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?limit=200&registers=between&min-day=1&max-day=31&mode=atom 2024-04-15T22:00:06-07:00 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/2019/10/31/2019-23935.html Notice - Sunshine Act Meetings 2019-10-31T00:00:00-07:00 2019-10-31T00:00:00-07:00 2019-23935 Notice https://www.govinfo.gov/content/pkg/FR-2019-10-31/pdf/2019-23935.pdf https://regulations.justia.com/regulations/fedreg/2019/10/31/2019-23731.html Notice - Self-Regulatory Organizations; Nasdaq PHLX LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Phlx Rule 1097 2019-10-31T00:00:00-07:00 2019-10-31T00:00:00-07:00 2019-23731 Notice https://www.govinfo.gov/content/pkg/FR-2019-10-31/pdf/2019-23731.pdf https://regulations.justia.com/regulations/fedreg/2019/10/31/2019-23706.html Notice - Notice of Applications for Deregistration Under Section 8(f) of the Investment Company Act of 1940 2019-10-31T00:00:00-07:00 2019-10-31T00:00:00-07:00 2019-23706 Notice https://www.govinfo.gov/content/pkg/FR-2019-10-31/pdf/2019-23706.pdf https://regulations.justia.com/regulations/fedreg/2019/10/30/2019-23773.html Notice - Sunshine Act Meetings 2019-10-30T00:00:00-07:00 2019-10-30T00:00:00-07:00 2019-23773 Notice https://www.govinfo.gov/content/pkg/FR-2019-10-30/pdf/2019-23773.pdf https://regulations.justia.com/regulations/fedreg/2019/10/30/2019-23657.html Notice - Self-Regulatory Organizations; NYSE National, Inc.; Notice of Designation of a Longer Period for Commission Action on a Proposed Rule Change To Amend the Exchange's Price List Related to Co-Location Services To Offer Access to a Network Providing Connection to the Three Equities and Options Feeds 2019-10-30T00:00:00-07:00 2019-10-30T00:00:00-07:00 2019-23657 Notice https://www.govinfo.gov/content/pkg/FR-2019-10-30/pdf/2019-23657.pdf https://regulations.justia.com/regulations/fedreg/2019/10/30/2019-23656.html Notice - Self-Regulatory Organizations; NYSE American LLC; Notice of Designation of a Longer Period for Commission Action on a Proposed Rule Change To Amend the Exchange's Equities and Options Fee Schedules Related to Co-Location Services To Offer Access to a Network Providing Connection to the Three Equities and Options Feeds 2019-10-30T00:00:00-07:00 2019-10-30T00:00:00-07:00 2019-23656 Notice https://www.govinfo.gov/content/pkg/FR-2019-10-30/pdf/2019-23656.pdf https://regulations.justia.com/regulations/fedreg/2019/10/30/2019-23655.html Notice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Designation of a Longer Period for Commission Action on a Proposed Rule Change To Amend the Exchange's Options and Equities Fee Schedules Related to Co-Location Services To Offer Access to a Network Providing Connection to the Three Equities and Options Feeds 2019-10-30T00:00:00-07:00 2019-10-30T00:00:00-07:00 2019-23655 Notice https://www.govinfo.gov/content/pkg/FR-2019-10-30/pdf/2019-23655.pdf https://regulations.justia.com/regulations/fedreg/2019/10/30/2019-23654.html Notice - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Designation of a Longer Period for Commission Action on a Proposed Rule Change To Amend the Exchange's Price List Related to Co-Location Services To Offer Access to a Network Providing Connection to the Three Equities and Options Feeds 2019-10-30T00:00:00-07:00 2019-10-30T00:00:00-07:00 2019-23654 Notice https://www.govinfo.gov/content/pkg/FR-2019-10-30/pdf/2019-23654.pdf https://regulations.justia.com/regulations/fedreg/2019/10/30/2019-23650.html Notice - Self-Regulatory Organizations; Fixed Income Clearing Corporation; Notice of Filing of Proposed Rule Change To Require Confirmation of Cybersecurity Program 2019-10-30T00:00:00-07:00 2019-10-30T00:00:00-07:00 2019-23650 Notice https://www.govinfo.gov/content/pkg/FR-2019-10-30/pdf/2019-23650.pdf https://regulations.justia.com/regulations/fedreg/2019/10/30/2019-23632.html Notice - Self-Regulatory Organizations; National Securities Clearing Corporation; Notice of Filing of Proposed Rule Change To Require Confirmation of Cybersecurity Program 2019-10-30T00:00:00-07:00 2019-10-30T00:00:00-07:00 2019-23632 Notice https://www.govinfo.gov/content/pkg/FR-2019-10-30/pdf/2019-23632.pdf https://regulations.justia.com/regulations/fedreg/2019/10/30/2019-23629.html Notice - Self-Regulatory Organizations; The Depository Trust Company; Notice of Filing of Proposed Rule Change To Require Confirmation of Cybersecurity Program 2019-10-30T00:00:00-07:00 2019-10-30T00:00:00-07:00 2019-23629 Notice https://www.govinfo.gov/content/pkg/FR-2019-10-30/pdf/2019-23629.pdf https://regulations.justia.com/regulations/fedreg/2019/10/30/2019-23082.html Proposed Rule - Amendments to Procedures With Respect to Applications Under the Investment Company Act of 1940 2019-10-30T00:00:00-07:00 2019-10-30T00:00:00-07:00 2019-23082 Proposed Rule https://www.govinfo.gov/content/pkg/FR-2019-10-30/pdf/2019-23082.pdf https://regulations.justia.com/regulations/fedreg/2019/10/30/2019-21260.html Proposed Rule - Publication or Submission of Quotations Without Specified Information 2019-10-30T00:00:00-07:00 2019-10-30T00:00:00-07:00 2019-21260 Proposed Rule https://www.govinfo.gov/content/pkg/FR-2019-10-30/pdf/2019-21260.pdf https://regulations.justia.com/regulations/fedreg/2019/10/29/2019-23607.html Notice - Investor Advisory Committee Meeting 2019-10-29T00:00:00-07:00 2019-10-29T00:00:00-07:00 2019-23607 Notice https://www.govinfo.gov/content/pkg/FR-2019-10-29/pdf/2019-23607.pdf https://regulations.justia.com/regulations/fedreg/2019/10/29/2019-23602.html Notice - Submission for OMB Review; Comment Request 2019-10-29T00:00:00-07:00 2019-10-29T00:00:00-07:00 2019-23602 Notice https://www.govinfo.gov/content/pkg/FR-2019-10-29/pdf/2019-23602.pdf https://regulations.justia.com/regulations/fedreg/2019/10/29/2019-23601.html Notice - Submission for OMB Review; Comment Request 2019-10-29T00:00:00-07:00 2019-10-29T00:00:00-07:00 2019-23601 Notice https://www.govinfo.gov/content/pkg/FR-2019-10-29/pdf/2019-23601.pdf https://regulations.justia.com/regulations/fedreg/2019/10/29/2019-23600.html Notice - Submission for OMB Review; Comment Request 2019-10-29T00:00:00-07:00 2019-10-29T00:00:00-07:00 2019-23600 Notice https://www.govinfo.gov/content/pkg/FR-2019-10-29/pdf/2019-23600.pdf https://regulations.justia.com/regulations/fedreg/2019/10/29/2019-23599.html Notice - Submission for OMB Review; Comment Request 2019-10-29T00:00:00-07:00 2019-10-29T00:00:00-07:00 2019-23599 Notice https://www.govinfo.gov/content/pkg/FR-2019-10-29/pdf/2019-23599.pdf https://regulations.justia.com/regulations/fedreg/2019/10/29/2019-23598.html Notice - Submission for OMB Review; Comment Request 2019-10-29T00:00:00-07:00 2019-10-29T00:00:00-07:00 2019-23598 Notice https://www.govinfo.gov/content/pkg/FR-2019-10-29/pdf/2019-23598.pdf https://regulations.justia.com/regulations/fedreg/2019/10/29/2019-23597.html Notice - Proposed Collection; Comment Request 2019-10-29T00:00:00-07:00 2019-10-29T00:00:00-07:00 2019-23597 Notice https://www.govinfo.gov/content/pkg/FR-2019-10-29/pdf/2019-23597.pdf https://regulations.justia.com/regulations/fedreg/2019/10/29/2019-23596.html Notice - Submission for OMB Review; Comment Request 2019-10-29T00:00:00-07:00 2019-10-29T00:00:00-07:00 2019-23596 Notice https://www.govinfo.gov/content/pkg/FR-2019-10-29/pdf/2019-23596.pdf https://regulations.justia.com/regulations/fedreg/2019/10/29/2019-23554.html Notice - MassMutual Select Funds, et al. 2019-10-29T00:00:00-07:00 2019-10-29T00:00:00-07:00 2019-23554 Notice https://www.govinfo.gov/content/pkg/FR-2019-10-29/pdf/2019-23554.pdf https://regulations.justia.com/regulations/fedreg/2019/10/29/2019-23552.html Notice - Self-Regulatory Organizations; LCH SA; Notice of Filing of a Proposed Rule Change Relating to the Updated 2018 Version of the Recovery Plan 2019-10-29T00:00:00-07:00 2019-10-29T00:00:00-07:00 2019-23552 Notice https://www.govinfo.gov/content/pkg/FR-2019-10-29/pdf/2019-23552.pdf https://regulations.justia.com/regulations/fedreg/2019/10/29/2019-23551.html Notice - Self-Regulatory Organizations; The Options Clearing Corporation; Notice of Filing of Proposed Rule Change Related to Proposed Changes to the Options Clearing Corporation's Rules, Margin Policy, Margin Methodology, Clearing Fund Methodology Policy, and Clearing Fund and Stress Testing Methodology To Address Specific Wrong-Way Risk 2019-10-29T00:00:00-07:00 2019-10-29T00:00:00-07:00 2019-23551 Notice https://www.govinfo.gov/content/pkg/FR-2019-10-29/pdf/2019-23551.pdf https://regulations.justia.com/regulations/fedreg/2019/10/29/2019-23550.html Notice - Self-Regulatory Organizations; The Options Clearing Corporation; Notice of Filing of Proposed Rule Change Related to Proposed Changes to The Options Clearing Corporation's Rules, Clearing Fund Methodology Policy, and Clearing Fund and Stress Testing Methodology 2019-10-29T00:00:00-07:00 2019-10-29T00:00:00-07:00 2019-23550 Notice https://www.govinfo.gov/content/pkg/FR-2019-10-29/pdf/2019-23550.pdf https://regulations.justia.com/regulations/fedreg/2019/10/29/2019-23549.html Notice - Self-Regulatory