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/2019/08?limit=200®isters=between&min-day=1&max-day=31&mode=atom2024-04-24T14:29:17-07:00Justia Inchttps://www.justia.com/Justia Regulations Trackerhttps://regulations.justia.com/images/justiafedregulations.gifCopyright 2011 Justia Inchttps://regulations.justia.com/regulations/fedreg/2019/08/30/2019-18819.htmlNotice - Hartford Schroders Opportunistic Income Fund and Hartford Funds Management Company, LLC2019-08-30T00:00:00-07:002019-08-30T00:00:00-07:002019-18819Noticehttps://www.govinfo.gov/content/pkg/FR-2019-08-30/pdf/2019-18819.pdfhttps://regulations.justia.com/regulations/fedreg/2019/08/30/2019-18753.htmlNotice - Self-Regulatory Organizations; Cboe Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Concerning End-of-Month and End-of-Day Indicative Values2019-08-30T00:00:00-07:002019-08-30T00:00:00-07:002019-18753Noticehttps://www.govinfo.gov/content/pkg/FR-2019-08-30/pdf/2019-18753.pdfhttps://regulations.justia.com/regulations/fedreg/2019/08/30/2019-18752.htmlNotice - Self-Regulatory Organizations; Cboe Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Amending Its Fees Schedule2019-08-30T00:00:00-07:002019-08-30T00:00:00-07:002019-18752Noticehttps://www.govinfo.gov/content/pkg/FR-2019-08-30/pdf/2019-18752.pdfhttps://regulations.justia.com/regulations/fedreg/2019/08/30/2019-18750.htmlNotice - Self-Regulatory Organizations; NYSE Arca, Inc.; Order Instituting Proceedings To Determine Whether To Approve or Disapprove a Proposed Rule Change, as Modified by Amendment No. 1, Regarding Changes to Investments of the First Trust TCW Unconstrained Plus Bond ETF2019-08-30T00:00:00-07:002019-08-30T00:00:00-07:002019-18750Noticehttps://www.govinfo.gov/content/pkg/FR-2019-08-30/pdf/2019-18750.pdfhttps://regulations.justia.com/regulations/fedreg/2019/08/29/2019-18636.htmlNotice - Self-Regulatory Organizations; Cboe BYX Exchange, Inc.; Notice of Filing of a Proposed Rule Change To Make Permanent Rule 11.24, Which Sets Forth the Exchange's Pilot Retail Price Improvement Program2019-08-29T00:00:00-07:002019-08-29T00:00:00-07:002019-18636Noticehttps://www.govinfo.gov/content/pkg/FR-2019-08-29/pdf/2019-18636.pdfhttps://regulations.justia.com/regulations/fedreg/2019/08/29/2019-18635.htmlNotice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing of Proposed Rule Change To List and Trade Shares of the KFA Global Carbon ETF Under NYSE Arca Rule 8.600-E2019-08-29T00:00:00-07:002019-08-29T00:00:00-07:002019-18635Noticehttps://www.govinfo.gov/content/pkg/FR-2019-08-29/pdf/2019-18635.pdfhttps://regulations.justia.com/regulations/fedreg/2019/08/29/2019-18634.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)2019-08-29T00:00:00-07:002019-08-29T00:00:00-07:002019-18634Noticehttps://www.govinfo.gov/content/pkg/FR-2019-08-29/pdf/2019-18634.pdfhttps://regulations.justia.com/regulations/fedreg/2019/08/29/2019-18632.htmlNotice - Self-Regulatory Organizations; Fixed Income Clearing Corporation; Notice of Filing of Proposed Rule Change To Amend the GSD Rulebook To Establish a Process To Address Liquidity Needs in Certain Situations in the GCF Repo and CCIT Services and Make Other Changes2019-08-29T00:00:00-07:002019-08-29T00:00:00-07:002019-18632Noticehttps://www.govinfo.gov/content/pkg/FR-2019-08-29/pdf/2019-18632.pdfhttps://regulations.justia.com/regulations/fedreg/2019/08/29/2019-18626.htmlNotice - Self-Regulatory Organizations; Cboe Exchange, Inc.; Notice of Filing of a Proposed Rule Change Relating To Make Permanent Certain Options Market Rules That Are Linked to the Equity Market Plan To Address Extraordinary Market Volatility2019-08-29T00:00:00-07:002019-08-29T00:00:00-07:002019-18626Noticehttps://www.govinfo.gov/content/pkg/FR-2019-08-29/pdf/2019-18626.pdfhttps://regulations.justia.com/regulations/fedreg/2019/08/29/2019-18625.htmlNotice - Self-Regulatory Organizations; ICE Clear Europe Limited; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to the ICE Clear Europe Clearing Rules and Procedures2019-08-29T00:00:00-07:002019-08-29T00:00:00-07:002019-18625Noticehttps://www.govinfo.gov/content/pkg/FR-2019-08-29/pdf/2019-18625.pdfhttps://regulations.justia.com/regulations/fedreg/2019/08/29/2019-18618.htmlNotice - Order Making Fiscal Year 2020 Annual Adjustments to Registration Fee Rates2019-08-29T00:00:00-07:002019-08-29T00:00:00-07:002019-18618Noticehttps://www.govinfo.gov/content/pkg/FR-2019-08-29/pdf/2019-18618.pdfhttps://regulations.justia.com/regulations/fedreg/2019/08/28/2019-18719.htmlNotice - Sunshine Act Meetings2019-08-28T00:00:00-07:002019-08-28T00:00:00-07:002019-18719Noticehttps://www.govinfo.gov/content/pkg/FR-2019-08-28/pdf/2019-18719.pdfhttps://regulations.justia.com/regulations/fedreg/2019/08/28/2019-18484.htmlNotice - Self-Regulatory Organizations; Cboe BZX Exchange, Inc.; Order Instituting Proceedings To Determine Whether To Approve or Disapprove 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 Shares2019-08-28T00:00:00-07:002019-08-28T00:00:00-07:002019-18484Noticehttps://www.govinfo.gov/content/pkg/FR-2019-08-28/pdf/2019-18484.pdfhttps://regulations.justia.com/regulations/fedreg/2019/08/28/2019-18482.htmlNotice - Self-Regulatory Organizations; ICE Clear Credit LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change, Security-Based Swap Submission, or Advance Notice Relating to ICC's Treasury Operations Policies and Procedures2019-08-28T00:00:00-07:002019-08-28T00:00:00-07:002019-18482Noticehttps://www.govinfo.gov/content/pkg/FR-2019-08-28/pdf/2019-18482.pdfhttps://regulations.justia.com/regulations/fedreg/2019/08/28/2019-18481.htmlNotice - Self-Regulatory Organizations; The Options Clearing Corporation; Order Approving Proposed Rule Change Related to The Options Clearing Corporation's Vanilla Option Model and Smoothing Algorithm2019-08-28T00:00:00-07:002019-08-28T00:00:00-07:002019-18481Noticehttps://www.govinfo.gov/content/pkg/FR-2019-08-28/pdf/2019-18481.pdfhttps://regulations.justia.com/regulations/fedreg/2019/08/28/2019-18480.htmlNotice - Self-Regulatory Organizations; ICE Clear Credit LLC; Notice of Filing of Proposed Rule Change, Security-Based Swap Submission, or Advance Notice Relating to the ICC Clearing Rules2019-08-28T00:00:00-07:002019-08-28T00:00:00-07:002019-18480Noticehttps://www.govinfo.gov/content/pkg/FR-2019-08-28/pdf/2019-18480.pdfhttps://regulations.justia.com/regulations/fedreg/2019/08/27/2019-18385.htmlNotice - Self-Regulatory Organizations; The Options Clearing Corporation; Notice of Filing of Proposed Rule Change Concerning a Proposed Capital Management Policy That Would Support The Options Clearing Corporation's Function as a Systemically Important Financial Market Utility2019-08-27T00:00:00-07:002019-08-27T00:00:00-07:002019-18385Noticehttps://www.govinfo.gov/content/pkg/FR-2019-08-27/pdf/2019-18385.pdfhttps://regulations.justia.com/regulations/fedreg/2019/08/27/2019-18384.