<![CDATA[Federal Register Recent Federal Regulation Documents - Justia Regulation Tracker - Justia Regulations Tracker]]> https://regulations.justia.com/regulations/fedreg/agencies/securities-and-exchange-commission/2019/05?registers=between&min-day=1&max-day=31 Sun, 28 Apr 2024 06:06:29 -0700 Sun, 28 Apr 2024 06:06:29 -0700 Justia Regulations Tracker Copyright 2011 Justia Inc. https://regulations.justia.com/images/justiafedregulations.gif <![CDATA[Federal Register Recent Federal Regulation Documents - Justia Regulation Tracker - Justia Regulations Tracker]]> https://regulations.justia.com/regulations/fedreg/agencies/securities-and-exchange-commission/2019/05?registers=between&min-day=1&max-day=31 Notice - Self-Regulatory Organizations; ICE Clear Credit LLC; Notice of Filing of Proposed Rule Change Relating to ICC's Stress Testing Framework https://regulations.justia.com/regulations/fedreg/2019/05/31/2019-11340.html https://regulations.justia.com/regulations/fedreg/2019/05/31/2019-11340.html Fri, 31 May 2019 00:00:00 -0700 2019-11340 Notice https://www.govinfo.gov/content/pkg/FR-2019-05-31/pdf/2019-11340.pdf Notice - Self-Regulatory Organizations; Nasdaq MRX, LLC; Order Approving a Proposed Rule Change To Adopt Complex Order Functionality https://regulations.justia.com/regulations/fedreg/2019/05/31/2019-11330.html https://regulations.justia.com/regulations/fedreg/2019/05/31/2019-11330.html Fri, 31 May 2019 00:00:00 -0700 2019-11330 Notice https://www.govinfo.gov/content/pkg/FR-2019-05-31/pdf/2019-11330.pdf Notice - 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 Index https://regulations.justia.com/regulations/fedreg/2019/05/31/2019-11323.html https://regulations.justia.com/regulations/fedreg/2019/05/31/2019-11323.html Fri, 31 May 2019 00:00:00 -0700 2019-11323 Notice https://www.govinfo.gov/content/pkg/FR-2019-05-31/pdf/2019-11323.pdf Notice - 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 Rules https://regulations.justia.com/regulations/fedreg/2019/05/31/2019-11322.html https://regulations.justia.com/regulations/fedreg/2019/05/31/2019-11322.html Fri, 31 May 2019 00:00:00 -0700 2019-11322 Notice https://www.govinfo.gov/content/pkg/FR-2019-05-31/pdf/2019-11322.pdf Notice - 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 Liquidity https://regulations.justia.com/regulations/fedreg/2019/05/31/2019-11320.html https://regulations.justia.com/regulations/fedreg/2019/05/31/2019-11320.html Fri, 31 May 2019 00:00:00 -0700 2019-11320 Notice https://www.govinfo.gov/content/pkg/FR-2019-05-31/pdf/2019-11320.pdf Notice - 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 Procedures https://regulations.justia.com/regulations/fedreg/2019/05/31/2019-11319.html https://regulations.justia.com/regulations/fedreg/2019/05/31/2019-11319.html Fri, 31 May 2019 00:00:00 -0700 2019-11319 Notice https://www.govinfo.gov/content/pkg/FR-2019-05-31/pdf/2019-11319.pdf Notice - 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 Plans https://regulations.justia.com/regulations/fedreg/2019/05/31/2019-11318.html https://regulations.justia.com/regulations/fedreg/2019/05/31/2019-11318.html Fri, 31 May 2019 00:00:00 -0700 2019-11318 Notice https://www.govinfo.gov/content/pkg/FR-2019-05-31/pdf/2019-11318.pdf Notice - Self-Regulatory Organizations; Cboe C2 Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating To Amend Rule 6.11 https://regulations.justia.com/regulations/fedreg/2019/05/30/2019-11238.html https://regulations.justia.com/regulations/fedreg/2019/05/30/2019-11238.html Thu, 30 May 2019 00:00:00 -0700 2019-11238 Notice https://www.govinfo.gov/content/pkg/FR-2019-05-30/pdf/2019-11238.pdf Notice - 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 Platform https://regulations.justia.com/regulations/fedreg/2019/05/30/2019-11237.html https://regulations.justia.com/regulations/fedreg/2019/05/30/2019-11237.html Thu, 30 May 2019 00:00:00 -0700 2019-11237 Notice https://www.govinfo.gov/content/pkg/FR-2019-05-30/pdf/2019-11237.pdf Notice - 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 3 https://regulations.justia.com/regulations/fedreg/2019/05/30/2019-11235.html https://regulations.justia.com/regulations/fedreg/2019/05/30/2019-11235.html Thu, 30 May 2019 00:00:00 -0700 2019-11235 Notice https://www.govinfo.gov/content/pkg/FR-2019-05-30/pdf/2019-11235.pdf Notice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Rule 6.60-O https://regulations.justia.com/regulations/fedreg/2019/05/30/2019-11234.html https://regulations.justia.com/regulations/fedreg/2019/05/30/2019-11234.html Thu, 30 May 2019 00:00:00 -0700 2019-11234 Notice https://www.govinfo.gov/content/pkg/FR-2019-05-30/pdf/2019-11234.pdf Notice - 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 Statements https://regulations.justia.com/regulations/fedreg/2019/05/30/2019-11230.html https://regulations.justia.com/regulations/fedreg/2019/05/30/2019-11230.html Thu, 30 May 2019 00:00:00 -0700 2019-11230 Notice https://www.govinfo.gov/content/pkg/FR-2019-05-30/pdf/2019-11230.pdf Notice - 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. https://regulations.justia.com/regulations/fedreg/2019/05/30/2019-11223.html https://regulations.justia.com/regulations/fedreg/2019/05/30/2019-11223.html Thu, 30 May 2019 00:00:00 -0700 2019-11223 Notice https://www.govinfo.gov/content/pkg/FR-2019-05-30/pdf/2019-11223.pdf Notice - 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 Agreement https://regulations.justia.com/regulations/fedreg/2019/05/30/2019-11219.html https://regulations.justia.com/regulations/fedreg/2019/05/30/2019-11219.html Thu, 30 May 2019 00:00:00 -0700 2019-11219 Notice https://www.govinfo.gov/content/pkg/FR-2019-05-30/pdf/2019-11219.pdf Notice - Sunshine Act Meetings https://regulations.justia.com/regulations/fedreg/2019/05/29/2019-11239.html https://regulations.justia.com/regulations/fedreg/2019/05/29/2019-11239.html Wed, 29 May 2019 00:00:00 -0700 2019-11239 Notice https://www.govinfo.gov/content/pkg/FR-2019-05-29/pdf/2019-11239.pdf Notice - Self-Regulatory Organizations; NYSE American LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Rule 967NY https://regulations.justia.com/regulations/fedreg/2019/05/29/2019-11236.html https://regulations.justia.com/regulations/fedreg/2019/05/29/2019-11236.html Wed, 29 May 2019 00:00:00 -0700 2019-11236 Notice https://www.govinfo.gov/content/pkg/FR-2019-05-29/pdf/2019-11236.pdf Notice - Sunshine Act Meetings https://regulations.justia.com/regulations/fedreg/2019/05/29/2019-11231.html https://regulations.justia.com/regulations/fedreg/2019/05/29/2019-11231.html Wed, 29 May 2019 00:00:00 -0700 2019-11231 Notice https://www.govinfo.gov/content/pkg/FR-2019-05-29/pdf/2019-11231.pdf Notice - Tudor Investment Corporation and Tudor Employee Investment Fund LLC https://regulations.justia.com/regulations/fedreg/2019/05/29/2019-11205.html https://regulations.justia.com/regulations/fedreg/2019/05/29/2019-11205.html Wed, 29 May 2019 00:00:00 -0700 2019-11205 Notice https://www.govinfo.gov/content/pkg/FR-2019-05-29/pdf/2019-11205.pdf Notice - 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 Exchange https://regulations.justia.com/regulations/fedreg/2019/05/29/2019-11108.html https://regulations.justia.com/regulations/fedreg/2019/05/29/2019-11108.html Wed, 29 May 2019 00:00:00 -0700 2019-11108 Notice https://www.govinfo.gov/content/pkg/FR-2019-05-29/pdf/2019-11108.pdf Notice - 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 Exchange https://regulations.justia.com/regulations/fedreg/2019/05/29/2019-11107.html