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?limit=200&registers=between&min-day=1&max-day=30&mode=atom 2024-04-23T02:07:25-07:00 Justia Inc https://www.justia.com/ Justia Regulations Tracker https://regulations.justia.com/images/justiafedregulations.gif Copyright 2011 Justia Inc https://regulations.justia.com/regulations/fedreg/2019/04/30/2019-08795.html Notice - Sunshine Act Meetings 2019-04-30T00:00:00-07:00 2019-04-30T00:00:00-07:00 2019-08795 Notice https://www.govinfo.gov/content/pkg/FR-2019-04-30/pdf/2019-08795.pdf https://regulations.justia.com/regulations/fedreg/2019/04/30/2019-08675.html Rule - Disclosure of Order Handling Information 2019-04-30T00:00:00-07:00 2019-04-30T00:00:00-07:00 2019-08675 Rule https://www.govinfo.gov/content/pkg/FR-2019-04-30/pdf/2019-08675.pdf https://regulations.justia.com/regulations/fedreg/2019/04/30/2019-08652.html Notice - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing of a Proposed Rule Change To Amend FINRA Rule 6730 (Transaction Reporting) April 24, 2019. 2019-04-30T00:00:00-07:00 2019-04-30T00:00:00-07:00 2019-08652 Notice https://www.govinfo.gov/content/pkg/FR-2019-04-30/pdf/2019-08652.pdf https://regulations.justia.com/regulations/fedreg/2019/04/29/2019-08528.html Notice - Symmetry Panoramic Trust and Symmetry Partners, LLC; Notice of Application 2019-04-29T00:00:00-07:00 2019-04-29T00:00:00-07:00 2019-08528 Notice https://www.govinfo.gov/content/pkg/FR-2019-04-29/pdf/2019-08528.pdf https://regulations.justia.com/regulations/fedreg/2019/04/29/2019-08500.html Notice - Self-Regulatory Organizations; Cboe Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Extend the Operation of Its Flexible Exchange Options Pilot Program Regarding Permissible Exercise Settlement Values for Flexible Exchange Index Options 2019-04-29T00:00:00-07:00 2019-04-29T00:00:00-07:00 2019-08500 Notice https://www.govinfo.gov/content/pkg/FR-2019-04-29/pdf/2019-08500.pdf https://regulations.justia.com/regulations/fedreg/2019/04/29/2019-08097.html Notice - Cboe BZX Exchange, Inc.; Order Scheduling Filing of Statements on Review 2019-04-29T00:00:00-07:00 2019-04-29T00:00:00-07:00 2019-08097 Notice https://www.govinfo.gov/content/pkg/FR-2019-04-29/pdf/2019-08097.pdf https://regulations.justia.com/regulations/fedreg/2019/04/26/2019-08469.html Notice - Submission for OMB Review; Comment Request 2019-04-26T00:00:00-07:00 2019-04-26T00:00:00-07:00 2019-08469 Notice https://www.govinfo.gov/content/pkg/FR-2019-04-26/pdf/2019-08469.pdf https://regulations.justia.com/regulations/fedreg/2019/04/26/2019-08468.html Notice - M-CAM International LLC, et al. 2019-04-26T00:00:00-07:00 2019-04-26T00:00:00-07:00 2019-08468 Notice https://www.govinfo.gov/content/pkg/FR-2019-04-26/pdf/2019-08468.pdf https://regulations.justia.com/regulations/fedreg/2019/04/26/2019-08401.html Notice - Self-Regulatory Organizations; MIAX Emerald, LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Exchange Rule 100, Definitions 2019-04-26T00:00:00-07:00 2019-04-26T00:00:00-07:00 2019-08401 Notice https://www.govinfo.gov/content/pkg/FR-2019-04-26/pdf/2019-08401.pdf https://regulations.justia.com/regulations/fedreg/2019/04/26/2019-08400.html Notice - Self-Regulatory Organizations; Cboe BZX Exchange, Inc.; Notice of Filing of Amendment No. 1 and Order Granting Accelerated Approval of a Proposed Rule Change, as Modified by Amendment No. 1, 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 Shares 2019-04-26T00:00:00-07:00 2019-04-26T00:00:00-07:00 2019-08400 Notice https://www.govinfo.gov/content/pkg/FR-2019-04-26/pdf/2019-08400.pdf https://regulations.justia.com/regulations/fedreg/2019/04/26/2019-08399.html Notice - Self-Regulatory Organizations; Municipal Securities Rulemaking Board; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Certain MSRB Rules To Update Cross-References to the Rules of Other Self-Regulatory Organizations, To Amend Rules With Grammatical or Typographical Errors and To Delete Certain Sections of MSRB Rules That Are Outdated or No Longer Relevant 2019-04-26T00:00:00-07:00 2019-04-26T00:00:00-07:00 2019-08399 Notice https://www.govinfo.gov/content/pkg/FR-2019-04-26/pdf/2019-08399.pdf https://regulations.justia.com/regulations/fedreg/2019/04/26/2019-08398.html Notice - Self-Regulatory Organizations; Cboe C2 Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Its Continuous Quoting Obligations for Market-Makers 2019-04-26T00:00:00-07:00 2019-04-26T00:00:00-07:00 2019-08398 Notice https://www.govinfo.gov/content/pkg/FR-2019-04-26/pdf/2019-08398.pdf https://regulations.justia.com/regulations/fedreg/2019/04/25/2019-08333.html Notice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Delete NYSE Arca Rule 8.800-E Setting Forth the Requirements for the NYSE Arca ETP Incentive Program 2019-04-25T00:00:00-07:00 2019-04-25T00:00:00-07:00 2019-08333 Notice https://www.govinfo.gov/content/pkg/FR-2019-04-25/pdf/2019-08333.pdf https://regulations.justia.com/regulations/fedreg/2019/04/25/2019-08332.html Notice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Modify the NYSE Arca Options Fee Schedule Regarding Certain Credits 2019-04-25T00:00:00-07:00 2019-04-25T00:00:00-07:00 2019-08332 Notice https://www.govinfo.gov/content/pkg/FR-2019-04-25/pdf/2019-08332.pdf https://regulations.justia.com/regulations/fedreg/2019/04/25/2019-08331.html Notice - Self-Regulatory Organizations; BOX Exchange LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Exchange Rule 7130 2019-04-25T00:00:00-07:00 2019-04-25T00:00:00-07:00 2019-08331 Notice https://www.govinfo.gov/content/pkg/FR-2019-04-25/pdf/2019-08331.pdf https://regulations.justia.com/regulations/fedreg/2019/04/24/2019-08211.html Notice - Self-Regulatory Organizations; Miami International Securities Exchange, LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Its Fee Schedule 2019-04-24T00:00:00-07:00 2019-04-24T00:00:00-07:00 2019-08211 Notice https://www.govinfo.gov/content/pkg/FR-2019-04-24/pdf/2019-08211.pdf https://regulations.justia.com/regulations/fedreg/2019/04/24/2019-08210.html Notice - Self-Regulatory Organizations; Nasdaq PHLX LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Extend the Pilot Period for the Listing of P.M.-Settled Nasdaq-100 Index Options Expiring on the Third Friday of the Month 2019-04-24T00:00:00-07:00 2019-04-24T00:00:00-07:00 2019-08210 Notice https://www.govinfo.gov/content/pkg/FR-2019-04-24/pdf/2019-08210.pdf https://regulations.justia.com/regulations/fedreg/2019/04/24/2019-08209.html Notice - Self-Regulatory Organizations; Nasdaq BX, Inc.; Notice of Filing of Proposed Rule Change To Reassign Certain Investigation and Enforcement Functions Under the Exchange's Authority and Supervision 2019-04-24T00:00:00-07:00 2019-04-24T00:00:00-07:00 2019-08209 Notice https://www.govinfo.gov/content/pkg/FR-2019-04-24/pdf/2019-08209.pdf https://regulations.justia.com/regulations/fedreg/2019/04/24/2019-08208.html Notice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Designation of a Longer Period for Commission Action on a 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 Securities 2019-04-24T00:00:00-07:00 2019-04-24T00:00:00-07:00 2019-08208 Notice https://www.govinfo.gov/content/pkg/FR-2019-04-24/pdf/2019-08208.pdf https://regulations.justia.com/regulations/fedreg/2019/04/24/2019-08207.html Notice - Self-Regulatory Organizations; Cboe BZX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Extend the Pilot Program Related to BZX Rule 11.18, Trading Halts Due to Extraordinary Market Volatility, to the Close of Business on October 18, 2019 2019-04-24T00:00:00-07:00 2019-04-24T00:00:00-07:00 2019-08207 Notice https://www.govinfo.gov/content/pkg/FR-2019-04-24/pdf/2019-08207.pdf https://regulations.justia.com/regulations/fedreg/2019/04/24/2019-08206.html Notice - Self-Regulatory Organizations; Cboe Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Extend the Operation of Its SPXPM Pilot Program 2019-04-24T00:00:00-07:00 2019-04-24T00:00:00-07:00 2019-08206 Notice https://www.govinfo.gov/content/pkg/FR-2019-04-24/pdf/2019-08206.pdf https://regulations.justia.com/regulations/fedreg/2019/04/24/2019-08205.html Notice - Self-Regulatory Organizations; The Nasdaq Stock Market LLC; Notice of Filing of Proposed Rule Change To Adopt Additional Requirements for Listings in Connection With an Offering Under Regulation A of the Securities Act 2019-04-24T00:00:00-07:00 2019-04-24T00:00:00-07:00 2019-08205 Notice https://www.govinfo.gov/content/pkg/FR-2019-04-24/pdf/2019-08205.pdf https://regulations.justia.com/regulations/fedreg/2019/04/24/2019-08204.html Notice - Self-Regulatory Organizations; Fixed Income Clearing Corporation; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Include References to Uniform Mortgage-Backed Securities 2019-04-24T00:00:00-07:00 2019-04-24T00:00:00-07:00 2019-08204 Notice