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/2019/12/30?limit=200®isters=between&mode=atom2024-12-22T18:20:56-08:00Justia Inchttps://www.justia.com/Justia Regulations Trackerhttps://regulations.justia.com/images/justiafedregulations.gifCopyright 2011 Justia Inchttps://regulations.justia.com/regulations/fedreg/2019/12/30/2019-28176.htmlNotice - Self-Regulatory Organizations; Cboe EDGX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Interpretation and Policy .01 of Rule 2.4 To Allow the Exchange To Provide Annual Notification to Individual Members That Are Subject to Paragraph (b) of Rule 2.42019-12-30T00:00:00-08:002019-12-30T00:00:00-08:002019-28176Noticehttps://www.govinfo.gov/content/pkg/FR-2019-12-30/pdf/2019-28176.pdfhttps://regulations.justia.com/regulations/fedreg/2019/12/30/2019-28175.htmlNotice - Self-Regulatory Organizations; Cboe EDGA Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Interpretation and Policy .01 of Rule 2.4 To Allow the Exchange To Provide Annual Notification to Individual Members That Are Subject to Paragraph (b) of Rule 2.42019-12-30T00:00:00-08:002019-12-30T00:00:00-08:002019-28175Noticehttps://www.govinfo.gov/content/pkg/FR-2019-12-30/pdf/2019-28175.pdfhttps://regulations.justia.com/regulations/fedreg/2019/12/30/2019-28174.htmlNotice - Self-Regulatory Organizations; Cboe Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Correct Certain Erroneous Cross-References, Add Inadvertently Omitted Rule Text, and Conform the Use of Certain Defined Terms2019-12-30T00:00:00-08:002019-12-30T00:00:00-08:002019-28174Noticehttps://www.govinfo.gov/content/pkg/FR-2019-12-30/pdf/2019-28174.pdfhttps://regulations.justia.com/regulations/fedreg/2019/12/30/2019-28173.htmlNotice - Self-Regulatory Organizations; Nasdaq MRX, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Adopt a Mass Cancellation Rule and Amend Other Sections of the Rulebook2019-12-30T00:00:00-08:002019-12-30T00:00:00-08:002019-28173Noticehttps://www.govinfo.gov/content/pkg/FR-2019-12-30/pdf/2019-28173.pdfhttps://regulations.justia.com/regulations/fedreg/2019/12/30/2019-28172.htmlNotice - Self-Regulatory Organizations; Nasdaq GEMX, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Adopt a Mass Cancellation Rule and Amend Other Sections of the Rulebook2019-12-30T00:00:00-08:002019-12-30T00:00:00-08:002019-28172Noticehttps://www.govinfo.gov/content/pkg/FR-2019-12-30/pdf/2019-28172.pdfhttps://regulations.justia.com/regulations/fedreg/2019/12/30/2019-28171.htmlNotice - Self-Regulatory Organizations; Nasdaq ISE, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Adopt a Mass Cancellation Rule and Amend Other Sections of the Rulebook2019-12-30T00:00:00-08:002019-12-30T00:00:00-08:002019-28171Noticehttps://www.govinfo.gov/content/pkg/FR-2019-12-30/pdf/2019-28171.pdfhttps://regulations.justia.com/regulations/fedreg/2019/12/30/2019-28170.htmlNotice - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Its Price List To Extend for One Year a Fee Discount for the Partial Cabinet Solution Bundles Offered in Connection With the Exchange's Co-Location Services2019-12-30T00:00:00-08:002019-12-30T00:00:00-08:002019-28170Noticehttps://www.govinfo.gov/content/pkg/FR-2019-12-30/pdf/2019-28170.pdfhttps://regulations.justia.com/regulations/fedreg/2019/12/30/2019-28169.htmlNotice - Self-Regulatory Organizations; NYSE American LLC; Notice of Filing and Immediate Effectiveness of Proposed Change To