Federal Register Recent Federal Regulation Documents - Justia Regulation Tracker - Justia Regulations Trackerhttps://regulations.justia.com/regulations/fedreg/agencies/securities-and-exchange-commission/2018/12?limit=200®isters=between&min-day=1&max-day=31&mode=atom2024-09-09T10:23:44-07:00Justia Inchttps://www.justia.com/Justia Regulations Trackerhttps://regulations.justia.com/images/justiafedregulations.gifCopyright 2011 Justia Inchttps://regulations.justia.com/regulations/fedreg/2018/12/31/2018-28400.htmlNotice - Self-Regulatory Organizations; The Nasdaq Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Eliminate the Extended Life Priority Order Attribute2018-12-31T00:00:00-08:002018-12-31T00:00:00-08:002018-28400Noticehttps://www.govinfo.gov/content/pkg/FR-2018-12-31/pdf/2018-28400.pdfhttps://regulations.justia.com/regulations/fedreg/2018/12/31/2018-28399.htmlNotice - Self-Regulatory Organizations; NYSE American LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Its Options Fee Schedule and Equities Price List To Extend for One Year a Fee Discount for the Partial Cabinet Solution Bundles Offered in Connection With the Exchange's Co-Location Services2018-12-31T00:00:00-08:002018-12-31T00:00:00-08:002018-28399Noticehttps://www.govinfo.gov/content/pkg/FR-2018-12-31/pdf/2018-28399.pdfhttps://regulations.justia.com/regulations/fedreg/2018/12/31/2018-28398.htmlNotice - Self-Regulatory Organizations; Municipal Securities Rulemaking Board; Notice of Filing and Immediate Effectiveness of the Content Outline for the Municipal Advisor Principal Qualification Examination and Its Associated Selection Specifications for the Examination2018-12-31T00:00:00-08:002018-12-31T00:00:00-08:002018-28398Noticehttps://www.govinfo.gov/content/pkg/FR-2018-12-31/pdf/2018-28398.pdfhttps://regulations.justia.com/regulations/fedreg/2018/12/31/2018-28397.htmlNotice - Self-Regulatory Organizations; Cboe BZX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the Halt Auction Process2018-12-31T00:00:00-08:002018-12-31T00:00:00-08:002018-28397Noticehttps://www.govinfo.gov/content/pkg/FR-2018-12-31/pdf/2018-28397.pdfhttps://regulations.justia.com/regulations/fedreg/2018/12/31/2018-28396.htmlNotice - Self-Regulatory Organizations; Cboe BZX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating To Adopt Definitions of Ports and Discontinue Bulk Order Functionality and Implement Bulk Message Functionality2018-12-31T00:00:00-08:002018-12-31T00:00:00-08:002018-28396Noticehttps://www.govinfo.gov/content/pkg/FR-2018-12-31/pdf/2018-28396.pdfhttps://regulations.justia.com/regulations/fedreg/2018/12/31/2018-28395.htmlNotice - Self-Regulatory Organizations; Cboe EDGX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating To Discontinue Bulk Order Functionality and Implement Bulk Message Functionality, and Make Other Nonsubstantive Changes2018-12-31T00:00:00-08:002018-12-31T00:00:00-08:002018-28395Noticehttps://www.govinfo.gov/content/pkg/FR-2018-12-31/pdf/2018-28395.pdfhttps://regulations.justia.com/regulations/fedreg/2018/12/31/2018-28394.htmlNotice - Regulatory Organizations; The Nasdaq Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the Entry Fee for Listing on the Exchange's Global and Global Select Market Tiers2018-12-31T00:00:00-08:002018-12-31T00:00:00-08:002018-28394Noticehttps://www.govinfo.gov/content/pkg/FR-2018-12-31/pdf/2018-28394.pdfhttps://regulations.justia.com/regulations/fedreg/2018/12/31/2018-28393.htmlNotice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing of Proposed Rule Changes Regarding Investments of the iShares Bloomberg Roll Select Commodity Strategy ETF2018-12-31T00:00:00-08:002018-12-31T00:00:00-08:002018-28393Noticehttps://www.govinfo.gov/content/pkg/FR-2018-12-31/pdf/2018-28393.pdfhttps://regulations.justia.com/regulations/fedreg/2018/12/31/2018-28392.htmlNotice - Self-Regulatory Organizations; Nasdaq BX, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend General 82018-12-31T00:00:00-08:002018-12-31T00:00:00-08:002018-28392Noticehttps://www.govinfo.gov/content/pkg/FR-2018-12-31/pdf/2018-28392.pdfhttps://regulations.justia.com/regulations/fedreg/2018/12/31/2018-28391.htmlNotice - Self-Regulatory Organizations; ICE Clear Europe Limited; Notice of Filing of Proposed Rule Change as Modified by Amendment No. 1 Relating to the ICE Clear Europe Model Risk Governance Framework (the “MRGF”)2018-12-31T00:00:00-08:002018-12-31T00:00:00-08:002018-28391Noticehttps://www.govinfo.gov/content/pkg/FR-2018-12-31/pdf/2018-28391.pdfhttps://regulations.justia.com/regulations/fedreg/2018/12/31/2018-28390.htmlNotice - Self-Regulatory Organizations; Nasdaq GEMX, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend General 82018-12-31T00:00:00-08:002018-12-31T00:00:00-08:002018-28390Noticehttps://www.govinfo.gov/content/pkg/FR-2018-12-31/pdf/2018-28390.pdfhttps://regulations.justia.com/regulations/fedreg/2018/12/31/2018-28389.htmlNotice - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Chapter 9 of the NYSE Listed Company Manual Relating to Fees for Business Development Companies2018-12-31T00:00:00-08:002018-12-31T00:00:00-08:002018-28389Noticehttps://www.govinfo.gov/content/pkg/FR-2018-12-31/pdf/2018-28389.pdfhttps://regulations.justia.com/regulations/fedreg/2018/12/31/2018-28387.htmlNotice - Self-Regulatory Organizations; Nasdaq ISE, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend General 82018-12-31T00:00:00-08:002018-12-31T00:00:00-08:002018-28387Noticehttps://www.govinfo.gov/content/pkg/FR-2018-12-31/pdf/2018-28387.pdfhttps://regulations.justia.com/regulations/fedreg/2018/12/31/2018-28386.htmlNotice - Self-Regulatory Organizations; Nasdaq PHLX LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend General 82018-12-31T00:00:00-08:002018-12-31T00:00:00-08:002018-28386Noticehttps://www.govinfo.gov/content/pkg/FR-2018-12-31/pdf/2018-28386.pdfhttps://regulations.justia.com/regulations/fedreg/2018/12/31/2018-28385.htmlNotice - Self-Regulatory Organizations; The Options Clearing Corporation; Notice of Filing of Proposed Rule Change Concerning Changes to The Options Clearing Corporation's Management Structure2018-12-31T00:00:00-08:002018-12-31T00:00:00-08:002018-28385Noticehttps://www.govinfo.gov/content/pkg/FR-2018-12-31/pdf/2018-28385.pdfhttps://regulations.justia.com/regulations/fedreg/2018/12/31/2018-28384.htmlNotice - Self-Regulatory Organizations; Cboe Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to the Penny Pilot Program2018-12-31T00:00:00-08:002018-12-31T00:00:00-08:002018-28384Noticehttps://www.govinfo.gov/content/pkg/FR-2018-12-31/pdf/2018-28384.pdfhttps://regulations.justia.com/regulations/fedreg/2018/12/31/2018-28383.htmlNotice - Self-Regulatory Organizations; Nasdaq MRX, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend General 82018-12-31T00:00:00-08:002018-12-31T00:00:00-08:002018-28383Noticehttps://www.govinfo.gov/content/pkg/FR-2018-12-31/pdf/2018-28383.pdfhttps://regulations.justia.com/regulations/fedreg/2018/12/31/2018-28382.htmlNotice - 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 JPMorgan Inflation Managed Bond ETF of the J.P. Morgan Exchange-Traded Fund Trust Under Rule 14.11(i), Managed Fund Shares2018-12-31T00:00:00-08:002018-12-31T00:00:00-08:002018-28382Noticehttps://www.govinfo.gov/content/pkg/FR-2018-12-31/pdf/2018-28382.pdfhttps://regulations.justia.com/regulations/fedreg/2018/12/31/2018-28381.htmlNotice - Self-Regulatory Organizations; Cboe BZX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To List and Trade, Under BZX Rule 14.11(c)(4), Shares of the VanEck Vectors Short High-Yield Municipal Index ETF of the VanEck Vectors ETF Trust2018-12-31T00:00:00-08:002018-12-31T00:00:00-08:002018-28381Noticehttps://www.govinfo.gov/content/pkg/FR-2018-12-31/pdf/2018-28381.pdfhttps://regulations.justia.com/regulations/fedreg/2018/12/31/2018-28380.htmlNotice - Self-Regulatory Organizations; Cboe EDGX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Rule 21.5, Minimum Increments, To Extend the Penny Pilot Program2018-12-31T00:00:00-08:002018-12-31T00:00:00-08:002018-28380Noticehttps://www.govinfo.gov/content/pkg/FR-2018-12-31/pdf/2018-28380.pdfhttps://regulations.justia.com/regulations/fedreg/2018/12/31/2018-28379.