<![CDATA[Federal Register Recent Federal Regulation Documents - Justia Regulation Tracker

<![CDATA[Federal Register Recent Federal Regulation Documents - Justia Regulation Tracker - Justia Regulations Tracker]]> https://regulations.justia.com/regulations/fedreg/agencies/securities-and-exchange-commission/2019/07?registers=between&min-day=1&max-day=31 Sat, 27 Apr 2024 14:12:57 -0700 Sat, 27 Apr 2024 14:12:57 -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/2019/07?registers=between&min-day=1&max-day=31 Notice - Notice of Applications for Deregistration Under Section 8(f) of the Investment Company Act of 1940 https://regulations.justia.com/regulations/fedreg/2019/07/31/2019-16317.html https://regulations.justia.com/regulations/fedreg/2019/07/31/2019-16317.html Wed, 31 Jul 2019 00:00:00 -0700 2019-16317 Notice https://www.govinfo.gov/content/pkg/FR-2019-07-31/pdf/2019-16317.pdf Notice - Self-Regulatory Organizations; The Options Clearing Corporation; Notice of Filing of Advance Notice Related to The Options Clearing Corporation's Vanilla Option Model and Smoothing Algorithm https://regulations.justia.com/regulations/fedreg/2019/07/31/2019-16312.html https://regulations.justia.com/regulations/fedreg/2019/07/31/2019-16312.html Wed, 31 Jul 2019 00:00:00 -0700 2019-16312 Notice https://www.govinfo.gov/content/pkg/FR-2019-07-31/pdf/2019-16312.pdf Notice - Submission for OMB Review; Comment Request https://regulations.justia.com/regulations/fedreg/2019/07/31/2019-16294.html https://regulations.justia.com/regulations/fedreg/2019/07/31/2019-16294.html Wed, 31 Jul 2019 00:00:00 -0700 2019-16294 Notice https://www.govinfo.gov/content/pkg/FR-2019-07-31/pdf/2019-16294.pdf Notice - Submission for OMB Review; Comment Request https://regulations.justia.com/regulations/fedreg/2019/07/31/2019-16293.html https://regulations.justia.com/regulations/fedreg/2019/07/31/2019-16293.html Wed, 31 Jul 2019 00:00:00 -0700 2019-16293 Notice https://www.govinfo.gov/content/pkg/FR-2019-07-31/pdf/2019-16293.pdf Notice - Submission for OMB Review; Comment Request https://regulations.justia.com/regulations/fedreg/2019/07/31/2019-16292.html https://regulations.justia.com/regulations/fedreg/2019/07/31/2019-16292.html Wed, 31 Jul 2019 00:00:00 -0700 2019-16292 Notice https://www.govinfo.gov/content/pkg/FR-2019-07-31/pdf/2019-16292.pdf Notice - Submission for OMB Review; Comment Request https://regulations.justia.com/regulations/fedreg/2019/07/31/2019-16291.html https://regulations.justia.com/regulations/fedreg/2019/07/31/2019-16291.html Wed, 31 Jul 2019 00:00:00 -0700 2019-16291 Notice https://www.govinfo.gov/content/pkg/FR-2019-07-31/pdf/2019-16291.pdf Notice - Submission for OMB Review; Comment Request https://regulations.justia.com/regulations/fedreg/2019/07/31/2019-16290.html https://regulations.justia.com/regulations/fedreg/2019/07/31/2019-16290.html Wed, 31 Jul 2019 00:00:00 -0700 2019-16290 Notice https://www.govinfo.gov/content/pkg/FR-2019-07-31/pdf/2019-16290.pdf Notice - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to Exemptions From the Order Audit Trail System Recording and Reporting Requirements https://regulations.justia.com/regulations/fedreg/2019/07/31/2019-16238.html https://regulations.justia.com/regulations/fedreg/2019/07/31/2019-16238.html Wed, 31 Jul 2019 00:00:00 -0700 2019-16238 Notice https://www.govinfo.gov/content/pkg/FR-2019-07-31/pdf/2019-16238.pdf Notice - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending its Price List https://regulations.justia.com/regulations/fedreg/2019/07/31/2019-16218.html https://regulations.justia.com/regulations/fedreg/2019/07/31/2019-16218.html Wed, 31 Jul 2019 00:00:00 -0700 2019-16218 Notice https://www.govinfo.gov/content/pkg/FR-2019-07-31/pdf/2019-16218.pdf Notice - Self-Regulatory Organizations; MIAX Emerald, LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Make Corrective Edits to Exchange Rule 503, Openings on the Exchange https://regulations.justia.com/regulations/fedreg/2019/07/31/2019-16217.html https://regulations.justia.com/regulations/fedreg/2019/07/31/2019-16217.html Wed, 31 Jul 2019 00:00:00 -0700 2019-16217 Notice https://www.govinfo.gov/content/pkg/FR-2019-07-31/pdf/2019-16217.pdf Notice - Program for Allocation of Regulatory Responsibilities Pursuant to Rule 17d-2; Notice of Filing and Order Approving and Declaring Effective an Amendment to the Plan for the Allocation of Regulatory Responsibilities Between Cboe BZX Exchange, Inc., Cboe BYX Exchange, Inc., BOX Exchange LLC, Cboe Exchange, Inc., Cboe C2 Exchange, Inc., NYSE Chicago, Inc., Cboe EDGA Exchange, Inc., Cboe EDGX Exchange, Inc., Financial Industry Regulatory Authority, Inc., Nasdaq ISE, LLC, Nasdaq GEMX, LLC, Nasdaq MRX, LLC, Investors Exchange LLC, Miami International Securities Exchange, LLC, MIAX PEARL, LLC, MIAX Emerald, LLC, The Nasdaq Stock Market LLC, Nasdaq BX, Inc., Nasdaq PHLX, Inc., NYSE National, Inc., New York Stock Exchange LLC, NYSE American LLC, NYSE Arca, Inc., and Long-Term Stock Exchange, Inc. https://regulations.justia.com/regulations/fedreg/2019/07/31/2019-16214.html https://regulations.justia.com/regulations/fedreg/2019/07/31/2019-16214.html Wed, 31 Jul 2019 00:00:00 -0700 2019-16214 Notice https://www.govinfo.gov/content/pkg/FR-2019-07-31/pdf/2019-16214.pdf Notice - Self-Regulatory Organizations; Cboe BZX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating To Amend the Fee Schedule Applicable to Members and Non-Members of the Exchange Pursuant to BZX Rules 15.1(a) and (c) https://regulations.justia.com/regulations/fedreg/2019/07/30/2019-16098.html https://regulations.justia.com/regulations/fedreg/2019/07/30/2019-16098.html Tue, 30 Jul 2019 00:00:00 -0700 2019-16098 Notice https://www.govinfo.gov/content/pkg/FR-2019-07-30/pdf/2019-16098.pdf Notice - Self-Regulatory Organizations; Cboe BZX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating To Amend the Fee Schedule Applicable to Members and Non-Members of the Exchange Pursuant to BZX Rules 15.1(a) and (c) https://regulations.justia.com/regulations/fedreg/2019/07/30/2019-16097.html https://regulations.justia.com/regulations/fedreg/2019/07/30/2019-16097.html Tue, 30 Jul 2019 00:00:00 -0700 2019-16097 Notice https://www.govinfo.gov/content/pkg/FR-2019-07-30/pdf/2019-16097.pdf Notice - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Designation of Longer Period for Commission Action on Proposed Rule Change To Amend Exchange Rule 104 To Specify Designated Market Maker Requirements for Exchange Traded Products Listed on the Exchange https://regulations.justia.com/regulations/fedreg/2019/07/30/2019-16096.html https://regulations.justia.com/regulations/fedreg/2019/07/30/2019-16096.html Tue, 30 Jul 2019 00:00:00 -0700 2019-16096 Notice https://www.govinfo.gov/content/pkg/FR-2019-07-30/pdf/2019-16096.pdf Notice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Modify the NYSE Arca Options Fee Schedule https://regulations.justia.com/regulations/fedreg/2019/07/30/2019-16095.html https://regulations.justia.com/regulations/fedreg/2019/07/30/2019-16095.html Tue, 30 Jul 2019 00:00:00 -0700 2019-16095 Notice https://www.govinfo.gov/content/pkg/FR-2019-07-30/pdf/2019-16095.pdf Notice - Self-Regulatory Organizations; LCH SA; Notice of Filing and Immediate Effectiveness of Proposed Rule Change, as Modified by Amendments No. 1 and No. 2, Relating to the Extension to Clients of CDSClear of the Fee Applicable by LCH SA on the Amount of Allocated Securities Collateral https://regulations.justia.com/regulations/fedreg/2019/07/30/2019-16094.html https://regulations.justia.com/regulations/fedreg/2019/07/30/2019-16094.html Tue, 30 Jul 2019 00:00:00 -0700 2019-16094 Notice https://www.govinfo.gov/content/pkg/FR-2019-07-30/pdf/2019-16094.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/2019/07/30/2019-16093.html https://regulations.justia.com/regulations/fedreg/2019/07/30/2019-16093.html Tue, 30 Jul 2019 00:00:00 -0700 2019-16093 Notice https://www.govinfo.gov/content/pkg/FR-2019-07-30/pdf/2019-16093.pdf Notice - Submission for OMB Review; Comment Request https://regulations.justia.com/regulations/fedreg/2019/07/30/2019-16090.html https://regulations.justia.com/regulations/fedreg/2019/07/30/2019-16090.html Tue, 30 Jul 2019 00:00:00 -0700 2019-16090 Notice https://www.govinfo.gov/content/pkg/FR-2019-07-30/pdf/2019-16090.pdf Notice - Proposed Collection; Comment Request https://regulations.justia.com/regulations/fedreg/2019/07/30/2019-16089.html https://regulations.justia.com/regulations/fedreg/2019/07/30/2019-16089.html Tue, 30 Jul 2019 00:00:00 -0700 2019-16089 Notice https://www.govinfo.gov/content/pkg/FR-2019-07-30/pdf/2019-16089.pdf Notice - Proposed Collection; Comment Request https://regulations.justia.com/regulations/fedreg/2019/07/30/2019-16088.html https://regulations.justia.com/regulations/fedreg/2019/07/30/2019-16088.html Tue, 30 Jul 2019 00:00:00 -0700 2019-16088 Notice https://www.govinfo.gov/content/pkg/FR-2019-07-30/pdf/2019-16088.pdf Notice - Liquid Strategies, LLC and Listed Funds Trust https://regulations.justia.com/regulations/fedreg/2019/07/30/2019-16086.html https://regulations.justia.com/regulations/fedreg/2019/07/30/2019-16086.html Tue, 30 Jul 2019 00:00:00 -0700 2019-16086 Notice https://www.govinfo.gov/content/pkg/FR-2019-07-30/pdf/2019-16086.pdf Notice - Self-Regulatory Organizations; Nasdaq