Federal Register Recent Federal Regulation Documents - Justia Regulation Tracker - Justia Regulations Trackerhttps://regulations.justia.com/regulations/fedreg/agencies/securities-and-exchange-commission/2019/10?limit=200®isters=between&min-day=1&max-day=31&mode=atom2024-05-04T11:09:42-07:00Justia Inchttps://www.justia.com/Justia Regulations Trackerhttps://regulations.justia.com/images/justiafedregulations.gifCopyright 2011 Justia Inchttps://regulations.justia.com/regulations/fedreg/2019/10/31/2019-23935.htmlNotice - Sunshine Act Meetings2019-10-31T00:00:00-07:002019-10-31T00:00:00-07:002019-23935Noticehttps://www.govinfo.gov/content/pkg/FR-2019-10-31/pdf/2019-23935.pdfhttps://regulations.justia.com/regulations/fedreg/2019/10/31/2019-23731.htmlNotice - Self-Regulatory Organizations; Nasdaq PHLX LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Phlx Rule 10972019-10-31T00:00:00-07:002019-10-31T00:00:00-07:002019-23731Noticehttps://www.govinfo.gov/content/pkg/FR-2019-10-31/pdf/2019-23731.pdfhttps://regulations.justia.com/regulations/fedreg/2019/10/31/2019-23706.htmlNotice - Notice of Applications for Deregistration Under Section 8(f) of the Investment Company Act of 19402019-10-31T00:00:00-07:002019-10-31T00:00:00-07:002019-23706Noticehttps://www.govinfo.gov/content/pkg/FR-2019-10-31/pdf/2019-23706.pdfhttps://regulations.justia.com/regulations/fedreg/2019/10/30/2019-23773.htmlNotice - Sunshine Act Meetings2019-10-30T00:00:00-07:002019-10-30T00:00:00-07:002019-23773Noticehttps://www.govinfo.gov/content/pkg/FR-2019-10-30/pdf/2019-23773.pdfhttps://regulations.justia.com/regulations/fedreg/2019/10/30/2019-23657.htmlNotice - Self-Regulatory Organizations; NYSE National, Inc.; Notice of Designation of a Longer Period for Commission Action on a Proposed Rule Change To Amend the Exchange's Price List Related to Co-Location Services To Offer Access to a Network Providing Connection to the Three Equities and Options Feeds2019-10-30T00:00:00-07:002019-10-30T00:00:00-07:002019-23657Noticehttps://www.govinfo.gov/content/pkg/FR-2019-10-30/pdf/2019-23657.pdfhttps://regulations.justia.com/regulations/fedreg/2019/10/30/2019-23656.htmlNotice - Self-Regulatory Organizations; NYSE American LLC; Notice of Designation of a Longer Period for Commission Action on a Proposed Rule Change To Amend the Exchange's Equities and Options Fee Schedules Related to Co-Location Services To Offer Access to a Network Providing Connection to the Three Equities and Options Feeds2019-10-30T00:00:00-07:002019-10-30T00:00:00-07:002019-23656Noticehttps://www.govinfo.gov/content/pkg/FR-2019-10-30/pdf/2019-23656.pdfhttps://regulations.justia.com/regulations/fedreg/2019/10/30/2019-23655.htmlNotice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Designation of a Longer Period for Commission Action on a Proposed Rule Change To Amend the Exchange's Options and Equities Fee Schedules Related to Co-Location Services To Offer Access to a Network Providing Connection to the Three Equities and Options Feeds2019-10-30T00:00:00-07:002019-10-30T00:00:00-07:002019-23655Noticehttps://www.govinfo.gov/content/pkg/FR-2019-10-30/pdf/2019-23655.pdfhttps://regulations.justia.com/regulations/fedreg/2019/10/30/2019-23654.htmlNotice - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Designation of a Longer Period for Commission Action on a Proposed Rule Change To Amend the Exchange's Price List Related to Co-Location Services To Offer Access to a Network Providing Connection to the Three Equities and Options Feeds2019-10-30T00:00:00-07:002019-10-30T00:00:00-07:002019-23654Noticehttps://www.govinfo.gov/content/pkg/FR-2019-10-30/pdf/2019-23654.pdfhttps://regulations.justia.com/regulations/fedreg/2019/10/30/2019-23650.htmlNotice - Self-Regulatory Organizations; Fixed Income Clearing Corporation; Notice of Filing of Proposed Rule Change To Require Confirmation of Cybersecurity Program2019-10-30T00:00:00-07:002019-10-30T00:00:00-07:002019-23650Noticehttps://www.govinfo.gov/content/pkg/FR-2019-10-30/pdf/2019-23650.pdfhttps://regulations.justia.com/regulations/fedreg/2019/10/30/2019-23632.htmlNotice - Self-Regulatory Organizations; National Securities Clearing Corporation; Notice of Filing of Proposed Rule Change To Require Confirmation of Cybersecurity Program2019-10-30T00:00:00-07:002019-10-30T00:00:00-07:002019-23632Noticehttps://www.govinfo.gov/content/pkg/FR-2019-10-30/pdf/2019-23632.pdfhttps://regulations.justia.com/regulations/fedreg/2019/10/30/2019-23629.htmlNotice - Self-Regulatory Organizations; The Depository Trust Company; Notice of Filing of Proposed Rule Change To Require Confirmation of Cybersecurity Program2019-10-30T00:00:00-07:002019-10-30T00:00:00-07:002019-23629Noticehttps://www.govinfo.gov/content/pkg/FR-2019-10-30/pdf/2019-23629.pdfhttps://regulations.justia.com/regulations/fedreg/2019/10/30/2019-23082.htmlProposed Rule - Amendments to Procedures With Respect to Applications Under the Investment Company Act of 19402019-10-30T00:00:00-07:002019-10-30T00:00:00-07:002019-23082Proposed Rulehttps://www.govinfo.gov/content/pkg/FR-2019-10-30/pdf/2019-23082.pdfhttps://regulations.justia.com/regulations/fedreg/2019/10/30/2019-21260.htmlProposed Rule - Publication or Submission of Quotations Without Specified Information2019-10-30T00:00:00-07:002019-10-30T00:00:00-07:002019-21260Proposed Rulehttps://www.govinfo.gov/content/pkg/FR-2019-10-30/pdf/2019-21260.pdfhttps://regulations.justia.com/regulations/fedreg/2019/10/29/2019-23607.htmlNotice - Investor Advisory Committee Meeting2019-10-29T00:00:00-07:002019-10-29T00:00:00-07:002019-23607Noticehttps://www.govinfo.gov/content/pkg/FR-2019-10-29/pdf/2019-23607.pdfhttps://regulations.justia.com/regulations/fedreg/2019/10/29/2019-23602.htmlNotice - Submission for OMB Review; Comment Request2019-10-29T00:00:00-07:002019-10-29T00:00:00-07:002019-23602Noticehttps://www.govinfo.gov/content/pkg/FR-2019-10-29/pdf/2019-23602.pdfhttps://regulations.justia.com/regulations/fedreg/2019/10/29/2019-23601.htmlNotice - Submission for OMB Review; Comment Request2019-10-29T00:00:00-07:002019-10-29T00:00:00-07:002019-23601Noticehttps://www.govinfo.gov/content/pkg/FR-2019-10-29/pdf/2019-23601.pdfhttps://regulations.justia.com/regulations/fedreg/2019/10/29/2019-23600.htmlNotice - Submission for OMB Review; Comment Request2019-10-29T00:00:00-07:002019-10-29T00:00:00-07:002019-23600Noticehttps://www.govinfo.gov/content/pkg/FR-2019-10-29/pdf/2019-23600.pdfhttps://regulations.justia.com/regulations/fedreg/2019/10/29/2019-23599.htmlNotice - Submission for OMB Review; Comment Request2019-10-29T00:00:00-07:002019-10-29T00:00:00-07:002019-23599Noticehttps://www.govinfo.gov/content/pkg/FR-2019-10-29/pdf/2019-23599.pdfhttps://regulations.justia.com/regulations/fedreg/2019/10/29/2019-23598.htmlNotice - Submission for OMB Review; Comment Request2019-10-29T00:00:00-07:002019-10-29T00:00:00-07:002019-23598Noticehttps://www.govinfo.gov/content/pkg/FR-2019-10-29/pdf/2019-23598.pdfhttps://regulations.justia.com/regulations/fedreg/2019/10/29/2019-23597.htmlNotice - Proposed Collection; Comment Request2019-10-29T00:00:00-07:002019-10-29T00:00:00-07:002019-23597Noticehttps://www.govinfo.gov/content/pkg/FR-2019-10-29/pdf/2019-23597.pdfhttps://regulations.justia.com/regulations/fedreg/2019/10/29/2019-23596.htmlNotice - Submission for OMB Review; Comment Request2019-10-29T00:00:00-07:002019-10-29T00:00:00-07:002019-23596Noticehttps://www.govinfo.gov/content/pkg/FR-2019-10-29/pdf/2019-23596.pdfhttps://regulations.justia.com/regulations/fedreg/2019/10/29/2019-23554.htmlNotice - MassMutual Select Funds, et al.2019-10-29T00:00:00-07:002019-10-29T00:00:00-07:002019-23554Noticehttps://www.govinfo.gov/content/pkg/FR-2019-10-29/pdf/2019-23554.pdfhttps://regulations.justia.com/regulations/fedreg/2019/10/29/2019-23552.htmlNotice - Self-Regulatory Organizations; LCH SA; Notice of Filing of a Proposed Rule Change Relating to the Updated 2018 Version of the Recovery Plan2019-10-29T00:00:00-07:002019-10-29T00:00:00-07:002019-23552Noticehttps://www.govinfo.gov/content/pkg/FR-2019-10-29/pdf/2019-23552.pdfhttps://regulations.justia.com/regulations/fedreg/2019/10/29/2019-23551.htmlNotice - Self-Regulatory Organizations; The Options Clearing Corporation; Notice of Filing of Proposed Rule Change Related to Proposed Changes to the Options Clearing Corporation's Rules, Margin Policy, Margin Methodology, Clearing Fund Methodology Policy, and Clearing Fund and Stress Testing Methodology To Address Specific Wrong-Way Risk2019-10-29T00:00:00-07:002019-10-29T00:00:00-07:002019-23551Noticehttps://www.govinfo.gov/content/pkg/FR-2019-10-29/pdf/2019-23551.pdfhttps://regulations.justia.com/regulations/fedreg/2019/10/29/2019-23550.htmlNotice - Self-Regulatory Organizations; The Options Clearing Corporation; Notice of Filing of Proposed Rule Change Related to Proposed Changes to The Options Clearing Corporation's Rules, Clearing Fund Methodology Policy, and Clearing Fund and Stress Testing Methodology2019-10-29T00:00:00-07:002019-10-29T00:00:00-07:002019-23550Noticehttps://www.govinfo.gov/content/pkg/FR-2019-10-29/pdf/2019-23550.pdfhttps://regulations.justia.com/regulations/fedreg/2019/10/29/2019-23549.htmlNotice - Self-Regulatory Organizations; NYSE Arca, Inc.; Order Instituting Proceedings To Determine Whether To Approve or Disapprove 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-E2019-10-29T00:00:00-07:002019-10-29T00:00:00-07:002019-23549Noticehttps://www.govinfo.gov/content/pkg/FR-2019-10-29/pdf/2019-23549.pdfhttps://regulations.justia.com/regulations/fedreg/2019/10/29/2019-23548.htmlNotice - Self-Regulatory Organizations; The Nasdaq Stock Market LLC; Order Instituting Proceedings To Determine Whether To Approve or Disapprove a Proposed Rule Change To Amend Rule 41212019-10-29T00:00:00-07:002019-10-29T00:00:00-07:002019-23548Noticehttps://www.govinfo.gov/content/pkg/FR-2019-10-29/pdf/2019-23548.pdfhttps://regulations.justia.com/regulations/fedreg/2019/10/29/2019-23547.htmlNotice - Self-Regulatory Organizations; Nasdaq ISE, LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the Market Maker Plus