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 2018-01-19T03:44:50-08:00 Justia Inc https://www.justia.com/ Justia Regulations Tracker https://regulations.justia.com/images/justiafedregulations.gif Copyright 2011 Justia Inc https://regulations.justia.com/regulations/fedreg/2018/01/18/2018-00725.html Notice - Self-Regulatory Organizations; BOX Options Exchange LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend BOX Rule 3030 To Establish Rules Related to the Use of Floor Broker Error Accounts 2018-01-18T00:00:00-08:00 2018-01-18T00:00:00-08:00 2018-00725 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-01-18/pdf/2018-00725.pdf https://regulations.justia.com/regulations/fedreg/2018/01/18/2018-00724.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 2018-01-18T00:00:00-08:00 2018-01-18T00:00:00-08:00 2018-00724 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-01-18/pdf/2018-00724.pdf https://regulations.justia.com/regulations/fedreg/2018/01/18/2018-00723.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 2018-01-18T00:00:00-08:00 2018-01-18T00:00:00-08:00 2018-00723 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-01-18/pdf/2018-00723.pdf https://regulations.justia.com/regulations/fedreg/2018/01/18/2018-00722.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 Rules 700, 1308, and 1322 2018-01-18T00:00:00-08:00 2018-01-18T00:00:00-08:00 2018-00722 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-01-18/pdf/2018-00722.pdf https://regulations.justia.com/regulations/fedreg/2018/01/18/2018-00721.html Notice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To List and Trade the Shares of the Goldman Sachs Access Emerging Markets Local Currency Bond ETF Under Commentary .02 to NYSE Arca Rule 5.2-E(j)(3) 2018-01-18T00:00:00-08:00 2018-01-18T00:00:00-08:00 2018-00721 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-01-18/pdf/2018-00721.pdf https://regulations.justia.com/regulations/fedreg/2018/01/18/2018-00720.html Notice - Self-Regulatory Organizations; Cboe BZX Exchange, Inc.; Notice of Filing of a Proposed Rule Change To List and Trade Shares of the GraniteShares Bitcoin ETF and the GraniteShares Short Bitcoin ETF, a Series of the GraniteShares ETP Trust, Under Rule 14.11(f)(4), Trust Issued Receipts 2018-01-18T00:00:00-08:00 2018-01-18T00:00:00-08:00 2018-00720 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-01-18/pdf/2018-00720.pdf https://regulations.justia.com/regulations/fedreg/2018/01/17/2018-00739.html Notice - Sunshine Act Meetings 2018-01-17T00:00:00-08:00 2018-01-17T00:00:00-08:00 2018-00739 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-01-17/pdf/2018-00739.pdf https://regulations.justia.com/regulations/fedreg/2018/01/17/2018-00738.html Notice - Sunshine Act Meetings 2018-01-17T00:00:00-08:00 2018-01-17T00:00:00-08:00 2018-00738 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-01-17/pdf/2018-00738.pdf https://regulations.justia.com/regulations/fedreg/2018/01/17/2018-00645.html Notice - Self-Regulatory Organizations; Bats BZX Exchange, Inc.; Notice of Withdrawal of a Proposed Rule Change To Permit the Listing and Trading of Managed Portfolio Shares and To List and Trade Shares of the Following Under Proposed Rule 14.11(k): ClearBridge Appreciation ETF, ClearBridge Large Cap ETF, ClearBridge MidCap Growth ETF, ClearBridge Select ETF, and ClearBridge All Cap Value ETF 2018-01-17T00:00:00-08:00 2018-01-17T00:00:00-08:00 2018-00645 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-01-17/pdf/2018-00645.pdf https://regulations.justia.com/regulations/fedreg/2018/01/17/2018-00642.html Notice - Order Approving Public Company Accounting Oversight Board Budget and Annual Accounting Support Fee for Calendar Year 2018 2018-01-17T00:00:00-08:00 2018-01-17T00:00:00-08:00 2018-00642 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-01-17/pdf/2018-00642.pdf https://regulations.justia.com/regulations/fedreg/2018/01/17/2018-00636.html Notice - Self-Regulatory Organizations; The Nasdaq Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Eliminate Transitional Rules That Have Expired Related to Compensation Committee Listing Standards 2018-01-17T00:00:00-08:00 2018-01-17T00:00:00-08:00 2018-00636 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-01-17/pdf/2018-00636.pdf https://regulations.justia.com/regulations/fedreg/2018/01/17/2018-00635.html Notice - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Extend the Expiration Date of FINRA Rule 0180 (Application of Rules to Security-Based Swaps) 2018-01-17T00:00:00-08:00 2018-01-17T00:00:00-08:00 2018-00635 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-01-17/pdf/2018-00635.pdf https://regulations.justia.com/regulations/fedreg/2018/01/17/2018-00634.html Notice - Self-Regulatory Organizations; The Nasdaq Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Add a New Rule 6200 To Codify Participant Risk Settings in the Exchange's Trading System (as Set Forth in a Proposed IM-6200-1) and To Authorize the Exchange To Share Those Settings With the Clearing Member That Clears Transactions on Behalf of the Participant 2018-01-17T00:00:00-08:00 2018-01-17T00:00:00-08:00 2018-00634 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-01-17/pdf/2018-00634.pdf https://regulations.justia.com/regulations/fedreg/2018/01/17/2018-00626.html Notice - The Guardian Insurance & Annuity Company, Inc., et al. 2018-01-17T00:00:00-08:00 2018-01-17T00:00:00-08:00 2018-00626 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-01-17/pdf/2018-00626.pdf https://regulations.justia.com/regulations/fedreg/2018/01/17/2018-00625.html Rule - Adoption of Updated EDGAR Filer Manual 2018-01-17T00:00:00-08:00 2018-01-17T00:00:00-08:00 2018-00625 Rule https://www.gpo.gov/fdsys/pkg/FR-2018-01-17/pdf/2018-00625.pdf https://regulations.justia.com/regulations/fedreg/2018/01/16/2018-00535.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 Modify the Listing Requirements Related to Special Purpose Acquisition Companies Listing Standards 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 2018-01-16T00:00:00-08:00 2018-01-16T00:00:00-08:00 2018-00535 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-01-16/pdf/2018-00535.pdf https://regulations.justia.com/regulations/fedreg/2018/01/16/2018-00534.html Notice - Self-Regulatory Organizations; Cboe BYX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Related to Transaction Fees 2018-01-16T00:00:00-08:00 2018-01-16T00:00:00-08:00 2018-00534 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-01-16/pdf/2018-00534.pdf https://regulations.justia.com/regulations/fedreg/2018/01/16/2018-00533.html Notice - Self-Regulatory Organizations; Bats BZX Exchange, Inc.; Order Approving a Proposed Rule Change, as Modified by Amendment No. 2, To List and Trade Shares of the Cboe Vest S&P 500® Dividend Aristocrats® Target Income Index ETF Under the ETF Series Solutions Trust Under Rule 14.11(c)(3) 2018-01-16T00:00:00-08:00 2018-01-16T00:00:00-08:00 2018-00533 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-01-16/pdf/2018-00533.pdf https://regulations.justia.com/regulations/fedreg/2018/01/16/2018-00532.html Notice - Self-Regulatory Organizations; Cboe BZX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Related to Fees for the BZX Depth Market Data Product 2018-01-16T00:00:00-08:00 2018-01-16T00:00:00-08:00 2018-00532 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-01-16/pdf/2018-00532.pdf https://regulations.justia.com/regulations/fedreg/2018/01/16/2018-00531.html Notice - Self-Regulatory Organizations; Nasdaq PHLX LLC; Order Granting Approval of a Proposed Rule Change To Amend Rule 1009 To Modify the Criteria for Listing an Option on an Underlying Covered Security 2018-01-16T00:00:00-08:00 2018-01-16T00:00:00-08:00 2018-00531 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-01-16/pdf/2018-00531.pdf https://regulations.justia.com/regulations/fedreg/2018/01/16/2018-00530.html Notice - Self-Regulatory Organizations; The Options Clearing Corporation; Notice of Filing of Proposed Rule Change Related to The Options Clearing Corporation's Model Risk Management Policy 2018-01-16T00:00:00-08:00 2018-01-16T00:00:00-08:00 2018-00530 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-01-16/pdf/2018-00530.pdf https://regulations.justia.com/regulations/fedreg/2018/01/16/2018-00529.html Notice - Self-Regulatory Organizations; Nasdaq ISE, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the Price Level Protection Rule 2018-01-16T00:00:00-08:00 2018-01-16T00:00:00-08:00 2018-00529 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-01-16/pdf/2018-00529.pdf https://regulations.justia.com/regulations/fedreg/2018/01/16/2018-00528.html Notice - Self-Regulatory Organizations; Cboe BYX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Related to Fees for the BYX Depth Market Data Product 2018-01-16T00:00:00-08:00 2018-01-16T00:00:00-08:00 2018-00528 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-01-16/pdf/2018-00528.pdf https://regulations.justia.com/regulations/fedreg/2018/01/16/2018-00527.html Notice - Self-Regulatory Organizations; Nasdaq PHLX LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend a Cross-Reference in Rule 1017 (Openings in Options) 2018-01-16T00:00:00-08:00 2018-01-16T00:00:00-08:00 2018-00527 