<![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/2018/09?registers=between&min-day=1&max-day=30 Thu, 23 May 2024 10:15:04 -0700 Thu, 23 May 2024 10:15:04 -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/2018/09?registers=between&min-day=1&max-day=30 Notice - Self-Regulatory Organizations; Cboe Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating To Rename the “Extended Trading Hours” to “Global Trading Hours” in Its Rules and Fees Schedule https://regulations.justia.com/regulations/fedreg/2018/09/28/2018-21110.html https://regulations.justia.com/regulations/fedreg/2018/09/28/2018-21110.html Fri, 28 Sep 2018 00:00:00 -0700 2018-21110 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-09-28/pdf/2018-21110.pdf Notice - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Designation of a Longer Period for Commission Action on a Proposed Rule Change To Amend NYSE Rule 104 Governing Transactions by Designated Market Makers https://regulations.justia.com/regulations/fedreg/2018/09/28/2018-21108.html https://regulations.justia.com/regulations/fedreg/2018/09/28/2018-21108.html Fri, 28 Sep 2018 00:00:00 -0700 2018-21108 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-09-28/pdf/2018-21108.pdf Notice - Self-Regulatory Organizations; NYSE Arca, Inc.; Order Instituting Proceedings To Determine Whether To Approve or Disapprove a Proposed Rule Change Regarding Investments of the REX BKCM ETF https://regulations.justia.com/regulations/fedreg/2018/09/28/2018-21107.html https://regulations.justia.com/regulations/fedreg/2018/09/28/2018-21107.html Fri, 28 Sep 2018 00:00:00 -0700 2018-21107 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-09-28/pdf/2018-21107.pdf Notice - Distillate Capital Partners LLC, et al. https://regulations.justia.com/regulations/fedreg/2018/09/27/2018-21080.html https://regulations.justia.com/regulations/fedreg/2018/09/27/2018-21080.html Thu, 27 Sep 2018 00:00:00 -0700 2018-21080 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-09-27/pdf/2018-21080.pdf Notice - Submission for OMB Review Comment Request https://regulations.justia.com/regulations/fedreg/2018/09/27/2018-21043.html https://regulations.justia.com/regulations/fedreg/2018/09/27/2018-21043.html Thu, 27 Sep 2018 00:00:00 -0700 2018-21043 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-09-27/pdf/2018-21043.pdf Notice - Self-Regulatory Organizations; Fixed Income Clearing Corporation; Order Approving Proposed Rule Change To Apply the Government Securities Division Corporation Default Rule to Sponsored Members and Make Other Changes https://regulations.justia.com/regulations/fedreg/2018/09/27/2018-21000.html https://regulations.justia.com/regulations/fedreg/2018/09/27/2018-21000.html Thu, 27 Sep 2018 00:00:00 -0700 2018-21000 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-09-27/pdf/2018-21000.pdf Notice - Self-Regulatory Organizations; National Securities Clearing Corporation; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Clarify and Update Certain Sections of the Rules https://regulations.justia.com/regulations/fedreg/2018/09/27/2018-20999.html https://regulations.justia.com/regulations/fedreg/2018/09/27/2018-20999.html Thu, 27 Sep 2018 00:00:00 -0700 2018-20999 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-09-27/pdf/2018-20999.pdf Notice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing of Amendment No. 1 and Order Approving on an Accelerated Basis a Proposed Rule Change, as Modified by Amendment No. 1, To List and Trade Shares of the GraniteShares Gold MiniBAR Trust Pursuant to NYSE Arca Rule 8.201-E https://regulations.justia.com/regulations/fedreg/2018/09/27/2018-20998.html https://regulations.justia.com/regulations/fedreg/2018/09/27/2018-20998.html Thu, 27 Sep 2018 00:00:00 -0700 2018-20998 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-09-27/pdf/2018-20998.pdf Notice - Self-Regulatory Organizations; National