<![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/2018/04?registers=between&min-day=1&max-day=30 Fri, 03 May 2024 06:12:29 -0700 Fri, 03 May 2024 06:12:29 -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/2018/04?registers=between&min-day=1&max-day=30 Notice - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Extend the Temporary Exception That Permits Aggregate Reporting for Certain ATS Transactions in U.S. Treasury Securities https://regulations.justia.com/regulations/fedreg/2018/04/30/2018-08995.html https://regulations.justia.com/regulations/fedreg/2018/04/30/2018-08995.html Mon, 30 Apr 2018 00:00:00 -0700 2018-08995 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-04-30/pdf/2018-08995.pdf Notice - BMO Exchange Traded Funds, et al. https://regulations.justia.com/regulations/fedreg/2018/04/30/2018-08989.html https://regulations.justia.com/regulations/fedreg/2018/04/30/2018-08989.html Mon, 30 Apr 2018 00:00:00 -0700 2018-08989 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-04-30/pdf/2018-08989.pdf Notice - Self-Regulatory Organizations; NYSE Arca, Inc.; Order Instituting Proceedings To Determine Whether To Approve or Disapprove 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 https://regulations.justia.com/regulations/fedreg/2018/04/27/2018-08852.html https://regulations.justia.com/regulations/fedreg/2018/04/27/2018-08852.html Fri, 27 Apr 2018 00:00:00 -0700 2018-08852 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-04-27/pdf/2018-08852.pdf Notice - Self-Regulatory Organizations; Cboe Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Concerning the VIX Large Trade Discount Program https://regulations.justia.com/regulations/fedreg/2018/04/27/2018-08851.html https://regulations.justia.com/regulations/fedreg/2018/04/27/2018-08851.html Fri, 27 Apr 2018 00:00:00 -0700 2018-08851 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-04-27/pdf/2018-08851.pdf Notice - Self-Regulatory Organizations; MIAX PEARL, LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Rule 602, Continuing Market Maker Registration https://regulations.justia.com/regulations/fedreg/2018/04/27/2018-08850.html https://regulations.justia.com/regulations/fedreg/2018/04/27/2018-08850.html Fri, 27 Apr 2018 00:00:00 -0700 2018-08850 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-04-27/pdf/2018-08850.pdf Notice - Self-Regulatory Organizations; The Nasdaq Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Rule 4120 To Correct a Citation https://regulations.justia.com/regulations/fedreg/2018/04/27/2018-08849.html https://regulations.justia.com/regulations/fedreg/2018/04/27/2018-08849.html Fri, 27 Apr 2018 00:00:00 -0700 2018-08849 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-04-27/pdf/2018-08849.pdf Notice - Self-Regulatory Organizations; Cboe Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change in Connection With the Migration of SPX Options From the Hybrid 3.0 System to the Hybrid Trading System https://regulations.justia.com/regulations/fedreg/2018/04/27/2018-08848.html https://regulations.justia.com/regulations/fedreg/2018/04/27/2018-08848.html Fri, 27 Apr 2018 00:00:00 -0700 2018-08848 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-04-27/pdf/2018-08848.pdf Notice - The Swiss Helvetia Fund, Inc., et al. https://regulations.justia.com/regulations/fedreg/2018/04/27/2018-08846.html https://regulations.justia.com/regulations/fedreg/2018/04/27/2018-08846.html Fri, 27 Apr 2018 00:00:00 -0700 2018-08846 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-04-27/pdf/2018-08846.pdf Notice - Proposed Collection; Comment Request https://regulations.justia.com/regulations/fedreg/2018/04/26/2018-08828.html https://regulations.justia.com/regulations/fedreg/2018/04/26/2018-08828.html Thu, 26 Apr 2018 00:00:00 -0700 2018-08828 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-04-26/pdf/2018-08828.pdf Notice - Proposed Collection; Comment Request https://regulations.justia.com/regulations/fedreg/2018/04/26/2018-08821.html https://regulations.justia.com/regulations/fedreg/2018/04/26/2018-08821.html Thu, 26 Apr 2018 00:00:00 -0700 2018-08821 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-04-26/pdf/2018-08821.pdf Notice - Proposed Collection; Comment Request https://regulations.justia.com/regulations/fedreg/2018/04/26/2018-08820.html https://regulations.justia.com/regulations/fedreg/2018/04/26/2018-08820.html Thu, 26 Apr 2018 00:00:00 -0700 2018-08820 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-04-26/pdf/2018-08820.pdf Notice - Proposed Collection; Comment Request https://regulations.justia.com/regulations/fedreg/2018/04/26/2018-08819.html https://regulations.justia.com/regulations/fedreg/2018/04/26/2018-08819.html Thu, 26 Apr 2018 00:00:00 -0700 2018-08819 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-04-26/pdf/2018-08819.pdf Notice - Proposed Collection; Comment Request https://regulations.justia.com/regulations/fedreg/2018/04/26/2018-08818.html https://regulations.justia.com/regulations/fedreg/2018/04/26/2018-08818.html Thu, 26 Apr 2018 00:00:00 -0700 2018-08818 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-04-26/pdf/2018-08818.pdf Notice - Proposed Collection; Comment Request https://regulations.justia.com/regulations/fedreg/2018/04/26/2018-08817.html https://regulations.justia.com/regulations/fedreg/2018/04/26/2018-08817.html Thu, 26 Apr 2018 00:00:00 -0700 2018-08817 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-04-26/pdf/2018-08817.pdf Notice - Proposed Collection; Comment Request https://regulations.justia.com/regulations/fedreg/2018/04/26/2018-08816.html https://regulations.justia.com/regulations/fedreg/2018/04/26/2018-08816.html Thu, 26 Apr 2018 00:00:00 -0700 2018-08816 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-04-26/pdf/2018-08816.pdf Notice - Proposed Collection; Comment Request https://regulations.justia.com/regulations/fedreg/2018/04/26/2018-08815.html https://regulations.justia.com/regulations/fedreg/2018/04/26/2018-08815.html Thu, 26 Apr 2018 00:00:00 -0700 2018-08815 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-04-26/pdf/2018-08815.pdf Notice - Self-Regulatory Organizations; Nasdaq MRX, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Incorporate by Reference The Nasdaq Stock Market LLC's Consolidated Audit Trail Rules Into the Rules of Nasdaq MRX https://regulations.justia.com/regulations/fedreg/2018/04/26/2018-08733.html https://regulations.justia.com/regulations/fedreg/2018/04/26/2018-08733.html Thu, 26 Apr 2018 00:00:00 -0700 2018-08733 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-04-26/pdf/2018-08733.pdf Notice - Self-Regulatory Organizations; Nasdaq GEMX, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Incorporate by Reference The Nasdaq Stock Market LLC's Consolidated Audit Trail Rules Into the Rules of Nasdaq GEMX https://regulations.justia.com/regulations/fedreg/2018/04/26/2018-08732.html https://regulations.justia.com/regulations/fedreg/2018/04/26/2018-08732.html Thu, 26 Apr 2018 00:00:00 -0700 2018-08732 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-04-26/pdf/2018-08732.pdf Notice - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing of a Proposed Rule Change To Establish a Second Trade Reporting Facility in Conjunction With Nasdaq, Inc. https://regulations.justia.com/regulations/fedreg/2018/04/26/2018-08731.html https://regulations.justia.com/regulations/fedreg/2018/04/26/2018-08731.html Thu, 26 Apr 2018 00:00:00 -0700 2018-08731 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-04-26/pdf/2018-08731.pdf Notice - Self-Regulatory Organizations; Nasdaq BX, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Incorporate by Reference The Nasdaq Stock Market LLC's Consolidated Audit Trail Rules Into the Rules of Nasdaq BX https://regulations.justia.com/regulations/fedreg/2018/04/26/2018-08730.html https://regulations.justia.com/regulations/fedreg/2018/04/26/2018-08730.html Thu, 26 Apr 2018 00:00:00 -0700 2018-08730 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-04-26/pdf/2018-08730.