<![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/2018/02/27?registers=between Sun, 22 Dec 2024 15:07:04 -0800 Sun, 22 Dec 2024 15:07:04 -0800 Justia Regulations Tracker Copyright 2011 Justia Inc. https://regulations.justia.com/images/justiafedregulations.gif <![CDATA[Federal Register Recent Federal Regulation Documents - Justia Regulation Tracker - Justia Regulations Tracker]]> https://regulations.justia.com/regulations/fedreg/agencies/agencies-and-commissions/securities-and-exchange-commission/2018/02/27?registers=between Notice - Sunshine Act Meetings https://regulations.justia.com/regulations/fedreg/2018/02/27/2018-04032.html https://regulations.justia.com/regulations/fedreg/2018/02/27/2018-04032.html Tue, 27 Feb 2018 00:00:00 -0800 2018-04032 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-02-27/pdf/2018-04032.pdf Rule - Investment Company Liquidity Risk Management Programs; Commission Guidance for In-Kind ETFs https://regulations.justia.com/regulations/fedreg/2018/02/27/2018-03917.html https://regulations.justia.com/regulations/fedreg/2018/02/27/2018-03917.html Tue, 27 Feb 2018 00:00:00 -0800 2018-03917 Rule https://www.gpo.gov/fdsys/pkg/FR-2018-02-27/pdf/2018-03917.pdf Notice - Self-Regulatory Organizations; The Nasdaq Stock Market LLC; Notice of Designation of a Longer Period for Commission Action on a Proposed Rule Change To List and Trade the Shares of the Western Asset Total Return ETF https://regulations.justia.com/regulations/fedreg/2018/02/27/2018-03895.html https://regulations.justia.com/regulations/fedreg/2018/02/27/2018-03895.html Tue, 27 Feb 2018 00:00:00 -0800 2018-03895 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-02-27/pdf/2018-03895.pdf Notice - Self-Regulatory Organizations; MIAX PEARL, LLC; Notice of Filing of a Proposed Rule Change To Adopt Rules Relating to Trading in Index Options https://regulations.justia.com/regulations/fedreg/2018/02/27/2018-03894.html https://regulations.justia.com/regulations/fedreg/2018/02/27/2018-03894.html Tue, 27 Feb 2018 00:00:00 -0800 2018-03894 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-02-27/pdf/2018-03894.pdf Notice - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Revise the Investment Company and Variable Contracts Products Representative (Series 6) Examination https://regulations.justia.com/regulations/fedreg/2018/02/27/2018-03893.html https://regulations.justia.com/regulations/fedreg/2018/02/27/2018-03893.html Tue, 27 Feb 2018 00:00:00 -0800 2018-03893 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-02-27/pdf/2018-03893.pdf Notice - Self-Regulatory Organizations; Nasdaq PHLX LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Section VI.A. of the Exchange's Pricing Schedule To Clarify the Exchange's Billing Practices With Respect to Permit Fees https://regulations.justia.com/regulations/fedreg/2018/02/27/2018-03892.html https://regulations.justia.com/regulations/fedreg/2018/02/27/2018-03892.html Tue, 27 Feb 2018 00:00:00 -0800 2018-03892 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-02-27/pdf/2018-03892.pdf Notice - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Revise the Operations Professional (Series 99) Examination https://regulations.justia.com/regulations/fedreg/2018/02/27/2018-03891.html https://regulations.justia.com/regulations/fedreg/2018/02/27/2018-03891.html Tue, 27 Feb 2018 00:00:00 -0800 2018-03891 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-02-27/pdf/2018-03891.pdf Notice - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Revise the Research Analyst (Series 86 and 87) Examinations https://regulations.justia.com/regulations/fedreg/2018/02/27/2018-03890.html https://regulations.justia.com/regulations/fedreg/2018/02/27/2018-03890.html Tue, 27 Feb 2018 00:00:00 -0800 2018-03890 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-02-27/pdf/2018-03890.pdf Notice - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Revise the Investment Banking Representative (Series 79) Examination https://regulations.justia.com/regulations/fedreg/2018/02/27/2018-03889.html https://regulations.justia.com/regulations/fedreg/2018/02/27/2018-03889.html Tue, 27 Feb 2018 00:00:00 -0800 2018-03889 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-02-27/pdf/2018-03889.pdf Notice - Self-Regulatory Organizations; Nasdaq ISE, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Gateway Fees https://regulations.justia.com/regulations/fedreg/2018/02/27/2018-03888.html https://regulations.justia.com/regulations/fedreg/2018/02/27/2018-03888.html Tue, 27 Feb 2018 00:00:00 -0800 2018-03888 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-02-27/pdf/2018-03888.pdf Notice - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Revise the Direct Participation Programs Representative (Series 22) Examination https://regulations.justia.com/regulations/fedreg/2018/02/27/2018-03887.html https://regulations.justia.com/regulations/fedreg/2018/02/27/2018-03887.html Tue, 27 Feb 2018 00:00:00 -0800 2018-03887 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-02-27/pdf/2018-03887.pdf Notice - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Revise the General Securities Representative (Series 7) Examination https://regulations.justia.com/regulations/fedreg/2018/02/27/2018-03886.html https://regulations.justia.com/regulations/fedreg/2018/02/27/2018-03886.html Tue, 27 Feb 2018 00:00:00 -0800 2018-03886 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-02-27/pdf/2018-03886.pdf