Federal Register Recent Federal Regulation Documents - Justia Regulation Tracker - Justia Regulations Tracker https://regulations.justia.com/regulations/fedreg/agencies/securities-and-exchange-commission/2019/02?limit=200&registers=between&min-day=1&max-day=28&mode=atom 2024-04-26T01:21:01-07:00 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/2019/02/28/2019-03543.html Notice - Order Affirming Order by Delegated Authority Temporarily Suspending and Instituting Proceedings on SR-BOX-2018-24 and Notice of Additional Comment Period for the Proceedings 2019-02-28T00:00:00-08:00 2019-02-28T00:00:00-08:00 2019-03543 Notice https://www.govinfo.gov/content/pkg/FR-2019-02-28/pdf/2019-03543.pdf https://regulations.justia.com/regulations/fedreg/2019/02/28/2019-03472.html Notice - 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) 2019-02-28T00:00:00-08:00 2019-02-28T00:00:00-08:00 2019-03472 Notice https://www.govinfo.gov/content/pkg/FR-2019-02-28/pdf/2019-03472.pdf https://regulations.justia.com/regulations/fedreg/2019/02/28/2019-03471.html Notice - 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 Orders 2019-02-28T00:00:00-08:00 2019-02-28T00:00:00-08:00 2019-03471 Notice https://www.govinfo.gov/content/pkg/FR-2019-02-28/pdf/2019-03471.pdf https://regulations.justia.com/regulations/fedreg/2019/02/28/2019-03469.html Notice - 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 Basis 2019-02-28T00:00:00-08:00 2019-02-28T00:00:00-08:00 2019-03469 Notice https://www.govinfo.gov/content/pkg/FR-2019-02-28/pdf/2019-03469.pdf https://regulations.justia.com/regulations/fedreg/2019/02/28/2019-03467.html Notice - 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 Platform 2019-02-28T00:00:00-08:00 2019-02-28T00:00:00-08:00 2019-03467 Notice https://www.govinfo.gov/content/pkg/FR-2019-02-28/pdf/2019-03467.pdf https://regulations.justia.com/regulations/fedreg/2019/02/28/2019-03466.html Notice - 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 Orders 2019-02-28T00:00:00-08:00 2019-02-28T00:00:00-08:00 2019-03466 Notice https://www.govinfo.gov/content/pkg/FR-2019-02-28/pdf/2019-03466.pdf https://regulations.justia.com/regulations/fedreg/2019/02/28/2019-03465.html Notice - 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 Basis 2019-02-28T00:00:00-08:00 2019-02-28T00:00:00-08:00 2019-03465 Notice https://www.govinfo.gov/content/pkg/FR-2019-02-28/pdf/2019-03465.pdf https://regulations.justia.com/regulations/fedreg/2019/02/28/2019-03464.html Notice - 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) 2019-02-28T00:00:00-08:00 2019-02-28T00:00:00-08:00 2019-03464 Notice https://www.govinfo.gov/content/pkg/FR-2019-02-28/pdf/2019-03464.pdf https://regulations.justia.com/regulations/fedreg/2019/02/28/2019-03098.html Proposed Rule - Solicitations of Interest Prior to a Registered Public Offering 2019-02-28T00:00:00-08:00 2019-02-28T00:00:00-08:00 2019-03098 Proposed Rule https://www.govinfo.gov/content/pkg/FR-2019-02-28/pdf/2019-03098.pdf https://regulations.justia.com/regulations/fedreg/2019/02/27/2019-03394.html Notice - Proposed Collection; Comment Request 2019-02-27T00:00:00-08:00 2019-02-27T00:00:00-08:00 2019-03394 Notice https://www.govinfo.gov/content/pkg/FR-2019-02-27/pdf/2019-03394.pdf https://regulations.justia.com/regulations/fedreg/2019/02/27/2019-03393.html Notice - Proposed Collection; Comment Request 2019-02-27T00:00:00-08:00 2019-02-27T00:00:00-08:00 2019-03393 Notice https://www.govinfo.gov/content/pkg/FR-2019-02-27/pdf/2019-03393.pdf https://regulations.justia.com/regulations/fedreg/2019/02/27/2019-03392.html Notice - Proposed Collection; Comment Request 2019-02-27T00:00:00-08:00 2019-02-27T00:00:00-08:00 2019-03392 Notice https://www.govinfo.gov/content/pkg/FR-2019-02-27/pdf/2019-03392.pdf https://regulations.justia.com/regulations/fedreg/2019/02/27/2019-03391.html Notice - Notice of Applications for Deregistration Under Section 8(f) of the Investment Company Act of 1940 2019-02-27T00:00:00-08:00 2019-02-27T00:00:00-08:00 2019-03391 Notice https://www.govinfo.gov/content/pkg/FR-2019-02-27/pdf/2019-03391.pdf https://regulations.justia.com/regulations/fedreg/2019/02/27/2019-03332.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 2019-02-27T00:00:00-08:00 2019-02-27T00:00:00-08:00 2019-03332 Notice https://www.govinfo.gov/content/pkg/FR-2019-02-27/pdf/2019-03332.pdf https://regulations.justia.com/regulations/fedreg/2019/02/27/2019-03331.html Notice - 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 Securities 2019-02-27T00:00:00-08:00 2019-02-27T00:00:00-08:00 2019-03331 Notice https://www.govinfo.gov/content/pkg/FR-2019-02-27/pdf/2019-03331.pdf https://regulations.justia.com/regulations/fedreg/2019/02/27/2019-03325.html Notice - OBP Capital LLC, et al.; Notice of Application 2019-02-27T00:00:00-08:00 2019-02-27T00:00:00-08:00 2019-03325 Notice https://www.govinfo.gov/content/pkg/FR-2019-02-27/pdf/2019-03325.pdf https://regulations.justia.com/regulations/fedreg/2019/02/26/2019-03312.html Notice - Toroso Investments, LLC and Tidal ETF Trust 2019-02-26T00:00:00-08:00 2019-02-26T00:00:00-08:00 2019-03312 Notice https://www.govinfo.gov/content/pkg/FR-2019-02-26/pdf/2019-03312.pdf https://regulations.justia.com/regulations/fedreg/2019/02/26/2019-03311.html Notice - Monteagle Funds and Nashville Capital Corporation 2019-02-26T00:00:00-08:00 2019-02-26T00:00:00-08:00 2019-03311 Notice https://www.govinfo.gov/content/pkg/FR-2019-02-26/pdf/2019-03311.pdf https://regulations.justia.com/regulations/fedreg/2019/02/26/2019-03310.html Notice - Acquirers Funds, LLC, et al. 2019-02-26T00:00:00-08:00 2019-02-26T00:00:00-08:00 2019-03310 Notice https://www.govinfo.gov/content/pkg/FR-2019-02-26/pdf/2019-03310.pdf https://regulations.justia.com/regulations/fedreg/2019/02/26/2019-03218.html Notice - 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 Modifier 2019-02-26T00:00:00-08:00 2019-02-26T00:00:00-08:00 2019-03218 Notice https://www.govinfo.gov/content/pkg/FR-2019-02-26/pdf/2019-03218.pdf https://regulations.justia.com/regulations/fedreg/2019/02/25/2019-03333.html Notice - Sunshine Act Meetings 2019-02-25T00:00:00-08:00 2019-02-25T00:00:00-08:00 2019-03333 Notice https://www.govinfo.gov/content/pkg/FR-2019-02-25/pdf/2019-03333.pdf https://regulations.justia.com/regulations/fedreg/2019/02/25/2019-03206.html Notice - 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”) 2019-02-25T00:00:00-08:00 2019-02-25T00:00:00-08:00 2019-03206 Notice https://www.govinfo.gov/content/pkg/FR-2019-02-25/pdf/2019-03206.pdf https://regulations.justia.com/regulations/fedreg/2019/02/25/2019-03175.html Notice - 