Securities Clearing Corporation; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Clarify the Rules That Describe the Buy-In Process https://regulations.justia.com/regulations/fedreg/2018/09/27/2018-20997.html https://regulations.justia.com/regulations/fedreg/2018/09/27/2018-20997.html Thu, 27 Sep 2018 00:00:00 -0700 2018-20997 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-09-27/pdf/2018-20997.pdf Proposed Rule - Amendment to Single Issuer Exemption for Broker-Dealers https://regulations.justia.com/regulations/fedreg/2018/09/27/2018-20880.html https://regulations.justia.com/regulations/fedreg/2018/09/27/2018-20880.html Thu, 27 Sep 2018 00:00:00 -0700 2018-20880 Proposed Rule https://www.gpo.gov/fdsys/pkg/FR-2018-09-27/pdf/2018-20880.pdf Notice - Ares Credit and Income Trust and Ares Capital Management III LLC; Notice of Application https://regulations.justia.com/regulations/fedreg/2018/09/26/2018-20956.html https://regulations.justia.com/regulations/fedreg/2018/09/26/2018-20956.html Wed, 26 Sep 2018 00:00:00 -0700 2018-20956 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-09-26/pdf/2018-20956.pdf Notice - Self-Regulatory Organizations; Nasdaq GEMX, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Risk Protections https://regulations.justia.com/regulations/fedreg/2018/09/26/2018-20886.html https://regulations.justia.com/regulations/fedreg/2018/09/26/2018-20886.html Wed, 26 Sep 2018 00:00:00 -0700 2018-20886 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-09-26/pdf/2018-20886.pdf Notice - Self-Regulatory Organizations; Fixed Income Clearing Corporation; Order Granting Approval of Proposed Rule Change To Codify the Processing of Conditional Prepayment Rate Claims in the MBSD Rules and Make Other Changes https://regulations.justia.com/regulations/fedreg/2018/09/26/2018-20885.html https://regulations.justia.com/regulations/fedreg/2018/09/26/2018-20885.html Wed, 26 Sep 2018 00:00:00 -0700 2018-20885 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-09-26/pdf/2018-20885.pdf Notice - Self-Regulatory Organizations; Cboe BZX Exchange, Inc.; Order Instituting Proceedings To Determine Whether To Approve or Disapprove a Proposed Rule Change To List and Trade Shares of SolidX Bitcoin Shares Issued by the VanEck SolidX Bitcoin Trust Under BZX Rule 14.11(e)(4), Commodity-Based Trust Shares https://regulations.justia.com/regulations/fedreg/2018/09/26/2018-20884.html https://regulations.justia.com/regulations/fedreg/2018/09/26/2018-20884.html Wed, 26 Sep 2018 00:00:00 -0700 2018-20884 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-09-26/pdf/2018-20884.pdf Notice - Self-Regulatory Organizations; Nasdaq MRX, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Risk Protections https://regulations.justia.com/regulations/fedreg/2018/09/26/2018-20882.html https://regulations.justia.com/regulations/fedreg/2018/09/26/2018-20882.html Wed, 26 Sep 2018 00:00:00 -0700 2018-20882 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-09-26/pdf/2018-20882.pdf Notice - Self-Regulatory Organizations; Nasdaq ISE, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Risk Protections https://regulations.justia.com/regulations/fedreg/2018/09/26/2018-20881.html https://regulations.justia.com/regulations/fedreg/2018/09/26/2018-20881.html Wed, 26 Sep 2018 00:00:00 -0700 2018-20881 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-09-26/pdf/2018-20881.pdf Notice - Self-Regulatory Organizations; Cboe BYX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Its Rules Relating to Categories of Registration and Respective Qualification Examinations Required for Members That Engage in Trading Activities on the Exchange https://regulations.justia.com/regulations/fedreg/2018/09/26/2018-20878.html https://regulations.justia.com/regulations/fedreg/2018/09/26/2018-20878.html Wed, 26 Sep 2018 00:00:00 -0700 2018-20878 