<![CDATA[Federal Register Recent Federal Regulation Documents - Justia Regulation Tracker

<![CDATA[Federal Register Recent Federal Regulation Documents - Justia Regulation Tracker - Justia Regulations Tracker]]> https://regulations.justia.com/regulations/fedreg/agencies/securities-and-exchange-commission/2018/09?registers=between&min-day=1&max-day=30 Thu, 02 May 2024 19:48:49 -0700 Thu, 02 May 2024 19:48:49 -0700 Justia Regulations Tracker Copyright 2011 Justia Inc. https://regulations.justia.com/images/justiafedregulations.gif <![CDATA[Federal Register Recent Federal Regulation Documents - Justia Regulation Tracker - Justia Regulations Tracker]]> https://regulations.justia.com/regulations/fedreg/agencies/securities-and-exchange-commission/2018/09?registers=between&min-day=1&max-day=30 Notice - Self-Regulatory Organizations; Cboe Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating To Rename the “Extended Trading Hours” to “Global Trading Hours” in Its Rules and Fees Schedule https://regulations.justia.com/regulations/fedreg/2018/09/28/2018-21110.html https://regulations.justia.com/regulations/fedreg/2018/09/28/2018-21110.html Fri, 28 Sep 2018 00:00:00 -0700 2018-21110 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-09-28/pdf/2018-21110.pdf 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 Amend NYSE Rule 104 Governing Transactions by Designated Market Makers https://regulations.justia.com/regulations/fedreg/2018/09/28/2018-21108.html https://regulations.justia.com/regulations/fedreg/2018/09/28/2018-21108.html Fri, 28 Sep 2018 00:00:00 -0700 2018-21108 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-09-28/pdf/2018-21108.pdf Notice - Self-Regulatory Organizations; NYSE Arca, Inc.; Order Instituting Proceedings To Determine Whether To Approve or Disapprove a Proposed Rule Change Regarding Investments of the REX BKCM ETF https://regulations.justia.com/regulations/fedreg/2018/09/28/2018-21107.html https://regulations.justia.com/regulations/fedreg/2018/09/28/2018-21107.html Fri, 28 Sep 2018 00:00:00 -0700 2018-21107 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-09-28/pdf/2018-21107.pdf Notice - Distillate Capital Partners LLC, et al. https://regulations.justia.com/regulations/fedreg/2018/09/27/2018-21080.html https://regulations.justia.com/regulations/fedreg/2018/09/27/2018-21080.html Thu, 27 Sep 2018 00:00:00 -0700 2018-21080 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-09-27/pdf/2018-21080.pdf Notice - Submission for OMB Review Comment Request https://regulations.justia.com/regulations/fedreg/2018/09/27/2018-21043.html https://regulations.justia.com/regulations/fedreg/2018/09/27/2018-21043.html Thu, 27 Sep 2018 00:00:00 -0700 2018-21043 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-09-27/pdf/2018-21043.pdf Notice - 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 https://regulations.justia.com/regulations/fedreg/2018/09/27/2018-21000.html https://regulations.justia.com/regulations/fedreg/2018/09/27/2018-21000.html Thu, 27 Sep 2018 00:00:00 -0700 2018-21000 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-09-27/pdf/2018-21000.pdf Notice - 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 https://regulations.justia.com/regulations/fedreg/2018/09/27/2018-20999.html https://regulations.justia.com/regulations/fedreg/2018/09/27/2018-20999.html Thu, 27 Sep 2018 00:00:00 -0700 2018-20999 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-09-27/pdf/2018-20999.pdf Notice - 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 https://regulations.justia.com/regulations/fedreg/2018/09/27/2018-20998.html https://regulations.justia.com/regulations/fedreg/2018/09/27/2018-20998.html Thu, 27 Sep 2018 00:00:00 -0700 2018-20998 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-09-27/pdf/2018-20998.pdf Notice - 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 https://regulations.justia.com/regulations/fedreg/2018/09/27/2018-20997.html https://regulations.justia.com/regulations/fedreg/2018/09/27/2018-20997.html Thu, 27 Sep 2018 00:00:00 -0700 2018-20997 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-09-27/pdf/2018-20997.pdf Proposed Rule - Amendment to Single Issuer Exemption for Broker-Dealers https://regulations.justia.com/regulations/fedreg/2018/09/27/2018-20880.html https://regulations.justia.com/regulations/fedreg/2018/09/27/2018-20880.html Thu, 27 Sep 2018 00:00:00 -0700 2018-20880 Proposed Rule https://www.gpo.gov/fdsys/pkg/FR-2018-09-27/pdf/2018-20880.pdf Notice - Ares Credit and Income Trust and Ares Capital Management III LLC; Notice of Application https://regulations.justia.com/regulations/fedreg/2018/09/26/2018-20956.html https://regulations.justia.com/regulations/fedreg/2018/09/26/2018-20956.html Wed, 26 Sep 2018 00:00:00 -0700 2018-20956 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-09-26/pdf/2018-20956.pdf Notice - Self-Regulatory Organizations; Nasdaq GEMX, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Risk Protections https://regulations.justia.com/regulations/fedreg/2018/09/26/2018-20886.html https://regulations.justia.com/regulations/fedreg/2018/09/26/2018-20886.html Wed, 26 Sep 2018 00:00:00 -0700 2018-20886 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-09-26/pdf/2018-20886.pdf Notice - Self-Regulatory Organizations; Fixed Income Clearing Corporation; Order Granting Approval of Proposed Rule Change To Codify the Processing of Conditional Prepayment Rate Claims in the MBSD Rules and Make Other Changes https://regulations.justia.com/regulations/fedreg/2018/09/26/2018-20885.html https://regulations.justia.com/regulations/fedreg/2018/09/26/2018-20885.html Wed, 26 Sep 2018 00:00:00 -0700 2018-20885 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-09-26/pdf/2018-20885.pdf 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 SolidX Bitcoin Shares Issued by the VanEck SolidX Bitcoin Trust Under BZX Rule 14.11(e)(4), Commodity-Based Trust Shares https://regulations.justia.com/regulations/fedreg/2018/09/26/2018-20884.html https://regulations.justia.com/regulations/fedreg/2018/09/26/2018-20884.html Wed, 26 Sep 2018 00:00:00 -0700 2018-20884 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-09-26/pdf/2018-20884.pdf Notice - Self-Regulatory Organizations; Nasdaq MRX, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Risk Protections