<![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/2019/12/30?registers=between Thu, 21 Aug 2025 21:05:56 -0700 Thu, 21 Aug 2025 21:05:56 -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/2019/12/30?registers=between Notice - 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 2.4 https://regulations.justia.com/regulations/fedreg/2019/12/30/2019-28176.html https://regulations.justia.com/regulations/fedreg/2019/12/30/2019-28176.html Mon, 30 Dec 2019 00:00:00 -0800 2019-28176 Notice https://www.govinfo.gov/content/pkg/FR-2019-12-30/pdf/2019-28176.pdf Notice - 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 2.4 https://regulations.justia.com/regulations/fedreg/2019/12/30/2019-28175.html https://regulations.justia.com/regulations/fedreg/2019/12/30/2019-28175.html Mon, 30 Dec 2019 00:00:00 -0800 2019-28175 Notice https://www.govinfo.gov/content/pkg/FR-2019-12-30/pdf/2019-28175.pdf Notice - 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 Terms https://regulations.justia.com/regulations/fedreg/2019/12/30/2019-28174.html https://regulations.justia.com/regulations/fedreg/2019/12/30/2019-28174.html Mon, 30 Dec 2019 00:00:00 -0800 2019-28174 Notice https://www.govinfo.gov/content/pkg/FR-2019-12-30/pdf/2019-28174.pdf Notice - 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 Rulebook https://regulations.justia.com/regulations/fedreg/2019/12/30/2019-28173.html https://regulations.justia.com/regulations/fedreg/2019/12/30/2019-28173.html Mon, 30 Dec 2019 00:00:00 -0800 2019-28173 Notice https://www.govinfo.gov/content/pkg/FR-2019-12-30/pdf/2019-28173.pdf Notice - 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 Rulebook https://regulations.justia.com/regulations/fedreg/2019/12/30/2019-28172.html https://regulations.justia.com/regulations/fedreg/2019/12/30/2019-28172.html Mon, 30 Dec 2019 00:00:00 -0800 2019-28172 Notice https://www.govinfo.gov/content/pkg/FR-2019-12-30/pdf/2019-28172.pdf Notice - 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 Rulebook https://regulations.justia.com/regulations/fedreg/2019/12/30/2019-28171.html https://regulations.justia.com/regulations/fedreg/2019/12/30/2019-28171.html Mon, 30 Dec 2019 00:00:00 -0800 2019-28171 Notice https://www.govinfo.gov/content/pkg/FR-2019-12-30/pdf/2019-28171.pdf Notice - 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 Services https://regulations.justia.com/regulations/fedreg/2019/12/30/2019-28170.html https://regulations.justia.com/regulations/fedreg/2019/12/30/2019-28170.html Mon, 30 Dec 2019 00:00:00 -0800 2019-28170 Notice https://www.govinfo.gov/content/pkg/FR-2019-12-30/pdf/2019-28170.pdf Notice - 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 Services https://regulations.justia.com/regulations/fedreg/2019/12/30/2019-28169.html https://regulations.justia.com/regulations/fedreg/2019/12/30/2019-28169.html Mon, 30 Dec 2019 00:00:00 -0800 2019-28169 Notice https://www.govinfo.gov/content/pkg/FR-2019-12-30/pdf/2019-28169.pdf Notice - 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 Services https://regulations.justia.com/regulations/fedreg/2019/12/30/2019-28168.html https://regulations.justia.com/regulations/fedreg/2019/12/30/2019-28168.html Mon, 30 Dec 2019 00:00:00 -0800 2019-28168 Notice https://www.govinfo.gov/content/pkg/FR-2019-12-30/pdf/2019-28168.pdf Notice - 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 Services https://regulations.justia.com/regulations/fedreg/2019/12/30/2019-28166.html https://regulations.justia.com/regulations/fedreg/2019/12/30/2019-28166.html Mon, 30 Dec 2019 00:00:00 -0800 2019-28166 Notice