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-09-26/pdf/2018-20878.pdf Notice - Sunshine Act Meetings https://regulations.justia.com/regulations/fedreg/2018/09/25/2018-20899.html https://regulations.justia.com/regulations/fedreg/2018/09/25/2018-20899.html Tue, 25 Sep 2018 00:00:00 -0700 2018-20899 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-09-25/pdf/2018-20899.pdf Notice - Self-Regulatory Organizations; Nasdaq BX, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the Equity Rule 6950 Series Concerning the Order Audit Trail System To Make Conforming and Technical Changes https://regulations.justia.com/regulations/fedreg/2018/09/25/2018-20898.html https://regulations.justia.com/regulations/fedreg/2018/09/25/2018-20898.html Tue, 25 Sep 2018 00:00:00 -0700 2018-20898 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-09-25/pdf/2018-20898.pdf Notice - Variant Alternative Income Fund and Variant Investments, LLC https://regulations.justia.com/regulations/fedreg/2018/09/25/2018-20820.html https://regulations.justia.com/regulations/fedreg/2018/09/25/2018-20820.html Tue, 25 Sep 2018 00:00:00 -0700 2018-20820 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-09-25/pdf/2018-20820.pdf Notice - Self-Regulatory Organizations; The Nasdaq Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Fees at Rule 7014 https://regulations.justia.com/regulations/fedreg/2018/09/25/2018-20770.html https://regulations.justia.com/regulations/fedreg/2018/09/25/2018-20770.html Tue, 25 Sep 2018 00:00:00 -0700 2018-20770 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-09-25/pdf/2018-20770.pdf Notice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Designation of a Longer Period for Commission Action on a Proposed Rule Change To Amend Commentary .01 to NYSE Arca Rule 8.600-E Relating to Certain Generic Listing Standards for Managed Fund Shares https://regulations.justia.com/regulations/fedreg/2018/09/25/2018-20769.html https://regulations.justia.com/regulations/fedreg/2018/09/25/2018-20769.html Tue, 25 Sep 2018 00:00:00 -0700 2018-20769 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-09-25/pdf/2018-20769.pdf Notice - Self-Regulatory Organizations; The Nasdaq Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Conform the Exchange's By-Law Provisions Regarding the Chief Regulatory Officer to Those of Its Affiliate, Nasdaq PHLX LLC https://regulations.justia.com/regulations/fedreg/2018/09/25/2018-20768.html https://regulations.justia.com/regulations/fedreg/2018/09/25/2018-20768.html Tue, 25 Sep 2018 00:00:00 -0700 2018-20768 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-09-25/pdf/2018-20768.pdf Notice - Self-Regulatory Organizations; Nasdaq BX, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Conform the Exchange's By-Law Provisions Regarding the Chief Regulatory Officer to Those of Its Affiliate, Nasdaq PHLX LLC https://regulations.justia.com/regulations/fedreg/2018/09/25/2018-20762.html https://regulations.justia.com/regulations/fedreg/2018/09/25/2018-20762.html Tue, 25 Sep 2018 00:00:00 -0700 2018-20762 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-09-25/pdf/2018-20762.pdf Notice - Self-Regulatory Organizations; The Nasdaq Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Rule 7021 https://regulations.justia.com/regulations/fedreg/2018/09/25/2018-20761.html https://regulations.justia.com/regulations/fedreg/2018/09/25/2018-20761.html Tue, 25 Sep 2018 00:00:00 -0700 2018-20761 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-09-25/pdf/2018-20761.pdf Notice - Self-Regulatory Organizations; Nasdaq MRX, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Conform By-Law's CRO Provisions To Those of an Affiliate Exchange https://regulations.justia.com/regulations/fedreg/2018/09/25/2018-20760.html https://regulations.justia.com/regulations/fedreg/2018/09/25/2018-20760.html Tue, 25 Sep 2018 00:00:00 -0700 2018-20760 