Federal Register Recent Federal Regulation Documents - Justia Regulation Tracker - Justia Regulations Trackerhttps://regulations.justia.com/regulations/fedreg/agencies/securities-and-exchange-commission/2019/09?limit=200®isters=between&min-day=1&max-day=30&mode=atom2024-05-07T09:03:10-07:00Justia Inchttps://www.justia.com/Justia Regulations Trackerhttps://regulations.justia.com/images/justiafedregulations.gifCopyright 2011 Justia Inchttps://regulations.justia.com/regulations/fedreg/2019/09/30/2019-21309.htmlNotice - Sunshine Act Meetings2019-09-30T00:00:00-07:002019-09-30T00:00:00-07:002019-21309Noticehttps://www.govinfo.gov/content/pkg/FR-2019-09-30/pdf/2019-21309.pdfhttps://regulations.justia.com/regulations/fedreg/2019/09/30/2019-21105.htmlNotice - Self-Regulatory Organizations; NYSE Arca Inc.; Notice of Withdrawal of Proposed Rule Change To Amend the NYSE Arca Options Fee Schedule To Modify the Options Regulatory Fee2019-09-30T00:00:00-07:002019-09-30T00:00:00-07:002019-21105Noticehttps://www.govinfo.gov/content/pkg/FR-2019-09-30/pdf/2019-21105.pdfhttps://regulations.justia.com/regulations/fedreg/2019/09/30/2019-21104.htmlNotice - Self-Regulatory Organizations; NYSE American, LLC; Notice of Withdrawal of Proposed Rule Change To Amend the NYSE American Options Fee Schedule To Modify the Options Regulatory Fee2019-09-30T00:00:00-07:002019-09-30T00:00:00-07:002019-21104Noticehttps://www.govinfo.gov/content/pkg/FR-2019-09-30/pdf/2019-21104.pdfhttps://regulations.justia.com/regulations/fedreg/2019/09/30/2019-21103.htmlNotice - Self-Regulatory Organizations; Cboe Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Certain Clearing Editor Functionality in Rule 6.6 of the Shell Rulebook2019-09-30T00:00:00-07:002019-09-30T00:00:00-07:002019-21103Noticehttps://www.govinfo.gov/content/pkg/FR-2019-09-30/pdf/2019-21103.pdfhttps://regulations.justia.com/regulations/fedreg/2019/09/30/2019-21102.htmlNotice - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Extend the Pilot Period Related to FINRA Rule 6121.02 (Market-Wide Circuit Breakers in NMS Stocks)2019-09-30T00:00:00-07:002019-09-30T00:00:00-07:002019-21102Noticehttps://www.govinfo.gov/content/pkg/FR-2019-09-30/pdf/2019-21102.pdfhttps://regulations.justia.com/regulations/fedreg/2019/09/30/2019-21101.htmlNotice - Self-Regulatory Organizations; NYSE National, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Extend the Pilot Related to the Market-Wide Circuit Breaker in Rule 7.122019-09-30T00:00:00-07:002019-09-30T00:00:00-07:002019-21101Noticehttps://www.govinfo.gov/content/pkg/FR-2019-09-30/pdf/2019-21101.pdfhttps://regulations.justia.com/regulations/fedreg/2019/09/30/2019-21100.htmlNotice - Self-Regulatory Organizations; Municipal Securities Rulemaking Board; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend MSRB Rule A-11, on Assessments for Municipal Advisor Professionals, To Increase the Annual Professional Fee Over a Two-Year Phase-In Period2019-09-30T00:00:00-07:002019-09-30T00:00:00-07:002019-21100Noticehttps://www.govinfo.gov/content/pkg/FR-2019-09-30/pdf/2019-21100.pdfhttps://regulations.justia.com/regulations/fedreg/2019/09/30/2019-21099.htmlNotice - Self-Regulatory Organizations; Nasdaq PHLX LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to the Pricing of a Technology Infrastructure Migration2019-09-30T00:00:00-07:002019-09-30T00:00:00-07:002019-21099Noticehttps://www.govinfo.gov/content/pkg/FR-2019-09-30/pdf/2019-21099.pdfhttps://regulations.justia.com/regulations/fedreg/2019/09/30/2019-21098.htmlNotice - Self-Regulatory Organizations; Cboe Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the AIM Automated Improvement Mechanism Upon the Migration of the Exchange's Trading Platform to the Same System Used by the Cboe Affiliated Exchanges2019-09-30T00:00:00-07:002019-09-30T00:00:00-07:002019-21098Noticehttps://www.govinfo.gov/content/pkg/FR-2019-09-30/pdf/2019-21098.pdfhttps://regulations.justia.com/regulations/fedreg/2019/09/30/2019-21097.htmlNotice - 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 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-E2019-09-30T00:00:00-07:002019-09-30T00:00:00-07:002019-21097Noticehttps://www.govinfo.gov/content/pkg/FR-2019-09-30/pdf/2019-21097.pdfhttps://regulations.justia.com/regulations/fedreg/2019/09/30/2019-21096.htmlNotice - Self-Regulatory Organizations; Cboe EDGA Exchange, Inc.; Order Instituting Proceedings To Determine Whether To Approve or Disapprove a Proposed Rule Change To Introduce a Liquidity Provider Protection Delay Mechanism on EDGA2019-09-30T00:00:00-07:002019-09-30T00:00:00-07:002019-21096Noticehttps://www.govinfo.gov/content/pkg/FR-2019-09-30/pdf/2019-21096.pdfhttps://regulations.justia.com/regulations/fedreg/2019/09/30/2019-21094.htmlNotice - Self-Regulatory Organizations; Cboe BZX Exchange, Inc.; Notice of Filing of a Proposed Rule Change Regarding Certain Changes to Investments of the Aptus Collared Income Opportunity ETF, a Series of ETF Series Solutions2019-09-30T00:00:00-07:002019-09-30T00:00:00-07:002019-21094Noticehttps://www.govinfo.gov/content/pkg/FR-2019-09-30/pdf/2019-21094.pdfhttps://regulations.justia.com/regulations/fedreg/2019/09/30/2019-21093.htmlNotice - Self-Regulatory Organizations; Nasdaq PHLX LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the Exchange's Pricing Schedule, at Equity 7, Section 32019-09-30T00:00:00-07:002019-09-30T00:00:00-07:002019-21093Noticehttps://www.govinfo.gov/content/pkg/FR-2019-09-30/pdf/2019-21093.pdfhttps://regulations.justia.com/regulations/fedreg/2019/09/30/2019-21092.htmlNotice - Self-Regulatory Organizations; Nasdaq PHLX LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the Exchange's Pricing Schedule, at Equity 7, Section 32019-09-30T00:00:00-07:002019-09-30T00:00:00-07:002019-21092Noticehttps://www.govinfo.gov/content/pkg/FR-2019-09-30/pdf/2019-21092.pdfhttps://regulations.justia.com/regulations/fedreg/2019/09/30/2019-21091.htmlNotice - Self-Regulatory Organizations; Cboe BZX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the Fees Applicable to Physical Connectivity2019-09-30T00:00:00-07:002019-09-30T00:00:00-07:002019-21091Noticehttps://www.govinfo.gov/content/pkg/FR-2019-09-30/pdf/2019-21091.pdfhttps://regulations.justia.com/regulations/fedreg/2019/09/30/2019-21086.htmlNotice - Submission for OMB Review; Comment Request2019-09-30T00:00:00-07:002019-09-30T00:00:00-07:002019-21086Noticehttps://www.govinfo.gov/content/pkg/FR-2019-09-30/pdf/2019-21086.pdfhttps://regulations.justia.com/regulations/fedreg/2019/09/30/2019-21085.htmlNotice - Submission for OMB Review; Comment Request2019-09-30T00:00:00-07:002019-09-30T00:00:00-07:002019-21085Noticehttps://www.govinfo.gov/content/pkg/FR-2019-09-30/pdf/2019-21085.pdfhttps://regulations.justia.com/regulations/fedreg/2019/09/30/2019-21084.htmlNotice - Submission for OMB Review; Comment Request2019-09-30T00:00:00-07:002019-09-30T00:00:00-07:002019-21084Noticehttps://www.govinfo.gov/content/pkg/FR-2019-09-30/pdf/2019-21084.pdfhttps://regulations.justia.com/regulations/fedreg/2019/09/30/2019-21083.htmlNotice - Submission for OMB Review; Comment Request2019-09-30T00:00:00-07:002019-09-30T00:00:00-07:002019-21083Noticehttps://www.govinfo.gov/content/pkg/FR-2019-09-30/pdf/2019-21083.pdfhttps://regulations.justia.com/regulations/fedreg/2019/09/30/2019-21082.htmlNotice - Proposed Collection; Comment Request2019-09-30T00:00:00-07:002019-09-30T00:00:00-07:002019-21082Noticehttps://www.govinfo.gov/content/pkg/FR-2019-09-30/pdf/2019-21082.pdfhttps://regulations.justia.com/regulations/fedreg/2019/09/30/2019-21081.htmlNotice - Submission for OMB Review; Comment