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?limit=200&registers=between&min-day=1&min-month=1&max-day=31&max-month=12&mode=atom 2021-06-14T22:07:34-07:00 Justia Inc https://www.justia.com/ Justia Regulations Tracker https://regulations.justia.com/images/justiafedregulations.gif Copyright 2011 Justia Inc https://regulations.justia.com/regulations/fedreg/2019/12/31/2019-28217.html Notice - Self-Regulatory Organizations; Cboe BZX Exchange, Inc.; Notice of Filing of a Proposed Rule Change To Adopt Rule 14.11(m), Portfolio Fund Shares, and To List and Trade Shares of the Fidelity Value ETF, Fidelity Growth ETF, and Fidelity Opportunistic ETF, Each a Series of the Fidelity Beach Street Trust, Under Proposed Rule 14.11(m) 2019-12-31T00:00:00-08:00 2019-12-31T00:00:00-08:00 2019-28217 Notice https://www.govinfo.gov/content/pkg/FR-2019-12-31/pdf/2019-28217.pdf https://regulations.justia.com/regulations/fedreg/2019/12/31/2019-28216.html Notice - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing of Partial Amendment No. 2 and Order Granting Accelerated Approval of the 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. 1 and Partial Amendment No. 2 2019-12-31T00:00:00-08:00 2019-12-31T00:00:00-08:00 2019-28216 Notice https://www.govinfo.gov/content/pkg/FR-2019-12-31/pdf/2019-28216.pdf https://regulations.justia.com/regulations/fedreg/2019/12/31/2019-28215.html Notice - Self-Regulatory Organizations; Cboe Exchange, Inc.; Notice of Filing and Order Granting Accelerated Approval of a Proposed Rule Change To Allow the Exchange To Continue To List Classes of Options on the MSCI Emerging Markets Index After January 1, 2020 2019-12-31T00:00:00-08:00 2019-12-31T00:00:00-08:00 2019-28215 Notice https://www.govinfo.gov/content/pkg/FR-2019-12-31/pdf/2019-28215.pdf https://regulations.justia.com/regulations/fedreg/2019/12/31/2019-28212.html Notice - Self-Regulatory Organizations; NYSE Chicago, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Its Price List To Extend for One Year a Fee Discount for the Partial Cabinet Solution Bundles Offered in Connection With the Exchange's Co-Location Services and Update Obsolete Text 2019-12-31T00:00:00-08:00 2019-12-31T00:00:00-08:00 2019-28212 Notice https://www.govinfo.gov/content/pkg/FR-2019-12-31/pdf/2019-28212.pdf https://regulations.justia.com/regulations/fedreg/2019/12/30/2019-28176.html Notice - Self-Regulatory Organizations; Cboe EDGX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Interpretation and Policy .01 of Rule 2.4 To Allow the Exchange To Provide Annual Notification to Individual Members That Are Subject to Paragraph (b) of Rule 2.4 2019-12-30T00:00:00-08:00 2019-12-30T00:00:00-08:00 2019-28176 Notice https://www.govinfo.gov/content/pkg/FR-2019-12-30/pdf/2019-28176.pdf https://regulations.justia.com/regulations/fedreg/2019/12/30/2019-28175.html Notice - Self-Regulatory Organizations; Cboe EDGA Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Interpretation and Policy .01 of Rule 2.4 To Allow the Exchange To Provide Annual Notification to Individual Members That Are Subject to Paragraph (b) of Rule 2.4 2019-12-30T00:00:00-08:00 2019-12-30T00:00:00-08:00 2019-28175 Notice https://www.govinfo.gov/content/pkg/FR-2019-12-30/pdf/2019-28175.pdf https://regulations.justia.com/regulations/fedreg/2019/12/30/2019-28174.html Notice - Self-Regulatory Organizations; Cboe Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Correct Certain Erroneous Cross-References, Add Inadvertently Omitted Rule Text, and Conform the Use of Certain Defined Terms 2019-12-30T00:00:00-08:00 2019-12-30T00:00:00-08:00 2019-28174 Notice https://www.govinfo.gov/content/pkg/FR-2019-12-30/pdf/2019-28174.pdf https://regulations.justia.com/regulations/fedreg/2019/12/30/2019-28173.html Notice - Self-Regulatory Organizations; Nasdaq MRX, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Adopt a Mass Cancellation Rule and Amend Other Sections of the Rulebook 2019-12-30T00:00:00-08:00 2019-12-30T00:00:00-08:00 2019-28173 Notice https://www.govinfo.gov/content/pkg/FR-2019-12-30/pdf/2019-28173.pdf https://regulations.justia.com/regulations/fedreg/2019/12/30/2019-28172.html Notice - Self-Regulatory Organizations; Nasdaq GEMX, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Adopt a Mass Cancellation Rule and Amend Other Sections of the Rulebook 2019-12-30T00:00:00-08:00 2019-12-30T00:00:00-08:00 2019-28172 Notice https://www.govinfo.gov/content/pkg/FR-2019-12-30/pdf/2019-28172.pdf https://regulations.justia.com/regulations/fedreg/2019/12/30/2019-28171.html Notice - Self-Regulatory Organizations; Nasdaq ISE, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Adopt a Mass Cancellation Rule and Amend Other Sections of the Rulebook 2019-12-30T00:00:00-08:00 2019-12-30T00:00:00-08:00 2019-28171 Notice https://www.govinfo.gov/content/pkg/FR-2019-12-30/pdf/2019-28171.pdf https://regulations.justia.com/regulations/fedreg/2019/12/30/2019-28170.html Notice - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Its Price List To Extend for One Year a Fee Discount for the Partial Cabinet Solution Bundles Offered in Connection With the Exchange's Co-Location Services 2019-12-30T00:00:00-08:00 2019-12-30T00:00:00-08:00 2019-28170 Notice https://www.govinfo.gov/content/pkg/FR-2019-12-30/pdf/2019-28170.pdf https://regulations.justia.com/regulations/fedreg/2019/12/30/2019-28169.html Notice - Self-Regulatory Organizations; NYSE American LLC; Notice of Filing and Immediate Effectiveness of Proposed Change To Amend Its NYSE American Equities Price List and Fee Schedule and the NYSE American Options Fee Schedule To Extend for One Year a Fee Discount for the Partial Cabinet Solution Bundles Offered in Connection With the Exchange's Co-location Services 2019-12-30T00:00:00-08:00 2019-12-30T00:00:00-08:00 2019-28169 Notice https://www.govinfo.gov/content/pkg/FR-2019-12-30/pdf/2019-28169.pdf https://regulations.justia.com/regulations/fedreg/2019/12/30/2019-28168.html Notice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the NYSE Arca Options Fees and Charges and the NYSE Arca Equities Fees and Charges To Extend for One Year a Fee Discount for the Partial Cabinet Solution Bundles Offered in Connection With the Exchange's Co-location Services 2019-12-30T00:00:00-08:00 2019-12-30T00:00:00-08:00 2019-28168 Notice https://www.govinfo.gov/content/pkg/FR-2019-12-30/pdf/2019-28168.pdf https://regulations.justia.com/regulations/fedreg/2019/12/30/2019-28166.html Notice - Self-Regulatory Organizations; NYSE National, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Its Price List To Extend for One Year a Fee Discount for the Partial Cabinet Solution Bundles Offered in Connection With the Exchange's Co-Location Services 2019-12-30T00:00:00-08:00 2019-12-30T00:00:00-08:00 2019-28166 Notice https://www.govinfo.gov/content/pkg/FR-2019-12-30/pdf/2019-28166.pdf https://regulations.justia.com/regulations/fedreg/2019/12/30/2019-28089.html Notice - Self-Regulatory Organizations: Miami International Securities Exchange LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend, Reorganize and Enhance Its Membership, Registration and Qualification Rules and Consolidate These Rules Into New Chapter XIX Registration, Qualification and Continuing Education 2019-12-30T00:00:00-08:00 2019-12-30T00:00:00-08:00 2019-28089 Notice https://www.govinfo.gov/content/pkg/FR-2019-12-30/pdf/2019-28089.pdf https://regulations.justia.com/regulations/fedreg/2019/12/30/2019-28087.html Notice - Self-Regulatory Organizations; Fixed Income Clearing Corporation; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Include a New Foreign Legal Opinion Fee Applicable to Non-U.S. Membership Applicants, and Delete a Requirement for Direct Non-U.S. Members Relating to Annual Opinion Updates 2019-12-30T00:00:00-08:00 2019-12-30T00:00:00-08:00 2019-28087 Notice https://www.govinfo.gov/content/pkg/FR-2019-12-30/pdf/2019-28087.pdf https://regulations.justia.com/regulations/fedreg/2019/12/30/2019-28086.html Notice - Self-Regulatory Organizations: MIAX Emerald, LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Exchange Rule 100, Definitions; Exchange Rule 503, Openings on the Exchange; Exchange Rule 515, Execution of Orders and Quotes; Exchange Rule 516, Order Types Defined; Exchange Rule 517, Quote Types Defined; Exchange Rule 518, Complex Orders; and Exchange Rule 521, Nullification and Adjustment of Options Transactions Including Obvious Errors 2019-12-30T00:00:00-08:00 2019-12-30T00:00:00-08:00 2019-28086 Notice https://www.govinfo.gov/content/pkg/FR-2019-12-30/pdf/2019-28086.pdf https://regulations.justia.com/regulations/fedreg/2019/12/30/2019-28085.html Notice - Self-Regulatory Organizations; MIAX PEARL, LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Exchange Rule 100, Definitions, Exchange Rule 503, Openings on the Exchange, Exchange Rule 515, Execution of Orders, Exchange Rule 516, Order Types, and Exchange Rule 521, Nullification and Adjustment of Options Transactions Including Obvious Errors 2019-12-30T00:00:00-08:00 2019-12-30T00:00:00-08:00 2019-28085 Notice https://www.govinfo.gov/content/pkg/FR-2019-12-30/pdf/2019-28085.pdf https://regulations.justia.com/regulations/fedreg/2019/12/30/2019-28084.html Notice - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Order Approving Proposed Rule Change To Allow FINRA To Publish or Distribute Aggregated Transaction Information and Statistics on U.S. Treasury Securities 2019-12-30T00:00:00-08:00 2019-12-30T00:00:00-08:00 2019-28084 Notice https://www.govinfo.gov/content/pkg/FR-2019-12-30/pdf/2019-28084.pdf https://regulations.justia.com/regulations/fedreg/2019/12/30/2019-28083.html Notice - Self-Regulatory Organizations; Cboe BZX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Interpretation and Policy .01 of Rule 2.4 To Allow the Exchange To Provide Annual Notification to Individual Members That are Subject to Paragraph (b) of Rule 2.4 2019-12-30T00:00:00-08:00 2019-12-30T00:00:00-08:00 