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 Shares 2019-02-25T00:00:00-08:00 2019-02-25T00:00:00-08:00 2019-03175 Notice https://www.govinfo.gov/content/pkg/FR-2019-02-25/pdf/2019-03175.pdf https://regulations.justia.com/regulations/fedreg/2019/02/25/2019-03173.html Notice - 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 Monitor 2019-02-25T00:00:00-08:00 2019-02-25T00:00:00-08:00 2019-03173 Notice https://www.govinfo.gov/content/pkg/FR-2019-02-25/pdf/2019-03173.pdf https://regulations.justia.com/regulations/fedreg/2019/02/25/2019-03138.html Notice - CM Finance Inc, et al. 2019-02-25T00:00:00-08:00 2019-02-25T00:00:00-08:00 2019-03138 Notice https://www.govinfo.gov/content/pkg/FR-2019-02-25/pdf/2019-03138.pdf https://regulations.justia.com/regulations/fedreg/2019/02/22/2019-03088.html Notice - Submission for OMB Review; Comment Request 2019-02-22T00:00:00-08:00 2019-02-22T00:00:00-08:00 2019-03088 Notice https://www.govinfo.gov/content/pkg/FR-2019-02-22/pdf/2019-03088.pdf https://regulations.justia.com/regulations/fedreg/2019/02/22/2019-03087.html Notice - Submission for OMB Review; Comment Request 2019-02-22T00:00:00-08:00 2019-02-22T00:00:00-08:00 2019-03087 Notice https://www.govinfo.gov/content/pkg/FR-2019-02-22/pdf/2019-03087.pdf https://regulations.justia.com/regulations/fedreg/2019/02/22/2019-03086.html Notice - Proposed Collection; Comment Request 2019-02-22T00:00:00-08:00 2019-02-22T00:00:00-08:00 2019-03086 Notice https://www.govinfo.gov/content/pkg/FR-2019-02-22/pdf/2019-03086.pdf https://regulations.justia.com/regulations/fedreg/2019/02/22/2019-03085.html Notice - Submission for OMB Review; Comment Request 2019-02-22T00:00:00-08:00 2019-02-22T00:00:00-08:00 2019-03085 Notice https://www.govinfo.gov/content/pkg/FR-2019-02-22/pdf/2019-03085.pdf https://regulations.justia.com/regulations/fedreg/2019/02/22/2019-03084.html Notice - Submission for OMB Review Comment Request 2019-02-22T00:00:00-08:00 2019-02-22T00:00:00-08:00 2019-03084 Notice https://www.govinfo.gov/content/pkg/FR-2019-02-22/pdf/2019-03084.pdf https://regulations.justia.com/regulations/fedreg/2019/02/22/2019-03083.html Notice - Submission for OMB Review; Comment Request 2019-02-22T00:00:00-08:00 2019-02-22T00:00:00-08:00 2019-03083 Notice https://www.govinfo.gov/content/pkg/FR-2019-02-22/pdf/2019-03083.pdf https://regulations.justia.com/regulations/fedreg/2019/02/22/2019-03082.html Notice - Proposed Collection; Comment Request 2019-02-22T00:00:00-08:00 2019-02-22T00:00:00-08:00 2019-03082 Notice https://www.govinfo.gov/content/pkg/FR-2019-02-22/pdf/2019-03082.pdf https://regulations.justia.com/regulations/fedreg/2019/02/22/2019-03081.html Notice - Submission for OMB Review; Comment Request 2019-02-22T00:00:00-08:00 2019-02-22T00:00:00-08:00 2019-03081 Notice https://www.govinfo.gov/content/pkg/FR-2019-02-22/pdf/2019-03081.pdf https://regulations.justia.com/regulations/fedreg/2019/02/22/2019-03043.html Notice - 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 NMS 2019-02-22T00:00:00-08:00 2019-02-22T00:00:00-08:00 2019-03043 Notice https://www.govinfo.gov/content/pkg/FR-2019-02-22/pdf/2019-03043.pdf https://regulations.justia.com/regulations/fedreg/2019/02/22/2019-03042.html Notice - 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 Defined 2019-02-22T00:00:00-08:00 2019-02-22T00:00:00-08:00 2019-03042 Notice https://www.govinfo.gov/content/pkg/FR-2019-02-22/pdf/2019-03042.pdf https://regulations.justia.com/regulations/fedreg/2019/02/22/2019-03041.html Notice - 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 Schedules 2019-02-22T00:00:00-08:00 2019-02-22T00:00:00-08:00 2019-03041 Notice https://www.govinfo.gov/content/pkg/FR-2019-02-22/pdf/2019-03041.pdf https://regulations.justia.com/regulations/fedreg/2019/02/22/2019-03040.html Notice - 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 Supervision 2019-02-22T00:00:00-08:00 2019-02-22T00:00:00-08:00 2019-03040 Notice https://www.govinfo.gov/content/pkg/FR-2019-02-22/pdf/2019-03040.pdf https://regulations.justia.com/regulations/fedreg/2019/02/22/2019-03039.html Notice - 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 Orders 2019-02-22T00:00:00-08:00 2019-02-22T00:00:00-08:00 2019-03039 Notice https://www.govinfo.gov/content/pkg/FR-2019-02-22/pdf/2019-03039.pdf https://regulations.justia.com/regulations/fedreg/2019/02/22/2019-03038.html Notice - Self-Regulatory Organizations; ICE Clear Credit LLC; Notice of Filing of Proposed Rule Change Relating to ICC's Risk Parameter Setting and Review Policy 2019-02-22T00:00:00-08:00 2019-02-22T00:00:00-08:00 2019-03038 Notice https://www.govinfo.gov/content/pkg/FR-2019-02-22/pdf/2019-03038.pdf https://regulations.justia.com/regulations/fedreg/2019/02/22/2019-03037.html Notice - Self-Regulatory Organizations; MIAX PEARL, LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Its Options Regulatory Fee 2019-02-22T00:00:00-08:00 2019-02-22T00:00:00-08:00 2019-03037 Notice https://www.govinfo.gov/content/pkg/FR-2019-02-22/pdf/2019-03037.pdf https://regulations.justia.com/regulations/fedreg/2019/02/22/2019-03035.html Notice - 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 7.37 2019-02-22T00:00:00-08:00 2019-02-22T00:00:00-08:00 2019-03035 Notice https://www.govinfo.gov/content/pkg/FR-2019-02-22/pdf/2019-03035.pdf https://regulations.justia.com/regulations/fedreg/2019/02/22/2019-03034.html Notice - 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) 2019-02-22T00:00:00-08:00 2019-02-22T00:00:00-08:00 2019-03034 Notice https://www.govinfo.gov/content/pkg/FR-2019-02-22/pdf/2019-03034.pdf https://regulations.justia.com/regulations/fedreg/2019/02/22/2019-03033.html Notice - 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 Rules 2019-02-22T00:00:00-08:00 2019-02-22T00:00:00-08:00 2019-03033 Notice https://www.govinfo.gov/content/pkg/FR-2019-02-22/pdf/2019-03033.pdf https://regulations.justia.com/regulations/fedreg/2019/02/22/2019-03032.html Notice - Self-Regulatory Organizations; Miami International Securities Exchange, LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend its Options Regulatory Fee 2019-02-22T00:00:00-08:00 2019-02-22T00:00:00-08:00 2019-03032 Notice https://www.govinfo.gov/content/pkg/FR-2019-02-22/pdf/2019-03032.pdf https://regulations.justia.com/regulations/fedreg/2019/02/22/2019-03031.html Notice - 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 Shares 2019-02-22T00:00:00-08:00 2019-02-22T00:00:00-08:00 2019-03031 Notice https://www.govinfo.gov/content/pkg/FR-2019-02-22/pdf/2019-03031.pdf https://regulations.justia.com/regulations/fedreg/2019/02/21/2019-02906.html Proposed Rule - Reopening of Comment Period for Updated Disclosure Requirements and Summary Prospectus for Variable Annuity and Variable Life Insurance Contracts 2019-02-21T00:00:00-08:00 2019-02-21T00:00:00-08:00 2019-02906 Proposed Rule https://www.govinfo.gov/content/pkg/FR-2019-02-21/pdf/2019-02906.pdf https://regulations.justia.com/regulations/fedreg/2019/02/21/2019-02904.html Notice - 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 3 2019-02-21T00:00:00-08:00 2019-02-21T00:00:00-08:00 2019-02904 Notice https://www.govinfo.gov/content/pkg/FR-2019-02-21/pdf/2019-02904.pdf https://regulations.justia.com/regulations/fedreg/2019/02/21/2019-02903.html Notice - 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 Halt 2019-02-21T00:00:00-08:00 2019-02-21T00:00:00-08:00 2019-02903 Notice https://www.govinfo.gov/content/pkg/FR-2019-02-21/pdf/2019-02903.pdf https://regulations.justia.com/regulations/fedreg/2019/02/21/2019-02902.html Notice - 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”) Orders 2019-02-21T00:00:00-08:00 2019-02-21T00:00:00-08:00 2019-02902 Notice https://www.govinfo.gov/content/pkg/FR-2019-02-21/pdf/2019-02902.pdf https://regulations.justia.com/regulations/fedreg/2019/02/21/2019-02901.html Notice - Self-Regulatory Organizations; Nasdaq GEMX, LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the Options Regulatory Fee 2019-02-21T00:00:00-08:00 2019-02-21T00:00:00-08:00 2019-02901 Notice https://www.govinfo.gov/content/pkg/FR-2019-02-21/pdf/2019-02901.pdf https://regulations.justia.com/regulations/fedreg/2019/02/21/2019-02900.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 Modify Certain Agency Order Fees for Facilitation and Solicitation Transactions 2019-02-21T00:00:00-08:00 2019-02-21T00:00:00-08:00 2019-02900 Notice https://www.govinfo.gov/content/pkg/FR-2019-02-21/pdf/2019-02900.pdf https://regulations.justia.com/regulations/fedreg/2019/02/21/2019-02899.html Notice - 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) 2019-02-21T00:00:00-08:00 2019-02-21T00:00:00-08:00 2019-02899 Notice https://www.govinfo.gov/content/pkg/FR-2019-02-21/pdf/2019-02899.pdf https://regulations.justia.com/regulations/fedreg/2019/02/21/2019-02898.html Notice - 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 Modifier 2019-02-21T00:00:00-08:00 2019-02-21T00:00:00-08:00 2019-02898 Notice https://www.govinfo.gov/content/pkg/FR-2019-02-21/pdf/2019-02898.pdf https://regulations.justia.com/regulations/fedreg/2019/02/21/2019-02897.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 521, Nullification and Adjustment of Options Transactions Including Obvious Errors 2019-02-21T00:00:00-08:00 2019-02-21T00:00:00-08:00 2019-02897 Notice https://www.govinfo.gov/content/pkg/FR-2019-02-21/pdf/2019-02897.pdf https://regulations.justia.com/regulations/fedreg/2019/02/21/2019-02896.html Notice - 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 Changes 2019-02-21T00:00:00-08:00 2019-02-21T00:00:00-08:00 2019-02896 Notice https://www.govinfo.gov/content/pkg/FR-2019-02-21/pdf/2019-02896.pdf https://regulations.justia.com/regulations/fedreg/2019/02/21/2019-02895.html Notice - 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 Transactions 2019-02-21T00:00:00-08:00 2019-02-21T00:00:00-08:00 2019-02895 Notice https://www.govinfo.gov/content/pkg/FR-2019-02-21/pdf/2019-02895.pdf https://regulations.justia.com/regulations/fedreg/2019/02/21/2019-02894.html Notice - 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 Examination 2019-02-21T00:00:00-08:00 2019-02-21T00:00:00-08:00 2019-02894 Notice https://www.govinfo.gov/content/pkg/FR-2019-02-21/pdf/2019-02894.pdf https://regulations.justia.com/regulations/fedreg/2019/02/21/2019-02893.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 Modify Its Strategy QOO Order Fee Cap and Rebate 2019-02-21T00:00:00-08:00 2019-02-21T00:00:00-08:00 2019-02893 Notice https://www.govinfo.gov/content/pkg/FR-2019-02-21/pdf/2019-02893.pdf https://regulations.justia.com/regulations/fedreg/2019/02/21/2019-02892.html Notice - 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 Pricing 2019-02-21T00:00:00-08:00 2019-02-21T00:00:00-08:00 2019-02892 Notice https://www.govinfo.gov/content/pkg/FR-2019-02-21/pdf/2019-02892.pdf https://regulations.justia.com/regulations/fedreg/2019/02/21/2019-02891.html Notice - Self-Regulatory Organizations; Nasdaq BX, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Options 7, Section 2 2019-02-21T00:00:00-08:00 2019-02-21T00:00:00-08:00 2019-02891 Notice https://www.govinfo.gov/content/pkg/FR-2019-02-21/pdf/2019-02891.pdf https://regulations.justia.com/regulations/fedreg/2019/02/21/2019-02890.html Notice - 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 Strategies 2019-02-21T00:00:00-08:00 2019-02-21T00:00:00-08:00 2019-02890 Notice https://www.govinfo.gov/content/pkg/FR-2019-02-21/pdf/2019-02890.pdf https://regulations.justia.com/regulations/fedreg/2019/02/20/2019-02905.html Notice - Sunshine Act Meetings 2019-02-20T00:00:00-08:00 2019-02-20T00:00:00-08:00 2019-02905 Notice https://www.govinfo.gov/content/pkg/FR-2019-02-20/pdf/2019-02905.pdf https://regulations.justia.com/regulations/fedreg/2019/02/20/2019-02756.html Notice - Proposed Collection; Comment Request 2019-02-20T00:00:00-08:00 2019-02-20T00:00:00-08:00 2019-02756 Notice https://www.govinfo.gov/content/pkg/FR-2019-02-20/pdf/2019-02756.pdf https://regulations.justia.com/regulations/fedreg/2019/02/20/2019-02742.html Notice - Self-Regulatory Organizations; The Nasdaq Stock Market LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the Options Regulatory Fee 2019-02-20T00:00:00-08:00 2019-02-20T00:00:00-08:00 2019-02742 Notice https://www.govinfo.gov/content/pkg/FR-2019-02-20/pdf/2019-02742.pdf https://regulations.justia.com/regulations/fedreg/2019/02/20/2019-02741.html Notice - 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 Strategies 2019-02-20T00:00:00-08:00 2019-02-20T00:00:00-08:00 2019-02741 Notice https://www.govinfo.gov/content/pkg/FR-2019-02-20/pdf/2019-02741.pdf https://regulations.justia.com/regulations/fedreg/2019/02/20/2019-02740.html Notice - Self-Regulatory Organizations; Nasdaq MRX, LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Adopt an Options Regulatory Fee 2019-02-20T00:00:00-08:00 2019-02-20T00:00:00-08:00 2019-02740 Notice https://www.govinfo.gov/content/pkg/FR-2019-02-20/pdf/2019-02740.pdf https://regulations.justia.com/regulations/fedreg/2019/02/20/2019-02739.html Notice - 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 ETF 2019-02-20T00:00:00-08:00 2019-02-20T00:00:00-08:00 2019-02739 Notice https://www.govinfo.gov/content/pkg/FR-2019-02-20/pdf/2019-02739.pdf https://regulations.justia.com/regulations/fedreg/2019/02/20/2019-02737.