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 2018-12-12T13:06:51-08:00 Justia Inc https://www.justia.com/ Justia Regulations Tracker https://regulations.justia.com/images/justiafedregulations.gif Copyright 2011 Justia Inc https://regulations.justia.com/regulations/fedreg/2018/12/12/2018-26915.html Notice - Self-Regulatory Organizations; Nasdaq BX, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the Defined Terms “In-the-Money” and “Out-of-the-Money” in BX Options Rules at Chapter I, Section 1 2018-12-12T00:00:00-08:00 2018-12-12T00:00:00-08:00 2018-26915 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-12-12/pdf/2018-26915.pdf https://regulations.justia.com/regulations/fedreg/2018/12/12/2018-26914.html Notice - Self-Regulatory Organizations; The Nasdaq Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the Defined Terms “In-the-Money” and “Out-of-the-Money” in Chapter I, Section 1 2018-12-12T00:00:00-08:00 2018-12-12T00:00:00-08:00 2018-26914 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-12-12/pdf/2018-26914.pdf https://regulations.justia.com/regulations/fedreg/2018/12/12/2018-26913.html Notice - Self-Regulatory Organizations; The Depository Trust Company; Notice of Filing of a Proposed Rule Change To Amend the Settlement Guide Procedures To Provide Status Information for Institutional Transactions To a Matching Utility 2018-12-12T00:00:00-08:00 2018-12-12T00:00:00-08:00 2018-26913 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-12-12/pdf/2018-26913.pdf https://regulations.justia.com/regulations/fedreg/2018/12/12/2018-26912.html Notice - Self-Regulatory Organizations; Cboe BZX Exchange, Inc.; Notice of Designation of a Longer Period for Commission Action on a Proposed Rule Change To List and Trade Shares of the WisdomTree Long-Term Treasury PutWrite Strategy Fund, WisdomTree Corporate Bond PutWrite Strategy Fund, WisdomTree International PutWrite Strategy Fund, and WisdomTree Emerging Markets PutWrite Strategy Fund Under Rule 14.11(i), Managed Fund Shares 2018-12-12T00:00:00-08:00 2018-12-12T00:00:00-08:00 2018-26912 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-12-12/pdf/2018-26912.pdf https://regulations.justia.com/regulations/fedreg/2018/12/12/2018-26911.html Notice - Self-Regulatory Organizations; Nasdaq BX, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Port Fees 2018-12-12T00:00:00-08:00 2018-12-12T00:00:00-08:00 2018-26911 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-12-12/pdf/2018-26911.pdf https://regulations.justia.com/regulations/fedreg/2018/12/12/2018-26910.html Notice - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Withdrawal of a Proposed Rule Change Related To Amend Rule 6.21., Give Up of a Clearing Trading Permit Holder 2018-12-12T00:00:00-08:00 2018-12-12T00:00:00-08:00 2018-26910 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-12-12/pdf/2018-26910.pdf https://regulations.justia.com/regulations/fedreg/2018/12/12/2018-26909.html Notice - Self-Regulatory Organizations; The Nasdaq Stock Market LLC; Notice of Designation of a Longer Period for Commission Action on a Proposed Rule Change To List and Trade Shares of the BrandywineGLOBAL-Global Total Return ETF, a Series of Legg Mason ETF Investment Trust, Under Nasdaq Rule 5735 2018-12-12T00:00:00-08:00 2018-12-12T00:00:00-08:00 2018-26909 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-12-12/pdf/2018-26909.pdf https://regulations.justia.com/regulations/fedreg/2018/12/12/2018-26908.html Notice - Self-Regulatory Organizations; Nasdaq MRX, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Supplementary Material .02 to Rule 715 Regarding Cancel and Replace Orders 2018-12-12T00:00:00-08:00 2018-12-12T00:00:00-08:00 2018-26908 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-12-12/pdf/2018-26908.pdf https://regulations.justia.com/regulations/fedreg/2018/12/12/2018-26907.html Notice - Self-Regulatory Organizations; Nasdaq GEMX, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Supplementary Material .02 to Rule 715 2018-12-12T00:00:00-08:00 2018-12-12T00:00:00-08:00 2018-26907 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-12-12/pdf/2018-26907.pdf https://regulations.justia.com/regulations/fedreg/2018/12/12/2018-26851.html Notice - Submission for OMB Review; Comment Request 2018-12-12T00:00:00-08:00 2018-12-12T00:00:00-08:00 2018-26851 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-12-12/pdf/2018-26851.pdf https://regulations.justia.com/regulations/fedreg/2018/12/12/2018-26837.html Notice - Self-Regulatory Organizations; NYSE American LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend NYSE American Rule 5.1E(a)(2) 2018-12-12T00:00:00-08:00 2018-12-12T00:00:00-08:00 2018-26837 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-12-12/pdf/2018-26837.pdf https://regulations.justia.com/regulations/fedreg/2018/12/12/2018-26836.html Notice - Self-Regulatory Organizations; Nasdaq ISE, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Supplementary Material .02 to Rule 715 Regarding Cancel and Replace Orders 2018-12-12T00:00:00-08:00 2018-12-12T00:00:00-08:00 2018-26836 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-12-12/pdf/2018-26836.pdf https://regulations.justia.com/regulations/fedreg/2018/12/12/2018-26835.html Notice - Self-Regulatory Organizations; Cboe Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating To Adopt a Shell Structure for the Cboe Options Rulebook in Connection With the Migration of the Exchange to Bats Technology 2018-12-12T00:00:00-08:00 2018-12-12T00:00:00-08:00 2018-26835 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-12-12/pdf/2018-26835.pdf https://regulations.justia.com/regulations/fedreg/2018/12/12/2018-26834.html Notice - Self-Regulatory Organizations; Cboe BZX Exchange, Inc.; Order Granting Approval to a Proposed Rule Change, as Modified by Amendment No. 1, To Establish How the BZX Official Closing Price Would Be Determined for BZX-Listed Securities 2018-12-12T00:00:00-08:00 2018-12-12T00:00:00-08:00 2018-26834 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-12-12/pdf/2018-26834.pdf https://regulations.justia.com/regulations/fedreg/2018/12/12/2018-26833.html Notice - Self-Regulatory Organizations; NYSE Arca, Inc.; Order Approving a Proposed Rule Change, as Modified by Amendment No. 1, To Amend Rules 6.62-O and 6.37A-O To Add New Order Types and Quotation Designations 2018-12-12T00:00:00-08:00 2018-12-12T00:00:00-08:00 2018-26833 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-12-12/pdf/2018-26833.pdf https://regulations.justia.com/regulations/fedreg/2018/12/12/2018-26832.html Notice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend NYSE Arca Rule 5.1-E(a)(2) 2018-12-12T00:00:00-08:00 2018-12-12T00:00:00-08:00 2018-26832 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-12-12/pdf/2018-26832.pdf https://regulations.justia.com/regulations/fedreg/2018/12/12/2018-26831.html Notice - Self-Regulatory Organizations; Miami International Securities Exchange, LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Exchange Rule 510, Minimum Price Variations and Minimum Trading Increments, To Adopt Interpretations and Policies .03 2018-12-12T00:00:00-08:00 2018-12-12T00:00:00-08:00 2018-26831 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-12-12/pdf/2018-26831.pdf https://regulations.justia.com/regulations/fedreg/2018/12/12/2018-26830.html Notice - Self-Regulatory Organizations; Chicago Stock Exchange, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend CHX Article 22, Rule 6(a) 2018-12-12T00:00:00-08:00 2018-12-12T00:00:00-08:00 2018-26830 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-12-12/pdf/2018-26830.pdf https://regulations.justia.com/regulations/fedreg/2018/12/12/2018-26829.html Notice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Designation of a Longer Period for Commission Action on Proceedings To Determine Whether To Approve or Disapprove a Proposed Rule Change Regarding Investments of the REX BKCM ETF 2018-12-12T00:00:00-08:00 2018-12-12T00:00:00-08:00 2018-26829 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-12-12/pdf/2018-26829.pdf https://regulations.justia.com/regulations/fedreg/2018/12/12/2018-26828.html Notice - Self-Regulatory Organizations; Cboe BZX Exchange, Inc.; Notice of Designation of a Longer Period for Commission Action on Proceedings To Determine Whether To Approve or Disapprove a Proposed Rule Change To List and Trade Shares of SolidX Bitcoin Shares Issued by the VanEck SolidX Bitcoin Trust 2018-12-12T00:00:00-08:00 2018-12-12T00:00:00-08:00 2018-26828 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-12-12/pdf/2018-26828.pdf https://regulations.justia.com/regulations/fedreg/2018/12/12/2018-26827.html Notice - Self-Regulatory Organizations; Nasdaq GEMX, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Bid/Ask Differentials 2018-12-12T00:00:00-08:00 2018-12-12T00:00:00-08:00 2018-26827 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-12-12/pdf/2018-26827.pdf https://regulations.justia.com/regulations/fedreg/2018/12/12/2018-26826.html