https://regulations.justia.com/regulations/fedreg/2018/09/26/2018-20882.html https://regulations.justia.com/regulations/fedreg/2018/09/26/2018-20882.html Wed, 26 Sep 2018 00:00:00 -0700 2018-20882 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-09-26/pdf/2018-20882.pdf Notice - Self-Regulatory Organizations; Nasdaq ISE, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Risk Protections https://regulations.justia.com/regulations/fedreg/2018/09/26/2018-20881.html https://regulations.justia.com/regulations/fedreg/2018/09/26/2018-20881.html Wed, 26 Sep 2018 00:00:00 -0700 2018-20881 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-09-26/pdf/2018-20881.pdf Notice - Self-Regulatory Organizations; Cboe BYX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Its Rules Relating to Categories of Registration and Respective Qualification Examinations Required for Members That Engage in Trading Activities on the Exchange https://regulations.justia.com/regulations/fedreg/2018/09/26/2018-20878.html https://regulations.justia.com/regulations/fedreg/2018/09/26/2018-20878.html Wed, 26 Sep 2018 00:00:00 -0700 2018-20878 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-09-26/pdf/2018-20878.pdf Notice - Sunshine Act Meetings https://regulations.justia.com/regulations/fedreg/2018/09/25/2018-20899.html https://regulations.justia.com/regulations/fedreg/2018/09/25/2018-20899.html Tue, 25 Sep 2018 00:00:00 -0700 2018-20899 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-09-25/pdf/2018-20899.pdf Notice - Self-Regulatory Organizations; Nasdaq BX, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the Equity Rule 6950 Series Concerning the Order Audit Trail System To Make Conforming and Technical Changes https://regulations.justia.com/regulations/fedreg/2018/09/25/2018-20898.html https://regulations.justia.com/regulations/fedreg/2018/09/25/2018-20898.html Tue, 25 Sep 2018 00:00:00 -0700 2018-20898 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-09-25/pdf/2018-20898.pdf Notice - Variant Alternative Income Fund and Variant Investments, LLC https://regulations.justia.com/regulations/fedreg/2018/09/25/2018-20820.html https://regulations.justia.com/regulations/fedreg/2018/09/25/2018-20820.html Tue, 25 Sep 2018 00:00:00 -0700 2018-20820 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-09-25/pdf/2018-20820.pdf Notice - Self-Regulatory Organizations; The Nasdaq Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Fees at Rule 7014 https://regulations.justia.com/regulations/fedreg/2018/09/25/2018-20770.html https://regulations.justia.com/regulations/fedreg/2018/09/25/2018-20770.html Tue, 25 Sep 2018 00:00:00 -0700 2018-20770 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-09-25/pdf/2018-20770.pdf Notice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Designation of a Longer Period for Commission Action on a Proposed Rule Change To Amend Commentary .01 to NYSE Arca Rule 8.600-E Relating to Certain Generic Listing Standards for Managed Fund Shares https://regulations.justia.com/regulations/fedreg/2018/09/25/2018-20769.html https://regulations.justia.com/regulations/fedreg/2018/09/25/2018-20769.html Tue, 25 Sep 2018 00:00:00 -0700 2018-20769 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-09-25/pdf/2018-20769.pdf Notice - Self-Regulatory Organizations; The Nasdaq Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Conform the Exchange's By-Law Provisions Regarding the Chief Regulatory Officer to Those of Its Affiliate, Nasdaq PHLX LLC https://regulations.justia.com/regulations/fedreg/2018/09/25/2018-20768.html https://regulations.justia.com/regulations/fedreg/2018/09/25/2018-20768.html Tue, 25 Sep 2018 00:00:00 -0700 2018-20768 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-09-25/pdf/2018-20768.pdf Notice - Self-Regulatory Organizations; Nasdaq BX, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Conform the Exchange's By-Law Provisions Regarding the Chief Regulatory Officer to Those of Its Affiliate, Nasdaq PHLX LLC https://regulations.justia.com/regulations/fedreg/2018/09/25/2018-20762.html https://regulations.justia.com/regulations/fedreg/2018/09/25/2018-20762.html Tue, 25 Sep 2018 00:00:00 -0700 2018-20762 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-09-25/pdf/2018-20762.pdf Notice - Self-Regulatory Organizations; The Nasdaq Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Rule 7021 https://regulations.justia.com/regulations/fedreg/2018/09/25/2018-20761.html https://regulations.justia.com/regulations/fedreg/2018/09/25/2018-20761.html Tue, 25 Sep 2018 00:00:00 -0700 2018-20761 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-09-25/pdf/2018-20761.pdf Notice - Self-Regulatory Organizations; Nasdaq MRX, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Conform By-Law's CRO Provisions To Those of an Affiliate Exchange https://regulations.justia.com/regulations/fedreg/2018/09/25/2018-20760.html https://regulations.justia.com/regulations/fedreg/2018/09/25/2018-20760.html Tue, 25 Sep 2018 00:00:00 -0700 2018-20760 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-09-25/pdf/2018-20760.pdf Notice - Self-Regulatory Organizations; Nasdaq ISE, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Conform By-Law's CRO Provisions to Those of an Affiliate Exchange https://regulations.justia.com/regulations/fedreg/2018/09/25/2018-20759.html https://regulations.justia.com/regulations/fedreg/2018/09/25/2018-20759.html Tue, 25 Sep 2018 00:00:00 -0700 2018-20759 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-09-25/pdf/2018-20759.pdf Notice - Self-Regulatory Organizations; Nasdaq GEMX, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Conform By-Law's CRO Provisions to Those of an Affiliate Exchange https://regulations.justia.com/regulations/fedreg/2018/09/25/2018-20758.html https://regulations.justia.com/regulations/fedreg/2018/09/25/2018-20758.html Tue, 25 Sep 2018 00:00:00 -0700 2018-20758 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-09-25/pdf/2018-20758.pdf Notice - Order Under Section 15B, Section 17A and Section 36 of the Securities Exchange Act of 1934 Granting Exemptions From Specified Provisions of the Exchange Act and Certain Rules Thereunder; Order Under Section 6(c) and Section 38(a) of the Investment Company Act of 1940 Granting Exemptions From Specified Provisions of the