Organizations; NYSE Arca, Inc.; Order Instituting Proceedings To Determine Whether To Approve or Disapprove 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 2019-10-29T00:00:00-07:00 2019-10-29T00:00:00-07:00 2019-23549 Notice https://www.govinfo.gov/content/pkg/FR-2019-10-29/pdf/2019-23549.pdf https://regulations.justia.com/regulations/fedreg/2019/10/29/2019-23548.html Notice - Self-Regulatory Organizations; The Nasdaq Stock Market LLC; Order Instituting Proceedings To Determine Whether To Approve or Disapprove a Proposed Rule Change To Amend Rule 4121 2019-10-29T00:00:00-07:00 2019-10-29T00:00:00-07:00 2019-23548 Notice https://www.govinfo.gov/content/pkg/FR-2019-10-29/pdf/2019-23548.pdf https://regulations.justia.com/regulations/fedreg/2019/10/29/2019-23547.html Notice - Self-Regulatory Organizations; Nasdaq ISE, LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the Market Maker Plus Program 2019-10-29T00:00:00-07:00 2019-10-29T00:00:00-07:00 2019-23547 Notice https://www.govinfo.gov/content/pkg/FR-2019-10-29/pdf/2019-23547.pdf https://regulations.justia.com/regulations/fedreg/2019/10/29/2019-23546.html Notice - Self-Regulatory Organizations; NYSE Chicago, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Establish the NYSE Chicago BBO, NYSE Chicago Trades and NYSE Chicago Integrated Feed Market Data Feeds 2019-10-29T00:00:00-07:00 2019-10-29T00:00:00-07:00 2019-23546 Notice https://www.govinfo.gov/content/pkg/FR-2019-10-29/pdf/2019-23546.pdf https://regulations.justia.com/regulations/fedreg/2019/10/28/2019-23428.html Notice - Self-Regulatory Organizations; Nasdaq ISE, LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Extend the Pilot Period for the Exchange's Nonstandard Expirations Pilot Program 2019-10-28T00:00:00-07:00 2019-10-28T00:00:00-07:00 2019-23428 Notice https://www.govinfo.gov/content/pkg/FR-2019-10-28/pdf/2019-23428.pdf https://regulations.justia.com/regulations/fedreg/2019/10/28/2019-23427.html Notice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing of Amendment No. 3 and Order Granting Accelerated Approval of a Proposed Rule Change, as Modified by Amendment No. 3, To Amend NYSE Arca Rule 5.2-E(j)(3) To Adopt Generic Listing Standards for Investment Company Units Based on an Index or Portfolio of Municipal Securities 2019-10-28T00:00:00-07:00 2019-10-28T00:00:00-07:00 2019-23427 Notice https://www.govinfo.gov/content/pkg/FR-2019-10-28/pdf/2019-23427.pdf https://regulations.justia.com/regulations/fedreg/2019/10/28/2019-23426.html Notice - Self-Regulatory Organizations; Nasdaq PHLX LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Extend the Pilot Period for the Exchange's Nonstandard Expirations Pilot Program 2019-10-28T00:00:00-07:00 2019-10-28T00:00:00-07:00 2019-23426 Notice https://www.govinfo.gov/content/pkg/FR-2019-10-28/pdf/2019-23426.pdf https://regulations.justia.com/regulations/fedreg/2019/10/28/2019-23425.html Notice - Self-Regulatory Organizations; Nasdaq ISE, LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Extend the Pilot Period To Permit the Listing and Trading of Options Based on 1/5 2019-10-28T00:00:00-07:00 2019-10-28T00:00:00-07:00 2019-23425 Notice https://www.govinfo.gov/content/pkg/FR-2019-10-28/pdf/2019-23425.pdf https://regulations.justia.com/regulations/fedreg/2019/10/28/2019-23424.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 for Complex Order Transactions 2019-10-28T00:00:00-07:00 2019-10-28T00:00:00-07:00 2019-23424 Notice https://www.govinfo.gov/content/pkg/FR-2019-10-28/pdf/2019-23424.pdf https://regulations.justia.com/regulations/fedreg/2019/10/25/2019-23277.html Notice - Self-Regulatory Organizations; Nasdaq BX, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the Exchange's Pricing Schedule, at Equity 7, Section 118(a) 2019-10-25T00:00:00-07:00 2019-10-25T00:00:00-07:00 2019-23277 Notice https://www.govinfo.gov/content/pkg/FR-2019-10-25/pdf/2019-23277.pdf https://regulations.justia.com/regulations/fedreg/2019/10/25/2019-23271.html Notice - Self-Regulatory Organizations; Cboe EDGA Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Extend the Current Pilot Program Related to EDGA Rule 11.15, Clearly Erroneous Executions, to the Close of Business on April 20, 2020 2019-10-25T00:00:00-07:00 2019-10-25T00:00:00-07:00 2019-23271 Notice https://www.govinfo.gov/content/pkg/FR-2019-10-25/pdf/2019-23271.pdf https://regulations.justia.com/regulations/fedreg/2019/10/25/2019-23270.html Notice - Self-Regulatory Organizations; Cboe BZX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Extend the Current Pilot Program Related to BZX Rule 11.17, Clearly Erroneous Executions, to the Close of Business on April 20, 2020 2019-10-25T00:00:00-07:00 2019-10-25T00:00:00-07:00 2019-23270 Notice https://www.govinfo.gov/content/pkg/FR-2019-10-25/pdf/2019-23270.pdf https://regulations.justia.com/regulations/fedreg/2019/10/25/2019-23269.html Notice - Self-Regulatory Organizations; Cboe BYX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Extend the Current Pilot Program Related to BYX Rule 11.17, Clearly Erroneous Executions, to the Close of Business on April 20, 2020 2019-10-25T00:00:00-07:00 2019-10-25T00:00:00-07:00 2019-23269 Notice https://www.govinfo.gov/content/pkg/FR-2019-10-25/pdf/2019-23269.pdf https://regulations.justia.com/regulations/fedreg/2019/10/25/2019-23265.html Notice - Self-Regulatory Organizations; Cboe Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend and Consolidate Various Exchange Rules Relating to Trading Permit Holder Membership, Registration and Participants and Move Those Rules From the Currently Effective Rulebook to Proposed Chapter 3 of 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 2019-10-25T00:00:00-07:00 2019-10-25T00:00:00-07:00 2019-23265 Notice https://www.govinfo.gov/content/pkg/FR-2019-10-25/pdf/2019-23265.pdf https://regulations.justia.com/regulations/fedreg/2019/10/25/2019-23262.html Notice - Self-Regulatory Organizations; MIAX Emerald, 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 2019-10-25T00:00:00-07:00 2019-10-25T00:00:00-07:00 2019-23262 Notice https://www.govinfo.gov/content/pkg/FR-2019-10-25/pdf/2019-23262.pdf https://regulations.justia.com/regulations/fedreg/2019/10/25/2019-23261.html Notice - Self-Regulatory Organizations; BOX Exchange LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Exchange Rule IM-7170-1, To Make Permanent the Exchange Rule That Is Linked to the Equity Market Plan To Address Extraordinary Market Volatility 2019-10-25T00:00:00-07:00 2019-10-25T00:00:00-07:00 2019-23261 Notice https://www.govinfo.gov/content/pkg/FR-2019-10-25/pdf/2019-23261.pdf https://regulations.justia.com/regulations/fedreg/2019/10/25/2019-23260.html Notice - Self-Regulatory Organizations; Cboe Exchange, Inc.; Order Instituting Proceedings To Determine Whether To Approve or Disapprove a Proposed Rule Change, as Modified by Amendment Nos. 1 and 2, Regarding Off-Floor Position Transfers 2019-10-25T00:00:00-07:00 2019-10-25T00:00:00-07:00 2019-23260 Notice https://www.govinfo.gov/content/pkg/FR-2019-10-25/pdf/2019-23260.pdf https://regulations.justia.com/regulations/fedreg/2019/10/25/2019-23259.html Notice - Self-Regulatory Organizations; Nasdaq MRX, 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 2019-10-25T00:00:00-07:00 2019-10-25T00:00:00-07:00 2019-23259 Notice https://www.govinfo.gov/content/pkg/FR-2019-10-25/pdf/2019-23259.pdf https://regulations.justia.com/regulations/fedreg/2019/10/25/2019-23258.html Notice - Self-Regulatory Organizations; Nasdaq ISE, 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 2019-10-25T00:00:00-07:00 2019-10-25T00:00:00-07:00 2019-23258 Notice https://www.govinfo.gov/content/pkg/FR-2019-10-25/pdf/2019-23258.pdf https://regulations.justia.com/regulations/fedreg/2019/10/25/2019-23257.html Notice - Self-Regulatory Organizations; Nasdaq GEMX, 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 2019-10-25T00:00:00-07:00 2019-10-25T00:00:00-07:00 2019-23257 Notice https://www.govinfo.gov/content/pkg/FR-2019-10-25/pdf/2019-23257.pdf https://regulations.justia.com/regulations/fedreg/2019/10/25/2019-23256.html Notice - Self-Regulatory Organizations; The Nasdaq Stock Market 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 2019-10-25T00:00:00-07:00 2019-10-25T00:00:00-07:00 2019-23256 Notice https://www.govinfo.gov/content/pkg/FR-2019-10-25/pdf/2019-23256.pdf https://regulations.justia.com/regulations/fedreg/2019/10/25/2019-23255.html Notice - Self-Regulatory Organizations; Nasdaq PHLX 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 2019-10-25T00:00:00-07:00 2019-10-25T00:00:00-07:00 2019-23255 Notice https://www.govinfo.gov/content/pkg/FR-2019-10-25/pdf/2019-23255.pdf https://regulations.justia.com/regulations/fedreg/2019/10/25/2019-23254.html Notice - Self-Regulatory Organizations; Nasdaq BX, 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 2019-10-25T00:00:00-07:00 2019-10-25T00:00:00-07:00 2019-23254 Notice https://www.govinfo.gov/content/pkg/FR-2019-10-25/pdf/2019-23254.pdf https://regulations.justia.com/regulations/fedreg/2019/10/25/2019-23253.html Notice - Self-Regulatory Organizations; Cboe EDGX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Extend the Current Pilot Program Related to EDGX Rule 11.15, Clearly Erroneous Executions, to the Close of Business on April 20, 2020 2019-10-25T00:00:00-07:00 2019-10-25T00:00:00-07:00 2019-23253 Notice https://www.govinfo.gov/content/pkg/FR-2019-10-25/pdf/2019-23253.pdf https://regulations.justia.com/regulations/fedreg/2019/10/24/2019-23211.html Rule - Adoption of Updated EDGAR Filer Manual 2019-10-24T00:00:00-07:00 2019-10-24T00:00:00-07:00 2019-23211 Rule https://www.govinfo.gov/content/pkg/FR-2019-10-24/pdf/2019-23211.pdf https://regulations.justia.com/regulations/fedreg/2019/10/24/2019-23176.html 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 2019-10-24T00:00:00-07:00 2019-10-24T00:00:00-07:00 2019-23176 Notice https://www.govinfo.gov/content/pkg/FR-2019-10-24/pdf/2019-23176.pdf https://regulations.justia.com/regulations/fedreg/2019/10/24/2019-23175.html 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 2019-10-24T00:00:00-07:00 2019-10-24T00:00:00-07:00 2019-23175 Notice https://www.govinfo.gov/content/pkg/FR-2019-10-24/pdf/2019-23175.pdf https://regulations.justia.com/regulations/fedreg/2019/10/24/2019-23174.html 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 2019-10-24T00:00:00-07:00 2019-10-24T00:00:00-07:00 2019-23174 Notice https://www.govinfo.gov/content/pkg/FR-2019-10-24/pdf/2019-23174.pdf https://regulations.justia.com/regulations/fedreg/2019/10/24/2019-23173.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 Program Related to FINRA Rule 11892 (Clearly Erroneous Transactions in Exchange-Listed Securities) 2019-10-24T00:00:00-07:00 2019-10-24T00:00:00-07:00 2019-23173 Notice https://www.govinfo.gov/content/pkg/FR-2019-10-24/pdf/2019-23173.pdf https://regulations.justia.com/regulations/fedreg/2019/10/24/2019-23172.html 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 2019-10-24T00:00:00-07:00 2019-10-24T00:00:00-07:00 2019-23172 Notice https://www.govinfo.gov/content/pkg/FR-2019-10-24/pdf/2019-23172.pdf https://regulations.justia.com/regulations/fedreg/2019/10/24/2019-23171.html 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 2019-10-24T00:00:00-07:00 2019-10-24T00:00:00-07:00 2019-23171 Notice https://www.govinfo.gov/content/pkg/FR-2019-10-24/pdf/2019-23171.pdf https://regulations.justia.com/regulations/fedreg/2019/10/24/2019-23170.html 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 2019-10-24T00:00:00-07:00 2019-10-24T00:00:00-07:00 2019-23170 Notice https://www.govinfo.gov/content/pkg/FR-2019-10-24/pdf/2019-23170.pdf https://regulations.justia.com/regulations/fedreg/2019/10/24/2019-23169.html 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 2019-10-24T00:00:00-07:00 2019-10-24T00:00:00-07:00 2019-23169 Notice https://www.govinfo.gov/content/pkg/FR-2019-10-24/pdf/2019-23169.pdf https://regulations.justia.com/regulations/fedreg/2019/10/24/2019-23168.html 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 2019-10-24T00:00:00-07:00 2019-10-24T00:00:00-07:00 2019-23168 Notice https://www.govinfo.gov/content/pkg/FR-2019-10-24/pdf/2019-23168.pdf https://regulations.justia.com/regulations/fedreg/2019/10/24/2019-23167.html 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 2019-10-24T00:00:00-07:00 2019-10-24T00:00:00-07:00 2019-23167 Notice https://www.govinfo.gov/content/pkg/FR-2019-10-24/pdf/2019-23167.pdf https://regulations.justia.com/regulations/fedreg/2019/10/24/2019-23166.html 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 2019-10-24T00:00:00-07:00 2019-10-24T00:00:00-07:00 2019-23166 Notice https://www.govinfo.gov/content/pkg/FR-2019-10-24/pdf/2019-23166.pdf https://regulations.justia.com/regulations/fedreg/2019/10/24/2019-23165.html 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 2019-10-24T00:00:00-07:00 2019-10-24T00:00:00-07:00 2019-23165 Notice https://www.govinfo.gov/content/pkg/FR-2019-10-24/pdf/2019-23165.pdf https://regulations.justia.com/regulations/fedreg/2019/10/24/2019-23164.html 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 2019-10-24T00:00:00-07:00 2019-10-24T00:00:00-07:00 2019-23164 Notice https://www.govinfo.gov/content/pkg/FR-2019-10-24/pdf/2019-23164.pdf https://regulations.justia.com/regulations/fedreg/2019/10/24/2019-23163.html 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 2019-10-24T00:00:00-07:00 2019-10-24T00:00:00-07:00 2019-23163 Notice https://www.govinfo.gov/content/pkg/FR-2019-10-24/pdf/2019-23163.pdf https://regulations.justia.com/regulations/fedreg/2019/10/24/2019-23162.html 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 2019-10-24T00:00:00-07:00 2019-10-24T00:00:00-07:00 2019-23162 Notice https://www.govinfo.gov/content/pkg/FR-2019-10-24/pdf/2019-23162.pdf https://regulations.justia.com/regulations/fedreg/2019/10/24/2019-23161.html 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 2019-10-24T00:00:00-07:00 2019-10-24T00:00:00-07:00 2019-23161 Notice https://www.govinfo.gov/content/pkg/FR-2019-10-24/pdf/2019-23161.pdf https://regulations.justia.com/regulations/fedreg/2019/10/24/2019-23160.html 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 2019-10-24T00:00:00-07:00 2019-10-24T00:00:00-07:00 2019-23160 Notice https://www.govinfo.gov/content/pkg/FR-2019-10-24/pdf/2019-23160.pdf https://regulations.justia.com/regulations/fedreg/2019/10/24/2019-23159.html 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 2019-10-24T00:00:00-07:00 2019-10-24T00:00:00-07:00 2019-23159 Notice https://www.govinfo.gov/content/pkg/FR-2019-10-24/pdf/2019-23159.pdf https://regulations.justia.com/regulations/fedreg/2019/10/24/2019-23158.html 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 2019-10-24T00:00:00-07:00 2019-10-24T00:00:00-07:00 2019-23158 Notice https://www.govinfo.gov/content/pkg/FR-2019-10-24/pdf/2019-23158.pdf https://regulations.justia.com/regulations/fedreg/2019/10/24/2019-23157.html 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 2019-10-24T00:00:00-07:00 2019-10-24T00:00:00-07:00 2019-23157 Notice https://www.govinfo.gov/content/pkg/FR-2019-10-24/pdf/2019-23157.pdf https://regulations.justia.com/regulations/fedreg/2019/10/24/2019-23156.html 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 2019-10-24T00:00:00-07:00 2019-10-24T00:00:00-07:00 2019-23156 Notice https://www.govinfo.gov/content/pkg/FR-2019-10-24/pdf/2019-23156.pdf https://regulations.justia.com/regulations/fedreg/2019/10/24/2019-23155.html 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 2019-10-24T00:00:00-07:00 2019-10-24T00:00:00-07:00 2019-23155 Notice https://www.govinfo.gov/content/pkg/FR-2019-10-24/pdf/2019-23155.pdf https://regulations.justia.com/regulations/fedreg/2019/10/24/2019-22994.html Proposed Rule - Commission Statement on Market Structure Innovation for Thinly Traded Securities 2019-10-24T00:00:00-07:00 2019-10-24T00:00:00-07:00 2019-22994 Proposed Rule https://www.govinfo.gov/content/pkg/FR-2019-10-24/pdf/2019-22994.pdf https://regulations.justia.com/regulations/fedreg/2019/10/24/2019-21515.html 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 2019-10-24T00:00:00-07:00 2019-10-24T00:00:00-07:00 2019-21515 Notice https://www.govinfo.gov/content/pkg/FR-2019-10-24/pdf/2019-21515.pdf https://regulations.justia.com/regulations/fedreg/2019/10/24/2019-21250.html Rule - Exchange-Traded Funds 2019-10-24T00:00:00-07:00 2019-10-24T00:00:00-07:00 2019-21250 Rule https://www.govinfo.gov/content/pkg/FR-2019-10-24/pdf/2019-21250.pdf https://regulations.justia.com/regulations/fedreg/2019/10/23/2019-23191.html Notice - Sunshine Act Meeting; Cancellation 2019-10-23T00:00:00-07:00 2019-10-23T00:00:00-07:00 2019-23191 Notice https://www.govinfo.gov/content/pkg/FR-2019-10-23/pdf/2019-23191.pdf https://regulations.justia.com/regulations/fedreg/2019/10/23/2019-23059.html Notice - Self-Regulatory Organizations; Cboe Exchange, Inc.; Order Approving on an Accelerated Basis a Proposed Rule Change, as Modified by Amendment Nos. 2 and 3, To Adopt Rule 6.9 (In-Kind Exchange of Options Positions and ETF Shares) 2019-10-23T00:00:00-07:00 2019-10-23T00:00:00-07:00 2019-23059 Notice https://www.govinfo.gov/content/pkg/FR-2019-10-23/pdf/2019-23059.pdf https://regulations.justia.com/regulations/fedreg/2019/10/23/2019-23058.html Notice - Self-Regulatory Organizations; Cboe EDGX 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 11.16 2019-10-23T00:00:00-07:00 2019-10-23T00:00:00-07:00 2019-23058 Notice https://www.govinfo.gov/content/pkg/FR-2019-10-23/pdf/2019-23058.pdf https://regulations.justia.com/regulations/fedreg/2019/10/23/2019-23057.html Notice - Self-Regulatory Organizations; Cboe Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend its Fees Schedule To Modify Certain Processes and Requirements Relating to the Submission of Rebate Requests 2019-10-23T00:00:00-07:00 2019-10-23T00:00:00-07:00 2019-23057 Notice https://www.govinfo.gov/content/pkg/FR-2019-10-23/pdf/2019-23057.pdf https://regulations.justia.com/regulations/fedreg/2019/10/23/2019-23056.html Notice - Self-Regulatory Organizations; Cboe Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Make