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 To Revise the Requirements To Qualify for the Adding Tier 2 Credits 2019-02-20T00:00:00-08:00 2019-02-20T00:00:00-08:00 2019-02737 Notice https://www.govinfo.gov/content/pkg/FR-2019-02-20/pdf/2019-02737.pdf https://regulations.justia.com/regulations/fedreg/2019/02/20/2019-02736.html Notice - 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 Strategies 2019-02-20T00:00:00-08:00 2019-02-20T00:00:00-08:00 2019-02736 Notice https://www.govinfo.gov/content/pkg/FR-2019-02-20/pdf/2019-02736.pdf https://regulations.justia.com/regulations/fedreg/2019/02/20/2019-02735.html Notice - 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 Structure 2019-02-20T00:00:00-08:00 2019-02-20T00:00:00-08:00 2019-02735 Notice https://www.govinfo.gov/content/pkg/FR-2019-02-20/pdf/2019-02735.pdf https://regulations.justia.com/regulations/fedreg/2019/02/20/2019-02734.html Notice - 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 Strategies 2019-02-20T00:00:00-08:00 2019-02-20T00:00:00-08:00 2019-02734 Notice https://www.govinfo.gov/content/pkg/FR-2019-02-20/pdf/2019-02734.pdf https://regulations.justia.com/regulations/fedreg/2019/02/20/2019-02733.html Notice - 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 Framework 2019-02-20T00:00:00-08:00 2019-02-20T00:00:00-08:00 2019-02733 Notice https://www.govinfo.gov/content/pkg/FR-2019-02-20/pdf/2019-02733.pdf https://regulations.justia.com/regulations/fedreg/2019/02/20/2019-02732.html Notice - 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 Shares 2019-02-20T00:00:00-08:00 2019-02-20T00:00:00-08:00 2019-02732 Notice https://www.govinfo.gov/content/pkg/FR-2019-02-20/pdf/2019-02732.pdf https://regulations.justia.com/regulations/fedreg/2019/02/20/2019-02731.html Notice - Self-Regulatory Organizations; The Options Clearing Corporation; Order Disapproving Proposed Rule Change Concerning The Options Clearing Corporation's Capital Plan 2019-02-20T00:00:00-08:00 2019-02-20T00:00:00-08:00 2019-02731 Notice https://www.govinfo.gov/content/pkg/FR-2019-02-20/pdf/2019-02731.pdf https://regulations.justia.com/regulations/fedreg/2019/02/20/2019-02730.html Notice - Self-Regulatory Organizations; Nasdaq PHLX LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the Options Regulatory Fee 2019-02-20T00:00:00-08:00 2019-02-20T00:00:00-08:00 2019-02730 Notice https://www.govinfo.gov/content/pkg/FR-2019-02-20/pdf/2019-02730.pdf https://regulations.justia.com/regulations/fedreg/2019/02/20/2019-02699.html Notice - Adjustments to Civil Monetary Penalty Amounts 2019-02-20T00:00:00-08:00 2019-02-20T00:00:00-08:00 2019-02699 Notice https://www.govinfo.gov/content/pkg/FR-2019-02-20/pdf/2019-02699.pdf https://regulations.justia.com/regulations/fedreg/2019/02/20/2019-02698.html Notice - Pacer Funds Trust, Pacer Advisors, Inc. and Pacer Financial, Inc. 2019-02-20T00:00:00-08:00 2019-02-20T00:00:00-08:00 2019-02698 Notice https://www.govinfo.gov/content/pkg/FR-2019-02-20/pdf/2019-02698.pdf https://regulations.justia.com/regulations/fedreg/2019/02/20/2018-27982.html Rule - Transaction Fee Pilot for NMS Stocks 2019-02-20T00:00:00-08:00 2019-02-20T00:00:00-08:00 2018-27982 Rule https://www.govinfo.gov/content/pkg/FR-2019-02-20/pdf/2018-27982.pdf https://regulations.justia.com/regulations/fedreg/2019/02/19/2019-02646.html Notice - Submission for OMB Review; Comment Request 2019-02-19T00:00:00-08:00 2019-02-19T00:00:00-08:00 2019-02646 Notice https://www.govinfo.gov/content/pkg/FR-2019-02-19/pdf/2019-02646.pdf https://regulations.justia.com/regulations/fedreg/2019/02/19/2019-02611.html Notice - 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) Options 2019-02-19T00:00:00-08:00 2019-02-19T00:00:00-08:00 2019-02611 Notice https://www.govinfo.gov/content/pkg/FR-2019-02-19/pdf/2019-02611.pdf https://regulations.justia.com/regulations/fedreg/2019/02/19/2019-02610.html Notice - 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) 2019-02-19T00:00:00-08:00 2019-02-19T00:00:00-08:00 2019-02610 Notice https://www.govinfo.gov/content/pkg/FR-2019-02-19/pdf/2019-02610.pdf https://regulations.justia.com/regulations/fedreg/2019/02/19/2019-02609.html Notice - 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 Securities 2019-02-19T00:00:00-08:00 2019-02-19T00:00:00-08:00 2019-02609 Notice https://www.govinfo.gov/content/pkg/FR-2019-02-19/pdf/2019-02609.pdf https://regulations.justia.com/regulations/fedreg/2019/02/19/2019-02608.html Notice - 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 System 2019-02-19T00:00:00-08:00 2019-02-19T00:00:00-08:00 2019-02608 Notice https://www.govinfo.gov/content/pkg/FR-2019-02-19/pdf/2019-02608.pdf https://regulations.justia.com/regulations/fedreg/2019/02/19/2019-02607.html Notice - 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) 2019-02-19T00:00:00-08:00 2019-02-19T00:00:00-08:00 2019-02607 Notice https://www.govinfo.gov/content/pkg/FR-2019-02-19/pdf/2019-02607.pdf https://regulations.justia.com/regulations/fedreg/2019/02/19/2019-02606.html Notice - 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 Tiers 2019-02-19T00:00:00-08:00 2019-02-19T00:00:00-08:00 2019-02606 Notice https://www.govinfo.gov/content/pkg/FR-2019-02-19/pdf/2019-02606.pdf https://regulations.justia.com/regulations/fedreg/2019/02/19/2019-02605.html Notice - 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”) 2019-02-19T00:00:00-08:00 2019-02-19T00:00:00-08:00 2019-02605 Notice https://www.govinfo.gov/content/pkg/FR-2019-02-19/pdf/2019-02605.pdf https://regulations.justia.com/regulations/fedreg/2019/02/19/2019-02604.html Notice - 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”) 2019-02-19T00:00:00-08:00 2019-02-19T00:00:00-08:00 2019-02604 Notice https://www.govinfo.gov/content/pkg/FR-2019-02-19/pdf/2019-02604.pdf https://regulations.justia.com/regulations/fedreg/2019/02/19/2019-02595.html Notice - 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 Surveillance 2019-02-19T00:00:00-08:00 2019-02-19T00:00:00-08:00 2019-02595 Notice https://www.govinfo.gov/content/pkg/FR-2019-02-19/pdf/2019-02595.pdf https://regulations.justia.com/regulations/fedreg/2019/02/19/2019-02347.html Rule - 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 Swaps 2019-02-19T00:00:00-08:00 2019-02-19T00:00:00-08:00 2019-02347 Rule https://www.govinfo.gov/content/pkg/FR-2019-02-19/pdf/2019-02347.pdf https://regulations.justia.com/regulations/fedreg/2019/02/15/2019-02493.html Notice - 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 Matters 