<![CDATA[Federal Register Recent Federal Regulation Documents - Justia Regulation Tracker

<![CDATA[Federal Register Recent Federal Regulation Documents - Justia Regulation Tracker - Justia Regulations Tracker]]> https://regulations.justia.com/regulations/fedreg/agencies/securities-and-exchange-commission/2018/02?registers=between&min-day=1&max-day=28 Fri, 03 May 2024 06:12:52 -0700 Fri, 03 May 2024 06:12:52 -0700 Justia Regulations Tracker Copyright 2011 Justia Inc. https://regulations.justia.com/images/justiafedregulations.gif <![CDATA[Federal Register Recent Federal Regulation Documents - Justia Regulation Tracker - Justia Regulations Tracker]]> https://regulations.justia.com/regulations/fedreg/agencies/securities-and-exchange-commission/2018/02?registers=between&min-day=1&max-day=28 Notice - Notice of Applications for Deregistration Under Section 8(f) of the Investment Company Act of 1940 https://regulations.justia.com/regulations/fedreg/2018/02/28/2018-04087.html https://regulations.justia.com/regulations/fedreg/2018/02/28/2018-04087.html Wed, 28 Feb 2018 00:00:00 -0800 2018-04087 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-02-28/pdf/2018-04087.pdf Notice - Bain Capital Specialty Finance, Inc., et al. https://regulations.justia.com/regulations/fedreg/2018/02/28/2018-04086.html https://regulations.justia.com/regulations/fedreg/2018/02/28/2018-04086.html Wed, 28 Feb 2018 00:00:00 -0800 2018-04086 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-02-28/pdf/2018-04086.pdf Notice - Self-Regulatory Organizations; The Nasdaq Stock Market LLC; Notice of Filing of Proposed Rule Change To List and Trade, Under Nasdaq Rule 5705, the Shares of the Horizons Russell 2000 Covered Call ETF https://regulations.justia.com/regulations/fedreg/2018/02/28/2018-04035.html https://regulations.justia.com/regulations/fedreg/2018/02/28/2018-04035.html Wed, 28 Feb 2018 00:00:00 -0800 2018-04035 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-02-28/pdf/2018-04035.pdf 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 the Shares of the GraniteShares Bitcoin ETF and the GraniteShares Short Bitcoin ETF, a Series of the GraniteShares ETP Trust, Under Rule 14.11(f)(4), Trust Issued Receipts https://regulations.justia.com/regulations/fedreg/2018/02/28/2018-04034.html https://regulations.justia.com/regulations/fedreg/2018/02/28/2018-04034.html Wed, 28 Feb 2018 00:00:00 -0800 2018-04034 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-02-28/pdf/2018-04034.pdf 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 the iShares Gold Exposure ETF, a Series of the iShares U.S. ETF Trust, Under Exchange Rule 14.11(i), Managed Fund Shares https://regulations.justia.com/regulations/fedreg/2018/02/28/2018-04033.html https://regulations.justia.com/regulations/fedreg/2018/02/28/2018-04033.html Wed, 28 Feb 2018 00:00:00 -0800 2018-04033 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-02-28/pdf/2018-04033.pdf Notice - Investor Advisory Committee Meeting https://regulations.justia.com/regulations/fedreg/2018/02/28/2018-04031.html https://regulations.justia.com/regulations/fedreg/2018/02/28/2018-04031.html Wed, 28 Feb 2018 00:00:00 -0800 2018-04031 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-02-28/pdf/2018-04031.pdf Notice - Sunshine Act Meetings https://regulations.justia.com/regulations/fedreg/2018/02/27/2018-04032.html https://regulations.justia.com/regulations/fedreg/2018/02/27/2018-04032.html Tue, 27 Feb 2018 00:00:00 -0800 2018-04032 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-02-27/pdf/2018-04032.pdf Rule - Investment Company Liquidity Risk Management Programs; Commission Guidance for In-Kind ETFs https://regulations.justia.com/regulations/fedreg/2018/02/27/2018-03917.html https://regulations.justia.com/regulations/fedreg/2018/02/27/2018-03917.html Tue, 27 Feb 2018 00:00:00 -0800 2018-03917 Rule https://www.gpo.gov/fdsys/pkg/FR-2018-02-27/pdf/2018-03917.pdf 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 the Shares of the Western Asset Total Return ETF https://regulations.justia.com/regulations/fedreg/2018/02/27/2018-03895.html https://regulations.justia.com/regulations/fedreg/2018/02/27/2018-03895.html Tue, 27 Feb 2018 00:00:00 -0800 2018-03895 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-02-27/pdf/2018-03895.pdf Notice - Self-Regulatory Organizations; MIAX PEARL, LLC; Notice of Filing of a Proposed Rule Change To Adopt Rules Relating to Trading in Index Options https://regulations.justia.com/regulations/fedreg/2018/02/27/2018-03894.html https://regulations.justia.com/regulations/fedreg/2018/02/27/2018-03894.html Tue, 27 Feb 2018 00:00:00 -0800 2018-03894 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-02-27/pdf/2018-03894.pdf Notice - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Revise the Investment Company and Variable Contracts Products Representative (Series 6) Examination https://regulations.justia.com/regulations/fedreg/2018/02/27/2018-03893.html https://regulations.justia.com/regulations/fedreg/2018/02/27/2018-03893.html Tue, 27 Feb 2018 00:00:00 -0800 2018-03893 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-02-27/pdf/2018-03893.pdf Notice - Self-Regulatory Organizations; Nasdaq PHLX LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Section VI.A. of the Exchange's Pricing Schedule To Clarify the Exchange's Billing Practices With Respect to Permit Fees https://regulations.justia.com/regulations/fedreg/2018/02/27/2018-03892.html https://regulations.justia.com/regulations/fedreg/2018/02/27/2018-03892.html Tue, 27 Feb 2018 00:00:00 -0800 2018-03892 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-02-27/pdf/2018-03892.pdf Notice - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Revise the Operations Professional (Series 99) Examination https://regulations.justia.com/regulations/fedreg/2018/02/27/2018-03891.html https://regulations.justia.com/regulations/fedreg/2018/02/27/2018-03891.html Tue, 27 Feb 2018 00:00:00 -0800 2018-03891 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-02-27/pdf/2018-03891.pdf Notice - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Revise the Research Analyst (Series 86 and 87) Examinations https://regulations.justia.com/regulations/fedreg/2018/02/27/2018-03890.html https://regulations.justia.com/regulations/fedreg/2018/02/27/2018-03890.html Tue, 27 Feb 2018 00:00:00 -0800 2018-03890 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-02-27/pdf/2018-03890.pdf Notice - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Revise the Investment Banking Representative (Series 79) Examination https://regulations.justia.com/regulations/fedreg/2018/02/27/2018-03889.html https://regulations.justia.com/regulations/fedreg/2018/02/27/2018-03889.html Tue, 27 Feb 2018 00:00:00 -0800 2018-03889 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-02-27/pdf/2018-03889.pdf Notice - Self-Regulatory Organizations; Nasdaq ISE, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Gateway Fees https://regulations.justia.com/regulations/fedreg/2018/02/27/2018-03888.html https://regulations.justia.com/regulations/fedreg/2018/02/27/2018-03888.html Tue, 27 Feb 2018 00:00:00 -0800 2018-03888 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-02-27/pdf/2018-03888.pdf Notice - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Revise the Direct Participation Programs Representative (Series 22) Examination https://regulations.justia.com/regulations/fedreg/2018/02/27/2018-03887.html https://regulations.justia.com/regulations/fedreg/2018/02/27/2018-03887.html Tue, 27 Feb 2018 00:00:00 -0800 2018-03887 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-02-27/pdf/2018-03887.pdf Notice - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Revise the General Securities Representative (Series 7) Examination https://regulations.justia.com/regulations/fedreg/2018/02/27/2018-03886.html https://regulations.justia.com/regulations/fedreg/2018/02/27/2018-03886.html Tue, 27 Feb 2018 00:00:00 -0800 2018-03886 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-02-27/pdf/2018-03886.pdf Rule - Commission Statement and Guidance on Public Company Cybersecurity Disclosures https://regulations.justia.com/regulations/fedreg/2018/02/26/2018-03858.html https://regulations.justia.com/regulations/fedreg/2018/02/26/2018-03858.html Mon, 26 Feb 2018 00:00:00 -0800 2018-03858 Rule https://www.gpo.gov/fdsys/pkg/FR-2018-02-26/pdf/2018-03858.pdf Notice - Self-Regulatory Organizations; Cboe EDGX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Modify EDGX Rule 21.1 and Related Functionality Applicable to the Exchange's Options Platform