<![CDATA[Federal Register Recent Federal Regulation Documents - Justia Regulation Tracker - Justia Regulations Tracker]]> https://regulations.justia.com/regulations/fedreg/agencies/securities-and-exchange-commission/2018/11?registers=between&min-day=1&max-day=30 Thu, 02 May 2024 08:49:37 -0700 Thu, 02 May 2024 08:49:37 -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/2018/11?registers=between&min-day=1&max-day=30 Notice - 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 Fees https://regulations.justia.com/regulations/fedreg/2018/11/30/2018-26002.html https://regulations.justia.com/regulations/fedreg/2018/11/30/2018-26002.html Fri, 30 Nov 2018 00:00:00 -0800 2018-26002 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-11-30/pdf/2018-26002.pdf Notice - 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-Members https://regulations.justia.com/regulations/fedreg/2018/11/30/2018-26001.html https://regulations.justia.com/regulations/fedreg/2018/11/30/2018-26001.html Fri, 30 Nov 2018 00:00:00 -0800 2018-26001 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-11-30/pdf/2018-26001.pdf Notice - 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) https://regulations.justia.com/regulations/fedreg/2018/11/30/2018-26000.html https://regulations.justia.com/regulations/fedreg/2018/11/30/2018-26000.html Fri, 30 Nov 2018 00:00:00 -0800 2018-26000 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-11-30/pdf/2018-26000.pdf Notice - 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 Fees https://regulations.justia.com/regulations/fedreg/2018/11/30/2018-25999.html https://regulations.justia.com/regulations/fedreg/2018/11/30/2018-25999.html Fri, 30 Nov 2018 00:00:00 -0800 2018-25999 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-11-30/pdf/2018-25999.pdf Notice - 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 3.3 https://regulations.justia.com/regulations/fedreg/2018/11/30/2018-25998.html https://regulations.justia.com/regulations/fedreg/2018/11/30/2018-25998.html Fri, 30 Nov 2018 00:00:00 -0800 2018-25998 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-11-30/pdf/2018-25998.pdf Notice - 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 Tiers https://regulations.justia.com/regulations/fedreg/2018/11/30/2018-25997.html https://regulations.justia.com/regulations/fedreg/2018/11/30/2018-25997.html Fri, 30 Nov 2018 00:00:00 -0800 2018-25997 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-11-30/pdf/2018-25997.pdf Notice - 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 Trading https://regulations.justia.com/regulations/fedreg/2018/11/30/2018-25996.html https://regulations.justia.com/regulations/fedreg/2018/11/30/2018-25996.html Fri, 30 Nov 2018 00:00:00 -0800 2018-25996 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-11-30/pdf/2018-25996.pdf Notice - 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-Members https://regulations.justia.com/regulations/fedreg/2018/11/30/2018-25995.html https://regulations.justia.com/regulations/fedreg/2018/11/30/2018-25995.html Fri, 30 Nov 2018 00:00:00 -0800 2018-25995 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-11-30/pdf/2018-25995.pdf Notice - 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 Trading https://regulations.justia.com/regulations/fedreg/2018/11/30/2018-25994.html https://regulations.justia.com/regulations/fedreg/2018/11/30/2018-25994.html Fri, 30 Nov 2018 00:00:00 -0800 2018-25994 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-11-30/pdf/2018-25994.pdf Proposed Rule - Updated Disclosure Requirements and Summary Prospectus for Variable Annuity and Variable Life Insurance Contracts https://regulations.justia.com/regulations/fedreg/2018/11/30/2018-24376.html https://regulations.justia.com/regulations/fedreg/2018/11/30/2018-24376.html Fri, 30 Nov 2018 00:00:00 -0800 2018-24376 Proposed Rule https://www.gpo.gov/fdsys/pkg/FR-2018-11-30/pdf/2018-24376.pdf Notice - Self-Regulatory Organizations; NYSE National, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Its Certificate of Incorporation and Bylaws https://regulations.justia.com/regulations/fedreg/2018/11/28/2018-25896.html https://regulations.justia.com/regulations/fedreg/2018/11/28/2018-25896.html Wed, 28 Nov 2018 00:00:00 -0800 2018-25896 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-11-28/pdf/2018-25896.pdf Notice - Self-Regulatory Organizations; Cboe C2 Exchange, Inc.; Notice of Filing of a Proposed Rule Change Relating To Adopt Complex Reserve Order Functionality https://regulations.justia.com/regulations/fedreg/2018/11/27/2018-25884.html https://regulations.justia.com/regulations/fedreg/2018/11/27/2018-25884.html Tue, 27 Nov 2018 00:00:00 -0800 2018-25884 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-11-27/pdf/2018-25884.pdf Notice - Self-Regulatory Organizations; Cboe EDGX Exchange, Inc.; Notice of Filing of a Proposed Rule Change Relating To Adopt Complex Reserve Order Functionality https://regulations.justia.com/regulations/fedreg/2018/11/27/2018-25883.html https://regulations.justia.com/regulations/fedreg/2018/11/27/2018-25883.html Tue, 27 Nov 2018 00:00:00 -0800 2018-25883 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-11-27/pdf/2018-25883.pdf Notice - 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 LLC https://regulations.justia.com/regulations/fedreg/2018/11/27/2018-25882.html https://regulations.justia.com/regulations/fedreg/2018/11/27/2018-25882.html Tue, 27 Nov 2018 00:00:00 -0800 2018-25882 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-11-27/pdf/2018-25882.pdf Notice - 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-E https://regulations.justia.com/regulations/fedreg/2018/11/27/2018-25881.html https://regulations.justia.com/regulations/fedreg/2018/11/27/2018-25881.html Tue, 27 Nov 2018 00:00:00 -0800 2018-25881 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-11-27/pdf/2018-25881.pdf Proposed Rule - List of Rules To Be Reviewed Pursuant to the Regulatory Flexibility Act https://regulations.justia.com/regulations/fedreg/2018/11/27/2018-25861.html https://regulations.justia.com/regulations/fedreg/2018/11/27/2018-25861.html Tue, 27 Nov 2018 00:00:00 -0800 2018-25861 Proposed Rule https://www.gpo.gov/fdsys/pkg/FR-2018-11-27/pdf/2018-25861.pdf Notice - 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 Rules https://regulations.justia.com/regulations/fedreg/2018/11/27/2018-25740.html