<![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/2019/04/17?registers=between Mon, 23 Jun 2025 21:40:32 -0700 Mon, 23 Jun 2025 21:40:32 -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/2019/04/17?registers=between Notice - Roundhill Financial LLC and Listed Funds Trust https://regulations.justia.com/regulations/fedreg/2019/04/17/2019-07718.html https://regulations.justia.com/regulations/fedreg/2019/04/17/2019-07718.html Wed, 17 Apr 2019 00:00:00 -0700 2019-07718 Notice https://www.govinfo.gov/content/pkg/FR-2019-04-17/pdf/2019-07718.pdf Notice - 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 104 https://regulations.justia.com/regulations/fedreg/2019/04/17/2019-07707.html https://regulations.justia.com/regulations/fedreg/2019/04/17/2019-07707.html Wed, 17 Apr 2019 00:00:00 -0700 2019-07707 Notice https://www.govinfo.gov/content/pkg/FR-2019-04-17/pdf/2019-07707.pdf Notice - 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) https://regulations.justia.com/regulations/fedreg/2019/04/17/2019-07705.html https://regulations.justia.com/regulations/fedreg/2019/04/17/2019-07705.html Wed, 17 Apr 2019 00:00:00 -0700 2019-07705 Notice https://www.govinfo.gov/content/pkg/FR-2019-04-17/pdf/2019-07705.pdf Notice - 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”) https://regulations.justia.com/regulations/fedreg/2019/04/17/2019-07704.html https://regulations.justia.com/regulations/fedreg/2019/04/17/2019-07704.html Wed, 17 Apr 2019 00:00:00 -0700 2019-07704 Notice https://www.govinfo.gov/content/pkg/FR-2019-04-17/pdf/2019-07704.pdf Notice - 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 Volatility https://regulations.justia.com/regulations/fedreg/2019/04/17/2019-07703.html https://regulations.justia.com/regulations/fedreg/2019/04/17/2019-07703.html Wed, 17 Apr 2019 00:00:00 -0700 2019-07703 Notice https://www.govinfo.gov/content/pkg/FR-2019-04-17/pdf/2019-07703.pdf Notice - Submission for OMB Review; Comment Request https://regulations.justia.com/regulations/fedreg/2019/04/17/2019-07658.html https://regulations.justia.com/regulations/fedreg/2019/04/17/2019-07658.html Wed, 17 Apr 2019 00:00:00 -0700 2019-07658 Notice https://www.govinfo.gov/content/pkg/FR-2019-04-17/pdf/2019-07658.pdf Notice - 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. https://regulations.justia.com/regulations/fedreg/2019/04/17/2019-07637.html https://regulations.justia.com/regulations/fedreg/2019/04/17/2019-07637.html Wed, 17 Apr 2019 00:00:00 -0700 2019-07637 Notice https://www.govinfo.gov/content/pkg/FR-2019-04-17/pdf/2019-07637.pdf Notice - 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 Transactions https://regulations.justia.com/regulations/fedreg/2019/04/17/2019-07633.html https://regulations.justia.com/regulations/fedreg/2019/04/17/2019-07633.html Wed, 17 Apr 2019 00:00:00 -0700 2019-07633 Notice https://www.govinfo.gov/content/pkg/FR-2019-04-17/pdf/2019-07633.pdf Notice - 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 Volatility https://regulations.justia.com/regulations/fedreg/2019/04/17/2019-07632.html https://regulations.justia.com/regulations/fedreg/2019/04/17/2019-07632.html Wed, 17 Apr 2019 00:00:00 -0700 2019-07632 Notice https://www.govinfo.gov/content/pkg/FR-2019-04-17/pdf/2019-07632.pdf Notice - 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 Transactions https://regulations.justia.com/regulations/fedreg/2019/04/17/2019-07631.html https://regulations.justia.com/regulations/fedreg/2019/04/17/2019-07631.html Wed, 17 Apr 2019 00:00:00 -0700 2019-07631 Notice https://www.govinfo.gov/content/pkg/FR-2019-04-17/pdf/2019-07631.pdf Notice - 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 Volatility https://regulations.justia.com/regulations/fedreg/2019/04/17/2019-07630.html https://regulations.justia.com/regulations/fedreg/2019/04/17/2019-07630.html Wed, 17 Apr 2019 00:00:00 -0700 2019-07630 Notice https://www.govinfo.gov/content/pkg/FR-2019-04-17/pdf/2019-07630.pdf Notice - 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) https://regulations.justia.com/regulations/fedreg/2019/04/17/2019-07629.html https://regulations.justia.com/regulations/fedreg/2019/04/17/2019-07629.html Wed, 17 Apr 2019 00:00:00 -0700 2019-07629 Notice https://www.govinfo.gov/content/pkg/FR-2019-04-17/pdf/2019-07629.pdf Notice - Self-Regulatory Organizations; MIAX PEARL, LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the MIAX PEARL Fee Schedule https://regulations.justia.com/regulations/fedreg/2019/04/17/2019-07628.html https://regulations.justia.com/regulations/fedreg/2019/04/17/2019-07628.html Wed, 17 Apr 2019 00:00:00 -0700 2019-07628 Notice https://www.govinfo.gov/content/pkg/FR-2019-04-17/pdf/2019-07628.pdf Notice - 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 Volatility https://regulations.justia.com/regulations/fedreg/2019/04/17/2019-07627.html https://regulations.justia.com/regulations/fedreg/2019/04/17/2019-07627.html Wed, 17 Apr 2019 00:00:00 -0700 2019-07627 Notice https://www.govinfo.gov/content/pkg/FR-2019-04-17/pdf/2019-07627.pdf Notice - 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 