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/2018/10/09?limit=200&registers=between&mode=atom 2025-01-03T11:17:43-08:00 Justia Inc https://www.justia.com/ Justia Regulations Tracker https://regulations.justia.com/images/justiafedregulations.gif Copyright 2011 Justia Inc https://regulations.justia.com/regulations/fedreg/2018/10/09/2018-21995.html Notice - Sunshine Act Meetings 2018-10-09T00:00:00-07:00 2018-10-09T00:00:00-07:00 2018-21995 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-10-09/pdf/2018-21995.pdf https://regulations.justia.com/regulations/fedreg/2018/10/09/2018-21906.html Notice - Self-Regulatory Organizations; Nasdaq BX, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Align Existing Investigatory and Disciplinary Processes and Related Rules With the Investigatory and Disciplinary Processes and Related Rules of Nasdaq PHLX LLC 2018-10-09T00:00:00-07:00 2018-10-09T00:00:00-07:00 2018-21906 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-10-09/pdf/2018-21906.pdf https://regulations.justia.com/regulations/fedreg/2018/10/09/2018-21874.html Notice - Vident Advisory, LLC et al. 2018-10-09T00:00:00-07:00 2018-10-09T00:00:00-07:00 2018-21874 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-10-09/pdf/2018-21874.pdf https://regulations.justia.com/regulations/fedreg/2018/10/09/2018-21834.html Notice - Proposed Collection; Comment Request 2018-10-09T00:00:00-07:00 2018-10-09T00:00:00-07:00 2018-21834 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-10-09/pdf/2018-21834.pdf https://regulations.justia.com/regulations/fedreg/2018/10/09/2018-21833.html Notice - Submission for OMB Review; Comment Request 2018-10-09T00:00:00-07:00 2018-10-09T00:00:00-07:00 2018-21833 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-10-09/pdf/2018-21833.pdf https://regulations.justia.com/regulations/fedreg/2018/10/09/2018-21832.html Notice - Submission for OMB Review; Comment Request 2018-10-09T00:00:00-07:00 2018-10-09T00:00:00-07:00 2018-21832 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-10-09/pdf/2018-21832.pdf https://regulations.justia.com/regulations/fedreg/2018/10/09/2018-21831.html Notice - Submission for OMB Review; Comment Request 2018-10-09T00:00:00-07:00 2018-10-09T00:00:00-07:00 2018-21831 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-10-09/pdf/2018-21831.pdf https://regulations.justia.com/regulations/fedreg/2018/10/09/2018-21830.html Notice - Submission for OMB Review; Comment Request 2018-10-09T00:00:00-07:00 2018-10-09T00:00:00-07:00 2018-21830 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-10-09/pdf/2018-21830.pdf https://regulations.justia.com/regulations/fedreg/2018/10/09/2018-21787.html Notice - Self-Regulatory Organizations; BOX Exchange LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Rules Relating to Registration and Qualification Examinations Required for Participants That Engage in Trading Activities on the Exchange 2018-10-09T00:00:00-07:00 2018-10-09T00:00:00-07:00 2018-21787 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-10-09/pdf/2018-21787.pdf https://regulations.justia.com/regulations/fedreg/2018/10/09/2018-21786.html Notice - Self-Regulatory Organizations; Nasdaq ISE, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Establish New Pricing for Flash Orders 2018-10-09T00:00:00-07:00 2018-10-09T00:00:00-07:00 2018-21786 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-10-09/pdf/2018-21786.pdf https://regulations.justia.com/regulations/fedreg/2018/10/09/2018-21785.html Notice - Self-Regulatory Organizations; ICE Clear Europe Limited; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to F&O Risk Policies 2018-10-09T00:00:00-07:00 2018-10-09T00:00:00-07:00 2018-21785 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-10-09/pdf/2018-21785.pdf https://regulations.justia.com/regulations/fedreg/2018/10/09/2018-21784.html Notice - Self-Regulatory Organizations; Cboe Exchange, Inc.; Order Approving a Proposed Rule Change To Adopt Rule 6.57, Risk-Weighted Asset (“RWA”) Packages 2018-10-09T00:00:00-07:00 2018-10-09T00:00:00-07:00 2018-21784 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-10-09/pdf/2018-21784.pdf https://regulations.justia.com/regulations/fedreg/2018/10/09/2018-21783.html Notice - Self-Regulatory Organizations; BOX Exchange LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend BOX Rule 7600(a)(4) (Qualified Open Outcry Orders-Floor Crossing) 2018-10-09T00:00:00-07:00 2018-10-09T00:00:00-07:00 2018-21783 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-10-09/pdf/2018-21783.pdf https://regulations.justia.com/regulations/fedreg/2018/10/09/2018-21782.html Notice - Self-Regulatory Organizations; Municipal Securities Rulemaking Board; Notice of Filing of a Proposed Rule Change To Amend MSRB Rule G-3, on Professional Qualification Requirements, To Require Municipal Advisor Principals To Become Appropriately Qualified by Passing the Municipal Advisor Principal Qualification Examination 2018-10-09T00:00:00-07:00 2018-10-09T00:00:00-07:00 2018-21782 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-10-09/pdf/2018-21782.pdf https://regulations.justia.com/regulations/fedreg/2018/10/09/2018-21781.html Notice - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate Effectiveness of Amendments To Rules Regarding Qualification, Registration and Continuing Education Applicable to Members and Member Organizations 2018-10-09T00:00:00-07:00 2018-10-09T00:00:00-07:00 2018-21781 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-10-09/pdf/2018-21781.pdf https://regulations.justia.com/regulations/fedreg/2018/10/09/2018-21761.html Notice - In the Matter of Chicago Stock Exchange, Inc., 440 South LaSalle Street, Suite 800, Chicago, IL 60605; File No. SR-CHX-2017-04; Order Setting Aside the Order by Delegated Authority Approving SR-CHX-2017-04 2018-10-09T00:00:00-07:00 2018-10-09T00:00:00-07:00 2018-21761 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-10-09/pdf/2018-21761.pdf