Securities and Exchange Commission – Federal Register Recent Federal Regulation Documents

Self-Regulatory Organizations; NYSE National, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Rule 7.31 Relating to Reserve Orders and Re-Name Two Order Types

Document Number: 2018-18571

Type: Notice

Date: 2018-08-28

Agency: Securities and Exchange Commission, Agencies and Commissions

https://regulations.justia.com/regulations/fedreg/2018/08/28/2018-18571.html

Self-Regulatory Organizations; NYSE American LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Rule 7.31E Relating to Reserve Orders and Re-Name an Order Type

Document Number: 2018-18570

Type: Notice

Date: 2018-08-28

Agency: Securities and Exchange Commission, Agencies and Commissions

https://regulations.justia.com/regulations/fedreg/2018/08/28/2018-18570.html

Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the Independence Policy of the Board of Directors of the Exchange

Document Number: 2018-18428

Type: Notice

Date: 2018-08-27

Agency: Securities and Exchange Commission, Agencies and Commissions

https://regulations.justia.com/regulations/fedreg/2018/08/27/2018-18428.html

Tortoise Capital Advisors, L.L.C., et al.

Document Number: 2018-18427

Type: Notice

Date: 2018-08-27

Agency: Securities and Exchange Commission, Agencies and Commissions

https://regulations.justia.com/regulations/fedreg/2018/08/27/2018-18427.html

Self-Regulatory Organizations; BOX Options Exchange LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Make a Number of Non-Substantive Changes to the Rulebook

Document Number: 2018-18426

Type: Notice

Date: 2018-08-27

Agency: Securities and Exchange Commission, Agencies and Commissions

https://regulations.justia.com/regulations/fedreg/2018/08/27/2018-18426.html

Cushing Asset Management, LP et al.

Document Number: 2018-18419

Type: Notice

Date: 2018-08-27

Agency: Securities and Exchange Commission, Agencies and Commissions

https://regulations.justia.com/regulations/fedreg/2018/08/27/2018-18419.html

Submission for OMB Review; Comment Request

Document Number: 2018-18365

Type: Notice

Date: 2018-08-24

Agency: Securities and Exchange Commission, Agencies and Commissions

https://regulations.justia.com/regulations/fedreg/2018/08/24/2018-18365.html

60 Day Notice-Proposed Collection; Comment Request

Document Number: 2018-18362

Type: Notice

Date: 2018-08-24

Agency: Securities and Exchange Commission, Agencies and Commissions

https://regulations.justia.com/regulations/fedreg/2018/08/24/2018-18362.html

Proposed Collection; Comment Request

Document Number: 2018-18361

Type: Notice

Date: 2018-08-24

Agency: Securities and Exchange Commission, Agencies and Commissions

https://regulations.justia.com/regulations/fedreg/2018/08/24/2018-18361.html

Proposed Collection; Comment Request

Document Number: 2018-18360

Type: Notice

Date: 2018-08-24

Agency: Securities and Exchange Commission, Agencies and Commissions

https://regulations.justia.com/regulations/fedreg/2018/08/24/2018-18360.html

Proposed Collection; Comment Request

Document Number: 2018-18359

Type: Notice

Date: 2018-08-24

Agency: Securities and Exchange Commission, Agencies and Commissions

https://regulations.justia.com/regulations/fedreg/2018/08/24/2018-18359.html

Proposed Collection; Comment Request

Document Number: 2018-18358

Type: Notice

Date: 2018-08-24

Agency: Securities and Exchange Commission, Agencies and Commissions

https://regulations.justia.com/regulations/fedreg/2018/08/24/2018-18358.html

Self-Regulatory Organizations; Cboe Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Rule 6.53, Certain Types of Orders Defined and Rule 6.53C, Complex Orders on the Hybrid System

Document Number: 2018-18295

Type: Notice

Date: 2018-08-24

Agency: Securities and Exchange Commission, Agencies and Commissions

https://regulations.justia.com/regulations/fedreg/2018/08/24/2018-18295.html

Self-Regulatory Organizations; The Nasdaq Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Codify the Definitions of the Protocols to Enter Quotes and Orders