https://www.govinfo.gov/content/pkg/FR-2019-04-24/pdf/2019-08204.pdf https://regulations.justia.com/regulations/fedreg/2019/04/24/2019-08203.html Notice - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to the Regulation NMS Plan To Address Extraordinary Market Volatility 2019-04-24T00:00:00-07:00 2019-04-24T00:00:00-07:00 2019-08203 Notice https://www.govinfo.gov/content/pkg/FR-2019-04-24/pdf/2019-08203.pdf https://regulations.justia.com/regulations/fedreg/2019/04/23/2019-08107.html Notice - Self-Regulatory Organizations; ICE Clear Credit LLC; Notice of Filing of Proposed Rule Change, Security-Based Swap Submission, or Advance Notice Relating to ICC's Model Validation Framework 2019-04-23T00:00:00-07:00 2019-04-23T00:00:00-07:00 2019-08107 Notice https://www.govinfo.gov/content/pkg/FR-2019-04-23/pdf/2019-08107.pdf https://regulations.justia.com/regulations/fedreg/2019/04/23/2019-08106.html Notice - 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 Modify Its Strategy QOO Order Fee Cap and Rebate 2019-04-23T00:00:00-07:00 2019-04-23T00:00:00-07:00 2019-08106 Notice https://www.govinfo.gov/content/pkg/FR-2019-04-23/pdf/2019-08106.pdf https://regulations.justia.com/regulations/fedreg/2019/04/23/2019-08105.html Notice - Self-Regulatory Organizations; Nasdaq ISE, LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Extend the Pilot Period for the Exchange's Nonstandard Expirations Pilot Program 2019-04-23T00:00:00-07:00 2019-04-23T00:00:00-07:00 2019-08105 Notice https://www.govinfo.gov/content/pkg/FR-2019-04-23/pdf/2019-08105.pdf https://regulations.justia.com/regulations/fedreg/2019/04/23/2019-08103.html Notice - Self-Regulatory Organizations; Nasdaq MRX, LLC; Notice of Filing of a Proposed Rule Change To Adopt Complex Order Functionality 2019-04-23T00:00:00-07:00 2019-04-23T00:00:00-07:00 2019-08103 Notice https://www.govinfo.gov/content/pkg/FR-2019-04-23/pdf/2019-08103.pdf https://regulations.justia.com/regulations/fedreg/2019/04/23/2019-08102.html Notice - Self-Regulatory Organizations; NYSE National, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Its Schedule of Fees and Rebates 2019-04-23T00:00:00-07:00 2019-04-23T00:00:00-07:00 2019-08102 Notice https://www.govinfo.gov/content/pkg/FR-2019-04-23/pdf/2019-08102.pdf https://regulations.justia.com/regulations/fedreg/2019/04/23/2019-08101.html Notice - Self-Regulatory Organizations; BOX Exchange LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Adopt Rules Governing the Trading of Complex Customer Cross Orders 2019-04-23T00:00:00-07:00 2019-04-23T00:00:00-07:00 2019-08101 Notice https://www.govinfo.gov/content/pkg/FR-2019-04-23/pdf/2019-08101.pdf https://regulations.justia.com/regulations/fedreg/2019/04/23/2019-08100.html Notice - Self-Regulatory Organizations; Nasdaq PHLX LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Extend the Pilot Period for the Exchange's Nonstandard Expirations Pilot Program 2019-04-23T00:00:00-07:00 2019-04-23T00:00:00-07:00 2019-08100 Notice https://www.govinfo.gov/content/pkg/FR-2019-04-23/pdf/2019-08100.pdf https://regulations.justia.com/regulations/fedreg/2019/04/23/2019-08099.html Notice - Self-Regulatory Organizations; Fixed Income Clearing Corporation; Notice of Filing of Proposed Rule Change To Amend the GSD and MBSD Methodology Documents and the MBSD Clearing Rules 2019-04-23T00:00:00-07:00 2019-04-23T00:00:00-07:00 2019-08099 Notice https://www.govinfo.gov/content/pkg/FR-2019-04-23/pdf/2019-08099.pdf https://regulations.justia.com/regulations/fedreg/2019/04/23/2019-08083.html Notice - Self-Regulatory Organizations; The Options Clearing Corporation; Notice of Filing of Advance Notice Related to the Options Clearing Corporation's Margin Methodology for Volatility Index Futures 2019-04-23T00:00:00-07:00 2019-04-23T00:00:00-07:00 2019-08083 Notice https://www.govinfo.gov/content/pkg/FR-2019-04-23/pdf/2019-08083.pdf https://regulations.justia.com/regulations/fedreg/2019/04/23/2019-08067.html Notice - Putnam Managed Municipal Income Trust, et al. 2019-04-23T00:00:00-07:00 2019-04-23T00:00:00-07:00 2019-08067 Notice https://www.govinfo.gov/content/pkg/FR-2019-04-23/pdf/2019-08067.pdf https://regulations.justia.com/regulations/fedreg/2019/04/22/2019-08043.html Notice - Submission for OMB Review; Comment Request 2019-04-22T00:00:00-07:00 2019-04-22T00:00:00-07:00 2019-08043 Notice https://www.govinfo.gov/content/pkg/FR-2019-04-22/pdf/2019-08043.pdf https://regulations.justia.com/regulations/fedreg/2019/04/22/2019-08042.html Notice - Submission for OMB Review; Comment Request 2019-04-22T00:00:00-07:00 2019-04-22T00:00:00-07:00 2019-08042 Notice https://www.govinfo.gov/content/pkg/FR-2019-04-22/pdf/2019-08042.pdf https://regulations.justia.com/regulations/fedreg/2019/04/22/2019-08041.html Notice - Submission for OMB Review; Comment Request 2019-04-22T00:00:00-07:00 2019-04-22T00:00:00-07:00 2019-08041 Notice https://www.govinfo.gov/content/pkg/FR-2019-04-22/pdf/2019-08041.pdf https://regulations.justia.com/regulations/fedreg/2019/04/22/2019-08040.html Notice - Submission for OMB Review; Comment Request 2019-04-22T00:00:00-07:00 2019-04-22T00:00:00-07:00 2019-08040 Notice https://www.govinfo.gov/content/pkg/FR-2019-04-22/pdf/2019-08040.pdf https://regulations.justia.com/regulations/fedreg/2019/04/22/2019-08039.html Notice - Submission for OMB Review; Comment Request 2019-04-22T00:00:00-07:00 2019-04-22T00:00:00-07:00 2019-08039 Notice https://www.govinfo.gov/content/pkg/FR-2019-04-22/pdf/2019-08039.pdf https://regulations.justia.com/regulations/fedreg/2019/04/22/2019-08038.html Notice - Submission for OMB Review; Comment Request 2019-04-22T00:00:00-07:00 2019-04-22T00:00:00-07:00 2019-08038 Notice https://www.govinfo.gov/content/pkg/FR-2019-04-22/pdf/2019-08038.pdf https://regulations.justia.com/regulations/fedreg/2019/04/22/2019-08037.html Notice - Proposed Collection; Comment Request 2019-04-22T00:00:00-07:00 2019-04-22T00:00:00-07:00 2019-08037 Notice https://www.govinfo.gov/content/pkg/FR-2019-04-22/pdf/2019-08037.pdf https://regulations.justia.com/regulations/fedreg/2019/04/22/2019-08036.html Notice - Proposed Collection; Comment Request 2019-04-22T00:00:00-07:00 2019-04-22T00:00:00-07:00 2019-08036 Notice https://www.govinfo.gov/content/pkg/FR-2019-04-22/pdf/2019-08036.pdf https://regulations.justia.com/regulations/fedreg/2019/04/22/2019-08035.html Notice - Submission for OMB Review; Comment Request 2019-04-22T00:00:00-07:00 2019-04-22T00:00:00-07:00 2019-08035 Notice https://www.govinfo.gov/content/pkg/FR-2019-04-22/pdf/2019-08035.pdf https://regulations.justia.com/regulations/fedreg/2019/04/22/2019-08034.html Notice - Proposed Collection; Comment Request 2019-04-22T00:00:00-07:00 2019-04-22T00:00:00-07:00 2019-08034 Notice https://www.govinfo.gov/content/pkg/FR-2019-04-22/pdf/2019-08034.pdf https://regulations.justia.com/regulations/fedreg/2019/04/22/2019-07994.html Notice - Self-Regulatory Organizations; Cboe EDGA Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Extend the Pilot Program Related to EDGA Rule 11.16, Trading Halts Due to Extraordinary Market Volatility, to the Close of Business on October 18, 2019 2019-04-22T00:00:00-07:00 2019-04-22T00:00:00-07:00 2019-07994 Notice https://www.govinfo.gov/content/pkg/FR-2019-04-22/pdf/2019-07994.pdf https://regulations.justia.com/regulations/fedreg/2019/04/22/2019-07993.html Notice - Self-Regulatory Organizations; Cboe EDGX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Extend the Pilot Program Related to EDGX Rule 11.16, Trading Halts Due to Extraordinary Market Volatility, to the Close of Business on October 18, 2019 2019-04-22T00:00:00-07:00 2019-04-22T00:00:00-07:00 2019-07993 Notice https://www.govinfo.gov/content/pkg/FR-2019-04-22/pdf/2019-07993.pdf https://regulations.justia.com/regulations/fedreg/2019/04/22/2019-07992.html Notice - Self-Regulatory Organizations; The Nasdaq Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change to the First Trust California Municipal High Income ETF and the First Trust Municipal High Income ETF 2019-04-22T00:00:00-07:00 2019-04-22T00:00:00-07:00 2019-07992 Notice https://www.govinfo.gov/content/pkg/FR-2019-04-22/pdf/2019-07992.pdf https://regulations.justia.com/regulations/fedreg/2019/04/22/2019-07991.html Notice - Self-Regulatory Organizations; Cboe BYX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Extend the Pilot Program Related to BYX Rule 11.18, Trading Halts Due to Extraordinary Market Volatility, to the Close of Business on October 18, 2019 2019-04-22T00:00:00-07:00 2019-04-22T00:00:00-07:00 2019-07991 Notice https://www.govinfo.gov/content/pkg/FR-2019-04-22/pdf/2019-07991.pdf https://regulations.justia.com/regulations/fedreg/2019/04/22/2019-07988.html Notice - Self-Regulatory Organizations; The Nasdaq Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the Exchange's Pricing