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?limit=200&registers=between&min-day=1&max-day=30&mode=atom 2024-05-23T05:57:53-07:00 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/2018/11/30/2018-26002.html Notice - Self-Regulatory Organizations; Cboe BZX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating To the Modification of Certain Routing Fees 2018-11-30T00:00:00-08:00 2018-11-30T00:00:00-08:00 2018-26002 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-11-30/pdf/2018-26002.pdf https://regulations.justia.com/regulations/fedreg/2018/11/30/2018-26001.html Notice - Self-Regulatory Organizations; Miami International Securities Exchange LLC; Notice of Withdrawal of a Proposed Rule Change To Amend the Fee Schedule Regarding Connectivity Fees for Members and Non-Members 2018-11-30T00:00:00-08:00 2018-11-30T00:00:00-08:00 2018-26001 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-11-30/pdf/2018-26001.pdf https://regulations.justia.com/regulations/fedreg/2018/11/30/2018-26000.html Notice - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing of a Proposed Rule Change Relating to FINRA Rule 4570 (Custodian of Books and Records) 2018-11-30T00:00:00-08:00 2018-11-30T00:00:00-08:00 2018-26000 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-11-30/pdf/2018-26000.pdf https://regulations.justia.com/regulations/fedreg/2018/11/30/2018-25999.html Notice - Self-Regulatory Organizations; Cboe BYX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to the Modification of Certain Routing Fees 2018-11-30T00:00:00-08:00 2018-11-30T00:00:00-08:00 2018-25999 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-11-30/pdf/2018-25999.pdf https://regulations.justia.com/regulations/fedreg/2018/11/30/2018-25998.html Notice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Its Certificate of Incorporation, Bylaws and Rule 3.3 2018-11-30T00:00:00-08:00 2018-11-30T00:00:00-08:00 2018-25998 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-11-30/pdf/2018-25998.pdf https://regulations.justia.com/regulations/fedreg/2018/11/30/2018-25997.html Notice - Self-Regulatory Organizations; Nasdaq PHLX LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the Exchange's Provisions for Excluding Days for Purposes of Pricing Tiers 2018-11-30T00:00:00-08:00 2018-11-30T00:00:00-08:00 2018-25997 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-11-30/pdf/2018-25997.pdf https://regulations.justia.com/regulations/fedreg/2018/11/30/2018-25996.html Notice - Self-Regulatory Organizations; NYSE American LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Rule 903, Series of Options Open for Trading 2018-11-30T00:00:00-08:00 2018-11-30T00:00:00-08:00 2018-25996 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-11-30/pdf/2018-25996.pdf https://regulations.justia.com/regulations/fedreg/2018/11/30/2018-25995.html Notice - Self-Regulatory Organizations; MIAX PEARL, LLC; Notice of Withdrawal of a Proposed Rule Change To Amend the Fee Schedule Regarding Connectivity Fees for Members and Non-Members 2018-11-30T00:00:00-08:00 2018-11-30T00:00:00-08:00 2018-25995 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-11-30/pdf/2018-25995.pdf https://regulations.justia.com/regulations/fedreg/2018/11/30/2018-25994.html Notice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Rule 6.4-O, Series of Options Open for Trading 2018-11-30T00:00:00-08:00 2018-11-30T00:00:00-08:00 2018-25994 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-11-30/pdf/2018-25994.pdf https://regulations.justia.com/regulations/fedreg/2018/11/30/2018-24376.html Proposed Rule - Updated Disclosure Requirements and Summary Prospectus for Variable Annuity and Variable Life Insurance Contracts 2018-11-30T00:00:00-08:00 2018-11-30T00:00:00-08:00 2018-24376 Proposed Rule https://www.gpo.gov/fdsys/pkg/FR-2018-11-30/pdf/2018-24376.pdf https://regulations.justia.com/regulations/fedreg/2018/11/28/2018-25896.html Notice - Self-Regulatory Organizations; NYSE National, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Its