Securities and Exchange Commission 2019 – Federal Register Recent Federal Regulation Documents

Results 1,151 - 1,200 of 1,988
Self-Regulatory Organizations; Cboe EDGX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Extend Through December 31, 2019, the Penny Pilot Program (“Penny Pilot”) in Options Classes in Certain Issues (“Pilot Program”) Previously Approved by the Commission
Document Number: 2019-12546
Type: Notice
Date: 2019-06-14
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2019/06/14/2019-12546.html
Self-Regulatory Organizations; Cboe BZX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Extend Through December 31, 2019, the Penny Pilot Program (“Penny Pilot”) in Options Classes in Certain Issues (“Pilot Program”) Previously Approved by the Commission
Document Number: 2019-12545
Type: Notice
Date: 2019-06-14
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2019/06/14/2019-12545.html
Self-Regulatory Organizations; Cboe C2 Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating To Amend Rule 6.4 by Extending the Penny Pilot Program Through December 31, 2019
Document Number: 2019-12544
Type: Notice
Date: 2019-06-14
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2019/06/14/2019-12544.html
Self-Regulatory Organizations; Cboe EDGX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating To Adopt Limit-on-Close (“LOC”) and Market-on-Close (“MOC”) Orders
Document Number: 2019-12543
Type: Notice
Date: 2019-06-14
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2019/06/14/2019-12543.html
Self-Regulatory Organizations; The Nasdaq Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Nasdaq Rule 5615 To Allow Additional Issuers Who List Only Specific Securities To Be Able To Avail Themselves of Certain Exemptions Under Corporate Governance Requirements and To Amend Nasdaq Rule IM-5620 To Exclude Additional Categories of Issuers Listing Only Specific Securities From the Annual Shareholder Meeting Requirement
Document Number: 2019-12542
Type: Notice
Date: 2019-06-14
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2019/06/14/2019-12542.html
Self-Regulatory Organizations; Nasdaq ISE, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Extend the Pilot To Permit the Listing and Trading of Options Based on 1/5
Document Number: 2019-12541
Type: Notice
Date: 2019-06-14
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2019/06/14/2019-12541.html
Sunshine Act Meetings
Document Number: 2019-12551
Type: Notice
Date: 2019-06-13
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2019/06/13/2019-12551.html
Proposed Collection; Comment Request
Document Number: 2019-12515
Type: Notice
Date: 2019-06-13
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2019/06/13/2019-12515.html
Self-Regulatory Organizations; Cboe EDGX Exchange, Inc.; Notice of Withdrawal of Proposed Rule Change, as Modified by Amendment No. 1, To Adopt Rule 21.21 (Solicitation Auction Mechanism)
Document Number: 2019-12453
Type: Notice
Date: 2019-06-13
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2019/06/13/2019-12453.html
Self-Regulatory Organizations; The Nasdaq Stock Market LLC; Notice of Designation of Longer Period for Commission Action on a Proposed Rule Change To Adopt Additional Requirements for Listings in Connection With an Offering Under Regulation A of the Securities Act
Document Number: 2019-12452
Type: Notice
Date: 2019-06-13
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2019/06/13/2019-12452.html
Self-Regulatory Organizations; Cboe C2 Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating To Amend the Fat Finger Check for Simple Orders in Rule 6.14
Document Number: 2019-12451
Type: Notice
Date: 2019-06-13
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2019/06/13/2019-12451.html
Self-Regulatory Organizations; Cboe Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Its Rules Relating to Registration of Trading Permit Holders
Document Number: 2019-12450
Type: Notice
Date: 2019-06-13
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2019/06/13/2019-12450.html
Self-Regulatory Organizations; Nasdaq MRX, LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Its Rules Governing the Give Up of a Clearing Member by a Member on Exchange Transactions
Document Number: 2019-12449
Type: Notice
Date: 2019-06-13
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2019/06/13/2019-12449.html
Self-Regulatory Organizations; Nasdaq GEMX, LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Its Rules Governing the Give Up of a Clearing Member by a Member on Exchange Transactions
Document Number: 2019-12448
Type: Notice
Date: 2019-06-13
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2019/06/13/2019-12448.html
Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Commentary .02 to Rule 6.72-O in Order To Extend the Penny Pilot in Options Classes in Certain Issues
Document Number: 2019-12447
Type: Notice
Date: 2019-06-13
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2019/06/13/2019-12447.html
Self-Regulatory Organizations; NYSE American LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Commentary .02 to Rule 960NY in Order To Extend the Penny Pilot in Options Classes in Certain Issues
