<![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/2018/05?registers=between&min-day=1&max-day=31 Wed, 01 May 2024 20:39:46 -0700 Wed, 01 May 2024 20:39:46 -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/2018/05?registers=between&min-day=1&max-day=31 Notice - Notice of Applications for Deregistration Under Section 8(f) of the Investment Company Act of 1940 https://regulations.justia.com/regulations/fedreg/2018/05/31/2018-11729.html https://regulations.justia.com/regulations/fedreg/2018/05/31/2018-11729.html Thu, 31 May 2018 00:00:00 -0700 2018-11729 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-05-31/pdf/2018-11729.pdf Notice - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to District Committee Structure and Governance https://regulations.justia.com/regulations/fedreg/2018/05/31/2018-11728.html https://regulations.justia.com/regulations/fedreg/2018/05/31/2018-11728.html Thu, 31 May 2018 00:00:00 -0700 2018-11728 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-05-31/pdf/2018-11728.pdf Notice - Self-Regulatory Organizations; The Options Clearing Corporation; Order Approving Proposed Rule Change Related to The Options Clearing Corporation's Margin Methodology https://regulations.justia.com/regulations/fedreg/2018/05/31/2018-11615.html https://regulations.justia.com/regulations/fedreg/2018/05/31/2018-11615.html Thu, 31 May 2018 00:00:00 -0700 2018-11615 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-05-31/pdf/2018-11615.pdf Notice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend NYSE Arca Rule 5.3-E To Exclude Certain Categories of Issuers From the Exchange's Annual Meeting Requirement https://regulations.justia.com/regulations/fedreg/2018/05/31/2018-11614.html https://regulations.justia.com/regulations/fedreg/2018/05/31/2018-11614.html Thu, 31 May 2018 00:00:00 -0700 2018-11614 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-05-31/pdf/2018-11614.pdf Notice - Self-Regulatory Organizations; Nasdaq ISE, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Memorialize Its Order and Execution Information Into ISE Rule 718, Entitled “Data Feeds” https://regulations.justia.com/regulations/fedreg/2018/05/31/2018-11613.html https://regulations.justia.com/regulations/fedreg/2018/05/31/2018-11613.html Thu, 31 May 2018 00:00:00 -0700 2018-11613 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-05-31/pdf/2018-11613.pdf Notice - Self-Regulatory Organizations; Nasdaq PHLX LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Related to Risk Protections https://regulations.justia.com/regulations/fedreg/2018/05/31/2018-11612.html https://regulations.justia.com/regulations/fedreg/2018/05/31/2018-11612.html Thu, 31 May 2018 00:00:00 -0700 2018-11612 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-05-31/pdf/2018-11612.pdf Notice - Self-Regulatory Organizations; The Options Clearing Corporation; Notice of Filing of Amendment No. 1 and Order Approving Proposed Rule Change, as Modified by Amendment No. 1, Related to The Options Clearing Corporation's Trade Acceptance and Novation Rules https://regulations.justia.com/regulations/fedreg/2018/05/31/2018-11611.html https://regulations.justia.com/regulations/fedreg/2018/05/31/2018-11611.html Thu, 31 May 2018 00:00:00 -0700 2018-11611 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-05-31/pdf/2018-11611.pdf Notice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to the Peritus High Yield ETF https://regulations.justia.com/regulations/fedreg/2018/05/31/2018-11610.html https://regulations.justia.com/regulations/fedreg/2018/05/31/2018-11610.html Thu, 31 May 2018 00:00:00 -0700 2018-11610 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-05-31/pdf/2018-11610.pdf Notice - Self-Regulatory Organizations; NYSE Arca, Inc.; Order Approving a Proposed Rule Change, As Modified by Amendment No. 1 Thereto, To Continue Listing and Trading Shares of the PGIM Ultra Short Bond ETF Under NYSE Arca Rule 8.600-E https://regulations.justia.com/regulations/fedreg/2018/05/31/2018-11609.html https://regulations.justia.com/regulations/fedreg/2018/05/31/2018-11609.html Thu, 31 May 2018 00:00:00 -0700 2018-11609 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-05-31/pdf/2018-11609.pdf Notice - Self-Regulatory Organizations; BOX Options Exchange LLC; Notice of Filing of Proposed Rule Change To Adopt IM-7130-1 to Rule 7130 https://regulations.justia.com/regulations/fedreg/2018/05/31/2018-11608.html https://regulations.justia.com/regulations/fedreg/2018/05/31/2018-11608.html Thu, 31 May 2018 00:00:00 -0700 2018-11608 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-05-31/pdf/2018-11608.pdf Notice - Self-Regulatory Organizations; BOX Options Exchange LLC; Notice of Filing of Proposed Rule Change To Amend Rules 7150 and 7245 https://regulations.justia.com/regulations/fedreg/2018/05/31/2018-11607.html https://regulations.justia.com/regulations/fedreg/2018/05/31/2018-11607.html Thu, 31 May 2018 00:00:00 -0700 2018-11607 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-05-31/pdf/2018-11607.pdf Notice - Submission for OMB Review; Comment Request https://regulations.justia.com/regulations/fedreg/2018/05/31/2018-11595.html https://regulations.justia.com/regulations/fedreg/2018/05/31/2018-11595.html Thu, 31 May 2018 00:00:00 -0700 2018-11595 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-05-31/pdf/2018-11595.pdf Notice - Pioneer ILS Interval Fund and Amundi Pioneer Asset Management, Inc.; Notice of Application https://regulations.justia.com/regulations/fedreg/2018/05/31/2018-11594.html https://regulations.justia.com/regulations/fedreg/2018/05/31/2018-11594.html Thu, 31 May 2018 00:00:00 -0700 2018-11594 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-05-31/pdf/2018-11594.pdf Notice - Proposed Collection; Comment Request https://regulations.justia.com/regulations/fedreg/2018/05/31/2018-11593.html https://regulations.justia.com/regulations/fedreg/2018/05/31/2018-11593.html Thu, 31 May 2018 00:00:00 -0700 2018-11593 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-05-31/pdf/2018-11593.pdf Notice - Sunshine Act Meetings https://regulations.justia.com/regulations/fedreg/2018/05/30/2018-11630.html https://regulations.justia.com/regulations/fedreg/2018/05/30/2018-11630.html Wed, 30 May 2018 00:00:00 -0700 2018-11630 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-05-30/pdf/2018-11630.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 Clearing Rules To Implement the European Union General Data Protection Regulation https://regulations.justia.com/regulations/fedreg/2018/05/30/2018-11501.html https://regulations.justia.com/regulations/fedreg/2018/05/30/2018-11501.html Wed, 30 May 2018 00:00:00 -0700 2018-11501 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-05-30/pdf/2018-11501.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 on the BOX Market LLC (“BOX”) Options Facility To Amend SAIL Port Fees https://regulations.justia.com/regulations/fedreg/2018/05/30/2018-11500.html https://regulations.justia.com/regulations/fedreg/2018/05/30/2018-11500.html Wed, 30 May 2018 00:00:00 -0700 2018-11500 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-05-30/pdf/2018-11500.pdf Notice - Investor Advisory Committee Meeting https://regulations.justia.com/regulations/fedreg/2018/05/30/2018-11496.html https://regulations.justia.com/regulations/fedreg/2018/05/30/2018-11496.html Wed, 30 May 2018 00:00:00 -0700 2018-11496 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-05-30/pdf/2018-11496.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 on the BOX Market LLC (“BOX”) Options Facility To Amend Drop Copy Port Fees https://regulations.justia.com/regulations/fedreg/2018/05/29/2018-11499.html https://regulations.justia.com/regulations/fedreg/2018/05/29/2018-11499.html Tue, 29 May 2018 00:00:00 -0700 2018-11499 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-05-29/pdf/2018-11499.pdf Notice - Self-Regulatory Organizations; Nasdaq ISE, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the Schedule of Fees Related to Complex Orders https://regulations.justia.com/regulations/fedreg/2018/05/29/2018-11456.html https://regulations.justia.com/regulations/fedreg/2018/05/29/2018-11456.html Tue, 29 May 2018 00:00:00 -0700 2018-11456 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-05-29/pdf/2018-11456.pdf Notice - Self-Regulatory Organizations; The Options Clearing Corporation; Notice of No Objection To Advance Notice Filing Concerning The Options Clearing Corporation's Margin Methodology https://regulations.justia.com/regulations/fedreg/2018/05/29/2018-11454.html https://regulations.justia.com/regulations/fedreg/2018/05/29/2018-11454.html Tue, 29 May 2018 00:00:00 -0700 2018-11454 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-05-29/pdf/2018-11454.pdf Notice - Self-Regulatory Organizations; Chicago Stock Exchange, Inc.; Notice of Filing of Proposed Rule Change, as Modified by Amendment No. 1 Thereto, in Connection With a Proposed Transaction Involving CHX Holdings, Inc. and the Intercontinental Exchange, Inc. https://regulations.justia.com/regulations/fedreg/2018/05/29/2018-11395.html https://regulations.justia.com/regulations/fedreg/2018/05/29/2018-11395.html Tue, 29 May 2018 00:00:00 -0700 2018-11395 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-05-29/pdf/2018-11395.pdf Notice - DMS ETF Trust I, et al. https://regulations.justia.com/regulations/fedreg/2018/05/29/2018-11365.html https://regulations.justia.com/regulations/fedreg/2018/05/29/2018-11365.html Tue, 29 May 2018 00:00:00 -0700 2018-11365 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-05-29/pdf/2018-11365.pdf