Securities and Exchange Commission October 7, 2019 – Federal Register Recent Federal Regulation Documents

Results 1 - 16 of 16
Mutual of America Life Insurance Company, et al.
Document Number: 2019-21811
Type: Notice
Date: 2019-10-07
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2019/10/07/2019-21811.html
Calvert Fund, et al.
Document Number: 2019-21810
Type: Notice
Date: 2019-10-07
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2019/10/07/2019-21810.html
Self-Regulatory Organizations; Nasdaq GEMX, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to the Submission of Quotes and Orders
Document Number: 2019-21737
Type: Notice
Date: 2019-10-07
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2019/10/07/2019-21737.html
Self-Regulatory Organizations; Nasdaq ISE, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to the Submission of Quotes and Orders
Document Number: 2019-21736
Type: Notice
Date: 2019-10-07
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2019/10/07/2019-21736.html
Self-Regulatory Organizations; Nasdaq MRX, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Several Sections of Options 3
Document Number: 2019-21735
Type: Notice
Date: 2019-10-07
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2019/10/07/2019-21735.html
Self-Regulatory Organizations; Cboe Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Move the Rules in Chapter XVIII, Which Governs Exchange Arbitrations, of the Currently Effective Rulebook to Proposed Chapter 14 of the Shell Structure for the Exchange's Rulebook
Document Number: 2019-21734
Type: Notice
Date: 2019-10-07
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2019/10/07/2019-21734.html
Self-Regulatory Organizations; NYSE American LLC; Notice of Withdrawal of Proposed Rule Change To Amend the NYSE American Options Fee Schedule To Revise the Options Regulatory Fee
Document Number: 2019-21733
Type: Notice
Date: 2019-10-07
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2019/10/07/2019-21733.html
Self-Regulatory Organizations; The Nasdaq Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Adopt Fees for the MIDP Routing Option
Document Number: 2019-21732
Type: Notice
Date: 2019-10-07
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2019/10/07/2019-21732.html
Self-Regulatory Organizations; NYSE Arca Inc.; Notice of Withdrawal of Proposed Rule Change To Amend the NYSE Arca Options Fee Schedule To Revise the Options Regulatory Fee
Document Number: 2019-21731
Type: Notice
Date: 2019-10-07
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2019/10/07/2019-21731.html
Self-Regulatory Organizations; Cboe Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Make Minor Updates to and Relocate Chapter XIX, Which Governs the Hearings and Review Process for Persons Aggrieved by Exchange Action, of the Currently Effective Rulebook, to Proposed Chapter 15 of the Shell Structure for the Exchange's Rulebook
Document Number: 2019-21730
Type: Notice
Date: 2019-10-07
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2019/10/07/2019-21730.html
Self-Regulatory Organizations; Cboe Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Move the Rules in Chapter XIII of the Currently Effective Rulebook, Which Governs Net Capital Requirements, to Proposed Chapter 11 of the Shell Structure for the Exchange's Rulebook
Document Number: 2019-21729
Type: Notice
Date: 2019-10-07
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2019/10/07/2019-21729.html
Self-Regulatory Organizations; Cboe Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Move the Rules in Chapter XII, Which Governs Margin Requirements, of the Currently Effective Rulebook to Proposed Chapter 10 of the Shell Structure for the Exchange's Rulebook
Document Number: 2019-21728
Type: Notice
Date: 2019-10-07
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2019/10/07/2019-21728.html
Self-Regulatory Organizations; NYSE Arca, Inc.; Order Granting Approval of Proposed Rule Change To List and Trade Shares of the Franklin Liberty Systematic Style Premia ETF, a Series of the Franklin Templeton ETF Trust Under NYSE Arca Rule 8.600-E
Document Number: 2019-21727
Type: Notice
Date: 2019-10-07
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2019/10/07/2019-21727.html
Self-Regulatory Organizations; The Nasdaq Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to the First Trust Low Duration Opportunities ETF
Document Number: 2019-21726
Type: Notice
Date: 2019-10-07
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2019/10/07/2019-21726.html
Self-Regulatory Organizations; Cboe Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to the Solicitation Auction Mechanism (“SAM” or “SAM Auction”)
Document Number: 2019-21725
Type: Notice
Date: 2019-10-07
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2019/10/07/2019-21725.html
Self-Regulatory Organizations; Cboe Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Its Rule Regarding How Complex Orders Are Processed Through the Solicitation Auction Mechanism (“C-SAM” or “C-SAM Auction”), and Move That Rule From the Currently Effective Rulebook to the Shell Structure for the Exchange's 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: 2019-21724
Type: Notice
Date: 2019-10-07
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2019/10/07/2019-21724.html
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