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/2019/05?limit=200®isters=between&min-day=1&max-day=31&mode=atom2024-05-22T21:56:40-07:00Justia Inchttps://www.justia.com/Justia Regulations Trackerhttps://regulations.justia.com/images/justiafedregulations.gifCopyright 2011 Justia Inchttps://regulations.justia.com/regulations/fedreg/2019/05/31/2019-11340.htmlNotice - Self-Regulatory Organizations; ICE Clear Credit LLC; Notice of Filing of Proposed Rule Change Relating to ICC's Stress Testing Framework2019-05-31T00:00:00-07:002019-05-31T00:00:00-07:002019-11340Noticehttps://www.govinfo.gov/content/pkg/FR-2019-05-31/pdf/2019-11340.pdfhttps://regulations.justia.com/regulations/fedreg/2019/05/31/2019-11330.htmlNotice - Self-Regulatory Organizations; Nasdaq MRX, LLC; Order Approving a Proposed Rule Change To Adopt Complex Order Functionality2019-05-31T00:00:00-07:002019-05-31T00:00:00-07:002019-11330Noticehttps://www.govinfo.gov/content/pkg/FR-2019-05-31/pdf/2019-11330.pdfhttps://regulations.justia.com/regulations/fedreg/2019/05/31/2019-11323.htmlNotice - 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 Index2019-05-31T00:00:00-07:002019-05-31T00:00:00-07:002019-11323Noticehttps://www.govinfo.gov/content/pkg/FR-2019-05-31/pdf/2019-11323.pdfhttps://regulations.justia.com/regulations/fedreg/2019/05/31/2019-11322.htmlNotice - 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 Rules2019-05-31T00:00:00-07:002019-05-31T00:00:00-07:002019-11322Noticehttps://www.govinfo.gov/content/pkg/FR-2019-05-31/pdf/2019-11322.pdfhttps://regulations.justia.com/regulations/fedreg/2019/05/31/2019-11320.htmlNotice - 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 Liquidity2019-05-31T00:00:00-07:002019-05-31T00:00:00-07:002019-11320Noticehttps://www.govinfo.gov/content/pkg/FR-2019-05-31/pdf/2019-11320.pdfhttps://regulations.justia.com/regulations/fedreg/2019/05/31/2019-11319.htmlNotice - 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 Procedures2019-05-31T00:00:00-07:002019-05-31T00:00:00-07:002019-11319Noticehttps://www.govinfo.gov/content/pkg/FR-2019-05-31/pdf/2019-11319.pdfhttps://regulations.justia.com/regulations/fedreg/2019/05/31/2019-11318.htmlNotice - 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 Plans2019-05-31T00:00:00-07:002019-05-31T00:00:00-07:002019-11318Noticehttps://www.govinfo.gov/content/pkg/FR-2019-05-31/pdf/2019-11318.pdfhttps://regulations.justia.com/regulations/fedreg/2019/05/30/2019-11238.htmlNotice - Self-Regulatory Organizations; Cboe C2 Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating To Amend Rule 6.112019-05-30T00:00:00-07:002019-05-30T00:00:00-07:002019-11238Noticehttps://www.govinfo.gov/content/pkg/FR-2019-05-30/pdf/2019-11238.pdfhttps://regulations.justia.com/regulations/fedreg/2019/05/30/2019-11237.htmlNotice - 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 Platform2019-05-30T00:00:00-07:002019-05-30T00:00:00-07:002019-11237Noticehttps://www.govinfo.gov/content/pkg/FR-2019-05-30/pdf/2019-11237.pdfhttps://regulations.justia.com/regulations/fedreg/2019/05/30/2019-11235.htmlNotice - 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 32019-05-30T00:00:00-07:002019-05-30T00:00:00-07:002019-11235Noticehttps://www.govinfo.gov/content/pkg/FR-2019-05-30/pdf/2019-11235.pdfhttps://regulations.justia.com/regulations/fedreg/2019/05/30/2019-11234.htmlNotice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Rule 6.60-O2019-05-30T00:00:00-07:002019-05-30T00:00:00-07:002019-11234Noticehttps://www.govinfo.gov/content/pkg/FR-2019-05-30/pdf/2019-11234.pdfhttps://regulations.justia.com/regulations/fedreg/2019/05/30/2019-11230.htmlNotice - 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 