Federal Register Recent Federal Regulation Documents - Justia Regulation Tracker - Justia Regulations Tracker https://regulations.justia.com/regulations/fedreg/agencies/securities-and-exchange-commission/2018/12/12?limit=200&registers=between&mode=atom 2024-05-04T09:03:54-07:00 Justia Inc https://www.justia.com/ Justia Regulations Tracker https://regulations.justia.com/images/justiafedregulations.gif Copyright 2011 Justia Inc https://regulations.justia.com/regulations/fedreg/2018/12/12/2018-26915.html Notice - Self-Regulatory Organizations; Nasdaq BX, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the Defined Terms “In-the-Money” and “Out-of-the-Money” in BX Options Rules at Chapter I, Section 1 2018-12-12T00:00:00-08:00 2018-12-12T00:00:00-08:00 2018-26915 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-12-12/pdf/2018-26915.pdf https://regulations.justia.com/regulations/fedreg/2018/12/12/2018-26914.html Notice - Self-Regulatory Organizations; The Nasdaq Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the Defined Terms “In-the-Money” and “Out-of-the-Money” in Chapter I, Section 1 2018-12-12T00:00:00-08:00 2018-12-12T00:00:00-08:00 2018-26914 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-12-12/pdf/2018-26914.pdf https://regulations.justia.com/regulations/fedreg/2018/12/12/2018-26913.html Notice - Self-Regulatory Organizations; The Depository Trust Company; Notice of Filing of a Proposed Rule Change To Amend the Settlement Guide Procedures To Provide Status Information for Institutional Transactions To a Matching Utility 2018-12-12T00:00:00-08:00 2018-12-12T00:00:00-08:00 2018-26913 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-12-12/pdf/2018-26913.pdf https://regulations.justia.com/regulations/fedreg/2018/12/12/2018-26912.html Notice - Self-Regulatory Organizations; Cboe BZX Exchange, Inc.; Notice of Designation of a Longer Period for Commission Action on a Proposed Rule Change To List and Trade Shares of the WisdomTree Long-Term Treasury PutWrite Strategy Fund, WisdomTree Corporate Bond PutWrite Strategy Fund, WisdomTree International PutWrite Strategy Fund, and WisdomTree Emerging Markets PutWrite Strategy Fund Under Rule 14.11(i), Managed Fund Shares 2018-12-12T00:00:00-08:00 2018-12-12T00:00:00-08:00 2018-26912 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-12-12/pdf/2018-26912.pdf https://regulations.justia.com/regulations/fedreg/2018/12/12/2018-26911.html Notice - Self-Regulatory Organizations; Nasdaq BX, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Port Fees 2018-12-12T00:00:00-08:00 2018-12-12T00:00:00-08:00 2018-26911 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-12-12/pdf/2018-26911.pdf https://regulations.justia.com/regulations/fedreg/2018/12/12/2018-26910.html Notice - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Withdrawal of a Proposed Rule Change Related To Amend Rule 6.21., Give Up of a Clearing Trading Permit Holder 2018-12-12T00:00:00-08:00 2018-12-12T00:00:00-08:00 2018-26910 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-12-12/pdf/2018-26910.pdf https://regulations.justia.com/regulations/fedreg/2018/12/12/2018-26909.html Notice - Self-Regulatory Organizations; The Nasdaq Stock Market LLC; Notice of Designation of a Longer Period for Commission Action on 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 2018-12-12T00:00:00-08:00 2018-12-12T00:00:00-08:00 2018-26909 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-12-12/pdf/2018-26909.pdf https://regulations.justia.com/regulations/fedreg/2018/12/12/2018-26908.html Notice - Self-Regulatory Organizations; Nasdaq MRX, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Supplementary Material .02 to Rule 715 Regarding Cancel and Replace Orders 2018-12-12T00:00:00-08:00 2018-12-12T00:00:00-08:00 2018-26908 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-12-12/pdf/2018-26908.pdf https://regulations.justia.com/regulations/fedreg/2018/12/12/2018-26907.html Notice - Self-Regulatory Organizations; Nasdaq GEMX, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Supplementary Material .02 to Rule 715 2018-12-12T00:00:00-08:00 2018-12-12T00:00:00-08:00 2018-26907 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-12-12/pdf/2018-26907.pdf https://regulations.justia.com/regulations/fedreg/2018/12/12/2018-26851.html Notice - Submission for OMB Review; Comment Request 2018-12-12T00:00:00-08:00 2018-12-12T00:00:00-08:00 2018-26851 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-12-12/pdf/2018-26851.pdf https://regulations.justia.com/regulations/fedreg/2018/12/12/2018-26837.html Notice - Self-Regulatory Organizations; NYSE American LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend NYSE American Rule 5.1E(a)(2) 2018-12-12T00:00:00-08:00 2018-12-12T00:00:00-08:00 2018-26837 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-12-12/pdf/2018-26837.pdf https://regulations.justia.com/regulations/fedreg/2018/12/12/2018-26836.html Notice - Self-Regulatory Organizations; Nasdaq ISE, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Supplementary Material .02 to Rule 715 Regarding Cancel and Replace Orders 2018-12-12T00:00:00-08:00 2018-12-12T00:00:00-08:00 2018-26836 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-12-12/pdf/2018-26836.pdf https://regulations.justia.com/regulations/fedreg/2018/12/12/2018-26835.html Notice - Self-Regulatory Organizations; Cboe Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating To Adopt a Shell Structure for the Cboe Options Rulebook in Connection With the Migration of the Exchange to Bats Technology 2018-12-12T00:00:00-08:00 2018-12-12T00:00:00-08:00 2018-26835 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-12-12/pdf/2018-26835.pdf https://regulations.justia.com/regulations/fedreg/2018/12/12/2018-26834.html Notice - Self-Regulatory Organizations; Cboe BZX Exchange, Inc.; Order Granting Approval to 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 2018-12-12T00:00:00-08:00 2018-12-12T00:00:00-08:00 2018-26834 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-12-12/pdf/2018-26834.pdf https://regulations.justia.com/regulations/fedreg/2018/12/12/2018-26833.html Notice - Self-Regulatory Organizations; NYSE Arca, Inc.; Order Approving a Proposed Rule Change, as Modified by Amendment No. 1, To Amend Rules 6.62-O and 6.37A-O To Add New Order Types and Quotation Designations 2018-12-12T00:00:00-08:00 2018-12-12T00:00:00-08:00 2018-26833 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-12-12/pdf/2018-26833.pdf https://regulations.justia.com/regulations/fedreg/2018/12/12/2018-26832.html Notice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend NYSE Arca Rule 5.1-E(a)(2) 2018-12-12T00:00:00-08:00 2018-12-12T00:00:00-08:00 2018-26832 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-12-12/pdf/2018-26832.pdf https://regulations.justia.com/regulations/fedreg/2018/12/12/2018-26831.html Notice - Self-Regulatory Organizations; Miami International Securities Exchange, LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Exchange Rule 510, Minimum Price Variations and Minimum Trading Increments, To Adopt Interpretations and Policies .03 2018-12-12T00:00:00-08:00 2018-12-12T00:00:00-08:00 2018-26831 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-12-12/pdf/2018-26831.pdf https://regulations.justia.com/regulations/fedreg/2018/12/12/2018-26830.html Notice - Self-Regulatory Organizations; Chicago Stock Exchange, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend CHX Article 22, Rule 6(a) 2018-12-12T00:00:00-08:00 2018-12-12T00:00:00-08:00 2018-26830 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-12-12/pdf/2018-26830.pdf https://regulations.justia.com/regulations/fedreg/2018/12/12/2018-26829.html Notice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Designation of a Longer Period for Commission Action on Proceedings To Determine Whether To Approve or Disapprove a Proposed Rule Change Regarding Investments of the REX BKCM ETF 2018-12-12T00:00:00-08:00 2018-12-12T00:00:00-08:00 2018-26829 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-12-12/pdf/2018-26829.pdf https://regulations.justia.com/regulations/fedreg/2018/12/12/2018-26828.html 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 SolidX Bitcoin Shares Issued by the VanEck SolidX Bitcoin Trust 2018-12-12T00:00:00-08:00 2018-12-12T00:00:00-08:00 2018-26828 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-12-12/pdf/2018-26828.pdf https://regulations.justia.com/regulations/fedreg/2018/12/12/2018-26827.html Notice - Self-Regulatory Organizations; Nasdaq GEMX, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Bid/Ask Differentials 2018-12-12T00:00:00-08:00 2018-12-12T00:00:00-08:00 2018-26827 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-12-12/pdf/2018-26827.pdf https://regulations.justia.com/regulations/fedreg/2018/12/12/2018-26826.html Notice - Self-Regulatory Organizations; Nasdaq ISE, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Bid/Ask Differentials 2018-12-12T00:00:00-08:00 2018-12-12T00:00:00-08:00 2018-26826 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-12-12/pdf/2018-26826.pdf https://regulations.justia.com/regulations/fedreg/2018/12/12/2018-26825.html Notice - Self-Regulatory Organizations; Nasdaq MRX, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Bid/Ask Differentials 2018-12-12T00:00:00-08:00 2018-12-12T00:00:00-08:00 2018-26825 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-12-12/pdf/2018-26825.pdf https://regulations.justia.com/regulations/fedreg/2018/12/12/2018-26824.html Notice - Self-Regulatory Organizations; Nasdaq PHLX LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Bid/Ask Differentials 2018-12-12T00:00:00-08:00 2018-12-12T00:00:00-08:00 2018-26824 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-12-12/pdf/2018-26824.pdf https://regulations.justia.com/regulations/fedreg/2018/12/12/2018-26823.html Notice - Self-Regulatory Organizations; NYSE American LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change of Amendments to the Exchange's Rules To Delete References to the Term “Allied Member” and Correct Rule 2.1220 2018-12-12T00:00:00-08:00 2018-12-12T00:00:00-08:00 2018-26823 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-12-12/pdf/2018-26823.pdf https://regulations.justia.com/regulations/fedreg/2018/12/12/2018-26797.html Notice - Cliffwater Corporate Lending Fund and Cliffwater LLC 2018-12-12T00:00:00-08:00 2018-12-12T00:00:00-08:00 2018-26797 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-12-12/pdf/2018-26797.pdf https://regulations.justia.com/regulations/fedreg/2018/12/12/2018-26795.html Notice - Symmetry Panoramic Trust and Symmetry Partners, LLC 2018-12-12T00:00:00-08:00 2018-12-12T00:00:00-08:00 2018-26795 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-12-12/pdf/2018-26795.pdf