Federal Register Recent Federal Regulation Documents - Justia Regulation Tracker - Justia Regulations Trackerhttps://regulations.justia.com/regulations/fedreg/agencies/securities-and-exchange-commission/2019/02?limit=200®isters=between&min-day=1&max-day=28&mode=atom2024-04-26T01:21:01-07:00Justia Inchttps://www.justia.com/Justia Regulations Trackerhttps://regulations.justia.com/images/justiafedregulations.gifCopyright 2011 Justia Inchttps://regulations.justia.com/regulations/fedreg/2019/02/28/2019-03543.htmlNotice - Order Affirming Order by Delegated Authority Temporarily Suspending and Instituting Proceedings on SR-BOX-2018-24 and Notice of Additional Comment Period for the Proceedings2019-02-28T00:00:00-08:002019-02-28T00:00:00-08:002019-03543Noticehttps://www.govinfo.gov/content/pkg/FR-2019-02-28/pdf/2019-03543.pdfhttps://regulations.justia.com/regulations/fedreg/2019/02/28/2019-03472.htmlNotice - Self-Regulatory Organizations; Cboe BZX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating To Amend the Fee Schedule Applicable to Members and Non-Members of the Exchange Pursuant to BZX Rules 15.1(a) and (c)2019-02-28T00:00:00-08:002019-02-28T00:00:00-08:002019-03472Noticehttps://www.govinfo.gov/content/pkg/FR-2019-02-28/pdf/2019-03472.pdfhttps://regulations.justia.com/regulations/fedreg/2019/02/28/2019-03471.htmlNotice - Self-Regulatory Organizations; Cboe EDGX Exchange, Inc.; Notice of Deemed Approval of a Proposed Rule Change, as Modified by Amendments No. 1 and 2, To Allow the Post Only Order Instruction on Complex Orders2019-02-28T00:00:00-08:002019-02-28T00:00:00-08:002019-03471Noticehttps://www.govinfo.gov/content/pkg/FR-2019-02-28/pdf/2019-03471.pdfhttps://regulations.justia.com/regulations/fedreg/2019/02/28/2019-03469.htmlNotice - Self-Regulatory Organizations; Cboe BZX Exchange, Inc.; Notice of Deemed Approval of a Proposed Rule Change To Permit the Listing and Trading of P.M.-Settled Series on Certain Broad-Based Index Options on a Pilot Basis2019-02-28T00:00:00-08:002019-02-28T00:00:00-08:002019-03469Noticehttps://www.govinfo.gov/content/pkg/FR-2019-02-28/pdf/2019-03469.pdfhttps://regulations.justia.com/regulations/fedreg/2019/02/28/2019-03467.htmlNotice - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing of Proposed Rule Change To (1) Amend Rules 7.36 and 7.37 To Add the Designated Market Maker as a Participant for Trading of Exchange-Listed Securities on Pillar; (2) Amend Rule 7.31 To Add Auction-Only Orders and Make Related Changes; (3) Add New Trading Rules Relating to Auctions for Pillar; (4) Make Conforming Amendments to Rules 1.1, 7.11, 7.12, 7.16, 7.18, 7.32, 7.34, and 7.36; and (5) Amend the Preambles on Current Exchange Rules Relating to Their Applicability to the Pillar Trading Platform2019-02-28T00:00:00-08:002019-02-28T00:00:00-08:002019-03467Noticehttps://www.govinfo.gov/content/pkg/FR-2019-02-28/pdf/2019-03467.pdfhttps://regulations.justia.com/regulations/fedreg/2019/02/28/2019-03466.htmlNotice - Self-Regulatory Organizations; Cboe C2 Exchange, Inc.; Notice of Deemed Approval of a Proposed Rule Change, as Modified by Amendments No. 1 and 2, To Allow the Post Only Order Instruction on Complex Orders2019-02-28T00:00:00-08:002019-02-28T00:00:00-08:002019-03466Noticehttps://www.govinfo.gov/content/pkg/FR-2019-02-28/pdf/2019-03466.pdfhttps://regulations.justia.com/regulations/fedreg/2019/02/28/2019-03465.htmlNotice - Self-Regulatory Organizations; Cboe EDGX Exchange, Inc.; Notice of Deemed Approval of a Proposed Rule Change To Permit the Listing and Trading of P.M.-Settled Series on Certain Broad-Based Index Options on a Pilot Basis2019-02-28T00:00:00-08:002019-02-28T00:00:00-08:002019-03465Noticehttps://www.govinfo.gov/content/pkg/FR-2019-02-28/pdf/2019-03465.pdfhttps://regulations.justia.com/regulations/fedreg/2019/02/28/2019-03464.htmlNotice - Self-Regulatory Organizations; Cboe BZX Exchange, Inc.; Notice of Deemed Approval of a Proposed Rule Change, as Modified by Amendment No. 1, To List and Trade Shares of the WisdomTree Long-Term Treasury PutWrite Strategy Fund, WisdomTree Corporate Bond PutWrite Strategy Fund, WisdomTree International PutWrite Strategy Fund, and WisdomTree Emerging Markets PutWrite Strategy Fund, Each a Series of WisdomTree Trust, Under Rule 14.11(i) (Managed Fund Shares)2019-02-28T00:00:00-08:002019-02-28T00:00:00-08:002019-03464Noticehttps://www.govinfo.gov/content/pkg/FR-2019-02-28/pdf/2019-03464.pdfhttps://regulations.justia.com/regulations/fedreg/2019/02/28/2019-03098.htmlProposed Rule - Solicitations of Interest Prior to a Registered Public Offering2019-02-28T00:00:00-08:002019-02-28T00:00:00-08:002019-03098Proposed Rulehttps://www.govinfo.gov/content/pkg/FR-2019-02-28/pdf/2019-03098.pdfhttps://regulations.justia.com/regulations/fedreg/2019/02/27/2019-03394.htmlNotice - Proposed Collection; Comment Request2019-02-27T00:00:00-08:002019-02-27T00:00:00-08:002019-03394Noticehttps://www.govinfo.gov/content/pkg/FR-2019-02-27/pdf/2019-03394.pdfhttps://regulations.justia.com/regulations/fedreg/2019/02/27/2019-03393.htmlNotice - Proposed Collection; Comment Request2019-02-27T00:00:00-08:002019-02-27T00:00:00-08:002019-03393Noticehttps://www.govinfo.gov/content/pkg/FR-2019-02-27/pdf/2019-03393.pdfhttps://regulations.justia.com/regulations/fedreg/2019/02/27/2019-03392.htmlNotice - Proposed Collection; Comment Request2019-02-27T00:00:00-08:002019-02-27T00:00:00-08:002019-03392Noticehttps://www.govinfo.gov/content/pkg/FR-2019-02-27/pdf/2019-03392.pdfhttps://regulations.justia.com/regulations/fedreg/2019/02/27/2019-03391.htmlNotice - Notice of Applications for Deregistration Under Section 8(f) of the Investment Company Act of 19402019-02-27T00:00:00-08:002019-02-27T00:00:00-08:002019-03391Noticehttps://www.govinfo.gov/content/pkg/FR-2019-02-27/pdf/2019-03391.pdfhttps://regulations.justia.com/regulations/fedreg/2019/02/27/2019-03332.htmlNotice - Self-Regulatory Organizations; Cboe Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating To Amend its Fees Schedule2019-02-27T00:00:00-08:002019-02-27T00:00:00-08:002019-03332Noticehttps://www.govinfo.gov/content/pkg/FR-2019-02-27/pdf/2019-03332.pdfhttps://regulations.justia.com/regulations/fedreg/2019/02/27/2019-03331.htmlNotice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing of Proposed Rule Change Amending NYSE Arca Rule 5.2-E(j)(3) To Adopt Generic Listing Standards for Investment Company Units Based on an Index of Municipal Bond Securities2019-02-27T00:00:00-08:002019-02-27T00:00:00-08:002019-03331Noticehttps://www.govinfo.gov/content/pkg/FR-2019-02-27/pdf/2019-03331.pdfhttps://regulations.justia.com/regulations/fedreg/2019/02/27/2019-03325.htmlNotice - OBP Capital LLC, et al.; Notice of Application2019-02-27T00:00:00-08:002019-02-27T00:00:00-08:002019-03325Noticehttps://www.govinfo.gov/content/pkg/FR-2019-02-27/pdf/2019-03325.pdfhttps://regulations.justia.com/regulations/fedreg/2019/02/26/2019-03312.htmlNotice - Toroso Investments, LLC and Tidal ETF Trust2019-02-26T00:00:00-08:002019-02-26T00:00:00-08:002019-03312Noticehttps://www.govinfo.gov/content/pkg/FR-2019-02-26/pdf/2019-03312.pdfhttps://regulations.justia.com/regulations/fedreg/2019/02/26/2019-03311.htmlNotice - Monteagle Funds and Nashville Capital Corporation2019-02-26T00:00:00-08:002019-02-26T00:00:00-08:002019-03311Noticehttps://www.govinfo.gov/content/pkg/FR-2019-02-26/pdf/2019-03311.pdfhttps://regulations.justia.com/regulations/fedreg/2019/02/26/2019-03310.htmlNotice - Acquirers Funds, LLC, et al.2019-02-26T00:00:00-08:002019-02-26T00:00:00-08:002019-03310Noticehttps://www.govinfo.gov/content/pkg/FR-2019-02-26/pdf/2019-03310.pdfhttps://regulations.justia.com/regulations/fedreg/2019/02/26/2019-03218.htmlNotice - Self-Regulatory Organizations; NYSE American LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Rule 7.31E Relating to the Minimum Trade Size Modifier2019-02-26T00:00:00-08:002019-02-26T00:00:00-08:002019-03218Noticehttps://www.govinfo.gov/content/pkg/FR-2019-02-26/pdf/2019-03218.pdfhttps://regulations.justia.com/regulations/fedreg/2019/02/25/2019-03333.htmlNotice - Sunshine Act Meetings2019-02-25T00:00:00-08:002019-02-25T00:00:00-08:002019-03333Noticehttps://www.govinfo.gov/content/pkg/FR-2019-02-25/pdf/2019-03333.pdfhttps://regulations.justia.com/regulations/fedreg/2019/02/25/2019-03206.htmlNotice - Self-Regulatory Organizations; Cboe Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating To Amend a Fee for the S&P Select Sector Index Options (“Sector Index Options”)2019-02-25T00:00:00-08:002019-02-25T00:00:00-08:002019-03206Noticehttps://www.govinfo.gov/content/pkg/FR-2019-02-25/pdf/2019-03206.pdfhttps://regulations.justia.com/regulations/fedreg/2019/02/25/2019-03175.htmlNotice - Self-Regulatory Organizations; Cboe BZX Exchange, Inc.; Order Granting Approval of a Proposed Rule Change, as Modified by Amendment No. 1, To List and Trade Shares of the JPMorgan Inflation Managed Bond ETF of the J.P. Morgan Exchange-Traded Fund Trust Under Rule 14.11(i), Managed Fund Shares2019-02-25T00:00:00-08:002019-02-25T00:00:00-08:002019-03175Noticehttps://www.govinfo.gov/content/pkg/FR-2019-02-25/pdf/2019-03175.pdfhttps://regulations.justia.com/regulations/fedreg/2019/02/25/2019-03173.htmlNotice - Self-Regulatory Organizations; MIAX Emerald, LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Exchange Rule 519, MIAX Emerald Order Monitor2019-02-25T00:00:00-08:002019-02-25T00:00:00-08:002019-03173Noticehttps://www.govinfo.gov/content/pkg/FR-2019-02-25/pdf/2019-03173.pdfhttps://regulations.justia.com/regulations/fedreg/2019/02/25/2019-03138.htmlNotice - CM Finance Inc, et al.2019-02-25T00:00:00-08:002019-02-25T00:00:00-08:002019-03138Noticehttps://www.govinfo.gov/content/pkg/FR-2019-02-25/pdf/2019-03138.pdfhttps://regulations.justia.com/regulations/fedreg/2019/02/22/2019-03088.htmlNotice - Submission for OMB Review; Comment Request2019-02-22T00:00:00-08:002019-02-22T00:00:00-08:002019-03088Noticehttps://www.govinfo.gov/content/pkg/FR-2019-02-22/pdf/2019-03088.pdfhttps://regulations.justia.com/regulations/fedreg/2019/02/22/2019-03087.htmlNotice - Submission for OMB Review; Comment Request2019-02-22T00:00:00-08:002019-02-22T00:00:00-08:002019-03087Noticehttps://www.govinfo.gov/content/pkg/FR-2019-02-22/pdf/2019-03087.pdfhttps://regulations.justia.com/regulations/fedreg/2019/02/22/2019-03086.htmlNotice - Proposed Collection; Comment Request2019-02-22T00:00:00-08:002019-02-22T00:00:00-08:002019-03086Noticehttps://www.govinfo.gov/content/pkg/FR-2019-02-22/pdf/2019-03086.pdfhttps://regulations.justia.com/regulations/fedreg/2019/02/22/2019-03085.htmlNotice - Submission for OMB Review; Comment Request2019-02-22T00:00:00-08:002019-02-22T00:00:00-08:002019-03085Noticehttps://www.govinfo.gov/content/pkg/FR-2019-02-22/pdf/2019-03085.pdfhttps://regulations.justia.com/regulations/fedreg/2019/02/22/2019-03084.htmlNotice - Submission for OMB Review Comment Request2019-02-22T00:00:00-08:002019-02-22T00:00:00-08:002019-03084Noticehttps://www.govinfo.gov/content/pkg/FR-2019-02-22/pdf/2019-03084.pdfhttps://regulations.justia.com/regulations/fedreg/2019/02/22/2019-03083.htmlNotice - Submission for OMB Review; Comment Request2019-02-22T00:00:00-08:002019-02-22T00:00:00-08:002019-03083Noticehttps://www.govinfo.gov/content/pkg/FR-2019-02-22/pdf/2019-03083.pdfhttps://regulations.justia.com/regulations/fedreg/2019/02/22/2019-03082.htmlNotice - Proposed Collection; Comment Request2019-02-22T00:00:00-08:002019-02-22T00:00:00-08:002019-03082Noticehttps://www.govinfo.gov/content/pkg/FR-2019-02-22/pdf/2019-03082.pdfhttps://regulations.justia.com/regulations/fedreg/2019/02/22/2019-03081.htmlNotice - Submission for OMB Review; Comment Request2019-02-22T00:00:00-08:002019-02-22T00:00:00-08:002019-03081Noticehttps://www.govinfo.gov/content/pkg/FR-2019-02-22/pdf/2019-03081.pdfhttps://regulations.justia.com/regulations/fedreg/2019/02/22/2019-03043.htmlNotice - Self-Regulatory Organizations; New York Stock Exchange LLC; Order Granting Accelerated Approval of a Proposed Rule Change, as Modified by Amendment No. 1, To Make Permanent the Retail Liquidity Program Pilot, Rule 107C, Which is Set To Expire on June 30, 2019, Notice of Filing of Amendment No. 1, and Order Granting Limited Exemption Pursuant to Rule 612(c) of Regulation NMS2019-02-22T00:00:00-08:002019-02-22T00:00:00-08:002019-03043Noticehttps://www.govinfo.gov/content/pkg/FR-2019-02-22/pdf/2019-03043.pdfhttps://regulations.justia.com/regulations/fedreg/2019/02/22/2019-03042.htmlNotice - Self-Regulatory Organizations; Miami International Securities 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 Exchange Rule 519, MIAX Order Monitor; Exchange Rule 519A, Risk Protection Monitor; and Exchange Rule 517, Quote Types Defined2019-02-22T00:00:00-08:002019-02-22T00:00:00-08:002019-03042Noticehttps://www.govinfo.gov/content/pkg/FR-2019-02-22/pdf/2019-03042.pdfhttps://regulations.justia.com/regulations/fedreg/2019/02/22/2019-03041.htmlNotice - Self-Regulatory Organizations; Nasdaq BX, Inc.; Nasdaq PHLX LLC; Suspension of and Order Instituting Proceedings To Determine Whether To Approve or Disapprove Proposed Rule Changes To Amend the Exchanges' Port Fee Schedules2019-02-22T00:00:00-08:002019-02-22T00:00:00-08:002019-03041Noticehttps://www.govinfo.gov/content/pkg/FR-2019-02-22/pdf/2019-03041.pdfhttps://regulations.justia.com/regulations/fedreg/2019/02/22/2019-03040.htmlNotice - Self-Regulatory Organizations; The Nasdaq Stock Market LLC; Notice of Filing of Proposed Rule Change To Reassign Certain Investigation and Enforcement Functions Under the Exchange's Authority and Supervision2019-02-22T00:00:00-08:002019-02-22T00:00:00-08:002019-03040Noticehttps://www.govinfo.gov/content/pkg/FR-2019-02-22/pdf/2019-03040.pdfhttps://regulations.justia.com/regulations/fedreg/2019/02/22/2019-03039.htmlNotice - Self-Regulatory Organizations; Miami International Securities 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 MIAX Rule 518, Complex Orders2019-02-22T00:00:00-08:002019-02-22T00:00:00-08:002019-03039Noticehttps://www.govinfo.gov/content/pkg/FR-2019-02-22/pdf/2019-03039.pdfhttps://regulations.justia.com/regulations/fedreg/2019/02/22/2019-03038.htmlNotice - Self-Regulatory Organizations; ICE Clear Credit LLC; Notice of Filing of Proposed Rule Change Relating to ICC's Risk Parameter Setting and Review Policy2019-02-22T00:00:00-08:002019-02-22T00:00:00-08:002019-03038Noticehttps://www.govinfo.gov/content/pkg/FR-2019-02-22/pdf/2019-03038.pdfhttps://regulations.justia.com/regulations/fedreg/2019/02/22/2019-03037.htmlNotice - Self-Regulatory Organizations; MIAX PEARL, LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Its Options Regulatory Fee2019-02-22T00:00:00-08:002019-02-22T00:00:00-08:002019-03037Noticehttps://www.govinfo.gov/content/pkg/FR-2019-02-22/pdf/2019-03037.pdfhttps://regulations.justia.com/regulations/fedreg/2019/02/22/2019-03035.htmlNotice - Self-Regulatory Organizations; New York Stock Exchange LLC; Order Granting Approval of a Proposed Rule Change To Amend NYSE Rule 7.31 Relating to Discretionary Orders, Auction-Only Orders, Discretionary Modifier, and Yielding Modifier and Related Amendments to Rules 7.16, 7.34, 7.36, and 7.372019-02-22T00:00:00-08:002019-02-22T00:00:00-08:002019-03035Noticehttps://www.govinfo.gov/content/pkg/FR-2019-02-22/pdf/2019-03035.pdfhttps://regulations.justia.com/regulations/fedreg/2019/02/22/2019-03034.htmlNotice - Self-Regulatory Organizations; Miami International Securities Exchange, LLC; Notice of Filing of Amendment No. 1 and Order Granting Accelerated Approval of Proposed Rule Change, as Modified by Amendment No. 1, To Amend Exchange Rule 100 (Definitions); Rule 515 (Execution of Orders and Quotes); and Rule 503 (Openings on the Exchange)2019-02-22T00:00:00-08:002019-02-22T00:00:00-08:002019-03034Noticehttps://www.govinfo.gov/content/pkg/FR-2019-02-22/pdf/2019-03034.pdfhttps://regulations.justia.com/regulations/fedreg/2019/02/22/2019-03033.htmlNotice - Self-Regulatory Organizations; The Nasdaq Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Adopt Listing Standards for Direct Listings and Clarify Related Rules2019-02-22T00:00:00-08:002019-02-22T00:00:00-08:002019-03033Noticehttps://www.govinfo.gov/content/pkg/FR-2019-02-22/pdf/2019-03033.pdfhttps://regulations.justia.com/regulations/fedreg/2019/02/22/2019-03032.htmlNotice - Self-Regulatory Organizations; Miami International Securities Exchange, LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend its Options Regulatory Fee2019-02-22T00:00:00-08:002019-02-22T00:00:00-08:002019-03032Noticehttps://www.govinfo.gov/content/pkg/FR-2019-02-22/pdf/2019-03032.pdfhttps://regulations.justia.com/regulations/fedreg/2019/02/22/2019-03031.htmlNotice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Withdrawal of a Proposed Rule Change To Amend Commentary .01 to NYSE Arca Rule 8.600-E Relating to Certain Generic Listing Standards for Managed Fund Shares2019-02-22T00:00:00-08:002019-02-22T00:00:00-08:002019-03031Noticehttps://www.govinfo.gov/content/pkg/FR-2019-02-22/pdf/2019-03031.pdfhttps://regulations.justia.com/regulations/fedreg/2019/02/21/2019-02906.htmlProposed Rule - Reopening of Comment Period for Updated Disclosure Requirements and Summary Prospectus for Variable Annuity and Variable Life Insurance Contracts2019-02-21T00:00:00-08:002019-02-21T00:00:00-08:002019-02906Proposed