https://regulations.justia.com/regulations/fedreg/2018/11/27/2018-25740.html Tue, 27 Nov 2018 00:00:00 -0800 2018-25740 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-11-27/pdf/2018-25740.pdf Notice - 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 Agreement https://regulations.justia.com/regulations/fedreg/2018/11/27/2018-25737.html https://regulations.justia.com/regulations/fedreg/2018/11/27/2018-25737.html Tue, 27 Nov 2018 00:00:00 -0800 2018-25737 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-11-27/pdf/2018-25737.pdf Notice - 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 Offer https://regulations.justia.com/regulations/fedreg/2018/11/27/2018-25733.html https://regulations.justia.com/regulations/fedreg/2018/11/27/2018-25733.html Tue, 27 Nov 2018 00:00:00 -0800 2018-25733 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-11-27/pdf/2018-25733.pdf Notice - 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 Examination https://regulations.justia.com/regulations/fedreg/2018/11/27/2018-25732.html https://regulations.justia.com/regulations/fedreg/2018/11/27/2018-25732.html Tue, 27 Nov 2018 00:00:00 -0800 2018-25732 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-11-27/pdf/2018-25732.pdf Notice - Submission for OMB Review; Comment Request https://regulations.justia.com/regulations/fedreg/2018/11/27/2018-25720.html https://regulations.justia.com/regulations/fedreg/2018/11/27/2018-25720.html Tue, 27 Nov 2018 00:00:00 -0800 2018-25720 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-11-27/pdf/2018-25720.pdf Notice - Sunshine Act Meetings https://regulations.justia.com/regulations/fedreg/2018/11/26/2018-25748.html https://regulations.justia.com/regulations/fedreg/2018/11/26/2018-25748.html Mon, 26 Nov 2018 00:00:00 -0800 2018-25748 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-11-26/pdf/2018-25748.pdf Notice - Self-Regulatory Organizations; Cboe C2 Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating To Amend Its Rules Regarding How the System Handles Market Orders in Series With No Bid or No Offer https://regulations.justia.com/regulations/fedreg/2018/11/26/2018-25739.html https://regulations.justia.com/regulations/fedreg/2018/11/26/2018-25739.html Mon, 26 Nov 2018 00:00:00 -0800 2018-25739 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-11-26/pdf/2018-25739.pdf Notice - 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 Agreement https://regulations.justia.com/regulations/fedreg/2018/11/26/2018-25738.html https://regulations.justia.com/regulations/fedreg/2018/11/26/2018-25738.html Mon, 26 Nov 2018 00:00:00 -0800 2018-25738 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-11-26/pdf/2018-25738.pdf Notice - 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 Changes https://regulations.justia.com/regulations/fedreg/2018/11/26/2018-25736.html https://regulations.justia.com/regulations/fedreg/2018/11/26/2018-25736.html Mon, 26 Nov 2018 00:00:00 -0800 2018-25736 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-11-26/pdf/2018-25736.pdf Notice - 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”) Fees https://regulations.justia.com/regulations/fedreg/2018/11/26/2018-25735.html https://regulations.justia.com/regulations/fedreg/2018/11/26/2018-25735.html Mon, 26 Nov 2018 00:00:00 -0800 2018-25735 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-11-26/pdf/2018-25735.pdf Notice - 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 Offer https://regulations.justia.com/regulations/fedreg/2018/11/26/2018-25734.html https://regulations.justia.com/regulations/fedreg/2018/11/26/2018-25734.html Mon, 26 Nov 2018 00:00:00 -0800 2018-25734 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-11-26/pdf/2018-25734.pdf Notice - 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 Requirements https://regulations.justia.com/regulations/fedreg/2018/11/26/2018-25731.html https://regulations.justia.com/regulations/fedreg/2018/11/26/2018-25731.html Mon, 26 Nov 2018 00:00:00 -0800 2018-25731 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-11-26/pdf/2018-25731.pdf Notice - Proposed Collection; Comment Request https://regulations.justia.com/regulations/fedreg/2018/11/26/2018-25689.html https://regulations.justia.com/regulations/fedreg/2018/11/26/2018-25689.html Mon, 26 Nov 2018 00:00:00 -0800 2018-25689 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-11-26/pdf/2018-25689.pdf Notice - Proposed Collection; Comment Request https://regulations.justia.com/regulations/fedreg/2018/11/26/2018-25688.html https://regulations.justia.com/regulations/fedreg/2018/11/26/2018-25688.html Mon, 26 Nov 2018 00:00:00 -0800 2018-25688 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-11-26/pdf/2018-25688.pdf Notice - Proposed Collection; Comment Request https://regulations.justia.com/regulations/fedreg/2018/11/26/2018-25687.html https://regulations.justia.com/regulations/fedreg/2018/11/26/2018-25687.html Mon, 26 Nov 2018 00:00:00 -0800 2018-25687 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-11-26/pdf/2018-25687.pdf Notice - Proposed Collection; Comment Request https://regulations.justia.com/regulations/fedreg/2018/11/26/2018-25686.html https://regulations.justia.com/regulations/fedreg/2018/11/26/2018-25686.html Mon, 26 Nov 2018 00:00:00 -0800 2018-25686 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-11-26/pdf/2018-25686.pdf Notice - Proposed Collection; Comment Request https://regulations.justia.com/regulations/fedreg/2018/11/26/2018-25685.html https://regulations.justia.com/regulations/fedreg/2018/11/26/2018-25685.html Mon, 26 Nov 2018 00:00:00 -0800 2018-25685 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-11-26/pdf/2018-25685.pdf Notice - Proposed Collection; Comment Request https://regulations.justia.com/regulations/fedreg/2018/11/26/2018-25684.html https://regulations.justia.com/regulations/fedreg/2018/11/26/2018-25684.html Mon, 26 Nov 2018 00:00:00 -0800 2018-25684 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-11-26/pdf/2018-25684.pdf Notice - Proposed Collection; Comment Request https://regulations.justia.com/regulations/fedreg/2018/11/26/2018-25683.html https://regulations.justia.com/regulations/fedreg/2018/11/26/2018-25683.html Mon, 26 Nov 2018 00:00:00 -0800 2018-25683 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-11-26/pdf/2018-25683.pdf Notice - Proposed Collection; Comment Request