Federal Register Recent Federal Regulation Documents - Justia Regulation Tracker - Justia Regulations Trackerhttps://regulations.justia.com/regulations/fedreg/agencies/agencies-and-commissions/securities-and-exchange-commission/2018/01?limit=200®isters=between&min-day=1&max-day=31&mode=atom2024-05-01T16:50:08-07:00Justia Inchttps://www.justia.com/Justia Regulations Trackerhttps://regulations.justia.com/images/justiafedregulations.gifCopyright 2011 Justia Inchttps://regulations.justia.com/regulations/fedreg/2018/01/31/2018-01905.htmlNotice - BNP Paribas USA, Inc., et al.; Notice of Application and Temporary Order2018-01-31T00:00:00-08:002018-01-31T00:00:00-08:002018-01905Noticehttps://www.gpo.gov/fdsys/pkg/FR-2018-01-31/pdf/2018-01905.pdfhttps://regulations.justia.com/regulations/fedreg/2018/01/31/2018-01904.htmlNotice - Notice of Applications for Deregistration Under Section 8(f) of the Investment Company Act of 19402018-01-31T00:00:00-08:002018-01-31T00:00:00-08:002018-01904Noticehttps://www.gpo.gov/fdsys/pkg/FR-2018-01-31/pdf/2018-01904.pdfhttps://regulations.justia.com/regulations/fedreg/2018/01/31/2018-01903.htmlNotice - EquBot LLC and ETF Series Solutions2018-01-31T00:00:00-08:002018-01-31T00:00:00-08:002018-01903Noticehttps://www.gpo.gov/fdsys/pkg/FR-2018-01-31/pdf/2018-01903.pdfhttps://regulations.justia.com/regulations/fedreg/2018/01/31/2018-01834.htmlNotice - FS Series Trust and FS Fund Advisor, LLC; Release No. 32992/January 25, 20182018-01-31T00:00:00-08:002018-01-31T00:00:00-08:002018-01834Noticehttps://www.gpo.gov/fdsys/pkg/FR-2018-01-31/pdf/2018-01834.pdfhttps://regulations.justia.com/regulations/fedreg/2018/01/31/2018-01818.htmlNotice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to the Guggenheim Ultra Short Duration ETF and the Guggenheim Total Return Bond ETF2018-01-31T00:00:00-08:002018-01-31T00:00:00-08:002018-01818Noticehttps://www.gpo.gov/fdsys/pkg/FR-2018-01-31/pdf/2018-01818.pdfhttps://regulations.justia.com/regulations/fedreg/2018/01/31/2018-01817.htmlNotice - Self-Regulatory Organizations; The Options Clearing Corporation; Notice of Designation of Longer Period for Commission Action on Proposed Rule Change Concerning Updates to and Formalization of OCC's Recovery and Orderly Wind-Down Plan2018-01-31T00:00:00-08:002018-01-31T00:00:00-08:002018-01817Noticehttps://www.gpo.gov/fdsys/pkg/FR-2018-01-31/pdf/2018-01817.pdfhttps://regulations.justia.com/regulations/fedreg/2018/01/31/2018-01816.htmlNotice - Self-Regulatory Organizations; The Options Clearing Corporation; Notice of Designation of Longer Period for Commission Action on Proposed Rule Change Concerning Enhanced and New Tools for Recovery Scenarios2018-01-31T00:00:00-08:002018-01-31T00:00:00-08:002018-01816Noticehttps://www.gpo.gov/fdsys/pkg/FR-2018-01-31/pdf/2018-01816.pdfhttps://regulations.justia.com/regulations/fedreg/2018/01/30/2018-01902.htmlNotice - Sunshine Act Meetings2018-01-30T00:00:00-08:002018-01-30T00:00:00-08:002018-01902Noticehttps://www.gpo.gov/fdsys/pkg/FR-2018-01-30/pdf/2018-01902.pdfhttps://regulations.justia.com/regulations/fedreg/2018/01/30/2018-01693.htmlNotice - Self-Regulatory Organizations; National Securities Clearing Corporation; Notice of Filing and Extension of the Review Period of an Advance Notice To Amend the Loss Allocation Rules and Make Other Changes2018-01-30T00:00:00-08:002018-01-30T00:00:00-08:002018-01693Noticehttps://www.gpo.gov/fdsys/pkg/FR-2018-01-30/pdf/2018-01693.pdfhttps://regulations.justia.com/regulations/fedreg/2018/01/30/2018-01692.htmlNotice - Self-Regulatory Organizations; Fixed Income Clearing Corporation; Notice of Filing and Extension of the Review Period of an Advance Notice To Amend the Loss Allocation Rules and Make Other Changes2018-01-30T00:00:00-08:002018-01-30T00:00:00-08:002018-01692Noticehttps://www.gpo.gov/fdsys/pkg/FR-2018-01-30/pdf/2018-01692.pdfhttps://regulations.justia.com/regulations/fedreg/2018/01/30/2018-01691.htmlNotice - Self-Regulatory Organizations; The Depository Trust Company; Notice of Filing and Extension of the Review Period of an Advance Notice To Amend the Loss Allocation Rules and Make Other Changes2018-01-30T00:00:00-08:002018-01-30T00:00:00-08:002018-01691Noticehttps://www.gpo.gov/fdsys/pkg/FR-2018-01-30/pdf/2018-01691.pdfhttps://regulations.justia.com/regulations/fedreg/2018/01/30/2018-01690.htmlNotice - Self-Regulatory Organizations; National Securities Clearing Corporation; Notice of Filing and Extension of the Review Period of an Advance Notice To Adopt a Recovery & Wind-down Plan and Related Rules2018-01-30T00:00:00-08:002018-01-30T00:00:00-08:002018-01690Noticehttps://www.gpo.gov/fdsys/pkg/FR-2018-01-30/pdf/2018-01690.pdfhttps://regulations.justia.com/regulations/fedreg/2018/01/30/2018-01689.htmlNotice - Self-Regulatory Organizations; Fixed Income Clearing Corporation; Notice of Filing and Extension of the Review Period of an Advance Notice To Adopt a Recovery & Wind-Down Plan and Related Rules2018-01-30T00:00:00-08:002018-01-30T00:00:00-08:002018-01689Noticehttps://www.gpo.gov/fdsys/pkg/FR-2018-01-30/pdf/2018-01689.pdfhttps://regulations.justia.com/regulations/fedreg/2018/01/30/2018-01688.htmlNotice - Self-Regulatory Organizations; The Depository Trust Company; Notice of Filing and Extension of the Review Period of an Advance Notice To Adopt a Recovery & Wind-Down Plan and Related Rules2018-01-30T00:00:00-08:002018-01-30T00:00:00-08:002018-01688Noticehttps://www.gpo.gov/fdsys/pkg/FR-2018-01-30/pdf/2018-01688.pdfhttps://regulations.justia.com/regulations/fedreg/2018/01/30/2018-01681.htmlRule - Amendments to Forms and Schedules To Remove Voluntary Provision of Social Security Numbers2018-01-30T00:00:00-08:002018-01-30T00:00:00-08:002018-01681Rulehttps://www.gpo.gov/fdsys/pkg/FR-2018-01-30/pdf/2018-01681.pdfhttps://regulations.justia.com/regulations/fedreg/2018/01/30/2018-01678.htmlNotice - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to the New Securities Industry Essentials Examination2018-01-30T00:00:00-08:002018-01-30T00:00:00-08:002018-01678Noticehttps://www.gpo.gov/fdsys/pkg/FR-2018-01-30/pdf/2018-01678.pdfhttps://regulations.justia.com/regulations/fedreg/2018/01/30/2018-01677.htmlNotice - Self-Regulatory Organizations; Nasdaq PHLX LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Relocate and Amend Rule 1080(l)2018-01-30T00:00:00-08:002018-01-30T00:00:00-08:002018-01677Noticehttps://www.gpo.gov/fdsys/pkg/FR-2018-01-30/pdf/2018-01677.pdfhttps://regulations.justia.com/regulations/fedreg/2018/01/30/2018-01676.htmlNotice - Self-Regulatory Organizations; The Options Clearing Corporation; Notice of Filing of Proposed Rule Change Related to The Options Clearing Corporation's Fee Policy2018-01-30T00:00:00-08:002018-01-30T00:00:00-08:002018-01676Noticehttps://www.gpo.gov/fdsys/pkg/FR-2018-01-30/pdf/2018-01676.pdfhttps://regulations.justia.com/regulations/fedreg/2018/01/29/2018-01603.htmlNotice - Submission for OMB Review; Comment Request2018-01-29T00:00:00-08:002018-01-29T00:00:00-08:002018-01603Noticehttps://www.gpo.gov/fdsys/pkg/FR-2018-01-29/pdf/2018-01603.pdfhttps://regulations.justia.com/regulations/fedreg/2018/01/29/2018-01602.htmlNotice - Submission for OMB Review; Comment Request2018-01-29T00:00:00-08:002018-01-29T00:00:00-08:002018-01602Noticehttps://www.gpo.gov/fdsys/pkg/FR-2018-01-29/pdf/2018-01602.pdfhttps://regulations.justia.com/regulations/fedreg/2018/01/29/2018-01601.htmlNotice - Proposed Collection; Comment Request2018-01-29T00:00:00-08:002018-01-29T00:00:00-08:002018-01601Noticehttps://www.gpo.gov/fdsys/pkg/FR-2018-01-29/pdf/2018-01601.pdfhttps://regulations.justia.com/regulations/fedreg/2018/01/29/2018-01600.htmlNotice - Proposed Collection; Comment Request2018-01-29T00:00:00-08:002018-01-29T00:00:00-08:002018-01600Noticehttps://www.gpo.gov/fdsys/pkg/FR-2018-01-29/pdf/2018-01600.pdfhttps://regulations.justia.com/regulations/fedreg/2018/01/29/2018-01599.htmlNotice - Submission for OMB Review; Comment Request2018-01-29T00:00:00-08:002018-01-29T00:00:00-08:002018-01599Noticehttps://www.gpo.gov/fdsys/pkg/FR-2018-01-29/pdf/2018-01599.pdfhttps://regulations.justia.com/regulations/fedreg/2018/01/29/2018-01549.htmlNotice - Salt Financial, LLC, et al.2018-01-29T00:00:00-08:002018-01-29T00:00:00-08:002018-01549Noticehttps://www.gpo.gov/fdsys/pkg/FR-2018-01-29/pdf/2018-01549.pdfhttps://regulations.justia.com/regulations/fedreg/2018/01/29/2018-01548.htmlNotice - Northern Lights Fund Trust and Pacific Financial Group, LLC2018-01-29T00:00:00-08:002018-01-29T00:00:00-08:002018-01548Noticehttps://www.gpo.gov/fdsys/pkg/FR-2018-01-29/pdf/2018-01548.pdfhttps://regulations.justia.com/regulations/fedreg/2018/01/29/2018-01542.htmlNotice - Self-Regulatory Organizations; Nasdaq BX, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Chapter IV, Section 32018-01-29T00:00:00-08:002018-01-29T00:00:00-08:002018-01542Noticehttps://www.gpo.gov/fdsys/pkg/FR-2018-01-29/pdf/2018-01542.pdfhttps://regulations.justia.com/regulations/fedreg/2018/01/29/2018-01541.htmlNotice - Self-Regulatory Organizations; The Nasdaq Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to the Criteria for Listing