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/2019/05?limit=200&registers=between&min-day=1&max-day=31&mode=atom 2024-05-22T21:56:40-07:00 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/2019/05/31/2019-11340.html Notice - Self-Regulatory Organizations; ICE Clear Credit LLC; Notice of Filing of Proposed Rule Change Relating to ICC's Stress Testing Framework 2019-05-31T00:00:00-07:00 2019-05-31T00:00:00-07:00 2019-11340 Notice https://www.govinfo.gov/content/pkg/FR-2019-05-31/pdf/2019-11340.pdf https://regulations.justia.com/regulations/fedreg/2019/05/31/2019-11330.html Notice - Self-Regulatory Organizations; Nasdaq MRX, LLC; Order Approving a Proposed Rule Change To Adopt Complex Order Functionality 2019-05-31T00:00:00-07:00 2019-05-31T00:00:00-07:00 2019-11330 Notice https://www.govinfo.gov/content/pkg/FR-2019-05-31/pdf/2019-11330.pdf https://regulations.justia.com/regulations/fedreg/2019/05/31/2019-11323.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 1801, Definitions; Rule 503, Openings on the Exchange; and Rule 1802, Designation of an Index 2019-05-31T00:00:00-07:00 2019-05-31T00:00:00-07:00 2019-11323 Notice https://www.govinfo.gov/content/pkg/FR-2019-05-31/pdf/2019-11323.pdf https://regulations.justia.com/regulations/fedreg/2019/05/31/2019-11322.html Notice - Self-Regulatory Organizations; Fixed Income Clearing Corporation; Order Approving a Proposed Rule Change To Amend the GSD and MBSD Methodology Documents and the MBSD Clearing Rules 2019-05-31T00:00:00-07:00 2019-05-31T00:00:00-07:00 2019-11322 Notice https://www.govinfo.gov/content/pkg/FR-2019-05-31/pdf/2019-11322.pdf https://regulations.justia.com/regulations/fedreg/2019/05/31/2019-11320.html Notice - Self-Regulatory Organizations; The Nasdaq Stock Market LLC; Notice of Designation of Longer Period for Commission Action on a Proposed Rule Change To Revise the Exchange's Initial Listing Standards Related to Liquidity 2019-05-31T00:00:00-07:00 2019-05-31T00:00:00-07:00 2019-11320 Notice https://www.govinfo.gov/content/pkg/FR-2019-05-31/pdf/2019-11320.pdf https://regulations.justia.com/regulations/fedreg/2019/05/31/2019-11319.html Notice - Self-Regulatory Organizations; LCH SA; Notice of Filing of Proposed Rule Change, as Modified by Amendments No. 1 and 2, To Implement Settled-to-Market Treatment of Variation Margin, Permit the Creation of Multiple Account Structures, Permit Select Members To Provide Clearing Services to Affiliated Firms, and Update the Onboarding Procedures 2019-05-31T00:00:00-07:00 2019-05-31T00:00:00-07:00 2019-11319 Notice https://www.govinfo.gov/content/pkg/FR-2019-05-31/pdf/2019-11319.pdf https://regulations.justia.com/regulations/fedreg/2019/05/31/2019-11318.html Notice - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing of Proposed Rule Change Amending Section 303A.08 of the Listed Company Manual Relating to Shareholder Approval of Equity Compensation Plans 2019-05-31T00:00:00-07:00 2019-05-31T00:00:00-07:00 2019-11318 Notice https://www.govinfo.gov/content/pkg/FR-2019-05-31/pdf/2019-11318.pdf https://regulations.justia.com/regulations/fedreg/2019/05/30/2019-11238.html Notice - Self-Regulatory Organizations; Cboe C2 Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating To Amend Rule 6.11 2019-05-30T00:00:00-07:00 2019-05-30T00:00:00-07:00 2019-11238 Notice https://www.govinfo.gov/content/pkg/FR-2019-05-30/pdf/2019-11238.pdf https://regulations.justia.com/regulations/fedreg/2019/05/30/2019-11237.html Notice - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change of New Rule 7.44 To Operate Its Retail Liquidity Program on Pillar, the Exchange's New Technology Trading Platform 