Investment Company Act and Certain Rules Thereunder https://regulations.justia.com/regulations/fedreg/2018/09/24/2018-20739.html https://regulations.justia.com/regulations/fedreg/2018/09/24/2018-20739.html Mon, 24 Sep 2018 00:00:00 -0700 2018-20739 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-09-24/pdf/2018-20739.pdf Notice - Consolidated Tape Association; Notice of Filing and Immediate Effectiveness of the Twenty-Fourth Charges Amendment to the Second Restatement of the CTA Plan and the Fifteenth Charges Amendment to the Restated CQ Plan https://regulations.justia.com/regulations/fedreg/2018/09/24/2018-20661.html https://regulations.justia.com/regulations/fedreg/2018/09/24/2018-20661.html Mon, 24 Sep 2018 00:00:00 -0700 2018-20661 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-09-24/pdf/2018-20661.pdf Notice - Self-Regulatory Organizations; The Nasdaq Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Eliminate the Market Quality Program (Rule 5950) https://regulations.justia.com/regulations/fedreg/2018/09/24/2018-20660.html https://regulations.justia.com/regulations/fedreg/2018/09/24/2018-20660.html Mon, 24 Sep 2018 00:00:00 -0700 2018-20660 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-09-24/pdf/2018-20660.pdf Notice - Self-Regulatory Organizations; Nasdaq PHLX LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Rule 1080(A)(I)(C) Relating to Options Floor Based Management System https://regulations.justia.com/regulations/fedreg/2018/09/24/2018-20659.html https://regulations.justia.com/regulations/fedreg/2018/09/24/2018-20659.html Mon, 24 Sep 2018 00:00:00 -0700 2018-20659 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-09-24/pdf/2018-20659.pdf Notice - Self-Regulatory Organizations; New York Stock Exchange LLC; Order Instituting Proceedings To Determine Whether To Approve or Disapprove a Proposed Rule Change To Make Permanent the Retail Liquidity Program Pilot, Which Is Set To Expire on December 31, 2018 https://regulations.justia.com/regulations/fedreg/2018/09/24/2018-20658.html https://regulations.justia.com/regulations/fedreg/2018/09/24/2018-20658.html Mon, 24 Sep 2018 00:00:00 -0700 2018-20658 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-09-24/pdf/2018-20658.pdf 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 https://regulations.justia.com/regulations/fedreg/2018/09/21/C1-2018-18781.html https://regulations.justia.com/regulations/fedreg/2018/09/21/C1-2018-18781.html Fri, 21 Sep 2018 00:00:00 -0700 C1-2018-18781 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-09-21/pdf/C1-2018-18781.pdf Notice - Sunshine Act Meetings https://regulations.justia.com/regulations/fedreg/2018/09/21/2018-20742.html https://regulations.justia.com/regulations/fedreg/2018/09/21/2018-20742.html Fri, 21 Sep 2018 00:00:00 -0700 2018-20742 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-09-21/pdf/2018-20742.pdf Notice - Sunshine Act Meetings https://regulations.justia.com/regulations/fedreg/2018/09/21/2018-20741.html https://regulations.justia.com/regulations/fedreg/2018/09/21/2018-20741.html Fri, 21 Sep 2018 00:00:00 -0700 2018-20741 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-09-21/pdf/2018-20741.pdf Rule - Regulation Crowdfunding and Regulation A Relief and Assistance for Victims of Hurricane Florence https://regulations.justia.com/regulations/fedreg/2018/09/21/2018-20740.html https://regulations.justia.com/regulations/fedreg/2018/09/21/2018-20740.html Fri, 21 Sep 2018 00:00:00 -0700 2018-20740 Rule https://www.gpo.gov/fdsys/pkg/FR-2018-09-21/pdf/2018-20740.pdf Notice - Proposed Collection; Comment Request https://regulations.justia.com/regulations/fedreg/2018/09/21/2018-20592.html https://regulations.justia.com/regulations/fedreg/2018/09/21/2018-20592.html Fri, 21 Sep 2018 00:00:00 -0700 2018-20592 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-09-21/pdf/2018-20592.pdf Notice - Self-Regulatory Organizations; BOX Options Exchange LLC; Suspension of and Order Instituting Proceedings To Determine Whether To Approve or Disapprove a Proposed Rule Change To Amend the Fee Schedule on the BOX Market LLC Options Facility To Establish BOX Connectivity Fees for Participants and Non-Participants Who Connect to the BOX Network https://regulations.justia.com/regulations/fedreg/2018/09/21/2018-20548.html https://regulations.justia.com/regulations/fedreg/2018/09/21/2018-20548.html Fri, 21 Sep 2018 00:00:00 -0700 2018-20548 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-09-21/pdf/2018-20548.pdf Notice - Self-Regulatory Organizations; Miami International Securities Exchange LLC; Suspension of and Order Instituting Proceedings To Determine Whether To Approve or Disapprove a Proposed Rule Change To Amend the Fee Schedule Regarding Connectivity Fees for Members and Non-Members https://regulations.justia.com/regulations/fedreg/2018/09/21/2018-20547.html https://regulations.justia.com/regulations/fedreg/2018/09/21/2018-20547.html Fri, 21 Sep 2018 00:00:00 -0700 2018-20547 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-09-21/pdf/2018-20547.pdf Notice - Self-Regulatory Organizations; Cboe EDGX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Its Rules Relating to Categories of Registration and Respective Qualification Examinations Required for Members That Engage in Trading Activities on the Exchange https://regulations.justia.com/regulations/fedreg/2018/09/21/2018-20546.html https://regulations.justia.com/regulations/fedreg/2018/09/21/2018-20546.html Fri, 21 Sep 2018 00:00:00 -0700 2018-20546 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-09-21/pdf/2018-20546.pdf Notice - Self-Regulatory Organizations; MIAX PEARL, LLC; Suspension of and Order Instituting Proceedings To Determine Whether To Approve or Disapprove a Proposed Rule Change To Amend the Fee Schedule Regarding Connectivity Fees for Members and Non-Members https://regulations.justia.com/regulations/fedreg/2018/09/21/2018-20545.html https://regulations.justia.com/regulations/fedreg/2018/09/21/2018-20545.html Fri, 21 Sep 2018 00:00:00 -0700 2018-20545 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-09-21/pdf/2018-20545.pdf Notice - Self-Regulatory Organizations; Cboe BZX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Its Rules Relating to Categories of Registration and Respective Qualification Examinations