Federal Register Recent Federal Regulation Documents - Justia Regulation Tracker - Justia Regulations Trackerhttps://regulations.justia.com/regulations/fedreg/agencies/securities-and-exchange-commission/2019/05?limit=200®isters=between&min-day=1&max-day=31&mode=atom2024-03-28T09:39:53-07:00Justia Inchttps://www.justia.com/Justia Regulations Trackerhttps://regulations.justia.com/images/justiafedregulations.gifCopyright 2011 Justia Inchttps://regulations.justia.com/regulations/fedreg/2019/05/31/2019-11340.htmlNotice - Self-Regulatory Organizations; ICE Clear Credit LLC; Notice of Filing of Proposed Rule Change Relating to ICC's Stress Testing Framework2019-05-31T00:00:00-07:002019-05-31T00:00:00-07:002019-11340Noticehttps://www.govinfo.gov/content/pkg/FR-2019-05-31/pdf/2019-11340.pdfhttps://regulations.justia.com/regulations/fedreg/2019/05/31/2019-11330.htmlNotice - Self-Regulatory Organizations; Nasdaq MRX, LLC; Order Approving a Proposed Rule Change To Adopt Complex Order Functionality2019-05-31T00:00:00-07:002019-05-31T00:00:00-07:002019-11330Noticehttps://www.govinfo.gov/content/pkg/FR-2019-05-31/pdf/2019-11330.pdfhttps://regulations.justia.com/regulations/fedreg/2019/05/31/2019-11323.htmlNotice - Self-Regulatory Organizations; Miami International Securities Exchange, LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Exchange Rule 1801, Definitions; Rule 503, Openings on the Exchange; and Rule 1802, Designation of an Index2019-05-31T00:00:00-07:002019-05-31T00:00:00-07:002019-11323Noticehttps://www.govinfo.gov/content/pkg/FR-2019-05-31/pdf/2019-11323.pdfhttps://regulations.justia.com/regulations/fedreg/2019/05/31/2019-11322.htmlNotice - Self-Regulatory Organizations; Fixed Income Clearing Corporation; Order Approving a Proposed Rule Change To Amend the GSD and MBSD Methodology Documents and the MBSD Clearing Rules2019-05-31T00:00:00-07:002019-05-31T00:00:00-07:002019-11322Noticehttps://www.govinfo.gov/content/pkg/FR-2019-05-31/pdf/2019-11322.pdfhttps://regulations.justia.com/regulations/fedreg/2019/05/31/2019-11320.htmlNotice - Self-Regulatory Organizations; The Nasdaq Stock Market LLC; Notice of Designation of Longer Period for Commission Action on a Proposed Rule Change To Revise the Exchange's Initial Listing Standards Related to Liquidity2019-05-31T00:00:00-07:002019-05-31T00:00:00-07:002019-11320Noticehttps://www.govinfo.gov/content/pkg/FR-2019-05-31/pdf/2019-11320.pdfhttps://regulations.justia.com/regulations/fedreg/2019/05/31/2019-11319.htmlNotice - Self-Regulatory Organizations; LCH SA; Notice of Filing of Proposed Rule Change, as Modified by Amendments No. 1 and 2, To Implement Settled-to-Market Treatment of Variation Margin, Permit the Creation of Multiple Account Structures, Permit Select Members To Provide Clearing Services to Affiliated Firms, and Update the Onboarding Procedures2019-05-31T00:00:00-07:002019-05-31T00:00:00-07:002019-11319Noticehttps://www.govinfo.gov/content/pkg/FR-2019-05-31/pdf/2019-11319.pdfhttps://regulations.justia.com/regulations/fedreg/2019/05/31/2019-11318.htmlNotice - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing of Proposed Rule Change Amending Section 303A.08 of the Listed Company Manual Relating to Shareholder Approval of Equity Compensation Plans2019-05-31T00:00:00-07:002019-05-31T00:00:00-07:002019-11318Noticehttps://www.govinfo.gov/content/pkg/FR-2019-05-31/pdf/2019-11318.pdfhttps://regulations.justia.com/regulations/fedreg/2019/05/30/2019-11238.htmlNotice - Self-Regulatory Organizations; Cboe C2 Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating To Amend Rule 6.112019-05-30T00:00:00-07:002019-05-30T00:00:00-07:002019-11238Noticehttps://www.govinfo.gov/content/pkg/FR-2019-05-30/pdf/2019-11238.pdfhttps://regulations.justia.com/regulations/fedreg/2019/05/30/2019-11237.htmlNotice - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change of New Rule 7.44 To Operate Its Retail Liquidity Program on Pillar, the Exchange's New Technology Trading Platform2019-05-30T00:00:00-07:002019-05-30T00:00:00-07:002019-11237Noticehttps://www.govinfo.gov/content/pkg/FR-2019-05-30/pdf/2019-11237.pdfhttps://regulations.justia.com/regulations/fedreg/2019/05/30/2019-11235.htmlNotice - Self-Regulatory Organizations; Nasdaq ISE, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the Exchange's Market Maker Plus Program Under Options 7, Section 32019-05-30T00:00:00-07:002019-05-30T00:00:00-07:002019-11235Noticehttps://www.govinfo.gov/content/pkg/FR-2019-05-30/pdf/2019-11235.pdfhttps://regulations.justia.com/regulations/fedreg/2019/05/30/2019-11234.htmlNotice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Rule 6.60-O2019-05-30T00:00:00-07:002019-05-30T00:00:00-07:002019-11234Noticehttps://www.govinfo.gov/content/pkg/FR-2019-05-30/pdf/2019-11234.pdfhttps://regulations.justia.com/regulations/fedreg/2019/05/30/2019-11230.htmlNotice - In the Matter of the BOX Exchange LLC Regarding an Order Disapproving Proposed Rule Changes To Amend the Fee Schedule on the BOX Market LLC Options Facility To Establish BOX Connectivity Fees for Participants and Non-Participants Who Connect to the BOX Network; Order Granting Petition for Review and Scheduling Filing of Statements2019-05-30T00:00:00-07:002019-05-30T00:00:00-07:002019-11230Noticehttps://www.govinfo.gov/content/pkg/FR-2019-05-30/pdf/2019-11230.pdfhttps://regulations.justia.com/regulations/fedreg/2019/05/30/2019-11223.htmlNotice - Program for Allocation of Regulatory Responsibilities Pursuant to Rule 17d-2; Notice of Filing of an Amendment to the Agreement Between the Financial Industry Regulatory Authority, Inc. and the NYSE Chicago, Inc.2019-05-30T00:00:00-07:002019-05-30T00:00:00-07:002019-11223Noticehttps://www.govinfo.gov/content/pkg/FR-2019-05-30/pdf/2019-11223.pdfhttps://regulations.justia.com/regulations/fedreg/2019/05/30/2019-11219.htmlNotice - Self-Regulatory Organizations; The Options Clearing Corporation; Notice of Filing of Advance Notice Concerning the Options Clearing Corporation's Proposal To Enter Into a New Credit Facility Agreement2019-05-30T00:00:00-07:002019-05-30T00:00:00-07:002019-11219Noticehttps://www.govinfo.gov/content/pkg/FR-2019-05-30/pdf/2019-11219.pdfhttps://regulations.justia.com/regulations/fedreg/2019/05/29/2019-11239.htmlNotice - Sunshine Act Meetings2019-05-29T00:00:00-07:002019-05-29T00:00:00-07:002019-11239Noticehttps://www.govinfo.gov/content/pkg/FR-2019-05-29/pdf/2019-11239.pdfhttps://regulations.justia.com/regulations/fedreg/2019/05/29/2019-11236.htmlNotice - Self-Regulatory Organizations; NYSE American LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Rule 967NY2019-05-29T00:00:00-07:002019-05-29T00:00:00-07:002019-11236Noticehttps://www.govinfo.gov/content/pkg/FR-2019-05-29/pdf/2019-11236.pdfhttps://regulations.justia.com/regulations/fedreg/2019/05/29/2019-11231.htmlNotice - Sunshine Act Meetings2019-05-29T00:00:00-07:002019-05-29T00:00:00-07:002019-11231Noticehttps://www.govinfo.gov/content/pkg/FR-2019-05-29/pdf/2019-11231.pdfhttps://regulations.justia.com/regulations/fedreg/2019/05/29/2019-11205.htmlNotice - Tudor Investment Corporation and Tudor Employee Investment Fund LLC2019-05-29T00:00:00-07:002019-05-29T00:00:00-07:002019-11205Noticehttps://www.govinfo.gov/content/pkg/FR-2019-05-29/pdf/2019-11205.pdfhttps://regulations.justia.com/regulations/fedreg/2019/05/29/2019-11108.htmlNotice - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the Independence Policy of the Board of Directors of the Exchange2019-05-29T00:00:00-07:002019-05-29T00:00:00-07:002019-11108Noticehttps://www.govinfo.gov/content/pkg/FR-2019-05-29/pdf/2019-11108.pdfhttps://regulations.justia.com/regulations/fedreg/2019/05/29/2019-11107.htmlNotice - Self-Regulatory Organizations; NYSE American LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the Independence Policy of the Board of Directors of the