<![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/2018/11/26?registers=between Sun, 22 Dec 2024 17:25:24 -0800 Sun, 22 Dec 2024 17:25:24 -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/2018/11/26?registers=between Notice - Sunshine Act Meetings https://regulations.justia.com/regulations/fedreg/2018/11/26/2018-25748.html https://regulations.justia.com/regulations/fedreg/2018/11/26/2018-25748.html Mon, 26 Nov 2018 00:00:00 -0800 2018-25748 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-11-26/pdf/2018-25748.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 Regarding How the System Handles Market Orders in Series With No Bid or No Offer https://regulations.justia.com/regulations/fedreg/2018/11/26/2018-25739.html https://regulations.justia.com/regulations/fedreg/2018/11/26/2018-25739.html Mon, 26 Nov 2018 00:00:00 -0800 2018-25739 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-11-26/pdf/2018-25739.pdf Notice - Self-Regulatory Organizations; NYSE American LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Article II, Section 2.03(h)(ii) and Article VI of Its Operating Agreement https://regulations.justia.com/regulations/fedreg/2018/11/26/2018-25738.html https://regulations.justia.com/regulations/fedreg/2018/11/26/2018-25738.html Mon, 26 Nov 2018 00:00:00 -0800 2018-25738 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-11-26/pdf/2018-25738.pdf Notice - Self-Regulatory Organizations; The Nasdaq Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Eliminate Expired and Obsolete Provisions in Connection With Nasdaq's Transition to an All-Inclusive Annual Fee Program, Rename Certain Existing Annual Fees as All-Inclusive Annual Listing Fees, and Make Other Related Changes https://regulations.justia.com/regulations/fedreg/2018/11/26/2018-25736.html https://regulations.justia.com/regulations/fedreg/2018/11/26/2018-25736.html Mon, 26 Nov 2018 00:00:00 -0800 2018-25736 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-11-26/pdf/2018-25736.pdf Notice - Self-Regulatory Organizations; The Nasdaq Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend The Nasdaq Options Market LLC (“NOM”) Fees https://regulations.justia.com/regulations/fedreg/2018/11/26/2018-25735.html https://regulations.justia.com/regulations/fedreg/2018/11/26/2018-25735.html Mon, 26 Nov 2018 00:00:00 -0800 2018-25735 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-11-26/pdf/2018-25735.pdf Notice - Self-Regulatory Organizations; Cboe EDGX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating To Amend Its Rules Regarding How the System Handles Market Orders in Series With No Bid or No Offer https://regulations.justia.com/regulations/fedreg/2018/11/26/2018-25734.html https://regulations.justia.com/regulations/fedreg/2018/11/26/2018-25734.html Mon, 26 Nov 2018 00:00:00 -0800 2018-25734 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-11-26/pdf/2018-25734.pdf Notice - Self-Regulatory Organizations; The Nasdaq Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Nasdaq Rule 5615(b)(4) To Change the Threshold for Qualifying as a Smaller Reporting Company To Qualify for Certain Exemptions From the Compensation Committee Requirements https://regulations.justia.com/regulations/fedreg/2018/11/26/2018-25731.html https://regulations.justia.com/regulations/fedreg/2018/11/26/2018-25731.html Mon, 26 Nov 2018 00:00:00 -0800 2018-25731 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-11-26/pdf/2018-25731.pdf Notice - Proposed Collection; Comment Request https://regulations.justia.com/regulations/fedreg/2018/11/26/2018-25689.html https://regulations.justia.com/regulations/fedreg/2018/11/26/2018-25689.html Mon, 26 Nov 2018 00:00:00 -0800 2018-25689 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-11-26/pdf/2018-25689.pdf Notice - Proposed Collection; Comment Request https://regulations.justia.com/regulations/fedreg/2018/11/26/2018-25688.html https://regulations.justia.com/regulations/fedreg/2018/11/26/2018-25688.html Mon, 26 Nov 2018 00:00:00 -0800 2018-25688 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-11-26/pdf/2018-25688.pdf Notice - Proposed Collection; Comment Request https://regulations.justia.com/regulations/fedreg/2018/11/26/2018-25687.html https://regulations.justia.com/regulations/fedreg/2018/11/26/2018-25687.html Mon, 26 Nov 2018 00:00:00 -0800 2018-25687 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-11-26/pdf/2018-25687.pdf Notice - Proposed Collection; Comment Request https://regulations.justia.com/regulations/fedreg/2018/11/26/2018-25686.html https://regulations.justia.com/regulations/fedreg/2018/11/26/2018-25686.html Mon, 26 Nov 2018 00:00:00 -0800 2018-25686 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-11-26/pdf/2018-25686.pdf Notice - Proposed Collection; Comment Request https://regulations.justia.com/regulations/fedreg/2018/11/26/2018-25685.html https://regulations.justia.com/regulations/fedreg/2018/11/26/2018-25685.html Mon, 