BX, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Its Rules Governing Give Ups on the BX Options Market https://regulations.justia.com/regulations/fedreg/2019/07/29/2019-15982.html https://regulations.justia.com/regulations/fedreg/2019/07/29/2019-15982.html Mon, 29 Jul 2019 00:00:00 -0700 2019-15982 Notice https://www.govinfo.gov/content/pkg/FR-2019-07-29/pdf/2019-15982.pdf Notice - The Guardian Insurance & Annuity Company, Inc., et al. https://regulations.justia.com/regulations/fedreg/2019/07/29/2019-15975.html https://regulations.justia.com/regulations/fedreg/2019/07/29/2019-15975.html Mon, 29 Jul 2019 00:00:00 -0700 2019-15975 Notice https://www.govinfo.gov/content/pkg/FR-2019-07-29/pdf/2019-15975.pdf Notice - Self-Regulatory Organizations; The Nasdaq Stock Market LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Its Rules Governing the Nasdaq Options Market To Modify the Give Up of a Clearing Participant by a Participant on NOM Transactions https://regulations.justia.com/regulations/fedreg/2019/07/29/2019-15973.html https://regulations.justia.com/regulations/fedreg/2019/07/29/2019-15973.html Mon, 29 Jul 2019 00:00:00 -0700 2019-15973 Notice https://www.govinfo.gov/content/pkg/FR-2019-07-29/pdf/2019-15973.pdf Notice - Self-Regulatory Organizations; Cboe Exchange, Inc.; Order Granting Accelerated Approval of a Proposed Rule Change To Adopt Rules To Permit Cboe Trading, Inc. To Become a Trading Permit Holder and an Inbound and Outbound Router of the Exchange https://regulations.justia.com/regulations/fedreg/2019/07/29/2019-15972.html https://regulations.justia.com/regulations/fedreg/2019/07/29/2019-15972.html Mon, 29 Jul 2019 00:00:00 -0700 2019-15972 Notice https://www.govinfo.gov/content/pkg/FR-2019-07-29/pdf/2019-15972.pdf Notice - Self-Regulatory Organizations; The Options Clearing Corporation; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Make Administrative Updates to The Options Clearing Corporation's Risk Management Policies https://regulations.justia.com/regulations/fedreg/2019/07/29/2019-15971.html https://regulations.justia.com/regulations/fedreg/2019/07/29/2019-15971.html Mon, 29 Jul 2019 00:00:00 -0700 2019-15971 Notice https://www.govinfo.gov/content/pkg/FR-2019-07-29/pdf/2019-15971.pdf Notice - Zacks Investment Management, Inc. and Zacks Trust https://regulations.justia.com/regulations/fedreg/2019/07/29/2019-15968.html https://regulations.justia.com/regulations/fedreg/2019/07/29/2019-15968.html Mon, 29 Jul 2019 00:00:00 -0700 2019-15968 Notice https://www.govinfo.gov/content/pkg/FR-2019-07-29/pdf/2019-15968.pdf Notice - Zacks Investment Management, Inc. and Zacks Trust https://regulations.justia.com/regulations/fedreg/2019/07/29/2019-15955.html https://regulations.justia.com/regulations/fedreg/2019/07/29/2019-15955.html Mon, 29 Jul 2019 00:00:00 -0700 2019-15955 Notice https://www.govinfo.gov/content/pkg/FR-2019-07-29/pdf/2019-15955.pdf Notice - PFS Funds and Castle Investment Management, LLC.; Notice of Application https://regulations.justia.com/regulations/fedreg/2019/07/29/2019-15954.html https://regulations.justia.com/regulations/fedreg/2019/07/29/2019-15954.html Mon, 29 Jul 2019 00:00:00 -0700 2019-15954 Notice https://www.govinfo.gov/content/pkg/FR-2019-07-29/pdf/2019-15954.pdf Notice - Self-Regulatory Organizations; Nasdaq GEMX, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Options 2 (Options Market Participants) and Options 3 (Options Trading Rules) https://regulations.justia.com/regulations/fedreg/2019/07/26/2019-15875.html https://regulations.justia.com/regulations/fedreg/2019/07/26/2019-15875.html Fri, 26 Jul 2019 00:00:00 -0700 2019-15875 Notice https://www.govinfo.gov/content/pkg/FR-2019-07-26/pdf/2019-15875.pdf Notice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Adopt a New Rule 9.21-O, Delete Current Rules 9.21-O through 9.25-O, and Amend Rule 10.9551 https://regulations.justia.com/regulations/fedreg/2019/07/26/2019-15874.html https://regulations.justia.com/regulations/fedreg/2019/07/26/2019-15874.html Fri, 26 Jul 2019 00:00:00 -0700 2019-15874 Notice https://www.govinfo.gov/content/pkg/FR-2019-07-26/pdf/2019-15874.pdf Notice - Self-Regulatory Organizations; Cboe Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend its Maintenance Listing Standards for Options on Certain Indexes Under Rule 24.2.01(b)(2) https://regulations.justia.com/regulations/fedreg/2019/07/26/2019-15873.html https://regulations.justia.com/regulations/fedreg/2019/07/26/2019-15873.html Fri, 26 Jul 2019 00:00:00 -0700 2019-15873 Notice https://www.govinfo.gov/content/pkg/FR-2019-07-26/pdf/2019-15873.pdf Notice - Self-Regulatory Organizations; Nasdaq MRX, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Relocate Rules From Its Current Rulebook Into Its New Rulebook Shell https://regulations.justia.com/regulations/fedreg/2019/07/26/2019-15872.html https://regulations.justia.com/regulations/fedreg/2019/07/26/2019-15872.html Fri, 26 Jul 2019 00:00:00 -0700 2019-15872 Notice https://www.govinfo.gov/content/pkg/FR-2019-07-26/pdf/2019-15872.pdf Notice - Self-Regulatory Organizations; Nasdaq BX, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Delete the Exchange's Existing Membership Rules and To Incorporate by Reference the Membership Rules of The Nasdaq Stock Exchange, LLC https://regulations.justia.com/regulations/fedreg/2019/07/26/2019-15871.html https://regulations.justia.com/regulations/fedreg/2019/07/26/2019-15871.html Fri, 26 Jul 2019 00:00:00 -0700 2019-15871 Notice https://www.govinfo.gov/content/pkg/FR-2019-07-26/pdf/2019-15871.pdf Notice - Order Granting Application by: Nasdaq BX, Inc., Nasdaq GEMX, LLC, Nasdaq ISE, LLC, Nasdaq MRX, LLC, and Nasdaq Phlx LLC for Exemption Pursuant to Section 36(a) of the Exchange Act From the Rule Filing Requirements of Section 19(b) of the Exchange Act With Respect to Certain Rules Incorporated by Reference https://regulations.justia.com/regulations/fedreg/2019/07/26/2019-15870.html https://regulations.justia.com/regulations/fedreg/2019/07/26/2019-15870.html Fri, 26 Jul 2019 00:00:00 -0700 2019-15870 Notice https://www.govinfo.gov/content/pkg/FR-2019-07-26/pdf/2019-15870.pdf Proposed Rule - Customer Margin Rules Relating to Security Futures https://regulations.justia.com/regulations/fedreg/2019/07/26/2019-15400.html https://regulations.justia.com/regulations/fedreg/2019/07/26/2019-15400.html Fri, 26 Jul 2019 00:00:00 -0700 2019-15400 Proposed Rule https://www.govinfo.gov/content/pkg/FR-2019-07-26/pdf/2019-15400.pdf Notice - Self-Regulatory Organizations; Cboe BZX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating To Update Rule 16.1 To Include the Definition of Capacity, as Well as Amend Its Fee Schedule To Reflect This Update https://regulations.justia.com/regulations/fedreg/2019/07/25/2019-15778.html https://regulations.justia.com/regulations/fedreg/2019/07/25/2019-15778.html Thu, 25 Jul 2019 00:00:00 -0700 2019-15778 Notice https://www.govinfo.gov/content/pkg/FR-2019-07-25/pdf/2019-15778.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 Treasury and Banking Services Policy, Liquidity Management Procedures, Investment Management Procedures and Unsecured Credit Limits Procedures https://regulations.justia.com/regulations/fedreg/2019/07/25/2019-15777.html https://regulations.justia.com/regulations/fedreg/2019/07/25/2019-15777.html Thu, 25 Jul 2019 00:00:00 -0700 2019-15777 Notice https://www.govinfo.gov/content/pkg/FR-2019-07-25/pdf/2019-15777.pdf Notice - Self-Regulatory Organizations; The Nasdaq Stock Market LLC; Notice of Filing of Proposed Rule Change To Amend Rule 4121 https://regulations.justia.com/regulations/fedreg/2019/07/25/2019-15776.html https://regulations.justia.com/regulations/fedreg/2019/07/25/2019-15776.html Thu, 25 Jul 2019 00:00:00 -0700 2019-15776 Notice https://www.govinfo.gov/content/pkg/FR-2019-07-25/pdf/2019-15776.pdf Notice - Self-Regulatory Organizations; ICE Clear Europe Limited; Notice of Filing and Immediate Effectiveness of Proposed Rule Change, Security-Based Swap Submission or Advance Notice Relating to Amendments to the ICE Clear Europe Delivery Procedures https://regulations.justia.com/regulations/fedreg/2019/07/25/2019-15775.html https://regulations.justia.com/regulations/fedreg/2019/07/25/2019-15775.html Thu, 25 Jul 2019 00:00:00 -0700 2019-15775 Notice https://www.govinfo.gov/content/pkg/FR-2019-07-25/pdf/2019-15775.pdf Notice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing of Proposed Rule Change Regarding Investments of the Janus Henderson Mortgage-Backed Securities ETF Currently Listed and Traded on the Exchange Under NYSE Arca Rule 8.600-E https://regulations.justia.com/regulations/fedreg/2019/07/25/2019-15774.html https://regulations.justia.com/regulations/fedreg/2019/07/25/2019-15774.html Thu, 25 Jul 2019 00:00:00 -0700 2019-15774 Notice https://www.govinfo.gov/content/pkg/FR-2019-07-25/pdf/2019-15774.pdf Notice - Self-Regulatory Organizations; The Nasdaq Stock Market LLC; Order Approving a Proposed Rule Change To Allow an Odd Lot-Sized Order To Be Eligible for the Midpoint Extended Life Order https://regulations.justia.com/regulations/fedreg/2019/07/25/2019-15773.html https://regulations.justia.com/regulations/fedreg/2019/07/25/2019-15773.html Thu, 25 Jul 2019 00:00:00 -0700 2019-15773 Notice https://www.govinfo.gov/content/pkg/FR-2019-07-25/pdf/2019-15773.pdf Notice - Self-Regulatory Organizations; Cboe EDGX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating To Update Rule 16.1 To Include the Definition of Capacity, as well as Amend Its Fee Schedule To Reflect This Update https://regulations.justia.com/regulations/fedreg/2019/07/25/2019-15772.html https://regulations.justia.com/regulations/fedreg/2019/07/25/2019-15772.html Thu, 25 Jul 2019 00:00:00 -0700 2019-15772 Notice https://www.govinfo.gov/content/pkg/FR-2019-07-25/pdf/2019-15772.