Required for Members That Engage in Trading Activities on the Exchange https://regulations.justia.com/regulations/fedreg/2018/09/21/2018-20544.html https://regulations.justia.com/regulations/fedreg/2018/09/21/2018-20544.html Fri, 21 Sep 2018 00:00:00 -0700 2018-20544 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-09-21/pdf/2018-20544.pdf Notice - Self-Regulatory Organizations; Cboe EDGA Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Its Rules Relating to Categories of Registration and Respective Qualification Examinations Required for Members That Engage in Trading Activities on the Exchange https://regulations.justia.com/regulations/fedreg/2018/09/20/2018-20438.html https://regulations.justia.com/regulations/fedreg/2018/09/20/2018-20438.html Thu, 20 Sep 2018 00:00:00 -0700 2018-20438 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-09-20/pdf/2018-20438.pdf 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 First Trust TCW Unconstrained Plus Bond ETF https://regulations.justia.com/regulations/fedreg/2018/09/20/2018-20437.html https://regulations.justia.com/regulations/fedreg/2018/09/20/2018-20437.html Thu, 20 Sep 2018 00:00:00 -0700 2018-20437 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-09-20/pdf/2018-20437.pdf Notice - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Rule 2360 (Options) To Increase Position Limits on Options on Certain Exchange-Traded Funds https://regulations.justia.com/regulations/fedreg/2018/09/20/2018-20435.html https://regulations.justia.com/regulations/fedreg/2018/09/20/2018-20435.html Thu, 20 Sep 2018 00:00:00 -0700 2018-20435 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-09-20/pdf/2018-20435.pdf Notice - Self-Regulatory Organizations; ICE Clear Credit LLC; Order Approving Proposed Rule Change Relating to the Clearance of an Additional Credit Default Swap Contract https://regulations.justia.com/regulations/fedreg/2018/09/20/2018-20434.html https://regulations.justia.com/regulations/fedreg/2018/09/20/2018-20434.html Thu, 20 Sep 2018 00:00:00 -0700 2018-20434 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-09-20/pdf/2018-20434.pdf Notice - Self-Regulatory Organizations; Cboe Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating To Amend Its Rules Relating to Categories of Registration and Respective Qualification Examinations Required for Trading Permit Holders (“TPHs”) and Associated Persons That Engage in Trading Activities on the Exchange https://regulations.justia.com/regulations/fedreg/2018/09/20/2018-20433.html https://regulations.justia.com/regulations/fedreg/2018/09/20/2018-20433.html Thu, 20 Sep 2018 00:00:00 -0700 2018-20433 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-09-20/pdf/2018-20433.pdf Notice - Self-Regulatory Organizations; Cboe BZX Exchange, Inc.; Order Granting Approval of a Proposed Rule Change, as Modified by Amendment No. 3, To List and Trade Shares of Eighteen ADRPLUS Funds of the Precidian ETFs Trust Under Rule 14.11(i), Managed Fund Shares https://regulations.justia.com/regulations/fedreg/2018/09/20/2018-20432.html https://regulations.justia.com/regulations/fedreg/2018/09/20/2018-20432.html Thu, 20 Sep 2018 00:00:00 -0700 2018-20432 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-09-20/pdf/2018-20432.pdf Notice - Self-Regulatory Organizations; Cboe C2 Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating To Amend Its Rules Relating to Categories of Registration and Respective Qualification Examinations Required for Trading Permit Holders (“TPHs”) and Associated Persons That Engage in Trading Activities on the Exchange https://regulations.justia.com/regulations/fedreg/2018/09/20/2018-20431.html https://regulations.justia.com/regulations/fedreg/2018/09/20/2018-20431.html Thu, 20 Sep 2018 00:00:00 -0700 2018-20431 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-09-20/pdf/2018-20431.pdf Notice - Exact Sciences Corporation https://regulations.justia.com/regulations/fedreg/2018/09/20/2018-20408.html https://regulations.justia.com/regulations/fedreg/2018/09/20/2018-20408.html Thu, 20 Sep 2018 00:00:00 -0700 2018-20408 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-09-20/pdf/2018-20408.pdf Notice - Self-Regulatory Organizations; Nasdaq MRX, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Relocate the Exchange's Schedule of Fees https://regulations.justia.com/regulations/fedreg/2018/09/19/2018-20309.html https://regulations.justia.com/regulations/fedreg/2018/09/19/2018-20309.html Wed, 19 Sep 2018 00:00:00 -0700 2018-20309 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-09-19/pdf/2018-20309.pdf Notice - Self-Regulatory Organizations; Nasdaq BX, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Fees at Rule 7018(a) https://regulations.justia.com/regulations/fedreg/2018/09/19/2018-20308.html https://regulations.justia.com/regulations/fedreg/2018/09/19/2018-20308.html Wed, 19 Sep 2018 00:00:00 -0700 2018-20308 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-09-19/pdf/2018-20308.pdf Notice - Self-Regulatory Organizations; Cboe C2 Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating To Expand the Types of Messages That Users May Submit Into Bulk Order Ports https://regulations.justia.com/regulations/fedreg/2018/09/19/2018-20307.html https://regulations.justia.com/regulations/fedreg/2018/09/19/2018-20307.html Wed, 19 Sep 2018 00:00:00 -0700 2018-20307 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-09-19/pdf/2018-20307.pdf Notice - Sunshine Act Meetings https://regulations.justia.com/regulations/fedreg/2018/09/18/2018-20318.html https://regulations.justia.com/regulations/fedreg/2018/09/18/2018-20318.html Tue, 18 Sep 2018 00:00:00 -0700 2018-20318 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-09-18/pdf/2018-20318.pdf Notice - Proposed Collection; Comment Request https://regulations.justia.com/regulations/fedreg/2018/09/18/2018-20280.html https://regulations.justia.com/regulations/fedreg/2018/09/18/2018-20280.html Tue, 18 Sep 2018 00:00:00 -0700 2018-20280 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-09-18/pdf/2018-20280.pdf Notice - Proposed Collection; Comment Request https://regulations.justia.com/regulations/fedreg/2018/09/18/2018-20279.html https://regulations.justia.com/regulations/fedreg/2018/09/18/2018-20279.html Tue, 18 Sep 2018 00:00:00 -0700 2018-20279 