<![CDATA[Federal Register Recent Federal Regulation Documents - Justia Regulation Tracker - Justia Regulations Tracker]]> https://regulations.justia.com/regulations/fedreg/agencies/agencies-and-commissions/securities-and-exchange-commission/2019/02/15?registers=between Sun, 22 Dec 2024 18:11:18 -0800 Sun, 22 Dec 2024 18:11:18 -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/agencies-and-commissions/securities-and-exchange-commission/2019/02/15?registers=between Notice - Program for Allocation of Regulatory Responsibilities Pursuant to Rule 17d-2; Notice of Filing and Order Approving and Declaring Effective an Amendment to the Plan for the Allocation of Regulatory Responsibilities Among NYSE American LLC, Cboe BZX Exchange, Inc., the Cboe EDGX Exchange, Inc., Cboe C2 Exchange, Inc., Cboe Exchange, Inc., Nasdaq ISE, LLC, Financial Industry Regulatory Authority, Inc., NYSE Arca, Inc., The NASDAQ Stock Market LLC, BOX Exchange LLC, NASDAQ BX, Inc., NASDAQ PHLX LLC, Miami International Securities Exchange, LLC, Nasdaq GEMX, LLC, Nasdaq MRX, LLC, MIAX PEARL, LLC, and MIAX Emerald, LLC Concerning Options-Related Sales Practice Matters https://regulations.justia.com/regulations/fedreg/2019/02/15/2019-02493.html https://regulations.justia.com/regulations/fedreg/2019/02/15/2019-02493.html Fri, 15 Feb 2019 00:00:00 -0800 2019-02493 Notice https://www.govinfo.gov/content/pkg/FR-2019-02-15/pdf/2019-02493.pdf Notice - Self-Regulatory Organizations; ICE Clear Credit LLC; Order Approving Proposed Rule Change Relating to ICC's New Initiatives Approval Policy and Procedural Framework https://regulations.justia.com/regulations/fedreg/2019/02/15/2019-02452.html https://regulations.justia.com/regulations/fedreg/2019/02/15/2019-02452.html Fri, 15 Feb 2019 00:00:00 -0800 2019-02452 Notice https://www.govinfo.gov/content/pkg/FR-2019-02-15/pdf/2019-02452.pdf Notice - Public Company Accounting Oversight Board; Notice of Filing of and Immediate Effectiveness of Proposed Bylaw and Rule Amendments To Provide That the Board's Appointment and Removal of Hearing Officers Are Subject to Commission Approval https://regulations.justia.com/regulations/fedreg/2019/02/15/2019-02450.html https://regulations.justia.com/regulations/fedreg/2019/02/15/2019-02450.html Fri, 15 Feb 2019 00:00:00 -0800 2019-02450 Notice https://www.govinfo.gov/content/pkg/FR-2019-02-15/pdf/2019-02450.pdf Notice - Self-Regulatory Organizations; Cboe EDGX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating To Amend the Exchange's Ninth Amended and Restated Bylaws (the “Exchange Bylaws”) the Fourth Amended and Restated Bylaws (the “Parent Bylaws”) of Its Parent Corporation, Cboe Global Markets, Inc. (“Cboe” or the “Parent”) https://regulations.justia.com/regulations/fedreg/2019/02/15/2019-02398.html https://regulations.justia.com/regulations/fedreg/2019/02/15/2019-02398.html Fri, 15 Feb 2019 00:00:00 -0800 2019-02398 Notice https://www.govinfo.gov/content/pkg/FR-2019-02-15/pdf/2019-02398.pdf Notice - Self-Regulatory Organizations; Cboe Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating To Amend the Exchange's Tenth Amended and Restated Bylaws (the “Exchange Bylaws”) the Fourth Amended and Restated Bylaws (the “Parent Bylaws”) of Its Parent Corporation, Cboe Global Markets, Inc. (“Cboe” or the “Parent”) https://regulations.justia.com/regulations/fedreg/2019/02/15/2019-02397.html https://regulations.justia.com/regulations/fedreg/2019/02/15/2019-02397.html Fri, 15 Feb 2019 00:00:00 -0800 2019-02397 Notice https://www.govinfo.gov/content/pkg/FR-2019-02-15/pdf/2019-02397.pdf Notice - Self-Regulatory Organizations; Cboe C2 Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating To Amend the Exchange's Tenth Amended and Restated Bylaws (the “Exchange Bylaws”) the Fourth Amended and Restated Bylaws (the “Parent Bylaws”) of Its Parent Corporation, Cboe Global Markets, Inc. (“Cboe” or the “Parent”) https://regulations.justia.com/regulations/fedreg/2019/02/15/2019-02396.html https://regulations.justia.com/regulations/fedreg/2019/02/15/2019-02396.html Fri, 15 Feb 2019 00:00:00 -0800 2019-02396 Notice https://www.govinfo.gov/content/pkg/FR-2019-02-15/pdf/2019-02396.pdf Notice - Self-Regulatory Organizations; Cboe Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to Establish Fees for a Recently Added Option That Overlies the S&P Select Sector Index Options (“Sector Index