Federal Register Recent Federal Regulation Documents - Justia Regulation Tracker - Justia Regulations Trackerhttps://regulations.justia.com/regulations/fedreg/agencies/securities-and-exchange-commission/2018/05?limit=200®isters=between&min-day=1&max-day=31&mode=atom2024-05-02T03:16:43-07:00Justia Inchttps://www.justia.com/Justia Regulations Trackerhttps://regulations.justia.com/images/justiafedregulations.gifCopyright 2011 Justia Inchttps://regulations.justia.com/regulations/fedreg/2018/05/31/2018-11729.htmlNotice - Notice of Applications for Deregistration Under Section 8(f) of the Investment Company Act of 19402018-05-31T00:00:00-07:002018-05-31T00:00:00-07:002018-11729Noticehttps://www.gpo.gov/fdsys/pkg/FR-2018-05-31/pdf/2018-11729.pdfhttps://regulations.justia.com/regulations/fedreg/2018/05/31/2018-11728.htmlNotice - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to District Committee Structure and Governance2018-05-31T00:00:00-07:002018-05-31T00:00:00-07:002018-11728Noticehttps://www.gpo.gov/fdsys/pkg/FR-2018-05-31/pdf/2018-11728.pdfhttps://regulations.justia.com/regulations/fedreg/2018/05/31/2018-11615.htmlNotice - Self-Regulatory Organizations; The Options Clearing Corporation; Order Approving Proposed Rule Change Related to The Options Clearing Corporation's Margin Methodology2018-05-31T00:00:00-07:002018-05-31T00:00:00-07:002018-11615Noticehttps://www.gpo.gov/fdsys/pkg/FR-2018-05-31/pdf/2018-11615.pdfhttps://regulations.justia.com/regulations/fedreg/2018/05/31/2018-11614.htmlNotice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend NYSE Arca Rule 5.3-E To Exclude Certain Categories of Issuers From the Exchange's Annual Meeting Requirement2018-05-31T00:00:00-07:002018-05-31T00:00:00-07:002018-11614Noticehttps://www.gpo.gov/fdsys/pkg/FR-2018-05-31/pdf/2018-11614.pdfhttps://regulations.justia.com/regulations/fedreg/2018/05/31/2018-11613.htmlNotice - Self-Regulatory Organizations; Nasdaq ISE, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Memorialize Its Order and Execution Information Into ISE Rule 718, Entitled “Data Feeds”2018-05-31T00:00:00-07:002018-05-31T00:00:00-07:002018-11613Noticehttps://www.gpo.gov/fdsys/pkg/FR-2018-05-31/pdf/2018-11613.pdfhttps://regulations.justia.com/regulations/fedreg/2018/05/31/2018-11612.htmlNotice - Self-Regulatory Organizations; Nasdaq PHLX LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Related to Risk Protections2018-05-31T00:00:00-07:002018-05-31T00:00:00-07:002018-11612Noticehttps://www.gpo.gov/fdsys/pkg/FR-2018-05-31/pdf/2018-11612.pdfhttps://regulations.justia.com/regulations/fedreg/2018/05/31/2018-11611.htmlNotice - Self-Regulatory Organizations; The Options Clearing Corporation; Notice of Filing of Amendment No. 1 and Order Approving Proposed Rule Change, as Modified by Amendment No. 1, Related to The Options Clearing Corporation's Trade Acceptance and Novation Rules2018-05-31T00:00:00-07:002018-05-31T00:00:00-07:002018-11611Noticehttps://www.gpo.gov/fdsys/pkg/FR-2018-05-31/pdf/2018-11611.pdfhttps://regulations.justia.com/regulations/fedreg/2018/05/31/2018-11610.htmlNotice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to the Peritus High Yield ETF2018-05-31T00:00:00-07:002018-05-31T00:00:00-07:002018-11610Noticehttps://www.gpo.gov/fdsys/pkg/FR-2018-05-31/pdf/2018-11610.pdfhttps://regulations.justia.com/regulations/fedreg/2018/05/31/2018-11609.htmlNotice - Self-Regulatory Organizations; NYSE Arca, Inc.; Order Approving a Proposed Rule Change, As Modified by Amendment No. 1 Thereto, To Continue Listing and Trading Shares of the PGIM Ultra Short Bond ETF Under NYSE Arca Rule 8.600-E2018-05-31T00:00:00-07:002018-05-31T00:00:00-07:002018-11609Noticehttps://www.gpo.gov/fdsys/pkg/FR-2018-05-31/pdf/2018-11609.pdfhttps://regulations.justia.com/regulations/fedreg/2018/05/31/2018-11608.htmlNotice - Self-Regulatory Organizations; BOX Options Exchange LLC; Notice of Filing of Proposed Rule Change To Adopt IM-7130-1 to Rule 71302018-05-31T00:00:00-07:002018-05-31T00:00:00-07:002018-11608Noticehttps://www.gpo.gov/fdsys/pkg/FR-2018-05-31/pdf/2018-11608.pdfhttps://regulations.justia.com/regulations/fedreg/2018/05/31/2018-11607.htmlNotice - Self-Regulatory Organizations; BOX Options Exchange LLC; Notice of Filing of Proposed Rule Change To Amend Rules 7150 and 72452018-05-31T00:00:00-07:002018-05-31T00:00:00-07:002018-11607Noticehttps://www.gpo.gov/fdsys/pkg/FR-2018-05-31/pdf/2018-11607.pdfhttps://regulations.justia.com/regulations/fedreg/2018/05/31/2018-11595.htmlNotice - Submission for OMB Review; Comment Request2018-05-31T00:00:00-07:002018-05-31T00:00:00-07:002018-11595Noticehttps://www.gpo.gov/fdsys/pkg/FR-2018-05-31/pdf/2018-11595.pdfhttps://regulations.justia.com/regulations/fedreg/2018/05/31/2018-11594.htmlNotice - Pioneer ILS Interval Fund and Amundi Pioneer Asset Management, Inc.; Notice of Application2018-05-31T00:00:00-07:002018-05-31T00:00:00-07:002018-11594Noticehttps://www.gpo.gov/fdsys/pkg/FR-2018-05-31/pdf/2018-11594.pdfhttps://regulations.justia.com/regulations/fedreg/2018/05/31/2018-11593.htmlNotice - Proposed Collection; Comment Request2018-05-31T00:00:00-07:002018-05-31T00:00:00-07:002018-11593Noticehttps://www.gpo.gov/fdsys/pkg/FR-2018-05-31/pdf/2018-11593.pdfhttps://regulations.justia.com/regulations/fedreg/2018/05/30/2018-11630.htmlNotice - Sunshine Act Meetings2018-05-30T00:00:00-07:002018-05-30T00:00:00-07:002018-11630Noticehttps://www.gpo.gov/fdsys/pkg/FR-2018-05-30/pdf/2018-11630.pdfhttps://regulations.justia.com/regulations/fedreg/2018/05/30/2018-11501.htmlNotice - Self-Regulatory Organizations; ICE Clear Europe Limited; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to Amendments to the Clearing Rules To Implement the European Union General Data Protection Regulation2018-05-30T00:00:00-07:002018-05-30T00:00:00-07:002018-11501Noticehttps://www.gpo.gov/fdsys/pkg/FR-2018-05-30/pdf/2018-11501.pdfhttps://regulations.justia.com/regulations/fedreg/2018/05/30/2018-11500.htmlNotice - 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 SAIL Port Fees2018-05-30T00:00:00-07:002018-05-30T00:00:00-07:002018-11500Noticehttps://www.gpo.gov/fdsys/pkg/FR-2018-05-30/pdf/2018-11500.pdfhttps://regulations.justia.com/regulations/fedreg/2018/05/30/2018-11496.htmlNotice - Investor Advisory Committee Meeting2018-05-30T00:00:00-07:002018-05-30T00:00:00-07:002018-11496Noticehttps://www.gpo.gov/fdsys/pkg/FR-2018-05-30/pdf/2018-11496.pdfhttps://regulations.justia.com/regulations/fedreg/2018/05/29/2018-11499.htmlNotice - 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 Drop Copy Port Fees2018-05-29T00:00:00-07:002018-05-29T00:00:00-07:002018-11499Noticehttps://www.gpo.gov/fdsys/pkg/FR-2018-05-29/pdf/2018-11499.pdfhttps://regulations.justia.com/regulations/fedreg/2018/05/29/2018-11456.htmlNotice - Self-Regulatory Organizations; Nasdaq ISE, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the Schedule of Fees Related to Complex Orders2018-05-29T00:00:00-07:002018-05-29T00:00:00-07:002018-11456Noticehttps://www.gpo.gov/fdsys/pkg/FR-2018-05-29/pdf/2018-11456.pdfhttps://regulations.justia.com/regulations/fedreg/2018/05/29/2018-11454.htmlNotice - Self-Regulatory Organizations; The Options Clearing Corporation; Notice of No Objection To Advance Notice Filing Concerning The Options Clearing Corporation's Margin Methodology2018-05-29T00:00:00-07:002018-05-29T00:00:00-07:002018-11454Noticehttps://www.gpo.gov/fdsys/pkg/FR-2018-05-29/pdf/2018-11454.pdfhttps://regulations.justia.com/regulations/fedreg/2018/05/29/2018-11395.htmlNotice - Self-Regulatory