Certificate of Incorporation and Bylaws 2018-11-28T00:00:00-08:00 2018-11-28T00:00:00-08:00 2018-25896 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-11-28/pdf/2018-25896.pdf https://regulations.justia.com/regulations/fedreg/2018/11/27/2018-25884.html Notice - Self-Regulatory Organizations; Cboe C2 Exchange, Inc.; Notice of Filing of a Proposed Rule Change Relating To Adopt Complex Reserve Order Functionality 2018-11-27T00:00:00-08:00 2018-11-27T00:00:00-08:00 2018-25884 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-11-27/pdf/2018-25884.pdf https://regulations.justia.com/regulations/fedreg/2018/11/27/2018-25883.html Notice - Self-Regulatory Organizations; Cboe EDGX Exchange, Inc.; Notice of Filing of a Proposed Rule Change Relating To Adopt Complex Reserve Order Functionality 2018-11-27T00:00:00-08:00 2018-11-27T00:00:00-08:00 2018-25883 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-11-27/pdf/2018-25883.pdf https://regulations.justia.com/regulations/fedreg/2018/11/27/2018-25882.html Notice - Self-Regulatory Organizations; NYSE American LLC; Notice of Filing and Immediate Effectiveness of Proposed Change To Add to the Rules of the Exchange the Twelfth Amended and Restated Operating Agreement of the New York Stock Exchange LLC 2018-11-27T00:00:00-08:00 2018-11-27T00:00:00-08:00 2018-25882 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-11-27/pdf/2018-25882.pdf https://regulations.justia.com/regulations/fedreg/2018/11/27/2018-25881.html Notice - Self-Regulatory Organizations; NYSE Arca, Inc.; Order Instituting Proceedings To Determine Whether To Approve or Disapprove a Proposed Rule Change To List and Trade Shares of the First Trust Long Duration Opportunities ETF Under NYSE Arca Rule 8.600-E 2018-11-27T00:00:00-08:00 2018-11-27T00:00:00-08:00 2018-25881 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-11-27/pdf/2018-25881.pdf https://regulations.justia.com/regulations/fedreg/2018/11/27/2018-25861.html Proposed Rule - List of Rules To Be Reviewed Pursuant to the Regulatory Flexibility Act 2018-11-27T00:00:00-08:00 2018-11-27T00:00:00-08:00 2018-25861 Proposed Rule https://www.gpo.gov/fdsys/pkg/FR-2018-11-27/pdf/2018-25861.pdf https://regulations.justia.com/regulations/fedreg/2018/11/27/2018-25740.html Notice - Self-Regulatory Organizations; The Nasdaq Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Relocate Registration, Qualification Examination and Continuing Education Rules 2018-11-27T00:00:00-08:00 2018-11-27T00:00:00-08:00 2018-25740 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-11-27/pdf/2018-25740.pdf https://regulations.justia.com/regulations/fedreg/2018/11/27/2018-25737.html Notice - Self-Regulatory Organizations; New York Stock Exchange 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 2018-11-27T00:00:00-08:00 2018-11-27T00:00:00-08:00 2018-25737 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-11-27/pdf/2018-25737.pdf https://regulations.justia.com/regulations/fedreg/2018/11/27/2018-25733.html Notice - Self-Regulatory Organizations; Cboe BZX 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 2018-11-27T00:00:00-08:00 2018-11-27T00:00:00-08:00 2018-25733 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-11-27/pdf/2018-25733.pdf https://regulations.justia.com/regulations/fedreg/2018/11/27/2018-25732.html Notice - Self-Regulatory Organizations; Municipal Securities Rulemaking Board; Order Granting Approval 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 2018-11-27T00:00:00-08:00 2018-11-27T00:00:00-08:00 2018-25732 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-11-27/pdf/2018-25732.pdf https://regulations.justia.com/regulations/fedreg/2018/11/27/2018-25720.html Notice - Submission for OMB Review; Comment Request 2018-11-27T00:00:00-08:00 2018-11-27T00:00:00-08:00 2018-25720 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-11-27/pdf/2018-25720.pdf https://regulations.justia.com/regulations/fedreg/2018/11/26/2018-25748.html Notice - Sunshine Act Meetings 2018-11-26T00:00:00-08:00 