Request2019-09-30T00:00:00-07:002019-09-30T00:00:00-07:002019-21081Noticehttps://www.govinfo.gov/content/pkg/FR-2019-09-30/pdf/2019-21081.pdfhttps://regulations.justia.com/regulations/fedreg/2019/09/30/2019-21080.htmlNotice - Submission for OMB Review; Comment Request2019-09-30T00:00:00-07:002019-09-30T00:00:00-07:002019-21080Noticehttps://www.govinfo.gov/content/pkg/FR-2019-09-30/pdf/2019-21080.pdfhttps://regulations.justia.com/regulations/fedreg/2019/09/30/2019-21079.htmlNotice - Submission for OMB Review; Comment Request2019-09-30T00:00:00-07:002019-09-30T00:00:00-07:002019-21079Noticehttps://www.govinfo.gov/content/pkg/FR-2019-09-30/pdf/2019-21079.pdfhttps://regulations.justia.com/regulations/fedreg/2019/09/30/2019-21078.htmlNotice - Submission for OMB Review; Comment Request2019-09-30T00:00:00-07:002019-09-30T00:00:00-07:002019-21078Noticehttps://www.govinfo.gov/content/pkg/FR-2019-09-30/pdf/2019-21078.pdfhttps://regulations.justia.com/regulations/fedreg/2019/09/27/2019-21095.htmlNotice - Sunshine Act Meeting; Cancellation2019-09-27T00:00:00-07:002019-09-27T00:00:00-07:002019-21095Noticehttps://www.govinfo.gov/content/pkg/FR-2019-09-27/pdf/2019-21095.pdfhttps://regulations.justia.com/regulations/fedreg/2019/09/27/2019-21030.htmlNotice - Core Alternative Capital, LLC, Listed Funds Trust, and Quasar Distributors, LLC2019-09-27T00:00:00-07:002019-09-27T00:00:00-07:002019-21030Noticehttps://www.govinfo.gov/content/pkg/FR-2019-09-27/pdf/2019-21030.pdfhttps://regulations.justia.com/regulations/fedreg/2019/09/27/2019-20974.htmlNotice - Self-Regulatory Organizations; Cboe EDGX Exchange, Inc.; Order Approving a Proposed Rule Change, as Modified by Amendment No. 1, To Adopt Rule 21.21 (Solicitation Auction Mechanism)2019-09-27T00:00:00-07:002019-09-27T00:00:00-07:002019-20974Noticehttps://www.govinfo.gov/content/pkg/FR-2019-09-27/pdf/2019-20974.pdfhttps://regulations.justia.com/regulations/fedreg/2019/09/27/2019-20971.htmlNotice - Self-Regulatory Organizations; Cboe BZX Exchange, Inc.; Order Instituting Proceedings To Determine Whether To Approve or Disapprove a Proposed Rule Change to List and Trade Shares of the American Century Focused Dynamic Growth ETF and American Century Focused Large Cap Value ETF Under Currently Proposed Rule 14.11(k)2019-09-27T00:00:00-07:002019-09-27T00:00:00-07:002019-20971Noticehttps://www.govinfo.gov/content/pkg/FR-2019-09-27/pdf/2019-20971.pdfhttps://regulations.justia.com/regulations/fedreg/2019/09/27/2019-20970.htmlNotice - Self-Regulatory Organizations; Cboe BZX Exchange, Inc.; Notice of Filing of Amendment No. 2 and Order Instituting Proceedings To Determine Whether To Approve or Disapprove a Proposed Rule Change To Adopt BZX Rule 14.11(k) To Permit the Listing and Trading of Managed Portfolio Shares2019-09-27T00:00:00-07:002019-09-27T00:00:00-07:002019-20970Noticehttps://www.govinfo.gov/content/pkg/FR-2019-09-27/pdf/2019-20970.pdfhttps://regulations.justia.com/regulations/fedreg/2019/09/27/2019-20969.htmlNotice - 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, a Proposed Rule Change To Amend Exchange Rule 104 To Specify Designated Market Maker Requirements for Exchange Traded Products Listed on the Exchange2019-09-27T00:00:00-07:002019-09-27T00:00:00-07:002019-20969Noticehttps://www.govinfo.gov/content/pkg/FR-2019-09-27/pdf/2019-20969.pdfhttps://regulations.justia.com/regulations/fedreg/2019/09/27/2019-20968.htmlNotice - 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 Relating to the Permitted Investments of the PGIM Ultra Short Bond ETF2019-09-27T00:00:00-07:002019-09-27T00:00:00-07:002019-20968Noticehttps://www.govinfo.gov/content/pkg/FR-2019-09-27/pdf/2019-20968.pdfhttps://regulations.justia.com/regulations/fedreg/2019/09/26/2019-20955.htmlNotice - CIM Real Assets & Credit Fund, et al.2019-09-26T00:00:00-07:002019-09-26T00:00:00-07:002019-20955Noticehttps://www.govinfo.gov/content/pkg/FR-2019-09-26/pdf/2019-20955.pdfhttps://regulations.justia.com/regulations/fedreg/2019/09/26/2019-20873.htmlNotice - Self-Regulatory Organizations; Miami International Securities Exchange LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Its Fee Schedule2019-09-26T00:00:00-07:002019-09-26T00:00:00-07:002019-20873Noticehttps://www.govinfo.gov/content/pkg/FR-2019-09-26/pdf/2019-20873.pdfhttps://regulations.justia.com/regulations/fedreg/2019/09/26/2019-20872.htmlNotice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to a Change in the Name and Benchmark Index for the SPDR Nuveen S&P High Yield Municipal Bond ETF2019-09-26T00:00:00-07:002019-09-26T00:00:00-07:002019-20872Noticehttps://www.govinfo.gov/content/pkg/FR-2019-09-26/pdf/2019-20872.pdfhttps://regulations.justia.com/regulations/fedreg/2019/09/26/2019-20369.htmlRule - Technical Amendments To Update Cross-References to Commission's FOIA Regulations2019-09-26T00:00:00-07:002019-09-26T00:00:00-07:002019-20369Rulehttps://www.govinfo.gov/content/pkg/FR-2019-09-26/pdf/2019-20369.pdfhttps://regulations.justia.com/regulations/fedreg/2019/09/25/2019-20712.htmlNotice - Self-Regulatory Organizations; The Nasdaq Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the Order Routing Rule in NOM Chapter VI, Section 112019-09-25T00:00:00-07:002019-09-25T00:00:00-07:002019-20712Noticehttps://www.govinfo.gov/content/pkg/FR-2019-09-25/pdf/2019-20712.pdfhttps://regulations.justia.com/regulations/fedreg/2019/09/25/2019-20711.htmlNotice - Self-Regulatory Organizations; Cboe Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule To Amend Its Rules Related to the Electronic Processing of Complex Orders and To Move Them to the Shell Rulebook That Will Become Effective Upon the Migration of the Exchange's Trading Platform to the Same System Used by the Cboe Affiliated Exchanges2019-09-25T00:00:00-07:002019-09-25T00:00:00-07:002019-20711Noticehttps://www.govinfo.gov/content/pkg/FR-2019-09-25/pdf/2019-20711.pdfhttps://regulations.justia.com/regulations/fedreg/2019/09/25/2019-20710.htmlNotice - Self-Regulatory Organizations; The Nasdaq Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Concerning the Operation of the Nasdaq Opening, Halt and Closing Crosses2019-09-25T00:00:00-07:002019-09-25T00:00:00-07:002019-20710Noticehttps://www.govinfo.gov/content/pkg/FR-2019-09-25/pdf/2019-20710.pdfhttps://regulations.justia.com/regulations/fedreg/2019/09/25/2019-20709.htmlNotice - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Extend the Pilot Related to the Market-Wide Circuit Breaker in Rules 80B and 7.122019-09-25T00:00:00-07:002019-09-25T00:00:00-07:002019-20709Noticehttps://www.govinfo.gov/content/pkg/FR-2019-09-25/pdf/2019-20709.pdfhttps://regulations.justia.com/regulations/fedreg/2019/09/25/2019-20708.htmlNotice - Self-Regulatory Organizations; Cboe Exchange, Inc.; Notice of Filing of a Proposed Rule Change To Adopt Rule 6.49C2019-09-25T00:00:00-07:002019-09-25T00:00:00-07:002019-20708Noticehttps://www.govinfo.gov/content/pkg/FR-2019-09-25/pdf/2019-20708.pdfhttps://regulations.justia.com/regulations/fedreg/2019/09/25/2019-20707.htmlNotice - Self-Regulatory Organizations; Cboe Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Add a New Version of the Silexx Platform to Support FLEX Options Trading2019-09-25T00:00:00-07:002019-09-25T00:00:00-07:002019-20707Noticehttps://www.govinfo.gov/content/pkg/FR-2019-09-25/pdf/2019-20707.pdfhttps://regulations.justia.com/regulations/fedreg/2019/09/25/2019-20706.htmlNotice - Self-Regulatory Organizations; BOX Exchange LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the Fee Schedule on the BOX Options Market LLC (“BOX”) Facility To Establish BOX Connectivity Fees for Participants and Non-Participants Who Connect to the BOX Network2019-09-25T00:00:00-07:002019-09-25T00:00:00-07:002019-20706Noticehttps://www.govinfo.gov/content/pkg/FR-2019-09-25/pdf/2019-20706.pdfhttps://regulations.justia.com/regulations/fedreg/2019/09/25/2019-20702.htmlNotice - Self-Regulatory Organizations; The Depository Trust Company; Notice of Filing of Partial Amendment No. 1 and Order Granting Accelerated Approval of a Proposed Rule Change, as Modified by Partial Amendment No. 1, To Amend the Settlement Guide To Implement a New Algorithm for Transactions Processed in the Night Cycle2019-09-25T00:00:00-07:002019-09-25T00:00:00-07:002019-20702Noticehttps://www.govinfo.gov/content/pkg/FR-2019-09-25/pdf/2019-20702.pdfhttps://regulations.justia.com/regulations/fedreg/2019/09/25/2019-20701.htmlNotice - Self-Regulatory Organizations; NYSE American LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Extend the Pilot Related to the Market-Wide Circuit Breaker in Rule 7.12E2019-09-25T00:00:00-07:002019-09-25T00:00:00-07:002019-20701Noticehttps://www.govinfo.gov/content/pkg/FR-2019-09-25/pdf/2019-20701.pdfhttps://regulations.justia.com/regulations/fedreg/2019/09/25/2019-20700.htmlNotice - Self-Regulatory Organizations: Investors Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Add a Corporate Discretionary Peg Order Type and Make Two Minor Non-Substantive Clarifying Changes to the Definition of a Discretionary Peg Order2019-09-25T00:00:00-07:002019-09-25T00:00:00-07:002019-20700Noticehttps://www.govinfo.gov/content/pkg/FR-2019-09-25/pdf/2019-20700.pdfhttps://regulations.justia.com/regulations/fedreg/2019/09/25/2019-20699.htmlNotice - Self-Regulatory Organizations; The Nasdaq Stock Market LLC; Notice of Designation of Longer Period for Commission Action on Proposed Rule Change To Amend Rules 4120 and 47532019-09-25T00:00:00-07:002019-09-25T00:00:00-07:002019-20699Noticehttps://www.govinfo.gov/content/pkg/FR-2019-09-25/pdf/2019-20699.pdfhttps://regulations.justia.com/regulations/fedreg/2019/09/25/2019-20698.htmlNotice - Self-Regulatory Organizations; Cboe Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Certain Rules Relating To Market-Makers Upon Migration to the Trading System Used by Cboe Affiliated Exchanges2019-09-25T00:00:00-07:002019-09-25T00:00:00-07:002019-20698Noticehttps://www.govinfo.gov/content/pkg/FR-2019-09-25/pdf/2019-20698.pdfhttps://regulations.justia.com/regulations/fedreg/2019/09/25/2019-20697.htmlNotice - Self-Regulatory Organizations; Cboe BZX Exchange, Inc.; Notice of Designation of a Longer Period for Commission Action on a Proposed Rule Change To List and Trade Shares of the iShares California Short Maturity Muni Bond ETF of the iShares U.S. ETF Trust Under Rule 14.11(i), Managed Fund Shares2019-09-25T00:00:00-07:002019-09-25T00:00:00-07:002019-20697Noticehttps://www.govinfo.gov/content/pkg/FR-2019-09-25/pdf/2019-20697.pdfhttps://regulations.justia.com/regulations/fedreg/2019/09/25/2019-20696.htmlNotice - Self-Regulatory Organizations; NYSE Chicago, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Extend the Pilot Related to the Market-Wide Circuit Breaker in Article 20, Rule 22019-09-25T00:00:00-07:002019-09-25T00:00:00-07:002019-20696Noticehttps://www.govinfo.gov/content/pkg/FR-2019-09-25/pdf/2019-20696.pdfhttps://regulations.justia.com/regulations/fedreg/2019/09/25/2019-20695.htmlNotice - Self-Regulatory Organizations; National Securities Clearing Corporation; Notice of Filing of Partial Amendment No. 1 and Order Granting Accelerated Approval of a Proposed Rule Change, as Modified by Partial Amendment No. 1, To Amend Procedure VII with Respect to the Receipt of CNS Securities and Make Other Changes2019-09-25T00:00:00-07:002019-09-25T00:00:00-07:002019-20695Noticehttps://www.govinfo.gov/content/pkg/FR-2019-09-25/pdf/2019-20695.pdfhttps://regulations.justia.com/regulations/fedreg/2019/09/25/2019-20694.htmlNotice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Extend the Pilot Related to the Market-Wide Circuit Breaker in Rule 7.12-E2019-09-25T00:00:00-07:002019-09-25T00:00:00-07:002019-20694Noticehttps://www.govinfo.gov/content/pkg/FR-2019-09-25/pdf/2019-20694.pdfhttps://regulations.justia.com/regulations/fedreg/2019/09/25/2019-20679.htmlNotice - Self-Regulatory Organizations; Long-Term Stock Exchange, Inc.; Notice of Filing of Proposed Minor Rule Violation Plan2019-09-25T00:00:00-07:002019-09-25T00:00:00-07:002019-20679Noticehttps://www.govinfo.gov/content/pkg/FR-2019-09-25/pdf/2019-20679.pdfhttps://regulations.justia.com/regulations/fedreg/2019/09/24/2019-20750.htmlNotice - Sunshine Act Meetings2019-09-24T00:00:00-07:002019-09-24T00:00:00-07:002019-20750Noticehttps://www.govinfo.gov/content/pkg/FR-2019-09-24/pdf/2019-20750.pdfhttps://regulations.justia.com/regulations/fedreg/2019/09/24/2019-20574.htmlNotice - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Its Price List To Aggregate Rates and Requirements Across Tapes A, B and C Securities for Midpoint Passive Liquidity Orders2019-09-24T00:00:00-07:002019-09-24T00:00:00-07:002019-20574Noticehttps://www.govinfo.gov/content/pkg/FR-2019-09-24/pdf/2019-20574.pdfhttps://regulations.justia.com/regulations/fedreg/2019/09/23/2019-20609.htmlNotice - Sunshine Act Meetings2019-09-23T00:00:00-07:002019-09-23T00:00:00-07:002019-20609Noticehttps://www.govinfo.gov/content/pkg/FR-2019-09-23/pdf/2019-20609.pdfhttps://regulations.justia.com/regulations/fedreg/2019/09/23/2019-20480.htmlNotice - Self-Regulatory Organizations; Cboe BZX Exchange, Inc.; Notice of Designation of a Longer Period for Commission Action on a Proposed Rule Change, as Modified by Amendment No. 1, To List and Trade Shares of the Innovator-100 Buffer ETF Series, Innovator Russell 2000 Buffer ETF Series, Innovator-100 Power Buffer ETF Series, Innovator Russell 2000 Power Buffer ETF Series, Innovator-100 Ultra Buffer ETF Series, and Innovator Russell 2000 Ultra Buffer ETF Series2019-09-23T00:00:00-07:002019-09-23T00:00:00-07:002019-20480Noticehttps://www.govinfo.gov/content/pkg/FR-2019-09-23/pdf/2019-20480.pdfhttps://regulations.justia.com/regulations/fedreg/2019/09/23/2019-20477.htmlNotice - Self-Regulatory Organizations; Cboe Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the Exchange's Rules Regarding Cabinet Trading Upon the Migration of the Exchange's Trading Platform to the Same System Used by the Cboe Affiliated Exchanges2019-09-23T00:00:00-07:002019-09-23T00:00:00-07:002019-20477Noticehttps://www.govinfo.gov/content/pkg/FR-2019-09-23/pdf/2019-20477.pdfhttps://regulations.justia.com/regulations/fedreg/2019/09/23/2019-20475.htmlNotice - Self-Regulatory Organizations; Cboe BZX Exchange, Inc.; Notice of Withdrawal of a Proposed Rule Change To List and Trade Shares of SolidX Bitcoin Shares Issued by the VanEck SolidX Bitcoin Trust2019-09-23T00:00:00-07:002019-09-23T00:00:00-07:002019-20475Noticehttps://www.govinfo.gov/content/pkg/FR-2019-09-23/pdf/2019-20475.pdfhttps://regulations.justia.com/regulations/fedreg/2019/09/23/2019-20474.htmlNotice - Self-Regulatory Organizations; The Nasdaq Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Equity 7, Section 118(a)2019-09-23T00:00:00-07:002019-09-23T00:00:00-07:002019-20474Noticehttps://www.govinfo.gov/content/pkg/FR-2019-09-23/pdf/2019-20474.pdfhttps://regulations.justia.com/regulations/fedreg/2019/09/19/2019-20223.htmlNotice - Self-Regulatory Organizations; Nasdaq PHLX LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Specialists and Registered Options Traders2019-09-19T00:00:00-07:002019-09-19T00:00:00-07:002019-20223Noticehttps://www.govinfo.gov/content/pkg/FR-2019-09-19/pdf/2019-20223.pdfhttps://regulations.justia.com/regulations/fedreg/2019/09/19/2019-20222.htmlNotice - Self-Regulatory Organizations; NYSE American LLC; Notice of Filing and Immediate Effectiveness of Proposed Change Amending the NYSE American Options Fee Schedule by Revising the Options