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

Results 1 - 50 of 163
Sunshine Act Meetings
Document Number: 2019-21309
Type: Notice
Date: 2019-09-30
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2019/09/30/2019-21309.html
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
Document Number: 2019-21105
Type: Notice
Date: 2019-09-30
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2019/09/30/2019-21105.html
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
Document Number: 2019-21104
Type: Notice
Date: 2019-09-30
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2019/09/30/2019-21104.html
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
Document Number: 2019-21103
Type: Notice
Date: 2019-09-30
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2019/09/30/2019-21103.html
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)
Document Number: 2019-21102
Type: Notice
Date: 2019-09-30
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2019/09/30/2019-21102.html
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
Document Number: 2019-21101
Type: Notice
Date: 2019-09-30
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2019/09/30/2019-21101.html
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
Document Number: 2019-21100
Type: Notice
Date: 2019-09-30
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2019/09/30/2019-21100.html
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
Document Number: 2019-21099
Type: Notice
Date: 2019-09-30
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2019/09/30/2019-21099.html
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
Document Number: 2019-21098
Type: Notice
Date: 2019-09-30
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2019/09/30/2019-21098.html
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
Document Number: 2019-21097
Type: Notice
Date: 2019-09-30
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2019/09/30/2019-21097.html
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
Document Number: 2019-21096
Type: Notice
Date: 2019-09-30
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2019/09/30/2019-21096.html
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
Document Number: 2019-21094
Type: Notice
Date: 2019-09-30
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2019/09/30/2019-21094.html
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
Document Number: 2019-21093
Type: Notice
Date: 2019-09-30
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2019/09/30/2019-21093.html
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
Document Number: 2019-21092
Type: Notice
Date: 2019-09-30
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2019/09/30/2019-21092.html
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
Document Number: 2019-21091
Type: Notice
Date: 2019-09-30
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2019/09/30/2019-21091.html
Submission for OMB Review; Comment Request
Document Number: 2019-21086
Type: Notice
Date: 2019-09-30
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2019/09/30/2019-21086.html
Submission for OMB Review; Comment Request
Document Number: 2019-21085
Type: Notice
Date: 2019-09-30
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2019/09/30/2019-21085.html
Submission for OMB Review; Comment Request
Document Number: 2019-21084
Type: Notice
Date: 2019-09-30
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2019/09/30/2019-21084.html
Submission for OMB Review; Comment Request
Document Number: 2019-21083
Type: Notice
Date: 2019-09-30
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2019/09/30/2019-21083.html
Proposed Collection; Comment Request
Document Number: 2019-21082
Type: Notice
Date: 2019-09-30
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2019/09/30/2019-21082.html
Submission for OMB Review; Comment Request
Document Number: 2019-21081
Type: Notice
Date: 2019-09-30
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2019/09/30/2019-21081.html
Submission for OMB Review; Comment Request
Document Number: 2019-21080
Type: Notice
Date: 2019-09-30
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2019/09/30/2019-21080.html
Submission for OMB Review; Comment Request
Document Number: 2019-21079
Type: Notice
Date: 2019-09-30
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2019/09/30/2019-21079.html
Submission for OMB Review; Comment Request
Document Number: 2019-21078
Type: Notice
Date: 2019-09-30
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2019/09/30/2019-21078.html
Sunshine Act Meeting; Cancellation
Document Number: 2019-21095
Type: Notice
Date: 2019-09-27
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2019/09/27/2019-21095.html
Core Alternative Capital, LLC, Listed Funds Trust, and Quasar Distributors, LLC
Document Number: 2019-21030
Type: Notice
Date: 2019-09-27
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2019/09/27/2019-21030.html
Self-Regulatory Organizations; Cboe EDGX Exchange, Inc.; Order Approving a Proposed Rule Change, as Modified by Amendment No. 1, To Adopt Rule 21.21 (Solicitation Auction Mechanism)
Document Number: 2019-20974
Type: Notice
Date: 2019-09-27
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2019/09/27/2019-20974.html
Self-Regulatory Organizations; Cboe BZX Exchange, Inc.; Order Instituting Proceedings To Determine Whether To Approve or Disapprove a Proposed Rule Change to List and Trade Shares of the American Century Focused Dynamic Growth ETF and American Century Focused Large Cap Value ETF Under Currently Proposed Rule 14.11(k)
Document Number: 2019-20971
Type: Notice
Date: 2019-09-27
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2019/09/27/2019-20971.html
Self-Regulatory Organizations; Cboe BZX Exchange, Inc.; Notice of Filing of Amendment No. 2 and Order Instituting Proceedings To Determine Whether To Approve or Disapprove a Proposed Rule Change To Adopt BZX Rule 14.11(k) To Permit the Listing and Trading of Managed Portfolio Shares
Document Number: 2019-20970
Type: Notice
Date: 2019-09-27
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2019/09/27/2019-20970.html
Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing of Amendment No. 1 and Order Granting Accelerated Approval of a Proposed Rule Change, as Modified by Amendment No. 1, a Proposed Rule Change To Amend Exchange Rule 104 To Specify Designated Market Maker Requirements for Exchange Traded Products Listed on the Exchange
Document Number: 2019-20969
Type: Notice
Date: 2019-09-27
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2019/09/27/2019-20969.html
Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Designation of a Longer Period for Commission Action on Proceedings To Determine Whether To Approve or Disapprove a Proposed Rule Change Relating to the Permitted Investments of the PGIM Ultra Short Bond ETF
Document Number: 2019-20968
Type: Notice
Date: 2019-09-27
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2019/09/27/2019-20968.html
CIM Real Assets & Credit Fund, et al.