Document Number: 2018-18294

Type: Notice

Date: 2018-08-24

Agency: Securities and Exchange Commission, Agencies and Commissions

https://regulations.justia.com/regulations/fedreg/2018/08/24/2018-18294.html

Self-Regulatory Organizations; NYSE American LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the Independence Policy of the Board of Directors of the Exchange

Document Number: 2018-18293

Type: Notice

Date: 2018-08-24

Agency: Securities and Exchange Commission, Agencies and Commissions

https://regulations.justia.com/regulations/fedreg/2018/08/24/2018-18293.html

Order Granting Applications by Nasdaq ISE, LLC, Nasdaq GEMX, LLC, and Nasdaq MRX, 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

Document Number: 2018-18278

Type: Notice

Date: 2018-08-23

Agency: Securities and Exchange Commission, Agencies and Commissions

https://regulations.justia.com/regulations/fedreg/2018/08/23/2018-18278.html

Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing of a Proposed Rule Change To Amend FINRA Rule 6710 To Modify the Dissemination Protocols for Agency Debt Securities

Document Number: 2018-18167

Type: Notice

Date: 2018-08-23

Agency: Securities and Exchange Commission, Agencies and Commissions

https://regulations.justia.com/regulations/fedreg/2018/08/23/2018-18167.html

Self-Regulatory Organizations; Cboe EDGX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the Options Regulatory Fee

Document Number: 2018-18166

Type: Notice

Date: 2018-08-23

Agency: Securities and Exchange Commission, Agencies and Commissions

https://regulations.justia.com/regulations/fedreg/2018/08/23/2018-18166.html

Self-Regulatory Organizations; Cboe EDGX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the Options Regulatory Fee

Document Number: 2018-18165

Type: Notice

Date: 2018-08-23

Agency: Securities and Exchange Commission, Agencies and Commissions

https://regulations.justia.com/regulations/fedreg/2018/08/23/2018-18165.html

Self-Regulatory Organizations; Cboe BZX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the Options Regulatory Fee

Document Number: 2018-18164

Type: Notice

Date: 2018-08-23

Agency: Securities and Exchange Commission, Agencies and Commissions

https://regulations.justia.com/regulations/fedreg/2018/08/23/2018-18164.html

Self-Regulatory Organizations; Cboe BZX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the Options Regulatory Fee

Document Number: 2018-18163

Type: Notice

Date: 2018-08-23

Agency: Securities and Exchange Commission, Agencies and Commissions

https://regulations.justia.com/regulations/fedreg/2018/08/23/2018-18163.html

Self-Regulatory Organizations; Cboe Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the Options Regulatory Fee

Document Number: 2018-18162

Type: Notice

Date: 2018-08-23

Agency: Securities and Exchange Commission, Agencies and Commissions

https://regulations.justia.com/regulations/fedreg/2018/08/23/2018-18162.html

Self-Regulatory Organizations; Cboe C2 Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the Options Regulatory Fee

Document Number: 2018-18161

Type: Notice

Date: 2018-08-23

Agency: Securities and Exchange Commission, Agencies and Commissions

https://regulations.justia.com/regulations/fedreg/2018/08/23/2018-18161.html

Self-Regulatory Organizations; Cboe Exchange, Inc.; Notice of Filing of a Proposed Rule Change Relating To Amend Rule 6.21., Give Up of a Clearing Trading Permit Holder

Document Number: 2018-18160

Type: Notice

Date: 2018-08-23

Agency: Securities and Exchange Commission, Agencies and Commissions

https://regulations.justia.com/regulations/fedreg/2018/08/23/2018-18160.html

Self-Regulatory Organizations; The Depository Trust Company; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the Process of the Reduction of Dividend or Interest Payments to a Participant on Treasury Shares or Repurchased Debt Securities

Document Number: 2018-18159

Type: Notice

Date: 2018-08-23

Agency: Securities and Exchange Commission, Agencies and Commissions

https://regulations.justia.com/regulations/fedreg/2018/08/23/2018-18159.html

Self-Regulatory Organizations; Cboe Exchange, Inc.; Notice of Filing of a Proposed Rule Change To Adopt Exchange Rule 6.57, Risk-Weighted Assets (“RWA”) Transactions

