Federal Register Recent Federal Regulation Documents - Justia Regulation Tracker - Justia Regulations Trackerhttps://regulations.justia.com/regulations/fedreg/agencies/agencies-and-commissions/securities-and-exchange-commission/2019/03?limit=200®isters=between&min-day=1&max-day=31&mode=atom2024-04-19T18:39:40-07:00Justia Inchttps://www.justia.com/Justia Regulations Trackerhttps://regulations.justia.com/images/justiafedregulations.gifCopyright 2011 Justia Inchttps://regulations.justia.com/regulations/fedreg/2019/03/29/2019-06040.htmlNotice - Order Regarding Review of FASB Accounting Support Fee for 2019 Under Section 109 of the Sarbanes-Oxley Act of 20022019-03-29T00:00:00-07:002019-03-29T00:00:00-07:002019-06040Noticehttps://www.govinfo.gov/content/pkg/FR-2019-03-29/pdf/2019-06040.pdfhttps://regulations.justia.com/regulations/fedreg/2019/03/28/2019-05924.htmlNotice - Self-Regulatory Organizations; Municipal Securities Rulemaking Board; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend MSRB Rule A-13 to Temporarily Reduce the Rate of Assessment for the MSRB's Underwriting, Transaction and Technology Fees on Brokers, Dealers and Municipal Securities Dealers2019-03-28T00:00:00-07:002019-03-28T00:00:00-07:002019-05924Noticehttps://www.govinfo.gov/content/pkg/FR-2019-03-28/pdf/2019-05924.pdfhttps://regulations.justia.com/regulations/fedreg/2019/03/28/2019-05923.htmlNotice - Self-Regulatory Organizations; MIAX PEARL, LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Exchange Rule 507, Must Give Up Clearing Member, and Rule 513, Submission of Orders and Clearance of Transactions2019-03-28T00:00:00-07:002019-03-28T00:00:00-07:002019-05923Noticehttps://www.govinfo.gov/content/pkg/FR-2019-03-28/pdf/2019-05923.pdfhttps://regulations.justia.com/regulations/fedreg/2019/03/28/2019-05922.htmlNotice - Self-Regulatory Organizations; Nasdaq ISE, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the Market Maker Plus Program2019-03-28T00:00:00-07:002019-03-28T00:00:00-07:002019-05922Noticehttps://www.govinfo.gov/content/pkg/FR-2019-03-28/pdf/2019-05922.pdfhttps://regulations.justia.com/regulations/fedreg/2019/03/28/2019-05912.htmlNotice - Securities Exchange Act of 19342019-03-28T00:00:00-07:002019-03-28T00:00:00-07:002019-05912Noticehttps://www.govinfo.gov/content/pkg/FR-2019-03-28/pdf/2019-05912.pdfhttps://regulations.justia.com/regulations/fedreg/2019/03/27/2019-05817.htmlNotice - Self-Regulatory Organizations; Cboe EDGX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating To Modify Its Fee Schedule2019-03-27T00:00:00-07:002019-03-27T00:00:00-07:002019-05817Noticehttps://www.govinfo.gov/content/pkg/FR-2019-03-27/pdf/2019-05817.pdfhttps://regulations.justia.com/regulations/fedreg/2019/03/27/2019-05816.htmlNotice - Self-Regulatory Organizations; MIAX Emerald, LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Establish the MIAX Emerald Fee Schedule2019-03-27T00:00:00-07:002019-03-27T00:00:00-07:002019-05816Noticehttps://www.govinfo.gov/content/pkg/FR-2019-03-27/pdf/2019-05816.pdfhttps://regulations.justia.com/regulations/fedreg/2019/03/27/2019-05815.htmlNotice - 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 Add the Concepts of Appointed OFP and Appointed MM2019-03-27T00:00:00-07:002019-03-27T00:00:00-07:002019-05815Noticehttps://www.govinfo.gov/content/pkg/FR-2019-03-27/pdf/2019-05815.pdfhttps://regulations.justia.com/regulations/fedreg/2019/03/27/2019-05814.htmlNotice - Self-Regulatory Organizations; MIAX EMERALD, LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Exchange Rule 507, Must Give Up Clearing Member, and Rule 513, Submission of Orders and Clearance of Transactions2019-03-27T00:00:00-07:002019-03-27T00:00:00-07:002019-05814Noticehttps://www.govinfo.gov/content/pkg/FR-2019-03-27/pdf/2019-05814.pdfhttps://regulations.justia.com/regulations/fedreg/2019/03/27/2019-05812.htmlNotice - Self-Regulatory Organizations; Cboe BZX Exchange, Inc.; Notice of Designation of a Longer Period for Commission Action on a Proposed Rule Change, as Modified by Amendment No. 1, To List and Trade Under BZX Rule 14.11(c)(3) Shares of the Global X Russell 2000 Covered Call ETF of Global X Funds2019-03-27T00:00:00-07:002019-03-27T00:00:00-07:002019-05812Noticehttps://www.govinfo.gov/content/pkg/FR-2019-03-27/pdf/2019-05812.pdfhttps://regulations.justia.com/regulations/fedreg/2019/03/27/2019-05811.htmlNotice - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Its Price List To Permit Affiliated Member Organizations That Are Supplemental Liquidity Providers on the Exchange To Obtain the Most Favorable Rate in Securities Traded Pursuant to Unlisted Trading Privileges2019-03-27T00:00:00-07:002019-03-27T00:00:00-07:002019-05811Noticehttps://www.govinfo.gov/content/pkg/FR-2019-03-27/pdf/2019-05811.pdfhttps://regulations.justia.com/regulations/fedreg/2019/03/27/2019-05808.htmlNotice - Self-Regulatory Organizations; Miami International Securities Exchange, LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Exchange Rule 507, Must Give Up Clearing Member, and Rule 513, Submission of Orders and Clearance of Transactions2019-03-27T00:00:00-07:002019-03-27T00:00:00-07:002019-05808Noticehttps://www.govinfo.gov/content/pkg/FR-2019-03-27/pdf/2019-05808.pdfhttps://regulations.justia.com/regulations/fedreg/2019/03/27/2019-05807.htmlNotice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing of Amendment No. 2 and Order Instituting Proceedings To Determine Whether To Approve or Disapprove a Proposed Rule Change, as Modified by Amendment No. 2, Regarding Changes to Investments of the iShares Bloomberg Roll Select Commodity Strategy ETF2019-03-27T00:00:00-07:002019-03-27T00:00:00-07:002019-05807Noticehttps://www.govinfo.gov/content/pkg/FR-2019-03-27/pdf/2019-05807.pdfhttps://regulations.justia.com/regulations/fedreg/2019/03/27/2019-05806.htmlNotice - Self-Regulatory Organizations; The Nasdaq Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Delay the Protocol Ouch To Trade Options or OTTO on The Nasdaq Options Market LLC2019-03-27T00:00:00-07:002019-03-27T00:00:00-07:002019-05806Noticehttps://www.govinfo.gov/content/pkg/FR-2019-03-27/pdf/2019-05806.pdfhttps://regulations.justia.com/regulations/fedreg/2019/03/26/2019-05810.htmlNotice - Sunshine Act Meetings2019-03-26T00:00:00-07:002019-03-26T00:00:00-07:002019-05810Noticehttps://www.govinfo.gov/content/pkg/FR-2019-03-26/pdf/2019-05810.pdfhttps://regulations.justia.com/regulations/fedreg/2019/03/26/2019-05809.htmlNotice - Sunshine Act