<![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/2019/10/24?registers=between Wed, 25 Jun 2025 17:09:17 -0700 Wed, 25 Jun 2025 17:09:17 -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/2019/10/24?registers=between Rule - Adoption of Updated EDGAR Filer Manual https://regulations.justia.com/regulations/fedreg/2019/10/24/2019-23211.html https://regulations.justia.com/regulations/fedreg/2019/10/24/2019-23211.html Thu, 24 Oct 2019 00:00:00 -0700 2019-23211 Rule https://www.govinfo.gov/content/pkg/FR-2019-10-24/pdf/2019-23211.pdf Notice - 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 5.22 https://regulations.justia.com/regulations/fedreg/2019/10/24/2019-23176.html https://regulations.justia.com/regulations/fedreg/2019/10/24/2019-23176.html Thu, 24 Oct 2019 00:00:00 -0700 2019-23176 Notice https://www.govinfo.gov/content/pkg/FR-2019-10-24/pdf/2019-23176.pdf Notice - 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 6.32.01 https://regulations.justia.com/regulations/fedreg/2019/10/24/2019-23175.html https://regulations.justia.com/regulations/fedreg/2019/10/24/2019-23175.html Thu, 24 Oct 2019 00:00:00 -0700 2019-23175 Notice https://www.govinfo.gov/content/pkg/FR-2019-10-24/pdf/2019-23175.pdf Notice - 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 11.18 https://regulations.justia.com/regulations/fedreg/2019/10/24/2019-23174.html https://regulations.justia.com/regulations/fedreg/2019/10/24/2019-23174.html Thu, 24 Oct 2019 00:00:00 -0700 2019-23174 Notice https://www.govinfo.gov/content/pkg/FR-2019-10-24/pdf/2019-23174.pdf Notice - 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) https://regulations.justia.com/regulations/fedreg/2019/10/24/2019-23173.html https://regulations.justia.com/regulations/fedreg/2019/10/24/2019-23173.html Thu, 24 Oct 2019 00:00:00 -0700 2019-23173 Notice https://www.govinfo.gov/content/pkg/FR-2019-10-24/pdf/2019-23173.pdf Notice - 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 Volatility https://regulations.justia.com/regulations/fedreg/2019/10/24/2019-23172.html https://regulations.justia.com/regulations/fedreg/2019/10/24/2019-23172.html Thu, 24 Oct 2019 00:00:00 -0700 2019-23172 Notice https://www.govinfo.gov/content/pkg/FR-2019-10-24/pdf/2019-23172.pdf Notice - 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 Volatility https://regulations.justia.com/regulations/fedreg/2019/10/24/2019-23171.html https://regulations.justia.com/regulations/fedreg/2019/10/24/2019-23171.html Thu, 24 Oct 2019 00:00:00 -0700 2019-23171 Notice https://www.govinfo.gov/content/pkg/FR-2019-10-24/pdf/2019-23171.pdf Notice - 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 Volatility https://regulations.justia.com/regulations/fedreg/2019/10/24/2019-23170.html https://regulations.justia.com/regulations/fedreg/2019/10/24/2019-23170.html Thu, 24 Oct 2019 00:00:00 -0700 2019-23170 Notice https://www.govinfo.gov/content/pkg/FR-2019-10-24/pdf/2019-23170.pdf Notice - 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 Volatility https://regulations.justia.com/regulations/fedreg/2019/10/24/2019-23169.html https://regulations.justia.com/regulations/fedreg/2019/10/24/2019-23169.html Thu, 24 Oct 2019 00:00:00 -0700 2019-23169 Notice https://www.govinfo.gov/content/pkg/FR-2019-10-24/pdf/2019-23169.pdf Notice - 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 Volatility https://regulations.justia.com/regulations/fedreg/2019/10/24/2019-23168.html https://regulations.justia.com/regulations/fedreg/2019/10/24/2019-23168.html Thu, 24 Oct 2019 00:00:00 -0700 2019-23168 Notice https://www.govinfo.gov/content/pkg/FR-2019-10-24/pdf/2019-23168.pdf Notice - 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 NMS https://regulations.justia.com/regulations/fedreg/2019/10/24/2019-23167.html https://regulations.justia.com/regulations/fedreg/2019/10/24/2019-23167.html Thu, 24 Oct 2019 00:00:00 -0700 2019-23167 Notice https://www.govinfo.gov/content/pkg/FR-2019-10-24/pdf/2019-23167.pdf Notice - 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 7.10 https://regulations.justia.com/regulations/fedreg/2019/10/24/2019-23166.html https://regulations.justia.com/regulations/fedreg/2019/10/24/2019-23166.html Thu, 24 Oct 2019 00:00:00 -0700 2019-23166 Notice https://www.govinfo.gov/content/pkg/FR-2019-10-24/pdf/2019-23166.pdf Notice - 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 7.10 https://regulations.justia.com/regulations/fedreg/2019/10/24/2019-23165.html https://regulations.justia.com/regulations/fedreg/2019/10/24/2019-23165.html Thu, 24 Oct 2019 00:00:00 -0700 2019-23165 Notice