<![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/2018/10/09?registers=between Thu, 14 Aug 2025 12:46:42 -0700 Thu, 14 Aug 2025 12:46:42 -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/2018/10/09?registers=between Notice - Sunshine Act Meetings https://regulations.justia.com/regulations/fedreg/2018/10/09/2018-21995.html https://regulations.justia.com/regulations/fedreg/2018/10/09/2018-21995.html Tue, 09 Oct 2018 00:00:00 -0700 2018-21995 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-10-09/pdf/2018-21995.pdf 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 https://regulations.justia.com/regulations/fedreg/2018/10/09/2018-21906.html https://regulations.justia.com/regulations/fedreg/2018/10/09/2018-21906.html Tue, 09 Oct 2018 00:00:00 -0700 2018-21906 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-10-09/pdf/2018-21906.pdf Notice - Vident Advisory, LLC et al. https://regulations.justia.com/regulations/fedreg/2018/10/09/2018-21874.html https://regulations.justia.com/regulations/fedreg/2018/10/09/2018-21874.html Tue, 09 Oct 2018 00:00:00 -0700 2018-21874 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-10-09/pdf/2018-21874.pdf Notice - Proposed Collection; Comment Request https://regulations.justia.com/regulations/fedreg/2018/10/09/2018-21834.html https://regulations.justia.com/regulations/fedreg/2018/10/09/2018-21834.html Tue, 09 Oct 2018 00:00:00 -0700 2018-21834 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-10-09/pdf/2018-21834.pdf Notice - Submission for OMB Review; Comment Request https://regulations.justia.com/regulations/fedreg/2018/10/09/2018-21833.html https://regulations.justia.com/regulations/fedreg/2018/10/09/2018-21833.html Tue, 09 Oct 2018 00:00:00 -0700 2018-21833 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-10-09/pdf/2018-21833.pdf Notice - Submission for OMB Review; Comment Request https://regulations.justia.com/regulations/fedreg/2018/10/09/2018-21832.html https://regulations.justia.com/regulations/fedreg/2018/10/09/2018-21832.html Tue, 09 Oct 2018 00:00:00 -0700 2018-21832 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-10-09/pdf/2018-21832.pdf Notice - Submission for OMB Review; Comment Request https://regulations.justia.com/regulations/fedreg/2018/10/09/2018-21831.html https://regulations.justia.com/regulations/fedreg/2018/10/09/2018-21831.html Tue, 09 Oct 2018 00:00:00 -0700 2018-21831 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-10-09/pdf/2018-21831.pdf Notice - Submission for OMB Review; Comment Request https://regulations.justia.com/regulations/fedreg/2018/10/09/2018-21830.html https://regulations.justia.com/regulations/fedreg/2018/10/09/2018-21830.html Tue, 09 Oct 2018 00:00:00 -0700 2018-21830 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-10-09/pdf/2018-21830.pdf 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 https://regulations.justia.com/regulations/fedreg/2018/10/09/2018-21787.html https://regulations.justia.com/regulations/fedreg/2018/10/09/2018-21787.html Tue, 09 Oct 2018 00:00:00 -0700 2018-21787 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-10-09/pdf/2018-21787.pdf Notice - Self-Regulatory Organizations; Nasdaq ISE, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Establish New Pricing for Flash Orders https://regulations.justia.com/regulations/fedreg/2018/10/09/2018-21786.html https://regulations.justia.com/regulations/fedreg/2018/10/09/2018-21786.html Tue, 09 Oct 2018 00:00:00 -0700 2018-21786 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-10-09/pdf/2018-21786.pdf 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 https://regulations.justia.com/regulations/fedreg/2018/10/09/2018-21785.html https://regulations.justia.com/regulations/fedreg/2018/10/09/2018-21785.html Tue, 09 Oct 2018 00:00:00 -0700 2018-21785 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-10-09/pdf/2018-21785.pdf Notice - Self-Regulatory Organizations; Cboe Exchange, Inc.; Order Approving a Proposed Rule Change To Adopt Rule 6.57, Risk-Weighted Asset (“RWA”) Packages https://regulations.justia.com/regulations/fedreg/2018/10/09/2018-21784.html https://regulations.justia.com/regulations/fedreg/2018/10/09/2018-21784.html Tue, 09 Oct 2018 00:00:00 -0700 2018-21784 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-10-09/pdf/2018-21784.pdf 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) https://regulations.justia.com/regulations/fedreg/2018/10/09/2018-21783.html https://regulations.justia.com/regulations/fedreg/2018/10/09/2018-21783.html Tue, 09 Oct 2018 00:00:00 -0700 2018-21783 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-10-09/pdf/2018-21783.pdf 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 https://regulations.justia.com/regulations/fedreg/2018/10/09/2018-21782.html https://regulations.justia.com/regulations/fedreg/2018/10/09/2018-21782.html Tue, 09 Oct 2018 00:00:00 -0700 2018-21782 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-10-09/pdf/2018-21782.pdf 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 https://regulations.justia.com/regulations/fedreg/2018/10/09/2018-21781.html https://regulations.justia.com/regulations/fedreg/2018/10/09/2018-21781.html Tue, 09 Oct 2018 00:00:00 -0700 2018-21781 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-10-09/pdf/2018-21781.pdf 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 https://regulations.justia.com/regulations/fedreg/2018/10/09/2018-21761.html https://regulations.justia.com/regulations/fedreg/2018/10/09/2018-21761.html Tue, 09 Oct 2018 00:00:00 -0700 2018-21761 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-10-09/pdf/2018-21761.pdf