Federal Register Recent Federal Regulation Documents - Justia Regulation Tracker - Justia Regulations Trackerhttps://regulations.justia.com/regulations/fedreg/agencies/securities-and-exchange-commission/2018/11?limit=200®isters=between&min-day=1&max-day=30&mode=atom2024-05-03T23:21:27-07:00Justia Inchttps://www.justia.com/Justia Regulations Trackerhttps://regulations.justia.com/images/justiafedregulations.gifCopyright 2011 Justia Inchttps://regulations.justia.com/regulations/fedreg/2018/11/30/2018-26002.htmlNotice - Self-Regulatory Organizations; Cboe BZX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating To the Modification of Certain Routing Fees2018-11-30T00:00:00-08:002018-11-30T00:00:00-08:002018-26002Noticehttps://www.gpo.gov/fdsys/pkg/FR-2018-11-30/pdf/2018-26002.pdfhttps://regulations.justia.com/regulations/fedreg/2018/11/30/2018-26001.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-Members2018-11-30T00:00:00-08:002018-11-30T00:00:00-08:002018-26001Noticehttps://www.gpo.gov/fdsys/pkg/FR-2018-11-30/pdf/2018-26001.pdfhttps://regulations.justia.com/regulations/fedreg/2018/11/30/2018-26000.htmlNotice - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing of a Proposed Rule Change Relating to FINRA Rule 4570 (Custodian of Books and Records)2018-11-30T00:00:00-08:002018-11-30T00:00:00-08:002018-26000Noticehttps://www.gpo.gov/fdsys/pkg/FR-2018-11-30/pdf/2018-26000.pdfhttps://regulations.justia.com/regulations/fedreg/2018/11/30/2018-25999.htmlNotice - Self-Regulatory Organizations; Cboe BYX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to the Modification of Certain Routing Fees2018-11-30T00:00:00-08:002018-11-30T00:00:00-08:002018-25999Noticehttps://www.gpo.gov/fdsys/pkg/FR-2018-11-30/pdf/2018-25999.pdfhttps://regulations.justia.com/regulations/fedreg/2018/11/30/2018-25998.htmlNotice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Its Certificate of Incorporation, Bylaws and Rule 3.32018-11-30T00:00:00-08:002018-11-30T00:00:00-08:002018-25998Noticehttps://www.gpo.gov/fdsys/pkg/FR-2018-11-30/pdf/2018-25998.pdfhttps://regulations.justia.com/regulations/fedreg/2018/11/30/2018-25997.htmlNotice - Self-Regulatory Organizations; Nasdaq PHLX LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the Exchange's Provisions for Excluding Days for Purposes of Pricing Tiers2018-11-30T00:00:00-08:002018-11-30T00:00:00-08:002018-25997Noticehttps://www.gpo.gov/fdsys/pkg/FR-2018-11-30/pdf/2018-25997.pdfhttps://regulations.justia.com/regulations/fedreg/2018/11/30/2018-25996.htmlNotice - Self-Regulatory Organizations; NYSE American LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Rule 903, Series of Options Open for Trading2018-11-30T00:00:00-08:002018-11-30T00:00:00-08:002018-25996Noticehttps://www.gpo.gov/fdsys/pkg/FR-2018-11-30/pdf/2018-25996.pdfhttps://regulations.justia.com/regulations/fedreg/2018/11/30/2018-25995.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-Members2018-11-30T00:00:00-08:002018-11-30T00:00:00-08:002018-25995Noticehttps://www.gpo.gov/fdsys/pkg/FR-2018-11-30/pdf/2018-25995.pdfhttps://regulations.justia.com/regulations/fedreg/2018/11/30/2018-25994.htmlNotice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Rule 6.4-O, Series of Options Open for Trading2018-11-30T00:00:00-08:002018-11-30T00:00:00-08:002018-25994Noticehttps://www.gpo.gov/fdsys/pkg/FR-2018-11-30/pdf/2018-25994.pdfhttps://regulations.justia.com/regulations/fedreg/2018/11/30/2018-24376.htmlProposed Rule - Updated Disclosure Requirements and Summary Prospectus for Variable Annuity and Variable Life Insurance Contracts2018-11-30T00:00:00-08:002018-11-30T00:00:00-08:002018-24376Proposed Rulehttps://www.gpo.gov/fdsys/pkg/FR-2018-11-30/pdf/2018-24376.pdfhttps://regulations.justia.com/regulations/fedreg/2018/11/28/2018-25896.htmlNotice - Self-Regulatory Organizations; NYSE National, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Its Certificate of Incorporation and Bylaws2018-11-28T00:00:00-08:002018-11-28T00:00:00-08:002018-25896Noticehttps://www.gpo.gov/fdsys/pkg/FR-2018-11-28/pdf/2018-25896.pdfhttps://regulations.justia.com/regulations/fedreg/2018/11/27/2018-25884.htmlNotice - Self-Regulatory Organizations; Cboe C2 Exchange, Inc.; Notice of Filing of a Proposed Rule Change Relating To Adopt Complex Reserve Order Functionality2018-11-27T00:00:00-08:002018-11-27T00:00:00-08:002018-25884Noticehttps://www.gpo.gov/fdsys/pkg/FR-2018-11-27/pdf/2018-25884.pdfhttps://regulations.justia.com/regulations/fedreg/2018/11/27/2018-25883.htmlNotice - Self-Regulatory Organizations; Cboe EDGX Exchange, Inc.; Notice of Filing of a Proposed Rule Change Relating To Adopt Complex Reserve Order Functionality2018-11-27T00:00:00-08:002018-11-27T00:00:00-08:002018-25883Noticehttps://www.gpo.gov/fdsys/pkg/FR-2018-11-27/pdf/2018-25883.pdfhttps://regulations.justia.com/regulations/fedreg/2018/11/27/2018-25882.htmlNotice - Self-Regulatory Organizations; NYSE American LLC; Notice of Filing and Immediate Effectiveness of Proposed Change To Add to the Rules of the Exchange the Twelfth Amended and Restated Operating Agreement of the New York Stock Exchange LLC2018-11-27T00:00:00-08:002018-11-27T00:00:00-08:002018-25882Noticehttps://www.gpo.gov/fdsys/pkg/FR-2018-11-27/pdf/2018-25882.pdfhttps://regulations.justia.com/regulations/fedreg/2018/11/27/2018-25881.htmlNotice - Self-Regulatory Organizations; NYSE Arca, Inc.; Order Instituting Proceedings To Determine Whether To Approve or Disapprove a Proposed Rule Change To List and Trade Shares of the First Trust Long Duration Opportunities ETF Under NYSE Arca Rule 8.600-E2018-11-27T00:00:00-08:002018-11-27T00:00:00-08:002018-25881Noticehttps://www.gpo.gov/fdsys/pkg/FR-2018-11-27/pdf/2018-25881.pdfhttps://regulations.justia.com/regulations/fedreg/2018/11/27/2018-25861.htmlProposed Rule - List of Rules To Be Reviewed Pursuant to the Regulatory Flexibility Act2018-11-27T00:00:00-08:002018-11-27T00:00:00-08:002018-25861Proposed Rulehttps://www.gpo.gov/fdsys/pkg/FR-2018-11-27/pdf/2018-25861.pdfhttps://regulations.justia.com/regulations/fedreg/2018/11/27/2018-25740.htmlNotice - Self-Regulatory Organizations; The Nasdaq Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Relocate Registration, Qualification