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 2018-07-21T21:41:47-07:00 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/2018/07/20/2018-15673.html Notice - Sunshine Act Meetings 2018-07-20T00:00:00-07:00 2018-07-20T00:00:00-07:00 2018-15673 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-07-20/pdf/2018-15673.pdf https://regulations.justia.com/regulations/fedreg/2018/07/20/2018-15507.html Notice - Self-Regulatory Organizations; BOX Options Exchange LLC; Notice of Designation of Longer Period for Commission Action on Proposed Rule Change To Adopt Rules Governing the Trading of Complex Qualified Contingent Cross and Complex Customer Cross Orders 2018-07-20T00:00:00-07:00 2018-07-20T00:00:00-07:00 2018-15507 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-07-20/pdf/2018-15507.pdf https://regulations.justia.com/regulations/fedreg/2018/07/20/2018-15506.html Notice - Self-Regulatory Organizations; Cboe BZX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Related to Fees for Use on Cboe BZX Exchange, Inc. 2018-07-20T00:00:00-07:00 2018-07-20T00:00:00-07:00 2018-15506 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-07-20/pdf/2018-15506.pdf https://regulations.justia.com/regulations/fedreg/2018/07/20/2018-15505.html Notice - Self-Regulatory Organizations; Cboe EDGA Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Related to Fees for Use on Cboe EDGA Exchange, Inc. 2018-07-20T00:00:00-07:00 2018-07-20T00:00:00-07:00 2018-15505 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-07-20/pdf/2018-15505.pdf https://regulations.justia.com/regulations/fedreg/2018/07/20/2018-15504.html Notice - Self-Regulatory Organizations; Nasdaq MRX, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend MRX Rule 723 2018-07-20T00:00:00-07:00 2018-07-20T00:00:00-07:00 2018-15504 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-07-20/pdf/2018-15504.pdf https://regulations.justia.com/regulations/fedreg/2018/07/20/2018-15503.html Notice - Self-Regulatory Organizations; Nasdaq ISE, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the Exchange's Schedule of Fees To Add Establish Fees and Rebates for NQX Options and Make Several Clarifying Changes 2018-07-20T00:00:00-07:00 2018-07-20T00:00:00-07:00 2018-15503 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-07-20/pdf/2018-15503.pdf https://regulations.justia.com/regulations/fedreg/2018/07/20/2018-15502.html Notice - Self-Regulatory Organizations; Nasdaq BX, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend BX Rules at Chapter VII, Section 6 Related to Market Maker Quotations, Section 14 Related to Lead Market Maker Quotations and Section 15 Related to Directed Market Maker Quotations 2018-07-20T00:00:00-07:00 2018-07-20T00:00:00-07:00 2018-15502 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-07-20/pdf/2018-15502.pdf https://regulations.justia.com/regulations/fedreg/2018/07/20/2018-15501.html Notice - Self-Regulatory Organizations; Nasdaq GEMX, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Improvement Orders Entered Into the Price Improvement Mechanism 2018-07-20T00:00:00-07:00 2018-07-20T00:00:00-07:00 2018-15501 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-07-20/pdf/2018-15501.pdf https://regulations.justia.com/regulations/fedreg/2018/07/20/2018-15499.html Notice - Self-Regulatory Organizations; Nasdaq ISE, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend ISE Rule 723 2018-07-20T00:00:00-07:00 2018-07-20T00:00:00-07:00 2018-15499 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-07-20/pdf/2018-15499.pdf https://regulations.justia.com/regulations/fedreg/2018/07/20/2018-15498.html Notice - Self-Regulatory Organizations; Cboe EDGX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Related to Fees for Use on Cboe EDGX Exchange, Inc. 2018-07-20T00:00:00-07:00 2018-07-20T00:00:00-07:00 2018-15498 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-07-20/pdf/2018-15498.pdf https://regulations.justia.com/regulations/fedreg/2018/07/20/2018-15497.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. 2018-07-20T00:00:00-07:00 2018-07-20T00:00:00-07:00 2018-15497 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-07-20/pdf/2018-15497.pdf https://regulations.justia.com/regulations/fedreg/2018/07/20/2018-14411.html Proposed Rule - Whistleblower Program Rules 2018-07-20T00:00:00-07:00 2018-07-20T00:00:00-07:00 2018-14411 Proposed Rule https://www.gpo.gov/fdsys/pkg/FR-2018-07-20/pdf/2018-14411.pdf https://regulations.justia.com/regulations/fedreg/2018/07/19/2018-15382.html Notice - Submission for OMB Review; Comment Request 2018-07-19T00:00:00-07:00 2018-07-19T00:00:00-07:00 2018-15382 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-07-19/pdf/2018-15382.pdf https://regulations.justia.com/regulations/fedreg/2018/07/19/2018-15381.html Notice - Proposed Collection; Comment Request 2018-07-19T00:00:00-07:00 2018-07-19T00:00:00-07:00 2018-15381 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-07-19/pdf/2018-15381.pdf https://regulations.justia.com/regulations/fedreg/2018/07/19/2018-15380.html Notice - Submission for OMB Review; Comment Request 2018-07-19T00:00:00-07:00 2018-07-19T00:00:00-07:00 2018-15380 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-07-19/pdf/2018-15380.pdf https://regulations.justia.com/regulations/fedreg/2018/07/19/2018-15379.html Notice - Proposed Collection; Comment Request 2018-07-19T00:00:00-07:00 2018-07-19T00:00:00-07:00 2018-15379 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-07-19/pdf/2018-15379.pdf https://regulations.justia.com/regulations/fedreg/2018/07/19/2018-15378.html Notice - Submission for OMB Review; Comment Request 2018-07-19T00:00:00-07:00 2018-07-19T00:00:00-07:00 2018-15378 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-07-19/pdf/2018-15378.pdf https://regulations.justia.com/regulations/fedreg/2018/07/19/2018-15377.html Notice - Submission for OMB Review; Comment Request 2018-07-19T00:00:00-07:00 2018-07-19T00:00:00-07:00 2018-15377 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-07-19/pdf/2018-15377.pdf https://regulations.justia.com/regulations/fedreg/2018/07/19/2018-15376.html Notice - Submission for OMB Review; Comment Request 2018-07-19T00:00:00-07:00 2018-07-19T00:00:00-07:00 2018-15376 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-07-19/pdf/2018-15376.pdf https://regulations.justia.com/regulations/fedreg/2018/07/19/2018-15375.html Notice - Submission for OMB Review; Comment Request 2018-07-19T00:00:00-07:00 2018-07-19T00:00:00-07:00 2018-15375 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-07-19/pdf/2018-15375.pdf https://regulations.justia.com/regulations/fedreg/2018/07/19/2018-15374.html Notice - Submission for OMB Review; Comment Request 2018-07-19T00:00:00-07:00 2018-07-19T00:00:00-07:00 2018-15374 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-07-19/pdf/2018-15374.pdf https://regulations.justia.com/regulations/fedreg/2018/07/19/2018-15373.html Notice - Submission for OMB Review; Comment Request 2018-07-19T00:00:00-07:00 2018-07-19T00:00:00-07:00 2018-15373 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-07-19/pdf/2018-15373.pdf https://regulations.justia.com/regulations/fedreg/2018/07/19/2018-15370.html Notice - Self-Regulatory Organizations; Chicago Stock Exchange, Inc.; Notice of Filing of Amendment Nos. 2 and 3 and Order Granting Accelerated Approval of a Proposed Rule Change, as Modified by Amendments Nos. 1, 2, and 3 Thereto, in Connection With a Proposed Transaction Involving CHX Holdings, Inc. and the Intercontinental Exchange, Inc. 2018-07-19T00:00:00-07:00 2018-07-19T00:00:00-07:00 2018-15370 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-07-19/pdf/2018-15370.pdf https://regulations.justia.com/regulations/fedreg/2018/07/19/2018-15369.html Notice - Self-Regulatory Organizations; Investors Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Discontinue the Router Basic Routing Option 2018-07-19T00:00:00-07:00 2018-07-19T00:00:00-07:00 2018-15369 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-07-19/pdf/2018-15369.pdf https://regulations.justia.com/regulations/fedreg/2018/07/19/2018-15368.html Notice - Self-Regulatory Organizations; National Securities Clearing Corporation; Notice of Filing of Amendment No. 1 to a Proposed Rule Change To Amend the Loss Allocation Rules and Make Other Changes 2018-07-19T00:00:00-07:00 2018-07-19T00:00:00-07:00 2018-15368 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-07-19/pdf/2018-15368.pdf https://regulations.justia.com/regulations/fedreg/2018/07/19/2018-15367.html Notice - Self-Regulatory Organizations; National Securities Clearing Corporation; Notice of Filing of Amendment No. 1 to a Proposed Rule Change To Adopt a Recovery and Wind-Down Plan and Related Rules 2018-07-19T00:00:00-07:00 2018-07-19T00:00:00-07:00 2018-15367 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-07-19/pdf/2018-15367.pdf https://regulations.justia.com/regulations/fedreg/2018/07/19/2018-15366.html