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https://regulations.justia.com/regulations/fedreg/agencies/agencies-and-commissions/securities-and-exchange-commission/2019/07/12?registers=between
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https://regulations.justia.com/regulations/fedreg/agencies/agencies-and-commissions/securities-and-exchange-commission/2019/07/12?registers=between
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
https://regulations.justia.com/regulations/fedreg/2019/07/12/2019-14815.html
https://regulations.justia.com/regulations/fedreg/2019/07/12/2019-14815.htmlFri, 12 Jul 2019 00:00:00 -07002019-14815Noticehttps://www.govinfo.gov/content/pkg/FR-2019-07-12/pdf/2019-14815.pdfNotice - 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
https://regulations.justia.com/regulations/fedreg/2019/07/12/2019-14814.html
https://regulations.justia.com/regulations/fedreg/2019/07/12/2019-14814.htmlFri, 12 Jul 2019 00:00:00 -07002019-14814Noticehttps://www.govinfo.gov/content/pkg/FR-2019-07-12/pdf/2019-14814.pdfNotice - 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
https://regulations.justia.com/regulations/fedreg/2019/07/12/2019-14813.html
https://regulations.justia.com/regulations/fedreg/2019/07/12/2019-14813.htmlFri, 12 Jul 2019 00:00:00 -07002019-14813Noticehttps://www.govinfo.gov/content/pkg/FR-2019-07-12/pdf/2019-14813.pdfNotice - Self-Regulatory Organizations; Nasdaq MRX, LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Adopt Complex Order Pricing
https://regulations.justia.com/regulations/fedreg/2019/07/12/2019-14812.html
https://regulations.justia.com/regulations/fedreg/2019/07/12/2019-14812.htmlFri, 12 Jul 2019 00:00:00 -07002019-14812Noticehttps://www.govinfo.gov/content/pkg/FR-2019-07-12/pdf/2019-14812.pdfNotice - 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.
https://regulations.justia.com/regulations/fedreg/2019/07/12/2019-14811.html
https://regulations.justia.com/regulations/fedreg/2019/07/12/2019-14811.htmlFri, 12 Jul 2019 00:00:00 -07002019-14811Noticehttps://www.govinfo.gov/content/pkg/FR-2019-07-12/pdf/2019-14811.pdfNotice - 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.
https://regulations.justia.com/regulations/fedreg/2019/07/12/2019-14810.html
https://regulations.justia.com/regulations/fedreg/2019/07/12/2019-14810.htmlFri, 12 Jul 2019 00:00:00 -07002019-14810Noticehttps://www.govinfo.gov/content/pkg/FR-2019-07-12/pdf/2019-14810.pdfNotice - 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
https://regulations.justia.com/regulations/fedreg/2019/07/12/2019-14809.html
https://regulations.justia.com/regulations/fedreg/2019/07/12/2019-14809.htmlFri, 12 Jul 2019 00:00:00 -07002019-14809Noticehttps://www.govinfo.gov/content/pkg/FR-2019-07-12/pdf/2019-14809.pdfNotice - 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
https://regulations.justia.com/regulations/fedreg/2019/07/12/2019-14808.html
https://regulations.justia.com/regulations/fedreg/2019/07/12/2019-14808.htmlFri, 12 Jul 2019 00:00:00 -07002019-14808Noticehttps://www.govinfo.gov/content/pkg/FR-2019-07-12/pdf/2019-14808.pdfRule - Form CRS Relationship Summary; Amendments to Form ADV
https://regulations.justia.com/regulations/fedreg/2019/07/12/2019-12376.html
https://regulations.justia.com/regulations/fedreg/2019/07/12/2019-12376.htmlFri, 12 Jul 2019 00:00:00 -07002019-12376Rulehttps://www.govinfo.gov/content/pkg/FR-2019-07-12/pdf/2019-12376.pdfRule - Commission Interpretation Regarding the Solely Incidental Prong of the Broker-Dealer Exclusion From the Definition of Investment Adviser
https://regulations.justia.com/regulations/fedreg/2019/07/12/2019-12209.html
https://regulations.justia.com/regulations/fedreg/2019/07/12/2019-12209.htmlFri, 12 Jul 2019 00:00:00 -07002019-12209Rulehttps://www.govinfo.gov/content/pkg/FR-2019-07-12/pdf/2019-12209.pdfRule - Commission Interpretation Regarding Standard of Conduct for Investment Advisers
https://regulations.justia.com/regulations/fedreg/2019/07/12/2019-12208.html
https://regulations.justia.com/regulations/fedreg/2019/07/12/2019-12208.htmlFri, 12 Jul 2019 00:00:00 -07002019-12208Rulehttps://www.govinfo.gov/content/pkg/FR-2019-07-12/pdf/2019-12208.pdfRule - Regulation Best Interest: The Broker-Dealer Standard of Conduct
https://regulations.justia.com/regulations/fedreg/2019/07/12/2019-12164.html
https://regulations.justia.com/regulations/fedreg/2019/07/12/2019-12164.htmlFri, 12 Jul 2019 00:00:00 -07002019-12164Rulehttps://www.govinfo.gov/content/pkg/FR-2019-07-12/pdf/2019-12164.pdf