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 at Section II To Clarify Fees Applicable To Correcting “As/of” or “Reversal” Trades https://regulations.justia.com/regulations/fedreg/2018/04/26/2018-08729.html https://regulations.justia.com/regulations/fedreg/2018/04/26/2018-08729.html Thu, 26 Apr 2018 00:00:00 -0700 2018-08729 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-04-26/pdf/2018-08729.pdf Notice - Self-Regulatory Organizations; Nasdaq ISE, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Incorporate by Reference The Nasdaq Stock Market LLC's Consolidated Audit Trail Rules Into the Rules of Nasdaq ISE https://regulations.justia.com/regulations/fedreg/2018/04/26/2018-08728.html https://regulations.justia.com/regulations/fedreg/2018/04/26/2018-08728.html Thu, 26 Apr 2018 00:00:00 -0700 2018-08728 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-04-26/pdf/2018-08728.pdf Notice - Self-Regulatory Organizations; Nasdaq PHLX LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Incorporate by Reference The Nasdaq Stock Market LLC's Consolidated Audit Trail Rules Into the Rules of Nasdaq Phlx https://regulations.justia.com/regulations/fedreg/2018/04/26/2018-08727.html https://regulations.justia.com/regulations/fedreg/2018/04/26/2018-08727.html Thu, 26 Apr 2018 00:00:00 -0700 2018-08727 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-04-26/pdf/2018-08727.pdf Notice - Self-Regulatory Organizations; Investors Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Rule 11.350 To Clarify When a New IEX-Listed Security Will Be Eligible To Begin Trading With an IPO Auction https://regulations.justia.com/regulations/fedreg/2018/04/26/2018-08726.html https://regulations.justia.com/regulations/fedreg/2018/04/26/2018-08726.html Thu, 26 Apr 2018 00:00:00 -0700 2018-08726 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-04-26/pdf/2018-08726.pdf Notice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the NYSE Arca Options Fee Schedule https://regulations.justia.com/regulations/fedreg/2018/04/26/2018-08725.html https://regulations.justia.com/regulations/fedreg/2018/04/26/2018-08725.html Thu, 26 Apr 2018 00:00:00 -0700 2018-08725 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-04-26/pdf/2018-08725.pdf Notice - Self-Regulatory Organizations; NYSE American LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the NYSE American Options Fee Schedule https://regulations.justia.com/regulations/fedreg/2018/04/26/2018-08724.html https://regulations.justia.com/regulations/fedreg/2018/04/26/2018-08724.html Thu, 26 Apr 2018 00:00:00 -0700 2018-08724 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-04-26/pdf/2018-08724.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 End-of-Day Pricing Policy https://regulations.justia.com/regulations/fedreg/2018/04/25/2018-08618.html https://regulations.justia.com/regulations/fedreg/2018/04/25/2018-08618.html Wed, 25 Apr 2018 00:00:00 -0700 2018-08618 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-04-25/pdf/2018-08618.pdf Notice - Self-Regulatory Organizations; ICE Clear Credit LLC; Order Approving Proposed Rule Change Relating to Amendments to the ICC Operational Risk Management Framework https://regulations.justia.com/regulations/fedreg/2018/04/25/2018-08617.html https://regulations.justia.com/regulations/fedreg/2018/04/25/2018-08617.html Wed, 25 Apr 2018 00:00:00 -0700 2018-08617 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-04-25/pdf/2018-08617.pdf Notice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Modify Rule 6.8-O, Commentary .06 To Expand Position Limits for Options on Certain Exchange-Traded Funds https://regulations.justia.com/regulations/fedreg/2018/04/25/2018-08616.html https://regulations.justia.com/regulations/fedreg/2018/04/25/2018-08616.html Wed, 25 Apr 2018 00:00:00 -0700 2018-08616 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-04-25/pdf/2018-08616.pdf Notice - Self-Regulatory Organizations; NYSE American LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Modify Rule 904, Commentary .07 To Expand Position Limits for Options on Certain Exchange-Traded Funds https://regulations.justia.com/regulations/fedreg/2018/04/25/2018-08615.html https://regulations.justia.com/regulations/fedreg/2018/04/25/2018-08615.html Wed, 25 Apr 2018 00:00:00 -0700 2018-08615 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-04-25/pdf/2018-08615.pdf Notice - Self-Regulatory Organizations; Nasdaq BX, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Clarify the Requirements for Delivery of a Contrary Exercise Advice https://regulations.justia.com/regulations/fedreg/2018/04/25/2018-08614.html https://regulations.justia.com/regulations/fedreg/2018/04/25/2018-08614.html Wed, 25 Apr 2018 00:00:00 -0700 2018-08614 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-04-25/pdf/2018-08614.pdf Notice - Sunshine Act Meetings https://regulations.justia.com/regulations/fedreg/2018/04/24/2018-08619.html https://regulations.justia.com/regulations/fedreg/2018/04/24/2018-08619.html Tue, 24 Apr 2018 00:00:00 -0700 2018-08619 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-04-24/pdf/2018-08619.pdf Notice - Self-Regulatory Organizations; NYSE American LLC; Notice of Designation of Longer Period for Commission Action on Proposed Rule Change To Establish an Electronic Price Improvement Auction for Complex Orders https://regulations.justia.com/regulations/fedreg/2018/04/24/2018-08435.html https://regulations.justia.com/regulations/fedreg/2018/04/24/2018-08435.html Tue, 24 Apr 2018 00:00:00 -0700 2018-08435 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-04-24/pdf/2018-08435.pdf Notice - Self-Regulatory Organizations; MIAX PEARL, LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Exchange Rule 503, Openings on the Exchange https://regulations.justia.com/regulations/fedreg/2018/04/24/2018-08434.html https://regulations.justia.com/regulations/fedreg/2018/04/24/2018-08434.html Tue, 24 Apr 2018 00:00:00 -0700 2018-08434 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-04-24/pdf/2018-08434.pdf Notice - Submission