Federal Register Recent Federal Regulation Documents - Justia Regulation Tracker - Justia Regulations Tracker https://regulations.justia.com/regulations/fedreg/agencies/securities-and-exchange-commission/2019/06?limit=200&registers=between&min-day=1&max-day=30&mode=atom 2020-09-18T10:01:19-07:00 Justia Inc https://www.justia.com/ Justia Regulations Tracker https://regulations.justia.com/images/justiafedregulations.gif Copyright 2011 Justia Inc https://regulations.justia.com/regulations/fedreg/2019/06/28/2019-13776.html Notice - Self-Regulatory Organizations; The Options Clearing Corporation; Notice of No Objection To Advance Notice Concerning The Options Clearing Corporation's Proposal To Enter Into a New Credit Facility Agreement 2019-06-28T00:00:00-07:00 2019-06-28T00:00:00-07:00 2019-13776 Notice https://www.govinfo.gov/content/pkg/FR-2019-06-28/pdf/2019-13776.pdf https://regulations.justia.com/regulations/fedreg/2019/06/28/2019-13775.html Notice - Self-Regulatory Organizations; Nasdaq PHLX LLC; Order Granting Approval of Proposed Rule Change Relating to the Allocation and Prioritization of Automatically Executed Trades 2019-06-28T00:00:00-07:00 2019-06-28T00:00:00-07:00 2019-13775 Notice https://www.govinfo.gov/content/pkg/FR-2019-06-28/pdf/2019-13775.pdf https://regulations.justia.com/regulations/fedreg/2019/06/28/2019-13764.html Notice - Self-Regulatory Organizations; ICE Clear Europe Limited; Order Approving Proposed Rule Change Relating to the ICE Clear Europe Operational Risk Management Policy 2019-06-28T00:00:00-07:00 2019-06-28T00:00:00-07:00 2019-13764 Notice https://www.govinfo.gov/content/pkg/FR-2019-06-28/pdf/2019-13764.pdf https://regulations.justia.com/regulations/fedreg/2019/06/28/2019-13763.html Notice - Self-Regulatory Organizations; MIAX Emerald, LLC; Order Approving 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 2019-06-28T00:00:00-07:00 2019-06-28T00:00:00-07:00 2019-13763 Notice https://www.govinfo.gov/content/pkg/FR-2019-06-28/pdf/2019-13763.pdf https://regulations.justia.com/regulations/fedreg/2019/06/27/2019-13657.html Notice - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Order Approving Proposed Rule Change To Allow Additional Time for Reporting to TRACE of Transactions in U.S. Treasury Securities Executed To Hedge a Primary Market Transaction 2019-06-27T00:00:00-07:00 2019-06-27T00:00:00-07:00 2019-13657 Notice https://www.govinfo.gov/content/pkg/FR-2019-06-27/pdf/2019-13657.pdf https://regulations.justia.com/regulations/fedreg/2019/06/27/2019-13656.html Notice - Self-Regulatory Organizations; Nasdaq ISE, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Extend a Pilot Program 2019-06-27T00:00:00-07:00 2019-06-27T00:00:00-07:00 2019-13656 Notice https://www.govinfo.gov/content/pkg/FR-2019-06-27/pdf/2019-13656.pdf https://regulations.justia.com/regulations/fedreg/2019/06/26/2019-13541.html Notice - Self-Regulatory Organizations; Cboe Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend and Move Certain Current Rules From the Exchange's Currently Effective Rulebook to the Shell Structure for the Exchange's Rulebook That Will Become Effective Upon the Migration of the Exchange's Trading Platform to the Same System Used by the Cboe Affiliated Exchanges 2019-06-26T00:00:00-07:00 2019-06-26T00:00:00-07:00 2019-13541 Notice https://www.govinfo.gov/content/pkg/FR-2019-06-26/pdf/2019-13541.pdf https://regulations.justia.com/regulations/fedreg/2019/06/26/2019-13537.html Notice - Self-Regulatory Organizations; Cboe EDGA Exchange, Inc.; Notice of Filing of a Proposed Rule Change To Introduce a Liquidity Provider Protection on EDGA 2019-06-26T00:00:00-07:00 2019-06-26T00:00:00-07:00 2019-13537 Notice https://www.govinfo.gov/content/pkg/FR-2019-06-26/pdf/2019-13537.pdf https://regulations.justia.com/regulations/fedreg/2019/06/26/2019-13536.html Notice - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing of Amendment No. 2 and Order Granting Accelerated Approval of Proposed Rule Change, as Modified by Amendment No. 2, To Amend NYSE Rule 7.31 To Add a New Order Type, Capital Commitment Order, Modify the Market Order and the Last Sale Peg Modifier, and Make Related Changes to NYSE Rules 7.16, 7.18, 7.34, 7.36, and 7.37 2019-06-26T00:00:00-07:00 2019-06-26T00:00:00-07:00 2019-13536 Notice https://www.govinfo.gov/content/pkg/FR-2019-06-26/pdf/2019-13536.pdf https://regulations.justia.com/regulations/fedreg/2019/06/26/2019-13535.html Notice - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing of Amendment No. 1 and Order Granting Accelerated Approval of a Proposed Rule Change, as Modified by Amendment No. 1, To Amend Exchange Rules 104 and 36 To Require Communications From a Designated Market Maker (“DMM”) to a Designed Senior Representative of an Issuer of Registered Listed Securities 2019-06-26T00:00:00-07:00 2019-06-26T00:00:00-07:00 2019-13535 Notice https://www.govinfo.gov/content/pkg/FR-2019-06-26/pdf/2019-13535.pdf https://regulations.justia.com/regulations/fedreg/2019/06/26/2019-13528.html Notice - Guinness Atkinson Asset Management, Inc. and Guinness Atkinson Funds 2019-06-26T00:00:00-07:00 2019-06-26T00:00:00-07:00 2019-13528 Notice https://www.govinfo.gov/content/pkg/FR-2019-06-26/pdf/2019-13528.pdf https://regulations.justia.com/regulations/fedreg/2019/06/26/2019-13255.html Proposed Rule - Concept Release on Harmonization of Securities Offering Exemptions 2019-06-26T00:00:00-07:00 2019-06-26T00:00:00-07:00 2019-13255 Proposed Rule https://www.govinfo.gov/content/pkg/FR-2019-06-26/pdf/2019-13255.pdf https://regulations.justia.com/regulations/fedreg/2019/06/25/2019-13529.html Notice - Sunshine Act Meetings 2019-06-25T00:00:00-07:00 2019-06-25T00:00:00-07:00 2019-13529 Notice https://www.govinfo.gov/content/pkg/FR-2019-06-25/pdf/2019-13529.pdf https://regulations.justia.com/regulations/fedreg/2019/06/25/2019-13464.html Notice - Program for Allocation of Regulatory Responsibilities Pursuant to Rule 17d-2; Order Approving Proposed Amended Plan for the Allocation of Regulatory Responsibilities Between the Financial Industry Regulatory Authority, Inc. and the NYSE Chicago, Inc. 2019-06-25T00:00:00-07:00 2019-06-25T00:00:00-07:00 2019-13464 Notice https://www.govinfo.gov/content/pkg/FR-2019-06-25/pdf/2019-13464.pdf https://regulations.justia.com/regulations/fedreg/2019/06/25/2019-13414.html Notice - Lord Abbett Credit Opportunities Fund, et al. 2019-06-25T00:00:00-07:00 2019-06-25T00:00:00-07:00 2019-13414 Notice https://www.govinfo.gov/content/pkg/FR-2019-06-25/pdf/2019-13414.pdf https://regulations.justia.com/regulations/fedreg/2019/06/25/2019-13413.html Notice - Self-Regulatory Organizations; Cboe BZX Exchange, Inc.; Notice of Filing of a Proposed Rule Change To Adopt BZX Rule 14.11(k) To Permit the Listing and Trading of Managed Portfolio Shares 2019-06-25T00:00:00-07:00 2019-06-25T00:00:00-07:00 2019-13413 Notice https://www.govinfo.gov/content/pkg/FR-2019-06-25/pdf/2019-13413.pdf https://regulations.justia.com/regulations/fedreg/2019/06/25/2019-13411.html Notice - Self-Regulatory Organizations; BOX Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Rules Regarding the Give-Up and Clearance of Exchange Transactions 2019-06-25T00:00:00-07:00 2019-06-25T00:00:00-07:00 2019-13411 Notice https://www.govinfo.gov/content/pkg/FR-2019-06-25/pdf/2019-13411.pdf https://regulations.justia.com/regulations/fedreg/2019/06/25/2019-13410.html Notice - Self-Regulatory Organizations; Nasdaq MRX, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Extend a Pilot Program 2019-06-25T00:00:00-07:00 2019-06-25T00:00:00-07:00 2019-13410 Notice https://www.govinfo.gov/content/pkg/FR-2019-06-25/pdf/2019-13410.pdf https://regulations.justia.com/regulations/fedreg/2019/06/25/2019-13409.html Notice - Self-Regulatory Organizations; Cboe Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Rule 6.42 To Extend the Penny Pilot Program Through December 31, 2019 2019-06-25T00:00:00-07:00 2019-06-25T00:00:00-07:00 2019-13409 Notice https://www.govinfo.gov/content/pkg/FR-2019-06-25/pdf/2019-13409.pdf https://regulations.justia.com/regulations/fedreg/2019/06/25/2019-13408.html Notice - Self-Regulatory Organizations; Nasdaq GEMX, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Its Rules To Extend a Pilot Program 2019-06-25T00:00:00-07:00 2019-06-25T00:00:00-07:00 2019-13408 Notice https://www.govinfo.gov/content/pkg/FR-2019-06-25/pdf/2019-13408.pdf https://regulations.justia.com/regulations/fedreg/2019/06/25/2019-13407.html Notice - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing of Proposed Rule Change Amend Exchange Rule 104 To Specify Designated Market Maker Requirements for Exchange Traded Products Listed on the Exchange 2019-06-25T00:00:00-07:00 2019-06-25T00:00:00-07:00 2019-13407 Notice https://www.govinfo.gov/content/pkg/FR-2019-06-25/pdf/2019-13407.pdf https://regulations.justia.com/regulations/fedreg/2019/06/25/2019-13406.html Notice - Self-Regulatory Organizations; The Nasdaq Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Chapter VI, Section 5 of the Rules of The Nasdaq Options Market To Extend Through December 31, 2019 or the Date of Permanent Approval, if Earlier, the Penny Pilot Program in Options Classes in Certain Issues 2019-06-25T00:00:00-07:00 2019-06-25T00:00:00-07:00 2019-13406 Notice https://www.govinfo.gov/content/pkg/FR-2019-06-25/pdf/2019-13406.pdf https://regulations.justia.com/regulations/fedreg/2019/06/25/2019-13405.html Notice - Self-Regulatory Organizations; Cboe BZX Exchange, Inc.; Notice of Filing of a Proposed Rule Change To List and Trade Shares of the American Century Focused Dynamic Growth ETF and American Century Focused Large Cap Value ETF Under Currently Proposed Rule 14.11(k) 2019-06-25T00:00:00-07:00 2019-06-25T00:00:00-07:00 2019-13405 Notice https://www.govinfo.gov/content/pkg/FR-2019-06-25/pdf/2019-13405.pdf https://regulations.justia.com/regulations/fedreg/2019/06/24/2019-13310.html Notice - Self-Regulatory Organizations; Cboe BZX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Related To Updating Its Rule 21.1(h) To Allow for a User To Elect That a Bulk Message Opt-Out of the Display-Price Sliding Process, as Well as be Subject to the Lock-Only Display-Price Sliding Process 2019-06-24T00:00:00-07:00 2019-06-24T00:00:00-07:00 2019-13310 Notice https://www.govinfo.gov/content/pkg/FR-2019-06-24/pdf/2019-13310.pdf https://regulations.justia.com/regulations/fedreg/2019/06/24/2019-13309.html Notice - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Change of Amendments To Define “Net Position Information in DMM Securities” in NYSE Rule 98(c)(5) and the “the Position of the DMM Unit” in NYSE Rule 104(g)(1)(B) 2019-06-24T00:00:00-07:00 2019-06-24T00:00:00-07:00 2019-13309 Notice https://www.govinfo.gov/content/pkg/FR-2019-06-24/pdf/2019-13309.pdf https://regulations.justia.com/regulations/fedreg/2019/06/24/2019-13308.html Notice - Self-Regulatory Organizations; Nasdaq MRX, LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Make Non-Substantive, Clarifying Changes to Options 7 2019-06-24T00:00:00-07:00 2019-06-24T00:00:00-07:00 2019-13308 Notice https://www.govinfo.gov/content/pkg/FR-2019-06-24/pdf/2019-13308.pdf https://regulations.justia.com/regulations/fedreg/2019/06/24/2019-13307.html 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, To List and Trade Shares of the iShares Commodity Curve Carry Strategy ETF 2019-06-24T00:00:00-07:00 2019-06-24T00:00:00-07:00 2019-13307 Notice https://www.govinfo.gov/content/pkg/FR-2019-06-24/pdf/2019-13307.pdf https://regulations.justia.com/regulations/fedreg/2019/06/24/2019-13306.html Notice - Self-Regulatory Organizations; Nasdaq BX, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Chapter VI, Section 5 (Minimum Increments), To Extend Through December 31, 2019 2019-06-24T00:00:00-07:00 2019-06-24T00:00:00-07:00 2019-13306 Notice https://www.govinfo.gov/content/pkg/FR-2019-06-24/pdf/2019-13306.pdf https://regulations.justia.com/regulations/fedreg/2019/06/24/2019-13305.html Notice - Self-Regulatory Organizations; Nasdaq ISE, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Relocate ISE's Rules From Their Current Place in the Rulebook Into the New Rulebook Shell 2019-06-24T00:00:00-07:00 2019-06-24T00:00:00-07:00 2019-13305 Notice https://www.govinfo.gov/content/pkg/FR-2019-06-24/pdf/2019-13305.pdf https://regulations.justia.com/regulations/fedreg/2019/06/24/2019-13304.html Notice - Self-Regulatory Organizations; Nasdaq PHLX LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Phlx Rule 1034 To Extend Through December 31, 2019 or the Date of Permanent Approval, if Earlier, the Penny Pilot Program in Options Classes in Certain Issues 2019-06-24T00:00:00-07:00 2019-06-24T00:00:00-07:00 2019-13304 Notice https://www.govinfo.gov/content/pkg/FR-2019-06-24/pdf/2019-13304.pdf https://regulations.justia.com/regulations/fedreg/2019/06/24/2019-13299.html Notice - Submission for OMB Review; Comment Request 2019-06-24T00:00:00-07:00 2019-06-24T00:00:00-07:00 2019-13299 Notice https://www.govinfo.gov/content/pkg/FR-2019-06-24/pdf/2019-13299.pdf https://regulations.justia.com/regulations/fedreg/2019/06/24/2019-13298.html Notice - Submission for OMB Review; Comment Request 2019-06-24T00:00:00-07:00 2019-06-24T00:00:00-07:00 2019-13298 Notice https://www.govinfo.gov/content/pkg/FR-2019-06-24/pdf/2019-13298.pdf https://regulations.justia.com/regulations/fedreg/2019/06/21/2019-13283.html Notice - Submission for OMB Review; Comment Request 2019-06-21T00:00:00-07:00 2019-06-21T00:00:00-07:00 2019-13283 Notice https://www.govinfo.gov/content/pkg/FR-2019-06-21/pdf/2019-13283.pdf https://regulations.justia.com/regulations/fedreg/2019/06/21/2019-13282.html Notice - Submission for OMB Review; Comment Request 2019-06-21T00:00:00-07:00 2019-06-21T00:00:00-07:00 2019-13282 Notice https://www.govinfo.gov/content/pkg/FR-2019-06-21/pdf/2019-13282.pdf https://regulations.justia.com/regulations/fedreg/2019/06/21/2019-13281.html Notice - Submission for OMB Review; Comment Request 2019-06-21T00:00:00-07:00 2019-06-21T00:00:00-07:00 2019-13281 Notice https://www.govinfo.gov/content/pkg/FR-2019-06-21/pdf/2019-13281.pdf https://regulations.justia.com/regulations/fedreg/2019/06/21/2019-13280.html Notice - Submission for OMB Review; Comment Request 2019-06-21T00:00:00-07:00 2019-06-21T00:00:00-07:00 2019-13280 Notice https://www.govinfo.gov/content/pkg/FR-2019-06-21/pdf/2019-13280.pdf https://regulations.justia.com/regulations/fedreg/2019/06/21/2019-13279.html Notice - Submission for OMB Review; Comment Request 2019-06-21T00:00:00-07:00 2019-06-21T00:00:00-07:00 2019-13279 Notice https://www.govinfo.gov/content/pkg/FR-2019-06-21/pdf/2019-13279.pdf https://regulations.justia.com/regulations/fedreg/2019/06/21/2019-13123.html Notice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the NYSE Arca Equities Fees and Charges 2019-06-21T00:00:00-07:00 2019-06-21T00:00:00-07:00 2019-13123 Notice https://www.govinfo.gov/content/pkg/FR-2019-06-21/pdf/2019-13123.pdf https://regulations.justia.com/regulations/fedreg/2019/06/21/2019-13118.html Notice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the NYSE Arca Equities Fees and Charges 2019-06-21T00:00:00-07:00 2019-06-21T00:00:00-07:00 2019-13118 Notice https://www.govinfo.gov/content/pkg/FR-2019-06-21/pdf/2019-13118.pdf https://regulations.justia.com/regulations/fedreg/2019/06/21/2019-13116.html Notice - Self-Regulatory Organizations; Nasdaq BX, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the Exchange's Credits at Equity 7, Section 118(a) 2019-06-21T00:00:00-07:00 2019-06-21T00:00:00-07:00 2019-13116 Notice https://www.govinfo.gov/content/pkg/FR-2019-06-21/pdf/2019-13116.pdf https://regulations.justia.com/regulations/fedreg/2019/06/21/2019-13115.html Notice - Self-Regulatory Organizations; NYSE National, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Its Schedule of Fees and Rebates 2019-06-21T00:00:00-07:00 2019-06-21T00:00:00-07:00 2019-13115 Notice https://www.govinfo.gov/content/pkg/FR-2019-06-21/pdf/2019-13115.pdf https://regulations.justia.com/regulations/fedreg/2019/06/21/2019-13113.html Notice - Self-Regulatory Organizations; the Options Clearing Corporation; Order Approving Proposed Rule Change Related to the Introduction of a New Liquidation Cost Model in the Options Clearing Corporation's Margin Methodology 2019-06-21T00:00:00-07:00 2019-06-21T00:00:00-07:00 2019-13113 Notice https://www.govinfo.gov/content/pkg/FR-2019-06-21/pdf/2019-13113.pdf https://regulations.justia.com/regulations/fedreg/2019/06/20/2019-13075.html Notice - Self-Regulatory Organizations; New York Stock Exchange LLC; Order Disapproving a Proposed Rule Change To Amend the Listed Company Manual for Special Purpose Acquisition Companies To Reduce the Continued Listing Standards for Public Holders From 300 to 100 and To Enable the Exchange To Exercise Discretion To Allow Special Purpose Acquisition Companies a Reasonable Time Period Following a Business Combination to Demonstrate Compliance With the Applicable