https://regulations.justia.com/regulations/fedreg/2018/11/26/2018-25682.html https://regulations.justia.com/regulations/fedreg/2018/11/26/2018-25682.html Mon, 26 Nov 2018 00:00:00 -0800 2018-25682 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-11-26/pdf/2018-25682.pdf Notice - 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 Volatility https://regulations.justia.com/regulations/fedreg/2018/11/26/2018-25606.html https://regulations.justia.com/regulations/fedreg/2018/11/26/2018-25606.html Mon, 26 Nov 2018 00:00:00 -0800 2018-25606 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-11-26/pdf/2018-25606.pdf Notice - 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 Transactions https://regulations.justia.com/regulations/fedreg/2018/11/26/2018-25601.html https://regulations.justia.com/regulations/fedreg/2018/11/26/2018-25601.html Mon, 26 Nov 2018 00:00:00 -0800 2018-25601 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-11-26/pdf/2018-25601.pdf Notice - Self-Regulatory Organizations; Cboe EDGA Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Modify Its Fee Schedule https://regulations.justia.com/regulations/fedreg/2018/11/26/2018-25600.html https://regulations.justia.com/regulations/fedreg/2018/11/26/2018-25600.html Mon, 26 Nov 2018 00:00:00 -0800 2018-25600 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-11-26/pdf/2018-25600.pdf Notice - 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) https://regulations.justia.com/regulations/fedreg/2018/11/26/2018-25599.html https://regulations.justia.com/regulations/fedreg/2018/11/26/2018-25599.html Mon, 26 Nov 2018 00:00:00 -0800 2018-25599 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-11-26/pdf/2018-25599.pdf Notice - 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 Functionality https://regulations.justia.com/regulations/fedreg/2018/11/26/2018-25598.html https://regulations.justia.com/regulations/fedreg/2018/11/26/2018-25598.html Mon, 26 Nov 2018 00:00:00 -0800 2018-25598 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-11-26/pdf/2018-25598.pdf Notice - 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 Protections https://regulations.justia.com/regulations/fedreg/2018/11/26/2018-25597.html https://regulations.justia.com/regulations/fedreg/2018/11/26/2018-25597.html Mon, 26 Nov 2018 00:00:00 -0800 2018-25597 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-11-26/pdf/2018-25597.pdf Notice - Self-Regulatory Organizations; Cboe EDGX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Adopt Reserve Orders https://regulations.justia.com/regulations/fedreg/2018/11/26/2018-25596.html https://regulations.justia.com/regulations/fedreg/2018/11/26/2018-25596.html Mon, 26 Nov 2018 00:00:00 -0800 2018-25596 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-11-26/pdf/2018-25596.pdf Notice - 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 Cash https://regulations.justia.com/regulations/fedreg/2018/11/26/2018-25595.html https://regulations.justia.com/regulations/fedreg/2018/11/26/2018-25595.html Mon, 26 Nov 2018 00:00:00 -0800 2018-25595 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-11-26/pdf/2018-25595.pdf Notice - Pacific Global ETF Trust and Cadence Capital Management LLC https://regulations.justia.com/regulations/fedreg/2018/11/26/2018-25594.html https://regulations.justia.com/regulations/fedreg/2018/11/26/2018-25594.html Mon, 26 Nov 2018 00:00:00 -0800 2018-25594 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-11-26/pdf/2018-25594.pdf Notice - Proposed Collection; Comment Request https://regulations.justia.com/regulations/fedreg/2018/11/23/2018-25492.html https://regulations.justia.com/regulations/fedreg/2018/11/23/2018-25492.html Fri, 23 Nov 2018 00:00:00 -0800 2018-25492 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-11-23/pdf/2018-25492.pdf Notice - Proposed Collection; Comment Request https://regulations.justia.com/regulations/fedreg/2018/11/23/2018-25491.html https://regulations.justia.com/regulations/fedreg/2018/11/23/2018-25491.html Fri, 23 Nov 2018 00:00:00 -0800 2018-25491 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-11-23/pdf/2018-25491.pdf Notice - Submission for OMB Review; Comment Request https://regulations.justia.com/regulations/fedreg/2018/11/23/2018-25490.html https://regulations.justia.com/regulations/fedreg/2018/11/23/2018-25490.html Fri, 23 Nov 2018 00:00:00 -0800 2018-25490 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-11-23/pdf/2018-25490.pdf Notice - 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 Statements https://regulations.justia.com/regulations/fedreg/2018/11/23/2018-25471.html https://regulations.justia.com/regulations/fedreg/2018/11/23/2018-25471.html Fri, 23 Nov 2018 00:00:00 -0800 2018-25471 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-11-23/pdf/2018-25471.pdf Notice - Self-Regulatory Organizations; Miami International Securities Exchange, LLC; Notice of Filing of a Proposed Rule Change To Amend Exchange Rule 518, Complex Orders https://regulations.justia.com/regulations/fedreg/2018/11/23/2018-25470.html https://regulations.justia.com/regulations/fedreg/2018/11/23/2018-25470.html Fri, 23 Nov 2018 00:00:00 -0800 2018-25470 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-11-23/pdf/2018-25470.pdf Notice - 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”) https://regulations.justia.com/regulations/fedreg/2018/11/23/2018-25469.html https://regulations.justia.com/regulations/fedreg/2018/11/23/2018-25469.html Fri, 23 Nov 2018 00:00:00 -0800 2018-25469 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-11-23/pdf/2018-25469.pdf Notice - 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 Xchange https://regulations.justia.com/regulations/fedreg/2018/11/23/2018-25468.html https://regulations.justia.com/regulations/fedreg/2018/11/23/2018-25468.html Fri, 23 Nov 2018 00:00:00 -0800 2018-25468 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-11-23/pdf/2018-25468.pdf Notice - 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 Orders https://regulations.justia.com/regulations/fedreg/2018/11/23/2018-25467.html https://regulations.justia.com/regulations/fedreg/2018/11/23/2018-25467.html Fri, 23 Nov 2018 00:00:00 -0800 2018-25467 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-11-23/pdf/2018-25467.pdf Notice - Proposed Collection; Comment Request https://regulations.justia.com/regulations/fedreg/2018/11/23/2018-25442.html