Document Number: 2018-18158

Type: Notice

Date: 2018-08-23

Agency: Securities and Exchange Commission, Agencies and Commissions

https://regulations.justia.com/regulations/fedreg/2018/08/23/2018-18158.html

Self-Regulatory Organizations; Nasdaq BX, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Codify the Definitions of the Protocols To Enter Quotes and Orders

Document Number: 2018-18157

Type: Notice

Date: 2018-08-23

Agency: Securities and Exchange Commission, Agencies and Commissions

https://regulations.justia.com/regulations/fedreg/2018/08/23/2018-18157.html

Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing of a Proposed Rule Change To Amend FINRA Rule 7730 (Trade Reporting and Compliance Engine (TRACE)) To Remove Computer-to-Computer Interface as a Technological Option for TRACE Reporting

Document Number: 2018-18156

Type: Notice

Date: 2018-08-23

Agency: Securities and Exchange Commission, Agencies and Commissions

https://regulations.justia.com/regulations/fedreg/2018/08/23/2018-18156.html

Investor Advisory Committee Meeting

Document Number: 2018-18131

Type: Notice

Date: 2018-08-22

Agency: Securities and Exchange Commission, Agencies and Commissions

The Securities and Exchange Commission Investor Advisory Committee, established pursuant to Section 911 of the Dodd-Frank Wall Street Reform and Consumer Protection Act of 2010, is providing notice that it will hold a public meeting. The public is invited to submit written statements to the Committee.

https://regulations.justia.com/regulations/fedreg/2018/08/22/2018-18131.html

Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend FINRA Rule 1220(a)(4), Financial and Operations Principal and Introducing Broker-Dealer Financial and Operations Principal

Document Number: 2018-18065

Type: Notice

Date: 2018-08-22

Agency: Securities and Exchange Commission, Agencies and Commissions

https://regulations.justia.com/regulations/fedreg/2018/08/22/2018-18065.html

Self-Regulatory Organizations; Nasdaq PHLX LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Codify the Definitions of the Protocols To Enter Quotes and Orders

Document Number: 2018-18064

Type: Notice

Date: 2018-08-22

Agency: Securities and Exchange Commission, Agencies and Commissions

https://regulations.justia.com/regulations/fedreg/2018/08/22/2018-18064.html

Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Designation of a Longer Period for Commission Action on a Proposed Rule Change To Provide for the Listing of Exchange Traded Products With No Component NMS Stock Listed on the Exchange, Amend Its Rules Regarding Unlisted Trading Privileges, and Make Corresponding Changes

Document Number: 2018-18063

Type: Notice

Date: 2018-08-22

Agency: Securities and Exchange Commission, Agencies and Commissions

https://regulations.justia.com/regulations/fedreg/2018/08/22/2018-18063.html

Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend FINRA Rule 7620A Relating to Fees Applicable to the FINRA/Nasdaq Trade Reporting Facilities

Document Number: 2018-18062

Type: Notice

Date: 2018-08-22

Agency: Securities and Exchange Commission, Agencies and Commissions

https://regulations.justia.com/regulations/fedreg/2018/08/22/2018-18062.html

Self-Regulatory Organizations: Investors Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the Definition of the Cross Price Constraint Utilized in the Opening Process for Non-IEX-Listed Securities Pursuant to Rule 11.231

Document Number: 2018-18060

Type: Notice

Date: 2018-08-22

Agency: Securities and Exchange Commission, Agencies and Commissions

https://regulations.justia.com/regulations/fedreg/2018/08/22/2018-18060.html

Self-Regulatory Organizations; The Nasdaq Stock Market LLC; Notice of Designation of a Longer Period for Commission Action on Proceedings To Determine Whether To Approve or Disapprove a Proposed Rule Change To Modify the Listing Requirements Contained in Listing Rule 5635(d) To Change the Definition of Market Value for Purposes of the Shareholder Approval Rule and Eliminate the Requirement for Shareholder Approval of Issuances at a Price Less Than Book Value but Greater Than Market Value

Document Number: 2018-18059

Type: Notice

Date: 2018-08-22

Agency: Securities and Exchange Commission, Agencies and Commissions

https://regulations.justia.com/regulations/fedreg/2018/08/22/2018-18059.html

Self-Regulatory Organizations; The Nasdaq Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Adopt Initial and Continued Listing Standards for Subscription Receipts and Fees for Their Listing

