Federal Register Recent Federal Regulation Documents - Justia Regulation Tracker - Justia Regulations Tracker https://regulations.justia.com/regulations/fedreg/agencies/securities-and-exchange-commission?limit=200&mode=atom 2019-06-16T05:49:11-07:00 Justia Inc https://www.justia.com/ Justia Regulations Tracker https://regulations.justia.com/images/justiafedregulations.gif Copyright 2011 Justia Inc https://regulations.justia.com/regulations/fedreg/2019/06/14/2019-12775.html Notice - Sunshine Act Meeting; Cancellation 2019-06-14T00:00:00-07:00 2019-06-14T00:00:00-07:00 2019-12775 Notice https://www.govinfo.gov/content/pkg/FR-2019-06-14/pdf/2019-12775.pdf https://regulations.justia.com/regulations/fedreg/2019/06/14/2019-12563.html Rule - Amendment to Single Issuer Exemption for Broker-Dealers 2019-06-14T00:00:00-07:00 2019-06-14T00:00:00-07:00 2019-12563 Rule https://www.govinfo.gov/content/pkg/FR-2019-06-14/pdf/2019-12563.pdf https://regulations.justia.com/regulations/fedreg/2019/06/14/2019-12546.html Notice - Self-Regulatory Organizations; Cboe EDGX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Extend Through December 31, 2019, the Penny Pilot Program (“Penny Pilot”) in Options Classes in Certain Issues (“Pilot Program”) Previously Approved by the Commission 2019-06-14T00:00:00-07:00 2019-06-14T00:00:00-07:00 2019-12546 Notice https://www.govinfo.gov/content/pkg/FR-2019-06-14/pdf/2019-12546.pdf https://regulations.justia.com/regulations/fedreg/2019/06/14/2019-12545.html Notice - Self-Regulatory Organizations; Cboe BZX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Extend Through December 31, 2019, the Penny Pilot Program (“Penny Pilot”) in Options Classes in Certain Issues (“Pilot Program”) Previously Approved by the Commission 2019-06-14T00:00:00-07:00 2019-06-14T00:00:00-07:00 2019-12545 Notice https://www.govinfo.gov/content/pkg/FR-2019-06-14/pdf/2019-12545.pdf https://regulations.justia.com/regulations/fedreg/2019/06/14/2019-12544.html Notice - Self-Regulatory Organizations; Cboe C2 Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating To Amend Rule 6.4 by Extending the Penny Pilot Program Through December 31, 2019 2019-06-14T00:00:00-07:00 2019-06-14T00:00:00-07:00 2019-12544 Notice https://www.govinfo.gov/content/pkg/FR-2019-06-14/pdf/2019-12544.pdf https://regulations.justia.com/regulations/fedreg/2019/06/14/2019-12543.html Notice - Self-Regulatory Organizations; Cboe EDGX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating To Adopt Limit-on-Close (“LOC”) and Market-on-Close (“MOC”) Orders 2019-06-14T00:00:00-07:00 2019-06-14T00:00:00-07:00 2019-12543 Notice https://www.govinfo.gov/content/pkg/FR-2019-06-14/pdf/2019-12543.pdf https://regulations.justia.com/regulations/fedreg/2019/06/14/2019-12542.html Notice - Self-Regulatory Organizations; The Nasdaq Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Nasdaq Rule 5615 To Allow Additional Issuers Who List Only Specific Securities To Be Able To Avail Themselves of Certain Exemptions Under Corporate Governance Requirements and To Amend Nasdaq Rule IM-5620 To Exclude Additional Categories of Issuers Listing Only Specific Securities From the Annual Shareholder Meeting Requirement 2019-06-14T00:00:00-07:00 2019-06-14T00:00:00-07:00 2019-12542 Notice https://www.govinfo.gov/content/pkg/FR-2019-06-14/pdf/2019-12542.pdf https://regulations.justia.com/regulations/fedreg/2019/06/14/2019-12541.html Notice - Self-Regulatory Organizations; Nasdaq ISE, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Extend the Pilot To Permit the Listing and Trading of Options Based on 1/5 2019-06-14T00:00:00-07:00 2019-06-14T00:00:00-07:00 2019-12541 Notice https://www.govinfo.gov/content/pkg/FR-2019-06-14/pdf/2019-12541.pdf https://regulations.justia.com/regulations/fedreg/2019/06/13/2019-12551.html Notice - Sunshine Act Meetings 2019-06-13T00:00:00-07:00 2019-06-13T00:00:00-07:00 2019-12551 Notice https://www.govinfo.gov/content/pkg/FR-2019-06-13/pdf/2019-12551.pdf https://regulations.justia.com/regulations/fedreg/2019/06/13/2019-12515.html Notice - Proposed Collection; Comment Request 2019-06-13T00:00:00-07:00 2019-06-13T00:00:00-07:00 2019-12515 Notice https://www.govinfo.gov/content/pkg/FR-2019-06-13/pdf/2019-12515.pdf https://regulations.justia.com/regulations/fedreg/2019/06/13/2019-12453.html Notice - Self-Regulatory Organizations; Cboe EDGX Exchange, Inc.; Notice of Withdrawal of Proposed Rule Change, as Modified by Amendment No. 1, To Adopt Rule 21.21 (Solicitation Auction Mechanism) 2019-06-13T00:00:00-07:00 2019-06-13T00:00:00-07:00 2019-12453 Notice https://www.govinfo.gov/content/pkg/FR-2019-06-13/pdf/2019-12453.pdf https://regulations.justia.com/regulations/fedreg/2019/06/13/2019-12452.html Notice - Self-Regulatory Organizations; The Nasdaq Stock Market LLC; Notice of Designation of Longer Period for Commission Action on a Proposed Rule Change To Adopt Additional Requirements for Listings in Connection With an Offering Under Regulation A of the Securities Act 2019-06-13T00:00:00-07:00 2019-06-13T00:00:00-07:00 2019-12452 Notice https://www.govinfo.gov/content/pkg/FR-2019-06-13/pdf/2019-12452.pdf https://regulations.justia.com/regulations/fedreg/2019/06/13/2019-12451.html Notice - Self-Regulatory Organizations; Cboe C2 Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating To Amend the Fat Finger Check for Simple Orders in Rule 6.14 2019-06-13T00:00:00-07:00 2019-06-13T00:00:00-07:00 2019-12451 Notice https://www.govinfo.gov/content/pkg/FR-2019-06-13/pdf/2019-12451.pdf https://regulations.justia.com/regulations/fedreg/2019/06/13/2019-12450.html Notice - Self-Regulatory Organizations; Cboe Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Its Rules Relating to Registration of Trading Permit Holders 2019-06-13T00:00:00-07:00 2019-06-13T00:00:00-07:00 2019-12450 Notice https://www.govinfo.gov/content/pkg/FR-2019-06-13/pdf/2019-12450.pdf https://regulations.justia.com/regulations/fedreg/2019/06/13/2019-12449.html Notice - Self-Regulatory Organizations; Nasdaq MRX, LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Its Rules Governing the Give Up of a Clearing Member by a Member on Exchange Transactions 2019-06-13T00:00:00-07:00 2019-06-13T00:00:00-07:00 2019-12449 Notice https://www.govinfo.gov/content/pkg/FR-2019-06-13/pdf/2019-12449.pdf https://regulations.justia.com/regulations/fedreg/2019/06/13/2019-12448.html Notice - Self-Regulatory Organizations; Nasdaq GEMX, LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Its Rules Governing the Give Up of a Clearing Member by a Member on Exchange Transactions 2019-06-13T00:00:00-07:00 2019-06-13T00:00:00-07:00 2019-12448 Notice https://www.govinfo.gov/content/pkg/FR-2019-06-13/pdf/2019-12448.pdf https://regulations.justia.com/regulations/fedreg/2019/06/13/2019-12447.html Notice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Commentary .02 to Rule 6.72-O in Order To Extend the Penny Pilot in Options Classes in Certain Issues 2019-06-13T00:00:00-07:00 2019-06-13T00:00:00-07:00 2019-12447 Notice https://www.govinfo.gov/content/pkg/FR-2019-06-13/pdf/2019-12447.pdf https://regulations.justia.com/regulations/fedreg/2019/06/13/2019-12446.html Notice - Self-Regulatory Organizations; NYSE American LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Commentary .02 to Rule 960NY in Order To Extend the Penny Pilot in Options Classes in Certain Issues 2019-06-13T00:00:00-07:00 2019-06-13T00:00:00-07:00 2019-12446 Notice https://www.govinfo.gov/content/pkg/FR-2019-06-13/pdf/2019-12446.pdf https://regulations.justia.com/regulations/fedreg/2019/06/12/C1-2019-11446.html Notice - Self-Regulatory Organizations; NYSE Arca, Inc.; Order Instituting Proceedings To Determine Whether To Approve or Disapprove a Proposed Rule Change To Amend NYSE Arca Rule 5.2-E(j)(3) and To Adopt Generic Listing Standards for Investment Company Units Based on an Index or Portfolio of Municipal Securities 2019-06-12T00:00:00-07:00 2019-06-12T00:00:00-07:00 C1-2019-11446 Notice https://www.govinfo.gov/content/pkg/FR-2019-06-12/pdf/C1-2019-11446.pdf https://regulations.justia.com/regulations/fedreg/2019/06/12/2019-12423.html Notice - Proposed Collection; Comment Request 2019-06-12T00:00:00-07:00 2019-06-12T00:00:00-07:00 2019-12423 Notice https://www.govinfo.gov/content/pkg/FR-2019-06-12/pdf/2019-12423.pdf https://regulations.justia.com/regulations/fedreg/2019/06/12/2019-12343.html Notice - Self-Regulatory Organizations; BOX Exchange LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Rule 7260 by Extending the Penny Pilot Program Through December 31, 2019 2019-06-12T00:00:00-07:00 2019-06-12T00:00:00-07:00 2019-12343 Notice https://www.govinfo.gov/content/pkg/FR-2019-06-12/pdf/2019-12343.pdf https://regulations.justia.com/regulations/fedreg/2019/06/12/2019-12341.html Notice - Self-Regulatory Organizations; Nasdaq BX, Inc.; Notice of Filing of Amendment No. 1 and Order Granting Accelerated Approval of a Proposed Rule Change, as Modified by Amendment No. 1, To Reassign Certain Investigation and Enforcement Functions Under the Exchange's Authority and Supervision 2019-06-12T00:00:00-07:00 2019-06-12T00:00:00-07:00 2019-12341 Notice https://www.govinfo.gov/content/pkg/FR-2019-06-12/pdf/2019-12341.pdf https://regulations.justia.com/regulations/fedreg/2019/06/12/2019-12339.html Notice - Self-Regulatory Organizations; Nasdaq BX, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the Order Routing Rule in BX Chapter VI, Section 11 2019-06-12T00:00:00-07:00 2019-06-12T00:00:00-07:00 2019-12339 Notice https://www.govinfo.gov/content/pkg/FR-2019-06-12/pdf/2019-12339.pdf https://regulations.justia.com/regulations/fedreg/2019/06/12/2019-12337.html Notice - Self-Regulatory Organizations; MIAX Emerald, LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Exchange Rule 510, Minimum Price Variations and Minimum Trading Increments To Extend the Penny Pilot Program 2019-06-12T00:00:00-07:00 2019-06-12T00:00:00-07:00 2019-12337 Notice https://www.govinfo.gov/content/pkg/FR-2019-06-12/pdf/2019-12337.pdf https://regulations.justia.com/regulations/fedreg/2019/06/12/2019-12336.html Notice - Self-Regulatory Organizations; Miami PEARL, LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Rule 510, Minimum Price Variations and Minimum Trading Increments To Extend the Penny Pilot Program 2019-06-12T00:00:00-07:00 2019-06-12T00:00:00-07:00 2019-12336 Notice https://www.govinfo.gov/content/pkg/FR-2019-06-12/pdf/2019-12336.pdf https://regulations.justia.com/regulations/fedreg/2019/06/12/2019-12335.html Notice - Self-Regulatory Organizations; Miami International Securities Exchange, LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Rule 510, Minimum Price Variations and Minimum Trading Increments To Extend the Penny Pilot Program 2019-06-12T00:00:00-07:00 2019-06-12T00:00:00-07:00 2019-12335 Notice https://www.govinfo.gov/content/pkg/FR-2019-06-12/pdf/2019-12335.pdf https://regulations.justia.com/regulations/fedreg/2019/06/11/2019-12193.html Notice - Self-Regulatory Organizations; ICE Clear Credit LLC; Order Approving Proposed Rule Change Relating to the ICC Model Validation Framework 2019-06-11T00:00:00-07:00 2019-06-11T00:00:00-07:00 2019-12193 Notice https://www.govinfo.gov/content/pkg/FR-2019-06-11/pdf/2019-12193.pdf https://regulations.justia.com/regulations/fedreg/2019/06/11/2019-12192.html Notice - Self-Regulatory Organizations; Cboe C2 Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating To Adopt Limit-on-Close (“LOC”) and Market-on-Close (“MOC”) Orders 2019-06-11T00:00:00-07:00 2019-06-11T00:00:00-07:00 2019-12192 Notice https://www.govinfo.gov/content/pkg/FR-2019-06-11/pdf/2019-12192.pdf https://regulations.justia.com/regulations/fedreg/2019/06/11/2019-12191.html Notice - Self-Regulatory Organizations; The Depository Trust Company; Notice of Designation of a Longer Period for Commission Action on Proceedings To Determine Whether To Approve or Disapprove a Proposed Rule Change To Amend the Settlement Guide Procedures To Provide Status Information for Institutional Transactions to a Matching Utility 2019-06-11T00:00:00-07:00 2019-06-11T00:00:00-07:00 2019-12191 Notice https://www.govinfo.gov/content/pkg/FR-2019-06-11/pdf/2019-12191.pdf https://regulations.justia.com/regulations/fedreg/2019/06/11/2019-12189.html Notice - Self-Regulatory Organizations; ICE Clear Credit LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to ICC's Risk Management Model Description 2019-06-11T00:00:00-07:00 2019-06-11T00:00:00-07:00 2019-12189 Notice https://www.govinfo.gov/content/pkg/FR-2019-06-11/pdf/2019-12189.pdf https://regulations.justia.com/regulations/fedreg/2019/06/11/2019-12188.html Notice - Self-Regulatory Organizations; BOX Exchange LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend BOX Rule IM-5050-1 Allow $1 Strike Price Intervals Above $200 on Options on the QQQ and IWM Exchange-Traded Funds 2019-06-11T00:00:00-07:00 2019-06-11T00:00:00-07:00 2019-12188 Notice https://www.govinfo.gov/content/pkg/FR-2019-06-11/pdf/2019-12188.pdf https://regulations.justia.com/regulations/fedreg/2019/06/11/2019-12187.html Notice - Self-Regulatory Organizations; Cboe C2 Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Update Its Price Adjust Process To Allow for the Process To Apply to Bulk Messages 2019-06-11T00:00:00-07:00 2019-06-11T00:00:00-07:00 2019-12187 Notice https://www.govinfo.gov/content/pkg/FR-2019-06-11/pdf/2019-12187.pdf https://regulations.justia.com/regulations/fedreg/2019/06/10/2019-12328.html Notice - Sunshine Act Meetings 2019-06-10T00:00:00-07:00 2019-06-10T00:00:00-07:00 2019-12328 Notice https://www.govinfo.gov/content/pkg/FR-2019-06-10/pdf/2019-12328.pdf https://regulations.justia.com/regulations/fedreg/2019/06/10/2019-12097.html Notice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Withdrawal of a Proposed Rule Change To List and Trade Units of Each of (i) Cboe Vest S&P 500® Buffer Enhanced Growth Protect Strategy ETNs; (ii) Cboe Vest S&P 500® Enhanced Growth Strategy ETNs; (iii) Cboe Vest S&P 500® Accelerated Return Strategy ETNs; and (iv) Cboe Vest S&P 500® Power Buffer Strategy ETNs Under Rule 14.11(d), Equity Index-Linked Securities 2019-06-10T00:00:00-07:00 2019-06-10T00:00:00-07:00 2019-12097 Notice https://www.govinfo.gov/content/pkg/FR-2019-06-10/pdf/2019-12097.pdf https://regulations.justia.com/regulations/fedreg/2019/06/10/2019-12093.html Notice - Self-Regulatory Organizations; The Nasdaq Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Relocate the Options Rules Under Chapter IV, Securities Traded on NOM 2019-06-10T00:00:00-07:00 2019-06-10T00:00:00-07:00 2019-12093 Notice https://www.govinfo.gov/content/pkg/FR-2019-06-10/pdf/2019-12093.pdf https://regulations.justia.com/regulations/fedreg/2019/06/10/2019-12092.html Notice - Self-Regulatory Organizations; Nasdaq PHLX LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Equity 7, Section 3, Which Governs Pricing for Phlx Members Using the Nasdaq PSX System 2019-06-10T00:00:00-07:00 2019-06-10T00:00:00-07:00 2019-12092 Notice https://www.govinfo.gov/content/pkg/FR-2019-06-10/pdf/2019-12092.pdf https://regulations.justia.com/regulations/fedreg/2019/06/10/2019-12091.html Notice - Self-Regulatory Organizations; BOX Exchange LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Adopt Rules Governing the Trading of Complex Qualified Contingent Cross Orders and Make a Modification to the Execution Requirements for Complex Customer Cross Orders 2019-06-10T00:00:00-07:00 2019-06-10T00:00:00-07:00 2019-12091 Notice https://www.govinfo.gov/content/pkg/FR-2019-06-10/pdf/2019-12091.pdf https://regulations.justia.com/regulations/fedreg/2019/06/10/2019-12090.html Notice - Self-Regulatory Organizations; The Nasdaq Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Equity 7, Section 118(a) 2019-06-10T00:00:00-07:00 2019-06-10T00:00:00-07:00 2019-12090 Notice https://www.govinfo.gov/content/pkg/FR-2019-06-10/pdf/2019-12090.pdf https://regulations.justia.com/regulations/fedreg/2019/06/10/2019-12089.html Notice - Self-Regulatory Organizations; Miami International Securities Exchange, LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Exchange Rule 519, MIAX Order Monitor 2019-06-10T00:00:00-07:00 2019-06-10T00:00:00-07:00 2019-12089 Notice https://www.govinfo.gov/content/pkg/FR-2019-06-10/pdf/2019-12089.pdf https://regulations.justia.com/regulations/fedreg/2019/06/10/2019-12086.html Notice - Self-Regulatory Organizations; Nasdaq BX, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Equity 7, Section 118(a) To Adopt Pricing for the Recently Adopted SCAR Routing Strategy 2019-06-10T00:00:00-07:00 2019-06-10T00:00:00-07:00 2019-12086 Notice https://www.govinfo.gov/content/pkg/FR-2019-06-10/pdf/2019-12086.pdf https://regulations.justia.com/regulations/fedreg/2019/06/07/2019-12042.html Notice - Submission for OMB Review; Comment Request; Extension: Rule 17a-7 2019-06-07T00:00:00-07:00 2019-06-07T00:00:00-07:00 2019-12042 Notice https://www.govinfo.gov/content/pkg/FR-2019-06-07/pdf/2019-12042.pdf https://regulations.justia.com/regulations/fedreg/2019/06/07/2019-12041.html Notice - Submission for OMB Review; Comment Request 2019-06-07T00:00:00-07:00 2019-06-07T00:00:00-07:00 2019-12041 Notice https://www.govinfo.gov/content/pkg/FR-2019-06-07/pdf/2019-12041.pdf https://regulations.justia.com/regulations/fedreg/2019/06/07/2019-12039.html Notice - Submission for OMB Review; Comment Request 2019-06-07T00:00:00-07:00 2019-06-07T00:00:00-07:00 2019-12039 Notice https://www.govinfo.gov/content/pkg/FR-2019-06-07/pdf/2019-12039.pdf https://regulations.justia.com/regulations/fedreg/2019/06/07/2019-12038.html Notice - Submission for OMB Review; Comment Request 2019-06-07T00:00:00-07:00 2019-06-07T00:00:00-07:00 2019-12038 Notice https://www.govinfo.gov/content/pkg/FR-2019-06-07/pdf/2019-12038.pdf https://regulations.justia.com/regulations/fedreg/2019/06/07/2019-11933.html Notice - Self-Regulatory Organizations; NYSE Arca, Inc.; Order Approving a Proposed Rule Change, as Modified by Amendment No. 1, To Amend Certain Generic Listing Standards for Managed Fund Shares Applicable to Holdings of Fixed Income Securities 2019-06-07T00:00:00-07:00 2019-06-07T00:00:00-07:00 2019-11933 Notice https://www.govinfo.gov/content/pkg/FR-2019-06-07/pdf/2019-11933.pdf https://regulations.justia.com/regulations/fedreg/2019/06/06/2019-11894.html Notice - Initial Form ATS-N Filing; Notice of Extension of Commission Review Period 2019-06-06T00:00:00-07:00 2019-06-06T00:00:00-07:00 2019-11894 Notice https://www.govinfo.gov/content/pkg/FR-2019-06-06/pdf/2019-11894.pdf https://regulations.justia.com/regulations/fedreg/2019/06/06/2019-11893.html