Federal Register Recent Federal Regulation Documents - Justia Regulation Tracker - Justia Regulations Trackerhttps://regulations.justia.com/regulations/fedreg/agencies/securities-and-exchange-commission/2019/12?limit=200®isters=between&min-day=1&max-day=31&mode=atom2024-04-19T13:25:45-07:00Justia Inchttps://www.justia.com/Justia Regulations Trackerhttps://regulations.justia.com/images/justiafedregulations.gifCopyright 2011 Justia Inchttps://regulations.justia.com/regulations/fedreg/2019/12/31/2019-28217.htmlNotice - Self-Regulatory Organizations; Cboe BZX Exchange, Inc.; Notice of Filing of a Proposed Rule Change To Adopt Rule 14.11(m), Portfolio Fund Shares, and To List and Trade Shares of the Fidelity Value ETF, Fidelity Growth ETF, and Fidelity Opportunistic ETF, Each a Series of the Fidelity Beach Street Trust, Under Proposed Rule 14.11(m)2019-12-31T00:00:00-08:002019-12-31T00:00:00-08:002019-28217Noticehttps://www.govinfo.gov/content/pkg/FR-2019-12-31/pdf/2019-28217.pdfhttps://regulations.justia.com/regulations/fedreg/2019/12/31/2019-28216.htmlNotice - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing of Partial Amendment No. 2 and Order Granting Accelerated Approval of the Proposed Rule Change To Amend FINRA Rule 5110 (Corporate Financing Rule-Underwriting Terms and Arrangements) To Make Substantive, Organizational, and Terminology Changes, as Modified by Partial Amendment No. 1 and Partial Amendment No. 22019-12-31T00:00:00-08:002019-12-31T00:00:00-08:002019-28216Noticehttps://www.govinfo.gov/content/pkg/FR-2019-12-31/pdf/2019-28216.pdfhttps://regulations.justia.com/regulations/fedreg/2019/12/31/2019-28215.htmlNotice - Self-Regulatory Organizations; Cboe Exchange, Inc.; Notice of Filing and Order Granting Accelerated Approval of a Proposed Rule Change To Allow the Exchange To Continue To List Classes of Options on the MSCI Emerging Markets Index After January 1, 20202019-12-31T00:00:00-08:002019-12-31T00:00:00-08:002019-28215Noticehttps://www.govinfo.gov/content/pkg/FR-2019-12-31/pdf/2019-28215.pdfhttps://regulations.justia.com/regulations/fedreg/2019/12/31/2019-28212.htmlNotice - Self-Regulatory Organizations; NYSE Chicago, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Its Price List To Extend for One Year a Fee Discount for the Partial Cabinet Solution Bundles Offered in Connection With the Exchange's Co-Location Services and Update Obsolete Text2019-12-31T00:00:00-08:002019-12-31T00:00:00-08:002019-28212Noticehttps://www.govinfo.gov/content/pkg/FR-2019-12-31/pdf/2019-28212.pdfhttps://regulations.justia.com/regulations/fedreg/2019/12/30/2019-28176.htmlNotice - Self-Regulatory Organizations; Cboe EDGX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Interpretation and Policy .01 of Rule 2.4 To Allow the Exchange To Provide Annual Notification to Individual Members That Are Subject to Paragraph (b) of Rule 2.42019-12-30T00:00:00-08:002019-12-30T00:00:00-08:002019-28176Noticehttps://www.govinfo.gov/content/pkg/FR-2019-12-30/pdf/2019-28176.pdfhttps://regulations.justia.com/regulations/fedreg/2019/12/30/2019-28175.htmlNotice - Self-Regulatory Organizations; Cboe EDGA Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Interpretation and Policy .01 of Rule 2.4 To Allow the Exchange To Provide Annual Notification to Individual Members That Are Subject to Paragraph (b) of Rule 2.42019-12-30T00:00:00-08:002019-12-30T00:00:00-08:002019-28175Noticehttps://www.govinfo.gov/content/pkg/FR-2019-12-30/pdf/2019-28175.pdfhttps://regulations.justia.com/regulations/fedreg/2019/12/30/2019-28174.htmlNotice - Self-Regulatory Organizations; Cboe Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Correct Certain Erroneous Cross-References, Add Inadvertently Omitted Rule Text, and Conform the Use of Certain Defined Terms2019-12-30T00:00:00-08:002019-12-30T00:00:00-08:002019-28174Noticehttps://www.govinfo.gov/content/pkg/FR-2019-12-30/pdf/2019-28174.pdfhttps://regulations.justia.com/regulations/fedreg/2019/12/30/2019-28173.htmlNotice - Self-Regulatory Organizations; Nasdaq MRX, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Adopt a Mass Cancellation Rule and Amend Other Sections of the Rulebook2019-12-30T00:00:00-08:002019-12-30T00:00:00-08:002019-28173Noticehttps://www.govinfo.gov/content/pkg/FR-2019-12-30/pdf/2019-28173.pdfhttps://regulations.justia.com/regulations/fedreg/2019/12/30/2019-28172.htmlNotice - Self-Regulatory Organizations; Nasdaq GEMX, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Adopt a Mass Cancellation Rule and Amend Other Sections of the Rulebook2019-12-30T00:00:00-08:002019-12-30T00:00:00-08:002019-28172Noticehttps://www.govinfo.gov/content/pkg/FR-2019-12-30/pdf/2019-28172.pdfhttps://regulations.justia.com/regulations/fedreg/2019/12/30/2019-28171.htmlNotice - Self-Regulatory Organizations; Nasdaq ISE, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Adopt a Mass Cancellation Rule and Amend Other Sections of the Rulebook2019-12-30T00:00:00-08:002019-12-30T00:00:00-08:002019-28171Noticehttps://www.govinfo.gov/content/pkg/FR-2019-12-30/pdf/2019-28171.pdfhttps://regulations.justia.com/regulations/fedreg/2019/12/30/2019-28170.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 Extend for One Year a Fee Discount for the Partial Cabinet Solution Bundles Offered in Connection With the Exchange's Co-Location Services2019-12-30T00:00:00-08:002019-12-30T00:00:00-08:002019-28170Noticehttps://www.govinfo.gov/content/pkg/FR-2019-12-30/pdf/2019-28170.pdfhttps://regulations.justia.com/regulations/fedreg/2019/12/30/2019-28169.htmlNotice - Self-Regulatory Organizations; NYSE American LLC; Notice of Filing and Immediate Effectiveness of Proposed Change To Amend Its NYSE American Equities Price List and Fee Schedule and the NYSE American Options Fee Schedule To Extend for One Year a Fee Discount for the Partial Cabinet Solution Bundles Offered in Connection With the Exchange's Co-location Services2019-12-30T00:00:00-08:002019-12-30T00:00:00-08:002019-28169Noticehttps://www.govinfo.gov/content/pkg/FR-2019-12-30/pdf/2019-28169.pdfhttps://regulations.justia.com/regulations/fedreg/2019/12/30/2019-28168.htmlNotice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the NYSE Arca Options Fees and Charges and the NYSE Arca Equities Fees and Charges To Extend for One Year a Fee Discount for the Partial Cabinet Solution Bundles Offered in Connection With the Exchange's Co-location Services2019-12-30T00:00:00-08:002019-12-30T00:00:00-08:002019-28168Noticehttps://www.govinfo.gov/content/pkg/FR-2019-12-30/pdf/2019-28168.pdfhttps://regulations.justia.com/regulations/fedreg/2019/12/30/2019-28166.htmlNotice - Self-Regulatory Organizations; NYSE National, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Its Price List To Extend for One Year a Fee Discount for the Partial Cabinet Solution Bundles Offered in Connection With the Exchange's Co-Location Services2019-12-30T00:00:00-08:002019-12-30T00:00:00-08:002019-28166Noticehttps://www.govinfo.gov/content/pkg/FR-2019-12-30/pdf/2019-28166.pdfhttps://regulations.justia.com/regulations/fedreg/2019/12/30/2019-28089.htmlNotice - Self-Regulatory Organizations: Miami International Securities Exchange LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend, Reorganize and Enhance Its Membership, Registration and Qualification Rules and Consolidate These Rules Into New Chapter XIX Registration, Qualification and Continuing Education2019-12-30T00:00:00-08:002019-12-30T00:00:00-08:002019-28089Noticehttps://www.govinfo.gov/content/pkg/FR-2019-12-30/pdf/2019-28089.pdfhttps://regulations.justia.com/regulations/fedreg/2019/12/30/2019-28087.htmlNotice - Self-Regulatory Organizations; Fixed Income Clearing Corporation; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Include a New Foreign Legal Opinion Fee Applicable to Non-U.S. Membership Applicants, and Delete a Requirement for Direct Non-U.S. Members Relating to Annual Opinion Updates2019-12-30T00:00:00-08:002019-12-30T00:00:00-08:002019-28087Noticehttps://www.govinfo.gov/content/pkg/FR-2019-12-30/pdf/2019-28087.pdfhttps://regulations.justia.com/regulations/fedreg/2019/12/30/2019-28086.htmlNotice - Self-Regulatory Organizations: MIAX Emerald, LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Exchange Rule 100, Definitions; Exchange Rule 503, Openings on the Exchange; Exchange Rule 515, Execution of Orders and Quotes; Exchange Rule 516, Order Types Defined; Exchange Rule 517, Quote Types Defined; Exchange Rule 518, Complex Orders; and Exchange Rule 521, Nullification and Adjustment of Options Transactions Including Obvious Errors2019-12-30T00:00:00-08:002019-12-30T00:00:00-08:002019-28086Noticehttps://www.govinfo.gov/content/pkg/FR-2019-12-30/pdf/2019-28086.pdfhttps://regulations.justia.com/regulations/fedreg/2019/12/30/2019-28085.htmlNotice - Self-Regulatory Organizations; MIAX PEARL, LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Exchange Rule 100, Definitions, Exchange Rule 503, Openings on the Exchange, Exchange Rule 515, Execution of Orders, Exchange Rule 516, Order Types, and Exchange Rule 521, Nullification and Adjustment of Options Transactions Including Obvious Errors2019-12-30T00:00:00-08:002019-12-30T00:00:00-08:002019-28085Noticehttps://www.govinfo.gov/content/pkg/FR-2019-12-30/pdf/2019-28085.pdfhttps://regulations.justia.com/regulations/fedreg/2019/12/30/2019-28084.htmlNotice - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Order Approving Proposed Rule Change To Allow FINRA To Publish or Distribute Aggregated Transaction Information and Statistics on U.S. Treasury Securities2019-12-30T00:00:00-08:002019-12-30T00:00:00-08:002019-28084Noticehttps://www.govinfo.gov/content/pkg/FR-2019-12-30/pdf/2019-28084.pdfhttps://regulations.justia.com/regulations/fedreg/2019/12/30/2019-28083.htmlNotice - Self-Regulatory Organizations; Cboe BZX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Interpretation and Policy .01 of Rule 2.4 To Allow the Exchange To Provide Annual Notification to Individual Members That are Subject to Paragraph (b) of Rule 2.42019-12-30T00:00:00-08:002019-12-30T00:00:00-08:002019-28083Noticehttps://www.govinfo.gov/content/pkg/FR-2019-12-30/pdf/2019-28083.pdfhttps://regulations.justia.com/regulations/fedreg/2019/12/30/2019-28079.htmlNotice - Self-Regulatory Organizations; The Nasdaq Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Extend Through June 30, 2020 or the Date of Permanent Approval, if Earlier, the Penny Pilot Program2019-12-30T00:00:00-08:002019-12-30T00:00:00-08:002019-28079Noticehttps://www.govinfo.gov/content/pkg/FR-2019-12-30/pdf/2019-28079.pdfhttps://regulations.justia.com/regulations/fedreg/2019/12/30/2019-28077.htmlNotice - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Amending Annual Listing Fees for Equity Securities, Debt Securities, and Listed Structured Products Traded on NYSE Bonds2019-12-30T00:00:00-08:002019-12-30T00:00:00-08:002019-28077Noticehttps://www.govinfo.gov/content/pkg/FR-2019-12-30/pdf/2019-28077.pdfhttps://regulations.justia.com/regulations/fedreg/2019/12/30/2019-28076.htmlNotice - Self-Regulatory Organizations; Nasdaq MRX, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Adopt a New Rule Titled “Off-Exchange RWA Transfers” at MRX Options 6, Section 62019-12-30T00:00:00-08:002019-12-30T00:00:00-08:002019-28076Noticehttps://www.govinfo.gov/content/pkg/FR-2019-12-30/pdf/2019-28076.pdfhttps://regulations.justia.com/regulations/fedreg/2019/12/30/2019-28050.htmlNotice - Inter-American Development Bank; Notice of Application2019-12-30T00:00:00-08:002019-12-30T00:00:00-08:002019-28050Noticehttps://www.govinfo.gov/content/pkg/FR-2019-12-30/pdf/2019-28050.pdfhttps://regulations.justia.com/regulations/fedreg/2019/12/30/2019-28030.htmlNotice - Self-Regulatory Organizations; Nasdaq PHLX LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Adopt a New Rule Titled “Off-Exchange RWA Transfers” at Phlx Rule 10452019-12-30T00:00:00-08:002019-12-30T00:00:00-08:002019-28030Noticehttps://www.govinfo.gov/content/pkg/FR-2019-12-30/pdf/2019-28030.pdfhttps://regulations.justia.com/regulations/fedreg/2019/12/30/2019-28029.htmlNotice - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing of Proposed Rule Change, as Modified by Amendment No. 1, To Amend Chapter One of the Listed Company Manual To Modify the Provisions Relating to Direct Listings2019-12-30T00:00:00-08:002019-12-30T00:00:00-08:002019-28029Noticehttps://www.govinfo.gov/content/pkg/FR-2019-12-30/pdf/2019-28029.pdfhttps://regulations.justia.com/regulations/fedreg/2019/12/30/2019-28028.htmlNotice - Self-Regulatory Organizations; The Nasdaq Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Adopt a New Rule Titled “Off-Exchange RWA Transfers” at Options 6, Section 62019-12-30T00:00:00-08:002019-12-30T00:00:00-08:002019-28028Noticehttps://www.govinfo.gov/content/pkg/FR-2019-12-30/pdf/2019-28028.pdfhttps://regulations.justia.com/regulations/fedreg/2019/12/30/2019-28027.htmlNotice - Self-Regulatory Organizations; Nasdaq ISE, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Adopt a New Rule Titled “Off-Exchange RWA Transfers” at ISE Options 6, Section 62019-12-30T00:00:00-08:002019-12-30T00:00:00-08:002019-28027Noticehttps://www.govinfo.gov/content/pkg/FR-2019-12-30/pdf/2019-28027.pdfhttps://regulations.justia.com/regulations/fedreg/2019/12/30/2019-28026.htmlNotice - Self-Regulatory Organizations; Nasdaq GEMX, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Adopt a New Rule Titled “Off-Exchange RWA Transfers” at GEMX Options 6, Section 62019-12-30T00:00:00-08:002019-12-30T00:00:00-08:002019-28026Noticehttps://www.govinfo.gov/content/pkg/FR-2019-12-30/pdf/2019-28026.pdfhttps://regulations.justia.com/regulations/fedreg/2019/12/30/2019-28025.htmlNotice - Self-Regulatory Organizations; Nasdaq BX, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Adopt a New Rule Titled “Off-Exchange RWA Transfers” at BX Options 6, Section 62019-12-30T00:00:00-08:002019-12-30T00:00:00-08:002019-28025Noticehttps://www.govinfo.gov/content/pkg/FR-2019-12-30/pdf/2019-28025.pdfhttps://regulations.justia.com/regulations/fedreg/2019/12/30/2019-28024.htmlNotice - Self-Regulatory Organizations: Investors Exchange LLC; Notice of Filing of Proposed Rule Change To Add a New Discretionary Limit Order Type2019-12-30T00:00:00-08:002019-12-30T00:00:00-08:002019-28024Noticehttps://www.govinfo.gov/content/pkg/FR-2019-12-30/pdf/2019-28024.pdfhttps://regulations.justia.com/regulations/fedreg/2019/12/30/2019-28023.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, 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-E2019-12-30T00:00:00-08:002019-12-30T00:00:00-08:002019-28023Noticehttps://www.govinfo.gov/content/pkg/FR-2019-12-30/pdf/2019-28023.pdfhttps://regulations.justia.com/regulations/fedreg/2019/12/30/2019-28022.htmlNotice - Self-Regulatory Organizations; Nasdaq PHLX LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Rules 1000, 1014, 1034, 1068, 1080, 1087, 1090, and 10932019-12-30T00:00:00-08:002019-12-30T00:00:00-08:002019-28022Noticehttps://www.govinfo.gov/content/pkg/FR-2019-12-30/pdf/2019-28022.pdfhttps://regulations.justia.com/regulations/fedreg/2019/12/30/2019-28021.htmlNotice - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing of a Proposed Rule Change To Amend the Membership Application Program (“MAP”) Rules To Address the Issue of Pending Arbitration Claims2019-12-30T00:00:00-08:002019-12-30T00:00:00-08:002019-28021Noticehttps://www.govinfo.gov/content/pkg/FR-2019-12-30/pdf/2019-28021.pdfhttps://regulations.justia.com/regulations/fedreg/2019/12/30/2019-28003.htmlNotice - Asset Management Advisory Committee2019-12-30T00:00:00-08:002019-12-30T00:00:00-08:002019-28003Noticehttps://www.govinfo.gov/content/pkg/FR-2019-12-30/pdf/2019-28003.pdfhttps://regulations.justia.com/regulations/fedreg/2019/12/27/2019-27917.htmlNotice - Allianz Life Insurance Company of North America, et al; Notice of Application2019-12-27T00:00:00-08:002019-12-27T00:00:00-08:002019-27917Noticehttps://www.govinfo.gov/content/pkg/FR-2019-12-27/pdf/2019-27917.pdfhttps://regulations.justia.com/regulations/fedreg/2019/12/27/2019-27875.htmlNotice - Self-Regulatory Organizations; Cboe Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend the Silexx Trading Platform (“Silexx” or the “Platform”) Fees Schedule2019-12-27T00:00:00-08:002019-12-27T00:00:00-08:002019-27875Noticehttps://www.govinfo.gov/content/pkg/FR-2019-12-27/pdf/2019-27875.pdfhttps://regulations.justia.com/regulations/fedreg/2019/12/27/2019-27874.htmlNotice - Self-Regulatory Organizations; MIAX Emerald, LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Exchange Rule 515, Execution of Orders and Quotes2019-12-27T00:00:00-08:002019-12-27T00:00:00-08:002019-27874Noticehttps://www.govinfo.gov/content/pkg/FR-2019-12-27/pdf/2019-27874.pdfhttps://regulations.justia.com/regulations/fedreg/2019/12/27/2019-27873.htmlNotice - Self-Regulatory Organizations; Cboe Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Rule 8.10 To Remove the Attestation Filing Requirements in Connection With Trading Permit Holders' Policy and Procedures Regarding the Misuse of Material, Nonpublic Information2019-12-27T00:00:00-08:002019-12-27T00:00:00-08:002019-27873Noticehttps://www.govinfo.gov/content/pkg/FR-2019-12-27/pdf/2019-27873.pdfhttps://regulations.justia.com/regulations/fedreg/2019/12/27/2019-27872.htmlNotice - Self-Regulatory Organizations; ICE Clear Credit LLC; Order Approving Proposed Rule Change Relating to the ICC Default Auction Procedures-Initial Default Auctions and the ICC Secondary Auction Procedures2019-12-27T00:00:00-08:002019-12-27T00:00:00-08:002019-27872Noticehttps://www.govinfo.gov/content/pkg/FR-2019-12-27/pdf/2019-27872.pdfhttps://regulations.justia.com/regulations/fedreg/2019/12/27/2019-27871.htmlNotice - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change, as Modified by Partial Amendment No. 1, To Amend the Fees for NYSE BBO and NYSE Trades2019-12-27T00:00:00-08:002019-12-27T00:00:00-08:002019-27871Noticehttps://www.govinfo.gov/content/pkg/FR-2019-12-27/pdf/2019-27871.pdfhttps://regulations.justia.com/regulations/fedreg/2019/12/27/2019-27870.htmlNotice - Self-Regulatory Organizations; NYSE American LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change, as Modified by Partial Amendment No. 1, To Amend the Fees for NYSE American BBO and NYSE American Trades2019-12-27T00:00:00-08:002019-12-27T00:00:00-08:002019-27870Noticehttps://www.govinfo.gov/content/pkg/FR-2019-12-27/pdf/2019-27870.pdfhttps://regulations.justia.com/regulations/fedreg/2019/12/27/2019-27863.htmlNotice - Proposed Collection; Comment Request2019-12-27T00:00:00-08:002019-12-27T00:00:00-08:002019-27863Noticehttps://www.govinfo.gov/content/pkg/FR-2019-12-27/pdf/2019-27863.pdfhttps://regulations.justia.com/regulations/fedreg/2019/12/27/2019-27853.htmlNotice - Proposed Collection; Comment Request2019-12-27T00:00:00-08:002019-12-27T00:00:00-08:002019-27853Noticehttps://www.govinfo.gov/content/pkg/FR-2019-12-27/pdf/2019-27853.pdfhttps://regulations.justia.com/regulations/fedreg/2019/12/27/2019-27852.htmlNotice - Proposed Collection; Comment Request2019-12-27T00:00:00-08:002019-12-27T00:00:00-08:002019-27852Noticehttps://www.govinfo.gov/content/pkg/FR-2019-12-27/pdf/2019-27852.pdfhttps://regulations.justia.com/regulations/fedreg/2019/12/27/2019-23594.htmlProposed Rule - Filing Fee Disclosure and Payment Methods Modernization2019-12-27T00:00:00-08:002019-12-27T00:00:00-08:002019-23594Proposed