26 Nov 2018 00:00:00 -0800 2018-25685 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-11-26/pdf/2018-25685.pdf Notice - Proposed Collection; Comment Request https://regulations.justia.com/regulations/fedreg/2018/11/26/2018-25684.html https://regulations.justia.com/regulations/fedreg/2018/11/26/2018-25684.html Mon, 26 Nov 2018 00:00:00 -0800 2018-25684 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-11-26/pdf/2018-25684.pdf Notice - Proposed Collection; Comment Request https://regulations.justia.com/regulations/fedreg/2018/11/26/2018-25683.html https://regulations.justia.com/regulations/fedreg/2018/11/26/2018-25683.html Mon, 26 Nov 2018 00:00:00 -0800 2018-25683 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-11-26/pdf/2018-25683.pdf Notice - Proposed Collection; Comment Request https://regulations.justia.com/regulations/fedreg/2018/11/26/2018-25682.html https://regulations.justia.com/regulations/fedreg/2018/11/26/2018-25682.html Mon, 26 Nov 2018 00:00:00 -0800 2018-25682 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-11-26/pdf/2018-25682.pdf Notice - Self-Regulatory Organizations; The Options Clearing Corporation; Notice of Filing of Advance Notice, as Modified by Partial Amendment No. 1, Related to The Options Clearing Corporation's Margin Methodology for Incorporating Variations in Implied Volatility https://regulations.justia.com/regulations/fedreg/2018/11/26/2018-25606.html https://regulations.justia.com/regulations/fedreg/2018/11/26/2018-25606.html Mon, 26 Nov 2018 00:00:00 -0800 2018-25606 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-11-26/pdf/2018-25606.pdf Notice - Self-Regulatory Organizations; Nasdaq PHLX LLC; Notice of Filing of Proposed Rule Change To Establish Rules Governing the Give Up of a Clearing Member by a Member Organization on Exchange Transactions https://regulations.justia.com/regulations/fedreg/2018/11/26/2018-25601.html https://regulations.justia.com/regulations/fedreg/2018/11/26/2018-25601.html Mon, 26 Nov 2018 00:00:00 -0800 2018-25601 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-11-26/pdf/2018-25601.pdf Notice - Self-Regulatory Organizations; Cboe EDGA Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Modify Its Fee Schedule https://regulations.justia.com/regulations/fedreg/2018/11/26/2018-25600.html https://regulations.justia.com/regulations/fedreg/2018/11/26/2018-25600.html Mon, 26 Nov 2018 00:00:00 -0800 2018-25600 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-11-26/pdf/2018-25600.pdf Notice - Self-Regulatory Organizations; The Nasdaq Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Correct a Typographical Error in Rule 4702(b)(7)(A) https://regulations.justia.com/regulations/fedreg/2018/11/26/2018-25599.html https://regulations.justia.com/regulations/fedreg/2018/11/26/2018-25599.html Mon, 26 Nov 2018 00:00:00 -0800 2018-25599 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-11-26/pdf/2018-25599.pdf Notice - Self-Regulatory Organizations; The Nasdaq Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Introduce a New Midpoint Trade Now Functionality https://regulations.justia.com/regulations/fedreg/2018/11/26/2018-25598.html https://regulations.justia.com/regulations/fedreg/2018/11/26/2018-25598.html Mon, 26 Nov 2018 00:00:00 -0800 2018-25598 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-11-26/pdf/2018-25598.pdf Notice - Self-Regulatory Organizations; Nasdaq PHLX LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Add Definitions to Rule 1000 and Amend Risk Protections https://regulations.justia.com/regulations/fedreg/2018/11/26/2018-25597.html https://regulations.justia.com/regulations/fedreg/2018/11/26/2018-25597.html Mon, 26 Nov 2018 00:00:00 -0800 2018-25597 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-11-26/pdf/2018-25597.pdf Notice - Self-Regulatory Organizations; Cboe EDGX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Adopt Reserve Orders https://regulations.justia.com/regulations/fedreg/2018/11/26/2018-25596.html https://regulations.justia.com/regulations/fedreg/2018/11/26/2018-25596.html Mon, 26 Nov 2018 00:00:00 -0800 2018-25596 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-11-26/pdf/2018-25596.pdf Notice - Self-Regulatory Organizations; NYSE American LLC; Notice of Designation of Longer Period for Commission Action on a 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/2018/11/26/2018-25595.html https://regulations.justia.com/regulations/fedreg/2018/11/26/2018-25595.html Mon, 26 Nov 2018 00:00:00 -0800 2018-25595 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-11-26/pdf/2018-25595.pdf Notice - Pacific Global ETF Trust and Cadence Capital Management LLC https://regulations.justia.com/regulations/fedreg/2018/11/26/2018-25594.html https://regulations.justia.com/regulations/fedreg/2018/11/26/2018-25594.html Mon, 26 Nov 2018 00:00:00 -0800 2018-25594 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-11-26/pdf/2018-25594.pdf