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/2019/11?limit=200®isters=between&min-day=1&max-day=30&mode=atom2024-04-26T13:51:20-07:00Justia Inchttps://www.justia.com/Justia Regulations Trackerhttps://regulations.justia.com/images/justiafedregulations.gifCopyright 2011 Justia Inchttps://regulations.justia.com/regulations/fedreg/2019/11/29/2019-25868.htmlNotice - Proposed Collection; Comment Request2019-11-29T00:00:00-08:002019-11-29T00:00:00-08:002019-25868Noticehttps://www.govinfo.gov/content/pkg/FR-2019-11-29/pdf/2019-25868.pdfhttps://regulations.justia.com/regulations/fedreg/2019/11/29/2019-25867.htmlNotice - Proposed Collection; Comment Request2019-11-29T00:00:00-08:002019-11-29T00:00:00-08:002019-25867Noticehttps://www.govinfo.gov/content/pkg/FR-2019-11-29/pdf/2019-25867.pdfhttps://regulations.justia.com/regulations/fedreg/2019/11/29/2019-25866.htmlNotice - Proposed Collection; Comment Request2019-11-29T00:00:00-08:002019-11-29T00:00:00-08:002019-25866Noticehttps://www.govinfo.gov/content/pkg/FR-2019-11-29/pdf/2019-25866.pdfhttps://regulations.justia.com/regulations/fedreg/2019/11/29/2019-25841.htmlNotice - Self-Regulatory Organizations; The Options Clearing Corporation; Order Instituting Proceedings To Determine Whether To Approve or Disapprove the Proposed Rule Concerning a Proposed Capital Management Policy That Would Support The Options Clearing Corporation's Function as a Systemically Important Financial Market Utility2019-11-29T00:00:00-08:002019-11-29T00:00:00-08:002019-25841Noticehttps://www.govinfo.gov/content/pkg/FR-2019-11-29/pdf/2019-25841.pdfhttps://regulations.justia.com/regulations/fedreg/2019/11/29/2019-25840.htmlNotice - Self-Regulatory Organizations; Cboe BYX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Paragraph (a) of Rule 11.1 To Allow the Exchange To Accept Stop Orders Entered Between 6:00 and 7:00 a.m. Eastern Time2019-11-29T00:00:00-08:002019-11-29T00:00:00-08:002019-25840Noticehttps://www.govinfo.gov/content/pkg/FR-2019-11-29/pdf/2019-25840.pdfhttps://regulations.justia.com/regulations/fedreg/2019/11/29/2019-25839.htmlNotice - Self-Regulatory Organizations; Cboe BZX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Paragraph (a) of Rule 11.1 To Allow the Exchange To Accept Stop Orders Entered Between 6:00 and 7:00 a.m. Eastern Time2019-11-29T00:00:00-08:002019-11-29T00:00:00-08:002019-25839Noticehttps://www.govinfo.gov/content/pkg/FR-2019-11-29/pdf/2019-25839.pdfhttps://regulations.justia.com/regulations/fedreg/2019/11/29/2019-25838.htmlNotice - Self-Regulatory Organizations; Cboe EDGX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Subparagraph (a)(1) of Rule 11.1 To Allow the Exchange To Accept Market Orders With a Stop Price Entered Between 6:00 and 7:00 a.m. Eastern Time2019-11-29T00:00:00-08:002019-11-29T00:00:00-08:002019-25838Noticehttps://www.govinfo.gov/content/pkg/FR-2019-11-29/pdf/2019-25838.pdfhttps://regulations.justia.com/regulations/fedreg/2019/11/29/2019-25837.htmlNotice - Self-Regulatory Organizations; Cboe EDGA Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Subparagraph (a)(1) of Rule 11.1 To Allow the Exchange To Accept Market Orders With a Stop Price Entered Between 6:00 and 7:00 a.m. Eastern Time2019-11-29T00:00:00-08:002019-11-29T00:00:00-08:002019-25837Noticehttps://www.govinfo.gov/content/pkg/FR-2019-11-29/pdf/2019-25837.pdfhttps://regulations.justia.com/regulations/fedreg/2019/11/29/2019-25836.htmlNotice - Self-Regulatory Organizations; Cboe Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Its Financial Incentive Programs for Global Trading Hours Lead Market-Makers in VIX2019-11-29T00:00:00-08:002019-11-29T00:00:00-08:002019-25836Noticehttps://www.govinfo.gov/content/pkg/FR-2019-11-29/pdf/2019-25836.pdfhttps://regulations.justia.com/regulations/fedreg/2019/11/29/2019-25835.htmlNotice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing of Amendment No. 2 and Order Instituting Proceedings To Determine Whether To Approve or Disapprove a Proposed Rule Change, as Modified by Amendment No. 2 Thereto, To List and Trade Shares of the KFA Global Carbon ETF Under NYSE Arca Rule 8.600-E2019-11-29T00:00:00-08:002019-11-29T00:00:00-08:002019-25835Noticehttps://www.govinfo.gov/content/pkg/FR-2019-11-29/pdf/2019-25835.pdfhttps://regulations.justia.com/regulations/fedreg/2019/11/29/2019-25834.htmlNotice - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing of Proposed Rule Change To Amend Article II, Section 2.03 of the Twelfth Amended and Restated Operating Agreement of the Exchange To Remove the Independence Requirement for the Director Elected by Exchange Membership Organizations2019-11-29T00:00:00-08:002019-11-29T00:00:00-08:002019-25834Noticehttps://www.govinfo.gov/content/pkg/FR-2019-11-29/pdf/2019-25834.pdfhttps://regulations.justia.com/regulations/fedreg/2019/11/29/2019-25833.htmlNotice - Self-Regulatory Organizations; Cboe EDGX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Remove its Partial Post Only at Limit Order Type2019-11-29T00:00:00-08:002019-11-29T00:00:00-08:002019-25833Noticehttps://www.govinfo.gov/content/pkg/FR-2019-11-29/pdf/2019-25833.pdfhttps://regulations.justia.com/regulations/fedreg/2019/11/27/2019-25803.htmlNotice - Consolidated Tape Association; Notice of Filing and Immediate Effectiveness of the Forty-Sixth Amendment to the Joint Self-Regulatory Organization Plan Governing the Collection, Consolidation and Dissemination of Quotation and Transaction Information for Nasdaq-Listed Securities Traded on Exchanges on an Unlisted Trading Privileges Basis2019-11-27T00:00:00-08:002019-11-27T00:00:00-08:002019-25803Noticehttps://www.govinfo.gov/content/pkg/FR-2019-11-27/pdf/2019-25803.pdfhttps://regulations.justia.com/regulations/fedreg/2019/11/27/2019-25802.htmlNotice - Joint Industry Plan; Notice of Filing and Immediate Effectiveness of Amendment to the Plan Governing the Consolidated Audit Trail To Add Long-Term Stock Exchange LLC as a Participant2019-11-27T00:00:00-08:002019-11-27T00:00:00-08:002019-25802Noticehttps://www.govinfo.gov/content/pkg/FR-2019-11-27/pdf/2019-25802.pdfhttps://regulations.justia.com/regulations/fedreg/2019/11/27/2019-25801.htmlNotice - Consolidated Tape Association; Notice of Filing and Immediate Effectiveness of the Thirty-Second Substantive Amendment to the Second Restatement of the CTA Plan and Twenty-Third Substantive Amendment to the Restated CQ Plan2019-11-27T00:00:00-08:002019-11-27T00:00:00-08:002019-25801Noticehttps://www.govinfo.gov/content/pkg/FR-2019-11-27/pdf/2019-25801.pdfhttps://regulations.justia.com/regulations/fedreg/2019/11/27/2019-25800.htmlNotice - Joint Industry Plan; Notice of Filing and Immediate Effectiveness of Amendment to the National Market System Plan for the Selection and Reservation of Securities Symbols To Add Long-Term Stock Exchange, Inc. as a Party Thereto2019-11-27T00:00:00-08:002019-11-27T00:00:00-08:002019-25800Noticehttps://www.govinfo.gov/content/pkg/FR-2019-11-27/pdf/2019-25800.pdfhttps://regulations.justia.com/regulations/fedreg/2019/11/27/2019-25799.htmlNotice - Joint Industry Plan; Notice of Filing and Immediate Effectiveness of Amendment to the Plan Establishing Procedures Under Rule 605 of Regulation NMS To Add the Long Term Stock Exchange, Inc. as a Participant2019-11-27T00:00:00-08:002019-11-27T00:00:00-08:002019-25799Noticehttps://www.govinfo.gov/content/pkg/FR-2019-11-27/pdf/2019-25799.pdfhttps://regulations.justia.com/regulations/fedreg/2019/11/27/2019-25798.htmlNotice - Blackstone Alternative Alpha Fund, et al.2019-11-27T00:00:00-08:002019-11-27T00:00:00-08:002019-25798Noticehttps://www.govinfo.gov/content/pkg/FR-2019-11-27/pdf/2019-25798.pdfhttps://regulations.justia.com/regulations/fedreg/2019/11/27/2019-25707.htmlNotice - Self-Regulatory Organizations; Municipal Securities Rulemaking Board; Notice of Filing of a Proposed Rule Change To Amend the Information Facility of the MSRB's Electronic Municipal Market Access (EMMA®) System2019-11-27T00:00:00-08:002019-11-27T00:00:00-08:002019-25707Noticehttps://www.govinfo.gov/content/pkg/FR-2019-11-27/pdf/2019-25707.pdfhttps://regulations.justia.com/regulations/fedreg/2019/11/27/2019-25706.htmlNotice - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Exchange Rule 7.37 To Specify in Exchange Rules the Exchange's Source of Data Feeds From NYSE American LLC2019-11-27T00:00:00-08:002019-11-27T00:00:00-08:002019-25706Noticehttps://www.govinfo.gov/content/pkg/FR-2019-11-27/pdf/2019-25706.pdfhttps://regulations.justia.com/regulations/fedreg/2019/11/27/2019-25703.htmlNotice - Self-Regulatory Organizations; Cboe BZX Exchange, Inc.; Notice of Designation of a Longer Period for Commission Action on 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)2019-11-27T00:00:00-08:002019-11-27T00:00:00-08:002019-25703Noticehttps://www.govinfo.gov/content/pkg/FR-2019-11-27/pdf/2019-25703.pdfhttps://regulations.justia.com/regulations/fedreg/2019/11/26/2019-25672.htmlNotice - North Square Investments Trust, et al.; Notice of Application2019-11-26T00:00:00-08:002019-11-26T00:00:00-08:002019-25672Noticehttps://www.govinfo.gov/content/pkg/FR-2019-11-26/pdf/2019-25672.pdfhttps://regulations.justia.com/regulations/fedreg/2019/11/26/2019-25588.htmlNotice - Self-Regulatory Organizations; Investors Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the Table in Rule 11.410(a) To Update the Market Data Source That the Exchange Will Use To Determine the Top of Book Quotation for NYSE Chicago, Inc. and To Amend Rules 2.220(a)(7) and 11.410(a) To Reflect the Name Change of Chicago Stock Exchange, Inc. to NYSE Chicago, Inc.2019-11-26T00:00:00-08:002019-11-26T00:00:00-08:002019-25588Noticehttps://www.govinfo.gov/content/pkg/FR-2019-11-26/pdf/2019-25588.pdfhttps://regulations.justia.com/regulations/fedreg/2019/11/26/2019-25587.htmlNotice - Self-Regulatory Organizations; the Options Clearing Corporation; Order Approving Proposed Rule Change To Establish a Regulatory Committee of the Options Clearing Corporation's Board of Directors2019-11-26T00:00:00-08:002019-11-26T00:00:00-08:002019-25587Noticehttps://www.govinfo.gov/content/pkg/FR-2019-11-26/pdf/2019-25587.pdfhttps://regulations.justia.com/regulations/fedreg/2019/11/26/2019-25586.htmlNotice - Self-Regulatory Organizations; NYSE Arca, Inc.; Order Approving a Proposed Rule Change, as Modified by Amendment No. 1, Relating to the Permitted Investments of the PGIM Ultra Short Bond ETF2019-11-26T00:00:00-08:002019-11-26T00:00:00-08:002019-25586Noticehttps://www.govinfo.gov/content/pkg/FR-2019-11-26/pdf/2019-25586.pdfhttps://regulations.justia.com/regulations/fedreg/2019/11/26/2019-25585.htmlNotice - Self-Regulatory Organizations; NYSE Chicago, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Exchange Rule 7.37 To Specify in Exchange Rules the Exchange's Source of Data Feeds From NYSE American LLC2019-11-26T00:00:00-08:002019-11-26T00:00:00-08:002019-25585Noticehttps://www.govinfo.gov/content/pkg/FR-2019-11-26/pdf/2019-25585.pdfhttps://regulations.justia.com/regulations/fedreg/2019/11/25/2019-25456.htmlNotice - Self-Regulatory Organizations; NYSE Chicago, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Adopting Rules Relating to Order Audit Trail System Requirements2019-11-25T00:00:00-08:002019-11-25T00:00:00-08:002019-25456Noticehttps://www.govinfo.gov/content/pkg/FR-2019-11-25/pdf/2019-25456.pdfhttps://regulations.justia.com/regulations/fedreg/2019/11/25/2019-25450.htmlRule - Staff Accounting Bulletin No. 1192019-11-25T00:00:00-08:002019-11-25T00:00:00-08:002019-25450Rulehttps://www.govinfo.gov/content/pkg/FR-2019-11-25/pdf/2019-25450.pdfhttps://regulations.justia.com/regulations/fedreg/2019/11/22/2019-25324.htmlNotice - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing of a Proposed Rule Change To Amend FINRA Rule 12000 Series To Expand Options Available to Customers if a Firm or Associated Person Is or Becomes Inactive2019-11-22T00:00:00-08:002019-11-22T00:00:00-08:002019-25324Noticehttps://www.govinfo.gov/content/pkg/FR-2019-11-22/pdf/2019-25324.pdfhttps://regulations.justia.com/regulations/fedreg/2019/11/22/2019-25320.htmlNotice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Permitting the Listing and Trading of Shares of the Nationwide Risk-Managed Income ETF Under NYSE Arca Rule 8.600-E2019-11-22T00:00:00-08:002019-11-22T00:00:00-08:002019-25320Noticehttps://www.govinfo.gov/content/pkg/FR-2019-11-22/pdf/2019-25320.pdfhttps://regulations.justia.com/regulations/fedreg/2019/11/22/2019-25319.htmlNotice - Self-Regulatory Organizations; Cboe C2 Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating To Amend the Fat Finger Check in Rule 6.14 as It Applies to Stop-Limit Orders2019-11-22T00:00:00-08:002019-11-22T00:00:00-08:002019-25319Noticehttps://www.govinfo.gov/content/pkg/FR-2019-11-22/pdf/2019-25319.pdfhttps://regulations.justia.com/regulations/fedreg/2019/11/22/2019-25318.htmlNotice - Self-Regulatory Organizations; Cboe BZX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating To Amend the Fat Finger Check in Rule 21.17 as it Applies To Stop Limit Orders2019-11-22T00:00:00-08:002019-11-22T00:00:00-08:002019-25318Noticehttps://www.govinfo.gov/content/pkg/FR-2019-11-22/pdf/2019-25318.pdfhttps://regulations.justia.com/regulations/fedreg/2019/11/22/2019-25317.htmlNotice - Self-Regulatory Organizations; Cboe BZX Exchange, Inc.; Notice of Filing of a Proposed Rule Change To Adopt BZX Rule 14.11(l) To Permit the Listing and Trading of Exchange-Traded Fund Shares That Are Permitted To Operate in Reliance on Rule 6c-11 Under the Investment Company Act of 19402019-11-22T00:00:00-08:002019-11-22T00:00:00-08:002019-25317Noticehttps://www.govinfo.gov/content/pkg/FR-2019-11-22/pdf/2019-25317.pdfhttps://regulations.justia.com/regulations/fedreg/2019/11/22/2019-25316.htmlNotice - Self-Regulatory Organizations; The Nasdaq Stock Market LLC; Notice of Filing of a Proposed Rule Change To Adopt Nasdaq Rule 5704 and Other Related Amendments2019-11-22T00:00:00-08:002019-11-22T00:00:00-08:002019-25316Noticehttps://www.govinfo.gov/content/pkg/FR-2019-11-22/pdf/2019-25316.pdfhttps://regulations.justia.com/regulations/fedreg/2019/11/22/2019-25315.htmlNotice - Self-Regulatory Organizations; ICE Clear Europe Limited; Notice of Filing and Immediate Effectiveness of Proposed Rule Change, Security-Based Swap Submission or Advance Notice Relating to Amendments to the ICE Clear Europe Clearing Rules and General Contract Terms2019-11-22T00:00:00-08:002019-11-22T00:00:00-08:002019-25315Noticehttps://www.govinfo.gov/content/pkg/FR-2019-11-22/pdf/2019-25315.pdfhttps://regulations.justia.com/regulations/fedreg/2019/11/22/2019-25308.htmlNotice - AMG Pantheon Master Fund, LLC, et al.2019-11-22T00:00:00-08:002019-11-22T00:00:00-08:002019-25308Noticehttps://www.govinfo.gov/content/pkg/FR-2019-11-22/pdf/2019-25308.pdfhttps://regulations.justia.com/regulations/fedreg/2019/11/21/2019-25216.htmlNotice - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending