<![CDATA[Federal Register Recent Federal Regulation Documents - Justia Regulation Tracker - Justia Regulations Tracker]]> https://regulations.justia.com/regulations/fedreg/agencies/securities-and-exchange-commission/2018/10?registers=between&min-day=1&max-day=31 Wed, 22 May 2024 23:36:28 -0700 Wed, 22 May 2024 23:36:28 -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/2018/10?registers=between&min-day=1&max-day=31 Notice - 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 Index https://regulations.justia.com/regulations/fedreg/2018/10/31/2018-23734.html https://regulations.justia.com/regulations/fedreg/2018/10/31/2018-23734.html Wed, 31 Oct 2018 00:00:00 -0700 2018-23734 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-10-31/pdf/2018-23734.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/2018/10/31/2018-23733.html https://regulations.justia.com/regulations/fedreg/2018/10/31/2018-23733.html Wed, 31 Oct 2018 00:00:00 -0700 2018-23733 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-10-31/pdf/2018-23733.pdf Notice - 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 Cap https://regulations.justia.com/regulations/fedreg/2018/10/31/2018-23732.html https://regulations.justia.com/regulations/fedreg/2018/10/31/2018-23732.html Wed, 31 Oct 2018 00:00:00 -0700 2018-23732 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-10-31/pdf/2018-23732.pdf Notice - 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 Privileges https://regulations.justia.com/regulations/fedreg/2018/10/31/2018-23731.html https://regulations.justia.com/regulations/fedreg/2018/10/31/2018-23731.html Wed, 31 Oct 2018 00:00:00 -0700 2018-23731 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-10-31/pdf/2018-23731.pdf Notice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing of Proposed Rule Change Regarding Certain Investments of the PGIM Ultra Short Bond ETF https://regulations.justia.com/regulations/fedreg/2018/10/31/2018-23730.html https://regulations.justia.com/regulations/fedreg/2018/10/31/2018-23730.html Wed, 31 Oct 2018 00:00:00 -0700 2018-23730 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-10-31/pdf/2018-23730.pdf Notice - Sunshine Act Meetings https://regulations.justia.com/regulations/fedreg/2018/10/30/2018-23773.html https://regulations.justia.com/regulations/fedreg/2018/10/30/2018-23773.html Tue, 30 Oct 2018 00:00:00 -0700 2018-23773 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-10-30/pdf/2018-23773.pdf Notice - 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 Basis https://regulations.justia.com/regulations/fedreg/2018/10/30/2018-23625.html https://regulations.justia.com/regulations/fedreg/2018/10/30/2018-23625.html Tue, 30 Oct 2018 00:00:00 -0700 2018-23625 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-10-30/pdf/2018-23625.pdf Notice - 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 Basis https://regulations.justia.com/regulations/fedreg/2018/10/30/2018-23624.html https://regulations.justia.com/regulations/fedreg/2018/10/30/2018-23624.html Tue, 30 Oct 2018 00:00:00 -0700 2018-23624 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-10-30/pdf/2018-23624.pdf Notice - Self-Regulatory Organizations; Nasdaq MRX, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Delete Current Rules on Arbitration, Under Chapter 18 https://regulations.justia.com/regulations/fedreg/2018/10/30/2018-23623.html https://regulations.justia.com/regulations/fedreg/2018/10/30/2018-23623.html Tue, 30 Oct 2018 00:00:00 -0700 2018-23623 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-10-30/pdf/2018-23623.pdf Notice - Self-Regulatory Organizations; Nasdaq ISE, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Delete Current Rules on Arbitration, under Chapter 18 https://regulations.justia.com/regulations/fedreg/2018/10/30/2018-23622.html https://regulations.justia.com/regulations/fedreg/2018/10/30/2018-23622.html Tue, 30 Oct 2018 00:00:00 -0700 2018-23622 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-10-30/pdf/2018-23622.pdf Notice - Self-Regulatory Organizations; Nasdaq PHLX LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Delete Current Rules on Arbitration https://regulations.justia.com/regulations/fedreg/2018/10/30/2018-23621.html https://regulations.justia.com/regulations/fedreg/2018/10/30/2018-23621.html Tue, 30 Oct 2018 00:00:00 -0700 2018-23621 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-10-30/pdf/2018-23621.pdf