Regulatory Fee2019-09-19T00:00:00-07:002019-09-19T00:00:00-07:002019-20222Noticehttps://www.govinfo.gov/content/pkg/FR-2019-09-19/pdf/2019-20222.pdfhttps://regulations.justia.com/regulations/fedreg/2019/09/19/2019-20221.htmlNotice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the NYSE Arca Options Fee Schedule2019-09-19T00:00:00-07:002019-09-19T00:00:00-07:002019-20221Noticehttps://www.govinfo.gov/content/pkg/FR-2019-09-19/pdf/2019-20221.pdfhttps://regulations.justia.com/regulations/fedreg/2019/09/19/2019-20220.htmlNotice - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Order Instituting Proceedings To Determine Whether To Disapprove Proposed Rule Change To Amend the Definition of Family Member in Listing Rule 5605(a)(2) for Purposes of the Definition of Independent Director2019-09-19T00:00:00-07:002019-09-19T00:00:00-07:002019-20220Noticehttps://www.govinfo.gov/content/pkg/FR-2019-09-19/pdf/2019-20220.pdfhttps://regulations.justia.com/regulations/fedreg/2019/09/18/2019-20332.htmlNotice - Sunshine Act Meeting; Cancellation2019-09-18T00:00:00-07:002019-09-18T00:00:00-07:002019-20332Noticehttps://www.govinfo.gov/content/pkg/FR-2019-09-18/pdf/2019-20332.pdfhttps://regulations.justia.com/regulations/fedreg/2019/09/18/2019-20158.htmlNotice - New Mountain Finance Corporation, et al.2019-09-18T00:00:00-07:002019-09-18T00:00:00-07:002019-20158Noticehttps://www.govinfo.gov/content/pkg/FR-2019-09-18/pdf/2019-20158.pdfhttps://regulations.justia.com/regulations/fedreg/2019/09/18/2019-20157.htmlNotice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing of Proposed Rule Change Relating to the Listing and Trading of Shares of the Innovator MSCI EAFE Power Buffer ETFs and Innovator MSCI Emerging Markets Power Buffer ETFs, Series of the Innovator ETFs Trust, Under NYSE Arca Rule 8.600-E2019-09-18T00:00:00-07:002019-09-18T00:00:00-07:002019-20157Noticehttps://www.govinfo.gov/content/pkg/FR-2019-09-18/pdf/2019-20157.pdfhttps://regulations.justia.com/regulations/fedreg/2019/09/18/2019-20156.htmlNotice - Self-Regulatory Organizations; NYSE National, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Its Schedule of Fees2019-09-18T00:00:00-07:002019-09-18T00:00:00-07:002019-20156Noticehttps://www.govinfo.gov/content/pkg/FR-2019-09-18/pdf/2019-20156.pdfhttps://regulations.justia.com/regulations/fedreg/2019/09/18/2019-20154.htmlNotice - Self-Regulatory Organizations; Nasdaq ISE, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the Priority of Quotes and Orders Rule2019-09-18T00:00:00-07:002019-09-18T00:00:00-07:002019-20154Noticehttps://www.govinfo.gov/content/pkg/FR-2019-09-18/pdf/2019-20154.pdfhttps://regulations.justia.com/regulations/fedreg/2019/09/18/2019-20153.htmlNotice - 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. 1, Relating to the Listing and Trading of Shares of the iShares Commodity Curve Carry Strategy ETF Under NYSE Arca Rule 8.600-E2019-09-18T00:00:00-07:002019-09-18T00:00:00-07:002019-20153Noticehttps://www.govinfo.gov/content/pkg/FR-2019-09-18/pdf/2019-20153.pdfhttps://regulations.justia.com/regulations/fedreg/2019/09/18/2019-20152.htmlNotice - Self-Regulatory Organizations; Nasdaq GEMX, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the Priority of Quotes and Orders Rule2019-09-18T00:00:00-07:002019-09-18T00:00:00-07:002019-20152Noticehttps://www.govinfo.gov/content/pkg/FR-2019-09-18/pdf/2019-20152.pdfhttps://regulations.justia.com/regulations/fedreg/2019/09/18/2019-20151.htmlNotice - Self-Regulatory Organizations; Nasdaq MRX, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the Priority of Quotes and Orders Rule2019-09-18T00:00:00-07:002019-09-18T00:00:00-07:002019-20151Noticehttps://www.govinfo.gov/content/pkg/FR-2019-09-18/pdf/2019-20151.pdfhttps://regulations.justia.com/regulations/fedreg/2019/09/18/2019-20150.htmlNotice - Self-Regulatory Organizations; The Nasdaq Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Extend the Pilot Related to the Market-Wide Circuit Breaker in Rule 41212019-09-18T00:00:00-07:002019-09-18T00:00:00-07:002019-20150Noticehttps://www.govinfo.gov/content/pkg/FR-2019-09-18/pdf/2019-20150.pdfhttps://regulations.justia.com/regulations/fedreg/2019/09/18/2019-20149.htmlNotice - Self-Regulatory Organizations; Cboe BZX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the Fees Applicable to Securities Listed on the Exchange, as Set Forth in BZX Rule 14.13, Company Listing Fees2019-09-18T00:00:00-07:002019-09-18T00:00:00-07:002019-20149Noticehttps://www.govinfo.gov/content/pkg/FR-2019-09-18/pdf/2019-20149.pdfhttps://regulations.justia.com/regulations/fedreg/2019/09/17/2019-20018.htmlNotice - Self-Regulatory Organizations; The Nasdaq Stock Market LLC; Notice of Filing of Amendment Nos. 2 and 3 and Order Granting Accelerated Approval of a Proposed Rule Change, as Modified by Amendment Nos. 2 and 3, To Establish the “Midpoint Extended Life Order + Continuous Book” as a New Order Type2019-09-17T00:00:00-07:002019-09-17T00:00:00-07:002019-20018Noticehttps://www.govinfo.gov/content/pkg/FR-2019-09-17/pdf/2019-20018.pdfhttps://regulations.justia.com/regulations/fedreg/2019/09/17/2019-20017.htmlNotice - Self-Regulatory Organizations; ICE Clear Europe Limited; Notice of Filing and Immediate Effectiveness of Proposed Rule Change, as Modified by Partial Amendments No. 1 and No. 2, To Adopt Revised Clearing Fees2019-09-17T00:00:00-07:002019-09-17T00:00:00-07:002019-20017Noticehttps://www.govinfo.gov/content/pkg/FR-2019-09-17/pdf/2019-20017.pdfhttps://regulations.justia.com/regulations/fedreg/2019/09/17/2019-20016.htmlNotice - Self-Regulatory Organizations; Cboe EDGX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating To Amend Its Fee Schedule2019-09-17T00:00:00-07:002019-09-17T00:00:00-07:002019-20016Noticehttps://www.govinfo.gov/content/pkg/FR-2019-09-17/pdf/2019-20016.pdfhttps://regulations.justia.com/regulations/fedreg/2019/09/17/2019-20014.htmlNotice - Self-Regulatory Organizations; Cboe EDGX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating To Adopt Fees for a New Data Product on Its Equity Options Platform (“EDGX Options”) To Be Known as Open-Close Data2019-09-17T00:00:00-07:002019-09-17T00:00:00-07:002019-20014Noticehttps://www.govinfo.gov/content/pkg/FR-2019-09-17/pdf/2019-20014.pdfhttps://regulations.justia.com/regulations/fedreg/2019/09/17/2019-20013.htmlNotice - Self-Regulatory Organizations; Cboe C2 Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating To Adopt Fees for a New Data Product To Be Known as Open-Close Data2019-09-17T00:00:00-07:002019-09-17T00:00:00-07:002019-20013Noticehttps://www.govinfo.gov/content/pkg/FR-2019-09-17/pdf/2019-20013.pdfhttps://regulations.justia.com/regulations/fedreg/2019/09/17/2019-20012.htmlNotice - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Modify Quoting Thresholds Applicable in Relation to an Issue Experienced by the Consolidated Tape Association on August 12, 20192019-09-17T00:00:00-07:002019-09-17T00:00:00-07:002019-20012Noticehttps://www.govinfo.gov/content/pkg/FR-2019-09-17/pdf/2019-20012.pdfhttps://regulations.justia.com/regulations/fedreg/2019/09/17/2019-20011.htmlNotice - Self-Regulatory Organizations; Fixed Income Clearing Corporation; Order Approving a Proposed Rule Change To Revise the MBSD VaR Floor2019-09-17T00:00:00-07:002019-09-17T00:00:00-07:002019-20011Noticehttps://www.govinfo.gov/content/pkg/FR-2019-09-17/pdf/2019-20011.pdfhttps://regulations.justia.com/regulations/fedreg/2019/09/17/2019-20010.htmlNotice - Self-Regulatory Organizations; Cboe BZX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating To Adopt Fees for a New Data Product on its Equity Options Platform (“BZX Options”) To Be Known as Open-Close