Federal Register Recent Federal Regulation Documents - Justia Regulation Tracker - Justia Regulations Trackerhttps://regulations.justia.com/regulations/fedreg/agencies/agencies-and-commissions/securities-and-exchange-commission/2019/10?limit=200®isters=between&min-day=1&max-day=31&mode=atom2024-05-23T21:06:03-07:00Justia Inchttps://www.justia.com/Justia Regulations Trackerhttps://regulations.justia.com/images/justiafedregulations.gifCopyright 2011 Justia Inchttps://regulations.justia.com/regulations/fedreg/2019/10/31/2019-23935.htmlNotice - Sunshine Act Meetings2019-10-31T00:00:00-07:002019-10-31T00:00:00-07:002019-23935Noticehttps://www.govinfo.gov/content/pkg/FR-2019-10-31/pdf/2019-23935.pdfhttps://regulations.justia.com/regulations/fedreg/2019/10/31/2019-23731.htmlNotice - Self-Regulatory Organizations; Nasdaq PHLX LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Phlx Rule 10972019-10-31T00:00:00-07:002019-10-31T00:00:00-07:002019-23731Noticehttps://www.govinfo.gov/content/pkg/FR-2019-10-31/pdf/2019-23731.pdfhttps://regulations.justia.com/regulations/fedreg/2019/10/31/2019-23706.htmlNotice - Notice of Applications for Deregistration Under Section 8(f) of the Investment Company Act of 19402019-10-31T00:00:00-07:002019-10-31T00:00:00-07:002019-23706Noticehttps://www.govinfo.gov/content/pkg/FR-2019-10-31/pdf/2019-23706.pdfhttps://regulations.justia.com/regulations/fedreg/2019/10/30/2019-23773.htmlNotice - Sunshine Act Meetings2019-10-30T00:00:00-07:002019-10-30T00:00:00-07:002019-23773Noticehttps://www.govinfo.gov/content/pkg/FR-2019-10-30/pdf/2019-23773.pdfhttps://regulations.justia.com/regulations/fedreg/2019/10/30/2019-23657.htmlNotice - 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 Feeds2019-10-30T00:00:00-07:002019-10-30T00:00:00-07:002019-23657Noticehttps://www.govinfo.gov/content/pkg/FR-2019-10-30/pdf/2019-23657.pdfhttps://regulations.justia.com/regulations/fedreg/2019/10/30/2019-23656.htmlNotice - 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 Feeds2019-10-30T00:00:00-07:002019-10-30T00:00:00-07:002019-23656Noticehttps://www.govinfo.gov/content/pkg/FR-2019-10-30/pdf/2019-23656.pdfhttps://regulations.justia.com/regulations/fedreg/2019/10/30/2019-23655.htmlNotice - 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 Feeds2019-10-30T00:00:00-07:002019-10-30T00:00:00-07:002019-23655Noticehttps://www.govinfo.gov/content/pkg/FR-2019-10-30/pdf/2019-23655.pdfhttps://regulations.justia.com/regulations/fedreg/2019/10/30/2019-23654.htmlNotice - 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 Feeds2019-10-30T00:00:00-07:002019-10-30T00:00:00-07:002019-23654Noticehttps://www.govinfo.gov/content/pkg/FR-2019-10-30/pdf/2019-23654.pdfhttps://regulations.justia.com/regulations/fedreg/2019/10/30/2019-23650.htmlNotice - Self-Regulatory Organizations; Fixed Income Clearing Corporation; Notice of Filing of Proposed Rule Change To Require Confirmation of Cybersecurity Program2019-10-30T00:00:00-07:002019-10-30T00:00:00-07:002019-23650Noticehttps://www.govinfo.gov/content/pkg/FR-2019-10-30/pdf/2019-23650.pdfhttps://regulations.justia.com/regulations/fedreg/2019/10/30/2019-23632.htmlNotice - Self-Regulatory Organizations; National Securities Clearing Corporation; Notice of Filing of Proposed Rule Change To Require Confirmation of Cybersecurity Program2019-10-30T00:00:00-07:002019-10-30T00:00:00-07:002019-23632Noticehttps://www.govinfo.gov/content/pkg/FR-2019-10-30/pdf/2019-23632.pdfhttps://regulations.justia.com/regulations/fedreg/2019/10/30/2019-23629.htmlNotice - Self-Regulatory Organizations; The Depository Trust Company; Notice of Filing of Proposed Rule Change To Require Confirmation of Cybersecurity