2019-02-15T00:00:00-08:00 2019-02-15T00:00:00-08:00 2019-02493 Notice https://www.govinfo.gov/content/pkg/FR-2019-02-15/pdf/2019-02493.pdf https://regulations.justia.com/regulations/fedreg/2019/02/15/2019-02452.html Notice - Self-Regulatory Organizations; ICE Clear Credit LLC; Order Approving Proposed Rule Change Relating to ICC's New Initiatives Approval Policy and Procedural Framework 2019-02-15T00:00:00-08:00 2019-02-15T00:00:00-08:00 2019-02452 Notice https://www.govinfo.gov/content/pkg/FR-2019-02-15/pdf/2019-02452.pdf https://regulations.justia.com/regulations/fedreg/2019/02/15/2019-02450.html Notice - 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 Approval 2019-02-15T00:00:00-08:00 2019-02-15T00:00:00-08:00 2019-02450 Notice https://www.govinfo.gov/content/pkg/FR-2019-02-15/pdf/2019-02450.pdf https://regulations.justia.com/regulations/fedreg/2019/02/15/2019-02398.html Notice - 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”) 2019-02-15T00:00:00-08:00 2019-02-15T00:00:00-08:00 2019-02398 Notice https://www.govinfo.gov/content/pkg/FR-2019-02-15/pdf/2019-02398.pdf https://regulations.justia.com/regulations/fedreg/2019/02/15/2019-02397.html Notice - 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”) 2019-02-15T00:00:00-08:00 2019-02-15T00:00:00-08:00 2019-02397 Notice https://www.govinfo.gov/content/pkg/FR-2019-02-15/pdf/2019-02397.pdf https://regulations.justia.com/regulations/fedreg/2019/02/15/2019-02396.html Notice - 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”) 2019-02-15T00:00:00-08:00 2019-02-15T00:00:00-08:00 2019-02396 Notice https://www.govinfo.gov/content/pkg/FR-2019-02-15/pdf/2019-02396.pdf https://regulations.justia.com/regulations/fedreg/2019/02/15/2019-02395.html Notice - 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”) 2019-02-15T00:00:00-08:00 2019-02-15T00:00:00-08:00 2019-02395 Notice https://www.govinfo.gov/content/pkg/FR-2019-02-15/pdf/2019-02395.pdf https://regulations.justia.com/regulations/fedreg/2019/02/15/2019-02394.html Notice - 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 Funds 2019-02-15T00:00:00-08:00 2019-02-15T00:00:00-08:00 2019-02394 Notice https://www.govinfo.gov/content/pkg/FR-2019-02-15/pdf/2019-02394.pdf https://regulations.justia.com/regulations/fedreg/2019/02/15/2019-02393.html Notice - 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”) 2019-02-15T00:00:00-08:00 2019-02-15T00:00:00-08:00 2019-02393 Notice https://www.govinfo.gov/content/pkg/FR-2019-02-15/pdf/2019-02393.pdf https://regulations.justia.com/regulations/fedreg/2019/02/15/2019-02392.html Notice - 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 Makers 2019-02-15T00:00:00-08:00 2019-02-15T00:00:00-08:00 2019-02392 Notice https://www.govinfo.gov/content/pkg/FR-2019-02-15/pdf/2019-02392.pdf https://regulations.justia.com/regulations/fedreg/2019/02/15/2019-02391.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 Add a New Incentive for Supplemental Liquidity Providers in Tape A Securities When Adding Liquidity in Securities Traded Pursuant to Unlisted Trading Privileges 2019-02-15T00:00:00-08:00 2019-02-15T00:00:00-08:00 2019-02391 Notice https://www.govinfo.gov/content/pkg/FR-2019-02-15/pdf/2019-02391.pdf https://regulations.justia.com/regulations/fedreg/2019/02/15/2019-02390.html Notice - 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 2019-02-15T00:00:00-08:00 2019-02-15T00:00:00-08:00 2019-02390 Notice https://www.govinfo.gov/content/pkg/FR-2019-02-15/pdf/2019-02390.pdf https://regulations.justia.com/regulations/fedreg/2019/02/15/2019-02389.html Notice - 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-E 2019-02-15T00:00:00-08:00 2019-02-15T00:00:00-08:00 2019-02389 Notice https://www.govinfo.gov/content/pkg/FR-2019-02-15/pdf/2019-02389.pdf https://regulations.justia.com/regulations/fedreg/2019/02/15/2019-02377.html Notice - 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-E 2019-02-15T00:00:00-08:00 2019-02-15T00:00:00-08:00 2019-02377 Notice https://www.govinfo.gov/content/pkg/FR-2019-02-15/pdf/2019-02377.pdf https://regulations.justia.com/regulations/fedreg/2019/02/15/2019-01368.html Notice - Proposed Collection; Comment Request 2019-02-15T00:00:00-08:00 2019-02-15T00:00:00-08:00 2019-01368 Notice https://www.govinfo.gov/content/pkg/FR-2019-02-15/pdf/2019-01368.pdf https://regulations.justia.com/regulations/fedreg/2019/02/15/2018-27979.html Proposed Rule - Risk Mitigation Techniques for Uncleared Security-Based Swaps 2019-02-15T00:00:00-08:00 2019-02-15T00:00:00-08:00 2018-27979 Proposed Rule https://www.govinfo.gov/content/pkg/FR-2019-02-15/pdf/2018-27979.pdf https://regulations.justia.com/regulations/fedreg/2019/02/14/2019-02313.html Notice - Submission for OMB Review; Comment Request 2019-02-14T00:00:00-08:00 2019-02-14T00:00:00-08:00 2019-02313 Notice https://www.govinfo.gov/content/pkg/FR-2019-02-14/pdf/2019-02313.pdf https://regulations.justia.com/regulations/fedreg/2019/02/14/2019-02312.html Notice - Submission for OMB Review; Comment Request 2019-02-14T00:00:00-08:00 2019-02-14T00:00:00-08:00 2019-02312 Notice https://www.govinfo.gov/content/pkg/FR-2019-02-14/pdf/2019-02312.pdf https://regulations.justia.com/regulations/fedreg/2019/02/14/2019-02311.html Notice - Submission for OMB Review; Comment Request 2019-02-14T00:00:00-08:00 2019-02-14T00:00:00-08:00 2019-02311 Notice https://www.govinfo.gov/content/pkg/FR-2019-02-14/pdf/2019-02311.pdf https://regulations.justia.com/regulations/fedreg/2019/02/14/2019-02310.html Notice - Submission for OMB Review; Comment Request 2019-02-14T00:00:00-08:00 2019-02-14T00:00:00-08:00 2019-02310 Notice https://www.govinfo.gov/content/pkg/FR-2019-02-14/pdf/2019-02310.pdf https://regulations.justia.com/regulations/fedreg/2019/02/14/2019-02309.html Notice - Proposed Collection; Comment Request 2019-02-14T00:00:00-08:00 2019-02-14T00:00:00-08:00 2019-02309 Notice https://www.govinfo.gov/content/pkg/FR-2019-02-14/pdf/2019-02309.pdf https://regulations.justia.com/regulations/fedreg/2019/02/14/2019-02308.html Notice - Submission for OMB Review; Comment Request 2019-02-14T00:00:00-08:00 2019-02-14T00:00:00-08:00 2019-02308 Notice https://www.govinfo.gov/content/pkg/FR-2019-02-14/pdf/2019-02308.pdf https://regulations.justia.com/regulations/fedreg/2019/02/14/2019-02307.html Notice - Proposed Collection; Comment Request 2019-02-14T00:00:00-08:00 2019-02-14T00:00:00-08:00 2019-02307 Notice https://www.govinfo.gov/content/pkg/FR-2019-02-14/pdf/2019-02307.pdf https://regulations.justia.com/regulations/fedreg/2019/02/14/2019-02289.html Notice - 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-2015-036 