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 Amendments No. 1 and No. 2, Regarding Investments of the Aware Ultra-Short Duration Enhanced Income ETF https://regulations.justia.com/regulations/fedreg/2019/07/25/2019-15771.html https://regulations.justia.com/regulations/fedreg/2019/07/25/2019-15771.html Thu, 25 Jul 2019 00:00:00 -0700 2019-15771 Notice https://www.govinfo.gov/content/pkg/FR-2019-07-25/pdf/2019-15771.pdf Notice - Sunshine Act Meetings https://regulations.justia.com/regulations/fedreg/2019/07/24/2019-15826.html https://regulations.justia.com/regulations/fedreg/2019/07/24/2019-15826.html Wed, 24 Jul 2019 00:00:00 -0700 2019-15826 Notice https://www.govinfo.gov/content/pkg/FR-2019-07-24/pdf/2019-15826.pdf Notice - Proposed Collection; Comment Request https://regulations.justia.com/regulations/fedreg/2019/07/24/2019-15695.html https://regulations.justia.com/regulations/fedreg/2019/07/24/2019-15695.html Wed, 24 Jul 2019 00:00:00 -0700 2019-15695 Notice https://www.govinfo.gov/content/pkg/FR-2019-07-24/pdf/2019-15695.pdf Notice - Self-Regulatory Organizations; Cboe Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating To Amend Rule 12.3 by Extending the Credit Option Margin Pilot Program Through July 20, 2020 https://regulations.justia.com/regulations/fedreg/2019/07/24/2019-15672.html https://regulations.justia.com/regulations/fedreg/2019/07/24/2019-15672.html Wed, 24 Jul 2019 00:00:00 -0700 2019-15672 Notice https://www.govinfo.gov/content/pkg/FR-2019-07-24/pdf/2019-15672.pdf Notice - Self-Regulatory Organizations; Cboe BZX Exchange, Inc.; Order Instituting Proceedings To Determine Whether To Approve or Disapprove 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 https://regulations.justia.com/regulations/fedreg/2019/07/24/2019-15657.html https://regulations.justia.com/regulations/fedreg/2019/07/24/2019-15657.html Wed, 24 Jul 2019 00:00:00 -0700 2019-15657 Notice https://www.govinfo.gov/content/pkg/FR-2019-07-24/pdf/2019-15657.pdf Notice - Sunshine Act Meetings https://regulations.justia.com/regulations/fedreg/2019/07/23/2019-15674.html https://regulations.justia.com/regulations/fedreg/2019/07/23/2019-15674.html Tue, 23 Jul 2019 00:00:00 -0700 2019-15674 Notice https://www.govinfo.gov/content/pkg/FR-2019-07-23/pdf/2019-15674.pdf Notice - Sunshine Act Meetings https://regulations.justia.com/regulations/fedreg/2019/07/23/2019-15673.html https://regulations.justia.com/regulations/fedreg/2019/07/23/2019-15673.html Tue, 23 Jul 2019 00:00:00 -0700 2019-15673 Notice https://www.govinfo.gov/content/pkg/FR-2019-07-23/pdf/2019-15673.pdf Notice - Self-Regulatory Organizations; New York Stock Exchange LLC; Order Granting Approval of a 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/2019/07/23/2019-15637.html https://regulations.justia.com/regulations/fedreg/2019/07/23/2019-15637.html Tue, 23 Jul 2019 00:00:00 -0700 2019-15637 Notice https://www.govinfo.gov/content/pkg/FR-2019-07-23/pdf/2019-15637.pdf Notice - Self-Regulatory Organizations; Investors Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change to IEX's Fee Schedule To Correct Two Fee Code Combinations https://regulations.justia.com/regulations/fedreg/2019/07/23/2019-15635.html https://regulations.justia.com/regulations/fedreg/2019/07/23/2019-15635.html Tue, 23 Jul 2019 00:00:00 -0700 2019-15635 Notice https://www.govinfo.gov/content/pkg/FR-2019-07-23/pdf/2019-15635.pdf Notice - Self-Regulatory Organizations; Nasdaq ISE, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Options 2 (Options Market Participants) and Options 3 (Options Trading Rules) https://regulations.justia.com/regulations/fedreg/2019/07/23/2019-15563.html https://regulations.justia.com/regulations/fedreg/2019/07/23/2019-15563.html Tue, 23 Jul 2019 00:00:00 -0700 2019-15563 Notice https://www.govinfo.gov/content/pkg/FR-2019-07-23/pdf/2019-15563.pdf Notice - Self-Regulatory Organizations; Cboe Exchange, Inc.; Notice of Filing of a Proposed Rule Change To Amend Rule 6.49A Concerning Off-Floor Position Transfers Including RWA Transfers https://regulations.justia.com/regulations/fedreg/2019/07/23/2019-15561.html https://regulations.justia.com/regulations/fedreg/2019/07/23/2019-15561.html Tue, 23 Jul 2019 00:00:00 -0700 2019-15561 Notice https://www.govinfo.gov/content/pkg/FR-2019-07-23/pdf/2019-15561.pdf Notice - Self-Regulatory Organizations; The Nasdaq Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the Generic Listing Standards for Fixed Income Securities Included in the Portfolio of a Series of Managed Fund Shares https://regulations.justia.com/regulations/fedreg/2019/07/23/2019-15560.html https://regulations.justia.com/regulations/fedreg/2019/07/23/2019-15560.html Tue, 23 Jul 2019 00:00:00 -0700 2019-15560 Notice https://www.govinfo.gov/content/pkg/FR-2019-07-23/pdf/2019-15560.pdf Notice - Self-Regulatory Organizations; Cboe Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Its Rules Governing the Give Up of a Clearing Trading Permit Holder by a Trading Permit Holder on Exchange Transactions https://regulations.justia.com/regulations/fedreg/2019/07/23/2019-15559.html https://regulations.justia.com/regulations/fedreg/2019/07/23/2019-15559.html Tue, 23 Jul 2019 00:00:00 -0700 2019-15559 Notice https://www.govinfo.gov/content/pkg/FR-2019-07-23/pdf/2019-15559.pdf Notice - Proposed Collection; Comment Request https://regulations.justia.com/regulations/fedreg/2019/07/22/2019-15532.html https://regulations.justia.com/regulations/fedreg/2019/07/22/2019-15532.html Mon, 22 Jul 2019 00:00:00 -0700 2019-15532 Notice https://www.govinfo.gov/content/pkg/FR-2019-07-22/pdf/2019-15532.pdf Notice - Proposed Collection; Comment Request https://regulations.justia.com/regulations/fedreg/2019/07/22/2019-15531.html https://regulations.justia.com/regulations/fedreg/2019/07/22/2019-15531.html Mon, 22 Jul 2019 00:00:00 -0700 2019-15531 Notice https://www.govinfo.gov/content/pkg/FR-2019-07-22/pdf/2019-15531.pdf Notice - Proposed Collection; Comment Request https://regulations.justia.com/regulations/fedreg/2019/07/22/2019-15530.html https://regulations.justia.com/regulations/fedreg/2019/07/22/2019-15530.html Mon, 22 Jul 2019 00:00:00 -0700 2019-15530 Notice https://www.govinfo.gov/content/pkg/FR-2019-07-22/pdf/2019-15530.pdf Notice - Proposed Collection; Comment Request https://regulations.justia.com/regulations/fedreg/2019/07/22/2019-15529.html https://regulations.justia.com/regulations/fedreg/2019/07/22/2019-15529.html Mon, 22 Jul 2019 00:00:00 -0700 2019-15529 Notice https://www.govinfo.gov/content/pkg/FR-2019-07-22/pdf/2019-15529.pdf Notice - Proposed Collection; Comment Request https://regulations.justia.com/regulations/fedreg/2019/07/22/2019-15528.html https://regulations.justia.com/regulations/fedreg/2019/07/22/2019-15528.html Mon, 22 Jul 2019 00:00:00 -0700 2019-15528 Notice https://www.govinfo.gov/content/pkg/FR-2019-07-22/pdf/2019-15528.pdf Notice - Self-Regulatory Organizations; Cboe Exchange, Inc.; Notice of Filing of a Proposed Rule Change To Amend the Exchange's Opening Process Including on VIX Settlement Days https://regulations.justia.com/regulations/fedreg/2019/07/22/2019-15475.html https://regulations.justia.com/regulations/fedreg/2019/07/22/2019-15475.html Mon, 22 Jul 2019 00:00:00 -0700 2019-15475 Notice https://www.govinfo.gov/content/pkg/FR-2019-07-22/pdf/2019-15475.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 To Offer a New Monthly Rebate for Designated Market Makers Assigned 30 or Fewer Securities https://regulations.justia.com/regulations/fedreg/2019/07/22/2019-15472.html https://regulations.justia.com/regulations/fedreg/2019/07/22/2019-15472.html Mon, 22 Jul 2019 00:00:00 -0700 2019-15472 Notice https://www.govinfo.gov/content/pkg/FR-2019-07-22/pdf/2019-15472.pdf Notice - Self-Regulatory Organizations; NYSE American LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the NYSE American Options Fee Schedule by Revising the Options Regulatory Fee https://regulations.justia.com/regulations/fedreg/2019/07/22/2019-15470.html https://regulations.justia.com/regulations/fedreg/2019/07/22/2019-15470.html Mon, 22 Jul 2019 00:00:00 -0700 2019-15470 Notice https://www.govinfo.gov/content/pkg/FR-2019-07-22/pdf/2019-15470.pdf Notice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the NYSE Arca Options Fee Schedule by Revising the Options Regulatory Fee https://regulations.justia.com/regulations/fedreg/2019/07/22/2019-15469.html https://regulations.justia.com/regulations/fedreg/2019/07/22/2019-15469.html Mon, 22 Jul 2019 00:00:00 -0700 2019-15469 Notice https://www.govinfo.gov/content/pkg/FR-2019-07-22/pdf/2019-15469.pdf Rule - Revisions to Prohibitions and Restrictions on Proprietary Trading and Certain Interests In, and Relationships With, Hedge Funds and Private Equity Funds https://regulations.justia.com/regulations/fedreg/2019/07/22/2019-15019.html https://regulations.justia.com/regulations/fedreg/2019/07/22/2019-15019.html Mon, 22 Jul 2019 00:00:00 -0700 2019-15019 Rule https://www.govinfo.gov/content/pkg/FR-2019-07-22/pdf/2019-15019.pdf Notice - 1WS Credit Income Fund and 1WS Capital Advisers, LLC https://regulations.justia.com/regulations/fedreg/2019/07/19/2019-15430.html https://regulations.justia.com/regulations/fedreg/2019/07/19/2019-15430.html Fri, 19 Jul 2019 00:00:00 -0700 2019-15430 Notice https://www.govinfo.gov/content/pkg/FR-2019-07-19/pdf/2019-15430.