Examination and Continuing Education Rules2018-11-27T00:00:00-08:002018-11-27T00:00:00-08:002018-25740Noticehttps://www.gpo.gov/fdsys/pkg/FR-2018-11-27/pdf/2018-25740.pdfhttps://regulations.justia.com/regulations/fedreg/2018/11/27/2018-25737.htmlNotice - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Article II, Section 2.03(h)(ii) and Article VI of Its Operating Agreement2018-11-27T00:00:00-08:002018-11-27T00:00:00-08:002018-25737Noticehttps://www.gpo.gov/fdsys/pkg/FR-2018-11-27/pdf/2018-25737.pdfhttps://regulations.justia.com/regulations/fedreg/2018/11/27/2018-25733.htmlNotice - Self-Regulatory Organizations; Cboe BZX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating To Amend Its Rules Regarding How the System Handles Market Orders in Series With No Bid or No Offer2018-11-27T00:00:00-08:002018-11-27T00:00:00-08:002018-25733Noticehttps://www.gpo.gov/fdsys/pkg/FR-2018-11-27/pdf/2018-25733.pdfhttps://regulations.justia.com/regulations/fedreg/2018/11/27/2018-25732.htmlNotice - Self-Regulatory Organizations; Municipal Securities Rulemaking Board; Order Granting Approval 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 Examination2018-11-27T00:00:00-08:002018-11-27T00:00:00-08:002018-25732Noticehttps://www.gpo.gov/fdsys/pkg/FR-2018-11-27/pdf/2018-25732.pdfhttps://regulations.justia.com/regulations/fedreg/2018/11/27/2018-25720.htmlNotice - Submission for OMB Review; Comment Request2018-11-27T00:00:00-08:002018-11-27T00:00:00-08:002018-25720Noticehttps://www.gpo.gov/fdsys/pkg/FR-2018-11-27/pdf/2018-25720.pdfhttps://regulations.justia.com/regulations/fedreg/2018/11/26/2018-25748.htmlNotice - Sunshine Act Meetings2018-11-26T00:00:00-08:002018-11-26T00:00:00-08:002018-25748Noticehttps://www.gpo.gov/fdsys/pkg/FR-2018-11-26/pdf/2018-25748.pdfhttps://regulations.justia.com/regulations/fedreg/2018/11/26/2018-25739.htmlNotice - Self-Regulatory Organizations; Cboe C2 Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating To Amend Its Rules Regarding How the System Handles Market Orders in Series With No Bid or No Offer2018-11-26T00:00:00-08:002018-11-26T00:00:00-08:002018-25739Noticehttps://www.gpo.gov/fdsys/pkg/FR-2018-11-26/pdf/2018-25739.pdfhttps://regulations.justia.com/regulations/fedreg/2018/11/26/2018-25738.htmlNotice - Self-Regulatory Organizations; NYSE American LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Article II, Section 2.03(h)(ii) and Article VI of Its Operating Agreement2018-11-26T00:00:00-08:002018-11-26T00:00:00-08:002018-25738Noticehttps://www.gpo.gov/fdsys/pkg/FR-2018-11-26/pdf/2018-25738.pdfhttps://regulations.justia.com/regulations/fedreg/2018/11/26/2018-25736.htmlNotice - Self-Regulatory Organizations; The Nasdaq Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Eliminate Expired and Obsolete Provisions in Connection With Nasdaq's Transition to an All-Inclusive Annual Fee Program, Rename Certain Existing Annual Fees as All-Inclusive Annual Listing Fees, and Make Other Related Changes2018-11-26T00:00:00-08:002018-11-26T00:00:00-08:002018-25736Noticehttps://www.gpo.gov/fdsys/pkg/FR-2018-11-26/pdf/2018-25736.pdfhttps://regulations.justia.com/regulations/fedreg/2018/11/26/2018-25735.htmlNotice - Self-Regulatory Organizations; The Nasdaq Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend The Nasdaq Options Market LLC (“NOM”) Fees2018-11-26T00:00:00-08:002018-11-26T00:00:00-08:002018-25735Noticehttps://www.gpo.gov/fdsys/pkg/FR-2018-11-26/pdf/2018-25735.pdfhttps://regulations.justia.com/regulations/fedreg/2018/11/26/2018-25734.htmlNotice - Self-Regulatory Organizations; Cboe EDGX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating To Amend Its Rules Regarding How the System Handles Market Orders in Series With No Bid or No Offer2018-11-26T00:00:00-08:002018-11-26T00:00:00-08:002018-25734Noticehttps://www.gpo.gov/fdsys/pkg/FR-2018-11-26/pdf/2018-25734.pdfhttps://regulations.justia.com/regulations/fedreg/2018/11/26/2018-25731.htmlNotice - Self-Regulatory Organizations; The Nasdaq Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Nasdaq Rule 5615(b)(4) To Change the Threshold for Qualifying as a Smaller Reporting Company To Qualify for Certain Exemptions From the Compensation Committee Requirements2018-11-26T00:00:00-08:002018-11-26T00:00:00-08:002018-25731Noticehttps://www.gpo.gov/fdsys/pkg/FR-2018-11-26/pdf/2018-25731.pdfhttps://regulations.justia.com/regulations/fedreg/2018/11/26/2018-25689.htmlNotice - Proposed Collection; Comment Request2018-11-26T00:00:00-08:002018-11-26T00:00:00-08:002018-25689Noticehttps://www.gpo.gov/fdsys/pkg/FR-2018-11-26/pdf/2018-25689.pdfhttps://regulations.justia.com/regulations/fedreg/2018/11/26/2018-25688.htmlNotice - Proposed Collection; Comment Request2018-11-26T00:00:00-08:002018-11-26T00:00:00-08:002018-25688Noticehttps://www.gpo.gov/fdsys/pkg/FR-2018-11-26/pdf/2018-25688.pdfhttps://regulations.justia.com/regulations/fedreg/2018/11/26/2018-25687.htmlNotice - Proposed Collection; Comment Request2018-11-26T00:00:00-08:002018-11-26T00:00:00-08:002018-25687Noticehttps://www.gpo.gov/fdsys/pkg/FR-2018-11-26/pdf/2018-25687.pdfhttps://regulations.justia.com/regulations/fedreg/2018/11/26/2018-25686.htmlNotice - Proposed Collection; Comment Request2018-11-26T00:00:00-08:002018-11-26T00:00:00-08:002018-25686Noticehttps://www.gpo.gov/fdsys/pkg/FR-2018-11-26/pdf/2018-25686.pdfhttps://regulations.justia.com/regulations/fedreg/2018/11/26/2018-25685.htmlNotice - Proposed Collection; Comment Request2018-11-26T00:00:00-08:002018-11-26T00:00:00-08:002018-25685Noticehttps://www.gpo.gov/fdsys/pkg/FR-2018-11-26/pdf/2018-25685.pdfhttps://regulations.justia.com/regulations/fedreg/2018/11/26/2018-25684.htmlNotice - Proposed Collection; Comment Request2018-11-26T00:00:00-08:002018-11-26T00:00:00-08:002018-25684Noticehttps://www.gpo.gov/fdsys/pkg/FR-2018-11-26/pdf/2018-25684.pdfhttps://regulations.justia.com/regulations/fedreg/2018/11/26/2018-25683.htmlNotice - Proposed Collection; Comment Request2018-11-26T00:00:00-08:002018-11-26T00:00:00-08:002018-25683Noticehttps://www.gpo.gov/fdsys/pkg/FR-2018-11-26/pdf/2018-25683.pdfhttps://regulations.justia.com/regulations/fedreg/2018/11/26/2018-25682.htmlNotice - Proposed Collection; Comment