https://regulations.justia.com/regulations/fedreg/2018/11/23/2018-25442.html Fri, 23 Nov 2018 00:00:00 -0800 2018-25442 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-11-23/pdf/2018-25442.pdf Notice - Self-Regulatory Organizations; Cboe Futures Exchange, LLC; Notice of Filing of a Proposed Rule Change Regarding Minor Rule Violations https://regulations.justia.com/regulations/fedreg/2018/11/21/2018-25358.html https://regulations.justia.com/regulations/fedreg/2018/11/21/2018-25358.html Wed, 21 Nov 2018 00:00:00 -0800 2018-25358 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-11-21/pdf/2018-25358.pdf Notice - 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 Shares https://regulations.justia.com/regulations/fedreg/2018/11/21/2018-25344.html https://regulations.justia.com/regulations/fedreg/2018/11/21/2018-25344.html Wed, 21 Nov 2018 00:00:00 -0800 2018-25344 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-11-21/pdf/2018-25344.pdf Notice - Self-Regulatory Organizations; NYSE American LLC; Notice of Filing and Immediate Effectiveness of Proposed Change To Modify the NYSE American Options Fee Schedule https://regulations.justia.com/regulations/fedreg/2018/11/21/2018-25343.html https://regulations.justia.com/regulations/fedreg/2018/11/21/2018-25343.html Wed, 21 Nov 2018 00:00:00 -0800 2018-25343 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-11-21/pdf/2018-25343.pdf Notice - 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 Scheme https://regulations.justia.com/regulations/fedreg/2018/11/21/2018-25342.html https://regulations.justia.com/regulations/fedreg/2018/11/21/2018-25342.html Wed, 21 Nov 2018 00:00:00 -0800 2018-25342 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-11-21/pdf/2018-25342.pdf Notice - 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 Program https://regulations.justia.com/regulations/fedreg/2018/11/21/2018-25341.html https://regulations.justia.com/regulations/fedreg/2018/11/21/2018-25341.html Wed, 21 Nov 2018 00:00:00 -0800 2018-25341 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-11-21/pdf/2018-25341.pdf Notice - 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 Platform https://regulations.justia.com/regulations/fedreg/2018/11/21/2018-25340.html https://regulations.justia.com/regulations/fedreg/2018/11/21/2018-25340.html Wed, 21 Nov 2018 00:00:00 -0800 2018-25340 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-11-21/pdf/2018-25340.pdf Notice - ABR Dynamic Funds, LLC, et al. https://regulations.justia.com/regulations/fedreg/2018/11/19/2018-25180.html https://regulations.justia.com/regulations/fedreg/2018/11/19/2018-25180.html Mon, 19 Nov 2018 00:00:00 -0800 2018-25180 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-11-19/pdf/2018-25180.pdf Notice - Self-Regulatory Organizations; Cboe Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating To Amend the Volume Incentive Program https://regulations.justia.com/regulations/fedreg/2018/11/19/2018-25099.html https://regulations.justia.com/regulations/fedreg/2018/11/19/2018-25099.html Mon, 19 Nov 2018 00:00:00 -0800 2018-25099 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-11-19/pdf/2018-25099.pdf Notice - 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 .03 https://regulations.justia.com/regulations/fedreg/2018/11/19/2018-25096.html https://regulations.justia.com/regulations/fedreg/2018/11/19/2018-25096.html Mon, 19 Nov 2018 00:00:00 -0800 2018-25096 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-11-19/pdf/2018-25096.pdf Notice - 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) https://regulations.justia.com/regulations/fedreg/2018/11/19/2018-25094.html https://regulations.justia.com/regulations/fedreg/2018/11/19/2018-25094.html Mon, 19 Nov 2018 00:00:00 -0800 2018-25094 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-11-19/pdf/2018-25094.pdf Notice - 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 Nasdaq https://regulations.justia.com/regulations/fedreg/2018/11/19/2018-25093.html https://regulations.justia.com/regulations/fedreg/2018/11/19/2018-25093.html Mon, 19 Nov 2018 00:00:00 -0800 2018-25093 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-11-19/pdf/2018-25093.pdf Rule - Disclosure of Order Handling Information https://regulations.justia.com/regulations/fedreg/2018/11/19/2018-24423.html https://regulations.justia.com/regulations/fedreg/2018/11/19/2018-24423.html Mon, 19 Nov 2018 00:00:00 -0800 2018-24423 Rule https://www.gpo.gov/fdsys/pkg/FR-2018-11-19/pdf/2018-24423.pdf Notice - Submission for OMB Review; Comment Request https://regulations.justia.com/regulations/fedreg/2018/11/16/2018-25051.html https://regulations.justia.com/regulations/fedreg/2018/11/16/2018-25051.html Fri, 16 Nov 2018 00:00:00 -0800 2018-25051 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-11-16/pdf/2018-25051.pdf Notice - Submission for OMB Review; Comment Request https://regulations.justia.com/regulations/fedreg/2018/11/16/2018-25049.html https://regulations.justia.com/regulations/fedreg/2018/11/16/2018-25049.html Fri, 16 Nov 2018 00:00:00 -0800 2018-25049 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-11-16/pdf/2018-25049.pdf Notice - Submission for OMB Review; Comment Request https://regulations.justia.com/regulations/fedreg/2018/11/16/2018-25048.html https://regulations.justia.com/regulations/fedreg/2018/11/16/2018-25048.html Fri, 16 Nov 2018 00:00:00 -0800 2018-25048 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-11-16/pdf/2018-25048.pdf Notice - Submission for OMB Review; Comment Request https://regulations.justia.com/regulations/fedreg/2018/11/16/2018-25047.html https://regulations.justia.com/regulations/fedreg/2018/11/16/2018-25047.html Fri, 16 Nov 2018 00:00:00 -0800 2018-25047 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-11-16/pdf/2018-25047.pdf Notice - Self-Regulatory Organizations; Nasdaq PHLX LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend General 8 of the Exchange's Rules https://regulations.justia.com/regulations/fedreg/2018/11/16/2018-25033.html https://regulations.justia.com/regulations/fedreg/2018/11/16/2018-25033.html Fri, 16 Nov 2018 00:00:00 -0800 2018-25033 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-11-16/pdf/2018-25033.pdf Notice - Self-Regulatory Organizations; Nasdaq BX, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend General 8 of the Exchange's