<![CDATA[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/2019/09/10?registers=between Tue, 30 Apr 2024 01:16:39 -0700 Tue, 30 Apr 2024 01:16:39 -0700 Justia Regulations Tracker Copyright 2011 Justia Inc. https://regulations.justia.com/images/justiafedregulations.gif <![CDATA[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/2019/09/10?registers=between Notice - Sunshine Act Meetings https://regulations.justia.com/regulations/fedreg/2019/09/10/2019-19617.html https://regulations.justia.com/regulations/fedreg/2019/09/10/2019-19617.html Tue, 10 Sep 2019 00:00:00 -0700 2019-19617 Notice https://www.govinfo.gov/content/pkg/FR-2019-09-10/pdf/2019-19617.pdf Notice - Self-Regulatory Organizations; Fixed Income Clearing Corporation; Notice of Filing of Advance Notice To Amend the GSD Rulebook To Establish a Process To Address Liquidity Needs in Certain Situations in the GCF Repo and CCIT Services and Make Other Changes https://regulations.justia.com/regulations/fedreg/2019/09/10/2019-19538.html https://regulations.justia.com/regulations/fedreg/2019/09/10/2019-19538.html Tue, 10 Sep 2019 00:00:00 -0700 2019-19538 Notice https://www.govinfo.gov/content/pkg/FR-2019-09-10/pdf/2019-19538.pdf Notice - Order Granting Application by The Financial Information Forum and Security Traders Association for an Exemption Pursuant to Rule 606(c) of Regulation NMS Under the Exchange Act From Certain Requirements of Rule 606 of Regulation NMS Under the Exchange Act https://regulations.justia.com/regulations/fedreg/2019/09/10/2019-19469.html https://regulations.justia.com/regulations/fedreg/2019/09/10/2019-19469.html Tue, 10 Sep 2019 00:00:00 -0700 2019-19469 Notice https://www.govinfo.gov/content/pkg/FR-2019-09-10/pdf/2019-19469.pdf Notice - Diamond Hill Funds and Diamond Hill Capital Management, Inc. https://regulations.justia.com/regulations/fedreg/2019/09/10/2019-19468.html https://regulations.justia.com/regulations/fedreg/2019/09/10/2019-19468.html Tue, 10 Sep 2019 00:00:00 -0700 2019-19468 Notice https://www.govinfo.gov/content/pkg/FR-2019-09-10/pdf/2019-19468.pdf Notice - Self-Regulatory Organizations; MIAX Emerald, LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Exchange Rule 519, MIAX Emerald Order Monitor https://regulations.justia.com/regulations/fedreg/2019/09/10/2019-19466.html https://regulations.justia.com/regulations/fedreg/2019/09/10/2019-19466.html Tue, 10 Sep 2019 00:00:00 -0700 2019-19466 Notice https://www.govinfo.gov/content/pkg/FR-2019-09-10/pdf/2019-19466.pdf 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); Correction https://regulations.justia.com/regulations/fedreg/2019/09/10/2019-19465.html https://regulations.justia.com/regulations/fedreg/2019/09/10/2019-19465.html Tue, 10 Sep 2019 00:00:00 -0700 2019-19465 Notice https://www.govinfo.gov/content/pkg/FR-2019-09-10/pdf/2019-19465.pdf Notice - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing of Proposed Rule Change To Amend the Exchange's Price List Related to Co-Location Services https://regulations.justia.com/regulations/fedreg/2019/09/10/2019-19464.html https://regulations.justia.com/regulations/fedreg/2019/09/10/2019-19464.html Tue, 10 Sep 2019 00:00:00 -0700 2019-19464 Notice https://www.govinfo.gov/content/pkg/FR-2019-09-10/pdf/2019-19464.pdf Notice - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Rule 103B https://regulations.justia.com/regulations/fedreg/2019/09/10/2019-19463.html https://regulations.justia.com/regulations/fedreg/2019/09/10/2019-19463.html Tue, 10 Sep 2019 00:00:00 -0700 2019-19463 Notice https://www.govinfo.gov/content/pkg/FR-2019-09-10/pdf/2019-19463.pdf Notice - Self-Regulatory Organizations; NYSE American LLC; Notice of Filing of Proposed Rule Change To Amend Its NYSE American Equities Price List and the NYSE American Options Fee Schedule Related to Co-Location Services https://regulations.justia.com/regulations/fedreg/2019/09/10/2019-19462.html https://regulations.justia.com/regulations/fedreg/2019/09/10/2019-19462.html Tue, 10 Sep 2019 00:00:00 -0700 2019-19462 Notice https://www.govinfo.gov/content/pkg/FR-2019-09-10/pdf/2019-19462.pdf Notice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing 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 https://regulations.justia.com/regulations/fedreg/2019/09/10/2019-19461.html https://regulations.justia.com/regulations/fedreg/2019/09/10/2019-19461.html Tue, 10 Sep 2019 00:00:00 -0700 2019-19461 Notice https://www.govinfo.gov/content/pkg/FR-2019-09-10/pdf/2019-19461.pdf Notice - Self-Regulatory Organizations; NYSE National, Inc.; Notice of Filing of Proposed Rule Change To Amend the Exchange's Price List Related to Co-Location Services https://regulations.justia.com/regulations/fedreg/2019/09/10/2019-19460.html https://regulations.justia.com/regulations/fedreg/2019/09/10/2019-19460.html Tue, 10 Sep 2019 00:00:00 -0700 2019-19460 Notice https://www.govinfo.gov/content/pkg/FR-2019-09-10/pdf/2019-19460.pdf Notice - Self-Regulatory Organizations; Cboe Exchange, Inc.; Notice of Designation of Longer Period for Commission Action on a Proposed Rule Change To Amend Rule 6.49A Concerning Off-Floor Position Transfers https://regulations.justia.com/regulations/fedreg/2019/09/10/2019-19459.html https://regulations.justia.com/regulations/fedreg/2019/09/10/2019-19459.html Tue, 10 Sep 2019 00:00:00 -0700 2019-19459 Notice https://www.govinfo.gov/content/pkg/FR-2019-09-10/pdf/2019-19459.pdf Notice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing of Proposed Rule Change To Make Permanent Rule 7.44-E https://regulations.justia.com/regulations/fedreg/2019/09/10/2019-19458.html https://regulations.justia.com/regulations/fedreg/2019/09/10/2019-19458.html Tue, 10 Sep 2019 00:00:00 -0700 2019-19458 Notice https://www.govinfo.gov/content/pkg/FR-2019-09-10/pdf/2019-19458.pdf Rule - Commission Interpretation and Guidance Regarding the Applicability of the Proxy Rules to Proxy Voting Advice https://regulations.justia.com/regulations/fedreg/2019/09/10/2019-18355.html https://regulations.justia.com/regulations/fedreg/2019/09/10/2019-18355.html Tue, 10 Sep 2019 00:00:00 -0700 2019-18355 Rule https://www.govinfo.gov/content/pkg/FR-2019-09-10/pdf/2019-18355.pdf Rule - Commission Guidance Regarding Proxy Voting Responsibilities of Investment Advisers https://regulations.justia.com/regulations/fedreg/2019/09/10/2019-18342.html https://regulations.justia.com/regulations/fedreg/2019/09/10/2019-18342.html Tue, 10 Sep 2019 00:00:00 -0700 2019-18342 Rule https://www.govinfo.gov/content/pkg/FR-2019-09-10/pdf/2019-18342.pdf