Federal Register Recent Federal Regulation Documents - Justia Regulation Tracker

Federal Register Recent Federal Regulation Documents - Justia Regulation Tracker - Justia Regulations Tracker https://regulations.justia.com/regulations/fedreg/agencies/securities-and-exchange-commission/2018/07?limit=200&registers=between&min-day=1&max-day=31&mode=atom 2024-04-25T20:25:36-07:00 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/2018/07/31/2018-16277.html Notice - Self-Regulatory Organizations; NYSE National, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Its Schedule of Fees and Rebates 2018-07-31T00:00:00-07:00 2018-07-31T00:00:00-07:00 2018-16277 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-07-31/pdf/2018-16277.pdf https://regulations.justia.com/regulations/fedreg/2018/07/31/2018-16276.html Notice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the NYSE Arca Options Fees and Charges and the NYSE Arca Equities Fees and Charges 2018-07-31T00:00:00-07:00 2018-07-31T00:00:00-07:00 2018-16276 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-07-31/pdf/2018-16276.pdf https://regulations.justia.com/regulations/fedreg/2018/07/31/2018-16275.html Notice - Self-Regulatory Organizations; NYSE American LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Its NYSE American Equities Price List and the NYSE American Options Fee Schedule 2018-07-31T00:00:00-07:00 2018-07-31T00:00:00-07:00 2018-16275 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-07-31/pdf/2018-16275.pdf https://regulations.justia.com/regulations/fedreg/2018/07/31/2018-16274.html Notice - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Its Price List Related to Colocation 2018-07-31T00:00:00-07:00 2018-07-31T00:00:00-07:00 2018-16274 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-07-31/pdf/2018-16274.pdf https://regulations.justia.com/regulations/fedreg/2018/07/31/2018-16273.html Notice - Self-Regulatory Organizations; Nasdaq MRX, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Align Existing Investigatory and Disciplinary Processes and Related Rules With the Investigatory and Disciplinary Processes and Associated Rules of Nasdaq BX, Inc. 2018-07-31T00:00:00-07:00 2018-07-31T00:00:00-07:00 2018-16273 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-07-31/pdf/2018-16273.pdf https://regulations.justia.com/regulations/fedreg/2018/07/31/2018-16272.html Notice - Self-Regulatory Organizations; Nasdaq GEMX, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Align Existing Investigatory and Disciplinary Processes and Related Rules With the Investigatory and Disciplinary Processes and Associated Rules of Nasdaq BX, Inc. 2018-07-31T00:00:00-07:00 2018-07-31T00:00:00-07:00 2018-16272 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-07-31/pdf/2018-16272.pdf https://regulations.justia.com/regulations/fedreg/2018/07/31/2018-16271.html Notice - Self-Regulatory Organizations; Nasdaq ISE, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Align Existing Investigatory and Disciplinary Processes and Related Rules With the Investigatory and Disciplinary Processes and Associated Rules of Nasdaq BX, Inc. 2018-07-31T00:00:00-07:00 2018-07-31T00:00:00-07:00 2018-16271 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-07-31/pdf/2018-16271.pdf https://regulations.justia.com/regulations/fedreg/2018/07/31/2018-16270.html Notice - Self-Regulatory Organizations; The Nasdaq Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Fees and Credits Under Rule 7018(a) 2018-07-31T00:00:00-07:00 2018-07-31T00:00:00-07:00 2018-16270 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-07-31/pdf/2018-16270.pdf https://regulations.justia.com/regulations/fedreg/2018/07/31/2018-14370.html Proposed Rule - Exchange-Traded Funds 2018-07-31T00:00:00-07:00 2018-07-31T00:00:00-07:00

2018-14370 Proposed Rule https://www.gpo.gov/fdsys/pkg/FR-2018-07-31/pdf/2018-14370.pdf https://regulations.justia.com/regulations/fedreg/2018/07/30/2018-16169.html Notice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Withdrawal of a Proposed Rule Change To Adopt a 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 Equities Rule 8.900-E 2018-07-30T00:00:00-07:00 2018-07-30T00:00:00-07:00 2018-16169 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-07-30/pdf/2018-16169.pdf https://regulations.justia.com/regulations/fedreg/2018/07/30/2018-16168.html Notice - Self-Regulatory Organizations; LCH SA; Order Approving Proposed Rule Change Relating to Liquidity Risk Management 2018-07-30T00:00:00-07:00 2018-07-30T00:00:00-07:00 2018-16168 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-07-30/pdf/2018-16168.pdf https://regulations.justia.com/regulations/fedreg/2018/07/30/2018-16167.html Notice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to the Listing and Trading of Shares of the Columbia Multi-Sector Municipal Income ETF 2018-07-30T00:00:00-07:00 2018-07-30T00:00:00-07:00 2018-16167 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-07-30/pdf/2018-16167.pdf https://regulations.justia.com/regulations/fedreg/2018/07/30/2018-16166.html Notice - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing of a Proposed Rule Change To Amend the Arbitrator Payment Rule To Pay Each Arbitrator a $200 Honorarium To Decide Without a Hearing Session a Contested Subpoena Request or a Contested Order for Production or Appearance 2018-07-30T00:00:00-07:00 2018-07-30T00:00:00-07:00 2018-16166 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-07-30/pdf/2018-16166.pdf https://regulations.justia.com/regulations/fedreg/2018/07/30/2018-16165.html Notice - Self-Regulatory Organizations; Nasdaq BX, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Adopt a Rule Concerning Handling of No Bid Options and To Clarify the Operation of Chapter V, Section 3, Entitled “Trading Halts” 2018-07-30T00:00:00-07:00 2018-07-30T00:00:00-07:00 2018-16165 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-07-30/pdf/2018-16165.pdf https://regulations.justia.com/regulations/fedreg/2018/07/30/2018-16164.html Notice - Self-Regulatory Organizations; ICE Clear Credit LLC; Order Approving Proposed Rule Change Relating To Formalization of the ICC Model Validation Framework 2018-07-30T00:00:00-07:00 2018-07-30T00:00:00-07:00 2018-16164 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-07-30/pdf/2018-16164.pdf https://regulations.justia.com/regulations/fedreg/2018/07/30/2018-16163.html Notice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Designation of a Longer Period for Commission Action on a Proposed Rule Change Relating to the Continued Listing Criteria Applicable to the Indexes Underlying the iShares California AMT Free Muni Bond ETF and iShares New York AMT-Free Muni Bond ETF 2018-07-30T00:00:00-07:00 2018-07-30T00:00:00-07:00 2018-16163 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-07-30/pdf/2018-16163.pdf https://regulations.justia.com/regulations/fedreg/2018/07/30/2018-16155.html Notice - Advisors Asset Management, Inc. and ETF Series Solutions; Notice of Application 2018-07-30T00:00:00-07:00 2018-07-30T00:00:00-07:00 2018-16155 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-07-30/pdf/2018-16155.pdf https://regulations.justia.com/regulations/fedreg/2018/07/30/2018-16154.html Notice - OFI Carlyle Private Credit Fund and OC Private Capital, LLC; Notice of Application 2018-07-30T00:00:00-07:00 2018-07-30T00:00:00-07:00 2018-16154 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-07-30/pdf/2018-16154.pdf https://regulations.justia.com/regulations/fedreg/2018/07/27/2018-16110.html Notice - Program for Allocation of Regulatory Responsibilities Pursuant to Rule17d-2; Notice of Filing and Order Approving and Declaring Effective an Amended Plan for the Allocation of Regulatory Responsibilities Among the Financial Industry Regulatory Authority, Inc., Miami International Securities Exchange, LLC, and MIAX PEARL, LLC 2018-07-27T00:00:00-07:00 2018-07-27T00:00:00-07:00 2018-16110 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-07-27/pdf/2018-16110.pdf https://regulations.justia.com/regulations/fedreg/2018/07/27/2018-16023.html Notice - Self-Regulatory Organizations; NYSE National, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Its Schedule of Fees and Rebates To Adopt Two New Adding Tiers and Regulatory Fees in