Schedule in Options 7, Section 2 2019-04-22T00:00:00-07:00 2019-04-22T00:00:00-07:00 2019-07988 Notice https://www.govinfo.gov/content/pkg/FR-2019-04-22/pdf/2019-07988.pdf https://regulations.justia.com/regulations/fedreg/2019/04/22/2019-07983.html Notice - Self-Regulatory Organizations; Cboe Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Update Defined Terms in Its Rules, Delete Obsolete and Redundant Language, and Make Other Nonsubstantive Changes 2019-04-22T00:00:00-07:00 2019-04-22T00:00:00-07:00 2019-07983 Notice https://www.govinfo.gov/content/pkg/FR-2019-04-22/pdf/2019-07983.pdf https://regulations.justia.com/regulations/fedreg/2019/04/22/2019-07982.html Notice - Self-Regulatory Organizations; Cboe BZX Exchange, Inc.; Notice of Filing of a Proposed Rule Change Amend Exchange Rule 14.11(c), Index Fund Shares, To Adopt Generic Listing Standards for Index Fund Shares Based on an Index of Municipal Bond Securities 2019-04-22T00:00:00-07:00 2019-04-22T00:00:00-07:00 2019-07982 Notice https://www.govinfo.gov/content/pkg/FR-2019-04-22/pdf/2019-07982.pdf https://regulations.justia.com/regulations/fedreg/2019/04/22/2019-07981.html Notice - Self-Regulatory Organizations; Nasdaq PHLX LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Rule 1080(m) Related to Routing to Away Markets 2019-04-22T00:00:00-07:00 2019-04-22T00:00:00-07:00 2019-07981 Notice https://www.govinfo.gov/content/pkg/FR-2019-04-22/pdf/2019-07981.pdf https://regulations.justia.com/regulations/fedreg/2019/04/22/2019-07980.html Notice - Self-Regulatory Organizations; Nasdaq PHLX LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the Pricing Schedule 2019-04-22T00:00:00-07:00 2019-04-22T00:00:00-07:00 2019-07980 Notice https://www.govinfo.gov/content/pkg/FR-2019-04-22/pdf/2019-07980.pdf https://regulations.justia.com/regulations/fedreg/2019/04/19/2019-07852.html Notice - Self-Regulatory Organizations; Cboe Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating To Renew an Existing Pilot Program Until November 4, 2019 2019-04-19T00:00:00-07:00 2019-04-19T00:00:00-07:00 2019-07852 Notice https://www.govinfo.gov/content/pkg/FR-2019-04-19/pdf/2019-07852.pdf https://regulations.justia.com/regulations/fedreg/2019/04/19/2019-07851.html Notice - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Rule 7.31(i)(4) Relating to the Last Sale Peg Modifier 2019-04-19T00:00:00-07:00 2019-04-19T00:00:00-07:00 2019-07851 Notice https://www.govinfo.gov/content/pkg/FR-2019-04-19/pdf/2019-07851.pdf https://regulations.justia.com/regulations/fedreg/2019/04/18/2019-07826.html Notice - Self-Regulatory Organizations; Cboe BZX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Chapter 22 of the Exchange's Rulebook 2019-04-18T00:00:00-07:00 2019-04-18T00:00:00-07:00 2019-07826 Notice https://www.govinfo.gov/content/pkg/FR-2019-04-18/pdf/2019-07826.pdf https://regulations.justia.com/regulations/fedreg/2019/04/18/2019-07825.html Notice - Self-Regulatory Organizations; Cboe EDGX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Chapter 22 of the Exchange's Rulebook 2019-04-18T00:00:00-07:00 2019-04-18T00:00:00-07:00 2019-07825 Notice https://www.govinfo.gov/content/pkg/FR-2019-04-18/pdf/2019-07825.pdf https://regulations.justia.com/regulations/fedreg/2019/04/18/2019-07824.html Notice - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Designation of a Longer Period for Commission Action on Proceedings To Determine Whether To Approve or Disapprove a Proposed Rule Change To Amend the Listed Company Manual for Special Purpose Acquisition Companies To Reduce the Continued Listing Standards for Public Holders From 300 to 100 and To Enable the Exchange To Exercise Discretion To Allow Special Purpose Acquisition Companies a Reasonable Time Period Following a Business Combination To Demonstrate Compliance With the Applicable Quantitative Listing Standards 2019-04-18T00:00:00-07:00 2019-04-18T00:00:00-07:00 2019-07824 Notice https://www.govinfo.gov/content/pkg/FR-2019-04-18/pdf/2019-07824.pdf https://regulations.justia.com/regulations/fedreg/2019/04/18/2019-07823.html Notice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Withdrawal of Proposed Rule Change To Amend Rule 7.44-E To Expand and Modify the Exchange's Retail Liquidity Program 2019-04-18T00:00:00-07:00 2019-04-18T00:00:00-07:00 2019-07823 Notice https://www.govinfo.gov/content/pkg/FR-2019-04-18/pdf/2019-07823.pdf https://regulations.justia.com/regulations/fedreg/2019/04/18/2019-07822.html Notice - Self-Regulatory Organizations; Nasdaq ISE, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Establish a Priority Customer Complex Order Surcharge and Provide an Additional Rebate per Originating Contract Side to Qualifying Members 2019-04-18T00:00:00-07:00 2019-04-18T00:00:00-07:00 2019-07822 Notice https://www.govinfo.gov/content/pkg/FR-2019-04-18/pdf/2019-07822.pdf https://regulations.justia.com/regulations/fedreg/2019/04/18/2019-07821.html Notice - Eaton Vance Growth Trust, et al. 2019-04-18T00:00:00-07:00 2019-04-18T00:00:00-07:00 2019-07821 Notice https://www.govinfo.gov/content/pkg/FR-2019-04-18/pdf/2019-07821.pdf https://regulations.justia.com/regulations/fedreg/2019/04/18/2019-07762.html Notice - Proposed Collection; Comment Request 2019-04-18T00:00:00-07:00 2019-04-18T00:00:00-07:00 2019-07762 Notice https://www.govinfo.gov/content/pkg/FR-2019-04-18/pdf/2019-07762.pdf https://regulations.justia.com/regulations/fedreg/2019/04/18/2019-07761.html Notice - Proposed Collection; Comment Request 2019-04-18T00:00:00-07:00 2019-04-18T00:00:00-07:00 2019-07761 Notice https://www.govinfo.gov/content/pkg/FR-2019-04-18/pdf/2019-07761.pdf https://regulations.justia.com/regulations/fedreg/2019/04/18/2019-07739.html Notice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Adopt Investigation, Disciplinary, Sanction, and Other Procedural Rules Modeled on the Rules of the Exchange's Affiliate NYSE American LLC 2019-04-18T00:00:00-07:00 2019-04-18T00:00:00-07:00 2019-07739 Notice https://www.govinfo.gov/content/pkg/FR-2019-04-18/pdf/2019-07739.pdf https://regulations.justia.com/regulations/fedreg/2019/04/17/2019-07718.html Notice - Roundhill Financial LLC and Listed Funds Trust 2019-04-17T00:00:00-07:00 2019-04-17T00:00:00-07:00 2019-07718 Notice https://www.govinfo.gov/content/pkg/FR-2019-04-17/pdf/2019-07718.pdf https://regulations.justia.com/regulations/fedreg/2019/04/17/2019-07707.html 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 2019-04-17T00:00:00-07:00 2019-04-17T00:00:00-07:00 2019-07707 Notice https://www.govinfo.gov/content/pkg/FR-2019-04-17/pdf/2019-07707.pdf https://regulations.justia.com/regulations/fedreg/2019/04/17/2019-07705.html 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) 2019-04-17T00:00:00-07:00 2019-04-17T00:00:00-07:00 2019-07705 Notice https://www.govinfo.gov/content/pkg/FR-2019-04-17/pdf/2019-07705.pdf https://regulations.justia.com/regulations/fedreg/2019/04/17/2019-07704.html 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”) 2019-04-17T00:00:00-07:00 2019-04-17T00:00:00-07:00 2019-07704 Notice https://www.govinfo.gov/content/pkg/FR-2019-04-17/pdf/2019-07704.pdf https://regulations.justia.com/regulations/fedreg/2019/04/17/2019-07703.html 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 2019-04-17T00:00:00-07:00 2019-04-17T00:00:00-07:00 2019-07703 Notice https://www.govinfo.gov/content/pkg/FR-2019-04-17/pdf/2019-07703.pdf https://regulations.justia.com/regulations/fedreg/2019/04/17/2019-07658.html Notice - Submission for OMB Review; Comment Request 2019-04-17T00:00:00-07:00 2019-04-17T00:00:00-07:00 2019-07658 Notice https://www.govinfo.gov/content/pkg/FR-2019-04-17/pdf/2019-07658.pdf https://regulations.justia.com/regulations/fedreg/2019/04/17/2019-07637.html 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. 