https://regulations.justia.com/regulations/fedreg/2018/02/26/2018-03787.html https://regulations.justia.com/regulations/fedreg/2018/02/26/2018-03787.html Mon, 26 Feb 2018 00:00:00 -0800 2018-03787 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-02-26/pdf/2018-03787.pdf Notice - Self-Regulatory Organizations; Miami International Securities Exchange, LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Its Fee Schedule https://regulations.justia.com/regulations/fedreg/2018/02/26/2018-03786.html https://regulations.justia.com/regulations/fedreg/2018/02/26/2018-03786.html Mon, 26 Feb 2018 00:00:00 -0800 2018-03786 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-02-26/pdf/2018-03786.pdf Notice - Self-Regulatory Organizations; Cboe BZX Exchange, Inc.; Order Instituting Proceedings To Determine Whether To Approve or Disapprove a Proposed Rule Change to List and Trade Shares of the Innovator S&P 500 15% Shield Strategy ETF Series, Innovator S&P 500 −5% to −35% Shield Strategy ETF Series, Innovator S&P 500 Enhance and 10% Shield Strategy ETF Series, and Innovator S&P 500 Ultra Strategy ETF Series Under Rule 14.11(i) https://regulations.justia.com/regulations/fedreg/2018/02/26/2018-03785.html https://regulations.justia.com/regulations/fedreg/2018/02/26/2018-03785.html Mon, 26 Feb 2018 00:00:00 -0800 2018-03785 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-02-26/pdf/2018-03785.pdf Notice - Sunshine Act Meetings https://regulations.justia.com/regulations/fedreg/2018/02/23/2018-03799.html https://regulations.justia.com/regulations/fedreg/2018/02/23/2018-03799.html Fri, 23 Feb 2018 00:00:00 -0800 2018-03799 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-02-23/pdf/2018-03799.pdf Notice - Submission for OMB Review; Comment Request https://regulations.justia.com/regulations/fedreg/2018/02/23/2018-03739.html https://regulations.justia.com/regulations/fedreg/2018/02/23/2018-03739.html Fri, 23 Feb 2018 00:00:00 -0800 2018-03739 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-02-23/pdf/2018-03739.pdf Notice - Self-Regulatory Organizations; Cboe EDGX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Expand the Short Term Options Series Program To Allow Monday Expirations for SPDR S&P 500 ETF Trust Options on the Exchange's Equity Options Platform https://regulations.justia.com/regulations/fedreg/2018/02/23/2018-03699.html https://regulations.justia.com/regulations/fedreg/2018/02/23/2018-03699.html Fri, 23 Feb 2018 00:00:00 -0800 2018-03699 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-02-23/pdf/2018-03699.pdf Notice - Self-Regulatory Organizations; Nasdaq GEMX, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Rule 100 https://regulations.justia.com/regulations/fedreg/2018/02/23/2018-03698.html https://regulations.justia.com/regulations/fedreg/2018/02/23/2018-03698.html Fri, 23 Feb 2018 00:00:00 -0800 2018-03698 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-02-23/pdf/2018-03698.pdf Notice - Self-Regulatory Organizations; NYSE American LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Its Listing Standard for Warrants in Section 105 of the NYSE American Company Guide https://regulations.justia.com/regulations/fedreg/2018/02/23/2018-03697.html https://regulations.justia.com/regulations/fedreg/2018/02/23/2018-03697.html Fri, 23 Feb 2018 00:00:00 -0800 2018-03697 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-02-23/pdf/2018-03697.pdf Notice - Self-Regulatory Organizations; Cboe BZX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Expand the Short Term Options Series Program To Allow Monday Expirations for SPDR S&P 500 ETF Trust Options on the Exchange's Equity Options Platform https://regulations.justia.com/regulations/fedreg/2018/02/23/2018-03696.html https://regulations.justia.com/regulations/fedreg/2018/02/23/2018-03696.html Fri, 23 Feb 2018 00:00:00 -0800 2018-03696 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-02-23/pdf/2018-03696.pdf Notice - Self-Regulatory Organizations; Cboe Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating To Expand the Short Term Options Series Program To Allow Monday Expirations for SPDR S&P 500 ETF Trust Options https://regulations.justia.com/regulations/fedreg/2018/02/23/2018-03695.html https://regulations.justia.com/regulations/fedreg/2018/02/23/2018-03695.html Fri, 23 Feb 2018 00:00:00 -0800 2018-03695 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-02-23/pdf/2018-03695.pdf Notice - Self-Regulatory Organizations; Nasdaq MRX, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Rule 100 https://regulations.justia.com/regulations/fedreg/2018/02/23/2018-03694.html https://regulations.justia.com/regulations/fedreg/2018/02/23/2018-03694.html Fri, 23 Feb 2018 00:00:00 -0800 2018-03694 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-02-23/pdf/2018-03694.pdf Notice - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Section 902.11 of the Exchange's Listed Company Manual Concerning Fees Applicable to Acquisition Companies for Shares Issued in Connection With the Consummation of a Business Combination https://regulations.justia.com/regulations/fedreg/2018/02/23/2018-03693.html https://regulations.justia.com/regulations/fedreg/2018/02/23/2018-03693.html Fri, 23 Feb 2018 00:00:00 -0800 2018-03693 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-02-23/pdf/2018-03693.pdf Notice - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Order Granting Approval of a Proposed Rule Change To List and Trade the Shares of the Reinhart Intermediate Bond NextShares Fund Under Nasdaq Rule 5745 https://regulations.justia.com/regulations/fedreg/2018/02/23/2018-03692.html https://regulations.justia.com/regulations/fedreg/2018/02/23/2018-03692.html Fri, 23 Feb 2018 00:00:00 -0800 2018-03692 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-02-23/pdf/2018-03692.pdf Notice - Self-Regulatory Organizations; ICE Clear Europe Limited; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to a New F&O Concentration Charge Policy https://regulations.justia.com/regulations/fedreg/2018/02/23/2018-03691.html https://regulations.justia.com/regulations/fedreg/2018/02/23/2018-03691.html Fri, 23 Feb 2018 00:00:00 -0800 2018-03691 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-02-23/pdf/2018-03691.pdf Notice - Self-Regulatory Organizations; Chicago Stock Exchange, Inc.; Order Setting Aside Action by Delegated Authority and Disapproving a Proposed Rule Change, as Modified by Amendments No. 1 and No. 2, Regarding the Acquisition of CHX Holdings, Inc. by North America Casin Holdings, Inc. https://regulations.justia.com/regulations/fedreg/2018/02/22/2018-03589.html https://regulations.justia.com/regulations/fedreg/2018/02/22/2018-03589.html Thu, 22 Feb 2018 00:00:00 -0800 2018-03589 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-02-22/pdf/2018-03589.pdf Notice - Investment Company Act Release No. 33005A; File No. 812-14808 Morningstar Funds Trust, et al.; Notice of Application https://regulations.justia.com/regulations/fedreg/2018/02/22/2018-03570.html https://regulations.justia.com/regulations/fedreg/2018/02/22/2018-03570.html Thu, 22 Feb 2018 00:00:00 -0800 2018-03570 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-02-22/pdf/2018-03570.pdf Notice - Self-Regulatory Organizations; The Nasdaq Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Rule 7039 To Modify Pricing for the Nasdaq Last Sale Data Product and To Make Other Related Changes to Nasdaq Rules https://regulations.justia.com/regulations/fedreg/2018/02/22/2018-03568.html https://regulations.justia.com/regulations/fedreg/2018/02/22/2018-03568.html Thu, 22 Feb 2018 00:00:00 -0800 2018-03568 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-02-22/pdf/2018-03568.pdf Notice - Self-Regulatory Organizations; MIAX PEARL LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Rule 517A, Aggregate Risk Manager for EEMs (“ARM-E”), and Rule 517B, Aggregate Risk Manager for Market Makers (“ARM-M”) https://regulations.justia.com/regulations/fedreg/2018/02/22/2018-03567.html https://regulations.justia.com/regulations/fedreg/2018/02/22/2018-03567.html Thu, 22 Feb 2018 00:00:00 -0800 2018-03567 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-02-22/pdf/2018-03567.pdf Notice - Self-Regulatory Organizations; MIAX PEARL, LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Expand the Short Term Option Series Program https://regulations.justia.com/regulations/fedreg/2018/02/22/2018-03566.html https://regulations.justia.com/regulations/fedreg/2018/02/22/2018-03566.html Thu, 22 Feb 2018 00:00:00 -0800 2018-03566 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-02-22/pdf/2018-03566.pdf