Federal Register Recent Federal Regulation Documents - Justia Regulation Tracker

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?limit=200&registers=between&min-day=1&min-month=1&max-day=31&max-month=12&mode=atom 2024-04-19T04:07:39-07:00 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/2018/12/31/2018-28400.html Notice - Self-Regulatory Organizations; The Nasdaq Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Eliminate the Extended Life Priority Order Attribute 2018-12-31T00:00:00-08:00 2018-12-31T00:00:00-08:00 2018-28400 Notice https://www.govinfo.gov/content/pkg/FR-2018-12-31/pdf/2018-28400.pdf https://regulations.justia.com/regulations/fedreg/2018/12/31/2018-28399.html Notice - Self-Regulatory Organizations; NYSE American LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Its Options Fee Schedule and Equities Price List To Extend for One Year a Fee Discount for the Partial Cabinet Solution Bundles Offered in Connection With the Exchange's Co-Location Services 2018-12-31T00:00:00-08:00 2018-12-31T00:00:00-08:00 2018-28399 Notice https://www.govinfo.gov/content/pkg/FR-2018-12-31/pdf/2018-28399.pdf https://regulations.justia.com/regulations/fedreg/2018/12/31/2018-28398.html Notice - Self-Regulatory Organizations; Municipal Securities Rulemaking Board; Notice of Filing and Immediate Effectiveness of the Content Outline for the Municipal Advisor Principal Qualification Examination and Its Associated Selection Specifications for the Examination 2018-12-31T00:00:00-08:00 2018-12-31T00:00:00-08:00 2018-28398 Notice https://www.govinfo.gov/content/pkg/FR-2018-12-31/pdf/2018-28398.pdf https://regulations.justia.com/regulations/fedreg/2018/12/31/2018-28397.html Notice - Self-Regulatory Organizations; Cboe BZX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the Halt Auction Process 2018-12-31T00:00:00-08:00 2018-12-31T00:00:00-08:00 2018-28397 Notice https://www.govinfo.gov/content/pkg/FR-2018-12-31/pdf/2018-28397.pdf https://regulations.justia.com/regulations/fedreg/2018/12/31/2018-28396.html Notice - Self-Regulatory Organizations; Cboe BZX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating To Adopt Definitions of Ports and Discontinue Bulk Order Functionality and Implement Bulk Message Functionality 2018-12-31T00:00:00-08:00 2018-12-31T00:00:00-08:00 2018-28396 Notice https://www.govinfo.gov/content/pkg/FR-2018-12-31/pdf/2018-28396.pdf https://regulations.justia.com/regulations/fedreg/2018/12/31/2018-28395.html Notice - Self-Regulatory Organizations; Cboe EDGX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating To Discontinue Bulk Order Functionality and Implement Bulk Message Functionality, and Make Other Nonsubstantive Changes 2018-12-31T00:00:00-08:00 2018-12-31T00:00:00-08:00 2018-28395 Notice https://www.govinfo.gov/content/pkg/FR-2018-12-31/pdf/2018-28395.pdf https://regulations.justia.com/regulations/fedreg/2018/12/31/2018-28394.html Notice - Regulatory Organizations; The Nasdaq Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the Entry Fee for Listing on the Exchange's Global and Global Select Market Tiers 2018-12-31T00:00:00-08:00 2018-12-31T00:00:00-08:00 2018-28394 Notice https://www.govinfo.gov/content/pkg/FR-2018-12-31/pdf/2018-28394.pdf https://regulations.justia.com/regulations/fedreg/2018/12/31/2018-28393.html Notice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing of Proposed Rule Changes Regarding Investments of the iShares Bloomberg Roll Select Commodity Strategy ETF 2018-12-31T00:00:00-08:00 2018-12-31T00:00:00-08:00 2018-28393 Notice https://www.govinfo.gov/content/pkg/FR-2018-12-31/pdf/2018-28393.pdf https://regulations.justia.com/regulations/fedreg/2018/12/31/2018-28392.html Notice - Self-Regulatory Organizations; Nasdaq BX, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend General 8 2018-12-31T00:00:00-08:00 2018-12-31T00:00:00-08:00 2018-28392 Notice https://www.govinfo.gov/content/pkg/FR-2018-12-31/pdf/2018-28392.pdf https://regulations.justia.com/regulations/fedreg/2018/12/31/2018-28391.html Notice - Self-Regulatory Organizations; ICE Clear Europe Limited; Notice of Filing of Proposed Rule Change as Modified by Amendment No. 1 Relating to the ICE Clear Europe Model Risk Governance Framework (the “MRGF”) 2018-12-31T00:00:00-08:00 2018-12-31T00:00:00-08:00 2018-28391 Notice https://www.govinfo.gov/content/pkg/FR-2018-12-31/pdf/2018-28391.pdf https://regulations.justia.com/regulations/fedreg/2018/12/31/2018-28390.html Notice - Self-Regulatory Organizations; Nasdaq GEMX, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend General 8 2018-12-31T00:00:00-08:00 2018-12-31T00:00:00-08:00 2018-28390 Notice https://www.govinfo.gov/content/pkg/FR-2018-12-31/pdf/2018-28390.pdf https://regulations.justia.com/regulations/fedreg/2018/12/31/2018-28389.html Notice - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Chapter 9 of the NYSE Listed Company Manual Relating to Fees for Business Development Companies 2018-12-31T00:00:00-08:00 2018-12-31T00:00:00-08:00 2018-28389 Notice https://www.govinfo.gov/content/pkg/FR-2018-12-31/pdf/2018-28389.pdf https://regulations.justia.com/regulations/fedreg/2018/12/31/2018-28387.html Notice - Self-Regulatory Organizations; Nasdaq ISE, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend General 8 2018-12-31T00:00:00-08:00 2018-12-31T00:00:00-08:00 2018-28387 Notice https://www.govinfo.gov/content/pkg/FR-2018-12-31/pdf/2018-28387.pdf https://regulations.justia.com/regulations/fedreg/2018/12/31/2018-28386.html Notice - Self-Regulatory Organizations; Nasdaq PHLX LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend General 8 2018-12-31T00:00:00-08:00 2018-12-31T00:00:00-08:00 2018-28386 Notice https://www.govinfo.gov/content/pkg/FR-2018-12-31/pdf/2018-28386.pdf https://regulations.justia.com/regulations/fedreg/2018/12/31/2018-28385.html Notice - Self-Regulatory Organizations; The Options Clearing Corporation; Notice of Filing of Proposed Rule Change Concerning Changes to The Options Clearing Corporation's Management Structure 2018-12-31T00:00:00-08:00 2018-12-31T00:00:00-08:00 2018-28385 Notice https://www.govinfo.gov/content/pkg/FR-2018-12-31/pdf/2018-28385.pdf https://regulations.justia.com/regulations/fedreg/2018/12/31/2018-28384.html Notice - Self-Regulatory Organizations; Cboe Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to the Penny Pilot Program 2018-12-31T00:00:00-08:00 2018-12-31T00:00:00-08:00 2018-28384 Notice https://www.govinfo.gov/content/pkg/FR-2018-12-31/pdf/2018-28384.pdf https://regulations.justia.com/regulations/fedreg/2018/12/31/2018-28383.html Notice - Self-Regulatory Organizations; Nasdaq MRX, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend General 8 2018-12-31T00:00:00-08:00 2018-12-31T00:00:00-08:00 2018-28383 Notice https://www.govinfo.gov/content/pkg/FR-2018-12-31/pdf/2018-28383.pdf https://regulations.justia.com/regulations/fedreg/2018/12/31/2018-28382.html Notice - Self-Regulatory Organizations; Cboe BZX Exchange, Inc.; Notice of Designation of a Longer Period for Commission Action on a Proposed Rule Change To List and Trade Shares of the JPMorgan Inflation Managed Bond ETF of the J.P. Morgan Exchange-Traded Fund Trust Under Rule 14.11(i), Managed Fund Shares 2018-12-31T00:00:00-08:00 2018-12-31T00:00:00-08:00 2018-28382 Notice https://www.govinfo.gov/content/pkg/FR-2018-12-31/pdf/2018-28382.pdf https://regulations.justia.com/regulations/fedreg/2018/12/31/2018-28381.html Notice - Self-Regulatory Organizations; Cboe BZX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To List and Trade, Under BZX Rule 14.11(c)(4), Shares of the VanEck Vectors Short High-Yield Municipal Index ETF of the VanEck Vectors ETF Trust 2018-12-31T00:00:00-08:00 2018-12-31T00:00:00-08:00 2018-28381 Notice https://www.govinfo.gov/content/pkg/FR-2018-12-31/pdf/2018-28381.pdf https://regulations.justia.com/regulations/fedreg/2018/12/31/2018-28380.html Notice - Self-Regulatory Organizations; Cboe EDGX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Rule 21.5, Minimum Increments, To Extend the Penny Pilot Program 2018-12-31T00:00:00-08:00 2018-12-31T00:00:00-08:00 2018-28380 Notice https://www.govinfo.gov/content/pkg/FR-2018-12-31/pdf/2018-28380.pdf https://regulations.justia.com/regulations/fedreg/2018/12/31/2018-28379.html Notice - Self-Regulatory Organizations; Cboe BZX Exchange, Inc.; Notice of Designation of a Longer Period for Commission Action on Proceedings To Determine Whether To Approve or Disapprove a Proposed Rule Change, as Modified by Amendment No. 1, To Amend BZX Rule 14.11(c) (Index Fund Shares) 2018-12-31T00:00:00-08:00 2018-12-31T00:00:00-08:00 2018-28379 Notice https://www.govinfo.gov/content/pkg/FR-2018-12-31/pdf/2018-28379.pdf https://regulations.justia.com/regulations/fedreg/2018/12/31/2018-28378.html Notice - Self-Regulatory Organizations; The Depository Trust Company; Fixed Income Clearing Corporation; National Securities Clearing Corporation; Notice of Filing and Immediate Effectiveness of Proposed Rule Changes To Revise the Clearing Agency Investment Policy 2018-12-31T00:00:00-08:00 2018-12-31T00:00:00-08:00 2018-28378 Notice https://www.govinfo.gov/content/pkg/FR-2018-12-31/pdf/2018-28378.pdf