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 Fee Schedule Applicable to Its Equities Trading Platform (“EDGX Equities”) To Adopt a “Retail Volume Tier” for Firms That Execute a Significant Volume of Liquidity Providing Retail Order Flow on EDGX https://regulations.justia.com/regulations/fedreg/2019/07/19/2019-15348.html https://regulations.justia.com/regulations/fedreg/2019/07/19/2019-15348.html Fri, 19 Jul 2019 00:00:00 -0700 2019-15348 Notice https://www.govinfo.gov/content/pkg/FR-2019-07-19/pdf/2019-15348.pdf Notice - Self-Regulatory Organizations; LCH SA; Order Approving 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/2019/07/19/2019-15347.html https://regulations.justia.com/regulations/fedreg/2019/07/19/2019-15347.html Fri, 19 Jul 2019 00:00:00 -0700 2019-15347 Notice https://www.govinfo.gov/content/pkg/FR-2019-07-19/pdf/2019-15347.pdf Notice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending the NYSE Arca Equities Fees and Charges https://regulations.justia.com/regulations/fedreg/2019/07/19/2019-15346.html https://regulations.justia.com/regulations/fedreg/2019/07/19/2019-15346.html Fri, 19 Jul 2019 00:00:00 -0700 2019-15346 Notice https://www.govinfo.gov/content/pkg/FR-2019-07-19/pdf/2019-15346.pdf Notice - Submission for OMB Review; Comment Request https://regulations.justia.com/regulations/fedreg/2019/07/19/2019-15345.html https://regulations.justia.com/regulations/fedreg/2019/07/19/2019-15345.html Fri, 19 Jul 2019 00:00:00 -0700 2019-15345 Notice https://www.govinfo.gov/content/pkg/FR-2019-07-19/pdf/2019-15345.pdf Notice - Proposed Collection; Comment Request https://regulations.justia.com/regulations/fedreg/2019/07/19/2019-15344.html https://regulations.justia.com/regulations/fedreg/2019/07/19/2019-15344.html Fri, 19 Jul 2019 00:00:00 -0700 2019-15344 Notice https://www.govinfo.gov/content/pkg/FR-2019-07-19/pdf/2019-15344.pdf Notice - Self-Regulatory Organizations; ICE Clear Credit LLC; Order Approving Proposed Rule Change Relating to ICC's Stress Testing Framework https://regulations.justia.com/regulations/fedreg/2019/07/19/2019-15340.html https://regulations.justia.com/regulations/fedreg/2019/07/19/2019-15340.html Fri, 19 Jul 2019 00:00:00 -0700 2019-15340 Notice https://www.govinfo.gov/content/pkg/FR-2019-07-19/pdf/2019-15340.pdf Notice - Self-Regulatory Organizations; Cboe Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to System Connectivity and Order Entry and Allocation Upon the Migration of the Exchange's Trading Platform to the Same System Used by the Cboe Affiliated Exchanges https://regulations.justia.com/regulations/fedreg/2019/07/19/2019-15338.html https://regulations.justia.com/regulations/fedreg/2019/07/19/2019-15338.html Fri, 19 Jul 2019 00:00:00 -0700 2019-15338 Notice https://www.govinfo.gov/content/pkg/FR-2019-07-19/pdf/2019-15338.pdf Notice - Voya Retirement Insurance and Annuity Company et al; Notice of Application https://regulations.justia.com/regulations/fedreg/2019/07/19/2019-15335.html https://regulations.justia.com/regulations/fedreg/2019/07/19/2019-15335.html Fri, 19 Jul 2019 00:00:00 -0700 2019-15335 Notice https://www.govinfo.gov/content/pkg/FR-2019-07-19/pdf/2019-15335.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 To Reduce the Adding Average Daily Volume Required for ETP Holders To Qualify for the Adding Tier 1 Fees https://regulations.justia.com/regulations/fedreg/2019/07/18/2019-15257.html https://regulations.justia.com/regulations/fedreg/2019/07/18/2019-15257.html Thu, 18 Jul 2019 00:00:00 -0700 2019-15257 Notice https://www.govinfo.gov/content/pkg/FR-2019-07-18/pdf/2019-15257.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/2019/07/18/2019-15256.html https://regulations.justia.com/regulations/fedreg/2019/07/18/2019-15256.html Thu, 18 Jul 2019 00:00:00 -0700 2019-15256 Notice https://www.govinfo.gov/content/pkg/FR-2019-07-18/pdf/2019-15256.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/2019/07/18/2019-15254.html https://regulations.justia.com/regulations/fedreg/2019/07/18/2019-15254.html Thu, 18 Jul 2019 00:00:00 -0700 2019-15254 Notice https://www.govinfo.gov/content/pkg/FR-2019-07-18/pdf/2019-15254.pdf Notice - Self-Regulatory Organizations; ICE Clear Europe Limited; Order Approving Proposed Rule Changes Related to the ICE Clear Europe Revised Recovery Plan https://regulations.justia.com/regulations/fedreg/2019/07/18/2019-15252.html https://regulations.justia.com/regulations/fedreg/2019/07/18/2019-15252.html Thu, 18 Jul 2019 00:00:00 -0700 2019-15252 Notice https://www.govinfo.gov/content/pkg/FR-2019-07-18/pdf/2019-15252.pdf Notice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing of Amendment No. 3 and Order Granting Accelerated Approval of a Proposed Rule Change, as Modified by Amendment No. 3, To List and Trade Shares of JPMorgan Income Builder Blend ETF under NYSE Arca Rule 8.600-E https://regulations.justia.com/regulations/fedreg/2019/07/18/2019-15251.html https://regulations.justia.com/regulations/fedreg/2019/07/18/2019-15251.html Thu, 18 Jul 2019 00:00:00 -0700 2019-15251 Notice https://www.govinfo.gov/content/pkg/FR-2019-07-18/pdf/2019-15251.pdf Notice - Northern Lights Fund Trust III, et al. https://regulations.justia.com/regulations/fedreg/2019/07/17/2019-15146.html https://regulations.justia.com/regulations/fedreg/2019/07/17/2019-15146.html Wed, 17 Jul 2019 00:00:00 -0700 2019-15146 Notice https://www.govinfo.gov/content/pkg/FR-2019-07-17/pdf/2019-15146.pdf Notice - Program for Allocation of Regulatory Responsibilities Pursuant to Rule 17d-2; Notice of Filing of Proposed Plan for the Allocation of Regulatory Responsibilities Between the Financial Industry Regulatory Authority, Inc. and the Long-Term Stock Exchange, Inc. https://regulations.justia.com/regulations/fedreg/2019/07/17/2019-15144.html https://regulations.justia.com/regulations/fedreg/2019/07/17/2019-15144.html Wed, 17 Jul 2019 00:00:00 -0700 2019-15144 Notice https://www.govinfo.gov/content/pkg/FR-2019-07-17/pdf/2019-15144.pdf Notice - Self-Regulatory Organizations; Cboe Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Its Fees Schedule With Respect to Expiring Fee Waivers and Incentive Programs https://regulations.justia.com/regulations/fedreg/2019/07/17/2019-15139.html https://regulations.justia.com/regulations/fedreg/2019/07/17/2019-15139.html Wed, 17 Jul 2019 00:00:00 -0700 2019-15139 Notice https://www.govinfo.gov/content/pkg/FR-2019-07-17/pdf/2019-15139.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 To Adopt Transition Pricing To Support the Introduction of Ports That Connect to the Exchange Using Pillar Technology https://regulations.justia.com/regulations/fedreg/2019/07/17/2019-15138.html https://regulations.justia.com/regulations/fedreg/2019/07/17/2019-15138.html Wed, 17 Jul 2019 00:00:00 -0700 2019-15138 Notice https://www.govinfo.gov/content/pkg/FR-2019-07-17/pdf/2019-15138.pdf Notice - Self-Regulatory Organizations; ICE Clear Europe Limited; Order Approving Proposed Rule Change to Clearing Membership Policy https://regulations.justia.com/regulations/fedreg/2019/07/17/2019-15137.html https://regulations.justia.com/regulations/fedreg/2019/07/17/2019-15137.html Wed, 17 Jul 2019 00:00:00 -0700 2019-15137 Notice https://www.govinfo.gov/content/pkg/FR-2019-07-17/pdf/2019-15137.pdf Notice - Self-Regulatory Organizations; ICE Clear Credit LLC; Proposed Rule Change, Security-Based Swap Submission, or Advance Notice Relating to the ICC Rules, ICC End-of-Day Price Discovery Policies and Procedures, and ICC Risk Management Framework https://regulations.justia.com/regulations/fedreg/2019/07/17/2019-15136.html https://regulations.justia.com/regulations/fedreg/2019/07/17/2019-15136.html Wed, 17 Jul 2019 00:00:00 -0700 2019-15136 Notice https://www.govinfo.gov/content/pkg/FR-2019-07-17/pdf/2019-15136.pdf Notice - Self-Regulatory Organizations; Cboe EDGX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Add Stock-Option Order Functionality and Complex Qualified Contingent Cross (“QCC”) Order With Stock Functionality, and To Make Other Changes to its Rules https://regulations.justia.com/regulations/fedreg/2019/07/17/2019-15135.html https://regulations.justia.com/regulations/fedreg/2019/07/17/2019-15135.html Wed, 17 Jul 2019 00:00:00 -0700 2019-15135 Notice https://www.govinfo.gov/content/pkg/FR-2019-07-17/pdf/2019-15135.pdf Notice - Self-Regulatory Organizations; Cboe EDGX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating To Amend the Fee Schedule Applicable to Members and Non-Members of the Exchange Pursuant to EDGX Rules 15.1(a) and (c) https://regulations.justia.com/regulations/fedreg/2019/07/17/2019-15134.html https://regulations.justia.com/regulations/fedreg/2019/07/17/2019-15134.html Wed, 17 Jul 2019 00:00:00 -0700 2019-15134 Notice https://www.govinfo.gov/content/pkg/FR-2019-07-17/pdf/2019-15134.pdf Notice - Self-Regulatory Organizations; New