Underlying Securities2018-01-29T00:00:00-08:002018-01-29T00:00:00-08:002018-01541Noticehttps://www.gpo.gov/fdsys/pkg/FR-2018-01-29/pdf/2018-01541.pdfhttps://regulations.justia.com/regulations/fedreg/2018/01/29/2018-01540.htmlNotice - Self-Regulatory Organizations; Nasdaq ISE, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Rule 5022018-01-29T00:00:00-08:002018-01-29T00:00:00-08:002018-01540Noticehttps://www.gpo.gov/fdsys/pkg/FR-2018-01-29/pdf/2018-01540.pdfhttps://regulations.justia.com/regulations/fedreg/2018/01/29/2018-01539.htmlNotice - Self-Regulatory Organizations; LCH SA; Notice of Designation of Longer Period for Commission Action on Proposed Rule Change To Adopt LCH SA's Wind Down Plan2018-01-29T00:00:00-08:002018-01-29T00:00:00-08:002018-01539Noticehttps://www.gpo.gov/fdsys/pkg/FR-2018-01-29/pdf/2018-01539.pdfhttps://regulations.justia.com/regulations/fedreg/2018/01/29/2018-01537.htmlNotice - Self-Regulatory Organizations; LCH SA; Notice of Designation of Longer Period for Commission Action on Proposed Rule Change To Adopt LCH SA's Recovery Plan2018-01-29T00:00:00-08:002018-01-29T00:00:00-08:002018-01537Noticehttps://www.gpo.gov/fdsys/pkg/FR-2018-01-29/pdf/2018-01537.pdfhttps://regulations.justia.com/regulations/fedreg/2018/01/29/2018-01536.htmlNotice - Self-Regulatory Organizations; Nasdaq PHLX LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Section VIII of the Exchange's Pricing Schedule2018-01-29T00:00:00-08:002018-01-29T00:00:00-08:002018-01536Noticehttps://www.gpo.gov/fdsys/pkg/FR-2018-01-29/pdf/2018-01536.pdfhttps://regulations.justia.com/regulations/fedreg/2018/01/29/2018-01535.htmlNotice - Self-Regulatory Organizations; Nasdaq ISE, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Assess Fees for OTTO Port, CTI Port, FIX Port, FIX Drop Port and Disaster Recovery Port Connectivity2018-01-29T00:00:00-08:002018-01-29T00:00:00-08:002018-01535Noticehttps://www.gpo.gov/fdsys/pkg/FR-2018-01-29/pdf/2018-01535.pdfhttps://regulations.justia.com/regulations/fedreg/2018/01/29/2018-01534.htmlNotice - Self-Regulatory Organizations; Nasdaq BX, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Its Fees at Rule 70232018-01-29T00:00:00-08:002018-01-29T00:00:00-08:002018-01534Noticehttps://www.gpo.gov/fdsys/pkg/FR-2018-01-29/pdf/2018-01534.pdfhttps://regulations.justia.com/regulations/fedreg/2018/01/29/2018-01531.htmlNotice - Order Granting Limited Exemptions From Rules 101 and 102 of Regulation M in Connection With Distributions of AT1 Contingent Convertible Securities Pursuant to Rules 101(d) and 102(e) of Regulation M2018-01-29T00:00:00-08:002018-01-29T00:00:00-08:002018-01531Noticehttps://www.gpo.gov/fdsys/pkg/FR-2018-01-29/pdf/2018-01531.pdfhttps://regulations.justia.com/regulations/fedreg/2018/01/26/2018-01550.htmlNotice - Sunshine Act Meeting; Cancellation2018-01-26T00:00:00-08:002018-01-26T00:00:00-08:002018-01550Noticehttps://www.gpo.gov/fdsys/pkg/FR-2018-01-26/pdf/2018-01550.pdfhttps://regulations.justia.com/regulations/fedreg/2018/01/26/2018-01420.htmlNotice - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Its Listing Standard for Warrants in Section 703.12 of the Exchange's Listed Company Manual2018-01-26T00:00:00-08:002018-01-26T00:00:00-08:002018-01420Noticehttps://www.gpo.gov/fdsys/pkg/FR-2018-01-26/pdf/2018-01420.pdfhttps://regulations.justia.com/regulations/fedreg/2018/01/26/2018-01419.htmlNotice - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Designation of a Longer Period for Commission Action on Proposed Rule Change To Amend the NYSE Listed Company Manual To Modify Its Requirements With Respect to Physical Delivery of Proxy Materials to the Exchange2018-01-26T00:00:00-08:002018-01-26T00:00:00-08:002018-01419Noticehttps://www.gpo.gov/fdsys/pkg/FR-2018-01-26/pdf/2018-01419.pdfhttps://regulations.justia.com/regulations/fedreg/2018/01/26/2018-01418.htmlNotice - Self-Regulatory Organizations; The Nasdaq Stock Market LLC; Order Granting Approval of a Proposed Rule Change, as Modified by Amendment No. 1, To List and Trade Shares of the Causeway International Value NextSharesTM2018-01-26T00:00:00-08:002018-01-26T00:00:00-08:002018-01418Noticehttps://www.gpo.gov/fdsys/pkg/FR-2018-01-26/pdf/2018-01418.pdfhttps://regulations.justia.com/regulations/fedreg/2018/01/26/2018-01417.htmlNotice - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Its Price List2018-01-26T00:00:00-08:002018-01-26T00:00:00-08:002018-01417Noticehttps://www.gpo.gov/fdsys/pkg/FR-2018-01-26/pdf/2018-01417.pdfhttps://regulations.justia.com/regulations/fedreg/2018/01/26/2018-01416.htmlNotice - Self-Regulatory Organizations; Cboe BZX Exchange, Inc.; Notice of Withdrawal of a Proposed Rule Change To List and Trade Shares of the First Trust Bitcoin Strategy ETF and the First Trust Inverse Bitcoin Strategy ETF, Each a Series of the First Trust Exchange-Traded Fund VII, Under Rule 14.11(i), Managed Fund Shares2018-01-26T00:00:00-08:002018-01-26T00:00:00-08:002018-01416Noticehttps://www.gpo.gov/fdsys/pkg/FR-2018-01-26/pdf/2018-01416.pdfhttps://regulations.justia.com/regulations/fedreg/2018/01/26/2018-01415.htmlNotice - Self-Regulatory Organizations; Cboe BZX Exchange, Inc.; Notice of Withdrawal of a Proposed Rule Change To List and Trade Shares of the REX Bitcoin Strategy ETF and the REX Short Bitcoin Strategy ETF, Each a Series of the Exchange Listed Funds Trust, Under Rule 14.11(i), Managed Fund Shares2018-01-26T00:00:00-08:002018-01-26T00:00:00-08:002018-01415Noticehttps://www.gpo.gov/fdsys/pkg/FR-2018-01-26/pdf/2018-01415.pdfhttps://regulations.justia.com/regulations/fedreg/2018/01/26/2018-01414.htmlNotice - Self-Regulatory Organizations; Cboe BZX Exchange, Inc.; Notice of Designation of a Longer Period for Commission Action on Proposed Rule Change To List and Trade the Common Shares of Beneficial Interest of the PowerShares Income Builder Portfolio, a Series of PowerShares Exchange-Traded Fund Trust II2018-01-26T00:00:00-08:002018-01-26T00:00:00-08:002018-01414Noticehttps://www.gpo.gov/fdsys/pkg/FR-2018-01-26/pdf/2018-01414.pdfhttps://regulations.justia.com/regulations/fedreg/2018/01/26/2018-01413.htmlNotice - Self-Regulatory Organizations; Cboe BZX Exchange, Inc.; Notice of Designation of a Longer Period for Commission Action on Proposed Rule Change To List and Trade Shares of a Series of the Cboe Vest S&P 500 Buffer Protect Strategy ETF Under the ETF Series Solutions Trust, Under Rule 14.11(c)(3), Index Fund Shares2018-01-26T00:00:00-08:002018-01-26T00:00:00-08:002018-01413Noticehttps://www.gpo.gov/fdsys/pkg/FR-2018-01-26/pdf/2018-01413.pdfhttps://regulations.justia.com/regulations/fedreg/2018/01/26/2018-01367.htmlNotice - Self-Regulatory Organizations; Cboe Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the Fees Schedule2018-01-26T00:00:00-08:002018-01-26T00:00:00-08:002018-01367Noticehttps://www.gpo.gov/fdsys/pkg/FR-2018-01-26/pdf/2018-01367.pdfhttps://regulations.justia.com/regulations/fedreg/2018/01/26/2018-01366.htmlNotice - Self-Regulatory Organizations; Cboe BZX Exchange, Inc.; Notice of Designation of a Longer Period for Commission Action on Proposed Rule Change to List and Trade Shares of a Series of the Cboe Vest S&P 500 Enhanced Growth Strategy ETF Under the ETF Series Solutions Trust, Under Rule 14.11(c)(3), Index Fund Shares2018-01-26T00:00:00-08:002018-01-26T00:00:00-08:002018-01366Noticehttps://www.gpo.gov/fdsys/pkg/FR-2018-01-26/pdf/2018-01366.pdfhttps://regulations.justia.com/regulations/fedreg/2018/01/26/2018-01365.htmlNotice - Self-Regulatory Organizations; Nasdaq PHLX LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Add a New Rule 3215 and Commentary Thereto To Codify PSX Participant Risk Settings in PSX and To Authorize the Exchange To Share Those Settings With the Clearing Member That Clears Transactions on Behalf of the PSX Participant2018-01-26T00:00:00-08:002018-01-26T00:00:00-08:002018-01365Noticehttps://www.gpo.gov/fdsys/pkg/FR-2018-01-26/pdf/2018-01365.pdfhttps://regulations.justia.com/regulations/fedreg/2018/01/26/2018-01364.htmlNotice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing of Proposed Rule Change To Adopt a New NYSE Arca Rule 8.900-E and To List and Trade Shares of the Royce Pennsylvania ETF; Royce Premier ETF; and Royce Total Return ETF Under Proposed NYSE Arca Equities Rule 8.900-E2018-01-26T00:00:00-08:002018-01-26T00:00:00-08:002018-01364Noticehttps://www.gpo.gov/fdsys/pkg/FR-2018-01-26/pdf/2018-01364.pdfhttps://regulations.justia.com/regulations/fedreg/2018/01/26/2018-01363.htmlNotice - Self-Regulatory Organizations; Cboe Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the Fees Schedule Concerning Firm Incentive Programs2018-01-26T00:00:00-08:002018-01-26T00:00:00-08:002018-01363Noticehttps://www.gpo.gov/fdsys/pkg/FR-2018-01-26/pdf/2018-01363.pdfhttps://regulations.justia.com/regulations/fedreg/2018/01/26/2018-01362.htmlNotice - Self-Regulatory Organizations; BOX Options Exchange LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Clarify the Manner in Which the Exchange Assesses Its Options Regulatory