Rulehttps://www.govinfo.gov/content/pkg/FR-2019-02-21/pdf/2019-02906.pdfhttps://regulations.justia.com/regulations/fedreg/2019/02/21/2019-02904.htmlNotice - Self-Regulatory Organizations; Nasdaq MRX, LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the Pricing Schedule at Options 7, Section 32019-02-21T00:00:00-08:002019-02-21T00:00:00-08:002019-02904Noticehttps://www.govinfo.gov/content/pkg/FR-2019-02-21/pdf/2019-02904.pdfhttps://regulations.justia.com/regulations/fedreg/2019/02/21/2019-02903.htmlNotice - Self-Regulatory Organizations; Cboe BZX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Clarify That BZX's Halt Auction Process Is Applicable Only To Halt Auctions Following a Regulatory Halt2019-02-21T00:00:00-08:002019-02-21T00:00:00-08:002019-02903Noticehttps://www.govinfo.gov/content/pkg/FR-2019-02-21/pdf/2019-02903.pdfhttps://regulations.justia.com/regulations/fedreg/2019/02/21/2019-02902.htmlNotice - Self-Regulatory Organizations; Cboe Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the Cboe Order Routing Subsidy Program (“ORS”) and Complex Order Routing Subsidy Program (“CORS”) To Exclude Subsidy Payments for Contracts Executed as Qualified Contingent Cross (“QCC”) Orders2019-02-21T00:00:00-08:002019-02-21T00:00:00-08:002019-02902Noticehttps://www.govinfo.gov/content/pkg/FR-2019-02-21/pdf/2019-02902.pdfhttps://regulations.justia.com/regulations/fedreg/2019/02/21/2019-02901.htmlNotice - Self-Regulatory Organizations; Nasdaq GEMX, LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the Options Regulatory Fee2019-02-21T00:00:00-08:002019-02-21T00:00:00-08:002019-02901Noticehttps://www.govinfo.gov/content/pkg/FR-2019-02-21/pdf/2019-02901.pdfhttps://regulations.justia.com/regulations/fedreg/2019/02/21/2019-02900.htmlNotice - Self-Regulatory Organizations; BOX Exchange LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the Fee Schedule on the BOX Options Market LLC (“BOX”) Facility To Modify Certain Agency Order Fees for Facilitation and Solicitation Transactions2019-02-21T00:00:00-08:002019-02-21T00:00:00-08:002019-02900Noticehttps://www.govinfo.gov/content/pkg/FR-2019-02-21/pdf/2019-02900.pdfhttps://regulations.justia.com/regulations/fedreg/2019/02/21/2019-02899.htmlNotice - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change to (1) Delete Dealings and Settlements (Rule 45-299C), Rule 235 (Ex-Dividend, Ex-Rights), Rule 236 (Ex-Warrants), and Rule 257 (Deliveries After “Ex” Date) and (2) Amend Dealings and SettlementsT (Rule 45-299C), Rule 235T (Ex-Dividend, Ex-Rights), Rule 236T (Ex-Warrants), and Rule 257T (Deliveries After “Ex” Date)2019-02-21T00:00:00-08:002019-02-21T00:00:00-08:002019-02899Noticehttps://www.govinfo.gov/content/pkg/FR-2019-02-21/pdf/2019-02899.pdfhttps://regulations.justia.com/regulations/fedreg/2019/02/21/2019-02898.htmlNotice - Self-Regulatory Organizations; NYSE National, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Rule 7.31 Relating to the Minimum Trade Size Modifier2019-02-21T00:00:00-08:002019-02-21T00:00:00-08:002019-02898Noticehttps://www.govinfo.gov/content/pkg/FR-2019-02-21/pdf/2019-02898.pdfhttps://regulations.justia.com/regulations/fedreg/2019/02/21/2019-02897.htmlNotice - Self-Regulatory Organizations; Miami International Securities Exchange, LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Exchange Rule 521, Nullification and Adjustment of Options Transactions Including Obvious Errors2019-02-21T00:00:00-08:002019-02-21T00:00:00-08:002019-02897Noticehttps://www.govinfo.gov/content/pkg/FR-2019-02-21/pdf/2019-02897.pdfhttps://regulations.justia.com/regulations/fedreg/2019/02/21/2019-02896.htmlNotice - Self-Regulatory Organizations; Fixed Income Clearing Corporation; Notice of Designation of Longer Period for Commission Action and Reopening the Period for Comment on Proposed Rule Change To Expand Sponsoring Member Eligibility in the Government Securities Division Rulebook and Make Other Changes2019-02-21T00:00:00-08:002019-02-21T00:00:00-08:002019-02896Noticehttps://www.govinfo.gov/content/pkg/FR-2019-02-21/pdf/2019-02896.pdfhttps://regulations.justia.com/regulations/fedreg/2019/02/21/2019-02895.htmlNotice - Self-Regulatory Organizations; Nasdaq PHLX LLC; Order Approving a Proposed Rule Change To Establish Rules Governing the Give Up of a Clearing Member by a Member Organization on Exchange Transactions2019-02-21T00:00:00-08:002019-02-21T00:00:00-08:002019-02895Noticehttps://www.govinfo.gov/content/pkg/FR-2019-02-21/pdf/2019-02895.pdfhttps://regulations.justia.com/regulations/fedreg/2019/02/21/2019-02894.htmlNotice - Self-Regulatory Organizations; Municipal Securities Rulemaking Board; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Rule A-16, on Examination Fees, To Establish a Test Development Fee for the Series 54 Examination2019-02-21T00:00:00-08:002019-02-21T00:00:00-08:002019-02894Noticehttps://www.govinfo.gov/content/pkg/FR-2019-02-21/pdf/2019-02894.pdfhttps://regulations.justia.com/regulations/fedreg/2019/02/21/2019-02893.htmlNotice - Self-Regulatory Organizations; BOX Exchange LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the Fee Schedule on the BOX Options Market LLC (“BOX”) Facility To Modify Its Strategy QOO Order Fee Cap and Rebate2019-02-21T00:00:00-08:002019-02-21T00:00:00-08:002019-02893Noticehttps://www.govinfo.gov/content/pkg/FR-2019-02-21/pdf/2019-02893.pdfhttps://regulations.justia.com/regulations/fedreg/2019/02/21/2019-02892.htmlNotice - Self-Regulatory Organizations; The Nasdaq Stock Market LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the Exchange's Provisions for Excluding a Day From Its Volume Calculations for Purposes of Determining Tiered Pricing2019-02-21T00:00:00-08:002019-02-21T00:00:00-08:002019-02892Noticehttps://www.govinfo.gov/content/pkg/FR-2019-02-21/pdf/2019-02892.pdfhttps://regulations.justia.com/regulations/fedreg/2019/02/21/2019-02891.htmlNotice - Self-Regulatory Organizations; Nasdaq BX, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Options 7, Section 22019-02-21T00:00:00-08:002019-02-21T00:00:00-08:002019-02891Noticehttps://www.govinfo.gov/content/pkg/FR-2019-02-21/pdf/2019-02891.pdfhttps://regulations.justia.com/regulations/fedreg/2019/02/21/2019-02890.htmlNotice - Self-Regulatory Organizations; Cboe EDGX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the Fee Schedule as It Relates to Pricing for the Use of Certain Routing Strategies2019-02-21T00:00:00-08:002019-02-21T00:00:00-08:002019-02890Noticehttps://www.govinfo.gov/content/pkg/FR-2019-02-21/pdf/2019-02890.pdfhttps://regulations.justia.com/regulations/fedreg/2019/02/20/2019-02905.htmlNotice - Sunshine Act Meetings2019-02-20T00:00:00-08:002019-02-20T00:00:00-08:002019-02905Noticehttps://www.govinfo.gov/content/pkg/FR-2019-02-20/pdf/2019-02905.pdfhttps://regulations.justia.com/regulations/fedreg/2019/02/20/2019-02756.htmlNotice - Proposed Collection; Comment Request2019-02-20T00:00:00-08:002019-02-20T00:00:00-08:002019-02756Noticehttps://www.govinfo.gov/content/pkg/FR-2019-02-20/pdf/2019-02756.pdfhttps://regulations.justia.com/regulations/fedreg/2019/02/20/2019-02742.htmlNotice - Self-Regulatory Organizations; The Nasdaq Stock Market LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the Options Regulatory Fee2019-02-20T00:00:00-08:002019-02-20T00:00:00-08:002019-02742Noticehttps://www.govinfo.gov/content/pkg/FR-2019-02-20/pdf/2019-02742.pdfhttps://regulations.justia.com/regulations/fedreg/2019/02/20/2019-02741.htmlNotice - Self-Regulatory Organizations; Cboe BZX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the BZX Fee Schedule as It Relates to Pricing for the Use of Certain Routing Strategies2019-02-20T00:00:00-08:002019-02-20T00:00:00-08:002019-02741Noticehttps://www.govinfo.gov/content/pkg/FR-2019-02-20/pdf/2019-02741.pdfhttps://regulations.justia.com/regulations/fedreg/2019/02/20/2019-02740.htmlNotice - Self-Regulatory Organizations; Nasdaq MRX, LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Adopt an Options Regulatory Fee2019-02-20T00:00:00-08:002019-02-20T00:00:00-08:002019-02740Noticehttps://www.govinfo.gov/content/pkg/FR-2019-02-20/pdf/2019-02740.pdfhttps://regulations.justia.com/regulations/fedreg/2019/02/20/2019-02739.htmlNotice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Designation of a Longer Period for Commission Action on a Proposed Rule Change Regarding Investments of the iShares Bloomberg Roll Select Commodity Strategy ETF2019-02-20T00:00:00-08:002019-02-20T00:00:00-08:002019-02739Noticehttps://www.govinfo.gov/content/pkg/FR-2019-02-20/pdf/2019-02739.pdfhttps://regulations.justia.com/regulations/fedreg/2019/02/20/2019-02737.htmlNotice - Self-Regulatory Organizations; NYSE National, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Its Schedule of Fees and Rebates To Revise the Requirements To Qualify for the Adding Tier 2 Credits2019-02-20T00:00:00-08:002019-02-20T00:00:00-08:002019-02737Noticehttps://www.govinfo.gov/content/pkg/FR-2019-02-20/pdf/2019-02737.pdfhttps://regulations.justia.com/regulations/fedreg/2019/02/20/2019-02736.htmlNotice - Self-Regulatory Organizations; Cboe EDGA Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the EDGA Fee Schedule as It Relates to Pricing for the Use of Certain Routing Strategies2019-02-20T00:00:00-08:002019-02-20T00:00:00-08:002019-02736Noticehttps://www.govinfo.gov/content/pkg/FR-2019-02-20/pdf/2019-02736.pdfhttps://regulations.justia.com/regulations/fedreg/2019/02/20/2019-02735.htmlNotice - Self-Regulatory Organizations; The Options Clearing Corporation; Order Approving Proposed Rule Change, as Modified by Partial Amendment No. 1, Concerning Changes to The Options Clearing Corporation's Management Structure2019-02-20T00:00:00-08:002019-02-20T00:00:00-08:002019-02735Noticehttps://www.govinfo.gov/content/pkg/FR-2019-02-20/pdf/2019-02735.pdfhttps://regulations.justia.com/regulations/fedreg/2019/02/20/2019-02734.htmlNotice - Self-Regulatory Organizations; Cboe BYX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the BYX Fee Schedule as It Relates to Pricing for the Use of Certain Routing Strategies2019-02-20T00:00:00-08:002019-02-20T00:00:00-08:002019-02734Noticehttps://www.govinfo.gov/content/pkg/FR-2019-02-20/pdf/2019-02734.pdfhttps://regulations.justia.com/regulations/fedreg/2019/02/20/2019-02733.htmlNotice - Self-Regulatory Organizations; ICE Clear Europe Limited; Order Approving Proposed Rule Change, as Modified by Amendment No. 1, Relating to the ICE Clear Europe Model Risk Governance Framework2019-02-20T00:00:00-08:002019-02-20T00:00:00-08:002019-02733Noticehttps://www.govinfo.gov/content/pkg/FR-2019-02-20/pdf/2019-02733.pdfhttps://regulations.justia.com/regulations/fedreg/2019/02/20/2019-02732.htmlNotice - Self-Regulatory Organizations; Cboe BZX Exchange, Inc.; Notice of Filing of Proposed Rule Change To List and Trade Shares of SolidX Bitcoin Shares Issued by the VanEck SolidX Bitcoin Trust, Under BZX Rule 14.11(e)(4), Commodity-Based Trust Shares2019-02-20T00:00:00-08:002019-02-20T00:00:00-08:002019-02732Noticehttps://www.govinfo.gov/content/pkg/FR-2019-02-20/pdf/2019-02732.pdfhttps://regulations.justia.com/regulations/fedreg/2019/02/20/2019-02731.htmlNotice - Self-Regulatory Organizations; The Options Clearing Corporation; Order Disapproving Proposed Rule Change Concerning The Options Clearing Corporation's Capital Plan2019-02-20T00:00:00-08:002019-02-20T00:00:00-08:002019-02731Noticehttps://www.govinfo.gov/content/pkg/FR-2019-02-20/pdf/2019-02731.pdfhttps://regulations.justia.com/regulations/fedreg/2019/02/20/2019-02730.htmlNotice - Self-Regulatory Organizations; Nasdaq PHLX LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the Options Regulatory Fee2019-02-20T00:00:00-08:002019-02-20T00:00:00-08:002019-02730Noticehttps://www.govinfo.gov/content/pkg/FR-2019-02-20/pdf/2019-02730.pdfhttps://regulations.justia.com/regulations/fedreg/2019/02/20/2019-02699.htmlNotice - Adjustments to Civil Monetary Penalty Amounts2019-02-20T00:00:00-08:002019-02-20T00:00:00-08:002019-02699Noticehttps://www.govinfo.gov/content/pkg/FR-2019-02-20/pdf/2019-02699.pdfhttps://regulations.justia.com/regulations/fedreg/2019/02/20/2019-02698.htmlNotice - Pacer Funds Trust, Pacer Advisors, Inc. and Pacer Financial, Inc.2019-02-20T00:00:00-08:002019-02-20T00:00:00-08:002019-02698Noticehttps://www.govinfo.gov/content/pkg/FR-2019-02-20/pdf/2019-02698.pdfhttps://regulations.justia.com/regulations/fedreg/2019/02/20/2018-27982.htmlRule - Transaction Fee Pilot for NMS Stocks2019-02-20T00:00:00-08:002019-02-20T00:00:00-08:002018-27982Rulehttps://www.govinfo.gov/content/pkg/FR-2019-02-20/pdf/2018-27982.pdfhttps://regulations.justia.com/regulations/fedreg/2019/02/19/2019-02646.htmlNotice - Submission for OMB Review; Comment Request2019-02-19T00:00:00-08:002019-02-19T00:00:00-08:002019-02646Noticehttps://www.govinfo.gov/content/pkg/FR-2019-02-19/pdf/2019-02646.pdfhttps://regulations.justia.com/regulations/fedreg/2019/02/19/2019-02611.htmlNotice - Self-Regulatory Organizations; Cboe Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating To Amend Its Financial Incentive Program for Lead Market-Makers Appointed in MSCI EAFE Index (MXEA) Options and MSCI Emerging Markets Index (MXEF) Options2019-02-19T00:00:00-08:002019-02-19T00:00:00-08:002019-02611Noticehttps://www.govinfo.gov/content/pkg/FR-2019-02-19/pdf/2019-02611.pdfhttps://regulations.justia.com/regulations/fedreg/2019/02/19/2019-02610.htmlNotice - Self-Regulatory Organizations; the Nasdaq Stock Market LLC; Notice of Filing of Proposed Rule Change To Adopt a New MIDP Routing Option Under Rule 4758 and Make a Conforming Change to Rule 4703(e)2019-02-19T00:00:00-08:002019-02-19T00:00:00-08:002019-02610Noticehttps://www.govinfo.gov/content/pkg/FR-2019-02-19/pdf/2019-02610.pdfhttps://regulations.justia.com/regulations/fedreg/2019/02/19/2019-02609.htmlNotice - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Provide Temporary Relief To Permit Member Alternative Trading Systems (ATSs) and ATS Subscribers Additional Flexibility in Transitioning To Disaggregated Reporting for Certain Transactions in U.S. Treasury Securities2019-02-19T00:00:00-08:002019-02-19T00:00:00-08:002019-02609Noticehttps://www.govinfo.gov/content/pkg/FR-2019-02-19/pdf/2019-02609.pdfhttps://regulations.justia.com/regulations/fedreg/2019/02/19/2019-02608.htmlNotice - Self-Regulatory Organizations; The Nasdaq Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Certain Rules of the Rule 7000A Series Concerning the Order Audit Trail System2019-02-19T00:00:00-08:002019-02-19T00:00:00-08:002019-02608Noticehttps://www.govinfo.gov/content/pkg/FR-2019-02-19/pdf/2019-02608.pdfhttps://regulations.justia.com/regulations/fedreg/2019/02/19/2019-02607.htmlNotice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Withdrawal of a Proposed Rule Change To Amend NYSE Arca Rule 5.2-E(j)(6) Relating to Equity Index-Linked Securities Listing Standards Set Forth in NYSE Arca Rule 5.2-E(j)(6)(B)(I)2019-02-19T00:00:00-08:002019-02-19T00:00:00-08:002019-02607Noticehttps://www.govinfo.gov/content/pkg/FR-2019-02-19/pdf/2019-02607.pdfhttps://regulations.justia.com/regulations/fedreg/2019/02/19/2019-02606.htmlNotice - Self-Regulatory Organizations; Nasdaq MRX, LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the Exchange's Provisions for Excluding a Day From Its Volume Calculations for Purposes of Determining Pricing Tiers2019-02-19T00:00:00-08:002019-02-19T00:00:00-08:002019-02606Noticehttps://www.govinfo.gov/content/pkg/FR-2019-02-19/pdf/2019-02606.pdfhttps://regulations.justia.com/regulations/fedreg/2019/02/19/2019-02605.htmlNotice - Self-Regulatory Organizations; Cboe BZX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating To Amend the Exchange's Eighth Amended and Restated Bylaws (the “Exchange Bylaws”) the Fourth Amended and Restated Bylaws (the “Parent Bylaws”) of Its Parent Corporation, Cboe Global Markets, Inc. (“Cboe” or the “Parent”)2019-02-19T00:00:00-08:002019-02-19T00:00:00-08:002019-02605Noticehttps://www.govinfo.gov/content/pkg/FR-2019-02-19/pdf/2019-02605.pdfhttps://regulations.justia.com/regulations/fedreg/2019/02/19/2019-02604.htmlNotice - Self-Regulatory Organizations; Cboe BYX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating To Amend the Exchange's Eighth Amended and Restated Bylaws (the “Exchange Bylaws”) the Fourth Amended and Restated Bylaws (the “Parent Bylaws”) of Its Parent Corporation, Cboe Global Markets, Inc. (“Cboe” or the “Parent”)2019-02-19T00:00:00-08:002019-02-19T00:00:00-08:002019-02604Noticehttps://www.govinfo.gov/content/pkg/FR-2019-02-19/pdf/2019-02604.pdfhttps://regulations.justia.com/regulations/fedreg/2019/02/19/2019-02595.htmlNotice - Program for Allocation of Regulatory Responsibilities Pursuant to Rule17d-2; Notice of Filing and Order Approving and Declaring Effective an Amendment to the Plan for the Allocation of Regulatory Responsibilities Among NYSE American LLC, Cboe BZX Exchange, Inc., the Cboe EDGX Exchange, Inc., Cboe C2 Exchange, Inc., Cboe Exchange, Inc., Nasdaq ISE, LLC, Financial Industry Regulatory Authority, Inc., NYSE Arca, Inc., The NASDAQ Stock Market LLC, BOX Exchange LLC, NASDAQ BX, Inc., NASDAQ PHLX LLC, Miami International Securities Exchange, LLC, Nasdaq GEMX, LLC, Nasdaq MRX, LLC, MIAX PEARL, LLC, and MIAX Emerald, LLC Concerning Options-Related Market