Federal Register Recent Federal Regulation Documents - Justia Regulation Tracker - Justia Regulations Trackerhttps://regulations.justia.com/regulations/fedreg/agencies/agencies-and-commissions/securities-and-exchange-commission/2019/04?limit=200®isters=between&min-day=1&max-day=30&mode=atom2024-04-23T02:07:25-07:00Justia Inchttps://www.justia.com/Justia Regulations Trackerhttps://regulations.justia.com/images/justiafedregulations.gifCopyright 2011 Justia Inchttps://regulations.justia.com/regulations/fedreg/2019/04/30/2019-08795.htmlNotice - Sunshine Act Meetings2019-04-30T00:00:00-07:002019-04-30T00:00:00-07:002019-08795Noticehttps://www.govinfo.gov/content/pkg/FR-2019-04-30/pdf/2019-08795.pdfhttps://regulations.justia.com/regulations/fedreg/2019/04/30/2019-08675.htmlRule - Disclosure of Order Handling Information2019-04-30T00:00:00-07:002019-04-30T00:00:00-07:002019-08675Rulehttps://www.govinfo.gov/content/pkg/FR-2019-04-30/pdf/2019-08675.pdfhttps://regulations.justia.com/regulations/fedreg/2019/04/30/2019-08652.htmlNotice - 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, 2019.2019-04-30T00:00:00-07:002019-04-30T00:00:00-07:002019-08652Noticehttps://www.govinfo.gov/content/pkg/FR-2019-04-30/pdf/2019-08652.pdfhttps://regulations.justia.com/regulations/fedreg/2019/04/29/2019-08528.htmlNotice - Symmetry Panoramic Trust and Symmetry Partners, LLC; Notice of Application2019-04-29T00:00:00-07:002019-04-29T00:00:00-07:002019-08528Noticehttps://www.govinfo.gov/content/pkg/FR-2019-04-29/pdf/2019-08528.pdfhttps://regulations.justia.com/regulations/fedreg/2019/04/29/2019-08500.htmlNotice - 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 Options2019-04-29T00:00:00-07:002019-04-29T00:00:00-07:002019-08500Noticehttps://www.govinfo.gov/content/pkg/FR-2019-04-29/pdf/2019-08500.pdfhttps://regulations.justia.com/regulations/fedreg/2019/04/29/2019-08097.htmlNotice - Cboe BZX Exchange, Inc.; Order Scheduling Filing of Statements on Review2019-04-29T00:00:00-07:002019-04-29T00:00:00-07:002019-08097Noticehttps://www.govinfo.gov/content/pkg/FR-2019-04-29/pdf/2019-08097.pdfhttps://regulations.justia.com/regulations/fedreg/2019/04/26/2019-08469.htmlNotice - Submission for OMB Review; Comment Request2019-04-26T00:00:00-07:002019-04-26T00:00:00-07:002019-08469Noticehttps://www.govinfo.gov/content/pkg/FR-2019-04-26/pdf/2019-08469.pdfhttps://regulations.justia.com/regulations/fedreg/2019/04/26/2019-08468.htmlNotice - M-CAM International LLC, et al.2019-04-26T00:00:00-07:002019-04-26T00:00:00-07:002019-08468Noticehttps://www.govinfo.gov/content/pkg/FR-2019-04-26/pdf/2019-08468.pdfhttps://regulations.justia.com/regulations/fedreg/2019/04/26/2019-08401.htmlNotice - Self-Regulatory Organizations; MIAX Emerald, LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Exchange Rule 100, Definitions2019-04-26T00:00:00-07:002019-04-26T00:00:00-07:002019-08401Noticehttps://www.govinfo.gov/content/pkg/FR-2019-04-26/pdf/2019-08401.pdfhttps://regulations.justia.com/regulations/fedreg/2019/04/26/2019-08400.htmlNotice - 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 Shares2019-04-26T00:00:00-07:002019-04-26T00:00:00-07:002019-08400Noticehttps://www.govinfo.gov/content/pkg/FR-2019-04-26/pdf/2019-08400.pdfhttps://regulations.justia.com/regulations/fedreg/2019/04/26/2019-08399.htmlNotice - 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 Relevant2019-04-26T00:00:00-07:002019-04-26T00:00:00-07:002019-08399Noticehttps://www.govinfo.gov/content/pkg/FR-2019-04-26/pdf/2019-08399.pdfhttps://regulations.justia.com/regulations/fedreg/2019/04/26/2019-08398.htmlNotice - 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-Makers2019-04-26T00:00:00-07:002019-04-26T00:00:00-07:002019-08398Noticehttps://www.govinfo.gov/content/pkg/FR-2019-04-26/pdf/2019-08398.pdfhttps://regulations.justia.com/regulations/fedreg/2019/04/25/2019-08333.htmlNotice - 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 Program2019-04-25T00:00:00-07:002019-04-25T00:00:00-07:002019-08333Noticehttps://www.govinfo.gov/content/pkg/FR-2019-04-25/pdf/2019-08333.pdfhttps://regulations.justia.com/regulations/fedreg/2019/04/25/2019-08332.htmlNotice - 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 Credits2019-04-25T00:00:00-07:002019-04-25T00:00:00-07:002019-08332Noticehttps://www.govinfo.gov/content/pkg/FR-2019-04-25/pdf/2019-08332.pdfhttps://regulations.justia.com/regulations/fedreg/2019/04/25/2019-08331.htmlNotice - Self-Regulatory Organizations; BOX Exchange LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Exchange Rule 71302019-04-25T00:00:00-07:002019-04-25T00:00:00-07:002019-08331Noticehttps://www.govinfo.gov/content/pkg/FR-2019-04-25/pdf/2019-08331.pdfhttps://regulations.justia.com/regulations/fedreg/2019/04/24/2019-08211.htmlNotice - Self-Regulatory Organizations; Miami International Securities Exchange, LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Its Fee Schedule2019-04-24T00:00:00-07:002019-04-24T00:00:00-07:002019-08211Noticehttps://www.govinfo.gov/content/pkg/FR-2019-04-24/pdf/2019-08211.pdfhttps://regulations.justia.com/regulations/fedreg/2019/04/24/2019-08210.htmlNotice - 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 Month2019-04-24T00:00:00-07:002019-04-24T00:00:00-07:002019-08210Noticehttps://www.govinfo.gov/content/pkg/FR-2019-04-24/pdf/2019-08210.pdfhttps://regulations.justia.com/regulations/fedreg/2019/04/24/2019-08209.htmlNotice - 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 Supervision2019-04-24T00:00:00-07:002019-04-24T00:00:00-07:002019-08209Noticehttps://www.govinfo.gov/content/pkg/FR-2019-04-24/pdf/2019-08209.pdfhttps://regulations.justia.com/regulations/fedreg/2019/04/24/2019-08208.htmlNotice - 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 Securities2019-04-24T00:00:00-07:002019-04-24T00:00:00-07:002019-08208Noticehttps://www.govinfo.gov/content/pkg/FR-2019-04-24/pdf/2019-08208.pdfhttps://regulations.justia.com/regulations/fedreg/2019/04/24/2019-08207.htmlNotice - 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, 20192019-04-24T00:00:00-07:002019-04-24T00:00:00-07:002019-08207Noticehttps://www.govinfo.gov/content/pkg/FR-2019-04-24/pdf/2019-08207.pdfhttps://regulations.justia.com/regulations/fedreg/2019/04/24/2019-08206.htmlNotice - 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 Program2019-04-24T00:00:00-07:002019-04-24T00:00:00-07:002019-08206Noticehttps://www.govinfo.gov/content/pkg/FR-2019-04-24/pdf/2019-08206.pdfhttps://regulations.justia.com/regulations/fedreg/2019/04/24/2019-08205.htmlNotice - 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 Act2019-04-24T00:00:00-07:002019-04-24T00:00:00-07:002019-08205Noticehttps://www.govinfo.gov/content/pkg/FR-2019-04-24/pdf/2019-08205.pdfhttps://regulations.justia.com/regulations/fedreg/2019/04/24/2019-08204.htmlNotice - 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 Securities2019-04-24T00:00:00-07:002019-04-24T00:00:00-07:002019-08204Noticehttps://www.govinfo.gov/content/pkg/FR-2019-04-24/pdf/2019-08204.pdfhttps://regulations.justia.com/regulations/fedreg/2019/04/24/2019-08203.htmlNotice - 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 Volatility2019-04-24T00:00:00-07:002019-04-24T00:00:00-07:002019-08203Noticehttps://www.govinfo.gov/content/pkg/FR-2019-04-24/pdf/2019-08203.pdfhttps://regulations.justia.com/regulations/fedreg/2019/04/23/2019-08107.htmlNotice - 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 Framework2019-04-23T00:00:00-07:002019-04-23T00:00:00-07:002019-08107Noticehttps://www.govinfo.gov/content/pkg/FR-2019-04-23/pdf/2019-08107.pdfhttps://regulations.justia.com/regulations/fedreg/2019/04/23/2019-08106.htmlNotice - 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 Rebate2019-04-23T00:00:00-07:002019-04-23T00:00:00-07:002019-08106Noticehttps://www.govinfo.gov/content/pkg/FR-2019-04-23/pdf/2019-08106.pdfhttps://regulations.justia.com/regulations/fedreg/2019/04/23/2019-08105.htmlNotice - 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 Program2019-04-23T00:00:00-07:002019-04-23T00:00:00-07:002019-08105Noticehttps://www.govinfo.gov/content/pkg/FR-2019-04-23/pdf/2019-08105.pdfhttps://regulations.justia.com/regulations/fedreg/2019/04/23/2019-08103.htmlNotice - Self-Regulatory Organizations; Nasdaq MRX, LLC; Notice of Filing of a Proposed Rule Change To Adopt Complex Order Functionality2019-04-23T00:00:00-07:002019-04-23T00:00:00-07:002019-08103Noticehttps://www.govinfo.gov/content/pkg/FR-2019-04-23/pdf/2019-08103.pdfhttps://regulations.justia.com/regulations/fedreg/2019/04/23/2019-08102.htmlNotice - Self-Regulatory Organizations; NYSE National, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Its Schedule of Fees and Rebates2019-04-23T00:00:00-07:002019-04-23T00:00:00-07:002019-08102Noticehttps://www.govinfo.gov/content/pkg/FR-2019-04-23/pdf/2019-08102.pdfhttps://regulations.justia.com/regulations/fedreg/2019/04/23/2019-08101.htmlNotice - 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 Orders2019-04-23T00:00:00-07:002019-04-23T00:00:00-07:002019-08101Noticehttps://www.govinfo.gov/content/pkg/FR-2019-04-23/pdf/2019-08101.pdfhttps://regulations.justia.com/regulations/fedreg/2019/04/23/2019-08100.htmlNotice - 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 Program2019-04-23T00:00:00-07:002019-04-23T00:00:00-07:002019-08100Noticehttps://www.govinfo.gov/content/pkg/FR-2019-04-23/pdf/2019-08100.pdfhttps://regulations.justia.com/regulations/fedreg/2019/04/23/2019-08099.htmlNotice - 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 Rules2019-04-23T00:00:00-07:002019-04-23T00:00:00-07:002019-08099Noticehttps://www.govinfo.gov/content/pkg/FR-2019-04-23/pdf/2019-08099.pdfhttps://regulations.justia.com/regulations/fedreg/2019/04/23/2019-08083.htmlNotice - 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 Futures2019-04-23T00:00:00-07:002019-04-23T00:00:00-07:002019-08083Noticehttps://www.govinfo.gov/content/pkg/FR-2019-04-23/pdf/2019-08083.pdfhttps://regulations.justia.com/regulations/fedreg/2019/04/23/2019-08067.htmlNotice - Putnam Managed Municipal Income Trust, et al.2019-04-23T00:00:00-07:002019-04-23T00:00:00-07:002019-08067Noticehttps://www.govinfo.gov/content/pkg/FR-2019-04-23/pdf/2019-08067.pdfhttps://regulations.justia.com/regulations/fedreg/2019/04/22/2019-08043.htmlNotice - Submission for OMB Review; Comment Request2019-04-22T00:00:00-07:002019-04-22T00:00:00-07:002019-08043Noticehttps://www.govinfo.gov/content/pkg/FR-2019-04-22/pdf/2019-08043.pdfhttps://regulations.justia.com/regulations/fedreg/2019/04/22/2019-08042.htmlNotice - Submission for OMB Review; Comment Request2019-04-22T00:00:00-07:002019-04-22T00:00:00-07:002019-08042Noticehttps://www.govinfo.gov/content/pkg/FR-2019-04-22/pdf/2019-08042.pdfhttps://regulations.justia.com/regulations/fedreg/2019/04/22/2019-08041.htmlNotice - Submission for OMB Review; Comment Request2019-04-22T00:00:00-07:002019-04-22T00:00:00-07:002019-08041Noticehttps://www.govinfo.gov/content/pkg/FR-2019-04-22/pdf/2019-08041.pdfhttps://regulations.justia.com/regulations/fedreg/2019/04/22/2019-08040.htmlNotice - Submission for OMB Review; Comment Request2019-04-22T00:00:00-07:002019-04-22T00:00:00-07:002019-08040Noticehttps://www.govinfo.gov/content/pkg/FR-2019-04-22/pdf/2019-08040.pdfhttps://regulations.justia.com/regulations/fedreg/2019/04/22/2019-08039.htmlNotice - Submission for OMB Review; Comment Request2019-04-22T00:00:00-07:002019-04-22T00:00:00-07:002019-08039Noticehttps://www.govinfo.gov/content/pkg/FR-2019-04-22/pdf/2019-08039.pdfhttps://regulations.justia.com/regulations/fedreg/2019/04/22/2019-08038.htmlNotice - Submission for OMB Review; Comment Request2019-04-22T00:00:00-07:002019-04-22T00:00:00-07:002019-08038Noticehttps://www.govinfo.gov/content/pkg/FR-2019-04-22/pdf/2019-08038.pdfhttps://regulations.justia.com/regulations/fedreg/2019/04/22/2019-08037.htmlNotice - Proposed Collection; Comment Request2019-04-22T00:00:00-07:002019-04-22T00:00:00-07:002019-08037Noticehttps://www.govinfo.gov/content/pkg/FR-2019-04-22/pdf/2019-08037.pdfhttps://regulations.justia.com/regulations/fedreg/2019/04/22/2019-08036.htmlNotice - Proposed Collection; Comment Request2019-04-22T00:00:00-07:002019-04-22T00:00:00-07:002019-08036Noticehttps://www.govinfo.gov/content/pkg/FR-2019-04-22/pdf/2019-08036.pdfhttps://regulations.justia.com/regulations/fedreg/2019/04/22/2019-08035.htmlNotice - Submission for OMB Review; Comment Request2019-04-22T00:00:00-07:002019-04-22T00:00:00-07:002019-08035Noticehttps://www.govinfo.gov/content/pkg/FR-2019-04-22/pdf/2019-08035.pdfhttps://regulations.justia.com/regulations/fedreg/2019/04/22/2019-08034.htmlNotice - Proposed Collection; Comment Request2019-04-22T00:00:00-07:002019-04-22T00:00:00-07:002019-08034Noticehttps://www.govinfo.gov/content/pkg/FR-2019-04-22/pdf/2019-08034.pdfhttps://regulations.justia.com/regulations/fedreg/2019/04/22/2019-07994.htmlNotice - 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, 20192019-04-22T00:00:00-07:002019-04-22T00:00:00-07:002019-07994Noticehttps://www.govinfo.gov/content/pkg/FR-2019-04-22/pdf/2019-07994.pdfhttps://regulations.justia.com/regulations/fedreg/2019/04/22/2019-07993.htmlNotice - 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, 20192019-04-22T00:00:00-07:002019-04-22T00:00:00-07:002019-07993Noticehttps://www.govinfo.gov/content/pkg/FR-2019-04-22/pdf/2019-07993.pdfhttps://regulations.justia.com/regulations/fedreg/2019/04/22/2019-07992.htmlNotice - 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 ETF2019-04-22T00:00:00-07:002019-04-22T00:00:00-07:002019-07992Noticehttps://www.govinfo.gov/content/pkg/FR-2019-04-22/pdf/2019-07992.pdfhttps://regulations.justia.com/regulations/fedreg/2019/04/22/2019-07991.htmlNotice - 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, 20192019-04-22T00:00:00-07:002019-04-22T00:00:00-07:002019-07991Noticehttps://www.govinfo.gov/content/pkg/FR-2019-04-22/pdf/2019-07991.pdfhttps://regulations.justia.com/regulations/fedreg/2019/04/22/2019-07988.htmlNotice - 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 22019-04-22T00:00:00-07:002019-04-22T00:00:00-07:002019-07988Noticehttps://www.govinfo.gov/content/pkg/FR-2019-04-22/pdf/2019-07988.pdfhttps://regulations.justia.com/regulations/fedreg/2019/04/22/2019-07983.htmlNotice - 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 Changes2019-04-22T00:00:00-07:002019-04-22T00:00:00-07:002019-07983Noticehttps://www.govinfo.gov/content/pkg/FR-2019-04-22/pdf/2019-07983.pdfhttps://regulations.justia.com/regulations/fedreg/2019/04/22/2019-07982.htmlNotice - 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 Securities2019-04-22T00:00:00-07:002019-04-22T00:00:00-07:002019-07982Noticehttps://www.govinfo.gov/content/pkg/FR-2019-04-22/pdf/2019-07982.pdfhttps://regulations.justia.com/regulations/fedreg/2019/04/22/2019-07981.htmlNotice - 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 Markets2019-04-22T00:00:00-07:002019-04-22T00:00:00-07:002019-07981Noticehttps://www.govinfo.gov/content/pkg/FR-2019-04-22/pdf/2019-07981.pdfhttps://regulations.justia.com/regulations/fedreg/2019/04/22/2019-07980.htmlNotice - Self-Regulatory Organizations; Nasdaq PHLX LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the Pricing