<![CDATA[Federal Register Recent Federal Regulation Documents - Justia Regulation Tracker - Justia Regulations Tracker]]> https://regulations.justia.com/regulations/fedreg/agencies/securities-and-exchange-commission/2018/05/08?registers=between Fri, 17 May 2024 21:02:50 -0700 Fri, 17 May 2024 21:02:50 -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/2018/05/08?registers=between Notice - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the Certificate of Incorporation of Its Parent Company NYSE Group, Inc. https://regulations.justia.com/regulations/fedreg/2018/05/08/2018-09807.html https://regulations.justia.com/regulations/fedreg/2018/05/08/2018-09807.html Tue, 08 May 2018 00:00:00 -0700 2018-09807 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-05-08/pdf/2018-09807.pdf Notice - Self-Regulatory Organizations; NYSE National, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the Certificate of Incorporation of Its Parent Company NYSE Group, Inc. https://regulations.justia.com/regulations/fedreg/2018/05/08/2018-09765.html https://regulations.justia.com/regulations/fedreg/2018/05/08/2018-09765.html Tue, 08 May 2018 00:00:00 -0700 2018-09765 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-05-08/pdf/2018-09765.pdf Notice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the Certificate of Incorporation of Its Parent Company NYSE Group, Inc. https://regulations.justia.com/regulations/fedreg/2018/05/08/2018-09764.html https://regulations.justia.com/regulations/fedreg/2018/05/08/2018-09764.html Tue, 08 May 2018 00:00:00 -0700 2018-09764 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-05-08/pdf/2018-09764.pdf Notice - Self-Regulatory Organizations; NYSE American LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the Certificate of Incorporation of Its Parent Company NYSE Group, Inc. https://regulations.justia.com/regulations/fedreg/2018/05/08/2018-09763.html https://regulations.justia.com/regulations/fedreg/2018/05/08/2018-09763.html Tue, 08 May 2018 00:00:00 -0700 2018-09763 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-05-08/pdf/2018-09763.pdf Proposed Rule - Auditor Independence With Respect to Certain Loans or Debtor-Creditor Relationships https://regulations.justia.com/regulations/fedreg/2018/05/08/2018-09721.html https://regulations.justia.com/regulations/fedreg/2018/05/08/2018-09721.html Tue, 08 May 2018 00:00:00 -0700 2018-09721 Proposed Rule https://www.gpo.gov/fdsys/pkg/FR-2018-05-08/pdf/2018-09721.pdf Notice - Self-Regulatory Organizations; Nasdaq ISE, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend ISE Rules 412, Position Limits, and 414, Exercise Limits https://regulations.justia.com/regulations/fedreg/2018/05/08/2018-09696.html https://regulations.justia.com/regulations/fedreg/2018/05/08/2018-09696.html Tue, 08 May 2018 00:00:00 -0700 2018-09696 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-05-08/pdf/2018-09696.pdf Notice - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Extend the Implementation Date of Certain Amendments to FINRA Rule 4210 Approved Pursuant to SR-FINRA-2015-036 https://regulations.justia.com/regulations/fedreg/2018/05/08/2018-09695.html https://regulations.justia.com/regulations/fedreg/2018/05/08/2018-09695.html Tue, 08 May 2018 00:00:00 -0700 2018-09695 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-05-08/pdf/2018-09695.pdf Notice - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to FINRA Rule 3310 to Conform FINRA Rule 3310 to FinCEN's Final Rule on Customer Due Diligence Requirements for Financial Institutions https://regulations.justia.com/regulations/fedreg/2018/05/08/2018-09694.html https://regulations.justia.com/regulations/fedreg/2018/05/08/2018-09694.html Tue, 08 May 2018 00:00:00 -0700 2018-09694 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-05-08/pdf/2018-09694.pdf Notice - Self-Regulatory Organizations; Fixed Income Clearing Corporation; Notice of Filing of Proposed Rule Change To Amend the Fee Structure of the Government Securities Division Rulebook https://regulations.justia.com/regulations/fedreg/2018/05/08/2018-09693.html https://regulations.justia.com/regulations/fedreg/2018/05/08/2018-09693.html Tue, 08 May 2018 00:00:00 -0700 2018-09693 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-05-08/pdf/2018-09693.pdf Notice - Self-Regulatory Organizations; Cboe BZX Exchange, Inc.; Notice of Filing of a Proposed Rule Change To List and Trade Shares of the Principal Morley Short Duration Index ETF Under Rule 14.11(c)(4) https://regulations.justia.com/regulations/fedreg/2018/05/08/2018-09692.html https://regulations.justia.com/regulations/fedreg/2018/05/08/2018-09692.html Tue, 08 May 2018 00:00:00 -0700 2018-09692 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-05-08/pdf/2018-09692.pdf Notice - Proposed Collection; Comment Request https://regulations.justia.com/regulations/fedreg/2018/05/08/2018-09691.html https://regulations.justia.com/regulations/fedreg/2018/05/08/2018-09691.html Tue, 08 May 2018 00:00:00 -0700 2018-09691 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-05-08/pdf/2018-09691.pdf Notice - Proposed Collection; Comment Request https://regulations.justia.com/regulations/fedreg/2018/05/08/2018-09690.html https://regulations.justia.com/regulations/fedreg/2018/05/08/2018-09690.html Tue, 08 May 2018 00:00:00 -0700 2018-09690 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-05-08/pdf/2018-09690.pdf