<![CDATA[Federal Register Recent Federal Regulation Documents - Justia Regulation Tracker - Justia Regulations Tracker]]> https://regulations.justia.com/regulations/fedreg/agencies/securities-and-exchange-commission/2018/12/12?registers=between Sat, 04 May 2024 04:35:05 -0700 Sat, 04 May 2024 04:35:05 -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/2018/12/12?registers=between 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 https://regulations.justia.com/regulations/fedreg/2018/12/12/2018-26915.html https://regulations.justia.com/regulations/fedreg/2018/12/12/2018-26915.html Wed, 12 Dec 2018 00:00:00 -0800 2018-26915 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-12-12/pdf/2018-26915.pdf 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 https://regulations.justia.com/regulations/fedreg/2018/12/12/2018-26914.html https://regulations.justia.com/regulations/fedreg/2018/12/12/2018-26914.html Wed, 12 Dec 2018 00:00:00 -0800 2018-26914 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-12-12/pdf/2018-26914.pdf 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 https://regulations.justia.com/regulations/fedreg/2018/12/12/2018-26913.html https://regulations.justia.com/regulations/fedreg/2018/12/12/2018-26913.html Wed, 12 Dec 2018 00:00:00 -0800 2018-26913 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-12-12/pdf/2018-26913.pdf 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 https://regulations.justia.com/regulations/fedreg/2018/12/12/2018-26912.html https://regulations.justia.com/regulations/fedreg/2018/12/12/2018-26912.html Wed, 12 Dec 2018 00:00:00 -0800 2018-26912 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-12-12/pdf/2018-26912.pdf Notice - Self-Regulatory Organizations; Nasdaq BX, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Port Fees https://regulations.justia.com/regulations/fedreg/2018/12/12/2018-26911.html https://regulations.justia.com/regulations/fedreg/2018/12/12/2018-26911.html Wed, 12 Dec 2018 00:00:00 -0800 2018-26911 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-12-12/pdf/2018-26911.pdf 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 https://regulations.justia.com/regulations/fedreg/2018/12/12/2018-26910.html https://regulations.justia.com/regulations/fedreg/2018/12/12/2018-26910.html Wed, 12 Dec 2018 00:00:00 -0800 2018-26910 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-12-12/pdf/2018-26910.pdf 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 https://regulations.justia.com/regulations/fedreg/2018/12/12/2018-26909.html https://regulations.justia.com/regulations/fedreg/2018/12/12/2018-26909.html Wed, 12 Dec 2018 00:00:00 -0800 2018-26909 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-12-12/pdf/2018-26909.pdf 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 https://regulations.justia.com/regulations/fedreg/2018/12/12/2018-26908.html https://regulations.justia.com/regulations/fedreg/2018/12/12/2018-26908.html Wed, 12 Dec 2018 00:00:00 -0800 2018-26908 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-12-12/pdf/2018-26908.pdf Notice - Self-Regulatory Organizations; Nasdaq GEMX, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Supplementary Material .02 to Rule 715 https://regulations.justia.com/regulations/fedreg/2018/12/12/2018-26907.html https://regulations.justia.com/regulations/fedreg/2018/12/12/2018-26907.html Wed, 12 Dec 2018 00:00:00 -0800 2018-26907 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-12-12/pdf/2018-26907.pdf Notice - Submission for OMB Review; Comment Request https://regulations.justia.com/regulations/fedreg/2018/12/12/2018-26851.html https://regulations.justia.com/regulations/fedreg/2018/12/12/2018-26851.html Wed, 12 Dec 2018 00:00:00 -0800 2018-26851 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-12-12/pdf/2018-26851.pdf 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) https://regulations.justia.com/regulations/fedreg/2018/12/12/2018-26837.html https://regulations.justia.com/regulations/fedreg/2018/12/12/2018-26837.html Wed, 12 Dec 2018 00:00:00 -0800 2018-26837 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-12-12/pdf/2018-26837.pdf 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 https://regulations.justia.com/regulations/fedreg/2018/12/12/2018-26836.html https://regulations.justia.com/regulations/fedreg/2018/12/12/2018-26836.html Wed, 12 Dec 2018 00:00:00 -0800 2018-26836 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-12-12/pdf/2018-26836.pdf 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 https://regulations.justia.com/regulations/fedreg/2018/12/12/2018-26835.html https://regulations.justia.com/regulations/fedreg/2018/12/12/2018-26835.html Wed, 12 Dec 2018 00:00:00 -0800 2018-26835 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-12-12/pdf/2018-26835.pdf 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 https://regulations.justia.com/regulations/fedreg/2018/12/12/2018-26834.html https://regulations.justia.com/regulations/fedreg/2018/12/12/2018-26834.html Wed, 12 Dec 2018 