Schedule2019-04-22T00:00:00-07:002019-04-22T00:00:00-07:002019-07980Noticehttps://www.govinfo.gov/content/pkg/FR-2019-04-22/pdf/2019-07980.pdfhttps://regulations.justia.com/regulations/fedreg/2019/04/19/2019-07852.htmlNotice - 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, 20192019-04-19T00:00:00-07:002019-04-19T00:00:00-07:002019-07852Noticehttps://www.govinfo.gov/content/pkg/FR-2019-04-19/pdf/2019-07852.pdfhttps://regulations.justia.com/regulations/fedreg/2019/04/19/2019-07851.htmlNotice - 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 Modifier2019-04-19T00:00:00-07:002019-04-19T00:00:00-07:002019-07851Noticehttps://www.govinfo.gov/content/pkg/FR-2019-04-19/pdf/2019-07851.pdfhttps://regulations.justia.com/regulations/fedreg/2019/04/18/2019-07826.htmlNotice - 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 Rulebook2019-04-18T00:00:00-07:002019-04-18T00:00:00-07:002019-07826Noticehttps://www.govinfo.gov/content/pkg/FR-2019-04-18/pdf/2019-07826.pdfhttps://regulations.justia.com/regulations/fedreg/2019/04/18/2019-07825.htmlNotice - 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 Rulebook2019-04-18T00:00:00-07:002019-04-18T00:00:00-07:002019-07825Noticehttps://www.govinfo.gov/content/pkg/FR-2019-04-18/pdf/2019-07825.pdfhttps://regulations.justia.com/regulations/fedreg/2019/04/18/2019-07824.htmlNotice - 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 Standards2019-04-18T00:00:00-07:002019-04-18T00:00:00-07:002019-07824Noticehttps://www.govinfo.gov/content/pkg/FR-2019-04-18/pdf/2019-07824.pdfhttps://regulations.justia.com/regulations/fedreg/2019/04/18/2019-07823.htmlNotice - 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 Program2019-04-18T00:00:00-07:002019-04-18T00:00:00-07:002019-07823Noticehttps://www.govinfo.gov/content/pkg/FR-2019-04-18/pdf/2019-07823.pdfhttps://regulations.justia.com/regulations/fedreg/2019/04/18/2019-07822.htmlNotice - 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 Members2019-04-18T00:00:00-07:002019-04-18T00:00:00-07:002019-07822Noticehttps://www.govinfo.gov/content/pkg/FR-2019-04-18/pdf/2019-07822.pdfhttps://regulations.justia.com/regulations/fedreg/2019/04/18/2019-07821.htmlNotice - Eaton Vance Growth Trust, et al.2019-04-18T00:00:00-07:002019-04-18T00:00:00-07:002019-07821Noticehttps://www.govinfo.gov/content/pkg/FR-2019-04-18/pdf/2019-07821.pdfhttps://regulations.justia.com/regulations/fedreg/2019/04/18/2019-07762.htmlNotice - Proposed Collection; Comment Request2019-04-18T00:00:00-07:002019-04-18T00:00:00-07:002019-07762Noticehttps://www.govinfo.gov/content/pkg/FR-2019-04-18/pdf/2019-07762.pdfhttps://regulations.justia.com/regulations/fedreg/2019/04/18/2019-07761.htmlNotice - Proposed Collection; Comment Request2019-04-18T00:00:00-07:002019-04-18T00:00:00-07:002019-07761Noticehttps://www.govinfo.gov/content/pkg/FR-2019-04-18/pdf/2019-07761.pdfhttps://regulations.justia.com/regulations/fedreg/2019/04/18/2019-07739.htmlNotice - 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 LLC2019-04-18T00:00:00-07:002019-04-18T00:00:00-07:002019-07739Noticehttps://www.govinfo.gov/content/pkg/FR-2019-04-18/pdf/2019-07739.pdfhttps://regulations.justia.com/regulations/fedreg/2019/04/17/2019-07718.htmlNotice - Roundhill Financial LLC and Listed Funds Trust2019-04-17T00:00:00-07:002019-04-17T00:00:00-07:002019-07718Noticehttps://www.govinfo.gov/content/pkg/FR-2019-04-17/pdf/2019-07718.pdfhttps://regulations.justia.com/regulations/fedreg/2019/04/17/2019-07707.htmlNotice - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing of Amendment No. 1 and Order Granting Accelerated Approval of Proposed Rule Change, as Modified by Amendment No. 1, to Amend NYSE Rule 1042019-04-17T00:00:00-07:002019-04-17T00:00:00-07:002019-07707Noticehttps://www.govinfo.gov/content/pkg/FR-2019-04-17/pdf/2019-07707.pdfhttps://regulations.justia.com/regulations/fedreg/2019/04/17/2019-07705.htmlNotice - Self-Regulatory Organizations; Cboe BZX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating To Amend the Fee Schedule Applicable to Members and Non-Members of the Exchange Pursuant to BZX Rules 15.1(a) and (c)2019-04-17T00:00:00-07:002019-04-17T00:00:00-07:002019-07705Noticehttps://www.govinfo.gov/content/pkg/FR-2019-04-17/pdf/2019-07705.pdfhttps://regulations.justia.com/regulations/fedreg/2019/04/17/2019-07704.htmlNotice - Self-Regulatory Organizations; BOX Exchange LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Extend the Pilot to the Close of Business on October 18, 2019, for Exchange Rule IM-7170-1, That Is Linked to the Equity Market Plan To Address Extraordinary Market Volatility (the “Limit Up-Limit Down Plan” or the “Plan”)2019-04-17T00:00:00-07:002019-04-17T00:00:00-07:002019-07704Noticehttps://www.govinfo.gov/content/pkg/FR-2019-04-17/pdf/2019-07704.pdfhttps://regulations.justia.com/regulations/fedreg/2019/04/17/2019-07703.htmlNotice - Self-Regulatory Organizations; Cboe EDGX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Extend the Pilot for Certain Options Market Rules That Are Linked to the Equity Market Plan To Address Extraordinary Market Volatility2019-04-17T00:00:00-07:002019-04-17T00:00:00-07:002019-07703Noticehttps://www.govinfo.gov/content/pkg/FR-2019-04-17/pdf/2019-07703.pdfhttps://regulations.justia.com/regulations/fedreg/2019/04/17/2019-07658.htmlNotice - Submission for OMB Review; Comment Request2019-04-17T00:00:00-07:002019-04-17T00:00:00-07:002019-07658Noticehttps://www.govinfo.gov/content/pkg/FR-2019-04-17/pdf/2019-07658.pdfhttps://regulations.justia.com/regulations/fedreg/2019/04/17/2019-07637.htmlNotice - Joint Industry Plan; Order Approving the Eighteenth Amendment to the National Market System Plan To Address Extraordinary Market Volatility by Cboe BYX Exchange, Inc., Cboe BZX Exchange, Inc., Cboe EDGA Exchange, Inc., Cboe EDGX Exchange, Inc., Chicago Stock Exchange, Inc., Financial Industry Regulatory Authority, Inc., Investors Exchange LLC, NASDAQ BX, Inc., NASDAQ PHLX LLC, The Nasdaq Stock Market LLC, NYSE National, Inc., New York Stock Exchange LLC, NYSE American LLC, and NYSE Arca, Inc.2019-04-17T00:00:00-07:002019-04-17T00:00:00-07:002019-07637Noticehttps://www.govinfo.gov/content/pkg/FR-2019-04-17/pdf/2019-07637.pdfhttps://regulations.justia.com/regulations/fedreg/2019/04/17/2019-07633.htmlNotice - Self-Regulatory Organizations; The Nasdaq Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Extend the Current Pilot Program Related to Clearly Erroneous Transactions2019-04-17T00:00:00-07:002019-04-17T00:00:00-07:002019-07633Noticehttps://www.govinfo.gov/content/pkg/FR-2019-04-17/pdf/2019-07633.pdfhttps://regulations.justia.com/regulations/fedreg/2019/04/17/2019-07632.htmlNotice - Self-Regulatory Organizations; Cboe BZX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Extend the Pilot for Certain Options Market Rules That Are Linked to the Equity Market Plan To Address Extraordinary Market Volatility2019-04-17T00:00:00-07:002019-04-17T00:00:00-07:002019-07632Noticehttps://www.govinfo.gov/content/pkg/FR-2019-04-17/pdf/2019-07632.pdfhttps://regulations.justia.com/regulations/fedreg/2019/04/17/2019-07631.htmlNotice - Self-Regulatory Organizations; Nasdaq PHLX LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Extend the Current Pilot Program Related to Clearly Erroneous Transactions2019-04-17T00:00:00-07:002019-04-17T00:00:00-07:002019-07631Noticehttps://www.govinfo.gov/content/pkg/FR-2019-04-17/pdf/2019-07631.pdfhttps://regulations.justia.com/regulations/fedreg/2019/04/17/2019-07630.htmlNotice - Self-Regulatory Organizations; Nasdaq ISE, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Extend the Pilot for Certain Options Market Rules That Are Linked to the Equity Market