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?limit=200&registers=between&min-day=1&max-day=31&mode=atom 2024-09-15T03:23:15-07:00 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/2018/08/31/2018-18896.html Notice - Self-Regulatory Organizations; Cboe BZX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Delete Obsolete Language Regarding the Timing of Listing Long-Term Options Series 2018-08-31T00:00:00-07:00 2018-08-31T00:00:00-07:00 2018-18896 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-08-31/pdf/2018-18896.pdf https://regulations.justia.com/regulations/fedreg/2018/08/31/2018-18895.html Notice - Self-Regulatory Organizations; Cboe EDGX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Delete Obsolete Language Regarding the Timing of Listing Long-Term Options Series 2018-08-31T00:00:00-07:00 2018-08-31T00:00:00-07:00 2018-18895 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-08-31/pdf/2018-18895.pdf https://regulations.justia.com/regulations/fedreg/2018/08/31/2018-18894.html Notice - Self-Regulatory Organizations; BOX Exchange LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend BOX Rules 5050 and 5070 2018-08-31T00:00:00-07:00 2018-08-31T00:00:00-07:00 2018-18894 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-08-31/pdf/2018-18894.pdf https://regulations.justia.com/regulations/fedreg/2018/08/31/2018-18585.html Rule - Delegation of Authority to General Counsel of the Commission 2018-08-31T00:00:00-07:00 2018-08-31T00:00:00-07:00 2018-18585 Rule https://www.gpo.gov/fdsys/pkg/FR-2018-08-31/pdf/2018-18585.pdf https://regulations.justia.com/regulations/fedreg/2018/08/31/2018-18279.html Rule - Amendments to Municipal Securities Disclosure 2018-08-31T00:00:00-07:00 2018-08-31T00:00:00-07:00 2018-18279 Rule https://www.gpo.gov/fdsys/pkg/FR-2018-08-31/pdf/2018-18279.pdf https://regulations.justia.com/regulations/fedreg/2018/08/30/2018-18869.html Notice - Self-Regulatory Organizations; National Securities Clearing Corporation; Notice of No Objection to an Advance Notice, as Modified by Amendment No. 1, To Adopt a Recovery & Wind-Down Plan and Related Rules 2018-08-30T00:00:00-07:00 2018-08-30T00:00:00-07:00 2018-18869 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-08-30/pdf/2018-18869.pdf https://regulations.justia.com/regulations/fedreg/2018/08/30/2018-18868.html Notice - Self-Regulatory Organizations; Fixed Income Clearing Corporation; Notice of No Objection to an Advance Notice, as Modified by Amendment No. 1, To Adopt a Recovery & Wind-Down Plan and Related Rules 2018-08-30T00:00:00-07:00 2018-08-30T00:00:00-07:00 2018-18868 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-08-30/pdf/2018-18868.pdf https://regulations.justia.com/regulations/fedreg/2018/08/30/2018-18867.html Notice - Self-Regulatory Organizations; The Depository Trust Company; Notice of No Objection to an Advance Notice, as Modified by Amendment No. 1, To Adopt a Recovery & Wind-Down Plan and Related Rules 2018-08-30T00:00:00-07:00 2018-08-30T00:00:00-07:00 2018-18867 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-08-30/pdf/2018-18867.pdf https://regulations.justia.com/regulations/fedreg/2018/08/30/2018-18866.html Notice - Self-Regulatory Organizations; National Securities Clearing Corporation; Notice of No Objection to an Advance Notice, as Modified by Amendment No. 1, To Amend the Loss Allocation Rules and Make Other Changes 2018-08-30T00:00:00-07:00 2018-08-30T00:00:00-07:00 2018-18866 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-08-30/pdf/2018-18866.pdf https://regulations.justia.com/regulations/fedreg/2018/08/30/2018-18865.html Notice - Self-Regulatory Organizations; Fixed Income Clearing Corporation; Notice of No Objection to an Advance Notice, as Modified by Amendment No. 1, To Amend the Loss Allocation Rules and Make Other Changes 2018-08-30T00:00:00-07:00 2018-08-30T00:00:00-07:00 2018-18865 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-08-30/pdf/2018-18865.pdf https://regulations.justia.com/regulations/fedreg/2018/08/30/2018-18864.html Notice - Self-Regulatory Organizations; The Depository Trust Company; Notice of No Objection to an Advance Notice, as Modified by Amendment No. 1, To Amend the Loss Allocation Rules and Make Other Changes 2018-08-30T00:00:00-07:00 2018-08-30T00:00:00-07:00 2018-18864 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-08-30/pdf/2018-18864.pdf https://regulations.justia.com/regulations/fedreg/2018/08/30/2018-18847.html Notice - Proposed Collection; Comment Request 2018-08-30T00:00:00-07:00 2018-08-30T00:00:00-07:00 2018-18847 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-08-30/pdf/2018-18847.pdf https://regulations.justia.com/regulations/fedreg/2018/08/30/2018-18826.html Notice - Self-Regulatory Organizations; BOX Options Exchange LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Reflect a Non-Substantive Name Change in the Market's Governing Documents 2018-08-30T00:00:00-07:00 2018-08-30T00:00:00-07:00 2018-18826 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-08-30/pdf/2018-18826.pdf https://regulations.justia.com/regulations/fedreg/2018/08/30/2018-18785.html Notice - Self-Regulatory Organizations; BOX Options Exchange LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Reflect in the Exchange's Governing Documents and the Exchange's Rulebook, Changes to the Exchange's Name 2018-08-30T00:00:00-07:00 2018-08-30T00:00:00-07:00 2018-18785 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-08-30/pdf/2018-18785.pdf https://regulations.justia.com/regulations/fedreg/2018/08/30/2018-18784.html Notice - Self-Regulatory Organizations; The Depository Trust Company; Order Granting Approval of Proposed Rule Change To Amend Rule 35 To Provide for Designated Accounts for Use With Designated Collateral Management Service Providers 2018-08-30T00:00:00-07:00 2018-08-30T00:00:00-07:00 2018-18784 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-08-30/pdf/2018-18784.pdf https://regulations.justia.com/regulations/fedreg/2018/08/30/2018-18783.html Notice - Self-Regulatory Organizations; Cboe BZX Exchange, Inc.; Notice of Designation of a Longer Period for Commission Action on a Proposed Rule Change To Amend BZX Rule 14.8, General Listings Requirements-Tier I, To Adopt Listing Standards for Closed-End Funds 2018-08-30T00:00:00-07:00 2018-08-30T00:00:00-07:00 2018-18783 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-08-30/pdf/2018-18783.pdf https://regulations.justia.com/regulations/fedreg/2018/08/30/2018-18782.html Notice - Self-Regulatory Organizations; National Securities Clearing Corporation; Order Approving Proposed Rule Change To Terminate the Commission Billing Service and the Commission Billing Limited Membership 2018-08-30T00:00:00-07:00 2018-08-30T00:00:00-07:00 2018-18782 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-08-30/pdf/2018-18782.pdf https://regulations.justia.com/regulations/fedreg/2018/08/30/2018-18781.html Notice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing of Proposed Rule Change To List and Trade Shares of the First Trust Long Duration Opportunities ETF Under NYSE Arca Rule 8.600-E 2018-08-30T00:00:00-07:00 2018-08-30T00:00:00-07:00 2018-18781 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-08-30/pdf/2018-18781.pdf https://regulations.justia.com/regulations/fedreg/2018/08/30/2018-18780.html Notice - THL Credit, Inc., et al. 2018-08-30T00:00:00-07:00 2018-08-30T00:00:00-07:00 2018-18780 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-08-30/pdf/2018-18780.pdf https://regulations.justia.com/regulations/fedreg/2018/08/30/2018-18776.html Notice - Innovator ETFs Trust, et al. 2018-08-30T00:00:00-07:00 2018-08-30T00:00:00-07:00 2018-18776 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-08-30/pdf/2018-18776.pdf https://regulations.justia.com/regulations/fedreg/2018/08/29/2018-18762.html Notice - Order Making Fiscal Year 2019 Annual Adjustments to Registration Fee Rates 2018-08-29T00:00:00-07:00 2018-08-29T00:00:00-07:00 2018-18762 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-08-29/pdf/2018-18762.pdf https://regulations.justia.com/regulations/fedreg/2018/08/29/2018-18678.html Notice - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend its Price List 2018-08-29T00:00:00-07:00 2018-08-29T00:00:00-07:00 2018-18678 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-08-29/pdf/2018-18678.pdf https://regulations.justia.com/regulations/fedreg/2018/08/29/2018-18677.html Notice - Self-Regulatory Organizations; Cboe BZX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Amending the Fee Schedule To Eliminate Fee Code IX on Cboe BZX Exchange, Inc. 2018-08-29T00:00:00-07:00 2018-08-29T00:00:00-07:00 2018-18677 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-08-29/pdf/2018-18677.pdf https://regulations.justia.com/regulations/fedreg/2018/08/29/2018-18676.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. 