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-01-16/pdf/2018-00527.pdf https://regulations.justia.com/regulations/fedreg/2018/01/16/2018-00526.html Notice - Self-Regulatory Organizations; Cboe EDGX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Related to Fees for the EDGX Depth Market Data Product 2018-01-16T00:00:00-08:00 2018-01-16T00:00:00-08:00 2018-00526 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-01-16/pdf/2018-00526.pdf https://regulations.justia.com/regulations/fedreg/2018/01/16/2018-00525.html Notice - Self-Regulatory Organizations; Cboe EDGA Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Related to Fees for the EDGA Depth Market Data Product 2018-01-16T00:00:00-08:00 2018-01-16T00:00:00-08:00 2018-00525 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-01-16/pdf/2018-00525.pdf https://regulations.justia.com/regulations/fedreg/2018/01/16/2018-00524.html Notice - Self-Regulatory Organizations; The Nasdaq Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Exchange Rule 7037 2018-01-16T00:00:00-08:00 2018-01-16T00:00:00-08:00 2018-00524 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-01-16/pdf/2018-00524.pdf https://regulations.justia.com/regulations/fedreg/2018/01/16/2018-00523.html Notice - Self-Regulatory Organizations; Nasdaq GEMX, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the Exchange's Schedule of Fees at Chapter V, Section H, Entitled “Nasdaq GEMX Trades Feed” 2018-01-16T00:00:00-08:00 2018-01-16T00:00:00-08:00 2018-00523 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-01-16/pdf/2018-00523.pdf https://regulations.justia.com/regulations/fedreg/2018/01/16/2018-00522.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 at Chapter VIII, Section J, Entitled “Nasdaq ISE Trades Feed” 2018-01-16T00:00:00-08:00 2018-01-16T00:00:00-08:00 2018-00522 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-01-16/pdf/2018-00522.pdf https://regulations.justia.com/regulations/fedreg/2018/01/16/2018-00514.html Notice - Proposed Collection; Comment Request 2018-01-16T00:00:00-08:00 2018-01-16T00:00:00-08:00 2018-00514 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-01-16/pdf/2018-00514.pdf https://regulations.justia.com/regulations/fedreg/2018/01/16/2018-00504.html Notice - Proposed Collection; Comment Request 2018-01-16T00:00:00-08:00 2018-01-16T00:00:00-08:00 2018-00504 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-01-16/pdf/2018-00504.pdf https://regulations.justia.com/regulations/fedreg/2018/01/16/2018-00503.html Notice - Proposed Collection; Comment Request 2018-01-16T00:00:00-08:00 2018-01-16T00:00:00-08:00 2018-00503 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-01-16/pdf/2018-00503.pdf https://regulations.justia.com/regulations/fedreg/2018/01/16/2018-00502.html Notice - Proposed Collection; Comment Request 2018-01-16T00:00:00-08:00 2018-01-16T00:00:00-08:00 2018-00502 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-01-16/pdf/2018-00502.pdf https://regulations.justia.com/regulations/fedreg/2018/01/16/2018-00501.html Notice - Proposed Collection; Comment Request 2018-01-16T00:00:00-08:00 2018-01-16T00:00:00-08:00 2018-00501 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-01-16/pdf/2018-00501.pdf https://regulations.justia.com/regulations/fedreg/2018/01/16/2018-00500.html Notice - Proposed Collection; Comment Request 2018-01-16T00:00:00-08:00 2018-01-16T00:00:00-08:00 2018-00500 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-01-16/pdf/2018-00500.pdf https://regulations.justia.com/regulations/fedreg/2018/01/16/2018-00499.html Notice - Proposed Collection; Comment Request 2018-01-16T00:00:00-08:00 2018-01-16T00:00:00-08:00 2018-00499 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-01-16/pdf/2018-00499.pdf https://regulations.justia.com/regulations/fedreg/2018/01/16/2018-00498.html Notice - Proposed Collection; Comment Request 2018-01-16T00:00:00-08:00 2018-01-16T00:00:00-08:00 2018-00498 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-01-16/pdf/2018-00498.pdf https://regulations.justia.com/regulations/fedreg/2018/01/16/2018-00497.html Notice - Proposed Collection; Comment Request 2018-01-16T00:00:00-08:00 2018-01-16T00:00:00-08:00 2018-00497 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-01-16/pdf/2018-00497.pdf https://regulations.justia.com/regulations/fedreg/2018/01/16/2018-00496.html Notice - Proposed Collection; Comment Request 2018-01-16T00:00:00-08:00 2018-01-16T00:00:00-08:00 2018-00496 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-01-16/pdf/2018-00496.pdf https://regulations.justia.com/regulations/fedreg/2018/01/16/2018-00495.html Notice - Proposed Collection; Comment Request 2018-01-16T00:00:00-08:00 2018-01-16T00:00:00-08:00 2018-00495 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-01-16/pdf/2018-00495.pdf https://regulations.justia.com/regulations/fedreg/2018/01/16/2018-00494.html Notice - Proposed Collection; Comment Request 2018-01-16T00:00:00-08:00 2018-01-16T00:00:00-08:00 2018-00494 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-01-16/pdf/2018-00494.pdf https://regulations.justia.com/regulations/fedreg/2018/01/16/2018-00493.html Notice - Proposed Collection; Comment Request 2018-01-16T00:00:00-08:00 2018-01-16T00:00:00-08:00 2018-00493 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-01-16/pdf/2018-00493.pdf https://regulations.justia.com/regulations/fedreg/2018/01/16/2018-00492.html Notice - Proposed Collection; Comment Request 2018-01-16T00:00:00-08:00 2018-01-16T00:00:00-08:00 2018-00492 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-01-16/pdf/2018-00492.pdf https://regulations.justia.com/regulations/fedreg/2018/01/16/2018-00491.html Notice - Proposed Collection; Comment Request 2018-01-16T00:00:00-08:00 2018-01-16T00:00:00-08:00 2018-00491 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-01-16/pdf/2018-00491.pdf https://regulations.justia.com/regulations/fedreg/2018/01/16/2018-00490.html Notice - Submission for OMB Review; Comment Request 2018-01-16T00:00:00-08:00 2018-01-16T00:00:00-08:00 2018-00490 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-01-16/pdf/2018-00490.pdf https://regulations.justia.com/regulations/fedreg/2018/01/16/2018-00489.html Notice - Proposed Collection; Comment Request 2018-01-16T00:00:00-08:00 2018-01-16T00:00:00-08:00 2018-00489 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-01-16/pdf/2018-00489.pdf https://regulations.justia.com/regulations/fedreg/2018/01/16/2018-00347.html Rule - Treatment of Certain Communications Involving Security-Based Swaps That May Be Purchased Only by Eligible Contract Participants 2018-01-16T00:00:00-08:00 2018-01-16T00:00:00-08:00 2018-00347 Rule https://www.gpo.gov/fdsys/pkg/FR-2018-01-16/pdf/2018-00347.pdf https://regulations.justia.com/regulations/fedreg/2018/01/12/2018-00431.html Notice - Harbor Funds and Harbor Capital Advisors, Inc. 2018-01-12T00:00:00-08:00 2018-01-12T00:00:00-08:00 2018-00431 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-01-12/pdf/2018-00431.pdf https://regulations.justia.com/regulations/fedreg/2018/01/12/2018-00413.html Notice - Self-Regulatory Organizations; Cboe EDGX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Adopt Fees for Certain Market Data Products on the Exchange's Equity Options Platform 2018-01-12T00:00:00-08:00 2018-01-12T00:00:00-08:00 2018-00413 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-01-12/pdf/2018-00413.pdf https://regulations.justia.com/regulations/fedreg/2018/01/12/2018-00412.html Notice - Self-Regulatory Organizations; Cboe Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the Fees Schedule 2018-01-12T00:00:00-08:00 2018-01-12T00:00:00-08:00 2018-00412 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-01-12/pdf/2018-00412.pdf https://regulations.justia.com/regulations/fedreg/2018/01/12/2018-00411.html Notice - Self-Regulatory Organizations; Nasdaq GEMX, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Market Makers' Regulatory Fees 2018-01-12T00:00:00-08:00 2018-01-12T00:00:00-08:00 2018-00411 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-01-12/pdf/2018-00411.pdf https://regulations.justia.com/regulations/fedreg/2018/01/12/2018-00410.html Notice - Self-Regulatory Organizations; Cboe Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Rule 6.13, CBOE Hybrid System Automatic Execution Feature 2018-01-12T00:00:00-08:00 2018-01-12T00:00:00-08:00 2018-00410 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-01-12/pdf/2018-00410.pdf https://regulations.justia.com/regulations/fedreg/2018/01/12/2018-00409.html Notice - Self-Regulatory Organizations; Nasdaq ISE, LLC; Notice of Filing of Proposed Rule Change To Establish a Nonstandard Expirations Pilot Program 2018-01-12T00:00:00-08:00 2018-01-12T00:00:00-08:00 2018-00409 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-01-12/pdf/2018-00409.pdf https://regulations.justia.com/regulations/fedreg/2018/01/12/2018-00408.html Notice - Self-Regulatory Organizations; Cboe C2 Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Rule 6.12, Order and Quote Execution and Priority 2018-01-12T00:00:00-08:00 2018-01-12T00:00:00-08:00 2018-00408 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-01-12/pdf/2018-00408.pdf https://regulations.justia.com/regulations/fedreg/2018/01/12/2018-00407.html Notice - Self-Regulatory Organizations; BOX Options Exchange LLC; Order Approving a Proposed Rule Change To Amend the Minimum Order Size for the Floor Broker Guarantee Provided in BOX Rule 7600(f) 2018-01-12T00:00:00-08:00 2018-01-12T00:00:00-08:00 2018-00407 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-01-12/pdf/2018-00407.pdf https://regulations.justia.com/regulations/fedreg/2018/01/12/2017-28247.html Unknown - Regulatory Flexibility Agenda 2018-01-12T00:00:00-08:00 2018-01-12T00:00:00-08:00 2017-28247 Unknown https://www.gpo.gov/fdsys/pkg/FR-2018-01-12/pdf/2017-28247.pdf https://regulations.justia.com/regulations/fedreg/2018/01/11/2018-00387.html Notice - Adjustments to Civil Monetary Penalty Amounts 2018-01-11T00:00:00-08:00 2018-01-11T00:00:00-08:00 2018-00387 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-01-11/pdf/2018-00387.pdf https://regulations.justia.com/regulations/fedreg/2018/01/11/2018-00352.html Rule - Staff Accounting Bulletin No. 117 2018-01-11T00:00:00-08:00 2018-01-11T00:00:00-08:00 2018-00352 Rule https://www.gpo.gov/fdsys/pkg/FR-2018-01-11/pdf/2018-00352.pdf https://regulations.justia.com/regulations/fedreg/2018/01/11/2018-00314.html Notice - Joint Industry Plan; Notice of Filing and Immediate Effectiveness of Amendment No. 4 to the National Market System Plan Governing the Consolidated Audit Trail by Cboe BYX Exchange, Inc., Cboe BZX Exchange, Inc., Cboe EDGA Exchange, Inc., Cboe EDGX Exchange, Inc., BOX Options Exchange LLC, Cboe C2 Exchange, Inc., Cboe Exchange, Inc., Chicago Stock Exchange, Inc., Financial Industry Regulatory Authority, Inc., Investors' Exchange LLC, Miami International Securities Exchange, LLC, MIAX PEARL, LLC, Nasdaq BX, Inc., Nasdaq GEMX, LLC, Nasdaq ISE, LLC, Nasdaq MRX, LLC, Nasdaq PHLX LLC, The Nasdaq Stock Market LLC, New York Stock Exchange LLC, NYSE Arca, Inc., NYSE American, LLC and NYSE National, Inc. 2018-01-11T00:00:00-08:00 2018-01-11T00:00:00-08:00 2018-00314 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-01-11/pdf/2018-00314.pdf https://regulations.justia.com/regulations/fedreg/2018/01/11/2018-00309.html Notice - Self-Regulatory Organizations; Cboe BZX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Related to Market Data Fees 2018-01-11T00:00:00-08:00 2018-01-11T00:00:00-08:00 2018-00309 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-01-11/pdf/2018-00309.pdf https://regulations.justia.com/regulations/fedreg/2018/01/11/2018-00308.html Notice - Self-Regulatory Organizations; Nasdaq GEMX, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Various Fees and Rebates Set Forth in Section I of the Exchanges Schedule of Fees 2018-01-11T00:00:00-08:00 2018-01-11T00:00:00-08:00 2018-00308 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-01-11/pdf/2018-00308.pdf https://regulations.justia.com/regulations/fedreg/2018/01/11/2018-00307.html Notice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing of Amendment No. 2 and Order Approving on an Accelerated Basis a Proposed Rule Change, as Modified by Amendment No. 2, To List and Trade Shares of the Sprott Physical Gold and Silver Trust Under NYSE Arca Rule 8.201-E 2018-01-11T00:00:00-08:00 2018-01-11T00:00:00-08:00 2018-00307 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-01-11/pdf/2018-00307.pdf https://regulations.justia.com/regulations/fedreg/2018/01/11/2018-00306.html Notice - Self-Regulatory Organizations; NYSE American LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Rule 7.31E Relating to Mid-Point Liquidity Orders and the MTS Modifier and Rule 7.36E To Add a Definition of “Aggressing Order” 2018-01-11T00:00:00-08:00 2018-01-11T00:00:00-08:00 2018-00306 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-01-11/pdf/2018-00306.pdf https://regulations.justia.com/regulations/fedreg/2018/01/11/2018-00305.html Notice - Self-Regulatory Organizations; Nasdaq ISE, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Certain Non-Transaction Fees in the Exchange's Schedule of Fees 2018-01-11T00:00:00-08:00 2018-01-11T00:00:00-08:00 2018-00305 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-01-11/pdf/2018-00305.pdf https://regulations.justia.com/regulations/fedreg/2018/01/11/2018-00304.html Notice - Self-Regulatory Organizations; Nasdaq PHLX LLC; Order Granting Accelerated Approval of a Proposed Rule Change To Amend Rule 1059 To Make Permanent a Program That Allows Cabinet Trade Transactions To Take Place at a Price Below $1 Per Option Contract 2018-01-11T00:00:00-08:00 2018-01-11T00:00:00-08:00 2018-00304 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-01-11/pdf/2018-00304.pdf https://regulations.justia.com/regulations/fedreg/2018/01/11/2018-00303.html Notice - Self-Regulatory Organizations; Cboe BZX Exchange, Inc.; Notice of Filing of a Proposed Rule Change To List and Trade Shares of the iShares Gold Exposure ETF, a Series of the iShares U.S. ETF Trust, Under Exchange Rule 14.11(i), Managed Fund Shares 2018-01-11T00:00:00-08:00 2018-01-11T00:00:00-08:00 2018-00303 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-01-11/pdf/2018-00303.pdf https://regulations.justia.com/regulations/fedreg/2018/01/11/2018-00299.html Rule - Exemptions From Investment Adviser Registration for Advisers to Small Business Investment Companies 2018-01-11T00:00:00-08:00 2018-01-11T00:00:00-08:00 2018-00299 Rule https://www.gpo.gov/fdsys/pkg/FR-2018-01-11/pdf/2018-00299.pdf https://regulations.justia.com/regulations/fedreg/2018/01/10/2018-00267.html Notice - Proposed Collection; Comment Request 2018-01-10T00:00:00-08:00 2018-01-10T00:00:00-08:00 2018-00267 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-01-10/pdf/2018-00267.pdf https://regulations.justia.com/regulations/fedreg/2018/01/10/2018-00213.html Notice - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Make Technical and Other Non-Substantive Changes Within FINRA Rules 2018-01-10T00:00:00-08:00 2018-01-10T00:00:00-08:00 2018-00213 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-01-10/pdf/2018-00213.pdf https://regulations.justia.com/regulations/fedreg/2018/01/09/2018-00214.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 2018-01-09T00:00:00-08:00 2018-01-09T00:00:00-08:00 2018-00214 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-01-09/pdf/2018-00214.pdf https://regulations.justia.com/regulations/fedreg/2018/01/09/2018-00168.html Notice - Joint Industry Plan; Notice of Filing and Immediate Effectiveness of the Forty-First 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 2018-01-09T00:00:00-08:00 2018-01-09T00:00:00-08:00 2018-00168 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-01-09/pdf/2018-00168.pdf https://regulations.justia.com/regulations/fedreg/2018/01/09/2018-00162.html Notice - Guggenheim Credit Income Fund, et al.; Notice of Application 2018-01-09T00:00:00-08:00 2018-01-09T00:00:00-08:00 2018-00162 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-01-09/pdf/2018-00162.pdf https://regulations.justia.com/regulations/fedreg/2018/01/09/2018-00161.html Notice - Self-Regulatory Organizations; The Nasdaq Stock Market LLC; Notice of Filing of Proposed Rule Change To List and Trade the Shares of the Western Asset Total Return ETF 2018-01-09T00:00:00-08:00 2018-01-09T00:00:00-08:00 2018-00161 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-01-09/pdf/2018-00161.pdf https://regulations.justia.com/regulations/fedreg/2018/01/09/2018-00160.html Notice - Self-Regulatory Organizations; Cboe EDGX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Adopt Risk Controls and Modify Rules 21.1, 21.10, and 21.17 in Connection With Technology Migration of Cboe Exchanges 2018-01-09T00:00:00-08:00 2018-01-09T00:00:00-08:00 2018-00160 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-01-09/pdf/2018-00160.pdf https://regulations.justia.com/regulations/fedreg/2018/01/09/2018-00159.html Notice - Self-Regulatory Organizations; The Depository Trust Company; Notice of Filing of Proposed Rule Change To Amend Procedures in the DTC Settlement Service Guide Relating to the Intra-Month Collection of Required Participants Fund Deposits 2018-01-09T00:00:00-08:00 2018-01-09T00:00:00-08:00 2018-00159 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-01-09/pdf/2018-00159.pdf https://regulations.justia.com/regulations/fedreg/2018/01/09/2018-00158.html Notice - Self-Regulatory Organizations; Cboe BZX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Adopt Risk Controls and Modify Rules 21.1, 21.10, and 21.17 in Connection With Technology Migration of Cboe Exchanges 2018-01-09T00:00:00-08:00 2018-01-09T00:00:00-08:00 2018-00158 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-01-09/pdf/2018-00158.pdf https://regulations.justia.com/regulations/fedreg/2018/01/09/2018-00157.html Notice - Self-Regulatory Organizations; Investors Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Related to the Optional IEX Aggregate Risk Controls Mechanism 2018-01-09T00:00:00-08:00 2018-01-09T00:00:00-08:00 2018-00157 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-01-09/pdf/2018-00157.pdf https://regulations.justia.com/regulations/fedreg/2018/01/09/2018-00156.html Notice - Northern Lights Fund Trust and AlphaCore Capital, LLC 2018-01-09T00:00:00-08:00 2018-01-09T00:00:00-08:00 2018-00156 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-01-09/pdf/2018-00156.pdf