2019-28083 Notice https://www.govinfo.gov/content/pkg/FR-2019-12-30/pdf/2019-28083.pdf https://regulations.justia.com/regulations/fedreg/2019/12/30/2019-28079.html Notice - Self-Regulatory Organizations; The Nasdaq Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Extend Through June 30, 2020 or the Date of Permanent Approval, if Earlier, the Penny Pilot Program 2019-12-30T00:00:00-08:00 2019-12-30T00:00:00-08:00 2019-28079 Notice https://www.govinfo.gov/content/pkg/FR-2019-12-30/pdf/2019-28079.pdf https://regulations.justia.com/regulations/fedreg/2019/12/30/2019-28077.html Notice - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Amending Annual Listing Fees for Equity Securities, Debt Securities, and Listed Structured Products Traded on NYSE Bonds 2019-12-30T00:00:00-08:00 2019-12-30T00:00:00-08:00 2019-28077 Notice https://www.govinfo.gov/content/pkg/FR-2019-12-30/pdf/2019-28077.pdf https://regulations.justia.com/regulations/fedreg/2019/12/30/2019-28076.html Notice - Self-Regulatory Organizations; Nasdaq MRX, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Adopt a New Rule Titled “Off-Exchange RWA Transfers” at MRX Options 6, Section 6 2019-12-30T00:00:00-08:00 2019-12-30T00:00:00-08:00 2019-28076 Notice https://www.govinfo.gov/content/pkg/FR-2019-12-30/pdf/2019-28076.pdf https://regulations.justia.com/regulations/fedreg/2019/12/30/2019-28050.html Notice - Inter-American Development Bank; Notice of Application 2019-12-30T00:00:00-08:00 2019-12-30T00:00:00-08:00 2019-28050 Notice https://www.govinfo.gov/content/pkg/FR-2019-12-30/pdf/2019-28050.pdf https://regulations.justia.com/regulations/fedreg/2019/12/30/2019-28030.html Notice - Self-Regulatory Organizations; Nasdaq PHLX LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Adopt a New Rule Titled “Off-Exchange RWA Transfers” at Phlx Rule 1045 2019-12-30T00:00:00-08:00 2019-12-30T00:00:00-08:00 2019-28030 Notice https://www.govinfo.gov/content/pkg/FR-2019-12-30/pdf/2019-28030.pdf https://regulations.justia.com/regulations/fedreg/2019/12/30/2019-28029.html Notice - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing of Proposed Rule Change, as Modified by Amendment No. 1, To Amend Chapter One of the Listed Company Manual To Modify the Provisions Relating to Direct Listings 2019-12-30T00:00:00-08:00 2019-12-30T00:00:00-08:00 2019-28029 Notice https://www.govinfo.gov/content/pkg/FR-2019-12-30/pdf/2019-28029.pdf https://regulations.justia.com/regulations/fedreg/2019/12/30/2019-28028.html Notice - Self-Regulatory Organizations; The Nasdaq Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Adopt a New Rule Titled “Off-Exchange RWA Transfers” at Options 6, Section 6 2019-12-30T00:00:00-08:00 2019-12-30T00:00:00-08:00 2019-28028 Notice https://www.govinfo.gov/content/pkg/FR-2019-12-30/pdf/2019-28028.pdf https://regulations.justia.com/regulations/fedreg/2019/12/30/2019-28027.html Notice - Self-Regulatory Organizations; Nasdaq ISE, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Adopt a New Rule Titled “Off-Exchange RWA Transfers” at ISE Options 6, Section 6 2019-12-30T00:00:00-08:00 2019-12-30T00:00:00-08:00 2019-28027 Notice https://www.govinfo.gov/content/pkg/FR-2019-12-30/pdf/2019-28027.pdf https://regulations.justia.com/regulations/fedreg/2019/12/30/2019-28026.html Notice - Self-Regulatory Organizations; Nasdaq GEMX, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Adopt a New Rule Titled “Off-Exchange RWA Transfers” at GEMX Options 6, Section 6 2019-12-30T00:00:00-08:00 2019-12-30T00:00:00-08:00 2019-28026 Notice https://www.govinfo.gov/content/pkg/FR-2019-12-30/pdf/2019-28026.pdf https://regulations.justia.com/regulations/fedreg/2019/12/30/2019-28025.html Notice - Self-Regulatory Organizations; Nasdaq BX, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Adopt a New Rule Titled “Off-Exchange RWA Transfers” at BX Options 6, Section 6 2019-12-30T00:00:00-08:00 2019-12-30T00:00:00-08:00 2019-28025 Notice https://www.govinfo.gov/content/pkg/FR-2019-12-30/pdf/2019-28025.pdf https://regulations.justia.com/regulations/fedreg/2019/12/30/2019-28024.html Notice - Self-Regulatory Organizations: Investors Exchange LLC; Notice of Filing of Proposed Rule Change To Add a New Discretionary Limit Order Type 2019-12-30T00:00:00-08:00 2019-12-30T00:00:00-08:00 2019-28024 Notice https://www.govinfo.gov/content/pkg/FR-2019-12-30/pdf/2019-28024.pdf https://regulations.justia.com/regulations/fedreg/2019/12/30/2019-28023.html Notice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Designation of a Longer Period for Commission Action on Proceedings To Determine Whether to Approve or Disapprove a Proposed Rule Change, as Modified by Amendment No. 1, To Amend NYSE Arca Rule 8.201-E (Commodity-Based Trust Shares) and to List and Trade Shares of the United States Bitcoin and Treasury Investment Trust Under NYSE Arca Rule 8.201-E 2019-12-30T00:00:00-08:00 2019-12-30T00:00:00-08:00 2019-28023 Notice https://www.govinfo.gov/content/pkg/FR-2019-12-30/pdf/2019-28023.pdf https://regulations.justia.com/regulations/fedreg/2019/12/30/2019-28022.html Notice - Self-Regulatory Organizations; Nasdaq PHLX LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Rules 1000, 1014, 1034, 1068, 1080, 1087, 1090, and 1093 2019-12-30T00:00:00-08:00 2019-12-30T00:00:00-08:00 2019-28022 Notice https://www.govinfo.gov/content/pkg/FR-2019-12-30/pdf/2019-28022.pdf https://regulations.justia.com/regulations/fedreg/2019/12/30/2019-28021.html Notice - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing of a Proposed Rule Change To Amend the Membership Application Program (“MAP”) Rules To Address the Issue of Pending Arbitration Claims 2019-12-30T00:00:00-08:00 2019-12-30T00:00:00-08:00 2019-28021 Notice https://www.govinfo.gov/content/pkg/FR-2019-12-30/pdf/2019-28021.pdf https://regulations.justia.com/regulations/fedreg/2019/12/30/2019-28003.html Notice - Asset Management Advisory Committee 2019-12-30T00:00:00-08:00 2019-12-30T00:00:00-08:00 2019-28003 Notice https://www.govinfo.gov/content/pkg/FR-2019-12-30/pdf/2019-28003.pdf https://regulations.justia.com/regulations/fedreg/2019/12/27/2019-27917.html Notice - Allianz Life Insurance Company of North America, et al; Notice of Application 2019-12-27T00:00:00-08:00 2019-12-27T00:00:00-08:00 2019-27917 Notice https://www.govinfo.gov/content/pkg/FR-2019-12-27/pdf/2019-27917.pdf https://regulations.justia.com/regulations/fedreg/2019/12/27/2019-27875.html Notice - Self-Regulatory Organizations; Cboe Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend the Silexx Trading Platform (“Silexx” or the “Platform”) Fees Schedule 2019-12-27T00:00:00-08:00 2019-12-27T00:00:00-08:00 2019-27875 Notice https://www.govinfo.gov/content/pkg/FR-2019-12-27/pdf/2019-27875.pdf https://regulations.justia.com/regulations/fedreg/2019/12/27/2019-27874.html Notice - Self-Regulatory Organizations; MIAX Emerald, LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Exchange Rule 515, Execution of Orders and Quotes 2019-12-27T00:00:00-08:00 2019-12-27T00:00:00-08:00 2019-27874 Notice https://www.govinfo.gov/content/pkg/FR-2019-12-27/pdf/2019-27874.pdf https://regulations.justia.com/regulations/fedreg/2019/12/27/2019-27873.html Notice - Self-Regulatory Organizations; Cboe Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Rule 8.10 To Remove the Attestation Filing Requirements in Connection With Trading Permit Holders' Policy and Procedures Regarding the Misuse of Material, Nonpublic Information 2019-12-27T00:00:00-08:00 2019-12-27T00:00:00-08:00 2019-27873 Notice https://www.govinfo.gov/content/pkg/FR-2019-12-27/pdf/2019-27873.pdf https://regulations.justia.com/regulations/fedreg/2019/12/27/2019-27872.html Notice - Self-Regulatory Organizations; ICE Clear Credit LLC; Order Approving Proposed Rule Change Relating to the ICC Default Auction Procedures-Initial Default Auctions and the ICC Secondary Auction Procedures 2019-12-27T00:00:00-08:00 2019-12-27T00:00:00-08:00 2019-27872 Notice https://www.govinfo.gov/content/pkg/FR-2019-12-27/pdf/2019-27872.pdf https://regulations.justia.com/regulations/fedreg/2019/12/27/2019-27871.html Notice - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change, as Modified by Partial Amendment No. 1, To Amend the Fees for NYSE BBO and NYSE Trades 2019-12-27T00:00:00-08:00 2019-12-27T00:00:00-08:00 2019-27871 Notice https://www.govinfo.gov/content/pkg/FR-2019-12-27/pdf/2019-27871.pdf https://regulations.justia.com/regulations/fedreg/2019/12/27/2019-27870.html Notice - Self-Regulatory Organizations; NYSE American LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change, as Modified by Partial Amendment No. 1, To Amend the Fees for NYSE American BBO and NYSE American Trades 2019-12-27T00:00:00-08:00 2019-12-27T00:00:00-08:00 2019-27870 Notice https://www.govinfo.gov/content/pkg/FR-2019-12-27/pdf/2019-27870.pdf https://regulations.justia.com/regulations/fedreg/2019/12/27/2019-27863.html Notice - Proposed Collection; Comment Request 2019-12-27T00:00:00-08:00 2019-12-27T00:00:00-08:00 2019-27863 Notice https://www.govinfo.gov/content/pkg/FR-2019-12-27/pdf/2019-27863.pdf https://regulations.justia.com/regulations/fedreg/2019/12/27/2019-27853.html Notice - Proposed Collection; Comment Request 2019-12-27T00:00:00-08:00 2019-12-27T00:00:00-08:00 2019-27853 Notice https://www.govinfo.gov/content/pkg/FR-2019-12-27/pdf/2019-27853.pdf https://regulations.justia.com/regulations/fedreg/2019/12/27/2019-27852.html Notice - Proposed Collection; Comment Request 2019-12-27T00:00:00-08:00 2019-12-27T00:00:00-08:00 2019-27852 Notice https://www.govinfo.gov/content/pkg/FR-2019-12-27/pdf/2019-27852.pdf https://regulations.justia.com/regulations/fedreg/2019/12/27/2019-23594.html Proposed Rule - Filing Fee Disclosure and Payment Methods Modernization 2019-12-27T00:00:00-08:00 2019-12-27T00:00:00-08:00 2019-23594 Proposed Rule https://www.govinfo.gov/content/pkg/FR-2019-12-27/pdf/2019-23594.pdf https://regulations.justia.com/regulations/fedreg/2019/12/26/2019-27734.html