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-09-25/pdf/2018-20760.pdf Notice - Self-Regulatory Organizations; Nasdaq ISE, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Conform By-Law's CRO Provisions to Those of an Affiliate Exchange https://regulations.justia.com/regulations/fedreg/2018/09/25/2018-20759.html https://regulations.justia.com/regulations/fedreg/2018/09/25/2018-20759.html Tue, 25 Sep 2018 00:00:00 -0700 2018-20759 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-09-25/pdf/2018-20759.pdf Notice - Self-Regulatory Organizations; Nasdaq GEMX, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Conform By-Law's CRO Provisions to Those of an Affiliate Exchange https://regulations.justia.com/regulations/fedreg/2018/09/25/2018-20758.html https://regulations.justia.com/regulations/fedreg/2018/09/25/2018-20758.html Tue, 25 Sep 2018 00:00:00 -0700 2018-20758 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-09-25/pdf/2018-20758.pdf Notice - Order Under Section 15B, Section 17A and Section 36 of the Securities Exchange Act of 1934 Granting Exemptions From Specified Provisions of the Exchange Act and Certain Rules Thereunder; Order Under Section 6(c) and Section 38(a) of the Investment Company Act of 1940 Granting Exemptions From Specified Provisions of the Investment Company Act and Certain Rules Thereunder https://regulations.justia.com/regulations/fedreg/2018/09/24/2018-20739.html https://regulations.justia.com/regulations/fedreg/2018/09/24/2018-20739.html Mon, 24 Sep 2018 00:00:00 -0700 2018-20739 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-09-24/pdf/2018-20739.pdf Notice - Consolidated Tape Association; Notice of Filing and Immediate Effectiveness of the Twenty-Fourth Charges Amendment to the Second Restatement of the CTA Plan and the Fifteenth Charges Amendment to the Restated CQ Plan https://regulations.justia.com/regulations/fedreg/2018/09/24/2018-20661.html https://regulations.justia.com/regulations/fedreg/2018/09/24/2018-20661.html Mon, 24 Sep 2018 00:00:00 -0700 2018-20661 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-09-24/pdf/2018-20661.pdf Notice - Self-Regulatory Organizations; The Nasdaq Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Eliminate the Market Quality Program (Rule 5950) https://regulations.justia.com/regulations/fedreg/2018/09/24/2018-20660.html https://regulations.justia.com/regulations/fedreg/2018/09/24/2018-20660.html Mon, 24 Sep 2018 00:00:00 -0700 2018-20660 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-09-24/pdf/2018-20660.pdf Notice - Self-Regulatory Organizations; Nasdaq PHLX LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Rule 1080(A)(I)(C) Relating to Options Floor Based Management System https://regulations.justia.com/regulations/fedreg/2018/09/24/2018-20659.html https://regulations.justia.com/regulations/fedreg/2018/09/24/2018-20659.html Mon, 24 Sep 2018 00:00:00 -0700 2018-20659 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-09-24/pdf/2018-20659.pdf Notice - Self-Regulatory Organizations; New York Stock Exchange LLC; Order Instituting Proceedings To Determine Whether To Approve or Disapprove a Proposed Rule Change To Make Permanent the Retail Liquidity Program Pilot, Which Is Set To Expire on December 31, 2018 https://regulations.justia.com/regulations/fedreg/2018/09/24/2018-20658.html https://regulations.justia.com/regulations/fedreg/2018/09/24/2018-20658.html Mon, 24 Sep 2018 00:00:00 -0700 2018-20658 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-09-24/pdf/2018-20658.pdf Notice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing of Proposed Rule Change To List and Trade Shares of the First Trust Long Duration Opportunities ETF Under NYSE Arca Rule 8.600-E https://regulations.justia.com/regulations/fedreg/2018/09/21/C1-2018-18781.html https://regulations.justia.com/regulations/fedreg/2018/09/21/C1-2018-18781.html Fri, 21 Sep 2018 00:00:00 -0700 C1-2018-18781 