Federal Register Recent Federal Regulation Documents - Justia Regulation Tracker

Federal Register Recent Federal Regulation Documents - Justia Regulation Tracker - Justia Regulations Tracker https://regulations.justia.com/regulations/fedreg/agencies/agencies-and-commissions/securities-and-exchange-commission/2019/09?limit=200&registers=between&min-day=1&max-day=30&mode=atom 2024-04-16T11:28:55-07:00 Justia Inc https://www.justia.com/ Justia Regulations Tracker https://regulations.justia.com/images/justiafedregulations.gif Copyright 2011 Justia Inc https://regulations.justia.com/regulations/fedreg/2019/09/30/2019-21309.html Notice - Sunshine Act Meetings 2019-09-30T00:00:00-07:00 2019-09-30T00:00:00-07:00 2019-21309 Notice https://www.govinfo.gov/content/pkg/FR-2019-09-30/pdf/2019-21309.pdf https://regulations.justia.com/regulations/fedreg/2019/09/30/2019-21105.html Notice - Self-Regulatory Organizations; NYSE Arca Inc.; Notice of Withdrawal of Proposed Rule Change To Amend the NYSE Arca Options Fee Schedule To Modify the Options Regulatory Fee 2019-09-30T00:00:00-07:00 2019-09-30T00:00:00-07:00 2019-21105 Notice https://www.govinfo.gov/content/pkg/FR-2019-09-30/pdf/2019-21105.pdf https://regulations.justia.com/regulations/fedreg/2019/09/30/2019-21104.html Notice - Self-Regulatory Organizations; NYSE American, LLC; Notice of Withdrawal of Proposed Rule Change To Amend the NYSE American Options Fee Schedule To Modify the Options Regulatory Fee 2019-09-30T00:00:00-07:00 2019-09-30T00:00:00-07:00 2019-21104 Notice https://www.govinfo.gov/content/pkg/FR-2019-09-30/pdf/2019-21104.pdf https://regulations.justia.com/regulations/fedreg/2019/09/30/2019-21103.html Notice - Self-Regulatory Organizations; Cboe Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Certain Clearing Editor Functionality in Rule 6.6 of the Shell Rulebook 2019-09-30T00:00:00-07:00 2019-09-30T00:00:00-07:00 2019-21103 Notice https://www.govinfo.gov/content/pkg/FR-2019-09-30/pdf/2019-21103.pdf https://regulations.justia.com/regulations/fedreg/2019/09/30/2019-21102.html Notice - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Extend the Pilot Period Related to FINRA Rule 6121.02 (Market-Wide Circuit Breakers in NMS Stocks) 2019-09-30T00:00:00-07:00 2019-09-30T00:00:00-07:00 2019-21102 Notice https://www.govinfo.gov/content/pkg/FR-2019-09-30/pdf/2019-21102.pdf https://regulations.justia.com/regulations/fedreg/2019/09/30/2019-21101.html Notice - Self-Regulatory Organizations; NYSE National, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Extend the Pilot Related to the Market-Wide Circuit Breaker in Rule 7.12 2019-09-30T00:00:00-07:00 2019-09-30T00:00:00-07:00 2019-21101 Notice https://www.govinfo.gov/content/pkg/FR-2019-09-30/pdf/2019-21101.pdf https://regulations.justia.com/regulations/fedreg/2019/09/30/2019-21100.html Notice - Self-Regulatory Organizations; Municipal Securities Rulemaking Board; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend MSRB Rule A-11, on Assessments for Municipal Advisor Professionals, To Increase the Annual Professional Fee Over a Two-Year Phase-In Period 2019-09-30T00:00:00-07:00 2019-09-30T00:00:00-07:00 2019-21100 Notice https://www.govinfo.gov/content/pkg/FR-2019-09-30/pdf/2019-21100.pdf https://regulations.justia.com/regulations/fedreg/2019/09/30/2019-21099.html Notice - Self-Regulatory Organizations; Nasdaq PHLX LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to the Pricing of a Technology Infrastructure Migration 2019-09-30T00:00:00-07:00 2019-09-30T00:00:00-07:00 2019-21099 Notice https://www.govinfo.gov/content/pkg/FR-2019-09-30/pdf/2019-21099.pdf https://regulations.justia.com/regulations/fedreg/2019/09/30/2019-21098.html Notice - Self-Regulatory Organizations; Cboe Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the AIM Automated Improvement Mechanism Upon the Migration of the Exchange's Trading Platform to the Same System Used by the Cboe Affiliated Exchanges 2019-09-30T00:00:00-07:00 2019-09-30T00:00:00-07:00 2019-21098 Notice https://www.govinfo.gov/content/pkg/FR-2019-09-30/pdf/2019-21098.pdf https://regulations.justia.com/regulations/fedreg/2019/09/30/2019-21097.html Notice - Self-Regulatory Organizations; NYSE Arca, Inc.; Order Instituting Proceedings To Determine Whether To Approve or Disapprove a Proposed Rule Change To Amend NYSE Arca Rule 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-E 2019-09-30T00:00:00-07:00 2019-09-30T00:00:00-07:00 2019-21097 Notice https://www.govinfo.gov/content/pkg/FR-2019-09-30/pdf/2019-21097.pdf https://regulations.justia.com/regulations/fedreg/2019/09/30/2019-21096.html Notice - Self-Regulatory Organizations; Cboe EDGA Exchange, Inc.; Order Instituting Proceedings To Determine Whether To Approve or Disapprove a Proposed Rule Change To Introduce a Liquidity Provider Protection Delay Mechanism on EDGA 2019-09-30T00:00:00-07:00 2019-09-30T00:00:00-07:00 2019-21096 Notice https://www.govinfo.gov/content/pkg/FR-2019-09-30/pdf/2019-21096.pdf https://regulations.justia.com/regulations/fedreg/2019/09/30/2019-21094.html Notice - Self-Regulatory Organizations; Cboe BZX Exchange, Inc.; Notice of Filing of a Proposed Rule Change Regarding Certain Changes to Investments of the Aptus Collared Income Opportunity ETF, a Series of ETF Series Solutions 2019-09-30T00:00:00-07:00 2019-09-30T00:00:00-07:00 2019-21094 Notice https://www.govinfo.gov/content/pkg/FR-2019-09-30/pdf/2019-21094.pdf https://regulations.justia.com/regulations/fedreg/2019/09/30/2019-21093.html Notice - Self-Regulatory Organizations; Nasdaq PHLX LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the Exchange's Pricing Schedule, at Equity 7, Section 3 2019-09-30T00:00:00-07:00 2019-09-30T00:00:00-07:00 2019-21093 Notice https://www.govinfo.gov/content/pkg/FR-2019-09-30/pdf/2019-21093.pdf https://regulations.justia.com/regulations/fedreg/2019/09/30/2019-21092.html Notice - Self-Regulatory Organizations; Nasdaq PHLX LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the Exchange's Pricing Schedule, at Equity 7, Section 3 2019-09-30T00:00:00-07:00 2019-09-30T00:00:00-07:00 2019-21092 Notice https://www.govinfo.gov/content/pkg/FR-2019-09-30/pdf/2019-21092.pdf https://regulations.justia.com/regulations/fedreg/2019/09/30/2019-21091.html Notice - Self-Regulatory Organizations; Cboe BZX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the Fees Applicable to Physical Connectivity 2019-09-30T00:00:00-07:00 2019-09-30T00:00:00-07:00 2019-21091 Notice https://www.govinfo.gov/content/pkg/FR-2019-09-30/pdf/2019-21091.pdf https://regulations.justia.com/regulations/fedreg/2019/09/30/2019-21086.html Notice - Submission for OMB Review; Comment Request 2019-09-30T00:00:00-07:00 2019-09-30T00:00:00-07:00 2019-21086 Notice https://www.govinfo.gov/content/pkg/FR-2019-09-30/pdf/2019-21086.pdf https://regulations.justia.com/regulations/fedreg/2019/09/30/2019-21085.html Notice - Submission for OMB Review; Comment Request 2019-09-30T00:00:00-07:00 2019-09-30T00:00:00-07:00 2019-21085 Notice https://www.govinfo.gov/content/pkg/FR-2019-09-30/pdf/2019-21085.pdf https://regulations.justia.com/regulations/fedreg/2019/09/30/2019-21084.html Notice - Submission for OMB Review; Comment Request 2019-09-30T00:00:00-07:00 2019-09-30T00:00:00-07:00 2019-21084 Notice https://www.govinfo.gov/content/pkg/FR-2019-09-30/pdf/2019-21084.pdf https://regulations.justia.com/regulations/fedreg/2019/09/30/2019-21083.html Notice - Submission for OMB Review; Comment Request 2019-09-30T00:00:00-07:00 2019-09-30T00:00:00-07:00 2019-21083 Notice https://www.govinfo.gov/content/pkg/FR-2019-09-30/pdf/2019-21083.pdf https://regulations.justia.com/regulations/fedreg/2019/09/30/2019-21082.html Notice - Proposed Collection; Comment Request 2019-09-30T00:00:00-07:00 