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/2019/06?limit=200®isters=between&min-day=1&max-day=30&mode=atom2024-04-19T13:20:59-07:00Justia Inchttps://www.justia.com/Justia Regulations Trackerhttps://regulations.justia.com/images/justiafedregulations.gifCopyright 2011 Justia Inchttps://regulations.justia.com/regulations/fedreg/2019/06/28/2019-13776.htmlNotice - Self-Regulatory Organizations; The Options Clearing Corporation; Notice of No Objection To Advance Notice Concerning The Options Clearing Corporation's Proposal To Enter Into a New Credit Facility Agreement2019-06-28T00:00:00-07:002019-06-28T00:00:00-07:002019-13776Noticehttps://www.govinfo.gov/content/pkg/FR-2019-06-28/pdf/2019-13776.pdfhttps://regulations.justia.com/regulations/fedreg/2019/06/28/2019-13775.htmlNotice - Self-Regulatory Organizations; Nasdaq PHLX LLC; Order Granting Approval of Proposed Rule Change Relating to the Allocation and Prioritization of Automatically Executed Trades2019-06-28T00:00:00-07:002019-06-28T00:00:00-07:002019-13775Noticehttps://www.govinfo.gov/content/pkg/FR-2019-06-28/pdf/2019-13775.pdfhttps://regulations.justia.com/regulations/fedreg/2019/06/28/2019-13764.htmlNotice - Self-Regulatory Organizations; ICE Clear Europe Limited; Order Approving Proposed Rule Change Relating to the ICE Clear Europe Operational Risk Management Policy2019-06-28T00:00:00-07:002019-06-28T00:00:00-07:002019-13764Noticehttps://www.govinfo.gov/content/pkg/FR-2019-06-28/pdf/2019-13764.pdfhttps://regulations.justia.com/regulations/fedreg/2019/06/28/2019-13763.htmlNotice - Self-Regulatory Organizations; MIAX Emerald, LLC; Order Approving a Proposed Rule Change To Amend Exchange Rule 515A Concerning the PRIME Price Improvement and Solicitation Mechanisms and Rules 516 and 517 Regarding Post-Only Orders and Post-Only Quotes2019-06-28T00:00:00-07:002019-06-28T00:00:00-07:002019-13763Noticehttps://www.govinfo.gov/content/pkg/FR-2019-06-28/pdf/2019-13763.pdfhttps://regulations.justia.com/regulations/fedreg/2019/06/27/2019-13657.htmlNotice - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Order Approving Proposed Rule Change To Allow Additional Time for Reporting to TRACE of Transactions in U.S. Treasury Securities Executed To Hedge a Primary Market Transaction2019-06-27T00:00:00-07:002019-06-27T00:00:00-07:002019-13657Noticehttps://www.govinfo.gov/content/pkg/FR-2019-06-27/pdf/2019-13657.pdfhttps://regulations.justia.com/regulations/fedreg/2019/06/27/2019-13656.htmlNotice - Self-Regulatory Organizations; Nasdaq ISE, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Extend a Pilot Program2019-06-27T00:00:00-07:002019-06-27T00:00:00-07:002019-13656Noticehttps://www.govinfo.gov/content/pkg/FR-2019-06-27/pdf/2019-13656.pdfhttps://regulations.justia.com/regulations/fedreg/2019/06/26/2019-13541.htmlNotice - Self-Regulatory Organizations; Cboe Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend and Move Certain Current Rules From the Exchange's Currently Effective Rulebook to the Shell Structure for the Exchange's Rulebook That Will Become Effective Upon the Migration of the Exchange's Trading Platform to the Same System Used by the Cboe Affiliated Exchanges2019-06-26T00:00:00-07:002019-06-26T00:00:00-07:002019-13541Noticehttps://www.govinfo.gov/content/pkg/FR-2019-06-26/pdf/2019-13541.pdfhttps://regulations.justia.com/regulations/fedreg/2019/06/26/2019-13537.htmlNotice - Self-Regulatory Organizations; Cboe EDGA Exchange, Inc.; Notice of Filing of a Proposed Rule Change To Introduce a Liquidity Provider Protection on EDGA2019-06-26T00:00:00-07:002019-06-26T00:00:00-07:002019-13537Noticehttps://www.govinfo.gov/content/pkg/FR-2019-06-26/pdf/2019-13537.pdfhttps://regulations.justia.com/regulations/fedreg/2019/06/26/2019-13536.htmlNotice - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing of Amendment No. 2 and Order Granting Accelerated Approval of Proposed Rule Change, as Modified by Amendment No. 2, To Amend NYSE Rule 7.31 To Add a New Order Type, Capital Commitment Order, Modify the Market Order and the Last Sale Peg Modifier, and Make Related Changes to NYSE Rules 7.16, 7.18, 7.34, 7.36, and 7.372019-06-26T00:00:00-07:002019-06-26T00:00:00-07:002019-13536Noticehttps://www.govinfo.gov/content/pkg/FR-2019-06-26/pdf/2019-13536.pdfhttps://regulations.justia.com/regulations/fedreg/2019/06/26/2019-13535.htmlNotice - Self-Regulatory Organizations; New York Stock Exchange 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 Amend Exchange Rules 104 and 36 To Require Communications From a Designated Market Maker (“DMM”) to a Designed Senior Representative of an Issuer of Registered Listed Securities2019-06-26T00:00:00-07:002019-06-26T00:00:00-07:002019-13535Noticehttps://www.govinfo.gov/content/pkg/FR-2019-06-26/pdf/2019-13535.pdfhttps://regulations.justia.com/regulations/fedreg/2019/06/26/2019-13528.htmlNotice - Guinness Atkinson Asset Management, Inc. and Guinness Atkinson Funds2019-06-26T00:00:00-07:002019-06-26T00:00:00-07:002019-13528Noticehttps://www.govinfo.gov/content/pkg/FR-2019-06-26/pdf/2019-13528.pdfhttps://regulations.justia.com/regulations/fedreg/2019/06/26/2019-13255.htmlProposed Rule - Concept Release on Harmonization of Securities Offering Exemptions2019-06-26T00:00:00-07:002019-06-26T00:00:00-07:002019-13255Proposed Rulehttps://www.govinfo.gov/content/pkg/FR-2019-06-26/pdf/2019-13255.pdfhttps://regulations.justia.com/regulations/fedreg/2019/06/25/2019-13529.htmlNotice - Sunshine Act Meetings2019-06-25T00:00:00-07:002019-06-25T00:00:00-07:002019-13529Noticehttps://www.govinfo.gov/content/pkg/FR-2019-06-25/pdf/2019-13529.pdfhttps://regulations.justia.com/regulations/fedreg/2019/06/25/2019-13464.htmlNotice - Program for Allocation of Regulatory Responsibilities Pursuant to Rule 17d-2; Order Approving Proposed Amended Plan for the Allocation of Regulatory Responsibilities Between the Financial Industry Regulatory Authority, Inc. and the NYSE Chicago, Inc.2019-06-25T00:00:00-07:002019-06-25T00:00:00-07:002019-13464Noticehttps://www.govinfo.gov/content/pkg/FR-2019-06-25/pdf/2019-13464.pdfhttps://regulations.justia.com/regulations/fedreg/2019/06/25/2019-13414.htmlNotice - Lord Abbett Credit Opportunities Fund, et al.2019-06-25T00:00:00-07:002019-06-25T00:00:00-07:002019-13414Noticehttps://www.govinfo.gov/content/pkg/FR-2019-06-25/pdf/2019-13414.pdfhttps://regulations.justia.com/regulations/fedreg/2019/06/25/2019-13413.htmlNotice - Self-Regulatory Organizations; Cboe BZX Exchange, Inc.; Notice of Filing of a Proposed Rule Change To Adopt BZX Rule 14.11(k) To Permit the Listing and Trading of Managed Portfolio Shares2019-06-25T00:00:00-07:002019-06-25T00:00:00-07:002019-13413Noticehttps://www.govinfo.gov/content/pkg/FR-2019-06-25/pdf/2019-13413.pdfhttps://regulations.justia.com/regulations/fedreg/2019/06/25/2019-13411.htmlNotice - Self-Regulatory Organizations; BOX Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Rules Regarding the Give-Up and Clearance of Exchange Transactions2019-06-25T00:00:00-07:002019-06-25T00:00:00-07:002019-13411Noticehttps://www.govinfo.gov/content/pkg/FR-2019-06-25/pdf/2019-13411.pdfhttps://regulations.justia.com/regulations/fedreg/2019/06/25/2019-13410.htmlNotice - Self-Regulatory Organizations; Nasdaq MRX, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Extend a Pilot Program2019-06-25T00:00:00-07:002019-06-25T00:00:00-07:002019-13410Noticehttps://www.govinfo.gov/content/pkg/FR-2019-06-25/pdf/2019-13410.pdfhttps://regulations.justia.com/regulations/fedreg/2019/06/25/2019-13409.htmlNotice - Self-Regulatory Organizations; Cboe Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Rule 6.42 To Extend the Penny Pilot Program Through December 31, 20192019-06-25T00:00:00-07:002019-06-25T00:00:00-07:002019-13409Noticehttps://www.govinfo.gov/content/pkg/FR-2019-06-25/pdf/2019-13409.pdfhttps://regulations.justia.com/regulations/fedreg/2019/06/25/2019-13408.htmlNotice - Self-Regulatory Organizations; Nasdaq GEMX, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Its Rules To Extend a Pilot Program2019-06-25T00:00:00-07:002019-06-25T00:00:00-07:002019-13408Noticehttps://www.govinfo.gov/content/pkg/FR-2019-06-25/pdf/2019-13408.pdfhttps://regulations.justia.com/regulations/fedreg/2019/06/25/2019-13407.htmlNotice - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing of Proposed Rule Change Amend Exchange Rule 104 To Specify Designated Market Maker Requirements for Exchange Traded Products Listed on the Exchange2019-06-25T00:00:00-07:002019-06-25T00:00:00-07:002019-13407Noticehttps://www.govinfo.gov/content/pkg/FR-2019-06-25/pdf/2019-13407.pdfhttps://regulations.justia.com/regulations/fedreg/2019/06/25/2019-13406.htmlNotice - Self-Regulatory Organizations; The Nasdaq Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Chapter VI, Section 5 of the Rules of The Nasdaq Options Market To Extend Through December 31, 2019 or the Date of Permanent Approval, if Earlier, the Penny Pilot Program in Options Classes in Certain Issues2019-06-25T00:00:00-07:002019-06-25T00:00:00-07:002019-13406Noticehttps://www.govinfo.gov/content/pkg/FR-2019-06-25/pdf/2019-13406.pdfhttps://regulations.justia.com/regulations/fedreg/2019/06/25/2019-13405.htmlNotice - Self-Regulatory Organizations; Cboe BZX Exchange, Inc.; Notice of Filing of a Proposed Rule Change To List and Trade Shares of the American Century Focused Dynamic Growth ETF and American Century Focused Large Cap Value ETF Under Currently Proposed Rule 14.11(k)2019-06-25T00:00:00-07:002019-06-25T00:00:00-07:002019-13405Noticehttps://www.govinfo.gov/content/pkg/FR-2019-06-25/pdf/2019-13405.pdfhttps://regulations.justia.com/regulations/fedreg/2019/06/24/2019-13310.htmlNotice - Self-Regulatory Organizations; Cboe BZX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Related To Updating Its Rule 21.1(h) To Allow for a User To Elect That a Bulk Message Opt-Out of the Display-Price Sliding Process, as Well as be Subject to the Lock-Only Display-Price Sliding Process2019-06-24T00:00:00-07:002019-06-24T00:00:00-07:002019-13310Noticehttps://www.govinfo.gov/content/pkg/FR-2019-06-24/pdf/2019-13310.pdfhttps://regulations.justia.com/regulations/fedreg/2019/06/24/2019-13309.htmlNotice - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Change of Amendments To Define “Net Position Information in DMM Securities” in NYSE Rule 98(c)(5) and the “the Position of the DMM Unit” in NYSE Rule 104(g)(1)(B)2019-06-24T00:00:00-07:002019-06-24T00:00:00-07:002019-13309Noticehttps://www.govinfo.gov/content/pkg/FR-2019-06-24/pdf/2019-13309.pdfhttps://regulations.justia.com/regulations/fedreg/2019/06/24/2019-13308.htmlNotice - Self-Regulatory Organizations; Nasdaq MRX, LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Make Non-Substantive, Clarifying Changes to Options 72019-06-24T00:00:00-07:002019-06-24T00:00:00-07:002019-13308Noticehttps://www.govinfo.gov/content/pkg/FR-2019-06-24/pdf/2019-13308.pdfhttps://regulations.justia.com/regulations/fedreg/2019/06/24/2019-13307.htmlNotice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing of Amendment No. 1 and Order Instituting Proceedings To Determine Whether To Approve or Disapprove a Proposed Rule Change, as Modified by Amendment No. 1, To List and Trade Shares of the iShares Commodity Curve Carry Strategy ETF2019-06-24T00:00:00-07:002019-06-24T00:00:00-07:002019-13307Noticehttps://www.govinfo.gov/content/pkg/FR-2019-06-24/pdf/2019-13307.pdfhttps://regulations.justia.com/regulations/fedreg/2019/06/24/2019-13306.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), To Extend Through December 31, 20192019-06-24T00:00:00-07:002019-06-24T00:00:00-07:002019-13306Noticehttps://www.govinfo.gov/content/pkg/FR-2019-06-24/pdf/2019-13306.pdfhttps://regulations.justia.com/regulations/fedreg/2019/06/24/2019-13305.htmlNotice - Self-Regulatory Organizations; Nasdaq ISE, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Relocate ISE's Rules From Their Current Place in the Rulebook Into the New Rulebook Shell2019-06-24T00:00:00-07:002019-06-24T00:00:00-07:002019-13305Noticehttps://www.govinfo.gov/content/pkg/FR-2019-06-24/pdf/2019-13305.pdfhttps://regulations.justia.com/regulations/fedreg/2019/06/24/2019-13304.htmlNotice - Self-Regulatory Organizations; Nasdaq PHLX LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Phlx Rule 1034 To Extend Through December 31, 2019 or the Date of Permanent Approval, if Earlier, the Penny Pilot Program in Options Classes in Certain Issues2019-06-24T00:00:00-07:002019-06-24T00:00:00-07:002019-13304Noticehttps://www.govinfo.gov/content/pkg/FR-2019-06-24/pdf/2019-13304.pdfhttps://regulations.justia.com/regulations/fedreg/2019/06/24/2019-13299.htmlNotice - Submission for OMB Review; Comment Request2019-06-24T00:00:00-07:002019-06-24T00:00:00-07:002019-13299Noticehttps://www.govinfo.gov/content/pkg/FR-2019-06-24/pdf/2019-13299.pdfhttps://regulations.justia.com/regulations/fedreg/2019/06/24/2019-13298.htmlNotice - Submission for OMB Review; Comment Request2019-06-24T00:00:00-07:002019-06-24T00:00:00-07:002019-13298Noticehttps://www.govinfo.gov/content/pkg/FR-2019-06-24/pdf/2019-13298.pdfhttps://regulations.justia.com/regulations/fedreg/2019/06/21/2019-13283.htmlNotice - Submission for OMB Review; Comment Request2019-06-21T00:00:00-07:002019-06-21T00:00:00-07:002019-13283Noticehttps://www.govinfo.gov/content/pkg/FR-2019-06-21/pdf/2019-13283.pdfhttps://regulations.justia.com/regulations/fedreg/2019/06/21/2019-13282.htmlNotice - Submission for OMB Review; Comment Request2019-06-21T00:00:00-07:002019-06-21T00:00:00-07:002019-13282Noticehttps://www.govinfo.gov/content/pkg/FR-2019-06-21/pdf/2019-13282.pdfhttps://regulations.justia.com/regulations/fedreg/2019/06/21/2019-13281.htmlNotice - Submission for OMB Review; Comment Request2019-06-21T00:00:00-07:002019-06-21T00:00:00-07:002019-13281Noticehttps://www.govinfo.gov/content/pkg/FR-2019-06-21/pdf/2019-13281.pdfhttps://regulations.justia.com/regulations/fedreg/2019/06/21/2019-13280.htmlNotice - Submission for OMB Review; Comment Request2019-06-21T00:00:00-07:002019-06-21T00:00:00-07:002019-13280Noticehttps://www.govinfo.gov/content/pkg/FR-2019-06-21/pdf/2019-13280.pdfhttps://regulations.justia.com/regulations/fedreg/2019/06/21/2019-13279.htmlNotice - Submission for OMB Review; Comment Request2019-06-21T00:00:00-07:002019-06-21T00:00:00-07:002019-13279Noticehttps://www.govinfo.gov/content/pkg/FR-2019-06-21/pdf/2019-13279.pdfhttps://regulations.justia.com/regulations/fedreg/2019/06/21/2019-13123.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 Charges2019-06-21T00:00:00-07:002019-06-21T00:00:00-07:002019-13123Noticehttps://www.govinfo.gov/content/pkg/FR-2019-06-21/pdf/2019-13123.pdfhttps://regulations.justia.com/regulations/fedreg/2019/06/21/2019-13118.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 Charges2019-06-21T00:00:00-07:002019-06-21T00:00:00-07:002019-13118Noticehttps://www.govinfo.gov/content/pkg/FR-2019-06-21/pdf/2019-13118.pdfhttps://regulations.justia.com/regulations/fedreg/2019/06/21/2019-13116.htmlNotice - Self-Regulatory Organizations; Nasdaq BX, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the Exchange's Credits at Equity 7, Section 118(a)2019-06-21T00:00:00-07:002019-06-21T00:00:00-07:002019-13116Noticehttps://www.govinfo.gov/content/pkg/FR-2019-06-21/pdf/2019-13116.pdfhttps://regulations.justia.com/regulations/fedreg/2019/06/21/2019-13115.htmlNotice - Self-Regulatory Organizations; NYSE National, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Its Schedule of Fees and Rebates2019-06-21T00:00:00-07:002019-06-21T00:00:00-07:002019-13115Noticehttps://www.govinfo.gov/content/pkg/FR-2019-06-21/pdf/2019-13115.pdfhttps://regulations.justia.com/regulations/fedreg/2019/06/21/2019-13113.htmlNotice - Self-Regulatory Organizations; the Options Clearing Corporation; Order Approving Proposed Rule Change Related to the Introduction of a New Liquidation Cost Model in the Options Clearing Corporation's Margin Methodology2019-06-21T00:00:00-07:002019-06-21T00:00:00-07:002019-13113Noticehttps://www.govinfo.gov/content/pkg/FR-2019-06-21/pdf/2019-13113.pdfhttps://regulations.justia.com/regulations/fedreg/2019/06/20/2019-13075.htmlNotice - Self-Regulatory Organizations; New York Stock Exchange LLC; Order Disapproving 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 