https://regulations.justia.com/regulations/fedreg/2019/05/29/2019-11107.html Wed, 29 May 2019 00:00:00 -0700 2019-11107 Notice https://www.govinfo.gov/content/pkg/FR-2019-05-29/pdf/2019-11107.pdf Notice - 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) https://regulations.justia.com/regulations/fedreg/2019/05/29/2019-11106.html https://regulations.justia.com/regulations/fedreg/2019/05/29/2019-11106.html Wed, 29 May 2019 00:00:00 -0700 2019-11106 Notice https://www.govinfo.gov/content/pkg/FR-2019-05-29/pdf/2019-11106.pdf Notice - 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 Exchange https://regulations.justia.com/regulations/fedreg/2019/05/29/2019-11105.html https://regulations.justia.com/regulations/fedreg/2019/05/29/2019-11105.html Wed, 29 May 2019 00:00:00 -0700 2019-11105 Notice https://www.govinfo.gov/content/pkg/FR-2019-05-29/pdf/2019-11105.pdf Notice - Self-Regulatory Organizations; MIAX PEARL, LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Exchange Rule 515, Execution of Orders https://regulations.justia.com/regulations/fedreg/2019/05/29/2019-11101.html https://regulations.justia.com/regulations/fedreg/2019/05/29/2019-11101.html Wed, 29 May 2019 00:00:00 -0700 2019-11101 Notice https://www.govinfo.gov/content/pkg/FR-2019-05-29/pdf/2019-11101.pdf Notice - 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 Service https://regulations.justia.com/regulations/fedreg/2019/05/29/2019-11100.html https://regulations.justia.com/regulations/fedreg/2019/05/29/2019-11100.html Wed, 29 May 2019 00:00:00 -0700 2019-11100 Notice https://www.govinfo.gov/content/pkg/FR-2019-05-29/pdf/2019-11100.pdf Proposed Rule - Amendments to the Accelerated Filer and Large Accelerated Filer Definitions https://regulations.justia.com/regulations/fedreg/2019/05/29/2019-09932.html https://regulations.justia.com/regulations/fedreg/2019/05/29/2019-09932.html Wed, 29 May 2019 00:00:00 -0700 2019-09932 Proposed Rule https://www.govinfo.gov/content/pkg/FR-2019-05-29/pdf/2019-09932.pdf Notice - Notice Establishing the Commencement and Termination Dates of the Pre-Pilot Period of the Transaction Fee Pilot for National Market System Stocks https://regulations.justia.com/regulations/fedreg/2019/05/28/2019-10997.html https://regulations.justia.com/regulations/fedreg/2019/05/28/2019-10997.html Tue, 28 May 2019 00:00:00 -0700 2019-10997 Notice https://www.govinfo.gov/content/pkg/FR-2019-05-28/pdf/2019-10997.pdf Notice - 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 Policy https://regulations.justia.com/regulations/fedreg/2019/05/28/2019-10989.html https://regulations.justia.com/regulations/fedreg/2019/05/28/2019-10989.html Tue, 28 May 2019 00:00:00 -0700 2019-10989 Notice https://www.govinfo.gov/content/pkg/FR-2019-05-28/pdf/2019-10989.pdf Notice - 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-E https://regulations.justia.com/regulations/fedreg/2019/05/28/2019-10988.html https://regulations.justia.com/regulations/fedreg/2019/05/28/2019-10988.html Tue, 28 May 2019 00:00:00 -0700 2019-10988 Notice https://www.govinfo.gov/content/pkg/FR-2019-05-28/pdf/2019-10988.pdf Notice - 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 ETF https://regulations.justia.com/regulations/fedreg/2019/05/28/2019-10987.html https://regulations.justia.com/regulations/fedreg/2019/05/28/2019-10987.html Tue, 28 May 2019 00:00:00 -0700 2019-10987 Notice https://www.govinfo.gov/content/pkg/FR-2019-05-28/pdf/2019-10987.pdf Notice - 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 Plan https://regulations.justia.com/regulations/fedreg/2019/05/28/2019-10986.html https://regulations.justia.com/regulations/fedreg/2019/05/28/2019-10986.html Tue, 28 May 2019 00:00:00 -0700 2019-10986 Notice https://www.govinfo.gov/content/pkg/FR-2019-05-28/pdf/2019-10986.pdf Notice - Self-Regulatory Organizations; MIAX Emerald, LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Its Fee Schedule https://regulations.justia.com/regulations/fedreg/2019/05/28/2019-10985.html https://regulations.justia.com/regulations/fedreg/2019/05/28/2019-10985.html Tue, 28 May 2019 00:00:00 -0700 2019-10985 Notice https://www.govinfo.gov/content/pkg/FR-2019-05-28/pdf/2019-10985.pdf Notice - Proposed Collection; Comment Request https://regulations.justia.com/regulations/fedreg/2019/05/28/2019-10983.html https://regulations.justia.com/regulations/fedreg/2019/05/28/2019-10983.html Tue, 28 May 2019 00:00:00 -0700 2019-10983 Notice https://www.govinfo.gov/content/pkg/FR-2019-05-28/pdf/2019-10983.pdf Notice - Proposed Collection; Comment Request https://regulations.justia.com/regulations/fedreg/2019/05/28/2019-10982.html https://regulations.justia.com/regulations/fedreg/2019/05/28/2019-10982.html Tue, 28 May 2019 00:00:00 -0700 2019-10982 Notice https://www.govinfo.gov/content/pkg/FR-2019-05-28/pdf/2019-10982.pdf Notice - Proposed Collection; Comment Request https://regulations.justia.com/regulations/fedreg/2019/05/28/2019-10981.html https://regulations.justia.com/regulations/fedreg/2019/05/28/2019-10981.html Tue, 28 May 2019 00:00:00 -0700 2019-10981 Notice https://www.govinfo.gov/content/pkg/FR-2019-05-28/pdf/2019-10981.pdf Notice - BlackRock Capital Investment Corporation, et al. https://regulations.justia.com/regulations/fedreg/2019/05/28/2019-10975.html https://regulations.justia.com/regulations/fedreg/2019/05/28/2019-10975.html Tue, 28 May 2019 00:00:00 -0700 2019-10975 Notice https://www.govinfo.gov/content/pkg/FR-2019-05-28/pdf/2019-10975.pdf Proposed Rule - Amendments to Financial Disclosures About Acquired and Disposed Businesses https://regulations.justia.com/regulations/fedreg/2019/05/28/2019-09472.html https://regulations.justia.com/regulations/fedreg/2019/05/28/2019-09472.html Tue, 28 May 2019 00:00:00 -0700 2019-09472 Proposed Rule https://www.govinfo.gov/content/pkg/FR-2019-05-28/pdf/2019-09472.pdf Notice - Self-Regulatory Organizations; The Nasdaq Stock Market LLC; Notice of Filing of Amendment No. 1 and Order Granting Accelerated Approval of a Proposed Rule Change, as Modified by Amendment No. 1, To Adopt a New MIDP Routing Option Under Rule 4758 and Make Conforming Changes to Rule 4703(e) https://regulations.justia.com/regulations/fedreg/2019/05/24/2019-10859.html https://regulations.justia.com/regulations/fedreg/2019/05/24/2019-10859.html Fri, 24 May 2019 00:00:00 -0700 2019-10859 Notice https://www.govinfo.gov/content/pkg/FR-2019-05-24/pdf/2019-10859.pdf Notice - 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 Trust https://regulations.justia.com/regulations/fedreg/2019/05/24/2019-10858.html https://regulations.justia.com/regulations/fedreg/2019/05/24/2019-10858.html Fri, 24 May 2019 00:00:00 -0700 2019-10858 Notice https://www.govinfo.gov/content/pkg/FR-2019-05-24/pdf/2019-10858.pdf Notice - Submission for OMB Review; Comment Request https://regulations.justia.com/regulations/fedreg/2019/05/24/2019-10844.html https://regulations.justia.com/regulations/fedreg/2019/05/24/2019-10844.html Fri, 24 May 2019 00:00:00 -0700 2019-10844 Notice https://www.govinfo.gov/content/pkg/FR-2019-05-24/pdf/2019-10844.pdf Notice - Submission for OMB Review; Comment Request https://regulations.justia.com/regulations/fedreg/2019/05/24/2019-10843.html https://regulations.justia.com/regulations/fedreg/2019/05/24/2019-10843.html Fri, 24 May 2019 00:00:00 -0700 2019-10843 Notice https://www.govinfo.gov/content/pkg/FR-2019-05-24/pdf/2019-10843.pdf Notice - Submission for OMB Review; Comment Request