Federal Register Recent Federal Regulation Documents - Justia Regulation Tracker - Justia Regulations Trackerhttps://regulations.justia.com/regulations/fedreg/agencies/agencies-and-commissions/securities-and-exchange-commission/2018/08/06?limit=200®isters=between&mode=atom2024-12-22T18:02:57-08:00Justia Inchttps://www.justia.com/Justia Regulations Trackerhttps://regulations.justia.com/images/justiafedregulations.gifCopyright 2011 Justia Inchttps://regulations.justia.com/regulations/fedreg/2018/08/06/2018-16724.htmlNotice - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Order Granting Approval of a Proposed Rule Change To Amend FINRA Rule 6433 To Adopt the OTC Quotation Tier Pilot as Permanent2018-08-06T00:00:00-07:002018-08-06T00:00:00-07:002018-16724Noticehttps://www.gpo.gov/fdsys/pkg/FR-2018-08-06/pdf/2018-16724.pdfhttps://regulations.justia.com/regulations/fedreg/2018/08/06/2018-16723.htmlNotice - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Designation of a Longer Period on Commission Action of Proposed Rule Change To Make Permanent the Retail Liquidity Program Pilot, NYSE Rule 107C, Which Is Set To Expire on December 31, 20182018-08-06T00:00:00-07:002018-08-06T00:00:00-07:002018-16723Noticehttps://www.gpo.gov/fdsys/pkg/FR-2018-08-06/pdf/2018-16723.pdfhttps://regulations.justia.com/regulations/fedreg/2018/08/06/2018-16722.htmlNotice - Self-Regulatory Organizations; Cboe BZX Exchange, Inc.; Notice of Withdrawal of 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 ETF2018-08-06T00:00:00-07:002018-08-06T00:00:00-07:002018-16722Noticehttps://www.gpo.gov/fdsys/pkg/FR-2018-08-06/pdf/2018-16722.pdfhttps://regulations.justia.com/regulations/fedreg/2018/08/06/2018-16721.htmlNotice - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Order Approving a Proposed Rule Change Creating Fee and Honorarium for Late Cancellation of a Prehearing Conference2018-08-06T00:00:00-07:002018-08-06T00:00:00-07:002018-16721Noticehttps://www.gpo.gov/fdsys/pkg/FR-2018-08-06/pdf/2018-16721.pdfhttps://regulations.justia.com/regulations/fedreg/2018/08/06/2018-16720.htmlNotice - Self-Regulatory Organizations; The Nasdaq Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Lower Fees and Administrative Costs for Distributors of Nasdaq Basic, Nasdaq Last Sale, NLS Plus and the Nasdaq Depth-of-Book Products Through a Consolidated Enterprise License2018-08-06T00:00:00-07:002018-08-06T00:00:00-07:002018-16720Noticehttps://www.gpo.gov/fdsys/pkg/FR-2018-08-06/pdf/2018-16720.pdfhttps://regulations.justia.com/regulations/fedreg/2018/08/06/2018-16714.htmlNotice - Self-Regulatory Organizations; The Depository Trust Company; Notice of Filing of Amendment No. 1 to an Advance Notice To Amend the Loss Allocation Rules and Make Other Changes2018-08-06T00:00:00-07:002018-08-06T00:00:00-07:002018-16714Noticehttps://www.gpo.gov/fdsys/pkg/FR-2018-08-06/pdf/2018-16714.pdfhttps://regulations.justia.com/regulations/fedreg/2018/08/06/2018-16712.htmlNotice - Self-Regulatory Organizations; National Securities Clearing Corporation; Notice of Filing of Amendment No. 1 to an Advance Notice To Amend the Loss Allocation Rules and Make Other Changes2018-08-06T00:00:00-07:002018-08-06T00:00:00-07:002018-16712Noticehttps://www.gpo.gov/fdsys/pkg/FR-2018-08-06/pdf/2018-16712.pdfhttps://regulations.justia.com/regulations/fedreg/2018/08/06/2018-16711.htmlNotice - Self-Regulatory Organizations; National Securities Clearing Corporation; Notice of Filing of Amendment No. 1 to an Advance Notice To Adopt a Recovery & Wind-Down Plan and Related Rules2018-08-06T00:00:00-07:002018-08-06T00:00:00-07:002018-16711Noticehttps://www.gpo.gov/fdsys/pkg/FR-2018-08-06/pdf/2018-16711.pdfhttps://regulations.justia.com/regulations/fedreg/2018/08/06/2018-16709.htmlNotice - Self-Regulatory Organizations; Fixed Income Clearing Corporation; Notice of Filing of Amendment No. 1 to an Advance Notice To Amend the Loss Allocation Rules and Make Other Changes2018-08-06T00:00:00-07:002018-08-06T00:00:00-07:002018-16709Noticehttps://www.gpo.gov/fdsys/pkg/FR-2018-08-06/pdf/2018-16709.pdfhttps://regulations.justia.com/regulations/fedreg/2018/08/06/2018-16708.htmlNotice - Self-Regulatory Organizations; The Depository Trust Company; Notice of Filing of Amendment No. 1 to an Advance Notice To Adopt a Recovery & Wind-Down Plan and Related Rules2018-08-06T00:00:00-07:002018-08-06T00:00:00-07:002018-16708Noticehttps://www.gpo.gov/fdsys/pkg/FR-2018-08-06/pdf/2018-16708.pdfhttps://regulations.justia.com/regulations/fedreg/2018/08/06/2018-16707.htmlNotice - Self-Regulatory Organizations; Fixed Income Clearing Corporation; Notice of Filing of Amendment No. 1 to an Advance Notice To Adopt a Recovery & Wind-Down Plan and Related Rules2018-08-06T00:00:00-07:002018-08-06T00:00:00-07:002018-16707Noticehttps://www.gpo.gov/fdsys/pkg/FR-2018-08-06/pdf/2018-16707.pdf