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/2019/07?limit=200®isters=between&min-day=1&max-day=31&mode=atom2024-04-23T21:38:06-07:00Justia Inchttps://www.justia.com/Justia Regulations Trackerhttps://regulations.justia.com/images/justiafedregulations.gifCopyright 2011 Justia Inchttps://regulations.justia.com/regulations/fedreg/2019/07/31/2019-16317.htmlNotice - Notice of Applications for Deregistration Under Section 8(f) of the Investment Company Act of 19402019-07-31T00:00:00-07:002019-07-31T00:00:00-07:002019-16317Noticehttps://www.govinfo.gov/content/pkg/FR-2019-07-31/pdf/2019-16317.pdfhttps://regulations.justia.com/regulations/fedreg/2019/07/31/2019-16312.htmlNotice - Self-Regulatory Organizations; The Options Clearing Corporation; Notice of Filing of Advance Notice Related to The Options Clearing Corporation's Vanilla Option Model and Smoothing Algorithm2019-07-31T00:00:00-07:002019-07-31T00:00:00-07:002019-16312Noticehttps://www.govinfo.gov/content/pkg/FR-2019-07-31/pdf/2019-16312.pdfhttps://regulations.justia.com/regulations/fedreg/2019/07/31/2019-16294.htmlNotice - Submission for OMB Review; Comment Request2019-07-31T00:00:00-07:002019-07-31T00:00:00-07:002019-16294Noticehttps://www.govinfo.gov/content/pkg/FR-2019-07-31/pdf/2019-16294.pdfhttps://regulations.justia.com/regulations/fedreg/2019/07/31/2019-16293.htmlNotice - Submission for OMB Review; Comment Request2019-07-31T00:00:00-07:002019-07-31T00:00:00-07:002019-16293Noticehttps://www.govinfo.gov/content/pkg/FR-2019-07-31/pdf/2019-16293.pdfhttps://regulations.justia.com/regulations/fedreg/2019/07/31/2019-16292.htmlNotice - Submission for OMB Review; Comment Request2019-07-31T00:00:00-07:002019-07-31T00:00:00-07:002019-16292Noticehttps://www.govinfo.gov/content/pkg/FR-2019-07-31/pdf/2019-16292.pdfhttps://regulations.justia.com/regulations/fedreg/2019/07/31/2019-16291.htmlNotice - Submission for OMB Review; Comment Request2019-07-31T00:00:00-07:002019-07-31T00:00:00-07:002019-16291Noticehttps://www.govinfo.gov/content/pkg/FR-2019-07-31/pdf/2019-16291.pdfhttps://regulations.justia.com/regulations/fedreg/2019/07/31/2019-16290.htmlNotice - Submission for OMB Review; Comment Request2019-07-31T00:00:00-07:002019-07-31T00:00:00-07:002019-16290Noticehttps://www.govinfo.gov/content/pkg/FR-2019-07-31/pdf/2019-16290.pdfhttps://regulations.justia.com/regulations/fedreg/2019/07/31/2019-16238.htmlNotice - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to Exemptions From the Order Audit Trail System Recording and Reporting Requirements2019-07-31T00:00:00-07:002019-07-31T00:00:00-07:002019-16238Noticehttps://www.govinfo.gov/content/pkg/FR-2019-07-31/pdf/2019-16238.pdfhttps://regulations.justia.com/regulations/fedreg/2019/07/31/2019-16218.htmlNotice - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending its Price List2019-07-31T00:00:00-07:002019-07-31T00:00:00-07:002019-16218Noticehttps://www.govinfo.gov/content/pkg/FR-2019-07-31/pdf/2019-16218.pdfhttps://regulations.justia.com/regulations/fedreg/2019/07/31/2019-16217.htmlNotice - Self-Regulatory Organizations; MIAX Emerald, LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Make Corrective Edits to Exchange Rule 503, Openings on the Exchange2019-07-31T00:00:00-07:002019-07-31T00:00:00-07:002019-16217Noticehttps://www.govinfo.gov/content/pkg/FR-2019-07-31/pdf/2019-16217.pdfhttps://regulations.justia.com/regulations/fedreg/2019/07/31/2019-16214.htmlNotice - Program for Allocation of Regulatory Responsibilities Pursuant to Rule 17d-2; Notice of Filing and Order Approving and Declaring Effective an Amendment to the Plan for the Allocation of Regulatory Responsibilities Between Cboe BZX Exchange, Inc., Cboe BYX Exchange, Inc., BOX Exchange LLC, Cboe Exchange, Inc., Cboe C2 Exchange, Inc., NYSE Chicago, Inc., Cboe EDGA Exchange, Inc., Cboe EDGX Exchange, Inc., Financial Industry Regulatory Authority, Inc., Nasdaq ISE, LLC, Nasdaq GEMX, LLC, Nasdaq MRX, LLC, Investors Exchange LLC, Miami International Securities Exchange, LLC, MIAX PEARL, LLC, MIAX Emerald, LLC, The Nasdaq Stock Market LLC, Nasdaq BX, Inc., Nasdaq PHLX, Inc., NYSE National, Inc., New York Stock Exchange LLC, NYSE American LLC, NYSE Arca, Inc., and Long-Term Stock Exchange, Inc.2019-07-31T00:00:00-07:002019-07-31T00:00:00-07:002019-16214Noticehttps://www.govinfo.gov/content/pkg/FR-2019-07-31/pdf/2019-16214.pdfhttps://regulations.justia.com/regulations/fedreg/2019/07/30/2019-16098.htmlNotice - Self-Regulatory Organizations; Cboe BZX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating To Amend the Fee Schedule Applicable to Members and Non-Members of the Exchange Pursuant to BZX Rules 15.1(a) and (c)2019-07-30T00:00:00-07:002019-07-30T00:00:00-07:002019-16098Noticehttps://www.govinfo.gov/content/pkg/FR-2019-07-30/pdf/2019-16098.pdfhttps://regulations.justia.com/regulations/fedreg/2019/07/30/2019-16097.htmlNotice - Self-Regulatory Organizations; Cboe BZX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating To Amend the Fee Schedule Applicable to Members and Non-Members of the Exchange Pursuant to BZX Rules 15.1(a) and (c)2019-07-30T00:00:00-07:002019-07-30T00:00:00-07:002019-16097Noticehttps://www.govinfo.gov/content/pkg/FR-2019-07-30/pdf/2019-16097.pdfhttps://regulations.justia.com/regulations/fedreg/2019/07/30/2019-16096.htmlNotice - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Designation of Longer Period for Commission Action on Proposed Rule Change To Amend Exchange Rule 104 To Specify Designated Market Maker Requirements for Exchange Traded Products Listed on the Exchange2019-07-30T00:00:00-07:002019-07-30T00:00:00-07:002019-16096Noticehttps://www.govinfo.gov/content/pkg/FR-2019-07-30/pdf/2019-16096.pdfhttps://regulations.justia.com/regulations/fedreg/2019/07/30/2019-16095.htmlNotice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Modify the NYSE Arca Options Fee Schedule2019-07-30T00:00:00-07:002019-07-30T00:00:00-07:002019-16095Noticehttps://www.govinfo.gov/content/pkg/FR-2019-07-30/pdf/2019-16095.pdfhttps://regulations.justia.com/regulations/fedreg/2019/07/30/2019-16094.htmlNotice - Self-Regulatory Organizations; LCH SA; Notice of Filing and Immediate Effectiveness of Proposed Rule Change, as Modified by Amendments No. 1 and No. 2, Relating to the Extension to Clients of CDSClear of the Fee Applicable by LCH SA on the Amount of Allocated Securities Collateral2019-07-30T00:00:00-07:002019-07-30T00:00:00-07:002019-16094Noticehttps://www.govinfo.gov/content/pkg/FR-2019-07-30/pdf/2019-16094.pdfhttps://regulations.justia.com/regulations/fedreg/2019/07/30/2019-16093.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)2019-07-30T00:00:00-07:002019-07-30T00:00:00-07:002019-16093Noticehttps://www.govinfo.gov/content/pkg/FR-2019-07-30/pdf/2019-16093.pdfhttps://regulations.justia.com/regulations/fedreg/2019/07/30/2019-16090.htmlNotice - Submission for OMB Review; Comment Request2019-07-30T00:00:00-07:002019-07-30T00:00:00-07:002019-16090Noticehttps://www.govinfo.gov/content/pkg/FR-2019-07-30/pdf/2019-16090.pdfhttps://regulations.justia.com/regulations/fedreg/2019/07/30/2019-16089.htmlNotice - Proposed Collection; Comment Request2019-07-30T00:00:00-07:002019-07-30T00:00:00-07:002019-16089Noticehttps://www.govinfo.gov/content/pkg/FR-2019-07-30/pdf/2019-16089.pdfhttps://regulations.justia.com/regulations/fedreg/2019/07/30/2019-16088.htmlNotice - Proposed Collection; Comment Request2019-07-30T00:00:00-07:002019-07-30T00:00:00-07:002019-16088Noticehttps://www.govinfo.gov/content/pkg/FR-2019-07-30/pdf/2019-16088.pdfhttps://regulations.justia.com/regulations/fedreg/2019/07/30/2019-16086.htmlNotice - Liquid Strategies, LLC and Listed Funds Trust2019-07-30T00:00:00-07:002019-07-30T00:00:00-07:002019-16086Noticehttps://www.govinfo.gov/content/pkg/FR-2019-07-30/pdf/2019-16086.pdfhttps://regulations.justia.com/regulations/fedreg/2019/07/29/2019-15982.htmlNotice - Self-Regulatory Organizations; Nasdaq BX, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Its Rules Governing Give Ups on the BX Options Market2019-07-29T00:00:00-07:002019-07-29T00:00:00-07:002019-15982Noticehttps://www.govinfo.gov/content/pkg/FR-2019-07-29/pdf/2019-15982.pdfhttps://regulations.justia.com/regulations/fedreg/2019/07/29/2019-15975.htmlNotice - The Guardian Insurance & Annuity