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

Results 101 - 150 of 183
Self-Regulatory Organizations; Miami International Securities Exchange, LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Rule 510, Minimum Price Variations and Minimum Trading Increments To Extend the Penny Pilot Program
Document Number: 2019-12335
Type: Notice
Date: 2019-06-12
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2019/06/12/2019-12335.html
Self-Regulatory Organizations; ICE Clear Credit LLC; Order Approving Proposed Rule Change Relating to the ICC Model Validation Framework
Document Number: 2019-12193
Type: Notice
Date: 2019-06-11
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2019/06/11/2019-12193.html
Self-Regulatory Organizations; Cboe C2 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: 2019-12192
Type: Notice
Date: 2019-06-11
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2019/06/11/2019-12192.html
Self-Regulatory Organizations; The Depository Trust Company; Notice of Designation of a Longer Period for Commission Action on Proceedings To Determine Whether To Approve or Disapprove a Proposed Rule Change To Amend the Settlement Guide Procedures To Provide Status Information for Institutional Transactions to a Matching Utility
Document Number: 2019-12191
Type: Notice
Date: 2019-06-11
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2019/06/11/2019-12191.html
Self-Regulatory Organizations; ICE Clear Credit LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to ICC's Risk Management Model Description
Document Number: 2019-12189
Type: Notice
Date: 2019-06-11
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2019/06/11/2019-12189.html
Self-Regulatory Organizations; BOX Exchange LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend BOX Rule IM-5050-1 Allow $1 Strike Price Intervals Above $200 on Options on the QQQ and IWM Exchange-Traded Funds
Document Number: 2019-12188
Type: Notice
Date: 2019-06-11
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2019/06/11/2019-12188.html
Self-Regulatory Organizations; Cboe C2 Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Update Its Price Adjust Process To Allow for the Process To Apply to Bulk Messages
Document Number: 2019-12187
Type: Notice
Date: 2019-06-11
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2019/06/11/2019-12187.html
Sunshine Act Meetings
Document Number: 2019-12328
Type: Notice
Date: 2019-06-10
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2019/06/10/2019-12328.html
Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Withdrawal of a Proposed Rule Change To List and Trade Units of Each of (i) Cboe Vest S&P 500® Buffer Enhanced Growth Protect Strategy ETNs; (ii) Cboe Vest S&P 500® Enhanced Growth Strategy ETNs; (iii) Cboe Vest S&P 500® Accelerated Return Strategy ETNs; and (iv) Cboe Vest S&P 500® Power Buffer Strategy ETNs Under Rule 14.11(d), Equity Index-Linked Securities
Document Number: 2019-12097
Type: Notice
Date: 2019-06-10
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2019/06/10/2019-12097.html
Self-Regulatory Organizations; The Nasdaq Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Relocate the Options Rules Under Chapter IV, Securities Traded on NOM
Document Number: 2019-12093
Type: Notice
Date: 2019-06-10
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2019/06/10/2019-12093.html
Self-Regulatory Organizations; Nasdaq PHLX LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Equity 7, Section 3, Which Governs Pricing for Phlx Members Using the Nasdaq PSX System
Document Number: 2019-12092
Type: Notice
Date: 2019-06-10
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2019/06/10/2019-12092.html
Self-Regulatory Organizations; BOX Exchange LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Adopt Rules Governing the Trading of Complex Qualified Contingent Cross Orders and Make a Modification to the Execution Requirements for Complex Customer Cross Orders
Document Number: 2019-12091
Type: Notice
Date: 2019-06-10
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2019/06/10/2019-12091.html
Self-Regulatory Organizations; The Nasdaq Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Equity 7, Section 118(a)
Document Number: 2019-12090
Type: Notice
Date: 2019-06-10
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2019/06/10/2019-12090.html
Self-Regulatory Organizations; Miami International Securities Exchange, LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Exchange Rule 519, MIAX Order Monitor
Document Number: 2019-12089
Type: Notice
Date: 2019-06-10
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2019/06/10/2019-12089.html
Self-Regulatory Organizations; Nasdaq BX, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Equity 7, Section 118(a) To Adopt Pricing for the Recently Adopted SCAR Routing Strategy
Document Number: 2019-12086
Type: Notice
Date: 2019-06-10
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2019/06/10/2019-12086.html
Submission for OMB Review; Comment Request; Extension: Rule 17a-7
Document Number: 2019-12042
Type: Notice
Date: 2019-06-07
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2019/06/07/2019-12042.html
Submission for OMB Review; Comment Request
Document Number: 2019-12041
Type: Notice
Date: 2019-06-07
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2019/06/07/2019-12041.html
Submission for OMB Review; Comment Request
Document Number: 2019-12039
Type: Notice
Date: 2019-06-07
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2019/06/07/2019-12039.html
Submission for OMB Review; Comment Request
Document Number: 2019-12038
Type: Notice
Date: 2019-06-07
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2019/06/07/2019-12038.html
Self-Regulatory Organizations; NYSE Arca, Inc.; Order Approving a Proposed Rule Change, as Modified by Amendment No. 1, To Amend Certain Generic Listing Standards for Managed Fund Shares Applicable to Holdings of Fixed Income Securities
Document Number: 2019-11933
Type: Notice
Date: 2019-06-07
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2019/06/07/2019-11933.html
Initial Form ATS-N Filing; Notice of Extension of Commission Review Period
Document Number: 2019-11894
Type: Notice
Date: 2019-06-06
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2019/06/06/2019-11894.html