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, as Modified by Amendment No. 1, To Amend BZX Rule 14.11(c) (Index Fund Shares)2018-12-31T00:00:00-08:002018-12-31T00:00:00-08:002018-28379Noticehttps://www.govinfo.gov/content/pkg/FR-2018-12-31/pdf/2018-28379.pdfhttps://regulations.justia.com/regulations/fedreg/2018/12/31/2018-28378.htmlNotice - Self-Regulatory Organizations; The Depository Trust Company; Fixed Income Clearing Corporation; National Securities Clearing Corporation; Notice of Filing and Immediate Effectiveness of Proposed Rule Changes To Revise the Clearing Agency Investment Policy2018-12-31T00:00:00-08:002018-12-31T00:00:00-08:002018-28378Noticehttps://www.govinfo.gov/content/pkg/FR-2018-12-31/pdf/2018-28378.pdfhttps://regulations.justia.com/regulations/fedreg/2018/12/31/2018-28377.htmlNotice - Self-Regulatory Organizations; Miami International Securities Exchange LLC; Notice of Designation of Longer Period for Commission Action on Proposed Rule Change To Amend Exchange Rule 518, Complex Orders2018-12-31T00:00:00-08:002018-12-31T00:00:00-08:002018-28377Noticehttps://www.govinfo.gov/content/pkg/FR-2018-12-31/pdf/2018-28377.pdfhttps://regulations.justia.com/regulations/fedreg/2018/12/31/2018-28376.htmlNotice - Self-Regulatory Organizations; Fixed Income Clearing Corporation; Notice of Filing of Proposed Rule Change To Expand Sponsoring Member Eligibility in the Government Securities Division Rulebook and Make Other Changes2018-12-31T00:00:00-08:002018-12-31T00:00:00-08:002018-28376Noticehttps://www.govinfo.gov/content/pkg/FR-2018-12-31/pdf/2018-28376.pdfhttps://regulations.justia.com/regulations/fedreg/2018/12/28/2018-28318.htmlNotice - Hercules Capital, Inc.2018-12-28T00:00:00-08:002018-12-28T00:00:00-08:002018-28318Noticehttps://www.govinfo.gov/content/pkg/FR-2018-12-28/pdf/2018-28318.pdfhttps://regulations.justia.com/regulations/fedreg/2018/12/28/2018-28316.htmlNotice - Proposed Collection; Comment Request2018-12-28T00:00:00-08:002018-12-28T00:00:00-08:002018-28316Noticehttps://www.govinfo.gov/content/pkg/FR-2018-12-28/pdf/2018-28316.pdfhttps://regulations.justia.com/regulations/fedreg/2018/12/28/2018-28315.htmlNotice - Proposed Collection; Comment Request2018-12-28T00:00:00-08:002018-12-28T00:00:00-08:002018-28315Noticehttps://www.govinfo.gov/content/pkg/FR-2018-12-28/pdf/2018-28315.pdfhttps://regulations.justia.com/regulations/fedreg/2018/12/28/2018-28314.htmlNotice - Fixed Income Market Structure Advisory Committee2018-12-28T00:00:00-08:002018-12-28T00:00:00-08:002018-28314Noticehttps://www.govinfo.gov/content/pkg/FR-2018-12-28/pdf/2018-28314.pdfhttps://regulations.justia.com/regulations/fedreg/2018/12/28/2018-28300.htmlNotice - AQR Trust and AQR Capital Management, LLC; Notice of Application2018-12-28T00:00:00-08:002018-12-28T00:00:00-08:002018-28300Noticehttps://www.govinfo.gov/content/pkg/FR-2018-12-28/pdf/2018-28300.pdfhttps://regulations.justia.com/regulations/fedreg/2018/12/28/2018-28291.htmlNotice - AQR Trust and AQR Capital Management, LLC; Notice of Application2018-12-28T00:00:00-08:002018-12-28T00:00:00-08:002018-28291Noticehttps://www.govinfo.gov/content/pkg/FR-2018-12-28/pdf/2018-28291.pdfhttps://regulations.justia.com/regulations/fedreg/2018/12/28/2018-28200.htmlNotice - TigerShares Trust, et al.; Notice of Application2018-12-28T00:00:00-08:002018-12-28T00:00:00-08:002018-28200Noticehttps://www.govinfo.gov/content/pkg/FR-2018-12-28/pdf/2018-28200.pdfhttps://regulations.justia.com/regulations/fedreg/2018/12/28/2018-28199.htmlNotice - Self-Regulatory Organizations; BOX Exchange LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Rule 70502018-12-28T00:00:00-08:002018-12-28T00:00:00-08:002018-28199Noticehttps://www.govinfo.gov/content/pkg/FR-2018-12-28/pdf/2018-28199.pdfhttps://regulations.justia.com/regulations/fedreg/2018/12/28/2018-28198.htmlNotice - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend FINRA Rules 7610A and 7620A To Modify Certain Fees and Credits Applicable to FINRA/Nasdaq TRF Retail Participants2018-12-28T00:00:00-08:002018-12-28T00:00:00-08:002018-28198Noticehttps://www.govinfo.gov/content/pkg/FR-2018-12-28/pdf/2018-28198.pdfhttps://regulations.justia.com/regulations/fedreg/2018/12/28/2018-28197.htmlNotice - Self-Regulatory Organizations; Miami International Securities Exchange LLC; Notice of Designation of Longer Period for Commission Action on Proposed Rule Change To Amend Exchange Rule 100, Definitions; Rule 515, Execution of Orders and Quotes; and Rule 503, Openings on the Exchange2018-12-28T00:00:00-08:002018-12-28T00:00:00-08:002018-28197Noticehttps://www.govinfo.gov/content/pkg/FR-2018-12-28/pdf/2018-28197.pdfhttps://regulations.justia.com/regulations/fedreg/2018/12/28/2018-28196.htmlNotice - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Its Price List Regarding Certain Bond Trading License Fee Waivers2018-12-28T00:00:00-08:002018-12-28T00:00:00-08:002018-28196Noticehttps://www.govinfo.gov/content/pkg/FR-2018-12-28/pdf/2018-28196.pdfhttps://regulations.justia.com/regulations/fedreg/2018/12/28/2018-28195.htmlNotice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Its Options Fees and Charges and Equities Fees and Charges To Extend for One Year a Fee Discount for the Partial Cabinet Solution Bundles Offered in Connection With the Exchange's Co-Location Services2018-12-28T00:00:00-08:002018-12-28T00:00:00-08:002018-28195Noticehttps://www.govinfo.gov/content/pkg/FR-2018-12-28/pdf/2018-28195.pdfhttps://regulations.justia.com/regulations/fedreg/2018/12/28/2018-28194.htmlNotice - Self-Regulatory Organizations; Nasdaq ISE, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Supplementary Material .02 to Rule 7152018-12-28T00:00:00-08:002018-12-28T00:00:00-08:002018-28194Noticehttps://www.govinfo.gov/content/pkg/FR-2018-12-28/pdf/2018-28194.pdfhttps://regulations.justia.com/regulations/fedreg/2018/12/28/2018-28193.htmlNotice - Self-Regulatory Organizations; Chicago Stock Exchange, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Regarding Qualification, Registration and Continuing Education Requirements Applicable to Participants2018-12-28T00:00:00-08:002018-12-28T00:00:00-08:002018-28193Noticehttps://www.govinfo.gov/content/pkg/FR-2018-12-28/pdf/2018-28193.pdfhttps://regulations.justia.com/regulations/fedreg/2018/12/28/2018-28192.htmlNotice - Self-Regulatory Organizations; NYSE National, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Its Schedule of Fees and Rebates To Extend for One Year a Fee Discount for the Partial Cabinet Solution Bundles Offered in Connection With the Exchange's Co-Location Services2018-12-28T00:00:00-08:002018-12-28T00:00:00-08:002018-28192Noticehttps://www.govinfo.gov/content/pkg/FR-2018-12-28/pdf/2018-28192.pdfhttps://regulations.justia.com/regulations/fedreg/2018/12/28/2018-28191.htmlNotice - Self-Regulatory Organizations; The Depository Trust Company; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Revise the Service Guide for the Canadian-Link Service2018-12-28T00:00:00-08:002018-12-28T00:00:00-08:002018-28191Noticehttps://www.govinfo.gov/content/pkg/FR-2018-12-28/pdf/2018-28191.pdfhttps://regulations.justia.com/regulations/fedreg/2018/12/28/2018-28190.htmlNotice - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Its Price List To Extend for One Year a Fee Discount for the Partial Cabinet Solution Bundles Offered in Connection With the Exchange's Co-Location Services2018-12-28T00:00:00-08:002018-12-28T00:00:00-08:002018-28190Noticehttps://www.govinfo.gov/content/pkg/FR-2018-12-28/pdf/2018-28190.pdfhttps://regulations.justia.com/regulations/fedreg/2018/12/28/2018-28189.htmlNotice - Self-Regulatory Organizations; ICE Clear Europe Limited; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Adopt Revised Clearing Fees2018-12-28T00:00:00-08:002018-12-28T00:00:00-08:002018-28189Noticehttps://www.govinfo.gov/content/pkg/FR-2018-12-28/pdf/2018-28189.pdfhttps://regulations.justia.com/regulations/fedreg/2018/12/28/2018-28186.htmlNotice - Self-Regulatory Organizations; ICE Clear Credit LLC; Notice of Filing of Proposed Rule Change Relating to ICC's New Initiatives Approval Policy and Procedural Framework2018-12-28T00:00:00-08:002018-12-28T00:00:00-08:002018-28186Noticehttps://www.govinfo.gov/content/pkg/FR-2018-12-28/pdf/2018-28186.pdfhttps://regulations.justia.com/regulations/fedreg/2018/12/28/2018-28185.htmlNotice - Self-Regulatory Organizations; Miami International Securities Exchange LLC; Notice of Designation of Longer Period for Commission Action on Proposed Rule Change To Amend Exchange Rule 519, MIAX Order Monitor; Exchange Rule 519A, Risk Protection Monitor; and Rule 517, Quote Types Defined2018-12-28T00:00:00-08:002018-12-28T00:00:00-08:002018-28185Noticehttps://www.govinfo.gov/content/pkg/FR-2018-12-28/pdf/2018-28185.pdfhttps://regulations.justia.com/regulations/fedreg/2018/12/28/2018-28184.htmlNotice - Self-Regulatory Organizations; MIAX PEARL, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Exchange Rule 519, MIAX PEARL Order Monitor2018-12-28T00:00:00-08:002018-12-28T00:00:00-08:002018-28184Noticehttps://www.govinfo.gov/content/pkg/FR-2018-12-28/pdf/2018-28184.pdfhttps://regulations.justia.com/regulations/fedreg/2018/12/28/2018-28183.htmlNotice - Self-Regulatory Organizations; NYSE National, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Change To Make Non-Substantive Changes to Its Certificate of Incorporation2018-12-28T00:00:00-08:002018-12-28T00:00:00-08:002018-28183Noticehttps://www.govinfo.gov/content/pkg/FR-2018-12-28/pdf/2018-28183.pdfhttps://regulations.justia.com/regulations/fedreg/2018/12/28/2018-28182.htmlNotice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating To Listing and Trading of Shares of iShares Gold Trust Micro Under NYSE Arca Rule 8.201-E2018-12-28T00:00:00-08:002018-12-28T00:00:00-08:002018-28182Noticehttps://www.govinfo.gov/content/pkg/FR-2018-12-28/pdf/2018-28182.pdfhttps://regulations.justia.com/regulations/fedreg/2018/12/28/2018-28181.htmlNotice - Self-Regulatory Organizations; The Nasdaq Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the Exchange's All-Inclusive Annual Listing Fees for American Depositary Receipts2018-12-28T00:00:00-08:002018-12-28T00:00:00-08:002018-28181Noticehttps://www.govinfo.gov/content/pkg/FR-2018-12-28/pdf/2018-28181.pdfhttps://regulations.justia.com/regulations/fedreg/2018/12/28/2018-28180.htmlNotice - Self-Regulatory Organizations; The Options Clearing Corporation; Order Approving Proposed Rule Change, as Modified by Partial Amendment No. 1, Related to The Options Clearing Corporation's Margin Methodology for Incorporating Variations in Implied Volatility2018-12-28T00:00:00-08:002018-12-28T00:00:00-08:002018-28180Noticehttps://www.govinfo.gov/content/pkg/FR-2018-12-28/pdf/2018-28180.pdfhttps://regulations.justia.com/regulations/fedreg/2018/12/28/2018-28179.htmlNotice - In the Matter of the Application of MIAX EMERALD, LLC for Registration as a National Securities Exchange; Findings, Opinion, and Order of the Commission2018-12-28T00:00:00-08:002018-12-28T00:00:00-08:002018-28179Noticehttps://www.govinfo.gov/content/pkg/FR-2018-12-28/pdf/2018-28179.pdfhttps://regulations.justia.com/regulations/fedreg/2018/12/27/C1-2018-26405.htmlNotice - Self-Regulatory Organizations; Nasdaq ISE, LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Supplementary Material .07 to ISE Rule 7222018-12-27T00:00:00-08:002018-12-27T00:00:00-08:00C1-2018-26405Noticehttps://www.govinfo.gov/content/pkg/FR-2018-12-27/pdf/C1-2018-26405.pdfhttps://regulations.justia.com/regulations/fedreg/2018/12/27/C1-2018-26400.htmlNotice - Self-Regulatory Organizations; The Nasdaq Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Relocate the Exchange's Pricing Schedule2018-12-27T00:00:00-08:002018-12-27T00:00:00-08:00C1-2018-26400Noticehttps://www.govinfo.gov/content/pkg/FR-2018-12-27/pdf/C1-2018-26400.pdfhttps://regulations.justia.com/regulations/fedreg/2018/12/27/C1-2018-26399.htmlNotice - Self-Regulatory Organizations; Cboe EDGA Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating To Eliminate the Liquidity Swap Component of the Discretionary Range Instruction2018-12-27T00:00:00-08:002018-12-27T00:00:00-08:00C1-2018-26399Noticehttps://www.govinfo.gov/content/pkg/FR-2018-12-27/pdf/C1-2018-26399.pdfhttps://regulations.justia.com/regulations/fedreg/2018/12/27/C1-2018-26396.htmlNotice - Self-Regulatory Organizations; Nasdaq PHLX LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the Pilot Period for the Listing of P.M.-Settled Nasdaq-100 Index Options Expiring on the Third Friday of the Month2018-12-27T00:00:00-08:002018-12-27T00:00:00-08:00C1-2018-26396Noticehttps://www.govinfo.gov/content/pkg/FR-2018-12-27/pdf/C1-2018-26396.pdfhttps://regulations.justia.com/regulations/fedreg/2018/12/27/2018-28008.htmlNotice - Self-Regulatory Organizations; The Options Clearing Corporation; Notice of No Objection to Advance Notice, as Modified by Partial Amendment No. 1, Related to The Options Clearing Corporation's Margin Methodology for Incorporating Variations in Implied Volatility2018-12-27T00:00:00-08:002018-12-27T00:00:00-08:002018-28008Noticehttps://www.govinfo.gov/content/pkg/FR-2018-12-27/pdf/2018-28008.pdfhttps://regulations.justia.com/regulations/fedreg/2018/12/27/2018-28007.htmlNotice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Changes Relating to ProShares Ultra Gold, ProShares UltraShort Gold, ProShares Ultra Silver, and ProShares UltraShort Silver2018-12-27T00:00:00-08:002018-12-27T00:00:00-08:002018-28007Noticehttps://www.govinfo.gov/content/pkg/FR-2018-12-27/pdf/2018-28007.pdfhttps://regulations.justia.com/regulations/fedreg/2018/12/27/2018-28006.htmlNotice - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Section 902.02 of the NYSE Listed Company Manual To Modify the Investment Management Entity Group Fee Discount2018-12-27T00:00:00-08:002018-12-27T00:00:00-08:002018-28006Noticehttps://www.govinfo.gov/content/pkg/FR-2018-12-27/pdf/2018-28006.pdfhttps://regulations.justia.com/regulations/fedreg/2018/12/27/2018-28005.htmlNotice - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Make Technical Revisions and One Minor Correction to the Supplemental Statement of Income Required To Be Filed Pursuant to FINRA Rule 4524 (Supplemental FOCUS Information)2018-12-27T00:00:00-08:002018-12-27T00:00:00-08:002018-28005Noticehttps://www.govinfo.gov/content/pkg/FR-2018-12-27/pdf/2018-28005.pdfhttps://regulations.justia.com/regulations/fedreg/2018/12/27/2018-28004.htmlNotice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change of Amendments to Delete References to the Term “Allied Person” From Exchange Rules2018-12-27T00:00:00-08:002018-12-27T00:00:00-08:002018-28004Noticehttps://www.govinfo.gov/content/pkg/FR-2018-12-27/pdf/2018-28004.pdfhttps://regulations.justia.com/regulations/fedreg/2018/12/27/2018-28003.htmlNotice - Self-Regulatory Organizations; Nasdaq ISE, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Market Makers Trading in Non-Appointed Options Classes2018-12-27T00:00:00-08:002018-12-27T00:00:00-08:002018-28003Noticehttps://www.govinfo.gov/content/pkg/FR-2018-12-27/pdf/2018-28003.pdfhttps://regulations.justia.com/regulations/fedreg/2018/12/27/2018-28002.htmlNotice - Self-Regulatory Organizations; The Nasdaq Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the Order Price Protection2018-12-27T00:00:00-08:002018-12-27T00:00:00-08:002018-28002Noticehttps://www.govinfo.gov/content/pkg/FR-2018-12-27/pdf/2018-28002.pdfhttps://regulations.justia.com/regulations/fedreg/2018/12/27/2018-28001.htmlNotice - Self-Regulatory Organizations; Nasdaq GEMX, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Market Makers Trading in Non-Appointed Options Classes2018-12-27T00:00:00-08:002018-12-27T00:00:00-08:002018-28001Noticehttps://www.govinfo.gov/content/pkg/FR-2018-12-27/pdf/2018-28001.pdfhttps://regulations.justia.com/regulations/fedreg/2018/12/27/2018-28000.htmlNotice - Self-Regulatory Organizations; Nasdaq MRX, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Market Makers Trading in Non-Appointed Options Classes2018-12-27T00:00:00-08:002018-12-27T00:00:00-08:002018-28000Noticehttps://www.govinfo.gov/content/pkg/FR-2018-12-27/pdf/2018-28000.pdfhttps://regulations.justia.com/regulations/fedreg/2018/12/27/2018-27999.htmlNotice - Self-Regulatory Organizations; NYSE Arca, Inc.; Order Instituting Proceedings To Determine Whether To Approve or Disapprove a 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)2018-12-27T00:00:00-08:002018-12-27T00:00:00-08:002018-27999Noticehttps://www.govinfo.gov/content/pkg/FR-2018-12-27/pdf/2018-27999.pdfhttps://regulations.justia.com/regulations/fedreg/2018/12/27/2018-27998.htmlNotice - Self-Regulatory Organizations: Notice of Filing and Immediate Effectiveness of a Proposed Rule Change by Miami International Securities Exchange, LLC To Amend Exchange Rule 510, Minimum Price Variations and Minimum Trading Increments To Extend the Penny Pilot Program2018-12-27T00:00:00-08:002018-12-27T00:00:00-08:002018-27998Noticehttps://www.govinfo.gov/content/pkg/FR-2018-12-27/pdf/2018-27998.pdfhttps://regulations.justia.com/regulations/fedreg/2018/12/27/2018-27997.htmlNotice - Self-Regulatory Organizations: Notice of Filing and Immediate Effectiveness of a Proposed Rule Change by MIAX PEARL, LLC To Amend Exchange Rule 510, Minimum Price Variations and Minimum Trading Increments To Extend the Penny Pilot Program2018-12-27T00:00:00-08:002018-12-27T00:00:00-08:002018-27997Noticehttps://www.govinfo.gov/content/pkg/FR-2018-12-27/pdf/2018-27997.pdfhttps://regulations.justia.com/regulations/fedreg/2018/12/27/2018-27996.htmlNotice - Self-Regulatory Organizations; Cboe C2 Exchange, Inc.; Notice of Designation of a Longer Period for Commission Action on a Proposed Rule Change To Adopt Complex Reserve Order Functionality2018-12-27T00:00:00-08:002018-12-27T00:00:00-08:002018-27996Noticehttps://www.govinfo.gov/content/pkg/FR-2018-12-27/pdf/2018-27996.pdfhttps://regulations.justia.com/regulations/fedreg/2018/12/27/2018-27995.htmlNotice - Timothy Plan and Timothy Partners, Ltd.2018-12-27T00:00:00-08:002018-12-27T00:00:00-08:002018-27995Noticehttps://www.govinfo.gov/content/pkg/FR-2018-12-27/pdf/2018-27995.pdfhttps://regulations.justia.com/regulations/fedreg/2018/12/27/2018-27994.htmlNotice - Self-Regulatory Organizations; Cboe EDGX Exchange, Inc.; Notice of Designation of a Longer Period for Commission Action on a Proposed Rule Change To Adopt Complex Reserve Order Functionality2018-12-27T00:00:00-08:002018-12-27T00:00:00-08:002018-27994Noticehttps://www.govinfo.gov/content/pkg/FR-2018-12-27/pdf/2018-27994.pdfhttps://regulations.justia.com/regulations/fedreg/2018/12/27/2018-27993.htmlNotice - Self-Regulatory Organizations; BOX Exchange LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To amend Rule 7260 by Extending the Penny Pilot Program Through June 30, 20192018-12-27T00:00:00-08:002018-12-27T00:00:00-08:002018-27993Noticehttps://www.govinfo.gov/content/pkg/FR-2018-12-27/pdf/2018-27993.pdfhttps://regulations.justia.com/regulations/fedreg/2018/12/27/2018-27992.htmlNotice - Self-Regulatory Organizations; NYSE American LLC; Order Instituting Proceedings To Determine Whether To Approve or Disapprove 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 Cash2018-12-27T00:00:00-08:002018-12-27T00:00:00-08:002018-27992Noticehttps://www.govinfo.gov/content/pkg/FR-2018-12-27/pdf/2018-27992.pdfhttps://regulations.justia.com/regulations/fedreg/2018/12/27/2018-27991.htmlNotice - Self-Regulatory Organizations; NYSE American LLC.