Federal Register Recent Federal Regulation Documents - Justia Regulation Tracker - Justia Regulations Tracker https://regulations.justia.com/regulations/fedreg/agencies/securities-and-exchange-commission/2018/01/26?limit=200&registers=between&mode=atom 2024-12-21T17:11:35-08:00 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/2018/01/26/2018-01550.html Notice - Sunshine Act Meeting; Cancellation 2018-01-26T00:00:00-08:00 2018-01-26T00:00:00-08:00 2018-01550 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-01-26/pdf/2018-01550.pdf https://regulations.justia.com/regulations/fedreg/2018/01/26/2018-01420.html Notice - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Its Listing Standard for Warrants in Section 703.12 of the Exchange's Listed Company Manual 2018-01-26T00:00:00-08:00 2018-01-26T00:00:00-08:00 2018-01420 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-01-26/pdf/2018-01420.pdf https://regulations.justia.com/regulations/fedreg/2018/01/26/2018-01419.html Notice - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Designation of a Longer Period for Commission Action on Proposed Rule Change To Amend the NYSE Listed Company Manual To Modify Its Requirements With Respect to Physical Delivery of Proxy Materials to the Exchange 2018-01-26T00:00:00-08:00 2018-01-26T00:00:00-08:00 2018-01419 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-01-26/pdf/2018-01419.pdf https://regulations.justia.com/regulations/fedreg/2018/01/26/2018-01418.html Notice - Self-Regulatory Organizations; The Nasdaq Stock Market LLC; Order Granting Approval of a Proposed Rule Change, as Modified by Amendment No. 1, To List and Trade Shares of the Causeway International Value NextSharesTM 2018-01-26T00:00:00-08:00 2018-01-26T00:00:00-08:00 2018-01418 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-01-26/pdf/2018-01418.pdf https://regulations.justia.com/regulations/fedreg/2018/01/26/2018-01417.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 2018-01-26T00:00:00-08:00 2018-01-26T00:00:00-08:00 2018-01417 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-01-26/pdf/2018-01417.pdf https://regulations.justia.com/regulations/fedreg/2018/01/26/2018-01416.html Notice - Self-Regulatory Organizations; Cboe BZX Exchange, Inc.; Notice of Withdrawal of a Proposed Rule Change To List and Trade Shares of the First Trust Bitcoin Strategy ETF and the First Trust Inverse Bitcoin Strategy ETF, Each a Series of the First Trust Exchange-Traded Fund VII, Under Rule 14.11(i), Managed Fund Shares 2018-01-26T00:00:00-08:00 2018-01-26T00:00:00-08:00 2018-01416 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-01-26/pdf/2018-01416.pdf https://regulations.justia.com/regulations/fedreg/2018/01/26/2018-01415.html Notice - Self-Regulatory Organizations; Cboe BZX Exchange, Inc.; Notice of Withdrawal of a Proposed Rule Change To List and Trade Shares of the REX Bitcoin Strategy ETF and the REX Short Bitcoin Strategy ETF, Each a Series of the Exchange Listed Funds Trust, Under Rule 14.11(i), Managed Fund Shares 2018-01-26T00:00:00-08:00 2018-01-26T00:00:00-08:00 2018-01415 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-01-26/pdf/2018-01415.pdf https://regulations.justia.com/regulations/fedreg/2018/01/26/2018-01414.html Notice - Self-Regulatory Organizations; Cboe BZX Exchange, Inc.; Notice of Designation of a Longer Period for Commission Action on Proposed Rule Change To List and Trade the Common Shares of Beneficial Interest of the PowerShares Income Builder Portfolio, a Series of PowerShares Exchange-Traded Fund Trust II 2018-01-26T00:00:00-08:00 2018-01-26T00:00:00-08:00 2018-01414 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-01-26/pdf/2018-01414.pdf https://regulations.justia.com/regulations/fedreg/2018/01/26/2018-01413.html Notice - Self-Regulatory Organizations; Cboe BZX Exchange, Inc.; Notice of Designation of a Longer Period for Commission Action on Proposed Rule Change To List and Trade Shares of a Series of the Cboe Vest S&P 500 Buffer Protect Strategy ETF Under the ETF Series Solutions Trust, Under Rule 14.11(c)(3), Index Fund Shares 2018-01-26T00:00:00-08:00 2018-01-26T00:00:00-08:00 2018-01413 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-01-26/pdf/2018-01413.pdf https://regulations.justia.com/regulations/fedreg/2018/01/26/2018-01367.html Notice - Self-Regulatory Organizations; Cboe Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the Fees Schedule 2018-01-26T00:00:00-08:00 2018-01-26T00:00:00-08:00 2018-01367 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-01-26/pdf/2018-01367.pdf https://regulations.justia.com/regulations/fedreg/2018/01/26/2018-01366.html Notice - Self-Regulatory Organizations; Cboe BZX Exchange, Inc.; Notice of Designation of a Longer Period for Commission Action on Proposed Rule Change to List and Trade Shares of a Series of the Cboe Vest S&P 500 Enhanced Growth Strategy ETF Under the ETF Series Solutions Trust, Under Rule 14.11(c)(3), Index Fund Shares 2018-01-26T00:00:00-08:00 2018-01-26T00:00:00-08:00 2018-01366 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-01-26/pdf/2018-01366.pdf https://regulations.justia.com/regulations/fedreg/2018/01/26/2018-01365.html Notice - Self-Regulatory Organizations; Nasdaq PHLX LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Add a New Rule 3215 and Commentary Thereto To Codify PSX Participant Risk Settings in PSX and To Authorize the Exchange