Federal Register Recent Federal Regulation Documents - Justia Regulation Tracker - Justia Regulations Trackerhttps://regulations.justia.com/regulations/fedreg/agencies/securities-and-exchange-commission/2018/10?limit=200®isters=between&min-day=1&max-day=31&mode=atom2024-04-26T00:32:53-07:00Justia Inchttps://www.justia.com/Justia Regulations Trackerhttps://regulations.justia.com/images/justiafedregulations.gifCopyright 2011 Justia Inchttps://regulations.justia.com/regulations/fedreg/2018/10/31/2018-23734.htmlNotice - Self-Regulatory Organizations; Cboe Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to List and Trade Options That Overlie the S&P Communication Services Select Sector Index2018-10-31T00:00:00-07:002018-10-31T00:00:00-07:002018-23734Noticehttps://www.gpo.gov/fdsys/pkg/FR-2018-10-31/pdf/2018-23734.pdfhttps://regulations.justia.com/regulations/fedreg/2018/10/31/2018-23733.htmlNotice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Modify the NYSE Arca Options Fee Schedule2018-10-31T00:00:00-07:002018-10-31T00:00:00-07:002018-23733Noticehttps://www.gpo.gov/fdsys/pkg/FR-2018-10-31/pdf/2018-23733.pdfhttps://regulations.justia.com/regulations/fedreg/2018/10/31/2018-23732.htmlNotice - Self-Regulatory Organizations; Nasdaq ISE, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the Exchanges Schedule of Fees To Modify the Crossing Fee Cap2018-10-31T00:00:00-07:002018-10-31T00:00:00-07:002018-23732Noticehttps://www.gpo.gov/fdsys/pkg/FR-2018-10-31/pdf/2018-23732.pdfhttps://regulations.justia.com/regulations/fedreg/2018/10/31/2018-23731.htmlNotice - Self-Regulatory Organizations; The Nasdaq Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Derivative Securities Traded Under Unlisted Trading Privileges2018-10-31T00:00:00-07:002018-10-31T00:00:00-07:002018-23731Noticehttps://www.gpo.gov/fdsys/pkg/FR-2018-10-31/pdf/2018-23731.pdfhttps://regulations.justia.com/regulations/fedreg/2018/10/31/2018-23730.htmlNotice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing of Proposed Rule Change Regarding Certain Investments of the PGIM Ultra Short Bond ETF2018-10-31T00:00:00-07:002018-10-31T00:00:00-07:002018-23730Noticehttps://www.gpo.gov/fdsys/pkg/FR-2018-10-31/pdf/2018-23730.pdfhttps://regulations.justia.com/regulations/fedreg/2018/10/30/2018-23773.htmlNotice - Sunshine Act Meetings2018-10-30T00:00:00-07:002018-10-30T00:00:00-07:002018-23773Noticehttps://www.gpo.gov/fdsys/pkg/FR-2018-10-30/pdf/2018-23773.pdfhttps://regulations.justia.com/regulations/fedreg/2018/10/30/2018-23625.htmlNotice - Self-Regulatory Organizations; Cboe EDGX Exchange, Inc.; Notice of Filing of a Proposed Rule Change To Permit the Listing and Trading of P.M.-Settled Series on Certain Broad-Based Index Options on a Pilot Basis2018-10-30T00:00:00-07:002018-10-30T00:00:00-07:002018-23625Noticehttps://www.gpo.gov/fdsys/pkg/FR-2018-10-30/pdf/2018-23625.pdfhttps://regulations.justia.com/regulations/fedreg/2018/10/30/2018-23624.htmlNotice - Self-Regulatory Organizations; Cboe BZX Exchange, Inc.; Notice of Filing of a Proposed Rule Change To Permit the Listing and Trading of P.M.-Settled Series on Certain Broad-Based Index Options on a Pilot Basis2018-10-30T00:00:00-07:002018-10-30T00:00:00-07:002018-23624Noticehttps://www.gpo.gov/fdsys/pkg/FR-2018-10-30/pdf/2018-23624.pdfhttps://regulations.justia.com/regulations/fedreg/2018/10/30/2018-23623.htmlNotice - Self-Regulatory Organizations; Nasdaq MRX, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Delete Current Rules on Arbitration, Under Chapter 182018-10-30T00:00:00-07:002018-10-30T00:00:00-07:002018-23623Noticehttps://www.gpo.gov/fdsys/pkg/FR-2018-10-30/pdf/2018-23623.pdfhttps://regulations.justia.com/regulations/fedreg/2018/10/30/2018-23622.htmlNotice - Self-Regulatory Organizations; Nasdaq ISE, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Delete Current Rules on Arbitration, under Chapter 182018-10-30T00:00:00-07:002018-10-30T00:00:00-07:002018-23622Noticehttps://www.gpo.gov/fdsys/pkg/FR-2018-10-30/pdf/2018-23622.pdfhttps://regulations.justia.com/regulations/fedreg/2018/10/30/2018-23621.htmlNotice - Self-Regulatory Organizations; Nasdaq PHLX LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Delete Current Rules on Arbitration2018-10-30T00:00:00-07:002018-10-30T00:00:00-07:002018-23621Noticehttps://www.gpo.gov/fdsys/pkg/FR-2018-10-30/pdf/2018-23621.pdfhttps://regulations.justia.com/regulations/fedreg/2018/10/30/2018-23620.htmlNotice - Self-Regulatory Organizations; Nasdaq BX, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Delete the Current Rules on Arbitration2018-10-30T00:00:00-07:002018-10-30T00:00:00-07:002018-23620Noticehttps://www.gpo.gov/fdsys/pkg/FR-2018-10-30/pdf/2018-23620.pdfhttps://regulations.justia.com/regulations/fedreg/2018/10/29/2018-23658.htmlNotice - Sunshine Act Meetings2018-10-29T00:00:00-07:002018-10-29T00:00:00-07:002018-23658Noticehttps://www.gpo.gov/fdsys/pkg/FR-2018-10-29/pdf/2018-23658.pdfhttps://regulations.justia.com/regulations/fedreg/2018/10/29/2018-23508.htmlNotice - Self-Regulatory Organizations; Cboe Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Permit the Exchange To List Options on the Cboe Volatility Index (“VIX options”) on a Group Basis and Make Conforming Changes Throughout the Rules, Change the Minimum Increment for VIX Options Listed Under the Nonstandard Expirations Pilot Program (if the Exchange Lists VIX on a Group Basis), and Make Nonsubstantive Changes2018-10-29T00:00:00-07:002018-10-29T00:00:00-07:002018-23508Noticehttps://www.gpo.gov/fdsys/pkg/FR-2018-10-29/pdf/2018-23508.pdfhttps://regulations.justia.com/regulations/fedreg/2018/10/29/2018-23507.htmlNotice - Self-Regulatory Organizations; NYSE Arca, Inc.; Order Approving a Proposed Rule Change To Amend NYSE Arca Rule 1.1(ll) To Modify the Formula for Establishing the Official Closing Price for a Derivative Securities Product When There Is No Closing Auction or if the Closing Auction Is Less Than One Round Lot, by Excluding the NBBO Midpoint if the Midpoint Multiplied by 10% Is Less Than the NBBO Spread or if the NBBO Is Crossed2018-10-29T00:00:00-07:002018-10-29T00:00:00-07:002018-23507Noticehttps://www.gpo.gov/fdsys/pkg/FR-2018-10-29/pdf/2018-23507.pdfhttps://regulations.justia.com/regulations/fedreg/2018/10/29/2018-23506.htmlNotice - Self-Regulatory Organizations; The Options Clearing Corporation; Order Approving Proposed Rule Change Related to The Options Clearing Corporation's Board of Directors and Board Committee Charters2018-10-29T00:00:00-07:002018-10-29T00:00:00-07:002018-23506Noticehttps://www.gpo.gov/fdsys/pkg/FR-2018-10-29/pdf/2018-23506.pdfhttps://regulations.justia.com/regulations/fedreg/2018/10/29/2018-23505.htmlNotice - Self-Regulatory Organizations; Nasdaq BX, Inc.; Notice of Filing of Amendment No. 1 and Order Instituting Proceedings To Determine Whether To Approve or Disapprove a Proposed Rule Change, as Modified by Amendment No. 1, To Make Permanent the Retail Price Improvement Program Pilot, Which Is Set To Expire on December 31, 20182018-10-29T00:00:00-07:002018-10-29T00:00:00-07:002018-23505Noticehttps://www.gpo.gov/fdsys/pkg/FR-2018-10-29/pdf/2018-23505.pdfhttps://regulations.justia.com/regulations/fedreg/2018/10/26/2018-23390.htmlNotice - Self-Regulatory Organizations; Nasdaq ISE, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Rule 303 (Approval To Operate Multiple Memberships)2018-10-26T00:00:00-07:002018-10-26T00:00:00-07:002018-23390Noticehttps://www.gpo.gov/fdsys/pkg/FR-2018-10-26/pdf/2018-23390.pdfhttps://regulations.justia.com/regulations/fedreg/2018/10/26/2018-23389.htmlNotice - Self-Regulatory Organizations; ICE Clear Europe Limited; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to Amendments to the Clearing Rules and the CDS Procedures2018-10-26T00:00:00-07:002018-10-26T00:00:00-07:002018-23389Noticehttps://www.gpo.gov/fdsys/pkg/FR-2018-10-26/pdf/2018-23389.pdfhttps://regulations.justia.com/regulations/fedreg/2018/10/26/2018-23388.htmlNotice - Self-Regulatory Organizations; ICE Clear Europe Limited; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to Amendments to the ICE Clear Europe Delivery Procedures2018-10-26T00:00:00-07:002018-10-26T00:00:00-07:002018-23388Noticehttps://www.gpo.gov/fdsys/pkg/FR-2018-10-26/pdf/2018-23388.pdfhttps://regulations.justia.com/regulations/fedreg/2018/10/26/2018-23387.htmlNotice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Designation of a Longer Period for Commission Action on Proceedings To Determine Whether To