2019-02-14T00:00:00-08:00 2019-02-14T00:00:00-08:00 2019-02289 Notice https://www.govinfo.gov/content/pkg/FR-2019-02-14/pdf/2019-02289.pdf https://regulations.justia.com/regulations/fedreg/2019/02/14/2019-02288.html Notice - Self-Regulatory Organizations; Cboe C2 Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the Options Regulatory Fee 2019-02-14T00:00:00-08:00 2019-02-14T00:00:00-08:00 2019-02288 Notice https://www.govinfo.gov/content/pkg/FR-2019-02-14/pdf/2019-02288.pdf https://regulations.justia.com/regulations/fedreg/2019/02/14/2019-02287.html Notice - Self-Regulatory Organizations; Cboe Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the Options Regulatory Fee 2019-02-14T00:00:00-08:00 2019-02-14T00:00:00-08:00 2019-02287 Notice https://www.govinfo.gov/content/pkg/FR-2019-02-14/pdf/2019-02287.pdf https://regulations.justia.com/regulations/fedreg/2019/02/14/2019-02286.html Notice - 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” 2019-02-14T00:00:00-08:00 2019-02-14T00:00:00-08:00 2019-02286 Notice https://www.govinfo.gov/content/pkg/FR-2019-02-14/pdf/2019-02286.pdf https://regulations.justia.com/regulations/fedreg/2019/02/14/2019-02285.html Notice - Pharos Capital BDC, Inc., et al. 2019-02-14T00:00:00-08:00 2019-02-14T00:00:00-08:00 2019-02285 Notice https://www.govinfo.gov/content/pkg/FR-2019-02-14/pdf/2019-02285.pdf https://regulations.justia.com/regulations/fedreg/2019/02/13/2019-02189.html Notice - Victory Capital Management Inc., et al. 2019-02-13T00:00:00-08:00 2019-02-13T00:00:00-08:00 2019-02189 Notice https://www.govinfo.gov/content/pkg/FR-2019-02-13/pdf/2019-02189.pdf https://regulations.justia.com/regulations/fedreg/2019/02/13/2019-02116.html Notice - 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) 2019-02-13T00:00:00-08:00 2019-02-13T00:00:00-08:00 2019-02116 Notice https://www.govinfo.gov/content/pkg/FR-2019-02-13/pdf/2019-02116.pdf https://regulations.justia.com/regulations/fedreg/2019/02/13/2019-02115.html Notice - 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 Modifier 2019-02-13T00:00:00-08:00 2019-02-13T00:00:00-08:00 2019-02115 Notice https://www.govinfo.gov/content/pkg/FR-2019-02-13/pdf/2019-02115.pdf https://regulations.justia.com/regulations/fedreg/2019/02/13/2019-02114.html Notice - Self-Regulatory Organizations; ICE Clear Europe Limited; Notice of Filing and Order Granting Accelerated Approval of Proposed Rule Change Relating to Clearing Member Termination 2019-02-13T00:00:00-08:00 2019-02-13T00:00:00-08:00 2019-02114 Notice https://www.govinfo.gov/content/pkg/FR-2019-02-13/pdf/2019-02114.pdf https://regulations.justia.com/regulations/fedreg/2019/02/12/2019-02117.html Notice - Sunshine Act Meetings 2019-02-12T00:00:00-08:00 2019-02-12T00:00:00-08:00 2019-02117 Notice https://www.govinfo.gov/content/pkg/FR-2019-02-12/pdf/2019-02117.pdf https://regulations.justia.com/regulations/fedreg/2019/02/12/2019-01946.html Notice - 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 Documents 2019-02-12T00:00:00-08:00 2019-02-12T00:00:00-08:00 2019-01946 Notice https://www.govinfo.gov/content/pkg/FR-2019-02-12/pdf/2019-01946.pdf https://regulations.justia.com/regulations/fedreg/2019/02/12/2019-01945.html Notice - 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 Modifier 2019-02-12T00:00:00-08:00 2019-02-12T00:00:00-08:00 2019-01945 Notice https://www.govinfo.gov/content/pkg/FR-2019-02-12/pdf/2019-01945.pdf https://regulations.justia.com/regulations/fedreg/2019/02/12/2019-01944.html Notice - 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 Orders 2019-02-12T00:00:00-08:00 2019-02-12T00:00:00-08:00 2019-01944 Notice https://www.govinfo.gov/content/pkg/FR-2019-02-12/pdf/2019-01944.pdf https://regulations.justia.com/regulations/fedreg/2019/02/12/2019-01943.html Notice - 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) 2019-02-12T00:00:00-08:00 2019-02-12T00:00:00-08:00 2019-01943 Notice https://www.govinfo.gov/content/pkg/FR-2019-02-12/pdf/2019-01943.pdf https://regulations.justia.com/regulations/fedreg/2019/02/11/2019-01890.html Notice - Victory Capital Management Inc. et al. 2019-02-11T00:00:00-08:00 2019-02-11T00:00:00-08:00 2019-01890 Notice https://www.govinfo.gov/content/pkg/FR-2019-02-11/pdf/2019-01890.pdf https://regulations.justia.com/regulations/fedreg/2019/02/11/2019-01888.html Notice - Yleana Advisors, LLC and Yleana Trust 2019-02-11T00:00:00-08:00 2019-02-11T00:00:00-08:00 2019-01888 Notice https://www.govinfo.gov/content/pkg/FR-2019-02-11/pdf/2019-01888.pdf https://regulations.justia.com/regulations/fedreg/2019/02/11/2019-01887.html Notice - Yleana Advisors, LLC and Yleana Trust 2019-02-11T00:00:00-08:00 2019-02-11T00:00:00-08:00 2019-01887 Notice https://www.govinfo.gov/content/pkg/FR-2019-02-11/pdf/2019-01887.pdf https://regulations.justia.com/regulations/fedreg/2019/02/11/2019-01728.html Notice - 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 Floor 2019-02-11T00:00:00-08:00 2019-02-11T00:00:00-08:00 2019-01728 Notice https://www.govinfo.gov/content/pkg/FR-2019-02-11/pdf/2019-01728.pdf https://regulations.justia.com/regulations/fedreg/2019/02/08/2019-01553.html Notice - Self-Regulatory Organizations; ICE Clear Credit LLC; Proposed Rule Change Relating to the ICE CDS Clearing: Back-Testing Framework 2019-02-08T00:00:00-08:00 2019-02-08T00:00:00-08:00 2019-01553 Notice https://www.govinfo.gov/content/pkg/FR-2019-02-08/pdf/2019-01553.pdf https://regulations.justia.com/regulations/fedreg/2019/02/08/2019-01531.html Notice - Special Opportunities Fund, Inc. and Bulldog Investors, LLC 2019-02-08T00:00:00-08:00 2019-02-08T00:00:00-08:00 2019-01531 Notice https://www.govinfo.gov/content/pkg/FR-2019-02-08/pdf/2019-01531.pdf https://regulations.justia.com/regulations/fedreg/2019/02/08/2019-00797.html Proposed Rule - Proposed Revisions to Prohibitions and Restrictions on Proprietary Trading and Certain Interests In, and Relationships With, Hedge Funds and Private Equity Funds 2019-02-08T00:00:00-08:00 2019-02-08T00:00:00-08:00 2019-00797 Proposed Rule https://www.govinfo.gov/content/pkg/FR-2019-02-08/pdf/2019-00797.pdf https://regulations.justia.com/regulations/fedreg/2019/02/07/2019-01485.html Notice - 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. 