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 2018-04-26T04:23:07-07:00 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/2018/04/25/2018-08618.html Notice - Self-Regulatory Organizations; ICE Clear Europe Limited; Notice of Filing of Proposed Rule Change, Security-Based Swap Submission or Advance Notice Relating to Amendments to the ICE Clear Europe CDS End-of-Day Pricing Policy 2018-04-25T00:00:00-07:00 2018-04-25T00:00:00-07:00 2018-08618 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-04-25/pdf/2018-08618.pdf https://regulations.justia.com/regulations/fedreg/2018/04/25/2018-08617.html Notice - Self-Regulatory Organizations; ICE Clear Credit LLC; Order Approving Proposed Rule Change Relating to Amendments to the ICC Operational Risk Management Framework 2018-04-25T00:00:00-07:00 2018-04-25T00:00:00-07:00 2018-08617 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-04-25/pdf/2018-08617.pdf https://regulations.justia.com/regulations/fedreg/2018/04/25/2018-08616.html Notice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Modify Rule 6.8-O, Commentary .06 To Expand Position Limits for Options on Certain Exchange-Traded Funds 2018-04-25T00:00:00-07:00 2018-04-25T00:00:00-07:00 2018-08616 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-04-25/pdf/2018-08616.pdf https://regulations.justia.com/regulations/fedreg/2018/04/25/2018-08615.html Notice - Self-Regulatory Organizations; NYSE American LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Modify Rule 904, Commentary .07 To Expand Position Limits for Options on Certain Exchange-Traded Funds 2018-04-25T00:00:00-07:00 2018-04-25T00:00:00-07:00 2018-08615 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-04-25/pdf/2018-08615.pdf https://regulations.justia.com/regulations/fedreg/2018/04/25/2018-08614.html Notice - Self-Regulatory Organizations; Nasdaq BX, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Clarify the Requirements for Delivery of a Contrary Exercise Advice 2018-04-25T00:00:00-07:00 2018-04-25T00:00:00-07:00 2018-08614 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-04-25/pdf/2018-08614.pdf https://regulations.justia.com/regulations/fedreg/2018/04/24/2018-08619.html Notice - Sunshine Act Meetings 2018-04-24T00:00:00-07:00 2018-04-24T00:00:00-07:00 2018-08619 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-04-24/pdf/2018-08619.pdf https://regulations.justia.com/regulations/fedreg/2018/04/24/2018-08435.html Notice - Self-Regulatory Organizations; NYSE American LLC; Notice of Designation of Longer Period for Commission Action on Proposed Rule Change To Establish an Electronic Price Improvement Auction for Complex Orders 2018-04-24T00:00:00-07:00 2018-04-24T00:00:00-07:00 2018-08435 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-04-24/pdf/2018-08435.pdf https://regulations.justia.com/regulations/fedreg/2018/04/24/2018-08434.html Notice - Self-Regulatory Organizations; MIAX PEARL, LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Exchange Rule 503, Openings on the Exchange 2018-04-24T00:00:00-07:00 2018-04-24T00:00:00-07:00 2018-08434 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-04-24/pdf/2018-08434.pdf https://regulations.justia.com/regulations/fedreg/2018/04/23/2018-08403.html Notice - Submission for OMB Review; Comment Request 2018-04-23T00:00:00-07:00 2018-04-23T00:00:00-07:00 2018-08403 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-04-23/pdf/2018-08403.pdf https://regulations.justia.com/regulations/fedreg/2018/04/23/2018-08402.html Notice - Submission for OMB Review; Comment Request 2018-04-23T00:00:00-07:00 2018-04-23T00:00:00-07:00 2018-08402 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-04-23/pdf/2018-08402.pdf https://regulations.justia.com/regulations/fedreg/2018/04/23/2018-08401.html Notice - Proposed Collection; Comment Request 2018-04-23T00:00:00-07:00 2018-04-23T00:00:00-07:00 2018-08401 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-04-23/pdf/2018-08401.pdf https://regulations.justia.com/regulations/fedreg/2018/04/23/2018-08400.html Notice - Proposed Collection; Comment Request 2018-04-23T00:00:00-07:00 2018-04-23T00:00:00-07:00 2018-08400 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-04-23/pdf/2018-08400.pdf https://regulations.justia.com/regulations/fedreg/2018/04/23/2018-08399.html Notice - Submission for OMB Review; Comment Request 2018-04-23T00:00:00-07:00 2018-04-23T00:00:00-07:00 2018-08399 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-04-23/pdf/2018-08399.pdf https://regulations.justia.com/regulations/fedreg/2018/04/23/2018-08398.html Notice - Proposed Collection; Comment Request 2018-04-23T00:00:00-07:00 2018-04-23T00:00:00-07:00 2018-08398 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-04-23/pdf/2018-08398.pdf https://regulations.justia.com/regulations/fedreg/2018/04/23/2018-08368.html Notice - Self-Regulatory Organizations; The Nasdaq Stock Market LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Delete Duplicative Rules Related to the Consolidated Audit Trail From Its Rulebook 2018-04-23T00:00:00-07:00 2018-04-23T00:00:00-07:00 2018-08368 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-04-23/pdf/2018-08368.pdf https://regulations.justia.com/regulations/fedreg/2018/04/23/2018-08356.html Notice - Self-Regulatory Organizations; Nasdaq BX, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Delete Duplicative Rules Related to the Consolidated Audit Trail From Its Rulebook 2018-04-23T00:00:00-07:00 2018-04-23T00:00:00-07:00 2018-08356 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-04-23/pdf/2018-08356.pdf https://regulations.justia.com/regulations/fedreg/2018/04/23/2018-08355.html Notice - Self-Regulatory Organizations; The Depository Trust Company; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the DTC Redemptions Service Guide and the DTC Reorganizations Service Guide To Add Clarifying Text Relating to the Processing of MMI Securities 2018-04-23T00:00:00-07:00 2018-04-23T00:00:00-07:00 2018-08355 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-04-23/pdf/2018-08355.pdf https://regulations.justia.com/regulations/fedreg/2018/04/20/2018-08339.html Notice - Order Making Fiscal Year 2018 Annual Adjustments to Transaction Fee Rates 2018-04-20T00:00:00-07:00 2018-04-20T00:00:00-07:00 2018-08339 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-04-20/pdf/2018-08339.pdf https://regulations.justia.com/regulations/fedreg/2018/04/20/2018-08338.html Notice - Self-Regulatory Organizations; ICE Clear Europe Limited; Order Instituting Proceedings To Determine Whether To Approve or Disapprove Proposed Rule Changes Related to ICEEU's Recovery and Wind-Down Plans 2018-04-20T00:00:00-07:00 2018-04-20T00:00:00-07:00 2018-08338 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-04-20/pdf/2018-08338.pdf https://regulations.justia.com/regulations/fedreg/2018/04/19/2018-08158.html Notice - Self-Regulatory Organizations; Nasdaq ISE, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Codify Within Rule 718 the Data Feeds on ISE 2018-04-19T00:00:00-07:00 2018-04-19T00:00:00-07:00 2018-08158 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-04-19/pdf/2018-08158.pdf https://regulations.justia.com/regulations/fedreg/2018/04/19/2018-08157.html Notice - Self-Regulatory Organizations; Nasdaq GEMX, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Codify Within Rule 718 the Data Feeds on GEMX 2018-04-19T00:00:00-07:00 2018-04-19T00:00:00-07:00 2018-08157 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-04-19/pdf/2018-08157.pdf https://regulations.justia.com/regulations/fedreg/2018/04/19/2018-08156.html Notice - Self-Regulatory Organizations; Nasdaq MRX, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Adopt Data Feeds Offered to MRX Members 2018-04-19T00:00:00-07:00 2018-04-19T00:00:00-07:00 2018-08156 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-04-19/pdf/2018-08156.pdf https://regulations.justia.com/regulations/fedreg/2018/04/19/2018-08155.html Notice - Self-Regulatory Organizations; Investors Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Rule 11.190(g) To Incrementally Optimize and Enhance the Effectiveness of the Quote Instability Calculation in Determining Whether a Crumbling Quote Exists 2018-04-19T00:00:00-07:00 2018-04-19T00:00:00-07:00 2018-08155 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-04-19/pdf/2018-08155.pdf https://regulations.justia.com/regulations/fedreg/2018/04/19/2018-08154.html Notice - Self-Regulatory Organizations; Nasdaq BX, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Correct a Typographical Error Within Chapter VI, Section 9 of the BX Rules 2018-04-19T00:00:00-07:00 2018-04-19T00:00:00-07:00 2018-08154 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-04-19/pdf/2018-08154.pdf https://regulations.justia.com/regulations/fedreg/2018/04/19/2018-08153.html Notice - Self-Regulatory Organizations; The Nasdaq Stock Market LLC; Order Granting Approval of a Proposed Rule Change To List and Trade, Under Nasdaq Rule 5705, the Shares of the Horizons Russell 2000 Covered Call ETF 2018-04-19T00:00:00-07:00 2018-04-19T00:00:00-07:00 2018-08153 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-04-19/pdf/2018-08153.pdf https://regulations.justia.com/regulations/fedreg/2018/04/19/2018-08152.