Data2019-09-17T00:00:00-07:002019-09-17T00:00:00-07:002019-20010Noticehttps://www.govinfo.gov/content/pkg/FR-2019-09-17/pdf/2019-20010.pdfhttps://regulations.justia.com/regulations/fedreg/2019/09/16/C1-2019-18999.htmlNotice - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Its Price List To Revise the Remove and Adding Liquidity Tiers for Tape B and C Securities2019-09-16T00:00:00-07:002019-09-16T00:00:00-07:00C1-2019-18999Noticehttps://www.govinfo.gov/content/pkg/FR-2019-09-16/pdf/C1-2019-18999.pdfhttps://regulations.justia.com/regulations/fedreg/2019/09/16/2019-20092.htmlNotice - Sunshine Act Meetings2019-09-16T00:00:00-07:002019-09-16T00:00:00-07:002019-20092Noticehttps://www.govinfo.gov/content/pkg/FR-2019-09-16/pdf/2019-20092.pdfhttps://regulations.justia.com/regulations/fedreg/2019/09/16/2019-20040.htmlNotice - Sunshine Act Meetings2019-09-16T00:00:00-07:002019-09-16T00:00:00-07:002019-20040Noticehttps://www.govinfo.gov/content/pkg/FR-2019-09-16/pdf/2019-20040.pdfhttps://regulations.justia.com/regulations/fedreg/2019/09/16/2019-20038.htmlNotice - Sunshine Act Meetings2019-09-16T00:00:00-07:002019-09-16T00:00:00-07:002019-20038Noticehttps://www.govinfo.gov/content/pkg/FR-2019-09-16/pdf/2019-20038.pdfhttps://regulations.justia.com/regulations/fedreg/2019/09/16/2019-19979.htmlNotice - Investment Company Act Release No. 33622; File No. 812-15031 ETFis Series Trust I, et al.; Notice of Application2019-09-16T00:00:00-07:002019-09-16T00:00:00-07:002019-19979Noticehttps://www.govinfo.gov/content/pkg/FR-2019-09-16/pdf/2019-19979.pdfhttps://regulations.justia.com/regulations/fedreg/2019/09/16/2019-19976.htmlNotice - Submission for OMB Review; Comment Request2019-09-16T00:00:00-07:002019-09-16T00:00:00-07:002019-19976Noticehttps://www.govinfo.gov/content/pkg/FR-2019-09-16/pdf/2019-19976.pdfhttps://regulations.justia.com/regulations/fedreg/2019/09/16/2019-19975.htmlNotice - Proposed Collection; Comment Request2019-09-16T00:00:00-07:002019-09-16T00:00:00-07:002019-19975Noticehttps://www.govinfo.gov/content/pkg/FR-2019-09-16/pdf/2019-19975.pdfhttps://regulations.justia.com/regulations/fedreg/2019/09/16/2019-19974.htmlNotice - Proposed Collection; Comment Request2019-09-16T00:00:00-07:002019-09-16T00:00:00-07:002019-19974Noticehttps://www.govinfo.gov/content/pkg/FR-2019-09-16/pdf/2019-19974.pdfhttps://regulations.justia.com/regulations/fedreg/2019/09/16/2019-19973.htmlNotice - Submission for OMB Review; Comment Request2019-09-16T00:00:00-07:002019-09-16T00:00:00-07:002019-19973Noticehttps://www.govinfo.gov/content/pkg/FR-2019-09-16/pdf/2019-19973.pdfhttps://regulations.justia.com/regulations/fedreg/2019/09/16/2019-19971.htmlNotice - Proposed Collection; Comment Request2019-09-16T00:00:00-07:002019-09-16T00:00:00-07:002019-19971Noticehttps://www.govinfo.gov/content/pkg/FR-2019-09-16/pdf/2019-19971.pdfhttps://regulations.justia.com/regulations/fedreg/2019/09/16/2019-19905.htmlNotice - Self-Regulatory Organizations; NYSE American LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the NYSE American Options Fee Schedule2019-09-16T00:00:00-07:002019-09-16T00:00:00-07:002019-19905Noticehttps://www.govinfo.gov/content/pkg/FR-2019-09-16/pdf/2019-19905.pdfhttps://regulations.justia.com/regulations/fedreg/2019/09/16/2019-19904.htmlNotice - Self-Regulatory Organizations; Cboe Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to the Cboe Trade Match System2019-09-16T00:00:00-07:002019-09-16T00:00:00-07:002019-19904Noticehttps://www.govinfo.gov/content/pkg/FR-2019-09-16/pdf/2019-19904.pdfhttps://regulations.justia.com/regulations/fedreg/2019/09/16/2019-19903.htmlNotice - Self-Regulatory Organizations; The Nasdaq Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To List and Trade the Common Shares of Beneficial Interest of Invesco BulletShares ETFs2019-09-16T00:00:00-07:002019-09-16T00:00:00-07:002019-19903Noticehttps://www.govinfo.gov/content/pkg/FR-2019-09-16/pdf/2019-19903.pdfhttps://regulations.justia.com/regulations/fedreg/2019/09/16/2019-19902.htmlNotice - Self-Regulatory Organizations; Cboe Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Regarding Price Protections and Risk Controls2019-09-16T00:00:00-07:002019-09-16T00:00:00-07:002019-19902Noticehttps://www.govinfo.gov/content/pkg/FR-2019-09-16/pdf/2019-19902.pdfhttps://regulations.justia.com/regulations/fedreg/2019/09/16/2019-19901.htmlNotice - Self-Regulatory Organizations; Cboe Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Its Rules Regarding How Complex Orders Are Processed Through the Automated Improvement Mechanism and To Move Those Rules From the 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 Exchanges2019-09-16T00:00:00-07:002019-09-16T00:00:00-07:002019-19901Noticehttps://www.govinfo.gov/content/pkg/FR-2019-09-16/pdf/2019-19901.pdfhttps://regulations.justia.com/regulations/fedreg/2019/09/16/2019-19900.htmlNotice - Self-Regulatory Organizations; Cboe Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Rule 4.10(b) Regarding the Notice Requirement in Connection With Trading Permit Holders That Clear Market-Maker Trades2019-09-16T00:00:00-07:002019-09-16T00:00:00-07:002019-19900Noticehttps://www.govinfo.gov/content/pkg/FR-2019-09-16/pdf/2019-19900.pdfhttps://regulations.justia.com/regulations/fedreg/2019/09/13/2019-19852.htmlNotice - Proposed Amendments to the National Market System Plan Governing the Consolidated Audit Trail2019-09-13T00:00:00-07:002019-09-13T00:00:00-07:002019-19852Noticehttps://www.govinfo.gov/content/pkg/FR-2019-09-13/pdf/2019-19852.pdfhttps://regulations.justia.com/regulations/fedreg/2019/09/12/2019-19716.htmlNotice - Order Granting Application by Nasdaq BX, Inc. 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 the Nasdaq Rule 1000 Series Incorporated by Reference2019-09-12T00:00:00-07:002019-09-12T00:00:00-07:002019-19716Noticehttps://www.govinfo.gov/content/pkg/FR-2019-09-12/pdf/2019-19716.pdfhttps://regulations.justia.com/regulations/fedreg/2019/09/12/2019-19706.htmlNotice - Self-Regulatory Organizations; Cboe Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to the Dissemination of End-of-Day Indicative Values Via the Options Price Reporting Authority2019-09-12T00:00:00-07:002019-09-12T00:00:00-07:002019-19706Noticehttps://www.govinfo.gov/content/pkg/FR-2019-09-12/pdf/2019-19706.pdfhttps://regulations.justia.com/regulations/fedreg/2019/09/12/2019-19704.htmlNotice - Self-Regulatory Organizations; The Depository Trust Company; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the DTC Deposits Service Guide Relating to Procedures for the Deposit of Nontransferable Securities2019-09-12T00:00:00-07:002019-09-12T00:00:00-07:002019-19704Noticehttps://www.govinfo.gov/content/pkg/FR-2019-09-12/pdf/2019-19704.pdfhttps://regulations.justia.com/regulations/fedreg/2019/09/12/2019-19703.htmlNotice - Self-Regulatory Organizations; ICE Clear Europe Limited; Notice of Filing of Partial Amendment No. 2 and Order Granting Accelerated Approval of Proposed Rule Change, as Modified by Partial Amendment No. 1 and Partial Amendment No. 2, To Revise the ICE Clear Europe Treasury and Banking Services Policy, Liquidity Management Procedures, Investment Management Procedures and Unsecured Credit Limits Procedures2019-09-12T00:00:00-07:002019-09-12T00:00:00-07:002019-19703Noticehttps://www.govinfo.gov/content/pkg/FR-2019-09-12/pdf/2019-19703.pdfhttps://regulations.justia.com/regulations/fedreg/2019/09/11/2019-19809.htmlNotice - Sunshine Act Meetings2019-09-11T00:00:00-07:002019-09-11T00:00:00-07:002019-19809Noticehttps://www.govinfo.gov/content/pkg/FR-2019-09-11/pdf/2019-19809.pdfhttps://regulations.justia.com/regulations/fedreg/2019/09/11/2019-19612.htmlNotice - Self-Regulatory Organizations; Cboe Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to