Federal Register Recent Federal Regulation Documents - Justia Regulation Tracker - Justia Regulations Tracker https://regulations.justia.com/regulations/fedreg/agencies/agencies-and-commissions/securities-and-exchange-commission/2019/07/12?limit=200&registers=between&mode=atom 2024-12-22T12:35:27-08:00 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/2019/07/12/2019-14815.html Notice - Self-Regulatory Organizations; Cboe Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Its Fees Schedule for XSP Fees and PAR Official Fees 2019-07-12T00:00:00-07:00 2019-07-12T00:00:00-07:00 2019-14815 Notice https://www.govinfo.gov/content/pkg/FR-2019-07-12/pdf/2019-14815.pdf https://regulations.justia.com/regulations/fedreg/2019/07/12/2019-14814.html Notice - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Make a Technical Correction and Other Non-Substantive Changes to FINRA Rules 2019-07-12T00:00:00-07:00 2019-07-12T00:00:00-07:00 2019-14814 Notice https://www.govinfo.gov/content/pkg/FR-2019-07-12/pdf/2019-14814.pdf https://regulations.justia.com/regulations/fedreg/2019/07/12/2019-14813.html Notice - Self-Regulatory Organizations; Long-Term Stock Exchange, Inc.; Notice of Filing of Proposed Rule Change To Adopt Rule 14.425, Which Would Require Companies Listed on the Exchange To Develop and Publish Certain Long-Term Policies 2019-07-12T00:00:00-07:00 2019-07-12T00:00:00-07:00 2019-14813 Notice https://www.govinfo.gov/content/pkg/FR-2019-07-12/pdf/2019-14813.pdf https://regulations.justia.com/regulations/fedreg/2019/07/12/2019-14812.html Notice - Self-Regulatory Organizations; Nasdaq MRX, LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Adopt Complex Order Pricing 2019-07-12T00:00:00-07:00 2019-07-12T00:00:00-07:00 2019-14812 Notice https://www.govinfo.gov/content/pkg/FR-2019-07-12/pdf/2019-14812.pdf https://regulations.justia.com/regulations/fedreg/2019/07/12/2019-14811.html Notice - Self-Regulatory Organizations; Cboe BYX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the Fee Schedule Applicable to the BYX Equities Trading Platform as It Relates to Pricing for Orders Routed to Cboe EDGX Exchange, Inc. 2019-07-12T00:00:00-07:00 2019-07-12T00:00:00-07:00 2019-14811 Notice https://www.govinfo.gov/content/pkg/FR-2019-07-12/pdf/2019-14811.pdf https://regulations.justia.com/regulations/fedreg/2019/07/12/2019-14810.html Notice - Self-Regulatory Organizations; Cboe BZX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the Fee Schedule Applicable to the BZX Equities Trading Platform as It Relates to Pricing for Orders Routed To Cboe EDGX Exchange, Inc. 2019-07-12T00:00:00-07:00 2019-07-12T00:00:00-07:00 2019-14810 Notice https://www.govinfo.gov/content/pkg/FR-2019-07-12/pdf/2019-14810.pdf https://regulations.justia.com/regulations/fedreg/2019/07/12/2019-14809.html Notice - Self-Regulatory Organizations; Cboe EDGX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating To Update Its Rules Related to Complex Orders and Trading Halts 2019-07-12T00:00:00-07:00 2019-07-12T00:00:00-07:00 2019-14809 Notice https://www.govinfo.gov/content/pkg/FR-2019-07-12/pdf/2019-14809.pdf https://regulations.justia.com/regulations/fedreg/2019/07/12/2019-14808.html Notice - Self-Regulatory Organizations; Cboe EDGX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating To Amend the Exchange's Fee Schedule Applicable to its Equities Trading Platform To Adopt a New Cross-Asset Volume Tier 2019-07-12T00:00:00-07:00 2019-07-12T00:00:00-07:00 2019-14808 Notice https://www.govinfo.gov/content/pkg/FR-2019-07-12/pdf/2019-14808.pdf https://regulations.justia.com/regulations/fedreg/2019/07/12/2019-12376.html Rule - Form CRS Relationship Summary; Amendments to Form ADV 2019-07-12T00:00:00-07:00 2019-07-12T00:00:00-07:00 2019-12376 Rule https://www.govinfo.gov/content/pkg/FR-2019-07-12/pdf/2019-12376.pdf https://regulations.justia.com/regulations/fedreg/2019/07/12/2019-12209.html Rule - Commission Interpretation Regarding the Solely Incidental Prong of the Broker-Dealer Exclusion From the Definition of Investment Adviser 2019-07-12T00:00:00-07:00 2019-07-12T00:00:00-07:00 2019-12209 Rule https://www.govinfo.gov/content/pkg/FR-2019-07-12/pdf/2019-12209.pdf https://regulations.justia.com/regulations/fedreg/2019/07/12/2019-12208.html Rule - Commission Interpretation Regarding Standard of Conduct for Investment Advisers 2019-07-12T00:00:00-07:00 2019-07-12T00:00:00-07:00 2019-12208 Rule https://www.govinfo.gov/content/pkg/FR-2019-07-12/pdf/2019-12208.pdf https://regulations.justia.com/regulations/fedreg/2019/07/12/2019-12164.html Rule - Regulation Best Interest: The Broker-Dealer Standard of Conduct 2019-07-12T00:00:00-07:00 2019-07-12T00:00:00-07:00 2019-12164 Rule https://www.govinfo.gov/content/pkg/FR-2019-07-12/pdf/2019-12164.pdf