https://regulations.justia.com/regulations/fedreg/2019/05/24/2019-10842.html https://regulations.justia.com/regulations/fedreg/2019/05/24/2019-10842.html Fri, 24 May 2019 00:00:00 -0700 2019-10842 Notice https://www.govinfo.gov/content/pkg/FR-2019-05-24/pdf/2019-10842.pdf Proposed Rule - Proposed Rule Amendments and Guidance Addressing Cross-Border Application of Certain Security-Based Swap Requirements https://regulations.justia.com/regulations/fedreg/2019/05/24/2019-10016.html https://regulations.justia.com/regulations/fedreg/2019/05/24/2019-10016.html Fri, 24 May 2019 00:00:00 -0700 2019-10016 Proposed Rule https://www.govinfo.gov/content/pkg/FR-2019-05-24/pdf/2019-10016.pdf Notice - Fixed Income Market Structure Advisory Committee https://regulations.justia.com/regulations/fedreg/2019/05/23/2019-10810.html https://regulations.justia.com/regulations/fedreg/2019/05/23/2019-10810.html Thu, 23 May 2019 00:00:00 -0700 2019-10810 Notice https://www.govinfo.gov/content/pkg/FR-2019-05-23/pdf/2019-10810.pdf Notice - 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' Meetings https://regulations.justia.com/regulations/fedreg/2019/05/23/2019-10753.html https://regulations.justia.com/regulations/fedreg/2019/05/23/2019-10753.html Thu, 23 May 2019 00:00:00 -0700 2019-10753 Notice https://www.govinfo.gov/content/pkg/FR-2019-05-23/pdf/2019-10753.pdf 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 To Adopt a Higher Credit for the Tier 2 Pricing Tier https://regulations.justia.com/regulations/fedreg/2019/05/23/2019-10752.html https://regulations.justia.com/regulations/fedreg/2019/05/23/2019-10752.html Thu, 23 May 2019 00:00:00 -0700 2019-10752 Notice https://www.govinfo.gov/content/pkg/FR-2019-05-23/pdf/2019-10752.pdf 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 https://regulations.justia.com/regulations/fedreg/2019/05/23/2019-10751.html https://regulations.justia.com/regulations/fedreg/2019/05/23/2019-10751.html Thu, 23 May 2019 00:00:00 -0700 2019-10751 Notice https://www.govinfo.gov/content/pkg/FR-2019-05-23/pdf/2019-10751.pdf Notice - 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 Member https://regulations.justia.com/regulations/fedreg/2019/05/23/2019-10750.html https://regulations.justia.com/regulations/fedreg/2019/05/23/2019-10750.html Thu, 23 May 2019 00:00:00 -0700 2019-10750 Notice https://www.govinfo.gov/content/pkg/FR-2019-05-23/pdf/2019-10750.pdf Notice - Self-Regulatory Organizations; Nasdaq PHLX LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Relocate the Floor Trading Rules to Options 8 https://regulations.justia.com/regulations/fedreg/2019/05/22/C1-2019-09019.html https://regulations.justia.com/regulations/fedreg/2019/05/22/C1-2019-09019.html Wed, 22 May 2019 00:00:00 -0700 C1-2019-09019 Notice https://www.govinfo.gov/content/pkg/FR-2019-05-22/pdf/C1-2019-09019.pdf Notice - 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 Fees https://regulations.justia.com/regulations/fedreg/2019/05/22/2019-10645.html https://regulations.justia.com/regulations/fedreg/2019/05/22/2019-10645.html Wed, 22 May 2019 00:00:00 -0700 2019-10645 Notice https://www.govinfo.gov/content/pkg/FR-2019-05-22/pdf/2019-10645.pdf Notice - Self-Regulatory Organizations; Cboe EDGX Exchange, Inc.; Notice of Designation of Longer Period for Commission Action on Proposed Rule Change To Introduce Retail Priority https://regulations.justia.com/regulations/fedreg/2019/05/22/2019-10644.html https://regulations.justia.com/regulations/fedreg/2019/05/22/2019-10644.html Wed, 22 May 2019 00:00:00 -0700 2019-10644 Notice https://www.govinfo.gov/content/pkg/FR-2019-05-22/pdf/2019-10644.pdf Notice - Self-Regulatory Organizations; Nasdaq PHLX LLC; Notice of Filing of Proposed Rule Change Relating to the Allocation and Prioritization of Automatically Executed Trades https://regulations.justia.com/regulations/fedreg/2019/05/22/2019-10643.html https://regulations.justia.com/regulations/fedreg/2019/05/22/2019-10643.html Wed, 22 May 2019 00:00:00 -0700 2019-10643 Notice https://www.govinfo.gov/content/pkg/FR-2019-05-22/pdf/2019-10643.pdf Notice - 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 Broker https://regulations.justia.com/regulations/fedreg/2019/05/22/2019-10642.html https://regulations.justia.com/regulations/fedreg/2019/05/22/2019-10642.html Wed, 22 May 2019 00:00:00 -0700 2019-10642 Notice https://www.govinfo.gov/content/pkg/FR-2019-05-22/pdf/2019-10642.pdf Notice - 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 Funds https://regulations.justia.com/regulations/fedreg/2019/05/22/2019-10641.html https://regulations.justia.com/regulations/fedreg/2019/05/22/2019-10641.html Wed, 22 May 2019 00:00:00 -0700 2019-10641 Notice https://www.govinfo.gov/content/pkg/FR-2019-05-22/pdf/2019-10641.pdf Notice - Self-Regulatory Organizations; The Options Clearing Corporation; Order Approving Proposed Rule Change Related to The Options Clearing Corporation's Margin Methodology for Volatility Index Futures https://regulations.justia.com/regulations/fedreg/2019/05/22/2019-10640.html https://regulations.justia.com/regulations/fedreg/2019/05/22/2019-10640.html Wed, 22 May 2019 00:00:00 -0700 2019-10640 Notice https://www.govinfo.gov/content/pkg/FR-2019-05-22/pdf/2019-10640.pdf Notice - 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 Funds https://regulations.justia.com/regulations/fedreg/2019/05/22/2019-10639.html https://regulations.justia.com/regulations/fedreg/2019/05/22/2019-10639.html Wed, 22 May 2019 00:00:00 -0700 2019-10639 Notice https://www.govinfo.gov/content/pkg/FR-2019-05-22/pdf/2019-10639.pdf Notice - 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 Broker https://regulations.justia.com/regulations/fedreg/2019/05/22/2019-10638.html https://regulations.justia.com/regulations/fedreg/2019/05/22/2019-10638.html Wed, 22 May 2019 00:00:00 -0700 2019-10638 Notice https://www.govinfo.gov/content/pkg/FR-2019-05-22/pdf/2019-10638.pdf Notice - Sunshine Act Meetings https://regulations.justia.com/regulations/fedreg/2019/05/21/2019-10649.html https://regulations.justia.com/regulations/fedreg/2019/05/21/2019-10649.html Tue, 21 May 2019 00:00:00 -0700 2019-10649 Notice https://www.govinfo.gov/content/pkg/FR-2019-05-21/pdf/2019-10649.pdf Notice - 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 Futures https://regulations.justia.com/regulations/fedreg/2019/05/21/2019-10523.html https://regulations.justia.com/regulations/fedreg/2019/05/21/2019-10523.html Tue, 21 May 2019 00:00:00 -0700 2019-10523 Notice https://www.govinfo.gov/content/pkg/FR-2019-05-21/pdf/2019-10523.pdf Notice - 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 Methodology https://regulations.justia.com/regulations/fedreg/2019/05/21/2019-10522.html https://regulations.justia.com/regulations/fedreg/2019/05/21/2019-10522.html Tue, 21 May 2019 00:00:00 -0700 2019-10522 Notice https://www.govinfo.gov/content/pkg/FR-2019-05-21/pdf/2019-10522.pdf Notice - 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 Filing https://regulations.justia.com/regulations/fedreg/2019/05/21/2019-10516.html https://regulations.justia.com/regulations/fedreg/2019/05/21/2019-10516.html Tue, 21 May 2019 00:00:00 -0700 2019-10516 Notice https://www.govinfo.gov/content/pkg/FR-2019-05-21/pdf/2019-10516.pdf Notice - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Its Price List https://regulations.justia.com/regulations/fedreg/2019/05/21/2019-10515.html https://regulations.justia.com/regulations/fedreg/2019/05/21/2019-10515.html Tue, 21 May 2019 00:00:00 -0700 2019-10515 Notice https://www.govinfo.gov/content/pkg/FR-2019-05-21/pdf/2019-10515.pdf Notice - 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 Shares https://regulations.justia.com/regulations/fedreg/2019/05/21/2019-10514.html https://regulations.justia.com/regulations/fedreg/2019/05/21/2019-10514.html Tue, 21 May 2019 00:00:00 -0700 2019-10514 Notice https://www.govinfo.gov/content/pkg/FR-2019-05-21/pdf/2019-10514.pdf Notice - 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 Trading https://regulations.justia.com/regulations/fedreg/2019/05/21/2019-10513.html https://regulations.justia.com/regulations/fedreg/2019/05/21/2019-10513.html Tue, 21 May 2019 00:00:00 -0700 2019-10513 Notice https://www.govinfo.gov/content/pkg/FR-2019-05-21/pdf/2019-10513.pdf Notice - 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 Fees https://regulations.justia.com/regulations/fedreg/2019/05/21/2019-10512.html https://regulations.justia.com/regulations/fedreg/2019/05/21/2019-10512.html Tue, 21 May 2019 00:00:00 -0700 2019-10512 Notice https://www.govinfo.gov/content/pkg/FR-2019-05-21/pdf/2019-10512.pdf Notice - Nuveen Churchill BDC LLC, et al. https://regulations.justia.com/regulations/fedreg/2019/05/21/2019-10511.html https://regulations.justia.com/regulations/fedreg/2019/05/21/2019-10511.html Tue, 21 May 2019 00:00:00 -0700 2019-10511 Notice https://www.govinfo.gov/content/pkg/FR-2019-05-21/pdf/2019-10511.pdf Notice - 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 Trading https://regulations.justia.com/regulations/fedreg/2019/05/21/2019-10510.html https://regulations.justia.com/regulations/fedreg/2019/05/21/2019-10510.html Tue, 21 May 2019 00:00:00 -0700 2019-10510 Notice https://www.govinfo.gov/content/pkg/FR-2019-05-21/pdf/2019-10510.pdf Notice - 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-E https://regulations.justia.com/regulations/fedreg/2019/05/21/2019-10509.html https://regulations.justia.com/regulations/fedreg/2019/05/21/2019-10509.html Tue, 21 May 2019 00:00:00 -0700 2019-10509 Notice https://www.govinfo.gov/content/pkg/FR-2019-05-21/pdf/2019-10509.pdf 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) https://regulations.justia.com/regulations/fedreg/2019/05/21/2019-10508.html https://regulations.justia.com/regulations/fedreg/2019/05/21/2019-10508.html Tue, 21 May 2019 00:00:00 -0700 2019-10508 Notice https://www.govinfo.gov/content/pkg/FR-2019-05-21/pdf/2019-10508.pdf Notice - 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 Trust https://regulations.justia.com/regulations/fedreg/2019/05/21/2019-10351.html https://regulations.justia.com/regulations/fedreg/2019/05/21/2019-10351.html Tue, 21 May 2019 00:00:00 -0700 2019-10351 Notice https://www.govinfo.gov/content/pkg/FR-2019-05-21/pdf/2019-10351.pdf Notice - 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”) https://regulations.justia.com/regulations/fedreg/2019/05/20/2019-10352.html https://regulations.justia.com/regulations/fedreg/2019/05/20/2019-10352.html Mon, 20 May 2019 00:00:00 -0700 2019-10352 Notice https://www.govinfo.gov/content/pkg/FR-2019-05-20/pdf/2019-10352.pdf Notice - Self-Regulatory Organizations; Cboe EDGX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the Fee Schedule https://regulations.justia.com/regulations/fedreg/2019/05/20/2019-10350.html https://regulations.justia.com/regulations/fedreg/2019/05/20/2019-10350.html Mon, 20 May 2019 00:00:00 -0700 2019-10350 Notice https://www.govinfo.gov/content/pkg/FR-2019-05-20/pdf/2019-10350.pdf Notice - Proposed Collection; Comment Request https://regulations.justia.com/regulations/fedreg/2019/05/17/2019-10234.html https://regulations.justia.com/regulations/fedreg/2019/05/17/2019-10234.html Fri, 17 May 2019 00:00:00 -0700 2019-10234 Notice https://www.govinfo.gov/content/pkg/FR-2019-05-17/pdf/2019-10234.pdf Notice - 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 Schedule https://regulations.justia.com/regulations/fedreg/2019/05/17/2019-10228.html https://regulations.justia.com/regulations/fedreg/2019/05/17/2019-10228.html Fri, 17 May 2019 00:00:00 -0700 2019-10228 Notice https://www.govinfo.gov/content/pkg/FR-2019-05-17/pdf/2019-10228.pdf Notice - 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”) https://regulations.justia.com/regulations/fedreg/2019/05/17/2019-10227.html https://regulations.justia.com/regulations/fedreg/2019/05/17/2019-10227.html Fri, 17 May 2019 00:00:00 -0700 2019-10227 Notice https://www.govinfo.gov/content/pkg/FR-2019-05-17/pdf/2019-10227.pdf Notice - Self-Regulatory Organizations; Cboe BZX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Its Fee Schedule https://regulations.justia.com/regulations/fedreg/2019/05/17/2019-10226.html https://regulations.justia.com/regulations/fedreg/2019/05/17/2019-10226.html Fri, 17 May 2019 00:00:00 -0700 2019-10226 Notice https://www.govinfo.gov/content/pkg/FR-2019-05-17/pdf/2019-10226.pdf Notice - 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-2019-025 https://regulations.justia.com/regulations/fedreg/2019/05/17/2019-10225.html https://regulations.justia.com/regulations/fedreg/2019/05/17/2019-10225.html Fri, 17 May 2019 00:00:00 -0700 2019-10225 Notice https://www.govinfo.gov/content/pkg/FR-2019-05-17/pdf/2019-10225.pdf Notice - 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 2 https://regulations.justia.com/regulations/fedreg/2019/05/17/2019-10224.html https://regulations.justia.com/regulations/fedreg/2019/05/17/2019-10224.html Fri, 17 May 2019 00:00:00 -0700 2019-10224 Notice https://www.govinfo.gov/content/pkg/FR-2019-05-17/pdf/2019-10224.pdf Notice - Self-Regulatory Organizations; Cboe EDGX Exchange, Inc.; Notice of Filing of a Proposed Rule Change To Adopt Rule 21.22 (Complex Automated Improvement Mechanism) https://regulations.justia.com/regulations/fedreg/2019/05/16/2019-10125.html https://regulations.justia.com/regulations/fedreg/2019/05/16/2019-10125.html Thu, 16 May 2019 00:00:00 -0700 2019-10125 Notice https://www.govinfo.gov/content/pkg/FR-2019-05-16/pdf/2019-10125.pdf Notice - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Designation of a Longer Period for Commission Action on a Proposed Rule Change To 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 Securities https://regulations.justia.com/regulations/fedreg/2019/05/16/2019-10124.html https://regulations.justia.com/regulations/fedreg/2019/05/16/2019-10124.html Thu, 16 May 2019 00:00:00 -0700 2019-10124 Notice https://www.govinfo.gov/content/pkg/FR-2019-05-16/pdf/2019-10124.pdf Notice - 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 Strategy https://regulations.justia.com/regulations/fedreg/2019/05/16/2019-10123.html https://regulations.justia.com/regulations/fedreg/2019/05/16/2019-10123.html Thu, 16 May 2019 00:00:00 -0700 2019-10123 Notice https://www.govinfo.gov/content/pkg/FR-2019-05-16/pdf/2019-10123.pdf Notice - 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 Fee https://regulations.justia.com/regulations/fedreg/2019/05/16/2019-10121.html https://regulations.justia.com/regulations/fedreg/2019/05/16/2019-10121.html Thu, 16 May 2019 00:00:00 -0700 2019-10121 Notice https://www.govinfo.gov/content/pkg/FR-2019-05-16/pdf/2019-10121.pdf Notice - 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 Fee https://regulations.justia.com/regulations/fedreg/2019/05/16/2019-10120.html https://regulations.justia.com/regulations/fedreg/2019/05/16/2019-10120.html Thu, 16 May 2019 00:00:00 -0700 2019-10120 Notice https://www.govinfo.gov/content/pkg/FR-2019-05-16/pdf/2019-10120.pdf