Amend Its NYSE American Equities Price List and Fee Schedule and the NYSE American Options Fee Schedule To Extend for One Year a Fee Discount for the Partial Cabinet Solution Bundles Offered in Connection With the Exchange's Co-location Services2019-12-30T00:00:00-08:002019-12-30T00:00:00-08:002019-28169Noticehttps://www.govinfo.gov/content/pkg/FR-2019-12-30/pdf/2019-28169.pdfhttps://regulations.justia.com/regulations/fedreg/2019/12/30/2019-28168.htmlNotice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the NYSE Arca Options Fees and Charges and the NYSE Arca Equities Fees and Charges To Extend for One Year a Fee Discount for the Partial Cabinet Solution Bundles Offered in Connection With the Exchange's Co-location Services2019-12-30T00:00:00-08:002019-12-30T00:00:00-08:002019-28168Noticehttps://www.govinfo.gov/content/pkg/FR-2019-12-30/pdf/2019-28168.pdfhttps://regulations.justia.com/regulations/fedreg/2019/12/30/2019-28166.htmlNotice - Self-Regulatory Organizations; NYSE National, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Its Price List To Extend for One Year a Fee Discount for the Partial Cabinet Solution Bundles Offered in Connection With the Exchange's Co-Location Services2019-12-30T00:00:00-08:002019-12-30T00:00:00-08:002019-28166Noticehttps://www.govinfo.gov/content/pkg/FR-2019-12-30/pdf/2019-28166.pdfhttps://regulations.justia.com/regulations/fedreg/2019/12/30/2019-28089.htmlNotice - Self-Regulatory Organizations: Miami International Securities Exchange LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend, Reorganize and Enhance Its Membership, Registration and Qualification Rules and Consolidate These Rules Into New Chapter XIX Registration, Qualification and Continuing Education2019-12-30T00:00:00-08:002019-12-30T00:00:00-08:002019-28089Noticehttps://www.govinfo.gov/content/pkg/FR-2019-12-30/pdf/2019-28089.pdfhttps://regulations.justia.com/regulations/fedreg/2019/12/30/2019-28087.htmlNotice - Self-Regulatory Organizations; Fixed Income Clearing Corporation; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Include a New Foreign Legal Opinion Fee Applicable to Non-U.S. Membership Applicants, and Delete a Requirement for Direct Non-U.S. Members Relating to Annual Opinion Updates2019-12-30T00:00:00-08:002019-12-30T00:00:00-08:002019-28087Noticehttps://www.govinfo.gov/content/pkg/FR-2019-12-30/pdf/2019-28087.pdfhttps://regulations.justia.com/regulations/fedreg/2019/12/30/2019-28086.htmlNotice - Self-Regulatory Organizations: MIAX Emerald, LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Exchange Rule 100, Definitions; Exchange Rule 503, Openings on the Exchange; Exchange Rule 515, Execution of Orders and Quotes; Exchange Rule 516, Order Types Defined; Exchange Rule 517, Quote Types Defined; Exchange Rule 518, Complex Orders; and Exchange Rule 521, Nullification and Adjustment of Options Transactions Including Obvious Errors2019-12-30T00:00:00-08:002019-12-30T00:00:00-08:002019-28086Noticehttps://www.govinfo.gov/content/pkg/FR-2019-12-30/pdf/2019-28086.pdfhttps://regulations.justia.com/regulations/fedreg/2019/12/30/2019-28085.htmlNotice - Self-Regulatory Organizations; MIAX PEARL, LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Exchange Rule 100, Definitions, Exchange Rule 503, Openings on the Exchange, Exchange Rule 515, Execution of Orders, Exchange Rule 516, Order Types, and Exchange Rule 521, Nullification and Adjustment of Options