Notice - Self-Regulatory Organizations; NYSE American LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Rule 967NY (Price Protection-Orders) 2019-12-26T00:00:00-08:00 2019-12-26T00:00:00-08:00 2019-27734 Notice https://www.govinfo.gov/content/pkg/FR-2019-12-26/pdf/2019-27734.pdf https://regulations.justia.com/regulations/fedreg/2019/12/26/2019-27733.html Notice - Self-Regulatory Organizations; Cboe Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Its Fees Schedule 2019-12-26T00:00:00-08:00 2019-12-26T00:00:00-08:00 2019-27733 Notice https://www.govinfo.gov/content/pkg/FR-2019-12-26/pdf/2019-27733.pdf https://regulations.justia.com/regulations/fedreg/2019/12/26/2019-27732.html Notice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing of Proposed Rule Change To List and Trade Shares of the AdvisorShares Pure US Cannabis ETF Under NYSE Arca Rule 8.600-E 2019-12-26T00:00:00-08:00 2019-12-26T00:00:00-08:00 2019-27732 Notice https://www.govinfo.gov/content/pkg/FR-2019-12-26/pdf/2019-27732.pdf https://regulations.justia.com/regulations/fedreg/2019/12/26/2019-27731.html Notice - Self-Regulatory Organizations; Investors Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend IEX Rule 11.190(e) To Expand the Exchange's Existing Anti-Internalization Functionality and Make Conforming and Clarifying Changes to IEX Rule 11.190(e) and Other IEX Rules 2019-12-26T00:00:00-08:00 2019-12-26T00:00:00-08:00 2019-27731 Notice https://www.govinfo.gov/content/pkg/FR-2019-12-26/pdf/2019-27731.pdf https://regulations.justia.com/regulations/fedreg/2019/12/26/2019-27730.html Notice - Self-Regulatory Organizations; NYSE National, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Establish Fees for the NYSE National Integrated Feed 2019-12-26T00:00:00-08:00 2019-12-26T00:00:00-08:00 2019-27730 Notice https://www.govinfo.gov/content/pkg/FR-2019-12-26/pdf/2019-27730.pdf https://regulations.justia.com/regulations/fedreg/2019/12/26/2019-27729.html Notice - Self-Regulatory Organizations; Miami International Securities Exchange LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Its Fee Schedule 2019-12-26T00:00:00-08:00 2019-12-26T00:00:00-08:00 2019-27729 Notice https://www.govinfo.gov/content/pkg/FR-2019-12-26/pdf/2019-27729.pdf https://regulations.justia.com/regulations/fedreg/2019/12/26/2019-27728.html Notice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the NYSE Arca Options Fee Schedule Relating to the MM FAANG Credit 2019-12-26T00:00:00-08:00 2019-12-26T00:00:00-08:00 2019-27728 Notice https://www.govinfo.gov/content/pkg/FR-2019-12-26/pdf/2019-27728.pdf https://regulations.justia.com/regulations/fedreg/2019/12/26/2019-27726.html Notice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change, as Modified by Partial Amendment No. 1, To Amend the Fees for NYSE Arca BBO and NYSE Arca Trades 2019-12-26T00:00:00-08:00 2019-12-26T00:00:00-08:00 2019-27726 Notice https://www.govinfo.gov/content/pkg/FR-2019-12-26/pdf/2019-27726.pdf https://regulations.justia.com/regulations/fedreg/2019/12/26/2019-27725.html Notice - Self-Regulatory Organizations; NYSE American LLC; Notice of Designation of a Longer Period for Commission Action on a Proposed Rule Change To Allow Certain Flexible Exchange Equity Options To Be Cash Settled 2019-12-26T00:00:00-08:00 2019-12-26T00:00:00-08:00 2019-27725 Notice https://www.govinfo.gov/content/pkg/FR-2019-12-26/pdf/2019-27725.pdf https://regulations.justia.com/regulations/fedreg/2019/12/26/2019-27724.html Notice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Rule 6.60-O (Price Protection-Orders) 2019-12-26T00:00:00-08:00 2019-12-26T00:00:00-08:00 2019-27724 Notice https://www.govinfo.gov/content/pkg/FR-2019-12-26/pdf/2019-27724.pdf https://regulations.justia.com/regulations/fedreg/2019/12/26/2019-27697.html Notice - Order Approving Public Company Accounting Oversight Board Budget and Annual Accounting Support Fee for Calendar Year 2020 2019-12-26T00:00:00-08:00 2019-12-26T00:00:00-08:00 2019-27697 Notice https://www.govinfo.gov/content/pkg/FR-2019-12-26/pdf/2019-27697.pdf https://regulations.justia.com/regulations/fedreg/2019/12/26/2019-27696.html Notice - Program for Allocation of Regulatory Responsibilities Pursuant to Rule 17d-2; Notice of Filing and Order Approving and Declaring Effective an Amended Proposed Plan for the Allocation of Regulatory Responsibilities Between the Financial Industry Regulatory Authority, Inc., Cboe BZX Exchange, Inc., Cboe BYX Exchange, Inc., Cboe EDGA Exchange, Inc., and Cboe EDGX Exchange, Inc. 2019-12-26T00:00:00-08:00 2019-12-26T00:00:00-08:00 2019-27696 Notice https://www.govinfo.gov/content/pkg/FR-2019-12-26/pdf/2019-27696.pdf https://regulations.justia.com/regulations/fedreg/2019/12/26/2019-26563.html Proposed Rule - Regulatory Agenda; Semiannual Regulatory Agenda 2019-12-26T00:00:00-08:00 2019-12-26T00:00:00-08:00 2019-26563 Proposed Rule https://www.govinfo.gov/content/pkg/FR-2019-12-26/pdf/2019-26563.pdf https://regulations.justia.com/regulations/fedreg/2019/12/23/2019-27594.html Notice - Self-Regulatory Organizations; NYSE American LLC; Notice of Filing and Immediate Effectiveness of Proposed Change To Amend the NYSE American Options Fee Schedule Relating to the MM FAANG Credit 2019-12-23T00:00:00-08:00 2019-12-23T00:00:00-08:00 2019-27594 Notice https://www.govinfo.gov/content/pkg/FR-2019-12-23/pdf/2019-27594.pdf https://regulations.justia.com/regulations/fedreg/2019/12/23/2019-27593.html Notice - Self-Regulatory Organizations; The Nasdaq Stock Market, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Relocate Rules From Its Current Rulebook Into Its New Rulebook Shell 2019-12-23T00:00:00-08:00 2019-12-23T00:00:00-08:00 2019-27593 Notice https://www.govinfo.gov/content/pkg/FR-2019-12-23/pdf/2019-27593.pdf https://regulations.justia.com/regulations/fedreg/2019/12/23/2019-27592.html Notice - Self-Regulatory Organizations; Cboe BZX Exchange, Inc.; Notice of Designation of a Longer Period for Commission Action on 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 2019-12-23T00:00:00-08:00 2019-12-23T00:00:00-08:00 2019-27592 Notice https://www.govinfo.gov/content/pkg/FR-2019-12-23/pdf/2019-27592.pdf https://regulations.justia.com/regulations/fedreg/2019/12/23/2019-27591.html Notice - Self-Regulatory Organizations; The Nasdaq Stock Market LLC; Notice of Designation of a Longer Period for Commission Action on a Proposed Rule Change To Adopt Nasdaq Rule 5704 and Other Related Amendments 2019-12-23T00:00:00-08:00 2019-12-23T00:00:00-08:00 2019-27591 Notice https://www.govinfo.gov/content/pkg/FR-2019-12-23/pdf/2019-27591.pdf https://regulations.justia.com/regulations/fedreg/2019/12/23/2019-27590.html Notice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Designation of a Longer Period for Commission Action on a 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 1940 2019-12-23T00:00:00-08:00 2019-12-23T00:00:00-08:00 2019-27590 Notice https://www.govinfo.gov/content/pkg/FR-2019-12-23/pdf/2019-27590.pdf https://regulations.justia.com/regulations/fedreg/2019/12/23/2019-27589.html Notice - Self-Regulatory Organizations; The Options Clearing Corporation; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Concerning an Agreement for Clearing and Settlement Services Between The Options Clearing Corporation and Small Exchange, Inc. 2019-12-23T00:00:00-08:00 2019-12-23T00:00:00-08:00 2019-27589 Notice https://www.govinfo.gov/content/pkg/FR-2019-12-23/pdf/2019-27589.pdf https://regulations.justia.com/regulations/fedreg/2019/12/23/2019-27588.html Notice - Self-Regulatory Organizations; Long-Term Stock Exchange; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Dual Listing 2019-12-23T00:00:00-08:00 2019-12-23T00:00:00-08:00 2019-27588 Notice https://www.govinfo.gov/content/pkg/FR-2019-12-23/pdf/2019-27588.pdf https://regulations.justia.com/regulations/fedreg/2019/12/23/2019-27587.html Notice - Self-Regulatory Organizations; ICE Clear Europe Limited; Notice of Filing of Proposed Rule Change Relating to the ICE Clear Europe Collateral and Haircut Policy and Collateral and Haircut Procedures 2019-12-23T00:00:00-08:00 2019-12-23T00:00:00-08:00 2019-27587 Notice https://www.govinfo.gov/content/pkg/FR-2019-12-23/pdf/2019-27587.pdf https://regulations.justia.com/regulations/fedreg/2019/12/23/2019-27586.html Notice - Self-Regulatory Organizations; Cboe BZX Exchange, Inc.; Notice of Designation of a Longer Period for Commission Action on Proceedings To Determine Whether To Approve or Disapprove a Proposed Rule Change To List and Trade Shares of the American Century Focused Dynamic Growth ETF and American Century Focused Large Cap Value ETF Under Currently Proposed Rule 14.11(k) 2019-12-23T00:00:00-08:00 2019-12-23T00:00:00-08:00 2019-27586 Notice https://www.govinfo.gov/content/pkg/FR-2019-12-23/pdf/2019-27586.pdf https://regulations.justia.com/regulations/fedreg/2019/12/23/2019-27585.html Notice - Self-Regulatory Organizations; Nasdaq PHLX LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Adopt a New Rule 1059 2019-12-23T00:00:00-08:00 2019-12-23T00:00:00-08:00 2019-27585 Notice https://www.govinfo.gov/content/pkg/FR-2019-12-23/pdf/2019-27585.pdf https://regulations.justia.com/regulations/fedreg/2019/12/20/2019-27490.html Proposed Rule - Credit Risk Retention-Notice of Commencement of Review 2019-12-20T00:00:00-08:00 2019-12-20T00:00:00-08:00 2019-27490 Proposed Rule https://www.govinfo.gov/content/pkg/FR-2019-12-20/pdf/2019-27490.pdf https://regulations.justia.com/regulations/fedreg/2019/12/20/2019-27461.html Notice - Self-Regulatory Organizations; Nasdaq MRX, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Options 3, Section 3 To Extend Through June 30, 2020 or the Date of Permanent Approval 2019-12-20T00:00:00-08:00 2019-12-20T00:00:00-08:00 2019-27461 Notice https://www.govinfo.gov/content/pkg/FR-2019-12-20/pdf/2019-27461.pdf https://regulations.justia.com/regulations/fedreg/2019/12/20/2019-27460.html Notice - Self-Regulatory