Notice - 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 Fee https://regulations.justia.com/regulations/fedreg/2019/05/16/2019-10119.html https://regulations.justia.com/regulations/fedreg/2019/05/16/2019-10119.html Thu, 16 May 2019 00:00:00 -0700 2019-10119 Notice https://www.govinfo.gov/content/pkg/FR-2019-05-16/pdf/2019-10119.pdf Notice - Self-Regulatory Organizations; MIAX Emerald, LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Adopt System Connectivity Fees https://regulations.justia.com/regulations/fedreg/2019/05/16/2019-10118.html https://regulations.justia.com/regulations/fedreg/2019/05/16/2019-10118.html Thu, 16 May 2019 00:00:00 -0700 2019-10118 Notice https://www.govinfo.gov/content/pkg/FR-2019-05-16/pdf/2019-10118.pdf Notice - 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 Fee https://regulations.justia.com/regulations/fedreg/2019/05/16/2019-10117.html https://regulations.justia.com/regulations/fedreg/2019/05/16/2019-10117.html Thu, 16 May 2019 00:00:00 -0700 2019-10117 Notice https://www.govinfo.gov/content/pkg/FR-2019-05-16/pdf/2019-10117.pdf Notice - Self-Regulatory Organizations; MIAX PEARL, LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the MIAX PEARL Fee Schedule https://regulations.justia.com/regulations/fedreg/2019/05/16/2019-10116.html https://regulations.justia.com/regulations/fedreg/2019/05/16/2019-10116.html Thu, 16 May 2019 00:00:00 -0700 2019-10116 Notice https://www.govinfo.gov/content/pkg/FR-2019-05-16/pdf/2019-10116.pdf Notice - Self-Regulatory Organizations; Miami International Securities Exchange LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Its Fee Schedule https://regulations.justia.com/regulations/fedreg/2019/05/16/2019-10115.html https://regulations.justia.com/regulations/fedreg/2019/05/16/2019-10115.html Thu, 16 May 2019 00:00:00 -0700 2019-10115 Notice https://www.govinfo.gov/content/pkg/FR-2019-05-16/pdf/2019-10115.pdf Notice - 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-E https://regulations.justia.com/regulations/fedreg/2019/05/16/2019-10114.html https://regulations.justia.com/regulations/fedreg/2019/05/16/2019-10114.html Thu, 16 May 2019 00:00:00 -0700 2019-10114 Notice https://www.govinfo.gov/content/pkg/FR-2019-05-16/pdf/2019-10114.pdf Notice - Self-Regulatory Organizations; Cboe BYX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the Fee Schedule Applicable to the BYX Equities Trading Platform (“BYX Equities”) as it Relates to Pricing for the Use of the TRIM Routing Strategy https://regulations.justia.com/regulations/fedreg/2019/05/16/2019-10113.html https://regulations.justia.com/regulations/fedreg/2019/05/16/2019-10113.html Thu, 16 May 2019 00:00:00 -0700 2019-10113 Notice https://www.govinfo.gov/content/pkg/FR-2019-05-16/pdf/2019-10113.pdf Notice - Collaborative Investment Series Trust and Belpointe Asset Management, LLC https://regulations.justia.com/regulations/fedreg/2019/05/16/2019-10103.html https://regulations.justia.com/regulations/fedreg/2019/05/16/2019-10103.html Thu, 16 May 2019 00:00:00 -0700 2019-10103 Notice https://www.govinfo.gov/content/pkg/FR-2019-05-16/pdf/2019-10103.pdf Notice - 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 Commission https://regulations.justia.com/regulations/fedreg/2019/05/15/2019-10037.html https://regulations.justia.com/regulations/fedreg/2019/05/15/2019-10037.html Wed, 15 May 2019 00:00:00 -0700 2019-10037 Notice https://www.govinfo.gov/content/pkg/FR-2019-05-15/pdf/2019-10037.pdf Notice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Modify the NYSE Arca Options Fee Schedule https://regulations.justia.com/regulations/fedreg/2019/05/15/2019-09967.html https://regulations.justia.com/regulations/fedreg/2019/05/15/2019-09967.html Wed, 15 May 2019 00:00:00 -0700 2019-09967 Notice https://www.govinfo.gov/content/pkg/FR-2019-05-15/pdf/2019-09967.pdf Notice - 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, 2019 https://regulations.justia.com/regulations/fedreg/2019/05/15/2019-09966.html https://regulations.justia.com/regulations/fedreg/2019/05/15/2019-09966.html Wed, 15 May 2019 00:00:00 -0700 2019-09966 Notice https://www.govinfo.gov/content/pkg/FR-2019-05-15/pdf/2019-09966.pdf Notice - 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 Data https://regulations.justia.com/regulations/fedreg/2019/05/15/2019-09965.html https://regulations.justia.com/regulations/fedreg/2019/05/15/2019-09965.html Wed, 15 May 2019 00:00:00 -0700 2019-09965 Notice https://www.govinfo.gov/content/pkg/FR-2019-05-15/pdf/2019-09965.pdf Notice - 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 158 https://regulations.justia.com/regulations/fedreg/2019/05/15/2019-09964.html https://regulations.justia.com/regulations/fedreg/2019/05/15/2019-09964.html Wed, 15 May 2019 00:00:00 -0700 2019-09964 Notice https://www.govinfo.gov/content/pkg/FR-2019-05-15/pdf/2019-09964.pdf Notice - 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 Rights https://regulations.justia.com/regulations/fedreg/2019/05/15/2019-09961.html https://regulations.justia.com/regulations/fedreg/2019/05/15/2019-09961.html Wed, 15 May 2019 00:00:00 -0700 2019-09961 Notice https://www.govinfo.gov/content/pkg/FR-2019-05-15/pdf/2019-09961.pdf Notice - 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 Book https://regulations.justia.com/regulations/fedreg/2019/05/14/2019-09871.html https://regulations.justia.com/regulations/fedreg/2019/05/14/2019-09871.html Tue, 14 May 2019 00:00:00 -0700 2019-09871 Notice https://www.govinfo.gov/content/pkg/FR-2019-05-14/pdf/2019-09871.pdf Notice - 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 Floor https://regulations.justia.com/regulations/fedreg/2019/05/14/2019-09869.html https://regulations.justia.com/regulations/fedreg/2019/05/14/2019-09869.html Tue, 14 May 2019 00:00:00 -0700 2019-09869 Notice https://www.govinfo.gov/content/pkg/FR-2019-05-14/pdf/2019-09869.pdf Notice - Self-Regulatory Organizations; MIAX PEARL, LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the MIAX PEARL Fee Schedule https://regulations.justia.com/regulations/fedreg/2019/05/14/2019-09867.html https://regulations.justia.com/regulations/fedreg/2019/05/14/2019-09867.html Tue, 14 May 2019 00:00:00 -0700 2019-09867 Notice https://www.govinfo.gov/content/pkg/FR-2019-05-14/pdf/2019-09867.pdf Notice - 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 Trust https://regulations.justia.com/regulations/fedreg/2019/05/14/2019-09860.html https://regulations.justia.com/regulations/fedreg/2019/05/14/2019-09860.html Tue, 14 May 2019 00:00:00 -0700 2019-09860 Notice https://www.govinfo.gov/content/pkg/FR-2019-05-14/pdf/2019-09860.pdf Notice - Self-Regulatory Organizations; Miami International Securities Exchange LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Its Fee Schedule https://regulations.justia.com/regulations/fedreg/2019/05/14/2019-09859.html https://regulations.justia.com/regulations/fedreg/2019/05/14/2019-09859.html Tue, 14 May 2019 00:00:00 -0700 2019-09859 Notice https://www.govinfo.gov/content/pkg/FR-2019-05-14/pdf/2019-09859.pdf Notice - Ellington Income Opportunities Fund, et al. https://regulations.justia.com/regulations/fedreg/2019/05/14/2019-09843.html https://regulations.justia.com/regulations/fedreg/2019/05/14/2019-09843.html Tue, 14 May 2019 00:00:00 -0700 2019-09843 Notice https://www.govinfo.gov/content/pkg/FR-2019-05-14/pdf/2019-09843.pdf Notice - Sunshine Act Meetings https://regulations.justia.com/regulations/fedreg/2019/05/13/2019-09894.html