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https://regulations.justia.com/regulations/fedreg/agencies/agencies-and-commissions/securities-and-exchange-commission/2019/09/30?registers=between
Tue, 15 Jul 2025 18:37:27 -0700Tue, 15 Jul 2025 18:37:27 -0700Justia Regulations TrackerCopyright 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.htmlMon, 30 Sep 2019 00:00:00 -07002019-21309Noticehttps://www.govinfo.gov/content/pkg/FR-2019-09-30/pdf/2019-21309.pdfNotice - 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.htmlMon, 30 Sep 2019 00:00:00 -07002019-21105Noticehttps://www.govinfo.gov/content/pkg/FR-2019-09-30/pdf/2019-21105.pdfNotice - 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.htmlMon, 30 Sep 2019 00:00:00 -07002019-21104Noticehttps://www.govinfo.gov/content/pkg/FR-2019-09-30/pdf/2019-21104.pdfNotice - 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.htmlMon, 30 Sep 2019 00:00:00 -07002019-21103Noticehttps://www.govinfo.gov/content/pkg/FR-2019-09-30/pdf/2019-21103.pdfNotice - 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.htmlMon, 30 Sep 2019 00:00:00 -07002019-21102Noticehttps://www.govinfo.gov/content/pkg/FR-2019-09-30/pdf/2019-21102.pdfNotice - 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.htmlMon, 30 Sep 2019 00:00:00 -07002019-21101Noticehttps://www.govinfo.gov/content/pkg/FR-2019-09-30/pdf/2019-21101.pdfNotice - 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.htmlMon, 30 Sep 2019 00:00:00 -07002019-21100Noticehttps://www.govinfo.gov/content/pkg/FR-2019-09-30/pdf/2019-21100.pdfNotice - 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.htmlMon, 30 Sep 2019 00:00:00 -07002019-21099Noticehttps://www.govinfo.gov/content/pkg/FR-2019-09-30/pdf/2019-21099.pdfNotice - 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.htmlMon, 30 Sep 2019 00:00:00 -07002019-21098Noticehttps://www.govinfo.gov/content/pkg/FR-2019-09-30/pdf/2019-21098.pdfNotice - 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.htmlMon, 30 Sep 2019 00:00:00 -07002019-21097Noticehttps://www.govinfo.gov/content/pkg/FR-2019-09-30/pdf/2019-21097.pdfNotice - 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.htmlMon, 30 Sep 2019 00:00:00 -07002019-21096Noticehttps://www.govinfo.gov/content/pkg/FR-2019-09-30/pdf/2019-21096.pdfNotice - 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.htmlMon, 30 Sep 2019 00:00:00 -07002019-21094Noticehttps://www.govinfo.gov/content/pkg/FR-2019-09-30/pdf/2019-21094.pdfNotice - 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.htmlMon, 30 Sep 2019 00:00:00 -07002019-21093Noticehttps://www.govinfo.gov/content/pkg/FR-2019-09-30/pdf/2019-21093.pdfNotice - 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.htmlMon, 30 Sep 2019 00:00:00 -07002019-21092Noticehttps://www.govinfo.gov/content/pkg/FR-2019-09-30/pdf/2019-21092.pdfNotice - 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.htmlMon, 30 Sep 2019 00:00:00 -07002019-21091Noticehttps://www.govinfo.gov/content/pkg/FR-2019-09-30/pdf/2019-21091.pdfNotice - 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.htmlMon, 30 Sep 2019 00:00:00 -07002019-21086Noticehttps://www.govinfo.gov/content/pkg/FR-2019-09-30/pdf/2019-21086.pdfNotice - 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.htmlMon, 30 Sep 2019 00:00:00 -07002019-21085Noticehttps://www.govinfo.gov/content/pkg/FR-2019-09-30/pdf/2019-21085.pdfNotice - 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.htmlMon, 30 Sep 2019 00:00:00 -07002019-21084Noticehttps://www.govinfo.gov/content/pkg/FR-2019-09-30/pdf/2019-21084.pdfNotice - 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.htmlMon, 30 Sep 2019 00:00:00 -07002019-21083Noticehttps://www.govinfo.gov/content/pkg/FR-2019-09-30/pdf/2019-21083.pdfNotice - 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.htmlMon, 30 Sep 2019 00:00:00 -07002019-21082Noticehttps://www.govinfo.gov/content/pkg/FR-2019-09-30/pdf/2019-21082.pdfNotice - 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.htmlMon, 30 Sep 2019 00:00:00 -07002019-21081Noticehttps://www.govinfo.gov/content/pkg/FR-2019-09-30/pdf/2019-21081.pdfNotice - 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.htmlMon, 30 Sep 2019 00:00:00 -07002019-21080Noticehttps://www.govinfo.gov/content/pkg/FR-2019-09-30/pdf/2019-21080.pdfNotice - 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.htmlMon, 30 Sep 2019 00:00:00 -07002019-21079Noticehttps://www.govinfo.gov/content/pkg/FR-2019-09-30/pdf/2019-21079.pdfNotice - 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.htmlMon, 30 Sep 2019 00:00:00 -07002019-21078Noticehttps://www.govinfo.gov/content/pkg/FR-2019-09-30/pdf/2019-21078.pdf