the NYSE Proprietary Market Data Fee Schedule Regarding the NYSE Best Quote and Trades Market Data Feed2019-11-21T00:00:00-08:002019-11-21T00:00:00-08:002019-25216Noticehttps://www.govinfo.gov/content/pkg/FR-2019-11-21/pdf/2019-25216.pdfhttps://regulations.justia.com/regulations/fedreg/2019/11/21/2019-25215.htmlNotice - Self-Regulatory Organizations; Cboe Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Its Fee Schedule2019-11-21T00:00:00-08:002019-11-21T00:00:00-08:002019-25215Noticehttps://www.govinfo.gov/content/pkg/FR-2019-11-21/pdf/2019-25215.pdfhttps://regulations.justia.com/regulations/fedreg/2019/11/21/2019-25214.htmlNotice - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Its Price List To Offer New Credits and Rebates2019-11-21T00:00:00-08:002019-11-21T00:00:00-08:002019-25214Noticehttps://www.govinfo.gov/content/pkg/FR-2019-11-21/pdf/2019-25214.pdfhttps://regulations.justia.com/regulations/fedreg/2019/11/21/2019-25212.htmlNotice - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Its Price List To Revise the Step Up Tier 2 Adding Credit in Tape A Securities2019-11-21T00:00:00-08:002019-11-21T00:00:00-08:002019-25212Noticehttps://www.govinfo.gov/content/pkg/FR-2019-11-21/pdf/2019-25212.pdfhttps://regulations.justia.com/regulations/fedreg/2019/11/21/2019-25211.htmlNotice - Self-Regulatory Organizations; Cboe EDGA Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the Fee Schedule2019-11-21T00:00:00-08:002019-11-21T00:00:00-08:002019-25211Noticehttps://www.govinfo.gov/content/pkg/FR-2019-11-21/pdf/2019-25211.pdfhttps://regulations.justia.com/regulations/fedreg/2019/11/21/2019-25210.htmlNotice - Self-Regulatory Organizations; NYSE American LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Amending Its Annual Listing Fees for Equity Securities2019-11-21T00:00:00-08:002019-11-21T00:00:00-08:002019-25210Noticehttps://www.govinfo.gov/content/pkg/FR-2019-11-21/pdf/2019-25210.pdfhttps://regulations.justia.com/regulations/fedreg/2019/11/21/2019-25209.htmlNotice - Self-Regulatory Organizations; NYSE American LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Exchange Rule 7.37E Regarding the Exchange's Use of Data Feeds From NYSE Chicago, Inc. and Amend Exchange Rule 7.45E To Reflect That Archipelago Securities LLC Would Function as a Routing Broker for NYSE Chicago, Inc.2019-11-21T00:00:00-08:002019-11-21T00:00:00-08:002019-25209Noticehttps://www.govinfo.gov/content/pkg/FR-2019-11-21/pdf/2019-25209.pdfhttps://regulations.justia.com/regulations/fedreg/2019/11/21/2019-25208.htmlNotice - Self-Regulatory Organizations; Cboe BZX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the Definition of the Final Last Sale Eligible Trade2019-11-21T00:00:00-08:002019-11-21T00:00:00-08:002019-25208Noticehttps://www.govinfo.gov/content/pkg/FR-2019-11-21/pdf/2019-25208.pdfhttps://regulations.justia.com/regulations/fedreg/2019/11/21/2019-25207.htmlNotice - Self-Regulatory Organizations; NYSE American LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Exchange Rules 1.1E and 7.29E To Eliminate the Delay Mechanism and Amend Exchange Rule 7.31E and Related Exchange Rules To Re-Introduce Previously-Approved Order Types and Modifiers2019-11-21T00:00:00-08:002019-11-21T00:00:00-08:002019-25207Noticehttps://www.govinfo.gov/content/pkg/FR-2019-11-21/pdf/2019-25207.pdfhttps://regulations.justia.com/regulations/fedreg/2019/11/21/2019-25206.htmlNotice - Self-Regulatory Organizations; ICE Clear Credit LLC; Notice of Filing of Proposed Rule Change Relating to ICC's Treasury Operations Policies and Procedures2019-11-21T00:00:00-08:002019-11-21T00:00:00-08:002019-25206Noticehttps://www.govinfo.gov/content/pkg/FR-2019-11-21/pdf/2019-25206.pdfhttps://regulations.justia.com/regulations/fedreg/2019/11/20/2019-25108.htmlNotice - Self-Regulatory Organizations; The Nasdaq Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Modify Certain Annual Listing Fees2019-11-20T00:00:00-08:002019-11-20T00:00:00-08:002019-25108Noticehttps://www.govinfo.gov/content/pkg/FR-2019-11-20/pdf/2019-25108.pdfhttps://regulations.justia.com/regulations/fedreg/2019/11/20/2019-25107.htmlNotice - Self-Regulatory Organizations; NYSE Chicago, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending the Fee Schedule of NYSE Chicago, Inc. in Connection With the Exchange's Transition to Trading to the Pillar Trading Platform2019-11-20T00:00:00-08:002019-11-20T00:00:00-08:002019-25107Noticehttps://www.govinfo.gov/content/pkg/FR-2019-11-20/pdf/2019-25107.pdfhttps://regulations.justia.com/regulations/fedreg/2019/11/20/2019-25106.htmlNotice - 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 the BYX Equities Trading Platform as it Relates to Pricing for Orders Routed to Cboe EDGA Exchange, Inc. Using the ALLB, TRIM, or SLIM Routing Strategy2019-11-20T00:00:00-08:002019-11-20T00:00:00-08:002019-25106Noticehttps://www.govinfo.gov/content/pkg/FR-2019-11-20/pdf/2019-25106.pdfhttps://regulations.justia.com/regulations/fedreg/2019/11/20/2019-25105.htmlNotice - Self-Regulatory Organizations; LCH SA; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Amendments to LCH SA's Fee Grid for Non Cash Collateral2019-11-20T00:00:00-08:002019-11-20T00:00:00-08:002019-25105Noticehttps://www.govinfo.gov/content/pkg/FR-2019-11-20/pdf/2019-25105.pdfhttps://regulations.justia.com/regulations/fedreg/2019/11/20/2019-25104.htmlNotice - Self-Regulatory Organizations; Cboe BYX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the Fee Schedule2019-11-20T00:00:00-08:002019-11-20T00:00:00-08:002019-25104Noticehttps://www.govinfo.gov/content/pkg/FR-2019-11-20/pdf/2019-25104.pdfhttps://regulations.justia.com/regulations/fedreg/2019/11/20/2019-25103.htmlNotice - Self-Regulatory Organizations; Nasdaq PHLX LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the Customer Rebate Program2019-11-20T00:00:00-08:002019-11-20T00:00:00-08:002019-25103Noticehttps://www.govinfo.gov/content/pkg/FR-2019-11-20/pdf/2019-25103.pdfhttps://regulations.justia.com/regulations/fedreg/2019/11/20/2019-25101.htmlNotice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing of Proposed Rule Change To Establish Generic Listing Standards for Derivative Securities Products That Are Permitted To Operate in Reliance on Rule 6c-11 Under the Investment Company Act of 19402019-11-20T00:00:00-08:002019-11-20T00:00:00-08:002019-25101Noticehttps://www.govinfo.gov/content/pkg/FR-2019-11-20/pdf/2019-25101.pdfhttps://regulations.justia.com/regulations/fedreg/2019/11/20/2019-25100.htmlNotice - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing of a Proposed Rule Change To Allow FINRA To Publish or Distribute Aggregated Transaction Information and Statistics on U.S. Treasury Securities2019-11-20T00:00:00-08:002019-11-20T00:00:00-08:002019-25100Noticehttps://www.govinfo.gov/content/pkg/FR-2019-11-20/pdf/2019-25100.pdfhttps://regulations.justia.com/regulations/fedreg/2019/11/20/2019-25098.htmlNotice - Submission for OMB Review; Comment Request2019-11-20T00:00:00-08:002019-11-20T00:00:00-08:002019-25098Noticehttps://www.govinfo.gov/content/pkg/FR-2019-11-20/pdf/2019-25098.pdfhttps://regulations.justia.com/regulations/fedreg/2019/11/20/2019-25097.htmlNotice - Submission for OMB Review; Comment Request2019-11-20T00:00:00-08:002019-11-20T00:00:00-08:002019-25097Noticehttps://www.govinfo.gov/content/pkg/FR-2019-11-20/pdf/2019-25097.pdfhttps://regulations.justia.com/regulations/fedreg/2019/11/20/2019-25096.htmlNotice - Submission for OMB Review; Comment Request2019-11-20T00:00:00-08:002019-11-20T00:00:00-08:002019-25096Noticehttps://www.govinfo.gov/content/pkg/FR-2019-11-20/pdf/2019-25096.pdfhttps://regulations.justia.com/regulations/fedreg/2019/11/20/2019-25094.htmlNotice - Submission for OMB Review; Comment Request2019-11-20T00:00:00-08:002019-11-20T00:00:00-08:002019-25094Noticehttps://www.govinfo.gov/content/pkg/FR-2019-11-20/pdf/2019-25094.pdfhttps://regulations.justia.com/regulations/fedreg/2019/11/20/2019-25093.htmlNotice - Submission for OMB Review; Comment Request2019-11-20T00:00:00-08:002019-11-20T00:00:00-08:002019-25093Noticehttps://www.govinfo.gov/content/pkg/FR-2019-11-20/pdf/2019-25093.pdfhttps://regulations.justia.com/regulations/fedreg/2019/11/20/2019-25071.htmlNotice - Natixis ETF Trust II, et al.; Notice of Application2019-11-20T00:00:00-08:002019-11-20T00:00:00-08:002019-25071Noticehttps://www.govinfo.gov/content/pkg/FR-2019-11-20/pdf/2019-25071.pdfhttps://regulations.justia.com/regulations/fedreg/2019/11/20/2019-25070.htmlNotice - Fidelity Beach Street Trust, et al.; Notice of Application2019-11-20T00:00:00-08:002019-11-20T00:00:00-08:002019-25070Noticehttps://www.govinfo.gov/content/pkg/FR-2019-11-20/pdf/2019-25070.pdfhttps://regulations.justia.com/regulations/fedreg/2019/11/20/2019-25069.htmlNotice - T. Rowe Price Associates, Inc. and T. Rowe Price Equity Series, Inc.; Notice of Application2019-11-20T00:00:00-08:002019-11-20T00:00:00-08:002019-25069Noticehttps://www.govinfo.gov/content/pkg/FR-2019-11-20/pdf/2019-25069.pdfhttps://regulations.justia.com/regulations/fedreg/2019/11/20/2019-25068.htmlNotice - Blue Tractor ETF Trust and Blue Tractor Group, LLC; Notice of Application2019-11-20T00:00:00-08:002019-11-20T00:00:00-08:002019-25068Noticehttps://www.govinfo.gov/content/pkg/FR-2019-11-20/pdf/2019-25068.pdfhttps://regulations.justia.com/regulations/fedreg/2019/11/20/2019-24971.htmlNotice - Submission for OMB Review; Comment Request2019-11-20T00:00:00-08:002019-11-20T00:00:00-08:002019-24971Noticehttps://www.govinfo.gov/content/pkg/FR-2019-11-20/pdf/2019-24971.pdfhttps://regulations.justia.com/regulations/fedreg/2019/11/20/2019-24856.htmlNotice - Self-Regulatory Organizations; ICE Clear Europe Limited; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Amendments to the Business Continuity Procedures (the “Business Continuity Procedures”)2019-11-20T00:00:00-08:002019-11-20T00:00:00-08:002019-24856Noticehttps://www.govinfo.gov/content/pkg/FR-2019-11-20/pdf/2019-24856.pdfhttps://regulations.justia.com/regulations/fedreg/2019/11/19/2019-25009.htmlNotice - Submission for OMB Review; Comment Request2019-11-19T00:00:00-08:002019-11-19T00:00:00-08:002019-25009Noticehttps://www.govinfo.gov/content/pkg/FR-2019-11-19/pdf/2019-25009.pdfhttps://regulations.justia.com/regulations/fedreg/2019/11/19/2019-25007.htmlNotice - Submission for OMB Review; Comment Request2019-11-19T00:00:00-08:002019-11-19T00:00:00-08:002019-25007Noticehttps://www.govinfo.gov/content/pkg/FR-2019-11-19/pdf/2019-25007.pdfhttps://regulations.justia.com/regulations/fedreg/2019/11/19/2019-25006.htmlNotice - Submission for OMB Review; Comment Request2019-11-19T00:00:00-08:002019-11-19T00:00:00-08:002019-25006Noticehttps://www.govinfo.gov/content/pkg/FR-2019-11-19/pdf/2019-25006.pdfhttps://regulations.justia.com/regulations/fedreg/2019/11/19/2019-25005.htmlNotice - Submission for OMB Review; Comment Request2019-11-19T00:00:00-08:002019-11-19T00:00:00-08:002019-25005Noticehttps://www.govinfo.gov/content/pkg/FR-2019-11-19/pdf/2019-25005.pdfhttps://regulations.justia.com/regulations/fedreg/2019/11/19/2019-25004.htmlNotice - Submission for OMB Review; Comment Request2019-11-19T00:00:00-08:002019-11-19T00:00:00-08:002019-25004Noticehttps://www.govinfo.gov/content/pkg/FR-2019-11-19/pdf/2019-25004.pdfhttps://regulations.justia.com/regulations/fedreg/2019/11/19/2019-25002.htmlNotice - Submission for OMB Review; Comment Request2019-11-19T00:00:00-08:002019-11-19T00:00:00-08:002019-25002Noticehttps://www.govinfo.gov/content/pkg/FR-2019-11-19/pdf/2019-25002.pdfhttps://regulations.justia.com/regulations/fedreg/2019/11/19/2019-25001.htmlNotice - Submission for OMB Review; Comment Request2019-11-19T00:00:00-08:002019-11-19T00:00:00-08:002019-25001Noticehttps://www.govinfo.gov/content/pkg/FR-2019-11-19/pdf/2019-25001.pdfhttps://regulations.justia.com/regulations/fedreg/2019/11/19/2019-24982.htmlNotice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Rule 7.31-E To Delete Cross Orders2019-11-19T00:00:00-08:002019-11-19T00:00:00-08:002019-24982Noticehttps://www.govinfo.gov/content/pkg/FR-2019-11-19/pdf/2019-24982.pdfhttps://regulations.justia.com/regulations/fedreg/2019/11/19/2019-24981.htmlNotice - Self-Regulatory Organizations; Cboe BZX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the Fee Schedule Applicable to the BZX Equities Trading Platform as it Relates to Pricing for Orders Routed to Cboe EDGA Exchange, Inc. Using the ALLB, TRIM, or SLIM Routing Strategy2019-11-19T00:00:00-08:002019-11-19T00:00:00-08:002019-24981Noticehttps://www.govinfo.gov/content/pkg/FR-2019-11-19/pdf/2019-24981.pdfhttps://regulations.justia.com/regulations/fedreg/2019/11/19/2019-24980.htmlNotice - Self-Regulatory Organizations; LCH SA; Notice of Filing of Proposed Rule Change Relating to Amendments to CDSClear Reference Guide To Allow Index Basis Packages Margining2019-11-19T00:00:00-08:002019-11-19T00:00:00-08:002019-24980Noticehttps://www.govinfo.gov/content/pkg/FR-2019-11-19/pdf/2019-24980.pdfhttps://regulations.justia.com/regulations/fedreg/2019/11/19/2019-24979.htmlNotice - Self-Regulatory Organizations; Cboe Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Extend the Operation of Its Flexible Exchange Options (“FLEX Options”) PM Exercise Settlement Pilot Program for FLEX Index Options2019-11-19T00:00:00-08:002019-11-19T00:00:00-08:002019-24979Noticehttps://www.govinfo.gov/content/pkg/FR-2019-11-19/pdf/2019-24979.pdfhttps://regulations.justia.com/regulations/fedreg/2019/11/19/2019-24978.htmlNotice - Self-Regulatory Organizations; Nasdaq PHLX LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Remove Rule Text From Phlx Rule 1101A2019-11-19T00:00:00-08:002019-11-19T00:00:00-08:002019-24978Noticehttps://www.govinfo.gov/content/pkg/FR-2019-11-19/pdf/2019-24978.pdfhttps://regulations.justia.com/regulations/fedreg/2019/11/19/2019-24977.htmlNotice - Self-Regulatory Organizations; The Depository Trust Company; Notice of Filing of Proposed Rule Change To Amend the Redemptions Guide Relating to the Call Lottery Process for Partial Redemptions2019-11-19T00:00:00-08:002019-11-19T00:00:00-08:002019-24977Noticehttps://www.govinfo.gov/content/pkg/FR-2019-11-19/pdf/2019-24977.pdfhttps://regulations.justia.com/regulations/fedreg/2019/11/19/2019-24976.