<![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/2018/12/27?registers=between Fri, 18 Jul 2025 12:59:41 -0700 Fri, 18 Jul 2025 12:59:41 -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/2018/12/27?registers=between Notice - Self-Regulatory Organizations; Nasdaq ISE, LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Supplementary Material .07 to ISE Rule 722 https://regulations.justia.com/regulations/fedreg/2018/12/27/C1-2018-26405.html https://regulations.justia.com/regulations/fedreg/2018/12/27/C1-2018-26405.html Thu, 27 Dec 2018 00:00:00 -0800 C1-2018-26405 Notice https://www.govinfo.gov/content/pkg/FR-2018-12-27/pdf/C1-2018-26405.pdf Notice - Self-Regulatory Organizations; The Nasdaq Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Relocate the Exchange's Pricing Schedule https://regulations.justia.com/regulations/fedreg/2018/12/27/C1-2018-26400.html https://regulations.justia.com/regulations/fedreg/2018/12/27/C1-2018-26400.html Thu, 27 Dec 2018 00:00:00 -0800 C1-2018-26400 Notice https://www.govinfo.gov/content/pkg/FR-2018-12-27/pdf/C1-2018-26400.pdf Notice - Self-Regulatory Organizations; Cboe EDGA Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating To Eliminate the Liquidity Swap Component of the Discretionary Range Instruction https://regulations.justia.com/regulations/fedreg/2018/12/27/C1-2018-26399.html https://regulations.justia.com/regulations/fedreg/2018/12/27/C1-2018-26399.html Thu, 27 Dec 2018 00:00:00 -0800 C1-2018-26399 Notice https://www.govinfo.gov/content/pkg/FR-2018-12-27/pdf/C1-2018-26399.pdf Notice - Self-Regulatory Organizations; Nasdaq PHLX LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the Pilot Period for the Listing of P.M.-Settled Nasdaq-100 Index Options Expiring on the Third Friday of the Month https://regulations.justia.com/regulations/fedreg/2018/12/27/C1-2018-26396.html https://regulations.justia.com/regulations/fedreg/2018/12/27/C1-2018-26396.html Thu, 27 Dec 2018 00:00:00 -0800 C1-2018-26396 Notice https://www.govinfo.gov/content/pkg/FR-2018-12-27/pdf/C1-2018-26396.pdf Notice - Self-Regulatory Organizations; The Options Clearing Corporation; Notice of No Objection to 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/2018/12/27/2018-28008.html https://regulations.justia.com/regulations/fedreg/2018/12/27/2018-28008.html Thu, 27 Dec 2018 00:00:00 -0800 2018-28008 Notice https://www.govinfo.gov/content/pkg/FR-2018-12-27/pdf/2018-28008.pdf Notice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Changes Relating to ProShares Ultra Gold, ProShares UltraShort Gold, ProShares Ultra Silver, and ProShares UltraShort Silver https://regulations.justia.com/regulations/fedreg/2018/12/27/2018-28007.html https://regulations.justia.com/regulations/fedreg/2018/12/27/2018-28007.html Thu, 27 Dec 2018 00:00:00 -0800 2018-28007 Notice https://www.govinfo.gov/content/pkg/FR-2018-12-27/pdf/2018-28007.pdf Notice - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Section 902.02 of the NYSE Listed Company Manual To Modify the Investment Management Entity Group Fee Discount https://regulations.justia.com/regulations/fedreg/2018/12/27/2018-28006.html https://regulations.justia.com/regulations/fedreg/2018/12/27/2018-28006.html Thu, 27 Dec 2018 00:00:00 -0800 2018-28006 Notice https://www.govinfo.gov/content/pkg/FR-2018-12-27/pdf/2018-28006.pdf Notice - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Make