Standards2019-06-20T00:00:00-07:002019-06-20T00:00:00-07:002019-13075Noticehttps://www.govinfo.gov/content/pkg/FR-2019-06-20/pdf/2019-13075.pdfhttps://regulations.justia.com/regulations/fedreg/2019/06/20/2019-13074.htmlNotice - Self-Regulatory Organizations; The Depository Trust Company; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the Operational Arrangements Relating to Transfer Agent and Trustee Notices2019-06-20T00:00:00-07:002019-06-20T00:00:00-07:002019-13074Noticehttps://www.govinfo.gov/content/pkg/FR-2019-06-20/pdf/2019-13074.pdfhttps://regulations.justia.com/regulations/fedreg/2019/06/20/2019-13073.htmlNotice - Self-Regulatory Organizations; NYSE Arca, Inc.; Order Granting Approval of a Proposed Rule Change, as Modified by Amendment No. 3, To List and Trade Shares of the Virtus WMC Risk-Managed Alternative Equity ETF Under NYSE Arca Rule 8.600-E2019-06-20T00:00:00-07:002019-06-20T00:00:00-07:002019-13073Noticehttps://www.govinfo.gov/content/pkg/FR-2019-06-20/pdf/2019-13073.pdfhttps://regulations.justia.com/regulations/fedreg/2019/06/20/2019-13072.htmlNotice - Self-Regulatory Organizations; NYSE American LLC; Notice of Withdrawal of 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 Fund2019-06-20T00:00:00-07:002019-06-20T00:00:00-07:002019-13072Noticehttps://www.govinfo.gov/content/pkg/FR-2019-06-20/pdf/2019-13072.pdfhttps://regulations.justia.com/regulations/fedreg/2019/06/20/2019-13071.htmlNotice - Self-Regulatory Organizations; Miami International Securities Exchange LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Its Fee Schedule2019-06-20T00:00:00-07:002019-06-20T00:00:00-07:002019-13071Noticehttps://www.govinfo.gov/content/pkg/FR-2019-06-20/pdf/2019-13071.pdfhttps://regulations.justia.com/regulations/fedreg/2019/06/20/2019-13070.htmlNotice - Self-Regulatory Organizations; Miami International Securities Exchange LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Its Fee Schedule2019-06-20T00:00:00-07:002019-06-20T00:00:00-07:002019-13070Noticehttps://www.govinfo.gov/content/pkg/FR-2019-06-20/pdf/2019-13070.pdfhttps://regulations.justia.com/regulations/fedreg/2019/06/20/2019-13069.htmlNotice - Self-Regulatory Organizations; Cboe BZX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change, as Modified by Amendment No. 1, To Allow the Cambria Tail Risk ETF, a Series of the Cambria ETF Trust, To Hold Listed Options Contracts in a Manner That Does Not Comply With Rule 14.11(i), Managed Fund Shares2019-06-20T00:00:00-07:002019-06-20T00:00:00-07:002019-13069Noticehttps://www.govinfo.gov/content/pkg/FR-2019-06-20/pdf/2019-13069.pdfhttps://regulations.justia.com/regulations/fedreg/2019/06/20/2019-13056.htmlNotice - Proposed Collection; Comment Request2019-06-20T00:00:00-07:002019-06-20T00:00:00-07:002019-13056Noticehttps://www.govinfo.gov/content/pkg/FR-2019-06-20/pdf/2019-13056.pdfhttps://regulations.justia.com/regulations/fedreg/2019/06/19/2019-12926.htmlNotice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Designation of a Longer Period for Commission Action on Proceedings To Determine Whether To Approve or Disapprove a Proposed Rule Change, as Modified by Amendment No. 3, To List and Trade Shares of the iShares Commodity Multi-Strategy ETF Under NYSE Arca Rule 8.600-E2019-06-19T00:00:00-07:002019-06-19T00:00:00-07:002019-12926Noticehttps://www.govinfo.gov/content/pkg/FR-2019-06-19/pdf/2019-12926.pdfhttps://regulations.justia.com/regulations/fedreg/2019/06/19/2019-12925.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 Allow Additional Time for Reporting to TRACE of Transactions in U.S. Treasury Securities Executed To Hedge a Primary Market Transaction2019-06-19T00:00:00-07:002019-06-19T00:00:00-07:002019-12925Noticehttps://www.govinfo.gov/content/pkg/FR-2019-06-19/pdf/2019-12925.pdfhttps://regulations.justia.com/regulations/fedreg/2019/06/19/2019-12924.htmlNotice - Self-Regulatory Organizations; The Depository Trust Company; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Modify the Operational Arrangements and Fee Guide Relating to Structured Securities2019-06-19T00:00:00-07:002019-06-19T00:00:00-07:002019-12924Noticehttps://www.govinfo.gov/content/pkg/FR-2019-06-19/pdf/2019-12924.pdfhttps://regulations.justia.com/regulations/fedreg/2019/06/19/2019-12905.htmlNotice - Tortoise Tax-Advantaged Social Infrastructure Fund, Inc. and Tortoise Credit Strategies, LLC2019-06-19T00:00:00-07:002019-06-19T00:00:00-07:002019-12905Noticehttps://www.govinfo.gov/content/pkg/FR-2019-06-19/pdf/2019-12905.pdfhttps://regulations.justia.com/regulations/fedreg/2019/06/18/2019-12890.htmlNotice - Proposed Collection; Comment Request2019-06-18T00:00:00-07:002019-06-18T00:00:00-07:002019-12890Noticehttps://www.govinfo.gov/content/pkg/FR-2019-06-18/pdf/2019-12890.pdfhttps://regulations.justia.com/regulations/fedreg/2019/06/18/2019-12889.htmlNotice - Proposed Collection; Comment Request2019-06-18T00:00:00-07:002019-06-18T00:00:00-07:002019-12889Noticehttps://www.govinfo.gov/content/pkg/FR-2019-06-18/pdf/2019-12889.pdfhttps://regulations.justia.com/regulations/fedreg/2019/06/18/2019-12888.htmlNotice - Proposed Collection; Comment Request2019-06-18T00:00:00-07:002019-06-18T00:00:00-07:002019-12888Noticehttps://www.govinfo.gov/content/pkg/FR-2019-06-18/pdf/2019-12888.pdfhttps://regulations.justia.com/regulations/fedreg/2019/06/18/2019-12887.htmlNotice - Proposed Collection; Comment Request2019-06-18T00:00:00-07:002019-06-18T00:00:00-07:002019-12887Noticehttps://www.govinfo.gov/content/pkg/FR-2019-06-18/pdf/2019-12887.pdfhttps://regulations.justia.com/regulations/fedreg/2019/06/18/2019-12886.htmlNotice - Proposed Collection; Comment Request2019-06-18T00:00:00-07:002019-06-18T00:00:00-07:002019-12886Noticehttps://www.govinfo.gov/content/pkg/FR-2019-06-18/pdf/2019-12886.pdfhttps://regulations.justia.com/regulations/fedreg/2019/06/18/2019-12885.htmlNotice - Proposed Collection; Comment Request2019-06-18T00:00:00-07:002019-06-18T00:00:00-07:002019-12885Noticehttps://www.govinfo.gov/content/pkg/FR-2019-06-18/pdf/2019-12885.pdfhttps://regulations.justia.com/regulations/fedreg/2019/06/18/2019-12884.htmlNotice - Self-Regulatory Organizations; The Options Clearing Corporation; Notice of No Objection To Advance Notice Related to the Introduction of a New Liquidation Cost Model in The Options Clearing Corporation's Margin Methodology2019-06-18T00:00:00-07:002019-06-18T00:00:00-07:002019-12884Noticehttps://www.govinfo.gov/content/pkg/FR-2019-06-18/pdf/2019-12884.pdfhttps://regulations.justia.com/regulations/fedreg/2019/06/18/2019-12883.htmlNotice - Axonic Alternative Income Fund and Axonic Capital LLC2019-06-18T00:00:00-07:002019-06-18T00:00:00-07:002019-12883Noticehttps://www.govinfo.gov/content/pkg/FR-2019-06-18/pdf/2019-12883.pdfhttps://regulations.justia.com/regulations/fedreg/2019/06/18/2019-12788.htmlNotice - Self-Regulatory Organizations; The Nasdaq Stock Market LLC; Notice of Filing of Proposed Rule Change To Amend the Definition of Family Member in Listing Rule 5605(a)(2) for Purposes of the Definition of Independent Director2019-06-18T00:00:00-07:002019-06-18T00:00:00-07:002019-12788Noticehttps://www.govinfo.gov/content/pkg/FR-2019-06-18/pdf/2019-12788.pdfhttps://regulations.justia.com/regulations/fedreg/2019/06/18/2019-12787.htmlNotice - Self-Regulatory Organizations; Cboe EDGX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating To Amend the Fat Finger Check With Respect to Limit Orders in Rule 21.172019-06-18T00:00:00-07:002019-06-18T00:00:00-07:002019-12787Noticehttps://www.govinfo.gov/content/pkg/FR-2019-06-18/pdf/2019-12787.pdfhttps://regulations.justia.com/regulations/fedreg/2019/06/18/2019-12786.htmlNotice - Self-Regulatory Organizations; ICE Clear Europe Limited; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Publication of a Circular Regarding the Interpretation of References to EU Legislation in the Clearing Rules Post-Brexit2019-06-18T00:00:00-07:002019-06-18T00:00:00-07:002019-12786Noticehttps://www.govinfo.gov/content/pkg/FR-2019-06-18/pdf/2019-12786.pdfhttps://regulations.justia.com/regulations/fedreg/2019/06/18/2019-12785.