for OMB Review; Comment Request https://regulations.justia.com/regulations/fedreg/2018/04/23/2018-08403.html https://regulations.justia.com/regulations/fedreg/2018/04/23/2018-08403.html Mon, 23 Apr 2018 00:00:00 -0700 2018-08403 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-04-23/pdf/2018-08403.pdf Notice - Submission for OMB Review; Comment Request https://regulations.justia.com/regulations/fedreg/2018/04/23/2018-08402.html https://regulations.justia.com/regulations/fedreg/2018/04/23/2018-08402.html Mon, 23 Apr 2018 00:00:00 -0700 2018-08402 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-04-23/pdf/2018-08402.pdf Notice - Proposed Collection; Comment Request https://regulations.justia.com/regulations/fedreg/2018/04/23/2018-08401.html https://regulations.justia.com/regulations/fedreg/2018/04/23/2018-08401.html Mon, 23 Apr 2018 00:00:00 -0700 2018-08401 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-04-23/pdf/2018-08401.pdf Notice - Proposed Collection; Comment Request https://regulations.justia.com/regulations/fedreg/2018/04/23/2018-08400.html https://regulations.justia.com/regulations/fedreg/2018/04/23/2018-08400.html Mon, 23 Apr 2018 00:00:00 -0700 2018-08400 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-04-23/pdf/2018-08400.pdf Notice - Submission for OMB Review; Comment Request https://regulations.justia.com/regulations/fedreg/2018/04/23/2018-08399.html https://regulations.justia.com/regulations/fedreg/2018/04/23/2018-08399.html Mon, 23 Apr 2018 00:00:00 -0700 2018-08399 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-04-23/pdf/2018-08399.pdf Notice - Proposed Collection; Comment Request https://regulations.justia.com/regulations/fedreg/2018/04/23/2018-08398.html https://regulations.justia.com/regulations/fedreg/2018/04/23/2018-08398.html Mon, 23 Apr 2018 00:00:00 -0700 2018-08398 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-04-23/pdf/2018-08398.pdf Notice - Self-Regulatory Organizations; The Nasdaq Stock Market LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Delete Duplicative Rules Related to the Consolidated Audit Trail From Its Rulebook https://regulations.justia.com/regulations/fedreg/2018/04/23/2018-08368.html https://regulations.justia.com/regulations/fedreg/2018/04/23/2018-08368.html Mon, 23 Apr 2018 00:00:00 -0700 2018-08368 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-04-23/pdf/2018-08368.pdf Notice - Self-Regulatory Organizations; Nasdaq BX, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Delete Duplicative Rules Related to the Consolidated Audit Trail From Its Rulebook https://regulations.justia.com/regulations/fedreg/2018/04/23/2018-08356.html https://regulations.justia.com/regulations/fedreg/2018/04/23/2018-08356.html Mon, 23 Apr 2018 00:00:00 -0700 2018-08356 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-04-23/pdf/2018-08356.pdf Notice - Self-Regulatory Organizations; The Depository Trust Company; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the DTC Redemptions Service Guide and the DTC Reorganizations Service Guide To Add Clarifying Text Relating to the Processing of MMI Securities https://regulations.justia.com/regulations/fedreg/2018/04/23/2018-08355.html https://regulations.justia.com/regulations/fedreg/2018/04/23/2018-08355.html Mon, 23 Apr 2018 00:00:00 -0700 2018-08355 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-04-23/pdf/2018-08355.pdf Notice - Order Making Fiscal Year 2018 Annual Adjustments to Transaction Fee Rates https://regulations.justia.com/regulations/fedreg/2018/04/20/2018-08339.html https://regulations.justia.com/regulations/fedreg/2018/04/20/2018-08339.html Fri, 20 Apr 2018 00:00:00 -0700 2018-08339 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-04-20/pdf/2018-08339.pdf Notice - Self-Regulatory Organizations; ICE Clear Europe Limited; Order Instituting Proceedings To Determine Whether To Approve or Disapprove Proposed Rule Changes Related to ICEEU's Recovery and Wind-Down Plans https://regulations.justia.com/regulations/fedreg/2018/04/20/2018-08338.html https://regulations.justia.com/regulations/fedreg/2018/04/20/2018-08338.html Fri, 20 Apr 2018 00:00:00 -0700 2018-08338 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-04-20/pdf/2018-08338.pdf Notice - Self-Regulatory Organizations; Nasdaq ISE, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Codify Within Rule 718 the Data Feeds on ISE https://regulations.justia.com/regulations/fedreg/2018/04/19/2018-08158.html https://regulations.justia.com/regulations/fedreg/2018/04/19/2018-08158.html Thu, 19 Apr 2018 00:00:00 -0700 2018-08158 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-04-19/pdf/2018-08158.pdf Notice - Self-Regulatory Organizations; Nasdaq GEMX, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Codify Within Rule 718 the Data Feeds on GEMX https://regulations.justia.com/regulations/fedreg/2018/04/19/2018-08157.html https://regulations.justia.com/regulations/fedreg/2018/04/19/2018-08157.html Thu, 19 Apr 2018 00:00:00 -0700 2018-08157 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-04-19/pdf/2018-08157.pdf Notice - Self-Regulatory Organizations; Nasdaq MRX, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Adopt Data Feeds Offered to MRX Members https://regulations.justia.com/regulations/fedreg/2018/04/19/2018-08156.html https://regulations.justia.com/regulations/fedreg/2018/04/19/2018-08156.html Thu, 19 Apr 2018 00:00:00 -0700 2018-08156 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-04-19/pdf/2018-08156.pdf Notice - Self-Regulatory Organizations; Investors Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Rule 11.190(g) To Incrementally Optimize and Enhance the Effectiveness of the Quote Instability Calculation in Determining Whether a Crumbling Quote Exists https://regulations.justia.com/regulations/fedreg/2018/04/19/2018-08155.html https://regulations.justia.com/regulations/fedreg/2018/04/19/2018-08155.html Thu, 19 Apr 2018 00:00:00 -0700 2018-08155 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-04-19/pdf/2018-08155.pdf Notice - Self-Regulatory Organizations; Nasdaq BX, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Correct a Typographical Error Within Chapter VI, Section 9 of the BX Rules https://regulations.justia.com/regulations/fedreg/2018/04/19/2018-08154.html https://regulations.justia.com/regulations/fedreg/2018/04/19/2018-08154.html Thu, 19 Apr 2018 00:00:00 -0700 2018-08154 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-04-19/pdf/2018-08154.pdf Notice - Self-Regulatory Organizations; The Nasdaq Stock Market LLC; Order Granting Approval of a 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/2018/04/19/2018-08153.html https://regulations.justia.com/regulations/fedreg/2018/04/19/2018-08153.html Thu, 19 Apr 2018 00:00:00 -0700 2018-08153 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-04-19/pdf/2018-08153.pdf Notice - Self-Regulatory Organizations; Nasdaq BX, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the Exchange's Transaction Fees at Rule 7018 https://regulations.justia.com/regulations/fedreg/2018/04/19/2018-08152.html