<![CDATA[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/2019/10/07?registers=between Thu, 26 Jun 2025 19:33:20 -0700 Thu, 26 Jun 2025 19:33:20 -0700 Justia Regulations Tracker Copyright 2011 Justia Inc. https://regulations.justia.com/images/justiafedregulations.gif <![CDATA[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/2019/10/07?registers=between Notice - Mutual of America Life Insurance Company, et al. https://regulations.justia.com/regulations/fedreg/2019/10/07/2019-21811.html https://regulations.justia.com/regulations/fedreg/2019/10/07/2019-21811.html Mon, 07 Oct 2019 00:00:00 -0700 2019-21811 Notice https://www.govinfo.gov/content/pkg/FR-2019-10-07/pdf/2019-21811.pdf Notice - Calvert Fund, et al. https://regulations.justia.com/regulations/fedreg/2019/10/07/2019-21810.html https://regulations.justia.com/regulations/fedreg/2019/10/07/2019-21810.html Mon, 07 Oct 2019 00:00:00 -0700 2019-21810 Notice https://www.govinfo.gov/content/pkg/FR-2019-10-07/pdf/2019-21810.pdf Notice - Self-Regulatory Organizations; Nasdaq GEMX, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to the Submission of Quotes and Orders https://regulations.justia.com/regulations/fedreg/2019/10/07/2019-21737.html https://regulations.justia.com/regulations/fedreg/2019/10/07/2019-21737.html Mon, 07 Oct 2019 00:00:00 -0700 2019-21737 Notice https://www.govinfo.gov/content/pkg/FR-2019-10-07/pdf/2019-21737.pdf Notice - Self-Regulatory Organizations; Nasdaq ISE, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to the Submission of Quotes and Orders https://regulations.justia.com/regulations/fedreg/2019/10/07/2019-21736.html https://regulations.justia.com/regulations/fedreg/2019/10/07/2019-21736.html Mon, 07 Oct 2019 00:00:00 -0700 2019-21736 Notice https://www.govinfo.gov/content/pkg/FR-2019-10-07/pdf/2019-21736.pdf Notice - Self-Regulatory Organizations; Nasdaq MRX, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Several Sections of Options 3 https://regulations.justia.com/regulations/fedreg/2019/10/07/2019-21735.html https://regulations.justia.com/regulations/fedreg/2019/10/07/2019-21735.html Mon, 07 Oct 2019 00:00:00 -0700 2019-21735 Notice https://www.govinfo.gov/content/pkg/FR-2019-10-07/pdf/2019-21735.pdf Notice - Self-Regulatory Organizations; Cboe Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Move the Rules in Chapter XVIII, Which Governs Exchange Arbitrations, of the Currently Effective Rulebook to Proposed Chapter 14 of the Shell Structure for the Exchange's Rulebook https://regulations.justia.com/regulations/fedreg/2019/10/07/2019-21734.html https://regulations.justia.com/regulations/fedreg/2019/10/07/2019-21734.html Mon, 07 Oct 2019 00:00:00 -0700 2019-21734 Notice https://www.govinfo.gov/content/pkg/FR-2019-10-07/pdf/2019-21734.pdf Notice - Self-Regulatory Organizations; NYSE American LLC; Notice of Withdrawal of Proposed Rule Change To Amend the NYSE American Options Fee Schedule To Revise the Options Regulatory Fee https://regulations.justia.com/regulations/fedreg/2019/10/07/2019-21733.html https://regulations.justia.com/regulations/fedreg/2019/10/07/2019-21733.html Mon, 07 Oct 2019 00:00:00 -0700 2019-21733 Notice https://www.govinfo.gov/content/pkg/FR-2019-10-07/pdf/2019-21733.pdf Notice - Self-Regulatory Organizations; The Nasdaq Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Adopt Fees for the MIDP Routing Option https://regulations.justia.com/regulations/fedreg/2019/10/07/2019-21732.html https://regulations.justia.com/regulations/fedreg/2019/10/07/2019-21732.html Mon, 07 Oct 2019 00:00:00 -0700 2019-21732 Notice https://www.govinfo.gov/content/pkg/FR-2019-10-07/pdf/2019-21732.pdf Notice - Self-Regulatory Organizations; NYSE Arca Inc.; Notice of Withdrawal of Proposed Rule Change To Amend the NYSE Arca Options Fee Schedule To Revise the Options