards Related to Liquidity
Document Number: 2019-06935
Type: Notice
Date: 2019-04-09
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2019/04/09/2019-06935.html
Self-Regulatory Organizations; The Nasdaq Stock Market LLC; Notice of Filing of Amendment No. 2 and Order Granting Accelerated Approval of a Proposed Rule Change, as Modified by Amendment No. 2, To Reassign Certain Investigation and Enforcement Functions Under the Exchange's Authority and Supervision
Document Number: 2019-06932
Type: Notice
Date: 2019-04-09
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2019/04/09/2019-06932.html
Self-Regulatory Organizations; The Nasdaq Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the Equity 7 Pricing Schedule, Section 139
Document Number: 2019-06931
Type: Notice
Date: 2019-04-09
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2019/04/09/2019-06931.html
Self-Regulatory Organizations; The Nasdaq Stock Market LLC; Notice of Designation of Longer Period for Commission Action on Proposed Rule Change To Adopt a New MIDP Routing Option Under Rule 4758 and Make a Conforming Change to Rule 4703(e)
Document Number: 2019-06929
Type: Notice
Date: 2019-04-09
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2019/04/09/2019-06929.html
Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Rule 6.40-O To Reduce the Minimum Allowable Parameter for the Percentage-Based Risk Limitation Mechanism
Document Number: 2019-06928
Type: Notice
Date: 2019-04-09
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2019/04/09/2019-06928.html
Self-Regulatory Organizations; ICE Clear Credit LLC; Order Approving Proposed Rule Change Relating to the ICC Risk Parameter Setting and Review Policy
Document Number: 2019-06927
Type: Notice
Date: 2019-04-09
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2019/04/09/2019-06927.html
Self-Regulatory Organizations; NYSE American LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Rule 928NY To Reduce the Minimum Allowable Parameter for the Percentage-Based Risk Limitation Mechanism
Document Number: 2019-06926
Type: Notice
Date: 2019-04-09
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2019/04/09/2019-06926.html
Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Adopt Rule 7640B, Data Products Offered by NYSE
Document Number: 2019-06925
Type: Notice
Date: 2019-04-09
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2019/04/09/2019-06925.html
Self-Regulatory Organizations; Nasdaq BX, Inc.; Notice of Withdrawal of Proposed Rule Change, As Modified By Amendment No. 1, To Make Permanent the Retail Price Improvement Program Pilot, Which Is Set To Expire on June 30, 2019
Document Number: 2019-06924
Type: Notice
Date: 2019-04-09
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2019/04/09/2019-06924.html
FAST Act Modernization and Simplification of Regulation S-K
Document Number: C1-2019-05695
Type: Rule
Date: 2019-04-08
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2019/04/08/C1-2019-05695.html
Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing of a Proposed Rule Change To Establish a Corporate Bond New Issue Reference Data Service
Document Number: 2019-06786
Type: Notice
Date: 2019-04-08
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2019/04/08/2019-06786.html
Self-Regulatory Organizations; Nasdaq GEMX, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Adopt the Term “Professional Customer”
Document Number: 2019-06785
Type: Notice
Date: 2019-04-08
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2019/04/08/2019-06785.html
Self-Regulatory Organizations; Cboe EDGX Exchange, Inc.; Notice of Filing of a Proposed Rule Change To Introduce Retail Priority
Document Number: 2019-06720
Type: Notice
Date: 2019-04-05
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2019/04/05/2019-06720.html
Proposed Collection; Comment Request
Document Number: 2019-06683
Type: Notice
Date: 2019-04-05
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2019/04/05/2019-06683.html
Proposed Collection; Comment Request
Document Number: 2019-06682
Type: Notice
Date: 2019-04-05
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2019/04/05/2019-06682.html
Proposed Collection; Comment Request
Document Number: 2019-06681
Type: Notice
Date: 2019-04-05
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2019/04/05/2019-06681.html
Proposed Collection; Comment Request
Document Number: 2019-06680
Type: Notice
Date: 2019-04-05
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2019/04/05/2019-06680.html
Proposed Collection; Comment Request
Document Number: 2019-06679
Type: Notice
Date: 2019-04-05
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2019/04/05/2019-06679.html
Proposed Collection; Comment Request
Document Number: 2019-06678
Type: Notice
Date: 2019-04-05
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2019/04/05/2019-06678.html
Self-Regulatory Organizations; Cboe C2 Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating To Amend Rule 6.4, Interpretation and Policy .02 To Specify That Replacement Issues May Be Added to the Penny Pilot Program (“Pilot”) on a Quarterly Basis, Without Altering the Expiration Date of the Pilot, Which is June 30, 2019
Document Number: 2019-06529
Type: Notice
Date: 2019-04-04
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2019/04/04/2019-06529.html
