Securities and Exchange Commission October 9, 2018 – Federal Register Recent Federal Regulation Documents

Results 1 - 16 of 16
Sunshine Act Meetings
Document Number: 2018-21995
Type: Notice
Date: 2018-10-09
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2018/10/09/2018-21995.html
Self-Regulatory Organizations; Nasdaq BX, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Align Existing Investigatory and Disciplinary Processes and Related Rules With the Investigatory and Disciplinary Processes and Related Rules of Nasdaq PHLX LLC
Document Number: 2018-21906
Type: Notice
Date: 2018-10-09
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2018/10/09/2018-21906.html
Vident Advisory, LLC et al.
Document Number: 2018-21874
Type: Notice
Date: 2018-10-09
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2018/10/09/2018-21874.html
Proposed Collection; Comment Request
Document Number: 2018-21834
Type: Notice
Date: 2018-10-09
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2018/10/09/2018-21834.html
Submission for OMB Review; Comment Request
Document Number: 2018-21833
Type: Notice
Date: 2018-10-09
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2018/10/09/2018-21833.html
Submission for OMB Review; Comment Request
Document Number: 2018-21832
Type: Notice
Date: 2018-10-09
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2018/10/09/2018-21832.html
Submission for OMB Review; Comment Request
Document Number: 2018-21831
Type: Notice
Date: 2018-10-09
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2018/10/09/2018-21831.html
Submission for OMB Review; Comment Request
Document Number: 2018-21830
Type: Notice
Date: 2018-10-09
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2018/10/09/2018-21830.html
Self-Regulatory Organizations; BOX Exchange LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Rules Relating to Registration and Qualification Examinations Required for Participants That Engage in Trading Activities on the Exchange
Document Number: 2018-21787
Type: Notice
Date: 2018-10-09
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2018/10/09/2018-21787.html
Self-Regulatory Organizations; Nasdaq ISE, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Establish New Pricing for Flash Orders
Document Number: 2018-21786
Type: Notice
Date: 2018-10-09
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2018/10/09/2018-21786.html
Self-Regulatory Organizations; ICE Clear Europe Limited; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to F&O Risk Policies
Document Number: 2018-21785
Type: Notice
Date: 2018-10-09
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2018/10/09/2018-21785.html
Self-Regulatory Organizations; Cboe Exchange, Inc.; Order Approving a Proposed Rule Change To Adopt Rule 6.57, Risk-Weighted Asset (“RWA”) Packages
Document Number: 2018-21784
Type: Notice
Date: 2018-10-09
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2018/10/09/2018-21784.html
Self-Regulatory Organizations; BOX Exchange LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend BOX Rule 7600(a)(4) (Qualified Open Outcry Orders-Floor Crossing)
Document Number: 2018-21783
Type: Notice
Date: 2018-10-09
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2018/10/09/2018-21783.html
Self-Regulatory Organizations; Municipal Securities Rulemaking Board; Notice of Filing of a Proposed Rule Change To Amend MSRB Rule G-3, on Professional Qualification Requirements, To Require Municipal Advisor Principals To Become Appropriately Qualified by Passing the Municipal Advisor Principal Qualification Examination
Document Number: 2018-21782
Type: Notice
Date: 2018-10-09
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2018/10/09/2018-21782.html
Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate Effectiveness of Amendments To Rules Regarding Qualification, Registration and Continuing Education Applicable to Members and Member Organizations
Document Number: 2018-21781
Type: Notice
Date: 2018-10-09
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2018/10/09/2018-21781.html
In the Matter of Chicago Stock Exchange, Inc., 440 South LaSalle Street, Suite 800, Chicago, IL 60605; File No. SR-CHX-2017-04; Order Setting Aside the Order by Delegated Authority Approving SR-CHX-2017-04
Document Number: 2018-21761
Type: Notice
Date: 2018-10-09
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2018/10/09/2018-21761.html
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