Transactions Including Obvious Errors2019-12-30T00:00:00-08:002019-12-30T00:00:00-08:002019-28085Noticehttps://www.govinfo.gov/content/pkg/FR-2019-12-30/pdf/2019-28085.pdfhttps://regulations.justia.com/regulations/fedreg/2019/12/30/2019-28084.htmlNotice - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Order Approving Proposed Rule Change To Allow FINRA To Publish or Distribute Aggregated Transaction Information and Statistics on U.S. Treasury Securities2019-12-30T00:00:00-08:002019-12-30T00:00:00-08:002019-28084Noticehttps://www.govinfo.gov/content/pkg/FR-2019-12-30/pdf/2019-28084.pdfhttps://regulations.justia.com/regulations/fedreg/2019/12/30/2019-28083.htmlNotice - Self-Regulatory Organizations; Cboe BZX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Interpretation and Policy .01 of Rule 2.4 To Allow the Exchange To Provide Annual Notification to Individual Members That are Subject to Paragraph (b) of Rule 2.42019-12-30T00:00:00-08:002019-12-30T00:00:00-08:002019-28083Noticehttps://www.govinfo.gov/content/pkg/FR-2019-12-30/pdf/2019-28083.pdfhttps://regulations.justia.com/regulations/fedreg/2019/12/30/2019-28079.htmlNotice - Self-Regulatory Organizations; The Nasdaq Stock Market LLC; 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 Program2019-12-30T00:00:00-08:002019-12-30T00:00:00-08:002019-28079Noticehttps://www.govinfo.gov/content/pkg/FR-2019-12-30/pdf/2019-28079.pdfhttps://regulations.justia.com/regulations/fedreg/2019/12/30/2019-28077.htmlNotice - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Amending Annual Listing Fees for Equity Securities, Debt Securities, and Listed Structured Products Traded on NYSE Bonds2019-12-30T00:00:00-08:002019-12-30T00:00:00-08:002019-28077Noticehttps://www.govinfo.gov/content/pkg/FR-2019-12-30/pdf/2019-28077.pdfhttps://regulations.justia.com/regulations/fedreg/2019/12/30/2019-28076.htmlNotice - Self-Regulatory Organizations; Nasdaq MRX, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Adopt a New Rule Titled “Off-Exchange RWA Transfers” at MRX Options 6, Section 62019-12-30T00:00:00-08:002019-12-30T00:00:00-08:002019-28076Noticehttps://www.govinfo.gov/content/pkg/FR-2019-12-30/pdf/2019-28076.pdfhttps://regulations.justia.com/regulations/fedreg/2019/12/30/2019-28050.htmlNotice - Inter-American Development Bank; Notice of Application2019-12-30T00:00:00-08:002019-12-30T00:00:00-08:002019-28050Noticehttps://www.govinfo.gov/content/pkg/FR-2019-12-30/pdf/2019-28050.pdfhttps://regulations.justia.com/regulations/fedreg/2019/12/30/2019-28030.htmlNotice - Self-Regulatory Organizations; Nasdaq PHLX LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Adopt a New Rule Titled “Off-Exchange RWA Transfers” at Phlx Rule 10452019-12-30T00:00:00-08:002019-12-30T00:00:00-08:002019-28030Noticehttps://www.govinfo.gov/content/pkg/FR-2019-12-30/pdf/2019-28030.pdfhttps://regulations.justia.com/regulations/fedreg/2019/12/30/2019-28029.htmlNotice - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing of Proposed Rule Change, as Modified by Amendment No. 1, To Amend Chapter One of the Listed Company Manual To Modify the Provisions Relating to Direct Listings2019-12-30T00:00:00-08:002019-12-30T00:00:00-08:002019-28029Noticehttps://www.govinfo.gov/content/pkg/FR-2019-12-30/pdf/2019-28029.pdfhttps://regulations.justia.com/regulations/fedreg/2019/12/30/2019-28028.htmlNotice - Self-Regulatory Organizations; The