Minor Amendments to and Relocate Certain Rules Related to the Listing of Index Options (Including Binary and Range Options) From the Currently Effective Rulebook to Proposed Chapter 4, Section B of 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 2019-10-23T00:00:00-07:00 2019-10-23T00:00:00-07:00 2019-23056 Notice https://www.govinfo.gov/content/pkg/FR-2019-10-23/pdf/2019-23056.pdf https://regulations.justia.com/regulations/fedreg/2019/10/23/2019-23055.html Notice - Self-Regulatory Organizations; Cboe BZX 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 2019-10-23T00:00:00-07:00 2019-10-23T00:00:00-07:00 2019-23055 Notice https://www.govinfo.gov/content/pkg/FR-2019-10-23/pdf/2019-23055.pdf https://regulations.justia.com/regulations/fedreg/2019/10/23/2019-23054.html Notice - Self-Regulatory Organizations; Cboe EDGA 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 11.16 2019-10-23T00:00:00-07:00 2019-10-23T00:00:00-07:00 2019-23054 Notice https://www.govinfo.gov/content/pkg/FR-2019-10-23/pdf/2019-23054.pdf https://regulations.justia.com/regulations/fedreg/2019/10/23/2019-23053.html Notice - Self-Regulatory Organizations; ICE Clear Europe Limited; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Amendments to Futures and Options Risk Procedures (the “F&O Risk Procedures”).1 2019-10-23T00:00:00-07:00 2019-10-23T00:00:00-07:00 2019-23053 Notice https://www.govinfo.gov/content/pkg/FR-2019-10-23/pdf/2019-23053.pdf https://regulations.justia.com/regulations/fedreg/2019/10/23/2019-23052.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 Add an Additional Step Up Credit Tier 2019-10-23T00:00:00-07:00 2019-10-23T00:00:00-07:00 2019-23052 Notice https://www.govinfo.gov/content/pkg/FR-2019-10-23/pdf/2019-23052.pdf https://regulations.justia.com/regulations/fedreg/2019/10/23/2019-23051.html Notice - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing of Proposed Rule Change To Permit the Exchange To List and Trade Exchange Traded Products 2019-10-23T00:00:00-07:00 2019-10-23T00:00:00-07:00 2019-23051 Notice https://www.govinfo.gov/content/pkg/FR-2019-10-23/pdf/2019-23051.pdf https://regulations.justia.com/regulations/fedreg/2019/10/23/2019-23050.html Notice - Self-Regulatory Organizations; The Nasdaq Stock Market LLC; Notice of Designation of a Longer Period for Commission Action on a Proposed Rule Change To Adopt Requirements for the Nasdaq Capital and Global Markets Applicable to Direct Listings 2019-10-23T00:00:00-07:00 2019-10-23T00:00:00-07:00 2019-23050 Notice https://www.govinfo.gov/content/pkg/FR-2019-10-23/pdf/2019-23050.pdf https://regulations.justia.com/regulations/fedreg/2019/10/22/2019-22944.html Notice - Self-Regulatory Organizations; NYSE American LLC; Order Approving a Proposed Rule Change To Modify Rules 967NY and 953.1NY Regarding the Treatment of Orders Subject To Trade Collar Protection 2019-10-22T00:00:00-07:00 2019-10-22T00:00:00-07:00 2019-22944 Notice https://www.govinfo.gov/content/pkg/FR-2019-10-22/pdf/2019-22944.pdf https://regulations.justia.com/regulations/fedreg/2019/10/22/2019-22943.html Notice - Self-Regulatory Organizations; NYSE National, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Change To Amend the Certificate of Incorporation of Intercontinental Exchange, Inc. 2019-10-22T00:00:00-07:00 2019-10-22T00:00:00-07:00 2019-22943 Notice https://www.govinfo.gov/content/pkg/FR-2019-10-22/pdf/2019-22943.pdf https://regulations.justia.com/regulations/fedreg/2019/10/22/2019-22942.html Notice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the Certificate of Incorporation of Intercontinental Exchange, Inc. 2019-10-22T00:00:00-07:00 2019-10-22T00:00:00-07:00 2019-22942 Notice https://www.govinfo.gov/content/pkg/FR-2019-10-22/pdf/2019-22942.pdf https://regulations.justia.com/regulations/fedreg/2019/10/22/2019-22937.html Notice - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Change To Amend the Certificate of Incorporation of Intercontinental Exchange, Inc. 2019-10-22T00:00:00-07:00 2019-10-22T00:00:00-07:00 2019-22937 Notice https://www.govinfo.gov/content/pkg/FR-2019-10-22/pdf/2019-22937.pdf https://regulations.justia.com/regulations/fedreg/2019/10/22/2019-22936.html Notice - Self-Regulatory Organizations; Cboe Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating To Move Certain Rules in Chapter XXIX of the Currently Effective Rulebook to Proposed Section E 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 2019-10-22T00:00:00-07:00 2019-10-22T00:00:00-07:00 2019-22936 Notice https://www.govinfo.gov/content/pkg/FR-2019-10-22/pdf/2019-22936.pdf https://regulations.justia.com/regulations/fedreg/2019/10/22/2019-22935.html Notice - Self-Regulatory Organizations; Cboe Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating To Relocate Various Exchange Rules From the Currently Effective to the Shell Structure for the Exchange's Rulebook That Will Become Effective Upon the Migration of the Exchange's Trading Platform 2019-10-22T00:00:00-07:00 2019-10-22T00:00:00-07:00 2019-22935 Notice https://www.govinfo.gov/content/pkg/FR-2019-10-22/pdf/2019-22935.pdf https://regulations.justia.com/regulations/fedreg/2019/10/22/2019-22934.html Notice - Self-Regulatory Organizations; Cboe Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating To Move Certain Rules in Chapter XXIII of the Currently Effective Rulebook to Proposed Section G 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 2019-10-22T00:00:00-07:00 2019-10-22T00:00:00-07:00 2019-22934 Notice https://www.govinfo.gov/content/pkg/FR-2019-10-22/pdf/2019-22934.pdf https://regulations.justia.com/regulations/fedreg/2019/10/22/2019-22933.html Notice - Self-Regulatory Organizations; NYSE Chicago, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the Certificate of Incorporation of Intercontinental Exchange, Inc. 2019-10-22T00:00:00-07:00 2019-10-22T00:00:00-07:00 2019-22933 Notice https://www.govinfo.gov/content/pkg/FR-2019-10-22/pdf/2019-22933.pdf https://regulations.justia.com/regulations/fedreg/2019/10/22/2019-22932.html Notice - Self-Regulatory Organizations; NYSE American LLC; Notice of Filing and Immediate Effectiveness of Proposed Change To Amend the Certificate of Incorporation of Intercontinental Exchange, Inc. 2019-10-22T00:00:00-07:00 2019-10-22T00:00:00-07:00 2019-22932 Notice https://www.govinfo.gov/content/pkg/FR-2019-10-22/pdf/2019-22932.pdf https://regulations.justia.com/regulations/fedreg/2019/10/22/2019-22931.html Notice - Self-Regulatory Organizations; NYSE Arca, Inc.; Order Approving a Proposed Rule Change To Modify Rules 6.60-O and 6.65A-O Regarding the Treatment of Orders Subject to Trade Collar Protection 2019-10-22T00:00:00-07:00 2019-10-22T00:00:00-07:00 2019-22931 Notice https://www.govinfo.gov/content/pkg/FR-2019-10-22/pdf/2019-22931.pdf https://regulations.justia.com/regulations/fedreg/2019/10/21/2019-22962.html Notice - Sunshine Act Meetings 2019-10-21T00:00:00-07:00 2019-10-21T00:00:00-07:00 2019-22962 Notice https://www.govinfo.gov/content/pkg/FR-2019-10-21/pdf/2019-22962.pdf https://regulations.justia.com/regulations/fedreg/2019/10/21/2019-22961.html Notice - Sunshine Act Meetings 2019-10-21T00:00:00-07:00 2019-10-21T00:00:00-07:00 2019-22961 Notice https://www.govinfo.gov/content/pkg/FR-2019-10-21/pdf/2019-22961.pdf https://regulations.justia.com/regulations/fedreg/2019/10/21/2019-22884.html Notice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing of Amendment No. 1 to 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 2019-10-21T00:00:00-07:00 2019-10-21T00:00:00-07:00 2019-22884 Notice https://www.govinfo.gov/content/pkg/FR-2019-10-21/pdf/2019-22884.pdf https://regulations.justia.com/regulations/fedreg/2019/10/21/2019-22841.html Notice - Self-Regulatory Organizations; ICE Clear Credit LLC; Notice of Filing of Partial Amendment No. 1 and Order Granting Accelerated Approval of Proposed Rule Change, as Modified by Partial Amendment No. 1, Relating to the ICC Rules, ICC End-of-Day Price Discovery Policies and Procedures, and ICC Risk Management Framework 2019-10-21T00:00:00-07:00 2019-10-21T00:00:00-07:00 2019-22841 Notice https://www.govinfo.gov/content/pkg/FR-2019-10-21/pdf/2019-22841.pdf https://regulations.justia.com/regulations/fedreg/2019/10/21/2019-22839.html Notice - Self-Regulatory Organizations; Cboe Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend its Fees Schedule 2019-10-21T00:00:00-07:00 2019-10-21T00:00:00-07:00 2019-22839 Notice https://www.govinfo.gov/content/pkg/FR-2019-10-21/pdf/2019-22839.pdf https://regulations.justia.com/regulations/fedreg/2019/10/21/2019-22838.html Notice - Self-Regulatory Organizations; Cboe Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend its Fees Schedule in Connection With Migration 2019-10-21T00:00:00-07:00 2019-10-21T00:00:00-07:00 2019-22838 Notice https://www.govinfo.gov/content/pkg/FR-2019-10-21/pdf/2019-22838.pdf https://regulations.justia.com/regulations/fedreg/2019/10/21/2019-22837.html Notice - Self-Regulatory Organizations; Investors Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend IEX Rule 11.280 To Extend the Pilot Period for the Market-Wide Circuit Breaker to the Close of Business on October 18, 2020 and To Clarify That the Remaining Parts of Rule 11.280 Are Not Subject to Any Pilot Period 2019-10-21T00:00:00-07:00 2019-10-21T00:00:00-07:00 2019-22837 Notice https://www.govinfo.gov/content/pkg/FR-2019-10-21/pdf/2019-22837.pdf https://regulations.justia.com/regulations/fedreg/2019/10/21/2019-22836.html Notice - Self-Regulatory Organizations; Cboe BZX 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 2019-10-21T00:00:00-07:00 2019-10-21T00:00:00-07:00 2019-22836 Notice https://www.govinfo.gov/content/pkg/FR-2019-10-21/pdf/2019-22836.pdf https://regulations.justia.com/regulations/fedreg/2019/10/21/2019-22835.html Notice - Self-Regulatory Organizations; Cboe Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating To Move Certain Rules in Chapter XXI of the Currently Effective Rulebook to Proposed Section F 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 2019-10-21T00:00:00-07:00 2019-10-21T00:00:00-07:00 2019-22835 Notice https://www.govinfo.gov/content/pkg/FR-2019-10-21/pdf/2019-22835.pdf https://regulations.justia.com/regulations/fedreg/2019/10/21/2019-22834.html Notice - Self-Regulatory Organizations; Cboe Exchange, Inc.; Notice of Filing of Amendment No. 2 and Order Granting Accelerated Approval of a Proposed Rule Change, as Modified by Amendment Nos. 1 and 2, To Make Permanent Certain Options Market Rules That Are Linked to the Equity Market Plan To Address Extraordinary Market Volatility 2019-10-21T00:00:00-07:00 2019-10-21T00:00:00-07:00 2019-22834 Notice https://www.govinfo.gov/content/pkg/FR-2019-10-21/pdf/2019-22834.pdf https://regulations.justia.com/regulations/fedreg/2019/10/21/2019-22833.html Notice - Self-Regulatory Organizations; Cboe BYX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the Fee Schedule Applicable to Members and Non-Members of the Exchange Pursuant to BYX Rules 15.1(a) and (c) 2019-10-21T00:00:00-07:00 2019-10-21T00:00:00-07:00 2019-22833 Notice https://www.govinfo.gov/content/pkg/FR-2019-10-21/pdf/2019-22833.pdf https://regulations.justia.com/regulations/fedreg/2019/10/21/2019-22832.html Notice - Self-Regulatory Organizations; Cboe BZX Exchange, Inc.; Notice of Designation of a Longer Period for Commission Action on Proceedings To Determine Whether To Approve or Disapprove a Proposed Rule Change To Amend Rule 14.11(c) (Index Fund Shares) To Adopt Generic Listing Standards for Index Fund Shares Based on an Index of Municipal Securities 2019-10-21T00:00:00-07:00 2019-10-21T00:00:00-07:00 2019-22832 Notice https://www.govinfo.gov/content/pkg/FR-2019-10-21/pdf/2019-22832.pdf https://regulations.justia.com/regulations/fedreg/2019/10/21/2019-22831.html Notice - Self-Regulatory Organizations; Cboe BYX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Introduce a Small Retail Broker Distribution Program 2019-10-21T00:00:00-07:00 2019-10-21T00:00:00-07:00 2019-22831 Notice https://www.govinfo.gov/content/pkg/FR-2019-10-21/pdf/2019-22831.pdf https://regulations.justia.com/regulations/fedreg/2019/10/21/2019-22830.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 2019-10-21T00:00:00-07:00 2019-10-21T00:00:00-07:00 2019-22830 Notice https://www.govinfo.gov/content/pkg/FR-2019-10-21/pdf/2019-22830.pdf https://regulations.justia.com/regulations/fedreg/2019/10/21/2019-22829.html Notice - Self-Regulatory Organizations; Cboe Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to Move Certain Rules in Chapter XXVIII of the Currently Effective Rulebook to Proposed Section D 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 2019-10-21T00:00:00-07:00 2019-10-21T00:00:00-07:00 2019-22829 Notice https://www.govinfo.gov/content/pkg/FR-2019-10-21/pdf/2019-22829.pdf https://regulations.justia.com/regulations/fedreg/2019/10/21/2019-22828.html Notice - Self-Regulatory Organizations; Cboe BZX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Introduce a Small Retail Broker Distribution Program 2019-10-21T00:00:00-07:00 2019-10-21T00:00:00-07:00 2019-22828 Notice https://www.govinfo.gov/content/pkg/FR-2019-10-21/pdf/2019-22828.pdf https://regulations.justia.com/regulations/fedreg/2019/10/18/C1-2019-21473.html Notice - Self-Regulatory Organizations; Cboe EDGA Exchange, Inc.; Suspension of and Order Instituting Proceedings To Determine Whether To Approve or Disapprove a Proposed Rule Change Amending the Fee Schedule Assessed on Members To Establish a Monthly Trading Rights Fee 2019-10-18T00:00:00-07:00 2019-10-18T00:00:00-07:00 C1-2019-21473 Notice https://www.govinfo.gov/content/pkg/FR-2019-10-18/pdf/C1-2019-21473.pdf https://regulations.justia.com/regulations/fedreg/2019/10/18/2019-22719.html Notice - Self-Regulatory Organizations; LCH SA; Order Approving Proposed Rule Change Relating to Extension of Weekly Backloading Cycle to Index Swaptions 2019-10-18T00:00:00-07:00 2019-10-18T00:00:00-07:00 2019-22719 Notice https://www.govinfo.gov/content/pkg/FR-2019-10-18/pdf/2019-22719.pdf https://regulations.justia.com/regulations/fedreg/2019/10/18/2019-22699.html Notice - Self-Regulatory Organizations; BOX Exchange LLC; Notice of Filing of Proposed Rule Change Related To Adopt Rules To Govern the Trading of Equity Securities on the Exchange Through a Facility of the Exchange Known as the Boston Security Token Exchange LLC 2019-10-18T00:00:00-07:00 2019-10-18T00:00:00-07:00 2019-22699 Notice https://www.govinfo.gov/content/pkg/FR-2019-10-18/pdf/2019-22699.pdf https://regulations.justia.com/regulations/fedreg/2019/10/17/2019-22702.html 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 2019-10-17T00:00:00-07:00 2019-10-17T00:00:00-07:00 2019-22702 Notice https://www.govinfo.gov/content/pkg/FR-2019-10-17/pdf/2019-22702.pdf https://regulations.justia.com/regulations/fedreg/2019/10/17/2019-22701.html 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 2019-10-17T00:00:00-07:00 2019-10-17T00:00:00-07:00 2019-22701 Notice https://www.govinfo.gov/content/pkg/FR-2019-10-17/pdf/2019-22701.pdf https://regulations.justia.com/regulations/fedreg/2019/10/17/2019-22700.html 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 2019-10-17T00:00:00-07:00 2019-10-17T00:00:00-07:00 2019-22700 Notice https://www.govinfo.gov/content/pkg/FR-2019-10-17/pdf/2019-22700.pdf https://regulations.justia.com/regulations/fedreg/2019/10/17/2019-22698.html 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 2019-10-17T00:00:00-07:00 2019-10-17T00:00:00-07:00 2019-22698 Notice https://www.govinfo.gov/content/pkg/FR-2019-10-17/pdf/2019-22698.pdf https://regulations.justia.com/regulations/fedreg/2019/10/17/2019-22697.html 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 2019-10-17T00:00:00-07:00 2019-10-17T00:00:00-07:00 2019-22697 Notice https://www.govinfo.gov/content/pkg/FR-2019-10-17/pdf/2019-22697.pdf https://regulations.justia.com/regulations/fedreg/2019/10/17/2019-22600.html 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) 2019-10-17T00:00:00-07:00 2019-10-17T00:00:00-07:00 2019-22600 Notice https://www.govinfo.gov/content/pkg/FR-2019-10-17/pdf/2019-22600.pdf https://regulations.justia.com/regulations/fedreg/2019/10/17/2019-22599.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 2019-10-17T00:00:00-07:00 2019-10-17T00:00:00-07:00 2019-22599 Notice https://www.govinfo.gov/content/pkg/FR-2019-10-17/pdf/2019-22599.pdf https://regulations.justia.com/regulations/fedreg/2019/10/17/2019-22598.html 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 2019-10-17T00:00:00-07:00 2019-10-17T00:00:00-07:00 2019-22598 Notice https://www.govinfo.gov/content/pkg/FR-2019-10-17/pdf/2019-22598.pdf https://regulations.justia.com/regulations/fedreg/2019/10/17/2019-22597.html 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 2019-10-17T00:00:00-07:00 2019-10-17T00:00:00-07:00 2019-22597 Notice https://www.govinfo.gov/content/pkg/FR-2019-10-17/pdf/2019-22597.pdf https://regulations.justia.com/regulations/fedreg/2019/10/17/2019-22596.html 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 2019-10-17T00:00:00-07:00 2019-10-17T00:00:00-07:00 2019-22596 Notice https://www.govinfo.gov/content/pkg/FR-2019-10-17/pdf/2019-22596.pdf https://regulations.justia.com/regulations/fedreg/2019/10/17/2019-22595.html 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 2019-10-17T00:00:00-07:00 2019-10-17T00:00:00-07:00 2019-22595 Notice https://www.govinfo.gov/content/pkg/FR-2019-10-17/pdf/2019-22595.pdf https://regulations.justia.com/regulations/fedreg/2019/10/17/2019-22594.