Federal Register Recent Federal Regulation Documents - Justia Regulation Tracker - Justia Regulations Tracker https://regulations.justia.com/regulations/fedreg/agencies/securities-and-exchange-commission/2018/03?limit=200&registers=between&min-day=1&max-day=31&mode=atom 2024-09-14T07:59:14-07:00 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/2018/03/29/2018-06339.html Notice - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing of Amendment No. 1 and Order Granting Accelerated Approval of a Proposed Rule Change, as Modified by Amendment No. 1, To Adopt New Equity Trading Rules To Trade Securities Pursuant to Unlisted Trading Privileges, Including Orders and Modifiers, Order Ranking and Display, and Order Execution and Routing on Pillar, the Exchange's New Trading Technology Platform 2018-03-29T00:00:00-07:00 2018-03-29T00:00:00-07:00 2018-06339 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-03-29/pdf/2018-06339.pdf https://regulations.justia.com/regulations/fedreg/2018/03/29/2018-06302.html Notice - Self-Regulatory Organizations; CboeEDGA Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Paragraph (h) of Exchange Rule 11.6 Describing the Operation of Orders With a Minimum Execution Quantity Instruction 2018-03-29T00:00:00-07:00 2018-03-29T00:00:00-07:00 2018-06302 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-03-29/pdf/2018-06302.pdf https://regulations.justia.com/regulations/fedreg/2018/03/29/2018-06301.html Notice - Self-Regulatory Organizations; Cboe EDGX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Paragraph (h) of Exchange Rule 11.6 Describing the Operation of Orders With a Minimum Execution Quantity Instruction 2018-03-29T00:00:00-07:00 2018-03-29T00:00:00-07:00 2018-06301 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-03-29/pdf/2018-06301.pdf https://regulations.justia.com/regulations/fedreg/2018/03/29/2018-06300.html Notice - Self-Regulatory Organizations; Cboe BZX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Paragraph (c)(5) of Exchange Rule 11.9 Describing the Operation of Minimum Quantity Orders 2018-03-29T00:00:00-07:00 2018-03-29T00:00:00-07:00 2018-06300 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-03-29/pdf/2018-06300.pdf https://regulations.justia.com/regulations/fedreg/2018/03/29/2018-06299.html Notice - Self-Regulatory Organizations; Cboe BYX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Paragraph (c)(5) of Exchange Rule 11.9 Describing the Operation of Minimum Quantity Orders 2018-03-29T00:00:00-07:00 2018-03-29T00:00:00-07:00 2018-06299 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-03-29/pdf/2018-06299.pdf https://regulations.justia.com/regulations/fedreg/2018/03/29/2018-06298.html Notice - Self-Regulatory Organizations; The Nasdaq Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the Exchange's Transaction Fees at Chapter XV, Section 2, Which Governs the Pricing for Nasdaq Participants Using The Nasdaq Options Market 2018-03-29T00:00:00-07:00 2018-03-29T00:00:00-07:00 2018-06298 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-03-29/pdf/2018-06298.pdf https://regulations.justia.com/regulations/fedreg/2018/03/29/2018-06297.html Notice - Self-Regulatory Organizations; NYSE Arca, Inc.; Order Instituting Proceedings To Determine Whether To Approve or Disapprove 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 2018-03-29T00:00:00-07:00 2018-03-29T00:00:00-07:00 2018-06297 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-03-29/pdf/2018-06297.pdf https://regulations.justia.com/regulations/fedreg/2018/03/29/2018-06296.html Notice - Self-Regulatory Organizations; Cboe Exchange, Inc.; Notice of Designation of a Longer Period for Commission Action on a Proposed Rule Change Relating to Flexibly Structured Options 2018-03-29T00:00:00-07:00 2018-03-29T00:00:00-07:00 2018-06296 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-03-29/pdf/2018-06296.pdf https://regulations.justia.com/regulations/fedreg/2018/03/29/2018-06267.html Notice - Joint Industry Plan; Notice of Filing and Immediate Effectiveness of the Forty-Second Amendment to the Joint Self-Regulatory Organization Plan Governing the Collection, Consolidation and Dissemination of Quotation and Transaction Information for Nasdaq-Listed Securities Traded on Exchanges on an Unlisted Trading Privileges Basis 2018-03-29T00:00:00-07:00 2018-03-29T00:00:00-07:00 2018-06267 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-03-29/pdf/2018-06267.pdf https://regulations.justia.com/regulations/fedreg/2018/03/29/2018-06266.html Notice - Consolidated Tape Association; Notice of Filing and Immediate Effectiveness of the Twenty-Third Charges Amendment to the Second Restatement of the CTA Plan and the Fourteenth Charges Amendment to the Restated CQ Plan 2018-03-29T00:00:00-07:00 2018-03-29T00:00:00-07:00 2018-06266 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-03-29/pdf/2018-06266.pdf https://regulations.justia.com/regulations/fedreg/2018/03/28/2018-06294.html Notice - Sunshine Act Meeting; Cancellation 2018-03-28T00:00:00-07:00 2018-03-28T00:00:00-07:00 2018-06294 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-03-28/pdf/2018-06294.pdf https://regulations.justia.com/regulations/fedreg/2018/03/28/2018-06160.html Notice - Self-Regulatory Organizations; The Options Clearing Corporation; Notice of Extension of Review Period of Advance Notice of Proposed Changes Related to The Options Clearing Corporation's Margin Methodology 2018-03-28T00:00:00-07:00 2018-03-28T00:00:00-07:00 2018-06160 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-03-28/pdf/2018-06160.pdf https://regulations.justia.com/regulations/fedreg/2018/03/28/2018-06141.html Notice - Self-Regulatory Organizations; Cboe Exchange Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to the Frequent Trader Program 2018-03-28T00:00:00-07:00 2018-03-28T00:00:00-07:00 2018-06141 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-03-28/pdf/2018-06141.pdf https://regulations.justia.com/regulations/fedreg/2018/03/28/2018-06140.html Notice - Self-Regulatory Organizations; Nasdaq PHLX LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Section (a) of Exchange Rule 1001, Position Limits, To Increase the Position Limits for Options 2018-03-28T00:00:00-07:00 2018-03-28T00:00:00-07:00 2018-06140 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-03-28/pdf/2018-06140.pdf https://regulations.justia.com/regulations/fedreg/2018/03/28/2018-06139.html Notice - Self-Regulatory Organizations; Miami International Securities Exchange, LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Exchange Rule 307, Position Limits, and Exchange Rule 309, Exercise Limits 2018-03-28T00:00:00-07:00 2018-03-28T00:00:00-07:00 2018-06139 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-03-28/pdf/2018-06139.pdf https://regulations.justia.com/regulations/fedreg/2018/03/28/2018-06138.html Notice - Self-Regulatory Organizations; BOX Options Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend IM-3120-2 of BOX Rule 3120 (Position Limits) To Increase the Position Limits for Options on the Following Exchange Traded Funds: iShares China Large-Cap ETF, iShares MSCI EAFE ETF, iShares MSCI Emerging Markets ETF, iShares Russell 2000 ETF, iShares MSCI Brazil Capped ETF, iShares 20+ Year Treasury Bond Fund ETF, PowerShares QQQ Trust, and iShares MSCI Japan ETF 2018-03-28T00:00:00-07:00 2018-03-28T00:00:00-07:00 2018-06138 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-03-28/pdf/2018-06138.pdf https://regulations.justia.com/regulations/fedreg/2018/03/27/2018-06159.html Notice - Sunshine Act Meetings 2018-03-27T00:00:00-07:00 2018-03-27T00:00:00-07:00 2018-06159 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-03-27/pdf/2018-06159.pdf https://regulations.justia.com/regulations/fedreg/2018/03/27/2018-06122.html Notice - Proposed Collection; Comment Request 2018-03-27T00:00:00-07:00 2018-03-27T00:00:00-07:00 2018-06122 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-03-27/pdf/2018-06122.pdf https://regulations.justia.com/regulations/fedreg/2018/03/27/2018-06121.html Notice - Submission for OMB Review; Comment Request 2018-03-27T00:00:00-07:00 2018-03-27T00:00:00-07:00 2018-06121 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-03-27/pdf/2018-06121.pdf https://regulations.justia.com/regulations/fedreg/2018/03/27/2018-06120.html Notice - Submission for OMB Review; Comment Request 