<![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?registers=between&min-day=1&max-day=31 Thu, 02 May 2024 02:41:39 -0700 Thu, 02 May 2024 02:41:39 -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?registers=between&min-day=1&max-day=31 Notice - BNP Paribas USA, Inc., et al.; Notice of Application and Temporary Order https://regulations.justia.com/regulations/fedreg/2018/01/31/2018-01905.html https://regulations.justia.com/regulations/fedreg/2018/01/31/2018-01905.html Wed, 31 Jan 2018 00:00:00 -0800 2018-01905 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-01-31/pdf/2018-01905.pdf Notice - Notice of Applications for Deregistration Under Section 8(f) of the Investment Company Act of 1940 https://regulations.justia.com/regulations/fedreg/2018/01/31/2018-01904.html https://regulations.justia.com/regulations/fedreg/2018/01/31/2018-01904.html Wed, 31 Jan 2018 00:00:00 -0800 2018-01904 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-01-31/pdf/2018-01904.pdf Notice - EquBot LLC and ETF Series Solutions https://regulations.justia.com/regulations/fedreg/2018/01/31/2018-01903.html https://regulations.justia.com/regulations/fedreg/2018/01/31/2018-01903.html Wed, 31 Jan 2018 00:00:00 -0800 2018-01903 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-01-31/pdf/2018-01903.pdf Notice - FS Series Trust and FS Fund Advisor, LLC; Release No. 32992/January 25, 2018 https://regulations.justia.com/regulations/fedreg/2018/01/31/2018-01834.html https://regulations.justia.com/regulations/fedreg/2018/01/31/2018-01834.html Wed, 31 Jan 2018 00:00:00 -0800 2018-01834 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-01-31/pdf/2018-01834.pdf Notice - 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 ETF https://regulations.justia.com/regulations/fedreg/2018/01/31/2018-01818.html https://regulations.justia.com/regulations/fedreg/2018/01/31/2018-01818.html Wed, 31 Jan 2018 00:00:00 -0800 2018-01818 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-01-31/pdf/2018-01818.pdf Notice - 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 Plan https://regulations.justia.com/regulations/fedreg/2018/01/31/2018-01817.html https://regulations.justia.com/regulations/fedreg/2018/01/31/2018-01817.html Wed, 31 Jan 2018 00:00:00 -0800 2018-01817 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-01-31/pdf/2018-01817.pdf Notice - 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 Scenarios https://regulations.justia.com/regulations/fedreg/2018/01/31/2018-01816.html https://regulations.justia.com/regulations/fedreg/2018/01/31/2018-01816.html Wed, 31 Jan 2018 00:00:00 -0800 2018-01816 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-01-31/pdf/2018-01816.pdf Notice - Sunshine Act Meetings https://regulations.justia.com/regulations/fedreg/2018/01/30/2018-01902.html https://regulations.justia.com/regulations/fedreg/2018/01/30/2018-01902.html Tue, 30 Jan 2018 00:00:00 -0800 2018-01902 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-01-30/pdf/2018-01902.pdf Notice - 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 Changes https://regulations.justia.com/regulations/fedreg/2018/01/30/2018-01693.html https://regulations.justia.com/regulations/fedreg/2018/01/30/2018-01693.html Tue, 30 Jan 2018 00:00:00 -0800 2018-01693 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-01-30/pdf/2018-01693.pdf Notice - 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 Changes https://regulations.justia.com/regulations/fedreg/2018/01/30/2018-01692.html https://regulations.justia.com/regulations/fedreg/2018/01/30/2018-01692.html Tue, 30 Jan 2018 00:00:00 -0800 2018-01692 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-01-30/pdf/2018-01692.pdf Notice - 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 Changes https://regulations.justia.com/regulations/fedreg/2018/01/30/2018-01691.html https://regulations.justia.com/regulations/fedreg/2018/01/30/2018-01691.html Tue, 30 Jan 2018 00:00:00 -0800 2018-01691 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-01-30/pdf/2018-01691.pdf Notice - 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 Rules https://regulations.justia.com/regulations/fedreg/2018/01/30/2018-01690.html https://regulations.justia.com/regulations/fedreg/2018/01/30/2018-01690.html Tue, 30 Jan 2018 00:00:00 -0800 2018-01690 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-01-30/pdf/2018-01690.pdf Notice - 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 Rules https://regulations.justia.com/regulations/fedreg/2018/01/30/2018-01689.html https://regulations.justia.com/regulations/fedreg/2018/01/30/2018-01689.html Tue, 30 Jan 2018 00:00:00 -0800 2018-01689 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-01-30/pdf/2018-01689.pdf Notice - 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 Rules https://regulations.justia.com/regulations/fedreg/2018/01/30/2018-01688.html https://regulations.justia.com/regulations/fedreg/2018/01/30/2018-01688.html Tue, 30 Jan 2018 00:00:00 -0800 2018-01688 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-01-30/pdf/2018-01688.pdf Rule - Amendments to Forms and Schedules To Remove Voluntary Provision of Social Security Numbers https://regulations.justia.com/regulations/fedreg/2018/01/30/2018-01681.html https://regulations.justia.com/regulations/fedreg/2018/01/30/2018-01681.html Tue, 30 Jan 2018 00:00:00 -0800 2018-01681 Rule https://www.gpo.gov/fdsys/pkg/FR-2018-01-30/pdf/2018-01681.pdf Notice - 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 Examination https://regulations.justia.com/regulations/fedreg/2018/01/30/2018-01678.html https://regulations.justia.com/regulations/fedreg/2018/01/30/2018-01678.html Tue, 30 Jan 2018 00:00:00 -0800 2018-01678 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-01-30/pdf/2018-01678.pdf Notice - Self-Regulatory Organizations; Nasdaq PHLX LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Relocate and Amend Rule 1080(l) https://regulations.justia.com/regulations/fedreg/2018/01/30/2018-01677.html https://regulations.justia.com/regulations/fedreg/2018/01/30/2018-01677.html Tue, 30 Jan 2018 00:00:00 -0800 2018-01677 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-01-30/pdf/2018-01677.pdf Notice - Self-Regulatory Organizations; The Options Clearing Corporation; Notice of Filing of Proposed Rule Change Related to The Options Clearing Corporation's Fee Policy https://regulations.justia.com/regulations/fedreg/2018/01/30/2018-01676.html https://regulations.justia.com/regulations/fedreg/2018/01/30/2018-01676.html Tue, 30 Jan 2018 00:00:00 -0800 2018-01676 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-01-30/pdf/2018-01676.pdf Notice - Submission for OMB Review; Comment Request https://regulations.justia.com/regulations/fedreg/2018/01/29/2018-01603.html https://regulations.justia.com/regulations/fedreg/2018/01/29/2018-01603.html Mon, 29 Jan 2018 00:00:00 -0800 2018-01603 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-01-29/pdf/2018-01603.pdf Notice - Submission for OMB Review; Comment Request https://regulations.justia.com/regulations/fedreg/2018/01/29/2018-01602.html https://regulations.justia.com/regulations/fedreg/2018/01/29/2018-01602.html Mon, 29 Jan 2018 00:00:00 -0800 2018-01602 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-01-29/pdf/2018-01602.pdf Notice - Proposed Collection; Comment Request https://regulations.justia.com/regulations/fedreg/2018/01/29/2018-01601.html https://regulations.justia.com/regulations/fedreg/2018/01/29/2018-01601.html Mon, 29 Jan 2018 00:00:00 -0800 2018-01601 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-01-29/pdf/2018-01601.pdf Notice - Proposed Collection; Comment Request https://regulations.justia.com/regulations/fedreg/2018/01/29/2018-01600.html https://regulations.justia.com/regulations/fedreg/2018/01/29/2018-01600.html Mon, 29 Jan 2018 00:00:00 -0800 2018-01600 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-01-29/pdf/2018-01600.pdf Notice - Submission for OMB Review; Comment Request https://regulations.justia.com/regulations/fedreg/2018/01/29/2018-01599.html https://regulations.justia.com/regulations/fedreg/2018/01/29/2018-01599.html Mon, 29 Jan 2018 00:00:00 -0800 2018-01599 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-01-29/pdf/2018-01599.pdf Notice - Salt Financial, LLC, et al. https://regulations.justia.com/regulations/fedreg/2018/01/29/2018-01549.html https://regulations.justia.com/regulations/fedreg/2018/01/29/2018-01549.html Mon, 29 Jan 2018 00:00:00 -0800 2018-01549 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-01-29/pdf/2018-01549.pdf Notice - Northern Lights Fund Trust and Pacific Financial Group, LLC https://regulations.justia.com/regulations/fedreg/2018/01/29/2018-01548.html https://regulations.justia.com/regulations/fedreg/2018/01/29/2018-01548.html Mon, 29 Jan 2018 00:00:00 -0800 2018-01548 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-01-29/pdf/2018-01548.pdf Notice - Self-Regulatory Organizations; Nasdaq BX, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Chapter IV, Section 3 https://regulations.justia.com/regulations/fedreg/2018/01/29/2018-01542.html https://regulations.justia.com/regulations/fedreg/2018/01/29/2018-01542.html Mon, 29 Jan 2018 00:00:00 -0800 2018-01542 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-01-29/pdf/2018-01542.pdf Notice - 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 Securities https://regulations.justia.com/regulations/fedreg/2018/01/29/2018-01541.html https://regulations.justia.com/regulations/fedreg/2018/01/29/2018-01541.html Mon, 29 Jan 2018 00:00:00 -0800 2018-01541 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-01-29/pdf/2018-01541.pdf Notice - Self-Regulatory Organizations; Nasdaq ISE, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Rule 502 https://regulations.justia.com/regulations/fedreg/2018/01/29/2018-01540.html https://regulations.justia.com/regulations/fedreg/2018/01/29/2018-01540.html Mon, 29 Jan 2018 00:00:00 -0800 2018-01540 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-01-29/pdf/2018-01540.pdf Notice - 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 Plan https://regulations.justia.com/regulations/fedreg/2018/01/29/2018-01539.html https://regulations.justia.com/regulations/fedreg/2018/01/29/2018-01539.html Mon, 29 Jan 2018 00:00:00 -0800 2018-01539 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-01-29/pdf/2018-01539.pdf Notice - Self-Regulatory Organizations; LCH SA; Notice of Designation of Longer Period for Commission Action on Proposed Rule Change To Adopt LCH SA's Recovery Plan https://regulations.justia.com/regulations/fedreg/2018/01/29/2018-01537.html https://regulations.justia.com/regulations/fedreg/2018/01/29/2018-01537.html Mon, 29 Jan 2018 00:00:00 -0800 2018-01537 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-01-29/pdf/2018-01537.pdf Notice - 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 Schedule https://regulations.justia.com/regulations/fedreg/2018/01/29/2018-01536.html https://regulations.justia.com/regulations/fedreg/2018/01/29/2018-01536.html Mon, 29 Jan 2018 00:00:00 -0800 2018-01536 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-01-29/pdf/2018-01536.pdf Notice - 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 Connectivity https://regulations.justia.com/regulations/fedreg/2018/01/29/2018-01535.html https://regulations.justia.com/regulations/fedreg/2018/01/29/2018-01535.html Mon, 29 Jan 2018 00:00:00 -0800 2018-01535 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-01-29/pdf/2018-01535.pdf Notice - Self-Regulatory Organizations; Nasdaq BX, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Its Fees at Rule 7023 https://regulations.justia.com/regulations/fedreg/2018/01/29/2018-01534.html https://regulations.justia.com/regulations/fedreg/2018/01/29/2018-01534.html Mon, 29 Jan 2018 00:00:00 -0800 2018-01534 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-01-29/pdf/2018-01534.pdf Notice - 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 M https://regulations.justia.com/regulations/fedreg/2018/01/29/2018-01531.html https://regulations.justia.com/regulations/fedreg/2018/01/29/2018-01531.html Mon, 29 Jan 2018 00:00:00 -0800 2018-01531 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-01-29/pdf/2018-01531.pdf Notice - Sunshine Act Meeting; Cancellation https://regulations.justia.com/regulations/fedreg/2018/01/26/2018-01550.html https://regulations.justia.com/regulations/fedreg/2018/01/26/2018-01550.html Fri, 26 Jan 2018 00:00:00 -0800 2018-01550 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-01-26/pdf/2018-01550.pdf Notice - 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 Manual https://regulations.justia.com/regulations/fedreg/2018/01/26/2018-01420.html https://regulations.justia.com/regulations/fedreg/2018/01/26/2018-01420.html Fri, 26 Jan 2018 00:00:00 -0800 2018-01420 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-01-26/pdf/2018-01420.pdf Notice - 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 Exchange https://regulations.justia.com/regulations/fedreg/2018/01/26/2018-01419.html https://regulations.justia.com/regulations/fedreg/2018/01/26/2018-01419.html Fri, 26 Jan 2018 00:00:00 -0800 2018-01419 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-01-26/pdf/2018-01419.pdf Notice - 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 NextSharesTM https://regulations.justia.com/regulations/fedreg/2018/01/26/2018-01418.html https://regulations.justia.com/regulations/fedreg/2018/01/26/2018-01418.html Fri, 26 Jan 2018 00:00:00 -0800 2018-01418 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-01-26/pdf/2018-01418.pdf Notice - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Its Price List https://regulations.justia.com/regulations/fedreg/2018/01/26/2018-01417.html https://regulations.justia.com/regulations/fedreg/2018/01/26/2018-01417.html Fri, 26 Jan 2018 00:00:00 -0800 2018-01417 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-01-26/pdf/2018-01417.pdf Notice - 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 Shares https://regulations.justia.com/regulations/fedreg/2018/01/26/2018-01416.html https://regulations.justia.com/regulations/fedreg/2018/01/26/2018-01416.html Fri, 26 Jan 2018 00:00:00 -0800 2018-01416 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-01-26/pdf/2018-01416.pdf Notice - 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 Shares