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Commentary .02 to Rule 960NY in Order to Extend the Penny Pilot in Options Classes in Certain Issues Through June 30, 20192018-12-27T00:00:00-08:002018-12-27T00:00:00-08:002018-27991Noticehttps://www.govinfo.gov/content/pkg/FR-2018-12-27/pdf/2018-27991.pdfhttps://regulations.justia.com/regulations/fedreg/2018/12/27/2018-27990.htmlNotice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Reflecting Changes to Certain Representations Relating to the Horizons S&P 500 Covered Call ETF2018-12-27T00:00:00-08:002018-12-27T00:00:00-08:002018-27990Noticehttps://www.govinfo.gov/content/pkg/FR-2018-12-27/pdf/2018-27990.pdfhttps://regulations.justia.com/regulations/fedreg/2018/12/27/2018-27989.htmlNotice - Self-Regulatory Organizations; NYSE Arca Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Commentary .02 to Rule 6.72-O in Order To Extend the Penny Pilot in Options Classes in Certain Issues Through June 30, 20192018-12-27T00:00:00-08:002018-12-27T00:00:00-08:002018-27989Noticehttps://www.govinfo.gov/content/pkg/FR-2018-12-27/pdf/2018-27989.pdfhttps://regulations.justia.com/regulations/fedreg/2018/12/27/2018-27988.htmlNotice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Modify the NYSE Arca Options Fee Schedule in Conjunction With Relocating the Trading Floor to a New Trading Facility2018-12-27T00:00:00-08:002018-12-27T00:00:00-08:002018-27988Noticehttps://www.govinfo.gov/content/pkg/FR-2018-12-27/pdf/2018-27988.pdfhttps://regulations.justia.com/regulations/fedreg/2018/12/27/2018-27987.htmlNotice - Self-Regulatory Organizations; Chicago Stock Exchange, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Article 14 of the Rules of the Exchange Related to Arbitration Proceedings2018-12-27T00:00:00-08:002018-12-27T00:00:00-08:002018-27987Noticehttps://www.govinfo.gov/content/pkg/FR-2018-12-27/pdf/2018-27987.pdfhttps://regulations.justia.com/regulations/fedreg/2018/12/27/2018-27986.htmlNotice - Self-Regulatory Organizations; Chicago Stock Exchange, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Decommission the Exchange's Outbound Routing Service and the Sub-Second Non-Displayed Auction Process2018-12-27T00:00:00-08:002018-12-27T00:00:00-08:002018-27986Noticehttps://www.govinfo.gov/content/pkg/FR-2018-12-27/pdf/2018-27986.pdfhttps://regulations.justia.com/regulations/fedreg/2018/12/27/2018-27985.htmlNotice - RYZZ Capital Management, LLC, et al.2018-12-27T00:00:00-08:002018-12-27T00:00:00-08:002018-27985Noticehttps://www.govinfo.gov/content/pkg/FR-2018-12-27/pdf/2018-27985.pdfhttps://regulations.justia.com/regulations/fedreg/2018/12/27/2018-27984.htmlNotice - OSI ETF Trust, et al.2018-12-27T00:00:00-08:002018-12-27T00:00:00-08:002018-27984Noticehttps://www.govinfo.gov/content/pkg/FR-2018-12-27/pdf/2018-27984.pdfhttps://regulations.justia.com/regulations/fedreg/2018/12/27/2018-27978.htmlNotice - Order Approving Public Company Accounting Oversight Board Budget and Annual Accounting Support Fee for Calendar Year 20192018-12-27T00:00:00-08:002018-12-27T00:00:00-08:002018-27978Noticehttps://www.govinfo.gov/content/pkg/FR-2018-12-27/pdf/2018-27978.pdfhttps://regulations.justia.com/regulations/fedreg/2018/12/26/2018-27827.htmlRule - Adoption of Updated EDGAR Filer Manual2018-12-26T00:00:00-08:002018-12-26T00:00:00-08:002018-27827Rulehttps://www.govinfo.gov/content/pkg/FR-2018-12-26/pdf/2018-27827.pdfhttps://regulations.justia.com/regulations/fedreg/2018/12/26/2018-27822.htmlNotice - Self-Regulatory Organizations; Nasdaq BX, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Extend the Pilot Period for the Exchange's Retail Price Improvement Program Until June 30, 20192018-12-26T00:00:00-08:002018-12-26T00:00:00-08:002018-27822Noticehttps://www.govinfo.gov/content/pkg/FR-2018-12-26/pdf/2018-27822.pdfhttps://regulations.justia.com/regulations/fedreg/2018/12/26/2018-27821.htmlNotice - Self-Regulatory Organizations; Nasdaq BX, Inc.; Order Granting an Extension to Limited Exemptions From Rule 612(c) of Regulation NMS In Connection With the Exchange's Retail Price Improvement Program Until June 30, 20192018-12-26T00:00:00-08:002018-12-26T00:00:00-08:002018-27821Noticehttps://www.govinfo.gov/content/pkg/FR-2018-12-26/pdf/2018-27821.pdfhttps://regulations.justia.com/regulations/fedreg/2018/12/26/2018-27820.htmlNotice - Self-Regulatory Organization; Cboe BYX Exchange, Inc.; Order Granting an Extension to Limited Exemption From Rule 612(c) of Regulation NMS in Connection With the Exchange's Retail Price Improvement Program2018-12-26T00:00:00-08:002018-12-26T00:00:00-08:002018-27820Noticehttps://www.govinfo.gov/content/pkg/FR-2018-12-26/pdf/2018-27820.pdfhttps://regulations.justia.com/regulations/fedreg/2018/12/26/2018-27819.htmlNotice - Joint Industry Plan; Notice of Filing of the Eighteenth Amendment to the National Market System Plan To Address Extraordinary Market Volatility by Cboe BYX Exchange, Inc., Cboe BZX Exchange, Inc., Cboe EDGA Exchange, Inc., Cboe EDGX Exchange, Inc., Chicago Stock Exchange, Inc., Financial Industry Regulatory Authority, Inc., Investors Exchange LLC, NASDAQ BX, Inc., NASDAQ PHLX LLC, The Nasdaq Stock Market LLC, NYSE National, Inc., New York Stock Exchange LLC, NYSE American LLC, and NYSE Arca, Inc.2018-12-26T00:00:00-08:002018-12-26T00:00:00-08:002018-27819Noticehttps://www.govinfo.gov/content/pkg/FR-2018-12-26/pdf/2018-27819.pdfhttps://regulations.justia.com/regulations/fedreg/2018/12/26/2018-27816.htmlNotice - Self-Regulatory Organizations; Cboe BZX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the Fee Schedule2018-12-26T00:00:00-08:002018-12-26T00:00:00-08:002018-27816Noticehttps://www.govinfo.gov/content/pkg/FR-2018-12-26/pdf/2018-27816.pdfhttps://regulations.justia.com/regulations/fedreg/2018/12/26/2018-26337.htmlRule - Modernization of Property Disclosures for Mining Registrants2018-12-26T00:00:00-08:002018-12-26T00:00:00-08:002018-26337Rulehttps://www.govinfo.gov/content/pkg/FR-2018-12-26/pdf/2018-26337.pdfhttps://regulations.justia.com/regulations/fedreg/2018/12/21/2018-27829.htmlNotice - Sunshine Act Meetings2018-12-21T00:00:00-08:002018-12-21T00:00:00-08:002018-27829Noticehttps://www.govinfo.gov/content/pkg/FR-2018-12-21/pdf/2018-27829.pdfhttps://regulations.justia.com/regulations/fedreg/2018/12/21/2018-27663.htmlProposed Rule - Request for Comment on Earnings Releases and Quarterly Reports2018-12-21T00:00:00-08:002018-12-21T00:00:00-08:002018-27663Proposed Rulehttps://www.govinfo.gov/content/pkg/FR-2018-12-21/pdf/2018-27663.pdfhttps://regulations.justia.com/regulations/fedreg/2018/12/21/2018-27628.htmlNotice - Ai Funds, Inc. and Deep A.I. ETF Trust2018-12-21T00:00:00-08:002018-12-21T00:00:00-08:002018-27628Noticehttps://www.govinfo.gov/content/pkg/FR-2018-12-21/pdf/2018-27628.pdfhttps://regulations.justia.com/regulations/fedreg/2018/12/21/2018-27621.htmlNotice - Self-Regulatory Organizations; Nasdaq BX, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the Exchange's Transaction Fees at Equity 7, Section 1182018-12-21T00:00:00-08:002018-12-21T00:00:00-08:002018-27621Noticehttps://www.govinfo.gov/content/pkg/FR-2018-12-21/pdf/2018-27621.pdfhttps://regulations.justia.com/regulations/fedreg/2018/12/21/2018-27619.htmlNotice - Self-Regulatory Organizations; ICE Clear Europe Limited; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Amendments to the Business Continuity Procedures (the “Business Continuity Procedures”)2018-12-21T00:00:00-08:002018-12-21T00:00:00-08:002018-27619Noticehttps://www.govinfo.gov/content/pkg/FR-2018-12-21/pdf/2018-27619.pdfhttps://regulations.justia.com/regulations/fedreg/2018/12/21/2018-27618.htmlNotice - Self-Regulatory Organizations; Cboe BYX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Extend the Pilot Period for the Exchange's Retail Price Improvement Program2018-12-21T00:00:00-08:002018-12-21T00:00:00-08:002018-27618Noticehttps://www.govinfo.gov/content/pkg/FR-2018-12-21/pdf/2018-27618.pdfhttps://regulations.justia.com/regulations/fedreg/2018/12/21/2018-27617.htmlNotice - Self-Regulatory Organizations; Nasdaq PHLX LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the Pilot Period for the Exchange's Nonstandard Expirations Pilot Program2018-12-21T00:00:00-08:002018-12-21T00:00:00-08:002018-27617Noticehttps://www.govinfo.gov/content/pkg/FR-2018-12-21/pdf/2018-27617.pdfhttps://regulations.justia.com/regulations/fedreg/2018/12/21/2018-27616.htmlNotice - Self-Regulatory Organizations; Cboe BZX Exchange, Inc.; Notice