2018-03-27T00:00:00-07:00 2018-03-27T00:00:00-07:00 2018-06120 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-03-27/pdf/2018-06120.pdf https://regulations.justia.com/regulations/fedreg/2018/03/27/2018-06107.html Notice - Self-Regulatory Organizations; Nasdaq PHLX LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Rule 990 Regarding the Requirements for Securities Listed on the Exchange Issued by Nasdaq, Inc. or Its Affiliates 2018-03-27T00:00:00-07:00 2018-03-27T00:00:00-07:00 2018-06107 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-03-27/pdf/2018-06107.pdf https://regulations.justia.com/regulations/fedreg/2018/03/27/2018-06106.html Notice - Self-Regulatory Organizations; The Options Clearing Corporation; Order Instituting Proceedings To Determine Whether To Approve or Disapprove the Proposed Rule Concerning Updates to and Formalization of OCC's Recovery and Orderly Wind-Down Plan 2018-03-27T00:00:00-07:00 2018-03-27T00:00:00-07:00 2018-06106 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-03-27/pdf/2018-06106.pdf https://regulations.justia.com/regulations/fedreg/2018/03/27/2018-06105.html Notice - Self-Regulatory Organizations; The Options Clearing Corporation; Order Instituting Proceedings To Determine Whether To Approve or Disapprove the Proposed Rule Concerning Enhanced and New Tools for Recovery Scenarios 2018-03-27T00:00:00-07:00 2018-03-27T00:00:00-07:00 2018-06105 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-03-27/pdf/2018-06105.pdf https://regulations.justia.com/regulations/fedreg/2018/03/27/2018-06104.html Notice - Self-Regulatory Organizations; NYSE National, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Change To Amend the Amended and Restated Certificate of Incorporation 2018-03-27T00:00:00-07:00 2018-03-27T00:00:00-07:00 2018-06104 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-03-27/pdf/2018-06104.pdf https://regulations.justia.com/regulations/fedreg/2018/03/27/2018-06103.html Notice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the Certificate of Incorporation 2018-03-27T00:00:00-07:00 2018-03-27T00:00:00-07:00 2018-06103 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-03-27/pdf/2018-06103.pdf https://regulations.justia.com/regulations/fedreg/2018/03/27/2018-06102.html Notice - Self-Regulatory Organizations; NYSE American LLC; Notice of Filing and Immediate Effectiveness of Proposed Change Amending Certain Governing Documents of the Exchange and NYSE Market, Inc. To Make a Technical Change Updating the Entities' Registered Offices and Registered Agents and Update the Date as Required 2018-03-27T00:00:00-07:00 2018-03-27T00:00:00-07:00 2018-06102 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-03-27/pdf/2018-06102.pdf https://regulations.justia.com/regulations/fedreg/2018/03/27/2018-06101.html Notice - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Change To Amend the Eleventh Amended and Restated Operating Agreement 2018-03-27T00:00:00-07:00 2018-03-27T00:00:00-07:00 2018-06101 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-03-27/pdf/2018-06101.pdf https://regulations.justia.com/regulations/fedreg/2018/03/27/2018-06100.html Notice - Self-Regulatory Organizations; The Nasdaq Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Rule 4370 Regarding the Requirements for the Listing of Securities That Are Issued by the Exchange or Any of Its Affiliates 2018-03-27T00:00:00-07:00 2018-03-27T00:00:00-07:00 2018-06100 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-03-27/pdf/2018-06100.pdf https://regulations.justia.com/regulations/fedreg/2018/03/27/2018-06099.html Notice - Self-Regulatory Organizations; Nasdaq ISE, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the Market Maker Plus Program in the Schedule of Fees 2018-03-27T00:00:00-07:00 2018-03-27T00:00:00-07:00 2018-06099 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-03-27/pdf/2018-06099.pdf https://regulations.justia.com/regulations/fedreg/2018/03/27/2018-06098.html Notice - Self-Regulatory Organizations; Nasdaq BX, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Rule 5701 Regarding the Requirements for Securities Listed on the Exchange Issued by Nasdaq, Inc. or Its Affiliates 2018-03-27T00:00:00-07:00 2018-03-27T00:00:00-07:00 2018-06098 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-03-27/pdf/2018-06098.pdf https://regulations.justia.com/regulations/fedreg/2018/03/26/2018-06031.html Notice - Self-Regulatory Organizations; Fixed Income Clearing Corporation; Order Approving Proposed Rule Change To Amend the By-Laws 2018-03-26T00:00:00-07:00 2018-03-26T00:00:00-07:00 2018-06031 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-03-26/pdf/2018-06031.pdf https://regulations.justia.com/regulations/fedreg/2018/03/26/2018-06030.html Notice - Self-Regulatory Organizations; National Securities Clearing Corporation; Order Approving Proposed Rule Change To Amend the By-Laws 2018-03-26T00:00:00-07:00 2018-03-26T00:00:00-07:00 2018-06030 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-03-26/pdf/2018-06030.pdf https://regulations.justia.com/regulations/fedreg/2018/03/26/2018-06022.html Notice - Self-Regulatory Organizations; National Securities Clearing Corporation; Order Instituting Proceedings To Determine Whether To Approve or Disapprove a Proposed Rule Change To Adopt a Recovery & Wind-Down Plan and Related Rules 2018-03-26T00:00:00-07:00 2018-03-26T00:00:00-07:00 2018-06022 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-03-26/pdf/2018-06022.pdf https://regulations.justia.com/regulations/fedreg/2018/03/26/2018-06021.html Notice - Self-Regulatory Organizations; The Depository Trust Company; Order Approving Proposed Rule Change To Amend the By-Laws 2018-03-26T00:00:00-07:00 2018-03-26T00:00:00-07:00 2018-06021 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-03-26/pdf/2018-06021.pdf https://regulations.justia.com/regulations/fedreg/2018/03/26/2018-06020.html Notice - Self-Regulatory Organizations; The Depository Trust Company; Order Instituting Proceedings To Determine Whether To Approve or Disapprove a Proposed Rule Change To Amend the Loss Allocation Rules and Make Other Changes 2018-03-26T00:00:00-07:00 2018-03-26T00:00:00-07:00 2018-06020 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-03-26/pdf/2018-06020.pdf https://regulations.justia.com/regulations/fedreg/2018/03/26/2018-06019.html Notice - Self-Regulatory Organizations; Fixed Income Clearing Corporation; Order Instituting Proceedings To Determine Whether To Approve or Disapprove a Proposed Rule Change To Adopt a Recovery & Wind-Down Plan and Related Rules 2018-03-26T00:00:00-07:00 2018-03-26T00:00:00-07:00 2018-06019 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-03-26/pdf/2018-06019.pdf https://regulations.justia.com/regulations/fedreg/2018/03/26/2018-06018.html Notice - Self-Regulatory Organizations; The Depository Trust Company; Order Instituting Proceedings To Determine Whether To Approve or Disapprove a Proposed Rule Change To Adopt a Recovery & Wind-Down Plan and Related Rules 2018-03-26T00:00:00-07:00 2018-03-26T00:00:00-07:00 2018-06018 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-03-26/pdf/2018-06018.pdf https://regulations.justia.com/regulations/fedreg/2018/03/26/2018-06017.html Notice - Self-Regulatory Organizations; Nasdaq ISE, LLC; Order Granting Approval of a Proposed Rule Change, as Modified by Amendment No. 1, To Permit the Listing and Trading of NQX Index Options on a Pilot Basis 2018-03-26T00:00:00-07:00 2018-03-26T00:00:00-07:00 2018-06017 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-03-26/pdf/2018-06017.pdf https://regulations.justia.com/regulations/fedreg/2018/03/26/2018-06016.html Notice - Self-Regulatory Organizations; National Securities Clearing Corporation; Order Instituting Proceedings To Determine Whether To Approve or Disapprove a Proposed Rule Change To Amend the Loss Allocation Rules and Make Other Changes 2018-03-26T00:00:00-07:00 2018-03-26T00:00:00-07:00 2018-06016 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-03-26/pdf/2018-06016.pdf https://regulations.justia.com/regulations/fedreg/2018/03/26/2018-06015.html Notice - Self-Regulatory Organizations; Fixed Income Clearing Corporation; Order Instituting Proceedings To Determine Whether To Approve or Disapprove a Proposed Rule Change To Amend the Loss Allocation Rules and Make Other Changes 2018-03-26T00:00:00-07:00 2018-03-26T00:00:00-07:00 