Company, Inc., et al.2019-07-29T00:00:00-07:002019-07-29T00:00:00-07:002019-15975Noticehttps://www.govinfo.gov/content/pkg/FR-2019-07-29/pdf/2019-15975.pdfhttps://regulations.justia.com/regulations/fedreg/2019/07/29/2019-15973.htmlNotice - Self-Regulatory Organizations; The Nasdaq Stock Market LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Its Rules Governing the Nasdaq Options Market To Modify the Give Up of a Clearing Participant by a Participant on NOM Transactions2019-07-29T00:00:00-07:002019-07-29T00:00:00-07:002019-15973Noticehttps://www.govinfo.gov/content/pkg/FR-2019-07-29/pdf/2019-15973.pdfhttps://regulations.justia.com/regulations/fedreg/2019/07/29/2019-15972.htmlNotice - Self-Regulatory Organizations; Cboe Exchange, Inc.; Order Granting Accelerated Approval of a Proposed Rule Change To Adopt Rules To Permit Cboe Trading, Inc. To Become a Trading Permit Holder and an Inbound and Outbound Router of the Exchange2019-07-29T00:00:00-07:002019-07-29T00:00:00-07:002019-15972Noticehttps://www.govinfo.gov/content/pkg/FR-2019-07-29/pdf/2019-15972.pdfhttps://regulations.justia.com/regulations/fedreg/2019/07/29/2019-15971.htmlNotice - Self-Regulatory Organizations; The Options Clearing Corporation; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Make Administrative Updates to The Options Clearing Corporation's Risk Management Policies2019-07-29T00:00:00-07:002019-07-29T00:00:00-07:002019-15971Noticehttps://www.govinfo.gov/content/pkg/FR-2019-07-29/pdf/2019-15971.pdfhttps://regulations.justia.com/regulations/fedreg/2019/07/29/2019-15968.htmlNotice - Zacks Investment Management, Inc. and Zacks Trust2019-07-29T00:00:00-07:002019-07-29T00:00:00-07:002019-15968Noticehttps://www.govinfo.gov/content/pkg/FR-2019-07-29/pdf/2019-15968.pdfhttps://regulations.justia.com/regulations/fedreg/2019/07/29/2019-15955.htmlNotice - Zacks Investment Management, Inc. and Zacks Trust2019-07-29T00:00:00-07:002019-07-29T00:00:00-07:002019-15955Noticehttps://www.govinfo.gov/content/pkg/FR-2019-07-29/pdf/2019-15955.pdfhttps://regulations.justia.com/regulations/fedreg/2019/07/29/2019-15954.htmlNotice - PFS Funds and Castle Investment Management, LLC.; Notice of Application2019-07-29T00:00:00-07:002019-07-29T00:00:00-07:002019-15954Noticehttps://www.govinfo.gov/content/pkg/FR-2019-07-29/pdf/2019-15954.pdfhttps://regulations.justia.com/regulations/fedreg/2019/07/26/2019-15875.htmlNotice - Self-Regulatory Organizations; Nasdaq GEMX, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Options 2 (Options Market Participants) and Options 3 (Options Trading Rules)2019-07-26T00:00:00-07:002019-07-26T00:00:00-07:002019-15875Noticehttps://www.govinfo.gov/content/pkg/FR-2019-07-26/pdf/2019-15875.pdfhttps://regulations.justia.com/regulations/fedreg/2019/07/26/2019-15874.htmlNotice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Adopt a New Rule 9.21-O, Delete Current Rules 9.21-O through 9.25-O, and Amend Rule 10.95512019-07-26T00:00:00-07:002019-07-26T00:00:00-07:002019-15874Noticehttps://www.govinfo.gov/content/pkg/FR-2019-07-26/pdf/2019-15874.pdfhttps://regulations.justia.com/regulations/fedreg/2019/07/26/2019-15873.htmlNotice - Self-Regulatory Organizations; Cboe Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend its Maintenance Listing Standards for Options on Certain Indexes Under Rule 24.2.01(b)(2)2019-07-26T00:00:00-07:002019-07-26T00:00:00-07:002019-15873Noticehttps://www.govinfo.gov/content/pkg/FR-2019-07-26/pdf/2019-15873.pdfhttps://regulations.justia.com/regulations/fedreg/2019/07/26/2019-15872.htmlNotice - Self-Regulatory Organizations; Nasdaq MRX, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Relocate Rules From Its Current Rulebook Into Its New Rulebook Shell2019-07-26T00:00:00-07:002019-07-26T00:00:00-07:002019-15872Noticehttps://www.govinfo.gov/content/pkg/FR-2019-07-26/pdf/2019-15872.pdfhttps://regulations.justia.com/regulations/fedreg/2019/07/26/2019-15871.htmlNotice - Self-Regulatory Organizations; Nasdaq BX, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Delete the Exchange's Existing Membership Rules and To Incorporate by Reference the Membership Rules of The Nasdaq Stock Exchange, LLC2019-07-26T00:00:00-07:002019-07-26T00:00:00-07:002019-15871Noticehttps://www.govinfo.gov/content/pkg/FR-2019-07-26/pdf/2019-15871.pdfhttps://regulations.justia.com/regulations/fedreg/2019/07/26/2019-15870.htmlNotice - Order Granting Application by: Nasdaq BX, Inc., Nasdaq GEMX, LLC, Nasdaq ISE, LLC, Nasdaq MRX, LLC, and Nasdaq Phlx LLC for Exemption Pursuant to Section 36(a) of the Exchange Act From the Rule Filing Requirements of Section 19(b) of the Exchange Act With Respect to Certain Rules Incorporated by Reference2019-07-26T00:00:00-07:002019-07-26T00:00:00-07:002019-15870Noticehttps://www.govinfo.gov/content/pkg/FR-2019-07-26/pdf/2019-15870.pdfhttps://regulations.justia.com/regulations/fedreg/2019/07/26/2019-15400.htmlProposed Rule - Customer Margin Rules Relating to Security Futures2019-07-26T00:00:00-07:002019-07-26T00:00:00-07:002019-15400Proposed Rulehttps://www.govinfo.gov/content/pkg/FR-2019-07-26/pdf/2019-15400.pdfhttps://regulations.justia.com/regulations/fedreg/2019/07/25/2019-15778.htmlNotice - Self-Regulatory Organizations; Cboe BZX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating To Update Rule 16.1 To Include the Definition of Capacity, as Well as Amend Its Fee Schedule To Reflect This Update2019-07-25T00:00:00-07:002019-07-25T00:00:00-07:002019-15778Noticehttps://www.govinfo.gov/content/pkg/FR-2019-07-25/pdf/2019-15778.pdfhttps://regulations.justia.com/regulations/fedreg/2019/07/25/2019-15777.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 Treasury and Banking Services Policy, Liquidity Management Procedures, Investment Management Procedures and Unsecured Credit Limits Procedures2019-07-25T00:00:00-07:002019-07-25T00:00:00-07:002019-15777Noticehttps://www.govinfo.gov/content/pkg/FR-2019-07-25/pdf/2019-15777.pdfhttps://regulations.justia.com/regulations/fedreg/2019/07/25/2019-15776.htmlNotice - Self-Regulatory Organizations; The Nasdaq Stock Market LLC; Notice of Filing of Proposed Rule Change To Amend Rule 41212019-07-25T00:00:00-07:002019-07-25T00:00:00-07:002019-15776Noticehttps://www.govinfo.gov/content/pkg/FR-2019-07-25/pdf/2019-15776.pdfhttps://regulations.justia.com/regulations/fedreg/2019/07/25/2019-15775.htmlNotice - Self-Regulatory Organizations; ICE Clear Europe Limited; Notice of Filing and Immediate Effectiveness of Proposed Rule Change, Security-Based Swap Submission or Advance Notice Relating to Amendments to the ICE Clear Europe Delivery Procedures2019-07-25T00:00:00-07:002019-07-25T00:00:00-07:002019-15775Noticehttps://www.govinfo.gov/content/pkg/FR-2019-07-25/pdf/2019-15775.pdfhttps://regulations.justia.com/regulations/fedreg/2019/07/25/2019-15774.htmlNotice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing of Proposed Rule Change Regarding Investments of the Janus Henderson Mortgage-Backed Securities ETF Currently Listed and Traded on the Exchange Under NYSE Arca Rule 8.600-E2019-07-25T00:00:00-07:002019-07-25T00:00:00-07:002019-15774Noticehttps://www.govinfo.gov/content/pkg/FR-2019-07-25/pdf/2019-15774.pdfhttps://regulations.justia.com/regulations/fedreg/2019/07/25/2019-15773.htmlNotice - Self-Regulatory Organizations; The Nasdaq Stock Market LLC; Order Approving a Proposed Rule Change To Allow an Odd Lot-Sized Order To Be Eligible for the Midpoint Extended Life Order2019-07-25T00:00:00-07:002019-07-25T00:00:00-07:002019-15773Noticehttps://www.govinfo.gov/content/pkg/FR-2019-07-25/pdf/2019-15773.pdfhttps://regulations.justia.com/regulations/fedreg/2019/07/25/2019-15772.htmlNotice - Self-Regulatory Organizations; Cboe EDGX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating To Update Rule 16.1 To Include the Definition of Capacity, as well as Amend Its Fee Schedule To Reflect This Update2019-07-25T00:00:00-07:002019-07-25T00:00:00-07:002019-15772Noticehttps://www.govinfo.gov/content/pkg/FR-2019-07-25/pdf/2019-15772.pdfhttps://regulations.justia.com/regulations/fedreg/2019/07/25/2019-15771.htmlNotice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Designation of a Longer Period for Commission Action on a Proposed Rule Change, as Modified by Amendments No. 1 and No. 2, Regarding