2019-09-30T00:00:00-07:00 2019-21082 Notice https://www.govinfo.gov/content/pkg/FR-2019-09-30/pdf/2019-21082.pdf https://regulations.justia.com/regulations/fedreg/2019/09/30/2019-21081.html Notice - Submission for OMB Review; Comment Request 2019-09-30T00:00:00-07:00 2019-09-30T00:00:00-07:00 2019-21081 Notice https://www.govinfo.gov/content/pkg/FR-2019-09-30/pdf/2019-21081.pdf https://regulations.justia.com/regulations/fedreg/2019/09/30/2019-21080.html Notice - Submission for OMB Review; Comment Request 2019-09-30T00:00:00-07:00 2019-09-30T00:00:00-07:00 2019-21080 Notice https://www.govinfo.gov/content/pkg/FR-2019-09-30/pdf/2019-21080.pdf https://regulations.justia.com/regulations/fedreg/2019/09/30/2019-21079.html Notice - Submission for OMB Review; Comment Request 2019-09-30T00:00:00-07:00 2019-09-30T00:00:00-07:00 2019-21079 Notice https://www.govinfo.gov/content/pkg/FR-2019-09-30/pdf/2019-21079.pdf https://regulations.justia.com/regulations/fedreg/2019/09/30/2019-21078.html Notice - Submission for OMB Review; Comment Request 2019-09-30T00:00:00-07:00 2019-09-30T00:00:00-07:00 2019-21078 Notice https://www.govinfo.gov/content/pkg/FR-2019-09-30/pdf/2019-21078.pdf https://regulations.justia.com/regulations/fedreg/2019/09/27/2019-21095.html Notice - Sunshine Act Meeting; Cancellation 2019-09-27T00:00:00-07:00 2019-09-27T00:00:00-07:00 2019-21095 Notice https://www.govinfo.gov/content/pkg/FR-2019-09-27/pdf/2019-21095.pdf https://regulations.justia.com/regulations/fedreg/2019/09/27/2019-21030.html Notice - Core Alternative Capital, LLC, Listed Funds Trust, and Quasar Distributors, LLC 2019-09-27T00:00:00-07:00 2019-09-27T00:00:00-07:00 2019-21030 Notice https://www.govinfo.gov/content/pkg/FR-2019-09-27/pdf/2019-21030.pdf https://regulations.justia.com/regulations/fedreg/2019/09/27/2019-20974.html Notice - Self-Regulatory Organizations; Cboe EDGX Exchange, Inc.; Order Approving a Proposed Rule Change, as Modified by Amendment No. 1, To Adopt Rule 21.21 (Solicitation Auction Mechanism) 2019-09-27T00:00:00-07:00 2019-09-27T00:00:00-07:00 2019-20974 Notice https://www.govinfo.gov/content/pkg/FR-2019-09-27/pdf/2019-20974.pdf https://regulations.justia.com/regulations/fedreg/2019/09/27/2019-20971.html Notice - Self-Regulatory Organizations; Cboe BZX Exchange, Inc.; Order Instituting Proceedings To Determine Whether To Approve or Disapprove a Proposed Rule Change to List and Trade Shares of the American Century Focused Dynamic Growth ETF and American Century Focused Large Cap Value ETF Under Currently Proposed Rule 14.11(k) 2019-09-27T00:00:00-07:00 2019-09-27T00:00:00-07:00 2019-20971 Notice https://www.govinfo.gov/content/pkg/FR-2019-09-27/pdf/2019-20971.pdf https://regulations.justia.com/regulations/fedreg/2019/09/27/2019-20970.html Notice - Self-Regulatory Organizations; Cboe BZX Exchange, Inc.; Notice of Filing of Amendment No. 2 and Order Instituting Proceedings To Determine Whether To Approve or Disapprove a Proposed Rule Change To Adopt BZX Rule 14.11(k) To Permit the Listing and Trading of Managed Portfolio Shares 2019-09-27T00:00:00-07:00 2019-09-27T00:00:00-07:00 2019-20970 Notice https://www.govinfo.gov/content/pkg/FR-2019-09-27/pdf/2019-20970.pdf https://regulations.justia.com/regulations/fedreg/2019/09/27/2019-20969.html Notice - 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, a Proposed Rule Change To Amend Exchange Rule 104 To Specify Designated Market Maker Requirements for Exchange Traded Products Listed on the Exchange 2019-09-27T00:00:00-07:00 2019-09-27T00:00:00-07:00 2019-20969 Notice https://www.govinfo.gov/content/pkg/FR-2019-09-27/pdf/2019-20969.pdf https://regulations.justia.com/regulations/fedreg/2019/09/27/2019-20968.html Notice - 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 Relating to the Permitted Investments of the PGIM Ultra Short Bond ETF 2019-09-27T00:00:00-07:00 2019-09-27T00:00:00-07:00 2019-20968 Notice https://www.govinfo.gov/content/pkg/FR-2019-09-27/pdf/2019-20968.pdf https://regulations.justia.com/regulations/fedreg/2019/09/26/2019-20955.html Notice - CIM Real Assets & Credit Fund, et al. 2019-09-26T00:00:00-07:00 2019-09-26T00:00:00-07:00 2019-20955 Notice https://www.govinfo.gov/content/pkg/FR-2019-09-26/pdf/2019-20955.pdf https://regulations.justia.com/regulations/fedreg/2019/09/26/2019-20873.html Notice - Self-Regulatory Organizations; Miami International Securities Exchange LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Its Fee Schedule 2019-09-26T00:00:00-07:00 2019-09-26T00:00:00-07:00 2019-20873 Notice https://www.govinfo.gov/content/pkg/FR-2019-09-26/pdf/2019-20873.pdf https://regulations.justia.com/regulations/fedreg/2019/09/26/2019-20872.html Notice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to a Change in the Name and Benchmark Index for the SPDR Nuveen S&P High Yield Municipal Bond ETF 2019-09-26T00:00:00-07:00 2019-09-26T00:00:00-07:00 2019-20872 Notice https://www.govinfo.gov/content/pkg/FR-2019-09-26/pdf/2019-20872.pdf https://regulations.justia.com/regulations/fedreg/2019/09/26/2019-20369.html Rule - Technical Amendments To Update Cross-References to Commission's FOIA Regulations 2019-09-26T00:00:00-07:00 2019-09-26T00:00:00-07:00

2019-20369 Rule https://www.govinfo.gov/content/pkg/FR-2019-09-26/pdf/2019-20369.pdf https://regulations.justia.com/regulations/fedreg/2019/09/25/2019-20712.html Notice - Self-Regulatory Organizations; The Nasdaq Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the Order Routing Rule in NOM Chapter VI, Section 11 2019-09-25T00:00:00-07:00 2019-09-25T00:00:00-07:00 2019-20712 Notice https://www.govinfo.gov/content/pkg/FR-2019-09-25/pdf/2019-20712.pdf https://regulations.justia.com/regulations/fedreg/2019/09/25/2019-20711.html Notice - Self-Regulatory Organizations; Cboe Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule To Amend Its Rules Related to the Electronic Processing of Complex Orders and To Move Them to the Shell Rulebook That Will Become Effective Upon the Migration of the Exchange's Trading Platform to the Same System Used by the Cboe Affiliated Exchanges 2019-09-25T00:00:00-07:00 2019-09-25T00:00:00-07:00 2019-20711 Notice https://www.govinfo.gov/content/pkg/FR-2019-09-25/pdf/2019-20711.pdf https://regulations.justia.com/regulations/fedreg/2019/09/25/2019-20710.html Notice - Self-Regulatory Organizations; The Nasdaq Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Concerning the Operation of the Nasdaq Opening, Halt and Closing Crosses 2019-09-25T00:00:00-07:00 2019-09-25T00:00:00-07:00 2019-20710 Notice https://www.govinfo.gov/content/pkg/FR-2019-09-25/pdf/2019-20710.pdf https://regulations.justia.com/regulations/fedreg/2019/09/25/2019-20709.html Notice - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Extend the Pilot Related to the Market-Wide Circuit Breaker in Rules 80B and 7.12 2019-09-25T00:00:00-07:00 2019-09-25T00:00:00-07:00 2019-20709 Notice https://www.govinfo.gov/content/pkg/FR-2019-09-25/pdf/2019-20709.pdf https://regulations.justia.com/regulations/fedreg/2019/09/25/2019-20708.html Notice - Self-Regulatory Organizations; Cboe Exchange, Inc.; Notice of Filing of a Proposed Rule Change To Adopt Rule 6.49C 2019-09-25T00:00:00-07:00 2019-09-25T00:00:00-07:00 2019-20708 Notice https://www.govinfo.gov/content/pkg/FR-2019-09-25/pdf/2019-20708.pdf https://regulations.justia.com/regulations/fedreg/2019/09/25/2019-20707.html Notice - Self-Regulatory Organizations; Cboe Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Add a New Version of the Silexx Platform to Support FLEX Options Trading 2019-09-25T00:00:00-07:00 2019-09-25T00:00:00-07:00 2019-20707 Notice https://www.govinfo.gov/content/pkg/FR-2019-09-25/pdf/2019-20707.pdf https://regulations.justia.com/regulations/fedreg/2019/09/25/2019-20706.html Notice - 