https://regulations.justia.com/regulations/fedreg/2018/01/08/2018-00212.html Notice - Sunshine Act Meeting 2018-01-08T00:00:00-08:00 2018-01-08T00:00:00-08:00 2018-00212 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-01-08/pdf/2018-00212.pdf https://regulations.justia.com/regulations/fedreg/2018/01/08/2018-00081.html Notice - Self-Regulatory Organizations; The Depository Trust Company; Notice of Filing of a Proposed Rule Change To Restore the Timeframe for Processing Credit Post-Payable Adjustments 2018-01-08T00:00:00-08:00 2018-01-08T00:00:00-08:00 2018-00081 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-01-08/pdf/2018-00081.pdf https://regulations.justia.com/regulations/fedreg/2018/01/08/2018-00080.html Notice - Self-Regulatory Organizations; The Depository Trust Company; Notice of Filing of a Proposed Rule Change To Adopt a Recovery & Wind-Down Plan and Related Rules 2018-01-08T00:00:00-08:00 2018-01-08T00:00:00-08:00 2018-00080 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-01-08/pdf/2018-00080.pdf https://regulations.justia.com/regulations/fedreg/2018/01/08/2018-00079.html Notice - Self-Regulatory Organizations; Fixed Income Clearing Corporation; Notice of Filing of a Proposed Rule Change To Adopt a Recovery & Wind-Down Plan and Related Rules 2018-01-08T00:00:00-08:00 2018-01-08T00:00:00-08:00 2018-00079 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-01-08/pdf/2018-00079.pdf https://regulations.justia.com/regulations/fedreg/2018/01/08/2018-00078.html Notice - Self-Regulatory Organizations; National Securities Clearing Corporation; Notice of Filing of a Proposed Rule Change To Adopt a Recovery & Wind-down Plan and Related Rules 2018-01-08T00:00:00-08:00 2018-01-08T00:00:00-08:00 2018-00078 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-01-08/pdf/2018-00078.pdf https://regulations.justia.com/regulations/fedreg/2018/01/08/2018-00077.html Notice - Self-Regulatory Organizations; Cboe BZX Exchange, Inc.; Notice of Filing of a Proposed Rule Change To List and Trade Shares of the First Trust Bitcoin Strategy ETF and the First Trust Inverse Bitcoin Strategy ETF, Each a Series of the First Trust Exchange-Traded Fund VII, Under Rule 14.11(i), Managed Fund Shares 2018-01-08T00:00:00-08:00 2018-01-08T00:00:00-08:00 2018-00077 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-01-08/pdf/2018-00077.pdf https://regulations.justia.com/regulations/fedreg/2018/01/08/2018-00076.html Notice - Self-Regulatory Organizations; National Securities Clearing Corporation; Notice of Filing of a Proposed Rule Change To Amend the Loss Allocation Rules and Make Other Changes 2018-01-08T00:00:00-08:00 2018-01-08T00:00:00-08:00 2018-00076 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-01-08/pdf/2018-00076.pdf https://regulations.justia.com/regulations/fedreg/2018/01/08/2018-00075.html Notice - Self-Regulatory Organizations; Fixed Income Clearing Corporation; Notice of Filing of a Proposed Rule Change To Amend the Loss Allocation Rules and Make Other Changes 2018-01-08T00:00:00-08:00 2018-01-08T00:00:00-08:00 2018-00075 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-01-08/pdf/2018-00075.pdf https://regulations.justia.com/regulations/fedreg/2018/01/08/2018-00074.html Notice - Self-Regulatory Organizations; The Depository Trust Company; Notice of Filing of a Proposed Rule Change To Amend the Loss Allocation Rules and Make Other Changes 2018-01-08T00:00:00-08:00 2018-01-08T00:00:00-08:00 2018-00074 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-01-08/pdf/2018-00074.pdf https://regulations.justia.com/regulations/fedreg/2018/01/08/2018-00073.html Notice - Self-Regulatory Organizations; Nasdaq PHLX LLC; Notice of Withdrawal of a Proposed Rule Change To Introduce the Intellicator Analytic Tool 2018-01-08T00:00:00-08:00 2018-01-08T00:00:00-08:00 2018-00073 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-01-08/pdf/2018-00073.pdf https://regulations.justia.com/regulations/fedreg/2018/01/04/2017-28495.html Notice - Self-Regulatory Organizations; Cboe EDGX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Related to Market Data Fees 2018-01-04T00:00:00-08:00 2018-01-04T00:00:00-08:00 2017-28495 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-01-04/pdf/2017-28495.pdf https://regulations.justia.com/regulations/fedreg/2018/01/04/2017-28494.html Notice - Self-Regulatory Organizations; Cboe EDGA Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Related to Market Data Fees 2018-01-04T00:00:00-08:00 2018-01-04T00:00:00-08:00 2017-28494 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-01-04/pdf/2017-28494.pdf https://regulations.justia.com/regulations/fedreg/2018/01/04/2017-28493.html Notice - Self-Regulatory Organizations; ICE Clear Europe Limited; Notice of Filing and Order Granting Accelerated Approval of Proposed Rule Change Relating to Amendments to the ICE Clear Europe Clearing Rules and Procedures for Indirect Clearing 2018-01-04T00:00:00-08:00 2018-01-04T00:00:00-08:00 2017-28493 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-01-04/pdf/2017-28493.pdf https://regulations.justia.com/regulations/fedreg/2018/01/04/2017-28492.html Notice - Self-Regulatory Organizations; LCH SA; Order Granting Accelerated Approval of a Proposed Rule Change Relating to the Implementation of the Markets in Financial Instruments Regulation 2018-01-04T00:00:00-08:00 2018-01-04T00:00:00-08:00 2017-28492 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-01-04/pdf/2017-28492.pdf https://regulations.justia.com/regulations/fedreg/2018/01/04/2017-28488.html Notice - Notice of Applications for Deregistration Under the Investment Company Act of 1940 2018-01-04T00:00:00-08:00 2018-01-04T00:00:00-08:00 2017-28488 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-01-04/pdf/2017-28488.pdf https://regulations.justia.com/regulations/fedreg/2018/01/04/2017-28440.html Notice - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Its Price List To Waive New Firm Application Fees for Applicants Seeking Only To Obtain a Bond Trading License for 2018 and Waive the BTL Fee for 2018 2018-01-04T00:00:00-08:00 2018-01-04T00:00:00-08:00 2017-28440 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-01-04/pdf/2017-28440.pdf https://regulations.justia.com/regulations/fedreg/2018/01/04/2017-28439.html Notice - Self-Regulatory Organizations; Cboe BZX Exchange, Inc.; Notice of Filing of a Proposed Rule Change To List and Trade Shares of the REX Bitcoin Strategy ETF and the REX Short Bitcoin Strategy ETF, Each a Series of the Exchange Listed Funds Trust, Under Rule 14.11(i), Managed Fund Shares 2018-01-04T00:00:00-08:00 2018-01-04T00:00:00-08:00 2017-28439 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-01-04/pdf/2017-28439.pdf https://regulations.justia.com/regulations/fedreg/2018/01/04/2017-28438.html Notice - Self-Regulatory Organizations; Cboe BYX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Related to Market Data Fees 2018-01-04T00:00:00-08:00 2018-01-04T00:00:00-08:00 2017-28438 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-01-04/pdf/2017-28438.pdf https://regulations.justia.com/regulations/fedreg/2018/01/04/2017-28437.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 ICE Clear Europe Clearing Procedures for the Exercise of F&O Options Contracts 2018-01-04T00:00:00-08:00 2018-01-04T00:00:00-08:00 2017-28437 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-01-04/pdf/2017-28437.pdf https://regulations.justia.com/regulations/fedreg/2018/01/04/2017-28436.html Notice - Self-Regulatory Organizations; BOX Options Exchange LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Rule 5050 To Extend the Pilot Program That Lists RealDay Options (“RealDay Pilot Program”) 2018-01-04T00:00:00-08:00 2018-01-04T00:00:00-08:00 2017-28436 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-01-04/pdf/2017-28436.pdf https://regulations.justia.com/regulations/fedreg/2018/01/03/C1-2017-26990.html Notice - Self-Regulatory Organizations; BOX Options Exchange LLC; Notice of Filing of Amendment No. 2 to a Proposed Rule Change Amending Consolidated Audit Trail Funding Fees 2018-01-03T00:00:00-08:00 2018-01-03T00:00:00-08:00 C1-2017-26990 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-01-03/pdf/C1-2017-26990.pdf https://regulations.justia.com/regulations/fedreg/2018/01/03/2017-28446.html Notice - Sunshine Act Meetings 2018-01-03T00:00:00-08:00 2018-01-03T00:00:00-08:00 2017-28446 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-01-03/pdf/2017-28446.pdf https://regulations.justia.com/regulations/fedreg/2018/01/03/2017-27967.html Proposed Rule - Freedom of Information Act Regulations 2018-01-03T00:00:00-08:00 2018-01-03T00:00:00-08:00 2017-27967 Proposed Rule https://www.gpo.gov/fdsys/pkg/FR-2018-01-03/pdf/2017-27967.pdf https://regulations.justia.com/regulations/fedreg/2018/01/02/C1-2017-26995.html Notice - Self-Regulatory Organizations; Cboe Exchange, Inc.; Notice of Filing of Amendment No. 2 to the Proposed Rule Change To Amend the Schedule of Fees and Assessments To Adopt a Fee Schedule To Establish Fees for Industry Members Related to the National Market System Plan Governing the Consolidated Audit Trail 2018-01-02T00:00:00-08:00 2018-01-02T00:00:00-08:00 C1-2017-26995 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-01-02/pdf/C1-2017-26995.pdf https://regulations.justia.com/regulations/fedreg/2018/01/02/2017-28311.html Notice - Self-Regulatory Organizations; Investors Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Related to the Displayed Match Fee 2018-01-02T00:00:00-08:00 2018-01-02T00:00:00-08:00 2017-28311 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-01-02/pdf/2017-28311.pdf https://regulations.justia.com/regulations/fedreg/2018/01/02/2017-28310.html Notice - Self-Regulatory Organizations; The Nasdaq Stock Market LLC; Notice of Filing of Proposed Rule Change To List and Trade the Shares of the Reinhart Intermediate Bond NextShares Fund 2018-01-02T00:00:00-08:00 2018-01-02T00:00:00-08:00 2017-28310 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-01-02/pdf/2017-28310.pdf https://regulations.justia.com/regulations/fedreg/2018/01/02/2017-28309.