https://regulations.justia.com/regulations/fedreg/2018/12/31/2018-28377.html Notice - Self-Regulatory Organizations; Miami International Securities Exchange LLC; Notice of Designation of Longer Period for Commission Action on Proposed Rule Change To Amend Exchange Rule 518, Complex Orders 2018-12-31T00:00:00-08:00 2018-12-31T00:00:00-08:00 2018-28377 Notice https://www.govinfo.gov/content/pkg/FR-2018-12-31/pdf/2018-28377.pdf https://regulations.justia.com/regulations/fedreg/2018/12/31/2018-28376.html Notice - Self-Regulatory Organizations; Fixed Income Clearing Corporation; Notice of Filing of Proposed Rule Change To Expand Sponsoring Member Eligibility in the Government Securities Division Rulebook and Make Other Changes 2018-12-31T00:00:00-08:00 2018-12-31T00:00:00-08:00 2018-28376 Notice https://www.govinfo.gov/content/pkg/FR-2018-12-31/pdf/2018-28376.pdf https://regulations.justia.com/regulations/fedreg/2018/12/28/2018-28318.html Notice - Hercules Capital, Inc. 2018-12-28T00:00:00-08:00 2018-12-28T00:00:00-08:00 2018-28318 Notice https://www.govinfo.gov/content/pkg/FR-2018-12-28/pdf/2018-28318.pdf https://regulations.justia.com/regulations/fedreg/2018/12/28/2018-28316.html Notice - Proposed Collection; Comment Request 2018-12-28T00:00:00-08:00 2018-12-28T00:00:00-08:00 2018-28316 Notice https://www.govinfo.gov/content/pkg/FR-2018-12-28/pdf/2018-28316.pdf https://regulations.justia.com/regulations/fedreg/2018/12/28/2018-28315.html Notice - Proposed Collection; Comment Request 2018-12-28T00:00:00-08:00 2018-12-28T00:00:00-08:00 2018-28315 Notice https://www.govinfo.gov/content/pkg/FR-2018-12-28/pdf/2018-28315.pdf https://regulations.justia.com/regulations/fedreg/2018/12/28/2018-28314.html Notice - Fixed Income Market Structure Advisory Committee 2018-12-28T00:00:00-08:00 2018-12-28T00:00:00-08:00

2018-28314 Notice https://www.govinfo.gov/content/pkg/FR-2018-12-28/pdf/2018-28314.pdf https://regulations.justia.com/regulations/fedreg/2018/12/28/2018-28300.html Notice - AQR Trust and AQR Capital Management, LLC; Notice of Application 2018-12-28T00:00:00-08:00 2018-12-28T00:00:00-08:00 2018-28300 Notice https://www.govinfo.gov/content/pkg/FR-2018-12-28/pdf/2018-28300.pdf https://regulations.justia.com/regulations/fedreg/2018/12/28/2018-28291.html Notice - AQR Trust and AQR Capital Management, LLC; Notice of Application 2018-12-28T00:00:00-08:00 2018-12-28T00:00:00-08:00 2018-28291 Notice https://www.govinfo.gov/content/pkg/FR-2018-12-28/pdf/2018-28291.pdf https://regulations.justia.com/regulations/fedreg/2018/12/28/2018-28200.html Notice - TigerShares Trust, et al.; Notice of Application 2018-12-28T00:00:00-08:00 2018-12-28T00:00:00-08:00 2018-28200 Notice https://www.govinfo.gov/content/pkg/FR-2018-12-28/pdf/2018-28200.pdf https://regulations.justia.com/regulations/fedreg/2018/12/28/2018-28199.html Notice - Self-Regulatory Organizations; BOX Exchange LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Rule 7050 2018-12-28T00:00:00-08:00 2018-12-28T00:00:00-08:00 2018-28199 Notice https://www.govinfo.gov/content/pkg/FR-2018-12-28/pdf/2018-28199.pdf https://regulations.justia.com/regulations/fedreg/2018/12/28/2018-28198.html Notice - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend FINRA Rules 7610A and 7620A To Modify Certain Fees and Credits Applicable to FINRA/Nasdaq TRF Retail Participants 2018-12-28T00:00:00-08:00 2018-12-28T00:00:00-08:00 2018-28198 Notice https://www.govinfo.gov/content/pkg/FR-2018-12-28/pdf/2018-28198.pdf https://regulations.justia.com/regulations/fedreg/2018/12/28/2018-28197.html Notice - Self-Regulatory Organizations; Miami International Securities Exchange LLC; Notice of Designation of Longer Period for Commission Action on Proposed Rule Change To Amend Exchange Rule 100, Definitions; Rule 515, Execution of Orders and Quotes; and Rule 503, Openings on the Exchange 2018-12-28T00:00:00-08:00 2018-12-28T00:00:00-08:00 2018-28197 Notice https://www.govinfo.gov/content/pkg/FR-2018-12-28/pdf/2018-28197.pdf https://regulations.justia.com/regulations/fedreg/2018/12/28/2018-28196.html Notice - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Its Price List Regarding Certain Bond Trading License Fee Waivers 2018-12-28T00:00:00-08:00 2018-12-28T00:00:00-08:00 2018-28196 Notice https://www.govinfo.gov/content/pkg/FR-2018-12-28/pdf/2018-28196.pdf https://regulations.justia.com/regulations/fedreg/2018/12/28/2018-28195.html Notice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Its Options Fees and Charges and Equities Fees and Charges To Extend for One Year a Fee Discount for the Partial Cabinet Solution Bundles Offered in Connection With the Exchange's Co-Location Services 2018-12-28T00:00:00-08:00 2018-12-28T00:00:00-08:00 2018-28195 Notice https://www.govinfo.gov/content/pkg/FR-2018-12-28/pdf/2018-28195.pdf https://regulations.justia.com/regulations/fedreg/2018/12/28/2018-28194.html Notice - Self-Regulatory Organizations; Nasdaq ISE, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Supplementary Material .02 to Rule 715 2018-12-28T00:00:00-08:00 2018-12-28T00:00:00-08:00 2018-28194 Notice https://www.govinfo.gov/content/pkg/FR-2018-12-28/pdf/2018-28194.pdf https://regulations.justia.com/regulations/fedreg/2018/12/28/2018-28193.html Notice - Self-Regulatory Organizations; Chicago Stock Exchange, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Regarding Qualification, Registration and Continuing Education Requirements Applicable to Participants 2018-12-28T00:00:00-08:00 2018-12-28T00:00:00-08:00 2018-28193 Notice https://www.govinfo.gov/content/pkg/FR-2018-12-28/pdf/2018-28193.pdf https://regulations.justia.com/regulations/fedreg/2018/12/28/2018-28192.html Notice - Self-Regulatory Organizations; NYSE National, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Its Schedule of Fees and Rebates To Extend for One Year a Fee Discount for the Partial Cabinet Solution Bundles Offered in Connection With the Exchange's Co-Location Services 2018-12-28T00:00:00-08:00 2018-12-28T00:00:00-08:00 2018-28192 Notice https://www.govinfo.gov/content/pkg/FR-2018-12-28/pdf/2018-28192.pdf https://regulations.justia.com/regulations/fedreg/2018/12/28/2018-28191.html Notice - Self-Regulatory Organizations; The Depository Trust Company; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Revise the Service Guide for the Canadian-Link Service 2018-12-28T00:00:00-08:00 2018-12-28T00:00:00-08:00 2018-28191 Notice https://www.govinfo.gov/content/pkg/FR-2018-12-28/pdf/2018-28191.pdf https://regulations.justia.com/regulations/fedreg/2018/12/28/2018-28190.html Notice - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Its Price List To Extend for One Year a Fee Discount for the Partial Cabinet Solution Bundles Offered in Connection With the Exchange's Co-Location Services 2018-12-28T00:00:00-08:00 2018-12-28T00:00:00-08:00 2018-28190 Notice https://www.govinfo.gov/content/pkg/FR-2018-12-28/pdf/2018-28190.pdf https://regulations.justia.com/regulations/fedreg/2018/12/28/2018-28189.html Notice - Self-Regulatory Organizations; ICE Clear Europe Limited; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Adopt Revised Clearing Fees 2018-12-28T00:00:00-08:00 2018-12-28T00:00:00-08:00 2018-28189 Notice https://www.govinfo.gov/content/pkg/FR-2018-12-28/pdf/2018-28189.pdf https://regulations.justia.com/regulations/fedreg/2018/12/28/2018-28186.html Notice - Self-Regulatory Organizations; ICE Clear Credit LLC; Notice of Filing of Proposed Rule Change Relating to ICC's New Initiatives Approval Policy and Procedural Framework 2018-12-28T00:00:00-08:00 2018-12-28T00:00:00-08:00 2018-28186 Notice https://www.govinfo.gov/content/pkg/FR-2018-12-28/pdf/2018-28186.pdf https://regulations.justia.com/regulations/fedreg/2018/12/28/2018-28185.html Notice - Self-Regulatory Organizations; Miami International Securities Exchange LLC; Notice of Designation of Longer Period for Commission Action on Proposed Rule Change To Amend Exchange Rule 519, MIAX Order Monitor; Exchange Rule 519A, Risk Protection Monitor; and Rule 517, Quote Types Defined 2018-12-28T00:00:00-08:00 2018-12-28T00:00:00-08:00 2018-28185 Notice https://www.govinfo.gov/content/pkg/FR-2018-12-28/pdf/2018-28185.pdf https://regulations.justia.com/regulations/fedreg/2018/12/28/2018-28184.html Notice - Self-Regulatory Organizations; MIAX PEARL, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Exchange Rule 519, MIAX PEARL Order Monitor 2018-12-28T00:00:00-08:00 2018-12-28T00:00:00-08:00 2018-28184 Notice https://www.govinfo.gov/content/pkg/FR-2018-12-28/pdf/2018-28184.pdf https://regulations.justia.com/regulations/fedreg/2018/12/28/2018-28183.html Notice - Self-Regulatory Organizations; NYSE National, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Change To Make Non-Substantive Changes to Its Certificate of Incorporation 2018-12-28T00:00:00-08:00 2018-12-28T00:00:00-08:00 2018-28183 Notice https://www.govinfo.gov/content/pkg/FR-2018-12-28/pdf/2018-28183.pdf https://regulations.justia.com/regulations/fedreg/2018/12/28/2018-28182.html Notice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating To Listing and Trading of Shares of iShares Gold Trust Micro Under NYSE Arca