Organizations; Cboe Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating To Amend Rule 5.72 To Eliminate the Requirement That Leg Prices Be Submitted Prior to the Time a Complex FLEX Order is Represented in an Open Outcry FLEX Auction 2019-12-20T00:00:00-08:00 2019-12-20T00:00:00-08:00 2019-27460 Notice https://www.govinfo.gov/content/pkg/FR-2019-12-20/pdf/2019-27460.pdf https://regulations.justia.com/regulations/fedreg/2019/12/20/2019-27459.html Notice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Permit the Continued Listing and Trading of Shares Under NYSE Arca Rule 8.600-E of the Cambria Core Equity ETF, a Series of Cambria ETF Trust 2019-12-20T00:00:00-08:00 2019-12-20T00:00:00-08:00 2019-27459 Notice https://www.govinfo.gov/content/pkg/FR-2019-12-20/pdf/2019-27459.pdf https://regulations.justia.com/regulations/fedreg/2019/12/20/2019-27458.html Notice - Self-Regulatory Organizations; Cboe Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Reflect the Financial Crimes Enforcement Network's Adoption of a Final Rule on Customer Due Diligence Requirements for Financial Institutions 2019-12-20T00:00:00-08:00 2019-12-20T00:00:00-08:00 2019-27458 Notice https://www.govinfo.gov/content/pkg/FR-2019-12-20/pdf/2019-27458.pdf https://regulations.justia.com/regulations/fedreg/2019/12/20/2019-27457.html Notice - Self-Regulatory Organizations; NYSE American LLC; Order Approving a Proposed Rule Change Regarding the Applicability and Functionality of Certain Order Types on the Exchange 2019-12-20T00:00:00-08:00 2019-12-20T00:00:00-08:00 2019-27457 Notice https://www.govinfo.gov/content/pkg/FR-2019-12-20/pdf/2019-27457.pdf https://regulations.justia.com/regulations/fedreg/2019/12/20/2019-27456.html Notice - Self-Regulatory Organizations; Nasdaq BX, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change to the Exchange's Transaction Fees and Credits and Qualified Market Maker Program, at Equity 7, Section 118 2019-12-20T00:00:00-08:00 2019-12-20T00:00:00-08:00 2019-27456 Notice https://www.govinfo.gov/content/pkg/FR-2019-12-20/pdf/2019-27456.pdf https://regulations.justia.com/regulations/fedreg/2019/12/20/2019-27455.html Notice - Self-Regulatory Organizations; Cboe BZX Exchange, Inc.; Notice of Filing of Amendment Nos. 4 and 5, and Order Granting Accelerated Approval of a Proposed Rule Change, as Modified by Amendment Nos. 4 and 5, To Adopt BZX Rule 14.11(k) To Permit the Listing and Trading of Managed Portfolio Shares 2019-12-20T00:00:00-08:00 2019-12-20T00:00:00-08:00 2019-27455 Notice https://www.govinfo.gov/content/pkg/FR-2019-12-20/pdf/2019-27455.pdf https://regulations.justia.com/regulations/fedreg/2019/12/20/2019-27454.html Notice - Self-Regulatory Organizations; NYSE Arca, Inc.; Order Approving a Proposed Rule Change Regarding the Applicability and Functionality of Certain Order Types on the Exchange 2019-12-20T00:00:00-08:00 2019-12-20T00:00:00-08:00 2019-27454 Notice https://www.govinfo.gov/content/pkg/FR-2019-12-20/pdf/2019-27454.pdf https://regulations.justia.com/regulations/fedreg/2019/12/20/2019-27453.html Notice - 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 Introduce a Liquidity Provider Protection Delay Mechanism on EDGA 2019-12-20T00:00:00-08:00 2019-12-20T00:00:00-08:00 2019-27453 Notice https://www.govinfo.gov/content/pkg/FR-2019-12-20/pdf/2019-27453.pdf https://regulations.justia.com/regulations/fedreg/2019/12/20/2019-27452.html Notice - Self-Regulatory Organizations; The Depository Trust Company; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Extend the Implementation Timeframe for a Rule Change To Implement a New Algorithm for Transactions Processed in the Night Cycle 2019-12-20T00:00:00-08:00 2019-12-20T00:00:00-08:00 2019-27452 Notice https://www.govinfo.gov/content/pkg/FR-2019-12-20/pdf/2019-27452.pdf https://regulations.justia.com/regulations/fedreg/2019/12/20/2019-27451.html Notice - Self-Regulatory Organizations; National Securities Clearing Corporation; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Extend the Implementation Timeframe for an Approved Rule Change To Amend Procedure VII With Respect to the Receipt of CNS Securities and Make Other Changes 2019-12-20T00:00:00-08:00 2019-12-20T00:00:00-08:00 2019-27451 Notice https://www.govinfo.gov/content/pkg/FR-2019-12-20/pdf/2019-27451.pdf https://regulations.justia.com/regulations/fedreg/2019/12/20/2019-27450.html Notice - Self-Regulatory Organizations; Nasdaq BX, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Extend Through June 30, 2020 or The Date of Permanent Approval, if Earlier, the Penny Pilot Program 2019-12-20T00:00:00-08:00 2019-12-20T00:00:00-08:00 2019-27450 Notice https://www.govinfo.gov/content/pkg/FR-2019-12-20/pdf/2019-27450.pdf https://regulations.justia.com/regulations/fedreg/2019/12/20/2019-27449.html Notice - Self-Regulatory Organizations; Nasdaq GEMX, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Options 3, Section 3 (Minimum Trading Increments) 2019-12-20T00:00:00-08:00 2019-12-20T00:00:00-08:00 2019-27449 Notice https://www.govinfo.gov/content/pkg/FR-2019-12-20/pdf/2019-27449.pdf https://regulations.justia.com/regulations/fedreg/2019/12/20/2019-27448.html Notice - Self-Regulatory Organizations; Nasdaq ISE, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Options 3, Section 3 To Extend Through June 30, 2020 or the Date of Permanent Approval 2019-12-20T00:00:00-08:00 2019-12-20T00:00:00-08:00 2019-27448 Notice https://www.govinfo.gov/content/pkg/FR-2019-12-20/pdf/2019-27448.pdf https://regulations.justia.com/regulations/fedreg/2019/12/20/2019-27447.html Notice - Prospect Capital Corporation, et al. 2019-12-20T00:00:00-08:00 2019-12-20T00:00:00-08:00 2019-27447 Notice https://www.govinfo.gov/content/pkg/FR-2019-12-20/pdf/2019-27447.pdf https://regulations.justia.com/regulations/fedreg/2019/12/19/2019-27463.html Notice - Sunshine Act Meetings 2019-12-19T00:00:00-08:00 2019-12-19T00:00:00-08:00 2019-27463 Notice https://www.govinfo.gov/content/pkg/FR-2019-12-19/pdf/2019-27463.pdf https://regulations.justia.com/regulations/fedreg/2019/12/19/2019-27350.html Notice - Self-Regulatory Organizations; Nasdaq PHLX LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Phlx Rule 1034 2019-12-19T00:00:00-08:00 2019-12-19T00:00:00-08:00 2019-27350 Notice https://www.govinfo.gov/content/pkg/FR-2019-12-19/pdf/2019-27350.pdf https://regulations.justia.com/regulations/fedreg/2019/12/19/2019-27349.html Notice - Self-Regulatory Organizations; Cboe EDGX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Reflect the Financial Crimes Enforcement Network's Adoption of a Final Rule on Customer Due Diligence Requirements for Financial Institutions 2019-12-19T00:00:00-08:00 2019-12-19T00:00:00-08:00 2019-27349 Notice https://www.govinfo.gov/content/pkg/FR-2019-12-19/pdf/2019-27349.pdf https://regulations.justia.com/regulations/fedreg/2019/12/19/2019-27348.html Notice - Self-Regulatory Organizations; Cboe EDGA Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Reflect the Financial Crimes Enforcement Network's Adoption of a Final Rule on Customer Due Diligence Requirements for Financial Institutions 2019-12-19T00:00:00-08:00 2019-12-19T00:00:00-08:00 2019-27348 Notice https://www.govinfo.gov/content/pkg/FR-2019-12-19/pdf/2019-27348.pdf https://regulations.justia.com/regulations/fedreg/2019/12/19/2019-27347.html Notice - Self-Regulatory Organizations; Cboe BZX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Reflect the Financial Crimes Enforcement Network's Adoption of a Final Rule on Customer Due Diligence Requirements for Financial Institutions 2019-12-19T00:00:00-08:00 2019-12-19T00:00:00-08:00 2019-27347 Notice https://www.govinfo.gov/content/pkg/FR-2019-12-19/pdf/2019-27347.pdf https://regulations.justia.com/regulations/fedreg/2019/12/19/2019-27346.html Notice - Self-Regulatory Organizations; Cboe BYX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Reflect the Financial Crimes Enforcement Network's Adoption of a Final Rule on Customer Due Diligence Requirements for Financial Institutions 2019-12-19T00:00:00-08:00 2019-12-19T00:00:00-08:00 2019-27346 Notice https://www.govinfo.gov/content/pkg/FR-2019-12-19/pdf/2019-27346.pdf https://regulations.justia.com/regulations/fedreg/2019/12/19/2019-27345.html Notice - Self-Regulatory Organizations; Cboe Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating To Amend Its Fees Schedule 2019-12-19T00:00:00-08:00 2019-12-19T00:00:00-08:00 2019-27345 Notice https://www.govinfo.gov/content/pkg/FR-2019-12-19/pdf/2019-27345.pdf https://regulations.justia.com/regulations/fedreg/2019/12/19/2019-27344.html Notice - Self-Regulatory Organizations; Cboe EDGX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Rule 21.5 by Extending the Penny Pilot Program Through June 30, 2020 2019-12-19T00:00:00-08:00 2019-12-19T00:00:00-08:00 2019-27344 Notice https://www.govinfo.gov/content/pkg/FR-2019-12-19/pdf/2019-27344.pdf https://regulations.justia.com/regulations/fedreg/2019/12/19/2019-27343.html Notice - Self-Regulatory Organizations; Cboe BZX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating To Amend Rule 5.4 by Extending the Penny Pilot Program Through June 30, 2020 2019-12-19T00:00:00-08:00 2019-12-19T00:00:00-08:00 2019-27343 Notice https://www.govinfo.gov/content/pkg/FR-2019-12-19/pdf/2019-27343.pdf https://regulations.justia.com/regulations/fedreg/2019/12/19/2019-27342.html Notice - Self-Regulatory Organizations; Cboe Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating To Amend Rule 5.4 by Extending the Penny Pilot Program Through June 30, 2020 2019-12-19T00:00:00-08:00 2019-12-19T00:00:00-08:00 2019-27342 Notice https://www.govinfo.gov/content/pkg/FR-2019-12-19/pdf/2019-27342.pdf https://regulations.justia.com/regulations/fedreg/2019/12/19/2019-27341.html Notice - Self-Regulatory Organizations; Cboe C2 Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating To Amend Rule 6.4 by Extending the Penny Pilot Program Through June 30, 2020 