2018-08-29T00:00:00-07:00 2018-08-29T00:00:00-07:00 2018-18676 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-08-29/pdf/2018-18676.pdf https://regulations.justia.com/regulations/fedreg/2018/08/29/2018-18675.html Notice - Self-Regulatory Organizations; Cboe Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Delay the Implementation Date of Changes to Cboe Options Rule 24A.4, Interpretation and Policy .02, Concerning FLEX Options 2018-08-29T00:00:00-07:00 2018-08-29T00:00:00-07:00 2018-18675 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-08-29/pdf/2018-18675.pdf https://regulations.justia.com/regulations/fedreg/2018/08/29/2018-18674.html Notice - Self-Regulatory Organizations; Cboe BZX Exchange, Inc.; Notice of Designation of a Longer Period for Commission Action on a Proposed Rule Change Regarding BZX Rule 14.11(c) (Index Fund Shares) 2018-08-29T00:00:00-07:00 2018-08-29T00:00:00-07:00 2018-18674 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-08-29/pdf/2018-18674.pdf https://regulations.justia.com/regulations/fedreg/2018/08/29/2018-18673.html Notice - Self-Regulatory Organizations; The Options Clearing Corporation; Order Approving Proposed Rule Change, as Modified by Partial Amendment No. 2, Concerning Updates to and Formalization of OCC's Recovery and Orderly Wind-Down Plan 2018-08-29T00:00:00-07:00 2018-08-29T00:00:00-07:00 2018-18673 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-08-29/pdf/2018-18673.pdf https://regulations.justia.com/regulations/fedreg/2018/08/29/2018-18672.html Notice - Self-Regulatory Organizations; The Options Clearing Corporation; Order Approving Proposed Rule Change, as Modified by Amendment No. 2, Concerning Enhanced and New Tools for Recovery Scenarios 2018-08-29T00:00:00-07:00 2018-08-29T00:00:00-07:00 2018-18672 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-08-29/pdf/2018-18672.pdf https://regulations.justia.com/regulations/fedreg/2018/08/29/2018-18656.html Notice - Self-Regulatory Organizations; The Options Clearing Corporation; Notice of No Objection to Advance Notice, as Modified by Partial Amendment No. 3, Concerning Updates to and Formalization of OCC's Recovery and Orderly Wind-Down Plan 2018-08-29T00:00:00-07:00 2018-08-29T00:00:00-07:00 2018-18656 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-08-29/pdf/2018-18656.pdf https://regulations.justia.com/regulations/fedreg/2018/08/29/2018-18655.html Notice - Self-Regulatory Organizations; The Options Clearing Corporation; Notice of No Objection to Advance Notice, as Modified by Amendment No. 2, Concerning Enhanced and New Tools for Recovery Scenarios 2018-08-29T00:00:00-07:00 2018-08-29T00:00:00-07:00 2018-18655 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-08-29/pdf/2018-18655.pdf https://regulations.justia.com/regulations/fedreg/2018/08/28/2018-18679.html Notice - Sunshine Act Meetings 2018-08-28T00:00:00-07:00 2018-08-28T00:00:00-07:00 2018-18679 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-08-28/pdf/2018-18679.pdf https://regulations.justia.com/regulations/fedreg/2018/08/28/2018-18578.html Notice - Self-Regulatory Organizations; Cboe BZX Exchange, Inc.; Order Disapproving a Proposed Rule Change To List and Trade the Shares of the GraniteShares Bitcoin ETF and the GraniteShares Short Bitcoin ETF 2018-08-28T00:00:00-07:00 2018-08-28T00:00:00-07:00 2018-18578 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-08-28/pdf/2018-18578.pdf https://regulations.justia.com/regulations/fedreg/2018/08/28/2018-18577.html Notice - Self-Regulatory Organizations; NYSE Arca, Inc.; Order Disapproving 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 2018-08-28T00:00:00-07:00 2018-08-28T00:00:00-07:00 2018-18577 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-08-28/pdf/2018-18577.pdf https://regulations.justia.com/regulations/fedreg/2018/08/28/2018-18574.html Notice - Self-Regulatory Organizations; Cboe Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Rule 5.5A, Select Provisions of Options Listing Procedures Plan, 5.8, Long-Term Equity Option Series (LEAPS) and Rule 24.9, Terms of Index Option Contracts 2018-08-28T00:00:00-07:00 2018-08-28T00:00:00-07:00 2018-18574 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-08-28/pdf/2018-18574.pdf https://regulations.justia.com/regulations/fedreg/2018/08/28/2018-18573.html Notice - Self-Regulatory Organizations; Cboe BZX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Certain Representations Relating to the Listing and Trading of Shares of the Innovator S&P 500 Buffer ETFs 2018-08-28T00:00:00-07:00 2018-08-28T00:00:00-07:00 2018-18573 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-08-28/pdf/2018-18573.pdf https://regulations.justia.com/regulations/fedreg/2018/08/28/2018-18572.html Notice - Self-Regulatory Organizations; NYSE Arca, Inc.; Order Disapproving a Proposed Rule Change To List and Trade the Shares of the ProShares Bitcoin ETF and the ProShares Short Bitcoin ETF 2018-08-28T00:00:00-07:00 2018-08-28T00:00:00-07:00 2018-18572 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-08-28/pdf/2018-18572.pdf https://regulations.justia.com/regulations/fedreg/2018/08/28/2018-18571.html Notice - Self-Regulatory Organizations; NYSE National, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Rule 7.31 Relating to Reserve Orders and Re-Name Two Order Types 2018-08-28T00:00:00-07:00 2018-08-28T00:00:00-07:00 2018-18571 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-08-28/pdf/2018-18571.pdf https://regulations.justia.com/regulations/fedreg/2018/08/28/2018-18570.html Notice - Self-Regulatory Organizations; NYSE American LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Rule 7.31E Relating to Reserve Orders and Re-Name an Order Type 2018-08-28T00:00:00-07:00 2018-08-28T00:00:00-07:00 2018-18570 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-08-28/pdf/2018-18570.pdf https://regulations.justia.com/regulations/fedreg/2018/08/27/2018-18428.html Notice - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the Independence Policy of the Board of Directors of the Exchange 2018-08-27T00:00:00-07:00 2018-08-27T00:00:00-07:00 2018-18428 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-08-27/pdf/2018-18428.pdf https://regulations.justia.com/regulations/fedreg/2018/08/27/2018-18427.html Notice - Tortoise Capital Advisors, L.L.C., et al. 2018-08-27T00:00:00-07:00 2018-08-27T00:00:00-07:00 2018-18427 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-08-27/pdf/2018-18427.pdf https://regulations.justia.com/regulations/fedreg/2018/08/27/2018-18426.html Notice - Self-Regulatory Organizations; BOX Options Exchange LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Make a Number of Non-Substantive Changes to the Rulebook 2018-08-27T00:00:00-07:00 2018-08-27T00:00:00-07:00 2018-18426 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-08-27/pdf/2018-18426.pdf https://regulations.justia.com/regulations/fedreg/2018/08/27/2018-18419.html Notice - Cushing Asset Management, LP et al. 2018-08-27T00:00:00-07:00 2018-08-27T00:00:00-07:00 2018-18419 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-08-27/pdf/2018-18419.pdf https://regulations.justia.com/regulations/fedreg/2018/08/24/2018-18365.html Notice - Submission for OMB Review; Comment Request 2018-08-24T00:00:00-07:00 2018-08-24T00:00:00-07:00 2018-18365 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-08-24/pdf/2018-18365.pdf https://regulations.justia.com/regulations/fedreg/2018/08/24/2018-18362.html Notice - 60 Day Notice-Proposed Collection; Comment Request 2018-08-24T00:00:00-07:00 2018-08-24T00:00:00-07:00 2018-18362 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-08-24/pdf/2018-18362.pdf https://regulations.justia.com/regulations/fedreg/2018/08/24/2018-18361.html Notice - Proposed Collection; Comment Request 2018-08-24T00:00:00-07:00 2018-08-24T00:00:00-07:00 2018-18361 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-08-24/pdf/2018-18361.pdf https://regulations.justia.com/regulations/fedreg/2018/08/24/2018-18360.html Notice - Proposed Collection; Comment Request 2018-08-24T00:00:00-07:00 2018-08-24T00:00:00-07:00 2018-18360 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-08-24/pdf/2018-18360.pdf https://regulations.justia.com/regulations/fedreg/2018/08/24/2018-18359.html Notice - Proposed Collection; Comment Request 2018-08-24T00:00:00-07:00 2018-08-24T00:00:00-07:00 2018-18359 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-08-24/pdf/2018-18359.pdf https://regulations.justia.com/regulations/fedreg/2018/08/24/2018-18358.html Notice - Proposed Collection; Comment Request 2018-08-24T00:00:00-07:00 2018-08-24T00:00:00-07:00 2018-18358 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-08-24/pdf/2018-18358.pdf https://regulations.justia.com/regulations/fedreg/2018/08/24/2018-18295.html Notice - Self-Regulatory Organizations; Cboe Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Rule 6.53, Certain Types of Orders Defined and Rule 6.53C, Complex Orders on the Hybrid System 2018-08-24T00:00:00-07:00 2018-08-24T00:00:00-07:00 2018-18295 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-08-24/pdf/2018-18295.pdf https://regulations.justia.com/regulations/fedreg/2018/08/24/2018-18294.html Notice - Self-Regulatory Organizations; The Nasdaq Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Codify the Definitions of the Protocols to Enter Quotes and Orders 2018-08-24T00:00:00-07:00 2018-08-24T00:00:00-07:00 2018-18294 