Notice - Self-Regulatory Organizations; Cboe BZX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to the Listing and Trading of the iShares Gold Strategy ETF, a Series of the iShares U.S. ETF Trust https://regulations.justia.com/regulations/fedreg/2018/05/29/2018-11356.html https://regulations.justia.com/regulations/fedreg/2018/05/29/2018-11356.html Tue, 29 May 2018 00:00:00 -0700 2018-11356 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-05-29/pdf/2018-11356.pdf Notice - Weiss Strategic Interval Fund and Weiss Multi-Strategy Advisers LLC https://regulations.justia.com/regulations/fedreg/2018/05/25/2018-11296.html https://regulations.justia.com/regulations/fedreg/2018/05/25/2018-11296.html Fri, 25 May 2018 00:00:00 -0700 2018-11296 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-05-25/pdf/2018-11296.pdf Notice - Order Granting Application by NYSE National, Inc. for an Exemption Pursuant to Section 36(a) of the Exchange Act From the Rule Filing Requirements of Section 19(b) of the Exchange Act With Respect to Certain Rules Incorporated by Reference https://regulations.justia.com/regulations/fedreg/2018/05/25/2018-11226.html https://regulations.justia.com/regulations/fedreg/2018/05/25/2018-11226.html Fri, 25 May 2018 00:00:00 -0700 2018-11226 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-05-25/pdf/2018-11226.pdf Notice - Self-Regulatory Organizations; Nasdaq PHLX LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Sections I and II of the Pricing Schedule https://regulations.justia.com/regulations/fedreg/2018/05/25/2018-11225.html https://regulations.justia.com/regulations/fedreg/2018/05/25/2018-11225.html Fri, 25 May 2018 00:00:00 -0700 2018-11225 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-05-25/pdf/2018-11225.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 Contained in Listing Rule 5635(d) To Change the Definition of Market Value for Purposes of the Shareholder Approval Rule and Eliminate the Requirement for Shareholder Approval of Issuances at a Price Less Than Book Value but Greater Than Market Value https://regulations.justia.com/regulations/fedreg/2018/05/25/2018-11224.html https://regulations.justia.com/regulations/fedreg/2018/05/25/2018-11224.html Fri, 25 May 2018 00:00:00 -0700 2018-11224 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-05-25/pdf/2018-11224.pdf Notice - Self-Regulatory Organizations; Cboe BZX Exchange, Inc.; Order Instituting Proceedings To Determine Whether To Approve or Disapprove a Proposed Rule Change To Adopt BZX Rule 14.11(k) To Permit the Listing and Trading of Managed Portfolio Shares and To List and Trade Shares of the ClearBridge Appreciation ETF, ClearBridge Large Cap ETF, ClearBridge Mid Cap Growth ETF, ClearBridge Select ETF, and ClearBridge All Cap Value ETF https://regulations.justia.com/regulations/fedreg/2018/05/25/2018-11223.html https://regulations.justia.com/regulations/fedreg/2018/05/25/2018-11223.html Fri, 25 May 2018 00:00:00 -0700 2018-11223 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-05-25/pdf/2018-11223.pdf Notice - Self-Regulatory Organizations; Cboe Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Rule 5.3, Criteria for Underlying Securities https://regulations.justia.com/regulations/fedreg/2018/05/25/2018-11222.html https://regulations.justia.com/regulations/fedreg/2018/05/25/2018-11222.html Fri, 25 May 2018 00:00:00 -0700 2018-11222 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-05-25/pdf/2018-11222.pdf Notice - Proposed Collection; Comment Request https://regulations.justia.com/regulations/fedreg/2018/05/25/2018-11219.html https://regulations.justia.com/regulations/fedreg/2018/05/25/2018-11219.html Fri, 25 May 2018 00:00:00 -0700 2018-11219 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-05-25/pdf/2018-11219.pdf Notice - Submission for OMB Review; Comment Request https://regulations.justia.com/regulations/fedreg/2018/05/25/2018-11218.html https://regulations.justia.com/regulations/fedreg/2018/05/25/2018-11218.html Fri, 25 May 2018 00:00:00 -0700 2018-11218 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-05-25/pdf/2018-11218.pdf Notice - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Modify the Definition of “Agency Debt Security” https://regulations.justia.com/regulations/fedreg/2018/05/24/2018-11093.html https://regulations.justia.com/regulations/fedreg/2018/05/24/2018-11093.html Thu, 24 May 2018 00:00:00 -0700 2018-11093 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-05-24/pdf/2018-11093.pdf Proposed Rule - Form CRS Relationship Summary; Amendments to Form ADV; Required Disclosures in Retail Communications and Restrictions on the Use of Certain Names or Titles https://regulations.justia.com/regulations/fedreg/2018/05/23/C1-2018-08583.html https://regulations.justia.com/regulations/fedreg/2018/05/23/C1-2018-08583.html Wed, 23 May 2018 00:00:00 -0700 C1-2018-08583 Proposed Rule https://www.gpo.gov/fdsys/pkg/FR-2018-05-23/pdf/C1-2018-08583.pdf Notice - Self-Regulatory Organizations; NYSE National, Inc.; Notice of Filing of Amendment No. 1 and Order Granting Accelerated Approval of a Proposed Rule Change, as Amended by Amendment No. 1, To Support the Re-Launch of NYSE National, Inc. on the Pillar Trading Platform https://regulations.justia.com/regulations/fedreg/2018/05/23/2018-10986.html https://regulations.justia.com/regulations/fedreg/2018/05/23/2018-10986.html Wed, 23 May 2018 00:00:00 -0700 2018-10986 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-05-23/pdf/2018-10986.pdf Notice - Self-Regulatory Organizations; Nasdaq MRX, LLC; Notice of Filing of Amendment No. 1 and Order Granting Accelerated Approval of a Proposed Rule Change, as Modified by Amendment No. 1, To Introduce the ATR Protection for Orders That Are Routed to Away Markets https://regulations.justia.com/regulations/fedreg/2018/05/23/2018-10980.html https://regulations.justia.com/regulations/fedreg/2018/05/23/2018-10980.html Wed, 23 May 2018 00:00:00 -0700 2018-10980 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-05-23/pdf/2018-10980.pdf Notice - Self-Regulatory Organizations; Nasdaq GEMX, LLC; Notice of Filing of Amendment No. 1 and Order Granting Accelerated Approval of a Proposed Rule Change, as Modified by Amendment No. 1, To Introduce the ATR Protection for Orders That Are Routed to Away Markets https://regulations.justia.com/regulations/fedreg/2018/05/23/2018-10979.html https://regulations.justia.com/regulations/fedreg/2018/05/23/2018-10979.html Wed, 23 May 2018 00:00:00 -0700 2018-10979 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-05-23/pdf/2018-10979.pdf Notice - Self-Regulatory Organizations; Nasdaq ISE, LLC; Notice of Filing of Amendment No. 1 and Order Granting Accelerated Approval of a Proposed Rule Change, as Modified by Amendment No. 1, To Introduce the ATR Protection for Orders That Are Routed to Away Markets https://regulations.justia.com/regulations/fedreg/2018/05/23/2018-10978.html https://regulations.justia.com/regulations/fedreg/2018/05/23/2018-10978.html Wed, 23 May 2018 00:00:00 -0700 2018-10978 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-05-23/pdf/2018-10978.pdf Notice - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Order Granting Approval of a Proposed Rule Change Relating to Simplified Arbitration https://regulations.justia.com/regulations/fedreg/2018/05/23/2018-10977.html https://regulations.justia.com/regulations/fedreg/2018/05/23/2018-10977.html Wed, 23 May 2018 00:00:00 -0700 2018-10977 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-05-23/pdf/2018-10977.pdf Notice - Self-Regulatory Organizations: Investors Exchange LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Rule 11.410(a) To Update the Market Data Source That the Exchange Will Use To Determine the Top of Book Quotation for NYSE National in Anticipation of Its Planned Re-Launch https://regulations.justia.com/regulations/fedreg/2018/05/23/2018-10976.html https://regulations.justia.com/regulations/fedreg/2018/05/23/2018-10976.html Wed, 23 May 2018 00:00:00 -0700 2018-10976 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-05-23/pdf/2018-10976.pdf Notice - Self-Regulatory Organizations; Nasdaq MRX, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Supplementary Material .03 to Rule 804 To Enhance Anti-Internalization Functionality https://regulations.justia.com/regulations/fedreg/2018/05/23/2018-10975.html https://regulations.justia.com/regulations/fedreg/2018/05/23/2018-10975.html Wed, 23 May 2018 00:00:00 -0700 2018-10975 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-05-23/pdf/2018-10975.pdf Notice - Self-Regulatory Organizations; NYSE American LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Rule 7.4E To Reflect the Standard Settlement Cycle of Two Business Days After the Trade Date https://regulations.justia.com/regulations/fedreg/2018/05/23/2018-10974.html https://regulations.justia.com/regulations/fedreg/2018/05/23/2018-10974.html Wed, 23 May 2018 00:00:00 -0700 2018-10974 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-05-23/pdf/2018-10974.pdf Notice - Self-Regulatory Organizations; The Nasdaq Stock Market LLC; Notice of Filing of Proposed Rule Change To Amend Rule 4702(b)(14) To Establish a Price Improvement Only Variation on the Midpoint Extended Life Order https://regulations.justia.com/regulations/fedreg/2018/05/23/2018-10973.html https://regulations.justia.com/regulations/fedreg/2018/05/23/2018-10973.html Wed, 23 May 2018 00:00:00 -0700 2018-10973 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-05-23/pdf/2018-10973.pdf Notice - Self-Regulatory Organizations; Cboe BZX Exchange, Inc.; Notice of