Notice - Self-Regulatory Organizations; Fixed Income Clearing Corporation; Notice of Filing of Amendment No. 1 to a Proposed Rule Change To Amend the Loss Allocation Rules and Make Other Changes 2018-07-19T00:00:00-07:00 2018-07-19T00:00:00-07:00 2018-15366 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-07-19/pdf/2018-15366.pdf https://regulations.justia.com/regulations/fedreg/2018/07/19/2018-15365.html Notice - Self-Regulatory Organizations; Fixed Income Clearing Corporation; Notice of Filing of Amendment No. 1 to a Proposed Rule Change To Adopt a Recovery & Wind-down Plan and Related Rules 2018-07-19T00:00:00-07:00 2018-07-19T00:00:00-07:00 2018-15365 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-07-19/pdf/2018-15365.pdf https://regulations.justia.com/regulations/fedreg/2018/07/19/2018-15364.html Notice - Self-Regulatory Organizations; The Depository Trust Company; Notice of Filing of Amendment No. 1 to a Proposed Rule Change To Amend the Loss Allocation Rules and Make Other Changes 2018-07-19T00:00:00-07:00 2018-07-19T00:00:00-07:00 2018-15364 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-07-19/pdf/2018-15364.pdf https://regulations.justia.com/regulations/fedreg/2018/07/19/2018-15363.html Notice - Self-Regulatory Organizations; The Depository Trust Company; Notice of Filing of Amendment No. 1 to a Proposed Rule Change To Adopt a Recovery & Wind-Down Plan and Related Rules 2018-07-19T00:00:00-07:00 2018-07-19T00:00:00-07:00 2018-15363 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-07-19/pdf/2018-15363.pdf https://regulations.justia.com/regulations/fedreg/2018/07/18/2018-15290.html Notice - Self-Regulatory Organizations; BOX Options Exchange LLC; Order Granting Approval of a Proposed Rule Change To Adopt IM-7130-1 to Rule 7130 2018-07-18T00:00:00-07:00 2018-07-18T00:00:00-07:00 2018-15290 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-07-18/pdf/2018-15290.pdf https://regulations.justia.com/regulations/fedreg/2018/07/18/2018-15289.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”) Rules and Adopt a Zero Bid Options Rule 2018-07-18T00:00:00-07:00 2018-07-18T00:00:00-07:00 2018-15289 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-07-18/pdf/2018-15289.pdf https://regulations.justia.com/regulations/fedreg/2018/07/17/2018-15292.html Notice - Sunshine Act Meetings 2018-07-17T00:00:00-07:00 2018-07-17T00:00:00-07:00 2018-15292 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-07-17/pdf/2018-15292.pdf https://regulations.justia.com/regulations/fedreg/2018/07/17/2018-15247.html Rule - Adoption of Updated EDGAR Filer Manual 2018-07-17T00:00:00-07:00 2018-07-17T00:00:00-07:00 2018-15247 Rule https://www.gpo.gov/fdsys/pkg/FR-2018-07-17/pdf/2018-15247.pdf https://regulations.justia.com/regulations/fedreg/2018/07/17/2018-15177.html Notice - Self-Regulatory Organizations; The Nasdaq Stock Market LLC; Notice of Filing of Proposed Rule Change Relating to the First Trust Senior Loan Fund of First Trust Exchange Traded Fund IV 2018-07-17T00:00:00-07:00 2018-07-17T00:00:00-07:00 2018-15177 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-07-17/pdf/2018-15177.pdf https://regulations.justia.com/regulations/fedreg/2018/07/17/2018-15174.html Notice - TriLine Index Solutions, LLC and ETF Series Solutions 2018-07-17T00:00:00-07:00 2018-07-17T00:00:00-07:00 2018-15174 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-07-17/pdf/2018-15174.pdf https://regulations.justia.com/regulations/fedreg/2018/07/17/2018-15173.html Notice - SL Advisors, LLC and ETF Series Solutions 2018-07-17T00:00:00-07:00 2018-07-17T00:00:00-07:00 2018-15173 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-07-17/pdf/2018-15173.pdf https://regulations.justia.com/regulations/fedreg/2018/07/17/2018-13502.html Proposed Rule - Proposed Revisions to Prohibitions and Restrictions on Proprietary Trading and Certain Interests in, and Relationships With, Hedge Funds and Private Equity Funds 2018-07-17T00:00:00-07:00 2018-07-17T00:00:00-07:00 2018-13502 Proposed Rule https://www.gpo.gov/fdsys/pkg/FR-2018-07-17/pdf/2018-13502.pdf https://regulations.justia.com/regulations/fedreg/2018/07/16/2018-15233.html Notice - Sunshine Act Meeting 2018-07-16T00:00:00-07:00 2018-07-16T00:00:00-07:00 2018-15233 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-07-16/pdf/2018-15233.pdf https://regulations.justia.com/regulations/fedreg/2018/07/16/2018-15178.html Notice - Self-Regulatory Organizations: Notice of Filing of a Proposed Rule Change by Miami International Securities Exchange, LLC to List and Trade on the Exchange Options on the SPIKESTM 2018-07-16T00:00:00-07:00 2018-07-16T00:00:00-07:00 2018-15178 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-07-16/pdf/2018-15178.pdf https://regulations.justia.com/regulations/fedreg/2018/07/16/2018-15083.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 2018-07-16T00:00:00-07:00 2018-07-16T00:00:00-07:00 2018-15083 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-07-16/pdf/2018-15083.pdf https://regulations.justia.com/regulations/fedreg/2018/07/16/2018-15082.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 2018-07-16T00:00:00-07:00 2018-07-16T00:00:00-07:00 2018-15082 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-07-16/pdf/2018-15082.pdf https://regulations.justia.com/regulations/fedreg/2018/07/16/2018-15078.html Notice - Charles Schwab & Co. Inc. and Charles Schwab Investment Management, Inc. 2018-07-16T00:00:00-07:00 2018-07-16T00:00:00-07:00 2018-15078 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-07-16/pdf/2018-15078.pdf https://regulations.justia.com/regulations/fedreg/2018/07/16/2018-15068.html Notice - DMS ETF Trust I, et al. 2018-07-16T00:00:00-07:00 2018-07-16T00:00:00-07:00 2018-15068 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-07-16/pdf/2018-15068.pdf https://regulations.justia.com/regulations/fedreg/2018/07/13/C1-2018-13378.html Notice - Self-Regulatory Organizations; LCH SA; Notice of Filing of Proposed Rule Change Relating to Liquidity Risk Management 2018-07-13T00:00:00-07:00 2018-07-13T00:00:00-07:00 C1-2018-13378 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-07-13/pdf/C1-2018-13378.pdf https://regulations.justia.com/regulations/fedreg/2018/07/13/2018-14963.html Notice - AB Private Credit Investors Corp., et al. 2018-07-13T00:00:00-07:00 2018-07-13T00:00:00-07:00 2018-14963 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-07-13/pdf/2018-14963.pdf https://regulations.justia.com/regulations/fedreg/2018/07/13/2018-14962.html Notice - Self-Regulatory Organizations; Investors Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Rule 16.160 To Remove Form 19b-4(e) Filing Requirement 2018-07-13T00:00:00-07:00 2018-07-13T00:00:00-07:00 2018-14962 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-07-13/pdf/2018-14962.pdf https://regulations.justia.com/regulations/fedreg/2018/07/11/2018-14960.html Notice - Sunshine Act Meetings 2018-07-11T00:00:00-07:00 2018-07-11T00:00:00-07:00 2018-14960 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-07-11/pdf/2018-14960.pdf https://regulations.justia.com/regulations/fedreg/2018/07/11/2018-14850.html Notice - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing of Proposed Rule Change, as Modified by Amendment No. 1, To Require Certain Member Organizations To Participate in Scheduled Market-Wide Circuit Breaker Testing 2018-07-11T00:00:00-07:00 2018-07-11T00:00:00-07:00 2018-14850 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-07-11/pdf/2018-14850.pdf https://regulations.justia.com/regulations/fedreg/2018/07/11/2018-14849.html Notice - Self-Regulatory Organizations; Cboe EDGX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Related to Fees for Use on the Exchange's Equity Options Platform 2018-07-11T00:00:00-07:00 2018-07-11T00:00:00-07:00 2018-14849 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-07-11/pdf/2018-14849.pdf https://regulations.justia.com/regulations/fedreg/2018/07/11/2018-14848.html Notice - Self-Regulatory Organizations; Cboe EDGX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Related to Fees for Use on the Exchange's Equity Options Platform 2018-07-11T00:00:00-07:00 2018-07-11T00:00:00-07:00 2018-14848 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-07-11/pdf/2018-14848.pdf https://regulations.justia.com/regulations/fedreg/2018/07/11/2018-14844.html Notice - Blackstone/GSO Floating Rate Enhanced Income Fund, et al. 2018-07-11T00:00:00-07:00 2018-07-11T00:00:00-07:00 2018-14844 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-07-11/pdf/2018-14844.pdf https://regulations.justia.com/regulations/fedreg/2018/07/11/2018-14843.html Notice - DMS ETF Trust I, et al. 2018-07-11T00:00:00-07:00 2018-07-11T00:00:00-07:00 2018-14843 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-07-11/pdf/2018-14843.pdf https://regulations.justia.com/regulations/fedreg/2018/07/11/2018-14789.html Notice - Self-Regulatory Organizations; Cboe BZX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend BZX Rule 14.13, Company Listing Fees 2018-07-11T00:00:00-07:00 2018-07-11T00:00:00-07:00 2018-14789 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-07-11/pdf/2018-14789.pdf https://regulations.justia.com/regulations/fedreg/2018/07/11/2018-14788.html Notice - Self-Regulatory Organizations; Cboe BZX Exchange, Inc.; Notice of Filing of a Proposed Rule Change To Amend BZX Rule 14.8, General Listings Requirements-Tier I 2018-07-11T00:00:00-07:00 2018-07-11T00:00:00-07:00 2018-14788 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-07-11/pdf/2018-14788.pdf https://regulations.justia.com/regulations/fedreg/2018/07/11/2018-14752.html Notice - Self-Regulatory Organizations; Cboe BZX Exchange, Inc.; Notice of Filing of a Proposed Rule Change To Amend BZX Rule 14.11(c), Index Fund Shares 2018-07-11T00:00:00-07:00 2018-07-11T00:00:00-07:00 2018-14752 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-07-11/pdf/2018-14752.pdf https://regulations.justia.com/regulations/fedreg/2018/07/11/2018-14751.html Notice - Self-Regulatory Organizations; The Nasdaq Stock Market LLC; Notice of Designation of Longer Period for Commission Action on Proposed Rule Change To Amend Rule 4702(b)(14) To Establish a Price Improvement Only Variation on the Midpoint Extended Life Order 2018-07-11T00:00:00-07:00 2018-07-11T00:00:00-07:00 2018-14751 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-07-11/pdf/2018-14751.pdf https://regulations.justia.com/regulations/fedreg/2018/07/10/2018-14790.html Notice - Sunshine Act Meetings 2018-07-10T00:00:00-07:00 2018-07-10T00:00:00-07:00 2018-14790 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-07-10/pdf/2018-14790.pdf https://regulations.justia.com/regulations/fedreg/2018/07/10/2018-14366.html Rule - Investment Company Liquidity Disclosure 2018-07-10T00:00:00-07:00 2018-07-10T00:00:00-07:00 2018-14366 Rule https://www.gpo.gov/fdsys/pkg/FR-2018-07-10/pdf/2018-14366.pdf https://regulations.justia.com/regulations/fedreg/2018/07/10/2018-14306.html Rule - Smaller Reporting Company Definition 2018-07-10T00:00:00-07:00 2018-07-10T00:00:00-07:00 2018-14306 Rule https://www.gpo.gov/fdsys/pkg/FR-2018-07-10/pdf/2018-14306.pdf https://regulations.justia.com/regulations/fedreg/2018/07/09/2018-14669.html Notice - Self-Regulatory Organizations; National Futures Association; Notice of Filing and Immediate Effectiveness of Proposed Change to the Interpretive Notice to NFA Compliance Rule 2-30(b): Risk Disclosure Statement for Security Futures Contracts 2018-07-09T00:00:00-07:00 2018-07-09T00:00:00-07:00 2018-14669 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-07-09/pdf/2018-14669.pdf https://regulations.justia.com/regulations/fedreg/2018/07/09/2018-14667.html Notice - Self-Regulatory Organizations; The Nasdaq Stock Market LLC; 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 the Shares of the Western Asset Total Return ETF 2018-07-09T00:00:00-07:00 2018-07-09T00:00:00-07:00 2018-14667 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-07-09/pdf/2018-14667.pdf https://regulations.justia.com/regulations/fedreg/2018/07/09/2018-14666.html Notice - Self-Regulatory Organizations; Cboe Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Its Fees Schedule With Respect to Expiring Fee Waivers and Remove the FLEX Trader Incentive Program 2018-07-09T00:00:00-07:00 2018-07-09T00:00:00-07:00 2018-14666 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-07-09/pdf/2018-14666.pdf https://regulations.justia.com/regulations/fedreg/2018/07/09/2018-14662.html Notice - Vivaldi Opportunities Fund and Vivaldi Asset Management, LLC 2018-07-09T00:00:00-07:00 2018-07-09T00:00:00-07:00 2018-14662 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-07-09/pdf/2018-14662.pdf https://regulations.justia.com/regulations/fedreg/2018/07/09/2018-14658.html Notice - Altaba Inc. 2018-07-09T00:00:00-07:00 2018-07-09T00:00:00-07:00 2018-14658 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-07-09/pdf/2018-14658.pdf https://regulations.justia.com/regulations/fedreg/2018/07/09/2018-14657.html Notice - Proposed Collection; Comment Request 2018-07-09T00:00:00-07:00 2018-07-09T00:00:00-07:00 2018-14657 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-07-09/pdf/2018-14657.pdf https://regulations.justia.com/regulations/fedreg/2018/07/09/2018-14656.html Notice - Proposed Collection; Comment Request 2018-07-09T00:00:00-07:00 2018-07-09T00:00:00-07:00 2018-14656 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-07-09/pdf/2018-14656.pdf https://regulations.justia.com/regulations/fedreg/2018/07/09/2018-14655.html Notice - Proposed Collection; Comment Request 2018-07-09T00:00:00-07:00 2018-07-09T00:00:00-07:00 2018-14655 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-07-09/pdf/2018-14655.pdf https://regulations.justia.com/regulations/fedreg/2018/07/09/2018-14654.html Notice - Proposed Collection; Comment Request 2018-07-09T00:00:00-07:00 2018-07-09T00:00:00-07:00 2018-14654 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-07-09/pdf/2018-14654.pdf https://regulations.justia.com/regulations/fedreg/2018/07/09/2018-14653.html Notice - Proposed Collection; Comment Request 2018-07-09T00:00:00-07:00 2018-07-09T00:00:00-07:00 2018-14653 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-07-09/pdf/2018-14653.pdf https://regulations.justia.com/regulations/fedreg/2018/07/09/2018-14652.html Notice - Proposed Collection; Comment Request 2018-07-09T00:00:00-07:00 2018-07-09T00:00:00-07:00 2018-14652 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-07-09/pdf/2018-14652.pdf https://regulations.justia.com/regulations/fedreg/2018/07/09/2018-14651.html Notice - Proposed Collection; Comment Request 2018-07-09T00:00:00-07:00 2018-07-09T00:00:00-07:00 2018-14651 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-07-09/pdf/2018-14651.pdf https://regulations.justia.com/regulations/fedreg/2018/07/09/2018-14650.html Notice - Proposed Collection; Comment Request 2018-07-09T00:00:00-07:00 2018-07-09T00:00:00-07:00 2018-14650 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-07-09/pdf/2018-14650.pdf https://regulations.justia.com/regulations/fedreg/2018/07/09/2018-14551.html Notice - Self-Regulatory Organizations: Investors Exchange LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Rule 11.420 Concerning the Order Audit Trail System Requirements To Make Conforming and Technical Changes 2018-07-09T00:00:00-07:00 2018-07-09T00:00:00-07:00 2018-14551 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-07-09/pdf/2018-14551.pdf https://regulations.justia.com/regulations/fedreg/2018/07/09/2018-14550.html Notice - Self-Regulatory Organizations; Cboe Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Its Fees Schedule To Adopt a Financial Incentive Program for Lead Market-Makers Appointed in MSCI EAFE Index Options and MSCI Emerging Markets Index Options 2018-07-09T00:00:00-07:00 2018-07-09T00:00:00-07:00 2018-14550 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-07-09/pdf/2018-14550.pdf https://regulations.justia.com/regulations/fedreg/2018/07/09/2018-14549.html Notice - Self-Regulatory Organizations; Cboe Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Its Fees Schedule Concerning MSCI EAFE Index Options and MSCI Emerging Markets Index Options 2018-07-09T00:00:00-07:00 2018-07-09T00:00:00-07:00 2018-14549 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-07-09/pdf/2018-14549.pdf https://regulations.justia.com/regulations/fedreg/2018/07/09/2018-14548.html Notice - Self-Regulatory Organizations; Cboe Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Exchange Rule 24.6, Days and Hours of Business Concerning Expiring MSCI EAFE Index Options and MSCI Emerging Markets Index Options 2018-07-09T00:00:00-07:00 2018-07-09T00:00:00-07:00 2018-14548 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-07-09/pdf/2018-14548.pdf https://regulations.justia.com/regulations/fedreg/2018/07/09/2018-14547.html Notice - Self-Regulatory Organizations; Investors Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Modify the Structure of its Fee Schedule and Make Several Conforming and Clarifying Changes, Pursuant to IEX Rule 15.110(A) and (C) 2018-07-09T00:00:00-07:00 2018-07-09T00:00:00-07:00 2018-14547 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-07-09/pdf/2018-14547.pdf https://regulations.justia.com/regulations/fedreg/2018/07/09/2018-14546.html Notice - Self-Regulatory Organizations; Investors Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change to the IPO Auction Processes for Trading in an IEX-Listed Security That Is the Subject of an Initial Public Offering 2018-07-09T00:00:00-07:00 2018-07-09T00:00:00-07:00 2018-14546 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-07-09/pdf/2018-14546.pdf https://regulations.justia.com/regulations/fedreg/2018/07/09/2018-14545.