Organizations; Chicago Stock Exchange, Inc.; Notice of Filing of Proposed Rule Change, as Modified by Amendment No. 1 Thereto, in Connection With a Proposed Transaction Involving CHX Holdings, Inc. and the Intercontinental Exchange, Inc.2018-05-29T00:00:00-07:002018-05-29T00:00:00-07:002018-11395Noticehttps://www.gpo.gov/fdsys/pkg/FR-2018-05-29/pdf/2018-11395.pdfhttps://regulations.justia.com/regulations/fedreg/2018/05/29/2018-11365.htmlNotice - DMS ETF Trust I, et al.2018-05-29T00:00:00-07:002018-05-29T00:00:00-07:002018-11365Noticehttps://www.gpo.gov/fdsys/pkg/FR-2018-05-29/pdf/2018-11365.pdfhttps://regulations.justia.com/regulations/fedreg/2018/05/29/2018-11356.htmlNotice - Self-Regulatory Organizations; Cboe BZX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to the Listing and Trading of the iShares Gold Strategy ETF, a Series of the iShares U.S. ETF Trust2018-05-29T00:00:00-07:002018-05-29T00:00:00-07:002018-11356Noticehttps://www.gpo.gov/fdsys/pkg/FR-2018-05-29/pdf/2018-11356.pdfhttps://regulations.justia.com/regulations/fedreg/2018/05/25/2018-11296.htmlNotice - Weiss Strategic Interval Fund and Weiss Multi-Strategy Advisers LLC2018-05-25T00:00:00-07:002018-05-25T00:00:00-07:002018-11296Noticehttps://www.gpo.gov/fdsys/pkg/FR-2018-05-25/pdf/2018-11296.pdfhttps://regulations.justia.com/regulations/fedreg/2018/05/25/2018-11226.htmlNotice - Order Granting Application by NYSE National, Inc. for an 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 Reference2018-05-25T00:00:00-07:002018-05-25T00:00:00-07:002018-11226Noticehttps://www.gpo.gov/fdsys/pkg/FR-2018-05-25/pdf/2018-11226.pdfhttps://regulations.justia.com/regulations/fedreg/2018/05/25/2018-11225.htmlNotice - Self-Regulatory Organizations; Nasdaq PHLX LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Sections I and II of the Pricing Schedule2018-05-25T00:00:00-07:002018-05-25T00:00:00-07:002018-11225Noticehttps://www.gpo.gov/fdsys/pkg/FR-2018-05-25/pdf/2018-11225.pdfhttps://regulations.justia.com/regulations/fedreg/2018/05/25/2018-11224.htmlNotice - Self-Regulatory Organizations; The Nasdaq Stock Market LLC; Order Instituting Proceedings To Determine Whether To Approve or Disapprove 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 Rule and Eliminate the Requirement for Shareholder Approval of Issuances at a Price Less Than Book Value but Greater Than Market Value2018-05-25T00:00:00-07:002018-05-25T00:00:00-07:002018-11224Noticehttps://www.gpo.gov/fdsys/pkg/FR-2018-05-25/pdf/2018-11224.pdfhttps://regulations.justia.com/regulations/fedreg/2018/05/25/2018-11223.htmlNotice - Self-Regulatory Organizations; Cboe BZX Exchange, Inc.; Order Instituting Proceedings To Determine Whether To Approve or Disapprove 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 Mid Cap Growth ETF, ClearBridge Select ETF, and ClearBridge All Cap Value ETF2018-05-25T00:00:00-07:002018-05-25T00:00:00-07:002018-11223Noticehttps://www.gpo.gov/fdsys/pkg/FR-2018-05-25/pdf/2018-11223.pdfhttps://regulations.justia.com/regulations/fedreg/2018/05/25/2018-11222.htmlNotice - Self-Regulatory Organizations; Cboe Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Rule 5.3, Criteria for Underlying Securities2018-05-25T00:00:00-07:002018-05-25T00:00:00-07:002018-11222Noticehttps://www.gpo.gov/fdsys/pkg/FR-2018-05-25/pdf/2018-11222.pdfhttps://regulations.justia.com/regulations/fedreg/2018/05/25/2018-11219.htmlNotice - Proposed Collection; Comment Request2018-05-25T00:00:00-07:002018-05-25T00:00:00-07:002018-11219Noticehttps://www.gpo.gov/fdsys/pkg/FR-2018-05-25/pdf/2018-11219.pdfhttps://regulations.justia.com/regulations/fedreg/2018/05/25/2018-11218.htmlNotice - Submission for OMB Review; Comment Request2018-05-25T00:00:00-07:002018-05-25T00:00:00-07:002018-11218Noticehttps://www.gpo.gov/fdsys/pkg/FR-2018-05-25/pdf/2018-11218.pdfhttps://regulations.justia.com/regulations/fedreg/2018/05/24/2018-11093.htmlNotice - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Modify the Definition of “Agency Debt Security”2018-05-24T00:00:00-07:002018-05-24T00:00:00-07:002018-11093Noticehttps://www.gpo.gov/fdsys/pkg/FR-2018-05-24/pdf/2018-11093.pdfhttps://regulations.justia.com/regulations/fedreg/2018/05/23/C1-2018-08583.htmlProposed Rule - Form CRS Relationship Summary; Amendments to Form ADV; Required Disclosures in Retail Communications and Restrictions on the Use of Certain Names or Titles2018-05-23T00:00:00-07:002018-05-23T00:00:00-07:00C1-2018-08583Proposed Rulehttps://www.gpo.gov/fdsys/pkg/FR-2018-05-23/pdf/C1-2018-08583.pdfhttps://regulations.justia.com/regulations/fedreg/2018/05/23/2018-10986.htmlNotice - 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 Platform2018-05-23T00:00:00-07:002018-05-23T00:00:00-07:002018-10986Noticehttps://www.gpo.gov/fdsys/pkg/FR-2018-05-23/pdf/2018-10986.pdfhttps://regulations.justia.com/regulations/fedreg/2018/05/23/2018-10980.htmlNotice - 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 Markets2018-05-23T00:00:00-07:002018-05-23T00:00:00-07:002018-10980Noticehttps://www.gpo.gov/fdsys/pkg/FR-2018-05-23/pdf/2018-10980.pdfhttps://regulations.justia.com/regulations/fedreg/2018/05/23/2018-10979.htmlNotice - 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 Markets2018-05-23T00:00:00-07:002018-05-23T00:00:00-07:002018-10979Noticehttps://www.gpo.gov/fdsys/pkg/FR-2018-05-23/pdf/2018-10979.pdfhttps://regulations.justia.com/regulations/fedreg/2018/05/23/2018-10978.htmlNotice - 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 Markets2018-05-23T00:00:00-07:002018-05-23T00:00:00-07:002018-10978Noticehttps://www.gpo.gov/fdsys/pkg/FR-2018-05-23/pdf/2018-10978.pdfhttps://regulations.justia.com/regulations/fedreg/2018/05/23/2018-10977.htmlNotice - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Order Granting Approval of a Proposed Rule Change Relating to Simplified Arbitration2018-05-23T00:00:00-07:002018-05-23T00:00:00-07:002018-10977Noticehttps://www.gpo.gov/fdsys/pkg/FR-2018-05-23/pdf/2018-10977.pdfhttps://regulations.justia.com/regulations/fedreg/2018/05/23/2018-10976.htmlNotice - 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-Launch2018-05-23T00:00:00-07:002018-05-23T00:00:00-07:002018-10976Noticehttps://www.gpo.gov/fdsys/pkg/FR-2018-05-23/pdf/2018-10976.pdfhttps://regulations.justia.com/regulations/fedreg/2018/05/23/2018-10975.htmlNotice - 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 Functionality2018-05-23T00:00:00-07:002018-05-23T00:00:00-07:002018-10975Noticehttps://www.gpo.gov/fdsys/pkg/FR-2018-05-23/pdf/2018-10975.pdfhttps://regulations.justia.com/regulations/fedreg/2018/05/23/2018-10974.htmlNotice - 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 Date2018-05-23T00:00:00-07:002018-05-23T00:00:00-07:002018-10974Noticehttps://www.gpo.gov/fdsys/pkg/FR-2018-05-23/pdf/2018-10974.pdfhttps://regulations.justia.com/regulations/fedreg/2018/05/23/2018-10973.htmlNotice - 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 Order2018-05-23T00:00:00-07:002018-05-23T00:00:00-07:002018-10973Noticehttps://www.gpo.gov/fdsys/pkg/FR-2018-05-23/pdf/2018-10973.pdfhttps://regulations.justia.com/regulations/fedreg/2018/05/23/2018-10972.htmlNotice - 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)2018-05-23T00:00:00-07:002018-05-23T00:00:00-07:002018-10972Noticehttps://www.gpo.gov/fdsys/pkg/FR-2018-05-23/pdf/2018-10972.pdfhttps://regulations.justia.com/regulations/fedreg/2018/05/23/2018-10971.htmlNotice - 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 