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 Rule 7018 2018-04-19T00:00:00-07:00 2018-04-19T00:00:00-07:00 2018-08152 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-04-19/pdf/2018-08152.pdf https://regulations.justia.com/regulations/fedreg/2018/04/18/2018-08254.html Notice - Sunshine Act Meetings 2018-04-18T00:00:00-07:00 2018-04-18T00:00:00-07:00 2018-08254 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-04-18/pdf/2018-08254.pdf https://regulations.justia.com/regulations/fedreg/2018/04/18/2018-08080.html Notice - Joint Industry Plan; Order Approving the Seventeenth Amendment to the National Market System Plan To Address Extraordinary Market Volatility by Cboe BZX Exchange, Inc., Cboe BYX Exchange, Inc., Cboe EDGA Exchange, Inc., Cboe EDGX Exchange, Inc., Chicago Stock Exchange, Inc., Financial Industry Regulatory Authority, Inc., Investors Exchange LLC, NASDAQ BX, Inc., NASDAQ PHLX LLC, The Nasdaq Stock Market LLC, NYSE National, Inc., New York Stock Exchange LLC, NYSE American LLC, and NYSE Arca, Inc. 2018-04-18T00:00:00-07:00 2018-04-18T00:00:00-07:00 2018-08080 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-04-18/pdf/2018-08080.pdf https://regulations.justia.com/regulations/fedreg/2018/04/18/2018-08056.html Notice - Self-Regulatory Organizations; Cboe Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Adopt PAR Hardware Replacement Fees 2018-04-18T00:00:00-07:00 2018-04-18T00:00:00-07:00 2018-08056 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-04-18/pdf/2018-08056.pdf https://regulations.justia.com/regulations/fedreg/2018/04/18/2018-08055.html Notice - Self-Regulatory Organizations; Cboe Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to the Select Customer Options Reduction Program 2018-04-18T00:00:00-07:00 2018-04-18T00:00:00-07:00 2018-08055 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-04-18/pdf/2018-08055.pdf https://regulations.justia.com/regulations/fedreg/2018/04/18/2018-08054.html Notice - Order Granting Application by MIAX PEARL, LLC for Exemption Pursuant to Section 36(a) of the Exchange Act From the Rule Filing Requirements of Section 19(b) of the Exchange Act With Respect to Certain Rules Incorporated by Reference 2018-04-18T00:00:00-07:00 2018-04-18T00:00:00-07:00 2018-08054 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-04-18/pdf/2018-08054.pdf https://regulations.justia.com/regulations/fedreg/2018/04/18/2018-08053.html Notice - Self-Regulatory Organizations; MIAX PEARL, LLC; Order Granting Approval of a Proposed Rule Change To Adopt Rules Relating to Index Options 2018-04-18T00:00:00-07:00 2018-04-18T00:00:00-07:00 2018-08053 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-04-18/pdf/2018-08053.pdf https://regulations.justia.com/regulations/fedreg/2018/04/18/2018-08052.html Notice - Self-Regulatory Organizations; Municipal Securities Rulemaking Board; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to the MSRB's Facility for the Real-Time Transaction Reporting System 2018-04-18T00:00:00-07:00 2018-04-18T00:00:00-07:00 2018-08052 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-04-18/pdf/2018-08052.pdf https://regulations.justia.com/regulations/fedreg/2018/04/17/2018-08083.html Notice - Sunshine Act Meetings 2018-04-17T00:00:00-07:00 2018-04-17T00:00:00-07:00 2018-08083 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-04-17/pdf/2018-08083.pdf https://regulations.justia.com/regulations/fedreg/2018/04/17/2018-07961.html Notice - Proposed Collection; Comment Request 2018-04-17T00:00:00-07:00 2018-04-17T00:00:00-07:00 2018-07961 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-04-17/pdf/2018-07961.pdf https://regulations.justia.com/regulations/fedreg/2018/04/17/2018-07960.html Notice - Submission for OMB Review; Comment Request 2018-04-17T00:00:00-07:00 2018-04-17T00:00:00-07:00 2018-07960 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-04-17/pdf/2018-07960.pdf https://regulations.justia.com/regulations/fedreg/2018/04/17/2018-07932.html Notice - Self-Regulatory Organizations; Nasdaq PHLX LLC; Order Approving a Proposed Rule Change, as Modified by Amendment Nos. 1, 2, and 3, To Adopt Protections for Butterfly Spreads and Box Spreads 2018-04-17T00:00:00-07:00 2018-04-17T00:00:00-07:00 2018-07932 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-04-17/pdf/2018-07932.pdf https://regulations.justia.com/regulations/fedreg/2018/04/17/2018-07931.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 2018-04-17T00:00:00-07:00 2018-04-17T00:00:00-07:00 2018-07931 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-04-17/pdf/2018-07931.pdf https://regulations.justia.com/regulations/fedreg/2018/04/16/2018-07954.html Notice - Sunshine Act Meeting 2018-04-16T00:00:00-07:00 2018-04-16T00:00:00-07:00 2018-07954 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-04-16/pdf/2018-07954.pdf https://regulations.justia.com/regulations/fedreg/2018/04/16/2018-07811.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 the Exchange's Equity Options Platform 2018-04-16T00:00:00-07:00 2018-04-16T00:00:00-07:00 2018-07811 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-04-16/pdf/2018-07811.pdf https://regulations.justia.com/regulations/fedreg/2018/04/16/2018-07810.html Notice - Self-Regulatory Organizations; BOX Options Exchange LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the Fee Schedule on the BOX Market LLC (“BOX”) Options Facility To Amend the Strategy QOO Order Fee Cap 2018-04-16T00:00:00-07:00 2018-04-16T00:00:00-07:00 2018-07810 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-04-16/pdf/2018-07810.pdf https://regulations.justia.com/regulations/fedreg/2018/04/16/2018-07809.html Notice - Self-Regulatory Organizations; Cboe EDGX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Related to Transaction Fees for Use on Cboe EDGX Exchange, Inc.'s Equity Platform 2018-04-16T00:00:00-07:00 2018-04-16T00:00:00-07:00 2018-07809 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-04-16/pdf/2018-07809.pdf https://regulations.justia.com/regulations/fedreg/2018/04/16/2018-07808.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 2018-04-16T00:00:00-07:00 2018-04-16T00:00:00-07:00 2018-07808 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-04-16/pdf/2018-07808.pdf https://regulations.justia.com/regulations/fedreg/2018/04/16/2018-07807.html Notice - Self-Regulatory Organizations; The Nasdaq Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Rule 7018(a) 2018-04-16T00:00:00-07:00 2018-04-16T00:00:00-07:00 2018-07807 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-04-16/pdf/2018-07807.pdf https://regulations.justia.com/regulations/fedreg/2018/04/16/2018-07795.html Notice - Proposed Collection; Comment Request 2018-04-16T00:00:00-07:00 2018-04-16T00:00:00-07:00 2018-07795 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-04-16/pdf/2018-07795.pdf https://regulations.justia.com/regulations/fedreg/2018/04/16/2018-07794.html Notice - Proposed Collection; Comment Request 2018-04-16T00:00:00-07:00 2018-04-16T00:00:00-07:00 2018-07794 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-04-16/pdf/2018-07794.pdf https://regulations.justia.com/regulations/fedreg/2018/04/16/2018-07793.html Notice - Proposed Collection; Comment Request 2018-04-16T00:00:00-07:00 2018-04-16T00:00:00-07:00 2018-07793 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-04-16/pdf/2018-07793.pdf https://regulations.justia.com/regulations/fedreg/2018/04/16/2018-07792.html Notice - Proposed Collection; Comment Request 2018-04-16T00:00:00-07:00 2018-04-16T00:00:00-07:00 2018-07792 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-04-16/pdf/2018-07792.pdf https://regulations.justia.com/regulations/fedreg/2018/04/16/2018-07791.html Notice - Proposed Collection; Comment Request 2018-04-16T00:00:00-07:00 2018-04-16T00:00:00-07:00 2018-07791 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-04-16/pdf/2018-07791.pdf https://regulations.justia.com/regulations/fedreg/2018/04/16/2018-07790.html Notice - Proposed Collection; Comment Request 2018-04-16T00:00:00-07:00 2018-04-16T00:00:00-07:00 2018-07790 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-04-16/pdf/2018-07790.pdf https://regulations.justia.com/regulations/fedreg/2018/04/16/2018-07789.html Notice - Proposed Collection; Comment Request 2018-04-16T00:00:00-07:00 2018-04-16T00:00:00-07:00 2018-07789 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-04-16/pdf/2018-07789.pdf https://regulations.justia.com/regulations/fedreg/2018/04/16/2018-07788.html Notice - Proposed Collection; Comment Request 2018-04-16T00:00:00-07:00 2018-04-16T00:00:00-07:00 2018-07788 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-04-16/pdf/2018-07788.pdf https://regulations.justia.com/regulations/fedreg/2018/04/16/2018-07787.html Notice - Proposed Collection; Comment Request 2018-04-16T00:00:00-07:00 2018-04-16T00:00:00-07:00 2018-07787 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-04-16/pdf/2018-07787.pdf https://regulations.justia.com/regulations/fedreg/2018/04/16/2018-07786.html Notice - Proposed Collection; Comment Request 2018-04-16T00:00:00-07:00 2018-04-16T00:00:00-07:00 2018-07786 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-04-16/pdf/2018-07786.pdf https://regulations.justia.com/regulations/fedreg/2018/04/16/2018-07784.html Notice - Submission for OMB Review; Comment Request 2018-04-16T00:00:00-07:00 