Notice - Self-Regulatory Organizations; Nasdaq ISE, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Bid/Ask Differentials 2018-12-12T00:00:00-08:00 2018-12-12T00:00:00-08:00 2018-26826 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-12-12/pdf/2018-26826.pdf https://regulations.justia.com/regulations/fedreg/2018/12/12/2018-26825.html Notice - Self-Regulatory Organizations; Nasdaq MRX, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Bid/Ask Differentials 2018-12-12T00:00:00-08:00 2018-12-12T00:00:00-08:00 2018-26825 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-12-12/pdf/2018-26825.pdf https://regulations.justia.com/regulations/fedreg/2018/12/12/2018-26824.html Notice - Self-Regulatory Organizations; Nasdaq PHLX LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Bid/Ask Differentials 2018-12-12T00:00:00-08:00 2018-12-12T00:00:00-08:00 2018-26824 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-12-12/pdf/2018-26824.pdf https://regulations.justia.com/regulations/fedreg/2018/12/12/2018-26823.html Notice - Self-Regulatory Organizations; NYSE American LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change of Amendments to the Exchange's Rules To Delete References to the Term “Allied Member” and Correct Rule 2.1220 2018-12-12T00:00:00-08:00 2018-12-12T00:00:00-08:00 2018-26823 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-12-12/pdf/2018-26823.pdf https://regulations.justia.com/regulations/fedreg/2018/12/12/2018-26797.html Notice - Cliffwater Corporate Lending Fund and Cliffwater LLC 2018-12-12T00:00:00-08:00 2018-12-12T00:00:00-08:00 2018-26797 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-12-12/pdf/2018-26797.pdf https://regulations.justia.com/regulations/fedreg/2018/12/12/2018-26795.html Notice - Symmetry Panoramic Trust and Symmetry Partners, LLC 2018-12-12T00:00:00-08:00 2018-12-12T00:00:00-08:00 2018-26795 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-12-12/pdf/2018-26795.pdf https://regulations.justia.com/regulations/fedreg/2018/12/11/2018-26736.html Notice - 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”) 2018-12-11T00:00:00-08:00 2018-12-11T00:00:00-08:00 2018-26736 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-12-11/pdf/2018-26736.pdf https://regulations.justia.com/regulations/fedreg/2018/12/11/2018-26735.html Notice - 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 Shares 2018-12-11T00:00:00-08:00 2018-12-11T00:00:00-08:00 2018-26735 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-12-11/pdf/2018-26735.pdf https://regulations.justia.com/regulations/fedreg/2018/12/10/2018-26822.html Notice - Sunshine Act Meetings 2018-12-10T00:00:00-08:00 2018-12-10T00:00:00-08:00 2018-26822 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-12-10/pdf/2018-26822.pdf https://regulations.justia.com/regulations/fedreg/2018/12/10/2018-26738.html Notice - Sunshine Act Meetings 2018-12-10T00:00:00-08:00 2018-12-10T00:00:00-08:00 2018-26738 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-12-10/pdf/2018-26738.pdf https://regulations.justia.com/regulations/fedreg/2018/12/10/2018-26737.html Notice - Sunshine Act Meetings 2018-12-10T00:00:00-08:00 2018-12-10T00:00:00-08:00 2018-26737 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-12-10/pdf/2018-26737.pdf https://regulations.justia.com/regulations/fedreg/2018/12/10/2018-26668.html Notice - Stone Ridge Trust II, et al. 2018-12-10T00:00:00-08:00 2018-12-10T00:00:00-08:00 2018-26668 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-12-10/pdf/2018-26668.pdf https://regulations.justia.com/regulations/fedreg/2018/12/10/2018-26593.html Notice - 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 Institutions 2018-12-10T00:00:00-08:00 2018-12-10T00:00:00-08:00 2018-26593 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-12-10/pdf/2018-26593.pdf https://regulations.justia.com/regulations/fedreg/2018/12/07/2018-26656.html Notice - Sunshine Act Meeting; Cancellation 2018-12-07T00:00:00-08:00 2018-12-07T00:00:00-08:00 2018-26656 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-12-07/pdf/2018-26656.pdf https://regulations.justia.com/regulations/fedreg/2018/12/06/2018-26517.html Notice - 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 1934 2018-12-06T00:00:00-08:00 2018-12-06T00:00:00-08:00 2018-26517 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-12-06/pdf/2018-26517.pdf https://regulations.justia.com/regulations/fedreg/2018/12/06/2018-26516.html Notice - 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 Contracts 2018-12-06T00:00:00-08:00 2018-12-06T00:00:00-08:00 2018-26516 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-12-06/pdf/2018-26516.pdf https://regulations.justia.com/regulations/fedreg/2018/12/06/2018-26515.html Notice - 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) 2018-12-06T00:00:00-08:00 2018-12-06T00:00:00-08:00 2018-26515 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-12-06/pdf/2018-26515.pdf https://regulations.justia.com/regulations/fedreg/2018/12/06/2018-26514.html Notice - 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 ETF 2018-12-06T00:00:00-08:00 2018-12-06T00:00:00-08:00 2018-26514 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-12-06/pdf/2018-26514.pdf https://regulations.justia.com/regulations/fedreg/2018/12/06/2018-26513.html Notice - 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 Contracts 2018-12-06T00:00:00-08:00 2018-12-06T00:00:00-08:00 2018-26513 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-12-06/pdf/2018-26513.pdf https://regulations.justia.com/regulations/fedreg/2018/12/06/2018-26512.html Notice - 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 Makers 2018-12-06T00:00:00-08:00 2018-12-06T00:00:00-08:00 2018-26512 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-12-06/pdf/2018-26512.pdf https://regulations.justia.com/regulations/fedreg/2018/12/06/2018-26487.html Notice - Notice of Applications for Deregistration Under Section 8(f) of the Investment Company Act of 1940 2018-12-06T00:00:00-08:00 2018-12-06T00:00:00-08:00 2018-26487 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-12-06/pdf/2018-26487.pdf https://regulations.justia.com/regulations/fedreg/2018/12/06/2018-26405.html Notice - 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 722 2018-12-06T00:00:00-08:00 2018-12-06T00:00:00-08:00 2018-26405 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-12-06/pdf/2018-26405.pdf https://regulations.justia.com/regulations/fedreg/2018/12/06/2018-26404.html Notice - Order Regarding Alternative Net Capital Computation for BofAML Securities, Inc. 2018-12-06T00:00:00-08:00 2018-12-06T00:00:00-08:00 2018-26404 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-12-06/pdf/2018-26404.pdf https://regulations.justia.com/regulations/fedreg/2018/12/06/2018-26403.html Notice - 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 Comment 2018-12-06T00:00:00-08:00 2018-12-06T00:00:00-08:00 2018-26403 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-12-06/pdf/2018-26403.pdf https://regulations.justia.com/regulations/fedreg/2018/12/06/2018-26400.html Notice - Self-Regulatory Organizations; The Nasdaq Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Relocate the Exchange's Pricing Schedule 2018-12-06T00:00:00-08:00 2018-12-06T00:00:00-08:00 2018-26400 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-12-06/pdf/2018-26400.pdf https://regulations.justia.com/regulations/fedreg/2018/12/06/2018-26399.html Notice - 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 Instruction 2018-12-06T00:00:00-08:00 2018-12-06T00:00:00-08:00 2018-26399 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-12-06/pdf/2018-26399.pdf https://regulations.justia.com/regulations/fedreg/2018/12/06/2018-26397.