https://regulations.justia.com/regulations/fedreg/2018/04/19/2018-08152.html Thu, 19 Apr 2018 00:00:00 -0700 2018-08152 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-04-19/pdf/2018-08152.pdf Notice - Sunshine Act Meetings https://regulations.justia.com/regulations/fedreg/2018/04/18/2018-08254.html https://regulations.justia.com/regulations/fedreg/2018/04/18/2018-08254.html Wed, 18 Apr 2018 00:00:00 -0700 2018-08254 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-04-18/pdf/2018-08254.pdf Notice - Joint Industry Plan; Order Approving 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. https://regulations.justia.com/regulations/fedreg/2018/04/18/2018-08080.html https://regulations.justia.com/regulations/fedreg/2018/04/18/2018-08080.html Wed, 18 Apr 2018 00:00:00 -0700 2018-08080 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-04-18/pdf/2018-08080.pdf Notice - Self-Regulatory Organizations; Cboe Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Adopt PAR Hardware Replacement Fees https://regulations.justia.com/regulations/fedreg/2018/04/18/2018-08056.html https://regulations.justia.com/regulations/fedreg/2018/04/18/2018-08056.html Wed, 18 Apr 2018 00:00:00 -0700 2018-08056 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-04-18/pdf/2018-08056.pdf Notice - Self-Regulatory Organizations; Cboe Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to the Select Customer Options Reduction Program https://regulations.justia.com/regulations/fedreg/2018/04/18/2018-08055.html https://regulations.justia.com/regulations/fedreg/2018/04/18/2018-08055.html Wed, 18 Apr 2018 00:00:00 -0700 2018-08055 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-04-18/pdf/2018-08055.pdf Notice - Order Granting Application by MIAX PEARL, LLC for Exemption Pursuant to Section 36(a) of the Exchange Act From the Rule Filing Requirements of Section 19(b) of the Exchange Act With Respect to Certain Rules Incorporated by Reference https://regulations.justia.com/regulations/fedreg/2018/04/18/2018-08054.html https://regulations.justia.com/regulations/fedreg/2018/04/18/2018-08054.html Wed, 18 Apr 2018 00:00:00 -0700 2018-08054 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-04-18/pdf/2018-08054.pdf Notice - Self-Regulatory Organizations; MIAX PEARL, LLC; Order Granting Approval of a Proposed Rule Change To Adopt Rules Relating to Index Options https://regulations.justia.com/regulations/fedreg/2018/04/18/2018-08053.html https://regulations.justia.com/regulations/fedreg/2018/04/18/2018-08053.html Wed, 18 Apr 2018 00:00:00 -0700 2018-08053 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-04-18/pdf/2018-08053.pdf Notice - Self-Regulatory Organizations; Municipal Securities Rulemaking Board; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to the MSRB's Facility for the Real-Time Transaction Reporting System https://regulations.justia.com/regulations/fedreg/2018/04/18/2018-08052.html https://regulations.justia.com/regulations/fedreg/2018/04/18/2018-08052.html Wed, 18 Apr 2018 00:00:00 -0700 2018-08052 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-04-18/pdf/2018-08052.pdf Notice - Sunshine Act Meetings https://regulations.justia.com/regulations/fedreg/2018/04/17/2018-08083.html https://regulations.justia.com/regulations/fedreg/2018/04/17/2018-08083.html Tue, 17 Apr 2018 00:00:00 -0700 2018-08083 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-04-17/pdf/2018-08083.pdf Notice - Proposed Collection; Comment Request https://regulations.justia.com/regulations/fedreg/2018/04/17/2018-07961.html https://regulations.justia.com/regulations/fedreg/2018/04/17/2018-07961.html Tue, 17 Apr 2018 00:00:00 -0700 2018-07961 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-04-17/pdf/2018-07961.pdf Notice - Submission for OMB Review; Comment Request https://regulations.justia.com/regulations/fedreg/2018/04/17/2018-07960.html https://regulations.justia.com/regulations/fedreg/2018/04/17/2018-07960.html Tue, 17 Apr 2018 00:00:00 -0700 2018-07960 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-04-17/pdf/2018-07960.pdf Notice - Self-Regulatory Organizations; Nasdaq PHLX LLC; Order Approving a Proposed Rule Change, as Modified by Amendment Nos. 1, 2, and 3, To Adopt Protections for Butterfly Spreads and Box Spreads https://regulations.justia.com/regulations/fedreg/2018/04/17/2018-07932.html https://regulations.justia.com/regulations/fedreg/2018/04/17/2018-07932.html Tue, 17 Apr 2018 00:00:00 -0700 2018-07932 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-04-17/pdf/2018-07932.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/2018/04/17/2018-07931.html https://regulations.justia.com/regulations/fedreg/2018/04/17/2018-07931.html Tue, 17 Apr 2018 00:00:00 -0700 2018-07931 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-04-17/pdf/2018-07931.pdf Notice - Sunshine Act Meeting https://regulations.justia.com/regulations/fedreg/2018/04/16/2018-07954.html https://regulations.justia.com/regulations/fedreg/2018/04/16/2018-07954.html Mon, 16 Apr 2018 00:00:00 -0700 2018-07954 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-04-16/pdf/2018-07954.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/2018/04/16/2018-07811.html https://regulations.justia.com/regulations/fedreg/2018/04/16/2018-07811.html Mon, 16 Apr 2018 00:00:00 -0700 2018-07811 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-04-16/pdf/2018-07811.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 on the BOX Market LLC (“BOX”) Options Facility To Amend the Strategy QOO Order Fee Cap https://regulations.justia.com/regulations/fedreg/2018/04/16/2018-07810.html https://regulations.justia.com/regulations/fedreg/2018/04/16/2018-07810.html Mon, 16 Apr 2018 00:00:00 -0700 2018-07810 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-04-16/pdf/2018-07810.pdf Notice - Self-Regulatory Organizations; Cboe EDGX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Related to Transaction Fees for Use on Cboe EDGX Exchange, Inc.'s Equity Platform https://regulations.justia.com/regulations/fedreg/2018/04/16/2018-07809.html https://regulations.justia.com/regulations/fedreg/2018/04/16/2018-07809.html Mon, 16 Apr 2018 00:00:00 -0700 2018-07809 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-04-16/pdf/2018-07809.