Securities and Exchange Commission June 14, 2019 – Federal Register Recent Federal Regulation Documents

Results 1 - 8 of 8
Sunshine Act Meeting; Cancellation
Document Number: 2019-12775
Type: Notice
Date: 2019-06-14
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2019/06/14/2019-12775.html
Amendment to Single Issuer Exemption for Broker-Dealers
Document Number: 2019-12563
Type: Rule
Date: 2019-06-14
Agency: Securities and Exchange Commission, Agencies and Commissions
The Commission is adopting an amendment to an exemptive provision in the broker-dealer annual reporting rule under the Securities Exchange Act of 1934 (``Exchange Act''). The exemption provides that a broker-dealer is not required to engage an independent public accountant to certify the broker-dealer's annual reports filed with the Commission if, among other things, the securities business of the broker-dealer has been limited to acting as broker (agent) for a single issuer in soliciting subscriptions for securities of that issuer.
https://regulations.justia.com/regulations/fedreg/2019/06/14/2019-12563.html
Self-Regulatory Organizations; Cboe EDGX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Extend Through December 31, 2019, the Penny Pilot Program (“Penny Pilot”) in Options Classes in Certain Issues (“Pilot Program”) Previously Approved by the Commission
Document Number: 2019-12546
Type: Notice
Date: 2019-06-14
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2019/06/14/2019-12546.html
Self-Regulatory Organizations; Cboe BZX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Extend Through December 31, 2019, the Penny Pilot Program (“Penny Pilot”) in Options Classes in Certain Issues (“Pilot Program”) Previously Approved by the Commission
Document Number: 2019-12545
Type: Notice
Date: 2019-06-14
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2019/06/14/2019-12545.html
Self-Regulatory Organizations; Cboe C2 Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating To Amend Rule 6.4 by Extending the Penny Pilot Program Through December 31, 2019
Document Number: 2019-12544
Type: Notice
Date: 2019-06-14
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2019/06/14/2019-12544.html
Self-Regulatory Organizations; Cboe EDGX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating To Adopt Limit-on-Close (“LOC”) and Market-on-Close (“MOC”) Orders
Document Number: 2019-12543
Type: Notice
Date: 2019-06-14
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2019/06/14/2019-12543.html
Self-Regulatory Organizations; The Nasdaq Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Nasdaq Rule 5615 To Allow Additional Issuers Who List Only Specific Securities To Be Able To Avail Themselves of Certain Exemptions Under Corporate Governance Requirements and To Amend Nasdaq Rule IM-5620 To Exclude Additional Categories of Issuers Listing Only Specific Securities From the Annual Shareholder Meeting Requirement
Document Number: 2019-12542
Type: Notice
Date: 2019-06-14
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2019/06/14/2019-12542.html
Self-Regulatory Organizations; Nasdaq ISE, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Extend the Pilot To Permit the Listing and Trading of Options Based on 1/5
Document Number: 2019-12541
Type: Notice
Date: 2019-06-14
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2019/06/14/2019-12541.html
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