Federal Register Recent Federal Regulation Documents - Justia Regulation Tracker - Justia Regulations Tracker https://regulations.justia.com/regulations/fedreg/agencies/securities-and-exchange-commission/2019/04/04?limit=200&registers=between&mode=atom 2020-10-29T16:09:10-07:00 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/2019/04/04/2019-06529.html Notice - Self-Regulatory Organizations; Cboe C2 Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating To Amend Rule 6.4, Interpretation and Policy .02 To Specify That Replacement Issues May Be Added to the Penny Pilot Program (“Pilot”) on a Quarterly Basis, Without Altering the Expiration Date of the Pilot, Which is June 30, 2019 2019-04-04T00:00:00-07:00 2019-04-04T00:00:00-07:00 2019-06529 Notice https://www.govinfo.gov/content/pkg/FR-2019-04-04/pdf/2019-06529.pdf https://regulations.justia.com/regulations/fedreg/2019/04/04/2019-06528.html Notice - Self-Regulatory Organizations; Cboe BZX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating To Make Certain Changes to the Listing Rule Governing the Listing and Trading of the Shares of the WisdomTree Japan Multifactor Fund and the WisdomTree Europe Multifactor Fund of the WisdomTree in Order for Such Funds To Be Listed and Traded on the Exchange Under Rule 14.11(i) (“Managed Fund Shares”) 2019-04-04T00:00:00-07:00 2019-04-04T00:00:00-07:00 2019-06528 Notice https://www.govinfo.gov/content/pkg/FR-2019-04-04/pdf/2019-06528.pdf https://regulations.justia.com/regulations/fedreg/2019/04/04/2019-06527.html Notice - Self-Regulatory Organizations; Fixed Income Clearing Corporation; Order Approving a Proposed Rule Change To Expand Sponsoring Member Eligibility in the Government Securities Division Rulebook and Make Other Changes 2019-04-04T00:00:00-07:00 2019-04-04T00:00:00-07:00 2019-06527 Notice https://www.govinfo.gov/content/pkg/FR-2019-04-04/pdf/2019-06527.pdf https://regulations.justia.com/regulations/fedreg/2019/04/04/2019-06526.html Notice - Self-Regulatory Organizations; Miami International Securities Exchange, LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Exchange Rule 510, Minimum Price Variations and Minimum Trading Increments 2019-04-04T00:00:00-07:00 2019-04-04T00:00:00-07:00 2019-06526 Notice https://www.govinfo.gov/content/pkg/FR-2019-04-04/pdf/2019-06526.pdf https://regulations.justia.com/regulations/fedreg/2019/04/04/2019-06525.html Notice - Self-Regulatory Organizations; Nasdaq PHLX LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Specify Replacement Issues That May Be Added to the Penny Pilot in Rule 1034 2019-04-04T00:00:00-07:00 2019-04-04T00:00:00-07:00 2019-06525 Notice https://www.govinfo.gov/content/pkg/FR-2019-04-04/pdf/2019-06525.pdf https://regulations.justia.com/regulations/fedreg/2019/04/04/2019-06524.html Notice - Self-Regulatory Organizations; Cboe EDGX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating To Amend Rule 21.5, Interpretation and Policy .01 To Specify That Replacement Issues May Be Added to the Penny Pilot Program (“Pilot”) on a Quarterly Basis, Without Altering the Expiration Date of the Pilot, Which Is June 30, 2019 2019-04-04T00:00:00-07:00 2019-04-04T00:00:00-07:00 2019-06524 Notice https://www.govinfo.gov/content/pkg/FR-2019-04-04/pdf/2019-06524.pdf https://regulations.justia.com/regulations/fedreg/2019/04/04/2019-06523.html Notice - Self-Regulatory Organizations; Cboe BZX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating To Amend Rule 21.5, Interpretation and Policy .01 To Specify That Replacement Issues May Be Added to the Penny Pilot Program (“Pilot”) on a Quarterly Basis, Without Altering the Expiration Date of the Pilot, Which Is June 30, 2019 2019-04-04T00:00:00-07:00 2019-04-04T00:00:00-07:00 2019-06523 Notice