Rule 8.201-E 2018-12-28T00:00:00-08:00 2018-12-28T00:00:00-08:00 2018-28182 Notice https://www.govinfo.gov/content/pkg/FR-2018-12-28/pdf/2018-28182.pdf https://regulations.justia.com/regulations/fedreg/2018/12/28/2018-28181.html Notice - Self-Regulatory Organizations; The Nasdaq Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the Exchange's All-Inclusive Annual Listing Fees for American Depositary Receipts 2018-12-28T00:00:00-08:00 2018-12-28T00:00:00-08:00 2018-28181 Notice https://www.govinfo.gov/content/pkg/FR-2018-12-28/pdf/2018-28181.pdf https://regulations.justia.com/regulations/fedreg/2018/12/28/2018-28180.html Notice - Self-Regulatory Organizations; The Options Clearing Corporation; Order Approving Proposed Rule Change, as Modified by Partial Amendment No. 1, Related to The Options Clearing Corporation's Margin Methodology for Incorporating Variations in Implied Volatility 2018-12-28T00:00:00-08:00 2018-12-28T00:00:00-08:00 2018-28180 Notice https://www.govinfo.gov/content/pkg/FR-2018-12-28/pdf/2018-28180.pdf https://regulations.justia.com/regulations/fedreg/2018/12/28/2018-28179.html Notice - In the Matter of the Application of MIAX EMERALD, LLC for Registration as a National Securities Exchange; Findings, Opinion, and Order of the Commission 2018-12-28T00:00:00-08:00 2018-12-28T00:00:00-08:00 2018-28179 Notice https://www.govinfo.gov/content/pkg/FR-2018-12-28/pdf/2018-28179.pdf https://regulations.justia.com/regulations/fedreg/2018/12/27/C1-2018-26405.html 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 2018-12-27T00:00:00-08:00 2018-12-27T00:00:00-08:00 C1-2018-26405 Notice https://www.govinfo.gov/content/pkg/FR-2018-12-27/pdf/C1-2018-26405.pdf https://regulations.justia.com/regulations/fedreg/2018/12/27/C1-2018-26400.html 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 2018-12-27T00:00:00-08:00 2018-12-27T00:00:00-08:00 C1-2018-26400 Notice https://www.govinfo.gov/content/pkg/FR-2018-12-27/pdf/C1-2018-26400.pdf https://regulations.justia.com/regulations/fedreg/2018/12/27/C1-2018-26399.html 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 2018-12-27T00:00:00-08:00 2018-12-27T00:00:00-08:00 C1-2018-26399 Notice https://www.govinfo.gov/content/pkg/FR-2018-12-27/pdf/C1-2018-26399.pdf https://regulations.justia.com/regulations/fedreg/2018/12/27/C1-2018-26396.html 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 2018-12-27T00:00:00-08:00 2018-12-27T00:00:00-08:00 C1-2018-26396 Notice https://www.govinfo.gov/content/pkg/FR-2018-12-27/pdf/C1-2018-26396.pdf https://regulations.justia.com/regulations/fedreg/2018/12/27/2018-28008.html 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 2018-12-27T00:00:00-08:00 2018-12-27T00:00:00-08:00 2018-28008 Notice https://www.govinfo.gov/content/pkg/FR-2018-12-27/pdf/2018-28008.pdf https://regulations.justia.com/regulations/fedreg/2018/12/27/2018-28007.html 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 2018-12-27T00:00:00-08:00 2018-12-27T00:00:00-08:00 2018-28007 Notice https://www.govinfo.gov/content/pkg/FR-2018-12-27/pdf/2018-28007.pdf https://regulations.justia.com/regulations/fedreg/2018/12/27/2018-28006.html 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 2018-12-27T00:00:00-08:00 2018-12-27T00:00:00-08:00 2018-28006 Notice https://www.govinfo.gov/content/pkg/FR-2018-12-27/pdf/2018-28006.pdf https://regulations.justia.com/regulations/fedreg/2018/12/27/2018-28005.html 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) 2018-12-27T00:00:00-08:00 2018-12-27T00:00:00-08:00 2018-28005 Notice https://www.govinfo.gov/content/pkg/FR-2018-12-27/pdf/2018-28005.pdf https://regulations.justia.com/regulations/fedreg/2018/12/27/2018-28004.html 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 2018-12-27T00:00:00-08:00 2018-12-27T00:00:00-08:00 2018-28004 Notice https://www.govinfo.gov/content/pkg/FR-2018-12-27/pdf/2018-28004.pdf https://regulations.justia.com/regulations/fedreg/2018/12/27/2018-28003.html 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 2018-12-27T00:00:00-08:00 2018-12-27T00:00:00-08:00 2018-28003 Notice https://www.govinfo.gov/content/pkg/FR-2018-12-27/pdf/2018-28003.pdf https://regulations.justia.com/regulations/fedreg/2018/12/27/2018-28002.html 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 2018-12-27T00:00:00-08:00 2018-12-27T00:00:00-08:00 2018-28002 Notice https://www.govinfo.gov/content/pkg/FR-2018-12-27/pdf/2018-28002.pdf https://regulations.justia.com/regulations/fedreg/2018/12/27/2018-28001.html 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 2018-12-27T00:00:00-08:00 2018-12-27T00:00:00-08:00 2018-28001 Notice https://www.govinfo.gov/content/pkg/FR-2018-12-27/pdf/2018-28001.pdf https://regulations.justia.com/regulations/fedreg/2018/12/27/2018-28000.html 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 2018-12-27T00:00:00-08:00 2018-12-27T00:00:00-08:00 2018-28000 Notice https://www.govinfo.gov/content/pkg/FR-2018-12-27/pdf/2018-28000.pdf https://regulations.justia.com/regulations/fedreg/2018/12/27/2018-27999.html 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) 2018-12-27T00:00:00-08:00 2018-12-27T00:00:00-08:00 2018-27999 Notice https://www.govinfo.gov/content/pkg/FR-2018-12-27/pdf/2018-27999.pdf https://regulations.justia.com/regulations/fedreg/2018/12/27/2018-27998.html 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 2018-12-27T00:00:00-08:00 2018-12-27T00:00:00-08:00 2018-27998 Notice https://www.govinfo.gov/content/pkg/FR-2018-12-27/pdf/2018-27998.pdf https://regulations.justia.com/regulations/fedreg/2018/12/27/2018-27997.html 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 2018-12-27T00:00:00-08:00 2018-12-27T00:00:00-08:00 2018-27997 Notice https://www.govinfo.gov/content/pkg/FR-2018-12-27/pdf/2018-27997.pdf https://regulations.justia.com/regulations/fedreg/2018/12/27/2018-27996.html 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 2018-12-27T00:00:00-08:00 2018-12-27T00:00:00-08:00 2018-27996 Notice https://www.govinfo.gov/content/pkg/FR-2018-12-27/pdf/2018-27996.pdf https://regulations.justia.com/regulations/fedreg/2018/12/27/2018-27995.html Notice - Timothy Plan and Timothy Partners, Ltd. 2018-12-27T00:00:00-08:00 2018-12-27T00:00:00-08:00

2018-27995 Notice https://www.govinfo.gov/content/pkg/FR-2018-12-27/pdf/2018-27995.pdf https://regulations.justia.com/regulations/fedreg/2018/12/27/2018-27994.html 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 2018-12-27T00:00:00-08:00 2018-12-27T00:00:00-08:00 2018-27994 Notice https://www.govinfo.gov/content/pkg/FR-2018-12-27/pdf/2018-27994.pdf https://regulations.justia.com/regulations/fedreg/2018/12/27/2018-27993.html 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 2018-12-27T00:00:00-08:00 2018-12-27T00:00:00-08:00 2018-27993 Notice https://www.govinfo.gov/content/pkg/FR-2018-12-27/pdf/2018-27993.pdf https://regulations.justia.com/regulations/fedreg/2018/12/27/2018-27992.html 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 2018-12-27T00:00:00-08:00 2018-12-27T00:00:00-08:00 2018-27992 Notice https://www.govinfo.gov/content/pkg/FR-2018-12-27/pdf/2018-27992.pdf https://regulations.justia.com/regulations/fedreg/2018/12/27/2018-27991.html 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 2018-12-27T00:00:00-08:00 2018-12-27T00:00:00-08:00 2018-27991 Notice https://www.govinfo.gov/content/pkg/FR-2018-12-27/pdf/2018-27991.pdf https://regulations.justia.com/regulations/fedreg/2018/12/27/2018-27990.html 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 2018-12-27T00:00:00-08:00 2018-12-27T00:00:00-08:00 2018-27990 Notice https://www.govinfo.gov/content/pkg/FR-2018-12-27/pdf/2018-27990.pdf https://regulations.justia.com/regulations/fedreg/2018/12/27/2018-27989.html 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 2018-12-27T00:00:00-08:00 2018-12-27T00:00:00-08:00 2018-27989 Notice https://www.govinfo.gov/content/pkg/FR-2018-12-27/pdf/2018-27989.pdf https://regulations.justia.com/regulations/fedreg/2018/12/27/2018-27988.html 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 2018-12-27T00:00:00-08:00 2018-12-27T00:00:00-08:00 2018-27988 Notice https://www.govinfo.gov/content/pkg/FR-2018-12-27/pdf/2018-27988.pdf https://regulations.justia.com/regulations/fedreg/2018/12/27/2018-27987.html 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 2018-12-27T00:00:00-08:00 2018-12-27T00:00:00-08:00 2018-27987 Notice https://www.govinfo.gov/content/pkg/FR-2018-12-27/pdf/2018-27987.pdf https://regulations.justia.com/regulations/fedreg/2018/12/27/2018-27986.html 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 2018-12-27T00:00:00-08:00 2018-12-27T00:00:00-08:00 2018-27986 Notice https://www.govinfo.gov/content/pkg/FR-2018-12-27/pdf/2018-27986.pdf https://regulations.justia.com/regulations/fedreg/2018/12/27/2018-27985.html Notice - RYZZ Capital Management, LLC, et al. 2018-12-27T00:00:00-08:00 2018-12-27T00:00:00-08:00 2018-27985 Notice https://www.govinfo.gov/content/pkg/FR-2018-12-27/pdf/2018-27985.pdf https://regulations.justia.com/regulations/fedreg/2018/12/27/2018-27984.html Notice - OSI ETF Trust, et al. 2018-12-27T00:00:00-08:00 2018-12-27T00:00:00-08:00 2018-27984 Notice https://www.govinfo.gov/content/pkg/FR-2018-12-27/pdf/2018-27984.pdf https://regulations.justia.com/regulations/fedreg/2018/12/27/2018-27978.html Notice - Order Approving Public Company Accounting Oversight Board Budget and Annual Accounting Support Fee for Calendar Year 2019 2018-12-27T00:00:00-08:00 2018-12-27T00:00:00-08:00 2018-27978 Notice https://www.govinfo.gov/content/pkg/FR-2018-12-27/pdf/2018-27978.pdf https://regulations.justia.com/regulations/fedreg/2018/12/26/2018-27827.html Rule - Adoption of Updated EDGAR Filer Manual 2018-12-26T00:00:00-08:00 2018-12-26T00:00:00-08:00