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 Amend FINRA Rule 5110 (Corporate Financing Rule-Underwriting Terms and Arrangements) To Make Substantive, Organizational and Terminology Changes2019-06-18T00:00:00-07:002019-06-18T00:00:00-07:002019-12785Noticehttps://www.govinfo.gov/content/pkg/FR-2019-06-18/pdf/2019-12785.pdfhttps://regulations.justia.com/regulations/fedreg/2019/06/18/2019-12781.htmlNotice - Wahed Invest LLC, et al.2019-06-18T00:00:00-07:002019-06-18T00:00:00-07:002019-12781Noticehttps://www.govinfo.gov/content/pkg/FR-2019-06-18/pdf/2019-12781.pdfhttps://regulations.justia.com/regulations/fedreg/2019/06/18/2019-12779.htmlNotice - Vertical Capital Income Fund and Oakline Advisors, LLC2019-06-18T00:00:00-07:002019-06-18T00:00:00-07:002019-12779Noticehttps://www.govinfo.gov/content/pkg/FR-2019-06-18/pdf/2019-12779.pdfhttps://regulations.justia.com/regulations/fedreg/2019/06/18/2019-12778.htmlNotice - Pioneer ETF Series Trust I, et al.2019-06-18T00:00:00-07:002019-06-18T00:00:00-07:002019-12778Noticehttps://www.govinfo.gov/content/pkg/FR-2019-06-18/pdf/2019-12778.pdfhttps://regulations.justia.com/regulations/fedreg/2019/06/17/2019-12660.htmlNotice - Self-Regulatory Organizations; Cboe BZX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Allow the Exchange To Determine the Availability of Order Types and Times-in-Force2019-06-17T00:00:00-07:002019-06-17T00:00:00-07:002019-12660Noticehttps://www.govinfo.gov/content/pkg/FR-2019-06-17/pdf/2019-12660.pdfhttps://regulations.justia.com/regulations/fedreg/2019/06/17/2019-12659.htmlNotice - Self-Regulatory Organizations; The Nasdaq Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Delay Implementation of the MIDP Routing Option2019-06-17T00:00:00-07:002019-06-17T00:00:00-07:002019-12659Noticehttps://www.govinfo.gov/content/pkg/FR-2019-06-17/pdf/2019-12659.pdfhttps://regulations.justia.com/regulations/fedreg/2019/06/17/2019-12658.htmlNotice - Self-Regulatory Organizations; Cboe EDGX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating To Update Its Price Adjust Process To Allow for the Process To Apply to Bulk Messages2019-06-17T00:00:00-07:002019-06-17T00:00:00-07:002019-12658Noticehttps://www.govinfo.gov/content/pkg/FR-2019-06-17/pdf/2019-12658.pdfhttps://regulations.justia.com/regulations/fedreg/2019/06/17/2019-12657.htmlNotice - Self-Regulatory Organizations; Cboe BZX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating To Adopt Limit-on-Close (“LOC”) and Market-on-Close (“MOC”) Orders2019-06-17T00:00:00-07:002019-06-17T00:00:00-07:002019-12657Noticehttps://www.govinfo.gov/content/pkg/FR-2019-06-17/pdf/2019-12657.pdfhttps://regulations.justia.com/regulations/fedreg/2019/06/17/2019-12656.htmlNotice - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Rule 7.31 Relating to the Yielding Modifier2019-06-17T00:00:00-07:002019-06-17T00:00:00-07:002019-12656Noticehttps://www.govinfo.gov/content/pkg/FR-2019-06-17/pdf/2019-12656.pdfhttps://regulations.justia.com/regulations/fedreg/2019/06/17/2019-12655.htmlNotice - Self-Regulatory Organizations; The Nasdaq Stock Market LLC; Notice of Filing of Proposed Rule Change To Amend Rule 4702 To Establish the “Midpoint Extended Life Order + Continuous Book” as a New Order Type2019-06-17T00:00:00-07:002019-06-17T00:00:00-07:002019-12655Noticehttps://www.govinfo.gov/content/pkg/FR-2019-06-17/pdf/2019-12655.pdfhttps://regulations.justia.com/regulations/fedreg/2019/06/14/2019-12775.htmlNotice - Sunshine Act Meeting; Cancellation2019-06-14T00:00:00-07:002019-06-14T00:00:00-07:002019-12775Noticehttps://www.govinfo.gov/content/pkg/FR-2019-06-14/pdf/2019-12775.pdfhttps://regulations.justia.com/regulations/fedreg/2019/06/14/2019-12563.htmlRule - Amendment to Single Issuer Exemption for Broker-Dealers2019-06-14T00:00:00-07:002019-06-14T00:00:00-07:002019-12563Rulehttps://www.govinfo.gov/content/pkg/FR-2019-06-14/pdf/2019-12563.pdfhttps://regulations.justia.com/regulations/fedreg/2019/06/14/2019-12546.htmlNotice - Self-Regulatory Organizations; Cboe EDGX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Extend Through December 31, 2019, the Penny Pilot Program (“Penny Pilot”) in Options Classes in Certain Issues (“Pilot Program”) Previously Approved by the Commission2019-06-14T00:00:00-07:002019-06-14T00:00:00-07:002019-12546Noticehttps://www.govinfo.gov/content/pkg/FR-2019-06-14/pdf/2019-12546.pdfhttps://regulations.justia.com/regulations/fedreg/2019/06/14/2019-12545.htmlNotice - Self-Regulatory Organizations; Cboe BZX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Extend Through December 31, 2019, the Penny Pilot Program (“Penny Pilot”) in Options Classes in Certain Issues (“Pilot Program”) Previously Approved by the Commission2019-06-14T00:00:00-07:002019-06-14T00:00:00-07:002019-12545Noticehttps://www.govinfo.gov/content/pkg/FR-2019-06-14/pdf/2019-12545.pdfhttps://regulations.justia.com/regulations/fedreg/2019/06/14/2019-12544.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 by Extending the Penny Pilot Program Through December 31, 20192019-06-14T00:00:00-07:002019-06-14T00:00:00-07:002019-12544Noticehttps://www.govinfo.gov/content/pkg/FR-2019-06-14/pdf/2019-12544.pdfhttps://regulations.justia.com/regulations/fedreg/2019/06/14/2019-12543.htmlNotice - Self-Regulatory Organizations; Cboe EDGX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating To Adopt Limit-on-Close (“LOC”) and Market-on-Close (“MOC”) Orders2019-06-14T00:00:00-07:002019-06-14T00:00:00-07:002019-12543Noticehttps://www.govinfo.gov/content/pkg/FR-2019-06-14/pdf/2019-12543.pdfhttps://regulations.justia.com/regulations/fedreg/2019/06/14/2019-12542.htmlNotice - Self-Regulatory Organizations; The Nasdaq Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Nasdaq Rule 5615 To Allow Additional Issuers Who List Only Specific Securities To Be Able To Avail Themselves of Certain Exemptions Under Corporate Governance Requirements and To Amend Nasdaq Rule IM-5620 To Exclude Additional Categories of Issuers Listing Only Specific Securities From the Annual Shareholder Meeting Requirement2019-06-14T00:00:00-07:002019-06-14T00:00:00-07:002019-12542Noticehttps://www.govinfo.gov/content/pkg/FR-2019-06-14/pdf/2019-12542.pdfhttps://regulations.justia.com/regulations/fedreg/2019/06/14/2019-12541.htmlNotice - Self-Regulatory Organizations; Nasdaq ISE, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Extend the Pilot To Permit the Listing and Trading of Options Based on 1/52019-06-14T00:00:00-07:002019-06-14T00:00:00-07:002019-12541Noticehttps://www.govinfo.gov/content/pkg/FR-2019-06-14/pdf/2019-12541.pdfhttps://regulations.justia.com/regulations/fedreg/2019/06/13/2019-12551.htmlNotice - Sunshine Act Meetings2019-06-13T00:00:00-07:002019-06-13T00:00:00-07:002019-12551Noticehttps://www.govinfo.gov/content/pkg/FR-2019-06-13/pdf/2019-12551.pdfhttps://regulations.justia.com/regulations/fedreg/2019/06/13/2019-12515.htmlNotice - Proposed Collection; Comment Request2019-06-13T00:00:00-07:002019-06-13T00:00:00-07:002019-12515Noticehttps://www.govinfo.gov/content/pkg/FR-2019-06-13/pdf/2019-12515.pdfhttps://regulations.justia.com/regulations/fedreg/2019/06/13/2019-12453.htmlNotice - Self-Regulatory Organizations; Cboe EDGX Exchange, Inc.; Notice of Withdrawal of Proposed Rule Change, as Modified by Amendment No. 1, To Adopt Rule 21.21 (Solicitation Auction Mechanism)2019-06-13T00:00:00-07:002019-06-13T00:00:00-07:002019-12453Noticehttps://www.govinfo.gov/content/pkg/FR-2019-06-13/pdf/2019-12453.pdfhttps://regulations.justia.com/regulations/fedreg/2019/06/13/2019-12452.htmlNotice - Self-Regulatory Organizations; The Nasdaq Stock Market LLC; Notice of Designation of Longer Period for Commission Action on a Proposed Rule Change To Adopt Additional Requirements for Listings in Connection With an Offering Under Regulation A of the Securities Act2019-06-13T00:00:00-07:002019-06-13T00:00:00-07:002019-12452Noticehttps://www.govinfo.gov/content/pkg/FR-2019-06-13/pdf/2019-12452.pdfhttps://regulations.justia.com/regulations/fedreg/2019/06/13/2019-12451.htmlNotice - Self-Regulatory Organizations; Cboe C2 Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating To Amend the Fat Finger Check for Simple Orders in Rule 6.142019-06-13T00:00:00-07:002019-06-13T00:00:00-07:002019-12451Noticehttps://www.govinfo.gov/content/pkg/FR-2019-06-13/pdf/2019-12451.pdfhttps://regulations.justia.com/regulations/fedreg/2019/06/13/2019-12450.htmlNotice - Self-Regulatory Organizations; Cboe Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Its Rules Relating to Registration of Trading Permit Holders2019-06-13T00:00:00-07:002019-06-13T00:00:00-07:002019-12450Noticehttps://www.govinfo.gov/content/pkg/FR-2019-06-13/pdf/2019-12450.pdfhttps://regulations.justia.com/regulations/fedreg/2019/06/13/2019-12449.htmlNotice - Self-Regulatory Organizations; Nasdaq MRX, LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Its Rules Governing the Give Up of a Clearing Member by a Member on Exchange Transactions2019-06-13T00:00:00-07:002019-06-13T00:00:00-07:002019-12449Noticehttps://www.govinfo.gov/content/pkg/FR-2019-06-13/pdf/2019-12449.pdfhttps://regulations.justia.com/regulations/fedreg/2019/06/13/2019-12448.htmlNotice - Self-Regulatory Organizations; Nasdaq GEMX, LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Its Rules Governing the Give Up of a Clearing Member by a Member on Exchange Transactions2019-06-13T00:00:00-07:002019-06-13T00:00:00-07:002019-12448Noticehttps://www.govinfo.gov/content/pkg/FR-2019-06-13/pdf/2019-12448.pdfhttps://regulations.justia.com/regulations/fedreg/2019/06/13/2019-12447.htmlNotice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Commentary .02 to Rule 6.72-O in Order To Extend the Penny Pilot in Options Classes in Certain Issues2019-06-13T00:00:00-07:002019-06-13T00:00:00-07:002019-12447Noticehttps://www.govinfo.gov/content/pkg/FR-2019-06-13/pdf/2019-12447.pdfhttps://regulations.justia.com/regulations/fedreg/2019/06/13/2019-12446.htmlNotice - Self-Regulatory Organizations; NYSE American LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Commentary .02 to Rule 960NY in Order To Extend the Penny Pilot in Options Classes in Certain Issues2019-06-13T00:00:00-07:002019-06-13T00:00:00-07:002019-12446Noticehttps://www.govinfo.gov/content/pkg/FR-2019-06-13/pdf/2019-12446.pdfhttps://regulations.justia.com/regulations/fedreg/2019/06/12/C1-2019-11446.htmlNotice - Self-Regulatory Organizations; NYSE Arca, Inc.; Order Instituting Proceedings To Determine Whether To Approve or Disapprove a Proposed Rule Change To Amend NYSE Arca Rule 5.2-E(j)(3) and To Adopt Generic Listing Standards for Investment Company Units Based on an Index or Portfolio of Municipal Securities2019-06-12T00:00:00-07:002019-06-12T00:00:00-07:00C1-2019-11446Noticehttps://www.govinfo.gov/content/pkg/FR-2019-06-12/pdf/C1-2019-11446.pdfhttps://regulations.justia.com/regulations/fedreg/2019/06/12/2019-12423.htmlNotice - Proposed Collection; Comment Request2019-06-12T00:00:00-07:002019-06-12T00:00:00-07:002019-12423Noticehttps://www.govinfo.gov/content/pkg/FR-2019-06-12/pdf/2019-12423.pdfhttps://regulations.justia.com/regulations/fedreg/2019/06/12/2019-12343.htmlNotice - Self-Regulatory Organizations; BOX Exchange LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Rule 7260 by Extending the Penny Pilot Program Through December 31, 20192019-06-12T00:00:00-07:002019-06-12T00:00:00-07:002019-12343Noticehttps://www.govinfo.gov/content/pkg/FR-2019-06-12/pdf/2019-12343.pdfhttps://regulations.justia.com/regulations/fedreg/2019/06/12/2019-12341.htmlNotice - Self-Regulatory Organizations; Nasdaq BX, 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 Reassign Certain Investigation and Enforcement Functions Under the Exchange's Authority and Supervision2019-06-12T00:00:00-07:002019-06-12T00:00:00-07:002019-12341Noticehttps://www.govinfo.gov/content/pkg/FR-2019-06-12/pdf/2019-12341.pdfhttps://regulations.justia.com/regulations/fedreg/2019/06/12/2019-12339.htmlNotice - Self-Regulatory Organizations; Nasdaq BX, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the Order Routing Rule in BX Chapter VI, Section 112019-06-12T00:00:00-07:002019-06-12T00:00:00-07:002019-12339Noticehttps://www.govinfo.gov/content/pkg/FR-2019-06-12/pdf/2019-12339.pdfhttps://regulations.justia.com/regulations/fedreg/2019/06/12/2019-12337.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 Increments To Extend the Penny Pilot Program2019-06-12T00:00:00-07:002019-06-12T00:00:00-07:002019-12337Noticehttps://www.govinfo.gov/content/pkg/FR-2019-06-12/pdf/2019-12337.pdfhttps://regulations.justia.com/regulations/fedreg/2019/06/12/2019-12336.htmlNotice - Self-Regulatory Organizations; Miami PEARL, LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Rule 510, Minimum Price Variations and Minimum Trading Increments To Extend the Penny Pilot Program2019-06-12T00:00:00-07:002019-06-12T00:00:00-07:002019-12336Noticehttps://www.govinfo.gov/content/pkg/FR-2019-06-12/pdf/2019-12336.pdfhttps://regulations.justia.com/regulations/fedreg/2019/06/12/2019-12335.htmlNotice - Self-Regulatory Organizations; Miami International Securities Exchange, LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Rule 510, Minimum Price Variations and Minimum Trading Increments To Extend the Penny Pilot Program2019-06-12T00:00:00-07:002019-06-12T00:00:00-07:002019-12335Noticehttps://www.govinfo.gov/content/pkg/FR-2019-06-12/pdf/2019-12335.pdfhttps://regulations.justia.com/regulations/fedreg/2019/06/11/2019-12193.htmlNotice - Self-Regulatory Organizations; ICE Clear Credit LLC; Order Approving Proposed Rule Change Relating to the ICC Model Validation Framework2019-06-11T00:00:00-07:002019-06-11T00:00:00-07:002019-12193Noticehttps://www.govinfo.gov/content/pkg/FR-2019-06-11/pdf/2019-12193.pdfhttps://regulations.justia.com/regulations/fedreg/2019/06/11/2019-12192.htmlNotice - Self-Regulatory Organizations; Cboe C2 Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating To Adopt Limit-on-Close (“LOC”) and Market-on-Close (“MOC”) Orders2019-06-11T00:00:00-07:002019-06-11T00:00:00-07:002019-12192Noticehttps://www.govinfo.gov/content/pkg/FR-2019-06-11/pdf/2019-12192.pdfhttps://regulations.justia.com/regulations/fedreg/2019/06/11/2019-12191.htmlNotice - Self-Regulatory Organizations; The Depository Trust Company; 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 Settlement Guide Procedures To Provide Status Information for Institutional Transactions to a Matching Utility2019-06-11T00:00:00-07:002019-06-11T00:00:00-07:002019-12191Noticehttps://www.govinfo.gov/content/pkg/FR-2019-06-11/pdf/2019-12191.pdfhttps://regulations.justia.com/regulations/fedreg/2019/06/11/2019-12189.htmlNotice - Self-Regulatory Organizations; ICE Clear Credit LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to ICC's Risk Management Model Description2019-06-11T00:00:00-07:002019-06-11T00:00:00-07:002019-12189Noticehttps://www.govinfo.gov/content/pkg/FR-2019-06-11/pdf/2019-12189.pdfhttps://regulations.justia.com/regulations/fedreg/2019/06/11/2019-12188.htmlNotice - Self-Regulatory Organizations; BOX Exchange LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend BOX Rule IM-5050-1 Allow $1 Strike Price Intervals Above $200 on Options on the QQQ and IWM Exchange-Traded Funds2019-06-11T00:00:00-07:002019-06-11T00:00:00-07:002019-12188Noticehttps://www.govinfo.gov/content/pkg/FR-2019-06-11/pdf/2019-12188.pdfhttps://regulations.justia.com/regulations/fedreg/2019/06/11/2019-12187.htmlNotice - Self-Regulatory Organizations; Cboe C2 Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Update Its Price Adjust Process To Allow for the Process To Apply to Bulk Messages2019-06-11T00:00:00-07:002019-06-11T00:00:00-07:002019-12187Noticehttps://www.govinfo.gov/content/pkg/FR-2019-06-11/pdf/2019-12187.pdfhttps://regulations.justia.com/regulations/fedreg/2019/06/10/2019-12328.htmlNotice - Sunshine Act Meetings2019-06-10T00:00:00-07:002019-06-10T00:00:00-07:002019-12328Noticehttps://www.govinfo.gov/content/pkg/FR-2019-06-10/pdf/2019-12328.pdfhttps://regulations.justia.com/regulations/fedreg/2019/06/10/2019-12097.htmlNotice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Withdrawal of a Proposed Rule Change To List and Trade Units of Each of (i) Cboe Vest S&P 500® Buffer Enhanced Growth Protect Strategy ETNs; (ii) Cboe Vest S&P 500® Enhanced Growth Strategy ETNs; (iii) Cboe Vest S&P 500® Accelerated Return Strategy ETNs; and (iv) Cboe Vest S&P 500® Power Buffer Strategy ETNs Under Rule 14.11(d), Equity Index-Linked Securities2019-06-10T00:00:00-07:002019-06-10T00:00:00-07:002019-12097Noticehttps://www.govinfo.gov/content/pkg/FR-2019-06-10/pdf/2019-12097.pdfhttps://regulations.justia.com/regulations/fedreg/2019/06/10/2019-12093.htmlNotice - Self-Regulatory Organizations; The Nasdaq Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Relocate the Options Rules Under Chapter IV, Securities Traded on NOM2019-06-10T00:00:00-07:002019-06-10T00:00:00-07:002019-12093Noticehttps://www.govinfo.gov/content/pkg/FR-2019-06-10/pdf/2019-12093.pdfhttps://regulations.justia.com/regulations/fedreg/2019/06/10/2019-12092.htmlNotice - Self-Regulatory Organizations; Nasdaq PHLX LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Equity 7, Section 3, Which Governs Pricing for Phlx Members Using the Nasdaq PSX System2019-06-10T00:00:00-07:002019-06-10T00:00:00-07:002019-12092Noticehttps://www.govinfo.gov/content/pkg/FR-2019-06-10/pdf/2019-12092.pdfhttps://regulations.justia.com/regulations/fedreg/2019/06/10/2019-12091.