Self-Regulatory Organizations; Cboe BZX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating To Make Certain Changes to the Listing Rule Governing the Listing and Trading of the Shares of the WisdomTree Japan Multifactor Fund and the WisdomTree Europe Multifactor Fund of the WisdomTree in Order for Such Funds To Be Listed and Traded on the Exchange Under Rule 14.11(i) (“Managed Fund Shares”)
Document Number: 2019-06528
Type: Notice
Date: 2019-04-04
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2019/04/04/2019-06528.html
Self-Regulatory Organizations; Fixed Income Clearing Corporation; Order Approving a Proposed Rule Change To Expand Sponsoring Member Eligibility in the Government Securities Division Rulebook and Make Other Changes
Document Number: 2019-06527
Type: Notice
Date: 2019-04-04
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2019/04/04/2019-06527.html
Self-Regulatory Organizations; Miami International Securities Exchange, LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Exchange Rule 510, Minimum Price Variations and Minimum Trading Increments
Document Number: 2019-06526
Type: Notice
Date: 2019-04-04
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2019/04/04/2019-06526.html
Self-Regulatory Organizations; Nasdaq PHLX LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Specify Replacement Issues That May Be Added to the Penny Pilot in Rule 1034
Document Number: 2019-06525
Type: Notice
Date: 2019-04-04
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2019/04/04/2019-06525.html
Self-Regulatory Organizations; Cboe EDGX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating To Amend Rule 21.5, Interpretation and Policy .01 To Specify That Replacement Issues May Be Added to the Penny Pilot Program (“Pilot”) on a Quarterly Basis, Without Altering the Expiration Date of the Pilot, Which Is June 30, 2019
Document Number: 2019-06524
Type: Notice
Date: 2019-04-04
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2019/04/04/2019-06524.html
Self-Regulatory Organizations; Cboe BZX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating To Amend Rule 21.5, Interpretation and Policy .01 To Specify That Replacement Issues May Be Added to the Penny Pilot Program (“Pilot”) on a Quarterly Basis, Without Altering the Expiration Date of the Pilot, Which Is June 30, 2019
Document Number: 2019-06523
Type: Notice
Date: 2019-04-04
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2019/04/04/2019-06523.html
Self-Regulatory Organizations; Nasdaq MRX, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Supplementary Material .01 to Rule 710, “Minimum Increments”
Document Number: 2019-06522
Type: Notice
Date: 2019-04-04
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2019/04/04/2019-06522.html
Self-Regulatory Organizations; Nasdaq GEMX, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Supplementary Material .01 to Rule 710 To Specify Replacement Issues That May Be Added to the Penny Pilot on a Quarterly Basis Without Altering the Expiration Date of the Pilot
Document Number: 2019-06521
Type: Notice
Date: 2019-04-04
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2019/04/04/2019-06521.html
Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Designation of a Longer Period for Commission Action on a Proposed Rule Change Relating to the Listing and Trading of Shares of the Bitwise Bitcoin ETF Trust Under NYSE Arca Rule 8.201-E
Document Number: 2019-06520
Type: Notice
Date: 2019-04-04
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2019/04/04/2019-06520.html
Self-Regulatory Organizations; BOX Exchange LLC; Order Disapproving Proposed Rule Changes To Amend the Fee Schedule on the BOX Market LLC Options Facility To Establish BOX Connectivity Fees for Participants and Non-Participants Who Connect to the BOX Network
Document Number: 2019-06519
Type: Notice
Date: 2019-04-04
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2019/04/04/2019-06519.html
Self-Regulatory Organizations; Cboe Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating To Amend Rule 6.42, Interpretation and Policy .04 To Specify That Replacement Issues May Be Added to the Penny Pilot Program (“Pilot”) on a Quarterly Basis, Without Altering the Expiration Date of the Pilot, Which Is June 30, 2019
Document Number: 2019-06517
Type: Notice
Date: 2019-04-04
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2019/04/04/2019-06517.html
Self-Regulatory Organizations; MIAX Emerald, LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Exchange Rule 510, Minimum Price Variations and Minimum Trading Increments
Document Number: 2019-06516
Type: Notice
Date: 2019-04-04
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2019/04/04/2019-06516.html
Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the Exchange's Price List Related to Co-Location Services
Document Number: 2019-06515
Type: Notice
Date: 2019-04-04
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2019/04/04/2019-06515.html
Self-Regulatory Organizations: Notice of Filing and Immediate Effectiveness of a Proposed Rule Change by Miami PEARL, LLC To Amend Exchange Rule 510, Minimum Price Variations and Minimum Trading Increments
Document Number: 2019-06514
Type: Notice
Date: 2019-04-04
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2019/04/04/2019-06514.html