Plan To Address Extraordinary Market Volatility2019-04-17T00:00:00-07:002019-04-17T00:00:00-07:002019-07630Noticehttps://www.govinfo.gov/content/pkg/FR-2019-04-17/pdf/2019-07630.pdfhttps://regulations.justia.com/regulations/fedreg/2019/04/17/2019-07629.htmlNotice - Self-Regulatory Organizations; Cboe EDGX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating To Amending the Fee Schedule Applicable to Members and Non-Members of the Exchange Pursuant to EDGX Rules 15.1(a) and (c)2019-04-17T00:00:00-07:002019-04-17T00:00:00-07:002019-07629Noticehttps://www.govinfo.gov/content/pkg/FR-2019-04-17/pdf/2019-07629.pdfhttps://regulations.justia.com/regulations/fedreg/2019/04/17/2019-07628.htmlNotice - Self-Regulatory Organizations; MIAX PEARL, LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the MIAX PEARL Fee Schedule2019-04-17T00:00:00-07:002019-04-17T00:00:00-07:002019-07628Noticehttps://www.govinfo.gov/content/pkg/FR-2019-04-17/pdf/2019-07628.pdfhttps://regulations.justia.com/regulations/fedreg/2019/04/17/2019-07627.htmlNotice - Self-Regulatory Organizations; Nasdaq GEMX, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Extend the Pilot for Certain Options Market Rules That Are Linked to the Equity Market Plan To Address Extraordinary Market Volatility2019-04-17T00:00:00-07:002019-04-17T00:00:00-07:002019-07627Noticehttps://www.govinfo.gov/content/pkg/FR-2019-04-17/pdf/2019-07627.pdfhttps://regulations.justia.com/regulations/fedreg/2019/04/17/2019-07626.htmlNotice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Extend the Pilot for Certain Options Market Rules That Are Linked to the Equity Market Plan To Address Extraordinary Market Volatility2019-04-17T00:00:00-07:002019-04-17T00:00:00-07:002019-07626Noticehttps://www.govinfo.gov/content/pkg/FR-2019-04-17/pdf/2019-07626.pdfhttps://regulations.justia.com/regulations/fedreg/2019/04/17/2019-07625.htmlNotice - Self-Regulatory Organizations; Financial Industry Regulatory Authority Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Extend the Current Pilot Program Related to FINRA Rule 11892 (Clearly Erroneous Transactions in Exchange-Listed Securities)2019-04-17T00:00:00-07:002019-04-17T00:00:00-07:002019-07625Noticehttps://www.govinfo.gov/content/pkg/FR-2019-04-17/pdf/2019-07625.pdfhttps://regulations.justia.com/regulations/fedreg/2019/04/17/2019-07624.htmlNotice - Self-Regulatory Organizations; Nasdaq BX, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Extend the Current Pilot Program Related to Clearly Erroneous Transactions2019-04-17T00:00:00-07:002019-04-17T00:00:00-07:002019-07624Noticehttps://www.govinfo.gov/content/pkg/FR-2019-04-17/pdf/2019-07624.pdfhttps://regulations.justia.com/regulations/fedreg/2019/04/17/2019-07623.htmlNotice - Self-Regulatory Organizations; Nasdaq MRX, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Extend the Pilot for Certain Options Market Rules That Are Linked to the Equity Market Plan To Address Extraordinary Market Volatility2019-04-17T00:00:00-07:002019-04-17T00:00:00-07:002019-07623Noticehttps://www.govinfo.gov/content/pkg/FR-2019-04-17/pdf/2019-07623.pdfhttps://regulations.justia.com/regulations/fedreg/2019/04/17/2019-07622.htmlNotice - Self-Regulatory Organizations; Cboe Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Extend the Pilot for Certain Options Market Rules That are Linked to the Equity Market Plan To Address Extraordinary Market Volatility2019-04-17T00:00:00-07:002019-04-17T00:00:00-07:002019-07622Noticehttps://www.govinfo.gov/content/pkg/FR-2019-04-17/pdf/2019-07622.pdfhttps://regulations.justia.com/regulations/fedreg/2019/04/17/2019-07621.htmlNotice - Self-Regulatory Organizations; NYSE American LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Extend the Pilot for Certain Options Market Rules That Are Linked to the Equity Market Plan To Address Extraordinary Market Volatility2019-04-17T00:00:00-07:002019-04-17T00:00:00-07:002019-07621Noticehttps://www.govinfo.gov/content/pkg/FR-2019-04-17/pdf/2019-07621.pdfhttps://regulations.justia.com/regulations/fedreg/2019/04/17/2019-07620.htmlNotice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Modify the NYSE Arca Options Fee Schedule2019-04-17T00:00:00-07:002019-04-17T00:00:00-07:002019-07620Noticehttps://www.govinfo.gov/content/pkg/FR-2019-04-17/pdf/2019-07620.pdfhttps://regulations.justia.com/regulations/fedreg/2019/04/17/2019-07619.htmlNotice - Self-Regulatory Organizations; Nasdaq BX, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Extend the Pilot to the Close of Business on October 18, 20192019-04-17T00:00:00-07:002019-04-17T00:00:00-07:002019-07619Noticehttps://www.govinfo.gov/content/pkg/FR-2019-04-17/pdf/2019-07619.pdfhttps://regulations.justia.com/regulations/fedreg/2019/04/17/2019-07618.htmlNotice - Self-Regulatory Organizations; Cboe C2 Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Extend the Pilot for Certain Options Market Rules That Are Linked to the Equity Market Plan To Address Extraordinary Market Volatility2019-04-17T00:00:00-07:002019-04-17T00:00:00-07:002019-07618Noticehttps://www.govinfo.gov/content/pkg/FR-2019-04-17/pdf/2019-07618.pdfhttps://regulations.justia.com/regulations/fedreg/2019/04/17/2019-07617.htmlNotice - Self-Regulatory Organizations; Cboe EDGX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating To Add Certain Fees Related to the Listing and Trading of Options Contracts on the Mini-SPX Index2019-04-17T00:00:00-07:002019-04-17T00:00:00-07:002019-07617Noticehttps://www.govinfo.gov/content/pkg/FR-2019-04-17/pdf/2019-07617.pdfhttps://regulations.justia.com/regulations/fedreg/2019/04/17/2019-07616.htmlNotice - Self-Regulatory Organizations; Cboe EDGX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating To Adopt All-or-None (“AON”) Orders2019-04-17T00:00:00-07:002019-04-17T00:00:00-07:002019-07616Noticehttps://www.govinfo.gov/content/pkg/FR-2019-04-17/pdf/2019-07616.pdfhttps://regulations.justia.com/regulations/fedreg/2019/04/17/2019-07615.htmlNotice - Self-Regulatory Organizations; Nasdaq BX, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Transaction Fees at Equity 7, Section 118(a)2019-04-17T00:00:00-07:002019-04-17T00:00:00-07:002019-07615Noticehttps://www.govinfo.gov/content/pkg/FR-2019-04-17/pdf/2019-07615.pdfhttps://regulations.justia.com/regulations/fedreg/2019/04/17/2019-07614.htmlNotice - Self-Regulatory Organizations; NYSE American LLC; Notice of Filing of Amendment No. 2 to Proposed Rule Change To Allow Flexible Exchange Equity Options To Be Cash Settled Where the Underlying Security Is a Specified Exchange-Traded Fund2019-04-17T00:00:00-07:002019-04-17T00:00:00-07:002019-07614Noticehttps://www.govinfo.gov/content/pkg/FR-2019-04-17/pdf/2019-07614.pdfhttps://regulations.justia.com/regulations/fedreg/2019/04/17/2019-07613.htmlNotice - Self-Regulatory Organizations; Nasdaq PHLX LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Extend the Pilot to the Close of Business on October 18, 20192019-04-17T00:00:00-07:002019-04-17T00:00:00-07:002019-07613Noticehttps://www.govinfo.gov/content/pkg/FR-2019-04-17/pdf/2019-07613.pdfhttps://regulations.justia.com/regulations/fedreg/2019/04/17/2019-07612.htmlNotice - Self-Regulatory Organizations; The Nasdaq Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Extend the Pilot to the Close of Business on October 18, 20192019-04-17T00:00:00-07:002019-04-17T00:00:00-07:002019-07612Noticehttps://www.govinfo.gov/content/pkg/FR-2019-04-17/pdf/2019-07612.pdfhttps://regulations.justia.com/regulations/fedreg/2019/04/16/2019-07638.htmlNotice - Sunshine Act