Program2019-10-29T00:00:00-07:002019-10-29T00:00:00-07:002019-23547Noticehttps://www.govinfo.gov/content/pkg/FR-2019-10-29/pdf/2019-23547.pdfhttps://regulations.justia.com/regulations/fedreg/2019/10/29/2019-23546.htmlNotice - Self-Regulatory Organizations; NYSE Chicago, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Establish the NYSE Chicago BBO, NYSE Chicago Trades and NYSE Chicago Integrated Feed Market Data Feeds2019-10-29T00:00:00-07:002019-10-29T00:00:00-07:002019-23546Noticehttps://www.govinfo.gov/content/pkg/FR-2019-10-29/pdf/2019-23546.pdfhttps://regulations.justia.com/regulations/fedreg/2019/10/28/2019-23428.htmlNotice - Self-Regulatory Organizations; Nasdaq ISE, LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Extend the Pilot Period for the Exchange's Nonstandard Expirations Pilot Program2019-10-28T00:00:00-07:002019-10-28T00:00:00-07:002019-23428Noticehttps://www.govinfo.gov/content/pkg/FR-2019-10-28/pdf/2019-23428.pdfhttps://regulations.justia.com/regulations/fedreg/2019/10/28/2019-23427.htmlNotice - 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 Amend NYSE Arca Rule 5.2-E(j)(3) To Adopt Generic Listing Standards for Investment Company Units Based on an Index or Portfolio of Municipal Securities2019-10-28T00:00:00-07:002019-10-28T00:00:00-07:002019-23427Noticehttps://www.govinfo.gov/content/pkg/FR-2019-10-28/pdf/2019-23427.pdfhttps://regulations.justia.com/regulations/fedreg/2019/10/28/2019-23426.htmlNotice - Self-Regulatory Organizations; Nasdaq PHLX LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Extend the Pilot Period for the Exchange's Nonstandard Expirations Pilot Program2019-10-28T00:00:00-07:002019-10-28T00:00:00-07:002019-23426Noticehttps://www.govinfo.gov/content/pkg/FR-2019-10-28/pdf/2019-23426.pdfhttps://regulations.justia.com/regulations/fedreg/2019/10/28/2019-23425.htmlNotice - Self-Regulatory Organizations; Nasdaq ISE, LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Extend the Pilot Period To Permit the Listing and Trading of Options Based on 1/52019-10-28T00:00:00-07:002019-10-28T00:00:00-07:002019-23425Noticehttps://www.govinfo.gov/content/pkg/FR-2019-10-28/pdf/2019-23425.pdfhttps://regulations.justia.com/regulations/fedreg/2019/10/28/2019-23424.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 for Complex Order Transactions2019-10-28T00:00:00-07:002019-10-28T00:00:00-07:002019-23424Noticehttps://www.govinfo.gov/content/pkg/FR-2019-10-28/pdf/2019-23424.pdfhttps://regulations.justia.com/regulations/fedreg/2019/10/25/2019-23277.htmlNotice - Self-Regulatory Organizations; Nasdaq BX, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the Exchange's Pricing Schedule, at Equity 7, Section 118(a)2019-10-25T00:00:00-07:002019-10-25T00:00:00-07:002019-23277Noticehttps://www.govinfo.gov/content/pkg/FR-2019-10-25/pdf/2019-23277.pdfhttps://regulations.justia.com/regulations/fedreg/2019/10/25/2019-23271.htmlNotice - Self-Regulatory Organizations; Cboe EDGA Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Extend the Current Pilot Program Related to EDGA Rule 11.15, Clearly Erroneous Executions, to the Close of Business on April 20, 20202019-10-25T00:00:00-07:002019-10-25T00:00:00-07:002019-23271Noticehttps://www.govinfo.gov/content/pkg/FR-2019-10-25/pdf/2019-23271.pdfhttps://regulations.justia.com/regulations/fedreg/2019/10/25/2019-23270.htmlNotice - Self-Regulatory Organizations; Cboe BZX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Extend the Current Pilot Program Related to BZX Rule 11.17, Clearly Erroneous Executions, to the Close of Business on April 20, 20202019-10-25T00:00:00-07:002019-10-25T00:00:00-07:002019-23270Noticehttps://www.govinfo.gov/content/pkg/FR-2019-10-25/pdf/2019-23270.pdfhttps://regulations.justia.com/regulations/fedreg/2019/10/25/2019-23269.htmlNotice - Self-Regulatory Organizations; Cboe BYX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Extend the Current Pilot Program Related to BYX Rule 11.17, Clearly Erroneous Executions, to the Close of Business on April 20, 20202019-10-25T00:00:00-07:002019-10-25T00:00:00-07:002019-23269Noticehttps://www.govinfo.gov/content/pkg/FR-2019-10-25/pdf/2019-23269.pdfhttps://regulations.justia.com/regulations/fedreg/2019/10/25/2019-23265.htmlNotice - Self-Regulatory Organizations; Cboe Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend and Consolidate Various Exchange Rules Relating to Trading Permit Holder Membership, Registration and Participants and Move Those Rules From the Currently Effective Rulebook to Proposed Chapter 3 of 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 Exchanges2019-10-25T00:00:00-07:002019-10-25T00:00:00-07:002019-23265Noticehttps://www.govinfo.gov/content/pkg/FR-2019-10-25/pdf/2019-23265.pdfhttps://regulations.justia.com/regulations/fedreg/2019/10/25/2019-23262.htmlNotice - Self-Regulatory Organizations; MIAX Emerald, LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Exchange Rule 521, Nullification and Adjustment of Options Transactions Including Obvious Errors, Interpretation and Policy .01, and Exchange Rule 530, Limit Up-Limit Down2019-10-25T00:00:00-07:002019-10-25T00:00:00-07:002019-23262Noticehttps://www.govinfo.gov/content/pkg/FR-2019-10-25/pdf/2019-23262.pdfhttps://regulations.justia.com/regulations/fedreg/2019/10/25/2019-23261.htmlNotice - Self-Regulatory Organizations; BOX Exchange LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Exchange Rule IM-7170-1, To Make Permanent the Exchange Rule That Is Linked to the Equity Market Plan To Address Extraordinary Market Volatility2019-10-25T00:00:00-07:002019-10-25T00:00:00-07:002019-23261Noticehttps://www.govinfo.gov/content/pkg/FR-2019-10-25/pdf/2019-23261.pdfhttps://regulations.justia.com/regulations/fedreg/2019/10/25/2019-23260.htmlNotice - Self-Regulatory Organizations; Cboe Exchange, Inc.; Order Instituting Proceedings To Determine Whether To Approve or Disapprove a Proposed Rule Change, as Modified by Amendment Nos. 1 and 2, Regarding Off-Floor Position Transfers2019-10-25T00:00:00-07:002019-10-25T00:00:00-07:002019-23260Noticehttps://www.govinfo.gov/content/pkg/FR-2019-10-25/pdf/2019-23260.pdfhttps://regulations.justia.com/regulations/fedreg/2019/10/25/2019-23259.htmlNotice - Self-Regulatory Organizations; Nasdaq MRX, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Make Permanent Certain Options Market Rules That Are Linked to the Equity Market Plan To Address Extraordinary Market Volatility2019-10-25T00:00:00-07:002019-10-25T00:00:00-07:002019-23259Noticehttps://www.govinfo.gov/content/pkg/FR-2019-10-25/pdf/2019-23259.pdfhttps://regulations.justia.com/regulations/fedreg/2019/10/25/2019-23258.htmlNotice - Self-Regulatory Organizations; Nasdaq ISE, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Make Permanent Certain Options Market Rules That Are Linked to the Equity Market Plan To Address Extraordinary Market Volatility2019-10-25T00:00:00-07:002019-10-25T00:00:00-07:002019-23258Noticehttps://www.govinfo.gov/content/pkg/FR-2019-10-25/pdf/2019-23258.pdfhttps://regulations.justia.com/regulations/fedreg/2019/10/25/2019-23257.htmlNotice - Self-Regulatory Organizations; Nasdaq GEMX, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Make Permanent Certain Options Market Rules That Are Linked to the Equity Market Plan To Address Extraordinary Market Volatility2019-10-25T00:00:00-07:002019-10-25T00:00:00-07:002019-23257Noticehttps://www.govinfo.gov/content/pkg/FR-2019-10-25/pdf/2019-23257.pdfhttps://regulations.justia.com/regulations/fedreg/2019/10/25/2019-23256.htmlNotice - Self-Regulatory Organizations; The Nasdaq Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Make Permanent Certain Options Market Rules That Are Linked to the Equity Market Plan To Address Extraordinary Market Volatility2019-10-25T00:00:00-07:002019-10-25T00:00:00-07:002019-23256Noticehttps://www.govinfo.gov/content/pkg/FR-2019-10-25/pdf/2019-23256.pdfhttps://regulations.justia.com/regulations/fedreg/2019/10/25/2019-23255.htmlNotice - Self-Regulatory Organizations; Nasdaq PHLX LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Make Permanent Certain Options Market Rules That Are Linked to the Equity Market Plan To Address Extraordinary Market Volatility2019-10-25T00:00:00-07:002019-10-25T00:00:00-07:002019-23255Noticehttps://www.govinfo.gov/content/pkg/FR-2019-10-25/pdf/2019-23255.pdfhttps://regulations.justia.com/regulations/fedreg/2019/10/25/2019-23254.htmlNotice - Self-Regulatory Organizations; Nasdaq BX, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Make Permanent Certain Options Market Rules That Are Linked to the Equity Market Plan To Address Extraordinary Market Volatility2019-10-25T00:00:00-07:002019-10-25T00:00:00-07:002019-23254Noticehttps://www.govinfo.gov/content/pkg/FR-2019-10-25/pdf/2019-23254.pdfhttps://regulations.justia.com/regulations/fedreg/2019/10/25/2019-23253.htmlNotice - Self-Regulatory Organizations; Cboe EDGX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Extend the Current Pilot Program Related to EDGX Rule 11.15, Clearly Erroneous Executions, to the Close of Business on April 20, 20202019-10-25T00:00:00-07:002019-10-25T00:00:00-07:002019-23253Noticehttps://www.govinfo.gov/content/pkg/FR-2019-10-25/pdf/2019-23253.pdfhttps://regulations.justia.com/regulations/fedreg/2019/10/24/2019-23211.htmlRule - Adoption of Updated EDGAR Filer Manual2019-10-24T00:00:00-07:002019-10-24T00:00:00-07:002019-23211Rulehttps://www.govinfo.gov/content/pkg/FR-2019-10-24/pdf/2019-23211.pdfhttps://regulations.justia.com/regulations/fedreg/2019/10/24/2019-23176.htmlNotice - Self-Regulatory Organizations; Cboe Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating To Extend the Pilot Period Related to the Market-Wide Circuit Breaker in Rule 5.222019-10-24T00:00:00-07:002019-10-24T00:00:00-07:002019-23176Noticehttps://www.govinfo.gov/content/pkg/FR-2019-10-24/pdf/2019-23176.pdfhttps://regulations.justia.com/regulations/fedreg/2019/10/24/2019-23175.htmlNotice - Self-Regulatory Organizations; Cboe C2 Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Extend the Pilot Period Related to the Market-Wide Circuit