Investments of the Aware Ultra-Short Duration Enhanced Income ETF2019-07-25T00:00:00-07:002019-07-25T00:00:00-07:002019-15771Noticehttps://www.govinfo.gov/content/pkg/FR-2019-07-25/pdf/2019-15771.pdfhttps://regulations.justia.com/regulations/fedreg/2019/07/24/2019-15826.htmlNotice - Sunshine Act Meetings2019-07-24T00:00:00-07:002019-07-24T00:00:00-07:002019-15826Noticehttps://www.govinfo.gov/content/pkg/FR-2019-07-24/pdf/2019-15826.pdfhttps://regulations.justia.com/regulations/fedreg/2019/07/24/2019-15695.htmlNotice - Proposed Collection; Comment Request2019-07-24T00:00:00-07:002019-07-24T00:00:00-07:002019-15695Noticehttps://www.govinfo.gov/content/pkg/FR-2019-07-24/pdf/2019-15695.pdfhttps://regulations.justia.com/regulations/fedreg/2019/07/24/2019-15672.htmlNotice - Self-Regulatory Organizations; Cboe Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating To Amend Rule 12.3 by Extending the Credit Option Margin Pilot Program Through July 20, 20202019-07-24T00:00:00-07:002019-07-24T00:00:00-07:002019-15672Noticehttps://www.govinfo.gov/content/pkg/FR-2019-07-24/pdf/2019-15672.pdfhttps://regulations.justia.com/regulations/fedreg/2019/07/24/2019-15657.htmlNotice - Self-Regulatory Organizations; Cboe BZX Exchange, Inc.; Order Instituting Proceedings To Determine Whether To Approve or Disapprove 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 Securities2019-07-24T00:00:00-07:002019-07-24T00:00:00-07:002019-15657Noticehttps://www.govinfo.gov/content/pkg/FR-2019-07-24/pdf/2019-15657.pdfhttps://regulations.justia.com/regulations/fedreg/2019/07/23/2019-15674.htmlNotice - Sunshine Act Meetings2019-07-23T00:00:00-07:002019-07-23T00:00:00-07:002019-15674Noticehttps://www.govinfo.gov/content/pkg/FR-2019-07-23/pdf/2019-15674.pdfhttps://regulations.justia.com/regulations/fedreg/2019/07/23/2019-15673.htmlNotice - Sunshine Act Meetings2019-07-23T00:00:00-07:002019-07-23T00:00:00-07:002019-15673Noticehttps://www.govinfo.gov/content/pkg/FR-2019-07-23/pdf/2019-15673.pdfhttps://regulations.justia.com/regulations/fedreg/2019/07/23/2019-15637.htmlNotice - Self-Regulatory Organizations; New York Stock Exchange LLC; Order Granting Approval of a 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' Meetings2019-07-23T00:00:00-07:002019-07-23T00:00:00-07:002019-15637Noticehttps://www.govinfo.gov/content/pkg/FR-2019-07-23/pdf/2019-15637.pdfhttps://regulations.justia.com/regulations/fedreg/2019/07/23/2019-15635.htmlNotice - Self-Regulatory Organizations; Investors Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change to IEX's Fee Schedule To Correct Two Fee Code Combinations2019-07-23T00:00:00-07:002019-07-23T00:00:00-07:002019-15635Noticehttps://www.govinfo.gov/content/pkg/FR-2019-07-23/pdf/2019-15635.pdfhttps://regulations.justia.com/regulations/fedreg/2019/07/23/2019-15563.htmlNotice - Self-Regulatory Organizations; Nasdaq ISE, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Options 2 (Options Market Participants) and Options 3 (Options Trading Rules)2019-07-23T00:00:00-07:002019-07-23T00:00:00-07:002019-15563Noticehttps://www.govinfo.gov/content/pkg/FR-2019-07-23/pdf/2019-15563.pdfhttps://regulations.justia.com/regulations/fedreg/2019/07/23/2019-15561.htmlNotice - Self-Regulatory Organizations; Cboe Exchange, Inc.; Notice of Filing of a Proposed Rule Change To Amend Rule 6.49A Concerning Off-Floor Position Transfers Including RWA Transfers2019-07-23T00:00:00-07:002019-07-23T00:00:00-07:002019-15561Noticehttps://www.govinfo.gov/content/pkg/FR-2019-07-23/pdf/2019-15561.pdfhttps://regulations.justia.com/regulations/fedreg/2019/07/23/2019-15560.htmlNotice - Self-Regulatory Organizations; The Nasdaq Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the Generic Listing Standards for Fixed Income Securities Included in the Portfolio of a Series of Managed Fund Shares2019-07-23T00:00:00-07:002019-07-23T00:00:00-07:002019-15560Noticehttps://www.govinfo.gov/content/pkg/FR-2019-07-23/pdf/2019-15560.pdfhttps://regulations.justia.com/regulations/fedreg/2019/07/23/2019-15559.htmlNotice - Self-Regulatory Organizations; Cboe Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Its Rules Governing the Give Up of a Clearing Trading Permit Holder by a Trading Permit Holder on Exchange Transactions2019-07-23T00:00:00-07:002019-07-23T00:00:00-07:002019-15559Noticehttps://www.govinfo.gov/content/pkg/FR-2019-07-23/pdf/2019-15559.pdfhttps://regulations.justia.com/regulations/fedreg/2019/07/22/2019-15532.htmlNotice - Proposed Collection; Comment Request2019-07-22T00:00:00-07:002019-07-22T00:00:00-07:002019-15532Noticehttps://www.govinfo.gov/content/pkg/FR-2019-07-22/pdf/2019-15532.pdfhttps://regulations.justia.com/regulations/fedreg/2019/07/22/2019-15531.htmlNotice - Proposed Collection; Comment Request2019-07-22T00:00:00-07:002019-07-22T00:00:00-07:002019-15531Noticehttps://www.govinfo.gov/content/pkg/FR-2019-07-22/pdf/2019-15531.pdfhttps://regulations.justia.com/regulations/fedreg/2019/07/22/2019-15530.htmlNotice - Proposed Collection; Comment Request2019-07-22T00:00:00-07:002019-07-22T00:00:00-07:002019-15530Noticehttps://www.govinfo.gov/content/pkg/FR-2019-07-22/pdf/2019-15530.pdfhttps://regulations.justia.com/regulations/fedreg/2019/07/22/2019-15529.htmlNotice - Proposed Collection; Comment Request2019-07-22T00:00:00-07:002019-07-22T00:00:00-07:002019-15529Noticehttps://www.govinfo.gov/content/pkg/FR-2019-07-22/pdf/2019-15529.pdfhttps://regulations.justia.com/regulations/fedreg/2019/07/22/2019-15528.htmlNotice - Proposed Collection; Comment Request2019-07-22T00:00:00-07:002019-07-22T00:00:00-07:002019-15528Noticehttps://www.govinfo.gov/content/pkg/FR-2019-07-22/pdf/2019-15528.pdfhttps://regulations.justia.com/regulations/fedreg/2019/07/22/2019-15475.htmlNotice - Self-Regulatory Organizations; Cboe Exchange, Inc.; Notice of Filing of a Proposed Rule Change To Amend the Exchange's Opening Process Including on VIX Settlement Days2019-07-22T00:00:00-07:002019-07-22T00:00:00-07:002019-15475Noticehttps://www.govinfo.gov/content/pkg/FR-2019-07-22/pdf/2019-15475.pdfhttps://regulations.justia.com/regulations/fedreg/2019/07/22/2019-15472.htmlNotice - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Its Price List To Offer a New Monthly Rebate for Designated Market Makers Assigned 30 or Fewer Securities2019-07-22T00:00:00-07:002019-07-22T00:00:00-07:002019-15472Noticehttps://www.govinfo.gov/content/pkg/FR-2019-07-22/pdf/2019-15472.pdfhttps://regulations.justia.com/regulations/fedreg/2019/07/22/2019-15470.htmlNotice - Self-Regulatory Organizations; NYSE American LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the NYSE American Options Fee Schedule by Revising the Options Regulatory Fee2019-07-22T00:00:00-07:002019-07-22T00:00:00-07:002019-15470Noticehttps://www.govinfo.gov/content/pkg/FR-2019-07-22/pdf/2019-15470.pdfhttps://regulations.justia.com/regulations/fedreg/2019/07/22/2019-15469.htmlNotice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the NYSE Arca Options Fee Schedule by Revising the Options Regulatory Fee2019-07-22T00:00:00-07:002019-07-22T00:00:00-07:002019-15469Noticehttps://www.govinfo.gov/content/pkg/FR-2019-07-22/pdf/2019-15469.pdfhttps://regulations.justia.com/regulations/fedreg/2019/07/22/2019-15019.htmlRule - Revisions to Prohibitions and Restrictions on Proprietary Trading and Certain Interests In, and Relationships With, Hedge Funds and Private Equity Funds2019-07-22T00:00:00-07:002019-07-22T00:00:00-07:002019-15019Rulehttps://www.govinfo.gov/content/pkg/FR-2019-07-22/pdf/2019-15019.pdfhttps://regulations.justia.com/regulations/fedreg/2019/07/19/2019-15430.htmlNotice - 1WS Credit Income Fund and 1WS Capital Advisers, LLC2019-07-19T00:00:00-07:002019-07-19T00:00:00-07:002019-15430Noticehttps://www.govinfo.gov/content/pkg/FR-2019-07-19/pdf/2019-15430.pdfhttps://regulations.justia.com/regulations/fedreg/2019/07/19/2019-15348.htmlNotice - Self-Regulatory Organizations; Cboe EDGX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating To Amend the Exchange's Fee Schedule Applicable to Its Equities Trading Platform (“EDGX Equities”) To Adopt a “Retail Volume Tier” for Firms That Execute a Significant Volume of Liquidity Providing Retail Order Flow on