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

Self-Regulatory Organizations; MIAX Emerald, LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Adopt System Connectivity Fees

Document Number: 2019-05215

Type: Notice

Date: 2019-03-20

Agency: Securities and Exchange Commission, Agencies and Commissions

https://regulations.justia.com/regulations/fedreg/2019/03/20/2019-05215.html

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 Orders

Document Number: 2019-05214

Type: Notice

Date: 2019-03-20

Agency: Securities and Exchange Commission, Agencies and Commissions

https://regulations.justia.com/regulations/fedreg/2019/03/20/2019-05214.html

Self-Regulatory Organizations; Miami International Securities Exchange, LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Its Fee Schedule

Document Number: 2019-05213

Type: Notice

Date: 2019-03-20

Agency: Securities and Exchange Commission, Agencies and Commissions

https://regulations.justia.com/regulations/fedreg/2019/03/20/2019-05213.html

Self-Regulatory Organizations; Nasdaq MRX, LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to PIM Fees and Rebates

Document Number: 2019-05212

Type: Notice

Date: 2019-03-20

Agency: Securities and Exchange Commission, Agencies and Commissions

https://regulations.justia.com/regulations/fedreg/2019/03/20/2019-05212.html

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-E

Document Number: 2019-05211

Type: Notice

Date: 2019-03-20

Agency: Securities and Exchange Commission, Agencies and Commissions

https://regulations.justia.com/regulations/fedreg/2019/03/20/2019-05211.html

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 4

Document Number: 2019-05210

Type: Notice

Date: 2019-03-20

Agency: Securities and Exchange Commission, Agencies and Commissions

https://regulations.justia.com/regulations/fedreg/2019/03/20/2019-05210.html

Sunshine Act Meetings

Document Number: 2019-05200

Type: Notice

Date: 2019-03-19

Agency: Securities and Exchange Commission, Agencies and Commissions

https://regulations.justia.com/regulations/fedreg/2019/03/19/2019-05200.html

Lyft, Inc.

Document Number: 2019-05168

Type: Notice

Date: 2019-03-19

Agency: Securities and Exchange Commission, Agencies and Commissions

https://regulations.justia.com/regulations/fedreg/2019/03/19/2019-05168.html

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 7

Document Number: 2019-05092

Type: Notice

Date: 2019-03-19

Agency: Securities and Exchange Commission, Agencies and Commissions

https://regulations.justia.com/regulations/fedreg/2019/03/19/2019-05092.html

Self-Regulatory Organizations; Nasdaq ISE, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the Market Maker Plus Program

Document Number: 2019-05091

Type: Notice

Date: 2019-03-19

Agency: Securities and Exchange Commission, Agencies and Commissions

https://regulations.justia.com/regulations/fedreg/2019/03/19/2019-05091.html

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 Services

Document Number: 2019-05090

Type: Notice

Date: 2019-03-19

Agency: Securities and Exchange Commission, Agencies and Commissions

https://regulations.justia.com/regulations/fedreg/2019/03/19/2019-05090.html

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 Services

Document Number: 2019-05089

Type: Notice

Date: 2019-03-19

Agency: Securities and Exchange Commission, Agencies and Commissions

https://regulations.justia.com/regulations/fedreg/2019/03/19/2019-05089.html

Self-Regulatory Organizations; MIAX PEARL, LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the MIAX PEARL Fee Schedule

Document Number: 2019-05088

Type: Notice

Date: 2019-03-19

Agency: Securities and Exchange Commission, Agencies and Commissions

https://regulations.justia.com/regulations/fedreg/2019/03/19/2019-05088.html

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 7

Document Number: 2019-05087

Type: Notice

Date: 2019-03-19

Agency: Securities and Exchange Commission, Agencies and Commissions

https://regulations.justia.com/regulations/fedreg/2019/03/19/2019-05087.html

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 Services

Document Number: 2019-05086

Type: Notice

Date: 2019-03-19

Agency: Securities and Exchange Commission, Agencies and Commissions

https://regulations.justia.com/regulations/fedreg/2019/03/19/2019-05086.html

Self-Regulatory Organizations; Miami International Securities Exchange, LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Its Fee Schedule

Document Number: 2019-05085

Type: Notice

Date: 2019-03-19

Agency: Securities and Exchange Commission, Agencies and Commissions

https://regulations.justia.com/regulations/fedreg/2019/03/19/2019-05085.html

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 Services

Document Number: 2019-05084

Type: Notice

Date: 2019-03-19

Agency: Securities and Exchange Commission, Agencies and Commissions

https://regulations.justia.com/regulations/fedreg/2019/03/19/2019-05084.html

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)