Self-Regulatory Organizations; Nasdaq BX, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Chapter VI, Section 5, “Minimum Increments”
Document Number: 2019-06513
Type: Notice
Date: 2019-04-04
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2019/04/04/2019-06513.html
Self-Regulatory Organizations; BOX Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Allow for Replacement Issues To Be Added to the Penny Pilot Program (“Pilot Program”) on a Quarterly Basis
Document Number: 2019-06512
Type: Notice
Date: 2019-04-04
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2019/04/04/2019-06512.html
Self-Regulatory Organizations; The Nasdaq Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change The Nasdaq Options Market LLC Rules at Chapter VI, Section 5
Document Number: 2019-06511
Type: Notice
Date: 2019-04-04
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2019/04/04/2019-06511.html
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 SolidX Bitcoin Shares Issued by the VanEck SolidX Bitcoin Trust, Under BZX Rule 14.11(e)(4), Commodity-Based Trust Shares
Document Number: 2019-06510
Type: Notice
Date: 2019-04-04
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2019/04/04/2019-06510.html
Self-Regulatory Organizations; NYSE American LLC; Notice of Filing and Immediate Effectiveness of Proposed Change To Amend Its NYSE American Equities Price List and the NYSE American Options Fee Schedule Related to Co-Location Services
Document Number: 2019-06509
Type: Notice
Date: 2019-04-04
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2019/04/04/2019-06509.html
Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the NYSE Arca Options Fees and Charges and the NYSE Arca Equities Fees and Charges Related to Co-Location Services
Document Number: 2019-06508
Type: Notice
Date: 2019-04-04
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2019/04/04/2019-06508.html
Self-Regulatory Organizations; NYSE National, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Its Schedule of Fees and Rebates Related to Co-Location Services
Document Number: 2019-06507
Type: Notice
Date: 2019-04-04
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2019/04/04/2019-06507.html
Self-Regulatory Organizations; Nasdaq ISE, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Supplementary Material .01 to Rule 710 To Specify Replacement Issues That May Be Added to the Penny Pilot on a Quarterly Basis Without Altering the Expiration Date of the Pilot
Document Number: 2019-06506
Type: Notice
Date: 2019-04-04
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2019/04/04/2019-06506.html
Notice of Applications for Deregistration Under Section 8(f) of the Investment Company Act of 1940
Document Number: 2019-06497
Type: Notice
Date: 2019-04-04
Agency: Securities and Exchange Commission, Agencies and Commissions
Applicant seeks an order declaring that it has ceased to be an investment company. On December 13, 2013, applicant made liquidating distributions to its shareholders based on net asset value. Expenses of $8,750 incurred in connection with the liquidation were paid by the applicant's investment adviser. Filing Dates: The application was filed on December 20, 2018, and amended on March 26, 2019. Applicant's Address: 225 Franklin Street, Boston, Massachusetts 02110.
https://regulations.justia.com/regulations/fedreg/2019/04/04/2019-06497.html
Public Company Accounting Oversight Board; Notice of Filing of Proposed Rules on Auditing Accounting Estimates, Including Fair Value Measurements, and Amendments to PCAOB Auditing Standards
Document Number: 2019-06426
Type: Notice
Date: 2019-04-04
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2019/04/04/2019-06426.html
Public Company Accounting Oversight Board; Notice of Filing of Proposed Rules on Amendments to Auditing Standards for Auditor's Use of the Work of Specialists
Document Number: 2019-06425
Type: Notice
Date: 2019-04-04
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2019/04/04/2019-06425.html
Proposed Collection; Comment Request
Document Number: 2019-06442
Type: Notice
Date: 2019-04-03
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2019/04/03/2019-06442.html
Self-Regulatory Organizations; ICE Clear Europe Limited; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating To Adoption of a New Futures & Options Capital-to-Margin and Shortfall Margin Policy (the “F&O Margin Shortfall Policy”)
Document Number: 2019-06432
Type: Notice
Date: 2019-04-03
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2019/04/03/2019-06432.html
Self-Regulatory Organizations; The Options Clearing Corporation; Notice of Filing of Proposed Rule Change To Require That an Actionable Identifier Be Included on Customer and Non-Customer Securities Options Trades Other Than Market Maker Trades
Document Number: 2019-06431
Type: Notice
Date: 2019-04-03
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2019/04/03/2019-06431.html
Self-Regulatory Organizations; The Options Clearing Corporation; Notice of Filing of Proposed Rule Change Related to The Options Clearing Corporation's Margin Methodology for Volatility Index Futures
Document Number: 2019-06430
Type: Notice
Date: 2019-04-03
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2019/04/03/2019-06430.html
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