<![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/2019/09/25?registers=between Thu, 09 May 2024 05:32:28 -0700 Thu, 09 May 2024 05:32:28 -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/2019/09/25?registers=between Notice - Self-Regulatory Organizations; The Nasdaq Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the Order Routing Rule in NOM Chapter VI, Section 11 https://regulations.justia.com/regulations/fedreg/2019/09/25/2019-20712.html https://regulations.justia.com/regulations/fedreg/2019/09/25/2019-20712.html Wed, 25 Sep 2019 00:00:00 -0700 2019-20712 Notice https://www.govinfo.gov/content/pkg/FR-2019-09-25/pdf/2019-20712.pdf Notice - Self-Regulatory Organizations; Cboe Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule To Amend Its Rules Related to the Electronic Processing of Complex Orders and To Move Them to the Shell Rulebook That Will Become Effective Upon the Migration of the Exchange's Trading Platform to the Same System Used by the Cboe Affiliated Exchanges https://regulations.justia.com/regulations/fedreg/2019/09/25/2019-20711.html https://regulations.justia.com/regulations/fedreg/2019/09/25/2019-20711.html Wed, 25 Sep 2019 00:00:00 -0700 2019-20711 Notice https://www.govinfo.gov/content/pkg/FR-2019-09-25/pdf/2019-20711.pdf Notice - Self-Regulatory Organizations; The Nasdaq Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Concerning the Operation of the Nasdaq Opening, Halt and Closing Crosses https://regulations.justia.com/regulations/fedreg/2019/09/25/2019-20710.html https://regulations.justia.com/regulations/fedreg/2019/09/25/2019-20710.html Wed, 25 Sep 2019 00:00:00 -0700 2019-20710 Notice https://www.govinfo.gov/content/pkg/FR-2019-09-25/pdf/2019-20710.pdf Notice - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Extend the Pilot Related to the Market-Wide Circuit Breaker in Rules 80B and 7.12 https://regulations.justia.com/regulations/fedreg/2019/09/25/2019-20709.html https://regulations.justia.com/regulations/fedreg/2019/09/25/2019-20709.html Wed, 25 Sep 2019 00:00:00 -0700 2019-20709 Notice https://www.govinfo.gov/content/pkg/FR-2019-09-25/pdf/2019-20709.pdf Notice - Self-Regulatory Organizations; Cboe Exchange, Inc.; Notice of Filing of a Proposed Rule Change To Adopt Rule 6.49C https://regulations.justia.com/regulations/fedreg/2019/09/25/2019-20708.html https://regulations.justia.com/regulations/fedreg/2019/09/25/2019-20708.html Wed, 25 Sep 2019 00:00:00 -0700 2019-20708 Notice https://www.govinfo.gov/content/pkg/FR-2019-09-25/pdf/2019-20708.pdf Notice - Self-Regulatory Organizations; Cboe Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Add a New Version of the Silexx Platform to Support FLEX Options Trading https://regulations.justia.com/regulations/fedreg/2019/09/25/2019-20707.html https://regulations.justia.com/regulations/fedreg/2019/09/25/2019-20707.html Wed, 25 Sep 2019 00:00:00 -0700 2019-20707 Notice https://www.govinfo.gov/content/pkg/FR-2019-09-25/pdf/2019-20707.pdf Notice - Self-Regulatory Organizations; BOX Exchange LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the Fee Schedule on the BOX Options Market LLC (“BOX”) Facility To Establish BOX Connectivity Fees for Participants and Non-Participants Who Connect to the BOX Network https://regulations.justia.com/regulations/fedreg/2019/09/25/2019-20706.html https://regulations.justia.com/regulations/fedreg/2019/09/25/2019-20706.html Wed, 25 Sep 2019 00:00:00 -0700 2019-20706 Notice https://www.govinfo.gov/content/pkg/FR-2019-09-25/pdf/2019-20706.pdf Notice - Self-Regulatory Organizations; The Depository Trust Company; Notice of Filing of Partial Amendment No. 1 and Order Granting Accelerated Approval of a Proposed Rule Change, as Modified by Partial Amendment No. 1, To Amend the Settlement Guide To Implement a New Algorithm for Transactions Processed in the Night Cycle https://regulations.justia.com/regulations/fedreg/2019/09/25/2019-20702.html https://regulations.justia.com/regulations/fedreg/2019/09/25/2019-20702.html Wed, 25 Sep 2019 00:00:00 -0700 2019-20702 Notice https://www.govinfo.gov/content/pkg/FR-2019-09-25/pdf/2019-20702.pdf Notice - Self-Regulatory Organizations; NYSE American LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Extend