Federal Register Recent Federal Regulation Documents - Justia Regulation Tracker - Justia Regulations Tracker https://regulations.justia.com/regulations/fedreg/agencies/securities-and-exchange-commission/2018/05/23?limit=200&registers=between&mode=atom 2024-12-18T07:04:14-08:00 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/2018/05/23/C1-2018-08583.html Proposed Rule - Form CRS Relationship Summary; Amendments to Form ADV; Required Disclosures in Retail Communications and Restrictions on the Use of Certain Names or Titles 2018-05-23T00:00:00-07:00 2018-05-23T00:00:00-07:00 C1-2018-08583 Proposed Rule https://www.gpo.gov/fdsys/pkg/FR-2018-05-23/pdf/C1-2018-08583.pdf https://regulations.justia.com/regulations/fedreg/2018/05/23/2018-10986.html Notice - Self-Regulatory Organizations; NYSE National, Inc.; Notice of Filing of Amendment No. 1 and Order Granting Accelerated Approval of a Proposed Rule Change, as Amended by Amendment No. 1, To Support the Re-Launch of NYSE National, Inc. on the Pillar Trading Platform 2018-05-23T00:00:00-07:00 2018-05-23T00:00:00-07:00 2018-10986 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-05-23/pdf/2018-10986.pdf https://regulations.justia.com/regulations/fedreg/2018/05/23/2018-10980.html Notice - Self-Regulatory Organizations; Nasdaq MRX, 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 Introduce the ATR Protection for Orders That Are Routed to Away Markets 2018-05-23T00:00:00-07:00 2018-05-23T00:00:00-07:00 2018-10980 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-05-23/pdf/2018-10980.pdf https://regulations.justia.com/regulations/fedreg/2018/05/23/2018-10979.html Notice - Self-Regulatory Organizations; Nasdaq GEMX, 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 Introduce the ATR Protection for Orders That Are Routed to Away Markets 2018-05-23T00:00:00-07:00 2018-05-23T00:00:00-07:00 2018-10979 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-05-23/pdf/2018-10979.pdf https://regulations.justia.com/regulations/fedreg/2018/05/23/2018-10978.html Notice - Self-Regulatory Organizations; Nasdaq ISE, 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 Introduce the ATR Protection for Orders That Are Routed to Away Markets 2018-05-23T00:00:00-07:00 2018-05-23T00:00:00-07:00 2018-10978 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-05-23/pdf/2018-10978.pdf https://regulations.justia.com/regulations/fedreg/2018/05/23/2018-10977.html Notice - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Order Granting Approval of a Proposed Rule Change Relating to Simplified Arbitration 2018-05-23T00:00:00-07:00 2018-05-23T00:00:00-07:00 2018-10977 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-05-23/pdf/2018-10977.pdf https://regulations.justia.com/regulations/fedreg/2018/05/23/2018-10976.html Notice - Self-Regulatory Organizations: Investors Exchange LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Rule 11.410(a) To Update the Market Data Source That the Exchange Will Use To Determine the Top of Book Quotation for NYSE National in Anticipation of Its Planned Re-Launch 2018-05-23T00:00:00-07:00 2018-05-23T00:00:00-07:00 2018-10976 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-05-23/pdf/2018-10976.pdf https://regulations.justia.com/regulations/fedreg/2018/05/23/2018-10975.html Notice - Self-Regulatory Organizations; Nasdaq MRX, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Supplementary Material .03 to Rule 804 To Enhance Anti-Internalization Functionality 2018-05-23T00:00:00-07:00 2018-05-23T00:00:00-07:00 2018-10975 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-05-23/pdf/2018-10975.pdf https://regulations.justia.com/regulations/fedreg/2018/05/23/2018-10974.html Notice - Self-Regulatory Organizations; NYSE American LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Rule 7.4E To Reflect the Standard Settlement Cycle of Two Business Days After the Trade Date 2018-05-23T00:00:00-07:00 2018-05-23T00:00:00-07:00 2018-10974 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-05-23/pdf/2018-10974.pdf https://regulations.justia.com/regulations/fedreg/2018/05/23/2018-10973.html Notice - Self-Regulatory Organizations; The Nasdaq Stock Market LLC; Notice of Filing of Proposed Rule Change To Amend Rule 4702(b)(14) To Establish a Price Improvement Only Variation on the Midpoint Extended Life Order 2018-05-23T00:00:00-07:00 2018-05-23T00:00:00-07:00 2018-10973 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-05-23/pdf/2018-10973.pdf https://regulations.justia.com/regulations/fedreg/2018/05/23/2018-10972.html Notice - Self-Regulatory Organizations; Cboe BZX Exchange, Inc.; 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 Thereto, To List and Trade Shares of the Innovator S&P 500 Buffer ETF Series, Innovator S&P 500 Power Buffer ETF Series, Innovator S&P 500 Enhance and Buffer ETF Series, and Innovator S&P 500 Ultra ETF Series Under Rule 14.11(i) 2018-05-23T00:00:00-07:00 2018-05-23T00:00:00-07:00 2018-10972 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-05-23/pdf/2018-10972.pdf https://regulations.justia.com/regulations/fedreg/2018/05/23/2018-10971.html Notice - Self-Regulatory Organizations; Nasdaq GEMX, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Supplementary Material .03 to Rule 804 To Enhance Anti-Internalization Functionality 2018-05-23T00:00:00-07:00 2018-05-23T00:00:00-07:00 2018-10971 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-05-23/pdf/2018-10971.pdf https://regulations.justia.com/regulations/fedreg/2018/05/23/2018-10970.html Notice - Self-Regulatory Organizations; Nasdaq ISE, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Supplementary Material .03 to Rule 804 To Enhance Anti-Internalization Functionality 2018-05-23T00:00:00-07:00 2018-05-23T00:00:00-07:00 2018-10970 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-05-23/pdf/2018-10970.pdf https://regulations.justia.com/regulations/fedreg/2018/05/23/2018-10969.html 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 2018-05-23T00:00:00-07:00 2018-05-23T00:00:00-07:00 2018-10969 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-05-23/pdf/2018-10969.pdf