<![CDATA[Federal Register Recent Federal Regulation Documents - Justia Regulation Tracker - Justia Regulations Tracker]]> https://regulations.justia.com/regulations/fedreg/agencies/agencies-and-commissions/securities-and-exchange-commission/2019/11?registers=between&min-day=1&max-day=30 Wed, 22 May 2024 19:49:04 -0700 Wed, 22 May 2024 19:49:04 -0700 Justia Regulations Tracker Copyright 2011 Justia Inc. https://regulations.justia.com/images/justiafedregulations.gif <![CDATA[Federal Register Recent Federal Regulation Documents - Justia Regulation Tracker - Justia Regulations Tracker]]> https://regulations.justia.com/regulations/fedreg/agencies/agencies-and-commissions/securities-and-exchange-commission/2019/11?registers=between&min-day=1&max-day=30 Notice - Proposed Collection; Comment Request https://regulations.justia.com/regulations/fedreg/2019/11/29/2019-25868.html https://regulations.justia.com/regulations/fedreg/2019/11/29/2019-25868.html Fri, 29 Nov 2019 00:00:00 -0800 2019-25868 Notice https://www.govinfo.gov/content/pkg/FR-2019-11-29/pdf/2019-25868.pdf Notice - Proposed Collection; Comment Request https://regulations.justia.com/regulations/fedreg/2019/11/29/2019-25867.html https://regulations.justia.com/regulations/fedreg/2019/11/29/2019-25867.html Fri, 29 Nov 2019 00:00:00 -0800 2019-25867 Notice https://www.govinfo.gov/content/pkg/FR-2019-11-29/pdf/2019-25867.pdf Notice - Proposed Collection; Comment Request https://regulations.justia.com/regulations/fedreg/2019/11/29/2019-25866.html https://regulations.justia.com/regulations/fedreg/2019/11/29/2019-25866.html Fri, 29 Nov 2019 00:00:00 -0800 2019-25866 Notice https://www.govinfo.gov/content/pkg/FR-2019-11-29/pdf/2019-25866.pdf Notice - 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 Utility https://regulations.justia.com/regulations/fedreg/2019/11/29/2019-25841.html https://regulations.justia.com/regulations/fedreg/2019/11/29/2019-25841.html Fri, 29 Nov 2019 00:00:00 -0800 2019-25841 Notice https://www.govinfo.gov/content/pkg/FR-2019-11-29/pdf/2019-25841.pdf Notice - 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 Time https://regulations.justia.com/regulations/fedreg/2019/11/29/2019-25840.html https://regulations.justia.com/regulations/fedreg/2019/11/29/2019-25840.html Fri, 29 Nov 2019 00:00:00 -0800 2019-25840 Notice https://www.govinfo.gov/content/pkg/FR-2019-11-29/pdf/2019-25840.pdf Notice - 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 Time https://regulations.justia.com/regulations/fedreg/2019/11/29/2019-25839.html https://regulations.justia.com/regulations/fedreg/2019/11/29/2019-25839.html Fri, 29 Nov 2019 00:00:00 -0800 2019-25839 Notice https://www.govinfo.gov/content/pkg/FR-2019-11-29/pdf/2019-25839.pdf Notice - 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 Time https://regulations.justia.com/regulations/fedreg/2019/11/29/2019-25838.html https://regulations.justia.com/regulations/fedreg/2019/11/29/2019-25838.html Fri, 29 Nov 2019 00:00:00 -0800 2019-25838 Notice https://www.govinfo.gov/content/pkg/FR-2019-11-29/pdf/2019-25838.pdf Notice - 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 Time https://regulations.justia.com/regulations/fedreg/2019/11/29/2019-25837.html https://regulations.justia.com/regulations/fedreg/2019/11/29/2019-25837.html Fri, 29 Nov 2019 00:00:00 -0800 2019-25837 Notice https://www.govinfo.gov/content/pkg/FR-2019-11-29/pdf/2019-25837.pdf Notice - 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 VIX https://regulations.justia.com/regulations/fedreg/2019/11/29/2019-25836.html https://regulations.justia.com/regulations/fedreg/2019/11/29/2019-25836.html Fri, 29 Nov 2019 00:00:00 -0800 