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 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 2018-12-06T00:00:00-08:00 2018-12-06T00:00:00-08:00 2018-26397 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-12-06/pdf/2018-26397.pdf https://regulations.justia.com/regulations/fedreg/2018/12/06/2018-26396.html Notice - 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 Month 2018-12-06T00:00:00-08:00 2018-12-06T00:00:00-08:00 2018-26396 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-12-06/pdf/2018-26396.pdf https://regulations.justia.com/regulations/fedreg/2018/12/06/2018-26384.html Notice - American Fidelity Assurance Company, et al. 2018-12-06T00:00:00-08:00 2018-12-06T00:00:00-08:00 2018-26384 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-12-06/pdf/2018-26384.pdf https://regulations.justia.com/regulations/fedreg/2018/12/04/2018-26402.html Notice - Sunshine Act Meetings 2018-12-04T00:00:00-08:00 2018-12-04T00:00:00-08:00 2018-26402 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-12-04/pdf/2018-26402.pdf https://regulations.justia.com/regulations/fedreg/2018/12/04/2018-26401.html Notice - Sunshine Act Meeting 2018-12-04T00:00:00-08:00 2018-12-04T00:00:00-08:00 2018-26401 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-12-04/pdf/2018-26401.pdf https://regulations.justia.com/regulations/fedreg/2018/12/04/2018-26335.html Rule - Form N-1A; Correction 2018-12-04T00:00:00-08:00 2018-12-04T00:00:00-08:00 2018-26335 Rule https://www.gpo.gov/fdsys/pkg/FR-2018-12-04/pdf/2018-26335.pdf https://regulations.justia.com/regulations/fedreg/2018/12/04/2018-26327.html Notice - Proposed Collection; Comment Request 2018-12-04T00:00:00-08:00 2018-12-04T00:00:00-08:00 2018-26327 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-12-04/pdf/2018-26327.pdf https://regulations.justia.com/regulations/fedreg/2018/12/04/2018-26326.html Notice - Proposed Collection; Comment Request 2018-12-04T00:00:00-08:00 2018-12-04T00:00:00-08:00 2018-26326 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-12-04/pdf/2018-26326.pdf https://regulations.justia.com/regulations/fedreg/2018/12/04/2018-26273.html Notice - Self-Regulatory Organizations; Nasdaq BX, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Rule 4756(c)(2) 2018-12-04T00:00:00-08:00 2018-12-04T00:00:00-08:00 2018-26273 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-12-04/pdf/2018-26273.pdf https://regulations.justia.com/regulations/fedreg/2018/12/04/2018-26272.html Notice - Self-Regulatory Organizations; NYSE American LLC; Notice of Filing and Immediate Effectiveness of Proposed Change To Amend Certain of Its Listing Fees 2018-12-04T00:00:00-08:00 2018-12-04T00:00:00-08:00 2018-26272 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-12-04/pdf/2018-26272.pdf https://regulations.justia.com/regulations/fedreg/2018/12/04/2018-26271.html Notice - Self-Regulatory Organizations; Nasdaq PHLX LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Rule 3306(c)(2) 2018-12-04T00:00:00-08:00 2018-12-04T00:00:00-08:00 2018-26271 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-12-04/pdf/2018-26271.pdf https://regulations.justia.com/regulations/fedreg/2018/12/04/2018-26270.html Notice - Self-Regulatory Organizations; The Nasdaq Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Rule 4756(c)(2) 2018-12-04T00:00:00-08:00 2018-12-04T00:00:00-08:00 2018-26270 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-12-04/pdf/2018-26270.pdf https://regulations.justia.com/regulations/fedreg/2018/12/04/2018-26269.html Notice - Self-Regulatory Organizations; Bats BZX Exchange, Inc.; Notice of Filing of Amendment No. 2 To Proposed Rule Change To Introduce Cboe Market Close, a Closing Match Process for Non-BZX Listed Securities Under New Exchange Rule 11.28 2018-12-04T00:00:00-08:00 2018-12-04T00:00:00-08:00 2018-26269 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-12-04/pdf/2018-26269.pdf https://regulations.justia.com/regulations/fedreg/2018/12/04/2018-26268.html Notice - Self-Regulatory Organizations; ICE Clear Europe Limited; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change, Relating to Amendments to Futures and Options Risk Procedures (the “F&O Risk Procedures”) 1 2018-12-04T00:00:00-08:00 2018-12-04T00:00:00-08:00 2018-26268 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-12-04/pdf/2018-26268.pdf https://regulations.justia.com/regulations/fedreg/2018/12/04/2018-26267.html Notice - 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 118 2018-12-04T00:00:00-08:00 2018-12-04T00:00:00-08:00 2018-26267 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-12-04/pdf/2018-26267.pdf https://regulations.justia.com/regulations/fedreg/2018/12/04/2018-26266.html Notice - Self-Regulatory Organizations; ICE Clear Europe Limited; Notice of Filing of Proposed Rule Change Relating to Amendments to the ICE Clear Europe CDS Risk Policy (the “CDS Risk Policy”), CDS Clearing Back-Testing Policy (the “Back-Testing Policy”) and CDS Stress-Testing Policy (the “Stress-Testing Policy”) (Collectively, the “CDS Policies”) 2018-12-04T00:00:00-08:00 2018-12-04T00:00:00-08:00 2018-26266 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-12-04/pdf/2018-26266.pdf https://regulations.justia.com/regulations/fedreg/2018/12/04/2018-26264.html Notice - Apollo Management, L.P. 2018-12-04T00:00:00-08:00 2018-12-04T00:00:00-08:00 2018-26264 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-12-04/pdf/2018-26264.pdf https://regulations.justia.com/regulations/fedreg/2018/12/03/2018-26277.html Notice - Sunshine Act Meetings 2018-12-03T00:00:00-08:00 2018-12-03T00:00:00-08:00 2018-26277 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-12-03/pdf/2018-26277.pdf https://regulations.justia.com/regulations/fedreg/2018/12/03/2018-26145.html Notice - Self-Regulatory Organizations; Cboe EDGX Exchange, Inc.; Notice of Designation of a Longer Period for Commission Action on a Proposed Rule Change To Allow the Post Only Order Instruction on Complex Orders 2018-12-03T00:00:00-08:00 2018-12-03T00:00:00-08:00 2018-26145 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-12-03/pdf/2018-26145.pdf https://regulations.justia.com/regulations/fedreg/2018/12/03/2018-26144.html Notice - Self-Regulatory Organizations; Cboe EDGX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating To Modify Certain Routing Fees 2018-12-03T00:00:00-08:00 2018-12-03T00:00:00-08:00 2018-26144 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-12-03/pdf/2018-26144.pdf https://regulations.justia.com/regulations/fedreg/2018/12/03/2018-26143.html Notice - Self-Regulatory Organizations; The Nasdaq Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Relocate the Exchange's Options Exercise and Delivery Rules 2018-12-03T00:00:00-08:00 2018-12-03T00:00:00-08:00 2018-26143 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-12-03/pdf/2018-26143.pdf https://regulations.justia.com/regulations/fedreg/2018/12/03/2018-26140.html Notice - Self-Regulatory Organizations; Cboe C2 Exchange, Inc.; Notice of Designation of a Longer Period for Commission Action on a Proposed Rule Change To Allow the Post Only Order Instruction on Complex Orders 2018-12-03T00:00:00-08:00 2018-12-03T00:00:00-08:00 2018-26140 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-12-03/pdf/2018-26140.pdf https://regulations.justia.com/regulations/fedreg/2018/12/03/2018-26139.html Notice - Self-Regulatory Organizations; BOX Options Exchange LLC; Notice of Designation of Longer Period for Commission Action on Proceedings To Determine Whether To Approve or Disapprove a Proposed Rule Change To Adopt Rules Governing the Trading of Complex Qualified Contingent Cross Orders and Complex Customer Cross Orders 2018-12-03T00:00:00-08:00 2018-12-03T00:00:00-08:00 2018-26139 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-12-03/pdf/2018-26139.pdf https://regulations.justia.com/regulations/fedreg/2018/12/03/2018-26138.html Notice - Self-Regulatory Organizations; Nasdaq BX, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Relocate the Exchange's Options Exercise and Delivery Rules 2018-12-03T00:00:00-08:00 2018-12-03T00:00:00-08:00 2018-26138 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-12-03/pdf/2018-26138.pdf https://regulations.justia.com/regulations/fedreg/2018/11/30/2018-26002.html Notice - Self-Regulatory Organizations; Cboe BZX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating To the Modification of Certain Routing Fees 2018-11-30T00:00:00-08:00 2018-11-30T00:00:00-08:00 2018-26002 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-11-30/pdf/2018-26002.pdf https://regulations.justia.com/regulations/fedreg/2018/11/30/2018-26001.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 2018-11-30T00:00:00-08:00 2018-11-30T00:00:00-08:00 2018-26001 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-11-30/pdf/2018-26001.pdf https://regulations.justia.com/regulations/fedreg/2018/11/30/2018-26000.html Notice - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing of a Proposed Rule Change Relating to FINRA Rule 4570 (Custodian of Books and Records) 2018-11-30T00:00:00-08:00 2018-11-30T00:00:00-08:00 2018-26000 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-11-30/pdf/2018-26000.pdf https://regulations.justia.com/regulations/fedreg/2018/11/30/2018-25999.html Notice - Self-Regulatory Organizations; Cboe BYX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to the Modification of Certain Routing Fees 2018-11-30T00:00:00-08:00 2018-11-30T00:00:00-08:00 2018-25999 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-11-30/pdf/2018-25999.pdf https://regulations.justia.com/regulations/fedreg/2018/11/30/2018-25998.html Notice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Its Certificate of Incorporation, Bylaws and Rule 3.3 2018-11-30T00:00:00-08:00 2018-11-30T00:00:00-08:00 2018-25998 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-11-30/pdf/2018-25998.pdf https://regulations.justia.com/regulations/fedreg/2018/11/30/2018-25997.html Notice - Self-Regulatory Organizations; Nasdaq PHLX LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the Exchange's Provisions for Excluding Days for Purposes of Pricing Tiers 2018-11-30T00:00:00-08:00 2018-11-30T00:00:00-08:00 2018-25997 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-11-30/pdf/2018-25997.pdf https://regulations.justia.com/regulations/fedreg/2018/11/30/2018-25996.html Notice - Self-Regulatory Organizations; NYSE American LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Rule 903, Series of Options Open for Trading 2018-11-30T00:00:00-08:00 2018-11-30T00:00:00-08:00 2018-25996 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-11-30/pdf/2018-25996.pdf https://regulations.justia.com/regulations/fedreg/2018/11/30/2018-25995.