2019-12-19T00:00:00-08:00 2019-12-19T00:00:00-08:00 2019-27341 Notice https://www.govinfo.gov/content/pkg/FR-2019-12-19/pdf/2019-27341.pdf https://regulations.justia.com/regulations/fedreg/2019/12/18/2019-27216.html Notice - Self-Regulatory Organizations; NYSE Chicago, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Its Fee Schedule To Adopt Fees for Orders That Are Routed to Other Markets for Execution, and Delete Text That Became Obsolete Upon the Exchange's Transition to the Pillar Trading Platform 2019-12-18T00:00:00-08:00 2019-12-18T00:00:00-08:00 2019-27216 Notice https://www.govinfo.gov/content/pkg/FR-2019-12-18/pdf/2019-27216.pdf https://regulations.justia.com/regulations/fedreg/2019/12/18/2019-27212.html Notice - Self-Regulatory Organizations; The Nasdaq Stock Market LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Exchange Rule 5515 Which Governs the Listing of Warrants on the Nasdaq Capital Market To Replace the Current Requirement That a Warrant Have 400 Round-Lot Holders With a Revised Requirement of 100 Holders That Are Both Public Holders and Round-Lot Holders 2019-12-18T00:00:00-08:00 2019-12-18T00:00:00-08:00 2019-27212 Notice https://www.govinfo.gov/content/pkg/FR-2019-12-18/pdf/2019-27212.pdf https://regulations.justia.com/regulations/fedreg/2019/12/18/2019-27206.html Notice - Self-Regulatory Organizations; The Depository Trust Company; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the Distributions Guide and the Fee Guide Relating to Tax Events 2019-12-18T00:00:00-08:00 2019-12-18T00:00:00-08:00 2019-27206 Notice https://www.govinfo.gov/content/pkg/FR-2019-12-18/pdf/2019-27206.pdf https://regulations.justia.com/regulations/fedreg/2019/12/18/2019-27204.html Notice - Self-Regulatory Organizations; Nasdaq PHLX LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Securities Traded Pursuant to Unlisted Trading Privileges 2019-12-18T00:00:00-08:00 2019-12-18T00:00:00-08:00 2019-27204 Notice https://www.govinfo.gov/content/pkg/FR-2019-12-18/pdf/2019-27204.pdf https://regulations.justia.com/regulations/fedreg/2019/12/18/2019-27199.html Notice - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Its Price List 2019-12-18T00:00:00-08:00 2019-12-18T00:00:00-08:00 2019-27199 Notice https://www.govinfo.gov/content/pkg/FR-2019-12-18/pdf/2019-27199.pdf https://regulations.justia.com/regulations/fedreg/2019/12/18/2019-27198.html Notice - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Modify the Securities Transaction Credits Applicable to FINRA/Nasdaq TRF Participants 2019-12-18T00:00:00-08:00 2019-12-18T00:00:00-08:00 2019-27198 Notice https://www.govinfo.gov/content/pkg/FR-2019-12-18/pdf/2019-27198.pdf https://regulations.justia.com/regulations/fedreg/2019/12/18/2019-27197.html Notice - Self-Regulatory Organizations; ICE Clear Europe Limited; Notice of Filing of Proposed Rule Change, as Modified by Partial Amendment No. 1, Relating to Amendments to the ICE Clear Europe CDS Procedures 2019-12-18T00:00:00-08:00 2019-12-18T00:00:00-08:00 2019-27197 Notice https://www.govinfo.gov/content/pkg/FR-2019-12-18/pdf/2019-27197.pdf https://regulations.justia.com/regulations/fedreg/2019/12/18/2019-27196.html Notice - Self-Regulatory Organizations; The Nasdaq Stock Market LLC; 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 the Definition of Family Member in Listing Rule 5605(a)(2) for Purposes of the Definition of Independent Director 2019-12-18T00:00:00-08:00 2019-12-18T00:00:00-08:00 2019-27196 Notice https://www.govinfo.gov/content/pkg/FR-2019-12-18/pdf/2019-27196.pdf https://regulations.justia.com/regulations/fedreg/2019/12/18/2019-27194.html Notice - Self-Regulatory Organizations; Cboe Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend its Fees Schedule in Connection With Migration 2019-12-18T00:00:00-08:00 2019-12-18T00:00:00-08:00 2019-27194 Notice https://www.govinfo.gov/content/pkg/FR-2019-12-18/pdf/2019-27194.pdf https://regulations.justia.com/regulations/fedreg/2019/12/17/2019-27092.html Notice - Self-Regulatory Organizations; LCH SA; Order Approving Rule Change Relating to the Updated 2018 Version of the Recovery Plan 2019-12-17T00:00:00-08:00 2019-12-17T00:00:00-08:00 2019-27092 Notice https://www.govinfo.gov/content/pkg/FR-2019-12-17/pdf/2019-27092.pdf https://regulations.justia.com/regulations/fedreg/2019/12/17/2019-27089.html Notice - Self-Regulatory Organizations; Cboe BZX Exchange, Inc.; Notice of Filing of a Proposed Rule Change To List and Trade Shares of the Clearbridge Focus Value ETF Under Currently Proposed Rule 14.11(k) 2019-12-17T00:00:00-08:00 2019-12-17T00:00:00-08:00 2019-27089 Notice https://www.govinfo.gov/content/pkg/FR-2019-12-17/pdf/2019-27089.pdf https://regulations.justia.com/regulations/fedreg/2019/12/17/2019-27087.html Notice - Self-Regulatory Organizations; the Options Clearing Corporation; Order Approving Proposed Rule Change Related to Proposed Changes to the Options Clearing Corporation's Rules, Margin Policy, Margin Methodology, Clearing Fund Methodology Policy, and Clearing Fund and Stress Testing Methodology To Address Specific Wrong-Way Risk 2019-12-17T00:00:00-08:00 2019-12-17T00:00:00-08:00 2019-27087 Notice https://www.govinfo.gov/content/pkg/FR-2019-12-17/pdf/2019-27087.pdf https://regulations.justia.com/regulations/fedreg/2019/12/17/2019-27082.html Notice - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing of Proposed Rule Change To Amend Its Rules To Add New Rule 7.19 (Pre-Trade Risk Controls) 2019-12-17T00:00:00-08:00 2019-12-17T00:00:00-08:00 2019-27082 Notice https://www.govinfo.gov/content/pkg/FR-2019-12-17/pdf/2019-27082.pdf https://regulations.justia.com/regulations/fedreg/2019/12/17/2019-27081.html Notice - Self-Regulatory Organizations; the Options Clearing Corporation; Order Approving Proposed Rule Change Related to Proposed Changes to the Options Clearing Corporation's Rules, Clearing Fund Methodology Policy, and Clearing Fund and Stress Testing Methodology 2019-12-17T00:00:00-08:00 2019-12-17T00:00:00-08:00 2019-27081 Notice https://www.govinfo.gov/content/pkg/FR-2019-12-17/pdf/2019-27081.pdf https://regulations.justia.com/regulations/fedreg/2019/12/17/2019-27080.html Notice - Self-Regulatory Organizations; The Nasdaq Stock Market LLC; Notice of Filing of Proposed Rule Change To Amend Rule 5815 To Preclude Stay During Hearing Panel Review of Staff Delisting Determinations in Certain Circumstances 2019-12-17T00:00:00-08:00 2019-12-17T00:00:00-08:00 2019-27080 Notice https://www.govinfo.gov/content/pkg/FR-2019-12-17/pdf/2019-27080.pdf https://regulations.justia.com/regulations/fedreg/2019/12/17/2019-26816.html Notice - Joint Industry Plan; Notice of Filing of Amendment No. 5 to the Plan for the Purpose of Developing and Implementing Procedures Designed To Facilitate the Listing and Trading of Standardized Options To Adopt a Penny Interval Program 2019-12-17T00:00:00-08:00 2019-12-17T00:00:00-08:00 2019-26816 Notice https://www.govinfo.gov/content/pkg/FR-2019-12-17/pdf/2019-26816.pdf https://regulations.justia.com/regulations/fedreg/2019/12/16/2019-27111.html Notice - Sunshine Act Meetings 2019-12-16T00:00:00-08:00 2019-12-16T00:00:00-08:00 2019-27111 Notice https://www.govinfo.gov/content/pkg/FR-2019-12-16/pdf/2019-27111.pdf https://regulations.justia.com/regulations/fedreg/2019/12/16/2019-26992.html Notice - Self-Regulatory Organizations; Cboe C2 Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the Maximum Composite Width Check of the Opening Rotation as Provided in Subparagraph (e)(1) of Exchange Rule 6.11 2019-12-16T00:00:00-08:00 2019-12-16T00:00:00-08:00 2019-26992 Notice https://www.govinfo.gov/content/pkg/FR-2019-12-16/pdf/2019-26992.pdf https://regulations.justia.com/regulations/fedreg/2019/12/16/2019-26991.html Notice - Self-Regulatory Organizations; Cboe BYX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Introduce a Small Retail Broker Distribution Program 2019-12-16T00:00:00-08:00 2019-12-16T00:00:00-08:00 2019-26991 Notice https://www.govinfo.gov/content/pkg/FR-2019-12-16/pdf/2019-26991.pdf https://regulations.justia.com/regulations/fedreg/2019/12/16/2019-26990.html Notice - Self-Regulatory Organizations; Cboe BZX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Introduce a Small Retail Broker Distribution Program 2019-12-16T00:00:00-08:00 2019-12-16T00:00:00-08:00 2019-26990 Notice https://www.govinfo.gov/content/pkg/FR-2019-12-16/pdf/2019-26990.pdf https://regulations.justia.com/regulations/fedreg/2019/12/16/2019-26989.html Notice - Self-Regulatory Organizations; Cboe EDGX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Introduce a Small Retail Broker Distribution Program 2019-12-16T00:00:00-08:00 2019-12-16T00:00:00-08:00 2019-26989 Notice https://www.govinfo.gov/content/pkg/FR-2019-12-16/pdf/2019-26989.pdf https://regulations.justia.com/regulations/fedreg/2019/12/16/2019-26988.html Notice - Self-Regulatory Organizations; Cboe EDGA Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Introduce a Small Retail Broker Distribution Program 2019-12-16T00:00:00-08:00 2019-12-16T00:00:00-08:00 2019-26988 Notice https://www.govinfo.gov/content/pkg/FR-2019-12-16/pdf/2019-26988.pdf https://regulations.justia.com/regulations/fedreg/2019/12/16/2019-26987.html Notice - Self-Regulatory Organizations; BOX Exchange LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the Fee Schedule on the BOX Options Market LLC (“BOX”) Facility To Remove the QOO Order Rebate Cap 2019-12-16T00:00:00-08:00 2019-12-16T00:00:00-08:00 2019-26987 Notice https://www.govinfo.gov/content/pkg/FR-2019-12-16/pdf/2019-26987.pdf https://regulations.justia.com/regulations/fedreg/2019/12/16/2019-26986.html Notice - Self-Regulatory Organizations; Cboe EDGX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the Maximum Composite Width Check of the Opening Rotation as Provided in Subparagraph (e)(1) of Exchange Rule 21.7 2019-12-16T00:00:00-08:00 2019-12-16T00:00:00-08:00 2019-26986 Notice https://www.govinfo.gov/content/pkg/FR-2019-12-16/pdf/2019-26986.pdf