Federal Register Recent Federal Regulation Documents - Justia Regulation Tracker - Justia Regulations Tracker https://regulations.justia.com/regulations/fedreg/agencies/agencies-and-commissions/securities-and-exchange-commission/2018/01/09?limit=200&registers=between&mode=atom 2024-12-22T12:47:47-08:00 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/2018/01/09/2018-00214.html Notice - Self-Regulatory Organizations; Nasdaq PHLX LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the Exchange's Pricing Schedule 2018-01-09T00:00:00-08:00 2018-01-09T00:00:00-08:00 2018-00214 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-01-09/pdf/2018-00214.pdf https://regulations.justia.com/regulations/fedreg/2018/01/09/2018-00168.html Notice - Joint Industry Plan; Notice of Filing and Immediate Effectiveness of the Forty-First Amendment to the Joint Self-Regulatory Organization Plan Governing the Collection, Consolidation and Dissemination of Quotation and Transaction Information for Nasdaq-Listed Securities Traded on Exchanges on an Unlisted Trading Privileges Basis 2018-01-09T00:00:00-08:00 2018-01-09T00:00:00-08:00 2018-00168 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-01-09/pdf/2018-00168.pdf https://regulations.justia.com/regulations/fedreg/2018/01/09/2018-00162.html Notice - Guggenheim Credit Income Fund, et al.; Notice of Application 2018-01-09T00:00:00-08:00 2018-01-09T00:00:00-08:00 2018-00162 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-01-09/pdf/2018-00162.pdf https://regulations.justia.com/regulations/fedreg/2018/01/09/2018-00161.html Notice - Self-Regulatory Organizations; The Nasdaq Stock Market LLC; Notice of Filing of Proposed Rule Change To List and Trade the Shares of the Western Asset Total Return ETF 2018-01-09T00:00:00-08:00 2018-01-09T00:00:00-08:00 2018-00161 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-01-09/pdf/2018-00161.pdf https://regulations.justia.com/regulations/fedreg/2018/01/09/2018-00160.html Notice - Self-Regulatory Organizations; Cboe EDGX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Adopt Risk Controls and Modify Rules 21.1, 21.10, and 21.17 in Connection With Technology Migration of Cboe Exchanges 2018-01-09T00:00:00-08:00 2018-01-09T00:00:00-08:00 2018-00160 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-01-09/pdf/2018-00160.pdf https://regulations.justia.com/regulations/fedreg/2018/01/09/2018-00159.html Notice - Self-Regulatory Organizations; The Depository Trust Company; Notice of Filing of Proposed Rule Change To Amend Procedures in the DTC Settlement Service Guide Relating to the Intra-Month Collection of Required Participants Fund Deposits 2018-01-09T00:00:00-08:00 2018-01-09T00:00:00-08:00 2018-00159 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-01-09/pdf/2018-00159.pdf https://regulations.justia.com/regulations/fedreg/2018/01/09/2018-00158.html Notice - Self-Regulatory Organizations; Cboe BZX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Adopt Risk Controls and Modify Rules 21.1, 21.10, and 21.17 in Connection With Technology Migration of Cboe Exchanges 2018-01-09T00:00:00-08:00 2018-01-09T00:00:00-08:00 2018-00158 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-01-09/pdf/2018-00158.pdf https://regulations.justia.com/regulations/fedreg/2018/01/09/2018-00157.html Notice - Self-Regulatory Organizations; Investors Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Related to the Optional IEX Aggregate Risk Controls Mechanism 2018-01-09T00:00:00-08:00 2018-01-09T00:00:00-08:00 2018-00157 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-01-09/pdf/2018-00157.pdf https://regulations.justia.com/regulations/fedreg/2018/01/09/2018-00156.html Notice - Northern Lights Fund Trust and AlphaCore Capital, LLC 2018-01-09T00:00:00-08:00 2018-01-09T00:00:00-08:00 2018-00156 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-01-09/pdf/2018-00156.pdf