Meetings2019-04-16T00:00:00-07:002019-04-16T00:00:00-07:002019-07638Noticehttps://www.govinfo.gov/content/pkg/FR-2019-04-16/pdf/2019-07638.pdfhttps://regulations.justia.com/regulations/fedreg/2019/04/16/2019-07510.htmlNotice - 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 Privileges2019-04-16T00:00:00-07:002019-04-16T00:00:00-07:002019-07510Noticehttps://www.govinfo.gov/content/pkg/FR-2019-04-16/pdf/2019-07510.pdfhttps://regulations.justia.com/regulations/fedreg/2019/04/16/2019-07509.htmlNotice - Self-Regulatory Organizations; NYSE American LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the NYSE American Options Fee Schedule2019-04-16T00:00:00-07:002019-04-16T00:00:00-07:002019-07509Noticehttps://www.govinfo.gov/content/pkg/FR-2019-04-16/pdf/2019-07509.pdfhttps://regulations.justia.com/regulations/fedreg/2019/04/16/2019-07508.htmlNotice - 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 Volatility2019-04-16T00:00:00-07:002019-04-16T00:00:00-07:002019-07508Noticehttps://www.govinfo.gov/content/pkg/FR-2019-04-16/pdf/2019-07508.pdfhttps://regulations.justia.com/regulations/fedreg/2019/04/16/2019-07507.htmlNotice - 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 Program2019-04-16T00:00:00-07:002019-04-16T00:00:00-07:002019-07507Noticehttps://www.govinfo.gov/content/pkg/FR-2019-04-16/pdf/2019-07507.pdfhttps://regulations.justia.com/regulations/fedreg/2019/04/16/2019-07506.htmlNotice - 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.2019-04-16T00:00:00-07:002019-04-16T00:00:00-07:002019-07506Noticehttps://www.govinfo.gov/content/pkg/FR-2019-04-16/pdf/2019-07506.pdfhttps://regulations.justia.com/regulations/fedreg/2019/04/16/2019-07505.htmlNotice - Self-Regulatory Organizations; ICE Clear Credit LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to ICC's Cash Investment Yield Schedule2019-04-16T00:00:00-07:002019-04-16T00:00:00-07:002019-07505Noticehttps://www.govinfo.gov/content/pkg/FR-2019-04-16/pdf/2019-07505.pdfhttps://regulations.justia.com/regulations/fedreg/2019/04/16/2019-07504.htmlNotice - 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 Rules2019-04-16T00:00:00-07:002019-04-16T00:00:00-07:002019-07504Noticehttps://www.govinfo.gov/content/pkg/FR-2019-04-16/pdf/2019-07504.pdfhttps://regulations.justia.com/regulations/fedreg/2019/04/16/2019-07503.htmlNotice - Self-Regulatory Organizations; Cboe BZX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating To Modify Its Fee Schedule2019-04-16T00:00:00-07:002019-04-16T00:00:00-07:002019-07503Noticehttps://www.govinfo.gov/content/pkg/FR-2019-04-16/pdf/2019-07503.pdfhttps://regulations.justia.com/regulations/fedreg/2019/04/16/2019-07502.htmlNotice - Self-Regulatory Organizations; Cboe EDGX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating To Modify Its Fee Schedule2019-04-16T00:00:00-07:002019-04-16T00:00:00-07:002019-07502Noticehttps://www.govinfo.gov/content/pkg/FR-2019-04-16/pdf/2019-07502.pdfhttps://regulations.justia.com/regulations/fedreg/2019/04/16/2019-07501.htmlNotice - 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 Program2019-04-16T00:00:00-07:002019-04-16T00:00:00-07:002019-07501Noticehttps://www.govinfo.gov/content/pkg/FR-2019-04-16/pdf/2019-07501.pdfhttps://regulations.justia.com/regulations/fedreg/2019/04/15/2019-07377.htmlNotice - 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 Funds2019-04-15T00:00:00-07:002019-04-15T00:00:00-07:002019-07377Noticehttps://www.govinfo.gov/content/pkg/FR-2019-04-15/pdf/2019-07377.pdfhttps://regulations.justia.com/regulations/fedreg/2019/04/15/2019-07376.htmlNotice - 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 Volatility2019-04-15T00:00:00-07:002019-04-15T00:00:00-07:002019-07376Noticehttps://www.govinfo.gov/content/pkg/FR-2019-04-15/pdf/2019-07376.pdfhttps://regulations.justia.com/regulations/fedreg/2019/04/15/2019-07375.htmlNotice - 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 Volatility2019-04-15T00:00:00-07:002019-04-15T00:00:00-07:002019-07375Noticehttps://www.govinfo.gov/content/pkg/FR-2019-04-15/pdf/2019-07375.pdfhttps://regulations.justia.com/regulations/fedreg/2019/04/15/2019-07374.htmlNotice - 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 Executions2019-04-15T00:00:00-07:002019-04-15T00:00:00-07:002019-07374Noticehttps://www.govinfo.gov/content/pkg/FR-2019-04-15/pdf/2019-07374.pdfhttps://regulations.justia.com/regulations/fedreg/2019/04/15/2019-07373.htmlNotice - 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 Volatility2019-04-15T00:00:00-07:002019-04-15T00:00:00-07:002019-07373Noticehttps://www.govinfo.gov/content/pkg/FR-2019-04-15/pdf/2019-07373.pdfhttps://regulations.justia.com/regulations/fedreg/2019/04/15/2019-07372.htmlNotice - 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 Volatility2019-04-15T00:00:00-07:002019-04-15T00:00:00-07:002019-07372Noticehttps://www.govinfo.gov/content/pkg/FR-2019-04-15/pdf/2019-07372.pdfhttps://regulations.justia.com/regulations/fedreg/2019/04/15/2019-07370.htmlNotice - 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 Value2019-04-15T00:00:00-07:002019-04-15T00:00:00-07:002019-07370Noticehttps://www.govinfo.gov/content/pkg/FR-2019-04-15/pdf/2019-07370.pdfhttps://regulations.justia.com/regulations/fedreg/2019/04/15/2019-07369.htmlNotice - 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 Errors2019-04-15T00:00:00-07:002019-04-15T00:00:00-07:002019-07369Noticehttps://www.govinfo.gov/content/pkg/FR-2019-04-15/pdf/2019-07369.pdfhttps://regulations.justia.com/regulations/fedreg/2019/04/15/2019-07368.htmlNotice - 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 Transactions2019-04-15T00:00:00-07:002019-04-15T00:00:00-07:002019-07368Noticehttps://www.govinfo.gov/content/pkg/FR-2019-04-15/pdf/2019-07368.pdfhttps://regulations.justia.com/regulations/fedreg/2019/04/15/2019-07367.htmlNotice - 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 Errors2019-04-15T00:00:00-07:002019-04-15T00:00:00-07:002019-07367Noticehttps://www.govinfo.gov/content/pkg/FR-2019-04-15/pdf/2019-07367.pdfhttps://regulations.justia.com/regulations/fedreg/2019/04/15/2019-07366.htmlNotice - 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 Volatility2019-04-15T00:00:00-07:002019-04-15T00:00:00-07:002019-07366Noticehttps://www.govinfo.gov/content/pkg/FR-2019-04-15/pdf/2019-07366.pdfhttps://regulations.justia.com/regulations/fedreg/2019/04/15/2019-07365.htmlNotice - 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 Securities2019-04-15T00:00:00-07:002019-04-15T00:00:00-07:002019-07365Noticehttps://www.govinfo.gov/content/pkg/FR-2019-04-15/pdf/2019-07365.pdfhttps://regulations.justia.com/regulations/fedreg/2019/04/15/2019-07364.htmlNotice - 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, 20192019-04-15T00:00:00-07:002019-04-15T00:00:00-07:002019-07364Noticehttps://www.govinfo.gov/content/pkg/FR-2019-04-15/pdf/2019-07364.pdfhttps://regulations.justia.com/regulations/fedreg/2019/04/15/2019-07363.htmlNotice - 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 Floor2019-04-15T00:00:00-07:002019-04-15T00:00:00-07:002019-07363Noticehttps://www.govinfo.gov/content/pkg/FR-2019-04-15/pdf/2019-07363.pdfhttps://regulations.justia.com/regulations/fedreg/2019/04/15/2019-07362.htmlNotice - 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 Volatility2019-04-15T00:00:00-07:002019-04-15T00:00:00-07:002019-07362Noticehttps://www.govinfo.gov/content/pkg/FR-2019-04-15/pdf/2019-07362.pdfhttps://regulations.justia.com/regulations/fedreg/2019/04/15/2019-07361.htmlNotice - 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 Volatility2019-04-15T00:00:00-07:002019-04-15T00:00:00-07:002019-07361Noticehttps://www.govinfo.gov/content/pkg/FR-2019-04-15/pdf/2019-07361.pdfhttps://regulations.justia.com/regulations/fedreg/2019/04/12/2019-07338.htmlNotice - 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. 