<![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/2019/11/19?registers=between Wed, 01 May 2024 07:35:28 -0700 Wed, 01 May 2024 07:35:28 -0700 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/2019/11/19?registers=between Notice - Submission for OMB Review; Comment Request https://regulations.justia.com/regulations/fedreg/2019/11/19/2019-25009.html https://regulations.justia.com/regulations/fedreg/2019/11/19/2019-25009.html Tue, 19 Nov 2019 00:00:00 -0800 2019-25009 Notice https://www.govinfo.gov/content/pkg/FR-2019-11-19/pdf/2019-25009.pdf Notice - Submission for OMB Review; Comment Request https://regulations.justia.com/regulations/fedreg/2019/11/19/2019-25007.html https://regulations.justia.com/regulations/fedreg/2019/11/19/2019-25007.html Tue, 19 Nov 2019 00:00:00 -0800 2019-25007 Notice https://www.govinfo.gov/content/pkg/FR-2019-11-19/pdf/2019-25007.pdf Notice - Submission for OMB Review; Comment Request https://regulations.justia.com/regulations/fedreg/2019/11/19/2019-25006.html https://regulations.justia.com/regulations/fedreg/2019/11/19/2019-25006.html Tue, 19 Nov 2019 00:00:00 -0800 2019-25006 Notice https://www.govinfo.gov/content/pkg/FR-2019-11-19/pdf/2019-25006.pdf Notice - Submission for OMB Review; Comment Request https://regulations.justia.com/regulations/fedreg/2019/11/19/2019-25005.html https://regulations.justia.com/regulations/fedreg/2019/11/19/2019-25005.html Tue, 19 Nov 2019 00:00:00 -0800 2019-25005 Notice https://www.govinfo.gov/content/pkg/FR-2019-11-19/pdf/2019-25005.pdf Notice - Submission for OMB Review; Comment Request https://regulations.justia.com/regulations/fedreg/2019/11/19/2019-25004.html https://regulations.justia.com/regulations/fedreg/2019/11/19/2019-25004.html Tue, 19 Nov 2019 00:00:00 -0800 2019-25004 Notice https://www.govinfo.gov/content/pkg/FR-2019-11-19/pdf/2019-25004.pdf Notice - Submission for OMB Review; Comment Request https://regulations.justia.com/regulations/fedreg/2019/11/19/2019-25002.html https://regulations.justia.com/regulations/fedreg/2019/11/19/2019-25002.html Tue, 19 Nov 2019 00:00:00 -0800 2019-25002 Notice https://www.govinfo.gov/content/pkg/FR-2019-11-19/pdf/2019-25002.pdf Notice - Submission for OMB Review; Comment Request https://regulations.justia.com/regulations/fedreg/2019/11/19/2019-25001.html https://regulations.justia.com/regulations/fedreg/2019/11/19/2019-25001.html Tue, 19 Nov 2019 00:00:00 -0800 2019-25001 Notice https://www.govinfo.gov/content/pkg/FR-2019-11-19/pdf/2019-25001.pdf Notice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Rule 7.31-E To Delete Cross Orders https://regulations.justia.com/regulations/fedreg/2019/11/19/2019-24982.html https://regulations.justia.com/regulations/fedreg/2019/11/19/2019-24982.html Tue, 19 Nov 2019 00:00:00 -0800 2019-24982 Notice https://www.govinfo.gov/content/pkg/FR-2019-11-19/pdf/2019-24982.pdf Notice - Self-Regulatory Organizations; Cboe BZX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the Fee Schedule Applicable to the BZX Equities Trading Platform as it Relates to Pricing for Orders Routed to Cboe EDGA Exchange, Inc. Using the ALLB, TRIM, or SLIM Routing Strategy https://regulations.justia.com/regulations/fedreg/2019/11/19/2019-24981.html https://regulations.justia.com/regulations/fedreg/2019/11/19/2019-24981.html Tue, 19 Nov 2019 00:00:00 -0800 2019-24981 Notice https://www.govinfo.gov/content/pkg/FR-2019-11-19/pdf/2019-24981.pdf Notice - Self-Regulatory Organizations; LCH SA; Notice of Filing of Proposed Rule Change Relating to Amendments to CDSClear Reference Guide To Allow Index Basis Packages Margining https://regulations.justia.com/regulations/fedreg/2019/11/19/2019-24980.html https://regulations.justia.com/regulations/fedreg/2019/11/19/2019-24980.html Tue, 19 Nov 2019 00:00:00 -0800 2019-24980 Notice https://www.govinfo.gov/content/pkg/FR-2019-11-19/pdf/2019-24980.