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/2019/10/24?limit=200®isters=between&mode=atom2024-12-22T17:51:49-08:00Justia Inchttps://www.justia.com/Justia Regulations Trackerhttps://regulations.justia.com/images/justiafedregulations.gifCopyright 2011 Justia Inchttps://regulations.justia.com/regulations/fedreg/2019/10/24/2019-23211.htmlRule - Adoption of Updated EDGAR Filer Manual2019-10-24T00:00:00-07:002019-10-24T00:00:00-07:002019-23211Rulehttps://www.govinfo.gov/content/pkg/FR-2019-10-24/pdf/2019-23211.pdfhttps://regulations.justia.com/regulations/fedreg/2019/10/24/2019-23176.htmlNotice - Self-Regulatory Organizations; Cboe Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating To Extend the Pilot Period Related to the Market-Wide Circuit Breaker in Rule 5.222019-10-24T00:00:00-07:002019-10-24T00:00:00-07:002019-23176Noticehttps://www.govinfo.gov/content/pkg/FR-2019-10-24/pdf/2019-23176.pdfhttps://regulations.justia.com/regulations/fedreg/2019/10/24/2019-23175.htmlNotice - Self-Regulatory Organizations; Cboe C2 Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Extend the Pilot Period Related to the Market-Wide Circuit Breaker in Rule 6.32.012019-10-24T00:00:00-07:002019-10-24T00:00:00-07:002019-23175Noticehttps://www.govinfo.gov/content/pkg/FR-2019-10-24/pdf/2019-23175.pdfhttps://regulations.justia.com/regulations/fedreg/2019/10/24/2019-23174.htmlNotice - Self-Regulatory Organizations; Cboe BYX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Extend the Pilot Related to the Market-Wide Circuit Breaker in Rule 11.182019-10-24T00:00:00-07:002019-10-24T00:00:00-07:002019-23174Noticehttps://www.govinfo.gov/content/pkg/FR-2019-10-24/pdf/2019-23174.pdfhttps://regulations.justia.com/regulations/fedreg/2019/10/24/2019-23173.htmlNotice - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Extend the Pilot Program Related to FINRA Rule 11892 (Clearly Erroneous Transactions in Exchange-Listed Securities)2019-10-24T00:00:00-07:002019-10-24T00:00:00-07:002019-23173Noticehttps://www.govinfo.gov/content/pkg/FR-2019-10-24/pdf/2019-23173.pdfhttps://regulations.justia.com/regulations/fedreg/2019/10/24/2019-23172.htmlNotice - Self-Regulatory Organizations; NYSE American LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Make Permanent Certain Options Market Rules That Are Linked to the Equity Market Plan To Address Extraordinary Market Volatility2019-10-24T00:00:00-07:002019-10-24T00:00:00-07:002019-23172Noticehttps://www.govinfo.gov/content/pkg/FR-2019-10-24/pdf/2019-23172.pdfhttps://regulations.justia.com/regulations/fedreg/2019/10/24/2019-23171.htmlNotice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Make Permanent Certain Options Market Rules That Are Linked to the Equity Market Plan To Address Extraordinary Market Volatility2019-10-24T00:00:00-07:002019-10-24T00:00:00-07:002019-23171Noticehttps://www.govinfo.gov/content/pkg/FR-2019-10-24/pdf/2019-23171.pdfhttps://regulations.justia.com/regulations/fedreg/2019/10/24/2019-23170.htmlNotice - Self-Regulatory Organizations; Cboe EDGX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Make Permanent an Options Market Rule Linked to the Equity Market Plan To Address Extraordinary Market Volatility2019-10-24T00:00:00-07:002019-10-24T00:00:00-07:002019-23170Noticehttps://www.govinfo.gov/content/pkg/FR-2019-10-24/pdf/2019-23170.pdfhttps://regulations.justia.com/regulations/fedreg/2019/10/24/2019-23169.htmlNotice - Self-Regulatory Organizations; Cboe C2 Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Make Permanent Certain