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/2018/04/16/2018-07808.html https://regulations.justia.com/regulations/fedreg/2018/04/16/2018-07808.html Mon, 16 Apr 2018 00:00:00 -0700 2018-07808 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-04-16/pdf/2018-07808.pdf Notice - Self-Regulatory Organizations; The Nasdaq Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Rule 7018(a) https://regulations.justia.com/regulations/fedreg/2018/04/16/2018-07807.html https://regulations.justia.com/regulations/fedreg/2018/04/16/2018-07807.html Mon, 16 Apr 2018 00:00:00 -0700 2018-07807 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-04-16/pdf/2018-07807.pdf Notice - Proposed Collection; Comment Request https://regulations.justia.com/regulations/fedreg/2018/04/16/2018-07795.html https://regulations.justia.com/regulations/fedreg/2018/04/16/2018-07795.html Mon, 16 Apr 2018 00:00:00 -0700 2018-07795 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-04-16/pdf/2018-07795.pdf Notice - Proposed Collection; Comment Request https://regulations.justia.com/regulations/fedreg/2018/04/16/2018-07794.html https://regulations.justia.com/regulations/fedreg/2018/04/16/2018-07794.html Mon, 16 Apr 2018 00:00:00 -0700 2018-07794 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-04-16/pdf/2018-07794.pdf Notice - Proposed Collection; Comment Request https://regulations.justia.com/regulations/fedreg/2018/04/16/2018-07793.html https://regulations.justia.com/regulations/fedreg/2018/04/16/2018-07793.html Mon, 16 Apr 2018 00:00:00 -0700 2018-07793 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-04-16/pdf/2018-07793.pdf Notice - Proposed Collection; Comment Request https://regulations.justia.com/regulations/fedreg/2018/04/16/2018-07792.html https://regulations.justia.com/regulations/fedreg/2018/04/16/2018-07792.html Mon, 16 Apr 2018 00:00:00 -0700 2018-07792 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-04-16/pdf/2018-07792.pdf Notice - Proposed Collection; Comment Request https://regulations.justia.com/regulations/fedreg/2018/04/16/2018-07791.html https://regulations.justia.com/regulations/fedreg/2018/04/16/2018-07791.html Mon, 16 Apr 2018 00:00:00 -0700 2018-07791 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-04-16/pdf/2018-07791.pdf Notice - Proposed Collection; Comment Request https://regulations.justia.com/regulations/fedreg/2018/04/16/2018-07790.html https://regulations.justia.com/regulations/fedreg/2018/04/16/2018-07790.html Mon, 16 Apr 2018 00:00:00 -0700 2018-07790 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-04-16/pdf/2018-07790.pdf Notice - Proposed Collection; Comment Request https://regulations.justia.com/regulations/fedreg/2018/04/16/2018-07789.html https://regulations.justia.com/regulations/fedreg/2018/04/16/2018-07789.html Mon, 16 Apr 2018 00:00:00 -0700 2018-07789 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-04-16/pdf/2018-07789.pdf Notice - Proposed Collection; Comment Request https://regulations.justia.com/regulations/fedreg/2018/04/16/2018-07788.html https://regulations.justia.com/regulations/fedreg/2018/04/16/2018-07788.html Mon, 16 Apr 2018 00:00:00 -0700 2018-07788 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-04-16/pdf/2018-07788.pdf Notice - Proposed Collection; Comment Request https://regulations.justia.com/regulations/fedreg/2018/04/16/2018-07787.html https://regulations.justia.com/regulations/fedreg/2018/04/16/2018-07787.html Mon, 16 Apr 2018 00:00:00 -0700 2018-07787 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-04-16/pdf/2018-07787.pdf Notice - Proposed Collection; Comment Request https://regulations.justia.com/regulations/fedreg/2018/04/16/2018-07786.html https://regulations.justia.com/regulations/fedreg/2018/04/16/2018-07786.html Mon, 16 Apr 2018 00:00:00 -0700 2018-07786 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-04-16/pdf/2018-07786.pdf Notice - Submission for OMB Review; Comment Request https://regulations.justia.com/regulations/fedreg/2018/04/16/2018-07784.html https://regulations.justia.com/regulations/fedreg/2018/04/16/2018-07784.html Mon, 16 Apr 2018 00:00:00 -0700 2018-07784 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-04-16/pdf/2018-07784.pdf Notice - Proposed Collection; Comment Request https://regulations.justia.com/regulations/fedreg/2018/04/16/2018-07783.html https://regulations.justia.com/regulations/fedreg/2018/04/16/2018-07783.html Mon, 16 Apr 2018 00:00:00 -0700 2018-07783 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-04-16/pdf/2018-07783.pdf Notice - Self-Regulatory Organizations; Cboe EDGX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Modify Rule 21.9 of the Exchange's Rules and Related Functionality Applicable to the Routing Options Made Available by the Exchange's Equity Options Platform https://regulations.justia.com/regulations/fedreg/2018/04/13/2018-07677.html https://regulations.justia.com/regulations/fedreg/2018/04/13/2018-07677.html Fri, 13 Apr 2018 00:00:00 -0700 2018-07677 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-04-13/pdf/2018-07677.pdf Notice - Self-Regulatory Organizations; Cboe BZX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Modify Rule 21.9 of the Exchange's Rules and Related Functionality Applicable to the Routing Options Made Available by the Exchange's Equity Options Platform https://regulations.justia.com/regulations/fedreg/2018/04/13/2018-07676.html https://regulations.justia.com/regulations/fedreg/2018/04/13/2018-07676.html Fri, 13 Apr 2018 00:00:00 -0700 2018-07676 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-04-13/pdf/2018-07676.pdf Notice - Self-Regulatory Organizations; Cboe EDGX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Rule 19.3, Criteria for Underlying Securities https://regulations.justia.com/regulations/fedreg/2018/04/13/2018-07675.html https://regulations.justia.com/regulations/fedreg/2018/04/13/2018-07675.html Fri, 13 Apr 2018 00:00:00 -0700 2018-07675 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-04-13/pdf/2018-07675.pdf Notice - Self-Regulatory Organizations; Cboe BZX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Related to Transaction Fees for Use on Cboe BZX Exchange, Inc.'s Equity Platform https://regulations.justia.com/regulations/fedreg/2018/04/13/2018-07674.html https://regulations.justia.com/regulations/fedreg/2018/04/13/2018-07674.html Fri, 13 Apr 2018 00:00:00 -0700 2018-07674 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-04-13/pdf/2018-07674.pdf Notice - Self-Regulatory Organizations; Cboe BZX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Rule 19.3, Criteria for Underlying Securities https://regulations.justia.com/regulations/fedreg/2018/04/13/2018-07673.html https://regulations.justia.com/regulations/fedreg/2018/04/13/2018-07673.html Fri, 13 Apr 2018 00:00:00 -0700 2018-07673 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-04-13/pdf/2018-07673.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 https://regulations.justia.com/regulations/fedreg/2018/04/13/2018-07672.html https://regulations.justia.com/regulations/fedreg/2018/04/13/2018-07672.html Fri, 13 Apr 2018 00:00:00 -0700 2018-07672 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-04-13/pdf/2018-07672.