Rules https://regulations.justia.com/regulations/fedreg/2018/11/16/2018-25032.html https://regulations.justia.com/regulations/fedreg/2018/11/16/2018-25032.html Fri, 16 Nov 2018 00:00:00 -0800 2018-25032 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-11-16/pdf/2018-25032.pdf Notice - 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 Rules https://regulations.justia.com/regulations/fedreg/2018/11/16/2018-25031.html https://regulations.justia.com/regulations/fedreg/2018/11/16/2018-25031.html Fri, 16 Nov 2018 00:00:00 -0800 2018-25031 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-11-16/pdf/2018-25031.pdf Notice - Self-Regulatory Organizations; Nasdaq GEMX, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend General 8 of the Exchange's Rules https://regulations.justia.com/regulations/fedreg/2018/11/16/2018-25030.html https://regulations.justia.com/regulations/fedreg/2018/11/16/2018-25030.html Fri, 16 Nov 2018 00:00:00 -0800 2018-25030 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-11-16/pdf/2018-25030.pdf Notice - Self-Regulatory Organizations; Nasdaq MRX, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend General 8 of the Exchange's Rules https://regulations.justia.com/regulations/fedreg/2018/11/16/2018-25029.html https://regulations.justia.com/regulations/fedreg/2018/11/16/2018-25029.html Fri, 16 Nov 2018 00:00:00 -0800 2018-25029 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-11-16/pdf/2018-25029.pdf Notice - Self-Regulatory Organizations; Nasdaq ISE, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend General 8 of the Exchange's Rules https://regulations.justia.com/regulations/fedreg/2018/11/16/2018-25028.html https://regulations.justia.com/regulations/fedreg/2018/11/16/2018-25028.html Fri, 16 Nov 2018 00:00:00 -0800 2018-25028 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-11-16/pdf/2018-25028.pdf Notice - Investor Advisory Committee Meeting https://regulations.justia.com/regulations/fedreg/2018/11/16/2018-25019.html https://regulations.justia.com/regulations/fedreg/2018/11/16/2018-25019.html Fri, 16 Nov 2018 00:00:00 -0800 2018-25019 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-11-16/pdf/2018-25019.pdf Rule - Adoption of Updated EDGAR Filer Manual; Correction https://regulations.justia.com/regulations/fedreg/2018/11/16/2018-25005.html https://regulations.justia.com/regulations/fedreg/2018/11/16/2018-25005.html Fri, 16 Nov 2018 00:00:00 -0800 2018-25005 Rule https://www.gpo.gov/fdsys/pkg/FR-2018-11-16/pdf/2018-25005.pdf Notice - 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 Settlement https://regulations.justia.com/regulations/fedreg/2018/11/16/2018-24988.html https://regulations.justia.com/regulations/fedreg/2018/11/16/2018-24988.html Fri, 16 Nov 2018 00:00:00 -0800 2018-24988 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-11-16/pdf/2018-24988.pdf Notice - Self-Regulatory Organizations; Cboe EDGX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating To Modify its Fee Schedule https://regulations.justia.com/regulations/fedreg/2018/11/16/2018-24985.html https://regulations.justia.com/regulations/fedreg/2018/11/16/2018-24985.html Fri, 16 Nov 2018 00:00:00 -0800 2018-24985 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-11-16/pdf/2018-24985.pdf Notice - 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 Stock https://regulations.justia.com/regulations/fedreg/2018/11/16/2018-24984.html https://regulations.justia.com/regulations/fedreg/2018/11/16/2018-24984.html Fri, 16 Nov 2018 00:00:00 -0800 2018-24984 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-11-16/pdf/2018-24984.pdf Notice - 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 Provisions https://regulations.justia.com/regulations/fedreg/2018/11/16/2018-24983.html https://regulations.justia.com/regulations/fedreg/2018/11/16/2018-24983.html Fri, 16 Nov 2018 00:00:00 -0800 2018-24983 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-11-16/pdf/2018-24983.pdf Notice - Self-Regulatory Organizations; Cboe Futures Exchange, LLC; Notice of Filing of a Proposed Rule Change Regarding Correction of Reporting Errors https://regulations.justia.com/regulations/fedreg/2018/11/16/2018-24982.html https://regulations.justia.com/regulations/fedreg/2018/11/16/2018-24982.html Fri, 16 Nov 2018 00:00:00 -0800 2018-24982 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-11-16/pdf/2018-24982.pdf Notice - 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”) Protocols https://regulations.justia.com/regulations/fedreg/2018/11/16/2018-24981.html https://regulations.justia.com/regulations/fedreg/2018/11/16/2018-24981.html Fri, 16 Nov 2018 00:00:00 -0800 2018-24981 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-11-16/pdf/2018-24981.pdf Notice - Self-Regulatory Organizations; Cboe Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating To Modify Its Fee Schedule https://regulations.justia.com/regulations/fedreg/2018/11/16/2018-24980.html https://regulations.justia.com/regulations/fedreg/2018/11/16/2018-24980.html Fri, 16 Nov 2018 00:00:00 -0800 2018-24980 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-11-16/pdf/2018-24980.pdf Unknown - Regulatory Flexibility Agenda https://regulations.justia.com/regulations/fedreg/2018/11/16/2018-23929.html https://regulations.justia.com/regulations/fedreg/2018/11/16/2018-23929.html Fri, 16 Nov 2018 00:00:00 -0800 2018-23929 Unknown https://www.gpo.gov/fdsys/pkg/FR-2018-11-16/pdf/2018-23929.pdf Notice - Sunshine Act Meetings https://regulations.justia.com/regulations/fedreg/2018/11/15/2018-25021.html https://regulations.justia.com/regulations/fedreg/2018/11/15/2018-25021.html Thu, 15 Nov 2018 00:00:00 -0800 2018-25021 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-11-15/pdf/2018-25021.pdf Notice - 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”) https://regulations.justia.com/regulations/fedreg/2018/11/15/2018-24870.html https://regulations.justia.com/regulations/fedreg/2018/11/15/2018-24870.html Thu, 15 Nov 2018 00:00:00 -0800 2018-24870 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-11-15/pdf/2018-24870.pdf Notice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the NYSE Arca Equities Fees and Charges To Remove Certain Obsolete Text That References Pillar Phase I Protocols https://regulations.justia.com/regulations/fedreg/2018/11/15/2018-24868.html https://regulations.justia.com/regulations/fedreg/2018/11/15/2018-24868.html