Connection With Use of the Central Registration Depository 2018-07-27T00:00:00-07:00 2018-07-27T00:00:00-07:00 2018-16023 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-07-27/pdf/2018-16023.pdf https://regulations.justia.com/regulations/fedreg/2018/07/25/2018-15926.html Notice - Securities Exchange Act of 1934; Order Scheduling Filing of Statements on Review; in the Matter of the Investors Exchange LLC; for an Order Granting the Approval of Proposed Rule Change To Establish a New Optional Listing Category on the Exchange, “LTSE Listings on IEX” (File No. SR-IEX-2018-06) 2018-07-25T00:00:00-07:00 2018-07-25T00:00:00-07:00 2018-15926 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-07-25/pdf/2018-15926.pdf https://regulations.justia.com/regulations/fedreg/2018/07/25/2018-15900.html Notice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Designation of a Longer Period for Commission Action on Proceedings To Determine Whether To Approve or Disapprove a Proposed Rule Change To Adopt a 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 Equities Rule 8.900-E 2018-07-25T00:00:00-07:00 2018-07-25T00:00:00-07:00 2018-15900 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-07-25/pdf/2018-15900.pdf https://regulations.justia.com/regulations/fedreg/2018/07/25/2018-15861.html Notice - IndexIQ ETF Trust, et al. 2018-07-25T00:00:00-07:00 2018-07-25T00:00:00-07:00 2018-15861 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-07-25/pdf/2018-15861.pdf https://regulations.justia.com/regulations/fedreg/2018/07/25/2018-15857.html Notice - Proposed Collection; Comment Request 2018-07-25T00:00:00-07:00 2018-07-25T00:00:00-07:00 2018-15857 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-07-25/pdf/2018-15857.pdf https://regulations.justia.com/regulations/fedreg/2018/07/25/2018-15856.html Notice - Submission for OMB Review; Comment Request 2018-07-25T00:00:00-07:00 2018-07-25T00:00:00-07:00 2018-15856 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-07-25/pdf/2018-15856.pdf https://regulations.justia.com/regulations/fedreg/2018/07/25/2018-15855.html Notice - Submission for OMB Review; Comment Request 2018-07-25T00:00:00-07:00 2018-07-25T00:00:00-07:00 2018-15855 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-07-25/pdf/2018-15855.pdf https://regulations.justia.com/regulations/fedreg/2018/07/25/2018-15854.html Notice - Proposed Collection; Comment Request 2018-07-25T00:00:00-07:00 2018-07-25T00:00:00-07:00 2018-15854 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-07-25/pdf/2018-15854.pdf https://regulations.justia.com/regulations/fedreg/2018/07/25/2018-15853.html Notice - Proposed Collection; Comment Request 2018-07-25T00:00:00-07:00 2018-07-25T00:00:00-07:00 2018-15853 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-07-25/pdf/2018-15853.pdf https://regulations.justia.com/regulations/fedreg/2018/07/25/2018-15852.html Notice - Submission for OMB Review; Comment Request 2018-07-25T00:00:00-07:00 2018-07-25T00:00:00-07:00 2018-15852 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-07-25/pdf/2018-15852.pdf https://regulations.justia.com/regulations/fedreg/2018/07/25/2018-15851.html Notice - Submission for OMB Review; Comment Request 2018-07-25T00:00:00-07:00 2018-07-25T00:00:00-07:00 2018-15851 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-07-25/pdf/2018-15851.pdf https://regulations.justia.com/regulations/fedreg/2018/07/25/2018-15849.html Notice - Self-Regulatory Organizations; Cboe EDGX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Exchange Rule 11.6, Definitions, To Amend the Operation of the Super Aggressive Order Instruction 2018-07-25T00:00:00-07:00 2018-07-25T00:00:00-07:00 2018-15849 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-07-25/pdf/2018-15849.pdf https://regulations.justia.com/regulations/fedreg/2018/07/25/2018-15848.html Notice - Self-Regulatory Organizations; Cboe BZX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Exchange Rule 11.13, Order Execution and Routing, To Amend the Operation of the Super Aggressive Order Instruction 2018-07-25T00:00:00-07:00 2018-07-25T00:00:00-07:00 2018-15848 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-07-25/pdf/2018-15848.pdf https://regulations.justia.com/regulations/fedreg/2018/07/25/2018-15847.html Notice - Self-Regulatory Organizations; Cboe Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Extend the Credit Option Margin Pilot Program Through July 18, 2019 2018-07-25T00:00:00-07:00 2018-07-25T00:00:00-07:00 2018-15847 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-07-25/pdf/2018-15847.pdf https://regulations.justia.com/regulations/fedreg/2018/07/25/2018-15846.html Notice - Self-Regulatory Organizations; The Nasdaq Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Rule 7015(b) To Provide for Port Connectivity the FINRA/Nasdaq Trade Reporting Facility Chicago 2018-07-25T00:00:00-07:00 2018-07-25T00:00:00-07:00 2018-15846 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-07-25/pdf/2018-15846.pdf https://regulations.justia.com/regulations/fedreg/2018/07/24/2018-15858.html Notice - Sunshine Act Meetings 2018-07-24T00:00:00-07:00 2018-07-24T00:00:00-07:00 2018-15858 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-07-24/pdf/2018-15858.pdf https://regulations.justia.com/regulations/fedreg/2018/07/24/2018-15771.html Notice - Self-Regulatory Organizations; ICE Clear Credit LLC; Notice of Filing of Proposed Rule Change Relating to ICC's Risk Management Model Description Document and ICC's Risk Management Framework 2018-07-24T00:00:00-07:00 2018-07-24T00:00:00-07:00 2018-15771 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-07-24/pdf/2018-15771.pdf https://regulations.justia.com/regulations/fedreg/2018/07/24/2018-15770.html Notice - Self-Regulatory Organizations; ICE Clear Europe Limited; Notice of Filing of Proposed Rule Change Relating to Amendments to the ICE Clear Europe CDS End-of-Day Price Discovery Policy (“Price Discovery Policy”) 2018-07-24T00:00:00-07:00 2018-07-24T00:00:00-07:00 2018-15770 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-07-24/pdf/2018-15770.pdf https://regulations.justia.com/regulations/fedreg/2018/07/24/2018-15769.html Notice - Self-Regulatory Organizations; The Depository Trust Company; Notice of Filing of Proposed Rule Change To Amend Rule 35 To Provide for Designated Accounts for Use With Designated Collateral Management Service Providers 2018-07-24T00:00:00-07:00 2018-07-24T00:00:00-07:00 2018-15769 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-07-24/pdf/2018-15769.pdf https://regulations.justia.com/regulations/fedreg/2018/07/24/2018-15768.html Notice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Designation of a Longer Period for Commission Action on Proceedings To Determine Whether To Approve or Disapprove a Proposed Rule Change Relating to Listing and Trading of the Direxion Daily Bitcoin Bear 1X Shares, Direxion Daily Bitcoin 1.25X Bull Shares, Direxion Daily Bitcoin 1.5X Bull Shares, Direxion Daily Bitcoin 2X Bull Shares and Direxion Daily Bitcoin 2X Bear Shares Under NYSE Arca Rule 8.200-E 2018-07-24T00:00:00-07:00 2018-07-24T00:00:00-07:00 2018-15768 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-07-24/pdf/2018-15768.pdf https://regulations.justia.com/regulations/fedreg/2018/07/24/2018-15767.html Notice - Self-Regulatory Organizations; Nasdaq ISE, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the Exchange's Schedule of Fees To Waive Fees and Rebates for Trades in NQX Options 2018-07-24T00:00:00-07:00 2018-07-24T00:00:00-07:00 2018-15767 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-07-24/pdf/2018-15767.pdf https://regulations.justia.com/regulations/fedreg/2018/07/24/2018-15766.html Notice - Self-Regulatory Organizations; National Securities Clearing Corporation; Notice of Filing of a Proposed Rule Change To Terminate the Commission Billing Service and the Commission Billing Limited Membership 2018-07-24T00:00:00-07:00 2018-07-24T00:00:00-07:00 2018-15766 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-07-24/pdf/2018-15766.pdf https://regulations.justia.com/regulations/fedreg/2018/07/24/2018-15765.html Notice - Self-Regulatory Organizations; NYSE American LLC; Notice of Designation of a Longer Period for Commission Action on a Proposed Rule Change To Amend Exchange Rule 7.35E Relating to the Auction Reference Price for a Trading Halt Auction Following a Regulatory Halt 2018-07-24T00:00:00-07:00 2018-07-24T00:00:00-07:00 2018-15765 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-07-24/pdf/2018-15765.pdf https://regulations.justia.com/regulations/fedreg/2018/07/24/2018-15731.html Proposed Rule - Concept Release on Compensatory Securities Offerings and Sales 2018-07-24T00:00:00-07:00 2018-07-24T00:00:00-07:00

