<![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/2019/12/20?registers=between Mon, 23 Jun 2025 16:23:33 -0700 Mon, 23 Jun 2025 16:23:33 -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/2019/12/20?registers=between Proposed Rule - Credit Risk Retention-Notice of Commencement of Review https://regulations.justia.com/regulations/fedreg/2019/12/20/2019-27490.html https://regulations.justia.com/regulations/fedreg/2019/12/20/2019-27490.html Fri, 20 Dec 2019 00:00:00 -0800 2019-27490 Proposed Rule https://www.govinfo.gov/content/pkg/FR-2019-12-20/pdf/2019-27490.pdf Notice - 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 Approval https://regulations.justia.com/regulations/fedreg/2019/12/20/2019-27461.html https://regulations.justia.com/regulations/fedreg/2019/12/20/2019-27461.html Fri, 20 Dec 2019 00:00:00 -0800 2019-27461 Notice https://www.govinfo.gov/content/pkg/FR-2019-12-20/pdf/2019-27461.pdf Notice - 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 Auction https://regulations.justia.com/regulations/fedreg/2019/12/20/2019-27460.html https://regulations.justia.com/regulations/fedreg/2019/12/20/2019-27460.html Fri, 20 Dec 2019 00:00:00 -0800 2019-27460 Notice https://www.govinfo.gov/content/pkg/FR-2019-12-20/pdf/2019-27460.pdf Notice - 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 Trust https://regulations.justia.com/regulations/fedreg/2019/12/20/2019-27459.html https://regulations.justia.com/regulations/fedreg/2019/12/20/2019-27459.html Fri, 20 Dec 2019 00:00:00 -0800 2019-27459 Notice https://www.govinfo.gov/content/pkg/FR-2019-12-20/pdf/2019-27459.pdf Notice - 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 Institutions https://regulations.justia.com/regulations/fedreg/2019/12/20/2019-27458.html https://regulations.justia.com/regulations/fedreg/2019/12/20/2019-27458.html Fri, 20 Dec 2019 00:00:00 -0800 2019-27458 Notice https://www.govinfo.gov/content/pkg/FR-2019-12-20/pdf/2019-27458.pdf Notice - Self-Regulatory Organizations; NYSE American LLC; Order Approving a Proposed Rule Change Regarding the Applicability and Functionality of Certain Order Types on the Exchange https://regulations.justia.com/regulations/fedreg/2019/12/20/2019-27457.html https://regulations.justia.com/regulations/fedreg/2019/12/20/2019-27457.html Fri, 20 Dec 2019 00:00:00 -0800 2019-27457 Notice https://www.govinfo.gov/content/pkg/FR-2019-12-20/pdf/2019-27457.pdf Notice - 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 118 https://regulations.justia.com/regulations/fedreg/2019/12/20/2019-27456.html https://regulations.justia.com/regulations/fedreg/2019/12/20/2019-27456.html Fri, 20 Dec 2019 00:00:00 -0800 2019-27456 Notice https://www.govinfo.gov/content/pkg/FR-2019-12-20/pdf/2019-27456.pdf Notice - 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 Shares https://regulations.justia.com/regulations/fedreg/2019/12/20/2019-27455.html https://regulations.justia.com/regulations/fedreg/2019/12/20/2019-27455.html Fri, 20 Dec 2019 00:00:00 -0800 2019-27455 Notice https://www.govinfo.gov/content/pkg/FR-2019-12-20/pdf/2019-27455.pdf Notice - Self-Regulatory Organizations; NYSE Arca, Inc.; Order Approving a Proposed Rule Change Regarding the Applicability and Functionality of Certain Order Types on the Exchange https://regulations.justia.com/regulations/fedreg/2019/12/20/2019-27454.html https://regulations.justia.com/regulations/fedreg/2019/12/20/2019-27454.html Fri, 20 Dec 2019 00:00:00 -0800 2019-27454 Notice https://www.govinfo.gov/content/pkg/FR-2019-12-20/pdf/2019-27454.pdf Notice - 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 EDGA https://regulations.justia.com/regulations/fedreg/2019/12/20/2019-27453.html https://regulations.justia.com/regulations/fedreg/2019/12/20/2019-27453.html Fri, 20 Dec 2019 00:00:00 -0800 2019-27453 Notice https://www.govinfo.gov/content/pkg/FR-2019-12-20/pdf/2019-27453.pdf Notice - 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 Cycle https://regulations.justia.com/regulations/fedreg/2019/12/20/2019-27452.html https://regulations.justia.com/regulations/fedreg/2019/12/20/2019-27452.html Fri, 20 Dec 2019 00:00:00 -0800 2019-27452 Notice https://www.govinfo.gov/content/pkg/FR-2019-12-20/pdf/2019-27452.pdf Notice - 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 Changes https://regulations.justia.com/regulations/fedreg/2019/12/20/2019-27451.html https://regulations.justia.com/regulations/fedreg/2019/12/20/2019-27451.html Fri, 20 Dec 2019 00:00:00 -0800 2019-27451 Notice https://www.govinfo.gov/content/pkg/FR-2019-12-20/pdf/2019-27451.pdf Notice - 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 Program https://regulations.justia.com/regulations/fedreg/2019/12/20/2019-27450.html https://regulations.justia.com/regulations/fedreg/2019/12/20/2019-27450.html Fri, 20 Dec 2019 00:00:00 -0800 2019-27450 Notice https://www.govinfo.gov/content/pkg/FR-2019-12-20/pdf/2019-27450.pdf Notice - 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) https://regulations.justia.com/regulations/fedreg/2019/12/20/2019-27449.html https://regulations.justia.com/regulations/fedreg/2019/12/20/2019-27449.html Fri, 20 Dec 2019 00:00:00 -0800 2019-27449 Notice https://www.govinfo.gov/content/pkg/FR-2019-12-20/pdf/2019-27449.pdf Notice - 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 Approval https://regulations.justia.com/regulations/fedreg/2019/12/20/2019-27448.html https://regulations.justia.com/regulations/fedreg/2019/12/20/2019-27448.html Fri, 20 Dec 2019 00:00:00 -0800 2019-27448 Notice https://www.govinfo.gov/content/pkg/FR-2019-12-20/pdf/2019-27448.pdf Notice - Prospect Capital Corporation, et al. https://regulations.justia.com/regulations/fedreg/2019/12/20/2019-27447.html https://regulations.justia.com/regulations/fedreg/2019/12/20/2019-27447.html Fri, 20 Dec 2019 00:00:00 -0800 2019-27447 Notice https://www.govinfo.gov/content/pkg/FR-2019-12-20/pdf/2019-27447.pdf