the Removal of a Number of Outdated Fees and References in the Cboe Options Fees Schedule2019-09-11T00:00:00-07:002019-09-11T00:00:00-07:002019-19612Noticehttps://www.govinfo.gov/content/pkg/FR-2019-09-11/pdf/2019-19612.pdfhttps://regulations.justia.com/regulations/fedreg/2019/09/11/2019-19611.htmlNotice - Self-Regulatory Organizations; Cboe Exchange, Inc.; Notice of Filing of Amendment Nos. 1, 2, and 3 and Order Granting Accelerated Approval of a Proposed Rule Change, as Modified by Amendment Nos. 1, 2, and 3, To Amend the Exchange's Opening Process, Including on VIX Settlement Days2019-09-11T00:00:00-07:002019-09-11T00:00:00-07:002019-19611Noticehttps://www.govinfo.gov/content/pkg/FR-2019-09-11/pdf/2019-19611.pdfhttps://regulations.justia.com/regulations/fedreg/2019/09/11/2019-19610.htmlNotice - Self-Regulatory Organizations; Cboe Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Exchange Rules Regarding Routing Services, Including the Hybrid Agency Liaison System, and Move Those Rules From the Currently Effective Rulebook to the Shell Rulebook To Be Effective Upon Migration2019-09-11T00:00:00-07:002019-09-11T00:00:00-07:002019-19610Noticehttps://www.govinfo.gov/content/pkg/FR-2019-09-11/pdf/2019-19610.pdfhttps://regulations.justia.com/regulations/fedreg/2019/09/11/2019-19609.htmlNotice - Self-Regulatory Organizations; The Nasdaq Stock Market LLC; Notice of Designation of Longer Period for Commission Action on a Proposed Rule Change To Amend Rule 41212019-09-11T00:00:00-07:002019-09-11T00:00:00-07:002019-19609Noticehttps://www.govinfo.gov/content/pkg/FR-2019-09-11/pdf/2019-19609.pdfhttps://regulations.justia.com/regulations/fedreg/2019/09/11/2019-19608.htmlNotice - Self-Regulatory Organizations; The Options Clearing Corporation; Notice of Filing of Advance Notice Concerning a Proposed Capital Management Policy That Would Support the Options Clearing Corporation's Function as a Systemically Important Financial Market Utility2019-09-11T00:00:00-07:002019-09-11T00:00:00-07:002019-19608Noticehttps://www.govinfo.gov/content/pkg/FR-2019-09-11/pdf/2019-19608.pdfhttps://regulations.justia.com/regulations/fedreg/2019/09/10/2019-19617.htmlNotice - Sunshine Act Meetings2019-09-10T00:00:00-07:002019-09-10T00:00:00-07:002019-19617Noticehttps://www.govinfo.gov/content/pkg/FR-2019-09-10/pdf/2019-19617.pdfhttps://regulations.justia.com/regulations/fedreg/2019/09/10/2019-19538.htmlNotice - Self-Regulatory Organizations; Fixed Income Clearing Corporation; Notice of Filing of Advance Notice To Amend the GSD Rulebook To Establish a Process To Address Liquidity Needs in Certain Situations in the GCF Repo and CCIT Services and Make Other Changes2019-09-10T00:00:00-07:002019-09-10T00:00:00-07:002019-19538Noticehttps://www.govinfo.gov/content/pkg/FR-2019-09-10/pdf/2019-19538.pdfhttps://regulations.justia.com/regulations/fedreg/2019/09/10/2019-19469.htmlNotice - Order Granting Application by The Financial Information Forum and Security Traders Association for an Exemption Pursuant to Rule 606(c) of Regulation NMS Under the Exchange Act From Certain Requirements of Rule 606 of Regulation NMS Under the Exchange Act2019-09-10T00:00:00-07:002019-09-10T00:00:00-07:002019-19469Noticehttps://www.govinfo.gov/content/pkg/FR-2019-09-10/pdf/2019-19469.pdfhttps://regulations.justia.com/regulations/fedreg/2019/09/10/2019-19468.htmlNotice - Diamond Hill Funds and Diamond Hill Capital Management, Inc.2019-09-10T00:00:00-07:002019-09-10T00:00:00-07:002019-19468Noticehttps://www.govinfo.gov/content/pkg/FR-2019-09-10/pdf/2019-19468.pdfhttps://regulations.justia.com/regulations/fedreg/2019/09/10/2019-19466.htmlNotice - Self-Regulatory Organizations; MIAX Emerald, LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Exchange Rule 519, MIAX Emerald Order Monitor2019-09-10T00:00:00-07:002019-09-10T00:00:00-07:002019-19466Noticehttps://www.govinfo.gov/content/pkg/FR-2019-09-10/pdf/2019-19466.pdfhttps://regulations.justia.com/regulations/fedreg/2019/09/10/2019-19465.htmlNotice - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Order Approving a Proposed Rule Change To Amend FINRA Rules 2210 (Communications With the Public) and 2241 (Research Analysts and Research Reports); Correction2019-09-10T00:00:00-07:002019-09-10T00:00:00-07:002019-19465Noticehttps://www.govinfo.gov/content/pkg/FR-2019-09-10/pdf/2019-19465.pdfhttps://regulations.justia.com/regulations/fedreg/2019/09/10/2019-19464.htmlNotice - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing of Proposed Rule Change To Amend the Exchange's Price List Related to Co-Location Services2019-09-10T00:00:00-07:002019-09-10T00:00:00-07:002019-19464Noticehttps://www.govinfo.gov/content/pkg/FR-2019-09-10/pdf/2019-19464.pdfhttps://regulations.justia.com/regulations/fedreg/2019/09/10/2019-19463.htmlNotice - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Rule 103B2019-09-10T00:00:00-07:002019-09-10T00:00:00-07:002019-19463Noticehttps://www.govinfo.gov/content/pkg/FR-2019-09-10/pdf/2019-19463.pdfhttps://regulations.justia.com/regulations/fedreg/2019/09/10/2019-19462.htmlNotice - Self-Regulatory Organizations; NYSE American LLC; Notice of Filing of Proposed Rule Change To Amend Its NYSE American Equities Price List and the NYSE American Options Fee Schedule Related to Co-Location Services2019-09-10T00:00:00-07:002019-09-10T00:00:00-07:002019-19462Noticehttps://www.govinfo.gov/content/pkg/FR-2019-09-10/pdf/2019-19462.pdfhttps://regulations.justia.com/regulations/fedreg/2019/09/10/2019-19461.htmlNotice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing 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 Services2019-09-10T00:00:00-07:002019-09-10T00:00:00-07:002019-19461Noticehttps://www.govinfo.gov/content/pkg/FR-2019-09-10/pdf/2019-19461.pdfhttps://regulations.justia.com/regulations/fedreg/2019/09/10/2019-19460.htmlNotice - Self-Regulatory Organizations; NYSE National, Inc.; Notice of Filing of Proposed Rule Change To Amend the Exchange's Price List Related to Co-Location Services2019-09-10T00:00:00-07:002019-09-10T00:00:00-07:002019-19460Noticehttps://www.govinfo.gov/content/pkg/FR-2019-09-10/pdf/2019-19460.pdfhttps://regulations.justia.com/regulations/fedreg/2019/09/10/2019-19459.htmlNotice - Self-Regulatory Organizations; Cboe Exchange, Inc.; Notice of Designation of Longer Period for Commission Action on a Proposed Rule Change To Amend Rule 6.49A Concerning Off-Floor Position Transfers2019-09-10T00:00:00-07:002019-09-10T00:00:00-07:002019-19459Noticehttps://www.govinfo.gov/content/pkg/FR-2019-09-10/pdf/2019-19459.pdfhttps://regulations.justia.com/regulations/fedreg/2019/09/10/2019-19458.htmlNotice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing of Proposed Rule Change To Make Permanent Rule 7.44-E2019-09-10T00:00:00-07:002019-09-10T00:00:00-07:002019-19458Noticehttps://www.govinfo.gov/content/pkg/FR-2019-09-10/pdf/2019-19458.pdfhttps://regulations.justia.com/regulations/fedreg/2019/09/10/2019-18355.htmlRule - Commission Interpretation and Guidance Regarding the Applicability of the Proxy Rules to Proxy Voting Advice2019-09-10T00:00:00-07:002019-09-10T00:00:00-07:002019-18355Rulehttps://www.govinfo.gov/content/pkg/FR-2019-09-10/pdf/2019-18355.pdfhttps://regulations.justia.com/regulations/fedreg/2019/09/10/2019-18342.htmlRule - Commission Guidance Regarding Proxy Voting Responsibilities of Investment Advisers2019-09-10T00:00:00-07:002019-09-10T00:00:00-07:002019-18342Rulehttps://www.govinfo.gov/content/pkg/FR-2019-09-10/pdf/2019-18342.pdfhttps://regulations.justia.com/regulations/fedreg/2019/09/09/2019-19374.htmlNotice - Proposed Collection; Comment