Request2018-11-26T00:00:00-08:002018-11-26T00:00:00-08:002018-25682Noticehttps://www.gpo.gov/fdsys/pkg/FR-2018-11-26/pdf/2018-25682.pdfhttps://regulations.justia.com/regulations/fedreg/2018/11/26/2018-25606.htmlNotice - Self-Regulatory Organizations; The Options Clearing Corporation; Notice of Filing of Advance Notice, as Modified by Partial Amendment No. 1, Related to The Options Clearing Corporation's Margin Methodology for Incorporating Variations in Implied Volatility2018-11-26T00:00:00-08:002018-11-26T00:00:00-08:002018-25606Noticehttps://www.gpo.gov/fdsys/pkg/FR-2018-11-26/pdf/2018-25606.pdfhttps://regulations.justia.com/regulations/fedreg/2018/11/26/2018-25601.htmlNotice - Self-Regulatory Organizations; Nasdaq PHLX LLC; Notice of Filing of Proposed Rule Change To Establish Rules Governing the Give Up of a Clearing Member by a Member Organization on Exchange Transactions2018-11-26T00:00:00-08:002018-11-26T00:00:00-08:002018-25601Noticehttps://www.gpo.gov/fdsys/pkg/FR-2018-11-26/pdf/2018-25601.pdfhttps://regulations.justia.com/regulations/fedreg/2018/11/26/2018-25600.htmlNotice - Self-Regulatory Organizations; Cboe EDGA Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Modify Its Fee Schedule2018-11-26T00:00:00-08:002018-11-26T00:00:00-08:002018-25600Noticehttps://www.gpo.gov/fdsys/pkg/FR-2018-11-26/pdf/2018-25600.pdfhttps://regulations.justia.com/regulations/fedreg/2018/11/26/2018-25599.htmlNotice - Self-Regulatory Organizations; The Nasdaq Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Correct a Typographical Error in Rule 4702(b)(7)(A)2018-11-26T00:00:00-08:002018-11-26T00:00:00-08:002018-25599Noticehttps://www.gpo.gov/fdsys/pkg/FR-2018-11-26/pdf/2018-25599.pdfhttps://regulations.justia.com/regulations/fedreg/2018/11/26/2018-25598.htmlNotice - Self-Regulatory Organizations; The Nasdaq Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Introduce a New Midpoint Trade Now Functionality2018-11-26T00:00:00-08:002018-11-26T00:00:00-08:002018-25598Noticehttps://www.gpo.gov/fdsys/pkg/FR-2018-11-26/pdf/2018-25598.pdfhttps://regulations.justia.com/regulations/fedreg/2018/11/26/2018-25597.htmlNotice - Self-Regulatory Organizations; Nasdaq PHLX LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Add Definitions to Rule 1000 and Amend Risk Protections2018-11-26T00:00:00-08:002018-11-26T00:00:00-08:002018-25597Noticehttps://www.gpo.gov/fdsys/pkg/FR-2018-11-26/pdf/2018-25597.pdfhttps://regulations.justia.com/regulations/fedreg/2018/11/26/2018-25596.htmlNotice - Self-Regulatory Organizations; Cboe EDGX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Adopt Reserve Orders2018-11-26T00:00:00-08:002018-11-26T00:00:00-08:002018-25596Noticehttps://www.gpo.gov/fdsys/pkg/FR-2018-11-26/pdf/2018-25596.pdfhttps://regulations.justia.com/regulations/fedreg/2018/11/26/2018-25595.htmlNotice - Self-Regulatory Organizations; NYSE American LLC; Notice of Designation of Longer Period for Commission Action on a 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 Cash2018-11-26T00:00:00-08:002018-11-26T00:00:00-08:002018-25595Noticehttps://www.gpo.gov/fdsys/pkg/FR-2018-11-26/pdf/2018-25595.pdfhttps://regulations.justia.com/regulations/fedreg/2018/11/26/2018-25594.htmlNotice - Pacific Global ETF Trust and Cadence Capital Management LLC2018-11-26T00:00:00-08:002018-11-26T00:00:00-08:002018-25594Noticehttps://www.gpo.gov/fdsys/pkg/FR-2018-11-26/pdf/2018-25594.pdfhttps://regulations.justia.com/regulations/fedreg/2018/11/23/2018-25492.htmlNotice - Proposed Collection; Comment Request2018-11-23T00:00:00-08:002018-11-23T00:00:00-08:002018-25492Noticehttps://www.gpo.gov/fdsys/pkg/FR-2018-11-23/pdf/2018-25492.pdfhttps://regulations.justia.com/regulations/fedreg/2018/11/23/2018-25491.htmlNotice - Proposed Collection; Comment Request2018-11-23T00:00:00-08:002018-11-23T00:00:00-08:002018-25491Noticehttps://www.gpo.gov/fdsys/pkg/FR-2018-11-23/pdf/2018-25491.pdfhttps://regulations.justia.com/regulations/fedreg/2018/11/23/2018-25490.htmlNotice - Submission for OMB Review; Comment Request2018-11-23T00:00:00-08:002018-11-23T00:00:00-08:002018-25490Noticehttps://www.gpo.gov/fdsys/pkg/FR-2018-11-23/pdf/2018-25490.pdfhttps://regulations.justia.com/regulations/fedreg/2018/11/23/2018-25471.htmlNotice - In the Matter of the BOX Exchange LLC Regarding a Suspension of and Order Instituting Proceedings To Determine Whether To Approve or Disapprove a Proposed Rule Change To Amend the Fee Schedule on the BOX Market LLC Options Facility To Establish BOX Connectivity Fees for Participants and Non-Participants Who Connect to the BOX Network (File No. SR-BOX-2018-24); Order Granting Petition for Review and Scheduling Filing of Statements2018-11-23T00:00:00-08:002018-11-23T00:00:00-08:002018-25471Noticehttps://www.gpo.gov/fdsys/pkg/FR-2018-11-23/pdf/2018-25471.pdfhttps://regulations.justia.com/regulations/fedreg/2018/11/23/2018-25470.htmlNotice - Self-Regulatory Organizations; Miami International Securities Exchange, LLC; Notice of Filing of a Proposed Rule Change To Amend Exchange Rule 518, Complex Orders2018-11-23T00:00:00-08:002018-11-23T00:00:00-08:002018-25470Noticehttps://www.gpo.gov/fdsys/pkg/FR-2018-11-23/pdf/2018-25470.pdfhttps://regulations.justia.com/regulations/fedreg/2018/11/23/2018-25469.htmlNotice - Self-Regulatory Organizations; BOX Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Permit Up to Ten Expiration Months for Long-Term Options on the SPDR® S&P® 500 Exchange-Traded Fund Shares (“SPY”)2018-11-23T00:00:00-08:002018-11-23T00:00:00-08:002018-25469Noticehttps://www.gpo.gov/fdsys/pkg/FR-2018-11-23/pdf/2018-25469.pdfhttps://regulations.justia.com/regulations/fedreg/2018/11/23/2018-25468.htmlNotice - Self-Regulatory Organizations; National Securities Clearing Corporation; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Enhance the Mutual Fund Profile Service To Provide for the Transmission of Event Notifications Through a New Feature Called MF Info Xchange2018-11-23T00:00:00-08:002018-11-23T00:00:00-08:002018-25468Noticehttps://www.gpo.gov/fdsys/pkg/FR-2018-11-23/pdf/2018-25468.pdfhttps://regulations.justia.com/regulations/fedreg/2018/11/23/2018-25467.htmlNotice - Self-Regulatory Organizations; Nasdaq PHLX LLC; Order Approving a 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 