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 Amend Rule 14.11(i) Relating to Generic Listing Standards for Managed Fund Shares2019-08-27T00:00:00-07:002019-08-27T00:00:00-07:002019-18384Noticehttps://www.govinfo.gov/content/pkg/FR-2019-08-27/pdf/2019-18384.pdfhttps://regulations.justia.com/regulations/fedreg/2019/08/27/2019-18381.htmlNotice - Self-Regulatory Organizations; Long-Term Stock Exchange, Inc.; Order Approving Proposed Rule Change To Adopt Rule 14.425, Which Would Require Companies Listed on the Exchange To Develop and Publish Certain Long-Term Policies2019-08-27T00:00:00-07:002019-08-27T00:00:00-07:002019-18381Noticehttps://www.govinfo.gov/content/pkg/FR-2019-08-27/pdf/2019-18381.pdfhttps://regulations.justia.com/regulations/fedreg/2019/08/27/2019-18380.htmlNotice - Self-Regulatory Organizations; BOX Exchange LLC; Notice of Filing of Proposed Rule Change To Amend Rule 76002019-08-27T00:00:00-07:002019-08-27T00:00:00-07:002019-18380Noticehttps://www.govinfo.gov/content/pkg/FR-2019-08-27/pdf/2019-18380.pdfhttps://regulations.justia.com/regulations/fedreg/2019/08/26/2019-18367.htmlNotice - Sunshine Act Meetings2019-08-26T00:00:00-07:002019-08-26T00:00:00-07:002019-18367Noticehttps://www.govinfo.gov/content/pkg/FR-2019-08-26/pdf/2019-18367.pdfhttps://regulations.justia.com/regulations/fedreg/2019/08/26/2019-18329.htmlNotice - New Age Alpha Advisors, LLC and New Age Alpha Trust2019-08-26T00:00:00-07:002019-08-26T00:00:00-07:002019-18329Noticehttps://www.govinfo.gov/content/pkg/FR-2019-08-26/pdf/2019-18329.pdfhttps://regulations.justia.com/regulations/fedreg/2019/08/26/2019-18270.htmlNotice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing of Proposed Rule Change To Amend NYSE Arca Rule 8.700-E and To List and Trade Shares of the Dynamic Short Short-Term Volatility Futures ETF2019-08-26T00:00:00-07:002019-08-26T00:00:00-07:002019-18270Noticehttps://www.govinfo.gov/content/pkg/FR-2019-08-26/pdf/2019-18270.pdfhttps://regulations.justia.com/regulations/fedreg/2019/08/26/2019-18269.htmlNotice - Self-Regulatory Organizations; NYSE Chicago, Inc.; Notice of Filing of Proposed Rule Change for Trading Rules To Support the Transition of Trading to the Pillar Trading Platform2019-08-26T00:00:00-07:002019-08-26T00:00:00-07:002019-18269Noticehttps://www.govinfo.gov/content/pkg/FR-2019-08-26/pdf/2019-18269.pdfhttps://regulations.justia.com/regulations/fedreg/2019/08/26/2019-18260.htmlNotice - Self-Regulatory Organizations; The Options Clearing Corporation; Notice of No Objection To Advance Notice Related to The Options Clearing Corporation's Vanilla Option Model and Smoothing Algorithm2019-08-26T00:00:00-07:002019-08-26T00:00:00-07:002019-18260Noticehttps://www.govinfo.gov/content/pkg/FR-2019-08-26/pdf/2019-18260.pdfhttps://regulations.justia.com/regulations/fedreg/2019/08/23/2019-18167.htmlNotice - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Order Approving Proposed Rule Change To Expand OTC Equity Trading Volume Data Published on FINRA's Website2019-08-23T00:00:00-07:002019-08-23T00:00:00-07:002019-18167Noticehttps://www.govinfo.gov/content/pkg/FR-2019-08-23/pdf/2019-18167.pdfhttps://regulations.justia.com/regulations/fedreg/2019/08/23/2019-18166.htmlNotice - Self-Regulatory Organizations; The Nasdaq Stock Market LLC; Notice of Filing of Proposed Rule Change Relating to the Nasdaq Official Closing Price for Nasdaq-Listed Exchange-Traded Products2019-08-23T00:00:00-07:002019-08-23T00:00:00-07:002019-18166Noticehttps://www.govinfo.gov/content/pkg/FR-2019-08-23/pdf/2019-18166.pdfhttps://regulations.justia.com/regulations/fedreg/2019/08/23/2019-17410.htmlProposed Rule - Modernization of Regulation S-K Items 101, 103, and 1052019-08-23T00:00:00-07:002019-08-23T00:00:00-07:002019-17410Proposed Rulehttps://www.govinfo.gov/content/pkg/FR-2019-08-23/pdf/2019-17410.pdfhttps://regulations.justia.com/regulations/fedreg/2019/08/22/2019-18077.htmlNotice - Self-Regulatory Organizations; Nasdaq PHLX LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Exchange Rules 605 and 10492019-08-22T00:00:00-07:002019-08-22T00:00:00-07:002019-18077Noticehttps://www.govinfo.gov/content/pkg/FR-2019-08-22/pdf/2019-18077.pdfhttps://regulations.justia.com/regulations/fedreg/2019/08/22/2019-18076.htmlNotice - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Order Approving a Proposed Rule Change To Amend FINRA Rules 2210 (Communications With the Public) and 2241 (Research Analysts and Research Reports)2019-08-22T00:00:00-07:002019-08-22T00:00:00-07:002019-18076Noticehttps://www.govinfo.gov/content/pkg/FR-2019-08-22/pdf/2019-18076.pdfhttps://regulations.justia.com/regulations/fedreg/2019/08/22/2019-18075.htmlNotice - Self-Regulatory Organizations; MIAX Emerald, LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Exchange Rule 520, Limitations on Orders2019-08-22T00:00:00-07:002019-08-22T00:00:00-07:002019-18075Noticehttps://www.govinfo.gov/content/pkg/FR-2019-08-22/pdf/2019-18075.pdfhttps://regulations.justia.com/regulations/fedreg/2019/08/22/2019-18074.htmlNotice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing of Amendment No. 4 and Order Granting Accelerated Approval of a Proposed Rule Change, as Modified by Amendment No. 4, Regarding Changes to Investments of the iShares Bloomberg Roll Select Commodity Strategy ETF2019-08-22T00:00:00-07:002019-08-22T00:00:00-07:002019-18074Noticehttps://www.govinfo.gov/content/pkg/FR-2019-08-22/pdf/2019-18074.pdfhttps://regulations.justia.com/regulations/fedreg/2019/08/22/2019-18058.htmlNotice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Rule 6.40-O To Reduce the Minimum Allowable Parameter for the Transaction- and Volume-Based Settings in the Risk Limitation Mechanism2019-08-22T00:00:00-07:002019-08-22T00:00:00-07:002019-18058Noticehttps://www.govinfo.gov/content/pkg/FR-2019-08-22/pdf/2019-18058.pdfhttps://regulations.justia.com/regulations/fedreg/2019/08/22/2019-18057.htmlNotice - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing of Proposed Rule Change To Add Certain Rules to the List of Minor Rule Violations in Rule 9217; Delete Obsolete Rules and Increase the Maximum Fine for Minor Rule