2018-15731 Proposed Rule https://www.gpo.gov/fdsys/pkg/FR-2018-07-24/pdf/2018-15731.pdf https://regulations.justia.com/regulations/fedreg/2018/07/24/2018-15730.html Rule - Exempt Offerings Pursuant to Compensatory Arrangements 2018-07-24T00:00:00-07:00 2018-07-24T00:00:00-07:00

2018-15730 Rule https://www.gpo.gov/fdsys/pkg/FR-2018-07-24/pdf/2018-15730.pdf https://regulations.justia.com/regulations/fedreg/2018/07/23/2018-15647.html Notice - Self-Regulatory Organizations; Nasdaq PHLX 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 Extend the Applicability of the Floor Broker Management System and the Snapshot Functionality to Registered Options Traders and Specialists 2018-07-23T00:00:00-07:00 2018-07-23T00:00:00-07:00 2018-15647 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-07-23/pdf/2018-15647.pdf https://regulations.justia.com/regulations/fedreg/2018/07/23/2018-15646.html Notice - Self-Regulatory Organizations; National Securities Clearing Corporation; Notice of Filing of and Immediate Effectiveness of a Proposed Rule Change To Clarify and Enhance Rules Related to the CNS Reorganization Processing System and NSCC's Authority To Reveal the Identity of Counterparties in Certain Circumstances 2018-07-23T00:00:00-07:00 2018-07-23T00:00:00-07:00 2018-15646 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-07-23/pdf/2018-15646.pdf https://regulations.justia.com/regulations/fedreg/2018/07/23/2018-15645.html Notice - Self-Regulatory Organizations; The Nasdaq Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend The Nasdaq Options Market LLC (“NOM”) Rules Relating to Market Maker Quotations 2018-07-23T00:00:00-07:00 2018-07-23T00:00:00-07:00 2018-15645 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-07-23/pdf/2018-15645.pdf https://regulations.justia.com/regulations/fedreg/2018/07/23/2018-15644.html Notice - Self-Regulatory Organizations; ICE Clear Europe Limited; Order Approving Proposed Rule Changes Related to the ICE Clear Europe Recovery and Wind-Down Plans 2018-07-23T00:00:00-07:00 2018-07-23T00:00:00-07:00 2018-15644 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-07-23/pdf/2018-15644.pdf https://regulations.justia.com/regulations/fedreg/2018/07/20/2018-15673.html Notice - Sunshine Act Meetings 2018-07-20T00:00:00-07:00 2018-07-20T00:00:00-07:00 2018-15673 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-07-20/pdf/2018-15673.pdf https://regulations.justia.com/regulations/fedreg/2018/07/20/2018-15507.html Notice - Self-Regulatory Organizations; BOX Options Exchange LLC; Notice of Designation of Longer Period for Commission Action on Proposed Rule Change To Adopt Rules Governing the Trading of Complex Qualified Contingent Cross and Complex Customer Cross Orders 2018-07-20T00:00:00-07:00 2018-07-20T00:00:00-07:00 2018-15507 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-07-20/pdf/2018-15507.pdf https://regulations.justia.com/regulations/fedreg/2018/07/20/2018-15506.html Notice - 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. 2018-07-20T00:00:00-07:00 2018-07-20T00:00:00-07:00 2018-15506 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-07-20/pdf/2018-15506.pdf https://regulations.justia.com/regulations/fedreg/2018/07/20/2018-15505.html Notice - Self-Regulatory Organizations; Cboe EDGA Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Related to Fees for Use on Cboe EDGA Exchange, Inc. 2018-07-20T00:00:00-07:00 2018-07-20T00:00:00-07:00 2018-15505 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-07-20/pdf/2018-15505.pdf https://regulations.justia.com/regulations/fedreg/2018/07/20/2018-15504.html Notice - Self-Regulatory Organizations; Nasdaq MRX, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend MRX Rule 723 2018-07-20T00:00:00-07:00 2018-07-20T00:00:00-07:00 2018-15504 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-07-20/pdf/2018-15504.pdf https://regulations.justia.com/regulations/fedreg/2018/07/20/2018-15503.html Notice - Self-Regulatory Organizations; Nasdaq ISE, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the Exchange's Schedule of Fees To Add Establish Fees and Rebates for NQX Options and Make Several Clarifying Changes 2018-07-20T00:00:00-07:00 2018-07-20T00:00:00-07:00 2018-15503 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-07-20/pdf/2018-15503.pdf https://regulations.justia.com/regulations/fedreg/2018/07/20/2018-15502.html Notice - Self-Regulatory Organizations; Nasdaq BX, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend BX Rules at Chapter VII, Section 6 Related to Market Maker Quotations, Section 14 Related to Lead Market Maker Quotations and Section 15 Related to Directed Market Maker Quotations 2018-07-20T00:00:00-07:00 2018-07-20T00:00:00-07:00 2018-15502 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-07-20/pdf/2018-15502.pdf https://regulations.justia.com/regulations/fedreg/2018/07/20/2018-15501.html Notice - Self-Regulatory Organizations; Nasdaq GEMX, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Improvement Orders Entered Into the Price Improvement Mechanism 2018-07-20T00:00:00-07:00 2018-07-20T00:00:00-07:00 2018-15501 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-07-20/pdf/2018-15501.pdf https://regulations.justia.com/regulations/fedreg/2018/07/20/2018-15499.html Notice - Self-Regulatory Organizations; Nasdaq ISE, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend ISE Rule 723 2018-07-20T00:00:00-07:00 2018-07-20T00:00:00-07:00 2018-15499 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-07-20/pdf/2018-15499.pdf https://regulations.justia.com/regulations/fedreg/2018/07/20/2018-15498.html Notice - 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. 2018-07-20T00:00:00-07:00 2018-07-20T00:00:00-07:00 2018-15498 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-07-20/pdf/2018-15498.pdf https://regulations.justia.com/regulations/fedreg/2018/07/20/2018-15497.html Notice - 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. 2018-07-20T00:00:00-07:00 2018-07-20T00:00:00-07:00 2018-15497 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-07-20/pdf/2018-15497.pdf https://regulations.justia.com/regulations/fedreg/2018/07/20/2018-14411.html Proposed Rule - Whistleblower Program Rules 2018-07-20T00:00:00-07:00 2018-07-20T00:00:00-07:00

2018-14411 Proposed Rule https://www.gpo.gov/fdsys/pkg/FR-2018-07-20/pdf/2018-14411.pdf https://regulations.justia.com/regulations/fedreg/2018/07/19/2018-15382.html Notice - Submission for OMB Review; Comment Request 2018-07-19T00:00:00-07:00 2018-07-19T00:00:00-07:00 2018-15382 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-07-19/pdf/2018-15382.pdf https://regulations.justia.com/regulations/fedreg/2018/07/19/2018-15381.html Notice - Proposed Collection; Comment Request 2018-07-19T00:00:00-07:00 2018-07-19T00:00:00-07:00 2018-15381 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-07-19/pdf/2018-15381.pdf https://regulations.justia.com/regulations/fedreg/2018/07/19/2018-15380.html Notice - Submission for OMB Review; Comment Request 2018-07-19T00:00:00-07:00 2018-07-19T00:00:00-07:00 2018-15380 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-07-19/pdf/2018-15380.pdf https://regulations.justia.com/regulations/fedreg/2018/07/19/2018-15379.html Notice - Proposed Collection; Comment Request 2018-07-19T00:00:00-07:00 2018-07-19T00:00:00-07:00 2018-15379 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-07-19/pdf/2018-15379.pdf https://regulations.justia.com/regulations/fedreg/2018/07/19/2018-15378.html Notice - Submission for OMB Review; Comment Request 2018-07-19T00:00:00-07:00 2018-07-19T00:00:00-07:00 2018-15378 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-07-19/pdf/2018-15378.pdf https://regulations.justia.com/regulations/fedreg/2018/07/19/2018-15377.html Notice - Submission for OMB Review; Comment