Orders2018-11-23T00:00:00-08:002018-11-23T00:00:00-08:002018-25467Noticehttps://www.gpo.gov/fdsys/pkg/FR-2018-11-23/pdf/2018-25467.pdfhttps://regulations.justia.com/regulations/fedreg/2018/11/23/2018-25442.htmlNotice - Proposed Collection; Comment Request2018-11-23T00:00:00-08:002018-11-23T00:00:00-08:002018-25442Noticehttps://www.gpo.gov/fdsys/pkg/FR-2018-11-23/pdf/2018-25442.pdfhttps://regulations.justia.com/regulations/fedreg/2018/11/21/2018-25358.htmlNotice - Self-Regulatory Organizations; Cboe Futures Exchange, LLC; Notice of Filing of a Proposed Rule Change Regarding Minor Rule Violations2018-11-21T00:00:00-08:002018-11-21T00:00:00-08:002018-25358Noticehttps://www.gpo.gov/fdsys/pkg/FR-2018-11-21/pdf/2018-25358.pdfhttps://regulations.justia.com/regulations/fedreg/2018/11/21/2018-25344.htmlNotice - Self-Regulatory Organizations; Cboe BZX Exchange, Inc.; Notice of Filing of a Proposed Rule Change To List and Trade Shares of the JPMorgan Inflation Managed Bond ETF of the J.P. Morgan Exchange-Traded Fund Trust Under Rule 14.11(i), Managed Fund Shares2018-11-21T00:00:00-08:002018-11-21T00:00:00-08:002018-25344Noticehttps://www.gpo.gov/fdsys/pkg/FR-2018-11-21/pdf/2018-25344.pdfhttps://regulations.justia.com/regulations/fedreg/2018/11/21/2018-25343.htmlNotice - Self-Regulatory Organizations; NYSE American LLC; Notice of Filing and Immediate Effectiveness of Proposed Change To Modify the NYSE American Options Fee Schedule2018-11-21T00:00:00-08:002018-11-21T00:00:00-08:002018-25343Noticehttps://www.gpo.gov/fdsys/pkg/FR-2018-11-21/pdf/2018-25343.pdfhttps://regulations.justia.com/regulations/fedreg/2018/11/21/2018-25342.htmlNotice - Self-Regulatory Organizations; LCH SA; Notice of Filing and Immediate Effectiveness of Proposed Rule Change, as Modified by Amendment No. 1, Relating to a New Fee Incentive Scheme2018-11-21T00:00:00-08:002018-11-21T00:00:00-08:002018-25342Noticehttps://www.gpo.gov/fdsys/pkg/FR-2018-11-21/pdf/2018-25342.pdfhttps://regulations.justia.com/regulations/fedreg/2018/11/21/2018-25341.htmlNotice - Self-Regulatory Organizations; Cboe BYX Exchange, Inc.; Order Instituting Proceedings To Determine Whether To Approve or Disapprove a Proposed Rule Change To Make Permanent Exchange Rule 11.24, Which Sets Forth the Exchange's Pilot Retail Price Improvement Program2018-11-21T00:00:00-08:002018-11-21T00:00:00-08:002018-25341Noticehttps://www.gpo.gov/fdsys/pkg/FR-2018-11-21/pdf/2018-25341.pdfhttps://regulations.justia.com/regulations/fedreg/2018/11/21/2018-25340.htmlNotice - Self-Regulatory Organizations; Cboe EDGA Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating To Amend the Exchange's Fee Schedule Applicable to its Equities Trading Platform2018-11-21T00:00:00-08:002018-11-21T00:00:00-08:002018-25340Noticehttps://www.gpo.gov/fdsys/pkg/FR-2018-11-21/pdf/2018-25340.pdfhttps://regulations.justia.com/regulations/fedreg/2018/11/19/2018-25180.htmlNotice - ABR Dynamic Funds, LLC, et al.2018-11-19T00:00:00-08:002018-11-19T00:00:00-08:002018-25180Noticehttps://www.gpo.gov/fdsys/pkg/FR-2018-11-19/pdf/2018-25180.pdfhttps://regulations.justia.com/regulations/fedreg/2018/11/19/2018-25099.htmlNotice - Self-Regulatory Organizations; Cboe Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating To Amend the Volume Incentive Program2018-11-19T00:00:00-08:002018-11-19T00:00:00-08:002018-25099Noticehttps://www.gpo.gov/fdsys/pkg/FR-2018-11-19/pdf/2018-25099.pdfhttps://regulations.justia.com/regulations/fedreg/2018/11/19/2018-25096.htmlNotice - Self-Regulatory Organizations; Miami International Securities Exchange, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Exchange Rule 503 To Adopt Interpretations and Policies .02 and .032018-11-19T00:00:00-08:002018-11-19T00:00:00-08:002018-25096Noticehttps://www.gpo.gov/fdsys/pkg/FR-2018-11-19/pdf/2018-25096.pdfhttps://regulations.justia.com/regulations/fedreg/2018/11/19/2018-25094.htmlNotice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Designation of a Longer Period for Commission Action on 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)2018-11-19T00:00:00-08:002018-11-19T00:00:00-08:002018-25094Noticehttps://www.gpo.gov/fdsys/pkg/FR-2018-11-19/pdf/2018-25094.pdfhttps://regulations.justia.com/regulations/fedreg/2018/11/19/2018-25093.htmlNotice - Self-Regulatory Organizations; The Nasdaq Stock Market LLC; Notice of Filing of Amendment Nos. 1, 2, and 3 and Order Granting Accelerated Approval of a Proposed Rule Change, as Modified by Amendment Nos. 1, 2, and 3, to List and Trade Corporate Non-Convertible Bonds on Nasdaq2018-11-19T00:00:00-08:002018-11-19T00:00:00-08:002018-25093Noticehttps://www.gpo.gov/fdsys/pkg/FR-2018-11-19/pdf/2018-25093.pdfhttps://regulations.justia.com/regulations/fedreg/2018/11/19/2018-24423.htmlRule - Disclosure of Order Handling Information2018-11-19T00:00:00-08:002018-11-19T00:00:00-08:002018-24423Rulehttps://www.gpo.gov/fdsys/pkg/FR-2018-11-19/pdf/2018-24423.pdfhttps://regulations.justia.com/regulations/fedreg/2018/11/16/2018-25051.htmlNotice - Submission for OMB Review; Comment Request2018-11-16T00:00:00-08:002018-11-16T00:00:00-08:002018-25051Noticehttps://www.gpo.gov/fdsys/pkg/FR-2018-11-16/pdf/2018-25051.pdfhttps://regulations.justia.com/regulations/fedreg/2018/11/16/2018-25049.htmlNotice - Submission for OMB Review; Comment Request2018-11-16T00:00:00-08:002018-11-16T00:00:00-08:002018-25049Noticehttps://www.gpo.gov/fdsys/pkg/FR-2018-11-16/pdf/2018-25049.pdfhttps://regulations.justia.com/regulations/fedreg/2018/11/16/2018-25048.htmlNotice - Submission for OMB Review; Comment Request2018-11-16T00:00:00-08:002018-11-16T00:00:00-08:002018-25048Noticehttps://www.gpo.gov/fdsys/pkg/FR-2018-11-16/pdf/2018-25048.pdfhttps://regulations.justia.com/regulations/fedreg/2018/11/16/2018-25047.htmlNotice - Submission for OMB Review; Comment Request2018-11-16T00:00:00-08:002018-11-16T00:00:00-08:002018-25047Noticehttps://www.gpo.gov/fdsys/pkg/FR-2018-11-16/pdf/2018-25047.pdfhttps://regulations.justia.com/regulations/fedreg/2018/11/16/2018-25033.htmlNotice - Self-Regulatory Organizations; Nasdaq PHLX LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend General 8 of the Exchange's