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 Qualified Contingent Cross Orders and Make a Modification to the Execution Requirements for Complex Customer Cross Orders2019-06-10T00:00:00-07:002019-06-10T00:00:00-07:002019-12091Noticehttps://www.govinfo.gov/content/pkg/FR-2019-06-10/pdf/2019-12091.pdfhttps://regulations.justia.com/regulations/fedreg/2019/06/10/2019-12090.htmlNotice - Self-Regulatory Organizations; The Nasdaq Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Equity 7, Section 118(a)2019-06-10T00:00:00-07:002019-06-10T00:00:00-07:002019-12090Noticehttps://www.govinfo.gov/content/pkg/FR-2019-06-10/pdf/2019-12090.pdfhttps://regulations.justia.com/regulations/fedreg/2019/06/10/2019-12089.htmlNotice - Self-Regulatory Organizations; Miami International Securities Exchange, LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Exchange Rule 519, MIAX Order Monitor2019-06-10T00:00:00-07:002019-06-10T00:00:00-07:002019-12089Noticehttps://www.govinfo.gov/content/pkg/FR-2019-06-10/pdf/2019-12089.pdfhttps://regulations.justia.com/regulations/fedreg/2019/06/10/2019-12086.htmlNotice - Self-Regulatory Organizations; Nasdaq BX, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Equity 7, Section 118(a) To Adopt Pricing for the Recently Adopted SCAR Routing Strategy2019-06-10T00:00:00-07:002019-06-10T00:00:00-07:002019-12086Noticehttps://www.govinfo.gov/content/pkg/FR-2019-06-10/pdf/2019-12086.pdfhttps://regulations.justia.com/regulations/fedreg/2019/06/07/2019-12042.htmlNotice - Submission for OMB Review; Comment Request; Extension: Rule 17a-72019-06-07T00:00:00-07:002019-06-07T00:00:00-07:002019-12042Noticehttps://www.govinfo.gov/content/pkg/FR-2019-06-07/pdf/2019-12042.pdfhttps://regulations.justia.com/regulations/fedreg/2019/06/07/2019-12041.htmlNotice - Submission for OMB Review; Comment Request2019-06-07T00:00:00-07:002019-06-07T00:00:00-07:002019-12041Noticehttps://www.govinfo.gov/content/pkg/FR-2019-06-07/pdf/2019-12041.pdfhttps://regulations.justia.com/regulations/fedreg/2019/06/07/2019-12039.htmlNotice - Submission for OMB Review; Comment Request2019-06-07T00:00:00-07:002019-06-07T00:00:00-07:002019-12039Noticehttps://www.govinfo.gov/content/pkg/FR-2019-06-07/pdf/2019-12039.pdfhttps://regulations.justia.com/regulations/fedreg/2019/06/07/2019-12038.htmlNotice - Submission for OMB Review; Comment Request2019-06-07T00:00:00-07:002019-06-07T00:00:00-07:002019-12038Noticehttps://www.govinfo.gov/content/pkg/FR-2019-06-07/pdf/2019-12038.pdfhttps://regulations.justia.com/regulations/fedreg/2019/06/07/2019-11933.htmlNotice - Self-Regulatory Organizations; NYSE Arca, Inc.; Order Approving a Proposed Rule Change, as Modified by Amendment No. 1, To Amend Certain Generic Listing Standards for Managed Fund Shares Applicable to Holdings of Fixed Income Securities2019-06-07T00:00:00-07:002019-06-07T00:00:00-07:002019-11933Noticehttps://www.govinfo.gov/content/pkg/FR-2019-06-07/pdf/2019-11933.pdfhttps://regulations.justia.com/regulations/fedreg/2019/06/06/2019-11894.htmlNotice - Initial Form ATS-N Filing; Notice of Extension of Commission Review Period2019-06-06T00:00:00-07:002019-06-06T00:00:00-07:002019-11894Noticehttps://www.govinfo.gov/content/pkg/FR-2019-06-06/pdf/2019-11894.pdfhttps://regulations.justia.com/regulations/fedreg/2019/06/06/2019-11893.htmlNotice - Initial Form ATS-N Filing; Notice of Extension of Commission Review Period2019-06-06T00:00:00-07:002019-06-06T00:00:00-07:002019-11893Noticehttps://www.govinfo.gov/content/pkg/FR-2019-06-06/pdf/2019-11893.pdfhttps://regulations.justia.com/regulations/fedreg/2019/06/06/2019-11892.htmlNotice - Initial Form ATS-N Filing; Notice of Extension of Commission Review Period2019-06-06T00:00:00-07:002019-06-06T00:00:00-07:002019-11892Noticehttps://www.govinfo.gov/content/pkg/FR-2019-06-06/pdf/2019-11892.pdfhttps://regulations.justia.com/regulations/fedreg/2019/06/06/2019-11891.htmlNotice - Initial Form ATS-N Filing; Notice of Extension of Commission Review Period2019-06-06T00:00:00-07:002019-06-06T00:00:00-07:002019-11891Noticehttps://www.govinfo.gov/content/pkg/FR-2019-06-06/pdf/2019-11891.pdfhttps://regulations.justia.com/regulations/fedreg/2019/06/06/2019-11890.htmlNotice - Initial Form ATS-N Filing; Notice of Extension of Commission Review Period2019-06-06T00:00:00-07:002019-06-06T00:00:00-07:002019-11890Noticehttps://www.govinfo.gov/content/pkg/FR-2019-06-06/pdf/2019-11890.pdfhttps://regulations.justia.com/regulations/fedreg/2019/06/06/2019-11889.htmlNotice - Initial Form ATS-N Filing; Notice of Extension of Commission Review Period2019-06-06T00:00:00-07:002019-06-06T00:00:00-07:002019-11889Noticehttps://www.govinfo.gov/content/pkg/FR-2019-06-06/pdf/2019-11889.pdfhttps://regulations.justia.com/regulations/fedreg/2019/06/06/2019-11875.htmlNotice - Initial Form ATS-N Filing; Notice of Extension of Commission Review Period2019-06-06T00:00:00-07:002019-06-06T00:00:00-07:002019-11875Noticehttps://www.govinfo.gov/content/pkg/FR-2019-06-06/pdf/2019-11875.pdfhttps://regulations.justia.com/regulations/fedreg/2019/06/06/2019-11874.htmlNotice - Initial Form ATS-N Filing; Notice of Extension of Commission Review Period2019-06-06T00:00:00-07:002019-06-06T00:00:00-07:002019-11874Noticehttps://www.govinfo.gov/content/pkg/FR-2019-06-06/pdf/2019-11874.pdfhttps://regulations.justia.com/regulations/fedreg/2019/06/06/2019-11873.htmlNotice - Initial Form ATS-N Filing; Notice of Extension of Commission Review Period2019-06-06T00:00:00-07:002019-06-06T00:00:00-07:002019-11873Noticehttps://www.govinfo.gov/content/pkg/FR-2019-06-06/pdf/2019-11873.pdfhttps://regulations.justia.com/regulations/fedreg/2019/06/06/2019-11872.htmlNotice - Initial Form ATS-N Filing; Notice of Extension of Commission Review Period2019-06-06T00:00:00-07:002019-06-06T00:00:00-07:002019-11872Noticehttps://www.govinfo.gov/content/pkg/FR-2019-06-06/pdf/2019-11872.pdfhttps://regulations.justia.com/regulations/fedreg/2019/06/06/2019-11871.htmlNotice - Initial Form ATS-N Filing; Notice of Extension of Commission Review Period2019-06-06T00:00:00-07:002019-06-06T00:00:00-07:002019-11871Noticehttps://www.govinfo.gov/content/pkg/FR-2019-06-06/pdf/2019-11871.pdfhttps://regulations.justia.com/regulations/fedreg/2019/06/06/2019-11870.htmlNotice - Initial Form ATS-N Filing; Notice of Extension of Commission Review Period2019-06-06T00:00:00-07:002019-06-06T00:00:00-07:002019-11870Noticehttps://www.govinfo.gov/content/pkg/FR-2019-06-06/pdf/2019-11870.pdfhttps://regulations.justia.com/regulations/fedreg/2019/06/06/2019-11869.htmlNotice - Initial Form ATS-N Filing; Notice of Extension of Commission Review Period2019-06-06T00:00:00-07:002019-06-06T00:00:00-07:002019-11869Noticehttps://www.govinfo.gov/content/pkg/FR-2019-06-06/pdf/2019-11869.pdfhttps://regulations.justia.com/regulations/fedreg/2019/06/06/2019-11868.htmlNotice - Initial Form ATS-N Filing; Notice of Extension of Commission Review Period2019-06-06T00:00:00-07:002019-06-06T00:00:00-07:002019-11868Noticehttps://www.govinfo.gov/content/pkg/FR-2019-06-06/pdf/2019-11868.pdfhttps://regulations.justia.com/regulations/fedreg/2019/06/06/2019-11841.htmlNotice - Initial Form ATS-N Filing; Notice of Extension of Commission