Breaker in Rule 6.32.012019-10-24T00:00:00-07:002019-10-24T00:00:00-07:002019-23175Noticehttps://www.govinfo.gov/content/pkg/FR-2019-10-24/pdf/2019-23175.pdfhttps://regulations.justia.com/regulations/fedreg/2019/10/24/2019-23174.htmlNotice - Self-Regulatory Organizations; Cboe BYX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Extend the Pilot Related to the Market-Wide Circuit Breaker in Rule 11.182019-10-24T00:00:00-07:002019-10-24T00:00:00-07:002019-23174Noticehttps://www.govinfo.gov/content/pkg/FR-2019-10-24/pdf/2019-23174.pdfhttps://regulations.justia.com/regulations/fedreg/2019/10/24/2019-23173.htmlNotice - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Extend the Pilot Program Related to FINRA Rule 11892 (Clearly Erroneous Transactions in Exchange-Listed Securities)2019-10-24T00:00:00-07:002019-10-24T00:00:00-07:002019-23173Noticehttps://www.govinfo.gov/content/pkg/FR-2019-10-24/pdf/2019-23173.pdfhttps://regulations.justia.com/regulations/fedreg/2019/10/24/2019-23172.htmlNotice - Self-Regulatory Organizations; NYSE American LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Make Permanent Certain Options Market Rules That Are Linked to the Equity Market Plan To Address Extraordinary Market Volatility2019-10-24T00:00:00-07:002019-10-24T00:00:00-07:002019-23172Noticehttps://www.govinfo.gov/content/pkg/FR-2019-10-24/pdf/2019-23172.pdfhttps://regulations.justia.com/regulations/fedreg/2019/10/24/2019-23171.htmlNotice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Make Permanent Certain Options Market Rules That Are Linked to the Equity Market Plan To Address Extraordinary Market Volatility2019-10-24T00:00:00-07:002019-10-24T00:00:00-07:002019-23171Noticehttps://www.govinfo.gov/content/pkg/FR-2019-10-24/pdf/2019-23171.pdfhttps://regulations.justia.com/regulations/fedreg/2019/10/24/2019-23170.htmlNotice - Self-Regulatory Organizations; Cboe EDGX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Make Permanent an Options Market Rule Linked to the Equity Market Plan To Address Extraordinary Market Volatility2019-10-24T00:00:00-07:002019-10-24T00:00:00-07:002019-23170Noticehttps://www.govinfo.gov/content/pkg/FR-2019-10-24/pdf/2019-23170.pdfhttps://regulations.justia.com/regulations/fedreg/2019/10/24/2019-23169.htmlNotice - Self-Regulatory Organizations; Cboe C2 Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Make Permanent Certain Options Market Rules That Are Linked to the Equity Market Plan To Address Extraordinary Market Volatility2019-10-24T00:00:00-07:002019-10-24T00:00:00-07:002019-23169Noticehttps://www.govinfo.gov/content/pkg/FR-2019-10-24/pdf/2019-23169.pdfhttps://regulations.justia.com/regulations/fedreg/2019/10/24/2019-23168.htmlNotice - Self-Regulatory Organizations; Cboe BZX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Make Permanent an Options Market Rule Linked to the Equity Market Plan To Address Extraordinary Market Volatility2019-10-24T00:00:00-07:002019-10-24T00:00:00-07:002019-23168Noticehttps://www.govinfo.gov/content/pkg/FR-2019-10-24/pdf/2019-23168.pdfhttps://regulations.justia.com/regulations/fedreg/2019/10/24/2019-23167.htmlNotice - Self-Regulatory Organizations; NYSE Arca, Inc.; Order Granting Accelerated Approval of a Proposed Rule Change, as Modified by Amendment No. 1, To Make Permanent the Retail Liquidity Program Pilot, Rule 7.44-E, Which Is Set To Expire on October 31, 2019, Notice of Filing of Amendment No. 1, and Order Granting Limited Exemption Pursuant to Rule 612(c) of Regulation NMS2019-10-24T00:00:00-07:002019-10-24T00:00:00-07:002019-23167Noticehttps://www.govinfo.gov/content/pkg/FR-2019-10-24/pdf/2019-23167.pdfhttps://regulations.justia.com/regulations/fedreg/2019/10/24/2019-23166.htmlNotice - Self-Regulatory Organizations; NYSE Chicago, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Extend the Current Pilot Program Related To Article 20, Rule 10 and Rule 7.102019-10-24T00:00:00-07:002019-10-24T00:00:00-07:002019-23166Noticehttps://www.govinfo.gov/content/pkg/FR-2019-10-24/pdf/2019-23166.pdfhttps://regulations.justia.com/regulations/fedreg/2019/10/24/2019-23165.htmlNotice - Self-Regulatory Organizations; NYSE National, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Extend the Current Pilot Program Related to Rule 7.102019-10-24T00:00:00-07:002019-10-24T00:00:00-07:002019-23165Noticehttps://www.govinfo.gov/content/pkg/FR-2019-10-24/pdf/2019-23165.pdfhttps://regulations.justia.com/regulations/fedreg/2019/10/24/2019-23164.htmlNotice - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Extend the Current Pilot Program Related to Rule 7.102019-10-24T00:00:00-07:002019-10-24T00:00:00-07:002019-23164Noticehttps://www.govinfo.gov/content/pkg/FR-2019-10-24/pdf/2019-23164.pdfhttps://regulations.justia.com/regulations/fedreg/2019/10/24/2019-23163.htmlNotice - Self-Regulatory Organizations; NYSE American LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Extend the Current Pilot Program Related to Rule 7.10E2019-10-24T00:00:00-07:002019-10-24T00:00:00-07:002019-23163Noticehttps://www.govinfo.gov/content/pkg/FR-2019-10-24/pdf/2019-23163.pdfhttps://regulations.justia.com/regulations/fedreg/2019/10/24/2019-23162.htmlNotice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Extend the Current Pilot Program Related to Rule 7.10-E2019-10-24T00:00:00-07:002019-10-24T00:00:00-07:002019-23162Noticehttps://www.govinfo.gov/content/pkg/FR-2019-10-24/pdf/2019-23162.pdfhttps://regulations.justia.com/regulations/fedreg/2019/10/24/2019-23161.htmlNotice - Self-Regulatory Organizations; Nasdaq PHLX LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Extend the Current Pilot Program Related to Phlx Rule 33122019-10-24T00:00:00-07:002019-10-24T00:00:00-07:002019-23161Noticehttps://www.govinfo.gov/content/pkg/FR-2019-10-24/pdf/2019-23161.pdfhttps://regulations.justia.com/regulations/fedreg/2019/10/24/2019-23160.htmlNotice - Self-Regulatory Organizations; Long-Term Stock Exchange; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Set the Date of the Pilot Related to the Market-Wide Circuit Breaker in Rule 11.280 and To Move the Limit Up-Limit Down Mechanism, Authority To Initiate Trading Halts, and Procedure for Initiating and Terminating a Trading Halt Into Separate Rules for Clarity2019-10-24T00:00:00-07:002019-10-24T00:00:00-07:002019-23160Noticehttps://www.govinfo.gov/content/pkg/FR-2019-10-24/pdf/2019-23160.pdfhttps://regulations.justia.com/regulations/fedreg/2019/10/24/2019-23159.htmlNotice - Self-Regulatory Organizations; The Nasdaq Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Extend the Current Pilot Program Related to Nasdaq Rule 118902019-10-24T00:00:00-07:002019-10-24T00:00:00-07:002019-23159Noticehttps://www.govinfo.gov/content/pkg/FR-2019-10-24/pdf/2019-23159.pdfhttps://regulations.justia.com/regulations/fedreg/2019/10/24/2019-23158.htmlNotice - Self-Regulatory Organizations; Nasdaq BX, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Extend the Current Pilot Program Related to BX Rule 118902019-10-24T00:00:00-07:002019-10-24T00:00:00-07:002019-23158Noticehttps://www.govinfo.gov/content/pkg/FR-2019-10-24/pdf/2019-23158.pdfhttps://regulations.justia.com/regulations/fedreg/2019/10/24/2019-23157.htmlNotice - Self-Regulatory Organizations; ICE Clear Europe Limited; Order Approving Proposed Rule Change, as Modified by Partial Amendment No. 1, Relating to Amendments to the ICE Clear Europe CDS Clearing Back-Testing Policy2019-10-24T00:00:00-07:002019-10-24T00:00:00-07:002019-23157Noticehttps://www.govinfo.gov/content/pkg/FR-2019-10-24/pdf/2019-23157.pdfhttps://regulations.justia.com/regulations/fedreg/2019/10/24/2019-23156.htmlNotice - Self-Regulatory Organizations; Miami International Securities Exchange, LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Exchange Rule 521, Nullification and Adjustment of Options Transactions Including Obvious Errors, Interpretation and Policy .01, and Exchange Rule 530, Limit Up-Limit Down2019-10-24T00:00:00-07:002019-10-24T00:00:00-07:002019-23156Noticehttps://www.govinfo.gov/content/pkg/FR-2019-10-24/pdf/2019-23156.pdfhttps://regulations.justia.com/regulations/fedreg/2019/10/24/2019-23155.htmlNotice - Self-Regulatory Organizations; MIAX PEARL, LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Exchange Rule 521, Nullification and Adjustment of Options Transactions Including Obvious Errors, Interpretation and Policy .01, and Exchange Rule 530, Limit Up-Limit Down2019-10-24T00:00:00-07:002019-10-24T00:00:00-07:002019-23155Noticehttps://www.govinfo.gov/content/pkg/FR-2019-10-24/pdf/2019-23155.pdfhttps://regulations.justia.com/regulations/fedreg/2019/10/24/2019-22994.htmlProposed Rule - Commission Statement on Market Structure Innovation for Thinly Traded Securities2019-10-24T00:00:00-07:002019-10-24T00:00:00-07:002019-22994Proposed Rulehttps://www.govinfo.gov/content/pkg/FR-2019-10-24/pdf/2019-22994.pdfhttps://regulations.justia.com/regulations/fedreg/2019/10/24/2019-21515.htmlNotice - Order Granting a Conditional Exemption From Exchange Act Section 11(D)(1) and Exchange Act Rules 10B-10, 15C1-5, 15C1-6, and 14E-5 for Certain Exchange Traded Funds2019-10-24T00:00:00-07:002019-10-24T00:00:00-07:002019-21515Noticehttps://www.govinfo.gov/content/pkg/FR-2019-10-24/pdf/2019-21515.pdfhttps://regulations.justia.com/regulations/fedreg/2019/10/24/2019-21250.htmlRule - Exchange-Traded Funds2019-10-24T00:00:00-07:002019-10-24T00:00:00-07:002019-21250Rulehttps://www.govinfo.gov/content/pkg/FR-2019-10-24/pdf/2019-21250.pdfhttps://regulations.justia.com/regulations/fedreg/2019/10/23/2019-23191.htmlNotice - Sunshine Act Meeting; Cancellation2019-10-23T00:00:00-07:002019-10-23T00:00:00-07:002019-23191Noticehttps://www.govinfo.gov/content/pkg/FR-2019-10-23/pdf/2019-23191.pdfhttps://regulations.justia.com/regulations/fedreg/2019/10/23/2019-23059.htmlNotice - Self-Regulatory Organizations; Cboe Exchange, Inc.; Order Approving on an Accelerated Basis a Proposed Rule Change, as Modified by Amendment Nos. 2 and 3, To Adopt Rule 6.9 (In-Kind Exchange of Options Positions and ETF