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 602, Appointment of Market Makers 2018-07-09T00:00:00-07:00 2018-07-09T00:00:00-07:00 2018-14545 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-07-09/pdf/2018-14545.pdf https://regulations.justia.com/regulations/fedreg/2018/07/09/2018-14544.html Notice - Self-Regulatory Organizations; Nasdaq ISE, LLC; Notice of Filing of Proposed Rule Change To Amend Its Rules Related to Complex Orders 2018-07-09T00:00:00-07:00 2018-07-09T00:00:00-07:00 2018-14544 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-07-09/pdf/2018-14544.pdf https://regulations.justia.com/regulations/fedreg/2018/07/06/2018-14469.html Notice - Self-Regulatory Organizations; Municipal Securities Rulemaking Board; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Revise the Content Outline and Selection Specifications for the Series 52 Examination and To Revise the Content Outlines for the Series 50, Series 51 and Series 53 Examinations 2018-07-06T00:00:00-07:00 2018-07-06T00:00:00-07:00 2018-14469 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-07-06/pdf/2018-14469.pdf https://regulations.justia.com/regulations/fedreg/2018/07/06/2018-14468.html Notice - Self-Regulatory Organizations; Cboe C2 Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to the Penny Pilot Program 2018-07-06T00:00:00-07:00 2018-07-06T00:00:00-07:00 2018-14468 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-07-06/pdf/2018-14468.pdf https://regulations.justia.com/regulations/fedreg/2018/07/06/2018-14467.html Notice - Self-Regulatory Organizations; Cboe Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to the Penny Pilot Program 2018-07-06T00:00:00-07:00 2018-07-06T00:00:00-07:00 2018-14467 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-07-06/pdf/2018-14467.pdf https://regulations.justia.com/regulations/fedreg/2018/07/06/2018-14466.html Notice - Self-Regulatory Organizations; Cboe EDGX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Rule 21.5, Minimum Increments, To Extend the Penny Pilot Program 2018-07-06T00:00:00-07:00 2018-07-06T00:00:00-07:00 2018-14466 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-07-06/pdf/2018-14466.pdf https://regulations.justia.com/regulations/fedreg/2018/07/06/2018-14465.html Notice - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing of Proposed Rule Change To Provide for the Listing of Exchange Traded Products With No Component NMS Stock Listed on the Exchange, Amend Its Rules Regarding Unlisted Trading Privileges, and Make Corresponding Changes 2018-07-06T00:00:00-07:00 2018-07-06T00:00:00-07:00 2018-14465 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-07-06/pdf/2018-14465.pdf https://regulations.justia.com/regulations/fedreg/2018/07/06/2018-14464.html Notice - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Withdrawal of Proposed Rule Change To Amend the Listed Company Manual for Special Purpose Acquisition Companies To Lower the Initial Holders Requirement From 300 to 150 Round Lot Holders and To Eliminate Completely the Public Stockholders Continued Listing Requirement, To Require at Least $5 Million in Net Tangible Assets for Initial and Continued Listing, and To Impose a 30-Day Deadline To Demonstrate Compliance With Certain Initial Listing Requirements Following a Business Combination 2018-07-06T00:00:00-07:00 2018-07-06T00:00:00-07:00 2018-14464 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-07-06/pdf/2018-14464.pdf https://regulations.justia.com/regulations/fedreg/2018/07/06/2018-14463.html Notice - Self-Regulatory Organizations; Cboe BZX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Rule 21.5, Minimum Increments, To Extend the Penny Pilot Program 2018-07-06T00:00:00-07:00 2018-07-06T00:00:00-07:00 2018-14463 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-07-06/pdf/2018-14463.pdf https://regulations.justia.com/regulations/fedreg/2018/07/06/2018-14462.html Notice - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Order Approving a Proposed Rule Change, as Modified by Amendment No. 1, To Establish a Second Trade Reporting Facility 2018-07-06T00:00:00-07:00 2018-07-06T00:00:00-07:00 2018-14462 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-07-06/pdf/2018-14462.pdf https://regulations.justia.com/regulations/fedreg/2018/07/06/2018-14461.html Notice - Self-Regulatory Organizations; Investors Exchange 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 Establish a New Optional Listing Category on the Exchange, “LTSE Listings on IEX” 2018-07-06T00:00:00-07:00 2018-07-06T00:00:00-07:00 2018-14461 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-07-06/pdf/2018-14461.pdf https://regulations.justia.com/regulations/fedreg/2018/07/06/2018-14459.html Notice - Self-Regulatory Organizations; The Options Clearing Corporation; Notice of Filing of Advance Notice, as Modified by Amendment No. 1, Concerning Proposed Changes to The Options Clearing Corporation's Stress Testing and Clearing Fund Methodology 2018-07-06T00:00:00-07:00 2018-07-06T00:00:00-07:00 2018-14459 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-07-06/pdf/2018-14459.pdf https://regulations.justia.com/regulations/fedreg/2018/07/06/2018-14458.html Notice - Notice of Applications for Deregistration Under Section 8(f) of the Investment Company Act of 1940 2018-07-06T00:00:00-07:00 2018-07-06T00:00:00-07:00 2018-14458 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-07-06/pdf/2018-14458.pdf https://regulations.justia.com/regulations/fedreg/2018/07/05/2018-14364.html Notice - Motley Fool Asset Management, LLC and The RBB Fund, Inc. 2018-07-05T00:00:00-07:00 2018-07-05T00:00:00-07:00 2018-14364 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-07-05/pdf/2018-14364.pdf https://regulations.justia.com/regulations/fedreg/2018/07/05/2018-14363.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 2018-07-05T00:00:00-07:00 2018-07-05T00:00:00-07:00 2018-14363 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-07-05/pdf/2018-14363.pdf https://regulations.justia.com/regulations/fedreg/2018/07/05/2018-14362.html Notice - Self-Regulatory Organizations; NYSE American LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Modify the NYSE American Options Fee Schedule 2018-07-05T00:00:00-07:00 2018-07-05T00:00:00-07:00 2018-14362 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-07-05/pdf/2018-14362.pdf https://regulations.justia.com/regulations/fedreg/2018/07/05/2018-14361.html Notice - Submission for OMB Review; Comment Request 2018-07-05T00:00:00-07:00 2018-07-05T00:00:00-07:00 2018-14361 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-07-05/pdf/2018-14361.pdf https://regulations.justia.com/regulations/fedreg/2018/07/05/2018-14360.html Notice - Submission for OMB Review; Comment Request 2018-07-05T00:00:00-07:00 2018-07-05T00:00:00-07:00 2018-14360 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-07-05/pdf/2018-14360.pdf https://regulations.justia.com/regulations/fedreg/2018/07/05/2018-14359.html Notice - Submission for OMB Review; Comment Request 2018-07-05T00:00:00-07:00 2018-07-05T00:00:00-07:00 2018-14359 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-07-05/pdf/2018-14359.pdf https://regulations.justia.com/regulations/fedreg/2018/07/05/2018-14358.html Notice - Submission for OMB Review; Comment Request 2018-07-05T00:00:00-07:00 2018-07-05T00:00:00-07:00 2018-14358 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-07-05/pdf/2018-14358.pdf https://regulations.justia.com/regulations/fedreg/2018/07/05/2018-14357.html Notice - Submission for OMB Review; Comment Request 2018-07-05T00:00:00-07:00 2018-07-05T00:00:00-07:00 2018-14357 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-07-05/pdf/2018-14357.pdf https://regulations.justia.com/regulations/fedreg/2018/07/03/2018-14392.html Notice - Sunshine Act Meetings 2018-07-03T00:00:00-07:00 2018-07-03T00:00:00-07:00 2018-14392 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-07-03/pdf/2018-14392.pdf https://regulations.justia.com/regulations/fedreg/2018/07/03/2018-14302.