Quantitative Listing Standards 2019-06-20T00:00:00-07:00 2019-06-20T00:00:00-07:00 2019-13075 Notice https://www.govinfo.gov/content/pkg/FR-2019-06-20/pdf/2019-13075.pdf https://regulations.justia.com/regulations/fedreg/2019/06/20/2019-13074.html Notice - Self-Regulatory Organizations; The Depository Trust Company; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the Operational Arrangements Relating to Transfer Agent and Trustee Notices 2019-06-20T00:00:00-07:00 2019-06-20T00:00:00-07:00 2019-13074 Notice https://www.govinfo.gov/content/pkg/FR-2019-06-20/pdf/2019-13074.pdf https://regulations.justia.com/regulations/fedreg/2019/06/20/2019-13073.html Notice - Self-Regulatory Organizations; NYSE Arca, Inc.; Order Granting Approval of a Proposed Rule Change, as Modified by Amendment No. 3, To List and Trade Shares of the Virtus WMC Risk-Managed Alternative Equity ETF Under NYSE Arca Rule 8.600-E 2019-06-20T00:00:00-07:00 2019-06-20T00:00:00-07:00 2019-13073 Notice https://www.govinfo.gov/content/pkg/FR-2019-06-20/pdf/2019-13073.pdf https://regulations.justia.com/regulations/fedreg/2019/06/20/2019-13072.html Notice - Self-Regulatory Organizations; NYSE American LLC; Notice of Withdrawal of Proposed Rule Change, as Modified by Amendment No. 2, To Allow Flexible Exchange Equity Options To Be Cash Settled Where the Underlying Security Is a Specified Exchange-Traded Fund 2019-06-20T00:00:00-07:00 2019-06-20T00:00:00-07:00 2019-13072 Notice https://www.govinfo.gov/content/pkg/FR-2019-06-20/pdf/2019-13072.pdf https://regulations.justia.com/regulations/fedreg/2019/06/20/2019-13071.html Notice - Self-Regulatory Organizations; Miami International Securities Exchange LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Its Fee Schedule 2019-06-20T00:00:00-07:00 2019-06-20T00:00:00-07:00 2019-13071 Notice https://www.govinfo.gov/content/pkg/FR-2019-06-20/pdf/2019-13071.pdf https://regulations.justia.com/regulations/fedreg/2019/06/20/2019-13070.html Notice - Self-Regulatory Organizations; Miami International Securities Exchange LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Its Fee Schedule 2019-06-20T00:00:00-07:00 2019-06-20T00:00:00-07:00 2019-13070 Notice https://www.govinfo.gov/content/pkg/FR-2019-06-20/pdf/2019-13070.pdf https://regulations.justia.com/regulations/fedreg/2019/06/20/2019-13069.html Notice - Self-Regulatory Organizations; Cboe BZX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change, as Modified by Amendment No. 1, To Allow the Cambria Tail Risk ETF, a Series of the Cambria ETF Trust, To Hold Listed Options Contracts in a Manner That Does Not Comply With Rule 14.11(i), Managed Fund Shares 2019-06-20T00:00:00-07:00 2019-06-20T00:00:00-07:00 2019-13069 Notice https://www.govinfo.gov/content/pkg/FR-2019-06-20/pdf/2019-13069.pdf https://regulations.justia.com/regulations/fedreg/2019/06/20/2019-13056.html Notice - Proposed Collection; Comment Request 2019-06-20T00:00:00-07:00 2019-06-20T00:00:00-07:00 2019-13056 Notice https://www.govinfo.gov/content/pkg/FR-2019-06-20/pdf/2019-13056.pdf https://regulations.justia.com/regulations/fedreg/2019/06/19/2019-12926.html Notice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Designation of a Longer Period for Commission Action on Proceedings To Determine Whether To Approve or Disapprove a Proposed Rule Change, as Modified by Amendment No. 3, To List and Trade Shares of the iShares Commodity Multi-Strategy ETF Under NYSE Arca Rule 8.600-E 2019-06-19T00:00:00-07:00 2019-06-19T00:00:00-07:00 2019-12926 Notice https://www.govinfo.gov/content/pkg/FR-2019-06-19/pdf/2019-12926.pdf https://regulations.justia.com/regulations/fedreg/2019/06/19/2019-12925.html Notice - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Designation of a Longer Period for Commission Action on a Proposed Rule Change To Allow Additional Time for Reporting to TRACE of Transactions in U.S. Treasury Securities Executed To Hedge a Primary Market Transaction 2019-06-19T00:00:00-07:00 2019-06-19T00:00:00-07:00 2019-12925 Notice https://www.govinfo.gov/content/pkg/FR-2019-06-19/pdf/2019-12925.pdf https://regulations.justia.com/regulations/fedreg/2019/06/19/2019-12924.html Notice - Self-Regulatory Organizations; The Depository Trust Company; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Modify the Operational Arrangements and Fee Guide Relating to Structured Securities 2019-06-19T00:00:00-07:00 2019-06-19T00:00:00-07:00 2019-12924 Notice https://www.govinfo.gov/content/pkg/FR-2019-06-19/pdf/2019-12924.pdf https://regulations.justia.com/regulations/fedreg/2019/06/19/2019-12905.html Notice - Tortoise Tax-Advantaged Social Infrastructure Fund, Inc. and Tortoise Credit Strategies, LLC 2019-06-19T00:00:00-07:00 2019-06-19T00:00:00-07:00 2019-12905 Notice https://www.govinfo.gov/content/pkg/FR-2019-06-19/pdf/2019-12905.pdf https://regulations.justia.com/regulations/fedreg/2019/06/18/2019-12890.html Notice - Proposed Collection; Comment Request 2019-06-18T00:00:00-07:00 2019-06-18T00:00:00-07:00 2019-12890 Notice https://www.govinfo.gov/content/pkg/FR-2019-06-18/pdf/2019-12890.pdf https://regulations.justia.com/regulations/fedreg/2019/06/18/2019-12889.html Notice - Proposed Collection; Comment Request 2019-06-18T00:00:00-07:00 2019-06-18T00:00:00-07:00 2019-12889 Notice https://www.govinfo.gov/content/pkg/FR-2019-06-18/pdf/2019-12889.pdf https://regulations.justia.com/regulations/fedreg/2019/06/18/2019-12888.html Notice - Proposed Collection; Comment Request 2019-06-18T00:00:00-07:00 2019-06-18T00:00:00-07:00 2019-12888 Notice https://www.govinfo.gov/content/pkg/FR-2019-06-18/pdf/2019-12888.pdf https://regulations.justia.com/regulations/fedreg/2019/06/18/2019-12887.html Notice - Proposed Collection; Comment Request 2019-06-18T00:00:00-07:00 2019-06-18T00:00:00-07:00 2019-12887 Notice https://www.govinfo.gov/content/pkg/FR-2019-06-18/pdf/2019-12887.pdf https://regulations.justia.com/regulations/fedreg/2019/06/18/2019-12886.html Notice - Proposed Collection; Comment Request 2019-06-18T00:00:00-07:00 2019-06-18T00:00:00-07:00 2019-12886 Notice https://www.govinfo.gov/content/pkg/FR-2019-06-18/pdf/2019-12886.pdf https://regulations.justia.com/regulations/fedreg/2019/06/18/2019-12885.html Notice - Proposed Collection; Comment Request 2019-06-18T00:00:00-07:00 2019-06-18T00:00:00-07:00 2019-12885 Notice https://www.govinfo.gov/content/pkg/FR-2019-06-18/pdf/2019-12885.pdf https://regulations.justia.com/regulations/fedreg/2019/06/18/2019-12884.html Notice - Self-Regulatory Organizations; The Options Clearing Corporation; Notice of No Objection To Advance Notice Related to the Introduction of a New Liquidation Cost Model in The Options Clearing Corporation's Margin Methodology 2019-06-18T00:00:00-07:00 2019-06-18T00:00:00-07:00 2019-12884 Notice https://www.govinfo.gov/content/pkg/FR-2019-06-18/pdf/2019-12884.pdf https://regulations.justia.com/regulations/fedreg/2019/06/18/2019-12883.html Notice - Axonic Alternative Income Fund and Axonic Capital LLC 2019-06-18T00:00:00-07:00 2019-06-18T00:00:00-07:00 2019-12883 Notice https://www.govinfo.gov/content/pkg/FR-2019-06-18/pdf/2019-12883.pdf https://regulations.justia.com/regulations/fedreg/2019/06/18/2019-12788.html Notice - Self-Regulatory Organizations; The Nasdaq Stock Market LLC; Notice of Filing of Proposed Rule Change To Amend the Definition of Family Member in Listing Rule 5605(a)(2) for Purposes of the Definition of Independent Director 2019-06-18T00:00:00-07:00 2019-06-18T00:00:00-07:00 2019-12788 Notice https://www.govinfo.gov/content/pkg/FR-2019-06-18/pdf/2019-12788.pdf https://regulations.justia.com/regulations/fedreg/2019/06/18/2019-12787.html Notice - Self-Regulatory Organizations; Cboe EDGX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating To Amend the Fat Finger Check With Respect to Limit Orders in Rule 21.17 2019-06-18T00:00:00-07:00 2019-06-18T00:00:00-07:00 2019-12787 Notice https://www.govinfo.gov/content/pkg/FR-2019-06-18/pdf/2019-12787.pdf https://regulations.justia.com/regulations/fedreg/2019/06/18/2019-12786.html Notice - Self-Regulatory Organizations; ICE Clear Europe Limited; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Publication of a Circular Regarding the Interpretation of References to EU Legislation in the Clearing Rules Post-Brexit 2019-06-18T00:00:00-07:00 2019-06-18T00:00:00-07:00 2019-12786 Notice https://www.govinfo.gov/content/pkg/FR-2019-06-18/pdf/2019-12786.pdf https://regulations.justia.com/regulations/fedreg/2019/06/18/2019-12785.html Notice - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Designation of a Longer Period for Commission Action on a Proposed Rule Change To Amend FINRA Rule 5110 (Corporate Financing Rule-Underwriting Terms and Arrangements) To Make Substantive, Organizational and Terminology Changes 2019-06-18T00:00:00-07:00 2019-06-18T00:00:00-07:00 2019-12785 Notice https://www.govinfo.gov/content/pkg/FR-2019-06-18/pdf/2019-12785.pdf https://regulations.justia.com/regulations/fedreg/2019/06/18/2019-12781.html Notice - Wahed Invest LLC, et al. 2019-06-18T00:00:00-07:00 2019-06-18T00:00:00-07:00 2019-12781 Notice https://www.govinfo.gov/content/pkg/FR-2019-06-18/pdf/2019-12781.pdf https://regulations.justia.com/regulations/fedreg/2019/06/18/2019-12779.html Notice - Vertical Capital Income Fund and Oakline Advisors, LLC 2019-06-18T00:00:00-07:00 2019-06-18T00:00:00-07:00 2019-12779 Notice https://www.govinfo.gov/content/pkg/FR-2019-06-18/pdf/2019-12779.pdf https://regulations.justia.com/regulations/fedreg/2019/06/18/2019-12778.html Notice - Pioneer ETF Series Trust I, et al. 2019-06-18T00:00:00-07:00 2019-06-18T00:00:00-07:00 2019-12778 Notice https://www.govinfo.gov/content/pkg/FR-2019-06-18/pdf/2019-12778.pdf https://regulations.justia.com/regulations/fedreg/2019/06/17/2019-12660.html Notice - Self-Regulatory Organizations; Cboe BZX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Allow the Exchange To Determine the Availability of Order Types and Times-in-Force 2019-06-17T00:00:00-07:00 2019-06-17T00:00:00-07:00 2019-12660 Notice https://www.govinfo.gov/content/pkg/FR-2019-06-17/pdf/2019-12660.pdf https://regulations.justia.com/regulations/fedreg/2019/06/17/2019-12659.html Notice - Self-Regulatory Organizations; The Nasdaq Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Delay Implementation of the MIDP Routing Option 2019-06-17T00:00:00-07:00 2019-06-17T00:00:00-07:00 2019-12659 Notice https://www.govinfo.gov/content/pkg/FR-2019-06-17/pdf/2019-12659.pdf https://regulations.justia.com/regulations/fedreg/2019/06/17/2019-12658.html Notice - Self-Regulatory Organizations; Cboe EDGX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating To Update Its Price Adjust Process To Allow for the Process To Apply to Bulk Messages 2019-06-17T00:00:00-07:00 2019-06-17T00:00:00-07:00 2019-12658 Notice https://www.govinfo.gov/content/pkg/FR-2019-06-17/pdf/2019-12658.pdf https://regulations.justia.com/regulations/fedreg/2019/06/17/2019-12657.html Notice - Self-Regulatory Organizations; Cboe BZX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating To Adopt Limit-on-Close (“LOC”) and Market-on-Close (“MOC”) Orders 2019-06-17T00:00:00-07:00 2019-06-17T00:00:00-07:00 2019-12657 Notice https://www.govinfo.gov/content/pkg/FR-2019-06-17/pdf/2019-12657.pdf https://regulations.justia.com/regulations/fedreg/2019/06/17/2019-12656.html Notice - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Rule 7.31 Relating to the Yielding Modifier 2019-06-17T00:00:00-07:00 2019-06-17T00:00:00-07:00 2019-12656 Notice https://www.govinfo.gov/content/pkg/FR-2019-06-17/pdf/2019-12656.pdf https://regulations.justia.com/regulations/fedreg/2019/06/17/2019-12655.html Notice - Self-Regulatory Organizations; The Nasdaq Stock Market LLC; Notice of Filing of Proposed Rule Change To Amend Rule 4702 To Establish the “Midpoint Extended Life Order + Continuous Book” as a New Order Type 2019-06-17T00:00:00-07:00 2019-06-17T00:00:00-07:00 2019-12655 Notice https://www.govinfo.gov/content/pkg/FR-2019-06-17/pdf/2019-12655.pdf https://regulations.justia.com/regulations/fedreg/2019/06/14/2019-12775.html Notice - Sunshine Act Meeting; Cancellation 2019-06-14T00:00:00-07:00 2019-06-14T00:00:00-07:00 2019-12775 Notice https://www.govinfo.gov/content/pkg/FR-2019-06-14/pdf/2019-12775.pdf https://regulations.justia.com/regulations/fedreg/2019/06/14/2019-12563.html Rule - Amendment to Single Issuer Exemption for Broker-Dealers 2019-06-14T00:00:00-07:00 2019-06-14T00:00:00-07:00 2019-12563 Rule https://www.govinfo.gov/content/pkg/FR-2019-06-14/pdf/2019-12563.pdf https://regulations.justia.com/regulations/fedreg/2019/06/14/2019-12546.html Notice - Self-Regulatory Organizations; Cboe EDGX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Extend Through December 31, 2019, the Penny Pilot Program (“Penny Pilot”) in Options Classes in Certain Issues (“Pilot Program”) Previously Approved by the Commission 2019-06-14T00:00:00-07:00 2019-06-14T00:00:00-07:00 2019-12546 Notice https://www.govinfo.gov/content/pkg/FR-2019-06-14/pdf/2019-12546.pdf https://regulations.justia.com/regulations/fedreg/2019/06/14/2019-12545.html Notice - Self-Regulatory Organizations; Cboe BZX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Extend Through December 31, 2019, the Penny Pilot Program (“Penny Pilot”) in Options Classes in Certain Issues (“Pilot Program”) Previously Approved by the Commission 2019-06-14T00:00:00-07:00 2019-06-14T00:00:00-07:00 2019-12545 Notice https://www.govinfo.gov/content/pkg/FR-2019-06-14/pdf/2019-12545.pdf https://regulations.justia.com/regulations/fedreg/2019/06/14/2019-12544.html Notice - Self-Regulatory Organizations; Cboe C2 Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating To Amend Rule 6.4 by Extending the Penny Pilot Program Through December 31, 2019 2019-06-14T00:00:00-07:00 2019-06-14T00:00:00-07:00 2019-12544 Notice https://www.govinfo.gov/content/pkg/FR-2019-06-14/pdf/2019-12544.pdf https://regulations.justia.com/regulations/fedreg/2019/06/14/2019-12543.html Notice - Self-Regulatory Organizations; Cboe EDGX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating To Adopt Limit-on-Close (“LOC”) and Market-on-Close (“MOC”) Orders 2019-06-14T00:00:00-07:00 2019-06-14T00:00:00-07:00 2019-12543 Notice https://www.govinfo.gov/content/pkg/FR-2019-06-14/pdf/2019-12543.pdf https://regulations.justia.com/regulations/fedreg/2019/06/14/2019-12542.html Notice - Self-Regulatory Organizations; The Nasdaq Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Nasdaq Rule 5615 To Allow Additional Issuers Who List Only Specific Securities To Be Able To Avail Themselves of Certain Exemptions Under Corporate Governance Requirements and To Amend Nasdaq Rule IM-5620 To Exclude Additional Categories of Issuers Listing Only Specific Securities From the Annual Shareholder Meeting Requirement 2019-06-14T00:00:00-07:00 2019-06-14T00:00:00-07:00 2019-12542 Notice https://www.govinfo.gov/content/pkg/FR-2019-06-14/pdf/2019-12542.pdf https://regulations.justia.com/regulations/fedreg/2019/06/14/2019-12541.html Notice - Self-Regulatory Organizations; Nasdaq ISE, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Extend the Pilot To Permit the Listing and Trading of Options Based on 1/5 2019-06-14T00:00:00-07:00 2019-06-14T00:00:00-07:00 2019-12541 Notice https://www.govinfo.gov/content/pkg/FR-2019-06-14/pdf/2019-12541.pdf https://regulations.justia.com/regulations/fedreg/2019/06/13/2019-12551.html Notice - Sunshine Act Meetings 2019-06-13T00:00:00-07:00 2019-06-13T00:00:00-07:00 2019-12551 Notice https://www.govinfo.gov/content/pkg/FR-2019-06-13/pdf/2019-12551.pdf https://regulations.justia.com/regulations/fedreg/2019/06/13/2019-12515.html Notice - Proposed Collection; Comment Request 2019-06-13T00:00:00-07:00 2019-06-13T00:00:00-07:00 2019-12515 Notice https://www.govinfo.gov/content/pkg/FR-2019-06-13/pdf/2019-12515.pdf https://regulations.justia.com/regulations/fedreg/2019/06/13/2019-12453.html Notice - Self-Regulatory Organizations; Cboe EDGX Exchange, Inc.; Notice of Withdrawal of Proposed Rule Change, as Modified by Amendment No. 1, To Adopt Rule 21.21 (Solicitation Auction Mechanism) 2019-06-13T00:00:00-07:00 2019-06-13T00:00:00-07:00 2019-12453 Notice https://www.govinfo.gov/content/pkg/FR-2019-06-13/pdf/2019-12453.pdf https://regulations.justia.com/regulations/fedreg/2019/06/13/2019-12452.html Notice - Self-Regulatory Organizations; The Nasdaq Stock Market LLC; Notice of Designation of Longer Period for Commission Action on a Proposed Rule Change To Adopt Additional Requirements for Listings in Connection With an Offering Under Regulation A of the Securities Act 2019-06-13T00:00:00-07:00 2019-06-13T00:00:00-07:00 2019-12452 Notice https://www.govinfo.gov/content/pkg/FR-2019-06-13/pdf/2019-12452.pdf https://regulations.justia.com/regulations/fedreg/2019/06/13/2019-12451.html Notice - Self-Regulatory Organizations; Cboe C2 Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating To Amend the Fat Finger Check for Simple Orders in Rule 6.14 