Meetings2019-03-26T00:00:00-07:002019-03-26T00:00:00-07:002019-05809Noticehttps://www.govinfo.gov/content/pkg/FR-2019-03-26/pdf/2019-05809.pdfhttps://regulations.justia.com/regulations/fedreg/2019/03/26/2019-05734.htmlNotice - Fixed Income Market Structure Advisory Committee2019-03-26T00:00:00-07:002019-03-26T00:00:00-07:002019-05734Noticehttps://www.govinfo.gov/content/pkg/FR-2019-03-26/pdf/2019-05734.pdfhttps://regulations.justia.com/regulations/fedreg/2019/03/26/2019-05706.htmlNotice - 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)(3)2019-03-26T00:00:00-07:002019-03-26T00:00:00-07:002019-05706Noticehttps://www.govinfo.gov/content/pkg/FR-2019-03-26/pdf/2019-05706.pdfhttps://regulations.justia.com/regulations/fedreg/2019/03/26/2019-05705.htmlNotice - Self-Regulatory Organizations; MIAX PEARL, LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the MIAX PEARL Fee Schedule2019-03-26T00:00:00-07:002019-03-26T00:00:00-07:002019-05705Noticehttps://www.govinfo.gov/content/pkg/FR-2019-03-26/pdf/2019-05705.pdfhttps://regulations.justia.com/regulations/fedreg/2019/03/26/2019-05704.htmlNotice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing of Amendment No. 2 and Order Instituting Proceedings To Determine Whether To Approve or Disapprove a Proposed Rule Change, as Modified by Amendment No. 2, To List and Trade Shares of the iShares Commodity Multi-Strategy ETF Under NYSE Arca Rule 8.600-E2019-03-26T00:00:00-07:002019-03-26T00:00:00-07:002019-05704Noticehttps://www.govinfo.gov/content/pkg/FR-2019-03-26/pdf/2019-05704.pdfhttps://regulations.justia.com/regulations/fedreg/2019/03/26/2019-05703.htmlNotice - Self-Regulatory Organizations; New York Stock Exchange LLC; Order Granting Approval of a Proposed Rule Change Amending Sections 312.03 and 312.04 of the Listed Company Manual To Amend the Price Requirements for Certain Exceptions From the Shareholder Approval Rules2019-03-26T00:00:00-07:002019-03-26T00:00:00-07:002019-05703Noticehttps://www.govinfo.gov/content/pkg/FR-2019-03-26/pdf/2019-05703.pdfhttps://regulations.justia.com/regulations/fedreg/2019/03/26/2019-05702.htmlNotice - Self-Regulatory Organizations; The Nasdaq Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Adopt a New SCAR Routing Option2019-03-26T00:00:00-07:002019-03-26T00:00:00-07:002019-05702Noticehttps://www.govinfo.gov/content/pkg/FR-2019-03-26/pdf/2019-05702.pdfhttps://regulations.justia.com/regulations/fedreg/2019/03/26/2019-05701.htmlNotice - Self-Regulatory Organizations; Miami International Securities Exchange LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Its Fee Schedule2019-03-26T00:00:00-07:002019-03-26T00:00:00-07:002019-05701Noticehttps://www.govinfo.gov/content/pkg/FR-2019-03-26/pdf/2019-05701.pdfhttps://regulations.justia.com/regulations/fedreg/2019/03/26/2019-05700.htmlNotice - Self-Regulatory Organizations; Cboe BZX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule To List and Trade Shares of the iShares iBonds Dec 2026 Term Muni Bond ETF, iShares iBonds Dec 2027 Term Muni Bond ETF, and iShares iBonds Dec 2028 Term Muni Bond ETF Under BZX Rule 14.11(c)(4)2019-03-26T00:00:00-07:002019-03-26T00:00:00-07:002019-05700Noticehttps://www.govinfo.gov/content/pkg/FR-2019-03-26/pdf/2019-05700.pdfhttps://regulations.justia.com/regulations/fedreg/2019/03/26/2019-05699.htmlNotice - Self-Regulatory Organizations; Nasdaq BX, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Adopt a New SCAR Routing Option Under Rule 47582019-03-26T00:00:00-07:002019-03-26T00:00:00-07:002019-05699Noticehttps://www.govinfo.gov/content/pkg/FR-2019-03-26/pdf/2019-05699.pdfhttps://regulations.justia.com/regulations/fedreg/2019/03/26/2019-05698.htmlNotice - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing of Proposed Rule Change To Amend Rules 104 and 36 To Require and Facilitate Routine Communications Between Designated Market Makers (“DMMs”) and Designated Representatives of Listed Issuers2019-03-26T00:00:00-07:002019-03-26T00:00:00-07:002019-05698Noticehttps://www.govinfo.gov/content/pkg/FR-2019-03-26/pdf/2019-05698.pdfhttps://regulations.justia.com/regulations/fedreg/2019/03/26/2019-05697.htmlNotice - Self-Regulatory Organizations; Nasdaq PHLX LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Adopt a New SCAR Routing Option Under Rule 33152019-03-26T00:00:00-07:002019-03-26T00:00:00-07:002019-05697Noticehttps://www.govinfo.gov/content/pkg/FR-2019-03-26/pdf/2019-05697.pdfhttps://regulations.justia.com/regulations/fedreg/2019/03/26/2019-05696.htmlNotice - Self-Regulatory Organizations; Miami International Securities Exchange, LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Exchange Rule 5032019-03-26T00:00:00-07:002019-03-26T00:00:00-07:002019-05696Noticehttps://www.govinfo.gov/content/pkg/FR-2019-03-26/pdf/2019-05696.pdfhttps://regulations.justia.com/regulations/fedreg/2019/03/26/2019-05686.htmlNotice - Wells Fargo Securities, LLC, et al.2019-03-26T00:00:00-07:002019-03-26T00:00:00-07:002019-05686Noticehttps://www.govinfo.gov/content/pkg/FR-2019-03-26/pdf/2019-05686.pdfhttps://regulations.justia.com/regulations/fedreg/2019/03/25/2019-05572.htmlNotice - Self-Regulatory Organizations; ICE Clear Credit LLC; Order Approving Proposed Rule Change Relating to the ICE CDS Clearing: Back-Testing Framework2019-03-25T00:00:00-07:002019-03-25T00:00:00-07:002019-05572Noticehttps://www.govinfo.gov/content/pkg/FR-2019-03-25/pdf/2019-05572.pdfhttps://regulations.justia.com/regulations/fedreg/2019/03/25/2019-05571.htmlNotice - Self-Regulatory Organizations; The Nasdaq Stock Market LLC; Order Granting Approval of a Proposed Rule Change, as Modified by Amendment No. 2, To Amend Nasdaq Rules 5705 and 5710 To Adopt a Disclosure Requirement for Certain Securities2019-03-25T00:00:00-07:002019-03-25T00:00:00-07:002019-05571Noticehttps://www.govinfo.gov/content/pkg/FR-2019-03-25/pdf/2019-05571.pdfhttps://regulations.justia.com/regulations/fedreg/2019/03/25/2019-05568.htmlNotice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Commentary .02 to Rule 6.72-O To Specify That Replacement Issues May Be Added to the Penny Pilot Quarterly2019-03-25T00:00:00-07:002019-03-25T00:00:00-07:002019-05568Noticehttps://www.govinfo.gov/content/pkg/FR-2019-03-25/pdf/2019-05568.pdfhttps://regulations.justia.com/regulations/fedreg/2019/03/25/2019-05567.htmlNotice - Self-Regulatory Organizations; The Nasdaq Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Rule 4703 To Make Clarifying