Designation of a Longer Period for Commission Action on Proceedings To Determine Whether To Approve or Disapprove a Proposed Rule Change, as Modified by Amendment No. 1 Thereto, To List and Trade Shares of the Innovator S&P 500 Buffer ETF Series, Innovator S&P 500 Power Buffer ETF Series, Innovator S&P 500 Enhance and Buffer ETF Series, and Innovator S&P 500 Ultra ETF Series Under Rule 14.11(i) https://regulations.justia.com/regulations/fedreg/2018/05/23/2018-10972.html https://regulations.justia.com/regulations/fedreg/2018/05/23/2018-10972.html Wed, 23 May 2018 00:00:00 -0700 2018-10972 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-05-23/pdf/2018-10972.pdf Notice - Self-Regulatory Organizations; Nasdaq GEMX, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Supplementary Material .03 to Rule 804 To Enhance Anti-Internalization Functionality https://regulations.justia.com/regulations/fedreg/2018/05/23/2018-10971.html https://regulations.justia.com/regulations/fedreg/2018/05/23/2018-10971.html Wed, 23 May 2018 00:00:00 -0700 2018-10971 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-05-23/pdf/2018-10971.pdf Notice - Self-Regulatory Organizations; Nasdaq ISE, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Supplementary Material .03 to Rule 804 To Enhance Anti-Internalization Functionality https://regulations.justia.com/regulations/fedreg/2018/05/23/2018-10970.html https://regulations.justia.com/regulations/fedreg/2018/05/23/2018-10970.html Wed, 23 May 2018 00:00:00 -0700 2018-10970 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-05-23/pdf/2018-10970.pdf Notice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the NYSE Arca Equities Fees and Charges https://regulations.justia.com/regulations/fedreg/2018/05/23/2018-10969.html https://regulations.justia.com/regulations/fedreg/2018/05/23/2018-10969.html Wed, 23 May 2018 00:00:00 -0700 2018-10969 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-05-23/pdf/2018-10969.pdf Notice - Self-Regulatory Organizations; Nasdaq ISE, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the Exchanges Schedule of Fees https://regulations.justia.com/regulations/fedreg/2018/05/22/2018-10830.html https://regulations.justia.com/regulations/fedreg/2018/05/22/2018-10830.html Tue, 22 May 2018 00:00:00 -0700 2018-10830 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-05-22/pdf/2018-10830.pdf Notice - Self-Regulatory Organizations; Cboe EDGX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Rule 2.12 To Add References to Cboe Options and C2 https://regulations.justia.com/regulations/fedreg/2018/05/22/2018-10829.html https://regulations.justia.com/regulations/fedreg/2018/05/22/2018-10829.html Tue, 22 May 2018 00:00:00 -0700 2018-10829 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-05-22/pdf/2018-10829.pdf Notice - Self-Regulatory Organizations; Cboe EDGA Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Rule 2.12 To Add References to Cboe Options and C2 https://regulations.justia.com/regulations/fedreg/2018/05/22/2018-10828.html https://regulations.justia.com/regulations/fedreg/2018/05/22/2018-10828.html Tue, 22 May 2018 00:00:00 -0700 2018-10828 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-05-22/pdf/2018-10828.pdf Notice - Self-Regulatory Organizations; Cboe BYX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Rule 2.12 To Add References to Cboe Options and C2 https://regulations.justia.com/regulations/fedreg/2018/05/22/2018-10827.html https://regulations.justia.com/regulations/fedreg/2018/05/22/2018-10827.html Tue, 22 May 2018 00:00:00 -0700 2018-10827 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-05-22/pdf/2018-10827.pdf Notice - Proposed Collection; Comment Request https://regulations.justia.com/regulations/fedreg/2018/05/21/2018-10776.html https://regulations.justia.com/regulations/fedreg/2018/05/21/2018-10776.html Mon, 21 May 2018 00:00:00 -0700 2018-10776 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-05-21/pdf/2018-10776.pdf Notice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to the Proposed Operation of the Perth Mint Physical Gold ETF Trust https://regulations.justia.com/regulations/fedreg/2018/05/21/2018-10713.html https://regulations.justia.com/regulations/fedreg/2018/05/21/2018-10713.html Mon, 21 May 2018 00:00:00 -0700 2018-10713 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-05-21/pdf/2018-10713.pdf Notice - Self-Regulatory Organizations; Cboe BZX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Rule 2.12 To Add References to Cboe Options and C2 https://regulations.justia.com/regulations/fedreg/2018/05/21/2018-10712.html https://regulations.justia.com/regulations/fedreg/2018/05/21/2018-10712.html Mon, 21 May 2018 00:00:00 -0700 2018-10712 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-05-21/pdf/2018-10712.pdf Notice - Self-Regulatory Organizations; Cboe Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Its Fees Schedule Related to Its PULSe Workstation https://regulations.justia.com/regulations/fedreg/2018/05/21/2018-10711.html https://regulations.justia.com/regulations/fedreg/2018/05/21/2018-10711.html Mon, 21 May 2018 00:00:00 -0700 2018-10711 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-05-21/pdf/2018-10711.pdf Notice - Self-Regulatory Organizations; ICE Clear Europe Limited; Order Approving Proposed Rule Change Relating to Amendments to the ICE Clear Europe CDS Clearing Stress Testing Policy https://regulations.justia.com/regulations/fedreg/2018/05/21/2018-10710.html https://regulations.justia.com/regulations/fedreg/2018/05/21/2018-10710.html Mon, 21 May 2018 00:00:00 -0700 2018-10710 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-05-21/pdf/2018-10710.pdf Notice - Self-Regulatory Organizations; Cboe C2 Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Its Fees Schedule Related to Its PULSe Workstation https://regulations.justia.com/regulations/fedreg/2018/05/21/2018-10709.html https://regulations.justia.com/regulations/fedreg/2018/05/21/2018-10709.html Mon, 21 May 2018 00:00:00 -0700 2018-10709 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-05-21/pdf/2018-10709.pdf Notice - Self-Regulatory Organizations; Cboe Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to Its Fees Schedule in Connection With the Exchange's Planned Migration of Standard Third-Friday Options on the S&P 500 Index to the Hybrid Trading System From the Hybrid 3.0 System https://regulations.justia.com/regulations/fedreg/2018/05/21/2018-10708.html https://regulations.justia.com/regulations/fedreg/2018/05/21/2018-10708.html Mon, 21 May 2018 00:00:00 -0700 2018-10708 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-05-21/pdf/2018-10708.pdf Notice - Self-Regulatory Organizations; Cboe EDGX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Related to Fees for Use on Cboe EDGX Exchange, Inc. https://regulations.justia.com/regulations/fedreg/2018/05/21/2018-10707.html https://regulations.justia.com/regulations/fedreg/2018/05/21/2018-10707.html Mon, 21 May 2018 00:00:00 -0700 2018-10707 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-05-21/pdf/2018-10707.pdf Notice - Self-Regulatory Organizations; Nasdaq MRX, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Supplementary Material to Rule 706 To Harmonize Its Sponsored Access Rules With Those of Its Affiliates https://regulations.justia.com/regulations/fedreg/2018/05/21/2018-10706.html https://regulations.justia.com/regulations/fedreg/2018/05/21/2018-10706.html Mon, 21 May 2018 00:00:00 -0700 2018-10706 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-05-21/pdf/2018-10706.pdf Notice - Self-Regulatory Organizations; Nasdaq ISE, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Supplementary Material to Rule 706 To Harmonize Its Sponsored Access Rules With Those of Its Affiliates https://regulations.justia.com/regulations/fedreg/2018/05/21/2018-10705.html https://regulations.justia.com/regulations/fedreg/2018/05/21/2018-10705.html Mon, 21 May 2018 00:00:00 -0700 2018-10705 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-05-21/pdf/2018-10705.pdf Notice - Self-Regulatory Organizations; Nasdaq GEMX, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Supplementary Material to Rule 706 To Harmonize Its Sponsored Access Rules With Those of Its Affiliates https://regulations.justia.com/regulations/fedreg/2018/05/21/2018-10704.html https://regulations.justia.com/regulations/fedreg/2018/05/21/2018-10704.html Mon, 21 May 2018 00:00:00 -0700 2018-10704 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-05-21/pdf/2018-10704.pdf Notice - PFM Multi-Manager Series Trust and PFM Asset Management LLC https://regulations.justia.com/regulations/fedreg/2018/05/18/2018-10639.html https://regulations.justia.com/regulations/fedreg/2018/05/18/2018-10639.html Fri, 18 May 2018 00:00:00 -0700 2018-10639 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-05-18/pdf/2018-10639.