<![CDATA[Federal Register Recent Federal Regulation Documents - Justia Regulation Tracker - Justia Regulations Tracker]]> https://regulations.justia.com/regulations/fedreg/agencies/securities-and-exchange-commission/2018/08/06?registers=between Thu, 21 Nov 2024 21:08:20 -0800 Thu, 21 Nov 2024 21:08:20 -0800 Justia Regulations Tracker Copyright 2011 Justia Inc. https://regulations.justia.com/images/justiafedregulations.gif <![CDATA[Federal Register Recent Federal Regulation Documents - Justia Regulation Tracker - Justia Regulations Tracker]]> https://regulations.justia.com/regulations/fedreg/agencies/securities-and-exchange-commission/2018/08/06?registers=between Notice - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Order Granting Approval of a Proposed Rule Change To Amend FINRA Rule 6433 To Adopt the OTC Quotation Tier Pilot as Permanent https://regulations.justia.com/regulations/fedreg/2018/08/06/2018-16724.html https://regulations.justia.com/regulations/fedreg/2018/08/06/2018-16724.html Mon, 06 Aug 2018 00:00:00 -0700 2018-16724 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-08-06/pdf/2018-16724.pdf Notice - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Designation of a Longer Period on Commission Action of Proposed Rule Change To Make Permanent the Retail Liquidity Program Pilot, NYSE Rule 107C, Which Is Set To Expire on December 31, 2018 https://regulations.justia.com/regulations/fedreg/2018/08/06/2018-16723.html https://regulations.justia.com/regulations/fedreg/2018/08/06/2018-16723.html Mon, 06 Aug 2018 00:00:00 -0700 2018-16723 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-08-06/pdf/2018-16723.pdf Notice - Self-Regulatory Organizations; Cboe BZX Exchange, Inc.; Notice of Withdrawal of 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 https://regulations.justia.com/regulations/fedreg/2018/08/06/2018-16722.html https://regulations.justia.com/regulations/fedreg/2018/08/06/2018-16722.html Mon, 06 Aug 2018 00:00:00 -0700 2018-16722 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-08-06/pdf/2018-16722.pdf Notice - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Order Approving a Proposed Rule Change Creating Fee and Honorarium for Late Cancellation of a Prehearing Conference https://regulations.justia.com/regulations/fedreg/2018/08/06/2018-16721.html https://regulations.justia.com/regulations/fedreg/2018/08/06/2018-16721.html Mon, 06 Aug 2018 00:00:00 -0700 2018-16721 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-08-06/pdf/2018-16721.pdf Notice - Self-Regulatory Organizations; The Nasdaq Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Lower Fees and Administrative Costs for Distributors of Nasdaq Basic, Nasdaq Last Sale, NLS Plus and the Nasdaq Depth-of-Book Products Through a Consolidated Enterprise License https://regulations.justia.com/regulations/fedreg/2018/08/06/2018-16720.html https://regulations.justia.com/regulations/fedreg/2018/08/06/2018-16720.html Mon, 06 Aug 2018 00:00:00 -0700 2018-16720 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-08-06/pdf/2018-16720.pdf Notice - Self-Regulatory Organizations; The Depository Trust Company; Notice of Filing of Amendment No. 1 to an Advance Notice To Amend the Loss Allocation Rules and Make Other Changes https://regulations.justia.com/regulations/fedreg/2018/08/06/2018-16714.html https://regulations.justia.com/regulations/fedreg/2018/08/06/2018-16714.html Mon, 06 Aug 2018 00:00:00 -0700 2018-16714 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-08-06/pdf/2018-16714.pdf Notice - Self-Regulatory Organizations; National Securities Clearing Corporation; Notice of Filing of Amendment No. 1 to an Advance Notice To Amend the Loss Allocation Rules and Make Other Changes https://regulations.justia.com/regulations/fedreg/2018/08/06/2018-16712.html https://regulations.justia.com/regulations/fedreg/2018/08/06/2018-16712.html Mon, 06 Aug 2018 00:00:00 -0700 2018-16712 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-08-06/pdf/2018-16712.pdf Notice - Self-Regulatory Organizations; National Securities Clearing Corporation; Notice of Filing of Amendment No. 1 to an Advance Notice To Adopt a Recovery & Wind-Down Plan and Related Rules https://regulations.justia.com/regulations/fedreg/2018/08/06/2018-16711.html https://regulations.justia.com/regulations/fedreg/2018/08/06/2018-16711.html Mon, 06 Aug 2018 00:00:00 -0700 2018-16711 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-08-06/pdf/2018-16711.pdf Notice - Self-Regulatory Organizations; Fixed Income Clearing Corporation; Notice of Filing of Amendment No. 1 to an Advance Notice To Amend the Loss Allocation Rules and Make Other Changes https://regulations.justia.com/regulations/fedreg/2018/08/06/2018-16709.html https://regulations.justia.com/regulations/fedreg/2018/08/06/2018-16709.html Mon, 06 Aug 2018 00:00:00 -0700 2018-16709 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-08-06/pdf/2018-16709.pdf Notice - Self-Regulatory Organizations; The Depository Trust Company; Notice of Filing of Amendment No. 1 to an Advance Notice To Adopt a Recovery & Wind-Down Plan and Related Rules https://regulations.justia.com/regulations/fedreg/2018/08/06/2018-16708.html https://regulations.justia.com/regulations/fedreg/2018/08/06/2018-16708.html Mon, 06 Aug 2018 00:00:00 -0700 2018-16708 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-08-06/pdf/2018-16708.pdf Notice - Self-Regulatory Organizations; Fixed Income Clearing Corporation; Notice of Filing of Amendment No. 1 to an Advance Notice To Adopt a Recovery & Wind-Down Plan and Related Rules https://regulations.justia.com/regulations/fedreg/2018/08/06/2018-16707.html https://regulations.justia.com/regulations/fedreg/2018/08/06/2018-16707.html Mon, 06 Aug 2018 00:00:00 -0700 2018-16707 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-08-06/pdf/2018-16707.pdf