Federal Register Recent Federal Regulation Documents - Justia Regulation Tracker - Justia Regulations Tracker https://regulations.justia.com/regulations/fedreg/agencies/securities-and-exchange-commission/2019/01/31?limit=200&registers=between&mode=atom 2024-11-22T01:52:39-08:00 Justia Inc https://www.justia.com/ Justia Regulations Tracker https://regulations.justia.com/images/justiafedregulations.gif Copyright 2011 Justia Inc https://regulations.justia.com/regulations/fedreg/2019/01/31/2019-00508.html Notice - Self-Regulatory Organizations; BOX Options Exchange LLC; Notice of Designation of Longer Period for Commission Action on Proceedings To Determine Whether To Approve or Disapprove a Proposed Rule Change To Amend the Fee Schedule on the BOX Market LLC Options Facility To Establish BOX Connectivity Fees for Participants and Non-Participants Who Connect to the BOX Network 2019-01-31T00:00:00-08:00 2019-01-31T00:00:00-08:00 2019-00508 Notice https://www.govinfo.gov/content/pkg/FR-2019-01-31/pdf/2019-00508.pdf https://regulations.justia.com/regulations/fedreg/2019/01/31/2019-00507.html Notice - Self-Regulatory Organizations; Nasdaq BX, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Chapter VI, Section 5 2019-01-31T00:00:00-08:00 2019-01-31T00:00:00-08:00 2019-00507 Notice https://www.govinfo.gov/content/pkg/FR-2019-01-31/pdf/2019-00507.pdf https://regulations.justia.com/regulations/fedreg/2019/01/31/2019-00505.html Notice - Order Granting a Limited Exemption From the Exchange Act Definition of “Penny Stock” for Security-Based Swap Transactions Between Eligible Contract Participants; Granting a Limited Exemption From the Exchange Act Definition of “Municipal Securities” for Security-Based Swaps; and Extending Certain Temporary Exemptions Under the Exchange Act in Connection With the Revision of the Definition of “Security” To Encompass Security-Based Swaps 2019-01-31T00:00:00-08:00 2019-01-31T00:00:00-08:00 2019-00505 Notice https://www.govinfo.gov/content/pkg/FR-2019-01-31/pdf/2019-00505.pdf https://regulations.justia.com/regulations/fedreg/2019/01/31/2019-00502.html Notice - Self-Regulatory Organizations; Cboe BZX Exchange, Inc.; Notice of Withdrawal of a Proposed Rule Change To List and Trade Shares of SolidX Bitcoin Shares Issued by the VanEck SolidX Bitcoin Trust Under BZX Rule 14.11(e)(4), Commodity-Based Trust Shares 2019-01-31T00:00:00-08:00 2019-01-31T00:00:00-08:00 2019-00502 Notice https://www.govinfo.gov/content/pkg/FR-2019-01-31/pdf/2019-00502.pdf https://regulations.justia.com/regulations/fedreg/2019/01/31/2019-00501.html Notice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Designation of a Longer Period for Commission Action on a Proposed Rule Change Regarding Certain Changes Relating to Investments of the PGIM Active High Yield Bond ETF 2019-01-31T00:00:00-08:00 2019-01-31T00:00:00-08:00 2019-00501 Notice https://www.govinfo.gov/content/pkg/FR-2019-01-31/pdf/2019-00501.pdf https://regulations.justia.com/regulations/fedreg/2019/01/31/2019-00499.html Notice - Self-Regulatory Organizations; New York Stock Exchange LLC; Order Instituting Proceedings To Determine Whether To Approve or Disapprove a Proposed Rule Change To Amend the Listed Company Manual for Acquisition Companies To Reduce the Continued Listing Standards for Public Stockholders From 300 to 100 and To Enable the Exchange To Exercise Discretion To Allow Acquisition Companies a Reasonable Time Period Following a Business Combination To Demonstrate Compliance With the Applicable Quantitative Listing Standards 2019-01-31T00:00:00-08:00 2019-01-31T00:00:00-08:00 2019-00499 Notice https://www.govinfo.gov/content/pkg/FR-2019-01-31/pdf/2019-00499.pdf https://regulations.justia.com/regulations/fedreg/2019/01/31/2019-00498.html Notice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Designation of Longer Period for Commission Action on Proceedings To Determine Whether To Approve or Disapprove a Proposed Rule Change Regarding Investments of the First Trust TCW Unconstrained Plus Bond ETF 2019-01-31T00:00:00-08:00 