Rulehttps://www.govinfo.gov/content/pkg/FR-2019-12-27/pdf/2019-23594.pdfhttps://regulations.justia.com/regulations/fedreg/2019/12/26/2019-27734.htmlNotice - Self-Regulatory Organizations; NYSE American LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Rule 967NY (Price Protection-Orders)2019-12-26T00:00:00-08:002019-12-26T00:00:00-08:002019-27734Noticehttps://www.govinfo.gov/content/pkg/FR-2019-12-26/pdf/2019-27734.pdfhttps://regulations.justia.com/regulations/fedreg/2019/12/26/2019-27733.htmlNotice - Self-Regulatory Organizations; Cboe Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Its Fees Schedule2019-12-26T00:00:00-08:002019-12-26T00:00:00-08:002019-27733Noticehttps://www.govinfo.gov/content/pkg/FR-2019-12-26/pdf/2019-27733.pdfhttps://regulations.justia.com/regulations/fedreg/2019/12/26/2019-27732.htmlNotice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing of Proposed Rule Change To List and Trade Shares of the AdvisorShares Pure US Cannabis ETF Under NYSE Arca Rule 8.600-E2019-12-26T00:00:00-08:002019-12-26T00:00:00-08:002019-27732Noticehttps://www.govinfo.gov/content/pkg/FR-2019-12-26/pdf/2019-27732.pdfhttps://regulations.justia.com/regulations/fedreg/2019/12/26/2019-27731.htmlNotice - Self-Regulatory Organizations; Investors Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend IEX Rule 11.190(e) To Expand the Exchange's Existing Anti-Internalization Functionality and Make Conforming and Clarifying Changes to IEX Rule 11.190(e) and Other IEX Rules2019-12-26T00:00:00-08:002019-12-26T00:00:00-08:002019-27731Noticehttps://www.govinfo.gov/content/pkg/FR-2019-12-26/pdf/2019-27731.pdfhttps://regulations.justia.com/regulations/fedreg/2019/12/26/2019-27730.htmlNotice - Self-Regulatory Organizations; NYSE National, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Establish Fees for the NYSE National Integrated Feed2019-12-26T00:00:00-08:002019-12-26T00:00:00-08:002019-27730Noticehttps://www.govinfo.gov/content/pkg/FR-2019-12-26/pdf/2019-27730.pdfhttps://regulations.justia.com/regulations/fedreg/2019/12/26/2019-27729.htmlNotice - Self-Regulatory Organizations; Miami International Securities Exchange LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Its Fee Schedule2019-12-26T00:00:00-08:002019-12-26T00:00:00-08:002019-27729Noticehttps://www.govinfo.gov/content/pkg/FR-2019-12-26/pdf/2019-27729.pdfhttps://regulations.justia.com/regulations/fedreg/2019/12/26/2019-27728.htmlNotice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the NYSE Arca Options Fee Schedule Relating to the MM FAANG Credit2019-12-26T00:00:00-08:002019-12-26T00:00:00-08:002019-27728Noticehttps://www.govinfo.gov/content/pkg/FR-2019-12-26/pdf/2019-27728.pdfhttps://regulations.justia.com/regulations/fedreg/2019/12/26/2019-27726.htmlNotice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change, as Modified by Partial Amendment No. 1, To Amend the Fees for NYSE Arca BBO and NYSE Arca Trades2019-12-26T00:00:00-08:002019-12-26T00:00:00-08:002019-27726Noticehttps://www.govinfo.gov/content/pkg/FR-2019-12-26/pdf/2019-27726.pdfhttps://regulations.justia.com/regulations/fedreg/2019/12/26/2019-27725.htmlNotice - Self-Regulatory Organizations; NYSE American LLC; Notice of Designation of a Longer Period for Commission Action on a Proposed Rule Change To Allow Certain Flexible Exchange Equity Options To Be Cash Settled2019-12-26T00:00:00-08:002019-12-26T00:00:00-08:002019-27725Noticehttps://www.govinfo.gov/content/pkg/FR-2019-12-26/pdf/2019-27725.pdfhttps://regulations.justia.com/regulations/fedreg/2019/12/26/2019-27724.htmlNotice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Rule 6.60-O (Price Protection-Orders)2019-12-26T00:00:00-08:002019-12-26T00:00:00-08:002019-27724Noticehttps://www.govinfo.gov/content/pkg/FR-2019-12-26/pdf/2019-27724.pdfhttps://regulations.justia.com/regulations/fedreg/2019/12/26/2019-27697.htmlNotice - Order Approving Public Company Accounting Oversight Board Budget and Annual Accounting Support Fee for Calendar Year 20202019-12-26T00:00:00-08:002019-12-26T00:00:00-08:002019-27697Noticehttps://www.govinfo.gov/content/pkg/FR-2019-12-26/pdf/2019-27697.pdfhttps://regulations.justia.com/regulations/fedreg/2019/12/26/2019-27696.htmlNotice - Program for Allocation of Regulatory Responsibilities Pursuant to Rule 17d-2; Notice of Filing and Order Approving and Declaring Effective an Amended Proposed Plan for the Allocation of Regulatory Responsibilities Between the Financial Industry Regulatory Authority, Inc., Cboe BZX Exchange, Inc., Cboe BYX Exchange, Inc., Cboe EDGA Exchange, Inc., and Cboe EDGX Exchange, Inc.2019-12-26T00:00:00-08:002019-12-26T00:00:00-08:002019-27696Noticehttps://www.govinfo.gov/content/pkg/FR-2019-12-26/pdf/2019-27696.pdfhttps://regulations.justia.com/regulations/fedreg/2019/12/26/2019-26563.htmlProposed Rule - Regulatory Agenda; Semiannual Regulatory Agenda2019-12-26T00:00:00-08:002019-12-26T00:00:00-08:002019-26563Proposed Rulehttps://www.govinfo.gov/content/pkg/FR-2019-12-26/pdf/2019-26563.pdfhttps://regulations.justia.com/regulations/fedreg/2019/12/23/2019-27594.htmlNotice - Self-Regulatory Organizations; NYSE American LLC; Notice of Filing and Immediate Effectiveness of Proposed Change To Amend the NYSE American Options Fee Schedule Relating to the MM FAANG Credit2019-12-23T00:00:00-08:002019-12-23T00:00:00-08:002019-27594Noticehttps://www.govinfo.gov/content/pkg/FR-2019-12-23/pdf/2019-27594.pdfhttps://regulations.justia.com/regulations/fedreg/2019/12/23/2019-27593.htmlNotice - Self-Regulatory Organizations; The Nasdaq Stock Market, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Relocate Rules From Its Current Rulebook Into Its New Rulebook Shell2019-12-23T00:00:00-08:002019-12-23T00:00:00-08:002019-27593Noticehttps://www.govinfo.gov/content/pkg/FR-2019-12-23/pdf/2019-27593.pdfhttps://regulations.justia.com/regulations/fedreg/2019/12/23/2019-27592.htmlNotice - Self-Regulatory Organizations; Cboe BZX Exchange, Inc.; Notice of Designation of a Longer Period for Commission Action on a Proposed Rule Change To Adopt BZX Rule 14.11(l) to Permit the Listing and Trading of Exchange-Traded Fund Shares That Are Permitted To Operate in Reliance on Rule 6c-11 Under the Investment Company Act of 19402019-12-23T00:00:00-08:002019-12-23T00:00:00-08:002019-27592Noticehttps://www.govinfo.gov/content/pkg/FR-2019-12-23/pdf/2019-27592.pdfhttps://regulations.justia.com/regulations/fedreg/2019/12/23/2019-27591.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 Nasdaq Rule 5704 and Other Related Amendments2019-12-23T00:00:00-08:002019-12-23T00:00:00-08:002019-27591Noticehttps://www.govinfo.gov/content/pkg/FR-2019-12-23/pdf/2019-27591.pdfhttps://regulations.justia.com/regulations/fedreg/2019/12/23/2019-27590.htmlNotice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Designation of a Longer Period for Commission Action on a Proposed Rule Change To Establish Generic Listing Standards for Derivative Securities Products That Are Permitted To Operate in Reliance on Rule 6c-11 Under the Investment Company Act of 19402019-12-23T00:00:00-08:002019-12-23T00:00:00-08:002019-27590Noticehttps://www.govinfo.gov/content/pkg/FR-2019-12-23/pdf/2019-27590.pdfhttps://regulations.justia.com/regulations/fedreg/2019/12/23/2019-27589.htmlNotice - Self-Regulatory Organizations; The Options Clearing Corporation; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Concerning an Agreement for Clearing and Settlement Services Between The Options Clearing Corporation and Small Exchange, Inc.2019-12-23T00:00:00-08:002019-12-23T00:00:00-08:002019-27589Noticehttps://www.govinfo.gov/content/pkg/FR-2019-12-23/pdf/2019-27589.pdfhttps://regulations.justia.com/regulations/fedreg/2019/12/23/2019-27588.htmlNotice - Self-Regulatory Organizations; Long-Term Stock Exchange; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Dual Listing2019-12-23T00:00:00-08:002019-12-23T00:00:00-08:002019-27588Noticehttps://www.govinfo.gov/content/pkg/FR-2019-12-23/pdf/2019-27588.pdfhttps://regulations.justia.com/regulations/fedreg/2019/12/23/2019-27587.htmlNotice - Self-Regulatory Organizations; ICE Clear Europe Limited; Notice of Filing of Proposed Rule Change Relating to the ICE Clear Europe Collateral and Haircut Policy and Collateral and Haircut Procedures2019-12-23T00:00:00-08:002019-12-23T00:00:00-08:002019-27587Noticehttps://www.govinfo.gov/content/pkg/FR-2019-12-23/pdf/2019-27587.pdfhttps://regulations.justia.com/regulations/fedreg/2019/12/23/2019-27586.