2018-04-16T00:00:00-07:00 2018-07784 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-04-16/pdf/2018-07784.pdf https://regulations.justia.com/regulations/fedreg/2018/04/16/2018-07783.html Notice - Proposed Collection; Comment Request 2018-04-16T00:00:00-07:00 2018-04-16T00:00:00-07:00 2018-07783 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-04-16/pdf/2018-07783.pdf https://regulations.justia.com/regulations/fedreg/2018/04/13/2018-07677.html Notice - Self-Regulatory Organizations; Cboe EDGX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Modify Rule 21.9 of the Exchange's Rules and Related Functionality Applicable to the Routing Options Made Available by the Exchange's Equity Options Platform 2018-04-13T00:00:00-07:00 2018-04-13T00:00:00-07:00 2018-07677 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-04-13/pdf/2018-07677.pdf https://regulations.justia.com/regulations/fedreg/2018/04/13/2018-07676.html Notice - Self-Regulatory Organizations; Cboe BZX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Modify Rule 21.9 of the Exchange's Rules and Related Functionality Applicable to the Routing Options Made Available by the Exchange's Equity Options Platform 2018-04-13T00:00:00-07:00 2018-04-13T00:00:00-07:00 2018-07676 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-04-13/pdf/2018-07676.pdf https://regulations.justia.com/regulations/fedreg/2018/04/13/2018-07675.html Notice - Self-Regulatory Organizations; Cboe EDGX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Rule 19.3, Criteria for Underlying Securities 2018-04-13T00:00:00-07:00 2018-04-13T00:00:00-07:00 2018-07675 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-04-13/pdf/2018-07675.pdf https://regulations.justia.com/regulations/fedreg/2018/04/13/2018-07674.html Notice - Self-Regulatory Organizations; Cboe BZX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Related to Transaction Fees for Use on Cboe BZX Exchange, Inc.'s Equity Platform 2018-04-13T00:00:00-07:00 2018-04-13T00:00:00-07:00 2018-07674 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-04-13/pdf/2018-07674.pdf https://regulations.justia.com/regulations/fedreg/2018/04/13/2018-07673.html Notice - Self-Regulatory Organizations; Cboe BZX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Rule 19.3, Criteria for Underlying Securities 2018-04-13T00:00:00-07:00 2018-04-13T00:00:00-07:00 2018-07673 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-04-13/pdf/2018-07673.pdf https://regulations.justia.com/regulations/fedreg/2018/04/13/2018-07672.html Notice - Self-Regulatory Organizations; Nasdaq PHLX LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the Exchange's Pricing Schedule 2018-04-13T00:00:00-07:00 2018-04-13T00:00:00-07:00 2018-07672 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-04-13/pdf/2018-07672.pdf https://regulations.justia.com/regulations/fedreg/2018/04/13/2018-07671.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 2018-04-13T00:00:00-07:00 2018-04-13T00:00:00-07:00 2018-07671 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-04-13/pdf/2018-07671.pdf https://regulations.justia.com/regulations/fedreg/2018/04/13/2018-07670.html Notice - Self-Regulatory Organizations; CboeBZX Exchange, Inc.; Notice of Filing of Amendment No. 2 and Order Granting Accelerated Approval of a Proposed Rule Change, as Modified by Amendment No. 2, To List and Trade Shares of the iShares Gold Strategy ETF Under Exchange Rule 14.11(i) 2018-04-13T00:00:00-07:00 2018-04-13T00:00:00-07:00 2018-07670 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-04-13/pdf/2018-07670.pdf https://regulations.justia.com/regulations/fedreg/2018/04/13/2018-07669.html Notice - Self-Regulatory Organizations; MIAX PEARL, LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Implement an Equity Rights Program 2018-04-13T00:00:00-07:00 2018-04-13T00:00:00-07:00 2018-07669 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-04-13/pdf/2018-07669.pdf https://regulations.justia.com/regulations/fedreg/2018/04/12/2018-07528.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 Modify the Listing Requirements Related to Special Purpose Acquisition Companies To Reduce Round Lot Holders on Nasdaq Capital Market for Initial Listing From 300 to 150 and Eliminate Public Holders for Continued Listing From 300 to Zero, Require $5 Million in Net Tangible Assets for Initial and Continued Listing on Nasdaq Capital Market, and Impose a Deadline To Demonstrate Compliance With Initial Listing Requirements on All Nasdaq Markets Within 30 Days Following Each Business Combination 2018-04-12T00:00:00-07:00 2018-04-12T00:00:00-07:00 2018-07528 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-04-12/pdf/2018-07528.pdf https://regulations.justia.com/regulations/fedreg/2018/04/12/2018-07527.html Notice - Self-Regulatory Organizations; The Nasdaq Stock Market LLC; Order Instituting Proceedings To Determine Whether To Approve or Disapprove a Proposed Rule Change To List and Trade Shares of the Western Asset Total Return ETF 2018-04-12T00:00:00-07:00 2018-04-12T00:00:00-07:00 2018-07527 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-04-12/pdf/2018-07527.pdf https://regulations.justia.com/regulations/fedreg/2018/04/12/2018-07526.html Notice - Self-Regulatory Organizations; Nasdaq ISE, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend ISE Rules 700, 2008, and 2009 2018-04-12T00:00:00-07:00 2018-04-12T00:00:00-07:00 2018-07526 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-04-12/pdf/2018-07526.pdf https://regulations.justia.com/regulations/fedreg/2018/04/12/2018-07525.html Notice - Self-Regulatory Organizations; Nasdaq PHLX LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Exchange Rule 1101A 2018-04-12T00:00:00-07:00 2018-04-12T00:00:00-07:00 2018-07525 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-04-12/pdf/2018-07525.pdf https://regulations.justia.com/regulations/fedreg/2018/04/11/2018-07430.html Notice - Application; Benefit Street Partners BDC, Inc., et al. 2018-04-11T00:00:00-07:00 2018-04-11T00:00:00-07:00 2018-07430 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-04-11/pdf/2018-07430.pdf https://regulations.justia.com/regulations/fedreg/2018/04/11/2018-07408.html Notice - Self-Regulatory Organizations; Nasdaq ISE, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Modify the Rebates Provided to Members That Send Unsolicited Crossing Orders to the Exchange 2018-04-11T00:00:00-07:00 2018-04-11T00:00:00-07:00 2018-07408 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-04-11/pdf/2018-07408.pdf https://regulations.justia.com/regulations/fedreg/2018/04/11/2018-07407.html Notice - Self-Regulatory Organizations; Nasdaq ISE, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to the Delay of Complex Order Quoting Functionality 2018-04-11T00:00:00-07:00 2018-04-11T00:00:00-07:00 2018-07407 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-04-11/pdf/2018-07407.pdf https://regulations.justia.com/regulations/fedreg/2018/04/11/2018-07406.html Notice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to the ProShares Short VIX Short-Term Futures ETF and ProShares Ultra VIX Short-Term Futures ETF 2018-04-11T00:00:00-07:00 2018-04-11T00:00:00-07:00 2018-07406 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-04-11/pdf/2018-07406.pdf https://regulations.justia.com/regulations/fedreg/2018/04/11/2018-07405.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 Clarify the Fees and Rebates for the Complex Order Exposure Auction Pursuant to Rule 722(b)(3)(iii) 2018-04-11T00:00:00-07:00 2018-04-11T00:00:00-07:00 2018-07405 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-04-11/pdf/2018-07405.pdf https://regulations.justia.com/regulations/fedreg/2018/04/11/2018-07363.html Notice - Order Regarding Review of FASB Accounting Support Fee for 2018 Under Section 109 of the Sarbanes-Oxley Act of 2002 2018-04-11T00:00:00-07:00 2018-04-11T00:00:00-07:00 2018-07363 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-04-11/pdf/2018-07363.pdf https://regulations.justia.com/regulations/fedreg/2018/04/10/2018-07409.html Notice - Sunshine Act Meetings 2018-04-10T00:00:00-07:00 2018-04-10T00:00:00-07:00 2018-07409 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-04-10/pdf/2018-07409.pdf https://regulations.justia.com/regulations/fedreg/2018/04/10/2018-07343.html Notice - Angel Oak Strategic Credit Fund and Angel Oak Capital Advisors, LLC 2018-04-10T00:00:00-07:00 2018-04-10T00:00:00-07:00 2018-07343 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-04-10/pdf/2018-07343.pdf https://regulations.justia.com/regulations/fedreg/2018/04/10/2018-07263.html Notice - Self-Regulatory Organizations; Cboe BZX Exchange, Inc.; Order Instituting Proceedings To Determine Whether To Approve or Disapprove a Proposed Rule Change To List and Trade the Shares of the GraniteShares Bitcoin ETF and the GraniteShares Short Bitcoin ETF Under BZX Rule 14.11(f)(4), Trust Issued Receipts 2018-04-10T00:00:00-07:00 2018-04-10T00:00:00-07:00 2018-07263 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-04-10/pdf/2018-07263.pdf https://regulations.justia.com/regulations/fedreg/2018/04/10/2018-07245.html Notice - Self-Regulatory Organizations; The Nasdaq Stock Market LLC; Notice of Designation of Longer Period for Commission Action on a Proposed Rule Change To Modify the Listing Requirements