Securities and Exchange Commission December 16, 2019 – Federal Register Recent Federal Regulation Documents

Results 1 - 11 of 11
Sunshine Act Meetings
Document Number: 2019-27111
Type: Notice
Date: 2019-12-16
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2019/12/16/2019-27111.html
Self-Regulatory Organizations; Cboe C2 Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the Maximum Composite Width Check of the Opening Rotation as Provided in Subparagraph (e)(1) of Exchange Rule 6.11
Document Number: 2019-26992
Type: Notice
Date: 2019-12-16
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2019/12/16/2019-26992.html
Self-Regulatory Organizations; Cboe BYX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Introduce a Small Retail Broker Distribution Program
Document Number: 2019-26991
Type: Notice
Date: 2019-12-16
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2019/12/16/2019-26991.html
Self-Regulatory Organizations; Cboe BZX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Introduce a Small Retail Broker Distribution Program
Document Number: 2019-26990
Type: Notice
Date: 2019-12-16
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2019/12/16/2019-26990.html
Self-Regulatory Organizations; Cboe EDGX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Introduce a Small Retail Broker Distribution Program
Document Number: 2019-26989
Type: Notice
Date: 2019-12-16
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2019/12/16/2019-26989.html
Self-Regulatory Organizations; Cboe EDGA Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Introduce a Small Retail Broker Distribution Program
Document Number: 2019-26988
Type: Notice
Date: 2019-12-16
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2019/12/16/2019-26988.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 Remove the QOO Order Rebate Cap
Document Number: 2019-26987
Type: Notice
Date: 2019-12-16
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2019/12/16/2019-26987.html
Self-Regulatory Organizations; Cboe EDGX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the Maximum Composite Width Check of the Opening Rotation as Provided in Subparagraph (e)(1) of Exchange Rule 21.7
Document Number: 2019-26986
Type: Notice
Date: 2019-12-16
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2019/12/16/2019-26986.html
Self-Regulatory Organizations; The Nasdaq Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the Exchange's Transaction Fees at Equity 7, Section 118(a)
Document Number: 2019-26985
Type: Notice
Date: 2019-12-16
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2019/12/16/2019-26985.html
Self-Regulatory Organizations; Cboe Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the Maximum Composite Width Check of the Opening Rotation as Provided in Subparagraph (e)(1) of Exchange Rule 5.31
Document Number: 2019-26983
Type: Notice
Date: 2019-12-16
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2019/12/16/2019-26983.html
Recordkeeping and Reporting Requirements for Security-Based Swap Dealers, Major Security-Based Swap Participants, and Broker-Dealers
Document Number: 2019-20678
Type: Rule
Date: 2019-12-16
Agency: Securities and Exchange Commission, Agencies and Commissions
In accordance with the Dodd-Frank Wall Street Reform and Consumer Protection Act (``Dodd-Frank Act''), the Securities and Exchange Commission (``Commission''), pursuant to the Securities Exchange Act of 1934 (``Exchange Act''), is adopting recordkeeping, reporting, and notification requirements applicable to security-based swap dealers (``SBSDs'') and major security-based swap participants (``MSBSPs''), securities count requirements applicable to certain SBSDs, and additional recordkeeping requirements applicable to broker- dealers to account for their security-based swap and swap activities. The Commission also is making substituted compliance available with respect to recordkeeping, reporting, and notification requirements under Section 15F of the Exchange Act and the rules thereunder.
https://regulations.justia.com/regulations/fedreg/2019/12/16/2019-20678.html
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