Shares)2019-10-23T00:00:00-07:002019-10-23T00:00:00-07:002019-23059Noticehttps://www.govinfo.gov/content/pkg/FR-2019-10-23/pdf/2019-23059.pdfhttps://regulations.justia.com/regulations/fedreg/2019/10/23/2019-23058.htmlNotice - Self-Regulatory Organizations; Cboe EDGX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Extend the Pilot Related to the Market-Wide Circuit Breaker in Rule 11.162019-10-23T00:00:00-07:002019-10-23T00:00:00-07:002019-23058Noticehttps://www.govinfo.gov/content/pkg/FR-2019-10-23/pdf/2019-23058.pdfhttps://regulations.justia.com/regulations/fedreg/2019/10/23/2019-23057.htmlNotice - Self-Regulatory Organizations; Cboe Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend its Fees Schedule To Modify Certain Processes and Requirements Relating to the Submission of Rebate Requests2019-10-23T00:00:00-07:002019-10-23T00:00:00-07:002019-23057Noticehttps://www.govinfo.gov/content/pkg/FR-2019-10-23/pdf/2019-23057.pdfhttps://regulations.justia.com/regulations/fedreg/2019/10/23/2019-23056.htmlNotice - Self-Regulatory Organizations; Cboe Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Make Minor Amendments to and Relocate Certain Rules Related to the Listing of Index Options (Including Binary and Range Options) From the Currently Effective Rulebook to Proposed Chapter 4, Section B of 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 Exchanges2019-10-23T00:00:00-07:002019-10-23T00:00:00-07:002019-23056Noticehttps://www.govinfo.gov/content/pkg/FR-2019-10-23/pdf/2019-23056.pdfhttps://regulations.justia.com/regulations/fedreg/2019/10/23/2019-23055.htmlNotice - Self-Regulatory Organizations; Cboe BZX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Extend the Pilot Related to the Market-Wide Circuit Breaker in Rule 11.182019-10-23T00:00:00-07:002019-10-23T00:00:00-07:002019-23055Noticehttps://www.govinfo.gov/content/pkg/FR-2019-10-23/pdf/2019-23055.pdfhttps://regulations.justia.com/regulations/fedreg/2019/10/23/2019-23054.htmlNotice - Self-Regulatory Organizations; Cboe EDGA Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Extend the Pilot Related to the Market-Wide Circuit Breaker in Rule 11.162019-10-23T00:00:00-07:002019-10-23T00:00:00-07:002019-23054Noticehttps://www.govinfo.gov/content/pkg/FR-2019-10-23/pdf/2019-23054.pdfhttps://regulations.justia.com/regulations/fedreg/2019/10/23/2019-23053.htmlNotice - Self-Regulatory Organizations; ICE Clear Europe Limited; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Amendments to Futures and Options Risk Procedures (the “F&O Risk Procedures”).12019-10-23T00:00:00-07:002019-10-23T00:00:00-07:002019-23053Noticehttps://www.govinfo.gov/content/pkg/FR-2019-10-23/pdf/2019-23053.pdfhttps://regulations.justia.com/regulations/fedreg/2019/10/23/2019-23052.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 Add an Additional Step Up Credit Tier2019-10-23T00:00:00-07:002019-10-23T00:00:00-07:002019-23052Noticehttps://www.govinfo.gov/content/pkg/FR-2019-10-23/pdf/2019-23052.pdfhttps://regulations.justia.com/regulations/fedreg/2019/10/23/2019-23051.htmlNotice - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing of Proposed Rule Change To Permit the Exchange To List and Trade Exchange Traded Products2019-10-23T00:00:00-07:002019-10-23T00:00:00-07:002019-23051Noticehttps://www.govinfo.gov/content/pkg/FR-2019-10-23/pdf/2019-23051.pdfhttps://regulations.justia.com/regulations/fedreg/2019/10/23/2019-23050.htmlNotice - Self-Regulatory Organizations; The Nasdaq Stock Market LLC; Notice of Designation of a Longer Period for Commission Action on a Proposed Rule Change To Adopt Requirements for the Nasdaq Capital and Global Markets Applicable to Direct Listings2019-10-23T00:00:00-07:002019-10-23T00:00:00-07:002019-23050Noticehttps://www.govinfo.gov/content/pkg/FR-2019-10-23/pdf/2019-23050.pdfhttps://regulations.justia.com/regulations/fedreg/2019/10/22/2019-22944.htmlNotice - Self-Regulatory Organizations; NYSE American LLC; Order Approving a Proposed Rule Change To Modify Rules 967NY and 953.1NY Regarding the Treatment of Orders Subject To Trade Collar Protection2019-10-22T00:00:00-07:002019-10-22T00:00:00-07:002019-22944Noticehttps://www.govinfo.gov/content/pkg/FR-2019-10-22/pdf/2019-22944.pdfhttps://regulations.justia.com/regulations/fedreg/2019/10/22/2019-22943.htmlNotice - Self-Regulatory Organizations; NYSE National, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Change To Amend the Certificate of Incorporation of Intercontinental Exchange, Inc.2019-10-22T00:00:00-07:002019-10-22T00:00:00-07:002019-22943Noticehttps://www.govinfo.gov/content/pkg/FR-2019-10-22/pdf/2019-22943.pdfhttps://regulations.justia.com/regulations/fedreg/2019/10/22/2019-22942.htmlNotice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the Certificate of Incorporation of Intercontinental Exchange, Inc.2019-10-22T00:00:00-07:002019-10-22T00:00:00-07:002019-22942Noticehttps://www.govinfo.gov/content/pkg/FR-2019-10-22/pdf/2019-22942.pdfhttps://regulations.justia.com/regulations/fedreg/2019/10/22/2019-22937.htmlNotice - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Change To Amend the Certificate of Incorporation of Intercontinental Exchange, Inc.2019-10-22T00:00:00-07:002019-10-22T00:00:00-07:002019-22937Noticehttps://www.govinfo.gov/content/pkg/FR-2019-10-22/pdf/2019-22937.pdfhttps://regulations.justia.com/regulations/fedreg/2019/10/22/2019-22936.htmlNotice - Self-Regulatory Organizations; Cboe Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating To Move Certain Rules in Chapter XXIX of the Currently Effective Rulebook to Proposed Section E of Chapter 4 of the Shell Structure for the Exchange's Rulebook That Will Become Effective Upon the Migration of the Exchange's Trading Platform2019-10-22T00:00:00-07:002019-10-22T00:00:00-07:002019-22936Noticehttps://www.govinfo.gov/content/pkg/FR-2019-10-22/pdf/2019-22936.pdfhttps://regulations.justia.com/regulations/fedreg/2019/10/22/2019-22935.htmlNotice - Self-Regulatory Organizations; Cboe Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating To Relocate Various Exchange Rules From the Currently Effective to the Shell Structure for the Exchange's Rulebook That Will Become Effective Upon the Migration of the Exchange's Trading Platform2019-10-22T00:00:00-07:002019-10-22T00:00:00-07:002019-22935Noticehttps://www.govinfo.gov/content/pkg/FR-2019-10-22/pdf/2019-22935.pdfhttps://regulations.justia.com/regulations/fedreg/2019/10/22/2019-22934.htmlNotice - Self-Regulatory Organizations; Cboe Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating To Move Certain Rules in Chapter XXIII of the Currently Effective Rulebook to Proposed Section G of Chapter 4 of the Shell Structure for the Exchange's Rulebook That Will Become Effective Upon the Migration of the Exchange's Trading Platform2019-10-22T00:00:00-07:002019-10-22T00:00:00-07:002019-22934Noticehttps://www.govinfo.gov/content/pkg/FR-2019-10-22/pdf/2019-22934.pdfhttps://regulations.justia.com/regulations/fedreg/2019/10/22/2019-22933.htmlNotice - Self-Regulatory Organizations; NYSE Chicago, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the Certificate of Incorporation of Intercontinental Exchange, Inc.2019-10-22T00:00:00-07:002019-10-22T00:00:00-07:002019-22933Noticehttps://www.govinfo.gov/content/pkg/FR-2019-10-22/pdf/2019-22933.pdfhttps://regulations.justia.com/regulations/fedreg/2019/10/22/2019-22932.htmlNotice - Self-Regulatory Organizations; NYSE American LLC; Notice of Filing and Immediate Effectiveness of Proposed Change To Amend the Certificate of Incorporation of Intercontinental Exchange, Inc.2019-10-22T00:00:00-07:002019-10-22T00:00:00-07:002019-22932Noticehttps://www.govinfo.gov/content/pkg/FR-2019-10-22/pdf/2019-22932.pdfhttps://regulations.justia.com/regulations/fedreg/2019/10/22/2019-22931.htmlNotice - Self-Regulatory Organizations; NYSE Arca, Inc.; Order Approving a Proposed Rule Change To Modify Rules 6.60-O and 6.65A-O Regarding the Treatment of Orders Subject to Trade Collar Protection2019-10-22T00:00:00-07:002019-10-22T00:00:00-07:002019-22931Noticehttps://www.govinfo.gov/content/pkg/FR-2019-10-22/pdf/2019-22931.pdfhttps://regulations.justia.com/regulations/fedreg/2019/10/21/2019-22962.htmlNotice - Sunshine Act Meetings2019-10-21T00:00:00-07:002019-10-21T00:00:00-07:002019-22962Noticehttps://www.govinfo.gov/content/pkg/FR-2019-10-21/pdf/2019-22962.pdfhttps://regulations.justia.com/regulations/fedreg/2019/10/21/2019-22961.htmlNotice - Sunshine Act Meetings2019-10-21T00:00:00-07:002019-10-21T00:00:00-07:002019-22961Noticehttps://www.govinfo.gov/content/pkg/FR-2019-10-21/pdf/2019-22961.pdfhttps://regulations.justia.com/regulations/fedreg/2019/10/21/2019-22884.htmlNotice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing of Amendment No. 1 to 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-E2019-10-21T00:00:00-07:002019-10-21T00:00:00-07:002019-22884Noticehttps://www.govinfo.gov/content/pkg/FR-2019-10-21/pdf/2019-22884.pdfhttps://regulations.justia.com/regulations/fedreg/2019/10/21/2019-22841.htmlNotice - Self-Regulatory Organizations; ICE Clear Credit LLC; Notice of Filing of Partial Amendment No. 1 and Order Granting Accelerated Approval of Proposed Rule Change, as Modified by Partial Amendment No. 1, Relating to the ICC Rules, ICC End-of-Day Price Discovery Policies and Procedures, and ICC Risk Management Framework2019-10-21T00:00:00-07:002019-10-21T00:00:00-07:002019-22841Noticehttps://www.govinfo.gov/content/pkg/FR-2019-10-21/pdf/2019-22841.pdfhttps://regulations.justia.com/regulations/fedreg/2019/10/21/2019-22839.htmlNotice - Self-Regulatory Organizations; Cboe Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend its Fees Schedule2019-10-21T00:00:00-07:002019-10-21T00:00:00-07:002019-22839Noticehttps://www.govinfo.gov/content/pkg/FR-2019-10-21/pdf/2019-22839.pdfhttps://regulations.justia.com/regulations/fedreg/2019/10/21/2019-22838.htmlNotice - Self-Regulatory Organizations; Cboe Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend its Fees Schedule in Connection With Migration2019-10-21T00:00:00-07:002019-10-21T00:00:00-07:002019-22838Noticehttps://www.govinfo.gov/content/pkg/FR-2019-10-21/pdf/2019-22838.pdfhttps://regulations.justia.com/regulations/fedreg/2019/10/21/2019-22837.htmlNotice - Self-Regulatory Organizations; Investors Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend IEX Rule 11.280 To Extend the Pilot Period for the Market-Wide Circuit Breaker to the Close of Business on October 18, 2020 and To Clarify That the Remaining Parts of Rule 11.280 Are Not Subject to Any Pilot Period2019-10-21T00:00:00-07:002019-10-21T00:00:00-07:002019-22837Noticehttps://www.govinfo.gov/content/pkg/FR-2019-10-21/pdf/2019-22837.pdfhttps://regulations.justia.com/regulations/fedreg/2019/10/21/2019-22836.htmlNotice - Self-Regulatory Organizations; Cboe BZX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the Fee Schedule To Institute a Derived Data API Service2019-10-21T00:00:00-07:002019-10-21T00:00:00-07:002019-22836Noticehttps://www.govinfo.gov/content/pkg/FR-2019-10-21/pdf/2019-22836.pdfhttps://regulations.justia.com/regulations/fedreg/2019/10/21/2019-22835.htmlNotice - Self-Regulatory Organizations; Cboe Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating To Move Certain Rules in Chapter XXI of the Currently Effective Rulebook to Proposed Section F of Chapter 4 of the Shell Structure for the Exchange's Rulebook That Will Become Effective Upon the Migration of the Exchange's Trading Platform2019-10-21T00:00:00-07:002019-10-21T00:00:00-07:002019-22835Noticehttps://www.govinfo.gov/content/pkg/FR-2019-10-21/pdf/2019-22835.pdfhttps://regulations.justia.com/regulations/fedreg/2019/10/21/2019-22834.htmlNotice - Self-Regulatory Organizations; Cboe Exchange, Inc.; Notice of Filing of Amendment No. 2 and Order Granting Accelerated Approval of a Proposed Rule Change, as Modified by Amendment Nos. 1 and 2, To Make Permanent Certain Options Market Rules That Are Linked to the Equity Market Plan To Address Extraordinary Market Volatility2019-10-21T00:00:00-07:002019-10-21T00:00:00-07:002019-22834Noticehttps://www.govinfo.gov/content/pkg/FR-2019-10-21/pdf/2019-22834.pdfhttps://regulations.justia.com/regulations/fedreg/2019/10/21/2019-22833.htmlNotice - Self-Regulatory Organizations; Cboe BYX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the Fee Schedule Applicable to Members and Non-Members of the Exchange Pursuant to BYX Rules 15.1(a) and (c)2019-10-21T00:00:00-07:002019-10-21T00:00:00-07:002019-22833Noticehttps://www.govinfo.gov/content/pkg/FR-2019-10-21/pdf/2019-22833.pdfhttps://regulations.justia.com/regulations/fedreg/2019/10/21/2019-22832.htmlNotice - Self-Regulatory Organizations; Cboe BZX Exchange, Inc.; Notice of Designation of a Longer Period for Commission Action on Proceedings To Determine Whether To Approve or Disapprove a Proposed Rule Change To Amend Rule 14.11(c) (Index Fund Shares) To Adopt Generic Listing Standards for Index Fund Shares Based on an Index of Municipal Securities2019-10-21T00:00:00-07:002019-10-21T00:00:00-07:002019-22832Noticehttps://www.govinfo.gov/content/pkg/FR-2019-10-21/pdf/2019-22832.pdfhttps://regulations.justia.com/regulations/fedreg/2019/10/21/2019-22831.htmlNotice - Self-Regulatory Organizations; Cboe BYX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Introduce a Small Retail Broker Distribution Program2019-10-21T00:00:00-07:002019-10-21T00:00:00-07:002019-22831Noticehttps://www.govinfo.gov/content/pkg/FR-2019-10-21/pdf/2019-22831.pdfhttps://regulations.justia.com/regulations/fedreg/2019/10/21/2019-22830.htmlNotice - Self-Regulatory Organizations; MIAX PEARL, LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the MIAX PEARL Fee Schedule2019-10-21T00:00:00-07:002019-10-21T00:00:00-07:002019-22830Noticehttps://www.govinfo.gov/content/pkg/FR-2019-10-21/pdf/2019-22830.pdfhttps://regulations.justia.com/regulations/fedreg/2019/10/21/2019-22829.htmlNotice - Self-Regulatory Organizations; Cboe Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to Move Certain Rules in Chapter XXVIII of the Currently Effective Rulebook to Proposed Section D of Chapter 4 of the Shell Structure for the Exchange's Rulebook That Will Become Effective Upon the Migration of the Exchange's Trading Platform2019-10-21T00:00:00-07:002019-10-21T00:00:00-07:002019-22829Noticehttps://www.govinfo.gov/content/pkg/FR-2019-10-21/pdf/2019-22829.pdfhttps://regulations.justia.com/regulations/fedreg/2019/10/21/2019-22828.htmlNotice - Self-Regulatory Organizations; Cboe BZX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Introduce a Small Retail Broker Distribution Program2019-10-21T00:00:00-07:002019-10-21T00:00:00-07:002019-22828Noticehttps://www.govinfo.gov/content/pkg/FR-2019-10-21/pdf/2019-22828.pdfhttps://regulations.justia.com/regulations/fedreg/2019/10/18/C1-2019-21473.htmlNotice - 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 Fee2019-10-18T00:00:00-07:002019-10-18T00:00:00-07:00C1-2019-21473Noticehttps://www.govinfo.gov/content/pkg/FR-2019-10-18/pdf/C1-2019-21473.pdfhttps://regulations.justia.com/regulations/fedreg/2019/10/18/2019-22719.htmlNotice - Self-Regulatory Organizations; LCH SA; Order Approving Proposed Rule Change Relating to Extension of Weekly Backloading Cycle to Index Swaptions2019-10-18T00:00:00-07:002019-10-18T00:00:00-07:002019-22719Noticehttps://www.govinfo.gov/content/pkg/FR-2019-10-18/pdf/2019-22719.pdfhttps://regulations.justia.com/regulations/fedreg/2019/10/18/2019-22699.htmlNotice - Self-Regulatory Organizations; BOX Exchange LLC; Notice of Filing of Proposed Rule Change Related To Adopt Rules To Govern the Trading of Equity Securities on the Exchange Through a Facility of the Exchange Known as the Boston Security Token Exchange LLC2019-10-18T00:00:00-07:002019-10-18T00:00:00-07:002019-22699Noticehttps://www.govinfo.gov/content/pkg/FR-2019-10-18/pdf/2019-22699.pdfhttps://regulations.justia.com/regulations/fedreg/2019/10/17/2019-22702.htmlNotice - Self-Regulatory Organizations; Cboe EDGX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Introduce a Small Retail Broker Distribution Program2019-10-17T00:00:00-07:002019-10-17T00:00:00-07:002019-22702Noticehttps://www.govinfo.gov/content/pkg/FR-2019-10-17/pdf/2019-22702.pdfhttps://regulations.justia.com/regulations/fedreg/2019/10/17/2019-22701.htmlNotice - Self-Regulatory Organizations; Cboe Exchange, Inc.; Notice of Designation of a Longer Period for Commission Action on a Proposed Rule Change, as Modified by Amendment No. 1, To Make Permanent Certain Options Market Rules That Are Linked to the Equity Market Plan To Address Extraordinary Market Volatility2019-10-17T00:00:00-07:002019-10-17T00:00:00-07:002019-22701Noticehttps://www.govinfo.gov/content/pkg/FR-2019-10-17/pdf/2019-22701.pdfhttps://regulations.justia.com/regulations/fedreg/2019/10/17/2019-22700.htmlNotice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the NYSE Arca Equities Fees and Charges2019-10-17T00:00:00-07:002019-10-17T00:00:00-07:002019-22700Noticehttps://www.govinfo.gov/content/pkg/FR-2019-10-17/pdf/2019-22700.pdfhttps://regulations.justia.com/regulations/fedreg/2019/10/17/2019-22698.htmlNotice - Self-Regulatory Organizations; Cboe EDGX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the Fee Schedule To Institute a Derived Data API Service2019-10-17T00:00:00-07:002019-10-17T00:00:00-07:002019-22698Noticehttps://www.govinfo.gov/content/pkg/FR-2019-10-17/pdf/2019-22698.pdfhttps://regulations.justia.com/regulations/fedreg/2019/10/17/2019-22697.htmlNotice - Self-Regulatory Organizations; Cboe EDGA Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Introduce a Small Retail Broker Distribution Program2019-10-17T00:00:00-07:002019-10-17T00:00:00-07:002019-22697Noticehttps://www.govinfo.gov/content/pkg/FR-2019-10-17/pdf/2019-22697.pdfhttps://regulations.justia.com/regulations/fedreg/2019/10/17/2019-22600.htmlNotice - Self-Regulatory Organizations; Cboe BZX Exchange, Inc.; Notice of Filing of a Proposed Rule Change, as Modified by Amendment No. 1, To List and Trade Shares of the Clearbridge Small Cap Value ETF Under Currently Proposed Rule 14.11(k)2019-10-17T00:00:00-07:002019-10-17T00:00:00-07:002019-22600Noticehttps://www.govinfo.gov/content/pkg/FR-2019-10-17/pdf/2019-22600.pdfhttps://regulations.justia.com/regulations/fedreg/2019/10/17/2019-22599.htmlNotice - Self-Regulatory Organizations; Miami International Securities Exchange LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Its Fee Schedule2019-10-17T00:00:00-07:002019-10-17T00:00:00-07:002019-22599Noticehttps://www.govinfo.gov/content/pkg/FR-2019-10-17/pdf/2019-22599.pdfhttps://regulations.justia.com/regulations/fedreg/2019/10/17/2019-22598.htmlNotice - Self-Regulatory Organizations; Miami International Securities Exchange, LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Exchange Rule 519, MIAX Order Monitor2019-10-17T00:00:00-07:002019-10-17T00:00:00-07:002019-22598Noticehttps://www.govinfo.gov/content/pkg/FR-2019-10-17/pdf/2019-22598.pdfhttps://regulations.justia.com/regulations/fedreg/2019/10/17/2019-22597.htmlNotice - Self-Regulatory Organizations; MIAX PEARL, LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Exchange Rule 519, MIAX PEARL Order Monitor2019-10-17T00:00:00-07:002019-10-17T00:00:00-07:002019-22597Noticehttps://www.govinfo.gov/content/pkg/FR-2019-10-17/pdf/2019-22597.pdfhttps://regulations.justia.com/regulations/fedreg/2019/10/17/2019-22596.htmlNotice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Permit the Listing and Trading of Shares Under NYSE Arca Rule 8.600-E of the Overlay Shares Large Cap Equity ETF, Overlay Shares Small Cap Equity ETF, Overlay Shares Foreign Equity ETF, Overlay Shares Core Bond ETF and Overlay Shares Municipal Bond ETF2019-10-17T00:00:00-07:002019-10-17T00:00:00-07:002019-22596Noticehttps://www.govinfo.gov/content/pkg/FR-2019-10-17/pdf/2019-22596.pdfhttps://regulations.justia.com/regulations/fedreg/2019/10/17/2019-22595.htmlNotice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Designation of a Longer Period for Commission Action on a Proposed Rule Change, as Modified by Amendment No. 1 Thereto, To List and Trade Shares of the KFA Global Carbon ETF Under NYSE Arca Rule 8.600-E2019-10-17T00:00:00-07:002019-10-17T00:00:00-07:002019-22595Noticehttps://www.govinfo.gov/content/pkg/FR-2019-10-17/pdf/2019-22595.pdfhttps://regulations.justia.com/regulations/fedreg/2019/10/17/2019-22594.