Securities and Exchange Commission May 2018 – Federal Register Recent Federal Regulation Documents

Notice of Applications for Deregistration Under Section 8(f) of the Investment Company Act of 1940

Document Number: 2018-11729

Type: Notice

Date: 2018-05-31

Agency: Securities and Exchange Commission, Agencies and Commissions

Each applicant seeks an order declaring that it has ceased to be an investment company. Applicants transferred their assets to the Aberdeen Funds and, on May 7, 2018, made final distributions to their shareholders based on net asset value. Aggregate expenses of $704,589 incurred in connection with the reorganizations were paid by the applicants' investment adviser and the acquiring funds' investment adviser. Filing Dates: The applications were filed on May 11, 2018, and amended on May 23, 2018. Applicants' Addresses: 2500 Westchester Avenue, Suite 215, Purchase, New York 10577.

https://regulations.justia.com/regulations/fedreg/2018/05/31/2018-11729.html

Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to District Committee Structure and Governance

Document Number: 2018-11728

Type: Notice

Date: 2018-05-31

Agency: Securities and Exchange Commission, Agencies and Commissions

https://regulations.justia.com/regulations/fedreg/2018/05/31/2018-11728.html

Self-Regulatory Organizations; The Options Clearing Corporation; Order Approving Proposed Rule Change Related to The Options Clearing Corporation's Margin Methodology

Document Number: 2018-11615

Type: Notice

Date: 2018-05-31

Agency: Securities and Exchange Commission, Agencies and Commissions

https://regulations.justia.com/regulations/fedreg/2018/05/31/2018-11615.html

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 Requirement

Document Number: 2018-11614

Type: Notice

Date: 2018-05-31

Agency: Securities and Exchange Commission, Agencies and Commissions

https://regulations.justia.com/regulations/fedreg/2018/05/31/2018-11614.html

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”

Document Number: 2018-11613

Type: Notice

Date: 2018-05-31

Agency: Securities and Exchange Commission, Agencies and Commissions

https://regulations.justia.com/regulations/fedreg/2018/05/31/2018-11613.html

Self-Regulatory Organizations; Nasdaq PHLX LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Related to Risk Protections

Document Number: 2018-11612

Type: Notice

Date: 2018-05-31

Agency: Securities and Exchange Commission, Agencies and Commissions

https://regulations.justia.com/regulations/fedreg/2018/05/31/2018-11612.html

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 Rules

Document Number: 2018-11611

Type: Notice

Date: 2018-05-31

Agency: Securities and Exchange Commission, Agencies and Commissions

https://regulations.justia.com/regulations/fedreg/2018/05/31/2018-11611.html

Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to the Peritus High Yield ETF

Document Number: 2018-11610

Type: Notice

Date: 2018-05-31

Agency: Securities and Exchange Commission, Agencies and Commissions

https://regulations.justia.com/regulations/fedreg/2018/05/31/2018-11610.html

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-E

Document Number: 2018-11609

Type: Notice

Date: 2018-05-31

Agency: Securities and Exchange Commission, Agencies and Commissions

https://regulations.justia.com/regulations/fedreg/2018/05/31/2018-11609.html

Self-Regulatory Organizations; BOX Options Exchange LLC; Notice of Filing of Proposed Rule Change To Adopt IM-7130-1 to Rule 7130

Document Number: 2018-11608

Type: Notice

Date: 2018-05-31

Agency: Securities and Exchange Commission, Agencies and Commissions

https://regulations.justia.com/regulations/fedreg/2018/05/31/2018-11608.html

Self-Regulatory Organizations; BOX Options Exchange LLC; Notice of Filing of Proposed Rule Change To Amend Rules 7150 and 7245

Document Number: 2018-11607

Type: Notice

Date: 2018-05-31

Agency: Securities and Exchange Commission, Agencies and Commissions

https://regulations.justia.com/regulations/fedreg/2018/05/31/2018-11607.html

Submission for OMB Review; Comment Request

Document Number: 2018-11595

Type: Notice

Date: 2018-05-31

Agency: Securities and Exchange Commission, Agencies and Commissions

https://regulations.justia.com/regulations/fedreg/2018/05/31/2018-11595.html

Pioneer ILS Interval Fund and Amundi Pioneer Asset Management, Inc.; Notice of Application

