<![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/2018/10/11?registers=between Sun, 22 Dec 2024 09:50:54 -0800 Sun, 22 Dec 2024 09:50:54 -0800 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/2018/10/11?registers=between Notice - Self-Regulatory Organizations; Cboe BZX Exchange, Inc.; Notice of Filing of Amendment No. 2 to a Proposed Rule Change To List and Trade Shares of the GraniteShares Bitcoin ETF and the GraniteShares Short Bitcoin ETF, a Series of the GraniteShares ETP Trust, Under Rule 14.11(f)(4), Trust Issued Receipts https://regulations.justia.com/regulations/fedreg/2018/10/11/2018-22096.html https://regulations.justia.com/regulations/fedreg/2018/10/11/2018-22096.html Thu, 11 Oct 2018 00:00:00 -0700 2018-22096 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-10-11/pdf/2018-22096.pdf Notice - Securities Exchange Act of 1934 https://regulations.justia.com/regulations/fedreg/2018/10/11/2018-22094.html https://regulations.justia.com/regulations/fedreg/2018/10/11/2018-22094.html Thu, 11 Oct 2018 00:00:00 -0700 2018-22094 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-10-11/pdf/2018-22094.pdf Notice - In the Matter of the NYSE Arca, Inc. For an Order of Disapproval of Proposed Rule Change Relating To Listing and Trading of the Direxion Daily Bitcoin Bear 1X Shares, Direxion Daily Bitcoin 1.25X Bull Shares, Direxion Daily Bitcoin 1.5X Bull Shares, Direxion Daily Bitcoin 2X Bull Shares, and Direxion Daily Bitcoin 2X Bear Shares Under NYSE Arca Rule 8.200-E (File No. SR-NYSEArca-2018-02); Order Scheduling Filing of Statements on Review https://regulations.justia.com/regulations/fedreg/2018/10/11/2018-22093.html https://regulations.justia.com/regulations/fedreg/2018/10/11/2018-22093.html Thu, 11 Oct 2018 00:00:00 -0700 2018-22093 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-10-11/pdf/2018-22093.pdf Notice - In the Matter of the Cboe BZX Exchange, Inc.; For an Order of Disapproval of Proposed Rule Change To List and Trade the Shares of the GraniteShares Bitcoin ETF and the GraniteShares Short Bitcoin ETF (File No. SR-CboeBZX-2018-001); Order Scheduling Filing of Statements on Review https://regulations.justia.com/regulations/fedreg/2018/10/11/2018-22084.html https://regulations.justia.com/regulations/fedreg/2018/10/11/2018-22084.html Thu, 11 Oct 2018 00:00:00 -0700 2018-22084 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-10-11/pdf/2018-22084.pdf Notice - Self-Regulatory Organizations; NYSE American LLC; Notice of Filing of Proposed Rule Change To Allow Flexible Exchange Equity Options Where the Underlying Security is an Exchange-Traded Fund That Is Included in the Option Penny Pilot To Be Settled in Cash https://regulations.justia.com/regulations/fedreg/2018/10/11/2018-22049.html https://regulations.justia.com/regulations/fedreg/2018/10/11/2018-22049.html Thu, 11 Oct 2018 00:00:00 -0700 2018-22049 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-10-11/pdf/2018-22049.pdf Notice - Self-Regulatory Organizations: Investors Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Correct Several Typographical Errors in IEX Rule 2.160 Added by a Previous Filing https://regulations.justia.com/regulations/fedreg/2018/10/11/2018-22048.html https://regulations.justia.com/regulations/fedreg/2018/10/11/2018-22048.html Thu, 11 Oct 2018 00:00:00 -0700 2018-22048 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-10-11/pdf/2018-22048.pdf Notice - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend CAB Rule 331 (Anti-Money Laundering Compliance Program) To Conform to FinCEN's Final Rule on Customer Due Diligence Requirements for Financial Institutions https://regulations.justia.com/regulations/fedreg/2018/10/11/2018-22047.html https://regulations.justia.com/regulations/fedreg/2018/10/11/2018-22047.html Thu, 11 Oct 2018 00:00:00 -0700 2018-22047 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-10-11/pdf/2018-22047.pdf Notice - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Order Approving Proposed Rule Change To Amend FINRA Rule 7730 To Remove Computer-to-Computer Interface as a Technological Option for TRACE Reporting https://regulations.justia.com/regulations/fedreg/2018/10/11/2018-22046.html https://regulations.justia.com/regulations/fedreg/2018/10/11/2018-22046.html Thu, 11 Oct 2018 00:00:00 -0700 2018-22046 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-10-11/pdf/2018-22046.pdf Notice - Self-Regulatory Organizations: Notice of Filing and Immediate Effectiveness of a Proposed Rule Change by MIAX PEARL, LLC To Amend Exchange Rule 203, Qualification and Registration of Members and Associated Persons, Relating to Registration and Qualification Examinations Required for Members and Associated Persons of Members That Engage in Trading Activities on the Exchange https://regulations.justia.com/regulations/fedreg/2018/10/11/2018-22045.html https://regulations.justia.com/regulations/fedreg/2018/10/11/2018-22045.html Thu, 11 Oct 2018 00:00:00 -0700 2018-22045 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-10-11/pdf/2018-22045.pdf Notice - Self-Regulatory Organizations; Miami International Securities Exchange, LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Exchange Rules 203, Qualification and Registration of Members and Associated Persons, 1301, Registration of Options Principals, and 1302, Registration of Representatives, Relating to Registration and Qualification Examinations Required for Members and Associated Persons of Members That Engage in Trading Activities on the Exchange https://regulations.justia.com/regulations/fedreg/2018/10/11/2018-22044.html https://regulations.justia.com/regulations/fedreg/2018/10/11/2018-22044.html Thu, 11 Oct 2018 00:00:00 -0700 2018-22044 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-10-11/pdf/2018-22044.pdf Notice - Self-Regulatory Organizations: Investors Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Modify Its Fee Schedule To Specify the Circumstances Under Which the Exchange Will Aggregate the Activity of Affiliated Members for Purposes of Applying the Provisions of Rule 11.170(a) Related to the IEMM Program https://regulations.justia.com/regulations/fedreg/2018/10/11/2018-22043.html https://regulations.justia.com/regulations/fedreg/2018/10/11/2018-22043.html Thu, 11 Oct 2018 00:00:00 -0700 2018-22043 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-10-11/pdf/2018-22043.pdf