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-08-24/pdf/2018-18294.pdf https://regulations.justia.com/regulations/fedreg/2018/08/24/2018-18293.html Notice - Self-Regulatory Organizations; NYSE American LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the Independence Policy of the Board of Directors of the Exchange 2018-08-24T00:00:00-07:00 2018-08-24T00:00:00-07:00 2018-18293 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-08-24/pdf/2018-18293.pdf https://regulations.justia.com/regulations/fedreg/2018/08/23/2018-18278.html Notice - Order Granting Applications by Nasdaq ISE, LLC, Nasdaq GEMX, LLC, and Nasdaq MRX, LLC for 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 2018-08-23T00:00:00-07:00 2018-08-23T00:00:00-07:00 2018-18278 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-08-23/pdf/2018-18278.pdf https://regulations.justia.com/regulations/fedreg/2018/08/23/2018-18167.html Notice - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing of a Proposed Rule Change To Amend FINRA Rule 6710 To Modify the Dissemination Protocols for Agency Debt Securities 2018-08-23T00:00:00-07:00 2018-08-23T00:00:00-07:00 2018-18167 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-08-23/pdf/2018-18167.pdf https://regulations.justia.com/regulations/fedreg/2018/08/23/2018-18166.html Notice - Self-Regulatory Organizations; Cboe EDGX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the Options Regulatory Fee 2018-08-23T00:00:00-07:00 2018-08-23T00:00:00-07:00 2018-18166 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-08-23/pdf/2018-18166.pdf https://regulations.justia.com/regulations/fedreg/2018/08/23/2018-18165.html Notice - Self-Regulatory Organizations; Cboe EDGX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the Options Regulatory Fee 2018-08-23T00:00:00-07:00 2018-08-23T00:00:00-07:00 2018-18165 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-08-23/pdf/2018-18165.pdf https://regulations.justia.com/regulations/fedreg/2018/08/23/2018-18164.html Notice - Self-Regulatory Organizations; Cboe BZX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the Options Regulatory Fee 2018-08-23T00:00:00-07:00 2018-08-23T00:00:00-07:00 2018-18164 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-08-23/pdf/2018-18164.pdf https://regulations.justia.com/regulations/fedreg/2018/08/23/2018-18163.html Notice - Self-Regulatory Organizations; Cboe BZX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the Options Regulatory Fee 2018-08-23T00:00:00-07:00 2018-08-23T00:00:00-07:00 2018-18163 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-08-23/pdf/2018-18163.pdf https://regulations.justia.com/regulations/fedreg/2018/08/23/2018-18162.html Notice - Self-Regulatory Organizations; Cboe Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the Options Regulatory Fee 2018-08-23T00:00:00-07:00 2018-08-23T00:00:00-07:00 2018-18162 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-08-23/pdf/2018-18162.pdf https://regulations.justia.com/regulations/fedreg/2018/08/23/2018-18161.html Notice - Self-Regulatory Organizations; Cboe C2 Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the Options Regulatory Fee 2018-08-23T00:00:00-07:00 2018-08-23T00:00:00-07:00 2018-18161 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-08-23/pdf/2018-18161.pdf https://regulations.justia.com/regulations/fedreg/2018/08/23/2018-18160.html Notice - Self-Regulatory Organizations; Cboe Exchange, Inc.; Notice of Filing of a Proposed Rule Change Relating To Amend Rule 6.21., Give Up of a Clearing Trading Permit Holder 2018-08-23T00:00:00-07:00 2018-08-23T00:00:00-07:00 2018-18160 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-08-23/pdf/2018-18160.pdf https://regulations.justia.com/regulations/fedreg/2018/08/23/2018-18159.html Notice - Self-Regulatory Organizations; The Depository Trust Company; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the Process of the Reduction of Dividend or Interest Payments to a Participant on Treasury Shares or Repurchased Debt Securities 2018-08-23T00:00:00-07:00 2018-08-23T00:00:00-07:00 2018-18159 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-08-23/pdf/2018-18159.pdf https://regulations.justia.com/regulations/fedreg/2018/08/23/2018-18158.html Notice - Self-Regulatory Organizations; Cboe Exchange, Inc.; Notice of Filing of a Proposed Rule Change To Adopt Exchange Rule 6.57, Risk-Weighted Assets (“RWA”) Transactions 2018-08-23T00:00:00-07:00 2018-08-23T00:00:00-07:00 2018-18158 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-08-23/pdf/2018-18158.pdf https://regulations.justia.com/regulations/fedreg/2018/08/23/2018-18157.html Notice - Self-Regulatory Organizations; Nasdaq BX, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Codify the Definitions of the Protocols To Enter Quotes and Orders 2018-08-23T00:00:00-07:00 2018-08-23T00:00:00-07:00 2018-18157 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-08-23/pdf/2018-18157.pdf https://regulations.justia.com/regulations/fedreg/2018/08/23/2018-18156.html Notice - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing of a Proposed Rule Change To Amend FINRA Rule 7730 (Trade Reporting and Compliance Engine (TRACE)) To Remove Computer-to-Computer Interface as a Technological Option for TRACE Reporting 2018-08-23T00:00:00-07:00 2018-08-23T00:00:00-07:00 2018-18156 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-08-23/pdf/2018-18156.pdf https://regulations.justia.com/regulations/fedreg/2018/08/22/2018-18131.html Notice - Investor Advisory Committee Meeting 2018-08-22T00:00:00-07:00 2018-08-22T00:00:00-07:00 2018-18131 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-08-22/pdf/2018-18131.pdf https://regulations.justia.com/regulations/fedreg/2018/08/22/2018-18065.html Notice - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend FINRA Rule 1220(a)(4), Financial and Operations Principal and Introducing Broker-Dealer Financial and Operations Principal 2018-08-22T00:00:00-07:00 2018-08-22T00:00:00-07:00 2018-18065 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-08-22/pdf/2018-18065.pdf https://regulations.justia.com/regulations/fedreg/2018/08/22/2018-18064.html Notice - Self-Regulatory Organizations; Nasdaq PHLX LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Codify the Definitions of the Protocols To Enter Quotes and Orders 2018-08-22T00:00:00-07:00 2018-08-22T00:00:00-07:00 2018-18064 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-08-22/pdf/2018-18064.pdf https://regulations.justia.com/regulations/fedreg/2018/08/22/2018-18063.html Notice - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Designation of a Longer Period for Commission Action on a 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 2018-08-22T00:00:00-07:00 2018-08-22T00:00:00-07:00 2018-18063 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-08-22/pdf/2018-18063.pdf https://regulations.justia.com/regulations/fedreg/2018/08/22/2018-18062.html Notice - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend FINRA Rule 7620A Relating to Fees Applicable to the FINRA/Nasdaq Trade Reporting Facilities 2018-08-22T00:00:00-07:00 2018-08-22T00:00:00-07:00 2018-18062 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-08-22/pdf/2018-18062.pdf https://regulations.justia.com/regulations/fedreg/2018/08/22/2018-18060.html Notice - Self-Regulatory Organizations: Investors Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the Definition of the Cross Price Constraint Utilized in the Opening Process for Non-IEX-Listed Securities Pursuant to Rule 11.231 2018-08-22T00:00:00-07:00 2018-08-22T00:00:00-07:00 2018-18060 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-08-22/pdf/2018-18060.pdf https://regulations.justia.com/regulations/fedreg/2018/08/22/2018-18059.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 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 2018-08-22T00:00:00-07:00 2018-08-22T00:00:00-07:00 2018-18059 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-08-22/pdf/2018-18059.pdf https://regulations.justia.com/regulations/fedreg/2018/08/22/2018-18058.html Notice - Self-Regulatory Organizations; The Nasdaq Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Adopt Initial and Continued Listing Standards for Subscription Receipts and Fees for Their Listing 2018-08-22T00:00:00-07:00 2018-08-22T00:00:00-07:00 2018-18058 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-08-22/pdf/2018-18058.pdf https://regulations.justia.com/regulations/fedreg/2018/08/22/2018-18057.html Notice - Self-Regulatory Organizations; ICE Clear Credit LLC; Notice of Designation of Longer Period for Commission Action on Proposed Rule Change Relating to the Clearance of an Additional Credit Default Swap Contract 2018-08-22T00:00:00-07:00 2018-08-22T00:00:00-07:00 2018-18057 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-08-22/pdf/2018-18057.pdf https://regulations.justia.com/regulations/fedreg/2018/08/21/2018-18069.html Notice - Sunshine Act Meetings 2018-08-21T00:00:00-07:00 2018-08-21T00:00:00-07:00 2018-18069 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-08-21/pdf/2018-18069.pdf https://regulations.justia.com/regulations/fedreg/2018/08/21/2018-17960.