2018-27827 Rule https://www.govinfo.gov/content/pkg/FR-2018-12-26/pdf/2018-27827.pdf https://regulations.justia.com/regulations/fedreg/2018/12/26/2018-27822.html Notice - Self-Regulatory Organizations; Nasdaq BX, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Extend the Pilot Period for the Exchange's Retail Price Improvement Program Until June 30, 2019 2018-12-26T00:00:00-08:00 2018-12-26T00:00:00-08:00 2018-27822 Notice https://www.govinfo.gov/content/pkg/FR-2018-12-26/pdf/2018-27822.pdf https://regulations.justia.com/regulations/fedreg/2018/12/26/2018-27821.html Notice - Self-Regulatory Organizations; Nasdaq BX, Inc.; Order Granting an Extension to Limited Exemptions From Rule 612(c) of Regulation NMS In Connection With the Exchange's Retail Price Improvement Program Until June 30, 2019 2018-12-26T00:00:00-08:00 2018-12-26T00:00:00-08:00 2018-27821 Notice https://www.govinfo.gov/content/pkg/FR-2018-12-26/pdf/2018-27821.pdf https://regulations.justia.com/regulations/fedreg/2018/12/26/2018-27820.html Notice - Self-Regulatory Organization; Cboe BYX Exchange, Inc.; Order Granting an Extension to Limited Exemption From Rule 612(c) of Regulation NMS in Connection With the Exchange's Retail Price Improvement Program 2018-12-26T00:00:00-08:00 2018-12-26T00:00:00-08:00 2018-27820 Notice https://www.govinfo.gov/content/pkg/FR-2018-12-26/pdf/2018-27820.pdf https://regulations.justia.com/regulations/fedreg/2018/12/26/2018-27819.html Notice - Joint Industry Plan; Notice of Filing of the Eighteenth Amendment to the National Market System Plan To Address Extraordinary Market Volatility by Cboe BYX Exchange, Inc., Cboe BZX Exchange, Inc., Cboe EDGA Exchange, Inc., Cboe EDGX Exchange, Inc., Chicago Stock Exchange, Inc., Financial Industry Regulatory Authority, Inc., Investors Exchange LLC, NASDAQ BX, Inc., NASDAQ PHLX LLC, The Nasdaq Stock Market LLC, NYSE National, Inc., New York Stock Exchange LLC, NYSE American LLC, and NYSE Arca, Inc. 2018-12-26T00:00:00-08:00 2018-12-26T00:00:00-08:00 2018-27819 Notice https://www.govinfo.gov/content/pkg/FR-2018-12-26/pdf/2018-27819.pdf https://regulations.justia.com/regulations/fedreg/2018/12/26/2018-27816.html Notice - Self-Regulatory Organizations; Cboe BZX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the Fee Schedule 2018-12-26T00:00:00-08:00 2018-12-26T00:00:00-08:00 2018-27816 Notice https://www.govinfo.gov/content/pkg/FR-2018-12-26/pdf/2018-27816.pdf https://regulations.justia.com/regulations/fedreg/2018/12/26/2018-26337.html Rule - Modernization of Property Disclosures for Mining Registrants 2018-12-26T00:00:00-08:00 2018-12-26T00:00:00-08:00

2018-26337 Rule https://www.govinfo.gov/content/pkg/FR-2018-12-26/pdf/2018-26337.pdf https://regulations.justia.com/regulations/fedreg/2018/12/21/2018-27829.html Notice - Sunshine Act Meetings 2018-12-21T00:00:00-08:00 2018-12-21T00:00:00-08:00 2018-27829 Notice https://www.govinfo.gov/content/pkg/FR-2018-12-21/pdf/2018-27829.pdf https://regulations.justia.com/regulations/fedreg/2018/12/21/2018-27663.html Proposed Rule - Request for Comment on Earnings Releases and Quarterly Reports 2018-12-21T00:00:00-08:00 2018-12-21T00:00:00-08:00

2018-27663 Proposed Rule https://www.govinfo.gov/content/pkg/FR-2018-12-21/pdf/2018-27663.pdf https://regulations.justia.com/regulations/fedreg/2018/12/21/2018-27628.html Notice - Ai Funds, Inc. and Deep A.I. ETF Trust 2018-12-21T00:00:00-08:00 2018-12-21T00:00:00-08:00 2018-27628 Notice https://www.govinfo.gov/content/pkg/FR-2018-12-21/pdf/2018-27628.pdf https://regulations.justia.com/regulations/fedreg/2018/12/21/2018-27621.html Notice - Self-Regulatory Organizations; Nasdaq BX, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the Exchange's Transaction Fees at Equity 7, Section 118 2018-12-21T00:00:00-08:00 2018-12-21T00:00:00-08:00 2018-27621 Notice https://www.govinfo.gov/content/pkg/FR-2018-12-21/pdf/2018-27621.pdf https://regulations.justia.com/regulations/fedreg/2018/12/21/2018-27619.html Notice - Self-Regulatory Organizations; ICE Clear Europe Limited; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Amendments to the Business Continuity Procedures (the “Business Continuity Procedures”) 2018-12-21T00:00:00-08:00 2018-12-21T00:00:00-08:00 2018-27619 Notice https://www.govinfo.gov/content/pkg/FR-2018-12-21/pdf/2018-27619.pdf https://regulations.justia.com/regulations/fedreg/2018/12/21/2018-27618.html Notice - Self-Regulatory Organizations; Cboe BYX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Extend the Pilot Period for the Exchange's Retail Price Improvement Program 2018-12-21T00:00:00-08:00 2018-12-21T00:00:00-08:00 2018-27618 Notice https://www.govinfo.gov/content/pkg/FR-2018-12-21/pdf/2018-27618.pdf https://regulations.justia.com/regulations/fedreg/2018/12/21/2018-27617.html Notice - Self-Regulatory Organizations; Nasdaq PHLX LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the Pilot Period for the Exchange's Nonstandard Expirations Pilot Program 2018-12-21T00:00:00-08:00 2018-12-21T00:00:00-08:00 2018-27617 Notice https://www.govinfo.gov/content/pkg/FR-2018-12-21/pdf/2018-27617.pdf https://regulations.justia.com/regulations/fedreg/2018/12/21/2018-27616.html Notice - Self-Regulatory Organizations; Cboe BZX Exchange, Inc.; Notice of Withdrawal of a Proposed Rule Change To List and Trade Shares of the Principal Morley Short Duration Index ETF Under Rule 14.11(c)(4) 2018-12-21T00:00:00-08:00 2018-12-21T00:00:00-08:00 2018-27616 Notice https://www.govinfo.gov/content/pkg/FR-2018-12-21/pdf/2018-27616.pdf https://regulations.justia.com/regulations/fedreg/2018/12/21/2018-27615.html Notice - Self-Regulatory Organizations; Municipal Securities Rulemaking Board; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to the MSRB's Facility for the Electronic Municipal Market Access System (EMMA) 2018-12-21T00:00:00-08:00 2018-12-21T00:00:00-08:00 2018-27615 Notice https://www.govinfo.gov/content/pkg/FR-2018-12-21/pdf/2018-27615.pdf https://regulations.justia.com/regulations/fedreg/2018/12/21/2018-27612.html Notice - Self-Regulatory Organizations; The Options Clearing Corporation; Order Approving Proposed Rule Change To Extend Term Limits for Member Directors Serving on The Options Clearing Corporation's Board of Directors 2018-12-21T00:00:00-08:00 2018-12-21T00:00:00-08:00 2018-27612 Notice https://www.govinfo.gov/content/pkg/FR-2018-12-21/pdf/2018-27612.pdf https://regulations.justia.com/regulations/fedreg/2018/12/21/2018-27611.html Notice - Self-Regulatory Organizations; Cboe EDGX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating To Amend the Exchange's Fee Schedule Applicable to Its Equities Trading Platform 2018-12-21T00:00:00-08:00 2018-12-21T00:00:00-08:00 2018-27611 Notice https://www.govinfo.gov/content/pkg/FR-2018-12-21/pdf/2018-27611.pdf https://regulations.justia.com/regulations/fedreg/2018/12/20/2018-27753.html Notice - Sunshine Act Meetings 2018-12-20T00:00:00-08:00 2018-12-20T00:00:00-08:00 2018-27753 Notice https://www.govinfo.gov/content/pkg/FR-2018-12-20/pdf/2018-27753.pdf https://regulations.justia.com/regulations/fedreg/2018/12/20/2018-27576.html Notice - Hoya Capital Real Estate, LLC, et al. 2018-12-20T00:00:00-08:00 2018-12-20T00:00:00-08:00 2018-27576 Notice https://www.govinfo.gov/content/pkg/FR-2018-12-20/pdf/2018-27576.pdf https://regulations.justia.com/regulations/fedreg/2018/12/20/2018-27516.html Notice - Investment Managers Series Trust and 361 Capital, LLC 2018-12-20T00:00:00-08:00 2018-12-20T00:00:00-08:00 2018-27516 Notice https://www.govinfo.gov/content/pkg/FR-2018-12-20/pdf/2018-27516.pdf https://regulations.justia.com/regulations/fedreg/2018/12/20/2018-27512.html Notice - Self-Regulatory Organizations; BOX Exchange LLC; Notice of Filing of a Proposed Rule Change To Amend the Fee Schedule on the BOX Market LLC (“BOX”) Options Facility To Establish BOX Connectivity Fees for Participants and Non-Participants Who Connect to the BOX Network; Suspension of and Order Instituting Proceedings To Determine Whether To Approve or Disapprove the Proposed Rule Change 2018-12-20T00:00:00-08:00 2018-12-20T00:00:00-08:00 2018-27512 Notice https://www.govinfo.gov/content/pkg/FR-2018-12-20/pdf/2018-27512.pdf https://regulations.justia.com/regulations/fedreg/2018/12/20/2018-27511.html Notice - Self-Regulatory Organizations; The Nasdaq Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the Exchange's Transaction Fees at Options 7, Section 2(1) 2018-12-20T00:00:00-08:00 2018-12-20T00:00:00-08:00 2018-27511 Notice https://www.govinfo.gov/content/pkg/FR-2018-12-20/pdf/2018-27511.pdf https://regulations.justia.com/regulations/fedreg/2018/12/20/2018-27510.html