<![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/2018/01/16?registers=between Thu, 16 May 2024 20:35:00 -0700 Thu, 16 May 2024 20:35:00 -0700 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/2018/01/16?registers=between Notice - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Order Instituting Proceedings To Determine Whether To Approve or Disapprove a Proposed Rule Change To Modify the Listing Requirements Related to Special Purpose Acquisition Companies Listing Standards To Reduce Round Lot Holders on Nasdaq Capital Market for Initial Listing From 300 to 150 and Eliminate Public Holders for Continued Listing From 300 to Zero, Require $5 Million in Net Tangible Assets for Initial and Continued Listing on Nasdaq Capital Market, and Impose a Deadline To Demonstrate Compliance With Initial Listing Requirements on All Nasdaq Markets Within 30 Days Following Each Business Combination https://regulations.justia.com/regulations/fedreg/2018/01/16/2018-00535.html https://regulations.justia.com/regulations/fedreg/2018/01/16/2018-00535.html Tue, 16 Jan 2018 00:00:00 -0800 2018-00535 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-01-16/pdf/2018-00535.pdf Notice - Self-Regulatory Organizations; Cboe BYX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Related to Transaction Fees https://regulations.justia.com/regulations/fedreg/2018/01/16/2018-00534.html https://regulations.justia.com/regulations/fedreg/2018/01/16/2018-00534.html Tue, 16 Jan 2018 00:00:00 -0800 2018-00534 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-01-16/pdf/2018-00534.pdf Notice - Self-Regulatory Organizations; Bats BZX Exchange, Inc.; Order Approving a Proposed Rule Change, as Modified by Amendment No. 2, To List and Trade Shares of the Cboe Vest S&P 500® Dividend Aristocrats® Target Income Index ETF Under the ETF Series Solutions Trust Under Rule 14.11(c)(3) https://regulations.justia.com/regulations/fedreg/2018/01/16/2018-00533.html https://regulations.justia.com/regulations/fedreg/2018/01/16/2018-00533.html Tue, 16 Jan 2018 00:00:00 -0800 2018-00533 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-01-16/pdf/2018-00533.pdf Notice - Self-Regulatory Organizations; Cboe BZX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Related to Fees for the BZX Depth Market Data Product https://regulations.justia.com/regulations/fedreg/2018/01/16/2018-00532.html https://regulations.justia.com/regulations/fedreg/2018/01/16/2018-00532.html Tue, 16 Jan 2018 00:00:00 -0800 2018-00532 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-01-16/pdf/2018-00532.pdf Notice - Self-Regulatory Organizations; Nasdaq PHLX LLC; Order Granting Approval of a Proposed Rule Change To Amend Rule 1009 To Modify the Criteria for Listing an Option on an Underlying Covered Security https://regulations.justia.com/regulations/fedreg/2018/01/16/2018-00531.html https://regulations.justia.com/regulations/fedreg/2018/01/16/2018-00531.html Tue, 16 Jan 2018 00:00:00 -0800 2018-00531 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-01-16/pdf/2018-00531.pdf Notice - Self-Regulatory Organizations; The Options Clearing Corporation; Notice of Filing of Proposed Rule Change Related to The Options Clearing Corporation's Model Risk Management Policy https://regulations.justia.com/regulations/fedreg/2018/01/16/2018-00530.html https://regulations.justia.com/regulations/fedreg/2018/01/16/2018-00530.html Tue, 16 Jan 2018 00:00:00 -0800 2018-00530 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-01-16/pdf/2018-00530.pdf Notice - Self-Regulatory Organizations; Nasdaq ISE, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the Price Level Protection Rule https://regulations.justia.com/regulations/fedreg/2018/01/16/2018-00529.html https://regulations.justia.com/regulations/fedreg/2018/01/16/2018-00529.html Tue, 16 Jan 2018 00:00:00 -0800 2018-00529 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-01-16/pdf/2018-00529.pdf Notice - Self-Regulatory Organizations; Cboe BYX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Related to Fees for the BYX Depth Market Data Product https://regulations.justia.com/regulations/fedreg/2018/01/16/2018-00528.html https://regulations.justia.com/regulations/fedreg/2018/01/16/2018-00528.html Tue, 16 Jan 2018 00:00:00 -0800 2018-00528 