2019-06-13T00:00:00-07:00 2019-06-13T00:00:00-07:00 2019-12451 Notice https://www.govinfo.gov/content/pkg/FR-2019-06-13/pdf/2019-12451.pdf https://regulations.justia.com/regulations/fedreg/2019/06/13/2019-12450.html Notice - Self-Regulatory Organizations; Cboe Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Its Rules Relating to Registration of Trading Permit Holders 2019-06-13T00:00:00-07:00 2019-06-13T00:00:00-07:00 2019-12450 Notice https://www.govinfo.gov/content/pkg/FR-2019-06-13/pdf/2019-12450.pdf https://regulations.justia.com/regulations/fedreg/2019/06/13/2019-12449.html Notice - Self-Regulatory Organizations; Nasdaq MRX, LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Its Rules Governing the Give Up of a Clearing Member by a Member on Exchange Transactions 2019-06-13T00:00:00-07:00 2019-06-13T00:00:00-07:00 2019-12449 Notice https://www.govinfo.gov/content/pkg/FR-2019-06-13/pdf/2019-12449.pdf https://regulations.justia.com/regulations/fedreg/2019/06/13/2019-12448.html Notice - Self-Regulatory Organizations; Nasdaq GEMX, LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Its Rules Governing the Give Up of a Clearing Member by a Member on Exchange Transactions 2019-06-13T00:00:00-07:00 2019-06-13T00:00:00-07:00 2019-12448 Notice https://www.govinfo.gov/content/pkg/FR-2019-06-13/pdf/2019-12448.pdf https://regulations.justia.com/regulations/fedreg/2019/06/13/2019-12447.html Notice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Commentary .02 to Rule 6.72-O in Order To Extend the Penny Pilot in Options Classes in Certain Issues 2019-06-13T00:00:00-07:00 2019-06-13T00:00:00-07:00 2019-12447 Notice https://www.govinfo.gov/content/pkg/FR-2019-06-13/pdf/2019-12447.pdf https://regulations.justia.com/regulations/fedreg/2019/06/13/2019-12446.html Notice - Self-Regulatory Organizations; NYSE American LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Commentary .02 to Rule 960NY in Order To Extend the Penny Pilot in Options Classes in Certain Issues 2019-06-13T00:00:00-07:00 2019-06-13T00:00:00-07:00 2019-12446 Notice https://www.govinfo.gov/content/pkg/FR-2019-06-13/pdf/2019-12446.pdf https://regulations.justia.com/regulations/fedreg/2019/06/12/C1-2019-11446.html Notice - Self-Regulatory Organizations; NYSE Arca, Inc.; Order Instituting Proceedings To Determine Whether To Approve or Disapprove a Proposed Rule Change To Amend NYSE Arca Rule 5.2-E(j)(3) and To Adopt Generic Listing Standards for Investment Company Units Based on an Index or Portfolio of Municipal Securities 2019-06-12T00:00:00-07:00 2019-06-12T00:00:00-07:00 C1-2019-11446 Notice https://www.govinfo.gov/content/pkg/FR-2019-06-12/pdf/C1-2019-11446.pdf https://regulations.justia.com/regulations/fedreg/2019/06/12/2019-12423.html Notice - Proposed Collection; Comment Request 2019-06-12T00:00:00-07:00 2019-06-12T00:00:00-07:00 2019-12423 Notice https://www.govinfo.gov/content/pkg/FR-2019-06-12/pdf/2019-12423.pdf https://regulations.justia.com/regulations/fedreg/2019/06/12/2019-12343.html Notice - Self-Regulatory Organizations; BOX Exchange LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Rule 7260 by Extending the Penny Pilot Program Through December 31, 2019 2019-06-12T00:00:00-07:00 2019-06-12T00:00:00-07:00 2019-12343 Notice https://www.govinfo.gov/content/pkg/FR-2019-06-12/pdf/2019-12343.pdf https://regulations.justia.com/regulations/fedreg/2019/06/12/2019-12341.html Notice - Self-Regulatory Organizations; Nasdaq BX, Inc.; Notice of Filing of Amendment No. 1 and Order Granting Accelerated Approval of a Proposed Rule Change, as Modified by Amendment No. 1, To Reassign Certain Investigation and Enforcement Functions Under the Exchange's Authority and Supervision 2019-06-12T00:00:00-07:00 2019-06-12T00:00:00-07:00 2019-12341 Notice https://www.govinfo.gov/content/pkg/FR-2019-06-12/pdf/2019-12341.pdf https://regulations.justia.com/regulations/fedreg/2019/06/12/2019-12339.html Notice - Self-Regulatory Organizations; Nasdaq BX, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the Order Routing Rule in BX Chapter VI, Section 11 2019-06-12T00:00:00-07:00 2019-06-12T00:00:00-07:00 2019-12339 Notice https://www.govinfo.gov/content/pkg/FR-2019-06-12/pdf/2019-12339.pdf https://regulations.justia.com/regulations/fedreg/2019/06/12/2019-12337.html Notice - Self-Regulatory Organizations; MIAX Emerald, LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Exchange Rule 510, Minimum Price Variations and Minimum Trading Increments To Extend the Penny Pilot Program 2019-06-12T00:00:00-07:00 2019-06-12T00:00:00-07:00 2019-12337 Notice https://www.govinfo.gov/content/pkg/FR-2019-06-12/pdf/2019-12337.pdf https://regulations.justia.com/regulations/fedreg/2019/06/12/2019-12336.html Notice - Self-Regulatory Organizations; Miami PEARL, LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Rule 510, Minimum Price Variations and Minimum Trading Increments To Extend the Penny Pilot Program 2019-06-12T00:00:00-07:00 2019-06-12T00:00:00-07:00 2019-12336 Notice https://www.govinfo.gov/content/pkg/FR-2019-06-12/pdf/2019-12336.pdf https://regulations.justia.com/regulations/fedreg/2019/06/12/2019-12335.html Notice - Self-Regulatory Organizations; Miami International Securities Exchange, LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Rule 510, Minimum Price Variations and Minimum Trading Increments To Extend the Penny Pilot Program 2019-06-12T00:00:00-07:00 2019-06-12T00:00:00-07:00 2019-12335 Notice https://www.govinfo.gov/content/pkg/FR-2019-06-12/pdf/2019-12335.pdf https://regulations.justia.com/regulations/fedreg/2019/06/11/2019-12193.html Notice - Self-Regulatory Organizations; ICE Clear Credit LLC; Order Approving Proposed Rule Change Relating to the ICC Model Validation Framework 2019-06-11T00:00:00-07:00 2019-06-11T00:00:00-07:00 2019-12193 Notice https://www.govinfo.gov/content/pkg/FR-2019-06-11/pdf/2019-12193.pdf https://regulations.justia.com/regulations/fedreg/2019/06/11/2019-12192.html Notice - Self-Regulatory Organizations; Cboe C2 Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating To Adopt Limit-on-Close (“LOC”) and Market-on-Close (“MOC”) Orders 2019-06-11T00:00:00-07:00 2019-06-11T00:00:00-07:00 2019-12192 Notice https://www.govinfo.gov/content/pkg/FR-2019-06-11/pdf/2019-12192.pdf https://regulations.justia.com/regulations/fedreg/2019/06/11/2019-12191.html Notice - Self-Regulatory Organizations; The Depository Trust Company; Notice of Designation of a Longer Period for Commission Action on Proceedings To Determine Whether To Approve or Disapprove a Proposed Rule Change To Amend the Settlement Guide Procedures To Provide Status Information for Institutional Transactions to a Matching Utility 2019-06-11T00:00:00-07:00 2019-06-11T00:00:00-07:00 2019-12191 Notice https://www.govinfo.gov/content/pkg/FR-2019-06-11/pdf/2019-12191.pdf https://regulations.justia.com/regulations/fedreg/2019/06/11/2019-12189.html Notice - Self-Regulatory Organizations; ICE Clear Credit LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to ICC's Risk Management Model Description 2019-06-11T00:00:00-07:00 2019-06-11T00:00:00-07:00 2019-12189 Notice https://www.govinfo.gov/content/pkg/FR-2019-06-11/pdf/2019-12189.pdf https://regulations.justia.com/regulations/fedreg/2019/06/11/2019-12188.html Notice - Self-Regulatory Organizations; BOX Exchange LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend BOX Rule IM-5050-1 Allow $1 Strike Price Intervals Above $200 on Options on the QQQ and IWM Exchange-Traded Funds 2019-06-11T00:00:00-07:00 2019-06-11T00:00:00-07:00 2019-12188 Notice https://www.govinfo.gov/content/pkg/FR-2019-06-11/pdf/2019-12188.pdf https://regulations.justia.com/regulations/fedreg/2019/06/11/2019-12187.html Notice - Self-Regulatory Organizations; Cboe C2 Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Update Its Price Adjust Process To Allow for the Process To Apply to Bulk Messages 2019-06-11T00:00:00-07:00 2019-06-11T00:00:00-07:00 2019-12187 Notice https://www.govinfo.gov/content/pkg/FR-2019-06-11/pdf/2019-12187.pdf https://regulations.justia.com/regulations/fedreg/2019/06/10/2019-12328.html Notice - Sunshine Act Meetings 2019-06-10T00:00:00-07:00 2019-06-10T00:00:00-07:00 2019-12328 Notice https://www.govinfo.gov/content/pkg/FR-2019-06-10/pdf/2019-12328.pdf https://regulations.justia.com/regulations/fedreg/2019/06/10/2019-12097.html Notice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Withdrawal of 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 2019-06-10T00:00:00-07:00 