https://regulations.justia.com/regulations/fedreg/2019/12/16/2019-26985.html Notice - Self-Regulatory Organizations; The Nasdaq Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the Exchange's Transaction Fees at Equity 7, Section 118(a) 2019-12-16T00:00:00-08:00 2019-12-16T00:00:00-08:00 2019-26985 Notice https://www.govinfo.gov/content/pkg/FR-2019-12-16/pdf/2019-26985.pdf https://regulations.justia.com/regulations/fedreg/2019/12/16/2019-26983.html Notice - Self-Regulatory Organizations; Cboe Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the Maximum Composite Width Check of the Opening Rotation as Provided in Subparagraph (e)(1) of Exchange Rule 5.31 2019-12-16T00:00:00-08:00 2019-12-16T00:00:00-08:00 2019-26983 Notice https://www.govinfo.gov/content/pkg/FR-2019-12-16/pdf/2019-26983.pdf https://regulations.justia.com/regulations/fedreg/2019/12/16/2019-20678.html Rule - Recordkeeping and Reporting Requirements for Security-Based Swap Dealers, Major Security-Based Swap Participants, and Broker-Dealers 2019-12-16T00:00:00-08:00 2019-12-16T00:00:00-08:00 2019-20678 Rule https://www.govinfo.gov/content/pkg/FR-2019-12-16/pdf/2019-20678.pdf https://regulations.justia.com/regulations/fedreg/2019/12/13/2019-26870.html Notice - Proposed Collection; Comment Request 2019-12-13T00:00:00-08:00 2019-12-13T00:00:00-08:00 2019-26870 Notice https://www.govinfo.gov/content/pkg/FR-2019-12-13/pdf/2019-26870.pdf https://regulations.justia.com/regulations/fedreg/2019/12/13/2019-26869.html Notice - Proposed Collection; Comment Request 2019-12-13T00:00:00-08:00 2019-12-13T00:00:00-08:00 2019-26869 Notice https://www.govinfo.gov/content/pkg/FR-2019-12-13/pdf/2019-26869.pdf https://regulations.justia.com/regulations/fedreg/2019/12/13/2019-26868.html Notice - Proposed Collection; Comment Request 2019-12-13T00:00:00-08:00 2019-12-13T00:00:00-08:00 2019-26868 Notice https://www.govinfo.gov/content/pkg/FR-2019-12-13/pdf/2019-26868.pdf https://regulations.justia.com/regulations/fedreg/2019/12/13/2019-26853.html Notice - Self-Regulatory Organizations; NYSE National, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Its Schedule of Fees and Rebates 2019-12-13T00:00:00-08:00 2019-12-13T00:00:00-08:00 2019-26853 Notice https://www.govinfo.gov/content/pkg/FR-2019-12-13/pdf/2019-26853.pdf https://regulations.justia.com/regulations/fedreg/2019/12/13/2019-26852.html Notice - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending the Exchange's Price List Related to Co-Location Services 2019-12-13T00:00:00-08:00 2019-12-13T00:00:00-08:00 2019-26852 Notice https://www.govinfo.gov/content/pkg/FR-2019-12-13/pdf/2019-26852.pdf https://regulations.justia.com/regulations/fedreg/2019/12/13/2019-26851.html Notice - Self-Regulatory Organizations; Cboe EDGX Exchange, Inc.; Order Approving a Proposed Rule Change To Adopt Rule 21.23 (Complex Solicitation Auction Mechanism) 2019-12-13T00:00:00-08:00 2019-12-13T00:00:00-08:00 2019-26851 Notice https://www.govinfo.gov/content/pkg/FR-2019-12-13/pdf/2019-26851.pdf https://regulations.justia.com/regulations/fedreg/2019/12/13/2019-26847.html Notice - Self-Regulatory Organizations; NYSE National, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending the Exchange's Price List Related to Co-Location Services 2019-12-13T00:00:00-08:00 2019-12-13T00:00:00-08:00 2019-26847 Notice https://www.govinfo.gov/content/pkg/FR-2019-12-13/pdf/2019-26847.pdf https://regulations.justia.com/regulations/fedreg/2019/12/13/2019-26846.html Notice - Self-Regulatory Organizations; New York Stock Exchange LLC; NYSE National, Inc.; NYSE Arca, Inc.; NYSE American LLC; Order Instituting Proceedings To Determine Whether To Approve or Disapprove Proposed Rule Changes To Amend the Exchanges' Co-Location Price Lists To Offer Co-Location Users Access to the NMS Network and Establish Associated Fees 2019-12-13T00:00:00-08:00 2019-12-13T00:00:00-08:00 2019-26846 Notice https://www.govinfo.gov/content/pkg/FR-2019-12-13/pdf/2019-26846.pdf https://regulations.justia.com/regulations/fedreg/2019/12/13/2019-26845.html Notice - Self-Regulatory Organizations; The Depository Trust Company; Order Approving a Proposed Rule Change To Require Confirmation of Cybersecurity Program 2019-12-13T00:00:00-08:00 2019-12-13T00:00:00-08:00 2019-26845 Notice https://www.govinfo.gov/content/pkg/FR-2019-12-13/pdf/2019-26845.pdf https://regulations.justia.com/regulations/fedreg/2019/12/13/2019-26844.html Notice - Self-Regulatory Organizations; Fixed Income Clearing Corporation; Order Approving a Proposed Rule Change To Require Confirmation of Cybersecurity Program 2019-12-13T00:00:00-08:00 2019-12-13T00:00:00-08:00 2019-26844 Notice https://www.govinfo.gov/content/pkg/FR-2019-12-13/pdf/2019-26844.pdf https://regulations.justia.com/regulations/fedreg/2019/12/13/2019-26843.html Notice - Self-Regulatory Organizations; National Securities Clearing Corporation; Order Approving a Proposed Rule Change To Require Confirmation of Cybersecurity Program 2019-12-13T00:00:00-08:00 2019-12-13T00:00:00-08:00 2019-26843 Notice https://www.govinfo.gov/content/pkg/FR-2019-12-13/pdf/2019-26843.pdf https://regulations.justia.com/regulations/fedreg/2019/12/13/2019-26842.html Notice - Self-Regulatory Organizations; Miami International Securities Exchange, LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Exchange Rule 1400, Definitions 2019-12-13T00:00:00-08:00 2019-12-13T00:00:00-08:00 2019-26842 Notice https://www.govinfo.gov/content/pkg/FR-2019-12-13/pdf/2019-26842.pdf https://regulations.justia.com/regulations/fedreg/2019/12/13/2019-26841.html Notice - Self-Regulatory Organizations; Nasdaq PHLX LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Order Types and Remove and Relocate Certain Rule Text Currently Located Within Rule 1080 2019-12-13T00:00:00-08:00 2019-12-13T00:00:00-08:00 2019-26841 Notice https://www.govinfo.gov/content/pkg/FR-2019-12-13/pdf/2019-26841.pdf https://regulations.justia.com/regulations/fedreg/2019/12/13/2019-26840.html Notice - Self-Regulatory Organizations; Cboe BYX Exchange, Inc.; Notice of Withdrawal of a Proposed Rule Change To Amend the Fee Schedule Assessed on Members To Establish a Monthly Trading Rights Fee 2019-12-13T00:00:00-08:00 2019-12-13T00:00:00-08:00 2019-26840 Notice https://www.govinfo.gov/content/pkg/FR-2019-12-13/pdf/2019-26840.pdf https://regulations.justia.com/regulations/fedreg/2019/12/13/2019-26839.html Notice - Self-Regulatory Organizations; Cboe BYX Exchange, Inc.; Notice of Withdrawal of a Proposed Rule Change To Amend the Fee Schedule Assessed on Members To Establish a Monthly Trading Rights Fee 2019-12-13T00:00:00-08:00 2019-12-13T00:00:00-08:00 2019-26839 Notice https://www.govinfo.gov/content/pkg/FR-2019-12-13/pdf/2019-26839.pdf https://regulations.justia.com/regulations/fedreg/2019/12/13/2019-26838.html Notice - Self-Regulatory Organizations; Cboe BZX Exchange, Inc.; Notice of Withdrawal of a Proposed Rule Change To Amend the Fee Schedule Assessed on Members To Establish a Monthly Trading Rights Fee 2019-12-13T00:00:00-08:00 2019-12-13T00:00:00-08:00 2019-26838 Notice https://www.govinfo.gov/content/pkg/FR-2019-12-13/pdf/2019-26838.pdf https://regulations.justia.com/regulations/fedreg/2019/12/13/2019-26837.html Notice - Self-Regulatory Organizations; Cboe BZX Exchange, Inc.; Notice of Withdrawal of a Proposed Rule Change To Amend the Fee Schedule Assessed on Members To Establish a Monthly Trading Rights Fee 2019-12-13T00:00:00-08:00 2019-12-13T00:00:00-08:00 2019-26837 Notice https://www.govinfo.gov/content/pkg/FR-2019-12-13/pdf/2019-26837.pdf https://regulations.justia.com/regulations/fedreg/2019/12/13/2019-26836.html 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. Related to Co-Location Services 2019-12-13T00:00:00-08:00 2019-12-13T00:00:00-08:00 2019-26836 Notice https://www.govinfo.gov/content/pkg/FR-2019-12-13/pdf/2019-26836.pdf https://regulations.justia.com/regulations/fedreg/2019/12/13/2019-26835.html Notice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending the NYSE Arca Options Fees and Charges and the NYSE Arca Equities Fees and Charges Related to Co-Location Services 2019-12-13T00:00:00-08:00 2019-12-13T00:00:00-08:00 2019-26835 Notice https://www.govinfo.gov/content/pkg/FR-2019-12-13/pdf/2019-26835.pdf https://regulations.justia.com/regulations/fedreg/2019/12/13/2019-26834.html Notice - Self-Regulatory Organizations; NYSE American LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amending Its NYSE American Equities Price List and Fee Schedule and the NYSE American Options Fee Schedule Related to Co-Location Services 2019-12-13T00:00:00-08:00 2019-12-13T00:00:00-08:00 2019-26834 Notice https://www.govinfo.gov/content/pkg/FR-2019-12-13/pdf/2019-26834.pdf https://regulations.justia.com/regulations/fedreg/2019/12/12/2019-26955.html Notice - Sunshine Act Meetings 2019-12-12T00:00:00-08:00 2019-12-12T00:00:00-08:00 2019-26955 Notice https://www.govinfo.gov/content/pkg/FR-2019-12-12/pdf/2019-26955.pdf https://regulations.justia.com/regulations/fedreg/2019/12/12/2019-26810.html Notice - Self-Regulatory Organizations; Cboe Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating To Amend Rule 5.31, Opening Auction Process 2019-12-12T00:00:00-08:00 2019-12-12T00:00:00-08:00 2019-26810 Notice https://www.govinfo.gov/content/pkg/FR-2019-12-12/pdf/2019-26810.pdf https://regulations.justia.com/regulations/fedreg/2019/12/12/2019-26733.html Notice - Self-Regulatory Organizations; Cboe EDGX Exchange, Inc; Notice of Withdrawal of a Proposed Rule Change To Amend the Fee Schedule Assessed on Members To Establish a Monthly Trading Rights Fee 2019-12-12T00:00:00-08:00 2019-12-12T00:00:00-08:00 2019-26733 Notice https://www.govinfo.gov/content/pkg/FR-2019-12-12/pdf/2019-26733.pdf https://regulations.justia.com/regulations/fedreg/2019/12/12/2019-26732.html Notice - Self-Regulatory Organizations; Cboe EDGX Exchange, Inc; Notice of Withdrawal of a Proposed Rule Change To