2019-05-30T00:00:00-07:00 2019-05-30T00:00:00-07:00 2019-11237 Notice https://www.govinfo.gov/content/pkg/FR-2019-05-30/pdf/2019-11237.pdf https://regulations.justia.com/regulations/fedreg/2019/05/30/2019-11235.html Notice - Self-Regulatory Organizations; Nasdaq ISE, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the Exchange's Market Maker Plus Program Under Options 7, Section 3 2019-05-30T00:00:00-07:00 2019-05-30T00:00:00-07:00 2019-11235 Notice https://www.govinfo.gov/content/pkg/FR-2019-05-30/pdf/2019-11235.pdf https://regulations.justia.com/regulations/fedreg/2019/05/30/2019-11234.html Notice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Rule 6.60-O 2019-05-30T00:00:00-07:00 2019-05-30T00:00:00-07:00 2019-11234 Notice https://www.govinfo.gov/content/pkg/FR-2019-05-30/pdf/2019-11234.pdf https://regulations.justia.com/regulations/fedreg/2019/05/30/2019-11230.html Notice - In the Matter of the BOX Exchange LLC Regarding an 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; Order Granting Petition for Review and Scheduling Filing of Statements 2019-05-30T00:00:00-07:00 2019-05-30T00:00:00-07:00 2019-11230 Notice https://www.govinfo.gov/content/pkg/FR-2019-05-30/pdf/2019-11230.pdf https://regulations.justia.com/regulations/fedreg/2019/05/30/2019-11223.html Notice - Program for Allocation of Regulatory Responsibilities Pursuant to Rule 17d-2; Notice of Filing of an Amendment to the Agreement Between the Financial Industry Regulatory Authority, Inc. and the NYSE Chicago, Inc. 2019-05-30T00:00:00-07:00 2019-05-30T00:00:00-07:00 2019-11223 Notice https://www.govinfo.gov/content/pkg/FR-2019-05-30/pdf/2019-11223.pdf https://regulations.justia.com/regulations/fedreg/2019/05/30/2019-11219.html Notice - Self-Regulatory Organizations; The Options Clearing Corporation; Notice of Filing of Advance Notice Concerning the Options Clearing Corporation's Proposal To Enter Into a New Credit Facility Agreement 2019-05-30T00:00:00-07:00 2019-05-30T00:00:00-07:00 2019-11219 Notice https://www.govinfo.gov/content/pkg/FR-2019-05-30/pdf/2019-11219.pdf https://regulations.justia.com/regulations/fedreg/2019/05/29/2019-11239.html Notice - Sunshine Act Meetings 2019-05-29T00:00:00-07:00 2019-05-29T00:00:00-07:00 2019-11239 Notice https://www.govinfo.gov/content/pkg/FR-2019-05-29/pdf/2019-11239.pdf https://regulations.justia.com/regulations/fedreg/2019/05/29/2019-11236.html Notice - Self-Regulatory Organizations; NYSE American LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Rule 967NY 2019-05-29T00:00:00-07:00 2019-05-29T00:00:00-07:00 2019-11236 Notice https://www.govinfo.gov/content/pkg/FR-2019-05-29/pdf/2019-11236.pdf https://regulations.justia.com/regulations/fedreg/2019/05/29/2019-11231.html Notice - Sunshine Act Meetings 2019-05-29T00:00:00-07:00 2019-05-29T00:00:00-07:00 2019-11231 Notice https://www.govinfo.gov/content/pkg/FR-2019-05-29/pdf/2019-11231.pdf https://regulations.justia.com/regulations/fedreg/2019/05/29/2019-11205.html Notice - Tudor Investment Corporation and Tudor Employee Investment Fund LLC 2019-05-29T00:00:00-07:00 2019-05-29T00:00:00-07:00 2019-11205 Notice https://www.govinfo.gov/content/pkg/FR-2019-05-29/pdf/2019-11205.pdf https://regulations.justia.com/regulations/fedreg/2019/05/29/2019-11108.html Notice - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the Independence Policy of the Board of Directors of the Exchange 2019-05-29T00:00:00-07:00 2019-05-29T00:00:00-07:00 2019-11108 Notice https://www.govinfo.gov/content/pkg/FR-2019-05-29/pdf/2019-11108.pdf https://regulations.justia.com/regulations/fedreg/2019/05/29/2019-11107.html Notice - Self-Regulatory Organizations; NYSE American LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the Independence Policy of the Board of Directors of the Exchange 2019-05-29T00:00:00-07:00 2019-05-29T00:00:00-07:00 2019-11107 Notice https://www.govinfo.gov/content/pkg/FR-2019-05-29/pdf/2019-11107.pdf https://regulations.justia.com/regulations/fedreg/2019/05/29/2019-11106.html Notice - Self-Regulatory Organizations; Nasdaq BX, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the Exchange's Transaction Fees and Credits at Equity 7, Section 118(a) 2019-05-29T00:00:00-07:00 2019-05-29T00:00:00-07:00 2019-11106 Notice https://www.govinfo.gov/content/pkg/FR-2019-05-29/pdf/2019-11106.pdf https://regulations.justia.com/regulations/fedreg/2019/05/29/2019-11105.html Notice - Self-Regulatory Organizations; MIAX Emerald, LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Exchange Rule 503, Openings on the Exchange 2019-05-29T00:00:00-07:00 2019-05-29T00:00:00-07:00 2019-11105 Notice https://www.govinfo.gov/content/pkg/FR-2019-05-29/pdf/2019-11105.pdf https://regulations.justia.com/regulations/fedreg/2019/05/29/2019-11101.html Notice - Self-Regulatory Organizations; MIAX PEARL, LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Exchange Rule 515, Execution of Orders 2019-05-29T00:00:00-07:00 2019-05-29T00:00:00-07:00 2019-11101 Notice https://www.govinfo.gov/content/pkg/FR-2019-05-29/pdf/2019-11101.pdf https://regulations.justia.com/regulations/fedreg/2019/05/29/2019-11100.html Notice - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Designation of a Longer Period for Commission Action on a Proposed Rule Change To Establish a Corporate Bond New Issue Reference Data Service 2019-05-29T00:00:00-07:00 2019-05-29T00:00:00-07:00 2019-11100 Notice https://www.govinfo.gov/content/pkg/FR-2019-05-29/pdf/2019-11100.pdf https://regulations.justia.com/regulations/fedreg/2019/05/29/2019-09932.html Proposed Rule - Amendments to the Accelerated Filer and Large Accelerated Filer Definitions 2019-05-29T00:00:00-07:00 2019-05-29T00:00:00-07:00 2019-09932 Proposed Rule https://www.govinfo.gov/content/pkg/FR-2019-05-29/pdf/2019-09932.pdf https://regulations.justia.com/regulations/fedreg/2019/05/28/2019-10997.html Notice - Notice Establishing the Commencement and Termination Dates of the Pre-Pilot Period of the Transaction Fee Pilot for National Market System Stocks 2019-05-28T00:00:00-07:00 2019-05-28T00:00:00-07:00 2019-10997 Notice https://www.govinfo.gov/content/pkg/FR-2019-05-28/pdf/2019-10997.pdf https://regulations.justia.com/regulations/fedreg/2019/05/28/2019-10989.html Notice - Self-Regulatory Organizations; ICE Clear Europe Limited; Notice of Filing of Proposed Rule Change, Security-Based Swap Submission or Advance Notice Relating to Amendments to the ICE Clear Europe Membership Policy 2019-05-28T00:00:00-07:00 2019-05-28T00:00:00-07:00 2019-10989 Notice https://www.govinfo.gov/content/pkg/FR-2019-05-28/pdf/2019-10989.pdf https://regulations.justia.com/regulations/fedreg/2019/05/28/2019-10988.html Notice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing of Proposed Rule Change To List and Trade Shares of JPMorgan Income Builder Blend ETF Under NYSE Arca Rule 8.600-E 2019-05-28T00:00:00-07:00 2019-05-28T00:00:00-07:00 2019-10988 Notice https://www.govinfo.gov/content/pkg/FR-2019-05-28/pdf/2019-10988.pdf https://regulations.justia.com/regulations/fedreg/2019/05/28/2019-10987.html Notice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing of Proposed Rule Change, as Modified by Amendment No. 1, Regarding Certain Changes to Investments of the First Trust TCW Unconstrained Plus Bond ETF 2019-05-28T00:00:00-07:00 2019-05-28T00:00:00-07:00 