Violations2019-08-22T00:00:00-07:002019-08-22T00:00:00-07:002019-18057Noticehttps://www.govinfo.gov/content/pkg/FR-2019-08-22/pdf/2019-18057.pdfhttps://regulations.justia.com/regulations/fedreg/2019/08/22/2019-18056.htmlNotice - Self-Regulatory Organizations; The Depository Trust Company; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the Distributions Service Guide2019-08-22T00:00:00-07:002019-08-22T00:00:00-07:002019-18056Noticehttps://www.govinfo.gov/content/pkg/FR-2019-08-22/pdf/2019-18056.pdfhttps://regulations.justia.com/regulations/fedreg/2019/08/22/2019-18055.htmlNotice - Self-Regulatory Organizations; NYSE American LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Rule 928NY To Reduce the Minimum Allowable Parameter for the Transaction- and Volume-Based Settings in the Risk Limitation Mechanism2019-08-22T00:00:00-07:002019-08-22T00:00:00-07:002019-18055Noticehttps://www.govinfo.gov/content/pkg/FR-2019-08-22/pdf/2019-18055.pdfhttps://regulations.justia.com/regulations/fedreg/2019/08/22/2019-13609.htmlRule - Capital, Margin, and Segregation Requirements for Security-Based Swap Dealers and Major Security-Based Swap Participants and Capital and Segregation Requirements for Broker-Dealers2019-08-22T00:00:00-07:002019-08-22T00:00:00-07:002019-13609Rulehttps://www.govinfo.gov/content/pkg/FR-2019-08-22/pdf/2019-13609.pdfhttps://regulations.justia.com/regulations/fedreg/2019/08/21/2019-17990.htmlNotice - Self-Regulatory Organizations; NYSE American LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the NYSE American Options Fee Schedule2019-08-21T00:00:00-07:002019-08-21T00:00:00-07:002019-17990Noticehttps://www.govinfo.gov/content/pkg/FR-2019-08-21/pdf/2019-17990.pdfhttps://regulations.justia.com/regulations/fedreg/2019/08/21/2019-17986.htmlNotice - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Supplementary Material .01(b)(5) to NYSE Rule 8.600 Relating to Generic Listing Standards for Managed Fund Shares2019-08-21T00:00:00-07:002019-08-21T00:00:00-07:002019-17986Noticehttps://www.govinfo.gov/content/pkg/FR-2019-08-21/pdf/2019-17986.pdfhttps://regulations.justia.com/regulations/fedreg/2019/08/21/2019-17985.htmlNotice - Self-Regulatory Organizations; NYSE American LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Supplementary Material .01(b)(5) to NYSE American Rule 8.600E Relating to Generic Listing Standards for Managed Fund Shares2019-08-21T00:00:00-07:002019-08-21T00:00:00-07:002019-17985Noticehttps://www.govinfo.gov/content/pkg/FR-2019-08-21/pdf/2019-17985.pdfhttps://regulations.justia.com/regulations/fedreg/2019/08/21/2019-17984.htmlNotice - Self-Regulatory Organizations; Cboe BZX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating To Amending its Fee Schedule Assessed on Members To Establish a Monthly Trading Rights Fee2019-08-21T00:00:00-07:002019-08-21T00:00:00-07:002019-17984Noticehttps://www.govinfo.gov/content/pkg/FR-2019-08-21/pdf/2019-17984.pdfhttps://regulations.justia.com/regulations/fedreg/2019/08/21/2019-17983.htmlNotice - Self-Regulatory Organizations; Cboe BYX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating To Amending its Fee Schedule Assessed on Members To Establish a Monthly Trading Rights Fee2019-08-21T00:00:00-07:002019-08-21T00:00:00-07:002019-17983Noticehttps://www.govinfo.gov/content/pkg/FR-2019-08-21/pdf/2019-17983.pdfhttps://regulations.justia.com/regulations/fedreg/2019/08/20/2019-17974.htmlNotice - Sunshine Act Meetings2019-08-20T00:00:00-07:002019-08-20T00:00:00-07:002019-17974Noticehttps://www.govinfo.gov/content/pkg/FR-2019-08-20/pdf/2019-17974.pdfhttps://regulations.justia.com/regulations/fedreg/2019/08/20/2019-17936.htmlNotice - Submission for OMB Review; Comment Request2019-08-20T00:00:00-07:002019-08-20T00:00:00-07:002019-17936Noticehttps://www.govinfo.gov/content/pkg/FR-2019-08-20/pdf/2019-17936.pdfhttps://regulations.justia.com/regulations/fedreg/2019/08/20/2019-17935.htmlNotice - Submission for OMB Review; Comment Request2019-08-20T00:00:00-07:002019-08-20T00:00:00-07:002019-17935Noticehttps://www.govinfo.gov/content/pkg/FR-2019-08-20/pdf/2019-17935.pdfhttps://regulations.justia.com/regulations/fedreg/2019/08/20/2019-17863.htmlNotice - Self-Regulatory Organizations; Cboe BZX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the Fee Schedule To Institute a Derived Data API Service2019-08-20T00:00:00-07:002019-08-20T00:00:00-07:002019-17863Noticehttps://www.govinfo.gov/content/pkg/FR-2019-08-20/pdf/2019-17863.pdfhttps://regulations.justia.com/regulations/fedreg/2019/08/20/2019-17862.htmlNotice - Self-Regulatory Organizations; Cboe BYX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Introduce a Small Retail Broker Distribution Program2019-08-20T00:00:00-07:002019-08-20T00:00:00-07:002019-17862Noticehttps://www.govinfo.gov/content/pkg/FR-2019-08-20/pdf/2019-17862.pdfhttps://regulations.justia.com/regulations/fedreg/2019/08/20/2019-17861.htmlNotice - Self-Regulatory Organizations; Cboe BZX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Introduce a Small Retail Broker Distribution Program2019-08-20T00:00:00-07:002019-08-20T00:00:00-07:002019-17861Noticehttps://www.govinfo.gov/content/pkg/FR-2019-08-20/pdf/2019-17861.pdfhttps://regulations.justia.com/regulations/fedreg/2019/08/20/2019-17860.htmlNotice - Self-Regulatory Organizations; Cboe BZX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to Clarify Portions of Rule 14.11 (Other Securities) Related to the Applicability of Certain Disclosure Requirements2019-08-20T00:00:00-07:002019-08-20T00:00:00-07:002019-17860Noticehttps://www.govinfo.gov/content/pkg/FR-2019-08-20/pdf/2019-17860.pdfhttps://regulations.justia.com/regulations/fedreg/2019/08/20/2019-17858.htmlNotice - Self-Regulatory Organizations; Miami International Securities Exchange LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Its Fee Schedule2019-08-20T00:00:00-07:002019-08-20T00:00:00-07:002019-17858Noticehttps://www.govinfo.gov/content/pkg/FR-2019-08-20/pdf/2019-17858.pdfhttps://regulations.justia.com/regulations/fedreg/2019/08/20/2019-17857.htmlNotice - Self-Regulatory Organizations; Cboe BYX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating To Clarify Portions of Its Rules Under Chapter 14 (Securities Traded) Related to the Applicability of Certain Disclosure Requirements2019-08-20T00:00:00-07:002019-08-20T00:00:00-07:002019-17857Noticehttps://www.govinfo.gov/content/pkg/FR-2019-08-20/pdf/2019-17857.pdfhttps://regulations.justia.com/regulations/fedreg/2019/08/20/2019-17856.htmlNotice - Self-Regulatory Organizations; Cboe EDGX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating To Clarify Portions of Its Rules Under Chapter 