Changes2019-03-25T00:00:00-07:002019-03-25T00:00:00-07:002019-05567Noticehttps://www.govinfo.gov/content/pkg/FR-2019-03-25/pdf/2019-05567.pdfhttps://regulations.justia.com/regulations/fedreg/2019/03/22/2019-05469.htmlNotice - Self-Regulatory Organizations; Investors Exchange LLC; Notice of Filing of Amendment No. 1, and Order Granting Accelerated Approval of a Proposed Rule Change, as Modified by Amendment No. 1, To Modify the Resting Price of Discretionary Peg Orders2019-03-22T00:00:00-07:002019-03-22T00:00:00-07:002019-05469Noticehttps://www.govinfo.gov/content/pkg/FR-2019-03-22/pdf/2019-05469.pdfhttps://regulations.justia.com/regulations/fedreg/2019/03/22/2019-05468.htmlNotice - Self-Regulatory Organizations; MIAX Emerald, LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Exchange Rule 518, Complex Orders2019-03-22T00:00:00-07:002019-03-22T00:00:00-07:002019-05468Noticehttps://www.govinfo.gov/content/pkg/FR-2019-03-22/pdf/2019-05468.pdfhttps://regulations.justia.com/regulations/fedreg/2019/03/22/2019-05467.htmlNotice - Self-Regulatory Organizations; MIAX Emerald, LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Exchange Rule 515A, MIAX Emerald Price Improvement Mechanism (“PRIME”) and PRIME Solicitation Mechanism2019-03-22T00:00:00-07:002019-03-22T00:00:00-07:002019-05467Noticehttps://www.govinfo.gov/content/pkg/FR-2019-03-22/pdf/2019-05467.pdfhttps://regulations.justia.com/regulations/fedreg/2019/03/22/2019-05465.htmlNotice - Self-Regulatory Organizations; ICE Clear Europe Limited; Notice of Filing of Proposed Rule Change, Security-Based Swap Submission or Advance Notice Relating to Amendments to the CDS Risk Management Model Description Document2019-03-22T00:00:00-07:002019-03-22T00:00:00-07:002019-05465Noticehttps://www.govinfo.gov/content/pkg/FR-2019-03-22/pdf/2019-05465.pdfhttps://regulations.justia.com/regulations/fedreg/2019/03/22/2019-05463.htmlNotice - Self-Regulatory Organizations; NYSE American LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Commentary .02 to Rule 960NY To Specify That Replacement Issues May Be Added to the Penny Pilot Quarterly2019-03-22T00:00:00-07:002019-03-22T00:00:00-07:002019-05463Noticehttps://www.govinfo.gov/content/pkg/FR-2019-03-22/pdf/2019-05463.pdfhttps://regulations.justia.com/regulations/fedreg/2019/03/22/2019-05461.htmlNotice - Self-Regulatory Organizations; MIAX Emerald, LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Exchange Rule 518, Complex Orders2019-03-22T00:00:00-07:002019-03-22T00:00:00-07:002019-05461Noticehttps://www.govinfo.gov/content/pkg/FR-2019-03-22/pdf/2019-05461.pdfhttps://regulations.justia.com/regulations/fedreg/2019/03/22/2019-05460.htmlNotice - Self-Regulatory Organizations; Cboe BZX Exchange, Inc.; Notice of Filing of a Proposed Rule Change To Allow the JPMorgan Core Plus Bond ETF of the J.P. Morgan Exchange-Traded Fund Trust To Hold Certain Instruments in a Manner That May Not Comply With Rule 14.11(i), Managed Fund Shares2019-03-22T00:00:00-07:002019-03-22T00:00:00-07:002019-05460Noticehttps://www.govinfo.gov/content/pkg/FR-2019-03-22/pdf/2019-05460.pdfhttps://regulations.justia.com/regulations/fedreg/2019/03/22/2019-05459.htmlNotice - Self-Regulatory Organizations; Cboe BZX Exchange, Inc.; Notice of Filing 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 Securities2019-03-22T00:00:00-07:002019-03-22T00:00:00-07:002019-05459Noticehttps://www.govinfo.gov/content/pkg/FR-2019-03-22/pdf/2019-05459.pdfhttps://regulations.justia.com/regulations/fedreg/2019/03/21/2019-05354.htmlNotice - Self-Regulatory Organizations; Cboe Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Delete Rules That Are No Longer Necessary in the Review of Large Positions in Broad-Based Index Options2019-03-21T00:00:00-07:002019-03-21T00:00:00-07:002019-05354Noticehttps://www.govinfo.gov/content/pkg/FR-2019-03-21/pdf/2019-05354.pdfhttps://regulations.justia.com/regulations/fedreg/2019/03/21/2019-05340.htmlNotice - Proposed Collection; Comment Request2019-03-21T00:00:00-07:002019-03-21T00:00:00-07:002019-05340Noticehttps://www.govinfo.gov/content/pkg/FR-2019-03-21/pdf/2019-05340.pdfhttps://regulations.justia.com/regulations/fedreg/2019/03/21/2019-05339.htmlNotice - Proposed Collection; Comment Request2019-03-21T00:00:00-07:002019-03-21T00:00:00-07:002019-05339Noticehttps://www.govinfo.gov/content/pkg/FR-2019-03-21/pdf/2019-05339.pdfhttps://regulations.justia.com/regulations/fedreg/2019/03/21/2019-05338.htmlNotice - Proposed Collection; Comment Request2019-03-21T00:00:00-07:002019-03-21T00:00:00-07:002019-05338Noticehttps://www.govinfo.gov/content/pkg/FR-2019-03-21/pdf/2019-05338.pdfhttps://regulations.justia.com/regulations/fedreg/2019/03/20/2019-05220.htmlNotice - Self-Regulatory Organizations; The Options Clearing Corporation; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Revise The Options Clearing Corporation's Schedule of Fees2019-03-20T00:00:00-07:002019-03-20T00:00:00-07:002019-05220Noticehttps://www.govinfo.gov/content/pkg/FR-2019-03-20/pdf/2019-05220.pdfhttps://regulations.justia.com/regulations/fedreg/2019/03/20/2019-05219.htmlNotice - Self-Regulatory Organizations; Cboe BZX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating To Amend the Fee Schedule Applicable to Members and Non-Members of the Exchange Pursuant to BZX Rules 15.1(a) and (c)2019-03-20T00:00:00-07:002019-03-20T00:00:00-07:002019-05219Noticehttps://www.govinfo.gov/content/pkg/FR-2019-03-20/pdf/2019-05219.pdfhttps://regulations.justia.com/regulations/fedreg/2019/03/20/2019-05218.htmlNotice - Self-Regulatory Organizations; Cboe EDGA Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating To Amend the Fee Schedule Applicable to Members and Non-Members of the Exchange Pursuant to Exchange Rules 15.1(a) and (c)2019-03-20T00:00:00-07:002019-03-20T00:00:00-07:002019-05218Noticehttps://www.govinfo.gov/content/pkg/FR-2019-03-20/pdf/2019-05218.pdfhttps://regulations.justia.com/regulations/fedreg/2019/03/20/2019-05217.htmlNotice - Self-Regulatory Organizations; Miami International Securities Exchange LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Its Fee Schedule2019-03-20T00:00:00-07:002019-03-20T00:00:00-07:002019-05217Noticehttps://www.govinfo.gov/content/pkg/FR-2019-03-20/pdf/2019-05217.pdfhttps://regulations.justia.com/regulations/fedreg/2019/03/20/2019-05216.htmlNotice - Self-Regulatory Organizations; MIAX PEARL, LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the MIAX PEARL Fee Schedule2019-03-20T00:00:00-07:002019-03-20T00:00:00-07:002019-05216Noticehttps://www.govinfo.gov/content/pkg/FR-2019-03-20/pdf/2019-05216.pdfhttps://regulations.justia.com/regulations/fedreg/2019/03/20/2019-05215.htmlNotice - Self-Regulatory Organizations; MIAX Emerald, LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Adopt System Connectivity Fees2019-03-20T00:00:00-07:002019-03-20T00:00:00-07:002019-05215Noticehttps://www.govinfo.gov/content/pkg/FR-2019-03-20/pdf/2019-05215.pdfhttps://regulations.justia.com/regulations/fedreg/2019/03/20/2019-05214.htmlNotice - Self-Regulatory Organizations; Nasdaq ISE, LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Extend the Delay for Re-Introduction of Legging Functionality for Stock-Option Orders2019-03-20T00:00:00-07:002019-03-20T00:00:00-07:002019-05214Noticehttps://www.govinfo.gov/content/pkg/FR-2019-03-20/pdf/2019-05214.pdfhttps://regulations.justia.com/regulations/fedreg/2019/03/20/2019-05213.htmlNotice - Self-Regulatory Organizations; Miami International Securities Exchange, LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Its Fee Schedule2019-03-20T00:00:00-07:002019-03-20T00:00:00-07:002019-05213Noticehttps://www.govinfo.gov/content/pkg/FR-2019-03-20/pdf/2019-05213.pdfhttps://regulations.justia.com/regulations/fedreg/2019/03/20/2019-05212.htmlNotice - Self-Regulatory Organizations; Nasdaq MRX, LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to PIM Fees and Rebates2019-03-20T00:00:00-07:002019-03-20T00:00:00-07:002019-05212Noticehttps://www.govinfo.gov/content/pkg/FR-2019-03-20/pdf/2019-05212.pdfhttps://regulations.justia.com/regulations/fedreg/2019/03/20/2019-05211.htmlNotice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing of Proposed Rule Change To List and Trade Shares of the iShares Commodity Curve Carry Strategy ETF Under NYSE Arca Rule 8.600-E2019-03-20T00:00:00-07:002019-03-20T00:00:00-07:002019-05211Noticehttps://www.govinfo.gov/content/pkg/FR-2019-03-20/pdf/2019-05211.pdfhttps://regulations.justia.com/regulations/fedreg/2019/03/20/2019-05210.htmlNotice - 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 To Introduce a New Pricing Tier, Step Up Tier 42019-03-20T00:00:00-07:002019-03-20T00:00:00-07:002019-05210Noticehttps://www.govinfo.gov/content/pkg/FR-2019-03-20/pdf/2019-05210.pdfhttps://regulations.justia.com/regulations/fedreg/2019/03/19/2019-05200.htmlNotice - Sunshine Act Meetings2019-03-19T00:00:00-07:002019-03-19T00:00:00-07:002019-05200Noticehttps://www.govinfo.gov/content/pkg/FR-2019-03-19/pdf/2019-05200.pdfhttps://regulations.justia.com/regulations/fedreg/2019/03/19/2019-05168.htmlNotice - Lyft, Inc.2019-03-19T00:00:00-07:002019-03-19T00:00:00-07:002019-05168Noticehttps://www.govinfo.gov/content/pkg/FR-2019-03-19/pdf/2019-05168.pdfhttps://regulations.justia.com/regulations/fedreg/2019/03/19/2019-05092.htmlNotice - Self-Regulatory Organizations; Nasdaq ISE, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change to No Longer Offer Complex Order Quoting Functionality or Legging Functionality for Stock-Option Orders and To Make Other Changes to Chapter 72019-03-19T00:00:00-07:002019-03-19T00:00:00-07:002019-05092Noticehttps://www.govinfo.gov/content/pkg/FR-2019-03-19/pdf/2019-05092.pdfhttps://regulations.justia.com/regulations/fedreg/2019/03/19/2019-05091.htmlNotice - Self-Regulatory Organizations; Nasdaq ISE, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the Market Maker Plus Program2019-03-19T00:00:00-07:002019-03-19T00:00:00-07:002019-05091Noticehttps://www.govinfo.gov/content/pkg/FR-2019-03-19/pdf/2019-05091.pdfhttps://regulations.justia.com/regulations/fedreg/2019/03/19/2019-05090.htmlNotice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the NYSE Arca Options Fees and Charges and the NYSE Arca Equities Fees and Charges Related to Co-Location Services2019-03-19T00:00:00-07:002019-03-19T00:00:00-07:002019-05090Noticehttps://www.govinfo.gov/content/pkg/FR-2019-03-19/pdf/2019-05090.pdfhttps://regulations.justia.com/regulations/fedreg/2019/03/19/2019-05089.htmlNotice - Self-Regulatory Organizations; NYSE National, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Its Schedule of Fees and Rebates Related to Co-Location Services2019-03-19T00:00:00-07:002019-03-19T00:00:00-07:002019-05089Noticehttps://www.govinfo.gov/content/pkg/FR-2019-03-19/pdf/2019-05089.pdfhttps://regulations.justia.com/regulations/fedreg/2019/03/19/2019-05088.htmlNotice - Self-Regulatory Organizations; MIAX PEARL, LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the MIAX PEARL Fee Schedule2019-03-19T00:00:00-07:002019-03-19T00:00:00-07:002019-05088Noticehttps://www.govinfo.gov/content/pkg/FR-2019-03-19/pdf/2019-05088.pdfhttps://regulations.justia.com/regulations/fedreg/2019/03/19/2019-05087.htmlNotice - Self-Regulatory Organizations; The Nasdaq Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the Exchanges Pricing Schedule at Options 72019-03-19T00:00:00-07:002019-03-19T00:00:00-07:002019-05087Noticehttps://www.govinfo.gov/content/pkg/FR-2019-03-19/pdf/2019-05087.pdfhttps://regulations.justia.com/regulations/fedreg/2019/03/19/2019-05086.htmlNotice - Self-Regulatory Organizations; NYSE American LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Its NYSE American Equities Price List and the NYSE American Options Fee Schedule Related to Co-Location Services2019-03-19T00:00:00-07:002019-03-19T00:00:00-07:002019-05086Noticehttps://www.govinfo.gov/content/pkg/FR-2019-03-19/pdf/2019-05086.pdfhttps://regulations.justia.com/regulations/fedreg/2019/03/19/2019-05085.htmlNotice - Self-Regulatory Organizations; Miami International Securities Exchange, LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Its Fee Schedule2019-03-19T00:00:00-07:002019-03-19T00:00:00-07:002019-05085Noticehttps://www.govinfo.gov/content/pkg/FR-2019-03-19/pdf/2019-05085.pdfhttps://regulations.justia.com/regulations/fedreg/2019/03/19/2019-05084.htmlNotice - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the Exchange's Price List Related to Co-Location Services2019-03-19T00:00:00-07:002019-03-19T00:00:00-07:002019-05084Noticehttps://www.govinfo.gov/content/pkg/FR-2019-03-19/pdf/2019-05084.pdfhttps://regulations.justia.com/regulations/fedreg/2019/03/19/2019-05083.htmlNotice - Self-Regulatory Organizations; Nasdaq BX, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the Exchange's Transaction Fees at Equity 7, Section 118(a)2019-03-19T00:00:00-07:002019-03-19T00:00:00-07:002019-05083Noticehttps://www.govinfo.gov/content/pkg/FR-2019-03-19/pdf/2019-05083.pdfhttps://regulations.justia.com/regulations/fedreg/2019/03/18/2019-04949.htmlNotice - Self-Regulatory Organizations; NYSE