Request 2018-07-19T00:00:00-07:00 2018-07-19T00:00:00-07:00 2018-15377 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-07-19/pdf/2018-15377.pdf https://regulations.justia.com/regulations/fedreg/2018/07/19/2018-15376.html Notice - Submission for OMB Review; Comment Request 2018-07-19T00:00:00-07:00 2018-07-19T00:00:00-07:00 2018-15376 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-07-19/pdf/2018-15376.pdf https://regulations.justia.com/regulations/fedreg/2018/07/19/2018-15375.html Notice - Submission for OMB Review; Comment Request 2018-07-19T00:00:00-07:00 2018-07-19T00:00:00-07:00 2018-15375 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-07-19/pdf/2018-15375.pdf https://regulations.justia.com/regulations/fedreg/2018/07/19/2018-15374.html Notice - Submission for OMB Review; Comment Request 2018-07-19T00:00:00-07:00 2018-07-19T00:00:00-07:00 2018-15374 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-07-19/pdf/2018-15374.pdf https://regulations.justia.com/regulations/fedreg/2018/07/19/2018-15373.html Notice - Submission for OMB Review; Comment Request 2018-07-19T00:00:00-07:00 2018-07-19T00:00:00-07:00 2018-15373 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-07-19/pdf/2018-15373.pdf https://regulations.justia.com/regulations/fedreg/2018/07/19/2018-15370.html Notice - Self-Regulatory Organizations; Chicago Stock Exchange, Inc.; Notice of Filing of Amendment Nos. 2 and 3 and Order Granting Accelerated Approval of a Proposed Rule Change, as Modified by Amendments Nos. 1, 2, and 3 Thereto, in Connection With a Proposed Transaction Involving CHX Holdings, Inc. and the Intercontinental Exchange, Inc. 2018-07-19T00:00:00-07:00 2018-07-19T00:00:00-07:00 2018-15370 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-07-19/pdf/2018-15370.pdf https://regulations.justia.com/regulations/fedreg/2018/07/19/2018-15369.html Notice - Self-Regulatory Organizations; Investors Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Discontinue the Router Basic Routing Option 2018-07-19T00:00:00-07:00 2018-07-19T00:00:00-07:00 2018-15369 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-07-19/pdf/2018-15369.pdf https://regulations.justia.com/regulations/fedreg/2018/07/19/2018-15368.html Notice - Self-Regulatory Organizations; National Securities Clearing Corporation; Notice of Filing of Amendment No. 1 to a Proposed Rule Change To Amend the Loss Allocation Rules and Make Other Changes 2018-07-19T00:00:00-07:00 2018-07-19T00:00:00-07:00 2018-15368 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-07-19/pdf/2018-15368.pdf https://regulations.justia.com/regulations/fedreg/2018/07/19/2018-15367.html Notice - Self-Regulatory Organizations; National Securities Clearing Corporation; Notice of Filing of Amendment No. 1 to a Proposed Rule Change To Adopt a Recovery and Wind-Down Plan and Related Rules 2018-07-19T00:00:00-07:00 2018-07-19T00:00:00-07:00 2018-15367 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-07-19/pdf/2018-15367.pdf https://regulations.justia.com/regulations/fedreg/2018/07/19/2018-15366.html Notice - Self-Regulatory Organizations; Fixed Income Clearing Corporation; Notice of Filing of Amendment No. 1 to a Proposed Rule Change To Amend the Loss Allocation Rules and Make Other Changes 2018-07-19T00:00:00-07:00 2018-07-19T00:00:00-07:00 2018-15366 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-07-19/pdf/2018-15366.pdf https://regulations.justia.com/regulations/fedreg/2018/07/19/2018-15365.html Notice - Self-Regulatory Organizations; Fixed Income Clearing Corporation; Notice of Filing of Amendment No. 1 to a Proposed Rule Change To Adopt a Recovery & Wind-down Plan and Related Rules 2018-07-19T00:00:00-07:00 2018-07-19T00:00:00-07:00 2018-15365 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-07-19/pdf/2018-15365.pdf https://regulations.justia.com/regulations/fedreg/2018/07/19/2018-15364.html Notice - Self-Regulatory Organizations; The Depository Trust Company; Notice of Filing of Amendment No. 1 to a Proposed Rule Change To Amend the Loss Allocation Rules and Make Other Changes 2018-07-19T00:00:00-07:00 2018-07-19T00:00:00-07:00 2018-15364 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-07-19/pdf/2018-15364.pdf https://regulations.justia.com/regulations/fedreg/2018/07/19/2018-15363.html Notice - Self-Regulatory Organizations; The Depository Trust Company; Notice of Filing of Amendment No. 1 to a Proposed Rule Change To Adopt a Recovery & Wind-Down Plan and Related Rules 2018-07-19T00:00:00-07:00 2018-07-19T00:00:00-07:00 2018-15363 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-07-19/pdf/2018-15363.pdf https://regulations.justia.com/regulations/fedreg/2018/07/18/2018-15290.html Notice - Self-Regulatory Organizations; BOX Options Exchange LLC; Order Granting Approval of a Proposed Rule Change To Adopt IM-7130-1 to Rule 7130 2018-07-18T00:00:00-07:00 2018-07-18T00:00:00-07:00 2018-15290 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-07-18/pdf/2018-15290.pdf https://regulations.justia.com/regulations/fedreg/2018/07/18/2018-15289.html Notice - Self-Regulatory Organizations; The Nasdaq Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend The Nasdaq Options Market LLC (“NOM”) Rules and Adopt a Zero Bid Options Rule 2018-07-18T00:00:00-07:00 2018-07-18T00:00:00-07:00 2018-15289 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-07-18/pdf/2018-15289.pdf https://regulations.justia.com/regulations/fedreg/2018/07/17/2018-15292.html Notice - Sunshine Act Meetings 2018-07-17T00:00:00-07:00 2018-07-17T00:00:00-07:00 2018-15292 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-07-17/pdf/2018-15292.pdf https://regulations.justia.com/regulations/fedreg/2018/07/17/2018-15247.html Rule - Adoption of Updated EDGAR Filer Manual 2018-07-17T00:00:00-07:00 2018-07-17T00:00:00-07:00

2018-15247 Rule https://www.gpo.gov/fdsys/pkg/FR-2018-07-17/pdf/2018-15247.pdf https://regulations.justia.com/regulations/fedreg/2018/07/17/2018-15177.html Notice - Self-Regulatory Organizations; The Nasdaq Stock Market LLC; Notice of Filing of Proposed Rule Change Relating to the First Trust Senior Loan Fund of First Trust Exchange Traded Fund IV 2018-07-17T00:00:00-07:00 2018-07-17T00:00:00-07:00 2018-15177 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-07-17/pdf/2018-15177.pdf https://regulations.justia.com/regulations/fedreg/2018/07/17/2018-15174.html Notice - TriLine Index Solutions, LLC and ETF Series Solutions 2018-07-17T00:00:00-07:00 2018-07-17T00:00:00-07:00 2018-15174 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-07-17/pdf/2018-15174.pdf https://regulations.justia.com/regulations/fedreg/2018/07/17/2018-15173.html Notice - SL Advisors, LLC and ETF Series Solutions 2018-07-17T00:00:00-07:00 2018-07-17T00:00:00-07:00 2018-15173 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-07-17/pdf/2018-15173.pdf https://regulations.justia.com/regulations/fedreg/2018/07/17/2018-13502.html Proposed Rule - Proposed Revisions to Prohibitions and Restrictions on Proprietary Trading and Certain Interests in, and Relationships With, Hedge Funds and Private Equity Funds 2018-07-17T00:00:00-07:00 2018-07-17T00:00:00-07:00