Approve or Disapprove a Proposed Rule Change, as Modified by Amendment No. 1, Regarding the Continued Listing and Trading of Shares of the Natixis Loomis Sayles Short Duration Income ETF2018-10-26T00:00:00-07:002018-10-26T00:00:00-07:002018-23387Noticehttps://www.gpo.gov/fdsys/pkg/FR-2018-10-26/pdf/2018-23387.pdfhttps://regulations.justia.com/regulations/fedreg/2018/10/26/2018-23376.htmlNotice - Beyond Advisors IC, et al.2018-10-26T00:00:00-07:002018-10-26T00:00:00-07:002018-23376Noticehttps://www.gpo.gov/fdsys/pkg/FR-2018-10-26/pdf/2018-23376.pdfhttps://regulations.justia.com/regulations/fedreg/2018/10/25/2018-23280.htmlNotice - Self-Regulatory Organizations; The Depository Trust Company; Fixed Income Clearing Corporation; National Securities Clearing Corporation; Notice of Filing and Immediate Effectiveness of Proposed Rule Changes To Amend the Clearing Agency Frameworks2018-10-25T00:00:00-07:002018-10-25T00:00:00-07:002018-23280Noticehttps://www.gpo.gov/fdsys/pkg/FR-2018-10-25/pdf/2018-23280.pdfhttps://regulations.justia.com/regulations/fedreg/2018/10/25/2018-23279.htmlNotice - Self-Regulatory Organizations; ICE Clear Credit LLC; Notice of Filing of Amendment No. 1 and Order Granting Accelerated Approval of Proposed Rule Change, as Modified by Amendment No. 1, Relating to ICC's Risk Management Model Description Document and ICC's Risk Management Framework2018-10-25T00:00:00-07:002018-10-25T00:00:00-07:002018-23279Noticehttps://www.gpo.gov/fdsys/pkg/FR-2018-10-25/pdf/2018-23279.pdfhttps://regulations.justia.com/regulations/fedreg/2018/10/25/2018-23278.htmlNotice - Self-Regulatory Organizations; Cboe BZX Exchange, Inc.; Notice of Filing of a Proposed Rule Change To List and Trade Shares of the WisdomTree Long-Term Treasury PutWrite Strategy Fund, WisdomTree Corporate Bond PutWrite Strategy Fund, WisdomTree International PutWrite Strategy Fund, and WisdomTree Emerging Markets PutWrite Strategy Fund, Each a Series of WisdomTree Trust, Under Rule 14.11(i), Managed Fund Shares2018-10-25T00:00:00-07:002018-10-25T00:00:00-07:002018-23278Noticehttps://www.gpo.gov/fdsys/pkg/FR-2018-10-25/pdf/2018-23278.pdfhttps://regulations.justia.com/regulations/fedreg/2018/10/25/2018-23277.htmlNotice - Self-Regulatory Organizations; The Nasdaq Stock Market LLC; Order Approving Proposed Rule Change, as Modified by Amendment No. 1, To Extend the Cutoff Times for Accepting on Close Orders Entered for Participation in the Nasdaq Closing Cross and To Make Related Changes2018-10-25T00:00:00-07:002018-10-25T00:00:00-07:002018-23277Noticehttps://www.gpo.gov/fdsys/pkg/FR-2018-10-25/pdf/2018-23277.pdfhttps://regulations.justia.com/regulations/fedreg/2018/10/24/2018-23211.htmlNotice - Proposed Collection; Comment Request2018-10-24T00:00:00-07:002018-10-24T00:00:00-07:002018-23211Noticehttps://www.gpo.gov/fdsys/pkg/FR-2018-10-24/pdf/2018-23211.pdfhttps://regulations.justia.com/regulations/fedreg/2018/10/24/2018-23209.htmlNotice - Proposed Collection; Comment Request2018-10-24T00:00:00-07:002018-10-24T00:00:00-07:002018-23209Noticehttps://www.gpo.gov/fdsys/pkg/FR-2018-10-24/pdf/2018-23209.pdfhttps://regulations.justia.com/regulations/fedreg/2018/10/24/2018-23208.htmlNotice - Submission for OMB Review; Comment Request2018-10-24T00:00:00-07:002018-10-24T00:00:00-07:002018-23208Noticehttps://www.gpo.gov/fdsys/pkg/FR-2018-10-24/pdf/2018-23208.pdfhttps://regulations.justia.com/regulations/fedreg/2018/10/24/2018-23207.htmlNotice - Proposed Collection; Comment Request2018-10-24T00:00:00-07:002018-10-24T00:00:00-07:002018-23207Noticehttps://www.gpo.gov/fdsys/pkg/FR-2018-10-24/pdf/2018-23207.pdfhttps://regulations.justia.com/regulations/fedreg/2018/10/24/2018-23206.htmlNotice - Proposed Collection; Comment Request2018-10-24T00:00:00-07:002018-10-24T00:00:00-07:002018-23206Noticehttps://www.gpo.gov/fdsys/pkg/FR-2018-10-24/pdf/2018-23206.pdfhttps://regulations.justia.com/regulations/fedreg/2018/10/24/2018-23203.htmlNotice - Proposed Collection; Comment Request2018-10-24T00:00:00-07:002018-10-24T00:00:00-07:002018-23203Noticehttps://www.gpo.gov/fdsys/pkg/FR-2018-10-24/pdf/2018-23203.pdfhttps://regulations.justia.com/regulations/fedreg/2018/10/24/2018-23199.htmlNotice - Proposed Collection; Comment Request2018-10-24T00:00:00-07:002018-10-24T00:00:00-07:002018-23199Noticehttps://www.gpo.gov/fdsys/pkg/FR-2018-10-24/pdf/2018-23199.pdfhttps://regulations.justia.com/regulations/fedreg/2018/10/24/2018-23175.htmlNotice - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Section 902.02 of the NYSE Listed Company Manual Regarding Information on Listed Securities of a Foreign Private Issuer Obtained From a U.S. or Non-U.S. Securities Depository2018-10-24T00:00:00-07:002018-10-24T00:00:00-07:002018-23175Noticehttps://www.gpo.gov/fdsys/pkg/FR-2018-10-24/pdf/2018-23175.pdfhttps://regulations.justia.com/regulations/fedreg/2018/10/24/2018-23174.htmlNotice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing of Proposed Rule Change To Amend Rules 6.62-O and 6.37A-O To Add New Order Types and Quotation Designations2018-10-24T00:00:00-07:002018-10-24T00:00:00-07:002018-23174Noticehttps://www.gpo.gov/fdsys/pkg/FR-2018-10-24/pdf/2018-23174.pdfhttps://regulations.justia.com/regulations/fedreg/2018/10/24/2018-23173.htmlNotice - Self-Regulatory Organizations; Nasdaq PHLX LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Section (a)(i)(D) of Rule 10122018-10-24T00:00:00-07:002018-10-24T00:00:00-07:002018-23173Noticehttps://www.gpo.gov/fdsys/pkg/FR-2018-10-24/pdf/2018-23173.pdfhttps://regulations.justia.com/regulations/fedreg/2018/10/24/2018-23172.htmlNotice - Self-Regulatory Organizations; Nasdaq GEMX, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the Exchange's Registration, Qualification Examination and Continuing Education Rules2018-10-24T00:00:00-07:002018-10-24T00:00:00-07:002018-23172Noticehttps://www.gpo.gov/fdsys/pkg/FR-2018-10-24/pdf/2018-23172.pdfhttps://regulations.justia.com/regulations/fedreg/2018/10/23/2018-23179.htmlNotice - Sunshine Act Meetings2018-10-23T00:00:00-07:002018-10-23T00:00:00-07:002018-23179Noticehttps://www.gpo.gov/fdsys/pkg/FR-2018-10-23/pdf/2018-23179.pdfhttps://regulations.justia.com/regulations/fedreg/2018/10/23/2018-23178.htmlNotice - Sunshine Act Meetings2018-10-23T00:00:00-07:002018-10-23T00:00:00-07:002018-23178Noticehttps://www.gpo.gov/fdsys/pkg/FR-2018-10-23/pdf/2018-23178.pdfhttps://regulations.justia.com/regulations/fedreg/2018/10/23/2018-23177.htmlNotice - Sunshine Act Meetings2018-10-23T00:00:00-07:002018-10-23T00:00:00-07:002018-23177Noticehttps://www.gpo.gov/fdsys/pkg/FR-2018-10-23/pdf/2018-23177.pdfhttps://regulations.justia.com/regulations/fedreg/2018/10/23/2018-23039.htmlNotice - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Its Price List2018-10-23T00:00:00-07:002018-10-23T00:00:00-07:002018-23039Noticehttps://www.gpo.gov/fdsys/pkg/FR-2018-10-23/pdf/2018-23039.pdfhttps://regulations.justia.com/regulations/fedreg/2018/10/23/2018-23038.htmlNotice - 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.2018-10-23T00:00:00-07:002018-10-23T00:00:00-07:002018-23038Noticehttps://www.gpo.gov/fdsys/pkg/FR-2018-10-23/pdf/2018-23038.pdfhttps://regulations.justia.com/regulations/fedreg/2018/10/22/2018-22996.htmlNotice - Procure Active ETF Trust, et al.2018-10-22T00:00:00-07:002018-10-22T00:00:00-07:002018-22996Noticehttps://www.gpo.gov/fdsys/pkg/FR-2018-10-22/pdf/2018-22996.pdfhttps://regulations.justia.com/regulations/fedreg/2018/10/22/2018-22994.htmlNotice - Procure ETF Trust I, et al.2018-10-22T00:00:00-07:002018-10-22T00:00:00-07:002018-22994Noticehttps://www.gpo.gov/fdsys/pkg/FR-2018-10-22/pdf/2018-22994.pdfhttps://regulations.justia.com/regulations/fedreg/2018/10/22/2018-22943.htmlNotice - Investor Advisory Committee Meeting2018-10-22T00:00:00-07:002018-10-22T00:00:00-07:002018-22943Noticehttps://www.gpo.gov/fdsys/pkg/FR-2018-10-22/pdf/2018-22943.pdfhttps://regulations.justia.com/regulations/fedreg/2018/10/22/2018-22931.htmlNotice - Securities Exchange Act of 1934; Release No. 34-84440/October 16, 2018; Investment Company Act of 1940; Release No. IC-33272/October 16, 2018; 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 Thereunder2018-10-22T00:00:00-07:002018-10-22T00:00:00-07:002018-22931Noticehttps://www.gpo.gov/fdsys/pkg/FR-2018-10-22/pdf/2018-22931.pdfhttps://regulations.justia.com/regulations/fedreg/2018/10/22/2018-22910.htmlNotice - Self-Regulatory Organizations; The Nasdaq Stock Market LLC; Notice of Designation of a Longer Period for