Thu, 15 Nov 2018 00:00:00 -0800 2018-24868 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-11-15/pdf/2018-24868.pdf Notice - Self-Regulatory Organizations; Nasdaq BX, Inc.; 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/2018/11/14/2018-24733.html https://regulations.justia.com/regulations/fedreg/2018/11/14/2018-24733.html Wed, 14 Nov 2018 00:00:00 -0800 2018-24733 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-11-14/pdf/2018-24733.pdf Notice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing of Proposed Rule Change To Amend Rule 7.44-E https://regulations.justia.com/regulations/fedreg/2018/11/14/2018-24732.html https://regulations.justia.com/regulations/fedreg/2018/11/14/2018-24732.html Wed, 14 Nov 2018 00:00:00 -0800 2018-24732 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-11-14/pdf/2018-24732.pdf Notice - Self-Regulatory Organizations; Nasdaq PHLX LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the Rule 3400 Series https://regulations.justia.com/regulations/fedreg/2018/11/13/2018-24638.html https://regulations.justia.com/regulations/fedreg/2018/11/13/2018-24638.html Tue, 13 Nov 2018 00:00:00 -0800 2018-24638 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-11-13/pdf/2018-24638.pdf Notice - 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 Requirements https://regulations.justia.com/regulations/fedreg/2018/11/13/2018-24637.html https://regulations.justia.com/regulations/fedreg/2018/11/13/2018-24637.html Tue, 13 Nov 2018 00:00:00 -0800 2018-24637 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-11-13/pdf/2018-24637.pdf Notice - Self-Regulatory Organizations; Nasdaq PHLX LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to New Derivative Securities Products https://regulations.justia.com/regulations/fedreg/2018/11/13/2018-24636.html https://regulations.justia.com/regulations/fedreg/2018/11/13/2018-24636.html Tue, 13 Nov 2018 00:00:00 -0800 2018-24636 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-11-13/pdf/2018-24636.pdf Notice - Stellus Capital Investment Corporation, et al. https://regulations.justia.com/regulations/fedreg/2018/11/13/2018-24635.html https://regulations.justia.com/regulations/fedreg/2018/11/13/2018-24635.html Tue, 13 Nov 2018 00:00:00 -0800 2018-24635 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-11-13/pdf/2018-24635.pdf Rule - Regulation of NMS Stock Alternative Trading Systems https://regulations.justia.com/regulations/fedreg/2018/11/13/2018-24549.html https://regulations.justia.com/regulations/fedreg/2018/11/13/2018-24549.html Tue, 13 Nov 2018 00:00:00 -0800 2018-24549 Rule https://www.gpo.gov/fdsys/pkg/FR-2018-11-13/pdf/2018-24549.pdf Notice - Sunshine Act Meeting https://regulations.justia.com/regulations/fedreg/2018/11/09/2018-24632.html https://regulations.justia.com/regulations/fedreg/2018/11/09/2018-24632.html Fri, 09 Nov 2018 00:00:00 -0800 2018-24632 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-11-09/pdf/2018-24632.pdf Notice - Submission for OMB Review; Comment Request https://regulations.justia.com/regulations/fedreg/2018/11/09/2018-24577.html https://regulations.justia.com/regulations/fedreg/2018/11/09/2018-24577.html Fri, 09 Nov 2018 00:00:00 -0800 2018-24577 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-11-09/pdf/2018-24577.pdf Notice - Proposed Collection; Comment Request https://regulations.justia.com/regulations/fedreg/2018/11/09/2018-24575.html https://regulations.justia.com/regulations/fedreg/2018/11/09/2018-24575.html Fri, 09 Nov 2018 00:00:00 -0800 2018-24575 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-11-09/pdf/2018-24575.pdf Notice - 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 Program https://regulations.justia.com/regulations/fedreg/2018/11/09/2018-24528.html https://regulations.justia.com/regulations/fedreg/2018/11/09/2018-24528.html Fri, 09 Nov 2018 00:00:00 -0800 2018-24528 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-11-09/pdf/2018-24528.pdf Notice - 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 Open https://regulations.justia.com/regulations/fedreg/2018/11/09/2018-24527.html https://regulations.justia.com/regulations/fedreg/2018/11/09/2018-24527.html Fri, 09 Nov 2018 00:00:00 -0800 2018-24527 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-11-09/pdf/2018-24527.pdf Notice - 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 Open https://regulations.justia.com/regulations/fedreg/2018/11/09/2018-24526.html https://regulations.justia.com/regulations/fedreg/2018/11/09/2018-24526.html Fri, 09 Nov 2018 00:00:00 -0800 2018-24526 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-11-09/pdf/2018-24526.pdf Notice - 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 Open https://regulations.justia.com/regulations/fedreg/2018/11/09/2018-24525.html https://regulations.justia.com/regulations/fedreg/2018/11/09/2018-24525.html Fri, 09 Nov 2018 00:00:00 -0800 2018-24525 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-11-09/pdf/2018-24525.pdf Notice - 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 Options https://regulations.justia.com/regulations/fedreg/2018/11/09/2018-24524.html https://regulations.justia.com/regulations/fedreg/2018/11/09/2018-24524.html Fri, 09 Nov 2018 00:00:00 -0800 2018-24524 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-11-09/pdf/2018-24524.pdf Notice - Self-Regulatory Organizations; Nasdaq PHLX LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Rule 1101A, Terms of Option Contracts https://regulations.justia.com/regulations/fedreg/2018/11/09/2018-24523.html https://regulations.justia.com/regulations/fedreg/2018/11/09/2018-24523.html Fri, 09 Nov 2018 00:00:00 -0800 2018-24523 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-11-09/pdf/2018-24523.pdf Notice - Self-Regulatory Organizations; Cboe Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Renew the Nonstandard Expirations Pilot Program https://regulations.justia.com/regulations/fedreg/2018/11/09/2018-24522.html https://regulations.justia.com/regulations/fedreg/2018/11/09/2018-24522.html Fri, 09 Nov 2018 00:00:00 -0800 2018-24522 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-11-09/pdf/2018-24522.pdf Notice - Self-Regulatory Organizations; ICE Clear Europe Limited; Notice of Filing of Proposed Rule Change Relating to Amendments to the ICE Clear Europe Limited Liquidity Plan