2018-06015 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-03-26/pdf/2018-06015.pdf https://regulations.justia.com/regulations/fedreg/2018/03/26/2018-06014.html Notice - Self-Regulatory Organizations; NYSE Arca, Inc.; Order Approving a 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 2018-03-26T00:00:00-07:00 2018-03-26T00:00:00-07:00 2018-06014 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-03-26/pdf/2018-06014.pdf https://regulations.justia.com/regulations/fedreg/2018/03/26/2018-06013.html Notice - Self-Regulatory Organizations; Cboe BZX Exchange, Inc.; Order Approving a Proposed Rule Change, as Modified by Amendment No. 2, 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 2018-03-26T00:00:00-07:00 2018-03-26T00:00:00-07:00 2018-06013 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-03-26/pdf/2018-06013.pdf https://regulations.justia.com/regulations/fedreg/2018/03/26/2018-06012.html Notice - Self-Regulatory Organizations; The Nasdaq Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Transaction Fees at Rule 7018 To Charge No Transaction Fee for Execution of Midpoint Extended Life Orders 2018-03-26T00:00:00-07:00 2018-03-26T00:00:00-07:00 2018-06012 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-03-26/pdf/2018-06012.pdf https://regulations.justia.com/regulations/fedreg/2018/03/26/2018-06011.html Notice - Self-Regulatory Organizations; Cboe EDGA Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Expand an Offering Known as Cboe Connect To Provide Connectivity to Single-Dealer Platforms Connected to the Exchange's Network and To Propose a Per Share Executed Fee for Such Service 2018-03-26T00:00:00-07:00 2018-03-26T00:00:00-07:00 2018-06011 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-03-26/pdf/2018-06011.pdf https://regulations.justia.com/regulations/fedreg/2018/03/26/2018-05545.html Proposed Rule - Transaction Fee Pilot for NMS Stocks 2018-03-26T00:00:00-07:00 2018-03-26T00:00:00-07:00 2018-05545 Proposed Rule https://www.gpo.gov/fdsys/pkg/FR-2018-03-26/pdf/2018-05545.pdf https://regulations.justia.com/regulations/fedreg/2018/03/23/2018-05903.html Notice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing of Proposed Rule Change Regarding Investments of the PGIM Ultra Short Bond ETF, a Series of PGIM ETF Trust Under NYSE Arca Rule 8.600-E 2018-03-23T00:00:00-07:00 2018-03-23T00:00:00-07:00 2018-05903 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-03-23/pdf/2018-05903.pdf https://regulations.justia.com/regulations/fedreg/2018/03/23/2018-05902.html Notice - Self-Regulatory Organizations; LCH SA; Order Instituting Proceedings To Determine Whether To Approve or Disapprove Proposed Rule Changes Related to LCH SA's Recovery and Wind Down Plans 2018-03-23T00:00:00-07:00 2018-03-23T00:00:00-07:00 2018-05902 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-03-23/pdf/2018-05902.pdf https://regulations.justia.com/regulations/fedreg/2018/03/23/2018-05901.html Notice - Self-Regulatory Organizations; MIAX PEARL, LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the Fee Schedule 2018-03-23T00:00:00-07:00 2018-03-23T00:00:00-07:00 2018-05901 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-03-23/pdf/2018-05901.pdf https://regulations.justia.com/regulations/fedreg/2018/03/22/2018-05810.html Notice - Submission for OMB Review; Comment Request 2018-03-22T00:00:00-07:00 2018-03-22T00:00:00-07:00 2018-05810 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-03-22/pdf/2018-05810.pdf https://regulations.justia.com/regulations/fedreg/2018/03/22/2018-05809.html Notice - Submission for OMB Review; Comment Request 2018-03-22T00:00:00-07:00 2018-03-22T00:00:00-07:00 2018-05809 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-03-22/pdf/2018-05809.pdf https://regulations.justia.com/regulations/fedreg/2018/03/22/2018-05795.html Notice - Self-Regulatory Organizations; Cboe BZX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Its Listing Rules Under Rule 14.11(d)(2)(K)(i) Related to Equity Index-Linked Securities 2018-03-22T00:00:00-07:00 2018-03-22T00:00:00-07:00 2018-05795 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-03-22/pdf/2018-05795.pdf https://regulations.justia.com/regulations/fedreg/2018/03/22/2018-05794.html Notice - Self-Regulatory Organizations; BOX Options Exchange LLC; Notice of Filing of Amendment No. 1 and Order Granting Accelerated Approval of a Proposed Rule Change, as Modified by Amendment No. 1, To Adopt Rule 7600(i) To Allow Split-Price Transactions on the BOX Trading Floor 2018-03-22T00:00:00-07:00 2018-03-22T00:00:00-07:00 2018-05794 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-03-22/pdf/2018-05794.pdf https://regulations.justia.com/regulations/fedreg/2018/03/22/2018-05793.html Notice - Self-Regulatory Organizations; ICE Clear Europe Limited; Order Granting Accelerated Approval of Proposed Rule Change Relating to the ICE Clear Europe Limited CDS Procedures, CDS Risk Policy, and CDS Risk Model Description 2018-03-22T00:00:00-07:00 2018-03-22T00:00:00-07:00 2018-05793 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-03-22/pdf/2018-05793.pdf https://regulations.justia.com/regulations/fedreg/2018/03/22/2018-05792.html Notice - Self-Regulatory Organizations; BOX Options Exchange LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Correct an Error in IM-7600-2 2018-03-22T00:00:00-07:00 2018-03-22T00:00:00-07:00 2018-05792 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-03-22/pdf/2018-05792.pdf https://regulations.justia.com/regulations/fedreg/2018/03/22/2018-05791.html Notice - Order Granting Motion for Extension of Time 2018-03-22T00:00:00-07:00 2018-03-22T00:00:00-07:00 2018-05791 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-03-22/pdf/2018-05791.pdf https://regulations.justia.com/regulations/fedreg/2018/03/22/2018-05790.html Notice - Joint Industry Plan; Notice of Withdrawal of Amendment No. 4 to the National Market System Plan Governing the Consolidated Audit Trail 2018-03-22T00:00:00-07:00 2018-03-22T00:00:00-07:00 2018-05790 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-03-22/pdf/2018-05790.pdf https://regulations.justia.com/regulations/fedreg/2018/03/21/2018-05661.html Notice - Joint Industry Plan; Notice of Filing of the Seventeenth Amendment to the National Market System Plan To Address Extraordinary Market Volatility by Cboe BZX Exchange, Inc., Cboe BYX Exchange, Inc., Cboe EDGA Exchange, Inc., Cboe EDGX Exchange, Inc., Chicago Stock Exchange, Inc., Financial Industry Regulatory Authority, Inc., Investors Exchange LLC, NASDAQ BX, Inc., NASDAQ PHLX LLC, The Nasdaq Stock Market LLC, NYSE National, Inc., New York Stock Exchange LLC, NYSE American LLC, and NYSE Arca, Inc. 2018-03-21T00:00:00-07:00 2018-03-21T00:00:00-07:00 2018-05661 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-03-21/pdf/2018-05661.pdf https://regulations.justia.com/regulations/fedreg/2018/03/21/2018-05660.html Notice - Joint Industry Plan; Notice of Filing and Immediate Effectiveness of the Sixteenth Amendment to the National Market System Plan To Address Extraordinary Market Volatility by Cboe BZX Exchange, Inc., Cboe BYX Exchange, Inc., Cboe EDGA Exchange, Inc., Cboe EDGX Exchange, Inc., Chicago Stock Exchange, Inc., Financial Industry Regulatory Authority, Inc., Investors Exchange LLC, NASDAQ BX, Inc., NASDAQ PHLX LLC, The Nasdaq Stock Market LLC, NYSE National, Inc., New York Stock Exchange LLC, NYSE American LLC, and NYSE Arca, Inc. 2018-03-21T00:00:00-07:00 2018-03-21T00:00:00-07:00 2018-05660 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-03-21/pdf/2018-05660.pdf https://regulations.justia.com/regulations/fedreg/2018/03/21/2018-05648.html Notice - Self-Regulatory Organizations; LCH SA; Order Granting Approval on an Accelerated Basis of Proposed Rule Change Relating to Self-Referencing Transactions 2018-03-21T00:00:00-07:00 2018-03-21T00:00:00-07:00 2018-05648 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-03-21/pdf/2018-05648.pdf https://regulations.justia.com/regulations/fedreg/2018/03/21/2018-05647.html Notice - Self-Regulatory Organizations; Cboe BZX Exchange, Inc.; Notice of Filing of a Proposed Rule Change To List on the Exchange Eighteen ADRPLUS Funds of the Precidian ETFs Trust Under Rule 14.11(i), Managed Fund Shares 2018-03-21T00:00:00-07:00 2018-03-21T00:00:00-07:00 2018-05647 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-03-21/pdf/2018-05647.pdf