https://www.govinfo.gov/content/pkg/FR-2019-10-24/pdf/2019-23165.pdf Notice - 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 7.10 https://regulations.justia.com/regulations/fedreg/2019/10/24/2019-23164.html https://regulations.justia.com/regulations/fedreg/2019/10/24/2019-23164.html Thu, 24 Oct 2019 00:00:00 -0700 2019-23164 Notice https://www.govinfo.gov/content/pkg/FR-2019-10-24/pdf/2019-23164.pdf Notice - 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 7.10E https://regulations.justia.com/regulations/fedreg/2019/10/24/2019-23163.html https://regulations.justia.com/regulations/fedreg/2019/10/24/2019-23163.html Thu, 24 Oct 2019 00:00:00 -0700 2019-23163 Notice https://www.govinfo.gov/content/pkg/FR-2019-10-24/pdf/2019-23163.pdf Notice - 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-E https://regulations.justia.com/regulations/fedreg/2019/10/24/2019-23162.html https://regulations.justia.com/regulations/fedreg/2019/10/24/2019-23162.html Thu, 24 Oct 2019 00:00:00 -0700 2019-23162 Notice https://www.govinfo.gov/content/pkg/FR-2019-10-24/pdf/2019-23162.pdf Notice - 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 3312 https://regulations.justia.com/regulations/fedreg/2019/10/24/2019-23161.html https://regulations.justia.com/regulations/fedreg/2019/10/24/2019-23161.html Thu, 24 Oct 2019 00:00:00 -0700 2019-23161 Notice https://www.govinfo.gov/content/pkg/FR-2019-10-24/pdf/2019-23161.pdf Notice - 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 Clarity https://regulations.justia.com/regulations/fedreg/2019/10/24/2019-23160.html https://regulations.justia.com/regulations/fedreg/2019/10/24/2019-23160.html Thu, 24 Oct 2019 00:00:00 -0700 2019-23160 Notice https://www.govinfo.gov/content/pkg/FR-2019-10-24/pdf/2019-23160.pdf Notice - 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 11890 https://regulations.justia.com/regulations/fedreg/2019/10/24/2019-23159.html https://regulations.justia.com/regulations/fedreg/2019/10/24/2019-23159.html Thu, 24 Oct 2019 00:00:00 -0700 2019-23159 Notice https://www.govinfo.gov/content/pkg/FR-2019-10-24/pdf/2019-23159.pdf Notice - 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 11890 https://regulations.justia.com/regulations/fedreg/2019/10/24/2019-23158.html https://regulations.justia.com/regulations/fedreg/2019/10/24/2019-23158.html Thu, 24 Oct 2019 00:00:00 -0700 2019-23158 Notice https://www.govinfo.gov/content/pkg/FR-2019-10-24/pdf/2019-23158.pdf Notice - 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 Policy https://regulations.justia.com/regulations/fedreg/2019/10/24/2019-23157.html https://regulations.justia.com/regulations/fedreg/2019/10/24/2019-23157.html Thu, 24 Oct 2019 00:00:00 -0700 2019-23157 Notice https://www.govinfo.gov/content/pkg/FR-2019-10-24/pdf/2019-23157.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 521, Nullification and Adjustment of Options Transactions Including Obvious Errors, Interpretation and Policy .01, and Exchange Rule 530, Limit Up-Limit Down https://regulations.justia.com/regulations/fedreg/2019/10/24/2019-23156.html https://regulations.justia.com/regulations/fedreg/2019/10/24/2019-23156.html Thu, 24 Oct 2019 00:00:00 -0700 2019-23156 Notice https://www.govinfo.gov/content/pkg/FR-2019-10-24/pdf/2019-23156.pdf Notice - 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 Down https://regulations.justia.com/regulations/fedreg/2019/10/24/2019-23155.html https://regulations.justia.com/regulations/fedreg/2019/10/24/2019-23155.html Thu, 24 Oct 2019 00:00:00 -0700 2019-23155 Notice https://www.govinfo.gov/content/pkg/FR-2019-10-24/pdf/2019-23155.pdf Proposed Rule - Commission Statement on Market Structure Innovation for Thinly Traded Securities https://regulations.justia.com/regulations/fedreg/2019/10/24/2019-22994.html https://regulations.justia.com/regulations/fedreg/2019/10/24/2019-22994.html Thu, 24 Oct 2019 00:00:00 -0700 2019-22994 Proposed Rule https://www.govinfo.gov/content/pkg/FR-2019-10-24/pdf/2019-22994.pdf Notice - 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 Funds https://regulations.justia.com/regulations/fedreg/2019/10/24/2019-21515.html https://regulations.justia.com/regulations/fedreg/2019/10/24/2019-21515.html Thu, 24 Oct 2019 00:00:00 -0700 2019-21515 Notice https://www.govinfo.gov/content/pkg/FR-2019-10-24/pdf/2019-21515.pdf Rule - Exchange-Traded Funds https://regulations.justia.com/regulations/fedreg/2019/10/24/2019-21250.html https://regulations.justia.com/regulations/fedreg/2019/10/24/2019-21250.html Thu, 24 Oct 2019 00:00:00 -0700 2019-21250 Rule https://www.govinfo.gov/content/pkg/FR-2019-10-24/pdf/2019-21250.pdf