<![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/2019/10/17?registers=between Thu, 26 Jun 2025 03:01:17 -0700 Thu, 26 Jun 2025 03:01:17 -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/2019/10/17?registers=between Notice - 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 Program https://regulations.justia.com/regulations/fedreg/2019/10/17/2019-22702.html https://regulations.justia.com/regulations/fedreg/2019/10/17/2019-22702.html Thu, 17 Oct 2019 00:00:00 -0700 2019-22702 Notice https://www.govinfo.gov/content/pkg/FR-2019-10-17/pdf/2019-22702.pdf Notice - Self-Regulatory Organizations; Cboe Exchange, Inc.; Notice of Designation of a Longer Period for Commission Action on a Proposed Rule Change, as Modified by Amendment No. 1, To Make Permanent Certain Options Market Rules That Are Linked to the Equity Market Plan To Address Extraordinary Market Volatility https://regulations.justia.com/regulations/fedreg/2019/10/17/2019-22701.html https://regulations.justia.com/regulations/fedreg/2019/10/17/2019-22701.html Thu, 17 Oct 2019 00:00:00 -0700 2019-22701 Notice https://www.govinfo.gov/content/pkg/FR-2019-10-17/pdf/2019-22701.pdf Notice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the NYSE Arca Equities Fees and Charges https://regulations.justia.com/regulations/fedreg/2019/10/17/2019-22700.html https://regulations.justia.com/regulations/fedreg/2019/10/17/2019-22700.html Thu, 17 Oct 2019 00:00:00 -0700 2019-22700 Notice https://www.govinfo.gov/content/pkg/FR-2019-10-17/pdf/2019-22700.pdf Notice - 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 Service https://regulations.justia.com/regulations/fedreg/2019/10/17/2019-22698.html https://regulations.justia.com/regulations/fedreg/2019/10/17/2019-22698.html Thu, 17 Oct 2019 00:00:00 -0700 2019-22698 Notice https://www.govinfo.gov/content/pkg/FR-2019-10-17/pdf/2019-22698.pdf Notice - 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 Program https://regulations.justia.com/regulations/fedreg/2019/10/17/2019-22697.html https://regulations.justia.com/regulations/fedreg/2019/10/17/2019-22697.html Thu, 17 Oct 2019 00:00:00 -0700 2019-22697 Notice https://www.govinfo.gov/content/pkg/FR-2019-10-17/pdf/2019-22697.pdf Notice - Self-Regulatory Organizations; Cboe BZX Exchange, Inc.; Notice of Filing of a Proposed Rule Change, as Modified by Amendment No. 1, To List and Trade Shares of the Clearbridge Small Cap Value ETF Under Currently Proposed Rule 14.11(k) https://regulations.justia.com/regulations/fedreg/2019/10/17/2019-22600.html https://regulations.justia.com/regulations/fedreg/2019/10/17/2019-22600.html Thu, 17 Oct 2019 00:00:00 -0700 2019-22600 Notice https://www.govinfo.gov/content/pkg/FR-2019-10-17/pdf/2019-22600.pdf 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 https://regulations.justia.com/regulations/fedreg/2019/10/17/2019-22599.html https://regulations.justia.com/regulations/fedreg/2019/10/17/2019-22599.html Thu, 17 Oct 2019 00:00:00 -0700 2019-22599 Notice https://www.govinfo.gov/content/pkg/FR-2019-10-17/pdf/2019-22599.pdf Notice - Self-Regulatory Organizations; Miami International Securities Exchange, LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Exchange Rule 519, MIAX Order Monitor https://regulations.justia.com/regulations/fedreg/2019/10/17/2019-22598.html https://regulations.justia.com/regulations/fedreg/2019/10/17/2019-22598.html Thu, 17 Oct 2019 00:00:00 -0700 2019-22598 Notice https://www.govinfo.gov/content/pkg/FR-2019-10-17/pdf/2019-22598.pdf Notice - Self-Regulatory Organizations; MIAX PEARL, LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Exchange Rule 519, MIAX PEARL Order Monitor https://regulations.justia.com/regulations/fedreg/2019/10/17/2019-22597.html https://regulations.justia.com/regulations/fedreg/2019/10/17/2019-22597.html Thu, 17 Oct 2019 00:00:00 -0700 2019-22597 Notice https://www.govinfo.gov/content/pkg/FR-2019-10-17/pdf/2019-22597.pdf Notice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Permit the Listing and Trading of Shares Under NYSE Arca Rule 8.600-E of the Overlay Shares Large Cap Equity ETF, Overlay Shares Small Cap Equity ETF, Overlay Shares Foreign Equity ETF, Overlay Shares Core Bond ETF and Overlay Shares Municipal Bond ETF https://regulations.justia.com/regulations/fedreg/2019/10/17/2019-22596.html https://regulations.justia.com/regulations/fedreg/2019/10/17/2019-22596.html Thu, 17 Oct 2019 00:00:00 -0700 2019-22596 Notice https://www.govinfo.gov/content/pkg/FR-2019-10-17/pdf/2019-22596.pdf Notice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Designation