EDGX2019-07-19T00:00:00-07:002019-07-19T00:00:00-07:002019-15348Noticehttps://www.govinfo.gov/content/pkg/FR-2019-07-19/pdf/2019-15348.pdfhttps://regulations.justia.com/regulations/fedreg/2019/07/19/2019-15347.htmlNotice - Self-Regulatory Organizations; LCH SA; Order Approving 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 Procedures2019-07-19T00:00:00-07:002019-07-19T00:00:00-07:002019-15347Noticehttps://www.govinfo.gov/content/pkg/FR-2019-07-19/pdf/2019-15347.pdfhttps://regulations.justia.com/regulations/fedreg/2019/07/19/2019-15346.htmlNotice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending the NYSE Arca Equities Fees and Charges2019-07-19T00:00:00-07:002019-07-19T00:00:00-07:002019-15346Noticehttps://www.govinfo.gov/content/pkg/FR-2019-07-19/pdf/2019-15346.pdfhttps://regulations.justia.com/regulations/fedreg/2019/07/19/2019-15345.htmlNotice - Submission for OMB Review; Comment Request2019-07-19T00:00:00-07:002019-07-19T00:00:00-07:002019-15345Noticehttps://www.govinfo.gov/content/pkg/FR-2019-07-19/pdf/2019-15345.pdfhttps://regulations.justia.com/regulations/fedreg/2019/07/19/2019-15344.htmlNotice - Proposed Collection; Comment Request2019-07-19T00:00:00-07:002019-07-19T00:00:00-07:002019-15344Noticehttps://www.govinfo.gov/content/pkg/FR-2019-07-19/pdf/2019-15344.pdfhttps://regulations.justia.com/regulations/fedreg/2019/07/19/2019-15340.htmlNotice - Self-Regulatory Organizations; ICE Clear Credit LLC; Order Approving Proposed Rule Change Relating to ICC's Stress Testing Framework2019-07-19T00:00:00-07:002019-07-19T00:00:00-07:002019-15340Noticehttps://www.govinfo.gov/content/pkg/FR-2019-07-19/pdf/2019-15340.pdfhttps://regulations.justia.com/regulations/fedreg/2019/07/19/2019-15338.htmlNotice - Self-Regulatory Organizations; Cboe Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to System Connectivity and Order Entry and Allocation Upon the Migration of the Exchange's Trading Platform to the Same System Used by the Cboe Affiliated Exchanges2019-07-19T00:00:00-07:002019-07-19T00:00:00-07:002019-15338Noticehttps://www.govinfo.gov/content/pkg/FR-2019-07-19/pdf/2019-15338.pdfhttps://regulations.justia.com/regulations/fedreg/2019/07/19/2019-15335.htmlNotice - Voya Retirement Insurance and Annuity Company et al; Notice of Application2019-07-19T00:00:00-07:002019-07-19T00:00:00-07:002019-15335Noticehttps://www.govinfo.gov/content/pkg/FR-2019-07-19/pdf/2019-15335.pdfhttps://regulations.justia.com/regulations/fedreg/2019/07/18/2019-15257.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 To Reduce the Adding Average Daily Volume Required for ETP Holders To Qualify for the Adding Tier 1 Fees2019-07-18T00:00:00-07:002019-07-18T00:00:00-07:002019-15257Noticehttps://www.govinfo.gov/content/pkg/FR-2019-07-18/pdf/2019-15257.pdfhttps://regulations.justia.com/regulations/fedreg/2019/07/18/2019-15256.htmlNotice - Self-Regulatory Organizations; MIAX Emerald, LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Its Fee Schedule2019-07-18T00:00:00-07:002019-07-18T00:00:00-07:002019-15256Noticehttps://www.govinfo.gov/content/pkg/FR-2019-07-18/pdf/2019-15256.pdfhttps://regulations.justia.com/regulations/fedreg/2019/07/18/2019-15254.htmlNotice - Self-Regulatory Organizations; MIAX PEARL, LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the MIAX PEARL Fee Schedule2019-07-18T00:00:00-07:002019-07-18T00:00:00-07:002019-15254Noticehttps://www.govinfo.gov/content/pkg/FR-2019-07-18/pdf/2019-15254.pdfhttps://regulations.justia.com/regulations/fedreg/2019/07/18/2019-15252.htmlNotice - Self-Regulatory Organizations; ICE Clear Europe Limited; Order Approving Proposed Rule Changes Related to the ICE Clear Europe Revised Recovery Plan2019-07-18T00:00:00-07:002019-07-18T00:00:00-07:002019-15252Noticehttps://www.govinfo.gov/content/pkg/FR-2019-07-18/pdf/2019-15252.pdfhttps://regulations.justia.com/regulations/fedreg/2019/07/18/2019-15251.htmlNotice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing of Amendment No. 3 and Order Granting Accelerated Approval of a Proposed Rule Change, as Modified by Amendment No. 3, To List and Trade Shares of JPMorgan Income Builder Blend ETF under NYSE Arca Rule 8.600-E2019-07-18T00:00:00-07:002019-07-18T00:00:00-07:002019-15251Noticehttps://www.govinfo.gov/content/pkg/FR-2019-07-18/pdf/2019-15251.pdfhttps://regulations.justia.com/regulations/fedreg/2019/07/17/2019-15146.htmlNotice - Northern Lights Fund Trust III, et al.2019-07-17T00:00:00-07:002019-07-17T00:00:00-07:002019-15146Noticehttps://www.govinfo.gov/content/pkg/FR-2019-07-17/pdf/2019-15146.pdfhttps://regulations.justia.com/regulations/fedreg/2019/07/17/2019-15144.htmlNotice - Program for Allocation of Regulatory Responsibilities Pursuant to Rule 17d-2; Notice of Filing of Proposed Plan for the Allocation of Regulatory Responsibilities Between the Financial Industry Regulatory Authority, Inc. and the Long-Term Stock Exchange, Inc.2019-07-17T00:00:00-07:002019-07-17T00:00:00-07:002019-15144Noticehttps://www.govinfo.gov/content/pkg/FR-2019-07-17/pdf/2019-15144.pdfhttps://regulations.justia.com/regulations/fedreg/2019/07/17/2019-15139.htmlNotice - Self-Regulatory Organizations; Cboe Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Its Fees Schedule With Respect to Expiring Fee Waivers and Incentive Programs2019-07-17T00:00:00-07:002019-07-17T00:00:00-07:002019-15139Noticehttps://www.govinfo.gov/content/pkg/FR-2019-07-17/pdf/2019-15139.pdfhttps://regulations.justia.com/regulations/fedreg/2019/07/17/2019-15138.htmlNotice - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Its Price List To Adopt Transition Pricing To Support the Introduction of Ports That Connect to the Exchange Using Pillar Technology2019-07-17T00:00:00-07:002019-07-17T00:00:00-07:002019-15138Noticehttps://www.govinfo.gov/content/pkg/FR-2019-07-17/pdf/2019-15138.pdfhttps://regulations.justia.com/regulations/fedreg/2019/07/17/2019-15137.htmlNotice - Self-Regulatory Organizations; ICE Clear Europe Limited; Order Approving Proposed Rule Change to Clearing Membership Policy2019-07-17T00:00:00-07:002019-07-17T00:00:00-07:002019-15137Noticehttps://www.govinfo.gov/content/pkg/FR-2019-07-17/pdf/2019-15137.pdfhttps://regulations.justia.com/regulations/fedreg/2019/07/17/2019-15136.htmlNotice - Self-Regulatory Organizations; ICE Clear Credit LLC; Proposed Rule Change, Security-Based Swap Submission, or Advance Notice Relating to the ICC Rules, ICC End-of-Day Price Discovery Policies and Procedures, and ICC Risk Management Framework2019-07-17T00:00:00-07:002019-07-17T00:00:00-07:002019-15136Noticehttps://www.govinfo.gov/content/pkg/FR-2019-07-17/pdf/2019-15136.pdfhttps://regulations.justia.com/regulations/fedreg/2019/07/17/2019-15135.htmlNotice - Self-Regulatory Organizations; Cboe EDGX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Add Stock-Option Order Functionality and Complex Qualified Contingent Cross (“QCC”) Order With Stock Functionality, and To Make Other Changes to its Rules2019-07-17T00:00:00-07:002019-07-17T00:00:00-07:002019-15135Noticehttps://www.govinfo.gov/content/pkg/FR-2019-07-17/pdf/2019-15135.pdfhttps://regulations.justia.com/regulations/fedreg/2019/07/17/2019-15134.htmlNotice - Self-Regulatory Organizations; Cboe EDGX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating To Amend the Fee Schedule Applicable to Members and Non-Members of the Exchange Pursuant to EDGX Rules 15.1(a) and (c)2019-07-17T00:00:00-07:002019-07-17T00:00:00-07:002019-15134Noticehttps://www.govinfo.gov/content/pkg/FR-2019-07-17/pdf/2019-15134.pdfhttps://regulations.justia.com/regulations/fedreg/2019/07/17/2019-15133.htmlNotice - Self-Regulatory Organizations; New York Stock Exchange LLC; Order Granting Approval of a Proposed Rule Change To Amend NYSE Rule 123D2019-07-17T00:00:00-07:002019-07-17T00:00:00-07:002019-15133Noticehttps://www.govinfo.gov/content/pkg/FR-2019-07-17/pdf/2019-15133.pdfhttps://regulations.justia.com/regulations/fedreg/2019/07/16/2019-15158.htmlNotice - Sunshine Act Meetings2019-07-16T00:00:00-07:002019-07-16T00:00:00-07:002019-15158Noticehttps://www.govinfo.gov/content/pkg/FR-2019-07-16/pdf/2019-15158.pdfhttps://regulations.justia.com/regulations/fedreg/2019/07/16/2019-15157.htmlNotice - Sunshine Act Meetings2019-07-16T00:00:00-07:002019-07-16T00:00:00-07:002019-15157Noticehttps://www.govinfo.gov/content/pkg/FR-2019-07-16/pdf/2019-15157.pdfhttps://regulations.justia.com/regulations/fedreg/2019/07/16/2019-15047.htmlNotice - Submission for OMB Review; Comment Request2019-07-16T00:00:00-07:002019-07-16T00:00:00-07:002019-15047Noticehttps://www.govinfo.gov/content/pkg/FR-2019-07-16/pdf/2019-15047.pdfhttps://regulations.justia.com/regulations/fedreg/2019/07/16/2019-15046.htmlNotice - Submission for OMB Review; Comment Request2019-07-16T00:00:00-07:002019-07-16T00:00:00-07:002019-15046Noticehttps://www.govinfo.gov/content/pkg/FR-2019-07-16/pdf/2019-15046.pdfhttps://regulations.justia.com/regulations/fedreg/2019/07/16/2019-15045.htmlNotice - Submission for OMB Review; Comment Request2019-07-16T00:00:00-07:002019-07-16T00:00:00-07:002019-15045Noticehttps://www.govinfo.gov/content/pkg/FR-2019-07-16/pdf/2019-15045.pdfhttps://regulations.justia.com/regulations/fedreg/2019/07/16/2019-15044.htmlNotice - Submission for OMB Review; Comment Request2019-07-16T00:00:00-07:002019-07-16T00:00:00-07:002019-15044Noticehttps://www.govinfo.gov/content/pkg/FR-2019-07-16/pdf/2019-15044.pdfhttps://regulations.justia.com/regulations/fedreg/2019/07/16/2019-15034.htmlNotice - Submission for OMB Review; Comment Request2019-07-16T00:00:00-07:002019-07-16T00:00:00-07:002019-15034Noticehttps://www.govinfo.gov/content/pkg/FR-2019-07-16/pdf/2019-15034.pdfhttps://regulations.justia.com/regulations/fedreg/2019/07/16/2019-15032.htmlNotice - Proposed Collection; Comment Request2019-07-16T00:00:00-07:002019-07-16T00:00:00-07:002019-15032Noticehttps://www.govinfo.gov/content/pkg/FR-2019-07-16/pdf/2019-15032.pdfhttps://regulations.justia.com/regulations/fedreg/2019/07/16/2019-15029.htmlNotice - Self-Regulatory Organizations; Cboe BZX Exchange, Inc.; Notice of Designation of a Longer Period for Commission Action on 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 Shares2019-07-16T00:00:00-07:002019-07-16T00:00:00-07:002019-15029Noticehttps://www.govinfo.gov/content/pkg/FR-2019-07-16/pdf/2019-15029.pdfhttps://regulations.justia.com/regulations/fedreg/2019/07/16/2019-15028.htmlNotice - Self-Regulatory Organizations; Nasdaq GEMX, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Relocate Rules From Its Current Rulebook Into Its New Rulebook Shell2019-07-16T00:00:00-07:002019-07-16T00:00:00-07:002019-15028Noticehttps://www.govinfo.gov/content/pkg/FR-2019-07-16/pdf/2019-15028.pdfhttps://regulations.justia.com/regulations/fedreg/2019/07/16/2019-15027.htmlNotice - Self-Regulatory Organizations; Miami International Securities Exchange, LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Exchange Rule 503, Openings on the Exchange2019-07-16T00:00:00-07:002019-07-16T00:00:00-07:002019-15027Noticehttps://www.govinfo.gov/content/pkg/FR-2019-07-16/pdf/2019-15027.pdfhttps://regulations.justia.com/regulations/fedreg/2019/07/16/2019-15026.htmlNotice - Self-Regulatory Organizations; MIAX Emerald, LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Adopt System Connectivity Fees2019-07-16T00:00:00-07:002019-07-16T00:00:00-07:002019-15026Noticehttps://www.govinfo.gov/content/pkg/FR-2019-07-16/pdf/2019-15026.pdfhttps://regulations.justia.com/regulations/fedreg/2019/07/16/2019-15025.htmlNotice - Self-Regulatory Organizations; MIAX PEARL, LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the MIAX PEARL Fee Schedule2019-07-16T00:00:00-07:002019-07-16T00:00:00-07:002019-15025Noticehttps://www.govinfo.gov/content/pkg/FR-2019-07-16/pdf/2019-15025.pdfhttps://regulations.justia.com/regulations/fedreg/2019/07/16/2019-15024.htmlNotice - Self-Regulatory Organizations; Miami International Securities Exchange LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Its Fee Schedule2019-07-16T00:00:00-07:002019-07-16T00:00:00-07:002019-15024Noticehttps://www.govinfo.gov/content/pkg/FR-2019-07-16/pdf/2019-15024.pdfhttps://regulations.justia.com/regulations/fedreg/2019/07/16/2019-15023.htmlNotice - Self-Regulatory Organizations; ICE Clear Credit LLC; Notice of Filing of Proposed Rule Change Relating to the ICC Clearing Participant Default Management Procedures and ICC Risk Management Framework2019-07-16T00:00:00-07:002019-07-16T00:00:00-07:002019-15023Noticehttps://www.govinfo.gov/content/pkg/FR-2019-07-16/pdf/2019-15023.pdfhttps://regulations.justia.com/regulations/fedreg/2019/07/16/2019-15022.htmlNotice - Self-Regulatory Organizations; ICE Clear Europe Limited; Notice of Filing of Proposed Rule Change Relating to the ICE Clear Europe CDS Default Management Framework (the “Framework”)2019-07-16T00:00:00-07:002019-07-16T00:00:00-07:002019-15022Noticehttps://www.govinfo.gov/content/pkg/FR-2019-07-16/pdf/2019-15022.pdfhttps://regulations.justia.com/regulations/fedreg/2019/07/16/2019-15021.htmlNotice - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Withdrawal of Proposed Rule Change Amending Section 303A.08 of the Listed Company Manual Relating to Shareholder Approval of Equity Compensation Plans2019-07-16T00:00:00-07:002019-07-16T00:00:00-07:002019-15021Noticehttps://www.govinfo.gov/content/pkg/FR-2019-07-16/pdf/2019-15021.pdfhttps://regulations.justia.com/regulations/fedreg/2019/07/15/2019-14894.htmlNotice - Self-Regulatory Organizations; NYSE American LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Rule 7.37E To Update a Rule Cross Reference2019-07-15T00:00:00-07:002019-07-15T00:00:00-07:002019-14894Noticehttps://www.govinfo.gov/content/pkg/FR-2019-07-15/pdf/2019-14894.pdfhttps://regulations.justia.com/regulations/fedreg/2019/07/15/2019-14892.htmlNotice - Self-Regulatory Organizations; BOX Exchange LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the Fee Schedule on the BOX Options Market LLC (“BOX”) Facility for Certain PIP and COPIP Transactions2019-07-15T00:00:00-07:002019-07-15T00:00:00-07:002019-14892Noticehttps://www.govinfo.gov/content/pkg/FR-2019-07-15/pdf/2019-14892.pdfhttps://regulations.justia.com/regulations/fedreg/2019/07/15/2019-14891.htmlNotice - Self-Regulatory Organizations; BOX Exchange LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the Fee Schedule on the BOX Options Market LLC (“BOX”) Facility To Establish BOX Connectivity Fees for Participants and Non-Participants Who Connect to the BOX Network2019-07-15T00:00:00-07:002019-07-15T00:00:00-07:002019-14891Noticehttps://www.govinfo.gov/content/pkg/FR-2019-07-15/pdf/2019-14891.pdfhttps://regulations.justia.com/regulations/fedreg/2019/07/12/2019-14815.htmlNotice - Self-Regulatory Organizations; Cboe Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Its Fees Schedule for XSP Fees and PAR Official Fees2019-07-12T00:00:00-07:002019-07-12T00:00:00-07:002019-14815Noticehttps://www.govinfo.gov/content/pkg/FR-2019-07-12/pdf/2019-14815.pdfhttps://regulations.justia.com/regulations/fedreg/2019/07/12/2019-14814.htmlNotice - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Make a Technical Correction and Other Non-Substantive Changes to FINRA Rules2019-07-12T00:00:00-07:002019-07-12T00:00:00-07:002019-14814Noticehttps://www.govinfo.gov/content/pkg/FR-2019-07-12/pdf/2019-14814.pdfhttps://regulations.justia.com/regulations/fedreg/2019/07/12/2019-14813.htmlNotice - Self-Regulatory Organizations; Long-Term Stock Exchange, Inc.; Notice of Filing of Proposed Rule Change To Adopt Rule 14.425, Which Would Require Companies Listed on the Exchange To Develop and Publish Certain Long-Term Policies2019-07-12T00:00:00-07:002019-07-12T00:00:00-07:002019-14813Noticehttps://www.govinfo.gov/content/pkg/FR-2019-07-12/pdf/2019-14813.pdfhttps://regulations.justia.com/regulations/fedreg/2019/07/12/2019-14812.htmlNotice - Self-Regulatory Organizations; Nasdaq MRX, LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Adopt Complex Order Pricing2019-07-12T00:00:00-07:002019-07-12T00:00:00-07:002019-14812Noticehttps://www.govinfo.gov/content/pkg/FR-2019-07-12/pdf/2019-14812.pdfhttps://regulations.justia.com/regulations/fedreg/2019/07/12/2019-14811.htmlNotice - Self-Regulatory Organizations; Cboe BYX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the Fee Schedule Applicable to the BYX Equities Trading Platform as It Relates to Pricing for Orders Routed to Cboe EDGX Exchange, Inc.2019-07-12T00:00:00-07:002019-07-12T00:00:00-07:002019-14811Noticehttps://www.govinfo.gov/content/pkg/FR-2019-07-12/pdf/2019-14811.pdfhttps://regulations.justia.com/regulations/fedreg/2019/07/12/2019-14810.htmlNotice - Self-Regulatory