https://www.govinfo.gov/content/pkg/FR-2019-12-30/pdf/2019-28166.pdf Notice - 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 Education https://regulations.justia.com/regulations/fedreg/2019/12/30/2019-28089.html https://regulations.justia.com/regulations/fedreg/2019/12/30/2019-28089.html Mon, 30 Dec 2019 00:00:00 -0800 2019-28089 Notice https://www.govinfo.gov/content/pkg/FR-2019-12-30/pdf/2019-28089.pdf Notice - 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 Updates https://regulations.justia.com/regulations/fedreg/2019/12/30/2019-28087.html https://regulations.justia.com/regulations/fedreg/2019/12/30/2019-28087.html Mon, 30 Dec 2019 00:00:00 -0800 2019-28087 Notice https://www.govinfo.gov/content/pkg/FR-2019-12-30/pdf/2019-28087.pdf Notice - 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 Errors https://regulations.justia.com/regulations/fedreg/2019/12/30/2019-28086.html https://regulations.justia.com/regulations/fedreg/2019/12/30/2019-28086.html Mon, 30 Dec 2019 00:00:00 -0800 2019-28086 Notice https://www.govinfo.gov/content/pkg/FR-2019-12-30/pdf/2019-28086.pdf Notice - 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 Errors https://regulations.justia.com/regulations/fedreg/2019/12/30/2019-28085.html https://regulations.justia.com/regulations/fedreg/2019/12/30/2019-28085.html Mon, 30 Dec 2019 00:00:00 -0800 2019-28085 Notice https://www.govinfo.gov/content/pkg/FR-2019-12-30/pdf/2019-28085.pdf Notice - 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 Securities https://regulations.justia.com/regulations/fedreg/2019/12/30/2019-28084.html https://regulations.justia.com/regulations/fedreg/2019/12/30/2019-28084.html Mon, 30 Dec 2019 00:00:00 -0800 2019-28084 Notice https://www.govinfo.gov/content/pkg/FR-2019-12-30/pdf/2019-28084.pdf Notice - 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 2.4 https://regulations.justia.com/regulations/fedreg/2019/12/30/2019-28083.html https://regulations.justia.com/regulations/fedreg/2019/12/30/2019-28083.html Mon, 30 Dec 2019 00:00:00 -0800 2019-28083 Notice https://www.govinfo.gov/content/pkg/FR-2019-12-30/pdf/2019-28083.pdf Notice - 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 Program https://regulations.justia.com/regulations/fedreg/2019/12/30/2019-28079.html https://regulations.justia.com/regulations/fedreg/2019/12/30/2019-28079.html Mon, 30 Dec 2019 00:00:00 -0800 2019-28079 Notice https://www.govinfo.gov/content/pkg/FR-2019-12-30/pdf/2019-28079.pdf Notice - 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 Bonds https://regulations.justia.com/regulations/fedreg/2019/12/30/2019-28077.html https://regulations.justia.com/regulations/fedreg/2019/12/30/2019-28077.html Mon, 30 Dec 2019 00:00:00 -0800 2019-28077 Notice https://www.govinfo.gov/content/pkg/FR-2019-12-30/pdf/2019-28077.pdf Notice - 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 6 https://regulations.justia.com/regulations/fedreg/2019/12/30/2019-28076.html https://regulations.justia.com/regulations/fedreg/2019/12/30/2019-28076.html Mon, 30 Dec 2019 00:00:00 -0800 2019-28076 Notice https://www.govinfo.gov/content/pkg/FR-2019-12-30/pdf/2019-28076.pdf Notice - Inter-American Development Bank; Notice of Application https://regulations.justia.com/regulations/fedreg/2019/12/30/2019-28050.html https://regulations.justia.com/regulations/fedreg/2019/12/30/2019-28050.html Mon, 30 Dec 2019 00:00:00 -0800 2019-28050 Notice https://www.govinfo.gov/content/pkg/FR-2019-12-30/pdf/2019-28050.pdf Notice - 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 1045 https://regulations.justia.com/regulations/fedreg/2019/12/30/2019-28030.html