2019-10987 Notice https://www.govinfo.gov/content/pkg/FR-2019-05-28/pdf/2019-10987.pdf https://regulations.justia.com/regulations/fedreg/2019/05/28/2019-10986.html Notice - Self-Regulatory Organizations; ICE Clear Europe Limited; Notice of Filing of Proposed Rule Change, Security-Based Swap Submission or Advance Notice Relating to the ICE Clear Europe Recovery Plan 2019-05-28T00:00:00-07:00 2019-05-28T00:00:00-07:00 2019-10986 Notice https://www.govinfo.gov/content/pkg/FR-2019-05-28/pdf/2019-10986.pdf https://regulations.justia.com/regulations/fedreg/2019/05/28/2019-10985.html Notice - Self-Regulatory Organizations; MIAX Emerald, LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Its Fee Schedule 2019-05-28T00:00:00-07:00 2019-05-28T00:00:00-07:00 2019-10985 Notice https://www.govinfo.gov/content/pkg/FR-2019-05-28/pdf/2019-10985.pdf https://regulations.justia.com/regulations/fedreg/2019/05/28/2019-10983.html Notice - Proposed Collection; Comment Request 2019-05-28T00:00:00-07:00 2019-05-28T00:00:00-07:00 2019-10983 Notice https://www.govinfo.gov/content/pkg/FR-2019-05-28/pdf/2019-10983.pdf https://regulations.justia.com/regulations/fedreg/2019/05/28/2019-10982.html Notice - Proposed Collection; Comment Request 2019-05-28T00:00:00-07:00 2019-05-28T00:00:00-07:00 2019-10982 Notice https://www.govinfo.gov/content/pkg/FR-2019-05-28/pdf/2019-10982.pdf https://regulations.justia.com/regulations/fedreg/2019/05/28/2019-10981.html Notice - Proposed Collection; Comment Request 2019-05-28T00:00:00-07:00 2019-05-28T00:00:00-07:00 2019-10981 Notice https://www.govinfo.gov/content/pkg/FR-2019-05-28/pdf/2019-10981.pdf https://regulations.justia.com/regulations/fedreg/2019/05/28/2019-10975.html Notice - BlackRock Capital Investment Corporation, et al. 2019-05-28T00:00:00-07:00 2019-05-28T00:00:00-07:00 2019-10975 Notice https://www.govinfo.gov/content/pkg/FR-2019-05-28/pdf/2019-10975.pdf https://regulations.justia.com/regulations/fedreg/2019/05/28/2019-09472.html Proposed Rule - Amendments to Financial Disclosures About Acquired and Disposed Businesses 2019-05-28T00:00:00-07:00 2019-05-28T00:00:00-07:00 2019-09472 Proposed Rule https://www.govinfo.gov/content/pkg/FR-2019-05-28/pdf/2019-09472.pdf https://regulations.justia.com/regulations/fedreg/2019/05/24/2019-10859.html Notice - Self-Regulatory Organizations; The Nasdaq Stock Market LLC; Notice of Filing of Amendment No. 1 and Order Granting Accelerated Approval of a Proposed Rule Change, as Modified by Amendment No. 1, To Adopt a New MIDP Routing Option Under Rule 4758 and Make Conforming Changes to Rule 4703(e) 2019-05-24T00:00:00-07:00 2019-05-24T00:00:00-07:00 2019-10859 Notice https://www.govinfo.gov/content/pkg/FR-2019-05-24/pdf/2019-10859.pdf https://regulations.justia.com/regulations/fedreg/2019/05/24/2019-10858.html Notice - Self-Regulatory Organizations; Cboe BZX Exchange, Inc.; Order Instituting Proceedings To Determine Whether To Approve or Disapprove a Proposed Rule Change To List and Trade Shares of the VanEck SolidX Bitcoin Trust 2019-05-24T00:00:00-07:00 2019-05-24T00:00:00-07:00 2019-10858 Notice https://www.govinfo.gov/content/pkg/FR-2019-05-24/pdf/2019-10858.pdf https://regulations.justia.com/regulations/fedreg/2019/05/24/2019-10844.html Notice - Submission for OMB Review; Comment Request 2019-05-24T00:00:00-07:00 2019-05-24T00:00:00-07:00 2019-10844 Notice https://www.govinfo.gov/content/pkg/FR-2019-05-24/pdf/2019-10844.pdf https://regulations.justia.com/regulations/fedreg/2019/05/24/2019-10843.html Notice - Submission for OMB Review; Comment Request 2019-05-24T00:00:00-07:00 2019-05-24T00:00:00-07:00 2019-10843 Notice