https://regulations.justia.com/regulations/fedreg/2018/11/09/2018-24521.html https://regulations.justia.com/regulations/fedreg/2018/11/09/2018-24521.html Fri, 09 Nov 2018 00:00:00 -0800 2018-24521 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-11-09/pdf/2018-24521.pdf Notice - Toroso Investments, LLC and Tidal ETF Trust https://regulations.justia.com/regulations/fedreg/2018/11/09/2018-24509.html https://regulations.justia.com/regulations/fedreg/2018/11/09/2018-24509.html Fri, 09 Nov 2018 00:00:00 -0800 2018-24509 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-11-09/pdf/2018-24509.pdf Notice - 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 Volatility https://regulations.justia.com/regulations/fedreg/2018/11/08/2018-24400.html https://regulations.justia.com/regulations/fedreg/2018/11/08/2018-24400.html Thu, 08 Nov 2018 00:00:00 -0800 2018-24400 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-11-08/pdf/2018-24400.pdf Notice - 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 Requirements https://regulations.justia.com/regulations/fedreg/2018/11/08/2018-24399.html https://regulations.justia.com/regulations/fedreg/2018/11/08/2018-24399.html Thu, 08 Nov 2018 00:00:00 -0800 2018-24399 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-11-08/pdf/2018-24399.pdf Notice - Sunshine Act Meetings https://regulations.justia.com/regulations/fedreg/2018/11/07/2018-24405.html https://regulations.justia.com/regulations/fedreg/2018/11/07/2018-24405.html Wed, 07 Nov 2018 00:00:00 -0800 2018-24405 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-11-07/pdf/2018-24405.pdf Notice - Sunshine Act Meetings https://regulations.justia.com/regulations/fedreg/2018/11/07/2018-24404.html https://regulations.justia.com/regulations/fedreg/2018/11/07/2018-24404.html Wed, 07 Nov 2018 00:00:00 -0800 2018-24404 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-11-07/pdf/2018-24404.pdf Notice - 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) https://regulations.justia.com/regulations/fedreg/2018/11/07/2018-24311.html https://regulations.justia.com/regulations/fedreg/2018/11/07/2018-24311.html Wed, 07 Nov 2018 00:00:00 -0800 2018-24311 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-11-07/pdf/2018-24311.pdf Notice - Self-Regulatory Organizations; Nasdaq ISE, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Relocate the Exchange's Pricing Schedule https://regulations.justia.com/regulations/fedreg/2018/11/07/2018-24310.html https://regulations.justia.com/regulations/fedreg/2018/11/07/2018-24310.html Wed, 07 Nov 2018 00:00:00 -0800 2018-24310 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-11-07/pdf/2018-24310.pdf Notice - 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 Directors https://regulations.justia.com/regulations/fedreg/2018/11/07/2018-24309.html https://regulations.justia.com/regulations/fedreg/2018/11/07/2018-24309.html Wed, 07 Nov 2018 00:00:00 -0800 2018-24309 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-11-07/pdf/2018-24309.pdf Notice - 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 Protections https://regulations.justia.com/regulations/fedreg/2018/11/07/2018-24308.html https://regulations.justia.com/regulations/fedreg/2018/11/07/2018-24308.html Wed, 07 Nov 2018 00:00:00 -0800 2018-24308 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-11-07/pdf/2018-24308.pdf Notice - Self-Regulatory Organizations; Miami International Securities Exchange, LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Exchange Rule 515A, MIAX Price Improvement Mechanism (“PRIME”) and PRIME Solicitation Mechanism, and Rule 518, Complex Orders https://regulations.justia.com/regulations/fedreg/2018/11/07/2018-24307.html https://regulations.justia.com/regulations/fedreg/2018/11/07/2018-24307.html Wed, 07 Nov 2018 00:00:00 -0800 2018-24307 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-11-07/pdf/2018-24307.pdf Notice - 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 Information https://regulations.justia.com/regulations/fedreg/2018/11/07/2018-24306.html https://regulations.justia.com/regulations/fedreg/2018/11/07/2018-24306.html Wed, 07 Nov 2018 00:00:00 -0800 2018-24306 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-11-07/pdf/2018-24306.pdf Notice - 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 Shares https://regulations.justia.com/regulations/fedreg/2018/11/07/2018-24305.html https://regulations.justia.com/regulations/fedreg/2018/11/07/2018-24305.html Wed, 07 Nov 2018 00:00:00 -0800 2018-24305 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-11-07/pdf/2018-24305.pdf Notice - 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” https://regulations.justia.com/regulations/fedreg/2018/11/07/2018-24304.html https://regulations.justia.com/regulations/fedreg/2018/11/07/2018-24304.html Wed, 07 Nov 2018 00:00:00 -0800 2018-24304 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-11-07/pdf/2018-24304.pdf Notice - Self-Regulatory Organizations; New York Stock Exchange LLC; Order Instituting Proceedings To Determine Whether To Approve or Disapprove a Proposed Rule Change To Amend NYSE Rule 104 Governing Transactions by Designated Market Makers https://regulations.justia.com/regulations/fedreg/2018/11/07/2018-24303.html https://regulations.justia.com/regulations/fedreg/2018/11/07/2018-24303.html Wed, 07 Nov 2018 00:00:00 -0800 2018-24303 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-11-07/pdf/2018-24303.pdf Rule - Commission Statement on Certain Provisions of Business Conduct Standards for Security-Based Swap Dealers and Major Security-Based Swap Participants https://regulations.justia.com/regulations/fedreg/2018/11/06/2018-24213.html https://regulations.justia.com/regulations/fedreg/2018/11/06/2018-24213.html Tue, 06 Nov 2018 00:00:00 -0800 2018-24213 Rule https://www.gpo.gov/fdsys/pkg/FR-2018-11-06/pdf/2018-24213.pdf Notice - Proposed Collection; Comment Request https://regulations.justia.com/regulations/fedreg/2018/11/06/2018-24211.html https://regulations.justia.com/regulations/fedreg/2018/11/06/2018-24211.html Tue, 06 Nov 2018 00:00:00 -0800 2018-24211 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-11-06/pdf/2018-24211.pdf Rule - Adoption of Updated EDGAR Filer Manual https://regulations.justia.com/regulations/fedreg/2018/11/05/2018-24128.html https://regulations.justia.com/regulations/fedreg/2018/11/05/2018-24128.html Mon, 