2019-25836 Notice https://www.govinfo.gov/content/pkg/FR-2019-11-29/pdf/2019-25836.pdf Notice - 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-E https://regulations.justia.com/regulations/fedreg/2019/11/29/2019-25835.html https://regulations.justia.com/regulations/fedreg/2019/11/29/2019-25835.html Fri, 29 Nov 2019 00:00:00 -0800 2019-25835 Notice https://www.govinfo.gov/content/pkg/FR-2019-11-29/pdf/2019-25835.pdf Notice - 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 Organizations https://regulations.justia.com/regulations/fedreg/2019/11/29/2019-25834.html https://regulations.justia.com/regulations/fedreg/2019/11/29/2019-25834.html Fri, 29 Nov 2019 00:00:00 -0800 2019-25834 Notice https://www.govinfo.gov/content/pkg/FR-2019-11-29/pdf/2019-25834.pdf Notice - 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 Type https://regulations.justia.com/regulations/fedreg/2019/11/29/2019-25833.html https://regulations.justia.com/regulations/fedreg/2019/11/29/2019-25833.html Fri, 29 Nov 2019 00:00:00 -0800 2019-25833 Notice https://www.govinfo.gov/content/pkg/FR-2019-11-29/pdf/2019-25833.pdf Notice - 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 Basis https://regulations.justia.com/regulations/fedreg/2019/11/27/2019-25803.html https://regulations.justia.com/regulations/fedreg/2019/11/27/2019-25803.html Wed, 27 Nov 2019 00:00:00 -0800 2019-25803 Notice https://www.govinfo.gov/content/pkg/FR-2019-11-27/pdf/2019-25803.pdf Notice - 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 Participant https://regulations.justia.com/regulations/fedreg/2019/11/27/2019-25802.html https://regulations.justia.com/regulations/fedreg/2019/11/27/2019-25802.html Wed, 27 Nov 2019 00:00:00 -0800 2019-25802 Notice https://www.govinfo.gov/content/pkg/FR-2019-11-27/pdf/2019-25802.pdf Notice - 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 Plan https://regulations.justia.com/regulations/fedreg/2019/11/27/2019-25801.html https://regulations.justia.com/regulations/fedreg/2019/11/27/2019-25801.html Wed, 27 Nov 2019 00:00:00 -0800 2019-25801 Notice https://www.govinfo.gov/content/pkg/FR-2019-11-27/pdf/2019-25801.pdf Notice - 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 Thereto https://regulations.justia.com/regulations/fedreg/2019/11/27/2019-25800.html https://regulations.justia.com/regulations/fedreg/2019/11/27/2019-25800.html Wed, 27 Nov 2019 00:00:00 -0800 2019-25800 Notice https://www.govinfo.gov/content/pkg/FR-2019-11-27/pdf/2019-25800.pdf Notice - 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 Participant https://regulations.justia.com/regulations/fedreg/2019/11/27/2019-25799.html https://regulations.justia.com/regulations/fedreg/2019/11/27/2019-25799.html Wed, 27 Nov 2019 00:00:00 -0800 2019-25799 Notice https://www.govinfo.gov/content/pkg/FR-2019-11-27/pdf/2019-25799.pdf Notice - Blackstone Alternative Alpha Fund, et al. https://regulations.justia.com/regulations/fedreg/2019/11/27/2019-25798.html https://regulations.justia.com/regulations/fedreg/2019/11/27/2019-25798.html Wed, 27 Nov 2019 00:00:00 -0800 2019-25798 Notice https://www.govinfo.gov/content/pkg/FR-2019-11-27/pdf/2019-25798.pdf Notice - 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®) System https://regulations.justia.com/regulations/fedreg/2019/11/27/2019-25707.html https://regulations.justia.com/regulations/fedreg/2019/11/27/2019-25707.html Wed, 27 Nov 2019 00:00:00 -0800 2019-25707 Notice https://www.govinfo.gov/content/pkg/FR-2019-11-27/pdf/2019-25707.pdf Notice - 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 LLC https://regulations.justia.com/regulations/fedreg/2019/11/27/2019-25706.html