Amend the Fee Schedule Assessed on Members To Establish a Monthly Trading Rights Fee 2019-12-12T00:00:00-08:00 2019-12-12T00:00:00-08:00 2019-26732 Notice https://www.govinfo.gov/content/pkg/FR-2019-12-12/pdf/2019-26732.pdf https://regulations.justia.com/regulations/fedreg/2019/12/12/2019-26731.html Notice - Self-Regulatory Organizations; Cboe EDGA Exchange, Inc; Notice of Withdrawal of a Proposed Rule Change To Amend the Fee Schedule Assessed on Members To Establish a Monthly Trading Rights Fee 2019-12-12T00:00:00-08:00 2019-12-12T00:00:00-08:00 2019-26731 Notice https://www.govinfo.gov/content/pkg/FR-2019-12-12/pdf/2019-26731.pdf https://regulations.justia.com/regulations/fedreg/2019/12/12/2019-26730.html Notice - Self-Regulatory Organizations; The Options Clearing Corporation; Notice of No Objection To Advance Notice Related To Proposed Changes to The Options Clearing Corporation's Rules, Clearing Fund Methodology Policy, and Clearing Fund and Stress Testing Methodology 2019-12-12T00:00:00-08:00 2019-12-12T00:00:00-08:00 2019-26730 Notice https://www.govinfo.gov/content/pkg/FR-2019-12-12/pdf/2019-26730.pdf https://regulations.justia.com/regulations/fedreg/2019/12/12/2019-26729.html Notice - Self-Regulatory Organizations; Cboe EDGA Exchange, Inc; Notice of Withdrawal of a Proposed Rule Change To Amend the Fee Schedule Assessed on Members To Establish a Monthly Trading Rights Fee 2019-12-12T00:00:00-08:00 2019-12-12T00:00:00-08:00 2019-26729 Notice https://www.govinfo.gov/content/pkg/FR-2019-12-12/pdf/2019-26729.pdf https://regulations.justia.com/regulations/fedreg/2019/12/12/2019-26728.html Notice - Self-Regulatory Organizations; The Nasdaq Stock Market LLC; Notice of Filing of Proposed Rule Change To Adopt a New Rule Permitting Nasdaq To Halt Trading in a Security and Request Information From the Company Regarding the Number of Unrestricted Publicly Held Shares in Certain Circumstances and in Certain Circumstances Request a Plan To Increase the Number of Unrestricted Publicly Held Shares to an Amount That Is Higher Than the Applicable Publicly Held Shares Requirement 2019-12-12T00:00:00-08:00 2019-12-12T00:00:00-08:00 2019-26728 Notice https://www.govinfo.gov/content/pkg/FR-2019-12-12/pdf/2019-26728.pdf https://regulations.justia.com/regulations/fedreg/2019/12/12/2019-26727.html Notice - Self-Regulatory Organizations; The Options Clearing Corporation; Notice of No Objection To 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 Risk 2019-12-12T00:00:00-08:00 2019-12-12T00:00:00-08:00 2019-26727 Notice https://www.govinfo.gov/content/pkg/FR-2019-12-12/pdf/2019-26727.pdf https://regulations.justia.com/regulations/fedreg/2019/12/11/2019-26641.html Notice - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Designation of a Longer Period for Commission Action on a Proposed Rule Change To Permit the Exchange To List and Trade Exchange Traded Products 2019-12-11T00:00:00-08:00 2019-12-11T00:00:00-08:00 2019-26641 Notice https://www.govinfo.gov/content/pkg/FR-2019-12-11/pdf/2019-26641.pdf https://regulations.justia.com/regulations/fedreg/2019/12/11/2019-26629.html Notice - Proposed Collection; Comment Request 2019-12-11T00:00:00-08:00 2019-12-11T00:00:00-08:00 2019-26629 Notice https://www.govinfo.gov/content/pkg/FR-2019-12-11/pdf/2019-26629.pdf https://regulations.justia.com/regulations/fedreg/2019/12/11/2019-26628.html Notice - Submission for OMB Review; Comment Request 2019-12-11T00:00:00-08:00 2019-12-11T00:00:00-08:00 2019-26628 Notice https://www.govinfo.gov/content/pkg/FR-2019-12-11/pdf/2019-26628.pdf https://regulations.justia.com/regulations/fedreg/2019/12/11/2019-26627.html Notice - Proposed Collection; Comment Request 2019-12-11T00:00:00-08:00 2019-12-11T00:00:00-08:00 2019-26627 Notice https://www.govinfo.gov/content/pkg/FR-2019-12-11/pdf/2019-26627.pdf https://regulations.justia.com/regulations/fedreg/2019/12/10/2019-26498.html Notice - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Order Granting Approval of a Proposed Rule Change, as Modified by Amendment No. 2, To Establish a Corporate Bond New Issue Reference Data Service 2019-12-10T00:00:00-08:00 2019-12-10T00:00:00-08:00 2019-26498 Notice https://www.govinfo.gov/content/pkg/FR-2019-12-10/pdf/2019-26498.pdf https://regulations.justia.com/regulations/fedreg/2019/12/10/2019-26497.html Notice - Self-Regulatory Organizations; LCH SA; Notice of Filing of Proposed Rule Change Relating to Amendments to LCH SA's Liquidity Risk Modelling Framework 2019-12-10T00:00:00-08:00 2019-12-10T00:00:00-08:00 2019-26497 Notice https://www.govinfo.gov/content/pkg/FR-2019-12-10/pdf/2019-26497.pdf https://regulations.justia.com/regulations/fedreg/2019/12/10/2019-24651.html Proposed Rule - Investment Adviser Advertisements; Compensation for Solicitations 2019-12-10T00:00:00-08:00 2019-12-10T00:00:00-08:00 2019-24651 Proposed Rule https://www.govinfo.gov/content/pkg/FR-2019-12-10/pdf/2019-24651.pdf https://regulations.justia.com/regulations/fedreg/2019/12/09/2019-26509.html Notice - Sunshine Act Meetings 2019-12-09T00:00:00-08:00 2019-12-09T00:00:00-08:00 2019-26509 Notice https://www.govinfo.gov/content/pkg/FR-2019-12-09/pdf/2019-26509.pdf https://regulations.justia.com/regulations/fedreg/2019/12/09/2019-26496.html Notice - Sunshine Act Meetings 2019-12-09T00:00:00-08:00 2019-12-09T00:00:00-08:00 2019-26496 Notice https://www.govinfo.gov/content/pkg/FR-2019-12-09/pdf/2019-26496.pdf https://regulations.justia.com/regulations/fedreg/2019/12/09/2019-26409.html Notice - Self-Regulatory Organizations: Investors Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Rule 11.380 To Expand the Exchange's Optional Aggregate Risk Controls Mechanism To Include a Net Notional Exposure Risk Check in Addition to the Gross Notional Exposure Risk Check 2019-12-09T00:00:00-08:00 2019-12-09T00:00:00-08:00 2019-26409 Notice https://www.govinfo.gov/content/pkg/FR-2019-12-09/pdf/2019-26409.pdf https://regulations.justia.com/regulations/fedreg/2019/12/09/2019-26408.html Notice - Self-Regulatory Organizations; LCH SA; Notice of Filing of Proposed Rule Change Relating to Amendments to CDS Clearing Supplement To Reflect the ISDA NTCE Protocol and Supplement 2019-12-09T00:00:00-08:00 2019-12-09T00:00:00-08:00 2019-26408 Notice https://www.govinfo.gov/content/pkg/FR-2019-12-09/pdf/2019-26408.pdf https://regulations.justia.com/regulations/fedreg/2019/12/09/2019-26407.html Notice - Lazard Asset Management LLC and Lazard ESC Funds LLC 2019-12-09T00:00:00-08:00 2019-12-09T00:00:00-08:00 2019-26407 Notice https://www.govinfo.gov/content/pkg/FR-2019-12-09/pdf/2019-26407.pdf https://regulations.justia.com/regulations/fedreg/2019/12/09/2019-26406.html Notice - Self-Regulatory Organizations; Cboe BZX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Allow the Hartford Short Duration ETF To Hold Certain Fixed Income Instruments in a Manner That Does Not Comply With Rule 14.11(i) 2019-12-09T00:00:00-08:00 2019-12-09T00:00:00-08:00 2019-26406 Notice https://www.govinfo.gov/content/pkg/FR-2019-12-09/pdf/2019-26406.pdf https://regulations.justia.com/regulations/fedreg/2019/12/09/2019-26405.html Notice - Self-Regulatory Organizations; The Nasdaq Stock Market LLC; Notice of Filing of Amendment No. 1 and Order Granting Accelerated Approval of a Proposed Rule Change, as Modified by Amendment No. 1, To Adopt Requirements for the Nasdaq Capital and Global Markets Applicable to Direct Listings 2019-12-09T00:00:00-08:00 2019-12-09T00:00:00-08:00 2019-26405 Notice https://www.govinfo.gov/content/pkg/FR-2019-12-09/pdf/2019-26405.pdf https://regulations.justia.com/regulations/fedreg/2019/12/09/2019-26404.html Notice - 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. 2019-12-09T00:00:00-08:00 2019-12-09T00:00:00-08:00 2019-26404 Notice https://www.govinfo.gov/content/pkg/FR-2019-12-09/pdf/2019-26404.pdf https://regulations.justia.com/regulations/fedreg/2019/12/06/2019-26309.html Notice - Blackstone Alternative Alpha Fund, et al. 2019-12-06T00:00:00-08:00 2019-12-06T00:00:00-08:00 2019-26309 Notice https://www.govinfo.gov/content/pkg/FR-2019-12-06/pdf/2019-26309.pdf https://regulations.justia.com/regulations/fedreg/2019/12/06/2019-26308.html Notice - Self-Regulatory Organizations; Cboe C2 Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Updating Various C2 Rules and Chapters To Reflect Changes to the Cboe Options Rulebook 2019-12-06T00:00:00-08:00 2019-12-06T00:00:00-08:00 2019-26308 Notice https://www.govinfo.gov/content/pkg/FR-2019-12-06/pdf/2019-26308.pdf https://regulations.justia.com/regulations/fedreg/2019/12/06/2019-26307.html Notice - Self-Regulatory Organizations; Nasdaq PHLX LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Phlx Rule 507 2019-12-06T00:00:00-08:00 2019-12-06T00:00:00-08:00 2019-26307 Notice https://www.govinfo.gov/content/pkg/FR-2019-12-06/pdf/2019-26307.pdf https://regulations.justia.com/regulations/fedreg/2019/12/06/2019-26305.html Notice - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Rule 71 2019-12-06T00:00:00-08:00 2019-12-06T00:00:00-08:00 2019-26305 Notice https://www.govinfo.gov/content/pkg/FR-2019-12-06/pdf/2019-26305.pdf https://regulations.justia.com/regulations/fedreg/2019/12/06/2019-26299.html 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; Correction 2019-12-06T00:00:00-08:00 2019-12-06T00:00:00-08:00 2019-26299 Notice https://www.govinfo.gov/content/pkg/FR-2019-12-06/pdf/2019-26299.pdf https://regulations.justia.com/regulations/fedreg/2019/12/05/2019-26230.html Notice - Notice of Applications for Deregistration Under Section 8(f) of the Investment Company Act of 1940 2019-12-05T00:00:00-08:00 2019-12-05T00:00:00-08:00 2019-26230 Notice https://www.govinfo.gov/content/pkg/FR-2019-12-05/pdf/2019-26230.pdf https://regulations.justia.com/regulations/fedreg/2019/12/05/2019-26229.html Notice - Self-Regulatory Organizations; BOX Exchange LLC; Notice of Designation of Longer Period for Commission Action on a Proposed Rule Change To Adopt Rules Governing