Securities and Exchange Commission September 2019 – Federal Register Recent Federal Regulation Documents

Results 101 - 150 of 163
Self-Regulatory Organizations; The Depository Trust Company; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the DTC Deposits Service Guide Relating to Procedures for the Deposit of Nontransferable Securities
Document Number: 2019-19704
Type: Notice
Date: 2019-09-12
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2019/09/12/2019-19704.html
Self-Regulatory Organizations; ICE Clear Europe Limited; Notice of Filing of Partial Amendment No. 2 and Order Granting Accelerated Approval of Proposed Rule Change, as Modified by Partial Amendment No. 1 and Partial Amendment No. 2, To Revise the ICE Clear Europe Treasury and Banking Services Policy, Liquidity Management Procedures, Investment Management Procedures and Unsecured Credit Limits Procedures
Document Number: 2019-19703
Type: Notice
Date: 2019-09-12
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2019/09/12/2019-19703.html
Sunshine Act Meetings
Document Number: 2019-19809
Type: Notice
Date: 2019-09-11
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2019/09/11/2019-19809.html
Self-Regulatory Organizations; Cboe Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to the Removal of a Number of Outdated Fees and References in the Cboe Options Fees Schedule
Document Number: 2019-19612
Type: Notice
Date: 2019-09-11
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2019/09/11/2019-19612.html
Self-Regulatory Organizations; Cboe Exchange, Inc.; Notice of Filing of Amendment Nos. 1, 2, and 3 and Order Granting Accelerated Approval of a Proposed Rule Change, as Modified by Amendment Nos. 1, 2, and 3, To Amend the Exchange's Opening Process, Including on VIX Settlement Days
Document Number: 2019-19611
Type: Notice
Date: 2019-09-11
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2019/09/11/2019-19611.html
Self-Regulatory Organizations; Cboe Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Exchange Rules Regarding Routing Services, Including the Hybrid Agency Liaison System, and Move Those Rules From the Currently Effective Rulebook to the Shell Rulebook To Be Effective Upon Migration
Document Number: 2019-19610
Type: Notice
Date: 2019-09-11
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2019/09/11/2019-19610.html
Self-Regulatory Organizations; The Nasdaq Stock Market LLC; Notice of Designation of Longer Period for Commission Action on a Proposed Rule Change To Amend Rule 4121
Document Number: 2019-19609
Type: Notice
Date: 2019-09-11
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2019/09/11/2019-19609.html
Self-Regulatory Organizations; The Options Clearing Corporation; Notice of Filing of Advance Notice Concerning a Proposed Capital Management Policy That Would Support the Options Clearing Corporation's Function as a Systemically Important Financial Market Utility
Document Number: 2019-19608
Type: Notice
Date: 2019-09-11
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2019/09/11/2019-19608.html
Sunshine Act Meetings
Document Number: 2019-19617
Type: Notice
Date: 2019-09-10
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2019/09/10/2019-19617.html
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
Document Number: 2019-19538
Type: Notice
Date: 2019-09-10
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2019/09/10/2019-19538.html
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
Document Number: 2019-19469
Type: Notice
Date: 2019-09-10
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2019/09/10/2019-19469.html
Diamond Hill Funds and Diamond Hill Capital Management, Inc.
Document Number: 2019-19468
Type: Notice
Date: 2019-09-10
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2019/09/10/2019-19468.html
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
Document Number: 2019-19466
Type: Notice
Date: 2019-09-10
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2019/09/10/2019-19466.html
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
Document Number: 2019-19465
Type: Notice
Date: 2019-09-10
Agency: Securities and Exchange Commission, Agencies and Commissions
The Securities and Exchange Commission published a document in the Federal Register on August 22, 2019, concerning a 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). The document contained a typographical error.
https://regulations.justia.com/regulations/fedreg/2019/09/10/2019-19465.html
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
Document Number: 2019-19464
Type: Notice
Date: 2019-09-10
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2019/09/10/2019-19464.html
Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Rule 103B
Document Number: 2019-19463
Type: Notice
Date: 2019-09-10
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2019/09/10/2019-19463.html
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
Document Number: 2019-19462
Type: Notice
Date: 2019-09-10
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2019/09/10/2019-19462.html
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
Document Number: 2019-19461
Type: Notice
Date: 2019-09-10
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2019/09/10/2019-19461.html
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
Document Number: 2019-19460
Type: Notice
Date: 2019-09-10
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2019/09/10/2019-19460.html
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
Document Number: 2019-19459
Type: Notice
Date: 2019-09-10
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2019/09/10/2019-19459.html
Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing of Proposed Rule Change To Make Permanent Rule 7.44-E
Document Number: 2019-19458
Type: Notice
Date: 2019-09-10
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2019/09/10/2019-19458.html
Commission Interpretation and Guidance Regarding the Applicability of the Proxy Rules to Proxy Voting Advice
Document Number: 2019-18355
Type: Rule
Date: 2019-09-10
Agency: Securities and Exchange Commission, Agencies and Commissions
The Securities and Exchange Commission (the ``SEC'' or the ``Commission'') is providing an interpretation and related guidance regarding the applicability of certain rules, which the Commission has promulgated under Section 14 of the Securities Exchange Act of 1934 (the ``Exchange Act'' and such rules the ``federal proxy rules''), to proxy voting advice.