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 Network 2019-09-25T00:00:00-07:00 2019-09-25T00:00:00-07:00 2019-20706 Notice https://www.govinfo.gov/content/pkg/FR-2019-09-25/pdf/2019-20706.pdf https://regulations.justia.com/regulations/fedreg/2019/09/25/2019-20702.html Notice - Self-Regulatory Organizations; The Depository Trust Company; Notice of Filing of Partial Amendment No. 1 and Order Granting Accelerated Approval of a Proposed Rule Change, as Modified by Partial Amendment No. 1, To Amend the Settlement Guide To Implement a New Algorithm for Transactions Processed in the Night Cycle 2019-09-25T00:00:00-07:00 2019-09-25T00:00:00-07:00 2019-20702 Notice https://www.govinfo.gov/content/pkg/FR-2019-09-25/pdf/2019-20702.pdf https://regulations.justia.com/regulations/fedreg/2019/09/25/2019-20701.html Notice - Self-Regulatory Organizations; NYSE American LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Extend the Pilot Related to the Market-Wide Circuit Breaker in Rule 7.12E 2019-09-25T00:00:00-07:00 2019-09-25T00:00:00-07:00 2019-20701 Notice https://www.govinfo.gov/content/pkg/FR-2019-09-25/pdf/2019-20701.pdf https://regulations.justia.com/regulations/fedreg/2019/09/25/2019-20700.html Notice - Self-Regulatory Organizations: Investors Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Add a Corporate Discretionary Peg Order Type and Make Two Minor Non-Substantive Clarifying Changes to the Definition of a Discretionary Peg Order 2019-09-25T00:00:00-07:00 2019-09-25T00:00:00-07:00 2019-20700 Notice https://www.govinfo.gov/content/pkg/FR-2019-09-25/pdf/2019-20700.pdf https://regulations.justia.com/regulations/fedreg/2019/09/25/2019-20699.html Notice - Self-Regulatory Organizations; The Nasdaq Stock Market LLC; Notice of Designation of Longer Period for Commission Action on Proposed Rule Change To Amend Rules 4120 and 4753 2019-09-25T00:00:00-07:00 2019-09-25T00:00:00-07:00 2019-20699 Notice https://www.govinfo.gov/content/pkg/FR-2019-09-25/pdf/2019-20699.pdf https://regulations.justia.com/regulations/fedreg/2019/09/25/2019-20698.html Notice - Self-Regulatory Organizations; Cboe Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Certain Rules Relating To Market-Makers Upon Migration to the Trading System Used by Cboe Affiliated Exchanges 2019-09-25T00:00:00-07:00 2019-09-25T00:00:00-07:00 2019-20698 Notice https://www.govinfo.gov/content/pkg/FR-2019-09-25/pdf/2019-20698.pdf https://regulations.justia.com/regulations/fedreg/2019/09/25/2019-20697.html Notice - 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 iShares California Short Maturity Muni Bond ETF of the iShares U.S. ETF Trust Under Rule 14.11(i), Managed Fund Shares 2019-09-25T00:00:00-07:00 2019-09-25T00:00:00-07:00 2019-20697 Notice https://www.govinfo.gov/content/pkg/FR-2019-09-25/pdf/2019-20697.pdf https://regulations.justia.com/regulations/fedreg/2019/09/25/2019-20696.html Notice - Self-Regulatory Organizations; NYSE Chicago, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Extend the Pilot Related to the Market-Wide Circuit Breaker in Article 20, Rule 2 2019-09-25T00:00:00-07:00 2019-09-25T00:00:00-07:00 2019-20696 Notice https://www.govinfo.gov/content/pkg/FR-2019-09-25/pdf/2019-20696.pdf https://regulations.justia.com/regulations/fedreg/2019/09/25/2019-20695.html Notice - Self-Regulatory Organizations; National Securities Clearing Corporation; Notice of Filing of Partial Amendment No. 1 and Order Granting Accelerated Approval of a Proposed Rule Change, as Modified by Partial Amendment No. 1, To Amend Procedure VII with Respect to the Receipt of CNS Securities and Make Other Changes 2019-09-25T00:00:00-07:00 2019-09-25T00:00:00-07:00 2019-20695 Notice https://www.govinfo.gov/content/pkg/FR-2019-09-25/pdf/2019-20695.pdf https://regulations.justia.com/regulations/fedreg/2019/09/25/2019-20694.html Notice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Extend the Pilot Related to the Market-Wide Circuit Breaker in Rule 7.12-E 2019-09-25T00:00:00-07:00 2019-09-25T00:00:00-07:00 2019-20694 Notice https://www.govinfo.gov/content/pkg/FR-2019-09-25/pdf/2019-20694.pdf https://regulations.justia.com/regulations/fedreg/2019/09/25/2019-20679.html Notice - Self-Regulatory Organizations; Long-Term Stock Exchange, Inc.; Notice of Filing of Proposed Minor Rule Violation Plan 2019-09-25T00:00:00-07:00 2019-09-25T00:00:00-07:00 2019-20679 Notice https://www.govinfo.gov/content/pkg/FR-2019-09-25/pdf/2019-20679.pdf https://regulations.justia.com/regulations/fedreg/2019/09/24/2019-20750.html Notice - Sunshine Act Meetings 2019-09-24T00:00:00-07:00 2019-09-24T00:00:00-07:00 2019-20750 Notice https://www.govinfo.gov/content/pkg/FR-2019-09-24/pdf/2019-20750.pdf https://regulations.justia.com/regulations/fedreg/2019/09/24/2019-20574.html Notice - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Its Price List To Aggregate Rates and Requirements Across Tapes A, B and C Securities for Midpoint Passive Liquidity Orders 2019-09-24T00:00:00-07:00 2019-09-24T00:00:00-07:00 2019-20574 Notice https://www.govinfo.gov/content/pkg/FR-2019-09-24/pdf/2019-20574.pdf https://regulations.justia.com/regulations/fedreg/2019/09/23/2019-20609.html Notice - Sunshine Act Meetings 2019-09-23T00:00:00-07:00 2019-09-23T00:00:00-07:00 2019-20609 Notice https://www.govinfo.gov/content/pkg/FR-2019-09-23/pdf/2019-20609.pdf https://regulations.justia.com/regulations/fedreg/2019/09/23/2019-20480.html Notice - Self-Regulatory Organizations; Cboe BZX Exchange, Inc.; Notice of Designation of a Longer Period for Commission Action on a Proposed Rule Change, as Modified by Amendment No. 1, To List and Trade Shares of the Innovator-100 Buffer ETF Series, Innovator Russell 2000 Buffer ETF Series, Innovator-100 Power Buffer ETF Series, Innovator Russell 2000 Power Buffer ETF Series, Innovator-100 Ultra Buffer ETF Series, and Innovator Russell 2000 Ultra Buffer ETF Series 2019-09-23T00:00:00-07:00 2019-09-23T00:00:00-07:00 2019-20480 Notice https://www.govinfo.gov/content/pkg/FR-2019-09-23/pdf/2019-20480.pdf https://regulations.justia.com/regulations/fedreg/2019/09/23/2019-20477.html Notice - Self-Regulatory Organizations; Cboe Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the Exchange's Rules Regarding Cabinet Trading Upon the Migration of the Exchange's Trading Platform to the Same System Used by the Cboe Affiliated Exchanges 2019-09-23T00:00:00-07:00 2019-09-23T00:00:00-07:00 2019-20477 Notice https://www.govinfo.gov/content/pkg/FR-2019-09-23/pdf/2019-20477.pdf https://regulations.justia.com/regulations/fedreg/2019/09/23/2019-20475.html Notice - Self-Regulatory Organizations; Cboe BZX Exchange, Inc.; Notice of Withdrawal of a Proposed Rule Change To List and Trade Shares of SolidX Bitcoin Shares Issued by the VanEck SolidX Bitcoin Trust 2019-09-23T00:00:00-07:00 2019-09-23T00:00:00-07:00 2019-20475 Notice https://www.govinfo.gov/content/pkg/FR-2019-09-23/pdf/2019-20475.pdf https://regulations.justia.com/regulations/fedreg/2019/09/23/2019-20474.html Notice - Self-Regulatory Organizations; The Nasdaq Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Equity 7, Section 118(a) 2019-09-23T00:00:00-07:00 2019-09-23T00:00:00-07:00 2019-20474 Notice https://www.govinfo.gov/content/pkg/FR-2019-09-23/pdf/2019-20474.pdf https://regulations.justia.com/regulations/fedreg/2019/09/19/2019-20223.html Notice - Self-Regulatory Organizations; Nasdaq PHLX LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Specialists and Registered Options Traders 2019-09-19T00:00:00-07:00 2019-09-19T00:00:00-07:00 2019-20223 Notice https://www.govinfo.gov/content/pkg/FR-2019-09-19/pdf/2019-20223.pdf https://regulations.justia.com/regulations/fedreg/2019/09/19/2019-20222.html Notice - Self-Regulatory Organizations; NYSE American LLC; Notice of Filing