12019-04-12T00:00:00-07:002019-04-12T00:00:00-07:002019-07338Noticehttps://www.govinfo.gov/content/pkg/FR-2019-04-12/pdf/2019-07338.pdfhttps://regulations.justia.com/regulations/fedreg/2019/04/12/2019-07327.htmlNotice - 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, 20192019-04-12T00:00:00-07:002019-04-12T00:00:00-07:002019-07327Noticehttps://www.govinfo.gov/content/pkg/FR-2019-04-12/pdf/2019-07327.pdfhttps://regulations.justia.com/regulations/fedreg/2019/04/12/2019-07247.htmlNotice - 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 Executions2019-04-12T00:00:00-07:002019-04-12T00:00:00-07:002019-07247Noticehttps://www.govinfo.gov/content/pkg/FR-2019-04-12/pdf/2019-07247.pdfhttps://regulations.justia.com/regulations/fedreg/2019/04/12/2019-07244.htmlNotice - 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 Offerings2019-04-12T00:00:00-07:002019-04-12T00:00:00-07:002019-07244Noticehttps://www.govinfo.gov/content/pkg/FR-2019-04-12/pdf/2019-07244.pdfhttps://regulations.justia.com/regulations/fedreg/2019/04/12/2019-07243.htmlNotice - 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)2019-04-12T00:00:00-07:002019-04-12T00:00:00-07:002019-07243Noticehttps://www.govinfo.gov/content/pkg/FR-2019-04-12/pdf/2019-07243.pdfhttps://regulations.justia.com/regulations/fedreg/2019/04/12/2019-07242.htmlNotice - 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)2019-04-12T00:00:00-07:002019-04-12T00:00:00-07:002019-07242Noticehttps://www.govinfo.gov/content/pkg/FR-2019-04-12/pdf/2019-07242.pdfhttps://regulations.justia.com/regulations/fedreg/2019/04/12/2019-07241.htmlNotice - 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 Executions2019-04-12T00:00:00-07:002019-04-12T00:00:00-07:002019-07241Noticehttps://www.govinfo.gov/content/pkg/FR-2019-04-12/pdf/2019-07241.pdfhttps://regulations.justia.com/regulations/fedreg/2019/04/12/2019-07240.htmlNotice - 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 Executions2019-04-12T00:00:00-07:002019-04-12T00:00:00-07:002019-07240Noticehttps://www.govinfo.gov/content/pkg/FR-2019-04-12/pdf/2019-07240.pdfhttps://regulations.justia.com/regulations/fedreg/2019/04/12/2019-07239.htmlNotice - 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 Executions2019-04-12T00:00:00-07:002019-04-12T00:00:00-07:002019-07239Noticehttps://www.govinfo.gov/content/pkg/FR-2019-04-12/pdf/2019-07239.pdfhttps://regulations.justia.com/regulations/fedreg/2019/04/12/2019-07238.htmlNotice - Self-Regulatory Organizations; MIAX PEARL, LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the MIAX PEARL Fee Schedule2019-04-12T00:00:00-07:002019-04-12T00:00:00-07:002019-07238Noticehttps://www.govinfo.gov/content/pkg/FR-2019-04-12/pdf/2019-07238.pdfhttps://regulations.justia.com/regulations/fedreg/2019/04/12/2019-07236.htmlNotice - Self-Regulatory Organizations; NYSE American LLC; Notice of Filing and Immediate Effectiveness of Proposed Change To Amend the NYSE American Options Fee Schedule2019-04-12T00:00:00-07:002019-04-12T00:00:00-07:002019-07236Noticehttps://www.govinfo.gov/content/pkg/FR-2019-04-12/pdf/2019-07236.pdfhttps://regulations.justia.com/regulations/fedreg/2019/04/12/2019-07233.htmlNotice - Principal Diversified Select Income Fund, Principal Diversified Select Real Asset Fund, and Principal Global Investors, LLC2019-04-12T00:00:00-07:002019-04-12T00:00:00-07:002019-07233Noticehttps://www.govinfo.gov/content/pkg/FR-2019-04-12/pdf/2019-07233.pdfhttps://regulations.justia.com/regulations/fedreg/2019/04/11/2019-07207.htmlNotice - Precidian ETFs Trust, et al.; Notice of Application2019-04-11T00:00:00-07:002019-04-11T00:00:00-07:002019-07207Noticehttps://www.govinfo.gov/content/pkg/FR-2019-04-11/pdf/2019-07207.pdfhttps://regulations.justia.com/regulations/fedreg/2019/04/11/2019-07202.htmlNotice - Proposed Collection; Comment Request2019-04-11T00:00:00-07:002019-04-11T00:00:00-07:002019-07202Noticehttps://www.govinfo.gov/content/pkg/FR-2019-04-11/pdf/2019-07202.pdfhttps://regulations.justia.com/regulations/fedreg/2019/04/11/2019-07200.htmlNotice - Proposed Collection; Comment Request2019-04-11T00:00:00-07:002019-04-11T00:00:00-07:002019-07200Noticehttps://www.govinfo.gov/content/pkg/FR-2019-04-11/pdf/2019-07200.pdfhttps://regulations.justia.com/regulations/fedreg/2019/04/11/2019-07154.htmlNotice - 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 NMS2019-04-11T00:00:00-07:002019-04-11T00:00:00-07:002019-07154Noticehttps://www.govinfo.gov/content/pkg/FR-2019-04-11/pdf/2019-07154.pdfhttps://regulations.justia.com/regulations/fedreg/2019/04/11/2019-07152.htmlNotice - 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 Equities2019-04-11T00:00:00-07:002019-04-11T00:00:00-07:002019-07152Noticehttps://www.govinfo.gov/content/pkg/FR-2019-04-11/pdf/2019-07152.pdfhttps://regulations.justia.com/regulations/fedreg/2019/04/11/2019-07149.htmlNotice - 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 Transactions2019-04-11T00:00:00-07:002019-04-11T00:00:00-07:002019-07149Noticehttps://www.govinfo.gov/content/pkg/FR-2019-04-11/pdf/2019-07149.pdfhttps://regulations.justia.com/regulations/fedreg/2019/04/11/2019-07148.htmlNotice - 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 Executions2019-04-11T00:00:00-07:002019-04-11T00:00:00-07:002019-07148Noticehttps://www.govinfo.gov/content/pkg/FR-2019-04-11/pdf/2019-07148.pdfhttps://regulations.justia.com/regulations/fedreg/2019/04/11/2019-07147.htmlNotice - 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 Rules2019-04-11T00:00:00-07:002019-04-11T00:00:00-07:002019-07147Noticehttps://www.govinfo.gov/content/pkg/FR-2019-04-11/pdf/2019-07147.pdfhttps://regulations.justia.com/regulations/fedreg/2019/04/11/2019-07146.htmlNotice - 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 Executions2019-04-11T00:00:00-07:002019-04-11T00:00:00-07:002019-07146Noticehttps://www.govinfo.gov/content/pkg/FR-2019-04-11/pdf/2019-07146.pdfhttps://regulations.justia.com/regulations/fedreg/2019/04/11/2019-07144.htmlNotice - 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 Fund2019-04-11T00:00:00-07:002019-04-11T00:00:00-07:002019-07144Noticehttps://www.govinfo.gov/content/pkg/FR-2019-04-11/pdf/2019-07144.pdfhttps://regulations.justia.com/regulations/fedreg/2019/04/11/2019-07128.htmlNotice - Notice of Intention To Cancel Registration Pursuant to Section 203(h) of the Investment Advisers Act of 19402019-04-11T00:00:00-07:002019-04-11T00:00:00-07:002019-07128Noticehttps://www.govinfo.gov/content/pkg/FR-2019-04-11/pdf/2019-07128.pdfhttps://regulations.justia.com/regulations/fedreg/2019/04/10/2019-07051.htmlNotice - 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 NMS2019-04-10T00:00:00-07:002019-04-10T00:00:00-07:002019-07051Noticehttps://www.govinfo.gov/content/pkg/FR-2019-04-10/pdf/2019-07051.pdfhttps://regulations.justia.com/regulations/fedreg/2019/04/10/2019-07050.htmlNotice - 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 Rules2019-04-10T00:00:00-07:002019-04-10T00:00:00-07:002019-07050Noticehttps://www.govinfo.gov/content/pkg/FR-2019-04-10/pdf/2019-07050.pdfhttps://regulations.justia.com/regulations/fedreg/2019/04/10/2019-07049.htmlNotice - Self-Regulatory Organizations; Miami International Securities Exchange LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Its Fee Schedule2019-04-10T00:00:00-07:002019-04-10T00:00:00-07:002019-07049Noticehttps://www.govinfo.gov/content/pkg/FR-2019-04-10/pdf/2019-07049.pdfhttps://regulations.justia.com/regulations/fedreg/2019/04/10/2019-05776.htmlProposed