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/2019/04/17?limit=200®isters=between&mode=atom2024-12-22T18:44:48-08:00Justia Inchttps://www.justia.com/Justia Regulations Trackerhttps://regulations.justia.com/images/justiafedregulations.gifCopyright 2011 Justia Inchttps://regulations.justia.com/regulations/fedreg/2019/04/17/2019-07718.htmlNotice - Roundhill Financial LLC and Listed Funds Trust2019-04-17T00:00:00-07:002019-04-17T00:00:00-07:002019-07718Noticehttps://www.govinfo.gov/content/pkg/FR-2019-04-17/pdf/2019-07718.pdfhttps://regulations.justia.com/regulations/fedreg/2019/04/17/2019-07707.htmlNotice - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing of Amendment No. 1 and Order Granting Accelerated Approval of Proposed Rule Change, as Modified by Amendment No. 1, to Amend NYSE Rule 1042019-04-17T00:00:00-07:002019-04-17T00:00:00-07:002019-07707Noticehttps://www.govinfo.gov/content/pkg/FR-2019-04-17/pdf/2019-07707.pdfhttps://regulations.justia.com/regulations/fedreg/2019/04/17/2019-07705.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)2019-04-17T00:00:00-07:002019-04-17T00:00:00-07:002019-07705Noticehttps://www.govinfo.gov/content/pkg/FR-2019-04-17/pdf/2019-07705.pdfhttps://regulations.justia.com/regulations/fedreg/2019/04/17/2019-07704.htmlNotice - Self-Regulatory Organizations; BOX Exchange LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Extend the Pilot to the Close of Business on October 18, 2019, for Exchange Rule IM-7170-1, That Is Linked to the Equity Market Plan To Address Extraordinary Market Volatility (the “Limit Up-Limit Down Plan” or the “Plan”)2019-04-17T00:00:00-07:002019-04-17T00:00:00-07:002019-07704Noticehttps://www.govinfo.gov/content/pkg/FR-2019-04-17/pdf/2019-07704.pdfhttps://regulations.justia.com/regulations/fedreg/2019/04/17/2019-07703.htmlNotice - Self-Regulatory Organizations; Cboe EDGX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Extend the Pilot for Certain Options Market Rules That Are Linked to the Equity Market Plan To Address Extraordinary Market Volatility2019-04-17T00:00:00-07:002019-04-17T00:00:00-07:002019-07703Noticehttps://www.govinfo.gov/content/pkg/FR-2019-04-17/pdf/2019-07703.pdfhttps://regulations.justia.com/regulations/fedreg/2019/04/17/2019-07658.htmlNotice - Submission for OMB Review; Comment Request2019-04-17T00:00:00-07:002019-04-17T00:00:00-07:002019-07658Noticehttps://www.govinfo.gov/content/pkg/FR-2019-04-17/pdf/2019-07658.pdfhttps://regulations.justia.com/regulations/fedreg/2019/04/17/2019-07637.htmlNotice - Joint Industry Plan; Order Approving the Eighteenth Amendment to the National Market System Plan To Address Extraordinary Market Volatility by Cboe BYX Exchange, Inc., Cboe BZX Exchange, Inc., Cboe EDGA Exchange, Inc., Cboe EDGX Exchange, Inc., Chicago Stock Exchange, Inc., Financial Industry Regulatory Authority, Inc., Investors Exchange LLC, NASDAQ BX, Inc., NASDAQ PHLX LLC, The Nasdaq Stock Market LLC, NYSE National, Inc., New York Stock Exchange LLC, NYSE American LLC, and NYSE Arca, Inc.2019-04-17T00:00:00-07:002019-04-17T00:00:00-07:002019-07637Noticehttps://www.govinfo.gov/content/pkg/FR-2019-04-17/pdf/2019-07637.pdfhttps://regulations.justia.com/regulations/fedreg/2019/04/17/2019-07633.htmlNotice - Self-Regulatory Organizations; The Nasdaq Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Extend the Current Pilot Program Related to Clearly Erroneous Transactions2019-04-17T00:00:00-07:002019-04-17T00:00:00-07:002019-07633Noticehttps://www.govinfo.gov/content/pkg/FR-2019-04-17/pdf/2019-07633.pdfhttps://regulations.justia.com/regulations/fedreg/2019/04/17/2019-07632.htmlNotice - Self-Regulatory Organizations; Cboe BZX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Extend the Pilot for Certain Options Market Rules That Are Linked to the Equity Market Plan To Address Extraordinary Market Volatility2019-04-17T00:00:00-07:002019-04-17T00:00:00-07:002019-07632Noticehttps://www.govinfo.gov/content/pkg/FR-2019-04-17/pdf/2019-07632.pdfhttps://regulations.justia.com/regulations/fedreg/2019/04/17/2019-07631.htmlNotice - Self-Regulatory Organizations; Nasdaq PHLX LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Extend the Current Pilot Program Related to Clearly Erroneous Transactions2019-04-17T00:00:00-07:002019-04-17T00:00:00-07:002019-07631Noticehttps://www.govinfo.gov/content/pkg/FR-2019-04-17/pdf/2019-07631.pdfhttps://regulations.justia.com/regulations/fedreg/2019/04/17/2019-07630.htmlNotice - Self-Regulatory Organizations; Nasdaq ISE, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Extend the Pilot for Certain Options Market Rules That Are Linked to the Equity Market Plan To Address Extraordinary Market Volatility2019-04-17T00:00:00-07:002019-04-17T00:00:00-07:002019-07630Noticehttps://www.govinfo.gov/content/pkg/FR-2019-04-17/pdf/2019-07630.pdfhttps://regulations.justia.com/regulations/fedreg/2019/04/17/2019-07629.htmlNotice - Self-Regulatory Organizations; Cboe EDGX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating To Amending the Fee Schedule Applicable to Members and Non-Members of the Exchange Pursuant to EDGX Rules 15.1(a) and (c)2019-04-17T00:00:00-07:002019-04-17T00:00:00-07:002019-07629Noticehttps://www.govinfo.gov/content/pkg/FR-2019-04-17/pdf/2019-07629.pdfhttps://regulations.justia.com/regulations/fedreg/2019/04/17/2019-07628.htmlNotice - Self-Regulatory Organizations; MIAX PEARL, LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the MIAX PEARL Fee Schedule2019-04-17T00:00:00-07:002019-04-17T00:00:00-07:002019-07628Noticehttps://www.govinfo.gov/content/pkg/FR-2019-04-17/pdf/2019-07628.pdfhttps://regulations.justia.com/regulations/fedreg/2019/04/17/2019-07627.htmlNotice - Self-Regulatory Organizations; Nasdaq GEMX, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Extend the Pilot for Certain Options Market Rules That Are Linked to the Equity Market Plan To Address Extraordinary Market Volatility2019-04-17T00:00:00-07:002019-04-17T00:00:00-07:002019-07627Noticehttps://www.govinfo.gov/content/pkg/FR-2019-04-17/pdf/2019-07627.pdfhttps://regulations.justia.com/regulations/fedreg/2019/04/17/2019-07626.htmlNotice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Extend the Pilot for Certain Options Market Rules That Are Linked to the Equity Market Plan To Address Extraordinary Market Volatility2019-04-17T00:00:00-07:002019-04-17T00:00:00-07:002019-07626Noticehttps://www.govinfo.gov/content/pkg/FR-2019-04-17/pdf/2019-07626.pdfhttps://regulations.justia.com/regulations/fedreg/2019/04/17/2019-07625.htmlNotice - Self-Regulatory Organizations; Financial Industry Regulatory Authority Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Extend the Current Pilot Program Related to FINRA Rule 11892 (Clearly Erroneous Transactions in Exchange-Listed Securities)2019-04-17T00:00:00-07:002019-04-17T00:00:00-07:002019-07625Noticehttps://www.govinfo.gov/content/pkg/FR-2019-04-17/pdf/2019-07625.pdfhttps://regulations.justia.com/regulations/fedreg/2019/04/17/2019-07624.htmlNotice - Self-Regulatory Organizations; Nasdaq BX, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Extend the Current Pilot Program Related to Clearly Erroneous Transactions2019-04-17T00:00:00-07:002019-04-17T00:00:00-07:002019-07624Noticehttps://www.govinfo.gov/content/pkg/FR-2019-04-17/pdf/2019-07624.pdfhttps://regulations.justia.com/regulations/fedreg/2019/04/17/2019-07623.htmlNotice - Self-Regulatory Organizations; Nasdaq MRX, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Extend the Pilot for Certain Options Market Rules That Are Linked to the Equity Market Plan To Address Extraordinary Market Volatility2019-04-17T00:00:00-07:002019-04-17T00:00:00-07:002019-07623Noticehttps://www.govinfo.gov/content/pkg/FR-2019-04-17/pdf/2019-07623.pdfhttps://regulations.justia.com/regulations/fedreg/2019/04/17/2019-07622.htmlNotice - Self-Regulatory Organizations; Cboe Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Extend the Pilot for Certain Options Market Rules That are Linked to the Equity Market Plan To Address Extraordinary Market