2019-04-17T00:00:00-07:00 2019-04-17T00:00:00-07:00 2019-07637 Notice https://www.govinfo.gov/content/pkg/FR-2019-04-17/pdf/2019-07637.pdf https://regulations.justia.com/regulations/fedreg/2019/04/17/2019-07633.html 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 2019-04-17T00:00:00-07:00 2019-04-17T00:00:00-07:00 2019-07633 Notice https://www.govinfo.gov/content/pkg/FR-2019-04-17/pdf/2019-07633.pdf https://regulations.justia.com/regulations/fedreg/2019/04/17/2019-07632.html 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 2019-04-17T00:00:00-07:00 2019-04-17T00:00:00-07:00 2019-07632 Notice https://www.govinfo.gov/content/pkg/FR-2019-04-17/pdf/2019-07632.pdf https://regulations.justia.com/regulations/fedreg/2019/04/17/2019-07631.html 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 2019-04-17T00:00:00-07:00 2019-04-17T00:00:00-07:00 2019-07631 Notice https://www.govinfo.gov/content/pkg/FR-2019-04-17/pdf/2019-07631.pdf https://regulations.justia.com/regulations/fedreg/2019/04/17/2019-07630.html 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 2019-04-17T00:00:00-07:00 2019-04-17T00:00:00-07:00 2019-07630 Notice https://www.govinfo.gov/content/pkg/FR-2019-04-17/pdf/2019-07630.pdf https://regulations.justia.com/regulations/fedreg/2019/04/17/2019-07629.html 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) 2019-04-17T00:00:00-07:00 2019-04-17T00:00:00-07:00 2019-07629 Notice https://www.govinfo.gov/content/pkg/FR-2019-04-17/pdf/2019-07629.pdf https://regulations.justia.com/regulations/fedreg/2019/04/17/2019-07628.html 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 2019-04-17T00:00:00-07:00 2019-04-17T00:00:00-07:00 2019-07628 Notice https://www.govinfo.gov/content/pkg/FR-2019-04-17/pdf/2019-07628.pdf https://regulations.justia.com/regulations/fedreg/2019/04/17/2019-07627.html 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 2019-04-17T00:00:00-07:00 2019-04-17T00:00:00-07:00 2019-07627 Notice https://www.govinfo.gov/content/pkg/FR-2019-04-17/pdf/2019-07627.pdf https://regulations.justia.com/regulations/fedreg/2019/04/17/2019-07626.html 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 2019-04-17T00:00:00-07:00 2019-04-17T00:00:00-07:00 2019-07626 Notice https://www.govinfo.gov/content/pkg/FR-2019-04-17/pdf/2019-07626.pdf https://regulations.justia.com/regulations/fedreg/2019/04/17/2019-07625.html 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) 2019-04-17T00:00:00-07:00 2019-04-17T00:00:00-07:00 2019-07625 Notice https://www.govinfo.gov/content/pkg/FR-2019-04-17/pdf/2019-07625.pdf https://regulations.justia.com/regulations/fedreg/2019/04/17/2019-07624.html 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 2019-04-17T00:00:00-07:00 2019-04-17T00:00:00-07:00 2019-07624 Notice https://www.govinfo.gov/content/pkg/FR-2019-04-17/pdf/2019-07624.pdf https://regulations.justia.com/regulations/fedreg/2019/04/17/2019-07623.html 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 2019-04-17T00:00:00-07:00 2019-04-17T00:00:00-07:00 2019-07623 Notice https://www.govinfo.gov/content/pkg/FR-2019-04-17/pdf/2019-07623.pdf https://regulations.justia.com/regulations/fedreg/2019/04/17/2019-07622.html 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 2019-04-17T00:00:00-07:00 2019-04-17T00:00:00-07:00 2019-07622 Notice https://www.govinfo.gov/content/pkg/FR-2019-04-17/pdf/2019-07622.pdf https://regulations.justia.com/regulations/fedreg/2019/04/17/2019-07621.html 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 2019-04-17T00:00:00-07:00 2019-04-17T00:00:00-07:00 2019-07621 Notice https://www.govinfo.gov/content/pkg/FR-2019-04-17/pdf/2019-07621.pdf https://regulations.justia.com/regulations/fedreg/2019/04/17/2019-07620.html 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 2019-04-17T00:00:00-07:00 2019-04-17T00:00:00-07:00 2019-07620 Notice https://www.govinfo.gov/content/pkg/FR-2019-04-17/pdf/2019-07620.pdf https://regulations.justia.com/regulations/fedreg/2019/04/17/2019-07619.html 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 2019-04-17T00:00:00-07:00 2019-04-17T00:00:00-07:00 2019-07619 Notice https://www.govinfo.gov/content/pkg/FR-2019-04-17/pdf/2019-07619.pdf https://regulations.justia.com/regulations/fedreg/2019/04/17/2019-07618.html 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 2019-04-17T00:00:00-07:00 2019-04-17T00:00:00-07:00 2019-07618 Notice https://www.govinfo.gov/content/pkg/FR-2019-04-17/pdf/2019-07618.pdf https://regulations.justia.com/regulations/fedreg/2019/04/17/2019-07617.html 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 2019-04-17T00:00:00-07:00 2019-04-17T00:00:00-07:00 2019-07617 Notice https://www.govinfo.gov/content/pkg/FR-2019-04-17/pdf/2019-07617.pdf https://regulations.justia.com/regulations/fedreg/2019/04/17/2019-07616.html 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 2019-04-17T00:00:00-07:00 2019-04-17T00:00:00-07:00 2019-07616 Notice https://www.govinfo.gov/content/pkg/FR-2019-04-17/pdf/2019-07616.pdf https://regulations.justia.com/regulations/fedreg/2019/04/17/2019-07615.html 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) 2019-04-17T00:00:00-07:00 2019-04-17T00:00:00-07:00 2019-07615 Notice https://www.govinfo.gov/content/pkg/FR-2019-04-17/pdf/2019-07615.pdf https://regulations.justia.com/regulations/fedreg/2019/04/17/2019-07614.html 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 2019-04-17T00:00:00-07:00 2019-04-17T00:00:00-07:00 2019-07614 Notice https://www.govinfo.gov/content/pkg/FR-2019-04-17/pdf/2019-07614.pdf https://regulations.justia.com/regulations/fedreg/2019/04/17/2019-07613.html 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 2019-04-17T00:00:00-07:00 2019-04-17T00:00:00-07:00 2019-07613 Notice https://www.govinfo.gov/content/pkg/FR-2019-04-17/pdf/2019-07613.pdf https://regulations.justia.com/regulations/fedreg/2019/04/17/2019-07612.html 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 2019-04-17T00:00:00-07:00 2019-04-17T00:00:00-07:00 2019-07612 Notice https://www.govinfo.gov/content/pkg/FR-2019-04-17/pdf/2019-07612.pdf https://regulations.justia.com/regulations/fedreg/2019/04/16/2019-07638.html Notice - Sunshine Act Meetings 2019-04-16T00:00:00-07:00 2019-04-16T00:00:00-07:00 2019-07638 Notice https://www.govinfo.gov/content/pkg/FR-2019-04-16/pdf/2019-07638.pdf https://regulations.justia.com/regulations/fedreg/2019/04/16/2019-07510.html Notice - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Its Price List To Modify the Supplemental Liquidity Provider Provide Tier 1 Credit for Securities Traded Pursuant to Unlisted Trading Privileges 2019-04-16T00:00:00-07:00 2019-04-16T00:00:00-07:00 2019-07510 Notice https://www.govinfo.gov/content/pkg/FR-2019-04-16/pdf/2019-07510.pdf https://regulations.justia.com/regulations/fedreg/2019/04/16/2019-07509.html Notice - Self-Regulatory Organizations; NYSE American LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the NYSE American Options Fee Schedule 2019-04-16T00:00:00-07:00 2019-04-16T00:00:00-07:00 2019-07509 Notice https://www.govinfo.gov/content/pkg/FR-2019-04-16/pdf/2019-07509.pdf https://regulations.justia.com/regulations/fedreg/2019/04/16/2019-07508.html Notice - Self-Regulatory Organizations; Nasdaq BX, Inc.; 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 2019-04-16T00:00:00-07:00 2019-04-16T00:00:00-07:00 2019-07508 Notice https://www.govinfo.gov/content/pkg/FR-2019-04-16/pdf/2019-07508.pdf https://regulations.justia.com/regulations/fedreg/2019/04/16/2019-07507.html Notice - Self-Regulatory Organizations; Cboe BYX Exchange, Inc.; Notice of Withdrawal of Proposed Rule Change To Make Permanent Exchange Rule 11.24, Which Sets Forth the Exchange's Pilot Retail Price Improvement Program 2019-04-16T00:00:00-07:00 2019-04-16T00:00:00-07:00 2019-07507 Notice https://www.govinfo.gov/content/pkg/FR-2019-04-16/pdf/2019-07507.pdf https://regulations.justia.com/regulations/fedreg/2019/04/16/2019-07506.html Notice - 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 Procedures. 2019-04-16T00:00:00-07:00 2019-04-16T00:00:00-07:00 2019-07506 Notice https://www.govinfo.gov/content/pkg/FR-2019-04-16/pdf/2019-07506.pdf https://regulations.justia.com/regulations/fedreg/2019/04/16/2019-07505.html Notice - Self-Regulatory Organizations; ICE Clear Credit LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to ICC's Cash Investment Yield Schedule 2019-04-16T00:00:00-07:00 2019-04-16T00:00:00-07:00 2019-07505 Notice https://www.govinfo.gov/content/pkg/FR-2019-04-16/pdf/2019-07505.pdf https://regulations.justia.com/regulations/fedreg/2019/04/16/2019-07504.html Notice - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Adopt Remaining Legacy NASD and Incorporated NYSE Rules as FINRA Rules 2019-04-16T00:00:00-07:00 2019-04-16T00:00:00-07:00 2019-07504 Notice https://www.govinfo.gov/content/pkg/FR-2019-04-16/pdf/2019-07504.pdf https://regulations.justia.com/regulations/fedreg/2019/04/16/2019-07503.html Notice - Self-Regulatory Organizations; Cboe BZX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating To Modify Its Fee Schedule 2019-04-16T00:00:00-07:00 2019-04-16T00:00:00-07:00 2019-07503 Notice https://www.govinfo.gov/content/pkg/FR-2019-04-16/pdf/2019-07503.pdf https://regulations.justia.com/regulations/fedreg/2019/04/16/2019-07502.html Notice - Self-Regulatory Organizations; Cboe EDGX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating To Modify Its Fee Schedule 2019-04-16T00:00:00-07:00 2019-04-16T00:00:00-07:00 2019-07502 Notice https://www.govinfo.gov/content/pkg/FR-2019-04-16/pdf/2019-07502.pdf https://regulations.justia.com/regulations/fedreg/2019/04/16/2019-07501.html Notice - Self-Regulatory Organizations; Cboe Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating To Amend the Select Customer Options Reduction Program 2019-04-16T00:00:00-07:00 2019-04-16T00:00:00-07:00 2019-07501 Notice