Fee2018-01-26T00:00:00-08:002018-01-26T00:00:00-08:002018-01362Noticehttps://www.gpo.gov/fdsys/pkg/FR-2018-01-26/pdf/2018-01362.pdfhttps://regulations.justia.com/regulations/fedreg/2018/01/26/2018-01361.htmlNotice - Self-Regulatory Organizations; Cboe BZX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Harmonize the Definition of Non-Professional User in Its Fee Schedule With That of Its Affiliates2018-01-26T00:00:00-08:002018-01-26T00:00:00-08:002018-01361Noticehttps://www.gpo.gov/fdsys/pkg/FR-2018-01-26/pdf/2018-01361.pdfhttps://regulations.justia.com/regulations/fedreg/2018/01/26/2018-01360.htmlNotice - Self-Regulatory Organizations; Nasdaq BX, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Add a New Rule 4765 and Commentary Thereto To Codify Participant Risk Settings and To Authorize the Exchange To Share those Risk Settings With the Clearing Member That Clears Transactions on Behalf of the Participant2018-01-26T00:00:00-08:002018-01-26T00:00:00-08:002018-01360Noticehttps://www.gpo.gov/fdsys/pkg/FR-2018-01-26/pdf/2018-01360.pdfhttps://regulations.justia.com/regulations/fedreg/2018/01/26/2018-01359.htmlNotice - Self-Regulatory Organizations; National Securities Clearing Corporation; Order Approving Proposed Rule Change To Enhance the Process for Submitting and Accepting ETF Creations and Redemptions2018-01-26T00:00:00-08:002018-01-26T00:00:00-08:002018-01359Noticehttps://www.gpo.gov/fdsys/pkg/FR-2018-01-26/pdf/2018-01359.pdfhttps://regulations.justia.com/regulations/fedreg/2018/01/26/2018-01358.htmlNotice - Self-Regulatory Organizations; The Options Clearing Corporation; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Modify OCC's Rules Regarding the Exercise Procedures for Certain Options on Futures2018-01-26T00:00:00-08:002018-01-26T00:00:00-08:002018-01358Noticehttps://www.gpo.gov/fdsys/pkg/FR-2018-01-26/pdf/2018-01358.pdfhttps://regulations.justia.com/regulations/fedreg/2018/01/26/2018-01357.htmlNotice - Self-Regulatory Organizations; ICE Clear Credit LLC; Notice of Filing of Proposed Rule Change, Security-Based Swap Submission, or Advance Notice Relating to the ICC Rules, ICC Risk Management Model Description Document, ICC Risk Management Framework, ICC Stress Testing Framework, and ICC Liquidity Risk Management Framework2018-01-26T00:00:00-08:002018-01-26T00:00:00-08:002018-01357Noticehttps://www.gpo.gov/fdsys/pkg/FR-2018-01-26/pdf/2018-01357.pdfhttps://regulations.justia.com/regulations/fedreg/2018/01/26/2018-01356.htmlNotice - Self-Regulatory Organizations; The Nasdaq Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Exchange Rule 70472018-01-26T00:00:00-08:002018-01-26T00:00:00-08:002018-01356Noticehttps://www.gpo.gov/fdsys/pkg/FR-2018-01-26/pdf/2018-01356.pdfhttps://regulations.justia.com/regulations/fedreg/2018/01/26/2018-01355.htmlNotice - Self-Regulatory Organizations; Cboe Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Establish Fees for Customized Functionality and/or Connectivity on the Silexx Trading Platform2018-01-26T00:00:00-08:002018-01-26T00:00:00-08:002018-01355Noticehttps://www.gpo.gov/fdsys/pkg/FR-2018-01-26/pdf/2018-01355.pdfhttps://regulations.justia.com/regulations/fedreg/2018/01/26/2018-01354.htmlNotice - Self-Regulatory Organizations; Cboe BZX Exchange, Inc.; Notice of Filing of a Proposed Rule Change To List and Trade Shares of the Cboe Vest S&P 500® Premium Income ETF Under Rule 14.11(c)(5)2018-01-26T00:00:00-08:002018-01-26T00:00:00-08:002018-01354Noticehttps://www.gpo.gov/fdsys/pkg/FR-2018-01-26/pdf/2018-01354.pdfhttps://regulations.justia.com/regulations/fedreg/2018/01/26/2018-01353.htmlNotice - Self-Regulatory Organizations; Nasdaq MRX, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the Schedule of Fees To Introduce a New Pricing Model2018-01-26T00:00:00-08:002018-01-26T00:00:00-08:002018-01353Noticehttps://www.gpo.gov/fdsys/pkg/FR-2018-01-26/pdf/2018-01353.pdfhttps://regulations.justia.com/regulations/fedreg/2018/01/25/2018-01340.htmlNotice - Submission for OMB Review; Comment Request2018-01-25T00:00:00-08:002018-01-25T00:00:00-08:002018-01340Noticehttps://www.gpo.gov/fdsys/pkg/FR-2018-01-25/pdf/2018-01340.pdfhttps://regulations.justia.com/regulations/fedreg/2018/01/25/2018-01339.htmlNotice - Submission for OMB Review; Comment Request2018-01-25T00:00:00-08:002018-01-25T00:00:00-08:002018-01339Noticehttps://www.gpo.gov/fdsys/pkg/FR-2018-01-25/pdf/2018-01339.pdfhttps://regulations.justia.com/regulations/fedreg/2018/01/25/2018-01338.htmlNotice - Submission for OMB Review; Comment Request2018-01-25T00:00:00-08:002018-01-25T00:00:00-08:002018-01338Noticehttps://www.gpo.gov/fdsys/pkg/FR-2018-01-25/pdf/2018-01338.pdfhttps://regulations.justia.com/regulations/fedreg/2018/01/25/2018-01337.htmlNotice - Submission for OMB Review; Comment Request2018-01-25T00:00:00-08:002018-01-25T00:00:00-08:002018-01337Noticehttps://www.gpo.gov/fdsys/pkg/FR-2018-01-25/pdf/2018-01337.pdfhttps://regulations.justia.com/regulations/fedreg/2018/01/24/2018-01210.htmlNotice - Self-Regulatory Organizations; The Options Clearing Corporation; Notice of Designation of Longer Period for Commission Action on Proposed Rule Change Related to The Options Clearing Corporation's Margin Methodology2018-01-24T00:00:00-08:002018-01-24T00:00:00-08:002018-01210Noticehttps://www.gpo.gov/fdsys/pkg/FR-2018-01-24/pdf/2018-01210.pdfhttps://regulations.justia.com/regulations/fedreg/2018/01/24/2018-01209.htmlNotice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing of Proposed Rule Change Relating to Listing and Trading of the Direxion Daily Bitcoin Bear 1X Shares, Direxion Daily Bitcoin 1.25X Bull Shares, Direxion Daily Bitcoin 1.5X Bull Shares, Direxion Daily Bitcoin 2X Bull Shares and Direxion Daily Bitcoin 2X Bear Shares Under NYSE Arca Rule 8.200-E2018-01-24T00:00:00-08:002018-01-24T00:00:00-08:002018-01209Noticehttps://www.gpo.gov/fdsys/pkg/FR-2018-01-24/pdf/2018-01209.pdfhttps://regulations.justia.com/regulations/fedreg/2018/01/24/2018-01208.htmlNotice - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Designation of a Longer Period for Commission Action on a Proposed Rule Change To Amend the Listed Company Manual for Special Purpose Acquisition Companies To Lower the Initial Holders Requirement From 300 to 150 Round Lot Holders and To Eliminate Completely the 300 Public Stockholders Continued Listing Requirement, To Require at Least $5 Million in Net Tangible Assets for Initial and Continued Listing, and To Impose a 30-Day Deadline To Demonstrate Compliance With the Initial Listing Requirements Following a Business Combination2018-01-24T00:00:00-08:002018-01-24T00:00:00-08:002018-01208Noticehttps://www.gpo.gov/fdsys/pkg/FR-2018-01-24/pdf/2018-01208.pdfhttps://regulations.justia.com/regulations/fedreg/2018/01/24/2018-01207.htmlNotice - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Order Granting Approval of a Proposed Rule Change, as Modified by Amendments No. 1 and 2, To List and Trade Shares of Brandes Value NextShares Under Nasdaq Rule 57452018-01-24T00:00:00-08:002018-01-24T00:00:00-08:002018-01207Noticehttps://www.gpo.gov/fdsys/pkg/FR-2018-01-24/pdf/2018-01207.pdfhttps://regulations.justia.com/regulations/fedreg/2018/01/24/2018-01206.htmlNotice - Self-Regulatory Organizations; Cboe Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Delete Obsolete Rules2018-01-24T00:00:00-08:002018-01-24T00:00:00-08:002018-01206Noticehttps://www.gpo.gov/fdsys/pkg/FR-2018-01-24/pdf/2018-01206.pdfhttps://regulations.justia.com/regulations/fedreg/2018/01/23/2018-01294.htmlNotice - Sunshine Act Meetings2018-01-23T00:00:00-08:002018-01-23T00:00:00-08:002018-01294Noticehttps://www.gpo.gov/fdsys/pkg/FR-2018-01-23/pdf/2018-01294.pdfhttps://regulations.justia.com/regulations/fedreg/2018/01/23/2018-01095.htmlNotice - Self-Regulatory Organizations; Bats BZX Exchange, Inc.; Bats EDGX Exchange, Inc.; BOX Options Exchange LLC; C2 Options Exchange, Incorporated; Chicago Board Options Exchange, Incorporated; Financial Industry Regulatory Authority, Inc.; International Securities Exchange, LLC; Investors Exchange LLC; Miami International Securities Exchange LLC; MIAX PEARL, LLC; The NASDAQ Stock Market LLC; NASDAQ BX, Inc.; NASDAQ PHLX LLC; New York Stock Exchange LLC; NYSE Arca, Inc.; NYSE MKT LLC; Notice of Withdrawal of Proposed Rule Changes, as Modified by Amendments Thereto, To Eliminate Requirements That Will Be Duplicative of CAT2018-01-23T00:00:00-08:002018-01-23T00:00:00-08:002018-01095Noticehttps://www.gpo.gov/fdsys/pkg/FR-2018-01-23/pdf/2018-01095.pdfhttps://regulations.justia.com/regulations/fedreg/2018/01/23/2018-01094.htmlNotice - Self-Regulatory Organizations; Nasdaq MRX, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Market Maker Orders2018-01-23T00:00:00-08:002018-01-23T00:00:00-08:002018-01094Noticehttps://www.gpo.gov/fdsys/pkg/FR-2018-01-23/pdf/2018-01094.pdfhttps://regulations.justia.com/regulations/fedreg/2018/01/23/2018-01093.htmlNotice - Self-Regulatory Organizations; Bats BZX Exchange, Inc.; Notice of Filing of Amendment No. 1 and Order Granting Approval of a Proposed Rule Change, as Modified by Amendment No. 1, To Introduce Cboe Market Close, a Closing Match Process for Non-BZX Listed Securities Under New