https://regulations.justia.com/regulations/fedreg/2018/01/26/2018-01415.html https://regulations.justia.com/regulations/fedreg/2018/01/26/2018-01415.html Fri, 26 Jan 2018 00:00:00 -0800 2018-01415 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-01-26/pdf/2018-01415.pdf Notice - 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 II https://regulations.justia.com/regulations/fedreg/2018/01/26/2018-01414.html https://regulations.justia.com/regulations/fedreg/2018/01/26/2018-01414.html Fri, 26 Jan 2018 00:00:00 -0800 2018-01414 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-01-26/pdf/2018-01414.pdf Notice - 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 Shares https://regulations.justia.com/regulations/fedreg/2018/01/26/2018-01413.html https://regulations.justia.com/regulations/fedreg/2018/01/26/2018-01413.html Fri, 26 Jan 2018 00:00:00 -0800 2018-01413 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-01-26/pdf/2018-01413.pdf Notice - Self-Regulatory Organizations; Cboe Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the Fees Schedule https://regulations.justia.com/regulations/fedreg/2018/01/26/2018-01367.html https://regulations.justia.com/regulations/fedreg/2018/01/26/2018-01367.html Fri, 26 Jan 2018 00:00:00 -0800 2018-01367 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-01-26/pdf/2018-01367.pdf Notice - 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 Shares https://regulations.justia.com/regulations/fedreg/2018/01/26/2018-01366.html https://regulations.justia.com/regulations/fedreg/2018/01/26/2018-01366.html Fri, 26 Jan 2018 00:00:00 -0800 2018-01366 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-01-26/pdf/2018-01366.pdf Notice - 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 Participant https://regulations.justia.com/regulations/fedreg/2018/01/26/2018-01365.html https://regulations.justia.com/regulations/fedreg/2018/01/26/2018-01365.html Fri, 26 Jan 2018 00:00:00 -0800 2018-01365 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-01-26/pdf/2018-01365.pdf Notice - 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-E https://regulations.justia.com/regulations/fedreg/2018/01/26/2018-01364.html https://regulations.justia.com/regulations/fedreg/2018/01/26/2018-01364.html Fri, 26 Jan 2018 00:00:00 -0800 2018-01364 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-01-26/pdf/2018-01364.pdf Notice - 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 Programs https://regulations.justia.com/regulations/fedreg/2018/01/26/2018-01363.html https://regulations.justia.com/regulations/fedreg/2018/01/26/2018-01363.html Fri, 26 Jan 2018 00:00:00 -0800 2018-01363 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-01-26/pdf/2018-01363.pdf Notice - 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 Fee https://regulations.justia.com/regulations/fedreg/2018/01/26/2018-01362.html https://regulations.justia.com/regulations/fedreg/2018/01/26/2018-01362.html Fri, 26 Jan 2018 00:00:00 -0800 2018-01362 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-01-26/pdf/2018-01362.pdf Notice - 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 Affiliates https://regulations.justia.com/regulations/fedreg/2018/01/26/2018-01361.html https://regulations.justia.com/regulations/fedreg/2018/01/26/2018-01361.html Fri, 26 Jan 2018 00:00:00 -0800 2018-01361 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-01-26/pdf/2018-01361.pdf Notice - 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 Participant https://regulations.justia.com/regulations/fedreg/2018/01/26/2018-01360.html https://regulations.justia.com/regulations/fedreg/2018/01/26/2018-01360.html Fri, 26 Jan 2018 00:00:00 -0800 2018-01360 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-01-26/pdf/2018-01360.pdf Notice - Self-Regulatory Organizations; National Securities Clearing Corporation; Order Approving Proposed Rule Change To Enhance the Process for Submitting and Accepting ETF Creations and Redemptions https://regulations.justia.com/regulations/fedreg/2018/01/26/2018-01359.html https://regulations.justia.com/regulations/fedreg/2018/01/26/2018-01359.html Fri, 26 Jan 2018 00:00:00 -0800 2018-01359 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-01-26/pdf/2018-01359.pdf Notice - 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 Futures https://regulations.justia.com/regulations/fedreg/2018/01/26/2018-01358.html https://regulations.justia.com/regulations/fedreg/2018/01/26/2018-01358.html Fri, 26 Jan 2018 00:00:00 -0800 2018-01358 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-01-26/pdf/2018-01358.pdf Notice - 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 Framework https://regulations.justia.com/regulations/fedreg/2018/01/26/2018-01357.html https://regulations.justia.com/regulations/fedreg/2018/01/26/2018-01357.html Fri, 26 Jan 2018 00:00:00 -0800 2018-01357 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-01-26/pdf/2018-01357.pdf Notice - Self-Regulatory Organizations; The Nasdaq Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Exchange Rule 7047 https://regulations.justia.com/regulations/fedreg/2018/01/26/2018-01356.html https://regulations.justia.com/regulations/fedreg/2018/01/26/2018-01356.html Fri, 26 Jan 2018 00:00:00 -0800 2018-01356 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-01-26/pdf/2018-01356.pdf Notice - 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 Platform https://regulations.justia.com/regulations/fedreg/2018/01/26/2018-01355.html https://regulations.justia.com/regulations/fedreg/2018/01/26/2018-01355.html Fri, 26 Jan 2018 00:00:00 -0800 2018-01355 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-01-26/pdf/2018-01355.pdf Notice - 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) https://regulations.justia.com/regulations/fedreg/2018/01/26/2018-01354.html https://regulations.justia.com/regulations/fedreg/2018/01/26/2018-01354.html Fri, 26 Jan 2018 00:00:00 -0800 2018-01354 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-01-26/pdf/2018-01354.pdf Notice - 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 Model https://regulations.justia.com/regulations/fedreg/2018/01/26/2018-01353.html https://regulations.justia.com/regulations/fedreg/2018/01/26/2018-01353.html Fri, 26 Jan 2018 00:00:00 -0800 2018-01353 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-01-26/pdf/2018-01353.pdf Notice - Submission for OMB Review; Comment Request https://regulations.justia.com/regulations/fedreg/2018/01/25/2018-01340.html https://regulations.justia.com/regulations/fedreg/2018/01/25/2018-01340.html Thu, 25 Jan 2018 00:00:00 -0800 2018-01340 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-01-25/pdf/2018-01340.pdf Notice - Submission for OMB Review; Comment Request https://regulations.justia.com/regulations/fedreg/2018/01/25/2018-01339.html https://regulations.justia.com/regulations/fedreg/2018/01/25/2018-01339.html Thu, 25 Jan 2018 00:00:00 -0800 2018-01339 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-01-25/pdf/2018-01339.pdf Notice - Submission for OMB Review; Comment Request https://regulations.justia.com/regulations/fedreg/2018/01/25/2018-01338.html https://regulations.justia.com/regulations/fedreg/2018/01/25/2018-01338.html