Commission Action on Proposed Rule Change To List and Trade Corporate Non-Convertible Bonds on Nasdaq2018-10-22T00:00:00-07:002018-10-22T00:00:00-07:002018-22910Noticehttps://www.gpo.gov/fdsys/pkg/FR-2018-10-22/pdf/2018-22910.pdfhttps://regulations.justia.com/regulations/fedreg/2018/10/22/2018-22909.htmlNotice - Self-Regulatory Organizations; Cboe BZX Exchange, Inc.; Notice of Filing of a Proposed Rule Change To List and Trade Shares of the FormulaFolios Sector Rotation ETF, a Series of the Northern Lights Fund Trust IV, Under Rule 14.11(i), Managed Fund Shares2018-10-22T00:00:00-07:002018-10-22T00:00:00-07:002018-22909Noticehttps://www.gpo.gov/fdsys/pkg/FR-2018-10-22/pdf/2018-22909.pdfhttps://regulations.justia.com/regulations/fedreg/2018/10/22/2018-22908.htmlNotice - Self-Regulatory Organizations; Cboe Exchange, Inc.; Order Approving a Proposed Rule Change To Amend Exchange Rule 6.49A, Transfer of Positions2018-10-22T00:00:00-07:002018-10-22T00:00:00-07:002018-22908Noticehttps://www.gpo.gov/fdsys/pkg/FR-2018-10-22/pdf/2018-22908.pdfhttps://regulations.justia.com/regulations/fedreg/2018/10/22/2018-22907.htmlNotice - Self-Regulatory Organizations; Cboe Exchange, Inc.; Order Approving a Proposed Rule Change To Amend Rule 6.2, Interpretation and Policy .01, Concerning Strategy Orders2018-10-22T00:00:00-07:002018-10-22T00:00:00-07:002018-22907Noticehttps://www.gpo.gov/fdsys/pkg/FR-2018-10-22/pdf/2018-22907.pdfhttps://regulations.justia.com/regulations/fedreg/2018/10/22/2018-22906.htmlNotice - Self-Regulatory Organizations; Fixed Income Clearing Corporation; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Allow CCIT Members To Elect To Pay Their Funds-Only Settlement Amount Debits Using a Different Process2018-10-22T00:00:00-07:002018-10-22T00:00:00-07:002018-22906Noticehttps://www.gpo.gov/fdsys/pkg/FR-2018-10-22/pdf/2018-22906.pdfhttps://regulations.justia.com/regulations/fedreg/2018/10/22/2018-22905.htmlNotice - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change of Non-Substantive Amendments to Rules 1.1, 7.31, and 7.462018-10-22T00:00:00-07:002018-10-22T00:00:00-07:002018-22905Noticehttps://www.gpo.gov/fdsys/pkg/FR-2018-10-22/pdf/2018-22905.pdfhttps://regulations.justia.com/regulations/fedreg/2018/10/22/2018-22904.htmlNotice - 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.2018-10-22T00:00:00-07:002018-10-22T00:00:00-07:002018-22904Noticehttps://www.gpo.gov/fdsys/pkg/FR-2018-10-22/pdf/2018-22904.pdfhttps://regulations.justia.com/regulations/fedreg/2018/10/22/2018-22903.htmlNotice - Self-Regulatory Organizations; NYSE National, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Its Schedule of Fees To Adopt the Same Billing Dispute Practice as the Exchange's Affiliates and Other Exchanges2018-10-22T00:00:00-07:002018-10-22T00:00:00-07:002018-22903Noticehttps://www.gpo.gov/fdsys/pkg/FR-2018-10-22/pdf/2018-22903.pdfhttps://regulations.justia.com/regulations/fedreg/2018/10/22/2018-22894.htmlNotice - Blackstone Real Estate Income Fund, et al.2018-10-22T00:00:00-07:002018-10-22T00:00:00-07:002018-22894Noticehttps://www.gpo.gov/fdsys/pkg/FR-2018-10-22/pdf/2018-22894.pdfhttps://regulations.justia.com/regulations/fedreg/2018/10/19/2018-22930.htmlRule - Regulation Crowdfunding and Regulation A Relief and Assistance for Victims of Hurricane Michael2018-10-19T00:00:00-07:002018-10-19T00:00:00-07:002018-22930Rulehttps://www.gpo.gov/fdsys/pkg/FR-2018-10-19/pdf/2018-22930.pdfhttps://regulations.justia.com/regulations/fedreg/2018/10/19/2018-22781.htmlNotice - Submission for OMB Review; Comment Request2018-10-19T00:00:00-07:002018-10-19T00:00:00-07:002018-22781Noticehttps://www.gpo.gov/fdsys/pkg/FR-2018-10-19/pdf/2018-22781.pdfhttps://regulations.justia.com/regulations/fedreg/2018/10/19/2018-22780.htmlNotice - Self-Regulatory Organizations; National Securities Clearing Corporation; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the Clearing Agency Policy on Capital Requirements and the Clearing Agency Capital Replenishment Plan2018-10-19T00:00:00-07:002018-10-19T00:00:00-07:002018-22780Noticehttps://www.gpo.gov/fdsys/pkg/FR-2018-10-19/pdf/2018-22780.pdfhttps://regulations.justia.com/regulations/fedreg/2018/10/19/2018-22779.htmlNotice - Self-Regulatory Organizations; The Depository Trust Company; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the Clearing Agency Policy on Capital Requirements and the Clearing Agency Capital Replenishment Plan2018-10-19T00:00:00-07:002018-10-19T00:00:00-07:002018-22779Noticehttps://www.gpo.gov/fdsys/pkg/FR-2018-10-19/pdf/2018-22779.pdfhttps://regulations.justia.com/regulations/fedreg/2018/10/19/2018-22778.htmlNotice - Self-Regulatory Organizations; Fixed Income Clearing Corporation; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the Clearing Agency Policy on Capital Requirements and the Clearing Agency Capital Replenishment Plan2018-10-19T00:00:00-07:002018-10-19T00:00:00-07:002018-22778Noticehttps://www.gpo.gov/fdsys/pkg/FR-2018-10-19/pdf/2018-22778.pdfhttps://regulations.justia.com/regulations/fedreg/2018/10/19/2018-22777.htmlNotice - Self-Regulatory Organizations; Nasdaq GEMX, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Delete Current Rules on Arbitration, Under Chapter 182018-10-19T00:00:00-07:002018-10-19T00:00:00-07:002018-22777Noticehttps://www.gpo.gov/fdsys/pkg/FR-2018-10-19/pdf/2018-22777.pdfhttps://regulations.justia.com/regulations/fedreg/2018/10/19/2018-22776.htmlNotice - Self-Regulatory Organizations; ICE Clear Credit LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to ICC's Stress Testing Framework and ICC's Liquidity Risk Management Framework2018-10-19T00:00:00-07:002018-10-19T00:00:00-07:002018-22776Noticehttps://www.gpo.gov/fdsys/pkg/FR-2018-10-19/pdf/2018-22776.pdfhttps://regulations.justia.com/regulations/fedreg/2018/10/19/2018-22775.htmlNotice - Self-Regulatory Organizations; The Nasdaq Stock Market LLC; Order Granting Approval of a Proposed Rule Change, as Modified by Amendment No. 1, Relating to the First Trust Senior Loan Fund of First Trust Exchange-Traded Fund IV2018-10-19T00:00:00-07:002018-10-19T00:00:00-07:002018-22775Noticehttps://www.gpo.gov/fdsys/pkg/FR-2018-10-19/pdf/2018-22775.pdfhttps://regulations.justia.com/regulations/fedreg/2018/10/19/2018-22531.htmlProposed Rule - Capital, Margin, and Segregation Requirements for Security-Based Swap Dealers and Major Security-Based Swap Participants and Capital Requirements for Broker-Dealers2018-10-19T00:00:00-07:002018-10-19T00:00:00-07:002018-22531Proposed Rulehttps://www.gpo.gov/fdsys/pkg/FR-2018-10-19/pdf/2018-22531.pdfhttps://regulations.justia.com/regulations/fedreg/2018/10/18/2018-22683.htmlNotice - Self-Regulatory Organizations; Miami International Securities Exchange, LLC; Order Granting Approval of a Proposed Rule Change To List and Trade Options on the SPIKESTM2018-10-18T00:00:00-07:002018-10-18T00:00:00-07:002018-22683Noticehttps://www.gpo.gov/fdsys/pkg/FR-2018-10-18/pdf/2018-22683.pdfhttps://regulations.justia.com/regulations/fedreg/2018/10/18/2018-22682.htmlNotice - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing of Proposed Rule Change To Amend the Listed Company Manual for Acquisition Companies To Reduce the Continued Listing Standards for Public Holders From 300 to 100 and To Enable the Exchange To Exercise Discretion To Allow Acquisition Companies a Reasonable Time Period Following a Business Combination To Demonstrate Compliance With the Applicable Quantitative Listing Standards2018-10-18T00:00:00-07:002018-10-18T00:00:00-07:002018-22682Noticehttps://www.gpo.gov/fdsys/pkg/FR-2018-10-18/pdf/2018-22682.pdfhttps://regulations.justia.com/regulations/fedreg/2018/10/18/2018-22681.htmlNotice - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Order Approving a Proposed Rule Change To Amend the Arbitrator Payment Rule To Pay Each Arbitrator a $200 Honorarium To Decide Without a Hearing Session a Contested Subpoena Request or a Contested Order for Production or Appearance2018-10-18T00:00:00-07:002018-10-18T00:00:00-07:002018-22681Noticehttps://www.gpo.gov/fdsys/pkg/FR-2018-10-18/pdf/2018-22681.pdfhttps://regulations.justia.com/regulations/fedreg/2018/10/18/2018-22676.htmlNotice - Audax Credit BDC Inc., et al.; Notice of Application2018-10-18T00:00:00-07:002018-10-18T00:00:00-07:002018-22676Noticehttps://www.gpo.gov/fdsys/pkg/FR-2018-10-18/pdf/2018-22676.pdfhttps://regulations.justia.com/regulations/fedreg/2018/10/17/2018-22541.htmlNotice - Destra International & Event-Driven Credit Fund and