Exchange2019-05-29T00:00:00-07:002019-05-29T00:00:00-07:002019-11107Noticehttps://www.govinfo.gov/content/pkg/FR-2019-05-29/pdf/2019-11107.pdfhttps://regulations.justia.com/regulations/fedreg/2019/05/29/2019-11106.htmlNotice - Self-Regulatory Organizations; Nasdaq BX, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the Exchange's Transaction Fees and Credits at Equity 7, Section 118(a)2019-05-29T00:00:00-07:002019-05-29T00:00:00-07:002019-11106Noticehttps://www.govinfo.gov/content/pkg/FR-2019-05-29/pdf/2019-11106.pdfhttps://regulations.justia.com/regulations/fedreg/2019/05/29/2019-11105.htmlNotice - Self-Regulatory Organizations; MIAX Emerald, LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Exchange Rule 503, Openings on the Exchange2019-05-29T00:00:00-07:002019-05-29T00:00:00-07:002019-11105Noticehttps://www.govinfo.gov/content/pkg/FR-2019-05-29/pdf/2019-11105.pdfhttps://regulations.justia.com/regulations/fedreg/2019/05/29/2019-11101.htmlNotice - Self-Regulatory Organizations; MIAX PEARL, LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Exchange Rule 515, Execution of Orders2019-05-29T00:00:00-07:002019-05-29T00:00:00-07:002019-11101Noticehttps://www.govinfo.gov/content/pkg/FR-2019-05-29/pdf/2019-11101.pdfhttps://regulations.justia.com/regulations/fedreg/2019/05/29/2019-11100.htmlNotice - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Designation of a Longer Period for Commission Action on a Proposed Rule Change To Establish a Corporate Bond New Issue Reference Data Service2019-05-29T00:00:00-07:002019-05-29T00:00:00-07:002019-11100Noticehttps://www.govinfo.gov/content/pkg/FR-2019-05-29/pdf/2019-11100.pdfhttps://regulations.justia.com/regulations/fedreg/2019/05/29/2019-09932.htmlProposed Rule - Amendments to the Accelerated Filer and Large Accelerated Filer Definitions2019-05-29T00:00:00-07:002019-05-29T00:00:00-07:002019-09932Proposed Rulehttps://www.govinfo.gov/content/pkg/FR-2019-05-29/pdf/2019-09932.pdfhttps://regulations.justia.com/regulations/fedreg/2019/05/28/2019-10997.htmlNotice - Notice Establishing the Commencement and Termination Dates of the Pre-Pilot Period of the Transaction Fee Pilot for National Market System Stocks2019-05-28T00:00:00-07:002019-05-28T00:00:00-07:002019-10997Noticehttps://www.govinfo.gov/content/pkg/FR-2019-05-28/pdf/2019-10997.pdfhttps://regulations.justia.com/regulations/fedreg/2019/05/28/2019-10989.htmlNotice - Self-Regulatory Organizations; ICE Clear Europe Limited; Notice of Filing of Proposed Rule Change, Security-Based Swap Submission or Advance Notice Relating to Amendments to the ICE Clear Europe Membership Policy2019-05-28T00:00:00-07:002019-05-28T00:00:00-07:002019-10989Noticehttps://www.govinfo.gov/content/pkg/FR-2019-05-28/pdf/2019-10989.pdfhttps://regulations.justia.com/regulations/fedreg/2019/05/28/2019-10988.htmlNotice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing of Proposed Rule Change To List and Trade Shares of JPMorgan Income Builder Blend ETF Under NYSE Arca Rule 8.600-E2019-05-28T00:00:00-07:002019-05-28T00:00:00-07:002019-10988Noticehttps://www.govinfo.gov/content/pkg/FR-2019-05-28/pdf/2019-10988.pdfhttps://regulations.justia.com/regulations/fedreg/2019/05/28/2019-10987.htmlNotice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing of Proposed Rule Change, as Modified by Amendment No. 1, Regarding Certain Changes to Investments of the First Trust TCW Unconstrained Plus Bond ETF2019-05-28T00:00:00-07:002019-05-28T00:00:00-07:002019-10987Noticehttps://www.govinfo.gov/content/pkg/FR-2019-05-28/pdf/2019-10987.pdfhttps://regulations.justia.com/regulations/fedreg/2019/05/28/2019-10986.htmlNotice - Self-Regulatory Organizations; ICE Clear Europe Limited; Notice of Filing of Proposed Rule Change, Security-Based Swap Submission or Advance Notice Relating to the ICE Clear Europe Recovery Plan2019-05-28T00:00:00-07:002019-05-28T00:00:00-07:002019-10986Noticehttps://www.govinfo.gov/content/pkg/FR-2019-05-28/pdf/2019-10986.pdfhttps://regulations.justia.com/regulations/fedreg/2019/05/28/2019-10985.htmlNotice - Self-Regulatory Organizations; MIAX Emerald, LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Its Fee Schedule2019-05-28T00:00:00-07:002019-05-28T00:00:00-07:002019-10985Noticehttps://www.govinfo.gov/content/pkg/FR-2019-05-28/pdf/2019-10985.pdfhttps://regulations.justia.com/regulations/fedreg/2019/05/28/2019-10983.htmlNotice - Proposed Collection; Comment Request2019-05-28T00:00:00-07:002019-05-28T00:00:00-07:002019-10983Noticehttps://www.govinfo.gov/content/pkg/FR-2019-05-28/pdf/2019-10983.pdfhttps://regulations.justia.com/regulations/fedreg/2019/05/28/2019-10982.htmlNotice - Proposed Collection; Comment Request2019-05-28T00:00:00-07:002019-05-28T00:00:00-07:002019-10982Noticehttps://www.govinfo.gov/content/pkg/FR-2019-05-28/pdf/2019-10982.pdfhttps://regulations.justia.com/regulations/fedreg/2019/05/28/2019-10981.htmlNotice - Proposed Collection; Comment Request2019-05-28T00:00:00-07:002019-05-28T00:00:00-07:002019-10981Noticehttps://www.govinfo.gov/content/pkg/FR-2019-05-28/pdf/2019-10981.pdfhttps://regulations.justia.com/regulations/fedreg/2019/05/28/2019-10975.htmlNotice - BlackRock Capital Investment Corporation, et al.2019-05-28T00:00:00-07:002019-05-28T00:00:00-07:002019-10975Noticehttps://www.govinfo.gov/content/pkg/FR-2019-05-28/pdf/2019-10975.pdfhttps://regulations.justia.com/regulations/fedreg/2019/05/28/2019-09472.htmlProposed Rule - Amendments to Financial Disclosures About Acquired and Disposed Businesses2019-05-28T00:00:00-07:002019-05-28T00:00:00-07:002019-09472Proposed Rulehttps://www.govinfo.gov/content/pkg/FR-2019-05-28/pdf/2019-09472.pdfhttps://regulations.justia.com/regulations/fedreg/2019/05/24/2019-10859.htmlNotice - Self-Regulatory Organizations; The Nasdaq Stock Market LLC; Notice of Filing of Amendment No. 1 and Order Granting Accelerated Approval of a Proposed Rule Change, as Modified by Amendment No. 1, To Adopt a New MIDP Routing Option Under Rule 4758 and Make Conforming Changes to Rule 4703(e)2019-05-24T00:00:00-07:002019-05-24T00:00:00-07:002019-10859Noticehttps://www.govinfo.gov/content/pkg/FR-2019-05-24/pdf/2019-10859.pdfhttps://regulations.justia.com/regulations/fedreg/2019/05/24/2019-10858.htmlNotice - Self-Regulatory Organizations; Cboe BZX Exchange, Inc.; Order Instituting Proceedings To Determine Whether To Approve or Disapprove a Proposed Rule Change To List and Trade Shares of the VanEck SolidX Bitcoin Trust2019-05-24T00:00:00-07:002019-05-24T00:00:00-07:002019-10858Noticehttps://www.govinfo.gov/content/pkg/FR-2019-05-24/pdf/2019-10858.pdfhttps://regulations.justia.com/regulations/fedreg/2019/05/24/2019-10844.htmlNotice - Submission for OMB Review; Comment Request2019-05-24T00:00:00-07:002019-05-24T00:00:00-07:002019-10844Noticehttps://www.govinfo.gov/content/pkg/FR-2019-05-24/pdf/2019-10844.pdfhttps://regulations.justia.com/regulations/fedreg/2019/05/24/2019-10843.htmlNotice - Submission for OMB Review; Comment Request2019-05-24T00:00:00-07:002019-05-24T00:00:00-07:002019-10843Noticehttps://www.govinfo.gov/content/pkg/FR-2019-05-24/pdf/2019-10843.pdfhttps://regulations.justia.com/regulations/fedreg/2019/05/24/2019-10842.htmlNotice - Submission for OMB Review; Comment Request2019-05-24T00:00:00-07:002019-05-24T00:00:00-07:002019-10842Noticehttps://www.govinfo.gov/content/pkg/FR-2019-05-24/pdf/2019-10842.pdfhttps://regulations.justia.com/regulations/fedreg/2019/05/24/2019-10016.htmlProposed Rule - Proposed Rule Amendments and Guidance Addressing Cross-Border Application of Certain Security-Based Swap Requirements2019-05-24T00:00:00-07:002019-05-24T00:00:00-07:002019-10016Proposed Rulehttps://www.govinfo.gov/content/pkg/FR-2019-05-24/pdf/2019-10016.pdfhttps://regulations.justia.com/regulations/fedreg/2019/05/23/2019-10810.htmlNotice - Fixed Income Market Structure Advisory Committee2019-05-23T00:00:00-07:002019-05-23T00:00:00-07:002019-10810Noticehttps://www.govinfo.gov/content/pkg/FR-2019-05-23/pdf/2019-10810.pdfhttps://regulations.justia.com/regulations/fedreg/2019/05/23/2019-10753.htmlNotice - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing of Proposed Rule Change Amending Section 302 of the Listed Company Manual To Provide Exemptions for the Issuers of Certain Categories of Securities From the Obligation To Hold Annual Shareholders' Meetings2019-05-23T00:00:00-07:002019-05-23T00:00:00-07:002019-10753Noticehttps://www.govinfo.gov/content/pkg/FR-2019-05-23/pdf/2019-10753.pdfhttps://regulations.justia.com/regulations/fedreg/2019/05/23/2019-10752.