2019-06-10T00:00:00-07:00 2019-12097 Notice https://www.govinfo.gov/content/pkg/FR-2019-06-10/pdf/2019-12097.pdf https://regulations.justia.com/regulations/fedreg/2019/06/10/2019-12093.html Notice - Self-Regulatory Organizations; The Nasdaq Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Relocate the Options Rules Under Chapter IV, Securities Traded on NOM 2019-06-10T00:00:00-07:00 2019-06-10T00:00:00-07:00 2019-12093 Notice https://www.govinfo.gov/content/pkg/FR-2019-06-10/pdf/2019-12093.pdf https://regulations.justia.com/regulations/fedreg/2019/06/10/2019-12092.html Notice - Self-Regulatory Organizations; Nasdaq PHLX LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Equity 7, Section 3, Which Governs Pricing for Phlx Members Using the Nasdaq PSX System 2019-06-10T00:00:00-07:00 2019-06-10T00:00:00-07:00 2019-12092 Notice https://www.govinfo.gov/content/pkg/FR-2019-06-10/pdf/2019-12092.pdf https://regulations.justia.com/regulations/fedreg/2019/06/10/2019-12091.html Notice - Self-Regulatory Organizations; BOX Exchange LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Adopt Rules Governing the Trading of Complex Qualified Contingent Cross Orders and Make a Modification to the Execution Requirements for Complex Customer Cross Orders 2019-06-10T00:00:00-07:00 2019-06-10T00:00:00-07:00 2019-12091 Notice https://www.govinfo.gov/content/pkg/FR-2019-06-10/pdf/2019-12091.pdf https://regulations.justia.com/regulations/fedreg/2019/06/10/2019-12090.html Notice - Self-Regulatory Organizations; The Nasdaq Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Equity 7, Section 118(a) 2019-06-10T00:00:00-07:00 2019-06-10T00:00:00-07:00 2019-12090 Notice https://www.govinfo.gov/content/pkg/FR-2019-06-10/pdf/2019-12090.pdf https://regulations.justia.com/regulations/fedreg/2019/06/10/2019-12089.html Notice - Self-Regulatory Organizations; Miami International Securities Exchange, LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Exchange Rule 519, MIAX Order Monitor 2019-06-10T00:00:00-07:00 2019-06-10T00:00:00-07:00 2019-12089 Notice https://www.govinfo.gov/content/pkg/FR-2019-06-10/pdf/2019-12089.pdf https://regulations.justia.com/regulations/fedreg/2019/06/10/2019-12086.html Notice - Self-Regulatory Organizations; Nasdaq BX, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Equity 7, Section 118(a) To Adopt Pricing for the Recently Adopted SCAR Routing Strategy 2019-06-10T00:00:00-07:00 2019-06-10T00:00:00-07:00 2019-12086 Notice https://www.govinfo.gov/content/pkg/FR-2019-06-10/pdf/2019-12086.pdf https://regulations.justia.com/regulations/fedreg/2019/06/07/2019-12042.html Notice - Submission for OMB Review; Comment Request; Extension: Rule 17a-7 2019-06-07T00:00:00-07:00 2019-06-07T00:00:00-07:00 2019-12042 Notice https://www.govinfo.gov/content/pkg/FR-2019-06-07/pdf/2019-12042.pdf https://regulations.justia.com/regulations/fedreg/2019/06/07/2019-12041.html Notice - Submission for OMB Review; Comment Request 2019-06-07T00:00:00-07:00 2019-06-07T00:00:00-07:00 2019-12041 Notice https://www.govinfo.gov/content/pkg/FR-2019-06-07/pdf/2019-12041.pdf https://regulations.justia.com/regulations/fedreg/2019/06/07/2019-12039.html Notice - Submission for OMB Review; Comment Request 2019-06-07T00:00:00-07:00 2019-06-07T00:00:00-07:00 2019-12039 Notice https://www.govinfo.gov/content/pkg/FR-2019-06-07/pdf/2019-12039.pdf https://regulations.justia.com/regulations/fedreg/2019/06/07/2019-12038.html Notice - Submission for OMB Review; Comment Request 2019-06-07T00:00:00-07:00 2019-06-07T00:00:00-07:00 2019-12038 Notice https://www.govinfo.gov/content/pkg/FR-2019-06-07/pdf/2019-12038.pdf https://regulations.justia.com/regulations/fedreg/2019/06/07/2019-11933.html Notice - Self-Regulatory Organizations; NYSE Arca, Inc.; Order Approving a Proposed Rule Change, as Modified by Amendment No. 1, To Amend Certain Generic Listing Standards for Managed Fund Shares Applicable to Holdings of Fixed Income Securities 2019-06-07T00:00:00-07:00 2019-06-07T00:00:00-07:00 2019-11933 Notice https://www.govinfo.gov/content/pkg/FR-2019-06-07/pdf/2019-11933.pdf https://regulations.justia.com/regulations/fedreg/2019/06/06/2019-11894.html Notice - Initial Form ATS-N Filing; Notice of Extension of Commission Review Period 2019-06-06T00:00:00-07:00 2019-06-06T00:00:00-07:00 2019-11894 Notice https://www.govinfo.gov/content/pkg/FR-2019-06-06/pdf/2019-11894.pdf https://regulations.justia.com/regulations/fedreg/2019/06/06/2019-11893.html Notice - Initial Form ATS-N Filing; Notice of Extension of Commission Review Period 2019-06-06T00:00:00-07:00 2019-06-06T00:00:00-07:00 2019-11893 Notice https://www.govinfo.gov/content/pkg/FR-2019-06-06/pdf/2019-11893.pdf https://regulations.justia.com/regulations/fedreg/2019/06/06/2019-11892.html Notice - Initial Form ATS-N Filing; Notice of Extension of Commission Review Period 2019-06-06T00:00:00-07:00 2019-06-06T00:00:00-07:00 2019-11892 Notice https://www.govinfo.gov/content/pkg/FR-2019-06-06/pdf/2019-11892.pdf https://regulations.justia.com/regulations/fedreg/2019/06/06/2019-11891.html Notice - Initial Form ATS-N Filing; Notice of Extension of Commission Review Period 2019-06-06T00:00:00-07:00 2019-06-06T00:00:00-07:00 2019-11891 Notice https://www.govinfo.gov/content/pkg/FR-2019-06-06/pdf/2019-11891.pdf https://regulations.justia.com/regulations/fedreg/2019/06/06/2019-11890.html Notice - Initial Form ATS-N Filing; Notice of Extension of Commission Review Period 2019-06-06T00:00:00-07:00 2019-06-06T00:00:00-07:00 2019-11890 Notice https://www.govinfo.gov/content/pkg/FR-2019-06-06/pdf/2019-11890.pdf https://regulations.justia.com/regulations/fedreg/2019/06/06/2019-11889.html Notice - Initial Form ATS-N Filing; Notice of Extension of Commission Review Period 2019-06-06T00:00:00-07:00 2019-06-06T00:00:00-07:00 2019-11889 Notice https://www.govinfo.gov/content/pkg/FR-2019-06-06/pdf/2019-11889.pdf https://regulations.justia.com/regulations/fedreg/2019/06/06/2019-11875.html Notice - Initial Form ATS-N Filing; Notice of Extension of Commission Review Period 2019-06-06T00:00:00-07:00 2019-06-06T00:00:00-07:00 2019-11875 Notice https://www.govinfo.gov/content/pkg/FR-2019-06-06/pdf/2019-11875.pdf https://regulations.justia.com/regulations/fedreg/2019/06/06/2019-11874.html Notice - Initial Form ATS-N Filing; Notice of Extension of Commission Review Period 2019-06-06T00:00:00-07:00 2019-06-06T00:00:00-07:00 2019-11874 Notice https://www.govinfo.gov/content/pkg/FR-2019-06-06/pdf/2019-11874.pdf https://regulations.justia.com/regulations/fedreg/2019/06/06/2019-11873.html Notice - Initial Form ATS-N Filing; Notice of Extension of Commission Review Period 2019-06-06T00:00:00-07:00 2019-06-06T00:00:00-07:00 2019-11873 Notice https://www.govinfo.gov/content/pkg/FR-2019-06-06/pdf/2019-11873.pdf https://regulations.justia.com/regulations/fedreg/2019/06/06/2019-11872.html Notice - Initial Form ATS-N Filing; Notice of Extension of Commission Review Period 2019-06-06T00:00:00-07:00 2019-06-06T00:00:00-07:00 2019-11872 Notice https://www.govinfo.gov/content/pkg/FR-2019-06-06/pdf/2019-11872.pdf https://regulations.justia.com/regulations/fedreg/2019/06/06/2019-11871.html Notice - Initial Form ATS-N Filing; Notice of Extension of Commission Review Period 2019-06-06T00:00:00-07:00 2019-06-06T00:00:00-07:00 2019-11871 Notice https://www.govinfo.gov/content/pkg/FR-2019-06-06/pdf/2019-11871.pdf https://regulations.justia.com/regulations/fedreg/2019/06/06/2019-11870.html Notice - Initial Form ATS-N Filing; Notice of Extension of Commission Review Period 2019-06-06T00:00:00-07:00 2019-06-06T00:00:00-07:00 2019-11870 Notice https://www.govinfo.gov/content/pkg/FR-2019-06-06/pdf/2019-11870.pdf https://regulations.justia.com/regulations/fedreg/2019/06/06/2019-11869.html Notice - Initial Form ATS-N Filing; Notice of Extension of Commission Review Period 2019-06-06T00:00:00-07:00 2019-06-06T00:00:00-07:00 2019-11869 Notice https://www.govinfo.gov/content/pkg/FR-2019-06-06/pdf/2019-11869.pdf https://regulations.justia.com/regulations/fedreg/2019/06/06/2019-11868.html Notice - Initial Form ATS-N Filing; Notice of Extension of Commission Review Period 2019-06-06T00:00:00-07:00 2019-06-06T00:00:00-07:00 2019-11868 Notice https://www.govinfo.gov/content/pkg/FR-2019-06-06/pdf/2019-11868.pdf https://regulations.justia.com/regulations/fedreg/2019/06/06/2019-11841.html Notice - Initial Form ATS-N Filing; Notice of Extension of Commission Review Period 2019-06-06T00:00:00-07:00 2019-06-06T00:00:00-07:00 2019-11841 Notice