Program2019-10-30T00:00:00-07:002019-10-30T00:00:00-07:002019-23629Noticehttps://www.govinfo.gov/content/pkg/FR-2019-10-30/pdf/2019-23629.pdfhttps://regulations.justia.com/regulations/fedreg/2019/10/30/2019-23082.htmlProposed Rule - Amendments to Procedures With Respect to Applications Under the Investment Company Act of 19402019-10-30T00:00:00-07:002019-10-30T00:00:00-07:002019-23082Proposed Rulehttps://www.govinfo.gov/content/pkg/FR-2019-10-30/pdf/2019-23082.pdfhttps://regulations.justia.com/regulations/fedreg/2019/10/30/2019-21260.htmlProposed Rule - Publication or Submission of Quotations Without Specified Information2019-10-30T00:00:00-07:002019-10-30T00:00:00-07:002019-21260Proposed Rulehttps://www.govinfo.gov/content/pkg/FR-2019-10-30/pdf/2019-21260.pdfhttps://regulations.justia.com/regulations/fedreg/2019/10/29/2019-23607.htmlNotice - Investor Advisory Committee Meeting2019-10-29T00:00:00-07:002019-10-29T00:00:00-07:002019-23607Noticehttps://www.govinfo.gov/content/pkg/FR-2019-10-29/pdf/2019-23607.pdfhttps://regulations.justia.com/regulations/fedreg/2019/10/29/2019-23602.htmlNotice - Submission for OMB Review; Comment Request2019-10-29T00:00:00-07:002019-10-29T00:00:00-07:002019-23602Noticehttps://www.govinfo.gov/content/pkg/FR-2019-10-29/pdf/2019-23602.pdfhttps://regulations.justia.com/regulations/fedreg/2019/10/29/2019-23601.htmlNotice - Submission for OMB Review; Comment Request2019-10-29T00:00:00-07:002019-10-29T00:00:00-07:002019-23601Noticehttps://www.govinfo.gov/content/pkg/FR-2019-10-29/pdf/2019-23601.pdfhttps://regulations.justia.com/regulations/fedreg/2019/10/29/2019-23600.htmlNotice - Submission for OMB Review; Comment Request2019-10-29T00:00:00-07:002019-10-29T00:00:00-07:002019-23600Noticehttps://www.govinfo.gov/content/pkg/FR-2019-10-29/pdf/2019-23600.pdfhttps://regulations.justia.com/regulations/fedreg/2019/10/29/2019-23599.htmlNotice - Submission for OMB Review; Comment Request2019-10-29T00:00:00-07:002019-10-29T00:00:00-07:002019-23599Noticehttps://www.govinfo.gov/content/pkg/FR-2019-10-29/pdf/2019-23599.pdfhttps://regulations.justia.com/regulations/fedreg/2019/10/29/2019-23598.htmlNotice - Submission for OMB Review; Comment Request2019-10-29T00:00:00-07:002019-10-29T00:00:00-07:002019-23598Noticehttps://www.govinfo.gov/content/pkg/FR-2019-10-29/pdf/2019-23598.pdfhttps://regulations.justia.com/regulations/fedreg/2019/10/29/2019-23597.htmlNotice - Proposed Collection; Comment Request2019-10-29T00:00:00-07:002019-10-29T00:00:00-07:002019-23597Noticehttps://www.govinfo.gov/content/pkg/FR-2019-10-29/pdf/2019-23597.pdfhttps://regulations.justia.com/regulations/fedreg/2019/10/29/2019-23596.htmlNotice - Submission for OMB Review; Comment Request2019-10-29T00:00:00-07:002019-10-29T00:00:00-07:002019-23596Noticehttps://www.govinfo.gov/content/pkg/FR-2019-10-29/pdf/2019-23596.pdfhttps://regulations.justia.com/regulations/fedreg/2019/10/29/2019-23554.htmlNotice - MassMutual Select Funds, et al.2019-10-29T00:00:00-07:002019-10-29T00:00:00-07:002019-23554Noticehttps://www.govinfo.gov/content/pkg/FR-2019-10-29/pdf/2019-23554.pdfhttps://regulations.justia.com/regulations/fedreg/2019/10/29/2019-23552.htmlNotice - Self-Regulatory Organizations; LCH SA; Notice of Filing of a Proposed Rule Change Relating to the Updated 2018 Version of the Recovery Plan2019-10-29T00:00:00-07:002019-10-29T00:00:00-07:002019-23552Noticehttps://www.govinfo.gov/content/pkg/FR-2019-10-29/pdf/2019-23552.pdfhttps://regulations.justia.com/regulations/fedreg/2019/10/29/2019-23551.htmlNotice - 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 