00:00:00 -0800 2018-26834 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-12-12/pdf/2018-26834.pdf 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 https://regulations.justia.com/regulations/fedreg/2018/12/12/2018-26833.html https://regulations.justia.com/regulations/fedreg/2018/12/12/2018-26833.html Wed, 12 Dec 2018 00:00:00 -0800 2018-26833 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-12-12/pdf/2018-26833.pdf 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) https://regulations.justia.com/regulations/fedreg/2018/12/12/2018-26832.html https://regulations.justia.com/regulations/fedreg/2018/12/12/2018-26832.html Wed, 12 Dec 2018 00:00:00 -0800 2018-26832 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-12-12/pdf/2018-26832.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 510, Minimum Price Variations and Minimum Trading Increments, To Adopt Interpretations and Policies .03 https://regulations.justia.com/regulations/fedreg/2018/12/12/2018-26831.html https://regulations.justia.com/regulations/fedreg/2018/12/12/2018-26831.html Wed, 12 Dec 2018 00:00:00 -0800 2018-26831 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-12-12/pdf/2018-26831.pdf 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) https://regulations.justia.com/regulations/fedreg/2018/12/12/2018-26830.html https://regulations.justia.com/regulations/fedreg/2018/12/12/2018-26830.html Wed, 12 Dec 2018 00:00:00 -0800 2018-26830 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-12-12/pdf/2018-26830.pdf Notice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Designation of a Longer Period for Commission Action on Proceedings To Determine Whether To Approve or Disapprove a Proposed Rule Change Regarding Investments of the REX BKCM ETF https://regulations.justia.com/regulations/fedreg/2018/12/12/2018-26829.html https://regulations.justia.com/regulations/fedreg/2018/12/12/2018-26829.html Wed, 12 Dec 2018 00:00:00 -0800 2018-26829 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-12-12/pdf/2018-26829.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 SolidX Bitcoin Shares Issued by the VanEck SolidX Bitcoin Trust https://regulations.justia.com/regulations/fedreg/2018/12/12/2018-26828.html https://regulations.justia.com/regulations/fedreg/2018/12/12/2018-26828.html Wed, 12 Dec 2018 00:00:00 -0800 2018-26828 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-12-12/pdf/2018-26828.pdf Notice - Self-Regulatory Organizations; Nasdaq GEMX, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Bid/Ask Differentials https://regulations.justia.com/regulations/fedreg/2018/12/12/2018-26827.html https://regulations.justia.com/regulations/fedreg/2018/12/12/2018-26827.html Wed, 12 Dec 2018 00:00:00 -0800 2018-26827 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-12-12/pdf/2018-26827.pdf Notice - Self-Regulatory Organizations; Nasdaq ISE, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Bid/Ask Differentials https://regulations.justia.com/regulations/fedreg/2018/12/12/2018-26826.html https://regulations.justia.com/regulations/fedreg/2018/12/12/2018-26826.html Wed, 12 Dec 2018 00:00:00 -0800 2018-26826 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-12-12/pdf/2018-26826.pdf Notice - Self-Regulatory Organizations; Nasdaq MRX, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Bid/Ask Differentials https://regulations.justia.com/regulations/fedreg/2018/12/12/2018-26825.html https://regulations.justia.com/regulations/fedreg/2018/12/12/2018-26825.html Wed, 12 Dec 2018 00:00:00 -0800 2018-26825 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-12-12/pdf/2018-26825.pdf Notice - Self-Regulatory Organizations; Nasdaq PHLX LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Bid/Ask Differentials https://regulations.justia.com/regulations/fedreg/2018/12/12/2018-26824.html https://regulations.justia.com/regulations/fedreg/2018/12/12/2018-26824.html Wed, 12 Dec 2018 00:00:00 -0800 2018-26824 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-12-12/pdf/2018-26824.pdf 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 https://regulations.justia.com/regulations/fedreg/2018/12/12/2018-26823.html https://regulations.justia.com/regulations/fedreg/2018/12/12/2018-26823.html Wed, 12 Dec 2018 00:00:00 -0800 2018-26823 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-12-12/pdf/2018-26823.pdf Notice - Cliffwater Corporate Lending Fund and Cliffwater LLC https://regulations.justia.com/regulations/fedreg/2018/12/12/2018-26797.html https://regulations.justia.com/regulations/fedreg/2018/12/12/2018-26797.html Wed, 12 Dec 2018 00:00:00 -0800 2018-26797 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-12-12/pdf/2018-26797.pdf Notice - Symmetry Panoramic Trust and Symmetry Partners, LLC https://regulations.justia.com/regulations/fedreg/2018/12/12/2018-26795.html https://regulations.justia.com/regulations/fedreg/2018/12/12/2018-26795.html Wed, 12 Dec 2018 00:00:00 -0800 2018-26795 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-12-12/pdf/2018-26795.pdf