Statements2019-05-30T00:00:00-07:002019-05-30T00:00:00-07:002019-11230Noticehttps://www.govinfo.gov/content/pkg/FR-2019-05-30/pdf/2019-11230.pdfhttps://regulations.justia.com/regulations/fedreg/2019/05/30/2019-11223.htmlNotice - 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.2019-05-30T00:00:00-07:002019-05-30T00:00:00-07:002019-11223Noticehttps://www.govinfo.gov/content/pkg/FR-2019-05-30/pdf/2019-11223.pdfhttps://regulations.justia.com/regulations/fedreg/2019/05/30/2019-11219.htmlNotice - 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 Agreement2019-05-30T00:00:00-07:002019-05-30T00:00:00-07:002019-11219Noticehttps://www.govinfo.gov/content/pkg/FR-2019-05-30/pdf/2019-11219.pdfhttps://regulations.justia.com/regulations/fedreg/2019/05/29/2019-11239.htmlNotice - Sunshine Act Meetings2019-05-29T00:00:00-07:002019-05-29T00:00:00-07:002019-11239Noticehttps://www.govinfo.gov/content/pkg/FR-2019-05-29/pdf/2019-11239.pdfhttps://regulations.justia.com/regulations/fedreg/2019/05/29/2019-11236.htmlNotice - Self-Regulatory Organizations; NYSE American LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Rule 967NY2019-05-29T00:00:00-07:002019-05-29T00:00:00-07:002019-11236Noticehttps://www.govinfo.gov/content/pkg/FR-2019-05-29/pdf/2019-11236.pdfhttps://regulations.justia.com/regulations/fedreg/2019/05/29/2019-11231.htmlNotice - Sunshine Act Meetings2019-05-29T00:00:00-07:002019-05-29T00:00:00-07:002019-11231Noticehttps://www.govinfo.gov/content/pkg/FR-2019-05-29/pdf/2019-11231.pdfhttps://regulations.justia.com/regulations/fedreg/2019/05/29/2019-11205.htmlNotice - Tudor Investment Corporation and Tudor Employee Investment Fund LLC2019-05-29T00:00:00-07:002019-05-29T00:00:00-07:002019-11205Noticehttps://www.govinfo.gov/content/pkg/FR-2019-05-29/pdf/2019-11205.pdfhttps://regulations.justia.com/regulations/fedreg/2019/05/29/2019-11108.htmlNotice - 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 Exchange2019-05-29T00:00:00-07:002019-05-29T00:00:00-07:002019-11108Noticehttps://www.govinfo.gov/content/pkg/FR-2019-05-29/pdf/2019-11108.pdfhttps://regulations.justia.com/regulations/fedreg/2019/05/29/2019-11107.htmlNotice - 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 Exchange2019-05-29T00:00:00-07:002019-05-29T00:00:00-07:002019-11107Noticehttps://www.govinfo.gov/content/pkg/FR-2019-05-29/pdf/2019-11107.pdfhttps://regulations.justia.com/regulations/fedreg/2019/05/29/2019-11106.htmlNotice - 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)2019-05-29T00:00:00-07:002019-05-29T00:00:00-07:002019-11106Noticehttps://www.govinfo.gov/content/pkg/FR-2019-05-29/pdf/2019-11106.pdfhttps://regulations.justia.com/regulations/fedreg/2019/05/29/2019-11105.htmlNotice - 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 Exchange2019-05-29T00:00:00-07:002019-05-29T00:00:00-07:002019-11105Noticehttps://www.govinfo.gov/content/pkg/FR-2019-05-29/pdf/2019-11105.pdfhttps://regulations.justia.com/regulations/fedreg/2019/05/29/2019-11101.htmlNotice - Self-Regulatory Organizations; MIAX PEARL, LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Exchange Rule 515, Execution of Orders2019-05-29T00:00:00-07:002019-05-29T00:00:00-07:002019-11101Noticehttps://www.govinfo.gov/content/pkg/FR-2019-05-29/pdf/2019-11101.pdfhttps://regulations.justia.com/regulations/fedreg/2019/05/29/2019-11100.htmlNotice - 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 Service2019-05-29T00:00:00-07:002019-05-29T00:00:00-07:002019-11100Noticehttps://www.govinfo.gov/content/pkg/FR-2019-05-29/pdf/2019-11100.pdfhttps://regulations.justia.com/regulations/fedreg/2019/05/29/2019-09932.htmlProposed Rule - Amendments to the Accelerated Filer and Large Accelerated Filer