and Immediate Effectiveness of Proposed Change Amending the NYSE American Options Fee Schedule by Revising the Options Regulatory Fee 2019-09-19T00:00:00-07:00 2019-09-19T00:00:00-07:00 2019-20222 Notice https://www.govinfo.gov/content/pkg/FR-2019-09-19/pdf/2019-20222.pdf https://regulations.justia.com/regulations/fedreg/2019/09/19/2019-20221.html Notice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the NYSE Arca Options Fee Schedule 2019-09-19T00:00:00-07:00 2019-09-19T00:00:00-07:00 2019-20221 Notice https://www.govinfo.gov/content/pkg/FR-2019-09-19/pdf/2019-20221.pdf https://regulations.justia.com/regulations/fedreg/2019/09/19/2019-20220.html Notice - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Order Instituting Proceedings To Determine Whether To Disapprove Proposed Rule Change To Amend the Definition of Family Member in Listing Rule 5605(a)(2) for Purposes of the Definition of Independent Director 2019-09-19T00:00:00-07:00 2019-09-19T00:00:00-07:00 2019-20220 Notice https://www.govinfo.gov/content/pkg/FR-2019-09-19/pdf/2019-20220.pdf https://regulations.justia.com/regulations/fedreg/2019/09/18/2019-20332.html Notice - Sunshine Act Meeting; Cancellation 2019-09-18T00:00:00-07:00 2019-09-18T00:00:00-07:00 2019-20332 Notice https://www.govinfo.gov/content/pkg/FR-2019-09-18/pdf/2019-20332.pdf https://regulations.justia.com/regulations/fedreg/2019/09/18/2019-20158.html Notice - New Mountain Finance Corporation, et al. 2019-09-18T00:00:00-07:00 2019-09-18T00:00:00-07:00 2019-20158 Notice https://www.govinfo.gov/content/pkg/FR-2019-09-18/pdf/2019-20158.pdf https://regulations.justia.com/regulations/fedreg/2019/09/18/2019-20157.html Notice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing of Proposed Rule Change Relating to the Listing and Trading of Shares of the Innovator MSCI EAFE Power Buffer ETFs and Innovator MSCI Emerging Markets Power Buffer ETFs, Series of the Innovator ETFs Trust, Under NYSE Arca Rule 8.600-E 2019-09-18T00:00:00-07:00 2019-09-18T00:00:00-07:00 2019-20157 Notice https://www.govinfo.gov/content/pkg/FR-2019-09-18/pdf/2019-20157.pdf https://regulations.justia.com/regulations/fedreg/2019/09/18/2019-20156.html Notice - Self-Regulatory Organizations; NYSE National, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Its Schedule of Fees 2019-09-18T00:00:00-07:00 2019-09-18T00:00:00-07:00 2019-20156 Notice https://www.govinfo.gov/content/pkg/FR-2019-09-18/pdf/2019-20156.pdf https://regulations.justia.com/regulations/fedreg/2019/09/18/2019-20154.html Notice - Self-Regulatory Organizations; Nasdaq ISE, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the Priority of Quotes and Orders Rule 2019-09-18T00:00:00-07:00 2019-09-18T00:00:00-07:00 2019-20154 Notice https://www.govinfo.gov/content/pkg/FR-2019-09-18/pdf/2019-20154.pdf https://regulations.justia.com/regulations/fedreg/2019/09/18/2019-20153.html Notice - 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 iShares Commodity Curve Carry Strategy ETF Under NYSE Arca Rule 8.600-E 2019-09-18T00:00:00-07:00 2019-09-18T00:00:00-07:00 2019-20153 Notice https://www.govinfo.gov/content/pkg/FR-2019-09-18/pdf/2019-20153.pdf https://regulations.justia.com/regulations/fedreg/2019/09/18/2019-20152.html Notice - Self-Regulatory Organizations; Nasdaq GEMX, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the Priority of Quotes and Orders Rule 2019-09-18T00:00:00-07:00 2019-09-18T00:00:00-07:00 2019-20152 Notice https://www.govinfo.gov/content/pkg/FR-2019-09-18/pdf/2019-20152.pdf https://regulations.justia.com/regulations/fedreg/2019/09/18/2019-20151.html Notice - Self-Regulatory Organizations; Nasdaq MRX, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the Priority of Quotes and Orders Rule 2019-09-18T00:00:00-07:00 2019-09-18T00:00:00-07:00 2019-20151 Notice https://www.govinfo.gov/content/pkg/FR-2019-09-18/pdf/2019-20151.pdf https://regulations.justia.com/regulations/fedreg/2019/09/18/2019-20150.html Notice - Self-Regulatory Organizations; The Nasdaq Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Extend the Pilot Related to the Market-Wide Circuit Breaker in Rule 4121 2019-09-18T00:00:00-07:00 2019-09-18T00:00:00-07:00 2019-20150 Notice https://www.govinfo.gov/content/pkg/FR-2019-09-18/pdf/2019-20150.pdf https://regulations.justia.com/regulations/fedreg/2019/09/18/2019-20149.html Notice - Self-Regulatory Organizations; Cboe BZX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the Fees Applicable to Securities Listed on the Exchange, as Set Forth in BZX Rule 14.13, Company Listing Fees 2019-09-18T00:00:00-07:00 2019-09-18T00:00:00-07:00 2019-20149 Notice https://www.govinfo.gov/content/pkg/FR-2019-09-18/pdf/2019-20149.pdf https://regulations.justia.com/regulations/fedreg/2019/09/17/2019-20018.html Notice - Self-Regulatory Organizations; The Nasdaq Stock Market LLC; Notice of Filing of Amendment Nos. 2 and 3 and Order Granting Accelerated Approval of a Proposed Rule Change, as Modified by Amendment Nos. 2 and 3, To Establish the “Midpoint Extended Life Order + Continuous Book” as a New Order Type 2019-09-17T00:00:00-07:00 2019-09-17T00:00:00-07:00 2019-20018 Notice https://www.govinfo.gov/content/pkg/FR-2019-09-17/pdf/2019-20018.pdf https://regulations.justia.com/regulations/fedreg/2019/09/17/2019-20017.html Notice - Self-Regulatory Organizations; ICE Clear Europe Limited; Notice of Filing and Immediate Effectiveness of Proposed Rule Change, as Modified by Partial Amendments No. 1 and No. 2, To Adopt Revised Clearing Fees 2019-09-17T00:00:00-07:00 2019-09-17T00:00:00-07:00 2019-20017 Notice https://www.govinfo.gov/content/pkg/FR-2019-09-17/pdf/2019-20017.pdf https://regulations.justia.com/regulations/fedreg/2019/09/17/2019-20016.html Notice - Self-Regulatory Organizations; Cboe EDGX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating To Amend Its Fee Schedule 2019-09-17T00:00:00-07:00 2019-09-17T00:00:00-07:00 2019-20016 Notice https://www.govinfo.gov/content/pkg/FR-2019-09-17/pdf/2019-20016.pdf https://regulations.justia.com/regulations/fedreg/2019/09/17/2019-20014.html Notice - Self-Regulatory Organizations; Cboe EDGX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating To Adopt Fees for a New Data Product on Its Equity Options Platform (“EDGX Options”) To Be Known as Open-Close Data 2019-09-17T00:00:00-07:00 2019-09-17T00:00:00-07:00 2019-20014 Notice https://www.govinfo.gov/content/pkg/FR-2019-09-17/pdf/2019-20014.pdf https://regulations.justia.com/regulations/fedreg/2019/09/17/2019-20013.html Notice - Self-Regulatory Organizations; Cboe C2 Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating To Adopt Fees for a New Data Product To Be Known as Open-Close Data 2019-09-17T00:00:00-07:00 2019-09-17T00:00:00-07:00 2019-20013 Notice https://www.govinfo.gov/content/pkg/FR-2019-09-17/pdf/2019-20013.pdf https://regulations.justia.com/regulations/fedreg/2019/09/17/2019-20012.html Notice - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Modify Quoting Thresholds Applicable in Relation to an Issue Experienced by the Consolidated Tape Association on August 12, 2019 2019-09-17T00:00:00-07:00 2019-09-17T00:00:00-07:00 2019-20012 Notice https://www.govinfo.gov/content/pkg/FR-2019-09-17/pdf/2019-20012.pdf https://regulations.justia.com/regulations/fedreg/2019/09/17/2019-20011.html Notice - Self-Regulatory Organizations; Fixed Income Clearing Corporation; Order Approving a Proposed Rule Change To Revise the MBSD VaR Floor 2019-09-17T00:00:00-07:00 2019-09-17T00:00:00-07:00 2019-20011 Notice https://www.govinfo.gov/content/pkg/FR-2019-09-17/pdf/2019-20011.pdf https://regulations.justia.com/regulations/fedreg/2019/09/17/2019-20010.html Notice - Self-Regulatory Organizations; Cboe BZX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating To Adopt