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=atom2024-05-23T21:24:44-07:00Justia 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.pdf