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 Facility To Establish BOX Connectivity Fees for Participants and Non-Participants Who Connect to the BOX Network2019-11-19T00:00:00-08:002019-11-19T00:00:00-08:002019-24976Noticehttps://www.govinfo.gov/content/pkg/FR-2019-11-19/pdf/2019-24976.pdfhttps://regulations.justia.com/regulations/fedreg/2019/11/19/2019-24975.htmlNotice - Self-Regulatory Organizations; Cboe EDGX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating To Amend the Fee Schedule Applicable to the EDGX Equities Trading Platform as It Relates to Pricing for Orders Routed to Cboe EDGA Exchange, Inc. Using the ALLB, ROUC, ROUE, or DIRC Routing Strategy2019-11-19T00:00:00-08:002019-11-19T00:00:00-08:002019-24975Noticehttps://www.govinfo.gov/content/pkg/FR-2019-11-19/pdf/2019-24975.pdfhttps://regulations.justia.com/regulations/fedreg/2019/11/19/2019-24974.htmlNotice - Self-Regulatory Organizations; NYSE American LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Rule 7.31E To Delete Cross Orders2019-11-19T00:00:00-08:002019-11-19T00:00:00-08:002019-24974Noticehttps://www.govinfo.gov/content/pkg/FR-2019-11-19/pdf/2019-24974.pdfhttps://regulations.justia.com/regulations/fedreg/2019/11/19/2019-24973.htmlNotice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing of Proposed Rule Change, as Modified by Amendment No. 1, Relating to Listing and Trading of Shares of the Innovator PTAM Core Bond ETF Under NYSE Arca Rule 8.600-E2019-11-19T00:00:00-08:002019-11-19T00:00:00-08:002019-24973Noticehttps://www.govinfo.gov/content/pkg/FR-2019-11-19/pdf/2019-24973.pdfhttps://regulations.justia.com/regulations/fedreg/2019/11/19/2019-24972.htmlNotice - Self-Regulatory Organizations; NYSE National, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Rule 7.31 to Delete Cross Orders2019-11-19T00:00:00-08:002019-11-19T00:00:00-08:002019-24972Noticehttps://www.govinfo.gov/content/pkg/FR-2019-11-19/pdf/2019-24972.pdfhttps://regulations.justia.com/regulations/fedreg/2019/11/19/2019-24968.htmlNotice - Self-Regulatory Organizations; Cboe EDGX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating To Amend the Fat Finger Check in Rule 21.17 as it Applies To Stop Limit Orders2019-11-19T00:00:00-08:002019-11-19T00:00:00-08:002019-24968Noticehttps://www.govinfo.gov/content/pkg/FR-2019-11-19/pdf/2019-24968.pdfhttps://regulations.justia.com/regulations/fedreg/2019/11/18/2019-24874.htmlNotice - Self-Regulatory Organizations; NYSE Arca, Inc.; Order Scheduling Filing of Statements on Review for an Order of Disapproval of Proposed Rule Change To List and Trade the Shares of Bitwise Bitcoin ETF Trust2019-11-18T00:00:00-08:002019-11-18T00:00:00-08:002019-24874Noticehttps://www.govinfo.gov/content/pkg/FR-2019-11-18/pdf/2019-24874.pdfhttps://regulations.justia.com/regulations/fedreg/2019/11/18/2019-24872.htmlNotice - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending the Content of the NYSE Best Quote & Trades Data Feed To Include Data Feeds From NYSE Chicago BBO and Trades2019-11-18T00:00:00-08:002019-11-18T00:00:00-08:002019-24872Noticehttps://www.govinfo.gov/content/pkg/FR-2019-11-18/pdf/2019-24872.pdfhttps://regulations.justia.com/regulations/fedreg/2019/11/18/2019-24871.htmlNotice - Self-Regulatory Organizations; CboeBZX 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 Allow the JPMorgan Core Plus Bond ETF of the J.P. Morgan Exchange-Traded Fund Trust To Hold Certain Instruments in a Manner That May Not Comply With Rule 14.11(i), Managed Fund Shares2019-11-18T00:00:00-08:002019-11-18T00:00:00-08:002019-24871Noticehttps://www.govinfo.gov/content/pkg/FR-2019-11-18/pdf/2019-24871.pdfhttps://regulations.justia.com/regulations/fedreg/2019/11/18/2019-24870.htmlNotice - Self-Regulatory Organizations; Cboe EDGX Exchange, Inc.; Notice of Withdrawal of Proposed Rule Change To Amend the Cboe EDGX Exchange, Inc. Fee Schedule To Modify the Options Regulatory Fee2019-11-18T00:00:00-08:002019-11-18T00:00:00-08:002019-24870Noticehttps://www.govinfo.gov/content/pkg/FR-2019-11-18/pdf/2019-24870.pdfhttps://regulations.justia.com/regulations/fedreg/2019/11/18/2019-24869.htmlNotice - Self-Regulatory Organizations; Cboe C2 Exchange, Inc.; Notice of Withdrawal of Proposed Rule Change To Amend the Cboe C2 Exchange, Inc. Fee Schedule To Modify the Options Regulatory Fee2019-11-18T00:00:00-08:002019-11-18T00:00:00-08:002019-24869Noticehttps://www.govinfo.gov/content/pkg/FR-2019-11-18/pdf/2019-24869.pdfhttps://regulations.justia.com/regulations/fedreg/2019/11/18/2019-24868.htmlNotice - Self-Regulatory Organizations; Cboe Exchange, Inc.; Notice of Withdrawal of Proposed Rule Change To Amend the Cboe Exchange, Inc. Fee Schedule To Modify the Options Regulatory Fee2019-11-18T00:00:00-08:002019-11-18T00:00:00-08:002019-24868Noticehttps://www.govinfo.gov/content/pkg/FR-2019-11-18/pdf/2019-24868.pdfhttps://regulations.justia.com/regulations/fedreg/2019/11/18/2019-24867.htmlNotice - Self-Regulatory Organizations; ICE Clear Credit LLC; Notice of Filing of Proposed Rule Change, Security-Based Swap Submission, or Advance Notice Relating to the ICC Default Auction Procedures-Initial Default Auctions and the ICC Secondary Auction Procedures2019-11-18T00:00:00-08:002019-11-18T00:00:00-08:002019-24867Noticehttps://www.govinfo.gov/content/pkg/FR-2019-11-18/pdf/2019-24867.pdfhttps://regulations.justia.com/regulations/fedreg/2019/11/18/2019-24866.htmlNotice - Self-Regulatory Organizations; Cboe BYX Exchange, Inc.; Notice of Designation of Longer Period for Commission Action on Proceedings To Determine Whether To Approve or Disapprove a Proposed Rule Change To Amend the Fee Schedule Assessed on Members To Establish a Monthly Trading Rights Fee2019-11-18T00:00:00-08:002019-11-18T00:00:00-08:002019-24866Noticehttps://www.govinfo.gov/content/pkg/FR-2019-11-18/pdf/2019-24866.pdfhttps://regulations.justia.com/regulations/fedreg/2019/11/18/2019-24865.htmlNotice - Self-Regulatory Organizations; Cboe EDGX Exchange, Inc.; Notice of Designation of Longer Period for Commission Action on Proceedings To Determine Whether To Approve or Disapprove a Proposed Rule Change To Amend the Fee Schedule Assessed on Members To Establish a Monthly Trading Rights Fee2019-11-18T00:00:00-08:002019-11-18T00:00:00-08:002019-24865Noticehttps://www.govinfo.gov/content/pkg/FR-2019-11-18/pdf/2019-24865.pdfhttps://regulations.justia.com/regulations/fedreg/2019/11/18/2019-24864.htmlNotice - Self-Regulatory Organizations; Cboe EDGA Exchange, Inc.; Notice of Designation of Longer Period for Commission Action on Proceedings To Determine Whether To Approve or Disapprove a Proposed Rule Change To Amend the Fee Schedule Assessed on Members To Establish a Monthly Trading Rights Fee2019-11-18T00:00:00-08:002019-11-18T00:00:00-08:002019-24864Noticehttps://www.govinfo.gov/content/pkg/FR-2019-11-18/pdf/2019-24864.pdfhttps://regulations.justia.com/regulations/fedreg/2019/11/18/2019-24863.htmlNotice - Self-Regulatory Organizations; Cboe Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend its Fees Schedule To Waive Fees Relating to Printing2019-11-18T00:00:00-08:002019-11-18T00:00:00-08:002019-24863Noticehttps://www.govinfo.gov/content/pkg/FR-2019-11-18/pdf/2019-24863.pdfhttps://regulations.justia.com/regulations/fedreg/2019/11/18/2019-24862.htmlNotice - 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 Migration2019-11-18T00:00:00-08:002019-11-18T00:00:00-08:002019-24862Noticehttps://www.govinfo.gov/content/pkg/FR-2019-11-18/pdf/2019-24862.pdfhttps://regulations.justia.com/regulations/fedreg/2019/11/18/2019-24859.htmlNotice - Self-Regulatory Organizations; Cboe BZX Exchange, Inc.; Notice of Designation of Longer Period for Commission Action on Proceedings To Determine Whether To Approve or Disapprove a Proposed Rule Change To Amend the Fee Schedule Assessed on Members To Establish a Monthly Trading Rights Fee2019-11-18T00:00:00-08:002019-11-18T00:00:00-08:002019-24859Noticehttps://www.govinfo.gov/content/pkg/FR-2019-11-18/pdf/2019-24859.pdfhttps://regulations.justia.com/regulations/fedreg/2019/11/15/2019-24955.htmlNotice - Sunshine Act