Fees for a New Data Product on its Equity Options Platform (“BZX Options”) To Be Known as Open-Close Data 2019-09-17T00:00:00-07:00 2019-09-17T00:00:00-07:00 2019-20010 Notice https://www.govinfo.gov/content/pkg/FR-2019-09-17/pdf/2019-20010.pdf https://regulations.justia.com/regulations/fedreg/2019/09/16/C1-2019-18999.html Notice - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Its Price List To Revise the Remove and Adding Liquidity Tiers for Tape B and C Securities 2019-09-16T00:00:00-07:00 2019-09-16T00:00:00-07:00 C1-2019-18999 Notice https://www.govinfo.gov/content/pkg/FR-2019-09-16/pdf/C1-2019-18999.pdf https://regulations.justia.com/regulations/fedreg/2019/09/16/2019-20092.html Notice - Sunshine Act Meetings 2019-09-16T00:00:00-07:00 2019-09-16T00:00:00-07:00 2019-20092 Notice https://www.govinfo.gov/content/pkg/FR-2019-09-16/pdf/2019-20092.pdf https://regulations.justia.com/regulations/fedreg/2019/09/16/2019-20040.html Notice - Sunshine Act Meetings 2019-09-16T00:00:00-07:00 2019-09-16T00:00:00-07:00 2019-20040 Notice https://www.govinfo.gov/content/pkg/FR-2019-09-16/pdf/2019-20040.pdf https://regulations.justia.com/regulations/fedreg/2019/09/16/2019-20038.html Notice - Sunshine Act Meetings 2019-09-16T00:00:00-07:00 2019-09-16T00:00:00-07:00 2019-20038 Notice https://www.govinfo.gov/content/pkg/FR-2019-09-16/pdf/2019-20038.pdf https://regulations.justia.com/regulations/fedreg/2019/09/16/2019-19979.html Notice - Investment Company Act Release No. 33622; File No. 812-15031 ETFis Series Trust I, et al.; Notice of Application 2019-09-16T00:00:00-07:00 2019-09-16T00:00:00-07:00 2019-19979 Notice https://www.govinfo.gov/content/pkg/FR-2019-09-16/pdf/2019-19979.pdf https://regulations.justia.com/regulations/fedreg/2019/09/16/2019-19976.html Notice - Submission for OMB Review; Comment Request 2019-09-16T00:00:00-07:00 2019-09-16T00:00:00-07:00 2019-19976 Notice https://www.govinfo.gov/content/pkg/FR-2019-09-16/pdf/2019-19976.pdf https://regulations.justia.com/regulations/fedreg/2019/09/16/2019-19975.html Notice - Proposed Collection; Comment Request 2019-09-16T00:00:00-07:00 2019-09-16T00:00:00-07:00 2019-19975 Notice https://www.govinfo.gov/content/pkg/FR-2019-09-16/pdf/2019-19975.pdf https://regulations.justia.com/regulations/fedreg/2019/09/16/2019-19974.html Notice - Proposed Collection; Comment Request 2019-09-16T00:00:00-07:00 2019-09-16T00:00:00-07:00 2019-19974 Notice https://www.govinfo.gov/content/pkg/FR-2019-09-16/pdf/2019-19974.pdf https://regulations.justia.com/regulations/fedreg/2019/09/16/2019-19973.html Notice - Submission for OMB Review; Comment Request 2019-09-16T00:00:00-07:00 2019-09-16T00:00:00-07:00 2019-19973 Notice https://www.govinfo.gov/content/pkg/FR-2019-09-16/pdf/2019-19973.pdf https://regulations.justia.com/regulations/fedreg/2019/09/16/2019-19971.html Notice - Proposed Collection; Comment Request 2019-09-16T00:00:00-07:00 2019-09-16T00:00:00-07:00 2019-19971 Notice https://www.govinfo.gov/content/pkg/FR-2019-09-16/pdf/2019-19971.pdf https://regulations.justia.com/regulations/fedreg/2019/09/16/2019-19905.html Notice - Self-Regulatory Organizations; NYSE American LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the NYSE American Options Fee Schedule 2019-09-16T00:00:00-07:00 2019-09-16T00:00:00-07:00 2019-19905 Notice https://www.govinfo.gov/content/pkg/FR-2019-09-16/pdf/2019-19905.pdf https://regulations.justia.com/regulations/fedreg/2019/09/16/2019-19904.html Notice - Self-Regulatory Organizations; Cboe Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to the Cboe Trade Match System 2019-09-16T00:00:00-07:00 2019-09-16T00:00:00-07:00 2019-19904 Notice https://www.govinfo.gov/content/pkg/FR-2019-09-16/pdf/2019-19904.pdf https://regulations.justia.com/regulations/fedreg/2019/09/16/2019-19903.html Notice - Self-Regulatory Organizations; The Nasdaq Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To List and Trade the Common Shares of Beneficial Interest of Invesco BulletShares ETFs 2019-09-16T00:00:00-07:00 2019-09-16T00:00:00-07:00 2019-19903 Notice https://www.govinfo.gov/content/pkg/FR-2019-09-16/pdf/2019-19903.pdf https://regulations.justia.com/regulations/fedreg/2019/09/16/2019-19902.html Notice - Self-Regulatory Organizations; Cboe Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Regarding Price Protections and Risk Controls 2019-09-16T00:00:00-07:00 2019-09-16T00:00:00-07:00 2019-19902 Notice https://www.govinfo.gov/content/pkg/FR-2019-09-16/pdf/2019-19902.pdf https://regulations.justia.com/regulations/fedreg/2019/09/16/2019-19901.html Notice - Self-Regulatory Organizations; Cboe Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Its Rules Regarding How Complex Orders Are Processed Through the Automated Improvement Mechanism and To Move Those Rules From the Currently Effective Rulebook to the Shell Structure for the Exchange's Rulebook That Will Become Effective Upon the Migration of the Exchange's Trading Platform to the Same System Used by the Cboe Affiliated Exchanges 2019-09-16T00:00:00-07:00 2019-09-16T00:00:00-07:00 2019-19901 Notice https://www.govinfo.gov/content/pkg/FR-2019-09-16/pdf/2019-19901.pdf https://regulations.justia.com/regulations/fedreg/2019/09/16/2019-19900.html Notice - Self-Regulatory Organizations; Cboe Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Rule 4.10(b) Regarding the Notice Requirement in Connection With Trading Permit Holders That Clear Market-Maker Trades 2019-09-16T00:00:00-07:00 2019-09-16T00:00:00-07:00 2019-19900 Notice https://www.govinfo.gov/content/pkg/FR-2019-09-16/pdf/2019-19900.pdf https://regulations.justia.com/regulations/fedreg/2019/09/13/2019-19852.html Notice - Proposed Amendments to the National Market System Plan Governing the Consolidated Audit Trail 2019-09-13T00:00:00-07:00 2019-09-13T00:00:00-07:00

2019-19852 Notice https://www.govinfo.gov/content/pkg/FR-2019-09-13/pdf/2019-19852.pdf https://regulations.justia.com/regulations/fedreg/2019/09/12/2019-19716.html Notice - Order Granting Application by Nasdaq BX, Inc. 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 the Nasdaq Rule 1000 Series Incorporated by Reference 2019-09-12T00:00:00-07:00 2019-09-12T00:00:00-07:00 2019-19716 Notice https://www.govinfo.gov/content/pkg/FR-2019-09-12/pdf/2019-19716.pdf https://regulations.justia.com/regulations/fedreg/2019/09/12/2019-19706.html Notice - Self-Regulatory Organizations; Cboe Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to the Dissemination of End-of-Day Indicative Values Via the Options Price Reporting Authority 2019-09-12T00:00:00-07:00 2019-09-12T00:00:00-07:00 2019-19706 Notice https://www.govinfo.gov/content/pkg/FR-2019-09-12/pdf/2019-19706.pdf https://regulations.justia.com/regulations/fedreg/2019/09/12/2019-19704.html Notice - Self-Regulatory Organizations; The Depository Trust Company; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the DTC Deposits Service Guide Relating to Procedures for the Deposit of Nontransferable Securities 2019-09-12T00:00:00-07:00 2019-09-12T00:00:00-07:00 2019-19704 Notice https://www.govinfo.gov/content/pkg/FR-2019-09-12/pdf/2019-19704.pdf https://regulations.justia.com/regulations/fedreg/2019/09/12/2019-19703.html Notice - Self-Regulatory Organizations; ICE Clear Europe Limited; Notice of Filing of Partial Amendment No. 2 and Order Granting Accelerated Approval of Proposed Rule Change, as Modified by Partial Amendment No. 1 and Partial Amendment No. 2, To Revise the ICE Clear Europe Treasury and Banking Services Policy, Liquidity Management Procedures, Investment Management Procedures and Unsecured Credit Limits Procedures 2019-09-12T00:00:00-07:00 2019-09-12T00:00:00-07:00 2019-19703 Notice https://www.govinfo.gov/content/pkg/FR-2019-09-12/pdf/2019-19703.pdf