Rules2018-11-16T00:00:00-08:002018-11-16T00:00:00-08:002018-25033Noticehttps://www.gpo.gov/fdsys/pkg/FR-2018-11-16/pdf/2018-25033.pdfhttps://regulations.justia.com/regulations/fedreg/2018/11/16/2018-25032.htmlNotice - Self-Regulatory Organizations; Nasdaq BX, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend General 8 of the Exchange's Rules2018-11-16T00:00:00-08:002018-11-16T00:00:00-08:002018-25032Noticehttps://www.gpo.gov/fdsys/pkg/FR-2018-11-16/pdf/2018-25032.pdfhttps://regulations.justia.com/regulations/fedreg/2018/11/16/2018-25031.htmlNotice - Self-Regulatory Organizations; The Nasdaq Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend General 8 of the Exchange's Rules2018-11-16T00:00:00-08:002018-11-16T00:00:00-08:002018-25031Noticehttps://www.gpo.gov/fdsys/pkg/FR-2018-11-16/pdf/2018-25031.pdfhttps://regulations.justia.com/regulations/fedreg/2018/11/16/2018-25030.htmlNotice - Self-Regulatory Organizations; Nasdaq GEMX, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend General 8 of the Exchange's Rules2018-11-16T00:00:00-08:002018-11-16T00:00:00-08:002018-25030Noticehttps://www.gpo.gov/fdsys/pkg/FR-2018-11-16/pdf/2018-25030.pdfhttps://regulations.justia.com/regulations/fedreg/2018/11/16/2018-25029.htmlNotice - Self-Regulatory Organizations; Nasdaq MRX, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend General 8 of the Exchange's Rules2018-11-16T00:00:00-08:002018-11-16T00:00:00-08:002018-25029Noticehttps://www.gpo.gov/fdsys/pkg/FR-2018-11-16/pdf/2018-25029.pdfhttps://regulations.justia.com/regulations/fedreg/2018/11/16/2018-25028.htmlNotice - Self-Regulatory Organizations; Nasdaq ISE, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend General 8 of the Exchange's Rules2018-11-16T00:00:00-08:002018-11-16T00:00:00-08:002018-25028Noticehttps://www.gpo.gov/fdsys/pkg/FR-2018-11-16/pdf/2018-25028.pdfhttps://regulations.justia.com/regulations/fedreg/2018/11/16/2018-25019.htmlNotice - Investor Advisory Committee Meeting2018-11-16T00:00:00-08:002018-11-16T00:00:00-08:002018-25019Noticehttps://www.gpo.gov/fdsys/pkg/FR-2018-11-16/pdf/2018-25019.pdfhttps://regulations.justia.com/regulations/fedreg/2018/11/16/2018-25005.htmlRule - Adoption of Updated EDGAR Filer Manual; Correction2018-11-16T00:00:00-08:002018-11-16T00:00:00-08:002018-25005Rulehttps://www.gpo.gov/fdsys/pkg/FR-2018-11-16/pdf/2018-25005.pdfhttps://regulations.justia.com/regulations/fedreg/2018/11/16/2018-24988.htmlNotice - Self-Regulatory Organizations; The Options Clearing Corporation; Order Granting Approval of Accelerated Delivery of Supplement to the Options Disclosure Document Reflecting the Inclusion of Disclosure Regarding Foreign Currency Index Options and Implied Volatility Index Options, Certain Contract Adjustment Disclosures, and T+2 Settlement2018-11-16T00:00:00-08:002018-11-16T00:00:00-08:002018-24988Noticehttps://www.gpo.gov/fdsys/pkg/FR-2018-11-16/pdf/2018-24988.pdfhttps://regulations.justia.com/regulations/fedreg/2018/11/16/2018-24985.htmlNotice - Self-Regulatory Organizations; Cboe EDGX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating To Modify its Fee Schedule2018-11-16T00:00:00-08:002018-11-16T00:00:00-08:002018-24985Noticehttps://www.gpo.gov/fdsys/pkg/FR-2018-11-16/pdf/2018-24985.pdfhttps://regulations.justia.com/regulations/fedreg/2018/11/16/2018-24984.htmlNotice - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the Listed Company Manual To Clarify the Application of the Initial Listing Requirements to Common Equity Securities Issued in Exchange for a Listed Equity Investment Tracking Stock2018-11-16T00:00:00-08:002018-11-16T00:00:00-08:002018-24984Noticehttps://www.gpo.gov/fdsys/pkg/FR-2018-11-16/pdf/2018-24984.pdfhttps://regulations.justia.com/regulations/fedreg/2018/11/16/2018-24983.htmlNotice - Self-Regulatory Organizations; Cboe Futures Exchange, LLC; Notice of a Filing of a Proposed Rule Change Regarding Block Trade and Exchange of Contract for Related Position Reporting Provisions2018-11-16T00:00:00-08:002018-11-16T00:00:00-08:002018-24983Noticehttps://www.gpo.gov/fdsys/pkg/FR-2018-11-16/pdf/2018-24983.pdfhttps://regulations.justia.com/regulations/fedreg/2018/11/16/2018-24982.htmlNotice - Self-Regulatory Organizations; Cboe Futures Exchange, LLC; Notice of Filing of a Proposed Rule Change Regarding Correction of Reporting Errors2018-11-16T00:00:00-08:002018-11-16T00:00:00-08:002018-24982Noticehttps://www.gpo.gov/fdsys/pkg/FR-2018-11-16/pdf/2018-24982.pdfhttps://regulations.justia.com/regulations/fedreg/2018/11/16/2018-24981.htmlNotice - Self-Regulatory Organizations; The Nasdaq Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Various Rules To Reflect Changes to The Nasdaq Options Market LLC (“NOM”) Protocols2018-11-16T00:00:00-08:002018-11-16T00:00:00-08:002018-24981Noticehttps://www.gpo.gov/fdsys/pkg/FR-2018-11-16/pdf/2018-24981.pdfhttps://regulations.justia.com/regulations/fedreg/2018/11/16/2018-24980.htmlNotice - Self-Regulatory Organizations; Cboe Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating To Modify Its Fee Schedule2018-11-16T00:00:00-08:002018-11-16T00:00:00-08:002018-24980Noticehttps://www.gpo.gov/fdsys/pkg/FR-2018-11-16/pdf/2018-24980.pdfhttps://regulations.justia.com/regulations/fedreg/2018/11/16/2018-23929.htmlUnknown - Regulatory Flexibility Agenda2018-11-16T00:00:00-08:002018-11-16T00:00:00-08:002018-23929Unknownhttps://www.gpo.gov/fdsys/pkg/FR-2018-11-16/pdf/2018-23929.pdfhttps://regulations.justia.com/regulations/fedreg/2018/11/15/2018-25021.htmlNotice - Sunshine Act Meetings2018-11-15T00:00:00-08:002018-11-15T00:00:00-08:002018-25021Noticehttps://www.gpo.gov/fdsys/pkg/FR-2018-11-15/pdf/2018-25021.pdfhttps://regulations.justia.com/regulations/fedreg/2018/11/15/2018-24870.htmlNotice - Self-Regulatory Organizations; ICE Clear Europe Limited; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Amendments to the F&O Guaranty Fund Policy (the “Policy”), Clearing Rules (the “Rules”) and Finance Procedures (“Finance Procedures”)2018-11-15T00:00:00-08:002018-11-15T00:00:00-08:002018-24870Noticehttps://www.gpo.gov/fdsys/pkg/FR-2018-11-15/pdf/2018-24870.pdfhttps://regulations.justia.com/regulations/fedreg/2018/11/15/2018-24868.htmlNotice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the NYSE Arca Equities Fees