Meetings2019-11-15T00:00:00-08:002019-11-15T00:00:00-08:002019-24955Noticehttps://www.govinfo.gov/content/pkg/FR-2019-11-15/pdf/2019-24955.pdfhttps://regulations.justia.com/regulations/fedreg/2019/11/14/2019-24699.htmlNotice - Self-Regulatory Organizations; The Nasdaq Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Rule 47592019-11-14T00:00:00-08:002019-11-14T00:00:00-08:002019-24699Noticehttps://www.govinfo.gov/content/pkg/FR-2019-11-14/pdf/2019-24699.pdfhttps://regulations.justia.com/regulations/fedreg/2019/11/14/2019-24698.htmlNotice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Rule 7.37 To Specify in Exchange Rules the Exchange's Use of Data Feeds From NYSE Chicago, Inc.2019-11-14T00:00:00-08:002019-11-14T00:00:00-08:002019-24698Noticehttps://www.govinfo.gov/content/pkg/FR-2019-11-14/pdf/2019-24698.pdfhttps://regulations.justia.com/regulations/fedreg/2019/11/14/2019-24697.htmlNotice - Self-Regulatory Organizations; Nasdaq PHLX LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Rule 3304(a)2019-11-14T00:00:00-08:002019-11-14T00:00:00-08:002019-24697Noticehttps://www.govinfo.gov/content/pkg/FR-2019-11-14/pdf/2019-24697.pdfhttps://regulations.justia.com/regulations/fedreg/2019/11/14/2019-24696.htmlNotice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Rule 7.37-E To Specify in Exchange Rules the Exchange's Use of Data Feeds From NYSE Chicago, Inc.2019-11-14T00:00:00-08:002019-11-14T00:00:00-08:002019-24696Noticehttps://www.govinfo.gov/content/pkg/FR-2019-11-14/pdf/2019-24696.pdfhttps://regulations.justia.com/regulations/fedreg/2019/11/14/2019-24695.htmlNotice - Self-Regulatory Organizations; Nasdaq BX, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Rule 47592019-11-14T00:00:00-08:002019-11-14T00:00:00-08:002019-24695Noticehttps://www.govinfo.gov/content/pkg/FR-2019-11-14/pdf/2019-24695.pdfhttps://regulations.justia.com/regulations/fedreg/2019/11/14/2019-24694.htmlNotice - Self-Regulatory Organizations; The Nasdaq Stock Market LLC; Notice of Filing of Amendment No. 1 and Order Granting Accelerated Approval of Proposed Rule Change, as Modified by Amendment No. 1, Relating to the Nasdaq Official Closing Price for Nasdaq-Listed Exchange-Traded Products2019-11-14T00:00:00-08:002019-11-14T00:00:00-08:002019-24694Noticehttps://www.govinfo.gov/content/pkg/FR-2019-11-14/pdf/2019-24694.pdfhttps://regulations.justia.com/regulations/fedreg/2019/11/14/2019-24693.htmlNotice - Self-Regulatory Organizations; LCH SA; Order Approving Proposed Rule Change Relating to (i) Introduction of Clearing of the New Markit iTraxx Subordinated Financials Index CDS and the Related Single Name CDS Constituents; (ii) Enhancements to Wrong Way Risk Margin; and (iii) Modification to Default Fund Additional Margin2019-11-14T00:00:00-08:002019-11-14T00:00:00-08:002019-24693Noticehttps://www.govinfo.gov/content/pkg/FR-2019-11-14/pdf/2019-24693.pdfhttps://regulations.justia.com/regulations/fedreg/2019/11/14/2019-24692.htmlNotice - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend NYSE Rule 7.37 To Specify the Exchange's Use of Data Feeds from NYSE Chicago, Inc.2019-11-14T00:00:00-08:002019-11-14T00:00:00-08:002019-24692Noticehttps://www.govinfo.gov/content/pkg/FR-2019-11-14/pdf/2019-24692.pdfhttps://regulations.justia.com/regulations/fedreg/2019/11/14/2019-22695.htmlRule - Prohibitions and Restrictions on Proprietary Trading and Certain Interests in, and Relationships With, Hedge Funds and Private Equity Funds2019-11-14T00:00:00-08:002019-11-14T00:00:00-08:002019-22695Rulehttps://www.govinfo.gov/content/pkg/FR-2019-11-14/pdf/2019-22695.pdfhttps://regulations.justia.com/regulations/fedreg/2019/11/13/2019-24653.htmlNotice - Fixed Income Market Structure Advisory Committee2019-11-13T00:00:00-08:002019-11-13T00:00:00-08:002019-24653Noticehttps://www.govinfo.gov/content/pkg/FR-2019-11-13/pdf/2019-24653.pdfhttps://regulations.justia.com/regulations/fedreg/2019/11/13/2019-24601.htmlNotice - Self-Regulatory Organizations; Municipal Securities Rulemaking Board; Notice of Filing of Amendment No. 2 and Order Granting Accelerated Approval of a Proposed Rule Change, as Modified by Amendment No. 1 and Amendment No. 2, To Amend and Restate the MSRB's August 2, 2012 Interpretive Notice Concerning the Application of Rule G-17 to Underwriters of Municipal Securities2019-11-13T00:00:00-08:002019-11-13T00:00:00-08:002019-24601Noticehttps://www.govinfo.gov/content/pkg/FR-2019-11-13/pdf/2019-24601.pdfhttps://regulations.justia.com/regulations/fedreg/2019/11/13/2019-24600.htmlNotice - Self-Regulatory Organizations; The Depository Trust Company; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change in Connection With Changes to the Account Structure of Euroclear Bank at The Depository Trust Company2019-11-13T00:00:00-08:002019-11-13T00:00:00-08:002019-24600Noticehttps://www.govinfo.gov/content/pkg/FR-2019-11-13/pdf/2019-24600.pdfhttps://regulations.justia.com/regulations/fedreg/2019/11/12/2019-24549.htmlNotice - Self-Regulatory Organizations; The Options Clearing Corporation; Notice of Filing of Advance Notice 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 Risk2019-11-12T00:00:00-08:002019-11-12T00:00:00-08:002019-24549Noticehttps://www.govinfo.gov/content/pkg/FR-2019-11-12/pdf/2019-24549.pdfhttps://regulations.justia.com/regulations/fedreg/2019/11/12/2019-24548.htmlNotice - Self-Regulatory Organizations; The Options Clearing Corporation; Notice of Filing of Advance Notice Related to Proposed Changes to The Options Clearing Corporation's Rules, Clearing Fund Methodology Policy, and Clearing Fund and Stress Testing Methodology2019-11-12T00:00:00-08:002019-11-12T00:00:00-08:002019-24548Noticehttps://www.govinfo.gov/content/pkg/FR-2019-11-12/pdf/2019-24548.pdfhttps://regulations.justia.com/regulations/fedreg/2019/11/12/2019-24505.htmlNotice - Self-Regulatory Organizations; Cboe Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Extend the Nonstandard Expirations Pilot Program2019-11-12T00:00:00-08:002019-11-12T00:00:00-08:002019-24505Noticehttps://www.govinfo.gov/content/pkg/FR-2019-11-12/pdf/2019-24505.pdfhttps://regulations.justia.com/regulations/fedreg/2019/11/12/2019-24504.htmlNotice - Self-Regulatory Organizations; Cboe BZX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating To Adopt Fees for a New Data Product on Its Equity Options Platform (“BZX Options”) To Be Known as Open-Close Data2019-11-12T00:00:00-08:002019-11-12T00:00:00-08:002019-24504Noticehttps://www.govinfo.gov/content/pkg/FR-2019-11-12/pdf/2019-24504.pdfhttps://regulations.justia.com/regulations/fedreg/2019/11/12/2019-24499.htmlNotice - Self-Regulatory Organizations; Nasdaq BX, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Relocate Rules From its Current Rulebook Into its New Rulebook Shell2019-11-12T00:00:00-08:002019-11-12T00:00:00-08:002019-24499Noticehttps://www.govinfo.gov/content/pkg/FR-2019-11-12/pdf/2019-24499.pdfhttps://regulations.justia.com/regulations/fedreg/2019/11/12/2019-24498.htmlNotice - Self-Regulatory Organizations; Cboe Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Extend the Operation of its SPXPM Pilot Program2019-11-12T00:00:00-08:002019-11-12T00:00:00-08:002019-24498Noticehttps://www.govinfo.gov/content/pkg/FR-2019-11-12/pdf/2019-24498.pdfhttps://regulations.justia.com/regulations/fedreg/2019/11/12/2019-24497.htmlNotice - Self-Regulatory Organizations; Cboe C2 Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Introduce a New Data Product To Be Known as Open-Close Data