https://regulations.justia.com/regulations/fedreg/2019/05/13/2019-09894.html Mon, 13 May 2019 00:00:00 -0700 2019-09894 Notice https://www.govinfo.gov/content/pkg/FR-2019-05-13/pdf/2019-09894.pdf Notice - Proposed Collection; Comment Request https://regulations.justia.com/regulations/fedreg/2019/05/13/2019-09801.html https://regulations.justia.com/regulations/fedreg/2019/05/13/2019-09801.html Mon, 13 May 2019 00:00:00 -0700 2019-09801 Notice https://www.govinfo.gov/content/pkg/FR-2019-05-13/pdf/2019-09801.pdf Notice - Toroso Investments, LLC and Tidal ETF Trust; Notice of Application https://regulations.justia.com/regulations/fedreg/2019/05/13/2019-09800.html https://regulations.justia.com/regulations/fedreg/2019/05/13/2019-09800.html Mon, 13 May 2019 00:00:00 -0700 2019-09800 Notice https://www.govinfo.gov/content/pkg/FR-2019-05-13/pdf/2019-09800.pdf Notice - Proposed Collection; Comment Request https://regulations.justia.com/regulations/fedreg/2019/05/13/2019-09799.html https://regulations.justia.com/regulations/fedreg/2019/05/13/2019-09799.html Mon, 13 May 2019 00:00:00 -0700 2019-09799 Notice https://www.govinfo.gov/content/pkg/FR-2019-05-13/pdf/2019-09799.pdf Notice - Proposed Collection; Comment Request https://regulations.justia.com/regulations/fedreg/2019/05/13/2019-09798.html https://regulations.justia.com/regulations/fedreg/2019/05/13/2019-09798.html Mon, 13 May 2019 00:00:00 -0700 2019-09798 Notice https://www.govinfo.gov/content/pkg/FR-2019-05-13/pdf/2019-09798.pdf Notice - Proposed Collection; Comment Request https://regulations.justia.com/regulations/fedreg/2019/05/13/2019-09797.html https://regulations.justia.com/regulations/fedreg/2019/05/13/2019-09797.html Mon, 13 May 2019 00:00:00 -0700 2019-09797 Notice https://www.govinfo.gov/content/pkg/FR-2019-05-13/pdf/2019-09797.pdf 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 Opening Process and Add a Global Trading Hours Session for XSP Options https://regulations.justia.com/regulations/fedreg/2019/05/13/2019-09729.html https://regulations.justia.com/regulations/fedreg/2019/05/13/2019-09729.html Mon, 13 May 2019 00:00:00 -0700 2019-09729 Notice https://www.govinfo.gov/content/pkg/FR-2019-05-13/pdf/2019-09729.pdf Notice - 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 Options https://regulations.justia.com/regulations/fedreg/2019/05/13/2019-09728.html https://regulations.justia.com/regulations/fedreg/2019/05/13/2019-09728.html Mon, 13 May 2019 00:00:00 -0700 2019-09728 Notice https://www.govinfo.gov/content/pkg/FR-2019-05-13/pdf/2019-09728.pdf Notice - 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 Options https://regulations.justia.com/regulations/fedreg/2019/05/13/2019-09727.html https://regulations.justia.com/regulations/fedreg/2019/05/13/2019-09727.html Mon, 13 May 2019 00:00:00 -0700 2019-09727 Notice https://www.govinfo.gov/content/pkg/FR-2019-05-13/pdf/2019-09727.pdf Notice - 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 Option https://regulations.justia.com/regulations/fedreg/2019/05/13/2019-09726.html https://regulations.justia.com/regulations/fedreg/2019/05/13/2019-09726.html Mon, 13 May 2019 00:00:00 -0700 2019-09726 Notice https://www.govinfo.gov/content/pkg/FR-2019-05-13/pdf/2019-09726.pdf Notice - 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 Option https://regulations.justia.com/regulations/fedreg/2019/05/13/2019-09725.html https://regulations.justia.com/regulations/fedreg/2019/05/13/2019-09725.html Mon, 13 May 2019 00:00:00 -0700 2019-09725 Notice https://www.govinfo.gov/content/pkg/FR-2019-05-13/pdf/2019-09725.pdf Notice - 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 Security https://regulations.justia.com/regulations/fedreg/2019/05/13/2019-09724.html https://regulations.justia.com/regulations/fedreg/2019/05/13/2019-09724.html Mon, 13 May 2019 00:00:00 -0700 2019-09724 Notice https://www.govinfo.gov/content/pkg/FR-2019-05-13/pdf/2019-09724.pdf Notice - ALPS Variable Investment Trust, et al. https://regulations.justia.com/regulations/fedreg/2019/05/13/2019-09721.html https://regulations.justia.com/regulations/fedreg/2019/05/13/2019-09721.html Mon, 13 May 2019 00:00:00 -0700 2019-09721 Notice https://www.govinfo.gov/content/pkg/FR-2019-05-13/pdf/2019-09721.pdf Notice - 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 Options https://regulations.justia.com/regulations/fedreg/2019/05/10/2019-09634.html https://regulations.justia.com/regulations/fedreg/2019/05/10/2019-09634.html Fri, 10 May 2019 00:00:00 -0700 2019-09634 Notice https://www.govinfo.gov/content/pkg/FR-2019-05-10/pdf/2019-09634.pdf Notice - 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 Documents https://regulations.justia.com/regulations/fedreg/2019/05/10/2019-09633.html https://regulations.justia.com/regulations/fedreg/2019/05/10/2019-09633.html Fri, 10 May 2019 00:00:00 -0700 2019-09633 Notice https://www.govinfo.gov/content/pkg/FR-2019-05-10/pdf/2019-09633.pdf Notice - 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”) https://regulations.justia.com/regulations/fedreg/2019/05/10/2019-09632.html https://regulations.justia.com/regulations/fedreg/2019/05/10/2019-09632.html Fri, 10 May 2019 00:00:00 -0700 2019-09632 Notice https://www.govinfo.gov/content/pkg/FR-2019-05-10/pdf/2019-09632.pdf Notice - 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 Trades https://regulations.justia.com/regulations/fedreg/2019/05/10/2019-09630.html https://regulations.justia.com/regulations/fedreg/2019/05/10/2019-09630.html Fri, 10 May 2019 00:00:00 -0700 2019-09630 Notice https://www.govinfo.gov/content/pkg/FR-2019-05-10/pdf/2019-09630.pdf Notice - 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 Quotes https://regulations.justia.com/regulations/fedreg/2019/05/10/2019-09629.html https://regulations.justia.com/regulations/fedreg/2019/05/10/2019-09629.html Fri, 10 May 2019 00:00:00 -0700 2019-09629 Notice https://www.govinfo.gov/content/pkg/FR-2019-05-10/pdf/2019-09629.pdf Notice - Self-Regulatory Organizations; ICE Clear Europe Limited; Order Approving Proposed Rule Change Relating to Amendments to the CDS Risk Management Model Description https://regulations.justia.com/regulations/fedreg/2019/05/09/2019-09510.html https://regulations.justia.com/regulations/fedreg/2019/05/09/2019-09510.html Thu, 09 May 2019 00:00:00 -0700 2019-09510 Notice https://www.govinfo.gov/content/pkg/FR-2019-05-09/pdf/2019-09510.pdf Notice - 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 Securities https://regulations.justia.com/regulations/fedreg/2019/05/09/2019-09509.html https://regulations.justia.com/regulations/fedreg/2019/05/09/2019-09509.html Thu, 09 May 2019 00:00:00 -0700 2019-09509 Notice https://www.govinfo.gov/content/pkg/FR-2019-05-09/pdf/2019-09509.pdf Notice - 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 Monitor https://regulations.justia.com/regulations/fedreg/2019/05/09/2019-09508.html https://regulations.justia.com/regulations/fedreg/2019/05/09/2019-09508.html Thu, 09 May 2019 00:00:00 -0700 2019-09508 Notice https://www.govinfo.gov/content/pkg/FR-2019-05-09/pdf/2019-09508.pdf Notice - 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 Options https://regulations.justia.com/regulations/fedreg/2019/05/09/2019-09507.html https://regulations.justia.com/regulations/fedreg/2019/05/09/2019-09507.html Thu, 09 May 2019 00:00:00 -0700 2019-09507 Notice https://www.govinfo.gov/content/pkg/FR-2019-05-09/pdf/2019-09507.pdf Notice - 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 