York Stock Exchange LLC; Order Granting Approval of a Proposed Rule Change To Amend NYSE Rule 123D https://regulations.justia.com/regulations/fedreg/2019/07/17/2019-15133.html https://regulations.justia.com/regulations/fedreg/2019/07/17/2019-15133.html Wed, 17 Jul 2019 00:00:00 -0700 2019-15133 Notice https://www.govinfo.gov/content/pkg/FR-2019-07-17/pdf/2019-15133.pdf Notice - Sunshine Act Meetings https://regulations.justia.com/regulations/fedreg/2019/07/16/2019-15158.html https://regulations.justia.com/regulations/fedreg/2019/07/16/2019-15158.html Tue, 16 Jul 2019 00:00:00 -0700 2019-15158 Notice https://www.govinfo.gov/content/pkg/FR-2019-07-16/pdf/2019-15158.pdf Notice - Sunshine Act Meetings https://regulations.justia.com/regulations/fedreg/2019/07/16/2019-15157.html https://regulations.justia.com/regulations/fedreg/2019/07/16/2019-15157.html Tue, 16 Jul 2019 00:00:00 -0700 2019-15157 Notice https://www.govinfo.gov/content/pkg/FR-2019-07-16/pdf/2019-15157.pdf Notice - Submission for OMB Review; Comment Request https://regulations.justia.com/regulations/fedreg/2019/07/16/2019-15047.html https://regulations.justia.com/regulations/fedreg/2019/07/16/2019-15047.html Tue, 16 Jul 2019 00:00:00 -0700 2019-15047 Notice https://www.govinfo.gov/content/pkg/FR-2019-07-16/pdf/2019-15047.pdf Notice - Submission for OMB Review; Comment Request https://regulations.justia.com/regulations/fedreg/2019/07/16/2019-15046.html https://regulations.justia.com/regulations/fedreg/2019/07/16/2019-15046.html Tue, 16 Jul 2019 00:00:00 -0700 2019-15046 Notice https://www.govinfo.gov/content/pkg/FR-2019-07-16/pdf/2019-15046.pdf Notice - Submission for OMB Review; Comment Request https://regulations.justia.com/regulations/fedreg/2019/07/16/2019-15045.html https://regulations.justia.com/regulations/fedreg/2019/07/16/2019-15045.html Tue, 16 Jul 2019 00:00:00 -0700 2019-15045 Notice https://www.govinfo.gov/content/pkg/FR-2019-07-16/pdf/2019-15045.pdf Notice - Submission for OMB Review; Comment Request https://regulations.justia.com/regulations/fedreg/2019/07/16/2019-15044.html https://regulations.justia.com/regulations/fedreg/2019/07/16/2019-15044.html Tue, 16 Jul 2019 00:00:00 -0700 2019-15044 Notice https://www.govinfo.gov/content/pkg/FR-2019-07-16/pdf/2019-15044.pdf Notice - Submission for OMB Review; Comment Request https://regulations.justia.com/regulations/fedreg/2019/07/16/2019-15034.html https://regulations.justia.com/regulations/fedreg/2019/07/16/2019-15034.html Tue, 16 Jul 2019 00:00:00 -0700 2019-15034 Notice https://www.govinfo.gov/content/pkg/FR-2019-07-16/pdf/2019-15034.pdf Notice - Proposed Collection; Comment Request https://regulations.justia.com/regulations/fedreg/2019/07/16/2019-15032.html https://regulations.justia.com/regulations/fedreg/2019/07/16/2019-15032.html Tue, 16 Jul 2019 00:00:00 -0700 2019-15032 Notice https://www.govinfo.gov/content/pkg/FR-2019-07-16/pdf/2019-15032.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 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 https://regulations.justia.com/regulations/fedreg/2019/07/16/2019-15029.html https://regulations.justia.com/regulations/fedreg/2019/07/16/2019-15029.html Tue, 16 Jul 2019 00:00:00 -0700 2019-15029 Notice https://www.govinfo.gov/content/pkg/FR-2019-07-16/pdf/2019-15029.pdf Notice - Self-Regulatory Organizations; Nasdaq GEMX, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Relocate Rules From Its Current Rulebook Into Its New Rulebook Shell https://regulations.justia.com/regulations/fedreg/2019/07/16/2019-15028.html https://regulations.justia.com/regulations/fedreg/2019/07/16/2019-15028.html Tue, 16 Jul 2019 00:00:00 -0700 2019-15028 Notice https://www.govinfo.gov/content/pkg/FR-2019-07-16/pdf/2019-15028.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 503, Openings on the Exchange https://regulations.justia.com/regulations/fedreg/2019/07/16/2019-15027.html https://regulations.justia.com/regulations/fedreg/2019/07/16/2019-15027.html Tue, 16 Jul 2019 00:00:00 -0700 2019-15027 Notice https://www.govinfo.gov/content/pkg/FR-2019-07-16/pdf/2019-15027.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/2019/07/16/2019-15026.html https://regulations.justia.com/regulations/fedreg/2019/07/16/2019-15026.html Tue, 16 Jul 2019 00:00:00 -0700 2019-15026 Notice https://www.govinfo.gov/content/pkg/FR-2019-07-16/pdf/2019-15026.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/2019/07/16/2019-15025.html https://regulations.justia.com/regulations/fedreg/2019/07/16/2019-15025.html Tue, 16 Jul 2019 00:00:00 -0700 2019-15025 Notice https://www.govinfo.gov/content/pkg/FR-2019-07-16/pdf/2019-15025.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/2019/07/16/2019-15024.html https://regulations.justia.com/regulations/fedreg/2019/07/16/2019-15024.html Tue, 16 Jul 2019 00:00:00 -0700 2019-15024 Notice https://www.govinfo.gov/content/pkg/FR-2019-07-16/pdf/2019-15024.pdf Notice - Self-Regulatory Organizations; ICE Clear Credit LLC; Notice of Filing of Proposed Rule Change Relating to the ICC Clearing Participant Default Management Procedures and ICC Risk Management Framework https://regulations.justia.com/regulations/fedreg/2019/07/16/2019-15023.html https://regulations.justia.com/regulations/fedreg/2019/07/16/2019-15023.html Tue, 16 Jul 2019 00:00:00 -0700 2019-15023 Notice https://www.govinfo.gov/content/pkg/FR-2019-07-16/pdf/2019-15023.pdf Notice - Self-Regulatory Organizations; ICE Clear Europe Limited; Notice of Filing of Proposed Rule Change Relating to the ICE Clear Europe CDS Default Management Framework (the “Framework”) https://regulations.justia.com/regulations/fedreg/2019/07/16/2019-15022.html https://regulations.justia.com/regulations/fedreg/2019/07/16/2019-15022.html Tue, 16 Jul 2019 00:00:00 -0700 2019-15022 Notice https://www.govinfo.gov/content/pkg/FR-2019-07-16/pdf/2019-15022.pdf Notice - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Withdrawal 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/2019/07/16/2019-15021.html https://regulations.justia.com/regulations/fedreg/2019/07/16/2019-15021.html Tue, 16 Jul 2019 00:00:00 -0700 2019-15021 Notice https://www.govinfo.gov/content/pkg/FR-2019-07-16/pdf/2019-15021.pdf Notice - Self-Regulatory Organizations; NYSE American LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Rule 7.37E To Update a Rule Cross Reference https://regulations.justia.com/regulations/fedreg/2019/07/15/2019-14894.html https://regulations.justia.com/regulations/fedreg/2019/07/15/2019-14894.html Mon, 15 Jul 2019 00:00:00 -0700 2019-14894 Notice https://www.govinfo.gov/content/pkg/FR-2019-07-15/pdf/2019-14894.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 for Certain PIP and COPIP Transactions https://regulations.justia.com/regulations/fedreg/2019/07/15/2019-14892.html https://regulations.justia.com/regulations/fedreg/2019/07/15/2019-14892.html Mon, 15 Jul 2019 00:00:00 -0700 2019-14892 Notice https://www.govinfo.gov/content/pkg/FR-2019-07-15/pdf/2019-14892.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 Establish BOX Connectivity Fees for Participants and Non-Participants Who Connect to the BOX Network https://regulations.justia.com/regulations/fedreg/2019/07/15/2019-14891.html https://regulations.justia.com/regulations/fedreg/2019/07/15/2019-14891.html Mon, 15 Jul 2019 00:00:00 -0700 2019-14891 Notice https://www.govinfo.gov/content/pkg/FR-2019-07-15/pdf/2019-14891.pdf Notice - Self-Regulatory Organizations; Cboe Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Its Fees Schedule for XSP Fees and PAR Official Fees https://regulations.justia.com/regulations/fedreg/2019/07/12/2019-14815.html https://regulations.justia.com/regulations/fedreg/2019/07/12/2019-14815.html Fri, 12 Jul 2019 00:00:00 -0700 2019-14815 Notice https://www.govinfo.gov/content/pkg/FR-2019-07-12/pdf/2019-14815.pdf Notice - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Make a Technical Correction and Other Non-Substantive Changes to FINRA Rules https://regulations.justia.com/regulations/fedreg/2019/07/12/2019-14814.html https://regulations.justia.com/regulations/fedreg/2019/07/12/2019-14814.html Fri, 12 Jul 2019 00:00:00 -0700 2019-14814 Notice https://www.govinfo.gov/content/pkg/FR-2019-07-12/pdf/2019-14814.pdf Notice - Self-Regulatory Organizations; Long-Term Stock Exchange, Inc.; Notice of Filing of Proposed Rule Change To Adopt Rule 14.425, Which Would Require Companies Listed on the Exchange To Develop and Publish Certain Long-Term Policies https://regulations.justia.com/regulations/fedreg/2019/07/12/2019-14813.html https://regulations.justia.com/regulations/fedreg/2019/07/12/2019-14813.html Fri, 12 Jul 2019 00:00:00 -0700 2019-14813 Notice https://www.govinfo.gov/content/pkg/FR-2019-07-12/pdf/2019-14813.pdf Notice - Self-Regulatory Organizations; Nasdaq MRX, LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Adopt Complex Order Pricing https://regulations.justia.com/regulations/fedreg/2019/07/12/2019-14812.html https://regulations.justia.com/regulations/fedreg/2019/07/12/2019-14812.html Fri, 12 Jul 2019 00:00:00 -0700 2019-14812 Notice https://www.govinfo.gov/content/pkg/FR-2019-07-12/pdf/2019-14812.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 as It Relates to Pricing for Orders Routed to Cboe EDGX Exchange, Inc. https://regulations.justia.com/regulations/fedreg/2019/07/12/2019-14811.html https://regulations.justia.com/regulations/fedreg/2019/07/12/2019-14811.html Fri, 12 Jul 2019 00:00:00 -0700 2019-14811 Notice https://www.govinfo.gov/content/pkg/FR-2019-07-12/pdf/2019-14811.