Functionality2018-05-23T00:00:00-07:002018-05-23T00:00:00-07:002018-10971Noticehttps://www.gpo.gov/fdsys/pkg/FR-2018-05-23/pdf/2018-10971.pdfhttps://regulations.justia.com/regulations/fedreg/2018/05/23/2018-10970.htmlNotice - 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 Functionality2018-05-23T00:00:00-07:002018-05-23T00:00:00-07:002018-10970Noticehttps://www.gpo.gov/fdsys/pkg/FR-2018-05-23/pdf/2018-10970.pdfhttps://regulations.justia.com/regulations/fedreg/2018/05/23/2018-10969.htmlNotice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the NYSE Arca Equities Fees and Charges2018-05-23T00:00:00-07:002018-05-23T00:00:00-07:002018-10969Noticehttps://www.gpo.gov/fdsys/pkg/FR-2018-05-23/pdf/2018-10969.pdfhttps://regulations.justia.com/regulations/fedreg/2018/05/22/2018-10830.htmlNotice - Self-Regulatory Organizations; Nasdaq ISE, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the Exchanges Schedule of Fees2018-05-22T00:00:00-07:002018-05-22T00:00:00-07:002018-10830Noticehttps://www.gpo.gov/fdsys/pkg/FR-2018-05-22/pdf/2018-10830.pdfhttps://regulations.justia.com/regulations/fedreg/2018/05/22/2018-10829.htmlNotice - Self-Regulatory Organizations; Cboe EDGX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Rule 2.12 To Add References to Cboe Options and C22018-05-22T00:00:00-07:002018-05-22T00:00:00-07:002018-10829Noticehttps://www.gpo.gov/fdsys/pkg/FR-2018-05-22/pdf/2018-10829.pdfhttps://regulations.justia.com/regulations/fedreg/2018/05/22/2018-10828.htmlNotice - Self-Regulatory Organizations; Cboe EDGA Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Rule 2.12 To Add References to Cboe Options and C22018-05-22T00:00:00-07:002018-05-22T00:00:00-07:002018-10828Noticehttps://www.gpo.gov/fdsys/pkg/FR-2018-05-22/pdf/2018-10828.pdfhttps://regulations.justia.com/regulations/fedreg/2018/05/22/2018-10827.htmlNotice - Self-Regulatory Organizations; Cboe BYX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Rule 2.12 To Add References to Cboe Options and C22018-05-22T00:00:00-07:002018-05-22T00:00:00-07:002018-10827Noticehttps://www.gpo.gov/fdsys/pkg/FR-2018-05-22/pdf/2018-10827.pdfhttps://regulations.justia.com/regulations/fedreg/2018/05/21/2018-10776.htmlNotice - Proposed Collection; Comment Request2018-05-21T00:00:00-07:002018-05-21T00:00:00-07:002018-10776Noticehttps://www.gpo.gov/fdsys/pkg/FR-2018-05-21/pdf/2018-10776.pdfhttps://regulations.justia.com/regulations/fedreg/2018/05/21/2018-10713.htmlNotice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to the Proposed Operation of the Perth Mint Physical Gold ETF Trust2018-05-21T00:00:00-07:002018-05-21T00:00:00-07:002018-10713Noticehttps://www.gpo.gov/fdsys/pkg/FR-2018-05-21/pdf/2018-10713.pdfhttps://regulations.justia.com/regulations/fedreg/2018/05/21/2018-10712.htmlNotice - Self-Regulatory Organizations; Cboe BZX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Rule 2.12 To Add References to Cboe Options and C22018-05-21T00:00:00-07:002018-05-21T00:00:00-07:002018-10712Noticehttps://www.gpo.gov/fdsys/pkg/FR-2018-05-21/pdf/2018-10712.pdfhttps://regulations.justia.com/regulations/fedreg/2018/05/21/2018-10711.htmlNotice - Self-Regulatory Organizations; Cboe Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Its Fees Schedule Related to Its PULSe Workstation2018-05-21T00:00:00-07:002018-05-21T00:00:00-07:002018-10711Noticehttps://www.gpo.gov/fdsys/pkg/FR-2018-05-21/pdf/2018-10711.pdfhttps://regulations.justia.com/regulations/fedreg/2018/05/21/2018-10710.htmlNotice - Self-Regulatory Organizations; ICE Clear Europe Limited; Order Approving Proposed Rule Change Relating to Amendments to the ICE Clear Europe CDS Clearing Stress Testing Policy2018-05-21T00:00:00-07:002018-05-21T00:00:00-07:002018-10710Noticehttps://www.gpo.gov/fdsys/pkg/FR-2018-05-21/pdf/2018-10710.pdfhttps://regulations.justia.com/regulations/fedreg/2018/05/21/2018-10709.htmlNotice - Self-Regulatory Organizations; Cboe C2 Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Its Fees Schedule Related to Its PULSe Workstation2018-05-21T00:00:00-07:002018-05-21T00:00:00-07:002018-10709Noticehttps://www.gpo.gov/fdsys/pkg/FR-2018-05-21/pdf/2018-10709.pdfhttps://regulations.justia.com/regulations/fedreg/2018/05/21/2018-10708.htmlNotice - Self-Regulatory Organizations; Cboe Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to Its Fees Schedule in Connection With the Exchange's Planned Migration of Standard Third-Friday Options on the S&P 500 Index to the Hybrid Trading System From the Hybrid 3.0 System2018-05-21T00:00:00-07:002018-05-21T00:00:00-07:002018-10708Noticehttps://www.gpo.gov/fdsys/pkg/FR-2018-05-21/pdf/2018-10708.pdfhttps://regulations.justia.com/regulations/fedreg/2018/05/21/2018-10707.htmlNotice - Self-Regulatory Organizations; Cboe EDGX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Related to Fees for Use on Cboe EDGX Exchange, Inc.2018-05-21T00:00:00-07:002018-05-21T00:00:00-07:002018-10707Noticehttps://www.gpo.gov/fdsys/pkg/FR-2018-05-21/pdf/2018-10707.pdfhttps://regulations.justia.com/regulations/fedreg/2018/05/21/2018-10706.htmlNotice - Self-Regulatory Organizations; Nasdaq MRX, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Supplementary Material to Rule 706 To Harmonize Its Sponsored Access Rules With Those of Its Affiliates2018-05-21T00:00:00-07:002018-05-21T00:00:00-07:002018-10706Noticehttps://www.gpo.gov/fdsys/pkg/FR-2018-05-21/pdf/2018-10706.pdfhttps://regulations.justia.com/regulations/fedreg/2018/05/21/2018-10705.htmlNotice - Self-Regulatory Organizations; Nasdaq ISE, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Supplementary Material to Rule 706 To Harmonize Its Sponsored Access Rules With Those of Its Affiliates2018-05-21T00:00:00-07:002018-05-21T00:00:00-07:002018-10705Noticehttps://www.gpo.gov/fdsys/pkg/FR-2018-05-21/pdf/2018-10705.pdfhttps://regulations.justia.com/regulations/fedreg/2018/05/21/2018-10704.htmlNotice - Self-Regulatory Organizations; Nasdaq GEMX, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Supplementary Material to Rule 706 To Harmonize Its Sponsored Access Rules With Those of Its Affiliates2018-05-21T00:00:00-07:002018-05-21T00:00:00-07:002018-10704Noticehttps://www.gpo.gov/fdsys/pkg/FR-2018-05-21/pdf/2018-10704.pdfhttps://regulations.justia.com/regulations/fedreg/2018/05/18/2018-10639.htmlNotice - PFM Multi-Manager Series Trust and PFM Asset Management LLC2018-05-18T00:00:00-07:002018-05-18T00:00:00-07:002018-10639Noticehttps://www.gpo.gov/fdsys/pkg/FR-2018-05-18/pdf/2018-10639.pdfhttps://regulations.justia.com/regulations/fedreg/2018/05/18/2018-10606.htmlNotice - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend its Price List2018-05-18T00:00:00-07:002018-05-18T00:00:00-07:002018-10606Noticehttps://www.gpo.gov/fdsys/pkg/FR-2018-05-18/pdf/2018-10606.pdfhttps://regulations.justia.com/regulations/fedreg/2018/05/18/2018-10605.htmlNotice - Self-Regulatory Organizations; Nasdaq BX, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the Market Order Spread Protection and Reorganize Rule Chapter VI, Section 18 Entitled, “Order Price Protections”2018-05-18T00:00:00-07:002018-05-18T00:00:00-07:002018-10605Noticehttps://www.gpo.gov/fdsys/pkg/FR-2018-05-18/pdf/2018-10605.pdfhttps://regulations.justia.com/regulations/fedreg/2018/05/18/2018-10604.htmlNotice - Self-Regulatory Organizations; The Nasdaq Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the Market Order Spread Protection2018-05-18T00:00:00-07:002018-05-18T00:00:00-07:002018-10604Noticehttps://www.gpo.gov/fdsys/pkg/FR-2018-05-18/pdf/2018-10604.pdfhttps://regulations.justia.com/regulations/fedreg/2018/05/18/2018-10603.htmlNotice - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing of a Proposed Rule Change Relating To Create a Fee and Honorarium for Late Cancellation of a Prehearing Conference2018-05-18T00:00:00-07:002018-05-18T00:00:00-07:002018-10603Noticehttps://www.gpo.gov/fdsys/pkg/FR-2018-05-18/pdf/2018-10603.pdfhttps://regulations.justia.com/regulations/fedreg/2018/05/18/2018-10602.htmlNotice - Self-Regulatory Organizations; Cboe Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the Silexx Trading Platform Fees Schedule2018-05-18T00:00:00-07:002018-05-18T00:00:00-07:002018-10602Noticehttps://www.gpo.gov/fdsys/pkg/FR-2018-05-18/pdf/2018-10602.pdfhttps://regulations.justia.com/regulations/fedreg/2018/05/18/2018-10601.htmlNotice - Self-Regulatory Organizations; Cboe C2 Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Rule 6.11., Regarding the Opening Process for Index Options2018-05-18T00:00:00-07:002018-05-18T00:00:00-07:002018-10601Noticehttps://www.gpo.gov/fdsys/pkg/FR-2018-05-18/pdf/2018-10601.pdfhttps://regulations.justia.com/regulations/fedreg/2018/05/18/2018-10600.htmlNotice - Self-Regulatory Organizations; Nasdaq BX, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Rule 7018(a) To Establish a New Fee for Orders With Midpoint Pegging That Execute at a Price Better Than the Midpoint of the NBBO2018-05-18T00:00:00-07:002018-05-18T00:00:00-07:002018-10600Noticehttps://www.gpo.gov/fdsys/pkg/FR-2018-05-18/pdf/2018-10600.pdfhttps://regulations.justia.com/regulations/fedreg/2018/05/17/C1-2018-08729.htmlNotice - 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” Trades2018-05-17T00:00:00-07:002018-05-17T00:00:00-07:00C1-2018-08729Noticehttps://www.gpo.gov/fdsys/pkg/FR-2018-05-17/pdf/C1-2018-08729.pdfhttps://regulations.justia.com/regulations/fedreg/2018/05/17/2018-10513.htmlNotice - Self-Regulatory Organizations; Fixed Income Clearing Corporation; Notice of Filing of Amendment No. 1 and Notice of No Objection To Advance Notice Filing, as Modified by Amendment No. 1, To Implement Changes to the Method of Calculating Netting Members' Margin in the Government Securities Division Rulebook2018-05-17T00:00:00-07:002018-05-17T00:00:00-07:002018-10513Noticehttps://www.gpo.gov/fdsys/pkg/FR-2018-05-17/pdf/2018-10513.pdfhttps://regulations.justia.com/regulations/fedreg/2018/05/17/2018-10505.htmlNotice - Self-Regulatory Organizations; Fixed Income Clearing Corporation; Notice of Filing of Proposed Rule Change To Introduce a Floor to the Calculation of the Fails Charges and Make Other Changes2018-05-17T00:00:00-07:002018-05-17T00:00:00-07:002018-10505Noticehttps://www.gpo.gov/fdsys/pkg/FR-2018-05-17/pdf/2018-10505.pdfhttps://regulations.justia.com/regulations/fedreg/2018/05/17/2018-10504.htmlNotice - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Provide Users With Connectivity to Three Additional Third Party Data Feeds and Change Its Price List Related to These Co-Location Services2018-05-17T00:00:00-07:002018-05-17T00:00:00-07:002018-10504Noticehttps://www.gpo.gov/fdsys/pkg/FR-2018-05-17/pdf/2018-10504.pdfhttps://regulations.justia.com/regulations/fedreg/2018/05/17/2018-10503.htmlNotice - Self-Regulatory Organizations; Cboe Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the Marketing Fee Program With Respect to the Russell 2000 Index Options2018-05-17T00:00:00-07:002018-05-17T00:00:00-07:002018-10503Noticehttps://www.gpo.gov/fdsys/pkg/FR-2018-05-17/pdf/2018-10503.pdfhttps://regulations.justia.com/regulations/fedreg/2018/05/17/2018-10502.htmlNotice - Self-Regulatory Organizations; NYSE American LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Provide Users With Connectivity to Three Additional Third Party Data Feeds and To Change the NYSE American Equities Price List and the NYSE American Options Fee Schedule Related to These Co-Location Services2018-05-17T00:00:00-07:002018-05-17T00:00:00-07:002018-10502Noticehttps://www.gpo.gov/fdsys/pkg/FR-2018-05-17/pdf/2018-10502.pdfhttps://regulations.justia.com/regulations/fedreg/2018/05/17/2018-10501.htmlNotice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Provide Users With Connectivity to Three Additional Third Party Data Feeds and Change the NYSE Arca Options Fees and Charges and the NYSE Arca Equities Fees and Charges Related to These Co-location Services2018-05-17T00:00:00-07:002018-05-17T00:00:00-07:002018-10501Noticehttps://www.gpo.gov/fdsys/pkg/FR-2018-05-17/pdf/2018-10501.pdfhttps://regulations.justia.com/regulations/fedreg/2018/05/17/2018-10500.htmlNotice - Self-Regulatory Organizations; Investors Exchange LLC; Notice of Designation of Longer Period for Commission Action on Proposed Rule Change To Establish a New Optional Listing Category on the Exchange, “LTSE Listings on IEX”2018-05-17T00:00:00-07:002018-05-17T00:00:00-07:002018-10500Noticehttps://www.gpo.gov/fdsys/pkg/FR-2018-05-17/pdf/2018-10500.pdfhttps://regulations.justia.com/regulations/fedreg/2018/05/17/2018-10499.htmlNotice - BlackRock Advisors, LLC, et al.2018-05-17T00:00:00-07:002018-05-17T00:00:00-07:002018-10499Noticehttps://www.gpo.gov/fdsys/pkg/FR-2018-05-17/pdf/2018-10499.pdfhttps://regulations.justia.com/regulations/fedreg/2018/05/16/2018-10417.htmlNotice - Self-Regulatory Organizations; Cboe C2 Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Rules in Connection With the Migration of Cboe C2 to Cboe EDGX Options Technology2018-05-16T00:00:00-07:002018-05-16T00:00:00-07:002018-10417Noticehttps://www.gpo.gov/fdsys/pkg/FR-2018-05-16/pdf/2018-10417.pdfhttps://regulations.justia.com/regulations/fedreg/2018/05/16/2018-10383.htmlNotice - Franklin Alternative Strategies Funds, et al.2018-05-16T00:00:00-07:002018-05-16T00:00:00-07:002018-10383Noticehttps://www.gpo.gov/fdsys/pkg/FR-2018-05-16/pdf/2018-10383.pdfhttps://regulations.justia.com/regulations/fedreg/2018/05/16/2018-10381.htmlNotice - Self-Regulatory Organizations; Cboe BYX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Related to Fees for Use on Cboe BYX Exchange, Inc.2018-05-16T00:00:00-07:002018-05-16T00:00:00-07:002018-10381Noticehttps://www.gpo.gov/fdsys/pkg/FR-2018-05-16/pdf/2018-10381.pdfhttps://regulations.justia.com/regulations/fedreg/2018/05/16/2018-10380.htmlNotice - Self-Regulatory Organizations; Cboe BZX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Related to Fees for Use on Cboe BZX Exchange, Inc.2018-05-16T00:00:00-07:002018-05-16T00:00:00-07:002018-10380Noticehttps://www.gpo.gov/fdsys/pkg/FR-2018-05-16/pdf/2018-10380.pdfhttps://regulations.justia.com/regulations/fedreg/2018/05/16/2018-10379.htmlNotice - Self-Regulatory Organizations; Nasdaq PHLX LLC; Order Granting Approval 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 Specialists2018-05-16T00:00:00-07:002018-05-16T00:00:00-07:002018-10379Noticehttps://www.gpo.gov/fdsys/pkg/FR-2018-05-16/pdf/2018-10379.pdfhttps://regulations.justia.com/regulations/fedreg/2018/05/16/2018-10378.htmlNotice - Self-Regulatory Organizations; Municipal Securities Rulemaking Board; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Revise the Language of Certain Administrative Rules To Continue To Help Ensure That They Reflect MSRB Practices and Improve Consistency Among the Rules2018-05-16T00:00:00-07:002018-05-16T00:00:00-07:002018-10378Noticehttps://www.gpo.gov/fdsys/pkg/FR-2018-05-16/pdf/2018-10378.pdfhttps://regulations.justia.com/regulations/fedreg/2018/05/16/2018-10377.htmlNotice - Self-Regulatory Organizations; Cboe BZX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To List and Trade Under BZX Rule 14.11(c)(4) Shares of the iShares Long-Term