Securities and Exchange Commission August 9, 2019 – Federal Register Recent Federal Regulation Documents

Results 1 - 4 of 4
Regulation Best Interest: The Broker-Dealer Standard of Conduct
Document Number: C1-2019-12164
Type: Rule
Date: 2019-08-09
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2019/08/09/C1-2019-12164.html
Self-Regulatory Organizations; LCH SA; Notice of Filing of Proposed Rule Change Relating to Introduction of Clearing of the New Markit iTraxx Subordinated Financials Index CDS and the Related Single Name CDS Constituents and Enhancements to Wrong Way Risk Margin
Document Number: 2019-17108
Type: Notice
Date: 2019-08-09
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2019/08/09/2019-17108.html
Self-Regulatory Organizations; Municipal Securities Rulemaking Board; Notice of Filing of a Proposed Rule Change To Amend and Restate the MSRB's August 2, 2012 Interpretive Notice Concerning the Application of Rule G-17 to Underwriters of Municipal Securities
Document Number: 2019-17047
Type: Notice
Date: 2019-08-09
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2019/08/09/2019-17047.html
Self-Regulatory Organizations; Cboe EDGA Exchange, Inc.; Notice of Designation of Longer Period for Commission Action on a Proposed Rule Change To Introduce a Liquidity Provider Protection on EDGA
Document Number: 2019-17046
Type: Notice
Date: 2019-08-09
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2019/08/09/2019-17046.html
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