<![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/2019/12/18?registers=between Tue, 24 Jun 2025 15:48:27 -0700 Tue, 24 Jun 2025 15:48:27 -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/2019/12/18?registers=between Notice - Self-Regulatory Organizations; NYSE Chicago, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Its Fee Schedule To Adopt Fees for Orders That Are Routed to Other Markets for Execution, and Delete Text That Became Obsolete Upon the Exchange's Transition to the Pillar Trading Platform https://regulations.justia.com/regulations/fedreg/2019/12/18/2019-27216.html https://regulations.justia.com/regulations/fedreg/2019/12/18/2019-27216.html Wed, 18 Dec 2019 00:00:00 -0800 2019-27216 Notice https://www.govinfo.gov/content/pkg/FR-2019-12-18/pdf/2019-27216.pdf Notice - Self-Regulatory Organizations; The Nasdaq Stock Market LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Exchange Rule 5515 Which Governs the Listing of Warrants on the Nasdaq Capital Market To Replace the Current Requirement That a Warrant Have 400 Round-Lot Holders With a Revised Requirement of 100 Holders That Are Both Public Holders and Round-Lot Holders https://regulations.justia.com/regulations/fedreg/2019/12/18/2019-27212.html https://regulations.justia.com/regulations/fedreg/2019/12/18/2019-27212.html Wed, 18 Dec 2019 00:00:00 -0800 2019-27212 Notice https://www.govinfo.gov/content/pkg/FR-2019-12-18/pdf/2019-27212.pdf Notice - Self-Regulatory Organizations; The Depository Trust Company; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the Distributions Guide and the Fee Guide Relating to Tax Events https://regulations.justia.com/regulations/fedreg/2019/12/18/2019-27206.html https://regulations.justia.com/regulations/fedreg/2019/12/18/2019-27206.html Wed, 18 Dec 2019 00:00:00 -0800 2019-27206 Notice https://www.govinfo.gov/content/pkg/FR-2019-12-18/pdf/2019-27206.pdf Notice - Self-Regulatory Organizations; Nasdaq PHLX LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Securities Traded Pursuant to Unlisted Trading Privileges https://regulations.justia.com/regulations/fedreg/2019/12/18/2019-27204.html https://regulations.justia.com/regulations/fedreg/2019/12/18/2019-27204.html Wed, 18 Dec 2019 00:00:00 -0800 2019-27204 Notice https://www.govinfo.gov/content/pkg/FR-2019-12-18/pdf/2019-27204.pdf Notice - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Its Price List https://regulations.justia.com/regulations/fedreg/2019/12/18/2019-27199.html https://regulations.justia.com/regulations/fedreg/2019/12/18/2019-27199.html Wed, 18 Dec 2019 00:00:00 -0800 2019-27199 Notice https://www.govinfo.gov/content/pkg/FR-2019-12-18/pdf/2019-27199.pdf Notice - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Modify the Securities Transaction Credits Applicable to FINRA/Nasdaq TRF Participants https://regulations.justia.com/regulations/fedreg/2019/12/18/2019-27198.html https://regulations.justia.com/regulations/fedreg/2019/12/18/2019-27198.html Wed, 18 Dec 2019 00:00:00 -0800 2019-27198 Notice https://www.govinfo.gov/content/pkg/FR-2019-12-18/pdf/2019-27198.pdf Notice - Self-Regulatory Organizations; ICE Clear Europe Limited; Notice of Filing of Proposed Rule Change, as Modified by Partial Amendment No. 1, Relating to Amendments to the ICE Clear Europe CDS Procedures https://regulations.justia.com/regulations/fedreg/2019/12/18/2019-27197.html https://regulations.justia.com/regulations/fedreg/2019/12/18/2019-27197.html Wed, 18 Dec 2019 00:00:00 -0800 2019-27197 Notice https://www.govinfo.gov/content/pkg/FR-2019-12-18/pdf/2019-27197.pdf Notice - Self-Regulatory Organizations; The Nasdaq Stock Market LLC; Notice of Designation of a Longer Period for Commission Action on Proceedings To Determine Whether To Approve or Disapprove a Proposed Rule Change To Amend the Definition of Family Member in Listing Rule 5605(a)(2) for Purposes of the Definition of Independent Director https://regulations.justia.com/regulations/fedreg/2019/12/18/2019-27196.html https://regulations.justia.com/regulations/fedreg/2019/12/18/2019-27196.html Wed, 18 Dec 2019 00:00:00 -0800 2019-27196 Notice https://www.govinfo.gov/content/pkg/FR-2019-12-18/pdf/2019-27196.pdf Notice - Self-Regulatory Organizations; Cboe Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend its Fees Schedule in Connection With Migration https://regulations.justia.com/regulations/fedreg/2019/12/18/2019-27194.html https://regulations.justia.com/regulations/fedreg/2019/12/18/2019-27194.html Wed, 18 Dec 2019 00:00:00 -0800 2019-27194 Notice https://www.govinfo.gov/content/pkg/FR-2019-12-18/pdf/2019-27194.pdf