Risk2019-10-29T00:00:00-07:002019-10-29T00:00:00-07:002019-23551Noticehttps://www.govinfo.gov/content/pkg/FR-2019-10-29/pdf/2019-23551.pdfhttps://regulations.justia.com/regulations/fedreg/2019/10/29/2019-23550.htmlNotice - 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 Methodology2019-10-29T00:00:00-07:002019-10-29T00:00:00-07:002019-23550Noticehttps://www.govinfo.gov/content/pkg/FR-2019-10-29/pdf/2019-23550.pdfhttps://regulations.justia.com/regulations/fedreg/2019/10/29/2019-23549.htmlNotice - 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-E2019-10-29T00:00:00-07:002019-10-29T00:00:00-07:002019-23549Noticehttps://www.govinfo.gov/content/pkg/FR-2019-10-29/pdf/2019-23549.pdfhttps://regulations.justia.com/regulations/fedreg/2019/10/29/2019-23548.htmlNotice - 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 41212019-10-29T00:00:00-07:002019-10-29T00:00:00-07:002019-23548Noticehttps://www.govinfo.gov/content/pkg/FR-2019-10-29/pdf/2019-23548.pdfhttps://regulations.justia.com/regulations/fedreg/2019/10/29/2019-23547.htmlNotice - Self-Regulatory Organizations; Nasdaq ISE, LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the Market Maker Plus Program2019-10-29T00:00:00-07:002019-10-29T00:00:00-07:002019-23547Noticehttps://www.govinfo.gov/content/pkg/FR-2019-10-29/pdf/2019-23547.pdfhttps://regulations.justia.com/regulations/fedreg/2019/10/29/2019-23546.htmlNotice - 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 Feeds2019-10-29T00:00:00-07:002019-10-29T00:00:00-07:002019-23546Noticehttps://www.govinfo.gov/content/pkg/FR-2019-10-29/pdf/2019-23546.pdfhttps://regulations.justia.com/regulations/fedreg/2019/10/28/2019-23428.htmlNotice - 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 Program2019-10-28T00:00:00-07:002019-10-28T00:00:00-07:002019-23428Noticehttps://www.govinfo.gov/content/pkg/FR-2019-10-28/pdf/2019-23428.pdfhttps://regulations.justia.com/regulations/fedreg/2019/10/28/2019-23427.htmlNotice - 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 Securities2019-10-28T00:00:00-07:002019-10-28T00:00:00-07:002019-23427Noticehttps://www.govinfo.gov/content/pkg/FR-2019-10-28/pdf/2019-23427.pdfhttps://regulations.justia.com/regulations/fedreg/2019/10/28/2019-23426.htmlNotice - 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 Program2019-10-28T00:00:00-07:002019-10-28T00:00:00-07:002019-23426Noticehttps://www.govinfo.gov/content/pkg/FR-2019-10-28/pdf/2019-23426.pdfhttps://regulations.justia.com/regulations/fedreg/2019/10/28/2019-23425.htmlNotice - 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 1/52019-10-28T00:00:00-07:002019-10-28T00:00:00-07:002019-23425Noticehttps://www.govinfo.gov/content/pkg/FR-2019-10-28/pdf/2019-23425.pdfhttps://regulations.justia.com/regulations/fedreg/2019/10/28/2019-23424.htmlNotice - 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 Transactions2019-10-28T00:00:00-07:002019-10-28T00:00:00-07:002019-23424Noticehttps://www.govinfo.gov/content/pkg/FR-2019-10-28/pdf/2019-23424.pdfhttps://regulations.justia.com/regulations/fedreg/2019/10/25/2019-23277.htmlNotice - 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)2019-10-25T00:00:00-07:002019-10-25T00:00:00-07:002019-23277Noticehttps://www.govinfo.gov/content/pkg/FR-2019-10-25/pdf/2019-23277.pdfhttps://regulations.justia.com/regulations/fedreg/2019/10/25/2019-23271.htmlNotice - 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, 20202019-10-25T00:00:00-07:002019-10-25T00:00:00-07:002019-23271Noticehttps://www.govinfo.gov/content/pkg/FR-2019-10-25/pdf/2019-23271.pdfhttps://regulations.justia.com/regulations/fedreg/2019/10/25/2019-23270.htmlNotice - 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, 