Federal Register Recent Federal Regulation Documents - Justia Regulation Tracker

Federal Register Recent Federal Regulation Documents - Justia Regulation Tracker - Justia Regulations Tracker https://regulations.justia.com/regulations/fedreg/agencies/securities-and-exchange-commission/2019/09/30?limit=200&registers=between&mode=atom 2024-11-25T06:04:12-08:00 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/2019/09/30/2019-21309.html Notice - Sunshine Act Meetings 2019-09-30T00:00:00-07:00 2019-09-30T00:00:00-07:00 2019-21309 Notice https://www.govinfo.gov/content/pkg/FR-2019-09-30/pdf/2019-21309.pdf https://regulations.justia.com/regulations/fedreg/2019/09/30/2019-21105.html Notice - Self-Regulatory Organizations; NYSE Arca Inc.; Notice of Withdrawal of Proposed Rule Change To Amend the NYSE Arca Options Fee Schedule To Modify the Options Regulatory Fee 2019-09-30T00:00:00-07:00 2019-09-30T00:00:00-07:00 2019-21105 Notice https://www.govinfo.gov/content/pkg/FR-2019-09-30/pdf/2019-21105.pdf https://regulations.justia.com/regulations/fedreg/2019/09/30/2019-21104.html Notice - Self-Regulatory Organizations; NYSE American, LLC; Notice of Withdrawal of Proposed Rule Change To Amend the NYSE American Options Fee Schedule To Modify the Options Regulatory Fee 2019-09-30T00:00:00-07:00 2019-09-30T00:00:00-07:00 2019-21104 Notice https://www.govinfo.gov/content/pkg/FR-2019-09-30/pdf/2019-21104.pdf https://regulations.justia.com/regulations/fedreg/2019/09/30/2019-21103.html Notice - Self-Regulatory Organizations; Cboe Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Certain Clearing Editor Functionality in Rule 6.6 of the Shell Rulebook 2019-09-30T00:00:00-07:00 2019-09-30T00:00:00-07:00 2019-21103 Notice https://www.govinfo.gov/content/pkg/FR-2019-09-30/pdf/2019-21103.pdf https://regulations.justia.com/regulations/fedreg/2019/09/30/2019-21102.html Notice - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Extend the Pilot Period Related to FINRA Rule 6121.02 (Market-Wide Circuit Breakers in NMS Stocks) 2019-09-30T00:00:00-07:00 2019-09-30T00:00:00-07:00 2019-21102 Notice https://www.govinfo.gov/content/pkg/FR-2019-09-30/pdf/2019-21102.pdf https://regulations.justia.com/regulations/fedreg/2019/09/30/2019-21101.html Notice - Self-Regulatory Organizations; NYSE National, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Extend the Pilot Related to the Market-Wide Circuit Breaker in Rule 7.12 2019-09-30T00:00:00-07:00 2019-09-30T00:00:00-07:00 2019-21101 Notice https://www.govinfo.gov/content/pkg/FR-2019-09-30/pdf/2019-21101.pdf https://regulations.justia.com/regulations/fedreg/2019/09/30/2019-21100.html Notice - Self-Regulatory Organizations; Municipal Securities Rulemaking Board; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend MSRB Rule A-11, on Assessments for Municipal Advisor Professionals, To Increase the Annual Professional Fee Over a Two-Year Phase-In Period 2019-09-30T00:00:00-07:00 2019-09-30T00:00:00-07:00 2019-21100 Notice https://www.govinfo.gov/content/pkg/FR-2019-09-30/pdf/2019-21100.pdf https://regulations.justia.com/regulations/fedreg/2019/09/30/2019-21099.html Notice - Self-Regulatory Organizations; Nasdaq PHLX LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to the Pricing of a Technology Infrastructure Migration 2019-09-30T00:00:00-07:00 2019-09-30T00:00:00-07:00 2019-21099 Notice https://www.govinfo.gov/content/pkg/FR-2019-09-30/pdf/2019-21099.pdf https://regulations.justia.com/regulations/fedreg/2019/09/30/2019-21098.html Notice - Self-Regulatory Organizations; Cboe Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the AIM Automated Improvement Mechanism Upon the Migration of the Exchange's Trading Platform to the Same System Used by the Cboe Affiliated Exchanges 2019-09-30T00:00:00-07:00 2019-09-30T00:00:00-07:00 2019-21098 Notice https://www.govinfo.gov/content/pkg/FR-2019-09-30/pdf/2019-21098.pdf https://regulations.justia.com/regulations/fedreg/2019/09/30/2019-21097.html Notice - Self-Regulatory Organizations; NYSE Arca, Inc.; Order Instituting Proceedings To Determine Whether To Approve or Disapprove a Proposed Rule Change To Amend NYSE Arca Rule 8.201-E (Commodity-Based Trust Shares) and To List and Trade Shares of the United States Bitcoin and Treasury Investment Trust Under NYSE Arca Rule 8.201-E 2019-09-30T00:00:00-07:00 2019-09-30T00:00:00-07:00 2019-21097 Notice https://www.govinfo.gov/content/pkg/FR-2019-09-30/pdf/2019-21097.pdf