Thu, 25 Jan 2018 00:00:00 -0800 2018-01338 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-01-25/pdf/2018-01338.pdf Notice - Submission for OMB Review; Comment Request https://regulations.justia.com/regulations/fedreg/2018/01/25/2018-01337.html https://regulations.justia.com/regulations/fedreg/2018/01/25/2018-01337.html Thu, 25 Jan 2018 00:00:00 -0800 2018-01337 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-01-25/pdf/2018-01337.pdf Notice - 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 Methodology https://regulations.justia.com/regulations/fedreg/2018/01/24/2018-01210.html https://regulations.justia.com/regulations/fedreg/2018/01/24/2018-01210.html Wed, 24 Jan 2018 00:00:00 -0800 2018-01210 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-01-24/pdf/2018-01210.pdf Notice - 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-E https://regulations.justia.com/regulations/fedreg/2018/01/24/2018-01209.html https://regulations.justia.com/regulations/fedreg/2018/01/24/2018-01209.html Wed, 24 Jan 2018 00:00:00 -0800 2018-01209 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-01-24/pdf/2018-01209.pdf Notice - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Designation of a Longer Period for Commission Action on a Proposed Rule Change To Amend 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 Combination https://regulations.justia.com/regulations/fedreg/2018/01/24/2018-01208.html https://regulations.justia.com/regulations/fedreg/2018/01/24/2018-01208.html Wed, 24 Jan 2018 00:00:00 -0800 2018-01208 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-01-24/pdf/2018-01208.pdf Notice - 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 5745 https://regulations.justia.com/regulations/fedreg/2018/01/24/2018-01207.html https://regulations.justia.com/regulations/fedreg/2018/01/24/2018-01207.html Wed, 24 Jan 2018 00:00:00 -0800 2018-01207 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-01-24/pdf/2018-01207.pdf Notice - Self-Regulatory Organizations; Cboe Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Delete Obsolete Rules https://regulations.justia.com/regulations/fedreg/2018/01/24/2018-01206.html https://regulations.justia.com/regulations/fedreg/2018/01/24/2018-01206.html Wed, 24 Jan 2018 00:00:00 -0800 2018-01206 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-01-24/pdf/2018-01206.pdf Notice - Sunshine Act Meetings https://regulations.justia.com/regulations/fedreg/2018/01/23/2018-01294.html https://regulations.justia.com/regulations/fedreg/2018/01/23/2018-01294.html Tue, 23 Jan 2018 00:00:00 -0800 2018-01294 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-01-23/pdf/2018-01294.pdf Notice - 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 CAT https://regulations.justia.com/regulations/fedreg/2018/01/23/2018-01095.html https://regulations.justia.com/regulations/fedreg/2018/01/23/2018-01095.html Tue, 23 Jan 2018 00:00:00 -0800 2018-01095 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-01-23/pdf/2018-01095.pdf Notice - Self-Regulatory Organizations; Nasdaq MRX, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Market Maker Orders https://regulations.justia.com/regulations/fedreg/2018/01/23/2018-01094.html https://regulations.justia.com/regulations/fedreg/2018/01/23/2018-01094.html Tue, 23 Jan 2018 00:00:00 -0800 2018-01094 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-01-23/pdf/2018-01094.pdf Notice - 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 11.28 https://regulations.justia.com/regulations/fedreg/2018/01/23/2018-01093.html https://regulations.justia.com/regulations/fedreg/2018/01/23/2018-01093.html Tue, 23 Jan 2018 00:00:00 -0800 2018-01093 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-01-23/pdf/2018-01093.pdf Notice - Self-Regulatory Organizations; Nasdaq ISE, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Market Maker Orders https://regulations.justia.com/regulations/fedreg/2018/01/23/2018-01092.html https://regulations.justia.com/regulations/fedreg/2018/01/23/2018-01092.html Tue, 23 Jan 2018 00:00:00 -0800 2018-01092 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-01-23/pdf/2018-01092.pdf Notice - 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 Affiliates https://regulations.justia.com/regulations/fedreg/2018/01/23/2018-01091.html https://regulations.justia.com/regulations/fedreg/2018/01/23/2018-01091.html Tue, 23 Jan 2018 00:00:00 -0800 2018-01091 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-01-23/pdf/2018-01091.pdf Notice - 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 Affiliates https://regulations.justia.com/regulations/fedreg/2018/01/23/2018-01090.html https://regulations.justia.com/regulations/fedreg/2018/01/23/2018-01090.html Tue, 23 Jan 2018 00:00:00 -0800 2018-01090 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-01-23/pdf/2018-01090.pdf Notice - 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 Affiliates https://regulations.justia.com/regulations/fedreg/2018/01/23/2018-01089.html https://regulations.justia.com/regulations/fedreg/2018/01/23/2018-01089.html Tue, 23 Jan 2018 00:00:00 -0800 2018-01089 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-01-23/pdf/2018-01089.pdf Notice - 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 Affiliates https://regulations.justia.com/regulations/fedreg/2018/01/23/2018-01088.html https://regulations.justia.com/regulations/fedreg/2018/01/23/2018-01088.html Tue, 23 Jan 2018 00:00:00 -0800 2018-01088 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-01-23/pdf/2018-01088.pdf Notice - Self-Regulatory Organizations; Nasdaq GEMX, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Market Maker Orders https://regulations.justia.com/regulations/fedreg/2018/01/23/2018-01087.html https://regulations.justia.com/regulations/fedreg/2018/01/23/2018-01087.html Tue, 23 Jan 2018 00:00:00 -0800 2018-01087 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-01-23/pdf/2018-01087.pdf Notice - 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 Affiliates https://regulations.justia.com/regulations/fedreg/2018/01/23/2018-01086.html https://regulations.justia.com/regulations/fedreg/2018/01/23/2018-01086.html Tue, 23 Jan 2018 00:00:00 -0800 2018-01086 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-01-23/pdf/2018-01086.pdf Notice - 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 Plan https://regulations.justia.com/regulations/fedreg/2018/01/23/2018-01071.html https://regulations.justia.com/regulations/fedreg/2018/01/23/2018-01071.html Tue, 23 Jan 2018 00:00:00 -0800 2018-01071 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-01-23/pdf/2018-01071.pdf Notice - Self-Regulatory Organizations; The Options Clearing Corporation; Notice of Filing of Advance Notice Concerning Enhanced and New Tools for Recovery Scenarios https://regulations.justia.com/regulations/fedreg/2018/01/23/2018-01070.html https://regulations.justia.com/regulations/fedreg/2018/01/23/2018-01070.html Tue, 23 Jan 2018 00:00:00 -0800 2018-01070 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-01-23/pdf/2018-01070.pdf Notice - Sunshine Act Meetings https://regulations.justia.com/regulations/fedreg/2018/01/22/2018-01164.html