Notice - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing of Proposed Rule Change Amending Sections 312.03 and 312.04 of the Listed Company Manual To Amend the Price Requirements for Certain Exceptions From the Shareholder Approval Rules 2018-12-20T00:00:00-08:00 2018-12-20T00:00:00-08:00 2018-27510 Notice https://www.govinfo.gov/content/pkg/FR-2018-12-20/pdf/2018-27510.pdf https://regulations.justia.com/regulations/fedreg/2018/12/20/2018-27509.html Notice - Self-Regulatory Organizations; NYSE Arca, Inc.; Order Approving a Proposed Rule Change, as Modified by Amendment No. 2, Regarding the Continued Listing and Trading of Shares of the Natixis Loomis Sayles Short Duration Income ETF 2018-12-20T00:00:00-08:00 2018-12-20T00:00:00-08:00 2018-27509 Notice https://www.govinfo.gov/content/pkg/FR-2018-12-20/pdf/2018-27509.pdf https://regulations.justia.com/regulations/fedreg/2018/12/19/2018-27411.html Notice - Self-Regulatory Organizations; BOX Exchange LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the Fee Schedule on the BOX Options Market LLC (“BOX”) Facility To Establish Separate Fees and Credits on PIP and COPIP Transactions for SPY Options 2018-12-19T00:00:00-08:00 2018-12-19T00:00:00-08:00 2018-27411 Notice https://www.govinfo.gov/content/pkg/FR-2018-12-19/pdf/2018-27411.pdf https://regulations.justia.com/regulations/fedreg/2018/12/19/2018-27409.html Notice - Self-Regulatory Organizations; The Nasdaq Stock Market LLC; Notice of Filing of Proposed Rule Change To Amend Nasdaq Rules 5705 and 5710 To Adopt a Disclosure Requirement for Certain Securities 2018-12-19T00:00:00-08:00 2018-12-19T00:00:00-08:00 2018-27409 Notice https://www.govinfo.gov/content/pkg/FR-2018-12-19/pdf/2018-27409.pdf https://regulations.justia.com/regulations/fedreg/2018/12/19/2018-27408.html Notice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending the NYSE Arca Equities Fees and Charges 2018-12-19T00:00:00-08:00 2018-12-19T00:00:00-08:00 2018-27408 Notice https://www.govinfo.gov/content/pkg/FR-2018-12-19/pdf/2018-27408.pdf https://regulations.justia.com/regulations/fedreg/2018/12/19/2018-27407.html Notice - Self-Regulatory Organizations; NYSE Arca, Inc.; Order Approving a Proposed Rule Change, as Modified by Amendment No. 1 Thereto, Regarding the Listing and Trading of Shares of the PGIM Ultra Short Bond ETF 2018-12-19T00:00:00-08:00 2018-12-19T00:00:00-08:00 2018-27407 Notice https://www.govinfo.gov/content/pkg/FR-2018-12-19/pdf/2018-27407.pdf https://regulations.justia.com/regulations/fedreg/2018/12/19/2018-27406.html Notice - Self-Regulatory Organizations; Cboe BZX Exchange, Inc.; Notice of Designation of a Longer Period for Commission Action on Proposed Rule Change To Permit the Listing and Trading of P.M.-Settled Series on Certain Broad-Based Index Options on a Pilot Basis 2018-12-19T00:00:00-08:00 2018-12-19T00:00:00-08:00 2018-27406 Notice https://www.govinfo.gov/content/pkg/FR-2018-12-19/pdf/2018-27406.pdf https://regulations.justia.com/regulations/fedreg/2018/12/19/2018-27405.html Notice - Self-Regulatory Organizations; ICE Clear Europe Limited; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to the F&O Stress Testing Policy 1 2018-12-19T00:00:00-08:00 2018-12-19T00:00:00-08:00 2018-27405 Notice https://www.govinfo.gov/content/pkg/FR-2018-12-19/pdf/2018-27405.pdf https://regulations.justia.com/regulations/fedreg/2018/12/19/2018-27404.html Notice - Self-Regulatory Organizations; Cboe EDGX Exchange, Inc.; Notice of Designation of a Longer Period for Commission Action on Proposed Rule Change To Permit the Listing and Trading of P.M.-Settled Series on Certain Broad-Based Index Options on a Pilot Basis 2018-12-19T00:00:00-08:00 2018-12-19T00:00:00-08:00 2018-27404 Notice https://www.govinfo.gov/content/pkg/FR-2018-12-19/pdf/2018-27404.pdf https://regulations.justia.com/regulations/fedreg/2018/12/19/2018-27403.html Notice - Self-Regulatory Organizations; Investors Exchange LLC; Notice of Filing of Proposed Rule Change To Modify the Resting Price of Discretionary Peg Orders December 13, 2018. 2018-12-19T00:00:00-08:00 2018-12-19T00:00:00-08:00 2018-27403 Notice https://www.govinfo.gov/content/pkg/FR-2018-12-19/pdf/2018-27403.pdf https://regulations.justia.com/regulations/fedreg/2018/12/18/2018-27417.html Notice - Sunshine Act Meetings 2018-12-18T00:00:00-08:00 2018-12-18T00:00:00-08:00 2018-27417 Notice https://www.govinfo.gov/content/pkg/FR-2018-12-18/pdf/2018-27417.pdf https://regulations.justia.com/regulations/fedreg/2018/12/18/2018-27281.html Notice - Self-Regulatory Organizations; Municipal Securities Rulemaking Board; Order Granting Approval of a Proposed Rule Change Concerning Certain Data Elements on Form G-45 Under MSRB Rule G-45, on Reporting of Information on Municipal Fund Securities 2018-12-18T00:00:00-08:00 2018-12-18T00:00:00-08:00 2018-27281 Notice https://www.govinfo.gov/content/pkg/FR-2018-12-18/pdf/2018-27281.pdf https://regulations.justia.com/regulations/fedreg/2018/12/18/2018-27280.html Notice - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing of Proposed Rule Change To Amend Rule 7.31 Relating to Discretionary Orders, Auction-Only Orders, Discretionary Modifier, and Yielding Modifier and Related Amendments to Rules 7.16, 7.34, 7.36, and 7.37 2018-12-18T00:00:00-08:00 2018-12-18T00:00:00-08:00 2018-27280 Notice https://www.govinfo.gov/content/pkg/FR-2018-12-18/pdf/2018-27280.pdf https://regulations.justia.com/regulations/fedreg/2018/12/18/2018-27279.html Notice - Self-Regulatory Organizations; NYSE National, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Its Schedule of Fees and Rebates 2018-12-18T00:00:00-08:00 2018-12-18T00:00:00-08:00 2018-27279 Notice https://www.govinfo.gov/content/pkg/FR-2018-12-18/pdf/2018-27279.pdf https://regulations.justia.com/regulations/fedreg/2018/12/18/2018-27278.html Notice - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing of Proposed Rule Change To Amend Rule 123C To Extend the Cut-Off Times for Order Entry and Cancellation for Participation in the Closing Auction and When the Exchange Will Begin Disseminating Order Imbalance Information for the Closing Auction 2018-12-18T00:00:00-08:00 2018-12-18T00:00:00-08:00 2018-27278 Notice https://www.govinfo.gov/content/pkg/FR-2018-12-18/pdf/2018-27278.pdf https://regulations.justia.com/regulations/fedreg/2018/12/18/2018-27270.html Notice - Submission for OMB Review; Comment Request 2018-12-18T00:00:00-08:00 2018-12-18T00:00:00-08:00 2018-27270 Notice https://www.govinfo.gov/content/pkg/FR-2018-12-18/pdf/2018-27270.pdf https://regulations.justia.com/regulations/fedreg/2018/12/18/2018-27267.html Notice - Submission for OMB Review; Comment Request 2018-12-18T00:00:00-08:00 2018-12-18T00:00:00-08:00 2018-27267 Notice https://www.govinfo.gov/content/pkg/FR-2018-12-18/pdf/2018-27267.pdf https://regulations.justia.com/regulations/fedreg/2018/12/18/2018-27266.html Notice - Submission for OMB Review; Comment Request 2018-12-18T00:00:00-08:00 2018-12-18T00:00:00-08:00 2018-27266 Notice https://www.govinfo.gov/content/pkg/FR-2018-12-18/pdf/2018-27266.pdf https://regulations.justia.com/regulations/fedreg/2018/12/17/2018-27317.html Notice - Sunshine Act Meetings 2018-12-17T00:00:00-08:00 2018-12-17T00:00:00-08:00 2018-27317 Notice https://www.govinfo.gov/content/pkg/FR-2018-12-17/pdf/2018-27317.pdf https://regulations.justia.com/regulations/fedreg/2018/12/17/2018-27207.html Notice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Reflect a Change to the Benchmark Index of the SPDR Nuveen Bloomberg Barclays Municipal Bond ETF 2018-12-17T00:00:00-08:00 2018-12-17T00:00:00-08:00 2018-27207 Notice https://www.govinfo.gov/content/pkg/FR-2018-12-17/pdf/2018-27207.pdf https://regulations.justia.com/regulations/fedreg/2018/12/17/2018-27206.html Notice - Self-Regulatory Organizations; Cboe BZX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To List Shares of the Cambria Global Momentum ETF Under Rule 14.11(i), Managed Fund Shares 2018-12-17T00:00:00-08:00 2018-12-17T00:00:00-08:00 2018-27206 Notice https://www.govinfo.gov/content/pkg/FR-2018-12-17/pdf/2018-27206.pdf https://regulations.justia.com/regulations/fedreg/2018/12/17/2018-27205.html Notice - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing of a Proposed Rule Change Relating to FINRA Rule 4512 (Customer Account Information) 2018-12-17T00:00:00-08:00 2018-12-17T00:00:00-08:00 2018-27205 Notice https://www.govinfo.gov/content/pkg/FR-2018-12-17/pdf/2018-27205.pdf https://regulations.justia.com/regulations/fedreg/2018/12/17/2018-27204.html Notice - Self-Regulatory Organizations; Nasdaq GEMX, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Delete GEMX Section 22 of the Rulebook 2018-12-17T00:00:00-08:00 2018-12-17T00:00:00-08:00 2018-27204 Notice https://www.govinfo.gov/content/pkg/FR-2018-12-17/pdf/2018-27204.pdf https://regulations.justia.com/regulations/fedreg/2018/12/17/2018-27203.html Notice - Self-Regulatory Organizations; Cboe C2 Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Amending Provisions Related to Its Risk Monitor Mechanism 2018-12-17T00:00:00-08:00 2018-12-17T00:00:00-08:00 2018-27203 Notice