Rule - Securities Offering Reform for Closed-End Investment Companies2019-04-10T00:00:00-07:002019-04-10T00:00:00-07:002019-05776Proposed Rulehttps://www.govinfo.gov/content/pkg/FR-2019-04-10/pdf/2019-05776.pdfhttps://regulations.justia.com/regulations/fedreg/2019/04/09/2019-07053.htmlNotice - Sunshine Act Meetings2019-04-09T00:00:00-07:002019-04-09T00:00:00-07:002019-07053Noticehttps://www.govinfo.gov/content/pkg/FR-2019-04-09/pdf/2019-07053.pdfhttps://regulations.justia.com/regulations/fedreg/2019/04/09/2019-07052.htmlNotice - Sunshine Act Meetings2019-04-09T00:00:00-07:002019-04-09T00:00:00-07:002019-07052Noticehttps://www.govinfo.gov/content/pkg/FR-2019-04-09/pdf/2019-07052.pdfhttps://regulations.justia.com/regulations/fedreg/2019/04/09/2019-06959.htmlNotice - Proposed Collection; Comment Request2019-04-09T00:00:00-07:002019-04-09T00:00:00-07:002019-06959Noticehttps://www.govinfo.gov/content/pkg/FR-2019-04-09/pdf/2019-06959.pdfhttps://regulations.justia.com/regulations/fedreg/2019/04/09/2019-06958.htmlNotice - Submission for OMB Review; Comment Request2019-04-09T00:00:00-07:002019-04-09T00:00:00-07:002019-06958Noticehttps://www.govinfo.gov/content/pkg/FR-2019-04-09/pdf/2019-06958.pdfhttps://regulations.justia.com/regulations/fedreg/2019/04/09/2019-06935.htmlNotice - 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 Liquidity2019-04-09T00:00:00-07:002019-04-09T00:00:00-07:002019-06935Noticehttps://www.govinfo.gov/content/pkg/FR-2019-04-09/pdf/2019-06935.pdfhttps://regulations.justia.com/regulations/fedreg/2019/04/09/2019-06932.htmlNotice - 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 Supervision2019-04-09T00:00:00-07:002019-04-09T00:00:00-07:002019-06932Noticehttps://www.govinfo.gov/content/pkg/FR-2019-04-09/pdf/2019-06932.pdfhttps://regulations.justia.com/regulations/fedreg/2019/04/09/2019-06931.htmlNotice - 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 1392019-04-09T00:00:00-07:002019-04-09T00:00:00-07:002019-06931Noticehttps://www.govinfo.gov/content/pkg/FR-2019-04-09/pdf/2019-06931.pdfhttps://regulations.justia.com/regulations/fedreg/2019/04/09/2019-06929.htmlNotice - 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)2019-04-09T00:00:00-07:002019-04-09T00:00:00-07:002019-06929Noticehttps://www.govinfo.gov/content/pkg/FR-2019-04-09/pdf/2019-06929.pdfhttps://regulations.justia.com/regulations/fedreg/2019/04/09/2019-06928.htmlNotice - 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 Mechanism2019-04-09T00:00:00-07:002019-04-09T00:00:00-07:002019-06928Noticehttps://www.govinfo.gov/content/pkg/FR-2019-04-09/pdf/2019-06928.pdfhttps://regulations.justia.com/regulations/fedreg/2019/04/09/2019-06927.htmlNotice - Self-Regulatory Organizations; ICE Clear Credit LLC; Order Approving Proposed Rule Change Relating to the ICC Risk Parameter Setting and Review Policy2019-04-09T00:00:00-07:002019-04-09T00:00:00-07:002019-06927Noticehttps://www.govinfo.gov/content/pkg/FR-2019-04-09/pdf/2019-06927.pdfhttps://regulations.justia.com/regulations/fedreg/2019/04/09/2019-06926.htmlNotice - 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 Mechanism2019-04-09T00:00:00-07:002019-04-09T00:00:00-07:002019-06926Noticehttps://www.govinfo.gov/content/pkg/FR-2019-04-09/pdf/2019-06926.pdfhttps://regulations.justia.com/regulations/fedreg/2019/04/09/2019-06925.htmlNotice - 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 NYSE2019-04-09T00:00:00-07:002019-04-09T00:00:00-07:002019-06925Noticehttps://www.govinfo.gov/content/pkg/FR-2019-04-09/pdf/2019-06925.pdfhttps://regulations.justia.com/regulations/fedreg/2019/04/09/2019-06924.htmlNotice - 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, 20192019-04-09T00:00:00-07:002019-04-09T00:00:00-07:002019-06924Noticehttps://www.govinfo.gov/content/pkg/FR-2019-04-09/pdf/2019-06924.pdfhttps://regulations.justia.com/regulations/fedreg/2019/04/08/C1-2019-05695.htmlRule - FAST Act Modernization and Simplification of Regulation S-K2019-04-08T00:00:00-07:002019-04-08T00:00:00-07:00C1-2019-05695Rulehttps://www.govinfo.gov/content/pkg/FR-2019-04-08/pdf/C1-2019-05695.pdfhttps://regulations.justia.com/regulations/fedreg/2019/04/08/2019-06786.htmlNotice - 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 Service2019-04-08T00:00:00-07:002019-04-08T00:00:00-07:002019-06786Noticehttps://www.govinfo.gov/content/pkg/FR-2019-04-08/pdf/2019-06786.pdfhttps://regulations.justia.com/regulations/fedreg/2019/04/08/2019-06785.htmlNotice - Self-Regulatory Organizations; Nasdaq GEMX, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Adopt the Term “Professional Customer”2019-04-08T00:00:00-07:002019-04-08T00:00:00-07:002019-06785Noticehttps://www.govinfo.gov/content/pkg/FR-2019-04-08/pdf/2019-06785.pdfhttps://regulations.justia.com/regulations/fedreg/2019/04/05/2019-06720.htmlNotice - Self-Regulatory Organizations; Cboe EDGX Exchange, Inc.; Notice of Filing of a Proposed Rule Change To Introduce Retail Priority2019-04-05T00:00:00-07:002019-04-05T00:00:00-07:002019-06720Noticehttps://www.govinfo.gov/content/pkg/FR-2019-04-05/pdf/2019-06720.pdfhttps://regulations.justia.com/regulations/fedreg/2019/04/05/2019-06683.htmlNotice - Proposed Collection; Comment Request2019-04-05T00:00:00-07:002019-04-05T00:00:00-07:002019-06683Noticehttps://www.govinfo.gov/content/pkg/FR-2019-04-05/pdf/2019-06683.pdfhttps://regulations.justia.com/regulations/fedreg/2019/04/05/2019-06682.htmlNotice - Proposed Collection; Comment Request2019-04-05T00:00:00-07:002019-04-05T00:00:00-07:002019-06682Noticehttps://www.govinfo.gov/content/pkg/FR-2019-04-05/pdf/2019-06682.pdfhttps://regulations.justia.com/regulations/fedreg/2019/04/05/2019-06681.htmlNotice - Proposed Collection; Comment Request2019-04-05T00:00:00-07:002019-04-05T00:00:00-07:002019-06681Noticehttps://www.govinfo.gov/content/pkg/FR-2019-04-05/pdf/2019-06681.pdfhttps://regulations.justia.com/regulations/fedreg/2019/04/05/2019-06680.htmlNotice - Proposed Collection; Comment Request2019-04-05T00:00:00-07:002019-04-05T00:00:00-07:002019-06680Noticehttps://www.govinfo.gov/content/pkg/FR-2019-04-05/pdf/2019-06680.pdfhttps://regulations.justia.com/regulations/fedreg/2019/04/05/2019-06679.htmlNotice - Proposed Collection; Comment Request2019-04-05T00:00:00-07:002019-04-05T00:00:00-07:002019-06679Noticehttps://www.govinfo.gov/content/pkg/FR-2019-04-05/pdf/2019-06679.pdfhttps://regulations.justia.com/regulations/fedreg/2019/04/05/2019-06678.htmlNotice - Proposed Collection; Comment Request2019-04-05T00:00:00-07:002019-04-05T00:00:00-07:002019-06678Noticehttps://www.govinfo.gov/content/pkg/FR-2019-04-05/pdf/2019-06678.pdfhttps://regulations.justia.com/regulations/fedreg/2019/04/04/2019-06529.htmlNotice - 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, 20192019-04-04T00:00:00-07:002019-04-04T00:00:00-07:002019-06529Noticehttps://www.govinfo.gov/content/pkg/FR-2019-04-04/pdf/2019-06529.pdfhttps://regulations.justia.com/regulations/fedreg/2019/04/04/2019-06528.htmlNotice - 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”)2019-04-04T00:00:00-07:002019-04-04T00:00:00-07:002019-06528Noticehttps://www.govinfo.gov/content/pkg/FR-2019-04-04/pdf/2019-06528.pdfhttps://regulations.justia.com/regulations/fedreg/2019/04/04/2019-06527.htmlNotice - 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 Changes2019-04-04T00:00:00-07:002019-04-04T00:00:00-07:002019-06527Noticehttps://www.govinfo.gov/content/pkg/FR-2019-04-04/pdf/2019-06527.pdfhttps://regulations.justia.com/regulations/fedreg/2019/04/04/2019-06526.htmlNotice - 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 