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/securities-and-exchange-commission/2018/01?limit=200&registers=between&min-day=1&max-day=31&mode=atom 2024-05-23T21:06:05-07:00 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/2018/01/31/2018-01905.html Notice - BNP Paribas USA, Inc., et al.; Notice of Application and Temporary Order 2018-01-31T00:00:00-08:00 2018-01-31T00:00:00-08:00 2018-01905 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-01-31/pdf/2018-01905.pdf https://regulations.justia.com/regulations/fedreg/2018/01/31/2018-01904.html Notice - Notice of Applications for Deregistration Under Section 8(f) of the Investment Company Act of 1940 2018-01-31T00:00:00-08:00 2018-01-31T00:00:00-08:00

2018-01904 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-01-31/pdf/2018-01904.pdf https://regulations.justia.com/regulations/fedreg/2018/01/31/2018-01903.html Notice - EquBot LLC and ETF Series Solutions 2018-01-31T00:00:00-08:00 2018-01-31T00:00:00-08:00 2018-01903 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-01-31/pdf/2018-01903.pdf https://regulations.justia.com/regulations/fedreg/2018/01/31/2018-01834.html Notice - FS Series Trust and FS Fund Advisor, LLC; Release No. 32992/January 25, 2018 2018-01-31T00:00:00-08:00 2018-01-31T00:00:00-08:00 2018-01834 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-01-31/pdf/2018-01834.pdf https://regulations.justia.com/regulations/fedreg/2018/01/31/2018-01818.html Notice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to the Guggenheim Ultra Short Duration ETF and the Guggenheim Total Return Bond ETF 2018-01-31T00:00:00-08:00 2018-01-31T00:00:00-08:00 2018-01818 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-01-31/pdf/2018-01818.pdf https://regulations.justia.com/regulations/fedreg/2018/01/31/2018-01817.html Notice - Self-Regulatory Organizations; The Options Clearing Corporation; Notice of Designation of Longer Period for Commission Action on Proposed Rule Change Concerning Updates to and Formalization of OCC's Recovery and Orderly Wind-Down Plan 2018-01-31T00:00:00-08:00 2018-01-31T00:00:00-08:00 2018-01817 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-01-31/pdf/2018-01817.pdf https://regulations.justia.com/regulations/fedreg/2018/01/31/2018-01816.html Notice - Self-Regulatory Organizations; The Options Clearing Corporation; Notice of Designation of Longer Period for Commission Action on Proposed Rule Change Concerning Enhanced and New Tools for Recovery Scenarios 2018-01-31T00:00:00-08:00 2018-01-31T00:00:00-08:00 2018-01816 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-01-31/pdf/2018-01816.pdf https://regulations.justia.com/regulations/fedreg/2018/01/30/2018-01902.html Notice - Sunshine Act Meetings 2018-01-30T00:00:00-08:00 2018-01-30T00:00:00-08:00 2018-01902 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-01-30/pdf/2018-01902.pdf https://regulations.justia.com/regulations/fedreg/2018/01/30/2018-01693.html Notice - Self-Regulatory Organizations; National Securities Clearing Corporation; Notice of Filing and Extension of the Review Period of an Advance Notice To Amend the Loss Allocation Rules and Make Other Changes 2018-01-30T00:00:00-08:00 2018-01-30T00:00:00-08:00 2018-01693 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-01-30/pdf/2018-01693.pdf https://regulations.justia.com/regulations/fedreg/2018/01/30/2018-01692.html Notice - Self-Regulatory Organizations; Fixed Income Clearing Corporation; Notice of Filing and Extension of the Review Period of an Advance Notice To Amend the Loss Allocation Rules and Make Other Changes 2018-01-30T00:00:00-08:00 2018-01-30T00:00:00-08:00 2018-01692 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-01-30/pdf/2018-01692.pdf https://regulations.justia.com/regulations/fedreg/2018/01/30/2018-01691.html Notice - Self-Regulatory Organizations; The Depository Trust Company; Notice of Filing and Extension of the Review Period of an Advance Notice To Amend the Loss Allocation Rules and Make Other Changes 2018-01-30T00:00:00-08:00 2018-01-30T00:00:00-08:00 2018-01691 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-01-30/pdf/2018-01691.pdf https://regulations.justia.com/regulations/fedreg/2018/01/30/2018-01690.html Notice - Self-Regulatory Organizations; National Securities Clearing Corporation; Notice of Filing and Extension of the Review Period of an Advance Notice To Adopt a Recovery & Wind-down Plan and Related Rules 2018-01-30T00:00:00-08:00 2018-01-30T00:00:00-08:00 2018-01690 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-01-30/pdf/2018-01690.pdf https://regulations.justia.com/regulations/fedreg/2018/01/30/2018-01689.html Notice - Self-Regulatory Organizations; Fixed Income Clearing Corporation; Notice of Filing and Extension of the Review Period of an Advance Notice To Adopt a Recovery & Wind-Down Plan and Related Rules 2018-01-30T00:00:00-08:00 2018-01-30T00:00:00-08:00 2018-01689 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-01-30/pdf/2018-01689.pdf https://regulations.justia.com/regulations/fedreg/2018/01/30/2018-01688.html Notice - Self-Regulatory Organizations; The Depository Trust Company; Notice of Filing and Extension of the Review Period of an Advance Notice To Adopt a Recovery & Wind-Down Plan and Related Rules 2018-01-30T00:00:00-08:00 2018-01-30T00:00:00-08:00 2018-01688 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-01-30/pdf/2018-01688.pdf https://regulations.justia.com/regulations/fedreg/2018/01/30/2018-01681.html Rule - Amendments to Forms and Schedules To Remove Voluntary Provision of Social Security Numbers 2018-01-30T00:00:00-08:00 2018-01-30T00:00:00-08:00