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 the Shares of the GraniteShares Bitcoin ETF and the GraniteShares Short Bitcoin ETF Under BZX Rule 14.11(f)(4), Trust Issued Receipts 2018-07-03T00:00:00-07:00 2018-07-03T00:00:00-07:00 2018-14302 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-07-03/pdf/2018-14302.pdf https://regulations.justia.com/regulations/fedreg/2018/07/03/2018-14301.html Notice - Self-Regulatory Organizations; Nasdaq PHLX LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the Firm Participation Guarantee for a Floor Broker 2018-07-03T00:00:00-07:00 2018-07-03T00:00:00-07:00 2018-14301 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-07-03/pdf/2018-14301.pdf https://regulations.justia.com/regulations/fedreg/2018/07/03/2018-14300.html Notice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing of Proposed Rule Change Regarding Investments of the REX BKCM ETF 2018-07-03T00:00:00-07:00 2018-07-03T00:00:00-07:00 2018-14300 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-07-03/pdf/2018-14300.pdf https://regulations.justia.com/regulations/fedreg/2018/07/03/2018-14299.html Notice - Self-Regulatory Organizations; ICE Clear Credit LLC; Notice of Filing of Proposed Rule Change, Security-Based Swap Submission, or Advance Notice Relating to the Clearance of an Additional Credit Default Swap Contract 2018-07-03T00:00:00-07:00 2018-07-03T00:00:00-07:00 2018-14299 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-07-03/pdf/2018-14299.pdf https://regulations.justia.com/regulations/fedreg/2018/07/03/2018-14298.html Notice - Self-Regulatory Organizations; The Depository Trust Company; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the Rules and Fee Schedule Relating to Participant and Pledgee Applications 2018-07-03T00:00:00-07:00 2018-07-03T00:00:00-07:00 2018-14298 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-07-03/pdf/2018-14298.pdf https://regulations.justia.com/regulations/fedreg/2018/07/03/2018-14297.html Notice - Self-Regulatory Organizations; Cboe BZX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Rule 11.9, Orders and Modifiers 2018-07-03T00:00:00-07:00 2018-07-03T00:00:00-07:00 2018-14297 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-07-03/pdf/2018-14297.pdf https://regulations.justia.com/regulations/fedreg/2018/07/03/2018-14296.html Notice - Self-Regulatory Organizations; Cboe BYX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Rule 11.9, Orders and Modifiers 2018-07-03T00:00:00-07:00 2018-07-03T00:00:00-07:00 2018-14296 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-07-03/pdf/2018-14296.pdf https://regulations.justia.com/regulations/fedreg/2018/07/03/2018-14295.html Notice - Self-Regulatory Organizations; Nasdaq MRX, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Extend the Penny Pilot Program 2018-07-03T00:00:00-07:00 2018-07-03T00:00:00-07:00 2018-14295 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-07-03/pdf/2018-14295.pdf https://regulations.justia.com/regulations/fedreg/2018/07/03/2018-14294.html Notice - Self-Regulatory Organizations; Nasdaq GEMX, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Extend the Exchange's Penny Pilot Program 2018-07-03T00:00:00-07:00 2018-07-03T00:00:00-07:00 2018-14294 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-07-03/pdf/2018-14294.pdf https://regulations.justia.com/regulations/fedreg/2018/07/03/2018-14293.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 2018-07-03T00:00:00-07:00 2018-07-03T00:00:00-07:00 2018-14293 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-07-03/pdf/2018-14293.pdf https://regulations.justia.com/regulations/fedreg/2018/07/03/2018-14292.html Notice - Self-Regulatory Organizations; Nasdaq ISE LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Extend the Penny Pilot Program 2018-07-03T00:00:00-07:00 2018-07-03T00:00:00-07:00 2018-14292 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-07-03/pdf/2018-14292.pdf https://regulations.justia.com/regulations/fedreg/2018/07/03/2018-14291.html Notice - Self-Regulatory Organizations; Nasdaq Phlx LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Extend the Exchange's Penny Pilot Program 2018-07-03T00:00:00-07:00 2018-07-03T00:00:00-07:00 2018-14291 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-07-03/pdf/2018-14291.pdf https://regulations.justia.com/regulations/fedreg/2018/07/03/2018-14288.html Notice - Self-Regulatory Organizations; Nasdaq BX; Order Granting an Extension to Limited Exemptions From Rule 612(c) of Regulation NMS in Connection With the Exchange's Retail Price Improvement Program Until December 31, 2018 2018-07-03T00:00:00-07:00 2018-07-03T00:00:00-07:00 2018-14288 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-07-03/pdf/2018-14288.pdf https://regulations.justia.com/regulations/fedreg/2018/07/03/2018-14287.html Notice - Self-Regulatory Organizations; New York Stock Exchange LLC; Order Granting an Extension to Limited Exemptions From Rule 612(c) of Regulation NMS in Connection With the Exchange's Retail Liquidity Program Until December 31, 2018 2018-07-03T00:00:00-07:00 2018-07-03T00:00:00-07:00 2018-14287 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-07-03/pdf/2018-14287.pdf https://regulations.justia.com/regulations/fedreg/2018/07/03/2018-14286.html Notice - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Extend the Pilot Period for the Exchange's Retail Liquidity Program Until December 31, 2018 2018-07-03T00:00:00-07:00 2018-07-03T00:00:00-07:00 2018-14286 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-07-03/pdf/2018-14286.pdf https://regulations.justia.com/regulations/fedreg/2018/07/03/2018-14285.html Notice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Extend the Pilot Period for the Exchange's Retail Liquidity Program Until December 31, 2018 2018-07-03T00:00:00-07:00 2018-07-03T00:00:00-07:00 2018-14285 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-07-03/pdf/2018-14285.pdf https://regulations.justia.com/regulations/fedreg/2018/07/03/2018-14284.html Notice - Self-Regulatory Organizations; Nasdaq BX, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Extend the Pilot Period for the Retail Price Improvement Program Until December 31, 2018 2018-07-03T00:00:00-07:00 2018-07-03T00:00:00-07:00 2018-14284 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-07-03/pdf/2018-14284.pdf https://regulations.justia.com/regulations/fedreg/2018/07/03/2018-14283.html Notice - Self-Regulatory Organizations; NYSE Arca, Inc.; Order Granting an Extension to Limited Exemptions From Rule 612(c) of Regulation NMS In Connection With the Exchange's Retail Liquidity Programs Until December 31, 2018 2018-07-03T00:00:00-07:00 2018-07-03T00:00:00-07:00 2018-14283 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-07-03/pdf/2018-14283.pdf https://regulations.justia.com/regulations/fedreg/2018/07/03/2018-14277.html Notice - Self-Regulatory Organizations; Nasdaq BX, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Relocate the Exchange's Rules Pertaining to Co-Location and Direct Connectivity 2018-07-03T00:00:00-07:00 2018-07-03T00:00:00-07:00 2018-14277 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-07-03/pdf/2018-14277.pdf https://regulations.justia.com/regulations/fedreg/2018/07/03/2018-14233.html Notice - Self-Regulatory Organizations; The Options Clearing Corporation; Notice of Filing of Advance Notice of and No Objection to The Options Clearing Corporation's Proposal To Enter Into a New Credit Facility Agreement 2018-07-03T00:00:00-07:00 2018-07-03T00:00:00-07:00 2018-14233 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-07-03/pdf/2018-14233.pdf https://regulations.justia.com/regulations/fedreg/2018/07/02/2018-14281.html Notice - Sunshine Act Meetings 2018-07-02T00:00:00-07:00 2018-07-02T00:00:00-07:00 2018-14281 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-07-02/pdf/2018-14281.pdf https://regulations.justia.com/regulations/fedreg/2018/07/02/2018-14280.html Notice - Sunshine Act Meetings 2018-07-02T00:00:00-07:00 2018-07-02T00:00:00-07:00 2018-14280 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-07-02/pdf/2018-14280.pdf https://regulations.justia.com/regulations/fedreg/2018/07/02/2018-14193.html Notice - Goldman Sachs Trust, et al. 2018-07-02T00:00:00-07:00 2018-07-02T00:00:00-07:00 2018-14193 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-07-02/pdf/2018-14193.pdf https://regulations.justia.com/regulations/fedreg/2018/07/02/2018-14191.html Notice - Defiance ETFs, LLC, et al. 2018-07-02T00:00:00-07:00 2018-07-02T00:00:00-07:00 2018-14191 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-07-02/pdf/2018-14191.pdf https://regulations.justia.com/regulations/fedreg/2018/07/02/2018-14118.html Notice - Self-Regulatory Organizations; The Nasdaq Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Extend the Exchange's Penny Pilot Program 2018-07-02T00:00:00-07:00 2018-07-02T00:00:00-07:00 2018-14118 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-07-02/pdf/2018-14118.pdf https://regulations.justia.com/regulations/fedreg/2018/07/02/2018-14117.html Notice - Self-Regulatory Organizations; Nasdaq BX, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Extend the Exchange's Penny Pilot Program 2018-07-02T00:00:00-07:00 2018-07-02T00:00:00-07:00 2018-14117 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-07-02/pdf/2018-14117.pdf https://regulations.justia.com/regulations/fedreg/2018/07/02/2018-14114.html Notice - Self-Regulatory Organizations; Cboe BZX Exchange, Inc.; Notice of Filing of Proposed Rule Change To List and Trade Shares of SolidX Bitcoin Shares Issued by the VanEck SolidX Bitcoin Trust 2018-07-02T00:00:00-07:00 2018-07-02T00:00:00-07:00 2018-14114 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-07-02/pdf/2018-14114.pdf https://regulations.justia.com/regulations/fedreg/2018/07/02/2018-14113.html Notice - Self-Regulatory Organizations; The Options Clearing Corporation; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Facilitate Reporting Under Commodity Futures Trading Commission Regulations Applicable to Derivatives Clearing Organizations 2018-07-02T00:00:00-07:00 2018-07-02T00:00:00-07:00 2018-14113 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-07-02/pdf/2018-14113.pdf https://regulations.justia.com/regulations/fedreg/2018/07/02/2018-14112.html Notice - Self-Regulatory Organizations; BOX Options Exchange LLC; Notice of Filing of Proposed Rule Change To Amend BOX Rule 7300 (Preferenced Orders) To Provide an Additional Allocation Preference to Preferred Market Makers 2018-07-02T00:00:00-07:00 2018-07-02T00:00:00-07:00 2018-14112 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-07-02/pdf/2018-14112.pdf https://regulations.justia.com/regulations/fedreg/2018/07/02/2018-14110.