Federal Register Recent Federal Regulation Documents - Justia Regulation Tracker - Justia Regulations Trackerhttps://regulations.justia.com/regulations/fedreg/agencies/agencies-and-commissions/securities-and-exchange-commission/2018/11?limit=200®isters=between&min-day=1&max-day=30&mode=atom2024-05-23T05:57:53-07:00Justia Inchttps://www.justia.com/Justia Regulations Trackerhttps://regulations.justia.com/images/justiafedregulations.gifCopyright 2011 Justia Inchttps://regulations.justia.com/regulations/fedreg/2018/11/30/2018-26002.htmlNotice - 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 Fees2018-11-30T00:00:00-08:002018-11-30T00:00:00-08:002018-26002Noticehttps://www.gpo.gov/fdsys/pkg/FR-2018-11-30/pdf/2018-26002.pdfhttps://regulations.justia.com/regulations/fedreg/2018/11/30/2018-26001.htmlNotice - 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-Members2018-11-30T00:00:00-08:002018-11-30T00:00:00-08:002018-26001Noticehttps://www.gpo.gov/fdsys/pkg/FR-2018-11-30/pdf/2018-26001.pdfhttps://regulations.justia.com/regulations/fedreg/2018/11/30/2018-26000.htmlNotice - 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)2018-11-30T00:00:00-08:002018-11-30T00:00:00-08:002018-26000Noticehttps://www.gpo.gov/fdsys/pkg/FR-2018-11-30/pdf/2018-26000.pdfhttps://regulations.justia.com/regulations/fedreg/2018/11/30/2018-25999.htmlNotice - 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 Fees2018-11-30T00:00:00-08:002018-11-30T00:00:00-08:002018-25999Noticehttps://www.gpo.gov/fdsys/pkg/FR-2018-11-30/pdf/2018-25999.pdfhttps://regulations.justia.com/regulations/fedreg/2018/11/30/2018-25998.htmlNotice - 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 3.32018-11-30T00:00:00-08:002018-11-30T00:00:00-08:002018-25998Noticehttps://www.gpo.gov/fdsys/pkg/FR-2018-11-30/pdf/2018-25998.pdfhttps://regulations.justia.com/regulations/fedreg/2018/11/30/2018-25997.htmlNotice - 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 Tiers2018-11-30T00:00:00-08:002018-11-30T00:00:00-08:002018-25997Noticehttps://www.gpo.gov/fdsys/pkg/FR-2018-11-30/pdf/2018-25997.pdfhttps://regulations.justia.com/regulations/fedreg/2018/11/30/2018-25996.htmlNotice - 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 Trading2018-11-30T00:00:00-08:002018-11-30T00:00:00-08:002018-25996Noticehttps://www.gpo.gov/fdsys/pkg/FR-2018-11-30/pdf/2018-25996.pdfhttps://regulations.justia.com/regulations/fedreg/2018/11/30/2018-25995.htmlNotice - 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-Members2018-11-30T00:00:00-08:002018-11-30T00:00:00-08:002018-25995Noticehttps://www.gpo.gov/fdsys/pkg/FR-2018-11-30/pdf/2018-25995.pdfhttps://regulations.justia.com/regulations/fedreg/2018/11/30/2018-25994.htmlNotice - 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 Trading2018-11-30T00:00:00-08:002018-11-30T00:00:00-08:002018-25994Noticehttps://www.gpo.gov/fdsys/pkg/FR-2018-11-30/pdf/2018-25994.pdfhttps://regulations.justia.com/regulations/fedreg/2018/11/30/2018-24376.htmlProposed Rule - Updated Disclosure Requirements and Summary Prospectus for Variable Annuity and Variable Life Insurance Contracts2018-11-30T00:00:00-08:002018-11-30T00:00:00-08:002018-24376Proposed Rulehttps://www.gpo.gov/fdsys/pkg/FR-2018-11-30/pdf/2018-24376.pdfhttps://regulations.justia.com/regulations/fedreg/2018/11/28/2018-25896.htmlNotice - Self-Regulatory Organizations; NYSE National, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Its Certificate of Incorporation and Bylaws2018-11-28T00:00:00-08:002018-11-28T00:00:00-08:002018-25896Noticehttps://www.gpo.gov/fdsys/pkg/FR-2018-11-28/pdf/2018-25896.pdfhttps://regulations.justia.com/regulations/fedreg/2018/11/27/2018-25884.htmlNotice - Self-Regulatory Organizations; Cboe C2 Exchange, Inc.; Notice of Filing of a Proposed Rule Change Relating To Adopt Complex Reserve Order Functionality2018-11-27T00:00:00-08:002018-11-27T00:00:00-08:002018-25884Noticehttps://www.gpo.gov/fdsys/pkg/FR-2018-11-27/pdf/2018-25884.pdfhttps://regulations.justia.com/regulations/fedreg/2018/11/27/2018-25883.htmlNotice - Self-Regulatory Organizations; Cboe EDGX Exchange, Inc.; Notice of Filing of a Proposed Rule Change Relating To Adopt Complex Reserve Order Functionality2018-11-27T00:00:00-08:002018-11-27T00:00:00-08:002018-25883Noticehttps://www.gpo.gov/fdsys/pkg/FR-2018-11-27/pdf/2018-25883.pdfhttps://regulations.justia.com/regulations/fedreg/2018/11/27/2018-25882.htmlNotice - 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 LLC2018-11-27T00:00:00-08:002018-11-27T00:00:00-08:002018-25882Noticehttps://www.gpo.gov/fdsys/pkg/FR-2018-11-27/pdf/2018-25882.pdfhttps://regulations.justia.com/regulations/fedreg/2018/11/27/2018-25881.htmlNotice - 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-E2018-11-27T00:00:00-08:002018-11-27T00:00:00-08:002018-25881Noticehttps://www.gpo.gov/fdsys/pkg/FR-2018-11-27/pdf/2018-25881.pdfhttps://regulations.justia.com/regulations/fedreg/2018/11/27/2018-25861.htmlProposed Rule - List of Rules To Be Reviewed Pursuant to the Regulatory Flexibility Act2018-11-27T00:00:00-08:002018-11-27T00:00:00-08:002018-25861Proposed Rulehttps://www.gpo.gov/fdsys/pkg/FR-2018-11-27/pdf/2018-25861.pdfhttps://regulations.justia.com/regulations/fedreg/2018/11/27/2018-25740.htmlNotice - 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 Rules2018-11-27T00:00:00-08:002018-11-27T00:00:00-08:002018-25740Noticehttps://www.gpo.gov/fdsys/pkg/FR-2018-11-27/pdf/2018-25740.pdfhttps://regulations.justia.com/regulations/fedreg/2018/11/27/2018-25737.htmlNotice - 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 Agreement2018-11-27T00:00:00-08:002018-11-27T00:00:00-08:002018-25737Noticehttps://www.gpo.gov/fdsys/pkg/FR-2018-11-27/pdf/2018-25737.pdfhttps://regulations.justia.com/regulations/fedreg/2018/11/27/2018-25733.htmlNotice - 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 Offer2018-11-27T00:00:00-08:002018-11-27T00:00:00-08:002018-25733Noticehttps://www.gpo.gov/fdsys/pkg/FR-2018-11-27/pdf/2018-25733.pdfhttps://regulations.justia.com/regulations/fedreg/2018/11/27/2018-25732.htmlNotice - 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 Examination2018-11-27T00:00:00-08:002018-11-27T00:00:00-08:002018-25732Noticehttps://www.gpo.gov/fdsys/pkg/FR-2018-11-27/pdf/2018-25732.pdfhttps://regulations.justia.com/regulations/fedreg/2018/11/27/2018-25720.htmlNotice - Submission for OMB Review; Comment Request2018-11-27T00:00:00-08:002018-11-27T00:00:00-08:002018-25720Noticehttps://www.gpo.gov/fdsys/pkg/FR-2018-11-27/pdf/2018-25720.pdfhttps://regulations.justia.com/regulations/fedreg/2018/11/26/2018-25748.htmlNotice - Sunshine Act Meetings2018-11-26T00:00:00-08:002018-11-26T00:00:00-08:002018-25748Noticehttps://www.gpo.gov/fdsys/pkg/FR-2018-11-26/pdf/2018-25748.pdfhttps://regulations.justia.com/regulations/fedreg/2018/11/26/2018-25739.htmlNotice - 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 Offer2018-11-26T00:00:00-08:002018-11-26T00:00:00-08:002018-25739Noticehttps://www.gpo.gov/fdsys/pkg/FR-2018-11-26/pdf/2018-25739.pdfhttps://regulations.justia.com/regulations/fedreg/2018/11/26/2018-25738.htmlNotice - 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 