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-09-21/pdf/C1-2018-18781.pdf Notice - Sunshine Act Meetings https://regulations.justia.com/regulations/fedreg/2018/09/21/2018-20742.html https://regulations.justia.com/regulations/fedreg/2018/09/21/2018-20742.html Fri, 21 Sep 2018 00:00:00 -0700 2018-20742 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-09-21/pdf/2018-20742.pdf Notice - Sunshine Act Meetings https://regulations.justia.com/regulations/fedreg/2018/09/21/2018-20741.html https://regulations.justia.com/regulations/fedreg/2018/09/21/2018-20741.html Fri, 21 Sep 2018 00:00:00 -0700 2018-20741 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-09-21/pdf/2018-20741.pdf Rule - Regulation Crowdfunding and Regulation A Relief and Assistance for Victims of Hurricane Florence https://regulations.justia.com/regulations/fedreg/2018/09/21/2018-20740.html https://regulations.justia.com/regulations/fedreg/2018/09/21/2018-20740.html Fri, 21 Sep 2018 00:00:00 -0700 2018-20740 Rule https://www.gpo.gov/fdsys/pkg/FR-2018-09-21/pdf/2018-20740.pdf Notice - Proposed Collection; Comment Request https://regulations.justia.com/regulations/fedreg/2018/09/21/2018-20592.html https://regulations.justia.com/regulations/fedreg/2018/09/21/2018-20592.html Fri, 21 Sep 2018 00:00:00 -0700 2018-20592 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-09-21/pdf/2018-20592.pdf Notice - Self-Regulatory Organizations; BOX Options Exchange LLC; Suspension of and Order Instituting Proceedings To Determine Whether To Approve or Disapprove a Proposed Rule Change To Amend the Fee Schedule on the BOX Market LLC Options Facility To Establish BOX Connectivity Fees for Participants and Non-Participants Who Connect to the BOX Network https://regulations.justia.com/regulations/fedreg/2018/09/21/2018-20548.html https://regulations.justia.com/regulations/fedreg/2018/09/21/2018-20548.html Fri, 21 Sep 2018 00:00:00 -0700 2018-20548 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-09-21/pdf/2018-20548.pdf Notice - Self-Regulatory Organizations; Miami International Securities Exchange LLC; Suspension of and Order Instituting Proceedings To Determine Whether To Approve or Disapprove a Proposed Rule Change To Amend the Fee Schedule Regarding Connectivity Fees for Members and Non-Members https://regulations.justia.com/regulations/fedreg/2018/09/21/2018-20547.html https://regulations.justia.com/regulations/fedreg/2018/09/21/2018-20547.html Fri, 21 Sep 2018 00:00:00 -0700 2018-20547 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-09-21/pdf/2018-20547.pdf Notice - Self-Regulatory Organizations; Cboe EDGX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Its Rules Relating to Categories of Registration and Respective Qualification Examinations Required for Members That Engage in Trading Activities on the Exchange https://regulations.justia.com/regulations/fedreg/2018/09/21/2018-20546.html https://regulations.justia.com/regulations/fedreg/2018/09/21/2018-20546.html Fri, 21 Sep 2018 00:00:00 -0700 2018-20546 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-09-21/pdf/2018-20546.pdf Notice - Self-Regulatory Organizations; MIAX PEARL, LLC; Suspension of and Order Instituting Proceedings To Determine Whether To Approve or Disapprove a Proposed Rule Change To Amend the Fee Schedule Regarding Connectivity Fees for Members and Non-Members https://regulations.justia.com/regulations/fedreg/2018/09/21/2018-20545.html https://regulations.justia.com/regulations/fedreg/2018/09/21/2018-20545.html Fri, 21 Sep 2018 00:00:00 -0700 2018-20545 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-09-21/pdf/2018-20545.pdf Notice - Self-Regulatory Organizations; Cboe BZX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Its Rules Relating to Categories of Registration and Respective Qualification Examinations Required for Members That Engage in Trading Activities on the Exchange