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 To Adopt a Higher Credit for the Tier 2 Pricing Tier2019-05-23T00:00:00-07:002019-05-23T00:00:00-07:002019-10752Noticehttps://www.govinfo.gov/content/pkg/FR-2019-05-23/pdf/2019-10752.pdfhttps://regulations.justia.com/regulations/fedreg/2019/05/23/2019-10751.htmlNotice - Self-Regulatory Organizations; NYSE National, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Its Schedule of Fees and Rebates2019-05-23T00:00:00-07:002019-05-23T00:00:00-07:002019-10751Noticehttps://www.govinfo.gov/content/pkg/FR-2019-05-23/pdf/2019-10751.pdfhttps://regulations.justia.com/regulations/fedreg/2019/05/23/2019-10750.htmlNotice - Self-Regulatory Organizations; Nasdaq ISE, LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Its Rules Governing the Give Up of a Clearing Member2019-05-23T00:00:00-07:002019-05-23T00:00:00-07:002019-10750Noticehttps://www.govinfo.gov/content/pkg/FR-2019-05-23/pdf/2019-10750.pdfhttps://regulations.justia.com/regulations/fedreg/2019/05/22/C1-2019-09019.htmlNotice - Self-Regulatory Organizations; Nasdaq PHLX LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Relocate the Floor Trading Rules to Options 82019-05-22T00:00:00-07:002019-05-22T00:00:00-07:00C1-2019-09019Noticehttps://www.govinfo.gov/content/pkg/FR-2019-05-22/pdf/C1-2019-09019.pdfhttps://regulations.justia.com/regulations/fedreg/2019/05/22/2019-10645.htmlNotice - Self-Regulatory Organizations; Cboe BZX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule To Amend the Fees Applicable to Securities Listed on the Exchange, Set Forth in BZX Rule 14.13, Company Listing Fees2019-05-22T00:00:00-07:002019-05-22T00:00:00-07:002019-10645Noticehttps://www.govinfo.gov/content/pkg/FR-2019-05-22/pdf/2019-10645.pdfhttps://regulations.justia.com/regulations/fedreg/2019/05/22/2019-10644.htmlNotice - Self-Regulatory Organizations; Cboe EDGX Exchange, Inc.; Notice of Designation of Longer Period for Commission Action on Proposed Rule Change To Introduce Retail Priority2019-05-22T00:00:00-07:002019-05-22T00:00:00-07:002019-10644Noticehttps://www.govinfo.gov/content/pkg/FR-2019-05-22/pdf/2019-10644.pdfhttps://regulations.justia.com/regulations/fedreg/2019/05/22/2019-10643.htmlNotice - Self-Regulatory Organizations; Nasdaq PHLX LLC; Notice of Filing of Proposed Rule Change Relating to the Allocation and Prioritization of Automatically Executed Trades2019-05-22T00:00:00-07:002019-05-22T00:00:00-07:002019-10643Noticehttps://www.govinfo.gov/content/pkg/FR-2019-05-22/pdf/2019-10643.pdfhttps://regulations.justia.com/regulations/fedreg/2019/05/22/2019-10642.htmlNotice - Self-Regulatory Organizations; NYSE American LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Modify Rule 961 and Conforming Changes to Rules 933NY and 995NY Governing the Give Up of a Clearing Broker2019-05-22T00:00:00-07:002019-05-22T00:00:00-07:002019-10642Noticehttps://www.govinfo.gov/content/pkg/FR-2019-05-22/pdf/2019-10642.pdfhttps://regulations.justia.com/regulations/fedreg/2019/05/22/2019-10641.htmlNotice - Self-Regulatory Organizations; NYSE American LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Allow $1 Strike Price Intervals Above $200 on Options on the QQQ and IWM Exchange-Traded Funds2019-05-22T00:00:00-07:002019-05-22T00:00:00-07:002019-10641Noticehttps://www.govinfo.gov/content/pkg/FR-2019-05-22/pdf/2019-10641.pdfhttps://regulations.justia.com/regulations/fedreg/2019/05/22/2019-10640.htmlNotice - Self-Regulatory Organizations; The Options Clearing Corporation; Order Approving Proposed Rule Change Related to The Options Clearing Corporation's Margin Methodology for Volatility Index Futures2019-05-22T00:00:00-07:002019-05-22T00:00:00-07:002019-10640Noticehttps://www.govinfo.gov/content/pkg/FR-2019-05-22/pdf/2019-10640.pdfhttps://regulations.justia.com/regulations/fedreg/2019/05/22/2019-10639.htmlNotice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Allow $1 Strike Price Intervals Above $200 on Options on the QQQ and IWM Exchange-Traded Funds2019-05-22T00:00:00-07:002019-05-22T00:00:00-07:002019-10639Noticehttps://www.govinfo.gov/content/pkg/FR-2019-05-22/pdf/2019-10639.pdfhttps://regulations.justia.com/regulations/fedreg/2019/05/22/2019-10638.htmlNotice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Modify Rule 6.15-O and Conforming Changes to Rule 6.46-O Governing the Give Up of a Clearing Broker2019-05-22T00:00:00-07:002019-05-22T00:00:00-07:002019-10638Noticehttps://www.govinfo.gov/content/pkg/FR-2019-05-22/pdf/2019-10638.pdfhttps://regulations.justia.com/regulations/fedreg/2019/05/21/2019-10649.htmlNotice - Sunshine Act Meetings2019-05-21T00:00:00-07:002019-05-21T00:00:00-07:002019-10649Noticehttps://www.govinfo.gov/content/pkg/FR-2019-05-21/pdf/2019-10649.pdfhttps://regulations.justia.com/regulations/fedreg/2019/05/21/2019-10523.htmlNotice - Self-Regulatory Organizations; The Options Clearing Corporation; Notice of No Objection to Advance Notice Related to The Options Clearing Corporation's Margin Methodology for Volatility Index Futures2019-05-21T00:00:00-07:002019-05-21T00:00:00-07:002019-10523Noticehttps://www.govinfo.gov/content/pkg/FR-2019-05-21/pdf/2019-10523.pdfhttps://regulations.justia.com/regulations/fedreg/2019/05/21/2019-10522.htmlNotice - Self-Regulatory Organizations; The Options Clearing Corporation; Notice of Filing of Advance Notice Related to the Introduction of a New Liquidation Cost Model in The Options Clearing Corporation's Margin Methodology2019-05-21T00:00:00-07:002019-05-21T00:00:00-07:002019-10522Noticehttps://www.govinfo.gov/content/pkg/FR-2019-05-21/pdf/2019-10522.pdfhttps://regulations.justia.com/regulations/fedreg/2019/05/21/2019-10516.htmlNotice - Self-Regulatory Organizations; Cboe BZX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the BZX Equities Fee Schedule To Correct an Inadvertent Drafting Error Introduced in a Previous Rule Filing2019-05-21T00:00:00-07:002019-05-21T00:00:00-07:002019-10516Noticehttps://www.govinfo.gov/content/pkg/FR-2019-05-21/pdf/2019-10516.pdfhttps://regulations.justia.com/regulations/fedreg/2019/05/21/2019-10515.htmlNotice - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Its Price List2019-05-21T00:00:00-07:002019-05-21T00:00:00-07:002019-10515Noticehttps://www.govinfo.gov/content/pkg/FR-2019-05-21/pdf/2019-10515.pdfhttps://regulations.justia.com/regulations/fedreg/2019/05/21/2019-10514.htmlNotice - Self-Regulatory Organizations; Cboe BZX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Allow the Main Sector Rotation ETF, a Series of the Northern Lights Fund Trust IV, To Hold Listed Options Contracts in a Manner That Does Not Comply With Rule 14.11(i), Managed Fund Shares2019-05-21T00:00:00-07:002019-05-21T00:00:00-07:002019-10514Noticehttps://www.govinfo.gov/content/pkg/FR-2019-05-21/pdf/2019-10514.pdfhttps://regulations.justia.com/regulations/fedreg/2019/05/21/2019-10513.htmlNotice - Self-Regulatory Organizations; Miami PEARL, LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Exchange Rule 404, Series of Option Contracts Open for Trading2019-05-21T00:00:00-07:002019-05-21T00:00:00-07:002019-10513Noticehttps://www.govinfo.gov/content/pkg/FR-2019-05-21/pdf/2019-10513.pdfhttps://regulations.justia.com/regulations/fedreg/2019/05/21/2019-10512.htmlNotice - Self-Regulatory Organizations; Nasdaq PHLX LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the Exchange's Transaction Fees at Equity 7, Section 3 To