Federal Register Recent Federal Regulation Documents - Justia Regulation Tracker - Justia Regulations Tracker https://regulations.justia.com/regulations/fedreg/agencies/securities-and-exchange-commission?limit=200&mode=atom 2018-10-20T20:40:25-07:00 Justia Inc https://www.justia.com/ Justia Regulations Tracker https://regulations.justia.com/images/justiafedregulations.gif Copyright 2011 Justia Inc https://regulations.justia.com/regulations/fedreg/2018/10/19/2018-22930.html Rule - Regulation Crowdfunding and Regulation A Relief and Assistance for Victims of Hurricane Michael 2018-10-19T00:00:00-07:00 2018-10-19T00:00:00-07:00 2018-22930 Rule https://www.gpo.gov/fdsys/pkg/FR-2018-10-19/pdf/2018-22930.pdf https://regulations.justia.com/regulations/fedreg/2018/10/19/2018-22781.html Notice - Submission for OMB Review; Comment Request 2018-10-19T00:00:00-07:00 2018-10-19T00:00:00-07:00 2018-22781 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-10-19/pdf/2018-22781.pdf https://regulations.justia.com/regulations/fedreg/2018/10/19/2018-22780.html Notice - Self-Regulatory Organizations; National Securities Clearing Corporation; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the Clearing Agency Policy on Capital Requirements and the Clearing Agency Capital Replenishment Plan 2018-10-19T00:00:00-07:00 2018-10-19T00:00:00-07:00 2018-22780 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-10-19/pdf/2018-22780.pdf https://regulations.justia.com/regulations/fedreg/2018/10/19/2018-22779.html Notice - Self-Regulatory Organizations; The Depository Trust Company; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the Clearing Agency Policy on Capital Requirements and the Clearing Agency Capital Replenishment Plan 2018-10-19T00:00:00-07:00 2018-10-19T00:00:00-07:00 2018-22779 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-10-19/pdf/2018-22779.pdf https://regulations.justia.com/regulations/fedreg/2018/10/19/2018-22778.html Notice - Self-Regulatory Organizations; Fixed Income Clearing Corporation; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the Clearing Agency Policy on Capital Requirements and the Clearing Agency Capital Replenishment Plan 2018-10-19T00:00:00-07:00 2018-10-19T00:00:00-07:00 2018-22778 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-10-19/pdf/2018-22778.pdf https://regulations.justia.com/regulations/fedreg/2018/10/19/2018-22777.html Notice - Self-Regulatory Organizations; Nasdaq GEMX, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Delete Current Rules on Arbitration, Under Chapter 18 2018-10-19T00:00:00-07:00 2018-10-19T00:00:00-07:00 2018-22777 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-10-19/pdf/2018-22777.pdf https://regulations.justia.com/regulations/fedreg/2018/10/19/2018-22776.html Notice - Self-Regulatory Organizations; ICE Clear Credit LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to ICC's Stress Testing Framework and ICC's Liquidity Risk Management Framework 2018-10-19T00:00:00-07:00 2018-10-19T00:00:00-07:00 2018-22776 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-10-19/pdf/2018-22776.pdf https://regulations.justia.com/regulations/fedreg/2018/10/19/2018-22775.html Notice - Self-Regulatory Organizations; The Nasdaq Stock Market LLC; Order Granting Approval of a Proposed Rule Change, as Modified by Amendment No. 1, Relating to the First Trust Senior Loan Fund of First Trust Exchange-Traded Fund IV 2018-10-19T00:00:00-07:00 2018-10-19T00:00:00-07:00 2018-22775 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-10-19/pdf/2018-22775.pdf https://regulations.justia.com/regulations/fedreg/2018/10/19/2018-22531.html Proposed Rule - Capital, Margin, and Segregation Requirements for Security-Based Swap Dealers and Major Security-Based Swap Participants and Capital Requirements for Broker-Dealers 2018-10-19T00:00:00-07:00 2018-10-19T00:00:00-07:00 2018-22531 Proposed Rule https://www.gpo.gov/fdsys/pkg/FR-2018-10-19/pdf/2018-22531.pdf https://regulations.justia.com/regulations/fedreg/2018/10/18/2018-22683.html Notice - Self-Regulatory Organizations; Miami International Securities Exchange, LLC; Order Granting Approval of a Proposed Rule Change To List and Trade Options on the SPIKESTM 2018-10-18T00:00:00-07:00 2018-10-18T00:00:00-07:00 2018-22683 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-10-18/pdf/2018-22683.pdf https://regulations.justia.com/regulations/fedreg/2018/10/18/2018-22682.html Notice - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing of 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 Standards 2018-10-18T00:00:00-07:00 2018-10-18T00:00:00-07:00 2018-22682 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-10-18/pdf/2018-22682.pdf https://regulations.justia.com/regulations/fedreg/2018/10/18/2018-22681.html Notice - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Order Approving a Proposed Rule Change To Amend the Arbitrator Payment Rule To Pay Each Arbitrator a $200 Honorarium To Decide Without a Hearing Session a Contested Subpoena Request or a Contested Order for Production or Appearance 2018-10-18T00:00:00-07:00 2018-10-18T00:00:00-07:00 2018-22681 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-10-18/pdf/2018-22681.pdf https://regulations.justia.com/regulations/fedreg/2018/10/18/2018-22676.html Notice - Audax Credit BDC Inc., et al.; Notice of Application 2018-10-18T00:00:00-07:00 2018-10-18T00:00:00-07:00 2018-22676 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-10-18/pdf/2018-22676.pdf https://regulations.justia.com/regulations/fedreg/2018/10/17/2018-22541.html Notice - Destra International & Event-Driven Credit Fund and Destra Capital Advisors LLC; Notice of Application 2018-10-17T00:00:00-07:00 2018-10-17T00:00:00-07:00 2018-22541 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-10-17/pdf/2018-22541.pdf https://regulations.justia.com/regulations/fedreg/2018/10/17/2018-22540.html Notice - Self-Regulatory Organizations; LCH SA; Order Approving Proposed Rule Change Relating to Implementation of Electronic Exercise Platform 2018-10-17T00:00:00-07:00 2018-10-17T00:00:00-07:00 2018-22540 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-10-17/pdf/2018-22540.pdf https://regulations.justia.com/regulations/fedreg/2018/10/17/2018-22539.html Notice - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the Fees for Routing Orders in UTP Securities Priced Below $1.00 2018-10-17T00:00:00-07:00 2018-10-17T00:00:00-07:00 2018-22539 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-10-17/pdf/2018-22539.pdf https://regulations.justia.com/regulations/fedreg/2018/10/17/2018-22538.html Notice - Self-Regulatory Organizations; Nasdaq ISE, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Certain Maker/Taker Fees in Section I of the Exchanges Schedule of Fees 2018-10-17T00:00:00-07:00 2018-10-17T00:00:00-07:00 2018-22538 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-10-17/pdf/2018-22538.pdf https://regulations.justia.com/regulations/fedreg/2018/10/17/2018-22537.html Notice - Self-Regulatory Organizations; Cboe EDGX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Introduce Equities Purge Ports To (1) Establish Purge Ports for Equities Trading and Amend the Interpretations and Policies to Rule 11.10, Order Execution, To Reflect the Proposed Purge Ports, and (2) Modify the Fee Schedule Applicable To the Exchange's Equities Platform (“EDGX Equities”) to Identify and To Set Fees for Purge Ports 2018-10-17T00:00:00-07:00 2018-10-17T00:00:00-07:00 2018-22537 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-10-17/pdf/2018-22537.pdf https://regulations.justia.com/regulations/fedreg/2018/10/17/2018-22536.html Notice - Self-Regulatory Organizations; Cboe EDGA Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Introduce Equities Purge Ports to (1) Establish Purge Ports for Equities Trading and Amend the Interpretations and Policies to Rule 11.10, Order Execution, To Reflect the Proposed Purge Ports, and (2) Modify the Fee Schedule Applicable to the Exchange's Equities Platform (“EDGA Equities”) To Identify and To Set Fees for Purge Ports 2018-10-17T00:00:00-07:00 2018-10-17T00:00:00-07:00 2018-22536 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-10-17/pdf/2018-22536.pdf https://regulations.justia.com/regulations/fedreg/2018/10/17/2018-22535.html Notice - Self-Regulatory Organizations; Cboe BZX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Introduce Equities Purge Ports To (1) Establish Purge Ports for Equities Trading and Amend the Interpretations and Policies to Rule 11.10, Order Execution, To Reflect the Proposed Purge Ports, and (2) Modify the Fee Schedule Applicable to the Exchange's Equities Platform (“BZX Equities”) To Identify and To Set Fees for Purge Ports 2018-10-17T00:00:00-07:00 2018-10-17T00:00:00-07:00 2018-22535 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-10-17/pdf/2018-22535.pdf https://regulations.justia.com/regulations/fedreg/2018/10/17/2018-22534.html Notice - Self-Regulatory Organizations; Cboe BYX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Introduce Equities Purge Ports To (1) Establish Purge Ports for Equities Trading and Amend the Interpretations and Policies to Rule 11.10, Order Execution, To Reflect the Proposed Purge Ports, and (2) Modify the Fee Schedule Applicable to the Exchange's Equities Platform (“BYX Equities”) To Identify and To Set Fees for Purge Ports 2018-10-17T00:00:00-07:00 2018-10-17T00:00:00-07:00 2018-22534 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-10-17/pdf/2018-22534.pdf https://regulations.justia.com/regulations/fedreg/2018/10/17/2018-22533.html Notice - Self-Regulatory Organizations; Cboe BZX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Related to Fees on Cboe BZX Exchange, Inc. 2018-10-17T00:00:00-07:00 2018-10-17T00:00:00-07:00 2018-22533 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-10-17/pdf/2018-22533.pdf https://regulations.justia.com/regulations/fedreg/2018/10/17/2018-22532.html Notice - Self-Regulatory Organizations; NYSE American LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Rule 7.14E, Clearance and