Federal Register Recent Federal Regulation Documents - Justia Regulation Tracker - Justia Regulations Tracker https://regulations.justia.com/regulations/fedreg/agencies/securities-and-exchange-commission/2018/01/16?limit=200&registers=between&mode=atom 2024-12-21T20:22:47-08:00 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/2018/01/16/2018-00535.html Notice - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Order Instituting Proceedings To Determine Whether To Approve or Disapprove a Proposed Rule Change To Modify the Listing Requirements Related to Special Purpose Acquisition Companies Listing Standards To Reduce Round Lot Holders on Nasdaq Capital Market for Initial Listing From 300 to 150 and Eliminate Public Holders for Continued Listing From 300 to Zero, Require $5 Million in Net Tangible Assets for Initial and Continued Listing on Nasdaq Capital Market, and Impose a Deadline To Demonstrate Compliance With Initial Listing Requirements on All Nasdaq Markets Within 30 Days Following Each Business Combination 2018-01-16T00:00:00-08:00 2018-01-16T00:00:00-08:00 2018-00535 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-01-16/pdf/2018-00535.pdf https://regulations.justia.com/regulations/fedreg/2018/01/16/2018-00534.html Notice - Self-Regulatory Organizations; Cboe BYX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Related to Transaction Fees 2018-01-16T00:00:00-08:00 2018-01-16T00:00:00-08:00 2018-00534 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-01-16/pdf/2018-00534.pdf https://regulations.justia.com/regulations/fedreg/2018/01/16/2018-00533.html Notice - Self-Regulatory Organizations; Bats BZX Exchange, Inc.; Order Approving a Proposed Rule Change, as Modified by Amendment No. 2, To List and Trade Shares of the Cboe Vest S&P 500® Dividend Aristocrats® Target Income Index ETF Under the ETF Series Solutions Trust Under Rule 14.11(c)(3) 2018-01-16T00:00:00-08:00 2018-01-16T00:00:00-08:00 2018-00533 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-01-16/pdf/2018-00533.pdf https://regulations.justia.com/regulations/fedreg/2018/01/16/2018-00532.html Notice - Self-Regulatory Organizations; Cboe BZX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Related to Fees for the BZX Depth Market Data Product 2018-01-16T00:00:00-08:00 2018-01-16T00:00:00-08:00 2018-00532 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-01-16/pdf/2018-00532.pdf https://regulations.justia.com/regulations/fedreg/2018/01/16/2018-00531.html Notice - Self-Regulatory Organizations; Nasdaq PHLX LLC; Order Granting Approval of a Proposed Rule Change To Amend Rule 1009 To Modify the Criteria for Listing an Option on an Underlying Covered Security 2018-01-16T00:00:00-08:00 2018-01-16T00:00:00-08:00 2018-00531 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-01-16/pdf/2018-00531.pdf https://regulations.justia.com/regulations/fedreg/2018/01/16/2018-00530.html Notice - Self-Regulatory Organizations; The Options Clearing Corporation; Notice of Filing of Proposed Rule Change Related to The Options Clearing Corporation's Model Risk Management Policy 2018-01-16T00:00:00-08:00 2018-01-16T00:00:00-08:00 2018-00530 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-01-16/pdf/2018-00530.pdf https://regulations.justia.com/regulations/fedreg/2018/01/16/2018-00529.html Notice - Self-Regulatory Organizations; Nasdaq ISE, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the Price Level Protection Rule 2018-01-16T00:00:00-08:00 2018-01-16T00:00:00-08:00 2018-00529 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-01-16/pdf/2018-00529.pdf https://regulations.justia.com/regulations/fedreg/2018/01/16/2018-00528.html Notice - Self-Regulatory Organizations; Cboe BYX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Related to Fees for the BYX Depth Market Data Product 2018-01-16T00:00:00-08:00 2018-01-16T00:00:00-08:00 2018-00528 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-01-16/pdf/2018-00528.pdf https://regulations.justia.com/regulations/fedreg/2018/01/16/2018-00527.html Notice - Self-Regulatory Organizations; Nasdaq PHLX LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend a Cross-Reference in Rule 1017 (Openings in Options) 2018-01-16T00:00:00-08:00 2018-01-16T00:00:00-08:00 2018-00527 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-01-16/pdf/2018-00527.pdf https://regulations.justia.com/regulations/fedreg/2018/01/16/2018-00526.html Notice - Self-Regulatory Organizations; Cboe EDGX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Related to Fees for the EDGX Depth Market Data Product 2018-01-16T00:00:00-08:00 2018-01-16T00:00:00-08:00 2018-00526 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-01-16/pdf/2018-00526.pdf https://regulations.justia.com/regulations/fedreg/2018/01/16/2018-00525.html Notice - Self-Regulatory Organizations; Cboe EDGA Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Related to Fees for the EDGA Depth Market Data Product 2018-01-16T00:00:00-08:00 2018-01-16T00:00:00-08:00 2018-00525 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-01-16/pdf/2018-00525.pdf https://regulations.justia.com/regulations/fedreg/2018/01/16/2018-00524.html Notice - Self-Regulatory Organizations; The Nasdaq Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Exchange Rule 7037 2018-01-16T00:00:00-08:00 2018-01-16T00:00:00-08:00 2018-00524 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-01-16/pdf/2018-00524.pdf https://regulations.justia.com/regulations/fedreg/2018/01/16/2018-00523.html Notice - Self-Regulatory Organizations; Nasdaq