<![CDATA[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?registers=between Sun, 22 Dec 2024 12:42:24 -0800 Sun, 22 Dec 2024 12:42:24 -0800 Justia Regulations Tracker Copyright 2011 Justia Inc. https://regulations.justia.com/images/justiafedregulations.gif <![CDATA[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?registers=between Notice - Self-Regulatory Organizations; Nasdaq PHLX LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the Exchange's Pricing Schedule https://regulations.justia.com/regulations/fedreg/2018/01/09/2018-00214.html https://regulations.justia.com/regulations/fedreg/2018/01/09/2018-00214.html Tue, 09 Jan 2018 00:00:00 -0800 2018-00214 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-01-09/pdf/2018-00214.pdf 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 https://regulations.justia.com/regulations/fedreg/2018/01/09/2018-00168.html https://regulations.justia.com/regulations/fedreg/2018/01/09/2018-00168.html Tue, 09 Jan 2018 00:00:00 -0800 2018-00168 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-01-09/pdf/2018-00168.pdf Notice - Guggenheim Credit Income Fund, et al.; Notice of Application https://regulations.justia.com/regulations/fedreg/2018/01/09/2018-00162.html https://regulations.justia.com/regulations/fedreg/2018/01/09/2018-00162.html Tue, 09 Jan 2018 00:00:00 -0800 2018-00162 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-01-09/pdf/2018-00162.pdf 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 https://regulations.justia.com/regulations/fedreg/2018/01/09/2018-00161.html https://regulations.justia.com/regulations/fedreg/2018/01/09/2018-00161.html Tue, 09 Jan 2018 00:00:00 -0800 2018-00161 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-01-09/pdf/2018-00161.pdf 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 https://regulations.justia.com/regulations/fedreg/2018/01/09/2018-00160.html https://regulations.justia.com/regulations/fedreg/2018/01/09/2018-00160.html Tue, 09 Jan 2018 00:00:00 -0800 2018-00160 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-01-09/pdf/2018-00160.pdf 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 https://regulations.justia.com/regulations/fedreg/2018/01/09/2018-00159.html https://regulations.justia.com/regulations/fedreg/2018/01/09/2018-00159.html Tue, 09 Jan 2018 00:00:00 -0800 2018-00159 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-01-09/pdf/2018-00159.pdf 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 https://regulations.justia.com/regulations/fedreg/2018/01/09/2018-00158.html https://regulations.justia.com/regulations/fedreg/2018/01/09/2018-00158.html Tue, 09 Jan 2018 00:00:00 -0800 2018-00158 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-01-09/pdf/2018-00158.pdf 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 https://regulations.justia.com/regulations/fedreg/2018/01/09/2018-00157.html https://regulations.justia.com/regulations/fedreg/2018/01/09/2018-00157.html Tue, 09 Jan 2018 00:00:00 -0800 2018-00157 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-01-09/pdf/2018-00157.pdf Notice - Northern Lights Fund Trust and AlphaCore Capital, LLC https://regulations.justia.com/regulations/fedreg/2018/01/09/2018-00156.html https://regulations.justia.com/regulations/fedreg/2018/01/09/2018-00156.html Tue, 09 Jan 2018 00:00:00 -0800 2018-00156 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-01-09/pdf/2018-00156.pdf