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. 2018-08-21T00:00:00-07:00 2018-08-21T00:00:00-07:00 2018-17960 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-08-21/pdf/2018-17960.pdf https://regulations.justia.com/regulations/fedreg/2018/08/21/2018-17959.html Notice - Self-Regulatory Organizations; Cboe EDGX Exchange, Inc.; Notice of Filing of a Proposed Rule Change To Permit the Listing and Trading of Options That Overlie the Mini-SPX Index, the Russell 2000 Index, and the Dow Jones Industrial Average 2018-08-21T00:00:00-07:00 2018-08-21T00:00:00-07:00 2018-17959 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-08-21/pdf/2018-17959.pdf https://regulations.justia.com/regulations/fedreg/2018/08/21/2018-17958.html Notice - Order Granting Petition for Review and Scheduling Filing of Statements 2018-08-21T00:00:00-07:00 2018-08-21T00:00:00-07:00 2018-17958 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-08-21/pdf/2018-17958.pdf https://regulations.justia.com/regulations/fedreg/2018/08/21/2018-17957.html Notice - Self-Regulatory Organizations; Cboe BZX Exchange, Inc.; Notice of Filing of a Proposed Rule Change To Permit the Listing and Trading of Options That Overlie the Mini-SPX Index, the Russell 2000 Index, and the Dow Jones Industrial Average 2018-08-21T00:00:00-07:00 2018-08-21T00:00:00-07:00 2018-17957 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-08-21/pdf/2018-17957.pdf https://regulations.justia.com/regulations/fedreg/2018/08/21/2018-17956.html Notice - Self-Regulatory Organizations; Fixed Income Clearing Corporation; Notice of Filing of Proposed Rule Change To Apply Government Securities Division Corporation Default Rule to Sponsored Members and Make Other Changes 2018-08-21T00:00:00-07:00 2018-08-21T00:00:00-07:00 2018-17956 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-08-21/pdf/2018-17956.pdf https://regulations.justia.com/regulations/fedreg/2018/08/21/2018-17936.html Notice - AXA Equitable Life Insurance Company, et al. 2018-08-21T00:00:00-07:00 2018-08-21T00:00:00-07:00 2018-17936 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-08-21/pdf/2018-17936.pdf https://regulations.justia.com/regulations/fedreg/2018/08/20/2018-17849.html Notice - Self-Regulatory Organizations: Notice of Filing and Immediate Effectiveness of a Proposed Rule Change by Miami International Securities Exchange LLC To Amend Its Fee Schedule 2018-08-20T00:00:00-07:00 2018-08-20T00:00:00-07:00 2018-17849 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-08-20/pdf/2018-17849.pdf https://regulations.justia.com/regulations/fedreg/2018/08/20/2018-17833.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 2018-08-20T00:00:00-07:00 2018-08-20T00:00:00-07:00 2018-17833 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-08-20/pdf/2018-17833.pdf https://regulations.justia.com/regulations/fedreg/2018/08/20/2018-17832.html Notice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing of Proposed Rule Change, as Modified by Amendment No. 1, To List and Trade Shares of the Amplify BlackSwan Growth & Treasury Core ETF Under Commentary .02 to NYSE Arca Rule 5.2-E(j)(3) 2018-08-20T00:00:00-07:00 2018-08-20T00:00:00-07:00 2018-17832 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-08-20/pdf/2018-17832.pdf https://regulations.justia.com/regulations/fedreg/2018/08/20/2018-17831.html Notice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Designation of a Longer Period for Commission Action on a Proposed Rule Change Regarding Investments of the REX BKCM ETF 2018-08-20T00:00:00-07:00 2018-08-20T00:00:00-07:00 2018-17831 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-08-20/pdf/2018-17831.pdf https://regulations.justia.com/regulations/fedreg/2018/08/20/2018-17830.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 2018-08-20T00:00:00-07:00 2018-08-20T00:00:00-07:00 2018-17830 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-08-20/pdf/2018-17830.pdf https://regulations.justia.com/regulations/fedreg/2018/08/20/2018-17829.html Notice - Self-Regulatory Organizations; NYSE American LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Rules 903 and 903A 2018-08-20T00:00:00-07:00 2018-08-20T00:00:00-07:00 2018-17829 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-08-20/pdf/2018-17829.pdf https://regulations.justia.com/regulations/fedreg/2018/08/20/2018-17828.html Notice - Self-Regulatory Organizations; Nasdaq ISE, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the Schedule of Fees at Section II 2018-08-20T00:00:00-07:00 2018-08-20T00:00:00-07:00 2018-17828 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-08-20/pdf/2018-17828.pdf https://regulations.justia.com/regulations/fedreg/2018/08/20/2018-17827.html Notice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Rules 6.4-O and 6.4A-O 2018-08-20T00:00:00-07:00 2018-08-20T00:00:00-07:00 2018-17827 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-08-20/pdf/2018-17827.pdf https://regulations.justia.com/regulations/fedreg/2018/08/17/2018-17743.html Notice - Self-Regulatory Organizations; New York Stock Exchange LLC; Order Approving a Proposed Rule Change, as Modified by Amendment No. 1, To Require Certain Member Organizations To Participate in Scheduled Market-Wide Circuit Breaker Testing 2018-08-17T00:00:00-07:00 2018-08-17T00:00:00-07:00 2018-17743 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-08-17/pdf/2018-17743.pdf https://regulations.justia.com/regulations/fedreg/2018/08/17/2018-17742.html Notice - Self-Regulatory Organizations; Nasdaq BX, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Section 7018(a) of the Exchange's Rules 2018-08-17T00:00:00-07:00 2018-08-17T00:00:00-07:00 2018-17742 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-08-17/pdf/2018-17742.pdf https://regulations.justia.com/regulations/fedreg/2018/08/17/2018-17741.html Notice - Self-Regulatory Organizations; ICE Clear Credit LLC; Order Approving Proposed Rule Change Relating To Amending the ICC Clearing Rules Regarding Mark-to-Market Margin 2018-08-17T00:00:00-07:00 2018-08-17T00:00:00-07:00 2018-17741 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-08-17/pdf/2018-17741.pdf https://regulations.justia.com/regulations/fedreg/2018/08/17/2018-17740.html Notice - Self-Regulatory Organizations; MIAX PEARL, LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to the Exchange Rule 514 Priority on the Exchange 2018-08-17T00:00:00-07:00 2018-08-17T00:00:00-07:00 2018-17740 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-08-17/pdf/2018-17740.pdf https://regulations.justia.com/regulations/fedreg/2018/08/17/2018-17738.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 Relating to Crossing Orders and Responses to Crossing Orders in Index Options on the Nasdaq 100 Reduced Value Index 2018-08-17T00:00:00-07:00 2018-08-17T00:00:00-07:00 2018-17738 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-08-17/pdf/2018-17738.pdf https://regulations.justia.com/regulations/fedreg/2018/08/17/2018-17737.html Notice - Self-Regulatory Organizations; The Nasdaq Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Delete and Replace the Current Rules on Arbitration 2018-08-17T00:00:00-07:00 2018-08-17T00:00:00-07:00 2018-17737 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-08-17/pdf/2018-17737.pdf https://regulations.justia.com/regulations/fedreg/2018/08/17/2018-17736.html Notice - Self-Regulatory Organizations; Cboe BYX Exchange, Inc.; Notice of Filing of a Proposed Rule Change To Make Permanent Rule 11.24, Which Sets Forth the Exchange's Pilot Retail Price Improvement Program 2018-08-17T00:00:00-07:00 2018-08-17T00:00:00-07:00 2018-17736 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-08-17/pdf/2018-17736.pdf https://regulations.justia.com/regulations/fedreg/2018/08/16/2018-17636.html Notice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the NYSE Arca Equities Fees and Charges To Introduce a New Pricing Tier 2018-08-16T00:00:00-07:00 2018-08-16T00:00:00-07:00 2018-17636 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-08-16/pdf/2018-17636.pdf https://regulations.justia.com/regulations/fedreg/2018/08/16/2018-17635.html Notice - Self-Regulatory Organizations; The Nasdaq Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the Exchange's Pricing at Chapter XV, Section 2 Entitled “Nasdaq Options Market-Fees and Rebates” 2018-08-16T00:00:00-07:00 2018-08-16T00:00:00-07:00 2018-17635 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-08-16/pdf/2018-17635.pdf https://regulations.justia.com/regulations/fedreg/2018/08/16/2018-17634.html Notice - Self-Regulatory Organizations; The Nasdaq Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Fees Under Rules 7014(e) and 7018(a) 2018-08-16T00:00:00-07:00 2018-08-16T00:00:00-07:00 2018-17634 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-08-16/pdf/2018-17634.pdf https://regulations.justia.com/regulations/fedreg/2018/08/16/2018-17633.html Notice - Self-Regulatory Organizations; Nasdaq PHLX LLC; Notice of Filing of Proposed Rule Change Relating to Anticipatory Hedging 2018-08-16T00:00:00-07:00 2018-08-16T00:00:00-07:00 2018-17633 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-08-16/pdf/2018-17633.pdf