Federal Register Recent Federal Regulation Documents - Justia Regulation Tracker - Justia Regulations Trackerhttps://regulations.justia.com/regulations/fedreg/agencies/securities-and-exchange-commission/2018/08?limit=200®isters=between&min-day=1&max-day=31&mode=atom2024-05-23T20:45:59-07:00Justia Inchttps://www.justia.com/Justia Regulations Trackerhttps://regulations.justia.com/images/justiafedregulations.gifCopyright 2011 Justia Inchttps://regulations.justia.com/regulations/fedreg/2018/08/31/2018-18896.htmlNotice - 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 Series2018-08-31T00:00:00-07:002018-08-31T00:00:00-07:002018-18896Noticehttps://www.gpo.gov/fdsys/pkg/FR-2018-08-31/pdf/2018-18896.pdfhttps://regulations.justia.com/regulations/fedreg/2018/08/31/2018-18895.htmlNotice - 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 Series2018-08-31T00:00:00-07:002018-08-31T00:00:00-07:002018-18895Noticehttps://www.gpo.gov/fdsys/pkg/FR-2018-08-31/pdf/2018-18895.pdfhttps://regulations.justia.com/regulations/fedreg/2018/08/31/2018-18894.htmlNotice - Self-Regulatory Organizations; BOX Exchange LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend BOX Rules 5050 and 50702018-08-31T00:00:00-07:002018-08-31T00:00:00-07:002018-18894Noticehttps://www.gpo.gov/fdsys/pkg/FR-2018-08-31/pdf/2018-18894.pdfhttps://regulations.justia.com/regulations/fedreg/2018/08/31/2018-18585.htmlRule - Delegation of Authority to General Counsel of the Commission2018-08-31T00:00:00-07:002018-08-31T00:00:00-07:002018-18585Rulehttps://www.gpo.gov/fdsys/pkg/FR-2018-08-31/pdf/2018-18585.pdfhttps://regulations.justia.com/regulations/fedreg/2018/08/31/2018-18279.htmlRule - Amendments to Municipal Securities Disclosure2018-08-31T00:00:00-07:002018-08-31T00:00:00-07:002018-18279Rulehttps://www.gpo.gov/fdsys/pkg/FR-2018-08-31/pdf/2018-18279.pdfhttps://regulations.justia.com/regulations/fedreg/2018/08/30/2018-18869.htmlNotice - 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 Rules2018-08-30T00:00:00-07:002018-08-30T00:00:00-07:002018-18869Noticehttps://www.gpo.gov/fdsys/pkg/FR-2018-08-30/pdf/2018-18869.pdfhttps://regulations.justia.com/regulations/fedreg/2018/08/30/2018-18868.htmlNotice - 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 Rules2018-08-30T00:00:00-07:002018-08-30T00:00:00-07:002018-18868Noticehttps://www.gpo.gov/fdsys/pkg/FR-2018-08-30/pdf/2018-18868.pdfhttps://regulations.justia.com/regulations/fedreg/2018/08/30/2018-18867.htmlNotice - 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 Rules2018-08-30T00:00:00-07:002018-08-30T00:00:00-07:002018-18867Noticehttps://www.gpo.gov/fdsys/pkg/FR-2018-08-30/pdf/2018-18867.pdfhttps://regulations.justia.com/regulations/fedreg/2018/08/30/2018-18866.htmlNotice - 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 Changes2018-08-30T00:00:00-07:002018-08-30T00:00:00-07:002018-18866Noticehttps://www.gpo.gov/fdsys/pkg/FR-2018-08-30/pdf/2018-18866.pdfhttps://regulations.justia.com/regulations/fedreg/2018/08/30/2018-18865.htmlNotice - 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 Changes2018-08-30T00:00:00-07:002018-08-30T00:00:00-07:002018-18865Noticehttps://www.gpo.gov/fdsys/pkg/FR-2018-08-30/pdf/2018-18865.pdfhttps://regulations.justia.com/regulations/fedreg/2018/08/30/2018-18864.htmlNotice - 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 Changes2018-08-30T00:00:00-07:002018-08-30T00:00:00-07:002018-18864Noticehttps://www.gpo.gov/fdsys/pkg/FR-2018-08-30/pdf/2018-18864.pdfhttps://regulations.justia.com/regulations/fedreg/2018/08/30/2018-18847.htmlNotice - Proposed Collection; Comment Request2018-08-30T00:00:00-07:002018-08-30T00:00:00-07:002018-18847Noticehttps://www.gpo.gov/fdsys/pkg/FR-2018-08-30/pdf/2018-18847.pdfhttps://regulations.justia.com/regulations/fedreg/2018/08/30/2018-18826.htmlNotice - 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 Documents2018-08-30T00:00:00-07:002018-08-30T00:00:00-07:002018-18826Noticehttps://www.gpo.gov/fdsys/pkg/FR-2018-08-30/pdf/2018-18826.pdfhttps://regulations.justia.com/regulations/fedreg/2018/08/30/2018-18785.htmlNotice - 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 Name2018-08-30T00:00:00-07:002018-08-30T00:00:00-07:002018-18785Noticehttps://www.gpo.gov/fdsys/pkg/FR-2018-08-30/pdf/2018-18785.pdfhttps://regulations.justia.com/regulations/fedreg/2018/08/30/2018-18784.htmlNotice - 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 Providers2018-08-30T00:00:00-07:002018-08-30T00:00:00-07:002018-18784Noticehttps://www.gpo.gov/fdsys/pkg/FR-2018-08-30/pdf/2018-18784.pdfhttps://regulations.justia.com/regulations/fedreg/2018/08/30/2018-18783.htmlNotice - 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 Funds2018-08-30T00:00:00-07:002018-08-30T00:00:00-07:002018-18783Noticehttps://www.gpo.gov/fdsys/pkg/FR-2018-08-30/pdf/2018-18783.pdfhttps://regulations.justia.com/regulations/fedreg/2018/08/30/2018-18782.htmlNotice - Self-Regulatory Organizations; National Securities Clearing Corporation; Order Approving Proposed Rule Change To Terminate the Commission Billing Service and the Commission Billing Limited Membership2018-08-30T00:00:00-07:002018-08-30T00:00:00-07:002018-18782Noticehttps://www.gpo.gov/fdsys/pkg/FR-2018-08-30/pdf/2018-18782.pdfhttps://regulations.justia.com/regulations/fedreg/2018/08/30/2018-18781.htmlNotice - 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-E2018-08-30T00:00:00-07:002018-08-30T00:00:00-07:002018-18781Noticehttps://www.gpo.gov/fdsys/pkg/FR-2018-08-30/pdf/2018-18781.pdfhttps://regulations.justia.com/regulations/fedreg/2018/08/30/2018-18780.htmlNotice - THL Credit, Inc., et al.2018-08-30T00:00:00-07:002018-08-30T00:00:00-07:002018-18780Noticehttps://www.gpo.gov/fdsys/pkg/FR-2018-08-30/pdf/2018-18780.pdfhttps://regulations.justia.com/regulations/fedreg/2018/08/30/2018-18776.htmlNotice - Innovator ETFs Trust, et al.2018-08-30T00:00:00-07:002018-08-30T00:00:00-07:002018-18776Noticehttps://www.gpo.gov/fdsys/pkg/FR-2018-08-30/pdf/2018-18776.pdfhttps://regulations.justia.com/regulations/fedreg/2018/08/29/2018-18762.htmlNotice - Order Making Fiscal Year 2019 Annual Adjustments to Registration Fee Rates2018-08-29T00:00:00-07:002018-08-29T00:00:00-07:002018-18762Noticehttps://www.gpo.gov/fdsys/pkg/FR-2018-08-29/pdf/2018-18762.pdfhttps://regulations.justia.com/regulations/fedreg/2018/08/29/2018-18678.htmlNotice - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend its Price List2018-08-29T00:00:00-07:002018-08-29T00:00:00-07:002018-18678Noticehttps://www.gpo.gov/fdsys/pkg/FR-2018-08-29/pdf/2018-18678.pdfhttps://regulations.justia.com/regulations/fedreg/2018/08/29/2018-18677.htmlNotice - 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.2018-08-29T00:00:00-07:002018-08-29T00:00:00-07:002018-18677Noticehttps://www.gpo.gov/fdsys/pkg/FR-2018-08-29/pdf/2018-18677.pdfhttps://regulations.justia.com/regulations/fedreg/2018/08/29/2018-18676.htmlNotice - 