of Withdrawal of a Proposed Rule Change To List and Trade Shares of the Principal Morley Short Duration Index ETF Under Rule 14.11(c)(4)2018-12-21T00:00:00-08:002018-12-21T00:00:00-08:002018-27616Noticehttps://www.govinfo.gov/content/pkg/FR-2018-12-21/pdf/2018-27616.pdfhttps://regulations.justia.com/regulations/fedreg/2018/12/21/2018-27615.htmlNotice - Self-Regulatory Organizations; Municipal Securities Rulemaking Board; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to the MSRB's Facility for the Electronic Municipal Market Access System (EMMA)2018-12-21T00:00:00-08:002018-12-21T00:00:00-08:002018-27615Noticehttps://www.govinfo.gov/content/pkg/FR-2018-12-21/pdf/2018-27615.pdfhttps://regulations.justia.com/regulations/fedreg/2018/12/21/2018-27612.htmlNotice - Self-Regulatory Organizations; The Options Clearing Corporation; Order Approving Proposed Rule Change To Extend Term Limits for Member Directors Serving on The Options Clearing Corporation's Board of Directors2018-12-21T00:00:00-08:002018-12-21T00:00:00-08:002018-27612Noticehttps://www.govinfo.gov/content/pkg/FR-2018-12-21/pdf/2018-27612.pdfhttps://regulations.justia.com/regulations/fedreg/2018/12/21/2018-27611.htmlNotice - Self-Regulatory Organizations; Cboe EDGX 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 Platform2018-12-21T00:00:00-08:002018-12-21T00:00:00-08:002018-27611Noticehttps://www.govinfo.gov/content/pkg/FR-2018-12-21/pdf/2018-27611.pdfhttps://regulations.justia.com/regulations/fedreg/2018/12/20/2018-27753.htmlNotice - Sunshine Act Meetings2018-12-20T00:00:00-08:002018-12-20T00:00:00-08:002018-27753Noticehttps://www.govinfo.gov/content/pkg/FR-2018-12-20/pdf/2018-27753.pdfhttps://regulations.justia.com/regulations/fedreg/2018/12/20/2018-27576.htmlNotice - Hoya Capital Real Estate, LLC, et al.2018-12-20T00:00:00-08:002018-12-20T00:00:00-08:002018-27576Noticehttps://www.govinfo.gov/content/pkg/FR-2018-12-20/pdf/2018-27576.pdfhttps://regulations.justia.com/regulations/fedreg/2018/12/20/2018-27516.htmlNotice - Investment Managers Series Trust and 361 Capital, LLC2018-12-20T00:00:00-08:002018-12-20T00:00:00-08:002018-27516Noticehttps://www.govinfo.gov/content/pkg/FR-2018-12-20/pdf/2018-27516.pdfhttps://regulations.justia.com/regulations/fedreg/2018/12/20/2018-27512.htmlNotice - Self-Regulatory Organizations; BOX Exchange LLC; Notice of Filing of a Proposed Rule Change To Amend the Fee Schedule on the BOX Market LLC (“BOX”) Options Facility To Establish BOX Connectivity Fees for Participants and Non-Participants Who Connect to the BOX Network; Suspension of and Order Instituting Proceedings To Determine Whether To Approve or Disapprove the Proposed Rule Change2018-12-20T00:00:00-08:002018-12-20T00:00:00-08:002018-27512Noticehttps://www.govinfo.gov/content/pkg/FR-2018-12-20/pdf/2018-27512.pdfhttps://regulations.justia.com/regulations/fedreg/2018/12/20/2018-27511.htmlNotice - Self-Regulatory Organizations; The Nasdaq Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the Exchange's Transaction Fees at Options 7, Section 2(1)2018-12-20T00:00:00-08:002018-12-20T00:00:00-08:002018-27511Noticehttps://www.govinfo.gov/content/pkg/FR-2018-12-20/pdf/2018-27511.pdfhttps://regulations.justia.com/regulations/fedreg/2018/12/20/2018-27510.htmlNotice - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing of Proposed Rule Change Amending Sections 312.03 and 312.04 of the Listed Company Manual To Amend the Price Requirements for Certain Exceptions From the Shareholder Approval Rules2018-12-20T00:00:00-08:002018-12-20T00:00:00-08:002018-27510Noticehttps://www.govinfo.gov/content/pkg/FR-2018-12-20/pdf/2018-27510.pdfhttps://regulations.justia.com/regulations/fedreg/2018/12/20/2018-27509.htmlNotice - Self-Regulatory Organizations; NYSE Arca, Inc.; Order Approving a Proposed Rule Change, as Modified by Amendment No. 2, Regarding the Continued Listing and Trading of Shares of the Natixis Loomis Sayles Short Duration Income ETF2018-12-20T00:00:00-08:002018-12-20T00:00:00-08:002018-27509Noticehttps://www.govinfo.gov/content/pkg/FR-2018-12-20/pdf/2018-27509.pdfhttps://regulations.justia.com/regulations/fedreg/2018/12/19/2018-27411.htmlNotice - Self-Regulatory Organizations; BOX Exchange LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the Fee Schedule on the BOX Options Market LLC (“BOX”) Facility To Establish Separate Fees and Credits on PIP and COPIP Transactions for SPY Options2018-12-19T00:00:00-08:002018-12-19T00:00:00-08:002018-27411Noticehttps://www.govinfo.gov/content/pkg/FR-2018-12-19/pdf/2018-27411.pdfhttps://regulations.justia.com/regulations/fedreg/2018/12/19/2018-27409.htmlNotice - Self-Regulatory Organizations; The Nasdaq Stock Market LLC; Notice of Filing of Proposed Rule Change To Amend Nasdaq Rules 5705 and 5710 To Adopt a Disclosure Requirement for Certain Securities2018-12-19T00:00:00-08:002018-12-19T00:00:00-08:002018-27409Noticehttps://www.govinfo.gov/content/pkg/FR-2018-12-19/pdf/2018-27409.pdfhttps://regulations.justia.com/regulations/fedreg/2018/12/19/2018-27408.htmlNotice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending the NYSE Arca Equities Fees and Charges2018-12-19T00:00:00-08:002018-12-19T00:00:00-08:002018-27408Noticehttps://www.govinfo.gov/content/pkg/FR-2018-12-19/pdf/2018-27408.pdfhttps://regulations.justia.com/regulations/fedreg/2018/12/19/2018-27407.htmlNotice - Self-Regulatory Organizations; NYSE Arca, Inc.; Order Approving a Proposed Rule Change, as Modified by Amendment No. 1 Thereto, Regarding the Listing and Trading of Shares of the PGIM Ultra Short Bond ETF2018-12-19T00:00:00-08:002018-12-19T00:00:00-08:002018-27407Noticehttps://www.govinfo.gov/content/pkg/FR-2018-12-19/pdf/2018-27407.pdfhttps://regulations.justia.com/regulations/fedreg/2018/12/19/2018-27406.htmlNotice - Self-Regulatory Organizations; Cboe BZX Exchange, Inc.; Notice of Designation of a Longer Period for Commission Action on Proposed Rule Change To Permit the Listing and Trading of P.M.-Settled Series on Certain Broad-Based Index Options on a Pilot Basis2018-12-19T00:00:00-08:002018-12-19T00:00:00-08:002018-27406Noticehttps://www.govinfo.gov/content/pkg/FR-2018-12-19/pdf/2018-27406.pdfhttps://regulations.justia.com/regulations/fedreg/2018/12/19/2018-27405.htmlNotice - Self-Regulatory Organizations; ICE Clear Europe Limited; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to the F&O Stress Testing Policy 12018-12-19T00:00:00-08:002018-12-19T00:00:00-08:002018-27405Noticehttps://www.govinfo.gov/content/pkg/FR-2018-12-19/pdf/2018-27405.pdfhttps://regulations.justia.com/regulations/fedreg/2018/12/19/2018-27404.htmlNotice - Self-Regulatory Organizations; Cboe EDGX Exchange, Inc.; Notice of Designation of a Longer Period for Commission Action on Proposed Rule Change To Permit the Listing and Trading of P.M.-Settled Series on Certain Broad-Based Index Options on a Pilot Basis2018-12-19T00:00:00-08:002018-12-19T00:00:00-08:002018-27404Noticehttps://www.govinfo.gov/content/pkg/FR-2018-12-19/pdf/2018-27404.pdfhttps://regulations.justia.com/regulations/fedreg/2018/12/19/2018-27403.htmlNotice - Self-Regulatory Organizations; Investors Exchange LLC; Notice of Filing of Proposed Rule Change To Modify the Resting Price of Discretionary Peg Orders December 13, 2018.2018-12-19T00:00:00-08:002018-12-19T00:00:00-08:002018-27403Noticehttps://www.govinfo.gov/content/pkg/FR-2018-12-19/pdf/2018-27403.pdfhttps://regulations.justia.com/regulations/fedreg/2018/12/18/2018-27417.htmlNotice - Sunshine Act Meetings2018-12-18T00:00:00-08:002018-12-18T00:00:00-08:002018-27417Noticehttps://www.govinfo.gov/content/pkg/FR-2018-12-18/pdf/2018-27417.pdfhttps://regulations.justia.com/regulations/fedreg/2018/12/18/2018-27281.htmlNotice - Self-Regulatory Organizations; Municipal Securities Rulemaking Board; Order Granting Approval 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 Securities2018-12-18T00:00:00-08:002018-12-18T00:00:00-08:002018-27281Noticehttps://www.govinfo.gov/content/pkg/FR-2018-12-18/pdf/2018-27281.pdfhttps://regulations.justia.com/regulations/fedreg/2018/12/18/2018-27280.htmlNotice - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing of Proposed Rule Change To Amend Rule 7.31 Relating to Discretionary Orders, Auction-Only Orders, Discretionary Modifier, and Yielding Modifier and Related Amendments to Rules 7.16, 7.34, 7.36, and 7.372018-12-18T00:00:00-08:002018-12-18T00:00:00-08:002018-27280Noticehttps://www.govinfo.gov/content/pkg/FR-2018-12-18/pdf/2018-27280.pdfhttps://regulations.justia.com/regulations/fedreg/2018/12/18/2018-27279.htmlNotice - Self-Regulatory Organizations; NYSE National, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Its Schedule of Fees and Rebates2018-12-18T00:00:00-08:002018-12-18T00:00:00-08:002018-27279Noticehttps://www.govinfo.gov/content/pkg/FR-2018-12-18/pdf/2018-27279.pdfhttps://regulations.justia.com/regulations/fedreg/2018/12/18/2018-27278.htmlNotice - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing of Proposed Rule Change To Amend Rule 123C To Extend the Cut-Off Times for Order