2019-02-07T00:00:00-08:00 2019-02-07T00:00:00-08:00 2019-01485 Notice https://www.govinfo.gov/content/pkg/FR-2019-02-07/pdf/2019-01485.pdf https://regulations.justia.com/regulations/fedreg/2019/02/07/2019-01420.html Notice - 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) 2019-02-07T00:00:00-08:00 2019-02-07T00:00:00-08:00 2019-01420 Notice https://www.govinfo.gov/content/pkg/FR-2019-02-07/pdf/2019-01420.pdf https://regulations.justia.com/regulations/fedreg/2019/02/07/2019-01393.html Notice - 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 Rules 2019-02-07T00:00:00-08:00 2019-02-07T00:00:00-08:00 2019-01393 Notice https://www.govinfo.gov/content/pkg/FR-2019-02-07/pdf/2019-01393.pdf https://regulations.justia.com/regulations/fedreg/2019/02/07/2019-01392.html Notice - 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 Functionality 2019-02-07T00:00:00-08:00 2019-02-07T00:00:00-08:00 2019-01392 Notice https://www.govinfo.gov/content/pkg/FR-2019-02-07/pdf/2019-01392.pdf https://regulations.justia.com/regulations/fedreg/2019/02/07/2019-01391.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 Modify the Incremental Step Up Tier for Supplemental Liquidity Providers 2019-02-07T00:00:00-08:00 2019-02-07T00:00:00-08:00 2019-01391 Notice https://www.govinfo.gov/content/pkg/FR-2019-02-07/pdf/2019-01391.pdf https://regulations.justia.com/regulations/fedreg/2019/02/07/2019-01390.html Notice - 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 Securities 2019-02-07T00:00:00-08:00 2019-02-07T00:00:00-08:00 2019-01390 Notice https://www.govinfo.gov/content/pkg/FR-2019-02-07/pdf/2019-01390.pdf https://regulations.justia.com/regulations/fedreg/2019/02/07/2019-01389.html Notice - 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 Securities 2019-02-07T00:00:00-08:00 2019-02-07T00:00:00-08:00 2019-01389 Notice https://www.govinfo.gov/content/pkg/FR-2019-02-07/pdf/2019-01389.pdf https://regulations.justia.com/regulations/fedreg/2019/02/07/2019-01388.html Notice - 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. 2019-02-07T00:00:00-08:00 2019-02-07T00:00:00-08:00 2019-01388 Notice https://www.govinfo.gov/content/pkg/FR-2019-02-07/pdf/2019-01388.pdf https://regulations.justia.com/regulations/fedreg/2019/02/07/2019-01387.html Notice - 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-E 2019-02-07T00:00:00-08:00 2019-02-07T00:00:00-08:00 2019-01387 Notice https://www.govinfo.gov/content/pkg/FR-2019-02-07/pdf/2019-01387.pdf https://regulations.justia.com/regulations/fedreg/2019/02/07/2019-01386.html Notice - Self-Regulatory Organizations; Cboe BZX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Its Fee Schedule 2019-02-07T00:00:00-08:00 2019-02-07T00:00:00-08:00 2019-01386 Notice https://www.govinfo.gov/content/pkg/FR-2019-02-07/pdf/2019-01386.pdf https://regulations.justia.com/regulations/fedreg/2019/02/07/2019-01385.html Notice - Self-Regulatory Organizations; Nasdaq ISE, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Extend the Nonstandard Expirations Pilot Program 2019-02-07T00:00:00-08:00 2019-02-07T00:00:00-08:00 2019-01385 Notice https://www.govinfo.gov/content/pkg/FR-2019-02-07/pdf/2019-01385.pdf https://regulations.justia.com/regulations/fedreg/2019/02/07/2019-01384.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 2019-02-07T00:00:00-08:00 2019-02-07T00:00:00-08:00 2019-01384 Notice https://www.govinfo.gov/content/pkg/FR-2019-02-07/pdf/2019-01384.pdf https://regulations.justia.com/regulations/fedreg/2019/02/07/2019-01383.html Notice - 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 Shares 2019-02-07T00:00:00-08:00 2019-02-07T00:00:00-08:00 2019-01383 Notice https://www.govinfo.gov/content/pkg/FR-2019-02-07/pdf/2019-01383.pdf https://regulations.justia.com/regulations/fedreg/2019/02/07/2019-01382.html Notice - 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 Calculations 2019-02-07T00:00:00-08:00 2019-02-07T00:00:00-08:00 2019-01382 Notice https://www.govinfo.gov/content/pkg/FR-2019-02-07/pdf/2019-01382.pdf https://regulations.justia.com/regulations/fedreg/2019/02/07/2019-01381.html Notice - 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 Calculations 2019-02-07T00:00:00-08:00 2019-02-07T00:00:00-08:00 2019-01381 Notice https://www.govinfo.gov/content/pkg/FR-2019-02-07/pdf/2019-01381.pdf https://regulations.justia.com/regulations/fedreg/2019/02/07/2019-01376.html Notice - Proposed Collection; Comment Request 2019-02-07T00:00:00-08:00 2019-02-07T00:00:00-08:00 2019-01376 Notice https://www.govinfo.gov/content/pkg/FR-2019-02-07/pdf/2019-01376.pdf https://regulations.justia.com/regulations/fedreg/2019/02/07/2019-01374.html Notice - Submission for OMB Review; Comment Request 2019-02-07T00:00:00-08:00 2019-02-07T00:00:00-08:00 2019-01374 Notice https://www.govinfo.gov/content/pkg/FR-2019-02-07/pdf/2019-01374.pdf https://regulations.justia.com/regulations/fedreg/2019/02/07/2019-01373.html Notice - Submission for OMB Review; Comment Request 2019-02-07T00:00:00-08:00 2019-02-07T00:00:00-08:00 2019-01373 Notice https://www.govinfo.gov/content/pkg/FR-2019-02-07/pdf/2019-01373.pdf https://regulations.justia.com/regulations/fedreg/2019/02/07/2019-01372.html Notice - Submission for OMB Review; Comment Request 2019-02-07T00:00:00-08:00 2019-02-07T00:00:00-08:00 2019-01372 Notice https://www.govinfo.gov/content/pkg/FR-2019-02-07/pdf/2019-01372.pdf https://regulations.justia.com/regulations/fedreg/2019/02/07/2019-01371.html Notice - Proposed Collection; Comment Request 2019-02-07T00:00:00-08:00 2019-02-07T00:00:00-08:00 2019-01371 Notice https://www.govinfo.gov/content/pkg/FR-2019-02-07/pdf/2019-01371.pdf https://regulations.justia.com/regulations/fedreg/2019/02/07/2019-01367.html Notice - Submission for OMB Review; Comment Request 2019-02-07T00:00:00-08:00 2019-02-07T00:00:00-08:00 2019-01367 Notice https://www.govinfo.gov/content/pkg/FR-2019-02-07/pdf/2019-01367.pdf https://regulations.justia.com/regulations/fedreg/2019/02/06/2019-01180.html Notice - 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 7.37 2019-02-06T00:00:00-08:00 2019-02-06T00:00:00-08:00 2019-01180 Notice https://www.govinfo.gov/content/pkg/FR-2019-02-06/pdf/2019-01180.pdf https://regulations.justia.com/regulations/fedreg/2019/02/06/2019-01178.html Notice - 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 ETF 2019-02-06T00:00:00-08:00 2019-02-06T00:00:00-08:00 2019-01178 Notice https://www.govinfo.gov/content/pkg/FR-2019-02-06/pdf/2019-01178.pdf https://regulations.justia.com/regulations/fedreg/2019/02/06/2019-01176.html Notice - 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 Orders 2019-02-06T00:00:00-08:00 2019-02-06T00:00:00-08:00 2019-01176 Notice https://www.govinfo.gov/content/pkg/FR-2019-02-06/pdf/2019-01176.pdf https://regulations.justia.com/regulations/fedreg/2019/02/06/2019-01175.html Notice - 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 Auction 2019-02-06T00:00:00-08:00 2019-02-06T00:00:00-08:00 2019-01175 Notice https://www.govinfo.gov/content/pkg/FR-2019-02-06/pdf/2019-01175.pdf https://regulations.justia.com/regulations/fedreg/2019/02/06/2019-01174.html Notice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Withdrawal of a Proposed Rule Change Regarding Investments of the REX BKCM ETF 2019-02-06T00:00:00-08:00 2019-02-06T00:00:00-08:00 2019-01174 Notice https://www.govinfo.gov/content/pkg/FR-2019-02-06/pdf/2019-01174.pdf https://regulations.justia.com/regulations/fedreg/2019/02/06/2019-01173.html Notice - Self-Regulatory Organizations; NYSE American LLC; Notice of Filing and Immediate Effectiveness of Proposed Change To Modify the NYSE American Options Fee Schedule 2019-02-06T00:00:00-08:00 2019-02-06T00:00:00-08:00 2019-01173 Notice https://www.govinfo.gov/content/pkg/FR-2019-02-06/pdf/2019-01173.pdf https://regulations.justia.com/regulations/fedreg/2019/02/06/2019-01172.