2018-01681 Rule https://www.gpo.gov/fdsys/pkg/FR-2018-01-30/pdf/2018-01681.pdf https://regulations.justia.com/regulations/fedreg/2018/01/30/2018-01678.html Notice - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to the New Securities Industry Essentials Examination 2018-01-30T00:00:00-08:00 2018-01-30T00:00:00-08:00 2018-01678 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-01-30/pdf/2018-01678.pdf https://regulations.justia.com/regulations/fedreg/2018/01/30/2018-01677.html Notice - Self-Regulatory Organizations; Nasdaq PHLX LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Relocate and Amend Rule 1080(l) 2018-01-30T00:00:00-08:00 2018-01-30T00:00:00-08:00 2018-01677 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-01-30/pdf/2018-01677.pdf https://regulations.justia.com/regulations/fedreg/2018/01/30/2018-01676.html Notice - Self-Regulatory Organizations; The Options Clearing Corporation; Notice of Filing of Proposed Rule Change Related to The Options Clearing Corporation's Fee Policy 2018-01-30T00:00:00-08:00 2018-01-30T00:00:00-08:00 2018-01676 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-01-30/pdf/2018-01676.pdf https://regulations.justia.com/regulations/fedreg/2018/01/29/2018-01603.html Notice - Submission for OMB Review; Comment Request 2018-01-29T00:00:00-08:00 2018-01-29T00:00:00-08:00 2018-01603 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-01-29/pdf/2018-01603.pdf https://regulations.justia.com/regulations/fedreg/2018/01/29/2018-01602.html Notice - Submission for OMB Review; Comment Request 2018-01-29T00:00:00-08:00 2018-01-29T00:00:00-08:00 2018-01602 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-01-29/pdf/2018-01602.pdf https://regulations.justia.com/regulations/fedreg/2018/01/29/2018-01601.html Notice - Proposed Collection; Comment Request 2018-01-29T00:00:00-08:00 2018-01-29T00:00:00-08:00 2018-01601 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-01-29/pdf/2018-01601.pdf https://regulations.justia.com/regulations/fedreg/2018/01/29/2018-01600.html Notice - Proposed Collection; Comment Request 2018-01-29T00:00:00-08:00 2018-01-29T00:00:00-08:00 2018-01600 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-01-29/pdf/2018-01600.pdf https://regulations.justia.com/regulations/fedreg/2018/01/29/2018-01599.html Notice - Submission for OMB Review; Comment Request 2018-01-29T00:00:00-08:00 2018-01-29T00:00:00-08:00 2018-01599 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-01-29/pdf/2018-01599.pdf https://regulations.justia.com/regulations/fedreg/2018/01/29/2018-01549.html Notice - Salt Financial, LLC, et al. 2018-01-29T00:00:00-08:00 2018-01-29T00:00:00-08:00 2018-01549 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-01-29/pdf/2018-01549.pdf https://regulations.justia.com/regulations/fedreg/2018/01/29/2018-01548.html Notice - Northern Lights Fund Trust and Pacific Financial Group, LLC 2018-01-29T00:00:00-08:00 2018-01-29T00:00:00-08:00 2018-01548 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-01-29/pdf/2018-01548.pdf https://regulations.justia.com/regulations/fedreg/2018/01/29/2018-01542.html Notice - Self-Regulatory Organizations; Nasdaq BX, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Chapter IV, Section 3 2018-01-29T00:00:00-08:00 2018-01-29T00:00:00-08:00 2018-01542 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-01-29/pdf/2018-01542.pdf https://regulations.justia.com/regulations/fedreg/2018/01/29/2018-01541.html Notice - 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 2018-01-29T00:00:00-08:00 2018-01-29T00:00:00-08:00 2018-01541 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-01-29/pdf/2018-01541.pdf https://regulations.justia.com/regulations/fedreg/2018/01/29/2018-01540.html Notice - Self-Regulatory Organizations; Nasdaq ISE, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Rule 502 2018-01-29T00:00:00-08:00 2018-01-29T00:00:00-08:00 2018-01540 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-01-29/pdf/2018-01540.pdf https://regulations.justia.com/regulations/fedreg/2018/01/29/2018-01539.html Notice - 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 2018-01-29T00:00:00-08:00 2018-01-29T00:00:00-08:00 2018-01539 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-01-29/pdf/2018-01539.pdf https://regulations.justia.com/regulations/fedreg/2018/01/29/2018-01537.html Notice - 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 2018-01-29T00:00:00-08:00 2018-01-29T00:00:00-08:00 2018-01537 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-01-29/pdf/2018-01537.pdf https://regulations.justia.com/regulations/fedreg/2018/01/29/2018-01536.html Notice - 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 2018-01-29T00:00:00-08:00 2018-01-29T00:00:00-08:00 2018-01536 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-01-29/pdf/2018-01536.pdf https://regulations.justia.com/regulations/fedreg/2018/01/29/2018-01535.html Notice - 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 2018-01-29T00:00:00-08:00 2018-01-29T00:00:00-08:00 2018-01535 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-01-29/pdf/2018-01535.pdf https://regulations.justia.com/regulations/fedreg/2018/01/29/2018-01534.html Notice - Self-Regulatory Organizations; Nasdaq BX, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Its Fees at Rule 7023 2018-01-29T00:00:00-08:00 2018-01-29T00:00:00-08:00 2018-01534 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-01-29/pdf/2018-01534.pdf https://regulations.justia.com/regulations/fedreg/2018/01/29/2018-01531.html Notice - 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 2018-01-29T00:00:00-08:00 2018-01-29T00:00:00-08:00 2018-01531 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-01-29/pdf/2018-01531.pdf 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