Settlement 2018-10-17T00:00:00-07:00 2018-10-17T00:00:00-07:00 2018-22532 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-10-17/pdf/2018-22532.pdf https://regulations.justia.com/regulations/fedreg/2018/10/16/2018-22433.html Notice - Self-Regulatory Organizations; MIAX PEARL, LLC; Notice of Withdrawal of a Proposed Rule Change To Amend the Fee Schedule Regarding Connectivity Fees for Members and Non-Members 2018-10-16T00:00:00-07:00 2018-10-16T00:00:00-07:00 2018-22433 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-10-16/pdf/2018-22433.pdf https://regulations.justia.com/regulations/fedreg/2018/10/16/2018-22432.html Notice - Self-Regulatory Organizations; NYSE American LLC; Notice of Filing and Immediate Effectiveness of Amendments to Rules Regarding Qualification, Registration and Continuing Education Applicable to Member Organizations, Equity Trading Permit Holders, and American Trading Permit Holders 2018-10-16T00:00:00-07:00 2018-10-16T00:00:00-07:00 2018-22432 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-10-16/pdf/2018-22432.pdf https://regulations.justia.com/regulations/fedreg/2018/10/16/2018-22431.html Notice - Self-Regulatory Organizations; Miami International Securities Exchange LLC; Notice of Withdrawal of a Proposed Rule Change To Amend the Fee Schedule Regarding Connectivity Fees for Members and Non-Members 2018-10-16T00:00:00-07:00 2018-10-16T00:00:00-07:00 2018-22431 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-10-16/pdf/2018-22431.pdf https://regulations.justia.com/regulations/fedreg/2018/10/16/2018-22430.html Notice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of Amendments to Rules Regarding Qualification, Registration and Continuing Education Applicable to Equity Trading Permit Holders, Options Trading Permit Holders or OTP Firms 2018-10-16T00:00:00-07:00 2018-10-16T00:00:00-07:00 2018-22430 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-10-16/pdf/2018-22430.pdf https://regulations.justia.com/regulations/fedreg/2018/10/16/2018-22429.html Notice - Self-Regulatory Organizations; Cboe C2 Exchange, Inc.; Notice of Filing of a Proposed Rule Change To Amend C2's Rulebook To Allow the Post Only Order Instruction on Complex Orders That Route to Its Electronic Book 2018-10-16T00:00:00-07:00 2018-10-16T00:00:00-07:00 2018-22429 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-10-16/pdf/2018-22429.pdf https://regulations.justia.com/regulations/fedreg/2018/10/16/2018-22428.html Notice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating To Listing and Trading of Shares of the iShares iBond Dec 2026 Term Muni Bond ETF Under Commentary .02 to NYSE Arca Rule 5.2-E(j)(3) 2018-10-16T00:00:00-07:00 2018-10-16T00:00:00-07:00 2018-22428 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-10-16/pdf/2018-22428.pdf https://regulations.justia.com/regulations/fedreg/2018/10/16/2018-22427.html Notice - Self-Regulatory Organizations; Cboe BZX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To List and Trade Shares of the JPMorgan Municipal ETF and JPMorgan Ultra-Short Municipal ETF of the J.P. Morgan Exchange-Traded Fund Trust Under Rule 14.11(i), Managed Fund Shares 2018-10-16T00:00:00-07:00 2018-10-16T00:00:00-07:00 2018-22427 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-10-16/pdf/2018-22427.pdf https://regulations.justia.com/regulations/fedreg/2018/10/16/2018-22426.html Notice - Self-Regulatory Organizations; Cboe EDGX Exchange, Inc.; Notice of Filing of a Proposed Rule Change To Amend the Exchange's Rulebook To Allow the Post Only Order Instruction on Complex Orders That Route to Its Electronic Book for Trading Options 2018-10-16T00:00:00-07:00 2018-10-16T00:00:00-07:00 2018-22426 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-10-16/pdf/2018-22426.pdf https://regulations.justia.com/regulations/fedreg/2018/10/16/2018-22425.html Notice - Self-Regulatory Organizations; Cboe Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Its Fees Schedule 2018-10-16T00:00:00-07:00 2018-10-16T00:00:00-07:00 2018-22425 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-10-16/pdf/2018-22425.pdf https://regulations.justia.com/regulations/fedreg/2018/10/16/2018-22424.html Notice - 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 Adopt a New Rebate for Certain Manual Transactions Initiated From the Trading Floor 2018-10-16T00:00:00-07:00 2018-10-16T00:00:00-07:00 2018-22424 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-10-16/pdf/2018-22424.pdf https://regulations.justia.com/regulations/fedreg/2018/10/16/2018-22412.html Notice - Program for Allocation of Regulatory Responsibilities Pursuant to Rule 17d-2; Notice of Filing and Order Approving and Declaring Effective an Amendment to the Plan for the Allocation of Regulatory Responsibilities Among Cboe BZX Exchange, Inc., Cboe BYX Exchange, Inc., Chicago Stock Exchange, Inc., Cboe EDGA Exchange, Inc., Cboe EDGX Exchange, Inc., Financial Industry Regulatory Authority, Inc., Nasdaq BX, Inc., Nasdaq PHLX LLC, The Nasdaq Stock Market LLC, NYSE National, Inc., New York Stock Exchange LLC, NYSE American LLC, NYSE Arca, Inc., and Investors Exchange LLC Relating to the Surveillance, Investigation, and Enforcement of Insider Trading Rules 2018-10-16T00:00:00-07:00 2018-10-16T00:00:00-07:00 2018-22412 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-10-16/pdf/2018-22412.pdf https://regulations.justia.com/regulations/fedreg/2018/10/15/2018-22296.html Notice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Designation of a Longer Period for Commission Action on a Proposed Rule Change To List and Trade Shares of the First Trust Long Duration Opportunities ETF Under NYSE Arca Rule 8.600-E 2018-10-15T00:00:00-07:00 2018-10-15T00:00:00-07:00 2018-22296 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-10-15/pdf/2018-22296.pdf https://regulations.justia.com/regulations/fedreg/2018/10/15/2018-22295.html Notice - Self-Regulatory Organizations; The Nasdaq Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend, Reorganize and Enhance Its Membership, Registration and Qualification Rules 2018-10-15T00:00:00-07:00 2018-10-15T00:00:00-07:00 2018-22295 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-10-15/pdf/2018-22295.pdf https://regulations.justia.com/regulations/fedreg/2018/10/15/2018-22294.html Notice - Self-Regulatory Organizations; Nasdaq ISE, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend, Reorganize and Enhance Its Membership, Registration and Qualification Rules and To Make Conforming Changes to Certain Other Rules 2018-10-15T00:00:00-07:00 2018-10-15T00:00:00-07:00 2018-22294 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-10-15/pdf/2018-22294.pdf https://regulations.justia.com/regulations/fedreg/2018/10/15/2018-22293.html Notice - Self-Regulatory Organizations; MIAX PEARL, LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the MIAX PEARL Fee Schedule 2018-10-15T00:00:00-07:00 2018-10-15T00:00:00-07:00 2018-22293 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-10-15/pdf/2018-22293.pdf https://regulations.justia.com/regulations/fedreg/2018/10/15/2018-22292.html Notice - Self-Regulatory Organizations; Nasdaq MRX, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend, Reorganize and Enhance Its Membership, Registration and Qualification Rules and To Make Conforming Changes to Certain Other Rules 2018-10-15T00:00:00-07:00 2018-10-15T00:00:00-07:00 2018-22292 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-10-15/pdf/2018-22292.pdf https://regulations.justia.com/regulations/fedreg/2018/10/15/2018-22290.html Notice - Submission for OMB Review; Comment Request 2018-10-15T00:00:00-07:00 2018-10-15T00:00:00-07:00 2018-22290 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-10-15/pdf/2018-22290.pdf https://regulations.justia.com/regulations/fedreg/2018/10/15/2018-22289.html Notice - Submission for OMB Review; Comment Request 2018-10-15T00:00:00-07:00 2018-10-15T00:00:00-07:00 2018-22289 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-10-15/pdf/2018-22289.pdf https://regulations.justia.com/regulations/fedreg/2018/10/15/2018-22288.html Notice - Submission for OMB Review; Comment Request 2018-10-15T00:00:00-07:00 2018-10-15T00:00:00-07:00 2018-22288 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-10-15/pdf/2018-22288.pdf https://regulations.justia.com/regulations/fedreg/2018/10/12/2018-22210.html Notice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating To Listing and Trading of Shares of the First Trust Ultra Short Duration Municipal ETF Under NYSE Arca Rule 8.600-E 2018-10-12T00:00:00-07:00 2018-10-12T00:00:00-07:00 2018-22210 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-10-12/pdf/2018-22210.pdf https://regulations.justia.com/regulations/fedreg/2018/10/12/2018-22209.html Notice - Self-Regulatory Organizations; NYSE National, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Its Schedule of Fees 2018-10-12T00:00:00-07:00 2018-10-12T00:00:00-07:00 2018-22209 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-10-12/pdf/2018-22209.pdf https://regulations.justia.com/regulations/fedreg/2018/10/12/2018-22208.html Notice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating To Listing and Trading of Shares of the First Trust Short Duration Managed Municipal ETF Under NYSE Arca Rule 8.600-E 2018-10-12T00:00:00-07:00 2018-10-12T00:00:00-07:00 2018-22208 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-10-12/pdf/2018-22208.pdf https://regulations.justia.com/regulations/fedreg/2018/10/12/2018-22207.html Notice - Self-Regulatory Organizations; Cboe BZX Exchange, Inc.; Notice of Filing of Amendment No. 1 and Order Instituting 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) 2018-10-12T00:00:00-07:00 2018-10-12T00:00:00-07:00 2018-22207 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-10-12/pdf/2018-22207.pdf https://regulations.justia.com/regulations/fedreg/2018/10/12/2018-22206.html Notice - Self-Regulatory Organizations; Cboe BZX Exchange, Inc.; Notice of Filing of Amendment Nos. 2 and 4 and Order Granting Accelerated Approval of a Proposed Rule Change, as Modified by