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 Schedule at Options 7, Section 2 2019-10-17T00:00:00-07:00 2019-10-17T00:00:00-07:00 2019-22594 Notice https://www.govinfo.gov/content/pkg/FR-2019-10-17/pdf/2019-22594.pdf https://regulations.justia.com/regulations/fedreg/2019/10/17/2019-22593.html 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 2019-10-17T00:00:00-07:00 2019-10-17T00:00:00-07:00 2019-22593 Notice https://www.govinfo.gov/content/pkg/FR-2019-10-17/pdf/2019-22593.pdf https://regulations.justia.com/regulations/fedreg/2019/10/17/2019-22592.html 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 2019-10-17T00:00:00-07:00 2019-10-17T00:00:00-07:00 2019-22592 Notice https://www.govinfo.gov/content/pkg/FR-2019-10-17/pdf/2019-22592.pdf https://regulations.justia.com/regulations/fedreg/2019/10/17/2019-22591.html 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 2019-10-17T00:00:00-07:00 2019-10-17T00:00:00-07:00 2019-22591 Notice https://www.govinfo.gov/content/pkg/FR-2019-10-17/pdf/2019-22591.pdf https://regulations.justia.com/regulations/fedreg/2019/10/17/2019-22590.html 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 2019-10-17T00:00:00-07:00 2019-10-17T00:00:00-07:00 2019-22590 Notice https://www.govinfo.gov/content/pkg/FR-2019-10-17/pdf/2019-22590.pdf https://regulations.justia.com/regulations/fedreg/2019/10/17/2019-22589.html 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) 2019-10-17T00:00:00-07:00 2019-10-17T00:00:00-07:00 2019-22589 Notice https://www.govinfo.gov/content/pkg/FR-2019-10-17/pdf/2019-22589.pdf https://regulations.justia.com/regulations/fedreg/2019/10/17/2019-22588.html 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 2019-10-17T00:00:00-07:00 2019-10-17T00:00:00-07:00 2019-22588 Notice https://www.govinfo.gov/content/pkg/FR-2019-10-17/pdf/2019-22588.pdf https://regulations.justia.com/regulations/fedreg/2019/10/17/2019-22580.html Notice - Submission for OMB Review; Comment Request 2019-10-17T00:00:00-07:00 2019-10-17T00:00:00-07:00 2019-22580 Notice https://www.govinfo.gov/content/pkg/FR-2019-10-17/pdf/2019-22580.pdf https://regulations.justia.com/regulations/fedreg/2019/10/17/2019-22579.html Notice - Submission for OMB Review; Comment Request 2019-10-17T00:00:00-07:00 2019-10-17T00:00:00-07:00 2019-22579 Notice https://www.govinfo.gov/content/pkg/FR-2019-10-17/pdf/2019-22579.pdf https://regulations.justia.com/regulations/fedreg/2019/10/17/2019-22578.html Notice - Proposed Collection; Comment Request 2019-10-17T00:00:00-07:00 2019-10-17T00:00:00-07:00 2019-22578 Notice https://www.govinfo.gov/content/pkg/FR-2019-10-17/pdf/2019-22578.pdf https://regulations.justia.com/regulations/fedreg/2019/10/16/2019-22486.html Notice - Self-Regulatory Organizations; NYSE Arca, Inc.; Order Disapproving a Proposed Rule Change, as Modified by Amendment No. 1, Relating to the Listing and Trading of Shares of the Bitwise Bitcoin ETF Trust Under NYSE Arca Rule 8.201-E 2019-10-16T00:00:00-07:00 2019-10-16T00:00:00-07:00 2019-22486 Notice https://www.govinfo.gov/content/pkg/FR-2019-10-16/pdf/2019-22486.pdf https://regulations.justia.com/regulations/fedreg/2019/10/16/2019-22485.html Notice - Self-Regulatory Organizations; BOX Exchange LLC; Notice of Designation of Longer Period for Commission Action on Proposed Rule Change To Amend Rule 7600 2019-10-16T00:00:00-07:00 2019-10-16T00:00:00-07:00 2019-22485 Notice https://www.govinfo.gov/content/pkg/FR-2019-10-16/pdf/2019-22485.pdf https://regulations.justia.com/regulations/fedreg/2019/10/16/2019-22484.html Notice - Self-Regulatory Organizations; Cboe Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating To Amend Its Financial Incentive Programs for Global Trading Hours Lead Market-Makers 2019-10-16T00:00:00-07:00 2019-10-16T00:00:00-07:00 2019-22484 Notice https://www.govinfo.gov/content/pkg/FR-2019-10-16/pdf/2019-22484.pdf https://regulations.justia.com/regulations/fedreg/2019/10/16/2019-22483.html Notice - Self-Regulatory Organizations; NYSE Chicago, Inc.; Notice of Filing of Amendment No. 1 and Order Granting Accelerated Approval of a Proposed Rule Change, as Modified by Amendment No. 1, To Add Rules To Support the Transition of Trading to the Pillar Trading Platform 2019-10-16T00:00:00-07:00 2019-10-16T00:00:00-07:00 2019-22483 Notice https://www.govinfo.gov/content/pkg/FR-2019-10-16/pdf/2019-22483.pdf https://regulations.justia.com/regulations/fedreg/2019/10/16/2019-22482.html Notice - Self-Regulatory Organizations; The Nasdaq Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend The Nasdaq Options Market LLC Rules at Chapter VI and Chapter VII 2019-10-16T00:00:00-07:00 2019-10-16T00:00:00-07:00 2019-22482 Notice https://www.govinfo.gov/content/pkg/FR-2019-10-16/pdf/2019-22482.pdf https://regulations.justia.com/regulations/fedreg/2019/10/16/2019-22481.html Notice - Self-Regulatory Organizations; Cboe Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Make Minor Updates and Consolidate Various Exchange Rules in Connection With Business Conduct on the Exchange, and Move Those Rules From the Currently Effective Rulebook to Proposed Chapter 8 of 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 2019-10-16T00:00:00-07:00 2019-10-16T00:00:00-07:00 2019-22481 Notice https://www.govinfo.gov/content/pkg/FR-2019-10-16/pdf/2019-22481.pdf https://regulations.justia.com/regulations/fedreg/2019/10/16/2019-22480.html Notice - Self-Regulatory Organizations; Fixed Income Clearing Corporation; Order Approving a Proposed Rule Change 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 2019-10-16T00:00:00-07:00 2019-10-16T00:00:00-07:00 2019-22480 Notice https://www.govinfo.gov/content/pkg/FR-2019-10-16/pdf/2019-22480.pdf https://regulations.justia.com/regulations/fedreg/2019/10/15/2019-22433.html Notice - Fixed Income Market Structure Advisory Committee 2019-10-15T00:00:00-07:00 2019-10-15T00:00:00-07:00 2019-22433 Notice https://www.govinfo.gov/content/pkg/FR-2019-10-15/pdf/2019-22433.pdf https://regulations.justia.com/regulations/fedreg/2019/10/15/2019-22392.html Notice - Self-Regulatory Organizations; The Options Clearing Corporation; Notice of Filing of Partial Amendment No. 1 and Notice of No Objection to Advance Notice, as Modified by Partial Amendment No. 1, Concerning a Proposed Capital Management Policy That Would Support the Options Clearing Corporation's Function as a Systemically Important Financial Market Utility 2019-10-15T00:00:00-07:00 2019-10-15T00:00:00-07:00 2019-22392 Notice https://www.govinfo.gov/content/pkg/FR-2019-10-15/pdf/2019-22392.pdf https://regulations.justia.com/regulations/fedreg/2019/10/15/2019-22391.html Notice - Asset Management Advisory Committee 2019-10-15T00:00:00-07:00 2019-10-15T00:00:00-07:00 2019-22391 Notice https://www.govinfo.gov/content/pkg/FR-2019-10-15/pdf/2019-22391.pdf https://regulations.justia.com/regulations/fedreg/2019/10/15/2019-22388.html Notice - Self-Regulatory Organizations; Municipal Securities Rulemaking Board; Notice of Filing of Amendment No. 1 to Proposed Rule Change To Amend and Restate the MSRB's August 2, 2012 Interpretive Notice Concerning the Application of Rule G-17 to Underwriters of Municipal Securities 2019-10-15T00:00:00-07:00 2019-10-15T00:00:00-07:00 2019-22388 Notice https://www.govinfo.gov/content/pkg/FR-2019-10-15/pdf/2019-22388.pdf https://regulations.justia.com/regulations/fedreg/2019/10/15/2019-22387.html Notice - Self-Regulatory Organizations; Cboe Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Amending Its Fees Schedule 2019-10-15T00:00:00-07:00 2019-10-15T00:00:00-07:00 2019-22387 Notice https://www.govinfo.gov/content/pkg/FR-2019-10-15/pdf/2019-22387.pdf https://regulations.justia.com/regulations/fedreg/2019/10/15/2019-22386.html Notice - Self-Regulatory Organizations; Cboe Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Amending Its Fees Schedule 2019-10-15T00:00:00-07:00 2019-10-15T00:00:00-07:00 2019-22386 Notice https://www.govinfo.gov/content/pkg/FR-2019-10-15/pdf/2019-22386.pdf https://regulations.justia.com/regulations/fedreg/2019/10/15/2019-22385.html Notice - Self-Regulatory Organizations; The Options Clearing Corporation; Notice of Filing of Partial Amendment No. 1 and Notice of Designation of Longer Period for Commission Action on Proposed Rule Change Concerning a Proposed Capital Management Policy That Would Support the Options Clearing Corporation's Function as a Systemically Important Financial Market Utility 2019-10-15T00:00:00-07:00 2019-10-15T00:00:00-07:00 2019-22385 Notice https://www.govinfo.gov/content/pkg/FR-2019-10-15/pdf/2019-22385.pdf https://regulations.justia.com/regulations/fedreg/2019/10/15/2019-22053.html Rule - Capital, Margin, and Segregation Requirements for Security-Based Swap Dealers and Major Security-Based Swap Participants and Capital and Segregation Requirements for Broker-Dealers; Correction 2019-10-15T00:00:00-07:00 2019-10-15T00:00:00-07:00 2019-22053 Rule https://www.govinfo.gov/content/pkg/FR-2019-10-15/pdf/2019-22053.pdf https://regulations.justia.com/regulations/fedreg/2019/10/11/2019-22253.html Notice - Self-Regulatory Organizations; Cboe BZX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to the Listing and Trading of Shares of the FT Cboe Vest U.S. Equity Buffer ETFs and the FT Cboe Vest U.S. Equity Deep Buffer ETFs Under the First Trust Exchange-Traded Fund VIII 2019-10-11T00:00:00-07:00 2019-10-11T00:00:00-07:00 2019-22253 Notice https://www.govinfo.gov/content/pkg/FR-2019-10-11/pdf/2019-22253.pdf https://regulations.justia.com/regulations/fedreg/2019/10/11/2019-21770.html Proposed Rule - Rescission of Effective-Upon-Filing Procedure for NMS Plan Fee Amendments 2019-10-11T00:00:00-07:00 2019-10-11T00:00:00-07:00 2019-21770 Proposed Rule https://www.govinfo.gov/content/pkg/FR-2019-10-11/pdf/2019-21770.pdf https://regulations.justia.com/regulations/fedreg/2019/10/10/2019-22222.html Notice - Submission for OMB Review; Comment Request 2019-10-10T00:00:00-07:00 2019-10-10T00:00:00-07:00 2019-22222 Notice https://www.govinfo.gov/content/pkg/FR-2019-10-10/pdf/2019-22222.pdf https://regulations.justia.com/regulations/fedreg/2019/10/10/2019-22157.