https://regulations.justia.com/regulations/fedreg/2018/08/16/2018-17632.html Notice - Self-Regulatory Organizations; NYSE American LLC; Notice of Withdrawal of 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 2018-08-16T00:00:00-07:00 2018-08-16T00:00:00-07:00 2018-17632 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-08-16/pdf/2018-17632.pdf https://regulations.justia.com/regulations/fedreg/2018/08/16/2018-17631.html Notice - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the Security Futures Risk Disclosure Statement 2018-08-16T00:00:00-07:00 2018-08-16T00:00:00-07:00 2018-17631 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-08-16/pdf/2018-17631.pdf https://regulations.justia.com/regulations/fedreg/2018/08/16/2018-17630.html Notice - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing of Proposed Rule Change To Amend NYSE Rule 104 Governing Transactions by Designated Market Makers 2018-08-16T00:00:00-07:00 2018-08-16T00:00:00-07:00 2018-17630 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-08-16/pdf/2018-17630.pdf https://regulations.justia.com/regulations/fedreg/2018/08/16/2018-17629.html Notice - Self-Regulatory Organizations; NYSE American LLC; Notice of Filing and Immediate Effectiveness of Proposed Change To Amend Section 140 and Section 142 of the NYSE American Company Guide To Eliminate the Initial Application Fee for SPACs Applying To List and Amend the Additional Shares Fee for Shares Issued in Conjunction With a Business Combination if the SPAC Remains Listed After Such Business Combination 2018-08-16T00:00:00-07:00 2018-08-16T00:00:00-07:00 2018-17629 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-08-16/pdf/2018-17629.pdf https://regulations.justia.com/regulations/fedreg/2018/08/16/2018-17628.html Notice - Self-Regulatory Organizations; Cboe Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Increase the Spread-Crossing Eligible Remove Fee to $0.0009 Per Share for Executions at or Above $1.00 That Remove Non-Displayed Liquidity 2018-08-16T00:00:00-07:00 2018-08-16T00:00:00-07:00 2018-17628 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-08-16/pdf/2018-17628.pdf https://regulations.justia.com/regulations/fedreg/2018/08/16/2018-17627.html Notice - Self-Regulatory Organizations; ICE Clear Credit LLC; Notice of Filing of Proposed Rule Change Relating to ICC's Treasury Operations Policies and Procedures 2018-08-16T00:00:00-07:00 2018-08-16T00:00:00-07:00 2018-17627 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-08-16/pdf/2018-17627.pdf https://regulations.justia.com/regulations/fedreg/2018/08/16/2018-17626.html Notice - Self-Regulatory Organizations; Nasdaq ISE, LLC; Notice of Designation of Longer Period for Commission Action on Proposed Rule Change To Amend Its Rules Related to Complex Orders 2018-08-16T00:00:00-07:00 2018-08-16T00:00:00-07:00 2018-17626 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-08-16/pdf/2018-17626.pdf https://regulations.justia.com/regulations/fedreg/2018/08/16/2018-14365.html Rule - Inline XBRL Filing of Tagged Data 2018-08-16T00:00:00-07:00 2018-08-16T00:00:00-07:00 2018-14365 Rule https://www.gpo.gov/fdsys/pkg/FR-2018-08-16/pdf/2018-14365.pdf https://regulations.justia.com/regulations/fedreg/2018/08/15/2018-17497.html Notice - Thrivent Financial for Lutherans, et al. 2018-08-15T00:00:00-07:00 2018-08-15T00:00:00-07:00 2018-17497 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-08-15/pdf/2018-17497.pdf https://regulations.justia.com/regulations/fedreg/2018/08/15/2018-17496.html Notice - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Order Approving a Proposed Rule Change Relating to ATS Reporting to TRACE of Transactions in U.S. Treasury Securities 2018-08-15T00:00:00-07:00 2018-08-15T00:00:00-07:00 2018-17496 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-08-15/pdf/2018-17496.pdf https://regulations.justia.com/regulations/fedreg/2018/08/15/2018-17495.html Notice - Self-Regulatory Organizations: Notice of Filing and Immediate Effectiveness of a Proposed Rule Change by MIAX PEARL, LLC To Amend the MIAX PEARL Fee Schedule 2018-08-15T00:00:00-07:00 2018-08-15T00:00:00-07:00 2018-17495 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-08-15/pdf/2018-17495.pdf https://regulations.justia.com/regulations/fedreg/2018/08/15/2018-17494.html Notice - Self-Regulatory Organizations; Miami International Securities Exchange LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Its Fee Schedule 2018-08-15T00:00:00-07:00 2018-08-15T00:00:00-07:00 2018-17494 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-08-15/pdf/2018-17494.pdf https://regulations.justia.com/regulations/fedreg/2018/08/15/2018-17493.html Notice - Self-Regulatory Organizations; Miami International Securities Exchange LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Its Fee Schedule 2018-08-15T00:00:00-07:00 2018-08-15T00:00:00-07:00 2018-17493 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-08-15/pdf/2018-17493.pdf https://regulations.justia.com/regulations/fedreg/2018/08/15/2018-17492.html Notice - Self-Regulatory Organizations; Nasdaq PHLX LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Incorporate the “PSX Last Sale and Nasdaq Last Sale Plus Data Feeds” Into the Market Data Enterprise License Proposed by the Nasdaq Stock Market LLC 2018-08-15T00:00:00-07:00 2018-08-15T00:00:00-07:00 2018-17492 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-08-15/pdf/2018-17492.pdf https://regulations.justia.com/regulations/fedreg/2018/08/15/2018-17491.html Notice - Self-Regulatory Organizations; Nasdaq BX, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Incorporate BX Rule 7039 Into the Market Data Enterprise License Proposed by the Nasdaq Stock Market LLC 2018-08-15T00:00:00-07:00 2018-08-15T00:00:00-07:00 2018-17491 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-08-15/pdf/2018-17491.pdf https://regulations.justia.com/regulations/fedreg/2018/08/15/2018-17490.html Notice - Self-Regulatory Organizations; Cboe BZX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Exchange Rule 1.5, Definitions, Exchange Rule 14.6, Obligations for Companies Listed on the Exchange, and Exchange Rule 14.11, Other Securities 2018-08-15T00:00:00-07:00 2018-08-15T00:00:00-07:00 2018-17490 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-08-15/pdf/2018-17490.pdf https://regulations.justia.com/regulations/fedreg/2018/08/15/2018-17489.html Notice - Self-Regulatory Organizations; Fixed Income Clearing Corporation; Notice of Filing of Proposed Rule Change To Correct Certain References, Provide Transparency to Existing Processes and Amend Existing Practices in Connection With the Mortgage-Backed Securities Division Electronic Pool Notification Rules 2018-08-15T00:00:00-07:00 2018-08-15T00:00:00-07:00 2018-17489 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-08-15/pdf/2018-17489.pdf https://regulations.justia.com/regulations/fedreg/2018/08/15/2018-17488.html Notice - Proposed Collection; Comment Request 2018-08-15T00:00:00-07:00 2018-08-15T00:00:00-07:00 2018-17488 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-08-15/pdf/2018-17488.pdf https://regulations.justia.com/regulations/fedreg/2018/08/15/2018-17487.html Notice - Proposed Collection; Comment Request 2018-08-15T00:00:00-07:00 2018-08-15T00:00:00-07:00 2018-17487 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-08-15/pdf/2018-17487.pdf https://regulations.justia.com/regulations/fedreg/2018/08/14/2018-17396.html Notice - Self-Regulatory Organizations: Investors Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Revise the Threshold for Imposition of the Crumbling Quote Remove Fee 2018-08-14T00:00:00-07:00 2018-08-14T00:00:00-07:00 2018-17396 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-08-14/pdf/2018-17396.pdf https://regulations.justia.com/regulations/fedreg/2018/08/14/2018-17395.html Notice - Self-Regulatory Organizations; The Options Clearing Corporation; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Make Clarifying and Conforming Changes to The Options Clearing Corporation's Margins Methodology and Margin Policy 2018-08-14T00:00:00-07:00 2018-08-14T00:00:00-07:00 2018-17395 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-08-14/pdf/2018-17395.pdf https://regulations.justia.com/regulations/fedreg/2018/08/14/2018-17394.html Notice - Self-Regulatory Organizations; Cboe BYX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Exchange Rule 1.5 Definitions and Exchange Rule 14.1 Unlisted Trading Privileges 2018-08-14T00:00:00-07:00 2018-08-14T00:00:00-07:00 2018-17394 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-08-14/pdf/2018-17394.pdf https://regulations.justia.com/regulations/fedreg/2018/08/14/2018-17393.html Notice - Self-Regulatory Organizations; Miami International Securities Exchange LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Its Fee Schedule 2018-08-14T00:00:00-07:00 2018-08-14T00:00:00-07:00 2018-17393 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-08-14/pdf/2018-17393.pdf https://regulations.justia.com/regulations/fedreg/2018/08/14/2018-17392.html Notice - Self-Regulatory Organizations; Cboe BZX Exchange, Inc.; Order Granting Approval of a Proposed Rule Change, as Modified by Amendment No. 2, To List and Trade Shares of Twelve Monthly Series of the Cboe Vest S&P 500® Buffer Protect Strategy ETF Under the ETF Series Solutions Trust Under Rule 14.11(c)(3), Index Fund Shares 2018-08-14T00:00:00-07:00 2018-08-14T00:00:00-07:00 2018-17392 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-08-14/pdf/2018-17392.pdf https://regulations.justia.com/regulations/fedreg/2018/08/13/2018-17473.html Notice - Sunshine Act Meetings 2018-08-13T00:00:00-07:00 2018-08-13T00:00:00-07:00 2018-17473 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-08-13/pdf/2018-17473.pdf https://regulations.justia.com/regulations/fedreg/2018/08/13/2018-17391.html Notice - Sunshine Act Meetings 2018-08-13T00:00:00-07:00 2018-08-13T00:00:00-07:00 2018-17391 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-08-13/pdf/2018-17391.pdf https://regulations.justia.com/regulations/fedreg/2018/08/13/2018-17390.html Notice - Sunshine Act Meetings 2018-08-13T00:00:00-07:00 2018-08-13T00:00:00-07:00 2018-17390 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-08-13/pdf/2018-17390.pdf https://regulations.justia.com/regulations/fedreg/2018/08/13/2018-17258.