Document Number: 2019-12446
Type: Notice
Date: 2019-06-13
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2019/06/13/2019-12446.html
Self-Regulatory Organizations; NYSE Arca, Inc.; Order Instituting Proceedings To Determine Whether To Approve or Disapprove a Proposed Rule Change To Amend NYSE Arca Rule 5.2-E(j)(3) and To Adopt Generic Listing Standards for Investment Company Units Based on an Index or Portfolio of Municipal Securities
Document Number: C1-2019-11446
Type: Notice
Date: 2019-06-12
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2019/06/12/C1-2019-11446.html
Proposed Collection; Comment Request
Document Number: 2019-12423
Type: Notice
Date: 2019-06-12
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2019/06/12/2019-12423.html
Self-Regulatory Organizations; BOX Exchange LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Rule 7260 by Extending the Penny Pilot Program Through December 31, 2019
Document Number: 2019-12343
Type: Notice
Date: 2019-06-12
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2019/06/12/2019-12343.html
Self-Regulatory Organizations; Nasdaq BX, Inc.; Notice of Filing of Amendment No. 1 and Order Granting Accelerated Approval of a Proposed Rule Change, as Modified by Amendment No. 1, To Reassign Certain Investigation and Enforcement Functions Under the Exchange's Authority and Supervision
Document Number: 2019-12341
Type: Notice
Date: 2019-06-12
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2019/06/12/2019-12341.html
Self-Regulatory Organizations; Nasdaq BX, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the Order Routing Rule in BX Chapter VI, Section 11
Document Number: 2019-12339
Type: Notice
Date: 2019-06-12
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2019/06/12/2019-12339.html
Self-Regulatory Organizations; MIAX Emerald, LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Exchange Rule 510, Minimum Price Variations and Minimum Trading Increments To Extend the Penny Pilot Program
Document Number: 2019-12337
Type: Notice
Date: 2019-06-12
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2019/06/12/2019-12337.html
Self-Regulatory Organizations; Miami PEARL, LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Rule 510, Minimum Price Variations and Minimum Trading Increments To Extend the Penny Pilot Program
Document Number: 2019-12336
Type: Notice
Date: 2019-06-12
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2019/06/12/2019-12336.html
Self-Regulatory Organizations; Miami International Securities Exchange, LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Rule 510, Minimum Price Variations and Minimum Trading Increments To Extend the Penny Pilot Program
Document Number: 2019-12335
Type: Notice
Date: 2019-06-12
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2019/06/12/2019-12335.html
Self-Regulatory Organizations; ICE Clear Credit LLC; Order Approving Proposed Rule Change Relating to the ICC Model Validation Framework
Document Number: 2019-12193
Type: Notice
Date: 2019-06-11
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2019/06/11/2019-12193.html
Self-Regulatory Organizations; Cboe C2 Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating To Adopt Limit-on-Close (“LOC”) and Market-on-Close (“MOC”) Orders
Document Number: 2019-12192
Type: Notice
Date: 2019-06-11
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2019/06/11/2019-12192.html
Self-Regulatory Organizations; The Depository Trust Company; Notice of Designation of a Longer Period for Commission Action on Proceedings To Determine Whether To Approve or Disapprove a Proposed Rule Change To Amend the Settlement Guide Procedures To Provide Status Information for Institutional Transactions to a Matching Utility
Document Number: 2019-12191
Type: Notice
Date: 2019-06-11
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2019/06/11/2019-12191.html
Self-Regulatory Organizations; ICE Clear Credit LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to ICC's Risk Management Model Description
Document Number: 2019-12189
Type: Notice
Date: 2019-06-11
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2019/06/11/2019-12189.html
Self-Regulatory Organizations; BOX Exchange LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend BOX Rule IM-5050-1 Allow $1 Strike Price Intervals Above $200 on Options on the QQQ and IWM Exchange-Traded Funds
Document Number: 2019-12188
Type: Notice
Date: 2019-06-11
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2019/06/11/2019-12188.html
Self-Regulatory Organizations; Cboe C2 Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Update Its Price Adjust Process To Allow for the Process To Apply to Bulk Messages
Document Number: 2019-12187
Type: Notice
Date: 2019-06-11
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2019/06/11/2019-12187.html
Sunshine Act Meetings
Document Number: 2019-12328
Type: Notice
Date: 2019-06-10
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2019/06/10/2019-12328.html
Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Withdrawal of a Proposed Rule Change To List and Trade Units of Each of (i) Cboe Vest S&P 500® Buffer Enhanced Growth Protect Strategy ETNs; (ii) Cboe Vest S&P 500® Enhanced Growth Strategy ETNs; (iii) Cboe Vest S&P 500® Accelerated Return Strategy ETNs; and (iv) Cboe Vest S&P 500® Power Buffer Strategy ETNs Under Rule 14.11(d), Equity Index-Linked Securities
Document Number: 2019-12097
Type: Notice
Date: 2019-06-10
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2019/06/10/2019-12097.html
Self-Regulatory Organizations; The Nasdaq Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Relocate the Options Rules Under Chapter IV, Securities Traded on NOM
Document Number: 2019-12093
Type: Notice
Date: 2019-06-10
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2019/06/10/2019-12093.html
Self-Regulatory Organizations; Nasdaq PHLX LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Equity 7, Section 3, Which Governs Pricing for Phlx Members Using the Nasdaq PSX System
Document Number: 2019-12092
Type: Notice
Date: 2019-06-10
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2019/06/10/2019-12092.html
Self-Regulatory Organizations; BOX Exchange LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Adopt Rules Governing the Trading of Complex Qualified Contingent Cross Orders and Make a Modification to the Execution Requirements for Complex Customer Cross Orders
Document Number: 2019-12091
Type: Notice
Date: 2019-06-10
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2019/06/10/2019-12091.html
Self-Regulatory Organizations; The Nasdaq Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Equity 7, Section 118(a)
Document Number: 2019-12090
Type: Notice
Date: 2019-06-10
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2019/06/10/2019-12090.html
Self-Regulatory Organizations; Miami International Securities Exchange, LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Exchange Rule 519, MIAX Order Monitor
Document Number: 2019-12089
Type: Notice
Date: 2019-06-10
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2019/06/10/2019-12089.html
Self-Regulatory Organizations; Nasdaq BX, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Equity 7, Section 118(a) To Adopt Pricing for the Recently Adopted SCAR Routing Strategy
Document Number: 2019-12086
Type: Notice
Date: 2019-06-10
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2019/06/10/2019-12086.html
Submission for OMB Review; Comment Request; Extension: Rule 17a-7
Document Number: 2019-12042
Type: Notice
Date: 2019-06-07
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2019/06/07/2019-12042.html
Submission for OMB Review; Comment Request
Document Number: 2019-12041
Type: Notice
Date: 2019-06-07
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2019/06/07/2019-12041.html
Submission for OMB Review; Comment Request
Document Number: 2019-12039
Type: Notice
Date: 2019-06-07
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2019/06/07/2019-12039.html
Submission for OMB Review; Comment Request
Document Number: 2019-12038
Type: Notice
Date: 2019-06-07
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2019/06/07/2019-12038.html
Self-Regulatory Organizations; NYSE Arca, Inc.; Order Approving a Proposed Rule Change, as Modified by Amendment No. 1, To Amend Certain Generic Listing Standards for Managed Fund Shares Applicable to Holdings of Fixed Income Securities
Document Number: 2019-11933
Type: Notice
Date: 2019-06-07
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2019/06/07/2019-11933.html
Initial Form ATS-N Filing; Notice of Extension of Commission Review Period
Document Number: 2019-11894
Type: Notice
Date: 2019-06-06
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2019/06/06/2019-11894.html
Initial Form ATS-N Filing; Notice of Extension of Commission Review Period
Document Number: 2019-11893
Type: Notice
Date: 2019-06-06
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2019/06/06/2019-11893.html
Initial Form ATS-N Filing; Notice of Extension of Commission Review Period
Document Number: 2019-11892
Type: Notice
Date: 2019-06-06
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2019/06/06/2019-11892.html
Initial Form ATS-N Filing; Notice of Extension of Commission Review Period
Document Number: 2019-11891
Type: Notice
Date: 2019-06-06
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2019/06/06/2019-11891.html
Initial Form ATS-N Filing; Notice of Extension of Commission Review Period
Document Number: 2019-11890
Type: Notice
Date: 2019-06-06
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2019/06/06/2019-11890.html
Initial Form ATS-N Filing; Notice of Extension of Commission Review Period
Document Number: 2019-11889
Type: Notice
Date: 2019-06-06
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2019/06/06/2019-11889.html
Initial Form ATS-N Filing; Notice of Extension of Commission Review Period
Document Number: 2019-11875
Type: Notice
Date: 2019-06-06
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2019/06/06/2019-11875.html
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