https://regulations.justia.com/regulations/fedreg/2019/09/11/2019-19809.html Notice - Sunshine Act Meetings 2019-09-11T00:00:00-07:00 2019-09-11T00:00:00-07:00 2019-19809 Notice https://www.govinfo.gov/content/pkg/FR-2019-09-11/pdf/2019-19809.pdf https://regulations.justia.com/regulations/fedreg/2019/09/11/2019-19612.html Notice - Self-Regulatory Organizations; Cboe Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to the Removal of a Number of Outdated Fees and References in the Cboe Options Fees Schedule 2019-09-11T00:00:00-07:00 2019-09-11T00:00:00-07:00 2019-19612 Notice https://www.govinfo.gov/content/pkg/FR-2019-09-11/pdf/2019-19612.pdf https://regulations.justia.com/regulations/fedreg/2019/09/11/2019-19611.html Notice - Self-Regulatory Organizations; Cboe Exchange, Inc.; Notice of Filing of Amendment Nos. 1, 2, and 3 and Order Granting Accelerated Approval of a Proposed Rule Change, as Modified by Amendment Nos. 1, 2, and 3, To Amend the Exchange's Opening Process, Including on VIX Settlement Days 2019-09-11T00:00:00-07:00 2019-09-11T00:00:00-07:00 2019-19611 Notice https://www.govinfo.gov/content/pkg/FR-2019-09-11/pdf/2019-19611.pdf https://regulations.justia.com/regulations/fedreg/2019/09/11/2019-19610.html Notice - Self-Regulatory Organizations; Cboe Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Exchange Rules Regarding Routing Services, Including the Hybrid Agency Liaison System, and Move Those Rules From the Currently Effective Rulebook to the Shell Rulebook To Be Effective Upon Migration 2019-09-11T00:00:00-07:00 2019-09-11T00:00:00-07:00 2019-19610 Notice https://www.govinfo.gov/content/pkg/FR-2019-09-11/pdf/2019-19610.pdf https://regulations.justia.com/regulations/fedreg/2019/09/11/2019-19609.html Notice - Self-Regulatory Organizations; The Nasdaq Stock Market LLC; Notice of Designation of Longer Period for Commission Action on a Proposed Rule Change To Amend Rule 4121 2019-09-11T00:00:00-07:00 2019-09-11T00:00:00-07:00 2019-19609 Notice https://www.govinfo.gov/content/pkg/FR-2019-09-11/pdf/2019-19609.pdf https://regulations.justia.com/regulations/fedreg/2019/09/11/2019-19608.html Notice - Self-Regulatory Organizations; The Options Clearing Corporation; Notice of Filing of Advance Notice Concerning a Proposed Capital Management Policy That Would Support the Options Clearing Corporation's Function as a Systemically Important Financial Market Utility 2019-09-11T00:00:00-07:00 2019-09-11T00:00:00-07:00 2019-19608 Notice https://www.govinfo.gov/content/pkg/FR-2019-09-11/pdf/2019-19608.pdf https://regulations.justia.com/regulations/fedreg/2019/09/10/2019-19617.html Notice - Sunshine Act Meetings 2019-09-10T00:00:00-07:00 2019-09-10T00:00:00-07:00 2019-19617 Notice https://www.govinfo.gov/content/pkg/FR-2019-09-10/pdf/2019-19617.pdf https://regulations.justia.com/regulations/fedreg/2019/09/10/2019-19538.html Notice - Self-Regulatory Organizations; Fixed Income Clearing Corporation; Notice of Filing of Advance Notice 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 Changes 2019-09-10T00:00:00-07:00 2019-09-10T00:00:00-07:00 2019-19538 Notice https://www.govinfo.gov/content/pkg/FR-2019-09-10/pdf/2019-19538.pdf https://regulations.justia.com/regulations/fedreg/2019/09/10/2019-19469.html Notice - Order Granting Application by The Financial Information Forum and Security Traders Association for an Exemption Pursuant to Rule 606(c) of Regulation NMS Under the Exchange Act From Certain Requirements of Rule 606 of Regulation NMS Under the Exchange Act 2019-09-10T00:00:00-07:00 2019-09-10T00:00:00-07:00 2019-19469 Notice https://www.govinfo.gov/content/pkg/FR-2019-09-10/pdf/2019-19469.pdf https://regulations.justia.com/regulations/fedreg/2019/09/10/2019-19468.html Notice - Diamond Hill Funds and Diamond Hill Capital Management, Inc. 2019-09-10T00:00:00-07:00 2019-09-10T00:00:00-07:00 2019-19468 Notice https://www.govinfo.gov/content/pkg/FR-2019-09-10/pdf/2019-19468.pdf https://regulations.justia.com/regulations/fedreg/2019/09/10/2019-19466.html Notice - Self-Regulatory Organizations; MIAX Emerald, LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Exchange Rule 519, MIAX Emerald Order Monitor 2019-09-10T00:00:00-07:00 2019-09-10T00:00:00-07:00 2019-19466 Notice https://www.govinfo.gov/content/pkg/FR-2019-09-10/pdf/2019-19466.pdf https://regulations.justia.com/regulations/fedreg/2019/09/10/2019-19465.html Notice - 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); Correction 2019-09-10T00:00:00-07:00 2019-09-10T00:00:00-07:00

2019-19465 Notice https://www.govinfo.gov/content/pkg/FR-2019-09-10/pdf/2019-19465.pdf https://regulations.justia.com/regulations/fedreg/2019/09/10/2019-19464.html Notice - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing of Proposed Rule Change To Amend the Exchange's Price List Related to Co-Location Services 2019-09-10T00:00:00-07:00 2019-09-10T00:00:00-07:00 2019-19464 Notice https://www.govinfo.gov/content/pkg/FR-2019-09-10/pdf/2019-19464.pdf https://regulations.justia.com/regulations/fedreg/2019/09/10/2019-19463.html Notice - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Rule 103B 2019-09-10T00:00:00-07:00 2019-09-10T00:00:00-07:00 2019-19463 Notice https://www.govinfo.gov/content/pkg/FR-2019-09-10/pdf/2019-19463.pdf https://regulations.justia.com/regulations/fedreg/2019/09/10/2019-19462.html Notice - Self-Regulatory Organizations; NYSE American LLC; Notice of Filing of Proposed Rule Change To Amend Its NYSE American Equities Price List and the NYSE American Options Fee Schedule Related to Co-Location Services 2019-09-10T00:00:00-07:00 2019-09-10T00:00:00-07:00 2019-19462 Notice https://www.govinfo.gov/content/pkg/FR-2019-09-10/pdf/2019-19462.pdf https://regulations.justia.com/regulations/fedreg/2019/09/10/2019-19461.html Notice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing 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 Services 2019-09-10T00:00:00-07:00 2019-09-10T00:00:00-07:00 2019-19461 Notice https://www.govinfo.gov/content/pkg/FR-2019-09-10/pdf/2019-19461.pdf https://regulations.justia.com/regulations/fedreg/2019/09/10/2019-19460.html Notice - Self-Regulatory Organizations; NYSE National, Inc.; Notice of Filing of Proposed Rule Change To Amend the Exchange's Price List Related to Co-Location Services 2019-09-10T00:00:00-07:00 2019-09-10T00:00:00-07:00 2019-19460 Notice https://www.govinfo.gov/content/pkg/FR-2019-09-10/pdf/2019-19460.pdf https://regulations.justia.com/regulations/fedreg/2019/09/10/2019-19459.html Notice - Self-Regulatory Organizations; Cboe Exchange, Inc.; Notice of Designation of Longer Period for Commission Action on a Proposed Rule Change To Amend Rule 6.49A Concerning Off-Floor Position Transfers 2019-09-10T00:00:00-07:00 2019-09-10T00:00:00-07:00 2019-19459 Notice https://www.govinfo.gov/content/pkg/FR-2019-09-10/pdf/2019-19459.pdf https://regulations.justia.com/regulations/fedreg/2019/09/10/2019-19458.html Notice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing of Proposed Rule Change To Make Permanent Rule 7.44-E 2019-09-10T00:00:00-07:00 2019-09-10T00:00:00-07:00 2019-19458 Notice https://www.govinfo.gov/content/pkg/FR-2019-09-10/pdf/2019-19458.pdf https://regulations.justia.com/regulations/fedreg/2019/09/10/2019-18355.html Rule - Commission Interpretation and Guidance Regarding the Applicability of the Proxy Rules to Proxy Voting Advice 2019-09-10T00:00:00-07:00 2019-09-10T00:00:00-07:00

2019-18355 Rule https://www.govinfo.gov/content/pkg/FR-2019-09-10/pdf/2019-18355.pdf https://regulations.justia.com/regulations/fedreg/2019/09/10/2019-18342.html Rule - Commission Guidance Regarding Proxy Voting Responsibilities of Investment Advisers 2019-09-10T00:00:00-07:00 2019-09-10T00:00:00-07:00