of a Longer Period for Commission Action on a Proposed Rule Change, as Modified by Amendment No. 1 Thereto, To List and Trade Shares of the KFA Global Carbon ETF Under NYSE Arca Rule 8.600-E https://regulations.justia.com/regulations/fedreg/2019/10/17/2019-22595.html https://regulations.justia.com/regulations/fedreg/2019/10/17/2019-22595.html Thu, 17 Oct 2019 00:00:00 -0700 2019-22595 Notice https://www.govinfo.gov/content/pkg/FR-2019-10-17/pdf/2019-22595.pdf 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 Schedule at Options 7, Section 2 https://regulations.justia.com/regulations/fedreg/2019/10/17/2019-22594.html https://regulations.justia.com/regulations/fedreg/2019/10/17/2019-22594.html Thu, 17 Oct 2019 00:00:00 -0700 2019-22594 Notice https://www.govinfo.gov/content/pkg/FR-2019-10-17/pdf/2019-22594.pdf Notice - 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 Procedures https://regulations.justia.com/regulations/fedreg/2019/10/17/2019-22593.html https://regulations.justia.com/regulations/fedreg/2019/10/17/2019-22593.html Thu, 17 Oct 2019 00:00:00 -0700 2019-22593 Notice https://www.govinfo.gov/content/pkg/FR-2019-10-17/pdf/2019-22593.pdf Notice - Self-Regulatory Organizations; Cboe Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating To Amend the Appointment Weight Table in Rule 5.50 in the Shell Structure for the Exchange's Rulebook https://regulations.justia.com/regulations/fedreg/2019/10/17/2019-22592.html https://regulations.justia.com/regulations/fedreg/2019/10/17/2019-22592.html Thu, 17 Oct 2019 00:00:00 -0700 2019-22592 Notice https://www.govinfo.gov/content/pkg/FR-2019-10-17/pdf/2019-22592.pdf Notice - Self-Regulatory Organizations; Cboe Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the Name of a Reporting Authority for Certain Indexes on Which the Exchange May List Options https://regulations.justia.com/regulations/fedreg/2019/10/17/2019-22591.html https://regulations.justia.com/regulations/fedreg/2019/10/17/2019-22591.html Thu, 17 Oct 2019 00:00:00 -0700 2019-22591 Notice https://www.govinfo.gov/content/pkg/FR-2019-10-17/pdf/2019-22591.pdf Notice - Self-Regulatory Organizations; Cboe Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating To Move the Rules in Chapter V of the Currently Effective Rulebook to Proposed Section A of Chapter 4 of the Shell Structure for the Exchange's Rulebook That Will Become Effective Upon the Migration of the Exchange's Trading Platform https://regulations.justia.com/regulations/fedreg/2019/10/17/2019-22590.html https://regulations.justia.com/regulations/fedreg/2019/10/17/2019-22590.html Thu, 17 Oct 2019 00:00:00 -0700 2019-22590 Notice https://www.govinfo.gov/content/pkg/FR-2019-10-17/pdf/2019-22590.pdf Notice - Self-Regulatory Organizations; Nasdaq BX, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Transaction Fees at Equity 7, Section 118(a) https://regulations.justia.com/regulations/fedreg/2019/10/17/2019-22589.html https://regulations.justia.com/regulations/fedreg/2019/10/17/2019-22589.html Thu, 17 Oct 2019 00:00:00 -0700 2019-22589 Notice https://www.govinfo.gov/content/pkg/FR-2019-10-17/pdf/2019-22589.pdf Notice - Self-Regulatory Organizations; Nasdaq BX, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend BX Rules at Chapter VI, Section 6 https://regulations.justia.com/regulations/fedreg/2019/10/17/2019-22588.html https://regulations.justia.com/regulations/fedreg/2019/10/17/2019-22588.html Thu, 17 Oct 2019 00:00:00 -0700 2019-22588 Notice https://www.govinfo.gov/content/pkg/FR-2019-10-17/pdf/2019-22588.pdf Notice - Submission for OMB Review; Comment Request https://regulations.justia.com/regulations/fedreg/2019/10/17/2019-22580.html https://regulations.justia.com/regulations/fedreg/2019/10/17/2019-22580.html Thu, 17 Oct 2019 00:00:00 -0700 2019-22580 Notice https://www.govinfo.gov/content/pkg/FR-2019-10-17/pdf/2019-22580.pdf Notice - Submission for OMB Review; Comment Request https://regulations.justia.com/regulations/fedreg/2019/10/17/2019-22579.html https://regulations.justia.com/regulations/fedreg/2019/10/17/2019-22579.html Thu, 17 Oct 2019 00:00:00 -0700 2019-22579 Notice https://www.govinfo.gov/content/pkg/FR-2019-10-17/pdf/2019-22579.pdf Notice - Proposed Collection; Comment Request https://regulations.justia.com/regulations/fedreg/2019/10/17/2019-22578.html https://regulations.justia.com/regulations/fedreg/2019/10/17/2019-22578.html Thu, 17 Oct 2019 00:00:00 -0700 2019-22578 Notice https://www.govinfo.gov/content/pkg/FR-2019-10-17/pdf/2019-22578.pdf