Document Number: 2019-20955
Type: Notice
Date: 2019-09-26
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2019/09/26/2019-20955.html
Self-Regulatory Organizations; Miami International Securities Exchange LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Its Fee Schedule
Document Number: 2019-20873
Type: Notice
Date: 2019-09-26
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2019/09/26/2019-20873.html
Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to a Change in the Name and Benchmark Index for the SPDR Nuveen S&P High Yield Municipal Bond ETF
Document Number: 2019-20872
Type: Notice
Date: 2019-09-26
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2019/09/26/2019-20872.html
Technical Amendments To Update Cross-References to Commission's FOIA Regulations
Document Number: 2019-20369
Type: Rule
Date: 2019-09-26
Agency: Securities and Exchange Commission, Agencies and Commissions
The Securities and Exchange Commission (``SEC'' or ``Commission'') is adopting technical amendments to update cross- references to reflect amendments to the Commission's Freedom of Information Act (``FOIA'') regulations published as a final rule on June 28, 2018.
https://regulations.justia.com/regulations/fedreg/2019/09/26/2019-20369.html
Self-Regulatory Organizations; The Nasdaq Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the Order Routing Rule in NOM Chapter VI, Section 11
Document Number: 2019-20712
Type: Notice
Date: 2019-09-25
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2019/09/25/2019-20712.html
Self-Regulatory Organizations; Cboe Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule To Amend Its Rules Related to the Electronic Processing of Complex Orders and To Move Them to the Shell Rulebook That Will Become Effective Upon the Migration of the Exchange's Trading Platform to the Same System Used by the Cboe Affiliated Exchanges
Document Number: 2019-20711
Type: Notice
Date: 2019-09-25
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2019/09/25/2019-20711.html
Self-Regulatory Organizations; The Nasdaq Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Concerning the Operation of the Nasdaq Opening, Halt and Closing Crosses
Document Number: 2019-20710
Type: Notice
Date: 2019-09-25
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2019/09/25/2019-20710.html
Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Extend the Pilot Related to the Market-Wide Circuit Breaker in Rules 80B and 7.12
Document Number: 2019-20709
Type: Notice
Date: 2019-09-25
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2019/09/25/2019-20709.html
Self-Regulatory Organizations; Cboe Exchange, Inc.; Notice of Filing of a Proposed Rule Change To Adopt Rule 6.49C
Document Number: 2019-20708
Type: Notice
Date: 2019-09-25
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2019/09/25/2019-20708.html
Self-Regulatory Organizations; Cboe Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Add a New Version of the Silexx Platform to Support FLEX Options Trading
Document Number: 2019-20707
Type: Notice
Date: 2019-09-25
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2019/09/25/2019-20707.html
Self-Regulatory Organizations; BOX Exchange LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the Fee Schedule on the BOX Options Market LLC (“BOX”) Facility To Establish BOX Connectivity Fees for Participants and Non-Participants Who Connect to the BOX Network
Document Number: 2019-20706
Type: Notice
Date: 2019-09-25
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2019/09/25/2019-20706.html
Self-Regulatory Organizations; The Depository Trust Company; Notice of Filing of Partial Amendment No. 1 and Order Granting Accelerated Approval of a Proposed Rule Change, as Modified by Partial Amendment No. 1, To Amend the Settlement Guide To Implement a New Algorithm for Transactions Processed in the Night Cycle
Document Number: 2019-20702
Type: Notice
Date: 2019-09-25
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2019/09/25/2019-20702.html
Self-Regulatory Organizations; NYSE American LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Extend the Pilot Related to the Market-Wide Circuit Breaker in Rule 7.12E
Document Number: 2019-20701
Type: Notice
Date: 2019-09-25
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2019/09/25/2019-20701.html
Self-Regulatory Organizations: Investors Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Add a Corporate Discretionary Peg Order Type and Make Two Minor Non-Substantive Clarifying Changes to the Definition of a Discretionary Peg Order
Document Number: 2019-20700
Type: Notice
Date: 2019-09-25
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2019/09/25/2019-20700.html
Self-Regulatory Organizations; The Nasdaq Stock Market LLC; Notice of Designation of Longer Period for Commission Action on Proposed Rule Change To Amend Rules 4120 and 4753
Document Number: 2019-20699
Type: Notice
Date: 2019-09-25
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2019/09/25/2019-20699.html
Self-Regulatory Organizations; Cboe Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Certain Rules Relating To Market-Makers Upon Migration to the Trading System Used by Cboe Affiliated Exchanges
Document Number: 2019-20698
Type: Notice
Date: 2019-09-25
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2019/09/25/2019-20698.html
Self-Regulatory Organizations; Cboe BZX Exchange, Inc.; Notice of Designation of a Longer Period for Commission Action on a Proposed Rule Change To List and Trade Shares of the iShares California Short Maturity Muni Bond ETF of the iShares U.S. ETF Trust Under Rule 14.11(i), Managed Fund Shares
Document Number: 2019-20697
Type: Notice
Date: 2019-09-25
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2019/09/25/2019-20697.html
Self-Regulatory Organizations; NYSE Chicago, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Extend the Pilot Related to the Market-Wide Circuit Breaker in Article 20, Rule 2
Document Number: 2019-20696
Type: Notice
Date: 2019-09-25
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2019/09/25/2019-20696.html
Self-Regulatory Organizations; National Securities Clearing Corporation; Notice of Filing of Partial Amendment No. 1 and Order Granting Accelerated Approval of a Proposed Rule Change, as Modified by Partial Amendment No. 1, To Amend Procedure VII with Respect to the Receipt of CNS Securities and Make Other Changes
Document Number: 2019-20695
Type: Notice
Date: 2019-09-25
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2019/09/25/2019-20695.html
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