<![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/2019/09/30?registers=between Sun, 22 Dec 2024 11:31:16 -0800 Sun, 22 Dec 2024 11:31:16 -0800 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/2019/09/30?registers=between Notice - Sunshine Act Meetings https://regulations.justia.com/regulations/fedreg/2019/09/30/2019-21309.html https://regulations.justia.com/regulations/fedreg/2019/09/30/2019-21309.html Mon, 30 Sep 2019 00:00:00 -0700 2019-21309 Notice https://www.govinfo.gov/content/pkg/FR-2019-09-30/pdf/2019-21309.pdf Notice - Self-Regulatory Organizations; NYSE Arca Inc.; Notice of Withdrawal of Proposed Rule Change To Amend the NYSE Arca Options Fee Schedule To Modify the Options Regulatory Fee https://regulations.justia.com/regulations/fedreg/2019/09/30/2019-21105.html https://regulations.justia.com/regulations/fedreg/2019/09/30/2019-21105.html Mon, 30 Sep 2019 00:00:00 -0700 2019-21105 Notice https://www.govinfo.gov/content/pkg/FR-2019-09-30/pdf/2019-21105.pdf Notice - Self-Regulatory Organizations; NYSE American, LLC; Notice of Withdrawal of Proposed Rule Change To Amend the NYSE American Options Fee Schedule To Modify the Options Regulatory Fee https://regulations.justia.com/regulations/fedreg/2019/09/30/2019-21104.html https://regulations.justia.com/regulations/fedreg/2019/09/30/2019-21104.html Mon, 30 Sep 2019 00:00:00 -0700 2019-21104 Notice https://www.govinfo.gov/content/pkg/FR-2019-09-30/pdf/2019-21104.pdf Notice - Self-Regulatory Organizations; Cboe Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Certain Clearing Editor Functionality in Rule 6.6 of the Shell Rulebook https://regulations.justia.com/regulations/fedreg/2019/09/30/2019-21103.html https://regulations.justia.com/regulations/fedreg/2019/09/30/2019-21103.html Mon, 30 Sep 2019 00:00:00 -0700 2019-21103 Notice https://www.govinfo.gov/content/pkg/FR-2019-09-30/pdf/2019-21103.pdf Notice - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Extend the Pilot Period Related to FINRA Rule 6121.02 (Market-Wide Circuit Breakers in NMS Stocks) https://regulations.justia.com/regulations/fedreg/2019/09/30/2019-21102.html https://regulations.justia.com/regulations/fedreg/2019/09/30/2019-21102.html Mon, 30 Sep 2019 00:00:00 -0700 2019-21102 Notice https://www.govinfo.gov/content/pkg/FR-2019-09-30/pdf/2019-21102.pdf Notice - Self-Regulatory Organizations; NYSE National, 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 https://regulations.justia.com/regulations/fedreg/2019/09/30/2019-21101.html https://regulations.justia.com/regulations/fedreg/2019/09/30/2019-21101.html Mon, 30 Sep 2019 00:00:00 -0700 2019-21101 Notice https://www.govinfo.gov/content/pkg/FR-2019-09-30/pdf/2019-21101.pdf Notice - Self-Regulatory Organizations; Municipal Securities Rulemaking Board; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend MSRB Rule A-11, on Assessments for Municipal Advisor Professionals, To Increase the Annual Professional Fee Over a Two-Year Phase-In Period https://regulations.justia.com/regulations/fedreg/2019/09/30/2019-21100.html https://regulations.justia.com/regulations/fedreg/2019/09/30/2019-21100.html Mon, 30 Sep 2019 00:00:00 -0700 2019-21100 Notice https://www.govinfo.gov/content/pkg/FR-2019-09-30/pdf/2019-21100.pdf Notice - Self-Regulatory Organizations; Nasdaq PHLX LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to the Pricing of a Technology Infrastructure Migration https://regulations.justia.com/regulations/fedreg/2019/09/30/2019-21099.html https://regulations.justia.com/regulations/fedreg/2019/09/30/2019-21099.html Mon, 30 Sep 2019 00:00:00 -0700 2019-21099 Notice https://www.govinfo.gov/content/pkg/FR-2019-09-30/pdf/2019-21099.pdf Notice - Self-Regulatory Organizations; Cboe Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the AIM Automated Improvement Mechanism 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/2019/09/30/2019-21098.html https://regulations.justia.com/regulations/fedreg/2019/09/30/2019-21098.html Mon, 30 Sep 2019 00:00:00 -0700 2019-21098 Notice https://www.govinfo.gov/content/pkg/FR-2019-09-30/pdf/2019-21098.pdf Notice - Self-Regulatory Organizations; NYSE Arca, Inc.; Order Instituting Proceedings To Determine Whether To Approve or Disapprove a Proposed Rule Change To Amend NYSE Arca Rule 8.201-E (Commodity-Based Trust Shares) and To List and Trade Shares of the United States Bitcoin and Treasury Investment Trust Under NYSE Arca Rule 8.201-E https://regulations.justia.com/regulations/fedreg/2019/09/30/2019-21097.html https://regulations.justia.com/regulations/fedreg/2019/09/30/2019-21097.html Mon, 30 Sep 2019 00:00:00 -0700 2019-21097 Notice https://www.govinfo.gov/content/pkg/FR-2019-09-30/pdf/2019-21097.pdf Notice - Self-Regulatory Organizations; Cboe EDGA Exchange, Inc.; Order Instituting Proceedings To Determine Whether To Approve or Disapprove a Proposed Rule Change To Introduce a Liquidity Provider Protection Delay Mechanism on EDGA https://regulations.justia.com/regulations/fedreg/2019/09/30/2019-21096.html https://regulations.justia.com/regulations/fedreg/2019/09/30/2019-21096.html Mon, 30 Sep 2019 00:00:00 -0700 2019-21096 Notice https://www.govinfo.gov/content/pkg/FR-2019-09-30/pdf/2019-21096.pdf Notice - Self-Regulatory Organizations; Cboe BZX Exchange, Inc.; Notice of Filing of a Proposed Rule Change Regarding Certain Changes to Investments of the Aptus Collared Income Opportunity ETF, a Series of ETF Series Solutions https://regulations.justia.com/regulations/fedreg/2019/09/30/2019-21094.html https://regulations.justia.com/regulations/fedreg/2019/09/30/2019-21094.html Mon, 30 Sep 2019 00:00:00 -0700 2019-21094 Notice https://www.govinfo.gov/content/pkg/FR-2019-09-30/pdf/2019-21094.pdf Notice - Self-Regulatory Organizations; Nasdaq PHLX LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the Exchange's Pricing Schedule, at Equity 7, Section 3 https://regulations.justia.com/regulations/fedreg/2019/09/30/2019-21093.html https://regulations.justia.com/regulations/fedreg/2019/09/30/2019-21093.html Mon, 30 Sep 2019 00:00:00 -0700 2019-21093 Notice https://www.govinfo.gov/content/pkg/FR-2019-09-30/pdf/2019-21093.pdf Notice - Self-Regulatory Organizations; Nasdaq PHLX LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the Exchange's Pricing Schedule, at Equity 7, Section 3 https://regulations.justia.com/regulations/fedreg/2019/09/30/2019-21092.html https://regulations.justia.com/regulations/fedreg/2019/09/30/2019-21092.html Mon, 30 Sep 2019 00:00:00 -0700 2019-21092 Notice https://www.govinfo.gov/content/pkg/FR-2019-09-30/pdf/2019-21092.pdf Notice - Self-Regulatory