Contained in Listing Rule 5635(d) To Change the Definition of Market Value for Purposes of the Shareholder Approval Rules and Eliminate the Requirement for Shareholder Approval of Issuances at a Price Less Than Book Value but Greater Than Market Value 2018-04-10T00:00:00-07:00 2018-04-10T00:00:00-07:00 2018-07245 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-04-10/pdf/2018-07245.pdf https://regulations.justia.com/regulations/fedreg/2018/04/10/2018-07244.html Notice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the NYSE Arca Options Fee Schedule With Respect to the Options Regulatory Fee 2018-04-10T00:00:00-07:00 2018-04-10T00:00:00-07:00 2018-07244 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-04-10/pdf/2018-07244.pdf https://regulations.justia.com/regulations/fedreg/2018/04/10/2018-07243.html Notice - Self-Regulatory Organizations; NYSE American LLC; Notice of Filing and Immediate Effectiveness of Proposed Change To Amend the NYSE Amex Options Fee Schedule With Respect to the Options Regulatory Fee 2018-04-10T00:00:00-07:00 2018-04-10T00:00:00-07:00 2018-07243 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-04-10/pdf/2018-07243.pdf https://regulations.justia.com/regulations/fedreg/2018/04/10/2018-07242.html Notice - Self-Regulatory Organizations; Cboe Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to Market Data Fees 2018-04-10T00:00:00-07:00 2018-04-10T00:00:00-07:00 2018-07242 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-04-10/pdf/2018-07242.pdf https://regulations.justia.com/regulations/fedreg/2018/04/10/2018-07241.html Notice - Self-Regulatory Organizations; Nasdaq MRX, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Chapter IV of the Exchange's Schedule of Fees 2018-04-10T00:00:00-07:00 2018-04-10T00:00:00-07:00 2018-07241 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-04-10/pdf/2018-07241.pdf https://regulations.justia.com/regulations/fedreg/2018/04/10/2018-07240.html Notice - Self-Regulatory Organizations; Nasdaq ISE, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Chapter VI of the Exchange's Schedule of Fees 2018-04-10T00:00:00-07:00 2018-04-10T00:00:00-07:00 2018-07240 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-04-10/pdf/2018-07240.pdf https://regulations.justia.com/regulations/fedreg/2018/04/10/2018-07239.html Notice - Self-Regulatory Organizations; Nasdaq GEMX, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Chapter IV of the Exchange's Schedule of Fees 2018-04-10T00:00:00-07:00 2018-04-10T00:00:00-07:00 2018-07239 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-04-10/pdf/2018-07239.pdf https://regulations.justia.com/regulations/fedreg/2018/04/09/2018-07113.html Notice - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Fees Charged in Connection With the Filing of Supplemental Listing Applications in Connection With the Issuance of Convertible Securities 2018-04-09T00:00:00-07:00 2018-04-09T00:00:00-07:00 2018-07113 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-04-09/pdf/2018-07113.pdf https://regulations.justia.com/regulations/fedreg/2018/04/09/2018-07112.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 Adopt BZX Rule 14.11(k) To Permit the Listing and Trading of Managed Portfolio Shares and To List and Trade Shares of the ClearBridge Appreciation ETF, ClearBridge Large Cap ETF, ClearBridge MidCap Growth ETF, ClearBridge Select ETF, and ClearBridge All Cap Value ETF 2018-04-09T00:00:00-07:00 2018-04-09T00:00:00-07:00 2018-07112 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-04-09/pdf/2018-07112.pdf https://regulations.justia.com/regulations/fedreg/2018/04/09/2018-07111.html Notice - Self-Regulatory Organizations; The Options Clearing Corporation; Notice of Filing of Proposed Rule Change Related to The Options Clearing Corporation's Trade Acceptance and Novation Rules 2018-04-09T00:00:00-07:00 2018-04-09T00:00:00-07:00 2018-07111 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-04-09/pdf/2018-07111.pdf https://regulations.justia.com/regulations/fedreg/2018/04/06/2018-07018.html Notice - Self-Regulatory Organizations; The Nasdaq Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Modify That the Validea Market Legends ETF Will Be Passively-Managed Rather Than Actively-Managed 2018-04-06T00:00:00-07:00 2018-04-06T00:00:00-07:00 2018-07018 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-04-06/pdf/2018-07018.pdf https://regulations.justia.com/regulations/fedreg/2018/04/06/2018-07011.html Notice - Self-Regulatory Organizations; ICE Clear Europe Limited; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to Amendments to the Futures & Options Guaranty Fund Policy 2018-04-06T00:00:00-07:00 2018-04-06T00:00:00-07:00 2018-07011 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-04-06/pdf/2018-07011.pdf https://regulations.justia.com/regulations/fedreg/2018/04/06/2018-07010.html Notice - Self-Regulatory Organizations; ICE Clear Europe Limited; Notice of Designation of Longer Period for Commission Action on Proposed Rule Change Relating to Amendments to the ICE Clear Europe CDS Clearing Stress Testing Policy 2018-04-06T00:00:00-07:00 2018-04-06T00:00:00-07:00 2018-07010 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-04-06/pdf/2018-07010.pdf https://regulations.justia.com/regulations/fedreg/2018/04/05/2018-07008.html Notice - Sunshine Act Meetings 2018-04-05T00:00:00-07:00 2018-04-05T00:00:00-07:00 2018-07008 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-04-05/pdf/2018-07008.pdf https://regulations.justia.com/regulations/fedreg/2018/04/05/2018-06917.html Notice - Self-Regulatory Organizations; The Nasdaq Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Modify the Disclosure Services Offered To Certain New Listings 2018-04-05T00:00:00-07:00 2018-04-05T00:00:00-07:00 2018-06917 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-04-05/pdf/2018-06917.pdf https://regulations.justia.com/regulations/fedreg/2018/04/05/2018-06916.html Notice - Self-Regulatory Organizations; Nasdaq PHLX LLC; Notice of Filing of Proposed Rule Change To Create a New Rule 1081, To Amend Electronic Market Maker Obligations and Quoting Requirements for Electronic ROTs, Which Will Be Defined To Include SQTs, RSQTs, Directed SQTs, Directed RSQTs, Specialists, and Remote Specialists 2018-04-05T00:00:00-07:00 2018-04-05T00:00:00-07:00 2018-06916 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-04-05/pdf/2018-06916.pdf https://regulations.justia.com/regulations/fedreg/2018/04/05/2018-06915.html Notice - Self-Regulatory Organizations; Cboe Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Amending Rules Regarding Market-Maker Quoting Obligations 2018-04-05T00:00:00-07:00 2018-04-05T00:00:00-07:00 2018-06915 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-04-05/pdf/2018-06915.pdf https://regulations.justia.com/regulations/fedreg/2018/04/05/2018-06914.html Notice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing of Amendment No. 3 and Order Granting Accelerated Approval of a Proposed Rule Change, as Modified by Amendment No. 3, To List and Trade Shares of the Hartford Schroders Tax-Aware Bond ETF Under NYSE Arca Rule 8.600-E 2018-04-05T00:00:00-07:00 2018-04-05T00:00:00-07:00 2018-06914 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-04-05/pdf/2018-06914.pdf https://regulations.justia.com/regulations/fedreg/2018/04/05/2018-06912.html Notice - Self-Regulatory Organizations; The Nasdaq Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Clarify the Requirements for Delivery of a Contrary Exercise Advice 2018-04-05T00:00:00-07:00 2018-04-05T00:00:00-07:00 2018-06912 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-04-05/pdf/2018-06912.pdf https://regulations.justia.com/regulations/fedreg/2018/04/05/2018-06911.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 a Day From Its Volume Calculations for Purposes of Determining Volume Based Pricing 2018-04-05T00:00:00-07:00 2018-04-05T00:00:00-07:00 2018-06911 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-04-05/pdf/2018-06911.pdf https://regulations.justia.com/regulations/fedreg/2018/04/05/2018-06910.html Notice - Notice of Applications for Deregistration Under Section 8(f) of the Investment Company Act of 1940 2018-04-05T00:00:00-07:00 2018-04-05T00:00:00-07:00 2018-06910 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-04-05/pdf/2018-06910.pdf https://regulations.justia.com/regulations/fedreg/2018/04/04/2018-06855.html Notice - Submission for OMB Review; Comment Request 2018-04-04T00:00:00-07:00 2018-04-04T00:00:00-07:00 2018-06855 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-04-04/pdf/2018-06855.pdf https://regulations.justia.com/regulations/fedreg/2018/04/04/2018-06854.html Notice - Submission for OMB Review; Comment Request 2018-04-04T00:00:00-07:00 2018-04-04T00:00:00-07:00 2018-06854 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-04-04/pdf/2018-06854.pdf https://regulations.justia.com/regulations/fedreg/2018/04/04/2018-06775.html Notice - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Its Price List 2018-04-04T00:00:00-07:00 2018-04-04T00:00:00-07:00 2018-06775 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-04-04/pdf/2018-06775.pdf https://regulations.justia.com/regulations/fedreg/2018/04/04/2018-06774.html Notice - Self-Regulatory Organizations; The