https://www.govinfo.gov/content/pkg/FR-2019-04-16/pdf/2019-07501.pdf https://regulations.justia.com/regulations/fedreg/2019/04/15/2019-07377.html 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 2019-04-15T00:00:00-07:00 2019-04-15T00:00:00-07:00 2019-07377 Notice https://www.govinfo.gov/content/pkg/FR-2019-04-15/pdf/2019-07377.pdf https://regulations.justia.com/regulations/fedreg/2019/04/15/2019-07376.html 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 2019-04-15T00:00:00-07:00 2019-04-15T00:00:00-07:00 2019-07376 Notice https://www.govinfo.gov/content/pkg/FR-2019-04-15/pdf/2019-07376.pdf https://regulations.justia.com/regulations/fedreg/2019/04/15/2019-07375.html 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 2019-04-15T00:00:00-07:00 2019-04-15T00:00:00-07:00 2019-07375 Notice https://www.govinfo.gov/content/pkg/FR-2019-04-15/pdf/2019-07375.pdf https://regulations.justia.com/regulations/fedreg/2019/04/15/2019-07374.html 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 2019-04-15T00:00:00-07:00 2019-04-15T00:00:00-07:00 2019-07374 Notice https://www.govinfo.gov/content/pkg/FR-2019-04-15/pdf/2019-07374.pdf https://regulations.justia.com/regulations/fedreg/2019/04/15/2019-07373.html 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 2019-04-15T00:00:00-07:00 2019-04-15T00:00:00-07:00 2019-07373 Notice https://www.govinfo.gov/content/pkg/FR-2019-04-15/pdf/2019-07373.pdf https://regulations.justia.com/regulations/fedreg/2019/04/15/2019-07372.html 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 2019-04-15T00:00:00-07:00 2019-04-15T00:00:00-07:00 2019-07372 Notice https://www.govinfo.gov/content/pkg/FR-2019-04-15/pdf/2019-07372.pdf https://regulations.justia.com/regulations/fedreg/2019/04/15/2019-07370.html 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 2019-04-15T00:00:00-07:00 2019-04-15T00:00:00-07:00 2019-07370 Notice https://www.govinfo.gov/content/pkg/FR-2019-04-15/pdf/2019-07370.pdf https://regulations.justia.com/regulations/fedreg/2019/04/15/2019-07369.html 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 2019-04-15T00:00:00-07:00 2019-04-15T00:00:00-07:00 2019-07369 Notice https://www.govinfo.gov/content/pkg/FR-2019-04-15/pdf/2019-07369.pdf https://regulations.justia.com/regulations/fedreg/2019/04/15/2019-07368.html 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 2019-04-15T00:00:00-07:00 2019-04-15T00:00:00-07:00 2019-07368 Notice https://www.govinfo.gov/content/pkg/FR-2019-04-15/pdf/2019-07368.pdf https://regulations.justia.com/regulations/fedreg/2019/04/15/2019-07367.html 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 2019-04-15T00:00:00-07:00 2019-04-15T00:00:00-07:00 2019-07367 Notice https://www.govinfo.gov/content/pkg/FR-2019-04-15/pdf/2019-07367.pdf https://regulations.justia.com/regulations/fedreg/2019/04/15/2019-07366.html 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 2019-04-15T00:00:00-07:00 2019-04-15T00:00:00-07:00 2019-07366 Notice https://www.govinfo.gov/content/pkg/FR-2019-04-15/pdf/2019-07366.pdf https://regulations.justia.com/regulations/fedreg/2019/04/15/2019-07365.html 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 2019-04-15T00:00:00-07:00 2019-04-15T00:00:00-07:00 2019-07365 Notice https://www.govinfo.gov/content/pkg/FR-2019-04-15/pdf/2019-07365.pdf https://regulations.justia.com/regulations/fedreg/2019/04/15/2019-07364.html 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 2019-04-15T00:00:00-07:00 2019-04-15T00:00:00-07:00 2019-07364 Notice https://www.govinfo.gov/content/pkg/FR-2019-04-15/pdf/2019-07364.pdf https://regulations.justia.com/regulations/fedreg/2019/04/15/2019-07363.html 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 2019-04-15T00:00:00-07:00 2019-04-15T00:00:00-07:00 2019-07363 Notice https://www.govinfo.gov/content/pkg/FR-2019-04-15/pdf/2019-07363.pdf https://regulations.justia.com/regulations/fedreg/2019/04/15/2019-07362.html 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 2019-04-15T00:00:00-07:00 2019-04-15T00:00:00-07:00 2019-07362 Notice https://www.govinfo.gov/content/pkg/FR-2019-04-15/pdf/2019-07362.pdf https://regulations.justia.com/regulations/fedreg/2019/04/15/2019-07361.html 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 2019-04-15T00:00:00-07:00 2019-04-15T00:00:00-07:00 2019-07361 Notice https://www.govinfo.gov/content/pkg/FR-2019-04-15/pdf/2019-07361.pdf https://regulations.justia.com/regulations/fedreg/2019/04/12/2019-07338.html Notice - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Designation of a Longer Period for Commission Action on a Proposed Rule Change, as Modified by Amendment No. 1 2019-04-12T00:00:00-07:00 2019-04-12T00:00:00-07:00 2019-07338 Notice https://www.govinfo.gov/content/pkg/FR-2019-04-12/pdf/2019-07338.pdf https://regulations.justia.com/regulations/fedreg/2019/04/12/2019-07327.html Notice - Self-Regulatory Organizations; LCH SA; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the CDS and Options Fee Grid for CDSClear Clearing Members Effective Retroactively From January 1st, 2019 2019-04-12T00:00:00-07:00 2019-04-12T00:00:00-07:00 2019-07327 Notice https://www.govinfo.gov/content/pkg/FR-2019-04-12/pdf/2019-07327.pdf https://regulations.justia.com/regulations/fedreg/2019/04/12/2019-07247.html Notice - Self-Regulatory Organizations; Cboe BZX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Extend the Current Pilot Program Related to BZX Rule 11.17, Clearly Erroneous Executions 2019-04-12T00:00:00-07:00 2019-04-12T00:00:00-07:00 2019-07247 Notice https://www.govinfo.gov/content/pkg/FR-2019-04-12/pdf/2019-07247.pdf https://regulations.justia.com/regulations/fedreg/2019/04/12/2019-07244.html Notice - Self-Regulatory Organizations; Municipal Securities Rulemaking Board; Notice of Filing of a Proposed Rule Change To Amend Rules G-11 and G-32 and Form G-32 Regarding a Collection of Data Elements Provided in Electronic Format to the EMMA Dataport System in Connection With Primary Offerings 2019-04-12T00:00:00-07:00 2019-04-12T00:00:00-07:00 2019-07244 Notice https://www.govinfo.gov/content/pkg/FR-2019-04-12/pdf/2019-07244.pdf https://regulations.justia.com/regulations/fedreg/2019/04/12/2019-07243.html Notice - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Extend the Pilot Period Related to FINRA Rule 6121.02 (Market-Wide Circuit Breakers in NMS Stocks) 2019-04-12T00:00:00-07:00 2019-04-12T00:00:00-07:00 2019-07243 Notice https://www.govinfo.gov/content/pkg/FR-2019-04-12/pdf/2019-07243.pdf https://regulations.justia.com/regulations/fedreg/2019/04/12/2019-07242.html Notice - Self-Regulatory Organizations; The Nasdaq Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the Exchange's Transaction Fees at Equity 7, Section 118(a) 2019-04-12T00:00:00-07:00 2019-04-12T00:00:00-07:00 2019-07242 Notice https://www.govinfo.gov/content/pkg/FR-2019-04-12/pdf/2019-07242.pdf https://regulations.justia.com/regulations/fedreg/2019/04/12/2019-07241.html Notice - Self-Regulatory Organizations; Cboe EDGX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Extend the Current Pilot Program Related to EDGX Rule 11.15, Clearly Erroneous Executions 2019-04-12T00:00:00-07:00 2019-04-12T00:00:00-07:00 2019-07241 Notice https://www.govinfo.gov/content/pkg/FR-2019-04-12/pdf/2019-07241.pdf https://regulations.justia.com/regulations/fedreg/2019/04/12/2019-07240.html Notice - Self-Regulatory Organizations; Cboe EDGA Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Extend the Current Pilot Program Related to EDGA Rule 11.15, Clearly Erroneous Executions 2019-04-12T00:00:00-07:00 2019-04-12T00:00:00-07:00 2019-07240 Notice https://www.govinfo.gov/content/pkg/FR-2019-04-12/pdf/2019-07240.pdf https://regulations.justia.com/regulations/fedreg/2019/04/12/2019-07239.html Notice - Self-Regulatory Organizations; Cboe BYX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Extend the Current Pilot Program Related to BYX Rule 11.17, Clearly Erroneous Executions 2019-04-12T00:00:00-07:00 2019-04-12T00:00:00-07:00 2019-07239 Notice https://www.govinfo.gov/content/pkg/FR-2019-04-12/pdf/2019-07239.pdf https://regulations.justia.com/regulations/fedreg/2019/04/12/2019-07238.html 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 2019-04-12T00:00:00-07:00 2019-04-12T00:00:00-07:00 2019-07238 Notice https://www.govinfo.gov/content/pkg/FR-2019-04-12/pdf/2019-07238.pdf https://regulations.justia.com/regulations/fedreg/2019/04/12/2019-07236.html Notice - Self-Regulatory Organizations; NYSE American LLC; Notice of Filing and Immediate Effectiveness of Proposed Change To Amend the NYSE American Options Fee Schedule 2019-04-12T00:00:00-07:00 2019-04-12T00:00:00-07:00 2019-07236 Notice https://www.govinfo.gov/content/pkg/FR-2019-04-12/pdf/2019-07236.pdf https://regulations.justia.com/regulations/fedreg/2019/04/12/2019-07233.html Notice - Principal Diversified Select