05 Nov 2018 00:00:00 -0800 2018-24128 Rule https://www.gpo.gov/fdsys/pkg/FR-2018-11-05/pdf/2018-24128.pdf Notice - Cushing Asset Management, LP and Cushing ETF Trust https://regulations.justia.com/regulations/fedreg/2018/11/05/2018-24077.html https://regulations.justia.com/regulations/fedreg/2018/11/05/2018-24077.html Mon, 05 Nov 2018 00:00:00 -0800 2018-24077 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-11-05/pdf/2018-24077.pdf Notice - 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. https://regulations.justia.com/regulations/fedreg/2018/11/05/2018-24070.html https://regulations.justia.com/regulations/fedreg/2018/11/05/2018-24070.html Mon, 05 Nov 2018 00:00:00 -0800 2018-24070 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-11-05/pdf/2018-24070.pdf Notice - Self-Regulatory Organizations; NYSE Arca, Inc.; Order Instituting Proceedings To Determine Whether To Approve or Disapprove a Proposed Rule Change Regarding Investments of the First Trust TCW Unconstrained Plus Bond ETF https://regulations.justia.com/regulations/fedreg/2018/11/05/2018-24069.html https://regulations.justia.com/regulations/fedreg/2018/11/05/2018-24069.html Mon, 05 Nov 2018 00:00:00 -0800 2018-24069 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-11-05/pdf/2018-24069.pdf Notice - 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 5735 https://regulations.justia.com/regulations/fedreg/2018/11/05/2018-24068.html https://regulations.justia.com/regulations/fedreg/2018/11/05/2018-24068.html Mon, 05 Nov 2018 00:00:00 -0800 2018-24068 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-11-05/pdf/2018-24068.pdf Notice - 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 Securities https://regulations.justia.com/regulations/fedreg/2018/11/05/2018-24067.html https://regulations.justia.com/regulations/fedreg/2018/11/05/2018-24067.html Mon, 05 Nov 2018 00:00:00 -0800 2018-24067 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-11-05/pdf/2018-24067.pdf Notice - Sunshine Act Meeting; Cancellation https://regulations.justia.com/regulations/fedreg/2018/11/02/2018-24148.html https://regulations.justia.com/regulations/fedreg/2018/11/02/2018-24148.html Fri, 02 Nov 2018 00:00:00 -0700 2018-24148 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-11-02/pdf/2018-24148.pdf Notice - Sunshine Act Meetings https://regulations.justia.com/regulations/fedreg/2018/11/02/2018-24071.html https://regulations.justia.com/regulations/fedreg/2018/11/02/2018-24071.html Fri, 02 Nov 2018 00:00:00 -0700 2018-24071 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-11-02/pdf/2018-24071.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 Recovery Plan and Wind-Down Plan https://regulations.justia.com/regulations/fedreg/2018/11/02/2018-23968.html https://regulations.justia.com/regulations/fedreg/2018/11/02/2018-23968.html Fri, 02 Nov 2018 00:00:00 -0700 2018-23968 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-11-02/pdf/2018-23968.pdf Notice - 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 Securities https://regulations.justia.com/regulations/fedreg/2018/11/02/2018-23966.html https://regulations.justia.com/regulations/fedreg/2018/11/02/2018-23966.html Fri, 02 Nov 2018 00:00:00 -0700 2018-23966 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-11-02/pdf/2018-23966.pdf Notice - Self-Regulatory Organizations; Nasdaq PHLX LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Relocate the Pricing Schedule Rules https://regulations.justia.com/regulations/fedreg/2018/11/02/2018-23963.html https://regulations.justia.com/regulations/fedreg/2018/11/02/2018-23963.html Fri, 02 Nov 2018 00:00:00 -0700 2018-23963 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-11-02/pdf/2018-23963.pdf Notice - Submission to OMB; Comment Request https://regulations.justia.com/regulations/fedreg/2018/11/02/2018-23962.html https://regulations.justia.com/regulations/fedreg/2018/11/02/2018-23962.html Fri, 02 Nov 2018 00:00:00 -0700 2018-23962 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-11-02/pdf/2018-23962.pdf Notice - Submission for OMB Review; Comment Request https://regulations.justia.com/regulations/fedreg/2018/11/02/2018-23961.html https://regulations.justia.com/regulations/fedreg/2018/11/02/2018-23961.html Fri, 02 Nov 2018 00:00:00 -0700 2018-23961 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-11-02/pdf/2018-23961.pdf Notice - Submission for OMB Review; Comment Request https://regulations.justia.com/regulations/fedreg/2018/11/02/2018-23960.html https://regulations.justia.com/regulations/fedreg/2018/11/02/2018-23960.html Fri, 02 Nov 2018 00:00:00 -0700 2018-23960 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-11-02/pdf/2018-23960.pdf Notice - Submission for OMB Review; Comment Request https://regulations.justia.com/regulations/fedreg/2018/11/02/2018-23959.html https://regulations.justia.com/regulations/fedreg/2018/11/02/2018-23959.html Fri, 02 Nov 2018 00:00:00 -0700 2018-23959 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-11-02/pdf/2018-23959.pdf Notice - Proposed Collection; Comment Request https://regulations.justia.com/regulations/fedreg/2018/11/02/2018-23958.html https://regulations.justia.com/regulations/fedreg/2018/11/02/2018-23958.html Fri, 02 Nov 2018 00:00:00 -0700 2018-23958 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-11-02/pdf/2018-23958.pdf Notice - Proposed Collection; Comment Request https://regulations.justia.com/regulations/fedreg/2018/11/02/2018-23957.html https://regulations.justia.com/regulations/fedreg/2018/11/02/2018-23957.html Fri, 02 Nov 2018 00:00:00 -0700 2018-23957 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-11-02/pdf/2018-23957.pdf Notice - Notice of Applications for Deregistration Under Section 8(f) of the Investment Company Act of 1940 https://regulations.justia.com/regulations/fedreg/2018/11/01/2018-23849.html https://regulations.justia.com/regulations/fedreg/2018/11/01/2018-23849.html Thu, 01 Nov 2018 00:00:00 -0700 2018-23849 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-11-01/pdf/2018-23849.pdf Notice - 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 Provisions https://regulations.justia.com/regulations/fedreg/2018/11/01/2018-23844.html https://regulations.justia.com/regulations/fedreg/2018/11/01/2018-23844.html Thu, 01 Nov 2018 00:00:00 -0700 2018-23844 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-11-01/pdf/2018-23844.pdf