<![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/2019/04/15?registers=between Fri, 15 Aug 2025 21:52:42 -0700 Fri, 15 Aug 2025 21:52:42 -0700 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/2019/04/15?registers=between Notice - Self-Regulatory Organizations; Cboe BZX Exchange, Inc.; Notice of Filing of Amendment No. 2 and Order Granting Accelerated Approval of a Proposed Rule Change, as Modified by Amendment No. 2, To List and Trade Under BZX 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/2019/04/15/2019-07377.html https://regulations.justia.com/regulations/fedreg/2019/04/15/2019-07377.html Mon, 15 Apr 2019 00:00:00 -0700 2019-07377 Notice https://www.govinfo.gov/content/pkg/FR-2019-04-15/pdf/2019-07377.pdf Notice - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Extend the Pilot Related to Rule 80B, Trading Halts Due to Extraordinary Market Volatility https://regulations.justia.com/regulations/fedreg/2019/04/15/2019-07376.html https://regulations.justia.com/regulations/fedreg/2019/04/15/2019-07376.html Mon, 15 Apr 2019 00:00:00 -0700 2019-07376 Notice https://www.govinfo.gov/content/pkg/FR-2019-04-15/pdf/2019-07376.pdf Notice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Extend the Pilot Related to Rule 7.12-E, Trading Halts Due to Extraordinary Market Volatility https://regulations.justia.com/regulations/fedreg/2019/04/15/2019-07375.html https://regulations.justia.com/regulations/fedreg/2019/04/15/2019-07375.html Mon, 15 Apr 2019 00:00:00 -0700 2019-07375 Notice https://www.govinfo.gov/content/pkg/FR-2019-04-15/pdf/2019-07375.pdf Notice - Self-Regulatory Organizations; NYSE American LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Extend the Current Pilot Program Related to Rule 7.10E, Clearly Erroneous Executions https://regulations.justia.com/regulations/fedreg/2019/04/15/2019-07374.html https://regulations.justia.com/regulations/fedreg/2019/04/15/2019-07374.html Mon, 15 Apr 2019 00:00:00 -0700 2019-07374 Notice https://www.govinfo.gov/content/pkg/FR-2019-04-15/pdf/2019-07374.pdf Notice - Self-Regulatory Organizations; NYSE American LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Extend the Pilot Related to Rule 7.12E, Trading Halts Due to Extraordinary Market Volatility https://regulations.justia.com/regulations/fedreg/2019/04/15/2019-07373.html https://regulations.justia.com/regulations/fedreg/2019/04/15/2019-07373.html Mon, 15 Apr 2019 00:00:00 -0700 2019-07373 Notice https://www.govinfo.gov/content/pkg/FR-2019-04-15/pdf/2019-07373.pdf Notice - Self-Regulatory Organizations; NYSE Chicago, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Extend the Pilot Related to Article 20, Rule 2, Trading Halts Due to Extraordinary Market Volatility https://regulations.justia.com/regulations/fedreg/2019/04/15/2019-07372.html https://regulations.justia.com/regulations/fedreg/2019/04/15/2019-07372.html Mon, 15 Apr 2019 00:00:00 -0700 2019-07372 Notice https://www.govinfo.gov/content/pkg/FR-2019-04-15/pdf/2019-07372.pdf Notice - Self-Regulatory Organizations; Investors Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Modify the Listing Requirements Contained in Rule 14.412 To Change the Definition of Market Value for Purposes of the Shareholder Approval Rules and Eliminate the Requirement for Shareholder Approval of Issuances at a Price Less Than Book Value but Greater Than Market Value https://regulations.justia.com/regulations/fedreg/2019/04/15/2019-07370.html https://regulations.justia.com/regulations/fedreg/2019/04/15/2019-07370.html Mon, 15 Apr 2019 00:00:00 -0700 2019-07370 Notice https://www.govinfo.gov/content/pkg/FR-2019-04-15/pdf/2019-07370.pdf Notice - Self-Regulatory Organizations; Miami International Securities Exchange, LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Exchange Rule 530, Limit Up-Limit Down, and Exchange Rule 521, Nullification and Adjustment of Options Transactions Including Obvious Errors https://regulations.justia.com/regulations/fedreg/2019/04/15/2019-07369.html https://regulations.justia.com/regulations/fedreg/2019/04/15/2019-07369.html Mon, 15 Apr 2019 00:00:00 -0700 2019-07369 Notice