Options Market Rules That Are Linked to the Equity Market Plan To Address Extraordinary Market Volatility2019-10-24T00:00:00-07:002019-10-24T00:00:00-07:002019-23169Noticehttps://www.govinfo.gov/content/pkg/FR-2019-10-24/pdf/2019-23169.pdfhttps://regulations.justia.com/regulations/fedreg/2019/10/24/2019-23168.htmlNotice - Self-Regulatory Organizations; Cboe BZX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Make Permanent an Options Market Rule Linked to the Equity Market Plan To Address Extraordinary Market Volatility2019-10-24T00:00:00-07:002019-10-24T00:00:00-07:002019-23168Noticehttps://www.govinfo.gov/content/pkg/FR-2019-10-24/pdf/2019-23168.pdfhttps://regulations.justia.com/regulations/fedreg/2019/10/24/2019-23167.htmlNotice - Self-Regulatory Organizations; NYSE Arca, Inc.; Order Granting Accelerated Approval of a Proposed Rule Change, as Modified by Amendment No. 1, To Make Permanent the Retail Liquidity Program Pilot, Rule 7.44-E, Which Is Set To Expire on October 31, 2019, Notice of Filing of Amendment No. 1, and Order Granting Limited Exemption Pursuant to Rule 612(c) of Regulation NMS2019-10-24T00:00:00-07:002019-10-24T00:00:00-07:002019-23167Noticehttps://www.govinfo.gov/content/pkg/FR-2019-10-24/pdf/2019-23167.pdfhttps://regulations.justia.com/regulations/fedreg/2019/10/24/2019-23166.htmlNotice - Self-Regulatory Organizations; NYSE Chicago, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Extend the Current Pilot Program Related To Article 20, Rule 10 and Rule 7.102019-10-24T00:00:00-07:002019-10-24T00:00:00-07:002019-23166Noticehttps://www.govinfo.gov/content/pkg/FR-2019-10-24/pdf/2019-23166.pdfhttps://regulations.justia.com/regulations/fedreg/2019/10/24/2019-23165.htmlNotice - Self-Regulatory Organizations; NYSE National, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Extend the Current Pilot Program Related to Rule 7.102019-10-24T00:00:00-07:002019-10-24T00:00:00-07:002019-23165Noticehttps://www.govinfo.gov/content/pkg/FR-2019-10-24/pdf/2019-23165.pdfhttps://regulations.justia.com/regulations/fedreg/2019/10/24/2019-23164.htmlNotice - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Extend the Current Pilot Program Related to Rule 7.102019-10-24T00:00:00-07:002019-10-24T00:00:00-07:002019-23164Noticehttps://www.govinfo.gov/content/pkg/FR-2019-10-24/pdf/2019-23164.pdfhttps://regulations.justia.com/regulations/fedreg/2019/10/24/2019-23163.htmlNotice - Self-Regulatory Organizations; NYSE American LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Extend the Current Pilot Program Related to Rule 7.10E2019-10-24T00:00:00-07:002019-10-24T00:00:00-07:002019-23163Noticehttps://www.govinfo.gov/content/pkg/FR-2019-10-24/pdf/2019-23163.pdfhttps://regulations.justia.com/regulations/fedreg/2019/10/24/2019-23162.htmlNotice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Extend the Current Pilot Program Related to Rule 7.10-E2019-10-24T00:00:00-07:002019-10-24T00:00:00-07:002019-23162Noticehttps://www.govinfo.gov/content/pkg/FR-2019-10-24/pdf/2019-23162.pdfhttps://regulations.justia.com/regulations/fedreg/2019/10/24/2019-23161.htmlNotice - Self-Regulatory Organizations; Nasdaq PHLX LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Extend the Current Pilot Program Related to Phlx Rule 33122019-10-24T00:00:00-07:002019-10-24T00:00:00-07:002019-23161Noticehttps://www.govinfo.gov/content/pkg/FR-2019-10-24/pdf/2019-23161.pdfhttps://regulations.justia.com/regulations/fedreg/2019/10/24/2019-23160.htmlNotice - Self-Regulatory Organizations; Long-Term Stock