https://regulations.justia.com/regulations/fedreg/2019/09/30/2019-21096.html Notice - Self-Regulatory Organizations; Cboe EDGA Exchange, Inc.; Order Instituting Proceedings To Determine Whether To Approve or Disapprove a Proposed Rule Change To Introduce a Liquidity Provider Protection Delay Mechanism on EDGA 2019-09-30T00:00:00-07:00 2019-09-30T00:00:00-07:00 2019-21096 Notice https://www.govinfo.gov/content/pkg/FR-2019-09-30/pdf/2019-21096.pdf https://regulations.justia.com/regulations/fedreg/2019/09/30/2019-21094.html Notice - Self-Regulatory Organizations; Cboe BZX Exchange, Inc.; Notice of Filing of a Proposed Rule Change Regarding Certain Changes to Investments of the Aptus Collared Income Opportunity ETF, a Series of ETF Series Solutions 2019-09-30T00:00:00-07:00 2019-09-30T00:00:00-07:00 2019-21094 Notice https://www.govinfo.gov/content/pkg/FR-2019-09-30/pdf/2019-21094.pdf https://regulations.justia.com/regulations/fedreg/2019/09/30/2019-21093.html Notice - Self-Regulatory Organizations; Nasdaq PHLX LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the Exchange's Pricing Schedule, at Equity 7, Section 3 2019-09-30T00:00:00-07:00 2019-09-30T00:00:00-07:00 2019-21093 Notice https://www.govinfo.gov/content/pkg/FR-2019-09-30/pdf/2019-21093.pdf https://regulations.justia.com/regulations/fedreg/2019/09/30/2019-21092.html Notice - Self-Regulatory Organizations; Nasdaq PHLX LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the Exchange's Pricing Schedule, at Equity 7, Section 3 2019-09-30T00:00:00-07:00 2019-09-30T00:00:00-07:00 2019-21092 Notice https://www.govinfo.gov/content/pkg/FR-2019-09-30/pdf/2019-21092.pdf https://regulations.justia.com/regulations/fedreg/2019/09/30/2019-21091.html Notice - Self-Regulatory Organizations; Cboe BZX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the Fees Applicable to Physical Connectivity 2019-09-30T00:00:00-07:00 2019-09-30T00:00:00-07:00 2019-21091 Notice https://www.govinfo.gov/content/pkg/FR-2019-09-30/pdf/2019-21091.pdf https://regulations.justia.com/regulations/fedreg/2019/09/30/2019-21086.html Notice - Submission for OMB Review; Comment Request 2019-09-30T00:00:00-07:00 2019-09-30T00:00:00-07:00 2019-21086 Notice https://www.govinfo.gov/content/pkg/FR-2019-09-30/pdf/2019-21086.pdf https://regulations.justia.com/regulations/fedreg/2019/09/30/2019-21085.html Notice - Submission for OMB Review; Comment Request 2019-09-30T00:00:00-07:00 2019-09-30T00:00:00-07:00 2019-21085 Notice https://www.govinfo.gov/content/pkg/FR-2019-09-30/pdf/2019-21085.pdf https://regulations.justia.com/regulations/fedreg/2019/09/30/2019-21084.html Notice - Submission for OMB Review; Comment Request 2019-09-30T00:00:00-07:00 2019-09-30T00:00:00-07:00 2019-21084 Notice https://www.govinfo.gov/content/pkg/FR-2019-09-30/pdf/2019-21084.pdf https://regulations.justia.com/regulations/fedreg/2019/09/30/2019-21083.html Notice - Submission for OMB Review; Comment Request 2019-09-30T00:00:00-07:00 2019-09-30T00:00:00-07:00 2019-21083 Notice https://www.govinfo.gov/content/pkg/FR-2019-09-30/pdf/2019-21083.pdf https://regulations.justia.com/regulations/fedreg/2019/09/30/2019-21082.html Notice - Proposed Collection; Comment Request 2019-09-30T00:00:00-07:00 2019-09-30T00:00:00-07:00 2019-21082 Notice https://www.govinfo.gov/content/pkg/FR-2019-09-30/pdf/2019-21082.pdf https://regulations.justia.com/regulations/fedreg/2019/09/30/2019-21081.html Notice - Submission for OMB Review; Comment Request 2019-09-30T00:00:00-07:00 2019-09-30T00:00:00-07:00 2019-21081 Notice https://www.govinfo.gov/content/pkg/FR-2019-09-30/pdf/2019-21081.pdf https://regulations.justia.com/regulations/fedreg/2019/09/30/2019-21080.html Notice - Submission for OMB Review; Comment Request 2019-09-30T00:00:00-07:00 2019-09-30T00:00:00-07:00 2019-21080 Notice https://www.govinfo.gov/content/pkg/FR-2019-09-30/pdf/2019-21080.pdf https://regulations.justia.com/regulations/fedreg/2019/09/30/2019-21079.html Notice - Submission for OMB Review; Comment Request 2019-09-30T00:00:00-07:00 2019-09-30T00:00:00-07:00 2019-21079 Notice https://www.govinfo.gov/content/pkg/FR-2019-09-30/pdf/2019-21079.pdf https://regulations.justia.com/regulations/fedreg/2019/09/30/2019-21078.html Notice - Submission for OMB Review; Comment Request 2019-09-30T00:00:00-07:00 2019-09-30T00:00:00-07:00 2019-21078 Notice https://www.govinfo.gov/content/pkg/FR-2019-09-30/pdf/2019-21078.pdf