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 2018-11-30T00:00:00-08:00 2018-11-30T00:00:00-08:00 2018-25995 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-11-30/pdf/2018-25995.pdf https://regulations.justia.com/regulations/fedreg/2018/11/30/2018-25994.html Notice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Rule 6.4-O, Series of Options Open for Trading 2018-11-30T00:00:00-08:00 2018-11-30T00:00:00-08:00 2018-25994 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-11-30/pdf/2018-25994.pdf https://regulations.justia.com/regulations/fedreg/2018/11/30/2018-24376.html Proposed Rule - Updated Disclosure Requirements and Summary Prospectus for Variable Annuity and Variable Life Insurance Contracts 2018-11-30T00:00:00-08:00 2018-11-30T00:00:00-08:00 2018-24376 Proposed Rule https://www.gpo.gov/fdsys/pkg/FR-2018-11-30/pdf/2018-24376.pdf https://regulations.justia.com/regulations/fedreg/2018/11/28/2018-25896.html Notice - Self-Regulatory Organizations; NYSE National, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Its Certificate of Incorporation and Bylaws 2018-11-28T00:00:00-08:00 2018-11-28T00:00:00-08:00 2018-25896 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-11-28/pdf/2018-25896.pdf https://regulations.justia.com/regulations/fedreg/2018/11/27/2018-25884.html Notice - Self-Regulatory Organizations; Cboe C2 Exchange, Inc.; Notice of Filing of a Proposed Rule Change Relating To Adopt Complex Reserve Order Functionality 2018-11-27T00:00:00-08:00 2018-11-27T00:00:00-08:00 2018-25884 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-11-27/pdf/2018-25884.pdf https://regulations.justia.com/regulations/fedreg/2018/11/27/2018-25883.html Notice - Self-Regulatory Organizations; Cboe EDGX Exchange, Inc.; Notice of Filing of a Proposed Rule Change Relating To Adopt Complex Reserve Order Functionality 2018-11-27T00:00:00-08:00 2018-11-27T00:00:00-08:00 2018-25883 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-11-27/pdf/2018-25883.pdf https://regulations.justia.com/regulations/fedreg/2018/11/27/2018-25882.html Notice - Self-Regulatory Organizations; NYSE American LLC; Notice of Filing and Immediate Effectiveness of Proposed Change To Add to the Rules of the Exchange the Twelfth Amended and Restated Operating Agreement of the New York Stock Exchange LLC 2018-11-27T00:00:00-08:00 2018-11-27T00:00:00-08:00 2018-25882 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-11-27/pdf/2018-25882.pdf https://regulations.justia.com/regulations/fedreg/2018/11/27/2018-25881.html Notice - Self-Regulatory Organizations; NYSE Arca, Inc.; Order Instituting Proceedings To Determine Whether To Approve or Disapprove a Proposed Rule Change To List and Trade Shares of the First Trust Long Duration Opportunities ETF Under NYSE Arca Rule 8.600-E 2018-11-27T00:00:00-08:00 2018-11-27T00:00:00-08:00 2018-25881 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-11-27/pdf/2018-25881.pdf https://regulations.justia.com/regulations/fedreg/2018/11/27/2018-25861.html Proposed Rule - List of Rules To Be Reviewed Pursuant to the Regulatory Flexibility Act 2018-11-27T00:00:00-08:00 2018-11-27T00:00:00-08:00 2018-25861 Proposed Rule https://www.gpo.gov/fdsys/pkg/FR-2018-11-27/pdf/2018-25861.pdf https://regulations.justia.com/regulations/fedreg/2018/11/27/2018-25740.html Notice - Self-Regulatory Organizations; The Nasdaq Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Relocate Registration, Qualification Examination and Continuing Education Rules 2018-11-27T00:00:00-08:00 2018-11-27T00:00:00-08:00 2018-25740 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-11-27/pdf/2018-25740.pdf https://regulations.justia.com/regulations/fedreg/2018/11/27/2018-25737.html Notice - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Article II, Section 2.03(h)(ii) and Article VI of Its Operating Agreement 2018-11-27T00:00:00-08:00 2018-11-27T00:00:00-08:00 2018-25737 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-11-27/pdf/2018-25737.pdf https://regulations.justia.com/regulations/fedreg/2018/11/27/2018-25733.html Notice - Self-Regulatory Organizations; Cboe BZX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating To Amend Its Rules Regarding How the System Handles Market Orders in Series With No Bid or No Offer 2018-11-27T00:00:00-08:00 2018-11-27T00:00:00-08:00 2018-25733 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-11-27/pdf/2018-25733.pdf https://regulations.justia.com/regulations/fedreg/2018/11/27/2018-25732.html Notice - Self-Regulatory Organizations; Municipal Securities Rulemaking Board; Order Granting Approval of a Proposed Rule Change To Amend MSRB Rule G-3, on Professional Qualification Requirements, To Require Municipal Advisor Principals To Become Appropriately Qualified by Passing the Municipal Advisor Principal Qualification Examination 2018-11-27T00:00:00-08:00 2018-11-27T00:00:00-08:00 2018-25732 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-11-27/pdf/2018-25732.pdf https://regulations.justia.com/regulations/fedreg/2018/11/27/2018-25720.html Notice - Submission for OMB Review; Comment Request 2018-11-27T00:00:00-08:00 2018-11-27T00:00:00-08:00 2018-25720 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-11-27/pdf/2018-25720.pdf https://regulations.justia.com/regulations/fedreg/2018/11/26/2018-25748.html Notice - Sunshine Act Meetings 2018-11-26T00:00:00-08:00 2018-11-26T00:00:00-08:00 2018-25748 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-11-26/pdf/2018-25748.pdf https://regulations.justia.com/regulations/fedreg/2018/11/26/2018-25739.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 Regarding How the System Handles Market Orders in Series With No Bid or No Offer 2018-11-26T00:00:00-08:00 2018-11-26T00:00:00-08:00 2018-25739 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-11-26/pdf/2018-25739.pdf https://regulations.justia.com/regulations/fedreg/2018/11/26/2018-25738.html Notice - Self-Regulatory Organizations; NYSE American LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Article II, Section 2.03(h)(ii) and Article VI of Its Operating Agreement 2018-11-26T00:00:00-08:00 2018-11-26T00:00:00-08:00 2018-25738 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-11-26/pdf/2018-25738.pdf https://regulations.justia.com/regulations/fedreg/2018/11/26/2018-25736.html Notice - Self-Regulatory Organizations; The Nasdaq Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Eliminate Expired and Obsolete Provisions in Connection With Nasdaq's Transition to an All-Inclusive Annual Fee Program, Rename Certain Existing Annual Fees as All-Inclusive Annual Listing Fees, and Make Other Related Changes 2018-11-26T00:00:00-08:00 2018-11-26T00:00:00-08:00 2018-25736 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-11-26/pdf/2018-25736.pdf https://regulations.justia.com/regulations/fedreg/2018/11/26/2018-25735.html Notice - Self-Regulatory Organizations; The Nasdaq Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend The Nasdaq Options Market LLC (“NOM”) Fees 2018-11-26T00:00:00-08:00 2018-11-26T00:00:00-08:00 2018-25735 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-11-26/pdf/2018-25735.pdf https://regulations.justia.com/regulations/fedreg/2018/11/26/2018-25734.html Notice - Self-Regulatory Organizations; Cboe EDGX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating To Amend Its Rules Regarding How the System Handles Market Orders in Series With No Bid or No Offer 2018-11-26T00:00:00-08:00 2018-11-26T00:00:00-08:00 2018-25734 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-11-26/pdf/2018-25734.pdf https://regulations.justia.com/regulations/fedreg/2018/11/26/2018-25731.html Notice - Self-Regulatory Organizations; The Nasdaq Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Nasdaq Rule 5615(b)(4) To Change the Threshold for Qualifying as a Smaller Reporting Company To Qualify for Certain Exemptions From the Compensation Committee Requirements 2018-11-26T00:00:00-08:00 2018-11-26T00:00:00-08:00 2018-25731 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-11-26/pdf/2018-25731.pdf https://regulations.justia.com/regulations/fedreg/2018/11/26/2018-25689.html Notice - Proposed Collection; Comment Request 2018-11-26T00:00:00-08:00 2018-11-26T00:00:00-08:00 2018-25689 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-11-26/pdf/2018-25689.pdf https://regulations.justia.com/regulations/fedreg/2018/11/26/2018-25688.html Notice - Proposed Collection; Comment Request 2018-11-26T00:00:00-08:00 2018-11-26T00:00:00-08:00 2018-25688 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-11-26/pdf/2018-25688.pdf