Amendment Nos. 2 and 4, To Amend BZX Rule 14.8, General Listings Requirements-Tier I, To Adopt Listing Standards for Closed-End Funds 2018-10-12T00:00:00-07:00 2018-10-12T00:00:00-07:00 2018-22206 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-10-12/pdf/2018-22206.pdf https://regulations.justia.com/regulations/fedreg/2018/10/12/2018-22205.html Notice - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Change Relating to Provision of Test Result Information to Candidates Who Pass a FINRA Qualification Examination 2018-10-12T00:00:00-07:00 2018-10-12T00:00:00-07:00 2018-22205 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-10-12/pdf/2018-22205.pdf https://regulations.justia.com/regulations/fedreg/2018/10/12/2018-22204.html Notice - Self-Regulatory Organizations; ICE Clear Europe Limited; Notice of Filing and Order Granting Accelerated Approval of Proposed Rule Change, as Modified by Amendment No. 1, Relating to Intraday Margining 2018-10-12T00:00:00-07:00 2018-10-12T00:00:00-07:00 2018-22204 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-10-12/pdf/2018-22204.pdf https://regulations.justia.com/regulations/fedreg/2018/10/12/2018-22203.html Notice - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Order Approving Proposed Rule Change to FINRA Rule 6710 To Modify the Dissemination Protocols for Agency Debt Securities 2018-10-12T00:00:00-07:00 2018-10-12T00:00:00-07:00 2018-22203 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-10-12/pdf/2018-22203.pdf https://regulations.justia.com/regulations/fedreg/2018/10/12/2018-22202.html Notice - Self-Regulatory Organizations; Nasdaq ISE, LLC; Notice of Filing of Amendment No. 1 and Order Granting Accelerated Approval of a Proposed Rule Change, as Modified by Amendment No. 1, To Amend Its Rules Relating to Complex Orders 2018-10-12T00:00:00-07:00 2018-10-12T00:00:00-07:00 2018-22202 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-10-12/pdf/2018-22202.pdf https://regulations.justia.com/regulations/fedreg/2018/10/12/2018-22196.html Notice - Natixis Funds Trust I, et al.; Notice of Application 2018-10-12T00:00:00-07:00 2018-10-12T00:00:00-07:00 2018-22196 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-10-12/pdf/2018-22196.pdf https://regulations.justia.com/regulations/fedreg/2018/10/11/2018-22096.html Notice - Self-Regulatory Organizations; Cboe BZX Exchange, Inc.; Notice of Filing of Amendment No. 2 to a Proposed Rule Change To List and Trade Shares of the GraniteShares Bitcoin ETF and the GraniteShares Short Bitcoin ETF, a Series of the GraniteShares ETP Trust, Under Rule 14.11(f)(4), Trust Issued Receipts 2018-10-11T00:00:00-07:00 2018-10-11T00:00:00-07:00 2018-22096 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-10-11/pdf/2018-22096.pdf https://regulations.justia.com/regulations/fedreg/2018/10/11/2018-22094.html Notice - Securities Exchange Act of 1934 2018-10-11T00:00:00-07:00 2018-10-11T00:00:00-07:00 2018-22094 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-10-11/pdf/2018-22094.pdf https://regulations.justia.com/regulations/fedreg/2018/10/11/2018-22093.html Notice - In the Matter of the NYSE Arca, Inc. For an Order of Disapproval of Proposed Rule Change Relating To Listing and Trading of the Direxion Daily Bitcoin Bear 1X Shares, Direxion Daily Bitcoin 1.25X Bull Shares, Direxion Daily Bitcoin 1.5X Bull Shares, Direxion Daily Bitcoin 2X Bull Shares, and Direxion Daily Bitcoin 2X Bear Shares Under NYSE Arca Rule 8.200-E (File No. SR-NYSEArca-2018-02); Order Scheduling Filing of Statements on Review 2018-10-11T00:00:00-07:00 2018-10-11T00:00:00-07:00 2018-22093 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-10-11/pdf/2018-22093.pdf https://regulations.justia.com/regulations/fedreg/2018/10/11/2018-22084.html Notice - In the Matter of the Cboe BZX Exchange, Inc.; For an Order of Disapproval of Proposed Rule Change To List and Trade the Shares of the GraniteShares Bitcoin ETF and the GraniteShares Short Bitcoin ETF (File No. SR-CboeBZX-2018-001); Order Scheduling Filing of Statements on Review 2018-10-11T00:00:00-07:00 2018-10-11T00:00:00-07:00 2018-22084 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-10-11/pdf/2018-22084.pdf https://regulations.justia.com/regulations/fedreg/2018/10/11/2018-22049.html Notice - Self-Regulatory Organizations; NYSE American LLC; Notice of Filing of Proposed Rule Change To Allow Flexible Exchange Equity Options Where the Underlying Security is an Exchange-Traded Fund That Is Included in the Option Penny Pilot To Be Settled in Cash 2018-10-11T00:00:00-07:00 2018-10-11T00:00:00-07:00 2018-22049 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-10-11/pdf/2018-22049.pdf https://regulations.justia.com/regulations/fedreg/2018/10/11/2018-22048.html Notice - Self-Regulatory Organizations: Investors Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Correct Several Typographical Errors in IEX Rule 2.160 Added by a Previous Filing 2018-10-11T00:00:00-07:00 2018-10-11T00:00:00-07:00 2018-22048 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-10-11/pdf/2018-22048.pdf https://regulations.justia.com/regulations/fedreg/2018/10/11/2018-22047.html Notice - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend CAB Rule 331 (Anti-Money Laundering Compliance Program) To Conform to FinCEN's Final Rule on Customer Due Diligence Requirements for Financial Institutions 2018-10-11T00:00:00-07:00 2018-10-11T00:00:00-07:00 2018-22047 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-10-11/pdf/2018-22047.pdf https://regulations.justia.com/regulations/fedreg/2018/10/11/2018-22046.html Notice - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Order Approving Proposed Rule Change To Amend FINRA Rule 7730 To Remove Computer-to-Computer Interface as a Technological Option for TRACE Reporting 2018-10-11T00:00:00-07:00 2018-10-11T00:00:00-07:00 2018-22046 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-10-11/pdf/2018-22046.pdf https://regulations.justia.com/regulations/fedreg/2018/10/11/2018-22045.html Notice - Self-Regulatory Organizations: Notice of Filing and Immediate Effectiveness of a Proposed Rule Change by MIAX PEARL, LLC To Amend Exchange Rule 203, Qualification and Registration of Members and Associated Persons, Relating to Registration and Qualification Examinations Required for Members and Associated Persons of Members That Engage in Trading Activities on the Exchange 2018-10-11T00:00:00-07:00 2018-10-11T00:00:00-07:00 2018-22045 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-10-11/pdf/2018-22045.pdf https://regulations.justia.com/regulations/fedreg/2018/10/11/2018-22044.html Notice - Self-Regulatory Organizations; Miami International Securities Exchange, LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Exchange Rules 203, Qualification and Registration of Members and Associated Persons, 1301, Registration of Options Principals, and 1302, Registration of Representatives, Relating to Registration and Qualification Examinations Required for Members and Associated Persons of Members That Engage in Trading Activities on the Exchange 2018-10-11T00:00:00-07:00 2018-10-11T00:00:00-07:00 2018-22044 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-10-11/pdf/2018-22044.pdf https://regulations.justia.com/regulations/fedreg/2018/10/11/2018-22043.html Notice - Self-Regulatory Organizations: Investors Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Modify Its Fee Schedule To Specify the Circumstances Under Which the Exchange Will Aggregate the Activity of Affiliated Members for Purposes of Applying the Provisions of Rule 11.170(a) Related to the IEMM Program 2018-10-11T00:00:00-07:00 2018-10-11T00:00:00-07:00 2018-22043 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-10-11/pdf/2018-22043.pdf https://regulations.justia.com/regulations/fedreg/2018/10/10/2018-21953.html Notice - Fixed Income Market Structure Advisory Committee 2018-10-10T00:00:00-07:00 2018-10-10T00:00:00-07:00 2018-21953 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-10-10/pdf/2018-21953.pdf https://regulations.justia.com/regulations/fedreg/2018/10/10/2018-21922.html Notice - Self-Regulatory Organizations; MIAX PEARL, LLC; Notice of Filing of a Proposed Rule Change To Amend the Fee Schedule Regarding Connectivity Fees for Members and Non-Members; Suspension of and Order Instituting Proceedings To Determine Whether To Approve or Disapprove the Proposed Rule Change 2018-10-10T00:00:00-07:00 2018-10-10T00:00:00-07:00 2018-21922 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-10-10/pdf/2018-21922.pdf https://regulations.justia.com/regulations/fedreg/2018/10/10/2018-21921.html Notice - Self-Regulatory Organizations; Miami International Securities Exchange LLC; Notice of Filing of a Proposed Rule Change To Amend the Fee Schedule Regarding Connectivity Fees for Members and Non-Members; Suspension of and Order Instituting Proceedings To Determine Whether To Approve or Disapprove the Proposed Rule Change 2018-10-10T00:00:00-07:00 2018-10-10T00:00:00-07:00 2018-21921 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-10-10/pdf/2018-21921.pdf https://regulations.justia.com/regulations/fedreg/2018/10/10/2018-21909.html Notice - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Rule 7.14, Clearance and Settlement 2018-10-10T00:00:00-07:00 2018-10-10T00:00:00-07:00 2018-21909 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-10-10/pdf/2018-21909.pdf https://regulations.justia.com/regulations/fedreg/2018/10/10/2018-21907.html Notice - Self-Regulatory Organizations; New York Stock Exchange LLC; Order Approving a Proposed Rule Change To Provide for the Listing of Exchange Traded Products With No Component NMS Stock Listed on the Exchange, Delete Obsolete Listing Rules for Exchange Traded Products and Amend Rules Regarding Unlisted Trading Privileges 2018-10-10T00:00:00-07:00 2018-10-10T00:00:00-07:00 2018-21907 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-10-10/pdf/2018-21907.pdf https://regulations.justia.com/regulations/fedreg/2018/10/10/2018-21904.html Notice - Self-Regulatory Organizations; Nasdaq