Income Fund, Principal Diversified Select Real Asset Fund, and Principal Global Investors, LLC 2019-04-12T00:00:00-07:00 2019-04-12T00:00:00-07:00 2019-07233 Notice https://www.govinfo.gov/content/pkg/FR-2019-04-12/pdf/2019-07233.pdf https://regulations.justia.com/regulations/fedreg/2019/04/11/2019-07207.html Notice - Precidian ETFs Trust, et al.; Notice of Application 2019-04-11T00:00:00-07:00 2019-04-11T00:00:00-07:00 2019-07207 Notice https://www.govinfo.gov/content/pkg/FR-2019-04-11/pdf/2019-07207.pdf https://regulations.justia.com/regulations/fedreg/2019/04/11/2019-07202.html Notice - Proposed Collection; Comment Request 2019-04-11T00:00:00-07:00 2019-04-11T00:00:00-07:00 2019-07202 Notice https://www.govinfo.gov/content/pkg/FR-2019-04-11/pdf/2019-07202.pdf https://regulations.justia.com/regulations/fedreg/2019/04/11/2019-07200.html Notice - Proposed Collection; Comment Request 2019-04-11T00:00:00-07:00 2019-04-11T00:00:00-07:00 2019-07200 Notice https://www.govinfo.gov/content/pkg/FR-2019-04-11/pdf/2019-07200.pdf https://regulations.justia.com/regulations/fedreg/2019/04/11/2019-07154.html Notice - Self-Regulatory Organizations; Cboe EDGA Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Clarify the Handling of Orders That Contain Both a Post Only Instruction and Certain Other Order Handling Instructions Maintained To Facilitate Compliance with Rule 610(d) of Regulation NMS 2019-04-11T00:00:00-07:00 2019-04-11T00:00:00-07:00 2019-07154 Notice https://www.govinfo.gov/content/pkg/FR-2019-04-11/pdf/2019-07154.pdf https://regulations.justia.com/regulations/fedreg/2019/04/11/2019-07152.html Notice - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Extend the Current Pilot Program Related to Rule 7.10, Clearly Erroneous Executions, and Rule 128, Clearly Erroneous Executions for NYSE Equities 2019-04-11T00:00:00-07:00 2019-04-11T00:00:00-07:00 2019-07152 Notice https://www.govinfo.gov/content/pkg/FR-2019-04-11/pdf/2019-07152.pdf https://regulations.justia.com/regulations/fedreg/2019/04/11/2019-07149.html Notice - Self-Regulatory Organizations; NYSE Chicago, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Extend the Current Pilot Program Related to Article 20, Rule 10, Handling of Clearly Erroneous Transactions 2019-04-11T00:00:00-07:00 2019-04-11T00:00:00-07:00 2019-07149 Notice https://www.govinfo.gov/content/pkg/FR-2019-04-11/pdf/2019-07149.pdf https://regulations.justia.com/regulations/fedreg/2019/04/11/2019-07148.html Notice - Self-Regulatory Organizations; NYSE National, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Extend the Current Pilot Program Related to Rule 7.10, Clearly Erroneous Executions 2019-04-11T00:00:00-07:00 2019-04-11T00:00:00-07:00 2019-07148 Notice https://www.govinfo.gov/content/pkg/FR-2019-04-11/pdf/2019-07148.pdf https://regulations.justia.com/regulations/fedreg/2019/04/11/2019-07147.html Notice - Self-Regulatory Organizations; Nasdaq PHLX LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend and Relocate the Qualified Contingent Cross Orders Rules 2019-04-11T00:00:00-07:00 2019-04-11T00:00:00-07:00 2019-07147 Notice https://www.govinfo.gov/content/pkg/FR-2019-04-11/pdf/2019-07147.pdf https://regulations.justia.com/regulations/fedreg/2019/04/11/2019-07146.html Notice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Extend the Current Pilot Program Related to Rule 7.10-E, Clearly Erroneous Executions 2019-04-11T00:00:00-07:00 2019-04-11T00:00:00-07:00 2019-07146 Notice https://www.govinfo.gov/content/pkg/FR-2019-04-11/pdf/2019-07146.pdf https://regulations.justia.com/regulations/fedreg/2019/04/11/2019-07144.html Notice - Self-Regulatory Organizations; NYSE American LLC; Notice of Designation of Longer Period for Commission Action on Proceedings To Determine Whether To Approve or Disapprove a Proposed Rule Change, as Modified by Amendment No. 2, To Allow Flexible Exchange Equity Options To Be Cash Settled Where the Underlying Security Is a Specified Exchange-Traded Fund 2019-04-11T00:00:00-07:00 2019-04-11T00:00:00-07:00 2019-07144 Notice https://www.govinfo.gov/content/pkg/FR-2019-04-11/pdf/2019-07144.pdf https://regulations.justia.com/regulations/fedreg/2019/04/11/2019-07128.html Notice - Notice of Intention To Cancel Registration Pursuant to Section 203(h) of the Investment Advisers Act of 1940 2019-04-11T00:00:00-07:00 2019-04-11T00:00:00-07:00 2019-07128 Notice https://www.govinfo.gov/content/pkg/FR-2019-04-11/pdf/2019-07128.pdf https://regulations.justia.com/regulations/fedreg/2019/04/10/2019-07051.html Notice - Self-Regulatory Organizations; Cboe EDGX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend EDGX Rules To Clarify the Handling of Orders That Contain Both a Post Only Instruction and Certain Other Order Handling Instructions Maintained To Facilitate Compliance With Rule 610(d) of Regulation NMS 2019-04-10T00:00:00-07:00 2019-04-10T00:00:00-07:00 2019-07051 Notice https://www.govinfo.gov/content/pkg/FR-2019-04-10/pdf/2019-07051.pdf https://regulations.justia.com/regulations/fedreg/2019/04/10/2019-07050.html Notice - Self-Regulatory Organizations; The Nasdaq Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend and Restate the Exchange's Membership Rules 2019-04-10T00:00:00-07:00 2019-04-10T00:00:00-07:00 2019-07050 Notice https://www.govinfo.gov/content/pkg/FR-2019-04-10/pdf/2019-07050.pdf https://regulations.justia.com/regulations/fedreg/2019/04/10/2019-07049.html Notice - Self-Regulatory Organizations; Miami International Securities Exchange LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Its Fee Schedule 2019-04-10T00:00:00-07:00 2019-04-10T00:00:00-07:00 2019-07049 Notice https://www.govinfo.gov/content/pkg/FR-2019-04-10/pdf/2019-07049.pdf https://regulations.justia.com/regulations/fedreg/2019/04/10/2019-05776.html Proposed Rule - Securities Offering Reform for Closed-End Investment Companies 2019-04-10T00:00:00-07:00 2019-04-10T00:00:00-07:00 2019-05776 Proposed Rule https://www.govinfo.gov/content/pkg/FR-2019-04-10/pdf/2019-05776.pdf https://regulations.justia.com/regulations/fedreg/2019/04/09/2019-07053.html Notice - Sunshine Act Meetings 2019-04-09T00:00:00-07:00 2019-04-09T00:00:00-07:00 2019-07053 Notice https://www.govinfo.gov/content/pkg/FR-2019-04-09/pdf/2019-07053.pdf https://regulations.justia.com/regulations/fedreg/2019/04/09/2019-07052.html Notice - Sunshine Act Meetings 2019-04-09T00:00:00-07:00 2019-04-09T00:00:00-07:00 2019-07052 Notice https://www.govinfo.gov/content/pkg/FR-2019-04-09/pdf/2019-07052.pdf https://regulations.justia.com/regulations/fedreg/2019/04/09/2019-06959.html Notice - Proposed Collection; Comment Request 2019-04-09T00:00:00-07:00 2019-04-09T00:00:00-07:00 2019-06959 Notice https://www.govinfo.gov/content/pkg/FR-2019-04-09/pdf/2019-06959.pdf https://regulations.justia.com/regulations/fedreg/2019/04/09/2019-06958.html Notice - Submission for OMB Review; Comment Request 2019-04-09T00:00:00-07:00 2019-04-09T00:00:00-07:00 2019-06958 Notice https://www.govinfo.gov/content/pkg/FR-2019-04-09/pdf/2019-06958.pdf https://regulations.justia.com/regulations/fedreg/2019/04/09/2019-06935.html Notice - Self-Regulatory Organizations; The Nasdaq Stock Market LLC; Notice of Filing of Proposed Rule Change To Revise the Exchange's Initial Listing Standards Related to Liquidity 2019-04-09T00:00:00-07:00 2019-04-09T00:00:00-07:00 2019-06935 Notice https://www.govinfo.gov/content/pkg/FR-2019-04-09/pdf/2019-06935.pdf https://regulations.justia.com/regulations/fedreg/2019/04/09/2019-06932.html Notice - Self-Regulatory Organizations; The Nasdaq Stock Market LLC; Notice of Filing of Amendment No. 2 and Order Granting Accelerated Approval of a Proposed Rule Change, as Modified by Amendment No. 2, To Reassign Certain Investigation and Enforcement Functions Under the Exchange's Authority and Supervision 2019-04-09T00:00:00-07:00 2019-04-09T00:00:00-07:00 2019-06932 Notice https://www.govinfo.gov/content/pkg/FR-2019-04-09/pdf/2019-06932.pdf https://regulations.justia.com/regulations/fedreg/2019/04/09/2019-06931.html Notice - Self-Regulatory Organizations; The Nasdaq Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the Equity 7 Pricing Schedule, Section 139 2019-04-09T00:00:00-07:00 2019-04-09T00:00:00-07:00 2019-06931 Notice https://www.govinfo.gov/content/pkg/FR-2019-04-09/pdf/2019-06931.pdf https://regulations.justia.com/regulations/fedreg/2019/04/09/2019-06929.html Notice - Self-Regulatory Organizations; The Nasdaq Stock Market LLC; Notice of Designation of Longer Period for Commission Action on Proposed Rule Change To Adopt a New MIDP Routing Option Under Rule 4758 and Make a Conforming Change to Rule 4703(e) 2019-04-09T00:00:00-07:00 2019-04-09T00:00:00-07:00 2019-06929 Notice https://www.govinfo.gov/content/pkg/FR-2019-04-09/pdf/2019-06929.pdf https://regulations.justia.com/regulations/fedreg/2019/04/09/2019-06928.html