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 2018-07-02T00:00:00-07:00 2018-07-02T00:00:00-07:00 2018-14110 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-07-02/pdf/2018-14110.pdf https://regulations.justia.com/regulations/fedreg/2018/07/02/2018-14109.html Notice - Self-Regulatory Organizations; The Nasdaq Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Adopt a New Transaction Fee for Execution of Midpoint Extended Life Orders 2018-07-02T00:00:00-07:00 2018-07-02T00:00:00-07:00 2018-14109 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-07-02/pdf/2018-14109.pdf https://regulations.justia.com/regulations/fedreg/2018/07/02/2018-14108.html Notice - Self-Regulatory Organizations; Cboe EDGA Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Rule 11.6, Definitions and Rule 11.8, Order Types 2018-07-02T00:00:00-07:00 2018-07-02T00:00:00-07:00 2018-14108 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-07-02/pdf/2018-14108.pdf https://regulations.justia.com/regulations/fedreg/2018/06/29/2018-13986.html Notice - Self-Regulatory Organizations; Nasdaq GEMX, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Relocate the Exchange's Rules Pertaining to Co-Location and Direct Connectivity 2018-06-29T00:00:00-07:00 2018-06-29T00:00:00-07:00 2018-13986 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-06-29/pdf/2018-13986.pdf https://regulations.justia.com/regulations/fedreg/2018/06/29/2018-13985.html Notice - Self-Regulatory Organizations; ICE Clear Credit LLC; Notice of Filing of Proposed Rule Change Relating to Amending the ICC Clearing Rules Regarding Mark-to-Market Margin 2018-06-29T00:00:00-07:00 2018-06-29T00:00:00-07:00 2018-13985 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-06-29/pdf/2018-13985.pdf https://regulations.justia.com/regulations/fedreg/2018/06/29/2018-13984.html Notice - Self-Regulatory Organizations; NYSE Arca Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Commentary .02 to Rule 6.72-O in Order To Extend the Penny Pilot in Options Classes in Certain Issues Through December 31, 2018 2018-06-29T00:00:00-07:00 2018-06-29T00:00:00-07:00 2018-13984 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-06-29/pdf/2018-13984.pdf https://regulations.justia.com/regulations/fedreg/2018/06/29/2018-13983.html Notice - Self-Regulatory Organizations; MIAX PEARL, LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Exchange Rule 510 To Extend the Penny Pilot Program 2018-06-29T00:00:00-07:00 2018-06-29T00:00:00-07:00 2018-13983 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-06-29/pdf/2018-13983.pdf https://regulations.justia.com/regulations/fedreg/2018/06/29/2018-13982.html Notice - Self-Regulatory Organizations; Nasdaq MRX, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Relocate the Exchange's Rules Pertaining to Co-Location and Direct Connectivity 2018-06-29T00:00:00-07:00 2018-06-29T00:00:00-07:00 2018-13982 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-06-29/pdf/2018-13982.pdf https://regulations.justia.com/regulations/fedreg/2018/06/29/2018-13981.html Notice - Self-Regulatory Organizations; Miami International Securities Exchange LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend MIAX Options Rule 510 To Extend the Penny Pilot Program 2018-06-29T00:00:00-07:00 2018-06-29T00:00:00-07:00 2018-13981 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-06-29/pdf/2018-13981.pdf https://regulations.justia.com/regulations/fedreg/2018/06/29/2018-13980.html Notice - Self-Regulatory Organizations; The Depository Trust Company; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the DTC Operational Arrangements To Add Clarifying Text Relating to the Processing of Unit Investment Trust Securities Through the DTC Investor's Voluntary Redemptions and Sales Service 2018-06-29T00:00:00-07:00 2018-06-29T00:00:00-07:00 2018-13980 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-06-29/pdf/2018-13980.pdf https://regulations.justia.com/regulations/fedreg/2018/06/29/2018-13979.html Notice - Self-Regulatory Organizations; NYSE American LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Commentary .02 to Rule 960NY in Order To Extend the Penny Pilot in Options Classes in Certain Issues Through December 31, 2018 2018-06-29T00:00:00-07:00 2018-06-29T00:00:00-07:00 2018-13979 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-06-29/pdf/2018-13979.pdf https://regulations.justia.com/regulations/fedreg/2018/06/29/2018-13978.html Notice - Self-Regulatory Organizations; Cboe Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to Exchange Rule 6.2., Hybrid Opening (and Sometimes Closing) System (“HOSS”) 2018-06-29T00:00:00-07:00 2018-06-29T00:00:00-07:00 2018-13978 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-06-29/pdf/2018-13978.pdf https://regulations.justia.com/regulations/fedreg/2018/06/29/2018-13977.html Notice - Self-Regulatory Organizations; Cboe Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to Exchange Rule 6.2., Hybrid Opening (and Sometimes Closing) System (“HOSS”) 2018-06-29T00:00:00-07:00 2018-06-29T00:00:00-07:00 2018-13977 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-06-29/pdf/2018-13977.pdf https://regulations.justia.com/regulations/fedreg/2018/06/29/2018-13975.html Notice - Self-Regulatory Organizations; The Depository Trust Company; Fixed Income Clearing Corporation; National Securities Clearing Corporation; Notice of Designation of Longer Period for Commission Action on Proceedings To Determine Whether To Approve or Disapprove Proposed Rule Changes To Amend the Loss Allocation Rules and Make Other Changes 2018-06-29T00:00:00-07:00 2018-06-29T00:00:00-07:00 2018-13975 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-06-29/pdf/2018-13975.pdf https://regulations.justia.com/regulations/fedreg/2018/06/29/2018-13974.html Notice - Self-Regulatory Organizations; The Depository Trust Company; Fixed Income Clearing Corporation; National Securities Clearing Corporation; Notice of Designation of Longer Period for Commission Action on Proceedings To Determine Whether To Approve or Disapprove Proposed Rule Changes To Adopt a Recovery & Wind-Down Plan and Related Rules 2018-06-29T00:00:00-07:00 2018-06-29T00:00:00-07:00 2018-13974 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-06-29/pdf/2018-13974.pdf https://regulations.justia.com/regulations/fedreg/2018/06/28/2018-13943.html Rule - Amendments to the Commission's Freedom of Information Act Regulations 2018-06-28T00:00:00-07:00 2018-06-28T00:00:00-07:00 2018-13943 Rule https://www.gpo.gov/fdsys/pkg/FR-2018-06-28/pdf/2018-13943.pdf https://regulations.justia.com/regulations/fedreg/2018/06/28/2018-13887.html Notice - Self-Regulatory Organizations; BOX Options Exchange LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Rule 7260 by Extending the Penny Pilot Program Through December 31, 2018 2018-06-28T00:00:00-07:00 2018-06-28T00:00:00-07:00 2018-13887 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-06-28/pdf/2018-13887.pdf https://regulations.justia.com/regulations/fedreg/2018/06/28/2018-13886.html Notice - Self-Regulatory Organizations; BOX Options Exchange LLC; Notice of Withdrawal of Proposed Rule Change To Amend Rules 7150 and 7245 2018-06-28T00:00:00-07:00 2018-06-28T00:00:00-07:00 2018-13886 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-06-28/pdf/2018-13886.pdf https://regulations.justia.com/regulations/fedreg/2018/06/28/2018-13885.html Notice - Self-Regulatory Organizations; NYSE American LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Rule 7.35E 2018-06-28T00:00:00-07:00 2018-06-28T00:00:00-07:00 2018-13885 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-06-28/pdf/2018-13885.pdf https://regulations.justia.com/regulations/fedreg/2018/06/27/2018-13888.html Notice - Sunshine Act Meetings 2018-06-27T00:00:00-07:00 2018-06-27T00:00:00-07:00 2018-13888 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-06-27/pdf/2018-13888.pdf https://regulations.justia.com/regulations/fedreg/2018/06/27/2018-13767.html Notice - Joint Industry Plan; Notice of Filing and Immediate Effectiveness