https://www.govinfo.gov/content/pkg/FR-2019-06-06/pdf/2019-11841.pdf https://regulations.justia.com/regulations/fedreg/2019/06/06/2019-11840.html Notice - Initial Form ATS-N Filing; Notice of Extension of Commission Review Period 2019-06-06T00:00:00-07:00 2019-06-06T00:00:00-07:00 2019-11840 Notice https://www.govinfo.gov/content/pkg/FR-2019-06-06/pdf/2019-11840.pdf https://regulations.justia.com/regulations/fedreg/2019/06/06/2019-11839.html Notice - Initial Form ATS-N Filing; Notice of Extension of Commission Review Period 2019-06-06T00:00:00-07:00 2019-06-06T00:00:00-07:00 2019-11839 Notice https://www.govinfo.gov/content/pkg/FR-2019-06-06/pdf/2019-11839.pdf https://regulations.justia.com/regulations/fedreg/2019/06/06/2019-11838.html Notice - Initial Form ATS-N Filing; Notice of Extension of Commission Review Period 2019-06-06T00:00:00-07:00 2019-06-06T00:00:00-07:00 2019-11838 Notice https://www.govinfo.gov/content/pkg/FR-2019-06-06/pdf/2019-11838.pdf https://regulations.justia.com/regulations/fedreg/2019/06/06/2019-11837.html Notice - Initial Form ATS-N Filing; Notice of Extension of Commission Review Period 2019-06-06T00:00:00-07:00 2019-06-06T00:00:00-07:00 2019-11837 Notice https://www.govinfo.gov/content/pkg/FR-2019-06-06/pdf/2019-11837.pdf https://regulations.justia.com/regulations/fedreg/2019/06/06/2019-11836.html Notice - Initial Form ATS-N Filing; Notice of Extension of Commission Review Period 2019-06-06T00:00:00-07:00 2019-06-06T00:00:00-07:00 2019-11836 Notice https://www.govinfo.gov/content/pkg/FR-2019-06-06/pdf/2019-11836.pdf https://regulations.justia.com/regulations/fedreg/2019/06/06/2019-11835.html Notice - Initial Form ATS-N Filing; Notice of Extension of Commission Review Period 2019-06-06T00:00:00-07:00 2019-06-06T00:00:00-07:00 2019-11835 Notice https://www.govinfo.gov/content/pkg/FR-2019-06-06/pdf/2019-11835.pdf https://regulations.justia.com/regulations/fedreg/2019/06/06/2019-11834.html Notice - Initial Form ATS-N Filing; Notice of Extension of Commission Review Period 2019-06-06T00:00:00-07:00 2019-06-06T00:00:00-07:00 2019-11834 Notice https://www.govinfo.gov/content/pkg/FR-2019-06-06/pdf/2019-11834.pdf https://regulations.justia.com/regulations/fedreg/2019/06/06/2019-11833.html Notice - Initial Form ATS-N Filing; Notice of Extension of Commission Review Period 2019-06-06T00:00:00-07:00 2019-06-06T00:00:00-07:00 2019-11833 Notice https://www.govinfo.gov/content/pkg/FR-2019-06-06/pdf/2019-11833.pdf https://regulations.justia.com/regulations/fedreg/2019/06/06/2019-11829.html Notice - Initial Form ATS-N Filing; Notice of Extension of Commission Review Period 2019-06-06T00:00:00-07:00 2019-06-06T00:00:00-07:00 2019-11829 Notice https://www.govinfo.gov/content/pkg/FR-2019-06-06/pdf/2019-11829.pdf https://regulations.justia.com/regulations/fedreg/2019/06/06/2019-11828.html Notice - Initial Form ATS-N Filing; Notice of Extension of Commission Review Period 2019-06-06T00:00:00-07:00 2019-06-06T00:00:00-07:00 2019-11828 Notice https://www.govinfo.gov/content/pkg/FR-2019-06-06/pdf/2019-11828.pdf https://regulations.justia.com/regulations/fedreg/2019/06/06/2019-11827.html Notice - Initial Form ATS-N Filing; Notice of Extension of Commission Review Period 2019-06-06T00:00:00-07:00 2019-06-06T00:00:00-07:00 2019-11827 Notice https://www.govinfo.gov/content/pkg/FR-2019-06-06/pdf/2019-11827.pdf https://regulations.justia.com/regulations/fedreg/2019/06/06/2019-11826.html Notice - Initial Form ATS-N Filing; Notice of Extension of Commission Review Period 2019-06-06T00:00:00-07:00 2019-06-06T00:00:00-07:00 2019-11826 Notice https://www.govinfo.gov/content/pkg/FR-2019-06-06/pdf/2019-11826.pdf https://regulations.justia.com/regulations/fedreg/2019/06/06/2019-11825.html Notice - Initial Form ATS-N Filing; Notice of Extension of Commission Review Period 2019-06-06T00:00:00-07:00 2019-06-06T00:00:00-07:00 2019-11825 Notice https://www.govinfo.gov/content/pkg/FR-2019-06-06/pdf/2019-11825.pdf https://regulations.justia.com/regulations/fedreg/2019/06/06/2019-11823.html Notice - Initial Form ATS-N Filing; Notice of Extension of Commission Review Period 2019-06-06T00:00:00-07:00 2019-06-06T00:00:00-07:00 2019-11823 Notice https://www.govinfo.gov/content/pkg/FR-2019-06-06/pdf/2019-11823.pdf https://regulations.justia.com/regulations/fedreg/2019/06/06/2019-11822.html Notice - Initial Form ATS-N Filing; Notice of Extension of Commission Review Period 2019-06-06T00:00:00-07:00 2019-06-06T00:00:00-07:00 2019-11822 Notice https://www.govinfo.gov/content/pkg/FR-2019-06-06/pdf/2019-11822.pdf https://regulations.justia.com/regulations/fedreg/2019/06/06/2019-11816.html Notice - Initial Form ATS-N Filing; Notice of Extension of Commission Review Period 2019-06-06T00:00:00-07:00 2019-06-06T00:00:00-07:00 2019-11816 Notice https://www.govinfo.gov/content/pkg/FR-2019-06-06/pdf/2019-11816.pdf https://regulations.justia.com/regulations/fedreg/2019/06/06/2019-11804.html Notice - Self-Regulatory Organizations; Cboe BZX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Amending Rule 21.7 Concerning Openings Following Trading Halts 2019-06-06T00:00:00-07:00 2019-06-06T00:00:00-07:00 2019-11804 Notice https://www.govinfo.gov/content/pkg/FR-2019-06-06/pdf/2019-11804.pdf https://regulations.justia.com/regulations/fedreg/2019/06/06/2019-11803.html Notice - Self-Regulatory Organizations; National Securities Clearing Corporation; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Make a Clarification and Technical Changes to Addendum K 2019-06-06T00:00:00-07:00 2019-06-06T00:00:00-07:00 2019-11803 Notice https://www.govinfo.gov/content/pkg/FR-2019-06-06/pdf/2019-11803.pdf https://regulations.justia.com/regulations/fedreg/2019/06/06/2019-11802.html Notice - Self-Regulatory Organizations; The Depository Trust Company; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the Reorganizations Service Guide 2019-06-06T00:00:00-07:00 2019-06-06T00:00:00-07:00 2019-11802 Notice https://www.govinfo.gov/content/pkg/FR-2019-06-06/pdf/2019-11802.pdf https://regulations.justia.com/regulations/fedreg/2019/06/06/2019-11801.html Notice - Self-Regulatory Organizations; The Nasdaq Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Relocate the Order Audit Trail System Rules 2019-06-06T00:00:00-07:00 2019-06-06T00:00:00-07:00 2019-11801 Notice https://www.govinfo.gov/content/pkg/FR-2019-06-06/pdf/2019-11801.pdf https://regulations.justia.com/regulations/fedreg/2019/06/06/2019-11800.html Notice - Self-Regulatory Organizations; Cboe EDGX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to Qualified Contingent Cross Orders (“QCC Orders”) With More Than One Option Leg (“Complex QCC Orders”) 2019-06-06T00:00:00-07:00 2019-06-06T00:00:00-07:00 2019-11800 Notice https://www.govinfo.gov/content/pkg/FR-2019-06-06/pdf/2019-11800.pdf https://regulations.justia.com/regulations/fedreg/2019/06/06/2019-11799.html Notice - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing of Proposed Rule Change To Amend Rule 123D 2019-06-06T00:00:00-07:00 2019-06-06T00:00:00-07:00 2019-11799 Notice https://www.govinfo.gov/content/pkg/FR-2019-06-06/pdf/2019-11799.pdf https://regulations.justia.com/regulations/fedreg/2019/06/06/2019-11798.html Notice - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Extend the Implementation of FINRA Rule 4240 (Margin Requirements for Credit Default Swaps) 2019-06-06T00:00:00-07:00 2019-06-06T00:00:00-07:00 2019-11798 Notice https://www.govinfo.gov/content/pkg/FR-2019-06-06/pdf/2019-11798.pdf https://regulations.justia.com/regulations/fedreg/2019/06/06/2019-11797.html Notice - Self-Regulatory Organizations; Cboe EDGX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Amending Rule 21.7 Concerning the Opening Auction Process 2019-06-06T00:00:00-07:00 2019-06-06T00:00:00-07:00 2019-11797 Notice https://www.govinfo.gov/content/pkg/FR-2019-06-06/pdf/2019-11797.pdf https://regulations.justia.com/regulations/fedreg/2019/06/06/2019-11793.html Notice - Cresset Private Markets Opportunity Fund and Cresset SPG, LLC 2019-06-06T00:00:00-07:00 2019-06-06T00:00:00-07:00 2019-11793 Notice https://www.govinfo.gov/content/pkg/FR-2019-06-06/pdf/2019-11793.pdf https://regulations.justia.com/regulations/fedreg/2019/06/05/2019-11934.html Notice - Sunshine Act Meetings 2019-06-05T00:00:00-07:00 2019-06-05T00:00:00-07:00 2019-11934 Notice https://www.govinfo.gov/content/pkg/FR-2019-06-05/pdf/2019-11934.pdf https://regulations.justia.com/regulations/fedreg/2019/06/05/2019-11742.html Notice - Notice of Applications for