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 Schedule at Options 7, Section 22019-10-17T00:00:00-07:002019-10-17T00:00:00-07:002019-22594Noticehttps://www.govinfo.gov/content/pkg/FR-2019-10-17/pdf/2019-22594.pdfhttps://regulations.justia.com/regulations/fedreg/2019/10/17/2019-22593.htmlNotice - Self-Regulatory Organizations; ICE Clear Europe Limited; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to the ICE Clear Europe Clearing Rules and Procedures2019-10-17T00:00:00-07:002019-10-17T00:00:00-07:002019-22593Noticehttps://www.govinfo.gov/content/pkg/FR-2019-10-17/pdf/2019-22593.pdfhttps://regulations.justia.com/regulations/fedreg/2019/10/17/2019-22592.htmlNotice - Self-Regulatory Organizations; Cboe Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating To Amend the Appointment Weight Table in Rule 5.50 in the Shell Structure for the Exchange's Rulebook2019-10-17T00:00:00-07:002019-10-17T00:00:00-07:002019-22592Noticehttps://www.govinfo.gov/content/pkg/FR-2019-10-17/pdf/2019-22592.pdfhttps://regulations.justia.com/regulations/fedreg/2019/10/17/2019-22591.htmlNotice - Self-Regulatory Organizations; Cboe Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the Name of a Reporting Authority for Certain Indexes on Which the Exchange May List Options2019-10-17T00:00:00-07:002019-10-17T00:00:00-07:002019-22591Noticehttps://www.govinfo.gov/content/pkg/FR-2019-10-17/pdf/2019-22591.pdfhttps://regulations.justia.com/regulations/fedreg/2019/10/17/2019-22590.htmlNotice - Self-Regulatory Organizations; Cboe Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating To Move the Rules in Chapter V of the Currently Effective Rulebook to Proposed Section A of Chapter 4 of the Shell Structure for the Exchange's Rulebook That Will Become Effective Upon the Migration of the Exchange's Trading Platform2019-10-17T00:00:00-07:002019-10-17T00:00:00-07:002019-22590Noticehttps://www.govinfo.gov/content/pkg/FR-2019-10-17/pdf/2019-22590.pdfhttps://regulations.justia.com/regulations/fedreg/2019/10/17/2019-22589.htmlNotice - Self-Regulatory Organizations; Nasdaq BX, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Transaction Fees at Equity 7, Section 118(a)2019-10-17T00:00:00-07:002019-10-17T00:00:00-07:002019-22589Noticehttps://www.govinfo.gov/content/pkg/FR-2019-10-17/pdf/2019-22589.pdfhttps://regulations.justia.com/regulations/fedreg/2019/10/17/2019-22588.htmlNotice - Self-Regulatory Organizations; Nasdaq BX, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend BX Rules at Chapter VI, Section 62019-10-17T00:00:00-07:002019-10-17T00:00:00-07:002019-22588Noticehttps://www.govinfo.gov/content/pkg/FR-2019-10-17/pdf/2019-22588.pdfhttps://regulations.justia.com/regulations/fedreg/2019/10/17/2019-22580.htmlNotice - Submission for OMB Review; Comment Request2019-10-17T00:00:00-07:002019-10-17T00:00:00-07:002019-22580Noticehttps://www.govinfo.gov/content/pkg/FR-2019-10-17/pdf/2019-22580.pdfhttps://regulations.justia.com/regulations/fedreg/2019/10/17/2019-22579.htmlNotice - Submission for OMB Review; Comment Request2019-10-17T00:00:00-07:002019-10-17T00:00:00-07:002019-22579Noticehttps://www.govinfo.gov/content/pkg/FR-2019-10-17/pdf/2019-22579.pdfhttps://regulations.justia.com/regulations/fedreg/2019/10/17/2019-22578.htmlNotice - Proposed Collection; Comment Request2019-10-17T00:00:00-07:002019-10-17T00:00:00-07:002019-22578Noticehttps://www.govinfo.gov/content/pkg/FR-2019-10-17/pdf/2019-22578.pdfhttps://regulations.justia.com/regulations/fedreg/2019/10/16/2019-22486.htmlNotice - Self-Regulatory Organizations; NYSE Arca, Inc.; Order Disapproving a Proposed Rule Change, as Modified by Amendment No. 1, Relating to the Listing and Trading of Shares of the Bitwise Bitcoin ETF Trust Under NYSE Arca Rule 8.201-E2019-10-16T00:00:00-07:002019-10-16T00:00:00-07:002019-22486Noticehttps://www.govinfo.gov/content/pkg/FR-2019-10-16/pdf/2019-22486.pdfhttps://regulations.justia.com/regulations/fedreg/2019/10/16/2019-22485.htmlNotice - Self-Regulatory Organizations; BOX Exchange LLC; Notice of Designation of Longer Period for Commission Action on Proposed Rule Change To Amend Rule 76002019-10-16T00:00:00-07:002019-10-16T00:00:00-07:002019-22485Noticehttps://www.govinfo.gov/content/pkg/FR-2019-10-16/pdf/2019-22485.pdfhttps://regulations.justia.com/regulations/fedreg/2019/10/16/2019-22484.htmlNotice - Self-Regulatory Organizations; Cboe Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating To Amend Its Financial Incentive Programs for Global Trading Hours Lead Market-Makers2019-10-16T00:00:00-07:002019-10-16T00:00:00-07:002019-22484Noticehttps://www.govinfo.gov/content/pkg/FR-2019-10-16/pdf/2019-22484.pdfhttps://regulations.justia.com/regulations/fedreg/2019/10/16/2019-22483.htmlNotice - Self-Regulatory Organizations; NYSE Chicago, Inc.; Notice of Filing of Amendment No. 1 and Order Granting Accelerated Approval of a Proposed Rule Change, as Modified by Amendment No. 1, To Add Rules To Support the Transition of Trading to the Pillar Trading Platform2019-10-16T00:00:00-07:002019-10-16T00:00:00-07:002019-22483Noticehttps://www.govinfo.gov/content/pkg/FR-2019-10-16/pdf/2019-22483.pdfhttps://regulations.justia.com/regulations/fedreg/2019/10/16/2019-22482.htmlNotice - Self-Regulatory Organizations; The Nasdaq Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend The Nasdaq Options Market LLC Rules at Chapter VI and Chapter VII2019-10-16T00:00:00-07:002019-10-16T00:00:00-07:002019-22482Noticehttps://www.govinfo.gov/content/pkg/FR-2019-10-16/pdf/2019-22482.pdfhttps://regulations.justia.com/regulations/fedreg/2019/10/16/2019-22481.htmlNotice - Self-Regulatory Organizations; Cboe Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Make Minor Updates and Consolidate Various Exchange Rules in Connection With Business Conduct on the Exchange, and Move Those Rules From the Currently Effective Rulebook to Proposed Chapter 8 of 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 Exchanges2019-10-16T00:00:00-07:002019-10-16T00:00:00-07:002019-22481Noticehttps://www.govinfo.gov/content/pkg/FR-2019-10-16/pdf/2019-22481.pdfhttps://regulations.justia.com/regulations/fedreg/2019/10/16/2019-22480.htmlNotice - Self-Regulatory Organizations; Fixed Income Clearing Corporation; Order Approving a Proposed Rule Change 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 Changes2019-10-16T00:00:00-07:002019-10-16T00:00:00-07:002019-22480Noticehttps://www.govinfo.gov/content/pkg/FR-2019-10-16/pdf/2019-22480.pdfhttps://regulations.justia.com/regulations/fedreg/2019/10/15/2019-22433.htmlNotice - Fixed Income Market Structure Advisory Committee2019-10-15T00:00:00-07:002019-10-15T00:00:00-07:002019-22433Noticehttps://www.govinfo.gov/content/pkg/FR-2019-10-15/pdf/2019-22433.pdfhttps://regulations.justia.com/regulations/fedreg/2019/10/15/2019-22392.htmlNotice - Self-Regulatory Organizations; The Options Clearing Corporation; Notice of Filing of Partial Amendment No. 1 and Notice of No Objection to Advance Notice, as Modified by Partial Amendment No. 1, Concerning a Proposed Capital Management Policy That Would Support the Options Clearing Corporation's Function as a Systemically Important Financial Market Utility2019-10-15T00:00:00-07:002019-10-15T00:00:00-07:002019-22392Noticehttps://www.govinfo.gov/content/pkg/FR-2019-10-15/pdf/2019-22392.pdfhttps://regulations.justia.com/regulations/fedreg/2019/10/15/2019-22391.htmlNotice - Asset Management Advisory Committee2019-10-15T00:00:00-07:002019-10-15T00:00:00-07:002019-22391Noticehttps://www.govinfo.gov/content/pkg/FR-2019-10-15/pdf/2019-22391.pdfhttps://regulations.justia.com/regulations/fedreg/2019/10/15/2019-22388.htmlNotice - Self-Regulatory Organizations; Municipal Securities Rulemaking Board; Notice of Filing of Amendment No. 1 to Proposed Rule Change To Amend and Restate the MSRB's August 2, 2012 Interpretive Notice Concerning the Application of Rule G-17 to Underwriters of Municipal Securities2019-10-15T00:00:00-07:002019-10-15T00:00:00-07:002019-22388Noticehttps://www.govinfo.gov/content/pkg/FR-2019-10-15/pdf/2019-22388.pdfhttps://regulations.justia.com/regulations/fedreg/2019/10/15/2019-22387.htmlNotice - Self-Regulatory Organizations; Cboe Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Amending Its Fees Schedule2019-10-15T00:00:00-07:002019-10-15T00:00:00-07:002019-22387Noticehttps://www.govinfo.gov/content/pkg/FR-2019-10-15/pdf/2019-22387.pdfhttps://regulations.justia.com/regulations/fedreg/2019/10/15/2019-22386.htmlNotice - Self-Regulatory Organizations; Cboe Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Amending Its Fees Schedule2019-10-15T00:00:00-07:002019-10-15T00:00:00-07:002019-22386Noticehttps://www.govinfo.gov/content/pkg/FR-2019-10-15/pdf/2019-22386.pdfhttps://regulations.justia.com/regulations/fedreg/2019/10/15/2019-22385.htmlNotice - Self-Regulatory Organizations; The Options Clearing Corporation; Notice of Filing of Partial Amendment No. 1 and Notice of Designation of Longer Period for Commission Action on Proposed Rule Change Concerning a Proposed Capital Management Policy That Would Support the Options Clearing Corporation's Function as a Systemically Important Financial Market Utility2019-10-15T00:00:00-07:002019-10-15T00:00:00-07:002019-22385Noticehttps://www.govinfo.gov/content/pkg/FR-2019-10-15/pdf/2019-22385.pdfhttps://regulations.justia.com/regulations/fedreg/2019/10/15/2019-22053.htmlRule - Capital, Margin, and Segregation Requirements for Security-Based Swap Dealers and Major Security-Based Swap Participants and Capital and Segregation Requirements for Broker-Dealers; Correction2019-10-15T00:00:00-07:002019-10-15T00:00:00-07:002019-22053Rulehttps://www.govinfo.gov/content/pkg/FR-2019-10-15/pdf/2019-22053.pdfhttps://regulations.justia.com/regulations/fedreg/2019/10/11/2019-22253.htmlNotice - Self-Regulatory Organizations; Cboe BZX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to the Listing and Trading of Shares of the FT Cboe Vest U.S. Equity Buffer ETFs and the FT Cboe Vest U.S. Equity Deep Buffer ETFs Under the First Trust Exchange-Traded Fund VIII2019-10-11T00:00:00-07:002019-10-11T00:00:00-07:002019-22253Noticehttps://www.govinfo.gov/content/pkg/FR-2019-10-11/pdf/2019-22253.pdfhttps://regulations.justia.com/regulations/fedreg/2019/10/11/2019-21770.htmlProposed Rule - Rescission of Effective-Upon-Filing Procedure for NMS Plan Fee Amendments2019-10-11T00:00:00-07:002019-10-11T00:00:00-07:002019-21770Proposed Rulehttps://www.govinfo.gov/content/pkg/FR-2019-10-11/pdf/2019-21770.pdfhttps://regulations.justia.com/regulations/fedreg/2019/10/10/2019-22222.htmlNotice - Submission for OMB Review; Comment Request2019-10-10T00:00:00-07:002019-10-10T00:00:00-07:002019-22222Noticehttps://www.govinfo.gov/content/pkg/FR-2019-10-10/pdf/2019-22222.pdfhttps://regulations.justia.com/regulations/fedreg/2019/10/10/2019-22157.