Initial Form ATS-N Filing; Notice of Extension of Commission Review Period
Document Number: 2019-11893
Type: Notice
Date: 2019-06-06
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2019/06/06/2019-11893.html
Initial Form ATS-N Filing; Notice of Extension of Commission Review Period
Document Number: 2019-11892
Type: Notice
Date: 2019-06-06
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2019/06/06/2019-11892.html
Initial Form ATS-N Filing; Notice of Extension of Commission Review Period
Document Number: 2019-11891
Type: Notice
Date: 2019-06-06
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2019/06/06/2019-11891.html
Initial Form ATS-N Filing; Notice of Extension of Commission Review Period
Document Number: 2019-11890
Type: Notice
Date: 2019-06-06
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2019/06/06/2019-11890.html
Initial Form ATS-N Filing; Notice of Extension of Commission Review Period
Document Number: 2019-11889
Type: Notice
Date: 2019-06-06
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2019/06/06/2019-11889.html
Initial Form ATS-N Filing; Notice of Extension of Commission Review Period
Document Number: 2019-11875
Type: Notice
Date: 2019-06-06
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2019/06/06/2019-11875.html
Initial Form ATS-N Filing; Notice of Extension of Commission Review Period
Document Number: 2019-11874
Type: Notice
Date: 2019-06-06
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2019/06/06/2019-11874.html
Initial Form ATS-N Filing; Notice of Extension of Commission Review Period
Document Number: 2019-11873
Type: Notice
Date: 2019-06-06
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2019/06/06/2019-11873.html
Initial Form ATS-N Filing; Notice of Extension of Commission Review Period
Document Number: 2019-11872
Type: Notice
Date: 2019-06-06
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2019/06/06/2019-11872.html
Initial Form ATS-N Filing; Notice of Extension of Commission Review Period
Document Number: 2019-11871
Type: Notice
Date: 2019-06-06
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2019/06/06/2019-11871.html
Initial Form ATS-N Filing; Notice of Extension of Commission Review Period
Document Number: 2019-11870
Type: Notice
Date: 2019-06-06
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2019/06/06/2019-11870.html
Initial Form ATS-N Filing; Notice of Extension of Commission Review Period
Document Number: 2019-11869
Type: Notice
Date: 2019-06-06
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2019/06/06/2019-11869.html
Initial Form ATS-N Filing; Notice of Extension of Commission Review Period
Document Number: 2019-11868
Type: Notice
Date: 2019-06-06
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2019/06/06/2019-11868.html
Initial Form ATS-N Filing; Notice of Extension of Commission Review Period
Document Number: 2019-11841
Type: Notice
Date: 2019-06-06
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2019/06/06/2019-11841.html
Initial Form ATS-N Filing; Notice of Extension of Commission Review Period
Document Number: 2019-11840
Type: Notice
Date: 2019-06-06
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2019/06/06/2019-11840.html
Initial Form ATS-N Filing; Notice of Extension of Commission Review Period
Document Number: 2019-11839
Type: Notice
Date: 2019-06-06
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2019/06/06/2019-11839.html
Initial Form ATS-N Filing; Notice of Extension of Commission Review Period
Document Number: 2019-11838
Type: Notice
Date: 2019-06-06
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2019/06/06/2019-11838.html
Initial Form ATS-N Filing; Notice of Extension of Commission Review Period
Document Number: 2019-11837
Type: Notice
Date: 2019-06-06
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2019/06/06/2019-11837.html
Initial Form ATS-N Filing; Notice of Extension of Commission Review Period
Document Number: 2019-11836
Type: Notice
Date: 2019-06-06
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2019/06/06/2019-11836.html
Initial Form ATS-N Filing; Notice of Extension of Commission Review Period
Document Number: 2019-11835
Type: Notice
Date: 2019-06-06
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2019/06/06/2019-11835.html
Initial Form ATS-N Filing; Notice of Extension of Commission Review Period
Document Number: 2019-11834
Type: Notice
Date: 2019-06-06
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2019/06/06/2019-11834.html
Initial Form ATS-N Filing; Notice of Extension of Commission Review Period
Document Number: 2019-11833
Type: Notice
Date: 2019-06-06
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2019/06/06/2019-11833.html
Initial Form ATS-N Filing; Notice of Extension of Commission Review Period
Document Number: 2019-11829
Type: Notice
Date: 2019-06-06
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2019/06/06/2019-11829.html
Initial Form ATS-N Filing; Notice of Extension of Commission Review Period
Document Number: 2019-11828
Type: Notice
Date: 2019-06-06
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2019/06/06/2019-11828.html
Initial Form ATS-N Filing; Notice of Extension of Commission Review Period
Document Number: 2019-11827
Type: Notice
Date: 2019-06-06
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2019/06/06/2019-11827.html
Initial Form ATS-N Filing; Notice of Extension of Commission Review Period
Document Number: 2019-11826
Type: Notice
Date: 2019-06-06
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2019/06/06/2019-11826.html
Initial Form ATS-N Filing; Notice of Extension of Commission Review Period
Document Number: 2019-11825
Type: Notice
Date: 2019-06-06
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2019/06/06/2019-11825.html
Initial Form ATS-N Filing; Notice of Extension of Commission Review Period
Document Number: 2019-11823
Type: Notice
Date: 2019-06-06
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2019/06/06/2019-11823.html
Initial Form ATS-N Filing; Notice of Extension of Commission Review Period
Document Number: 2019-11822
Type: Notice
Date: 2019-06-06
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2019/06/06/2019-11822.html
This site is protected by reCAPTCHA and the Google Privacy Policy and Terms of Service apply.