Notice - Initial Form ATS-N Filing; Notice of Extension of Commission Review Period 2019-06-06T00:00:00-07:00 2019-06-06T00:00:00-07:00 2019-11893 Notice https://www.govinfo.gov/content/pkg/FR-2019-06-06/pdf/2019-11893.pdf https://regulations.justia.com/regulations/fedreg/2019/06/06/2019-11892.html Notice - Initial Form ATS-N Filing; Notice of Extension of Commission Review Period 2019-06-06T00:00:00-07:00 2019-06-06T00:00:00-07:00 2019-11892 Notice https://www.govinfo.gov/content/pkg/FR-2019-06-06/pdf/2019-11892.pdf https://regulations.justia.com/regulations/fedreg/2019/06/06/2019-11891.html Notice - Initial Form ATS-N Filing; Notice of Extension of Commission Review Period 2019-06-06T00:00:00-07:00 2019-06-06T00:00:00-07:00 2019-11891 Notice https://www.govinfo.gov/content/pkg/FR-2019-06-06/pdf/2019-11891.pdf https://regulations.justia.com/regulations/fedreg/2019/06/06/2019-11890.html Notice - Initial Form ATS-N Filing; Notice of Extension of Commission Review Period 2019-06-06T00:00:00-07:00 2019-06-06T00:00:00-07:00 2019-11890 Notice https://www.govinfo.gov/content/pkg/FR-2019-06-06/pdf/2019-11890.pdf https://regulations.justia.com/regulations/fedreg/2019/06/06/2019-11889.html Notice - Initial Form ATS-N Filing; Notice of Extension of Commission Review Period 2019-06-06T00:00:00-07:00 2019-06-06T00:00:00-07:00 2019-11889 Notice https://www.govinfo.gov/content/pkg/FR-2019-06-06/pdf/2019-11889.pdf https://regulations.justia.com/regulations/fedreg/2019/06/06/2019-11875.html Notice - Initial Form ATS-N Filing; Notice of Extension of Commission Review Period 2019-06-06T00:00:00-07:00 2019-06-06T00:00:00-07:00 2019-11875 Notice https://www.govinfo.gov/content/pkg/FR-2019-06-06/pdf/2019-11875.pdf https://regulations.justia.com/regulations/fedreg/2019/06/06/2019-11874.html Notice - Initial Form ATS-N Filing; Notice of Extension of Commission Review Period 2019-06-06T00:00:00-07:00 2019-06-06T00:00:00-07:00 2019-11874 Notice https://www.govinfo.gov/content/pkg/FR-2019-06-06/pdf/2019-11874.pdf https://regulations.justia.com/regulations/fedreg/2019/06/06/2019-11873.html Notice - Initial Form ATS-N Filing; Notice of Extension of Commission Review Period 2019-06-06T00:00:00-07:00 2019-06-06T00:00:00-07:00 2019-11873 Notice https://www.govinfo.gov/content/pkg/FR-2019-06-06/pdf/2019-11873.pdf https://regulations.justia.com/regulations/fedreg/2019/06/06/2019-11872.html Notice - Initial Form ATS-N Filing; Notice of Extension of Commission Review Period 2019-06-06T00:00:00-07:00 2019-06-06T00:00:00-07:00 2019-11872 Notice https://www.govinfo.gov/content/pkg/FR-2019-06-06/pdf/2019-11872.pdf https://regulations.justia.com/regulations/fedreg/2019/06/06/2019-11871.html Notice - Initial Form ATS-N Filing; Notice of Extension of Commission Review Period 2019-06-06T00:00:00-07:00 2019-06-06T00:00:00-07:00 2019-11871 Notice https://www.govinfo.gov/content/pkg/FR-2019-06-06/pdf/2019-11871.pdf https://regulations.justia.com/regulations/fedreg/2019/06/06/2019-11870.html Notice - Initial Form ATS-N Filing; Notice of Extension of Commission Review Period 2019-06-06T00:00:00-07:00 2019-06-06T00:00:00-07:00 2019-11870 Notice https://www.govinfo.gov/content/pkg/FR-2019-06-06/pdf/2019-11870.pdf https://regulations.justia.com/regulations/fedreg/2019/06/06/2019-11869.html Notice - Initial Form ATS-N Filing; Notice of Extension of Commission Review Period 2019-06-06T00:00:00-07:00 2019-06-06T00:00:00-07:00 2019-11869 Notice https://www.govinfo.gov/content/pkg/FR-2019-06-06/pdf/2019-11869.pdf https://regulations.justia.com/regulations/fedreg/2019/06/06/2019-11868.html Notice - Initial Form ATS-N Filing; Notice of Extension of Commission Review Period 2019-06-06T00:00:00-07:00 2019-06-06T00:00:00-07:00 2019-11868 Notice https://www.govinfo.gov/content/pkg/FR-2019-06-06/pdf/2019-11868.pdf https://regulations.justia.com/regulations/fedreg/2019/06/06/2019-11841.html Notice - Initial Form ATS-N Filing; Notice of Extension of Commission Review Period 2019-06-06T00:00:00-07:00 2019-06-06T00:00:00-07:00 2019-11841 Notice https://www.govinfo.gov/content/pkg/FR-2019-06-06/pdf/2019-11841.pdf https://regulations.justia.com/regulations/fedreg/2019/06/06/2019-11840.html Notice - Initial Form ATS-N Filing; Notice of Extension of Commission Review Period 2019-06-06T00:00:00-07:00 2019-06-06T00:00:00-07:00 2019-11840 Notice https://www.govinfo.gov/content/pkg/FR-2019-06-06/pdf/2019-11840.pdf https://regulations.justia.com/regulations/fedreg/2019/06/06/2019-11839.html Notice - Initial Form ATS-N Filing; Notice of Extension of Commission Review Period 2019-06-06T00:00:00-07:00 2019-06-06T00:00:00-07:00 2019-11839 Notice https://www.govinfo.gov/content/pkg/FR-2019-06-06/pdf/2019-11839.pdf https://regulations.justia.com/regulations/fedreg/2019/06/06/2019-11838.html Notice - Initial Form ATS-N Filing; Notice of Extension of Commission Review Period 2019-06-06T00:00:00-07:00 2019-06-06T00:00:00-07:00 2019-11838 Notice https://www.govinfo.gov/content/pkg/FR-2019-06-06/pdf/2019-11838.pdf https://regulations.justia.com/regulations/fedreg/2019/06/06/2019-11837.html Notice - Initial Form ATS-N Filing; Notice of Extension of Commission Review Period 2019-06-06T00:00:00-07:00 2019-06-06T00:00:00-07:00 2019-11837 Notice https://www.govinfo.gov/content/pkg/FR-2019-06-06/pdf/2019-11837.pdf https://regulations.justia.com/regulations/fedreg/2019/06/06/2019-11836.html Notice - Initial Form ATS-N Filing; Notice of Extension of Commission Review Period 2019-06-06T00:00:00-07:00 2019-06-06T00:00:00-07:00 2019-11836 Notice https://www.govinfo.gov/content/pkg/FR-2019-06-06/pdf/2019-11836.pdf https://regulations.justia.com/regulations/fedreg/2019/06/06/2019-11835.html Notice - Initial Form ATS-N Filing; Notice of Extension of Commission Review Period 2019-06-06T00:00:00-07:00 2019-06-06T00:00:00-07:00 2019-11835 Notice https://www.govinfo.gov/content/pkg/FR-2019-06-06/pdf/2019-11835.pdf https://regulations.justia.com/regulations/fedreg/2019/06/06/2019-11834.html Notice - Initial Form ATS-N Filing; Notice of Extension of Commission Review Period 2019-06-06T00:00:00-07:00 2019-06-06T00:00:00-07:00 2019-11834 Notice https://www.govinfo.gov/content/pkg/FR-2019-06-06/pdf/2019-11834.pdf https://regulations.justia.com/regulations/fedreg/2019/06/06/2019-11833.html Notice - Initial Form ATS-N Filing; Notice of Extension of Commission Review Period 2019-06-06T00:00:00-07:00 2019-06-06T00:00:00-07:00 2019-11833 Notice https://www.govinfo.gov/content/pkg/FR-2019-06-06/pdf/2019-11833.pdf https://regulations.justia.com/regulations/fedreg/2019/06/06/2019-11829.html Notice - Initial Form ATS-N Filing; Notice of Extension of Commission Review Period 2019-06-06T00:00:00-07:00 2019-06-06T00:00:00-07:00 2019-11829 Notice https://www.govinfo.gov/content/pkg/FR-2019-06-06/pdf/2019-11829.pdf https://regulations.justia.com/regulations/fedreg/2019/06/06/2019-11828.html Notice - Initial Form ATS-N Filing; Notice of Extension of Commission Review Period 2019-06-06T00:00:00-07:00 2019-06-06T00:00:00-07:00 2019-11828 Notice https://www.govinfo.gov/content/pkg/FR-2019-06-06/pdf/2019-11828.pdf https://regulations.justia.com/regulations/fedreg/2019/06/06/2019-11827.html Notice - Initial Form ATS-N Filing; Notice of Extension of Commission Review Period 2019-06-06T00:00:00-07:00 2019-06-06T00:00:00-07:00 2019-11827 Notice https://www.govinfo.gov/content/pkg/FR-2019-06-06/pdf/2019-11827.pdf https://regulations.justia.com/regulations/fedreg/2019/06/06/2019-11826.html Notice - Initial Form ATS-N Filing; Notice of Extension of Commission Review Period 2019-06-06T00:00:00-07:00 2019-06-06T00:00:00-07:00 2019-11826 Notice https://www.govinfo.gov/content/pkg/FR-2019-06-06/pdf/2019-11826.pdf https://regulations.justia.com/regulations/fedreg/2019/06/06/2019-11825.html Notice - Initial Form ATS-N Filing; Notice of Extension of Commission Review Period 2019-06-06T00:00:00-07:00 2019-06-06T00:00:00-07:00 2019-11825 Notice https://www.govinfo.gov/content/pkg/FR-2019-06-06/pdf/2019-11825.pdf https://regulations.justia.com/regulations/fedreg/2019/06/06/2019-11823.html Notice - Initial Form ATS-N Filing; Notice of Extension of Commission Review Period 2019-06-06T00:00:00-07:00 2019-06-06T00:00:00-07:00 2019-11823 Notice https://www.govinfo.gov/content/pkg/FR-2019-06-06/pdf/2019-11823.pdf https://regulations.justia.com/regulations/fedreg/2019/06/06/2019-11822.html Notice - Initial Form ATS-N Filing; Notice of Extension of Commission Review Period 2019-06-06T00:00:00-07:00 2019-06-06T00:00:00-07:00 2019-11822 Notice https://www.govinfo.gov/content/pkg/FR-2019-06-06/pdf/2019-11822.pdf https://regulations.justia.com/regulations/fedreg/2019/06/06/2019-11816.html Notice - Initial Form ATS-N Filing; Notice of Extension of Commission Review Period 2019-06-06T00:00:00-07:00 2019-06-06T00:00:00-07:00 2019-11816 Notice https://www.govinfo.gov/content/pkg/FR-2019-06-06/pdf/2019-11816.pdf https://regulations.justia.com/regulations/fedreg/2019/06/06/2019-11804.html Notice - Self-Regulatory Organizations; Cboe BZX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Amending Rule 21.7 Concerning Openings Following Trading Halts 2019-06-06T00:00:00-07:00 2019-06-06T00:00:00-07:00 2019-11804 Notice https://www.govinfo.gov/content/pkg/FR-2019-06-06/pdf/2019-11804.pdf