Surveillance2019-02-19T00:00:00-08:002019-02-19T00:00:00-08:002019-02595Noticehttps://www.govinfo.gov/content/pkg/FR-2019-02-19/pdf/2019-02595.pdfhttps://regulations.justia.com/regulations/fedreg/2019/02/19/2019-02347.htmlRule - Applications by Security-Based Swap Dealers or Major Security-Based Swap Participants for Statutorily Disqualified Associated Persons To Effect or Be Involved in Effecting Security-Based Swaps2019-02-19T00:00:00-08:002019-02-19T00:00:00-08:002019-02347Rulehttps://www.govinfo.gov/content/pkg/FR-2019-02-19/pdf/2019-02347.pdfhttps://regulations.justia.com/regulations/fedreg/2019/02/15/2019-02493.htmlNotice - Program for Allocation of Regulatory Responsibilities Pursuant to Rule 17d-2; Notice of Filing and Order Approving and Declaring Effective an Amendment to the Plan for the Allocation of Regulatory Responsibilities Among NYSE American LLC, Cboe BZX Exchange, Inc., the Cboe EDGX Exchange, Inc., Cboe C2 Exchange, Inc., Cboe Exchange, Inc., Nasdaq ISE, LLC, Financial Industry Regulatory Authority, Inc., NYSE Arca, Inc., The NASDAQ Stock Market LLC, BOX Exchange LLC, NASDAQ BX, Inc., NASDAQ PHLX LLC, Miami International Securities Exchange, LLC, Nasdaq GEMX, LLC, Nasdaq MRX, LLC, MIAX PEARL, LLC, and MIAX Emerald, LLC Concerning Options-Related Sales Practice Matters2019-02-15T00:00:00-08:002019-02-15T00:00:00-08:002019-02493Noticehttps://www.govinfo.gov/content/pkg/FR-2019-02-15/pdf/2019-02493.pdfhttps://regulations.justia.com/regulations/fedreg/2019/02/15/2019-02452.htmlNotice - Self-Regulatory Organizations; ICE Clear Credit LLC; Order Approving Proposed Rule Change Relating to ICC's New Initiatives Approval Policy and Procedural Framework2019-02-15T00:00:00-08:002019-02-15T00:00:00-08:002019-02452Noticehttps://www.govinfo.gov/content/pkg/FR-2019-02-15/pdf/2019-02452.pdfhttps://regulations.justia.com/regulations/fedreg/2019/02/15/2019-02450.htmlNotice - Public Company Accounting Oversight Board; Notice of Filing of and Immediate Effectiveness of Proposed Bylaw and Rule Amendments To Provide That the Board's Appointment and Removal of Hearing Officers Are Subject to Commission Approval2019-02-15T00:00:00-08:002019-02-15T00:00:00-08:002019-02450Noticehttps://www.govinfo.gov/content/pkg/FR-2019-02-15/pdf/2019-02450.pdfhttps://regulations.justia.com/regulations/fedreg/2019/02/15/2019-02398.htmlNotice - Self-Regulatory Organizations; Cboe EDGX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating To Amend the Exchange's Ninth Amended and Restated Bylaws (the “Exchange Bylaws”) the Fourth Amended and Restated Bylaws (the “Parent Bylaws”) of Its Parent Corporation, Cboe Global Markets, Inc. (“Cboe” or the “Parent”)2019-02-15T00:00:00-08:002019-02-15T00:00:00-08:002019-02398Noticehttps://www.govinfo.gov/content/pkg/FR-2019-02-15/pdf/2019-02398.pdfhttps://regulations.justia.com/regulations/fedreg/2019/02/15/2019-02397.htmlNotice - Self-Regulatory Organizations; Cboe Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating To Amend the Exchange's Tenth Amended and Restated Bylaws (the “Exchange Bylaws”) the Fourth Amended and Restated Bylaws (the “Parent Bylaws”) of Its Parent Corporation, Cboe Global Markets, Inc. (“Cboe” or the “Parent”)2019-02-15T00:00:00-08:002019-02-15T00:00:00-08:002019-02397Noticehttps://www.govinfo.gov/content/pkg/FR-2019-02-15/pdf/2019-02397.pdfhttps://regulations.justia.com/regulations/fedreg/2019/02/15/2019-02396.htmlNotice - Self-Regulatory Organizations; Cboe C2 Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating To Amend the Exchange's Tenth Amended and Restated Bylaws (the “Exchange Bylaws”) the Fourth Amended and Restated Bylaws (the “Parent Bylaws”) of Its Parent Corporation, Cboe Global Markets, Inc. (“Cboe” or the “Parent”)2019-02-15T00:00:00-08:002019-02-15T00:00:00-08:002019-02396Noticehttps://www.govinfo.gov/content/pkg/FR-2019-02-15/pdf/2019-02396.pdfhttps://regulations.justia.com/regulations/fedreg/2019/02/15/2019-02395.htmlNotice - Self-Regulatory Organizations; Cboe Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to Establish Fees for a Recently Added Option That Overlies the S&P Select Sector Index Options (“Sector Index options”)2019-02-15T00:00:00-08:002019-02-15T00:00:00-08:002019-02395Noticehttps://www.govinfo.gov/content/pkg/FR-2019-02-15/pdf/2019-02395.pdfhttps://regulations.justia.com/regulations/fedreg/2019/02/15/2019-02394.htmlNotice - Self-Regulatory Organizations; Cboe BZX Exchange, Inc.; Notice of Filing of a Proposed Rule Change To List and Trade Under Rule 14.11(c)(3) Shares of the Global X Russell 2000 Covered Call ETF of Global X Funds2019-02-15T00:00:00-08:002019-02-15T00:00:00-08:002019-02394Noticehttps://www.govinfo.gov/content/pkg/FR-2019-02-15/pdf/2019-02394.pdfhttps://regulations.justia.com/regulations/fedreg/2019/02/15/2019-02393.htmlNotice - Self-Regulatory Organizations; Cboe EDGA Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating To Amend the Exchange's Ninth Amended and Restated Bylaws (the “Exchange Bylaws”) the Fourth Amended and Restated Bylaws (the “Parent Bylaws”) of Its Parent Corporation, Cboe Global Markets, Inc. (“Cboe” or the “Parent”)2019-02-15T00:00:00-08:002019-02-15T00:00:00-08:002019-02393Noticehttps://www.govinfo.gov/content/pkg/FR-2019-02-15/pdf/2019-02393.pdfhttps://regulations.justia.com/regulations/fedreg/2019/02/15/2019-02392.htmlNotice - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Designation of Longer Period for Commission Action on Proceedings To Determine Whether To Approve or Disapprove a Proposed Rule Change To Amend NYSE Rule 104 Governing Transactions by Designated Market Makers2019-02-15T00:00:00-08:002019-02-15T00:00:00-08:002019-02392Noticehttps://www.govinfo.gov/content/pkg/FR-2019-02-15/pdf/2019-02392.pdfhttps://regulations.justia.com/regulations/fedreg/2019/02/15/2019-02391.htmlNotice - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Its Price List To Add a New Incentive for Supplemental Liquidity Providers in Tape A Securities When Adding Liquidity in Securities Traded Pursuant to Unlisted Trading Privileges2019-02-15T00:00:00-08:002019-02-15T00:00:00-08:002019-02391Noticehttps://www.govinfo.gov/content/pkg/FR-2019-02-15/pdf/2019-02391.pdfhttps://regulations.justia.com/regulations/fedreg/2019/02/15/2019-02390.htmlNotice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the NYSE Arca Equities Fees and Charges2019-02-15T00:00:00-08:002019-02-15T00:00:00-08:002019-02390Noticehttps://www.govinfo.gov/content/pkg/FR-2019-02-15/pdf/2019-02390.pdfhttps://regulations.justia.com/regulations/fedreg/2019/02/15/2019-02389.htmlNotice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing of Proposed Rule Change Relating to the Listing and Trading of Shares of the Bitwise Bitcoin ETF Trust Under NYSE Arca Rule 8.201-E2019-02-15T00:00:00-08:002019-02-15T00:00:00-08:002019-02389Noticehttps://www.govinfo.gov/content/pkg/FR-2019-02-15/pdf/2019-02389.pdfhttps://regulations.justia.com/regulations/fedreg/2019/02/15/2019-02377.htmlNotice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing of Proposed Rule Change Relating to the Listing and Trading of the Shares of the ProShares UltraPro 3x Natural Gas ETF and ProShares UltraPro 3x Short Natural Gas ETF Under NYSE Arca Rule 8.200-E2019-02-15T00:00:00-08:002019-02-15T00:00:00-08:002019-02377Noticehttps://www.govinfo.gov/content/pkg/FR-2019-02-15/pdf/2019-02377.pdfhttps://regulations.justia.com/regulations/fedreg/2019/02/15/2019-01368.htmlNotice - Proposed Collection; Comment Request2019-02-15T00:00:00-08:002019-02-15T00:00:00-08:002019-01368Noticehttps://www.govinfo.gov/content/pkg/FR-2019-02-15/pdf/2019-01368.pdfhttps://regulations.justia.com/regulations/fedreg/2019/02/15/2018-27979.htmlProposed Rule - Risk Mitigation Techniques for Uncleared Security-Based Swaps2019-02-15T00:00:00-08:002019-02-15T00:00:00-08:002018-27979Proposed Rulehttps://www.govinfo.gov/content/pkg/FR-2019-02-15/pdf/2018-27979.pdfhttps://regulations.justia.com/regulations/fedreg/2019/02/14/2019-02313.htmlNotice - Submission for OMB Review; Comment Request2019-02-14T00:00:00-08:002019-02-14T00:00:00-08:002019-02313Noticehttps://www.govinfo.gov/content/pkg/FR-2019-02-14/pdf/2019-02313.pdfhttps://regulations.justia.com/regulations/fedreg/2019/02/14/2019-02312.htmlNotice - Submission for OMB Review; Comment Request2019-02-14T00:00:00-08:002019-02-14T00:00:00-08:002019-02312Noticehttps://www.govinfo.gov/content/pkg/FR-2019-02-14/pdf/2019-02312.pdfhttps://regulations.justia.com/regulations/fedreg/2019/02/14/2019-02311.htmlNotice - Submission for OMB Review; Comment Request2019-02-14T00:00:00-08:002019-02-14T00:00:00-08:002019-02311Noticehttps://www.govinfo.gov/content/pkg/FR-2019-02-14/pdf/2019-02311.pdfhttps://regulations.justia.com/regulations/fedreg/2019/02/14/2019-02310.htmlNotice - Submission for OMB Review; Comment Request2019-02-14T00:00:00-08:002019-02-14T00:00:00-08:002019-02310Noticehttps://www.govinfo.gov/content/pkg/FR-2019-02-14/pdf/2019-02310.pdfhttps://regulations.justia.com/regulations/fedreg/2019/02/14/2019-02309.htmlNotice - Proposed Collection; Comment Request2019-02-14T00:00:00-08:002019-02-14T00:00:00-08:002019-02309Noticehttps://www.govinfo.gov/content/pkg/FR-2019-02-14/pdf/2019-02309.pdfhttps://regulations.justia.com/regulations/fedreg/2019/02/14/2019-02308.htmlNotice - Submission for OMB Review; Comment Request2019-02-14T00:00:00-08:002019-02-14T00:00:00-08:002019-02308Noticehttps://www.govinfo.gov/content/pkg/FR-2019-02-14/pdf/2019-02308.pdfhttps://regulations.justia.com/regulations/fedreg/2019/02/14/2019-02307.htmlNotice - Proposed Collection; Comment Request2019-02-14T00:00:00-08:002019-02-14T00:00:00-08:002019-02307Noticehttps://www.govinfo.gov/content/pkg/FR-2019-02-14/pdf/2019-02307.pdfhttps://regulations.justia.com/regulations/fedreg/2019/02/14/2019-02289.htmlNotice - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Extend the Implementation Date of Certain Amendments to FINRA Rule 4210 Approved Pursuant to SR-FINRA-2015-0362019-02-14T00:00:00-08:002019-02-14T00:00:00-08:002019-02289Noticehttps://www.govinfo.gov/content/pkg/FR-2019-02-14/pdf/2019-02289.pdfhttps://regulations.justia.com/regulations/fedreg/2019/02/14/2019-02288.htmlNotice - Self-Regulatory Organizations; Cboe C2 Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the Options Regulatory Fee2019-02-14T00:00:00-08:002019-02-14T00:00:00-08:002019-02288Noticehttps://www.govinfo.gov/content/pkg/FR-2019-02-14/pdf/2019-02288.pdfhttps://regulations.justia.com/regulations/fedreg/2019/02/14/2019-02287.htmlNotice - Self-Regulatory Organizations; Cboe Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the Options Regulatory Fee2019-02-14T00:00:00-08:002019-02-14T00:00:00-08:002019-02287Noticehttps://www.govinfo.gov/content/pkg/FR-2019-02-14/pdf/2019-02287.pdfhttps://regulations.justia.com/regulations/fedreg/2019/02/14/2019-02286.htmlNotice - Self-Regulatory Organizations; Cboe EDGX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the Exchange's Fee Schedule Applicable to Its Equities Trading Platform (“EDGX Equities”) To Introduce a “Cross-Asset Volume Tier”2019-02-14T00:00:00-08:002019-02-14T00:00:00-08:002019-02286Noticehttps://www.govinfo.gov/content/pkg/FR-2019-02-14/pdf/2019-02286.pdfhttps://regulations.justia.com/regulations/fedreg/2019/02/14/2019-02285.htmlNotice - Pharos Capital BDC, Inc., et al.2019-02-14T00:00:00-08:002019-02-14T00:00:00-08:002019-02285Noticehttps://www.govinfo.gov/content/pkg/FR-2019-02-14/pdf/2019-02285.pdfhttps://regulations.justia.com/regulations/fedreg/2019/02/13/2019-02189.htmlNotice - Victory Capital Management Inc., et al.2019-02-13T00:00:00-08:002019-02-13T00:00:00-08:002019-02189Noticehttps://www.govinfo.gov/content/pkg/FR-2019-02-13/pdf/2019-02189.pdfhttps://regulations.justia.com/regulations/fedreg/2019/02/13/2019-02116.htmlNotice - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing of a Proposed Rule Change Relating to FINRA Rule 6750 (Dissemination of Transaction Information)2019-02-13T00:00:00-08:002019-02-13T00:00:00-08:002019-02116Noticehttps://www.govinfo.gov/content/pkg/FR-2019-02-13/pdf/2019-02116.pdfhttps://regulations.justia.com/regulations/fedreg/2019/02/13/2019-02115.htmlNotice - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Rule 7.31 Relating to the Minimum Trade Size Modifier2019-02-13T00:00:00-08:002019-02-13T00:00:00-08:002019-02115Noticehttps://www.govinfo.gov/content/pkg/FR-2019-02-13/pdf/2019-02115.pdfhttps://regulations.justia.com/regulations/fedreg/2019/02/13/2019-02114.htmlNotice - Self-Regulatory Organizations; ICE Clear Europe Limited; Notice of Filing and Order Granting Accelerated Approval of Proposed Rule Change Relating to Clearing Member Termination2019-02-13T00:00:00-08:002019-02-13T00:00:00-08:002019-02114Noticehttps://www.govinfo.gov/content/pkg/FR-2019-02-13/pdf/2019-02114.pdfhttps://regulations.justia.com/regulations/fedreg/2019/02/12/2019-02117.htmlNotice - Sunshine Act Meetings2019-02-12T00:00:00-08:002019-02-12T00:00:00-08:002019-02117Noticehttps://www.govinfo.gov/content/pkg/FR-2019-02-12/pdf/2019-02117.pdfhttps://regulations.justia.com/regulations/fedreg/2019/02/12/2019-01946.htmlNotice - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing of a Proposed Rule Change To Expand Time for Non-Parties To Respond to Arbitration Subpoenas and Orders of Appearance of Witnesses or Production of Documents2019-02-12T00:00:00-08:002019-02-12T00:00:00-08:002019-01946Noticehttps://www.govinfo.gov/content/pkg/FR-2019-02-12/pdf/2019-01946.pdfhttps://regulations.justia.com/regulations/fedreg/2019/02/12/2019-01945.htmlNotice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Rule 7.31-E Relating to the Minimum Trade Size Modifier2019-02-12T00:00:00-08:002019-02-12T00:00:00-08:002019-01945Noticehttps://www.govinfo.gov/content/pkg/FR-2019-02-12/pdf/2019-01945.pdfhttps://regulations.justia.com/regulations/fedreg/2019/02/12/2019-01944.htmlNotice - Self-Regulatory Organizations; BOX Exchange LLC; Notice of Withdrawal of Proposed Rule Change To Adopt Rules Governing the Trading of Complex Qualified Contingent Cross Orders and Complex Customer Cross Orders2019-02-12T00:00:00-08:002019-02-12T00:00:00-08:002019-01944Noticehttps://www.govinfo.gov/content/pkg/FR-2019-02-12/pdf/2019-01944.pdfhttps://regulations.justia.com/regulations/fedreg/2019/02/12/2019-01943.htmlNotice - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Extend the Expiration Date of FINRA Rule 0180 (Application of Rules to Security-Based Swaps)2019-02-12T00:00:00-08:002019-02-12T00:00:00-08:002019-01943Noticehttps://www.govinfo.gov/content/pkg/FR-2019-02-12/pdf/2019-01943.pdfhttps://regulations.justia.com/regulations/fedreg/2019/02/11/2019-01890.htmlNotice - Victory Capital Management Inc. et al.2019-02-11T00:00:00-08:002019-02-11T00:00:00-08:002019-01890Noticehttps://www.govinfo.gov/content/pkg/FR-2019-02-11/pdf/2019-01890.pdfhttps://regulations.justia.com/regulations/fedreg/2019/02/11/2019-01888.htmlNotice - Yleana Advisors, LLC and Yleana Trust2019-02-11T00:00:00-08:002019-02-11T00:00:00-08:002019-01888Noticehttps://www.govinfo.gov/content/pkg/FR-2019-02-11/pdf/2019-01888.pdfhttps://regulations.justia.com/regulations/fedreg/2019/02/11/2019-01887.htmlNotice - Yleana Advisors, LLC and Yleana Trust2019-02-11T00:00:00-08:002019-02-11T00:00:00-08:002019-01887Noticehttps://www.govinfo.gov/content/pkg/FR-2019-02-11/pdf/2019-01887.pdfhttps://regulations.justia.com/regulations/fedreg/2019/02/11/2019-01728.htmlNotice - Self-Regulatory Organizations; BOX Exchange LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Clarify That Multi-Leg Qualified Open Outcry Orders Are Permitted on the BOX Trading Floor2019-02-11T00:00:00-08:002019-02-11T00:00:00-08:002019-01728Noticehttps://www.govinfo.gov/content/pkg/FR-2019-02-11/pdf/2019-01728.pdfhttps://regulations.justia.com/regulations/fedreg/2019/02/08/2019-01553.htmlNotice - Self-Regulatory Organizations; ICE Clear Credit LLC; Proposed Rule Change Relating to the ICE CDS Clearing: Back-Testing Framework2019-02-08T00:00:00-08:002019-02-08T00:00:00-08:002019-01553Noticehttps://www.govinfo.gov/content/pkg/FR-2019-02-08/pdf/2019-01553.pdfhttps://regulations.justia.com/regulations/fedreg/2019/02/08/2019-01531.htmlNotice - Special Opportunities Fund, Inc. and Bulldog Investors, LLC2019-02-08T00:00:00-08:002019-02-08T00:00:00-08:002019-01531Noticehttps://www.govinfo.gov/content/pkg/FR-2019-02-08/pdf/2019-01531.pdfhttps://regulations.justia.com/regulations/fedreg/2019/02/08/2019-00797.htmlProposed Rule - Proposed Revisions to Prohibitions and Restrictions on Proprietary Trading and Certain Interests In, and Relationships With, Hedge Funds and Private Equity Funds2019-02-08T00:00:00-08:002019-02-08T00:00:00-08:002019-00797Proposed Rulehttps://www.govinfo.gov/content/pkg/FR-2019-02-08/pdf/2019-00797.pdfhttps://regulations.justia.com/regulations/fedreg/2019/02/07/2019-01485.htmlNotice - Program for Allocation of Regulatory Responsibilities Pursuant to Rule 17d-2; Notice of Filing and Order Approving and Declaring Effective an Amendment to the Plan for the Allocation of Regulatory Responsibilities Between Cboe BZX Exchange, Inc., Cboe BYX Exchange, Inc., BOX Exchange LLC, Cboe Exchange, Inc., Cboe C2 Exchange, Inc., Chicago Stock Exchange, Inc., Cboe EDGA Exchange, Inc., Cboe EDGX Exchange, Inc., Financial Industry Regulatory Authority, Inc., Nasdaq ISE, LLC, Nasdaq GEMX, LLC, Nasdaq MRX, LLC, Investors Exchange LLC, Miami