https://regulations.justia.com/regulations/fedreg/2018/03/21/2018-05645.html Notice - Joint Industry Plan; Notice of Filing and Immediate Effectiveness of Amendment to the National Market System Plan for the Selection and Reservation of Securities Symbols To Add Miami International Securities Exchange, LLC as a Party Thereto 2018-03-21T00:00:00-07:00 2018-03-21T00:00:00-07:00 2018-05645 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-03-21/pdf/2018-05645.pdf https://regulations.justia.com/regulations/fedreg/2018/03/21/2018-05643.html Notice - Meeting of the Fixed Income Market Structure Advisory Committee 2018-03-21T00:00:00-07:00 2018-03-21T00:00:00-07:00 2018-05643 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-03-21/pdf/2018-05643.pdf https://regulations.justia.com/regulations/fedreg/2018/03/20/2018-05658.html Notice - Sunshine Act Meetings 2018-03-20T00:00:00-07:00 2018-03-20T00:00:00-07:00 2018-05658 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-03-20/pdf/2018-05658.pdf https://regulations.justia.com/regulations/fedreg/2018/03/20/2018-05569.html Notice - Destra Exchange-Traded Fund Trust, et al. 2018-03-20T00:00:00-07:00 2018-03-20T00:00:00-07:00 2018-05569 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-03-20/pdf/2018-05569.pdf https://regulations.justia.com/regulations/fedreg/2018/03/20/2018-05565.html Notice - Self-Regulatory Organizations; Fixed Income Clearing Corporation; Order Instituting Proceedings To Determine Whether To Approve or Disapprove a Proposed Rule Change to the Required Fund Deposit Calculation in the Government Securities Division Rulebook 2018-03-20T00:00:00-07:00 2018-03-20T00:00:00-07:00 2018-05565 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-03-20/pdf/2018-05565.pdf https://regulations.justia.com/regulations/fedreg/2018/03/20/2018-05564.html Notice - Self-Regulatory Organizations; Cboe Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Rule 6.56, Compression Forums 2018-03-20T00:00:00-07:00 2018-03-20T00:00:00-07:00 2018-05564 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-03-20/pdf/2018-05564.pdf https://regulations.justia.com/regulations/fedreg/2018/03/20/2018-05563.html Notice - Self-Regulatory Organizations; Cboe BZX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the Market Data Section of the Fee Schedule Applicable to its Equity Options Platform 2018-03-20T00:00:00-07:00 2018-03-20T00:00:00-07:00 2018-05563 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-03-20/pdf/2018-05563.pdf https://regulations.justia.com/regulations/fedreg/2018/03/20/2018-05562.html Notice - Self-Regulatory Organizations; CboeBZX Exchange, Inc.; Order Granting Approval of a 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 2018-03-20T00:00:00-07:00 2018-03-20T00:00:00-07:00 2018-05562 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-03-20/pdf/2018-05562.pdf https://regulations.justia.com/regulations/fedreg/2018/03/20/2018-05561.html Notice - Self-Regulatory Organizations; The Nasdaq Stock Market LLC; Notice of Designation of a Longer Period for Commission Action on Proceedings To Determine Whether To Approve or Disapprove a Proposed Rule Change, as Modified by Amendment No. 1, To Allow Participants To Designate When an Order With a RTFY or SCAN Routing Order Attribute Will be Activated During Pre-Market Hours 2018-03-20T00:00:00-07:00 2018-03-20T00:00:00-07:00 2018-05561 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-03-20/pdf/2018-05561.pdf https://regulations.justia.com/regulations/fedreg/2018/03/20/2018-05560.html Notice - Self-Regulatory Organizations; Chicago Stock Exchange, Inc.; Notice of Filing of Proposed Rule Change To Adopt the Route QCT Cross Routing Option 2018-03-20T00:00:00-07:00 2018-03-20T00:00:00-07:00 2018-05560 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-03-20/pdf/2018-05560.pdf https://regulations.justia.com/regulations/fedreg/2018/03/20/2018-05552.html Notice - Destra Exchange-Traded Fund Trust, et al. 2018-03-20T00:00:00-07:00 2018-03-20T00:00:00-07:00 2018-05552 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-03-20/pdf/2018-05552.pdf https://regulations.justia.com/regulations/fedreg/2018/03/20/2018-05551.html Notice - Triloma EIG Energy Income Fund, et al. 2018-03-20T00:00:00-07:00 2018-03-20T00:00:00-07:00 2018-05551 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-03-20/pdf/2018-05551.pdf https://regulations.justia.com/regulations/fedreg/2018/03/19/2018-05531.html Notice - Submission for OMB Review; Comment Request 2018-03-19T00:00:00-07:00 2018-03-19T00:00:00-07:00 2018-05531 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-03-19/pdf/2018-05531.pdf https://regulations.justia.com/regulations/fedreg/2018/03/19/2018-05530.html Notice - Submission for OMB Review; Comment Request 2018-03-19T00:00:00-07:00 2018-03-19T00:00:00-07:00 2018-05530 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-03-19/pdf/2018-05530.pdf https://regulations.justia.com/regulations/fedreg/2018/03/19/2018-05529.html Notice - Submission for OMB Review; Comment Request 2018-03-19T00:00:00-07:00 2018-03-19T00:00:00-07:00 2018-05529 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-03-19/pdf/2018-05529.pdf https://regulations.justia.com/regulations/fedreg/2018/03/19/2018-05528.html Notice - Submission for OMB Review; Comment Request 2018-03-19T00:00:00-07:00 2018-03-19T00:00:00-07:00 2018-05528 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-03-19/pdf/2018-05528.pdf https://regulations.justia.com/regulations/fedreg/2018/03/19/2018-05527.html Notice - Submission for OMB Review; Comment Request 2018-03-19T00:00:00-07:00 2018-03-19T00:00:00-07:00 2018-05527 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-03-19/pdf/2018-05527.pdf https://regulations.justia.com/regulations/fedreg/2018/03/19/2018-05526.html Notice - Submission for OMB Review; Comment Request 2018-03-19T00:00:00-07:00 2018-03-19T00:00:00-07:00 2018-05526 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-03-19/pdf/2018-05526.pdf https://regulations.justia.com/regulations/fedreg/2018/03/19/2018-05525.html Notice - Submission for OMB Review; Comment Request 2018-03-19T00:00:00-07:00 2018-03-19T00:00:00-07:00 2018-05525 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-03-19/pdf/2018-05525.pdf https://regulations.justia.com/regulations/fedreg/2018/03/19/2018-05524.html Notice - Submission for OMB Review; Comment Request 2018-03-19T00:00:00-07:00 2018-03-19T00:00:00-07:00 2018-05524 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-03-19/pdf/2018-05524.pdf https://regulations.justia.com/regulations/fedreg/2018/03/19/2018-05523.html Notice - Submission for OMB Review; Comment Request 2018-03-19T00:00:00-07:00 2018-03-19T00:00:00-07:00 2018-05523 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-03-19/pdf/2018-05523.pdf https://regulations.justia.com/regulations/fedreg/2018/03/19/2018-05522.html Notice - Submission for OMB Review; Comment Request 2018-03-19T00:00:00-07:00 2018-03-19T00:00:00-07:00 2018-05522 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-03-19/pdf/2018-05522.pdf https://regulations.justia.com/regulations/fedreg/2018/03/19/2018-05511.html Proposed Rule - Investment Company Liquidity Disclosure 2018-03-19T00:00:00-07:00 2018-03-19T00:00:00-07:00 2018-05511 Proposed Rule https://www.gpo.gov/fdsys/pkg/FR-2018-03-19/pdf/2018-05511.pdf https://regulations.justia.com/regulations/fedreg/2018/03/19/2018-05453.html 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 2018-03-19T00:00:00-07:00 2018-03-19T00:00:00-07:00 2018-05453 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-03-19/pdf/2018-05453.pdf https://regulations.justia.com/regulations/fedreg/2018/03/19/2018-05452.html Notice - Self-Regulatory Organizations; MIAX PEARL, LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the MIAX PEARL Fee Schedule 2018-03-19T00:00:00-07:00 2018-03-19T00:00:00-07:00 2018-05452 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-03-19/pdf/2018-05452.pdf https://regulations.justia.com/regulations/fedreg/2018/03/19/2018-05451.html Notice - Self-Regulatory Organizations; Nasdaq PHLX LLC; Notice of Filing of Proposed Rule Change to a Proposal To Amend Rule 1079, FLEX Index, Equity and Currency Options and Rule 1059, Accommodation Transactions 2018-03-19T00:00:00-07:00 2018-03-19T00:00:00-07:00 2018-05451 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-03-19/pdf/2018-05451.pdf