BX, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend, Reorganize and Enhance Membership, Registration and Qualification Rules, and To Make Conforming Changes to Certain Other Rules 2018-10-10T00:00:00-07:00 2018-10-10T00:00:00-07:00 2018-21904 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-10-10/pdf/2018-21904.pdf https://regulations.justia.com/regulations/fedreg/2018/10/10/2018-21903.html Notice - Self-Regulatory Organizations; NYSE National, Inc.; Notice of Filing and Immediate Effectiveness of Amendments to Rules Regarding Qualification, Registration and Continuing Education Applicable to Equity Trading Permit Holders 2018-10-10T00:00:00-07:00 2018-10-10T00:00:00-07:00 2018-21903 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-10-10/pdf/2018-21903.pdf https://regulations.justia.com/regulations/fedreg/2018/10/10/2018-21902.html Notice - Self-Regulatory Organizations; Nasdaq PHLX LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend, Reorganize and Enhance Membership, Registration and Qualification Rules and To Make Conforming Changes to Certain Other Rules 2018-10-10T00:00:00-07:00 2018-10-10T00:00:00-07:00 2018-21902 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-10-10/pdf/2018-21902.pdf https://regulations.justia.com/regulations/fedreg/2018/10/10/2018-21901.html Notice - Self-Regulatory Organizations; NYSE Arca, Inc.; Order Granting Approval of Proposed Rule Change, as Modified by Amendment Nos. 4 and 6, To List and Trade Shares of the Amplify BlackSwan Growth & Treasury Core ETF Under Commentary .02 to NYSE Arca Rule 5.2-E(j)(3) 2018-10-10T00:00:00-07:00 2018-10-10T00:00:00-07:00 2018-21901 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-10-10/pdf/2018-21901.pdf https://regulations.justia.com/regulations/fedreg/2018/10/10/2018-21900.html Notice - Self-Regulatory Organizations; The Nasdaq Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Align Existing Investigatory and Disciplinary Processes and Related Rules With the Investigatory and Disciplinary Processes and Related Rules of Nasdaq PHLX LLC 2018-10-10T00:00:00-07:00 2018-10-10T00:00:00-07:00 2018-21900 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-10-10/pdf/2018-21900.pdf https://regulations.justia.com/regulations/fedreg/2018/10/09/2018-21995.html Notice - Sunshine Act Meetings 2018-10-09T00:00:00-07:00 2018-10-09T00:00:00-07:00 2018-21995 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-10-09/pdf/2018-21995.pdf https://regulations.justia.com/regulations/fedreg/2018/10/09/2018-21906.html Notice - Self-Regulatory Organizations; Nasdaq BX, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Align Existing Investigatory and Disciplinary Processes and Related Rules With the Investigatory and Disciplinary Processes and Related Rules of Nasdaq PHLX LLC 2018-10-09T00:00:00-07:00 2018-10-09T00:00:00-07:00 2018-21906 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-10-09/pdf/2018-21906.pdf https://regulations.justia.com/regulations/fedreg/2018/10/09/2018-21874.html Notice - Vident Advisory, LLC et al. 2018-10-09T00:00:00-07:00 2018-10-09T00:00:00-07:00 2018-21874 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-10-09/pdf/2018-21874.pdf https://regulations.justia.com/regulations/fedreg/2018/10/09/2018-21834.html Notice - Proposed Collection; Comment Request 2018-10-09T00:00:00-07:00 2018-10-09T00:00:00-07:00 2018-21834 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-10-09/pdf/2018-21834.pdf https://regulations.justia.com/regulations/fedreg/2018/10/09/2018-21833.html Notice - Submission for OMB Review; Comment Request 2018-10-09T00:00:00-07:00 2018-10-09T00:00:00-07:00 2018-21833 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-10-09/pdf/2018-21833.pdf https://regulations.justia.com/regulations/fedreg/2018/10/09/2018-21832.html Notice - Submission for OMB Review; Comment Request 2018-10-09T00:00:00-07:00 2018-10-09T00:00:00-07:00 2018-21832 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-10-09/pdf/2018-21832.pdf https://regulations.justia.com/regulations/fedreg/2018/10/09/2018-21831.html Notice - Submission for OMB Review; Comment Request 2018-10-09T00:00:00-07:00 2018-10-09T00:00:00-07:00 2018-21831 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-10-09/pdf/2018-21831.pdf https://regulations.justia.com/regulations/fedreg/2018/10/09/2018-21830.html Notice - Submission for OMB Review; Comment Request 2018-10-09T00:00:00-07:00 2018-10-09T00:00:00-07:00 2018-21830 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-10-09/pdf/2018-21830.pdf https://regulations.justia.com/regulations/fedreg/2018/10/09/2018-21787.html Notice - Self-Regulatory Organizations; BOX Exchange LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Rules Relating to Registration and Qualification Examinations Required for Participants That Engage in Trading Activities on the Exchange 2018-10-09T00:00:00-07:00 2018-10-09T00:00:00-07:00 2018-21787 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-10-09/pdf/2018-21787.pdf https://regulations.justia.com/regulations/fedreg/2018/10/09/2018-21786.html Notice - Self-Regulatory Organizations; Nasdaq ISE, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Establish New Pricing for Flash Orders 2018-10-09T00:00:00-07:00 2018-10-09T00:00:00-07:00 2018-21786 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-10-09/pdf/2018-21786.pdf https://regulations.justia.com/regulations/fedreg/2018/10/09/2018-21785.html Notice - Self-Regulatory Organizations; ICE Clear Europe Limited; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to F&O Risk Policies 2018-10-09T00:00:00-07:00 2018-10-09T00:00:00-07:00 2018-21785 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-10-09/pdf/2018-21785.pdf https://regulations.justia.com/regulations/fedreg/2018/10/09/2018-21784.html Notice - Self-Regulatory Organizations; Cboe Exchange, Inc.; Order Approving a Proposed Rule Change To Adopt Rule 6.57, Risk-Weighted Asset (“RWA”) Packages 2018-10-09T00:00:00-07:00 2018-10-09T00:00:00-07:00 2018-21784 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-10-09/pdf/2018-21784.pdf https://regulations.justia.com/regulations/fedreg/2018/10/09/2018-21783.html Notice - Self-Regulatory Organizations; BOX Exchange LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend BOX Rule 7600(a)(4) (Qualified Open Outcry Orders-Floor Crossing) 2018-10-09T00:00:00-07:00 2018-10-09T00:00:00-07:00 2018-21783 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-10-09/pdf/2018-21783.pdf https://regulations.justia.com/regulations/fedreg/2018/10/09/2018-21782.html Notice - Self-Regulatory Organizations; Municipal Securities Rulemaking Board; Notice of Filing of a Proposed Rule Change To Amend MSRB Rule G-3, on Professional Qualification Requirements, To Require Municipal Advisor Principals To Become Appropriately Qualified by Passing the Municipal Advisor Principal Qualification Examination 2018-10-09T00:00:00-07:00 2018-10-09T00:00:00-07:00 2018-21782 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-10-09/pdf/2018-21782.pdf https://regulations.justia.com/regulations/fedreg/2018/10/09/2018-21781.html Notice - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate Effectiveness of Amendments To Rules Regarding Qualification, Registration and Continuing Education Applicable to Members and Member Organizations 2018-10-09T00:00:00-07:00 2018-10-09T00:00:00-07:00 2018-21781 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-10-09/pdf/2018-21781.pdf https://regulations.justia.com/regulations/fedreg/2018/10/09/2018-21761.html Notice - In the Matter of Chicago Stock Exchange, Inc., 440 South LaSalle Street, Suite 800, Chicago, IL 60605; File No. SR-CHX-2017-04; Order Setting Aside the Order by Delegated Authority Approving SR-CHX-2017-04 2018-10-09T00:00:00-07:00 2018-10-09T00:00:00-07:00 2018-21761 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-10-09/pdf/2018-21761.pdf https://regulations.justia.com/regulations/fedreg/2018/10/05/2018-21683.html Notice - 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 Facility To Revise Certain Qualification Thresholds and Fees in Sections I.B.1, Primary Improvement Order, and I.B.2, BOX Volume Rebate 2018-10-05T00:00:00-07:00 2018-10-05T00:00:00-07:00 2018-21683 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-10-05/pdf/2018-21683.pdf https://regulations.justia.com/regulations/fedreg/2018/10/05/2018-21681.html Notice - Self-Regulatory Organizations; Nasdaq BX, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Relocate the Pricing Schedule Rules 2018-10-05T00:00:00-07:00 2018-10-05T00:00:00-07:00 2018-21681 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-10-05/pdf/2018-21681.pdf https://regulations.justia.com/regulations/fedreg/2018/10/05/2018-21680.html Notice - Self-Regulatory Organizations; Cboe EDGX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Adopt a New Order Type Called the MidPoint Discretionary Order (“MDO”) Under Paragraph (g) of Exchange Rule 11.8 and To Amend the Definition of the Super Aggressive Instruction Under Paragraph (n)(2) of Exchange Rule 11.6 2018-10-05T00:00:00-07:00 2018-10-05T00:00:00-07:00 2018-21680 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-10-05/pdf/2018-21680.pdf https://regulations.justia.com/regulations/fedreg/2018/10/05/2018-21679.html Notice - Self-Regulatory Organizations; The Nasdaq Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change to the Minimum Quantity Order Attribute 2018-10-05T00:00:00-07:00 2018-10-05T00:00:00-07:00 2018-21679 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-10-05/pdf/2018-21679.pdf https://regulations.justia.com/regulations/fedreg/2018/10/05/2018-21678.html Notice - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Rule 67 To Specify That D-Quote Functionality Under Rule 67(f)(5) Will Continue To Be in Effect Until Six Months After the End of the Pilot Period 2018-10-05T00:00:00-07:00 2018-10-05T00:00:00-07:00 2018-21678 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-10-05/pdf/2018-21678.pdf https://regulations.justia.com/regulations/fedreg/2018/10/05/2018-21295.html Proposed Rule - Amendments to Rules