Definitions2019-05-29T00:00:00-07:002019-05-29T00:00:00-07:002019-09932Proposed Rulehttps://www.govinfo.gov/content/pkg/FR-2019-05-29/pdf/2019-09932.pdfhttps://regulations.justia.com/regulations/fedreg/2019/05/28/2019-10997.htmlNotice - Notice Establishing the Commencement and Termination Dates of the Pre-Pilot Period of the Transaction Fee Pilot for National Market System Stocks2019-05-28T00:00:00-07:002019-05-28T00:00:00-07:002019-10997Noticehttps://www.govinfo.gov/content/pkg/FR-2019-05-28/pdf/2019-10997.pdfhttps://regulations.justia.com/regulations/fedreg/2019/05/28/2019-10989.htmlNotice - 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 Policy2019-05-28T00:00:00-07:002019-05-28T00:00:00-07:002019-10989Noticehttps://www.govinfo.gov/content/pkg/FR-2019-05-28/pdf/2019-10989.pdfhttps://regulations.justia.com/regulations/fedreg/2019/05/28/2019-10988.htmlNotice - 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-E2019-05-28T00:00:00-07:002019-05-28T00:00:00-07:002019-10988Noticehttps://www.govinfo.gov/content/pkg/FR-2019-05-28/pdf/2019-10988.pdfhttps://regulations.justia.com/regulations/fedreg/2019/05/28/2019-10987.htmlNotice - 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 ETF2019-05-28T00:00:00-07:002019-05-28T00:00:00-07:002019-10987Noticehttps://www.govinfo.gov/content/pkg/FR-2019-05-28/pdf/2019-10987.pdfhttps://regulations.justia.com/regulations/fedreg/2019/05/28/2019-10986.htmlNotice - 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 Plan2019-05-28T00:00:00-07:002019-05-28T00:00:00-07:002019-10986Noticehttps://www.govinfo.gov/content/pkg/FR-2019-05-28/pdf/2019-10986.pdfhttps://regulations.justia.com/regulations/fedreg/2019/05/28/2019-10985.htmlNotice - Self-Regulatory Organizations; MIAX Emerald, LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Its Fee Schedule2019-05-28T00:00:00-07:002019-05-28T00:00:00-07:002019-10985Noticehttps://www.govinfo.gov/content/pkg/FR-2019-05-28/pdf/2019-10985.pdfhttps://regulations.justia.com/regulations/fedreg/2019/05/28/2019-10983.htmlNotice - Proposed Collection; Comment Request2019-05-28T00:00:00-07:002019-05-28T00:00:00-07:002019-10983Noticehttps://www.govinfo.gov/content/pkg/FR-2019-05-28/pdf/2019-10983.pdfhttps://regulations.justia.com/regulations/fedreg/2019/05/28/2019-10982.htmlNotice - Proposed Collection; Comment Request2019-05-28T00:00:00-07:002019-05-28T00:00:00-07:002019-10982Noticehttps://www.govinfo.gov/content/pkg/FR-2019-05-28/pdf/2019-10982.pdfhttps://regulations.justia.com/regulations/fedreg/2019/05/28/2019-10981.htmlNotice - Proposed Collection; Comment Request2019-05-28T00:00:00-07:002019-05-28T00:00:00-07:002019-10981Noticehttps://www.govinfo.gov/content/pkg/FR-2019-05-28/pdf/2019-10981.pdfhttps://regulations.justia.com/regulations/fedreg/2019/05/28/2019-10975.htmlNotice - BlackRock Capital Investment Corporation, et al.2019-05-28T00:00:00-07:002019-05-28T00:00:00-07:002019-10975Noticehttps://www.govinfo.gov/content/pkg/FR-2019-05-28/pdf/2019-10975.pdfhttps://regulations.justia.com/regulations/fedreg/2019/05/28/2019-09472.htmlProposed Rule - Amendments to Financial Disclosures About Acquired and Disposed Businesses2019-05-28T00:00:00-07:002019-05-28T00:00:00-07:002019-09472Proposed Rulehttps://www.govinfo.gov/content/pkg/FR-2019-05-28/pdf/2019-09472.pdfhttps://regulations.justia.com/regulations/fedreg/2019/05/24/2019-10859.htmlNotice - 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)2019-05-24T00:00:00-07:002019-05-24T00:00:00-07:002019-10859Noticehttps://www.govinfo.gov/content/pkg/FR-2019-05-24/pdf/2019-10859.pdfhttps://regulations.justia.com/regulations/fedreg/2019/05/24/2019-10858.htmlNotice - 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 