Securities and Exchange Commission December 9, 2019 – Federal Register Recent Federal Regulation Documents

Results 1 - 8 of 8
Sunshine Act Meetings
Document Number: 2019-26509
Type: Notice
Date: 2019-12-09
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2019/12/09/2019-26509.html
Sunshine Act Meetings
Document Number: 2019-26496
Type: Notice
Date: 2019-12-09
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2019/12/09/2019-26496.html
Self-Regulatory Organizations: Investors Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Rule 11.380 To Expand the Exchange's Optional Aggregate Risk Controls Mechanism To Include a Net Notional Exposure Risk Check in Addition to the Gross Notional Exposure Risk Check
Document Number: 2019-26409
Type: Notice
Date: 2019-12-09
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2019/12/09/2019-26409.html
Self-Regulatory Organizations; LCH SA; Notice of Filing of Proposed Rule Change Relating to Amendments to CDS Clearing Supplement To Reflect the ISDA NTCE Protocol and Supplement
Document Number: 2019-26408
Type: Notice
Date: 2019-12-09
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2019/12/09/2019-26408.html
Lazard Asset Management LLC and Lazard ESC Funds LLC
Document Number: 2019-26407
Type: Notice
Date: 2019-12-09
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2019/12/09/2019-26407.html
Self-Regulatory Organizations; Cboe BZX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Allow the Hartford Short Duration ETF To Hold Certain Fixed Income Instruments in a Manner That Does Not Comply With Rule 14.11(i)
Document Number: 2019-26406
Type: Notice
Date: 2019-12-09
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2019/12/09/2019-26406.html
Self-Regulatory Organizations; The Nasdaq Stock Market LLC; Notice of Filing of Amendment No. 1 and Order Granting Accelerated Approval of a Proposed Rule Change, as Modified by Amendment No. 1, To Adopt Requirements for the Nasdaq Capital and Global Markets Applicable to Direct Listings
Document Number: 2019-26405
Type: Notice
Date: 2019-12-09
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2019/12/09/2019-26405.html
Self-Regulatory Organizations; NYSE Chicago, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the Fee Schedule of NYSE Chicago, Inc.
Document Number: 2019-26404
Type: Notice
Date: 2019-12-09
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2019/12/09/2019-26404.html
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