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-09-18/pdf/2018-20279.pdf Notice - Proposed Collection; Comment Request https://regulations.justia.com/regulations/fedreg/2018/09/18/2018-20278.html https://regulations.justia.com/regulations/fedreg/2018/09/18/2018-20278.html Tue, 18 Sep 2018 00:00:00 -0700 2018-20278 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-09-18/pdf/2018-20278.pdf Notice - Submission for OMB Review; Comment Request https://regulations.justia.com/regulations/fedreg/2018/09/18/2018-20277.html https://regulations.justia.com/regulations/fedreg/2018/09/18/2018-20277.html Tue, 18 Sep 2018 00:00:00 -0700 2018-20277 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-09-18/pdf/2018-20277.pdf Notice - Self-Regulatory Organizations; Cboe BZX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To List and Trade Shares of the iShares iBonds Dec 2025 Term Muni Bond ETF of iShares Trust Under BZX Rule 14.11(c)(4) (Index Fund Shares) https://regulations.justia.com/regulations/fedreg/2018/09/18/2018-20237.html https://regulations.justia.com/regulations/fedreg/2018/09/18/2018-20237.html Tue, 18 Sep 2018 00:00:00 -0700 2018-20237 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-09-18/pdf/2018-20237.pdf 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, Step Up Tier 3 https://regulations.justia.com/regulations/fedreg/2018/09/18/2018-20196.html https://regulations.justia.com/regulations/fedreg/2018/09/18/2018-20196.html Tue, 18 Sep 2018 00:00:00 -0700 2018-20196 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-09-18/pdf/2018-20196.pdf 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 To Amend the Threshold Levels and Rebate Amounts Payable Under the Liquidity Provider Incentive Program, and To Amend the Rebate Amount Payable Under the Agency Order Incentive Program https://regulations.justia.com/regulations/fedreg/2018/09/18/2018-20195.html https://regulations.justia.com/regulations/fedreg/2018/09/18/2018-20195.html Tue, 18 Sep 2018 00:00:00 -0700 2018-20195 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-09-18/pdf/2018-20195.pdf 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 https://regulations.justia.com/regulations/fedreg/2018/09/18/2018-20194.html https://regulations.justia.com/regulations/fedreg/2018/09/18/2018-20194.html Tue, 18 Sep 2018 00:00:00 -0700 2018-20194 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-09-18/pdf/2018-20194.pdf Notice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Its Options Rules To Make Certain Non-Substantive Changes and To Harmonize Certain Rules With Those of Its Affiliate, NYSE American LLC https://regulations.justia.com/regulations/fedreg/2018/09/18/2018-20193.html https://regulations.justia.com/regulations/fedreg/2018/09/18/2018-20193.html Tue, 18 Sep 2018 00:00:00 -0700 2018-20193 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-09-18/pdf/2018-20193.pdf Notice - Self-Regulatory Organizations; Miami International Securities Exchange, LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Exchange Rule 404A, Select Provisions of Options Listing Procedures Plan, Rule 406, Long-Term Option Contracts, and Rule 1809, Terms of Index Options Contracts https://regulations.justia.com/regulations/fedreg/2018/09/18/2018-20190.html https://regulations.justia.com/regulations/fedreg/2018/09/18/2018-20190.html Tue, 18 Sep 2018 00:00:00 -0700 2018-20190 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-09-18/pdf/2018-20190.pdf Notice - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the NYSE Price List https://regulations.justia.com/regulations/fedreg/2018/09/17/2018-20192.html https://regulations.justia.com/regulations/fedreg/2018/09/17/2018-20192.html Mon, 17 Sep 2018 00:00:00 -0700 2018-20192 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-09-17/pdf/2018-20192.pdf Notice - Self-Regulatory Organizations; MIAX PEARL, LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Exchange Rule 404A, Select Provisions of Options Listing Procedures Plan, and Rule 406, Long-Term Option Contracts https://regulations.justia.com/regulations/fedreg/2018/09/17/2018-20191.html https://regulations.justia.com/regulations/fedreg/2018/09/17/2018-20191.html Mon, 17 Sep 2018 00:00:00 -0700 2018-20191 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-09-17/pdf/2018-20191.pdf Notice - Self-Regulatory Organizations; New York Stock Exchange LLC; Order Approving a 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 https://regulations.justia.com/regulations/fedreg/2018/09/17/2018-20076.html https://regulations.justia.com/regulations/fedreg/2018/09/17/2018-20076.html Mon, 17 Sep 2018 00:00:00 -0700 2018-20076 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-09-17/pdf/2018-20076.pdf Notice - Self-Regulatory Organizations; National Futures Association; Notice of Filing and Immediate Effectiveness of Proposed Change to the Interpretive Notice to National Futures Association Compliance Rule 2-30(b): Risk Disclosure Statement for Security Futures Contracts https://regulations.justia.com/regulations/fedreg/2018/09/17/2018-20075.html https://regulations.justia.com/regulations/fedreg/2018/09/17/2018-20075.html Mon, 17 Sep 2018 00:00:00 -0700 2018-20075 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-09-17/pdf/2018-20075.pdf Notice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing of Proposed Rule Change To Amend NYSE Arca Rule 1.1 Official Closing Price To Exclude From the TWAP Calculation a Midpoint That Is Based on an NBBO That Is Not Reflective of the Security's True and Current Value https://regulations.justia.com/regulations/fedreg/2018/09/17/2018-20073.html https://regulations.justia.com/regulations/fedreg/2018/09/17/2018-20073.html Mon, 17 Sep 2018 00:00:00 -0700 2018-20073 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-09-17/pdf/2018-20073.pdf Notice - Self-Regulatory Organizations; Cboe C2 Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating To Amend Its Fees Schedule https://regulations.justia.com/regulations/fedreg/2018/09/17/2018-20072.html https://regulations.justia.com/regulations/fedreg/2018/09/17/2018-20072.html Mon, 17 Sep 2018 00:00:00 -0700 2018-20072 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-09-17/pdf/2018-20072.pdf Notice - Sunshine Act Meetings https://regulations.justia.com/regulations/fedreg/2018/09/14/2018-20179.html