Notice - Self-Regulatory Organizations: Notice of Filing and Immediate Effectiveness of a Proposed Rule Change by Miami International Securities Exchange, LLC To Expand the Short Term Option Series Program https://regulations.justia.com/regulations/fedreg/2018/02/22/2018-03565.html https://regulations.justia.com/regulations/fedreg/2018/02/22/2018-03565.html Thu, 22 Feb 2018 00:00:00 -0800 2018-03565 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-02-22/pdf/2018-03565.pdf Notice - Sunshine Act Meetings https://regulations.justia.com/regulations/fedreg/2018/02/21/2018-03582.html https://regulations.justia.com/regulations/fedreg/2018/02/21/2018-03582.html Wed, 21 Feb 2018 00:00:00 -0800 2018-03582 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-02-21/pdf/2018-03582.pdf Notice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Temporarily Amend Rule 7.35-E(a)(8) Relating to the Auction Reference Price for the Trading Halt Auction for ProShares Short VIX Short-Term Futures ETF https://regulations.justia.com/regulations/fedreg/2018/02/21/2018-03454.html https://regulations.justia.com/regulations/fedreg/2018/02/21/2018-03454.html Wed, 21 Feb 2018 00:00:00 -0800 2018-03454 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-02-21/pdf/2018-03454.pdf Notice - Self-Regulatory Organizations; Cboe BZX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Temporarily Amend Rule 11.23(d)(2)(E) Relating to the Halt Auction Collar for a Halt Auction for REX VolMAXX Short Weekly Futures Strategy ETF https://regulations.justia.com/regulations/fedreg/2018/02/21/2018-03453.html https://regulations.justia.com/regulations/fedreg/2018/02/21/2018-03453.html Wed, 21 Feb 2018 00:00:00 -0800 2018-03453 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-02-21/pdf/2018-03453.pdf Notice - Self-Regulatory Organizations; Nasdaq MRX, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend INET Port Fees at Section II, C To Indicate Those Fees Are Not Prorated https://regulations.justia.com/regulations/fedreg/2018/02/21/2018-03452.html https://regulations.justia.com/regulations/fedreg/2018/02/21/2018-03452.html Wed, 21 Feb 2018 00:00:00 -0800 2018-03452 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-02-21/pdf/2018-03452.pdf Notice - Self-Regulatory Organizations; Nasdaq GEMX, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Port Fees https://regulations.justia.com/regulations/fedreg/2018/02/21/2018-03451.html https://regulations.justia.com/regulations/fedreg/2018/02/21/2018-03451.html Wed, 21 Feb 2018 00:00:00 -0800 2018-03451 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-02-21/pdf/2018-03451.pdf Notice - Self-Regulatory Organizations; Nasdaq ISE, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the Exchange's INET Port Fees To Indicate That Those Fees Are Prorated https://regulations.justia.com/regulations/fedreg/2018/02/21/2018-03450.html https://regulations.justia.com/regulations/fedreg/2018/02/21/2018-03450.html Wed, 21 Feb 2018 00:00:00 -0800 2018-03450 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-02-21/pdf/2018-03450.pdf Notice - Self-Regulatory Organizations; The Nasdaq Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Expand the Short Term Option Series Program https://regulations.justia.com/regulations/fedreg/2018/02/21/2018-03449.html https://regulations.justia.com/regulations/fedreg/2018/02/21/2018-03449.html Wed, 21 Feb 2018 00:00:00 -0800 2018-03449 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-02-21/pdf/2018-03449.pdf 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 https://regulations.justia.com/regulations/fedreg/2018/02/21/2018-03448.html https://regulations.justia.com/regulations/fedreg/2018/02/21/2018-03448.html Wed, 21 Feb 2018 00:00:00 -0800 2018-03448 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-02-21/pdf/2018-03448.pdf Notice - Sunshine Act Meetings https://regulations.justia.com/regulations/fedreg/2018/02/20/2018-03467.html https://regulations.justia.com/regulations/fedreg/2018/02/20/2018-03467.html Tue, 20 Feb 2018 00:00:00 -0800 2018-03467 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-02-20/pdf/2018-03467.pdf Notice - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Its Price List for Equity Transactions in Stocks With a Per Share Stock Price of $1.00 or More To Introduce a New Market at-the-Close and Limit at-the-Close Tier 3 https://regulations.justia.com/regulations/fedreg/2018/02/20/2018-03314.html https://regulations.justia.com/regulations/fedreg/2018/02/20/2018-03314.html Tue, 20 Feb 2018 00:00:00 -0800 2018-03314 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-02-20/pdf/2018-03314.pdf Notice - Self-Regulatory Organizations; Cboe BZX Exchange, Inc.; Notice of Filing of a Proposed Rule Change To Adopt BZX Rule 14.11(k) To Permit the Listing and Trading of Managed Portfolio Shares and To List and Trade Shares of the ClearBridge Appreciation ETF, ClearBridge Large Cap ETF, ClearBridge MidCap Growth ETF, ClearBridge Select ETF, and ClearBridge All Cap Value ETF https://regulations.justia.com/regulations/fedreg/2018/02/20/2018-03313.html https://regulations.justia.com/regulations/fedreg/2018/02/20/2018-03313.html Tue, 20 Feb 2018 00:00:00 -0800 2018-03313 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-02-20/pdf/2018-03313.pdf Notice - Self-Regulatory Organizations; Nasdaq BX, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Expand the Short Term Option Series Program https://regulations.justia.com/regulations/fedreg/2018/02/20/2018-03312.html https://regulations.justia.com/regulations/fedreg/2018/02/20/2018-03312.html Tue, 20 Feb 2018 00:00:00 -0800 2018-03312 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-02-20/pdf/2018-03312.pdf Notice - Self-Regulatory Organizations; The Nasdaq Stock Market LLC; Notice of Filing of Proposed Rule Change To Modify the Listing Requirements Contained in Listing Rule 5635(d) To Change the Definition of Market Value for Purposes of the Shareholder Approval Rules and Eliminate the Requirement for Shareholder Approval of Issuances at a Price Less Than Book Value but Greater Than Market Value https://regulations.justia.com/regulations/fedreg/2018/02/20/2018-03311.html https://regulations.justia.com/regulations/fedreg/2018/02/20/2018-03311.html Tue, 20 Feb 2018 00:00:00 -0800 2018-03311 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-02-20/pdf/2018-03311.pdf Notice - Self-Regulatory Organizations; Nasdaq MRX, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Memorialize Functionality Designed To Assist Members in the Event That They Lose Communication https://regulations.justia.com/regulations/fedreg/2018/02/20/2018-03310.html https://regulations.justia.com/regulations/fedreg/2018/02/20/2018-03310.html Tue, 20 Feb 2018 00:00:00 -0800 2018-03310 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-02-20/pdf/2018-03310.pdf Notice - Self-Regulatory Organizations; Nasdaq ISE, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Expand the Short Term Option Series Program https://regulations.justia.com/regulations/fedreg/2018/02/20/2018-03309.html https://regulations.justia.com/regulations/fedreg/2018/02/20/2018-03309.html Tue, 20 Feb 2018 00:00:00 -0800 2018-03309 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-02-20/pdf/2018-03309.pdf Notice - Self-Regulatory Organizations; Nasdaq ISE, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Memorialize Functionality Designed To Assist Members in the Event that They Lose Communication https://regulations.justia.com/regulations/fedreg/2018/02/20/2018-03308.html https://regulations.justia.com/regulations/fedreg/2018/02/20/2018-03308.html Tue, 20 Feb 2018 00:00:00 -0800 2018-03308 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-02-20/pdf/2018-03308.pdf Notice - Self-Regulatory Organizations; Nasdaq GEMX, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Memorialize Functionality Which Is Designed To Assist Members in the Event That They Lose Communication https://regulations.justia.com/regulations/fedreg/2018/02/20/2018-03307.html https://regulations.justia.com/regulations/fedreg/2018/02/20/2018-03307.html Tue, 20 Feb 2018 00:00:00 -0800 2018-03307 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-02-20/pdf/2018-03307.pdf Notice - Self-Regulatory Organizations; BOX Options Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Expand the Short Term Option Series Program https://regulations.justia.com/regulations/fedreg/2018/02/20/2018-03306.html https://regulations.justia.com/regulations/fedreg/2018/02/20/2018-03306.html Tue, 20 Feb 2018 00:00:00 -0800 2018-03306 