Document Number: 2018-11594

Type: Notice

Date: 2018-05-31

Agency: Securities and Exchange Commission, Agencies and Commissions

https://regulations.justia.com/regulations/fedreg/2018/05/31/2018-11594.html

Proposed Collection; Comment Request

Document Number: 2018-11593

Type: Notice

Date: 2018-05-31

Agency: Securities and Exchange Commission, Agencies and Commissions

https://regulations.justia.com/regulations/fedreg/2018/05/31/2018-11593.html

Sunshine Act Meetings

Document Number: 2018-11630

Type: Notice

Date: 2018-05-30

Agency: Securities and Exchange Commission, Agencies and Commissions

https://regulations.justia.com/regulations/fedreg/2018/05/30/2018-11630.html

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 Regulation

Document Number: 2018-11501

Type: Notice

Date: 2018-05-30

Agency: Securities and Exchange Commission, Agencies and Commissions

https://regulations.justia.com/regulations/fedreg/2018/05/30/2018-11501.html

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 Fees

Document Number: 2018-11500

Type: Notice

Date: 2018-05-30

Agency: Securities and Exchange Commission, Agencies and Commissions

https://regulations.justia.com/regulations/fedreg/2018/05/30/2018-11500.html

Investor Advisory Committee Meeting

Document Number: 2018-11496

Type: Notice

Date: 2018-05-30

Agency: Securities and Exchange Commission, Agencies and Commissions

The Securities and Exchange Commission Investor Advisory Committee, established pursuant to Section 911 of the Dodd-Frank Wall Street Reform and Consumer Protection Act of 2010, is providing notice that it will hold a public meeting in Atlanta, GA. The public is invited to submit written statements to the Committee.

https://regulations.justia.com/regulations/fedreg/2018/05/30/2018-11496.html

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 Fees

Document Number: 2018-11499

Type: Notice

Date: 2018-05-29

Agency: Securities and Exchange Commission, Agencies and Commissions

https://regulations.justia.com/regulations/fedreg/2018/05/29/2018-11499.html

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 Orders

Document Number: 2018-11456

Type: Notice

Date: 2018-05-29

Agency: Securities and Exchange Commission, Agencies and Commissions

https://regulations.justia.com/regulations/fedreg/2018/05/29/2018-11456.html

Self-Regulatory Organizations; The Options Clearing Corporation; Notice of No Objection To Advance Notice Filing Concerning The Options Clearing Corporation's Margin Methodology

Document Number: 2018-11454

Type: Notice

Date: 2018-05-29

Agency: Securities and Exchange Commission, Agencies and Commissions

https://regulations.justia.com/regulations/fedreg/2018/05/29/2018-11454.html

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.

Document Number: 2018-11395

Type: Notice

Date: 2018-05-29

Agency: Securities and Exchange Commission, Agencies and Commissions

https://regulations.justia.com/regulations/fedreg/2018/05/29/2018-11395.html

DMS ETF Trust I, et al.

Document Number: 2018-11365

Type: Notice

Date: 2018-05-29

Agency: Securities and Exchange Commission, Agencies and Commissions

https://regulations.justia.com/regulations/fedreg/2018/05/29/2018-11365.html

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 Trust

Document Number: 2018-11356

Type: Notice

Date: 2018-05-29

Agency: Securities and Exchange Commission, Agencies and Commissions

https://regulations.justia.com/regulations/fedreg/2018/05/29/2018-11356.html

Weiss Strategic Interval Fund and Weiss Multi-Strategy Advisers LLC

Document Number: 2018-11296

Type: Notice

Date: 2018-05-25

Agency: Securities and Exchange Commission, Agencies and Commissions

https://regulations.justia.com/regulations/fedreg/2018/05/25/2018-11296.html

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 Reference

Document Number: 2018-11226

Type: Notice

Date: 2018-05-25

Agency: Securities and Exchange Commission, Agencies and Commissions

https://regulations.justia.com/regulations/fedreg/2018/05/25/2018-11226.html

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 Schedule

Document Number: 2018-11225

Type: Notice

Date: 2018-05-25

Agency: Securities and Exchange Commission, Agencies and Commissions

https://regulations.justia.com/regulations/fedreg/2018/05/25/2018-11225.html

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 Value

Document Number: 2018-11224

Type: Notice

Date: 2018-05-25

Agency: Securities and Exchange Commission, Agencies and Commissions

https://regulations.justia.com/regulations/fedreg/2018/05/25/2018-11224.html

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 ETF

Document Number: 2018-11223

Type: Notice

Date: 2018-05-25

Agency: Securities and Exchange Commission, Agencies and Commissions

https://regulations.justia.com/regulations/fedreg/2018/05/25/2018-11223.html

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 Securities

Document Number: 2018-11222

Type: Notice

Date: 2018-05-25

Agency: Securities and Exchange Commission, Agencies and Commissions

https://regulations.justia.com/regulations/fedreg/2018/05/25/2018-11222.html

Proposed Collection; Comment Request

Document Number: 2018-11219

Type: Notice

Date: 2018-05-25

Agency: Securities and Exchange Commission, Agencies and Commissions

https://regulations.justia.com/regulations/fedreg/2018/05/25/2018-11219.html

Submission for OMB Review; Comment Request

Document Number: 2018-11218

Type: Notice

Date: 2018-05-25

Agency: Securities and Exchange Commission, Agencies and Commissions

https://regulations.justia.com/regulations/fedreg/2018/05/25/2018-11218.html

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”