https://regulations.justia.com/regulations/fedreg/2018/09/21/2018-20544.html https://regulations.justia.com/regulations/fedreg/2018/09/21/2018-20544.html Fri, 21 Sep 2018 00:00:00 -0700 2018-20544 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-09-21/pdf/2018-20544.pdf Notice - Self-Regulatory Organizations; Cboe EDGA Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Its Rules Relating to Categories of Registration and Respective Qualification Examinations Required for Members That Engage in Trading Activities on the Exchange https://regulations.justia.com/regulations/fedreg/2018/09/20/2018-20438.html https://regulations.justia.com/regulations/fedreg/2018/09/20/2018-20438.html Thu, 20 Sep 2018 00:00:00 -0700 2018-20438 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-09-20/pdf/2018-20438.pdf Notice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Designation of a Longer Period for Commission Action on a Proposed Rule Change Regarding Investments of the First Trust TCW Unconstrained Plus Bond ETF https://regulations.justia.com/regulations/fedreg/2018/09/20/2018-20437.html https://regulations.justia.com/regulations/fedreg/2018/09/20/2018-20437.html Thu, 20 Sep 2018 00:00:00 -0700 2018-20437 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-09-20/pdf/2018-20437.pdf Notice - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Rule 2360 (Options) To Increase Position Limits on Options on Certain Exchange-Traded Funds https://regulations.justia.com/regulations/fedreg/2018/09/20/2018-20435.html https://regulations.justia.com/regulations/fedreg/2018/09/20/2018-20435.html Thu, 20 Sep 2018 00:00:00 -0700 2018-20435 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-09-20/pdf/2018-20435.pdf Notice - Self-Regulatory Organizations; ICE Clear Credit LLC; Order Approving Proposed Rule Change Relating to the Clearance of an Additional Credit Default Swap Contract https://regulations.justia.com/regulations/fedreg/2018/09/20/2018-20434.html https://regulations.justia.com/regulations/fedreg/2018/09/20/2018-20434.html Thu, 20 Sep 2018 00:00:00 -0700 2018-20434 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-09-20/pdf/2018-20434.pdf Notice - Self-Regulatory Organizations; Cboe Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating To Amend Its Rules Relating to Categories of Registration and Respective Qualification Examinations Required for Trading Permit Holders (“TPHs”) and Associated Persons That Engage in Trading Activities on the Exchange https://regulations.justia.com/regulations/fedreg/2018/09/20/2018-20433.html https://regulations.justia.com/regulations/fedreg/2018/09/20/2018-20433.html Thu, 20 Sep 2018 00:00:00 -0700 2018-20433 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-09-20/pdf/2018-20433.pdf Notice - Self-Regulatory Organizations; Cboe BZX Exchange, Inc.; Order Granting Approval of a Proposed Rule Change, as Modified by Amendment No. 3, To List and Trade Shares of Eighteen ADRPLUS Funds of the Precidian ETFs Trust Under Rule 14.11(i), Managed Fund Shares https://regulations.justia.com/regulations/fedreg/2018/09/20/2018-20432.html https://regulations.justia.com/regulations/fedreg/2018/09/20/2018-20432.html Thu, 20 Sep 2018 00:00:00 -0700 2018-20432 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-09-20/pdf/2018-20432.pdf Notice - Self-Regulatory Organizations; Cboe C2 Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating To Amend Its Rules Relating to Categories of Registration and Respective Qualification Examinations Required for Trading Permit Holders (“TPHs”) and Associated Persons That Engage in Trading Activities on the Exchange https://regulations.justia.com/regulations/fedreg/2018/09/20/2018-20431.html https://regulations.justia.com/regulations/fedreg/2018/09/20/2018-20431.html Thu, 20 Sep 2018 00:00:00 -0700 2018-20431 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-09-20/pdf/2018-20431.pdf