https://regulations.justia.com/regulations/fedreg/2019/06/06/2019-11803.html Notice - Self-Regulatory Organizations; National Securities Clearing Corporation; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Make a Clarification and Technical Changes to Addendum K 2019-06-06T00:00:00-07:00 2019-06-06T00:00:00-07:00 2019-11803 Notice https://www.govinfo.gov/content/pkg/FR-2019-06-06/pdf/2019-11803.pdf https://regulations.justia.com/regulations/fedreg/2019/06/06/2019-11802.html Notice - Self-Regulatory Organizations; The Depository Trust Company; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the Reorganizations Service Guide 2019-06-06T00:00:00-07:00 2019-06-06T00:00:00-07:00 2019-11802 Notice https://www.govinfo.gov/content/pkg/FR-2019-06-06/pdf/2019-11802.pdf https://regulations.justia.com/regulations/fedreg/2019/06/06/2019-11801.html Notice - Self-Regulatory Organizations; The Nasdaq Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Relocate the Order Audit Trail System Rules 2019-06-06T00:00:00-07:00 2019-06-06T00:00:00-07:00 2019-11801 Notice https://www.govinfo.gov/content/pkg/FR-2019-06-06/pdf/2019-11801.pdf https://regulations.justia.com/regulations/fedreg/2019/06/06/2019-11800.html Notice - Self-Regulatory Organizations; Cboe EDGX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to Qualified Contingent Cross Orders (“QCC Orders”) With More Than One Option Leg (“Complex QCC Orders”) 2019-06-06T00:00:00-07:00 2019-06-06T00:00:00-07:00 2019-11800 Notice https://www.govinfo.gov/content/pkg/FR-2019-06-06/pdf/2019-11800.pdf https://regulations.justia.com/regulations/fedreg/2019/06/06/2019-11799.html Notice - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing of Proposed Rule Change To Amend Rule 123D 2019-06-06T00:00:00-07:00 2019-06-06T00:00:00-07:00 2019-11799 Notice https://www.govinfo.gov/content/pkg/FR-2019-06-06/pdf/2019-11799.pdf https://regulations.justia.com/regulations/fedreg/2019/06/06/2019-11798.html Notice - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Extend the Implementation of FINRA Rule 4240 (Margin Requirements for Credit Default Swaps) 2019-06-06T00:00:00-07:00 2019-06-06T00:00:00-07:00 2019-11798 Notice https://www.govinfo.gov/content/pkg/FR-2019-06-06/pdf/2019-11798.pdf https://regulations.justia.com/regulations/fedreg/2019/06/06/2019-11797.html Notice - Self-Regulatory Organizations; Cboe EDGX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Amending Rule 21.7 Concerning the Opening Auction Process 2019-06-06T00:00:00-07:00 2019-06-06T00:00:00-07:00 2019-11797 Notice https://www.govinfo.gov/content/pkg/FR-2019-06-06/pdf/2019-11797.pdf https://regulations.justia.com/regulations/fedreg/2019/06/06/2019-11793.html Notice - Cresset Private Markets Opportunity Fund and Cresset SPG, LLC 2019-06-06T00:00:00-07:00 2019-06-06T00:00:00-07:00 2019-11793 Notice https://www.govinfo.gov/content/pkg/FR-2019-06-06/pdf/2019-11793.pdf https://regulations.justia.com/regulations/fedreg/2019/06/05/2019-11934.html Notice - Sunshine Act Meetings 2019-06-05T00:00:00-07:00 2019-06-05T00:00:00-07:00 2019-11934 Notice https://www.govinfo.gov/content/pkg/FR-2019-06-05/pdf/2019-11934.pdf https://regulations.justia.com/regulations/fedreg/2019/06/05/2019-11742.html Notice - Notice of Applications for Deregistration Under Section 8(f) of the Investment Company Act of 1940 2019-06-05T00:00:00-07:00 2019-06-05T00:00:00-07:00 2019-11742 Notice https://www.govinfo.gov/content/pkg/FR-2019-06-05/pdf/2019-11742.pdf https://regulations.justia.com/regulations/fedreg/2019/06/05/2019-11643.html Notice - Self-Regulatory Organizations; Cboe BZX Exchange, Inc.; Notice of Designation of a Longer Period for Commission Action on a Proposed Rule Change To Amend Rule 14.11(c) (Index Fund Shares) To Adopt Generic Listing Standards for Index Fund Shares Based on an Index of Municipal Securities 2019-06-05T00:00:00-07:00 2019-06-05T00:00:00-07:00 2019-11643 Notice https://www.govinfo.gov/content/pkg/FR-2019-06-05/pdf/2019-11643.pdf https://regulations.justia.com/regulations/fedreg/2019/06/05/2019-11566.html Notice - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing of Amendment No. 3 and Order Granting Accelerated Approval of Proposed Rule Change, as Modified by Amendment No. 3, To Amend NYSE Rules 7.31, 7.36, 7.37; Make Conforming Amendments to NYSE Rules 1.1, 7.11, 7.12, 7.16, 7.18, 7.32, 7.34, and 7.36; and Amend the Preambles on Current Exchange Rules Relating to Their Applicability to the Pillar Trading Platform 2019-06-05T00:00:00-07:00 2019-06-05T00:00:00-07:00 2019-11566 Notice https://www.govinfo.gov/content/pkg/FR-2019-06-05/pdf/2019-11566.pdf https://regulations.justia.com/regulations/fedreg/2019/06/04/2019-11598.html Notice - Self-Regulatory Organizations; Nasdaq ISE, LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Allow $1 or Greater Strike Price Intervals for Options on QQQ and IWM 2019-06-04T00:00:00-07:00 2019-06-04T00:00:00-07:00 2019-11598 Notice https://www.govinfo.gov/content/pkg/FR-2019-06-04/pdf/2019-11598.pdf https://regulations.justia.com/regulations/fedreg/2019/06/04/2019-11584.html Notice - Columbia Funds Series Trust, et al. 2019-06-04T00:00:00-07:00 2019-06-04T00:00:00-07:00 2019-11584 Notice https://www.govinfo.gov/content/pkg/FR-2019-06-04/pdf/2019-11584.pdf https://regulations.justia.com/regulations/fedreg/2019/06/04/2019-11565.html Notice - Self-Regulatory Organizations; The Nasdaq Stock Market LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Allow $1 or Greater Strike Price Intervals for Options on QQQ and IWM 2019-06-04T00:00:00-07:00 2019-06-04T00:00:00-07:00 2019-11565 Notice https://www.govinfo.gov/content/pkg/FR-2019-06-04/pdf/2019-11565.pdf https://regulations.justia.com/regulations/fedreg/2019/06/04/2019-11564.html Notice - Self-Regulatory Organizations; The Nasdaq Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to the Complementary Services Offered by the Exchange Under Rule IM-5900-7 2019-06-04T00:00:00-07:00 2019-06-04T00:00:00-07:00 2019-11564 Notice https://www.govinfo.gov/content/pkg/FR-2019-06-04/pdf/2019-11564.pdf https://regulations.justia.com/regulations/fedreg/2019/06/04/2019-11563.html Notice - Self-Regulatory Organizations; NYSE National, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Its Schedule of Fees and Rebates Related to Co-location Services 2019-06-04T00:00:00-07:00 2019-06-04T00:00:00-07:00 2019-11563 Notice https://www.govinfo.gov/content/pkg/FR-2019-06-04/pdf/2019-11563.pdf https://regulations.justia.com/regulations/fedreg/2019/06/04/2019-11561.html Notice - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the Exchange's Price List Related to Co-Location Services 2019-06-04T00:00:00-07:00 2019-06-04T00:00:00-07:00 2019-11561 Notice https://www.govinfo.gov/content/pkg/FR-2019-06-04/pdf/2019-11561.pdf https://regulations.justia.com/regulations/fedreg/2019/06/04/2019-11560.html Notice - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Adopt a Listing Fee Schedule for Pre-Revenue Companies 2019-06-04T00:00:00-07:00 2019-06-04T00:00:00-07:00 2019-11560 Notice https://www.govinfo.gov/content/pkg/FR-2019-06-04/pdf/2019-11560.pdf https://regulations.justia.com/regulations/fedreg/2019/06/04/2019-11559.html Notice - Self-Regulatory Organizations; Nasdaq BX, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Allow $1 or Greater Strike Price Intervals for Options on QQQ and IWM 2019-06-04T00:00:00-07:00 2019-06-04T00:00:00-07:00 2019-11559 Notice https://www.govinfo.gov/content/pkg/FR-2019-06-04/pdf/2019-11559.pdf https://regulations.justia.com/regulations/fedreg/2019/06/04/2019-11558.html Notice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the NYSE Arca Options Fees and Charges and the NYSE Arca Equities Fees and Charges Related to Co-Location Services 2019-06-04T00:00:00-07:00 2019-06-04T00:00:00-07:00 2019-11558 Notice https://www.govinfo.gov/content/pkg/FR-2019-06-04/pdf/2019-11558.pdf https://regulations.justia.com/regulations/fedreg/2019/06/04/2019-11557.html Notice - Self-Regulatory Organizations; NYSE American LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend its NYSE American Equities Price List and the NYSE American Options Fee Schedule Related to Co-location Services 2019-06-04T00:00:00-07:00 2019-06-04T00:00:00-07:00 2019-11557 Notice https://www.govinfo.gov/content/pkg/FR-2019-06-04/pdf/2019-11557.pdf https://regulations.justia.com/regulations/fedreg/2019/06/04/2019-11556.html Notice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing of Proposed Rule Change Regarding Investments of Aware Ultra-Short Duration Enhanced Income ETF, a Series of Tidal ETF Trust 2019-06-04T00:00:00-07:00 2019-06-04T00:00:00-07:00 2019-11556 Notice https://www.govinfo.gov/content/pkg/FR-2019-06-04/pdf/2019-11556.pdf https://regulations.justia.com/regulations/fedreg/2019/06/04/2019-11545.html Notice - Self-Regulatory Organizations; The Nasdaq Stock Market LLC; Notice of Filing of Proposed Rule Change To Allow an Odd Lot-Sized Order To Be Eligible for the Midpoint Extended Life Order 2019-06-04T00:00:00-07:00 2019-06-04T00:00:00-07:00 2019-11545 Notice https://www.govinfo.gov/content/pkg/FR-2019-06-04/pdf/2019-11545.pdf https://regulations.justia.com/regulations/fedreg/2019/06/04/2019-11543.html Notice - Self-Regulatory Organizations; Nasdaq PHLX LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Allow $1 or