Destra Capital Advisors LLC; Notice of Application2018-10-17T00:00:00-07:002018-10-17T00:00:00-07:002018-22541Noticehttps://www.gpo.gov/fdsys/pkg/FR-2018-10-17/pdf/2018-22541.pdfhttps://regulations.justia.com/regulations/fedreg/2018/10/17/2018-22540.htmlNotice - Self-Regulatory Organizations; LCH SA; Order Approving Proposed Rule Change Relating to Implementation of Electronic Exercise Platform2018-10-17T00:00:00-07:002018-10-17T00:00:00-07:002018-22540Noticehttps://www.gpo.gov/fdsys/pkg/FR-2018-10-17/pdf/2018-22540.pdfhttps://regulations.justia.com/regulations/fedreg/2018/10/17/2018-22539.htmlNotice - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the Fees for Routing Orders in UTP Securities Priced Below $1.002018-10-17T00:00:00-07:002018-10-17T00:00:00-07:002018-22539Noticehttps://www.gpo.gov/fdsys/pkg/FR-2018-10-17/pdf/2018-22539.pdfhttps://regulations.justia.com/regulations/fedreg/2018/10/17/2018-22538.htmlNotice - Self-Regulatory Organizations; Nasdaq ISE, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Certain Maker/Taker Fees in Section I of the Exchanges Schedule of Fees2018-10-17T00:00:00-07:002018-10-17T00:00:00-07:002018-22538Noticehttps://www.gpo.gov/fdsys/pkg/FR-2018-10-17/pdf/2018-22538.pdfhttps://regulations.justia.com/regulations/fedreg/2018/10/17/2018-22537.htmlNotice - Self-Regulatory Organizations; Cboe EDGX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Introduce Equities Purge Ports To (1) Establish Purge Ports for Equities Trading and Amend the Interpretations and Policies to Rule 11.10, Order Execution, To Reflect the Proposed Purge Ports, and (2) Modify the Fee Schedule Applicable To the Exchange's Equities Platform (“EDGX Equities”) to Identify and To Set Fees for Purge Ports2018-10-17T00:00:00-07:002018-10-17T00:00:00-07:002018-22537Noticehttps://www.gpo.gov/fdsys/pkg/FR-2018-10-17/pdf/2018-22537.pdfhttps://regulations.justia.com/regulations/fedreg/2018/10/17/2018-22536.htmlNotice - Self-Regulatory Organizations; Cboe EDGA Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Introduce Equities Purge Ports to (1) Establish Purge Ports for Equities Trading and Amend the Interpretations and Policies to Rule 11.10, Order Execution, To Reflect the Proposed Purge Ports, and (2) Modify the Fee Schedule Applicable to the Exchange's Equities Platform (“EDGA Equities”) To Identify and To Set Fees for Purge Ports2018-10-17T00:00:00-07:002018-10-17T00:00:00-07:002018-22536Noticehttps://www.gpo.gov/fdsys/pkg/FR-2018-10-17/pdf/2018-22536.pdfhttps://regulations.justia.com/regulations/fedreg/2018/10/17/2018-22535.htmlNotice - Self-Regulatory Organizations; Cboe BZX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Introduce Equities Purge Ports To (1) Establish Purge Ports for Equities Trading and Amend the Interpretations and Policies to Rule 11.10, Order Execution, To Reflect the Proposed Purge Ports, and (2) Modify the Fee Schedule Applicable to the Exchange's Equities Platform (“BZX Equities”) To Identify and To Set Fees for Purge Ports2018-10-17T00:00:00-07:002018-10-17T00:00:00-07:002018-22535Noticehttps://www.gpo.gov/fdsys/pkg/FR-2018-10-17/pdf/2018-22535.pdfhttps://regulations.justia.com/regulations/fedreg/2018/10/17/2018-22534.htmlNotice - Self-Regulatory Organizations; Cboe BYX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Introduce Equities Purge Ports To (1) Establish Purge Ports for Equities Trading and Amend the Interpretations and Policies to Rule 11.10, Order Execution, To Reflect the Proposed Purge Ports, and (2) Modify the Fee Schedule Applicable to the Exchange's Equities Platform (“BYX Equities”) To Identify and To Set Fees for Purge Ports2018-10-17T00:00:00-07:002018-10-17T00:00:00-07:002018-22534Noticehttps://www.gpo.gov/fdsys/pkg/FR-2018-10-17/pdf/2018-22534.pdfhttps://regulations.justia.com/regulations/fedreg/2018/10/17/2018-22533.htmlNotice - Self-Regulatory Organizations; Cboe BZX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Related to Fees on Cboe BZX Exchange, Inc.2018-10-17T00:00:00-07:002018-10-17T00:00:00-07:002018-22533Noticehttps://www.gpo.gov/fdsys/pkg/FR-2018-10-17/pdf/2018-22533.pdfhttps://regulations.justia.com/regulations/fedreg/2018/10/17/2018-22532.htmlNotice - Self-Regulatory Organizations; NYSE American LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Rule 7.14E, Clearance and Settlement2018-10-17T00:00:00-07:002018-10-17T00:00:00-07:002018-22532Noticehttps://www.gpo.gov/fdsys/pkg/FR-2018-10-17/pdf/2018-22532.pdfhttps://regulations.justia.com/regulations/fedreg/2018/10/16/2018-22433.htmlNotice - Self-Regulatory Organizations; MIAX PEARL, LLC; Notice of Withdrawal of a Proposed Rule Change To Amend the Fee Schedule Regarding Connectivity Fees for Members and Non-Members2018-10-16T00:00:00-07:002018-10-16T00:00:00-07:002018-22433Noticehttps://www.gpo.gov/fdsys/pkg/FR-2018-10-16/pdf/2018-22433.pdfhttps://regulations.justia.com/regulations/fedreg/2018/10/16/2018-22432.htmlNotice - Self-Regulatory Organizations; NYSE American LLC; Notice of Filing and Immediate Effectiveness of Amendments to Rules Regarding Qualification, Registration and Continuing Education Applicable to Member Organizations, Equity Trading Permit Holders, and American Trading Permit Holders2018-10-16T00:00:00-07:002018-10-16T00:00:00-07:002018-22432Noticehttps://www.gpo.gov/fdsys/pkg/FR-2018-10-16/pdf/2018-22432.pdfhttps://regulations.justia.com/regulations/fedreg/2018/10/16/2018-22431.htmlNotice - Self-Regulatory Organizations; Miami International Securities Exchange LLC; Notice of Withdrawal of a Proposed Rule Change To Amend the Fee Schedule Regarding Connectivity Fees for Members and Non-Members2018-10-16T00:00:00-07:002018-10-16T00:00:00-07:002018-22431Noticehttps://www.gpo.gov/fdsys/pkg/FR-2018-10-16/pdf/2018-22431.pdfhttps://regulations.justia.com/regulations/fedreg/2018/10/16/2018-22430.htmlNotice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of Amendments to Rules Regarding Qualification, Registration and Continuing Education Applicable to Equity Trading Permit Holders, Options Trading Permit Holders or OTP Firms2018-10-16T00:00:00-07:002018-10-16T00:00:00-07:002018-22430Noticehttps://www.gpo.gov/fdsys/pkg/FR-2018-10-16/pdf/2018-22430.pdfhttps://regulations.justia.com/regulations/fedreg/2018/10/16/2018-22429.htmlNotice - Self-Regulatory Organizations; Cboe C2 Exchange, Inc.; Notice of Filing of a Proposed Rule Change To Amend C2's Rulebook To Allow the Post Only Order Instruction on Complex Orders That Route to Its Electronic Book2018-10-16T00:00:00-07:002018-10-16T00:00:00-07:002018-22429Noticehttps://www.gpo.gov/fdsys/pkg/FR-2018-10-16/pdf/2018-22429.pdfhttps://regulations.justia.com/regulations/fedreg/2018/10/16/2018-22428.htmlNotice - 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 iShares iBond Dec 2026 Term Muni Bond ETF Under Commentary .02 to NYSE Arca Rule 5.2-E(j)(3)2018-10-16T00:00:00-07:002018-10-16T00:00:00-07:002018-22428Noticehttps://www.gpo.gov/fdsys/pkg/FR-2018-10-16/pdf/2018-22428.pdfhttps://regulations.justia.com/regulations/fedreg/2018/10/16/2018-22427.htmlNotice - 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 JPMorgan Municipal ETF and JPMorgan Ultra-Short Municipal ETF of the J.P. Morgan Exchange-Traded Fund Trust Under Rule 14.11(i), Managed Fund Shares2018-10-16T00:00:00-07:002018-10-16T00:00:00-07:002018-22427Noticehttps://www.gpo.gov/fdsys/pkg/FR-2018-10-16/pdf/2018-22427.pdfhttps://regulations.justia.com/regulations/fedreg/2018/10/16/2018-22426.htmlNotice - Self-Regulatory Organizations; Cboe EDGX Exchange, Inc.; Notice of Filing of a Proposed Rule Change To Amend the Exchange's Rulebook To Allow the Post Only Order Instruction on Complex Orders That Route to Its Electronic Book for Trading Options2018-10-16T00:00:00-07:002018-10-16T00:00:00-07:002018-22426Noticehttps://www.gpo.gov/fdsys/pkg/FR-2018-10-16/pdf/2018-22426.pdfhttps://regulations.justia.com/regulations/fedreg/2018/10/16/2018-22425.htmlNotice - Self-Regulatory Organizations; Cboe Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Its Fees Schedule2018-10-16T00:00:00-07:002018-10-16T00:00:00-07:002018-22425Noticehttps://www.gpo.gov/fdsys/pkg/FR-2018-10-16/pdf/2018-22425.pdfhttps://regulations.justia.com/regulations/fedreg/2018/10/16/2018-22424.htmlNotice - Self-Regulatory Organizations; BOX Exchange LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the Fee Schedule on the BOX Options Market LLC (“BOX”) Facility To Adopt a New Rebate for Certain Manual Transactions Initiated