2019-01-31T00:00:00-08:00 2019-00498 Notice https://www.govinfo.gov/content/pkg/FR-2019-01-31/pdf/2019-00498.pdf https://regulations.justia.com/regulations/fedreg/2019/01/31/2019-00497.html Notice - Self-Regulatory Organizations; Nasdaq PHLX LLC; Notice of Designation of a Longer Period for Commission Action on a Proposed Rule Change To Establish Rules Governing the Give Up of a Clearing Member by a Member Organization on Exchange Transactions 2019-01-31T00:00:00-08:00 2019-01-31T00:00:00-08:00 2019-00497 Notice https://www.govinfo.gov/content/pkg/FR-2019-01-31/pdf/2019-00497.pdf https://regulations.justia.com/regulations/fedreg/2019/01/31/2019-00482.html Notice - Self-Regulatory Organizations; Cboe BYX Exchange, Inc.; Notice of Designation of Longer Period for Commission Action on Proposed Rule Change To Make Permanent Rule 11.24, Which Sets Forth the Exchange's Pilot Retail Price Improvement Program 2019-01-31T00:00:00-08:00 2019-01-31T00:00:00-08:00 2019-00482 Notice https://www.govinfo.gov/content/pkg/FR-2019-01-31/pdf/2019-00482.pdf https://regulations.justia.com/regulations/fedreg/2019/01/31/2019-00481.html Notice - Self-Regulatory Organizations; NYSE Arca, Inc.; Order Instituting Proceedings To Determine Whether To Approve or Disapprove a Proposed Rule Change To Amend Rule 7.44-E To Expand and Modify the Exchange's Retail Liquidity Program 2019-01-31T00:00:00-08:00 2019-01-31T00:00:00-08:00 2019-00481 Notice https://www.govinfo.gov/content/pkg/FR-2019-01-31/pdf/2019-00481.pdf https://regulations.justia.com/regulations/fedreg/2019/01/31/2019-00480.html Notice - Self-Regulatory Organizations; NYSE American LLC; Notice of Filing and Immediate Effectiveness of Proposed Change To Amend the NYSE American Options Fee Schedule 2019-01-31T00:00:00-08:00 2019-01-31T00:00:00-08:00 2019-00480 Notice https://www.govinfo.gov/content/pkg/FR-2019-01-31/pdf/2019-00480.pdf https://regulations.justia.com/regulations/fedreg/2019/01/31/2019-00479.html Notice - Self-Regulatory Organizations; Nasdaq BX, Inc.; Notice of Designation of Longer Period for Commission Action on Proposed Rule Change To Make Permanent the Exchange's Retail Price Improvement Program 2019-01-31T00:00:00-08:00 2019-01-31T00:00:00-08:00 2019-00479 Notice https://www.govinfo.gov/content/pkg/FR-2019-01-31/pdf/2019-00479.pdf https://regulations.justia.com/regulations/fedreg/2019/01/31/2019-00478.html Notice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the NYSE Arca Options Fee Schedule 2019-01-31T00:00:00-08:00 2019-01-31T00:00:00-08:00 2019-00478 Notice https://www.govinfo.gov/content/pkg/FR-2019-01-31/pdf/2019-00478.pdf https://regulations.justia.com/regulations/fedreg/2019/01/31/2019-00477.html Notice - Self-Regulatory Organizations; Nasdaq PHLX LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Equity 7, Section 3 2019-01-31T00:00:00-08:00 2019-01-31T00:00:00-08:00 2019-00477 Notice https://www.govinfo.gov/content/pkg/FR-2019-01-31/pdf/2019-00477.pdf https://regulations.justia.com/regulations/fedreg/2019/01/31/2019-00476.html Notice - Self-Regulatory Organizations; Cboe BZX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To List and Trade Shares of the VanEck Vectors AMT-Free Intermediate Municipal Index ETF, VanEck Vectors AMT-Free Long Municipal Index ETF, VanEck Vectors AMT-Free Short Municipal Index ETF, VanEck Vectors High-Yield Municipal Index ETF, and VanEck Vectors Pre-Refunded Municipal Index ETF, Each a Series of the VanEck Vectors ETF Trust, Under Rule 14.11(c)(4) (Index Fund Shares) 2019-01-31T00:00:00-08:00 2019-01-31T00:00:00-08:00 2019-00476 Notice https://www.govinfo.gov/content/pkg/FR-2019-01-31/pdf/2019-00476.pdf https://regulations.justia.com/regulations/fedreg/2019/01/31/2019-00475.html Notice - Self-Regulatory Organizations; Nasdaq BX, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Equity 7, Section 115 2019-01-31T00:00:00-08:00 2019-01-31T00:00:00-08:00 2019-00475 Notice https://www.govinfo.gov/content/pkg/FR-2019-01-31/pdf/2019-00475.pdf https://regulations.justia.com/regulations/fedreg/2019/01/31/2019-00474.html