https://www.govinfo.gov/content/pkg/FR-2019-04-04/pdf/2019-06523.pdf https://regulations.justia.com/regulations/fedreg/2019/04/04/2019-06522.html Notice - Self-Regulatory Organizations; Nasdaq MRX, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Supplementary Material .01 to Rule 710, “Minimum Increments” 2019-04-04T00:00:00-07:00 2019-04-04T00:00:00-07:00 2019-06522 Notice https://www.govinfo.gov/content/pkg/FR-2019-04-04/pdf/2019-06522.pdf https://regulations.justia.com/regulations/fedreg/2019/04/04/2019-06521.html Notice - Self-Regulatory Organizations; Nasdaq GEMX, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Supplementary Material .01 to Rule 710 To Specify Replacement Issues That May Be Added to the Penny Pilot on a Quarterly Basis Without Altering the Expiration Date of the Pilot 2019-04-04T00:00:00-07:00 2019-04-04T00:00:00-07:00 2019-06521 Notice https://www.govinfo.gov/content/pkg/FR-2019-04-04/pdf/2019-06521.pdf https://regulations.justia.com/regulations/fedreg/2019/04/04/2019-06520.html Notice - 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 Shares of the Bitwise Bitcoin ETF Trust Under NYSE Arca Rule 8.201-E 2019-04-04T00:00:00-07:00 2019-04-04T00:00:00-07:00 2019-06520 Notice https://www.govinfo.gov/content/pkg/FR-2019-04-04/pdf/2019-06520.pdf https://regulations.justia.com/regulations/fedreg/2019/04/04/2019-06519.html Notice - Self-Regulatory Organizations; BOX Exchange LLC; Order Disapproving Proposed Rule Changes 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 2019-04-04T00:00:00-07:00 2019-04-04T00:00:00-07:00 2019-06519 Notice https://www.govinfo.gov/content/pkg/FR-2019-04-04/pdf/2019-06519.pdf https://regulations.justia.com/regulations/fedreg/2019/04/04/2019-06517.html Notice - Self-Regulatory Organizations; Cboe Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating To Amend Rule 6.42, Interpretation and Policy .04 To Specify That Replacement Issues May Be Added to the Penny Pilot Program (“Pilot”) on a Quarterly Basis, Without Altering the Expiration Date of the Pilot, Which Is June 30, 2019 2019-04-04T00:00:00-07:00 2019-04-04T00:00:00-07:00 2019-06517 Notice https://www.govinfo.gov/content/pkg/FR-2019-04-04/pdf/2019-06517.pdf https://regulations.justia.com/regulations/fedreg/2019/04/04/2019-06516.html Notice - Self-Regulatory Organizations; MIAX Emerald, LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Exchange Rule 510, Minimum Price Variations and Minimum Trading Increments 2019-04-04T00:00:00-07:00 2019-04-04T00:00:00-07:00 2019-06516 Notice https://www.govinfo.gov/content/pkg/FR-2019-04-04/pdf/2019-06516.pdf https://regulations.justia.com/regulations/fedreg/2019/04/04/2019-06515.html Notice - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the Exchange's Price List Related to Co-Location Services 2019-04-04T00:00:00-07:00 2019-04-04T00:00:00-07:00 2019-06515 Notice https://www.govinfo.gov/content/pkg/FR-2019-04-04/pdf/2019-06515.pdf https://regulations.justia.com/regulations/fedreg/2019/04/04/2019-06514.html Notice - Self-Regulatory Organizations: Notice of Filing and Immediate Effectiveness of a Proposed Rule Change by Miami PEARL, LLC To Amend Exchange Rule 510, Minimum Price Variations and Minimum Trading Increments 2019-04-04T00:00:00-07:00 2019-04-04T00:00:00-07:00 2019-06514 Notice https://www.govinfo.gov/content/pkg/FR-2019-04-04/pdf/2019-06514.pdf https://regulations.justia.com/regulations/fedreg/2019/04/04/2019-06513.html Notice - Self-Regulatory Organizations; Nasdaq BX, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Chapter VI, Section 5, “Minimum Increments” 2019-04-04T00:00:00-07:00 2019-04-04T00:00:00-07:00 2019-06513 Notice https://www.govinfo.gov/content/pkg/FR-2019-04-04/pdf/2019-06513.pdf https://regulations.justia.com/regulations/fedreg/2019/04/04/2019-06512.html