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-02-20/pdf/2018-03306.pdf Notice - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing of a Proposed Rule Change Relating to Simplified Arbitration https://regulations.justia.com/regulations/fedreg/2018/02/16/2018-03202.html https://regulations.justia.com/regulations/fedreg/2018/02/16/2018-03202.html Fri, 16 Feb 2018 00:00:00 -0800 2018-03202 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-02-16/pdf/2018-03202.pdf Notice - Self-Regulatory Organizations; ICE Clear Europe Limited; Notice of Filing of Proposed Rule Change, Security-Based Swap Submission or Advance Notice Relating to Amendments to the ICE Clear Europe CDS Clearing Stress Testing Policy (the “Stress Testing Policy”) https://regulations.justia.com/regulations/fedreg/2018/02/16/2018-03201.html https://regulations.justia.com/regulations/fedreg/2018/02/16/2018-03201.html Fri, 16 Feb 2018 00:00:00 -0800 2018-03201 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-02-16/pdf/2018-03201.pdf Notice - Self-Regulatory Organizations; ICE Clear Europe Limited; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to the ICE Clear Europe Rules for the Transition of Trading in Certain F&O Contracts https://regulations.justia.com/regulations/fedreg/2018/02/16/2018-03200.html https://regulations.justia.com/regulations/fedreg/2018/02/16/2018-03200.html Fri, 16 Feb 2018 00:00:00 -0800 2018-03200 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-02-16/pdf/2018-03200.pdf Notice - Self-Regulatory Organizations; BOX Options Exchange LLC; Notice of Filing of Proposed Rule Change To Adopt IM-8040-3 to Rule 8040 https://regulations.justia.com/regulations/fedreg/2018/02/16/2018-03199.html https://regulations.justia.com/regulations/fedreg/2018/02/16/2018-03199.html Fri, 16 Feb 2018 00:00:00 -0800 2018-03199 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-02-16/pdf/2018-03199.pdf Notice - Self-Regulatory Organizations; Cboe Exchange, Inc.; Notice of Filing of a Proposed Rule Change To Amend Rules Related to the Complex Order Book https://regulations.justia.com/regulations/fedreg/2018/02/16/2018-03197.html https://regulations.justia.com/regulations/fedreg/2018/02/16/2018-03197.html Fri, 16 Feb 2018 00:00:00 -0800 2018-03197 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-02-16/pdf/2018-03197.pdf Notice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Designation of Longer Period for Commission Action on Proceedings To Determine Whether To Approve or Disapprove a Proposed Rule Change, as Modified by Amendment No. 2, To List and Trade Shares of ProShares QuadPro Funds Under NYSE Arca Rule 8.200-E https://regulations.justia.com/regulations/fedreg/2018/02/15/2018-03113.html https://regulations.justia.com/regulations/fedreg/2018/02/15/2018-03113.html Thu, 15 Feb 2018 00:00:00 -0800 2018-03113 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-02-15/pdf/2018-03113.pdf Notice - Self-Regulatory Organizations; ICE Clear Europe Limited; Notice of Filing of Proposed Rule Change, Security-Based Swap Submission, or Advance Notice Relating to Amendments to the ICE Clear Europe Limited CDS Procedures, CDS Risk Policy, and CDS Risk Model Description https://regulations.justia.com/regulations/fedreg/2018/02/15/2018-03112.html https://regulations.justia.com/regulations/fedreg/2018/02/15/2018-03112.html Thu, 15 Feb 2018 00:00:00 -0800 2018-03112 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-02-15/pdf/2018-03112.pdf Notice - Self-Regulatory Organizations; LCH SA; Notice of Filing of Proposed Rule Change, Security-Based Swap Submission, or Advance Notice Relating to Self-Referencing Transactions https://regulations.justia.com/regulations/fedreg/2018/02/15/2018-03111.html https://regulations.justia.com/regulations/fedreg/2018/02/15/2018-03111.html Thu, 15 Feb 2018 00:00:00 -0800 2018-03111 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-02-15/pdf/2018-03111.pdf Notice - Privacy Act of 1974; System of Records https://regulations.justia.com/regulations/fedreg/2018/02/15/2018-03101.html https://regulations.justia.com/regulations/fedreg/2018/02/15/2018-03101.html Thu, 15 Feb 2018 00:00:00 -0800 2018-03101 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-02-15/pdf/2018-03101.pdf Notice - Privacy Act of 1974; System of Records https://regulations.justia.com/regulations/fedreg/2018/02/15/2018-03100.html https://regulations.justia.com/regulations/fedreg/2018/02/15/2018-03100.html Thu, 15 Feb 2018 00:00:00 -0800 2018-03100 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-02-15/pdf/2018-03100.pdf Notice - Proposed Collection; Comment Request https://regulations.justia.com/regulations/fedreg/2018/02/15/2018-03097.html https://regulations.justia.com/regulations/fedreg/2018/02/15/2018-03097.html Thu, 15 Feb 2018 00:00:00 -0800 2018-03097 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-02-15/pdf/2018-03097.pdf Notice - Proposed Collection; Comment Request https://regulations.justia.com/regulations/fedreg/2018/02/15/2018-03096.html https://regulations.justia.com/regulations/fedreg/2018/02/15/2018-03096.html Thu, 15 Feb 2018 00:00:00 -0800 2018-03096 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-02-15/pdf/2018-03096.pdf Notice - Proposed Collection; Comment Request https://regulations.justia.com/regulations/fedreg/2018/02/15/2018-03095.html https://regulations.justia.com/regulations/fedreg/2018/02/15/2018-03095.html Thu, 15 Feb 2018 00:00:00 -0800 2018-03095 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-02-15/pdf/2018-03095.pdf Notice - Self-Regulatory Organizations; National Securities Clearing Corporation; Notice of No Objection to an Advance Notice To Increase the Authorized Amount Under the Prefunded Liquidity Program https://regulations.justia.com/regulations/fedreg/2018/02/15/2018-03094.html https://regulations.justia.com/regulations/fedreg/2018/02/15/2018-03094.html Thu, 15 Feb 2018 00:00:00 -0800 2018-03094 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-02-15/pdf/2018-03094.pdf Notice - Self-Regulatory Organizations; National Securities Clearing Corporation; Notice of Filing of Proposed Rule Change To Amend the By-Laws and Make Other Changes https://regulations.justia.com/regulations/fedreg/2018/02/14/2018-02987.html https://regulations.justia.com/regulations/fedreg/2018/02/14/2018-02987.html Wed, 14 Feb 2018 00:00:00 -0800 2018-02987 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-02-14/pdf/2018-02987.pdf Notice - Self-Regulatory Organizations; Miami International Securities Exchange, LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Its Fee Schedule https://regulations.justia.com/regulations/fedreg/2018/02/14/2018-02986.html https://regulations.justia.com/regulations/fedreg/2018/02/14/2018-02986.html Wed, 14 Feb 2018 00:00:00 -0800 2018-02986 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-02-14/pdf/2018-02986.pdf Notice - Self-Regulatory Organizations; Fixed Income Clearing Corporation; Notice of Filing of Proposed Rule Change To Amend the By-Laws and Make Other Changes https://regulations.justia.com/regulations/fedreg/2018/02/14/2018-02985.html https://regulations.justia.com/regulations/fedreg/2018/02/14/2018-02985.html Wed, 14 Feb 2018 00:00:00 -0800 2018-02985 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-02-14/pdf/2018-02985.pdf Notice - Self-Regulatory Organizations; The Depository Trust Company; Notice of Filing of Proposed Rule Change To Amend the By-Laws https://regulations.justia.com/regulations/fedreg/2018/02/14/2018-02984.html https://regulations.justia.com/regulations/fedreg/2018/02/14/2018-02984.html Wed, 14 Feb 2018 00:00:00 -0800 2018-02984 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-02-14/pdf/2018-02984.pdf Notice - Self-Regulatory Organizations; The Depository Trust Company; Fixed Income Clearing Corporation; National Securities Clearing Corporation; Notice of Designation of Longer Period for Commission Action on Proposed Rule Changes To Amend the Loss Allocation Rules and Make Other Changes https://regulations.justia.com/regulations/fedreg/2018/02/14/2018-02983.html https://regulations.justia.com/regulations/fedreg/2018/02/14/2018-02983.html Wed, 14 Feb 2018 00:00:00 -0800 2018-02983 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-02-14/pdf/2018-02983.pdf Notice - Self-Regulatory Organizations; The Depository Trust Company; Fixed Income Clearing Corporation; National Securities Clearing Corporation; Notice of Designation of Longer Period for Commission Action on Proposed Rule Changes To Adopt a Recovery & Wind-Down Plan and Related Rules https://regulations.justia.com/regulations/fedreg/2018/02/14/2018-02982.html