Securities and Exchange Commission April 2019 – Federal Register Recent Federal Regulation Documents

Sunshine Act Meetings
Document Number: 2019-08795
Type: Notice
Date: 2019-04-30
Agency: Securities and Exchange Commission, Agencies and Commissions
Disclosure of Order Handling Information
Document Number: 2019-08675
Type: Rule
Date: 2019-04-30
Agency: Securities and Exchange Commission, Agencies and Commissions
The Commission is extending the compliance date for the recently adopted amendments to Rule 606 of Regulation National Market System (``Regulation NMS'') under the Securities Exchange Act of 1934 (``Exchange Act''), which require additional disclosures by broker- dealers to customers concerning the handling of customer orders. Specifically, the Commission is extending the compliance date for the recently adopted amendments to Rule 606. Following September 30, 2019, broker-dealers must begin to collect the information required by Rules 606(a) and 606(b) as amended. The compliance date remains May 20, 2019 for the amendments to Rule 605. The Commission is extending the compliance date for the recently adopted amendments to Rule 606 in order to give broker-dealers additional time to develop, program, and test for compliance with the new and amended requirements of the rule.
Symmetry Panoramic Trust and Symmetry Partners, LLC; Notice of Application
Document Number: 2019-08528
Type: Notice
Date: 2019-04-29
Agency: Securities and Exchange Commission, Agencies and Commissions
Cboe BZX Exchange, Inc.; Order Scheduling Filing of Statements on Review
Document Number: 2019-08097
Type: Notice
Date: 2019-04-29
Agency: Securities and Exchange Commission, Agencies and Commissions
Submission for OMB Review; Comment Request
Document Number: 2019-08469
Type: Notice
Date: 2019-04-26
Agency: Securities and Exchange Commission, Agencies and Commissions
M-CAM International LLC, et al.
Document Number: 2019-08468
Type: Notice
Date: 2019-04-26
Agency: Securities and Exchange Commission, Agencies and Commissions
Putnam Managed Municipal Income Trust, et al.
Document Number: 2019-08067
Type: Notice
Date: 2019-04-23
Agency: Securities and Exchange Commission, Agencies and Commissions
Submission for OMB Review; Comment Request
Document Number: 2019-08043
Type: Notice
Date: 2019-04-22
Agency: Securities and Exchange Commission, Agencies and Commissions
Submission for OMB Review; Comment Request
Document Number: 2019-08042
Type: Notice
Date: 2019-04-22
Agency: Securities and Exchange Commission, Agencies and Commissions
Submission for OMB Review; Comment Request
Document Number: 2019-08041
Type: Notice
Date: 2019-04-22
Agency: Securities and Exchange Commission, Agencies and Commissions
Submission for OMB Review; Comment Request
Document Number: 2019-08040
Type: Notice
Date: 2019-04-22
Agency: Securities and Exchange Commission, Agencies and Commissions
Submission for OMB Review; Comment Request
Document Number: 2019-08039
Type: Notice
Date: 2019-04-22
Agency: Securities and Exchange Commission, Agencies and Commissions
Submission for OMB Review; Comment Request
Document Number: 2019-08038
Type: Notice
Date: 2019-04-22
Agency: Securities and Exchange Commission, Agencies and Commissions
Proposed Collection; Comment Request
Document Number: 2019-08037
Type: Notice
Date: 2019-04-22
Agency: Securities and Exchange Commission, Agencies and Commissions
Proposed Collection; Comment Request
Document Number: 2019-08036
Type: Notice
Date: 2019-04-22
Agency: Securities and Exchange Commission, Agencies and Commissions
Submission for OMB Review; Comment Request
Document Number: 2019-08035
Type: Notice
Date: 2019-04-22
Agency: Securities and Exchange Commission, Agencies and Commissions
Proposed Collection; Comment Request
Document Number: 2019-08034
Type: Notice
Date: 2019-04-22
Agency: Securities and Exchange Commission, Agencies and Commissions