7.37 https://regulations.justia.com/regulations/fedreg/2019/05/09/2019-09506.html https://regulations.justia.com/regulations/fedreg/2019/05/09/2019-09506.html Thu, 09 May 2019 00:00:00 -0700 2019-09506 Notice https://www.govinfo.gov/content/pkg/FR-2019-05-09/pdf/2019-09506.pdf Notice - 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, LLC https://regulations.justia.com/regulations/fedreg/2019/05/08/2019-09375.html https://regulations.justia.com/regulations/fedreg/2019/05/08/2019-09375.html Wed, 08 May 2019 00:00:00 -0700 2019-09375 Notice https://www.govinfo.gov/content/pkg/FR-2019-05-08/pdf/2019-09375.pdf Notice - 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 Rules https://regulations.justia.com/regulations/fedreg/2019/05/08/2019-09374.html https://regulations.justia.com/regulations/fedreg/2019/05/08/2019-09374.html Wed, 08 May 2019 00:00:00 -0700 2019-09374 Notice https://www.govinfo.gov/content/pkg/FR-2019-05-08/pdf/2019-09374.pdf Notice - 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 PLC https://regulations.justia.com/regulations/fedreg/2019/05/08/2019-09373.html https://regulations.justia.com/regulations/fedreg/2019/05/08/2019-09373.html Wed, 08 May 2019 00:00:00 -0700 2019-09373 Notice https://www.govinfo.gov/content/pkg/FR-2019-05-08/pdf/2019-09373.pdf Notice - 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 Activities https://regulations.justia.com/regulations/fedreg/2019/05/08/2019-09372.html https://regulations.justia.com/regulations/fedreg/2019/05/08/2019-09372.html Wed, 08 May 2019 00:00:00 -0700 2019-09372 Notice https://www.govinfo.gov/content/pkg/FR-2019-05-08/pdf/2019-09372.pdf Notice - Sunshine Act Meetings https://regulations.justia.com/regulations/fedreg/2019/05/07/2019-09403.html https://regulations.justia.com/regulations/fedreg/2019/05/07/2019-09403.html Tue, 07 May 2019 00:00:00 -0700 2019-09403 Notice https://www.govinfo.gov/content/pkg/FR-2019-05-07/pdf/2019-09403.pdf Notice - Sunshine Act Meetings https://regulations.justia.com/regulations/fedreg/2019/05/07/2019-09391.html https://regulations.justia.com/regulations/fedreg/2019/05/07/2019-09391.html Tue, 07 May 2019 00:00:00 -0700 2019-09391 Notice https://www.govinfo.gov/content/pkg/FR-2019-05-07/pdf/2019-09391.pdf Notice - Carillon Series Trust, et al.; Notice of Application https://regulations.justia.com/regulations/fedreg/2019/05/07/2019-09334.html https://regulations.justia.com/regulations/fedreg/2019/05/07/2019-09334.html Tue, 07 May 2019 00:00:00 -0700 2019-09334 Notice https://www.govinfo.gov/content/pkg/FR-2019-05-07/pdf/2019-09334.pdf Notice - Proposed Collection; Comment Request https://regulations.justia.com/regulations/fedreg/2019/05/07/2019-09293.html https://regulations.justia.com/regulations/fedreg/2019/05/07/2019-09293.html Tue, 07 May 2019 00:00:00 -0700 2019-09293 Notice https://www.govinfo.gov/content/pkg/FR-2019-05-07/pdf/2019-09293.pdf Notice - Proposed Collection; Comment Request https://regulations.justia.com/regulations/fedreg/2019/05/07/2019-09290.html https://regulations.justia.com/regulations/fedreg/2019/05/07/2019-09290.html Tue, 07 May 2019 00:00:00 -0700 2019-09290 Notice https://www.govinfo.gov/content/pkg/FR-2019-05-07/pdf/2019-09290.pdf Notice - Submission for OMB Review; Comment Request https://regulations.justia.com/regulations/fedreg/2019/05/07/2019-09288.html https://regulations.justia.com/regulations/fedreg/2019/05/07/2019-09288.html Tue, 07 May 2019 00:00:00 -0700 2019-09288 Notice https://www.govinfo.gov/content/pkg/FR-2019-05-07/pdf/2019-09288.pdf Notice - Proposed Collection; Comment Request https://regulations.justia.com/regulations/fedreg/2019/05/07/2019-09287.html https://regulations.justia.com/regulations/fedreg/2019/05/07/2019-09287.html Tue, 07 May 2019 00:00:00 -0700 2019-09287 Notice https://www.govinfo.gov/content/pkg/FR-2019-05-07/pdf/2019-09287.pdf Notice - Submission for OMB Review; Comment Request https://regulations.justia.com/regulations/fedreg/2019/05/07/2019-09283.html https://regulations.justia.com/regulations/fedreg/2019/05/07/2019-09283.html Tue, 07 May 2019 00:00:00 -0700 2019-09283 Notice https://www.govinfo.gov/content/pkg/FR-2019-05-07/pdf/2019-09283.pdf Notice - Submission for OMB Review; Comment Request https://regulations.justia.com/regulations/fedreg/2019/05/07/2019-09282.html https://regulations.justia.com/regulations/fedreg/2019/05/07/2019-09282.html Tue, 07 May 2019 00:00:00 -0700 2019-09282 Notice https://www.govinfo.gov/content/pkg/FR-2019-05-07/pdf/2019-09282.pdf Notice - Submission for OMB Review; Comment Request https://regulations.justia.com/regulations/fedreg/2019/05/07/2019-09277.html https://regulations.justia.com/regulations/fedreg/2019/05/07/2019-09277.html Tue, 07 May 2019 00:00:00 -0700 2019-09277 Notice https://www.govinfo.gov/content/pkg/FR-2019-05-07/pdf/2019-09277.pdf Notice - 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-E https://regulations.justia.com/regulations/fedreg/2019/05/07/2019-09258.html https://regulations.justia.com/regulations/fedreg/2019/05/07/2019-09258.html Tue, 07 May 2019 00:00:00 -0700 2019-09258 Notice https://www.govinfo.gov/content/pkg/FR-2019-05-07/pdf/2019-09258.pdf Notice - 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 Funds https://regulations.justia.com/regulations/fedreg/2019/05/06/2019-09148.html https://regulations.justia.com/regulations/fedreg/2019/05/06/2019-09148.html Mon, 06 May 2019 00:00:00 -0700 2019-09148 Notice https://www.govinfo.gov/content/pkg/FR-2019-05-06/pdf/2019-09148.pdf Notice - 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 Methodology https://regulations.justia.com/regulations/fedreg/2019/05/06/2019-09147.html https://regulations.justia.com/regulations/fedreg/2019/05/06/2019-09147.html Mon, 06 May 2019 00:00:00 -0700 2019-09147 Notice https://www.govinfo.gov/content/pkg/FR-2019-05-06/pdf/2019-09147.pdf Notice - 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 Rules https://regulations.justia.com/regulations/fedreg/2019/05/06/2019-09146.html https://regulations.justia.com/regulations/fedreg/2019/05/06/2019-09146.html Mon, 06 May 2019 00:00:00 -0700 2019-09146 Notice https://www.govinfo.gov/content/pkg/FR-2019-05-06/pdf/2019-09146.pdf Notice - 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 ETF https://regulations.justia.com/regulations/fedreg/2019/05/03/2019-09145.html https://regulations.justia.com/regulations/fedreg/2019/05/03/2019-09145.html Fri, 03 May 2019 00:00:00 -0700 2019-09145 Notice https://www.govinfo.gov/content/pkg/FR-2019-05-03/pdf/2019-09145.pdf Notice - 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 Functionality https://regulations.justia.com/regulations/fedreg/2019/05/03/2019-09020.html https://regulations.justia.com/regulations/fedreg/2019/05/03/2019-09020.html Fri, 03 May 2019 00:00:00 -0700 2019-09020 Notice https://www.govinfo.gov/content/pkg/FR-2019-05-03/pdf/2019-09020.pdf Notice - Self-Regulatory Organizations; Nasdaq PHLX LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Relocate the Floor Trading Rules to Options 8 https://regulations.justia.com/regulations/fedreg/2019/05/03/2019-09019.html https://regulations.justia.com/regulations/fedreg/2019/05/03/2019-09019.html Fri, 03 May 2019 00:00:00 -0700 2019-09019 Notice https://www.govinfo.gov/content/pkg/FR-2019-05-03/pdf/2019-09019.pdf Notice - 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 Bonds https://regulations.justia.com/regulations/fedreg/2019/05/03/2019-09018.html