https://regulations.justia.com/regulations/fedreg/2019/09/10/2019-18355.html
Commission Guidance Regarding Proxy Voting Responsibilities of Investment Advisers
Document Number: 2019-18342
Type: Rule
Date: 2019-09-10
Agency: Securities and Exchange Commission, Agencies and Commissions
The Securities and Exchange Commission (the ``SEC'' or the ``Commission'') is publishing guidance regarding the proxy voting responsibilities of investment advisers under its regulations issued under the Investment Advisers Act of 1940 (the ``Advisers Act''), and Form N-1A, Form N-2, Form N-3, and Form N-CSR under the Investment Company Act of 1940 (the ``Investment Company Act'').
https://regulations.justia.com/regulations/fedreg/2019/09/10/2019-18342.html
Proposed Collection; Comment Request
Document Number: 2019-19374
Type: Notice
Date: 2019-09-09
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2019/09/09/2019-19374.html
Self-Regulatory Organizations; LCH SA; Notice of Filing of Proposed Rule Change Relating to Extension of Weekly Backloading Cycle to Index Swaptions
Document Number: 2019-19335
Type: Notice
Date: 2019-09-09
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2019/09/09/2019-19335.html
Self-Regulatory Organizations; The Nasdaq Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Clarify Rule 4120(c)(9)
Document Number: 2019-19334
Type: Notice
Date: 2019-09-09
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2019/09/09/2019-19334.html
Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Designation of a Longer Period for Commission Action on a Proposed Rule Change Regarding Investments of the Janus Henderson Mortgage-Backed Securities ETF Currently Listed and Traded on the Exchange Under NYSE Arca Rule 8.600-E
Document Number: 2019-19333
Type: Notice
Date: 2019-09-09
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2019/09/09/2019-19333.html
Self-Regulatory Organizations; Investors Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Modify Its Fee Schedule To Establish Fees for the Execution of Retail and Retail Liquidity Provider Orders and To Eliminate Fee Code N From the Fee Schedule
Document Number: 2019-19332
Type: Notice
Date: 2019-09-09
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2019/09/09/2019-19332.html
Proposed Collection; Comment Request
Document Number: 2019-19241
Type: Notice
Date: 2019-09-06
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2019/09/06/2019-19241.html
Proposed Collection; Comment Request
Document Number: 2019-19240
Type: Notice
Date: 2019-09-06
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2019/09/06/2019-19240.html
Submission for OMB Review; Comment Request
Document Number: 2019-19239
Type: Notice
Date: 2019-09-06
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2019/09/06/2019-19239.html
Proposed Collection; Comment Request
Document Number: 2019-19238
Type: Notice
Date: 2019-09-06
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2019/09/06/2019-19238.html
Submission for OMB Review; Comment Request
Document Number: 2019-19237
Type: Notice
Date: 2019-09-06
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2019/09/06/2019-19237.html
Self-Regulatory Organizations; The Nasdaq Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Modify the Manner in Which It Calculates Volume, Liquidity and Quoting Thresholds Applicable To Billing on the Exchange in Relation to a Systems Issue Experienced by SIAC on August 12, 2019
Document Number: 2019-19224
Type: Notice
Date: 2019-09-06
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2019/09/06/2019-19224.html
Self-Regulatory Organizations; BOX Exchange LLC; Notice of Withdrawal of Proposed Rule Change To Amend the Fee Schedule on the BOX Options Market LLC Facility To Establish BOX Connectivity Fees for Participants and Non-Participants Who Connect to the BOX Network
Document Number: 2019-19223
Type: Notice
Date: 2019-09-06
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2019/09/06/2019-19223.html
Self-Regulatory Organizations; Nasdaq PHLX LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Modify the Manner in Which It Calculates Volume, Liquidity and Quoting Thresholds Applicable To Billing on the Exchange in Relation to a Systems Issue Experienced by SIAC on August 12, 2019
Document Number: 2019-19222
Type: Notice
Date: 2019-09-06
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2019/09/06/2019-19222.html
Self-Regulatory Organizations; Miami International Securities Exchange LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Its Fee Schedule
Document Number: 2019-19221
Type: Notice
Date: 2019-09-06
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2019/09/06/2019-19221.html
Self-Regulatory Organizations; Nasdaq BX, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Modify the Manner in Which It Calculates Volume, Liquidity and Quoting Thresholds Applicable to Billing on the Exchange in Relation to a Systems Issue Experienced by SIAC on August 12, 2019