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 To Adjust the QOO Order Rebate 2018-01-02T00:00:00-08:00 2018-01-02T00:00:00-08:00 2017-28309 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-01-02/pdf/2017-28309.pdf https://regulations.justia.com/regulations/fedreg/2018/01/02/2017-28308.html Notice - Self-Regulatory Organizations; LCH SA; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to the CDSClear Fee Grid for All Accounts Structures 2018-01-02T00:00:00-08:00 2018-01-02T00:00:00-08:00 2017-28308 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-01-02/pdf/2017-28308.pdf https://regulations.justia.com/regulations/fedreg/2018/01/02/2017-28307.html Notice - Self-Regulatory Organizations; ICE Clear Europe Limited; Notice of Designation of Longer Period for Commission Action on Proposed Rule Change To Modify the ICE Clear Europe Limited Collateral and Haircut Policy 2018-01-02T00:00:00-08:00 2018-01-02T00:00:00-08:00 2017-28307 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-01-02/pdf/2017-28307.pdf https://regulations.justia.com/regulations/fedreg/2018/01/02/2017-28299.html Notice - Oppenheimer Capital Appreciation Fund et al.; Application 2018-01-02T00:00:00-08:00 2018-01-02T00:00:00-08:00 2017-28299 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-01-02/pdf/2017-28299.pdf https://regulations.justia.com/regulations/fedreg/2018/01/02/2017-28229.html Notice - Self-Regulatory Organizations; NYSE American LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Rule 991 2018-01-02T00:00:00-08:00 2018-01-02T00:00:00-08:00 2017-28229 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-01-02/pdf/2017-28229.pdf https://regulations.justia.com/regulations/fedreg/2018/01/02/2017-28228.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 Cboe BZX Exchange, Inc. Equity Options Platform 2018-01-02T00:00:00-08:00 2018-01-02T00:00:00-08:00 2017-28228 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-01-02/pdf/2017-28228.pdf https://regulations.justia.com/regulations/fedreg/2018/01/02/2017-28221.html Notice - Self-Regulatory Organizations; National Securities Clearing Corporation; Notice of Filing of Advance Notice To Increase the Authorized Amount Under the Prefunded Liquidity Program 2018-01-02T00:00:00-08:00 2018-01-02T00:00:00-08:00 2017-28221 Notice https://www.gpo.gov/fdsys/pkg/FR-2018-01-02/pdf/2017-28221.pdf https://regulations.justia.com/regulations/fedreg/2017/12/29/2017-28166.html Notice - Validea Capital Management, LLC, et al.; Notice of Application 2017-12-29T00:00:00-08:00 2017-12-29T00:00:00-08:00 2017-28166 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-12-29/pdf/2017-28166.pdf https://regulations.justia.com/regulations/fedreg/2017/12/28/2017-28082.html Notice - Self-Regulatory Organizations; Cboe Exchange, Inc.; Order Approving a Proposed Rule Change To Amend Rule 6.56 To Include Procedures for Multi-Leg Positions 2017-12-28T00:00:00-08:00 2017-12-28T00:00:00-08:00 2017-28082 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-12-28/pdf/2017-28082.pdf https://regulations.justia.com/regulations/fedreg/2017/12/28/2017-28081.html Notice - Self-Regulatory Organizations; Nasdaq ISE, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the Schedule of Fees To Clarify the Market Maker Plus Program 2017-12-28T00:00:00-08:00 2017-12-28T00:00:00-08:00 2017-28081 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-12-28/pdf/2017-28081.pdf https://regulations.justia.com/regulations/fedreg/2017/12/28/2017-28080.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 612, Aggregate Risk Manager (ARM) and Rule 518, Complex Orders 2017-12-28T00:00:00-08:00 2017-12-28T00:00:00-08:00 2017-28080 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-12-28/pdf/2017-28080.pdf https://regulations.justia.com/regulations/fedreg/2017/12/28/2017-28079.html Notice - Self-Regulatory Organizations; MIAX PEARL, LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend MIAX PEARL Rule 510 To Extend the Penny Pilot Program 2017-12-28T00:00:00-08:00 2017-12-28T00:00:00-08:00 2017-28079 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-12-28/pdf/2017-28079.pdf https://regulations.justia.com/regulations/fedreg/2017/12/28/2017-28078.html Notice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing of Amendment No. 1, and Order Granting Approval on an Accelerated Basis of a Proposed Rule Change, as Modified by Amendments No. 1 and No. 3, to List and Trade of Shares of the Breakwave Dry Bulk Shipping ETF Under NYSE Arca Rule 8.200-E, Commentary .02 2017-12-28T00:00:00-08:00 2017-12-28T00:00:00-08:00 2017-28078 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-12-28/pdf/2017-28078.pdf https://regulations.justia.com/regulations/fedreg/2017/12/28/2017-28077.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 2017-12-28T00:00:00-08:00 2017-12-28T00:00:00-08:00 2017-28077 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-12-28/pdf/2017-28077.pdf https://regulations.justia.com/regulations/fedreg/2017/12/28/2017-28076.html Notice - Self-Regulatory Organizations; Bats 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 the iShares Inflation Hedged Corporate Bond ETF, a Series of the iShares U.S. ETF Trust, Under Rule 14.11(i), Managed Fund Shares 2017-12-28T00:00:00-08:00 2017-12-28T00:00:00-08:00 2017-28076 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-12-28/pdf/2017-28076.pdf https://regulations.justia.com/regulations/fedreg/2017/12/28/2017-28002.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 Innovator S&P 500 15% Shield Strategy ETF Series, Innovator S&P 500 −5% to −35% Shield Strategy ETF Series, Innovator S&P 500 Enhance and 10% Shield Strategy ETF Series, and Innovator S&P 500 Ultra Strategy ETF Series Under Rule 14.11(i) 2017-12-28T00:00:00-08:00 2017-12-28T00:00:00-08:00 2017-28002 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-12-28/pdf/2017-28002.pdf https://regulations.justia.com/regulations/fedreg/2017/12/28/2017-28001.html Notice - Self-Regulatory Organizations; Fixed Income Clearing Corporation; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Eliminate the Development Fees From the Mortgage-Backed Securities Division Clearing Rules 2017-12-28T00:00:00-08:00 2017-12-28T00:00:00-08:00 2017-28001 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-12-28/pdf/2017-28001.pdf https://regulations.justia.com/regulations/fedreg/2017/12/28/2017-28000.html Notice - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Rules Relating to Investment Company Units, Index-Linked Securities and Managed Trust Securities 2017-12-28T00:00:00-08:00 2017-12-28T00:00:00-08:00 2017-28000 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-12-28/pdf/2017-28000.pdf https://regulations.justia.com/regulations/fedreg/2017/12/28/2017-27999.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 2017-12-28T00:00:00-08:00 2017-12-28T00:00:00-08:00 2017-27999 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-12-28/pdf/2017-27999.pdf https://regulations.justia.com/regulations/fedreg/2017/12/28/2017-27998.html Notice - Self-Regulatory Organizations; Cboe BZX Exchange, Inc.; Notice of Filing of a Proposed Rule Change 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 2017-12-28T00:00:00-08:00 2017-12-28T00:00:00-08:00 2017-27998 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-12-28/pdf/2017-27998.pdf https://regulations.justia.com/regulations/fedreg/2017/12/28/2017-27997.html Notice - Self-Regulatory Organizations; The Depository Trust Company; National Securities Clearing Corporation; Fixed Income Clearing Corporation; Notice of Filing of Amendment No. 4, Notice of Filing Amendment No. 5, Notice of Filing Amendment No. 6, and Order Granting Accelerated Approval of Proposed Rule Changes, as Modified by Amendment Nos. 1, 3 and 6, To Adopt the Clearing Agency Liquidity Risk Management Framework 2017-12-28T00:00:00-08:00 2017-12-28T00:00:00-08:00 2017-27997 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-12-28/pdf/2017-27997.pdf https://regulations.justia.com/regulations/fedreg/2017/12/28/2017-27996.html Notice - Self-Regulatory Organizations; C2 Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Rule 6.4, Minimum Increments for Bids and Offers, To Extend the Penny Pilot Program 2017-12-28T00:00:00-08:00 2017-12-28T00:00:00-08:00 2017-27996 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-12-28/pdf/2017-27996.pdf https://regulations.justia.com/regulations/fedreg/2017/12/28/2017-27995.html