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 2019-02-06T00:00:00-08:00 2019-02-06T00:00:00-08:00 2019-01172 Notice https://www.govinfo.gov/content/pkg/FR-2019-02-06/pdf/2019-01172.pdf https://regulations.justia.com/regulations/fedreg/2019/02/06/2018-28123.html Rule - Disclosure of Hedging by Employees, Officers and Directors 2019-02-06T00:00:00-08:00 2019-02-06T00:00:00-08:00 2018-28123 Rule https://www.govinfo.gov/content/pkg/FR-2019-02-06/pdf/2018-28123.pdf https://regulations.justia.com/regulations/fedreg/2019/02/05/2019-01185.html Notice - Sunshine Act Meetings 2019-02-05T00:00:00-08:00 2019-02-05T00:00:00-08:00 2019-01185 Notice https://www.govinfo.gov/content/pkg/FR-2019-02-05/pdf/2019-01185.pdf https://regulations.justia.com/regulations/fedreg/2019/02/05/2019-01179.html Notice - 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 Program 2019-02-05T00:00:00-08:00 2019-02-05T00:00:00-08:00 2019-01179 Notice https://www.govinfo.gov/content/pkg/FR-2019-02-05/pdf/2019-01179.pdf https://regulations.justia.com/regulations/fedreg/2019/02/05/2019-01042.html Notice - Submission for OMB Review; Comment Request 2019-02-05T00:00:00-08:00 2019-02-05T00:00:00-08:00 2019-01042 Notice https://www.govinfo.gov/content/pkg/FR-2019-02-05/pdf/2019-01042.pdf https://regulations.justia.com/regulations/fedreg/2019/02/05/2019-00944.html Notice - 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 Rules 2019-02-05T00:00:00-08:00 2019-02-05T00:00:00-08:00 2019-00944 Notice https://www.govinfo.gov/content/pkg/FR-2019-02-05/pdf/2019-00944.pdf https://regulations.justia.com/regulations/fedreg/2019/02/05/2019-00943.html Notice - 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) 2019-02-05T00:00:00-08:00 2019-02-05T00:00:00-08:00 2019-00943 Notice https://www.govinfo.gov/content/pkg/FR-2019-02-05/pdf/2019-00943.pdf https://regulations.justia.com/regulations/fedreg/2019/02/04/2019-00805.html Notice - 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) 2019-02-04T00:00:00-08:00 2019-02-04T00:00:00-08:00 2019-00805 Notice https://www.govinfo.gov/content/pkg/FR-2019-02-04/pdf/2019-00805.pdf https://regulations.justia.com/regulations/fedreg/2019/02/04/2019-00803.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 Amend Nasdaq Rules 5705 and 5710 To Adopt a Disclosure Requirement for Certain Securities 2019-02-04T00:00:00-08:00 2019-02-04T00:00:00-08:00 2019-00803 Notice https://www.govinfo.gov/content/pkg/FR-2019-02-04/pdf/2019-00803.pdf https://regulations.justia.com/regulations/fedreg/2019/02/04/2019-00802.html Notice - 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-40 2019-02-04T00:00:00-08:00 2019-02-04T00:00:00-08:00 2019-00802 Notice https://www.govinfo.gov/content/pkg/FR-2019-02-04/pdf/2019-00802.pdf https://regulations.justia.com/regulations/fedreg/2019/02/01/2019-00956.html Notice - Sunshine Act Meetings 2019-02-01T00:00:00-08:00 2019-02-01T00:00:00-08:00 2019-00956 Notice https://www.govinfo.gov/content/pkg/FR-2019-02-01/pdf/2019-00956.pdf https://regulations.justia.com/regulations/fedreg/2019/02/01/2019-00725.html Notice - 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. 2019-02-01T00:00:00-08:00 2019-02-01T00:00:00-08:00 2019-00725 Notice https://www.govinfo.gov/content/pkg/FR-2019-02-01/pdf/2019-00725.pdf https://regulations.justia.com/regulations/fedreg/2019/02/01/2019-00631.html Notice - Submission for OMB Review; Comment Request 2019-02-01T00:00:00-08:00 2019-02-01T00:00:00-08:00 2019-00631 Notice https://www.govinfo.gov/content/pkg/FR-2019-02-01/pdf/2019-00631.pdf https://regulations.justia.com/regulations/fedreg/2019/02/01/2019-00630.html Notice - Submission for OMB Review; Comment Request 2019-02-01T00:00:00-08:00 2019-02-01T00:00:00-08:00 2019-00630 Notice https://www.govinfo.gov/content/pkg/FR-2019-02-01/pdf/2019-00630.pdf https://regulations.justia.com/regulations/fedreg/2019/02/01/2019-00629.html Notice - Submission for OMB Review; Comment Request 2019-02-01T00:00:00-08:00 2019-02-01T00:00:00-08:00 2019-00629 Notice https://www.govinfo.gov/content/pkg/FR-2019-02-01/pdf/2019-00629.pdf https://regulations.justia.com/regulations/fedreg/2019/02/01/2019-00628.html Notice - Submission for OMB Review; Comment Request 2019-02-01T00:00:00-08:00 2019-02-01T00:00:00-08:00 2019-00628 Notice https://www.govinfo.gov/content/pkg/FR-2019-02-01/pdf/2019-00628.pdf https://regulations.justia.com/regulations/fedreg/2019/02/01/2019-00627.html Notice - Submission for OMB Review; Comment Request 2019-02-01T00:00:00-08:00 2019-02-01T00:00:00-08:00 2019-00627 Notice https://www.govinfo.gov/content/pkg/FR-2019-02-01/pdf/2019-00627.pdf https://regulations.justia.com/regulations/fedreg/2019/02/01/2019-00626.html Notice - Submission for OMB Review; Comment Request 2019-02-01T00:00:00-08:00 2019-02-01T00:00:00-08:00 2019-00626 Notice https://www.govinfo.gov/content/pkg/FR-2019-02-01/pdf/2019-00626.pdf https://regulations.justia.com/regulations/fedreg/2019/02/01/2019-00625.html Notice - Submission for OMB Review; Comment Request 2019-02-01T00:00:00-08:00 2019-02-01T00:00:00-08:00 2019-00625 Notice https://www.govinfo.gov/content/pkg/FR-2019-02-01/pdf/2019-00625.pdf https://regulations.justia.com/regulations/fedreg/2019/02/01/2019-00590.html Notice - Self-Regulatory Organizations; Cboe EDGX Exchange, Inc.; Notice of Withdrawal of a Proposed Rule Change To Adopt Complex Reserve Order Functionality 2019-02-01T00:00:00-08:00 2019-02-01T00:00:00-08:00 2019-00590 Notice https://www.govinfo.gov/content/pkg/FR-2019-02-01/pdf/2019-00590.pdf https://regulations.justia.com/regulations/fedreg/2019/02/01/2018-27924.html Proposed Rule - Fund of Funds Arrangements 2019-02-01T00:00:00-08:00 2019-02-01T00:00:00-08:00 2018-27924 Proposed Rule https://www.govinfo.gov/content/pkg/FR-2019-02-01/pdf/2018-27924.pdf