Greater Strike Price Intervals for Options on QQQ and IWM 2019-06-04T00:00:00-07:00 2019-06-04T00:00:00-07:00 2019-11543 Notice https://www.govinfo.gov/content/pkg/FR-2019-06-04/pdf/2019-11543.pdf https://regulations.justia.com/regulations/fedreg/2019/06/03/2019-11447.html Notice - Self-Regulatory Organizations; Cboe BZX Exchange, Inc.; Notice of Filing of a Proposed Rule Change To Allow the JPMorgan Core Plus Bond ETF of the J.P. Morgan Exchange-Traded Fund Trust To Hold Certain Instruments in a Manner That May Not Comply With Rule 14.11(i), Managed Fund Shares 2019-06-03T00:00:00-07:00 2019-06-03T00:00:00-07:00 2019-11447 Notice https://www.govinfo.gov/content/pkg/FR-2019-06-03/pdf/2019-11447.pdf https://regulations.justia.com/regulations/fedreg/2019/06/03/2019-11446.html Notice - Self-Regulatory Organizations; NYSE Arca, Inc.; Order Instituting Proceedings To Determine Whether To Approve or Disapprove a Proposed Rule Change To Amend NYSE Arca Rule 5.2-E(j)(3) and To Adopt Generic Listing Standards for Investment Company Units Based on an Index or Portfolio of Municipal Securities 2019-06-03T00:00:00-07:00 2019-06-03T00:00:00-07:00 2019-11446 Notice https://www.govinfo.gov/content/pkg/FR-2019-06-03/pdf/2019-11446.pdf https://regulations.justia.com/regulations/fedreg/2019/06/03/2019-11445.html Notice - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend NYSE Rules 7.6, 7.31, 7.34, 98, 107B and 131A, To Specify Order Behavior for Orders Entered Via the Pillar Phase II Protocols 2019-06-03T00:00:00-07:00 2019-06-03T00:00:00-07:00 2019-11445 Notice https://www.govinfo.gov/content/pkg/FR-2019-06-03/pdf/2019-11445.pdf https://regulations.justia.com/regulations/fedreg/2019/06/03/2019-11433.html Notice - Proposed Collection; Comment Request 2019-06-03T00:00:00-07:00 2019-06-03T00:00:00-07:00 2019-11433 Notice https://www.govinfo.gov/content/pkg/FR-2019-06-03/pdf/2019-11433.pdf https://regulations.justia.com/regulations/fedreg/2019/06/03/2019-11432.html Notice - Proposed Collection; Comment Request 2019-06-03T00:00:00-07:00 2019-06-03T00:00:00-07:00 2019-11432 Notice https://www.govinfo.gov/content/pkg/FR-2019-06-03/pdf/2019-11432.pdf https://regulations.justia.com/regulations/fedreg/2019/06/03/2019-11426.html Notice - John Hancock GA Mortgage Trust, et al. 2019-06-03T00:00:00-07:00 2019-06-03T00:00:00-07:00 2019-11426 Notice https://www.govinfo.gov/content/pkg/FR-2019-06-03/pdf/2019-11426.pdf https://regulations.justia.com/regulations/fedreg/2019/05/31/2019-11340.html Notice - Self-Regulatory Organizations; ICE Clear Credit LLC; Notice of Filing of Proposed Rule Change Relating to ICC's Stress Testing Framework 2019-05-31T00:00:00-07:00 2019-05-31T00:00:00-07:00 2019-11340 Notice https://www.govinfo.gov/content/pkg/FR-2019-05-31/pdf/2019-11340.pdf https://regulations.justia.com/regulations/fedreg/2019/05/31/2019-11330.html Notice - Self-Regulatory Organizations; Nasdaq MRX, LLC; Order Approving a Proposed Rule Change To Adopt Complex Order Functionality 2019-05-31T00:00:00-07:00 2019-05-31T00:00:00-07:00 2019-11330 Notice https://www.govinfo.gov/content/pkg/FR-2019-05-31/pdf/2019-11330.pdf https://regulations.justia.com/regulations/fedreg/2019/05/31/2019-11323.html Notice - Self-Regulatory Organizations; Miami International Securities Exchange, LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Exchange Rule 1801, Definitions; Rule 503, Openings on the Exchange; and Rule 1802, Designation of an Index 2019-05-31T00:00:00-07:00 2019-05-31T00:00:00-07:00 2019-11323 Notice https://www.govinfo.gov/content/pkg/FR-2019-05-31/pdf/2019-11323.pdf https://regulations.justia.com/regulations/fedreg/2019/05/31/2019-11322.html Notice - Self-Regulatory Organizations; Fixed Income Clearing Corporation; Order Approving a Proposed Rule Change To Amend the GSD and MBSD Methodology Documents and the MBSD Clearing Rules 2019-05-31T00:00:00-07:00 2019-05-31T00:00:00-07:00 2019-11322 Notice https://www.govinfo.gov/content/pkg/FR-2019-05-31/pdf/2019-11322.pdf https://regulations.justia.com/regulations/fedreg/2019/05/31/2019-11320.html Notice - Self-Regulatory Organizations; The Nasdaq Stock Market LLC; Notice of Designation of Longer Period for Commission Action on a Proposed Rule Change To Revise the Exchange's Initial Listing Standards Related to Liquidity 2019-05-31T00:00:00-07:00 2019-05-31T00:00:00-07:00 2019-11320 Notice https://www.govinfo.gov/content/pkg/FR-2019-05-31/pdf/2019-11320.pdf https://regulations.justia.com/regulations/fedreg/2019/05/31/2019-11319.html Notice - Self-Regulatory Organizations; LCH SA; Notice of Filing of Proposed Rule Change, as Modified by Amendments No. 1 and 2, To Implement Settled-to-Market Treatment of Variation Margin, Permit the Creation of Multiple Account Structures, Permit Select Members To Provide Clearing Services to Affiliated Firms, and Update the Onboarding Procedures 2019-05-31T00:00:00-07:00 2019-05-31T00:00:00-07:00 2019-11319 Notice https://www.govinfo.gov/content/pkg/FR-2019-05-31/pdf/2019-11319.pdf https://regulations.justia.com/regulations/fedreg/2019/05/31/2019-11318.html Notice - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing of Proposed Rule Change Amending Section 303A.08 of the Listed Company Manual Relating to Shareholder Approval of Equity Compensation Plans 2019-05-31T00:00:00-07:00 2019-05-31T00:00:00-07:00 2019-11318 Notice https://www.govinfo.gov/content/pkg/FR-2019-05-31/pdf/2019-11318.pdf https://regulations.justia.com/regulations/fedreg/2019/05/30/2019-11238.html Notice - Self-Regulatory Organizations; Cboe C2 Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating To Amend Rule 6.11 2019-05-30T00:00:00-07:00 2019-05-30T00:00:00-07:00 2019-11238 Notice https://www.govinfo.gov/content/pkg/FR-2019-05-30/pdf/2019-11238.pdf https://regulations.justia.com/regulations/fedreg/2019/05/30/2019-11237.html Notice - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change of New Rule 7.44 To Operate Its Retail Liquidity Program on Pillar, the Exchange's New Technology Trading Platform 2019-05-30T00:00:00-07:00 2019-05-30T00:00:00-07:00 2019-11237 Notice https://www.govinfo.gov/content/pkg/FR-2019-05-30/pdf/2019-11237.pdf https://regulations.justia.com/regulations/fedreg/2019/05/30/2019-11235.html Notice - Self-Regulatory Organizations; Nasdaq ISE, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the Exchange's Market Maker Plus Program Under Options 7, Section 3 2019-05-30T00:00:00-07:00 2019-05-30T00:00:00-07:00 2019-11235 Notice https://www.govinfo.gov/content/pkg/FR-2019-05-30/pdf/2019-11235.pdf https://regulations.justia.com/regulations/fedreg/2019/05/30/2019-11234.html Notice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Rule 6.60-O 2019-05-30T00:00:00-07:00 2019-05-30T00:00:00-07:00 2019-11234 Notice https://www.govinfo.gov/content/pkg/FR-2019-05-30/pdf/2019-11234.pdf https://regulations.justia.com/regulations/fedreg/2019/05/30/2019-11230.html Notice - In the Matter of the BOX Exchange LLC Regarding an Order Disapproving Proposed Rule Changes To Amend the Fee Schedule on the BOX Market LLC Options Facility To Establish BOX Connectivity Fees for Participants and Non-Participants Who Connect to the BOX Network; Order Granting Petition for Review and Scheduling Filing of Statements 2019-05-30T00:00:00-07:00 2019-05-30T00:00:00-07:00 2019-11230 Notice https://www.govinfo.gov/content/pkg/FR-2019-05-30/pdf/2019-11230.pdf https://regulations.justia.com/regulations/fedreg/2019/05/30/2019-11223.html Notice - Program for Allocation of Regulatory Responsibilities Pursuant to Rule 17d-2; Notice of Filing of an Amendment to the Agreement Between the Financial Industry Regulatory Authority, Inc. and the NYSE Chicago, Inc. 2019-05-30T00:00:00-07:00 2019-05-30T00:00:00-07:00 2019-11223 Notice https://www.govinfo.gov/content/pkg/FR-2019-05-30/pdf/2019-11223.pdf https://regulations.justia.com/regulations/fedreg/2019/05/30/2019-11219.html Notice - Self-Regulatory Organizations; The Options Clearing Corporation; Notice of Filing of Advance Notice Concerning the Options Clearing Corporation's Proposal To Enter Into a New Credit Facility Agreement 2019-05-30T00:00:00-07:00 2019-05-30T00:00:00-07:00 2019-11219 Notice https://www.govinfo.gov/content/pkg/FR-2019-05-30/pdf/2019-11219.pdf https://regulations.justia.com/regulations/fedreg/2019/05/29/2019-11239.html Notice - Sunshine Act Meetings 2019-05-29T00:00:00-07:00 2019-05-29T00:00:00-07:00 2019-11239 Notice https://www.govinfo.gov/content/pkg/FR-2019-05-29/pdf/2019-11239.pdf https://regulations.justia.com/regulations/fedreg/2019/05/29/2019-11236.html Notice - Self-Regulatory Organizations; NYSE American LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Rule 967NY 2019-05-29T00:00:00-07:00 2019-05-29T00:00:00-07:00 2019-11236 Notice https://www.govinfo.gov/content/pkg/FR-2019-05-29/pdf/2019-11236.pdf https://regulations.justia.com/regulations/fedreg/2019/05/29/2019-11231.html Notice - Sunshine Act Meetings 2019-05-29T00:00:00-07:00 2019-05-29T00:00:00-07:00 2019-11231 Notice https://www.govinfo.gov/content/pkg/FR-2019-05-29/pdf/2019-11231.pdf https://regulations.justia.com/regulations/fedreg/2019/05/29/2019-11205.html Notice - Tudor Investment Corporation and Tudor Employee Investment Fund LLC 2019-05-29T00:00:00-07:00 2019-05-29T00:00:00-07:00 2019-11205 Notice