Nasdaq Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Exchange Rule 7034 2018-04-04T00:00:00-07:00 2018-04-04T00:00:00-07:00 2018-06774 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-04-04/pdf/2018-06774.pdf https://regulations.justia.com/regulations/fedreg/2018/04/03/2018-06692.html Notice - Self-Regulatory Organizations; Nasdaq ISE, LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Extend the Delay for Re-Introduction of Legging Functionality for Stock-Option Orders on INET by an Additional Year 2018-04-03T00:00:00-07:00 2018-04-03T00:00:00-07:00 2018-06692 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-04-03/pdf/2018-06692.pdf https://regulations.justia.com/regulations/fedreg/2018/04/03/2018-06691.html Notice - Self-Regulatory Organizations; ICE Clear Credit LLC; Order Approving Proposed Rule Change Relating to ICC's End-of-Day Price Discovery Policies and Procedures 2018-04-03T00:00:00-07:00 2018-04-03T00:00:00-07:00 2018-06691 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-04-03/pdf/2018-06691.pdf https://regulations.justia.com/regulations/fedreg/2018/04/03/2018-06690.html Notice - Self-Regulatory Organizations; BOX Options Exchange LLC; Order Approving a Proposed Rule Change To Adopt IM-8040-3 To Exchange Rule 8040 to Permit Directed Orders To Be Submitted With an Auction Only Designation 2018-04-03T00:00:00-07:00 2018-04-03T00:00:00-07:00 2018-06690 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-04-03/pdf/2018-06690.pdf https://regulations.justia.com/regulations/fedreg/2018/04/03/2018-06661.html Notice - Aquila Funds Trust, et al. 2018-04-03T00:00:00-07:00 2018-04-03T00:00:00-07:00 2018-06661 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-04-03/pdf/2018-06661.pdf https://regulations.justia.com/regulations/fedreg/2018/04/02/2018-06695.html Notice - Sunshine Act Meetings 2018-04-02T00:00:00-07:00 2018-04-02T00:00:00-07:00 2018-06695 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-04-02/pdf/2018-06695.pdf https://regulations.justia.com/regulations/fedreg/2018/04/02/2018-06658.html Notice - Submission for OMB Review; Comment Request 2018-04-02T00:00:00-07:00 2018-04-02T00:00:00-07:00 2018-06658 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-04-02/pdf/2018-06658.pdf https://regulations.justia.com/regulations/fedreg/2018/04/02/2018-06570.html Notice - Self-Regulatory Organizations; Cboe C2 Exchange, Inc.; Notice of Filing and Order Granting Accelerated Approval of a Proposed Rule Change Concerning an Affiliation Between the Exchange and Cboe Trading and To Adopt Rules To Permit Inbound Routing by Cboe Trading 2018-04-02T00:00:00-07:00 2018-04-02T00:00:00-07:00 2018-06570 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-04-02/pdf/2018-06570.pdf https://regulations.justia.com/regulations/fedreg/2018/04/02/2018-06569.html Notice - Self-Regulatory Organizations; Cboe Exchange, Inc.; Order Approving a Proposed Rule Change To Amend Rules Related to the Complex Order Book 2018-04-02T00:00:00-07:00 2018-04-02T00:00:00-07:00 2018-06569 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-04-02/pdf/2018-06569.pdf https://regulations.justia.com/regulations/fedreg/2018/04/02/2018-06568.html Notice - Self-Regulatory Organizations; Investors Exchange LLC; Notice of Filing of Proposed Rule Change To Establish a New Optional Listing Category on the Exchange, “LTSE Listings on IEX” 2018-04-02T00:00:00-07:00 2018-04-02T00:00:00-07:00 2018-06568 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-04-02/pdf/2018-06568.pdf https://regulations.justia.com/regulations/fedreg/2018/04/02/2018-06567.html Notice - Aberdeen Asset Management Inc., et al. 2018-04-02T00:00:00-07:00 2018-04-02T00:00:00-07:00 2018-06567 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-04-02/pdf/2018-06567.pdf https://regulations.justia.com/regulations/fedreg/2018/03/29/2018-06339.html Notice - Self-Regulatory Organizations; New York Stock 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 Adopt New Equity Trading Rules To Trade Securities Pursuant to Unlisted Trading Privileges, Including Orders and Modifiers, Order Ranking and Display, and Order Execution and Routing on Pillar, the Exchange's New Trading Technology Platform 2018-03-29T00:00:00-07:00 2018-03-29T00:00:00-07:00 2018-06339 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-03-29/pdf/2018-06339.pdf https://regulations.justia.com/regulations/fedreg/2018/03/29/2018-06302.html Notice - Self-Regulatory Organizations; CboeEDGA Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Paragraph (h) of Exchange Rule 11.6 Describing the Operation of Orders With a Minimum Execution Quantity Instruction 2018-03-29T00:00:00-07:00 2018-03-29T00:00:00-07:00 2018-06302 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-03-29/pdf/2018-06302.pdf https://regulations.justia.com/regulations/fedreg/2018/03/29/2018-06301.html Notice - Self-Regulatory Organizations; Cboe EDGX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Paragraph (h) of Exchange Rule 11.6 Describing the Operation of Orders With a Minimum Execution Quantity Instruction 2018-03-29T00:00:00-07:00 2018-03-29T00:00:00-07:00 2018-06301 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-03-29/pdf/2018-06301.pdf https://regulations.justia.com/regulations/fedreg/2018/03/29/2018-06300.html Notice - Self-Regulatory Organizations; Cboe BZX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Paragraph (c)(5) of Exchange Rule 11.9 Describing the Operation of Minimum Quantity Orders 2018-03-29T00:00:00-07:00 2018-03-29T00:00:00-07:00 2018-06300 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-03-29/pdf/2018-06300.pdf https://regulations.justia.com/regulations/fedreg/2018/03/29/2018-06299.html Notice - Self-Regulatory Organizations; Cboe BYX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Paragraph (c)(5) of Exchange Rule 11.9 Describing the Operation of Minimum Quantity Orders 2018-03-29T00:00:00-07:00 2018-03-29T00:00:00-07:00 2018-06299 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-03-29/pdf/2018-06299.pdf https://regulations.justia.com/regulations/fedreg/2018/03/29/2018-06298.html Notice - Self-Regulatory Organizations; The Nasdaq Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the Exchange's Transaction Fees at Chapter XV, Section 2, Which Governs the Pricing for Nasdaq Participants Using The Nasdaq Options Market 2018-03-29T00:00:00-07:00 2018-03-29T00:00:00-07:00 2018-06298 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-03-29/pdf/2018-06298.pdf https://regulations.justia.com/regulations/fedreg/2018/03/29/2018-06297.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 the Shares of the ProShares Bitcoin ETF and the ProShares Short Bitcoin ETF Under NYSE Arca Rule 8.200-E, Commentary .02 2018-03-29T00:00:00-07:00 2018-03-29T00:00:00-07:00 2018-06297 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-03-29/pdf/2018-06297.pdf https://regulations.justia.com/regulations/fedreg/2018/03/29/2018-06296.html Notice - Self-Regulatory Organizations; Cboe Exchange, Inc.; Notice of Designation of a Longer Period for Commission Action on a Proposed Rule Change Relating to Flexibly Structured Options 2018-03-29T00:00:00-07:00 2018-03-29T00:00:00-07:00 2018-06296 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-03-29/pdf/2018-06296.pdf https://regulations.justia.com/regulations/fedreg/2018/03/29/2018-06267.html Notice - Joint Industry Plan; Notice of Filing and Immediate Effectiveness of the Forty-Second 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 2018-03-29T00:00:00-07:00 2018-03-29T00:00:00-07:00 2018-06267 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-03-29/pdf/2018-06267.pdf https://regulations.justia.com/regulations/fedreg/2018/03/29/2018-06266.html Notice - Consolidated Tape Association; Notice of Filing and Immediate Effectiveness of the Twenty-Third Charges Amendment to the Second Restatement of the CTA Plan and the Fourteenth Charges Amendment to the Restated CQ Plan 2018-03-29T00:00:00-07:00 2018-03-29T00:00:00-07:00 2018-06266 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-03-29/pdf/2018-06266.pdf https://regulations.justia.com/regulations/fedreg/2018/03/28/2018-06294.html Notice - Sunshine Act Meeting; Cancellation 2018-03-28T00:00:00-07:00 2018-03-28T00:00:00-07:00 2018-06294 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-03-28/pdf/2018-06294.pdf https://regulations.justia.com/regulations/fedreg/2018/03/28/2018-06160.html Notice - Self-Regulatory Organizations; The Options Clearing Corporation; Notice of Extension of Review Period of Advance Notice of Proposed Changes Related to The Options Clearing Corporation's Margin Methodology 2018-03-28T00:00:00-07:00 2018-03-28T00:00:00-07:00 2018-06160 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-03-28/pdf/2018-06160.pdf https://regulations.justia.com/regulations/fedreg/2018/03/28/2018-06141.html Notice - Self-Regulatory Organizations; Cboe Exchange Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to the Frequent Trader Program 2018-03-28T00:00:00-07:00 2018-03-28T00:00:00-07:00 2018-06141 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-03-28/pdf/2018-06141.pdf https://regulations.justia.com/regulations/fedreg/2018/03/28/2018-06140.html Notice - Self-Regulatory Organizations; Nasdaq PHLX LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Section (a) of Exchange Rule 1001, Position Limits, To Increase the Position Limits for Options 2018-03-28T00:00:00-07:00 2018-03-28T00:00:00-07:00 2018-06140 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-03-28/pdf/2018-06140.pdf https://regulations.justia.com/regulations/fedreg/2018/03/28/2018-06139.