National Muni Bond ETF of iShares Trust2018-05-16T00:00:00-07:002018-05-16T00:00:00-07:002018-10377Noticehttps://www.gpo.gov/fdsys/pkg/FR-2018-05-16/pdf/2018-10377.pdfhttps://regulations.justia.com/regulations/fedreg/2018/05/16/2018-10369.htmlNotice - Program for Allocation of Regulatory Responsibilities Pursuant To Rule 17d-2; Notice of Filing and Order Approving and Declaring Effective an Amended Plan for the Allocation of Regulatory Responsibilities Between the Financial Industry Regulatory Authority, Inc., Cboe Exchange, Inc., and Cboe C2 Exchange, Inc.2018-05-16T00:00:00-07:002018-05-16T00:00:00-07:002018-10369Noticehttps://www.gpo.gov/fdsys/pkg/FR-2018-05-16/pdf/2018-10369.pdfhttps://regulations.justia.com/regulations/fedreg/2018/05/15/2018-10395.htmlNotice - Sunshine Act Meetings2018-05-15T00:00:00-07:002018-05-15T00:00:00-07:002018-10395Noticehttps://www.gpo.gov/fdsys/pkg/FR-2018-05-15/pdf/2018-10395.pdfhttps://regulations.justia.com/regulations/fedreg/2018/05/15/2018-10272.htmlNotice - Self-Regulatory Organizations; Cboe Exchange, Inc.; Order Approving a Proposed Rule Change Relating to Flexibly Structured Options2018-05-15T00:00:00-07:002018-05-15T00:00:00-07:002018-10272Noticehttps://www.gpo.gov/fdsys/pkg/FR-2018-05-15/pdf/2018-10272.pdfhttps://regulations.justia.com/regulations/fedreg/2018/05/15/2018-10263.htmlNotice - Self-Regulatory Organizations; NYSE American LLC; Notice of Filing and Immediate Effectiveness of Proposed Change To Modify the NYSE American Options Fee Schedule2018-05-15T00:00:00-07:002018-05-15T00:00:00-07:002018-10263Noticehttps://www.gpo.gov/fdsys/pkg/FR-2018-05-15/pdf/2018-10263.pdfhttps://regulations.justia.com/regulations/fedreg/2018/05/15/2018-10262.htmlNotice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the NYSE Arca Options Fee Schedule2018-05-15T00:00:00-07:002018-05-15T00:00:00-07:002018-10262Noticehttps://www.gpo.gov/fdsys/pkg/FR-2018-05-15/pdf/2018-10262.pdfhttps://regulations.justia.com/regulations/fedreg/2018/05/15/2018-10261.htmlNotice - Self-Regulatory Organizations; Cboe C2 Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend its Fees Schedule, Including Connectivity Fees, in Connection with its Technology Migration2018-05-15T00:00:00-07:002018-05-15T00:00:00-07:002018-10261Noticehttps://www.gpo.gov/fdsys/pkg/FR-2018-05-15/pdf/2018-10261.pdfhttps://regulations.justia.com/regulations/fedreg/2018/05/15/2018-10260.htmlNotice - Self-Regulatory Organizations; Cboe BZX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Modify Certain Routing Fees Related to its Equity Options Platform2018-05-15T00:00:00-07:002018-05-15T00:00:00-07:002018-10260Noticehttps://www.gpo.gov/fdsys/pkg/FR-2018-05-15/pdf/2018-10260.pdfhttps://regulations.justia.com/regulations/fedreg/2018/05/15/2018-10259.htmlNotice - Self-Regulatory Organizations; Nasdaq BX, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Memorialize Its Order and Execution Information Into Chapter VI, Section 19, Entitled Data Feeds2018-05-15T00:00:00-07:002018-05-15T00:00:00-07:002018-10259Noticehttps://www.gpo.gov/fdsys/pkg/FR-2018-05-15/pdf/2018-10259.pdfhttps://regulations.justia.com/regulations/fedreg/2018/05/15/2018-10258.htmlNotice - Self-Regulatory Organizations; The Nasdaq Stock Market LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Memorialize Order and Execution Available to Participants Into Chapter VI, Section 19, Entitled Data Feeds2018-05-15T00:00:00-07:002018-05-15T00:00:00-07:002018-10258Noticehttps://www.gpo.gov/fdsys/pkg/FR-2018-05-15/pdf/2018-10258.pdfhttps://regulations.justia.com/regulations/fedreg/2018/05/15/2018-10257.htmlNotice - 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 Connectivity Fees and Establish Port Fees2018-05-15T00:00:00-07:002018-05-15T00:00:00-07:002018-10257Noticehttps://www.gpo.gov/fdsys/pkg/FR-2018-05-15/pdf/2018-10257.pdfhttps://regulations.justia.com/regulations/fedreg/2018/05/15/2018-10256.htmlNotice - Self-Regulatory Organizations; Nasdaq PHLX LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Memorialize Its Order and Execution Information Into Phlx Rule 10702018-05-15T00:00:00-07:002018-05-15T00:00:00-07:002018-10256Noticehttps://www.gpo.gov/fdsys/pkg/FR-2018-05-15/pdf/2018-10256.pdfhttps://regulations.justia.com/regulations/fedreg/2018/05/15/2018-10255.htmlNotice - Self-Regulatory Organizations; Nasdaq PHLX LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to the Zero-Bid Option Series2018-05-15T00:00:00-07:002018-05-15T00:00:00-07:002018-10255Noticehttps://www.gpo.gov/fdsys/pkg/FR-2018-05-15/pdf/2018-10255.pdfhttps://regulations.justia.com/regulations/fedreg/2018/05/15/2018-10254.htmlNotice - Self-Regulatory Organizations; Nasdaq PHLX LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Reorganize and Amend the Exchange's Pricing Schedule at Section VII, B, Entitled “Port Fees”2018-05-15T00:00:00-07:002018-05-15T00:00:00-07:002018-10254Noticehttps://www.gpo.gov/fdsys/pkg/FR-2018-05-15/pdf/2018-10254.pdfhttps://regulations.justia.com/regulations/fedreg/2018/05/15/2018-10253.htmlNotice - Self-Regulatory Organizations; The Nasdaq Stock Market LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Reorganize and Amend The Nasdaq Options Market LLC Chapter XV, Section 3, Entitled “Nasdaq Options Market-Ports and Other Services2018-05-15T00:00:00-07:002018-05-15T00:00:00-07:002018-10253Noticehttps://www.gpo.gov/fdsys/pkg/FR-2018-05-15/pdf/2018-10253.pdfhttps://regulations.justia.com/regulations/fedreg/2018/05/15/2018-10252.htmlNotice - Self-Regulatory Organizations; Nasdaq BX, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Reorganize and Amend Chapter XV, Section 3, entitled BX Options Market-Ports and Other Services2018-05-15T00:00:00-07:002018-05-15T00:00:00-07:002018-10252Noticehttps://www.gpo.gov/fdsys/pkg/FR-2018-05-15/pdf/2018-10252.pdfhttps://regulations.justia.com/regulations/fedreg/2018/05/15/2018-10246.htmlNotice - TCW Direct Lending LLC, et al.;2018-05-15T00:00:00-07:002018-05-15T00:00:00-07:002018-10246Noticehttps://www.gpo.gov/fdsys/pkg/FR-2018-05-15/pdf/2018-10246.pdfhttps://regulations.justia.com/regulations/fedreg/2018/05/15/2018-10245.htmlNotice - U.S. Global Investors, Inc. et al.2018-05-15T00:00:00-07:002018-05-15T00:00:00-07:002018-10245Noticehttps://www.gpo.gov/fdsys/pkg/FR-2018-05-15/pdf/2018-10245.pdfhttps://regulations.justia.com/regulations/fedreg/2018/05/15/2018-10241.htmlNotice - Proposed Collection; Comment Request2018-05-15T00:00:00-07:002018-05-15T00:00:00-07:002018-10241Noticehttps://www.gpo.gov/fdsys/pkg/FR-2018-05-15/pdf/2018-10241.pdfhttps://regulations.justia.com/regulations/fedreg/2018/05/15/2018-10232.htmlNotice - Proposed Collection; Comment Request2018-05-15T00:00:00-07:002018-05-15T00:00:00-07:002018-10232Noticehttps://www.gpo.gov/fdsys/pkg/FR-2018-05-15/pdf/2018-10232.pdfhttps://regulations.justia.com/regulations/fedreg/2018/05/15/2018-10231.htmlNotice - Proposed Collection; Comment Request2018-05-15T00:00:00-07:002018-05-15T00:00:00-07:002018-10231Noticehttps://www.gpo.gov/fdsys/pkg/FR-2018-05-15/pdf/2018-10231.pdfhttps://regulations.justia.com/regulations/fedreg/2018/05/14/2018-10227.htmlRule - Amendments to Forms and Schedules To Remove Provision of Certain Personally Identifiable Information2018-05-14T00:00:00-07:002018-05-14T00:00:00-07:002018-10227Rulehttps://www.gpo.gov/fdsys/pkg/FR-2018-05-14/pdf/2018-10227.pdfhttps://regulations.justia.com/regulations/fedreg/2018/05/14/2018-10147.htmlNotice - Submission for OMB Review; Comment