Entry and Cancellation for Participation in the Closing Auction and When the Exchange Will Begin Disseminating Order Imbalance Information for the Closing Auction2018-12-18T00:00:00-08:002018-12-18T00:00:00-08:002018-27278Noticehttps://www.govinfo.gov/content/pkg/FR-2018-12-18/pdf/2018-27278.pdfhttps://regulations.justia.com/regulations/fedreg/2018/12/18/2018-27270.htmlNotice - Submission for OMB Review; Comment Request2018-12-18T00:00:00-08:002018-12-18T00:00:00-08:002018-27270Noticehttps://www.govinfo.gov/content/pkg/FR-2018-12-18/pdf/2018-27270.pdfhttps://regulations.justia.com/regulations/fedreg/2018/12/18/2018-27267.htmlNotice - Submission for OMB Review; Comment Request2018-12-18T00:00:00-08:002018-12-18T00:00:00-08:002018-27267Noticehttps://www.govinfo.gov/content/pkg/FR-2018-12-18/pdf/2018-27267.pdfhttps://regulations.justia.com/regulations/fedreg/2018/12/18/2018-27266.htmlNotice - Submission for OMB Review; Comment Request2018-12-18T00:00:00-08:002018-12-18T00:00:00-08:002018-27266Noticehttps://www.govinfo.gov/content/pkg/FR-2018-12-18/pdf/2018-27266.pdfhttps://regulations.justia.com/regulations/fedreg/2018/12/17/2018-27317.htmlNotice - Sunshine Act Meetings2018-12-17T00:00:00-08:002018-12-17T00:00:00-08:002018-27317Noticehttps://www.govinfo.gov/content/pkg/FR-2018-12-17/pdf/2018-27317.pdfhttps://regulations.justia.com/regulations/fedreg/2018/12/17/2018-27207.htmlNotice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Reflect a Change to the Benchmark Index of the SPDR Nuveen Bloomberg Barclays Municipal Bond ETF2018-12-17T00:00:00-08:002018-12-17T00:00:00-08:002018-27207Noticehttps://www.govinfo.gov/content/pkg/FR-2018-12-17/pdf/2018-27207.pdfhttps://regulations.justia.com/regulations/fedreg/2018/12/17/2018-27206.htmlNotice - Self-Regulatory Organizations; Cboe BZX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To List Shares of the Cambria Global Momentum ETF Under Rule 14.11(i), Managed Fund Shares2018-12-17T00:00:00-08:002018-12-17T00:00:00-08:002018-27206Noticehttps://www.govinfo.gov/content/pkg/FR-2018-12-17/pdf/2018-27206.pdfhttps://regulations.justia.com/regulations/fedreg/2018/12/17/2018-27205.htmlNotice - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing of a Proposed Rule Change Relating to FINRA Rule 4512 (Customer Account Information)2018-12-17T00:00:00-08:002018-12-17T00:00:00-08:002018-27205Noticehttps://www.govinfo.gov/content/pkg/FR-2018-12-17/pdf/2018-27205.pdfhttps://regulations.justia.com/regulations/fedreg/2018/12/17/2018-27204.htmlNotice - Self-Regulatory Organizations; Nasdaq GEMX, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Delete GEMX Section 22 of the Rulebook2018-12-17T00:00:00-08:002018-12-17T00:00:00-08:002018-27204Noticehttps://www.govinfo.gov/content/pkg/FR-2018-12-17/pdf/2018-27204.pdfhttps://regulations.justia.com/regulations/fedreg/2018/12/17/2018-27203.htmlNotice - Self-Regulatory Organizations; Cboe C2 Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Amending Provisions Related to Its Risk Monitor Mechanism2018-12-17T00:00:00-08:002018-12-17T00:00:00-08:002018-27203Noticehttps://www.govinfo.gov/content/pkg/FR-2018-12-17/pdf/2018-27203.pdfhttps://regulations.justia.com/regulations/fedreg/2018/12/17/2018-27202.htmlNotice - Self-Regulatory Organizations; Nasdaq MRX, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change to MRX Section 22 of the Rulebook2018-12-17T00:00:00-08:002018-12-17T00:00:00-08:002018-27202Noticehttps://www.govinfo.gov/content/pkg/FR-2018-12-17/pdf/2018-27202.pdfhttps://regulations.justia.com/regulations/fedreg/2018/12/14/2018-27128.htmlNotice - Pacific Global ETF Trust and Cadence Capital Management LLC2018-12-14T00:00:00-08:002018-12-14T00:00:00-08:002018-27128Noticehttps://www.gpo.gov/fdsys/pkg/FR-2018-12-14/pdf/2018-27128.pdfhttps://regulations.justia.com/regulations/fedreg/2018/12/14/2018-27094.htmlNotice - Proposed Collection; Comment Request2018-12-14T00:00:00-08:002018-12-14T00:00:00-08:002018-27094Noticehttps://www.gpo.gov/fdsys/pkg/FR-2018-12-14/pdf/2018-27094.pdfhttps://regulations.justia.com/regulations/fedreg/2018/12/14/2018-27093.htmlNotice - Proposed Collection; Comment Request2018-12-14T00:00:00-08:002018-12-14T00:00:00-08:002018-27093Noticehttps://www.gpo.gov/fdsys/pkg/FR-2018-12-14/pdf/2018-27093.pdfhttps://regulations.justia.com/regulations/fedreg/2018/12/14/2018-27092.htmlNotice - Proposed Collection; Comment Request2018-12-14T00:00:00-08:002018-12-14T00:00:00-08:002018-27092Noticehttps://www.gpo.gov/fdsys/pkg/FR-2018-12-14/pdf/2018-27092.pdfhttps://regulations.justia.com/regulations/fedreg/2018/12/14/2018-27091.htmlNotice - Submission for OMB Review; Comment Request2018-12-14T00:00:00-08:002018-12-14T00:00:00-08:002018-27091Noticehttps://www.gpo.gov/fdsys/pkg/FR-2018-12-14/pdf/2018-27091.pdfhttps://regulations.justia.com/regulations/fedreg/2018/12/14/2018-27090.htmlNotice - Submission for OMB Review; Comment Request2018-12-14T00:00:00-08:002018-12-14T00:00:00-08:002018-27090Noticehttps://www.gpo.gov/fdsys/pkg/FR-2018-12-14/pdf/2018-27090.pdfhttps://regulations.justia.com/regulations/fedreg/2018/12/14/2018-27089.htmlNotice - Submission for OMB Review; Comment Request2018-12-14T00:00:00-08:002018-12-14T00:00:00-08:002018-27089Noticehttps://www.gpo.gov/fdsys/pkg/FR-2018-12-14/pdf/2018-27089.pdfhttps://regulations.justia.com/regulations/fedreg/2018/12/14/2018-27086.htmlNotice - Self-Regulatory Organizations; Cboe EDGX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating To Amend Its Provision Related to Its Risk Monitor Mechanism2018-12-14T00:00:00-08:002018-12-14T00:00:00-08:002018-27086Noticehttps://www.gpo.gov/fdsys/pkg/FR-2018-12-14/pdf/2018-27086.pdfhttps://regulations.justia.com/regulations/fedreg/2018/12/14/2018-27085.htmlNotice - Self-Regulatory Organizations; Cboe BZX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating To Amend Its Provision Related to Its Risk Monitor Mechanism2018-12-14T00:00:00-08:002018-12-14T00:00:00-08:002018-27085Noticehttps://www.gpo.gov/fdsys/pkg/FR-2018-12-14/pdf/2018-27085.pdfhttps://regulations.justia.com/regulations/fedreg/2018/12/14/2018-27084.htmlNotice - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Certain of Its Listing Fees2018-12-14T00:00:00-08:002018-12-14T00:00:00-08:002018-27084Noticehttps://www.gpo.gov/fdsys/pkg/FR-2018-12-14/pdf/2018-27084.pdfhttps://regulations.justia.com/regulations/fedreg/2018/12/14/2018-27083.htmlNotice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Extend the Pilot Period for the Exchange's Retail Liquidity Program Until June 30, 20192018-12-14T00:00:00-08:002018-12-14T00:00:00-08:002018-27083Noticehttps://www.gpo.gov/fdsys/pkg/FR-2018-12-14/pdf/2018-27083.pdfhttps://regulations.justia.com/regulations/fedreg/2018/12/14/2018-27082.htmlNotice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Designation of a Longer Period for Commission Action on Proposed Rule Change To Amend Rule 7.44-E, the Exchange's Retail Liquidity Program2018-12-14T00:00:00-08:002018-12-14T00:00:00-08:002018-27082Noticehttps://www.gpo.gov/fdsys/pkg/FR-2018-12-14/pdf/2018-27082.pdfhttps://regulations.justia.com/regulations/fedreg/2018/12/14/2018-27081.htmlNotice - Self-Regulatory Organizations; National Securities Clearing Corporation; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Certain Fees Relating to Mutual Fund Services, and Insurance and Retirement Processing Services2018-12-14T00:00:00-08:002018-12-14T00:00:00-08:002018-27081Noticehttps://www.gpo.gov/fdsys/pkg/FR-2018-12-14/pdf/2018-27081.pdfhttps://regulations.justia.com/regulations/fedreg/2018/12/14/2018-27080.htmlNotice - Self-Regulatory Organizations; National Securities Clearing Corporation; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Certain Fees and Make Other Changes2018-12-14T00:00:00-08:002018-12-14T00:00:00-08:002018-27080Noticehttps://www.gpo.gov/fdsys/pkg/FR-2018-12-14/pdf/2018-27080.pdfhttps://regulations.justia.com/regulations/fedreg/2018/12/14/2018-27079.htmlNotice - Self-Regulatory Organizations; Fixed Income Clearing Corporation; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Remove Certain Fees From the Mortgage-Backed Securities Division Clearing Rules and Electronic Pool Notification Rules2018-12-14T00:00:00-08:002018-12-14T00:00:00-08:002018-27079Noticehttps://www.gpo.gov/fdsys/pkg/FR-2018-12-14/pdf/2018-27079.pdfhttps://regulations.justia.com/regulations/fedreg/2018/12/14/2018-27078.htmlNotice - Self-Regulatory Organizations; The Depository Trust Company; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the Guide to the DTC Fee Schedule2018-12-14T00:00:00-08:002018-12-14T00:00:00-08:002018-27078Noticehttps://www.gpo.gov/fdsys/pkg/FR-2018-12-14/pdf/2018-27078.pdfhttps://regulations.justia.com/regulations/fedreg/2018/12/14/2018-27077.htmlNotice - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Extend the Pilot Period for the Exchange's Retail Liquidity Program Until the Earlier of Approval of the Filing To Make the Program Permanent or June 30, 