Organizations; Cboe BZX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the Fee Schedule Applicable to the BZX Equities Trading Platform as It Relates to Pricing for Orders Routed To Cboe EDGX Exchange, Inc.2019-07-12T00:00:00-07:002019-07-12T00:00:00-07:002019-14810Noticehttps://www.govinfo.gov/content/pkg/FR-2019-07-12/pdf/2019-14810.pdfhttps://regulations.justia.com/regulations/fedreg/2019/07/12/2019-14809.htmlNotice - Self-Regulatory Organizations; Cboe EDGX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating To Update Its Rules Related to Complex Orders and Trading Halts2019-07-12T00:00:00-07:002019-07-12T00:00:00-07:002019-14809Noticehttps://www.govinfo.gov/content/pkg/FR-2019-07-12/pdf/2019-14809.pdfhttps://regulations.justia.com/regulations/fedreg/2019/07/12/2019-14808.htmlNotice - Self-Regulatory Organizations; Cboe EDGX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating To Amend the Exchange's Fee Schedule Applicable to its Equities Trading Platform To Adopt a New Cross-Asset Volume Tier2019-07-12T00:00:00-07:002019-07-12T00:00:00-07:002019-14808Noticehttps://www.govinfo.gov/content/pkg/FR-2019-07-12/pdf/2019-14808.pdfhttps://regulations.justia.com/regulations/fedreg/2019/07/12/2019-12376.htmlRule - Form CRS Relationship Summary; Amendments to Form ADV2019-07-12T00:00:00-07:002019-07-12T00:00:00-07:002019-12376Rulehttps://www.govinfo.gov/content/pkg/FR-2019-07-12/pdf/2019-12376.pdfhttps://regulations.justia.com/regulations/fedreg/2019/07/12/2019-12209.htmlRule - Commission Interpretation Regarding the Solely Incidental Prong of the Broker-Dealer Exclusion From the Definition of Investment Adviser2019-07-12T00:00:00-07:002019-07-12T00:00:00-07:002019-12209Rulehttps://www.govinfo.gov/content/pkg/FR-2019-07-12/pdf/2019-12209.pdfhttps://regulations.justia.com/regulations/fedreg/2019/07/12/2019-12208.htmlRule - Commission Interpretation Regarding Standard of Conduct for Investment Advisers2019-07-12T00:00:00-07:002019-07-12T00:00:00-07:002019-12208Rulehttps://www.govinfo.gov/content/pkg/FR-2019-07-12/pdf/2019-12208.pdfhttps://regulations.justia.com/regulations/fedreg/2019/07/12/2019-12164.htmlRule - Regulation Best Interest: The Broker-Dealer Standard of Conduct2019-07-12T00:00:00-07:002019-07-12T00:00:00-07:002019-12164Rulehttps://www.govinfo.gov/content/pkg/FR-2019-07-12/pdf/2019-12164.pdfhttps://regulations.justia.com/regulations/fedreg/2019/07/11/2019-14724.htmlNotice - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing of a Proposed Rule Change To Expand OTC Equity Trading Volume Data Published on FINRA's Website2019-07-11T00:00:00-07:002019-07-11T00:00:00-07:002019-14724Noticehttps://www.govinfo.gov/content/pkg/FR-2019-07-11/pdf/2019-14724.pdfhttps://regulations.justia.com/regulations/fedreg/2019/07/11/2019-14723.htmlNotice - Self-Regulatory Organizations; The Nasdaq Stock Market LLC; Notice of Filing of Amendment No. 3 and Order Granting Accelerated Approval of a Proposed Rule Change, as Modified by Amendment No. 3, To Revise the Exchange's Initial Listing Standards Related to Liquidity2019-07-11T00:00:00-07:002019-07-11T00:00:00-07:002019-14723Noticehttps://www.govinfo.gov/content/pkg/FR-2019-07-11/pdf/2019-14723.pdfhttps://regulations.justia.com/regulations/fedreg/2019/07/11/2019-14616.htmlProposed Rule - List of Rules To Be Reviewed Pursuant to the Regulatory Flexibility Act2019-07-11T00:00:00-07:002019-07-11T00:00:00-07:002019-14616Proposed Rulehttps://www.govinfo.gov/content/pkg/FR-2019-07-11/pdf/2019-14616.pdfhttps://regulations.justia.com/regulations/fedreg/2019/07/09/2019-14627.htmlNotice - Self-Regulatory Organizations; The Options Clearing Corporation; Notice of Filing of Proposed Rule Change Related to the Options Clearing Corporation's Vanilla Option Model and Smoothing Algorithm2019-07-09T00:00:00-07:002019-07-09T00:00:00-07:002019-14627Noticehttps://www.govinfo.gov/content/pkg/FR-2019-07-09/pdf/2019-14627.pdfhttps://regulations.justia.com/regulations/fedreg/2019/07/09/2019-14626.htmlNotice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Rule 7.37-E To Update a Rule Cross Reference2019-07-09T00:00:00-07:002019-07-09T00:00:00-07:002019-14626Noticehttps://www.govinfo.gov/content/pkg/FR-2019-07-09/pdf/2019-14626.pdfhttps://regulations.justia.com/regulations/fedreg/2019/07/09/2019-14625.htmlNotice - Self-Regulatory Organizations; NYSE National, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Rule 7.37 To Update a Rule Cross Reference2019-07-09T00:00:00-07:002019-07-09T00:00:00-07:002019-14625Noticehttps://www.govinfo.gov/content/pkg/FR-2019-07-09/pdf/2019-14625.pdfhttps://regulations.justia.com/regulations/fedreg/2019/07/09/2019-14623.htmlNotice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Designation of a Longer Period for Commission Action on a Proposed Rule Change, as Modified by Amendment No. 1, Regarding Certain Changes to Investments of the First Trust TCW Unconstrained Plus Bond ETF2019-07-09T00:00:00-07:002019-07-09T00:00:00-07:002019-14623Noticehttps://www.govinfo.gov/content/pkg/FR-2019-07-09/pdf/2019-14623.pdfhttps://regulations.justia.com/regulations/fedreg/2019/07/09/2019-14622.htmlNotice - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Designation of Longer Period for Commission Action on 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' Meetings2019-07-09T00:00:00-07:002019-07-09T00:00:00-07:002019-14622Noticehttps://www.govinfo.gov/content/pkg/FR-2019-07-09/pdf/2019-14622.pdfhttps://regulations.justia.com/regulations/fedreg/2019/07/09/2019-14525.htmlNotice - Investor Advisory Committee Meeting2019-07-09T00:00:00-07:002019-07-09T00:00:00-07:002019-14525Noticehttps://www.govinfo.gov/content/pkg/FR-2019-07-09/pdf/2019-14525.pdfhttps://regulations.justia.com/regulations/fedreg/2019/07/09/2019-14494.htmlNotice - Self-Regulatory Organizations; Nasdaq PHLX LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Rule 1019, Adopt a New Rule 1073, Adopt a New Rule 1074, Rule 1080, Adopt a New Rule 1096, and Adopt a New Rule 10972019-07-09T00:00:00-07:002019-07-09T00:00:00-07:002019-14494Noticehttps://www.govinfo.gov/content/pkg/FR-2019-07-09/pdf/2019-14494.pdfhttps://regulations.justia.com/regulations/fedreg/2019/07/09/2019-14491.htmlNotice - Self-Regulatory Organizations; Cboe BZX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating To Amend the Fee Schedule Applicable to Members and Non-Members 12019-07-09T00:00:00-07:002019-07-09T00:00:00-07:002019-14491Noticehttps://www.govinfo.gov/content/pkg/FR-2019-07-09/pdf/2019-14491.pdfhttps://regulations.justia.com/regulations/fedreg/2019/07/09/2019-14490.htmlNotice - Self-Regulatory Organizations; Cboe EDGX Exchange, Inc.; Notice of Filing of Amendment No. 1 and Order Instituting Proceedings To Determine Whether To Approve or Disapprove of a Proposed Rule Change, as Modified by Amendment No. 1, To Introduce Order Book Priority for Equity Orders Submitted on Behalf of Retail Investors2019-07-09T00:00:00-07:002019-07-09T00:00:00-07:002019-14490Noticehttps://www.govinfo.gov/content/pkg/FR-2019-07-09/pdf/2019-14490.pdfhttps://regulations.justia.com/regulations/fedreg/2019/07/09/2019-14489.htmlNotice - Self-Regulatory Organizations; The Nasdaq Stock Market LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Regarding the Listing and Trading the Shares of the AlphaMark Actively Managed Small Cap ETF2019-07-09T00:00:00-07:002019-07-09T00:00:00-07:002019-14489Noticehttps://www.govinfo.gov/content/pkg/FR-2019-07-09/pdf/2019-14489.pdfhttps://regulations.justia.com/regulations/fedreg/2019/07/09/2019-14488.htmlNotice - Self-Regulatory Organizations; Cboe EDGX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating To Update All References to “Bats Auction Mechanism” or “BAM” to “Automated Improvement Mechanism” or “AIM” in the EDGX Options Fee Schedule2019-07-09T00:00:00-07:002019-07-09T00:00:00-07:002019-14488Noticehttps://www.govinfo.gov/content/pkg/FR-2019-07-09/pdf/2019-14488.pdfhttps://regulations.justia.com/regulations/fedreg/2019/07/08/2019-14533.htmlNotice - Sunshine Act Meetings2019-07-08T00:00:00-07:002019-07-08T00:00:00-07:002019-14533Noticehttps://www.govinfo.gov/content/pkg/FR-2019-07-08/pdf/2019-14533.pdfhttps://regulations.justia.com/regulations/fedreg/2019/07/08/2019-14414.htmlNotice - Public Company Accounting