14 (Securities Traded) Related to the Applicability of Certain Disclosure Requirements2019-08-20T00:00:00-07:002019-08-20T00:00:00-07:002019-17856Noticehttps://www.govinfo.gov/content/pkg/FR-2019-08-20/pdf/2019-17856.pdfhttps://regulations.justia.com/regulations/fedreg/2019/08/20/2019-17855.htmlNotice - Self-Regulatory Organizations; Cboe EDGA Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to Clarify Portions of its Rules Under Chapter 14 (Securities Traded) Related To the Applicability of Certain Disclosure Requirements2019-08-20T00:00:00-07:002019-08-20T00:00:00-07:002019-17855Noticehttps://www.govinfo.gov/content/pkg/FR-2019-08-20/pdf/2019-17855.pdfhttps://regulations.justia.com/regulations/fedreg/2019/08/20/2019-17854.htmlNotice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing of Proposed Rule Change To List and Trade Shares of the Franklin Liberty Systematic Style Premia ETF, a Series of the Franklin Templeton ETF Trust Under NYSE Arca Rule 8.600-E2019-08-20T00:00:00-07:002019-08-20T00:00:00-07:002019-17854Noticehttps://www.govinfo.gov/content/pkg/FR-2019-08-20/pdf/2019-17854.pdfhttps://regulations.justia.com/regulations/fedreg/2019/08/20/2019-17853.htmlNotice - Self-Regulatory Organizations; NYSE American LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the NYSE American Options Fee Schedule2019-08-20T00:00:00-07:002019-08-20T00:00:00-07:002019-17853Noticehttps://www.govinfo.gov/content/pkg/FR-2019-08-20/pdf/2019-17853.pdfhttps://regulations.justia.com/regulations/fedreg/2019/08/20/2019-17848.htmlNotice - Self-Regulatory Organizations; Cboe EDGA Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to Amending Its Fee Schedule Assessed on Members To Establish a Monthly Trading Rights Fee2019-08-20T00:00:00-07:002019-08-20T00:00:00-07:002019-17848Noticehttps://www.govinfo.gov/content/pkg/FR-2019-08-20/pdf/2019-17848.pdfhttps://regulations.justia.com/regulations/fedreg/2019/08/20/2019-17847.htmlNotice - Self-Regulatory Organizations; Cboe EDGX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to Amending Its Fee Schedule Assessed on Members To Establish a Monthly Trading Rights Fee2019-08-20T00:00:00-07:002019-08-20T00:00:00-07:002019-17847Noticehttps://www.govinfo.gov/content/pkg/FR-2019-08-20/pdf/2019-17847.pdfhttps://regulations.justia.com/regulations/fedreg/2019/08/20/2019-17846.htmlNotice - Self-Regulatory Organizations; Miami International Securities Exchange, LLC; Notice of Filing of a Proposed Rule Change To Amend Exchange Rule 518, Complex Orders, To Adopt New Interpretation and Policy .072019-08-20T00:00:00-07:002019-08-20T00:00:00-07:002019-17846Noticehttps://www.govinfo.gov/content/pkg/FR-2019-08-20/pdf/2019-17846.pdfhttps://regulations.justia.com/regulations/fedreg/2019/08/20/2019-17845.htmlNotice - Self-Regulatory Organizations; Miami International Securities Exchange, LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Exchange Rule 518, Complex Orders2019-08-20T00:00:00-07:002019-08-20T00:00:00-07:002019-17845Noticehttps://www.govinfo.gov/content/pkg/FR-2019-08-20/pdf/2019-17845.pdfhttps://regulations.justia.com/regulations/fedreg/2019/08/20/2019-17844.htmlNotice - Self-Regulatory Organizations; Cboe EDGX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Introduce a Small Retail Broker Distribution Program2019-08-20T00:00:00-07:002019-08-20T00:00:00-07:002019-17844Noticehttps://www.govinfo.gov/content/pkg/FR-2019-08-20/pdf/2019-17844.pdfhttps://regulations.justia.com/regulations/fedreg/2019/08/20/2019-17843.htmlNotice - Self-Regulatory Organizations; Cboe EDGA Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Introduce a Small Retail Broker Distribution Program2019-08-20T00:00:00-07:002019-08-20T00:00:00-07:002019-17843Noticehttps://www.govinfo.gov/content/pkg/FR-2019-08-20/pdf/2019-17843.pdfhttps://regulations.justia.com/regulations/fedreg/2019/08/20/2019-17819.htmlNotice - American Century ETF Trust, et al.2019-08-20T00:00:00-07:002019-08-20T00:00:00-07:002019-17819Noticehttps://www.govinfo.gov/content/pkg/FR-2019-08-20/pdf/2019-17819.pdfhttps://regulations.justia.com/regulations/fedreg/2019/08/19/2019-17694.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 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 Rights2019-08-19T00:00:00-07:002019-08-19T00:00:00-07:002019-17694Noticehttps://www.govinfo.gov/content/pkg/FR-2019-08-19/pdf/2019-17694.pdfhttps://regulations.justia.com/regulations/fedreg/2019/08/19/2019-17682.htmlNotice - Self-Regulatory Organizations; Cboe EDGX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the Fee Schedule To Institute a Derived Data API Service2019-08-19T00:00:00-07:002019-08-19T00:00:00-07:002019-17682Noticehttps://www.govinfo.gov/content/pkg/FR-2019-08-19/pdf/2019-17682.pdfhttps://regulations.justia.com/regulations/fedreg/2019/08/19/2019-17681.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 Amending NYSE Arca Rule 5.2-E(j)(3) To Adopt Generic Listing Standards for Investment Company Units Based on an Index of Municipal Bond Securities2019-08-19T00:00:00-07:002019-08-19T00:00:00-07:002019-17681Noticehttps://www.govinfo.gov/content/pkg/FR-2019-08-19/pdf/2019-17681.pdfhttps://regulations.justia.com/regulations/fedreg/2019/08/19/2019-17680.htmlNotice - Self-Regulatory Organizations; The Nasdaq Stock Market LLC; Notice of Filing of Proposed Rule Change To Amend Certain Cutoff Times for On-Close Orders Entered for Participation in the Nasdaq Closing Cross and Adopt a Second Reference Price for Limit-on-Close Orders2019-08-19T00:00:00-07:002019-08-19T00:00:00-07:002019-17680Noticehttps://www.govinfo.gov/content/pkg/FR-2019-08-19/pdf/2019-17680.pdfhttps://regulations.justia.com/regulations/fedreg/2019/08/16/2019-17687.htmlNotice - Sunshine Act Meetings2019-08-16T00:00:00-07:002019-08-16T00:00:00-07:002019-17687Noticehttps://www.govinfo.gov/content/pkg/FR-2019-08-16/pdf/2019-17687.pdfhttps://regulations.justia.com/regulations/fedreg/2019/08/16/2019-17593.htmlNotice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing of Amendment No. 4 and Order Granting Accelerated Approval of a Proposed Rule Change, as Modified by Amendment No. 4, To List and Trade Shares of the iShares Commodity Multi-Strategy ETF Under NYSE Arca Rule 8.600-E2019-08-16T00:00:00-07:002019-08-16T00:00:00-07:002019-17593Noticehttps://www.govinfo.gov/content/pkg/FR-2019-08-16/pdf/2019-17593.pdfhttps://regulations.justia.com/regulations/fedreg/2019/08/16/2019-17592.htmlNotice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Designation of a Longer Period for Commission Action on a 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-E2019-08-16T00:00:00-07:002019-08-16T00:00:00-07:002019-17592Noticehttps://www.govinfo.gov/content/pkg/FR-2019-08-16/pdf/2019-17592.pdfhttps://regulations.justia.com/regulations/fedreg/2019/08/16/2019-17591.htmlNotice - Self-Regulatory Organizations; Cboe BZX Exchange, Inc.; Notice of Designation of a Longer Period for Commission Action on Proceedings to Determine Whether To Approve or Disapprove a Proposed Rule Change To List and Trade Shares of the VanEck SolidX Bitcoin Trust2019-08-16T00:00:00-07:002019-08-16T00:00:00-07:002019-17591Noticehttps://www.govinfo.gov/content/pkg/FR-2019-08-16/pdf/2019-17591.pdfhttps://regulations.justia.com/regulations/fedreg/2019/08/16/2019-17590.