and To Adopt Fees for Such Product2019-11-12T00:00:00-08:002019-11-12T00:00:00-08:002019-24497Noticehttps://www.govinfo.gov/content/pkg/FR-2019-11-12/pdf/2019-24497.pdfhttps://regulations.justia.com/regulations/fedreg/2019/11/12/2019-24496.htmlNotice - Self-Regulatory Organizations; Cboe EDGX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the Fee Schedule To Adopt a New Type of Tier Related to Automated Improvement Mechanism Customer Volume2019-11-12T00:00:00-08:002019-11-12T00:00:00-08:002019-24496Noticehttps://www.govinfo.gov/content/pkg/FR-2019-11-12/pdf/2019-24496.pdfhttps://regulations.justia.com/regulations/fedreg/2019/11/12/2019-24494.htmlNotice - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing of Partial Amendment No. 1 and Order Granting Accelerated Approval of a Proposed Rule Change, as Modified by Partial Amendment No. 1, To Amend FINRA Rule 5130 (Restrictions on the Purchase and Sale of Initial Equity Public Offerings) and FINRA Rule 5131 (New Issue Allocations and Distributions)2019-11-12T00:00:00-08:002019-11-12T00:00:00-08:002019-24494Noticehttps://www.govinfo.gov/content/pkg/FR-2019-11-12/pdf/2019-24494.pdfhttps://regulations.justia.com/regulations/fedreg/2019/11/12/2019-24493.htmlNotice - Self-Regulatory Organizations; Cboe EDGX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Adopt Fees for a New Data Product on its Equity Options Platform (“EDGX Options”) To Be Known as Open-Close Data2019-11-12T00:00:00-08:002019-11-12T00:00:00-08:002019-24493Noticehttps://www.govinfo.gov/content/pkg/FR-2019-11-12/pdf/2019-24493.pdfhttps://regulations.justia.com/regulations/fedreg/2019/11/12/2019-24468.htmlNotice - Investment Company Act Release No. 33681; File No. 812-150362019-11-12T00:00:00-08:002019-11-12T00:00:00-08:002019-24468Noticehttps://www.govinfo.gov/content/pkg/FR-2019-11-12/pdf/2019-24468.pdfhttps://regulations.justia.com/regulations/fedreg/2019/11/08/2019-24500.htmlNotice - Sunshine Act Meetings2019-11-08T00:00:00-08:002019-11-08T00:00:00-08:002019-24500Noticehttps://www.govinfo.gov/content/pkg/FR-2019-11-08/pdf/2019-24500.pdfhttps://regulations.justia.com/regulations/fedreg/2019/11/08/2019-24418.htmlNotice - Proposed Collection; Comment Request2019-11-08T00:00:00-08:002019-11-08T00:00:00-08:002019-24418Noticehttps://www.govinfo.gov/content/pkg/FR-2019-11-08/pdf/2019-24418.pdfhttps://regulations.justia.com/regulations/fedreg/2019/11/08/2019-24363.htmlNotice - Self-Regulatory Organizations; ICE Clear Europe Limited; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Adopt Revised Clearing Fees2019-11-08T00:00:00-08:002019-11-08T00:00:00-08:002019-24363Noticehttps://www.govinfo.gov/content/pkg/FR-2019-11-08/pdf/2019-24363.pdfhttps://regulations.justia.com/regulations/fedreg/2019/11/08/2019-24362.htmlNotice - Self-Regulatory Organizations; Cboe Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating To Amend the Fat Finger Check in Rule 5.34 as It Applies to Stop-Limit Orders2019-11-08T00:00:00-08:002019-11-08T00:00:00-08:002019-24362Noticehttps://www.govinfo.gov/content/pkg/FR-2019-11-08/pdf/2019-24362.pdfhttps://regulations.justia.com/regulations/fedreg/2019/11/07/2019-24376.htmlNotice - Sunshine Act Meetings2019-11-07T00:00:00-08:002019-11-07T00:00:00-08:002019-24376Noticehttps://www.govinfo.gov/content/pkg/FR-2019-11-07/pdf/2019-24376.pdfhttps://regulations.justia.com/regulations/fedreg/2019/11/07/2019-24357.htmlNotice - Sunshine Act Meetings2019-11-07T00:00:00-08:002019-11-07T00:00:00-08:002019-24357Noticehttps://www.govinfo.gov/content/pkg/FR-2019-11-07/pdf/2019-24357.pdfhttps://regulations.justia.com/regulations/fedreg/2019/11/07/2019-24314.htmlNotice - SEC Small Business Capital Formation Advisory Committee2019-11-07T00:00:00-08:002019-11-07T00:00:00-08:002019-24314Noticehttps://www.govinfo.gov/content/pkg/FR-2019-11-07/pdf/2019-24314.pdfhttps://regulations.justia.com/regulations/fedreg/2019/11/07/2019-24257.htmlNotice - Self-Regulatory Organizations; The Nasdaq Stock Market LLC; Notice of Filing of Amendment No. 1 and Order Instituting Proceedings To Determine Whether To Approve or Disapprove a Proposed Rule Change, as Modified by Amendment No. 1, To Amend Rules 4120 and 47532019-11-07T00:00:00-08:002019-11-07T00:00:00-08:002019-24257Noticehttps://www.govinfo.gov/content/pkg/FR-2019-11-07/pdf/2019-24257.pdfhttps://regulations.justia.com/regulations/fedreg/2019/11/07/2019-24256.htmlNotice - Self-Regulatory Organizations; NYSE American LLC; Notice of Filing of Proposed Rule Change To Allow Certain Flexible Exchange Equity Options To Be Cash Settled2019-11-07T00:00:00-08:002019-11-07T00:00:00-08:002019-24256Noticehttps://www.govinfo.gov/content/pkg/FR-2019-11-07/pdf/2019-24256.pdfhttps://regulations.justia.com/regulations/fedreg/2019/11/07/2019-24255.htmlNotice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing of Proposed Rule Change Regarding the Applicability and Functionality of Certain Order Types on the Exchange2019-11-07T00:00:00-08:002019-11-07T00:00:00-08:002019-24255Noticehttps://www.govinfo.gov/content/pkg/FR-2019-11-07/pdf/2019-24255.pdfhttps://regulations.justia.com/regulations/fedreg/2019/11/07/2019-24254.htmlNotice - Self-Regulatory Organizations; NYSE American LLC; Notice of Filing of Proposed Rule Change Regarding the Applicability and Functionality of Certain Order Types on the Exchange2019-11-07T00:00:00-08:002019-11-07T00:00:00-08:002019-24254Noticehttps://www.govinfo.gov/content/pkg/FR-2019-11-07/pdf/2019-24254.pdfhttps://regulations.justia.com/regulations/fedreg/2019/11/07/2019-24253.htmlNotice - Self-Regulatory Organizations; Miami International Securities Exchange, LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Exchange Rule 518, Complex Orders2019-11-07T00:00:00-08:002019-11-07T00:00:00-08:002019-24253Noticehttps://www.govinfo.gov/content/pkg/FR-2019-11-07/pdf/2019-24253.pdfhttps://regulations.justia.com/regulations/fedreg/2019/11/07/2019-24252.htmlNotice - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Extend the Implementation Date of Certain Amendments to FINRA Rule 4210 Approved Pursuant to SR-FINRA-2015-0362019-11-07T00:00:00-08:002019-11-07T00:00:00-08:002019-24252Noticehttps://www.govinfo.gov/content/pkg/FR-2019-11-07/pdf/2019-24252.pdfhttps://regulations.justia.com/regulations/fedreg/2019/11/06/2019-24189.htmlNotice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing of Amendment No. 1, and Order Granting Accelerated Approval of a Proposed Rule Change, as Modified by Amendment No. 1, Relating to the Listing and Trading of Shares of the Innovator MSCI EAFE Power Buffer ETFs and Innovator MSCI Emerging Markets Power Buffer ETFs, Series of the Innovator ETFs Trust, Under NYSE Arca Rule 8.600-E2019-11-06T00:00:00-08:002019-11-06T00:00:00-08:002019-24189Noticehttps://www.govinfo.gov/content/pkg/FR-2019-11-06/pdf/2019-24189.pdfhttps://regulations.justia.com/regulations/fedreg/2019/11/06/2019-24188.htmlNotice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing of Amendment No. 2 and Order Granting Accelerated Approval of a Proposed Rule Change, as Modified by Amendment No. 2, To List and Trade Shares of the iShares Commodity Curve Carry Strategy ETF Under NYSE Arca Rule 8.600-E2019-11-06T00:00:00-08:002019-11-06T00:00:00-08:002019-24188Noticehttps://www.govinfo.gov/content/pkg/FR-2019-11-06/pdf/2019-24188.pdfhttps://regulations.justia.com/regulations/fedreg/2019/11/06/2019-24187.htmlNotice - Self-Regulatory Organizations; MIAX