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/2018/05/18/2018-10606.html https://regulations.justia.com/regulations/fedreg/2018/05/18/2018-10606.html Fri, 18 May 2018 00:00:00 -0700 2018-10606 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-05-18/pdf/2018-10606.pdf Notice - Self-Regulatory Organizations; Nasdaq BX, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the Market Order Spread Protection and Reorganize Rule Chapter VI, Section 18 Entitled, “Order Price Protections” https://regulations.justia.com/regulations/fedreg/2018/05/18/2018-10605.html https://regulations.justia.com/regulations/fedreg/2018/05/18/2018-10605.html Fri, 18 May 2018 00:00:00 -0700 2018-10605 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-05-18/pdf/2018-10605.pdf Notice - Self-Regulatory Organizations; The Nasdaq Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the Market Order Spread Protection https://regulations.justia.com/regulations/fedreg/2018/05/18/2018-10604.html https://regulations.justia.com/regulations/fedreg/2018/05/18/2018-10604.html Fri, 18 May 2018 00:00:00 -0700 2018-10604 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-05-18/pdf/2018-10604.pdf Notice - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing of a Proposed Rule Change Relating To Create a Fee and Honorarium for Late Cancellation of a Prehearing Conference https://regulations.justia.com/regulations/fedreg/2018/05/18/2018-10603.html https://regulations.justia.com/regulations/fedreg/2018/05/18/2018-10603.html Fri, 18 May 2018 00:00:00 -0700 2018-10603 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-05-18/pdf/2018-10603.pdf Notice - Self-Regulatory Organizations; Cboe Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the Silexx Trading Platform Fees Schedule https://regulations.justia.com/regulations/fedreg/2018/05/18/2018-10602.html https://regulations.justia.com/regulations/fedreg/2018/05/18/2018-10602.html Fri, 18 May 2018 00:00:00 -0700 2018-10602 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-05-18/pdf/2018-10602.pdf Notice - Self-Regulatory Organizations; Cboe C2 Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Rule 6.11., Regarding the Opening Process for Index Options https://regulations.justia.com/regulations/fedreg/2018/05/18/2018-10601.html https://regulations.justia.com/regulations/fedreg/2018/05/18/2018-10601.html Fri, 18 May 2018 00:00:00 -0700 2018-10601 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-05-18/pdf/2018-10601.pdf Notice - Self-Regulatory Organizations; Nasdaq BX, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Rule 7018(a) To Establish a New Fee for Orders With Midpoint Pegging That Execute at a Price Better Than the Midpoint of the NBBO https://regulations.justia.com/regulations/fedreg/2018/05/18/2018-10600.html https://regulations.justia.com/regulations/fedreg/2018/05/18/2018-10600.html Fri, 18 May 2018 00:00:00 -0700 2018-10600 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-05-18/pdf/2018-10600.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 at Section II To Clarify Fees Applicable To Correcting “As/of” or “Reversal” Trades https://regulations.justia.com/regulations/fedreg/2018/05/17/C1-2018-08729.html https://regulations.justia.com/regulations/fedreg/2018/05/17/C1-2018-08729.html Thu, 17 May 2018 00:00:00 -0700 C1-2018-08729 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-05-17/pdf/C1-2018-08729.pdf Notice - Self-Regulatory Organizations; Fixed Income Clearing Corporation; Notice of Filing of Amendment No. 1 and Notice of No Objection To Advance Notice Filing, as Modified by Amendment No. 1, To Implement Changes to the Method of Calculating Netting Members' Margin in the Government Securities Division Rulebook https://regulations.justia.com/regulations/fedreg/2018/05/17/2018-10513.html https://regulations.justia.com/regulations/fedreg/2018/05/17/2018-10513.html Thu, 17 May 2018 00:00:00 -0700 2018-10513 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-05-17/pdf/2018-10513.pdf Notice - Self-Regulatory Organizations; Fixed Income Clearing Corporation; Notice of Filing of Proposed Rule Change To Introduce a Floor to the Calculation of the Fails Charges and Make Other Changes https://regulations.justia.com/regulations/fedreg/2018/05/17/2018-10505.html https://regulations.justia.com/regulations/fedreg/2018/05/17/2018-10505.html Thu, 17 May 2018 00:00:00 -0700 2018-10505 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-05-17/pdf/2018-10505.pdf Notice - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Provide Users With Connectivity to Three Additional Third Party Data Feeds and Change Its Price List Related to These Co-Location Services https://regulations.justia.com/regulations/fedreg/2018/05/17/2018-10504.html https://regulations.justia.com/regulations/fedreg/2018/05/17/2018-10504.html Thu, 17 May 2018 00:00:00 -0700 2018-10504 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-05-17/pdf/2018-10504.pdf Notice - Self-Regulatory Organizations; Cboe Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the Marketing Fee Program With Respect to the Russell 2000 Index Options https://regulations.justia.com/regulations/fedreg/2018/05/17/2018-10503.html https://regulations.justia.com/regulations/fedreg/2018/05/17/2018-10503.html Thu, 17 May 2018 00:00:00 -0700 2018-10503 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-05-17/pdf/2018-10503.pdf Notice - Self-Regulatory Organizations; NYSE American LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Provide Users With Connectivity to Three Additional Third Party Data Feeds and To Change the NYSE American Equities Price List and the NYSE American Options Fee Schedule Related to These Co-Location Services https://regulations.justia.com/regulations/fedreg/2018/05/17/2018-10502.html https://regulations.justia.com/regulations/fedreg/2018/05/17/2018-10502.html Thu, 17 May 2018 00:00:00 -0700 2018-10502 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-05-17/pdf/2018-10502.pdf Notice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Provide Users With Connectivity to Three Additional Third Party Data Feeds and Change the NYSE Arca Options Fees and Charges and the NYSE Arca Equities Fees and Charges Related to These Co-location Services https://regulations.justia.com/regulations/fedreg/2018/05/17/2018-10501.html https://regulations.justia.com/regulations/fedreg/2018/05/17/2018-10501.html Thu, 17 May 2018 00:00:00 -0700 2018-10501 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-05-17/pdf/2018-10501.pdf Notice - Self-Regulatory Organizations; Investors Exchange LLC; Notice of Designation of Longer Period for Commission Action on Proposed Rule Change To Establish a New Optional Listing Category on the Exchange, “LTSE Listings on IEX” https://regulations.justia.com/regulations/fedreg/2018/05/17/2018-10500.html https://regulations.justia.com/regulations/fedreg/2018/05/17/2018-10500.html Thu, 17 May 2018 00:00:00 -0700 2018-10500 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-05-17/pdf/2018-10500.pdf Notice - BlackRock Advisors, LLC, et al. https://regulations.justia.com/regulations/fedreg/2018/05/17/2018-10499.html https://regulations.justia.com/regulations/fedreg/2018/05/17/2018-10499.html Thu, 17 May 2018 00:00:00 -0700 2018-10499 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-05-17/pdf/2018-10499.pdf Notice - Self-Regulatory Organizations; Cboe C2 Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Rules in Connection With the Migration of Cboe C2 to Cboe EDGX Options Technology https://regulations.justia.com/regulations/fedreg/2018/05/16/2018-10417.html https://regulations.justia.com/regulations/fedreg/2018/05/16/2018-10417.html Wed, 16 May 2018 00:00:00 -0700 2018-10417 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-05-16/pdf/2018-10417.pdf Notice - Franklin Alternative Strategies Funds, et al. https://regulations.justia.com/regulations/fedreg/2018/05/16/2018-10383.html https://regulations.justia.com/regulations/fedreg/2018/05/16/2018-10383.html Wed, 16 May 2018 00:00:00 -0700 2018-10383 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-05-16/pdf/2018-10383.pdf Notice - Self-Regulatory Organizations; Cboe BYX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Related to Fees for Use on Cboe BYX Exchange, Inc. https://regulations.justia.com/regulations/fedreg/2018/05/16/2018-10381.html https://regulations.justia.com/regulations/fedreg/2018/05/16/2018-10381.html Wed, 16 May 2018 00:00:00 -0700 2018-10381 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-05-16/pdf/2018-10381.pdf Notice - Self-Regulatory Organizations; Cboe BZX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Related to Fees for Use on Cboe BZX Exchange, Inc. https://regulations.justia.com/regulations/fedreg/2018/05/16/2018-10380.html https://regulations.justia.com/regulations/fedreg/2018/05/16/2018-10380.html Wed, 16 May 2018 00:00:00 -0700 2018-10380 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-05-16/pdf/2018-10380.pdf Notice - Self-Regulatory Organizations; Nasdaq PHLX LLC; Order Granting Approval of Proposed Rule Change To Create a New Rule 1081, To Amend Electronic Market Maker Obligations and Quoting Requirements for Electronic ROTs, Which Will Be Defined To Include SQTs, RSQTs, Directed SQTs, Directed RSQTs, Specialists, and Remote Specialists https://regulations.justia.com/regulations/fedreg/2018/05/16/2018-10379.html https://regulations.justia.com/regulations/fedreg/2018/05/16/2018-10379.html Wed, 16 May 2018 00:00:00 -0700 2018-10379 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-05-16/pdf/2018-10379.pdf Notice - Self-Regulatory Organizations; Municipal Securities Rulemaking Board; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Revise the Language of Certain Administrative Rules To Continue To Help Ensure That They Reflect MSRB Practices and Improve Consistency Among the Rules https://regulations.justia.com/regulations/fedreg/2018/05/16/2018-10378.html https://regulations.justia.com/regulations/fedreg/2018/05/16/2018-10378.html Wed, 16 May 2018 00:00:00 -0700 2018-10378 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-05-16/pdf/2018-10378.pdf Notice - Self-Regulatory Organizations; Cboe BZX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To List and Trade Under BZX Rule 14.11(c)(4) Shares of the iShares Long-Term National Muni Bond ETF of