Notice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Rule 6.40-O To Reduce the Minimum Allowable Parameter for the Percentage-Based Risk Limitation Mechanism 2019-04-09T00:00:00-07:00 2019-04-09T00:00:00-07:00 2019-06928 Notice https://www.govinfo.gov/content/pkg/FR-2019-04-09/pdf/2019-06928.pdf https://regulations.justia.com/regulations/fedreg/2019/04/09/2019-06927.html Notice - Self-Regulatory Organizations; ICE Clear Credit LLC; Order Approving Proposed Rule Change Relating to the ICC Risk Parameter Setting and Review Policy 2019-04-09T00:00:00-07:00 2019-04-09T00:00:00-07:00 2019-06927 Notice https://www.govinfo.gov/content/pkg/FR-2019-04-09/pdf/2019-06927.pdf https://regulations.justia.com/regulations/fedreg/2019/04/09/2019-06926.html Notice - Self-Regulatory Organizations; NYSE American LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Rule 928NY To Reduce the Minimum Allowable Parameter for the Percentage-Based Risk Limitation Mechanism 2019-04-09T00:00:00-07:00 2019-04-09T00:00:00-07:00 2019-06926 Notice https://www.govinfo.gov/content/pkg/FR-2019-04-09/pdf/2019-06926.pdf https://regulations.justia.com/regulations/fedreg/2019/04/09/2019-06925.html Notice - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Adopt Rule 7640B, Data Products Offered by NYSE 2019-04-09T00:00:00-07:00 2019-04-09T00:00:00-07:00 2019-06925 Notice https://www.govinfo.gov/content/pkg/FR-2019-04-09/pdf/2019-06925.pdf https://regulations.justia.com/regulations/fedreg/2019/04/09/2019-06924.html Notice - Self-Regulatory Organizations; Nasdaq BX, Inc.; Notice of Withdrawal of Proposed Rule Change, As Modified By Amendment No. 1, To Make Permanent the Retail Price Improvement Program Pilot, Which Is Set To Expire on June 30, 2019 2019-04-09T00:00:00-07:00 2019-04-09T00:00:00-07:00 2019-06924 Notice https://www.govinfo.gov/content/pkg/FR-2019-04-09/pdf/2019-06924.pdf https://regulations.justia.com/regulations/fedreg/2019/04/08/C1-2019-05695.html Rule - FAST Act Modernization and Simplification of Regulation S-K 2019-04-08T00:00:00-07:00 2019-04-08T00:00:00-07:00 C1-2019-05695 Rule https://www.govinfo.gov/content/pkg/FR-2019-04-08/pdf/C1-2019-05695.pdf https://regulations.justia.com/regulations/fedreg/2019/04/08/2019-06786.html Notice - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing of a Proposed Rule Change To Establish a Corporate Bond New Issue Reference Data Service 2019-04-08T00:00:00-07:00 2019-04-08T00:00:00-07:00 2019-06786 Notice https://www.govinfo.gov/content/pkg/FR-2019-04-08/pdf/2019-06786.pdf https://regulations.justia.com/regulations/fedreg/2019/04/08/2019-06785.html Notice - Self-Regulatory Organizations; Nasdaq GEMX, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Adopt the Term “Professional Customer” 2019-04-08T00:00:00-07:00 2019-04-08T00:00:00-07:00 2019-06785 Notice https://www.govinfo.gov/content/pkg/FR-2019-04-08/pdf/2019-06785.pdf https://regulations.justia.com/regulations/fedreg/2019/04/05/2019-06720.html Notice - Self-Regulatory Organizations; Cboe EDGX Exchange, Inc.; Notice of Filing of a Proposed Rule Change To Introduce Retail Priority 2019-04-05T00:00:00-07:00 2019-04-05T00:00:00-07:00 2019-06720 Notice https://www.govinfo.gov/content/pkg/FR-2019-04-05/pdf/2019-06720.pdf https://regulations.justia.com/regulations/fedreg/2019/04/05/2019-06683.html Notice - Proposed Collection; Comment Request 2019-04-05T00:00:00-07:00 2019-04-05T00:00:00-07:00 2019-06683 Notice https://www.govinfo.gov/content/pkg/FR-2019-04-05/pdf/2019-06683.pdf https://regulations.justia.com/regulations/fedreg/2019/04/05/2019-06682.html Notice - Proposed Collection; Comment Request 2019-04-05T00:00:00-07:00 2019-04-05T00:00:00-07:00 2019-06682 Notice https://www.govinfo.gov/content/pkg/FR-2019-04-05/pdf/2019-06682.pdf https://regulations.justia.com/regulations/fedreg/2019/04/05/2019-06681.html Notice - Proposed Collection; Comment Request 2019-04-05T00:00:00-07:00 2019-04-05T00:00:00-07:00 2019-06681 Notice https://www.govinfo.gov/content/pkg/FR-2019-04-05/pdf/2019-06681.pdf https://regulations.justia.com/regulations/fedreg/2019/04/05/2019-06680.html Notice - Proposed Collection; Comment Request 2019-04-05T00:00:00-07:00 2019-04-05T00:00:00-07:00 2019-06680 Notice https://www.govinfo.gov/content/pkg/FR-2019-04-05/pdf/2019-06680.pdf https://regulations.justia.com/regulations/fedreg/2019/04/05/2019-06679.html Notice - Proposed Collection; Comment Request 2019-04-05T00:00:00-07:00 2019-04-05T00:00:00-07:00 2019-06679 Notice https://www.govinfo.gov/content/pkg/FR-2019-04-05/pdf/2019-06679.pdf https://regulations.justia.com/regulations/fedreg/2019/04/05/2019-06678.html Notice - Proposed Collection; Comment Request 2019-04-05T00:00:00-07:00 2019-04-05T00:00:00-07:00 2019-06678 Notice https://www.govinfo.gov/content/pkg/FR-2019-04-05/pdf/2019-06678.pdf https://regulations.justia.com/regulations/fedreg/2019/04/04/2019-06529.html Notice - Self-Regulatory Organizations; Cboe C2 Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating To Amend Rule 6.4, Interpretation and Policy .02 To Specify That Replacement Issues May Be Added to the Penny Pilot Program (“Pilot”) on a Quarterly Basis, Without Altering the Expiration Date of the Pilot, Which is June 30, 2019 2019-04-04T00:00:00-07:00 2019-04-04T00:00:00-07:00 2019-06529 Notice https://www.govinfo.gov/content/pkg/FR-2019-04-04/pdf/2019-06529.pdf https://regulations.justia.com/regulations/fedreg/2019/04/04/2019-06528.html Notice - Self-Regulatory Organizations; Cboe BZX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating To Make Certain Changes to the Listing Rule Governing the Listing and Trading of the Shares of the WisdomTree Japan Multifactor Fund and the WisdomTree Europe Multifactor Fund of the WisdomTree in Order for Such Funds To Be Listed and Traded on the Exchange Under Rule 14.11(i) (“Managed Fund Shares”) 2019-04-04T00:00:00-07:00 2019-04-04T00:00:00-07:00 2019-06528 Notice https://www.govinfo.gov/content/pkg/FR-2019-04-04/pdf/2019-06528.pdf https://regulations.justia.com/regulations/fedreg/2019/04/04/2019-06527.html Notice - Self-Regulatory Organizations; Fixed Income Clearing Corporation; Order Approving a Proposed Rule Change To Expand Sponsoring Member Eligibility in the Government Securities Division Rulebook and Make Other Changes 2019-04-04T00:00:00-07:00 2019-04-04T00:00:00-07:00 2019-06527 Notice https://www.govinfo.gov/content/pkg/FR-2019-04-04/pdf/2019-06527.pdf https://regulations.justia.com/regulations/fedreg/2019/04/04/2019-06526.html Notice - Self-Regulatory Organizations; Miami International Securities Exchange, LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Exchange Rule 510, Minimum Price Variations and Minimum Trading Increments 2019-04-04T00:00:00-07:00 2019-04-04T00:00:00-07:00 2019-06526 Notice https://www.govinfo.gov/content/pkg/FR-2019-04-04/pdf/2019-06526.pdf https://regulations.justia.com/regulations/fedreg/2019/04/04/2019-06525.html Notice - Self-Regulatory Organizations; Nasdaq PHLX LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Specify Replacement Issues That May Be Added to the Penny Pilot in Rule 1034 2019-04-04T00:00:00-07:00 2019-04-04T00:00:00-07:00 2019-06525 Notice https://www.govinfo.gov/content/pkg/FR-2019-04-04/pdf/2019-06525.pdf https://regulations.justia.com/regulations/fedreg/2019/04/04/2019-06524.html Notice - Self-Regulatory Organizations; Cboe EDGX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating To Amend Rule 21.5, Interpretation and Policy .01 To Specify That Replacement Issues May Be Added to the Penny Pilot Program (“Pilot”) on a Quarterly Basis, Without Altering the Expiration Date of the Pilot, Which Is June 30, 2019 2019-04-04T00:00:00-07:00 2019-04-04T00:00:00-07:00 2019-06524 Notice https://www.govinfo.gov/content/pkg/FR-2019-04-04/pdf/2019-06524.pdf https://regulations.justia.com/regulations/fedreg/2019/04/04/2019-06523.html Notice - Self-Regulatory Organizations; Cboe BZX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating To Amend Rule 21.5, Interpretation and Policy .01 To Specify That Replacement Issues May Be Added to the Penny Pilot Program (“Pilot”) on a Quarterly Basis, Without Altering the Expiration Date of the Pilot, Which Is June 30, 2019 2019-04-04T00:00:00-07:00 2019-04-04T00:00:00-07:00 2019-06523 Notice https://www.govinfo.gov/content/pkg/FR-2019-04-04/pdf/2019-06523.pdf https://regulations.justia.com/regulations/fedreg/2019/04/04/2019-06522.html Notice - Self-Regulatory Organizations; Nasdaq MRX, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Supplementary Material .01 to Rule 710, “Minimum Increments” 2019-04-04T00:00:00-07:00 2019-04-04T00:00:00-07:00 2019-06522 Notice https://www.govinfo.gov/content/pkg/FR-2019-04-04/pdf/2019-06522.pdf https://regulations.justia.com/regulations/fedreg/2019/04/04/2019-06521.html