https://regulations.justia.com/regulations/fedreg/2018/03/19/2018-05450.html Notice - Self-Regulatory Organizations; Nasdaq PHLX LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the Transaction Fees at Section VIII 2018-03-19T00:00:00-07:00 2018-03-19T00:00:00-07:00 2018-05450 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-03-19/pdf/2018-05450.pdf https://regulations.justia.com/regulations/fedreg/2018/03/19/2018-05449.html Notice - Self-Regulatory Organizations; NYSE American LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending the NYSE American Company Guide To Require That Listed Companies Provide Notice to the Exchange of Announcements of Dividends or Stock Distributions at Least Ten Minutes in Advance of Public Release 2018-03-19T00:00:00-07:00 2018-03-19T00:00:00-07:00 2018-05449 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-03-19/pdf/2018-05449.pdf https://regulations.justia.com/regulations/fedreg/2018/03/19/2018-05448.html Notice - Self-Regulatory Organizations; LCH SA; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to End of Day Price Contribution 2018-03-19T00:00:00-07:00 2018-03-19T00:00:00-07:00 2018-05448 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-03-19/pdf/2018-05448.pdf https://regulations.justia.com/regulations/fedreg/2018/03/19/2018-05431.html Notice - Proposed Collection; Comment Request 2018-03-19T00:00:00-07:00 2018-03-19T00:00:00-07:00 2018-05431 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-03-19/pdf/2018-05431.pdf https://regulations.justia.com/regulations/fedreg/2018/03/19/2018-05430.html Notice - Proposed Collection; Comment Request 2018-03-19T00:00:00-07:00 2018-03-19T00:00:00-07:00 2018-05430 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-03-19/pdf/2018-05430.pdf https://regulations.justia.com/regulations/fedreg/2018/03/16/2018-05333.html Notice - Self-Regulatory Organizations; NYSE American LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Expand the Short Term Options Series Program 2018-03-16T00:00:00-07:00 2018-03-16T00:00:00-07:00 2018-05333 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-03-16/pdf/2018-05333.pdf https://regulations.justia.com/regulations/fedreg/2018/03/16/2018-05332.html Notice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Expand the Short Term Options Series Program 2018-03-16T00:00:00-07:00 2018-03-16T00:00:00-07:00 2018-05332 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-03-16/pdf/2018-05332.pdf https://regulations.justia.com/regulations/fedreg/2018/03/16/2018-05331.html Notice - Self-Regulatory Organizations; The Options Clearing Corporation; Order Approving Proposed Rule Change Related to The Options Clearing Corporation's Fee Policy 2018-03-16T00:00:00-07:00 2018-03-16T00:00:00-07:00 2018-05331 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-03-16/pdf/2018-05331.pdf https://regulations.justia.com/regulations/fedreg/2018/03/16/2018-05330.html Notice - Self-Regulatory Organizations; Cboe Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the Fees Schedule 2018-03-16T00:00:00-07:00 2018-03-16T00:00:00-07:00 2018-05330 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-03-16/pdf/2018-05330.pdf https://regulations.justia.com/regulations/fedreg/2018/03/16/2018-05329.html Notice - Self-Regulatory Organizations; Cboe Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Establish Fees for Options That Overlie the S&P Select Sector Index Options 2018-03-16T00:00:00-07:00 2018-03-16T00:00:00-07:00 2018-05329 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-03-16/pdf/2018-05329.pdf https://regulations.justia.com/regulations/fedreg/2018/03/16/2018-05238.html Rule - Adoption of Updated EDGAR Filer Manual 2018-03-16T00:00:00-07:00 2018-03-16T00:00:00-07:00 2018-05238 Rule https://www.gpo.gov/fdsys/pkg/FR-2018-03-16/pdf/2018-05238.pdf https://regulations.justia.com/regulations/fedreg/2018/03/15/2018-05295.html Notice - Self-Regulatory Organizations; ICE Clear Credit LLC; Order Approving Proposed Rule Change Relating to the ICC Rules, ICC Risk Management Model Description Document, ICC Risk Management Framework, ICC Stress Testing Framework, and ICC Liquidity Risk Management Framework 2018-03-15T00:00:00-07:00 2018-03-15T00:00:00-07:00 2018-05295 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-03-15/pdf/2018-05295.pdf https://regulations.justia.com/regulations/fedreg/2018/03/15/2018-05212.html Notice - Proposed Collection; Comment Request 2018-03-15T00:00:00-07:00 2018-03-15T00:00:00-07:00 2018-05212 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-03-15/pdf/2018-05212.pdf https://regulations.justia.com/regulations/fedreg/2018/03/15/2018-05210.html Notice - Self-Regulatory Organizations; NYSE American LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Rule 915 2018-03-15T00:00:00-07:00 2018-03-15T00:00:00-07:00 2018-05210 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-03-15/pdf/2018-05210.pdf https://regulations.justia.com/regulations/fedreg/2018/03/15/2018-05209.html Notice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Rule 5.3-O 2018-03-15T00:00:00-07:00 2018-03-15T00:00:00-07:00 2018-05209 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-03-15/pdf/2018-05209.pdf https://regulations.justia.com/regulations/fedreg/2018/03/14/2018-05171.html Notice - Submission for OMB Review; Comment Request 2018-03-14T00:00:00-07:00 2018-03-14T00:00:00-07:00 2018-05171 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-03-14/pdf/2018-05171.pdf https://regulations.justia.com/regulations/fedreg/2018/03/14/2018-05170.html Notice - Submission for OMB Review; Comment Request 2018-03-14T00:00:00-07:00 2018-03-14T00:00:00-07:00 2018-05170 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-03-14/pdf/2018-05170.pdf https://regulations.justia.com/regulations/fedreg/2018/03/14/2018-05168.html Notice - Submission for OMB Review; Comment Request 2018-03-14T00:00:00-07:00 2018-03-14T00:00:00-07:00 2018-05168 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-03-14/pdf/2018-05168.pdf https://regulations.justia.com/regulations/fedreg/2018/03/14/2018-05166.html Notice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Withdrawal of 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 2018-03-14T00:00:00-07:00 2018-03-14T00:00:00-07:00 2018-05166 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-03-14/pdf/2018-05166.pdf https://regulations.justia.com/regulations/fedreg/2018/03/14/2018-05165.html Notice - Self-Regulatory Organizations; Nasdaq MRX, LLC; Notice of Filing of Proposed Rule Change To Introduce the ATR Protection for Orders That Are Routed to Away Markets 2018-03-14T00:00:00-07:00 2018-03-14T00:00:00-07:00 2018-05165 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-03-14/pdf/2018-05165.pdf https://regulations.justia.com/regulations/fedreg/2018/03/14/2018-05164.html Notice - Self-Regulatory Organizations; Nasdaq GEMX, LLC; Notice of Filing of Proposed Rule Change To Introduce the ATR Protection for Orders That Are Routed to Away Markets 2018-03-14T00:00:00-07:00 2018-03-14T00:00:00-07:00 2018-05164 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-03-14/pdf/2018-05164.pdf https://regulations.justia.com/regulations/fedreg/2018/03/14/2018-05163.html Notice - Self-Regulatory Organizations; Nasdaq ISE, LLC; Notice of Filing of Proposed Rule Change To Introduce the ATR Protection for Orders That Are Routed to Away Markets 2018-03-14T00:00:00-07:00 2018-03-14T00:00:00-07:00 2018-05163 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-03-14/pdf/2018-05163.pdf https://regulations.justia.com/regulations/fedreg/2018/03/14/2018-05162.html Notice - Self-Regulatory Organizations; BOX Options Exchange LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Rule 7600(c) To State That the Qualified Open Outcry (“QOO”) Order is Subject to the Trade-Through Exceptions Outlined in Rule 15010(b) 2018-03-14T00:00:00-07:00 2018-03-14T00:00:00-07:00 2018-05162 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-03-14/pdf/2018-05162.pdf https://regulations.justia.com/regulations/fedreg/2018/03/14/2018-05161.html Notice - Self-Regulatory Organizations; Cboe BZX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Delist the Shares of the iShares Edge U.S. Fixed Income Balanced Risk ETF From Listing Pursuant to Rule 14.11(i) and Approval Orders Issued by the Commission as a Series of Managed Fund Shares, and To Re-List Pursuant to Rule 14.11(c)(4) as a