Adopt a Qualified Market Maker Program and a Related Credit, and To Modify Two Existing Fees2019-05-21T00:00:00-07:002019-05-21T00:00:00-07:002019-10512Noticehttps://www.govinfo.gov/content/pkg/FR-2019-05-21/pdf/2019-10512.pdfhttps://regulations.justia.com/regulations/fedreg/2019/05/21/2019-10511.htmlNotice - Nuveen Churchill BDC LLC, et al.2019-05-21T00:00:00-07:002019-05-21T00:00:00-07:002019-10511Noticehttps://www.govinfo.gov/content/pkg/FR-2019-05-21/pdf/2019-10511.pdfhttps://regulations.justia.com/regulations/fedreg/2019/05/21/2019-10510.htmlNotice - Self-Regulatory Organizations; Miami International Securities Exchange, LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Exchange Rule 404, Series of Option Contracts Open for Trading2019-05-21T00:00:00-07:002019-05-21T00:00:00-07:002019-10510Noticehttps://www.govinfo.gov/content/pkg/FR-2019-05-21/pdf/2019-10510.pdfhttps://regulations.justia.com/regulations/fedreg/2019/05/21/2019-10509.htmlNotice - Self-Regulatory Organizations; NYSE Arca, Inc.; Order Instituting Proceedings To Determine Whether To Approve or Disapprove a 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-E2019-05-21T00:00:00-07:002019-05-21T00:00:00-07:002019-10509Noticehttps://www.govinfo.gov/content/pkg/FR-2019-05-21/pdf/2019-10509.pdfhttps://regulations.justia.com/regulations/fedreg/2019/05/21/2019-10508.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)2019-05-21T00:00:00-07:002019-05-21T00:00:00-07:002019-10508Noticehttps://www.govinfo.gov/content/pkg/FR-2019-05-21/pdf/2019-10508.pdfhttps://regulations.justia.com/regulations/fedreg/2019/05/21/2019-10351.htmlNotice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing of Amendment No. 1 and Order Instituting Proceedings To Determine Whether To Approve or Disapprove a Proposed Rule Change, as Modified by Amendment No. 1, Relating to the Listing and Trading of Shares of the Bitwise Bitcoin ETF Trust2019-05-21T00:00:00-07:002019-05-21T00:00:00-07:002019-10351Noticehttps://www.govinfo.gov/content/pkg/FR-2019-05-21/pdf/2019-10351.pdfhttps://regulations.justia.com/regulations/fedreg/2019/05/20/2019-10352.htmlNotice - Self-Regulatory Organizations; Cboe C2 Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Add Certain Fees Related to the Listing and Trading of Options Contracts on the Dow Jones Industrial Average Index (“DJX”)2019-05-20T00:00:00-07:002019-05-20T00:00:00-07:002019-10352Noticehttps://www.govinfo.gov/content/pkg/FR-2019-05-20/pdf/2019-10352.pdfhttps://regulations.justia.com/regulations/fedreg/2019/05/20/2019-10350.htmlNotice - Self-Regulatory Organizations; Cboe EDGX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the Fee Schedule2019-05-20T00:00:00-07:002019-05-20T00:00:00-07:002019-10350Noticehttps://www.govinfo.gov/content/pkg/FR-2019-05-20/pdf/2019-10350.pdfhttps://regulations.justia.com/regulations/fedreg/2019/05/17/2019-10234.htmlNotice - Proposed Collection; Comment Request2019-05-17T00:00:00-07:002019-05-17T00:00:00-07:002019-10234Noticehttps://www.govinfo.gov/content/pkg/FR-2019-05-17/pdf/2019-10234.pdfhttps://regulations.justia.com/regulations/fedreg/2019/05/17/2019-10228.htmlNotice - Self-Regulatory Organizations; Cboe EDGA Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the EDGA Equities Trading Platform Fee Schedule2019-05-17T00:00:00-07:002019-05-17T00:00:00-07:002019-10228Noticehttps://www.govinfo.gov/content/pkg/FR-2019-05-17/pdf/2019-10228.pdfhttps://regulations.justia.com/regulations/fedreg/2019/05/17/2019-10227.htmlNotice - Self-Regulatory Organizations; ICE Clear Europe Limited; Notice of Filing of Proposed Rule Change, Security-Based Swap Submission or Advance Notice Relating to amendments to the ICE Clear Europe Clearing Rules (the “Rules”)2019-05-17T00:00:00-07:002019-05-17T00:00:00-07:002019-10227Noticehttps://www.govinfo.gov/content/pkg/FR-2019-05-17/pdf/2019-10227.pdfhttps://regulations.justia.com/regulations/fedreg/2019/05/17/2019-10226.htmlNotice - Self-Regulatory Organizations; Cboe BZX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Its Fee Schedule2019-05-17T00:00:00-07:002019-05-17T00:00:00-07:002019-10226Noticehttps://www.govinfo.gov/content/pkg/FR-2019-05-17/pdf/2019-10226.pdfhttps://regulations.justia.com/regulations/fedreg/2019/05/17/2019-10225.htmlNotice - Self-Regulatory Organizations; Cboe BZX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Delay the Operative Date of Rule Change Pursuant to SR-CboeBZX-2019-0252019-05-17T00:00:00-07:002019-05-17T00:00:00-07:002019-10225Noticehttps://www.govinfo.gov/content/pkg/FR-2019-05-17/pdf/2019-10225.pdfhttps://regulations.justia.com/regulations/fedreg/2019/05/17/2019-10224.htmlNotice - Self-Regulatory Organizations; The Nasdaq Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the Exchange's Pricing Schedule in Options 7, Section 22019-05-17T00:00:00-07:002019-05-17T00:00:00-07:002019-10224Noticehttps://www.govinfo.gov/content/pkg/FR-2019-05-17/pdf/2019-10224.pdfhttps://regulations.justia.com/regulations/fedreg/2019/05/16/2019-10125.htmlNotice - Self-Regulatory Organizations; Cboe EDGX Exchange, Inc.; Notice of Filing of a Proposed Rule Change To Adopt Rule 21.22 (Complex Automated Improvement Mechanism)2019-05-16T00:00:00-07:002019-05-16T00:00:00-07:002019-10125Noticehttps://www.govinfo.gov/content/pkg/FR-2019-05-16/pdf/2019-10125.pdfhttps://regulations.justia.com/regulations/fedreg/2019/05/16/2019-10124.htmlNotice - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Designation of a Longer Period for Commission Action on a Proposed Rule Change To Amend Exchange Rules 104 and 36 To Require Designated Market Makers To Communicate With a Designed Senior Representative of the Issuers of the DMM's Assigned Securities2019-05-16T00:00:00-07:002019-05-16T00:00:00-07:002019-10124Noticehttps://www.govinfo.gov/content/pkg/FR-2019-05-16/pdf/2019-10124.pdfhttps://regulations.justia.com/regulations/fedreg/2019/05/16/2019-10123.htmlNotice - Self-Regulatory Organizations; Cboe BZX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the Fee Schedule Applicable to the BZX Equities Trading Platform (“BZX Equities”) as It Relates to Pricing for the Use of the TRIM Routing Strategy2019-05-16T00:00:00-07:002019-05-16T00:00:00-07:002019-10123Noticehttps://www.govinfo.gov/content/pkg/FR-2019-05-16/pdf/2019-10123.pdfhttps://regulations.justia.com/regulations/fedreg/2019/05/16/2019-10121.htmlNotice - Self-Regulatory Organizations; Cboe EDGA Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Related To Amending its Fee Schedule Assessed on Members To Establish a Monthly Trading Rights Fee2019-05-16T00:00:00-07:002019-05-16T00:00:00-07:002019-10121Noticehttps://www.govinfo.gov/content/pkg/FR-2019-05-16/pdf/2019-10121.pdfhttps://regulations.justia.com/regulations/fedreg/2019/05/16/2019-10120.htmlNotice - Self-Regulatory Organizations; Cboe BYX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Related To Amending its Fee Schedule Assessed on Members To Establish a Monthly Trading Rights Fee2019-05-16T00:00:00-07:002019-05-16T00:00:00-07:002019-10120Noticehttps://www.govinfo.gov/content/pkg/FR-2019-05-16/pdf/2019-10120.pdfhttps://regulations.justia.com/regulations/fedreg/2019/05/16/2019-10119.htmlNotice - Self-Regulatory Organizations; Cboe BZX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Related to Amending Its Fee Schedule Assessed on Members To Establish a Monthly Trading Rights Fee2019-05-16T00:00:00-07:002019-05-16T00:00:00-07:002019-10119Noticehttps://www.govinfo.gov/content/pkg/FR-2019-05-16/pdf/2019-10119.pdfhttps://regulations.justia.com/regulations/fedreg/2019/05/16/2019-10118.htmlNotice - Self-Regulatory Organizations; MIAX Emerald, LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Adopt System Connectivity Fees2019-05-16T00:00:00-07:002019-05-16T00:00:00-07:002019-10118Noticehttps://www.govinfo.gov/content/pkg/FR-2019-05-16/pdf/2019-10118.pdfhttps://regulations.justia.com/regulations/fedreg/2019/05/16/2019-10117.htmlNotice - Self-Regulatory Organizations; Cboe EDGX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Related to Amending its Fee Schedule Assessed on Members To Establish a Monthly Trading Rights Fee2019-05-16T00:00:00-07:002019-05-16T00:00:00-07:002019-10117Noticehttps://www.govinfo.gov/content/pkg/FR-2019-05-16/pdf/2019-10117.pdfhttps://regulations.justia.com/regulations/fedreg/2019/05/16/2019-10116.htmlNotice - Self-Regulatory Organizations; MIAX PEARL, LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the MIAX PEARL Fee Schedule2019-05-16T00:00:00-07:002019-05-16T00:00:00-07:002019-10116Noticehttps://www.govinfo.gov/content/pkg/FR-2019-05-16/pdf/2019-10116.pdfhttps://regulations.justia.com/regulations/fedreg/2019/05/16/2019-10115.htmlNotice - Self-Regulatory Organizations; Miami International Securities Exchange LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Its Fee Schedule2019-05-16T00:00:00-07:002019-05-16T00:00:00-07:002019-10115Noticehttps://www.govinfo.gov/content/pkg/FR-2019-05-16/pdf/2019-10115.pdfhttps://regulations.justia.com/regulations/fedreg/2019/05/16/2019-10114.htmlNotice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Designation of a Longer Period for Commission Action on a Proposed Rule Change Relating to Certain Changes Regarding Investments of the PGIM Ultra Short Bond ETF Under NYSE Arca Rule 8.600-E2019-05-16T00:00:00-07:002019-05-16T00:00:00-07:002019-10114Noticehttps://www.govinfo.gov/content/pkg/FR-2019-05-16/pdf/2019-10114.pdfhttps://regulations.justia.com/regulations/fedreg/2019/05/16/2019-10113.htmlNotice - Self-Regulatory Organizations; Cboe BYX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the Fee Schedule Applicable to the BYX Equities Trading Platform (“BYX Equities”) as it Relates to Pricing for the Use of the TRIM Routing Strategy2019-05-16T00:00:00-07:002019-05-16T00:00:00-07:002019-10113Noticehttps://www.govinfo.gov/content/pkg/FR-2019-05-16/pdf/2019-10113.pdfhttps://regulations.justia.com/regulations/fedreg/2019/05/16/2019-10103.htmlNotice - Collaborative Investment Series Trust and Belpointe Asset Management, LLC2019-05-16T00:00:00-07:002019-05-16T00:00:00-07:002019-10103Noticehttps://www.govinfo.gov/content/pkg/FR-2019-05-16/pdf/2019-10103.pdfhttps://regulations.justia.com/regulations/fedreg/2019/05/15/2019-10037.htmlNotice - In the Matter of the Application of Long Term Stock Exchange, Inc.; for Registration as a National Securities Exchange; Findings, Opinion, and Order of the Commission2019-05-15T00:00:00-07:002019-05-15T00:00:00-07:002019-10037Noticehttps://www.govinfo.gov/content/pkg/FR-2019-05-15/pdf/2019-10037.pdfhttps://regulations.justia.com/regulations/fedreg/2019/05/15/2019-09967.htmlNotice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Modify the NYSE Arca Options Fee Schedule2019-05-15T00:00:00-07:002019-05-15T00:00:00-07:002019-09967Noticehttps://www.govinfo.gov/content/pkg/FR-2019-05-15/pdf/2019-09967.pdfhttps://regulations.justia.com/regulations/fedreg/2019/05/15/2019-09966.htmlNotice - Self-Regulatory Organizations; Nasdaq BX, Inc.; Notice of Filing of Proposed Rule Change To Make Permanent the Pilot Program for the Exchange's Retail Price Improvement Program, Which Is Set To Expire on June 30, 20192019-05-15T00:00:00-07:002019-05-15T00:00:00-07:002019-09966Noticehttps://www.govinfo.gov/content/pkg/FR-2019-05-15/pdf/2019-09966.pdfhttps://regulations.justia.com/regulations/fedreg/2019/05/15/2019-09965.htmlNotice - Self-Regulatory Organizations; Cboe Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Its Fee Schedule To Adopt Reduced Subscription Fees for Academics for the Sale of Historical Cboe Open-Close Volume Data2019-05-15T00:00:00-07:002019-05-15T00:00:00-07:002019-09965Noticehttps://www.govinfo.gov/content/pkg/FR-2019-05-15/pdf/2019-09965.pdfhttps://regulations.justia.com/regulations/fedreg/2019/05/15/2019-09964.htmlNotice - Self-Regulatory Organizations; The Nasdaq Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the Equity 7 Pricing Schedule, Sections 112, 123, 135, 146, 155 and 1582019-05-15T00:00:00-07:002019-05-15T00:00:00-07:002019-09964Noticehttps://www.govinfo.gov/content/pkg/FR-2019-05-15/pdf/2019-09964.pdfhttps://regulations.justia.com/regulations/fedreg/2019/05/15/2019-09961.htmlNotice - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing of Proposed Rule Change To Amend Section 703.18 of the Listed Company Manual To Permit the Listing of Event-Based Contingent Value Rights and Make Other Changes to the Listing Standards for Contingent Value Rights2019-05-15T00:00:00-07:002019-05-15T00:00:00-07:002019-09961Noticehttps://www.govinfo.gov/content/pkg/FR-2019-05-15/pdf/2019-09961.pdfhttps://regulations.justia.com/regulations/fedreg/2019/05/14/2019-09871.htmlNotice - Self-Regulatory Organizations; The Nasdaq Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Remove the Exchange's Current Primary Contingency Procedure From the Exchange's Rule Book2019-05-14T00:00:00-07:002019-05-14T00:00:00-07:002019-09871Noticehttps://www.govinfo.gov/content/pkg/FR-2019-05-14/pdf/2019-09871.pdfhttps://regulations.justia.com/regulations/fedreg/2019/05/14/2019-09869.htmlNotice - Self-Regulatory Organizations; BOX Exchange LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Adopt BOX Rule 7620 (Accommodation Transactions) Establishing Cabinet Trading on the Exchange's Trading Floor2019-05-14T00:00:00-07:002019-05-14T00:00:00-07:002019-09869Noticehttps://www.govinfo.gov/content/pkg/FR-2019-05-14/pdf/2019-09869.pdfhttps://regulations.justia.com/regulations/fedreg/2019/05/14/2019-09867.htmlNotice - Self-Regulatory Organizations; MIAX PEARL, LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the MIAX PEARL Fee Schedule2019-05-14T00:00:00-07:002019-05-14T00:00:00-07:002019-09867Noticehttps://www.govinfo.gov/content/pkg/FR-2019-05-14/pdf/2019-09867.pdfhttps://regulations.justia.com/regulations/fedreg/2019/05/14/2019-09860.htmlNotice - Self-Regulatory Organizations; Cboe BZX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To List And Trade Under BZX Rule 14.11(c)(4) the Shares of the iShares iBonds 2021 Term High Yield and Income ETF, iShares iBonds 2022 Term High Yield and Income ETF, iShares iBonds 2023 Term High Yield and Income ETF, iShares iBonds 2024 Term High Yield and Income ETF, and iShares iBonds 2025 Term High Yield and Income ETF of iShares Trust2019-05-14T00:00:00-07:002019-05-14T00:00:00-07:002019-09860Noticehttps://www.govinfo.gov/content/pkg/FR-2019-05-14/pdf/2019-09860.pdfhttps://regulations.justia.com/regulations/fedreg/2019/05/14/2019-09859.htmlNotice - Self-Regulatory Organizations; Miami International Securities Exchange LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Its Fee Schedule2019-05-14T00:00:00-07:002019-05-14T00:00:00-07:002019-09859Noticehttps://www.govinfo.gov/content/pkg/FR-2019-05-14/pdf/2019-09859.pdfhttps://regulations.justia.com/regulations/fedreg/2019/05/14/2019-09843.htmlNotice - Ellington Income Opportunities Fund, et al.2019-05-14T00:00:00-07:002019-05-14T00:00:00-07:002019-09843Noticehttps://www.govinfo.gov/content/pkg/FR-2019-05-14/pdf/2019-09843.pdfhttps://regulations.justia.com/regulations/fedreg/2019/05/13/2019-09894.htmlNotice - Sunshine Act Meetings2019-05-13T00:00:00-07:002019-05-13T00:00:00-07:002019-09894Noticehttps://www.govinfo.gov/content/pkg/FR-2019-05-13/pdf/2019-09894.pdfhttps://regulations.justia.com/regulations/fedreg/2019/05/13/2019-09801.htmlNotice - Proposed Collection; Comment Request2019-05-13T00:00:00-07:002019-05-13T00:00:00-07:002019-09801Noticehttps://www.govinfo.gov/content/pkg/FR-2019-05-13/pdf/2019-09801.pdfhttps://regulations.justia.com/regulations/fedreg/2019/05/13/2019-09800.htmlNotice - Toroso Investments, LLC and Tidal ETF Trust; Notice of Application2019-05-13T00:00:00-07:002019-05-13T00:00:00-07:002019-09800Noticehttps://www.govinfo.gov/content/pkg/FR-2019-05-13/pdf/2019-09800.pdfhttps://regulations.justia.com/regulations/fedreg/2019/05/13/2019-09799.htmlNotice - Proposed Collection; Comment Request2019-05-13T00:00:00-07:002019-05-13T00:00:00-07:002019-09799Noticehttps://www.govinfo.gov/content/pkg/FR-2019-05-13/pdf/2019-09799.pdfhttps://regulations.justia.com/regulations/fedreg/2019/05/13/2019-09798.htmlNotice - Proposed Collection; Comment Request2019-05-13T00:00:00-07:002019-05-13T00:00:00-07:002019-09798Noticehttps://www.govinfo.gov/content/pkg/FR-2019-05-13/pdf/2019-09798.pdfhttps://regulations.justia.com/regulations/fedreg/2019/05/13/2019-09797.htmlNotice - Proposed Collection; Comment Request2019-05-13T00:00:00-07:002019-05-13T00:00:00-07:002019-09797Noticehttps://www.govinfo.gov/content/pkg/FR-2019-05-13/pdf/2019-09797.pdfhttps://regulations.justia.com/regulations/fedreg/2019/05/13/2019-09729.