Notice - Self-Regulatory Organizations; Cboe Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Rule 6.42, Minimum Increments for Bids and Offers, To Extend the Penny Pilot Program 2017-12-28T00:00:00-08:00 2017-12-28T00:00:00-08:00 2017-27995 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-12-28/pdf/2017-27995.pdf https://regulations.justia.com/regulations/fedreg/2017/12/28/2017-27994.html Notice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Withdrawal of a Proposed Rule Change, as Modified by Amendment No. 1, To Adopt NYSE Arca Rule 8.900-E To Permit Listing and Trading of Managed Portfolio Shares and To List and Trade Shares of the Royce Pennsylvania ETF, Royce Premier ETF, and Royce Total Return ETF Under Proposed NYSE Arca Rule 8.900-E 2017-12-28T00:00:00-08:00 2017-12-28T00:00:00-08:00 2017-27994 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-12-28/pdf/2017-27994.pdf https://regulations.justia.com/regulations/fedreg/2017/12/28/2017-27993.html Notice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing of Proposed Rule Change To List and Trade Shares of the Perth Mint Physical Gold ETF Trust Under NYSE Arca Rule 8.201-E 2017-12-28T00:00:00-08:00 2017-12-28T00:00:00-08:00 2017-27993 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-12-28/pdf/2017-27993.pdf https://regulations.justia.com/regulations/fedreg/2017/12/28/2017-27990.html Notice - Self-Regulatory Organizations; MIAX PEARL, LLC; Order Declaring Effective a Minor Rule Violation Plan 2017-12-28T00:00:00-08:00 2017-12-28T00:00:00-08:00 2017-27990 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-12-28/pdf/2017-27990.pdf https://regulations.justia.com/regulations/fedreg/2017/12/28/2017-27989.html Notice - Self-Regulatory Organizations; Miami International Securities Exchange, LLC; Order Declaring Effective a Minor Rule Violation Plan 2017-12-28T00:00:00-08:00 2017-12-28T00:00:00-08:00 2017-27989 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-12-28/pdf/2017-27989.pdf https://regulations.justia.com/regulations/fedreg/2017/12/27/2017-27832.html Notice - Self-Regulatory Organizations; The Options Clearing Corporation; Notice of Filing of Advance Notice Concerning Proposed Changes to The Options Clearing Corporation's Margin Methodology 2017-12-27T00:00:00-08:00 2017-12-27T00:00:00-08:00 2017-27832 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-12-27/pdf/2017-27832.pdf https://regulations.justia.com/regulations/fedreg/2017/12/27/2017-27831.html Notice - Self-Regulatory Organizations; Nasdaq PHLX LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Extend the Penny Pilot Program 2017-12-27T00:00:00-08:00 2017-12-27T00:00:00-08:00 2017-27831 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-12-27/pdf/2017-27831.pdf https://regulations.justia.com/regulations/fedreg/2017/12/27/2017-27825.html Notice - TCG BDC, Inc., et al. 2017-12-27T00:00:00-08:00 2017-12-27T00:00:00-08:00 2017-27825 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-12-27/pdf/2017-27825.pdf https://regulations.justia.com/regulations/fedreg/2017/12/27/2017-27807.html Notice - The Hartford Mutual Funds, Inc., et al. 2017-12-27T00:00:00-08:00 2017-12-27T00:00:00-08:00 2017-27807 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-12-27/pdf/2017-27807.pdf https://regulations.justia.com/regulations/fedreg/2017/12/26/2017-27833.html Notice - Sunshine Act Meetings 2017-12-26T00:00:00-08:00 2017-12-26T00:00:00-08:00 2017-27833 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-12-26/pdf/2017-27833.pdf https://regulations.justia.com/regulations/fedreg/2017/12/26/2017-27740.html Notice - Submission for OMB Review; Comment Request 2017-12-26T00:00:00-08:00 2017-12-26T00:00:00-08:00 2017-27740 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-12-26/pdf/2017-27740.pdf https://regulations.justia.com/regulations/fedreg/2017/12/26/2017-27705.html Notice - Self-Regulatory Organizations; The Depository Trust Company; Fixed Income Clearing Corporation; National Securities Clearing Corporation; Notice of Filing of Amendments No. 2 and Order Granting Accelerated Approval of Proposed Rule Changes, as Modified by Amendments Nos. 1 and 2, To Adopt the Clearing Agency Stress Testing Framework (Market Risk) 2017-12-26T00:00:00-08:00 2017-12-26T00:00:00-08:00 2017-27705 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-12-26/pdf/2017-27705.pdf https://regulations.justia.com/regulations/fedreg/2017/12/26/2017-27704.html Notice - Self-Regulatory Organizations; Nasdaq BX, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Extend the Penny Pilot Program 2017-12-26T00:00:00-08:00 2017-12-26T00:00:00-08:00 2017-27704 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-12-26/pdf/2017-27704.pdf https://regulations.justia.com/regulations/fedreg/2017/12/26/2017-27703.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 2017-12-26T00:00:00-08:00 2017-12-26T00:00:00-08:00 2017-27703 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-12-26/pdf/2017-27703.pdf https://regulations.justia.com/regulations/fedreg/2017/12/26/2017-27702.html Notice - Self-Regulatory Organizations; The Nasdaq Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Extend the Penny Pilot Program 2017-12-26T00:00:00-08:00 2017-12-26T00:00:00-08:00 2017-27702 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-12-26/pdf/2017-27702.pdf https://regulations.justia.com/regulations/fedreg/2017/12/26/2017-27701.html Notice - Self-Regulatory Organizations; Nasdaq MRX, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Extend the Penny Pilot Program 2017-12-26T00:00:00-08:00 2017-12-26T00:00:00-08:00 2017-27701 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-12-26/pdf/2017-27701.pdf https://regulations.justia.com/regulations/fedreg/2017/12/26/2017-27700.html Notice - Self-Regulatory Organizations; Nasdaq PHLX LLC; Notice of Filing of Proposed Rule Change To Amend Rule 1000 and Commentary .11 to Rule 1012 2017-12-26T00:00:00-08:00 2017-12-26T00:00:00-08:00 2017-27700 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-12-26/pdf/2017-27700.pdf https://regulations.justia.com/regulations/fedreg/2017/12/26/2017-27699.html Notice - Self-Regulatory Organizations; Nasdaq ISE, LLC; Notice of Filing of Proposed Rule Change To Permit the Listing and Trading of NQX Index Options 2017-12-26T00:00:00-08:00 2017-12-26T00:00:00-08:00 2017-27699 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-12-26/pdf/2017-27699.pdf https://regulations.justia.com/regulations/fedreg/2017/12/26/2017-27698.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 2017-12-26T00:00:00-08:00 2017-12-26T00:00:00-08:00 2017-27698 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-12-26/pdf/2017-27698.pdf https://regulations.justia.com/regulations/fedreg/2017/12/26/2017-27697.html Notice - Self-Regulatory Organizations; Nasdaq ISE, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Extend the Penny Pilot Program 2017-12-26T00:00:00-08:00 2017-12-26T00:00:00-08:00 2017-27697 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-12-26/pdf/2017-27697.pdf https://regulations.justia.com/regulations/fedreg/2017/12/26/2017-27696.html Notice - Self-Regulatory Organizations; Nasdaq GEMX, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Extend the Penny Pilot Program 2017-12-26T00:00:00-08:00 2017-12-26T00:00:00-08:00 2017-27696 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-12-26/pdf/2017-27696.pdf https://regulations.justia.com/regulations/fedreg/2017/12/26/2017-27695.html Notice - Self-Regulatory Organizations; The Options Clearing Corporation; Notice of Filing of Proposed Rule Change, as Modified by Amendment No. 1, Related to The Options Clearing Corporation's Margin Policy 2017-12-26T00:00:00-08:00 2017-12-26T00:00:00-08:00 2017-27695 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-12-26/pdf/2017-27695.pdf https://regulations.justia.com/regulations/fedreg/2017/12/26/2017-27694.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 2017-12-26T00:00:00-08:00 2017-12-26T00:00:00-08:00 2017-27694 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-12-26/pdf/2017-27694.pdf https://regulations.justia.com/regulations/fedreg/2017/12/26/2017-27693.