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 the Automated Improvement Mechanism and Solicitation Auction Mechanism for Flexible Exchange Options, and 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 2019-10-10T00:00:00-07:00 2019-10-10T00:00:00-07:00 2019-22157 Notice https://www.govinfo.gov/content/pkg/FR-2019-10-10/pdf/2019-22157.pdf https://regulations.justia.com/regulations/fedreg/2019/10/10/2019-22149.html Notice - Self-Regulatory Organizations; Cboe Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Move Rule 10.2 and the Rules in Chapter XVI of the Currently Effective Rulebook, Which Governs the Summary Suspension of Trading Permit Holders, to Proposed Chapter 12 of 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 2019-10-10T00:00:00-07:00 2019-10-10T00:00:00-07:00 2019-22149 Notice https://www.govinfo.gov/content/pkg/FR-2019-10-10/pdf/2019-22149.pdf https://regulations.justia.com/regulations/fedreg/2019/10/10/2019-22147.html Notice - Self-Regulatory Organizations; Fixed Income Clearing Corporation; Notice of No Objection To 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 2019-10-10T00:00:00-07:00 2019-10-10T00:00:00-07:00 2019-22147 Notice https://www.govinfo.gov/content/pkg/FR-2019-10-10/pdf/2019-22147.pdf https://regulations.justia.com/regulations/fedreg/2019/10/10/2019-22146.html Notice - Self-Regulatory Organizations; Cboe Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Certain Rules in Connection With Market-Makers in the Shell Rulebook 2019-10-10T00:00:00-07:00 2019-10-10T00:00:00-07:00 2019-22146 Notice https://www.govinfo.gov/content/pkg/FR-2019-10-10/pdf/2019-22146.pdf https://regulations.justia.com/regulations/fedreg/2019/10/10/2019-22145.html Notice - Self-Regulatory Organizations; ICE Clear Credit LLC; Notice of Designation of Longer Period for Commission Action on Proposed Rule Change Relating to Amendments to the ICC Clearing Rules To Address Non-Default Losses 2019-10-10T00:00:00-07:00 2019-10-10T00:00:00-07:00 2019-22145 Notice https://www.govinfo.gov/content/pkg/FR-2019-10-10/pdf/2019-22145.pdf https://regulations.justia.com/regulations/fedreg/2019/10/10/2019-22144.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 the Trading of Flexible Exchange Options, and 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 2019-10-10T00:00:00-07:00 2019-10-10T00:00:00-07:00 2019-22144 Notice https://www.govinfo.gov/content/pkg/FR-2019-10-10/pdf/2019-22144.pdf https://regulations.justia.com/regulations/fedreg/2019/10/10/2019-22143.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 2019-10-10T00:00:00-07:00 2019-10-10T00:00:00-07:00 2019-22143 Notice https://www.govinfo.gov/content/pkg/FR-2019-10-10/pdf/2019-22143.pdf https://regulations.justia.com/regulations/fedreg/2019/10/10/2019-22142.html Notice - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing of Amendment No. 2 to a Proposed Rule Change To Establish a Corporate Bond New Issue Reference Data Service and 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, To Establish a Corporate Bond New Issue Reference Data Service 2019-10-10T00:00:00-07:00 2019-10-10T00:00:00-07:00 2019-22142 Notice https://www.govinfo.gov/content/pkg/FR-2019-10-10/pdf/2019-22142.pdf https://regulations.justia.com/regulations/fedreg/2019/10/10/2019-22141.html Notice - Self-Regulatory Organizations; Nasdaq GEMX, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend GEMX's Rulebook and By-Laws 2019-10-10T00:00:00-07:00 2019-10-10T00:00:00-07:00 2019-22141 Notice https://www.govinfo.gov/content/pkg/FR-2019-10-10/pdf/2019-22141.pdf https://regulations.justia.com/regulations/fedreg/2019/10/10/2019-22140.html Notice - Self-Regulatory Organizations; The Nasdaq Stock Market LLC; Notice of Designation of a Longer Period for Commission Action on a Proposed Rule Change Relating to the Nasdaq Official Closing Price for Nasdaq-Listed Exchange-Traded Products 2019-10-10T00:00:00-07:00 2019-10-10T00:00:00-07:00 2019-22140 Notice https://www.govinfo.gov/content/pkg/FR-2019-10-10/pdf/2019-22140.pdf https://regulations.justia.com/regulations/fedreg/2019/10/10/2019-22139.html Notice - Self-Regulatory Organizations; Cboe Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Make Minor Updates and Consolidate Various Exchange Rules in Connection With Trading Permit Holder Registration and With Doing Business With the Public, and Move Those Rules From the Currently Effective Rulebook to Proposed Chapter 9 and, in Part, Chapter 3 of 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 2019-10-10T00:00:00-07:00 2019-10-10T00:00:00-07:00 2019-22139 Notice https://www.govinfo.gov/content/pkg/FR-2019-10-10/pdf/2019-22139.pdf https://regulations.justia.com/regulations/fedreg/2019/10/10/2019-22138.html Notice - Self-Regulatory Organizations; Cboe Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Make Minor Updates and Consolidate Various Exchange Rules in Connection Generally With Options Trading on the Exchange, Including Those Regarding Trading Halts and the Plan To Address Extraordinary Market Volatility, and 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 2019-10-10T00:00:00-07:00 2019-10-10T00:00:00-07:00 2019-22138 Notice https://www.govinfo.gov/content/pkg/FR-2019-10-10/pdf/2019-22138.pdf https://regulations.justia.com/regulations/fedreg/2019/10/10/2019-22137.html Notice - Self-Regulatory Organizations; NYSE Arca, Inc.; Order Approving a Proposed Rule Change To Amend NYSE Arca Rule 8.700-E and To List and Trade Shares of the Dynamic Short Short-Term Volatility Futures ETF 2019-10-10T00:00:00-07:00 2019-10-10T00:00:00-07:00 2019-22137 Notice https://www.govinfo.gov/content/pkg/FR-2019-10-10/pdf/2019-22137.pdf https://regulations.justia.com/regulations/fedreg/2019/10/09/2019-22026.html Notice - Self-Regulatory Organizations; Nasdaq BX, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Extend the Pilot Related to the Market-Wide Circuit Breaker in Rule 4121 2019-10-09T00:00:00-07:00 2019-10-09T00:00:00-07:00 2019-22026 Notice https://www.govinfo.gov/content/pkg/FR-2019-10-09/pdf/2019-22026.pdf https://regulations.justia.com/regulations/fedreg/2019/10/09/2019-22025.html Notice - Self-Regulatory Organizations; The Options Clearing Corporation; Notice of Filing of Proposed Rule Change To Establish a Regulatory Committee of The Options Clearing Corporation's Board of Directors 2019-10-09T00:00:00-07:00 2019-10-09T00:00:00-07:00 2019-22025 Notice https://www.govinfo.gov/content/pkg/FR-2019-10-09/pdf/2019-22025.pdf https://regulations.justia.com/regulations/fedreg/2019/10/09/2019-22024.html Notice - Self-Regulatory Organizations; Nasdaq PHLX LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Extend the Pilot Related to the Market-Wide Circuit Breaker in Rule 133 2019-10-09T00:00:00-07:00 2019-10-09T00:00:00-07:00 2019-22024 Notice https://www.govinfo.gov/content/pkg/FR-2019-10-09/pdf/2019-22024.pdf https://regulations.justia.com/regulations/fedreg/2019/10/09/2019-22023.html Notice - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend FINRA Rule 7620B To Modify the Trade Reporting Fees Applicable to Participants That Use the FINRA/NYSE Trade Reporting Facility 2019-10-09T00:00:00-07:00 2019-10-09T00:00:00-07:00 2019-22023 Notice https://www.govinfo.gov/content/pkg/FR-2019-10-09/pdf/2019-22023.pdf https://regulations.justia.com/regulations/fedreg/2019/10/09/2019-22020.html Notice - Self-Regulatory Organizations; Nasdaq MRX, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend MRX's Rulebook and By-Laws 2019-10-09T00:00:00-07:00 2019-10-09T00:00:00-07:00 2019-22020 Notice https://www.govinfo.gov/content/pkg/FR-2019-10-09/pdf/2019-22020.pdf https://regulations.justia.com/regulations/fedreg/2019/10/09/2019-22019.html Notice - Self-Regulatory Organizations; Long-Term Stock Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating To Make the Exchange a Display-Only Market by Removing References to Non-Displayed and Reserve Orders 2019-10-09T00:00:00-07:00 2019-10-09T00:00:00-07:00 2019-22019 Notice https://www.govinfo.gov/content/pkg/FR-2019-10-09/pdf/2019-22019.pdf https://regulations.justia.com/regulations/fedreg/2019/10/09/2019-22018.html Notice - Self-Regulatory Organizations; The Nasdaq Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Certain Constitutional Documents 2019-10-09T00:00:00-07:00 2019-10-09T00:00:00-07:00 2019-22018 Notice https://www.govinfo.gov/content/pkg/FR-2019-10-09/pdf/2019-22018.pdf https://regulations.justia.com/regulations/fedreg/2019/10/09/2019-22017.html Notice - Self-Regulatory Organizations; Cboe Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Make