Notice - Self-Regulatory Organizations; Nasdaq BX, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Delete the Current Rules on Arbitration https://regulations.justia.com/regulations/fedreg/2018/10/30/2018-23620.html https://regulations.justia.com/regulations/fedreg/2018/10/30/2018-23620.html Tue, 30 Oct 2018 00:00:00 -0700 2018-23620 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-10-30/pdf/2018-23620.pdf Notice - Sunshine Act Meetings https://regulations.justia.com/regulations/fedreg/2018/10/29/2018-23658.html https://regulations.justia.com/regulations/fedreg/2018/10/29/2018-23658.html Mon, 29 Oct 2018 00:00:00 -0700 2018-23658 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-10-29/pdf/2018-23658.pdf Notice - 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 Changes https://regulations.justia.com/regulations/fedreg/2018/10/29/2018-23508.html https://regulations.justia.com/regulations/fedreg/2018/10/29/2018-23508.html Mon, 29 Oct 2018 00:00:00 -0700 2018-23508 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-10-29/pdf/2018-23508.pdf Notice - 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 Crossed https://regulations.justia.com/regulations/fedreg/2018/10/29/2018-23507.html https://regulations.justia.com/regulations/fedreg/2018/10/29/2018-23507.html Mon, 29 Oct 2018 00:00:00 -0700 2018-23507 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-10-29/pdf/2018-23507.pdf Notice - 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 Charters https://regulations.justia.com/regulations/fedreg/2018/10/29/2018-23506.html https://regulations.justia.com/regulations/fedreg/2018/10/29/2018-23506.html Mon, 29 Oct 2018 00:00:00 -0700 2018-23506 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-10-29/pdf/2018-23506.pdf Notice - 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, 2018 https://regulations.justia.com/regulations/fedreg/2018/10/29/2018-23505.html https://regulations.justia.com/regulations/fedreg/2018/10/29/2018-23505.html Mon, 29 Oct 2018 00:00:00 -0700 2018-23505 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-10-29/pdf/2018-23505.pdf Notice - 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) https://regulations.justia.com/regulations/fedreg/2018/10/26/2018-23390.html https://regulations.justia.com/regulations/fedreg/2018/10/26/2018-23390.html Fri, 26 Oct 2018 00:00:00 -0700 2018-23390 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-10-26/pdf/2018-23390.pdf Notice - 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 Procedures https://regulations.justia.com/regulations/fedreg/2018/10/26/2018-23389.html https://regulations.justia.com/regulations/fedreg/2018/10/26/2018-23389.html Fri, 26 Oct 2018 00:00:00 -0700 2018-23389 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-10-26/pdf/2018-23389.pdf Notice - 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 Procedures https://regulations.justia.com/regulations/fedreg/2018/10/26/2018-23388.html https://regulations.justia.com/regulations/fedreg/2018/10/26/2018-23388.html Fri, 26 Oct 2018 00:00:00 -0700 2018-23388 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-10-26/pdf/2018-23388.pdf Notice - 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 ETF https://regulations.justia.com/regulations/fedreg/2018/10/26/2018-23387.html https://regulations.justia.com/regulations/fedreg/2018/10/26/2018-23387.html Fri, 26 Oct 2018 00:00:00 -0700 2018-23387 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-10-26/pdf/2018-23387.pdf Notice - Beyond Advisors IC, et al. https://regulations.justia.com/regulations/fedreg/2018/10/26/2018-23376.html https://regulations.justia.com/regulations/fedreg/2018/10/26/2018-23376.html Fri, 26 Oct 2018 00:00:00 -0700 2018-23376 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-10-26/pdf/2018-23376.pdf Notice - 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 Frameworks https://regulations.justia.com/regulations/fedreg/2018/10/25/2018-23280.html https://regulations.justia.com/regulations/fedreg/2018/10/25/2018-23280.html Thu, 25 Oct 2018 00:00:00 -0700 2018-23280 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-10-25/pdf/2018-23280.pdf Notice - 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 Framework https://regulations.justia.com/regulations/fedreg/2018/10/25/2018-23279.html https://regulations.justia.com/regulations/fedreg/2018/10/25/2018-23279.html Thu, 25 Oct 2018 00:00:00 -0700 2018-23279 