Trust2019-05-24T00:00:00-07:002019-05-24T00:00:00-07:002019-10858Noticehttps://www.govinfo.gov/content/pkg/FR-2019-05-24/pdf/2019-10858.pdfhttps://regulations.justia.com/regulations/fedreg/2019/05/24/2019-10844.htmlNotice - Submission for OMB Review; Comment Request2019-05-24T00:00:00-07:002019-05-24T00:00:00-07:002019-10844Noticehttps://www.govinfo.gov/content/pkg/FR-2019-05-24/pdf/2019-10844.pdfhttps://regulations.justia.com/regulations/fedreg/2019/05/24/2019-10843.htmlNotice - Submission for OMB Review; Comment Request2019-05-24T00:00:00-07:002019-05-24T00:00:00-07:002019-10843Noticehttps://www.govinfo.gov/content/pkg/FR-2019-05-24/pdf/2019-10843.pdfhttps://regulations.justia.com/regulations/fedreg/2019/05/24/2019-10842.htmlNotice - Submission for OMB Review; Comment Request2019-05-24T00:00:00-07:002019-05-24T00:00:00-07:002019-10842Noticehttps://www.govinfo.gov/content/pkg/FR-2019-05-24/pdf/2019-10842.pdfhttps://regulations.justia.com/regulations/fedreg/2019/05/24/2019-10016.htmlProposed Rule - Proposed Rule Amendments and Guidance Addressing Cross-Border Application of Certain Security-Based Swap Requirements2019-05-24T00:00:00-07:002019-05-24T00:00:00-07:002019-10016Proposed Rulehttps://www.govinfo.gov/content/pkg/FR-2019-05-24/pdf/2019-10016.pdfhttps://regulations.justia.com/regulations/fedreg/2019/05/23/2019-10810.htmlNotice - Fixed Income Market Structure Advisory Committee2019-05-23T00:00:00-07:002019-05-23T00:00:00-07:002019-10810Noticehttps://www.govinfo.gov/content/pkg/FR-2019-05-23/pdf/2019-10810.pdfhttps://regulations.justia.com/regulations/fedreg/2019/05/23/2019-10753.htmlNotice - 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' Meetings2019-05-23T00:00:00-07:002019-05-23T00:00:00-07:002019-10753Noticehttps://www.govinfo.gov/content/pkg/FR-2019-05-23/pdf/2019-10753.pdfhttps://regulations.justia.com/regulations/fedreg/2019/05/23/2019-10752.htmlNotice - 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 Tier2019-05-23T00:00:00-07:002019-05-23T00:00:00-07:002019-10752Noticehttps://www.govinfo.gov/content/pkg/FR-2019-05-23/pdf/2019-10752.pdfhttps://regulations.justia.com/regulations/fedreg/2019/05/23/2019-10751.htmlNotice - Self-Regulatory Organizations; NYSE National, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Its Schedule of Fees and Rebates2019-05-23T00:00:00-07:002019-05-23T00:00:00-07:002019-10751Noticehttps://www.govinfo.gov/content/pkg/FR-2019-05-23/pdf/2019-10751.pdfhttps://regulations.justia.com/regulations/fedreg/2019/05/23/2019-10750.htmlNotice - 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 Member2019-05-23T00:00:00-07:002019-05-23T00:00:00-07:002019-10750Noticehttps://www.govinfo.gov/content/pkg/FR-2019-05-23/pdf/2019-10750.pdfhttps://regulations.justia.com/regulations/fedreg/2019/05/22/C1-2019-09019.htmlNotice - Self-Regulatory Organizations; Nasdaq PHLX LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Relocate the Floor Trading Rules to Options 82019-05-22T00:00:00-07:002019-05-22T00:00:00-07:00C1-2019-09019Noticehttps://www.govinfo.gov/content/pkg/FR-2019-05-22/pdf/C1-2019-09019.pdfhttps://regulations.justia.com/regulations/fedreg/2019/05/22/2019-10645.htmlNotice - 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 Fees2019-05-22T00:00:00-07:002019-05-22T00:00:00-07:002019-10645Noticehttps://www.govinfo.gov/content/pkg/FR-2019-05-22/pdf/2019-10645.pdfhttps://regulations.justia.com/regulations/fedreg/2019/05/22/2019-10644.htmlNotice - Self-Regulatory Organizations; Cboe EDGX Exchange, Inc.; Notice of Designation of Longer Period for Commission Action on Proposed Rule Change To Introduce Retail Priority2019-05-22T00:00:00-07:002019-05-22T00:00:00-07:002019-10644Noticehttps://www.govinfo.gov/content/pkg/FR-2019-05-22/pdf/2019-10644.pdf