Regulatory Fee https://regulations.justia.com/regulations/fedreg/2019/10/07/2019-21731.html https://regulations.justia.com/regulations/fedreg/2019/10/07/2019-21731.html Mon, 07 Oct 2019 00:00:00 -0700 2019-21731 Notice https://www.govinfo.gov/content/pkg/FR-2019-10-07/pdf/2019-21731.pdf Notice - Self-Regulatory Organizations; Cboe Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Make Minor Updates to and Relocate Chapter XIX, Which Governs the Hearings and Review Process for Persons Aggrieved by Exchange Action, of the Currently Effective Rulebook, to Proposed Chapter 15 of the Shell Structure for the Exchange's Rulebook https://regulations.justia.com/regulations/fedreg/2019/10/07/2019-21730.html https://regulations.justia.com/regulations/fedreg/2019/10/07/2019-21730.html Mon, 07 Oct 2019 00:00:00 -0700 2019-21730 Notice https://www.govinfo.gov/content/pkg/FR-2019-10-07/pdf/2019-21730.pdf Notice - Self-Regulatory Organizations; Cboe Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Move the Rules in Chapter XIII of the Currently Effective Rulebook, Which Governs Net Capital Requirements, to Proposed Chapter 11 of the Shell Structure for the Exchange's Rulebook https://regulations.justia.com/regulations/fedreg/2019/10/07/2019-21729.html https://regulations.justia.com/regulations/fedreg/2019/10/07/2019-21729.html Mon, 07 Oct 2019 00:00:00 -0700 2019-21729 Notice https://www.govinfo.gov/content/pkg/FR-2019-10-07/pdf/2019-21729.pdf Notice - Self-Regulatory Organizations; Cboe Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Move the Rules in Chapter XII, Which Governs Margin Requirements, of the Currently Effective Rulebook to Proposed Chapter 10 of the Shell Structure for the Exchange's Rulebook https://regulations.justia.com/regulations/fedreg/2019/10/07/2019-21728.html https://regulations.justia.com/regulations/fedreg/2019/10/07/2019-21728.html Mon, 07 Oct 2019 00:00:00 -0700 2019-21728 Notice https://www.govinfo.gov/content/pkg/FR-2019-10-07/pdf/2019-21728.pdf Notice - Self-Regulatory Organizations; NYSE Arca, Inc.; Order Granting Approval 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-E https://regulations.justia.com/regulations/fedreg/2019/10/07/2019-21727.html https://regulations.justia.com/regulations/fedreg/2019/10/07/2019-21727.html Mon, 07 Oct 2019 00:00:00 -0700 2019-21727 Notice https://www.govinfo.gov/content/pkg/FR-2019-10-07/pdf/2019-21727.pdf Notice - Self-Regulatory Organizations; The Nasdaq Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to the First Trust Low Duration Opportunities ETF https://regulations.justia.com/regulations/fedreg/2019/10/07/2019-21726.html https://regulations.justia.com/regulations/fedreg/2019/10/07/2019-21726.html Mon, 07 Oct 2019 00:00:00 -0700 2019-21726 Notice https://www.govinfo.gov/content/pkg/FR-2019-10-07/pdf/2019-21726.pdf Notice - Self-Regulatory Organizations; Cboe Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to the Solicitation Auction Mechanism (“SAM” or “SAM Auction”) https://regulations.justia.com/regulations/fedreg/2019/10/07/2019-21725.html https://regulations.justia.com/regulations/fedreg/2019/10/07/2019-21725.html Mon, 07 Oct 2019 00:00:00 -0700 2019-21725 Notice https://www.govinfo.gov/content/pkg/FR-2019-10-07/pdf/2019-21725.pdf Notice - Self-Regulatory Organizations; Cboe Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Its Rule Regarding How Complex Orders Are Processed Through the Solicitation Auction Mechanism (“C-SAM” or “C-SAM Auction”), and Move That Rule 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 https://regulations.justia.com/regulations/fedreg/2019/10/07/2019-21724.html https://regulations.justia.com/regulations/fedreg/2019/10/07/2019-21724.html Mon, 07 Oct 2019 00:00:00 -0700 2019-21724 Notice https://www.govinfo.gov/content/pkg/FR-2019-10-07/pdf/2019-21724.pdf