Federal Register Recent Federal Regulation Documents - Justia Regulation Tracker - Justia Regulations Tracker https://regulations.justia.com/regulations/fedreg/agencies/securities-and-exchange-commission/2019/12/20?limit=200&registers=between&mode=atom 2024-11-24T18:19:07-08:00 Justia Inc https://www.justia.com/ Justia Regulations Tracker https://regulations.justia.com/images/justiafedregulations.gif Copyright 2011 Justia Inc https://regulations.justia.com/regulations/fedreg/2019/12/20/2019-27490.html Proposed Rule - Credit Risk Retention-Notice of Commencement of Review 2019-12-20T00:00:00-08:00 2019-12-20T00:00:00-08:00 2019-27490 Proposed Rule https://www.govinfo.gov/content/pkg/FR-2019-12-20/pdf/2019-27490.pdf https://regulations.justia.com/regulations/fedreg/2019/12/20/2019-27461.html Notice - Self-Regulatory Organizations; Nasdaq MRX, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Options 3, Section 3 To Extend Through June 30, 2020 or the Date of Permanent Approval 2019-12-20T00:00:00-08:00 2019-12-20T00:00:00-08:00 2019-27461 Notice https://www.govinfo.gov/content/pkg/FR-2019-12-20/pdf/2019-27461.pdf https://regulations.justia.com/regulations/fedreg/2019/12/20/2019-27460.html Notice - Self-Regulatory Organizations; Cboe Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating To Amend Rule 5.72 To Eliminate the Requirement That Leg Prices Be Submitted Prior to the Time a Complex FLEX Order is Represented in an Open Outcry FLEX Auction 2019-12-20T00:00:00-08:00 2019-12-20T00:00:00-08:00 2019-27460 Notice https://www.govinfo.gov/content/pkg/FR-2019-12-20/pdf/2019-27460.pdf https://regulations.justia.com/regulations/fedreg/2019/12/20/2019-27459.html Notice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Permit the Continued Listing and Trading of Shares Under NYSE Arca Rule 8.600-E of the Cambria Core Equity ETF, a Series of Cambria ETF Trust 2019-12-20T00:00:00-08:00 2019-12-20T00:00:00-08:00 2019-27459 Notice https://www.govinfo.gov/content/pkg/FR-2019-12-20/pdf/2019-27459.pdf https://regulations.justia.com/regulations/fedreg/2019/12/20/2019-27458.html Notice - Self-Regulatory Organizations; Cboe Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Reflect the Financial Crimes Enforcement Network's Adoption of a Final Rule on Customer Due Diligence Requirements for Financial Institutions 2019-12-20T00:00:00-08:00 2019-12-20T00:00:00-08:00 2019-27458 Notice https://www.govinfo.gov/content/pkg/FR-2019-12-20/pdf/2019-27458.pdf https://regulations.justia.com/regulations/fedreg/2019/12/20/2019-27457.html Notice - Self-Regulatory Organizations; NYSE American LLC; Order Approving a Proposed Rule Change Regarding the Applicability and Functionality of Certain Order Types on the Exchange 2019-12-20T00:00:00-08:00 2019-12-20T00:00:00-08:00 2019-27457 Notice https://www.govinfo.gov/content/pkg/FR-2019-12-20/pdf/2019-27457.pdf https://regulations.justia.com/regulations/fedreg/2019/12/20/2019-27456.html Notice - Self-Regulatory Organizations; Nasdaq BX, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change to the Exchange's Transaction Fees and Credits and Qualified Market Maker Program, at Equity 7, Section 118 2019-12-20T00:00:00-08:00 2019-12-20T00:00:00-08:00 2019-27456 Notice https://www.govinfo.gov/content/pkg/FR-2019-12-20/pdf/2019-27456.pdf https://regulations.justia.com/regulations/fedreg/2019/12/20/2019-27455.html Notice - Self-Regulatory Organizations; Cboe BZX Exchange, Inc.; Notice of Filing of Amendment Nos. 4 and 5, and Order Granting Accelerated Approval of a Proposed Rule Change, as Modified