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 as It Relates to Pricing for Orders Routed To Cboe EDGX Exchange, Inc. https://regulations.justia.com/regulations/fedreg/2019/07/12/2019-14810.html https://regulations.justia.com/regulations/fedreg/2019/07/12/2019-14810.html Fri, 12 Jul 2019 00:00:00 -0700 2019-14810 Notice https://www.govinfo.gov/content/pkg/FR-2019-07-12/pdf/2019-14810.pdf Notice - Self-Regulatory Organizations; Cboe EDGX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating To Update Its Rules Related to Complex Orders and Trading Halts https://regulations.justia.com/regulations/fedreg/2019/07/12/2019-14809.html https://regulations.justia.com/regulations/fedreg/2019/07/12/2019-14809.html Fri, 12 Jul 2019 00:00:00 -0700 2019-14809 Notice https://www.govinfo.gov/content/pkg/FR-2019-07-12/pdf/2019-14809.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 Fee Schedule Applicable to its Equities Trading Platform To Adopt a New Cross-Asset Volume Tier https://regulations.justia.com/regulations/fedreg/2019/07/12/2019-14808.html https://regulations.justia.com/regulations/fedreg/2019/07/12/2019-14808.html Fri, 12 Jul 2019 00:00:00 -0700 2019-14808 Notice https://www.govinfo.gov/content/pkg/FR-2019-07-12/pdf/2019-14808.pdf Rule - Form CRS Relationship Summary; Amendments to Form ADV https://regulations.justia.com/regulations/fedreg/2019/07/12/2019-12376.html https://regulations.justia.com/regulations/fedreg/2019/07/12/2019-12376.html Fri, 12 Jul 2019 00:00:00 -0700 2019-12376 Rule https://www.govinfo.gov/content/pkg/FR-2019-07-12/pdf/2019-12376.pdf Rule - Commission Interpretation Regarding the Solely Incidental Prong of the Broker-Dealer Exclusion From the Definition of Investment Adviser https://regulations.justia.com/regulations/fedreg/2019/07/12/2019-12209.html https://regulations.justia.com/regulations/fedreg/2019/07/12/2019-12209.html Fri, 12 Jul 2019 00:00:00 -0700 2019-12209 Rule https://www.govinfo.gov/content/pkg/FR-2019-07-12/pdf/2019-12209.pdf Rule - Commission Interpretation Regarding Standard of Conduct for Investment Advisers https://regulations.justia.com/regulations/fedreg/2019/07/12/2019-12208.html https://regulations.justia.com/regulations/fedreg/2019/07/12/2019-12208.html Fri, 12 Jul 2019 00:00:00 -0700 2019-12208 Rule https://www.govinfo.gov/content/pkg/FR-2019-07-12/pdf/2019-12208.pdf Rule - Regulation Best Interest: The Broker-Dealer Standard of Conduct https://regulations.justia.com/regulations/fedreg/2019/07/12/2019-12164.html https://regulations.justia.com/regulations/fedreg/2019/07/12/2019-12164.html Fri, 12 Jul 2019 00:00:00 -0700 2019-12164 Rule https://www.govinfo.gov/content/pkg/FR-2019-07-12/pdf/2019-12164.pdf Notice - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing of a Proposed Rule Change To Expand OTC Equity Trading Volume Data Published on FINRA's Website https://regulations.justia.com/regulations/fedreg/2019/07/11/2019-14724.html https://regulations.justia.com/regulations/fedreg/2019/07/11/2019-14724.html Thu, 11 Jul 2019 00:00:00 -0700 2019-14724 Notice https://www.govinfo.gov/content/pkg/FR-2019-07-11/pdf/2019-14724.pdf Notice - Self-Regulatory Organizations; The Nasdaq Stock Market LLC; Notice of Filing of Amendment No. 3 and Order Granting Accelerated Approval of a Proposed Rule Change, as Modified by Amendment No. 3, To Revise the Exchange's Initial Listing Standards Related to Liquidity https://regulations.justia.com/regulations/fedreg/2019/07/11/2019-14723.html https://regulations.justia.com/regulations/fedreg/2019/07/11/2019-14723.html Thu, 11 Jul 2019 00:00:00 -0700 2019-14723 Notice https://www.govinfo.gov/content/pkg/FR-2019-07-11/pdf/2019-14723.pdf Proposed Rule - List of Rules To Be Reviewed Pursuant to the Regulatory Flexibility Act https://regulations.justia.com/regulations/fedreg/2019/07/11/2019-14616.html https://regulations.justia.com/regulations/fedreg/2019/07/11/2019-14616.html Thu, 11 Jul 2019 00:00:00 -0700 2019-14616 Proposed Rule https://www.govinfo.gov/content/pkg/FR-2019-07-11/pdf/2019-14616.pdf Notice - Self-Regulatory Organizations; The Options Clearing Corporation; Notice of Filing of Proposed Rule Change Related to the Options Clearing Corporation's Vanilla Option Model and Smoothing Algorithm https://regulations.justia.com/regulations/fedreg/2019/07/09/2019-14627.html https://regulations.justia.com/regulations/fedreg/2019/07/09/2019-14627.html Tue, 09 Jul 2019 00:00:00 -0700 2019-14627 Notice https://www.govinfo.gov/content/pkg/FR-2019-07-09/pdf/2019-14627.pdf Notice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Rule 7.37-E To Update a Rule Cross Reference https://regulations.justia.com/regulations/fedreg/2019/07/09/2019-14626.html https://regulations.justia.com/regulations/fedreg/2019/07/09/2019-14626.html Tue, 09 Jul 2019 00:00:00 -0700 2019-14626 Notice https://www.govinfo.gov/content/pkg/FR-2019-07-09/pdf/2019-14626.pdf Notice - Self-Regulatory Organizations; NYSE National, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Rule 7.37 To Update a Rule Cross Reference https://regulations.justia.com/regulations/fedreg/2019/07/09/2019-14625.html https://regulations.justia.com/regulations/fedreg/2019/07/09/2019-14625.html Tue, 09 Jul 2019 00:00:00 -0700 2019-14625 Notice https://www.govinfo.gov/content/pkg/FR-2019-07-09/pdf/2019-14625.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, Regarding Certain Changes to Investments of the First Trust TCW Unconstrained Plus Bond ETF https://regulations.justia.com/regulations/fedreg/2019/07/09/2019-14623.html https://regulations.justia.com/regulations/fedreg/2019/07/09/2019-14623.html Tue, 09 Jul 2019 00:00:00 -0700 2019-14623 Notice https://www.govinfo.gov/content/pkg/FR-2019-07-09/pdf/2019-14623.pdf Notice - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Designation of Longer Period for Commission Action on 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/2019/07/09/2019-14622.html https://regulations.justia.com/regulations/fedreg/2019/07/09/2019-14622.html Tue, 09 Jul 2019 00:00:00 -0700 2019-14622 Notice https://www.govinfo.gov/content/pkg/FR-2019-07-09/pdf/2019-14622.pdf Notice - Investor Advisory Committee Meeting https://regulations.justia.com/regulations/fedreg/2019/07/09/2019-14525.html https://regulations.justia.com/regulations/fedreg/2019/07/09/2019-14525.html Tue, 09 Jul 2019 00:00:00 -0700 2019-14525 Notice https://www.govinfo.gov/content/pkg/FR-2019-07-09/pdf/2019-14525.pdf Notice - Self-Regulatory Organizations; Nasdaq PHLX LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Rule 1019, Adopt a New Rule 1073, Adopt a New Rule 1074, Rule 1080, Adopt a New Rule 1096, and Adopt a New Rule 1097 https://regulations.justia.com/regulations/fedreg/2019/07/09/2019-14494.html https://regulations.justia.com/regulations/fedreg/2019/07/09/2019-14494.html Tue, 09 Jul 2019 00:00:00 -0700 2019-14494 Notice https://www.govinfo.gov/content/pkg/FR-2019-07-09/pdf/2019-14494.pdf Notice - Self-Regulatory Organizations; Cboe BZX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating To Amend the Fee Schedule Applicable to Members and Non-Members 1 https://regulations.justia.com/regulations/fedreg/2019/07/09/2019-14491.html https://regulations.justia.com/regulations/fedreg/2019/07/09/2019-14491.html Tue, 09 Jul 2019 00:00:00 -0700 2019-14491 Notice https://www.govinfo.gov/content/pkg/FR-2019-07-09/pdf/2019-14491.pdf Notice - Self-Regulatory Organizations; Cboe EDGX Exchange, Inc.; Notice of Filing of Amendment No. 1 and Order Instituting Proceedings To Determine Whether To Approve or Disapprove of a Proposed Rule Change, as Modified by Amendment No. 1, To Introduce Order Book Priority for Equity Orders Submitted on Behalf of Retail Investors https://regulations.justia.com/regulations/fedreg/2019/07/09/2019-14490.html https://regulations.justia.com/regulations/fedreg/2019/07/09/2019-14490.html Tue, 09 Jul 2019 00:00:00 -0700 2019-14490 Notice https://www.govinfo.gov/content/pkg/FR-2019-07-09/pdf/2019-14490.pdf Notice - Self-Regulatory Organizations; The Nasdaq Stock Market LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Regarding the Listing and Trading the Shares of the AlphaMark Actively Managed Small Cap ETF https://regulations.justia.com/regulations/fedreg/2019/07/09/2019-14489.html https://regulations.justia.com/regulations/fedreg/2019/07/09/2019-14489.html Tue, 09 Jul 2019 00:00:00 -0700 2019-14489 Notice https://www.govinfo.gov/content/pkg/FR-2019-07-09/pdf/2019-14489.pdf Notice - Self-Regulatory Organizations; Cboe EDGX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating To Update All References to “Bats Auction Mechanism” or “BAM” to “Automated Improvement Mechanism” or “AIM” in the EDGX Options Fee Schedule https://regulations.justia.com/regulations/fedreg/2019/07/09/2019-14488.html https://regulations.justia.com/regulations/fedreg/2019/07/09/2019-14488.html Tue, 09 Jul 2019 00:00:00 -0700 2019-14488 Notice https://www.govinfo.gov/content/pkg/FR-2019-07-09/pdf/2019-14488.pdf Notice - Sunshine Act Meetings https://regulations.justia.com/regulations/fedreg/2019/07/08/2019-14533.html https://regulations.justia.com/regulations/fedreg/2019/07/08/2019-14533.html