Agreement2018-11-26T00:00:00-08:002018-11-26T00:00:00-08:002018-25738Noticehttps://www.gpo.gov/fdsys/pkg/FR-2018-11-26/pdf/2018-25738.pdfhttps://regulations.justia.com/regulations/fedreg/2018/11/26/2018-25736.htmlNotice - 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 Changes2018-11-26T00:00:00-08:002018-11-26T00:00:00-08:002018-25736Noticehttps://www.gpo.gov/fdsys/pkg/FR-2018-11-26/pdf/2018-25736.pdfhttps://regulations.justia.com/regulations/fedreg/2018/11/26/2018-25735.htmlNotice - 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”) Fees2018-11-26T00:00:00-08:002018-11-26T00:00:00-08:002018-25735Noticehttps://www.gpo.gov/fdsys/pkg/FR-2018-11-26/pdf/2018-25735.pdfhttps://regulations.justia.com/regulations/fedreg/2018/11/26/2018-25734.htmlNotice - 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 Offer2018-11-26T00:00:00-08:002018-11-26T00:00:00-08:002018-25734Noticehttps://www.gpo.gov/fdsys/pkg/FR-2018-11-26/pdf/2018-25734.pdfhttps://regulations.justia.com/regulations/fedreg/2018/11/26/2018-25731.htmlNotice - 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 Requirements2018-11-26T00:00:00-08:002018-11-26T00:00:00-08:002018-25731Noticehttps://www.gpo.gov/fdsys/pkg/FR-2018-11-26/pdf/2018-25731.pdfhttps://regulations.justia.com/regulations/fedreg/2018/11/26/2018-25689.htmlNotice - Proposed Collection; Comment Request2018-11-26T00:00:00-08:002018-11-26T00:00:00-08:002018-25689Noticehttps://www.gpo.gov/fdsys/pkg/FR-2018-11-26/pdf/2018-25689.pdfhttps://regulations.justia.com/regulations/fedreg/2018/11/26/2018-25688.htmlNotice - Proposed Collection; Comment Request2018-11-26T00:00:00-08:002018-11-26T00:00:00-08:002018-25688Noticehttps://www.gpo.gov/fdsys/pkg/FR-2018-11-26/pdf/2018-25688.pdfhttps://regulations.justia.com/regulations/fedreg/2018/11/26/2018-25687.htmlNotice - Proposed Collection; Comment Request2018-11-26T00:00:00-08:002018-11-26T00:00:00-08:002018-25687Noticehttps://www.gpo.gov/fdsys/pkg/FR-2018-11-26/pdf/2018-25687.pdfhttps://regulations.justia.com/regulations/fedreg/2018/11/26/2018-25686.htmlNotice - Proposed Collection; Comment Request2018-11-26T00:00:00-08:002018-11-26T00:00:00-08:002018-25686Noticehttps://www.gpo.gov/fdsys/pkg/FR-2018-11-26/pdf/2018-25686.pdfhttps://regulations.justia.com/regulations/fedreg/2018/11/26/2018-25685.htmlNotice - Proposed Collection; Comment Request2018-11-26T00:00:00-08:002018-11-26T00:00:00-08:002018-25685Noticehttps://www.gpo.gov/fdsys/pkg/FR-2018-11-26/pdf/2018-25685.pdfhttps://regulations.justia.com/regulations/fedreg/2018/11/26/2018-25684.htmlNotice - Proposed Collection; Comment Request2018-11-26T00:00:00-08:002018-11-26T00:00:00-08:002018-25684Noticehttps://www.gpo.gov/fdsys/pkg/FR-2018-11-26/pdf/2018-25684.pdfhttps://regulations.justia.com/regulations/fedreg/2018/11/26/2018-25683.htmlNotice - Proposed Collection; Comment Request2018-11-26T00:00:00-08:002018-11-26T00:00:00-08:002018-25683Noticehttps://www.gpo.gov/fdsys/pkg/FR-2018-11-26/pdf/2018-25683.pdfhttps://regulations.justia.com/regulations/fedreg/2018/11/26/2018-25682.htmlNotice - Proposed Collection; Comment Request2018-11-26T00:00:00-08:002018-11-26T00:00:00-08:002018-25682Noticehttps://www.gpo.gov/fdsys/pkg/FR-2018-11-26/pdf/2018-25682.pdfhttps://regulations.justia.com/regulations/fedreg/2018/11/26/2018-25606.htmlNotice - 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 Volatility2018-11-26T00:00:00-08:002018-11-26T00:00:00-08:002018-25606Noticehttps://www.gpo.gov/fdsys/pkg/FR-2018-11-26/pdf/2018-25606.pdfhttps://regulations.justia.com/regulations/fedreg/2018/11/26/2018-25601.htmlNotice - 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 