Document Number: 2019-19220
Type: Notice
Date: 2019-09-06
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2019/09/06/2019-19220.html
Self-Regulatory Organizations; NYSE American, LLC; Suspension of and Order Instituting Proceedings To Determine Whether To Approve or Disapprove a Proposed Rule Change To Modify the Options Regulatory Fee
Document Number: 2019-19219
Type: Notice
Date: 2019-09-06
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2019/09/06/2019-19219.html
Self-Regulatory Organizations; MIAX PEARL, LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the MIAX PEARL Fee Schedule
Document Number: 2019-19218
Type: Notice
Date: 2019-09-06
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2019/09/06/2019-19218.html
Self-Regulatory Organizations; NYSE Arca, Inc.; Order Approving a Proposed Rule Change, as Modified by Amendments No. 1 and No. 2, To Amend the Listing Rule Applicable to Shares of the Aware Ultra-Short Duration Enhanced Income ETF
Document Number: 2019-19217
Type: Notice
Date: 2019-09-06
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2019/09/06/2019-19217.html
Self-Regulatory Organizations; LCH SA; Notice of Designation of Longer Period for Commission Action on Proposed Rule Change Relating to Introduction of Clearing of the New Markit iTraxx Subordinated Financials Index CDS and the Related Single Name CDS Constituents and Enhancements to Wrong Way Risk Margin
Document Number: 2019-19216
Type: Notice
Date: 2019-09-06
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2019/09/06/2019-19216.html
Self-Regulatory Organizations; MIAX Emerald, LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Adopt System Connectivity Fees
Document Number: 2019-19215
Type: Notice
Date: 2019-09-06
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2019/09/06/2019-19215.html
Self-Regulatory Organizations; NYSE Arca, Inc.; Suspension of and Order Instituting Proceedings To Determine Whether To Approve or Disapprove a Proposed Rule Change To Modify the Options Regulatory Fee
Document Number: 2019-19214
Type: Notice
Date: 2019-09-06
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2019/09/06/2019-19214.html
Self-Regulatory Organizations; ICE Clear Credit LLC; Order Approving Proposed Rule Change Relating to the ICC Clearing Participant Default Management Procedures and ICC Risk Management Framework
Document Number: 2019-19212
Type: Notice
Date: 2019-09-06
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2019/09/06/2019-19212.html
Notice of Applications for Deregistration Under Section 8(f) of the Investment Company Act of 1940
Document Number: 2019-19211
Type: Notice
Date: 2019-09-06
Agency: Securities and Exchange Commission, Agencies and Commissions
Applicant seeks an order declaring that it has ceased to be an investment company. On August 13, 2018, applicant made liquidating distributions to its shareholders based on net asset value. Expenses of $2,940 incurred in connection with the liquidation were paid by applicant. Filing Date: The application was filed on July 23, 2019. Applicant's Address: Active Assets Government Trust, c/o Morgan Stanley Investment Management Inc., 522 Fifth Avenue, New York, New York 10036.
https://regulations.justia.com/regulations/fedreg/2019/09/06/2019-19211.html
Self-Regulatory Organizations; Cboe EDGX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Introduce a New Data Product on Its Equity Options Platform (“EDGX Options”) To Be Known as Open-Close Data
Document Number: 2019-19109
Type: Notice
Date: 2019-09-05
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2019/09/05/2019-19109.html
Self-Regulatory Organizations; Cboe BZX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Introduce a New Data Product on Its Equity Options Platform (“BZX Options”) To Be Known As Open-Close Data
Document Number: 2019-19107
Type: Notice
Date: 2019-09-05
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2019/09/05/2019-19107.html
Self-Regulatory Organizations; ICE Clear Credit LLC; Notice of Designation of Longer Period for Commission Action on Proposed Rule Change Relating to the ICC Rules, ICC End-of-Day Price Discovery Policies and Procedures, and ICC Risk Management Framework
Document Number: 2019-19007
Type: Notice
Date: 2019-09-04
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2019/09/04/2019-19007.html
Self-Regulatory Organizations; Nasdaq PHLX LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Phlx Pricing at Options 7, Section 9, Titled Other Member Fees
Document Number: 2019-19006
Type: Notice
Date: 2019-09-04
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2019/09/04/2019-19006.html
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