Request2019-09-09T00:00:00-07:002019-09-09T00:00:00-07:002019-19374Noticehttps://www.govinfo.gov/content/pkg/FR-2019-09-09/pdf/2019-19374.pdfhttps://regulations.justia.com/regulations/fedreg/2019/09/09/2019-19335.htmlNotice - Self-Regulatory Organizations; LCH SA; Notice of Filing of Proposed Rule Change Relating to Extension of Weekly Backloading Cycle to Index Swaptions2019-09-09T00:00:00-07:002019-09-09T00:00:00-07:002019-19335Noticehttps://www.govinfo.gov/content/pkg/FR-2019-09-09/pdf/2019-19335.pdfhttps://regulations.justia.com/regulations/fedreg/2019/09/09/2019-19334.htmlNotice - Self-Regulatory Organizations; The Nasdaq Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Clarify Rule 4120(c)(9)2019-09-09T00:00:00-07:002019-09-09T00:00:00-07:002019-19334Noticehttps://www.govinfo.gov/content/pkg/FR-2019-09-09/pdf/2019-19334.pdfhttps://regulations.justia.com/regulations/fedreg/2019/09/09/2019-19333.htmlNotice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Designation of a Longer Period for Commission Action on a Proposed Rule Change Regarding Investments of the Janus Henderson Mortgage-Backed Securities ETF Currently Listed and Traded on the Exchange Under NYSE Arca Rule 8.600-E2019-09-09T00:00:00-07:002019-09-09T00:00:00-07:002019-19333Noticehttps://www.govinfo.gov/content/pkg/FR-2019-09-09/pdf/2019-19333.pdfhttps://regulations.justia.com/regulations/fedreg/2019/09/09/2019-19332.htmlNotice - Self-Regulatory Organizations; Investors Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Modify Its Fee Schedule To Establish Fees for the Execution of Retail and Retail Liquidity Provider Orders and To Eliminate Fee Code N From the Fee Schedule2019-09-09T00:00:00-07:002019-09-09T00:00:00-07:002019-19332Noticehttps://www.govinfo.gov/content/pkg/FR-2019-09-09/pdf/2019-19332.pdfhttps://regulations.justia.com/regulations/fedreg/2019/09/06/2019-19241.htmlNotice - Proposed Collection; Comment Request2019-09-06T00:00:00-07:002019-09-06T00:00:00-07:002019-19241Noticehttps://www.govinfo.gov/content/pkg/FR-2019-09-06/pdf/2019-19241.pdfhttps://regulations.justia.com/regulations/fedreg/2019/09/06/2019-19240.htmlNotice - Proposed Collection; Comment Request2019-09-06T00:00:00-07:002019-09-06T00:00:00-07:002019-19240Noticehttps://www.govinfo.gov/content/pkg/FR-2019-09-06/pdf/2019-19240.pdfhttps://regulations.justia.com/regulations/fedreg/2019/09/06/2019-19239.htmlNotice - Submission for OMB Review; Comment Request2019-09-06T00:00:00-07:002019-09-06T00:00:00-07:002019-19239Noticehttps://www.govinfo.gov/content/pkg/FR-2019-09-06/pdf/2019-19239.pdfhttps://regulations.justia.com/regulations/fedreg/2019/09/06/2019-19238.htmlNotice - Proposed Collection; Comment Request2019-09-06T00:00:00-07:002019-09-06T00:00:00-07:002019-19238Noticehttps://www.govinfo.gov/content/pkg/FR-2019-09-06/pdf/2019-19238.pdfhttps://regulations.justia.com/regulations/fedreg/2019/09/06/2019-19237.htmlNotice - Submission for OMB Review; Comment Request2019-09-06T00:00:00-07:002019-09-06T00:00:00-07:002019-19237Noticehttps://www.govinfo.gov/content/pkg/FR-2019-09-06/pdf/2019-19237.pdfhttps://regulations.justia.com/regulations/fedreg/2019/09/06/2019-19224.htmlNotice - Self-Regulatory Organizations; The Nasdaq Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Modify the Manner in Which It Calculates Volume, Liquidity and Quoting Thresholds Applicable To Billing on the Exchange in Relation to a Systems Issue Experienced by SIAC on August 12, 20192019-09-06T00:00:00-07:002019-09-06T00:00:00-07:002019-19224Noticehttps://www.govinfo.gov/content/pkg/FR-2019-09-06/pdf/2019-19224.pdfhttps://regulations.justia.com/regulations/fedreg/2019/09/06/2019-19223.htmlNotice - Self-Regulatory Organizations; BOX Exchange LLC; Notice of Withdrawal of Proposed Rule Change To Amend the Fee Schedule on the BOX Options Market LLC Facility To Establish BOX Connectivity Fees for Participants and Non-Participants Who Connect to the BOX Network2019-09-06T00:00:00-07:002019-09-06T00:00:00-07:002019-19223Noticehttps://www.govinfo.gov/content/pkg/FR-2019-09-06/pdf/2019-19223.pdfhttps://regulations.justia.com/regulations/fedreg/2019/09/06/2019-19222.htmlNotice - Self-Regulatory Organizations; Nasdaq PHLX LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Modify the Manner in Which It Calculates Volume, Liquidity and Quoting Thresholds Applicable To Billing on the Exchange in Relation to a Systems Issue Experienced by SIAC on August 12, 20192019-09-06T00:00:00-07:002019-09-06T00:00:00-07:002019-19222Noticehttps://www.govinfo.gov/content/pkg/FR-2019-09-06/pdf/2019-19222.pdfhttps://regulations.justia.com/regulations/fedreg/2019/09/06/2019-19221.htmlNotice - Self-Regulatory Organizations; Miami International Securities Exchange LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Its Fee Schedule2019-09-06T00:00:00-07:002019-09-06T00:00:00-07:002019-19221Noticehttps://www.govinfo.gov/content/pkg/FR-2019-09-06/pdf/2019-19221.pdfhttps://regulations.justia.com/regulations/fedreg/2019/09/06/2019-19220.htmlNotice - Self-Regulatory Organizations; Nasdaq BX, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Modify the Manner in Which It Calculates Volume, Liquidity and Quoting Thresholds Applicable to Billing on the Exchange in Relation to a Systems Issue Experienced by SIAC on August 12, 20192019-09-06T00:00:00-07:002019-09-06T00:00:00-07:002019-19220Noticehttps://www.govinfo.gov/content/pkg/FR-2019-09-06/pdf/2019-19220.pdfhttps://regulations.justia.com/regulations/fedreg/2019/09/06/2019-19219.htmlNotice - Self-Regulatory Organizations; NYSE American, LLC; Suspension of and Order Instituting Proceedings To Determine Whether To Approve or Disapprove a Proposed Rule Change To Modify the Options Regulatory Fee2019-09-06T00:00:00-07:002019-09-06T00:00:00-07:002019-19219Noticehttps://www.govinfo.gov/content/pkg/FR-2019-09-06/pdf/2019-19219.pdfhttps://regulations.justia.com/regulations/fedreg/2019/09/06/2019-19218.htmlNotice - Self-Regulatory Organizations; MIAX PEARL, LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the MIAX PEARL Fee Schedule2019-09-06T00:00:00-07:002019-09-06T00:00:00-07:002019-19218Noticehttps://www.govinfo.gov/content/pkg/FR-2019-09-06/pdf/2019-19218.pdfhttps://regulations.justia.com/regulations/fedreg/2019/09/06/2019-19217.htmlNotice - Self-Regulatory Organizations; NYSE Arca, Inc.; Order Approving a Proposed Rule Change, as Modified by Amendments No. 1 and No. 2, To Amend the Listing Rule Applicable to Shares of the Aware Ultra-Short Duration Enhanced Income ETF2019-09-06T00:00:00-07:002019-09-06T00:00:00-07:002019-19217Noticehttps://www.govinfo.gov/content/pkg/FR-2019-09-06/pdf/2019-19217.pdfhttps://regulations.justia.com/regulations/fedreg/2019/09/06/2019-19216.htmlNotice - Self-Regulatory Organizations; LCH SA; Notice of Designation of Longer Period for Commission Action on Proposed Rule Change Relating to Introduction of Clearing of the New Markit iTraxx Subordinated Financials Index CDS and the Related Single Name CDS Constituents and Enhancements to Wrong Way Risk Margin2019-09-06T00:00:00-07:002019-09-06T00:00:00-07:002019-19216Noticehttps://www.govinfo.gov/content/pkg/FR-2019-09-06/pdf/2019-19216.pdfhttps://regulations.justia.com/regulations/fedreg/2019/09/06/2019-19215.htmlNotice - Self-Regulatory Organizations; MIAX Emerald, LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Adopt System Connectivity Fees2019-09-06T00:00:00-07:002019-09-06T00:00:00-07:002019-19215Noticehttps://www.govinfo.gov/content/pkg/FR-2019-09-06/pdf/2019-19215.pdfhttps://regulations.justia.com/regulations/fedreg/2019/09/06/2019-19214.htmlNotice - Self-Regulatory Organizations; NYSE Arca, Inc.; Suspension of and Order Instituting Proceedings To Determine Whether To Approve or Disapprove a Proposed Rule Change To Modify the