<![CDATA[Federal Register Recent Federal Regulation Documents - Justia Regulation Tracker - Justia Regulations Tracker]]> https://regulations.justia.com/regulations/fedreg/agencies/securities-and-exchange-commission/2019/07/12?registers=between Wed, 27 Nov 2024 09:51:55 -0800 Wed, 27 Nov 2024 09:51:55 -0800 Justia Regulations Tracker Copyright 2011 Justia Inc. https://regulations.justia.com/images/justiafedregulations.gif <![CDATA[Federal Register Recent Federal Regulation Documents - Justia Regulation Tracker - Justia Regulations Tracker]]> https://regulations.justia.com/regulations/fedreg/agencies/securities-and-exchange-commission/2019/07/12?registers=between Notice - Self-Regulatory Organizations; Cboe Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Its Fees Schedule for XSP Fees and PAR Official Fees https://regulations.justia.com/regulations/fedreg/2019/07/12/2019-14815.html https://regulations.justia.com/regulations/fedreg/2019/07/12/2019-14815.html Fri, 12 Jul 2019 00:00:00 -0700 2019-14815 Notice https://www.govinfo.gov/content/pkg/FR-2019-07-12/pdf/2019-14815.pdf Notice - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Make a Technical Correction and Other Non-Substantive Changes to FINRA Rules https://regulations.justia.com/regulations/fedreg/2019/07/12/2019-14814.html https://regulations.justia.com/regulations/fedreg/2019/07/12/2019-14814.html Fri, 12 Jul 2019 00:00:00 -0700 2019-14814 Notice https://www.govinfo.gov/content/pkg/FR-2019-07-12/pdf/2019-14814.pdf Notice - Self-Regulatory Organizations; Long-Term Stock Exchange, Inc.; Notice of Filing of Proposed Rule Change To Adopt Rule 14.425, Which Would Require Companies Listed on the Exchange To Develop and Publish Certain Long-Term Policies https://regulations.justia.com/regulations/fedreg/2019/07/12/2019-14813.html https://regulations.justia.com/regulations/fedreg/2019/07/12/2019-14813.html Fri, 12 Jul 2019 00:00:00 -0700 2019-14813 Notice https://www.govinfo.gov/content/pkg/FR-2019-07-12/pdf/2019-14813.pdf Notice - Self-Regulatory Organizations; Nasdaq MRX, LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Adopt Complex Order Pricing https://regulations.justia.com/regulations/fedreg/2019/07/12/2019-14812.html https://regulations.justia.com/regulations/fedreg/2019/07/12/2019-14812.html Fri, 12 Jul 2019 00:00:00 -0700 2019-14812 Notice https://www.govinfo.gov/content/pkg/FR-2019-07-12/pdf/2019-14812.pdf Notice - Self-Regulatory Organizations; Cboe BYX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the Fee Schedule Applicable to the BYX Equities Trading Platform as It Relates to Pricing for Orders Routed to Cboe EDGX Exchange, Inc. https://regulations.justia.com/regulations/fedreg/2019/07/12/2019-14811.html https://regulations.justia.com/regulations/fedreg/2019/07/12/2019-14811.html Fri, 12 Jul 2019 00:00:00 -0700 2019-14811 Notice https://www.govinfo.gov/content/pkg/FR-2019-07-12/pdf/2019-14811.pdf Notice - Self-Regulatory Organizations; Cboe BZX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the Fee Schedule Applicable to the BZX Equities Trading Platform as It Relates to Pricing for Orders Routed To Cboe EDGX Exchange, Inc. https://regulations.justia.com/regulations/fedreg/2019/07/12/2019-14810.html https://regulations.justia.com/regulations/fedreg/2019/07/12/2019-14810.html Fri, 12 Jul 2019 00:00:00 -0700 2019-14810 Notice https://www.govinfo.gov/content/pkg/FR-2019-07-12/pdf/2019-14810.pdf Notice - Self-Regulatory Organizations; Cboe EDGX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating To Update Its Rules Related to Complex Orders and Trading Halts https://regulations.justia.com/regulations/fedreg/2019/07/12/2019-14809.html https://regulations.justia.com/regulations/fedreg/2019/07/12/2019-14809.html Fri, 12 Jul 2019 00:00:00 -0700 2019-14809 Notice https://www.govinfo.gov/content/pkg/FR-2019-07-12/pdf/2019-14809.pdf Notice - Self-Regulatory Organizations; Cboe EDGX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating To Amend the Exchange's Fee Schedule Applicable to its Equities Trading Platform To Adopt a New Cross-Asset Volume Tier https://regulations.justia.com/regulations/fedreg/2019/07/12/2019-14808.html https://regulations.justia.com/regulations/fedreg/2019/07/12/2019-14808.html Fri, 12 Jul 2019 00:00:00 -0700 2019-14808 Notice https://www.govinfo.gov/content/pkg/FR-2019-07-12/pdf/2019-14808.pdf Rule - Form CRS Relationship Summary; Amendments to Form ADV https://regulations.justia.com/regulations/fedreg/2019/07/12/2019-12376.html https://regulations.justia.com/regulations/fedreg/2019/07/12/2019-12376.html Fri, 12 Jul 2019 00:00:00 -0700 2019-12376 Rule https://www.govinfo.gov/content/pkg/FR-2019-07-12/pdf/2019-12376.pdf Rule - Commission Interpretation Regarding the Solely Incidental Prong of the Broker-Dealer Exclusion From the Definition of Investment Adviser https://regulations.justia.com/regulations/fedreg/2019/07/12/2019-12209.html https://regulations.justia.com/regulations/fedreg/2019/07/12/2019-12209.html Fri, 12 Jul 2019 00:00:00 -0700 2019-12209 Rule https://www.govinfo.gov/content/pkg/FR-2019-07-12/pdf/2019-12209.pdf Rule - Commission Interpretation Regarding Standard of Conduct for Investment Advisers https://regulations.justia.com/regulations/fedreg/2019/07/12/2019-12208.html https://regulations.justia.com/regulations/fedreg/2019/07/12/2019-12208.html Fri, 12 Jul 2019 00:00:00 -0700 2019-12208 Rule https://www.govinfo.gov/content/pkg/FR-2019-07-12/pdf/2019-12208.pdf Rule - Regulation Best Interest: The Broker-Dealer Standard of Conduct https://regulations.justia.com/regulations/fedreg/2019/07/12/2019-12164.html https://regulations.justia.com/regulations/fedreg/2019/07/12/2019-12164.html Fri, 12 Jul 2019 00:00:00 -0700 2019-12164 Rule https://www.govinfo.gov/content/pkg/FR-2019-07-12/pdf/2019-12164.pdf