https://www.govinfo.gov/content/pkg/FR-2019-05-24/pdf/2019-10843.pdf https://regulations.justia.com/regulations/fedreg/2019/05/24/2019-10842.html Notice - Submission for OMB Review; Comment Request 2019-05-24T00:00:00-07:00 2019-05-24T00:00:00-07:00 2019-10842 Notice https://www.govinfo.gov/content/pkg/FR-2019-05-24/pdf/2019-10842.pdf https://regulations.justia.com/regulations/fedreg/2019/05/24/2019-10016.html Proposed Rule - Proposed Rule Amendments and Guidance Addressing Cross-Border Application of Certain Security-Based Swap Requirements 2019-05-24T00:00:00-07:00 2019-05-24T00:00:00-07:00 2019-10016 Proposed Rule https://www.govinfo.gov/content/pkg/FR-2019-05-24/pdf/2019-10016.pdf https://regulations.justia.com/regulations/fedreg/2019/05/23/2019-10810.html Notice - Fixed Income Market Structure Advisory Committee 2019-05-23T00:00:00-07:00 2019-05-23T00:00:00-07:00 2019-10810 Notice https://www.govinfo.gov/content/pkg/FR-2019-05-23/pdf/2019-10810.pdf https://regulations.justia.com/regulations/fedreg/2019/05/23/2019-10753.html Notice - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing of Proposed Rule Change Amending Section 302 of the Listed Company Manual To Provide Exemptions for the Issuers of Certain Categories of Securities From the Obligation To Hold Annual Shareholders' Meetings 2019-05-23T00:00:00-07:00 2019-05-23T00:00:00-07:00 2019-10753 Notice https://www.govinfo.gov/content/pkg/FR-2019-05-23/pdf/2019-10753.pdf https://regulations.justia.com/regulations/fedreg/2019/05/23/2019-10752.html Notice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the NYSE Arca Equities Fees and Charges To Adopt a Higher Credit for the Tier 2 Pricing Tier 2019-05-23T00:00:00-07:00 2019-05-23T00:00:00-07:00 2019-10752 Notice https://www.govinfo.gov/content/pkg/FR-2019-05-23/pdf/2019-10752.pdf https://regulations.justia.com/regulations/fedreg/2019/05/23/2019-10751.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 2019-05-23T00:00:00-07:00 2019-05-23T00:00:00-07:00 2019-10751 Notice https://www.govinfo.gov/content/pkg/FR-2019-05-23/pdf/2019-10751.pdf https://regulations.justia.com/regulations/fedreg/2019/05/23/2019-10750.html Notice - Self-Regulatory Organizations; Nasdaq ISE, LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Its Rules Governing the Give Up of a Clearing Member 2019-05-23T00:00:00-07:00 2019-05-23T00:00:00-07:00 2019-10750 Notice https://www.govinfo.gov/content/pkg/FR-2019-05-23/pdf/2019-10750.pdf https://regulations.justia.com/regulations/fedreg/2019/05/22/C1-2019-09019.html Notice - Self-Regulatory Organizations; Nasdaq PHLX LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Relocate the Floor Trading Rules to Options 8 2019-05-22T00:00:00-07:00 2019-05-22T00:00:00-07:00 C1-2019-09019 Notice https://www.govinfo.gov/content/pkg/FR-2019-05-22/pdf/C1-2019-09019.pdf https://regulations.justia.com/regulations/fedreg/2019/05/22/2019-10645.html Notice - Self-Regulatory Organizations; Cboe BZX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule To Amend the Fees Applicable to Securities Listed on the Exchange, Set Forth in BZX Rule 14.13, Company Listing Fees 2019-05-22T00:00:00-07:00 2019-05-22T00:00:00-07:00 2019-10645 Notice https://www.govinfo.gov/content/pkg/FR-2019-05-22/pdf/2019-10645.pdf https://regulations.justia.com/regulations/fedreg/2019/05/22/2019-10644.html Notice - Self-Regulatory Organizations; Cboe EDGX Exchange, Inc.; Notice of Designation of Longer Period for Commission Action on Proposed Rule Change To Introduce Retail Priority 2019-05-22T00:00:00-07:00 2019-05-22T00:00:00-07:00 2019-10644 Notice https://www.govinfo.gov/content/pkg/FR-2019-05-22/pdf/2019-10644.pdf