https://regulations.justia.com/regulations/fedreg/2018/02/14/2018-02982.html Wed, 14 Feb 2018 00:00:00 -0800 2018-02982 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-02-14/pdf/2018-02982.pdf Notice - Self-Regulatory Organizations; Nasdaq ISE, LLC; Notice of Designation of Longer Period for Commission Action on Proposed Rule Change To Permit the Listing and Trading of NQX Index Options on a Pilot Basis https://regulations.justia.com/regulations/fedreg/2018/02/14/2018-02981.html https://regulations.justia.com/regulations/fedreg/2018/02/14/2018-02981.html Wed, 14 Feb 2018 00:00:00 -0800 2018-02981 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-02-14/pdf/2018-02981.pdf Notice - Self-Regulatory Organizations; Cboe C2 Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to the Options Regulatory Fee https://regulations.justia.com/regulations/fedreg/2018/02/14/2018-02980.html https://regulations.justia.com/regulations/fedreg/2018/02/14/2018-02980.html Wed, 14 Feb 2018 00:00:00 -0800 2018-02980 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-02-14/pdf/2018-02980.pdf Notice - Self-Regulatory Organizations; Cboe Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to the Options Regulatory Fee https://regulations.justia.com/regulations/fedreg/2018/02/14/2018-02979.html https://regulations.justia.com/regulations/fedreg/2018/02/14/2018-02979.html Wed, 14 Feb 2018 00:00:00 -0800 2018-02979 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-02-14/pdf/2018-02979.pdf Notice - Self-Regulatory Organizations; The Depository Trust Company; Order Approving Proposed Rule Change To Restore the Timeframe for Processing Credit Post-Payable Adjustments https://regulations.justia.com/regulations/fedreg/2018/02/14/2018-02978.html https://regulations.justia.com/regulations/fedreg/2018/02/14/2018-02978.html Wed, 14 Feb 2018 00:00:00 -0800 2018-02978 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-02-14/pdf/2018-02978.pdf Notice - Self-Regulatory Organizations; The Depository Trust Company; Order Approving Proposed Rule Change To Amend Procedures in the DTC Settlement Service Guide Relating to the Intra-Month Collection of Required Participants Fund Deposits https://regulations.justia.com/regulations/fedreg/2018/02/14/2018-02977.html https://regulations.justia.com/regulations/fedreg/2018/02/14/2018-02977.html Wed, 14 Feb 2018 00:00:00 -0800 2018-02977 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-02-14/pdf/2018-02977.pdf Notice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the NYSE Arca Equities Fees and Charges https://regulations.justia.com/regulations/fedreg/2018/02/14/2018-02976.html https://regulations.justia.com/regulations/fedreg/2018/02/14/2018-02976.html Wed, 14 Feb 2018 00:00:00 -0800 2018-02976 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-02-14/pdf/2018-02976.pdf Notice - Self-Regulatory Organizations; Cboe BZX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to the Options Regulatory Fee https://regulations.justia.com/regulations/fedreg/2018/02/14/2018-02975.html https://regulations.justia.com/regulations/fedreg/2018/02/14/2018-02975.html Wed, 14 Feb 2018 00:00:00 -0800 2018-02975 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-02-14/pdf/2018-02975.pdf Notice - Self-Regulatory Organizations; ICE Clear Europe Limited; Order Approving Proposed Rule Change Relating to Amendments to the ICE Clear Europe Collateral and Haircut Policy https://regulations.justia.com/regulations/fedreg/2018/02/14/2018-02974.html https://regulations.justia.com/regulations/fedreg/2018/02/14/2018-02974.html Wed, 14 Feb 2018 00:00:00 -0800 2018-02974 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-02-14/pdf/2018-02974.pdf Notice - Self-Regulatory Organizations; the Options Clearing Corporation; Order Approving Proposed Rule Change Related to the Options Clearing Corporation's Margin Policy https://regulations.justia.com/regulations/fedreg/2018/02/14/2018-02973.html https://regulations.justia.com/regulations/fedreg/2018/02/14/2018-02973.html Wed, 14 Feb 2018 00:00:00 -0800 2018-02973 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-02-14/pdf/2018-02973.pdf Notice - Self-Regulatory Organizations; the Options Clearing Corporation; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Revise the Options Clearing Corporation's Schedule of Fees https://regulations.justia.com/regulations/fedreg/2018/02/14/2018-02972.html https://regulations.justia.com/regulations/fedreg/2018/02/14/2018-02972.html Wed, 14 Feb 2018 00:00:00 -0800 2018-02972 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-02-14/pdf/2018-02972.pdf Notice - Self-Regulatory Organizations; BOX Options Exchange LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the Fee Schedule To Amend the BOX Volume Rebate https://regulations.justia.com/regulations/fedreg/2018/02/13/2018-02865.html https://regulations.justia.com/regulations/fedreg/2018/02/13/2018-02865.html Tue, 13 Feb 2018 00:00:00 -0800 2018-02865 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-02-13/pdf/2018-02865.pdf Notice - Self-Regulatory Organizations; BOX Options Exchange LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Section VI. (Technology Fees) of the BOX Fee Schedule https://regulations.justia.com/regulations/fedreg/2018/02/13/2018-02864.html https://regulations.justia.com/regulations/fedreg/2018/02/13/2018-02864.html Tue, 13 Feb 2018 00:00:00 -0800 2018-02864 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-02-13/pdf/2018-02864.pdf Notice - Self-Regulatory Organizations; Nasdaq PHLX LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the Exchange's Pricing Schedule To Exclude NDX and NDXP Options From the Strategy Caps and From Special Pricing for FLEX Transactions https://regulations.justia.com/regulations/fedreg/2018/02/13/2018-02863.html https://regulations.justia.com/regulations/fedreg/2018/02/13/2018-02863.html Tue, 13 Feb 2018 00:00:00 -0800 2018-02863 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-02-13/pdf/2018-02863.pdf Notice - Self-Regulatory Organizations; Cboe BZX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Related to Fees for Use on the Exchange's Equity Options Platform https://regulations.justia.com/regulations/fedreg/2018/02/13/2018-02862.html https://regulations.justia.com/regulations/fedreg/2018/02/13/2018-02862.html Tue, 13 Feb 2018 00:00:00 -0800 2018-02862 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-02-13/pdf/2018-02862.pdf Notice - Self-Regulatory Organizations; Cboe Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Related to Market Data Fees https://regulations.justia.com/regulations/fedreg/2018/02/13/2018-02861.html https://regulations.justia.com/regulations/fedreg/2018/02/13/2018-02861.html Tue, 13 Feb 2018 00:00:00 -0800 2018-02861 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-02-13/pdf/2018-02861.pdf Notice - Self-Regulatory Organizations; Nasdaq PHLX LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Delete Cross-Reference to Rule 124(d) From Rule 1092 https://regulations.justia.com/regulations/fedreg/2018/02/13/2018-02860.html https://regulations.justia.com/regulations/fedreg/2018/02/13/2018-02860.html Tue, 13 Feb 2018 00:00:00 -0800 2018-02860 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-02-13/pdf/2018-02860.pdf Notice - Self-Regulatory Organizations; Cboe Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the Fees Schedule Concerning the Floor Broker SPX Surcharge https://regulations.justia.com/regulations/fedreg/2018/02/13/2018-02859.html https://regulations.justia.com/regulations/fedreg/2018/02/13/2018-02859.html Tue, 13 Feb 2018 00:00:00 -0800 2018-02859 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-02-13/pdf/2018-02859.pdf Notice - Self-Regulatory Organizations; Cboe C2 Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Related to Market Data Fees https://regulations.justia.com/regulations/fedreg/2018/02/13/2018-02858.html https://regulations.justia.com/regulations/fedreg/2018/02/13/2018-02858.html Tue, 13 Feb 2018 00:00:00 -0800 2018-02858 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-02-13/pdf/2018-02858.pdf Notice - Self-Regulatory Organizations; Cboe Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Delete Obsolete Rules https://regulations.justia.com/regulations/fedreg/2018/02/13/2018-02857.html https://regulations.justia.com/regulations/fedreg/2018/02/13/2018-02857.html Tue, 13 Feb 2018 00:00:00 -0800 2018-02857 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-02-13/pdf/2018-02857.pdf Notice - Self-Regulatory Organizations; Cboe EDGX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Related to Fees for Use on the