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. 1, Relating to the Listing and Trading of Shares of the Bitwise Bitcoin ETF Trust Under NYSE Arca Rule 8.201-E2019-08-16T00:00:00-07:002019-08-16T00:00:00-07:002019-17590Noticehttps://www.govinfo.gov/content/pkg/FR-2019-08-16/pdf/2019-17590.pdfhttps://regulations.justia.com/regulations/fedreg/2019/08/16/2019-17582.htmlNotice - Collaborative Investment Series Trust and Tactical Fund Advisors, LLC; Notice of Application2019-08-16T00:00:00-07:002019-08-16T00:00:00-07:002019-17582Noticehttps://www.govinfo.gov/content/pkg/FR-2019-08-16/pdf/2019-17582.pdfhttps://regulations.justia.com/regulations/fedreg/2019/08/16/2019-17559.htmlNotice - Investor Advisory Committee Meeting2019-08-16T00:00:00-07:002019-08-16T00:00:00-07:002019-17559Noticehttps://www.govinfo.gov/content/pkg/FR-2019-08-16/pdf/2019-17559.pdfhttps://regulations.justia.com/regulations/fedreg/2019/08/14/2019-17391.htmlNotice - Self-Regulatory Organizations; Cboe EDGX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the Options Regulatory Fee2019-08-14T00:00:00-07:002019-08-14T00:00:00-07:002019-17391Noticehttps://www.govinfo.gov/content/pkg/FR-2019-08-14/pdf/2019-17391.pdfhttps://regulations.justia.com/regulations/fedreg/2019/08/14/2019-17390.htmlNotice - Self-Regulatory Organizations; Nasdaq PHLX LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend SCAR Credits at Equity 7, Section 3(a)2019-08-14T00:00:00-07:002019-08-14T00:00:00-07:002019-17390Noticehttps://www.govinfo.gov/content/pkg/FR-2019-08-14/pdf/2019-17390.pdfhttps://regulations.justia.com/regulations/fedreg/2019/08/14/2019-17389.htmlNotice - Self-Regulatory Organizations; The Nasdaq Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend SCAR Credits at Equity 7, Section 118(a)2019-08-14T00:00:00-07:002019-08-14T00:00:00-07:002019-17389Noticehttps://www.govinfo.gov/content/pkg/FR-2019-08-14/pdf/2019-17389.pdfhttps://regulations.justia.com/regulations/fedreg/2019/08/14/2019-17388.htmlNotice - Self-Regulatory Organizations; Miami International Securities Exchange, LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Its Options Regulatory Fee2019-08-14T00:00:00-07:002019-08-14T00:00:00-07:002019-17388Noticehttps://www.govinfo.gov/content/pkg/FR-2019-08-14/pdf/2019-17388.pdfhttps://regulations.justia.com/regulations/fedreg/2019/08/14/2019-17387.htmlNotice - Self-Regulatory Organizations; MIAX PEARL, LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Its Options Regulatory Fee2019-08-14T00:00:00-07:002019-08-14T00:00:00-07:002019-17387Noticehttps://www.govinfo.gov/content/pkg/FR-2019-08-14/pdf/2019-17387.pdfhttps://regulations.justia.com/regulations/fedreg/2019/08/14/2019-17386.htmlNotice - Self-Regulatory Organizations; MIAX Emerald, LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Its Options Regulatory Fee2019-08-14T00:00:00-07:002019-08-14T00:00:00-07:002019-17386Noticehttps://www.govinfo.gov/content/pkg/FR-2019-08-14/pdf/2019-17386.pdfhttps://regulations.justia.com/regulations/fedreg/2019/08/14/2019-17385.htmlNotice - Self-Regulatory Organizations; Cboe C2 Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the Options Regulatory Fee2019-08-14T00:00:00-07:002019-08-14T00:00:00-07:002019-17385Noticehttps://www.govinfo.gov/content/pkg/FR-2019-08-14/pdf/2019-17385.pdfhttps://regulations.justia.com/regulations/fedreg/2019/08/14/2019-17384.htmlNotice - Self-Regulatory Organizations; Cboe Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the Options Regulatory Fee2019-08-14T00:00:00-07:002019-08-14T00:00:00-07:002019-17384Noticehttps://www.govinfo.gov/content/pkg/FR-2019-08-14/pdf/2019-17384.pdfhttps://regulations.justia.com/regulations/fedreg/2019/08/14/2019-17383.htmlNotice - Self-Regulatory Organizations; Cboe Exchange, Inc.; Notice of Filing of a Proposed Rule Change Relating To Adopt Rule 6.49B, Off-Floor RWA Transfers2019-08-14T00:00:00-07:002019-08-14T00:00:00-07:002019-17383Noticehttps://www.govinfo.gov/content/pkg/FR-2019-08-14/pdf/2019-17383.pdfhttps://regulations.justia.com/regulations/fedreg/2019/08/14/2019-17218.htmlRule - Amendments to Rules for Nationally Recognized Statistical Rating Organizations2019-08-14T00:00:00-07:002019-08-14T00:00:00-07:002019-17218Rulehttps://www.govinfo.gov/content/pkg/FR-2019-08-14/pdf/2019-17218.pdfhttps://regulations.justia.com/regulations/fedreg/2019/08/13/2019-17298.htmlNotice - Proposed Collection; Comment Request2019-08-13T00:00:00-07:002019-08-13T00:00:00-07:002019-17298Noticehttps://www.govinfo.gov/content/pkg/FR-2019-08-13/pdf/2019-17298.pdfhttps://regulations.justia.com/regulations/fedreg/2019/08/13/2019-17238.htmlNotice - Proposed Collection; Comment Request2019-08-13T00:00:00-07:002019-08-13T00:00:00-07:002019-17238Noticehttps://www.govinfo.gov/content/pkg/FR-2019-08-13/pdf/2019-17238.pdfhttps://regulations.justia.com/regulations/fedreg/2019/08/13/2019-17237.htmlNotice - Proposed Collection; Comment Request2019-08-13T00:00:00-07:002019-08-13T00:00:00-07:002019-17237Noticehttps://www.govinfo.gov/content/pkg/FR-2019-08-13/pdf/2019-17237.pdfhttps://regulations.justia.com/regulations/fedreg/2019/08/13/2019-17236.htmlNotice - Proposed Collection; Comment Request2019-08-13T00:00:00-07:002019-08-13T00:00:00-07:002019-17236Noticehttps://www.govinfo.gov/content/pkg/FR-2019-08-13/pdf/2019-17236.pdfhttps://regulations.justia.com/regulations/fedreg/2019/08/13/2019-17233.htmlNotice - Self-Regulatory Organizations; Cboe Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Its Fees Schedule2019-08-13T00:00:00-07:002019-08-13T00:00:00-07:002019-17233Noticehttps://www.govinfo.gov/content/pkg/FR-2019-08-13/pdf/2019-17233.pdfhttps://regulations.justia.com/regulations/fedreg/2019/08/13/2019-17232.htmlNotice - Self-Regulatory Organizations; The Depository Trust Company; Notice of Filing Amendment Nos. 1 and 2, and Order