https://www.govinfo.gov/content/pkg/FR-2019-05-29/pdf/2019-11205.pdf https://regulations.justia.com/regulations/fedreg/2019/05/29/2019-11108.html Notice - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the Independence Policy of the Board of Directors of the Exchange 2019-05-29T00:00:00-07:00 2019-05-29T00:00:00-07:00 2019-11108 Notice https://www.govinfo.gov/content/pkg/FR-2019-05-29/pdf/2019-11108.pdf https://regulations.justia.com/regulations/fedreg/2019/05/29/2019-11107.html Notice - Self-Regulatory Organizations; NYSE American LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the Independence Policy of the Board of Directors of the Exchange 2019-05-29T00:00:00-07:00 2019-05-29T00:00:00-07:00 2019-11107 Notice https://www.govinfo.gov/content/pkg/FR-2019-05-29/pdf/2019-11107.pdf https://regulations.justia.com/regulations/fedreg/2019/05/29/2019-11106.html Notice - Self-Regulatory Organizations; Nasdaq BX, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the Exchange's Transaction Fees and Credits at Equity 7, Section 118(a) 2019-05-29T00:00:00-07:00 2019-05-29T00:00:00-07:00 2019-11106 Notice https://www.govinfo.gov/content/pkg/FR-2019-05-29/pdf/2019-11106.pdf https://regulations.justia.com/regulations/fedreg/2019/05/29/2019-11105.html Notice - Self-Regulatory Organizations; MIAX Emerald, LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Exchange Rule 503, Openings on the Exchange 2019-05-29T00:00:00-07:00 2019-05-29T00:00:00-07:00 2019-11105 Notice https://www.govinfo.gov/content/pkg/FR-2019-05-29/pdf/2019-11105.pdf https://regulations.justia.com/regulations/fedreg/2019/05/29/2019-11101.html Notice - Self-Regulatory Organizations; MIAX PEARL, LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Exchange Rule 515, Execution of Orders 2019-05-29T00:00:00-07:00 2019-05-29T00:00:00-07:00 2019-11101 Notice https://www.govinfo.gov/content/pkg/FR-2019-05-29/pdf/2019-11101.pdf https://regulations.justia.com/regulations/fedreg/2019/05/29/2019-11100.html Notice - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Designation of a Longer Period for Commission Action on a Proposed Rule Change To Establish a Corporate Bond New Issue Reference Data Service 2019-05-29T00:00:00-07:00 2019-05-29T00:00:00-07:00 2019-11100 Notice https://www.govinfo.gov/content/pkg/FR-2019-05-29/pdf/2019-11100.pdf https://regulations.justia.com/regulations/fedreg/2019/05/29/2019-09932.html Proposed Rule - Amendments to the Accelerated Filer and Large Accelerated Filer Definitions 2019-05-29T00:00:00-07:00 2019-05-29T00:00:00-07:00 2019-09932 Proposed Rule https://www.govinfo.gov/content/pkg/FR-2019-05-29/pdf/2019-09932.pdf https://regulations.justia.com/regulations/fedreg/2019/05/28/2019-10997.html Notice - Notice Establishing the Commencement and Termination Dates of the Pre-Pilot Period of the Transaction Fee Pilot for National Market System Stocks 2019-05-28T00:00:00-07:00 2019-05-28T00:00:00-07:00 2019-10997 Notice https://www.govinfo.gov/content/pkg/FR-2019-05-28/pdf/2019-10997.pdf https://regulations.justia.com/regulations/fedreg/2019/05/28/2019-10989.html Notice - Self-Regulatory Organizations; ICE Clear Europe Limited; Notice of Filing of Proposed Rule Change, Security-Based Swap Submission or Advance Notice Relating to Amendments to the ICE Clear Europe Membership Policy 2019-05-28T00:00:00-07:00 2019-05-28T00:00:00-07:00 2019-10989 Notice https://www.govinfo.gov/content/pkg/FR-2019-05-28/pdf/2019-10989.pdf https://regulations.justia.com/regulations/fedreg/2019/05/28/2019-10988.html Notice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing of Proposed Rule Change To List and Trade Shares of JPMorgan Income Builder Blend ETF Under NYSE Arca Rule 8.600-E 2019-05-28T00:00:00-07:00 2019-05-28T00:00:00-07:00 2019-10988 Notice https://www.govinfo.gov/content/pkg/FR-2019-05-28/pdf/2019-10988.pdf https://regulations.justia.com/regulations/fedreg/2019/05/28/2019-10987.html Notice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing of Proposed Rule Change, as Modified by Amendment No. 1, Regarding Certain Changes to Investments of the First Trust TCW Unconstrained Plus Bond ETF 2019-05-28T00:00:00-07:00 2019-05-28T00:00:00-07:00 2019-10987 Notice https://www.govinfo.gov/content/pkg/FR-2019-05-28/pdf/2019-10987.pdf https://regulations.justia.com/regulations/fedreg/2019/05/28/2019-10986.html Notice - Self-Regulatory Organizations; ICE Clear Europe Limited; Notice of Filing of Proposed Rule Change, Security-Based Swap Submission or Advance Notice Relating to the ICE Clear Europe Recovery Plan 2019-05-28T00:00:00-07:00 2019-05-28T00:00:00-07:00 2019-10986 Notice https://www.govinfo.gov/content/pkg/FR-2019-05-28/pdf/2019-10986.pdf https://regulations.justia.com/regulations/fedreg/2019/05/28/2019-10985.html Notice - Self-Regulatory Organizations; MIAX Emerald, LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Its Fee Schedule 2019-05-28T00:00:00-07:00 2019-05-28T00:00:00-07:00 2019-10985 Notice https://www.govinfo.gov/content/pkg/FR-2019-05-28/pdf/2019-10985.pdf https://regulations.justia.com/regulations/fedreg/2019/05/28/2019-10983.html Notice - Proposed Collection; Comment Request 2019-05-28T00:00:00-07:00 2019-05-28T00:00:00-07:00 2019-10983 Notice https://www.govinfo.gov/content/pkg/FR-2019-05-28/pdf/2019-10983.pdf https://regulations.justia.com/regulations/fedreg/2019/05/28/2019-10982.html Notice - Proposed Collection; Comment Request 2019-05-28T00:00:00-07:00 2019-05-28T00:00:00-07:00 2019-10982 Notice https://www.govinfo.gov/content/pkg/FR-2019-05-28/pdf/2019-10982.pdf https://regulations.justia.com/regulations/fedreg/2019/05/28/2019-10981.html Notice - Proposed Collection; Comment Request 2019-05-28T00:00:00-07:00 2019-05-28T00:00:00-07:00 2019-10981 Notice https://www.govinfo.gov/content/pkg/FR-2019-05-28/pdf/2019-10981.pdf https://regulations.justia.com/regulations/fedreg/2019/05/28/2019-10975.html Notice - BlackRock Capital Investment Corporation, et al. 2019-05-28T00:00:00-07:00 2019-05-28T00:00:00-07:00 2019-10975 Notice https://www.govinfo.gov/content/pkg/FR-2019-05-28/pdf/2019-10975.pdf https://regulations.justia.com/regulations/fedreg/2019/05/28/2019-09472.html Proposed Rule - Amendments to Financial Disclosures About Acquired and Disposed Businesses 2019-05-28T00:00:00-07:00 2019-05-28T00:00:00-07:00 2019-09472 Proposed Rule https://www.govinfo.gov/content/pkg/FR-2019-05-28/pdf/2019-09472.pdf https://regulations.justia.com/regulations/fedreg/2019/05/24/2019-10859.html Notice - 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 a New MIDP Routing Option Under Rule 4758 and Make Conforming Changes to Rule 4703(e) 2019-05-24T00:00:00-07:00 2019-05-24T00:00:00-07:00 2019-10859 Notice https://www.govinfo.gov/content/pkg/FR-2019-05-24/pdf/2019-10859.pdf https://regulations.justia.com/regulations/fedreg/2019/05/24/2019-10858.html Notice - Self-Regulatory Organizations; Cboe BZX Exchange, Inc.; Order Instituting Proceedings To Determine Whether To Approve or Disapprove a Proposed Rule Change To List and Trade Shares of the VanEck SolidX Bitcoin Trust 2019-05-24T00:00:00-07:00 2019-05-24T00:00:00-07:00 2019-10858 Notice https://www.govinfo.gov/content/pkg/FR-2019-05-24/pdf/2019-10858.pdf https://regulations.justia.com/regulations/fedreg/2019/05/24/2019-10844.html Notice - Submission for OMB Review; Comment Request 2019-05-24T00:00:00-07:00 2019-05-24T00:00:00-07:00 2019-10844 Notice https://www.govinfo.gov/content/pkg/FR-2019-05-24/pdf/2019-10844.pdf https://regulations.justia.com/regulations/fedreg/2019/05/24/2019-10843.html Notice - Submission for OMB Review; Comment Request 2019-05-24T00:00:00-07:00 2019-05-24T00:00:00-07:00 2019-10843 Notice https://www.govinfo.gov/content/pkg/FR-2019-05-24/pdf/2019-10843.pdf https://regulations.justia.com/regulations/fedreg/2019/05/24/2019-10842.html Notice - Submission for OMB Review; Comment Request 2019-05-24T00:00:00-07:00 2019-05-24T00:00:00-07:00 2019-10842 Notice https://www.govinfo.gov/content/pkg/FR-2019-05-24/pdf/2019-10842.pdf https://regulations.justia.com/regulations/fedreg/2019/05/24/2019-10016.html Proposed Rule - Proposed Rule Amendments and Guidance Addressing Cross-Border Application of Certain Security-Based Swap Requirements 2019-05-24T00:00:00-07:00 2019-05-24T00:00:00-07:00 2019-10016 Proposed Rule https://www.govinfo.gov/content/pkg/FR-2019-05-24/pdf/2019-10016.pdf https://regulations.justia.com/regulations/fedreg/2019/05/23/2019-10810.html Notice - Fixed Income Market Structure Advisory Committee 2019-05-23T00:00:00-07:00 2019-05-23T00:00:00-07:00 2019-10810 Notice https://www.govinfo.gov/content/pkg/FR-2019-05-23/pdf/2019-10810.pdf https://regulations.justia.com/regulations/fedreg/2019/05/23/2019-10753.html Notice - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing of Proposed Rule Change Amending Section 302 of the Listed Company Manual To Provide Exemptions for the Issuers of Certain Categories of Securities From the Obligation To Hold Annual Shareholders' Meetings 2019-05-23T00:00:00-07:00 2019-05-23T00:00:00-07:00 2019-10753 Notice https://www.govinfo.gov/content/pkg/FR-2019-05-23/pdf/2019-10753.pdf https://regulations.justia.com/regulations/fedreg/2019/05/23/2019-10752.html Notice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the NYSE Arca Equities Fees and Charges To Adopt a Higher Credit for the Tier 