https://regulations.justia.com/regulations/fedreg/2018/09/14/2018-20179.html Fri, 14 Sep 2018 00:00:00 -0700 2018-20179 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-09-14/pdf/2018-20179.pdf Notice - Wealthn LLC and TigerShares Trust https://regulations.justia.com/regulations/fedreg/2018/09/14/2018-20047.html https://regulations.justia.com/regulations/fedreg/2018/09/14/2018-20047.html Fri, 14 Sep 2018 00:00:00 -0700 2018-20047 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-09-14/pdf/2018-20047.pdf Notice - Self-Regulatory Organizations; NYSE American LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Rule 7.23E, Obligations of Market Makers https://regulations.justia.com/regulations/fedreg/2018/09/14/2018-19970.html https://regulations.justia.com/regulations/fedreg/2018/09/14/2018-19970.html Fri, 14 Sep 2018 00:00:00 -0700 2018-19970 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-09-14/pdf/2018-19970.pdf Notice - Proposed Collection; Comment Request https://regulations.justia.com/regulations/fedreg/2018/09/13/2018-19882.html https://regulations.justia.com/regulations/fedreg/2018/09/13/2018-19882.html Thu, 13 Sep 2018 00:00:00 -0700 2018-19882 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-09-13/pdf/2018-19882.pdf Notice - Proposed Collection; Comment Request https://regulations.justia.com/regulations/fedreg/2018/09/13/2018-19881.html https://regulations.justia.com/regulations/fedreg/2018/09/13/2018-19881.html Thu, 13 Sep 2018 00:00:00 -0700 2018-19881 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-09-13/pdf/2018-19881.pdf Notice - Proposed Collection; Comment Request https://regulations.justia.com/regulations/fedreg/2018/09/13/2018-19880.html https://regulations.justia.com/regulations/fedreg/2018/09/13/2018-19880.html Thu, 13 Sep 2018 00:00:00 -0700 2018-19880 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-09-13/pdf/2018-19880.pdf Notice - Submission for OMB Review; Comment Request https://regulations.justia.com/regulations/fedreg/2018/09/13/2018-19879.html https://regulations.justia.com/regulations/fedreg/2018/09/13/2018-19879.html Thu, 13 Sep 2018 00:00:00 -0700 2018-19879 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-09-13/pdf/2018-19879.pdf Notice - Self-Regulatory Organizations; Fixed Income Clearing Corporation; Order Granting Approval of Proposed Rule Change To Correct Certain References and Provide Transparency to Existing Processes in the Mortgage-Backed Securities Division Electronic Pool Notification Rules https://regulations.justia.com/regulations/fedreg/2018/09/13/2018-19872.html https://regulations.justia.com/regulations/fedreg/2018/09/13/2018-19872.html Thu, 13 Sep 2018 00:00:00 -0700 2018-19872 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-09-13/pdf/2018-19872.pdf Notice - Investment Company Act Release No. 33220; 812-14928 Broadstone Real Estate Access Fund and Broadstone Asset Management, LLC https://regulations.justia.com/regulations/fedreg/2018/09/12/2018-19837.html https://regulations.justia.com/regulations/fedreg/2018/09/12/2018-19837.html Wed, 12 Sep 2018 00:00:00 -0700 2018-19837 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-09-12/pdf/2018-19837.pdf Notice - Self-Regulatory Organizations; The Nasdaq Stock Market LLC; Notice of Filing of Amendment No. 3 and Order Granting Accelerated Approval of a Proposed Rule Change, as Modified by Amendment No. 3, To List and Trade Shares of the Western Asset Total Return ETF https://regulations.justia.com/regulations/fedreg/2018/09/12/2018-19774.html https://regulations.justia.com/regulations/fedreg/2018/09/12/2018-19774.html Wed, 12 Sep 2018 00:00:00 -0700 2018-19774 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-09-12/pdf/2018-19774.pdf Notice - Self-Regulatory Organizations; Cboe Exchange, Inc.; Notice of Filing of a Proposed Rule Change To Amend Rule 6.2, Interpretation and Policy .01 Concerning Strategy Orders https://regulations.justia.com/regulations/fedreg/2018/09/12/2018-19773.html https://regulations.justia.com/regulations/fedreg/2018/09/12/2018-19773.html Wed, 12 Sep 2018 00:00:00 -0700 2018-19773 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-09-12/pdf/2018-19773.pdf Notice - 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, Relating to the Continued Listing Criteria Applicable to the Shares of the iShares California AMT Free Muni Bond ETF and iShares New York AMT-Free Muni Bond ETF https://regulations.justia.com/regulations/fedreg/2018/09/12/2018-19772.html https://regulations.justia.com/regulations/fedreg/2018/09/12/2018-19772.html Wed, 12 Sep 2018 00:00:00 -0700 2018-19772 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-09-12/pdf/2018-19772.pdf Notice - PIMCO Flexible Credit Income Fund, et al. https://regulations.justia.com/regulations/fedreg/2018/09/12/2018-19765.html https://regulations.justia.com/regulations/fedreg/2018/09/12/2018-19765.html Wed, 12 Sep 2018 00:00:00 -0700 2018-19765 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-09-12/pdf/2018-19765.pdf Notice - Sunshine Act Meetings https://regulations.justia.com/regulations/fedreg/2018/09/11/2018-19791.html https://regulations.justia.com/regulations/fedreg/2018/09/11/2018-19791.html Tue, 11 Sep 2018 00:00:00 -0700 2018-19791 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-09-11/pdf/2018-19791.pdf Proposed Rule - Extension of Comment Period for Proposed Revisions to Prohibitions and Restrictions on Proprietary Trading and Certain Interests in, and Relationships With, Hedge Funds and Private Equity Funds https://regulations.justia.com/regulations/fedreg/2018/09/11/2018-19649.html https://regulations.justia.com/regulations/fedreg/2018/09/11/2018-19649.html Tue, 11 Sep 2018 00:00:00 -0700 2018-19649 Proposed Rule https://www.gpo.gov/fdsys/pkg/FR-2018-09-11/pdf/2018-19649.pdf 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 To Permit Certain Affiliated Market Participants To Aggregate Volume and Qualify for Various Pricing Incentives https://regulations.justia.com/regulations/fedreg/2018/09/11/2018-19642.html https://regulations.justia.com/regulations/fedreg/2018/09/11/2018-19642.html Tue, 11 Sep 2018 00:00:00 -0700 2018-19642 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-09-11/pdf/2018-19642.pdf Notice - Self-Regulatory Organizations; Nasdaq PHLX LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Move the P.M.