Granting Accelerated Approval of a Proposed Rule Change, as Modified by Amendment Nos. 1 and 2, To Amend the Settlement Guide Procedures To Provide Status Information for Institutional Transactions to a Matching Utility2019-08-13T00:00:00-07:002019-08-13T00:00:00-07:002019-17232Noticehttps://www.govinfo.gov/content/pkg/FR-2019-08-13/pdf/2019-17232.pdfhttps://regulations.justia.com/regulations/fedreg/2019/08/13/2019-17138.htmlRule - FAST Act Modernization and Simplification of Regulation S-K; Correction2019-08-13T00:00:00-07:002019-08-13T00:00:00-07:002019-17138Rulehttps://www.govinfo.gov/content/pkg/FR-2019-08-13/pdf/2019-17138.pdfhttps://regulations.justia.com/regulations/fedreg/2019/08/12/2019-17353.htmlNotice - Sunshine Act Meetings2019-08-12T00:00:00-07:002019-08-12T00:00:00-07:002019-17353Noticehttps://www.govinfo.gov/content/pkg/FR-2019-08-12/pdf/2019-17353.pdfhttps://regulations.justia.com/regulations/fedreg/2019/08/12/2019-17248.htmlNotice - Sunshine Act Meeting; Cancellation2019-08-12T00:00:00-07:002019-08-12T00:00:00-07:002019-17248Noticehttps://www.govinfo.gov/content/pkg/FR-2019-08-12/pdf/2019-17248.pdfhttps://regulations.justia.com/regulations/fedreg/2019/08/12/2019-17208.htmlNotice - Program for Allocation of Regulatory Responsibilities Pursuant to Rule 17d-2; Order Approving and Declaring Effective a Proposed Plan for the Allocation of Regulatory Responsibilities Between the Financial Industry Regulatory Authority, Inc. and the Long-Term Stock Exchange, Inc.2019-08-12T00:00:00-07:002019-08-12T00:00:00-07:002019-17208Noticehttps://www.govinfo.gov/content/pkg/FR-2019-08-12/pdf/2019-17208.pdfhttps://regulations.justia.com/regulations/fedreg/2019/08/09/C1-2019-12164.htmlRule - Regulation Best Interest: The Broker-Dealer Standard of Conduct2019-08-09T00:00:00-07:002019-08-09T00:00:00-07:00C1-2019-12164Rulehttps://www.govinfo.gov/content/pkg/FR-2019-08-09/pdf/C1-2019-12164.pdfhttps://regulations.justia.com/regulations/fedreg/2019/08/09/2019-17108.htmlNotice - Self-Regulatory Organizations; LCH SA; Notice of Filing of Proposed Rule Change Relating to Introduction of Clearing of the New Markit iTraxx Subordinated Financials Index CDS and the Related Single Name CDS Constituents and Enhancements to Wrong Way Risk Margin2019-08-09T00:00:00-07:002019-08-09T00:00:00-07:002019-17108Noticehttps://www.govinfo.gov/content/pkg/FR-2019-08-09/pdf/2019-17108.pdfhttps://regulations.justia.com/regulations/fedreg/2019/08/09/2019-17047.htmlNotice - Self-Regulatory Organizations; Municipal Securities Rulemaking Board; Notice of Filing of a Proposed Rule Change To Amend and Restate the MSRB's August 2, 2012 Interpretive Notice Concerning the Application of Rule G-17 to Underwriters of Municipal Securities2019-08-09T00:00:00-07:002019-08-09T00:00:00-07:002019-17047Noticehttps://www.govinfo.gov/content/pkg/FR-2019-08-09/pdf/2019-17047.pdfhttps://regulations.justia.com/regulations/fedreg/2019/08/09/2019-17046.htmlNotice - Self-Regulatory Organizations; Cboe EDGA Exchange, Inc.; Notice of Designation of Longer Period for Commission Action on a Proposed Rule Change To Introduce a Liquidity Provider Protection on EDGA2019-08-09T00:00:00-07:002019-08-09T00:00:00-07:002019-17046Noticehttps://www.govinfo.gov/content/pkg/FR-2019-08-09/pdf/2019-17046.pdfhttps://regulations.justia.com/regulations/fedreg/2019/08/08/2019-17120.htmlNotice - Sunshine Act Meetings2019-08-08T00:00:00-07:002019-08-08T00:00:00-07:002019-17120Noticehttps://www.govinfo.gov/content/pkg/FR-2019-08-08/pdf/2019-17120.pdfhttps://regulations.justia.com/regulations/fedreg/2019/08/08/2019-17103.htmlNotice - Sunshine Act Meetings2019-08-08T00:00:00-07:002019-08-08T00:00:00-07:002019-17103Noticehttps://www.govinfo.gov/content/pkg/FR-2019-08-08/pdf/2019-17103.pdfhttps://regulations.justia.com/regulations/fedreg/2019/08/08/2019-16943.htmlNotice - Self-Regulatory Organizations; Cboe BZX Exchange, Inc.; Notice of Designation of a Longer Period for Commission Action on a Proposed Rule Change To Adopt BZX Rule 14.11(k) To Permit the Listing and Trading of Managed Portfolio Shares2019-08-08T00:00:00-07:002019-08-08T00:00:00-07:002019-16943Noticehttps://www.govinfo.gov/content/pkg/FR-2019-08-08/pdf/2019-16943.pdfhttps://regulations.justia.com/regulations/fedreg/2019/08/08/2019-16942.htmlNotice - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing of a Proposed Rule Change To Amend FINRA Rule 5130 (Restrictions on the Purchase and Sale of Initial Equity Public Offerings) and FINRA Rule 5131 (New Issue Allocations and Distributions)2019-08-08T00:00:00-07:002019-08-08T00:00:00-07:002019-16942Noticehttps://www.govinfo.gov/content/pkg/FR-2019-08-08/pdf/2019-16942.pdfhttps://regulations.justia.com/regulations/fedreg/2019/08/08/2019-16941.htmlNotice - Self-Regulatory Organizations; Cboe BZX Exchange, Inc.; Notice of Designation of a Longer Period for Commission Action on 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)2019-08-08T00:00:00-07:002019-08-08T00:00:00-07:002019-16941Noticehttps://www.govinfo.gov/content/pkg/FR-2019-08-08/pdf/2019-16941.pdfhttps://regulations.justia.com/regulations/fedreg/2019/08/08/2019-16940.htmlNotice - Self-Regulatory Organizations; National Securities Clearing Corporation; Notice of Filing of a Proposed Rule Change To Amend Procedure VII With Respect to the Receipt of CNS Securities and Make Other Changes2019-08-08T00:00:00-07:002019-08-08T00:00:00-07:002019-16940Noticehttps://www.govinfo.gov/content/pkg/FR-2019-08-08/pdf/2019-16940.pdfhttps://regulations.justia.com/regulations/fedreg/2019/08/08/2019-16939.htmlNotice - Self-Regulatory Organizations; The Depository Trust Company; Notice of Filing of Proposed Rule Change To Amend the Settlement Guide To Implement a New Algorithm for Transactions Processed in the Night Cycle2019-08-08T00:00:00-07:002019-08-08T00:00:00-07:002019-16939Noticehttps://www.govinfo.gov/content/pkg/FR-2019-08-08/pdf/2019-16939.pdfhttps://regulations.justia.com/regulations/fedreg/2019/08/08/2019-16938.htmlNotice - Self-Regulatory Organizations; Fixed Income Clearing Corporation; Notice of Filing of Proposed Rule Change To Revise the MBSD VaR Floor2019-08-08T00:00:00-07:002019-08-08T00:00:00-07:002019-16938Noticehttps://www.govinfo.gov/content/pkg/FR-2019-08-08/pdf/2019-16938.pdfhttps://regulations.justia.com/regulations/fedreg/2019/08/07/2019-16901.htmlNotice - SEC Small Business Capital Formation Advisory Committee2019-08-07T00:00:00-07:002019-08-07T00:00:00-07:002019-16901Noticehttps://www.govinfo.gov/content/pkg/FR-2019-08-07/pdf/2019-16901.pdfhttps://regulations.justia.com/regulations/fedreg/2019/08/07/2019-16859.