GEMX, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the Exchange's Schedule of Fees at Chapter V, Section H, Entitled “Nasdaq GEMX Trades Feed” 2018-01-16T00:00:00-08:00 2018-01-16T00:00:00-08:00 2018-00523 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-01-16/pdf/2018-00523.pdf https://regulations.justia.com/regulations/fedreg/2018/01/16/2018-00522.html Notice - Self-Regulatory Organizations; Nasdaq ISE, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the Exchange's Schedule of Fees at Chapter VIII, Section J, Entitled “Nasdaq ISE Trades Feed” 2018-01-16T00:00:00-08:00 2018-01-16T00:00:00-08:00 2018-00522 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-01-16/pdf/2018-00522.pdf https://regulations.justia.com/regulations/fedreg/2018/01/16/2018-00514.html Notice - Proposed Collection; Comment Request 2018-01-16T00:00:00-08:00 2018-01-16T00:00:00-08:00 2018-00514 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-01-16/pdf/2018-00514.pdf https://regulations.justia.com/regulations/fedreg/2018/01/16/2018-00504.html Notice - Proposed Collection; Comment Request 2018-01-16T00:00:00-08:00 2018-01-16T00:00:00-08:00 2018-00504 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-01-16/pdf/2018-00504.pdf https://regulations.justia.com/regulations/fedreg/2018/01/16/2018-00503.html Notice - Proposed Collection; Comment Request 2018-01-16T00:00:00-08:00 2018-01-16T00:00:00-08:00 2018-00503 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-01-16/pdf/2018-00503.pdf https://regulations.justia.com/regulations/fedreg/2018/01/16/2018-00502.html Notice - Proposed Collection; Comment Request 2018-01-16T00:00:00-08:00 2018-01-16T00:00:00-08:00 2018-00502 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-01-16/pdf/2018-00502.pdf https://regulations.justia.com/regulations/fedreg/2018/01/16/2018-00501.html Notice - Proposed Collection; Comment Request 2018-01-16T00:00:00-08:00 2018-01-16T00:00:00-08:00 2018-00501 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-01-16/pdf/2018-00501.pdf https://regulations.justia.com/regulations/fedreg/2018/01/16/2018-00500.html Notice - Proposed Collection; Comment Request 2018-01-16T00:00:00-08:00 2018-01-16T00:00:00-08:00 2018-00500 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-01-16/pdf/2018-00500.pdf https://regulations.justia.com/regulations/fedreg/2018/01/16/2018-00499.html Notice - Proposed Collection; Comment Request 2018-01-16T00:00:00-08:00 2018-01-16T00:00:00-08:00 2018-00499 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-01-16/pdf/2018-00499.pdf https://regulations.justia.com/regulations/fedreg/2018/01/16/2018-00498.html Notice - Proposed Collection; Comment Request 2018-01-16T00:00:00-08:00 2018-01-16T00:00:00-08:00 2018-00498 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-01-16/pdf/2018-00498.pdf https://regulations.justia.com/regulations/fedreg/2018/01/16/2018-00497.html Notice - Proposed Collection; Comment Request 2018-01-16T00:00:00-08:00 2018-01-16T00:00:00-08:00 2018-00497 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-01-16/pdf/2018-00497.pdf https://regulations.justia.com/regulations/fedreg/2018/01/16/2018-00496.html Notice - Proposed Collection; Comment Request 2018-01-16T00:00:00-08:00 2018-01-16T00:00:00-08:00 2018-00496 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-01-16/pdf/2018-00496.pdf https://regulations.justia.com/regulations/fedreg/2018/01/16/2018-00495.html Notice - Proposed Collection; Comment Request 2018-01-16T00:00:00-08:00 2018-01-16T00:00:00-08:00 2018-00495 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-01-16/pdf/2018-00495.pdf https://regulations.justia.com/regulations/fedreg/2018/01/16/2018-00494.html Notice - Proposed Collection; Comment Request 2018-01-16T00:00:00-08:00 2018-01-16T00:00:00-08:00 2018-00494 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-01-16/pdf/2018-00494.pdf https://regulations.justia.com/regulations/fedreg/2018/01/16/2018-00493.html Notice - Proposed Collection; Comment Request 2018-01-16T00:00:00-08:00 2018-01-16T00:00:00-08:00 2018-00493 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-01-16/pdf/2018-00493.pdf https://regulations.justia.com/regulations/fedreg/2018/01/16/2018-00492.html Notice - Proposed Collection; Comment Request 2018-01-16T00:00:00-08:00 2018-01-16T00:00:00-08:00 2018-00492 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-01-16/pdf/2018-00492.pdf https://regulations.justia.com/regulations/fedreg/2018/01/16/2018-00491.html Notice - Proposed Collection; Comment Request 2018-01-16T00:00:00-08:00 2018-01-16T00:00:00-08:00 2018-00491 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-01-16/pdf/2018-00491.pdf https://regulations.justia.com/regulations/fedreg/2018/01/16/2018-00490.html Notice - Submission for OMB Review; Comment Request 2018-01-16T00:00:00-08:00 2018-01-16T00:00:00-08:00 2018-00490 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-01-16/pdf/2018-00490.pdf https://regulations.justia.com/regulations/fedreg/2018/01/16/2018-00489.html Notice - Proposed Collection; Comment Request 2018-01-16T00:00:00-08:00 2018-01-16T00:00:00-08:00 2018-00489 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-01-16/pdf/2018-00489.pdf https://regulations.justia.com/regulations/fedreg/2018/01/16/2018-00347.html Rule - Treatment of Certain Communications Involving Security-Based Swaps That May Be Purchased Only by Eligible Contract Participants 2018-01-16T00:00:00-08:00 2018-01-16T00:00:00-08:00 2018-00347 Rule https://www.gpo.gov/fdsys/pkg/FR-2018-01-16/pdf/2018-00347.pdf