Document Number: 2019-05083

Type: Notice

Date: 2019-03-19

Agency: Securities and Exchange Commission, Agencies and Commissions

https://regulations.justia.com/regulations/fedreg/2019/03/19/2019-05083.html

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 Platform

Document Number: 2019-04949

Type: Notice

Date: 2019-03-18

Agency: Securities and Exchange Commission, Agencies and Commissions

https://regulations.justia.com/regulations/fedreg/2019/03/18/2019-04949.html

Self-Regulatory Organizations; BOX Exchange LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the BOX Fee Schedule

Document Number: 2019-04947

Type: Notice

Date: 2019-03-18

Agency: Securities and Exchange Commission, Agencies and Commissions

https://regulations.justia.com/regulations/fedreg/2019/03/18/2019-04947.html

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 Funds

Document Number: 2019-04946

Type: Notice

Date: 2019-03-18

Agency: Securities and Exchange Commission, Agencies and Commissions

https://regulations.justia.com/regulations/fedreg/2019/03/18/2019-04946.html

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 Indicator

Document Number: 2019-04945

Type: Notice

Date: 2019-03-18

Agency: Securities and Exchange Commission, Agencies and Commissions

https://regulations.justia.com/regulations/fedreg/2019/03/18/2019-04945.html

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 Utility

Document Number: 2019-04809

Type: Notice

Date: 2019-03-15

Agency: Securities and Exchange Commission, Agencies and Commissions

https://regulations.justia.com/regulations/fedreg/2019/03/15/2019-04809.html

Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Order Approving Proposed Rule Change Relating to FINRA Rule 4512 (Customer Account Information)

Document Number: 2019-04808

Type: Notice

Date: 2019-03-15

Agency: Securities and Exchange Commission, Agencies and Commissions

https://regulations.justia.com/regulations/fedreg/2019/03/15/2019-04808.html

Self-Regulatory Organizations; Miami International Securities Exchange, LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Its Fee Schedule

Document Number: 2019-04806

Type: Notice

Date: 2019-03-15

Agency: Securities and Exchange Commission, Agencies and Commissions

https://regulations.justia.com/regulations/fedreg/2019/03/15/2019-04806.html

O'Shaughnessy Asset Management, LLC, et al.

Document Number: 2019-04804

Type: Notice

Date: 2019-03-15

Agency: Securities and Exchange Commission, Agencies and Commissions

https://regulations.justia.com/regulations/fedreg/2019/03/15/2019-04804.html

Order Making Fiscal Year 2019 Annual Adjustments to Transaction Fee Rates

Document Number: 2019-04800

Type: Notice

Date: 2019-03-15

Agency: Securities and Exchange Commission, Agencies and Commissions

https://regulations.justia.com/regulations/fedreg/2019/03/15/2019-04800.html

Proposed Collection; Comment Request

Document Number: 2019-04729

Type: Notice

Date: 2019-03-14

Agency: Securities and Exchange Commission, Agencies and Commissions

https://regulations.justia.com/regulations/fedreg/2019/03/14/2019-04729.html

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)

Document Number: 2019-04705

Type: Notice

Date: 2019-03-14

Agency: Securities and Exchange Commission, Agencies and Commissions

https://regulations.justia.com/regulations/fedreg/2019/03/14/2019-04705.html

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 7.38

Document Number: 2019-04689

Type: Notice

Date: 2019-03-14

Agency: Securities and Exchange Commission, Agencies and Commissions

https://regulations.justia.com/regulations/fedreg/2019/03/14/2019-04689.html

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 7.38E

Document Number: 2019-04688

Type: Notice

Date: 2019-03-14

Agency: Securities and Exchange Commission, Agencies and Commissions

https://regulations.justia.com/regulations/fedreg/2019/03/14/2019-04688.html

American Beacon Sound Point Enhanced Income Fund, et al.

Document Number: 2019-04640

Type: Notice

Date: 2019-03-13

Agency: Securities and Exchange Commission, Agencies and Commissions

https://regulations.justia.com/regulations/fedreg/2019/03/13/2019-04640.html

Investor Advisory Committee Meeting

Document Number: 2019-04599

Type: Notice

Date: 2019-03-13

Agency: Securities and Exchange Commission, Agencies and Commissions

The Securities and Exchange Commission Investor Advisory Committee, established pursuant to Section 911 of the Dodd-Frank Wall Street Reform and Consumer Protection Act of 2010, is providing notice that it will hold a public meeting. The public is invited to submit written statements to the Committee.

https://regulations.justia.com/regulations/fedreg/2019/03/13/2019-04599.html

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”)