Mon, 08 Jul 2019 00:00:00 -0700 2019-14533 Notice https://www.govinfo.gov/content/pkg/FR-2019-07-08/pdf/2019-14533.pdf Notice - Public Company Accounting Oversight Board; Order Granting Approval of Amendments to Auditing Standards for Auditor's Use of the Work of Specialists https://regulations.justia.com/regulations/fedreg/2019/07/08/2019-14414.html https://regulations.justia.com/regulations/fedreg/2019/07/08/2019-14414.html Mon, 08 Jul 2019 00:00:00 -0700 2019-14414 Notice https://www.govinfo.gov/content/pkg/FR-2019-07-08/pdf/2019-14414.pdf Notice - Public Company Accounting Oversight Board; Order Granting Approval of Auditing Standard 2501, Auditing Accounting Estimates, Including Fair Value Measurements, https://regulations.justia.com/regulations/fedreg/2019/07/08/2019-14411.html https://regulations.justia.com/regulations/fedreg/2019/07/08/2019-14411.html Mon, 08 Jul 2019 00:00:00 -0700 2019-14411 Notice https://www.govinfo.gov/content/pkg/FR-2019-07-08/pdf/2019-14411.pdf Notice - Self-Regulatory Organizations; ICE Clear Europe Limited; Notice of Filing of Amendment No. 1 and Order Granting Accelerated Approval of Proposed Rule Change, as Modified by Amendment No. 1, To Revise the ICE Clear Europe Clearing Rules Regarding Default Management, Recovery and Wind-Down for CDS Contracts, and Default Auction Procedures https://regulations.justia.com/regulations/fedreg/2019/07/08/2019-14403.html https://regulations.justia.com/regulations/fedreg/2019/07/08/2019-14403.html Mon, 08 Jul 2019 00:00:00 -0700 2019-14403 Notice https://www.govinfo.gov/content/pkg/FR-2019-07-08/pdf/2019-14403.pdf Notice - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing of a Proposed Rule Change To Amend FINRA Rules 2210 (Communications With the Public) and 2241 (Research Analysts and Research Reports) https://regulations.justia.com/regulations/fedreg/2019/07/08/2019-14402.html https://regulations.justia.com/regulations/fedreg/2019/07/08/2019-14402.html Mon, 08 Jul 2019 00:00:00 -0700 2019-14402 Notice https://www.govinfo.gov/content/pkg/FR-2019-07-08/pdf/2019-14402.pdf Notice - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Order Instituting Proceedings To Determine Whether To Approve or Disapprove a Proposed Rule Change To Establish a Corporate Bond New Issue Reference Data Service https://regulations.justia.com/regulations/fedreg/2019/07/08/2019-14401.html https://regulations.justia.com/regulations/fedreg/2019/07/08/2019-14401.html Mon, 08 Jul 2019 00:00:00 -0700 2019-14401 Notice https://www.govinfo.gov/content/pkg/FR-2019-07-08/pdf/2019-14401.pdf 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 https://regulations.justia.com/regulations/fedreg/2019/07/08/2019-14400.html https://regulations.justia.com/regulations/fedreg/2019/07/08/2019-14400.html Mon, 08 Jul 2019 00:00:00 -0700 2019-14400 Notice https://www.govinfo.gov/content/pkg/FR-2019-07-08/pdf/2019-14400.pdf Notice - Fixed Income Market Structure Advisory Committee https://regulations.justia.com/regulations/fedreg/2019/07/05/2019-14345.html https://regulations.justia.com/regulations/fedreg/2019/07/05/2019-14345.html Fri, 05 Jul 2019 00:00:00 -0700 2019-14345 Notice https://www.govinfo.gov/content/pkg/FR-2019-07-05/pdf/2019-14345.pdf Notice - Notice of Applications for Deregistration Under Section 8(f) of the Investment Company Act of 1940 https://regulations.justia.com/regulations/fedreg/2019/07/05/2019-14287.html https://regulations.justia.com/regulations/fedreg/2019/07/05/2019-14287.html Fri, 05 Jul 2019 00:00:00 -0700 2019-14287 Notice https://www.govinfo.gov/content/pkg/FR-2019-07-05/pdf/2019-14287.pdf Notice - Self-Regulatory Organizations; Cboe EDGX Exchange, Inc.; Suspension of and Order Instituting Proceedings To Determine Whether To Approve or Disapprove a Proposed Rule Change Amending the Fee Schedule Assessed on Members To Establish a Monthly Trading Rights Fee https://regulations.justia.com/regulations/fedreg/2019/07/05/2019-14283.html https://regulations.justia.com/regulations/fedreg/2019/07/05/2019-14283.html Fri, 05 Jul 2019 00:00:00 -0700 2019-14283 Notice https://www.govinfo.gov/content/pkg/FR-2019-07-05/pdf/2019-14283.pdf Notice - Self-Regulatory Organizations; Cboe BYX Exchange, Inc.; Suspension of and Order Instituting Proceedings To Determine Whether To Approve or Disapprove a Proposed Rule Change Amending the Fee Schedule Assessed on Members To Establish a Monthly Trading Rights Fee https://regulations.justia.com/regulations/fedreg/2019/07/05/2019-14282.html https://regulations.justia.com/regulations/fedreg/2019/07/05/2019-14282.html Fri, 05 Jul 2019 00:00:00 -0700 2019-14282 Notice https://www.govinfo.gov/content/pkg/FR-2019-07-05/pdf/2019-14282.pdf Notice - Self-Regulatory Organizations; Cboe BZX Exchange, Inc.; Suspension of and Order Instituting Proceedings To Determine Whether To Approve or Disapprove a Proposed Rule Change Amending the Fee Schedule Assessed on Members To Establish a Monthly Trading Rights Fee https://regulations.justia.com/regulations/fedreg/2019/07/05/2019-14281.html https://regulations.justia.com/regulations/fedreg/2019/07/05/2019-14281.html Fri, 05 Jul 2019 00:00:00 -0700 2019-14281 Notice https://www.govinfo.gov/content/pkg/FR-2019-07-05/pdf/2019-14281.pdf Notice - Self-Regulatory Organizations; Cboe C2 Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the Trigger for Its Opening Rotation Process for Equity Options https://regulations.justia.com/regulations/fedreg/2019/07/05/2019-14280.html https://regulations.justia.com/regulations/fedreg/2019/07/05/2019-14280.html Fri, 05 Jul 2019 00:00:00 -0700 2019-14280 Notice https://www.govinfo.gov/content/pkg/FR-2019-07-05/pdf/2019-14280.pdf Notice - Self-Regulatory Organizations; Cboe EDGA Exchange, Inc.; Suspension of and Order Instituting Proceedings To Determine Whether To Approve or Disapprove a Proposed Rule Change Amending the Fee Schedule Assessed on Members To Establish a Monthly Trading Rights Fee https://regulations.justia.com/regulations/fedreg/2019/07/05/2019-14279.html https://regulations.justia.com/regulations/fedreg/2019/07/05/2019-14279.html Fri, 05 Jul 2019 00:00:00 -0700 2019-14279 Notice https://www.govinfo.gov/content/pkg/FR-2019-07-05/pdf/2019-14279.pdf Notice - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Designation of Longer Period for Commission Action on 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/2019/07/05/2019-14278.html https://regulations.justia.com/regulations/fedreg/2019/07/05/2019-14278.html Fri, 05 Jul 2019 00:00:00 -0700 2019-14278 Notice https://www.govinfo.gov/content/pkg/FR-2019-07-05/pdf/2019-14278.pdf Notice - Self-Regulatory Organizations; Investors Exchange LLC; Notice of Filing of Proposed Rule Change To Establish a Retail Price Improvement Program https://regulations.justia.com/regulations/fedreg/2019/07/05/2019-14277.html https://regulations.justia.com/regulations/fedreg/2019/07/05/2019-14277.html Fri, 05 Jul 2019 00:00:00 -0700 2019-14277 Notice https://www.govinfo.gov/content/pkg/FR-2019-07-05/pdf/2019-14277.pdf Notice - Self-Regulatory Organizations; The Nasdaq Stock Market LLC; Order Granting Approval of a Proposed Rule Change To Adopt Additional Requirements for Listings in Connection With an Offering Under Regulation A of the Securities Act https://regulations.justia.com/regulations/fedreg/2019/07/05/2019-14276.html https://regulations.justia.com/regulations/fedreg/2019/07/05/2019-14276.html Fri, 05 Jul 2019 00:00:00 -0700 2019-14276 Notice https://www.govinfo.gov/content/pkg/FR-2019-07-05/pdf/2019-14276.pdf Rule - Auditor Independence With Respect to Certain Loans or Debtor-Creditor Relationships https://regulations.justia.com/regulations/fedreg/2019/07/05/2019-13429.html https://regulations.justia.com/regulations/fedreg/2019/07/05/2019-13429.html Fri, 05 Jul 2019 00:00:00 -0700 2019-13429 Rule https://www.govinfo.gov/content/pkg/FR-2019-07-05/pdf/2019-13429.pdf Notice - Self-Regulatory Organizations; Cboe Futures Exchange, LLC; Notice of a Filing of a Proposed Rule Change Regarding Trading Conduct https://regulations.justia.com/regulations/fedreg/2019/07/03/2019-14166.html https://regulations.justia.com/regulations/fedreg/2019/07/03/2019-14166.html Wed, 03 Jul 2019 00:00:00 -0700 2019-14166 Notice https://www.govinfo.gov/content/pkg/FR-2019-07-03/pdf/2019-14166.pdf Notice - Self-Regulatory Organizations; NYSE American LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Delete Provisions in Section 141 of the NYSE American Company Guide That Grant the Board Authority to Defer, Waive or Rebate Annual Fees for Listed Equity Securities and Bonds and To Eliminate Obsolete Provisions https://regulations.justia.com/regulations/fedreg/2019/07/03/2019-14165.html https://regulations.justia.com/regulations/fedreg/2019/07/03/2019-14165.html Wed, 03 Jul 2019 00:00:00 -0700 2019-14165 Notice https://www.govinfo.gov/content/pkg/FR-2019-07-03/pdf/2019-14165.pdf Notice - Self-Regulatory Organizations; Cboe Exchange, Inc.; Notice of Filing of a Proposed Rule Change To Use Cboe Exchange's Affiliate, Cboe Trading, as an Inbound and Outbound Router for Cboe Options https://regulations.justia.com/regulations/fedreg/2019/07/03/2019-14164.html https://regulations.justia.com/regulations/fedreg/2019/07/03/2019-14164.html Wed, 03 Jul 2019 00:00:00 -0700 2019-14164 Notice https://www.govinfo.gov/content/pkg/FR-2019-07-03/pdf/2019-14164.pdf Notice - Self-Regulatory Organizations; Nasdaq BX, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Relocate the BX Options Rules at Chapter IV, Securities Traded on BX https://regulations.justia.com/regulations/fedreg/2019/07/03/2019-14163.html https://regulations.justia.com/regulations/fedreg/2019/07/03/2019-14163.html Wed, 03 Jul 2019 00:00:00 -0700 2019-14163 Notice https://www.govinfo.gov/content/pkg/FR-2019-07-03/pdf/2019-14163.