https://www.govinfo.gov/content/pkg/FR-2018-12-17/pdf/2018-27203.pdf https://regulations.justia.com/regulations/fedreg/2018/12/17/2018-27202.html Notice - Self-Regulatory Organizations; Nasdaq MRX, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change to MRX Section 22 of the Rulebook 2018-12-17T00:00:00-08:00 2018-12-17T00:00:00-08:00 2018-27202 Notice https://www.govinfo.gov/content/pkg/FR-2018-12-17/pdf/2018-27202.pdf https://regulations.justia.com/regulations/fedreg/2018/12/14/2018-27128.html Notice - Pacific Global ETF Trust and Cadence Capital Management LLC 2018-12-14T00:00:00-08:00 2018-12-14T00:00:00-08:00 2018-27128 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-12-14/pdf/2018-27128.pdf https://regulations.justia.com/regulations/fedreg/2018/12/14/2018-27094.html Notice - Proposed Collection; Comment Request 2018-12-14T00:00:00-08:00 2018-12-14T00:00:00-08:00 2018-27094 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-12-14/pdf/2018-27094.pdf https://regulations.justia.com/regulations/fedreg/2018/12/14/2018-27093.html Notice - Proposed Collection; Comment Request 2018-12-14T00:00:00-08:00 2018-12-14T00:00:00-08:00 2018-27093 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-12-14/pdf/2018-27093.pdf https://regulations.justia.com/regulations/fedreg/2018/12/14/2018-27092.html Notice - Proposed Collection; Comment Request 2018-12-14T00:00:00-08:00 2018-12-14T00:00:00-08:00 2018-27092 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-12-14/pdf/2018-27092.pdf https://regulations.justia.com/regulations/fedreg/2018/12/14/2018-27091.html Notice - Submission for OMB Review; Comment Request 2018-12-14T00:00:00-08:00 2018-12-14T00:00:00-08:00 2018-27091 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-12-14/pdf/2018-27091.pdf https://regulations.justia.com/regulations/fedreg/2018/12/14/2018-27090.html Notice - Submission for OMB Review; Comment Request 2018-12-14T00:00:00-08:00 2018-12-14T00:00:00-08:00 2018-27090 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-12-14/pdf/2018-27090.pdf https://regulations.justia.com/regulations/fedreg/2018/12/14/2018-27089.html Notice - Submission for OMB Review; Comment Request 2018-12-14T00:00:00-08:00 2018-12-14T00:00:00-08:00 2018-27089 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-12-14/pdf/2018-27089.pdf https://regulations.justia.com/regulations/fedreg/2018/12/14/2018-27086.html Notice - Self-Regulatory Organizations; Cboe EDGX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating To Amend Its Provision Related to Its Risk Monitor Mechanism 2018-12-14T00:00:00-08:00 2018-12-14T00:00:00-08:00 2018-27086 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-12-14/pdf/2018-27086.pdf https://regulations.justia.com/regulations/fedreg/2018/12/14/2018-27085.html Notice - Self-Regulatory Organizations; Cboe BZX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating To Amend Its Provision Related to Its Risk Monitor Mechanism 2018-12-14T00:00:00-08:00 2018-12-14T00:00:00-08:00 2018-27085 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-12-14/pdf/2018-27085.pdf https://regulations.justia.com/regulations/fedreg/2018/12/14/2018-27084.html Notice - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Certain of Its Listing Fees 2018-12-14T00:00:00-08:00 2018-12-14T00:00:00-08:00 2018-27084 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-12-14/pdf/2018-27084.pdf https://regulations.justia.com/regulations/fedreg/2018/12/14/2018-27083.html Notice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Extend the Pilot Period for the Exchange's Retail Liquidity Program Until June 30, 2019 2018-12-14T00:00:00-08:00 2018-12-14T00:00:00-08:00 2018-27083 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-12-14/pdf/2018-27083.pdf https://regulations.justia.com/regulations/fedreg/2018/12/14/2018-27082.html Notice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Designation of a Longer Period for Commission Action on Proposed Rule Change To Amend Rule 7.44-E, the Exchange's Retail Liquidity Program 2018-12-14T00:00:00-08:00 2018-12-14T00:00:00-08:00 2018-27082 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-12-14/pdf/2018-27082.pdf https://regulations.justia.com/regulations/fedreg/2018/12/14/2018-27081.html Notice - Self-Regulatory Organizations; National Securities Clearing Corporation; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Certain Fees Relating to Mutual Fund Services, and Insurance and Retirement Processing Services 2018-12-14T00:00:00-08:00 2018-12-14T00:00:00-08:00 2018-27081 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-12-14/pdf/2018-27081.pdf https://regulations.justia.com/regulations/fedreg/2018/12/14/2018-27080.html Notice - Self-Regulatory Organizations; National Securities Clearing Corporation; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Certain Fees and Make Other Changes 2018-12-14T00:00:00-08:00 2018-12-14T00:00:00-08:00 2018-27080 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-12-14/pdf/2018-27080.pdf https://regulations.justia.com/regulations/fedreg/2018/12/14/2018-27079.html Notice - Self-Regulatory Organizations; Fixed Income Clearing Corporation; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Remove Certain Fees From the Mortgage-Backed Securities Division Clearing Rules and Electronic Pool Notification Rules 2018-12-14T00:00:00-08:00 2018-12-14T00:00:00-08:00 2018-27079 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-12-14/pdf/2018-27079.pdf https://regulations.justia.com/regulations/fedreg/2018/12/14/2018-27078.html Notice - Self-Regulatory Organizations; The Depository Trust Company; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the Guide to the DTC Fee Schedule 2018-12-14T00:00:00-08:00 2018-12-14T00:00:00-08:00 2018-27078 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-12-14/pdf/2018-27078.pdf https://regulations.justia.com/regulations/fedreg/2018/12/14/2018-27077.html Notice - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Extend the Pilot Period for the Exchange's Retail Liquidity Program Until the Earlier of Approval of the Filing To Make the Program Permanent or June 30, 2019 2018-12-14T00:00:00-08:00 2018-12-14T00:00:00-08:00 2018-27077 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-12-14/pdf/2018-27077.pdf https://regulations.justia.com/regulations/fedreg/2018/12/14/2018-27076.html Notice - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Designation of Longer Period for Commission Action on Proceedings To Determine Whether To Approve or Disapprove a Proposed Rule To Make Permanent the Retail Liquidity Program Pilot, Which is Set To Expire on December 31, 2018 2018-12-14T00:00:00-08:00 2018-12-14T00:00:00-08:00 2018-27076 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-12-14/pdf/2018-27076.pdf https://regulations.justia.com/regulations/fedreg/2018/12/14/2018-27075.html Notice - Self-Regulatory Organizations; Nasdaq PHLX LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Update the Trading Floor Qualification Examination 2018-12-14T00:00:00-08:00 2018-12-14T00:00:00-08:00 2018-27075 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-12-14/pdf/2018-27075.pdf https://regulations.justia.com/regulations/fedreg/2018/12/13/2018-27018.html Notice - Self-Regulatory Organizations; New York Stock Exchange LLC; Order Granting an Extension to Limited Exemptions From Rule 612(c) of Regulation NMS in Connection With the Exchange's Retail Liquidity Program Until June 30, 2019 2018-12-13T00:00:00-08:00 2018-12-13T00:00:00-08:00 2018-27018 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-12-13/pdf/2018-27018.pdf https://regulations.justia.com/regulations/fedreg/2018/12/13/2018-27004.html Notice - Self-Regulatory Organizations; NYSE Arca, Inc.; Order Granting an Extension to Limited Exemptions From Rule 612(c) of Regulation NMS In Connection With the Exchange's Retail Liquidity Programs Until June 30, 2019 2018-12-13T00:00:00-08:00 2018-12-13T00:00:00-08:00 2018-27004 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-12-13/pdf/2018-27004.pdf https://regulations.justia.com/regulations/fedreg/2018/12/13/2018-26945.html Notice - Self-Regulatory Organizations; ICE Clear Europe Limited; Notice of Filing of Amendment No. 1 and Order Granting Accelerated Approval of a Proposed Rule Change, as Modified by Amendment No. 1, Relating to Amendments to the ICE Clear Europe Limited Liquidity Plan 2018-12-13T00:00:00-08:00 2018-12-13T00:00:00-08:00 2018-26945 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-12-13/pdf/2018-26945.pdf https://regulations.justia.com/regulations/fedreg/2018/12/13/2018-26944.html Notice - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Rule 15 Relating to the Reference Price for Exchange-Listed Securities 2018-12-13T00:00:00-08:00 2018-12-13T00:00:00-08:00 2018-26944 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-12-13/pdf/2018-26944.pdf https://regulations.justia.com/regulations/fedreg/2018/12/13/2018-26613.html Rule - Covered Investment Fund Research Reports 2018-12-13T00:00:00-08:00 2018-12-13T00:00:00-08:00