Chicago, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Adopt Rules To Establish a Rule Numbering Framework in Connection With the Migration of the Exchange to the NYSE Pillar Platform2019-03-18T00:00:00-07:002019-03-18T00:00:00-07:002019-04949Noticehttps://www.govinfo.gov/content/pkg/FR-2019-03-18/pdf/2019-04949.pdfhttps://regulations.justia.com/regulations/fedreg/2019/03/18/2019-04947.htmlNotice - Self-Regulatory Organizations; BOX Exchange LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the BOX Fee Schedule2019-03-18T00:00:00-07:002019-03-18T00:00:00-07:002019-04947Noticehttps://www.govinfo.gov/content/pkg/FR-2019-03-18/pdf/2019-04947.pdfhttps://regulations.justia.com/regulations/fedreg/2019/03/18/2019-04946.htmlNotice - Self-Regulatory Organizations; Cboe Exchange, Inc.; Notice of Filing of a Proposed Rule Change To Allow $1 Strike Price Intervals Above $200 on Options on the QQQ and IWM Exchange-Traded Funds2019-03-18T00:00:00-07:002019-03-18T00:00:00-07:002019-04946Noticehttps://www.govinfo.gov/content/pkg/FR-2019-03-18/pdf/2019-04946.pdfhttps://regulations.justia.com/regulations/fedreg/2019/03/18/2019-04945.htmlNotice - Self-Regulatory Organizations; The Nasdaq Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Disseminate Abbreviated Order Imbalance Information Prior to Dissemination of the Order Imbalance Indicator2019-03-18T00:00:00-07:002019-03-18T00:00:00-07:002019-04945Noticehttps://www.govinfo.gov/content/pkg/FR-2019-03-18/pdf/2019-04945.pdfhttps://regulations.justia.com/regulations/fedreg/2019/03/15/2019-04809.htmlNotice - Self-Regulatory Organizations; The Depository Trust Company; Order Instituting 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 Utility2019-03-15T00:00:00-07:002019-03-15T00:00:00-07:002019-04809Noticehttps://www.govinfo.gov/content/pkg/FR-2019-03-15/pdf/2019-04809.pdfhttps://regulations.justia.com/regulations/fedreg/2019/03/15/2019-04808.htmlNotice - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Order Approving Proposed Rule Change Relating to FINRA Rule 4512 (Customer Account Information)2019-03-15T00:00:00-07:002019-03-15T00:00:00-07:002019-04808Noticehttps://www.govinfo.gov/content/pkg/FR-2019-03-15/pdf/2019-04808.pdfhttps://regulations.justia.com/regulations/fedreg/2019/03/15/2019-04806.htmlNotice - Self-Regulatory Organizations; Miami International Securities Exchange, LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Its Fee Schedule2019-03-15T00:00:00-07:002019-03-15T00:00:00-07:002019-04806Noticehttps://www.govinfo.gov/content/pkg/FR-2019-03-15/pdf/2019-04806.pdfhttps://regulations.justia.com/regulations/fedreg/2019/03/15/2019-04804.htmlNotice - O'Shaughnessy Asset Management, LLC, et al.2019-03-15T00:00:00-07:002019-03-15T00:00:00-07:002019-04804Noticehttps://www.govinfo.gov/content/pkg/FR-2019-03-15/pdf/2019-04804.pdfhttps://regulations.justia.com/regulations/fedreg/2019/03/15/2019-04800.htmlNotice - Order Making Fiscal Year 2019 Annual Adjustments to Transaction Fee Rates2019-03-15T00:00:00-07:002019-03-15T00:00:00-07:002019-04800Noticehttps://www.govinfo.gov/content/pkg/FR-2019-03-15/pdf/2019-04800.pdfhttps://regulations.justia.com/regulations/fedreg/2019/03/14/2019-04729.htmlNotice - Proposed Collection; Comment Request2019-03-14T00:00:00-07:002019-03-14T00:00:00-07:002019-04729Noticehttps://www.govinfo.gov/content/pkg/FR-2019-03-14/pdf/2019-04729.pdfhttps://regulations.justia.com/regulations/fedreg/2019/03/14/2019-04705.htmlNotice - Self-Regulatory Organizations; Cboe BZX Exchange, Inc.; Order Disapproving a Proposed Rule Change, as Modified by Amendment No. 1, To Amend BZX Rule 14.11(c) (Index Fund Shares)2019-03-14T00:00:00-07:002019-03-14T00:00:00-07:002019-04705Noticehttps://www.govinfo.gov/content/pkg/FR-2019-03-14/pdf/2019-04705.pdfhttps://regulations.justia.com/regulations/fedreg/2019/03/14/2019-04689.htmlNotice - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Rules 7.16, 7.18, 7.31, 7.34, 7.37, and 7.382019-03-14T00:00:00-07:002019-03-14T00:00:00-07:002019-04689Noticehttps://www.govinfo.gov/content/pkg/FR-2019-03-14/pdf/2019-04689.pdfhttps://regulations.justia.com/regulations/fedreg/2019/03/14/2019-04688.htmlNotice - Self-Regulatory Organizations; NYSE American LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Rules 7.16E, 7.18E, 7.31E, 7.34E, 7.35E, and 7.38E2019-03-14T00:00:00-07:002019-03-14T00:00:00-07:002019-04688Noticehttps://www.govinfo.gov/content/pkg/FR-2019-03-14/pdf/2019-04688.pdfhttps://regulations.justia.com/regulations/fedreg/2019/03/13/2019-04640.htmlNotice - American Beacon Sound Point Enhanced Income Fund, et al.2019-03-13T00:00:00-07:002019-03-13T00:00:00-07:002019-04640Noticehttps://www.govinfo.gov/content/pkg/FR-2019-03-13/pdf/2019-04640.pdfhttps://regulations.justia.com/regulations/fedreg/2019/03/13/2019-04599.htmlNotice - Investor Advisory Committee Meeting2019-03-13T00:00:00-07:002019-03-13T00:00:00-07:002019-04599Noticehttps://www.govinfo.gov/content/pkg/FR-2019-03-13/pdf/2019-04599.pdfhttps://regulations.justia.com/regulations/fedreg/2019/03/13/2019-04561.htmlNotice - Self-Regulatory Organizations; Cboe EDGX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the Bats Auction Mechanism (“BAM”)2019-03-13T00:00:00-07:002019-03-13T00:00:00-07:002019-04561Noticehttps://www.govinfo.gov/content/pkg/FR-2019-03-13/pdf/2019-04561.pdfhttps://regulations.justia.com/regulations/fedreg/2019/03/13/2019-04560.htmlNotice - Self-Regulatory Organizations; NYSE National, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Rules 7.16, 7.18, 7.31, 7.34, and 7.382019-03-13T00:00:00-07:002019-03-13T00:00:00-07:002019-04560Noticehttps://www.govinfo.gov/content/pkg/FR-2019-03-13/pdf/2019-04560.pdfhttps://regulations.justia.com/regulations/fedreg/2019/03/13/2019-04559.htmlNotice - Self-Regulatory Organizations; Nasdaq PHLX LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Option Floor Procedure Advice A-9 and Phlx Rules 1000 and 1066 and To Adopt a New Phlx Rule 10782019-03-13T00:00:00-07:002019-03-13T00:00:00-07:002019-04559Noticehttps://www.govinfo.gov/content/pkg/FR-2019-03-13/pdf/2019-04559.pdfhttps://regulations.justia.com/regulations/fedreg/2019/03/13/2019-04556.htmlNotice - Self-Regulatory Organizations; MIAX Emerald, LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Exchange Rule 203, Qualification and Registration of Members and Associated Persons2019-03-13T00:00:00-07:002019-03-13T00:00:00-07:002019-04556Noticehttps://www.govinfo.gov/content/pkg/FR-2019-03-13/pdf/2019-04556.pdfhttps://regulations.justia.com/regulations/fedreg/2019/03/13/2019-04555.htmlNotice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Rules 