Notice - Self-Regulatory Organizations; Cboe BZX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the BZX Equities Fee Schedule 2019-01-31T00:00:00-08:00 2019-01-31T00:00:00-08:00 2019-00474 Notice https://www.govinfo.gov/content/pkg/FR-2019-01-31/pdf/2019-00474.pdf https://regulations.justia.com/regulations/fedreg/2019/01/31/2019-00473.html Notice - Self-Regulatory Organizations; Nasdaq PHLX LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Phlx Rule 1034 2019-01-31T00:00:00-08:00 2019-01-31T00:00:00-08:00 2019-00473 Notice https://www.govinfo.gov/content/pkg/FR-2019-01-31/pdf/2019-00473.pdf https://regulations.justia.com/regulations/fedreg/2019/01/31/2019-00472.html Notice - Self-Regulatory Organizations; The Nasdaq Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Chapter VI, Section 5 of the Rules of The Nasdaq Options Market 2019-01-31T00:00:00-08:00 2019-01-31T00:00:00-08:00 2019-00472 Notice https://www.govinfo.gov/content/pkg/FR-2019-01-31/pdf/2019-00472.pdf https://regulations.justia.com/regulations/fedreg/2019/01/31/2019-00471.html Notice - Self-Regulatory Organizations; Nasdaq MRX, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Extend the Penny Pilot Program 2019-01-31T00:00:00-08:00 2019-01-31T00:00:00-08:00 2019-00471 Notice https://www.govinfo.gov/content/pkg/FR-2019-01-31/pdf/2019-00471.pdf https://regulations.justia.com/regulations/fedreg/2019/01/31/2019-00470.html Notice - Self-Regulatory Organizations; Nasdaq ISE, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Extend the Penny Pilot Program 2019-01-31T00:00:00-08:00 2019-01-31T00:00:00-08:00 2019-00470 Notice https://www.govinfo.gov/content/pkg/FR-2019-01-31/pdf/2019-00470.pdf https://regulations.justia.com/regulations/fedreg/2019/01/31/2019-00469.html Notice - Self-Regulatory Organizations; ICE Clear Europe Limited; Notice of Designation of Longer Period for Commission Action on Proposed Rule Change Relating to Amendments to the ICE Clear Europe CDS Risk Policy, CDS Clearing Back-Testing Policy and CDS Stress-Testing Policy 2019-01-31T00:00:00-08:00 2019-01-31T00:00:00-08:00 2019-00469 Notice https://www.govinfo.gov/content/pkg/FR-2019-01-31/pdf/2019-00469.pdf https://regulations.justia.com/regulations/fedreg/2019/01/31/2019-00468.html Notice - Self-Regulatory Organizations; Nasdaq GEMX, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Extend the Penny Pilot Program 2019-01-31T00:00:00-08:00 2019-01-31T00:00:00-08:00 2019-00468 Notice https://www.govinfo.gov/content/pkg/FR-2019-01-31/pdf/2019-00468.pdf https://regulations.justia.com/regulations/fedreg/2019/01/31/2019-00467.html Notice - Self-Regulatory Organizations; The Depository Trust Company; Notice of Designation of Longer Period for Commission Action on Proposed Rule Change To Amend the Settlement Guide Procedures To Provide Status Information for Institutional Transactions to a Matching Utility 2019-01-31T00:00:00-08:00 2019-01-31T00:00:00-08:00 2019-00467 Notice https://www.govinfo.gov/content/pkg/FR-2019-01-31/pdf/2019-00467.pdf https://regulations.justia.com/regulations/fedreg/2019/01/31/2019-00466.html Notice - Self-Regulatory Organizations; Cboe BZX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Rule 21.5, Minimum Increments, To Extend the Penny Pilot Program 2019-01-31T00:00:00-08:00 2019-01-31T00:00:00-08:00 2019-00466 Notice https://www.govinfo.gov/content/pkg/FR-2019-01-31/pdf/2019-00466.pdf https://regulations.justia.com/regulations/fedreg/2019/01/31/2018-28388.html Notice - Self-Regulatory Organizations; Cboe C2 Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to the Penny Pilot Program 2019-01-31T00:00:00-08:00 2019-01-31T00:00:00-08:00 2018-28388 Notice https://www.govinfo.gov/content/pkg/FR-2019-01-31/pdf/2018-28388.pdf https://regulations.justia.com/regulations/fedreg/2019/01/31/2018-27980.html Rule - Conditional Small Issues Exemption Under the Securities Act of 1933 (Regulation A) 2019-01-31T00:00:00-08:00 2019-01-31T00:00:00-08:00 2018-27980 Rule https://www.govinfo.gov/content/pkg/FR-2019-01-31/pdf/2018-27980.pdf