Series of Index Fund Shares 2018-03-14T00:00:00-07:00 2018-03-14T00:00:00-07:00 2018-05161 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-03-14/pdf/2018-05161.pdf https://regulations.justia.com/regulations/fedreg/2018/03/14/2018-05160.html 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 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 2018-03-14T00:00:00-07:00 2018-03-14T00:00:00-07:00 2018-05160 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-03-14/pdf/2018-05160.pdf https://regulations.justia.com/regulations/fedreg/2018/03/14/2018-05159.html 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 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 2018-03-14T00:00:00-07:00 2018-03-14T00:00:00-07:00 2018-05159 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-03-14/pdf/2018-05159.pdf https://regulations.justia.com/regulations/fedreg/2018/03/14/2018-05079.html Notice - Self-Regulatory Organizations; Cboe BZX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Related to Transaction Fees 2018-03-14T00:00:00-07:00 2018-03-14T00:00:00-07:00 2018-05079 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-03-14/pdf/2018-05079.pdf https://regulations.justia.com/regulations/fedreg/2018/03/14/2018-05078.html Notice - Self-Regulatory Organizations; Cboe BYX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Related to Transaction Fees 2018-03-14T00:00:00-07:00 2018-03-14T00:00:00-07:00 2018-05078 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-03-14/pdf/2018-05078.pdf https://regulations.justia.com/regulations/fedreg/2018/03/14/2018-05077.html 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 Shares of the Cboe Vest S&P 500® Premium Income ETF Under Rule 14.11(c)(5) 2018-03-14T00:00:00-07:00 2018-03-14T00:00:00-07:00 2018-05077 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-03-14/pdf/2018-05077.pdf https://regulations.justia.com/regulations/fedreg/2018/03/14/2018-05076.html Notice - Self-Regulatory Organizations; New York Stock Exchange LLC; Order Approving Proposed Rule Change To Amend the Complimentary Products and Services Available to Certain Eligible New Listings Pursuant to Section 907.00 of the Exchange's Listed Company Manual 2018-03-14T00:00:00-07:00 2018-03-14T00:00:00-07:00 2018-05076 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-03-14/pdf/2018-05076.pdf https://regulations.justia.com/regulations/fedreg/2018/03/14/2018-05075.html Notice - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating To Eliminate the Fee for an Explained Decision 2018-03-14T00:00:00-07:00 2018-03-14T00:00:00-07:00 2018-05075 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-03-14/pdf/2018-05075.pdf https://regulations.justia.com/regulations/fedreg/2018/03/14/2018-05074.html Notice - Self-Regulatory Organizations; Miami International Securities Exchange, LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Exchange Rule 402, Criteria for Underlying Securities 2018-03-14T00:00:00-07:00 2018-03-14T00:00:00-07:00 2018-05074 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-03-14/pdf/2018-05074.pdf https://regulations.justia.com/regulations/fedreg/2018/03/14/2018-05073.html Notice - Self-Regulatory Organizations; MIAX PEARL, LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Exchange Rule 402, Criteria for Underlying Securities 2018-03-14T00:00:00-07:00 2018-03-14T00:00:00-07:00 2018-05073 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-03-14/pdf/2018-05073.pdf https://regulations.justia.com/regulations/fedreg/2018/03/13/C1-2018-03306.html 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 2018-03-13T00:00:00-07:00 2018-03-13T00:00:00-07:00 C1-2018-03306 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-03-13/pdf/C1-2018-03306.pdf https://regulations.justia.com/regulations/fedreg/2018/03/13/2018-05098.html Notice - Sunshine Act Meetings 2018-03-13T00:00:00-07:00 2018-03-13T00:00:00-07:00 2018-05098 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-03-13/pdf/2018-05098.pdf https://regulations.justia.com/regulations/fedreg/2018/03/13/2018-05072.html Notice - Corporate Capital Trust, Inc., et al. 2018-03-13T00:00:00-07:00 2018-03-13T00:00:00-07:00 2018-05072 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-03-13/pdf/2018-05072.pdf https://regulations.justia.com/regulations/fedreg/2018/03/13/2018-05039.html Notice - Nationwide Fund Advisors and ETF Series Solutions 2018-03-13T00:00:00-07:00 2018-03-13T00:00:00-07:00 2018-05039 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-03-13/pdf/2018-05039.pdf https://regulations.justia.com/regulations/fedreg/2018/03/13/2018-04979.html Notice - Self-Regulatory Organizations; The Nasdaq Stock Market LLC; Notice of Filing of Amendment No. 3 and Order Granting Accelerated Approval of a Proposed Rule Change, as Modified by Amendment Nos. 1, 2, and 3, To Adopt the Midpoint Extended Life Order 2018-03-13T00:00:00-07:00 2018-03-13T00:00:00-07:00 2018-04979 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-03-13/pdf/2018-04979.pdf https://regulations.justia.com/regulations/fedreg/2018/03/13/2018-04965.html Notice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Designation of a Longer Period for Commission Action on a 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 2018-03-13T00:00:00-07:00 2018-03-13T00:00:00-07:00 2018-04965 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-03-13/pdf/2018-04965.pdf https://regulations.justia.com/regulations/fedreg/2018/03/13/2018-04964.html 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 2018-03-13T00:00:00-07:00 2018-03-13T00:00:00-07:00 2018-04964 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-03-13/pdf/2018-04964.pdf https://regulations.justia.com/regulations/fedreg/2018/03/13/2018-04963.html Notice - Self-Regulatory Organizations; The Nasdaq Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the Exchange's Transaction Fees at Rule 7014 To Eliminate the Small Cap Incentive Program and the Limit Up Limit Down Pricing Program 2018-03-13T00:00:00-07:00 2018-03-13T00:00:00-07:00 2018-04963 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-03-13/pdf/2018-04963.pdf https://regulations.justia.com/regulations/fedreg/2018/03/13/2018-04962.html Notice - Self-Regulatory Organizations; NYSE National, Inc.; Notice of Filing of Proposed Rule Change To Support the Re-Launch of the Exchange on the Pillar Trading Platform 2018-03-13T00:00:00-07:00 2018-03-13T00:00:00-07:00 2018-04962 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-03-13/pdf/2018-04962.pdf https://regulations.justia.com/regulations/fedreg/2018/03/12/2018-04967.html Notice - Sunshine Act Meeting 2018-03-12T00:00:00-07:00 2018-03-12T00:00:00-07:00 2018-04967 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-03-12/pdf/2018-04967.pdf https://regulations.justia.com/regulations/fedreg/2018/03/12/2018-04904.html Notice - Proposed Collection; Comment Request 2018-03-12T00:00:00-07:00 2018-03-12T00:00:00-07:00 2018-04904 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-03-12/pdf/2018-04904.pdf https://regulations.justia.com/regulations/fedreg/2018/03/12/2018-04903.html Notice - Self-Regulatory Organizations; Fixed Income Clearing Corporation; Notice of Extension of Review Period of Advance Notice To Implement Changes to the Method of Calculating Netting Members' Margin in the Government Securities Division Rulebook 2018-03-12T00:00:00-07:00 2018-03-12T00:00:00-07:00 2018-04903 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-03-12/pdf/2018-04903.pdf https://regulations.justia.com/regulations/fedreg/2018/03/12/2018-04836.html Notice - Self-Regulatory Organizations; Nasdaq MRX, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Clarify Certain Terms Used in the Schedule of Fees 2018-03-12T00:00:00-07:00 2018-03-12T00:00:00-07:00 2018-04836 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-03-12/pdf/2018-04836.pdf https://regulations.justia.com/regulations/fedreg/2018/03/09/2018-04793.html Notice - Self-Regulatory Organizations; Investors Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Rule 11.270 (Clearly Erroneous Executions) To Preclude Members From Requesting a Review of a Volatility Auction as a Clearly Erroneous Execution 2018-03-09T00:00:00-08:00 2018-03-09T00:00:00-08:00 2018-04793 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-03-09/pdf/2018-04793.pdf https://regulations.justia.com/regulations/fedreg/2018/03/09/2018-04792.html Notice - Self-Regulatory Organizations; Miami International Securities Exchange, LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Exchange Rule 403, Withdrawal of Approval of Underlying Securities 2018-03-09T00:00:00-08:00 2018-03-09T00:00:00-08:00 2018-04792 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-03-09/pdf/2018-04792.pdf https://regulations.justia.com/regulations/fedreg/2018/03/09/2018-04791.html Notice - Self-Regulatory Organizations; Nasdaq PHLX LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Relocate the Exchange's Data Feeds 2018-03-09T00:00:00-08:00 2018-03-09T00:00:00-08:00 2018-04791 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-03-09/pdf/2018-04791.pdf https://regulations.justia.com/regulations/fedreg/2018/03/09/2018-04790.html Notice - Self-Regulatory Organizations; MIAX PEARL, LLC ; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Exchange Rule 403, Withdrawal of Approval of Underlying Securities 2018-03-09T00:00:00-08:00 2018-03-09T00:00:00-08:00 2018-04790 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-03-09/pdf/2018-04790.pdf https://regulations.justia.com/regulations/fedreg/2018/03/09/2018-04789.html Notice - Self-Regulatory Organizations; The Nasdaq Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Relocate the Nasdaq Options Market LLC Data Feed Offerings 2018-03-09T00:00:00-08:00 2018-03-09T00:00:00-08:00 2018-04789 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-03-09/pdf/2018-04789.pdf https://regulations.justia.com/regulations/fedreg/2018/03/09/2018-04788.html Notice - Self-Regulatory Organizations; Nasdaq BX, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Relocate Its Data Feed Offerings 2018-03-09T00:00:00-08:00 2018-03-09T00:00:00-08:00 2018-04788 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-03-09/pdf/2018-04788.pdf https://regulations.justia.com/regulations/fedreg/2018/03/09/2018-04787.html Notice - Self-Regulatory Organizations; NYSE American LLC; Notice of Filing and Immediate Effectiveness of Proposed Change To Modify the NYSE American Options Fee Schedule 2018-03-09T00:00:00-08:00 2018-03-09T00:00:00-08:00 2018-04787 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-03-09/pdf/2018-04787.pdf https://regulations.justia.com/regulations/fedreg/2018/03/09/2018-04713.html Notice - Self-Regulatory Organizations; New York Stock Exchange LLC; Order Instituting Proceedings To Determine Whether To Approve or Disapprove a Proposed Rule Change To Amend the Listed Company Manual for Special Purpose Acquisition Companies To Lower the Initial Holders Requirement From 300 to 150 Round Lot Holders and To Eliminate Completely the 300 Public Stockholders Continued Listing Requirement, To Require at Least $5 Million in Net Tangible Assets for Initial and Continued Listing, and To Impose a 30-Day Deadline To Demonstrate Compliance With Certain Initial Listing Requirements Following a Business Combination 2018-03-09T00:00:00-08:00 2018-03-09T00:00:00-08:00 2018-04713 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-03-09/pdf/2018-04713.pdf https://regulations.justia.com/regulations/fedreg/2018/03/07/2018-04625.html Notice - Self-Regulatory Organizations; NYSE American LLC; Notice of Filing of Proposed Rule Change for New Rule 971.2NY for An Electronic Price Improvement Auction for Complex Orders 2018-03-07T00:00:00-08:00 2018-03-07T00:00:00-08:00 2018-04625 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-03-07/pdf/2018-04625.pdf https://regulations.justia.com/regulations/fedreg/2018/03/07/2018-04624.html Notice - Self-Regulatory Organizations; The Options Clearing Corporation; Order Instituting Proceedings To Determine Whether To Approve or Disapprove Proposed Rule Change Related to The Options Clearing Corporation's Margin Methodology 2018-03-07T00:00:00-08:00 2018-03-07T00:00:00-08:00 2018-04624 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-03-07/pdf/2018-04624.pdf https://regulations.justia.com/regulations/fedreg/2018/03/07/2018-04573.html Notice - Proposed Collection; Comment Request 2018-03-07T00:00:00-08:00 2018-03-07T00:00:00-08:00 2018-04573 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-03-07/pdf/2018-04573.pdf https://regulations.justia.com/regulations/fedreg/2018/03/07/2018-04572.html Notice - Proposed Collection; Comment Request 2018-03-07T00:00:00-08:00 2018-03-07T00:00:00-08:00 2018-04572 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-03-07/pdf/2018-04572.pdf https://regulations.justia.com/regulations/fedreg/2018/03/07/2018-04559.html Notice - Self-Regulatory Organizations; Investors Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Certain Auction Rules Governing the Pricing of Non-Displayed Orders Resting on the Continuous Book for the Opening and Closing Auctions 2018-03-07T00:00:00-08:00 2018-03-07T00:00:00-08:00 2018-04559 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-03-07/pdf/2018-04559.pdf https://regulations.justia.com/regulations/fedreg/2018/03/07/2018-04558.html Notice - Self-Regulatory Organizations; ICE Clear Credit LLC; Notice of Filing of Proposed Rule Change, Security-Based Swap Submission, or Advance Notice Relating to the ICC Operational Risk Management Framework 2018-03-07T00:00:00-08:00 2018-03-07T00:00:00-08:00 2018-04558 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-03-07/pdf/2018-04558.pdf https://regulations.justia.com/regulations/fedreg/2018/03/07/2018-04557.html Notice - Self-Regulatory Organizations; New York Stock Exchange LLC; Order Granting Approval of 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 2018-03-07T00:00:00-08:00 2018-03-07T00:00:00-08:00 2018-04557 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-03-07/pdf/2018-04557.pdf https://regulations.justia.com/regulations/fedreg/2018/03/07/2018-04556.html Notice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Designation of a Longer Period for Commission Action on a Proposed Rule Change Relating to Listing and Trading of the Direxion Daily Bitcoin Bear 1X Shares, Direxion Daily Bitcoin 1.25X Bull Shares, Direxion Daily Bitcoin 1.5X Bull Shares, Direxion Daily Bitcoin 2X Bull Shares and Direxion Daily Bitcoin 2X Bear Shares Under NYSE Arca Rule 8.200-E 2018-03-07T00:00:00-08:00 2018-03-07T00:00:00-08:00 2018-04556 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-03-07/pdf/2018-04556.pdf https://regulations.justia.com/regulations/fedreg/2018/03/06/2018-04607.html Notice - Sunshine Act Meetings 2018-03-06T00:00:00-08:00 2018-03-06T00:00:00-08:00 2018-04607 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-03-06/pdf/2018-04607.pdf https://regulations.justia.com/regulations/fedreg/2018/03/06/2018-04606.html Notice - Sunshine Act Meetings 2018-03-06T00:00:00-08:00 2018-03-06T00:00:00-08:00 2018-04606 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-03-06/pdf/2018-04606.pdf https://regulations.justia.com/regulations/fedreg/2018/03/06/2018-04512.html Notice - Securities Exchange Act of 1934; Order Granting Petitions for Review and Scheduling Filing of Statements 2018-03-06T00:00:00-08:00 2018-03-06T00:00:00-08:00 2018-04512 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-03-06/pdf/2018-04512.pdf https://regulations.justia.com/regulations/fedreg/2018/03/06/2018-04484.html Notice - Self-Regulatory Organizations; The Options Clearing Corporation; Suspension of and Order Instituting Proceedings To Determine Whether To Approve or Disapprove the Proposed Rule Change To Revise The Options Clearing Corporation's Schedule of Fees 2018-03-06T00:00:00-08:00 2018-03-06T00:00:00-08:00 2018-04484 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-03-06/pdf/2018-04484.pdf https://regulations.justia.com/regulations/fedreg/2018/03/06/2018-04447.html Notice - Alcentra Capital Corporation, et al. 2018-03-06T00:00:00-08:00 2018-03-06T00:00:00-08:00 2018-04447 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-03-06/pdf/2018-04447.pdf https://regulations.justia.com/regulations/fedreg/2018/03/05/2018-04420.html Notice - Self-Regulatory Organizations; The Nasdaq Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Rule 7018(a) 2018-03-05T00:00:00-08:00 2018-03-05T00:00:00-08:00 2018-04420 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-03-05/pdf/2018-04420.pdf https://regulations.justia.com/regulations/fedreg/2018/03/05/2018-04419.html Notice - Self-Regulatory Organizations; The Nasdaq Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Modify IM-5900-7 