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 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)2019-12-23T00:00:00-08:002019-12-23T00:00:00-08:002019-27586Noticehttps://www.govinfo.gov/content/pkg/FR-2019-12-23/pdf/2019-27586.pdfhttps://regulations.justia.com/regulations/fedreg/2019/12/23/2019-27585.htmlNotice - Self-Regulatory Organizations; Nasdaq PHLX LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Adopt a New Rule 10592019-12-23T00:00:00-08:002019-12-23T00:00:00-08:002019-27585Noticehttps://www.govinfo.gov/content/pkg/FR-2019-12-23/pdf/2019-27585.pdfhttps://regulations.justia.com/regulations/fedreg/2019/12/20/2019-27490.htmlProposed Rule - Credit Risk Retention-Notice of Commencement of Review2019-12-20T00:00:00-08:002019-12-20T00:00:00-08:002019-27490Proposed Rulehttps://www.govinfo.gov/content/pkg/FR-2019-12-20/pdf/2019-27490.pdfhttps://regulations.justia.com/regulations/fedreg/2019/12/20/2019-27461.htmlNotice - Self-Regulatory Organizations; Nasdaq MRX, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Options 3, Section 3 To Extend Through June 30, 2020 or the Date of Permanent Approval2019-12-20T00:00:00-08:002019-12-20T00:00:00-08:002019-27461Noticehttps://www.govinfo.gov/content/pkg/FR-2019-12-20/pdf/2019-27461.pdfhttps://regulations.justia.com/regulations/fedreg/2019/12/20/2019-27460.htmlNotice - Self-Regulatory Organizations; Cboe Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating To Amend Rule 5.72 To Eliminate the Requirement That Leg Prices Be Submitted Prior to the Time a Complex FLEX Order is Represented in an Open Outcry FLEX Auction2019-12-20T00:00:00-08:002019-12-20T00:00:00-08:002019-27460Noticehttps://www.govinfo.gov/content/pkg/FR-2019-12-20/pdf/2019-27460.pdfhttps://regulations.justia.com/regulations/fedreg/2019/12/20/2019-27459.htmlNotice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Permit the Continued Listing and Trading of Shares Under NYSE Arca Rule 8.600-E of the Cambria Core Equity ETF, a Series of Cambria ETF Trust2019-12-20T00:00:00-08:002019-12-20T00:00:00-08:002019-27459Noticehttps://www.govinfo.gov/content/pkg/FR-2019-12-20/pdf/2019-27459.pdfhttps://regulations.justia.com/regulations/fedreg/2019/12/20/2019-27458.htmlNotice - Self-Regulatory Organizations; Cboe Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Reflect the Financial Crimes Enforcement Network's Adoption of a Final Rule on Customer Due Diligence Requirements for Financial Institutions2019-12-20T00:00:00-08:002019-12-20T00:00:00-08:002019-27458Noticehttps://www.govinfo.gov/content/pkg/FR-2019-12-20/pdf/2019-27458.pdfhttps://regulations.justia.com/regulations/fedreg/2019/12/20/2019-27457.htmlNotice - Self-Regulatory Organizations; NYSE American LLC; Order Approving a Proposed Rule Change Regarding the Applicability and Functionality of Certain Order Types on the Exchange2019-12-20T00:00:00-08:002019-12-20T00:00:00-08:002019-27457Noticehttps://www.govinfo.gov/content/pkg/FR-2019-12-20/pdf/2019-27457.pdfhttps://regulations.justia.com/regulations/fedreg/2019/12/20/2019-27456.htmlNotice - Self-Regulatory Organizations; Nasdaq BX, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change to the Exchange's Transaction Fees and Credits and Qualified Market Maker Program, at Equity 7, Section 1182019-12-20T00:00:00-08:002019-12-20T00:00:00-08:002019-27456Noticehttps://www.govinfo.gov/content/pkg/FR-2019-12-20/pdf/2019-27456.pdfhttps://regulations.justia.com/regulations/fedreg/2019/12/20/2019-27455.htmlNotice - Self-Regulatory Organizations; Cboe BZX Exchange, Inc.; Notice of Filing of Amendment Nos. 4 and 5, and Order Granting Accelerated Approval of a Proposed Rule Change, as Modified by Amendment Nos. 4 and 5, To Adopt BZX Rule 14.11(k) To Permit the Listing and Trading of Managed Portfolio Shares2019-12-20T00:00:00-08:002019-12-20T00:00:00-08:002019-27455Noticehttps://www.govinfo.gov/content/pkg/FR-2019-12-20/pdf/2019-27455.pdfhttps://regulations.justia.com/regulations/fedreg/2019/12/20/2019-27454.htmlNotice - Self-Regulatory Organizations; NYSE Arca, Inc.; Order Approving a Proposed Rule Change Regarding the Applicability and Functionality of Certain Order Types on the Exchange2019-12-20T00:00:00-08:002019-12-20T00:00:00-08:002019-27454Noticehttps://www.govinfo.gov/content/pkg/FR-2019-12-20/pdf/2019-27454.pdfhttps://regulations.justia.com/regulations/fedreg/2019/12/20/2019-27453.htmlNotice - Self-Regulatory Organizations; Cboe EDGA Exchange, Inc.; Notice of Designation of Longer Period for Commission Action on Proceedings To Determine Whether To Approve or Disapprove a Proposed Rule Change To Introduce a Liquidity Provider Protection Delay Mechanism on EDGA2019-12-20T00:00:00-08:002019-12-20T00:00:00-08:002019-27453Noticehttps://www.govinfo.gov/content/pkg/FR-2019-12-20/pdf/2019-27453.pdfhttps://regulations.justia.com/regulations/fedreg/2019/12/20/2019-27452.htmlNotice - Self-Regulatory Organizations; The Depository Trust Company; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Extend the Implementation Timeframe for a Rule Change To Implement a New Algorithm for Transactions Processed in the Night Cycle2019-12-20T00:00:00-08:002019-12-20T00:00:00-08:002019-27452Noticehttps://www.govinfo.gov/content/pkg/FR-2019-12-20/pdf/2019-27452.pdfhttps://regulations.justia.com/regulations/fedreg/2019/12/20/2019-27451.htmlNotice - Self-Regulatory Organizations; National Securities Clearing Corporation; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Extend the Implementation Timeframe for an Approved Rule Change To Amend Procedure VII With Respect to the Receipt of CNS Securities and Make Other Changes2019-12-20T00:00:00-08:002019-12-20T00:00:00-08:002019-27451Noticehttps://www.govinfo.gov/content/pkg/FR-2019-12-20/pdf/2019-27451.pdfhttps://regulations.justia.com/regulations/fedreg/2019/12/20/2019-27450.htmlNotice - Self-Regulatory Organizations; Nasdaq BX, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Extend Through June 30, 2020 or The Date of Permanent Approval, if Earlier, the Penny Pilot Program2019-12-20T00:00:00-08:002019-12-20T00:00:00-08:002019-27450Noticehttps://www.govinfo.gov/content/pkg/FR-2019-12-20/pdf/2019-27450.pdfhttps://regulations.justia.com/regulations/fedreg/2019/12/20/2019-27449.htmlNotice - Self-Regulatory Organizations; Nasdaq GEMX, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Options 3, Section 3 (Minimum Trading Increments)2019-12-20T00:00:00-08:002019-12-20T00:00:00-08:002019-27449Noticehttps://www.govinfo.gov/content/pkg/FR-2019-12-20/pdf/2019-27449.pdfhttps://regulations.justia.com/regulations/fedreg/2019/12/20/2019-27448.htmlNotice - Self-Regulatory Organizations; Nasdaq ISE, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Options 3, Section 3 To Extend Through June 30, 2020 or the Date of Permanent Approval2019-12-20T00:00:00-08:002019-12-20T00:00:00-08:002019-27448Noticehttps://www.govinfo.gov/content/pkg/FR-2019-12-20/pdf/2019-27448.pdfhttps://regulations.justia.com/regulations/fedreg/2019/12/20/2019-27447.htmlNotice - Prospect Capital Corporation, et al.2019-12-20T00:00:00-08:002019-12-20T00:00:00-08:002019-27447Noticehttps://www.govinfo.gov/content/pkg/FR-2019-12-20/pdf/2019-27447.pdfhttps://regulations.justia.com/regulations/fedreg/2019/12/19/2019-27463.htmlNotice - Sunshine Act Meetings2019-12-19T00:00:00-08:002019-12-19T00:00:00-08:002019-27463Noticehttps://www.govinfo.gov/content/pkg/FR-2019-12-19/pdf/2019-27463.pdfhttps://regulations.justia.com/regulations/fedreg/2019/12/19/2019-27350.htmlNotice - Self-Regulatory Organizations; Nasdaq PHLX LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Phlx Rule 10342019-12-19T00:00:00-08:002019-12-19T00:00:00-08:002019-27350Noticehttps://www.govinfo.gov/content/pkg/FR-2019-12-19/pdf/2019-27350.pdfhttps://regulations.justia.com/regulations/fedreg/2019/12/19/2019-27349.htmlNotice - Self-Regulatory Organizations; Cboe EDGX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Reflect the Financial Crimes Enforcement Network's Adoption of a Final Rule on Customer Due Diligence Requirements for Financial Institutions2019-12-19T00:00:00-08:002019-12-19T00:00:00-08:002019-27349Noticehttps://www.govinfo.gov/content/pkg/FR-2019-12-19/pdf/2019-27349.pdfhttps://regulations.justia.com/regulations/fedreg/2019/12/19/2019-27348.htmlNotice - Self-Regulatory Organizations; Cboe EDGA Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Reflect the Financial Crimes Enforcement Network's Adoption of a Final Rule on Customer Due Diligence Requirements for Financial Institutions2019-12-19T00:00:00-08:002019-12-19T00:00:00-08:002019-27348Noticehttps://www.govinfo.gov/content/pkg/FR-2019-12-19/pdf/2019-27348.pdfhttps://regulations.justia.com/regulations/fedreg/2019/12/19/2019-27347.htmlNotice - Self-Regulatory Organizations; Cboe BZX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Reflect the Financial Crimes Enforcement Network's Adoption of a Final Rule on Customer Due Diligence Requirements for Financial Institutions2019-12-19T00:00:00-08:002019-12-19T00:00:00-08:002019-27347Noticehttps://www.govinfo.gov/content/pkg/FR-2019-12-19/pdf/2019-27347.pdfhttps://regulations.justia.com/regulations/fedreg/2019/12/19/2019-27346.htmlNotice - Self-Regulatory Organizations; Cboe BYX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Reflect the Financial Crimes Enforcement Network's Adoption of a Final Rule on Customer Due Diligence Requirements for Financial Institutions2019-12-19T00:00:00-08:002019-12-19T00:00:00-08:002019-27346Noticehttps://www.govinfo.gov/content/pkg/FR-2019-12-19/pdf/2019-27346.pdfhttps://regulations.justia.com/regulations/fedreg/2019/12/19/2019-27345.htmlNotice - Self-Regulatory Organizations; Cboe Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating To Amend Its Fees Schedule2019-12-19T00:00:00-08:002019-12-19T00:00:00-08:002019-27345Noticehttps://www.govinfo.gov/content/pkg/FR-2019-12-19/pdf/2019-27345.pdfhttps://regulations.justia.com/regulations/fedreg/2019/12/19/2019-27344.htmlNotice - Self-Regulatory Organizations; Cboe EDGX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Rule 21.5 by Extending the Penny Pilot Program Through June 30, 20202019-12-19T00:00:00-08:002019-12-19T00:00:00-08:002019-27344Noticehttps://www.govinfo.gov/content/pkg/FR-2019-12-19/pdf/2019-27344.pdfhttps://regulations.justia.com/regulations/fedreg/2019/12/19/2019-27343.htmlNotice - Self-Regulatory Organizations; Cboe BZX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating To Amend Rule 5.4 by Extending the Penny Pilot Program Through June 30, 20202019-12-19T00:00:00-08:002019-12-19T00:00:00-08:002019-27343Noticehttps://www.govinfo.gov/content/pkg/FR-2019-12-19/pdf/2019-27343.pdfhttps://regulations.justia.com/regulations/fedreg/2019/12/19/2019-27342.htmlNotice - Self-Regulatory Organizations; Cboe Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating To Amend Rule 5.4 by Extending the Penny Pilot Program Through June 30, 20202019-12-19T00:00:00-08:002019-12-19T00:00:00-08:002019-27342Noticehttps://www.govinfo.gov/content/pkg/FR-2019-12-19/pdf/2019-27342.pdfhttps://regulations.justia.com/regulations/fedreg/2019/12/19/2019-27341.htmlNotice - Self-Regulatory Organizations; Cboe C2 Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating To Amend Rule 6.4 by Extending the Penny Pilot Program Through June 30, 20202019-12-19T00:00:00-08:002019-12-19T00:00:00-08:002019-27341Noticehttps://www.govinfo.gov/content/pkg/FR-2019-12-19/pdf/2019-27341.pdfhttps://regulations.justia.com/regulations/fedreg/2019/12/18/2019-27216.htmlNotice - Self-Regulatory Organizations; NYSE Chicago, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Its Fee Schedule To Adopt Fees for Orders That Are Routed to Other Markets for Execution, and Delete Text That Became Obsolete Upon the Exchange's Transition to the Pillar Trading Platform2019-12-18T00:00:00-08:002019-12-18T00:00:00-08:002019-27216Noticehttps://www.govinfo.gov/content/pkg/FR-2019-12-18/pdf/2019-27216.pdfhttps://regulations.justia.com/regulations/fedreg/2019/12/18/2019-27212.htmlNotice - Self-Regulatory Organizations; The Nasdaq Stock Market LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Exchange Rule 5515 Which Governs the Listing of Warrants on the Nasdaq Capital Market To Replace the Current Requirement That a Warrant Have 400 Round-Lot Holders With a Revised Requirement of 100 Holders That Are Both Public Holders and Round-Lot Holders2019-12-18T00:00:00-08:002019-12-18T00:00:00-08:002019-27212Noticehttps://www.govinfo.gov/content/pkg/FR-2019-12-18/pdf/2019-27212.pdfhttps://regulations.justia.com/regulations/fedreg/2019/12/18/2019-27206.htmlNotice - Self-Regulatory Organizations; The Depository Trust Company; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the Distributions Guide and the Fee Guide Relating to Tax Events2019-12-18T00:00:00-08:002019-12-18T00:00:00-08:002019-27206Noticehttps://www.govinfo.gov/content/pkg/FR-2019-12-18/pdf/2019-27206.pdfhttps://regulations.justia.com/regulations/fedreg/2019/12/18/2019-27204.htmlNotice - Self-Regulatory Organizations; Nasdaq PHLX LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Securities Traded Pursuant to Unlisted Trading Privileges2019-12-18T00:00:00-08:002019-12-18T00:00:00-08:002019-27204Noticehttps://www.govinfo.gov/content/pkg/FR-2019-12-18/pdf/2019-27204.pdfhttps://regulations.justia.com/regulations/fedreg/2019/12/18/2019-27199.htmlNotice - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Its Price List2019-12-18T00:00:00-08:002019-12-18T00:00:00-08:002019-27199Noticehttps://www.govinfo.gov/content/pkg/FR-2019-12-18/pdf/2019-27199.pdfhttps://regulations.justia.com/regulations/fedreg/2019/12/18/2019-27198.htmlNotice - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Modify the Securities Transaction Credits Applicable to FINRA/Nasdaq TRF Participants2019-12-18T00:00:00-08:002019-12-18T00:00:00-08:002019-27198Noticehttps://www.govinfo.gov/content/pkg/FR-2019-12-18/pdf/2019-27198.pdfhttps://regulations.justia.com/regulations/fedreg/2019/12/18/2019-27197.htmlNotice - Self-Regulatory Organizations; ICE Clear Europe Limited; Notice of Filing of Proposed Rule Change, as Modified by Partial Amendment No. 1, Relating to Amendments to the ICE Clear Europe CDS Procedures2019-12-18T00:00:00-08:002019-12-18T00:00:00-08:002019-27197Noticehttps://www.govinfo.gov/content/pkg/FR-2019-12-18/pdf/2019-27197.pdfhttps://regulations.justia.com/regulations/fedreg/2019/12/18/2019-27196.htmlNotice - Self-Regulatory Organizations; The Nasdaq Stock Market LLC; Notice of Designation of a Longer Period for Commission Action on Proceedings To Determine Whether To Approve or Disapprove a Proposed Rule Change To Amend the Definition of Family Member in Listing Rule 5605(a)(2) for Purposes of the Definition of Independent Director2019-12-18T00:00:00-08:002019-12-18T00:00:00-08:002019-27196Noticehttps://www.govinfo.gov/content/pkg/FR-2019-12-18/pdf/2019-27196.pdfhttps://regulations.justia.com/regulations/fedreg/2019/12/18/2019-27194.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 Migration2019-12-18T00:00:00-08:002019-12-18T00:00:00-08:002019-27194Noticehttps://www.govinfo.gov/content/pkg/FR-2019-12-18/pdf/2019-27194.pdfhttps://regulations.justia.com/regulations/fedreg/2019/12/17/2019-27092.htmlNotice - Self-Regulatory Organizations; LCH SA; Order Approving Rule Change Relating to the Updated 2018 Version of the Recovery Plan2019-12-17T00:00:00-08:002019-12-17T00:00:00-08:002019-27092Noticehttps://www.govinfo.gov/content/pkg/FR-2019-12-17/pdf/2019-27092.pdfhttps://regulations.justia.com/regulations/fedreg/2019/12/17/2019-27089.htmlNotice - Self-Regulatory Organizations; Cboe BZX Exchange, Inc.; Notice of Filing of a Proposed Rule Change To List and Trade Shares of the Clearbridge Focus Value ETF Under Currently Proposed Rule 14.11(k)2019-12-17T00:00:00-08:002019-12-17T00:00:00-08:002019-27089Noticehttps://www.govinfo.gov/content/pkg/FR-2019-12-17/pdf/2019-27089.pdfhttps://regulations.justia.com/regulations/fedreg/2019/12/17/2019-27087.htmlNotice - Self-Regulatory Organizations; the Options Clearing Corporation; Order Approving 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 Risk2019-12-17T00:00:00-08:002019-12-17T00:00:00-08:002019-27087Noticehttps://www.govinfo.gov/content/pkg/FR-2019-12-17/pdf/2019-27087.pdfhttps://regulations.justia.com/regulations/fedreg/2019/12/17/2019-27082.htmlNotice - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing of Proposed Rule Change To Amend Its Rules To Add New Rule 7.19 (Pre-Trade Risk Controls)2019-12-17T00:00:00-08:002019-12-17T00:00:00-08:002019-27082Noticehttps://www.govinfo.gov/content/pkg/FR-2019-12-17/pdf/2019-27082.pdfhttps://regulations.justia.com/regulations/fedreg/2019/12/17/2019-27081.htmlNotice - Self-Regulatory Organizations; the Options Clearing Corporation; Order Approving Proposed Rule Change Related to Proposed Changes to the Options Clearing Corporation's Rules, Clearing Fund Methodology Policy, and Clearing Fund and Stress Testing Methodology2019-12-17T00:00:00-08:002019-12-17T00:00:00-08:002019-27081Noticehttps://www.govinfo.gov/content/pkg/FR-2019-12-17/pdf/2019-27081.pdfhttps://regulations.justia.com/regulations/fedreg/2019/12/17/2019-27080.htmlNotice - Self-Regulatory Organizations; The Nasdaq Stock Market LLC; Notice of Filing of Proposed Rule Change To Amend Rule 5815 To Preclude Stay During Hearing Panel Review of Staff Delisting Determinations in Certain Circumstances2019-12-17T00:00:00-08:002019-12-17T00:00:00-08:002019-27080Noticehttps://www.govinfo.gov/content/pkg/FR-2019-12-17/pdf/2019-27080.pdfhttps://regulations.justia.com/regulations/fedreg/2019/12/17/2019-26816.htmlNotice - Joint Industry Plan; Notice of Filing of Amendment No. 5 to the Plan for the Purpose of Developing and Implementing Procedures Designed To Facilitate the Listing and Trading of Standardized Options To Adopt a Penny Interval Program2019-12-17T00:00:00-08:002019-12-17T00:00:00-08:002019-26816Noticehttps://www.govinfo.gov/content/pkg/FR-2019-12-17/pdf/2019-26816.pdfhttps://regulations.justia.com/regulations/fedreg/2019/12/16/2019-27111.htmlNotice - Sunshine Act Meetings2019-12-16T00:00:00-08:002019-12-16T00:00:00-08:002019-27111Noticehttps://www.govinfo.gov/content/pkg/FR-2019-12-16/pdf/2019-27111.pdfhttps://regulations.justia.com/regulations/fedreg/2019/12/16/2019-26992.htmlNotice - Self-Regulatory Organizations; Cboe C2 Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the Maximum Composite Width Check of the Opening Rotation as Provided in Subparagraph (e)(1) of Exchange Rule 6.112019-12-16T00:00:00-08:002019-12-16T00:00:00-08:002019-26992Noticehttps://www.govinfo.gov/content/pkg/FR-2019-12-16/pdf/2019-26992.pdfhttps://regulations.justia.com/regulations/fedreg/2019/12/16/2019-26991.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 Program2019-12-16T00:00:00-08:002019-12-16T00:00:00-08:002019-26991Noticehttps://www.govinfo.gov/content/pkg/FR-2019-12-16/pdf/2019-26991.pdfhttps://regulations.justia.com/regulations/fedreg/2019/12/16/2019-26990.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 Program2019-12-16T00:00:00-08:002019-12-16T00:00:00-08:002019-26990Noticehttps://www.govinfo.gov/content/pkg/FR-2019-12-16/pdf/2019-26990.pdfhttps://regulations.justia.com/regulations/fedreg/2019/12/16/2019-26989.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 Program2019-12-16T00:00:00-08:002019-12-16T00:00:00-08:002019-26989Noticehttps://www.govinfo.gov/content/pkg/FR-2019-12-16/pdf/2019-26989.pdfhttps://regulations.justia.com/regulations/fedreg/2019/12/16/2019-26988.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 Program2019-12-16T00:00:00-08:002019-12-16T00:00:00-08:002019-26988Noticehttps://www.govinfo.gov/content/pkg/FR-2019-12-16/pdf/2019-26988.pdfhttps://regulations.justia.com/regulations/fedreg/2019/12/16/2019-26987.