Deregistration Under Section 8(f) of the Investment Company Act of 1940 2019-06-05T00:00:00-07:00 2019-06-05T00:00:00-07:00 2019-11742 Notice https://www.govinfo.gov/content/pkg/FR-2019-06-05/pdf/2019-11742.pdf https://regulations.justia.com/regulations/fedreg/2019/06/05/2019-11643.html Notice - Self-Regulatory Organizations; Cboe BZX Exchange, Inc.; Notice of Designation of a Longer Period for Commission Action on a Proposed Rule Change To Amend Rule 14.11(c) (Index Fund Shares) To Adopt Generic Listing Standards for Index Fund Shares Based on an Index of Municipal Securities 2019-06-05T00:00:00-07:00 2019-06-05T00:00:00-07:00 2019-11643 Notice https://www.govinfo.gov/content/pkg/FR-2019-06-05/pdf/2019-11643.pdf https://regulations.justia.com/regulations/fedreg/2019/06/05/2019-11566.html Notice - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing of Amendment No. 3 and Order Granting Accelerated Approval of Proposed Rule Change, as Modified by Amendment No. 3, To Amend NYSE Rules 7.31, 7.36, 7.37; Make Conforming Amendments to NYSE Rules 1.1, 7.11, 7.12, 7.16, 7.18, 7.32, 7.34, and 7.36; and Amend the Preambles on Current Exchange Rules Relating to Their Applicability to the Pillar Trading Platform 2019-06-05T00:00:00-07:00 2019-06-05T00:00:00-07:00 2019-11566 Notice https://www.govinfo.gov/content/pkg/FR-2019-06-05/pdf/2019-11566.pdf https://regulations.justia.com/regulations/fedreg/2019/06/04/2019-11598.html Notice - Self-Regulatory Organizations; Nasdaq ISE, LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Allow $1 or Greater Strike Price Intervals for Options on QQQ and IWM 2019-06-04T00:00:00-07:00 2019-06-04T00:00:00-07:00 2019-11598 Notice https://www.govinfo.gov/content/pkg/FR-2019-06-04/pdf/2019-11598.pdf https://regulations.justia.com/regulations/fedreg/2019/06/04/2019-11584.html Notice - Columbia Funds Series Trust, et al. 2019-06-04T00:00:00-07:00 2019-06-04T00:00:00-07:00 2019-11584 Notice https://www.govinfo.gov/content/pkg/FR-2019-06-04/pdf/2019-11584.pdf https://regulations.justia.com/regulations/fedreg/2019/06/04/2019-11565.html Notice - Self-Regulatory Organizations; The Nasdaq Stock Market LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Allow $1 or Greater Strike Price Intervals for Options on QQQ and IWM 2019-06-04T00:00:00-07:00 2019-06-04T00:00:00-07:00 2019-11565 Notice https://www.govinfo.gov/content/pkg/FR-2019-06-04/pdf/2019-11565.pdf https://regulations.justia.com/regulations/fedreg/2019/06/04/2019-11564.html Notice - Self-Regulatory Organizations; The Nasdaq Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to the Complementary Services Offered by the Exchange Under Rule IM-5900-7 2019-06-04T00:00:00-07:00 2019-06-04T00:00:00-07:00 2019-11564 Notice https://www.govinfo.gov/content/pkg/FR-2019-06-04/pdf/2019-11564.pdf https://regulations.justia.com/regulations/fedreg/2019/06/04/2019-11563.html Notice - Self-Regulatory Organizations; NYSE National, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Its Schedule of Fees and Rebates Related to Co-location Services 2019-06-04T00:00:00-07:00 2019-06-04T00:00:00-07:00 2019-11563 Notice https://www.govinfo.gov/content/pkg/FR-2019-06-04/pdf/2019-11563.pdf https://regulations.justia.com/regulations/fedreg/2019/06/04/2019-11561.html Notice - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the Exchange's Price List Related to Co-Location Services 2019-06-04T00:00:00-07:00 2019-06-04T00:00:00-07:00 2019-11561 Notice https://www.govinfo.gov/content/pkg/FR-2019-06-04/pdf/2019-11561.pdf https://regulations.justia.com/regulations/fedreg/2019/06/04/2019-11560.html Notice - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Adopt a Listing Fee Schedule for Pre-Revenue Companies 2019-06-04T00:00:00-07:00 2019-06-04T00:00:00-07:00 2019-11560 Notice https://www.govinfo.gov/content/pkg/FR-2019-06-04/pdf/2019-11560.pdf https://regulations.justia.com/regulations/fedreg/2019/06/04/2019-11559.html Notice - Self-Regulatory Organizations; Nasdaq BX, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Allow $1 or Greater Strike Price Intervals for Options on QQQ and IWM 2019-06-04T00:00:00-07:00 2019-06-04T00:00:00-07:00 2019-11559 Notice https://www.govinfo.gov/content/pkg/FR-2019-06-04/pdf/2019-11559.pdf https://regulations.justia.com/regulations/fedreg/2019/06/04/2019-11558.html Notice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the NYSE Arca Options Fees and Charges and the NYSE Arca Equities Fees and Charges Related to Co-Location Services 2019-06-04T00:00:00-07:00 2019-06-04T00:00:00-07:00 2019-11558 Notice https://www.govinfo.gov/content/pkg/FR-2019-06-04/pdf/2019-11558.pdf https://regulations.justia.com/regulations/fedreg/2019/06/04/2019-11557.html Notice - Self-Regulatory Organizations; NYSE American LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend its NYSE American Equities Price List and the NYSE American Options Fee Schedule Related to Co-location Services 2019-06-04T00:00:00-07:00 2019-06-04T00:00:00-07:00 2019-11557 Notice https://www.govinfo.gov/content/pkg/FR-2019-06-04/pdf/2019-11557.pdf https://regulations.justia.com/regulations/fedreg/2019/06/04/2019-11556.html Notice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing of Proposed Rule Change Regarding Investments of Aware Ultra-Short Duration Enhanced Income ETF, a Series of Tidal ETF Trust 2019-06-04T00:00:00-07:00 2019-06-04T00:00:00-07:00 2019-11556 Notice https://www.govinfo.gov/content/pkg/FR-2019-06-04/pdf/2019-11556.pdf https://regulations.justia.com/regulations/fedreg/2019/06/04/2019-11545.html Notice - Self-Regulatory Organizations; The Nasdaq Stock Market LLC; Notice of Filing of Proposed Rule Change To Allow an Odd Lot-Sized Order To Be Eligible for the Midpoint Extended Life Order 2019-06-04T00:00:00-07:00 2019-06-04T00:00:00-07:00 2019-11545 Notice https://www.govinfo.gov/content/pkg/FR-2019-06-04/pdf/2019-11545.pdf https://regulations.justia.com/regulations/fedreg/2019/06/04/2019-11543.html Notice - Self-Regulatory Organizations; Nasdaq PHLX LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Allow $1 or Greater Strike Price Intervals for Options on QQQ and IWM 2019-06-04T00:00:00-07:00 2019-06-04T00:00:00-07:00 2019-11543 Notice https://www.govinfo.gov/content/pkg/FR-2019-06-04/pdf/2019-11543.pdf https://regulations.justia.com/regulations/fedreg/2019/06/03/2019-11447.html Notice - Self-Regulatory Organizations; Cboe BZX Exchange, Inc.; Notice of Filing of a Proposed Rule Change To Allow the JPMorgan Core Plus Bond ETF of the J.P. Morgan Exchange-Traded Fund Trust To Hold Certain Instruments in a Manner That May Not Comply With Rule 14.11(i), Managed Fund Shares 2019-06-03T00:00:00-07:00 2019-06-03T00:00:00-07:00 2019-11447 Notice https://www.govinfo.gov/content/pkg/FR-2019-06-03/pdf/2019-11447.pdf https://regulations.justia.com/regulations/fedreg/2019/06/03/2019-11446.html Notice - Self-Regulatory Organizations; NYSE Arca, Inc.; Order Instituting Proceedings To Determine Whether To Approve or Disapprove a Proposed Rule Change To Amend NYSE Arca Rule 5.2-E(j)(3) and To Adopt Generic Listing Standards for Investment Company Units Based on an Index or Portfolio of Municipal Securities 2019-06-03T00:00:00-07:00 2019-06-03T00:00:00-07:00 2019-11446 Notice https://www.govinfo.gov/content/pkg/FR-2019-06-03/pdf/2019-11446.pdf https://regulations.justia.com/regulations/fedreg/2019/06/03/2019-11445.html Notice - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend NYSE Rules 7.6, 7.31, 7.34, 98, 107B and 131A, To Specify Order Behavior for Orders Entered Via the Pillar Phase II Protocols 2019-06-03T00:00:00-07:00 2019-06-03T00:00:00-07:00 2019-11445 Notice https://www.govinfo.gov/content/pkg/FR-2019-06-03/pdf/2019-11445.pdf https://regulations.justia.com/regulations/fedreg/2019/06/03/2019-11433.html Notice - Proposed Collection; Comment Request 2019-06-03T00:00:00-07:00 2019-06-03T00:00:00-07:00 2019-11433 Notice https://www.govinfo.gov/content/pkg/FR-2019-06-03/pdf/2019-11433.pdf https://regulations.justia.com/regulations/fedreg/2019/06/03/2019-11432.html Notice - Proposed Collection; Comment Request 2019-06-03T00:00:00-07:00 2019-06-03T00:00:00-07:00 2019-11432 Notice https://www.govinfo.gov/content/pkg/FR-2019-06-03/pdf/2019-11432.pdf https://regulations.justia.com/regulations/fedreg/2019/06/03/2019-11426.html Notice - John Hancock GA Mortgage Trust, et al. 2019-06-03T00:00:00-07:00 2019-06-03T00:00:00-07:00 2019-11426 Notice https://www.govinfo.gov/content/pkg/FR-2019-06-03/pdf/2019-11426.pdf