the Trading of Equity Securities on the Exchange Through a Facility of the Exchange Known as the Boston Security Token Exchange LLC 2019-12-05T00:00:00-08:00 2019-12-05T00:00:00-08:00 2019-26229 Notice https://www.govinfo.gov/content/pkg/FR-2019-12-05/pdf/2019-26229.pdf https://regulations.justia.com/regulations/fedreg/2019/12/04/2019-26223.html Notice - Submission for OMB Review; Comment Request 2019-12-04T00:00:00-08:00 2019-12-04T00:00:00-08:00 2019-26223 Notice https://www.govinfo.gov/content/pkg/FR-2019-12-04/pdf/2019-26223.pdf https://regulations.justia.com/regulations/fedreg/2019/12/04/2019-24476.html Proposed Rule - Procedural Requirements and Resubmission Thresholds Under Exchange Act Rule 14a-8 2019-12-04T00:00:00-08:00 2019-12-04T00:00:00-08:00 2019-24476 Proposed Rule https://www.govinfo.gov/content/pkg/FR-2019-12-04/pdf/2019-24476.pdf https://regulations.justia.com/regulations/fedreg/2019/12/04/2019-24475.html Proposed Rule - Amendments to Exemptions From the Proxy Rules for Proxy Voting Advice 2019-12-04T00:00:00-08:00 2019-12-04T00:00:00-08:00 2019-24475 Proposed Rule https://www.govinfo.gov/content/pkg/FR-2019-12-04/pdf/2019-24475.pdf https://regulations.justia.com/regulations/fedreg/2019/12/03/2019-26159.html Notice - Self-Regulatory Organizations; BOX Exchange LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Add IM-7620-1 (Sub-Penny Cabinet) To Allow Transactions To Take Place at a Price That is Below $1 per Option Contract 2019-12-03T00:00:00-08:00 2019-12-03T00:00:00-08:00 2019-26159 Notice https://www.govinfo.gov/content/pkg/FR-2019-12-03/pdf/2019-26159.pdf https://regulations.justia.com/regulations/fedreg/2019/12/03/2019-26157.html Notice - Self-Regulatory Organizations; Cboe BZX Exchange, Inc.; Order Granting Approval of a Proposed Rule Change, as Modified by Amendment No. 1, To Amend Rule 14.11(c) (Index Fund Shares) To Adopt Generic Listing Standards for Index Fund Shares Based on an Index of Municipal Securities 2019-12-03T00:00:00-08:00 2019-12-03T00:00:00-08:00 2019-26157 Notice https://www.govinfo.gov/content/pkg/FR-2019-12-03/pdf/2019-26157.pdf https://regulations.justia.com/regulations/fedreg/2019/12/03/2019-26062.html Notice - Self-Regulatory Organizations; NYSE American, LLC.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Commentary .02 to Rule 960NY To Extend the Penny Pilot 2019-12-03T00:00:00-08:00 2019-12-03T00:00:00-08:00 2019-26062 Notice https://www.govinfo.gov/content/pkg/FR-2019-12-03/pdf/2019-26062.pdf https://regulations.justia.com/regulations/fedreg/2019/12/03/2019-26059.html Notice - Self-Regulatory Organizations; BOX Exchange LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Rule 7260 by Extending the Penny Pilot Program Through June 30, 2020 2019-12-03T00:00:00-08:00 2019-12-03T00:00:00-08:00 2019-26059 Notice https://www.govinfo.gov/content/pkg/FR-2019-12-03/pdf/2019-26059.pdf https://regulations.justia.com/regulations/fedreg/2019/12/03/2019-26058.html Notice - Self-Regulatory Organizations; Cboe BYX Exchange, Inc.; Suspension of and Order Instituting Proceedings To Determine Whether To Approve or Disapprove a Proposed Rule Change To Introduce a Small Retail Broker Distribution Program 2019-12-03T00:00:00-08:00 2019-12-03T00:00:00-08:00 2019-26058 Notice https://www.govinfo.gov/content/pkg/FR-2019-12-03/pdf/2019-26058.pdf https://regulations.justia.com/regulations/fedreg/2019/12/03/2019-26057.html Notice - Self-Regulatory Organizations; Cboe EDGA Exchange, Inc.; Suspension of and Order Instituting Proceedings To Determine Whether To Approve or Disapprove a Proposed Rule Change To Introduce a Small Retail Broker Distribution Program 2019-12-03T00:00:00-08:00 2019-12-03T00:00:00-08:00 2019-26057 Notice https://www.govinfo.gov/content/pkg/FR-2019-12-03/pdf/2019-26057.pdf https://regulations.justia.com/regulations/fedreg/2019/12/03/2019-26056.html Notice - Self-Regulatory Organizations; Cboe BZX Exchange, Inc.; Suspension of and Order Instituting Proceedings To Determine Whether To Approve or Disapprove a Proposed Rule Change To Introduce a Small Retail Broker Distribution Program 2019-12-03T00:00:00-08:00 2019-12-03T00:00:00-08:00 2019-26056 Notice https://www.govinfo.gov/content/pkg/FR-2019-12-03/pdf/2019-26056.pdf https://regulations.justia.com/regulations/fedreg/2019/12/03/2019-26055.html Notice - Self-Regulatory Organizations; Cboe EDGX Exchange, Inc.; Suspension of and Order Instituting Proceedings To Determine Whether To Approve or Disapprove a Proposed Rule Change To Introduce a Small Retail Broker Distribution Program 2019-12-03T00:00:00-08:00 2019-12-03T00:00:00-08:00 2019-26055 Notice https://www.govinfo.gov/content/pkg/FR-2019-12-03/pdf/2019-26055.pdf https://regulations.justia.com/regulations/fedreg/2019/12/02/2019-26169.html Notice - Sunshine Act Meetings 2019-12-02T00:00:00-08:00 2019-12-02T00:00:00-08:00 2019-26169 Notice https://www.govinfo.gov/content/pkg/FR-2019-12-02/pdf/2019-26169.pdf https://regulations.justia.com/regulations/fedreg/2019/12/02/2019-26168.html Notice - Sunshine Act Meetings 2019-12-02T00:00:00-08:00 2019-12-02T00:00:00-08:00 2019-26168 Notice https://www.govinfo.gov/content/pkg/FR-2019-12-02/pdf/2019-26168.pdf https://regulations.justia.com/regulations/fedreg/2019/12/02/2019-26008.html Notice - SEC Small Business Capital Formation Advisory Committee; Meeting 2019-12-02T00:00:00-08:00 2019-12-02T00:00:00-08:00 2019-26008 Notice https://www.govinfo.gov/content/pkg/FR-2019-12-02/pdf/2019-26008.pdf https://regulations.justia.com/regulations/fedreg/2019/12/02/2019-25999.html Notice - Self-Regulatory Organizations; MIAX PEARL, LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Rule 510, Minimum Price Variations and Minimum Trading Increments To Extend the Penny Pilot Program 2019-12-02T00:00:00-08:00 2019-12-02T00:00:00-08:00 2019-25999 Notice https://www.govinfo.gov/content/pkg/FR-2019-12-02/pdf/2019-25999.pdf https://regulations.justia.com/regulations/fedreg/2019/12/02/2019-25971.html Notice - Self-Regulatory Organizations; MIAX Emerald, LLC; Notice of Withdrawal of Proposed Rule Change To Amend its Options Regulatory Fee 2019-12-02T00:00:00-08:00 2019-12-02T00:00:00-08:00 2019-25971 Notice https://www.govinfo.gov/content/pkg/FR-2019-12-02/pdf/2019-25971.pdf https://regulations.justia.com/regulations/fedreg/2019/12/02/2019-25970.html 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 Delivery Procedures 2019-12-02T00:00:00-08:00 2019-12-02T00:00:00-08:00 2019-25970 Notice https://www.govinfo.gov/content/pkg/FR-2019-12-02/pdf/2019-25970.pdf https://regulations.justia.com/regulations/fedreg/2019/12/02/2019-25969.html Notice - 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 American LLC 2019-12-02T00:00:00-08:00 2019-12-02T00:00:00-08:00 2019-25969 Notice https://www.govinfo.gov/content/pkg/FR-2019-12-02/pdf/2019-25969.pdf https://regulations.justia.com/regulations/fedreg/2019/12/02/2019-25968.html Notice - Self-Regulatory Organizations; ICE Clear Credit LLC; Notice of Filing of Partial Amendment No. 1 and Order Instituting Proceedings To Determine Whether To Approve or Disapprove Proposed Rule Change Proposed Rule Change, as Modified by Partial Amendment No. 1, Relating to Amendments to the ICC Clearing Rules To Address Non-Default Losses 2019-12-02T00:00:00-08:00 2019-12-02T00:00:00-08:00 2019-25968 Notice https://www.govinfo.gov/content/pkg/FR-2019-12-02/pdf/2019-25968.pdf https://regulations.justia.com/regulations/fedreg/2019/12/02/2019-25967.html Notice - Self-Regulatory Organizations; Miami International Securities Exchange, LLC; Notice of Withdrawal of Proposed Rule Change To Amend Its Options Regulatory Fee 2019-12-02T00:00:00-08:00 2019-12-02T00:00:00-08:00 2019-25967 Notice https://www.govinfo.gov/content/pkg/FR-2019-12-02/pdf/2019-25967.pdf https://regulations.justia.com/regulations/fedreg/2019/12/02/2019-25966.html Notice - Self-Regulatory Organizations; NYSE Chicago, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Adopt New NYSE Chicago Rule 11.5190 2019-12-02T00:00:00-08:00 2019-12-02T00:00:00-08:00 2019-25966 Notice https://www.govinfo.gov/content/pkg/FR-2019-12-02/pdf/2019-25966.pdf https://regulations.justia.com/regulations/fedreg/2019/12/02/2019-25965.html Notice - Self-Regulatory Organizations; NYSE National, 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 American LLC 2019-12-02T00:00:00-08:00 2019-12-02T00:00:00-08:00 2019-25965 Notice https://www.govinfo.gov/content/pkg/FR-2019-12-02/pdf/2019-25965.pdf https://regulations.justia.com/regulations/fedreg/2019/12/02/2019-25963.html Notice - Self-Regulatory Organizations; NYSE National, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Adopt New NYSE National Rule 11.5190 2019-12-02T00:00:00-08:00 2019-12-02T00:00:00-08:00 2019-25963 Notice https://www.govinfo.gov/content/pkg/FR-2019-12-02/pdf/2019-25963.pdf https://regulations.justia.com/regulations/fedreg/2019/12/02/2019-25962.html Notice - Self-Regulatory Organizations; MIAX PEARL, LLC; Notice of Withdrawal of Proposed Rule Change To Amend its Options Regulatory Fee 2019-12-02T00:00:00-08:00 2019-12-02T00:00:00-08:00 2019-25962 Notice https://www.govinfo.gov/content/pkg/FR-2019-12-02/pdf/2019-25962.pdf https://regulations.justia.com/regulations/fedreg/2019/12/02/2019-25961.html Notice - Self-Regulatory Organizations; BOX Exchange LLC; Notice of Filing of Amendment No. 1 and Order Granting Accelerated Approval of a Proposed Rule Change, as Modified by Amendment No. 1, To Amend Rule 7600 2019-12-02T00:00:00-08:00 2019-12-02T00:00:00-08:00 2019-25961 Notice https://www.govinfo.gov/content/pkg/FR-2019-12-02/pdf/2019-25961.pdf https://regulations.justia.com/regulations/fedreg/2019/12/02/2019-25960.html Notice - Self-Regulatory Organizations; ICE Clear Credit LLC; Notice of Filing of Proposed Rule Change Relating to the ICC Clearing Rules 2019-12-02T00:00:00-08:00 2019-12-02T00:00:00-08:00 2019-25960 Notice https://www.govinfo.gov/content/pkg/FR-2019-12-02/pdf/2019-25960.pdf