iShares Trust https://regulations.justia.com/regulations/fedreg/2018/05/16/2018-10377.html https://regulations.justia.com/regulations/fedreg/2018/05/16/2018-10377.html Wed, 16 May 2018 00:00:00 -0700 2018-10377 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-05-16/pdf/2018-10377.pdf Notice - Program for Allocation of Regulatory Responsibilities Pursuant To Rule 17d-2; Notice of Filing and Order Approving and Declaring Effective an Amended Plan for the Allocation of Regulatory Responsibilities Between the Financial Industry Regulatory Authority, Inc., Cboe Exchange, Inc., and Cboe C2 Exchange, Inc. https://regulations.justia.com/regulations/fedreg/2018/05/16/2018-10369.html https://regulations.justia.com/regulations/fedreg/2018/05/16/2018-10369.html Wed, 16 May 2018 00:00:00 -0700 2018-10369 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-05-16/pdf/2018-10369.pdf Notice - Sunshine Act Meetings https://regulations.justia.com/regulations/fedreg/2018/05/15/2018-10395.html https://regulations.justia.com/regulations/fedreg/2018/05/15/2018-10395.html Tue, 15 May 2018 00:00:00 -0700 2018-10395 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-05-15/pdf/2018-10395.pdf Notice - Self-Regulatory Organizations; Cboe Exchange, Inc.; Order Approving a Proposed Rule Change Relating to Flexibly Structured Options https://regulations.justia.com/regulations/fedreg/2018/05/15/2018-10272.html https://regulations.justia.com/regulations/fedreg/2018/05/15/2018-10272.html Tue, 15 May 2018 00:00:00 -0700 2018-10272 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-05-15/pdf/2018-10272.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/2018/05/15/2018-10263.html https://regulations.justia.com/regulations/fedreg/2018/05/15/2018-10263.html Tue, 15 May 2018 00:00:00 -0700 2018-10263 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-05-15/pdf/2018-10263.pdf Notice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the NYSE Arca Options Fee Schedule https://regulations.justia.com/regulations/fedreg/2018/05/15/2018-10262.html https://regulations.justia.com/regulations/fedreg/2018/05/15/2018-10262.html Tue, 15 May 2018 00:00:00 -0700 2018-10262 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-05-15/pdf/2018-10262.pdf Notice - Self-Regulatory Organizations; Cboe C2 Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend its Fees Schedule, Including Connectivity Fees, in Connection with its Technology Migration https://regulations.justia.com/regulations/fedreg/2018/05/15/2018-10261.html https://regulations.justia.com/regulations/fedreg/2018/05/15/2018-10261.html Tue, 15 May 2018 00:00:00 -0700 2018-10261 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-05-15/pdf/2018-10261.pdf Notice - Self-Regulatory Organizations; Cboe BZX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Modify Certain Routing Fees Related to its Equity Options Platform https://regulations.justia.com/regulations/fedreg/2018/05/15/2018-10260.html https://regulations.justia.com/regulations/fedreg/2018/05/15/2018-10260.html Tue, 15 May 2018 00:00:00 -0700 2018-10260 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-05-15/pdf/2018-10260.pdf Notice - Self-Regulatory Organizations; Nasdaq BX, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Memorialize Its Order and Execution Information Into Chapter VI, Section 19, Entitled Data Feeds https://regulations.justia.com/regulations/fedreg/2018/05/15/2018-10259.html https://regulations.justia.com/regulations/fedreg/2018/05/15/2018-10259.html Tue, 15 May 2018 00:00:00 -0700 2018-10259 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-05-15/pdf/2018-10259.pdf Notice - Self-Regulatory Organizations; The Nasdaq Stock Market LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Memorialize Order and Execution Available to Participants Into Chapter VI, Section 19, Entitled Data Feeds https://regulations.justia.com/regulations/fedreg/2018/05/15/2018-10258.html https://regulations.justia.com/regulations/fedreg/2018/05/15/2018-10258.html Tue, 15 May 2018 00:00:00 -0700 2018-10258 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-05-15/pdf/2018-10258.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 on the BOX Market LLC (“BOX”) Options Facility To Amend Connectivity Fees and Establish Port Fees https://regulations.justia.com/regulations/fedreg/2018/05/15/2018-10257.html https://regulations.justia.com/regulations/fedreg/2018/05/15/2018-10257.html Tue, 15 May 2018 00:00:00 -0700 2018-10257 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-05-15/pdf/2018-10257.pdf Notice - Self-Regulatory Organizations; Nasdaq PHLX LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Memorialize Its Order and Execution Information Into Phlx Rule 1070 https://regulations.justia.com/regulations/fedreg/2018/05/15/2018-10256.html https://regulations.justia.com/regulations/fedreg/2018/05/15/2018-10256.html Tue, 15 May 2018 00:00:00 -0700 2018-10256 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-05-15/pdf/2018-10256.pdf Notice - Self-Regulatory Organizations; Nasdaq PHLX LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to the Zero-Bid Option Series https://regulations.justia.com/regulations/fedreg/2018/05/15/2018-10255.html https://regulations.justia.com/regulations/fedreg/2018/05/15/2018-10255.html Tue, 15 May 2018 00:00:00 -0700 2018-10255 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-05-15/pdf/2018-10255.pdf Notice - Self-Regulatory Organizations; Nasdaq PHLX LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Reorganize and Amend the Exchange's Pricing Schedule at Section VII, B, Entitled “Port Fees” https://regulations.justia.com/regulations/fedreg/2018/05/15/2018-10254.html https://regulations.justia.com/regulations/fedreg/2018/05/15/2018-10254.html Tue, 15 May 2018 00:00:00 -0700 2018-10254 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-05-15/pdf/2018-10254.pdf Notice - Self-Regulatory Organizations; The Nasdaq Stock Market LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Reorganize and Amend The Nasdaq Options Market LLC Chapter XV, Section 3, Entitled “Nasdaq Options Market-Ports and Other Services https://regulations.justia.com/regulations/fedreg/2018/05/15/2018-10253.html https://regulations.justia.com/regulations/fedreg/2018/05/15/2018-10253.html Tue, 15 May 2018 00:00:00 -0700 2018-10253 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-05-15/pdf/2018-10253.pdf Notice - Self-Regulatory Organizations; Nasdaq BX, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Reorganize and Amend Chapter XV, Section 3, entitled BX Options Market-Ports and Other Services https://regulations.justia.com/regulations/fedreg/2018/05/15/2018-10252.html https://regulations.justia.com/regulations/fedreg/2018/05/15/2018-10252.html Tue, 15 May 2018 00:00:00 -0700 2018-10252 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-05-15/pdf/2018-10252.pdf Notice - TCW Direct Lending LLC, et al.; https://regulations.justia.com/regulations/fedreg/2018/05/15/2018-10246.html https://regulations.justia.com/regulations/fedreg/2018/05/15/2018-10246.html Tue, 15 May 2018 00:00:00 -0700 2018-10246 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-05-15/pdf/2018-10246.pdf Notice - U.S. Global Investors, Inc. et al. https://regulations.justia.com/regulations/fedreg/2018/05/15/2018-10245.html https://regulations.justia.com/regulations/fedreg/2018/05/15/2018-10245.html Tue, 15 May 2018 00:00:00 -0700 2018-10245 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-05-15/pdf/2018-10245.pdf Notice - Proposed Collection; Comment Request https://regulations.justia.com/regulations/fedreg/2018/05/15/2018-10241.html https://regulations.justia.com/regulations/fedreg/2018/05/15/2018-10241.html Tue, 15 May 2018 00:00:00 -0700 2018-10241 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-05-15/pdf/2018-10241.pdf Notice - Proposed Collection; Comment Request https://regulations.justia.com/regulations/fedreg/2018/05/15/2018-10232.html https://regulations.justia.com/regulations/fedreg/2018/05/15/2018-10232.html Tue, 15 May 2018 00:00:00 -0700 2018-10232 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-05-15/pdf/2018-10232.pdf Notice - Proposed Collection; Comment Request https://regulations.justia.com/regulations/fedreg/2018/05/15/2018-10231.html https://regulations.justia.com/regulations/fedreg/2018/05/15/2018-10231.html Tue, 15 May 2018 00:00:00 -0700 2018-10231 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-05-15/pdf/2018-10231.pdf Rule - Amendments to Forms and Schedules To Remove Provision of Certain Personally Identifiable Information https://regulations.justia.com/regulations/fedreg/2018/05/14/2018-10227.html https://regulations.justia.com/regulations/fedreg/2018/05/14/2018-10227.html Mon, 14 May 2018 00:00:00 -0700 2018-10227 Rule https://www.gpo.gov/fdsys/pkg/FR-2018-05-14/pdf/2018-10227.pdf Notice - Submission for OMB Review; Comment Request https://regulations.justia.com/regulations/fedreg/2018/05/14/2018-10147.html https://regulations.justia.com/regulations/fedreg/2018/05/14/2018-10147.html Mon, 14 May 2018 00:00:00 -0700 2018-10147 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-05-14/pdf/2018-10147.pdf Notice - Submission for OMB Review; Comment Request https://regulations.justia.com/regulations/fedreg/2018/05/14/2018-10146.html https://regulations.justia.com/regulations/fedreg/2018/05/14/2018-10146.html Mon, 14 May 2018 00:00:00 -0700 2018-10146 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-05-14/pdf/2018-10146.pdf Notice - Submission for OMB Review; Comment Request https://regulations.justia.com/regulations/fedreg/2018/05/14/2018-10145.html