by Amendment Nos. 4 and 5, To Adopt BZX Rule 14.11(k) To Permit the Listing and Trading of Managed Portfolio Shares 2019-12-20T00:00:00-08:00 2019-12-20T00:00:00-08:00 2019-27455 Notice https://www.govinfo.gov/content/pkg/FR-2019-12-20/pdf/2019-27455.pdf https://regulations.justia.com/regulations/fedreg/2019/12/20/2019-27454.html Notice - Self-Regulatory Organizations; NYSE Arca, Inc.; Order Approving a Proposed Rule Change Regarding the Applicability and Functionality of Certain Order Types on the Exchange 2019-12-20T00:00:00-08:00 2019-12-20T00:00:00-08:00 2019-27454 Notice https://www.govinfo.gov/content/pkg/FR-2019-12-20/pdf/2019-27454.pdf https://regulations.justia.com/regulations/fedreg/2019/12/20/2019-27453.html Notice - Self-Regulatory Organizations; Cboe EDGA Exchange, Inc.; Notice of Designation of Longer Period for Commission Action on Proceedings To Determine Whether To Approve or Disapprove a Proposed Rule Change To Introduce a Liquidity Provider Protection Delay Mechanism on EDGA 2019-12-20T00:00:00-08:00 2019-12-20T00:00:00-08:00 2019-27453 Notice https://www.govinfo.gov/content/pkg/FR-2019-12-20/pdf/2019-27453.pdf https://regulations.justia.com/regulations/fedreg/2019/12/20/2019-27452.html Notice - Self-Regulatory Organizations; The Depository Trust Company; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Extend the Implementation Timeframe for a Rule Change To Implement a New Algorithm for Transactions Processed in the Night Cycle 2019-12-20T00:00:00-08:00 2019-12-20T00:00:00-08:00 2019-27452 Notice https://www.govinfo.gov/content/pkg/FR-2019-12-20/pdf/2019-27452.pdf https://regulations.justia.com/regulations/fedreg/2019/12/20/2019-27451.html Notice - Self-Regulatory Organizations; National Securities Clearing Corporation; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Extend the Implementation Timeframe for an Approved Rule Change To Amend Procedure VII With Respect to the Receipt of CNS Securities and Make Other Changes 2019-12-20T00:00:00-08:00 2019-12-20T00:00:00-08:00 2019-27451 Notice https://www.govinfo.gov/content/pkg/FR-2019-12-20/pdf/2019-27451.pdf https://regulations.justia.com/regulations/fedreg/2019/12/20/2019-27450.html Notice - Self-Regulatory Organizations; Nasdaq BX, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Extend Through June 30, 2020 or The Date of Permanent Approval, if Earlier, the Penny Pilot Program 2019-12-20T00:00:00-08:00 2019-12-20T00:00:00-08:00 2019-27450 Notice https://www.govinfo.gov/content/pkg/FR-2019-12-20/pdf/2019-27450.pdf https://regulations.justia.com/regulations/fedreg/2019/12/20/2019-27449.html Notice - Self-Regulatory Organizations; Nasdaq GEMX, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Options 3, Section 3 (Minimum Trading Increments) 2019-12-20T00:00:00-08:00 2019-12-20T00:00:00-08:00 2019-27449 Notice https://www.govinfo.gov/content/pkg/FR-2019-12-20/pdf/2019-27449.pdf https://regulations.justia.com/regulations/fedreg/2019/12/20/2019-27448.html Notice - Self-Regulatory Organizations; Nasdaq ISE, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Options 3, Section 3 To Extend Through June 30, 2020 or the Date of Permanent Approval 2019-12-20T00:00:00-08:00 2019-12-20T00:00:00-08:00 2019-27448 Notice https://www.govinfo.gov/content/pkg/FR-2019-12-20/pdf/2019-27448.pdf https://regulations.justia.com/regulations/fedreg/2019/12/20/2019-27447.html Notice - Prospect Capital Corporation, et al. 2019-12-20T00:00:00-08:00 2019-12-20T00:00:00-08:00 2019-27447 Notice https://www.govinfo.gov/content/pkg/FR-2019-12-20/pdf/2019-27447.pdf