https://regulations.justia.com/regulations/fedreg/2019/05/03/2019-09018.html Fri, 03 May 2019 00:00:00 -0700 2019-09018 Notice https://www.govinfo.gov/content/pkg/FR-2019-05-03/pdf/2019-09018.pdf 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 https://regulations.justia.com/regulations/fedreg/2019/05/03/2019-09017.html https://regulations.justia.com/regulations/fedreg/2019/05/03/2019-09017.html Fri, 03 May 2019 00:00:00 -0700 2019-09017 Notice https://www.govinfo.gov/content/pkg/FR-2019-05-03/pdf/2019-09017.pdf Notice - Sunshine Act Meetings https://regulations.justia.com/regulations/fedreg/2019/05/02/2019-09040.html https://regulations.justia.com/regulations/fedreg/2019/05/02/2019-09040.html Thu, 02 May 2019 00:00:00 -0700 2019-09040 Notice https://www.govinfo.gov/content/pkg/FR-2019-05-02/pdf/2019-09040.pdf Notice - Sunshine Act Meetings https://regulations.justia.com/regulations/fedreg/2019/05/02/2019-09039.html https://regulations.justia.com/regulations/fedreg/2019/05/02/2019-09039.html Thu, 02 May 2019 00:00:00 -0700 2019-09039 Notice https://www.govinfo.gov/content/pkg/FR-2019-05-02/pdf/2019-09039.pdf Notice - 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 Others https://regulations.justia.com/regulations/fedreg/2019/05/02/2019-08922.html https://regulations.justia.com/regulations/fedreg/2019/05/02/2019-08922.html Thu, 02 May 2019 00:00:00 -0700 2019-08922 Notice https://www.govinfo.gov/content/pkg/FR-2019-05-02/pdf/2019-08922.pdf Notice - 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 4 https://regulations.justia.com/regulations/fedreg/2019/05/02/2019-08921.html https://regulations.justia.com/regulations/fedreg/2019/05/02/2019-08921.html Thu, 02 May 2019 00:00:00 -0700 2019-08921 Notice https://www.govinfo.gov/content/pkg/FR-2019-05-02/pdf/2019-08921.pdf Notice - 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) https://regulations.justia.com/regulations/fedreg/2019/05/02/2019-08920.html https://regulations.justia.com/regulations/fedreg/2019/05/02/2019-08920.html Thu, 02 May 2019 00:00:00 -0700 2019-08920 Notice https://www.govinfo.gov/content/pkg/FR-2019-05-02/pdf/2019-08920.pdf Notice - 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 Procedure https://regulations.justia.com/regulations/fedreg/2019/05/02/2019-08919.html https://regulations.justia.com/regulations/fedreg/2019/05/02/2019-08919.html Thu, 02 May 2019 00:00:00 -0700 2019-08919 Notice https://www.govinfo.gov/content/pkg/FR-2019-05-02/pdf/2019-08919.pdf Notice - 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 Volatility https://regulations.justia.com/regulations/fedreg/2019/05/02/2019-08918.html https://regulations.justia.com/regulations/fedreg/2019/05/02/2019-08918.html Thu, 02 May 2019 00:00:00 -0700 2019-08918 Notice https://www.govinfo.gov/content/pkg/FR-2019-05-02/pdf/2019-08918.pdf Notice - 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 Rules https://regulations.justia.com/regulations/fedreg/2019/05/02/2019-08917.html https://regulations.justia.com/regulations/fedreg/2019/05/02/2019-08917.html Thu, 02 May 2019 00:00:00 -0700 2019-08917 Notice https://www.govinfo.gov/content/pkg/FR-2019-05-02/pdf/2019-08917.pdf Notice - Self-Regulatory Organizations; Cboe BZX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating To Replace Obsolete Terminology https://regulations.justia.com/regulations/fedreg/2019/05/02/2019-08914.html https://regulations.justia.com/regulations/fedreg/2019/05/02/2019-08914.html Thu, 02 May 2019 00:00:00 -0700 2019-08914 Notice https://www.govinfo.gov/content/pkg/FR-2019-05-02/pdf/2019-08914.pdf Notice - 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 Rules https://regulations.justia.com/regulations/fedreg/2019/05/02/2019-08913.html https://regulations.justia.com/regulations/fedreg/2019/05/02/2019-08913.html Thu, 02 May 2019 00:00:00 -0700 2019-08913 Notice https://www.govinfo.gov/content/pkg/FR-2019-05-02/pdf/2019-08913.pdf Notice - Self-Regulatory Organizations; Cboe Exchange, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Chapter 17 of the Cboe Options Rules https://regulations.justia.com/regulations/fedreg/2019/05/02/2019-08912.html https://regulations.justia.com/regulations/fedreg/2019/05/02/2019-08912.html Thu, 02 May 2019 00:00:00 -0700 2019-08912 Notice https://www.govinfo.gov/content/pkg/FR-2019-05-02/pdf/2019-08912.pdf Notice - 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 Rules https://regulations.justia.com/regulations/fedreg/2019/05/02/2019-08911.html https://regulations.justia.com/regulations/fedreg/2019/05/02/2019-08911.html Thu, 02 May 2019 00:00:00 -0700 2019-08911 Notice https://www.govinfo.gov/content/pkg/FR-2019-05-02/pdf/2019-08911.pdf Notice - Self-Regulatory Organizations; Cboe EDGX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating To Replace Obsolete Terminology https://regulations.justia.com/regulations/fedreg/2019/05/02/2019-08910.html https://regulations.justia.com/regulations/fedreg/2019/05/02/2019-08910.html Thu, 02 May 2019 00:00:00 -0700 2019-08910 Notice https://www.govinfo.gov/content/pkg/FR-2019-05-02/pdf/2019-08910.pdf Notice - Notice of Applications for Deregistration Under Section 8(f) of the Investment Company Act of 1940 https://regulations.justia.com/regulations/fedreg/2019/05/02/2019-08885.html https://regulations.justia.com/regulations/fedreg/2019/05/02/2019-08885.html Thu, 02 May 2019 00:00:00 -0700 2019-08885 Notice https://www.govinfo.gov/content/pkg/FR-2019-05-02/pdf/2019-08885.pdf Notice - 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 Volatility https://regulations.justia.com/regulations/fedreg/2019/05/01/2019-08782.html https://regulations.justia.com/regulations/fedreg/2019/05/01/2019-08782.html Wed, 01 May 2019 00:00:00 -0700 2019-08782 Notice https://www.govinfo.gov/content/pkg/FR-2019-05-01/pdf/2019-08782.pdf Notice - 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 1 https://regulations.justia.com/regulations/fedreg/2019/05/01/2019-08781.html https://regulations.justia.com/regulations/fedreg/2019/05/01/2019-08781.html Wed, 01 May 2019 00:00:00 -0700 2019-08781 Notice https://www.govinfo.gov/content/pkg/FR-2019-05-01/pdf/2019-08781.pdf Notice - 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 Volatility https://regulations.justia.com/regulations/fedreg/2019/05/01/2019-08777.html https://regulations.justia.com/regulations/fedreg/2019/05/01/2019-08777.html Wed, 01 May 2019 00:00:00 -0700 2019-08777 Notice https://www.govinfo.gov/content/pkg/FR-2019-05-01/pdf/2019-08777.pdf Notice - 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 Volatility https://regulations.justia.com/regulations/fedreg/2019/05/01/2019-08776.html https://regulations.justia.com/regulations/fedreg/2019/05/01/2019-08776.html Wed, 01 May 2019 00:00:00 -0700 2019-08776 Notice https://www.govinfo.gov/content/pkg/FR-2019-05-01/pdf/2019-08776.pdf Notice - 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 Changes https://regulations.justia.com/regulations/fedreg/2019/05/01/2019-08774.html https://regulations.justia.com/regulations/fedreg/2019/05/01/2019-08774.html Wed, 01 May 2019 00:00:00 -0700 2019-08774 Notice https://www.govinfo.gov/content/pkg/FR-2019-05-01/pdf/2019-08774.pdf Notice - Small Business Capital Formation Advisory Committee https://regulations.justia.com/regulations/fedreg/2019/05/01/2019-08762.html https://regulations.justia.com/regulations/fedreg/2019/05/01/2019-08762.html Wed, 01 May 2019 00:00:00 -0700 2019-08762 Notice https://www.govinfo.gov/content/pkg/FR-2019-05-01/pdf/2019-08762.pdf