Exchange Rule 11.282018-01-23T00:00:00-08:002018-01-23T00:00:00-08:002018-01093Noticehttps://www.gpo.gov/fdsys/pkg/FR-2018-01-23/pdf/2018-01093.pdfhttps://regulations.justia.com/regulations/fedreg/2018/01/23/2018-01092.htmlNotice - Self-Regulatory Organizations; Nasdaq ISE, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Market Maker Orders2018-01-23T00:00:00-08:002018-01-23T00:00:00-08:002018-01092Noticehttps://www.gpo.gov/fdsys/pkg/FR-2018-01-23/pdf/2018-01092.pdfhttps://regulations.justia.com/regulations/fedreg/2018/01/23/2018-01091.htmlNotice - Self-Regulatory Organizations; Cboe EDGX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Harmonize the Definition of Non-Professional User in Its Fee Schedule With That of Its Affiliates2018-01-23T00:00:00-08:002018-01-23T00:00:00-08:002018-01091Noticehttps://www.gpo.gov/fdsys/pkg/FR-2018-01-23/pdf/2018-01091.pdfhttps://regulations.justia.com/regulations/fedreg/2018/01/23/2018-01090.htmlNotice - Self-Regulatory Organizations; CBOE EDGX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Harmonize the Definition of Non-Professional User in Its Fee Schedule With That of Its Affiliates2018-01-23T00:00:00-08:002018-01-23T00:00:00-08:002018-01090Noticehttps://www.gpo.gov/fdsys/pkg/FR-2018-01-23/pdf/2018-01090.pdfhttps://regulations.justia.com/regulations/fedreg/2018/01/23/2018-01089.htmlNotice - Self-Regulatory Organizations; Cboe EDGA Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Harmonize the Definition of Non-Professional User in Its Fee Schedule With That of Its Affiliates2018-01-23T00:00:00-08:002018-01-23T00:00:00-08:002018-01089Noticehttps://www.gpo.gov/fdsys/pkg/FR-2018-01-23/pdf/2018-01089.pdfhttps://regulations.justia.com/regulations/fedreg/2018/01/23/2018-01088.htmlNotice - Self-Regulatory Organizations; Cboe BZX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Harmonize the Definition of Non-Professional User in Its Fee Schedule With That of Its Affiliates2018-01-23T00:00:00-08:002018-01-23T00:00:00-08:002018-01088Noticehttps://www.gpo.gov/fdsys/pkg/FR-2018-01-23/pdf/2018-01088.pdfhttps://regulations.justia.com/regulations/fedreg/2018/01/23/2018-01087.htmlNotice - Self-Regulatory Organizations; Nasdaq GEMX, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Market Maker Orders2018-01-23T00:00:00-08:002018-01-23T00:00:00-08:002018-01087Noticehttps://www.gpo.gov/fdsys/pkg/FR-2018-01-23/pdf/2018-01087.pdfhttps://regulations.justia.com/regulations/fedreg/2018/01/23/2018-01086.htmlNotice - Self-Regulatory Organizations; Cboe BYX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Harmonize the Definition of Non-Professional User in Its Fee Schedule With That of Its Affiliates2018-01-23T00:00:00-08:002018-01-23T00:00:00-08:002018-01086Noticehttps://www.gpo.gov/fdsys/pkg/FR-2018-01-23/pdf/2018-01086.pdfhttps://regulations.justia.com/regulations/fedreg/2018/01/23/2018-01071.htmlNotice - Self-Regulatory Organizations; The Options Clearing Corporation; Notice of Filing of Advance Notice Concerning Updates to and Formalization of OCC's Recovery and Orderly Wind-Down Plan2018-01-23T00:00:00-08:002018-01-23T00:00:00-08:002018-01071Noticehttps://www.gpo.gov/fdsys/pkg/FR-2018-01-23/pdf/2018-01071.pdfhttps://regulations.justia.com/regulations/fedreg/2018/01/23/2018-01070.htmlNotice - Self-Regulatory Organizations; The Options Clearing Corporation; Notice of Filing of Advance Notice Concerning Enhanced and New Tools for Recovery Scenarios2018-01-23T00:00:00-08:002018-01-23T00:00:00-08:002018-01070Noticehttps://www.gpo.gov/fdsys/pkg/FR-2018-01-23/pdf/2018-01070.pdfhttps://regulations.justia.com/regulations/fedreg/2018/01/22/2018-01164.htmlNotice - Sunshine Act Meetings2018-01-22T00:00:00-08:002018-01-22T00:00:00-08:002018-01164Noticehttps://www.gpo.gov/fdsys/pkg/FR-2018-01-22/pdf/2018-01164.pdfhttps://regulations.justia.com/regulations/fedreg/2018/01/22/2018-00977.htmlNotice - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing of Proposed Rule Change To Amend the Complimentary Products and Services Available to Certain Eligible New Listings Pursuant to Section 907.00 of the Exchange's Listed Company Manual2018-01-22T00:00:00-08:002018-01-22T00:00:00-08:002018-00977Noticehttps://www.gpo.gov/fdsys/pkg/FR-2018-01-22/pdf/2018-00977.pdfhttps://regulations.justia.com/regulations/fedreg/2018/01/22/2018-00976.htmlNotice - Self-Regulatory Organizations; Nasdaq PHLX LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Relocate Price Improvement XL Rule2018-01-22T00:00:00-08:002018-01-22T00:00:00-08:002018-00976Noticehttps://www.gpo.gov/fdsys/pkg/FR-2018-01-22/pdf/2018-00976.pdfhttps://regulations.justia.com/regulations/fedreg/2018/01/22/2018-00975.htmlNotice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Rule 7.31-E Relating to Mid-Point Liquidity Orders and the Minimum Trade Size Modifier and Rule 7.36-E To Add a Definition of “Aggressing Order”2018-01-22T00:00:00-08:002018-01-22T00:00:00-08:002018-00975Noticehttps://www.gpo.gov/fdsys/pkg/FR-2018-01-22/pdf/2018-00975.pdfhttps://regulations.justia.com/regulations/fedreg/2018/01/22/2018-00974.htmlNotice - Self-Regulatory Organizations; Bats BYX Exchange, Inc. (n/k/a Cboe BYX Exchange, Inc.), Bats BZX Exchange, Inc. (n/k/a Cboe BZX Exchange, Inc.), Bats EDGA Exchange, Inc. (n/k/a Cboe EDGA Exchange, Inc.), Bats EDGX Exchange, Inc. (n/k/a Cboe EDGX Exchange, Inc.), BOX Options Exchange LLC, C2 Options Exchange, Incorporated (n/k/a Cboe C2 Options Exchange, Inc.), Chicago Board Options Exchange, Incorporated (n/k/a Cboe Exchange, Inc.), Chicago Stock Exchange, Inc., Financial Industry Regulatory Authority, Inc., Investors' Exchange LLC, Miami International Securities Exchange, LLC, MIAX PEARL, LLC, Nasdaq BX, Inc., Nasdaq GEMX, LLC, Nasdaq ISE, LLC, Nasdaq MRX, LLC, Nasdaq PHLX LLC, The Nasdaq Stock Market LLC, New York Stock Exchange LLC, NYSE Arca, Inc. and NYSE MKT LLC (n/k/a NYSE American LLC); Notice of Withdrawal of Proposed Rule Changes, as Modified by Amendments, To Establish Fees for Industry Members To Fund the Consolidated Audit Trail2018-01-22T00:00:00-08:002018-01-22T00:00:00-08:002018-00974Noticehttps://www.gpo.gov/fdsys/pkg/FR-2018-01-22/pdf/2018-00974.pdfhttps://regulations.justia.com/regulations/fedreg/2018/01/19/2018-00858.htmlNotice - Self-Regulatory Organizations; The Options Clearing Corporation; Order Approving Proposed Rule Change, as Modified by Amendment No. 1, Concerning The Options Clearing Corporation's Adoption of a New Minimum Cash Requirement for the Clearing Fund2018-01-19T00:00:00-08:002018-01-19T00:00:00-08:002018-00858Noticehttps://www.gpo.gov/fdsys/pkg/FR-2018-01-19/pdf/2018-00858.pdfhttps://regulations.justia.com/regulations/fedreg/2018/01/19/2018-00857.htmlNotice - Self-Regulatory Organizations; The Options Clearing Corporation; Notice of No Objection to Advance Notice, as Modified by Amendment No. 1, Concerning the Adoption of a New Minimum Cash Requirement for the Clearing Fund2018-01-19T00:00:00-08:002018-01-19T00:00:00-08:002018-00857Noticehttps://www.gpo.gov/fdsys/pkg/FR-2018-01-19/pdf/2018-00857.pdfhttps://regulations.justia.com/regulations/fedreg/2018/01/19/2018-00856.htmlNotice - Self-Regulatory Organizations; Nasdaq PHLX LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Adopt Pricing for NDXP2018-01-19T00:00:00-08:002018-01-19T00:00:00-08:002018-00856Noticehttps://www.gpo.gov/fdsys/pkg/FR-2018-01-19/pdf/2018-00856.pdfhttps://regulations.justia.com/regulations/fedreg/2018/01/19/2018-00855.htmlNotice - Self-Regulatory Organizations; NYSE American LLC; Order Approving a Proposed Rule Change To Amend Rule 971.1NY To Amend the Duration of a Customer Best Execution Auction2018-01-19T00:00:00-08:002018-01-19T00:00:00-08:002018-00855Noticehttps://www.gpo.gov/fdsys/pkg/FR-2018-01-19/pdf/2018-00855.pdfhttps://regulations.justia.com/regulations/fedreg/2018/01/19/2018-00854.htmlNotice - Self-Regulatory Organizations; ICE Clear Europe Limited; Notice of Proposed Rule Change, Security-Based Swap Submission or Advance Notice Relating to the ICE Clear Europe Wind Down Framework and Plan (the “Wind-Down Plan” or the “Plan”), as Most Recently Amended2018-01-19T00:00:00-08:002018-01-19T00:00:00-08:002018-00854Noticehttps://www.gpo.gov/fdsys/pkg/FR-2018-01-19/pdf/2018-00854.pdfhttps://regulations.justia.com/regulations/fedreg/2018/01/19/2018-00853.htmlNotice - Self-Regulatory Organizations; ICE Clear Europe Limited; Notice of Proposed Rule Change, Security-Based Swap Submission or Advance Notice Relating to the ICE Clear Europe Recovery Plan2018-01-19T00:00:00-08:002018-01-19T00:00:00-08:002018-00853Noticehttps://www.gpo.gov/fdsys/pkg/FR-2018-01-19/pdf/2018-00853.pdfhttps://regulations.justia.com/regulations/fedreg/2018/01/19/2018-00852.htmlNotice - Self-Regulatory Organizations; Nasdaq PHLX LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the Exchange's Fee Schedule at Chapter IX2018-01-19T00:00:00-08:002018-01-19T00:00:00-08:002018-00852Noticehttps://www.gpo.gov/fdsys/pkg/FR-2018-01-19/pdf/2018-00852.pdfhttps://regulations.justia.com/regulations/fedreg/2018/01/19/2018-00851.htmlNotice - Self-Regulatory Organizations; National