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 307, Position Limits, and Exchange Rule 309, Exercise Limits 2018-03-28T00:00:00-07:00 2018-03-28T00:00:00-07:00 2018-06139 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-03-28/pdf/2018-06139.pdf https://regulations.justia.com/regulations/fedreg/2018/03/28/2018-06138.html Notice - Self-Regulatory Organizations; BOX Options Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend IM-3120-2 of BOX Rule 3120 (Position Limits) To Increase the Position Limits for Options on the Following Exchange Traded Funds: iShares China Large-Cap ETF, iShares MSCI EAFE ETF, iShares MSCI Emerging Markets ETF, iShares Russell 2000 ETF, iShares MSCI Brazil Capped ETF, iShares 20+ Year Treasury Bond Fund ETF, PowerShares QQQ Trust, and iShares MSCI Japan ETF 2018-03-28T00:00:00-07:00 2018-03-28T00:00:00-07:00 2018-06138 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-03-28/pdf/2018-06138.pdf https://regulations.justia.com/regulations/fedreg/2018/03/27/2018-06159.html Notice - Sunshine Act Meetings 2018-03-27T00:00:00-07:00 2018-03-27T00:00:00-07:00 2018-06159 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-03-27/pdf/2018-06159.pdf https://regulations.justia.com/regulations/fedreg/2018/03/27/2018-06122.html Notice - Proposed Collection; Comment Request 2018-03-27T00:00:00-07:00 2018-03-27T00:00:00-07:00 2018-06122 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-03-27/pdf/2018-06122.pdf https://regulations.justia.com/regulations/fedreg/2018/03/27/2018-06121.html Notice - Submission for OMB Review; Comment Request 2018-03-27T00:00:00-07:00 2018-03-27T00:00:00-07:00 2018-06121 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-03-27/pdf/2018-06121.pdf https://regulations.justia.com/regulations/fedreg/2018/03/27/2018-06120.html Notice - Submission for OMB Review; Comment Request 2018-03-27T00:00:00-07:00 2018-03-27T00:00:00-07:00 2018-06120 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-03-27/pdf/2018-06120.pdf https://regulations.justia.com/regulations/fedreg/2018/03/27/2018-06107.html Notice - Self-Regulatory Organizations; Nasdaq PHLX LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Rule 990 Regarding the Requirements for Securities Listed on the Exchange Issued by Nasdaq, Inc. or Its Affiliates 2018-03-27T00:00:00-07:00 2018-03-27T00:00:00-07:00 2018-06107 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-03-27/pdf/2018-06107.pdf https://regulations.justia.com/regulations/fedreg/2018/03/27/2018-06106.html Notice - Self-Regulatory Organizations; The Options Clearing Corporation; Order Instituting Proceedings To Determine Whether To Approve or Disapprove the Proposed Rule Concerning Updates to and Formalization of OCC's Recovery and Orderly Wind-Down Plan 2018-03-27T00:00:00-07:00 2018-03-27T00:00:00-07:00 2018-06106 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-03-27/pdf/2018-06106.pdf https://regulations.justia.com/regulations/fedreg/2018/03/27/2018-06105.html Notice - Self-Regulatory Organizations; The Options Clearing Corporation; Order Instituting Proceedings To Determine Whether To Approve or Disapprove the Proposed Rule Concerning Enhanced and New Tools for Recovery Scenarios 2018-03-27T00:00:00-07:00 2018-03-27T00:00:00-07:00 2018-06105 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-03-27/pdf/2018-06105.pdf https://regulations.justia.com/regulations/fedreg/2018/03/27/2018-06104.html Notice - Self-Regulatory Organizations; NYSE National, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Change To Amend the Amended and Restated Certificate of Incorporation 2018-03-27T00:00:00-07:00 2018-03-27T00:00:00-07:00 2018-06104 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-03-27/pdf/2018-06104.pdf https://regulations.justia.com/regulations/fedreg/2018/03/27/2018-06103.html Notice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the Certificate of Incorporation 2018-03-27T00:00:00-07:00 2018-03-27T00:00:00-07:00 2018-06103 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-03-27/pdf/2018-06103.pdf https://regulations.justia.com/regulations/fedreg/2018/03/27/2018-06102.html Notice - Self-Regulatory Organizations; NYSE American LLC; Notice of Filing and Immediate Effectiveness of Proposed Change Amending Certain Governing Documents of the Exchange and NYSE Market, Inc. To Make a Technical Change Updating the Entities' Registered Offices and Registered Agents and Update the Date as Required 2018-03-27T00:00:00-07:00 2018-03-27T00:00:00-07:00 2018-06102 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-03-27/pdf/2018-06102.pdf https://regulations.justia.com/regulations/fedreg/2018/03/27/2018-06101.html Notice - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Change To Amend the Eleventh Amended and Restated Operating Agreement 2018-03-27T00:00:00-07:00 2018-03-27T00:00:00-07:00 2018-06101 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-03-27/pdf/2018-06101.pdf https://regulations.justia.com/regulations/fedreg/2018/03/27/2018-06100.html Notice - Self-Regulatory Organizations; The Nasdaq Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Rule 4370 Regarding the Requirements for the Listing of Securities That Are Issued by the Exchange or Any of Its Affiliates 2018-03-27T00:00:00-07:00 2018-03-27T00:00:00-07:00 2018-06100 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-03-27/pdf/2018-06100.pdf https://regulations.justia.com/regulations/fedreg/2018/03/27/2018-06099.html Notice - Self-Regulatory Organizations; Nasdaq ISE, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the Market Maker Plus Program in the Schedule of Fees 2018-03-27T00:00:00-07:00 2018-03-27T00:00:00-07:00 2018-06099 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-03-27/pdf/2018-06099.pdf https://regulations.justia.com/regulations/fedreg/2018/03/27/2018-06098.html Notice - Self-Regulatory Organizations; Nasdaq BX, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Rule 5701 Regarding the Requirements for Securities Listed on the Exchange Issued by Nasdaq, Inc. or Its Affiliates 2018-03-27T00:00:00-07:00 2018-03-27T00:00:00-07:00 2018-06098 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-03-27/pdf/2018-06098.pdf https://regulations.justia.com/regulations/fedreg/2018/03/26/2018-06031.html Notice - Self-Regulatory Organizations; Fixed Income Clearing Corporation; Order Approving Proposed Rule Change To Amend the By-Laws 2018-03-26T00:00:00-07:00 2018-03-26T00:00:00-07:00 2018-06031 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-03-26/pdf/2018-06031.pdf https://regulations.justia.com/regulations/fedreg/2018/03/26/2018-06030.html Notice - Self-Regulatory Organizations; National Securities Clearing Corporation; Order Approving Proposed Rule Change To Amend the By-Laws 2018-03-26T00:00:00-07:00 2018-03-26T00:00:00-07:00 2018-06030 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-03-26/pdf/2018-06030.pdf https://regulations.justia.com/regulations/fedreg/2018/03/26/2018-06022.html Notice - Self-Regulatory Organizations; National Securities Clearing Corporation; Order Instituting Proceedings To Determine Whether To Approve or Disapprove a Proposed Rule Change To Adopt a Recovery & Wind-Down Plan and Related Rules 2018-03-26T00:00:00-07:00 2018-03-26T00:00:00-07:00 2018-06022 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-03-26/pdf/2018-06022.pdf https://regulations.justia.com/regulations/fedreg/2018/03/26/2018-06021.html Notice - Self-Regulatory Organizations; The Depository Trust Company; Order Approving Proposed Rule Change To Amend the By-Laws 2018-03-26T00:00:00-07:00 2018-03-26T00:00:00-07:00 2018-06021 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-03-26/pdf/2018-06021.pdf https://regulations.justia.com/regulations/fedreg/2018/03/26/2018-06020.html Notice - Self-Regulatory Organizations; The Depository Trust Company; Order Instituting Proceedings To Determine Whether To Approve or Disapprove a Proposed Rule Change To Amend the Loss Allocation Rules and Make Other Changes 2018-03-26T00:00:00-07:00 2018-03-26T00:00:00-07:00 2018-06020 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-03-26/pdf/2018-06020.pdf https://regulations.justia.com/regulations/fedreg/2018/03/26/2018-06019.html Notice - Self-Regulatory Organizations; Fixed Income Clearing Corporation; Order Instituting Proceedings To Determine Whether To Approve or Disapprove a Proposed Rule Change To Adopt a Recovery & Wind-Down Plan and Related Rules 2018-03-26T00:00:00-07:00 2018-03-26T00:00:00-07:00 2018-06019 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-03-26/pdf/2018-06019.pdf https://regulations.justia.com/regulations/fedreg/2018/03/26/2018-06018.html Notice - Self-Regulatory Organizations; The Depository Trust Company; Order Instituting Proceedings To Determine Whether To Approve or Disapprove a Proposed Rule Change To Adopt a Recovery & Wind-Down Plan and Related Rules 2018-03-26T00:00:00-07:00 2018-03-26T00:00:00-07:00 2018-06018 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-03-26/pdf/2018-06018.pdf