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 Regulatory Fee 2018-08-13T00:00:00-07:00 2018-08-13T00:00:00-07:00 2018-17258 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-08-13/pdf/2018-17258.pdf https://regulations.justia.com/regulations/fedreg/2018/08/13/2018-17257.html Notice - Self-Regulatory Organizations; Nasdaq ISE, LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the Options Regulatory Fee 2018-08-13T00:00:00-07:00 2018-08-13T00:00:00-07:00 2018-17257 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-08-13/pdf/2018-17257.pdf https://regulations.justia.com/regulations/fedreg/2018/08/13/2018-17256.html Notice - Self-Regulatory Organizations; Cboe BZX Exchange, Inc.; Notice of Designation of a Longer Period for Commission Action on a Proposed Rule Change To List and Trade Shares of SolidX Bitcoin Shares Issued by the VanEck SolidX Bitcoin Trust 2018-08-13T00:00:00-07:00 2018-08-13T00:00:00-07:00 2018-17256 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-08-13/pdf/2018-17256.pdf https://regulations.justia.com/regulations/fedreg/2018/08/13/2018-17255.html Notice - Self-Regulatory Organizations; Nasdaq ISE, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to the Regular Order Take Fee and the QCC and Solicitation Order Rebate 2018-08-13T00:00:00-07:00 2018-08-13T00:00:00-07:00 2018-17255 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-08-13/pdf/2018-17255.pdf https://regulations.justia.com/regulations/fedreg/2018/08/13/2018-17254.html Notice - Self-Regulatory Organizations; Nasdaq GEMX, LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the Options Regulatory Fee 2018-08-13T00:00:00-07:00 2018-08-13T00:00:00-07:00 2018-17254 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-08-13/pdf/2018-17254.pdf https://regulations.justia.com/regulations/fedreg/2018/08/13/2018-17253.html Notice - Self-Regulatory Organizations; Miami International Securities Exchange LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Its Fee Schedule 2018-08-13T00:00:00-07:00 2018-08-13T00:00:00-07:00 2018-17253 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-08-13/pdf/2018-17253.pdf https://regulations.justia.com/regulations/fedreg/2018/08/13/2018-17252.html Notice - Self-Regulatory Organizations; Miami International Securities Exchange LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Its Fee Schedule 2018-08-13T00:00:00-07:00 2018-08-13T00:00:00-07:00 2018-17252 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-08-13/pdf/2018-17252.pdf https://regulations.justia.com/regulations/fedreg/2018/08/13/2018-17251.html Notice - Self-Regulatory Organizations; MIAX PEARL, LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the MIAX PEARL Fee Schedule 2018-08-13T00:00:00-07:00 2018-08-13T00:00:00-07:00 2018-17251 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-08-13/pdf/2018-17251.pdf https://regulations.justia.com/regulations/fedreg/2018/08/13/2018-17250.html Notice - Self-Regulatory Organizations; Cboe BZX Exchange, Inc.; Notice of Withdrawal of a Proposed Rule Change, as Modified by Amendment No. 1, To List and Trade Shares of Twelve Monthly Series of the Cboe Vest S&P 500 Enhanced Growth Strategy ETF Under the ETF Series Solutions Trust Under Rule 14.11(c)(3), Index Fund Shares 2018-08-13T00:00:00-07:00 2018-08-13T00:00:00-07:00 2018-17250 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-08-13/pdf/2018-17250.pdf https://regulations.justia.com/regulations/fedreg/2018/08/10/2018-17259.html Notice - Sunshine Act Meetings 2018-08-10T00:00:00-07:00 2018-08-10T00:00:00-07:00 2018-17259 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-08-10/pdf/2018-17259.pdf https://regulations.justia.com/regulations/fedreg/2018/08/10/2018-17124.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 2018-08-10T00:00:00-07:00 2018-08-10T00:00:00-07:00 2018-17124 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-08-10/pdf/2018-17124.pdf https://regulations.justia.com/regulations/fedreg/2018/08/10/2018-17123.html Notice - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend FINRA Rule 9000 Series (Code of Procedure) To Reflect an Internal Reorganization of FINRA's Enforcement Operations 2018-08-10T00:00:00-07:00 2018-08-10T00:00:00-07:00 2018-17123 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-08-10/pdf/2018-17123.pdf https://regulations.justia.com/regulations/fedreg/2018/08/10/2018-17122.html Notice - Self-Regulatory Organizations; Cboe Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to the Silexx Trading Platform Fees Schedule 2018-08-10T00:00:00-07:00 2018-08-10T00:00:00-07:00 2018-17122 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-08-10/pdf/2018-17122.pdf https://regulations.justia.com/regulations/fedreg/2018/08/09/2018-17008.html Notice - Self-Regulatory Organizations; Cboe BZX Exchange, Inc.; Order Instituting Proceedings To Determine Whether To Approve or Disapprove a Proposed Rule Change To List and Trade Shares of the Principal Morley Short Duration Index ETF Under Rule 14.11(c)(4) 2018-08-09T00:00:00-07:00 2018-08-09T00:00:00-07:00 2018-17008 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-08-09/pdf/2018-17008.pdf https://regulations.justia.com/regulations/fedreg/2018/08/09/2018-17007.html Notice - Self-Regulatory Organizations; National Securities Clearing Corporation; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Provide for the Delivery of Certain Transaction Data Relating to Variable Annuity and Variable Life Insurance Subaccounts and Implement Fees Associated With This Proposed Feature 2018-08-09T00:00:00-07:00 2018-08-09T00:00:00-07:00 2018-17007 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-08-09/pdf/2018-17007.pdf https://regulations.justia.com/regulations/fedreg/2018/08/09/2018-17006.html Notice - Self-Regulatory Organizations; The Nasdaq Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Certain Terms Under Chapter I, Section 1 of the Options Rules 2018-08-09T00:00:00-07:00 2018-08-09T00:00:00-07:00 2018-17006 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-08-09/pdf/2018-17006.pdf https://regulations.justia.com/regulations/fedreg/2018/08/09/2018-17005.html Notice - Self-Regulatory Organizations; Nasdaq BX, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend BX Options Rules at Chapter I, Section 1 To Define Certain Terms 2018-08-09T00:00:00-07:00 2018-08-09T00:00:00-07:00 2018-17005 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-08-09/pdf/2018-17005.pdf https://regulations.justia.com/regulations/fedreg/2018/08/09/2018-17004.html Notice - Self-Regulatory Organizations; New York Stock Exchange LLC; Order Granting Approval of a Proposed Rule Change, as Modified by Amendment No. 1, Amending the Exchange's Rules Relating to Reserve Orders, Primary Pegged Orders, and Setter Priority for UTP Securities Trading on the Exchange's Pillar Platform 2018-08-09T00:00:00-07:00 2018-08-09T00:00:00-07:00 2018-17004 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-08-09/pdf/2018-17004.pdf https://regulations.justia.com/regulations/fedreg/2018/08/09/2018-17000.html Notice - Submission for OMB Review; Comment Request 2018-08-09T00:00:00-07:00 2018-08-09T00:00:00-07:00 2018-17000 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-08-09/pdf/2018-17000.pdf https://regulations.justia.com/regulations/fedreg/2018/08/09/2018-16999.html Notice - Submission for OMB Review; Comment Request 2018-08-09T00:00:00-07:00 2018-08-09T00:00:00-07:00 2018-16999 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-08-09/pdf/2018-16999.pdf https://regulations.justia.com/regulations/fedreg/2018/08/09/2018-16998.html Notice - Submission for OMB Review; Comment Request 2018-08-09T00:00:00-07:00 2018-08-09T00:00:00-07:00 2018-16998 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-08-09/pdf/2018-16998.pdf https://regulations.justia.com/regulations/fedreg/2018/08/08/2018-16901.html Notice - Self-Regulatory Organizations; Fixed Income Clearing Corporation; Notice of