20202019-10-25T00:00:00-07:002019-10-25T00:00:00-07:002019-23270Noticehttps://www.govinfo.gov/content/pkg/FR-2019-10-25/pdf/2019-23270.pdfhttps://regulations.justia.com/regulations/fedreg/2019/10/25/2019-23269.htmlNotice - 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, 20202019-10-25T00:00:00-07:002019-10-25T00:00:00-07:002019-23269Noticehttps://www.govinfo.gov/content/pkg/FR-2019-10-25/pdf/2019-23269.pdfhttps://regulations.justia.com/regulations/fedreg/2019/10/25/2019-23265.htmlNotice - 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 Exchanges2019-10-25T00:00:00-07:002019-10-25T00:00:00-07:002019-23265Noticehttps://www.govinfo.gov/content/pkg/FR-2019-10-25/pdf/2019-23265.pdfhttps://regulations.justia.com/regulations/fedreg/2019/10/25/2019-23262.htmlNotice - 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 Down2019-10-25T00:00:00-07:002019-10-25T00:00:00-07:002019-23262Noticehttps://www.govinfo.gov/content/pkg/FR-2019-10-25/pdf/2019-23262.pdfhttps://regulations.justia.com/regulations/fedreg/2019/10/25/2019-23261.htmlNotice - 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 Volatility2019-10-25T00:00:00-07:002019-10-25T00:00:00-07:002019-23261Noticehttps://www.govinfo.gov/content/pkg/FR-2019-10-25/pdf/2019-23261.pdfhttps://regulations.justia.com/regulations/fedreg/2019/10/25/2019-23260.htmlNotice - 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 Transfers2019-10-25T00:00:00-07:002019-10-25T00:00:00-07:002019-23260Noticehttps://www.govinfo.gov/content/pkg/FR-2019-10-25/pdf/2019-23260.pdfhttps://regulations.justia.com/regulations/fedreg/2019/10/25/2019-23259.htmlNotice - 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 Volatility2019-10-25T00:00:00-07:002019-10-25T00:00:00-07:002019-23259Noticehttps://www.govinfo.gov/content/pkg/FR-2019-10-25/pdf/2019-23259.pdfhttps://regulations.justia.com/regulations/fedreg/2019/10/25/2019-23258.htmlNotice - 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 Volatility2019-10-25T00:00:00-07:002019-10-25T00:00:00-07:002019-23258Noticehttps://www.govinfo.gov/content/pkg/FR-2019-10-25/pdf/2019-23258.pdfhttps://regulations.justia.com/regulations/fedreg/2019/10/25/2019-23257.htmlNotice - 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 Volatility2019-10-25T00:00:00-07:002019-10-25T00:00:00-07:002019-23257Noticehttps://www.govinfo.gov/content/pkg/FR-2019-10-25/pdf/2019-23257.pdfhttps://regulations.justia.com/regulations/fedreg/2019/10/25/2019-23256.htmlNotice - 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 Volatility2019-10-25T00:00:00-07:002019-10-25T00:00:00-07:002019-23256Noticehttps://www.govinfo.gov/content/pkg/FR-2019-10-25/pdf/2019-23256.pdfhttps://regulations.justia.com/regulations/fedreg/2019/10/25/2019-23255.htmlNotice - 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 Volatility2019-10-25T00:00:00-07:002019-10-25T00:00:00-07:002019-23255Noticehttps://www.govinfo.gov/content/pkg/FR-2019-10-25/pdf/2019-23255.pdfhttps://regulations.justia.com/regulations/fedreg/2019/10/25/2019-23254.htmlNotice - 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 Volatility2019-10-25T00:00:00-07:002019-10-25T00:00:00-07:002019-23254Noticehttps://www.govinfo.gov/content/pkg/FR-2019-10-25/pdf/2019-23254.pdfhttps://regulations.justia.com/regulations/fedreg/2019/10/25/2019-23253.htmlNotice - 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, 20202019-10-25T00:00:00-07:002019-10-25T00:00:00-07:002019-23253Noticehttps://www.govinfo.gov/content/pkg/FR-2019-10-25/pdf/2019-23253.pdfhttps://regulations.justia.com/regulations/fedreg/2019/10/24/2019-23211.htmlRule - Adoption of Updated EDGAR Filer Manual2019-10-24T00:00:00-07:002019-10-24T00:00:00-07:002019-23211Rulehttps://www.govinfo.gov/content/pkg/FR-2019-10-24/pdf/2019-23211.pdf