https://regulations.justia.com/regulations/fedreg/2018/03/26/2018-06017.html Notice - Self-Regulatory Organizations; Nasdaq ISE, LLC; Order Granting Approval of a Proposed Rule Change, as Modified by Amendment No. 1, To Permit the Listing and Trading of NQX Index Options on a Pilot Basis 2018-03-26T00:00:00-07:00 2018-03-26T00:00:00-07:00 2018-06017 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-03-26/pdf/2018-06017.pdf https://regulations.justia.com/regulations/fedreg/2018/03/26/2018-06016.html Notice - Self-Regulatory Organizations; National Securities Clearing Corporation; Order Instituting Proceedings To Determine Whether To Approve or Disapprove a Proposed Rule Change To Amend the Loss Allocation Rules and Make Other Changes 2018-03-26T00:00:00-07:00 2018-03-26T00:00:00-07:00 2018-06016 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-03-26/pdf/2018-06016.pdf https://regulations.justia.com/regulations/fedreg/2018/03/26/2018-06015.html Notice - Self-Regulatory Organizations; Fixed Income Clearing Corporation; Order Instituting Proceedings To Determine Whether To Approve or Disapprove a Proposed Rule Change To Amend the Loss Allocation Rules and Make Other Changes 2018-03-26T00:00:00-07:00 2018-03-26T00:00:00-07:00 2018-06015 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-03-26/pdf/2018-06015.pdf https://regulations.justia.com/regulations/fedreg/2018/03/26/2018-06014.html Notice - Self-Regulatory Organizations; NYSE Arca, Inc.; Order Approving a Proposed Rule Change To Amend NYSE Arca Rule 1.1(ll) To Establish How the Official Closing Price Would Be Determined for an Exchange-Listed Security That Is a Derivative Securities Product if the Exchange Does Not Conduct a Closing Auction or if a Closing Auction Trade Is Less Than a Round Lot 2018-03-26T00:00:00-07:00 2018-03-26T00:00:00-07:00 2018-06014 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-03-26/pdf/2018-06014.pdf https://regulations.justia.com/regulations/fedreg/2018/03/26/2018-06013.html Notice - Self-Regulatory Organizations; Cboe BZX Exchange, Inc.; Order Approving a Proposed Rule Change, as Modified by Amendment No. 2, To List and Trade Shares of the LHA Market State® Tactical U.S. Equity ETF, a Series of the ETF Series Solutions, Under Rule 14.11(i), Managed Fund Shares 2018-03-26T00:00:00-07:00 2018-03-26T00:00:00-07:00 2018-06013 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-03-26/pdf/2018-06013.pdf https://regulations.justia.com/regulations/fedreg/2018/03/26/2018-06012.html Notice - Self-Regulatory Organizations; The Nasdaq Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Transaction Fees at Rule 7018 To Charge No Transaction Fee for Execution of Midpoint Extended Life Orders 2018-03-26T00:00:00-07:00 2018-03-26T00:00:00-07:00 2018-06012 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-03-26/pdf/2018-06012.pdf https://regulations.justia.com/regulations/fedreg/2018/03/26/2018-06011.html Notice - Self-Regulatory Organizations; Cboe EDGA Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Expand an Offering Known as Cboe Connect To Provide Connectivity to Single-Dealer Platforms Connected to the Exchange's Network and To Propose a Per Share Executed Fee for Such Service 2018-03-26T00:00:00-07:00 2018-03-26T00:00:00-07:00 2018-06011 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-03-26/pdf/2018-06011.pdf https://regulations.justia.com/regulations/fedreg/2018/03/26/2018-05545.html Proposed Rule - Transaction Fee Pilot for NMS Stocks 2018-03-26T00:00:00-07:00 2018-03-26T00:00:00-07:00 2018-05545 Proposed Rule https://www.gpo.gov/fdsys/pkg/FR-2018-03-26/pdf/2018-05545.pdf https://regulations.justia.com/regulations/fedreg/2018/03/23/2018-05903.html Notice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing of Proposed Rule Change Regarding Investments of the PGIM Ultra Short Bond ETF, a Series of PGIM ETF Trust Under NYSE Arca Rule 8.600-E 2018-03-23T00:00:00-07:00 2018-03-23T00:00:00-07:00 2018-05903 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-03-23/pdf/2018-05903.pdf https://regulations.justia.com/regulations/fedreg/2018/03/23/2018-05902.html Notice - Self-Regulatory Organizations; LCH SA; Order Instituting Proceedings To Determine Whether To Approve or Disapprove Proposed Rule Changes Related to LCH SA's Recovery and Wind Down Plans 2018-03-23T00:00:00-07:00 2018-03-23T00:00:00-07:00 2018-05902 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-03-23/pdf/2018-05902.pdf https://regulations.justia.com/regulations/fedreg/2018/03/23/2018-05901.html Notice - Self-Regulatory Organizations; MIAX PEARL, LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the Fee Schedule 2018-03-23T00:00:00-07:00 2018-03-23T00:00:00-07:00 2018-05901 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-03-23/pdf/2018-05901.pdf https://regulations.justia.com/regulations/fedreg/2018/03/22/2018-05810.html Notice - Submission for OMB Review; Comment Request 2018-03-22T00:00:00-07:00 2018-03-22T00:00:00-07:00 2018-05810 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-03-22/pdf/2018-05810.pdf https://regulations.justia.com/regulations/fedreg/2018/03/22/2018-05809.html Notice - Submission for OMB Review; Comment Request 2018-03-22T00:00:00-07:00 2018-03-22T00:00:00-07:00 2018-05809 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-03-22/pdf/2018-05809.pdf https://regulations.justia.com/regulations/fedreg/2018/03/22/2018-05795.html Notice - Self-Regulatory Organizations; Cboe BZX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Its Listing Rules Under Rule 14.11(d)(2)(K)(i) Related to Equity Index-Linked Securities 2018-03-22T00:00:00-07:00 2018-03-22T00:00:00-07:00 2018-05795 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-03-22/pdf/2018-05795.pdf https://regulations.justia.com/regulations/fedreg/2018/03/22/2018-05794.html Notice - Self-Regulatory Organizations; BOX Options 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 Adopt Rule 7600(i) To Allow Split-Price Transactions on the BOX Trading Floor 2018-03-22T00:00:00-07:00 2018-03-22T00:00:00-07:00 2018-05794 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-03-22/pdf/2018-05794.pdf https://regulations.justia.com/regulations/fedreg/2018/03/22/2018-05793.html Notice - Self-Regulatory Organizations; ICE Clear Europe Limited; Order Granting Accelerated Approval of Proposed Rule Change Relating to the ICE Clear Europe Limited CDS Procedures, CDS Risk Policy, and CDS Risk Model Description 2018-03-22T00:00:00-07:00 2018-03-22T00:00:00-07:00 2018-05793 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-03-22/pdf/2018-05793.pdf https://regulations.justia.com/regulations/fedreg/2018/03/22/2018-05792.html Notice - Self-Regulatory Organizations; BOX Options Exchange LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Correct an Error in IM-7600-2 2018-03-22T00:00:00-07:00 2018-03-22T00:00:00-07:00 2018-05792 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-03-22/pdf/2018-05792.pdf https://regulations.justia.com/regulations/fedreg/2018/03/22/2018-05791.html Notice - Order Granting Motion for Extension of Time 2018-03-22T00:00:00-07:00 2018-03-22T00:00:00-07:00 2018-05791 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-03-22/pdf/2018-05791.pdf https://regulations.justia.com/regulations/fedreg/2018/03/22/2018-05790.html Notice - Joint Industry Plan; Notice of Withdrawal of Amendment No. 4 to the National Market System Plan Governing the Consolidated Audit Trail 2018-03-22T00:00:00-07:00 2018-03-22T00:00:00-07:00 2018-05790 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-03-22/pdf/2018-05790.pdf https://regulations.justia.com/regulations/fedreg/2018/03/21/2018-05661.html Notice - Joint Industry Plan; Notice of Filing of the Seventeenth Amendment to the National Market System Plan To Address Extraordinary Market Volatility by Cboe BZX Exchange, Inc., Cboe BYX Exchange, Inc., Cboe EDGA Exchange, Inc., Cboe EDGX Exchange, Inc., Chicago Stock Exchange, Inc., Financial Industry Regulatory Authority, Inc., Investors Exchange LLC, NASDAQ BX, Inc., NASDAQ PHLX LLC, The Nasdaq Stock Market LLC, NYSE National, Inc., New York Stock Exchange LLC, NYSE American LLC, and NYSE Arca, Inc. 2018-03-21T00:00:00-07:00 2018-03-21T00:00:00-07:00 2018-05661 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-03-21/pdf/2018-05661.pdf https://regulations.justia.com/regulations/fedreg/2018/03/21/2018-05660.html Notice - Joint Industry Plan; Notice of Filing and Immediate Effectiveness of the Sixteenth Amendment to the National Market System Plan To Address Extraordinary Market Volatility by Cboe BZX Exchange, Inc., Cboe BYX Exchange, Inc., Cboe EDGA Exchange, Inc., Cboe EDGX Exchange, Inc., Chicago Stock Exchange, Inc., Financial Industry Regulatory Authority, Inc., Investors Exchange LLC, NASDAQ BX, Inc., NASDAQ PHLX LLC, The Nasdaq Stock Market LLC, NYSE National, Inc., New York Stock Exchange LLC, NYSE American LLC, and NYSE Arca, Inc. 2018-03-21T00:00:00-07:00 2018-03-21T00:00:00-07:00 2018-05660 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-03-21/pdf/2018-05660.pdf https://regulations.justia.com/regulations/fedreg/2018/03/21/2018-05648.html Notice - Self-Regulatory Organizations; LCH SA; Order Granting Approval on an Accelerated Basis of Proposed Rule Change Relating to Self-Referencing Transactions 2018-03-21T00:00:00-07:00 2018-03-21T00:00:00-07:00 2018-05648 