Exchange; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Set the Date of the Pilot Related to the Market-Wide Circuit Breaker in Rule 11.280 and To Move the Limit Up-Limit Down Mechanism, Authority To Initiate Trading Halts, and Procedure for Initiating and Terminating a Trading Halt Into Separate Rules for Clarity2019-10-24T00:00:00-07:002019-10-24T00:00:00-07:002019-23160Noticehttps://www.govinfo.gov/content/pkg/FR-2019-10-24/pdf/2019-23160.pdfhttps://regulations.justia.com/regulations/fedreg/2019/10/24/2019-23159.htmlNotice - Self-Regulatory Organizations; The Nasdaq Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Extend the Current Pilot Program Related to Nasdaq Rule 118902019-10-24T00:00:00-07:002019-10-24T00:00:00-07:002019-23159Noticehttps://www.govinfo.gov/content/pkg/FR-2019-10-24/pdf/2019-23159.pdfhttps://regulations.justia.com/regulations/fedreg/2019/10/24/2019-23158.htmlNotice - Self-Regulatory Organizations; Nasdaq BX, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Extend the Current Pilot Program Related to BX Rule 118902019-10-24T00:00:00-07:002019-10-24T00:00:00-07:002019-23158Noticehttps://www.govinfo.gov/content/pkg/FR-2019-10-24/pdf/2019-23158.pdfhttps://regulations.justia.com/regulations/fedreg/2019/10/24/2019-23157.htmlNotice - Self-Regulatory Organizations; ICE Clear Europe Limited; Order Approving Proposed Rule Change, as Modified by Partial Amendment No. 1, Relating to Amendments to the ICE Clear Europe CDS Clearing Back-Testing Policy2019-10-24T00:00:00-07:002019-10-24T00:00:00-07:002019-23157Noticehttps://www.govinfo.gov/content/pkg/FR-2019-10-24/pdf/2019-23157.pdfhttps://regulations.justia.com/regulations/fedreg/2019/10/24/2019-23156.htmlNotice - Self-Regulatory Organizations; Miami International Securities Exchange, LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Exchange Rule 521, Nullification and Adjustment of Options Transactions Including Obvious Errors, Interpretation and Policy .01, and Exchange Rule 530, Limit Up-Limit Down2019-10-24T00:00:00-07:002019-10-24T00:00:00-07:002019-23156Noticehttps://www.govinfo.gov/content/pkg/FR-2019-10-24/pdf/2019-23156.pdfhttps://regulations.justia.com/regulations/fedreg/2019/10/24/2019-23155.htmlNotice - Self-Regulatory Organizations; MIAX PEARL, LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Exchange Rule 521, Nullification and Adjustment of Options Transactions Including Obvious Errors, Interpretation and Policy .01, and Exchange Rule 530, Limit Up-Limit Down2019-10-24T00:00:00-07:002019-10-24T00:00:00-07:002019-23155Noticehttps://www.govinfo.gov/content/pkg/FR-2019-10-24/pdf/2019-23155.pdfhttps://regulations.justia.com/regulations/fedreg/2019/10/24/2019-22994.htmlProposed Rule - Commission Statement on Market Structure Innovation for Thinly Traded Securities2019-10-24T00:00:00-07:002019-10-24T00:00:00-07:002019-22994Proposed Rulehttps://www.govinfo.gov/content/pkg/FR-2019-10-24/pdf/2019-22994.pdfhttps://regulations.justia.com/regulations/fedreg/2019/10/24/2019-21515.htmlNotice - Order Granting a Conditional Exemption From Exchange Act Section 11(D)(1) and Exchange Act Rules 10B-10, 15C1-5, 15C1-6, and 14E-5 for Certain Exchange Traded Funds2019-10-24T00:00:00-07:002019-10-24T00:00:00-07:002019-21515Noticehttps://www.govinfo.gov/content/pkg/FR-2019-10-24/pdf/2019-21515.pdfhttps://regulations.justia.com/regulations/fedreg/2019/10/24/2019-21250.htmlRule - Exchange-Traded Funds2019-10-24T00:00:00-07:002019-10-24T00:00:00-07:002019-21250Rulehttps://www.govinfo.gov/content/pkg/FR-2019-10-24/pdf/2019-21250.pdf