Minor Updates and Consolidate Various Exchange Rules in Connection With Regulatory Reports, Records, and Audits on the Exchange, and Move Those Rules From the Currently Effective Rulebook to Proposed Chapter 7 of 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 2019-10-09T00:00:00-07:00 2019-10-09T00:00:00-07:00 2019-22017 Notice https://www.govinfo.gov/content/pkg/FR-2019-10-09/pdf/2019-22017.pdf https://regulations.justia.com/regulations/fedreg/2019/10/09/2019-22016.html Notice - Self-Regulatory Organizations; Cboe Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Make Minor Updates and Consolidate Various Exchange Rules in Connection With the Post-Transaction Process on the Exchange, and Move Those Rules From the Current Rulebook to Proposed Chapter 6 of the Shell Rulebook 2019-10-09T00:00:00-07:00 2019-10-09T00:00:00-07:00 2019-22016 Notice https://www.govinfo.gov/content/pkg/FR-2019-10-09/pdf/2019-22016.pdf https://regulations.justia.com/regulations/fedreg/2019/10/09/2019-22015.html Notice - Self-Regulatory Organizations; Nasdaq ISE, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend ISE's Rulebook and By-Laws 2019-10-09T00:00:00-07:00 2019-10-09T00:00:00-07:00 2019-22015 Notice https://www.govinfo.gov/content/pkg/FR-2019-10-09/pdf/2019-22015.pdf https://regulations.justia.com/regulations/fedreg/2019/10/09/2019-22014.html Notice - Self-Regulatory Organizations; Nasdaq BX, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend BX's By-Laws 2019-10-09T00:00:00-07:00 2019-10-09T00:00:00-07:00 2019-22014 Notice https://www.govinfo.gov/content/pkg/FR-2019-10-09/pdf/2019-22014.pdf https://regulations.justia.com/regulations/fedreg/2019/10/09/2019-22013.html Notice - Self-Regulatory Organizations; New York Stock Exchange LLC; Order Granting Approval of a Proposed Rule Change, as Modified by Amendment No. 1, To Add Certain Rules to the List of Minor Rule Violations in Rule 9217, Delete Obsolete Rules, and Increase the Maximum Fine for Minor Rule Violations 2019-10-09T00:00:00-07:00 2019-10-09T00:00:00-07:00 2019-22013 Notice https://www.govinfo.gov/content/pkg/FR-2019-10-09/pdf/2019-22013.pdf https://regulations.justia.com/regulations/fedreg/2019/10/09/2019-22012.html Notice - Self-Regulatory Organizations; Nasdaq PHLX LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Phlx's Second Amended Limited Liability Company Agreement and By-Laws 2019-10-09T00:00:00-07:00 2019-10-09T00:00:00-07:00 2019-22012 Notice https://www.govinfo.gov/content/pkg/FR-2019-10-09/pdf/2019-22012.pdf https://regulations.justia.com/regulations/fedreg/2019/10/09/2019-22011.html Notice - Self-Regulatory Organizations; Cboe Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Move the Rules in Chapter XVII, Which Governs Exchange Disciplinary Procedures, of the Current Rulebook to Proposed Chapter 13 of the Shell Rulebook 2019-10-09T00:00:00-07:00 2019-10-09T00:00:00-07:00 2019-22011 Notice https://www.govinfo.gov/content/pkg/FR-2019-10-09/pdf/2019-22011.pdf https://regulations.justia.com/regulations/fedreg/2019/10/09/2019-22010.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 2019-10-09T00:00:00-07:00 2019-10-09T00:00:00-07:00 2019-22010 Notice https://www.govinfo.gov/content/pkg/FR-2019-10-09/pdf/2019-22010.pdf https://regulations.justia.com/regulations/fedreg/2019/10/09/2019-21882.html Proposed Rule - Proposed Exemptive Order Granting a Conditional Exemption From the Broker Registration Requirements of Section 15(a) of the Securities Exchange Act of 1934 for Certain Activities of Registered Municipal Advisors 2019-10-09T00:00:00-07:00 2019-10-09T00:00:00-07:00 2019-21882 Proposed Rule https://www.govinfo.gov/content/pkg/FR-2019-10-09/pdf/2019-21882.pdf https://regulations.justia.com/regulations/fedreg/2019/10/08/2019-21950.html Notice - Self-Regulatory Organizations; The Nasdaq Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Further Delay Implementation of the Early Order Imbalance Indicator Functionality 2019-10-08T00:00:00-07:00 2019-10-08T00:00:00-07:00 2019-21950 Notice https://www.govinfo.gov/content/pkg/FR-2019-10-08/pdf/2019-21950.pdf https://regulations.justia.com/regulations/fedreg/2019/10/08/2019-21883.html Notice - Self-Regulatory Organizations; The Nasdaq Stock Market LLC; Notice of Filing of Amendment No. 1 and Order Granting Accelerated Approval of a Proposed Rule Change, as Modified by Amendment No. 1, To Amend Certain Cutoff Times for On-Close Orders Entered for Participation in the Nasdaq Closing Cross and Adopt a Second Reference Price for Limit-On-Close Orders 2019-10-08T00:00:00-07:00 2019-10-08T00:00:00-07:00 2019-21883 Notice https://www.govinfo.gov/content/pkg/FR-2019-10-08/pdf/2019-21883.pdf https://regulations.justia.com/regulations/fedreg/2019/10/08/2019-21881.html Notice - Self-Regulatory Organizations; Cboe EDGX Exchange, Inc.; Order Granting Approval of a Proposed Rule Change, as Modified by Amendment No. 1, To Introduce Retail Priority 2019-10-08T00:00:00-07:00 2019-10-08T00:00:00-07:00 2019-21881 Notice https://www.govinfo.gov/content/pkg/FR-2019-10-08/pdf/2019-21881.pdf https://regulations.justia.com/regulations/fedreg/2019/10/08/2019-21879.html Notice - Self-Regulatory Organizations; Miami International Securities Exchange, LLC; Order Approving a Proposed Rule Change To Amend Exchange Rule 518, Complex Orders, To Adopt New Interpretation and Policy .07, SPIKES Combo Orders 2019-10-08T00:00:00-07:00 2019-10-08T00:00:00-07:00 2019-21879 Notice https://www.govinfo.gov/content/pkg/FR-2019-10-08/pdf/2019-21879.pdf https://regulations.justia.com/regulations/fedreg/2019/10/07/2019-21811.html Notice - Mutual of America Life Insurance Company, et al. 2019-10-07T00:00:00-07:00 2019-10-07T00:00:00-07:00 2019-21811 Notice https://www.govinfo.gov/content/pkg/FR-2019-10-07/pdf/2019-21811.pdf https://regulations.justia.com/regulations/fedreg/2019/10/07/2019-21810.html Notice - Calvert Fund, et al. 2019-10-07T00:00:00-07:00 2019-10-07T00:00:00-07:00 2019-21810 Notice https://www.govinfo.gov/content/pkg/FR-2019-10-07/pdf/2019-21810.pdf https://regulations.justia.com/regulations/fedreg/2019/10/07/2019-21737.html 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 2019-10-07T00:00:00-07:00 2019-10-07T00:00:00-07:00 2019-21737 Notice https://www.govinfo.gov/content/pkg/FR-2019-10-07/pdf/2019-21737.pdf https://regulations.justia.com/regulations/fedreg/2019/10/07/2019-21736.html 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 2019-10-07T00:00:00-07:00 2019-10-07T00:00:00-07:00 2019-21736 Notice https://www.govinfo.gov/content/pkg/FR-2019-10-07/pdf/2019-21736.pdf https://regulations.justia.com/regulations/fedreg/2019/10/07/2019-21735.html Notice - Self-Regulatory Organizations; Nasdaq MRX, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Several Sections of Options 3 2019-10-07T00:00:00-07:00 2019-10-07T00:00:00-07:00 2019-21735 Notice https://www.govinfo.gov/content/pkg/FR-2019-10-07/pdf/2019-21735.pdf https://regulations.justia.com/regulations/fedreg/2019/10/07/2019-21734.html 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 2019-10-07T00:00:00-07:00 2019-10-07T00:00:00-07:00 2019-21734 Notice https://www.govinfo.gov/content/pkg/FR-2019-10-07/pdf/2019-21734.pdf https://regulations.justia.com/regulations/fedreg/2019/10/07/2019-21733.html 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 2019-10-07T00:00:00-07:00 2019-10-07T00:00:00-07:00 2019-21733 Notice https://www.govinfo.gov/content/pkg/FR-2019-10-07/pdf/2019-21733.pdf https://regulations.justia.com/regulations/fedreg/2019/10/07/2019-21732.html 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 2019-10-07T00:00:00-07:00 2019-10-07T00:00:00-07:00 2019-21732 Notice https://www.govinfo.gov/content/pkg/FR-2019-10-07/pdf/2019-21732.pdf https://regulations.justia.com/regulations/fedreg/2019/10/07/2019-21731.html 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 2019-10-07T00:00:00-07:00 2019-10-07T00:00:00-07:00 2019-21731 Notice https://www.govinfo.gov/content/pkg/FR-2019-10-07/pdf/2019-21731.pdf https://regulations.justia.com/regulations/fedreg/2019/10/07/2019-21730.html 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 2019-10-07T00:00:00-07:00 2019-10-07T00:00:00-07:00 2019-21730 Notice https://www.govinfo.gov/content/pkg/FR-2019-10-07/pdf/2019-21730.pdf https://regulations.justia.com/regulations/fedreg/2019/10/07/2019-21729.html 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 2019-10-07T00:00:00-07:00 2019-10-07T00:00:00-07:00 2019-21729 Notice https://www.govinfo.gov/content/pkg/FR-2019-10-07/pdf/2019-21729.pdf https://regulations.justia.com/regulations/fedreg/2019/10/07/2019-21728.html 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 2019-10-07T00:00:00-07:00 2019-10-07T00:00:00-07:00 2019-21728 Notice https://www.govinfo.gov/content/pkg/FR-2019-10-07/pdf/2019-21728.pdf https://regulations.justia.com/regulations/fedreg/2019/10/07/2019-21727.html 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 2019-10-07T00:00:00-07:00 2019-10-07T00:00:00-07:00 2019-21727 Notice https://www.govinfo.gov/content/pkg/FR-2019-10-07/pdf/2019-21727.pdf