2018-13502 Proposed Rule https://www.gpo.gov/fdsys/pkg/FR-2018-07-17/pdf/2018-13502.pdf https://regulations.justia.com/regulations/fedreg/2018/07/16/2018-15233.html Notice - Sunshine Act Meeting 2018-07-16T00:00:00-07:00 2018-07-16T00:00:00-07:00 2018-15233 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-07-16/pdf/2018-15233.pdf https://regulations.justia.com/regulations/fedreg/2018/07/16/2018-15178.html Notice - Self-Regulatory Organizations: Notice of Filing of a Proposed Rule Change by Miami International Securities Exchange, LLC to List and Trade on the Exchange Options on the SPIKESTM 2018-07-16T00:00:00-07:00 2018-07-16T00:00:00-07:00 2018-15178 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-07-16/pdf/2018-15178.pdf https://regulations.justia.com/regulations/fedreg/2018/07/16/2018-15083.html Notice - Self-Regulatory Organizations; NYSE American LLC; Notice of Filing and Immediate Effectiveness of Proposed Change To Modify the NYSE American Options Fee Schedule 2018-07-16T00:00:00-07:00 2018-07-16T00:00:00-07:00 2018-15083 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-07-16/pdf/2018-15083.pdf https://regulations.justia.com/regulations/fedreg/2018/07/16/2018-15082.html Notice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Modify the NYSE Arca Options Fee Schedule 2018-07-16T00:00:00-07:00 2018-07-16T00:00:00-07:00 2018-15082 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-07-16/pdf/2018-15082.pdf https://regulations.justia.com/regulations/fedreg/2018/07/16/2018-15078.html Notice - Charles Schwab & Co. Inc. and Charles Schwab Investment Management, Inc. 2018-07-16T00:00:00-07:00 2018-07-16T00:00:00-07:00 2018-15078 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-07-16/pdf/2018-15078.pdf https://regulations.justia.com/regulations/fedreg/2018/07/16/2018-15068.html Notice - DMS ETF Trust I, et al. 2018-07-16T00:00:00-07:00 2018-07-16T00:00:00-07:00 2018-15068 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-07-16/pdf/2018-15068.pdf https://regulations.justia.com/regulations/fedreg/2018/07/13/C1-2018-13378.html Notice - Self-Regulatory Organizations; LCH SA; Notice of Filing of Proposed Rule Change Relating to Liquidity Risk Management 2018-07-13T00:00:00-07:00 2018-07-13T00:00:00-07:00 C1-2018-13378 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-07-13/pdf/C1-2018-13378.pdf https://regulations.justia.com/regulations/fedreg/2018/07/13/2018-14963.html Notice - AB Private Credit Investors Corp., et al. 2018-07-13T00:00:00-07:00 2018-07-13T00:00:00-07:00 2018-14963 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-07-13/pdf/2018-14963.pdf https://regulations.justia.com/regulations/fedreg/2018/07/13/2018-14962.html Notice - Self-Regulatory Organizations; Investors Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Rule 16.160 To Remove Form 19b-4(e) Filing Requirement 2018-07-13T00:00:00-07:00 2018-07-13T00:00:00-07:00 2018-14962 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-07-13/pdf/2018-14962.pdf https://regulations.justia.com/regulations/fedreg/2018/07/11/2018-14960.html Notice - Sunshine Act Meetings 2018-07-11T00:00:00-07:00 2018-07-11T00:00:00-07:00 2018-14960 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-07-11/pdf/2018-14960.pdf https://regulations.justia.com/regulations/fedreg/2018/07/11/2018-14850.html Notice - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing of Proposed Rule Change, as Modified by Amendment No. 1, To Require Certain Member Organizations To Participate in Scheduled Market-Wide Circuit Breaker Testing 2018-07-11T00:00:00-07:00 2018-07-11T00:00:00-07:00 2018-14850 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-07-11/pdf/2018-14850.pdf https://regulations.justia.com/regulations/fedreg/2018/07/11/2018-14849.html Notice - Self-Regulatory Organizations; Cboe EDGX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Related to Fees for Use on the Exchange's Equity Options Platform 2018-07-11T00:00:00-07:00 2018-07-11T00:00:00-07:00 2018-14849 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-07-11/pdf/2018-14849.pdf https://regulations.justia.com/regulations/fedreg/2018/07/11/2018-14848.html Notice - Self-Regulatory Organizations; Cboe EDGX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Related to Fees for Use on the Exchange's Equity Options Platform 2018-07-11T00:00:00-07:00 2018-07-11T00:00:00-07:00 2018-14848 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-07-11/pdf/2018-14848.pdf https://regulations.justia.com/regulations/fedreg/2018/07/11/2018-14844.html Notice - Blackstone/GSO Floating Rate Enhanced Income Fund, et al. 2018-07-11T00:00:00-07:00 2018-07-11T00:00:00-07:00 2018-14844 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-07-11/pdf/2018-14844.pdf https://regulations.justia.com/regulations/fedreg/2018/07/11/2018-14843.html Notice - DMS ETF Trust I, et al. 2018-07-11T00:00:00-07:00 2018-07-11T00:00:00-07:00 2018-14843 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-07-11/pdf/2018-14843.pdf https://regulations.justia.com/regulations/fedreg/2018/07/11/2018-14789.html Notice - Self-Regulatory Organizations; Cboe BZX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend BZX Rule 14.13, Company Listing Fees 2018-07-11T00:00:00-07:00 2018-07-11T00:00:00-07:00 2018-14789 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-07-11/pdf/2018-14789.pdf https://regulations.justia.com/regulations/fedreg/2018/07/11/2018-14788.html Notice - Self-Regulatory Organizations; Cboe BZX Exchange, Inc.; Notice of Filing of a Proposed Rule Change To Amend BZX Rule 14.8, General Listings Requirements-Tier I 2018-07-11T00:00:00-07:00 2018-07-11T00:00:00-07:00 2018-14788 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-07-11/pdf/2018-14788.pdf https://regulations.justia.com/regulations/fedreg/2018/07/11/2018-14752.html Notice - Self-Regulatory Organizations; Cboe BZX Exchange, Inc.; Notice of Filing of a Proposed Rule Change To Amend BZX Rule 14.11(c), Index Fund Shares 2018-07-11T00:00:00-07:00 2018-07-11T00:00:00-07:00 2018-14752 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-07-11/pdf/2018-14752.pdf https://regulations.justia.com/regulations/fedreg/2018/07/11/2018-14751.html Notice - Self-Regulatory Organizations; The Nasdaq Stock Market LLC; Notice of Designation of Longer Period for Commission Action on Proposed Rule Change To Amend Rule 4702(b)(14) To Establish a Price Improvement Only Variation on the Midpoint Extended Life Order 2018-07-11T00:00:00-07:00 2018-07-11T00:00:00-07:00 2018-14751 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-07-11/pdf/2018-14751.pdf https://regulations.justia.com/regulations/fedreg/2018/07/10/2018-14790.html Notice - Sunshine Act Meetings 2018-07-10T00:00:00-07:00 2018-07-10T00:00:00-07:00 2018-14790 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-07-10/pdf/2018-14790.pdf https://regulations.justia.com/regulations/fedreg/2018/07/10/2018-14366.html Rule - Investment Company Liquidity Disclosure 2018-07-10T00:00:00-07:00 2018-07-10T00:00:00-07:00

2018-14366 Rule https://www.gpo.gov/fdsys/pkg/FR-2018-07-10/pdf/2018-14366.pdf https://regulations.justia.com/regulations/fedreg/2018/07/10/2018-14306.html Rule - Smaller Reporting Company Definition 2018-07-10T00:00:00-07:00 2018-07-10T00:00:00-07:00

2018-14306 Rule https://www.gpo.gov/fdsys/pkg/FR-2018-07-10/pdf/2018-14306.pdf https://regulations.justia.com/regulations/fedreg/2018/07/09/2018-14669.html Notice - Self-Regulatory Organizations; National Futures Association; Notice of Filing and Immediate Effectiveness of Proposed Change to the Interpretive Notice to NFA Compliance Rule 2-30(b): Risk Disclosure Statement for Security Futures Contracts 2018-07-09T00:00:00-07:00 2018-07-09T00:00:00-07:00 2018-14669 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-07-09/pdf/2018-14669.pdf https://regulations.justia.com/regulations/fedreg/2018/07/09/2018-14667.html Notice - Self-Regulatory Organizations; The Nasdaq Stock Market LLC; Notice of Designation of a Longer Period for Commission Action on Proceedings To Determine Whether To Approve or Disapprove a Proposed Rule Change To List and Trade the Shares of the Western Asset Total Return ETF 2018-07-09T00:00:00-07:00 2018-07-09T00:00:00-07:00 2018-14667 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-07-09/pdf/2018-14667.pdf https://regulations.justia.com/regulations/fedreg/2018/07/09/2018-14666.html Notice - Self-Regulatory Organizations; Cboe Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Its Fees Schedule With Respect to Expiring Fee Waivers and Remove the FLEX Trader Incentive Program 2018-07-09T00:00:00-07:00 2018-07-09T00:00:00-07:00 2018-14666 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-07-09/pdf/2018-14666.pdf https://regulations.justia.com/regulations/fedreg/2018/07/09/2018-14662.html Notice - Vivaldi Opportunities Fund and Vivaldi Asset Management, LLC 2018-07-09T00:00:00-07:00 2018-07-09T00:00:00-07:00 2018-14662 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-07-09/pdf/2018-14662.pdf https://regulations.justia.com/regulations/fedreg/2018/07/09/2018-14658.html Notice - Altaba Inc. 2018-07-09T00:00:00-07:00 2018-07-09T00:00:00-07:00 2018-14658 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-07-09/pdf/2018-14658.pdf https://regulations.justia.com/regulations/fedreg/2018/07/09/2018-14657.html Notice - Proposed Collection; Comment Request 2018-07-09T00:00:00-07:00 