-Settled Nasdaq-100 Index Options Expiring on the Third Friday of the Month to the NDX Index Options Class https://regulations.justia.com/regulations/fedreg/2018/09/11/2018-19641.html https://regulations.justia.com/regulations/fedreg/2018/09/11/2018-19641.html Tue, 11 Sep 2018 00:00:00 -0700 2018-19641 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-09-11/pdf/2018-19641.pdf Notice - Self-Regulatory Organizations; ICE Clear Europe Limited; Order Approving Proposed Rule Change Relating to Amendments to the ICE Clear Europe CDS End-of-Day Price Discovery Policy (“Price Discovery Policy”) https://regulations.justia.com/regulations/fedreg/2018/09/11/2018-19640.html https://regulations.justia.com/regulations/fedreg/2018/09/11/2018-19640.html Tue, 11 Sep 2018 00:00:00 -0700 2018-19640 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-09-11/pdf/2018-19640.pdf Notice - Self-Regulatory Organizations; BOX Options Exchange LLC; Order Instituting Proceedings To Determine Whether To Approve or Disapprove a Proposed Rule Change To Adopt Rules Governing the Trading of Complex Qualified Contingent Cross Orders and Complex Customer Cross Orders https://regulations.justia.com/regulations/fedreg/2018/09/11/2018-19639.html https://regulations.justia.com/regulations/fedreg/2018/09/11/2018-19639.html Tue, 11 Sep 2018 00:00:00 -0700 2018-19639 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-09-11/pdf/2018-19639.pdf Notice - Self-Regulatory Organizations; ICE Clear Credit LLC; Notice of Designation of Longer Period for Commission Action on Proposed Rule Change Relating to ICC's Risk Management Model Description Document and ICC's Risk Management Framework https://regulations.justia.com/regulations/fedreg/2018/09/11/2018-19637.html https://regulations.justia.com/regulations/fedreg/2018/09/11/2018-19637.html Tue, 11 Sep 2018 00:00:00 -0700 2018-19637 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-09-11/pdf/2018-19637.pdf Notice - Sunshine Act Meetings https://regulations.justia.com/regulations/fedreg/2018/09/10/2018-19647.html https://regulations.justia.com/regulations/fedreg/2018/09/10/2018-19647.html Mon, 10 Sep 2018 00:00:00 -0700 2018-19647 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-09-10/pdf/2018-19647.pdf Notice - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Section 4(c) of Schedule A to the FINRA By-Laws Relating to Qualification Examination Fees https://regulations.justia.com/regulations/fedreg/2018/09/10/2018-19502.html https://regulations.justia.com/regulations/fedreg/2018/09/10/2018-19502.html Mon, 10 Sep 2018 00:00:00 -0700 2018-19502 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-09-10/pdf/2018-19502.pdf Notice - Self-Regulatory Organizations; The Options Clearing Corporation; Notice of Filing of Proposed Rule Change Related to The Options Clearing Corporation's Board of Directors and Board Committee Charters https://regulations.justia.com/regulations/fedreg/2018/09/10/2018-19501.html https://regulations.justia.com/regulations/fedreg/2018/09/10/2018-19501.html Mon, 10 Sep 2018 00:00:00 -0700 2018-19501 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-09-10/pdf/2018-19501.pdf Notice - Notice of Applications for Deregistration Under Section 8(f) of the Investment Company Act of 1940 https://regulations.justia.com/regulations/fedreg/2018/09/07/2018-19377.html https://regulations.justia.com/regulations/fedreg/2018/09/07/2018-19377.html Fri, 07 Sep 2018 00:00:00 -0700 2018-19377 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-09-07/pdf/2018-19377.pdf Notice - Self-Regulatory Organizations; Nasdaq BX, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Provide New Optional Functionality to Minimum Quantity Orders https://regulations.justia.com/regulations/fedreg/2018/09/07/2018-19376.html https://regulations.justia.com/regulations/fedreg/2018/09/07/2018-19376.html Fri, 07 Sep 2018 00:00:00 -0700 2018-19376 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-09-07/pdf/2018-19376.pdf Notice - Self-Regulatory Organizations; Cboe EDGX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Expand the Types of Messages That Users May Submit Into Bulk Order Ports https://regulations.justia.com/regulations/fedreg/2018/09/07/2018-19375.html https://regulations.justia.com/regulations/fedreg/2018/09/07/2018-19375.html Fri, 07 Sep 2018 00:00:00 -0700 2018-19375 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-09-07/pdf/2018-19375.pdf Notice - Self-Regulatory Organizations; Nasdaq BX, Inc.; Notice of Designation of a Longer Period for Commission Action on Proposed Rule Change To Make Permanent the Exchange's Retail Price Improvement Program, Which is Set To Expire on December 31, 2018 https://regulations.justia.com/regulations/fedreg/2018/09/07/2018-19374.html https://regulations.justia.com/regulations/fedreg/2018/09/07/2018-19374.html Fri, 07 Sep 2018 00:00:00 -0700 2018-19374 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-09-07/pdf/2018-19374.pdf Notice - Self-Regulatory Organizations; The Nasdaq Stock Market LLC; Notice of Designation of a Longer Period for Commission Action on a Proposed Rule Change Relating to the First Trust Senior Loan Fund of First Trust Exchange Traded Fund IV https://regulations.justia.com/regulations/fedreg/2018/09/06/2018-19241.html https://regulations.justia.com/regulations/fedreg/2018/09/06/2018-19241.html Thu, 06 Sep 2018 00:00:00 -0700 2018-19241 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-09-06/pdf/2018-19241.pdf Notice - Self-Regulatory Organizations; The Nasdaq Stock Market LLC; Notice of Filing of Proposed Rule Change To List and Trade Corporate Non-Convertible Bonds on Nasdaq https://regulations.justia.com/regulations/fedreg/2018/09/06/2018-19239.html https://regulations.justia.com/regulations/fedreg/2018/09/06/2018-19239.html Thu, 06 Sep 2018 00:00:00 -0700 2018-19239 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-09-06/pdf/2018-19239.pdf Notice - Sunshine Act Meetings https://regulations.justia.com/regulations/fedreg/2018/09/05/2018-19258.html https://regulations.justia.com/regulations/fedreg/2018/09/05/2018-19258.html Wed, 05 Sep 2018 00:00:00 -0700 2018-19258 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-09-05/pdf/2018-19258.pdf Notice - Self-Regulatory Organizations; Cboe