of the Forty-Third Amendment to the Joint Self-Regulatory Organization Plan Governing the Collection, Consolidation and Dissemination of Quotation and Transaction Information for Nasdaq-Listed Securities Traded on Exchanges on an Unlisted Trading Privileges Basis 2018-06-27T00:00:00-07:00 2018-06-27T00:00:00-07:00 2018-13767 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-06-27/pdf/2018-13767.pdf https://regulations.justia.com/regulations/fedreg/2018/06/27/2018-13766.html Notice - Consolidated Tape Association; Notice of Filing and Immediate Effectiveness of the Twenty-Ninth Substantive Amendment to the Second Restatement of the CTA Plan and the Twenty-First Amendment to the Restated CQ Plan 2018-06-27T00:00:00-07:00 2018-06-27T00:00:00-07:00 2018-13766 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-06-27/pdf/2018-13766.pdf https://regulations.justia.com/regulations/fedreg/2018/06/27/2018-13764.html Notice - Self-Regulatory Organizations; National Futures Association; Notice of Filing and Immediate Effectiveness of Proposed Technical Amendment to the Interpretive Notice to NFA Compliance Rule 2-9: Special Supervisory Requirements for Members Registered as Broker-Dealers Under Section 15(b)(11) of the Securities Exchange Act of 1934 2018-06-27T00:00:00-07:00 2018-06-27T00:00:00-07:00 2018-13764 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-06-27/pdf/2018-13764.pdf https://regulations.justia.com/regulations/fedreg/2018/06/27/2018-13763.html Notice - Self-Regulatory Organizations; National Futures Association; Notice of Filing and Immediate Effectiveness of Proposed Change to the Interpretive Notice to NFA Compliance Rule 2-9: Enhanced Supervisory Requirements: Requiring NFA Members To Maintain a Record of All Electronic Written Communications 2018-06-27T00:00:00-07:00 2018-06-27T00:00:00-07:00 2018-13763 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-06-27/pdf/2018-13763.pdf https://regulations.justia.com/regulations/fedreg/2018/06/27/2018-13762.html Notice - Impact Shares Trust I, et al. 2018-06-27T00:00:00-07:00 2018-06-27T00:00:00-07:00 2018-13762 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-06-27/pdf/2018-13762.pdf https://regulations.justia.com/regulations/fedreg/2018/06/26/2018-13784.html Notice - Sunshine Act Meetings 2018-06-26T00:00:00-07:00 2018-06-26T00:00:00-07:00 2018-13784 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-06-26/pdf/2018-13784.pdf https://regulations.justia.com/regulations/fedreg/2018/06/26/2018-13687.html Notice - Submission for OMB Review; Comment Request 2018-06-26T00:00:00-07:00 2018-06-26T00:00:00-07:00 2018-13687 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-06-26/pdf/2018-13687.pdf https://regulations.justia.com/regulations/fedreg/2018/06/26/2018-13686.html Notice - Submission for OMB Review; Comment Request 2018-06-26T00:00:00-07:00 2018-06-26T00:00:00-07:00 2018-13686 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-06-26/pdf/2018-13686.pdf https://regulations.justia.com/regulations/fedreg/2018/06/26/2018-13685.html Notice - Submission for OMB Review; Comment Request 2018-06-26T00:00:00-07:00 2018-06-26T00:00:00-07:00 2018-13685 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-06-26/pdf/2018-13685.pdf https://regulations.justia.com/regulations/fedreg/2018/06/26/2018-13684.html Notice - Submission for OMB Review; Comment Request 2018-06-26T00:00:00-07:00 2018-06-26T00:00:00-07:00 2018-13684 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-06-26/pdf/2018-13684.pdf https://regulations.justia.com/regulations/fedreg/2018/06/26/2018-13683.html Notice - Submission for OMB Review; Comment Request 2018-06-26T00:00:00-07:00 2018-06-26T00:00:00-07:00 2018-13683 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-06-26/pdf/2018-13683.pdf https://regulations.justia.com/regulations/fedreg/2018/06/26/2018-13682.html Notice - Submission for OMB Review; Comment Request 2018-06-26T00:00:00-07:00 2018-06-26T00:00:00-07:00 2018-13682 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-06-26/pdf/2018-13682.pdf https://regulations.justia.com/regulations/fedreg/2018/06/26/2018-13681.html Notice - Submission for OMB Review; Comment Request 2018-06-26T00:00:00-07:00 2018-06-26T00:00:00-07:00 2018-13681 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-06-26/pdf/2018-13681.pdf https://regulations.justia.com/regulations/fedreg/2018/06/26/2018-13680.html Notice - Submission for OMB Review; Comment Request 2018-06-26T00:00:00-07:00 2018-06-26T00:00:00-07:00 2018-13680 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-06-26/pdf/2018-13680.pdf https://regulations.justia.com/regulations/fedreg/2018/06/26/2018-13638.html Notice - Self-Regulatory Organizations; Options Clearing Corporation; Notice of Designation of Longer Period for Commission Action on Proceedings To Determine Whether To Approve or Disapprove a Proposed Rule Concerning Updates to and Formalization of OCC's Recovery and Orderly Wind-Down Plan 2018-06-26T00:00:00-07:00 2018-06-26T00:00:00-07:00 2018-13638 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-06-26/pdf/2018-13638.pdf https://regulations.justia.com/regulations/fedreg/2018/06/26/2018-13637.html Notice - Self-Regulatory Organizations; Options Clearing Corporation; Notice of Designation of Longer Period for Commission Action on Proceedings To Determine Whether To Approve or Disapprove a Proposed Rule Change Concerning Enhanced and New Tools for Recovery Scenarios 2018-06-26T00:00:00-07:00 2018-06-26T00:00:00-07:00 2018-13637 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-06-26/pdf/2018-13637.pdf https://regulations.justia.com/regulations/fedreg/2018/06/26/2018-13620.html Notice - Self-Regulatory Organizations; Cboe Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Its Rule Governing Crowd Space Disputes 2018-06-26T00:00:00-07:00 2018-06-26T00:00:00-07:00 2018-13620 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-06-26/pdf/2018-13620.pdf https://regulations.justia.com/regulations/fedreg/2018/06/26/2018-13619.html Notice - Self-Regulatory Organizations; Municipal Securities Rulemaking Board; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To, Among Other Things, Amend MSRB Rule G-3 To Restructure the MSRB's Current Municipal Securities Representative Qualification Examination and Harmonize Certain MSRB Qualification Requirements With FINRA Rules 2018-06-26T00:00:00-07:00 2018-06-26T00:00:00-07:00 2018-13619 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-06-26/pdf/2018-13619.pdf https://regulations.justia.com/regulations/fedreg/2018/06/26/2018-13618.html Notice - Self-Regulatory Organizations; The Nasdaq Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Rule 4702 2018-06-26T00:00:00-07:00 2018-06-26T00:00:00-07:00 2018-13618 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-06-26/pdf/2018-13618.pdf https://regulations.justia.com/regulations/fedreg/2018/06/26/2018-13617.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 Principal Morley Short Duration Index ETF 2018-06-26T00:00:00-07:00 2018-06-26T00:00:00-07:00 2018-13617 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-06-26/pdf/2018-13617.pdf https://regulations.justia.com/regulations/fedreg/2018/06/26/2018-13616.html Notice - Self-Regulatory Organizations; Nasdaq ISE, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Relocate the Exchange's Rules Pertaining to Co-location and Direct Connectivity 2018-06-26T00:00:00-07:00 2018-06-26T00:00:00-07:00 2018-13616 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-06-26/pdf/2018-13616.pdf https://regulations.justia.com/regulations/fedreg/2018/06/26/2018-13615.html Notice - Self-Regulatory Organizations; Cboe Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Clarify the SPX Select Market-Maker Program 2018-06-26T00:00:00-07:00 2018-06-26T00:00:00-07:00 2018-13615 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-06-26/pdf/2018-13615.pdf https://regulations.justia.com/regulations/fedreg/2018/06/26/2018-13614.html Notice - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Extend the Implementation of FINRA Rule 4240 (Margin Requirements for Credit Default Swaps) 2018-06-26T00:00:00-07:00 2018-06-26T00:00:00-07:00 2018-13614 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-06-26/pdf/2018-13614.pdf https://regulations.justia.com/regulations/fedreg/2018/06/26/2018-13594.