Securities and Exchange Commission November 20, 2019 – Federal Register Recent Federal Regulation Documents

Results 1 - 19 of 19
Self-Regulatory Organizations; The Nasdaq Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Modify Certain Annual Listing Fees
Document Number: 2019-25108
Type: Notice
Date: 2019-11-20
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2019/11/20/2019-25108.html
Self-Regulatory Organizations; NYSE Chicago, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending the Fee Schedule of NYSE Chicago, Inc. in Connection With the Exchange's Transition to Trading to the Pillar Trading Platform
Document Number: 2019-25107
Type: Notice
Date: 2019-11-20
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2019/11/20/2019-25107.html
Self-Regulatory Organizations; Cboe BYX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the Fee Schedule Applicable to the BYX Equities Trading Platform as it Relates to Pricing for Orders Routed to Cboe EDGA Exchange, Inc. Using the ALLB, TRIM, or SLIM Routing Strategy
Document Number: 2019-25106
Type: Notice
Date: 2019-11-20
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2019/11/20/2019-25106.html
Self-Regulatory Organizations; LCH SA; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Amendments to LCH SA's Fee Grid for Non Cash Collateral
Document Number: 2019-25105
Type: Notice
Date: 2019-11-20
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2019/11/20/2019-25105.html
Self-Regulatory Organizations; Cboe BYX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the Fee Schedule
Document Number: 2019-25104
Type: Notice
Date: 2019-11-20
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2019/11/20/2019-25104.html
Self-Regulatory Organizations; Nasdaq PHLX LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the Customer Rebate Program
Document Number: 2019-25103
Type: Notice
Date: 2019-11-20
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2019/11/20/2019-25103.html
Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing of Proposed Rule Change To Establish Generic Listing Standards for Derivative Securities Products That Are Permitted To Operate in Reliance on Rule 6c-11 Under the Investment Company Act of 1940
Document Number: 2019-25101
Type: Notice
Date: 2019-11-20
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2019/11/20/2019-25101.html
Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing of a Proposed Rule Change To Allow FINRA To Publish or Distribute Aggregated Transaction Information and Statistics on U.S. Treasury Securities
Document Number: 2019-25100
Type: Notice
Date: 2019-11-20
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2019/11/20/2019-25100.html
Submission for OMB Review; Comment Request
Document Number: 2019-25098
Type: Notice
Date: 2019-11-20
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2019/11/20/2019-25098.html
Submission for OMB Review; Comment Request
Document Number: 2019-25097
Type: Notice
Date: 2019-11-20
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2019/11/20/2019-25097.html
Submission for OMB Review; Comment Request
Document Number: 2019-25096
Type: Notice
Date: 2019-11-20
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2019/11/20/2019-25096.html
Submission for OMB Review; Comment Request
Document Number: 2019-25094
Type: Notice
Date: 2019-11-20
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2019/11/20/2019-25094.html
Submission for OMB Review; Comment Request
Document Number: 2019-25093
Type: Notice
Date: 2019-11-20
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2019/11/20/2019-25093.html
Natixis ETF Trust II, et al.; Notice of Application
Document Number: 2019-25071
Type: Notice
Date: 2019-11-20
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2019/11/20/2019-25071.html
Fidelity Beach Street Trust, et al.; Notice of Application
Document Number: 2019-25070
Type: Notice
Date: 2019-11-20
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2019/11/20/2019-25070.html
T. Rowe Price Associates, Inc. and T. Rowe Price Equity Series, Inc.; Notice of Application
Document Number: 2019-25069
Type: Notice
Date: 2019-11-20
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2019/11/20/2019-25069.html
Blue Tractor ETF Trust and Blue Tractor Group, LLC; Notice of Application
Document Number: 2019-25068
Type: Notice
Date: 2019-11-20
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2019/11/20/2019-25068.html
Submission for OMB Review; Comment Request
Document Number: 2019-24971
Type: Notice
Date: 2019-11-20
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2019/11/20/2019-24971.html
Self-Regulatory Organizations; ICE Clear Europe Limited; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Amendments to the Business Continuity Procedures (the “Business Continuity Procedures”)
Document Number: 2019-24856
Type: Notice
Date: 2019-11-20
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2019/11/20/2019-24856.html
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