Exchange's Equity Options Platform https://regulations.justia.com/regulations/fedreg/2018/02/13/2018-02856.html https://regulations.justia.com/regulations/fedreg/2018/02/13/2018-02856.html Tue, 13 Feb 2018 00:00:00 -0800 2018-02856 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-02-13/pdf/2018-02856.pdf Notice - Investor Advisory Committee Meeting https://regulations.justia.com/regulations/fedreg/2018/02/13/2018-02850.html https://regulations.justia.com/regulations/fedreg/2018/02/13/2018-02850.html Tue, 13 Feb 2018 00:00:00 -0800 2018-02850 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-02-13/pdf/2018-02850.pdf Notice - Proposed Collection; Comment Request https://regulations.justia.com/regulations/fedreg/2018/02/12/2018-02796.html https://regulations.justia.com/regulations/fedreg/2018/02/12/2018-02796.html Mon, 12 Feb 2018 00:00:00 -0800 2018-02796 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-02-12/pdf/2018-02796.pdf Notice - Proposed Collection; Comment Request https://regulations.justia.com/regulations/fedreg/2018/02/12/2018-02795.html https://regulations.justia.com/regulations/fedreg/2018/02/12/2018-02795.html Mon, 12 Feb 2018 00:00:00 -0800 2018-02795 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-02-12/pdf/2018-02795.pdf 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 To Modify Complex Order Fees and Rebates https://regulations.justia.com/regulations/fedreg/2018/02/12/2018-02727.html https://regulations.justia.com/regulations/fedreg/2018/02/12/2018-02727.html Mon, 12 Feb 2018 00:00:00 -0800 2018-02727 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-02-12/pdf/2018-02727.pdf Notice - Self-Regulatory Organizations; Cboe BZX Exchange, Inc.; Notice of Designation of a Longer Period for Commission Action on a Proposed Rule Change, as Modified by Amendment No. 1, To List and Trade Shares of the LHA Market State® Tactical U.S. Equity ETF, a Series of the ETF Series Solutions, Under Rule 14.11(i), Managed Fund Shares https://regulations.justia.com/regulations/fedreg/2018/02/12/2018-02726.html https://regulations.justia.com/regulations/fedreg/2018/02/12/2018-02726.html Mon, 12 Feb 2018 00:00:00 -0800 2018-02726 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-02-12/pdf/2018-02726.pdf Notice - Self-Regulatory Organizations; Cboe BZX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Related to Fees for Use on Cboe BZX Exchange, Inc. https://regulations.justia.com/regulations/fedreg/2018/02/12/2018-02725.html https://regulations.justia.com/regulations/fedreg/2018/02/12/2018-02725.html Mon, 12 Feb 2018 00:00:00 -0800 2018-02725 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-02-12/pdf/2018-02725.pdf Notice - Self-Regulatory Organizations; ICE Clear Credit LLC; Notice of Filing of Proposed Rule Change, Security-Based Swap Submission, or Advance Notice Relating to ICC's End-of-Day Price Discovery Policies and Procedures https://regulations.justia.com/regulations/fedreg/2018/02/12/2018-02724.html https://regulations.justia.com/regulations/fedreg/2018/02/12/2018-02724.html Mon, 12 Feb 2018 00:00:00 -0800 2018-02724 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-02-12/pdf/2018-02724.pdf Notice - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Change To Amend Certain of the Governing Documents of Its Intermediate Parent Companies https://regulations.justia.com/regulations/fedreg/2018/02/12/2018-02723.html https://regulations.justia.com/regulations/fedreg/2018/02/12/2018-02723.html Mon, 12 Feb 2018 00:00:00 -0800 2018-02723 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-02-12/pdf/2018-02723.pdf Notice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Certain of the Governing/Documents of Its Intermediate Parent Companies https://regulations.justia.com/regulations/fedreg/2018/02/12/2018-02722.html https://regulations.justia.com/regulations/fedreg/2018/02/12/2018-02722.html Mon, 12 Feb 2018 00:00:00 -0800 2018-02722 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-02-12/pdf/2018-02722.pdf Notice - Self-Regulatory Organizations; NYSE American LLC; Notice of Filing and Immediate Effectiveness of Proposed Change To Amend Certain of the Governing Documents of Its Intermediate Parent Companies https://regulations.justia.com/regulations/fedreg/2018/02/12/2018-02721.html https://regulations.justia.com/regulations/fedreg/2018/02/12/2018-02721.html Mon, 12 Feb 2018 00:00:00 -0800 2018-02721 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-02-12/pdf/2018-02721.pdf Notice - Self-Regulatory Organizations; Investors Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Adopt an IEX Enhanced Market Maker (“IEMM”) Program https://regulations.justia.com/regulations/fedreg/2018/02/12/2018-02720.html https://regulations.justia.com/regulations/fedreg/2018/02/12/2018-02720.html Mon, 12 Feb 2018 00:00:00 -0800 2018-02720 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-02-12/pdf/2018-02720.pdf Notice - Self-Regulatory Organizations; NYSE National, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Change To Amend Certain of the Governing Documents of Its Intermediate Parent Companies https://regulations.justia.com/regulations/fedreg/2018/02/12/2018-02719.html https://regulations.justia.com/regulations/fedreg/2018/02/12/2018-02719.html Mon, 12 Feb 2018 00:00:00 -0800 2018-02719 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-02-12/pdf/2018-02719.pdf Notice - Self-Regulatory Organizations; The Nasdaq Stock Market LLC; Notice of Designation of Longer Period for Commission Action on Proceedings To Determine Whether To Approve or Disapprove a Proposed Rule Change, as Modified by Amendment Nos. 1 and 2, To Adopt the Midpoint Extended Life Order https://regulations.justia.com/regulations/fedreg/2018/02/09/2018-02568.html https://regulations.justia.com/regulations/fedreg/2018/02/09/2018-02568.html Fri, 09 Feb 2018 00:00:00 -0800 2018-02568 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-02-09/pdf/2018-02568.pdf Notice - Self-Regulatory Organizations; Nasdaq BX, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Exchange Rules 7030, 7034, and 7051 https://regulations.justia.com/regulations/fedreg/2018/02/09/2018-02567.html https://regulations.justia.com/regulations/fedreg/2018/02/09/2018-02567.html Fri, 09 Feb 2018 00:00:00 -0800 2018-02567 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-02-09/pdf/2018-02567.pdf Notice - Self-Regulatory Organizations; National Securities Clearing Corporation; Notice of Filing of Advance Notice, as Modified by Amendment No. 1, To Enhance the Calculation of the Volatility Component of the Clearing Fund Formula That Utilizes a Parametric Value-at-Risk Model and Eliminate the Market Maker Domination Charge https://regulations.justia.com/regulations/fedreg/2018/02/08/2018-02543.html https://regulations.justia.com/regulations/fedreg/2018/02/08/2018-02543.html Thu, 08 Feb 2018 00:00:00 -0800 2018-02543 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-02-08/pdf/2018-02543.pdf Notice - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing of Amendment No. 3 and Order Granting Accelerated Approval of Proposed Rule Change, as Modified by Amendment No. 3, To Amend Section 102.01B of the NYSE Listed Company Manual To Provide for the Listing of Companies That List Without a Prior Exchange Act Registration and That Are Not Listing in Connection With an Underwritten Initial Public Offering and Related Changes to Rules 15, 104, and 123D https://regulations.justia.com/regulations/fedreg/2018/02/08/2018-02501.html https://regulations.justia.com/regulations/fedreg/2018/02/08/2018-02501.html Thu, 08 Feb 2018 00:00:00 -0800 2018-02501 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-02-08/pdf/2018-02501.pdf Notice - Order Extending Until February 5, 2019 Certain Temporary Exemptions Under the Securities Exchange Act of 1934 in Connection With the Revision of the Definition of “Security” To Encompass Security-Based Swaps and Request for Comment https://regulations.justia.com/regulations/fedreg/2018/02/08/2018-02498.html https://regulations.justia.com/regulations/fedreg/2018/02/08/2018-02498.html Thu, 08 Feb 2018 00:00:00 -0800 2018-02498 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-02-08/pdf/2018-02498.pdf Notice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Certain Changes Regarding the U.S. Equity Cumulative Dividends Fund-Series 2027 and the U.S. Equity Ex-Dividend Fund-Series 2027 https://regulations.justia.com/regulations/fedreg/2018/02/08/2018-02484.html https://regulations.justia.com/regulations/fedreg/2018/02/08/2018-02484.html Thu, 08 Feb 2018 00:00:00 -0800 2018-02484 