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 2024-05-23T20:45:59-07:00 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