https://regulations.justia.com/regulations/fedreg/2018/11/26/2018-25687.html Notice - Proposed Collection; Comment Request 2018-11-26T00:00:00-08:00 2018-11-26T00:00:00-08:00 2018-25687 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-11-26/pdf/2018-25687.pdf https://regulations.justia.com/regulations/fedreg/2018/11/26/2018-25686.html Notice - Proposed Collection; Comment Request 2018-11-26T00:00:00-08:00 2018-11-26T00:00:00-08:00 2018-25686 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-11-26/pdf/2018-25686.pdf https://regulations.justia.com/regulations/fedreg/2018/11/26/2018-25685.html Notice - Proposed Collection; Comment Request 2018-11-26T00:00:00-08:00 2018-11-26T00:00:00-08:00 2018-25685 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-11-26/pdf/2018-25685.pdf https://regulations.justia.com/regulations/fedreg/2018/11/26/2018-25684.html Notice - Proposed Collection; Comment Request 2018-11-26T00:00:00-08:00 2018-11-26T00:00:00-08:00 2018-25684 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-11-26/pdf/2018-25684.pdf https://regulations.justia.com/regulations/fedreg/2018/11/26/2018-25683.html Notice - Proposed Collection; Comment Request 2018-11-26T00:00:00-08:00 2018-11-26T00:00:00-08:00 2018-25683 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-11-26/pdf/2018-25683.pdf https://regulations.justia.com/regulations/fedreg/2018/11/26/2018-25682.html Notice - Proposed Collection; Comment Request 2018-11-26T00:00:00-08:00 2018-11-26T00:00:00-08:00 2018-25682 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-11-26/pdf/2018-25682.pdf https://regulations.justia.com/regulations/fedreg/2018/11/26/2018-25606.html Notice - Self-Regulatory Organizations; The Options Clearing Corporation; Notice of Filing of Advance Notice, as Modified by Partial Amendment No. 1, Related to The Options Clearing Corporation's Margin Methodology for Incorporating Variations in Implied Volatility 2018-11-26T00:00:00-08:00 2018-11-26T00:00:00-08:00 2018-25606 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-11-26/pdf/2018-25606.pdf https://regulations.justia.com/regulations/fedreg/2018/11/26/2018-25601.html Notice - Self-Regulatory Organizations; Nasdaq PHLX LLC; Notice of Filing of Proposed Rule Change To Establish Rules Governing the Give Up of a Clearing Member by a Member Organization on Exchange Transactions 2018-11-26T00:00:00-08:00 2018-11-26T00:00:00-08:00 2018-25601 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-11-26/pdf/2018-25601.pdf https://regulations.justia.com/regulations/fedreg/2018/11/26/2018-25600.html Notice - Self-Regulatory Organizations; Cboe EDGA Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Modify Its Fee Schedule 2018-11-26T00:00:00-08:00 2018-11-26T00:00:00-08:00 2018-25600 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-11-26/pdf/2018-25600.pdf https://regulations.justia.com/regulations/fedreg/2018/11/26/2018-25599.html Notice - Self-Regulatory Organizations; The Nasdaq Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Correct a Typographical Error in Rule 4702(b)(7)(A) 2018-11-26T00:00:00-08:00 2018-11-26T00:00:00-08:00 2018-25599 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-11-26/pdf/2018-25599.pdf https://regulations.justia.com/regulations/fedreg/2018/11/26/2018-25598.html Notice - Self-Regulatory Organizations; The Nasdaq Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Introduce a New Midpoint Trade Now Functionality 2018-11-26T00:00:00-08:00 2018-11-26T00:00:00-08:00 2018-25598 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-11-26/pdf/2018-25598.pdf https://regulations.justia.com/regulations/fedreg/2018/11/26/2018-25597.html Notice - Self-Regulatory Organizations; Nasdaq PHLX LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Add Definitions to Rule 1000 and Amend Risk Protections 2018-11-26T00:00:00-08:00 2018-11-26T00:00:00-08:00 2018-25597 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-11-26/pdf/2018-25597.pdf https://regulations.justia.com/regulations/fedreg/2018/11/26/2018-25596.html Notice - Self-Regulatory Organizations; Cboe EDGX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Adopt Reserve Orders 2018-11-26T00:00:00-08:00 2018-11-26T00:00:00-08:00 2018-25596 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-11-26/pdf/2018-25596.pdf https://regulations.justia.com/regulations/fedreg/2018/11/26/2018-25595.html Notice - Self-Regulatory Organizations; NYSE American LLC; Notice of Designation of Longer Period for Commission Action on a Proposed Rule Change To Allow Flexible Exchange Equity Options Where the Underlying Security Is an Exchange-Traded Fund That Is Included in the Option Penny Pilot To Be Settled in Cash 2018-11-26T00:00:00-08:00 2018-11-26T00:00:00-08:00 2018-25595 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-11-26/pdf/2018-25595.pdf https://regulations.justia.com/regulations/fedreg/2018/11/26/2018-25594.html Notice - Pacific Global ETF Trust and Cadence Capital Management LLC 2018-11-26T00:00:00-08:00 2018-11-26T00:00:00-08:00 2018-25594 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-11-26/pdf/2018-25594.pdf https://regulations.justia.com/regulations/fedreg/2018/11/23/2018-25492.html Notice - Proposed Collection; Comment Request 2018-11-23T00:00:00-08:00 2018-11-23T00:00:00-08:00 2018-25492 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-11-23/pdf/2018-25492.pdf https://regulations.justia.com/regulations/fedreg/2018/11/23/2018-25491.html Notice - Proposed Collection; Comment Request 2018-11-23T00:00:00-08:00 2018-11-23T00:00:00-08:00 2018-25491 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-11-23/pdf/2018-25491.pdf https://regulations.justia.com/regulations/fedreg/2018/11/23/2018-25490.html Notice - Submission for OMB Review; Comment Request 2018-11-23T00:00:00-08:00 2018-11-23T00:00:00-08:00 2018-25490 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-11-23/pdf/2018-25490.pdf https://regulations.justia.com/regulations/fedreg/2018/11/23/2018-25471.html Notice - In the Matter of the BOX Exchange LLC Regarding a Suspension of and Order Instituting Proceedings To Determine Whether To Approve or Disapprove a Proposed Rule Change To Amend the Fee Schedule on the BOX Market LLC Options Facility To Establish BOX Connectivity Fees for Participants and Non-Participants Who Connect to the BOX Network (File No. SR-BOX-2018-24); Order Granting Petition for Review and Scheduling Filing of Statements 2018-11-23T00:00:00-08:00 2018-11-23T00:00:00-08:00 2018-25471 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-11-23/pdf/2018-25471.pdf https://regulations.justia.com/regulations/fedreg/2018/11/23/2018-25470.html Notice - Self-Regulatory Organizations; Miami International Securities Exchange, LLC; Notice of Filing of a Proposed Rule Change To Amend Exchange Rule 518, Complex Orders 2018-11-23T00:00:00-08:00 2018-11-23T00:00:00-08:00 2018-25470 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-11-23/pdf/2018-25470.pdf https://regulations.justia.com/regulations/fedreg/2018/11/23/2018-25469.html Notice - Self-Regulatory Organizations; BOX Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Permit Up to Ten Expiration Months for Long-Term Options on the SPDR® S&P® 500 Exchange-Traded Fund Shares (“SPY”) 2018-11-23T00:00:00-08:00 2018-11-23T00:00:00-08:00 2018-25469 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-11-23/pdf/2018-25469.pdf https://regulations.justia.com/regulations/fedreg/2018/11/23/2018-25468.html Notice - Self-Regulatory Organizations; National Securities Clearing Corporation; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Enhance the Mutual Fund Profile Service To Provide for the Transmission of Event Notifications Through a New Feature Called MF Info Xchange 2018-11-23T00:00:00-08:00 2018-11-23T00:00:00-08:00 2018-25468 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-11-23/pdf/2018-25468.pdf https://regulations.justia.com/regulations/fedreg/2018/11/23/2018-25467.html Notice - Self-Regulatory Organizations; Nasdaq PHLX LLC; Order Approving a Proposed Rule Change To Amend Rules 1000, 1064, and 1069 To Allow for the Snapshot Functionality of the Floor-Based Management System To Be Used for All Orders 2018-11-23T00:00:00-08:00 2018-11-23T00:00:00-08:00 2018-25467 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-11-23/pdf/2018-25467.pdf https://regulations.justia.com/regulations/fedreg/2018/11/23/2018-25442.html Notice - Proposed Collection; Comment Request 2018-11-23T00:00:00-08:00 2018-11-23T00:00:00-08:00 2018-25442 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-11-23/pdf/2018-25442.pdf https://regulations.justia.com/regulations/fedreg/2018/11/21/2018-25358.html Notice - Self-Regulatory Organizations; Cboe Futures Exchange, LLC; Notice of Filing of a Proposed Rule Change Regarding Minor Rule Violations 2018-11-21T00:00:00-08:00 2018-11-21T00:00:00-08:00 2018-25358 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-11-21/pdf/2018-25358.pdf https://regulations.justia.com/regulations/fedreg/2018/11/21/2018-25344.html Notice - Self-Regulatory