https://regulations.justia.com/regulations/fedreg/2019/11/27/2019-25706.html Wed, 27 Nov 2019 00:00:00 -0800 2019-25706 Notice https://www.govinfo.gov/content/pkg/FR-2019-11-27/pdf/2019-25706.pdf Notice - 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) https://regulations.justia.com/regulations/fedreg/2019/11/27/2019-25703.html https://regulations.justia.com/regulations/fedreg/2019/11/27/2019-25703.html Wed, 27 Nov 2019 00:00:00 -0800 2019-25703 Notice https://www.govinfo.gov/content/pkg/FR-2019-11-27/pdf/2019-25703.pdf Notice - North Square Investments Trust, et al.; Notice of Application https://regulations.justia.com/regulations/fedreg/2019/11/26/2019-25672.html https://regulations.justia.com/regulations/fedreg/2019/11/26/2019-25672.html Tue, 26 Nov 2019 00:00:00 -0800 2019-25672 Notice https://www.govinfo.gov/content/pkg/FR-2019-11-26/pdf/2019-25672.pdf Notice - 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. https://regulations.justia.com/regulations/fedreg/2019/11/26/2019-25588.html https://regulations.justia.com/regulations/fedreg/2019/11/26/2019-25588.html Tue, 26 Nov 2019 00:00:00 -0800 2019-25588 Notice https://www.govinfo.gov/content/pkg/FR-2019-11-26/pdf/2019-25588.pdf Notice - 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 Directors https://regulations.justia.com/regulations/fedreg/2019/11/26/2019-25587.html https://regulations.justia.com/regulations/fedreg/2019/11/26/2019-25587.html Tue, 26 Nov 2019 00:00:00 -0800 2019-25587 Notice https://www.govinfo.gov/content/pkg/FR-2019-11-26/pdf/2019-25587.pdf Notice - 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 ETF https://regulations.justia.com/regulations/fedreg/2019/11/26/2019-25586.html https://regulations.justia.com/regulations/fedreg/2019/11/26/2019-25586.html Tue, 26 Nov 2019 00:00:00 -0800 2019-25586 Notice https://www.govinfo.gov/content/pkg/FR-2019-11-26/pdf/2019-25586.pdf Notice - 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 LLC https://regulations.justia.com/regulations/fedreg/2019/11/26/2019-25585.html https://regulations.justia.com/regulations/fedreg/2019/11/26/2019-25585.html Tue, 26 Nov 2019 00:00:00 -0800 2019-25585 Notice https://www.govinfo.gov/content/pkg/FR-2019-11-26/pdf/2019-25585.pdf Notice - Self-Regulatory Organizations; NYSE Chicago, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Adopting Rules Relating to Order Audit Trail System Requirements https://regulations.justia.com/regulations/fedreg/2019/11/25/2019-25456.html https://regulations.justia.com/regulations/fedreg/2019/11/25/2019-25456.html Mon, 25 Nov 2019 00:00:00 -0800 2019-25456 Notice https://www.govinfo.gov/content/pkg/FR-2019-11-25/pdf/2019-25456.pdf Rule - Staff Accounting Bulletin No. 119 https://regulations.justia.com/regulations/fedreg/2019/11/25/2019-25450.html https://regulations.justia.com/regulations/fedreg/2019/11/25/2019-25450.html Mon, 25 Nov 2019 00:00:00 -0800 2019-25450 Rule https://www.govinfo.gov/content/pkg/FR-2019-11-25/pdf/2019-25450.pdf Notice - 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 Inactive https://regulations.justia.com/regulations/fedreg/2019/11/22/2019-25324.html https://regulations.justia.com/regulations/fedreg/2019/11/22/2019-25324.html Fri, 22 Nov 2019 00:00:00 -0800 2019-25324 Notice https://www.govinfo.gov/content/pkg/FR-2019-11-22/pdf/2019-25324.pdf Notice - 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-E https://regulations.justia.com/regulations/fedreg/2019/11/22/2019-25320.html https://regulations.justia.com/regulations/fedreg/2019/11/22/2019-25320.html Fri, 22 Nov 2019 00:00:00 -0800 2019-25320 Notice https://www.govinfo.gov/content/pkg/FR-2019-11-22/pdf/2019-25320.pdf Notice - 