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 Opening Process and Add a Global Trading Hours Session for XSP Options2019-05-13T00:00:00-07:002019-05-13T00:00:00-07:002019-09729Noticehttps://www.govinfo.gov/content/pkg/FR-2019-05-13/pdf/2019-09729.pdfhttps://regulations.justia.com/regulations/fedreg/2019/05/13/2019-09728.htmlNotice - Self-Regulatory Organizations; Cboe BZX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Amending Rule 11.13 (Order Execution and Routing) and the Fee Schedule To Delete References to the TRIM2 and SWPB Routing Options2019-05-13T00:00:00-07:002019-05-13T00:00:00-07:002019-09728Noticehttps://www.govinfo.gov/content/pkg/FR-2019-05-13/pdf/2019-09728.pdfhttps://regulations.justia.com/regulations/fedreg/2019/05/13/2019-09727.htmlNotice - Self-Regulatory Organizations; Cboe BYX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Amending Rule 11.13 (Order Execution and Routing) and Fee Schedule To Delete References to TRIM2 and SWPB Routing Options2019-05-13T00:00:00-07:002019-05-13T00:00:00-07:002019-09727Noticehttps://www.govinfo.gov/content/pkg/FR-2019-05-13/pdf/2019-09727.pdfhttps://regulations.justia.com/regulations/fedreg/2019/05/13/2019-09726.htmlNotice - Self-Regulatory Organizations; Cboe EDGX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to Amend Rule 11.11 and Rule 11.16, as Well as Its Fee Schedule, To Delete References to the SWPB Routing Option2019-05-13T00:00:00-07:002019-05-13T00:00:00-07:002019-09726Noticehttps://www.govinfo.gov/content/pkg/FR-2019-05-13/pdf/2019-09726.pdfhttps://regulations.justia.com/regulations/fedreg/2019/05/13/2019-09725.htmlNotice - Self-Regulatory Organizations; Cboe EDGA Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating To Amend Rule 11.11 and Rule 11.16, as Well as Its Fee Schedule, To Delete References to the SWPB Routing Option2019-05-13T00:00:00-07:002019-05-13T00:00:00-07:002019-09725Noticehttps://www.govinfo.gov/content/pkg/FR-2019-05-13/pdf/2019-09725.pdfhttps://regulations.justia.com/regulations/fedreg/2019/05/13/2019-09724.htmlNotice - Self-Regulatory Organizations; BOX Exchange LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Modify the Criteria for Listing an Option on an Underlying Covered Security2019-05-13T00:00:00-07:002019-05-13T00:00:00-07:002019-09724Noticehttps://www.govinfo.gov/content/pkg/FR-2019-05-13/pdf/2019-09724.pdfhttps://regulations.justia.com/regulations/fedreg/2019/05/13/2019-09721.htmlNotice - ALPS Variable Investment Trust, et al.2019-05-13T00:00:00-07:002019-05-13T00:00:00-07:002019-09721Noticehttps://www.govinfo.gov/content/pkg/FR-2019-05-13/pdf/2019-09721.pdfhttps://regulations.justia.com/regulations/fedreg/2019/05/10/2019-09634.htmlNotice - Self-Regulatory Organizations; Cboe C2 Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the Exchange's Opening Process and Add a Global Trading Hours Session for DJX Options2019-05-10T00:00:00-07:002019-05-10T00:00:00-07:002019-09634Noticehttps://www.govinfo.gov/content/pkg/FR-2019-05-10/pdf/2019-09634.pdfhttps://regulations.justia.com/regulations/fedreg/2019/05/10/2019-09633.htmlNotice - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Order Approving a Proposed Rule Change To Expand Time for Non-Parties To Respond to Arbitration Subpoenas and Orders of Appearance of Witnesses or Production of Documents2019-05-10T00:00:00-07:002019-05-10T00:00:00-07:002019-09633Noticehttps://www.govinfo.gov/content/pkg/FR-2019-05-10/pdf/2019-09633.pdfhttps://regulations.justia.com/regulations/fedreg/2019/05/10/2019-09632.htmlNotice - Self-Regulatory Organizations; ICE Clear Europe Limited; Notice of Filing of Proposed Rule Change Relating to the ICE Clear Europe Operational Risk Management Policy (“ORM Policy”)2019-05-10T00:00:00-07:002019-05-10T00:00:00-07:002019-09632Noticehttps://www.govinfo.gov/content/pkg/FR-2019-05-10/pdf/2019-09632.pdfhttps://regulations.justia.com/regulations/fedreg/2019/05/10/2019-09630.htmlNotice - Self-Regulatory Organizations; The Options Clearing Corporation; Order Approving Proposed Rule Change To Require That an Actionable Identifier Be Included on Customer and Non-Customer Securities Options Trades Other Than Market Maker Trades2019-05-10T00:00:00-07:002019-05-10T00:00:00-07:002019-09630Noticehttps://www.govinfo.gov/content/pkg/FR-2019-05-10/pdf/2019-09630.pdfhttps://regulations.justia.com/regulations/fedreg/2019/05/10/2019-09629.htmlNotice - Self-Regulatory Organizations; MIAX Emerald, LLC; Notice of Filing of a Proposed Rule Change To Amend Exchange Rule 515A Concerning the PRIME Price Improvement and Solicitation Mechanisms and Rules 516 and 517 Regarding Post-Only Orders and Post-Only Quotes2019-05-10T00:00:00-07:002019-05-10T00:00:00-07:002019-09629Noticehttps://www.govinfo.gov/content/pkg/FR-2019-05-10/pdf/2019-09629.pdfhttps://regulations.justia.com/regulations/fedreg/2019/05/09/2019-09510.htmlNotice - Self-Regulatory Organizations; ICE Clear Europe Limited; Order Approving Proposed Rule Change Relating to Amendments to the CDS Risk Management Model Description2019-05-09T00:00:00-07:002019-05-09T00:00:00-07:002019-09510Noticehttps://www.govinfo.gov/content/pkg/FR-2019-05-09/pdf/2019-09510.pdfhttps://regulations.justia.com/regulations/fedreg/2019/05/09/2019-09509.htmlNotice - Self-Regulatory Organizations; Cboe BZX Exchange, Inc.; Notice of Designation of a Longer Period for Commission Action on a Proposed Rule Change To List and Trade Units of Each of (i) Cboe Vest S&P 500® Buffer Enhanced Growth Protect Strategy ETNs; (ii) Cboe Vest S&P 500® Enhanced Growth Strategy ETNs; (iii) Cboe Vest S&P 500® Accelerated Return Strategy ETNs; and (iv) Cboe Vest S&P 500® Power Buffer Strategy ETNs Under Rule 14.11(d), Equity Index-Linked Securities2019-05-09T00:00:00-07:002019-05-09T00:00:00-07:002019-09509Noticehttps://www.govinfo.gov/content/pkg/FR-2019-05-09/pdf/2019-09509.pdfhttps://regulations.justia.com/regulations/fedreg/2019/05/09/2019-09508.htmlNotice - Self-Regulatory Organizations; Miami International Securities Exchange, LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Exchange Rule 100, Definitions, Rule 200, Trading Permits, Rule 402, Criteria for Underlying Securities, Rule 403, Withdrawal of Approval of Underlying Securities and Rule 519, MIAX Order Monitor2019-05-09T00:00:00-07:002019-05-09T00:00:00-07:002019-09508Noticehttps://www.govinfo.gov/content/pkg/FR-2019-05-09/pdf/2019-09508.pdfhttps://regulations.justia.com/regulations/fedreg/2019/05/09/2019-09507.htmlNotice - Self-Regulatory Organizations; Miami PEARL, LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Exchange Rule 100, Definitions, Rule 200, Trading Permits, Chapter III, Business Conduct, Rule 506, Collection and Dissemination of Quotations, Chapter VII, Exercises and Deliveries, Chapter VIII, Records, Reports and Audits, Chapter IX, Summary Suspension, Chapter XI, Hearings, Review and Arbitration, Chapter XIII, Doing Business With The Public, Chapter XIV, Order Protection, Locked and Crossed Markets, Chapter XV, Margins, Chapter XVI, Net Capital Requirements, Chapter XVII, Consolidated Audit Trail Compliance Rule and Chapter