To Share Those Settings With the Clearing Member That Clears Transactions on Behalf of the PSX Participant 2018-01-26T00:00:00-08:00 2018-01-26T00:00:00-08:00 2018-01365 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-01-26/pdf/2018-01365.pdf https://regulations.justia.com/regulations/fedreg/2018/01/26/2018-01364.html Notice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing of Proposed Rule Change To Adopt a New NYSE Arca Rule 8.900-E and To List and Trade Shares of the Royce Pennsylvania ETF; Royce Premier ETF; and Royce Total Return ETF Under Proposed NYSE Arca Equities Rule 8.900-E 2018-01-26T00:00:00-08:00 2018-01-26T00:00:00-08:00 2018-01364 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-01-26/pdf/2018-01364.pdf https://regulations.justia.com/regulations/fedreg/2018/01/26/2018-01363.html Notice - Self-Regulatory Organizations; Cboe Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the Fees Schedule Concerning Firm Incentive Programs 2018-01-26T00:00:00-08:00 2018-01-26T00:00:00-08:00 2018-01363 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-01-26/pdf/2018-01363.pdf https://regulations.justia.com/regulations/fedreg/2018/01/26/2018-01362.html Notice - Self-Regulatory Organizations; BOX Options Exchange LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Clarify the Manner in Which the Exchange Assesses Its Options Regulatory Fee 2018-01-26T00:00:00-08:00 2018-01-26T00:00:00-08:00 2018-01362 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-01-26/pdf/2018-01362.pdf https://regulations.justia.com/regulations/fedreg/2018/01/26/2018-01361.html Notice - Self-Regulatory Organizations; Cboe BZX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Harmonize the Definition of Non-Professional User in Its Fee Schedule With That of Its Affiliates 2018-01-26T00:00:00-08:00 2018-01-26T00:00:00-08:00 2018-01361 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-01-26/pdf/2018-01361.pdf https://regulations.justia.com/regulations/fedreg/2018/01/26/2018-01360.html Notice - Self-Regulatory Organizations; Nasdaq BX, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Add a New Rule 4765 and Commentary Thereto To Codify Participant Risk Settings and To Authorize the Exchange To Share those Risk Settings With the Clearing Member That Clears Transactions on Behalf of the Participant 2018-01-26T00:00:00-08:00 2018-01-26T00:00:00-08:00 2018-01360 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-01-26/pdf/2018-01360.pdf https://regulations.justia.com/regulations/fedreg/2018/01/26/2018-01359.html Notice - Self-Regulatory Organizations; National Securities Clearing Corporation; Order Approving Proposed Rule Change To Enhance the Process for Submitting and Accepting ETF Creations and Redemptions 2018-01-26T00:00:00-08:00 2018-01-26T00:00:00-08:00 2018-01359 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-01-26/pdf/2018-01359.pdf https://regulations.justia.com/regulations/fedreg/2018/01/26/2018-01358.html Notice - Self-Regulatory Organizations; The Options Clearing Corporation; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Modify OCC's Rules Regarding the Exercise Procedures for Certain Options on Futures 2018-01-26T00:00:00-08:00 2018-01-26T00:00:00-08:00 2018-01358 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-01-26/pdf/2018-01358.pdf https://regulations.justia.com/regulations/fedreg/2018/01/26/2018-01357.html Notice - Self-Regulatory Organizations; ICE Clear Credit LLC; Notice of Filing of Proposed Rule Change, Security-Based Swap Submission, or Advance Notice Relating to the ICC Rules, ICC Risk Management Model Description Document, ICC Risk Management Framework, ICC Stress Testing Framework, and ICC Liquidity Risk Management Framework 2018-01-26T00:00:00-08:00 2018-01-26T00:00:00-08:00 2018-01357 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-01-26/pdf/2018-01357.pdf https://regulations.justia.com/regulations/fedreg/2018/01/26/2018-01356.html Notice - Self-Regulatory Organizations; The Nasdaq Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Exchange Rule 7047 2018-01-26T00:00:00-08:00 2018-01-26T00:00:00-08:00 2018-01356 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-01-26/pdf/2018-01356.pdf https://regulations.justia.com/regulations/fedreg/2018/01/26/2018-01355.html Notice - Self-Regulatory Organizations; Cboe Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Establish Fees for Customized Functionality and/or Connectivity on the Silexx Trading Platform 2018-01-26T00:00:00-08:00 2018-01-26T00:00:00-08:00 2018-01355 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-01-26/pdf/2018-01355.pdf https://regulations.justia.com/regulations/fedreg/2018/01/26/2018-01354.html Notice - Self-Regulatory Organizations; Cboe BZX Exchange, Inc.; Notice of Filing of a Proposed Rule Change To List and Trade Shares of the Cboe Vest S&P 500® Premium Income ETF Under Rule 14.11(c)(5) 2018-01-26T00:00:00-08:00 2018-01-26T00:00:00-08:00 2018-01354 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-01-26/pdf/2018-01354.pdf https://regulations.justia.com/regulations/fedreg/2018/01/26/2018-01353.html Notice - Self-Regulatory Organizations; Nasdaq MRX, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the Schedule of Fees To Introduce a New Pricing Model 2018-01-26T00:00:00-08:00 2018-01-26T00:00:00-08:00 2018-01353 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-01-26/pdf/2018-01353.pdf