Organizations; Cboe BZX Exchange, Inc.; Notice of Filing of a Proposed Rule Change To List and Trade Shares of the JPMorgan Inflation Managed Bond ETF of the J.P. Morgan Exchange-Traded Fund Trust Under Rule 14.11(i), Managed Fund Shares 2018-11-21T00:00:00-08:00 2018-11-21T00:00:00-08:00 2018-25344 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-11-21/pdf/2018-25344.pdf https://regulations.justia.com/regulations/fedreg/2018/11/21/2018-25343.html Notice - Self-Regulatory Organizations; NYSE American LLC; Notice of Filing and Immediate Effectiveness of Proposed Change To Modify the NYSE American Options Fee Schedule 2018-11-21T00:00:00-08:00 2018-11-21T00:00:00-08:00 2018-25343 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-11-21/pdf/2018-25343.pdf https://regulations.justia.com/regulations/fedreg/2018/11/21/2018-25342.html Notice - Self-Regulatory Organizations; LCH SA; Notice of Filing and Immediate Effectiveness of Proposed Rule Change, as Modified by Amendment No. 1, Relating to a New Fee Incentive Scheme 2018-11-21T00:00:00-08:00 2018-11-21T00:00:00-08:00 2018-25342 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-11-21/pdf/2018-25342.pdf https://regulations.justia.com/regulations/fedreg/2018/11/21/2018-25341.html Notice - Self-Regulatory Organizations; Cboe BYX Exchange, Inc.; Order Instituting Proceedings To Determine Whether To Approve or Disapprove a Proposed Rule Change To Make Permanent Exchange Rule 11.24, Which Sets Forth the Exchange's Pilot Retail Price Improvement Program 2018-11-21T00:00:00-08:00 2018-11-21T00:00:00-08:00 2018-25341 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-11-21/pdf/2018-25341.pdf https://regulations.justia.com/regulations/fedreg/2018/11/21/2018-25340.html Notice - Self-Regulatory Organizations; Cboe EDGA Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating To Amend the Exchange's Fee Schedule Applicable to its Equities Trading Platform 2018-11-21T00:00:00-08:00 2018-11-21T00:00:00-08:00 2018-25340 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-11-21/pdf/2018-25340.pdf https://regulations.justia.com/regulations/fedreg/2018/11/19/2018-25180.html Notice - ABR Dynamic Funds, LLC, et al. 2018-11-19T00:00:00-08:00 2018-11-19T00:00:00-08:00 2018-25180 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-11-19/pdf/2018-25180.pdf https://regulations.justia.com/regulations/fedreg/2018/11/19/2018-25099.html Notice - Self-Regulatory Organizations; Cboe Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating To Amend the Volume Incentive Program 2018-11-19T00:00:00-08:00 2018-11-19T00:00:00-08:00 2018-25099 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-11-19/pdf/2018-25099.pdf https://regulations.justia.com/regulations/fedreg/2018/11/19/2018-25096.html Notice - Self-Regulatory Organizations; Miami International Securities Exchange, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Exchange Rule 503 To Adopt Interpretations and Policies .02 and .03 2018-11-19T00:00:00-08:00 2018-11-19T00:00:00-08:00 2018-25096 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-11-19/pdf/2018-25096.pdf https://regulations.justia.com/regulations/fedreg/2018/11/19/2018-25094.html Notice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Designation of a Longer Period for Commission Action on Proposed Rule Change To Amend NYSE Arca Rule 5.2-E(j)(6) Relating to Equity Index-Linked Securities Listing Standards Set Forth in NYSE Arca Rule 5.2-E(j)(6)(B)(I) 2018-11-19T00:00:00-08:00 2018-11-19T00:00:00-08:00 2018-25094 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-11-19/pdf/2018-25094.pdf https://regulations.justia.com/regulations/fedreg/2018/11/19/2018-25093.html Notice - Self-Regulatory Organizations; The Nasdaq Stock Market LLC; Notice of Filing of Amendment Nos. 1, 2, and 3 and Order Granting Accelerated Approval of a Proposed Rule Change, as Modified by Amendment Nos. 1, 2, and 3, to List and Trade Corporate Non-Convertible Bonds on Nasdaq 2018-11-19T00:00:00-08:00 2018-11-19T00:00:00-08:00 2018-25093 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-11-19/pdf/2018-25093.pdf https://regulations.justia.com/regulations/fedreg/2018/11/19/2018-24423.html Rule - Disclosure of Order Handling Information 2018-11-19T00:00:00-08:00 2018-11-19T00:00:00-08:00 2018-24423 Rule https://www.gpo.gov/fdsys/pkg/FR-2018-11-19/pdf/2018-24423.pdf https://regulations.justia.com/regulations/fedreg/2018/11/16/2018-25051.html Notice - Submission for OMB Review; Comment Request 2018-11-16T00:00:00-08:00 2018-11-16T00:00:00-08:00 2018-25051 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-11-16/pdf/2018-25051.pdf https://regulations.justia.com/regulations/fedreg/2018/11/16/2018-25049.html Notice - Submission for OMB Review; Comment Request 2018-11-16T00:00:00-08:00 2018-11-16T00:00:00-08:00 2018-25049 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-11-16/pdf/2018-25049.pdf https://regulations.justia.com/regulations/fedreg/2018/11/16/2018-25048.html Notice - Submission for OMB Review; Comment Request 2018-11-16T00:00:00-08:00 2018-11-16T00:00:00-08:00 2018-25048 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-11-16/pdf/2018-25048.pdf https://regulations.justia.com/regulations/fedreg/2018/11/16/2018-25047.html Notice - Submission for OMB Review; Comment Request 2018-11-16T00:00:00-08:00 2018-11-16T00:00:00-08:00 2018-25047 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-11-16/pdf/2018-25047.pdf https://regulations.justia.com/regulations/fedreg/2018/11/16/2018-25033.html Notice - Self-Regulatory Organizations; Nasdaq PHLX LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend General 8 of the Exchange's Rules 2018-11-16T00:00:00-08:00 2018-11-16T00:00:00-08:00 2018-25033 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-11-16/pdf/2018-25033.pdf https://regulations.justia.com/regulations/fedreg/2018/11/16/2018-25032.html Notice - Self-Regulatory Organizations; Nasdaq BX, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend General 8 of the Exchange's Rules 2018-11-16T00:00:00-08:00 2018-11-16T00:00:00-08:00 2018-25032 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-11-16/pdf/2018-25032.pdf https://regulations.justia.com/regulations/fedreg/2018/11/16/2018-25031.html Notice - Self-Regulatory Organizations; The Nasdaq Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend General 8 of the Exchange's Rules 2018-11-16T00:00:00-08:00 2018-11-16T00:00:00-08:00 2018-25031 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-11-16/pdf/2018-25031.pdf https://regulations.justia.com/regulations/fedreg/2018/11/16/2018-25030.html Notice - Self-Regulatory Organizations; Nasdaq GEMX, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend General 8 of the Exchange's Rules 2018-11-16T00:00:00-08:00 2018-11-16T00:00:00-08:00 2018-25030 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-11-16/pdf/2018-25030.pdf https://regulations.justia.com/regulations/fedreg/2018/11/16/2018-25029.html Notice - Self-Regulatory Organizations; Nasdaq MRX, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend General 8 of the Exchange's Rules 2018-11-16T00:00:00-08:00 2018-11-16T00:00:00-08:00 2018-25029 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-11-16/pdf/2018-25029.pdf https://regulations.justia.com/regulations/fedreg/2018/11/16/2018-25028.html Notice - Self-Regulatory Organizations; Nasdaq ISE, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend General 8 of the Exchange's Rules 2018-11-16T00:00:00-08:00 2018-11-16T00:00:00-08:00 2018-25028 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-11-16/pdf/2018-25028.pdf https://regulations.justia.com/regulations/fedreg/2018/11/16/2018-25019.html Notice - Investor Advisory Committee Meeting 2018-11-16T00:00:00-08:00 2018-11-16T00:00:00-08:00 2018-25019 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-11-16/pdf/2018-25019.pdf https://regulations.justia.com/regulations/fedreg/2018/11/16/2018-25005.html Rule - Adoption of Updated EDGAR Filer Manual; Correction 2018-11-16T00:00:00-08:00 2018-11-16T00:00:00-08:00 2018-25005 Rule https://www.gpo.gov/fdsys/pkg/FR-2018-11-16/pdf/2018-25005.pdf https://regulations.justia.com/regulations/fedreg/2018/11/16/2018-24988.html Notice - Self-Regulatory Organizations; The Options Clearing Corporation; Order Granting Approval of Accelerated Delivery of Supplement to the Options Disclosure Document Reflecting the Inclusion of Disclosure Regarding Foreign Currency Index Options and Implied Volatility Index Options, Certain Contract Adjustment Disclosures, and T+2 Settlement 2018-11-16T00:00:00-08:00 2018-11-16T00:00:00-08:00 2018-24988 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-11-16/pdf/2018-24988.pdf https://regulations.justia.com/regulations/fedreg/2018/11/16/2018-24985.html Notice - Self-Regulatory Organizations; Cboe EDGX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating To Modify its Fee Schedule 2018-11-16T00:00:00-08:00 2018-11-16T00:00:00-08:00 2018-24985 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-11-16/pdf/2018-24985.pdf