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-02-08/pdf/2018-02484.pdf Notice - Self-Regulatory Organizations; Investors Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Modify the Default Handling of Market Orders Entered With a Time-in-Force of DAY https://regulations.justia.com/regulations/fedreg/2018/02/08/2018-02483.html https://regulations.justia.com/regulations/fedreg/2018/02/08/2018-02483.html Thu, 08 Feb 2018 00:00:00 -0800 2018-02483 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-02-08/pdf/2018-02483.pdf Notice - Self-Regulatory Organizations; Cboe Exchange, Inc.; Notice of Filing of a Proposed Rule Change Relating to Flexibly Structured Options https://regulations.justia.com/regulations/fedreg/2018/02/08/2018-02482.html https://regulations.justia.com/regulations/fedreg/2018/02/08/2018-02482.html Thu, 08 Feb 2018 00:00:00 -0800 2018-02482 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-02-08/pdf/2018-02482.pdf Notice - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Provide Users With Access to Two Additional Third Party Systems and Connectivity to One Additional Third Party Data Feed https://regulations.justia.com/regulations/fedreg/2018/02/07/2018-02401.html https://regulations.justia.com/regulations/fedreg/2018/02/07/2018-02401.html Wed, 07 Feb 2018 00:00:00 -0800 2018-02401 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-02-07/pdf/2018-02401.pdf Notice - Self-Regulatory Organizations; NYSE American LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Provide Users With Access to Two Additional Third Party Systems and Connectivity to One Additional Third Party Data Feed https://regulations.justia.com/regulations/fedreg/2018/02/07/2018-02400.html https://regulations.justia.com/regulations/fedreg/2018/02/07/2018-02400.html Wed, 07 Feb 2018 00:00:00 -0800 2018-02400 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-02-07/pdf/2018-02400.pdf Notice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Provide Users With Access to Two Additional Third Party Systems and Connectivity to One Additional Third Party Data Feed https://regulations.justia.com/regulations/fedreg/2018/02/07/2018-02399.html https://regulations.justia.com/regulations/fedreg/2018/02/07/2018-02399.html Wed, 07 Feb 2018 00:00:00 -0800 2018-02399 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-02-07/pdf/2018-02399.pdf Notice - Self-Regulatory Organizations; Municipal Securities Rulemaking Board; Notice of Filing of a Proposed Rule Change Consisting of Amendments to Rule G-21, on Advertising, Proposed New Rule G-40, on Advertising by Municipal Advisors, and a Technical Amendment to Rule G-42, on Duties of Non-Solicitor Municipal Advisors https://regulations.justia.com/regulations/fedreg/2018/02/07/2018-02398.html https://regulations.justia.com/regulations/fedreg/2018/02/07/2018-02398.html Wed, 07 Feb 2018 00:00:00 -0800 2018-02398 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-02-07/pdf/2018-02398.pdf Notice - Self-Regulatory Organizations; Cboe EDGX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Rule 21.1, Definitions, To Modify a Time in Force Applicable to the Exchange's Equity Options Platform https://regulations.justia.com/regulations/fedreg/2018/02/07/2018-02397.html https://regulations.justia.com/regulations/fedreg/2018/02/07/2018-02397.html Wed, 07 Feb 2018 00:00:00 -0800 2018-02397 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-02-07/pdf/2018-02397.pdf Notice - Self-Regulatory Organizations; Cboe BZX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Rule 21.1, Definitions, To Adopt a New Time in Force and To Modify an Existing Time in Force Applicable to the Exchange's Equity Options Platform https://regulations.justia.com/regulations/fedreg/2018/02/07/2018-02396.html https://regulations.justia.com/regulations/fedreg/2018/02/07/2018-02396.html Wed, 07 Feb 2018 00:00:00 -0800 2018-02396 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-02-07/pdf/2018-02396.pdf Notice - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Designation of a Longer Period for Commission Action on Proceedings To Determine Whether To Approve or Disapprove a Proposed Rule Change To Adopt New Equity Trading Rules for Trading UTP Securities on Pillar, Including Orders and Modifiers, Order Ranking and Display, and Order Execution and Routing https://regulations.justia.com/regulations/fedreg/2018/02/07/2018-02395.html https://regulations.justia.com/regulations/fedreg/2018/02/07/2018-02395.html Wed, 07 Feb 2018 00:00:00 -0800 2018-02395 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-02-07/pdf/2018-02395.pdf Notice - Self-Regulatory Organizations; Nasdaq ISE, LLC; Order Approving a Proposed Rule Change To Establish a Nonstandard Expirations Pilot Program https://regulations.justia.com/regulations/fedreg/2018/02/07/2018-02394.html https://regulations.justia.com/regulations/fedreg/2018/02/07/2018-02394.html Wed, 07 Feb 2018 00:00:00 -0800 2018-02394 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-02-07/pdf/2018-02394.pdf Notice - Self-Regulatory Organizations; Nasdaq PHLX LLC; Order Approving a Proposed Rule Change To Expand the Short Term Option Series Program To Allow Monday Expirations for SPY Options https://regulations.justia.com/regulations/fedreg/2018/02/07/2018-02393.html https://regulations.justia.com/regulations/fedreg/2018/02/07/2018-02393.html Wed, 07 Feb 2018 00:00:00 -0800 2018-02393 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-02-07/pdf/2018-02393.pdf Notice - Sunshine Act Meetings https://regulations.justia.com/regulations/fedreg/2018/02/06/2018-02392.html https://regulations.justia.com/regulations/fedreg/2018/02/06/2018-02392.html Tue, 06 Feb 2018 00:00:00 -0800 2018-02392 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-02-06/pdf/2018-02392.pdf Notice - Self-Regulatory Organizations; Nasdaq PHLX LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Relocate the Execution Protections Rule https://regulations.justia.com/regulations/fedreg/2018/02/06/2018-02271.html https://regulations.justia.com/regulations/fedreg/2018/02/06/2018-02271.html Tue, 06 Feb 2018 00:00:00 -0800 2018-02271 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-02-06/pdf/2018-02271.pdf Notice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing of Proposed Rule Change To Amend NYSE Arca Rule 1.1(ll) To Establish How the Official Closing Price Would Be Determined for an Exchange-Listed Security That Is a Derivative Securities Product if the Exchange Does Not Conduct a Closing Auction or if a Closing Auction Trade Is Less Than a Round Lot https://regulations.justia.com/regulations/fedreg/2018/02/06/2018-02270.html https://regulations.justia.com/regulations/fedreg/2018/02/06/2018-02270.html Tue, 06 Feb 2018 00:00:00 -0800 2018-02270 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-02-06/pdf/2018-02270.pdf Notice - Self-Regulatory Organizations; BOX Options Exchange LLC; Notice of Designation of a Longer Period for Commission Action on a Proposed Rule Change To Adopt Rule 7600(i) To Allow Split-Price Transactions on the Trading Floor https://regulations.justia.com/regulations/fedreg/2018/02/06/2018-02269.html https://regulations.justia.com/regulations/fedreg/2018/02/06/2018-02269.html Tue, 06 Feb 2018 00:00:00 -0800 2018-02269 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-02-06/pdf/2018-02269.pdf Notice - Proposed Collection; Comment Request https://regulations.justia.com/regulations/fedreg/2018/02/05/2018-02257.html https://regulations.justia.com/regulations/fedreg/2018/02/05/2018-02257.html Mon, 05 Feb 2018 00:00:00 -0800 2018-02257 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-02-05/pdf/2018-02257.pdf Notice - Proposed Collection; Comment Request https://regulations.justia.com/regulations/fedreg/2018/02/05/2018-02256.html https://regulations.justia.com/regulations/fedreg/2018/02/05/2018-02256.html Mon, 05 Feb 2018 00:00:00 -0800 2018-02256 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-02-05/pdf/2018-02256.pdf Notice - Proposed Collection; Comment Request https://regulations.justia.com/regulations/fedreg/2018/02/05/2018-02255.html https://regulations.justia.com/regulations/fedreg/2018/02/05/2018-02255.html Mon, 05 Feb 2018 00:00:00 -0800 2018-02255 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-02-05/pdf/2018-02255.pdf Notice - Self-Regulatory Organizations; The Nasdaq Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Relocate the Consolidated Audit Trail Compliance Rules https://regulations.justia.com/regulations/fedreg/2018/02/05/2018-02171.html https://regulations.justia.com/regulations/fedreg/2018/02/05/2018-02171.html Mon, 05 Feb 