Technical Revisions and One Minor Correction to the Supplemental Statement of Income Required To Be Filed Pursuant to FINRA Rule 4524 (Supplemental FOCUS Information) https://regulations.justia.com/regulations/fedreg/2018/12/27/2018-28005.html https://regulations.justia.com/regulations/fedreg/2018/12/27/2018-28005.html Thu, 27 Dec 2018 00:00:00 -0800 2018-28005 Notice https://www.govinfo.gov/content/pkg/FR-2018-12-27/pdf/2018-28005.pdf Notice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change of Amendments to Delete References to the Term “Allied Person” From Exchange Rules https://regulations.justia.com/regulations/fedreg/2018/12/27/2018-28004.html https://regulations.justia.com/regulations/fedreg/2018/12/27/2018-28004.html Thu, 27 Dec 2018 00:00:00 -0800 2018-28004 Notice https://www.govinfo.gov/content/pkg/FR-2018-12-27/pdf/2018-28004.pdf Notice - Self-Regulatory Organizations; Nasdaq ISE, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Market Makers Trading in Non-Appointed Options Classes https://regulations.justia.com/regulations/fedreg/2018/12/27/2018-28003.html https://regulations.justia.com/regulations/fedreg/2018/12/27/2018-28003.html Thu, 27 Dec 2018 00:00:00 -0800 2018-28003 Notice https://www.govinfo.gov/content/pkg/FR-2018-12-27/pdf/2018-28003.pdf Notice - Self-Regulatory Organizations; The Nasdaq Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the Order Price Protection https://regulations.justia.com/regulations/fedreg/2018/12/27/2018-28002.html https://regulations.justia.com/regulations/fedreg/2018/12/27/2018-28002.html Thu, 27 Dec 2018 00:00:00 -0800 2018-28002 Notice https://www.govinfo.gov/content/pkg/FR-2018-12-27/pdf/2018-28002.pdf Notice - Self-Regulatory Organizations; Nasdaq GEMX, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Market Makers Trading in Non-Appointed Options Classes https://regulations.justia.com/regulations/fedreg/2018/12/27/2018-28001.html https://regulations.justia.com/regulations/fedreg/2018/12/27/2018-28001.html Thu, 27 Dec 2018 00:00:00 -0800 2018-28001 Notice https://www.govinfo.gov/content/pkg/FR-2018-12-27/pdf/2018-28001.pdf Notice - Self-Regulatory Organizations; Nasdaq MRX, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Market Makers Trading in Non-Appointed Options Classes https://regulations.justia.com/regulations/fedreg/2018/12/27/2018-28000.html https://regulations.justia.com/regulations/fedreg/2018/12/27/2018-28000.html Thu, 27 Dec 2018 00:00:00 -0800 2018-28000 Notice https://www.govinfo.gov/content/pkg/FR-2018-12-27/pdf/2018-28000.pdf Notice - Self-Regulatory Organizations; NYSE Arca, Inc.; Order Instituting Proceedings To Determine Whether To Approve or Disapprove a Proposed Rule Change To Amend NYSE Arca Rule 5.2-E(j)(6) Relating to Equity Index-Linked Securities Listing Standards Set Forth in NYSE Arca Rule 5.2-E(j)(6)(B)(I) https://regulations.justia.com/regulations/fedreg/2018/12/27/2018-27999.html https://regulations.justia.com/regulations/fedreg/2018/12/27/2018-27999.html Thu, 27 Dec 2018 00:00:00 -0800 2018-27999 Notice https://www.govinfo.gov/content/pkg/FR-2018-12-27/pdf/2018-27999.pdf Notice - Self-Regulatory Organizations: Notice of Filing and Immediate Effectiveness of a Proposed Rule Change by Miami International Securities Exchange, LLC To Amend Exchange Rule 510, Minimum Price Variations and Minimum Trading Increments To Extend the