https://regulations.justia.com/regulations/fedreg/2018/11/16/2018-24984.html Notice - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the Listed Company Manual To Clarify the Application of the Initial Listing Requirements to Common Equity Securities Issued in Exchange for a Listed Equity Investment Tracking Stock 2018-11-16T00:00:00-08:00 2018-11-16T00:00:00-08:00 2018-24984 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-11-16/pdf/2018-24984.pdf https://regulations.justia.com/regulations/fedreg/2018/11/16/2018-24983.html Notice - Self-Regulatory Organizations; Cboe Futures Exchange, LLC; Notice of a Filing of a Proposed Rule Change Regarding Block Trade and Exchange of Contract for Related Position Reporting Provisions 2018-11-16T00:00:00-08:00 2018-11-16T00:00:00-08:00 2018-24983 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-11-16/pdf/2018-24983.pdf https://regulations.justia.com/regulations/fedreg/2018/11/16/2018-24982.html Notice - Self-Regulatory Organizations; Cboe Futures Exchange, LLC; Notice of Filing of a Proposed Rule Change Regarding Correction of Reporting Errors 2018-11-16T00:00:00-08:00 2018-11-16T00:00:00-08:00 2018-24982 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-11-16/pdf/2018-24982.pdf https://regulations.justia.com/regulations/fedreg/2018/11/16/2018-24981.html Notice - Self-Regulatory Organizations; The Nasdaq Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Various Rules To Reflect Changes to The Nasdaq Options Market LLC (“NOM”) Protocols 2018-11-16T00:00:00-08:00 2018-11-16T00:00:00-08:00 2018-24981 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-11-16/pdf/2018-24981.pdf https://regulations.justia.com/regulations/fedreg/2018/11/16/2018-24980.html Notice - Self-Regulatory Organizations; Cboe Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating To Modify Its Fee Schedule 2018-11-16T00:00:00-08:00 2018-11-16T00:00:00-08:00 2018-24980 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-11-16/pdf/2018-24980.pdf https://regulations.justia.com/regulations/fedreg/2018/11/16/2018-23929.html Unknown - Regulatory Flexibility Agenda 2018-11-16T00:00:00-08:00 2018-11-16T00:00:00-08:00 2018-23929 Unknown https://www.gpo.gov/fdsys/pkg/FR-2018-11-16/pdf/2018-23929.pdf https://regulations.justia.com/regulations/fedreg/2018/11/15/2018-25021.html Notice - Sunshine Act Meetings 2018-11-15T00:00:00-08:00 2018-11-15T00:00:00-08:00 2018-25021 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-11-15/pdf/2018-25021.pdf https://regulations.justia.com/regulations/fedreg/2018/11/15/2018-24870.html Notice - Self-Regulatory Organizations; ICE Clear Europe Limited; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Amendments to the F&O Guaranty Fund Policy (the “Policy”), Clearing Rules (the “Rules”) and Finance Procedures (“Finance Procedures”) 2018-11-15T00:00:00-08:00 2018-11-15T00:00:00-08:00 2018-24870 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-11-15/pdf/2018-24870.pdf https://regulations.justia.com/regulations/fedreg/2018/11/15/2018-24868.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 Remove Certain Obsolete Text That References Pillar Phase I Protocols 2018-11-15T00:00:00-08:00 2018-11-15T00:00:00-08:00 2018-24868 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-11-15/pdf/2018-24868.pdf https://regulations.justia.com/regulations/fedreg/2018/11/14/2018-24733.html Notice - Self-Regulatory Organizations; Nasdaq BX, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Derivative Securities Traded Under Unlisted Trading Privileges 2018-11-14T00:00:00-08:00 2018-11-14T00:00:00-08:00 2018-24733 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-11-14/pdf/2018-24733.pdf https://regulations.justia.com/regulations/fedreg/2018/11/14/2018-24732.html Notice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing of Proposed Rule Change To Amend Rule 7.44-E 2018-11-14T00:00:00-08:00 2018-11-14T00:00:00-08:00 2018-24732 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-11-14/pdf/2018-24732.pdf https://regulations.justia.com/regulations/fedreg/2018/11/13/2018-24638.html Notice - Self-Regulatory Organizations; Nasdaq PHLX LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the Rule 3400 Series 2018-11-13T00:00:00-08:00 2018-11-13T00:00:00-08:00 2018-24638 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-11-13/pdf/2018-24638.pdf https://regulations.justia.com/regulations/fedreg/2018/11/13/2018-24637.html Notice - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Section 303A.00 of the Manual To Change the Threshold for Qualifying as a Smaller Reporting Company To Qualify for Certain Exemptions From the Compensation Committee Requirements 2018-11-13T00:00:00-08:00 2018-11-13T00:00:00-08:00 2018-24637 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-11-13/pdf/2018-24637.pdf https://regulations.justia.com/regulations/fedreg/2018/11/13/2018-24636.html Notice - Self-Regulatory Organizations; Nasdaq PHLX LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to New Derivative Securities Products 2018-11-13T00:00:00-08:00 2018-11-13T00:00:00-08:00 2018-24636 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-11-13/pdf/2018-24636.pdf https://regulations.justia.com/regulations/fedreg/2018/11/13/2018-24635.html Notice - Stellus Capital Investment Corporation, et al. 2018-11-13T00:00:00-08:00 2018-11-13T00:00:00-08:00 2018-24635 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-11-13/pdf/2018-24635.pdf https://regulations.justia.com/regulations/fedreg/2018/11/13/2018-24549.html Rule - Regulation of NMS Stock Alternative Trading Systems 2018-11-13T00:00:00-08:00 2018-11-13T00:00:00-08:00 2018-24549 Rule https://www.gpo.gov/fdsys/pkg/FR-2018-11-13/pdf/2018-24549.pdf https://regulations.justia.com/regulations/fedreg/2018/11/09/2018-24632.html Notice - Sunshine Act Meeting 2018-11-09T00:00:00-08:00 2018-11-09T00:00:00-08:00 2018-24632 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-11-09/pdf/2018-24632.pdf https://regulations.justia.com/regulations/fedreg/2018/11/09/2018-24577.html Notice - Submission for OMB Review; Comment Request 2018-11-09T00:00:00-08:00 2018-11-09T00:00:00-08:00 2018-24577 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-11-09/pdf/2018-24577.pdf https://regulations.justia.com/regulations/fedreg/2018/11/09/2018-24575.html Notice - Proposed Collection; Comment Request 2018-11-09T00:00:00-08:00 2018-11-09T00:00:00-08:00 2018-24575 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-11-09/pdf/2018-24575.pdf https://regulations.justia.com/regulations/fedreg/2018/11/09/2018-24528.html Notice - Self-Regulatory Organizations; Cboe Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Extend the Operation of its SPXPM Pilot Program 2018-11-09T00:00:00-08:00 2018-11-09T00:00:00-08:00 2018-24528 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-11-09/pdf/2018-24528.pdf https://regulations.justia.com/regulations/fedreg/2018/11/09/2018-24527.html Notice - Self-Regulatory Organizations; Nasdaq BX, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Chapter XIV, Index Rules, Section 10(g), Pricing When Primary Market Does Not Open 2018-11-09T00:00:00-08:00 2018-11-09T00:00:00-08:00 2018-24527 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-11-09/pdf/2018-24527.pdf https://regulations.justia.com/regulations/fedreg/2018/11/09/2018-24526.html Notice - Self-Regulatory Organizations; Nasdaq ISE, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend ISE Rule 2008(g), Pricing When Primary Market Does Not Open 2018-11-09T00:00:00-08:00 2018-11-09T00:00:00-08:00 2018-24526 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-11-09/pdf/2018-24526.pdf https://regulations.justia.com/regulations/fedreg/2018/11/09/2018-24525.html Notice - Self-Regulatory Organizations; The Nasdaq Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Chapter XIV, Index Rules, Section 10(g), Pricing When Primary Market Does Not Open 2018-11-09T00:00:00-08:00 2018-11-09T00:00:00-08:00 2018-24525 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-11-09/pdf/2018-24525.pdf https://regulations.justia.com/regulations/fedreg/2018/11/09/2018-24524.html Notice - Self-Regulatory Organizations; Cboe Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Extend the Operation of Its Flexible Exchange Options Pilot Program Regarding Permissible Exercise Settlement Values for Flexible Exchange Index Options 2018-11-09T00:00:00-08:00 2018-11-09T00:00:00-08:00 2018-24524 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-11-09/pdf/2018-24524.pdf https://regulations.justia.com/regulations/fedreg/2018/11/09/2018-24523.html Notice - Self-Regulatory Organizations; Nasdaq PHLX LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Rule 1101A, Terms of Option Contracts 2018-11-09T00:00:00-08:00 2018-11-09T00:00:00-08:00 2018-24523 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-11-09/pdf/2018-24523.pdf https://regulations.justia.com/regulations/fedreg/2018/11/09/2018-24522.html Notice - Self-Regulatory Organizations; Cboe Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Renew