2018-11-26T00:00:00-08:00 2018-25748 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-11-26/pdf/2018-25748.pdf https://regulations.justia.com/regulations/fedreg/2018/11/26/2018-25739.html 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 2018-11-26T00:00:00-08:00 2018-11-26T00:00:00-08:00 2018-25739 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-11-26/pdf/2018-25739.pdf https://regulations.justia.com/regulations/fedreg/2018/11/26/2018-25738.html 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 2018-11-26T00:00:00-08:00 2018-11-26T00:00:00-08:00 2018-25738 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-11-26/pdf/2018-25738.pdf https://regulations.justia.com/regulations/fedreg/2018/11/26/2018-25736.html 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 2018-11-26T00:00:00-08:00 2018-11-26T00:00:00-08:00 2018-25736 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-11-26/pdf/2018-25736.pdf https://regulations.justia.com/regulations/fedreg/2018/11/26/2018-25735.html 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 2018-11-26T00:00:00-08:00 2018-11-26T00:00:00-08:00 2018-25735 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-11-26/pdf/2018-25735.pdf https://regulations.justia.com/regulations/fedreg/2018/11/26/2018-25734.html 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 2018-11-26T00:00:00-08:00 2018-11-26T00:00:00-08:00 2018-25734 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-11-26/pdf/2018-25734.pdf https://regulations.justia.com/regulations/fedreg/2018/11/26/2018-25731.html 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 2018-11-26T00:00:00-08:00 2018-11-26T00:00:00-08:00 2018-25731 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-11-26/pdf/2018-25731.pdf https://regulations.justia.com/regulations/fedreg/2018/11/26/2018-25689.html Notice - Proposed Collection; Comment Request 2018-11-26T00:00:00-08:00 2018-11-26T00:00:00-08:00 2018-25689 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-11-26/pdf/2018-25689.pdf https://regulations.justia.com/regulations/fedreg/2018/11/26/2018-25688.html Notice - Proposed Collection; Comment Request 2018-11-26T00:00:00-08:00 2018-11-26T00:00:00-08:00 2018-25688 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-11-26/pdf/2018-25688.pdf https://regulations.justia.com/regulations/fedreg/2018/11/26/2018-25687.html Notice - Proposed Collection; Comment Request 2018-11-26T00:00:00-08:00 2018-11-26T00:00:00-08:00 2018-25687 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-11-26/pdf/2018-25687.pdf https://regulations.justia.com/regulations/fedreg/2018/11/26/2018-25686.html Notice - Proposed Collection; Comment Request 2018-11-26T00:00:00-08:00 2018-11-26T00:00:00-08:00 2018-25686 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-11-26/pdf/2018-25686.pdf https://regulations.justia.com/regulations/fedreg/2018/11/26/2018-25685.html Notice - Proposed Collection; Comment Request 2018-11-26T00:00:00-08:00 2018-11-26T00:00:00-08:00 2018-25685 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-11-26/pdf/2018-25685.pdf https://regulations.justia.com/regulations/fedreg/2018/11/26/2018-25684.html Notice - Proposed Collection; Comment Request 2018-11-26T00:00:00-08:00 2018-11-26T00:00:00-08:00 2018-25684 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-11-26/pdf/2018-25684.pdf https://regulations.justia.com/regulations/fedreg/2018/11/26/2018-25683.html Notice - Proposed Collection; Comment Request 2018-11-26T00:00:00-08:00 2018-11-26T00:00:00-08:00 2018-25683 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-11-26/pdf/2018-25683.pdf https://regulations.justia.com/regulations/fedreg/2018/11/26/2018-25682.html Notice - Proposed Collection; Comment Request 2018-11-26T00:00:00-08:00 2018-11-26T00:00:00-08:00 2018-25682 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-11-26/pdf/2018-25682.pdf https://regulations.justia.com/regulations/fedreg/2018/11/26/2018-25606.html 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 2018-11-26T00:00:00-08:00 2018-11-26T00:00:00-08:00 