BZX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Related to Fees for Use on Cboe BZX Exchange, Inc. https://regulations.justia.com/regulations/fedreg/2018/09/05/2018-19240.html https://regulations.justia.com/regulations/fedreg/2018/09/05/2018-19240.html Wed, 05 Sep 2018 00:00:00 -0700 2018-19240 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-09-05/pdf/2018-19240.pdf 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 Cboe EDGX Exchange, Inc. https://regulations.justia.com/regulations/fedreg/2018/09/05/2018-19238.html https://regulations.justia.com/regulations/fedreg/2018/09/05/2018-19238.html Wed, 05 Sep 2018 00:00:00 -0700 2018-19238 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-09-05/pdf/2018-19238.pdf Notice - Self-Regulatory Organizations; The Nasdaq Stock Market LLC; Notice of Filing of Proposed Rule Change To Extend the Cutoff Times for Accepting On Close Orders Entered for Participation in the Nasdaq Closing Cross https://regulations.justia.com/regulations/fedreg/2018/09/05/2018-19148.html https://regulations.justia.com/regulations/fedreg/2018/09/05/2018-19148.html Wed, 05 Sep 2018 00:00:00 -0700 2018-19148 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-09-05/pdf/2018-19148.pdf Notice - Self-Regulatory Organizations; LCH SA; Notice of Filing of Proposed Rule Change Relating to Implementation of Electronic Exercise Platform https://regulations.justia.com/regulations/fedreg/2018/09/05/2018-19147.html https://regulations.justia.com/regulations/fedreg/2018/09/05/2018-19147.html Wed, 05 Sep 2018 00:00:00 -0700 2018-19147 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-09-05/pdf/2018-19147.pdf Notice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Listing and Trading of Shares of the American Century Diversified Municipal Bond ETF Under NYSE Arca Rule 8.600-E https://regulations.justia.com/regulations/fedreg/2018/09/05/2018-19146.html https://regulations.justia.com/regulations/fedreg/2018/09/05/2018-19146.html Wed, 05 Sep 2018 00:00:00 -0700 2018-19146 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-09-05/pdf/2018-19146.pdf Notice - Self-Regulatory Organizations; Fixed Income Clearing Corporation; Order Approving a Proposed Rule Change, as Modified by Amendment No. 1, To Amend the Loss Allocation Rules and Make Other Changes https://regulations.justia.com/regulations/fedreg/2018/09/04/2018-19062.html https://regulations.justia.com/regulations/fedreg/2018/09/04/2018-19062.html Tue, 04 Sep 2018 00:00:00 -0700 2018-19062 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-09-04/pdf/2018-19062.pdf Notice - Self-Regulatory Organizations; The Depository Trust Company; Order Approving a Proposed Rule Change, as Modified by Amendment No. 1, To Amend the Loss Allocation Rules and Make Other Changes https://regulations.justia.com/regulations/fedreg/2018/09/04/2018-19061.html https://regulations.justia.com/regulations/fedreg/2018/09/04/2018-19061.html Tue, 04 Sep 2018 00:00:00 -0700 2018-19061 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-09-04/pdf/2018-19061.pdf Notice - Self-Regulatory Organizations; Cboe Exchange, Inc.; Notice of Filing of a Proposed Rule Change To Amend Exchange Rule 6.49A, Transfer of Positions https://regulations.justia.com/regulations/fedreg/2018/09/04/2018-19060.html https://regulations.justia.com/regulations/fedreg/2018/09/04/2018-19060.html Tue, 04 Sep 2018 00:00:00 -0700 2018-19060 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-09-04/pdf/2018-19060.pdf Notice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Rule 7.31-E Relating To Reserve Orders, To Re-Name Two Order Types, and To Delete Inoperative Rule Text https://regulations.justia.com/regulations/fedreg/2018/09/04/2018-19059.html https://regulations.justia.com/regulations/fedreg/2018/09/04/2018-19059.html Tue, 04 Sep 2018 00:00:00 -0700 2018-19059 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-09-04/pdf/2018-19059.pdf Notice - Self-Regulatory Organizations; Miami International Securities Exchange LLC; Notice of Designation of Longer Period for Commission Action on Proposed Rule Change To List and Trade Options on the SPIKESTM https://regulations.justia.com/regulations/fedreg/2018/09/04/2018-19057.html https://regulations.justia.com/regulations/fedreg/2018/09/04/2018-19057.html Tue, 04 Sep 2018 00:00:00 -0700 2018-19057 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-09-04/pdf/2018-19057.pdf Notice - Self-Regulatory Organizations; National Securities Clearing Corporation; Order Approving a Proposed Rule Change, as Modified by Amendment No. 1, To Adopt a Recovery & Wind-Down Plan and Related Rules https://regulations.justia.com/regulations/fedreg/2018/09/04/2018-19056.html https://regulations.justia.com/regulations/fedreg/2018/09/04/2018-19056.html Tue, 04 Sep 2018 00:00:00 -0700 2018-19056 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-09-04/pdf/2018-19056.pdf Notice - Self-Regulatory Organizations; Fixed Income Clearing Corporation; Order Approving a Proposed Rule Change, as Modified by Amendment No. 1, To Adopt a Recovery & Wind-Down Plan and Related Rules https://regulations.justia.com/regulations/fedreg/2018/09/04/2018-19055.html https://regulations.justia.com/regulations/fedreg/2018/09/04/2018-19055.html Tue, 04 Sep 2018 00:00:00 -0700 2018-19055 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-09-04/pdf/2018-19055.pdf Notice - Self-Regulatory Organizations; The Depository Trust Company; Order Approving a Proposed Rule Change, as Modified by Amendment No. 1, To Adopt a Recovery & Wind-Down Plan and Related Rules https://regulations.justia.com/regulations/fedreg/2018/09/04/2018-19054.html https://regulations.justia.com/regulations/fedreg/2018/09/04/2018-19054.html Tue, 04 Sep 2018 00:00:00 -0700 2018-19054 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-09-04/pdf/2018-19054.pdf Notice - Self-Regulatory Organizations; National Securities Clearing Corporation; Order Approving a Proposed Rule Change, as Modified by Amendment No. 1, To Amend the Loss Allocation Rules and Make Other Changes https://regulations.justia.com/regulations/fedreg/2018/09/04/2018-19053.html https://regulations.justia.com/regulations/fedreg/2018/09/04/2018-19053.html Tue, 04 Sep 2018 00:00:00 -0700 2018-19053 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-09-04/pdf/2018-19053.pdf