https://www.govinfo.gov/content/pkg/FR-2019-04-15/pdf/2019-07369.pdf Notice - Self-Regulatory Organizations; MIAX Emerald, LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Exchange Rule 530, Limit Up-Limit Down, and Exchange Rule 521, Nullification and Adjustment of Options Transactions https://regulations.justia.com/regulations/fedreg/2019/04/15/2019-07368.html https://regulations.justia.com/regulations/fedreg/2019/04/15/2019-07368.html Mon, 15 Apr 2019 00:00:00 -0700 2019-07368 Notice https://www.govinfo.gov/content/pkg/FR-2019-04-15/pdf/2019-07368.pdf Notice - Self-Regulatory Organizations; Miami PEARL, LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Exchange Rule 530, Limit Up-Limit Down, and Exchange Rule 521, Nullification and Adjustment of Options Transactions Including Obvious Errors https://regulations.justia.com/regulations/fedreg/2019/04/15/2019-07367.html https://regulations.justia.com/regulations/fedreg/2019/04/15/2019-07367.html Mon, 15 Apr 2019 00:00:00 -0700 2019-07367 Notice https://www.govinfo.gov/content/pkg/FR-2019-04-15/pdf/2019-07367.pdf Notice - Self-Regulatory Organizations; NYSE National, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Extend the Pilot Related to Rule 7.12, Trading Halts Due to Extraordinary Market Volatility https://regulations.justia.com/regulations/fedreg/2019/04/15/2019-07366.html https://regulations.justia.com/regulations/fedreg/2019/04/15/2019-07366.html Mon, 15 Apr 2019 00:00:00 -0700 2019-07366 Notice https://www.govinfo.gov/content/pkg/FR-2019-04-15/pdf/2019-07366.pdf Notice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Designation of a Longer Period for Commission Action on a Proposed Rule Change To Amend NYSE Arca Rule 5.2-E(j)(3) To Adopt Generic Listing Standards for Investment Company Units Based on an Index of Municipal Bond Securities https://regulations.justia.com/regulations/fedreg/2019/04/15/2019-07365.html https://regulations.justia.com/regulations/fedreg/2019/04/15/2019-07365.html Mon, 15 Apr 2019 00:00:00 -0700 2019-07365 Notice https://www.govinfo.gov/content/pkg/FR-2019-04-15/pdf/2019-07365.pdf Notice - Self-Regulatory Organizations; Investors Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend IEX Rule 11.280 (Limit Up-Limit Down Plan and Trading Halts) To Extend the Pilot Period for the Regulation NMS Plan To Address Extraordinary Market Volatility to the Close of Business on October 18, 2019 https://regulations.justia.com/regulations/fedreg/2019/04/15/2019-07364.html https://regulations.justia.com/regulations/fedreg/2019/04/15/2019-07364.html Mon, 15 Apr 2019 00:00:00 -0700 2019-07364 Notice https://www.govinfo.gov/content/pkg/FR-2019-04-15/pdf/2019-07364.pdf Notice - Self-Regulatory Organizations; Nasdaq PHLX LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Delay the Implementation of the FBMS FIX Interface To Submit Orders to a Particular Floor Broker on the Options Floor https://regulations.justia.com/regulations/fedreg/2019/04/15/2019-07363.html https://regulations.justia.com/regulations/fedreg/2019/04/15/2019-07363.html Mon, 15 Apr 2019 00:00:00 -0700 2019-07363 Notice https://www.govinfo.gov/content/pkg/FR-2019-04-15/pdf/2019-07363.pdf Notice - Self-Regulatory Organizations; The Nasdaq Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Extend the Pilot Related to Rule 4121, Trading Halts Due to Extraordinary Market Volatility https://regulations.justia.com/regulations/fedreg/2019/04/15/2019-07362.html https://regulations.justia.com/regulations/fedreg/2019/04/15/2019-07362.html Mon, 15 Apr 2019 00:00:00 -0700 2019-07362 Notice https://www.govinfo.gov/content/pkg/FR-2019-04-15/pdf/2019-07362.pdf Notice - Self-Regulatory Organizations; Nasdaq PHLX LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Extend the Pilot Related to Rule 133, Trading Halts Due to Extraordinary Market Volatility https://regulations.justia.com/regulations/fedreg/2019/04/15/2019-07361.html https://regulations.justia.com/regulations/fedreg/2019/04/15/2019-07361.html Mon, 15 Apr 2019 00:00:00 -0700 2019-07361 Notice https://www.govinfo.gov/content/pkg/FR-2019-04-15/pdf/2019-07361.pdf