From the Trading Floor2018-10-16T00:00:00-07:002018-10-16T00:00:00-07:002018-22424Noticehttps://www.gpo.gov/fdsys/pkg/FR-2018-10-16/pdf/2018-22424.pdfhttps://regulations.justia.com/regulations/fedreg/2018/10/16/2018-22412.htmlNotice - Program for Allocation of Regulatory Responsibilities Pursuant to Rule 17d-2; Notice of Filing and Order Approving and Declaring Effective an Amendment to the Plan for the Allocation of Regulatory Responsibilities Among Cboe BZX Exchange, Inc., Cboe BYX Exchange, Inc., Chicago Stock Exchange, Inc., Cboe EDGA Exchange, Inc., Cboe EDGX Exchange, Inc., Financial Industry Regulatory Authority, Inc., Nasdaq BX, Inc., Nasdaq PHLX LLC, The Nasdaq Stock Market LLC, NYSE National, Inc., New York Stock Exchange LLC, NYSE American LLC, NYSE Arca, Inc., and Investors Exchange LLC Relating to the Surveillance, Investigation, and Enforcement of Insider Trading Rules2018-10-16T00:00:00-07:002018-10-16T00:00:00-07:002018-22412Noticehttps://www.gpo.gov/fdsys/pkg/FR-2018-10-16/pdf/2018-22412.pdfhttps://regulations.justia.com/regulations/fedreg/2018/10/15/2018-22296.htmlNotice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Designation of a Longer Period for Commission Action on a Proposed Rule Change To List and Trade Shares of the First Trust Long Duration Opportunities ETF Under NYSE Arca Rule 8.600-E2018-10-15T00:00:00-07:002018-10-15T00:00:00-07:002018-22296Noticehttps://www.gpo.gov/fdsys/pkg/FR-2018-10-15/pdf/2018-22296.pdfhttps://regulations.justia.com/regulations/fedreg/2018/10/15/2018-22295.htmlNotice - Self-Regulatory Organizations; The Nasdaq Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend, Reorganize and Enhance Its Membership, Registration and Qualification Rules2018-10-15T00:00:00-07:002018-10-15T00:00:00-07:002018-22295Noticehttps://www.gpo.gov/fdsys/pkg/FR-2018-10-15/pdf/2018-22295.pdfhttps://regulations.justia.com/regulations/fedreg/2018/10/15/2018-22294.htmlNotice - Self-Regulatory Organizations; Nasdaq ISE, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend, Reorganize and Enhance Its Membership, Registration and Qualification Rules and To Make Conforming Changes to Certain Other Rules2018-10-15T00:00:00-07:002018-10-15T00:00:00-07:002018-22294Noticehttps://www.gpo.gov/fdsys/pkg/FR-2018-10-15/pdf/2018-22294.pdfhttps://regulations.justia.com/regulations/fedreg/2018/10/15/2018-22293.htmlNotice - Self-Regulatory Organizations; MIAX PEARL, LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the MIAX PEARL Fee Schedule2018-10-15T00:00:00-07:002018-10-15T00:00:00-07:002018-22293Noticehttps://www.gpo.gov/fdsys/pkg/FR-2018-10-15/pdf/2018-22293.pdfhttps://regulations.justia.com/regulations/fedreg/2018/10/15/2018-22292.htmlNotice - Self-Regulatory Organizations; Nasdaq MRX, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend, Reorganize and Enhance Its Membership, Registration and Qualification Rules and To Make Conforming Changes to Certain Other Rules2018-10-15T00:00:00-07:002018-10-15T00:00:00-07:002018-22292Noticehttps://www.gpo.gov/fdsys/pkg/FR-2018-10-15/pdf/2018-22292.pdfhttps://regulations.justia.com/regulations/fedreg/2018/10/15/2018-22290.htmlNotice - Submission for OMB Review; Comment Request2018-10-15T00:00:00-07:002018-10-15T00:00:00-07:002018-22290Noticehttps://www.gpo.gov/fdsys/pkg/FR-2018-10-15/pdf/2018-22290.pdfhttps://regulations.justia.com/regulations/fedreg/2018/10/15/2018-22289.htmlNotice - Submission for OMB Review; Comment Request2018-10-15T00:00:00-07:002018-10-15T00:00:00-07:002018-22289Noticehttps://www.gpo.gov/fdsys/pkg/FR-2018-10-15/pdf/2018-22289.pdfhttps://regulations.justia.com/regulations/fedreg/2018/10/15/2018-22288.htmlNotice - Submission for OMB Review; Comment Request2018-10-15T00:00:00-07:002018-10-15T00:00:00-07:002018-22288Noticehttps://www.gpo.gov/fdsys/pkg/FR-2018-10-15/pdf/2018-22288.pdfhttps://regulations.justia.com/regulations/fedreg/2018/10/12/2018-22210.htmlNotice - 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 First Trust Ultra Short Duration Municipal ETF Under NYSE Arca Rule 8.600-E2018-10-12T00:00:00-07:002018-10-12T00:00:00-07:002018-22210Noticehttps://www.gpo.gov/fdsys/pkg/FR-2018-10-12/pdf/2018-22210.pdfhttps://regulations.justia.com/regulations/fedreg/2018/10/12/2018-22209.htmlNotice - Self-Regulatory Organizations; NYSE National, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Its Schedule of Fees2018-10-12T00:00:00-07:002018-10-12T00:00:00-07:002018-22209Noticehttps://www.gpo.gov/fdsys/pkg/FR-2018-10-12/pdf/2018-22209.pdfhttps://regulations.justia.com/regulations/fedreg/2018/10/12/2018-22208.htmlNotice - 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 First Trust Short Duration Managed Municipal ETF Under NYSE Arca Rule 8.600-E2018-10-12T00:00:00-07:002018-10-12T00:00:00-07:002018-22208Noticehttps://www.gpo.gov/fdsys/pkg/FR-2018-10-12/pdf/2018-22208.pdfhttps://regulations.justia.com/regulations/fedreg/2018/10/12/2018-22207.htmlNotice - Self-Regulatory Organizations; Cboe BZX Exchange, Inc.; Notice of Filing of Amendment No. 1 and Order Instituting Proceedings To Determine Whether To Approve or Disapprove a Proposed Rule Change, as Modified by Amendment No. 1, To Amend BZX Rule 14.11(c) (Index Fund Shares)2018-10-12T00:00:00-07:002018-10-12T00:00:00-07:002018-22207Noticehttps://www.gpo.gov/fdsys/pkg/FR-2018-10-12/pdf/2018-22207.pdfhttps://regulations.justia.com/regulations/fedreg/2018/10/12/2018-22206.htmlNotice - Self-Regulatory Organizations; Cboe BZX Exchange, Inc.; Notice of Filing of Amendment Nos. 2 and 4 and Order Granting Accelerated Approval of a Proposed Rule Change, as Modified by Amendment Nos. 2 and 4, To Amend BZX Rule 14.8, General Listings Requirements-Tier I, To Adopt Listing Standards for Closed-End Funds2018-10-12T00:00:00-07:002018-10-12T00:00:00-07:002018-22206Noticehttps://www.gpo.gov/fdsys/pkg/FR-2018-10-12/pdf/2018-22206.pdfhttps://regulations.justia.com/regulations/fedreg/2018/10/12/2018-22205.htmlNotice - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Change Relating to Provision of Test Result Information to Candidates Who Pass a FINRA Qualification Examination2018-10-12T00:00:00-07:002018-10-12T00:00:00-07:002018-22205Noticehttps://www.gpo.gov/fdsys/pkg/FR-2018-10-12/pdf/2018-22205.pdfhttps://regulations.justia.com/regulations/fedreg/2018/10/12/2018-22204.htmlNotice - Self-Regulatory Organizations; ICE Clear Europe Limited; Notice of Filing and Order Granting Accelerated Approval of Proposed Rule Change, as Modified by Amendment No. 1, Relating to Intraday Margining2018-10-12T00:00:00-07:002018-10-12T00:00:00-07:002018-22204Noticehttps://www.gpo.gov/fdsys/pkg/FR-2018-10-12/pdf/2018-22204.pdfhttps://regulations.justia.com/regulations/fedreg/2018/10/12/2018-22203.htmlNotice - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Order Approving Proposed Rule Change to FINRA Rule 6710 To Modify the Dissemination Protocols for Agency Debt Securities2018-10-12T00:00:00-07:002018-10-12T00:00:00-07:002018-22203Noticehttps://www.gpo.gov/fdsys/pkg/FR-2018-10-12/pdf/2018-22203.pdfhttps://regulations.justia.com/regulations/fedreg/2018/10/12/2018-22202.htmlNotice - Self-Regulatory Organizations; Nasdaq ISE, LLC; Notice of Filing of Amendment No. 1 and Order Granting Accelerated Approval of a Proposed Rule Change, as Modified by Amendment No. 1, To Amend Its Rules Relating to Complex Orders2018-10-12T00:00:00-07:002018-10-12T00:00:00-07:002018-22202Noticehttps://www.gpo.gov/fdsys/pkg/FR-2018-10-12/pdf/2018-22202.pdfhttps://regulations.justia.com/regulations/fedreg/2018/10/12/2018-22196.htmlNotice - Natixis Funds Trust I, et al.; Notice of Application2018-10-12T00:00:00-07:002018-10-12T00:00:00-07:002018-22196Noticehttps://www.gpo.gov/fdsys/pkg/FR-2018-10-12/pdf/2018-22196.pdfhttps://regulations.justia.com/regulations/fedreg/2018/10/11/2018-22096.htmlNotice - Self-Regulatory Organizations; Cboe BZX Exchange, Inc.; Notice of Filing of Amendment No. 2 to a Proposed Rule Change To List and Trade Shares of the GraniteShares Bitcoin ETF and the GraniteShares Short Bitcoin ETF, a Series of the GraniteShares ETP Trust, Under Rule 14.11(f)(4), Trust Issued Receipts2018-10-11T00:00:00-07:002018-10-11T00:00:00-07:002018-22096Noticehttps://www.gpo.gov/fdsys/pkg/FR-2018-10-11/pdf/2018-22096.pdfhttps://regulations.justia.com/regulations/fedreg/2018/10/11/2018-22094.htmlNotice - Securities Exchange Act of 19342018-10-11T00:00:00-07:002018-10-11T00:00:00-07:002018-22094Noticehttps://www.gpo.gov/fdsys/pkg/FR-2018-10-11/pdf/2018-22094.pdfhttps://regulations.justia.com/regulations/fedreg/2018/10/11/2018-22093.htmlNotice - In the Matter of the NYSE Arca, Inc. For an Order of Disapproval of 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 (File No. SR-NYSEArca-2018-02); Order Scheduling Filing of Statements on Review2018-10-11T00:00:00-07:002018-10-11T00:00:00-07:002018-22093Noticehttps://www.gpo.gov/fdsys/pkg/FR-2018-10-11/pdf/2018-22093.pdfhttps://regulations.justia.com/regulations/fedreg/2018/10/11/2018-22084.htmlNotice - In the Matter of the Cboe BZX Exchange, Inc.; For an Order of Disapproval of Proposed Rule Change To List and Trade the Shares of the GraniteShares Bitcoin ETF and the GraniteShares Short Bitcoin ETF (File No. SR-CboeBZX-2018-001); Order Scheduling Filing of Statements on Review2018-10-11T00:00:00-07:002018-10-11T00:00:00-07:002018-22084Noticehttps://www.gpo.gov/fdsys/pkg/FR-2018-10-11/pdf/2018-22084.pdfhttps://regulations.justia.com/regulations/fedreg/2018/10/11/2018-22049.htmlNotice - Self-Regulatory Organizations; NYSE American LLC; Notice of Filing of Proposed Rule Change To Allow Flexible Exchange Equity Options Where the Underlying Security is an Exchange-Traded Fund That Is Included in the Option Penny Pilot To Be Settled in Cash2018-10-11T00:00:00-07:002018-10-11T00:00:00-07:002018-22049Noticehttps://www.gpo.gov/fdsys/pkg/FR-2018-10-11/pdf/2018-22049.pdfhttps://regulations.justia.com/regulations/fedreg/2018/10/11/2018-22048.htmlNotice - Self-Regulatory Organizations: Investors Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Correct Several Typographical Errors in IEX Rule 2.160 Added by a Previous Filing2018-10-11T00:00:00-07:002018-10-11T00:00:00-07:002018-22048Noticehttps://www.gpo.gov/fdsys/pkg/FR-2018-10-11/pdf/2018-22048.pdfhttps://regulations.justia.com/regulations/fedreg/2018/10/11/2018-22047.htmlNotice - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend CAB Rule 331 (Anti-Money Laundering Compliance Program) To Conform to FinCEN's Final Rule on Customer Due Diligence Requirements for Financial Institutions2018-10-11T00:00:00-07:002018-10-11T00:00:00-07:002018-22047Noticehttps://www.gpo.gov/fdsys/pkg/FR-2018-10-11/pdf/2018-22047.pdfhttps://regulations.justia.com/regulations/fedreg/2018/10/11/2018-22046.htmlNotice - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Order Approving Proposed Rule Change To Amend FINRA Rule 7730 To Remove Computer-to-Computer Interface as a Technological Option for TRACE Reporting2018-10-11T00:00:00-07:002018-10-11T00:00:00-07:002018-22046Noticehttps://www.gpo.gov/fdsys/pkg/FR-2018-10-11/pdf/2018-22046.pdfhttps://regulations.justia.com/regulations/fedreg/2018/10/11/2018-22045.htmlNotice - Self-Regulatory Organizations: Notice of Filing and Immediate Effectiveness of a Proposed Rule Change by MIAX PEARL, LLC To Amend Exchange Rule 203, Qualification and Registration of Members and Associated Persons, Relating to Registration and Qualification Examinations Required for Members and Associated Persons of Members That Engage in Trading Activities on the Exchange2018-10-11T00:00:00-07:002018-10-11T00:00:00-07:002018-22045Noticehttps://www.gpo.gov/fdsys/pkg/FR-2018-10-11/pdf/2018-22045.pdfhttps://regulations.justia.com/regulations/fedreg/2018/10/11/2018-22044.htmlNotice - Self-Regulatory Organizations; Miami International Securities Exchange, LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Exchange Rules 203, Qualification and Registration of Members and Associated Persons, 1301, Registration of Options Principals, and 1302, Registration of Representatives, Relating to Registration and Qualification Examinations Required for Members and Associated Persons of Members That Engage in Trading Activities on the Exchange2018-10-11T00:00:00-07:002018-10-11T00:00:00-07:002018-22044Noticehttps://www.gpo.gov/fdsys/pkg/FR-2018-10-11/pdf/2018-22044.pdfhttps://regulations.justia.com/regulations/fedreg/2018/10/11/2018-22043.htmlNotice - Self-Regulatory Organizations: Investors Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Modify Its Fee Schedule To Specify the Circumstances Under Which the Exchange Will Aggregate the Activity of Affiliated Members for Purposes of Applying the Provisions of Rule 11.170(a) Related to the IEMM Program2018-10-11T00:00:00-07:002018-10-11T00:00:00-07:002018-22043Noticehttps://www.gpo.gov/fdsys/pkg/FR-2018-10-11/pdf/2018-22043.pdfhttps://regulations.justia.com/regulations/fedreg/2018/10/10/2018-21953.htmlNotice - Fixed Income Market Structure Advisory Committee2018-10-10T00:00:00-07:002018-10-10T00:00:00-07:002018-21953Noticehttps://www.gpo.gov/fdsys/pkg/FR-2018-10-10/pdf/2018-21953.pdfhttps://regulations.justia.com/regulations/fedreg/2018/10/10/2018-21922.htmlNotice - Self-Regulatory Organizations; MIAX PEARL, LLC; Notice of Filing of a Proposed Rule Change To Amend the Fee Schedule Regarding Connectivity Fees for Members and Non-Members; Suspension of and Order Instituting Proceedings To Determine Whether To Approve or Disapprove the Proposed Rule Change2018-10-10T00:00:00-07:002018-10-10T00:00:00-07:002018-21922Noticehttps://www.gpo.gov/fdsys/pkg/FR-2018-10-10/pdf/2018-21922.pdfhttps://regulations.justia.com/regulations/fedreg/2018/10/10/2018-21921.htmlNotice - Self-Regulatory Organizations; Miami International Securities Exchange LLC; Notice of Filing of a Proposed Rule Change To Amend the Fee Schedule Regarding Connectivity Fees for Members and Non-Members; Suspension of and Order Instituting Proceedings To Determine Whether To Approve or Disapprove the Proposed Rule Change2018-10-10T00:00:00-07:002018-10-10T00:00:00-07:002018-21921Noticehttps://www.gpo.gov/fdsys/pkg/FR-2018-10-10/pdf/2018-21921.pdfhttps://regulations.justia.com/regulations/fedreg/2018/10/10/2018-21909.htmlNotice - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Rule 7.14, Clearance and Settlement2018-10-10T00:00:00-07:002018-10-10T00:00:00-07:002018-21909Noticehttps://www.gpo.gov/fdsys/pkg/FR-2018-10-10/pdf/2018-21909.pdfhttps://regulations.justia.com/regulations/fedreg/2018/10/10/2018-21907.htmlNotice - Self-Regulatory Organizations; New York Stock Exchange LLC; Order Approving a Proposed Rule Change To Provide for the Listing of Exchange Traded Products With No Component NMS Stock Listed on the Exchange, Delete Obsolete Listing Rules for Exchange Traded Products and Amend Rules Regarding Unlisted Trading Privileges2018-10-10T00:00:00-07:002018-10-10T00:00:00-07:002018-21907Noticehttps://www.gpo.gov/fdsys/pkg/FR-2018-10-10/pdf/2018-21907.pdfhttps://regulations.justia.com/regulations/fedreg/2018/10/10/2018-21904.htmlNotice - Self-Regulatory Organizations; Nasdaq BX, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend, Reorganize and Enhance Membership, Registration and Qualification Rules, and To Make Conforming Changes to Certain Other Rules2018-10-10T00:00:00-07:002018-10-10T00:00:00-07:002018-21904Noticehttps://www.gpo.gov/fdsys/pkg/FR-2018-10-10/pdf/2018-21904.pdfhttps://regulations.justia.com/regulations/fedreg/2018/10/10/2018-21903.htmlNotice - Self-Regulatory Organizations; NYSE National, Inc.; Notice of Filing and Immediate Effectiveness of Amendments to Rules Regarding Qualification, Registration and Continuing Education Applicable to Equity Trading Permit Holders2018-10-10T00:00:00-07:002018-10-10T00:00:00-07:002018-21903Noticehttps://www.gpo.gov/fdsys/pkg/FR-2018-10-10/pdf/2018-21903.pdfhttps://regulations.justia.com/regulations/fedreg/2018/10/10/2018-21902.htmlNotice - Self-Regulatory Organizations; Nasdaq PHLX LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend, Reorganize and Enhance Membership, Registration and Qualification Rules and To Make Conforming Changes to Certain Other Rules2018-10-10T00:00:00-07:002018-10-10T00:00:00-07:002018-21902Noticehttps://www.gpo.gov/fdsys/pkg/FR-2018-10-10/pdf/2018-21902.pdfhttps://regulations.justia.com/regulations/fedreg/2018/10/10/2018-21901.htmlNotice - Self-Regulatory Organizations; NYSE Arca, Inc.; Order Granting Approval of Proposed Rule Change, as Modified by Amendment Nos. 4 and 6, To List and Trade Shares of the Amplify BlackSwan Growth & Treasury Core ETF Under Commentary .02 to NYSE Arca Rule 5.2-E(j)(3)2018-10-10T00:00:00-07:002018-10-10T00:00:00-07:002018-21901Noticehttps://www.gpo.gov/fdsys/pkg/FR-2018-10-10/pdf/2018-21901.pdfhttps://regulations.justia.com/regulations/fedreg/2018/10/10/2018-21900.htmlNotice - Self-Regulatory Organizations; The Nasdaq Stock Market LLC; 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 