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 Orders https://regulations.justia.com/regulations/fedreg/2019/11/22/2019-25319.html https://regulations.justia.com/regulations/fedreg/2019/11/22/2019-25319.html Fri, 22 Nov 2019 00:00:00 -0800 2019-25319 Notice https://www.govinfo.gov/content/pkg/FR-2019-11-22/pdf/2019-25319.pdf Notice - 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 Orders https://regulations.justia.com/regulations/fedreg/2019/11/22/2019-25318.html https://regulations.justia.com/regulations/fedreg/2019/11/22/2019-25318.html Fri, 22 Nov 2019 00:00:00 -0800 2019-25318 Notice https://www.govinfo.gov/content/pkg/FR-2019-11-22/pdf/2019-25318.pdf Notice - 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 1940 https://regulations.justia.com/regulations/fedreg/2019/11/22/2019-25317.html https://regulations.justia.com/regulations/fedreg/2019/11/22/2019-25317.html Fri, 22 Nov 2019 00:00:00 -0800 2019-25317 Notice https://www.govinfo.gov/content/pkg/FR-2019-11-22/pdf/2019-25317.pdf Notice - Self-Regulatory Organizations; The Nasdaq Stock Market LLC; Notice of Filing of a Proposed Rule Change To Adopt Nasdaq Rule 5704 and Other Related Amendments https://regulations.justia.com/regulations/fedreg/2019/11/22/2019-25316.html https://regulations.justia.com/regulations/fedreg/2019/11/22/2019-25316.html Fri, 22 Nov 2019 00:00:00 -0800 2019-25316 Notice https://www.govinfo.gov/content/pkg/FR-2019-11-22/pdf/2019-25316.pdf Notice - 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 Terms https://regulations.justia.com/regulations/fedreg/2019/11/22/2019-25315.html https://regulations.justia.com/regulations/fedreg/2019/11/22/2019-25315.html Fri, 22 Nov 2019 00:00:00 -0800 2019-25315 Notice https://www.govinfo.gov/content/pkg/FR-2019-11-22/pdf/2019-25315.pdf Notice - AMG Pantheon Master Fund, LLC, et al. https://regulations.justia.com/regulations/fedreg/2019/11/22/2019-25308.html https://regulations.justia.com/regulations/fedreg/2019/11/22/2019-25308.html Fri, 22 Nov 2019 00:00:00 -0800 2019-25308 Notice https://www.govinfo.gov/content/pkg/FR-2019-11-22/pdf/2019-25308.pdf Notice - 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 Feed https://regulations.justia.com/regulations/fedreg/2019/11/21/2019-25216.html https://regulations.justia.com/regulations/fedreg/2019/11/21/2019-25216.html Thu, 21 Nov 2019 00:00:00 -0800 2019-25216 Notice https://www.govinfo.gov/content/pkg/FR-2019-11-21/pdf/2019-25216.pdf Notice - Self-Regulatory Organizations; Cboe Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Its Fee Schedule https://regulations.justia.com/regulations/fedreg/2019/11/21/2019-25215.html https://regulations.justia.com/regulations/fedreg/2019/11/21/2019-25215.html Thu, 21 Nov 2019 00:00:00 -0800 2019-25215 Notice https://www.govinfo.gov/content/pkg/FR-2019-11-21/pdf/2019-25215.pdf 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 Offer New Credits and Rebates https://regulations.justia.com/regulations/fedreg/2019/11/21/2019-25214.html https://regulations.justia.com/regulations/fedreg/2019/11/21/2019-25214.html Thu, 21 Nov 2019 00:00:00 -0800 2019-25214 Notice https://www.govinfo.gov/content/pkg/FR-2019-11-21/pdf/2019-25214.pdf 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 Revise the Step Up Tier 2 Adding Credit in Tape A Securities https://regulations.justia.com/regulations/fedreg/2019/11/21/2019-25212.html https://regulations.justia.com/regulations/fedreg/2019/11/21/2019-25212.html Thu, 21 Nov 2019 00:00:00 -0800 2019-25212 Notice https://www.govinfo.gov/content/pkg/FR-2019-11-21/pdf/2019-25212.pdf Notice - Self-Regulatory Organizations; Cboe EDGA Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the