for Nationally Recognized Statistical Rating Organizations 2018-10-05T00:00:00-07:00 2018-10-05T00:00:00-07:00 2018-21295 Proposed Rule https://www.gpo.gov/fdsys/pkg/FR-2018-10-05/pdf/2018-21295.pdf https://regulations.justia.com/regulations/fedreg/2018/10/04/2018-21586.html Notice - Self-Regulatory Organizations; Nasdaq PHLX LLC; Order Approving a Proposed Rule Change Relating to Anticipatory Hedging 2018-10-04T00:00:00-07:00 2018-10-04T00:00:00-07:00 2018-21586 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-10-04/pdf/2018-21586.pdf https://regulations.justia.com/regulations/fedreg/2018/10/04/2018-21585.html Notice - Self-Regulatory Organizations; ICE Clear Credit LLC; Order Approving Proposed Rule Change Relating to ICC's Treasury Operations Policies and Procedures 2018-10-04T00:00:00-07:00 2018-10-04T00:00:00-07:00 2018-21585 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-10-04/pdf/2018-21585.pdf https://regulations.justia.com/regulations/fedreg/2018/10/04/2018-21584.html Notice - Self-Regulatory Organizations; The Nasdaq Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Rules 7039, 7047, 7049, 7055, and 7061 To Update the Definition of the Term FINRA/Nasdaq Trade Reporting Facility 2018-10-04T00:00:00-07:00 2018-10-04T00:00:00-07:00 2018-21584 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-10-04/pdf/2018-21584.pdf https://regulations.justia.com/regulations/fedreg/2018/10/04/2018-21582.html Notice - Self-Regulatory Organizations; Investors Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Rule 2.160 Related to the Qualification and Registration Requirements for Associated Persons of a Member and To Delete Rule 2.150 Which is Obsolete 2018-10-04T00:00:00-07:00 2018-10-04T00:00:00-07:00 2018-21582 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-10-04/pdf/2018-21582.pdf https://regulations.justia.com/regulations/fedreg/2018/10/04/2018-18142.html Rule - Disclosure Update and Simplification 2018-10-04T00:00:00-07:00 2018-10-04T00:00:00-07:00 2018-18142 Rule https://www.gpo.gov/fdsys/pkg/FR-2018-10-04/pdf/2018-18142.pdf https://regulations.justia.com/regulations/fedreg/2018/10/03/2018-21555.html Notice - MIAX EMERALD, LLC; Notice of Filing of Application for Registration as a National Securities Exchange Under Section 6 of the Securities Exchange Act of 1934 2018-10-03T00:00:00-07:00 2018-10-03T00:00:00-07:00 2018-21555 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-10-03/pdf/2018-21555.pdf https://regulations.justia.com/regulations/fedreg/2018/10/03/2018-21554.html Notice - Notice of Applications for Deregistration Under Section 8(f) of the Investment Company Act of 1940 2018-10-03T00:00:00-07:00 2018-10-03T00:00:00-07:00 2018-21554 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-10-03/pdf/2018-21554.pdf https://regulations.justia.com/regulations/fedreg/2018/10/03/2018-21511.html Notice - Submission for OMB Review; Comment Request 2018-10-03T00:00:00-07:00 2018-10-03T00:00:00-07:00 2018-21511 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-10-03/pdf/2018-21511.pdf https://regulations.justia.com/regulations/fedreg/2018/10/03/2018-21510.html Notice - Submission Collection; Comment Request 2018-10-03T00:00:00-07:00 2018-10-03T00:00:00-07:00 2018-21510 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-10-03/pdf/2018-21510.pdf https://regulations.justia.com/regulations/fedreg/2018/10/03/2018-21509.html Notice - Submission for OMB Review; Comment Request 2018-10-03T00:00:00-07:00 2018-10-03T00:00:00-07:00 2018-21509 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-10-03/pdf/2018-21509.pdf https://regulations.justia.com/regulations/fedreg/2018/10/03/2018-21487.html Notice - Self-Regulatory Organizations; Cboe BYX Exchange, Inc.; Notice of Designation of Longer Period for Commission Action on Proposed Rule Change To Make Permanent Rule 11.24, Which Sets Forth the Exchange's Pilot Retail Price Improvement Program 2018-10-03T00:00:00-07:00 2018-10-03T00:00:00-07:00 2018-21487 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-10-03/pdf/2018-21487.pdf https://regulations.justia.com/regulations/fedreg/2018/10/03/2018-21486.html Notice - Self-Regulatory Organizations; Cboe EDGX Exchange, Inc.; Order Approving a Proposed Rule Change, as Modified by Amendment Nos. 1 and 3, To Permit the Listing and Trading of Options That Overlie the Mini-SPX Index and the Russell 2000 Index 2018-10-03T00:00:00-07:00 2018-10-03T00:00:00-07:00 2018-21486 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-10-03/pdf/2018-21486.pdf https://regulations.justia.com/regulations/fedreg/2018/10/03/2018-21485.html Notice - Self-Regulatory Organizations; Cboe BZX Exchange, Inc.; Order Approving a Proposed Rule Change, as Modified by Amendment Nos. 1 and 2, To Permit the Listing and Trading of Options That Overlie the Mini-SPX Index and the Russell 2000 Index 2018-10-03T00:00:00-07:00 2018-10-03T00:00:00-07:00 2018-21485 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-10-03/pdf/2018-21485.pdf https://regulations.justia.com/regulations/fedreg/2018/10/03/2018-21482.html Notice - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Section 902.04 of the NYSE Listed Company Manual To Apply a $50,000 Fee Cap per Transaction for Issuances of Additional Shares by Closed End Funds 2018-10-03T00:00:00-07:00 2018-10-03T00:00:00-07:00 2018-21482 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-10-03/pdf/2018-21482.pdf https://regulations.justia.com/regulations/fedreg/2018/10/02/2018-21502.html Notice - Sunshine Act Meetings 2018-10-02T00:00:00-07:00 2018-10-02T00:00:00-07:00 2018-21502 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-10-02/pdf/2018-21502.pdf https://regulations.justia.com/regulations/fedreg/2018/10/02/2018-21375.html Notice - BC Partners Lending Corporation, et al.; Notice of Application 2018-10-02T00:00:00-07:00 2018-10-02T00:00:00-07:00 2018-21375 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-10-02/pdf/2018-21375.pdf https://regulations.justia.com/regulations/fedreg/2018/10/02/2018-21374.html Notice - Hedge Fund Guided Portfolio Solution, et al. 2018-10-02T00:00:00-07:00 2018-10-02T00:00:00-07:00 2018-21374 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-10-02/pdf/2018-21374.pdf https://regulations.justia.com/regulations/fedreg/2018/10/02/2018-21366.html Notice - Self-Regulatory Organizations; The Nasdaq Stock Market LLC; Notice of Filing of Amendment No. 1 and Order Granting Accelerated Approval of a Proposed Rule Change, as Modified by Amendment No. 1, To Modify the Listing Requirements Contained in Listing Rule 5635(d) To Change the Definition of Market Value for Purposes of the Shareholder Approval Rule and Eliminate the Requirement for Shareholder Approval of Issuances at a Price Less Than Book Value but Greater Than Market Value 2018-10-02T00:00:00-07:00 2018-10-02T00:00:00-07:00 2018-21366 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-10-02/pdf/2018-21366.pdf https://regulations.justia.com/regulations/fedreg/2018/10/02/2018-21365.html Notice - Self-Regulatory Organizations; Nasdaq PHLX LLC; Notice of Filing of Proposed Rule Change To Amend Rules 1000, 1064, and 1069 To Allow for the Snapshot Functionality of the Floor Based Management System to be Used for All Orders 2018-10-02T00:00:00-07:00 2018-10-02T00:00:00-07:00 2018-21365 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-10-02/pdf/2018-21365.pdf https://regulations.justia.com/regulations/fedreg/2018/10/02/2018-21364.html Notice - Self-Regulatory Organizations; Cboe BYX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Related to Fees for Use on Cboe BYX Exchange, Inc. 2018-10-02T00:00:00-07:00 2018-10-02T00:00:00-07:00 2018-21364 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-10-02/pdf/2018-21364.pdf https://regulations.justia.com/regulations/fedreg/2018/10/02/2018-19456.html Proposed Rule - Financial Disclosures About Guarantors and Issuers of Guaranteed Securities and Affiliates Whose Securities Collateralize a Registrant's Securities 2018-10-02T00:00:00-07:00 2018-10-02T00:00:00-07:00 2018-19456 Proposed Rule https://www.gpo.gov/fdsys/pkg/FR-2018-10-02/pdf/2018-19456.pdf https://regulations.justia.com/regulations/fedreg/2018/10/01/2018-21236.html Notice - Self-Regulatory Organizations; Nasdaq GEMX, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Relocate the Exchange's Schedule of Fees 2018-10-01T00:00:00-07:00 2018-10-01T00:00:00-07:00 2018-21236 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-10-01/pdf/2018-21236.pdf https://regulations.justia.com/regulations/fedreg/2018/10/01/2018-21235.html Notice - Self-Regulatory Organizations; Fixed Income Clearing Corporation; Order Approving Proposed Rule Change To Correct Certain References and Provide Transparency to Existing Processes in the Mortgage-Backed Securities Division Electronic Pool Notification Rules 2018-10-01T00:00:00-07:00 2018-10-01T00:00:00-07:00 2018-21235 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-10-01/pdf/2018-21235.pdf https://regulations.justia.com/regulations/fedreg/2018/10/01/2018-21234.html Notice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing of 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) 2018-10-01T00:00:00-07:00 2018-10-01T00:00:00-07:00 2018-21234 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-10-01/pdf/2018-21234.pdf https://regulations.justia.com/regulations/fedreg/2018/10/01/2018-21233.html Notice - Self-Regulatory Organizations; NYSE American LLC; Notice of Filing of Proposed Rule Change To Modify Rule 961 Regarding the Give Up of a Clearing Member by ATP Holders and Conforming Changes to Rule 933NY 2018-10-01T00:00:00-07:00 2018-10-01T00:00:00-07:00 2018-21233 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-10-01/pdf/2018-21233.pdf https://regulations.justia.com/regulations/fedreg/2018/10/01/2018-21232.html Notice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend a Representation Relating to the Redemption Procedures Applicable to the Sprott Physical Gold and Silver Trust 2018-10-01T00:00:00-07:00 2018-10-01T00:00:00-07:00 2018-21232 