Penny Pilot Program https://regulations.justia.com/regulations/fedreg/2018/12/27/2018-27998.html https://regulations.justia.com/regulations/fedreg/2018/12/27/2018-27998.html Thu, 27 Dec 2018 00:00:00 -0800 2018-27998 Notice https://www.govinfo.gov/content/pkg/FR-2018-12-27/pdf/2018-27998.pdf Notice - Self-Regulatory Organizations: Notice of Filing and Immediate Effectiveness of a Proposed Rule Change by MIAX PEARL, LLC To Amend Exchange Rule 510, Minimum Price Variations and Minimum Trading Increments To Extend the Penny Pilot Program https://regulations.justia.com/regulations/fedreg/2018/12/27/2018-27997.html https://regulations.justia.com/regulations/fedreg/2018/12/27/2018-27997.html Thu, 27 Dec 2018 00:00:00 -0800 2018-27997 Notice https://www.govinfo.gov/content/pkg/FR-2018-12-27/pdf/2018-27997.pdf Notice - Self-Regulatory Organizations; Cboe C2 Exchange, Inc.; Notice of Designation of a Longer Period for Commission Action on a Proposed Rule Change To Adopt Complex Reserve Order Functionality https://regulations.justia.com/regulations/fedreg/2018/12/27/2018-27996.html https://regulations.justia.com/regulations/fedreg/2018/12/27/2018-27996.html Thu, 27 Dec 2018 00:00:00 -0800 2018-27996 Notice https://www.govinfo.gov/content/pkg/FR-2018-12-27/pdf/2018-27996.pdf Notice - Timothy Plan and Timothy Partners, Ltd. https://regulations.justia.com/regulations/fedreg/2018/12/27/2018-27995.html https://regulations.justia.com/regulations/fedreg/2018/12/27/2018-27995.html Thu, 27 Dec 2018 00:00:00 -0800 2018-27995 Notice https://www.govinfo.gov/content/pkg/FR-2018-12-27/pdf/2018-27995.pdf Notice - Self-Regulatory Organizations; Cboe EDGX Exchange, Inc.; Notice of Designation of a Longer Period for Commission Action on a Proposed Rule Change To Adopt Complex Reserve Order Functionality https://regulations.justia.com/regulations/fedreg/2018/12/27/2018-27994.html https://regulations.justia.com/regulations/fedreg/2018/12/27/2018-27994.html Thu, 27 Dec 2018 00:00:00 -0800 2018-27994 Notice https://www.govinfo.gov/content/pkg/FR-2018-12-27/pdf/2018-27994.pdf Notice - Self-Regulatory Organizations; BOX Exchange LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To amend Rule 7260 by Extending the Penny Pilot Program Through June 30, 2019 https://regulations.justia.com/regulations/fedreg/2018/12/27/2018-27993.html https://regulations.justia.com/regulations/fedreg/2018/12/27/2018-27993.html Thu, 27 Dec 2018 00:00:00 -0800 2018-27993 Notice https://www.govinfo.gov/content/pkg/FR-2018-12-27/pdf/2018-27993.pdf Notice - Self-Regulatory Organizations; NYSE American LLC; Order Instituting Proceedings To Determine Whether To Approve or Disapprove 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/2018/12/27/2018-27992.html https://regulations.justia.com/regulations/fedreg/2018/12/27/2018-27992.html Thu, 27 Dec 2018 00:00:00 -0800 2018-27992 Notice https://www.govinfo.gov/content/pkg/FR-2018-12-27/pdf/2018-27992.pdf Notice - Self-Regulatory Organizations; NYSE American LLC.