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 Flexible Exchange Options (“FLEX Options”) PM Exercise Settlement Pilot Program for FLEX Index Options https://regulations.justia.com/regulations/fedreg/2019/11/19/2019-24979.html https://regulations.justia.com/regulations/fedreg/2019/11/19/2019-24979.html Tue, 19 Nov 2019 00:00:00 -0800 2019-24979 Notice https://www.govinfo.gov/content/pkg/FR-2019-11-19/pdf/2019-24979.pdf Notice - Self-Regulatory Organizations; Nasdaq PHLX LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Remove Rule Text From Phlx Rule 1101A https://regulations.justia.com/regulations/fedreg/2019/11/19/2019-24978.html https://regulations.justia.com/regulations/fedreg/2019/11/19/2019-24978.html Tue, 19 Nov 2019 00:00:00 -0800 2019-24978 Notice https://www.govinfo.gov/content/pkg/FR-2019-11-19/pdf/2019-24978.pdf Notice - Self-Regulatory Organizations; The Depository Trust Company; Notice of Filing of Proposed Rule Change To Amend the Redemptions Guide Relating to the Call Lottery Process for Partial Redemptions https://regulations.justia.com/regulations/fedreg/2019/11/19/2019-24977.html https://regulations.justia.com/regulations/fedreg/2019/11/19/2019-24977.html Tue, 19 Nov 2019 00:00:00 -0800 2019-24977 Notice https://www.govinfo.gov/content/pkg/FR-2019-11-19/pdf/2019-24977.pdf Notice - Self-Regulatory Organizations; BOX Exchange LLC; Notice of Filing and Immediate Effectiveness of a 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 https://regulations.justia.com/regulations/fedreg/2019/11/19/2019-24976.html https://regulations.justia.com/regulations/fedreg/2019/11/19/2019-24976.html Tue, 19 Nov 2019 00:00:00 -0800 2019-24976 Notice https://www.govinfo.gov/content/pkg/FR-2019-11-19/pdf/2019-24976.pdf Notice - Self-Regulatory Organizations; Cboe EDGX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating To Amend the Fee Schedule Applicable to the EDGX Equities Trading Platform as It Relates to Pricing for Orders Routed to Cboe EDGA Exchange, Inc. Using the ALLB, ROUC, ROUE, or DIRC Routing Strategy https://regulations.justia.com/regulations/fedreg/2019/11/19/2019-24975.html https://regulations.justia.com/regulations/fedreg/2019/11/19/2019-24975.html Tue, 19 Nov 2019 00:00:00 -0800 2019-24975 Notice https://www.govinfo.gov/content/pkg/FR-2019-11-19/pdf/2019-24975.pdf Notice - Self-Regulatory Organizations; NYSE American LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Rule 7.31E To Delete Cross Orders https://regulations.justia.com/regulations/fedreg/2019/11/19/2019-24974.html https://regulations.justia.com/regulations/fedreg/2019/11/19/2019-24974.html Tue, 19 Nov 2019 00:00:00 -0800 2019-24974 Notice https://www.govinfo.gov/content/pkg/FR-2019-11-19/pdf/2019-24974.pdf Notice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing of Proposed Rule Change, as Modified by Amendment No. 1, Relating to Listing and Trading of Shares of the Innovator PTAM Core Bond ETF Under NYSE Arca Rule 8.600-E https://regulations.justia.com/regulations/fedreg/2019/11/19/2019-24973.html https://regulations.justia.com/regulations/fedreg/2019/11/19/2019-24973.html Tue, 19 Nov 2019 00:00:00 -0800 2019-24973 Notice https://www.govinfo.gov/content/pkg/FR-2019-11-19/pdf/2019-24973.pdf Notice - Self-Regulatory Organizations; NYSE National, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Rule 7.31 to Delete Cross Orders https://regulations.justia.com/regulations/fedreg/2019/11/19/2019-24972.html https://regulations.justia.com/regulations/fedreg/2019/11/19/2019-24972.html Tue, 19 Nov 2019 00:00:00 -0800 2019-24972 Notice https://www.govinfo.gov/content/pkg/FR-2019-11-19/pdf/2019-24972.pdf Notice - Self-Regulatory Organizations; Cboe EDGX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating To Amend the Fat Finger Check in Rule 21.17 as it Applies To Stop Limit Orders https://regulations.justia.com/regulations/fedreg/2019/11/19/2019-24968.html https://regulations.justia.com/regulations/fedreg/2019/11/19/2019-24968.html Tue, 19 Nov 2019 00:00:00 -0800 2019-24968 Notice https://www.govinfo.gov/content/pkg/FR-2019-11-19/pdf/2019-24968.pdf