PEARL, LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the MIAX PEARL Fee Schedule2019-11-06T00:00:00-08:002019-11-06T00:00:00-08:002019-24187Noticehttps://www.govinfo.gov/content/pkg/FR-2019-11-06/pdf/2019-24187.pdfhttps://regulations.justia.com/regulations/fedreg/2019/11/06/2019-24186.htmlNotice - Self-Regulatory Organizations; MIAX Emerald, LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Its Fee Schedule2019-11-06T00:00:00-08:002019-11-06T00:00:00-08:002019-24186Noticehttps://www.govinfo.gov/content/pkg/FR-2019-11-06/pdf/2019-24186.pdfhttps://regulations.justia.com/regulations/fedreg/2019/11/06/2019-24185.htmlNotice - Self-Regulatory Organizations; Cboe EDGX Exchange, Inc.; Notice of Filing of a Proposed Rule Change To Adopt Rule 21.23 (Complex Solicitation Auction Mechanism)2019-11-06T00:00:00-08:002019-11-06T00:00:00-08:002019-24185Noticehttps://www.govinfo.gov/content/pkg/FR-2019-11-06/pdf/2019-24185.pdfhttps://regulations.justia.com/regulations/fedreg/2019/11/06/2019-24184.htmlNotice - Self-Regulatory Organizations; Miami International Securities Exchange LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Its Fee Schedule2019-11-06T00:00:00-08:002019-11-06T00:00:00-08:002019-24184Noticehttps://www.govinfo.gov/content/pkg/FR-2019-11-06/pdf/2019-24184.pdfhttps://regulations.justia.com/regulations/fedreg/2019/11/06/2019-24180.htmlNotice - MEMX LLC; Notice of Filing of Application, as Amended, for Registration as a National Securities Exchange Under Section 6 of the Securities Exchange Act of 19342019-11-06T00:00:00-08:002019-11-06T00:00:00-08:002019-24180Noticehttps://www.govinfo.gov/content/pkg/FR-2019-11-06/pdf/2019-24180.pdfhttps://regulations.justia.com/regulations/fedreg/2019/11/05/2019-24090.htmlNotice - Self-Regulatory Organizations; Municipal Securities Rulemaking Board; Notice of Filing and Immediate Effectiveness of Revisions to the Content Outline for the Municipal Advisor Principal Qualification Examination and Its Associated Selection Specifications for the Examination2019-11-05T00:00:00-08:002019-11-05T00:00:00-08:002019-24090Noticehttps://www.govinfo.gov/content/pkg/FR-2019-11-05/pdf/2019-24090.pdfhttps://regulations.justia.com/regulations/fedreg/2019/11/05/2019-24089.htmlNotice - Self-Regulatory Organizations; NYSE Chicago, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the Fee Schedule To Eliminate Market Data Revenue Rebates2019-11-05T00:00:00-08:002019-11-05T00:00:00-08:002019-24089Noticehttps://www.govinfo.gov/content/pkg/FR-2019-11-05/pdf/2019-24089.pdfhttps://regulations.justia.com/regulations/fedreg/2019/11/05/2019-24088.htmlNotice - Self-Regulatory Organizations; Cboe BZX Exchange, Inc.; Order Instituting Proceedings To Determine Whether To Approve or Disapprove a Proposed Rule Change, as Modified by Amendment No. 1, To List and Trade Shares of the iShares California Short Maturity Muni Bond ETF of the iShares U.S. ETF Trust Under Rule 14.11(i), Managed Fund Shares2019-11-05T00:00:00-08:002019-11-05T00:00:00-08:002019-24088Noticehttps://www.govinfo.gov/content/pkg/FR-2019-11-05/pdf/2019-24088.pdfhttps://regulations.justia.com/regulations/fedreg/2019/11/04/2019-23977.htmlNotice - Self-Regulatory Organizations; Long-Term Stock Exchange, Inc.; Order Declaring Effective a Minor Rule Violation Plan2019-11-04T00:00:00-08:002019-11-04T00:00:00-08:002019-23977Noticehttps://www.govinfo.gov/content/pkg/FR-2019-11-04/pdf/2019-23977.pdfhttps://regulations.justia.com/regulations/fedreg/2019/11/04/2019-23976.htmlNotice - Self-Regulatory Organizations; Nasdaq MRX, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Options 3, Section 17, the Exchange's Kill Switch Risk Protection2019-11-04T00:00:00-08:002019-11-04T00:00:00-08:002019-23976Noticehttps://www.govinfo.gov/content/pkg/FR-2019-11-04/pdf/2019-23976.pdfhttps://regulations.justia.com/regulations/fedreg/2019/11/04/2019-23975.htmlNotice - Self-Regulatory Organizations; Nasdaq GEMX, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Options 3, Section 17, the Exchange's Kill Switch Risk Protection2019-11-04T00:00:00-08:002019-11-04T00:00:00-08:002019-23975Noticehttps://www.govinfo.gov/content/pkg/FR-2019-11-04/pdf/2019-23975.pdfhttps://regulations.justia.com/regulations/fedreg/2019/11/04/2019-23974.htmlNotice - Self-Regulatory Organizations; Nasdaq ISE, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Options 3, Section 17, the Exchange's Kill Switch Risk Protection2019-11-04T00:00:00-08:002019-11-04T00:00:00-08:002019-23974Noticehttps://www.govinfo.gov/content/pkg/FR-2019-11-04/pdf/2019-23974.pdfhttps://regulations.justia.com/regulations/fedreg/2019/11/01/2019-24053.htmlNotice - Sunshine Act Meetings2019-11-01T00:00:00-07:002019-11-01T00:00:00-07:002019-24053Noticehttps://www.govinfo.gov/content/pkg/FR-2019-11-01/pdf/2019-24053.pdfhttps://regulations.justia.com/regulations/fedreg/2019/11/01/2019-24051.htmlNotice - Sunshine Act Meetings2019-11-01T00:00:00-07:002019-11-01T00:00:00-07:002019-24051Noticehttps://www.govinfo.gov/content/pkg/FR-2019-11-01/pdf/2019-24051.pdfhttps://regulations.justia.com/regulations/fedreg/2019/11/01/2019-23940.htmlNotice - OSI ETF Trust and O'Shares Investment Advisers, LLC; Notice of Application2019-11-01T00:00:00-07:002019-11-01T00:00:00-07:002019-23940Noticehttps://www.govinfo.gov/content/pkg/FR-2019-11-01/pdf/2019-23940.pdfhttps://regulations.justia.com/regulations/fedreg/2019/11/01/2019-23862.htmlNotice - Self-Regulatory Organizations; NYSE Chicago, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the Fee Schedule of NYSE Chicago, Inc.2019-11-01T00:00:00-07:002019-11-01T00:00:00-07:002019-23862Noticehttps://www.govinfo.gov/content/pkg/FR-2019-11-01/pdf/2019-23862.pdfhttps://regulations.justia.com/regulations/fedreg/2019/11/01/2019-23861.htmlNotice - Self-Regulatory Organizations; Financial Industry Regulatory Authority, 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 FINRA Rule 5110 (Corporate Financing Rule-Underwriting Terms and Arrangements) To Make Substantive, Organizational and Terminology Changes, as Modified by Partial Amendment No. 12019-11-01T00:00:00-07:002019-11-01T00:00:00-07:002019-23861Noticehttps://www.govinfo.gov/content/pkg/FR-2019-11-01/pdf/2019-23861.pdfhttps://regulations.justia.com/regulations/fedreg/2019/11/01/2019-23859.htmlNotice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Permitting the Continued Listing and Trading of the WisdomTree Emerging Markets Multifactor Fund and the WisdomTree International Multifactor Fund2019-11-01T00:00:00-07:002019-11-01T00:00:00-07:002019-23859Noticehttps://www.govinfo.gov/content/pkg/FR-2019-11-01/pdf/2019-23859.pdfhttps://regulations.justia.com/regulations/fedreg/2019/11/01/2019-23858.htmlNotice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing of Amendment No. 2 and Order Granting Accelerated Approval of a Proposed Rule Change, as Modified by Amendment No. 2, Regarding Changes to Investments of the First Trust TCW Unconstrained Plus Bond ETF2019-11-01T00:00:00-07:002019-11-01T00:00:00-07:002019-23858Noticehttps://www.govinfo.gov/content/pkg/FR-2019-11-01/pdf/2019-23858.pdfhttps://regulations.justia.com/regulations/fedreg/2019/11/01/2019-23857.htmlNotice - Self-Regulatory Organizations; NYSE American LLC; Notice of Filing and Immediate Effectiveness of Proposed Change To Amend the NYSE American Options Fee Schedule2019-11-01T00:00:00-07:002019-11-01T00:00:00-07:002019-23857Noticehttps://www.govinfo.gov/content/pkg/FR-2019-11-01/pdf/2019-23857.pdf