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-10-01/pdf/2018-21232.pdf https://regulations.justia.com/regulations/fedreg/2018/10/01/2018-21231.html Notice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing of Proposed Rule Change To Modify Rule 6.15-O Regarding the Give Up of a Clearing Member by OTP Holders and OTP Firms and Conforming Changes to Rule 6.46-O 2018-10-01T00:00:00-07:00 2018-10-01T00:00:00-07:00 2018-21231 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-10-01/pdf/2018-21231.pdf https://regulations.justia.com/regulations/fedreg/2018/09/28/2018-21110.html Notice - Self-Regulatory Organizations; Cboe Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating To Rename the “Extended Trading Hours” to “Global Trading Hours” in Its Rules and Fees Schedule 2018-09-28T00:00:00-07:00 2018-09-28T00:00:00-07:00 2018-21110 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-09-28/pdf/2018-21110.pdf https://regulations.justia.com/regulations/fedreg/2018/09/28/2018-21108.html Notice - 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 NYSE Rule 104 Governing Transactions by Designated Market Makers 2018-09-28T00:00:00-07:00 2018-09-28T00:00:00-07:00 2018-21108 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-09-28/pdf/2018-21108.pdf https://regulations.justia.com/regulations/fedreg/2018/09/28/2018-21107.html Notice - Self-Regulatory Organizations; NYSE Arca, Inc.; Order Instituting Proceedings To Determine Whether To Approve or Disapprove a Proposed Rule Change Regarding Investments of the REX BKCM ETF 2018-09-28T00:00:00-07:00 2018-09-28T00:00:00-07:00 2018-21107 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-09-28/pdf/2018-21107.pdf https://regulations.justia.com/regulations/fedreg/2018/09/27/2018-21080.html Notice - Distillate Capital Partners LLC, et al. 2018-09-27T00:00:00-07:00 2018-09-27T00:00:00-07:00 2018-21080 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-09-27/pdf/2018-21080.pdf https://regulations.justia.com/regulations/fedreg/2018/09/27/2018-21043.html Notice - Submission for OMB Review Comment Request 2018-09-27T00:00:00-07:00 2018-09-27T00:00:00-07:00 2018-21043 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-09-27/pdf/2018-21043.pdf https://regulations.justia.com/regulations/fedreg/2018/09/27/2018-21000.html Notice - Self-Regulatory Organizations; Fixed Income Clearing Corporation; Order Approving Proposed Rule Change To Apply the Government Securities Division Corporation Default Rule to Sponsored Members and Make Other Changes 2018-09-27T00:00:00-07:00 2018-09-27T00:00:00-07:00 2018-21000 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-09-27/pdf/2018-21000.pdf https://regulations.justia.com/regulations/fedreg/2018/09/27/2018-20999.html Notice - Self-Regulatory Organizations; National Securities Clearing Corporation; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Clarify and Update Certain Sections of the Rules 2018-09-27T00:00:00-07:00 2018-09-27T00:00:00-07:00 2018-20999 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-09-27/pdf/2018-20999.pdf https://regulations.justia.com/regulations/fedreg/2018/09/27/2018-20998.html Notice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing of Amendment No. 1 and Order Approving on an Accelerated Basis a Proposed Rule Change, as Modified by Amendment No. 1, To List and Trade Shares of the GraniteShares Gold MiniBAR Trust Pursuant to NYSE Arca Rule 8.201-E 2018-09-27T00:00:00-07:00 2018-09-27T00:00:00-07:00 2018-20998 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-09-27/pdf/2018-20998.pdf https://regulations.justia.com/regulations/fedreg/2018/09/27/2018-20997.html Notice - Self-Regulatory Organizations; National Securities Clearing Corporation; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Clarify the Rules That Describe the Buy-In Process 2018-09-27T00:00:00-07:00 2018-09-27T00:00:00-07:00 2018-20997 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-09-27/pdf/2018-20997.pdf https://regulations.justia.com/regulations/fedreg/2018/09/27/2018-20880.html Proposed Rule - Amendment to Single Issuer Exemption for Broker-Dealers 2018-09-27T00:00:00-07:00 2018-09-27T00:00:00-07:00 2018-20880 Proposed Rule https://www.gpo.gov/fdsys/pkg/FR-2018-09-27/pdf/2018-20880.pdf https://regulations.justia.com/regulations/fedreg/2018/09/26/2018-20956.html Notice - Ares Credit and Income Trust and Ares Capital Management III LLC; Notice of Application 2018-09-26T00:00:00-07:00 2018-09-26T00:00:00-07:00 2018-20956 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-09-26/pdf/2018-20956.pdf https://regulations.justia.com/regulations/fedreg/2018/09/26/2018-20886.html Notice - Self-Regulatory Organizations; Nasdaq GEMX, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Risk Protections 2018-09-26T00:00:00-07:00 2018-09-26T00:00:00-07:00 2018-20886 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-09-26/pdf/2018-20886.pdf https://regulations.justia.com/regulations/fedreg/2018/09/26/2018-20885.html Notice - Self-Regulatory Organizations; Fixed Income Clearing Corporation; Order Granting Approval of Proposed Rule Change To Codify the Processing of Conditional Prepayment Rate Claims in the MBSD Rules and Make Other Changes 2018-09-26T00:00:00-07:00 2018-09-26T00:00:00-07:00 2018-20885 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-09-26/pdf/2018-20885.pdf https://regulations.justia.com/regulations/fedreg/2018/09/26/2018-20884.html Notice - Self-Regulatory Organizations; Cboe BZX Exchange, Inc.; Order Instituting 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 Under BZX Rule 14.11(e)(4), Commodity-Based Trust Shares 2018-09-26T00:00:00-07:00 2018-09-26T00:00:00-07:00 2018-20884 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-09-26/pdf/2018-20884.pdf https://regulations.justia.com/regulations/fedreg/2018/09/26/2018-20882.html Notice - Self-Regulatory Organizations; Nasdaq MRX, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Risk Protections 2018-09-26T00:00:00-07:00 2018-09-26T00:00:00-07:00 2018-20882 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-09-26/pdf/2018-20882.pdf https://regulations.justia.com/regulations/fedreg/2018/09/26/2018-20881.html Notice - Self-Regulatory Organizations; Nasdaq ISE, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Risk Protections 2018-09-26T00:00:00-07:00 2018-09-26T00:00:00-07:00 2018-20881 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-09-26/pdf/2018-20881.pdf https://regulations.justia.com/regulations/fedreg/2018/09/26/2018-20878.html Notice - Self-Regulatory Organizations; Cboe BYX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Its Rules Relating to Categories of Registration and Respective Qualification Examinations Required for Members That Engage in Trading Activities on the Exchange 2018-09-26T00:00:00-07:00 2018-09-26T00:00:00-07:00 2018-20878 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-09-26/pdf/2018-20878.pdf https://regulations.justia.com/regulations/fedreg/2018/09/25/2018-20899.html Notice - Sunshine Act Meetings 2018-09-25T00:00:00-07:00 2018-09-25T00:00:00-07:00 2018-20899 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-09-25/pdf/2018-20899.pdf https://regulations.justia.com/regulations/fedreg/2018/09/25/2018-20898.html Notice - Self-Regulatory Organizations; Nasdaq BX, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the Equity Rule 6950 Series Concerning the Order Audit Trail System To Make Conforming and Technical Changes 2018-09-25T00:00:00-07:00 2018-09-25T00:00:00-07:00 2018-20898 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-09-25/pdf/2018-20898.pdf https://regulations.justia.com/regulations/fedreg/2018/09/25/2018-20820.html Notice - Variant Alternative Income Fund and Variant Investments, LLC 2018-09-25T00:00:00-07:00 2018-09-25T00:00:00-07:00 2018-20820 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-09-25/pdf/2018-20820.pdf https://regulations.justia.com/regulations/fedreg/2018/09/25/2018-20770.html Notice - Self-Regulatory Organizations; The Nasdaq Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Fees at Rule 7014 2018-09-25T00:00:00-07:00 2018-09-25T00:00:00-07:00 2018-20770 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-09-25/pdf/2018-20770.pdf https://regulations.justia.com/regulations/fedreg/2018/09/25/2018-20769.html Notice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Designation of a Longer Period for Commission Action on a Proposed Rule Change To Amend Commentary .01 to NYSE Arca Rule 8.600-E Relating to Certain Generic Listing Standards for Managed Fund Shares 2018-09-25T00:00:00-07:00 2018-09-25T00:00:00-07:00 2018-20769 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-09-25/pdf/2018-20769.pdf https://regulations.justia.com/regulations/fedreg/2018/09/25/2018-20768.html Notice - Self-Regulatory Organizations; The Nasdaq Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Conform the Exchange's By-Law Provisions Regarding the Chief Regulatory Officer to Those of Its Affiliate, Nasdaq PHLX LLC 2018-09-25T00:00:00-07:00 2018-09-25T00:00:00-07:00 2018-20768 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-09-25/pdf/2018-20768.pdf https://regulations.justia.com/regulations/fedreg/2018/09/25/2018-20762.html Notice - Self-Regulatory Organizations; Nasdaq BX, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Conform the Exchange's By-Law Provisions Regarding the Chief Regulatory Officer to Those of Its Affiliate, Nasdaq PHLX LLC 2018-09-25T00:00:00-07:00 2018-09-25T00:00:00-07:00 2018-20762 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-09-25/pdf/2018-20762.pdf https://regulations.justia.com/regulations/fedreg/2018/09/25/2018-20761.html Notice - Self-Regulatory Organizations; The Nasdaq Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Rule 7021 2018-09-25T00:00:00-07:00 2018-09-25T00:00:00-07:00 2018-20761 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-09-25/pdf/2018-20761.pdf https://regulations.justia.com/regulations/fedreg/2018/09/25/2018-20760.html Notice - Self-Regulatory Organizations; Nasdaq MRX, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Conform By-Law's CRO