https://regulations.justia.com/regulations/fedreg/2018/01/22/2018-01164.html Mon, 22 Jan 2018 00:00:00 -0800 2018-01164 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-01-22/pdf/2018-01164.pdf Notice - 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 Manual https://regulations.justia.com/regulations/fedreg/2018/01/22/2018-00977.html https://regulations.justia.com/regulations/fedreg/2018/01/22/2018-00977.html Mon, 22 Jan 2018 00:00:00 -0800 2018-00977 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-01-22/pdf/2018-00977.pdf Notice - Self-Regulatory Organizations; Nasdaq PHLX LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Relocate Price Improvement XL Rule https://regulations.justia.com/regulations/fedreg/2018/01/22/2018-00976.html https://regulations.justia.com/regulations/fedreg/2018/01/22/2018-00976.html Mon, 22 Jan 2018 00:00:00 -0800 2018-00976 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-01-22/pdf/2018-00976.pdf Notice - 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” https://regulations.justia.com/regulations/fedreg/2018/01/22/2018-00975.html https://regulations.justia.com/regulations/fedreg/2018/01/22/2018-00975.html Mon, 22 Jan 2018 00:00:00 -0800 2018-00975 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-01-22/pdf/2018-00975.pdf Notice - 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 Trail https://regulations.justia.com/regulations/fedreg/2018/01/22/2018-00974.html https://regulations.justia.com/regulations/fedreg/2018/01/22/2018-00974.html Mon, 22 Jan 2018 00:00:00 -0800 2018-00974 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-01-22/pdf/2018-00974.pdf Notice - 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 Fund https://regulations.justia.com/regulations/fedreg/2018/01/19/2018-00858.html https://regulations.justia.com/regulations/fedreg/2018/01/19/2018-00858.html Fri, 19 Jan 2018 00:00:00 -0800 2018-00858 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-01-19/pdf/2018-00858.pdf Notice - 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 Fund https://regulations.justia.com/regulations/fedreg/2018/01/19/2018-00857.html https://regulations.justia.com/regulations/fedreg/2018/01/19/2018-00857.html Fri, 19 Jan 2018 00:00:00 -0800 2018-00857 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-01-19/pdf/2018-00857.pdf Notice - Self-Regulatory Organizations; Nasdaq PHLX LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Adopt Pricing for NDXP https://regulations.justia.com/regulations/fedreg/2018/01/19/2018-00856.html https://regulations.justia.com/regulations/fedreg/2018/01/19/2018-00856.html Fri, 19 Jan 2018 00:00:00 -0800 2018-00856 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-01-19/pdf/2018-00856.pdf Notice - 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 Auction https://regulations.justia.com/regulations/fedreg/2018/01/19/2018-00855.html https://regulations.justia.com/regulations/fedreg/2018/01/19/2018-00855.html Fri, 19 Jan 2018 00:00:00 -0800 2018-00855 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-01-19/pdf/2018-00855.pdf Notice - 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 Amended https://regulations.justia.com/regulations/fedreg/2018/01/19/2018-00854.html https://regulations.justia.com/regulations/fedreg/2018/01/19/2018-00854.html Fri, 19 Jan 2018 00:00:00 -0800 2018-00854 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-01-19/pdf/2018-00854.pdf Notice - 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 Plan https://regulations.justia.com/regulations/fedreg/2018/01/19/2018-00853.html https://regulations.justia.com/regulations/fedreg/2018/01/19/2018-00853.html Fri, 19 Jan 2018 00:00:00 -0800 2018-00853 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-01-19/pdf/2018-00853.pdf Notice - 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 IX https://regulations.justia.com/regulations/fedreg/2018/01/19/2018-00852.html https://regulations.justia.com/regulations/fedreg/2018/01/19/2018-00852.html Fri, 19 Jan 2018 00:00:00 -0800 2018-00852 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-01-19/pdf/2018-00852.pdf Notice - 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 Charge https://regulations.justia.com/regulations/fedreg/2018/01/19/2018-00851.html https://regulations.justia.com/regulations/fedreg/2018/01/19/2018-00851.html Fri, 19 Jan 2018 00:00:00 -0800 2018-00851 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-01-19/pdf/2018-00851.pdf Notice - 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) https://regulations.justia.com/regulations/fedreg/2018/01/19/2018-00850.html https://regulations.justia.com/regulations/fedreg/2018/01/19/2018-00850.html Fri, 19 Jan 2018 00:00:00 -0800 2018-00850 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-01-19/pdf/2018-00850.pdf Notice - 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-E https://regulations.justia.com/regulations/fedreg/2018/01/19/2018-00849.html https://regulations.justia.com/regulations/fedreg/2018/01/19/2018-00849.html Fri, 19 Jan 2018 00:00:00 -0800 2018-00849 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-01-19/pdf/2018-00849.pdf Notice - 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 Accounts https://regulations.justia.com/regulations/fedreg/2018/01/18/2018-00725.html https://regulations.justia.com/regulations/fedreg/2018/01/18/2018-00725.html Thu, 18 Jan 2018 00:00:00 -0800 2018-00725 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-01-18/pdf/2018-00725.pdf Notice - Self-Regulatory Organizations; MIAX PEARL, LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the MIAX PEARL Fee Schedule https://regulations.justia.com/regulations/fedreg/2018/01/18/2018-00724.html https://regulations.justia.com/regulations/fedreg/2018/01/18/2018-00724.html Thu, 18 Jan 2018 00:00:00 -0800 2018-00724 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-01-18/pdf/2018-00724.pdf Notice - Self-Regulatory Organizations; NYSE American LLC; Notice of Filing and Immediate Effectiveness of Proposed Change To Modify the NYSE American Options Fee Schedule https://regulations.justia.com/regulations/fedreg/2018/01/18/2018-00723.html https://regulations.justia.com/regulations/fedreg/2018/01/18/2018-00723.html Thu, 18 Jan 2018 00:00:00 -0800 2018-00723 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-01-18/pdf/2018-00723.pdf Notice - 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 1322 https://regulations.justia.com/regulations/fedreg/2018/01/18/2018-00722.html https://regulations.justia.com/regulations/fedreg/2018/01/18/2018-00722.html Thu, 18 Jan 2018 00:00:00 -0800 2018-00722 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-01-18/pdf/2018-00722.pdf Notice - 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) https://regulations.justia.com/regulations/fedreg/2018/01/18/2018-00721.html https://regulations.justia.com/regulations/fedreg/2018/01/18/2018-00721.html Thu, 18 Jan 2018 00:00:00 -0800 2018-00721 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-01-18/pdf/2018-00721.pdf Notice - 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 Receipts https://regulations.justia.com/regulations/fedreg/2018/01/18/2018-00720.html