Review Period2019-06-06T00:00:00-07:002019-06-06T00:00:00-07:002019-11841Noticehttps://www.govinfo.gov/content/pkg/FR-2019-06-06/pdf/2019-11841.pdfhttps://regulations.justia.com/regulations/fedreg/2019/06/06/2019-11840.htmlNotice - Initial Form ATS-N Filing; Notice of Extension of Commission Review Period2019-06-06T00:00:00-07:002019-06-06T00:00:00-07:002019-11840Noticehttps://www.govinfo.gov/content/pkg/FR-2019-06-06/pdf/2019-11840.pdfhttps://regulations.justia.com/regulations/fedreg/2019/06/06/2019-11839.htmlNotice - Initial Form ATS-N Filing; Notice of Extension of Commission Review Period2019-06-06T00:00:00-07:002019-06-06T00:00:00-07:002019-11839Noticehttps://www.govinfo.gov/content/pkg/FR-2019-06-06/pdf/2019-11839.pdfhttps://regulations.justia.com/regulations/fedreg/2019/06/06/2019-11838.htmlNotice - Initial Form ATS-N Filing; Notice of Extension of Commission Review Period2019-06-06T00:00:00-07:002019-06-06T00:00:00-07:002019-11838Noticehttps://www.govinfo.gov/content/pkg/FR-2019-06-06/pdf/2019-11838.pdfhttps://regulations.justia.com/regulations/fedreg/2019/06/06/2019-11837.htmlNotice - Initial Form ATS-N Filing; Notice of Extension of Commission Review Period2019-06-06T00:00:00-07:002019-06-06T00:00:00-07:002019-11837Noticehttps://www.govinfo.gov/content/pkg/FR-2019-06-06/pdf/2019-11837.pdfhttps://regulations.justia.com/regulations/fedreg/2019/06/06/2019-11836.htmlNotice - Initial Form ATS-N Filing; Notice of Extension of Commission Review Period2019-06-06T00:00:00-07:002019-06-06T00:00:00-07:002019-11836Noticehttps://www.govinfo.gov/content/pkg/FR-2019-06-06/pdf/2019-11836.pdfhttps://regulations.justia.com/regulations/fedreg/2019/06/06/2019-11835.htmlNotice - Initial Form ATS-N Filing; Notice of Extension of Commission Review Period2019-06-06T00:00:00-07:002019-06-06T00:00:00-07:002019-11835Noticehttps://www.govinfo.gov/content/pkg/FR-2019-06-06/pdf/2019-11835.pdfhttps://regulations.justia.com/regulations/fedreg/2019/06/06/2019-11834.htmlNotice - Initial Form ATS-N Filing; Notice of Extension of Commission Review Period2019-06-06T00:00:00-07:002019-06-06T00:00:00-07:002019-11834Noticehttps://www.govinfo.gov/content/pkg/FR-2019-06-06/pdf/2019-11834.pdfhttps://regulations.justia.com/regulations/fedreg/2019/06/06/2019-11833.htmlNotice - Initial Form ATS-N Filing; Notice of Extension of Commission Review Period2019-06-06T00:00:00-07:002019-06-06T00:00:00-07:002019-11833Noticehttps://www.govinfo.gov/content/pkg/FR-2019-06-06/pdf/2019-11833.pdfhttps://regulations.justia.com/regulations/fedreg/2019/06/06/2019-11829.htmlNotice - Initial Form ATS-N Filing; Notice of Extension of Commission Review Period2019-06-06T00:00:00-07:002019-06-06T00:00:00-07:002019-11829Noticehttps://www.govinfo.gov/content/pkg/FR-2019-06-06/pdf/2019-11829.pdfhttps://regulations.justia.com/regulations/fedreg/2019/06/06/2019-11828.htmlNotice - Initial Form ATS-N Filing; Notice of Extension of Commission Review Period2019-06-06T00:00:00-07:002019-06-06T00:00:00-07:002019-11828Noticehttps://www.govinfo.gov/content/pkg/FR-2019-06-06/pdf/2019-11828.pdfhttps://regulations.justia.com/regulations/fedreg/2019/06/06/2019-11827.htmlNotice - Initial Form ATS-N Filing; Notice of Extension of Commission Review Period2019-06-06T00:00:00-07:002019-06-06T00:00:00-07:002019-11827Noticehttps://www.govinfo.gov/content/pkg/FR-2019-06-06/pdf/2019-11827.pdfhttps://regulations.justia.com/regulations/fedreg/2019/06/06/2019-11826.htmlNotice - Initial Form ATS-N Filing; Notice of Extension of Commission Review Period2019-06-06T00:00:00-07:002019-06-06T00:00:00-07:002019-11826Noticehttps://www.govinfo.gov/content/pkg/FR-2019-06-06/pdf/2019-11826.pdfhttps://regulations.justia.com/regulations/fedreg/2019/06/06/2019-11825.htmlNotice - Initial Form ATS-N Filing; Notice of Extension of Commission Review Period2019-06-06T00:00:00-07:002019-06-06T00:00:00-07:002019-11825Noticehttps://www.govinfo.gov/content/pkg/FR-2019-06-06/pdf/2019-11825.pdfhttps://regulations.justia.com/regulations/fedreg/2019/06/06/2019-11823.htmlNotice - Initial Form ATS-N Filing; Notice of Extension of Commission Review Period2019-06-06T00:00:00-07:002019-06-06T00:00:00-07:002019-11823Noticehttps://www.govinfo.gov/content/pkg/FR-2019-06-06/pdf/2019-11823.pdfhttps://regulations.justia.com/regulations/fedreg/2019/06/06/2019-11822.htmlNotice - Initial Form ATS-N Filing; Notice of Extension of Commission Review Period2019-06-06T00:00:00-07:002019-06-06T00:00:00-07:002019-11822Noticehttps://www.govinfo.gov/content/pkg/FR-2019-06-06/pdf/2019-11822.pdfhttps://regulations.justia.com/regulations/fedreg/2019/06/06/2019-11816.htmlNotice - Initial Form ATS-N Filing; Notice of Extension of Commission Review Period2019-06-06T00:00:00-07:002019-06-06T00:00:00-07:002019-11816Noticehttps://www.govinfo.gov/content/pkg/FR-2019-06-06/pdf/2019-11816.pdfhttps://regulations.justia.com/regulations/fedreg/2019/06/06/2019-11804.htmlNotice - Self-Regulatory Organizations; Cboe BZX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Amending Rule 21.7 Concerning Openings Following Trading Halts2019-06-06T00:00:00-07:002019-06-06T00:00:00-07:002019-11804Noticehttps://www.govinfo.gov/content/pkg/FR-2019-06-06/pdf/2019-11804.pdfhttps://regulations.justia.com/regulations/fedreg/2019/06/06/2019-11803.htmlNotice - Self-Regulatory Organizations; National Securities Clearing Corporation; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Make a Clarification and Technical Changes to Addendum K2019-06-06T00:00:00-07:002019-06-06T00:00:00-07:002019-11803Noticehttps://www.govinfo.gov/content/pkg/FR-2019-06-06/pdf/2019-11803.pdfhttps://regulations.justia.com/regulations/fedreg/2019/06/06/2019-11802.htmlNotice - Self-Regulatory Organizations; The Depository Trust Company; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the Reorganizations Service Guide2019-06-06T00:00:00-07:002019-06-06T00:00:00-07:002019-11802Noticehttps://www.govinfo.gov/content/pkg/FR-2019-06-06/pdf/2019-11802.pdfhttps://regulations.justia.com/regulations/fedreg/2019/06/06/2019-11801.htmlNotice - Self-Regulatory Organizations; The Nasdaq Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Relocate the Order Audit Trail System Rules2019-06-06T00:00:00-07:002019-06-06T00:00:00-07:002019-11801Noticehttps://www.govinfo.gov/content/pkg/FR-2019-06-06/pdf/2019-11801.pdfhttps://regulations.justia.com/regulations/fedreg/2019/06/06/2019-11800.htmlNotice - Self-Regulatory Organizations; Cboe EDGX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to Qualified Contingent Cross Orders (“QCC Orders”) With More Than One Option Leg (“Complex QCC Orders”)2019-06-06T00:00:00-07:002019-06-06T00:00:00-07:002019-11800Noticehttps://www.govinfo.gov/content/pkg/FR-2019-06-06/pdf/2019-11800.pdfhttps://regulations.justia.com/regulations/fedreg/2019/06/06/2019-11799.htmlNotice - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing of Proposed Rule Change To Amend Rule 123D2019-06-06T00:00:00-07:002019-06-06T00:00:00-07:002019-11799Noticehttps://www.govinfo.gov/content/pkg/FR-2019-06-06/pdf/2019-11799.pdfhttps://regulations.justia.com/regulations/fedreg/2019/06/06/2019-11798.htmlNotice - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Extend the Implementation of FINRA Rule 4240 (Margin Requirements for Credit Default Swaps)2019-06-06T00:00:00-07:002019-06-06T00:00:00-07:002019-11798Noticehttps://www.govinfo.gov/content/pkg/FR-2019-06-06/pdf/2019-11798.pdfhttps://regulations.justia.com/regulations/fedreg/2019/06/06/2019-11797.htmlNotice - Self-Regulatory Organizations; Cboe EDGX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Amending Rule 21.7 Concerning the Opening Auction Process2019-06-06T00:00:00-07:002019-06-06T00:00:00-07:002019-11797Noticehttps://www.govinfo.gov/content/pkg/FR-2019-06-06/pdf/2019-11797.pdfhttps://regulations.justia.com/regulations/fedreg/2019/06/06/2019-11793.htmlNotice - Cresset Private Markets Opportunity Fund and Cresset SPG, LLC2019-06-06T00:00:00-07:002019-06-06T00:00:00-07:002019-11793Noticehttps://www.govinfo.gov/content/pkg/FR-2019-06-06/pdf/2019-11793.pdfhttps://regulations.justia.com/regulations/fedreg/2019/06/05/2019-11934.htmlNotice - Sunshine Act