International Securities Exchange, LLC, MIAX PEARL, LLC, MIAX Emerald, LLC, The Nasdaq Stock Market LLC, Nasdaq BX, Inc., Nasdaq PHLX, Inc., NYSE National, Inc., New York Stock Exchange LLC, NYSE American LLC, and NYSE Arca, Inc.2019-02-07T00:00:00-08:002019-02-07T00:00:00-08:002019-01485Noticehttps://www.govinfo.gov/content/pkg/FR-2019-02-07/pdf/2019-01485.pdfhttps://regulations.justia.com/regulations/fedreg/2019/02/07/2019-01420.htmlNotice - Self-Regulatory Organizations; Nasdaq BX, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the Exchange's Transaction Fees at Equity 7, Section 118(a)2019-02-07T00:00:00-08:002019-02-07T00:00:00-08:002019-01420Noticehttps://www.govinfo.gov/content/pkg/FR-2019-02-07/pdf/2019-01420.pdfhttps://regulations.justia.com/regulations/fedreg/2019/02/07/2019-01393.htmlNotice - Self-Regulatory Organizations; The Nasdaq Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Equity 7, Section 118(a) of the Rules2019-02-07T00:00:00-08:002019-02-07T00:00:00-08:002019-01393Noticehttps://www.govinfo.gov/content/pkg/FR-2019-02-07/pdf/2019-01393.pdfhttps://regulations.justia.com/regulations/fedreg/2019/02/07/2019-01392.htmlNotice - Self-Regulatory Organizations; Cboe C2 Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Discontinue Bulk Order Functionality and Implement Bulk Message Functionality2019-02-07T00:00:00-08:002019-02-07T00:00:00-08:002019-01392Noticehttps://www.govinfo.gov/content/pkg/FR-2019-02-07/pdf/2019-01392.pdfhttps://regulations.justia.com/regulations/fedreg/2019/02/07/2019-01391.htmlNotice - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Its Price List To Modify the Incremental Step Up Tier for Supplemental Liquidity Providers2019-02-07T00:00:00-08:002019-02-07T00:00:00-08:002019-01391Noticehttps://www.govinfo.gov/content/pkg/FR-2019-02-07/pdf/2019-01391.pdfhttps://regulations.justia.com/regulations/fedreg/2019/02/07/2019-01390.htmlNotice - Self-Regulatory Organizations; Investors Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Reject Market Orders With a Time-in-Force of DAY That Are Entered in the Pre-Market Session for Non-IEX-Listed Securities2019-02-07T00:00:00-08:002019-02-07T00:00:00-08:002019-01390Noticehttps://www.govinfo.gov/content/pkg/FR-2019-02-07/pdf/2019-01390.pdfhttps://regulations.justia.com/regulations/fedreg/2019/02/07/2019-01389.htmlNotice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the NYSE Arca Equities Fees and Charges Regarding Credits Applicable To Lead Market Makers and to ETP Holders and Market Makers Affiliated With the LMM That Provide Displayed Liquidity to the NYSE Arca Book in Tape B Securities2019-02-07T00:00:00-08:002019-02-07T00:00:00-08:002019-01389Noticehttps://www.govinfo.gov/content/pkg/FR-2019-02-07/pdf/2019-01389.pdfhttps://regulations.justia.com/regulations/fedreg/2019/02/07/2019-01388.htmlNotice - Self-Regulatory Organizations; Chicago Stock Exchange, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the Date of the Second Amended and Restated Certificate of Incorporation of the Exchange and the Third Amended and Restated Certificate of Incorporation of the Exchange's Parent CHX Holdings, Inc.2019-02-07T00:00:00-08:002019-02-07T00:00:00-08:002019-01388Noticehttps://www.govinfo.gov/content/pkg/FR-2019-02-07/pdf/2019-01388.pdfhttps://regulations.justia.com/regulations/fedreg/2019/02/07/2019-01387.htmlNotice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing of Proposed Rule Change Relating to Listing and Trading Shares of the iShares Commodity Multi-Strategy ETF Under NYSE Arca Rule 8.600-E; and Notice of Designation of a Longer Period for Commission Action on Proposed Rule Change Relating to Listing and Trading Shares of the iShares Commodity Multi-Strategy ETF Under NYSE Arca Rule 8.600-E2019-02-07T00:00:00-08:002019-02-07T00:00:00-08:002019-01387Noticehttps://www.govinfo.gov/content/pkg/FR-2019-02-07/pdf/2019-01387.pdfhttps://regulations.justia.com/regulations/fedreg/2019/02/07/2019-01386.htmlNotice - Self-Regulatory Organizations; Cboe BZX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Its Fee Schedule2019-02-07T00:00:00-08:002019-02-07T00:00:00-08:002019-01386Noticehttps://www.govinfo.gov/content/pkg/FR-2019-02-07/pdf/2019-01386.pdfhttps://regulations.justia.com/regulations/fedreg/2019/02/07/2019-01385.htmlNotice - Self-Regulatory Organizations; Nasdaq ISE, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Extend the Nonstandard Expirations Pilot Program2019-02-07T00:00:00-08:002019-02-07T00:00:00-08:002019-01385Noticehttps://www.govinfo.gov/content/pkg/FR-2019-02-07/pdf/2019-01385.pdfhttps://regulations.justia.com/regulations/fedreg/2019/02/07/2019-01384.htmlNotice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the NYSE Arca Options Fee Schedule2019-02-07T00:00:00-08:002019-02-07T00:00:00-08:002019-01384Noticehttps://www.govinfo.gov/content/pkg/FR-2019-02-07/pdf/2019-01384.pdfhttps://regulations.justia.com/regulations/fedreg/2019/02/07/2019-01383.htmlNotice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Designation of Longer Period for Commission Action on Proceedings To Determine Whether To Approve or Disapprove a Proposed Rule Change To Amend Commentary .01 to NYSE Arca Rule 8.600-E Relating to Certain Generic Listing Standards for Managed Fund Shares2019-02-07T00:00:00-08:002019-02-07T00:00:00-08:002019-01383Noticehttps://www.govinfo.gov/content/pkg/FR-2019-02-07/pdf/2019-01383.pdfhttps://regulations.justia.com/regulations/fedreg/2019/02/07/2019-01382.htmlNotice - Self-Regulatory Organizations; Nasdaq ISE, LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the Exchange's Provisions for Excluding a Day From its Pricing Tier Calculations2019-02-07T00:00:00-08:002019-02-07T00:00:00-08:002019-01382Noticehttps://www.govinfo.gov/content/pkg/FR-2019-02-07/pdf/2019-01382.pdfhttps://regulations.justia.com/regulations/fedreg/2019/02/07/2019-01381.htmlNotice - Self-Regulatory Organizations; Nasdaq GEMX, LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the Exchange's Provisions for Excluding a Day From Its Volume Calculations2019-02-07T00:00:00-08:002019-02-07T00:00:00-08:002019-01381Noticehttps://www.govinfo.gov/content/pkg/FR-2019-02-07/pdf/2019-01381.pdfhttps://regulations.justia.com/regulations/fedreg/2019/02/07/2019-01376.htmlNotice - Proposed Collection; Comment Request2019-02-07T00:00:00-08:002019-02-07T00:00:00-08:002019-01376Noticehttps://www.govinfo.gov/content/pkg/FR-2019-02-07/pdf/2019-01376.pdfhttps://regulations.justia.com/regulations/fedreg/2019/02/07/2019-01374.htmlNotice - Submission for OMB Review; Comment Request2019-02-07T00:00:00-08:002019-02-07T00:00:00-08:002019-01374Noticehttps://www.govinfo.gov/content/pkg/FR-2019-02-07/pdf/2019-01374.pdfhttps://regulations.justia.com/regulations/fedreg/2019/02/07/2019-01373.htmlNotice - Submission for OMB Review; Comment Request2019-02-07T00:00:00-08:002019-02-07T00:00:00-08:002019-01373Noticehttps://www.govinfo.gov/content/pkg/FR-2019-02-07/pdf/2019-01373.pdfhttps://regulations.justia.com/regulations/fedreg/2019/02/07/2019-01372.htmlNotice - Submission for OMB Review; Comment Request2019-02-07T00:00:00-08:002019-02-07T00:00:00-08:002019-01372Noticehttps://www.govinfo.gov/content/pkg/FR-2019-02-07/pdf/2019-01372.pdfhttps://regulations.justia.com/regulations/fedreg/2019/02/07/2019-01371.htmlNotice - Proposed Collection; Comment Request2019-02-07T00:00:00-08:002019-02-07T00:00:00-08:002019-01371Noticehttps://www.govinfo.gov/content/pkg/FR-2019-02-07/pdf/2019-01371.pdfhttps://regulations.justia.com/regulations/fedreg/2019/02/07/2019-01367.htmlNotice - Submission for OMB Review; Comment Request2019-02-07T00:00:00-08:002019-02-07T00:00:00-08:002019-01367Noticehttps://www.govinfo.gov/content/pkg/FR-2019-02-07/pdf/2019-01367.pdfhttps://regulations.justia.com/regulations/fedreg/2019/02/06/2019-01180.htmlNotice - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Designation of a Longer Period for Commission Action on Proposed Rule Change To Amend Rule 7.31 Relating to Discretionary Orders, Auction-Only Orders, Discretionary Modifier, and Yielding Modifier and Related Amendments to Rules 7.16, 7.34, 7.36, and 7.372019-02-06T00:00:00-08:002019-02-06T00:00:00-08:002019-01180Noticehttps://www.govinfo.gov/content/pkg/FR-2019-02-06/pdf/2019-01180.pdfhttps://regulations.justia.com/regulations/fedreg/2019/02/06/2019-01178.htmlNotice - Self-Regulatory Organizations; The Nasdaq Stock Market LLC; Notice of Filing of Amendment No. 3 and Order Granting Accelerated Approval of a Proposed Rule Change, as Modified by Amendment Nos. 1, 2 and 3, To List and Trade Shares of the BrandywineGLOBAL-Global Total Return