Volatility2019-04-17T00:00:00-07:002019-04-17T00:00:00-07:002019-07622Noticehttps://www.govinfo.gov/content/pkg/FR-2019-04-17/pdf/2019-07622.pdfhttps://regulations.justia.com/regulations/fedreg/2019/04/17/2019-07621.htmlNotice - Self-Regulatory Organizations; NYSE American LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Extend the Pilot for Certain Options Market Rules That Are Linked to the Equity Market Plan To Address Extraordinary Market Volatility2019-04-17T00:00:00-07:002019-04-17T00:00:00-07:002019-07621Noticehttps://www.govinfo.gov/content/pkg/FR-2019-04-17/pdf/2019-07621.pdfhttps://regulations.justia.com/regulations/fedreg/2019/04/17/2019-07620.htmlNotice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Modify the NYSE Arca Options Fee Schedule2019-04-17T00:00:00-07:002019-04-17T00:00:00-07:002019-07620Noticehttps://www.govinfo.gov/content/pkg/FR-2019-04-17/pdf/2019-07620.pdfhttps://regulations.justia.com/regulations/fedreg/2019/04/17/2019-07619.htmlNotice - Self-Regulatory Organizations; Nasdaq BX, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Extend the Pilot to the Close of Business on October 18, 20192019-04-17T00:00:00-07:002019-04-17T00:00:00-07:002019-07619Noticehttps://www.govinfo.gov/content/pkg/FR-2019-04-17/pdf/2019-07619.pdfhttps://regulations.justia.com/regulations/fedreg/2019/04/17/2019-07618.htmlNotice - Self-Regulatory Organizations; Cboe C2 Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Extend the Pilot for Certain Options Market Rules That Are Linked to the Equity Market Plan To Address Extraordinary Market Volatility2019-04-17T00:00:00-07:002019-04-17T00:00:00-07:002019-07618Noticehttps://www.govinfo.gov/content/pkg/FR-2019-04-17/pdf/2019-07618.pdfhttps://regulations.justia.com/regulations/fedreg/2019/04/17/2019-07617.htmlNotice - Self-Regulatory Organizations; Cboe EDGX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating To Add Certain Fees Related to the Listing and Trading of Options Contracts on the Mini-SPX Index2019-04-17T00:00:00-07:002019-04-17T00:00:00-07:002019-07617Noticehttps://www.govinfo.gov/content/pkg/FR-2019-04-17/pdf/2019-07617.pdfhttps://regulations.justia.com/regulations/fedreg/2019/04/17/2019-07616.htmlNotice - Self-Regulatory Organizations; Cboe EDGX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating To Adopt All-or-None (“AON”) Orders2019-04-17T00:00:00-07:002019-04-17T00:00:00-07:002019-07616Noticehttps://www.govinfo.gov/content/pkg/FR-2019-04-17/pdf/2019-07616.pdfhttps://regulations.justia.com/regulations/fedreg/2019/04/17/2019-07615.htmlNotice - Self-Regulatory Organizations; Nasdaq BX, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Transaction Fees at Equity 7, Section 118(a)2019-04-17T00:00:00-07:002019-04-17T00:00:00-07:002019-07615Noticehttps://www.govinfo.gov/content/pkg/FR-2019-04-17/pdf/2019-07615.pdfhttps://regulations.justia.com/regulations/fedreg/2019/04/17/2019-07614.htmlNotice - Self-Regulatory Organizations; NYSE American LLC; Notice of Filing of Amendment No. 2 to Proposed Rule Change To Allow Flexible Exchange Equity Options To Be Cash Settled Where the Underlying Security Is a Specified Exchange-Traded Fund2019-04-17T00:00:00-07:002019-04-17T00:00:00-07:002019-07614Noticehttps://www.govinfo.gov/content/pkg/FR-2019-04-17/pdf/2019-07614.pdfhttps://regulations.justia.com/regulations/fedreg/2019/04/17/2019-07613.htmlNotice - Self-Regulatory Organizations; Nasdaq PHLX LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Extend the Pilot to the Close of Business on October 18, 20192019-04-17T00:00:00-07:002019-04-17T00:00:00-07:002019-07613Noticehttps://www.govinfo.gov/content/pkg/FR-2019-04-17/pdf/2019-07613.pdfhttps://regulations.justia.com/regulations/fedreg/2019/04/17/2019-07612.htmlNotice - Self-Regulatory Organizations; The Nasdaq Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Extend the Pilot to the Close of Business on October 18, 20192019-04-17T00:00:00-07:002019-04-17T00:00:00-07:002019-07612Noticehttps://www.govinfo.gov/content/pkg/FR-2019-04-17/pdf/2019-07612.pdf