Provisions To Those of an Affiliate Exchange 2018-09-25T00:00:00-07:00 2018-09-25T00:00:00-07:00 2018-20760 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-09-25/pdf/2018-20760.pdf https://regulations.justia.com/regulations/fedreg/2018/09/25/2018-20759.html Notice - Self-Regulatory Organizations; Nasdaq ISE, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Conform By-Law's CRO Provisions to Those of an Affiliate Exchange 2018-09-25T00:00:00-07:00 2018-09-25T00:00:00-07:00 2018-20759 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-09-25/pdf/2018-20759.pdf https://regulations.justia.com/regulations/fedreg/2018/09/25/2018-20758.html Notice - Self-Regulatory Organizations; Nasdaq GEMX, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Conform By-Law's CRO Provisions to Those of an Affiliate Exchange 2018-09-25T00:00:00-07:00 2018-09-25T00:00:00-07:00 2018-20758 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-09-25/pdf/2018-20758.pdf https://regulations.justia.com/regulations/fedreg/2018/09/24/2018-20739.html Notice - Order Under Section 15B, Section 17A and Section 36 of the Securities Exchange Act of 1934 Granting Exemptions From Specified Provisions of the Exchange Act and Certain Rules Thereunder; Order Under Section 6(c) and Section 38(a) of the Investment Company Act of 1940 Granting Exemptions From Specified Provisions of the Investment Company Act and Certain Rules Thereunder 2018-09-24T00:00:00-07:00 2018-09-24T00:00:00-07:00 2018-20739 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-09-24/pdf/2018-20739.pdf https://regulations.justia.com/regulations/fedreg/2018/09/24/2018-20661.html Notice - Consolidated Tape Association; Notice of Filing and Immediate Effectiveness of the Twenty-Fourth Charges Amendment to the Second Restatement of the CTA Plan and the Fifteenth Charges Amendment to the Restated CQ Plan 2018-09-24T00:00:00-07:00 2018-09-24T00:00:00-07:00 2018-20661 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-09-24/pdf/2018-20661.pdf https://regulations.justia.com/regulations/fedreg/2018/09/24/2018-20660.html Notice - Self-Regulatory Organizations; The Nasdaq Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Eliminate the Market Quality Program (Rule 5950) 2018-09-24T00:00:00-07:00 2018-09-24T00:00:00-07:00 2018-20660 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-09-24/pdf/2018-20660.pdf https://regulations.justia.com/regulations/fedreg/2018/09/24/2018-20659.html Notice - Self-Regulatory Organizations; Nasdaq PHLX LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Rule 1080(A)(I)(C) Relating to Options Floor Based Management System 2018-09-24T00:00:00-07:00 2018-09-24T00:00:00-07:00 2018-20659 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-09-24/pdf/2018-20659.pdf https://regulations.justia.com/regulations/fedreg/2018/09/24/2018-20658.html Notice - Self-Regulatory Organizations; New York Stock Exchange LLC; Order Instituting Proceedings To Determine Whether To Approve or Disapprove a Proposed Rule Change To Make Permanent the Retail Liquidity Program Pilot, Which Is Set To Expire on December 31, 2018 2018-09-24T00:00:00-07:00 2018-09-24T00:00:00-07:00 2018-20658 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-09-24/pdf/2018-20658.pdf https://regulations.justia.com/regulations/fedreg/2018/09/21/C1-2018-18781.html Notice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing of Proposed Rule Change To List and Trade Shares of the First Trust Long Duration Opportunities ETF Under NYSE Arca Rule 8.600-E 2018-09-21T00:00:00-07:00 2018-09-21T00:00:00-07:00 C1-2018-18781 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-09-21/pdf/C1-2018-18781.pdf https://regulations.justia.com/regulations/fedreg/2018/09/21/2018-20742.html Notice - Sunshine Act Meetings 2018-09-21T00:00:00-07:00 2018-09-21T00:00:00-07:00 2018-20742 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-09-21/pdf/2018-20742.pdf https://regulations.justia.com/regulations/fedreg/2018/09/21/2018-20741.html Notice - Sunshine Act Meetings 2018-09-21T00:00:00-07:00 2018-09-21T00:00:00-07:00 2018-20741 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-09-21/pdf/2018-20741.pdf https://regulations.justia.com/regulations/fedreg/2018/09/21/2018-20740.html Rule - Regulation Crowdfunding and Regulation A Relief and Assistance for Victims of Hurricane Florence 2018-09-21T00:00:00-07:00 2018-09-21T00:00:00-07:00 2018-20740 Rule https://www.gpo.gov/fdsys/pkg/FR-2018-09-21/pdf/2018-20740.pdf https://regulations.justia.com/regulations/fedreg/2018/09/21/2018-20592.html Notice - Proposed Collection; Comment Request 2018-09-21T00:00:00-07:00 2018-09-21T00:00:00-07:00 2018-20592 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-09-21/pdf/2018-20592.pdf https://regulations.justia.com/regulations/fedreg/2018/09/21/2018-20548.html Notice - Self-Regulatory Organizations; BOX Options Exchange LLC; Suspension of and Order Instituting Proceedings To Determine Whether To Approve or Disapprove a Proposed Rule Change To Amend the Fee Schedule on the BOX Market LLC Options Facility To Establish BOX Connectivity Fees for Participants and Non-Participants Who Connect to the BOX Network 2018-09-21T00:00:00-07:00 2018-09-21T00:00:00-07:00 2018-20548 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-09-21/pdf/2018-20548.pdf https://regulations.justia.com/regulations/fedreg/2018/09/21/2018-20547.html Notice - Self-Regulatory Organizations; Miami International Securities Exchange LLC; Suspension of and Order Instituting Proceedings To Determine Whether To Approve or Disapprove a Proposed Rule Change To Amend the Fee Schedule Regarding Connectivity Fees for Members and Non-Members 2018-09-21T00:00:00-07:00 2018-09-21T00:00:00-07:00 2018-20547 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-09-21/pdf/2018-20547.pdf https://regulations.justia.com/regulations/fedreg/2018/09/21/2018-20546.html Notice - Self-Regulatory Organizations; Cboe EDGX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Its Rules Relating to Categories of Registration and Respective Qualification Examinations Required for Members That Engage in Trading Activities on the Exchange 2018-09-21T00:00:00-07:00 2018-09-21T00:00:00-07:00 2018-20546 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-09-21/pdf/2018-20546.pdf https://regulations.justia.com/regulations/fedreg/2018/09/21/2018-20545.html Notice - Self-Regulatory Organizations; MIAX PEARL, LLC; Suspension of and Order Instituting Proceedings To Determine Whether To Approve or Disapprove a Proposed Rule Change To Amend the Fee Schedule Regarding Connectivity Fees for Members and Non-Members 2018-09-21T00:00:00-07:00 2018-09-21T00:00:00-07:00 2018-20545 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-09-21/pdf/2018-20545.pdf https://regulations.justia.com/regulations/fedreg/2018/09/21/2018-20544.html Notice - Self-Regulatory Organizations; Cboe BZX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Its Rules Relating to Categories of Registration and Respective Qualification Examinations Required for Members That Engage in Trading Activities on the Exchange 2018-09-21T00:00:00-07:00 2018-09-21T00:00:00-07:00 2018-20544 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-09-21/pdf/2018-20544.pdf https://regulations.justia.com/regulations/fedreg/2018/09/20/2018-20438.html Notice - Self-Regulatory Organizations; Cboe EDGA Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Its Rules Relating to Categories of Registration and Respective Qualification Examinations Required for Members That Engage in Trading Activities on the Exchange 2018-09-20T00:00:00-07:00 2018-09-20T00:00:00-07:00 2018-20438 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-09-20/pdf/2018-20438.pdf https://regulations.justia.com/regulations/fedreg/2018/09/20/2018-20437.html Notice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Designation of a Longer Period for Commission Action on a Proposed Rule Change Regarding Investments of the First Trust TCW Unconstrained Plus Bond ETF 2018-09-20T00:00:00-07:00 2018-09-20T00:00:00-07:00 2018-20437 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-09-20/pdf/2018-20437.pdf https://regulations.justia.com/regulations/fedreg/2018/09/20/2018-20435.html Notice - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Rule 2360 (Options) To Increase Position Limits on Options on Certain Exchange-Traded Funds 2018-09-20T00:00:00-07:00 2018-09-20T00:00:00-07:00 2018-20435 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-09-20/pdf/2018-20435.pdf https://regulations.justia.com/regulations/fedreg/2018/09/20/2018-20434.html Notice - Self-Regulatory Organizations; ICE Clear Credit LLC; Order Approving Proposed Rule Change Relating to the Clearance of an Additional Credit Default Swap Contract 2018-09-20T00:00:00-07:00 2018-09-20T00:00:00-07:00 2018-20434 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-09-20/pdf/2018-20434.pdf https://regulations.justia.com/regulations/fedreg/2018/09/20/2018-20433.html Notice - Self-Regulatory Organizations; Cboe Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating To Amend Its Rules Relating to Categories of Registration and Respective Qualification Examinations Required for Trading Permit Holders (“TPHs”) and Associated Persons That Engage in Trading Activities on the Exchange 2018-09-20T00:00:00-07:00 2018-09-20T00:00:00-07:00 2018-20433 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-09-20/pdf/2018-20433.pdf https://regulations.justia.com/regulations/fedreg/2018/09/20/2018-20432.html Notice - Self-Regulatory Organizations; Cboe BZX Exchange, Inc.; Order Granting Approval of a Proposed Rule Change, as Modified by Amendment No. 3, To List and Trade Shares of Eighteen ADRPLUS Funds of the Precidian ETFs Trust Under Rule 14.11(i), Managed Fund Shares 2018-09-20T00:00:00-07:00 2018-09-20T00:00:00-07:00 2018-20432 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-09-20/pdf/2018-20432.pdf https://regulations.justia.com/regulations/fedreg/2018/09/20/2018-20431.html Notice - Self-Regulatory Organizations; Cboe C2 Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating To Amend Its Rules Relating to Categories of Registration and Respective Qualification Examinations Required for Trading Permit Holders (“TPHs”) and Associated Persons That Engage in Trading Activities on the Exchange 2018-09-20T00:00:00-07:00 2018-09-20T00:00:00-07:00 2018-20431 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-09-20/pdf/2018-20431.pdf https://regulations.justia.com/regulations/fedreg/2018/09/20/2018-20408.html Notice - Exact Sciences Corporation 2018-09-20T00:00:00-07:00 2018-09-20T00:00:00-07:00 2018-20408 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-09-20/pdf/2018-20408.pdf https://regulations.justia.com/regulations/fedreg/2018/09/19/2018-20309.html Notice - Self-Regulatory Organizations; Nasdaq MRX, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Relocate the Exchange's Schedule of Fees 2018-09-19T00:00:00-07:00 2018-09-19T00:00:00-07:00 2018-20309 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-09-19/pdf/2018-20309.pdf https://regulations.justia.com/regulations/fedreg/2018/09/19/2018-20308.html Notice - Self-Regulatory Organizations; Nasdaq BX, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Fees at Rule 7018(a) 2018-09-19T00:00:00-07:00 2018-09-19T00:00:00-07:00 2018-20308 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-09-19/pdf/2018-20308.pdf https://regulations.justia.com/regulations/fedreg/2018/09/19/2018-20307.html Notice - Self-Regulatory Organizations; Cboe C2 Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating To Expand the Types of Messages That Users May Submit Into Bulk Order Ports 2018-09-19T00:00:00-07:00 2018-09-19T00:00:00-07:00 2018-20307 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-09-19/pdf/2018-20307.pdf https://regulations.justia.com/regulations/fedreg/2018/09/18/2018-20318.html Notice - Sunshine Act Meetings 2018-09-18T00:00:00-07:00 2018-09-18T00:00:00-07:00 2018-20318 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-09-18/pdf/2018-20318.pdf https://regulations.justia.com/regulations/fedreg/2018/09/18/2018-20280.html Notice - Proposed Collection; Comment Request 2018-09-18T00:00:00-07:00 2018-09-18T00:00:00-07:00 2018-20280 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-09-18/pdf/2018-20280.pdf https://regulations.justia.com/regulations/fedreg/2018/09/18/2018-20279.html Notice - Proposed Collection; Comment Request 2018-09-18T00:00:00-07:00 2018-09-18T00:00:00-07:00 2018-20279 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-09-18/pdf/2018-20279.pdf https://regulations.justia.com/regulations/fedreg/2018/09/18/2018-20278.html Notice - Proposed Collection; Comment Request 2018-09-18T00:00:00-07:00 2018-09-18T00:00:00-07:00 2018-20278 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-09-18/pdf/2018-20278.pdf https://regulations.justia.com/regulations/fedreg/2018/09/18/2018-20277.html Notice - Submission for OMB Review; Comment Request 2018-09-18T00:00:00-07:00 2018-09-18T00:00:00-07:00 2018-20277 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-09-18/pdf/2018-20277.pdf https://regulations.justia.com/regulations/fedreg/2018/09/18/2018-20237.html Notice - Self-Regulatory Organizations; Cboe BZX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To List and Trade Shares of the iShares iBonds Dec 2025 Term Muni Bond ETF of iShares Trust Under BZX Rule 14.11(c)(4) (Index Fund Shares) 2018-09-18T00:00:00-07:00 2018-09-18T00:00:00-07:00 2018-20237 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-09-18/pdf/2018-20237.pdf https://regulations.justia.com/regulations/fedreg/2018/09/18/2018-20196.html Notice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the NYSE Arca Equities Fees and Charges To Introduce a New Pricing Tier, Step Up Tier 3 2018-09-18T00:00:00-07:00 2018-09-18T00:00:00-07:00 2018-20196 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-09-18/pdf/2018-20196.pdf https://regulations.justia.com/regulations/fedreg/2018/09/18/2018-20195.html Notice - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Its Price List To Amend the Threshold Levels and Rebate Amounts Payable Under the Liquidity Provider Incentive Program, and To Amend the Rebate Amount Payable Under the Agency Order Incentive Program 2018-09-18T00:00:00-07:00 2018-09-18T00:00:00-07:00 2018-20195 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-09-18/pdf/2018-20195.pdf https://regulations.justia.com/regulations/fedreg/2018/09/18/2018-20194.html Notice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Modify the NYSE Arca Options Fee Schedule 2018-09-18T00:00:00-07:00 2018-09-18T00:00:00-07:00 2018-20194 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-09-18/pdf/2018-20194.pdf https://regulations.justia.com/regulations/fedreg/2018/09/18/2018-20193.html Notice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Its Options Rules To Make Certain Non-Substantive Changes and To Harmonize Certain Rules With Those of Its Affiliate, NYSE American LLC 2018-09-18T00:00:00-07:00 2018-09-18T00:00:00-07:00 2018-20193 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-09-18/pdf/2018-20193.pdf https://regulations.justia.com/regulations/fedreg/2018/09/18/2018-20190.html Notice - Self-Regulatory Organizations; Miami International Securities Exchange, LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Exchange Rule 404A, Select Provisions of Options Listing Procedures Plan, Rule 406, Long-Term Option Contracts, and Rule 1809, Terms of Index Options Contracts 2018-09-18T00:00:00-07:00 2018-09-18T00:00:00-07:00 2018-20190 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-09-18/pdf/2018-20190.pdf https://regulations.justia.com/regulations/fedreg/2018/09/17/2018-20192.html Notice - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the NYSE Price List 2018-09-17T00:00:00-07:00 2018-09-17T00:00:00-07:00 2018-20192 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-09-17/pdf/2018-20192.pdf https://regulations.justia.com/regulations/fedreg/2018/09/17/2018-20191.html Notice - Self-Regulatory Organizations; MIAX PEARL, LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Exchange Rule 404A, Select Provisions of Options Listing Procedures Plan, and Rule 406, Long-Term Option Contracts 2018-09-17T00:00:00-07:00 2018-09-17T00:00:00-07:00 2018-20191 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-09-17/pdf/2018-20191.pdf https://regulations.justia.com/regulations/fedreg/2018/09/17/2018-20076.html Notice - Self-Regulatory Organizations; New York Stock Exchange LLC; Order Approving a Proposed Rule Change To Amend Rule 2 To Remove Requirement That a Registered Broker-Dealer Be a Member of the Financial Industry Regulatory Authority, Inc. or Another National Securities Exchange 2018-09-17T00:00:00-07:00 2018-09-17T00:00:00-07:00 2018-20076 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-09-17/pdf/2018-20076.pdf https://regulations.justia.com/regulations/fedreg/2018/09/17/2018-20075.html Notice - Self-Regulatory Organizations; National Futures Association; Notice of Filing and Immediate Effectiveness of Proposed Change to the Interpretive Notice to National Futures Association Compliance Rule 2-30(b): Risk Disclosure Statement for Security Futures Contracts 2018-09-17T00:00:00-07:00 2018-09-17T00:00:00-07:00 2018-20075 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-09-17/pdf/2018-20075.pdf https://regulations.justia.com/regulations/fedreg/2018/09/17/2018-20073.html Notice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing of Proposed Rule Change To Amend NYSE Arca Rule 1.1 Official Closing Price To Exclude From the TWAP Calculation a Midpoint That Is Based on an NBBO That Is Not Reflective of the Security's True and Current Value 2018-09-17T00:00:00-07:00 2018-09-17T00:00:00-07:00 2018-20073 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-09-17/pdf/2018-20073.pdf https://regulations.justia.com/regulations/fedreg/2018/09/17/2018-20072.html Notice - Self-Regulatory Organizations; Cboe C2 Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating To Amend Its Fees Schedule 2018-09-17T00:00:00-07:00 2018-09-17T00:00:00-07:00 2018-20072 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-09-17/pdf/2018-20072.pdf https://regulations.justia.com/regulations/fedreg/2018/09/14/2018-20179.html Notice - Sunshine Act Meetings 2018-09-14T00:00:00-07:00 2018-09-14T00:00:00-07:00 2018-20179 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-09-14/pdf/2018-20179.pdf https://regulations.justia.com/regulations/fedreg/2018/09/14/2018-20047.html Notice - Wealthn LLC and TigerShares Trust 2018-09-14T00:00:00-07:00 2018-09-14T00:00:00-07:00 2018-20047 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-09-14/pdf/2018-20047.pdf https://regulations.justia.com/regulations/fedreg/2018/09/14/2018-19970.html Notice - Self-Regulatory Organizations; NYSE American LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Rule 7.23E, Obligations of Market Makers 2018-09-14T00:00:00-07:00 2018-09-14T00:00:00-07:00 2018-19970 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-09-14/pdf/2018-19970.pdf https://regulations.justia.com/regulations/fedreg/2018/09/13/2018-19882.html Notice - Proposed Collection; Comment Request 2018-09-13T00:00:00-07:00 2018-09-13T00:00:00-07:00 2018-19882 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-09-13/pdf/2018-19882.pdf https://regulations.justia.com/regulations/fedreg/2018/09/13/2018-19881.html Notice - Proposed Collection; Comment Request 2018-09-13T00:00:00-07:00 2018-09-13T00:00:00-07:00 2018-19881 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-09-13/pdf/2018-19881.pdf https://regulations.justia.com/regulations/fedreg/2018/09/13/2018-19880.html Notice - Proposed Collection; Comment Request 2018-09-13T00:00:00-07:00 2018-09-13T00:00:00-07:00 2018-19880 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-09-13/pdf/2018-19880.pdf https://regulations.justia.com/regulations/fedreg/2018/09/13/2018-19879.html Notice - Submission for OMB Review; Comment Request 2018-09-13T00:00:00-07:00 2018-09-13T00:00:00-07:00 2018-19879 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-09-13/pdf/2018-19879.pdf