Notice - Self-Regulatory Organizations; Nasdaq GEMX, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Supplementary Material .01 to Rule 710 To Specify Replacement Issues That May Be Added to the Penny Pilot on a Quarterly Basis Without Altering the Expiration Date of the Pilot 2019-04-04T00:00:00-07:00 2019-04-04T00:00:00-07:00 2019-06521 Notice https://www.govinfo.gov/content/pkg/FR-2019-04-04/pdf/2019-06521.pdf https://regulations.justia.com/regulations/fedreg/2019/04/04/2019-06520.html Notice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Designation of a Longer Period for Commission Action on a Proposed Rule Change Relating to the Listing and Trading of Shares of the Bitwise Bitcoin ETF Trust Under NYSE Arca Rule 8.201-E 2019-04-04T00:00:00-07:00 2019-04-04T00:00:00-07:00 2019-06520 Notice https://www.govinfo.gov/content/pkg/FR-2019-04-04/pdf/2019-06520.pdf https://regulations.justia.com/regulations/fedreg/2019/04/04/2019-06519.html Notice - Self-Regulatory Organizations; BOX Exchange LLC; Order Disapproving Proposed Rule Changes To Amend the Fee Schedule on the BOX Market LLC Options Facility To Establish BOX Connectivity Fees for Participants and Non-Participants Who Connect to the BOX Network 2019-04-04T00:00:00-07:00 2019-04-04T00:00:00-07:00 2019-06519 Notice https://www.govinfo.gov/content/pkg/FR-2019-04-04/pdf/2019-06519.pdf https://regulations.justia.com/regulations/fedreg/2019/04/04/2019-06517.html Notice - Self-Regulatory Organizations; Cboe Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating To Amend Rule 6.42, Interpretation and Policy .04 To Specify That Replacement Issues May Be Added to the Penny Pilot Program (“Pilot”) on a Quarterly Basis, Without Altering the Expiration Date of the Pilot, Which Is June 30, 2019 2019-04-04T00:00:00-07:00 2019-04-04T00:00:00-07:00 2019-06517 Notice https://www.govinfo.gov/content/pkg/FR-2019-04-04/pdf/2019-06517.pdf https://regulations.justia.com/regulations/fedreg/2019/04/04/2019-06516.html Notice - 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 2019-04-04T00:00:00-07:00 2019-04-04T00:00:00-07:00 2019-06516 Notice https://www.govinfo.gov/content/pkg/FR-2019-04-04/pdf/2019-06516.pdf https://regulations.justia.com/regulations/fedreg/2019/04/04/2019-06515.html Notice - 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 2019-04-04T00:00:00-07:00 2019-04-04T00:00:00-07:00 2019-06515 Notice https://www.govinfo.gov/content/pkg/FR-2019-04-04/pdf/2019-06515.pdf https://regulations.justia.com/regulations/fedreg/2019/04/04/2019-06514.html Notice - Self-Regulatory Organizations: Notice of Filing and Immediate Effectiveness of a Proposed Rule Change by Miami PEARL, LLC To Amend Exchange Rule 510, Minimum Price Variations and Minimum Trading Increments 2019-04-04T00:00:00-07:00 2019-04-04T00:00:00-07:00 2019-06514 Notice https://www.govinfo.gov/content/pkg/FR-2019-04-04/pdf/2019-06514.pdf https://regulations.justia.com/regulations/fedreg/2019/04/04/2019-06513.html Notice - Self-Regulatory Organizations; Nasdaq BX, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Chapter VI, Section 5, “Minimum Increments” 2019-04-04T00:00:00-07:00 2019-04-04T00:00:00-07:00 2019-06513 Notice https://www.govinfo.gov/content/pkg/FR-2019-04-04/pdf/2019-06513.pdf https://regulations.justia.com/regulations/fedreg/2019/04/04/2019-06512.html Notice - Self-Regulatory Organizations; BOX Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Allow for Replacement Issues To Be Added to the Penny Pilot Program (“Pilot Program”) on a Quarterly Basis 2019-04-04T00:00:00-07:00 2019-04-04T00:00:00-07:00 2019-06512 Notice https://www.govinfo.gov/content/pkg/FR-2019-04-04/pdf/2019-06512.pdf https://regulations.justia.com/regulations/fedreg/2019/04/04/2019-06511.html Notice - Self-Regulatory Organizations; The Nasdaq Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change The Nasdaq Options Market LLC Rules at Chapter VI, Section 5 2019-04-04T00:00:00-07:00 2019-04-04T00:00:00-07:00 2019-06511 Notice https://www.govinfo.gov/content/pkg/FR-2019-04-04/pdf/2019-06511.pdf https://regulations.justia.com/regulations/fedreg/2019/04/04/2019-06510.html Notice - Self-Regulatory Organizations; Cboe BZX Exchange, Inc.; Notice of Designation of a Longer Period for Commission Action on a Proposed Rule Change To List and Trade Shares of SolidX Bitcoin Shares Issued by the VanEck SolidX Bitcoin Trust, Under BZX Rule 14.11(e)(4), Commodity-Based Trust Shares 2019-04-04T00:00:00-07:00 2019-04-04T00:00:00-07:00 2019-06510 Notice https://www.govinfo.gov/content/pkg/FR-2019-04-04/pdf/2019-06510.pdf https://regulations.justia.com/regulations/fedreg/2019/04/04/2019-06509.html Notice - Self-Regulatory Organizations; NYSE American LLC; Notice of Filing and Immediate Effectiveness of Proposed Change To Amend Its NYSE American Equities Price List and the NYSE American Options Fee Schedule Related to Co-Location Services 2019-04-04T00:00:00-07:00 2019-04-04T00:00:00-07:00 2019-06509 Notice https://www.govinfo.gov/content/pkg/FR-2019-04-04/pdf/2019-06509.pdf https://regulations.justia.com/regulations/fedreg/2019/04/04/2019-06508.html Notice - 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 2019-04-04T00:00:00-07:00 2019-04-04T00:00:00-07:00 2019-06508 Notice https://www.govinfo.gov/content/pkg/FR-2019-04-04/pdf/2019-06508.pdf https://regulations.justia.com/regulations/fedreg/2019/04/04/2019-06507.html Notice - 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 2019-04-04T00:00:00-07:00 2019-04-04T00:00:00-07:00 2019-06507 Notice https://www.govinfo.gov/content/pkg/FR-2019-04-04/pdf/2019-06507.pdf https://regulations.justia.com/regulations/fedreg/2019/04/04/2019-06506.html Notice - Self-Regulatory Organizations; Nasdaq ISE, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Supplementary Material .01 to Rule 710 To Specify Replacement Issues That May Be Added to the Penny Pilot on a Quarterly Basis Without Altering the Expiration Date of the Pilot 2019-04-04T00:00:00-07:00 2019-04-04T00:00:00-07:00 2019-06506 Notice https://www.govinfo.gov/content/pkg/FR-2019-04-04/pdf/2019-06506.pdf https://regulations.justia.com/regulations/fedreg/2019/04/04/2019-06497.html Notice - Notice of Applications for Deregistration Under Section 8(f) of the Investment Company Act of 1940 2019-04-04T00:00:00-07:00 2019-04-04T00:00:00-07:00 2019-06497 Notice https://www.govinfo.gov/content/pkg/FR-2019-04-04/pdf/2019-06497.pdf https://regulations.justia.com/regulations/fedreg/2019/04/04/2019-06426.html Notice - Public Company Accounting Oversight Board; Notice of Filing of Proposed Rules on Auditing Accounting Estimates, Including Fair Value Measurements, and Amendments to PCAOB Auditing Standards 2019-04-04T00:00:00-07:00 2019-04-04T00:00:00-07:00 2019-06426 Notice https://www.govinfo.gov/content/pkg/FR-2019-04-04/pdf/2019-06426.pdf https://regulations.justia.com/regulations/fedreg/2019/04/04/2019-06425.html Notice - Public Company Accounting Oversight Board; Notice of Filing of Proposed Rules on Amendments to Auditing Standards for Auditor's Use of the Work of Specialists 2019-04-04T00:00:00-07:00 2019-04-04T00:00:00-07:00 2019-06425 Notice https://www.govinfo.gov/content/pkg/FR-2019-04-04/pdf/2019-06425.pdf https://regulations.justia.com/regulations/fedreg/2019/04/03/2019-06442.html Notice - Proposed Collection; Comment Request 2019-04-03T00:00:00-07:00 2019-04-03T00:00:00-07:00 2019-06442 Notice https://www.govinfo.gov/content/pkg/FR-2019-04-03/pdf/2019-06442.pdf https://regulations.justia.com/regulations/fedreg/2019/04/03/2019-06432.html Notice - Self-Regulatory Organizations; ICE Clear Europe Limited; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating To Adoption of a New Futures & Options Capital-to-Margin and Shortfall Margin Policy (the “F&O Margin Shortfall Policy”) 2019-04-03T00:00:00-07:00 2019-04-03T00:00:00-07:00 2019-06432 Notice https://www.govinfo.gov/content/pkg/FR-2019-04-03/pdf/2019-06432.pdf https://regulations.justia.com/regulations/fedreg/2019/04/03/2019-06431.html Notice - Self-Regulatory Organizations; The Options Clearing Corporation; Notice of Filing of Proposed Rule Change To Require That an Actionable Identifier Be Included on Customer and Non-Customer Securities Options Trades Other Than Market Maker Trades 2019-04-03T00:00:00-07:00 2019-04-03T00:00:00-07:00 2019-06431 Notice https://www.govinfo.gov/content/pkg/FR-2019-04-03/pdf/2019-06431.pdf https://regulations.justia.com/regulations/fedreg/2019/04/03/2019-06430.html Notice - Self-Regulatory Organizations; The Options Clearing Corporation; Notice of Filing of Proposed Rule Change Related to The Options Clearing Corporation's Margin Methodology for Volatility Index Futures 2019-04-03T00:00:00-07:00 2019-04-03T00:00:00-07:00 2019-06430 Notice https://www.govinfo.gov/content/pkg/FR-2019-04-03/pdf/2019-06430.pdf