<![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/2019/11/12?registers=between Mon, 23 Dec 2024 00:33:18 -0800 Mon, 23 Dec 2024 00:33:18 -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/2019/11/12?registers=between Notice - Self-Regulatory Organizations; The Options Clearing Corporation; Notice of Filing of Advance Notice Related to Proposed Changes to The Options Clearing Corporation's Rules, Margin Policy, Margin Methodology, Clearing Fund Methodology Policy, and Clearing Fund and Stress Testing Methodology To Address Specific Wrong-Way Risk https://regulations.justia.com/regulations/fedreg/2019/11/12/2019-24549.html https://regulations.justia.com/regulations/fedreg/2019/11/12/2019-24549.html Tue, 12 Nov 2019 00:00:00 -0800 2019-24549 Notice https://www.govinfo.gov/content/pkg/FR-2019-11-12/pdf/2019-24549.pdf Notice - Self-Regulatory Organizations; The Options Clearing Corporation; Notice of Filing of Advance Notice Related to Proposed Changes to The Options Clearing Corporation's Rules, Clearing Fund Methodology Policy, and Clearing Fund and Stress Testing Methodology https://regulations.justia.com/regulations/fedreg/2019/11/12/2019-24548.html https://regulations.justia.com/regulations/fedreg/2019/11/12/2019-24548.html Tue, 12 Nov 2019 00:00:00 -0800 2019-24548 Notice https://www.govinfo.gov/content/pkg/FR-2019-11-12/pdf/2019-24548.pdf Notice - Self-Regulatory Organizations; Cboe Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Extend the Nonstandard Expirations Pilot Program https://regulations.justia.com/regulations/fedreg/2019/11/12/2019-24505.html https://regulations.justia.com/regulations/fedreg/2019/11/12/2019-24505.html Tue, 12 Nov 2019 00:00:00 -0800 2019-24505 Notice https://www.govinfo.gov/content/pkg/FR-2019-11-12/pdf/2019-24505.pdf Notice - Self-Regulatory Organizations; Cboe BZX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating To Adopt Fees for a New Data Product on Its Equity Options Platform (“BZX Options”) To Be Known as Open-Close Data https://regulations.justia.com/regulations/fedreg/2019/11/12/2019-24504.html https://regulations.justia.com/regulations/fedreg/2019/11/12/2019-24504.html Tue, 12 Nov 2019 00:00:00 -0800 2019-24504 Notice https://www.govinfo.gov/content/pkg/FR-2019-11-12/pdf/2019-24504.pdf Notice - Self-Regulatory Organizations; Nasdaq BX, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Relocate Rules From its Current Rulebook Into its New Rulebook Shell https://regulations.justia.com/regulations/fedreg/2019/11/12/2019-24499.html https://regulations.justia.com/regulations/fedreg/2019/11/12/2019-24499.html Tue, 12 Nov 2019 00:00:00 -0800 2019-24499 Notice https://www.govinfo.gov/content/pkg/FR-2019-11-12/pdf/2019-24499.pdf Notice - Self-Regulatory Organizations; Cboe Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Extend the Operation of its SPXPM Pilot Program https://regulations.justia.com/regulations/fedreg/2019/11/12/2019-24498.html https://regulations.justia.com/regulations/fedreg/2019/11/12/2019-24498.html Tue, 12 Nov 2019 00:00:00 -0800 2019-24498 Notice https://www.govinfo.gov/content/pkg/FR-2019-11-12/pdf/2019-24498.pdf Notice - Self-Regulatory Organizations; Cboe C2 Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Introduce a New Data Product To Be Known as Open-Close Data and To Adopt Fees for Such Product https://regulations.justia.com/regulations/fedreg/2019/11/12/2019-24497.html https://regulations.justia.com/regulations/fedreg/2019/11/12/2019-24497.html Tue, 12 Nov 2019 00:00:00 -0800 2019-24497 Notice https://www.govinfo.gov/content/pkg/FR-2019-11-12/pdf/2019-24497.pdf Notice - Self-Regulatory Organizations; Cboe EDGX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the Fee Schedule To Adopt a New Type of Tier Related to Automated Improvement Mechanism Customer Volume https://regulations.justia.com/regulations/fedreg/2019/11/12/2019-24496.html https://regulations.justia.com/regulations/fedreg/2019/11/12/2019-24496.html Tue, 12 Nov 2019 00:00:00 -0800 2019-24496 Notice https://www.govinfo.gov/content/pkg/FR-2019-11-12/pdf/2019-24496.pdf Notice - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; 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 FINRA Rule 5130 (Restrictions on the Purchase and Sale of Initial Equity Public Offerings) and FINRA Rule 5131 (New Issue Allocations and Distributions) https://regulations.justia.com/regulations/fedreg/2019/11/12/2019-24494.html https://regulations.justia.com/regulations/fedreg/2019/11/12/2019-24494.html Tue, 12 Nov 2019 00:00:00 -0800 2019-24494 Notice https://www.govinfo.gov/content/pkg/FR-2019-11-12/pdf/2019-24494.pdf Notice - Self-Regulatory Organizations; Cboe EDGX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Adopt Fees for a New Data Product on its Equity Options Platform (“EDGX Options”) To Be Known as Open-Close Data https://regulations.justia.com/regulations/fedreg/2019/11/12/2019-24493.html https://regulations.justia.com/regulations/fedreg/2019/11/12/2019-24493.html Tue, 12 Nov 2019 00:00:00 -0800 2019-24493 Notice https://www.govinfo.gov/content/pkg/FR-2019-11-12/pdf/2019-24493.pdf Notice - Investment Company Act Release No. 33681; File No. 812-15036 https://regulations.justia.com/regulations/fedreg/2019/11/12/2019-24468.html https://regulations.justia.com/regulations/fedreg/2019/11/12/2019-24468.html Tue, 12 Nov 2019 00:00:00 -0800 2019-24468 Notice https://www.govinfo.gov/content/pkg/FR-2019-11-12/pdf/2019-24468.pdf