the Nonstandard Expirations Pilot Program 2018-11-09T00:00:00-08:00 2018-11-09T00:00:00-08:00 2018-24522 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-11-09/pdf/2018-24522.pdf https://regulations.justia.com/regulations/fedreg/2018/11/09/2018-24521.html Notice - Self-Regulatory Organizations; ICE Clear Europe Limited; Notice of Filing of Proposed Rule Change Relating to Amendments to the ICE Clear Europe Limited Liquidity Plan 2018-11-09T00:00:00-08:00 2018-11-09T00:00:00-08:00 2018-24521 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-11-09/pdf/2018-24521.pdf https://regulations.justia.com/regulations/fedreg/2018/11/09/2018-24509.html Notice - Toroso Investments, LLC and Tidal ETF Trust 2018-11-09T00:00:00-08:00 2018-11-09T00:00:00-08:00 2018-24509 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-11-09/pdf/2018-24509.pdf https://regulations.justia.com/regulations/fedreg/2018/11/08/2018-24400.html Notice - Self-Regulatory Organizations; The Options Clearing Corporation; Notice of Filing of Proposed Rule Change, as Modified by Partial Amendment No. 1, Related to The Options Clearing Corporation's Margin Methodology for Incorporating Variations in Implied Volatility 2018-11-08T00:00:00-08:00 2018-11-08T00:00:00-08:00 2018-24400 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-11-08/pdf/2018-24400.pdf https://regulations.justia.com/regulations/fedreg/2018/11/08/2018-24399.html Notice - Self-Regulatory Organizations; NYSE American LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Section 805(c)(5) of the Guide to Change the Threshold for Qualifying as a Smaller Reporting Company To Qualify for Certain Exemptions From the Compensation Committee Requirements 2018-11-08T00:00:00-08:00 2018-11-08T00:00:00-08:00 2018-24399 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-11-08/pdf/2018-24399.pdf https://regulations.justia.com/regulations/fedreg/2018/11/07/2018-24405.html Notice - Sunshine Act Meetings 2018-11-07T00:00:00-08:00 2018-11-07T00:00:00-08:00 2018-24405 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-11-07/pdf/2018-24405.pdf https://regulations.justia.com/regulations/fedreg/2018/11/07/2018-24404.html Notice - Sunshine Act Meetings 2018-11-07T00:00:00-08:00 2018-11-07T00:00:00-08:00 2018-24404 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-11-07/pdf/2018-24404.pdf https://regulations.justia.com/regulations/fedreg/2018/11/07/2018-24311.html Notice - Self-Regulatory Organizations; Cboe BZX Exchange, Inc.; Notice of Designation of a Longer Period for Commission Action on Proceedings To Determine Whether To Approve or Disapprove a Proposed Rule Change To List and Trade Shares of the Principal Morley Short Duration Index ETF Under Rule 14.11(c)(4) 2018-11-07T00:00:00-08:00 2018-11-07T00:00:00-08:00 2018-24311 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-11-07/pdf/2018-24311.pdf https://regulations.justia.com/regulations/fedreg/2018/11/07/2018-24310.html Notice - Self-Regulatory Organizations; Nasdaq ISE, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Relocate the Exchange's Pricing Schedule 2018-11-07T00:00:00-08:00 2018-11-07T00:00:00-08:00 2018-24310 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-11-07/pdf/2018-24310.pdf https://regulations.justia.com/regulations/fedreg/2018/11/07/2018-24309.html Notice - Self-Regulatory Organizations; The Options Clearing Corporation; Notice of Filing of Proposed Rule Change To Extend Term Limits for Member Directors Serving on The Options Clearing Corporation's Board of Directors 2018-11-07T00:00:00-08:00 2018-11-07T00:00:00-08:00 2018-24309 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-11-07/pdf/2018-24309.pdf https://regulations.justia.com/regulations/fedreg/2018/11/07/2018-24308.html Notice - Self-Regulatory Organizations; Nasdaq BX, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Add Definitions to Chapter I, Section 1, Titled General Provisions and Also Amend Chapter VI, Section 18, Titled Risk Protections 2018-11-07T00:00:00-08:00 2018-11-07T00:00:00-08:00 2018-24308 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-11-07/pdf/2018-24308.pdf https://regulations.justia.com/regulations/fedreg/2018/11/07/2018-24307.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 515A, MIAX Price Improvement Mechanism (“PRIME”) and PRIME Solicitation Mechanism, and Rule 518, Complex Orders 2018-11-07T00:00:00-08:00 2018-11-07T00:00:00-08:00 2018-24307 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-11-07/pdf/2018-24307.pdf https://regulations.justia.com/regulations/fedreg/2018/11/07/2018-24306.html Notice - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Adopt Rule 9910 Post-Employment Conflict of Interest Restrictions; Nonpublic Information 2018-11-07T00:00:00-08:00 2018-11-07T00:00:00-08:00 2018-24306 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-11-07/pdf/2018-24306.pdf https://regulations.justia.com/regulations/fedreg/2018/11/07/2018-24305.html Notice - Self-Regulatory Organizations; NYSE Arca, Inc.; Order Instituting Proceedings To Determine Whether To Approve or Disapprove a Proposed Rule Change To Amend Commentary .01 to NYSE Arca Rule 8.600-E Relating to Certain Generic Listing Standards for Managed Fund Shares 2018-11-07T00:00:00-08:00 2018-11-07T00:00:00-08:00 2018-24305 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-11-07/pdf/2018-24305.pdf https://regulations.justia.com/regulations/fedreg/2018/11/07/2018-24304.html Notice - Self-Regulatory Organizations; Nasdaq ISE, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Delete ISE Section 22 of the Rulebook Entitled “Rate-Modified Foreign Currency Options Rules” 2018-11-07T00:00:00-08:00 2018-11-07T00:00:00-08:00 2018-24304 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-11-07/pdf/2018-24304.pdf https://regulations.justia.com/regulations/fedreg/2018/11/07/2018-24303.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 Amend NYSE Rule 104 Governing Transactions by Designated Market Makers 2018-11-07T00:00:00-08:00 2018-11-07T00:00:00-08:00 2018-24303 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-11-07/pdf/2018-24303.pdf https://regulations.justia.com/regulations/fedreg/2018/11/06/2018-24213.html Rule - Commission Statement on Certain Provisions of Business Conduct Standards for Security-Based Swap Dealers and Major Security-Based Swap Participants 2018-11-06T00:00:00-08:00 2018-11-06T00:00:00-08:00 2018-24213 Rule https://www.gpo.gov/fdsys/pkg/FR-2018-11-06/pdf/2018-24213.pdf https://regulations.justia.com/regulations/fedreg/2018/11/06/2018-24211.html Notice - Proposed Collection; Comment Request 2018-11-06T00:00:00-08:00 2018-11-06T00:00:00-08:00 2018-24211 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-11-06/pdf/2018-24211.pdf https://regulations.justia.com/regulations/fedreg/2018/11/05/2018-24128.html Rule - Adoption of Updated EDGAR Filer Manual 2018-11-05T00:00:00-08:00 2018-11-05T00:00:00-08:00 2018-24128 Rule https://www.gpo.gov/fdsys/pkg/FR-2018-11-05/pdf/2018-24128.pdf https://regulations.justia.com/regulations/fedreg/2018/11/05/2018-24077.html Notice - Cushing Asset Management, LP and Cushing ETF Trust 2018-11-05T00:00:00-08:00 2018-11-05T00:00:00-08:00 2018-24077 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-11-05/pdf/2018-24077.pdf https://regulations.justia.com/regulations/fedreg/2018/11/05/2018-24070.html Notice - Program for Allocation of Regulatory Responsibilities Pursuant to Rule 17d-2; Notice of Filing and Order Approving and Declaring Effective an Amended Plan for the Allocation of Regulatory Responsibilities Between the Financial Industry Regulatory Authority, Inc. and NYSE National, Inc. 2018-11-05T00:00:00-08:00 2018-11-05T00:00:00-08:00 2018-24070 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-11-05/pdf/2018-24070.pdf https://regulations.justia.com/regulations/fedreg/2018/11/05/2018-24069.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 First Trust TCW Unconstrained Plus Bond ETF 2018-11-05T00:00:00-08:00 2018-11-05T00:00:00-08:00 2018-24069 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-11-05/pdf/2018-24069.pdf https://regulations.justia.com/regulations/fedreg/2018/11/05/2018-24068.html Notice - Self-Regulatory Organizations; The Nasdaq Stock Market LLC; Notice of Filing of a Proposed Rule Change To List and Trade Shares of the BrandywineGLOBAL-Global Total Return ETF, a Series of Legg Mason ETF Investment Trust Under Nasdaq Rule 5735 2018-11-05T00:00:00-08:00 2018-11-05T00:00:00-08:00 2018-24068 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-11-05/pdf/2018-24068.pdf https://regulations.justia.com/regulations/fedreg/2018/11/05/2018-24067.html Notice - Self-Regulatory Organizations; Cboe BZX Exchange, Inc.; Notice of Filing of a Proposed Rule Change, as Modified by Amendment No. 1, To Establish How the BZX Official Closing Price Would Be Determined for BZX-Listed Securities 2018-11-05T00:00:00-08:00 2018-11-05T00:00:00-08:00 2018-24067 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-11-05/pdf/2018-24067.pdf