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 the Automated Improvement Mechanism and Solicitation Auction Mechanism for Flexible Exchange Options, and 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 Exchanges2019-10-10T00:00:00-07:002019-10-10T00:00:00-07:002019-22157Noticehttps://www.govinfo.gov/content/pkg/FR-2019-10-10/pdf/2019-22157.pdfhttps://regulations.justia.com/regulations/fedreg/2019/10/10/2019-22149.htmlNotice - Self-Regulatory Organizations; Cboe Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Move Rule 10.2 and the Rules in Chapter XVI of the Currently Effective Rulebook, Which Governs the Summary Suspension of Trading Permit Holders, to Proposed Chapter 12 of 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 Exchanges2019-10-10T00:00:00-07:002019-10-10T00:00:00-07:002019-22149Noticehttps://www.govinfo.gov/content/pkg/FR-2019-10-10/pdf/2019-22149.pdfhttps://regulations.justia.com/regulations/fedreg/2019/10/10/2019-22147.htmlNotice - Self-Regulatory Organizations; Fixed Income Clearing Corporation; Notice of No Objection To 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 Changes2019-10-10T00:00:00-07:002019-10-10T00:00:00-07:002019-22147Noticehttps://www.govinfo.gov/content/pkg/FR-2019-10-10/pdf/2019-22147.pdfhttps://regulations.justia.com/regulations/fedreg/2019/10/10/2019-22146.htmlNotice - Self-Regulatory Organizations; Cboe Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Certain Rules in Connection With Market-Makers in the Shell Rulebook2019-10-10T00:00:00-07:002019-10-10T00:00:00-07:002019-22146Noticehttps://www.govinfo.gov/content/pkg/FR-2019-10-10/pdf/2019-22146.pdfhttps://regulations.justia.com/regulations/fedreg/2019/10/10/2019-22145.htmlNotice - Self-Regulatory Organizations; ICE Clear Credit LLC; Notice of Designation of Longer Period for Commission Action on Proposed Rule Change Relating to Amendments to the ICC Clearing Rules To Address Non-Default Losses2019-10-10T00:00:00-07:002019-10-10T00:00:00-07:002019-22145Noticehttps://www.govinfo.gov/content/pkg/FR-2019-10-10/pdf/2019-22145.pdfhttps://regulations.justia.com/regulations/fedreg/2019/10/10/2019-22144.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 the Trading of Flexible Exchange Options, and 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 Exchanges2019-10-10T00:00:00-07:002019-10-10T00:00:00-07:002019-22144Noticehttps://www.govinfo.gov/content/pkg/FR-2019-10-10/pdf/2019-22144.pdfhttps://regulations.justia.com/regulations/fedreg/2019/10/10/2019-22143.htmlNotice - Self-Regulatory Organizations; MIAX PEARL, LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the MIAX PEARL Fee Schedule2019-10-10T00:00:00-07:002019-10-10T00:00:00-07:002019-22143Noticehttps://www.govinfo.gov/content/pkg/FR-2019-10-10/pdf/2019-22143.pdfhttps://regulations.justia.com/regulations/fedreg/2019/10/10/2019-22142.htmlNotice - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing of Amendment No. 2 to a Proposed Rule Change To Establish a Corporate Bond New Issue Reference Data Service and 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, To Establish a Corporate Bond New Issue Reference Data Service2019-10-10T00:00:00-07:002019-10-10T00:00:00-07:002019-22142Noticehttps://www.govinfo.gov/content/pkg/FR-2019-10-10/pdf/2019-22142.pdfhttps://regulations.justia.com/regulations/fedreg/2019/10/10/2019-22141.htmlNotice - Self-Regulatory Organizations; Nasdaq GEMX, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend GEMX's Rulebook and By-Laws2019-10-10T00:00:00-07:002019-10-10T00:00:00-07:002019-22141Noticehttps://www.govinfo.gov/content/pkg/FR-2019-10-10/pdf/2019-22141.pdfhttps://regulations.justia.com/regulations/fedreg/2019/10/10/2019-22140.htmlNotice - Self-Regulatory Organizations; The Nasdaq Stock Market LLC; Notice of Designation of a Longer Period for Commission Action on a Proposed Rule Change Relating to the Nasdaq Official Closing Price for Nasdaq-Listed Exchange-Traded Products2019-10-10T00:00:00-07:002019-10-10T00:00:00-07:002019-22140Noticehttps://www.govinfo.gov/content/pkg/FR-2019-10-10/pdf/2019-22140.pdfhttps://regulations.justia.com/regulations/fedreg/2019/10/10/2019-22139.htmlNotice - Self-Regulatory Organizations; Cboe Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Make Minor Updates and Consolidate Various Exchange Rules in Connection With Trading Permit Holder Registration and With Doing Business With the Public, and Move Those Rules From the Currently Effective Rulebook to Proposed Chapter 9 and, in Part, Chapter 3 of 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 Exchanges2019-10-10T00:00:00-07:002019-10-10T00:00:00-07:002019-22139Noticehttps://www.govinfo.gov/content/pkg/FR-2019-10-10/pdf/2019-22139.pdfhttps://regulations.justia.com/regulations/fedreg/2019/10/10/2019-22138.htmlNotice - Self-Regulatory Organizations; Cboe Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Make Minor Updates and Consolidate Various Exchange Rules in Connection Generally With Options Trading on the Exchange, Including Those Regarding Trading Halts and the Plan To Address Extraordinary Market Volatility, and 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 Exchanges2019-10-10T00:00:00-07:002019-10-10T00:00:00-07:002019-22138Noticehttps://www.govinfo.gov/content/pkg/FR-2019-10-10/pdf/2019-22138.pdfhttps://regulations.justia.com/regulations/fedreg/2019/10/10/2019-22137.htmlNotice - Self-Regulatory Organizations; NYSE Arca, Inc.; Order Approving a Proposed Rule Change To Amend NYSE Arca Rule 8.700-E and To List and Trade Shares of the Dynamic Short Short-Term Volatility Futures ETF2019-10-10T00:00:00-07:002019-10-10T00:00:00-07:002019-22137Noticehttps://www.govinfo.gov/content/pkg/FR-2019-10-10/pdf/2019-22137.pdfhttps://regulations.justia.com/regulations/fedreg/2019/10/09/2019-22026.htmlNotice - Self-Regulatory Organizations; Nasdaq BX, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Extend the Pilot Related to the Market-Wide Circuit Breaker in Rule 41212019-10-09T00:00:00-07:002019-10-09T00:00:00-07:002019-22026Noticehttps://www.govinfo.gov/content/pkg/FR-2019-10-09/pdf/2019-22026.pdfhttps://regulations.justia.com/regulations/fedreg/2019/10/09/2019-22025.htmlNotice - Self-Regulatory Organizations; The Options Clearing Corporation; Notice of Filing of Proposed Rule Change To Establish a Regulatory Committee of The Options Clearing Corporation's Board of Directors2019-10-09T00:00:00-07:002019-10-09T00:00:00-07:002019-22025Noticehttps://www.govinfo.gov/content/pkg/FR-2019-10-09/pdf/2019-22025.pdfhttps://regulations.justia.com/regulations/fedreg/2019/10/09/2019-22024.htmlNotice - Self-Regulatory Organizations; Nasdaq PHLX LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Extend the Pilot Related to the Market-Wide Circuit Breaker in Rule 1332019-10-09T00:00:00-07:002019-10-09T00:00:00-07:002019-22024Noticehttps://www.govinfo.gov/content/pkg/FR-2019-10-09/pdf/2019-22024.pdfhttps://regulations.justia.com/regulations/fedreg/2019/10/09/2019-22023.htmlNotice - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend FINRA Rule 7620B To Modify the Trade Reporting Fees Applicable to Participants That Use the FINRA/NYSE Trade Reporting Facility2019-10-09T00:00:00-07:002019-10-09T00:00:00-07:002019-22023Noticehttps://www.govinfo.gov/content/pkg/FR-2019-10-09/pdf/2019-22023.pdfhttps://regulations.justia.com/regulations/fedreg/2019/10/09/2019-22020.htmlNotice - Self-Regulatory Organizations; Nasdaq MRX, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend MRX's Rulebook and By-Laws2019-10-09T00:00:00-07:002019-10-09T00:00:00-07:002019-22020Noticehttps://www.govinfo.gov/content/pkg/FR-2019-10-09/pdf/2019-22020.pdfhttps://regulations.justia.com/regulations/fedreg/2019/10/09/2019-22019.htmlNotice - Self-Regulatory Organizations; Long-Term Stock Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating To Make the Exchange a Display-Only Market by Removing References to Non-Displayed and Reserve Orders2019-10-09T00:00:00-07:002019-10-09T00:00:00-07:002019-22019Noticehttps://www.govinfo.gov/content/pkg/FR-2019-10-09/pdf/2019-22019.pdfhttps://regulations.justia.com/regulations/fedreg/2019/10/09/2019-22018.htmlNotice - Self-Regulatory Organizations; The Nasdaq Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Certain Constitutional Documents2019-10-09T00:00:00-07:002019-10-09T00:00:00-07:002019-22018Noticehttps://www.govinfo.gov/content/pkg/FR-2019-10-09/pdf/2019-22018.pdfhttps://regulations.justia.com/regulations/fedreg/2019/10/09/2019-22017.htmlNotice - Self-Regulatory Organizations; Cboe Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Make Minor Updates and Consolidate Various Exchange Rules in Connection With Regulatory Reports, Records, and Audits on the Exchange, and Move Those Rules From the Currently Effective Rulebook to Proposed Chapter 7 of 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 Exchanges2019-10-09T00:00:00-07:002019-10-09T00:00:00-07:002019-22017Noticehttps://www.govinfo.gov/content/pkg/FR-2019-10-09/pdf/2019-22017.pdfhttps://regulations.justia.com/regulations/fedreg/2019/10/09/2019-22016.htmlNotice - Self-Regulatory Organizations; Cboe Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Make Minor