LLC2018-10-10T00:00:00-07:002018-10-10T00:00:00-07:002018-21900Noticehttps://www.gpo.gov/fdsys/pkg/FR-2018-10-10/pdf/2018-21900.pdfhttps://regulations.justia.com/regulations/fedreg/2018/10/09/2018-21995.htmlNotice - Sunshine Act Meetings2018-10-09T00:00:00-07:002018-10-09T00:00:00-07:002018-21995Noticehttps://www.gpo.gov/fdsys/pkg/FR-2018-10-09/pdf/2018-21995.pdfhttps://regulations.justia.com/regulations/fedreg/2018/10/09/2018-21906.htmlNotice - 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 LLC2018-10-09T00:00:00-07:002018-10-09T00:00:00-07:002018-21906Noticehttps://www.gpo.gov/fdsys/pkg/FR-2018-10-09/pdf/2018-21906.pdfhttps://regulations.justia.com/regulations/fedreg/2018/10/09/2018-21874.htmlNotice - Vident Advisory, LLC et al.2018-10-09T00:00:00-07:002018-10-09T00:00:00-07:002018-21874Noticehttps://www.gpo.gov/fdsys/pkg/FR-2018-10-09/pdf/2018-21874.pdfhttps://regulations.justia.com/regulations/fedreg/2018/10/09/2018-21834.htmlNotice - Proposed Collection; Comment Request2018-10-09T00:00:00-07:002018-10-09T00:00:00-07:002018-21834Noticehttps://www.gpo.gov/fdsys/pkg/FR-2018-10-09/pdf/2018-21834.pdfhttps://regulations.justia.com/regulations/fedreg/2018/10/09/2018-21833.htmlNotice - Submission for OMB Review; Comment Request2018-10-09T00:00:00-07:002018-10-09T00:00:00-07:002018-21833Noticehttps://www.gpo.gov/fdsys/pkg/FR-2018-10-09/pdf/2018-21833.pdfhttps://regulations.justia.com/regulations/fedreg/2018/10/09/2018-21832.htmlNotice - Submission for OMB Review; Comment Request2018-10-09T00:00:00-07:002018-10-09T00:00:00-07:002018-21832Noticehttps://www.gpo.gov/fdsys/pkg/FR-2018-10-09/pdf/2018-21832.pdfhttps://regulations.justia.com/regulations/fedreg/2018/10/09/2018-21831.htmlNotice - Submission for OMB Review; Comment Request2018-10-09T00:00:00-07:002018-10-09T00:00:00-07:002018-21831Noticehttps://www.gpo.gov/fdsys/pkg/FR-2018-10-09/pdf/2018-21831.pdfhttps://regulations.justia.com/regulations/fedreg/2018/10/09/2018-21830.htmlNotice - Submission for OMB Review; Comment Request2018-10-09T00:00:00-07:002018-10-09T00:00:00-07:002018-21830Noticehttps://www.gpo.gov/fdsys/pkg/FR-2018-10-09/pdf/2018-21830.pdfhttps://regulations.justia.com/regulations/fedreg/2018/10/09/2018-21787.htmlNotice - 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 Exchange2018-10-09T00:00:00-07:002018-10-09T00:00:00-07:002018-21787Noticehttps://www.gpo.gov/fdsys/pkg/FR-2018-10-09/pdf/2018-21787.pdfhttps://regulations.justia.com/regulations/fedreg/2018/10/09/2018-21786.htmlNotice - Self-Regulatory Organizations; Nasdaq ISE, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Establish New Pricing for Flash Orders2018-10-09T00:00:00-07:002018-10-09T00:00:00-07:002018-21786Noticehttps://www.gpo.gov/fdsys/pkg/FR-2018-10-09/pdf/2018-21786.pdfhttps://regulations.justia.com/regulations/fedreg/2018/10/09/2018-21785.htmlNotice - Self-Regulatory Organizations; ICE Clear Europe Limited; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to F&O Risk Policies2018-10-09T00:00:00-07:002018-10-09T00:00:00-07:002018-21785Noticehttps://www.gpo.gov/fdsys/pkg/FR-2018-10-09/pdf/2018-21785.pdfhttps://regulations.justia.com/regulations/fedreg/2018/10/09/2018-21784.htmlNotice - Self-Regulatory Organizations; Cboe Exchange, Inc.; Order Approving a Proposed Rule Change To Adopt Rule 6.57, Risk-Weighted Asset (“RWA”) Packages2018-10-09T00:00:00-07:002018-10-09T00:00:00-07:002018-21784Noticehttps://www.gpo.gov/fdsys/pkg/FR-2018-10-09/pdf/2018-21784.pdfhttps://regulations.justia.com/regulations/fedreg/2018/10/09/2018-21783.htmlNotice - 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)2018-10-09T00:00:00-07:002018-10-09T00:00:00-07:002018-21783Noticehttps://www.gpo.gov/fdsys/pkg/FR-2018-10-09/pdf/2018-21783.pdfhttps://regulations.justia.com/regulations/fedreg/2018/10/09/2018-21782.htmlNotice - 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 Examination2018-10-09T00:00:00-07:002018-10-09T00:00:00-07:002018-21782Noticehttps://www.gpo.gov/fdsys/pkg/FR-2018-10-09/pdf/2018-21782.pdfhttps://regulations.justia.com/regulations/fedreg/2018/10/09/2018-21781.htmlNotice - 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 Organizations2018-10-09T00:00:00-07:002018-10-09T00:00:00-07:002018-21781Noticehttps://www.gpo.gov/fdsys/pkg/FR-2018-10-09/pdf/2018-21781.pdfhttps://regulations.justia.com/regulations/fedreg/2018/10/09/2018-21761.htmlNotice - 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-2017-042018-10-09T00:00:00-07:002018-10-09T00:00:00-07:002018-21761Noticehttps://www.gpo.gov/fdsys/pkg/FR-2018-10-09/pdf/2018-21761.pdfhttps://regulations.justia.com/regulations/fedreg/2018/10/05/2018-21683.htmlNotice - Self-Regulatory Organizations; BOX Exchange LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the Fee Schedule on the BOX Options Market LLC Facility To Revise Certain Qualification Thresholds and Fees in Sections I.B.1, Primary Improvement Order, and I.B.2, BOX Volume Rebate2018-10-05T00:00:00-07:002018-10-05T00:00:00-07:002018-21683Noticehttps://www.gpo.gov/fdsys/pkg/FR-2018-10-05/pdf/2018-21683.pdfhttps://regulations.justia.com/regulations/fedreg/2018/10/05/2018-21681.htmlNotice - Self-Regulatory Organizations; Nasdaq BX, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Relocate the Pricing Schedule Rules2018-10-05T00:00:00-07:002018-10-05T00:00:00-07:002018-21681Noticehttps://www.gpo.gov/fdsys/pkg/FR-2018-10-05/pdf/2018-21681.pdfhttps://regulations.justia.com/regulations/fedreg/2018/10/05/2018-21680.htmlNotice - Self-Regulatory Organizations; Cboe EDGX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Adopt a New Order Type Called the MidPoint Discretionary Order (“MDO”) Under Paragraph (g) of Exchange Rule 11.8 and To Amend the Definition of the Super Aggressive Instruction Under Paragraph (n)(2) of Exchange Rule 11.62018-10-05T00:00:00-07:002018-10-05T00:00:00-07:002018-21680Noticehttps://www.gpo.gov/fdsys/pkg/FR-2018-10-05/pdf/2018-21680.pdfhttps://regulations.justia.com/regulations/fedreg/2018/10/05/2018-21679.htmlNotice - Self-Regulatory Organizations; The Nasdaq Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change to the Minimum Quantity Order Attribute2018-10-05T00:00:00-07:002018-10-05T00:00:00-07:002018-21679Noticehttps://www.gpo.gov/fdsys/pkg/FR-2018-10-05/pdf/2018-21679.pdfhttps://regulations.justia.com/regulations/fedreg/2018/10/05/2018-21678.htmlNotice - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Rule 67 To Specify That D-Quote Functionality Under Rule 67(f)(5) Will Continue To Be in Effect Until Six Months After the End of the Pilot Period2018-10-05T00:00:00-07:002018-10-05T00:00:00-07:002018-21678Noticehttps://www.gpo.gov/fdsys/pkg/FR-2018-10-05/pdf/2018-21678.pdfhttps://regulations.justia.com/regulations/fedreg/2018/10/05/2018-21295.htmlProposed Rule - Amendments to Rules for Nationally Recognized Statistical Rating Organizations2018-10-05T00:00:00-07:002018-10-05T00:00:00-07:002018-21295Proposed Rulehttps://www.gpo.gov/fdsys/pkg/FR-2018-10-05/pdf/2018-21295.pdfhttps://regulations.justia.com/regulations/fedreg/2018/10/04/2018-21586.htmlNotice - Self-Regulatory Organizations; Nasdaq PHLX LLC; Order Approving a Proposed Rule Change Relating to Anticipatory Hedging2018-10-04T00:00:00-07:002018-10-04T00:00:00-07:002018-21586Noticehttps://www.gpo.gov/fdsys/pkg/FR-2018-10-04/pdf/2018-21586.pdfhttps://regulations.justia.com/regulations/fedreg/2018/10/04/2018-21585.htmlNotice - Self-Regulatory Organizations; ICE Clear Credit LLC; Order Approving Proposed Rule Change Relating to ICC's Treasury Operations Policies and Procedures2018-10-04T00:00:00-07:002018-10-04T00:00:00-07:002018-21585Noticehttps://www.gpo.gov/fdsys/pkg/FR-2018-10-04/pdf/2018-21585.pdfhttps://regulations.justia.com/regulations/fedreg/2018/10/04/2018-21584.htmlNotice - Self-Regulatory Organizations; The Nasdaq Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Rules 7039, 7047, 7049, 7055, and 7061 To Update the Definition of the Term FINRA/Nasdaq Trade Reporting Facility2018-10-04T00:00:00-07:002018-10-04T00:00:00-07:002018-21584Noticehttps://www.gpo.gov/fdsys/pkg/FR-2018-10-04/pdf/2018-21584.pdfhttps://regulations.justia.com/regulations/fedreg/2018/10/04/2018-21582.htmlNotice - Self-Regulatory Organizations; Investors Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Rule 2.160 Related to the Qualification and Registration Requirements for Associated Persons of a Member and To Delete Rule 2.150 Which is