Notice - Self-Regulatory Organizations; BOX Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Allow for Replacement Issues To Be Added to the Penny Pilot Program (“Pilot Program”) on a Quarterly Basis 2019-04-04T00:00:00-07:00 2019-04-04T00:00:00-07:00 2019-06512 Notice https://www.govinfo.gov/content/pkg/FR-2019-04-04/pdf/2019-06512.pdf https://regulations.justia.com/regulations/fedreg/2019/04/04/2019-06511.html Notice - Self-Regulatory Organizations; The Nasdaq Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change The Nasdaq Options Market LLC Rules at Chapter VI, Section 5 2019-04-04T00:00:00-07:00 2019-04-04T00:00:00-07:00 2019-06511 Notice https://www.govinfo.gov/content/pkg/FR-2019-04-04/pdf/2019-06511.pdf https://regulations.justia.com/regulations/fedreg/2019/04/04/2019-06510.html Notice - Self-Regulatory Organizations; Cboe BZX Exchange, Inc.; Notice of Designation of a Longer Period for Commission Action on 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 2019-04-04T00:00:00-07:00 2019-04-04T00:00:00-07:00 2019-06510 Notice https://www.govinfo.gov/content/pkg/FR-2019-04-04/pdf/2019-06510.pdf https://regulations.justia.com/regulations/fedreg/2019/04/04/2019-06509.html 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 the NYSE American Options Fee Schedule Related to Co-Location Services 2019-04-04T00:00:00-07:00 2019-04-04T00:00:00-07:00 2019-06509 Notice https://www.govinfo.gov/content/pkg/FR-2019-04-04/pdf/2019-06509.pdf https://regulations.justia.com/regulations/fedreg/2019/04/04/2019-06508.html 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 Related to Co-Location Services 2019-04-04T00:00:00-07:00 2019-04-04T00:00:00-07:00 2019-06508 Notice https://www.govinfo.gov/content/pkg/FR-2019-04-04/pdf/2019-06508.pdf https://regulations.justia.com/regulations/fedreg/2019/04/04/2019-06507.html Notice - Self-Regulatory Organizations; NYSE National, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Its Schedule of Fees and Rebates Related to Co-Location Services 2019-04-04T00:00:00-07:00 2019-04-04T00:00:00-07:00 2019-06507 Notice https://www.govinfo.gov/content/pkg/FR-2019-04-04/pdf/2019-06507.pdf https://regulations.justia.com/regulations/fedreg/2019/04/04/2019-06506.html Notice - Self-Regulatory Organizations; Nasdaq ISE, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Supplementary Material .01 to Rule 710 To Specify Replacement Issues That May Be Added to the Penny Pilot on a Quarterly Basis Without Altering the Expiration Date of the Pilot 2019-04-04T00:00:00-07:00 2019-04-04T00:00:00-07:00 2019-06506 Notice https://www.govinfo.gov/content/pkg/FR-2019-04-04/pdf/2019-06506.pdf https://regulations.justia.com/regulations/fedreg/2019/04/04/2019-06497.html Notice - Notice of Applications for Deregistration Under Section 8(f) of the Investment Company Act of 1940 2019-04-04T00:00:00-07:00 2019-04-04T00:00:00-07:00 2019-06497 Notice https://www.govinfo.gov/content/pkg/FR-2019-04-04/pdf/2019-06497.pdf https://regulations.justia.com/regulations/fedreg/2019/04/04/2019-06426.html Notice - Public Company Accounting Oversight Board; Notice of Filing of Proposed Rules on Auditing Accounting Estimates, Including Fair Value Measurements, and Amendments to PCAOB Auditing Standards 2019-04-04T00:00:00-07:00 2019-04-04T00:00:00-07:00 2019-06426 Notice https://www.govinfo.gov/content/pkg/FR-2019-04-04/pdf/2019-06426.pdf https://regulations.justia.com/regulations/fedreg/2019/04/04/2019-06425.html Notice - Public Company Accounting Oversight Board; Notice of Filing of Proposed Rules on Amendments to Auditing Standards for Auditor's Use of the Work of Specialists 2019-04-04T00:00:00-07:00 2019-04-04T00:00:00-07:00 2019-06425 Notice https://www.govinfo.gov/content/pkg/FR-2019-04-04/pdf/2019-06425.pdf