<![CDATA[Federal Register Recent Federal Regulation Documents - Justia Regulation Tracker - Justia Regulations Tracker]]> https://regulations.justia.com/regulations/fedreg/agencies/securities-and-exchange-commission/2018/05/07?registers=between Wed, 18 Dec 2024 06:59:55 -0800 Wed, 18 Dec 2024 06:59:55 -0800 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/2018/05/07?registers=between Notice - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing of a Proposed Rule Change To Amend FINRA Rule 6433 To Adopt the OTC Quotation Tier Pilot as Permanent https://regulations.justia.com/regulations/fedreg/2018/05/07/2018-09612.html https://regulations.justia.com/regulations/fedreg/2018/05/07/2018-09612.html Mon, 07 May 2018 00:00:00 -0700 2018-09612 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-05-07/pdf/2018-09612.pdf Notice - Joint Industry Plan; Order of Summary Abrogation 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 https://regulations.justia.com/regulations/fedreg/2018/05/07/2018-09580.html https://regulations.justia.com/regulations/fedreg/2018/05/07/2018-09580.html Mon, 07 May 2018 00:00:00 -0700 2018-09580 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-05-07/pdf/2018-09580.pdf Notice - Consolidated Tape Association; Order of Summary Abrogation of the Twenty-Third Charges Amendment to the Second Restatement of the CTA Plan and the Fourteenth Charges Amendment to the Restated CQ Plan https://regulations.justia.com/regulations/fedreg/2018/05/07/2018-09579.html https://regulations.justia.com/regulations/fedreg/2018/05/07/2018-09579.html Mon, 07 May 2018 00:00:00 -0700 2018-09579 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-05-07/pdf/2018-09579.pdf Notice - Self-Regulatory Organizations; Investors Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Modify its Fee Schedule To Charge a More Deterministic Fee of $0.0003 Per Share for Executions at or Above $1.00 That Result From Removing Liquidity With an Order That is Executable at the Far Side of the NBBO https://regulations.justia.com/regulations/fedreg/2018/05/07/2018-09577.html https://regulations.justia.com/regulations/fedreg/2018/05/07/2018-09577.html Mon, 07 May 2018 00:00:00 -0700 2018-09577 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-05-07/pdf/2018-09577.pdf Notice - Self-Regulatory Organizations; Cboe BZX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Allow the Horizons Cadence Hedged U.S. Dividend Yield ETF, a Series of the Horizons ETF Trust I, To Hold Listed Options Contracts in a Manner That Does Not Comply With Rule 14.11(i), Managed Fund Shares https://regulations.justia.com/regulations/fedreg/2018/05/07/2018-09576.html https://regulations.justia.com/regulations/fedreg/2018/05/07/2018-09576.html Mon, 07 May 2018 00:00:00 -0700 2018-09576 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-05-07/pdf/2018-09576.pdf Notice - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Make a Non-Substantive, Clarifying Change To Footnote 10 of Its Price List https://regulations.justia.com/regulations/fedreg/2018/05/07/2018-09575.html https://regulations.justia.com/regulations/fedreg/2018/05/07/2018-09575.html Mon, 07 May 2018 00:00:00 -0700 2018-09575 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-05-07/pdf/2018-09575.pdf Notice - Self-Regulatory Organizations; Nasdaq ISE, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Add Pricing for P.M. Settled Options on Broad-Based Indexes With Nonstandard Expiration Dates https://regulations.justia.com/regulations/fedreg/2018/05/07/2018-09574.html https://regulations.justia.com/regulations/fedreg/2018/05/07/2018-09574.html Mon, 07 May 2018 00:00:00 -0700 2018-09574 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-05-07/pdf/2018-09574.pdf Notice - Self-Regulatory Organizations; Chicago Stock Exchange, Inc.; Notice of Designation of a Longer Period on Commission Action on a Proposed Rule Change To Adopt the Route QCT Cross Routing Option https://regulations.justia.com/regulations/fedreg/2018/05/07/2018-09573.html https://regulations.justia.com/regulations/fedreg/2018/05/07/2018-09573.html Mon, 07 May 2018 00:00:00 -0700 2018-09573 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-05-07/pdf/2018-09573.pdf Notice - Self-Regulatory Organizations; The Nasdaq Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change to List and Trade Exchange-Traded Managed Fund Shares of the Gabelli Pet Parent Fund Under Nasdaq Rule 5745 https://regulations.justia.com/regulations/fedreg/2018/05/07/2018-09572.html https://regulations.justia.com/regulations/fedreg/2018/05/07/2018-09572.html Mon, 07 May 2018 00:00:00 -0700 2018-09572 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-05-07/pdf/2018-09572.pdf Notice - Self-Regulatory Organizations; Nasdaq PHLX LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Adopt a New Market Order Spread Protection https://regulations.justia.com/regulations/fedreg/2018/05/07/2018-09571.html https://regulations.justia.com/regulations/fedreg/2018/05/07/2018-09571.html Mon, 07 May 2018 00:00:00 -0700 2018-09571 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-05-07/pdf/2018-09571.pdf