Securities and Exchange Commission September 27, 2018 – Federal Register Recent Federal Regulation Documents

Results 1 - 7 of 7
Distillate Capital Partners LLC, et al.
Document Number: 2018-21080
Type: Notice
Date: 2018-09-27
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2018/09/27/2018-21080.html
Submission for OMB Review Comment Request
Document Number: 2018-21043
Type: Notice
Date: 2018-09-27
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2018/09/27/2018-21043.html
Self-Regulatory Organizations; Fixed Income Clearing Corporation; Order Approving Proposed Rule Change To Apply the Government Securities Division Corporation Default Rule to Sponsored Members and Make Other Changes
Document Number: 2018-21000
Type: Notice
Date: 2018-09-27
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2018/09/27/2018-21000.html
Self-Regulatory Organizations; National Securities Clearing Corporation; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Clarify and Update Certain Sections of the Rules
Document Number: 2018-20999
Type: Notice
Date: 2018-09-27
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2018/09/27/2018-20999.html
Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing of Amendment No. 1 and Order Approving on an Accelerated Basis a Proposed Rule Change, as Modified by Amendment No. 1, To List and Trade Shares of the GraniteShares Gold MiniBAR Trust Pursuant to NYSE Arca Rule 8.201-E
Document Number: 2018-20998
Type: Notice
Date: 2018-09-27
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2018/09/27/2018-20998.html
Self-Regulatory Organizations; National Securities Clearing Corporation; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Clarify the Rules That Describe the Buy-In Process
Document Number: 2018-20997
Type: Notice
Date: 2018-09-27
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2018/09/27/2018-20997.html
Amendment to Single Issuer Exemption for Broker-Dealers
Document Number: 2018-20880
Type: Proposed Rule
Date: 2018-09-27
Agency: Securities and Exchange Commission, Agencies and Commissions
The Commission is proposing an amendment to the exemption provisions in the broker-dealer annual reporting rule under the Securities Exchange Act of 1934 (``Exchange Act''). The amendment would provide that a broker-dealer is not required to engage an independent public accountant to certify the broker-dealer's annual reports if, among other things, the securities business of the broker-dealer has been limited to acting as broker (agent) for a single issuer in soliciting subscriptions for securities of that issuer.
https://regulations.justia.com/regulations/fedreg/2018/09/27/2018-20880.html
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