2018-07-09T00:00:00-07:00 2018-14657 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-07-09/pdf/2018-14657.pdf https://regulations.justia.com/regulations/fedreg/2018/07/09/2018-14656.html Notice - Proposed Collection; Comment Request 2018-07-09T00:00:00-07:00 2018-07-09T00:00:00-07:00 2018-14656 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-07-09/pdf/2018-14656.pdf https://regulations.justia.com/regulations/fedreg/2018/07/09/2018-14655.html Notice - Proposed Collection; Comment Request 2018-07-09T00:00:00-07:00 2018-07-09T00:00:00-07:00 2018-14655 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-07-09/pdf/2018-14655.pdf https://regulations.justia.com/regulations/fedreg/2018/07/09/2018-14654.html Notice - Proposed Collection; Comment Request 2018-07-09T00:00:00-07:00 2018-07-09T00:00:00-07:00 2018-14654 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-07-09/pdf/2018-14654.pdf https://regulations.justia.com/regulations/fedreg/2018/07/09/2018-14653.html Notice - Proposed Collection; Comment Request 2018-07-09T00:00:00-07:00 2018-07-09T00:00:00-07:00 2018-14653 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-07-09/pdf/2018-14653.pdf https://regulations.justia.com/regulations/fedreg/2018/07/09/2018-14652.html Notice - Proposed Collection; Comment Request 2018-07-09T00:00:00-07:00 2018-07-09T00:00:00-07:00 2018-14652 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-07-09/pdf/2018-14652.pdf https://regulations.justia.com/regulations/fedreg/2018/07/09/2018-14651.html Notice - Proposed Collection; Comment Request 2018-07-09T00:00:00-07:00 2018-07-09T00:00:00-07:00 2018-14651 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-07-09/pdf/2018-14651.pdf https://regulations.justia.com/regulations/fedreg/2018/07/09/2018-14650.html Notice - Proposed Collection; Comment Request 2018-07-09T00:00:00-07:00 2018-07-09T00:00:00-07:00 2018-14650 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-07-09/pdf/2018-14650.pdf https://regulations.justia.com/regulations/fedreg/2018/07/09/2018-14551.html Notice - Self-Regulatory Organizations: Investors Exchange LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Rule 11.420 Concerning the Order Audit Trail System Requirements To Make Conforming and Technical Changes 2018-07-09T00:00:00-07:00 2018-07-09T00:00:00-07:00 2018-14551 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-07-09/pdf/2018-14551.pdf https://regulations.justia.com/regulations/fedreg/2018/07/09/2018-14550.html Notice - Self-Regulatory Organizations; Cboe Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Its Fees Schedule To Adopt a Financial Incentive Program for Lead Market-Makers Appointed in MSCI EAFE Index Options and MSCI Emerging Markets Index Options 2018-07-09T00:00:00-07:00 2018-07-09T00:00:00-07:00 2018-14550 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-07-09/pdf/2018-14550.pdf https://regulations.justia.com/regulations/fedreg/2018/07/09/2018-14549.html Notice - Self-Regulatory Organizations; Cboe Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Its Fees Schedule Concerning MSCI EAFE Index Options and MSCI Emerging Markets Index Options 2018-07-09T00:00:00-07:00 2018-07-09T00:00:00-07:00 2018-14549 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-07-09/pdf/2018-14549.pdf https://regulations.justia.com/regulations/fedreg/2018/07/09/2018-14548.html Notice - Self-Regulatory Organizations; Cboe Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Exchange Rule 24.6, Days and Hours of Business Concerning Expiring MSCI EAFE Index Options and MSCI Emerging Markets Index Options 2018-07-09T00:00:00-07:00 2018-07-09T00:00:00-07:00 2018-14548 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-07-09/pdf/2018-14548.pdf https://regulations.justia.com/regulations/fedreg/2018/07/09/2018-14547.html Notice - Self-Regulatory Organizations; Investors Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Modify the Structure of its Fee Schedule and Make Several Conforming and Clarifying Changes, Pursuant to IEX Rule 15.110(A) and (C) 2018-07-09T00:00:00-07:00 2018-07-09T00:00:00-07:00 2018-14547 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-07-09/pdf/2018-14547.pdf https://regulations.justia.com/regulations/fedreg/2018/07/09/2018-14546.html Notice - Self-Regulatory Organizations; Investors Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change to the IPO Auction Processes for Trading in an IEX-Listed Security That Is the Subject of an Initial Public Offering 2018-07-09T00:00:00-07:00 2018-07-09T00:00:00-07:00 2018-14546 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-07-09/pdf/2018-14546.pdf https://regulations.justia.com/regulations/fedreg/2018/07/09/2018-14545.html Notice - Self-Regulatory Organizations; Miami International Securities Exchange, LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Exchange Rule 602, Appointment of Market Makers 2018-07-09T00:00:00-07:00 2018-07-09T00:00:00-07:00 2018-14545 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-07-09/pdf/2018-14545.pdf https://regulations.justia.com/regulations/fedreg/2018/07/09/2018-14544.html Notice - Self-Regulatory Organizations; Nasdaq ISE, LLC; Notice of Filing of Proposed Rule Change To Amend Its Rules Related to Complex Orders 2018-07-09T00:00:00-07:00 2018-07-09T00:00:00-07:00 2018-14544 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-07-09/pdf/2018-14544.pdf https://regulations.justia.com/regulations/fedreg/2018/07/06/2018-14469.html Notice - Self-Regulatory Organizations; Municipal Securities Rulemaking Board; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Revise the Content Outline and Selection Specifications for the Series 52 Examination and To Revise the Content Outlines for the Series 50, Series 51 and Series 53 Examinations 2018-07-06T00:00:00-07:00 2018-07-06T00:00:00-07:00 2018-14469 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-07-06/pdf/2018-14469.pdf https://regulations.justia.com/regulations/fedreg/2018/07/06/2018-14468.html Notice - Self-Regulatory Organizations; Cboe C2 Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to the Penny Pilot Program 2018-07-06T00:00:00-07:00 2018-07-06T00:00:00-07:00 2018-14468 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-07-06/pdf/2018-14468.pdf https://regulations.justia.com/regulations/fedreg/2018/07/06/2018-14467.html Notice - Self-Regulatory Organizations; Cboe Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to the Penny Pilot Program 2018-07-06T00:00:00-07:00 2018-07-06T00:00:00-07:00 2018-14467 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-07-06/pdf/2018-14467.pdf https://regulations.justia.com/regulations/fedreg/2018/07/06/2018-14466.html Notice - Self-Regulatory Organizations; Cboe EDGX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Rule 21.5, Minimum Increments, To Extend the Penny Pilot Program 2018-07-06T00:00:00-07:00 2018-07-06T00:00:00-07:00 2018-14466 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-07-06/pdf/2018-14466.pdf https://regulations.justia.com/regulations/fedreg/2018/07/06/2018-14465.html Notice - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing of Proposed Rule Change To Provide for the Listing of Exchange Traded Products With No Component NMS Stock Listed on the Exchange, Amend Its Rules Regarding Unlisted Trading Privileges, and Make Corresponding Changes 2018-07-06T00:00:00-07:00 2018-07-06T00:00:00-07:00 2018-14465 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-07-06/pdf/2018-14465.pdf https://regulations.justia.com/regulations/fedreg/2018/07/06/2018-14464.html Notice - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Withdrawal of Proposed Rule Change To Amend the Listed Company Manual for Special Purpose Acquisition Companies To Lower the Initial Holders Requirement From 300 to 150 Round Lot Holders and To Eliminate Completely the Public Stockholders Continued Listing Requirement, To Require at Least $5 Million in Net Tangible Assets for Initial and Continued Listing, and To Impose a 30-Day Deadline To Demonstrate Compliance With Certain Initial Listing Requirements Following a Business Combination 2018-07-06T00:00:00-07:00 2018-07-06T00:00:00-07:00 2018-14464 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-07-06/pdf/2018-14464.pdf https://regulations.justia.com/regulations/fedreg/2018/07/06/2018-14463.html