Securities Clearing Corporation; Notice of Filing of a Proposed Rule Change To Enhance the Calculation of the Volatility Component of the Clearing Fund Formula That Utilizes a Parametric Value-at-Risk Model and Eliminate the Market Maker Domination Charge2018-01-19T00:00:00-08:002018-01-19T00:00:00-08:002018-00851Noticehttps://www.gpo.gov/fdsys/pkg/FR-2018-01-19/pdf/2018-00851.pdfhttps://regulations.justia.com/regulations/fedreg/2018/01/19/2018-00850.htmlNotice - Self-Regulatory Organizations; The Nasdaq Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Transaction Credits at Rule 7018(a)2018-01-19T00:00:00-08:002018-01-19T00:00:00-08:002018-00850Noticehttps://www.gpo.gov/fdsys/pkg/FR-2018-01-19/pdf/2018-00850.pdfhttps://regulations.justia.com/regulations/fedreg/2018/01/19/2018-00849.htmlNotice - Self-Regulatory Organizations; NYSE Arca, Inc.; Order Granting Approval of a Proposed Rule Change, as Modified by Amendment No. 6, To List and Trade Shares of the JPMorgan Long/Short ETF Under NYSE Arca Rule 8.600-E2018-01-19T00:00:00-08:002018-01-19T00:00:00-08:002018-00849Noticehttps://www.gpo.gov/fdsys/pkg/FR-2018-01-19/pdf/2018-00849.pdfhttps://regulations.justia.com/regulations/fedreg/2018/01/18/2018-00725.htmlNotice - Self-Regulatory Organizations; BOX Options Exchange LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend BOX Rule 3030 To Establish Rules Related to the Use of Floor Broker Error Accounts2018-01-18T00:00:00-08:002018-01-18T00:00:00-08:002018-00725Noticehttps://www.gpo.gov/fdsys/pkg/FR-2018-01-18/pdf/2018-00725.pdfhttps://regulations.justia.com/regulations/fedreg/2018/01/18/2018-00724.htmlNotice - Self-Regulatory Organizations; MIAX PEARL, LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the MIAX PEARL Fee Schedule2018-01-18T00:00:00-08:002018-01-18T00:00:00-08:002018-00724Noticehttps://www.gpo.gov/fdsys/pkg/FR-2018-01-18/pdf/2018-00724.pdfhttps://regulations.justia.com/regulations/fedreg/2018/01/18/2018-00723.htmlNotice - Self-Regulatory Organizations; NYSE American LLC; Notice of Filing and Immediate Effectiveness of Proposed Change To Modify the NYSE American Options Fee Schedule2018-01-18T00:00:00-08:002018-01-18T00:00:00-08:002018-00723Noticehttps://www.gpo.gov/fdsys/pkg/FR-2018-01-18/pdf/2018-00723.pdfhttps://regulations.justia.com/regulations/fedreg/2018/01/18/2018-00722.htmlNotice - Self-Regulatory Organizations; Miami International Securities Exchange, LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend MIAX Options Rules 700, 1308, and 13222018-01-18T00:00:00-08:002018-01-18T00:00:00-08:002018-00722Noticehttps://www.gpo.gov/fdsys/pkg/FR-2018-01-18/pdf/2018-00722.pdfhttps://regulations.justia.com/regulations/fedreg/2018/01/18/2018-00721.htmlNotice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To List and Trade the Shares of the Goldman Sachs Access Emerging Markets Local Currency Bond ETF Under Commentary .02 to NYSE Arca Rule 5.2-E(j)(3)2018-01-18T00:00:00-08:002018-01-18T00:00:00-08:002018-00721Noticehttps://www.gpo.gov/fdsys/pkg/FR-2018-01-18/pdf/2018-00721.pdfhttps://regulations.justia.com/regulations/fedreg/2018/01/18/2018-00720.htmlNotice - Self-Regulatory Organizations; Cboe BZX Exchange, Inc.; Notice of Filing of a Proposed Rule Change To List and Trade Shares of the GraniteShares Bitcoin ETF and the GraniteShares Short Bitcoin ETF, a Series of the GraniteShares ETP Trust, Under Rule 14.11(f)(4), Trust Issued Receipts2018-01-18T00:00:00-08:002018-01-18T00:00:00-08:002018-00720Noticehttps://www.gpo.gov/fdsys/pkg/FR-2018-01-18/pdf/2018-00720.pdfhttps://regulations.justia.com/regulations/fedreg/2018/01/17/2018-00739.htmlNotice - Sunshine Act Meetings2018-01-17T00:00:00-08:002018-01-17T00:00:00-08:002018-00739Noticehttps://www.gpo.gov/fdsys/pkg/FR-2018-01-17/pdf/2018-00739.pdfhttps://regulations.justia.com/regulations/fedreg/2018/01/17/2018-00738.htmlNotice - Sunshine Act Meetings2018-01-17T00:00:00-08:002018-01-17T00:00:00-08:002018-00738Noticehttps://www.gpo.gov/fdsys/pkg/FR-2018-01-17/pdf/2018-00738.pdfhttps://regulations.justia.com/regulations/fedreg/2018/01/17/2018-00645.htmlNotice - Self-Regulatory Organizations; Bats BZX Exchange, Inc.; Notice of Withdrawal of a Proposed Rule Change To Permit the Listing and Trading of Managed Portfolio Shares and To List and Trade Shares of the Following Under Proposed Rule 14.11(k): ClearBridge Appreciation ETF, ClearBridge Large Cap ETF, ClearBridge MidCap Growth ETF, ClearBridge Select ETF, and ClearBridge All Cap Value ETF2018-01-17T00:00:00-08:002018-01-17T00:00:00-08:002018-00645Noticehttps://www.gpo.gov/fdsys/pkg/FR-2018-01-17/pdf/2018-00645.pdfhttps://regulations.justia.com/regulations/fedreg/2018/01/17/2018-00642.htmlNotice - Order Approving Public Company Accounting Oversight Board Budget and Annual Accounting Support Fee for Calendar Year 20182018-01-17T00:00:00-08:002018-01-17T00:00:00-08:002018-00642Noticehttps://www.gpo.gov/fdsys/pkg/FR-2018-01-17/pdf/2018-00642.pdfhttps://regulations.justia.com/regulations/fedreg/2018/01/17/2018-00636.htmlNotice - Self-Regulatory Organizations; The Nasdaq Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Eliminate Transitional Rules That Have Expired Related to Compensation Committee Listing Standards2018-01-17T00:00:00-08:002018-01-17T00:00:00-08:002018-00636Noticehttps://www.gpo.gov/fdsys/pkg/FR-2018-01-17/pdf/2018-00636.pdfhttps://regulations.justia.com/regulations/fedreg/2018/01/17/2018-00635.htmlNotice - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Extend the Expiration Date of FINRA Rule 0180 (Application of Rules to Security-Based Swaps)2018-01-17T00:00:00-08:002018-01-17T00:00:00-08:002018-00635Noticehttps://www.gpo.gov/fdsys/pkg/FR-2018-01-17/pdf/2018-00635.pdfhttps://regulations.justia.com/regulations/fedreg/2018/01/17/2018-00634.htmlNotice - Self-Regulatory Organizations; The Nasdaq Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Add a New Rule 6200 To Codify Participant Risk Settings in the Exchange's Trading System (as Set Forth in a Proposed IM-6200-1) and To Authorize the Exchange To Share Those Settings With the Clearing Member That Clears Transactions on Behalf of the Participant2018-01-17T00:00:00-08:002018-01-17T00:00:00-08:002018-00634Noticehttps://www.gpo.gov/fdsys/pkg/FR-2018-01-17/pdf/2018-00634.pdfhttps://regulations.justia.com/regulations/fedreg/2018/01/17/2018-00626.htmlNotice - The Guardian Insurance & Annuity Company, Inc., et al.2018-01-17T00:00:00-08:002018-01-17T00:00:00-08:002018-00626Noticehttps://www.gpo.gov/fdsys/pkg/FR-2018-01-17/pdf/2018-00626.pdfhttps://regulations.justia.com/regulations/fedreg/2018/01/17/2018-00625.htmlRule - Adoption of Updated EDGAR Filer Manual2018-01-17T00:00:00-08:002018-01-17T00:00:00-08:002018-00625Rulehttps://www.gpo.gov/fdsys/pkg/FR-2018-01-17/pdf/2018-00625.pdfhttps://regulations.justia.com/regulations/fedreg/2018/01/16/2018-00535.htmlNotice - 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 Combination2018-01-16T00:00:00-08:002018-01-16T00:00:00-08:002018-00535Noticehttps://www.gpo.gov/fdsys/pkg/FR-2018-01-16/pdf/2018-00535.pdfhttps://regulations.justia.com/regulations/fedreg/2018/01/16/2018-00534.htmlNotice - Self-Regulatory Organizations; Cboe BYX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Related to Transaction Fees2018-01-16T00:00:00-08:002018-01-16T00:00:00-08:002018-00534Noticehttps://www.gpo.gov/fdsys/pkg/FR-2018-01-16/pdf/2018-00534.pdfhttps://regulations.justia.com/regulations/fedreg/2018/01/16/2018-00533.htmlNotice - 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)2018-01-16T00:00:00-08:002018-01-16T00:00:00-08:002018-00533Noticehttps://www.gpo.gov/fdsys/pkg/FR-2018-01-16/pdf/2018-00533.pdfhttps://regulations.justia.com/regulations/fedreg/2018/01/16/2018-00532.htmlNotice - 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 Product2018-01-16T00:00:00-08:002018-01-16T00:00:00-08:002018-00532Noticehttps://www.gpo.gov/fdsys/pkg/FR-2018-01-16/pdf/2018-00532.pdfhttps://regulations.justia.com/regulations/fedreg/2018/01/16/2018-00531.htmlNotice - 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 Security2018-01-16T00:00:00-08:002018-01-16T00:00:00-08:002018-00531Noticehttps://www.gpo.gov/fdsys/pkg/FR-2018-01-16/pdf/2018-00531.pdfhttps://regulations.justia.com/regulations/fedreg/2018/01/16/2018-00530.htmlNotice - Self-Regulatory Organizations; The Options Clearing Corporation; Notice of Filing of Proposed Rule Change Related to The Options Clearing Corporation's Model Risk Management Policy2018-01-16T00:00:00-08:002018-01-16T00:00:00-08:002018-00530Noticehttps://www.gpo.gov/fdsys/pkg/FR-2018-01-16/pdf/2018-00530.pdfhttps://regulations.justia.com/regulations/fedreg/2018/01/16/2018-00529.htmlNotice - Self-Regulatory Organizations; Nasdaq ISE, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the Price Level Protection Rule2018-01-16T00:00:00-08:002018-01-16T00:00:00-08:002018-00529Noticehttps://www.gpo.gov/fdsys/pkg/FR-2018-01-16/pdf/2018-00529.pdfhttps://regulations.justia.com/regulations/fedreg/2018/01/16/2018-00528.htmlNotice - 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 