2018 00:00:00 -0800 2018-02171 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-02-05/pdf/2018-02171.pdf Notice - Gadsden ETF Trust and Gadsden, LLC https://regulations.justia.com/regulations/fedreg/2018/02/05/2018-02170.html https://regulations.justia.com/regulations/fedreg/2018/02/05/2018-02170.html Mon, 05 Feb 2018 00:00:00 -0800 2018-02170 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-02-05/pdf/2018-02170.pdf Notice - Columbia Funds Series Trust, et al. https://regulations.justia.com/regulations/fedreg/2018/02/05/2018-02169.html https://regulations.justia.com/regulations/fedreg/2018/02/05/2018-02169.html Mon, 05 Feb 2018 00:00:00 -0800 2018-02169 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-02-05/pdf/2018-02169.pdf Notice - Janney Montgomery Scott LLC; Notice of Application https://regulations.justia.com/regulations/fedreg/2018/02/05/2018-02168.html https://regulations.justia.com/regulations/fedreg/2018/02/05/2018-02168.html Mon, 05 Feb 2018 00:00:00 -0800 2018-02168 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-02-05/pdf/2018-02168.pdf Notice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Designation of a Longer Period for Commission Action on a Proposed Rule Change To List and Trade the Shares of the ProShares Bitcoin ETF and the ProShares Short Bitcoin ETF Under NYSE Arca Rule 8.200-E, Commentary .02 https://regulations.justia.com/regulations/fedreg/2018/02/02/2018-02130.html https://regulations.justia.com/regulations/fedreg/2018/02/02/2018-02130.html Fri, 02 Feb 2018 00:00:00 -0800 2018-02130 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-02-02/pdf/2018-02130.pdf Notice - Self-Regulatory Organizations; Nasdaq PHLX LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Relocate the Consolidated Audit Trail Compliance Rules https://regulations.justia.com/regulations/fedreg/2018/02/02/2018-02129.html https://regulations.justia.com/regulations/fedreg/2018/02/02/2018-02129.html Fri, 02 Feb 2018 00:00:00 -0800 2018-02129 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-02-02/pdf/2018-02129.pdf Notice - Self-Regulatory Organizations; Nasdaq MRX, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Relocate the Consolidated Audit Trail Compliance Rules https://regulations.justia.com/regulations/fedreg/2018/02/02/2018-02128.html https://regulations.justia.com/regulations/fedreg/2018/02/02/2018-02128.html Fri, 02 Feb 2018 00:00:00 -0800 2018-02128 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-02-02/pdf/2018-02128.pdf Notice - Self-Regulatory Organizations; Nasdaq ISE, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Relocate the Consolidated Audit Trail Compliance Rules https://regulations.justia.com/regulations/fedreg/2018/02/02/2018-02127.html https://regulations.justia.com/regulations/fedreg/2018/02/02/2018-02127.html Fri, 02 Feb 2018 00:00:00 -0800 2018-02127 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-02-02/pdf/2018-02127.pdf Notice - Self-Regulatory Organizations; Nasdaq GEMX, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Relocate the Consolidated Audit Trail Compliance Rules https://regulations.justia.com/regulations/fedreg/2018/02/02/2018-02126.html https://regulations.justia.com/regulations/fedreg/2018/02/02/2018-02126.html Fri, 02 Feb 2018 00:00:00 -0800 2018-02126 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-02-02/pdf/2018-02126.pdf Notice - Self-Regulatory Organizations; Nasdaq BX, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Relocate the Consolidated Audit Trail Compliance Rules https://regulations.justia.com/regulations/fedreg/2018/02/02/2018-02125.html https://regulations.justia.com/regulations/fedreg/2018/02/02/2018-02125.html Fri, 02 Feb 2018 00:00:00 -0800 2018-02125 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-02-02/pdf/2018-02125.pdf Notice - Self-Regulatory Organizations; The Options Clearing Corporation; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Revise The Options Clearing Corporation's Schedule of Fees https://regulations.justia.com/regulations/fedreg/2018/02/02/2018-02124.html https://regulations.justia.com/regulations/fedreg/2018/02/02/2018-02124.html Fri, 02 Feb 2018 00:00:00 -0800 2018-02124 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-02-02/pdf/2018-02124.pdf Notice - Proposed Collection; Comment Request https://regulations.justia.com/regulations/fedreg/2018/02/02/2018-02118.html https://regulations.justia.com/regulations/fedreg/2018/02/02/2018-02118.html Fri, 02 Feb 2018 00:00:00 -0800 2018-02118 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-02-02/pdf/2018-02118.pdf Notice - Proposed Collection; Comment Request https://regulations.justia.com/regulations/fedreg/2018/02/02/2018-02117.html https://regulations.justia.com/regulations/fedreg/2018/02/02/2018-02117.html Fri, 02 Feb 2018 00:00:00 -0800 2018-02117 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-02-02/pdf/2018-02117.pdf Notice - Proposed Collection; Comment Request https://regulations.justia.com/regulations/fedreg/2018/02/02/2018-02116.html https://regulations.justia.com/regulations/fedreg/2018/02/02/2018-02116.html Fri, 02 Feb 2018 00:00:00 -0800 2018-02116 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-02-02/pdf/2018-02116.pdf Notice - Submission for OMB Review; Comment Request https://regulations.justia.com/regulations/fedreg/2018/02/02/2018-02115.html https://regulations.justia.com/regulations/fedreg/2018/02/02/2018-02115.html Fri, 02 Feb 2018 00:00:00 -0800 2018-02115 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-02-02/pdf/2018-02115.pdf Notice - Self-Regulatory Organizations; NYSE Arca, Inc.; Order Approving a Proposed Rule Change To List and Trade Shares of the Perth Mint Physical Gold ETF Trust Pursuant to NYSE Arca Rule 8.201-E https://regulations.justia.com/regulations/fedreg/2018/02/01/2018-01953.html https://regulations.justia.com/regulations/fedreg/2018/02/01/2018-01953.html Thu, 01 Feb 2018 00:00:00 -0800 2018-01953 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-02-01/pdf/2018-01953.pdf Notice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing of Amendment No. 2 and Order Instituting Proceedings To Determine Whether To Approve or Disapprove a Proposed Rule Change, as Modified by Amendment No. 2, To List and Trade Shares of the Hartford Schroders Tax-Aware Bond ETF Under NYSE Arca Rule 8.600-E https://regulations.justia.com/regulations/fedreg/2018/02/01/2018-01952.html https://regulations.justia.com/regulations/fedreg/2018/02/01/2018-01952.html Thu, 01 Feb 2018 00:00:00 -0800 2018-01952 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-02-01/pdf/2018-01952.pdf Notice - Self-Regulatory Organizations; Bats BZX Exchange, Inc.; Notice of Filing of Amendment No. 4 and Order Approving on an Accelerated Basis a Proposed Rule Change, as Modified by Amendment No. 4 Thereto, To List and Trade Shares of the iShares Inflation Hedged Corporate Bond ETF Under Rule 14.11(i), Managed Fund Shares https://regulations.justia.com/regulations/fedreg/2018/02/01/2018-01951.html https://regulations.justia.com/regulations/fedreg/2018/02/01/2018-01951.html Thu, 01 Feb 2018 00:00:00 -0800 2018-01951 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-02-01/pdf/2018-01951.pdf Notice - Self-Regulatory Organizations; The Nasdaq Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Make a Technical Adjustment to its Rules To Allow Sub-Penny Quoting and Order Entry in Managed Fund Shares Priced Less Than $1.00 https://regulations.justia.com/regulations/fedreg/2018/02/01/2018-01950.html https://regulations.justia.com/regulations/fedreg/2018/02/01/2018-01950.html Thu, 01 Feb 2018 00:00:00 -0800 2018-01950 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-02-01/pdf/2018-01950.pdf Notice - Self-Regulatory Organizations; Fixed Income Clearing Corporation; Notice of Filing of Proposed Rule Changes to the Required Fund Deposit Calculation in the Government Securities Division Rulebook https://regulations.justia.com/regulations/fedreg/2018/02/01/2018-01949.html https://regulations.justia.com/regulations/fedreg/2018/02/01/2018-01949.html Thu, 01 Feb 2018 00:00:00 -0800 2018-01949 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-02-01/pdf/2018-01949.pdf Notice - Notice of Intention To Cancel Registrations of Certain Investment Advisers Pursuant to Section 203(h) of the Investment Advisors Act of 1940 https://regulations.justia.com/regulations/fedreg/2018/02/01/2018-01948.html https://regulations.justia.com/regulations/fedreg/2018/02/01/2018-01948.html Thu, 01 Feb 2018 00:00:00 -0800 2018-01948 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-02-01/pdf/2018-01948.pdf