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 June 30, 2018 2017-12-26T00:00:00-08:00 2017-12-26T00:00:00-08:00 2017-27693 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-12-26/pdf/2017-27693.pdf https://regulations.justia.com/regulations/fedreg/2017/12/26/2017-27692.html Notice - Self-Regulatory Organizations; The Options Clearing Corporation; Notice of Filing of a Proposed Rule Change Concerning Updates to and Formalization of OCC's Recovery and Orderly Wind-Down Plan 2017-12-26T00:00:00-08:00 2017-12-26T00:00:00-08:00 2017-27692 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-12-26/pdf/2017-27692.pdf https://regulations.justia.com/regulations/fedreg/2017/12/26/2017-27691.html Notice - Self-Regulatory Organizations; The Options Clearing Corporation; Notice of Filing of a Proposed Rule Change Concerning Enhanced and New Tools for Recovery Scenarios 2017-12-26T00:00:00-08:00 2017-12-26T00:00:00-08:00 2017-27691 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-12-26/pdf/2017-27691.pdf https://regulations.justia.com/regulations/fedreg/2017/12/26/2017-27690.html Notice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing of 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 2017-12-26T00:00:00-08:00 2017-12-26T00:00:00-08:00 2017-27690 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-12-26/pdf/2017-27690.pdf https://regulations.justia.com/regulations/fedreg/2017/12/26/2017-27689.html Notice - Self-Regulatory Organizations; MIAX PEARL, LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Adopt a New Type of MIAX Express Orders Interface Port Known as a MEO Purge Port and To Amend MIAX PEARL Rule 519C, Mass Cancellation of Trading Interest, To Adopt a New Purge Message, as Well as To Amend Its Fee Schedule To Identify the New MEO Purge Port 2017-12-26T00:00:00-08:00 2017-12-26T00:00:00-08:00 2017-27689 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-12-26/pdf/2017-27689.pdf https://regulations.justia.com/regulations/fedreg/2017/12/26/2017-27686.html Notice - BlackRock Capital Investment Corporation, et al. 2017-12-26T00:00:00-08:00 2017-12-26T00:00:00-08:00 2017-27686 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-12-26/pdf/2017-27686.pdf https://regulations.justia.com/regulations/fedreg/2017/12/26/2017-27649.html Notice - FQF Trust, et al. 2017-12-26T00:00:00-08:00 2017-12-26T00:00:00-08:00 2017-27649 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-12-26/pdf/2017-27649.pdf https://regulations.justia.com/regulations/fedreg/2017/12/22/2017-27566.html Notice - Notice of Intention To Cancel Registrations of Certain Transfer Agents 2017-12-22T00:00:00-08:00 2017-12-22T00:00:00-08:00 2017-27566 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-12-22/pdf/2017-27566.pdf https://regulations.justia.com/regulations/fedreg/2017/12/22/2017-27564.html Notice - Self-Regulatory Organizations; Cboe Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Exchange Rule 5.4, Withdrawal of Approval of Underlying Securities 2017-12-22T00:00:00-08:00 2017-12-22T00:00:00-08:00 2017-27564 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-12-22/pdf/2017-27564.pdf https://regulations.justia.com/regulations/fedreg/2017/12/22/2017-27563.html Notice - Self-Regulatory Organizations; LCH SA; Order Approving Proposed Rule Change Relating to Wrong Way Risk Margin 2017-12-22T00:00:00-08:00 2017-12-22T00:00:00-08:00 2017-27563 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-12-22/pdf/2017-27563.pdf https://regulations.justia.com/regulations/fedreg/2017/12/22/2017-27562.html Notice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Adopt a Decommission Extension Fee for Receipt of the NYSE Arca Integrated Feed Market Data Product 2017-12-22T00:00:00-08:00 2017-12-22T00:00:00-08:00 2017-27562 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-12-22/pdf/2017-27562.pdf https://regulations.justia.com/regulations/fedreg/2017/12/22/2017-27561.html Notice - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Its Price List To Adopt a Rebate for the NYSE BondsSM 2017-12-22T00:00:00-08:00 2017-12-22T00:00:00-08:00 2017-27561 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-12-22/pdf/2017-27561.pdf https://regulations.justia.com/regulations/fedreg/2017/12/21/2017-27469.html Notice - Self-Regulatory Organizations; Nasdaq PHLX LLC; Notice of Filing of Amendment No. 2, Order Approving a Proposed Rule Change, as Modified by Amendment No. 1 and Granting Accelerated Approval of Amendment No. 2, of a Proposed Rule Change To Establish a Nonstandard Expirations Pilot Program 2017-12-21T00:00:00-08:00 2017-12-21T00:00:00-08:00 2017-27469 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-12-21/pdf/2017-27469.pdf https://regulations.justia.com/regulations/fedreg/2017/12/21/2017-27468.html Notice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing of Amendment No. 2 and Order Approving on an Accelerated Basis a Proposed Rule Change, as Modified by Amendment No. 2, To List and Trade Shares of the GraniteShares Palladium Trust Under NYSE Arca Rule 8.201-E 2017-12-21T00:00:00-08:00 2017-12-21T00:00:00-08:00 2017-27468 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-12-21/pdf/2017-27468.pdf https://regulations.justia.com/regulations/fedreg/2017/12/21/2017-27467.html Notice - Self-Regulatory Organizations; NYSE American LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend NYSE American Rule 8.700E To Add Futures and Swaps on the EURO STOXX 50 Volatility Index to the Financial Instruments That an Issue of Managed Trust Securities May Hold 2017-12-21T00:00:00-08:00 2017-12-21T00:00:00-08:00 2017-27467 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-12-21/pdf/2017-27467.pdf https://regulations.justia.com/regulations/fedreg/2017/12/21/2017-27466.html Notice - Self-Regulatory Organizations; Cboe BYX Exchange, Inc.; Cboe BZX Exchange, Inc.; Cboe EDGA Exchange, Inc.; Cboe EDGX Exchange, Inc.; Order Granting Accelerated Approval of a Proposed Rule Change Relating to Its Director Nomination and Committee Appointment Process and Its Nominating and Governance Committee 2017-12-21T00:00:00-08:00 2017-12-21T00:00:00-08:00 2017-27466 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-12-21/pdf/2017-27466.pdf https://regulations.justia.com/regulations/fedreg/2017/12/21/2017-27465.html Notice - Self-Regulatory Organizations; Cboe Exchange, Inc.; Cboe C2 Exchange, Inc.; Order Granting Accelerated Approval to a Proposed Rule Change Relating to Its Nominating and Governance Committee and Regulatory Oversight and Compliance Committee as Well as Its Director Nomination and Committee Appointment Process 2017-12-21T00:00:00-08:00 2017-12-21T00:00:00-08:00 2017-27465 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-12-21/pdf/2017-27465.pdf https://regulations.justia.com/regulations/fedreg/2017/12/21/2017-27464.html Notice - Self-Regulatory Organizations; The Nasdaq Stock Market LLC; Notice of Filing of Amendment No. 1 and Order Instituting Proceedings To Determine Whether To Approve or Disapprove a Proposed Rule Change, as Modified by Amendment No. 1, To Allow Participants To Designate When an Order With a RTFY or SCAN Routing Order Attribute Will Be Activated During Pre-Market Hours 2017-12-21T00:00:00-08:00 2017-12-21T00:00:00-08:00 2017-27464 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-12-21/pdf/2017-27464.pdf https://regulations.justia.com/regulations/fedreg/2017/12/21/2017-27463.html Notice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing of Amendment No. 2 and Order Approving on an Accelerated Basis a Proposed Rule Change, as Modified by Amendment No. 2, To List and Trade Shares of the GraniteShares Silver Trust Under NYSE Arca Rule 8.201-E 2017-12-21T00:00:00-08:00 2017-12-21T00:00:00-08:00 2017-27463 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-12-21/pdf/2017-27463.pdf https://regulations.justia.com/regulations/fedreg/2017/12/21/2017-27461.html Notice - Submission for OMB Review; Comment Request 2017-12-21T00:00:00-08:00 2017-12-21T00:00:00-08:00 2017-27461 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-12-21/pdf/2017-27461.pdf https://regulations.justia.com/regulations/fedreg/2017/12/21/2017-27460.html Notice - Submission for OMB Review; Comment Request 2017-12-21T00:00:00-08:00 2017-12-21T00:00:00-08:00 2017-27460 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-12-21/pdf/2017-27460.pdf https://regulations.justia.com/regulations/fedreg/2017/12/21/2017-27444.html Notice - Fixed Income Market Structure Advisory Committee 2017-12-21T00:00:00-08:00 2017-12-21T00:00:00-08:00 2017-27444 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-12-21/pdf/2017-27444.pdf https://regulations.justia.com/regulations/fedreg/2017/12/20/2017-27430.html Notice - Consulting Group Capital Markets Funds and Consulting Group Advisory Services LLC 2017-12-20T00:00:00-08:00 2017-12-20T00:00:00-08:00 2017-27430 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-12-20/pdf/2017-27430.pdf https://regulations.justia.com/regulations/fedreg/2017/12/20/2017-27351.html Notice - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Designation of Longer Period for Commission Action on Proceedings To Determine Whether To Approve or Disapprove a Proposed Rule Change, as Modified by Amendment No. 3, To Amend Section 102.01B of the NYSE Listed Company Manual To Provide for the Listing of Companies That List Without a Prior Exchange Act Registration and That Are Not Listing in Connection With an Underwritten Initial Public Offering and Related Changes to Rules 15, 104, and 123D 2017-12-20T00:00:00-08:00 2017-12-20T00:00:00-08:00 2017-27351 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-12-20/pdf/2017-27351.pdf https://regulations.justia.com/regulations/fedreg/2017/12/20/2017-27350.html Notice - Self-Regulatory Organizations; Cboe EDGX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Rule 19.6, Series of Options Contracts Open for Trading 2017-12-20T00:00:00-08:00 2017-12-20T00:00:00-08:00 2017-27350 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-12-20/pdf/2017-27350.pdf https://regulations.justia.com/regulations/fedreg/2017/12/20/2017-27349.html Notice - Self-Regulatory Organizations; Cboe BZX Exchange, Inc.; Notice of Filing 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 2017-12-20T00:00:00-08:00 2017-12-20T00:00:00-08:00 2017-27349 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-12-20/pdf/2017-27349.pdf