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Commentary .02 to Rule 960NY in Order to Extend the Penny Pilot in Options Classes in Certain Issues Through June 30, 2019 https://regulations.justia.com/regulations/fedreg/2018/12/27/2018-27991.html https://regulations.justia.com/regulations/fedreg/2018/12/27/2018-27991.html Thu, 27 Dec 2018 00:00:00 -0800 2018-27991 Notice https://www.govinfo.gov/content/pkg/FR-2018-12-27/pdf/2018-27991.pdf Notice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Reflecting Changes to Certain Representations Relating to the Horizons S&P 500 Covered Call ETF https://regulations.justia.com/regulations/fedreg/2018/12/27/2018-27990.html https://regulations.justia.com/regulations/fedreg/2018/12/27/2018-27990.html Thu, 27 Dec 2018 00:00:00 -0800 2018-27990 Notice https://www.govinfo.gov/content/pkg/FR-2018-12-27/pdf/2018-27990.pdf Notice - Self-Regulatory Organizations; NYSE Arca Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Commentary .02 to Rule 6.72-O in Order To Extend the Penny Pilot in Options Classes in Certain Issues Through June 30, 2019 https://regulations.justia.com/regulations/fedreg/2018/12/27/2018-27989.html https://regulations.justia.com/regulations/fedreg/2018/12/27/2018-27989.html Thu, 27 Dec 2018 00:00:00 -0800 2018-27989 Notice https://www.govinfo.gov/content/pkg/FR-2018-12-27/pdf/2018-27989.pdf Notice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Modify the NYSE Arca Options Fee Schedule in Conjunction With Relocating the Trading Floor to a New Trading Facility https://regulations.justia.com/regulations/fedreg/2018/12/27/2018-27988.html https://regulations.justia.com/regulations/fedreg/2018/12/27/2018-27988.html Thu, 27 Dec 2018 00:00:00 -0800 2018-27988 Notice https://www.govinfo.gov/content/pkg/FR-2018-12-27/pdf/2018-27988.pdf Notice - Self-Regulatory Organizations; Chicago Stock Exchange, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Article 14 of the Rules of the Exchange Related to Arbitration Proceedings https://regulations.justia.com/regulations/fedreg/2018/12/27/2018-27987.html https://regulations.justia.com/regulations/fedreg/2018/12/27/2018-27987.html Thu, 27 Dec 2018 00:00:00 -0800 2018-27987 Notice https://www.govinfo.gov/content/pkg/FR-2018-12-27/pdf/2018-27987.pdf Notice - Self-Regulatory Organizations; Chicago Stock Exchange, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Decommission the Exchange's Outbound Routing Service and the Sub-Second Non-Displayed Auction Process https://regulations.justia.com/regulations/fedreg/2018/12/27/2018-27986.html https://regulations.justia.com/regulations/fedreg/2018/12/27/2018-27986.html Thu, 27 Dec 2018 00:00:00 -0800 2018-27986 Notice https://www.govinfo.gov/content/pkg/FR-2018-12-27/pdf/2018-27986.pdf Notice - RYZZ Capital Management, LLC, et al. https://regulations.justia.com/regulations/fedreg/2018/12/27/2018-27985.html https://regulations.justia.com/regulations/fedreg/2018/12/27/2018-27985.html Thu, 27 Dec 2018 00:00:00 -0800 2018-27985 Notice https://www.govinfo.gov/content/pkg/FR-2018-12-27/pdf/2018-27985.pdf Notice - OSI ETF Trust, et al. https://regulations.justia.com/regulations/fedreg/2018/12/27/2018-27984.html https://regulations.justia.com/regulations/fedreg/2018/12/27/2018-27984.html Thu, 27 Dec 2018 00:00:00 -0800 2018-27984 Notice https://www.govinfo.gov/content/pkg/FR-2018-12-27/pdf/2018-27984.pdf Notice - Order Approving Public Company Accounting Oversight Board Budget and Annual Accounting Support Fee for Calendar Year 2019 https://regulations.justia.com/regulations/fedreg/2018/12/27/2018-27978.html https://regulations.justia.com/regulations/fedreg/2018/12/27/2018-27978.html Thu, 27 Dec 2018 00:00:00 -0800 2018-27978 Notice https://www.govinfo.gov/content/pkg/FR-2018-12-27/pdf/2018-27978.pdf