2019-18342 Rule https://www.govinfo.gov/content/pkg/FR-2019-09-10/pdf/2019-18342.pdf https://regulations.justia.com/regulations/fedreg/2019/09/09/2019-19374.html Notice - Proposed Collection; Comment Request 2019-09-09T00:00:00-07:00 2019-09-09T00:00:00-07:00 2019-19374 Notice https://www.govinfo.gov/content/pkg/FR-2019-09-09/pdf/2019-19374.pdf https://regulations.justia.com/regulations/fedreg/2019/09/09/2019-19335.html Notice - Self-Regulatory Organizations; LCH SA; Notice of Filing of Proposed Rule Change Relating to Extension of Weekly Backloading Cycle to Index Swaptions 2019-09-09T00:00:00-07:00 2019-09-09T00:00:00-07:00 2019-19335 Notice https://www.govinfo.gov/content/pkg/FR-2019-09-09/pdf/2019-19335.pdf https://regulations.justia.com/regulations/fedreg/2019/09/09/2019-19334.html Notice - Self-Regulatory Organizations; The Nasdaq Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Clarify Rule 4120(c)(9) 2019-09-09T00:00:00-07:00 2019-09-09T00:00:00-07:00 2019-19334 Notice https://www.govinfo.gov/content/pkg/FR-2019-09-09/pdf/2019-19334.pdf https://regulations.justia.com/regulations/fedreg/2019/09/09/2019-19333.html Notice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Designation of a Longer Period for Commission Action on a 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-E 2019-09-09T00:00:00-07:00 2019-09-09T00:00:00-07:00 2019-19333 Notice https://www.govinfo.gov/content/pkg/FR-2019-09-09/pdf/2019-19333.pdf https://regulations.justia.com/regulations/fedreg/2019/09/09/2019-19332.html Notice - Self-Regulatory Organizations; Investors Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Modify Its Fee Schedule To Establish Fees for the Execution of Retail and Retail Liquidity Provider Orders and To Eliminate Fee Code N From the Fee Schedule 2019-09-09T00:00:00-07:00 2019-09-09T00:00:00-07:00 2019-19332 Notice https://www.govinfo.gov/content/pkg/FR-2019-09-09/pdf/2019-19332.pdf https://regulations.justia.com/regulations/fedreg/2019/09/06/2019-19241.html Notice - Proposed Collection; Comment Request 2019-09-06T00:00:00-07:00 2019-09-06T00:00:00-07:00 2019-19241 Notice https://www.govinfo.gov/content/pkg/FR-2019-09-06/pdf/2019-19241.pdf https://regulations.justia.com/regulations/fedreg/2019/09/06/2019-19240.html Notice - Proposed Collection; Comment Request 2019-09-06T00:00:00-07:00 2019-09-06T00:00:00-07:00 2019-19240 Notice https://www.govinfo.gov/content/pkg/FR-2019-09-06/pdf/2019-19240.pdf https://regulations.justia.com/regulations/fedreg/2019/09/06/2019-19239.html Notice - Submission for OMB Review; Comment Request 2019-09-06T00:00:00-07:00 2019-09-06T00:00:00-07:00 2019-19239 Notice https://www.govinfo.gov/content/pkg/FR-2019-09-06/pdf/2019-19239.pdf https://regulations.justia.com/regulations/fedreg/2019/09/06/2019-19238.html Notice - Proposed Collection; Comment Request 2019-09-06T00:00:00-07:00 2019-09-06T00:00:00-07:00 2019-19238 Notice https://www.govinfo.gov/content/pkg/FR-2019-09-06/pdf/2019-19238.pdf https://regulations.justia.com/regulations/fedreg/2019/09/06/2019-19237.html Notice - Submission for OMB Review; Comment Request 2019-09-06T00:00:00-07:00 2019-09-06T00:00:00-07:00 2019-19237 Notice https://www.govinfo.gov/content/pkg/FR-2019-09-06/pdf/2019-19237.pdf https://regulations.justia.com/regulations/fedreg/2019/09/06/2019-19224.html Notice - Self-Regulatory Organizations; The Nasdaq Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Modify the Manner in Which It Calculates Volume, Liquidity and Quoting Thresholds Applicable To Billing on the Exchange in Relation to a Systems Issue Experienced by SIAC on August 12, 2019 2019-09-06T00:00:00-07:00 2019-09-06T00:00:00-07:00 2019-19224 Notice https://www.govinfo.gov/content/pkg/FR-2019-09-06/pdf/2019-19224.pdf https://regulations.justia.com/regulations/fedreg/2019/09/06/2019-19223.html Notice - Self-Regulatory Organizations; BOX Exchange LLC; Notice of Withdrawal of Proposed Rule Change To Amend the Fee Schedule on the BOX Options Market LLC Facility To Establish BOX Connectivity Fees for Participants and Non-Participants Who Connect to the BOX Network 2019-09-06T00:00:00-07:00 2019-09-06T00:00:00-07:00 2019-19223 Notice https://www.govinfo.gov/content/pkg/FR-2019-09-06/pdf/2019-19223.pdf https://regulations.justia.com/regulations/fedreg/2019/09/06/2019-19222.html Notice - Self-Regulatory Organizations; Nasdaq PHLX LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Modify the Manner in Which It Calculates Volume, Liquidity and Quoting Thresholds Applicable To Billing on the Exchange in Relation to a Systems Issue Experienced by SIAC on August 12, 2019 2019-09-06T00:00:00-07:00 2019-09-06T00:00:00-07:00 2019-19222 Notice https://www.govinfo.gov/content/pkg/FR-2019-09-06/pdf/2019-19222.pdf https://regulations.justia.com/regulations/fedreg/2019/09/06/2019-19221.html Notice - Self-Regulatory Organizations; Miami International Securities Exchange LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Its Fee Schedule 2019-09-06T00:00:00-07:00 2019-09-06T00:00:00-07:00 2019-19221 Notice https://www.govinfo.gov/content/pkg/FR-2019-09-06/pdf/2019-19221.pdf https://regulations.justia.com/regulations/fedreg/2019/09/06/2019-19220.html Notice - Self-Regulatory Organizations; Nasdaq BX, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Modify the Manner in Which It Calculates Volume, Liquidity and Quoting Thresholds Applicable to Billing on the Exchange in Relation to a Systems Issue Experienced by SIAC on August 12, 2019 2019-09-06T00:00:00-07:00 2019-09-06T00:00:00-07:00 2019-19220 Notice https://www.govinfo.gov/content/pkg/FR-2019-09-06/pdf/2019-19220.pdf https://regulations.justia.com/regulations/fedreg/2019/09/06/2019-19219.html Notice - Self-Regulatory Organizations; NYSE American, LLC; Suspension of and Order Instituting Proceedings To Determine Whether To Approve or Disapprove a Proposed Rule Change To Modify the Options Regulatory Fee 2019-09-06T00:00:00-07:00 2019-09-06T00:00:00-07:00 2019-19219 Notice https://www.govinfo.gov/content/pkg/FR-2019-09-06/pdf/2019-19219.pdf https://regulations.justia.com/regulations/fedreg/2019/09/06/2019-19218.html Notice - Self-Regulatory Organizations; MIAX PEARL, LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the MIAX PEARL Fee Schedule 2019-09-06T00:00:00-07:00 2019-09-06T00:00:00-07:00 2019-19218 Notice https://www.govinfo.gov/content/pkg/FR-2019-09-06/pdf/2019-19218.pdf https://regulations.justia.com/regulations/fedreg/2019/09/06/2019-19217.html Notice - Self-Regulatory Organizations; NYSE Arca, Inc.; Order Approving a Proposed Rule Change, as Modified by Amendments No. 1 and No. 2, To Amend the Listing Rule Applicable to Shares of the Aware Ultra-Short Duration Enhanced Income ETF 2019-09-06T00:00:00-07:00 2019-09-06T00:00:00-07:00 2019-19217 Notice https://www.govinfo.gov/content/pkg/FR-2019-09-06/pdf/2019-19217.pdf https://regulations.justia.com/regulations/fedreg/2019/09/06/2019-19216.html Notice - Self-Regulatory Organizations; LCH SA; Notice of Designation of Longer Period for Commission Action on 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 Margin 2019-09-06T00:00:00-07:00 2019-09-06T00:00:00-07:00 2019-19216 Notice https://www.govinfo.gov/content/pkg/FR-2019-09-06/pdf/2019-19216.pdf https://regulations.justia.com/regulations/fedreg/2019/09/06/2019-19215.html Notice - Self-Regulatory Organizations; MIAX Emerald, LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Adopt System Connectivity Fees 2019-09-06T00:00:00-07:00 2019-09-06T00:00:00-07:00 2019-19215 Notice https://www.govinfo.gov/content/pkg/FR-2019-09-06/pdf/2019-19215.pdf https://regulations.justia.com/regulations/fedreg/2019/09/06/2019-19214.html Notice - Self-Regulatory Organizations; NYSE Arca, Inc.; Suspension of and Order Instituting Proceedings To Determine Whether To Approve or Disapprove a Proposed Rule Change To Modify the Options Regulatory Fee 2019-09-06T00:00:00-07:00 2019-09-06T00:00:00-07:00 2019-19214 Notice https://www.govinfo.gov/content/pkg/FR-2019-09-06/pdf/2019-19214.pdf https://regulations.justia.com/regulations/fedreg/2019/09/06/2019-19212.html Notice - Self-Regulatory Organizations; ICE Clear Credit LLC; Order Approving Proposed Rule Change Relating to the ICC Clearing Participant Default Management Procedures and ICC Risk Management Framework 2019-09-06T00:00:00-07:00 2019-09-06T00:00:00-07:00 2019-19212 Notice https://www.govinfo.gov/content/pkg/FR-2019-09-06/pdf/2019-19212.pdf https://regulations.justia.com/regulations/fedreg/2019/09/06/2019-19211.html Notice - Notice of Applications for Deregistration Under Section 8(f) of the Investment Company Act of 1940 2019-09-06T00:00:00-07:00 2019-09-06T00:00:00-07:00