2 Pricing Tier 2019-05-23T00:00:00-07:00 2019-05-23T00:00:00-07:00 2019-10752 Notice https://www.govinfo.gov/content/pkg/FR-2019-05-23/pdf/2019-10752.pdf https://regulations.justia.com/regulations/fedreg/2019/05/23/2019-10751.html Notice - Self-Regulatory Organizations; NYSE National, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Its Schedule of Fees and Rebates 2019-05-23T00:00:00-07:00 2019-05-23T00:00:00-07:00 2019-10751 Notice https://www.govinfo.gov/content/pkg/FR-2019-05-23/pdf/2019-10751.pdf https://regulations.justia.com/regulations/fedreg/2019/05/23/2019-10750.html Notice - Self-Regulatory Organizations; Nasdaq ISE, LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Its Rules Governing the Give Up of a Clearing Member 2019-05-23T00:00:00-07:00 2019-05-23T00:00:00-07:00 2019-10750 Notice https://www.govinfo.gov/content/pkg/FR-2019-05-23/pdf/2019-10750.pdf https://regulations.justia.com/regulations/fedreg/2019/05/22/C1-2019-09019.html Notice - Self-Regulatory Organizations; Nasdaq PHLX LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Relocate the Floor Trading Rules to Options 8 2019-05-22T00:00:00-07:00 2019-05-22T00:00:00-07:00 C1-2019-09019 Notice https://www.govinfo.gov/content/pkg/FR-2019-05-22/pdf/C1-2019-09019.pdf https://regulations.justia.com/regulations/fedreg/2019/05/22/2019-10645.html Notice - Self-Regulatory Organizations; Cboe BZX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule To Amend the Fees Applicable to Securities Listed on the Exchange, Set Forth in BZX Rule 14.13, Company Listing Fees 2019-05-22T00:00:00-07:00 2019-05-22T00:00:00-07:00 2019-10645 Notice https://www.govinfo.gov/content/pkg/FR-2019-05-22/pdf/2019-10645.pdf https://regulations.justia.com/regulations/fedreg/2019/05/22/2019-10644.html Notice - Self-Regulatory Organizations; Cboe EDGX Exchange, Inc.; Notice of Designation of Longer Period for Commission Action on Proposed Rule Change To Introduce Retail Priority 2019-05-22T00:00:00-07:00 2019-05-22T00:00:00-07:00 2019-10644 Notice https://www.govinfo.gov/content/pkg/FR-2019-05-22/pdf/2019-10644.pdf https://regulations.justia.com/regulations/fedreg/2019/05/22/2019-10643.html Notice - Self-Regulatory Organizations; Nasdaq PHLX LLC; Notice of Filing of Proposed Rule Change Relating to the Allocation and Prioritization of Automatically Executed Trades 2019-05-22T00:00:00-07:00 2019-05-22T00:00:00-07:00 2019-10643 Notice https://www.govinfo.gov/content/pkg/FR-2019-05-22/pdf/2019-10643.pdf https://regulations.justia.com/regulations/fedreg/2019/05/22/2019-10642.html Notice - Self-Regulatory Organizations; NYSE American LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Modify Rule 961 and Conforming Changes to Rules 933NY and 995NY Governing the Give Up of a Clearing Broker 2019-05-22T00:00:00-07:00 2019-05-22T00:00:00-07:00 2019-10642 Notice https://www.govinfo.gov/content/pkg/FR-2019-05-22/pdf/2019-10642.pdf https://regulations.justia.com/regulations/fedreg/2019/05/22/2019-10641.html Notice - Self-Regulatory Organizations; NYSE American LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Allow $1 Strike Price Intervals Above $200 on Options on the QQQ and IWM Exchange-Traded Funds 2019-05-22T00:00:00-07:00 2019-05-22T00:00:00-07:00 2019-10641 Notice https://www.govinfo.gov/content/pkg/FR-2019-05-22/pdf/2019-10641.pdf https://regulations.justia.com/regulations/fedreg/2019/05/22/2019-10640.html Notice - Self-Regulatory Organizations; The Options Clearing Corporation; Order Approving Proposed Rule Change Related to The Options Clearing Corporation's Margin Methodology for Volatility Index Futures 2019-05-22T00:00:00-07:00 2019-05-22T00:00:00-07:00 2019-10640 Notice https://www.govinfo.gov/content/pkg/FR-2019-05-22/pdf/2019-10640.pdf https://regulations.justia.com/regulations/fedreg/2019/05/22/2019-10639.html Notice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Allow $1 Strike Price Intervals Above $200 on Options on the QQQ and IWM Exchange-Traded Funds 2019-05-22T00:00:00-07:00 2019-05-22T00:00:00-07:00 2019-10639 Notice https://www.govinfo.gov/content/pkg/FR-2019-05-22/pdf/2019-10639.pdf https://regulations.justia.com/regulations/fedreg/2019/05/22/2019-10638.html Notice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Modify Rule 6.15-O and Conforming Changes to Rule 6.46-O Governing the Give Up of a Clearing Broker 2019-05-22T00:00:00-07:00 2019-05-22T00:00:00-07:00 2019-10638 Notice https://www.govinfo.gov/content/pkg/FR-2019-05-22/pdf/2019-10638.pdf https://regulations.justia.com/regulations/fedreg/2019/05/21/2019-10649.html Notice - Sunshine Act Meetings 2019-05-21T00:00:00-07:00 2019-05-21T00:00:00-07:00 2019-10649 Notice https://www.govinfo.gov/content/pkg/FR-2019-05-21/pdf/2019-10649.pdf https://regulations.justia.com/regulations/fedreg/2019/05/21/2019-10523.html Notice - Self-Regulatory Organizations; The Options Clearing Corporation; Notice of No Objection to Advance Notice Related to The Options Clearing Corporation's Margin Methodology for Volatility Index Futures 2019-05-21T00:00:00-07:00 2019-05-21T00:00:00-07:00 2019-10523 Notice https://www.govinfo.gov/content/pkg/FR-2019-05-21/pdf/2019-10523.pdf https://regulations.justia.com/regulations/fedreg/2019/05/21/2019-10522.html Notice - Self-Regulatory Organizations; The Options Clearing Corporation; Notice of Filing of Advance Notice Related to the Introduction of a New Liquidation Cost Model in The Options Clearing Corporation's Margin Methodology 2019-05-21T00:00:00-07:00 2019-05-21T00:00:00-07:00 2019-10522 Notice https://www.govinfo.gov/content/pkg/FR-2019-05-21/pdf/2019-10522.pdf https://regulations.justia.com/regulations/fedreg/2019/05/21/2019-10516.html Notice - Self-Regulatory Organizations; Cboe BZX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the BZX Equities Fee Schedule To Correct an Inadvertent Drafting Error Introduced in a Previous Rule Filing 2019-05-21T00:00:00-07:00 2019-05-21T00:00:00-07:00 2019-10516 Notice https://www.govinfo.gov/content/pkg/FR-2019-05-21/pdf/2019-10516.pdf https://regulations.justia.com/regulations/fedreg/2019/05/21/2019-10515.html Notice - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Its Price List 2019-05-21T00:00:00-07:00 2019-05-21T00:00:00-07:00 2019-10515 Notice https://www.govinfo.gov/content/pkg/FR-2019-05-21/pdf/2019-10515.pdf https://regulations.justia.com/regulations/fedreg/2019/05/21/2019-10514.html Notice - Self-Regulatory Organizations; Cboe BZX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Allow the Main Sector Rotation ETF, a Series of the Northern Lights Fund Trust IV, To Hold Listed Options Contracts in a Manner That Does Not Comply With Rule 14.11(i), Managed Fund Shares 2019-05-21T00:00:00-07:00 2019-05-21T00:00:00-07:00 2019-10514 Notice https://www.govinfo.gov/content/pkg/FR-2019-05-21/pdf/2019-10514.pdf https://regulations.justia.com/regulations/fedreg/2019/05/21/2019-10513.html Notice - Self-Regulatory Organizations; Miami PEARL, LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Exchange Rule 404, Series of Option Contracts Open for Trading 2019-05-21T00:00:00-07:00 2019-05-21T00:00:00-07:00 2019-10513 Notice https://www.govinfo.gov/content/pkg/FR-2019-05-21/pdf/2019-10513.pdf https://regulations.justia.com/regulations/fedreg/2019/05/21/2019-10512.html Notice - Self-Regulatory Organizations; Nasdaq PHLX LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the Exchange's Transaction Fees at Equity 7, Section 3 To Adopt a Qualified Market Maker Program and a Related Credit, and To Modify Two Existing Fees 2019-05-21T00:00:00-07:00 2019-05-21T00:00:00-07:00 2019-10512 Notice https://www.govinfo.gov/content/pkg/FR-2019-05-21/pdf/2019-10512.pdf https://regulations.justia.com/regulations/fedreg/2019/05/21/2019-10511.html Notice - Nuveen Churchill BDC LLC, et al. 2019-05-21T00:00:00-07:00 2019-05-21T00:00:00-07:00 2019-10511 Notice https://www.govinfo.gov/content/pkg/FR-2019-05-21/pdf/2019-10511.pdf https://regulations.justia.com/regulations/fedreg/2019/05/21/2019-10510.html Notice - Self-Regulatory Organizations; Miami International Securities Exchange, LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Exchange Rule 404, Series of Option Contracts Open for Trading 2019-05-21T00:00:00-07:00 2019-05-21T00:00:00-07:00 2019-10510 Notice https://www.govinfo.gov/content/pkg/FR-2019-05-21/pdf/2019-10510.pdf https://regulations.justia.com/regulations/fedreg/2019/05/21/2019-10509.html Notice - Self-Regulatory Organizations; NYSE Arca, Inc.; Order Instituting Proceedings To Determine Whether To Approve or Disapprove a Proposed Rule Change Relating to the Listing and Trading of the Shares of the ProShares UltraPro 3x Natural Gas ETF and ProShares UltraPro 3x Short Natural Gas ETF Under NYSE Arca Rule 8.200-E 2019-05-21T00:00:00-07:00 2019-05-21T00:00:00-07:00 2019-10509 Notice https://www.govinfo.gov/content/pkg/FR-2019-05-21/pdf/2019-10509.pdf https://regulations.justia.com/regulations/fedreg/2019/05/21/2019-10508.html Notice - Self-Regulatory Organizations; The Nasdaq Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Equity 7, Section 118(a) 2019-05-21T00:00:00-07:00 2019-05-21T00:00:00-07:00 2019-10508 Notice https://www.govinfo.gov/content/pkg/FR-2019-05-21/pdf/2019-10508.pdf https://regulations.justia.com/regulations/fedreg/2019/05/21/2019-10351.html