Fee Schedule https://regulations.justia.com/regulations/fedreg/2019/11/21/2019-25211.html https://regulations.justia.com/regulations/fedreg/2019/11/21/2019-25211.html Thu, 21 Nov 2019 00:00:00 -0800 2019-25211 Notice https://www.govinfo.gov/content/pkg/FR-2019-11-21/pdf/2019-25211.pdf Notice - Self-Regulatory Organizations; NYSE American LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Amending Its Annual Listing Fees for Equity Securities https://regulations.justia.com/regulations/fedreg/2019/11/21/2019-25210.html https://regulations.justia.com/regulations/fedreg/2019/11/21/2019-25210.html Thu, 21 Nov 2019 00:00:00 -0800 2019-25210 Notice https://www.govinfo.gov/content/pkg/FR-2019-11-21/pdf/2019-25210.pdf Notice - 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. https://regulations.justia.com/regulations/fedreg/2019/11/21/2019-25209.html https://regulations.justia.com/regulations/fedreg/2019/11/21/2019-25209.html Thu, 21 Nov 2019 00:00:00 -0800 2019-25209 Notice https://www.govinfo.gov/content/pkg/FR-2019-11-21/pdf/2019-25209.pdf Notice - 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 Trade https://regulations.justia.com/regulations/fedreg/2019/11/21/2019-25208.html https://regulations.justia.com/regulations/fedreg/2019/11/21/2019-25208.html Thu, 21 Nov 2019 00:00:00 -0800 2019-25208 Notice https://www.govinfo.gov/content/pkg/FR-2019-11-21/pdf/2019-25208.pdf Notice - 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 Modifiers https://regulations.justia.com/regulations/fedreg/2019/11/21/2019-25207.html https://regulations.justia.com/regulations/fedreg/2019/11/21/2019-25207.html Thu, 21 Nov 2019 00:00:00 -0800 2019-25207 Notice https://www.govinfo.gov/content/pkg/FR-2019-11-21/pdf/2019-25207.pdf Notice - Self-Regulatory Organizations; ICE Clear Credit LLC; Notice of Filing of Proposed Rule Change Relating to ICC's Treasury Operations Policies and Procedures https://regulations.justia.com/regulations/fedreg/2019/11/21/2019-25206.html https://regulations.justia.com/regulations/fedreg/2019/11/21/2019-25206.html Thu, 21 Nov 2019 00:00:00 -0800 2019-25206 Notice https://www.govinfo.gov/content/pkg/FR-2019-11-21/pdf/2019-25206.pdf Notice - Self-Regulatory Organizations; The Nasdaq Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Modify Certain Annual Listing Fees https://regulations.justia.com/regulations/fedreg/2019/11/20/2019-25108.html https://regulations.justia.com/regulations/fedreg/2019/11/20/2019-25108.html Wed, 20 Nov 2019 00:00:00 -0800 2019-25108 Notice https://www.govinfo.gov/content/pkg/FR-2019-11-20/pdf/2019-25108.pdf Notice - 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 Platform https://regulations.justia.com/regulations/fedreg/2019/11/20/2019-25107.html https://regulations.justia.com/regulations/fedreg/2019/11/20/2019-25107.html Wed, 20 Nov 2019 00:00:00 -0800 2019-25107 Notice https://www.govinfo.gov/content/pkg/FR-2019-11-20/pdf/2019-25107.pdf 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 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 Strategy https://regulations.justia.com/regulations/fedreg/2019/11/20/2019-25106.html https://regulations.justia.com/regulations/fedreg/2019/11/20/2019-25106.html Wed, 20 Nov 2019 00:00:00 -0800 2019-25106 Notice https://www.govinfo.gov/content/pkg/FR-2019-11-20/pdf/2019-25106.pdf Notice - 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 Collateral https://regulations.justia.com/regulations/fedreg/2019/11/20/2019-25105.html https://regulations.justia.com/regulations/fedreg/2019/11/20/2019-25105.html Wed, 20 Nov 2019 00:00:00 -0800 2019-25105 Notice https://www.govinfo.gov/content/pkg/FR-2019-11-20/pdf/2019-25105.pdf