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/2018/04/13/2018-07671.html https://regulations.justia.com/regulations/fedreg/2018/04/13/2018-07671.html Fri, 13 Apr 2018 00:00:00 -0700 2018-07671 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-04-13/pdf/2018-07671.pdf Notice - Self-Regulatory Organizations; CboeBZX Exchange, Inc.; Notice of Filing of Amendment No. 2 and Order Granting Accelerated Approval of a Proposed Rule Change, as Modified by Amendment No. 2, To List and Trade Shares of the iShares Gold Strategy ETF Under Exchange Rule 14.11(i) https://regulations.justia.com/regulations/fedreg/2018/04/13/2018-07670.html https://regulations.justia.com/regulations/fedreg/2018/04/13/2018-07670.html Fri, 13 Apr 2018 00:00:00 -0700 2018-07670 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-04-13/pdf/2018-07670.pdf Notice - Self-Regulatory Organizations; MIAX PEARL, LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Implement an Equity Rights Program https://regulations.justia.com/regulations/fedreg/2018/04/13/2018-07669.html https://regulations.justia.com/regulations/fedreg/2018/04/13/2018-07669.html Fri, 13 Apr 2018 00:00:00 -0700 2018-07669 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-04-13/pdf/2018-07669.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 Modify the Listing Requirements Related to Special Purpose Acquisition Companies To Reduce Round Lot Holders on Nasdaq Capital Market for Initial Listing From 300 to 150 and Eliminate Public Holders for Continued Listing From 300 to Zero, Require $5 Million in Net Tangible Assets for Initial and Continued Listing on Nasdaq Capital Market, and Impose a Deadline To Demonstrate Compliance With Initial Listing Requirements on All Nasdaq Markets Within 30 Days Following Each Business Combination https://regulations.justia.com/regulations/fedreg/2018/04/12/2018-07528.html https://regulations.justia.com/regulations/fedreg/2018/04/12/2018-07528.html Thu, 12 Apr 2018 00:00:00 -0700 2018-07528 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-04-12/pdf/2018-07528.pdf Notice - Self-Regulatory Organizations; The Nasdaq Stock Market LLC; Order Instituting Proceedings To Determine Whether To Approve or Disapprove a Proposed Rule Change To List and Trade Shares of the Western Asset Total Return ETF https://regulations.justia.com/regulations/fedreg/2018/04/12/2018-07527.html https://regulations.justia.com/regulations/fedreg/2018/04/12/2018-07527.html Thu, 12 Apr 2018 00:00:00 -0700 2018-07527 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-04-12/pdf/2018-07527.pdf Notice - Self-Regulatory Organizations; Nasdaq ISE, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend ISE Rules 700, 2008, and 2009 https://regulations.justia.com/regulations/fedreg/2018/04/12/2018-07526.html https://regulations.justia.com/regulations/fedreg/2018/04/12/2018-07526.html Thu, 12 Apr 2018 00:00:00 -0700 2018-07526 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-04-12/pdf/2018-07526.pdf Notice - Self-Regulatory Organizations; Nasdaq PHLX LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Exchange Rule 1101A https://regulations.justia.com/regulations/fedreg/2018/04/12/2018-07525.html https://regulations.justia.com/regulations/fedreg/2018/04/12/2018-07525.html Thu, 12 Apr 2018 00:00:00 -0700 2018-07525 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-04-12/pdf/2018-07525.pdf Notice - Application; Benefit Street Partners BDC, Inc., et al. https://regulations.justia.com/regulations/fedreg/2018/04/11/2018-07430.html https://regulations.justia.com/regulations/fedreg/2018/04/11/2018-07430.html Wed, 11 Apr 2018 00:00:00 -0700 2018-07430 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-04-11/pdf/2018-07430.pdf Notice - Self-Regulatory Organizations; Nasdaq ISE, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Modify the Rebates Provided to Members That Send Unsolicited Crossing Orders to the Exchange https://regulations.justia.com/regulations/fedreg/2018/04/11/2018-07408.html https://regulations.justia.com/regulations/fedreg/2018/04/11/2018-07408.html Wed, 11 Apr 2018 00:00:00 -0700 2018-07408 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-04-11/pdf/2018-07408.pdf Notice - Self-Regulatory Organizations; Nasdaq ISE, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to the Delay of Complex Order Quoting Functionality https://regulations.justia.com/regulations/fedreg/2018/04/11/2018-07407.html https://regulations.justia.com/regulations/fedreg/2018/04/11/2018-07407.html Wed, 11 Apr 2018 00:00:00 -0700 2018-07407 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-04-11/pdf/2018-07407.pdf Notice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to the ProShares Short VIX Short-Term Futures ETF and ProShares Ultra VIX Short-Term Futures ETF https://regulations.justia.com/regulations/fedreg/2018/04/11/2018-07406.html https://regulations.justia.com/regulations/fedreg/2018/04/11/2018-07406.html Wed, 11 Apr 2018 00:00:00 -0700 2018-07406 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-04-11/pdf/2018-07406.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 Clarify the Fees and Rebates for the Complex Order Exposure Auction Pursuant to Rule 722(b)(3)(iii) https://regulations.justia.com/regulations/fedreg/2018/04/11/2018-07405.html https://regulations.justia.com/regulations/fedreg/2018/04/11/2018-07405.html Wed, 11 Apr 2018 00:00:00 -0700 2018-07405 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-04-11/pdf/2018-07405.pdf Notice - Order Regarding Review of FASB Accounting Support Fee for 2018 Under Section 109 of the Sarbanes-Oxley Act of 2002 https://regulations.justia.com/regulations/fedreg/2018/04/11/2018-07363.html https://regulations.justia.com/regulations/fedreg/2018/04/11/2018-07363.html Wed, 11 Apr 2018 00:00:00 -0700 2018-07363 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-04-11/pdf/2018-07363.pdf Notice - Sunshine Act Meetings https://regulations.justia.com/regulations/fedreg/2018/04/10/2018-07409.html https://regulations.justia.com/regulations/fedreg/2018/04/10/2018-07409.html Tue, 10 Apr 2018 00:00:00 -0700 2018-07409 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-04-10/pdf/2018-07409.pdf Notice - Angel Oak Strategic Credit Fund and Angel Oak Capital Advisors, LLC https://regulations.justia.com/regulations/fedreg/2018/04/10/2018-07343.html https://regulations.justia.com/regulations/fedreg/2018/04/10/2018-07343.html Tue, 10 Apr 2018 00:00:00 -0700 2018-07343 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-04-10/pdf/2018-07343.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 the Shares of the GraniteShares Bitcoin ETF and the GraniteShares Short Bitcoin ETF Under BZX Rule 14.11(f)(4), Trust Issued Receipts https://regulations.justia.com/regulations/fedreg/2018/04/10/2018-07263.html https://regulations.justia.com/regulations/fedreg/2018/04/10/2018-07263.html Tue, 10 Apr 2018 00:00:00 -0700 2018-07263 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-04-10/pdf/2018-07263.pdf Notice - Self-Regulatory Organizations; The Nasdaq Stock Market LLC; Notice of Designation of Longer Period for Commission Action on a 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/2018/04/10/2018-07245.html https://regulations.justia.com/regulations/fedreg/2018/04/10/2018-07245.html Tue, 10 Apr 2018 00:00:00 -0700 2018-07245 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-04-10/pdf/2018-07245.pdf Notice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the NYSE Arca Options Fee Schedule With Respect to the Options Regulatory Fee https://regulations.justia.com/regulations/fedreg/2018/04/10/2018-07244.html