Transactions2018-11-26T00:00:00-08:002018-11-26T00:00:00-08:002018-25601Noticehttps://www.gpo.gov/fdsys/pkg/FR-2018-11-26/pdf/2018-25601.pdfhttps://regulations.justia.com/regulations/fedreg/2018/11/26/2018-25600.htmlNotice - Self-Regulatory Organizations; Cboe EDGA Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Modify Its Fee Schedule2018-11-26T00:00:00-08:002018-11-26T00:00:00-08:002018-25600Noticehttps://www.gpo.gov/fdsys/pkg/FR-2018-11-26/pdf/2018-25600.pdfhttps://regulations.justia.com/regulations/fedreg/2018/11/26/2018-25599.htmlNotice - 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)2018-11-26T00:00:00-08:002018-11-26T00:00:00-08:002018-25599Noticehttps://www.gpo.gov/fdsys/pkg/FR-2018-11-26/pdf/2018-25599.pdfhttps://regulations.justia.com/regulations/fedreg/2018/11/26/2018-25598.htmlNotice - 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 Functionality2018-11-26T00:00:00-08:002018-11-26T00:00:00-08:002018-25598Noticehttps://www.gpo.gov/fdsys/pkg/FR-2018-11-26/pdf/2018-25598.pdfhttps://regulations.justia.com/regulations/fedreg/2018/11/26/2018-25597.htmlNotice - 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 Protections2018-11-26T00:00:00-08:002018-11-26T00:00:00-08:002018-25597Noticehttps://www.gpo.gov/fdsys/pkg/FR-2018-11-26/pdf/2018-25597.pdfhttps://regulations.justia.com/regulations/fedreg/2018/11/26/2018-25596.htmlNotice - Self-Regulatory Organizations; Cboe EDGX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Adopt Reserve Orders2018-11-26T00:00:00-08:002018-11-26T00:00:00-08:002018-25596Noticehttps://www.gpo.gov/fdsys/pkg/FR-2018-11-26/pdf/2018-25596.pdfhttps://regulations.justia.com/regulations/fedreg/2018/11/26/2018-25595.htmlNotice - 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 Cash2018-11-26T00:00:00-08:002018-11-26T00:00:00-08:002018-25595Noticehttps://www.gpo.gov/fdsys/pkg/FR-2018-11-26/pdf/2018-25595.pdfhttps://regulations.justia.com/regulations/fedreg/2018/11/26/2018-25594.htmlNotice - Pacific Global ETF Trust and Cadence Capital Management LLC2018-11-26T00:00:00-08:002018-11-26T00:00:00-08:002018-25594Noticehttps://www.gpo.gov/fdsys/pkg/FR-2018-11-26/pdf/2018-25594.pdfhttps://regulations.justia.com/regulations/fedreg/2018/11/23/2018-25492.htmlNotice - Proposed Collection; Comment Request2018-11-23T00:00:00-08:002018-11-23T00:00:00-08:002018-25492Noticehttps://www.gpo.gov/fdsys/pkg/FR-2018-11-23/pdf/2018-25492.pdfhttps://regulations.justia.com/regulations/fedreg/2018/11/23/2018-25491.htmlNotice - Proposed Collection; Comment Request2018-11-23T00:00:00-08:002018-11-23T00:00:00-08:002018-25491Noticehttps://www.gpo.gov/fdsys/pkg/FR-2018-11-23/pdf/2018-25491.pdfhttps://regulations.justia.com/regulations/fedreg/2018/11/23/2018-25490.htmlNotice - Submission for OMB Review; Comment Request2018-11-23T00:00:00-08:002018-11-23T00:00:00-08:002018-25490Noticehttps://www.gpo.gov/fdsys/pkg/FR-2018-11-23/pdf/2018-25490.pdfhttps://regulations.justia.com/regulations/fedreg/2018/11/23/2018-25471.htmlNotice - 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 Statements2018-11-23T00:00:00-08:002018-11-23T00:00:00-08:002018-25471Noticehttps://www.gpo.gov/fdsys/pkg/FR-2018-11-23/pdf/2018-25471.pdfhttps://regulations.justia.com/regulations/fedreg/2018/11/23/2018-25470.htmlNotice - Self-Regulatory Organizations; Miami International Securities Exchange, LLC; Notice of Filing of a Proposed Rule Change To Amend Exchange Rule 518, Complex Orders2018-11-23T00:00:00-08:002018-11-23T00:00:00-08:002018-25470Noticehttps://www.gpo.gov/fdsys/pkg/FR-2018-11-23/pdf/2018-25470.pdf