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/2019/12/20?limit=200®isters=between&mode=atom2024-12-22T18:17:59-08:00Justia Inchttps://www.justia.com/Justia Regulations Trackerhttps://regulations.justia.com/images/justiafedregulations.gifCopyright 2011 Justia Inchttps://regulations.justia.com/regulations/fedreg/2019/12/20/2019-27490.htmlProposed Rule - Credit Risk Retention-Notice of Commencement of Review2019-12-20T00:00:00-08:002019-12-20T00:00:00-08:002019-27490Proposed Rulehttps://www.govinfo.gov/content/pkg/FR-2019-12-20/pdf/2019-27490.pdfhttps://regulations.justia.com/regulations/fedreg/2019/12/20/2019-27461.htmlNotice - Self-Regulatory Organizations; Nasdaq MRX, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Options 3, Section 3 To Extend Through June 30, 2020 or the Date of Permanent Approval2019-12-20T00:00:00-08:002019-12-20T00:00:00-08:002019-27461Noticehttps://www.govinfo.gov/content/pkg/FR-2019-12-20/pdf/2019-27461.pdfhttps://regulations.justia.com/regulations/fedreg/2019/12/20/2019-27460.htmlNotice - Self-Regulatory Organizations; Cboe Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating To Amend Rule 5.72 To Eliminate the Requirement That Leg Prices Be Submitted Prior to the Time a Complex FLEX Order is Represented in an Open Outcry FLEX Auction2019-12-20T00:00:00-08:002019-12-20T00:00:00-08:002019-27460Noticehttps://www.govinfo.gov/content/pkg/FR-2019-12-20/pdf/2019-27460.pdfhttps://regulations.justia.com/regulations/fedreg/2019/12/20/2019-27459.htmlNotice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Permit the Continued Listing and Trading of Shares Under NYSE Arca Rule 8.600-E of the Cambria Core Equity ETF, a Series of Cambria ETF Trust2019-12-20T00:00:00-08:002019-12-20T00:00:00-08:002019-27459Noticehttps://www.govinfo.gov/content/pkg/FR-2019-12-20/pdf/2019-27459.pdfhttps://regulations.justia.com/regulations/fedreg/2019/12/20/2019-27458.htmlNotice - Self-Regulatory Organizations; Cboe Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Reflect the Financial Crimes Enforcement Network's Adoption of a Final Rule on Customer Due Diligence Requirements for Financial Institutions2019-12-20T00:00:00-08:002019-12-20T00:00:00-08:002019-27458Noticehttps://www.govinfo.gov/content/pkg/FR-2019-12-20/pdf/2019-27458.pdfhttps://regulations.justia.com/regulations/fedreg/2019/12/20/2019-27457.htmlNotice - Self-Regulatory Organizations; NYSE American LLC; Order Approving a Proposed Rule Change Regarding the Applicability and Functionality of Certain Order Types on the Exchange2019-12-20T00:00:00-08:002019-12-20T00:00:00-08:002019-27457Noticehttps://www.govinfo.gov/content/pkg/FR-2019-12-20/pdf/2019-27457.pdfhttps://regulations.justia.com/regulations/fedreg/2019/12/20/2019-27456.htmlNotice - Self-Regulatory Organizations; Nasdaq BX, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change to the Exchange's Transaction Fees and Credits and Qualified Market Maker Program, at Equity 7, Section 1182019-12-20T00:00:00-08:002019-12-20T00:00:00-08:002019-27456Noticehttps://www.govinfo.gov/content/pkg/FR-2019-12-20/pdf/2019-27456.pdfhttps://regulations.justia.com/regulations/fedreg/2019/12/20/2019-27455.htmlNotice - Self-Regulatory Organizations; Cboe BZX Exchange, Inc.; Notice of Filing of Amendment Nos. 4 and 5, and Order Granting Accelerated Approval of a Proposed Rule Change, as Modified by Amendment Nos. 4 and 5, To Adopt BZX Rule 14.11(k) To Permit the Listing