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.2018-08-29T00:00:00-07:002018-08-29T00:00:00-07:002018-18676Noticehttps://www.gpo.gov/fdsys/pkg/FR-2018-08-29/pdf/2018-18676.pdfhttps://regulations.justia.com/regulations/fedreg/2018/08/29/2018-18675.htmlNotice - 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 Options2018-08-29T00:00:00-07:002018-08-29T00:00:00-07:002018-18675Noticehttps://www.gpo.gov/fdsys/pkg/FR-2018-08-29/pdf/2018-18675.pdfhttps://regulations.justia.com/regulations/fedreg/2018/08/29/2018-18674.htmlNotice - 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)2018-08-29T00:00:00-07:002018-08-29T00:00:00-07:002018-18674Noticehttps://www.gpo.gov/fdsys/pkg/FR-2018-08-29/pdf/2018-18674.pdfhttps://regulations.justia.com/regulations/fedreg/2018/08/29/2018-18673.htmlNotice - 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 Plan2018-08-29T00:00:00-07:002018-08-29T00:00:00-07:002018-18673Noticehttps://www.gpo.gov/fdsys/pkg/FR-2018-08-29/pdf/2018-18673.pdfhttps://regulations.justia.com/regulations/fedreg/2018/08/29/2018-18672.htmlNotice - 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 Scenarios2018-08-29T00:00:00-07:002018-08-29T00:00:00-07:002018-18672Noticehttps://www.gpo.gov/fdsys/pkg/FR-2018-08-29/pdf/2018-18672.pdfhttps://regulations.justia.com/regulations/fedreg/2018/08/29/2018-18656.htmlNotice - 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 Plan2018-08-29T00:00:00-07:002018-08-29T00:00:00-07:002018-18656Noticehttps://www.gpo.gov/fdsys/pkg/FR-2018-08-29/pdf/2018-18656.pdfhttps://regulations.justia.com/regulations/fedreg/2018/08/29/2018-18655.htmlNotice - 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 Scenarios2018-08-29T00:00:00-07:002018-08-29T00:00:00-07:002018-18655Noticehttps://www.gpo.gov/fdsys/pkg/FR-2018-08-29/pdf/2018-18655.pdfhttps://regulations.justia.com/regulations/fedreg/2018/08/28/2018-18679.htmlNotice - Sunshine Act Meetings2018-08-28T00:00:00-07:002018-08-28T00:00:00-07:002018-18679Noticehttps://www.gpo.gov/fdsys/pkg/FR-2018-08-28/pdf/2018-18679.pdfhttps://regulations.justia.com/regulations/fedreg/2018/08/28/2018-18578.htmlNotice - 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 ETF2018-08-28T00:00:00-07:002018-08-28T00:00:00-07:002018-18578Noticehttps://www.gpo.gov/fdsys/pkg/FR-2018-08-28/pdf/2018-18578.pdfhttps://regulations.justia.com/regulations/fedreg/2018/08/28/2018-18577.htmlNotice - 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-E2018-08-28T00:00:00-07:002018-08-28T00:00:00-07:002018-18577Noticehttps://www.gpo.gov/fdsys/pkg/FR-2018-08-28/pdf/2018-18577.pdfhttps://regulations.justia.com/regulations/fedreg/2018/08/28/2018-18574.htmlNotice - 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 Contracts2018-08-28T00:00:00-07:002018-08-28T00:00:00-07:002018-18574Noticehttps://www.gpo.gov/fdsys/pkg/FR-2018-08-28/pdf/2018-18574.pdfhttps://regulations.justia.com/regulations/fedreg/2018/08/28/2018-18573.htmlNotice - 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 ETFs2018-08-28T00:00:00-07:002018-08-28T00:00:00-07:002018-18573Noticehttps://www.gpo.gov/fdsys/pkg/FR-2018-08-28/pdf/2018-18573.pdfhttps://regulations.justia.com/regulations/fedreg/2018/08/28/2018-18572.htmlNotice - 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 ETF2018-08-28T00:00:00-07:002018-08-28T00:00:00-07:002018-18572Noticehttps://www.gpo.gov/fdsys/pkg/FR-2018-08-28/pdf/2018-18572.pdfhttps://regulations.justia.com/regulations/fedreg/2018/08/28/2018-18571.htmlNotice - 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 