Securities and Exchange Commission September 10, 2019 – Federal Register Recent Federal Regulation Documents

Results 1 - 15 of 15
Sunshine Act Meetings
Document Number: 2019-19617
Type: Notice
Date: 2019-09-10
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2019/09/10/2019-19617.html
Self-Regulatory Organizations; Fixed Income Clearing Corporation; Notice of Filing of Advance Notice To Amend the GSD Rulebook To Establish a Process To Address Liquidity Needs in Certain Situations in the GCF Repo and CCIT Services and Make Other Changes
Document Number: 2019-19538
Type: Notice
Date: 2019-09-10
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2019/09/10/2019-19538.html
Order Granting Application by The Financial Information Forum and Security Traders Association for an Exemption Pursuant to Rule 606(c) of Regulation NMS Under the Exchange Act From Certain Requirements of Rule 606 of Regulation NMS Under the Exchange Act
Document Number: 2019-19469
Type: Notice
Date: 2019-09-10
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2019/09/10/2019-19469.html
Diamond Hill Funds and Diamond Hill Capital Management, Inc.
Document Number: 2019-19468
Type: Notice
Date: 2019-09-10
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2019/09/10/2019-19468.html
Self-Regulatory Organizations; MIAX Emerald, LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Exchange Rule 519, MIAX Emerald Order Monitor
Document Number: 2019-19466
Type: Notice
Date: 2019-09-10
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2019/09/10/2019-19466.html
Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Order Approving a Proposed Rule Change To Amend FINRA Rules 2210 (Communications With the Public) and 2241 (Research Analysts and Research Reports); Correction
Document Number: 2019-19465
Type: Notice
Date: 2019-09-10
Agency: Securities and Exchange Commission, Agencies and Commissions
The Securities and Exchange Commission published a document in the Federal Register on August 22, 2019, concerning a Financial Industry Regulatory Authority, Inc., Order Approving a Proposed Rule Change to Amend FINRA Rules 2210 (Communications with the Public) and 2241 (Research Analysts and Research Reports). The document contained a typographical error.
https://regulations.justia.com/regulations/fedreg/2019/09/10/2019-19465.html
Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing of Proposed Rule Change To Amend the Exchange's Price List Related to Co-Location Services
Document Number: 2019-19464
Type: Notice
Date: 2019-09-10
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2019/09/10/2019-19464.html
Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Rule 103B
Document Number: 2019-19463
Type: Notice
Date: 2019-09-10
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2019/09/10/2019-19463.html
Self-Regulatory Organizations; NYSE American LLC; Notice of Filing of Proposed Rule Change To Amend Its NYSE American Equities Price List and the NYSE American Options Fee Schedule Related to Co-Location Services
Document Number: 2019-19462
Type: Notice
Date: 2019-09-10
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2019/09/10/2019-19462.html
Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing 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
Document Number: 2019-19461
Type: Notice
Date: 2019-09-10
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2019/09/10/2019-19461.html
Self-Regulatory Organizations; NYSE National, Inc.; Notice of Filing of Proposed Rule Change To Amend the Exchange's Price List Related to Co-Location Services
Document Number: 2019-19460
Type: Notice
Date: 2019-09-10
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2019/09/10/2019-19460.html
Self-Regulatory Organizations; Cboe Exchange, Inc.; Notice of Designation of Longer Period for Commission Action on a Proposed Rule Change To Amend Rule 6.49A Concerning Off-Floor Position Transfers
Document Number: 2019-19459
Type: Notice
Date: 2019-09-10
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2019/09/10/2019-19459.html
Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing of Proposed Rule Change To Make Permanent Rule 7.44-E
Document Number: 2019-19458
Type: Notice
Date: 2019-09-10
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2019/09/10/2019-19458.html
Commission Interpretation and Guidance Regarding the Applicability of the Proxy Rules to Proxy Voting Advice
Document Number: 2019-18355
Type: Rule
Date: 2019-09-10
Agency: Securities and Exchange Commission, Agencies and Commissions
The Securities and Exchange Commission (the ``SEC'' or the ``Commission'') is providing an interpretation and related guidance regarding the applicability of certain rules, which the Commission has promulgated under Section 14 of the Securities Exchange Act of 1934 (the ``Exchange Act'' and such rules the ``federal proxy rules''), to proxy voting advice.
https://regulations.justia.com/regulations/fedreg/2019/09/10/2019-18355.html
Commission Guidance Regarding Proxy Voting Responsibilities of Investment Advisers
Document Number: 2019-18342
Type: Rule
Date: 2019-09-10
Agency: Securities and Exchange Commission, Agencies and Commissions
The Securities and Exchange Commission (the ``SEC'' or the ``Commission'') is publishing guidance regarding the proxy voting responsibilities of investment advisers under its regulations issued under the Investment Advisers Act of 1940 (the ``Advisers Act''), and Form N-1A, Form N-2, Form N-3, and Form N-CSR under the Investment Company Act of 1940 (the ``Investment Company Act'').
https://regulations.justia.com/regulations/fedreg/2019/09/10/2019-18342.html
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