Document Number: 2019-04561

Type: Notice

Date: 2019-03-13

Agency: Securities and Exchange Commission, Agencies and Commissions

https://regulations.justia.com/regulations/fedreg/2019/03/13/2019-04561.html

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 7.38

Document Number: 2019-04560

Type: Notice

Date: 2019-03-13

Agency: Securities and Exchange Commission, Agencies and Commissions

https://regulations.justia.com/regulations/fedreg/2019/03/13/2019-04560.html

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 1078

Document Number: 2019-04559

Type: Notice

Date: 2019-03-13

Agency: Securities and Exchange Commission, Agencies and Commissions

https://regulations.justia.com/regulations/fedreg/2019/03/13/2019-04559.html

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 Persons

Document Number: 2019-04556

Type: Notice

Date: 2019-03-13

Agency: Securities and Exchange Commission, Agencies and Commissions

https://regulations.justia.com/regulations/fedreg/2019/03/13/2019-04556.html

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-E

Document Number: 2019-04555

Type: Notice

Date: 2019-03-13

Agency: Securities and Exchange Commission, Agencies and Commissions

https://regulations.justia.com/regulations/fedreg/2019/03/13/2019-04555.html

TigerShares Trust, et al.

Document Number: 2019-04552

Type: Notice

Date: 2019-03-13

Agency: Securities and Exchange Commission, Agencies and Commissions

https://regulations.justia.com/regulations/fedreg/2019/03/13/2019-04552.html

Sunshine Act Meetings

Document Number: 2019-04557

Type: Notice

Date: 2019-03-12

Agency: Securities and Exchange Commission, Agencies and Commissions

https://regulations.justia.com/regulations/fedreg/2019/03/12/2019-04557.html

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 Mechanism

Document Number: 2019-04425

Type: Notice

Date: 2019-03-12

Agency: Securities and Exchange Commission, Agencies and Commissions

https://regulations.justia.com/regulations/fedreg/2019/03/12/2019-04425.html

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 Split

Document Number: 2019-04424

Type: Notice

Date: 2019-03-12

Agency: Securities and Exchange Commission, Agencies and Commissions

https://regulations.justia.com/regulations/fedreg/2019/03/12/2019-04424.html

Self-Regulatory Organizations; MIAX Emerald, LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Establish an Options Regulatory Fee

Document Number: 2019-04423

Type: Notice

Date: 2019-03-12

Agency: Securities and Exchange Commission, Agencies and Commissions

https://regulations.justia.com/regulations/fedreg/2019/03/12/2019-04423.html

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 Securities

Document Number: 2019-04422

Type: Notice

Date: 2019-03-12

Agency: Securities and Exchange Commission, Agencies and Commissions

https://regulations.justia.com/regulations/fedreg/2019/03/12/2019-04422.html

Self-Regulatory Organizations; Cboe EDGX Exchange, Inc.; Notice of Filing of a Proposed Rule Change To Adopt Rule 21.21 (Solicitation Auction Mechanism)

Document Number: 2019-04421

Type: Notice

Date: 2019-03-12

Agency: Securities and Exchange Commission, Agencies and Commissions

https://regulations.justia.com/regulations/fedreg/2019/03/12/2019-04421.html

Macquarie Global Infrastructure Total Return Fund Inc., et al.

Document Number: 2019-04289

Type: Notice

Date: 2019-03-11

Agency: Securities and Exchange Commission, Agencies and Commissions

https://regulations.justia.com/regulations/fedreg/2019/03/11/2019-04289.html

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”)

Document Number: 2019-04286

Type: Notice

Date: 2019-03-11

Agency: Securities and Exchange Commission, Agencies and Commissions

https://regulations.justia.com/regulations/fedreg/2019/03/11/2019-04286.html

Self-Regulatory Organizations; NYSE Chicago, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the Fee Schedule of the Exchange

Document Number: 2019-04285

Type: Notice

Date: 2019-03-11

Agency: Securities and Exchange Commission, Agencies and Commissions

https://regulations.justia.com/regulations/fedreg/2019/03/11/2019-04285.html

BlackRock Credit Strategies Fund, et al.

Document Number: 2019-04265

Type: Notice

Date: 2019-03-08

Agency: Securities and Exchange Commission, Agencies and Commissions

https://regulations.justia.com/regulations/fedreg/2019/03/08/2019-04265.html

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 ETF

Document Number: 2019-04172

Type: Notice

Date: 2019-03-08

Agency: Securities and Exchange Commission, Agencies and Commissions

https://regulations.justia.com/regulations/fedreg/2019/03/08/2019-04172.html