https://regulations.justia.com/regulations/fedreg/2018/01/18/2018-00720.html Thu, 18 Jan 2018 00:00:00 -0800 2018-00720 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-01-18/pdf/2018-00720.pdf Notice - Sunshine Act Meetings https://regulations.justia.com/regulations/fedreg/2018/01/17/2018-00739.html https://regulations.justia.com/regulations/fedreg/2018/01/17/2018-00739.html Wed, 17 Jan 2018 00:00:00 -0800 2018-00739 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-01-17/pdf/2018-00739.pdf Notice - Sunshine Act Meetings https://regulations.justia.com/regulations/fedreg/2018/01/17/2018-00738.html https://regulations.justia.com/regulations/fedreg/2018/01/17/2018-00738.html Wed, 17 Jan 2018 00:00:00 -0800 2018-00738 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-01-17/pdf/2018-00738.pdf Notice - 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 ETF https://regulations.justia.com/regulations/fedreg/2018/01/17/2018-00645.html https://regulations.justia.com/regulations/fedreg/2018/01/17/2018-00645.html Wed, 17 Jan 2018 00:00:00 -0800 2018-00645 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-01-17/pdf/2018-00645.pdf Notice - Order Approving Public Company Accounting Oversight Board Budget and Annual Accounting Support Fee for Calendar Year 2018 https://regulations.justia.com/regulations/fedreg/2018/01/17/2018-00642.html https://regulations.justia.com/regulations/fedreg/2018/01/17/2018-00642.html Wed, 17 Jan 2018 00:00:00 -0800 2018-00642 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-01-17/pdf/2018-00642.pdf Notice - 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 Standards https://regulations.justia.com/regulations/fedreg/2018/01/17/2018-00636.html https://regulations.justia.com/regulations/fedreg/2018/01/17/2018-00636.html Wed, 17 Jan 2018 00:00:00 -0800 2018-00636 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-01-17/pdf/2018-00636.pdf Notice - 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) https://regulations.justia.com/regulations/fedreg/2018/01/17/2018-00635.html https://regulations.justia.com/regulations/fedreg/2018/01/17/2018-00635.html Wed, 17 Jan 2018 00:00:00 -0800 2018-00635 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-01-17/pdf/2018-00635.pdf Notice - 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 Participant https://regulations.justia.com/regulations/fedreg/2018/01/17/2018-00634.html https://regulations.justia.com/regulations/fedreg/2018/01/17/2018-00634.html Wed, 17 Jan 2018 00:00:00 -0800 2018-00634 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-01-17/pdf/2018-00634.pdf Notice - The Guardian Insurance & Annuity Company, Inc., et al. https://regulations.justia.com/regulations/fedreg/2018/01/17/2018-00626.html https://regulations.justia.com/regulations/fedreg/2018/01/17/2018-00626.html Wed, 17 Jan 2018 00:00:00 -0800 2018-00626 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-01-17/pdf/2018-00626.pdf Rule - Adoption of Updated EDGAR Filer Manual https://regulations.justia.com/regulations/fedreg/2018/01/17/2018-00625.html https://regulations.justia.com/regulations/fedreg/2018/01/17/2018-00625.html Wed, 17 Jan 2018 00:00:00 -0800 2018-00625 Rule https://www.gpo.gov/fdsys/pkg/FR-2018-01-17/pdf/2018-00625.pdf 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 Notice - Harbor Funds and Harbor Capital Advisors, Inc. https://regulations.justia.com/regulations/fedreg/2018/01/12/2018-00431.html https://regulations.justia.com/regulations/fedreg/2018/01/12/2018-00431.html Fri, 12 Jan 2018 00:00:00 -0800 2018-00431 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-01-12/pdf/2018-00431.pdf Notice - 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 Platform https://regulations.justia.com/regulations/fedreg/2018/01/12/2018-00413.html https://regulations.justia.com/regulations/fedreg/2018/01/12/2018-00413.html Fri, 12 Jan 2018 00:00:00 -0800 2018-00413 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-01-12/pdf/2018-00413.pdf Notice - Self-Regulatory Organizations; Cboe Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the Fees Schedule https://regulations.justia.com/regulations/fedreg/2018/01/12/2018-00412.html https://regulations.justia.com/regulations/fedreg/2018/01/12/2018-00412.html Fri, 12 Jan 2018 00:00:00 -0800 2018-00412 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-01-12/pdf/2018-00412.pdf Notice - Self-Regulatory Organizations; Nasdaq GEMX, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Market Makers' Regulatory Fees https://regulations.justia.com/regulations/fedreg/2018/01/12/2018-00411.html https://regulations.justia.com/regulations/fedreg/2018/01/12/2018-00411.html Fri, 12 Jan 2018 00:00:00 -0800 2018-00411 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-01-12/pdf/2018-00411.pdf Notice - 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 Feature https://regulations.justia.com/regulations/fedreg/2018/01/12/2018-00410.html https://regulations.justia.com/regulations/fedreg/2018/01/12/2018-00410.html Fri, 12 Jan 2018 00:00:00 -0800 2018-00410 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-01-12/pdf/2018-00410.pdf Notice - Self-Regulatory Organizations; Nasdaq ISE, LLC; Notice of Filing of Proposed Rule Change To Establish a Nonstandard Expirations Pilot Program https://regulations.justia.com/regulations/fedreg/2018/01/12/2018-00409.html https://regulations.justia.com/regulations/fedreg/2018/01/12/2018-00409.html Fri, 12 Jan 2018 00:00:00 -0800 2018-00409 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-01-12/pdf/2018-00409.pdf Notice - 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 Priority https://regulations.justia.com/regulations/fedreg/2018/01/12/2018-00408.html https://regulations.justia.com/regulations/fedreg/2018/01/12/2018-00408.html Fri, 12 Jan 2018 00:00:00 -0800 2018-00408 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-01-12/pdf/2018-00408.pdf Notice - 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) https://regulations.justia.com/regulations/fedreg/2018/01/12/2018-00407.html https://regulations.justia.com/regulations/fedreg/2018/01/12/2018-00407.html Fri, 12 Jan 2018 00:00:00 -0800 2018-00407 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-01-12/pdf/2018-00407.pdf Unknown - Regulatory Flexibility Agenda https://regulations.justia.com/regulations/fedreg/2018/01/12/2017-28247.html https://regulations.justia.com/regulations/fedreg/2018/01/12/2017-28247.html Fri, 12 Jan 2018 00:00:00 -0800 2017-28247 Unknown https://www.gpo.gov/fdsys/pkg/FR-2018-01-12/pdf/2017-28247.pdf Notice - Adjustments to Civil Monetary Penalty Amounts https://regulations.justia.com/regulations/fedreg/2018/01/11/2018-00387.html https://regulations.justia.com/regulations/fedreg/2018/01/11/2018-00387.html Thu, 11 Jan 2018 00:00:00 -0800 2018-00387 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-01-11/pdf/2018-00387.pdf Rule - Staff Accounting Bulletin No. 117 https://regulations.justia.com/regulations/fedreg/2018/01/11/2018-00352.html https://regulations.justia.com/regulations/fedreg/2018/01/11/2018-00352.html Thu, 11 Jan 2018 00:00:00 -0800 2018-00352 Rule https://www.gpo.gov/fdsys/pkg/FR-2018-01-11/pdf/2018-00352.pdf Notice - 