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-01-16/pdf/2018-00528.pdf Notice - Self-Regulatory Organizations; Nasdaq PHLX LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend a Cross-Reference in Rule 1017 (Openings in Options) https://regulations.justia.com/regulations/fedreg/2018/01/16/2018-00527.html https://regulations.justia.com/regulations/fedreg/2018/01/16/2018-00527.html Tue, 16 Jan 2018 00:00:00 -0800 2018-00527 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-01-16/pdf/2018-00527.pdf Notice - Self-Regulatory Organizations; Cboe EDGX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Related to Fees for the EDGX Depth Market Data Product https://regulations.justia.com/regulations/fedreg/2018/01/16/2018-00526.html https://regulations.justia.com/regulations/fedreg/2018/01/16/2018-00526.html Tue, 16 Jan 2018 00:00:00 -0800 2018-00526 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-01-16/pdf/2018-00526.pdf Notice - Self-Regulatory Organizations; Cboe EDGA Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Related to Fees for the EDGA Depth Market Data Product https://regulations.justia.com/regulations/fedreg/2018/01/16/2018-00525.html https://regulations.justia.com/regulations/fedreg/2018/01/16/2018-00525.html Tue, 16 Jan 2018 00:00:00 -0800 2018-00525 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-01-16/pdf/2018-00525.pdf Notice - Self-Regulatory Organizations; The Nasdaq Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Exchange Rule 7037 https://regulations.justia.com/regulations/fedreg/2018/01/16/2018-00524.html https://regulations.justia.com/regulations/fedreg/2018/01/16/2018-00524.html Tue, 16 Jan 2018 00:00:00 -0800 2018-00524 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-01-16/pdf/2018-00524.pdf Notice - Self-Regulatory Organizations; Nasdaq GEMX, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the Exchange's Schedule of Fees at Chapter V, Section H, Entitled “Nasdaq GEMX Trades Feed” https://regulations.justia.com/regulations/fedreg/2018/01/16/2018-00523.html https://regulations.justia.com/regulations/fedreg/2018/01/16/2018-00523.html Tue, 16 Jan 2018 00:00:00 -0800 2018-00523 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-01-16/pdf/2018-00523.pdf Notice - Self-Regulatory Organizations; Nasdaq ISE, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the Exchange's Schedule of Fees at Chapter VIII, Section J, Entitled “Nasdaq ISE Trades Feed” https://regulations.justia.com/regulations/fedreg/2018/01/16/2018-00522.html https://regulations.justia.com/regulations/fedreg/2018/01/16/2018-00522.html Tue, 16 Jan 2018 00:00:00 -0800 2018-00522 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-01-16/pdf/2018-00522.pdf Notice - Proposed Collection; Comment Request https://regulations.justia.com/regulations/fedreg/2018/01/16/2018-00514.html https://regulations.justia.com/regulations/fedreg/2018/01/16/2018-00514.html Tue, 16 Jan 2018 00:00:00 -0800 2018-00514 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-01-16/pdf/2018-00514.pdf Notice - Proposed Collection; Comment Request https://regulations.justia.com/regulations/fedreg/2018/01/16/2018-00504.html https://regulations.justia.com/regulations/fedreg/2018/01/16/2018-00504.html Tue, 16 Jan 2018 00:00:00 -0800 2018-00504 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-01-16/pdf/2018-00504.pdf Notice - Proposed Collection; Comment Request https://regulations.justia.com/regulations/fedreg/2018/01/16/2018-00503.html https://regulations.justia.com/regulations/fedreg/2018/01/16/2018-00503.html Tue, 16 Jan 2018 00:00:00 -0800 2018-00503 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-01-16/pdf/2018-00503.pdf Notice - Proposed Collection; Comment Request https://regulations.justia.com/regulations/fedreg/2018/01/16/2018-00502.html https://regulations.justia.com/regulations/fedreg/2018/01/16/2018-00502.html Tue, 16 Jan 2018 00:00:00 -0800 2018-00502 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-01-16/pdf/2018-00502.pdf Notice - Proposed Collection; Comment Request https://regulations.justia.com/regulations/fedreg/2018/01/16/2018-00501.html https://regulations.justia.com/regulations/fedreg/2018/01/16/2018-00501.html Tue, 16 Jan 2018 00:00:00 -0800 2018-00501 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-01-16/pdf/2018-00501.pdf