Notice - Self-Regulatory Organizations; Cboe BZX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Rule 21.5, Minimum Increments, To Extend the Penny Pilot Program 2018-07-06T00:00:00-07:00 2018-07-06T00:00:00-07:00 2018-14463 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-07-06/pdf/2018-14463.pdf https://regulations.justia.com/regulations/fedreg/2018/07/06/2018-14462.html Notice - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Order Approving a Proposed Rule Change, as Modified by Amendment No. 1, To Establish a Second Trade Reporting Facility 2018-07-06T00:00:00-07:00 2018-07-06T00:00:00-07:00 2018-14462 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-07-06/pdf/2018-14462.pdf https://regulations.justia.com/regulations/fedreg/2018/07/06/2018-14461.html Notice - Self-Regulatory Organizations; Investors Exchange 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 Establish a New Optional Listing Category on the Exchange, “LTSE Listings on IEX” 2018-07-06T00:00:00-07:00 2018-07-06T00:00:00-07:00 2018-14461 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-07-06/pdf/2018-14461.pdf https://regulations.justia.com/regulations/fedreg/2018/07/06/2018-14459.html Notice - Self-Regulatory Organizations; The Options Clearing Corporation; Notice of Filing of Advance Notice, as Modified by Amendment No. 1, Concerning Proposed Changes to The Options Clearing Corporation's Stress Testing and Clearing Fund Methodology 2018-07-06T00:00:00-07:00 2018-07-06T00:00:00-07:00 2018-14459 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-07-06/pdf/2018-14459.pdf https://regulations.justia.com/regulations/fedreg/2018/07/06/2018-14458.html Notice - Notice of Applications for Deregistration Under Section 8(f) of the Investment Company Act of 1940 2018-07-06T00:00:00-07:00 2018-07-06T00:00:00-07:00

2018-14458 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-07-06/pdf/2018-14458.pdf https://regulations.justia.com/regulations/fedreg/2018/07/05/2018-14364.html Notice - Motley Fool Asset Management, LLC and The RBB Fund, Inc. 2018-07-05T00:00:00-07:00 2018-07-05T00:00:00-07:00 2018-14364 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-07-05/pdf/2018-14364.pdf https://regulations.justia.com/regulations/fedreg/2018/07/05/2018-14363.html Notice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Modify the NYSE Arca Options Fee Schedule 2018-07-05T00:00:00-07:00 2018-07-05T00:00:00-07:00 2018-14363 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-07-05/pdf/2018-14363.pdf https://regulations.justia.com/regulations/fedreg/2018/07/05/2018-14362.html Notice - Self-Regulatory Organizations; NYSE American LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Modify the NYSE American Options Fee Schedule 2018-07-05T00:00:00-07:00 2018-07-05T00:00:00-07:00 2018-14362 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-07-05/pdf/2018-14362.pdf https://regulations.justia.com/regulations/fedreg/2018/07/05/2018-14361.html Notice - Submission for OMB Review; Comment Request 2018-07-05T00:00:00-07:00 2018-07-05T00:00:00-07:00 2018-14361 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-07-05/pdf/2018-14361.pdf https://regulations.justia.com/regulations/fedreg/2018/07/05/2018-14360.html Notice - Submission for OMB Review; Comment Request 2018-07-05T00:00:00-07:00 2018-07-05T00:00:00-07:00 2018-14360 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-07-05/pdf/2018-14360.pdf https://regulations.justia.com/regulations/fedreg/2018/07/05/2018-14359.html Notice - Submission for OMB Review; Comment Request 2018-07-05T00:00:00-07:00 2018-07-05T00:00:00-07:00 2018-14359 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-07-05/pdf/2018-14359.pdf https://regulations.justia.com/regulations/fedreg/2018/07/05/2018-14358.html Notice - Submission for OMB Review; Comment Request 2018-07-05T00:00:00-07:00 2018-07-05T00:00:00-07:00 2018-14358 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-07-05/pdf/2018-14358.pdf https://regulations.justia.com/regulations/fedreg/2018/07/05/2018-14357.html Notice - Submission for OMB Review; Comment Request 2018-07-05T00:00:00-07:00 2018-07-05T00:00:00-07:00 2018-14357 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-07-05/pdf/2018-14357.pdf https://regulations.justia.com/regulations/fedreg/2018/07/03/2018-14392.html Notice - Sunshine Act Meetings 2018-07-03T00:00:00-07:00 2018-07-03T00:00:00-07:00 2018-14392 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-07-03/pdf/2018-14392.pdf https://regulations.justia.com/regulations/fedreg/2018/07/03/2018-14302.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 To List and Trade the Shares of the GraniteShares Bitcoin ETF and the GraniteShares Short Bitcoin ETF Under BZX Rule 14.11(f)(4), Trust Issued Receipts 2018-07-03T00:00:00-07:00 2018-07-03T00:00:00-07:00 2018-14302 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-07-03/pdf/2018-14302.pdf https://regulations.justia.com/regulations/fedreg/2018/07/03/2018-14301.html Notice - Self-Regulatory Organizations; Nasdaq PHLX LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the Firm Participation Guarantee for a Floor Broker 2018-07-03T00:00:00-07:00 2018-07-03T00:00:00-07:00 2018-14301 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-07-03/pdf/2018-14301.pdf https://regulations.justia.com/regulations/fedreg/2018/07/03/2018-14300.html Notice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing of Proposed Rule Change Regarding Investments of the REX BKCM ETF 2018-07-03T00:00:00-07:00 2018-07-03T00:00:00-07:00 2018-14300 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-07-03/pdf/2018-14300.pdf https://regulations.justia.com/regulations/fedreg/2018/07/03/2018-14299.html Notice - Self-Regulatory Organizations; ICE Clear Credit LLC; Notice of Filing of Proposed Rule Change, Security-Based Swap Submission, or Advance Notice Relating to the Clearance of an Additional Credit Default Swap Contract 2018-07-03T00:00:00-07:00 2018-07-03T00:00:00-07:00 2018-14299 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-07-03/pdf/2018-14299.pdf https://regulations.justia.com/regulations/fedreg/2018/07/03/2018-14298.html Notice - Self-Regulatory Organizations; The Depository Trust Company; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the Rules and Fee Schedule Relating to Participant and Pledgee Applications 2018-07-03T00:00:00-07:00 2018-07-03T00:00:00-07:00 2018-14298 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-07-03/pdf/2018-14298.pdf https://regulations.justia.com/regulations/fedreg/2018/07/03/2018-14297.html Notice - Self-Regulatory Organizations; Cboe BZX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Rule 11.9, Orders and Modifiers 2018-07-03T00:00:00-07:00 2018-07-03T00:00:00-07:00 2018-14297 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-07-03/pdf/2018-14297.pdf https://regulations.justia.com/regulations/fedreg/2018/07/03/2018-14296.html Notice - Self-Regulatory Organizations; Cboe BYX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Rule 11.9, Orders and Modifiers 2018-07-03T00:00:00-07:00 2018-07-03T00:00:00-07:00 2018-14296 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-07-03/pdf/2018-14296.pdf https://regulations.justia.com/regulations/fedreg/2018/07/03/2018-14295.html Notice - Self-Regulatory Organizations; Nasdaq MRX, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Extend the Penny Pilot Program 2018-07-03T00:00:00-07:00 2018-07-03T00:00:00-07:00 2018-14295 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-07-03/pdf/2018-14295.pdf https://regulations.justia.com/regulations/fedreg/2018/07/03/2018-14294.html Notice - Self-Regulatory Organizations; Nasdaq GEMX, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Extend the Exchange's Penny Pilot Program 2018-07-03T00:00:00-07:00 2018-07-03T00:00:00-07:00 2018-14294 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-07-03/pdf/2018-14294.pdf https://regulations.justia.com/regulations/fedreg/2018/07/03/2018-14293.html Notice - Self-Regulatory Organizations; NYSE American LLC; Notice of Filing and Immediate Effectiveness of Proposed Change To Modify the NYSE American Options Fee Schedule 2018-07-03T00:00:00-07:00 2018-07-03T00:00:00-07:00 2018-14293 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-07-03/pdf/2018-14293.pdf