2018-25606 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-11-26/pdf/2018-25606.pdf https://regulations.justia.com/regulations/fedreg/2018/11/26/2018-25601.html 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 2018-11-26T00:00:00-08:00 2018-11-26T00:00:00-08:00 2018-25601 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-11-26/pdf/2018-25601.pdf https://regulations.justia.com/regulations/fedreg/2018/11/26/2018-25600.html Notice - Self-Regulatory Organizations; Cboe EDGA Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Modify Its Fee Schedule 2018-11-26T00:00:00-08:00 2018-11-26T00:00:00-08:00 2018-25600 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-11-26/pdf/2018-25600.pdf https://regulations.justia.com/regulations/fedreg/2018/11/26/2018-25599.html 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) 2018-11-26T00:00:00-08:00 2018-11-26T00:00:00-08:00 2018-25599 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-11-26/pdf/2018-25599.pdf https://regulations.justia.com/regulations/fedreg/2018/11/26/2018-25598.html 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 2018-11-26T00:00:00-08:00 2018-11-26T00:00:00-08:00 2018-25598 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-11-26/pdf/2018-25598.pdf https://regulations.justia.com/regulations/fedreg/2018/11/26/2018-25597.html 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 2018-11-26T00:00:00-08:00 2018-11-26T00:00:00-08:00 2018-25597 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-11-26/pdf/2018-25597.pdf https://regulations.justia.com/regulations/fedreg/2018/11/26/2018-25596.html Notice - Self-Regulatory Organizations; Cboe EDGX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Adopt Reserve Orders 2018-11-26T00:00:00-08:00 2018-11-26T00:00:00-08:00 2018-25596 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-11-26/pdf/2018-25596.pdf https://regulations.justia.com/regulations/fedreg/2018/11/26/2018-25595.html 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 2018-11-26T00:00:00-08:00 2018-11-26T00:00:00-08:00 2018-25595 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-11-26/pdf/2018-25595.pdf https://regulations.justia.com/regulations/fedreg/2018/11/26/2018-25594.html Notice - Pacific Global ETF Trust and Cadence Capital Management LLC 2018-11-26T00:00:00-08:00 2018-11-26T00:00:00-08:00 2018-25594 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-11-26/pdf/2018-25594.pdf https://regulations.justia.com/regulations/fedreg/2018/11/23/2018-25492.html Notice - Proposed Collection; Comment Request 2018-11-23T00:00:00-08:00 2018-11-23T00:00:00-08:00 2018-25492 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-11-23/pdf/2018-25492.pdf https://regulations.justia.com/regulations/fedreg/2018/11/23/2018-25491.html Notice - Proposed Collection; Comment Request 2018-11-23T00:00:00-08:00 2018-11-23T00:00:00-08:00 2018-25491 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-11-23/pdf/2018-25491.pdf https://regulations.justia.com/regulations/fedreg/2018/11/23/2018-25490.html Notice - Submission for OMB Review; Comment Request 2018-11-23T00:00:00-08:00 2018-11-23T00:00:00-08:00 2018-25490 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-11-23/pdf/2018-25490.pdf https://regulations.justia.com/regulations/fedreg/2018/11/23/2018-25471.html Notice - In the Matter of the BOX Exchange LLC Regarding a 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 (File No. SR-BOX-2018-24); Order Granting Petition for Review and Scheduling Filing of Statements 2018-11-23T00:00:00-08:00 2018-11-23T00:00:00-08:00 2018-25471 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-11-23/pdf/2018-25471.pdf https://regulations.justia.com/regulations/fedreg/2018/11/23/2018-25470.html Notice - Self-Regulatory Organizations; Miami International Securities Exchange, LLC; Notice of Filing of a Proposed Rule Change To Amend Exchange Rule 518, Complex Orders 2018-11-23T00:00:00-08:00 2018-11-23T00:00:00-08:00 2018-25470 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-11-23/pdf/2018-25470.pdf