Product2018-01-16T00:00:00-08:002018-01-16T00:00:00-08:002018-00528Noticehttps://www.gpo.gov/fdsys/pkg/FR-2018-01-16/pdf/2018-00528.pdfhttps://regulations.justia.com/regulations/fedreg/2018/01/16/2018-00527.htmlNotice - 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)2018-01-16T00:00:00-08:002018-01-16T00:00:00-08:002018-00527Noticehttps://www.gpo.gov/fdsys/pkg/FR-2018-01-16/pdf/2018-00527.pdfhttps://regulations.justia.com/regulations/fedreg/2018/01/16/2018-00526.htmlNotice - 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 Product2018-01-16T00:00:00-08:002018-01-16T00:00:00-08:002018-00526Noticehttps://www.gpo.gov/fdsys/pkg/FR-2018-01-16/pdf/2018-00526.pdfhttps://regulations.justia.com/regulations/fedreg/2018/01/16/2018-00525.htmlNotice - 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 Product2018-01-16T00:00:00-08:002018-01-16T00:00:00-08:002018-00525Noticehttps://www.gpo.gov/fdsys/pkg/FR-2018-01-16/pdf/2018-00525.pdfhttps://regulations.justia.com/regulations/fedreg/2018/01/16/2018-00524.htmlNotice - Self-Regulatory Organizations; The Nasdaq Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Exchange Rule 70372018-01-16T00:00:00-08:002018-01-16T00:00:00-08:002018-00524Noticehttps://www.gpo.gov/fdsys/pkg/FR-2018-01-16/pdf/2018-00524.pdfhttps://regulations.justia.com/regulations/fedreg/2018/01/16/2018-00523.htmlNotice - 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”2018-01-16T00:00:00-08:002018-01-16T00:00:00-08:002018-00523Noticehttps://www.gpo.gov/fdsys/pkg/FR-2018-01-16/pdf/2018-00523.pdfhttps://regulations.justia.com/regulations/fedreg/2018/01/16/2018-00522.htmlNotice - 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”2018-01-16T00:00:00-08:002018-01-16T00:00:00-08:002018-00522Noticehttps://www.gpo.gov/fdsys/pkg/FR-2018-01-16/pdf/2018-00522.pdfhttps://regulations.justia.com/regulations/fedreg/2018/01/16/2018-00514.htmlNotice - Proposed Collection; Comment Request2018-01-16T00:00:00-08:002018-01-16T00:00:00-08:002018-00514Noticehttps://www.gpo.gov/fdsys/pkg/FR-2018-01-16/pdf/2018-00514.pdfhttps://regulations.justia.com/regulations/fedreg/2018/01/16/2018-00504.htmlNotice - Proposed Collection; Comment Request2018-01-16T00:00:00-08:002018-01-16T00:00:00-08:002018-00504Noticehttps://www.gpo.gov/fdsys/pkg/FR-2018-01-16/pdf/2018-00504.pdfhttps://regulations.justia.com/regulations/fedreg/2018/01/16/2018-00503.htmlNotice - Proposed Collection; Comment Request2018-01-16T00:00:00-08:002018-01-16T00:00:00-08:002018-00503Noticehttps://www.gpo.gov/fdsys/pkg/FR-2018-01-16/pdf/2018-00503.pdfhttps://regulations.justia.com/regulations/fedreg/2018/01/16/2018-00502.htmlNotice - Proposed Collection; Comment Request2018-01-16T00:00:00-08:002018-01-16T00:00:00-08:002018-00502Noticehttps://www.gpo.gov/fdsys/pkg/FR-2018-01-16/pdf/2018-00502.pdfhttps://regulations.justia.com/regulations/fedreg/2018/01/16/2018-00501.htmlNotice - Proposed Collection; Comment Request2018-01-16T00:00:00-08:002018-01-16T00:00:00-08:002018-00501Noticehttps://www.gpo.gov/fdsys/pkg/FR-2018-01-16/pdf/2018-00501.pdfhttps://regulations.justia.com/regulations/fedreg/2018/01/16/2018-00500.htmlNotice - Proposed Collection; Comment Request2018-01-16T00:00:00-08:002018-01-16T00:00:00-08:002018-00500Noticehttps://www.gpo.gov/fdsys/pkg/FR-2018-01-16/pdf/2018-00500.pdfhttps://regulations.justia.com/regulations/fedreg/2018/01/16/2018-00499.htmlNotice - Proposed Collection; Comment Request2018-01-16T00:00:00-08:002018-01-16T00:00:00-08:002018-00499Noticehttps://www.gpo.gov/fdsys/pkg/FR-2018-01-16/pdf/2018-00499.pdfhttps://regulations.justia.com/regulations/fedreg/2018/01/16/2018-00498.htmlNotice - Proposed Collection; Comment Request2018-01-16T00:00:00-08:002018-01-16T00:00:00-08:002018-00498Noticehttps://www.gpo.gov/fdsys/pkg/FR-2018-01-16/pdf/2018-00498.pdfhttps://regulations.justia.com/regulations/fedreg/2018/01/16/2018-00497.htmlNotice - Proposed Collection; Comment Request2018-01-16T00:00:00-08:002018-01-16T00:00:00-08:002018-00497Noticehttps://www.gpo.gov/fdsys/pkg/FR-2018-01-16/pdf/2018-00497.pdfhttps://regulations.justia.com/regulations/fedreg/2018/01/16/2018-00496.htmlNotice - Proposed Collection; Comment Request2018-01-16T00:00:00-08:002018-01-16T00:00:00-08:002018-00496Noticehttps://www.gpo.gov/fdsys/pkg/FR-2018-01-16/pdf/2018-00496.pdfhttps://regulations.justia.com/regulations/fedreg/2018/01/16/2018-00495.htmlNotice - Proposed Collection; Comment Request2018-01-16T00:00:00-08:002018-01-16T00:00:00-08:002018-00495Noticehttps://www.gpo.gov/fdsys/pkg/FR-2018-01-16/pdf/2018-00495.pdfhttps://regulations.justia.com/regulations/fedreg/2018/01/16/2018-00494.htmlNotice - Proposed Collection; Comment Request2018-01-16T00:00:00-08:002018-01-16T00:00:00-08:002018-00494Noticehttps://www.gpo.gov/fdsys/pkg/FR-2018-01-16/pdf/2018-00494.pdfhttps://regulations.justia.com/regulations/fedreg/2018/01/16/2018-00493.htmlNotice - Proposed Collection; Comment Request2018-01-16T00:00:00-08:002018-01-16T00:00:00-08:002018-00493Noticehttps://www.gpo.gov/fdsys/pkg/FR-2018-01-16/pdf/2018-00493.pdfhttps://regulations.justia.com/regulations/fedreg/2018/01/16/2018-00492.htmlNotice - Proposed Collection; Comment Request2018-01-16T00:00:00-08:002018-01-16T00:00:00-08:002018-00492Noticehttps://www.gpo.gov/fdsys/pkg/FR-2018-01-16/pdf/2018-00492.pdfhttps://regulations.justia.com/regulations/fedreg/2018/01/16/2018-00491.htmlNotice - Proposed Collection; Comment Request2018-01-16T00:00:00-08:002018-01-16T00:00:00-08:002018-00491Noticehttps://www.gpo.gov/fdsys/pkg/FR-2018-01-16/pdf/2018-00491.pdfhttps://regulations.justia.com/regulations/fedreg/2018/01/16/2018-00490.htmlNotice - Submission for OMB Review; Comment Request2018-01-16T00:00:00-08:002018-01-16T00:00:00-08:002018-00490Noticehttps://www.gpo.gov/fdsys/pkg/FR-2018-01-16/pdf/2018-00490.pdfhttps://regulations.justia.com/regulations/fedreg/2018/01/16/2018-00489.htmlNotice - Proposed Collection; Comment Request2018-01-16T00:00:00-08:002018-01-16T00:00:00-08:002018-00489Noticehttps://www.gpo.gov/fdsys/pkg/FR-2018-01-16/pdf/2018-00489.pdfhttps://regulations.justia.com/regulations/fedreg/2018/01/16/2018-00347.htmlRule - Treatment of Certain Communications Involving Security-Based Swaps That May Be Purchased Only by Eligible Contract Participants2018-01-16T00:00:00-08:002018-01-16T00:00:00-08:002018-00347Rulehttps://www.gpo.gov/fdsys/pkg/FR-2018-01-16/pdf/2018-00347.pdfhttps://regulations.justia.com/regulations/fedreg/2018/01/12/2018-00431.htmlNotice - Harbor Funds and Harbor Capital Advisors, Inc.2018-01-12T00:00:00-08:002018-01-12T00:00:00-08:002018-00431Noticehttps://www.gpo.gov/fdsys/pkg/FR-2018-01-12/pdf/2018-00431.pdfhttps://regulations.justia.com/regulations/fedreg/2018/01/12/2018-00413.htmlNotice - Self-Regulatory Organizations; Cboe EDGX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Adopt Fees for Certain Market Data Products on the Exchange's Equity Options Platform2018-01-12T00:00:00-08:002018-01-12T00:00:00-08:002018-00413Noticehttps://www.gpo.gov/fdsys/pkg/FR-2018-01-12/pdf/2018-00413.pdfhttps://regulations.justia.com/regulations/fedreg/2018/01/12/2018-00412.htmlNotice - Self-Regulatory Organizations; Cboe Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the Fees Schedule2018-01-12T00:00:00-08:002018-01-12T00:00:00-08:002018-00412Noticehttps://www.gpo.gov/fdsys/pkg/FR-2018-01-12/pdf/2018-00412.pdfhttps://regulations.justia.com/regulations/fedreg/2018/01/12/2018-00411.htmlNotice - Self-Regulatory Organizations; Nasdaq GEMX, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Market Makers' Regulatory Fees2018-01-12T00:00:00-08:002018-01-12T00:00:00-08:002018-00411Noticehttps://www.gpo.gov/fdsys/pkg/FR-2018-01-12/pdf/2018-00411.pdfhttps://regulations.justia.com/regulations/fedreg/2018/01/12/2018-00410.htmlNotice - Self-Regulatory Organizations; Cboe Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Rule 6.13, CBOE Hybrid System Automatic Execution Feature2018-01-12T00:00:00-08:002018-01-12T00:00:00-08:002018-00410Noticehttps://www.gpo.gov/fdsys/pkg/FR-2018-01-12/pdf/2018-00410.pdfhttps://regulations.justia.com/regulations/fedreg/2018/01/12/2018-00409.htmlNotice - Self-Regulatory Organizations; Nasdaq ISE, LLC; Notice of Filing of Proposed Rule Change To Establish a Nonstandard Expirations Pilot Program2018-01-12T00:00:00-08:002018-01-12T00:00:00-08:002018-00409Noticehttps://www.gpo.gov/fdsys/pkg/FR-2018-01-12/pdf/2018-00409.pdfhttps://regulations.justia.com/regulations/fedreg/2018/01/12/2018-00408.htmlNotice - Self-Regulatory Organizations; Cboe C2 Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Rule 6.12, Order and Quote Execution and Priority2018-01-12T00:00:00-08:002018-01-12T00:00:00-08:002018-00408Noticehttps://www.gpo.gov/fdsys/pkg/FR-2018-01-12/pdf/2018-00408.pdfhttps://regulations.justia.com/regulations/fedreg/2018/01/12/2018-00407.htmlNotice - Self-Regulatory Organizations; BOX Options Exchange LLC; Order Approving a Proposed Rule Change To Amend the Minimum Order Size for the Floor Broker Guarantee Provided in BOX Rule 7600(f)2018-01-12T00:00:00-08:002018-01-12T00:00:00-08:002018-00407Noticehttps://www.gpo.gov/fdsys/pkg/FR-2018-01-12/pdf/2018-00407.pdfhttps://regulations.justia.com/regulations/fedreg/2018/01/12/2017-28247.htmlUnknown - Regulatory Flexibility Agenda2018-01-12T00:00:00-08:002018-01-12T00:00:00-08:002017-28247Unknownhttps://www.gpo.gov/fdsys/pkg/FR-2018-01-12/pdf/2017-28247.pdfhttps://regulations.justia.com/regulations/fedreg/2018/01/11/2018-00387.htmlNotice - Adjustments to Civil Monetary Penalty Amounts2018-01-11T00:00:00-08:002018-01-11T00:00:00-08:002018-00387Noticehttps://www.gpo.gov/fdsys/pkg/FR-2018-01-11/pdf/2018-00387.pdfhttps://regulations.justia.com/regulations/fedreg/2018/01/11/2018-00352.htmlRule - Staff Accounting Bulletin No. 1172018-01-11T00:00:00-08:002018-01-11T00:00:00-08:002018-00352Rulehttps://www.gpo.gov/fdsys/pkg/FR-2018-01-11/pdf/2018-00352.pdfhttps://regulations.justia.com/regulations/fedreg/2018/01/11/2018-00314.htmlNotice - Joint Industry Plan; Notice of Filing and Immediate Effectiveness of Amendment No. 4 to the National Market System Plan Governing the Consolidated Audit Trail by Cboe BYX Exchange, Inc., Cboe BZX Exchange, Inc., Cboe EDGA Exchange, Inc., Cboe EDGX Exchange, Inc., BOX Options Exchange LLC, Cboe C2 Exchange, Inc., Cboe Exchange, Inc., Chicago Stock Exchange, Inc., Financial Industry Regulatory Authority, Inc., Investors' Exchange LLC, Miami International Securities Exchange, LLC, MIAX PEARL, LLC, Nasdaq BX, Inc., Nasdaq GEMX, LLC, Nasdaq ISE, LLC, Nasdaq MRX, LLC, Nasdaq PHLX LLC, The Nasdaq Stock Market LLC, New York Stock Exchange LLC, NYSE Arca, Inc., NYSE American, LLC and NYSE National, Inc.2018-01-11T00:00:00-08:002018-01-11T00:00:00-08:002018-00314Noticehttps://www.gpo.gov/fdsys/pkg/FR-2018-01-11/pdf/2018-00314.pdfhttps://regulations.justia.com/regulations/fedreg/2018/01/11/2018-00309.htmlNotice - Self-Regulatory Organizations; Cboe BZX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Related to Market Data Fees2018-01-11T00:00:00-08:002018-01-11T00:00:00-08:002018-00309Noticehttps://www.gpo.gov/fdsys/pkg/FR-2018-01-11/pdf/2018-00309.pdfhttps://regulations.justia.com/regulations/fedreg/2018/01/11/2018-00308.htmlNotice - Self-Regulatory Organizations; Nasdaq GEMX, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Various Fees and Rebates Set Forth in Section I of the Exchanges Schedule of Fees2018-01-11T00:00:00-08:002018-01-11T00:00:00-08:002018-00308Noticehttps://www.gpo.gov/fdsys/pkg/FR-2018-01-11/pdf/2018-00308.pdfhttps://regulations.justia.com/regulations/fedreg/2018/01/11/2018-00307.htmlNotice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing of Amendment No. 2 and Order Approving on an Accelerated Basis a Proposed Rule Change, as Modified by Amendment No. 2, To List and Trade Shares of the Sprott Physical Gold and Silver Trust Under NYSE Arca Rule 8.201-E2018-01-11T00:00:00-08:002018-01-11T00:00:00-08:002018-00307Noticehttps://www.gpo.gov/fdsys/pkg/FR-2018-01-11/pdf/2018-00307.pdfhttps://regulations.justia.com/regulations/fedreg/2018/01/11/2018-00306.htmlNotice - Self-Regulatory Organizations; NYSE American LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Rule 7.31E Relating to Mid-Point Liquidity Orders and the MTS Modifier and Rule 7.36E To Add a Definition of “Aggressing Order”2018-01-11T00:00:00-08:002018-01-11T00:00:00-08:002018-00306Noticehttps://www.gpo.gov/fdsys/pkg/FR-2018-01-11/pdf/2018-00306.pdfhttps://regulations.justia.com/regulations/fedreg/2018/01/11/2018-00305.htmlNotice - Self-Regulatory Organizations; Nasdaq ISE, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Certain Non-Transaction Fees in the Exchange's Schedule of Fees2018-01-11T00:00:00-08:002018-01-11T00:00:00-08:002018-00305Noticehttps://www.gpo.gov/fdsys/pkg/FR-2018-01-11/pdf/2018-00305.pdfhttps://regulations.justia.com/regulations/fedreg/2018/01/11/2018-00304.htmlNotice - Self-Regulatory Organizations; Nasdaq PHLX LLC; Order Granting Accelerated Approval of a Proposed Rule Change To Amend Rule 1059 To Make Permanent a Program That Allows Cabinet Trade Transactions To Take Place at a Price Below $1 Per Option Contract2018-01-11T00:00:00-08:002018-01-11T00:00:00-08:002018-00304Noticehttps://www.gpo.gov/fdsys/pkg/FR-2018-01-11/pdf/2018-00304.pdfhttps://regulations.justia.com/regulations/fedreg/2018/01/11/2018-00303.htmlNotice - Self-Regulatory Organizations; Cboe BZX Exchange, Inc.; Notice of Filing of a Proposed Rule Change To List and Trade Shares of the iShares Gold Exposure ETF, a Series of the iShares U.S. ETF Trust, Under Exchange Rule 14.11(i), Managed Fund Shares2018-01-11T00:00:00-08:002018-01-11T00:00:00-08:002018-00303Noticehttps://www.gpo.gov/fdsys/pkg/FR-2018-01-11/pdf/2018-00303.pdfhttps://regulations.justia.com/regulations/fedreg/2018/01/11/2018-00299.htmlRule - Exemptions From Investment Adviser Registration for Advisers to Small Business Investment Companies2018-01-11T00:00:00-08:002018-01-11T00:00:00-08:002018-00299Rulehttps://www.gpo.gov/fdsys/pkg/FR-2018-01-11/pdf/2018-00299.pdfhttps://regulations.justia.com/regulations/fedreg/2018/01/10/2018-00267.htmlNotice - Proposed Collection; Comment Request2018-01-10T00:00:00-08:002018-01-10T00:00:00-08:002018-00267Noticehttps://www.gpo.gov/fdsys/pkg/FR-2018-01-10/pdf/2018-00267.pdfhttps://regulations.justia.com/regulations/fedreg/2018/01/10/2018-00213.htmlNotice - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Make Technical and Other Non-Substantive Changes Within FINRA Rules2018-01-10T00:00:00-08:002018-01-10T00:00:00-08:002018-00213Noticehttps://www.gpo.gov/fdsys/pkg/FR-2018-01-10/pdf/2018-00213.pdfhttps://regulations.justia.com/regulations/fedreg/2018/01/09/2018-00214.htmlNotice - Self-Regulatory Organizations; Nasdaq PHLX LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the Exchange's Pricing Schedule2018-01-09T00:00:00-08:002018-01-09T00:00:00-08:002018-00214Noticehttps://www.gpo.gov/fdsys/pkg/FR-2018-01-09/pdf/2018-00214.pdfhttps://regulations.justia.com/regulations/fedreg/2018/01/09/2018-00168.htmlNotice - 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 Basis2018-01-09T00:00:00-08:002018-01-09T00:00:00-08:002018-00168Noticehttps://www.gpo.gov/fdsys/pkg/FR-2018-01-09/pdf/2018-00168.pdfhttps://regulations.justia.com/regulations/fedreg/2018/01/09/2018-00162.htmlNotice - Guggenheim Credit Income Fund, et al.; Notice of Application2018-01-09T00:00:00-08:002018-01-09T00:00:00-08:002018-00162Noticehttps://www.gpo.gov/fdsys/pkg/FR-2018-01-09/pdf/2018-00162.pdfhttps://regulations.justia.com/regulations/fedreg/2018/01/09/2018-00161.htmlNotice - 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 ETF2018-01-09T00:00:00-08:002018-01-09T00:00:00-08:002018-00161Noticehttps://www.gpo.gov/fdsys/pkg/FR-2018-01-09/pdf/2018-00161.pdfhttps://regulations.justia.com/regulations/fedreg/2018/01/09/2018-00160.htmlNotice - 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 Exchanges2018-01-09T00:00:00-08:002018-01-09T00:00:00-08:002018-00160Noticehttps://www.gpo.gov/fdsys/pkg/FR-2018-01-09/pdf/2018-00160.pdfhttps://regulations.justia.com/regulations/fedreg/2018/01/09/2018-00159.htmlNotice - 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 Deposits2018-01-09T00:00:00-08:002018-01-09T00:00:00-08:002018-00159Noticehttps://www.gpo.gov/fdsys/pkg/FR-2018-01-09/pdf/2018-00159.pdfhttps://regulations.justia.com/regulations/fedreg/2018/01/09/2018-00158.htmlNotice - 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 Exchanges2018-01-09T00:00:00-08:002018-01-09T00:00:00-08:002018-00158Noticehttps://www.gpo.gov/fdsys/pkg/FR-2018-01-09/pdf/2018-00158.pdfhttps://regulations.justia.com/regulations/fedreg/2018/01/09/2018-00157.htmlNotice - Self-Regulatory Organizations; Investors Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Related to the Optional IEX Aggregate Risk Controls Mechanism2018-01-09T00:00:00-08:002018-01-09T00:00:00-08:002018-00157Noticehttps://www.gpo.gov/fdsys/pkg/FR-2018-01-09/pdf/2018-00157.pdfhttps://regulations.justia.com/regulations/fedreg/2018/01/09/2018-00156.htmlNotice - Northern Lights Fund Trust and AlphaCore Capital, LLC2018-01-09T00:00:00-08:002018-01-09T00:00:00-08:002018-00156Noticehttps://www.gpo.gov/fdsys/pkg/FR-2018-01-09/pdf/2018-00156.pdfhttps://regulations.justia.com/regulations/fedreg/2018/01/08/2018-00212.htmlNotice - Sunshine Act Meeting2018-01-08T00:00:00-08:002018-01-08T00:00:00-08:002018-00212Noticehttps://www.gpo.gov/fdsys/pkg/FR-2018-01-08/pdf/2018-00212.pdfhttps://regulations.justia.com/regulations/fedreg/2018/01/08/2018-00081.htmlNotice - Self-Regulatory Organizations; The Depository Trust Company; Notice of Filing of a Proposed Rule Change To Restore the Timeframe for Processing Credit Post-Payable Adjustments2018-01-08T00:00:00-08:002018-01-08T00:00:00-08:002018-00081Noticehttps://www.gpo.gov/fdsys/pkg/FR-2018-01-08/pdf/2018-00081.pdfhttps://regulations.justia.com/regulations/fedreg/2018/01/08/2018-00080.htmlNotice - Self-Regulatory Organizations; The Depository Trust Company; Notice of Filing of a Proposed Rule Change To Adopt a Recovery & Wind-Down Plan and Related Rules2018-01-08T00:00:00-08:002018-01-08T00:00:00-08:002018-00080Noticehttps://www.gpo.gov/fdsys/pkg/FR-2018-01-08/pdf/2018-00080.pdfhttps://regulations.justia.com/regulations/fedreg/2018/01/08/2018-00079.htmlNotice - Self-Regulatory Organizations; Fixed Income Clearing Corporation; Notice of Filing of a Proposed Rule Change To Adopt a Recovery & Wind-Down Plan and Related Rules2018-01-08T00:00:00-08:002018-01-08T00:00:00-08:002018-00079Noticehttps://www.gpo.gov/fdsys/pkg/FR-2018-01-08/pdf/2018-00079.pdfhttps://regulations.justia.com/regulations/fedreg/2018/01/08/2018-00078.htmlNotice - Self-Regulatory Organizations; National Securities Clearing Corporation; Notice of Filing of a Proposed Rule Change To Adopt a Recovery & Wind-down Plan and Related Rules2018-01-08T00:00:00-08:002018-01-08T00:00:00-08:002018-00078Noticehttps://www.gpo.gov/fdsys/pkg/FR-2018-01-08/pdf/2018-00078.pdfhttps://regulations.justia.com/regulations/fedreg/2018/01/08/2018-00077.htmlNotice - Self-Regulatory Organizations; Cboe BZX Exchange, Inc.; Notice of Filing of a Proposed Rule Change To List and Trade Shares of the First Trust Bitcoin Strategy ETF and the First Trust Inverse Bitcoin Strategy ETF, Each a Series of the First Trust Exchange-Traded Fund VII, Under Rule 14.11(i), Managed Fund Shares2018-01-08T00:00:00-08:002018-01-08T00:00:00-08:002018-00077Noticehttps://www.gpo.gov/fdsys/pkg/FR-2018-01-08/pdf/2018-00077.pdfhttps://regulations.justia.com/regulations/fedreg/2018/01/08/2018-00076.htmlNotice - Self-Regulatory Organizations; National Securities Clearing Corporation; Notice of Filing of a Proposed Rule Change To Amend the Loss Allocation Rules and Make Other Changes2018-01-08T00:00:00-08:002018-01-08T00:00:00-08:002018-00076Noticehttps://www.gpo.gov/fdsys/pkg/FR-2018-01-08/pdf/2018-00076.pdfhttps://regulations.justia.com/regulations/fedreg/2018/01/08/2018-00075.htmlNotice - Self-Regulatory Organizations; Fixed Income Clearing Corporation; Notice of Filing of a Proposed Rule Change To Amend the Loss Allocation Rules and Make Other Changes2018-01-08T00:00:00-08:002018-01-08T00:00:00-08:002018-00075Noticehttps://www.gpo.gov/fdsys/pkg/FR-2018-01-08/pdf/2018-00075.pdfhttps://regulations.justia.com/regulations/fedreg/2018/01/08/2018-00074.htmlNotice - Self-Regulatory Organizations; The Depository Trust Company; Notice of Filing of a Proposed Rule Change To Amend the Loss Allocation Rules and Make Other Changes2018-01-08T00:00:00-08:002018-01-08T00:00:00-08:002018-00074Noticehttps://www.gpo.gov/fdsys/pkg/FR-2018-01-08/pdf/2018-00074.pdfhttps://regulations.justia.com/regulations/fedreg/2018/01/08/2018-00073.htmlNotice - Self-Regulatory Organizations; Nasdaq PHLX LLC; Notice of Withdrawal of a Proposed Rule Change To Introduce the Intellicator Analytic Tool2018-01-08T00:00:00-08:002018-01-08T00:00:00-08:002018-00073Noticehttps://www.gpo.gov/fdsys/pkg/FR-2018-01-08/pdf/2018-00073.pdfhttps://regulations.justia.com/regulations/fedreg/2018/01/04/2017-28495.htmlNotice - Self-Regulatory Organizations; Cboe EDGX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Related to Market Data Fees2018-01-04T00:00:00-08:002018-01-04T00:00:00-08:002017-28495Noticehttps://www.gpo.gov/fdsys/pkg/FR-2018-01-04/pdf/2017-28495.pdfhttps://regulations.justia.com/regulations/fedreg/2018/01/04/2017-28494.htmlNotice - Self-Regulatory Organizations; Cboe EDGA Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Related to Market Data Fees2018-01-04T00:00:00-08:002018-01-04T00:00:00-08:002017-28494Noticehttps://www.gpo.gov/fdsys/pkg/FR-2018-01-04/pdf/2017-28494.pdfhttps://regulations.justia.com/regulations/fedreg/2018/01/04/2017-28493.htmlNotice - Self-Regulatory Organizations; ICE Clear Europe Limited; Notice of Filing and Order Granting Accelerated Approval of Proposed Rule Change Relating to Amendments to the ICE Clear Europe Clearing Rules and Procedures for Indirect Clearing2018-01-04T00:00:00-08:002018-01-04T00:00:00-08:002017-28493Noticehttps://www.gpo.gov/fdsys/pkg/FR-2018-01-04/pdf/2017-28493.pdfhttps://regulations.justia.com/regulations/fedreg/2018/01/04/2017-28492.htmlNotice - Self-Regulatory Organizations; LCH SA; Order Granting Accelerated Approval of a Proposed Rule Change Relating to the Implementation of the Markets in Financial Instruments Regulation2018-01-04T00:00:00-08:002018-01-04T00:00:00-08:002017-28492Noticehttps://www.gpo.gov/fdsys/pkg/FR-2018-01-04/pdf/2017-28492.pdfhttps://regulations.justia.com/regulations/fedreg/2018/01/04/2017-28488.htmlNotice - Notice of Applications for Deregistration Under the Investment Company Act of 19402018-01-04T00:00:00-08:002018-01-04T00:00:00-08:002017-28488Noticehttps://www.gpo.gov/fdsys/pkg/FR-2018-01-04/pdf/2017-28488.pdfhttps://regulations.justia.com/regulations/fedreg/2018/01/04/2017-28440.htmlNotice - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Its Price List To Waive New Firm Application Fees for Applicants Seeking Only To Obtain a Bond Trading License for 2018 and Waive the BTL Fee for 20182018-01-04T00:00:00-08:002018-01-04T00:00:00-08:002017-28440Noticehttps://www.gpo.gov/fdsys/pkg/FR-2018-01-04/pdf/2017-28440.pdfhttps://regulations.justia.com/regulations/fedreg/2018/01/04/2017-28439.htmlNotice - Self-Regulatory Organizations; Cboe BZX Exchange, Inc.; Notice of Filing of a Proposed Rule Change To List and Trade Shares of the REX Bitcoin Strategy ETF and the REX Short Bitcoin Strategy ETF, Each a Series of the Exchange Listed Funds Trust, Under Rule 14.11(i), Managed Fund Shares2018-01-04T00:00:00-08:002018-01-04T00:00:00-08:002017-28439Noticehttps://www.gpo.gov/fdsys/pkg/FR-2018-01-04/pdf/2017-28439.pdfhttps://regulations.justia.com/regulations/fedreg/2018/01/04/2017-28438.htmlNotice - Self-Regulatory Organizations; Cboe BYX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Related to Market Data Fees2018-01-04T00:00:00-08:002018-01-04T00:00:00-08:002017-28438Noticehttps://www.gpo.gov/fdsys/pkg/FR-2018-01-04/pdf/2017-28438.pdfhttps://regulations.justia.com/regulations/fedreg/2018/01/04/2017-28437.htmlNotice - Self-Regulatory Organizations; ICE Clear Europe Limited; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to Amendments to the ICE Clear Europe Clearing Procedures for the Exercise of F&O Options Contracts2018-01-04T00:00:00-08:002018-01-04T00:00:00-08:002017-28437Noticehttps://www.gpo.gov/fdsys/pkg/FR-2018-01-04/pdf/2017-28437.pdfhttps://regulations.justia.com/regulations/fedreg/2018/01/04/2017-28436.htmlNotice - Self-Regulatory Organizations; BOX Options Exchange LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Rule 5050 To Extend the Pilot Program That Lists RealDay Options (“RealDay Pilot Program”)2018-01-04T00:00:00-08:002018-01-04T00:00:00-08:002017-28436Noticehttps://www.gpo.gov/fdsys/pkg/FR-2018-01-04/pdf/2017-28436.pdfhttps://regulations.justia.com/regulations/fedreg/2018/01/03/C1-2017-26990.htmlNotice - Self-Regulatory Organizations; BOX Options Exchange LLC; Notice of Filing of Amendment No. 2 to a Proposed Rule Change Amending Consolidated Audit Trail Funding Fees2018-01-03T00:00:00-08:002018-01-03T00:00:00-08:00C1-2017-26990Noticehttps://www.gpo.gov/fdsys/pkg/FR-2018-01-03/pdf/C1-2017-26990.pdfhttps://regulations.justia.com/regulations/fedreg/2018/01/03/2017-28446.htmlNotice - Sunshine Act Meetings2018-01-03T00:00:00-08:002018-01-03T00:00:00-08:002017-28446Noticehttps://www.gpo.gov/fdsys/pkg/FR-2018-01-03/pdf/2017-28446.pdfhttps://regulations.justia.com/regulations/fedreg/2018/01/03/2017-27967.htmlProposed Rule - Freedom of Information Act Regulations2018-01-03T00:00:00-08:002018-01-03T00:00:00-08:002017-27967Proposed Rulehttps://www.gpo.gov/fdsys/pkg/FR-2018-01-03/pdf/2017-27967.pdfhttps://regulations.justia.com/regulations/fedreg/2018/01/02/C1-2017-26995.htmlNotice - Self-Regulatory Organizations; Cboe Exchange, Inc.; Notice of Filing of Amendment No. 2 to the Proposed Rule Change To Amend the Schedule of Fees and Assessments To Adopt a Fee Schedule To Establish Fees for Industry Members Related to the National Market System Plan Governing the Consolidated Audit Trail2018-01-02T00:00:00-08:002018-01-02T00:00:00-08:00C1-2017-26995Noticehttps://www.gpo.gov/fdsys/pkg/FR-2018-01-02/pdf/C1-2017-26995.pdfhttps://regulations.justia.com/regulations/fedreg/2018/01/02/2017-28311.htmlNotice - Self-Regulatory Organizations; Investors Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Related to the Displayed Match Fee2018-01-02T00:00:00-08:002018-01-02T00:00:00-08:002017-28311Noticehttps://www.gpo.gov/fdsys/pkg/FR-2018-01-02/pdf/2017-28311.pdfhttps://regulations.justia.com/regulations/fedreg/2018/01/02/2017-28310.htmlNotice - Self-Regulatory Organizations; The Nasdaq Stock Market LLC; Notice of Filing of Proposed Rule Change To List and Trade the Shares of the Reinhart Intermediate Bond NextShares Fund2018-01-02T00:00:00-08:002018-01-02T00:00:00-08:002017-28310Noticehttps://www.gpo.gov/fdsys/pkg/FR-2018-01-02/pdf/2017-28310.pdfhttps://regulations.justia.com/regulations/fedreg/2018/01/02/2017-28309.htmlNotice - Self-Regulatory Organizations; BOX Options Exchange LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the Fee Schedule To Adjust the QOO Order Rebate2018-01-02T00:00:00-08:002018-01-02T00:00:00-08:002017-28309Noticehttps://www.gpo.gov/fdsys/pkg/FR-2018-01-02/pdf/2017-28309.pdf