Notice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing of Amendment No. 1 and Order Instituting Proceedings To Determine Whether To Approve or Disapprove a Proposed Rule Change, as Modified by Amendment No. 1, Relating to the Listing and Trading of Shares of the Bitwise Bitcoin ETF Trust 2019-05-21T00:00:00-07:00 2019-05-21T00:00:00-07:00 2019-10351 Notice https://www.govinfo.gov/content/pkg/FR-2019-05-21/pdf/2019-10351.pdf https://regulations.justia.com/regulations/fedreg/2019/05/20/2019-10352.html Notice - Self-Regulatory Organizations; Cboe C2 Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Add Certain Fees Related to the Listing and Trading of Options Contracts on the Dow Jones Industrial Average Index (“DJX”) 2019-05-20T00:00:00-07:00 2019-05-20T00:00:00-07:00 2019-10352 Notice https://www.govinfo.gov/content/pkg/FR-2019-05-20/pdf/2019-10352.pdf https://regulations.justia.com/regulations/fedreg/2019/05/20/2019-10350.html Notice - Self-Regulatory Organizations; Cboe EDGX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the Fee Schedule 2019-05-20T00:00:00-07:00 2019-05-20T00:00:00-07:00 2019-10350 Notice https://www.govinfo.gov/content/pkg/FR-2019-05-20/pdf/2019-10350.pdf https://regulations.justia.com/regulations/fedreg/2019/05/17/2019-10234.html Notice - Proposed Collection; Comment Request 2019-05-17T00:00:00-07:00 2019-05-17T00:00:00-07:00 2019-10234 Notice https://www.govinfo.gov/content/pkg/FR-2019-05-17/pdf/2019-10234.pdf https://regulations.justia.com/regulations/fedreg/2019/05/17/2019-10228.html Notice - Self-Regulatory Organizations; Cboe EDGA Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the EDGA Equities Trading Platform Fee Schedule 2019-05-17T00:00:00-07:00 2019-05-17T00:00:00-07:00 2019-10228 Notice https://www.govinfo.gov/content/pkg/FR-2019-05-17/pdf/2019-10228.pdf https://regulations.justia.com/regulations/fedreg/2019/05/17/2019-10227.html Notice - Self-Regulatory Organizations; ICE Clear Europe Limited; Notice of Filing of Proposed Rule Change, Security-Based Swap Submission or Advance Notice Relating to amendments to the ICE Clear Europe Clearing Rules (the “Rules”) 2019-05-17T00:00:00-07:00 2019-05-17T00:00:00-07:00 2019-10227 Notice https://www.govinfo.gov/content/pkg/FR-2019-05-17/pdf/2019-10227.pdf https://regulations.justia.com/regulations/fedreg/2019/05/17/2019-10226.html Notice - Self-Regulatory Organizations; Cboe BZX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Its Fee Schedule 2019-05-17T00:00:00-07:00 2019-05-17T00:00:00-07:00 2019-10226 Notice https://www.govinfo.gov/content/pkg/FR-2019-05-17/pdf/2019-10226.pdf https://regulations.justia.com/regulations/fedreg/2019/05/17/2019-10225.html Notice - Self-Regulatory Organizations; Cboe BZX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Delay the Operative Date of Rule Change Pursuant to SR-CboeBZX-2019-025 2019-05-17T00:00:00-07:00 2019-05-17T00:00:00-07:00 2019-10225 Notice https://www.govinfo.gov/content/pkg/FR-2019-05-17/pdf/2019-10225.pdf https://regulations.justia.com/regulations/fedreg/2019/05/17/2019-10224.html Notice - Self-Regulatory Organizations; The Nasdaq Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the Exchange's Pricing Schedule in Options 7, Section 2 2019-05-17T00:00:00-07:00 2019-05-17T00:00:00-07:00 2019-10224 Notice https://www.govinfo.gov/content/pkg/FR-2019-05-17/pdf/2019-10224.pdf https://regulations.justia.com/regulations/fedreg/2019/05/16/2019-10125.html Notice - Self-Regulatory Organizations; Cboe EDGX Exchange, Inc.; Notice of Filing of a Proposed Rule Change To Adopt Rule 21.22 (Complex Automated Improvement Mechanism) 2019-05-16T00:00:00-07:00 2019-05-16T00:00:00-07:00 2019-10125 Notice https://www.govinfo.gov/content/pkg/FR-2019-05-16/pdf/2019-10125.pdf https://regulations.justia.com/regulations/fedreg/2019/05/16/2019-10124.html Notice - 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 Exchange Rules 104 and 36 To Require Designated Market Makers To Communicate With a Designed Senior Representative of the Issuers of the DMM's Assigned Securities 2019-05-16T00:00:00-07:00 2019-05-16T00:00:00-07:00 2019-10124 Notice https://www.govinfo.gov/content/pkg/FR-2019-05-16/pdf/2019-10124.pdf https://regulations.justia.com/regulations/fedreg/2019/05/16/2019-10123.html Notice - Self-Regulatory Organizations; Cboe BZX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the Fee Schedule Applicable to the BZX Equities Trading Platform (“BZX Equities”) as It Relates to Pricing for the Use of the TRIM Routing Strategy 2019-05-16T00:00:00-07:00 2019-05-16T00:00:00-07:00 2019-10123 Notice https://www.govinfo.gov/content/pkg/FR-2019-05-16/pdf/2019-10123.pdf https://regulations.justia.com/regulations/fedreg/2019/05/16/2019-10121.html Notice - Self-Regulatory Organizations; Cboe EDGA Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Related To Amending its Fee Schedule Assessed on Members To Establish a Monthly Trading Rights Fee 2019-05-16T00:00:00-07:00 2019-05-16T00:00:00-07:00 2019-10121 Notice https://www.govinfo.gov/content/pkg/FR-2019-05-16/pdf/2019-10121.pdf https://regulations.justia.com/regulations/fedreg/2019/05/16/2019-10120.html Notice - Self-Regulatory Organizations; Cboe BYX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Related To Amending its Fee Schedule Assessed on Members To Establish a Monthly Trading Rights Fee 2019-05-16T00:00:00-07:00 2019-05-16T00:00:00-07:00 2019-10120 Notice https://www.govinfo.gov/content/pkg/FR-2019-05-16/pdf/2019-10120.pdf https://regulations.justia.com/regulations/fedreg/2019/05/16/2019-10119.html Notice - Self-Regulatory Organizations; Cboe BZX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Related to Amending Its Fee Schedule Assessed on Members To Establish a Monthly Trading Rights Fee 2019-05-16T00:00:00-07:00 2019-05-16T00:00:00-07:00 2019-10119 Notice https://www.govinfo.gov/content/pkg/FR-2019-05-16/pdf/2019-10119.pdf https://regulations.justia.com/regulations/fedreg/2019/05/16/2019-10118.html Notice - Self-Regulatory Organizations; MIAX Emerald, LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Adopt System Connectivity Fees 2019-05-16T00:00:00-07:00 2019-05-16T00:00:00-07:00 2019-10118 Notice https://www.govinfo.gov/content/pkg/FR-2019-05-16/pdf/2019-10118.pdf https://regulations.justia.com/regulations/fedreg/2019/05/16/2019-10117.html Notice - Self-Regulatory Organizations; Cboe EDGX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Related to Amending its Fee Schedule Assessed on Members To Establish a Monthly Trading Rights Fee 2019-05-16T00:00:00-07:00 2019-05-16T00:00:00-07:00 2019-10117 Notice https://www.govinfo.gov/content/pkg/FR-2019-05-16/pdf/2019-10117.pdf https://regulations.justia.com/regulations/fedreg/2019/05/16/2019-10116.html Notice - Self-Regulatory Organizations; MIAX PEARL, LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the MIAX PEARL Fee Schedule 2019-05-16T00:00:00-07:00 2019-05-16T00:00:00-07:00 2019-10116 Notice https://www.govinfo.gov/content/pkg/FR-2019-05-16/pdf/2019-10116.pdf https://regulations.justia.com/regulations/fedreg/2019/05/16/2019-10115.html Notice - Self-Regulatory Organizations; Miami International Securities Exchange LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Its Fee Schedule 2019-05-16T00:00:00-07:00 2019-05-16T00:00:00-07:00 2019-10115 Notice https://www.govinfo.gov/content/pkg/FR-2019-05-16/pdf/2019-10115.pdf https://regulations.justia.com/regulations/fedreg/2019/05/16/2019-10114.html Notice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Designation of a Longer Period for Commission Action on a Proposed Rule Change Relating to Certain Changes Regarding Investments of the PGIM Ultra Short Bond ETF Under NYSE Arca Rule 8.600-E 2019-05-16T00:00:00-07:00 2019-05-16T00:00:00-07:00 2019-10114 Notice https://www.govinfo.gov/content/pkg/FR-2019-05-16/pdf/2019-10114.pdf https://regulations.justia.com/regulations/fedreg/2019/05/16/2019-10113.html Notice - Self-Regulatory Organizations; Cboe BYX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the Fee Schedule Applicable to the BYX Equities Trading Platform (“BYX Equities”) as it Relates to Pricing for the Use of the TRIM Routing Strategy 2019-05-16T00:00:00-07:00 2019-05-16T00:00:00-07:00 2019-10113 Notice https://www.govinfo.gov/content/pkg/FR-2019-05-16/pdf/2019-10113.pdf https://regulations.justia.com/regulations/fedreg/2019/05/16/2019-10103.html Notice - Collaborative Investment Series Trust and Belpointe Asset Management, LLC 2019-05-16T00:00:00-07:00 2019-05-16T00:00:00-07:00 2019-10103 Notice https://www.govinfo.gov/content/pkg/FR-2019-05-16/pdf/2019-10103.pdf https://regulations.justia.com/regulations/fedreg/2019/05/15/2019-10037.html Notice - In the Matter of the Application of Long Term Stock Exchange, Inc.; for Registration as a National Securities Exchange; Findings, Opinion, and Order of the Commission 2019-05-15T00:00:00-07:00 2019-05-15T00:00:00-07:00 2019-10037 Notice https://www.govinfo.gov/content/pkg/FR-2019-05-15/pdf/2019-10037.pdf https://regulations.justia.com/regulations/fedreg/2019/05/15/2019-09967.html Notice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Modify the NYSE Arca Options Fee Schedule 2019-05-15T00:00:00-07:00 2019-05-15T00:00:00-07:00 2019-09967 Notice https://www.govinfo.gov/content/pkg/FR-2019-05-15/pdf/2019-09967.pdf