Filing of Proposed Rule Change To Codify the Processing of Conditional Prepayment Rate Claims in the MBSD Rules and Make Other Changes 2018-08-08T00:00:00-07:00 2018-08-08T00:00:00-07:00 2018-16901 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-08-08/pdf/2018-16901.pdf https://regulations.justia.com/regulations/fedreg/2018/08/08/2018-16890.html Notice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing of Proposed Rule Change To List and Trade Shares of the GraniteShares Gold MiniBAR Trust 2018-08-08T00:00:00-07:00 2018-08-08T00:00:00-07:00 2018-16890 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-08-08/pdf/2018-16890.pdf https://regulations.justia.com/regulations/fedreg/2018/08/08/2018-16889.html Notice - Self-Regulatory Organizations; Chicago Stock Exchange, Inc.; Notice of Withdrawal of a Proposed Rule Change To Adopt the Route QCT Cross Routing Option 2018-08-08T00:00:00-07:00 2018-08-08T00:00:00-07:00 2018-16889 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-08-08/pdf/2018-16889.pdf https://regulations.justia.com/regulations/fedreg/2018/08/07/2018-16903.html Notice - Sunshine Act Meetings 2018-08-07T00:00:00-07:00 2018-08-07T00:00:00-07:00 2018-16903 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-08-07/pdf/2018-16903.pdf https://regulations.justia.com/regulations/fedreg/2018/08/07/2018-16824.html Notice - Self-Regulatory Organizations; The Options Clearing Corporation; Notice of Filing of Amendments No. 1 and 2 To Advance Notice Concerning Enhanced and New Tools for Recovery Scenarios 2018-08-07T00:00:00-07:00 2018-08-07T00:00:00-07:00 2018-16824 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-08-07/pdf/2018-16824.pdf https://regulations.justia.com/regulations/fedreg/2018/08/07/2018-16823.html Notice - Self-Regulatory Organizations; The Options Clearing Corporation; Notice of Filing of Partial Amendments No. 1, 2, and 3 to Advance Notice Concerning Updates to and Formalization of OCC's Recovery and Orderly Wind-Down Plan 2018-08-07T00:00:00-07:00 2018-08-07T00:00:00-07:00 2018-16823 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-08-07/pdf/2018-16823.pdf https://regulations.justia.com/regulations/fedreg/2018/08/07/2018-16803.html Notice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing of Proposed Rule Change To Amend Commentary .01 to NYSE Arca Rule 8.600-E Relating to Certain Generic Listing Standards for Managed Fund Shares 2018-08-07T00:00:00-07:00 2018-08-07T00:00:00-07:00 2018-16803 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-08-07/pdf/2018-16803.pdf https://regulations.justia.com/regulations/fedreg/2018/08/07/2018-16802.html Notice - Self-Regulatory Organizations; Cboe BYX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Extend the Pilot Period for the Exchange's Retail Price Improvement Program 2018-08-07T00:00:00-07:00 2018-08-07T00:00:00-07:00 2018-16802 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-08-07/pdf/2018-16802.pdf https://regulations.justia.com/regulations/fedreg/2018/08/07/2018-16799.html Notice - Order Granting Applications by Nasdaq BX, Inc., Nasdaq GEMX, LLC, Nasdaq ISE, LLC, Nasdaq MRX, LLC, and Nasdaq PHLX LLC for 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 CAT Rules Incorporated by Reference 2018-08-07T00:00:00-07:00 2018-08-07T00:00:00-07:00 2018-16799 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-08-07/pdf/2018-16799.pdf https://regulations.justia.com/regulations/fedreg/2018/08/07/2018-16798.html Notice - Self-Regulatory Organization; Cboe BYX Exchange, Inc.; Order Granting an Extension to Limited Exemption From Rule 612(c) of Regulation NMS in Connection With the Exchange's Retail Price Improvement Program 2018-08-07T00:00:00-07:00 2018-08-07T00:00:00-07:00 2018-16798 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-08-07/pdf/2018-16798.pdf https://regulations.justia.com/regulations/fedreg/2018/08/07/2018-15896.html Rule - Regulation of NMS Stock Alternative Trading Systems 2018-08-07T00:00:00-07:00 2018-08-07T00:00:00-07:00 2018-15896 Rule https://www.gpo.gov/fdsys/pkg/FR-2018-08-07/pdf/2018-15896.pdf https://regulations.justia.com/regulations/fedreg/2018/08/06/2018-16724.html 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 2018-08-06T00:00:00-07:00 2018-08-06T00:00:00-07:00 2018-16724 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-08-06/pdf/2018-16724.pdf https://regulations.justia.com/regulations/fedreg/2018/08/06/2018-16723.html 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 2018-08-06T00:00:00-07:00 2018-08-06T00:00:00-07:00 2018-16723 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-08-06/pdf/2018-16723.pdf https://regulations.justia.com/regulations/fedreg/2018/08/06/2018-16722.html 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 2018-08-06T00:00:00-07:00 2018-08-06T00:00:00-07:00 2018-16722 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-08-06/pdf/2018-16722.pdf https://regulations.justia.com/regulations/fedreg/2018/08/06/2018-16721.html 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 2018-08-06T00:00:00-07:00 2018-08-06T00:00:00-07:00 2018-16721 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-08-06/pdf/2018-16721.pdf https://regulations.justia.com/regulations/fedreg/2018/08/06/2018-16720.html 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 2018-08-06T00:00:00-07:00 2018-08-06T00:00:00-07:00 2018-16720 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-08-06/pdf/2018-16720.pdf https://regulations.justia.com/regulations/fedreg/2018/08/06/2018-16714.html 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 2018-08-06T00:00:00-07:00 2018-08-06T00:00:00-07:00 2018-16714 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-08-06/pdf/2018-16714.pdf https://regulations.justia.com/regulations/fedreg/2018/08/06/2018-16712.html 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 2018-08-06T00:00:00-07:00 2018-08-06T00:00:00-07:00 2018-16712 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-08-06/pdf/2018-16712.pdf https://regulations.justia.com/regulations/fedreg/2018/08/06/2018-16711.html 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 2018-08-06T00:00:00-07:00 2018-08-06T00:00:00-07:00 2018-16711 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-08-06/pdf/2018-16711.pdf https://regulations.justia.com/regulations/fedreg/2018/08/06/2018-16709.html 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 2018-08-06T00:00:00-07:00 2018-08-06T00:00:00-07:00 2018-16709 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-08-06/pdf/2018-16709.pdf https://regulations.justia.com/regulations/fedreg/2018/08/06/2018-16708.html 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 2018-08-06T00:00:00-07:00 2018-08-06T00:00:00-07:00 2018-16708 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-08-06/pdf/2018-16708.pdf https://regulations.justia.com/regulations/fedreg/2018/08/06/2018-16707.html 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 2018-08-06T00:00:00-07:00 2018-08-06T00:00:00-07:00 2018-16707 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-08-06/pdf/2018-16707.pdf https://regulations.justia.com/regulations/fedreg/2018/08/03/2018-16601.html Notice - Proposed Collection; Comment Request 2018-08-03T00:00:00-07:00 2018-08-03T00:00:00-07:00 2018-16601 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-08-03/pdf/2018-16601.pdf https://regulations.justia.com/regulations/fedreg/2018/08/03/2018-16598.html Notice - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing of Proposed Rule Change To Amend Rule 2 To Remove Requirement That a Registered Broker-Dealer Be a Member of the Financial Industry Regulatory Authority, Inc. or Another National Securities Exchange 2018-08-03T00:00:00-07:00 2018-08-03T00:00:00-07:00 2018-16598 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-08-03/pdf/2018-16598.pdf https://regulations.justia.com/regulations/fedreg/2018/08/03/2018-16597.html Notice - Self-Regulatory Organizations; Cboe EDGA 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 2018-08-03T00:00:00-07:00 2018-08-03T00:00:00-07:00 2018-16597 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-08-03/pdf/2018-16597.pdf https://regulations.justia.com/regulations/fedreg/2018/08/03/2018-16596.html Notice - Self-Regulatory Organizations; Cboe BYX 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 2018-08-03T00:00:00-07:00 2018-08-03T00:00:00-07:00 2018-16596 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-08-03/pdf/2018-16596.pdf https://regulations.justia.com/regulations/fedreg/2018/08/03/2018-16595.html Notice - Self-Regulatory Organizations; BOX Options Exchange LLC; Notice of Withdrawal of Proposed Rule Change To Amend BOX Rule 7300 (Preferenced Orders) To Provide an Additional Allocation Preference to Preferred Market Makers 2018-08-03T00:00:00-07:00 2018-08-03T00:00:00-07:00 2018-16595 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-08-03/pdf/2018-16595.pdf https://regulations.justia.com/regulations/fedreg/2018/08/02/2018-16536.html Notice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing of Amendment No. 1 and Order Instituting Proceedings To Determine Whether To Approve or Disapprove a Proposed Rule Change as