20192018-12-14T00:00:00-08:002018-12-14T00:00:00-08:002018-27077Noticehttps://www.gpo.gov/fdsys/pkg/FR-2018-12-14/pdf/2018-27077.pdfhttps://regulations.justia.com/regulations/fedreg/2018/12/14/2018-27076.htmlNotice - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Designation of Longer Period for Commission Action on Proceedings To Determine Whether To Approve or Disapprove a Proposed Rule To Make Permanent the Retail Liquidity Program Pilot, Which is Set To Expire on December 31, 20182018-12-14T00:00:00-08:002018-12-14T00:00:00-08:002018-27076Noticehttps://www.gpo.gov/fdsys/pkg/FR-2018-12-14/pdf/2018-27076.pdfhttps://regulations.justia.com/regulations/fedreg/2018/12/14/2018-27075.htmlNotice - Self-Regulatory Organizations; Nasdaq PHLX LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Update the Trading Floor Qualification Examination2018-12-14T00:00:00-08:002018-12-14T00:00:00-08:002018-27075Noticehttps://www.gpo.gov/fdsys/pkg/FR-2018-12-14/pdf/2018-27075.pdfhttps://regulations.justia.com/regulations/fedreg/2018/12/13/2018-27018.htmlNotice - Self-Regulatory Organizations; New York Stock Exchange LLC; Order Granting an Extension to Limited Exemptions From Rule 612(c) of Regulation NMS in Connection With the Exchange's Retail Liquidity Program Until June 30, 20192018-12-13T00:00:00-08:002018-12-13T00:00:00-08:002018-27018Noticehttps://www.gpo.gov/fdsys/pkg/FR-2018-12-13/pdf/2018-27018.pdfhttps://regulations.justia.com/regulations/fedreg/2018/12/13/2018-27004.htmlNotice - Self-Regulatory Organizations; NYSE Arca, Inc.; Order Granting an Extension to Limited Exemptions From Rule 612(c) of Regulation NMS In Connection With the Exchange's Retail Liquidity Programs Until June 30, 20192018-12-13T00:00:00-08:002018-12-13T00:00:00-08:002018-27004Noticehttps://www.gpo.gov/fdsys/pkg/FR-2018-12-13/pdf/2018-27004.pdfhttps://regulations.justia.com/regulations/fedreg/2018/12/13/2018-26945.htmlNotice - Self-Regulatory Organizations; ICE Clear Europe Limited; Notice of Filing of Amendment No. 1 and Order Granting Accelerated Approval of a Proposed Rule Change, as Modified by Amendment No. 1, Relating to Amendments to the ICE Clear Europe Limited Liquidity Plan2018-12-13T00:00:00-08:002018-12-13T00:00:00-08:002018-26945Noticehttps://www.gpo.gov/fdsys/pkg/FR-2018-12-13/pdf/2018-26945.pdfhttps://regulations.justia.com/regulations/fedreg/2018/12/13/2018-26944.htmlNotice - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Rule 15 Relating to the Reference Price for Exchange-Listed Securities2018-12-13T00:00:00-08:002018-12-13T00:00:00-08:002018-26944Noticehttps://www.gpo.gov/fdsys/pkg/FR-2018-12-13/pdf/2018-26944.pdfhttps://regulations.justia.com/regulations/fedreg/2018/12/13/2018-26613.htmlRule - Covered Investment Fund Research Reports2018-12-13T00:00:00-08:002018-12-13T00:00:00-08:002018-26613Rulehttps://www.gpo.gov/fdsys/pkg/FR-2018-12-13/pdf/2018-26613.pdfhttps://regulations.justia.com/regulations/fedreg/2018/12/12/2018-26915.htmlNotice - 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 12018-12-12T00:00:00-08:002018-12-12T00:00:00-08:002018-26915Noticehttps://www.gpo.gov/fdsys/pkg/FR-2018-12-12/pdf/2018-26915.pdfhttps://regulations.justia.com/regulations/fedreg/2018/12/12/2018-26914.htmlNotice - 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 12018-12-12T00:00:00-08:002018-12-12T00:00:00-08:002018-26914Noticehttps://www.gpo.gov/fdsys/pkg/FR-2018-12-12/pdf/2018-26914.pdfhttps://regulations.justia.com/regulations/fedreg/2018/12/12/2018-26913.htmlNotice - 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 Utility2018-12-12T00:00:00-08:002018-12-12T00:00:00-08:002018-26913Noticehttps://www.gpo.gov/fdsys/pkg/FR-2018-12-12/pdf/2018-26913.pdfhttps://regulations.justia.com/regulations/fedreg/2018/12/12/2018-26912.htmlNotice - 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 Shares2018-12-12T00:00:00-08:002018-12-12T00:00:00-08:002018-26912Noticehttps://www.gpo.gov/fdsys/pkg/FR-2018-12-12/pdf/2018-26912.pdfhttps://regulations.justia.com/regulations/fedreg/2018/12/12/2018-26911.htmlNotice - Self-Regulatory Organizations; Nasdaq BX, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Port Fees2018-12-12T00:00:00-08:002018-12-12T00:00:00-08:002018-26911Noticehttps://www.gpo.gov/fdsys/pkg/FR-2018-12-12/pdf/2018-26911.pdfhttps://regulations.justia.com/regulations/fedreg/2018/12/12/2018-26910.htmlNotice - 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 Holder2018-12-12T00:00:00-08:002018-12-12T00:00:00-08:002018-26910Noticehttps://www.gpo.gov/fdsys/pkg/FR-2018-12-12/pdf/2018-26910.pdfhttps://regulations.justia.com/regulations/fedreg/2018/12/12/2018-26909.htmlNotice - 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 57352018-12-12T00:00:00-08:002018-12-12T00:00:00-08:002018-26909Noticehttps://www.gpo.gov/fdsys/pkg/FR-2018-12-12/pdf/2018-26909.pdfhttps://regulations.justia.com/regulations/fedreg/2018/12/12/2018-26908.htmlNotice - 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 Orders2018-12-12T00:00:00-08:002018-12-12T00:00:00-08:002018-26908Noticehttps://www.gpo.gov/fdsys/pkg/FR-2018-12-12/pdf/2018-26908.pdfhttps://regulations.justia.com/regulations/fedreg/2018/12/12/2018-26907.htmlNotice - Self-Regulatory Organizations; Nasdaq GEMX, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Supplementary Material .02 to Rule 7152018-12-12T00:00:00-08:002018-12-12T00:00:00-08:002018-26907Noticehttps://www.gpo.gov/fdsys/pkg/FR-2018-12-12/pdf/2018-26907.pdfhttps://regulations.justia.com/regulations/fedreg/2018/12/12/2018-26851.htmlNotice - Submission for OMB Review; Comment Request2018-12-12T00:00:00-08:002018-12-12T00:00:00-08:002018-26851Noticehttps://www.gpo.gov/fdsys/pkg/FR-2018-12-12/pdf/2018-26851.pdfhttps://regulations.justia.com/regulations/fedreg/2018/12/12/2018-26837.htmlNotice - 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)2018-12-12T00:00:00-08:002018-12-12T00:00:00-08:002018-26837Noticehttps://www.gpo.gov/fdsys/pkg/FR-2018-12-12/pdf/2018-26837.pdfhttps://regulations.justia.com/regulations/fedreg/2018/12/12/2018-26836.htmlNotice - 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 Orders2018-12-12T00:00:00-08:002018-12-12T00:00:00-08:002018-26836Noticehttps://www.gpo.gov/fdsys/pkg/FR-2018-12-12/pdf/2018-26836.pdfhttps://regulations.justia.com/regulations/fedreg/2018/12/12/2018-26835.htmlNotice - 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 Technology2018-12-12T00:00:00-08:002018-12-12T00:00:00-08:002018-26835Noticehttps://www.gpo.gov/fdsys/pkg/FR-2018-12-12/pdf/2018-26835.pdfhttps://regulations.justia.com/regulations/fedreg/2018/12/12/2018-26834.htmlNotice - 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 Securities2018-12-12T00:00:00-08:002018-12-12T00:00:00-08:002018-26834Noticehttps://www.gpo.gov/fdsys/pkg/FR-2018-12-12/pdf/2018-26834.pdfhttps://regulations.justia.com/regulations/fedreg/2018/12/12/2018-26833.htmlNotice - 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 Designations2018-12-12T00:00:00-08:002018-12-12T00:00:00-08:002018-26833Noticehttps://www.gpo.gov/fdsys/pkg/FR-2018-12-12/pdf/2018-26833.pdfhttps://regulations.justia.com/regulations/fedreg/2018/12/12/2018-26832.htmlNotice - 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)2018-12-12T00:00:00-08:002018-12-12T00:00:00-08:002018-26832Noticehttps://www.gpo.gov/fdsys/pkg/FR-2018-12-12/pdf/2018-26832.pdfhttps://regulations.justia.com/regulations/fedreg/2018/12/12/2018-26831.htmlNotice - 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 .032018-12-12T00:00:00-08:002018-12-12T00:00:00-08:002018-26831Noticehttps://www.gpo.gov/fdsys/pkg/FR-2018-12-12/pdf/2018-26831.pdfhttps://regulations.justia.com/regulations/fedreg/2018/12/12/2018-26830.htmlNotice - 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)2018-12-12T00:00:00-08:002018-12-12T00:00:00-08:002018-26830Noticehttps://www.gpo.gov/fdsys/pkg/FR-2018-12-12/pdf/2018-26830.pdfhttps://regulations.justia.com/regulations/fedreg/2018/12/12/2018-26829.htmlNotice - 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 ETF2018-12-12T00:00:00-08:002018-12-12T00:00:00-08:002018-26829Noticehttps://www.gpo.gov/fdsys/pkg/FR-2018-12-12/pdf/2018-26829.pdfhttps://regulations.justia.com/regulations/fedreg/2018/12/12/2018-26828.