options”) https://regulations.justia.com/regulations/fedreg/2019/02/15/2019-02395.html https://regulations.justia.com/regulations/fedreg/2019/02/15/2019-02395.html Fri, 15 Feb 2019 00:00:00 -0800 2019-02395 Notice https://www.govinfo.gov/content/pkg/FR-2019-02-15/pdf/2019-02395.pdf Notice - Self-Regulatory Organizations; Cboe BZX Exchange, Inc.; Notice of Filing of a Proposed Rule Change To List and Trade Under Rule 14.11(c)(3) Shares of the Global X Russell 2000 Covered Call ETF of Global X Funds https://regulations.justia.com/regulations/fedreg/2019/02/15/2019-02394.html https://regulations.justia.com/regulations/fedreg/2019/02/15/2019-02394.html Fri, 15 Feb 2019 00:00:00 -0800 2019-02394 Notice https://www.govinfo.gov/content/pkg/FR-2019-02-15/pdf/2019-02394.pdf Notice - Self-Regulatory Organizations; Cboe EDGA Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating To Amend the Exchange's Ninth Amended and Restated Bylaws (the “Exchange Bylaws”) the Fourth Amended and Restated Bylaws (the “Parent Bylaws”) of Its Parent Corporation, Cboe Global Markets, Inc. (“Cboe” or the “Parent”) https://regulations.justia.com/regulations/fedreg/2019/02/15/2019-02393.html https://regulations.justia.com/regulations/fedreg/2019/02/15/2019-02393.html Fri, 15 Feb 2019 00:00:00 -0800 2019-02393 Notice https://www.govinfo.gov/content/pkg/FR-2019-02-15/pdf/2019-02393.pdf Notice - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Designation of Longer Period for Commission Action on Proceedings To Determine Whether To Approve or Disapprove a Proposed Rule Change To Amend NYSE Rule 104 Governing Transactions by Designated Market Makers https://regulations.justia.com/regulations/fedreg/2019/02/15/2019-02392.html https://regulations.justia.com/regulations/fedreg/2019/02/15/2019-02392.html Fri, 15 Feb 2019 00:00:00 -0800 2019-02392 Notice https://www.govinfo.gov/content/pkg/FR-2019-02-15/pdf/2019-02392.pdf Notice - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Its Price List To Add a New Incentive for Supplemental Liquidity Providers in Tape A Securities When Adding Liquidity in Securities Traded Pursuant to Unlisted Trading Privileges https://regulations.justia.com/regulations/fedreg/2019/02/15/2019-02391.html https://regulations.justia.com/regulations/fedreg/2019/02/15/2019-02391.html Fri, 15 Feb 2019 00:00:00 -0800 2019-02391 Notice https://www.govinfo.gov/content/pkg/FR-2019-02-15/pdf/2019-02391.pdf Notice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the NYSE Arca Equities Fees and Charges https://regulations.justia.com/regulations/fedreg/2019/02/15/2019-02390.html https://regulations.justia.com/regulations/fedreg/2019/02/15/2019-02390.html Fri, 15 Feb 2019 00:00:00 -0800 2019-02390 Notice https://www.govinfo.gov/content/pkg/FR-2019-02-15/pdf/2019-02390.pdf Notice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing of Proposed Rule Change Relating to the Listing and Trading of Shares of the Bitwise Bitcoin ETF Trust Under NYSE Arca Rule 8.201-E https://regulations.justia.com/regulations/fedreg/2019/02/15/2019-02389.html https://regulations.justia.com/regulations/fedreg/2019/02/15/2019-02389.html Fri, 15 Feb 2019 00:00:00 -0800 2019-02389 Notice https://www.govinfo.gov/content/pkg/FR-2019-02-15/pdf/2019-02389.pdf Notice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing of Proposed Rule Change Relating to the Listing and Trading of the Shares of the ProShares UltraPro 3x Natural Gas ETF and ProShares UltraPro 3x Short Natural Gas ETF Under NYSE Arca Rule 8.200-E https://regulations.justia.com/regulations/fedreg/2019/02/15/2019-02377.html https://regulations.justia.com/regulations/fedreg/2019/02/15/2019-02377.html Fri, 15 Feb 2019 00:00:00 -0800 2019-02377 Notice https://www.govinfo.gov/content/pkg/FR-2019-02-15/pdf/2019-02377.pdf Notice - Proposed Collection; Comment Request https://regulations.justia.com/regulations/fedreg/2019/02/15/2019-01368.html https://regulations.justia.com/regulations/fedreg/2019/02/15/2019-01368.html Fri, 15 Feb 2019 00:00:00 -0800 2019-01368 Notice https://www.govinfo.gov/content/pkg/FR-2019-02-15/pdf/2019-01368.pdf Proposed Rule - Risk Mitigation Techniques for Uncleared Security-Based Swaps https://regulations.justia.com/regulations/fedreg/2019/02/15/2018-27979.html https://regulations.justia.com/regulations/fedreg/2019/02/15/2018-27979.html Fri, 15 Feb 2019 00:00:00 -0800 2018-27979 Proposed Rule https://www.govinfo.gov/content/pkg/FR-2019-02-15/pdf/2018-27979.pdf