<![CDATA[Federal Register Recent Federal Regulation Documents - Justia Regulation Tracker - Justia Regulations Tracker]]> https://regulations.justia.com/regulations/fedreg/agencies/securities-and-exchange-commission/2019/10/09?registers=between Thu, 21 Nov 2024 17:16:14 -0800 Thu, 21 Nov 2024 17:16:14 -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/2019/10/09?registers=between Notice - Self-Regulatory Organizations; Nasdaq BX, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Extend the Pilot Related to the Market-Wide Circuit Breaker in Rule 4121 https://regulations.justia.com/regulations/fedreg/2019/10/09/2019-22026.html https://regulations.justia.com/regulations/fedreg/2019/10/09/2019-22026.html Wed, 09 Oct 2019 00:00:00 -0700 2019-22026 Notice https://www.govinfo.gov/content/pkg/FR-2019-10-09/pdf/2019-22026.pdf Notice - Self-Regulatory Organizations; The Options Clearing Corporation; Notice of Filing of Proposed Rule Change To Establish a Regulatory Committee of The Options Clearing Corporation's Board of Directors https://regulations.justia.com/regulations/fedreg/2019/10/09/2019-22025.html https://regulations.justia.com/regulations/fedreg/2019/10/09/2019-22025.html Wed, 09 Oct 2019 00:00:00 -0700 2019-22025 Notice https://www.govinfo.gov/content/pkg/FR-2019-10-09/pdf/2019-22025.pdf Notice - Self-Regulatory Organizations; Nasdaq PHLX LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Extend the Pilot Related to the Market-Wide Circuit Breaker in Rule 133 https://regulations.justia.com/regulations/fedreg/2019/10/09/2019-22024.html https://regulations.justia.com/regulations/fedreg/2019/10/09/2019-22024.html Wed, 09 Oct 2019 00:00:00 -0700 2019-22024 Notice https://www.govinfo.gov/content/pkg/FR-2019-10-09/pdf/2019-22024.pdf Notice - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend FINRA Rule 7620B To Modify the Trade Reporting Fees Applicable to Participants That Use the FINRA/NYSE Trade Reporting Facility https://regulations.justia.com/regulations/fedreg/2019/10/09/2019-22023.html https://regulations.justia.com/regulations/fedreg/2019/10/09/2019-22023.html Wed, 09 Oct 2019 00:00:00 -0700 2019-22023 Notice https://www.govinfo.gov/content/pkg/FR-2019-10-09/pdf/2019-22023.pdf Notice - Self-Regulatory Organizations; Nasdaq MRX, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend MRX's Rulebook and By-Laws https://regulations.justia.com/regulations/fedreg/2019/10/09/2019-22020.html https://regulations.justia.com/regulations/fedreg/2019/10/09/2019-22020.html Wed, 09 Oct 2019 00:00:00 -0700 2019-22020 Notice https://www.govinfo.gov/content/pkg/FR-2019-10-09/pdf/2019-22020.pdf Notice - Self-Regulatory Organizations; Long-Term Stock Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating To Make the Exchange a Display-Only Market by Removing References to Non-Displayed and Reserve Orders https://regulations.justia.com/regulations/fedreg/2019/10/09/2019-22019.html https://regulations.justia.com/regulations/fedreg/2019/10/09/2019-22019.html Wed, 09 Oct 2019 00:00:00 -0700 2019-22019 Notice https://www.govinfo.gov/content/pkg/FR-2019-10-09/pdf/2019-22019.pdf Notice - Self-Regulatory Organizations; The Nasdaq Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Certain Constitutional Documents https://regulations.justia.com/regulations/fedreg/2019/10/09/2019-22018.html https://regulations.justia.com/regulations/fedreg/2019/10/09/2019-22018.html Wed, 09 Oct 2019 00:00:00 -0700 2019-22018 Notice https://www.govinfo.gov/content/pkg/FR-2019-10-09/pdf/2019-22018.pdf Notice - Self-Regulatory Organizations; Cboe Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Make Minor Updates and Consolidate Various Exchange Rules in Connection With Regulatory Reports, Records, and Audits on the Exchange, and Move Those Rules From the Currently Effective Rulebook to Proposed Chapter 7 of 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 https://regulations.justia.com/regulations/fedreg/2019/10/09/2019-22017.html