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-10-25/pdf/2018-23279.pdf Notice - 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 Shares https://regulations.justia.com/regulations/fedreg/2018/10/25/2018-23278.html https://regulations.justia.com/regulations/fedreg/2018/10/25/2018-23278.html Thu, 25 Oct 2018 00:00:00 -0700 2018-23278 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-10-25/pdf/2018-23278.pdf Notice - 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 Changes https://regulations.justia.com/regulations/fedreg/2018/10/25/2018-23277.html https://regulations.justia.com/regulations/fedreg/2018/10/25/2018-23277.html Thu, 25 Oct 2018 00:00:00 -0700 2018-23277 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-10-25/pdf/2018-23277.pdf Notice - Proposed Collection; Comment Request https://regulations.justia.com/regulations/fedreg/2018/10/24/2018-23211.html https://regulations.justia.com/regulations/fedreg/2018/10/24/2018-23211.html Wed, 24 Oct 2018 00:00:00 -0700 2018-23211 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-10-24/pdf/2018-23211.pdf Notice - Proposed Collection; Comment Request https://regulations.justia.com/regulations/fedreg/2018/10/24/2018-23209.html https://regulations.justia.com/regulations/fedreg/2018/10/24/2018-23209.html Wed, 24 Oct 2018 00:00:00 -0700 2018-23209 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-10-24/pdf/2018-23209.pdf Notice - Submission for OMB Review; Comment Request https://regulations.justia.com/regulations/fedreg/2018/10/24/2018-23208.html https://regulations.justia.com/regulations/fedreg/2018/10/24/2018-23208.html Wed, 24 Oct 2018 00:00:00 -0700 2018-23208 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-10-24/pdf/2018-23208.pdf Notice - Proposed Collection; Comment Request https://regulations.justia.com/regulations/fedreg/2018/10/24/2018-23207.html https://regulations.justia.com/regulations/fedreg/2018/10/24/2018-23207.html Wed, 24 Oct 2018 00:00:00 -0700 2018-23207 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-10-24/pdf/2018-23207.pdf Notice - Proposed Collection; Comment Request https://regulations.justia.com/regulations/fedreg/2018/10/24/2018-23206.html https://regulations.justia.com/regulations/fedreg/2018/10/24/2018-23206.html Wed, 24 Oct 2018 00:00:00 -0700 2018-23206 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-10-24/pdf/2018-23206.pdf Notice - Proposed Collection; Comment Request https://regulations.justia.com/regulations/fedreg/2018/10/24/2018-23203.html https://regulations.justia.com/regulations/fedreg/2018/10/24/2018-23203.html Wed, 24 Oct 2018 00:00:00 -0700 2018-23203 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-10-24/pdf/2018-23203.pdf Notice - Proposed Collection; Comment Request https://regulations.justia.com/regulations/fedreg/2018/10/24/2018-23199.html https://regulations.justia.com/regulations/fedreg/2018/10/24/2018-23199.html Wed, 24 Oct 2018 00:00:00 -0700 2018-23199 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-10-24/pdf/2018-23199.pdf Notice - 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 Depository https://regulations.justia.com/regulations/fedreg/2018/10/24/2018-23175.html https://regulations.justia.com/regulations/fedreg/2018/10/24/2018-23175.html Wed, 24 Oct 2018 00:00:00 -0700 2018-23175 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-10-24/pdf/2018-23175.pdf Notice - 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 Designations https://regulations.justia.com/regulations/fedreg/2018/10/24/2018-23174.html https://regulations.justia.com/regulations/fedreg/2018/10/24/2018-23174.html Wed, 24 Oct 2018 00:00:00 -0700 2018-23174 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-10-24/pdf/2018-23174.pdf Notice - Self-Regulatory Organizations; Nasdaq PHLX LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Section (a)(i)(D) of Rule 1012 https://regulations.justia.com/regulations/fedreg/2018/10/24/2018-23173.html https://regulations.justia.com/regulations/fedreg/2018/10/24/2018-23173.html Wed, 24 Oct 2018 00:00:00 -0700 2018-23173 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-10-24/pdf/2018-23173.pdf Notice - 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 Rules https://regulations.justia.com/regulations/fedreg/2018/10/24/2018-23172.html https://regulations.justia.com/regulations/fedreg/2018/10/24/2018-23172.html Wed, 24 Oct 2018 00:00:00 -0700 2018-23172 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-10-24/pdf/2018-23172.pdf