https://regulations.justia.com/regulations/fedreg/2018/05/14/2018-10145.html Mon, 14 May 2018 00:00:00 -0700 2018-10145 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-05-14/pdf/2018-10145.pdf Notice - Submission for OMB Review; Comment Request https://regulations.justia.com/regulations/fedreg/2018/05/14/2018-10144.html https://regulations.justia.com/regulations/fedreg/2018/05/14/2018-10144.html Mon, 14 May 2018 00:00:00 -0700 2018-10144 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-05-14/pdf/2018-10144.pdf Notice - Self-Regulatory Organizations; MIAX PEARL, LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Its Fee Schedule https://regulations.justia.com/regulations/fedreg/2018/05/14/2018-10141.html https://regulations.justia.com/regulations/fedreg/2018/05/14/2018-10141.html Mon, 14 May 2018 00:00:00 -0700 2018-10141 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-05-14/pdf/2018-10141.pdf Notice - Self-Regulatory Organizations; Cboe BZX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Continue Listing and Trading Shares of the Cambria Sovereign Bond ETF https://regulations.justia.com/regulations/fedreg/2018/05/14/2018-10140.html https://regulations.justia.com/regulations/fedreg/2018/05/14/2018-10140.html Mon, 14 May 2018 00:00:00 -0700 2018-10140 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-05-14/pdf/2018-10140.pdf Notice - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to Statutory Disqualification Application Fees https://regulations.justia.com/regulations/fedreg/2018/05/11/2018-10039.html https://regulations.justia.com/regulations/fedreg/2018/05/11/2018-10039.html Fri, 11 May 2018 00:00:00 -0700 2018-10039 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-05-11/pdf/2018-10039.pdf Notice - Self-Regulatory Organizations; Municipal Securities Rulemaking Board; Order Granting Approval of a Proposed Rule Change, Consisting to Amendments to Rule G-21, on Advertising, Proposed New Rule G-40, on Advertising by Municipal Advisors, and a Technical Amendment to Rule G-42, on Duties of Non-Solicitor Municipal Advisors https://regulations.justia.com/regulations/fedreg/2018/05/10/2018-09933.html https://regulations.justia.com/regulations/fedreg/2018/05/10/2018-09933.html Thu, 10 May 2018 00:00:00 -0700 2018-09933 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-05-10/pdf/2018-09933.pdf Notice - Self-Regulatory Organizations; Cboe Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Extend the Operation of Its Flexible Exchange Options Pilot Program https://regulations.justia.com/regulations/fedreg/2018/05/10/2018-09924.html https://regulations.justia.com/regulations/fedreg/2018/05/10/2018-09924.html Thu, 10 May 2018 00:00:00 -0700 2018-09924 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-05-10/pdf/2018-09924.pdf Notice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Designation of a Longer Period for Commission Action on a Proposed Rule Change, as Modified by Amendment No. 1, To Continue Listing and Trading Shares of the PGIM Ultra Short Bond ETF Under NYSE Arca Rule 8.600-E https://regulations.justia.com/regulations/fedreg/2018/05/10/2018-09923.html https://regulations.justia.com/regulations/fedreg/2018/05/10/2018-09923.html Thu, 10 May 2018 00:00:00 -0700 2018-09923 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-05-10/pdf/2018-09923.pdf Notice - Proposed Collection; Comment Request https://regulations.justia.com/regulations/fedreg/2018/05/09/2018-09884.html https://regulations.justia.com/regulations/fedreg/2018/05/09/2018-09884.html Wed, 09 May 2018 00:00:00 -0700 2018-09884 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-05-09/pdf/2018-09884.pdf Notice - Self-Regulatory Organizations; Nasdaq PHLX LLC; Order Approving a Proposed Rule Change Amending Rule 1079, FLEX Index, Equity and Currency Options, and Rule 1059, Accommodation Transactions, To Allow the Closing of Flexible Exchange Options (“FLEX options”) in Cabinet Trading https://regulations.justia.com/regulations/fedreg/2018/05/09/2018-09838.html https://regulations.justia.com/regulations/fedreg/2018/05/09/2018-09838.html Wed, 09 May 2018 00:00:00 -0700 2018-09838 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-05-09/pdf/2018-09838.pdf Notice - Self-Regulatory Organizations; Cboe Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Extend the Operation of the SPXPM Pilot Program https://regulations.justia.com/regulations/fedreg/2018/05/09/2018-09830.html https://regulations.justia.com/regulations/fedreg/2018/05/09/2018-09830.html Wed, 09 May 2018 00:00:00 -0700 2018-09830 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-05-09/pdf/2018-09830.pdf Notice - Self-Regulatory Organizations; Cboe Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Renew the Nonstandard Expirations Pilot Program https://regulations.justia.com/regulations/fedreg/2018/05/09/2018-09829.html https://regulations.justia.com/regulations/fedreg/2018/05/09/2018-09829.html Wed, 09 May 2018 00:00:00 -0700 2018-09829 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-05-09/pdf/2018-09829.pdf Notice - Self-Regulatory Organizations; BOX Options Exchange LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Adopt Price Protections for Complex Orders https://regulations.justia.com/regulations/fedreg/2018/05/09/2018-09806.html https://regulations.justia.com/regulations/fedreg/2018/05/09/2018-09806.html Wed, 09 May 2018 00:00:00 -0700 2018-09806 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-05-09/pdf/2018-09806.pdf Proposed Rule - Proposed Commission Interpretation Regarding Standard of Conduct for Investment Advisers; Request for Comment on Enhancing Investment Adviser Regulation https://regulations.justia.com/regulations/fedreg/2018/05/09/2018-08679.html https://regulations.justia.com/regulations/fedreg/2018/05/09/2018-08679.html Wed, 09 May 2018 00:00:00 -0700 2018-08679 Proposed Rule https://www.gpo.gov/fdsys/pkg/FR-2018-05-09/pdf/2018-08679.pdf Proposed Rule - Form CRS Relationship Summary; Amendments to Form ADV; Required Disclosures in Retail Communications and Restrictions on the Use of Certain Names or Titles https://regulations.justia.com/regulations/fedreg/2018/05/09/2018-08583.html https://regulations.justia.com/regulations/fedreg/2018/05/09/2018-08583.html Wed, 09 May 2018 00:00:00 -0700 2018-08583 Proposed Rule https://www.gpo.gov/fdsys/pkg/FR-2018-05-09/pdf/2018-08583.pdf Proposed Rule - Regulation Best Interest https://regulations.justia.com/regulations/fedreg/2018/05/09/2018-08582.html https://regulations.justia.com/regulations/fedreg/2018/05/09/2018-08582.html Wed, 09 May 2018 00:00:00 -0700 2018-08582 Proposed Rule https://www.gpo.gov/fdsys/pkg/FR-2018-05-09/pdf/2018-08582.pdf Notice - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the Certificate of Incorporation of Its Parent Company NYSE Group, Inc. https://regulations.justia.com/regulations/fedreg/2018/05/08/2018-09807.html https://regulations.justia.com/regulations/fedreg/2018/05/08/2018-09807.html Tue, 08 May 2018 00:00:00 -0700 2018-09807 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-05-08/pdf/2018-09807.pdf Notice - Self-Regulatory Organizations; NYSE National, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the Certificate of Incorporation of Its Parent Company NYSE Group, Inc. https://regulations.justia.com/regulations/fedreg/2018/05/08/2018-09765.html https://regulations.justia.com/regulations/fedreg/2018/05/08/2018-09765.html Tue, 08 May 2018 00:00:00 -0700 2018-09765 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-05-08/pdf/2018-09765.pdf Notice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the Certificate of Incorporation of Its Parent Company NYSE Group, Inc. https://regulations.justia.com/regulations/fedreg/2018/05/08/2018-09764.html https://regulations.justia.com/regulations/fedreg/2018/05/08/2018-09764.html Tue, 08 May 2018 00:00:00 -0700 2018-09764 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-05-08/pdf/2018-09764.pdf Notice - Self-Regulatory Organizations; NYSE American LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the Certificate of Incorporation of Its Parent Company NYSE Group, Inc. https://regulations.justia.com/regulations/fedreg/2018/05/08/2018-09763.html https://regulations.justia.com/regulations/fedreg/2018/05/08/2018-09763.html Tue, 08 May 2018 00:00:00 -0700 2018-09763 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-05-08/pdf/2018-09763.pdf Proposed Rule - Auditor Independence With Respect to Certain Loans or Debtor-Creditor Relationships https://regulations.justia.com/regulations/fedreg/2018/05/08/2018-09721.html https://regulations.justia.com/regulations/fedreg/2018/05/08/2018-09721.html Tue, 08 May 2018 00:00:00 -0700 2018-09721 Proposed Rule https://www.gpo.gov/fdsys/pkg/FR-2018-05-08/pdf/2018-09721.pdf Notice - Self-Regulatory Organizations; Nasdaq ISE, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend ISE Rules 412, Position Limits, and 414, Exercise Limits https://regulations.justia.com/regulations/fedreg/2018/05/08/2018-09696.html https://regulations.justia.com/regulations/fedreg/2018/05/08/2018-09696.html Tue, 08 May 2018 00:00:00 -0700 2018-09696 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-05-08/pdf/2018-09696.pdf Notice - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Extend the Implementation Date of Certain Amendments to FINRA Rule 4210 Approved Pursuant to SR-FINRA-2015-036 https://regulations.justia.com/regulations/fedreg/2018/05/08/2018-09695.html https://regulations.justia.com/regulations/fedreg/2018/05/08/2018-09695.html Tue, 08 May 2018 00:00:00 -0700 2018-09695 