Notice - Proposed Collection; Comment Request https://regulations.justia.com/regulations/fedreg/2018/01/16/2018-00500.html https://regulations.justia.com/regulations/fedreg/2018/01/16/2018-00500.html Tue, 16 Jan 2018 00:00:00 -0800 2018-00500 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-01-16/pdf/2018-00500.pdf Notice - Proposed Collection; Comment Request https://regulations.justia.com/regulations/fedreg/2018/01/16/2018-00499.html https://regulations.justia.com/regulations/fedreg/2018/01/16/2018-00499.html Tue, 16 Jan 2018 00:00:00 -0800 2018-00499 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-01-16/pdf/2018-00499.pdf Notice - Proposed Collection; Comment Request https://regulations.justia.com/regulations/fedreg/2018/01/16/2018-00498.html https://regulations.justia.com/regulations/fedreg/2018/01/16/2018-00498.html Tue, 16 Jan 2018 00:00:00 -0800 2018-00498 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-01-16/pdf/2018-00498.pdf Notice - Proposed Collection; Comment Request https://regulations.justia.com/regulations/fedreg/2018/01/16/2018-00497.html https://regulations.justia.com/regulations/fedreg/2018/01/16/2018-00497.html Tue, 16 Jan 2018 00:00:00 -0800 2018-00497 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-01-16/pdf/2018-00497.pdf Notice - Proposed Collection; Comment Request https://regulations.justia.com/regulations/fedreg/2018/01/16/2018-00496.html https://regulations.justia.com/regulations/fedreg/2018/01/16/2018-00496.html Tue, 16 Jan 2018 00:00:00 -0800 2018-00496 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-01-16/pdf/2018-00496.pdf Notice - Proposed Collection; Comment Request https://regulations.justia.com/regulations/fedreg/2018/01/16/2018-00495.html https://regulations.justia.com/regulations/fedreg/2018/01/16/2018-00495.html Tue, 16 Jan 2018 00:00:00 -0800 2018-00495 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-01-16/pdf/2018-00495.pdf Notice - Proposed Collection; Comment Request https://regulations.justia.com/regulations/fedreg/2018/01/16/2018-00494.html https://regulations.justia.com/regulations/fedreg/2018/01/16/2018-00494.html Tue, 16 Jan 2018 00:00:00 -0800 2018-00494 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-01-16/pdf/2018-00494.pdf Notice - Proposed Collection; Comment Request https://regulations.justia.com/regulations/fedreg/2018/01/16/2018-00493.html https://regulations.justia.com/regulations/fedreg/2018/01/16/2018-00493.html Tue, 16 Jan 2018 00:00:00 -0800 2018-00493 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-01-16/pdf/2018-00493.pdf Notice - Proposed Collection; Comment Request https://regulations.justia.com/regulations/fedreg/2018/01/16/2018-00492.html https://regulations.justia.com/regulations/fedreg/2018/01/16/2018-00492.html Tue, 16 Jan 2018 00:00:00 -0800 2018-00492 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-01-16/pdf/2018-00492.pdf Notice - Proposed Collection; Comment Request https://regulations.justia.com/regulations/fedreg/2018/01/16/2018-00491.html https://regulations.justia.com/regulations/fedreg/2018/01/16/2018-00491.html Tue, 16 Jan 2018 00:00:00 -0800 2018-00491 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-01-16/pdf/2018-00491.pdf Notice - Submission for OMB Review; Comment Request https://regulations.justia.com/regulations/fedreg/2018/01/16/2018-00490.html https://regulations.justia.com/regulations/fedreg/2018/01/16/2018-00490.html Tue, 16 Jan 2018 00:00:00 -0800 2018-00490 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-01-16/pdf/2018-00490.pdf Notice - Proposed Collection; Comment Request https://regulations.justia.com/regulations/fedreg/2018/01/16/2018-00489.html https://regulations.justia.com/regulations/fedreg/2018/01/16/2018-00489.html Tue, 16 Jan 2018 00:00:00 -0800 2018-00489 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-01-16/pdf/2018-00489.pdf Rule - Treatment of Certain Communications Involving Security-Based Swaps That May Be Purchased Only by Eligible Contract Participants https://regulations.justia.com/regulations/fedreg/2018/01/16/2018-00347.html https://regulations.justia.com/regulations/fedreg/2018/01/16/2018-00347.html Tue, 16 Jan 2018 00:00:00 -0800 2018-00347 Rule https://www.gpo.gov/fdsys/pkg/FR-2018-01-16/pdf/2018-00347.pdf