Request2018-05-14T00:00:00-07:002018-05-14T00:00:00-07:002018-10147Noticehttps://www.gpo.gov/fdsys/pkg/FR-2018-05-14/pdf/2018-10147.pdfhttps://regulations.justia.com/regulations/fedreg/2018/05/14/2018-10146.htmlNotice - Submission for OMB Review; Comment Request2018-05-14T00:00:00-07:002018-05-14T00:00:00-07:002018-10146Noticehttps://www.gpo.gov/fdsys/pkg/FR-2018-05-14/pdf/2018-10146.pdfhttps://regulations.justia.com/regulations/fedreg/2018/05/14/2018-10145.htmlNotice - Submission for OMB Review; Comment Request2018-05-14T00:00:00-07:002018-05-14T00:00:00-07:002018-10145Noticehttps://www.gpo.gov/fdsys/pkg/FR-2018-05-14/pdf/2018-10145.pdfhttps://regulations.justia.com/regulations/fedreg/2018/05/14/2018-10144.htmlNotice - Submission for OMB Review; Comment Request2018-05-14T00:00:00-07:002018-05-14T00:00:00-07:002018-10144Noticehttps://www.gpo.gov/fdsys/pkg/FR-2018-05-14/pdf/2018-10144.pdfhttps://regulations.justia.com/regulations/fedreg/2018/05/14/2018-10141.htmlNotice - Self-Regulatory Organizations; MIAX PEARL, LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Its Fee Schedule2018-05-14T00:00:00-07:002018-05-14T00:00:00-07:002018-10141Noticehttps://www.gpo.gov/fdsys/pkg/FR-2018-05-14/pdf/2018-10141.pdfhttps://regulations.justia.com/regulations/fedreg/2018/05/14/2018-10140.htmlNotice - Self-Regulatory Organizations; Cboe BZX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Continue Listing and Trading Shares of the Cambria Sovereign Bond ETF2018-05-14T00:00:00-07:002018-05-14T00:00:00-07:002018-10140Noticehttps://www.gpo.gov/fdsys/pkg/FR-2018-05-14/pdf/2018-10140.pdfhttps://regulations.justia.com/regulations/fedreg/2018/05/11/2018-10039.htmlNotice - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to Statutory Disqualification Application Fees2018-05-11T00:00:00-07:002018-05-11T00:00:00-07:002018-10039Noticehttps://www.gpo.gov/fdsys/pkg/FR-2018-05-11/pdf/2018-10039.pdfhttps://regulations.justia.com/regulations/fedreg/2018/05/10/2018-09933.htmlNotice - Self-Regulatory Organizations; Municipal Securities Rulemaking Board; Order Granting Approval of a Proposed Rule Change, Consisting to Amendments to Rule G-21, on Advertising, Proposed New Rule G-40, on Advertising by Municipal Advisors, and a Technical Amendment to Rule G-42, on Duties of Non-Solicitor Municipal Advisors2018-05-10T00:00:00-07:002018-05-10T00:00:00-07:002018-09933Noticehttps://www.gpo.gov/fdsys/pkg/FR-2018-05-10/pdf/2018-09933.pdfhttps://regulations.justia.com/regulations/fedreg/2018/05/10/2018-09924.htmlNotice - Self-Regulatory Organizations; Cboe Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Extend the Operation of Its Flexible Exchange Options Pilot Program2018-05-10T00:00:00-07:002018-05-10T00:00:00-07:002018-09924Noticehttps://www.gpo.gov/fdsys/pkg/FR-2018-05-10/pdf/2018-09924.pdfhttps://regulations.justia.com/regulations/fedreg/2018/05/10/2018-09923.htmlNotice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Designation of a Longer Period for Commission Action on a Proposed Rule Change, as Modified by Amendment No. 1, To Continue Listing and Trading Shares of the PGIM Ultra Short Bond ETF Under NYSE Arca Rule 8.600-E2018-05-10T00:00:00-07:002018-05-10T00:00:00-07:002018-09923Noticehttps://www.gpo.gov/fdsys/pkg/FR-2018-05-10/pdf/2018-09923.pdfhttps://regulations.justia.com/regulations/fedreg/2018/05/09/2018-09884.htmlNotice - Proposed Collection; Comment Request2018-05-09T00:00:00-07:002018-05-09T00:00:00-07:002018-09884Noticehttps://www.gpo.gov/fdsys/pkg/FR-2018-05-09/pdf/2018-09884.pdfhttps://regulations.justia.com/regulations/fedreg/2018/05/09/2018-09838.htmlNotice - Self-Regulatory Organizations; Nasdaq PHLX LLC; Order Approving a Proposed Rule Change Amending Rule 1079, FLEX Index, Equity and Currency Options, and Rule 1059, Accommodation Transactions, To Allow the Closing of Flexible Exchange Options (“FLEX options”) in Cabinet Trading2018-05-09T00:00:00-07:002018-05-09T00:00:00-07:002018-09838Noticehttps://www.gpo.gov/fdsys/pkg/FR-2018-05-09/pdf/2018-09838.pdfhttps://regulations.justia.com/regulations/fedreg/2018/05/09/2018-09830.htmlNotice - Self-Regulatory Organizations; Cboe Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Extend the Operation of the SPXPM Pilot Program2018-05-09T00:00:00-07:002018-05-09T00:00:00-07:002018-09830Noticehttps://www.gpo.gov/fdsys/pkg/FR-2018-05-09/pdf/2018-09830.pdfhttps://regulations.justia.com/regulations/fedreg/2018/05/09/2018-09829.htmlNotice - Self-Regulatory Organizations; Cboe Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Renew the Nonstandard Expirations Pilot Program2018-05-09T00:00:00-07:002018-05-09T00:00:00-07:002018-09829Noticehttps://www.gpo.gov/fdsys/pkg/FR-2018-05-09/pdf/2018-09829.pdfhttps://regulations.justia.com/regulations/fedreg/2018/05/09/2018-09806.htmlNotice - Self-Regulatory Organizations; BOX Options Exchange LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Adopt Price Protections for Complex Orders2018-05-09T00:00:00-07:002018-05-09T00:00:00-07:002018-09806Noticehttps://www.gpo.gov/fdsys/pkg/FR-2018-05-09/pdf/2018-09806.pdfhttps://regulations.justia.com/regulations/fedreg/2018/05/09/2018-08679.htmlProposed Rule - Proposed Commission Interpretation Regarding Standard of Conduct for Investment Advisers; Request for Comment on Enhancing Investment Adviser Regulation2018-05-09T00:00:00-07:002018-05-09T00:00:00-07:002018-08679Proposed Rulehttps://www.gpo.gov/fdsys/pkg/FR-2018-05-09/pdf/2018-08679.pdfhttps://regulations.justia.com/regulations/fedreg/2018/05/09/2018-08583.htmlProposed Rule - Form CRS Relationship Summary; Amendments to Form ADV; Required Disclosures in Retail Communications and Restrictions on the Use of Certain Names or Titles2018-05-09T00:00:00-07:002018-05-09T00:00:00-07:002018-08583Proposed Rulehttps://www.gpo.gov/fdsys/pkg/FR-2018-05-09/pdf/2018-08583.pdfhttps://regulations.justia.com/regulations/fedreg/2018/05/09/2018-08582.htmlProposed Rule - Regulation Best Interest2018-05-09T00:00:00-07:002018-05-09T00:00:00-07:002018-08582Proposed Rulehttps://www.gpo.gov/fdsys/pkg/FR-2018-05-09/pdf/2018-08582.pdfhttps://regulations.justia.com/regulations/fedreg/2018/05/08/2018-09807.htmlNotice - 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.2018-05-08T00:00:00-07:002018-05-08T00:00:00-07:002018-09807Noticehttps://www.gpo.gov/fdsys/pkg/FR-2018-05-08/pdf/2018-09807.pdfhttps://regulations.justia.com/regulations/fedreg/2018/05/08/2018-09765.htmlNotice - 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.2018-05-08T00:00:00-07:002018-05-08T00:00:00-07:002018-09765Noticehttps://www.gpo.gov/fdsys/pkg/FR-2018-05-08/pdf/2018-09765.pdfhttps://regulations.justia.com/regulations/fedreg/2018/05/08/2018-09764.htmlNotice - 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.2018-05-08T00:00:00-07:002018-05-08T00:00:00-07:002018-09764Noticehttps://www.gpo.gov/fdsys/pkg/FR-2018-05-08/pdf/2018-09764.pdfhttps://regulations.justia.com/regulations/fedreg/2018/05/08/2018-09763.htmlNotice - 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.2018-05-08T00:00:00-07:002018-05-08T00:00:00-07:002018-09763Noticehttps://www.gpo.gov/fdsys/pkg/FR-2018-05-08/pdf/2018-09763.pdfhttps://regulations.justia.com/regulations/fedreg/2018/05/08/2018-09721.htmlProposed Rule - Auditor Independence With Respect to Certain Loans or Debtor-Creditor Relationships2018-05-08T00:00:00-07:002018-05-08T00:00:00-07:002018-09721Proposed Rulehttps://www.gpo.gov/fdsys/pkg/FR-2018-05-08/pdf/2018-09721.pdfhttps://regulations.justia.com/regulations/fedreg/2018/05/08/2018-09696.htmlNotice - 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 