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 Remove the QOO Order Rebate Cap2019-12-16T00:00:00-08:002019-12-16T00:00:00-08:002019-26987Noticehttps://www.govinfo.gov/content/pkg/FR-2019-12-16/pdf/2019-26987.pdfhttps://regulations.justia.com/regulations/fedreg/2019/12/16/2019-26986.htmlNotice - Self-Regulatory Organizations; Cboe EDGX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the Maximum Composite Width Check of the Opening Rotation as Provided in Subparagraph (e)(1) of Exchange Rule 21.72019-12-16T00:00:00-08:002019-12-16T00:00:00-08:002019-26986Noticehttps://www.govinfo.gov/content/pkg/FR-2019-12-16/pdf/2019-26986.pdfhttps://regulations.justia.com/regulations/fedreg/2019/12/16/2019-26985.htmlNotice - Self-Regulatory Organizations; The Nasdaq Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the Exchange's Transaction Fees at Equity 7, Section 118(a)2019-12-16T00:00:00-08:002019-12-16T00:00:00-08:002019-26985Noticehttps://www.govinfo.gov/content/pkg/FR-2019-12-16/pdf/2019-26985.pdfhttps://regulations.justia.com/regulations/fedreg/2019/12/16/2019-26983.htmlNotice - Self-Regulatory Organizations; Cboe Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the Maximum Composite Width Check of the Opening Rotation as Provided in Subparagraph (e)(1) of Exchange Rule 5.312019-12-16T00:00:00-08:002019-12-16T00:00:00-08:002019-26983Noticehttps://www.govinfo.gov/content/pkg/FR-2019-12-16/pdf/2019-26983.pdfhttps://regulations.justia.com/regulations/fedreg/2019/12/16/2019-20678.htmlRule - Recordkeeping and Reporting Requirements for Security-Based Swap Dealers, Major Security-Based Swap Participants, and Broker-Dealers2019-12-16T00:00:00-08:002019-12-16T00:00:00-08:002019-20678Rulehttps://www.govinfo.gov/content/pkg/FR-2019-12-16/pdf/2019-20678.pdfhttps://regulations.justia.com/regulations/fedreg/2019/12/13/2019-26870.htmlNotice - Proposed Collection; Comment Request2019-12-13T00:00:00-08:002019-12-13T00:00:00-08:002019-26870Noticehttps://www.govinfo.gov/content/pkg/FR-2019-12-13/pdf/2019-26870.pdfhttps://regulations.justia.com/regulations/fedreg/2019/12/13/2019-26869.htmlNotice - Proposed Collection; Comment Request2019-12-13T00:00:00-08:002019-12-13T00:00:00-08:002019-26869Noticehttps://www.govinfo.gov/content/pkg/FR-2019-12-13/pdf/2019-26869.pdfhttps://regulations.justia.com/regulations/fedreg/2019/12/13/2019-26868.htmlNotice - Proposed Collection; Comment Request2019-12-13T00:00:00-08:002019-12-13T00:00:00-08:002019-26868Noticehttps://www.govinfo.gov/content/pkg/FR-2019-12-13/pdf/2019-26868.pdfhttps://regulations.justia.com/regulations/fedreg/2019/12/13/2019-26853.htmlNotice - Self-Regulatory Organizations; NYSE National, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Its Schedule of Fees and Rebates2019-12-13T00:00:00-08:002019-12-13T00:00:00-08:002019-26853Noticehttps://www.govinfo.gov/content/pkg/FR-2019-12-13/pdf/2019-26853.pdfhttps://regulations.justia.com/regulations/fedreg/2019/12/13/2019-26852.htmlNotice - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending the Exchange's Price List Related to Co-Location Services2019-12-13T00:00:00-08:002019-12-13T00:00:00-08:002019-26852Noticehttps://www.govinfo.gov/content/pkg/FR-2019-12-13/pdf/2019-26852.pdfhttps://regulations.justia.com/regulations/fedreg/2019/12/13/2019-26851.htmlNotice - Self-Regulatory Organizations; Cboe EDGX Exchange, Inc.; Order Approving a Proposed Rule Change To Adopt Rule 21.23 (Complex Solicitation Auction Mechanism)2019-12-13T00:00:00-08:002019-12-13T00:00:00-08:002019-26851Noticehttps://www.govinfo.gov/content/pkg/FR-2019-12-13/pdf/2019-26851.pdfhttps://regulations.justia.com/regulations/fedreg/2019/12/13/2019-26847.htmlNotice - Self-Regulatory Organizations; NYSE National, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending the Exchange's Price List Related to Co-Location Services2019-12-13T00:00:00-08:002019-12-13T00:00:00-08:002019-26847Noticehttps://www.govinfo.gov/content/pkg/FR-2019-12-13/pdf/2019-26847.pdfhttps://regulations.justia.com/regulations/fedreg/2019/12/13/2019-26846.htmlNotice - Self-Regulatory Organizations; New York Stock Exchange LLC; NYSE National, Inc.; NYSE Arca, Inc.; NYSE American LLC; Order Instituting Proceedings To Determine Whether To Approve or Disapprove Proposed Rule Changes To Amend the Exchanges' Co-Location Price Lists To Offer Co-Location Users Access to the NMS Network and Establish Associated Fees2019-12-13T00:00:00-08:002019-12-13T00:00:00-08:002019-26846Noticehttps://www.govinfo.gov/content/pkg/FR-2019-12-13/pdf/2019-26846.pdfhttps://regulations.justia.com/regulations/fedreg/2019/12/13/2019-26845.htmlNotice - Self-Regulatory Organizations; The Depository Trust Company; Order Approving a Proposed Rule Change To Require Confirmation of Cybersecurity Program2019-12-13T00:00:00-08:002019-12-13T00:00:00-08:002019-26845Noticehttps://www.govinfo.gov/content/pkg/FR-2019-12-13/pdf/2019-26845.pdfhttps://regulations.justia.com/regulations/fedreg/2019/12/13/2019-26844.htmlNotice - Self-Regulatory Organizations; Fixed Income Clearing Corporation; Order Approving a Proposed Rule Change To Require Confirmation of Cybersecurity Program2019-12-13T00:00:00-08:002019-12-13T00:00:00-08:002019-26844Noticehttps://www.govinfo.gov/content/pkg/FR-2019-12-13/pdf/2019-26844.pdfhttps://regulations.justia.com/regulations/fedreg/2019/12/13/2019-26843.htmlNotice - Self-Regulatory Organizations; National Securities Clearing Corporation; Order Approving a Proposed Rule Change To Require Confirmation of Cybersecurity Program2019-12-13T00:00:00-08:002019-12-13T00:00:00-08:002019-26843Noticehttps://www.govinfo.gov/content/pkg/FR-2019-12-13/pdf/2019-26843.pdfhttps://regulations.justia.com/regulations/fedreg/2019/12/13/2019-26842.htmlNotice - Self-Regulatory Organizations; Miami International Securities Exchange, LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Exchange Rule 1400, Definitions2019-12-13T00:00:00-08:002019-12-13T00:00:00-08:002019-26842Noticehttps://www.govinfo.gov/content/pkg/FR-2019-12-13/pdf/2019-26842.pdfhttps://regulations.justia.com/regulations/fedreg/2019/12/13/2019-26841.htmlNotice - Self-Regulatory Organizations; Nasdaq PHLX LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Order Types and Remove and Relocate Certain Rule Text Currently Located Within Rule 10802019-12-13T00:00:00-08:002019-12-13T00:00:00-08:002019-26841Noticehttps://www.govinfo.gov/content/pkg/FR-2019-12-13/pdf/2019-26841.pdfhttps://regulations.justia.com/regulations/fedreg/2019/12/13/2019-26840.htmlNotice - Self-Regulatory Organizations; Cboe BYX Exchange, Inc.; Notice of Withdrawal of a Proposed Rule Change To Amend the Fee Schedule Assessed on Members To Establish a Monthly Trading Rights Fee2019-12-13T00:00:00-08:002019-12-13T00:00:00-08:002019-26840Noticehttps://www.govinfo.gov/content/pkg/FR-2019-12-13/pdf/2019-26840.pdfhttps://regulations.justia.com/regulations/fedreg/2019/12/13/2019-26839.htmlNotice - Self-Regulatory Organizations; Cboe BYX Exchange, Inc.; Notice of Withdrawal of a Proposed Rule Change To Amend the Fee Schedule Assessed on Members To Establish a Monthly Trading Rights Fee2019-12-13T00:00:00-08:002019-12-13T00:00:00-08:002019-26839Noticehttps://www.govinfo.gov/content/pkg/FR-2019-12-13/pdf/2019-26839.pdfhttps://regulations.justia.com/regulations/fedreg/2019/12/13/2019-26838.htmlNotice - Self-Regulatory Organizations; Cboe BZX Exchange, Inc.; Notice of Withdrawal of a Proposed Rule Change To Amend the Fee Schedule Assessed on Members To Establish a Monthly Trading Rights Fee2019-12-13T00:00:00-08:002019-12-13T00:00:00-08:002019-26838Noticehttps://www.govinfo.gov/content/pkg/FR-2019-12-13/pdf/2019-26838.pdfhttps://regulations.justia.com/regulations/fedreg/2019/12/13/2019-26837.htmlNotice - Self-Regulatory Organizations; Cboe BZX Exchange, Inc.; Notice of Withdrawal of a Proposed Rule Change To Amend the Fee Schedule Assessed on Members To Establish a Monthly Trading Rights Fee2019-12-13T00:00:00-08:002019-12-13T00:00:00-08:002019-26837Noticehttps://www.govinfo.gov/content/pkg/FR-2019-12-13/pdf/2019-26837.pdfhttps://regulations.justia.com/regulations/fedreg/2019/12/13/2019-26836.htmlNotice - Self-Regulatory Organizations; NYSE Chicago, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending the Fee Schedule of NYSE Chicago, Inc. Related to Co-Location Services2019-12-13T00:00:00-08:002019-12-13T00:00:00-08:002019-26836Noticehttps://www.govinfo.gov/content/pkg/FR-2019-12-13/pdf/2019-26836.pdfhttps://regulations.justia.com/regulations/fedreg/2019/12/13/2019-26835.htmlNotice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending the NYSE Arca Options Fees and Charges and the NYSE Arca Equities Fees and Charges Related to Co-Location Services2019-12-13T00:00:00-08:002019-12-13T00:00:00-08:002019-26835Noticehttps://www.govinfo.gov/content/pkg/FR-2019-12-13/pdf/2019-26835.pdfhttps://regulations.justia.com/regulations/fedreg/2019/12/13/2019-26834.htmlNotice - Self-Regulatory Organizations; NYSE American LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amending Its NYSE American Equities Price List and Fee Schedule and the NYSE American Options Fee Schedule Related to Co-Location Services2019-12-13T00:00:00-08:002019-12-13T00:00:00-08:002019-26834Noticehttps://www.govinfo.gov/content/pkg/FR-2019-12-13/pdf/2019-26834.pdfhttps://regulations.justia.com/regulations/fedreg/2019/12/12/2019-26955.htmlNotice - Sunshine Act Meetings2019-12-12T00:00:00-08:002019-12-12T00:00:00-08:002019-26955Noticehttps://www.govinfo.gov/content/pkg/FR-2019-12-12/pdf/2019-26955.pdfhttps://regulations.justia.com/regulations/fedreg/2019/12/12/2019-26810.htmlNotice - Self-Regulatory Organizations; Cboe Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating To Amend Rule 5.31, Opening Auction Process2019-12-12T00:00:00-08:002019-12-12T00:00:00-08:002019-26810Noticehttps://www.govinfo.gov/content/pkg/FR-2019-12-12/pdf/2019-26810.pdfhttps://regulations.justia.com/regulations/fedreg/2019/12/12/2019-26733.htmlNotice - Self-Regulatory Organizations; Cboe EDGX Exchange, Inc; Notice of Withdrawal of a Proposed Rule Change To Amend the Fee Schedule Assessed on Members To Establish a Monthly Trading Rights Fee2019-12-12T00:00:00-08:002019-12-12T00:00:00-08:002019-26733Noticehttps://www.govinfo.gov/content/pkg/FR-2019-12-12/pdf/2019-26733.pdfhttps://regulations.justia.com/regulations/fedreg/2019/12/12/2019-26732.htmlNotice - Self-Regulatory Organizations; Cboe EDGX Exchange, Inc; Notice of Withdrawal of a Proposed Rule Change To Amend the Fee Schedule Assessed on Members To Establish a Monthly Trading Rights Fee2019-12-12T00:00:00-08:002019-12-12T00:00:00-08:002019-26732Noticehttps://www.govinfo.gov/content/pkg/FR-2019-12-12/pdf/2019-26732.pdfhttps://regulations.justia.com/regulations/fedreg/2019/12/12/2019-26731.htmlNotice - Self-Regulatory Organizations; Cboe EDGA Exchange, Inc; Notice of Withdrawal of a Proposed Rule Change To Amend the Fee Schedule Assessed on Members To Establish a Monthly Trading Rights Fee2019-12-12T00:00:00-08:002019-12-12T00:00:00-08:002019-26731Noticehttps://www.govinfo.gov/content/pkg/FR-2019-12-12/pdf/2019-26731.pdfhttps://regulations.justia.com/regulations/fedreg/2019/12/12/2019-26730.htmlNotice - Self-Regulatory Organizations; The Options Clearing Corporation; Notice of No Objection To Advance Notice Related To Proposed Changes to The Options Clearing Corporation's Rules, Clearing Fund Methodology Policy, and Clearing Fund and Stress Testing Methodology2019-12-12T00:00:00-08:002019-12-12T00:00:00-08:002019-26730Noticehttps://www.govinfo.gov/content/pkg/FR-2019-12-12/pdf/2019-26730.pdfhttps://regulations.justia.com/regulations/fedreg/2019/12/12/2019-26729.htmlNotice - Self-Regulatory Organizations; Cboe EDGA Exchange, Inc; Notice of Withdrawal of a Proposed Rule Change To Amend the Fee Schedule Assessed on Members To Establish a Monthly Trading Rights Fee2019-12-12T00:00:00-08:002019-12-12T00:00:00-08:002019-26729Noticehttps://www.govinfo.gov/content/pkg/FR-2019-12-12/pdf/2019-26729.pdfhttps://regulations.justia.com/regulations/fedreg/2019/12/12/2019-26728.htmlNotice - Self-Regulatory Organizations; The Nasdaq Stock Market LLC; Notice of Filing of Proposed Rule Change To Adopt a New Rule Permitting Nasdaq To Halt Trading in a Security and Request Information From the Company Regarding the Number of Unrestricted Publicly Held Shares in Certain Circumstances and in Certain Circumstances Request a Plan To Increase the Number of Unrestricted Publicly Held Shares to an Amount That Is Higher Than the Applicable Publicly Held Shares Requirement2019-12-12T00:00:00-08:002019-12-12T00:00:00-08:002019-26728Noticehttps://www.govinfo.gov/content/pkg/FR-2019-12-12/pdf/2019-26728.pdfhttps://regulations.justia.com/regulations/fedreg/2019/12/12/2019-26727.htmlNotice - Self-Regulatory Organizations; The Options Clearing Corporation; Notice of No Objection To Advance Notice 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 Risk2019-12-12T00:00:00-08:002019-12-12T00:00:00-08:002019-26727Noticehttps://www.govinfo.gov/content/pkg/FR-2019-12-12/pdf/2019-26727.pdfhttps://regulations.justia.com/regulations/fedreg/2019/12/11/2019-26641.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 Permit the Exchange To List and Trade Exchange Traded Products2019-12-11T00:00:00-08:002019-12-11T00:00:00-08:002019-26641Noticehttps://www.govinfo.gov/content/pkg/FR-2019-12-11/pdf/2019-26641.pdfhttps://regulations.justia.com/regulations/fedreg/2019/12/11/2019-26629.htmlNotice - Proposed Collection; Comment Request2019-12-11T00:00:00-08:002019-12-11T00:00:00-08:002019-26629Noticehttps://www.govinfo.gov/content/pkg/FR-2019-12-11/pdf/2019-26629.pdfhttps://regulations.justia.com/regulations/fedreg/2019/12/11/2019-26628.htmlNotice - Submission for OMB Review; Comment Request2019-12-11T00:00:00-08:002019-12-11T00:00:00-08:002019-26628Noticehttps://www.govinfo.gov/content/pkg/FR-2019-12-11/pdf/2019-26628.pdfhttps://regulations.justia.com/regulations/fedreg/2019/12/11/2019-26627.htmlNotice - Proposed Collection; Comment Request2019-12-11T00:00:00-08:002019-12-11T00:00:00-08:002019-26627Noticehttps://www.govinfo.gov/content/pkg/FR-2019-12-11/pdf/2019-26627.pdfhttps://regulations.justia.com/regulations/fedreg/2019/12/10/2019-26498.htmlNotice - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Order Granting Approval of a Proposed Rule Change, as Modified by Amendment No. 2, To Establish a Corporate Bond New Issue Reference Data Service2019-12-10T00:00:00-08:002019-12-10T00:00:00-08:002019-26498Noticehttps://www.govinfo.gov/content/pkg/FR-2019-12-10/pdf/2019-26498.pdfhttps://regulations.justia.com/regulations/fedreg/2019/12/10/2019-26497.htmlNotice - Self-Regulatory Organizations; LCH SA; Notice of Filing of Proposed Rule Change Relating to Amendments to LCH SA's Liquidity Risk Modelling Framework2019-12-10T00:00:00-08:002019-12-10T00:00:00-08:002019-26497Noticehttps://www.govinfo.gov/content/pkg/FR-2019-12-10/pdf/2019-26497.pdfhttps://regulations.justia.com/regulations/fedreg/2019/12/10/2019-24651.htmlProposed Rule - Investment Adviser Advertisements; Compensation for Solicitations2019-12-10T00:00:00-08:002019-12-10T00:00:00-08:002019-24651Proposed Rulehttps://www.govinfo.gov/content/pkg/FR-2019-12-10/pdf/2019-24651.pdfhttps://regulations.justia.com/regulations/fedreg/2019/12/09/2019-26509.htmlNotice - Sunshine Act Meetings2019-12-09T00:00:00-08:002019-12-09T00:00:00-08:002019-26509Noticehttps://www.govinfo.gov/content/pkg/FR-2019-12-09/pdf/2019-26509.pdfhttps://regulations.justia.com/regulations/fedreg/2019/12/09/2019-26496.htmlNotice - Sunshine Act Meetings2019-12-09T00:00:00-08:002019-12-09T00:00:00-08:002019-26496Noticehttps://www.govinfo.gov/content/pkg/FR-2019-12-09/pdf/2019-26496.pdfhttps://regulations.justia.com/regulations/fedreg/2019/12/09/2019-26409.htmlNotice - Self-Regulatory Organizations: Investors Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Rule 11.380 To Expand the Exchange's Optional Aggregate Risk Controls Mechanism To Include a Net Notional Exposure Risk Check in Addition to the Gross Notional Exposure Risk Check2019-12-09T00:00:00-08:002019-12-09T00:00:00-08:002019-26409Noticehttps://www.govinfo.gov/content/pkg/FR-2019-12-09/pdf/2019-26409.pdfhttps://regulations.justia.com/regulations/fedreg/2019/12/09/2019-26408.htmlNotice - Self-Regulatory Organizations; LCH SA; Notice of Filing of Proposed Rule Change Relating to Amendments to CDS Clearing Supplement To Reflect the ISDA NTCE Protocol and Supplement2019-12-09T00:00:00-08:002019-12-09T00:00:00-08:002019-26408Noticehttps://www.govinfo.gov/content/pkg/FR-2019-12-09/pdf/2019-26408.pdfhttps://regulations.justia.com/regulations/fedreg/2019/12/09/2019-26407.htmlNotice - Lazard Asset Management LLC and Lazard ESC Funds LLC2019-12-09T00:00:00-08:002019-12-09T00:00:00-08:002019-26407Noticehttps://www.govinfo.gov/content/pkg/FR-2019-12-09/pdf/2019-26407.pdfhttps://regulations.justia.com/regulations/fedreg/2019/12/09/2019-26406.htmlNotice - Self-Regulatory Organizations; Cboe BZX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Allow the Hartford Short Duration ETF To Hold Certain Fixed Income Instruments in a Manner That Does Not Comply With Rule 14.11(i)2019-12-09T00:00:00-08:002019-12-09T00:00:00-08:002019-26406Noticehttps://www.govinfo.gov/content/pkg/FR-2019-12-09/pdf/2019-26406.pdfhttps://regulations.justia.com/regulations/fedreg/2019/12/09/2019-26405.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 Adopt Requirements for the Nasdaq Capital and Global Markets Applicable to Direct Listings2019-12-09T00:00:00-08:002019-12-09T00:00:00-08:002019-26405Noticehttps://www.govinfo.gov/content/pkg/FR-2019-12-09/pdf/2019-26405.pdfhttps://regulations.justia.com/regulations/fedreg/2019/12/09/2019-26404.htmlNotice - Self-Regulatory Organizations; NYSE Chicago, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the Fee Schedule of NYSE Chicago, Inc.2019-12-09T00:00:00-08:002019-12-09T00:00:00-08:002019-26404Noticehttps://www.govinfo.gov/content/pkg/FR-2019-12-09/pdf/2019-26404.pdfhttps://regulations.justia.com/regulations/fedreg/2019/12/06/2019-26309.htmlNotice - Blackstone Alternative Alpha Fund, et al.2019-12-06T00:00:00-08:002019-12-06T00:00:00-08:002019-26309Noticehttps://www.govinfo.gov/content/pkg/FR-2019-12-06/pdf/2019-26309.pdfhttps://regulations.justia.com/regulations/fedreg/2019/12/06/2019-26308.htmlNotice - Self-Regulatory Organizations; Cboe C2 Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Updating Various C2 Rules and Chapters To Reflect Changes to the Cboe Options Rulebook2019-12-06T00:00:00-08:002019-12-06T00:00:00-08:002019-26308Noticehttps://www.govinfo.gov/content/pkg/FR-2019-12-06/pdf/2019-26308.pdfhttps://regulations.justia.com/regulations/fedreg/2019/12/06/2019-26307.htmlNotice - Self-Regulatory Organizations; Nasdaq PHLX LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Phlx Rule 5072019-12-06T00:00:00-08:002019-12-06T00:00:00-08:002019-26307Noticehttps://www.govinfo.gov/content/pkg/FR-2019-12-06/pdf/2019-26307.pdfhttps://regulations.justia.com/regulations/fedreg/2019/12/06/2019-26305.htmlNotice - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Rule 712019-12-06T00:00:00-08:002019-12-06T00:00:00-08:002019-26305Noticehttps://www.govinfo.gov/content/pkg/FR-2019-12-06/pdf/2019-26305.pdfhttps://regulations.justia.com/regulations/fedreg/2019/12/06/2019-26299.htmlNotice - Self-Regulatory Organizations; Cboe EDGX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Remove Its Partial Post Only at Limit Order Type; Correction2019-12-06T00:00:00-08:002019-12-06T00:00:00-08:002019-26299Noticehttps://www.govinfo.gov/content/pkg/FR-2019-12-06/pdf/2019-26299.pdfhttps://regulations.justia.com/regulations/fedreg/2019/12/05/2019-26230.htmlNotice - Notice of Applications for Deregistration Under Section 8(f) of the Investment Company Act of 19402019-12-05T00:00:00-08:002019-12-05T00:00:00-08:002019-26230Noticehttps://www.govinfo.gov/content/pkg/FR-2019-12-05/pdf/2019-26230.pdfhttps://regulations.justia.com/regulations/fedreg/2019/12/05/2019-26229.htmlNotice - Self-Regulatory Organizations; BOX Exchange LLC; Notice of Designation of Longer Period for Commission Action on a Proposed Rule Change To Adopt Rules Governing the Trading of Equity Securities on the Exchange Through a Facility of the Exchange Known as the Boston Security Token Exchange LLC2019-12-05T00:00:00-08:002019-12-05T00:00:00-08:002019-26229Noticehttps://www.govinfo.gov/content/pkg/FR-2019-12-05/pdf/2019-26229.pdfhttps://regulations.justia.com/regulations/fedreg/2019/12/04/2019-26223.htmlNotice - Submission for OMB Review; Comment Request2019-12-04T00:00:00-08:002019-12-04T00:00:00-08:002019-26223Noticehttps://www.govinfo.gov/content/pkg/FR-2019-12-04/pdf/2019-26223.pdfhttps://regulations.justia.com/regulations/fedreg/2019/12/04/2019-24476.htmlProposed Rule - Procedural Requirements and Resubmission Thresholds Under Exchange Act Rule 14a-82019-12-04T00:00:00-08:002019-12-04T00:00:00-08:002019-24476Proposed Rulehttps://www.govinfo.gov/content/pkg/FR-2019-12-04/pdf/2019-24476.pdfhttps://regulations.justia.com/regulations/fedreg/2019/12/04/2019-24475.htmlProposed Rule - Amendments to Exemptions From the Proxy Rules for Proxy Voting Advice2019-12-04T00:00:00-08:002019-12-04T00:00:00-08:002019-24475Proposed Rulehttps://www.govinfo.gov/content/pkg/FR-2019-12-04/pdf/2019-24475.pdfhttps://regulations.justia.com/regulations/fedreg/2019/12/03/2019-26159.htmlNotice - Self-Regulatory Organizations; BOX Exchange LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Add IM-7620-1 (Sub-Penny Cabinet) To Allow Transactions To Take Place at a Price That is Below $1 per Option Contract2019-12-03T00:00:00-08:002019-12-03T00:00:00-08:002019-26159Noticehttps://www.govinfo.gov/content/pkg/FR-2019-12-03/pdf/2019-26159.pdfhttps://regulations.justia.com/regulations/fedreg/2019/12/03/2019-26157.htmlNotice - Self-Regulatory Organizations; Cboe BZX Exchange, Inc.; Order Granting Approval of a Proposed Rule Change, as Modified by Amendment No. 1, To Amend Rule 14.11(c) (Index Fund Shares) To Adopt Generic Listing Standards for Index Fund Shares Based on an Index of Municipal Securities2019-12-03T00:00:00-08:002019-12-03T00:00:00-08:002019-26157Noticehttps://www.govinfo.gov/content/pkg/FR-2019-12-03/pdf/2019-26157.pdfhttps://regulations.justia.com/regulations/fedreg/2019/12/03/2019-26062.htmlNotice - Self-Regulatory Organizations; NYSE American, LLC.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Commentary .02 to Rule 960NY To Extend the Penny Pilot2019-12-03T00:00:00-08:002019-12-03T00:00:00-08:002019-26062Noticehttps://www.govinfo.gov/content/pkg/FR-2019-12-03/pdf/2019-26062.pdfhttps://regulations.justia.com/regulations/fedreg/2019/12/03/2019-26059.htmlNotice - Self-Regulatory Organizations; BOX Exchange LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Rule 7260 by Extending the Penny Pilot Program Through June 30, 20202019-12-03T00:00:00-08:002019-12-03T00:00:00-08:002019-26059Noticehttps://www.govinfo.gov/content/pkg/FR-2019-12-03/pdf/2019-26059.pdfhttps://regulations.justia.com/regulations/fedreg/2019/12/03/2019-26058.htmlNotice - Self-Regulatory Organizations; Cboe BYX Exchange, Inc.; Suspension of and Order Instituting Proceedings To Determine Whether To Approve or Disapprove a Proposed Rule Change To Introduce a Small Retail Broker Distribution Program2019-12-03T00:00:00-08:002019-12-03T00:00:00-08:002019-26058Noticehttps://www.govinfo.gov/content/pkg/FR-2019-12-03/pdf/2019-26058.pdfhttps://regulations.justia.com/regulations/fedreg/2019/12/03/2019-26057.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 To Introduce a Small Retail Broker Distribution Program2019-12-03T00:00:00-08:002019-12-03T00:00:00-08:002019-26057Noticehttps://www.govinfo.gov/content/pkg/FR-2019-12-03/pdf/2019-26057.pdfhttps://regulations.justia.com/regulations/fedreg/2019/12/03/2019-26056.htmlNotice - Self-Regulatory Organizations; Cboe BZX Exchange, Inc.; Suspension of and Order Instituting Proceedings To Determine Whether To Approve or Disapprove a Proposed Rule Change To Introduce a Small Retail Broker Distribution Program2019-12-03T00:00:00-08:002019-12-03T00:00:00-08:002019-26056Noticehttps://www.govinfo.gov/content/pkg/FR-2019-12-03/pdf/2019-26056.pdfhttps://regulations.justia.com/regulations/fedreg/2019/12/03/2019-26055.htmlNotice - Self-Regulatory Organizations; Cboe EDGX Exchange, Inc.; Suspension of and Order Instituting Proceedings To Determine Whether To Approve or Disapprove a Proposed Rule Change To Introduce a Small Retail Broker Distribution Program2019-12-03T00:00:00-08:002019-12-03T00:00:00-08:002019-26055Noticehttps://www.govinfo.gov/content/pkg/FR-2019-12-03/pdf/2019-26055.pdfhttps://regulations.justia.com/regulations/fedreg/2019/12/02/2019-26169.htmlNotice - Sunshine Act Meetings2019-12-02T00:00:00-08:002019-12-02T00:00:00-08:002019-26169Noticehttps://www.govinfo.gov/content/pkg/FR-2019-12-02/pdf/2019-26169.pdfhttps://regulations.justia.com/regulations/fedreg/2019/12/02/2019-26168.htmlNotice - Sunshine Act Meetings2019-12-02T00:00:00-08:002019-12-02T00:00:00-08:002019-26168Noticehttps://www.govinfo.gov/content/pkg/FR-2019-12-02/pdf/2019-26168.pdfhttps://regulations.justia.com/regulations/fedreg/2019/12/02/2019-26008.htmlNotice - SEC Small Business Capital Formation Advisory Committee; Meeting2019-12-02T00:00:00-08:002019-12-02T00:00:00-08:002019-26008Noticehttps://www.govinfo.gov/content/pkg/FR-2019-12-02/pdf/2019-26008.pdfhttps://regulations.justia.com/regulations/fedreg/2019/12/02/2019-25999.htmlNotice - Self-Regulatory Organizations; MIAX PEARL, LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Rule 510, Minimum Price Variations and Minimum Trading Increments To Extend the Penny Pilot Program2019-12-02T00:00:00-08:002019-12-02T00:00:00-08:002019-25999Noticehttps://www.govinfo.gov/content/pkg/FR-2019-12-02/pdf/2019-25999.pdfhttps://regulations.justia.com/regulations/fedreg/2019/12/02/2019-25971.htmlNotice - Self-Regulatory Organizations; MIAX Emerald, LLC; Notice of Withdrawal of Proposed Rule Change To Amend its Options Regulatory Fee2019-12-02T00:00:00-08:002019-12-02T00:00:00-08:002019-25971Noticehttps://www.govinfo.gov/content/pkg/FR-2019-12-02/pdf/2019-25971.pdfhttps://regulations.justia.com/regulations/fedreg/2019/12/02/2019-25970.htmlNotice - Self-Regulatory Organizations; ICE Clear Europe Limited; Notice of Filing and Immediate Effectiveness of Proposed Rule Change, Security-Based Swap Submission or Advance Notice Relating to Amendments to the ICE Clear Europe Delivery Procedures2019-12-02T00:00:00-08:002019-12-02T00:00:00-08:002019-25970Noticehttps://www.govinfo.gov/content/pkg/FR-2019-12-02/pdf/2019-25970.pdfhttps://regulations.justia.com/regulations/fedreg/2019/12/02/2019-25969.htmlNotice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Rule 7.37-E To Specify in Exchange Rules the Exchange's Use of Data Feeds From NYSE American LLC2019-12-02T00:00:00-08:002019-12-02T00:00:00-08:002019-25969Noticehttps://www.govinfo.gov/content/pkg/FR-2019-12-02/pdf/2019-25969.pdfhttps://regulations.justia.com/regulations/fedreg/2019/12/02/2019-25968.htmlNotice - Self-Regulatory Organizations; ICE Clear Credit LLC; Notice of Filing of Partial Amendment No. 1 and Order Instituting Proceedings To Determine Whether To Approve or Disapprove Proposed Rule Change Proposed Rule Change, as Modified by Partial Amendment No. 1, Relating to Amendments to the ICC Clearing Rules To Address Non-Default Losses2019-12-02T00:00:00-08:002019-12-02T00:00:00-08:002019-25968Noticehttps://www.govinfo.gov/content/pkg/FR-2019-12-02/pdf/2019-25968.pdfhttps://regulations.justia.com/regulations/fedreg/2019/12/02/2019-25967.htmlNotice - Self-Regulatory Organizations; Miami International Securities Exchange, LLC; Notice of Withdrawal of Proposed Rule Change To Amend Its Options Regulatory Fee2019-12-02T00:00:00-08:002019-12-02T00:00:00-08:002019-25967Noticehttps://www.govinfo.gov/content/pkg/FR-2019-12-02/pdf/2019-25967.pdfhttps://regulations.justia.com/regulations/fedreg/2019/12/02/2019-25966.htmlNotice - Self-Regulatory Organizations; NYSE Chicago, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Adopt New NYSE Chicago Rule 11.51902019-12-02T00:00:00-08:002019-12-02T00:00:00-08:002019-25966Noticehttps://www.govinfo.gov/content/pkg/FR-2019-12-02/pdf/2019-25966.pdfhttps://regulations.justia.com/regulations/fedreg/2019/12/02/2019-25965.htmlNotice - Self-Regulatory Organizations; NYSE National, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Rule 7.37 To Specify in Exchange Rules the Exchange's Use of Data Feeds From NYSE American LLC2019-12-02T00:00:00-08:002019-12-02T00:00:00-08:002019-25965Noticehttps://www.govinfo.gov/content/pkg/FR-2019-12-02/pdf/2019-25965.pdfhttps://regulations.justia.com/regulations/fedreg/2019/12/02/2019-25963.htmlNotice - Self-Regulatory Organizations; NYSE National, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Adopt New NYSE National Rule 11.51902019-12-02T00:00:00-08:002019-12-02T00:00:00-08:002019-25963Noticehttps://www.govinfo.gov/content/pkg/FR-2019-12-02/pdf/2019-25963.pdfhttps://regulations.justia.com/regulations/fedreg/2019/12/02/2019-25962.htmlNotice - Self-Regulatory Organizations; MIAX PEARL, LLC; Notice of Withdrawal of Proposed Rule Change To Amend its Options Regulatory Fee2019-12-02T00:00:00-08:002019-12-02T00:00:00-08:002019-25962Noticehttps://www.govinfo.gov/content/pkg/FR-2019-12-02/pdf/2019-25962.pdfhttps://regulations.justia.com/regulations/fedreg/2019/12/02/2019-25961.htmlNotice - Self-Regulatory Organizations; BOX Exchange LLC; Notice of Filing of Amendment No. 1 and Order Granting Accelerated Approval of a Proposed Rule Change, as Modified by Amendment No. 1, To Amend Rule 76002019-12-02T00:00:00-08:002019-12-02T00:00:00-08:002019-25961Noticehttps://www.govinfo.gov/content/pkg/FR-2019-12-02/pdf/2019-25961.pdfhttps://regulations.justia.com/regulations/fedreg/2019/12/02/2019-25960.htmlNotice - Self-Regulatory Organizations; ICE Clear Credit LLC; Notice of Filing of Proposed Rule Change Relating to the ICC Clearing Rules2019-12-02T00:00:00-08:002019-12-02T00:00:00-08:002019-25960Noticehttps://www.govinfo.gov/content/pkg/FR-2019-12-02/pdf/2019-25960.pdf