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/2019/08/22?limit=200&registers=between&mode=atom 2024-12-22T07:06:06-08:00 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/2019/08/22/2019-18077.html Notice - Self-Regulatory Organizations; Nasdaq PHLX LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Exchange Rules 605 and 1049 2019-08-22T00:00:00-07:00 2019-08-22T00:00:00-07:00 2019-18077 Notice https://www.govinfo.gov/content/pkg/FR-2019-08-22/pdf/2019-18077.pdf https://regulations.justia.com/regulations/fedreg/2019/08/22/2019-18076.html Notice - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Order Approving a Proposed Rule Change To Amend FINRA Rules 2210 (Communications With the Public) and 2241 (Research Analysts and Research Reports) 2019-08-22T00:00:00-07:00 2019-08-22T00:00:00-07:00 2019-18076 Notice https://www.govinfo.gov/content/pkg/FR-2019-08-22/pdf/2019-18076.pdf https://regulations.justia.com/regulations/fedreg/2019/08/22/2019-18075.html Notice - Self-Regulatory Organizations; MIAX Emerald, LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Exchange Rule 520, Limitations on Orders 2019-08-22T00:00:00-07:00 2019-08-22T00:00:00-07:00 2019-18075 Notice https://www.govinfo.gov/content/pkg/FR-2019-08-22/pdf/2019-18075.pdf https://regulations.justia.com/regulations/fedreg/2019/08/22/2019-18074.html Notice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing of Amendment No. 4 and Order Granting Accelerated Approval of a Proposed Rule Change, as Modified by Amendment No. 4, Regarding Changes to Investments of the iShares Bloomberg Roll Select Commodity Strategy ETF 2019-08-22T00:00:00-07:00 2019-08-22T00:00:00-07:00 2019-18074 Notice https://www.govinfo.gov/content/pkg/FR-2019-08-22/pdf/2019-18074.pdf https://regulations.justia.com/regulations/fedreg/2019/08/22/2019-18058.html Notice - 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 Transaction- and Volume-Based Settings in the Risk Limitation Mechanism 2019-08-22T00:00:00-07:00 2019-08-22T00:00:00-07:00 2019-18058 Notice https://www.govinfo.gov/content/pkg/FR-2019-08-22/pdf/2019-18058.pdf https://regulations.justia.com/regulations/fedreg/2019/08/22/2019-18057.html Notice - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing of Proposed Rule Change To Add Certain Rules to the List of Minor Rule Violations in Rule 9217; Delete Obsolete Rules and Increase the Maximum Fine for Minor Rule Violations 2019-08-22T00:00:00-07:00 2019-08-22T00:00:00-07:00 2019-18057 Notice https://www.govinfo.gov/content/pkg/FR-2019-08-22/pdf/2019-18057.pdf https://regulations.justia.com/regulations/fedreg/2019/08/22/2019-18056.html Notice - Self-Regulatory Organizations; The Depository Trust Company; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the Distributions Service Guide 2019-08-22T00:00:00-07:00 2019-08-22T00:00:00-07:00 2019-18056 Notice https://www.govinfo.gov/content/pkg/FR-2019-08-22/pdf/2019-18056.pdf https://regulations.justia.com/regulations/fedreg/2019/08/22/2019-18055.html Notice - 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 Transaction- and Volume-Based Settings in the Risk Limitation Mechanism 2019-08-22T00:00:00-07:00 2019-08-22T00:00:00-07:00 2019-18055 Notice https://www.govinfo.gov/content/pkg/FR-2019-08-22/pdf/2019-18055.pdf https://regulations.justia.com/regulations/fedreg/2019/08/22/2019-13609.html Rule - Capital, Margin, and Segregation Requirements for Security-Based Swap Dealers and Major Security-Based Swap Participants and Capital and Segregation Requirements for Broker-Dealers 2019-08-22T00:00:00-07:00 2019-08-22T00:00:00-07:00 2019-13609 Rule https://www.govinfo.gov/content/pkg/FR-2019-08-22/pdf/2019-13609.pdf