Meetings2019-06-05T00:00:00-07:002019-06-05T00:00:00-07:002019-11934Noticehttps://www.govinfo.gov/content/pkg/FR-2019-06-05/pdf/2019-11934.pdfhttps://regulations.justia.com/regulations/fedreg/2019/06/05/2019-11742.htmlNotice - Notice of Applications for Deregistration Under Section 8(f) of the Investment Company Act of 19402019-06-05T00:00:00-07:002019-06-05T00:00:00-07:002019-11742Noticehttps://www.govinfo.gov/content/pkg/FR-2019-06-05/pdf/2019-11742.pdfhttps://regulations.justia.com/regulations/fedreg/2019/06/05/2019-11643.htmlNotice - Self-Regulatory Organizations; Cboe BZX Exchange, Inc.; Notice of Designation of a Longer Period for Commission Action on a Proposed Rule Change To Amend Rule 14.11(c) (Index Fund Shares) To Adopt Generic Listing Standards for Index Fund Shares Based on an Index of Municipal Securities2019-06-05T00:00:00-07:002019-06-05T00:00:00-07:002019-11643Noticehttps://www.govinfo.gov/content/pkg/FR-2019-06-05/pdf/2019-11643.pdfhttps://regulations.justia.com/regulations/fedreg/2019/06/05/2019-11566.htmlNotice - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing of Amendment No. 3 and Order Granting Accelerated Approval of Proposed Rule Change, as Modified by Amendment No. 3, To Amend NYSE Rules 7.31, 7.36, 7.37; Make Conforming Amendments to NYSE Rules 1.1, 7.11, 7.12, 7.16, 7.18, 7.32, 7.34, and 7.36; and Amend the Preambles on Current Exchange Rules Relating to Their Applicability to the Pillar Trading Platform2019-06-05T00:00:00-07:002019-06-05T00:00:00-07:002019-11566Noticehttps://www.govinfo.gov/content/pkg/FR-2019-06-05/pdf/2019-11566.pdfhttps://regulations.justia.com/regulations/fedreg/2019/06/04/2019-11598.htmlNotice - Self-Regulatory Organizations; Nasdaq ISE, LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Allow $1 or Greater Strike Price Intervals for Options on QQQ and IWM2019-06-04T00:00:00-07:002019-06-04T00:00:00-07:002019-11598Noticehttps://www.govinfo.gov/content/pkg/FR-2019-06-04/pdf/2019-11598.pdfhttps://regulations.justia.com/regulations/fedreg/2019/06/04/2019-11584.htmlNotice - Columbia Funds Series Trust, et al.2019-06-04T00:00:00-07:002019-06-04T00:00:00-07:002019-11584Noticehttps://www.govinfo.gov/content/pkg/FR-2019-06-04/pdf/2019-11584.pdfhttps://regulations.justia.com/regulations/fedreg/2019/06/04/2019-11565.htmlNotice - Self-Regulatory Organizations; The Nasdaq Stock Market LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Allow $1 or Greater Strike Price Intervals for Options on QQQ and IWM2019-06-04T00:00:00-07:002019-06-04T00:00:00-07:002019-11565Noticehttps://www.govinfo.gov/content/pkg/FR-2019-06-04/pdf/2019-11565.pdfhttps://regulations.justia.com/regulations/fedreg/2019/06/04/2019-11564.htmlNotice - Self-Regulatory Organizations; The Nasdaq Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to the Complementary Services Offered by the Exchange Under Rule IM-5900-72019-06-04T00:00:00-07:002019-06-04T00:00:00-07:002019-11564Noticehttps://www.govinfo.gov/content/pkg/FR-2019-06-04/pdf/2019-11564.pdfhttps://regulations.justia.com/regulations/fedreg/2019/06/04/2019-11563.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 Services2019-06-04T00:00:00-07:002019-06-04T00:00:00-07:002019-11563Noticehttps://www.govinfo.gov/content/pkg/FR-2019-06-04/pdf/2019-11563.pdfhttps://regulations.justia.com/regulations/fedreg/2019/06/04/2019-11561.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 Services2019-06-04T00:00:00-07:002019-06-04T00:00:00-07:002019-11561Noticehttps://www.govinfo.gov/content/pkg/FR-2019-06-04/pdf/2019-11561.pdfhttps://regulations.justia.com/regulations/fedreg/2019/06/04/2019-11560.htmlNotice - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Adopt a Listing Fee Schedule for Pre-Revenue Companies2019-06-04T00:00:00-07:002019-06-04T00:00:00-07:002019-11560Noticehttps://www.govinfo.gov/content/pkg/FR-2019-06-04/pdf/2019-11560.pdfhttps://regulations.justia.com/regulations/fedreg/2019/06/04/2019-11559.htmlNotice - Self-Regulatory Organizations; Nasdaq BX, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Allow $1 or Greater Strike Price Intervals for Options on QQQ and IWM2019-06-04T00:00:00-07:002019-06-04T00:00:00-07:002019-11559Noticehttps://www.govinfo.gov/content/pkg/FR-2019-06-04/pdf/2019-11559.pdfhttps://regulations.justia.com/regulations/fedreg/2019/06/04/2019-11558.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 Services2019-06-04T00:00:00-07:002019-06-04T00:00:00-07:002019-11558Noticehttps://www.govinfo.gov/content/pkg/FR-2019-06-04/pdf/2019-11558.pdfhttps://regulations.justia.com/regulations/fedreg/2019/06/04/2019-11557.htmlNotice - Self-Regulatory Organizations; NYSE American LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend its NYSE American Equities Price List and the NYSE American Options Fee Schedule Related to Co-location Services2019-06-04T00:00:00-07:002019-06-04T00:00:00-07:002019-11557Noticehttps://www.govinfo.gov/content/pkg/FR-2019-06-04/pdf/2019-11557.pdfhttps://regulations.justia.com/regulations/fedreg/2019/06/04/2019-11556.htmlNotice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing of Proposed Rule Change Regarding Investments of Aware Ultra-Short Duration Enhanced Income ETF, a Series of Tidal ETF Trust2019-06-04T00:00:00-07:002019-06-04T00:00:00-07:002019-11556Noticehttps://www.govinfo.gov/content/pkg/FR-2019-06-04/pdf/2019-11556.pdfhttps://regulations.justia.com/regulations/fedreg/2019/06/04/2019-11545.htmlNotice - Self-Regulatory Organizations; The Nasdaq Stock Market LLC; Notice of Filing of Proposed Rule Change To Allow an Odd Lot-Sized Order To Be Eligible for the Midpoint Extended Life Order2019-06-04T00:00:00-07:002019-06-04T00:00:00-07:002019-11545Noticehttps://www.govinfo.gov/content/pkg/FR-2019-06-04/pdf/2019-11545.pdfhttps://regulations.justia.com/regulations/fedreg/2019/06/04/2019-11543.htmlNotice - Self-Regulatory Organizations; Nasdaq PHLX LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Allow $1 or Greater Strike Price Intervals for Options on QQQ and IWM2019-06-04T00:00:00-07:002019-06-04T00:00:00-07:002019-11543Noticehttps://www.govinfo.gov/content/pkg/FR-2019-06-04/pdf/2019-11543.pdfhttps://regulations.justia.com/regulations/fedreg/2019/06/03/2019-11447.htmlNotice - Self-Regulatory Organizations; Cboe BZX Exchange, Inc.; Notice of Filing of a Proposed Rule Change 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 Shares2019-06-03T00:00:00-07:002019-06-03T00:00:00-07:002019-11447Noticehttps://www.govinfo.gov/content/pkg/FR-2019-06-03/pdf/2019-11447.pdfhttps://regulations.justia.com/regulations/fedreg/2019/06/03/2019-11446.htmlNotice - Self-Regulatory Organizations; NYSE Arca, Inc.; Order Instituting Proceedings To Determine Whether To Approve or Disapprove a Proposed Rule Change To Amend NYSE Arca Rule 5.2-E(j)(3) and To Adopt Generic Listing Standards for Investment Company Units Based on an Index or Portfolio of Municipal Securities2019-06-03T00:00:00-07:002019-06-03T00:00:00-07:002019-11446Noticehttps://www.govinfo.gov/content/pkg/FR-2019-06-03/pdf/2019-11446.pdfhttps://regulations.justia.com/regulations/fedreg/2019/06/03/2019-11445.htmlNotice - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend NYSE Rules 7.6, 7.31, 7.34, 98, 107B and 131A, To Specify Order Behavior for Orders Entered Via the Pillar Phase II Protocols2019-06-03T00:00:00-07:002019-06-03T00:00:00-07:002019-11445Noticehttps://www.govinfo.gov/content/pkg/FR-2019-06-03/pdf/2019-11445.pdfhttps://regulations.justia.com/regulations/fedreg/2019/06/03/2019-11433.htmlNotice - Proposed Collection; Comment Request2019-06-03T00:00:00-07:002019-06-03T00:00:00-07:002019-11433Noticehttps://www.govinfo.gov/content/pkg/FR-2019-06-03/pdf/2019-11433.pdfhttps://regulations.justia.com/regulations/fedreg/2019/06/03/2019-11432.htmlNotice - Proposed Collection; Comment Request2019-06-03T00:00:00-07:002019-06-03T00:00:00-07:002019-11432Noticehttps://www.govinfo.gov/content/pkg/FR-2019-06-03/pdf/2019-11432.pdfhttps://regulations.justia.com/regulations/fedreg/2019/06/03/2019-11426.htmlNotice - John Hancock GA Mortgage Trust, et al.2019-06-03T00:00:00-07:002019-06-03T00:00:00-07:002019-11426Noticehttps://www.govinfo.gov/content/pkg/FR-2019-06-03/pdf/2019-11426.pdf