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-05-08/pdf/2018-09695.pdf Notice - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to FINRA Rule 3310 to Conform FINRA Rule 3310 to FinCEN's Final Rule on Customer Due Diligence Requirements for Financial Institutions https://regulations.justia.com/regulations/fedreg/2018/05/08/2018-09694.html https://regulations.justia.com/regulations/fedreg/2018/05/08/2018-09694.html Tue, 08 May 2018 00:00:00 -0700 2018-09694 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-05-08/pdf/2018-09694.pdf Notice - Self-Regulatory Organizations; Fixed Income Clearing Corporation; Notice of Filing of Proposed Rule Change To Amend the Fee Structure of the Government Securities Division Rulebook https://regulations.justia.com/regulations/fedreg/2018/05/08/2018-09693.html https://regulations.justia.com/regulations/fedreg/2018/05/08/2018-09693.html Tue, 08 May 2018 00:00:00 -0700 2018-09693 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-05-08/pdf/2018-09693.pdf Notice - Self-Regulatory Organizations; Cboe BZX Exchange, Inc.; Notice of Filing of a Proposed Rule Change To List and Trade Shares of the Principal Morley Short Duration Index ETF Under Rule 14.11(c)(4) https://regulations.justia.com/regulations/fedreg/2018/05/08/2018-09692.html https://regulations.justia.com/regulations/fedreg/2018/05/08/2018-09692.html Tue, 08 May 2018 00:00:00 -0700 2018-09692 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-05-08/pdf/2018-09692.pdf Notice - Proposed Collection; Comment Request https://regulations.justia.com/regulations/fedreg/2018/05/08/2018-09691.html https://regulations.justia.com/regulations/fedreg/2018/05/08/2018-09691.html Tue, 08 May 2018 00:00:00 -0700 2018-09691 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-05-08/pdf/2018-09691.pdf Notice - Proposed Collection; Comment Request https://regulations.justia.com/regulations/fedreg/2018/05/08/2018-09690.html https://regulations.justia.com/regulations/fedreg/2018/05/08/2018-09690.html Tue, 08 May 2018 00:00:00 -0700 2018-09690 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-05-08/pdf/2018-09690.pdf Notice - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing of a Proposed Rule Change To Amend FINRA Rule 6433 To Adopt the OTC Quotation Tier Pilot as Permanent https://regulations.justia.com/regulations/fedreg/2018/05/07/2018-09612.html https://regulations.justia.com/regulations/fedreg/2018/05/07/2018-09612.html Mon, 07 May 2018 00:00:00 -0700 2018-09612 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-05-07/pdf/2018-09612.pdf Notice - Joint Industry Plan; Order of Summary Abrogation of the Forty-Second 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/2018/05/07/2018-09580.html https://regulations.justia.com/regulations/fedreg/2018/05/07/2018-09580.html Mon, 07 May 2018 00:00:00 -0700 2018-09580 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-05-07/pdf/2018-09580.pdf Notice - Consolidated Tape Association; Order of Summary Abrogation of the Twenty-Third Charges Amendment to the Second Restatement of the CTA Plan and the Fourteenth Charges Amendment to the Restated CQ Plan https://regulations.justia.com/regulations/fedreg/2018/05/07/2018-09579.html https://regulations.justia.com/regulations/fedreg/2018/05/07/2018-09579.html Mon, 07 May 2018 00:00:00 -0700 2018-09579 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-05-07/pdf/2018-09579.pdf Notice - Self-Regulatory Organizations; Investors Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Modify its Fee Schedule To Charge a More Deterministic Fee of $0.0003 Per Share for Executions at or Above $1.00 That Result From Removing Liquidity With an Order That is Executable at the Far Side of the NBBO https://regulations.justia.com/regulations/fedreg/2018/05/07/2018-09577.html https://regulations.justia.com/regulations/fedreg/2018/05/07/2018-09577.html Mon, 07 May 2018 00:00:00 -0700 2018-09577 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-05-07/pdf/2018-09577.pdf Notice - Self-Regulatory Organizations; Cboe BZX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Allow the Horizons Cadence Hedged U.S. Dividend Yield ETF, a Series of the Horizons ETF Trust I, To Hold Listed Options Contracts in a Manner That Does Not Comply With Rule 14.11(i), Managed Fund Shares https://regulations.justia.com/regulations/fedreg/2018/05/07/2018-09576.html https://regulations.justia.com/regulations/fedreg/2018/05/07/2018-09576.html Mon, 07 May 2018 00:00:00 -0700 2018-09576 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-05-07/pdf/2018-09576.pdf Notice - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Make a Non-Substantive, Clarifying Change To Footnote 10 of Its Price List https://regulations.justia.com/regulations/fedreg/2018/05/07/2018-09575.html https://regulations.justia.com/regulations/fedreg/2018/05/07/2018-09575.html Mon, 07 May 2018 00:00:00 -0700 2018-09575 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-05-07/pdf/2018-09575.pdf Notice - Self-Regulatory Organizations; Nasdaq ISE, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Add Pricing for P.M. Settled Options on Broad-Based Indexes With Nonstandard Expiration Dates https://regulations.justia.com/regulations/fedreg/2018/05/07/2018-09574.html https://regulations.justia.com/regulations/fedreg/2018/05/07/2018-09574.html Mon, 07 May 2018 00:00:00 -0700 2018-09574 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-05-07/pdf/2018-09574.pdf Notice - Self-Regulatory Organizations; Chicago Stock Exchange, Inc.; Notice of Designation of a Longer Period on Commission Action on a Proposed Rule Change To Adopt the Route QCT Cross Routing Option https://regulations.justia.com/regulations/fedreg/2018/05/07/2018-09573.html https://regulations.justia.com/regulations/fedreg/2018/05/07/2018-09573.html Mon, 07 May 2018 00:00:00 -0700 2018-09573 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-05-07/pdf/2018-09573.pdf Notice - Self-Regulatory Organizations; The Nasdaq Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change to List and Trade Exchange-Traded Managed Fund Shares of the Gabelli Pet Parent Fund Under Nasdaq Rule 5745 https://regulations.justia.com/regulations/fedreg/2018/05/07/2018-09572.html https://regulations.justia.com/regulations/fedreg/2018/05/07/2018-09572.html Mon, 07 May 2018 00:00:00 -0700 2018-09572 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-05-07/pdf/2018-09572.pdf Notice - Self-Regulatory Organizations; Nasdaq PHLX LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Adopt a New Market Order Spread Protection https://regulations.justia.com/regulations/fedreg/2018/05/07/2018-09571.html https://regulations.justia.com/regulations/fedreg/2018/05/07/2018-09571.html Mon, 07 May 2018 00:00:00 -0700 2018-09571 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-05-07/pdf/2018-09571.pdf Notice - 1112 Partners, LLC https://regulations.justia.com/regulations/fedreg/2018/05/04/2018-09559.html https://regulations.justia.com/regulations/fedreg/2018/05/04/2018-09559.html Fri, 04 May 2018 00:00:00 -0700 2018-09559 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-05-04/pdf/2018-09559.pdf Notice - Self-Regulatory Organizations; The Nasdaq Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Rule 4702(b)(5), Rule 4703(d), Rule 4752(d)(2)(B), and Rule 4754(b)(2)(B) https://regulations.justia.com/regulations/fedreg/2018/05/04/2018-09448.html https://regulations.justia.com/regulations/fedreg/2018/05/04/2018-09448.html Fri, 04 May 2018 00:00:00 -0700 2018-09448 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-05-04/pdf/2018-09448.pdf Notice - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Rule 13 https://regulations.justia.com/regulations/fedreg/2018/05/04/2018-09441.html https://regulations.justia.com/regulations/fedreg/2018/05/04/2018-09441.html Fri, 04 May 2018 00:00:00 -0700 2018-09441 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-05-04/pdf/2018-09441.pdf Notice - Notice of Applications for Deregistration Under Section 8(f) of the Investment Company Act of 1940 https://regulations.justia.com/regulations/fedreg/2018/05/03/2018-09345.html https://regulations.justia.com/regulations/fedreg/2018/05/03/2018-09345.html Thu, 03 May 2018 00:00:00 -0700 2018-09345 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-05-03/pdf/2018-09345.pdf Notice - Self-Regulatory Organizations; The Nasdaq Stock Market LLC; Notice of Filing of Amendment No. 2 and Order Granting Accelerated Approval of a Proposed Rule Change, as Modified by Amendment No. 2, To Amend Nasdaq Rule 4703(a) To Allow Members To Designate an Order with a RTFY or SCAN Routing Order Attribute To Activate at 7:00 a.m. ET https://regulations.justia.com/regulations/fedreg/2018/05/03/2018-09341.html https://regulations.justia.com/regulations/fedreg/2018/05/03/2018-09341.html Thu, 03 May 2018 00:00:00 -0700 2018-09341 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-05-03/pdf/2018-09341.pdf Notice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing of Proposed Rule Change Regarding the Natixis Loomis Sayles Short Duration Income ETF https://regulations.justia.com/regulations/fedreg/2018/05/03/2018-09340.html https://regulations.justia.com/regulations/fedreg/2018/05/03/2018-09340.html Thu, 03 May 2018 00:00:00 -0700 2018-09340 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-05-03/pdf/2018-09340.pdf Notice - Submission for OMB Review; Comment Request https://regulations.justia.com/regulations/fedreg/2018/05/02/2018-09278.html https://regulations.justia.com/regulations/fedreg/2018/05/02/2018-09278.html Wed, 02 May 2018 00:00:00 -0700 2018-09278 