and Trading of Managed Portfolio Shares2019-12-20T00:00:00-08:002019-12-20T00:00:00-08:002019-27455Noticehttps://www.govinfo.gov/content/pkg/FR-2019-12-20/pdf/2019-27455.pdfhttps://regulations.justia.com/regulations/fedreg/2019/12/20/2019-27454.htmlNotice - Self-Regulatory Organizations; NYSE Arca, Inc.; Order Approving a Proposed Rule Change Regarding the Applicability and Functionality of Certain Order Types on the Exchange2019-12-20T00:00:00-08:002019-12-20T00:00:00-08:002019-27454Noticehttps://www.govinfo.gov/content/pkg/FR-2019-12-20/pdf/2019-27454.pdfhttps://regulations.justia.com/regulations/fedreg/2019/12/20/2019-27453.htmlNotice - Self-Regulatory Organizations; Cboe EDGA Exchange, Inc.; Notice of Designation of Longer Period for Commission Action on Proceedings To Determine Whether To Approve or Disapprove a Proposed Rule Change To Introduce a Liquidity Provider Protection Delay Mechanism on EDGA2019-12-20T00:00:00-08:002019-12-20T00:00:00-08:002019-27453Noticehttps://www.govinfo.gov/content/pkg/FR-2019-12-20/pdf/2019-27453.pdfhttps://regulations.justia.com/regulations/fedreg/2019/12/20/2019-27452.htmlNotice - Self-Regulatory Organizations; The Depository Trust Company; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Extend the Implementation Timeframe for a Rule Change To Implement a New Algorithm for Transactions Processed in the Night Cycle2019-12-20T00:00:00-08:002019-12-20T00:00:00-08:002019-27452Noticehttps://www.govinfo.gov/content/pkg/FR-2019-12-20/pdf/2019-27452.pdfhttps://regulations.justia.com/regulations/fedreg/2019/12/20/2019-27451.htmlNotice - Self-Regulatory Organizations; National Securities Clearing Corporation; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Extend the Implementation Timeframe for an Approved Rule Change To Amend Procedure VII With Respect to the Receipt of CNS Securities and Make Other Changes2019-12-20T00:00:00-08:002019-12-20T00:00:00-08:002019-27451Noticehttps://www.govinfo.gov/content/pkg/FR-2019-12-20/pdf/2019-27451.pdfhttps://regulations.justia.com/regulations/fedreg/2019/12/20/2019-27450.htmlNotice - Self-Regulatory Organizations; Nasdaq BX, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Extend Through June 30, 2020 or The Date of Permanent Approval, if Earlier, the Penny Pilot Program2019-12-20T00:00:00-08:002019-12-20T00:00:00-08:002019-27450Noticehttps://www.govinfo.gov/content/pkg/FR-2019-12-20/pdf/2019-27450.pdfhttps://regulations.justia.com/regulations/fedreg/2019/12/20/2019-27449.htmlNotice - Self-Regulatory Organizations; Nasdaq GEMX, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Options 3, Section 3 (Minimum Trading Increments)2019-12-20T00:00:00-08:002019-12-20T00:00:00-08:002019-27449Noticehttps://www.govinfo.gov/content/pkg/FR-2019-12-20/pdf/2019-27449.pdfhttps://regulations.justia.com/regulations/fedreg/2019/12/20/2019-27448.htmlNotice - Self-Regulatory Organizations; Nasdaq ISE, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Options 3, Section 3 To Extend Through June 30, 2020 or the Date of Permanent Approval2019-12-20T00:00:00-08:002019-12-20T00:00:00-08:002019-27448Noticehttps://www.govinfo.gov/content/pkg/FR-2019-12-20/pdf/2019-27448.pdfhttps://regulations.justia.com/regulations/fedreg/2019/12/20/2019-27447.htmlNotice - Prospect Capital Corporation, et al.2019-12-20T00:00:00-08:002019-12-20T00:00:00-08:002019-27447Noticehttps://www.govinfo.gov/content/pkg/FR-2019-12-20/pdf/2019-27447.pdf