2018-26613 Rule https://www.gpo.gov/fdsys/pkg/FR-2018-12-13/pdf/2018-26613.pdf https://regulations.justia.com/regulations/fedreg/2018/12/12/2018-26915.html Notice - Self-Regulatory Organizations; Nasdaq BX, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the Defined Terms “In-the-Money” and “Out-of-the-Money” in BX Options Rules at Chapter I, Section 1 2018-12-12T00:00:00-08:00 2018-12-12T00:00:00-08:00 2018-26915 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-12-12/pdf/2018-26915.pdf https://regulations.justia.com/regulations/fedreg/2018/12/12/2018-26914.html Notice - Self-Regulatory Organizations; The Nasdaq Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the Defined Terms “In-the-Money” and “Out-of-the-Money” in Chapter I, Section 1 2018-12-12T00:00:00-08:00 2018-12-12T00:00:00-08:00 2018-26914 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-12-12/pdf/2018-26914.pdf https://regulations.justia.com/regulations/fedreg/2018/12/12/2018-26913.html Notice - Self-Regulatory Organizations; The Depository Trust Company; Notice of Filing of a Proposed Rule Change To Amend the Settlement Guide Procedures To Provide Status Information for Institutional Transactions To a Matching Utility 2018-12-12T00:00:00-08:00 2018-12-12T00:00:00-08:00 2018-26913 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-12-12/pdf/2018-26913.pdf https://regulations.justia.com/regulations/fedreg/2018/12/12/2018-26912.html Notice - Self-Regulatory Organizations; Cboe BZX Exchange, Inc.; Notice of Designation of a Longer Period for Commission Action on a Proposed Rule Change To List and Trade Shares of the WisdomTree Long-Term Treasury PutWrite Strategy Fund, WisdomTree Corporate Bond PutWrite Strategy Fund, WisdomTree International PutWrite Strategy Fund, and WisdomTree Emerging Markets PutWrite Strategy Fund Under Rule 14.11(i), Managed Fund Shares 2018-12-12T00:00:00-08:00 2018-12-12T00:00:00-08:00 2018-26912 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-12-12/pdf/2018-26912.pdf https://regulations.justia.com/regulations/fedreg/2018/12/12/2018-26911.html Notice - Self-Regulatory Organizations; Nasdaq BX, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Port Fees 2018-12-12T00:00:00-08:00 2018-12-12T00:00:00-08:00 2018-26911 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-12-12/pdf/2018-26911.pdf https://regulations.justia.com/regulations/fedreg/2018/12/12/2018-26910.html Notice - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Withdrawal of a Proposed Rule Change Related To Amend Rule 6.21., Give Up of a Clearing Trading Permit Holder 2018-12-12T00:00:00-08:00 2018-12-12T00:00:00-08:00 2018-26910 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-12-12/pdf/2018-26910.pdf https://regulations.justia.com/regulations/fedreg/2018/12/12/2018-26909.html Notice - Self-Regulatory Organizations; The Nasdaq Stock Market LLC; Notice of Designation of a Longer Period for Commission Action on a Proposed Rule Change To List and Trade Shares of the BrandywineGLOBAL-Global Total Return ETF, a Series of Legg Mason ETF Investment Trust, Under Nasdaq Rule 5735 2018-12-12T00:00:00-08:00 2018-12-12T00:00:00-08:00 2018-26909 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-12-12/pdf/2018-26909.pdf https://regulations.justia.com/regulations/fedreg/2018/12/12/2018-26908.html Notice - Self-Regulatory Organizations; Nasdaq MRX, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Supplementary Material .02 to Rule 715 Regarding Cancel and Replace Orders 2018-12-12T00:00:00-08:00 2018-12-12T00:00:00-08:00 2018-26908 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-12-12/pdf/2018-26908.pdf https://regulations.justia.com/regulations/fedreg/2018/12/12/2018-26907.html Notice - Self-Regulatory Organizations; Nasdaq GEMX, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Supplementary Material .02 to Rule 715 2018-12-12T00:00:00-08:00 2018-12-12T00:00:00-08:00 2018-26907 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-12-12/pdf/2018-26907.pdf https://regulations.justia.com/regulations/fedreg/2018/12/12/2018-26851.html Notice - Submission for OMB Review; Comment Request 2018-12-12T00:00:00-08:00 2018-12-12T00:00:00-08:00 2018-26851 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-12-12/pdf/2018-26851.pdf https://regulations.justia.com/regulations/fedreg/2018/12/12/2018-26837.html Notice - Self-Regulatory Organizations; NYSE American LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend NYSE American Rule 5.1E(a)(2) 2018-12-12T00:00:00-08:00 2018-12-12T00:00:00-08:00 2018-26837 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-12-12/pdf/2018-26837.pdf https://regulations.justia.com/regulations/fedreg/2018/12/12/2018-26836.html Notice - Self-Regulatory Organizations; Nasdaq ISE, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Supplementary Material .02 to Rule 715 Regarding Cancel and Replace Orders 2018-12-12T00:00:00-08:00 2018-12-12T00:00:00-08:00 2018-26836 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-12-12/pdf/2018-26836.pdf https://regulations.justia.com/regulations/fedreg/2018/12/12/2018-26835.html Notice - Self-Regulatory Organizations; Cboe Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating To Adopt a Shell Structure for the Cboe Options Rulebook in Connection With the Migration of the Exchange to Bats Technology 2018-12-12T00:00:00-08:00 2018-12-12T00:00:00-08:00 2018-26835 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-12-12/pdf/2018-26835.pdf https://regulations.justia.com/regulations/fedreg/2018/12/12/2018-26834.html Notice - Self-Regulatory Organizations; Cboe BZX Exchange, Inc.; Order Granting Approval to a Proposed Rule Change, as Modified by Amendment No. 1, To Establish How the BZX Official Closing Price Would Be Determined for BZX-Listed Securities 2018-12-12T00:00:00-08:00 2018-12-12T00:00:00-08:00 2018-26834 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-12-12/pdf/2018-26834.pdf https://regulations.justia.com/regulations/fedreg/2018/12/12/2018-26833.html Notice - Self-Regulatory Organizations; NYSE Arca, Inc.; Order Approving a Proposed Rule Change, as Modified by Amendment No. 1, To Amend Rules 6.62-O and 6.37A-O To Add New Order Types and Quotation Designations 2018-12-12T00:00:00-08:00 2018-12-12T00:00:00-08:00 2018-26833 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-12-12/pdf/2018-26833.pdf https://regulations.justia.com/regulations/fedreg/2018/12/12/2018-26832.html Notice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend NYSE Arca Rule 5.1-E(a)(2) 2018-12-12T00:00:00-08:00 2018-12-12T00:00:00-08:00 2018-26832 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-12-12/pdf/2018-26832.pdf https://regulations.justia.com/regulations/fedreg/2018/12/12/2018-26831.html Notice - Self-Regulatory Organizations; Miami International Securities Exchange, LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Exchange Rule 510, Minimum Price Variations and Minimum Trading Increments, To Adopt Interpretations and Policies .03 2018-12-12T00:00:00-08:00 2018-12-12T00:00:00-08:00 2018-26831 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-12-12/pdf/2018-26831.pdf https://regulations.justia.com/regulations/fedreg/2018/12/12/2018-26830.html Notice - Self-Regulatory Organizations; Chicago Stock Exchange, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend CHX Article 22, Rule 6(a) 2018-12-12T00:00:00-08:00 2018-12-12T00:00:00-08:00 2018-26830 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-12-12/pdf/2018-26830.pdf https://regulations.justia.com/regulations/fedreg/2018/12/12/2018-26829.html Notice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Designation of a Longer Period for Commission Action on Proceedings To Determine Whether To Approve or Disapprove a Proposed Rule Change Regarding Investments of the REX BKCM ETF 2018-12-12T00:00:00-08:00 2018-12-12T00:00:00-08:00 2018-26829 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-12-12/pdf/2018-26829.pdf https://regulations.justia.com/regulations/fedreg/2018/12/12/2018-26828.html Notice - Self-Regulatory Organizations; Cboe BZX Exchange, Inc.; Notice of Designation of a Longer Period for Commission Action on Proceedings To Determine Whether To Approve or Disapprove a Proposed Rule Change To List and Trade Shares of SolidX Bitcoin Shares Issued by the VanEck SolidX Bitcoin Trust 2018-12-12T00:00:00-08:00 2018-12-12T00:00:00-08:00 2018-26828 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-12-12/pdf/2018-26828.pdf https://regulations.justia.com/regulations/fedreg/2018/12/12/2018-26827.html Notice - Self-Regulatory Organizations; Nasdaq GEMX, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Bid/Ask Differentials 2018-12-12T00:00:00-08:00 2018-12-12T00:00:00-08:00 2018-26827 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-12-12/pdf/2018-26827.pdf https://regulations.justia.com/regulations/fedreg/2018/12/12/2018-26826.html Notice - Self-Regulatory Organizations; Nasdaq ISE, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Bid/Ask Differentials 2018-12-12T00:00:00-08:00 2018-12-12T00:00:00-08:00 2018-26826 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-12-12/pdf/2018-26826.pdf https://regulations.justia.com/regulations/fedreg/2018/12/12/2018-26825.html Notice - Self-Regulatory Organizations; Nasdaq