XVIII, Index Options2019-05-09T00:00:00-07:002019-05-09T00:00:00-07:002019-09507Noticehttps://www.govinfo.gov/content/pkg/FR-2019-05-09/pdf/2019-09507.pdfhttps://regulations.justia.com/regulations/fedreg/2019/05/09/2019-09506.htmlNotice - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing of Proposed Rule Change, as Modified by Amendment No. 1, To Amend Rule 7.31 To Add a New Order Type, Capital Commitment Order, and Make Related Changes to Rules 7.16, 7.34, 7.36, and 7.372019-05-09T00:00:00-07:002019-05-09T00:00:00-07:002019-09506Noticehttps://www.govinfo.gov/content/pkg/FR-2019-05-09/pdf/2019-09506.pdfhttps://regulations.justia.com/regulations/fedreg/2019/05/08/2019-09375.htmlNotice - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Update the FINRA Manual To Reflect FINRA's New Subsidiary, FINRA CAT, LLC2019-05-08T00:00:00-07:002019-05-08T00:00:00-07:002019-09375Noticehttps://www.govinfo.gov/content/pkg/FR-2019-05-08/pdf/2019-09375.pdfhttps://regulations.justia.com/regulations/fedreg/2019/05/08/2019-09374.htmlNotice - Self-Regulatory Organizations; Nasdaq PHLX LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Delete and Relocate the Exchange's Current Registration, Qualification and Continuing Education Rules2019-05-08T00:00:00-07:002019-05-08T00:00:00-07:002019-09374Noticehttps://www.govinfo.gov/content/pkg/FR-2019-05-08/pdf/2019-09374.pdfhttps://regulations.justia.com/regulations/fedreg/2019/05/08/2019-09373.htmlNotice - Self-Regulatory Organizations; Cboe BZX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To List and Trade Under BZX Rule 14.11(d)(2)(K)(i) Shares of the iPath S&P MLP ETN Issued by Barclays Bank PLC2019-05-08T00:00:00-07:002019-05-08T00:00:00-07:002019-09373Noticehttps://www.govinfo.gov/content/pkg/FR-2019-05-08/pdf/2019-09373.pdfhttps://regulations.justia.com/regulations/fedreg/2019/05/08/2019-09372.htmlNotice - Self-Regulatory Organizations; LCH SA; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to the Extension of the Onboarding Fee Waiver and Introduction of a Fee Rebate Scheme for CDSClear Index Swaptions Clearing Activities2019-05-08T00:00:00-07:002019-05-08T00:00:00-07:002019-09372Noticehttps://www.govinfo.gov/content/pkg/FR-2019-05-08/pdf/2019-09372.pdfhttps://regulations.justia.com/regulations/fedreg/2019/05/07/2019-09403.htmlNotice - Sunshine Act Meetings2019-05-07T00:00:00-07:002019-05-07T00:00:00-07:002019-09403Noticehttps://www.govinfo.gov/content/pkg/FR-2019-05-07/pdf/2019-09403.pdfhttps://regulations.justia.com/regulations/fedreg/2019/05/07/2019-09391.htmlNotice - Sunshine Act Meetings2019-05-07T00:00:00-07:002019-05-07T00:00:00-07:002019-09391Noticehttps://www.govinfo.gov/content/pkg/FR-2019-05-07/pdf/2019-09391.pdfhttps://regulations.justia.com/regulations/fedreg/2019/05/07/2019-09334.htmlNotice - Carillon Series Trust, et al.; Notice of Application2019-05-07T00:00:00-07:002019-05-07T00:00:00-07:002019-09334Noticehttps://www.govinfo.gov/content/pkg/FR-2019-05-07/pdf/2019-09334.pdfhttps://regulations.justia.com/regulations/fedreg/2019/05/07/2019-09293.htmlNotice - Proposed Collection; Comment Request2019-05-07T00:00:00-07:002019-05-07T00:00:00-07:002019-09293Noticehttps://www.govinfo.gov/content/pkg/FR-2019-05-07/pdf/2019-09293.pdfhttps://regulations.justia.com/regulations/fedreg/2019/05/07/2019-09290.htmlNotice - Proposed Collection; Comment Request2019-05-07T00:00:00-07:002019-05-07T00:00:00-07:002019-09290Noticehttps://www.govinfo.gov/content/pkg/FR-2019-05-07/pdf/2019-09290.pdfhttps://regulations.justia.com/regulations/fedreg/2019/05/07/2019-09288.htmlNotice - Submission for OMB Review; Comment Request2019-05-07T00:00:00-07:002019-05-07T00:00:00-07:002019-09288Noticehttps://www.govinfo.gov/content/pkg/FR-2019-05-07/pdf/2019-09288.pdfhttps://regulations.justia.com/regulations/fedreg/2019/05/07/2019-09287.htmlNotice - Proposed Collection; Comment Request2019-05-07T00:00:00-07:002019-05-07T00:00:00-07:002019-09287Noticehttps://www.govinfo.gov/content/pkg/FR-2019-05-07/pdf/2019-09287.pdfhttps://regulations.justia.com/regulations/fedreg/2019/05/07/2019-09283.htmlNotice - Submission for OMB Review; Comment Request2019-05-07T00:00:00-07:002019-05-07T00:00:00-07:002019-09283Noticehttps://www.govinfo.gov/content/pkg/FR-2019-05-07/pdf/2019-09283.pdfhttps://regulations.justia.com/regulations/fedreg/2019/05/07/2019-09282.htmlNotice - Submission for OMB Review; Comment Request2019-05-07T00:00:00-07:002019-05-07T00:00:00-07:002019-09282Noticehttps://www.govinfo.gov/content/pkg/FR-2019-05-07/pdf/2019-09282.pdfhttps://regulations.justia.com/regulations/fedreg/2019/05/07/2019-09277.htmlNotice - Submission for OMB Review; Comment Request2019-05-07T00:00:00-07:002019-05-07T00:00:00-07:002019-09277Noticehttps://www.govinfo.gov/content/pkg/FR-2019-05-07/pdf/2019-09277.pdfhttps://regulations.justia.com/regulations/fedreg/2019/05/07/2019-09258.htmlNotice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Designation of a Longer Period for Commission Action on a Proposed Rule Change, as Modified by Amendment No. 1, To List and Trade Shares of the iShares Commodity Curve Carry Strategy ETF Under NYSE Arca Rule 8.600-E2019-05-07T00:00:00-07:002019-05-07T00:00:00-07:002019-09258Noticehttps://www.govinfo.gov/content/pkg/FR-2019-05-07/pdf/2019-09258.pdfhttps://regulations.justia.com/regulations/fedreg/2019/05/06/2019-09148.htmlNotice - Self-Regulatory Organizations; Cboe Exchange, Inc.; Order Approving a Proposed Rule Change To Allow $1 Strike Price Intervals Above $200 on Options on the QQQ and IWM Exchange-Traded Funds2019-05-06T00:00:00-07:002019-05-06T00:00:00-07:002019-09148Noticehttps://www.govinfo.gov/content/pkg/FR-2019-05-06/pdf/2019-09148.pdfhttps://regulations.justia.com/regulations/fedreg/2019/05/06/2019-09147.htmlNotice - Self-Regulatory Organizations; The Options Clearing Corporation; Notice of Filing of Proposed Rule Change Related to the Introduction of a New Liquidation Cost Model in The Options Clearing Corporation's Margin Methodology2019-05-06T00:00:00-07:002019-05-06T00:00:00-07:002019-09147Noticehttps://www.govinfo.gov/content/pkg/FR-2019-05-06/pdf/2019-09147.pdfhttps://regulations.justia.com/regulations/fedreg/2019/05/06/2019-09146.htmlNotice - Self-Regulatory Organizations; Municipal Securities Rulemaking Board; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Eliminate MSRB Rule G-29, on Availability of Board Rules2019-05-06T00:00:00-07:002019-05-06T00:00:00-07:002019-09146Noticehttps://www.govinfo.gov/content/pkg/FR-2019-05-06/pdf/2019-09146.pdfhttps://regulations.justia.com/regulations/fedreg/2019/05/03/2019-09145.htmlNotice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing of Proposed Rule Change To List and Trade Shares of the Virtus WMC Risk-Managed Alternative Equity ETF2019-05-03T00:00:00-07:002019-05-03T00:00:00-07:002019-09145Noticehttps://www.govinfo.gov/content/pkg/FR-2019-05-03/pdf/2019-09145.pdfhttps://regulations.justia.com/regulations/fedreg/2019/05/03/2019-09020.htmlNotice - Self-Regulatory Organizations; The Nasdaq Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Delay Implementation of the Early Order Imbalance Information Functionality2019-05-03T00:00:00-07:002019-05-03T00:00:00-07:002019-09020Noticehttps://www.govinfo.gov/content/pkg/FR-2019-05-03/pdf/2019-09020.pdfhttps://regulations.justia.com/regulations/fedreg/2019/05/03/2019-09019.htmlNotice - Self-Regulatory Organizations; Nasdaq PHLX LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Relocate the Floor Trading Rules to Options 82019-05-03T00:00:00-07:002019-05-03T00:00:00-07:002019-09019Noticehttps://www.govinfo.gov/content/pkg/FR-2019-05-03/pdf/2019-09019.pdfhttps://regulations.justia.com/regulations/fedreg/2019/05/03/2019-09018.htmlNotice - Self-Regulatory Organizations; The Nasdaq Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Rule 5702 Concerning an Issuer's Obligation To Disclose Material Information About the Issuer's Listed Non-Convertible Bonds2019-05-03T00:00:00-07:002019-05-03T00:00:00-07:002019-09018Noticehttps://www.govinfo.gov/content/pkg/FR-2019-05-03/pdf/2019-09018.pdfhttps://regulations.justia.com/regulations/fedreg/2019/05/03/2019-09017.