ETF2019-02-06T00:00:00-08:002019-02-06T00:00:00-08:002019-01178Noticehttps://www.govinfo.gov/content/pkg/FR-2019-02-06/pdf/2019-01178.pdfhttps://regulations.justia.com/regulations/fedreg/2019/02/06/2019-01176.htmlNotice - Self-Regulatory Organizations; Investors Exchange LLC; Notice of Designation of a Longer Period for Commission Action on a Proposed Rule Change To Modify the Resting Price of Discretionary Peg Orders2019-02-06T00:00:00-08:002019-02-06T00:00:00-08:002019-01176Noticehttps://www.govinfo.gov/content/pkg/FR-2019-02-06/pdf/2019-01176.pdfhttps://regulations.justia.com/regulations/fedreg/2019/02/06/2019-01175.htmlNotice - Self-Regulatory Organizations; New York Stock Exchange LLC; Order Approving a Proposed Rule Change To Amend Rule 123C To Extend the Cut-Off Times for Order Entry and Cancellation for Participation in the Closing Auction and When the Exchange Will Begin Disseminating Order Imbalance Information for the Closing Auction2019-02-06T00:00:00-08:002019-02-06T00:00:00-08:002019-01175Noticehttps://www.govinfo.gov/content/pkg/FR-2019-02-06/pdf/2019-01175.pdfhttps://regulations.justia.com/regulations/fedreg/2019/02/06/2019-01174.htmlNotice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Withdrawal of a Proposed Rule Change Regarding Investments of the REX BKCM ETF2019-02-06T00:00:00-08:002019-02-06T00:00:00-08:002019-01174Noticehttps://www.govinfo.gov/content/pkg/FR-2019-02-06/pdf/2019-01174.pdfhttps://regulations.justia.com/regulations/fedreg/2019/02/06/2019-01173.htmlNotice - Self-Regulatory Organizations; NYSE American LLC; Notice of Filing and Immediate Effectiveness of Proposed Change To Modify the NYSE American Options Fee Schedule2019-02-06T00:00:00-08:002019-02-06T00:00:00-08:002019-01173Noticehttps://www.govinfo.gov/content/pkg/FR-2019-02-06/pdf/2019-01173.pdfhttps://regulations.justia.com/regulations/fedreg/2019/02/06/2019-01172.htmlNotice - Self-Regulatory Organizations; Cboe Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating To Amend Its Fees Schedule2019-02-06T00:00:00-08:002019-02-06T00:00:00-08:002019-01172Noticehttps://www.govinfo.gov/content/pkg/FR-2019-02-06/pdf/2019-01172.pdfhttps://regulations.justia.com/regulations/fedreg/2019/02/06/2018-28123.htmlRule - Disclosure of Hedging by Employees, Officers and Directors2019-02-06T00:00:00-08:002019-02-06T00:00:00-08:002018-28123Rulehttps://www.govinfo.gov/content/pkg/FR-2019-02-06/pdf/2018-28123.pdfhttps://regulations.justia.com/regulations/fedreg/2019/02/05/2019-01185.htmlNotice - Sunshine Act Meetings2019-02-05T00:00:00-08:002019-02-05T00:00:00-08:002019-01185Noticehttps://www.govinfo.gov/content/pkg/FR-2019-02-05/pdf/2019-01185.pdfhttps://regulations.justia.com/regulations/fedreg/2019/02/05/2019-01179.htmlNotice - Self-Regulatory Organizations; Cboe Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend its Fees Schedule With Respect to the SPX Select Market-Maker Program2019-02-05T00:00:00-08:002019-02-05T00:00:00-08:002019-01179Noticehttps://www.govinfo.gov/content/pkg/FR-2019-02-05/pdf/2019-01179.pdfhttps://regulations.justia.com/regulations/fedreg/2019/02/05/2019-01042.htmlNotice - Submission for OMB Review; Comment Request2019-02-05T00:00:00-08:002019-02-05T00:00:00-08:002019-01042Noticehttps://www.govinfo.gov/content/pkg/FR-2019-02-05/pdf/2019-01042.pdfhttps://regulations.justia.com/regulations/fedreg/2019/02/05/2019-00944.htmlNotice - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Designation of Longer Period for Commission Action on a Proposed Rule Change Amending Sections 312.03 and 312.04 of the Listed Company Manual To Amend the Price Requirements for Certain Exceptions From the Shareholder Approval Rules2019-02-05T00:00:00-08:002019-02-05T00:00:00-08:002019-00944Noticehttps://www.govinfo.gov/content/pkg/FR-2019-02-05/pdf/2019-00944.pdfhttps://regulations.justia.com/regulations/fedreg/2019/02/05/2019-00943.htmlNotice - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Designation of a Longer Period for Commission Action on a Proposed Rule Change Relating to FINRA Rule 4512 (Customer Account Information)2019-02-05T00:00:00-08:002019-02-05T00:00:00-08:002019-00943Noticehttps://www.govinfo.gov/content/pkg/FR-2019-02-05/pdf/2019-00943.pdfhttps://regulations.justia.com/regulations/fedreg/2019/02/04/2019-00805.htmlNotice - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Designation of a Longer Period for Commission Action on a Proposed Rule Change Relating to FINRA Rule 4570 (Custodian of Books and Records)2019-02-04T00:00:00-08:002019-02-04T00:00:00-08:002019-00805Noticehttps://www.govinfo.gov/content/pkg/FR-2019-02-04/pdf/2019-00805.pdfhttps://regulations.justia.com/regulations/fedreg/2019/02/04/2019-00803.htmlNotice - Self-Regulatory Organizations; The Nasdaq Stock Market LLC; Notice of Designation of a Longer Period for Commission Action on a Proposed Rule Change To Amend Nasdaq Rules 5705 and 5710 To Adopt a Disclosure Requirement for Certain Securities2019-02-04T00:00:00-08:002019-02-04T00:00:00-08:002019-00803Noticehttps://www.govinfo.gov/content/pkg/FR-2019-02-04/pdf/2019-00803.pdfhttps://regulations.justia.com/regulations/fedreg/2019/02/04/2019-00802.htmlNotice - Self-Regulatory Organizations; Municipal Securities Rulemaking Board; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Extend the Effective Date of Previously-Approved Amendments to Rule G-21 and New Rule G-402019-02-04T00:00:00-08:002019-02-04T00:00:00-08:002019-00802Noticehttps://www.govinfo.gov/content/pkg/FR-2019-02-04/pdf/2019-00802.pdfhttps://regulations.justia.com/regulations/fedreg/2019/02/01/2019-00956.htmlNotice - Sunshine Act Meetings2019-02-01T00:00:00-08:002019-02-01T00:00:00-08:002019-00956Noticehttps://www.govinfo.gov/content/pkg/FR-2019-02-01/pdf/2019-00956.pdfhttps://regulations.justia.com/regulations/fedreg/2019/02/01/2019-00725.htmlNotice - Program for Allocation of Regulatory Responsibilities Pursuant to Rule 17d-2; Notice of Filing of Proposed Amended Plan for the Allocation of Regulatory Responsibilities Among the Financial Industry Regulatory Authority, Inc., Miami International Securities Exchange, LLC, MIAX PEARL, LLC, and MIAX EMERALD, LLC.2019-02-01T00:00:00-08:002019-02-01T00:00:00-08:002019-00725Noticehttps://www.govinfo.gov/content/pkg/FR-2019-02-01/pdf/2019-00725.pdfhttps://regulations.justia.com/regulations/fedreg/2019/02/01/2019-00631.htmlNotice - Submission for OMB Review; Comment Request2019-02-01T00:00:00-08:002019-02-01T00:00:00-08:002019-00631Noticehttps://www.govinfo.gov/content/pkg/FR-2019-02-01/pdf/2019-00631.pdfhttps://regulations.justia.com/regulations/fedreg/2019/02/01/2019-00630.htmlNotice - Submission for OMB Review; Comment Request2019-02-01T00:00:00-08:002019-02-01T00:00:00-08:002019-00630Noticehttps://www.govinfo.gov/content/pkg/FR-2019-02-01/pdf/2019-00630.pdfhttps://regulations.justia.com/regulations/fedreg/2019/02/01/2019-00629.htmlNotice - Submission for OMB Review; Comment Request2019-02-01T00:00:00-08:002019-02-01T00:00:00-08:002019-00629Noticehttps://www.govinfo.gov/content/pkg/FR-2019-02-01/pdf/2019-00629.pdfhttps://regulations.justia.com/regulations/fedreg/2019/02/01/2019-00628.htmlNotice - Submission for OMB Review; Comment Request2019-02-01T00:00:00-08:002019-02-01T00:00:00-08:002019-00628Noticehttps://www.govinfo.gov/content/pkg/FR-2019-02-01/pdf/2019-00628.pdfhttps://regulations.justia.com/regulations/fedreg/2019/02/01/2019-00627.htmlNotice - Submission for OMB Review; Comment Request2019-02-01T00:00:00-08:002019-02-01T00:00:00-08:002019-00627Noticehttps://www.govinfo.gov/content/pkg/FR-2019-02-01/pdf/2019-00627.pdfhttps://regulations.justia.com/regulations/fedreg/2019/02/01/2019-00626.htmlNotice - Submission for OMB Review; Comment Request2019-02-01T00:00:00-08:002019-02-01T00:00:00-08:002019-00626Noticehttps://www.govinfo.gov/content/pkg/FR-2019-02-01/pdf/2019-00626.pdfhttps://regulations.justia.com/regulations/fedreg/2019/02/01/2019-00625.htmlNotice - Submission for OMB Review; Comment Request2019-02-01T00:00:00-08:002019-02-01T00:00:00-08:002019-00625Noticehttps://www.govinfo.gov/content/pkg/FR-2019-02-01/pdf/2019-00625.pdfhttps://regulations.justia.com/regulations/fedreg/2019/02/01/2019-00590.htmlNotice - Self-Regulatory Organizations; Cboe EDGX Exchange, Inc.; Notice of Withdrawal of a Proposed Rule Change To Adopt Complex Reserve Order Functionality2019-02-01T00:00:00-08:002019-02-01T00:00:00-08:002019-00590Noticehttps://www.govinfo.gov/content/pkg/FR-2019-02-01/pdf/2019-00590.pdfhttps://regulations.justia.com/regulations/fedreg/2019/02/01/2018-27924.htmlProposed Rule - Fund of Funds Arrangements2019-02-01T00:00:00-08:002019-02-01T00:00:00-08:002018-27924Proposed Rulehttps://www.govinfo.gov/content/pkg/FR-2019-02-01/pdf/2018-27924.pdf