MRX, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Bid/Ask Differentials 2018-12-12T00:00:00-08:00 2018-12-12T00:00:00-08:00 2018-26825 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-12-12/pdf/2018-26825.pdf https://regulations.justia.com/regulations/fedreg/2018/12/12/2018-26824.html Notice - Self-Regulatory Organizations; Nasdaq PHLX LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Bid/Ask Differentials 2018-12-12T00:00:00-08:00 2018-12-12T00:00:00-08:00 2018-26824 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-12-12/pdf/2018-26824.pdf https://regulations.justia.com/regulations/fedreg/2018/12/12/2018-26823.html Notice - Self-Regulatory Organizations; NYSE American LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change of Amendments to the Exchange's Rules To Delete References to the Term “Allied Member” and Correct Rule 2.1220 2018-12-12T00:00:00-08:00 2018-12-12T00:00:00-08:00 2018-26823 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-12-12/pdf/2018-26823.pdf https://regulations.justia.com/regulations/fedreg/2018/12/12/2018-26797.html Notice - Cliffwater Corporate Lending Fund and Cliffwater LLC 2018-12-12T00:00:00-08:00 2018-12-12T00:00:00-08:00 2018-26797 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-12-12/pdf/2018-26797.pdf https://regulations.justia.com/regulations/fedreg/2018/12/12/2018-26795.html Notice - Symmetry Panoramic Trust and Symmetry Partners, LLC 2018-12-12T00:00:00-08:00 2018-12-12T00:00:00-08:00 2018-26795 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-12-12/pdf/2018-26795.pdf https://regulations.justia.com/regulations/fedreg/2018/12/11/2018-26736.html Notice - Self-Regulatory Organizations; The Nasdaq Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Delay a New Protocol “Ouch to Trade Options” or “OTTO” on The Nasdaq Options Market LLC (“NOM”) 2018-12-11T00:00:00-08:00 2018-12-11T00:00:00-08:00 2018-26736 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-12-11/pdf/2018-26736.pdf https://regulations.justia.com/regulations/fedreg/2018/12/11/2018-26735.html Notice - Self-Regulatory Organizations; Cboe BZX Exchange, Inc.; Order Granting Approval of a Proposed Rule Change, as Modified by Amendment Nos. 1 and 2, To List and Trade Shares of the FormulaFolios Sector Rotation ETF, a Series of the Northern Lights Fund Trust IV, Under Rule 14.11(i), Managed Fund Shares 2018-12-11T00:00:00-08:00 2018-12-11T00:00:00-08:00 2018-26735 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-12-11/pdf/2018-26735.pdf https://regulations.justia.com/regulations/fedreg/2018/12/10/2018-26822.html Notice - Sunshine Act Meetings 2018-12-10T00:00:00-08:00 2018-12-10T00:00:00-08:00 2018-26822 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-12-10/pdf/2018-26822.pdf https://regulations.justia.com/regulations/fedreg/2018/12/10/2018-26738.html Notice - Sunshine Act Meetings 2018-12-10T00:00:00-08:00 2018-12-10T00:00:00-08:00 2018-26738 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-12-10/pdf/2018-26738.pdf https://regulations.justia.com/regulations/fedreg/2018/12/10/2018-26737.html Notice - Sunshine Act Meetings 2018-12-10T00:00:00-08:00 2018-12-10T00:00:00-08:00 2018-26737 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-12-10/pdf/2018-26737.pdf https://regulations.justia.com/regulations/fedreg/2018/12/10/2018-26668.html Notice - Stone Ridge Trust II, et al. 2018-12-10T00:00:00-08:00 2018-12-10T00:00:00-08:00 2018-26668 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-12-10/pdf/2018-26668.pdf https://regulations.justia.com/regulations/fedreg/2018/12/10/2018-26593.html Notice - Self-Regulatory Organizations; Investors Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Conform IEX Rule 5.160 to FinCEN's Final Rule on Customer Due Diligence Requirements for Financial Institutions 2018-12-10T00:00:00-08:00 2018-12-10T00:00:00-08:00 2018-26593 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-12-10/pdf/2018-26593.pdf https://regulations.justia.com/regulations/fedreg/2018/12/07/2018-26656.html Notice - Sunshine Act Meeting; Cancellation 2018-12-07T00:00:00-08:00 2018-12-07T00:00:00-08:00 2018-26656 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-12-07/pdf/2018-26656.pdf https://regulations.justia.com/regulations/fedreg/2018/12/06/2018-26517.html Notice - Long-Term Stock Exchange, Inc.; Notice of Filing of Application for Registration as a National Securities Exchange Under Section 6 of the Securities Exchange Act of 1934 2018-12-06T00:00:00-08:00 2018-12-06T00:00:00-08:00 2018-26517 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-12-06/pdf/2018-26517.pdf https://regulations.justia.com/regulations/fedreg/2018/12/06/2018-26516.html Notice - Self-Regulatory Organizations; Cboe EDGX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Rule 19.8, Long-Term Options Contracts 2018-12-06T00:00:00-08:00 2018-12-06T00:00:00-08:00 2018-26516 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-12-06/pdf/2018-26516.pdf https://regulations.justia.com/regulations/fedreg/2018/12/06/2018-26515.html Notice - Self-Regulatory Organizations; Cboe Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Rule 5.8, Long-Term Equity Options Series (LEAPS) 2018-12-06T00:00:00-08:00 2018-12-06T00:00:00-08:00 2018-26515 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-12-06/pdf/2018-26515.pdf https://regulations.justia.com/regulations/fedreg/2018/12/06/2018-26514.html Notice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing of Proposed Rule Change Regarding Certain Changes Relating to Investments of the PGIM Active High Yield Bond ETF 2018-12-06T00:00:00-08:00 2018-12-06T00:00:00-08:00 2018-26514 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-12-06/pdf/2018-26514.pdf https://regulations.justia.com/regulations/fedreg/2018/12/06/2018-26513.html Notice - Self-Regulatory Organizations; Cboe BZX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Rule 19.8, Long-Term Options Contracts 2018-12-06T00:00:00-08:00 2018-12-06T00:00:00-08:00 2018-26513 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-12-06/pdf/2018-26513.pdf https://regulations.justia.com/regulations/fedreg/2018/12/06/2018-26512.html Notice - Self-Regulatory Organizations; Cboe EDGX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to Directed Market Makers and Primary Market Makers 2018-12-06T00:00:00-08:00 2018-12-06T00:00:00-08:00 2018-26512 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-12-06/pdf/2018-26512.pdf https://regulations.justia.com/regulations/fedreg/2018/12/06/2018-26487.html Notice - Notice of Applications for Deregistration Under Section 8(f) of the Investment Company Act of 1940 2018-12-06T00:00:00-08:00 2018-12-06T00:00:00-08:00

2018-26487 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-12-06/pdf/2018-26487.pdf https://regulations.justia.com/regulations/fedreg/2018/12/06/2018-26405.html 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 2018-12-06T00:00:00-08:00 2018-12-06T00:00:00-08:00 2018-26405 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-12-06/pdf/2018-26405.pdf https://regulations.justia.com/regulations/fedreg/2018/12/06/2018-26404.html Notice - Order Regarding Alternative Net Capital Computation for BofAML Securities, Inc. 2018-12-06T00:00:00-08:00 2018-12-06T00:00:00-08:00 2018-26404 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-12-06/pdf/2018-26404.pdf https://regulations.justia.com/regulations/fedreg/2018/12/06/2018-26403.html Notice - In the Matter of the NYSE Arca, Inc.; for an Order Granting the Approval of Proposed Rule Change To List and Trade Shares of the ForceShares Daily 4X US Market Futures Long Fund and ForceShares Daily 4X US Market Futures Short Fund Under Commentary .02 to NYSE Arca Equities Rule 8.200 (SR-NYSEArca-2016-120); Request for Additional Comment 2018-12-06T00:00:00-08:00 2018-12-06T00:00:00-08:00 2018-26403 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-12-06/pdf/2018-26403.pdf https://regulations.justia.com/regulations/fedreg/2018/12/06/2018-26400.html 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 2018-12-06T00:00:00-08:00 2018-12-06T00:00:00-08:00 2018-26400 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-12-06/pdf/2018-26400.pdf https://regulations.justia.com/regulations/fedreg/2018/12/06/2018-26399.html 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 2018-12-06T00:00:00-08:00 2018-12-06T00:00:00-08:00 2018-26399 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-12-06/pdf/2018-26399.pdf https://regulations.justia.com/regulations/fedreg/2018/12/06/2018-26397.html Notice - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Designation of a Longer Period for Commission Action on a Proposed Rule Change To Amend the Listed Company Manual for Acquisition Companies To Reduce the Continued Listing Standards for Public Holders From 300 to 100 and To Enable the Exchange To Exercise Discretion To Allow Acquisition Companies a Reasonable Time Period Following a Business Combination To Demonstrate Compliance With the Applicable Quantitative Listing Standards 2018-12-06T00:00:00-08:00 2018-12-06T00:00:00-08:00 2018-26397 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-12-06/pdf/2018-26397.pdf