Securities and Exchange Commission January 29, 2018 – Federal Register Recent Federal Regulation Documents

Results 1 - 16 of 16
Submission for OMB Review; Comment Request
Document Number: 2018-01603
Type: Notice
Date: 2018-01-29
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2018/01/29/2018-01603.html
Submission for OMB Review; Comment Request
Document Number: 2018-01602
Type: Notice
Date: 2018-01-29
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2018/01/29/2018-01602.html
Proposed Collection; Comment Request
Document Number: 2018-01601
Type: Notice
Date: 2018-01-29
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2018/01/29/2018-01601.html
Proposed Collection; Comment Request
Document Number: 2018-01600
Type: Notice
Date: 2018-01-29
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2018/01/29/2018-01600.html
Submission for OMB Review; Comment Request
Document Number: 2018-01599
Type: Notice
Date: 2018-01-29
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2018/01/29/2018-01599.html
Salt Financial, LLC, et al.
Document Number: 2018-01549
Type: Notice
Date: 2018-01-29
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2018/01/29/2018-01549.html
Northern Lights Fund Trust and Pacific Financial Group, LLC
Document Number: 2018-01548
Type: Notice
Date: 2018-01-29
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2018/01/29/2018-01548.html
Self-Regulatory Organizations; Nasdaq BX, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Chapter IV, Section 3
Document Number: 2018-01542
Type: Notice
Date: 2018-01-29
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2018/01/29/2018-01542.html
Self-Regulatory Organizations; The Nasdaq Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to the Criteria for Listing Underlying Securities
Document Number: 2018-01541
Type: Notice
Date: 2018-01-29
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2018/01/29/2018-01541.html
Self-Regulatory Organizations; Nasdaq ISE, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Rule 502
Document Number: 2018-01540
Type: Notice
Date: 2018-01-29
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2018/01/29/2018-01540.html
Self-Regulatory Organizations; LCH SA; Notice of Designation of Longer Period for Commission Action on Proposed Rule Change To Adopt LCH SA's Wind Down Plan
Document Number: 2018-01539
Type: Notice
Date: 2018-01-29
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2018/01/29/2018-01539.html
Self-Regulatory Organizations; LCH SA; Notice of Designation of Longer Period for Commission Action on Proposed Rule Change To Adopt LCH SA's Recovery Plan
Document Number: 2018-01537
Type: Notice
Date: 2018-01-29
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2018/01/29/2018-01537.html
Self-Regulatory Organizations; Nasdaq PHLX LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Section VIII of the Exchange's Pricing Schedule
Document Number: 2018-01536
Type: Notice
Date: 2018-01-29
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2018/01/29/2018-01536.html
Self-Regulatory Organizations; Nasdaq ISE, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Assess Fees for OTTO Port, CTI Port, FIX Port, FIX Drop Port and Disaster Recovery Port Connectivity
Document Number: 2018-01535
Type: Notice
Date: 2018-01-29
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2018/01/29/2018-01535.html
Self-Regulatory Organizations; Nasdaq BX, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Its Fees at Rule 7023
Document Number: 2018-01534
Type: Notice
Date: 2018-01-29
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2018/01/29/2018-01534.html
Order Granting Limited Exemptions From Rules 101 and 102 of Regulation M in Connection With Distributions of AT1 Contingent Convertible Securities Pursuant to Rules 101(d) and 102(e) of Regulation M
Document Number: 2018-01531
Type: Notice
Date: 2018-01-29
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2018/01/29/2018-01531.html
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