Federal Register Recent Federal Regulation Documents - Justia Regulation Tracker - Justia Regulations Trackerhttps://regulations.justia.com/regulations/fedreg/agencies/agencies-and-commissions/securities-and-exchange-commission/2019/10/09?limit=200®isters=between&mode=atom2024-12-22T19:30:37-08:00Justia Inchttps://www.justia.com/Justia Regulations Trackerhttps://regulations.justia.com/images/justiafedregulations.gifCopyright 2011 Justia Inchttps://regulations.justia.com/regulations/fedreg/2019/10/09/2019-22026.htmlNotice - Self-Regulatory Organizations; Nasdaq BX, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Extend the Pilot Related to the Market-Wide Circuit Breaker in Rule 41212019-10-09T00:00:00-07:002019-10-09T00:00:00-07:002019-22026Noticehttps://www.govinfo.gov/content/pkg/FR-2019-10-09/pdf/2019-22026.pdfhttps://regulations.justia.com/regulations/fedreg/2019/10/09/2019-22025.htmlNotice - Self-Regulatory Organizations; The Options Clearing Corporation; Notice of Filing of Proposed Rule Change To Establish a Regulatory Committee of The Options Clearing Corporation's Board of Directors2019-10-09T00:00:00-07:002019-10-09T00:00:00-07:002019-22025Noticehttps://www.govinfo.gov/content/pkg/FR-2019-10-09/pdf/2019-22025.pdfhttps://regulations.justia.com/regulations/fedreg/2019/10/09/2019-22024.htmlNotice - Self-Regulatory Organizations; Nasdaq PHLX LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Extend the Pilot Related to the Market-Wide Circuit Breaker in Rule 1332019-10-09T00:00:00-07:002019-10-09T00:00:00-07:002019-22024Noticehttps://www.govinfo.gov/content/pkg/FR-2019-10-09/pdf/2019-22024.pdfhttps://regulations.justia.com/regulations/fedreg/2019/10/09/2019-22023.htmlNotice - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend FINRA Rule 7620B To Modify the Trade Reporting Fees Applicable to Participants That Use the FINRA/NYSE Trade Reporting Facility2019-10-09T00:00:00-07:002019-10-09T00:00:00-07:002019-22023Noticehttps://www.govinfo.gov/content/pkg/FR-2019-10-09/pdf/2019-22023.pdfhttps://regulations.justia.com/regulations/fedreg/2019/10/09/2019-22020.htmlNotice - Self-Regulatory Organizations; Nasdaq MRX, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend MRX's Rulebook and By-Laws2019-10-09T00:00:00-07:002019-10-09T00:00:00-07:002019-22020Noticehttps://www.govinfo.gov/content/pkg/FR-2019-10-09/pdf/2019-22020.pdfhttps://regulations.justia.com/regulations/fedreg/2019/10/09/2019-22019.htmlNotice - Self-Regulatory Organizations; Long-Term Stock Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating To Make the Exchange a Display-Only Market by Removing References to Non-Displayed and Reserve Orders2019-10-09T00:00:00-07:002019-10-09T00:00:00-07:002019-22019Noticehttps://www.govinfo.gov/content/pkg/FR-2019-10-09/pdf/2019-22019.pdfhttps://regulations.justia.com/regulations/fedreg/2019/10/09/2019-22018.htmlNotice - Self-Regulatory Organizations; The Nasdaq Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Certain Constitutional Documents2019-10-09T00:00:00-07:002019-10-09T00:00:00-07:002019-22018Noticehttps://www.govinfo.gov/content/pkg/FR-2019-10-09/pdf/2019-22018.pdfhttps://regulations.justia.com/regulations/fedreg/2019/10/09/2019-22017.htmlNotice - Self-Regulatory Organizations; Cboe Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Make Minor Updates and Consolidate Various Exchange Rules in Connection With Regulatory Reports, Records, and Audits on the Exchange, and Move Those Rules From the Currently Effective Rulebook to Proposed Chapter 7 of the Shell Structure for the Exchange's Rulebook That