To Update the Values of, and Permit a Third-Party Provider Selected by Nasdaq to Offer, Certain Complimentary Services Provided to Certain Newly Listing Companies Pursuant to the Rule 2018-03-05T00:00:00-08:00 2018-03-05T00:00:00-08:00 2018-04419 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-03-05/pdf/2018-04419.pdf https://regulations.justia.com/regulations/fedreg/2018/03/05/2018-04370.html Notice - TriplePoint Venture Growth BDC Corp., et al. 2018-03-05T00:00:00-08:00 2018-03-05T00:00:00-08:00 2018-04370 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-03-05/pdf/2018-04370.pdf https://regulations.justia.com/regulations/fedreg/2018/03/05/2018-04340.html Notice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to the Wilshire Micro-Cap ETF 2018-03-05T00:00:00-08:00 2018-03-05T00:00:00-08:00 2018-04340 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-03-05/pdf/2018-04340.pdf https://regulations.justia.com/regulations/fedreg/2018/03/05/2018-04339.html Notice - Self-Regulatory Organizations; ICE Clear Europe Limited; Notice of Designation of Longer Period for Commission Action on Proposed Rule Change Concerning the ICE Clear Europe Recovery Plan 2018-03-05T00:00:00-08:00 2018-03-05T00:00:00-08:00 2018-04339 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-03-05/pdf/2018-04339.pdf https://regulations.justia.com/regulations/fedreg/2018/03/05/2018-04338.html Notice - Self-Regulatory Organizations; The Options Clearing Corporation; Order Approving Proposed Rule Change Related to The Options Clearing Corporation's Model Risk Management Policy 2018-03-05T00:00:00-08:00 2018-03-05T00:00:00-08:00 2018-04338 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-03-05/pdf/2018-04338.pdf https://regulations.justia.com/regulations/fedreg/2018/03/05/2018-04337.html Notice - Self-Regulatory Organizations; Investors Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Rule 5.170 To Reflect an Update to a FINRA Rule 2018-03-05T00:00:00-08:00 2018-03-05T00:00:00-08:00 2018-04337 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-03-05/pdf/2018-04337.pdf https://regulations.justia.com/regulations/fedreg/2018/03/05/2018-04336.html Notice - Self-Regulatory Organizations; ICE Clear Europe Limited; Notice of Designation of Longer Period for Commission Action on Proposed Rule Change Concerning the ICE Clear Europe Wind-Down Plan 2018-03-05T00:00:00-08:00 2018-03-05T00:00:00-08:00 2018-04336 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-03-05/pdf/2018-04336.pdf https://regulations.justia.com/regulations/fedreg/2018/03/02/2018-04238.html Notice - Self-Regulatory Organizations; National Securities Clearing Corporation; Notice of Filing of Amendment No. 1 and Order Granting Accelerated Approval of a Proposed Rule Change, 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 2018-03-02T00:00:00-08:00 2018-03-02T00:00:00-08:00 2018-04238 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-03-02/pdf/2018-04238.pdf https://regulations.justia.com/regulations/fedreg/2018/03/02/2018-04237.html Notice - Self-Regulatory Organizations; National Securities Clearing Corporation; Notice of No Objection To Advance Notice Filing, 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 2018-03-02T00:00:00-08:00 2018-03-02T00:00:00-08:00 2018-04237 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-03-02/pdf/2018-04237.pdf https://regulations.justia.com/regulations/fedreg/2018/03/02/2018-04236.html Notice - Self-Regulatory Organizations; Fixed Income Clearing Corporation; Notice of Advance Notice Filing of Proposed Changes to the Method of Calculating Netting Members' Margin in the Government Securities Division Rulebook 2018-03-02T00:00:00-08:00 2018-03-02T00:00:00-08:00 2018-04236 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-03-02/pdf/2018-04236.pdf https://regulations.justia.com/regulations/fedreg/2018/03/02/2018-04212.html Notice - Self-Regulatory Organizations; Cboe BZX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Introduce a New Data Feed on the Exchange's Equity Options Platform 2018-03-02T00:00:00-08:00 2018-03-02T00:00:00-08:00 2018-04212 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-03-02/pdf/2018-04212.pdf https://regulations.justia.com/regulations/fedreg/2018/03/02/2018-04211.html Notice - Self-Regulatory Organizations; The Nasdaq Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Update Rule 4758 To Reflect the Name Change of NYSE MKT to NYSE American 2018-03-02T00:00:00-08:00 2018-03-02T00:00:00-08:00 2018-04211 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-03-02/pdf/2018-04211.pdf https://regulations.justia.com/regulations/fedreg/2018/03/02/2018-04210.html Notice - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Revise the Private Securities Offerings Representative (Series 82) Examination 2018-03-02T00:00:00-08:00 2018-03-02T00:00:00-08:00 2018-04210 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-03-02/pdf/2018-04210.pdf https://regulations.justia.com/regulations/fedreg/2018/03/02/2018-04209.html Notice - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Revise the Securities Trader (Series 57) Examination 2018-03-02T00:00:00-08:00 2018-03-02T00:00:00-08:00 2018-04209 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-03-02/pdf/2018-04209.pdf https://regulations.justia.com/regulations/fedreg/2018/03/02/2018-04208.html Notice - Self-Regulatory Organizations; Cboe Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Rule 6.56, Compression Forums, To Provide Additional Opportunities To Disclose Compression-List Positions Monthly 2018-03-02T00:00:00-08:00 2018-03-02T00:00:00-08:00 2018-04208 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-03-02/pdf/2018-04208.pdf https://regulations.justia.com/regulations/fedreg/2018/03/02/2018-04199.html Notice - Little Harbor Advisors, LLC and ETF Series Solutions 2018-03-02T00:00:00-08:00 2018-03-02T00:00:00-08:00 2018-04199 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-03-02/pdf/2018-04199.pdf https://regulations.justia.com/regulations/fedreg/2018/03/02/2018-04198.html Notice - Proposed Collection; Comment Request 2018-03-02T00:00:00-08:00 2018-03-02T00:00:00-08:00 2018-04198 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-03-02/pdf/2018-04198.pdf https://regulations.justia.com/regulations/fedreg/2018/03/02/2018-04197.html Notice - Proposed Collection; Comment Request 2018-03-02T00:00:00-08:00 2018-03-02T00:00:00-08:00 2018-04197 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-03-02/pdf/2018-04197.pdf https://regulations.justia.com/regulations/fedreg/2018/03/01/2018-04128.html Notice - Self-Regulatory Organizations; Cboe Exchange, Inc.; Notice of Filing of Amendment No. 2 and Order Granting Accelerated Approval of a Proposed Rule Change, as Modified by Amendment Nos. 1 and 2, To Amend Interpretation and Policy .07 of Exchange Rule 4.11, Position Limits, To Increase the Position Limits for Options on Certain Exchange Traded Products 2018-03-01T00:00:00-08:00 2018-03-01T00:00:00-08:00 2018-04128 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-03-01/pdf/2018-04128.pdf https://regulations.justia.com/regulations/fedreg/2018/03/01/2018-04127.html Notice - Self-Regulatory Organizations; Cboe EDGX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend EDGX Rule 21.1(c) To Further Align the Exchange's Rules With That of Cboe BZX Exchange, Inc. as They Relate to the Equity Options Platform 2018-03-01T00:00:00-08:00 2018-03-01T00:00:00-08:00 2018-04127 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-03-01/pdf/2018-04127.pdf https://regulations.justia.com/regulations/fedreg/2018/03/01/2018-04126.html Notice - Self-Regulatory Organizations; Nasdaq PHLX LLC; Notice of Filing of Proposed Rule Change, as Modified by Amendment No. 1, To Adopt New Order Type Protections, Butterfly and Box Spread Protections for Complex Order Strategy Trades 2018-03-01T00:00:00-08:00 2018-03-01T00:00:00-08:00 2018-04126 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-03-01/pdf/2018-04126.pdf https://regulations.justia.com/regulations/fedreg/2018/03/01/2018-04125.html Notice - Self-Regulatory Organizations; Nasdaq PHLX LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Rule 1082 and Eliminate Obsolete Language Referring to Legacy Phlx XL System 2018-03-01T00:00:00-08:00 2018-03-01T00:00:00-08:00 2018-04125 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-03-01/pdf/2018-04125.pdf