Oversight Board; Order Granting Approval of Amendments to Auditing Standards for Auditor's Use of the Work of Specialists2019-07-08T00:00:00-07:002019-07-08T00:00:00-07:002019-14414Noticehttps://www.govinfo.gov/content/pkg/FR-2019-07-08/pdf/2019-14414.pdfhttps://regulations.justia.com/regulations/fedreg/2019/07/08/2019-14411.htmlNotice - Public Company Accounting Oversight Board; Order Granting Approval of Auditing Standard 2501, Auditing Accounting Estimates, Including Fair Value Measurements,2019-07-08T00:00:00-07:002019-07-08T00:00:00-07:002019-14411Noticehttps://www.govinfo.gov/content/pkg/FR-2019-07-08/pdf/2019-14411.pdfhttps://regulations.justia.com/regulations/fedreg/2019/07/08/2019-14403.htmlNotice - Self-Regulatory Organizations; ICE Clear Europe Limited; Notice of Filing of Amendment No. 1 and Order Granting Accelerated Approval of Proposed Rule Change, as Modified by Amendment No. 1, To Revise the ICE Clear Europe Clearing Rules Regarding Default Management, Recovery and Wind-Down for CDS Contracts, and Default Auction Procedures2019-07-08T00:00:00-07:002019-07-08T00:00:00-07:002019-14403Noticehttps://www.govinfo.gov/content/pkg/FR-2019-07-08/pdf/2019-14403.pdfhttps://regulations.justia.com/regulations/fedreg/2019/07/08/2019-14402.htmlNotice - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing of a Proposed Rule Change To Amend FINRA Rules 2210 (Communications With the Public) and 2241 (Research Analysts and Research Reports)2019-07-08T00:00:00-07:002019-07-08T00:00:00-07:002019-14402Noticehttps://www.govinfo.gov/content/pkg/FR-2019-07-08/pdf/2019-14402.pdfhttps://regulations.justia.com/regulations/fedreg/2019/07/08/2019-14401.htmlNotice - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Order Instituting Proceedings To Determine Whether To Approve or Disapprove a Proposed Rule Change To Establish a Corporate Bond New Issue Reference Data Service2019-07-08T00:00:00-07:002019-07-08T00:00:00-07:002019-14401Noticehttps://www.govinfo.gov/content/pkg/FR-2019-07-08/pdf/2019-14401.pdfhttps://regulations.justia.com/regulations/fedreg/2019/07/08/2019-14400.htmlNotice - Self-Regulatory Organizations; The Depository Trust Company; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the Reorganizations Service Guide2019-07-08T00:00:00-07:002019-07-08T00:00:00-07:002019-14400Noticehttps://www.govinfo.gov/content/pkg/FR-2019-07-08/pdf/2019-14400.pdfhttps://regulations.justia.com/regulations/fedreg/2019/07/05/2019-14345.htmlNotice - Fixed Income Market Structure Advisory Committee2019-07-05T00:00:00-07:002019-07-05T00:00:00-07:002019-14345Noticehttps://www.govinfo.gov/content/pkg/FR-2019-07-05/pdf/2019-14345.pdfhttps://regulations.justia.com/regulations/fedreg/2019/07/05/2019-14287.htmlNotice - Notice of Applications for Deregistration Under Section 8(f) of the Investment Company Act of 19402019-07-05T00:00:00-07:002019-07-05T00:00:00-07:002019-14287Noticehttps://www.govinfo.gov/content/pkg/FR-2019-07-05/pdf/2019-14287.pdfhttps://regulations.justia.com/regulations/fedreg/2019/07/05/2019-14283.htmlNotice - Self-Regulatory Organizations; Cboe EDGX Exchange, Inc.; Suspension of and Order Instituting Proceedings To Determine Whether To Approve or Disapprove a Proposed Rule Change Amending the Fee Schedule Assessed on Members To Establish a Monthly Trading Rights Fee2019-07-05T00:00:00-07:002019-07-05T00:00:00-07:002019-14283Noticehttps://www.govinfo.gov/content/pkg/FR-2019-07-05/pdf/2019-14283.pdfhttps://regulations.justia.com/regulations/fedreg/2019/07/05/2019-14282.htmlNotice - Self-Regulatory Organizations; Cboe BYX Exchange, Inc.; Suspension of and Order Instituting Proceedings To Determine Whether To Approve or Disapprove a Proposed Rule Change Amending the Fee Schedule Assessed on Members To Establish a Monthly Trading Rights Fee2019-07-05T00:00:00-07:002019-07-05T00:00:00-07:002019-14282Noticehttps://www.govinfo.gov/content/pkg/FR-2019-07-05/pdf/2019-14282.pdfhttps://regulations.justia.com/regulations/fedreg/2019/07/05/2019-14281.htmlNotice - Self-Regulatory Organizations; Cboe BZX Exchange, Inc.; Suspension of and Order Instituting Proceedings To Determine Whether To Approve or Disapprove a Proposed Rule Change Amending the Fee Schedule Assessed on Members To Establish a Monthly Trading Rights Fee2019-07-05T00:00:00-07:002019-07-05T00:00:00-07:002019-14281Noticehttps://www.govinfo.gov/content/pkg/FR-2019-07-05/pdf/2019-14281.pdfhttps://regulations.justia.com/regulations/fedreg/2019/07/05/2019-14280.htmlNotice - Self-Regulatory Organizations; Cboe C2 Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the Trigger for Its Opening Rotation Process for Equity Options2019-07-05T00:00:00-07:002019-07-05T00:00:00-07:002019-14280Noticehttps://www.govinfo.gov/content/pkg/FR-2019-07-05/pdf/2019-14280.pdfhttps://regulations.justia.com/regulations/fedreg/2019/07/05/2019-14279.htmlNotice - Self-Regulatory Organizations; Cboe EDGA Exchange, Inc.; Suspension of and Order Instituting Proceedings To Determine Whether To Approve or Disapprove a Proposed Rule Change Amending the Fee Schedule Assessed on Members To Establish a Monthly Trading Rights Fee2019-07-05T00:00:00-07:002019-07-05T00:00:00-07:002019-14279Noticehttps://www.govinfo.gov/content/pkg/FR-2019-07-05/pdf/2019-14279.pdfhttps://regulations.justia.com/regulations/fedreg/2019/07/05/2019-14278.htmlNotice - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Designation of Longer Period for Commission Action on Proposed Rule Change To Amend Section 703.18 of the Listed Company Manual To Permit the Listing of Event-Based Contingent Value Rights and Make Other Changes To the Listing Standards for Contingent Value Rights2019-07-05T00:00:00-07:002019-07-05T00:00:00-07:002019-14278Noticehttps://www.govinfo.gov/content/pkg/FR-2019-07-05/pdf/2019-14278.pdfhttps://regulations.justia.com/regulations/fedreg/2019/07/05/2019-14277.htmlNotice - Self-Regulatory Organizations; Investors Exchange LLC; Notice of Filing of Proposed Rule Change To Establish a Retail Price Improvement Program2019-07-05T00:00:00-07:002019-07-05T00:00:00-07:002019-14277Noticehttps://www.govinfo.gov/content/pkg/FR-2019-07-05/pdf/2019-14277.pdfhttps://regulations.justia.com/regulations/fedreg/2019/07/05/2019-14276.htmlNotice - Self-Regulatory Organizations; The Nasdaq Stock Market LLC; Order Granting Approval of a Proposed Rule Change To Adopt Additional Requirements for Listings in Connection With an Offering Under Regulation A of the Securities Act2019-07-05T00:00:00-07:002019-07-05T00:00:00-07:002019-14276Noticehttps://www.govinfo.gov/content/pkg/FR-2019-07-05/pdf/2019-14276.pdfhttps://regulations.justia.com/regulations/fedreg/2019/07/05/2019-13429.htmlRule - Auditor Independence With Respect to Certain Loans or Debtor-Creditor Relationships2019-07-05T00:00:00-07:002019-07-05T00:00:00-07:002019-13429Rulehttps://www.govinfo.gov/content/pkg/FR-2019-07-05/pdf/2019-13429.pdfhttps://regulations.justia.com/regulations/fedreg/2019/07/03/2019-14166.htmlNotice - Self-Regulatory Organizations; Cboe Futures Exchange, LLC; Notice of a Filing of a Proposed Rule Change Regarding Trading Conduct2019-07-03T00:00:00-07:002019-07-03T00:00:00-07:002019-14166Noticehttps://www.govinfo.gov/content/pkg/FR-2019-07-03/pdf/2019-14166.pdfhttps://regulations.justia.com/regulations/fedreg/2019/07/03/2019-14165.htmlNotice - Self-Regulatory Organizations; NYSE American LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Delete Provisions in Section 141 of the NYSE American Company Guide That Grant the Board Authority to Defer, Waive or Rebate Annual Fees for Listed Equity Securities and Bonds and To Eliminate Obsolete Provisions2019-07-03T00:00:00-07:002019-07-03T00:00:00-07:002019-14165Noticehttps://www.govinfo.gov/content/pkg/FR-2019-07-03/pdf/2019-14165.pdfhttps://regulations.justia.com/regulations/fedreg/2019/07/03/2019-14164.htmlNotice - Self-Regulatory Organizations; Cboe Exchange, Inc.; Notice of Filing of a Proposed Rule Change To Use Cboe Exchange's Affiliate, Cboe Trading, as an Inbound and Outbound Router for Cboe Options2019-07-03T00:00:00-07:002019-07-03T00:00:00-07:002019-14164Noticehttps://www.govinfo.gov/content/pkg/FR-2019-07-03/pdf/2019-14164.pdfhttps://regulations.justia.com/regulations/fedreg/2019/07/03/2019-14163.htmlNotice - Self-Regulatory