Increments2019-04-04T00:00:00-07:002019-04-04T00:00:00-07:002019-06526Noticehttps://www.govinfo.gov/content/pkg/FR-2019-04-04/pdf/2019-06526.pdfhttps://regulations.justia.com/regulations/fedreg/2019/04/04/2019-06525.htmlNotice - 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 10342019-04-04T00:00:00-07:002019-04-04T00:00:00-07:002019-06525Noticehttps://www.govinfo.gov/content/pkg/FR-2019-04-04/pdf/2019-06525.pdfhttps://regulations.justia.com/regulations/fedreg/2019/04/04/2019-06524.htmlNotice - 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, 20192019-04-04T00:00:00-07:002019-04-04T00:00:00-07:002019-06524Noticehttps://www.govinfo.gov/content/pkg/FR-2019-04-04/pdf/2019-06524.pdfhttps://regulations.justia.com/regulations/fedreg/2019/04/04/2019-06523.htmlNotice - 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, 20192019-04-04T00:00:00-07:002019-04-04T00:00:00-07:002019-06523Noticehttps://www.govinfo.gov/content/pkg/FR-2019-04-04/pdf/2019-06523.pdfhttps://regulations.justia.com/regulations/fedreg/2019/04/04/2019-06522.htmlNotice - 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”2019-04-04T00:00:00-07:002019-04-04T00:00:00-07:002019-06522Noticehttps://www.govinfo.gov/content/pkg/FR-2019-04-04/pdf/2019-06522.pdfhttps://regulations.justia.com/regulations/fedreg/2019/04/04/2019-06521.htmlNotice - 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 Pilot2019-04-04T00:00:00-07:002019-04-04T00:00:00-07:002019-06521Noticehttps://www.govinfo.gov/content/pkg/FR-2019-04-04/pdf/2019-06521.pdfhttps://regulations.justia.com/regulations/fedreg/2019/04/04/2019-06520.htmlNotice - 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-E2019-04-04T00:00:00-07:002019-04-04T00:00:00-07:002019-06520Noticehttps://www.govinfo.gov/content/pkg/FR-2019-04-04/pdf/2019-06520.pdfhttps://regulations.justia.com/regulations/fedreg/2019/04/04/2019-06519.htmlNotice - 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 Network2019-04-04T00:00:00-07:002019-04-04T00:00:00-07:002019-06519Noticehttps://www.govinfo.gov/content/pkg/FR-2019-04-04/pdf/2019-06519.pdfhttps://regulations.justia.com/regulations/fedreg/2019/04/04/2019-06517.htmlNotice - 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, 20192019-04-04T00:00:00-07:002019-04-04T00:00:00-07:002019-06517Noticehttps://www.govinfo.gov/content/pkg/FR-2019-04-04/pdf/2019-06517.pdfhttps://regulations.justia.com/regulations/fedreg/2019/04/04/2019-06516.htmlNotice - 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 Increments2019-04-04T00:00:00-07:002019-04-04T00:00:00-07:002019-06516Noticehttps://www.govinfo.gov/content/pkg/FR-2019-04-04/pdf/2019-06516.pdfhttps://regulations.justia.com/regulations/fedreg/2019/04/04/2019-06515.htmlNotice - 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 Services2019-04-04T00:00:00-07:002019-04-04T00:00:00-07:002019-06515Noticehttps://www.govinfo.gov/content/pkg/FR-2019-04-04/pdf/2019-06515.pdfhttps://regulations.justia.com/regulations/fedreg/2019/04/04/2019-06514.htmlNotice - 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 Increments2019-04-04T00:00:00-07:002019-04-04T00:00:00-07:002019-06514Noticehttps://www.govinfo.gov/content/pkg/FR-2019-04-04/pdf/2019-06514.pdfhttps://regulations.justia.com/regulations/fedreg/2019/04/04/2019-06513.htmlNotice - Self-Regulatory Organizations; Nasdaq BX, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Chapter VI, Section 5, “Minimum Increments”2019-04-04T00:00:00-07:002019-04-04T00:00:00-07:002019-06513Noticehttps://www.govinfo.gov/content/pkg/FR-2019-04-04/pdf/2019-06513.pdfhttps://regulations.justia.com/regulations/fedreg/2019/04/04/2019-06512.htmlNotice - 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 Basis2019-04-04T00:00:00-07:002019-04-04T00:00:00-07:002019-06512Noticehttps://www.govinfo.gov/content/pkg/FR-2019-04-04/pdf/2019-06512.pdfhttps://regulations.justia.com/regulations/fedreg/2019/04/04/2019-06511.htmlNotice - 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 52019-04-04T00:00:00-07:002019-04-04T00:00:00-07:002019-06511Noticehttps://www.govinfo.gov/content/pkg/FR-2019-04-04/pdf/2019-06511.pdfhttps://regulations.justia.com/regulations/fedreg/2019/04/04/2019-06510.htmlNotice - 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 Shares2019-04-04T00:00:00-07:002019-04-04T00:00:00-07:002019-06510Noticehttps://www.govinfo.gov/content/pkg/FR-2019-04-04/pdf/2019-06510.pdfhttps://regulations.justia.com/regulations/fedreg/2019/04/04/2019-06509.htmlNotice - 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 Services2019-04-04T00:00:00-07:002019-04-04T00:00:00-07:002019-06509Noticehttps://www.govinfo.gov/content/pkg/FR-2019-04-04/pdf/2019-06509.pdfhttps://regulations.justia.com/regulations/fedreg/2019/04/04/2019-06508.htmlNotice - 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 Services2019-04-04T00:00:00-07:002019-04-04T00:00:00-07:002019-06508Noticehttps://www.govinfo.gov/content/pkg/FR-2019-04-04/pdf/2019-06508.pdfhttps://regulations.justia.com/regulations/fedreg/2019/04/04/2019-06507.htmlNotice - 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 Services2019-04-04T00:00:00-07:002019-04-04T00:00:00-07:002019-06507Noticehttps://www.govinfo.gov/content/pkg/FR-2019-04-04/pdf/2019-06507.pdfhttps://regulations.justia.com/regulations/fedreg/2019/04/04/2019-06506.htmlNotice - 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 Pilot2019-04-04T00:00:00-07:002019-04-04T00:00:00-07:002019-06506Noticehttps://www.govinfo.gov/content/pkg/FR-2019-04-04/pdf/2019-06506.pdfhttps://regulations.justia.com/regulations/fedreg/2019/04/04/2019-06497.htmlNotice - Notice of Applications for Deregistration Under Section 8(f) of the Investment Company Act of 19402019-04-04T00:00:00-07:002019-04-04T00:00:00-07:002019-06497Noticehttps://www.govinfo.gov/content/pkg/FR-2019-04-04/pdf/2019-06497.pdfhttps://regulations.justia.com/regulations/fedreg/2019/04/04/2019-06426.htmlNotice - Public Company Accounting Oversight Board; Notice of Filing of Proposed Rules on Auditing Accounting Estimates, Including Fair Value Measurements, and Amendments to PCAOB Auditing Standards2019-04-04T00:00:00-07:002019-04-04T00:00:00-07:002019-06426Noticehttps://www.govinfo.gov/content/pkg/FR-2019-04-04/pdf/2019-06426.pdfhttps://regulations.justia.com/regulations/fedreg/2019/04/04/2019-06425.htmlNotice - Public Company Accounting Oversight Board; Notice of Filing of Proposed Rules on Amendments to Auditing Standards for Auditor's Use of the Work of Specialists2019-04-04T00:00:00-07:002019-04-04T00:00:00-07:002019-06425Noticehttps://www.govinfo.gov/content/pkg/FR-2019-04-04/pdf/2019-06425.pdfhttps://regulations.justia.com/regulations/fedreg/2019/04/03/2019-06442.htmlNotice - Proposed Collection; Comment Request2019-04-03T00:00:00-07:002019-04-03T00:00:00-07:002019-06442Noticehttps://www.govinfo.gov/content/pkg/FR-2019-04-03/pdf/2019-06442.pdfhttps://regulations.justia.com/regulations/fedreg/2019/04/03/2019-06432.htmlNotice - 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”)2019-04-03T00:00:00-07:002019-04-03T00:00:00-07:002019-06432Noticehttps://www.govinfo.gov/content/pkg/FR-2019-04-03/pdf/2019-06432.pdfhttps://regulations.justia.com/regulations/fedreg/2019/04/03/2019-06431.htmlNotice - 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 Trades2019-04-03T00:00:00-07:002019-04-03T00:00:00-07:002019-06431Noticehttps://www.govinfo.gov/content/pkg/FR-2019-04-03/pdf/2019-06431.pdfhttps://regulations.justia.com/regulations/fedreg/2019/04/03/2019-06430.htmlNotice - 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 Futures2019-04-03T00:00:00-07:002019-04-03T00:00:00-07:002019-06430Noticehttps://www.govinfo.gov/content/pkg/FR-2019-04-03/pdf/2019-06430.pdf