the Pilot Related to the Market-Wide Circuit Breaker in Rule 7.12E https://regulations.justia.com/regulations/fedreg/2019/09/25/2019-20701.html https://regulations.justia.com/regulations/fedreg/2019/09/25/2019-20701.html Wed, 25 Sep 2019 00:00:00 -0700 2019-20701 Notice https://www.govinfo.gov/content/pkg/FR-2019-09-25/pdf/2019-20701.pdf Notice - Self-Regulatory Organizations: Investors Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Add a Corporate Discretionary Peg Order Type and Make Two Minor Non-Substantive Clarifying Changes to the Definition of a Discretionary Peg Order https://regulations.justia.com/regulations/fedreg/2019/09/25/2019-20700.html https://regulations.justia.com/regulations/fedreg/2019/09/25/2019-20700.html Wed, 25 Sep 2019 00:00:00 -0700 2019-20700 Notice https://www.govinfo.gov/content/pkg/FR-2019-09-25/pdf/2019-20700.pdf Notice - Self-Regulatory Organizations; The Nasdaq Stock Market LLC; Notice of Designation of Longer Period for Commission Action on Proposed Rule Change To Amend Rules 4120 and 4753 https://regulations.justia.com/regulations/fedreg/2019/09/25/2019-20699.html https://regulations.justia.com/regulations/fedreg/2019/09/25/2019-20699.html Wed, 25 Sep 2019 00:00:00 -0700 2019-20699 Notice https://www.govinfo.gov/content/pkg/FR-2019-09-25/pdf/2019-20699.pdf Notice - Self-Regulatory Organizations; Cboe Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Certain Rules Relating To Market-Makers Upon Migration to the Trading System Used by Cboe Affiliated Exchanges https://regulations.justia.com/regulations/fedreg/2019/09/25/2019-20698.html https://regulations.justia.com/regulations/fedreg/2019/09/25/2019-20698.html Wed, 25 Sep 2019 00:00:00 -0700 2019-20698 Notice https://www.govinfo.gov/content/pkg/FR-2019-09-25/pdf/2019-20698.pdf Notice - Self-Regulatory Organizations; Cboe BZX Exchange, Inc.; Notice of Designation of a Longer Period for Commission Action on a Proposed Rule Change To List and Trade Shares of the iShares California Short Maturity Muni Bond ETF of the iShares U.S. ETF Trust Under Rule 14.11(i), Managed Fund Shares https://regulations.justia.com/regulations/fedreg/2019/09/25/2019-20697.html https://regulations.justia.com/regulations/fedreg/2019/09/25/2019-20697.html Wed, 25 Sep 2019 00:00:00 -0700 2019-20697 Notice https://www.govinfo.gov/content/pkg/FR-2019-09-25/pdf/2019-20697.pdf Notice - Self-Regulatory Organizations; NYSE Chicago, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Extend the Pilot Related to the Market-Wide Circuit Breaker in Article 20, Rule 2 https://regulations.justia.com/regulations/fedreg/2019/09/25/2019-20696.html https://regulations.justia.com/regulations/fedreg/2019/09/25/2019-20696.html Wed, 25 Sep 2019 00:00:00 -0700 2019-20696 Notice https://www.govinfo.gov/content/pkg/FR-2019-09-25/pdf/2019-20696.pdf Notice - Self-Regulatory Organizations; National Securities Clearing Corporation; Notice of Filing of Partial Amendment No. 1 and Order Granting Accelerated Approval of a Proposed Rule Change, as Modified by Partial Amendment No. 1, To Amend Procedure VII with Respect to the Receipt of CNS Securities and Make Other Changes https://regulations.justia.com/regulations/fedreg/2019/09/25/2019-20695.html https://regulations.justia.com/regulations/fedreg/2019/09/25/2019-20695.html Wed, 25 Sep 2019 00:00:00 -0700 2019-20695 Notice https://www.govinfo.gov/content/pkg/FR-2019-09-25/pdf/2019-20695.pdf Notice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Extend the Pilot Related to the Market-Wide Circuit Breaker in Rule 7.12-E https://regulations.justia.com/regulations/fedreg/2019/09/25/2019-20694.html https://regulations.justia.com/regulations/fedreg/2019/09/25/2019-20694.html Wed, 25 Sep 2019 00:00:00 -0700 2019-20694 Notice https://www.govinfo.gov/content/pkg/FR-2019-09-25/pdf/2019-20694.pdf Notice - Self-Regulatory Organizations; Long-Term Stock Exchange, Inc.; Notice of Filing of Proposed Minor Rule Violation Plan https://regulations.justia.com/regulations/fedreg/2019/09/25/2019-20679.html https://regulations.justia.com/regulations/fedreg/2019/09/25/2019-20679.html Wed, 25 Sep 2019 00:00:00 -0700 2019-20679 Notice https://www.govinfo.gov/content/pkg/FR-2019-09-25/pdf/2019-20679.pdf