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 Services2019-08-07T00:00:00-07:002019-08-07T00:00:00-07:002019-16859Noticehttps://www.govinfo.gov/content/pkg/FR-2019-08-07/pdf/2019-16859.pdfhttps://regulations.justia.com/regulations/fedreg/2019/08/07/2019-16858.htmlNotice - Self-Regulatory Organizations; NYSE National, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the Exchange's Price List Related to Co-location Services2019-08-07T00:00:00-07:002019-08-07T00:00:00-07:002019-16858Noticehttps://www.govinfo.gov/content/pkg/FR-2019-08-07/pdf/2019-16858.pdfhttps://regulations.justia.com/regulations/fedreg/2019/08/07/2019-16857.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 Services2019-08-07T00:00:00-07:002019-08-07T00:00:00-07:002019-16857Noticehttps://www.govinfo.gov/content/pkg/FR-2019-08-07/pdf/2019-16857.pdfhttps://regulations.justia.com/regulations/fedreg/2019/08/07/2019-16856.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 Services2019-08-07T00:00:00-07:002019-08-07T00:00:00-07:002019-16856Noticehttps://www.govinfo.gov/content/pkg/FR-2019-08-07/pdf/2019-16856.pdfhttps://regulations.justia.com/regulations/fedreg/2019/08/07/2019-16855.htmlNotice - Self-Regulatory Organizations; Cboe BZX Exchange, Inc.; Notice of Filing of a Proposed Rule Change To List and Trade Shares of the iShares California Short Maturity Muni Bond ETF of the iShares U.S. ETF Trust Under Rule 14.11(i), Managed Fund Shares2019-08-07T00:00:00-07:002019-08-07T00:00:00-07:002019-16855Noticehttps://www.govinfo.gov/content/pkg/FR-2019-08-07/pdf/2019-16855.pdfhttps://regulations.justia.com/regulations/fedreg/2019/08/07/2019-16854.htmlNotice - Self-Regulatory Organizations; The Nasdaq Stock Market LLC; Notice of Designation of Longer Period for Commission Action on a Proposed Rule Change To Amend the Definition of Family Member in Listing Rule 5605(a)(2) for Purposes of the Definition of Independent Director2019-08-07T00:00:00-07:002019-08-07T00:00:00-07:002019-16854Noticehttps://www.govinfo.gov/content/pkg/FR-2019-08-07/pdf/2019-16854.pdfhttps://regulations.justia.com/regulations/fedreg/2019/08/07/2019-16853.htmlNotice - Self-Regulatory Organizations; ICE Clear Europe Limited; Notice of Filing of Partial Amendment No. 1 to Proposed Rule Change To Revise the ICE Clear Europe Treasury and Banking Services Policy, Liquidity Management Procedures, Investment Management Procedures and Unsecured Credit Limits Procedures2019-08-07T00:00:00-07:002019-08-07T00:00:00-07:002019-16853Noticehttps://www.govinfo.gov/content/pkg/FR-2019-08-07/pdf/2019-16853.pdfhttps://regulations.justia.com/regulations/fedreg/2019/08/07/2019-16819.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 Among Cboe BZX Exchange, Inc., Cboe BYX Exchange, Inc., NYSE Chicago, Inc., Cboe EDGA Exchange, Inc., Cboe EDGX Exchange, Inc., Financial Industry Regulatory Authority, Inc., Nasdaq BX, Inc., Nasdaq PHLX LLC, The Nasdaq Stock Market LLC, NYSE National, Inc., New York Stock Exchange LLC, NYSE American LLC, NYSE Arca, Inc., Investors Exchange LLC, and Long-Term Stock Exchange, Inc. Relating to the Surveillance, Investigation, and Enforcement of Insider Trading Rules2019-08-07T00:00:00-07:002019-08-07T00:00:00-07:002019-16819Noticehttps://www.govinfo.gov/content/pkg/FR-2019-08-07/pdf/2019-16819.pdfhttps://regulations.justia.com/regulations/fedreg/2019/08/06/2019-16860.htmlNotice - Sunshine Act Meetings2019-08-06T00:00:00-07:002019-08-06T00:00:00-07:002019-16860Noticehttps://www.govinfo.gov/content/pkg/FR-2019-08-06/pdf/2019-16860.pdfhttps://regulations.justia.com/regulations/fedreg/2019/08/06/2019-16850.htmlNotice - Sunshine Act Meetings2019-08-06T00:00:00-07:002019-08-06T00:00:00-07:002019-16850Noticehttps://www.govinfo.gov/content/pkg/FR-2019-08-06/pdf/2019-16850.pdfhttps://regulations.justia.com/regulations/fedreg/2019/08/06/2019-16722.htmlNotice - Self-Regulatory Organizations; The Nasdaq Stock Market LLC; Notice of Filing of Proposed Rule Change To Amend Rules 4120 and 47532019-08-06T00:00:00-07:002019-08-06T00:00:00-07:002019-16722Noticehttps://www.govinfo.gov/content/pkg/FR-2019-08-06/pdf/2019-16722.pdfhttps://regulations.justia.com/regulations/fedreg/2019/08/06/2019-16721.htmlNotice - Self-Regulatory Organizations; MIAX Emerald, LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Exchange Rule 518, Complex Orders2019-08-06T00:00:00-07:002019-08-06T00:00:00-07:002019-16721Noticehttps://www.govinfo.gov/content/pkg/FR-2019-08-06/pdf/2019-16721.pdfhttps://regulations.justia.com/regulations/fedreg/2019/08/06/2019-16720.htmlNotice - Self-Regulatory Organizations; Nasdaq MRX, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Options 2 (Options Market Participants) and Options 3 (Options Trading Rules) Relating to Certain Order Types2019-08-06T00:00:00-07:002019-08-06T00:00:00-07:002019-16720Noticehttps://www.govinfo.gov/content/pkg/FR-2019-08-06/pdf/2019-16720.pdfhttps://regulations.justia.com/regulations/fedreg/2019/08/06/2019-16719.htmlNotice - Self-Regulatory Organizations; Miami International Securities Exchange, LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Exchange Rule 520, Limitations on Orders2019-08-06T00:00:00-07:002019-08-06T00:00:00-07:002019-16719Noticehttps://www.govinfo.gov/content/pkg/FR-2019-08-06/pdf/2019-16719.pdfhttps://regulations.justia.com/regulations/fedreg/2019/08/06/2019-16718.htmlNotice - Self-Regulatory Organizations; MIAX Emerald, LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Exchange Rule 515, Execution of Orders and Quotes2019-08-06T00:00:00-07:002019-08-06T00:00:00-07:002019-16718Noticehttps://www.govinfo.gov/content/pkg/FR-2019-08-06/pdf/2019-16718.pdfhttps://regulations.justia.com/regulations/fedreg/2019/08/06/2019-16717.htmlNotice - Self-Regulatory Organizations; NYSE Arca, Inc.; Order Granting Approval of a Proposed Rule Change, as Modified by Amendment No. 1, To List and Trade the Shares of the ProShares UltraPro 3x Natural Gas ETF and ProShares UltraPro 3x Short Natural Gas ETF Under NYSE Arca Rule 8.200-E2019-08-06T00:00:00-07:002019-08-06T00:00:00-07:002019-16717Noticehttps://www.govinfo.gov/content/pkg/FR-2019-08-06/pdf/2019-16717.pdfhttps://regulations.justia.com/regulations/fedreg/2019/08/06/2019-16634.htmlRule - Revisions to Prohibitions and Restrictions on Proprietary Trading and Certain Interests in, and Relationships With, Hedge Funds and Private Equity Funds2019-08-06T00:00:00-07:002019-08-06T00:00:00-07:002019-16634Rulehttps://www.govinfo.gov/content/pkg/FR-2019-08-06/pdf/2019-16634.pdfhttps://regulations.justia.com/regulations/fedreg/2019/08/05/2019-16613.htmlNotice - Self-Regulatory Organizations; The Nasdaq Stock Market LLC; Notice of Designation of Longer Period for Commission Action on Proposed Rule Change, as Modified by Amendment No. 1, To Amend Rule 4702 To Establish the “Midpoint Extended Life Order + Continuous Book” as a New Order Type2019-08-05T00:00:00-07:002019-08-05T00:00:00-07:002019-16613Noticehttps://www.govinfo.gov/content/pkg/FR-2019-08-05/pdf/2019-16613.pdfhttps://regulations.justia.com/regulations/fedreg/2019/08/05/2019-16612.htmlNotice - Self-Regulatory Organizations; Cboe BZX Exchange, Inc.; Notice of Filing of a Proposed Rule Change To List and Trade Shares of the Innovator-100 Buffer ETF Series and Innovator Russell 2000 Buffer ETF Series, Innovator-100 Power Buffer ETF Series and Innovator Russell 2000 Power Buffer ETF Series, and Innovator-100 Ultra Buffer ETF Series and Innovator Russell 2000 Ultra Buffer ETF Series Under Rule 14.11(i)2019-08-05T00:00:00-07:002019-08-05T00:00:00-07:002019-16612Noticehttps://www.govinfo.gov/content/pkg/FR-2019-08-05/pdf/2019-16612.pdfhttps://regulations.justia.com/regulations/fedreg/2019/08/05/2019-16601.htmlNotice - Submission for OMB Review; Comment Request2019-08-05T00:00:00-07:002019-08-05T00:00:00-07:002019-16601Noticehttps://www.govinfo.gov/content/pkg/FR-2019-08-05/pdf/2019-16601.pdfhttps://regulations.justia.com/regulations/fedreg/2019/08/05/2019-16599.htmlNotice - Submission for OMB Review; Comment Request2019-08-05T00:00:00-07:002019-08-05T00:00:00-07:002019-16599Noticehttps://www.govinfo.gov/content/pkg/FR-2019-08-05/pdf/2019-16599.pdfhttps://regulations.justia.com/regulations/fedreg/2019/08/02/2019-16562.htmlNotice - Alaia Capital, LLC and m+ ETF Trust2019-08-02T00:00:00-07:002019-08-02T00:00:00-07:002019-16562Noticehttps://www.govinfo.gov/content/pkg/FR-2019-08-02/pdf/2019-16562.pdfhttps://regulations.justia.com/regulations/fedreg/2019/08/02/2019-16532.htmlNotice - Proposed Collection; Comment Request2019-08-02T00:00:00-07:002019-08-02T00:00:00-07:002019-16532Noticehttps://www.govinfo.gov/content/pkg/FR-2019-08-02/pdf/2019-16532.pdfhttps://regulations.justia.com/regulations/fedreg/2019/08/02/2019-16529.htmlNotice - Proposed Collection; Comment Request2019-08-02T00:00:00-07:002019-08-02T00:00:00-07:002019-16529Noticehttps://www.govinfo.gov/content/pkg/FR-2019-08-02/pdf/2019-16529.pdfhttps://regulations.justia.com/regulations/fedreg/2019/08/02/2019-16528.htmlNotice - Proposed Collection; Comment Request2019-08-02T00:00:00-07:002019-08-02T00:00:00-07:002019-16528Noticehttps://www.govinfo.gov/content/pkg/FR-2019-08-02/pdf/2019-16528.pdfhttps://regulations.justia.com/regulations/fedreg/2019/08/02/2019-16526.htmlNotice - Proposed Collection; Comment Request2019-08-02T00:00:00-07:002019-08-02T00:00:00-07:002019-16526Noticehttps://www.govinfo.gov/content/pkg/FR-2019-08-02/pdf/2019-16526.pdfhttps://regulations.justia.com/regulations/fedreg/2019/08/02/2019-16525.htmlNotice - Proposed Collection; Comment Request2019-08-02T00:00:00-07:002019-08-02T00:00:00-07:002019-16525Noticehttps://www.govinfo.gov/content/pkg/FR-2019-08-02/pdf/2019-16525.pdfhttps://regulations.justia.com/regulations/fedreg/2019/08/02/2019-16523.htmlNotice - Proposed Collection; Comment Request2019-08-02T00:00:00-07:002019-08-02T00:00:00-07:002019-16523Noticehttps://www.govinfo.gov/content/pkg/FR-2019-08-02/pdf/2019-16523.pdfhttps://regulations.justia.com/regulations/fedreg/2019/08/02/2019-16522.htmlNotice - Proposed Collection; Comment Request2019-08-02T00:00:00-07:002019-08-02T00:00:00-07:002019-16522Noticehttps://www.govinfo.gov/content/pkg/FR-2019-08-02/pdf/2019-16522.pdfhttps://regulations.justia.com/regulations/fedreg/2019/08/02/2019-16521.htmlNotice - Proposed Collection; Comment Request2019-08-02T00:00:00-07:002019-08-02T00:00:00-07:002019-16521Noticehttps://www.govinfo.gov/content/pkg/FR-2019-08-02/pdf/2019-16521.pdfhttps://regulations.justia.com/regulations/fedreg/2019/08/02/2019-16483.htmlNotice - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Order Instituting Proceedings To Determine Whether To Approve or Disapprove Proposed Rule Change To Amend FINRA Rule 5110 (Corporate Financing Rule-Underwriting Terms and Arrangements) To Make Substantive, Organizational and Terminology Changes2019-08-02T00:00:00-07:002019-08-02T00:00:00-07:002019-16483Noticehttps://www.govinfo.gov/content/pkg/FR-2019-08-02/pdf/2019-16483.pdfhttps://regulations.justia.com/regulations/fedreg/2019/08/02/2019-16482.htmlNotice - Self-Regulatory Organizations; The Nasdaq Stock Market LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend The Nasdaq Options Market LLC Pricing at Options 7, Section 3 Titled “Nasdaq Options Market-Ports and Other Services.”2019-08-02T00:00:00-07:002019-08-02T00:00:00-07:002019-16482Noticehttps://www.govinfo.gov/content/pkg/FR-2019-08-02/pdf/2019-16482.pdfhttps://regulations.justia.com/regulations/fedreg/2019/08/02/2019-16481.htmlNotice - Self-Regulatory Organizations; Nasdaq BX, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend BX Pricing at Options 7, Section 3 Titled BX Options Market-Ports and Other Services2019-08-02T00:00:00-07:002019-08-02T00:00:00-07:002019-16481Noticehttps://www.govinfo.gov/content/pkg/FR-2019-08-02/pdf/2019-16481.pdfhttps://regulations.justia.com/regulations/fedreg/2019/08/02/2019-16472.htmlNotice - Submission for OMB Review; Comment Request2019-08-02T00:00:00-07:002019-08-02T00:00:00-07:002019-16472Noticehttps://www.govinfo.gov/content/pkg/FR-2019-08-02/pdf/2019-16472.pdfhttps://regulations.justia.com/regulations/fedreg/2019/08/01/2019-16441.htmlNotice - ETF Opportunities Trust, et al.; Notice of Application2019-08-01T00:00:00-07:002019-08-01T00:00:00-07:002019-16441Noticehttps://www.govinfo.gov/content/pkg/FR-2019-08-01/pdf/2019-16441.pdfhttps://regulations.justia.com/regulations/fedreg/2019/08/01/2019-16365.htmlNotice - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Discontinue the NYSE Alerts Market Data Product Offering2019-08-01T00:00:00-07:002019-08-01T00:00:00-07:002019-16365Noticehttps://www.govinfo.gov/content/pkg/FR-2019-08-01/pdf/2019-16365.pdfhttps://regulations.justia.com/regulations/fedreg/2019/08/01/2019-16364.htmlNotice - Self-Regulatory Organizations; Cboe EDGX Exchange, 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 Adopt Rule 21.22 (Complex Automated Improvement Mechanism)2019-08-01T00:00:00-07:002019-08-01T00:00:00-07:002019-16364Noticehttps://www.govinfo.gov/content/pkg/FR-2019-08-01/pdf/2019-16364.pdf