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-05-02/pdf/2018-09278.pdf Notice - Submission for OMB Review; Comment Request https://regulations.justia.com/regulations/fedreg/2018/05/02/2018-09272.html https://regulations.justia.com/regulations/fedreg/2018/05/02/2018-09272.html Wed, 02 May 2018 00:00:00 -0700 2018-09272 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-05-02/pdf/2018-09272.pdf Notice - Submission for OMB Review; Comment Request https://regulations.justia.com/regulations/fedreg/2018/05/02/2018-09271.html https://regulations.justia.com/regulations/fedreg/2018/05/02/2018-09271.html Wed, 02 May 2018 00:00:00 -0700 2018-09271 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-05-02/pdf/2018-09271.pdf Notice - Submission for OMB Review; Comment Request https://regulations.justia.com/regulations/fedreg/2018/05/02/2018-09270.html https://regulations.justia.com/regulations/fedreg/2018/05/02/2018-09270.html Wed, 02 May 2018 00:00:00 -0700 2018-09270 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-05-02/pdf/2018-09270.pdf Notice - Self-Regulatory Organizations; NYSE Arca, Inc.; Order Instituting Proceedings To Determine Whether To Approve or Disapprove a Proposed Rule Change To Adopt 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 Rule 8.900-E https://regulations.justia.com/regulations/fedreg/2018/05/02/2018-09265.html https://regulations.justia.com/regulations/fedreg/2018/05/02/2018-09265.html Wed, 02 May 2018 00:00:00 -0700 2018-09265 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-05-02/pdf/2018-09265.pdf Notice - Self-Regulatory Organizations; Nasdaq ISE, LLC; Notice of Designation of Longer Period for Commission Action on Proposed Rule Change To Introduce the ATR Protection for Orders that are Routed to Away Markets https://regulations.justia.com/regulations/fedreg/2018/05/02/2018-09264.html https://regulations.justia.com/regulations/fedreg/2018/05/02/2018-09264.html Wed, 02 May 2018 00:00:00 -0700 2018-09264 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-05-02/pdf/2018-09264.pdf Notice - Self-Regulatory Organizations; Nasdaq GEMX, LLC; Notice of Designation of Longer Period for Commission Action on Proposed Rule Change To Introduce the ATR Protection for Orders That Are Routed to Away Markets https://regulations.justia.com/regulations/fedreg/2018/05/02/2018-09263.html https://regulations.justia.com/regulations/fedreg/2018/05/02/2018-09263.html Wed, 02 May 2018 00:00:00 -0700 2018-09263 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-05-02/pdf/2018-09263.pdf Notice - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Section 902.11 of the Exchange's Listed Company Manual Concerning Fees Applicable to Acquisition Companies for Shares Issued Contingent on the Consummation of a Business Combination https://regulations.justia.com/regulations/fedreg/2018/05/02/2018-09262.html https://regulations.justia.com/regulations/fedreg/2018/05/02/2018-09262.html Wed, 02 May 2018 00:00:00 -0700 2018-09262 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-05-02/pdf/2018-09262.pdf Notice - Self-Regulatory Organizations; Nasdaq MRX, LLC; Notice of Designation of Longer Period for Commission Action on Proposed Rule Change To Introduce the ATR Protection for Orders That Are Routed to Away Markets https://regulations.justia.com/regulations/fedreg/2018/05/02/2018-09261.html https://regulations.justia.com/regulations/fedreg/2018/05/02/2018-09261.html Wed, 02 May 2018 00:00:00 -0700 2018-09261 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-05-02/pdf/2018-09261.pdf Notice - Self-Regulatory Organizations; The Nasdaq Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Certain Rules of the Rule 7000A Series To Make Conforming and Technical Changes https://regulations.justia.com/regulations/fedreg/2018/05/02/2018-09260.html https://regulations.justia.com/regulations/fedreg/2018/05/02/2018-09260.html Wed, 02 May 2018 00:00:00 -0700 2018-09260 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-05-02/pdf/2018-09260.pdf Notice - Self-Regulatory Organizations; Cboe BZX Exchange, Inc.; Notice of Filing of Amendment No. 1 and Order Granting Accelerated Approval of a Proposed Rule Change, as Modified by Amendment No. 1 Thereto, To List and Trade Shares of the Cboe Vest S&P 500® Premium Income ETF Under Rule 14.11(c)(4) https://regulations.justia.com/regulations/fedreg/2018/05/02/2018-09259.html https://regulations.justia.com/regulations/fedreg/2018/05/02/2018-09259.html Wed, 02 May 2018 00:00:00 -0700 2018-09259 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-05-02/pdf/2018-09259.pdf Notice - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Adopt Transaction Fees In Connection with the Exchange's Trading of UTP Securities on Pillar https://regulations.justia.com/regulations/fedreg/2018/05/02/2018-09258.html https://regulations.justia.com/regulations/fedreg/2018/05/02/2018-09258.html Wed, 02 May 2018 00:00:00 -0700 2018-09258 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-05-02/pdf/2018-09258.pdf Notice - Self-Regulatory Organizations; Cboe Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Rule 24.6, Days and Hours of Business https://regulations.justia.com/regulations/fedreg/2018/05/02/2018-09257.html https://regulations.justia.com/regulations/fedreg/2018/05/02/2018-09257.html Wed, 02 May 2018 00:00:00 -0700 2018-09257 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-05-02/pdf/2018-09257.pdf Notice - Redwood Investment Management, LLC and Two Roads Shared Trust https://regulations.justia.com/regulations/fedreg/2018/05/02/2018-09232.html https://regulations.justia.com/regulations/fedreg/2018/05/02/2018-09232.html Wed, 02 May 2018 00:00:00 -0700 2018-09232 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-05-02/pdf/2018-09232.pdf Notice - Proposed Collection; Comment Request https://regulations.justia.com/regulations/fedreg/2018/05/02/2018-09093.html https://regulations.justia.com/regulations/fedreg/2018/05/02/2018-09093.html Wed, 02 May 2018 00:00:00 -0700 2018-09093 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-05-02/pdf/2018-09093.pdf Notice - Sunshine Act Meetings https://regulations.justia.com/regulations/fedreg/2018/05/01/2018-09256.html https://regulations.justia.com/regulations/fedreg/2018/05/01/2018-09256.html Tue, 01 May 2018 00:00:00 -0700 2018-09256 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-05-01/pdf/2018-09256.pdf Notice - Self-Regulatory Organizations; Nasdaq ISE, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the Market Maker Plus Program Under the Schedule of Fees https://regulations.justia.com/regulations/fedreg/2018/05/01/2018-09115.html https://regulations.justia.com/regulations/fedreg/2018/05/01/2018-09115.html Tue, 01 May 2018 00:00:00 -0700 2018-09115 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-05-01/pdf/2018-09115.pdf Notice - Self-Regulatory Organizations; Nasdaq ISE, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Regular Order Fees and Rebates https://regulations.justia.com/regulations/fedreg/2018/05/01/2018-09114.html https://regulations.justia.com/regulations/fedreg/2018/05/01/2018-09114.html Tue, 01 May 2018 00:00:00 -0700 2018-09114 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-05-01/pdf/2018-09114.pdf Notice - Self-Regulatory Organizations; BOX Options Exchange LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Update Rule 6090(a)(4)(ii) To Note the Expiration Date of the Pilot Program for the Listing and Trading of Options Settling to the RealVol SPY Index (“Index”) https://regulations.justia.com/regulations/fedreg/2018/05/01/2018-09113.html https://regulations.justia.com/regulations/fedreg/2018/05/01/2018-09113.html Tue, 01 May 2018 00:00:00 -0700 2018-09113 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-05-01/pdf/2018-09113.pdf Notice - Self-Regulatory Organizations; Cboe BZX Exchange, Inc.; Notice of Designation of a Longer Period for Commission Action on a Proposed Rule Change To List and Trade on the Exchange Shares of Eighteen ADRPLUS Funds of the Precidian ETFs Trust Under Rule 14.11(i), Managed Fund Shares https://regulations.justia.com/regulations/fedreg/2018/05/01/2018-09112.html https://regulations.justia.com/regulations/fedreg/2018/05/01/2018-09112.html Tue, 01 May 2018 00:00:00 -0700 2018-09112 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-05-01/pdf/2018-09112.pdf Notice - Self-Regulatory Organizations; Nasdaq ISE, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Extend the Delay for the Re-introduction of Concurrent Complex Order Auction Functionality https://regulations.justia.com/regulations/fedreg/2018/05/01/2018-09111.html https://regulations.justia.com/regulations/fedreg/2018/05/01/2018-09111.html Tue, 01 May 2018 00:00:00 -0700 2018-09111 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-05-01/pdf/2018-09111.pdf Notice - Self-Regulatory Organizations; NYSE National, Inc.; Notice of Designation of a Longer Period for Commission Action on Proposed Rule Change To Support the Re-Launch of NYSE National, Inc. on the Pillar Trading Platform https://regulations.justia.com/regulations/fedreg/2018/05/01/2018-09110.html https://regulations.justia.com/regulations/fedreg/2018/05/01/2018-09110.html Tue, 01 May 2018 00:00:00 -0700 2018-09110 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-05-01/pdf/2018-09110.pdf Notice - Proposed Collection; Comment Request https://regulations.justia.com/regulations/fedreg/2018/05/01/2018-09094.html https://regulations.justia.com/regulations/fedreg/2018/05/01/2018-09094.html Tue, 01 May 2018 00:00:00 -0700 2018-09094 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-05-01/pdf/2018-09094.pdf