Types2018-08-28T00:00:00-07:002018-08-28T00:00:00-07:002018-18571Noticehttps://www.gpo.gov/fdsys/pkg/FR-2018-08-28/pdf/2018-18571.pdfhttps://regulations.justia.com/regulations/fedreg/2018/08/28/2018-18570.htmlNotice - 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 Type2018-08-28T00:00:00-07:002018-08-28T00:00:00-07:002018-18570Noticehttps://www.gpo.gov/fdsys/pkg/FR-2018-08-28/pdf/2018-18570.pdfhttps://regulations.justia.com/regulations/fedreg/2018/08/27/2018-18428.htmlNotice - 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 Exchange2018-08-27T00:00:00-07:002018-08-27T00:00:00-07:002018-18428Noticehttps://www.gpo.gov/fdsys/pkg/FR-2018-08-27/pdf/2018-18428.pdfhttps://regulations.justia.com/regulations/fedreg/2018/08/27/2018-18427.htmlNotice - Tortoise Capital Advisors, L.L.C., et al.2018-08-27T00:00:00-07:002018-08-27T00:00:00-07:002018-18427Noticehttps://www.gpo.gov/fdsys/pkg/FR-2018-08-27/pdf/2018-18427.pdfhttps://regulations.justia.com/regulations/fedreg/2018/08/27/2018-18426.htmlNotice - 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 Rulebook2018-08-27T00:00:00-07:002018-08-27T00:00:00-07:002018-18426Noticehttps://www.gpo.gov/fdsys/pkg/FR-2018-08-27/pdf/2018-18426.pdfhttps://regulations.justia.com/regulations/fedreg/2018/08/27/2018-18419.htmlNotice - Cushing Asset Management, LP et al.2018-08-27T00:00:00-07:002018-08-27T00:00:00-07:002018-18419Noticehttps://www.gpo.gov/fdsys/pkg/FR-2018-08-27/pdf/2018-18419.pdfhttps://regulations.justia.com/regulations/fedreg/2018/08/24/2018-18365.htmlNotice - Submission for OMB Review; Comment Request2018-08-24T00:00:00-07:002018-08-24T00:00:00-07:002018-18365Noticehttps://www.gpo.gov/fdsys/pkg/FR-2018-08-24/pdf/2018-18365.pdfhttps://regulations.justia.com/regulations/fedreg/2018/08/24/2018-18362.htmlNotice - 60 Day Notice-Proposed Collection; Comment Request2018-08-24T00:00:00-07:002018-08-24T00:00:00-07:002018-18362Noticehttps://www.gpo.gov/fdsys/pkg/FR-2018-08-24/pdf/2018-18362.pdfhttps://regulations.justia.com/regulations/fedreg/2018/08/24/2018-18361.htmlNotice - Proposed Collection; Comment Request2018-08-24T00:00:00-07:002018-08-24T00:00:00-07:002018-18361Noticehttps://www.gpo.gov/fdsys/pkg/FR-2018-08-24/pdf/2018-18361.pdfhttps://regulations.justia.com/regulations/fedreg/2018/08/24/2018-18360.htmlNotice - Proposed Collection; Comment Request2018-08-24T00:00:00-07:002018-08-24T00:00:00-07:002018-18360Noticehttps://www.gpo.gov/fdsys/pkg/FR-2018-08-24/pdf/2018-18360.pdfhttps://regulations.justia.com/regulations/fedreg/2018/08/24/2018-18359.htmlNotice - Proposed Collection; Comment Request2018-08-24T00:00:00-07:002018-08-24T00:00:00-07:002018-18359Noticehttps://www.gpo.gov/fdsys/pkg/FR-2018-08-24/pdf/2018-18359.pdfhttps://regulations.justia.com/regulations/fedreg/2018/08/24/2018-18358.htmlNotice - Proposed Collection; Comment Request2018-08-24T00:00:00-07:002018-08-24T00:00:00-07:002018-18358Noticehttps://www.gpo.gov/fdsys/pkg/FR-2018-08-24/pdf/2018-18358.pdfhttps://regulations.justia.com/regulations/fedreg/2018/08/24/2018-18295.htmlNotice - 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 System2018-08-24T00:00:00-07:002018-08-24T00:00:00-07:002018-18295Noticehttps://www.gpo.gov/fdsys/pkg/FR-2018-08-24/pdf/2018-18295.pdfhttps://regulations.justia.com/regulations/fedreg/2018/08/24/2018-18294.htmlNotice - 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 Orders2018-08-24T00:00:00-07:002018-08-24T00:00:00-07:002018-18294Noticehttps://www.gpo.gov/fdsys/pkg/FR-2018-08-24/pdf/2018-18294.pdf