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 Rebate2019-05-03T00:00:00-07:002019-05-03T00:00:00-07:002019-09017Noticehttps://www.govinfo.gov/content/pkg/FR-2019-05-03/pdf/2019-09017.pdfhttps://regulations.justia.com/regulations/fedreg/2019/05/02/2019-09040.htmlNotice - Sunshine Act Meetings2019-05-02T00:00:00-07:002019-05-02T00:00:00-07:002019-09040Noticehttps://www.govinfo.gov/content/pkg/FR-2019-05-02/pdf/2019-09040.pdfhttps://regulations.justia.com/regulations/fedreg/2019/05/02/2019-09039.htmlNotice - Sunshine Act Meetings2019-05-02T00:00:00-07:002019-05-02T00:00:00-07:002019-09039Noticehttps://www.govinfo.gov/content/pkg/FR-2019-05-02/pdf/2019-09039.pdfhttps://regulations.justia.com/regulations/fedreg/2019/05/02/2019-08922.htmlNotice - Self-Regulatory Organizations; NYSE Chicago, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Relating to Fingerprint-Based Background Checks of Directors, Officers, Employees and Others2019-05-02T00:00:00-07:002019-05-02T00:00:00-07:002019-08922Noticehttps://www.govinfo.gov/content/pkg/FR-2019-05-02/pdf/2019-08922.pdfhttps://regulations.justia.com/regulations/fedreg/2019/05/02/2019-08921.htmlNotice - Self-Regulatory Organizations; Nasdaq GEMX, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Delete the Exchange Registration Rules and Incorporate by Reference The Nasdaq Stock Market Rules at General 42019-05-02T00:00:00-07:002019-05-02T00:00:00-07:002019-08921Noticehttps://www.govinfo.gov/content/pkg/FR-2019-05-02/pdf/2019-08921.pdfhttps://regulations.justia.com/regulations/fedreg/2019/05/02/2019-08920.htmlNotice - Self-Regulatory Organizations; Cboe EDGX Exchange, Inc.; Notice of Designation of Longer Period for Commission Action on Proposed Rule Change, as Modified by Amendment No. 1, To Adopt Rule 21.21 (Solicitation Auction Mechanism)2019-05-02T00:00:00-07:002019-05-02T00:00:00-07:002019-08920Noticehttps://www.govinfo.gov/content/pkg/FR-2019-05-02/pdf/2019-08920.pdfhttps://regulations.justia.com/regulations/fedreg/2019/05/02/2019-08919.htmlNotice - Self-Regulatory Organizations; Cboe Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Rule 6.49A To Eliminate the Exchange's On-Floor Position Transfer Procedure2019-05-02T00:00:00-07:002019-05-02T00:00:00-07:002019-08919Noticehttps://www.govinfo.gov/content/pkg/FR-2019-05-02/pdf/2019-08919.pdfhttps://regulations.justia.com/regulations/fedreg/2019/05/02/2019-08918.htmlNotice - Self-Regulatory Organizations; NYSE American LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Rule 7.11E, Limit Up-Limit Down Plan and Trading Pauses in Individual Securities Due to Extraordinary Market Volatility2019-05-02T00:00:00-07:002019-05-02T00:00:00-07:002019-08918Noticehttps://www.govinfo.gov/content/pkg/FR-2019-05-02/pdf/2019-08918.pdfhttps://regulations.justia.com/regulations/fedreg/2019/05/02/2019-08917.htmlNotice - Self-Regulatory Organizations; Nasdaq MRX, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Delete the Exchange's Current Registration, Qualification and Continuing Education Rules2019-05-02T00:00:00-07:002019-05-02T00:00:00-07:002019-08917Noticehttps://www.govinfo.gov/content/pkg/FR-2019-05-02/pdf/2019-08917.pdfhttps://regulations.justia.com/regulations/fedreg/2019/05/02/2019-08914.htmlNotice - Self-Regulatory Organizations; Cboe BZX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating To Replace Obsolete Terminology2019-05-02T00:00:00-07:002019-05-02T00:00:00-07:002019-08914Noticehttps://www.govinfo.gov/content/pkg/FR-2019-05-02/pdf/2019-08914.pdfhttps://regulations.justia.com/regulations/fedreg/2019/05/02/2019-08913.htmlNotice - Self-Regulatory Organizations; Nasdaq ISE, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Delete the Exchange's Current Registration, Qualification and Continuing Education Rules2019-05-02T00:00:00-07:002019-05-02T00:00:00-07:002019-08913Noticehttps://www.govinfo.gov/content/pkg/FR-2019-05-02/pdf/2019-08913.pdfhttps://regulations.justia.com/regulations/fedreg/2019/05/02/2019-08912.htmlNotice - Self-Regulatory Organizations; Cboe Exchange, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Chapter 17 of the Cboe Options Rules2019-05-02T00:00:00-07:002019-05-02T00:00:00-07:002019-08912Noticehttps://www.govinfo.gov/content/pkg/FR-2019-05-02/pdf/2019-08912.pdfhttps://regulations.justia.com/regulations/fedreg/2019/05/02/2019-08911.htmlNotice - Self-Regulatory Organizations; Nasdaq BX, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Delete the Exchange's Current Registration, Qualification and Continuing Education Rules2019-05-02T00:00:00-07:002019-05-02T00:00:00-07:002019-08911Noticehttps://www.govinfo.gov/content/pkg/FR-2019-05-02/pdf/2019-08911.pdfhttps://regulations.justia.com/regulations/fedreg/2019/05/02/2019-08910.htmlNotice - Self-Regulatory Organizations; Cboe EDGX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating To Replace Obsolete Terminology2019-05-02T00:00:00-07:002019-05-02T00:00:00-07:002019-08910Noticehttps://www.govinfo.gov/content/pkg/FR-2019-05-02/pdf/2019-08910.pdfhttps://regulations.justia.com/regulations/fedreg/2019/05/02/2019-08885.htmlNotice - Notice of Applications for Deregistration Under Section 8(f) of the Investment Company Act of 19402019-05-02T00:00:00-07:002019-05-02T00:00:00-07:002019-08885Noticehttps://www.govinfo.gov/content/pkg/FR-2019-05-02/pdf/2019-08885.pdfhttps://regulations.justia.com/regulations/fedreg/2019/05/01/2019-08782.htmlNotice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Rule 7.11-E, Limit Up-Limit Down Plan and Trading Pauses in Individual Securities Due to Extraordinary Market Volatility2019-05-01T00:00:00-07:002019-05-01T00:00:00-07:002019-08782Noticehttps://www.govinfo.gov/content/pkg/FR-2019-05-01/pdf/2019-08782.pdfhttps://regulations.justia.com/regulations/fedreg/2019/05/01/2019-08781.htmlNotice - Self-Regulatory Organizations; NYSE Chicago, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Regarding New Rules on Hours of Business, Holidays and Trading Halts and Suspensions, and Amendment of Article 20, Rule 12019-05-01T00:00:00-07:002019-05-01T00:00:00-07:002019-08781Noticehttps://www.govinfo.gov/content/pkg/FR-2019-05-01/pdf/2019-08781.pdfhttps://regulations.justia.com/regulations/fedreg/2019/05/01/2019-08777.htmlNotice - Self-Regulatory Organizations; NYSE National, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Rule 7.11, Limit Up-Limit Down Plan and Trading Pauses in Individual Securities Due to Extraordinary Market Volatility2019-05-01T00:00:00-07:002019-05-01T00:00:00-07:002019-08777Noticehttps://www.govinfo.gov/content/pkg/FR-2019-05-01/pdf/2019-08777.pdfhttps://regulations.justia.com/regulations/fedreg/2019/05/01/2019-08776.htmlNotice - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Rules 7.11 and 80C, Limit Up-Limit Down Plan and Trading Pauses in Individual Securities Due to Extraordinary Market Volatility2019-05-01T00:00:00-07:002019-05-01T00:00:00-07:002019-08776Noticehttps://www.govinfo.gov/content/pkg/FR-2019-05-01/pdf/2019-08776.pdfhttps://regulations.justia.com/regulations/fedreg/2019/05/01/2019-08774.htmlNotice - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing of a Proposed Rule Change To Amend FINRA Rule 5110 (Corporate Financing Rule-Underwriting Terms and Arrangements) To Make Substantive, Organizational and Terminology Changes2019-05-01T00:00:00-07:002019-05-01T00:00:00-07:002019-08774Noticehttps://www.govinfo.gov/content/pkg/FR-2019-05-01/pdf/2019-08774.pdfhttps://regulations.justia.com/regulations/fedreg/2019/05/01/2019-08762.htmlNotice - Small Business Capital Formation Advisory Committee2019-05-01T00:00:00-07:002019-05-01T00:00:00-07:002019-08762Noticehttps://www.govinfo.gov/content/pkg/FR-2019-05-01/pdf/2019-08762.pdf