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 SolidX Bitcoin Shares Issued by the VanEck SolidX Bitcoin Trust2018-12-12T00:00:00-08:002018-12-12T00:00:00-08:002018-26828Noticehttps://www.gpo.gov/fdsys/pkg/FR-2018-12-12/pdf/2018-26828.pdfhttps://regulations.justia.com/regulations/fedreg/2018/12/12/2018-26827.htmlNotice - Self-Regulatory Organizations; Nasdaq GEMX, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Bid/Ask Differentials2018-12-12T00:00:00-08:002018-12-12T00:00:00-08:002018-26827Noticehttps://www.gpo.gov/fdsys/pkg/FR-2018-12-12/pdf/2018-26827.pdfhttps://regulations.justia.com/regulations/fedreg/2018/12/12/2018-26826.htmlNotice - Self-Regulatory Organizations; Nasdaq ISE, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Bid/Ask Differentials2018-12-12T00:00:00-08:002018-12-12T00:00:00-08:002018-26826Noticehttps://www.gpo.gov/fdsys/pkg/FR-2018-12-12/pdf/2018-26826.pdfhttps://regulations.justia.com/regulations/fedreg/2018/12/12/2018-26825.htmlNotice - Self-Regulatory Organizations; Nasdaq MRX, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Bid/Ask Differentials2018-12-12T00:00:00-08:002018-12-12T00:00:00-08:002018-26825Noticehttps://www.gpo.gov/fdsys/pkg/FR-2018-12-12/pdf/2018-26825.pdfhttps://regulations.justia.com/regulations/fedreg/2018/12/12/2018-26824.htmlNotice - Self-Regulatory Organizations; Nasdaq PHLX LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Bid/Ask Differentials2018-12-12T00:00:00-08:002018-12-12T00:00:00-08:002018-26824Noticehttps://www.gpo.gov/fdsys/pkg/FR-2018-12-12/pdf/2018-26824.pdfhttps://regulations.justia.com/regulations/fedreg/2018/12/12/2018-26823.htmlNotice - 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 2.12202018-12-12T00:00:00-08:002018-12-12T00:00:00-08:002018-26823Noticehttps://www.gpo.gov/fdsys/pkg/FR-2018-12-12/pdf/2018-26823.pdfhttps://regulations.justia.com/regulations/fedreg/2018/12/12/2018-26797.htmlNotice - Cliffwater Corporate Lending Fund and Cliffwater LLC2018-12-12T00:00:00-08:002018-12-12T00:00:00-08:002018-26797Noticehttps://www.gpo.gov/fdsys/pkg/FR-2018-12-12/pdf/2018-26797.pdfhttps://regulations.justia.com/regulations/fedreg/2018/12/12/2018-26795.htmlNotice - Symmetry Panoramic Trust and Symmetry Partners, LLC2018-12-12T00:00:00-08:002018-12-12T00:00:00-08:002018-26795Noticehttps://www.gpo.gov/fdsys/pkg/FR-2018-12-12/pdf/2018-26795.pdfhttps://regulations.justia.com/regulations/fedreg/2018/12/11/2018-26736.htmlNotice - Self-Regulatory Organizations; The Nasdaq Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Delay a New Protocol “Ouch to Trade Options” or “OTTO” on The Nasdaq Options Market LLC (“NOM”)2018-12-11T00:00:00-08:002018-12-11T00:00:00-08:002018-26736Noticehttps://www.gpo.gov/fdsys/pkg/FR-2018-12-11/pdf/2018-26736.pdfhttps://regulations.justia.com/regulations/fedreg/2018/12/11/2018-26735.htmlNotice - Self-Regulatory Organizations; Cboe BZX Exchange, Inc.; Order Granting Approval of a Proposed Rule Change, as Modified by Amendment Nos. 1 and 2, To List and Trade Shares of the FormulaFolios Sector Rotation ETF, a Series of the Northern Lights Fund Trust IV, Under Rule 14.11(i), Managed Fund Shares2018-12-11T00:00:00-08:002018-12-11T00:00:00-08:002018-26735Noticehttps://www.gpo.gov/fdsys/pkg/FR-2018-12-11/pdf/2018-26735.pdfhttps://regulations.justia.com/regulations/fedreg/2018/12/10/2018-26822.htmlNotice - Sunshine Act Meetings2018-12-10T00:00:00-08:002018-12-10T00:00:00-08:002018-26822Noticehttps://www.gpo.gov/fdsys/pkg/FR-2018-12-10/pdf/2018-26822.pdfhttps://regulations.justia.com/regulations/fedreg/2018/12/10/2018-26738.htmlNotice - Sunshine Act Meetings2018-12-10T00:00:00-08:002018-12-10T00:00:00-08:002018-26738Noticehttps://www.gpo.gov/fdsys/pkg/FR-2018-12-10/pdf/2018-26738.pdfhttps://regulations.justia.com/regulations/fedreg/2018/12/10/2018-26737.htmlNotice - Sunshine Act Meetings2018-12-10T00:00:00-08:002018-12-10T00:00:00-08:002018-26737Noticehttps://www.gpo.gov/fdsys/pkg/FR-2018-12-10/pdf/2018-26737.pdfhttps://regulations.justia.com/regulations/fedreg/2018/12/10/2018-26668.htmlNotice - Stone Ridge Trust II, et al.2018-12-10T00:00:00-08:002018-12-10T00:00:00-08:002018-26668Noticehttps://www.gpo.gov/fdsys/pkg/FR-2018-12-10/pdf/2018-26668.pdfhttps://regulations.justia.com/regulations/fedreg/2018/12/10/2018-26593.htmlNotice - Self-Regulatory Organizations; Investors Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Conform IEX Rule 5.160 to FinCEN's Final Rule on Customer Due Diligence Requirements for Financial Institutions2018-12-10T00:00:00-08:002018-12-10T00:00:00-08:002018-26593Noticehttps://www.gpo.gov/fdsys/pkg/FR-2018-12-10/pdf/2018-26593.pdfhttps://regulations.justia.com/regulations/fedreg/2018/12/07/2018-26656.htmlNotice - Sunshine Act Meeting; Cancellation2018-12-07T00:00:00-08:002018-12-07T00:00:00-08:002018-26656Noticehttps://www.gpo.gov/fdsys/pkg/FR-2018-12-07/pdf/2018-26656.pdfhttps://regulations.justia.com/regulations/fedreg/2018/12/06/2018-26517.htmlNotice - Long-Term Stock Exchange, Inc.; Notice of Filing of Application for Registration as a National Securities Exchange Under Section 6 of the Securities Exchange Act of 19342018-12-06T00:00:00-08:002018-12-06T00:00:00-08:002018-26517Noticehttps://www.gpo.gov/fdsys/pkg/FR-2018-12-06/pdf/2018-26517.pdfhttps://regulations.justia.com/regulations/fedreg/2018/12/06/2018-26516.htmlNotice - Self-Regulatory Organizations; Cboe EDGX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Rule 19.8, Long-Term Options Contracts2018-12-06T00:00:00-08:002018-12-06T00:00:00-08:002018-26516Noticehttps://www.gpo.gov/fdsys/pkg/FR-2018-12-06/pdf/2018-26516.pdfhttps://regulations.justia.com/regulations/fedreg/2018/12/06/2018-26515.htmlNotice - Self-Regulatory Organizations; Cboe Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Rule 5.8, Long-Term Equity Options Series (LEAPS)2018-12-06T00:00:00-08:002018-12-06T00:00:00-08:002018-26515Noticehttps://www.gpo.gov/fdsys/pkg/FR-2018-12-06/pdf/2018-26515.pdfhttps://regulations.justia.com/regulations/fedreg/2018/12/06/2018-26514.htmlNotice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing of Proposed Rule Change Regarding Certain Changes Relating to Investments of the PGIM Active High Yield Bond ETF2018-12-06T00:00:00-08:002018-12-06T00:00:00-08:002018-26514Noticehttps://www.gpo.gov/fdsys/pkg/FR-2018-12-06/pdf/2018-26514.pdfhttps://regulations.justia.com/regulations/fedreg/2018/12/06/2018-26513.htmlNotice - Self-Regulatory Organizations; Cboe BZX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Rule 19.8, Long-Term Options Contracts2018-12-06T00:00:00-08:002018-12-06T00:00:00-08:002018-26513Noticehttps://www.gpo.gov/fdsys/pkg/FR-2018-12-06/pdf/2018-26513.pdfhttps://regulations.justia.com/regulations/fedreg/2018/12/06/2018-26512.htmlNotice - Self-Regulatory Organizations; Cboe EDGX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to Directed Market Makers and Primary Market Makers2018-12-06T00:00:00-08:002018-12-06T00:00:00-08:002018-26512Noticehttps://www.gpo.gov/fdsys/pkg/FR-2018-12-06/pdf/2018-26512.pdfhttps://regulations.justia.com/regulations/fedreg/2018/12/06/2018-26487.htmlNotice - Notice of Applications for Deregistration Under Section 8(f) of the Investment Company Act of 19402018-12-06T00:00:00-08:002018-12-06T00:00:00-08:002018-26487Noticehttps://www.gpo.gov/fdsys/pkg/FR-2018-12-06/pdf/2018-26487.pdfhttps://regulations.justia.com/regulations/fedreg/2018/12/06/2018-26405.htmlNotice - Self-Regulatory Organizations; Nasdaq ISE, LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Supplementary Material .07 to ISE Rule 7222018-12-06T00:00:00-08:002018-12-06T00:00:00-08:002018-26405Noticehttps://www.gpo.gov/fdsys/pkg/FR-2018-12-06/pdf/2018-26405.pdfhttps://regulations.justia.com/regulations/fedreg/2018/12/06/2018-26404.htmlNotice - Order Regarding Alternative Net Capital Computation for BofAML Securities, Inc.2018-12-06T00:00:00-08:002018-12-06T00:00:00-08:002018-26404Noticehttps://www.gpo.gov/fdsys/pkg/FR-2018-12-06/pdf/2018-26404.pdfhttps://regulations.justia.com/regulations/fedreg/2018/12/06/2018-26403.htmlNotice - In the Matter of the NYSE Arca, Inc.; for an Order Granting the Approval of Proposed Rule Change To List and Trade Shares of the ForceShares Daily 4X US Market Futures Long Fund and ForceShares Daily 4X US Market Futures Short Fund Under Commentary .02 to NYSE Arca Equities Rule 8.200 (SR-NYSEArca-2016-120); Request for Additional Comment2018-12-06T00:00:00-08:002018-12-06T00:00:00-08:002018-26403Noticehttps://www.gpo.gov/fdsys/pkg/FR-2018-12-06/pdf/2018-26403.pdfhttps://regulations.justia.com/regulations/fedreg/2018/12/06/2018-26400.htmlNotice - Self-Regulatory Organizations; The Nasdaq Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Relocate the Exchange's Pricing Schedule2018-12-06T00:00:00-08:002018-12-06T00:00:00-08:002018-26400Noticehttps://www.gpo.gov/fdsys/pkg/FR-2018-12-06/pdf/2018-26400.pdfhttps://regulations.justia.com/regulations/fedreg/2018/12/06/2018-26399.htmlNotice - Self-Regulatory Organizations; Cboe EDGA Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating To Eliminate the Liquidity Swap Component of the Discretionary Range Instruction2018-12-06T00:00:00-08:002018-12-06T00:00:00-08:002018-26399Noticehttps://www.gpo.gov/fdsys/pkg/FR-2018-12-06/pdf/2018-26399.pdfhttps://regulations.justia.com/regulations/fedreg/2018/12/06/2018-26397.htmlNotice - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Designation of a Longer Period for Commission Action on a Proposed Rule Change To Amend the Listed Company Manual for Acquisition Companies To Reduce the Continued Listing Standards for Public Holders From 300 to 100 and To Enable the Exchange To Exercise Discretion To Allow Acquisition Companies a Reasonable Time Period Following a Business Combination To Demonstrate Compliance With the Applicable Quantitative Listing Standards2018-12-06T00:00:00-08:002018-12-06T00:00:00-08:002018-26397Noticehttps://www.gpo.gov/fdsys/pkg/FR-2018-12-06/pdf/2018-26397.pdf