https://regulations.justia.com/regulations/fedreg/2018/04/10/2018-07244.html Tue, 10 Apr 2018 00:00:00 -0700 2018-07244 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-04-10/pdf/2018-07244.pdf Notice - Self-Regulatory Organizations; NYSE American LLC; Notice of Filing and Immediate Effectiveness of Proposed Change To Amend the NYSE Amex Options Fee Schedule With Respect to the Options Regulatory Fee https://regulations.justia.com/regulations/fedreg/2018/04/10/2018-07243.html https://regulations.justia.com/regulations/fedreg/2018/04/10/2018-07243.html Tue, 10 Apr 2018 00:00:00 -0700 2018-07243 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-04-10/pdf/2018-07243.pdf Notice - Self-Regulatory Organizations; Cboe Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to Market Data Fees https://regulations.justia.com/regulations/fedreg/2018/04/10/2018-07242.html https://regulations.justia.com/regulations/fedreg/2018/04/10/2018-07242.html Tue, 10 Apr 2018 00:00:00 -0700 2018-07242 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-04-10/pdf/2018-07242.pdf Notice - Self-Regulatory Organizations; Nasdaq MRX, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Chapter IV of the Exchange's Schedule of Fees https://regulations.justia.com/regulations/fedreg/2018/04/10/2018-07241.html https://regulations.justia.com/regulations/fedreg/2018/04/10/2018-07241.html Tue, 10 Apr 2018 00:00:00 -0700 2018-07241 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-04-10/pdf/2018-07241.pdf Notice - Self-Regulatory Organizations; Nasdaq ISE, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Chapter VI of the Exchange's Schedule of Fees https://regulations.justia.com/regulations/fedreg/2018/04/10/2018-07240.html https://regulations.justia.com/regulations/fedreg/2018/04/10/2018-07240.html Tue, 10 Apr 2018 00:00:00 -0700 2018-07240 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-04-10/pdf/2018-07240.pdf Notice - Self-Regulatory Organizations; Nasdaq GEMX, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Chapter IV of the Exchange's Schedule of Fees https://regulations.justia.com/regulations/fedreg/2018/04/10/2018-07239.html https://regulations.justia.com/regulations/fedreg/2018/04/10/2018-07239.html Tue, 10 Apr 2018 00:00:00 -0700 2018-07239 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-04-10/pdf/2018-07239.pdf Notice - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Fees Charged in Connection With the Filing of Supplemental Listing Applications in Connection With the Issuance of Convertible Securities https://regulations.justia.com/regulations/fedreg/2018/04/09/2018-07113.html https://regulations.justia.com/regulations/fedreg/2018/04/09/2018-07113.html Mon, 09 Apr 2018 00:00:00 -0700 2018-07113 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-04-09/pdf/2018-07113.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 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/2018/04/09/2018-07112.html https://regulations.justia.com/regulations/fedreg/2018/04/09/2018-07112.html Mon, 09 Apr 2018 00:00:00 -0700 2018-07112 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-04-09/pdf/2018-07112.pdf Notice - Self-Regulatory Organizations; The Options Clearing Corporation; Notice of Filing of Proposed Rule Change Related to The Options Clearing Corporation's Trade Acceptance and Novation Rules https://regulations.justia.com/regulations/fedreg/2018/04/09/2018-07111.html https://regulations.justia.com/regulations/fedreg/2018/04/09/2018-07111.html Mon, 09 Apr 2018 00:00:00 -0700 2018-07111 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-04-09/pdf/2018-07111.pdf Notice - Self-Regulatory Organizations; The Nasdaq Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Modify That the Validea Market Legends ETF Will Be Passively-Managed Rather Than Actively-Managed https://regulations.justia.com/regulations/fedreg/2018/04/06/2018-07018.html https://regulations.justia.com/regulations/fedreg/2018/04/06/2018-07018.html Fri, 06 Apr 2018 00:00:00 -0700 2018-07018 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-04-06/pdf/2018-07018.pdf Notice - Self-Regulatory Organizations; ICE Clear Europe Limited; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to Amendments to the Futures & Options Guaranty Fund Policy https://regulations.justia.com/regulations/fedreg/2018/04/06/2018-07011.html https://regulations.justia.com/regulations/fedreg/2018/04/06/2018-07011.html Fri, 06 Apr 2018 00:00:00 -0700 2018-07011 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-04-06/pdf/2018-07011.pdf Notice - Self-Regulatory Organizations; ICE Clear Europe Limited; Notice of Designation of Longer Period for Commission Action on Proposed Rule Change Relating to Amendments to the ICE Clear Europe CDS Clearing Stress Testing Policy https://regulations.justia.com/regulations/fedreg/2018/04/06/2018-07010.html https://regulations.justia.com/regulations/fedreg/2018/04/06/2018-07010.html Fri, 06 Apr 2018 00:00:00 -0700 2018-07010 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-04-06/pdf/2018-07010.pdf Notice - Sunshine Act Meetings https://regulations.justia.com/regulations/fedreg/2018/04/05/2018-07008.html https://regulations.justia.com/regulations/fedreg/2018/04/05/2018-07008.html Thu, 05 Apr 2018 00:00:00 -0700 2018-07008 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-04-05/pdf/2018-07008.pdf Notice - Self-Regulatory Organizations; The Nasdaq Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Modify the Disclosure Services Offered To Certain New Listings https://regulations.justia.com/regulations/fedreg/2018/04/05/2018-06917.html https://regulations.justia.com/regulations/fedreg/2018/04/05/2018-06917.html Thu, 05 Apr 2018 00:00:00 -0700 2018-06917 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-04-05/pdf/2018-06917.pdf Notice - Self-Regulatory Organizations; Nasdaq PHLX LLC; Notice of Filing of Proposed Rule Change To Create a New Rule 1081, To Amend Electronic Market Maker Obligations and Quoting Requirements for Electronic ROTs, Which Will Be Defined To Include SQTs, RSQTs, Directed SQTs, Directed RSQTs, Specialists, and Remote Specialists https://regulations.justia.com/regulations/fedreg/2018/04/05/2018-06916.html https://regulations.justia.com/regulations/fedreg/2018/04/05/2018-06916.html Thu, 05 Apr 2018 00:00:00 -0700 2018-06916 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-04-05/pdf/2018-06916.pdf Notice - Self-Regulatory Organizations; Cboe Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Amending Rules Regarding Market-Maker Quoting Obligations https://regulations.justia.com/regulations/fedreg/2018/04/05/2018-06915.html https://regulations.justia.com/regulations/fedreg/2018/04/05/2018-06915.html Thu, 05 Apr 2018 00:00:00 -0700 2018-06915 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-04-05/pdf/2018-06915.pdf Notice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing of Amendment No. 3 and Order Granting Accelerated Approval of a Proposed Rule Change, as Modified by Amendment No. 3, 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/2018/04/05/2018-06914.html