https://regulations.justia.com/regulations/fedreg/2019/10/09/2019-22017.html Wed, 09 Oct 2019 00:00:00 -0700 2019-22017 Notice https://www.govinfo.gov/content/pkg/FR-2019-10-09/pdf/2019-22017.pdf Notice - Self-Regulatory Organizations; Cboe Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Make Minor Updates and Consolidate Various Exchange Rules in Connection With the Post-Transaction Process on the Exchange, and Move Those Rules From the Current Rulebook to Proposed Chapter 6 of the Shell Rulebook https://regulations.justia.com/regulations/fedreg/2019/10/09/2019-22016.html https://regulations.justia.com/regulations/fedreg/2019/10/09/2019-22016.html Wed, 09 Oct 2019 00:00:00 -0700 2019-22016 Notice https://www.govinfo.gov/content/pkg/FR-2019-10-09/pdf/2019-22016.pdf Notice - Self-Regulatory Organizations; Nasdaq ISE, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend ISE's Rulebook and By-Laws https://regulations.justia.com/regulations/fedreg/2019/10/09/2019-22015.html https://regulations.justia.com/regulations/fedreg/2019/10/09/2019-22015.html Wed, 09 Oct 2019 00:00:00 -0700 2019-22015 Notice https://www.govinfo.gov/content/pkg/FR-2019-10-09/pdf/2019-22015.pdf Notice - Self-Regulatory Organizations; Nasdaq BX, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend BX's By-Laws https://regulations.justia.com/regulations/fedreg/2019/10/09/2019-22014.html https://regulations.justia.com/regulations/fedreg/2019/10/09/2019-22014.html Wed, 09 Oct 2019 00:00:00 -0700 2019-22014 Notice https://www.govinfo.gov/content/pkg/FR-2019-10-09/pdf/2019-22014.pdf Notice - Self-Regulatory Organizations; New York Stock Exchange LLC; Order Granting Approval of a Proposed Rule Change, as Modified by Amendment No. 1, To Add Certain Rules to the List of Minor Rule Violations in Rule 9217, Delete Obsolete Rules, and Increase the Maximum Fine for Minor Rule Violations https://regulations.justia.com/regulations/fedreg/2019/10/09/2019-22013.html https://regulations.justia.com/regulations/fedreg/2019/10/09/2019-22013.html Wed, 09 Oct 2019 00:00:00 -0700 2019-22013 Notice https://www.govinfo.gov/content/pkg/FR-2019-10-09/pdf/2019-22013.pdf Notice - Self-Regulatory Organizations; Nasdaq PHLX LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Phlx's Second Amended Limited Liability Company Agreement and By-Laws https://regulations.justia.com/regulations/fedreg/2019/10/09/2019-22012.html https://regulations.justia.com/regulations/fedreg/2019/10/09/2019-22012.html Wed, 09 Oct 2019 00:00:00 -0700 2019-22012 Notice https://www.govinfo.gov/content/pkg/FR-2019-10-09/pdf/2019-22012.pdf Notice - Self-Regulatory Organizations; Cboe Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Move the Rules in Chapter XVII, Which Governs Exchange Disciplinary Procedures, of the Current Rulebook to Proposed Chapter 13 of the Shell Rulebook https://regulations.justia.com/regulations/fedreg/2019/10/09/2019-22011.html https://regulations.justia.com/regulations/fedreg/2019/10/09/2019-22011.html Wed, 09 Oct 2019 00:00:00 -0700 2019-22011 Notice https://www.govinfo.gov/content/pkg/FR-2019-10-09/pdf/2019-22011.pdf Notice - Self-Regulatory Organizations; MIAX PEARL, LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the MIAX PEARL Fee Schedule https://regulations.justia.com/regulations/fedreg/2019/10/09/2019-22010.html https://regulations.justia.com/regulations/fedreg/2019/10/09/2019-22010.html Wed, 09 Oct 2019 00:00:00 -0700 2019-22010 Notice https://www.govinfo.gov/content/pkg/FR-2019-10-09/pdf/2019-22010.pdf Proposed Rule - Proposed Exemptive Order Granting a Conditional Exemption From the Broker Registration Requirements of Section 15(a) of the Securities Exchange Act of 1934 for Certain Activities of Registered Municipal Advisors https://regulations.justia.com/regulations/fedreg/2019/10/09/2019-21882.html https://regulations.justia.com/regulations/fedreg/2019/10/09/2019-21882.html Wed, 09 Oct 2019 00:00:00 -0700 2019-21882 Proposed Rule https://www.govinfo.gov/content/pkg/FR-2019-10-09/pdf/2019-21882.pdf