Volatility https://regulations.justia.com/regulations/fedreg/2019/04/17/2019-07626.html https://regulations.justia.com/regulations/fedreg/2019/04/17/2019-07626.html Wed, 17 Apr 2019 00:00:00 -0700 2019-07626 Notice https://www.govinfo.gov/content/pkg/FR-2019-04-17/pdf/2019-07626.pdf Notice - 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) https://regulations.justia.com/regulations/fedreg/2019/04/17/2019-07625.html https://regulations.justia.com/regulations/fedreg/2019/04/17/2019-07625.html Wed, 17 Apr 2019 00:00:00 -0700 2019-07625 Notice https://www.govinfo.gov/content/pkg/FR-2019-04-17/pdf/2019-07625.pdf Notice - 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 Transactions https://regulations.justia.com/regulations/fedreg/2019/04/17/2019-07624.html https://regulations.justia.com/regulations/fedreg/2019/04/17/2019-07624.html Wed, 17 Apr 2019 00:00:00 -0700 2019-07624 Notice https://www.govinfo.gov/content/pkg/FR-2019-04-17/pdf/2019-07624.pdf Notice - 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 Volatility https://regulations.justia.com/regulations/fedreg/2019/04/17/2019-07623.html https://regulations.justia.com/regulations/fedreg/2019/04/17/2019-07623.html Wed, 17 Apr 2019 00:00:00 -0700 2019-07623 Notice https://www.govinfo.gov/content/pkg/FR-2019-04-17/pdf/2019-07623.pdf Notice - 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 Volatility https://regulations.justia.com/regulations/fedreg/2019/04/17/2019-07622.html https://regulations.justia.com/regulations/fedreg/2019/04/17/2019-07622.html Wed, 17 Apr 2019 00:00:00 -0700 2019-07622 Notice https://www.govinfo.gov/content/pkg/FR-2019-04-17/pdf/2019-07622.pdf Notice - 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 Volatility https://regulations.justia.com/regulations/fedreg/2019/04/17/2019-07621.html https://regulations.justia.com/regulations/fedreg/2019/04/17/2019-07621.html Wed, 17 Apr 2019 00:00:00 -0700 2019-07621 Notice https://www.govinfo.gov/content/pkg/FR-2019-04-17/pdf/2019-07621.pdf Notice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Modify the NYSE Arca Options Fee Schedule https://regulations.justia.com/regulations/fedreg/2019/04/17/2019-07620.html https://regulations.justia.com/regulations/fedreg/2019/04/17/2019-07620.html Wed, 17 Apr 2019 00:00:00 -0700 2019-07620 Notice https://www.govinfo.gov/content/pkg/FR-2019-04-17/pdf/2019-07620.pdf Notice - 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, 2019 https://regulations.justia.com/regulations/fedreg/2019/04/17/2019-07619.html https://regulations.justia.com/regulations/fedreg/2019/04/17/2019-07619.html Wed, 17 Apr 2019 00:00:00 -0700 2019-07619 Notice https://www.govinfo.gov/content/pkg/FR-2019-04-17/pdf/2019-07619.pdf Notice - 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 Volatility https://regulations.justia.com/regulations/fedreg/2019/04/17/2019-07618.html https://regulations.justia.com/regulations/fedreg/2019/04/17/2019-07618.html Wed, 17 Apr 2019 00:00:00 -0700 2019-07618 Notice https://www.govinfo.gov/content/pkg/FR-2019-04-17/pdf/2019-07618.pdf Notice - 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 Index https://regulations.justia.com/regulations/fedreg/2019/04/17/2019-07617.html https://regulations.justia.com/regulations/fedreg/2019/04/17/2019-07617.html Wed, 17 Apr 2019 00:00:00 -0700 2019-07617 Notice https://www.govinfo.gov/content/pkg/FR-2019-04-17/pdf/2019-07617.pdf Notice - 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”) Orders https://regulations.justia.com/regulations/fedreg/2019/04/17/2019-07616.html https://regulations.justia.com/regulations/fedreg/2019/04/17/2019-07616.html Wed, 17 Apr 2019 00:00:00 -0700 2019-07616 Notice https://www.govinfo.gov/content/pkg/FR-2019-04-17/pdf/2019-07616.pdf Notice - 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) https://regulations.justia.com/regulations/fedreg/2019/04/17/2019-07615.html https://regulations.justia.com/regulations/fedreg/2019/04/17/2019-07615.html Wed, 17 Apr 2019 00:00:00 -0700 2019-07615 Notice https://www.govinfo.gov/content/pkg/FR-2019-04-17/pdf/2019-07615.pdf Notice - 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 Fund https://regulations.justia.com/regulations/fedreg/2019/04/17/2019-07614.html https://regulations.justia.com/regulations/fedreg/2019/04/17/2019-07614.html Wed, 17 Apr 2019 00:00:00 -0700 2019-07614 Notice https://www.govinfo.gov/content/pkg/FR-2019-04-17/pdf/2019-07614.pdf Notice - 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, 2019 https://regulations.justia.com/regulations/fedreg/2019/04/17/2019-07613.html https://regulations.justia.com/regulations/fedreg/2019/04/17/2019-07613.html Wed, 17 Apr 2019 00:00:00 -0700 2019-07613 Notice https://www.govinfo.gov/content/pkg/FR-2019-04-17/pdf/2019-07613.pdf Notice - 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, 2019 https://regulations.justia.com/regulations/fedreg/2019/04/17/2019-07612.html https://regulations.justia.com/regulations/fedreg/2019/04/17/2019-07612.html Wed, 17 Apr 2019 00:00:00 -0700 2019-07612 Notice https://www.govinfo.gov/content/pkg/FR-2019-04-17/pdf/2019-07612.pdf