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-03-21/pdf/2018-05648.pdf https://regulations.justia.com/regulations/fedreg/2018/03/21/2018-05647.html Notice - Self-Regulatory Organizations; Cboe BZX Exchange, Inc.; Notice of Filing of a Proposed Rule Change To List on the Exchange Eighteen ADRPLUS Funds of the Precidian ETFs Trust Under Rule 14.11(i), Managed Fund Shares 2018-03-21T00:00:00-07:00 2018-03-21T00:00:00-07:00 2018-05647 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-03-21/pdf/2018-05647.pdf https://regulations.justia.com/regulations/fedreg/2018/03/21/2018-05645.html Notice - Joint Industry Plan; Notice of Filing and Immediate Effectiveness of Amendment to the National Market System Plan for the Selection and Reservation of Securities Symbols To Add Miami International Securities Exchange, LLC as a Party Thereto 2018-03-21T00:00:00-07:00 2018-03-21T00:00:00-07:00 2018-05645 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-03-21/pdf/2018-05645.pdf https://regulations.justia.com/regulations/fedreg/2018/03/21/2018-05643.html Notice - Meeting of the Fixed Income Market Structure Advisory Committee 2018-03-21T00:00:00-07:00 2018-03-21T00:00:00-07:00 2018-05643 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-03-21/pdf/2018-05643.pdf https://regulations.justia.com/regulations/fedreg/2018/03/20/2018-05658.html Notice - Sunshine Act Meetings 2018-03-20T00:00:00-07:00 2018-03-20T00:00:00-07:00 2018-05658 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-03-20/pdf/2018-05658.pdf https://regulations.justia.com/regulations/fedreg/2018/03/20/2018-05569.html Notice - Destra Exchange-Traded Fund Trust, et al. 2018-03-20T00:00:00-07:00 2018-03-20T00:00:00-07:00 2018-05569 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-03-20/pdf/2018-05569.pdf https://regulations.justia.com/regulations/fedreg/2018/03/20/2018-05565.html Notice - Self-Regulatory Organizations; Fixed Income Clearing Corporation; Order Instituting Proceedings To Determine Whether To Approve or Disapprove a Proposed Rule Change to the Required Fund Deposit Calculation in the Government Securities Division Rulebook 2018-03-20T00:00:00-07:00 2018-03-20T00:00:00-07:00 2018-05565 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-03-20/pdf/2018-05565.pdf https://regulations.justia.com/regulations/fedreg/2018/03/20/2018-05564.html Notice - Self-Regulatory Organizations; Cboe Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Rule 6.56, Compression Forums 2018-03-20T00:00:00-07:00 2018-03-20T00:00:00-07:00 2018-05564 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-03-20/pdf/2018-05564.pdf https://regulations.justia.com/regulations/fedreg/2018/03/20/2018-05563.html Notice - Self-Regulatory Organizations; Cboe BZX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the Market Data Section of the Fee Schedule Applicable to its Equity Options Platform 2018-03-20T00:00:00-07:00 2018-03-20T00:00:00-07:00 2018-05563 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-03-20/pdf/2018-05563.pdf https://regulations.justia.com/regulations/fedreg/2018/03/20/2018-05562.html Notice - Self-Regulatory Organizations; CboeBZX Exchange, Inc.; Order Granting Approval of a Proposed Rule Change To List and Trade the Common Shares of Beneficial Interest of the PowerShares Income Builder Portfolio, a Series of PowerShares Exchange-Traded Fund Trust II 2018-03-20T00:00:00-07:00 2018-03-20T00:00:00-07:00 2018-05562 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-03-20/pdf/2018-05562.pdf https://regulations.justia.com/regulations/fedreg/2018/03/20/2018-05561.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, as Modified by Amendment No. 1, To Allow Participants To Designate When an Order With a RTFY or SCAN Routing Order Attribute Will be Activated During Pre-Market Hours 2018-03-20T00:00:00-07:00 2018-03-20T00:00:00-07:00 2018-05561 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-03-20/pdf/2018-05561.pdf https://regulations.justia.com/regulations/fedreg/2018/03/20/2018-05560.html Notice - Self-Regulatory Organizations; Chicago Stock Exchange, Inc.; Notice of Filing of Proposed Rule Change To Adopt the Route QCT Cross Routing Option 2018-03-20T00:00:00-07:00 2018-03-20T00:00:00-07:00 2018-05560 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-03-20/pdf/2018-05560.pdf https://regulations.justia.com/regulations/fedreg/2018/03/20/2018-05552.html Notice - Destra Exchange-Traded Fund Trust, et al. 2018-03-20T00:00:00-07:00 2018-03-20T00:00:00-07:00 2018-05552 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-03-20/pdf/2018-05552.pdf https://regulations.justia.com/regulations/fedreg/2018/03/20/2018-05551.html Notice - Triloma EIG Energy Income Fund, et al. 2018-03-20T00:00:00-07:00 2018-03-20T00:00:00-07:00 2018-05551 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-03-20/pdf/2018-05551.pdf https://regulations.justia.com/regulations/fedreg/2018/03/19/2018-05531.html Notice - Submission for OMB Review; Comment Request 2018-03-19T00:00:00-07:00 2018-03-19T00:00:00-07:00 2018-05531 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-03-19/pdf/2018-05531.pdf https://regulations.justia.com/regulations/fedreg/2018/03/19/2018-05530.html Notice - Submission for OMB Review; Comment Request 2018-03-19T00:00:00-07:00 2018-03-19T00:00:00-07:00 2018-05530 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-03-19/pdf/2018-05530.pdf https://regulations.justia.com/regulations/fedreg/2018/03/19/2018-05529.html Notice - Submission for OMB Review; Comment Request 2018-03-19T00:00:00-07:00 2018-03-19T00:00:00-07:00 2018-05529 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-03-19/pdf/2018-05529.pdf https://regulations.justia.com/regulations/fedreg/2018/03/19/2018-05528.html Notice - Submission for OMB Review; Comment Request 2018-03-19T00:00:00-07:00 2018-03-19T00:00:00-07:00 2018-05528 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-03-19/pdf/2018-05528.pdf https://regulations.justia.com/regulations/fedreg/2018/03/19/2018-05527.html Notice - Submission for OMB Review; Comment Request 2018-03-19T00:00:00-07:00 2018-03-19T00:00:00-07:00 2018-05527 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-03-19/pdf/2018-05527.pdf https://regulations.justia.com/regulations/fedreg/2018/03/19/2018-05526.html Notice - Submission for OMB Review; Comment Request 2018-03-19T00:00:00-07:00 2018-03-19T00:00:00-07:00 2018-05526 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-03-19/pdf/2018-05526.pdf https://regulations.justia.com/regulations/fedreg/2018/03/19/2018-05525.html Notice - Submission for OMB Review; Comment Request 2018-03-19T00:00:00-07:00 2018-03-19T00:00:00-07:00 2018-05525 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-03-19/pdf/2018-05525.pdf https://regulations.justia.com/regulations/fedreg/2018/03/19/2018-05524.html Notice - Submission for OMB Review; Comment Request 2018-03-19T00:00:00-07:00 2018-03-19T00:00:00-07:00 2018-05524 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-03-19/pdf/2018-05524.pdf https://regulations.justia.com/regulations/fedreg/2018/03/19/2018-05523.html Notice - Submission for OMB Review; Comment Request 2018-03-19T00:00:00-07:00 2018-03-19T00:00:00-07:00 2018-05523 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-03-19/pdf/2018-05523.pdf https://regulations.justia.com/regulations/fedreg/2018/03/19/2018-05522.html Notice - Submission for OMB Review; Comment Request 2018-03-19T00:00:00-07:00 2018-03-19T00:00:00-07:00 2018-05522 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-03-19/pdf/2018-05522.pdf https://regulations.justia.com/regulations/fedreg/2018/03/19/2018-05511.html Proposed Rule - Investment Company Liquidity Disclosure 2018-03-19T00:00:00-07:00 2018-03-19T00:00:00-07:00 2018-05511 Proposed Rule https://www.gpo.gov/fdsys/pkg/FR-2018-03-19/pdf/2018-05511.pdf https://regulations.justia.com/regulations/fedreg/2018/03/19/2018-05453.html Notice - Self-Regulatory Organizations; Miami International Securities Exchange LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Its Fee Schedule 2018-03-19T00:00:00-07:00 2018-03-19T00:00:00-07:00 2018-05453 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-03-19/pdf/2018-05453.pdf https://regulations.justia.com/regulations/fedreg/2018/03/19/2018-05452.html Notice - Self-Regulatory Organizations; MIAX PEARL, LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the MIAX PEARL Fee Schedule 2018-03-19T00:00:00-07:00 2018-03-19T00:00:00-07:00 2018-05452 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-03-19/pdf/2018-05452.pdf https://regulations.justia.com/regulations/fedreg/2018/03/19/2018-05451.html Notice - Self-Regulatory Organizations; Nasdaq PHLX LLC; Notice of Filing of Proposed Rule Change to a Proposal To Amend Rule 1079, FLEX Index, Equity and Currency Options and Rule 1059, Accommodation Transactions 2018-03-19T00:00:00-07:00 2018-03-19T00:00:00-07:00 2018-05451 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-03-19/pdf/2018-05451.pdf https://regulations.justia.com/regulations/fedreg/2018/03/19/2018-05450.html Notice - Self-Regulatory Organizations; Nasdaq PHLX LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the Transaction Fees at Section VIII 2018-03-19T00:00:00-07:00 2018-03-19T00:00:00-07:00 2018-05450 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-03-19/pdf/2018-05450.pdf