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?limit=200&registers=between&mode=atom 2024-12-18T07:09:49-08:00 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/2018/05/08/2018-09807.html 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. 2018-05-08T00:00:00-07:00 2018-05-08T00:00:00-07:00 2018-09807 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-05-08/pdf/2018-09807.pdf https://regulations.justia.com/regulations/fedreg/2018/05/08/2018-09765.html 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. 2018-05-08T00:00:00-07:00 2018-05-08T00:00:00-07:00 2018-09765 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-05-08/pdf/2018-09765.pdf https://regulations.justia.com/regulations/fedreg/2018/05/08/2018-09764.html 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. 2018-05-08T00:00:00-07:00 2018-05-08T00:00:00-07:00 2018-09764 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-05-08/pdf/2018-09764.pdf https://regulations.justia.com/regulations/fedreg/2018/05/08/2018-09763.html 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. 2018-05-08T00:00:00-07:00 2018-05-08T00:00:00-07:00 2018-09763 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-05-08/pdf/2018-09763.pdf https://regulations.justia.com/regulations/fedreg/2018/05/08/2018-09721.html Proposed Rule - Auditor Independence With Respect to Certain Loans or Debtor-Creditor Relationships 2018-05-08T00:00:00-07:00 2018-05-08T00:00:00-07:00 2018-09721 Proposed Rule https://www.gpo.gov/fdsys/pkg/FR-2018-05-08/pdf/2018-09721.pdf https://regulations.justia.com/regulations/fedreg/2018/05/08/2018-09696.html 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 2018-05-08T00:00:00-07:00 2018-05-08T00:00:00-07:00 2018-09696 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-05-08/pdf/2018-09696.pdf https://regulations.justia.com/regulations/fedreg/2018/05/08/2018-09695.html 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 2018-05-08T00:00:00-07:00 2018-05-08T00:00:00-07:00 2018-09695 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-05-08/pdf/2018-09695.pdf https://regulations.justia.com/regulations/fedreg/2018/05/08/2018-09694.html 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 2018-05-08T00:00:00-07:00 2018-05-08T00:00:00-07:00 2018-09694 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-05-08/pdf/2018-09694.pdf https://regulations.justia.com/regulations/fedreg/2018/05/08/2018-09693.html 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 2018-05-08T00:00:00-07:00 2018-05-08T00:00:00-07:00 2018-09693 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-05-08/pdf/2018-09693.pdf https://regulations.justia.com/regulations/fedreg/2018/05/08/2018-09692.html 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) 2018-05-08T00:00:00-07:00 2018-05-08T00:00:00-07:00 2018-09692 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-05-08/pdf/2018-09692.pdf https://regulations.justia.com/regulations/fedreg/2018/05/08/2018-09691.html Notice - Proposed Collection; Comment Request 2018-05-08T00:00:00-07:00 2018-05-08T00:00:00-07:00 2018-09691 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-05-08/pdf/2018-09691.pdf https://regulations.justia.com/regulations/fedreg/2018/05/08/2018-09690.html Notice - Proposed Collection; Comment Request 2018-05-08T00:00:00-07:00 2018-05-08T00:00:00-07:00 2018-09690 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-05-08/pdf/2018-09690.pdf