Obsolete2018-10-04T00:00:00-07:002018-10-04T00:00:00-07:002018-21582Noticehttps://www.gpo.gov/fdsys/pkg/FR-2018-10-04/pdf/2018-21582.pdfhttps://regulations.justia.com/regulations/fedreg/2018/10/04/2018-18142.htmlRule - Disclosure Update and Simplification2018-10-04T00:00:00-07:002018-10-04T00:00:00-07:002018-18142Rulehttps://www.gpo.gov/fdsys/pkg/FR-2018-10-04/pdf/2018-18142.pdfhttps://regulations.justia.com/regulations/fedreg/2018/10/03/2018-21555.htmlNotice - MIAX EMERALD, LLC; Notice of Filing of Application for Registration as a National Securities Exchange Under Section 6 of the Securities Exchange Act of 19342018-10-03T00:00:00-07:002018-10-03T00:00:00-07:002018-21555Noticehttps://www.gpo.gov/fdsys/pkg/FR-2018-10-03/pdf/2018-21555.pdfhttps://regulations.justia.com/regulations/fedreg/2018/10/03/2018-21554.htmlNotice - Notice of Applications for Deregistration Under Section 8(f) of the Investment Company Act of 19402018-10-03T00:00:00-07:002018-10-03T00:00:00-07:002018-21554Noticehttps://www.gpo.gov/fdsys/pkg/FR-2018-10-03/pdf/2018-21554.pdfhttps://regulations.justia.com/regulations/fedreg/2018/10/03/2018-21511.htmlNotice - Submission for OMB Review; Comment Request2018-10-03T00:00:00-07:002018-10-03T00:00:00-07:002018-21511Noticehttps://www.gpo.gov/fdsys/pkg/FR-2018-10-03/pdf/2018-21511.pdfhttps://regulations.justia.com/regulations/fedreg/2018/10/03/2018-21510.htmlNotice - Submission Collection; Comment Request2018-10-03T00:00:00-07:002018-10-03T00:00:00-07:002018-21510Noticehttps://www.gpo.gov/fdsys/pkg/FR-2018-10-03/pdf/2018-21510.pdfhttps://regulations.justia.com/regulations/fedreg/2018/10/03/2018-21509.htmlNotice - Submission for OMB Review; Comment Request2018-10-03T00:00:00-07:002018-10-03T00:00:00-07:002018-21509Noticehttps://www.gpo.gov/fdsys/pkg/FR-2018-10-03/pdf/2018-21509.pdfhttps://regulations.justia.com/regulations/fedreg/2018/10/03/2018-21487.htmlNotice - Self-Regulatory Organizations; Cboe BYX Exchange, Inc.; Notice of Designation of Longer Period for Commission Action on Proposed Rule Change To Make Permanent Rule 11.24, Which Sets Forth the Exchange's Pilot Retail Price Improvement Program2018-10-03T00:00:00-07:002018-10-03T00:00:00-07:002018-21487Noticehttps://www.gpo.gov/fdsys/pkg/FR-2018-10-03/pdf/2018-21487.pdfhttps://regulations.justia.com/regulations/fedreg/2018/10/03/2018-21486.htmlNotice - Self-Regulatory Organizations; Cboe EDGX Exchange, Inc.; Order Approving a Proposed Rule Change, as Modified by Amendment Nos. 1 and 3, To Permit the Listing and Trading of Options That Overlie the Mini-SPX Index and the Russell 2000 Index2018-10-03T00:00:00-07:002018-10-03T00:00:00-07:002018-21486Noticehttps://www.gpo.gov/fdsys/pkg/FR-2018-10-03/pdf/2018-21486.pdfhttps://regulations.justia.com/regulations/fedreg/2018/10/03/2018-21485.htmlNotice - Self-Regulatory Organizations; Cboe BZX Exchange, Inc.; Order Approving a Proposed Rule Change, as Modified by Amendment Nos. 1 and 2, To Permit the Listing and Trading of Options That Overlie the Mini-SPX Index and the Russell 2000 Index2018-10-03T00:00:00-07:002018-10-03T00:00:00-07:002018-21485Noticehttps://www.gpo.gov/fdsys/pkg/FR-2018-10-03/pdf/2018-21485.pdfhttps://regulations.justia.com/regulations/fedreg/2018/10/03/2018-21482.htmlNotice - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Section 902.04 of the NYSE Listed Company Manual To Apply a $50,000 Fee Cap per Transaction for Issuances of Additional Shares by Closed End Funds2018-10-03T00:00:00-07:002018-10-03T00:00:00-07:002018-21482Noticehttps://www.gpo.gov/fdsys/pkg/FR-2018-10-03/pdf/2018-21482.pdfhttps://regulations.justia.com/regulations/fedreg/2018/10/02/2018-21502.htmlNotice - Sunshine Act Meetings2018-10-02T00:00:00-07:002018-10-02T00:00:00-07:002018-21502Noticehttps://www.gpo.gov/fdsys/pkg/FR-2018-10-02/pdf/2018-21502.pdfhttps://regulations.justia.com/regulations/fedreg/2018/10/02/2018-21375.htmlNotice - BC Partners Lending Corporation, et al.; Notice of Application2018-10-02T00:00:00-07:002018-10-02T00:00:00-07:002018-21375Noticehttps://www.gpo.gov/fdsys/pkg/FR-2018-10-02/pdf/2018-21375.pdfhttps://regulations.justia.com/regulations/fedreg/2018/10/02/2018-21374.htmlNotice - Hedge Fund Guided Portfolio Solution, et al.2018-10-02T00:00:00-07:002018-10-02T00:00:00-07:002018-21374Noticehttps://www.gpo.gov/fdsys/pkg/FR-2018-10-02/pdf/2018-21374.pdfhttps://regulations.justia.com/regulations/fedreg/2018/10/02/2018-21366.htmlNotice - Self-Regulatory Organizations; The Nasdaq Stock Market LLC; Notice of Filing of Amendment No. 1 and Order Granting Accelerated Approval of a Proposed Rule Change, as Modified by Amendment No. 1, To Modify the Listing Requirements Contained in Listing Rule 5635(d) To Change the Definition of Market Value for Purposes of the Shareholder Approval Rule and Eliminate the Requirement for Shareholder Approval of Issuances at a Price Less Than Book Value but Greater Than Market Value2018-10-02T00:00:00-07:002018-10-02T00:00:00-07:002018-21366Noticehttps://www.gpo.gov/fdsys/pkg/FR-2018-10-02/pdf/2018-21366.pdfhttps://regulations.justia.com/regulations/fedreg/2018/10/02/2018-21365.htmlNotice - Self-Regulatory Organizations; Nasdaq PHLX LLC; Notice of Filing of Proposed Rule Change To Amend Rules 1000, 1064, and 1069 To Allow for the Snapshot Functionality of the Floor Based Management System to be Used for All Orders2018-10-02T00:00:00-07:002018-10-02T00:00:00-07:002018-21365Noticehttps://www.gpo.gov/fdsys/pkg/FR-2018-10-02/pdf/2018-21365.pdfhttps://regulations.justia.com/regulations/fedreg/2018/10/02/2018-21364.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.2018-10-02T00:00:00-07:002018-10-02T00:00:00-07:002018-21364Noticehttps://www.gpo.gov/fdsys/pkg/FR-2018-10-02/pdf/2018-21364.pdfhttps://regulations.justia.com/regulations/fedreg/2018/10/02/2018-19456.htmlProposed Rule - Financial Disclosures About Guarantors and Issuers of Guaranteed Securities and Affiliates Whose Securities Collateralize a Registrant's Securities2018-10-02T00:00:00-07:002018-10-02T00:00:00-07:002018-19456Proposed Rulehttps://www.gpo.gov/fdsys/pkg/FR-2018-10-02/pdf/2018-19456.pdfhttps://regulations.justia.com/regulations/fedreg/2018/10/01/2018-21236.htmlNotice - Self-Regulatory Organizations; Nasdaq GEMX, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Relocate the Exchange's Schedule of Fees2018-10-01T00:00:00-07:002018-10-01T00:00:00-07:002018-21236Noticehttps://www.gpo.gov/fdsys/pkg/FR-2018-10-01/pdf/2018-21236.pdfhttps://regulations.justia.com/regulations/fedreg/2018/10/01/2018-21235.htmlNotice - Self-Regulatory Organizations; Fixed Income Clearing Corporation; Order Approving Proposed Rule Change To Correct Certain References and Provide Transparency to Existing Processes in the Mortgage-Backed Securities Division Electronic Pool Notification Rules2018-10-01T00:00:00-07:002018-10-01T00:00:00-07:002018-21235Noticehttps://www.gpo.gov/fdsys/pkg/FR-2018-10-01/pdf/2018-21235.pdfhttps://regulations.justia.com/regulations/fedreg/2018/10/01/2018-21234.htmlNotice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing of Proposed Rule Change To Amend NYSE Arca Rule 5.2-E(j)(6) Relating to Equity Index-Linked Securities Listing Standards Set Forth in NYSE Arca Rule 5.2-E(j)(6)(B)(I)2018-10-01T00:00:00-07:002018-10-01T00:00:00-07:002018-21234Noticehttps://www.gpo.gov/fdsys/pkg/FR-2018-10-01/pdf/2018-21234.pdfhttps://regulations.justia.com/regulations/fedreg/2018/10/01/2018-21233.htmlNotice - Self-Regulatory Organizations; NYSE American LLC; Notice of Filing of Proposed Rule Change To Modify Rule 961 Regarding the Give Up of a Clearing Member by ATP Holders and Conforming Changes to Rule 933NY2018-10-01T00:00:00-07:002018-10-01T00:00:00-07:002018-21233Noticehttps://www.gpo.gov/fdsys/pkg/FR-2018-10-01/pdf/2018-21233.pdfhttps://regulations.justia.com/regulations/fedreg/2018/10/01/2018-21232.htmlNotice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend a Representation Relating to the Redemption Procedures Applicable to the Sprott Physical Gold and Silver Trust2018-10-01T00:00:00-07:002018-10-01T00:00:00-07:002018-21232Noticehttps://www.gpo.gov/fdsys/pkg/FR-2018-10-01/pdf/2018-21232.pdfhttps://regulations.justia.com/regulations/fedreg/2018/10/01/2018-21231.htmlNotice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing of Proposed Rule Change To Modify Rule 6.15-O Regarding the Give Up of a Clearing Member by OTP Holders and OTP Firms and Conforming Changes to Rule 6.46-O2018-10-01T00:00:00-07:002018-10-01T00:00:00-07:002018-21231Noticehttps://www.gpo.gov/fdsys/pkg/FR-2018-10-01/pdf/2018-21231.pdf