2019-19211 Notice https://www.govinfo.gov/content/pkg/FR-2019-09-06/pdf/2019-19211.pdf https://regulations.justia.com/regulations/fedreg/2019/09/05/2019-19109.html Notice - Self-Regulatory Organizations; Cboe EDGX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Introduce a New Data Product on Its Equity Options Platform (“EDGX Options”) To Be Known as Open-Close Data 2019-09-05T00:00:00-07:00 2019-09-05T00:00:00-07:00 2019-19109 Notice https://www.govinfo.gov/content/pkg/FR-2019-09-05/pdf/2019-19109.pdf https://regulations.justia.com/regulations/fedreg/2019/09/05/2019-19107.html Notice - Self-Regulatory Organizations; Cboe BZX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Introduce a New Data Product on Its Equity Options Platform (“BZX Options”) To Be Known As Open-Close Data 2019-09-05T00:00:00-07:00 2019-09-05T00:00:00-07:00 2019-19107 Notice https://www.govinfo.gov/content/pkg/FR-2019-09-05/pdf/2019-19107.pdf https://regulations.justia.com/regulations/fedreg/2019/09/04/2019-19007.html Notice - Self-Regulatory Organizations; ICE Clear Credit LLC; Notice of Designation of Longer Period for Commission Action on Proposed Rule Change Relating to the ICC Rules, ICC End-of-Day Price Discovery Policies and Procedures, and ICC Risk Management Framework 2019-09-04T00:00:00-07:00 2019-09-04T00:00:00-07:00 2019-19007 Notice https://www.govinfo.gov/content/pkg/FR-2019-09-04/pdf/2019-19007.pdf https://regulations.justia.com/regulations/fedreg/2019/09/04/2019-19006.html Notice - Self-Regulatory Organizations; Nasdaq PHLX LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Phlx Pricing at Options 7, Section 9, Titled Other Member Fees 2019-09-04T00:00:00-07:00 2019-09-04T00:00:00-07:00 2019-19006 Notice https://www.govinfo.gov/content/pkg/FR-2019-09-04/pdf/2019-19006.pdf https://regulations.justia.com/regulations/fedreg/2019/09/04/2019-19005.html Notice - 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 (“NOM”) Pricing at Options 7 2019-09-04T00:00:00-07:00 2019-09-04T00:00:00-07:00 2019-19005 Notice https://www.govinfo.gov/content/pkg/FR-2019-09-04/pdf/2019-19005.pdf https://regulations.justia.com/regulations/fedreg/2019/09/04/2019-19004.html Notice - Self-Regulatory Organizations; The Nasdaq Stock Market LLC; Notice of Filing of Proposed Rule Change To Adopt Requirements for the Nasdaq Capital and Global Markets Applicable to Direct Listings 2019-09-04T00:00:00-07:00 2019-09-04T00:00:00-07:00 2019-19004 Notice https://www.govinfo.gov/content/pkg/FR-2019-09-04/pdf/2019-19004.pdf https://regulations.justia.com/regulations/fedreg/2019/09/04/2019-19001.html Notice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing of Proposed Rule Change To Modify Rules 6.60-O and 6.65A-O Regarding the Treatment of Orders Subject to Trade Collar Protection 2019-09-04T00:00:00-07:00 2019-09-04T00:00:00-07:00 2019-19001 Notice https://www.govinfo.gov/content/pkg/FR-2019-09-04/pdf/2019-19001.pdf https://regulations.justia.com/regulations/fedreg/2019/09/04/2019-19000.html Notice - Self-Regulatory Organizations; MIAX PEARL, LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Exchange Rules 503, Openings on the Exchange, and 515, Execution of Orders 2019-09-04T00:00:00-07:00 2019-09-04T00:00:00-07:00 2019-19000 Notice https://www.govinfo.gov/content/pkg/FR-2019-09-04/pdf/2019-19000.pdf https://regulations.justia.com/regulations/fedreg/2019/09/04/2019-18999.html Notice - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Its Price List To Revise the Remove and Adding Liquidity Tiers for Tape B and C Securities 2019-09-04T00:00:00-07:00 2019-09-04T00:00:00-07:00 2019-18999 Notice https://www.govinfo.gov/content/pkg/FR-2019-09-04/pdf/2019-18999.pdf https://regulations.justia.com/regulations/fedreg/2019/09/04/2019-18998.html Notice - Self-Regulatory Organizations; ICE Clear Europe Limited; Order Approving Proposed Rule Change Relating to the ICE Clear Europe CDS Default Management Framework 2019-09-04T00:00:00-07:00 2019-09-04T00:00:00-07:00 2019-18998 Notice https://www.govinfo.gov/content/pkg/FR-2019-09-04/pdf/2019-18998.pdf https://regulations.justia.com/regulations/fedreg/2019/09/04/2019-18997.html Notice - Self-Regulatory Organizations; ICE Clear Europe Limited; Notice of Filing of Proposed Rule Change, as Modified by Partial Amendment No. 1, Relating to the ICE Clear Europe CDS Clearing Back-Testing Policy (the “Back-Testing Policy”). 2019-09-04T00:00:00-07:00 2019-09-04T00:00:00-07:00 2019-18997 Notice https://www.govinfo.gov/content/pkg/FR-2019-09-04/pdf/2019-18997.pdf https://regulations.justia.com/regulations/fedreg/2019/09/03/2019-19002.html Notice - Self-Regulatory Organizations; NYSE American LLC; Notice of Filing of Proposed Rule Change To Modify Rules 967NY and 953.1NY Regarding the Treatment of Orders Subject to Trade Collar Protection 2019-09-03T00:00:00-07:00 2019-09-03T00:00:00-07:00 2019-19002 Notice https://www.govinfo.gov/content/pkg/FR-2019-09-03/pdf/2019-19002.pdf https://regulations.justia.com/regulations/fedreg/2019/09/03/2019-18927.html Notice - Investor Advisory Committee Meeting 2019-09-03T00:00:00-07:00 2019-09-03T00:00:00-07:00

2019-18927 Notice https://www.govinfo.gov/content/pkg/FR-2019-09-03/pdf/2019-18927.pdf https://regulations.justia.com/regulations/fedreg/2019/09/03/2019-18873.html Notice - Self-Regulatory Organizations; Cboe EDGX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Rules 21.20 and 21.22 in Connection With Stock-Options Orders 2019-09-03T00:00:00-07:00 2019-09-03T00:00:00-07:00 2019-18873 Notice https://www.govinfo.gov/content/pkg/FR-2019-09-03/pdf/2019-18873.pdf https://regulations.justia.com/regulations/fedreg/2019/09/03/2019-18871.html Notice - Self-Regulatory Organizations; The Nasdaq Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Correct and Clarify Rules 4702(b)(3)(B), 4702(b)(5)(B), and 4703(d) 2019-09-03T00:00:00-07:00 2019-09-03T00:00:00-07:00 2019-18871 Notice https://www.govinfo.gov/content/pkg/FR-2019-09-03/pdf/2019-18871.pdf https://regulations.justia.com/regulations/fedreg/2019/09/03/2019-18870.html Notice - Self-Regulatory Organizations; Cboe Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Rules Related to How the System Handles Incoming Orders and Open Outcry Trading in Connection With the Migration of the Exchange's Trading Platform to the Same System Used by the Cboe Affiliated Exchanges 2019-09-03T00:00:00-07:00 2019-09-03T00:00:00-07:00 2019-18870 Notice https://www.govinfo.gov/content/pkg/FR-2019-09-03/pdf/2019-18870.pdf https://regulations.justia.com/regulations/fedreg/2019/09/03/2019-18869.html Notice - Self-Regulatory Organizations; Cboe BZX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To List and Trade Shares of the Innovator S&P 500 Total Buffer ETF Series Under the Innovator ETFs Trust, Under Rule 14.11(i) 2019-09-03T00:00:00-07:00 2019-09-03T00:00:00-07:00 2019-18869 Notice https://www.govinfo.gov/content/pkg/FR-2019-09-03/pdf/2019-18869.pdf