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 Permitted Investments of the PGIM Ultra Short Bond ETF https://regulations.justia.com/regulations/fedreg/2019/07/03/2019-14162.html https://regulations.justia.com/regulations/fedreg/2019/07/03/2019-14162.html Wed, 03 Jul 2019 00:00:00 -0700 2019-14162 Notice https://www.govinfo.gov/content/pkg/FR-2019-07-03/pdf/2019-14162.pdf Notice - Self-Regulatory Organizations; Municipal Securities Rulemaking Board; Notice of Filing of Amendment No. 1 and Order Granting Accelerated Approval of a Proposed Rule Change, as Modified by Amendment No. 1, Consisting of Proposed Amendments to MSRB Rule G-11 and MSRB Rule G-32 and Form G-32 Regarding a Collection of Data Elements Provided in Electronic Format to the EMMA Dataport System in Connection With Primary Offerings https://regulations.justia.com/regulations/fedreg/2019/07/03/2019-14161.html https://regulations.justia.com/regulations/fedreg/2019/07/03/2019-14161.html Wed, 03 Jul 2019 00:00:00 -0700 2019-14161 Notice https://www.govinfo.gov/content/pkg/FR-2019-07-03/pdf/2019-14161.pdf Notice - Self-Regulatory Organizations; Cboe EDGX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to Amend the Trigger for Its Opening Rotation Process for Equity Options https://regulations.justia.com/regulations/fedreg/2019/07/03/2019-14160.html https://regulations.justia.com/regulations/fedreg/2019/07/03/2019-14160.html Wed, 03 Jul 2019 00:00:00 -0700 2019-14160 Notice https://www.govinfo.gov/content/pkg/FR-2019-07-03/pdf/2019-14160.pdf Notice - Self-Regulatory Organizations; Cboe BZX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Related to Fees for Use on Cboe BZX Exchange, Inc. https://regulations.justia.com/regulations/fedreg/2019/07/03/2019-14159.html https://regulations.justia.com/regulations/fedreg/2019/07/03/2019-14159.html Wed, 03 Jul 2019 00:00:00 -0700 2019-14159 Notice https://www.govinfo.gov/content/pkg/FR-2019-07-03/pdf/2019-14159.pdf Notice - Self-Regulatory Organizations; NYSE American LLC; Notice of Filing and Immediate Effectiveness of Proposed Change To Amend the NYSE American Options Fee Schedule https://regulations.justia.com/regulations/fedreg/2019/07/03/2019-14158.html https://regulations.justia.com/regulations/fedreg/2019/07/03/2019-14158.html Wed, 03 Jul 2019 00:00:00 -0700 2019-14158 Notice https://www.govinfo.gov/content/pkg/FR-2019-07-03/pdf/2019-14158.pdf Notice - Self-Regulatory Organizations; Cboe C2 Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating To Update Its Rules Related to Complex Orders and Trading Halts https://regulations.justia.com/regulations/fedreg/2019/07/03/2019-14157.html https://regulations.justia.com/regulations/fedreg/2019/07/03/2019-14157.html Wed, 03 Jul 2019 00:00:00 -0700 2019-14157 Notice https://www.govinfo.gov/content/pkg/FR-2019-07-03/pdf/2019-14157.pdf Notice - WicShares Trust and Water Island Capital, LLC; Notice of Application https://regulations.justia.com/regulations/fedreg/2019/07/02/2019-14112.html https://regulations.justia.com/regulations/fedreg/2019/07/02/2019-14112.html Tue, 02 Jul 2019 00:00:00 -0700 2019-14112 Notice https://www.govinfo.gov/content/pkg/FR-2019-07-02/pdf/2019-14112.pdf Notice - Submission for OMB Review; Comment Request https://regulations.justia.com/regulations/fedreg/2019/07/02/2019-14111.html https://regulations.justia.com/regulations/fedreg/2019/07/02/2019-14111.html Tue, 02 Jul 2019 00:00:00 -0700 2019-14111 Notice https://www.govinfo.gov/content/pkg/FR-2019-07-02/pdf/2019-14111.pdf Notice - Submission for OMB Review; Comment Request https://regulations.justia.com/regulations/fedreg/2019/07/02/2019-14110.html https://regulations.justia.com/regulations/fedreg/2019/07/02/2019-14110.html Tue, 02 Jul 2019 00:00:00 -0700 2019-14110 Notice https://www.govinfo.gov/content/pkg/FR-2019-07-02/pdf/2019-14110.pdf Notice - Self-Regulatory Organization; Cboe BYX Exchange, Inc.; Order Granting an Extension to Limited Exemption From Rule 612(c) of Regulation NMS in Connection With the Exchange's Retail Price Improvement Program https://regulations.justia.com/regulations/fedreg/2019/07/02/2019-14059.html https://regulations.justia.com/regulations/fedreg/2019/07/02/2019-14059.html Tue, 02 Jul 2019 00:00:00 -0700 2019-14059 Notice https://www.govinfo.gov/content/pkg/FR-2019-07-02/pdf/2019-14059.pdf Notice - Self-Regulatory Organizations; NYSE Arca, Inc.; Order Granting an Extension to Limited Exemption From Rule 612(c) of Regulation NMS in Connection With the Exchange's Retail Liquidity Program Until September 30, 2019 https://regulations.justia.com/regulations/fedreg/2019/07/02/2019-14058.html https://regulations.justia.com/regulations/fedreg/2019/07/02/2019-14058.html Tue, 02 Jul 2019 00:00:00 -0700 2019-14058 Notice https://www.govinfo.gov/content/pkg/FR-2019-07-02/pdf/2019-14058.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 21.22 (Complex Automated Improvement Mechanism) https://regulations.justia.com/regulations/fedreg/2019/07/02/2019-14057.html https://regulations.justia.com/regulations/fedreg/2019/07/02/2019-14057.html Tue, 02 Jul 2019 00:00:00 -0700 2019-14057 Notice https://www.govinfo.gov/content/pkg/FR-2019-07-02/pdf/2019-14057.pdf 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, Regarding Changes to Investments of the iShares Bloomberg Roll Select Commodity Strategy ETF https://regulations.justia.com/regulations/fedreg/2019/07/02/2019-14056.html https://regulations.justia.com/regulations/fedreg/2019/07/02/2019-14056.html Tue, 02 Jul 2019 00:00:00 -0700 2019-14056 Notice https://www.govinfo.gov/content/pkg/FR-2019-07-02/pdf/2019-14056.pdf Notice - Self-Regulatory Organizations; Cboe BYX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Extend the Pilot Period for the Exchange's Retail Price Improvement Program https://regulations.justia.com/regulations/fedreg/2019/07/02/2019-14055.html https://regulations.justia.com/regulations/fedreg/2019/07/02/2019-14055.html Tue, 02 Jul 2019 00:00:00 -0700 2019-14055 Notice https://www.govinfo.gov/content/pkg/FR-2019-07-02/pdf/2019-14055.pdf Notice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Extend the Pilot Period for the Exchange Retail Liquidity Program Until September 30, 2019 https://regulations.justia.com/regulations/fedreg/2019/07/02/2019-14054.html https://regulations.justia.com/regulations/fedreg/2019/07/02/2019-14054.html Tue, 02 Jul 2019 00:00:00 -0700 2019-14054 Notice https://www.govinfo.gov/content/pkg/FR-2019-07-02/pdf/2019-14054.pdf Notice - Self-Regulatory Organizations; Nasdaq BX, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Harmonize the Exchange's By-Law Provisions Regarding the Size of the Exchange's Board of Directors to Those of the Other Nasdaq, Inc.-Owned U.S. Exchanges https://regulations.justia.com/regulations/fedreg/2019/07/02/2019-14053.html https://regulations.justia.com/regulations/fedreg/2019/07/02/2019-14053.html Tue, 02 Jul 2019 00:00:00 -0700 2019-14053 Notice https://www.govinfo.gov/content/pkg/FR-2019-07-02/pdf/2019-14053.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 515, Execution of Orders and Quotes https://regulations.justia.com/regulations/fedreg/2019/07/01/2019-13926.html https://regulations.justia.com/regulations/fedreg/2019/07/01/2019-13926.html Mon, 01 Jul 2019 00:00:00 -0700 2019-13926 Notice https://www.govinfo.gov/content/pkg/FR-2019-07-01/pdf/2019-13926.pdf Notice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing of Proposed Rule Change To Amend NYSE Arca Rule 8.201-E (Commodity-Based Trust Shares) and To List and Trade Shares of the United States Bitcoin and Treasury Investment Trust Under NYSE Arca Rule 8.201-E https://regulations.justia.com/regulations/fedreg/2019/07/01/2019-13925.html https://regulations.justia.com/regulations/fedreg/2019/07/01/2019-13925.html Mon, 01 Jul 2019 00:00:00 -0700 2019-13925 Notice https://www.govinfo.gov/content/pkg/FR-2019-07-01/pdf/2019-13925.pdf Notice - Self-Regulatory Organizations; Nasdaq BX, Inc.; Order Granting Accelerated Approval of a Proposed Rule Change, as Modified by Amendment No. 1, To Make Permanent the Pilot Program for the Exchange's Retail Price Improvement Program, Rule 4780, Which Is Set To Expire on June 30, 2019, Notice of Filing of Amendment No. 1, and Order Granting Limited Exemption Pursuant to Rule 612(c) of Regulation NMS https://regulations.justia.com/regulations/fedreg/2019/07/01/2019-13924.html https://regulations.justia.com/regulations/fedreg/2019/07/01/2019-13924.html Mon, 01 Jul 2019 00:00:00 -0700 2019-13924 Notice https://www.govinfo.gov/content/pkg/FR-2019-07-01/pdf/2019-13924.pdf Rule - Adoption of Updated EDGAR Filer Manual https://regulations.justia.com/regulations/fedreg/2019/07/01/2019-13922.html https://regulations.justia.com/regulations/fedreg/2019/07/01/2019-13922.html Mon, 01 Jul 2019 00:00:00 -0700 2019-13922 Rule https://www.govinfo.gov/content/pkg/FR-2019-07-01/pdf/2019-13922.pdf