https://regulations.justia.com/regulations/fedreg/2019/12/30/2019-28030.html Mon, 30 Dec 2019 00:00:00 -0800 2019-28030 Notice https://www.govinfo.gov/content/pkg/FR-2019-12-30/pdf/2019-28030.pdf Notice - 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 Listings https://regulations.justia.com/regulations/fedreg/2019/12/30/2019-28029.html https://regulations.justia.com/regulations/fedreg/2019/12/30/2019-28029.html Mon, 30 Dec 2019 00:00:00 -0800 2019-28029 Notice https://www.govinfo.gov/content/pkg/FR-2019-12-30/pdf/2019-28029.pdf Notice - 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 6 https://regulations.justia.com/regulations/fedreg/2019/12/30/2019-28028.html https://regulations.justia.com/regulations/fedreg/2019/12/30/2019-28028.html Mon, 30 Dec 2019 00:00:00 -0800 2019-28028 Notice https://www.govinfo.gov/content/pkg/FR-2019-12-30/pdf/2019-28028.pdf Notice - 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 6 https://regulations.justia.com/regulations/fedreg/2019/12/30/2019-28027.html https://regulations.justia.com/regulations/fedreg/2019/12/30/2019-28027.html Mon, 30 Dec 2019 00:00:00 -0800 2019-28027 Notice https://www.govinfo.gov/content/pkg/FR-2019-12-30/pdf/2019-28027.pdf Notice - 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 6 https://regulations.justia.com/regulations/fedreg/2019/12/30/2019-28026.html https://regulations.justia.com/regulations/fedreg/2019/12/30/2019-28026.html Mon, 30 Dec 2019 00:00:00 -0800 2019-28026 Notice https://www.govinfo.gov/content/pkg/FR-2019-12-30/pdf/2019-28026.pdf Notice - 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 6 https://regulations.justia.com/regulations/fedreg/2019/12/30/2019-28025.html https://regulations.justia.com/regulations/fedreg/2019/12/30/2019-28025.html Mon, 30 Dec 2019 00:00:00 -0800 2019-28025 Notice https://www.govinfo.gov/content/pkg/FR-2019-12-30/pdf/2019-28025.pdf Notice - Self-Regulatory Organizations: Investors Exchange LLC; Notice of Filing of Proposed Rule Change To Add a New Discretionary Limit Order Type https://regulations.justia.com/regulations/fedreg/2019/12/30/2019-28024.html https://regulations.justia.com/regulations/fedreg/2019/12/30/2019-28024.html Mon, 30 Dec 2019 00:00:00 -0800 2019-28024 Notice https://www.govinfo.gov/content/pkg/FR-2019-12-30/pdf/2019-28024.pdf Notice - 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-E https://regulations.justia.com/regulations/fedreg/2019/12/30/2019-28023.html https://regulations.justia.com/regulations/fedreg/2019/12/30/2019-28023.html Mon, 30 Dec 2019 00:00:00 -0800 2019-28023 Notice https://www.govinfo.gov/content/pkg/FR-2019-12-30/pdf/2019-28023.pdf Notice - 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 1093 https://regulations.justia.com/regulations/fedreg/2019/12/30/2019-28022.html https://regulations.justia.com/regulations/fedreg/2019/12/30/2019-28022.html Mon, 30 Dec 2019 00:00:00 -0800 2019-28022 Notice https://www.govinfo.gov/content/pkg/FR-2019-12-30/pdf/2019-28022.pdf Notice - 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 Claims https://regulations.justia.com/regulations/fedreg/2019/12/30/2019-28021.html https://regulations.justia.com/regulations/fedreg/2019/12/30/2019-28021.html Mon, 30 Dec 2019 00:00:00 -0800 2019-28021 Notice https://www.govinfo.gov/content/pkg/FR-2019-12-30/pdf/2019-28021.pdf Notice - Asset Management Advisory Committee https://regulations.justia.com/regulations/fedreg/2019/12/30/2019-28003.html https://regulations.justia.com/regulations/fedreg/2019/12/30/2019-28003.html Mon, 30 Dec 2019 00:00:00 -0800 2019-28003 Notice https://www.govinfo.gov/content/pkg/FR-2019-12-30/pdf/2019-28003.pdf