Organizations; Cboe BZX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the Fees Applicable to Physical Connectivity https://regulations.justia.com/regulations/fedreg/2019/09/30/2019-21091.html https://regulations.justia.com/regulations/fedreg/2019/09/30/2019-21091.html Mon, 30 Sep 2019 00:00:00 -0700 2019-21091 Notice https://www.govinfo.gov/content/pkg/FR-2019-09-30/pdf/2019-21091.pdf Notice - Submission for OMB Review; Comment Request https://regulations.justia.com/regulations/fedreg/2019/09/30/2019-21086.html https://regulations.justia.com/regulations/fedreg/2019/09/30/2019-21086.html Mon, 30 Sep 2019 00:00:00 -0700 2019-21086 Notice https://www.govinfo.gov/content/pkg/FR-2019-09-30/pdf/2019-21086.pdf Notice - Submission for OMB Review; Comment Request https://regulations.justia.com/regulations/fedreg/2019/09/30/2019-21085.html https://regulations.justia.com/regulations/fedreg/2019/09/30/2019-21085.html Mon, 30 Sep 2019 00:00:00 -0700 2019-21085 Notice https://www.govinfo.gov/content/pkg/FR-2019-09-30/pdf/2019-21085.pdf Notice - Submission for OMB Review; Comment Request https://regulations.justia.com/regulations/fedreg/2019/09/30/2019-21084.html https://regulations.justia.com/regulations/fedreg/2019/09/30/2019-21084.html Mon, 30 Sep 2019 00:00:00 -0700 2019-21084 Notice https://www.govinfo.gov/content/pkg/FR-2019-09-30/pdf/2019-21084.pdf Notice - Submission for OMB Review; Comment Request https://regulations.justia.com/regulations/fedreg/2019/09/30/2019-21083.html https://regulations.justia.com/regulations/fedreg/2019/09/30/2019-21083.html Mon, 30 Sep 2019 00:00:00 -0700 2019-21083 Notice https://www.govinfo.gov/content/pkg/FR-2019-09-30/pdf/2019-21083.pdf Notice - Proposed Collection; Comment Request https://regulations.justia.com/regulations/fedreg/2019/09/30/2019-21082.html https://regulations.justia.com/regulations/fedreg/2019/09/30/2019-21082.html Mon, 30 Sep 2019 00:00:00 -0700 2019-21082 Notice https://www.govinfo.gov/content/pkg/FR-2019-09-30/pdf/2019-21082.pdf Notice - Submission for OMB Review; Comment Request https://regulations.justia.com/regulations/fedreg/2019/09/30/2019-21081.html https://regulations.justia.com/regulations/fedreg/2019/09/30/2019-21081.html Mon, 30 Sep 2019 00:00:00 -0700 2019-21081 Notice https://www.govinfo.gov/content/pkg/FR-2019-09-30/pdf/2019-21081.pdf Notice - Submission for OMB Review; Comment Request https://regulations.justia.com/regulations/fedreg/2019/09/30/2019-21080.html https://regulations.justia.com/regulations/fedreg/2019/09/30/2019-21080.html Mon, 30 Sep 2019 00:00:00 -0700 2019-21080 Notice https://www.govinfo.gov/content/pkg/FR-2019-09-30/pdf/2019-21080.pdf Notice - Submission for OMB Review; Comment Request https://regulations.justia.com/regulations/fedreg/2019/09/30/2019-21079.html https://regulations.justia.com/regulations/fedreg/2019/09/30/2019-21079.html Mon, 30 Sep 2019 00:00:00 -0700 2019-21079 Notice https://www.govinfo.gov/content/pkg/FR-2019-09-30/pdf/2019-21079.pdf Notice - Submission for OMB Review; Comment Request https://regulations.justia.com/regulations/fedreg/2019/09/30/2019-21078.html https://regulations.justia.com/regulations/fedreg/2019/09/30/2019-21078.html Mon, 30 Sep 2019 00:00:00 -0700 2019-21078 Notice https://www.govinfo.gov/content/pkg/FR-2019-09-30/pdf/2019-21078.pdf