Will Become Effective Upon the Migration of the Exchange's Trading Platform to the Same System Used by the Cboe Affiliated Exchanges2019-10-09T00:00:00-07:002019-10-09T00:00:00-07:002019-22017Noticehttps://www.govinfo.gov/content/pkg/FR-2019-10-09/pdf/2019-22017.pdfhttps://regulations.justia.com/regulations/fedreg/2019/10/09/2019-22016.htmlNotice - Self-Regulatory Organizations; Cboe Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Make Minor Updates and Consolidate Various Exchange Rules in Connection With the Post-Transaction Process on the Exchange, and Move Those Rules From the Current Rulebook to Proposed Chapter 6 of the Shell Rulebook2019-10-09T00:00:00-07:002019-10-09T00:00:00-07:002019-22016Noticehttps://www.govinfo.gov/content/pkg/FR-2019-10-09/pdf/2019-22016.pdfhttps://regulations.justia.com/regulations/fedreg/2019/10/09/2019-22015.htmlNotice - Self-Regulatory Organizations; Nasdaq ISE, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend ISE's Rulebook and By-Laws2019-10-09T00:00:00-07:002019-10-09T00:00:00-07:002019-22015Noticehttps://www.govinfo.gov/content/pkg/FR-2019-10-09/pdf/2019-22015.pdfhttps://regulations.justia.com/regulations/fedreg/2019/10/09/2019-22014.htmlNotice - Self-Regulatory Organizations; Nasdaq BX, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend BX's By-Laws2019-10-09T00:00:00-07:002019-10-09T00:00:00-07:002019-22014Noticehttps://www.govinfo.gov/content/pkg/FR-2019-10-09/pdf/2019-22014.pdfhttps://regulations.justia.com/regulations/fedreg/2019/10/09/2019-22013.htmlNotice - Self-Regulatory Organizations; New York Stock Exchange LLC; Order Granting Approval of a Proposed Rule Change, as Modified by Amendment No. 1, To Add Certain Rules to the List of Minor Rule Violations in Rule 9217, Delete Obsolete Rules, and Increase the Maximum Fine for Minor Rule Violations2019-10-09T00:00:00-07:002019-10-09T00:00:00-07:002019-22013Noticehttps://www.govinfo.gov/content/pkg/FR-2019-10-09/pdf/2019-22013.pdfhttps://regulations.justia.com/regulations/fedreg/2019/10/09/2019-22012.htmlNotice - Self-Regulatory Organizations; Nasdaq PHLX LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Phlx's Second Amended Limited Liability Company Agreement and By-Laws2019-10-09T00:00:00-07:002019-10-09T00:00:00-07:002019-22012Noticehttps://www.govinfo.gov/content/pkg/FR-2019-10-09/pdf/2019-22012.pdfhttps://regulations.justia.com/regulations/fedreg/2019/10/09/2019-22011.htmlNotice - Self-Regulatory Organizations; Cboe Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Move the Rules in Chapter XVII, Which Governs Exchange Disciplinary Procedures, of the Current Rulebook to Proposed Chapter 13 of the Shell Rulebook2019-10-09T00:00:00-07:002019-10-09T00:00:00-07:002019-22011Noticehttps://www.govinfo.gov/content/pkg/FR-2019-10-09/pdf/2019-22011.pdfhttps://regulations.justia.com/regulations/fedreg/2019/10/09/2019-22010.htmlNotice - Self-Regulatory Organizations; MIAX PEARL, LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the MIAX PEARL Fee Schedule2019-10-09T00:00:00-07:002019-10-09T00:00:00-07:002019-22010Noticehttps://www.govinfo.gov/content/pkg/FR-2019-10-09/pdf/2019-22010.pdfhttps://regulations.justia.com/regulations/fedreg/2019/10/09/2019-21882.htmlProposed Rule - Proposed Exemptive Order Granting a Conditional Exemption From the Broker Registration Requirements of Section 15(a) of the Securities Exchange Act of 1934 for Certain Activities of Registered Municipal Advisors2019-10-09T00:00:00-07:002019-10-09T00:00:00-07:002019-21882Proposed Rulehttps://www.govinfo.gov/content/pkg/FR-2019-10-09/pdf/2019-21882.pdf