and Charges To Remove Certain Obsolete Text That References Pillar Phase I Protocols2018-11-15T00:00:00-08:002018-11-15T00:00:00-08:002018-24868Noticehttps://www.gpo.gov/fdsys/pkg/FR-2018-11-15/pdf/2018-24868.pdfhttps://regulations.justia.com/regulations/fedreg/2018/11/14/2018-24733.htmlNotice - Self-Regulatory Organizations; Nasdaq BX, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Derivative Securities Traded Under Unlisted Trading Privileges2018-11-14T00:00:00-08:002018-11-14T00:00:00-08:002018-24733Noticehttps://www.gpo.gov/fdsys/pkg/FR-2018-11-14/pdf/2018-24733.pdfhttps://regulations.justia.com/regulations/fedreg/2018/11/14/2018-24732.htmlNotice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing of Proposed Rule Change To Amend Rule 7.44-E2018-11-14T00:00:00-08:002018-11-14T00:00:00-08:002018-24732Noticehttps://www.gpo.gov/fdsys/pkg/FR-2018-11-14/pdf/2018-24732.pdfhttps://regulations.justia.com/regulations/fedreg/2018/11/13/2018-24638.htmlNotice - Self-Regulatory Organizations; Nasdaq PHLX LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the Rule 3400 Series2018-11-13T00:00:00-08:002018-11-13T00:00:00-08:002018-24638Noticehttps://www.gpo.gov/fdsys/pkg/FR-2018-11-13/pdf/2018-24638.pdfhttps://regulations.justia.com/regulations/fedreg/2018/11/13/2018-24637.htmlNotice - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Section 303A.00 of the Manual To Change the Threshold for Qualifying as a Smaller Reporting Company To Qualify for Certain Exemptions From the Compensation Committee Requirements2018-11-13T00:00:00-08:002018-11-13T00:00:00-08:002018-24637Noticehttps://www.gpo.gov/fdsys/pkg/FR-2018-11-13/pdf/2018-24637.pdfhttps://regulations.justia.com/regulations/fedreg/2018/11/13/2018-24636.htmlNotice - Self-Regulatory Organizations; Nasdaq PHLX LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to New Derivative Securities Products2018-11-13T00:00:00-08:002018-11-13T00:00:00-08:002018-24636Noticehttps://www.gpo.gov/fdsys/pkg/FR-2018-11-13/pdf/2018-24636.pdfhttps://regulations.justia.com/regulations/fedreg/2018/11/13/2018-24635.htmlNotice - Stellus Capital Investment Corporation, et al.2018-11-13T00:00:00-08:002018-11-13T00:00:00-08:002018-24635Noticehttps://www.gpo.gov/fdsys/pkg/FR-2018-11-13/pdf/2018-24635.pdfhttps://regulations.justia.com/regulations/fedreg/2018/11/13/2018-24549.htmlRule - Regulation of NMS Stock Alternative Trading Systems2018-11-13T00:00:00-08:002018-11-13T00:00:00-08:002018-24549Rulehttps://www.gpo.gov/fdsys/pkg/FR-2018-11-13/pdf/2018-24549.pdfhttps://regulations.justia.com/regulations/fedreg/2018/11/09/2018-24632.htmlNotice - Sunshine Act Meeting2018-11-09T00:00:00-08:002018-11-09T00:00:00-08:002018-24632Noticehttps://www.gpo.gov/fdsys/pkg/FR-2018-11-09/pdf/2018-24632.pdfhttps://regulations.justia.com/regulations/fedreg/2018/11/09/2018-24577.htmlNotice - Submission for OMB Review; Comment Request2018-11-09T00:00:00-08:002018-11-09T00:00:00-08:002018-24577Noticehttps://www.gpo.gov/fdsys/pkg/FR-2018-11-09/pdf/2018-24577.pdfhttps://regulations.justia.com/regulations/fedreg/2018/11/09/2018-24575.htmlNotice - Proposed Collection; Comment Request2018-11-09T00:00:00-08:002018-11-09T00:00:00-08:002018-24575Noticehttps://www.gpo.gov/fdsys/pkg/FR-2018-11-09/pdf/2018-24575.pdfhttps://regulations.justia.com/regulations/fedreg/2018/11/09/2018-24528.htmlNotice - Self-Regulatory Organizations; Cboe Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Extend the Operation of its SPXPM Pilot Program2018-11-09T00:00:00-08:002018-11-09T00:00:00-08:002018-24528Noticehttps://www.gpo.gov/fdsys/pkg/FR-2018-11-09/pdf/2018-24528.pdfhttps://regulations.justia.com/regulations/fedreg/2018/11/09/2018-24527.htmlNotice - Self-Regulatory Organizations; Nasdaq BX, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Chapter XIV, Index Rules, Section 10(g), Pricing When Primary Market Does Not Open2018-11-09T00:00:00-08:002018-11-09T00:00:00-08:002018-24527Noticehttps://www.gpo.gov/fdsys/pkg/FR-2018-11-09/pdf/2018-24527.pdfhttps://regulations.justia.com/regulations/fedreg/2018/11/09/2018-24526.htmlNotice - Self-Regulatory Organizations; Nasdaq ISE, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend ISE Rule 2008(g), Pricing When Primary Market Does Not Open2018-11-09T00:00:00-08:002018-11-09T00:00:00-08:002018-24526Noticehttps://www.gpo.gov/fdsys/pkg/FR-2018-11-09/pdf/2018-24526.pdfhttps://regulations.justia.com/regulations/fedreg/2018/11/09/2018-24525.htmlNotice - Self-Regulatory Organizations; The Nasdaq Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Chapter XIV, Index Rules, Section 10(g), Pricing When Primary Market Does Not Open2018-11-09T00:00:00-08:002018-11-09T00:00:00-08:002018-24525Noticehttps://www.gpo.gov/fdsys/pkg/FR-2018-11-09/pdf/2018-24525.pdfhttps://regulations.justia.com/regulations/fedreg/2018/11/09/2018-24524.htmlNotice - Self-Regulatory Organizations; Cboe Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Extend the Operation of Its Flexible Exchange Options Pilot Program Regarding Permissible Exercise Settlement Values for Flexible Exchange Index Options2018-11-09T00:00:00-08:002018-11-09T00:00:00-08:002018-24524Noticehttps://www.gpo.gov/fdsys/pkg/FR-2018-11-09/pdf/2018-24524.pdfhttps://regulations.justia.com/regulations/fedreg/2018/11/09/2018-24523.htmlNotice - Self-Regulatory Organizations; Nasdaq PHLX LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Rule 1101A, Terms of Option Contracts2018-11-09T00:00:00-08:002018-11-09T00:00:00-08:002018-24523Noticehttps://www.gpo.gov/fdsys/pkg/FR-2018-11-09/pdf/2018-24523.pdfhttps://regulations.justia.com/regulations/fedreg/2018/11/09/2018-24522.htmlNotice - Self-Regulatory Organizations; Cboe Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Renew the Nonstandard Expirations Pilot Program2018-11-09T00:00:00-08:002018-11-09T00:00:00-08:002018-24522Noticehttps://www.gpo.gov/fdsys/pkg/FR-2018-11-09/pdf/2018-24522.pdfhttps://regulations.justia.com/regulations/fedreg/2018/11/09/2018-24521.htmlNotice - Self-Regulatory Organizations; ICE Clear Europe Limited; Notice of Filing of Proposed Rule Change Relating to Amendments to the ICE Clear Europe Limited Liquidity