Updates and Consolidate Various Exchange Rules in Connection With the Post-Transaction Process on the Exchange, and Move Those Rules From the Current Rulebook to Proposed Chapter 6 of the Shell Rulebook2019-10-09T00:00:00-07:002019-10-09T00:00:00-07:002019-22016Noticehttps://www.govinfo.gov/content/pkg/FR-2019-10-09/pdf/2019-22016.pdfhttps://regulations.justia.com/regulations/fedreg/2019/10/09/2019-22015.htmlNotice - Self-Regulatory Organizations; Nasdaq ISE, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend ISE's Rulebook and By-Laws2019-10-09T00:00:00-07:002019-10-09T00:00:00-07:002019-22015Noticehttps://www.govinfo.gov/content/pkg/FR-2019-10-09/pdf/2019-22015.pdfhttps://regulations.justia.com/regulations/fedreg/2019/10/09/2019-22014.htmlNotice - Self-Regulatory Organizations; Nasdaq BX, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend BX's By-Laws2019-10-09T00:00:00-07:002019-10-09T00:00:00-07:002019-22014Noticehttps://www.govinfo.gov/content/pkg/FR-2019-10-09/pdf/2019-22014.pdfhttps://regulations.justia.com/regulations/fedreg/2019/10/09/2019-22013.htmlNotice - Self-Regulatory Organizations; New York Stock Exchange LLC; Order Granting Approval of a Proposed Rule Change, as Modified by Amendment No. 1, To Add Certain Rules to the List of Minor Rule Violations in Rule 9217, Delete Obsolete Rules, and Increase the Maximum Fine for Minor Rule Violations2019-10-09T00:00:00-07:002019-10-09T00:00:00-07:002019-22013Noticehttps://www.govinfo.gov/content/pkg/FR-2019-10-09/pdf/2019-22013.pdfhttps://regulations.justia.com/regulations/fedreg/2019/10/09/2019-22012.htmlNotice - Self-Regulatory Organizations; Nasdaq PHLX LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Phlx's Second Amended Limited Liability Company Agreement and By-Laws2019-10-09T00:00:00-07:002019-10-09T00:00:00-07:002019-22012Noticehttps://www.govinfo.gov/content/pkg/FR-2019-10-09/pdf/2019-22012.pdfhttps://regulations.justia.com/regulations/fedreg/2019/10/09/2019-22011.htmlNotice - Self-Regulatory Organizations; Cboe Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Move the Rules in Chapter XVII, Which Governs Exchange Disciplinary Procedures, of the Current Rulebook to Proposed Chapter 13 of the Shell Rulebook2019-10-09T00:00:00-07:002019-10-09T00:00:00-07:002019-22011Noticehttps://www.govinfo.gov/content/pkg/FR-2019-10-09/pdf/2019-22011.pdfhttps://regulations.justia.com/regulations/fedreg/2019/10/09/2019-22010.htmlNotice - Self-Regulatory Organizations; MIAX PEARL, LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the MIAX PEARL Fee Schedule2019-10-09T00:00:00-07:002019-10-09T00:00:00-07:002019-22010Noticehttps://www.govinfo.gov/content/pkg/FR-2019-10-09/pdf/2019-22010.pdfhttps://regulations.justia.com/regulations/fedreg/2019/10/09/2019-21882.htmlProposed Rule - Proposed Exemptive Order Granting a Conditional Exemption From the Broker Registration Requirements of Section 15(a) of the Securities Exchange Act of 1934 for Certain Activities of Registered Municipal Advisors2019-10-09T00:00:00-07:002019-10-09T00:00:00-07:002019-21882Proposed Rulehttps://www.govinfo.gov/content/pkg/FR-2019-10-09/pdf/2019-21882.pdfhttps://regulations.justia.com/regulations/fedreg/2019/10/08/2019-21950.htmlNotice - Self-Regulatory Organizations; The Nasdaq Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Further Delay Implementation of the Early Order Imbalance Indicator Functionality2019-10-08T00:00:00-07:002019-10-08T00:00:00-07:002019-21950Noticehttps://www.govinfo.gov/content/pkg/FR-2019-10-08/pdf/2019-21950.pdfhttps://regulations.justia.com/regulations/fedreg/2019/10/08/2019-21883.htmlNotice - Self-Regulatory Organizations; The Nasdaq Stock Market LLC; Notice of Filing of Amendment No. 1 and Order Granting Accelerated Approval of a Proposed Rule Change, as Modified by Amendment No. 1, To Amend Certain Cutoff Times for On-Close Orders Entered for Participation in the Nasdaq Closing Cross and Adopt a Second Reference Price for Limit-On-Close Orders2019-10-08T00:00:00-07:002019-10-08T00:00:00-07:002019-21883Noticehttps://www.govinfo.gov/content/pkg/FR-2019-10-08/pdf/2019-21883.pdfhttps://regulations.justia.com/regulations/fedreg/2019/10/08/2019-21881.htmlNotice - Self-Regulatory Organizations; Cboe EDGX Exchange, Inc.; Order Granting Approval of a Proposed Rule Change, as Modified by Amendment No. 1, To Introduce Retail Priority2019-10-08T00:00:00-07:002019-10-08T00:00:00-07:002019-21881Noticehttps://www.govinfo.gov/content/pkg/FR-2019-10-08/pdf/2019-21881.pdfhttps://regulations.justia.com/regulations/fedreg/2019/10/08/2019-21879.htmlNotice - Self-Regulatory Organizations; Miami International Securities Exchange, LLC; Order Approving a Proposed Rule Change To Amend Exchange Rule 518, Complex Orders, To Adopt New Interpretation and Policy .07, SPIKES Combo Orders2019-10-08T00:00:00-07:002019-10-08T00:00:00-07:002019-21879Noticehttps://www.govinfo.gov/content/pkg/FR-2019-10-08/pdf/2019-21879.pdfhttps://regulations.justia.com/regulations/fedreg/2019/10/07/2019-21811.htmlNotice - Mutual of America Life Insurance Company, et al.2019-10-07T00:00:00-07:002019-10-07T00:00:00-07:002019-21811Noticehttps://www.govinfo.gov/content/pkg/FR-2019-10-07/pdf/2019-21811.pdfhttps://regulations.justia.com/regulations/fedreg/2019/10/07/2019-21810.htmlNotice - Calvert Fund, et al.2019-10-07T00:00:00-07:002019-10-07T00:00:00-07:002019-21810Noticehttps://www.govinfo.gov/content/pkg/FR-2019-10-07/pdf/2019-21810.pdfhttps://regulations.justia.com/regulations/fedreg/2019/10/07/2019-21737.htmlNotice - Self-Regulatory Organizations; Nasdaq GEMX, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to the Submission of Quotes and Orders2019-10-07T00:00:00-07:002019-10-07T00:00:00-07:002019-21737Noticehttps://www.govinfo.gov/content/pkg/FR-2019-10-07/pdf/2019-21737.pdfhttps://regulations.justia.com/regulations/fedreg/2019/10/07/2019-21736.htmlNotice - Self-Regulatory Organizations; Nasdaq ISE, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to the Submission of Quotes and Orders2019-10-07T00:00:00-07:002019-10-07T00:00:00-07:002019-21736Noticehttps://www.govinfo.gov/content/pkg/FR-2019-10-07/pdf/2019-21736.pdfhttps://regulations.justia.com/regulations/fedreg/2019/10/07/2019-21735.htmlNotice - Self-Regulatory Organizations; Nasdaq MRX, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Several Sections of Options 32019-10-07T00:00:00-07:002019-10-07T00:00:00-07:002019-21735Noticehttps://www.govinfo.gov/content/pkg/FR-2019-10-07/pdf/2019-21735.pdfhttps://regulations.justia.com/regulations/fedreg/2019/10/07/2019-21734.htmlNotice - Self-Regulatory Organizations; Cboe Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Move the Rules in Chapter XVIII, Which Governs Exchange Arbitrations, of the Currently Effective Rulebook to Proposed Chapter 14 of the Shell Structure for the Exchange's Rulebook2019-10-07T00:00:00-07:002019-10-07T00:00:00-07:002019-21734Noticehttps://www.govinfo.gov/content/pkg/FR-2019-10-07/pdf/2019-21734.pdfhttps://regulations.justia.com/regulations/fedreg/2019/10/07/2019-21733.htmlNotice - Self-Regulatory Organizations; NYSE American LLC; Notice of Withdrawal of Proposed Rule Change To Amend the NYSE American Options Fee Schedule To Revise the Options Regulatory Fee2019-10-07T00:00:00-07:002019-10-07T00:00:00-07:002019-21733Noticehttps://www.govinfo.gov/content/pkg/FR-2019-10-07/pdf/2019-21733.pdfhttps://regulations.justia.com/regulations/fedreg/2019/10/07/2019-21732.htmlNotice - Self-Regulatory Organizations; The Nasdaq Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Adopt Fees for the MIDP Routing Option2019-10-07T00:00:00-07:002019-10-07T00:00:00-07:002019-21732Noticehttps://www.govinfo.gov/content/pkg/FR-2019-10-07/pdf/2019-21732.pdfhttps://regulations.justia.com/regulations/fedreg/2019/10/07/2019-21731.htmlNotice - Self-Regulatory Organizations; NYSE Arca Inc.; Notice of Withdrawal of Proposed Rule Change To Amend the NYSE Arca Options Fee Schedule To Revise the Options Regulatory Fee2019-10-07T00:00:00-07:002019-10-07T00:00:00-07:002019-21731Noticehttps://www.govinfo.gov/content/pkg/FR-2019-10-07/pdf/2019-21731.pdfhttps://regulations.justia.com/regulations/fedreg/2019/10/07/2019-21730.htmlNotice - Self-Regulatory Organizations; Cboe Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Make Minor Updates to and Relocate Chapter XIX, Which Governs the Hearings and Review Process for Persons Aggrieved by Exchange Action, of the Currently Effective Rulebook, to Proposed Chapter 15 of the Shell Structure for the Exchange's Rulebook2019-10-07T00:00:00-07:002019-10-07T00:00:00-07:002019-21730Noticehttps://www.govinfo.gov/content/pkg/FR-2019-10-07/pdf/2019-21730.pdfhttps://regulations.justia.com/regulations/fedreg/2019/10/07/2019-21729.htmlNotice - Self-Regulatory Organizations; Cboe Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Move the Rules in Chapter XIII of the Currently Effective Rulebook, Which Governs Net Capital Requirements, to Proposed Chapter 11 of the Shell Structure for the Exchange's Rulebook2019-10-07T00:00:00-07:002019-10-07T00:00:00-07:002019-21729Noticehttps://www.govinfo.gov/content/pkg/FR-2019-10-07/pdf/2019-21729.pdfhttps://regulations.justia.com/regulations/fedreg/2019/10/07/2019-21728.htmlNotice - Self-Regulatory Organizations; Cboe Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Move the Rules in Chapter XII, Which Governs Margin Requirements, of the Currently Effective Rulebook to Proposed Chapter 10 of the Shell Structure for the Exchange's Rulebook2019-10-07T00:00:00-07:002019-10-07T00:00:00-07:002019-21728Noticehttps://www.govinfo.gov/content/pkg/FR-2019-10-07/pdf/2019-21728.pdfhttps://regulations.justia.com/regulations/fedreg/2019/10/07/2019-21727.htmlNotice - Self-Regulatory Organizations; NYSE Arca, Inc.; Order Granting Approval of Proposed Rule Change To List and Trade Shares of the Franklin Liberty Systematic Style Premia ETF, a Series of the Franklin Templeton ETF Trust Under NYSE Arca Rule 8.600-E2019-10-07T00:00:00-07:002019-10-07T00:00:00-07:002019-21727Noticehttps://www.govinfo.gov/content/pkg/FR-2019-10-07/pdf/2019-21727.pdf