Document Number: 2018-11093

Type: Notice

Date: 2018-05-24

Agency: Securities and Exchange Commission, Agencies and Commissions

https://regulations.justia.com/regulations/fedreg/2018/05/24/2018-11093.html

Form CRS Relationship Summary; Amendments to Form ADV; Required Disclosures in Retail Communications and Restrictions on the Use of Certain Names or Titles

Document Number: C1-2018-08583

Type: Proposed Rule

Date: 2018-05-23

Agency: Securities and Exchange Commission, Agencies and Commissions

https://regulations.justia.com/regulations/fedreg/2018/05/23/C1-2018-08583.html

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

Document Number: 2018-10986

Type: Notice

Date: 2018-05-23

Agency: Securities and Exchange Commission, Agencies and Commissions

https://regulations.justia.com/regulations/fedreg/2018/05/23/2018-10986.html

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

Document Number: 2018-10980

Type: Notice

Date: 2018-05-23

Agency: Securities and Exchange Commission, Agencies and Commissions

https://regulations.justia.com/regulations/fedreg/2018/05/23/2018-10980.html

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

Document Number: 2018-10979

Type: Notice

Date: 2018-05-23

Agency: Securities and Exchange Commission, Agencies and Commissions

https://regulations.justia.com/regulations/fedreg/2018/05/23/2018-10979.html

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

Document Number: 2018-10978

Type: Notice

Date: 2018-05-23

Agency: Securities and Exchange Commission, Agencies and Commissions

https://regulations.justia.com/regulations/fedreg/2018/05/23/2018-10978.html

Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Order Granting Approval of a Proposed Rule Change Relating to Simplified Arbitration

Document Number: 2018-10977

Type: Notice

Date: 2018-05-23

Agency: Securities and Exchange Commission, Agencies and Commissions

https://regulations.justia.com/regulations/fedreg/2018/05/23/2018-10977.html

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

Document Number: 2018-10976

Type: Notice

Date: 2018-05-23

Agency: Securities and Exchange Commission, Agencies and Commissions

https://regulations.justia.com/regulations/fedreg/2018/05/23/2018-10976.html

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

Document Number: 2018-10975

Type: Notice

Date: 2018-05-23

Agency: Securities and Exchange Commission, Agencies and Commissions

https://regulations.justia.com/regulations/fedreg/2018/05/23/2018-10975.html

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

Document Number: 2018-10974

Type: Notice

Date: 2018-05-23

Agency: Securities and Exchange Commission, Agencies and Commissions

https://regulations.justia.com/regulations/fedreg/2018/05/23/2018-10974.html

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

Document Number: 2018-10973

Type: Notice

Date: 2018-05-23

Agency: Securities and Exchange Commission, Agencies and Commissions

https://regulations.justia.com/regulations/fedreg/2018/05/23/2018-10973.html

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)

Document Number: 2018-10972

Type: Notice

Date: 2018-05-23

Agency: Securities and Exchange Commission, Agencies and Commissions

https://regulations.justia.com/regulations/fedreg/2018/05/23/2018-10972.html

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

Document Number: 2018-10971

Type: Notice

Date: 2018-05-23

Agency: Securities and Exchange Commission, Agencies and Commissions

https://regulations.justia.com/regulations/fedreg/2018/05/23/2018-10971.html

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

Document Number: 2018-10970

Type: Notice

Date: 2018-05-23

Agency: Securities and Exchange Commission, Agencies and Commissions

https://regulations.justia.com/regulations/fedreg/2018/05/23/2018-10970.html

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

Document Number: 2018-10969

Type: Notice

Date: 2018-05-23

Agency: Securities and Exchange Commission, Agencies and Commissions

https://regulations.justia.com/regulations/fedreg/2018/05/23/2018-10969.html

Self-Regulatory Organizations; Nasdaq ISE, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the Exchanges Schedule of Fees

Document Number: 2018-10830

Type: Notice

Date: 2018-05-22

Agency: Securities and Exchange Commission, Agencies and Commissions

https://regulations.justia.com/regulations/fedreg/2018/05/22/2018-10830.html

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 C2

Document Number: 2018-10829

Type: Notice

Date: 2018-05-22

Agency: Securities and Exchange Commission, Agencies and Commissions

https://regulations.justia.com/regulations/fedreg/2018/05/22/2018-10829.html

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 C2

Document Number: 2018-10828

Type: Notice

Date: 2018-05-22

Agency: Securities and Exchange Commission, Agencies and Commissions

https://regulations.justia.com/regulations/fedreg/2018/05/22/2018-10828.html