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 BOX Options Exchange LLC 2018-06-26T00:00:00-07:00 2018-06-26T00:00:00-07:00 2018-13594 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-06-26/pdf/2018-13594.pdf https://regulations.justia.com/regulations/fedreg/2018/06/25/2018-13623.html Notice - Sunshine Act Meeting 2018-06-25T00:00:00-07:00 2018-06-25T00:00:00-07:00 2018-13623 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-06-25/pdf/2018-13623.pdf https://regulations.justia.com/regulations/fedreg/2018/06/25/2018-13539.html Notice - Fixed Income Market Structure Advisory Committee 2018-06-25T00:00:00-07:00 2018-06-25T00:00:00-07:00 2018-13539 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-06-25/pdf/2018-13539.pdf https://regulations.justia.com/regulations/fedreg/2018/06/25/2018-13508.html Notice - Self-Regulatory Organizations; Cboe BZX Exchange, Inc.; Order Instituting Proceedings To Determine Whether To Approve or Disapprove a Proposed Rule Change, as Modified by Amendment No. 2 Thereto, To List and Trade Shares of Eighteen ADRPLUS Funds of the Precidian ETFs Trust Under Rule 14.11(i), Managed Fund Shares 2018-06-25T00:00:00-07:00 2018-06-25T00:00:00-07:00 2018-13508 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-06-25/pdf/2018-13508.pdf https://regulations.justia.com/regulations/fedreg/2018/06/25/2018-13507.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 Rules Pertaining to Co-Location and Direct Connectivity 2018-06-25T00:00:00-07:00 2018-06-25T00:00:00-07:00 2018-13507 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-06-25/pdf/2018-13507.pdf https://regulations.justia.com/regulations/fedreg/2018/06/25/2018-13506.html Notice - Self-Regulatory Organizations; Nasdaq PHLX LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Relocate the Exchange's Rules Pertaining to Co-Location and Direct Connectivity 2018-06-25T00:00:00-07:00 2018-06-25T00:00:00-07:00 2018-13506 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-06-25/pdf/2018-13506.pdf https://regulations.justia.com/regulations/fedreg/2018/06/25/2018-13505.html Notice - Self-Regulatory Organizations; Nasdaq ISE, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Box and Butterfly Spread Protections 2018-06-25T00:00:00-07:00 2018-06-25T00:00:00-07:00 2018-13505 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-06-25/pdf/2018-13505.pdf https://regulations.justia.com/regulations/fedreg/2018/06/25/2018-13500.html Notice - AXA Equitable Life Insurance Company, et al. 2018-06-25T00:00:00-07:00 2018-06-25T00:00:00-07:00 2018-13500 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-06-25/pdf/2018-13500.pdf https://regulations.justia.com/regulations/fedreg/2018/06/25/2018-13484.html Notice - Draft 2018-2022 Strategic Plan for Securities and Exchange Commission 2018-06-25T00:00:00-07:00 2018-06-25T00:00:00-07:00 2018-13484 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-06-25/pdf/2018-13484.pdf https://regulations.justia.com/regulations/fedreg/2018/06/22/2018-13380.html Notice - Self-Regulatory Organizations; Nasdaq PHLX LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Exchange Rule 1101A, Terms of Option Contracts 2018-06-22T00:00:00-07:00 2018-06-22T00:00:00-07:00 2018-13380 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-06-22/pdf/2018-13380.pdf https://regulations.justia.com/regulations/fedreg/2018/06/22/2018-13379.html Notice - Self-Regulatory Organizations; Fixed Income Clearing Corporation; Order Approving Proposed Rule Change To Introduce a Floor to the Calculation of the Fails Charges and Make Other Changes 2018-06-22T00:00:00-07:00 2018-06-22T00:00:00-07:00 2018-13379 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-06-22/pdf/2018-13379.pdf https://regulations.justia.com/regulations/fedreg/2018/06/22/2018-13378.html Notice - Self-Regulatory Organizations; LCH SA; Notice of Filing of Proposed Rule Change Relating to Liquidity Risk Management 2018-06-22T00:00:00-07:00 2018-06-22T00:00:00-07:00 2018-13378 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-06-22/pdf/2018-13378.pdf https://regulations.justia.com/regulations/fedreg/2018/06/22/2018-12423.html Rule - Optional Internet Availability of Investment Company Shareholder Reports 2018-06-22T00:00:00-07:00 2018-06-22T00:00:00-07:00 2018-12423 Rule https://www.gpo.gov/fdsys/pkg/FR-2018-06-22/pdf/2018-12423.pdf https://regulations.justia.com/regulations/fedreg/2018/06/21/2018-13304.html Notice - Self-Regulatory Organizations; Cboe C2 Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Related to Physical Port Fees for C2 2018-06-21T00:00:00-07:00 2018-06-21T00:00:00-07:00 2018-13304 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-06-21/pdf/2018-13304.pdf https://regulations.justia.com/regulations/fedreg/2018/06/21/2018-13303.html Notice - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing of Proposed Rule Change To Make Permanent the Retail Liquidity Program Pilot, Rule 107C, Which Is Currently Set To Expire on June 30, 2018 2018-06-21T00:00:00-07:00 2018-06-21T00:00:00-07:00 2018-13303 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-06-21/pdf/2018-13303.pdf https://regulations.justia.com/regulations/fedreg/2018/06/21/2018-13302.html Notice - Self-Regulatory Organizations; Cboe Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Related to Physical Port Fees for Cboe Options 2018-06-21T00:00:00-07:00 2018-06-21T00:00:00-07:00 2018-13302 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-06-21/pdf/2018-13302.pdf https://regulations.justia.com/regulations/fedreg/2018/06/21/2018-13301.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 To List and Trade the Shares of the ProShares Bitcoin ETF and the ProShares Short Bitcoin ETF Under NYSE Arca Rule 8.200-E, Commentary .02 2018-06-21T00:00:00-07:00 2018-06-21T00:00:00-07:00 2018-13301 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-06-21/pdf/2018-13301.pdf https://regulations.justia.com/regulations/fedreg/2018/06/21/2018-13300.html Notice - Self-Regulatory Organizations; LCH SA; Order Approving Proposed Rule Changes Related to LCH SA's Recovery and Wind Down Plans 2018-06-21T00:00:00-07:00 2018-06-21T00:00:00-07:00 2018-13300 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-06-21/pdf/2018-13300.pdf https://regulations.justia.com/regulations/fedreg/2018/06/21/2018-13299.html Notice - Self-Regulatory Organizations; Cboe EDGX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Related to Physical Port Fees for EDGX 2018-06-21T00:00:00-07:00 2018-06-21T00:00:00-07:00 2018-13299 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-06-21/pdf/2018-13299.pdf https://regulations.justia.com/regulations/fedreg/2018/06/21/2018-13298.html Notice - Self-Regulatory Organizations; Cboe EDGA Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Related to Physical Port Fees for EDGA 2018-06-21T00:00:00-07:00 2018-06-21T00:00:00-07:00 2018-13298 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-06-21/pdf/2018-13298.pdf https://regulations.justia.com/regulations/fedreg/2018/06/20/2018-13217.html Notice - Sprott ETF Trust and Sprott Asset Management USA Inc. 2018-06-20T00:00:00-07:00 2018-06-20T00:00:00-07:00 2018-13217 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-06-20/pdf/2018-13217.pdf https://regulations.justia.com/regulations/fedreg/2018/06/20/2018-13172.html Notice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating To Changes in the Description of the Investments of the USCF Canadian Crude Oil Index Fund 2018-06-20T00:00:00-07:00 2018-06-20T00:00:00-07:00 2018-13172 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-06-20/pdf/2018-13172.pdf https://regulations.justia.com/regulations/fedreg/2018/06/20/2018-13171.html Notice - Self-Regulatory Organizations; Nasdaq ISE, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Increase Certain Route-Out Fees Set Forth in Section IV.F of the Schedule of Fees 2018-06-20T00:00:00-07:00 2018-06-20T00:00:00-07:00 2018-13171 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-06-20/pdf/2018-13171.pdf https://regulations.justia.com/regulations/fedreg/2018/06/20/2018-13170.html Notice - Self-Regulatory Organizations; Nasdaq GEMX, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Increase Certain Route-Out Fees Set Forth in Section II.A of the Schedule of Fees 2018-06-20T00:00:00-07:00 2018-06-20T00:00:00-07:00 2018-13170 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-06-20/pdf/2018-13170.pdf https://regulations.justia.com/regulations/fedreg/2018/06/20/2018-13169.html Notice - Self-Regulatory Organizations; Nasdaq MRX, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Increase Certain Route-Out Fees Set Forth in Section II.A of the Schedule of Fees 2018-06-20T00:00:00-07:00 2018-06-20T00:00:00-07:00 2018-13169 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-06-20/pdf/2018-13169.pdf https://regulations.justia.com/regulations/fedreg/2018/06/20/2018-13168.html Notice - Self-Regulatory Organizations; Cboe BZX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Related to Physical Port Fees for BZX 2018-06-20T00:00:00-07:00 2018-06-20T00:00:00-07:00 2018-13168 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-06-20/pdf/2018-13168.pdf https://regulations.justia.com/regulations/fedreg/2018/06/20/2018-13167.html Notice - Self-Regulatory Organizations; Cboe BYX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Related to Physical Port Fees for BYX 2018-06-20T00:00:00-07:00 2018-06-20T00:00:00-07:00 2018-13167 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-06-20/pdf/2018-13167.pdf