Limits2018-05-08T00:00:00-07:002018-05-08T00:00:00-07:002018-09696Noticehttps://www.gpo.gov/fdsys/pkg/FR-2018-05-08/pdf/2018-09696.pdfhttps://regulations.justia.com/regulations/fedreg/2018/05/08/2018-09695.htmlNotice - 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-2015-0362018-05-08T00:00:00-07:002018-05-08T00:00:00-07:002018-09695Noticehttps://www.gpo.gov/fdsys/pkg/FR-2018-05-08/pdf/2018-09695.pdfhttps://regulations.justia.com/regulations/fedreg/2018/05/08/2018-09694.htmlNotice - 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 Institutions2018-05-08T00:00:00-07:002018-05-08T00:00:00-07:002018-09694Noticehttps://www.gpo.gov/fdsys/pkg/FR-2018-05-08/pdf/2018-09694.pdfhttps://regulations.justia.com/regulations/fedreg/2018/05/08/2018-09693.htmlNotice - Self-Regulatory Organizations; Fixed Income Clearing Corporation; Notice of Filing of Proposed Rule Change To Amend the Fee Structure of the Government Securities Division Rulebook2018-05-08T00:00:00-07:002018-05-08T00:00:00-07:002018-09693Noticehttps://www.gpo.gov/fdsys/pkg/FR-2018-05-08/pdf/2018-09693.pdfhttps://regulations.justia.com/regulations/fedreg/2018/05/08/2018-09692.htmlNotice - 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)2018-05-08T00:00:00-07:002018-05-08T00:00:00-07:002018-09692Noticehttps://www.gpo.gov/fdsys/pkg/FR-2018-05-08/pdf/2018-09692.pdfhttps://regulations.justia.com/regulations/fedreg/2018/05/08/2018-09691.htmlNotice - Proposed Collection; Comment Request2018-05-08T00:00:00-07:002018-05-08T00:00:00-07:002018-09691Noticehttps://www.gpo.gov/fdsys/pkg/FR-2018-05-08/pdf/2018-09691.pdfhttps://regulations.justia.com/regulations/fedreg/2018/05/08/2018-09690.htmlNotice - Proposed Collection; Comment Request2018-05-08T00:00:00-07:002018-05-08T00:00:00-07:002018-09690Noticehttps://www.gpo.gov/fdsys/pkg/FR-2018-05-08/pdf/2018-09690.pdfhttps://regulations.justia.com/regulations/fedreg/2018/05/07/2018-09612.htmlNotice - 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 Permanent2018-05-07T00:00:00-07:002018-05-07T00:00:00-07:002018-09612Noticehttps://www.gpo.gov/fdsys/pkg/FR-2018-05-07/pdf/2018-09612.pdfhttps://regulations.justia.com/regulations/fedreg/2018/05/07/2018-09580.htmlNotice - 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 Basis2018-05-07T00:00:00-07:002018-05-07T00:00:00-07:002018-09580Noticehttps://www.gpo.gov/fdsys/pkg/FR-2018-05-07/pdf/2018-09580.pdfhttps://regulations.justia.com/regulations/fedreg/2018/05/07/2018-09579.htmlNotice - 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 Plan2018-05-07T00:00:00-07:002018-05-07T00:00:00-07:002018-09579Noticehttps://www.gpo.gov/fdsys/pkg/FR-2018-05-07/pdf/2018-09579.pdfhttps://regulations.justia.com/regulations/fedreg/2018/05/07/2018-09577.htmlNotice - 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 NBBO2018-05-07T00:00:00-07:002018-05-07T00:00:00-07:002018-09577Noticehttps://www.gpo.gov/fdsys/pkg/FR-2018-05-07/pdf/2018-09577.pdfhttps://regulations.justia.com/regulations/fedreg/2018/05/07/2018-09576.htmlNotice - 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 Shares2018-05-07T00:00:00-07:002018-05-07T00:00:00-07:002018-09576Noticehttps://www.gpo.gov/fdsys/pkg/FR-2018-05-07/pdf/2018-09576.pdfhttps://regulations.justia.com/regulations/fedreg/2018/05/07/2018-09575.htmlNotice - 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 List2018-05-07T00:00:00-07:002018-05-07T00:00:00-07:002018-09575Noticehttps://www.gpo.gov/fdsys/pkg/FR-2018-05-07/pdf/2018-09575.pdfhttps://regulations.justia.com/regulations/fedreg/2018/05/07/2018-09574.htmlNotice - 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 Dates2018-05-07T00:00:00-07:002018-05-07T00:00:00-07:002018-09574Noticehttps://www.gpo.gov/fdsys/pkg/FR-2018-05-07/pdf/2018-09574.pdfhttps://regulations.justia.com/regulations/fedreg/2018/05/07/2018-09573.htmlNotice - 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 Option2018-05-07T00:00:00-07:002018-05-07T00:00:00-07:002018-09573Noticehttps://www.gpo.gov/fdsys/pkg/FR-2018-05-07/pdf/2018-09573.pdfhttps://regulations.justia.com/regulations/fedreg/2018/05/07/2018-09572.htmlNotice - 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 57452018-05-07T00:00:00-07:002018-05-07T00:00:00-07:002018-09572Noticehttps://www.gpo.gov/fdsys/pkg/FR-2018-05-07/pdf/2018-09572.pdfhttps://regulations.justia.com/regulations/fedreg/2018/05/07/2018-09571.htmlNotice - Self-Regulatory Organizations; Nasdaq PHLX LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Adopt a New Market Order Spread Protection2018-05-07T00:00:00-07:002018-05-07T00:00:00-07:002018-09571Noticehttps://www.gpo.gov/fdsys/pkg/FR-2018-05-07/pdf/2018-09571.pdfhttps://regulations.justia.com/regulations/fedreg/2018/05/04/2018-09559.htmlNotice - 1112 Partners, LLC2018-05-04T00:00:00-07:002018-05-04T00:00:00-07:002018-09559Noticehttps://www.gpo.gov/fdsys/pkg/FR-2018-05-04/pdf/2018-09559.pdfhttps://regulations.justia.com/regulations/fedreg/2018/05/04/2018-09448.htmlNotice - Self-Regulatory Organizations; The Nasdaq Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Rule 4702(b)(5), Rule 4703(d), Rule 4752(d)(2)(B), and Rule 4754(b)(2)(B)2018-05-04T00:00:00-07:002018-05-04T00:00:00-07:002018-09448Noticehttps://www.gpo.gov/fdsys/pkg/FR-2018-05-04/pdf/2018-09448.pdfhttps://regulations.justia.com/regulations/fedreg/2018/05/04/2018-09441.htmlNotice - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Rule 132018-05-04T00:00:00-07:002018-05-04T00:00:00-07:002018-09441Noticehttps://www.gpo.gov/fdsys/pkg/FR-2018-05-04/pdf/2018-09441.pdfhttps://regulations.justia.com/regulations/fedreg/2018/05/03/2018-09345.htmlNotice - Notice of Applications for Deregistration Under Section 8(f) of the Investment Company Act of 19402018-05-03T00:00:00-07:002018-05-03T00:00:00-07:002018-09345Noticehttps://www.gpo.gov/fdsys/pkg/FR-2018-05-03/pdf/2018-09345.pdfhttps://regulations.justia.com/regulations/fedreg/2018/05/03/2018-09341.htmlNotice - Self-Regulatory Organizations; The Nasdaq Stock Market LLC; Notice of Filing of Amendment No. 2 and Order Granting Accelerated Approval of a Proposed Rule Change, as Modified by Amendment No. 2, To Amend Nasdaq Rule 4703(a) To Allow Members To Designate an Order with a RTFY or SCAN Routing Order Attribute To Activate at 7:00 a.m. ET2018-05-03T00:00:00-07:002018-05-03T00:00:00-07:002018-09341Noticehttps://www.gpo.gov/fdsys/pkg/FR-2018-05-03/pdf/2018-09341.pdfhttps://regulations.justia.com/regulations/fedreg/2018/05/03/2018-09340.htmlNotice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing of Proposed Rule Change Regarding the Natixis Loomis Sayles Short Duration Income ETF2018-05-03T00:00:00-07:002018-05-03T00:00:00-07:002018-09340Noticehttps://www.gpo.gov/fdsys/pkg/FR-2018-05-03/pdf/2018-09340.pdfhttps://regulations.justia.com/regulations/fedreg/2018/05/02/2018-09278.htmlNotice - Submission for OMB Review; Comment Request2018-05-02T00:00:00-07:002018-05-02T00:00:00-07:002018-09278Noticehttps://www.gpo.gov/fdsys/pkg/FR-2018-05-02/pdf/2018-09278.pdfhttps://regulations.justia.com/regulations/fedreg/2018/05/02/2018-09272.htmlNotice - Submission for OMB Review; Comment Request2018-05-02T00:00:00-07:002018-05-02T00:00:00-07:002018-09272Noticehttps://www.gpo.gov/fdsys/pkg/FR-2018-05-02/pdf/2018-09272.pdfhttps://regulations.justia.com/regulations/fedreg/2018/05/02/2018-09271.htmlNotice - Submission for OMB Review; Comment Request2018-05-02T00:00:00-07:002018-05-02T00:00:00-07:002018-09271Noticehttps://www.gpo.gov/fdsys/pkg/FR-2018-05-02/pdf/2018-09271.pdfhttps://regulations.justia.com/regulations/fedreg/2018/05/02/2018-09270.htmlNotice - Submission for OMB Review; Comment Request2018-05-02T00:00:00-07:002018-05-02T00:00:00-07:002018-09270Noticehttps://www.gpo.gov/fdsys/pkg/FR-2018-05-02/pdf/2018-09270.pdfhttps://regulations.justia.com/regulations/fedreg/2018/05/02/2018-09265.htmlNotice - Self-Regulatory Organizations; NYSE Arca, Inc.; Order Instituting Proceedings To Determine Whether To Approve or Disapprove a Proposed Rule Change To Adopt New NYSE Arca Rule 8.900-E and To List and Trade Shares of the Royce Pennsylvania ETF; Royce Premier ETF; and Royce Total Return ETF Under Proposed NYSE Arca Rule 8.900-E2018-05-02T00:00:00-07:002018-05-02T00:00:00-07:002018-09265Noticehttps://www.gpo.gov/fdsys/pkg/FR-2018-05-02/pdf/2018-09265.pdfhttps://regulations.justia.com/regulations/fedreg/2018/05/02/2018-09264.htmlNotice - Self-Regulatory Organizations; Nasdaq ISE, LLC; Notice of Designation of Longer Period for Commission Action on Proposed Rule Change To Introduce the ATR Protection for Orders that are Routed to Away Markets2018-05-02T00:00:00-07:002018-05-02T00:00:00-07:002018-09264Noticehttps://www.gpo.gov/fdsys/pkg/FR-2018-05-02/pdf/2018-09264.pdfhttps://regulations.justia.com/regulations/fedreg/2018/05/02/2018-09263.htmlNotice - Self-Regulatory Organizations; Nasdaq GEMX, LLC; Notice of Designation of Longer Period for Commission Action on Proposed Rule Change To Introduce the ATR Protection for Orders That Are Routed to Away Markets2018-05-02T00:00:00-07:002018-05-02T00:00:00-07:002018-09263Noticehttps://www.gpo.gov/fdsys/pkg/FR-2018-05-02/pdf/2018-09263.pdfhttps://regulations.justia.com/regulations/fedreg/2018/05/02/2018-09262.htmlNotice - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Section 902.11 of the Exchange's Listed Company Manual Concerning Fees Applicable to Acquisition Companies for Shares Issued Contingent on the Consummation of a Business Combination2018-05-02T00:00:00-07:002018-05-02T00:00:00-07:002018-09262Noticehttps://www.gpo.gov/fdsys/pkg/FR-2018-05-02/pdf/2018-09262.pdfhttps://regulations.justia.com/regulations/fedreg/2018/05/02/2018-09261.htmlNotice - Self-Regulatory Organizations; Nasdaq MRX, LLC; Notice of Designation of Longer Period for Commission Action on Proposed Rule Change To Introduce the ATR Protection for Orders That Are Routed to Away Markets2018-05-02T00:00:00-07:002018-05-02T00:00:00-07:002018-09261Noticehttps://www.gpo.gov/fdsys/pkg/FR-2018-05-02/pdf/2018-09261.pdfhttps://regulations.justia.com/regulations/fedreg/2018/05/02/2018-09260.htmlNotice - Self-Regulatory Organizations; The Nasdaq Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Certain Rules of the Rule 7000A Series To Make Conforming and Technical Changes2018-05-02T00:00:00-07:002018-05-02T00:00:00-07:002018-09260Noticehttps://www.gpo.gov/fdsys/pkg/FR-2018-05-02/pdf/2018-09260.pdfhttps://regulations.justia.com/regulations/fedreg/2018/05/02/2018-09259.htmlNotice - Self-Regulatory Organizations; Cboe BZX Exchange, Inc.; Notice of Filing of Amendment No. 1 and Order Granting Accelerated Approval of a Proposed Rule Change, as Modified by Amendment No. 1 Thereto, To List and Trade Shares of the Cboe Vest S&P 500® Premium Income ETF Under Rule 14.11(c)(4)2018-05-02T00:00:00-07:002018-05-02T00:00:00-07:002018-09259Noticehttps://www.gpo.gov/fdsys/pkg/FR-2018-05-02/pdf/2018-09259.pdfhttps://regulations.justia.com/regulations/fedreg/2018/05/02/2018-09258.htmlNotice - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Adopt Transaction Fees In Connection with the Exchange's Trading of UTP Securities on Pillar2018-05-02T00:00:00-07:002018-05-02T00:00:00-07:002018-09258Noticehttps://www.gpo.gov/fdsys/pkg/FR-2018-05-02/pdf/2018-09258.pdfhttps://regulations.justia.com/regulations/fedreg/2018/05/02/2018-09257.htmlNotice - Self-Regulatory Organizations; Cboe Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Rule 24.6, Days and Hours of Business2018-05-02T00:00:00-07:002018-05-02T00:00:00-07:002018-09257Noticehttps://www.gpo.gov/fdsys/pkg/FR-2018-05-02/pdf/2018-09257.pdfhttps://regulations.justia.com/regulations/fedreg/2018/05/02/2018-09232.htmlNotice - Redwood Investment Management, LLC and Two Roads Shared Trust2018-05-02T00:00:00-07:002018-05-02T00:00:00-07:002018-09232Noticehttps://www.gpo.gov/fdsys/pkg/FR-2018-05-02/pdf/2018-09232.pdfhttps://regulations.justia.com/regulations/fedreg/2018/05/02/2018-09093.htmlNotice - Proposed Collection; Comment Request2018-05-02T00:00:00-07:002018-05-02T00:00:00-07:002018-09093Noticehttps://www.gpo.gov/fdsys/pkg/FR-2018-05-02/pdf/2018-09093.pdfhttps://regulations.justia.com/regulations/fedreg/2018/05/01/2018-09256.htmlNotice - Sunshine Act Meetings2018-05-01T00:00:00-07:002018-05-01T00:00:00-07:002018-09256Noticehttps://www.gpo.gov/fdsys/pkg/FR-2018-05-01/pdf/2018-09256.pdfhttps://regulations.justia.com/regulations/fedreg/2018/05/01/2018-09115.htmlNotice - Self-Regulatory Organizations; Nasdaq ISE, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the Market Maker Plus Program Under the Schedule of Fees2018-05-01T00:00:00-07:002018-05-01T00:00:00-07:002018-09115Noticehttps://www.gpo.gov/fdsys/pkg/FR-2018-05-01/pdf/2018-09115.pdfhttps://regulations.justia.com/regulations/fedreg/2018/05/01/2018-09114.htmlNotice - Self-Regulatory Organizations; Nasdaq ISE, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Regular Order Fees and Rebates2018-05-01T00:00:00-07:002018-05-01T00:00:00-07:002018-09114Noticehttps://www.gpo.gov/fdsys/pkg/FR-2018-05-01/pdf/2018-09114.pdfhttps://regulations.justia.com/regulations/fedreg/2018/05/01/2018-09113.htmlNotice - Self-Regulatory Organizations; BOX Options Exchange LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Update Rule 6090(a)(4)(ii) To Note the Expiration Date of the Pilot Program for the Listing and Trading of Options Settling to the RealVol SPY Index (“Index”)2018-05-01T00:00:00-07:002018-05-01T00:00:00-07:002018-09113Noticehttps://www.gpo.gov/fdsys/pkg/FR-2018-05-01/pdf/2018-09113.pdfhttps://regulations.justia.com/regulations/fedreg/2018/05/01/2018-09112.htmlNotice - Self-Regulatory Organizations; Cboe BZX Exchange, Inc.; Notice of Designation of a Longer Period for Commission Action on a Proposed Rule Change To List and Trade on the Exchange Shares of Eighteen ADRPLUS Funds of the Precidian ETFs Trust Under Rule 14.11(i), Managed Fund Shares2018-05-01T00:00:00-07:002018-05-01T00:00:00-07:002018-09112Noticehttps://www.gpo.gov/fdsys/pkg/FR-2018-05-01/pdf/2018-09112.pdfhttps://regulations.justia.com/regulations/fedreg/2018/05/01/2018-09111.htmlNotice - Self-Regulatory Organizations; Nasdaq ISE, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Extend the Delay for the Re-introduction of Concurrent Complex Order Auction Functionality2018-05-01T00:00:00-07:002018-05-01T00:00:00-07:002018-09111Noticehttps://www.gpo.gov/fdsys/pkg/FR-2018-05-01/pdf/2018-09111.pdfhttps://regulations.justia.com/regulations/fedreg/2018/05/01/2018-09110.htmlNotice - Self-Regulatory Organizations; NYSE National, Inc.; Notice of Designation of a Longer Period for Commission Action on Proposed Rule Change To Support the Re-Launch of NYSE National, Inc. on the Pillar Trading Platform2018-05-01T00:00:00-07:002018-05-01T00:00:00-07:002018-09110Noticehttps://www.gpo.gov/fdsys/pkg/FR-2018-05-01/pdf/2018-09110.pdfhttps://regulations.justia.com/regulations/fedreg/2018/05/01/2018-09094.htmlNotice - Proposed Collection; Comment Request2018-05-01T00:00:00-07:002018-05-01T00:00:00-07:002018-09094Noticehttps://www.gpo.gov/fdsys/pkg/FR-2018-05-01/pdf/2018-09094.pdf