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. https://regulations.justia.com/regulations/fedreg/2018/01/11/2018-00314.html https://regulations.justia.com/regulations/fedreg/2018/01/11/2018-00314.html Thu, 11 Jan 2018 00:00:00 -0800 2018-00314 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-01-11/pdf/2018-00314.pdf Notice - Self-Regulatory Organizations; Cboe BZX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Related to Market Data Fees https://regulations.justia.com/regulations/fedreg/2018/01/11/2018-00309.html https://regulations.justia.com/regulations/fedreg/2018/01/11/2018-00309.html Thu, 11 Jan 2018 00:00:00 -0800 2018-00309 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-01-11/pdf/2018-00309.pdf Notice - 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 Fees https://regulations.justia.com/regulations/fedreg/2018/01/11/2018-00308.html https://regulations.justia.com/regulations/fedreg/2018/01/11/2018-00308.html Thu, 11 Jan 2018 00:00:00 -0800 2018-00308 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-01-11/pdf/2018-00308.pdf Notice - 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-E https://regulations.justia.com/regulations/fedreg/2018/01/11/2018-00307.html https://regulations.justia.com/regulations/fedreg/2018/01/11/2018-00307.html Thu, 11 Jan 2018 00:00:00 -0800 2018-00307 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-01-11/pdf/2018-00307.pdf Notice - 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” https://regulations.justia.com/regulations/fedreg/2018/01/11/2018-00306.html https://regulations.justia.com/regulations/fedreg/2018/01/11/2018-00306.html Thu, 11 Jan 2018 00:00:00 -0800 2018-00306 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-01-11/pdf/2018-00306.pdf Notice - 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 Fees https://regulations.justia.com/regulations/fedreg/2018/01/11/2018-00305.html https://regulations.justia.com/regulations/fedreg/2018/01/11/2018-00305.html Thu, 11 Jan 2018 00:00:00 -0800 2018-00305 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-01-11/pdf/2018-00305.pdf Notice - 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 Contract https://regulations.justia.com/regulations/fedreg/2018/01/11/2018-00304.html https://regulations.justia.com/regulations/fedreg/2018/01/11/2018-00304.html Thu, 11 Jan 2018 00:00:00 -0800 2018-00304 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-01-11/pdf/2018-00304.pdf Notice - 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 Shares https://regulations.justia.com/regulations/fedreg/2018/01/11/2018-00303.html https://regulations.justia.com/regulations/fedreg/2018/01/11/2018-00303.html Thu, 11 Jan 2018 00:00:00 -0800 2018-00303 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-01-11/pdf/2018-00303.pdf Rule - Exemptions From Investment Adviser Registration for Advisers to Small Business Investment Companies https://regulations.justia.com/regulations/fedreg/2018/01/11/2018-00299.html https://regulations.justia.com/regulations/fedreg/2018/01/11/2018-00299.html Thu, 11 Jan 2018 00:00:00 -0800 2018-00299 Rule https://www.gpo.gov/fdsys/pkg/FR-2018-01-11/pdf/2018-00299.pdf Notice - Proposed Collection; Comment Request https://regulations.justia.com/regulations/fedreg/2018/01/10/2018-00267.html https://regulations.justia.com/regulations/fedreg/2018/01/10/2018-00267.html Wed, 10 Jan 2018 00:00:00 -0800 2018-00267 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-01-10/pdf/2018-00267.pdf Notice - 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 Rules https://regulations.justia.com/regulations/fedreg/2018/01/10/2018-00213.html https://regulations.justia.com/regulations/fedreg/2018/01/10/2018-00213.html Wed, 10 Jan 2018 00:00:00 -0800 2018-00213 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-01-10/pdf/2018-00213.pdf 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 Notice - Sunshine Act Meeting https://regulations.justia.com/regulations/fedreg/2018/01/08/2018-00212.html https://regulations.justia.com/regulations/fedreg/2018/01/08/2018-00212.html Mon, 08 Jan 2018 00:00:00 -0800 2018-00212 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-01-08/pdf/2018-00212.pdf Notice - Self-Regulatory Organizations; The Depository Trust Company; Notice of Filing of a Proposed Rule Change To Restore the Timeframe for Processing Credit Post-Payable Adjustments https://regulations.justia.com/regulations/fedreg/2018/01/08/2018-00081.html https://regulations.justia.com/regulations/fedreg/2018/01/08/2018-00081.html Mon, 08 Jan 2018 00:00:00 -0800 2018-00081 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-01-08/pdf/2018-00081.pdf Notice - Self-Regulatory Organizations; The Depository Trust Company; Notice of Filing of a Proposed Rule Change To Adopt a Recovery & Wind-Down Plan and Related Rules https://regulations.justia.com/regulations/fedreg/2018/01/08/2018-00080.html https://regulations.justia.com/regulations/fedreg/2018/01/08/2018-00080.html Mon, 08 Jan 2018 00:00:00 -0800 2018-00080 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-01-08/pdf/2018-00080.pdf Notice - Self-Regulatory Organizations; Fixed Income Clearing Corporation; Notice of Filing of a Proposed Rule Change To Adopt a Recovery & Wind-Down Plan and Related Rules https://regulations.justia.com/regulations/fedreg/2018/01/08/2018-00079.html https://regulations.justia.com/regulations/fedreg/2018/01/08/2018-00079.html Mon, 08 Jan 2018 00:00:00 -0800 2018-00079 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-01-08/pdf/2018-00079.pdf Notice - Self-Regulatory Organizations; National Securities Clearing Corporation; Notice of Filing of a Proposed Rule Change To Adopt a Recovery & Wind-down Plan and Related Rules https://regulations.justia.com/regulations/fedreg/2018/01/08/2018-00078.html https://regulations.justia.com/regulations/fedreg/2018/01/08/2018-00078.html Mon, 08 Jan 2018 00:00:00 -0800 2018-00078 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-01-08/pdf/2018-00078.pdf Notice - 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 Shares https://regulations.justia.com/regulations/fedreg/2018/01/08/2018-00077.html https://regulations.justia.com/regulations/fedreg/2018/01/08/2018-00077.html Mon, 08 Jan 2018 00:00:00 -0800 2018-00077 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-01-08/pdf/2018-00077.pdf Notice - Self-Regulatory Organizations; National Securities Clearing Corporation; Notice of Filing of a Proposed Rule Change To Amend the Loss Allocation Rules and Make Other Changes https://regulations.justia.com/regulations/fedreg/2018/01/08/2018-00076.html https://regulations.justia.com/regulations/fedreg/2018/01/08/2018-00076.html Mon, 08 Jan 2018 00:00:00 -0800 2018-00076 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-01-08/pdf/2018-00076.pdf Notice - Self-Regulatory Organizations; Fixed Income Clearing Corporation; Notice of Filing of a Proposed Rule Change To Amend the Loss Allocation Rules and Make Other Changes https://regulations.justia.com/regulations/fedreg/2018/01/08/2018-00075.html https://regulations.justia.com/regulations/fedreg/2018/01/08/2018-00075.html Mon, 08 Jan 2018 00:00:00 -0800 2018-00075 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-01-08/pdf/2018-00075.pdf Notice - Self-Regulatory Organizations; The Depository Trust Company; Notice of Filing of a Proposed Rule Change To Amend the Loss Allocation Rules and Make Other Changes https://regulations.justia.com/regulations/fedreg/2018/01/08/2018-00074.html https://regulations.justia.com/regulations/fedreg/2018/01/08/2018-00074.html Mon, 08 Jan 2018 00:00:00 -0800 2018-00074 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-01-08/pdf/2018-00074.pdf Notice - Self-Regulatory Organizations; Nasdaq PHLX LLC; Notice of Withdrawal of a Proposed Rule Change To Introduce the Intellicator Analytic Tool https://regulations.justia.com/regulations/fedreg/2018/01/08/2018-00073.html https://regulations.justia.com/regulations/fedreg/2018/01/08/2018-00073.html Mon, 08 Jan 2018 00:00:00 -0800 2018-00073 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-01-08/pdf/2018-00073.pdf Notice - Self-Regulatory Organizations; Cboe EDGX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Related to Market Data Fees https://regulations.justia.com/regulations/fedreg/2018/01/04/2017-28495.html https://regulations.justia.com/regulations/fedreg/2018/01/04/2017-28495.html Thu, 04 Jan 2018 00:00:00 -0800 2017-28495 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-01-04/pdf/2017-28495.pdf Notice - Self-Regulatory Organizations; Cboe EDGA Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Related to Market Data Fees https://regulations.justia.com/regulations/fedreg/2018/01/04/2017-28494.html https://regulations.justia.com/regulations/fedreg/2018/01/04/2017-28494.html Thu, 04 Jan 2018 00:00:00 -0800 2017-28494 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-01-04/pdf/2017-28494.pdf Notice - 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 Clearing https://regulations.justia.com/regulations/fedreg/2018/01/04/2017-28493.html https://regulations.justia.com/regulations/fedreg/2018/01/04/2017-28493.html Thu, 04 Jan 2018 00:00:00 -0800 2017-28493 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-01-04/pdf/2017-28493.pdf Notice - Self-Regulatory Organizations; LCH SA; Order Granting Accelerated Approval of a Proposed Rule Change Relating to the Implementation of the Markets in Financial Instruments Regulation https://regulations.justia.com/regulations/fedreg/2018/01/04/2017-28492.html https://regulations.justia.com/regulations/fedreg/2018/01/04/2017-28492.html Thu, 04 Jan 2018 00:00:00 -0800 2017-28492 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-01-04/pdf/2017-28492.pdf Notice - Notice of Applications for Deregistration Under the Investment Company Act of 1940 https://regulations.justia.com/regulations/fedreg/2018/01/04/2017-28488.html https://regulations.justia.com/regulations/fedreg/2018/01/04/2017-28488.html Thu, 04 Jan 2018 00:00:00 -0800 2017-28488 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-01-04/pdf/2017-28488.pdf Notice - 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 2018 https://regulations.justia.com/regulations/fedreg/2018/01/04/2017-28440.html https://regulations.justia.com/regulations/fedreg/2018/01/04/2017-28440.html Thu, 04 Jan 2018 00:00:00 -0800 2017-28440 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-01-04/pdf/2017-28440.pdf Notice - 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 Shares https://regulations.justia.com/regulations/fedreg/2018/01/04/2017-28439.html https://regulations.justia.com/regulations/fedreg/2018/01/04/2017-28439.html Thu, 04 Jan 2018 00:00:00 -0800 2017-28439 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-01-04/pdf/2017-28439.pdf Notice - Self-Regulatory Organizations; Cboe BYX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Related to Market Data Fees https://regulations.justia.com/regulations/fedreg/2018/01/04/2017-28438.html https://regulations.justia.com/regulations/fedreg/2018/01/04/2017-28438.html Thu, 04 Jan 2018 00:00:00 -0800 2017-28438 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-01-04/pdf/2017-28438.pdf Notice - 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 Contracts https://regulations.justia.com/regulations/fedreg/2018/01/04/2017-28437.html https://regulations.justia.com/regulations/fedreg/2018/01/04/2017-28437.html Thu, 04 Jan 2018 00:00:00 -0800 2017-28437 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-01-04/pdf/2017-28437.pdf Notice - 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”) https://regulations.justia.com/regulations/fedreg/2018/01/04/2017-28436.html https://regulations.justia.com/regulations/fedreg/2018/01/04/2017-28436.html Thu, 04 Jan 2018 00:00:00 -0800 2017-28436 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-01-04/pdf/2017-28436.pdf Notice - Self-Regulatory Organizations; BOX Options Exchange LLC; Notice of Filing of Amendment No. 2 to a Proposed Rule Change Amending Consolidated Audit Trail Funding Fees https://regulations.justia.com/regulations/fedreg/2018/01/03/C1-2017-26990.html https://regulations.justia.com/regulations/fedreg/2018/01/03/C1-2017-26990.html Wed, 03 Jan 2018 00:00:00 -0800 C1-2017-26990 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-01-03/pdf/C1-2017-26990.pdf Notice - Sunshine Act Meetings https://regulations.justia.com/regulations/fedreg/2018/01/03/2017-28446.html https://regulations.justia.com/regulations/fedreg/2018/01/03/2017-28446.html Wed, 03 Jan 2018 00:00:00 -0800 2017-28446 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-01-03/pdf/2017-28446.pdf Proposed Rule - Freedom of Information Act Regulations https://regulations.justia.com/regulations/fedreg/2018/01/03/2017-27967.html https://regulations.justia.com/regulations/fedreg/2018/01/03/2017-27967.html Wed, 03 Jan 2018 00:00:00 -0800 2017-27967 Proposed Rule https://www.gpo.gov/fdsys/pkg/FR-2018-01-03/pdf/2017-27967.pdf Notice - 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 Trail https://regulations.justia.com/regulations/fedreg/2018/01/02/C1-2017-26995.html https://regulations.justia.com/regulations/fedreg/2018/01/02/C1-2017-26995.html Tue, 02 Jan 2018 00:00:00 -0800 C1-2017-26995 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-01-02/pdf/C1-2017-26995.pdf Notice - Self-Regulatory Organizations; Investors Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Related to the Displayed Match Fee https://regulations.justia.com/regulations/fedreg/2018/01/02/2017-28311.html https://regulations.justia.com/regulations/fedreg/2018/01/02/2017-28311.html Tue, 02 Jan 2018 00:00:00 -0800 2017-28311 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-01-02/pdf/2017-28311.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 Reinhart Intermediate Bond NextShares Fund https://regulations.justia.com/regulations/fedreg/2018/01/02/2017-28310.html https://regulations.justia.com/regulations/fedreg/2018/01/02/2017-28310.html Tue, 02 Jan 2018 00:00:00 -0800 2017-28310 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-01-02/pdf/2017-28310.pdf Notice - 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 Rebate https://regulations.justia.com/regulations/fedreg/2018/01/02/2017-28309.html https://regulations.justia.com/regulations/fedreg/2018/01/02/2017-28309.html Tue, 02 Jan 2018 00:00:00 -0800 2017-28309 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-01-02/pdf/2017-28309.pdf