Modified by Amendment No. 1 Thereto Regarding the Continued Listing and Trading of Shares of the Natixis Loomis Sayles Short Duration Income ETF 2018-08-02T00:00:00-07:00 2018-08-02T00:00:00-07:00 2018-16536 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-08-02/pdf/2018-16536.pdf https://regulations.justia.com/regulations/fedreg/2018/08/02/2018-16535.html Notice - Self-Regulatory Organizations; The Options Clearing Corporation; Notice of Filing of Amendments No. 1 and 2 to Proposed Rule Change Concerning Enhanced and New Tools for Recovery Scenarios 2018-08-02T00:00:00-07:00 2018-08-02T00:00:00-07:00 2018-16535 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-08-02/pdf/2018-16535.pdf https://regulations.justia.com/regulations/fedreg/2018/08/02/2018-16534.html Notice - Self-Regulatory Organizations; Nasdaq ISE, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Codify the Definitions of the Protocols That Members Can Use To Enter Quotes and Orders 2018-08-02T00:00:00-07:00 2018-08-02T00:00:00-07:00 2018-16534 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-08-02/pdf/2018-16534.pdf https://regulations.justia.com/regulations/fedreg/2018/08/02/2018-16533.html Notice - Self-Regulatory Organizations; The Options Clearing Corporation; Notice of Filing of Partial Amendments No. 1 and 2 to Proposed Rule Change Concerning Updates to and Formalization of OCC's Recovery and Orderly Wind-Down Plan 2018-08-02T00:00:00-07:00 2018-08-02T00:00:00-07:00 2018-16533 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-08-02/pdf/2018-16533.pdf https://regulations.justia.com/regulations/fedreg/2018/08/02/2018-16532.html Notice - Self-Regulatory Organizations; The Options Clearing Corporation; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the Definition of Flexibly Structured Options 2018-08-02T00:00:00-07:00 2018-08-02T00:00:00-07:00 2018-16532 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-08-02/pdf/2018-16532.pdf https://regulations.justia.com/regulations/fedreg/2018/08/02/2018-16531.html Notice - 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 Establish BOX Connectivity Fees for Participants and Non-Participants Who Connect to the BOX Network 2018-08-02T00:00:00-07:00 2018-08-02T00:00:00-07:00 2018-16531 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-08-02/pdf/2018-16531.pdf https://regulations.justia.com/regulations/fedreg/2018/08/02/2018-16530.html Notice - Self-Regulatory Organizations; Nasdaq GEMX, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Codify the Protocol Definitions That Members Use To Enter Quotes and Orders 2018-08-02T00:00:00-07:00 2018-08-02T00:00:00-07:00 2018-16530 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-08-02/pdf/2018-16530.pdf https://regulations.justia.com/regulations/fedreg/2018/08/02/2018-16529.html Notice - Self-Regulatory Organizations; The Options Clearing Corporation; Order Approving Proposed Rule Change, as Modified by Amendments No. 1 and 2, Related to The Options Clearing Corporation's Stress Testing and Clearing Fund Methodology 2018-08-02T00:00:00-07:00 2018-08-02T00:00:00-07:00 2018-16529 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-08-02/pdf/2018-16529.pdf https://regulations.justia.com/regulations/fedreg/2018/08/02/2018-16528.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 518, Complex Orders 2018-08-02T00:00:00-07:00 2018-08-02T00:00:00-07:00 2018-16528 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-08-02/pdf/2018-16528.pdf https://regulations.justia.com/regulations/fedreg/2018/08/02/2018-16527.html Notice - Notice of Applications for Deregistration Under Section 8(f) of the Investment Company Act of 1940 2018-08-02T00:00:00-07:00 2018-08-02T00:00:00-07:00 2018-16527 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-08-02/pdf/2018-16527.pdf https://regulations.justia.com/regulations/fedreg/2018/08/02/2018-16526.html Notice - Self-Regulatory Organizations; Nasdaq MRX, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Codify the Definitions of the Protocols That Members Can Use To Enter Quotes and Orders 2018-08-02T00:00:00-07:00 2018-08-02T00:00:00-07:00 2018-16526 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-08-02/pdf/2018-16526.pdf https://regulations.justia.com/regulations/fedreg/2018/08/01/2018-16427.html Notice - Self-Regulatory Organizations; Bats BZX Exchange, Inc.; Order Setting Aside Action by Delegated Authority and Disapproving a Proposed Rule Change, as Modified by Amendments No. 1 and 2, To List and Trade Shares of the Winklevoss Bitcoin Trust 2018-08-01T00:00:00-07:00 2018-08-01T00:00:00-07:00 2018-16427 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-08-01/pdf/2018-16427.pdf https://regulations.justia.com/regulations/fedreg/2018/08/01/2018-16426.html Notice - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Designation of a Longer Period for Commission Action on a Proposed Rule Change Relating to ATS Reporting of Transactions to TRACE in U.S. Treasury Securities 2018-08-01T00:00:00-07:00 2018-08-01T00:00:00-07:00 2018-16426 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-08-01/pdf/2018-16426.pdf https://regulations.justia.com/regulations/fedreg/2018/08/01/2018-16425.html Notice - Self-Regulatory Organizations; The Nasdaq Stock Market LLC; Notice of Withdrawal of Proposed Rule Change To Amend Rule 4702(b)(14) To Establish a Price Improvement Only Variation on the Midpoint Extended Life Order 2018-08-01T00:00:00-07:00 2018-08-01T00:00:00-07:00 2018-16425 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-08-01/pdf/2018-16425.pdf https://regulations.justia.com/regulations/fedreg/2018/08/01/2018-16424.html Notice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing of Proposed Rule Change Regarding Investments of the First Trust TCW Unconstrained Plus Bond ETF 2018-08-01T00:00:00-07:00 2018-08-01T00:00:00-07:00 2018-16424 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-08-01/pdf/2018-16424.pdf https://regulations.justia.com/regulations/fedreg/2018/08/01/2018-16423.html Notice - Self-Regulatory Organizations; NYSE American LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the NYSE American Equities Price List and the NYSE American Options Fee Schedule Related to Co-Location Services in Connection With a Proposed Transaction With the Chicago Stock Exchange, Inc. Exchange and Its Parent, CHX Holdings, Inc. 2018-08-01T00:00:00-07:00 2018-08-01T00:00:00-07:00 2018-16423 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-08-01/pdf/2018-16423.pdf https://regulations.justia.com/regulations/fedreg/2018/08/01/2018-16422.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 Co-Location Services in Connection With a Proposed Transaction With the Chicago Stock Exchange, Inc. Exchange and Its Parent, CHX Holdings, Inc. 2018-08-01T00:00:00-07:00 2018-08-01T00:00:00-07:00 2018-16422 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-08-01/pdf/2018-16422.pdf https://regulations.justia.com/regulations/fedreg/2018/08/01/2018-16421.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 Related to Co-Location Services in Connection With a Proposed Transaction With the Chicago Stock Exchange, Inc. Exchange and Its Parent, CHX Holdings, Inc. 2018-08-01T00:00:00-07:00 2018-08-01T00:00:00-07:00 2018-16421 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-08-01/pdf/2018-16421.pdf https://regulations.justia.com/regulations/fedreg/2018/08/01/2018-16420.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 Related to Co-Location Services in Connection With a Proposed Transaction With the Chicago Stock Exchange, Inc. Exchange and Its Parent, CHX Holdings, Inc. 2018-08-01T00:00:00-07:00 2018-08-01T00:00:00-07:00 2018-16420 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-08-01/pdf/2018-16420.pdf https://regulations.justia.com/regulations/fedreg/2018/08/01/2018-16419.html Notice - Self-Regulatory Organizations; Municipal Securities Rulemaking Board; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend MSRB Rule A-13 to Temporarily Reduce the Rate of Assessment for the MSRB's Underwriting, Transaction and Technology Fees on Brokers, Dealers and Municipal Securities Dealers 2018-08-01T00:00:00-07:00 2018-08-01T00:00:00-07:00 2018-16419 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-08-01/pdf/2018-16419.pdf https://regulations.justia.com/regulations/fedreg/2018/08/01/2018-16418.html Notice - Self-Regulatory Organizations; The Depository Trust Company; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Make Clarifying Changes and Updates to the DTC Underwriting Service Guide 2018-08-01T00:00:00-07:00 2018-08-01T00:00:00-07:00 2018-16418 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-08-01/pdf/2018-16418.pdf https://regulations.justia.com/regulations/fedreg/2018/08/01/2018-16417.html Notice - Self-Regulatory Organizations; The Options Clearing Corporation; Notice of No Objection to Advance Notice, as Modified by Amendments No. 1 and 2, Concerning Proposed Changes to the Options Clearing Corporation's Stress Testing and Clearing Fund Methodology 2018-08-01T00:00:00-07:00 2018-08-01T00:00:00-07:00 2018-16417 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-08-01/pdf/2018-16417.pdf