7.16-E, 7.18-E, 7.31-E, 7.34-E, 7.35-E, and 7.38-E2019-03-13T00:00:00-07:002019-03-13T00:00:00-07:002019-04555Noticehttps://www.govinfo.gov/content/pkg/FR-2019-03-13/pdf/2019-04555.pdfhttps://regulations.justia.com/regulations/fedreg/2019/03/13/2019-04552.htmlNotice - TigerShares Trust, et al.2019-03-13T00:00:00-07:002019-03-13T00:00:00-07:002019-04552Noticehttps://www.govinfo.gov/content/pkg/FR-2019-03-13/pdf/2019-04552.pdfhttps://regulations.justia.com/regulations/fedreg/2019/03/12/2019-04557.htmlNotice - Sunshine Act Meetings2019-03-12T00:00:00-07:002019-03-12T00:00:00-07:002019-04557Noticehttps://www.govinfo.gov/content/pkg/FR-2019-03-12/pdf/2019-04557.pdfhttps://regulations.justia.com/regulations/fedreg/2019/03/12/2019-04425.htmlNotice - Self-Regulatory Organizations; Cboe C2 Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Modify its Provision Related to its Risk Monitor Mechanism2019-03-12T00:00:00-07:002019-03-12T00:00:00-07:002019-04425Noticehttps://www.govinfo.gov/content/pkg/FR-2019-03-12/pdf/2019-04425.pdfhttps://regulations.justia.com/regulations/fedreg/2019/03/12/2019-04424.htmlNotice - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Adjust Its Annual Fee Requirements for Listed Companies for Any Calendar Year in Which a Listed Company Consummates a Reverse Stock Split2019-03-12T00:00:00-07:002019-03-12T00:00:00-07:002019-04424Noticehttps://www.govinfo.gov/content/pkg/FR-2019-03-12/pdf/2019-04424.pdfhttps://regulations.justia.com/regulations/fedreg/2019/03/12/2019-04423.htmlNotice - Self-Regulatory Organizations; MIAX Emerald, LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Establish an Options Regulatory Fee2019-03-12T00:00:00-07:002019-03-12T00:00:00-07:002019-04423Noticehttps://www.govinfo.gov/content/pkg/FR-2019-03-12/pdf/2019-04423.pdfhttps://regulations.justia.com/regulations/fedreg/2019/03/12/2019-04422.htmlNotice - Self-Regulatory Organizations; Investors Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Postpone Implementation of a Rule Change To Reject Market Orders With a Time-in-Force of DAY That are Entered in the Pre-Market Session for Non-IEX-Listed Securities2019-03-12T00:00:00-07:002019-03-12T00:00:00-07:002019-04422Noticehttps://www.govinfo.gov/content/pkg/FR-2019-03-12/pdf/2019-04422.pdfhttps://regulations.justia.com/regulations/fedreg/2019/03/12/2019-04421.htmlNotice - Self-Regulatory Organizations; Cboe EDGX Exchange, Inc.; Notice of Filing of a Proposed Rule Change To Adopt Rule 21.21 (Solicitation Auction Mechanism)2019-03-12T00:00:00-07:002019-03-12T00:00:00-07:002019-04421Noticehttps://www.govinfo.gov/content/pkg/FR-2019-03-12/pdf/2019-04421.pdfhttps://regulations.justia.com/regulations/fedreg/2019/03/11/2019-04289.htmlNotice - Macquarie Global Infrastructure Total Return Fund Inc., et al.2019-03-11T00:00:00-07:002019-03-11T00:00:00-07:002019-04289Noticehttps://www.govinfo.gov/content/pkg/FR-2019-03-11/pdf/2019-04289.pdfhttps://regulations.justia.com/regulations/fedreg/2019/03/11/2019-04286.htmlNotice - Self-Regulatory Organizations; ICE Clear Europe Limited; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Amendments to the Clearing Rules (the “Rules”)2019-03-11T00:00:00-07:002019-03-11T00:00:00-07:002019-04286Noticehttps://www.govinfo.gov/content/pkg/FR-2019-03-11/pdf/2019-04286.pdfhttps://regulations.justia.com/regulations/fedreg/2019/03/11/2019-04285.htmlNotice - Self-Regulatory Organizations; NYSE Chicago, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the Fee Schedule of the Exchange2019-03-11T00:00:00-07:002019-03-11T00:00:00-07:002019-04285Noticehttps://www.govinfo.gov/content/pkg/FR-2019-03-11/pdf/2019-04285.pdfhttps://regulations.justia.com/regulations/fedreg/2019/03/08/2019-04265.htmlNotice - BlackRock Credit Strategies Fund, et al.2019-03-08T00:00:00-08:002019-03-08T00:00:00-08:002019-04265Noticehttps://www.govinfo.gov/content/pkg/FR-2019-03-08/pdf/2019-04265.pdfhttps://regulations.justia.com/regulations/fedreg/2019/03/08/2019-04172.htmlNotice - Self-Regulatory Organizations; NYSE Arca, Inc.; Order Granting Approval of a Proposed Rule Change, as Modified by Amendment Nos. 1 and 2, Regarding Certain Changes Relating to Investments of the PGIM Active High Yield Bond ETF2019-03-08T00:00:00-08:002019-03-08T00:00:00-08:002019-04172Noticehttps://www.govinfo.gov/content/pkg/FR-2019-03-08/pdf/2019-04172.pdfhttps://regulations.justia.com/regulations/fedreg/2019/03/07/2019-04087.htmlNotice - 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 Program2019-03-07T00:00:00-08:002019-03-07T00:00:00-08:002019-04087Noticehttps://www.govinfo.gov/content/pkg/FR-2019-03-07/pdf/2019-04087.pdfhttps://regulations.justia.com/regulations/fedreg/2019/03/07/2019-04086.htmlNotice - Self-Regulatory Organizations; Cboe BZX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the Fee Schedule Applicable to Members and Non-Members of the Exchange Pursuant to BZX Rules 15.1(a) and (c)2019-03-07T00:00:00-08:002019-03-07T00:00:00-08:002019-04086Noticehttps://www.govinfo.gov/content/pkg/FR-2019-03-07/pdf/2019-04086.pdfhttps://regulations.justia.com/regulations/fedreg/2019/03/07/2019-04085.htmlNotice - Self-Regulatory Organizations; ICE Clear Europe Limited; Order Approving Proposed Rule Change Relating to Amendments to the ICE Clear Europe CDS Risk Policy (the “CDS Risk Policy”), CDS Clearing Back-Testing Policy (the “Back-Testing Policy”) and CDS Stress-Testing Policy (the “Stress-Testing Policy”) (Collectively, the “CDS Policies”)2019-03-07T00:00:00-08:002019-03-07T00:00:00-08:002019-04085Noticehttps://www.govinfo.gov/content/pkg/FR-2019-03-07/pdf/2019-04085.pdfhttps://regulations.justia.com/regulations/fedreg/2019/03/07/2019-04084.htmlNotice - Joint Industry Plan; Notice of Filing and Immediate Effectiveness of Amendment to the Plan Governing the Consolidated Audit Trail To Add MIAX Emerald LLC, as a Participant2019-03-07T00:00:00-08:002019-03-07T00:00:00-08:002019-04084Noticehttps://www.govinfo.gov/content/pkg/FR-2019-03-07/pdf/2019-04084.pdfhttps://regulations.justia.com/regulations/fedreg/2019/03/07/2019-04083.htmlNotice - Joint Industry Plan; Notice of Filing and Immediate Effectiveness of Amendment to the Options Order Protection and Locked/Crossed Market Plan To Add MIAX Emerald, LLC, as a Participant2019-03-07T00:00:00-08:002019-03-07T00:00:00-08:002019-04083Noticehttps://www.govinfo.gov/content/pkg/FR-2019-03-07/pdf/2019-04083.pdfhttps://regulations.justia.com/regulations/fedreg/2019/03/07/2019-04082.htmlNotice - Joint Industry Plan; Notice of Filing and Immediate Effectiveness of Amendment to the Plan for the Purpose of Developing and Implementing Procedures Designed To Facilitate the Listing and Trading of Standardized Options To Add MIAX Emerald, LLC as a Plan Sponsor2019-03-07T00:00:00-08:002019-03-07T00:00:00-08:002019-04082Noticehttps://www.govinfo.gov/content/pkg/FR-2019-03-07/pdf/2019-04082.pdfhttps://regulations.justia.com/regulations/fedreg/2019/03/07/2019-04079.htmlNotice - Notice of Intent To Cancel Registration of Certain Municipal Advisors Pursuant to Section 15b(C)(3) of the Securities Exchange Act of 19342019-03-07T00:00:00-08:002019-03-07T00:00:00-08:002019-04079Noticehttps://www.govinfo.gov/content/pkg/FR-2019-03-07/pdf/2019-04079.pdfhttps://regulations.justia.com/regulations/fedreg/2019/03/07/2019-04078.htmlNotice - Infusive US Trust, et al.; Notice of Application2019-03-07T00:00:00-08:002019-03-07T00:00:00-08:002019-04078Noticehttps://www.govinfo.gov/content/pkg/FR-2019-03-07/pdf/2019-04078.pdfhttps://regulations.justia.com/regulations/fedreg/2019/03/06/2019-04008.htmlNotice - Submission for OMB Review; Comment Request2019-03-06T00:00:00-08:002019-03-06T00:00:00-08:002019-04008Noticehttps://www.govinfo.gov/content/pkg/FR-2019-03-06/pdf/2019-04008.pdfhttps://regulations.justia.com/regulations/fedreg/2019/03/06/2019-04007.htmlNotice - Submission for OMB Review; Comment Request2019-03-06T00:00:00-08:002019-03-06T00:00:00-08:002019-04007Noticehttps://www.govinfo.gov/content/pkg/FR-2019-03-06/pdf/2019-04007.pdfhttps://regulations.justia.com/regulations/fedreg/2019/03/06/2019-04006.htmlNotice - Self-Regulatory Organizations; Cboe BZX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating To Allow the Addition of New Series of Options on an Individual Stock Until the Close of Trading on the Business Day Prior to Expiration in Unusual Market Conditions2019-03-06T00:00:00-08:002019-03-06T00:00:00-08:002019-04006Noticehttps://www.govinfo.gov/content/pkg/FR-2019-03-06/pdf/2019-04006.pdfhttps://regulations.justia.com/regulations/fedreg/2019/03/06/2019-03992.htmlNotice - Self-Regulatory Organizations; Municipal Securities Rulemaking Board; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Rule G-21, on Advertising by Brokers, Dealers and Municipal Securities Dealers, Rule G-40, on Advertising by Municipal Advisors, and Rule G-8, on Books and Records2019-03-06T00:00:00-08:002019-03-06T00:00:00-08:002019-03992Noticehttps://www.govinfo.gov/content/pkg/FR-2019-03-06/pdf/2019-03992.pdfhttps://regulations.justia.com/regulations/fedreg/2019/03/06/2019-03991.htmlNotice - Self-Regulatory Organizations; Miami International Securities Exchange, LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Exchange Rule 503, Openings on the Exchange, and Exchange Rule 515, Execution of Orders and Quotes2019-03-06T00:00:00-08:002019-03-06T00:00:00-08:002019-03991Noticehttps://www.govinfo.gov/content/pkg/FR-2019-03-06/pdf/2019-03991.pdfhttps://regulations.justia.com/regulations/fedreg/2019/03/06/2019-03990.htmlNotice - Self-Regulatory Organizations; Cboe EDGX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating To Allow the Addition of New Series of Options on an Individual Stock Until the Close of Trading on the Business Day Prior to Expiration in Unusual Market Conditions2019-03-06T00:00:00-08:002019-03-06T00:00:00-08:002019-03990Noticehttps://www.govinfo.gov/content/pkg/FR-2019-03-06/pdf/2019-03990.pdfhttps://regulations.justia.com/regulations/fedreg/2019/03/06/2019-03989.htmlNotice - Self-Regulatory Organizations; Municipal Securities Rulemaking Board; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Consisting of Interpretive Guidance About Frequently Asked Questions Regarding the Use of Social Media Under the MSRB's Advertising Rules2019-03-06T00:00:00-08:002019-03-06T00:00:00-08:002019-03989Noticehttps://www.govinfo.gov/content/pkg/FR-2019-03-06/pdf/2019-03989.pdfhttps://regulations.justia.com/regulations/fedreg/2019/03/06/2019-03983.htmlNotice - Self-Regulatory Organizations; MIAX Emerald, LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Exchange Rule 503, Openings on the Exchange, and Rule 515, Execution of Orders and Quotes, In Order To Harmonize Its Rule To the Rules of MIAX Options2019-03-06T00:00:00-08:002019-03-06T00:00:00-08:002019-03983Noticehttps://www.govinfo.gov/content/pkg/FR-2019-03-06/pdf/2019-03983.pdfhttps://regulations.justia.com/regulations/fedreg/2019/03/06/2019-03982.htmlNotice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing of Proposed Rule Change To Amend Commentary .01 to NYSE Arca Rule 8.600-E Relating to Generic Listing Standards for Managed Fund Shares Applicable To Holdings in Fixed Income Securities2019-03-06T00:00:00-08:002019-03-06T00:00:00-08:002019-03982Noticehttps://www.govinfo.gov/content/pkg/FR-2019-03-06/pdf/2019-03982.pdfhttps://regulations.justia.com/regulations/fedreg/2019/03/06/2019-03958.htmlRule - Amendments to the Timing Requirements for Filing Reports on Form N-Port2019-03-06T00:00:00-08:002019-03-06T00:00:00-08:002019-03958Rulehttps://www.govinfo.gov/content/pkg/FR-2019-03-06/pdf/2019-03958.pdfhttps://regulations.justia.com/regulations/fedreg/2019/03/05/2019-03974.htmlNotice - Sunshine Act Meetings2019-03-05T00:00:00-08:002019-03-05T00:00:00-08:002019-03974Noticehttps://www.govinfo.gov/content/pkg/FR-2019-03-05/pdf/2019-03974.pdfhttps://regulations.justia.com/regulations/fedreg/2019/03/05/2019-03893.htmlNotice - Self-Regulatory Organizations; Nasdaq PHLX LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Terms of Index Option Contracts2019-03-05T00:00:00-08:002019-03-05T00:00:00-08:002019-03893Noticehttps://www.govinfo.gov/content/pkg/FR-2019-03-05/pdf/2019-03893.pdfhttps://regulations.justia.com/regulations/fedreg/2019/03/05/2019-03892.htmlNotice - Self-Regulatory Organizations; Nasdaq BX, Inc.; Notice of Withdrawal of a Proposed Rule Change To Amend the Exchange's Port Fee Schedule2019-03-05T00:00:00-08:002019-03-05T00:00:00-08:002019-03892Noticehttps://www.govinfo.gov/content/pkg/FR-2019-03-05/pdf/2019-03892.pdfhttps://regulations.justia.com/regulations/fedreg/2019/03/05/2019-03891.htmlNotice - Self-Regulatory Organizations; MIAX Emerald, LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Exchange Rule 602, Appointment of Market Makers2019-03-05T00:00:00-08:002019-03-05T00:00:00-08:002019-03891Noticehttps://www.govinfo.gov/content/pkg/FR-2019-03-05/pdf/2019-03891.pdfhttps://regulations.justia.com/regulations/fedreg/2019/03/05/2019-03890.htmlNotice - Self-Regulatory Organizations; Municipal Securities Rulemaking Board; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to the MSRB's Facility for the Short-Term Obligation Rate Transparency (SHORT) System To Modernize and Consolidate the Information Facility for the SHORT System2019-03-05T00:00:00-08:002019-03-05T00:00:00-08:002019-03890Noticehttps://www.govinfo.gov/content/pkg/FR-2019-03-05/pdf/2019-03890.pdfhttps://regulations.justia.com/regulations/fedreg/2019/03/05/2019-03887.htmlNotice - Self-Regulatory Organizations; Nasdaq PHLX LLC; Notice of Withdrawal of a Proposed Rule Change To Amend the Exchange's Port Fee Schedule2019-03-05T00:00:00-08:002019-03-05T00:00:00-08:002019-03887Noticehttps://www.govinfo.gov/content/pkg/FR-2019-03-05/pdf/2019-03887.pdfhttps://regulations.justia.com/regulations/fedreg/2019/03/05/2019-03886.htmlNotice - Self-Regulatory Organizations; Cboe Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating To Allow the Addition of New Series of Options on an Individual Stock Until the Close of Trading on the Business Day Prior to Expiration in Unusual Market Conditions2019-03-05T00:00:00-08:002019-03-05T00:00:00-08:002019-03886Noticehttps://www.govinfo.gov/content/pkg/FR-2019-03-05/pdf/2019-03886.pdfhttps://regulations.justia.com/regulations/fedreg/2019/03/05/2019-03883.htmlNotice - Self-Regulatory Organizations; Nasdaq ISE, LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Certain Expiration Timeframes in ISE Rule 20092019-03-05T00:00:00-08:002019-03-05T00:00:00-08:002019-03883Noticehttps://www.govinfo.gov/content/pkg/FR-2019-03-05/pdf/2019-03883.pdfhttps://regulations.justia.com/regulations/fedreg/2019/03/05/2019-03881.htmlNotice - Self-Regulatory Organizations; MIAX Emerald, LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Establish MIAX Emerald Top of Market (“ToM”) Data Feed, MIAX Emerald Complex Top of Market (“cToM”) Data Feed, MIAX Emerald Administrative Information Subscriber (“AIS”) Data Feed, and MIAX Emerald Order Feed (“MOR”)2019-03-05T00:00:00-08:002019-03-05T00:00:00-08:002019-03881Noticehttps://www.govinfo.gov/content/pkg/FR-2019-03-05/pdf/2019-03881.pdfhttps://regulations.justia.com/regulations/fedreg/2019/03/05/2019-03879.htmlNotice - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Order Approving Proposed Rule Change Relating to FINRA Rule 4570 (Custodian of Books and Records)2019-03-05T00:00:00-08:002019-03-05T00:00:00-08:002019-03879Noticehttps://www.govinfo.gov/content/pkg/FR-2019-03-05/pdf/2019-03879.pdfhttps://regulations.justia.com/regulations/fedreg/2019/03/04/2019-03736.htmlNotice - Order Granting Applications by Nasdaq BX, Inc. and Nasdaq PHLX LLC for Exemption Pursuant to Section 36(a) of the Exchange Act From the Rule Filing Requirements of Section 19(b) of the Exchange Act With Respect to Certain Order Audit Trail System Rules Incorporated by Reference2019-03-04T00:00:00-08:002019-03-04T00:00:00-08:002019-03736Noticehttps://www.govinfo.gov/content/pkg/FR-2019-03-04/pdf/2019-03736.pdfhttps://regulations.justia.com/regulations/fedreg/2019/03/01/2019-03706.htmlNotice - Self-Regulatory Organizations; BOX Exchange LLC; Notice of Filing of a Proposed Rule Change To Amend the Fee Schedule on the BOX Market LLC (“BOX”) Options Facility To Establish BOX Connectivity Fees for Participants and Non-Participants Who Connect to the BOX Network; Suspension of and Order Instituting Proceedings To Determine Whether To Approve or Disapprove the Proposed Rule Change2019-03-01T00:00:00-08:002019-03-01T00:00:00-08:002019-03706Noticehttps://www.govinfo.gov/content/pkg/FR-2019-03-01/pdf/2019-03706.pdfhttps://regulations.justia.com/regulations/fedreg/2019/03/01/2019-03705.htmlNotice - Self-Regulatory Organizations; Cboe EDGX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Rule 20.6 To Apply the Obvious Error Rule to Stock-Option Orders, and To Amend Rules 21.1(d) and 21.20 To Add Qualified Contingent Cross With Stock Order Functionality2019-03-01T00:00:00-08:002019-03-01T00:00:00-08:002019-03705Noticehttps://www.govinfo.gov/content/pkg/FR-2019-03-01/pdf/2019-03705.pdfhttps://regulations.justia.com/regulations/fedreg/2019/03/01/2019-03632.htmlNotice - Self-Regulatory Organizations; Cboe C2 Exchange, Inc.; Order Approving a Proposed Rule Change To Provide for the Trading of Complex Reserve Orders2019-03-01T00:00:00-08:002019-03-01T00:00:00-08:002019-03632Noticehttps://www.govinfo.gov/content/pkg/FR-2019-03-01/pdf/2019-03632.pdfhttps://regulations.justia.com/regulations/fedreg/2019/03/01/2019-03631.htmlNotice - Self-Regulatory Organizations; NYSE Chicago, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the Rules of the Exchange To Adopt Article 1, Rule 52019-03-01T00:00:00-08:002019-03-01T00:00:00-08:002019-03631Noticehttps://www.govinfo.gov/content/pkg/FR-2019-03-01/pdf/2019-03631.pdfhttps://regulations.justia.com/regulations/fedreg/2019/03/01/2019-03625.htmlNotice - Self-Regulatory Organizations; ICE Clear Europe Limited; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Amendments to the ICE Clear Europe Delivery Procedures2019-03-01T00:00:00-08:002019-03-01T00:00:00-08:002019-03625Noticehttps://www.govinfo.gov/content/pkg/FR-2019-03-01/pdf/2019-03625.pdfhttps://regulations.justia.com/regulations/fedreg/2019/03/01/2019-03624.htmlNotice - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Enhance the Content of the NYSE Trades Market Data Product Offering2019-03-01T00:00:00-08:002019-03-01T00:00:00-08:002019-03624Noticehttps://www.govinfo.gov/content/pkg/FR-2019-03-01/pdf/2019-03624.pdfhttps://regulations.justia.com/regulations/fedreg/2019/03/01/2019-03623.htmlNotice - Self-Regulatory Organizations; The Nasdaq Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Communications With the Public2019-03-01T00:00:00-08:002019-03-01T00:00:00-08:002019-03623Noticehttps://www.govinfo.gov/content/pkg/FR-2019-03-01/pdf/2019-03623.pdfhttps://regulations.justia.com/regulations/fedreg/2019/03/01/2019-03584.htmlNotice - Program for Allocation of Regulatory Responsibilities Pursuant to Rule 17d-2; Order Approving Proposed Amended Plan for the Allocation of Regulatory Responsibilities Among the Financial Industry Regulatory Authority, Inc., Miami International Securities Exchange, LLC, MIAX PEARL, LLC, and MIAX Emerald, LLC2019-03-01T00:00:00-08:002019-03-01T00:00:00-08:002019-03584Noticehttps://www.govinfo.gov/content/pkg/FR-2019-03-01/pdf/2019-03584.pdf