https://regulations.justia.com/regulations/fedreg/2017/12/20/2017-27348.html Notice - Self-Regulatory Organizations; The Nasdaq Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Rule 4120 (Limit Up-Limit Down Plan and Trading Halts) To Reduce the Length of the “Display-Only Period” for the Initial Pricing on Nasdaq of a Security That Is the Subject of an Initial Public Offering 2017-12-20T00:00:00-08:00 2017-12-20T00:00:00-08:00 2017-27348 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-12-20/pdf/2017-27348.pdf https://regulations.justia.com/regulations/fedreg/2017/12/20/2017-27347.html Notice - Self-Regulatory Organizations; Nasdaq GEMX, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Primary Market Maker Obligations 2017-12-20T00:00:00-08:00 2017-12-20T00:00:00-08:00 2017-27347 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-12-20/pdf/2017-27347.pdf https://regulations.justia.com/regulations/fedreg/2017/12/20/2017-27346.html Notice - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Rule 300 2017-12-20T00:00:00-08:00 2017-12-20T00:00:00-08:00 2017-27346 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-12-20/pdf/2017-27346.pdf https://regulations.justia.com/regulations/fedreg/2017/12/20/2017-27345.html Notice - Self-Regulatory Organizations; Nasdaq MRX, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Primary Market Maker Obligations 2017-12-20T00:00:00-08:00 2017-12-20T00:00:00-08:00 2017-27345 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-12-20/pdf/2017-27345.pdf https://regulations.justia.com/regulations/fedreg/2017/12/20/2017-27344.html Notice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Designation of a Longer Period for Commission Action on Proposed Rule Change, as Modified by Amendment No. 1, To List and Trade Shares of the Hartford Schroders Tax-Aware Bond ETF Under NYSE Arca Rule 8.600-E 2017-12-20T00:00:00-08:00 2017-12-20T00:00:00-08:00 2017-27344 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-12-20/pdf/2017-27344.pdf https://regulations.justia.com/regulations/fedreg/2017/12/20/2017-27343.html Notice - Self-Regulatory Organizations; Nasdaq PHLX LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Specialist Obligations 2017-12-20T00:00:00-08:00 2017-12-20T00:00:00-08:00 2017-27343 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-12-20/pdf/2017-27343.pdf https://regulations.justia.com/regulations/fedreg/2017/12/20/2017-27342.html Notice - Self-Regulatory Organizations; Municipal Securities Rulemaking Board; Order Granting Accelerated Approval of a Proposed Rule Change, as Modified by Amendment No. 1, Consisting of Proposed Amendments to MSRB Rule G-34, on CUSIP Numbers, New Issue, and Market Information Requirements 2017-12-20T00:00:00-08:00 2017-12-20T00:00:00-08:00 2017-27342 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-12-20/pdf/2017-27342.pdf https://regulations.justia.com/regulations/fedreg/2017/12/20/2017-27340.html Notice - Self-Regulatory Organizations; Nasdaq ISE, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the Calculation of the Member Order Routing Program 2017-12-20T00:00:00-08:00 2017-12-20T00:00:00-08:00 2017-27340 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-12-20/pdf/2017-27340.pdf https://regulations.justia.com/regulations/fedreg/2017/12/20/2017-27339.html Notice - Self-Regulatory Organizations; Nasdaq GEMX, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the Market Access and Routing Subsidy Program 2017-12-20T00:00:00-08:00 2017-12-20T00:00:00-08:00 2017-27339 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-12-20/pdf/2017-27339.pdf https://regulations.justia.com/regulations/fedreg/2017/12/20/2017-27338.html Notice - Self-Regulatory Organizations; Nasdaq ISE, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Primary Market Maker Obligations 2017-12-20T00:00:00-08:00 2017-12-20T00:00:00-08:00 2017-27338 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-12-20/pdf/2017-27338.pdf https://regulations.justia.com/regulations/fedreg/2017/12/20/2017-27337.html Notice - Ausdal Financial Partners, Inc. and Ausdal Unit Investment Trust 2017-12-20T00:00:00-08:00 2017-12-20T00:00:00-08:00 2017-27337 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-12-20/pdf/2017-27337.pdf https://regulations.justia.com/regulations/fedreg/2017/12/19/2017-27359.html Notice - Sunshine Act Meetings 2017-12-19T00:00:00-08:00 2017-12-19T00:00:00-08:00 2017-27359 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-12-19/pdf/2017-27359.pdf https://regulations.justia.com/regulations/fedreg/2017/12/19/2017-27314.html Notice - Submission for OMB Review; Comment Request 2017-12-19T00:00:00-08:00 2017-12-19T00:00:00-08:00 2017-27314 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-12-19/pdf/2017-27314.pdf https://regulations.justia.com/regulations/fedreg/2017/12/19/2017-27313.html Notice - Submission for OMB Review; Comment Request 2017-12-19T00:00:00-08:00 2017-12-19T00:00:00-08:00 2017-27313 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-12-19/pdf/2017-27313.pdf https://regulations.justia.com/regulations/fedreg/2017/12/19/2017-27236.html Notice - Self-Regulatory Organizations; LCH SA; Notice of Proposed Rule Change, Security-Based Swap Submission, or Advance Notice Relating to LCH SA's Wind Down Plan 2017-12-19T00:00:00-08:00 2017-12-19T00:00:00-08:00 2017-27236 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-12-19/pdf/2017-27236.pdf https://regulations.justia.com/regulations/fedreg/2017/12/19/2017-27235.html Notice - Self-Regulatory Organizations; LCH SA; Notice of Proposed Rule Change, Security-Based Swap Submission, or Advance Notice Relating to LCH SA's Recovery Plan 2017-12-19T00:00:00-08:00 2017-12-19T00:00:00-08:00 2017-27235 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-12-19/pdf/2017-27235.pdf https://regulations.justia.com/regulations/fedreg/2017/12/19/2017-27234.html Notice - Self-Regulatory Organizations; BOX Options Exchange LLC; Notice of Filing of Proposed Rule Change To Adopt Rule 7600(i) To Allow Split-Price Transactions on the Trading Floor 2017-12-19T00:00:00-08:00 2017-12-19T00:00:00-08:00 2017-27234 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-12-19/pdf/2017-27234.pdf https://regulations.justia.com/regulations/fedreg/2017/12/19/2017-27233.html Notice - Self-Regulatory Organizations; Nasdaq PHLX LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Chapter VIII of the Phlx Pricing Schedule To Waive Port Fees for New PSX Participants for a Limited Time 2017-12-19T00:00:00-08:00 2017-12-19T00:00:00-08:00 2017-27233 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-12-19/pdf/2017-27233.pdf https://regulations.justia.com/regulations/fedreg/2017/12/19/2017-27232.html Notice - Self-Regulatory Organizations; ICE Clear Europe Limited; Order Approving Proposed Rule Change Relating to the ICE Clear Europe Procyclicality Framework 2017-12-19T00:00:00-08:00 2017-12-19T00:00:00-08:00 2017-27232 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-12-19/pdf/2017-27232.pdf https://regulations.justia.com/regulations/fedreg/2017/12/19/2017-27231.html Notice - Self-Regulatory Organizations; The Options Clearing Corporation; Order Approving Proposed Rule Change Relating to The Options Clearing Corporation's Counterparty Credit Risk Management Policy 2017-12-19T00:00:00-08:00 2017-12-19T00:00:00-08:00 2017-27231 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-12-19/pdf/2017-27231.pdf https://regulations.justia.com/regulations/fedreg/2017/12/19/2017-27230.html Notice - Self-Regulatory Organizations; The Options Clearing Corporation; Order Approving Proposed Rule Change Related to The Options Clearing Corporation's Collateral Risk Management Policy 2017-12-19T00:00:00-08:00 2017-12-19T00:00:00-08:00 2017-27230 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-12-19/pdf/2017-27230.pdf https://regulations.justia.com/regulations/fedreg/2017/12/19/2017-27229.html Notice - Self-Regulatory Organizations; the Options Clearing Corporation; Order Approving Proposed Rule Change Relating to The Options Clearing Corporation's Default Management Policy 2017-12-19T00:00:00-08:00 2017-12-19T00:00:00-08:00 2017-27229 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-12-19/pdf/2017-27229.pdf https://regulations.justia.com/regulations/fedreg/2017/12/19/2017-27228.html Notice - Self-Regulatory Organizations; The Options Clearing Corporation; Order Approving Proposed Rule Change Concerning Liquidity for Same Day Settlement 2017-12-19T00:00:00-08:00 2017-12-19T00:00:00-08:00 2017-27228 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-12-19/pdf/2017-27228.pdf https://regulations.justia.com/regulations/fedreg/2017/12/19/2017-27227.html Notice - Self-Regulatory Organizations; Cboe Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to the Fees Schedule 2017-12-19T00:00:00-08:00 2017-12-19T00:00:00-08:00 2017-27227 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-12-19/pdf/2017-27227.pdf https://regulations.justia.com/regulations/fedreg/2017/12/18/2017-27153.html Notice - Self-Regulatory Organizations; Cboe EDGX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Exchange Rule 11.8, Order Types 2017-12-18T00:00:00-08:00 2017-12-18T00:00:00-08:00 2017-27153 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-12-18/pdf/2017-27153.pdf