Notice - Sunshine Act Meetings https://regulations.justia.com/regulations/fedreg/2018/10/23/2018-23179.html https://regulations.justia.com/regulations/fedreg/2018/10/23/2018-23179.html Tue, 23 Oct 2018 00:00:00 -0700 2018-23179 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-10-23/pdf/2018-23179.pdf Notice - Sunshine Act Meetings https://regulations.justia.com/regulations/fedreg/2018/10/23/2018-23178.html https://regulations.justia.com/regulations/fedreg/2018/10/23/2018-23178.html Tue, 23 Oct 2018 00:00:00 -0700 2018-23178 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-10-23/pdf/2018-23178.pdf Notice - Sunshine Act Meetings https://regulations.justia.com/regulations/fedreg/2018/10/23/2018-23177.html https://regulations.justia.com/regulations/fedreg/2018/10/23/2018-23177.html Tue, 23 Oct 2018 00:00:00 -0700 2018-23177 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-10-23/pdf/2018-23177.pdf Notice - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Its Price List https://regulations.justia.com/regulations/fedreg/2018/10/23/2018-23039.html https://regulations.justia.com/regulations/fedreg/2018/10/23/2018-23039.html Tue, 23 Oct 2018 00:00:00 -0700 2018-23039 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-10-23/pdf/2018-23039.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/2018/10/23/2018-23038.html https://regulations.justia.com/regulations/fedreg/2018/10/23/2018-23038.html Tue, 23 Oct 2018 00:00:00 -0700 2018-23038 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-10-23/pdf/2018-23038.pdf Notice - Procure Active ETF Trust, et al. https://regulations.justia.com/regulations/fedreg/2018/10/22/2018-22996.html https://regulations.justia.com/regulations/fedreg/2018/10/22/2018-22996.html Mon, 22 Oct 2018 00:00:00 -0700 2018-22996 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-10-22/pdf/2018-22996.pdf Notice - Procure ETF Trust I, et al. https://regulations.justia.com/regulations/fedreg/2018/10/22/2018-22994.html https://regulations.justia.com/regulations/fedreg/2018/10/22/2018-22994.html Mon, 22 Oct 2018 00:00:00 -0700 2018-22994 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-10-22/pdf/2018-22994.pdf Notice - Investor Advisory Committee Meeting https://regulations.justia.com/regulations/fedreg/2018/10/22/2018-22943.html https://regulations.justia.com/regulations/fedreg/2018/10/22/2018-22943.html Mon, 22 Oct 2018 00:00:00 -0700 2018-22943 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-10-22/pdf/2018-22943.pdf Notice - 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 Thereunder https://regulations.justia.com/regulations/fedreg/2018/10/22/2018-22931.html https://regulations.justia.com/regulations/fedreg/2018/10/22/2018-22931.html Mon, 22 Oct 2018 00:00:00 -0700 2018-22931 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-10-22/pdf/2018-22931.pdf Notice - 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 Nasdaq https://regulations.justia.com/regulations/fedreg/2018/10/22/2018-22910.html https://regulations.justia.com/regulations/fedreg/2018/10/22/2018-22910.html Mon, 22 Oct 2018 00:00:00 -0700 2018-22910 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-10-22/pdf/2018-22910.pdf Notice - 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 Shares https://regulations.justia.com/regulations/fedreg/2018/10/22/2018-22909.html https://regulations.justia.com/regulations/fedreg/2018/10/22/2018-22909.html Mon, 22 Oct 2018 00:00:00 -0700 2018-22909 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-10-22/pdf/2018-22909.pdf Notice - Self-Regulatory Organizations; Cboe Exchange, Inc.; Order Approving a Proposed Rule Change To Amend Exchange Rule 6.49A, Transfer of Positions https://regulations.justia.com/regulations/fedreg/2018/10/22/2018-22908.html https://regulations.justia.com/regulations/fedreg/2018/10/22/2018-22908.html Mon, 22 Oct 2018 00:00:00 -0700 2018-22908 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-10-22/pdf/2018-22908.pdf Notice - Self-Regulatory Organizations; Cboe Exchange, Inc.; Order Approving a Proposed Rule Change To Amend Rule 6.2, Interpretation and Policy .01, Concerning Strategy Orders https://regulations.justia.com/regulations/fedreg/2018/10/22/2018-22907.html https://regulations.justia.com/regulations/fedreg/2018/10/22/2018-22907.html Mon, 22 Oct 2018 00:00:00 -0700 2018-22907 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-10-22/pdf/2018-22907.pdf