https://regulations.justia.com/regulations/fedreg/2018/07/03/2018-14292.html Notice - Self-Regulatory Organizations; Nasdaq ISE LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Extend the Penny Pilot Program 2018-07-03T00:00:00-07:00 2018-07-03T00:00:00-07:00 2018-14292 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-07-03/pdf/2018-14292.pdf https://regulations.justia.com/regulations/fedreg/2018/07/03/2018-14291.html Notice - Self-Regulatory Organizations; Nasdaq Phlx LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Extend the Exchange's Penny Pilot Program 2018-07-03T00:00:00-07:00 2018-07-03T00:00:00-07:00 2018-14291 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-07-03/pdf/2018-14291.pdf https://regulations.justia.com/regulations/fedreg/2018/07/03/2018-14288.html Notice - Self-Regulatory Organizations; Nasdaq BX; Order Granting an Extension to Limited Exemptions From Rule 612(c) of Regulation NMS in Connection With the Exchange's Retail Price Improvement Program Until December 31, 2018 2018-07-03T00:00:00-07:00 2018-07-03T00:00:00-07:00 2018-14288 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-07-03/pdf/2018-14288.pdf https://regulations.justia.com/regulations/fedreg/2018/07/03/2018-14287.html Notice - Self-Regulatory Organizations; New York Stock Exchange LLC; Order Granting an Extension to Limited Exemptions From Rule 612(c) of Regulation NMS in Connection With the Exchange's Retail Liquidity Program Until December 31, 2018 2018-07-03T00:00:00-07:00 2018-07-03T00:00:00-07:00 2018-14287 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-07-03/pdf/2018-14287.pdf https://regulations.justia.com/regulations/fedreg/2018/07/03/2018-14286.html Notice - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Extend the Pilot Period for the Exchange's Retail Liquidity Program Until December 31, 2018 2018-07-03T00:00:00-07:00 2018-07-03T00:00:00-07:00 2018-14286 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-07-03/pdf/2018-14286.pdf https://regulations.justia.com/regulations/fedreg/2018/07/03/2018-14285.html Notice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Extend the Pilot Period for the Exchange's Retail Liquidity Program Until December 31, 2018 2018-07-03T00:00:00-07:00 2018-07-03T00:00:00-07:00 2018-14285 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-07-03/pdf/2018-14285.pdf https://regulations.justia.com/regulations/fedreg/2018/07/03/2018-14284.html Notice - Self-Regulatory Organizations; Nasdaq BX, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Extend the Pilot Period for the Retail Price Improvement Program Until December 31, 2018 2018-07-03T00:00:00-07:00 2018-07-03T00:00:00-07:00 2018-14284 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-07-03/pdf/2018-14284.pdf https://regulations.justia.com/regulations/fedreg/2018/07/03/2018-14283.html Notice - Self-Regulatory Organizations; NYSE Arca, Inc.; Order Granting an Extension to Limited Exemptions From Rule 612(c) of Regulation NMS In Connection With the Exchange's Retail Liquidity Programs Until December 31, 2018 2018-07-03T00:00:00-07:00 2018-07-03T00:00:00-07:00 2018-14283 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-07-03/pdf/2018-14283.pdf https://regulations.justia.com/regulations/fedreg/2018/07/03/2018-14277.html Notice - Self-Regulatory Organizations; Nasdaq BX, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Relocate the Exchange's Rules Pertaining to Co-Location and Direct Connectivity 2018-07-03T00:00:00-07:00 2018-07-03T00:00:00-07:00 2018-14277 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-07-03/pdf/2018-14277.pdf https://regulations.justia.com/regulations/fedreg/2018/07/03/2018-14233.html Notice - Self-Regulatory Organizations; The Options Clearing Corporation; Notice of Filing of Advance Notice of and No Objection to The Options Clearing Corporation's Proposal To Enter Into a New Credit Facility Agreement 2018-07-03T00:00:00-07:00 2018-07-03T00:00:00-07:00 2018-14233 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-07-03/pdf/2018-14233.pdf https://regulations.justia.com/regulations/fedreg/2018/07/02/2018-14281.html Notice - Sunshine Act Meetings 2018-07-02T00:00:00-07:00 2018-07-02T00:00:00-07:00 2018-14281 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-07-02/pdf/2018-14281.pdf https://regulations.justia.com/regulations/fedreg/2018/07/02/2018-14280.html Notice - Sunshine Act Meetings 2018-07-02T00:00:00-07:00 2018-07-02T00:00:00-07:00 2018-14280 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-07-02/pdf/2018-14280.pdf https://regulations.justia.com/regulations/fedreg/2018/07/02/2018-14193.html Notice - Goldman Sachs Trust, et al. 2018-07-02T00:00:00-07:00 2018-07-02T00:00:00-07:00 2018-14193 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-07-02/pdf/2018-14193.pdf https://regulations.justia.com/regulations/fedreg/2018/07/02/2018-14191.html Notice - Defiance ETFs, LLC, et al. 2018-07-02T00:00:00-07:00 2018-07-02T00:00:00-07:00 2018-14191 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-07-02/pdf/2018-14191.pdf https://regulations.justia.com/regulations/fedreg/2018/07/02/2018-14118.html Notice - Self-Regulatory Organizations; The Nasdaq Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Extend the Exchange's Penny Pilot Program 2018-07-02T00:00:00-07:00 2018-07-02T00:00:00-07:00 2018-14118 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-07-02/pdf/2018-14118.pdf https://regulations.justia.com/regulations/fedreg/2018/07/02/2018-14117.html Notice - Self-Regulatory Organizations; Nasdaq BX, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Extend the Exchange's Penny Pilot Program 2018-07-02T00:00:00-07:00 2018-07-02T00:00:00-07:00 2018-14117 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-07-02/pdf/2018-14117.pdf https://regulations.justia.com/regulations/fedreg/2018/07/02/2018-14114.html Notice - Self-Regulatory Organizations; Cboe BZX Exchange, Inc.; Notice of Filing of Proposed Rule Change To List and Trade Shares of SolidX Bitcoin Shares Issued by the VanEck SolidX Bitcoin Trust 2018-07-02T00:00:00-07:00 2018-07-02T00:00:00-07:00 2018-14114 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-07-02/pdf/2018-14114.pdf https://regulations.justia.com/regulations/fedreg/2018/07/02/2018-14113.html Notice - Self-Regulatory Organizations; The Options Clearing Corporation; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Facilitate Reporting Under Commodity Futures Trading Commission Regulations Applicable to Derivatives Clearing Organizations 2018-07-02T00:00:00-07:00 2018-07-02T00:00:00-07:00 2018-14113 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-07-02/pdf/2018-14113.pdf https://regulations.justia.com/regulations/fedreg/2018/07/02/2018-14112.html Notice - Self-Regulatory Organizations; BOX Options Exchange LLC; Notice of Filing of Proposed Rule Change To Amend BOX Rule 7300 (Preferenced Orders) To Provide an Additional Allocation Preference to Preferred Market Makers 2018-07-02T00:00:00-07:00 2018-07-02T00:00:00-07:00 2018-14112 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-07-02/pdf/2018-14112.pdf https://regulations.justia.com/regulations/fedreg/2018/07/02/2018-14110.html Notice - Self-Regulatory Organizations; NYSE American LLC; Notice of Filing and Immediate Effectiveness of Proposed Change To Modify the NYSE American Options Fee Schedule 2018-07-02T00:00:00-07:00 2018-07-02T00:00:00-07:00 2018-14110 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-07-02/pdf/2018-14110.pdf https://regulations.justia.com/regulations/fedreg/2018/07/02/2018-14109.html Notice - Self-Regulatory Organizations; The Nasdaq Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Adopt a New Transaction Fee for Execution of Midpoint Extended Life Orders 2018-07-02T00:00:00-07:00 2018-07-02T00:00:00-07:00 2018-14109 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-07-02/pdf/2018-14109.pdf https://regulations.justia.com/regulations/fedreg/2018/07/02/2018-14108.html Notice - Self-Regulatory Organizations; Cboe EDGA Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Rule 11.6, Definitions and Rule 11.8, Order Types 2018-07-02T00:00:00-07:00 2018-07-02T00:00:00-07:00 2018-14108 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-07-02/pdf/2018-14108.pdf