https://regulations.justia.com/regulations/fedreg/2018/04/05/2018-06914.html Thu, 05 Apr 2018 00:00:00 -0700 2018-06914 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-04-05/pdf/2018-06914.pdf Notice - Self-Regulatory Organizations; The Nasdaq Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Clarify the Requirements for Delivery of a Contrary Exercise Advice https://regulations.justia.com/regulations/fedreg/2018/04/05/2018-06912.html https://regulations.justia.com/regulations/fedreg/2018/04/05/2018-06912.html Thu, 05 Apr 2018 00:00:00 -0700 2018-06912 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-04-05/pdf/2018-06912.pdf Notice - Self-Regulatory Organizations; Nasdaq PHLX LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the Exchange's Provisions for Excluding a Day From Its Volume Calculations for Purposes of Determining Volume Based Pricing https://regulations.justia.com/regulations/fedreg/2018/04/05/2018-06911.html https://regulations.justia.com/regulations/fedreg/2018/04/05/2018-06911.html Thu, 05 Apr 2018 00:00:00 -0700 2018-06911 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-04-05/pdf/2018-06911.pdf Notice - Notice of Applications for Deregistration Under Section 8(f) of the Investment Company Act of 1940 https://regulations.justia.com/regulations/fedreg/2018/04/05/2018-06910.html https://regulations.justia.com/regulations/fedreg/2018/04/05/2018-06910.html Thu, 05 Apr 2018 00:00:00 -0700 2018-06910 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-04-05/pdf/2018-06910.pdf Notice - Submission for OMB Review; Comment Request https://regulations.justia.com/regulations/fedreg/2018/04/04/2018-06855.html https://regulations.justia.com/regulations/fedreg/2018/04/04/2018-06855.html Wed, 04 Apr 2018 00:00:00 -0700 2018-06855 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-04-04/pdf/2018-06855.pdf Notice - Submission for OMB Review; Comment Request https://regulations.justia.com/regulations/fedreg/2018/04/04/2018-06854.html https://regulations.justia.com/regulations/fedreg/2018/04/04/2018-06854.html Wed, 04 Apr 2018 00:00:00 -0700 2018-06854 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-04-04/pdf/2018-06854.pdf Notice - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Its Price List https://regulations.justia.com/regulations/fedreg/2018/04/04/2018-06775.html https://regulations.justia.com/regulations/fedreg/2018/04/04/2018-06775.html Wed, 04 Apr 2018 00:00:00 -0700 2018-06775 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-04-04/pdf/2018-06775.pdf Notice - Self-Regulatory Organizations; The Nasdaq Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Exchange Rule 7034 https://regulations.justia.com/regulations/fedreg/2018/04/04/2018-06774.html https://regulations.justia.com/regulations/fedreg/2018/04/04/2018-06774.html Wed, 04 Apr 2018 00:00:00 -0700 2018-06774 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-04-04/pdf/2018-06774.pdf Notice - Self-Regulatory Organizations; Nasdaq ISE, LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Extend the Delay for Re-Introduction of Legging Functionality for Stock-Option Orders on INET by an Additional Year https://regulations.justia.com/regulations/fedreg/2018/04/03/2018-06692.html https://regulations.justia.com/regulations/fedreg/2018/04/03/2018-06692.html Tue, 03 Apr 2018 00:00:00 -0700 2018-06692 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-04-03/pdf/2018-06692.pdf Notice - Self-Regulatory Organizations; ICE Clear Credit LLC; Order Approving Proposed Rule Change Relating to ICC's End-of-Day Price Discovery Policies and Procedures https://regulations.justia.com/regulations/fedreg/2018/04/03/2018-06691.html https://regulations.justia.com/regulations/fedreg/2018/04/03/2018-06691.html Tue, 03 Apr 2018 00:00:00 -0700 2018-06691 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-04-03/pdf/2018-06691.pdf Notice - Self-Regulatory Organizations; BOX Options Exchange LLC; Order Approving a Proposed Rule Change To Adopt IM-8040-3 To Exchange Rule 8040 to Permit Directed Orders To Be Submitted With an Auction Only Designation https://regulations.justia.com/regulations/fedreg/2018/04/03/2018-06690.html https://regulations.justia.com/regulations/fedreg/2018/04/03/2018-06690.html Tue, 03 Apr 2018 00:00:00 -0700 2018-06690 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-04-03/pdf/2018-06690.pdf Notice - Aquila Funds Trust, et al. https://regulations.justia.com/regulations/fedreg/2018/04/03/2018-06661.html https://regulations.justia.com/regulations/fedreg/2018/04/03/2018-06661.html Tue, 03 Apr 2018 00:00:00 -0700 2018-06661 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-04-03/pdf/2018-06661.pdf Notice - Sunshine Act Meetings https://regulations.justia.com/regulations/fedreg/2018/04/02/2018-06695.html https://regulations.justia.com/regulations/fedreg/2018/04/02/2018-06695.html Mon, 02 Apr 2018 00:00:00 -0700 2018-06695 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-04-02/pdf/2018-06695.pdf Notice - Submission for OMB Review; Comment Request https://regulations.justia.com/regulations/fedreg/2018/04/02/2018-06658.html https://regulations.justia.com/regulations/fedreg/2018/04/02/2018-06658.html Mon, 02 Apr 2018 00:00:00 -0700 2018-06658 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-04-02/pdf/2018-06658.pdf Notice - Self-Regulatory Organizations; Cboe C2 Exchange, Inc.; Notice of Filing and Order Granting Accelerated Approval of a Proposed Rule Change Concerning an Affiliation Between the Exchange and Cboe Trading and To Adopt Rules To Permit Inbound Routing by Cboe Trading https://regulations.justia.com/regulations/fedreg/2018/04/02/2018-06570.html https://regulations.justia.com/regulations/fedreg/2018/04/02/2018-06570.html Mon, 02 Apr 2018 00:00:00 -0700 2018-06570 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-04-02/pdf/2018-06570.pdf Notice - Self-Regulatory Organizations; Cboe Exchange, Inc.; Order Approving a Proposed Rule Change To Amend Rules Related to the Complex Order Book https://regulations.justia.com/regulations/fedreg/2018/04/02/2018-06569.html https://regulations.justia.com/regulations/fedreg/2018/04/02/2018-06569.html Mon, 02 Apr 2018 00:00:00 -0700 2018-06569 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-04-02/pdf/2018-06569.pdf Notice - Self-Regulatory Organizations; Investors Exchange LLC; Notice of Filing of Proposed Rule Change To Establish a New Optional Listing Category on the Exchange, “LTSE Listings on IEX” https://regulations.justia.com/regulations/fedreg/2018/04/02/2018-06568.html https://regulations.justia.com/regulations/fedreg/2018/04/02/2018-06568.html Mon, 02 Apr 2018 00:00:00 -0700 2018-06568 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-04-02/pdf/2018-06568.pdf Notice - Aberdeen Asset Management Inc., et al. https://regulations.justia.com/regulations/fedreg/2018/04/02/2018-06567.html https://regulations.justia.com/regulations/fedreg/2018/04/02/2018-06567.html Mon, 02 Apr 2018 00:00:00 -0700 2018-06567 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-04-02/pdf/2018-06567.pdf