Nasdaq Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Adopt a New Rule Titled “Off-Exchange RWA Transfers” at Options 6, Section 62019-12-30T00:00:00-08:002019-12-30T00:00:00-08:002019-28028Noticehttps://www.govinfo.gov/content/pkg/FR-2019-12-30/pdf/2019-28028.pdfhttps://regulations.justia.com/regulations/fedreg/2019/12/30/2019-28027.htmlNotice - Self-Regulatory Organizations; Nasdaq ISE, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Adopt a New Rule Titled “Off-Exchange RWA Transfers” at ISE Options 6, Section 62019-12-30T00:00:00-08:002019-12-30T00:00:00-08:002019-28027Noticehttps://www.govinfo.gov/content/pkg/FR-2019-12-30/pdf/2019-28027.pdfhttps://regulations.justia.com/regulations/fedreg/2019/12/30/2019-28026.htmlNotice - Self-Regulatory Organizations; Nasdaq GEMX, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Adopt a New Rule Titled “Off-Exchange RWA Transfers” at GEMX Options 6, Section 62019-12-30T00:00:00-08:002019-12-30T00:00:00-08:002019-28026Noticehttps://www.govinfo.gov/content/pkg/FR-2019-12-30/pdf/2019-28026.pdfhttps://regulations.justia.com/regulations/fedreg/2019/12/30/2019-28025.htmlNotice - Self-Regulatory Organizations; Nasdaq BX, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Adopt a New Rule Titled “Off-Exchange RWA Transfers” at BX Options 6, Section 62019-12-30T00:00:00-08:002019-12-30T00:00:00-08:002019-28025Noticehttps://www.govinfo.gov/content/pkg/FR-2019-12-30/pdf/2019-28025.pdfhttps://regulations.justia.com/regulations/fedreg/2019/12/30/2019-28024.htmlNotice - Self-Regulatory Organizations: Investors Exchange LLC; Notice of Filing of Proposed Rule Change To Add a New Discretionary Limit Order Type2019-12-30T00:00:00-08:002019-12-30T00:00:00-08:002019-28024Noticehttps://www.govinfo.gov/content/pkg/FR-2019-12-30/pdf/2019-28024.pdfhttps://regulations.justia.com/regulations/fedreg/2019/12/30/2019-28023.htmlNotice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Designation of a Longer Period for Commission Action on Proceedings To Determine Whether to Approve or Disapprove a Proposed Rule Change, as Modified by Amendment No. 1, To Amend NYSE Arca Rule 8.201-E (Commodity-Based Trust Shares) and to List and Trade Shares of the United States Bitcoin and Treasury Investment Trust Under NYSE Arca Rule 8.201-E2019-12-30T00:00:00-08:002019-12-30T00:00:00-08:002019-28023Noticehttps://www.govinfo.gov/content/pkg/FR-2019-12-30/pdf/2019-28023.pdfhttps://regulations.justia.com/regulations/fedreg/2019/12/30/2019-28022.htmlNotice - Self-Regulatory Organizations; Nasdaq PHLX LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Rules 1000, 1014, 1034, 1068, 1080, 1087, 1090, and 10932019-12-30T00:00:00-08:002019-12-30T00:00:00-08:002019-28022Noticehttps://www.govinfo.gov/content/pkg/FR-2019-12-30/pdf/2019-28022.pdfhttps://regulations.justia.com/regulations/fedreg/2019/12/30/2019-28021.htmlNotice - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing of a Proposed Rule Change To Amend the Membership Application Program (“MAP”) Rules To Address the Issue of Pending Arbitration Claims2019-12-30T00:00:00-08:002019-12-30T00:00:00-08:002019-28021Noticehttps://www.govinfo.gov/content/pkg/FR-2019-12-30/pdf/2019-28021.pdfhttps://regulations.justia.com/regulations/fedreg/2019/12/30/2019-28003.htmlNotice - Asset Management Advisory Committee2019-12-30T00:00:00-08:002019-12-30T00:00:00-08:002019-28003Noticehttps://www.govinfo.gov/content/pkg/FR-2019-12-30/pdf/2019-28003.pdf