Organizations; Nasdaq BX, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Relocate the BX Options Rules at Chapter IV, Securities Traded on BX2019-07-03T00:00:00-07:002019-07-03T00:00:00-07:002019-14163Noticehttps://www.govinfo.gov/content/pkg/FR-2019-07-03/pdf/2019-14163.pdfhttps://regulations.justia.com/regulations/fedreg/2019/07/03/2019-14162.htmlNotice - Self-Regulatory Organizations; NYSE Arca, Inc.; Order Instituting Proceedings To Determine Whether To Approve or Disapprove a Proposed Rule Change Relating to the Permitted Investments of the PGIM Ultra Short Bond ETF2019-07-03T00:00:00-07:002019-07-03T00:00:00-07:002019-14162Noticehttps://www.govinfo.gov/content/pkg/FR-2019-07-03/pdf/2019-14162.pdfhttps://regulations.justia.com/regulations/fedreg/2019/07/03/2019-14161.htmlNotice - Self-Regulatory Organizations; Municipal Securities Rulemaking Board; Notice of Filing of Amendment No. 1 and Order Granting Accelerated Approval of a Proposed Rule Change, as Modified by Amendment No. 1, Consisting of Proposed Amendments to MSRB Rule G-11 and MSRB Rule G-32 and Form G-32 Regarding a Collection of Data Elements Provided in Electronic Format to the EMMA Dataport System in Connection With Primary Offerings2019-07-03T00:00:00-07:002019-07-03T00:00:00-07:002019-14161Noticehttps://www.govinfo.gov/content/pkg/FR-2019-07-03/pdf/2019-14161.pdfhttps://regulations.justia.com/regulations/fedreg/2019/07/03/2019-14160.htmlNotice - Self-Regulatory Organizations; Cboe EDGX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to Amend the Trigger for Its Opening Rotation Process for Equity Options2019-07-03T00:00:00-07:002019-07-03T00:00:00-07:002019-14160Noticehttps://www.govinfo.gov/content/pkg/FR-2019-07-03/pdf/2019-14160.pdfhttps://regulations.justia.com/regulations/fedreg/2019/07/03/2019-14159.htmlNotice - Self-Regulatory Organizations; Cboe BZX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Related to Fees for Use on Cboe BZX Exchange, Inc.2019-07-03T00:00:00-07:002019-07-03T00:00:00-07:002019-14159Noticehttps://www.govinfo.gov/content/pkg/FR-2019-07-03/pdf/2019-14159.pdfhttps://regulations.justia.com/regulations/fedreg/2019/07/03/2019-14158.htmlNotice - Self-Regulatory Organizations; NYSE American LLC; Notice of Filing and Immediate Effectiveness of Proposed Change To Amend the NYSE American Options Fee Schedule2019-07-03T00:00:00-07:002019-07-03T00:00:00-07:002019-14158Noticehttps://www.govinfo.gov/content/pkg/FR-2019-07-03/pdf/2019-14158.pdfhttps://regulations.justia.com/regulations/fedreg/2019/07/03/2019-14157.htmlNotice - Self-Regulatory Organizations; Cboe C2 Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating To Update Its Rules Related to Complex Orders and Trading Halts2019-07-03T00:00:00-07:002019-07-03T00:00:00-07:002019-14157Noticehttps://www.govinfo.gov/content/pkg/FR-2019-07-03/pdf/2019-14157.pdfhttps://regulations.justia.com/regulations/fedreg/2019/07/02/2019-14112.htmlNotice - WicShares Trust and Water Island Capital, LLC; Notice of Application2019-07-02T00:00:00-07:002019-07-02T00:00:00-07:002019-14112Noticehttps://www.govinfo.gov/content/pkg/FR-2019-07-02/pdf/2019-14112.pdfhttps://regulations.justia.com/regulations/fedreg/2019/07/02/2019-14111.htmlNotice - Submission for OMB Review; Comment Request2019-07-02T00:00:00-07:002019-07-02T00:00:00-07:002019-14111Noticehttps://www.govinfo.gov/content/pkg/FR-2019-07-02/pdf/2019-14111.pdfhttps://regulations.justia.com/regulations/fedreg/2019/07/02/2019-14110.htmlNotice - Submission for OMB Review; Comment Request2019-07-02T00:00:00-07:002019-07-02T00:00:00-07:002019-14110Noticehttps://www.govinfo.gov/content/pkg/FR-2019-07-02/pdf/2019-14110.pdfhttps://regulations.justia.com/regulations/fedreg/2019/07/02/2019-14059.htmlNotice - Self-Regulatory Organization; Cboe BYX Exchange, Inc.; Order Granting an Extension to Limited Exemption From Rule 612(c) of Regulation NMS in Connection With the Exchange's Retail Price Improvement Program2019-07-02T00:00:00-07:002019-07-02T00:00:00-07:002019-14059Noticehttps://www.govinfo.gov/content/pkg/FR-2019-07-02/pdf/2019-14059.pdfhttps://regulations.justia.com/regulations/fedreg/2019/07/02/2019-14058.htmlNotice - Self-Regulatory Organizations; NYSE Arca, Inc.; Order Granting an Extension to Limited Exemption From Rule 612(c) of Regulation NMS in Connection With the Exchange's Retail Liquidity Program Until September 30, 20192019-07-02T00:00:00-07:002019-07-02T00:00:00-07:002019-14058Noticehttps://www.govinfo.gov/content/pkg/FR-2019-07-02/pdf/2019-14058.pdfhttps://regulations.justia.com/regulations/fedreg/2019/07/02/2019-14057.htmlNotice - Self-Regulatory Organizations; Cboe EDGX Exchange, Inc.; Notice of Designation of Longer Period for Commission Action on Proposed Rule Change, as Modified by Amendment No. 1, To Adopt Rule 21.22 (Complex Automated Improvement Mechanism)2019-07-02T00:00:00-07:002019-07-02T00:00:00-07:002019-14057Noticehttps://www.govinfo.gov/content/pkg/FR-2019-07-02/pdf/2019-14057.pdfhttps://regulations.justia.com/regulations/fedreg/2019/07/02/2019-14056.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, Regarding Changes to Investments of the iShares Bloomberg Roll Select Commodity Strategy ETF2019-07-02T00:00:00-07:002019-07-02T00:00:00-07:002019-14056Noticehttps://www.govinfo.gov/content/pkg/FR-2019-07-02/pdf/2019-14056.pdfhttps://regulations.justia.com/regulations/fedreg/2019/07/02/2019-14055.htmlNotice - Self-Regulatory Organizations; Cboe BYX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Extend the Pilot Period for the Exchange's Retail Price Improvement Program2019-07-02T00:00:00-07:002019-07-02T00:00:00-07:002019-14055Noticehttps://www.govinfo.gov/content/pkg/FR-2019-07-02/pdf/2019-14055.pdfhttps://regulations.justia.com/regulations/fedreg/2019/07/02/2019-14054.htmlNotice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Extend the Pilot Period for the Exchange Retail Liquidity Program Until September 30, 20192019-07-02T00:00:00-07:002019-07-02T00:00:00-07:002019-14054Noticehttps://www.govinfo.gov/content/pkg/FR-2019-07-02/pdf/2019-14054.pdfhttps://regulations.justia.com/regulations/fedreg/2019/07/02/2019-14053.htmlNotice - Self-Regulatory Organizations; Nasdaq BX, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Harmonize the Exchange's By-Law Provisions Regarding the Size of the Exchange's Board of Directors to Those of the Other Nasdaq, Inc.-Owned U.S. Exchanges2019-07-02T00:00:00-07:002019-07-02T00:00:00-07:002019-14053Noticehttps://www.govinfo.gov/content/pkg/FR-2019-07-02/pdf/2019-14053.pdfhttps://regulations.justia.com/regulations/fedreg/2019/07/01/2019-13926.htmlNotice - Self-Regulatory Organizations; Miami International Securities Exchange, LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Exchange Rule 515, Execution of Orders and Quotes2019-07-01T00:00:00-07:002019-07-01T00:00:00-07:002019-13926Noticehttps://www.govinfo.gov/content/pkg/FR-2019-07-01/pdf/2019-13926.pdfhttps://regulations.justia.com/regulations/fedreg/2019/07/01/2019-13925.htmlNotice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing of Proposed Rule Change To Amend NYSE Arca Rule 8.201-E (Commodity-Based Trust Shares) and To List and Trade Shares of the United States Bitcoin and Treasury Investment Trust Under NYSE Arca Rule 8.201-E2019-07-01T00:00:00-07:002019-07-01T00:00:00-07:002019-13925Noticehttps://www.govinfo.gov/content/pkg/FR-2019-07-01/pdf/2019-13925.pdfhttps://regulations.justia.com/regulations/fedreg/2019/07/01/2019-13924.htmlNotice - Self-Regulatory Organizations; Nasdaq BX, Inc.; Order Granting Accelerated Approval of a Proposed Rule Change, as Modified by Amendment No. 1, To Make Permanent the Pilot Program for the Exchange's Retail Price Improvement Program, Rule 4780, Which Is Set To Expire on June 30, 2019, Notice of Filing of Amendment No. 1, and Order Granting Limited Exemption Pursuant to Rule 612(c) of Regulation NMS2019-07-01T00:00:00-07:002019-07-01T00:00:00-07:002019-13924Noticehttps://www.govinfo.gov/content/pkg/FR-2019-07-01/pdf/2019-13924.pdfhttps://regulations.justia.com/regulations/fedreg/2019/07/01/2019-13922.htmlRule - Adoption of Updated EDGAR Filer Manual2019-07-01T00:00:00-07:002019-07-01T00:00:00-07:002019-13922Rulehttps://www.govinfo.gov/content/pkg/FR-2019-07-01/pdf/2019-13922.pdf