Securities and Exchange Commission April 1, 2019 – Federal Register Recent Federal Regulation Documents

Results 1 - 11 of 11
Sunshine Act Meetings
Document Number: 2019-06307
Type: Notice
Date: 2019-04-01
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2019/04/01/2019-06307.html
Adoption of Updated EDGAR Filer Manual
Document Number: 2019-06261
Type: Rule
Date: 2019-04-01
Agency: Securities and Exchange Commission, Agencies and Commissions
The Securities and Exchange Commission (the ``Commission'') adopted revisions to the Electronic Data Gathering, Analysis, and Retrieval System (``EDGAR'') Filer Manual (``EDGAR Filer Manual'' or ``Filer Manual'') and related rules. The EDGAR system is scheduled to be upgraded on March 11, 2019.
https://regulations.justia.com/regulations/fedreg/2019/04/01/2019-06261.html
Self-Regulatory Organizations; NYSE American LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Clarify Statements Made in a Recent Filing In Regards to the Six-Month Lookback Period for New Issues Added to the Penny Pilot on a Quarterly Basis
Document Number: 2019-06182
Type: Notice
Date: 2019-04-01
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2019/04/01/2019-06182.html
Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Clarify Statements Made in a Recent Filing in Regards to the Six-Month Lookback Period for New Issues Added to the Penny Pilot on a Quarterly Basis
Document Number: 2019-06181
Type: Notice
Date: 2019-04-01
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2019/04/01/2019-06181.html
Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Capital Acquisition Broker (“CAB”) Rules Governing Qualification, Registration and Continuing Education of Associated Persons of CABs
Document Number: 2019-06180
Type: Notice
Date: 2019-04-01
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2019/04/01/2019-06180.html
Self-Regulatory Organizations; Cboe EDGX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the Rules Related to the Designated Primary Market-Maker (“DPM”) Participation Entitlements
Document Number: 2019-06179
Type: Notice
Date: 2019-04-01
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2019/04/01/2019-06179.html
Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Designation of a Longer Period for Commission Action on a Proposed Rule Change Relating to the Listing and Trading of the Shares of the ProShares UltraPro 3x Natural Gas ETF and ProShares UltraPro 3x Short Natural Gas ETF Under NYSE Arca Rule 8.200-E
Document Number: 2019-06178
Type: Notice
Date: 2019-04-01
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2019/04/01/2019-06178.html
Self-Regulatory Organizations; Cboe Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Cboe Options Rule 6.2
Document Number: 2019-06177
Type: Notice
Date: 2019-04-01
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2019/04/01/2019-06177.html
Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Order Approving Proposed Rule Change To Allow the Publication or Distribution of Aggregated Transaction Information and Statistics on Certain Non-Disseminated TRACE-Eligible Securities
Document Number: 2019-06176
Type: Notice
Date: 2019-04-01
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2019/04/01/2019-06176.html
Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Withdrawal of a Proposed Rule Change, as Modified by Amendment No. 1, Regarding Investments of the First Trust TCW Unconstrained Plus Bond ETF
Document Number: 2019-06175
Type: Notice
Date: 2019-04-01
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2019/04/01/2019-06175.html
Generation Investment Management US LLP and Generation Investment Management LLP
Document Number: 2019-06158
Type: Notice
Date: 2019-04-01
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2019/04/01/2019-06158.html
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