Options Regulatory Fee2019-09-06T00:00:00-07:002019-09-06T00:00:00-07:002019-19214Noticehttps://www.govinfo.gov/content/pkg/FR-2019-09-06/pdf/2019-19214.pdfhttps://regulations.justia.com/regulations/fedreg/2019/09/06/2019-19212.htmlNotice - Self-Regulatory Organizations; ICE Clear Credit LLC; Order Approving Proposed Rule Change Relating to the ICC Clearing Participant Default Management Procedures and ICC Risk Management Framework2019-09-06T00:00:00-07:002019-09-06T00:00:00-07:002019-19212Noticehttps://www.govinfo.gov/content/pkg/FR-2019-09-06/pdf/2019-19212.pdfhttps://regulations.justia.com/regulations/fedreg/2019/09/06/2019-19211.htmlNotice - Notice of Applications for Deregistration Under Section 8(f) of the Investment Company Act of 19402019-09-06T00:00:00-07:002019-09-06T00:00:00-07:002019-19211Noticehttps://www.govinfo.gov/content/pkg/FR-2019-09-06/pdf/2019-19211.pdfhttps://regulations.justia.com/regulations/fedreg/2019/09/05/2019-19109.htmlNotice - Self-Regulatory Organizations; Cboe EDGX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Introduce a New Data Product on Its Equity Options Platform (“EDGX Options”) To Be Known as Open-Close Data2019-09-05T00:00:00-07:002019-09-05T00:00:00-07:002019-19109Noticehttps://www.govinfo.gov/content/pkg/FR-2019-09-05/pdf/2019-19109.pdfhttps://regulations.justia.com/regulations/fedreg/2019/09/05/2019-19107.htmlNotice - Self-Regulatory Organizations; Cboe BZX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Introduce a New Data Product on Its Equity Options Platform (“BZX Options”) To Be Known As Open-Close Data2019-09-05T00:00:00-07:002019-09-05T00:00:00-07:002019-19107Noticehttps://www.govinfo.gov/content/pkg/FR-2019-09-05/pdf/2019-19107.pdfhttps://regulations.justia.com/regulations/fedreg/2019/09/04/2019-19007.htmlNotice - Self-Regulatory Organizations; ICE Clear Credit LLC; Notice of Designation of Longer Period for Commission Action on Proposed Rule Change Relating to the ICC Rules, ICC End-of-Day Price Discovery Policies and Procedures, and ICC Risk Management Framework2019-09-04T00:00:00-07:002019-09-04T00:00:00-07:002019-19007Noticehttps://www.govinfo.gov/content/pkg/FR-2019-09-04/pdf/2019-19007.pdfhttps://regulations.justia.com/regulations/fedreg/2019/09/04/2019-19006.htmlNotice - Self-Regulatory Organizations; Nasdaq PHLX LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Phlx Pricing at Options 7, Section 9, Titled Other Member Fees2019-09-04T00:00:00-07:002019-09-04T00:00:00-07:002019-19006Noticehttps://www.govinfo.gov/content/pkg/FR-2019-09-04/pdf/2019-19006.pdfhttps://regulations.justia.com/regulations/fedreg/2019/09/04/2019-19005.htmlNotice - Self-Regulatory Organizations; The Nasdaq Stock Market LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend The Nasdaq Options Market LLC (“NOM”) Pricing at Options 72019-09-04T00:00:00-07:002019-09-04T00:00:00-07:002019-19005Noticehttps://www.govinfo.gov/content/pkg/FR-2019-09-04/pdf/2019-19005.pdfhttps://regulations.justia.com/regulations/fedreg/2019/09/04/2019-19004.htmlNotice - Self-Regulatory Organizations; The Nasdaq Stock Market LLC; Notice of Filing of Proposed Rule Change To Adopt Requirements for the Nasdaq Capital and Global Markets Applicable to Direct Listings2019-09-04T00:00:00-07:002019-09-04T00:00:00-07:002019-19004Noticehttps://www.govinfo.gov/content/pkg/FR-2019-09-04/pdf/2019-19004.pdfhttps://regulations.justia.com/regulations/fedreg/2019/09/04/2019-19001.htmlNotice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing of Proposed Rule Change To Modify Rules 6.60-O and 6.65A-O Regarding the Treatment of Orders Subject to Trade Collar Protection2019-09-04T00:00:00-07:002019-09-04T00:00:00-07:002019-19001Noticehttps://www.govinfo.gov/content/pkg/FR-2019-09-04/pdf/2019-19001.pdfhttps://regulations.justia.com/regulations/fedreg/2019/09/04/2019-19000.htmlNotice - Self-Regulatory Organizations; MIAX PEARL, LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Exchange Rules 503, Openings on the Exchange, and 515, Execution of Orders2019-09-04T00:00:00-07:002019-09-04T00:00:00-07:002019-19000Noticehttps://www.govinfo.gov/content/pkg/FR-2019-09-04/pdf/2019-19000.pdfhttps://regulations.justia.com/regulations/fedreg/2019/09/04/2019-18999.htmlNotice - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Its Price List To Revise the Remove and Adding Liquidity Tiers for Tape B and C Securities2019-09-04T00:00:00-07:002019-09-04T00:00:00-07:002019-18999Noticehttps://www.govinfo.gov/content/pkg/FR-2019-09-04/pdf/2019-18999.pdfhttps://regulations.justia.com/regulations/fedreg/2019/09/04/2019-18998.htmlNotice - Self-Regulatory Organizations; ICE Clear Europe Limited; Order Approving Proposed Rule Change Relating to the ICE Clear Europe CDS Default Management Framework2019-09-04T00:00:00-07:002019-09-04T00:00:00-07:002019-18998Noticehttps://www.govinfo.gov/content/pkg/FR-2019-09-04/pdf/2019-18998.pdfhttps://regulations.justia.com/regulations/fedreg/2019/09/04/2019-18997.htmlNotice - Self-Regulatory Organizations; ICE Clear Europe Limited; Notice of Filing of Proposed Rule Change, as Modified by Partial Amendment No. 1, Relating to the ICE Clear Europe CDS Clearing Back-Testing Policy (the “Back-Testing Policy”).2019-09-04T00:00:00-07:002019-09-04T00:00:00-07:002019-18997Noticehttps://www.govinfo.gov/content/pkg/FR-2019-09-04/pdf/2019-18997.pdfhttps://regulations.justia.com/regulations/fedreg/2019/09/03/2019-19002.htmlNotice - Self-Regulatory Organizations; NYSE American LLC; Notice of Filing of Proposed Rule Change To Modify Rules 967NY and 953.1NY Regarding the Treatment of Orders Subject to Trade Collar Protection2019-09-03T00:00:00-07:002019-09-03T00:00:00-07:002019-19002Noticehttps://www.govinfo.gov/content/pkg/FR-2019-09-03/pdf/2019-19002.pdfhttps://regulations.justia.com/regulations/fedreg/2019/09/03/2019-18927.htmlNotice - Investor Advisory Committee Meeting2019-09-03T00:00:00-07:002019-09-03T00:00:00-07:002019-18927Noticehttps://www.govinfo.gov/content/pkg/FR-2019-09-03/pdf/2019-18927.pdfhttps://regulations.justia.com/regulations/fedreg/2019/09/03/2019-18873.htmlNotice - Self-Regulatory Organizations; Cboe EDGX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Rules 21.20 and 21.22 in Connection With Stock-Options Orders2019-09-03T00:00:00-07:002019-09-03T00:00:00-07:002019-18873Noticehttps://www.govinfo.gov/content/pkg/FR-2019-09-03/pdf/2019-18873.pdfhttps://regulations.justia.com/regulations/fedreg/2019/09/03/2019-18871.htmlNotice - Self-Regulatory Organizations; The Nasdaq Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Correct and Clarify Rules 4702(b)(3)(B), 4702(b)(5)(B), and 4703(d)2019-09-03T00:00:00-07:002019-09-03T00:00:00-07:002019-18871Noticehttps://www.govinfo.gov/content/pkg/FR-2019-09-03/pdf/2019-18871.pdfhttps://regulations.justia.com/regulations/fedreg/2019/09/03/2019-18870.htmlNotice - Self-Regulatory Organizations; Cboe Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Rules Related to How the System Handles Incoming Orders and Open Outcry Trading in Connection With the Migration of the Exchange's Trading Platform to the Same System Used by the Cboe Affiliated Exchanges2019-09-03T00:00:00-07:002019-09-03T00:00:00-07:002019-18870Noticehttps://www.govinfo.gov/content/pkg/FR-2019-09-03/pdf/2019-18870.pdfhttps://regulations.justia.com/regulations/fedreg/2019/09/03/2019-18869.htmlNotice - Self-Regulatory Organizations; Cboe BZX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To List and Trade Shares of the Innovator S&P 500 Total Buffer ETF Series Under the Innovator ETFs Trust, Under Rule 14.11(i)2019-09-03T00:00:00-07:002019-09-03T00:00:00-07:002019-18869Noticehttps://www.govinfo.gov/content/pkg/FR-2019-09-03/pdf/2019-18869.pdf