Plan2018-11-09T00:00:00-08:002018-11-09T00:00:00-08:002018-24521Noticehttps://www.gpo.gov/fdsys/pkg/FR-2018-11-09/pdf/2018-24521.pdfhttps://regulations.justia.com/regulations/fedreg/2018/11/09/2018-24509.htmlNotice - Toroso Investments, LLC and Tidal ETF Trust2018-11-09T00:00:00-08:002018-11-09T00:00:00-08:002018-24509Noticehttps://www.gpo.gov/fdsys/pkg/FR-2018-11-09/pdf/2018-24509.pdfhttps://regulations.justia.com/regulations/fedreg/2018/11/08/2018-24400.htmlNotice - Self-Regulatory Organizations; The Options Clearing Corporation; Notice of Filing of Proposed Rule Change, as Modified by Partial Amendment No. 1, Related to The Options Clearing Corporation's Margin Methodology for Incorporating Variations in Implied Volatility2018-11-08T00:00:00-08:002018-11-08T00:00:00-08:002018-24400Noticehttps://www.gpo.gov/fdsys/pkg/FR-2018-11-08/pdf/2018-24400.pdfhttps://regulations.justia.com/regulations/fedreg/2018/11/08/2018-24399.htmlNotice - Self-Regulatory Organizations; NYSE American LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Section 805(c)(5) of the Guide to Change the Threshold for Qualifying as a Smaller Reporting Company To Qualify for Certain Exemptions From the Compensation Committee Requirements2018-11-08T00:00:00-08:002018-11-08T00:00:00-08:002018-24399Noticehttps://www.gpo.gov/fdsys/pkg/FR-2018-11-08/pdf/2018-24399.pdfhttps://regulations.justia.com/regulations/fedreg/2018/11/07/2018-24405.htmlNotice - Sunshine Act Meetings2018-11-07T00:00:00-08:002018-11-07T00:00:00-08:002018-24405Noticehttps://www.gpo.gov/fdsys/pkg/FR-2018-11-07/pdf/2018-24405.pdfhttps://regulations.justia.com/regulations/fedreg/2018/11/07/2018-24404.htmlNotice - Sunshine Act Meetings2018-11-07T00:00:00-08:002018-11-07T00:00:00-08:002018-24404Noticehttps://www.gpo.gov/fdsys/pkg/FR-2018-11-07/pdf/2018-24404.pdfhttps://regulations.justia.com/regulations/fedreg/2018/11/07/2018-24311.htmlNotice - Self-Regulatory Organizations; Cboe BZX Exchange, Inc.; Notice of Designation of a Longer Period for Commission Action on Proceedings To Determine Whether To Approve or Disapprove a Proposed Rule Change To List and Trade Shares of the Principal Morley Short Duration Index ETF Under Rule 14.11(c)(4)2018-11-07T00:00:00-08:002018-11-07T00:00:00-08:002018-24311Noticehttps://www.gpo.gov/fdsys/pkg/FR-2018-11-07/pdf/2018-24311.pdfhttps://regulations.justia.com/regulations/fedreg/2018/11/07/2018-24310.htmlNotice - Self-Regulatory Organizations; Nasdaq ISE, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Relocate the Exchange's Pricing Schedule2018-11-07T00:00:00-08:002018-11-07T00:00:00-08:002018-24310Noticehttps://www.gpo.gov/fdsys/pkg/FR-2018-11-07/pdf/2018-24310.pdfhttps://regulations.justia.com/regulations/fedreg/2018/11/07/2018-24309.htmlNotice - Self-Regulatory Organizations; The Options Clearing Corporation; Notice of Filing of Proposed Rule Change To Extend Term Limits for Member Directors Serving on The Options Clearing Corporation's Board of Directors2018-11-07T00:00:00-08:002018-11-07T00:00:00-08:002018-24309Noticehttps://www.gpo.gov/fdsys/pkg/FR-2018-11-07/pdf/2018-24309.pdfhttps://regulations.justia.com/regulations/fedreg/2018/11/07/2018-24308.htmlNotice - Self-Regulatory Organizations; Nasdaq BX, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Add Definitions to Chapter I, Section 1, Titled General Provisions and Also Amend Chapter VI, Section 18, Titled Risk Protections2018-11-07T00:00:00-08:002018-11-07T00:00:00-08:002018-24308Noticehttps://www.gpo.gov/fdsys/pkg/FR-2018-11-07/pdf/2018-24308.pdfhttps://regulations.justia.com/regulations/fedreg/2018/11/07/2018-24307.htmlNotice - Self-Regulatory Organizations; Miami International Securities Exchange, LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Exchange Rule 515A, MIAX Price Improvement Mechanism (“PRIME”) and PRIME Solicitation Mechanism, and Rule 518, Complex Orders2018-11-07T00:00:00-08:002018-11-07T00:00:00-08:002018-24307Noticehttps://www.gpo.gov/fdsys/pkg/FR-2018-11-07/pdf/2018-24307.pdfhttps://regulations.justia.com/regulations/fedreg/2018/11/07/2018-24306.htmlNotice - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Adopt Rule 9910 Post-Employment Conflict of Interest Restrictions; Nonpublic Information2018-11-07T00:00:00-08:002018-11-07T00:00:00-08:002018-24306Noticehttps://www.gpo.gov/fdsys/pkg/FR-2018-11-07/pdf/2018-24306.pdfhttps://regulations.justia.com/regulations/fedreg/2018/11/07/2018-24305.htmlNotice - Self-Regulatory Organizations; NYSE Arca, Inc.; Order Instituting Proceedings To Determine Whether To Approve or Disapprove a Proposed Rule Change To Amend Commentary .01 to NYSE Arca Rule 8.600-E Relating to Certain Generic Listing Standards for Managed Fund Shares2018-11-07T00:00:00-08:002018-11-07T00:00:00-08:002018-24305Noticehttps://www.gpo.gov/fdsys/pkg/FR-2018-11-07/pdf/2018-24305.pdfhttps://regulations.justia.com/regulations/fedreg/2018/11/07/2018-24304.htmlNotice - Self-Regulatory Organizations; Nasdaq ISE, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Delete ISE Section 22 of the Rulebook Entitled “Rate-Modified Foreign Currency Options Rules”2018-11-07T00:00:00-08:002018-11-07T00:00:00-08:002018-24304Noticehttps://www.gpo.gov/fdsys/pkg/FR-2018-11-07/pdf/2018-24304.pdfhttps://regulations.justia.com/regulations/fedreg/2018/11/07/2018-24303.htmlNotice - Self-Regulatory Organizations; New York Stock Exchange LLC; Order Instituting Proceedings To Determine Whether To Approve or Disapprove a Proposed Rule Change To Amend NYSE Rule 104 Governing Transactions by Designated Market Makers2018-11-07T00:00:00-08:002018-11-07T00:00:00-08:002018-24303Noticehttps://www.gpo.gov/fdsys/pkg/FR-2018-11-07/pdf/2018-24303.pdfhttps://regulations.justia.com/regulations/fedreg/2018/11/06/2018-24213.htmlRule - Commission Statement on Certain Provisions of Business Conduct Standards for Security-Based Swap Dealers and Major Security-Based Swap Participants2018-11-06T00:00:00-08:002018-11-06T00:00:00-08:002018-24213Rulehttps://www.gpo.gov/fdsys/pkg/FR-2018-11-06/pdf/2018-24213.pdfhttps://regulations.justia.com/regulations/fedreg/2018/11/06/2018-24211.htmlNotice - Proposed Collection; Comment Request2018-11-06T00:00:00-08:002018-11-06T00:00:00-08:002018-24211Noticehttps://www.gpo.gov/fdsys/pkg/FR-2018-11-06/pdf/2018-24211.pdfhttps://regulations.justia.com/regulations/fedreg/2018/11/05/2018-24128.htmlRule - Adoption of Updated EDGAR Filer Manual2018-11-05T00:00:00-08:002018-11-05T00:00:00-08:002018-24128Rulehttps://www.gpo.gov/fdsys/pkg/FR-2018-11-05/pdf/2018-24128.pdfhttps://regulations.justia.com/regulations/fedreg/2018/11/05/2018-24077.htmlNotice - Cushing Asset Management, LP and Cushing ETF Trust2018-11-05T00:00:00-08:002018-11-05T00:00:00-08:002018-24077Noticehttps://www.gpo.gov/fdsys/pkg/FR-2018-11-05/pdf/2018-24077.pdfhttps://regulations.justia.com/regulations/fedreg/2018/11/05/2018-24070.htmlNotice - Program for Allocation of Regulatory Responsibilities Pursuant to Rule 17d-2; Notice of Filing and Order Approving and Declaring Effective an Amended Plan for the Allocation of Regulatory Responsibilities Between the Financial Industry Regulatory Authority, Inc. and NYSE National, Inc.2018-11-05T00:00:00-08:002018-11-05T00:00:00-08:002018-24070Noticehttps://www.gpo.gov/fdsys/pkg/FR-2018-11-05/pdf/2018-24070.pdfhttps://regulations.justia.com/regulations/fedreg/2018/11/05/2018-24069.htmlNotice - Self-Regulatory Organizations; NYSE Arca, Inc.; Order Instituting Proceedings To Determine Whether To Approve or Disapprove a Proposed Rule Change Regarding Investments of the First Trust TCW Unconstrained Plus Bond ETF2018-11-05T00:00:00-08:002018-11-05T00:00:00-08:002018-24069Noticehttps://www.gpo.gov/fdsys/pkg/FR-2018-11-05/pdf/2018-24069.pdfhttps://regulations.justia.com/regulations/fedreg/2018/11/05/2018-24068.htmlNotice - Self-Regulatory Organizations; The Nasdaq Stock Market LLC; Notice of Filing of a Proposed Rule Change To List and Trade Shares of the BrandywineGLOBAL-Global Total Return ETF, a Series of Legg Mason ETF Investment Trust Under Nasdaq Rule 57352018-11-05T00:00:00-08:002018-11-05T00:00:00-08:002018-24068Noticehttps://www.gpo.gov/fdsys/pkg/FR-2018-11-05/pdf/2018-24068.pdfhttps://regulations.justia.com/regulations/fedreg/2018/11/05/2018-24067.htmlNotice - Self-Regulatory Organizations; Cboe BZX Exchange, Inc.; Notice of Filing of a Proposed Rule Change, as Modified by Amendment No. 1, To Establish How the BZX Official Closing Price Would Be Determined for BZX-Listed Securities2018-11-05T00:00:00-08:002018-11-05T00:00:00-08:002018-24067Noticehttps://www.gpo.gov/fdsys/pkg/FR-2018-11-05/pdf/2018-24067.pdfhttps://regulations.justia.com/regulations/fedreg/2018/11/02/2018-24148.htmlNotice - Sunshine Act Meeting; Cancellation2018-11-02T00:00:00-07:002018-11-02T00:00:00-07:002018-24148Noticehttps://www.gpo.gov/fdsys/pkg/FR-2018-11-02/pdf/2018-24148.pdfhttps://regulations.justia.com/regulations/fedreg/2018/11/02/2018-24071.htmlNotice - Sunshine Act Meetings2018-11-02T00:00:00-07:002018-11-02T00:00:00-07:002018-24071Noticehttps://www.gpo.gov/fdsys/pkg/FR-2018-11-02/pdf/2018-24071.pdfhttps://regulations.justia.com/regulations/fedreg/2018/11/02/2018-23968.htmlNotice - Self-Regulatory Organizations; ICE Clear Europe Limited; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to Amendments to the Recovery Plan and Wind-Down Plan2018-11-02T00:00:00-07:002018-11-02T00:00:00-07:002018-23968Noticehttps://www.gpo.gov/fdsys/pkg/FR-2018-11-02/pdf/2018-23968.pdfhttps://regulations.justia.com/regulations/fedreg/2018/11/02/2018-23966.htmlNotice - Self-Regulatory Organizations; Municipal Securities Rulemaking Board; Notice of Filing of a Proposed Rule Change Concerning Certain Data Elements on Form G-45 Under MSRB Rule G-45, on Reporting of Information on Municipal Fund Securities2018-11-02T00:00:00-07:002018-11-02T00:00:00-07:002018-23966Noticehttps://www.gpo.gov/fdsys/pkg/FR-2018-11-02/pdf/2018-23966.pdfhttps://regulations.justia.com/regulations/fedreg/2018/11/02/2018-23963.htmlNotice - Self-Regulatory Organizations; Nasdaq PHLX LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Relocate the Pricing Schedule Rules2018-11-02T00:00:00-07:002018-11-02T00:00:00-07:002018-23963Noticehttps://www.gpo.gov/fdsys/pkg/FR-2018-11-02/pdf/2018-23963.pdfhttps://regulations.justia.com/regulations/fedreg/2018/11/02/2018-23962.htmlNotice - Submission to OMB; Comment Request2018-11-02T00:00:00-07:002018-11-02T00:00:00-07:002018-23962Noticehttps://www.gpo.gov/fdsys/pkg/FR-2018-11-02/pdf/2018-23962.pdfhttps://regulations.justia.com/regulations/fedreg/2018/11/02/2018-23961.htmlNotice - Submission for OMB Review; Comment Request2018-11-02T00:00:00-07:002018-11-02T00:00:00-07:002018-23961Noticehttps://www.gpo.gov/fdsys/pkg/FR-2018-11-02/pdf/2018-23961.pdfhttps://regulations.justia.com/regulations/fedreg/2018/11/02/2018-23960.htmlNotice - Submission for OMB Review; Comment Request2018-11-02T00:00:00-07:002018-11-02T00:00:00-07:002018-23960Noticehttps://www.gpo.gov/fdsys/pkg/FR-2018-11-02/pdf/2018-23960.pdfhttps://regulations.justia.com/regulations/fedreg/2018/11/02/2018-23959.htmlNotice - Submission for OMB Review; Comment Request2018-11-02T00:00:00-07:002018-11-02T00:00:00-07:002018-23959Noticehttps://www.gpo.gov/fdsys/pkg/FR-2018-11-02/pdf/2018-23959.pdfhttps://regulations.justia.com/regulations/fedreg/2018/11/02/2018-23958.htmlNotice - Proposed Collection; Comment Request2018-11-02T00:00:00-07:002018-11-02T00:00:00-07:002018-23958Noticehttps://www.gpo.gov/fdsys/pkg/FR-2018-11-02/pdf/2018-23958.pdfhttps://regulations.justia.com/regulations/fedreg/2018/11/02/2018-23957.htmlNotice - Proposed Collection; Comment Request2018-11-02T00:00:00-07:002018-11-02T00:00:00-07:002018-23957Noticehttps://www.gpo.gov/fdsys/pkg/FR-2018-11-02/pdf/2018-23957.pdfhttps://regulations.justia.com/regulations/fedreg/2018/11/01/2018-23849.htmlNotice - Notice of Applications for Deregistration Under Section 8(f) of the Investment Company Act of 19402018-11-01T00:00:00-07:002018-11-01T00:00:00-07:002018-23849Noticehttps://www.gpo.gov/fdsys/pkg/FR-2018-11-01/pdf/2018-23849.pdfhttps://regulations.justia.com/regulations/fedreg/2018/11/01/2018-23844.htmlNotice - Self-Regulatory Organizations; Chicago Stock Exchange, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Reflect Name Changes of the Exchange and its Direct Parent Company and To Amend Certain Corporate Governance Provisions2018-11-01T00:00:00-07:002018-11-01T00:00:00-07:002018-23844Noticehttps://www.gpo.gov/fdsys/pkg/FR-2018-11-01/pdf/2018-23844.pdf