Document Number: 2018-18058

Type: Notice

Date: 2018-08-22

Agency: Securities and Exchange Commission, Agencies and Commissions

https://regulations.justia.com/regulations/fedreg/2018/08/22/2018-18058.html

Self-Regulatory Organizations; ICE Clear Credit LLC; Notice of Designation of Longer Period for Commission Action on Proposed Rule Change Relating to the Clearance of an Additional Credit Default Swap Contract

Document Number: 2018-18057

Type: Notice

Date: 2018-08-22

Agency: Securities and Exchange Commission, Agencies and Commissions

https://regulations.justia.com/regulations/fedreg/2018/08/22/2018-18057.html

Sunshine Act Meetings

Document Number: 2018-18069

Type: Notice

Date: 2018-08-21

Agency: Securities and Exchange Commission, Agencies and Commissions

https://regulations.justia.com/regulations/fedreg/2018/08/21/2018-18069.html

Self-Regulatory Organizations; Cboe EDGA Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Related to Fees for Use on Cboe EDGA Exchange, Inc.

Document Number: 2018-17960

Type: Notice

Date: 2018-08-21

Agency: Securities and Exchange Commission, Agencies and Commissions

https://regulations.justia.com/regulations/fedreg/2018/08/21/2018-17960.html

Self-Regulatory Organizations; Cboe EDGX Exchange, Inc.; Notice of Filing of a Proposed Rule Change To Permit the Listing and Trading of Options That Overlie the Mini-SPX Index, the Russell 2000 Index, and the Dow Jones Industrial Average

Document Number: 2018-17959

Type: Notice

Date: 2018-08-21

Agency: Securities and Exchange Commission, Agencies and Commissions

https://regulations.justia.com/regulations/fedreg/2018/08/21/2018-17959.html

Order Granting Petition for Review and Scheduling Filing of Statements

Document Number: 2018-17958

Type: Notice

Date: 2018-08-21

Agency: Securities and Exchange Commission, Agencies and Commissions

https://regulations.justia.com/regulations/fedreg/2018/08/21/2018-17958.html

Self-Regulatory Organizations; Cboe BZX Exchange, Inc.; Notice of Filing of a Proposed Rule Change To Permit the Listing and Trading of Options That Overlie the Mini-SPX Index, the Russell 2000 Index, and the Dow Jones Industrial Average

Document Number: 2018-17957

Type: Notice

Date: 2018-08-21

Agency: Securities and Exchange Commission, Agencies and Commissions

https://regulations.justia.com/regulations/fedreg/2018/08/21/2018-17957.html

Self-Regulatory Organizations; Fixed Income Clearing Corporation; Notice of Filing of Proposed Rule Change To Apply Government Securities Division Corporation Default Rule to Sponsored Members and Make Other Changes

Document Number: 2018-17956

Type: Notice

Date: 2018-08-21

Agency: Securities and Exchange Commission, Agencies and Commissions

https://regulations.justia.com/regulations/fedreg/2018/08/21/2018-17956.html

AXA Equitable Life Insurance Company, et al.

Document Number: 2018-17936

Type: Notice

Date: 2018-08-21

Agency: Securities and Exchange Commission, Agencies and Commissions

https://regulations.justia.com/regulations/fedreg/2018/08/21/2018-17936.html

Self-Regulatory Organizations: Notice of Filing and Immediate Effectiveness of a Proposed Rule Change by Miami International Securities Exchange LLC To Amend Its Fee Schedule

Document Number: 2018-17849

Type: Notice

Date: 2018-08-20

Agency: Securities and Exchange Commission, Agencies and Commissions

https://regulations.justia.com/regulations/fedreg/2018/08/20/2018-17849.html

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

Document Number: 2018-17833

Type: Notice

Date: 2018-08-20

Agency: Securities and Exchange Commission, Agencies and Commissions

https://regulations.justia.com/regulations/fedreg/2018/08/20/2018-17833.html

Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing of Proposed Rule Change, as Modified by Amendment No. 1, To List and Trade Shares of the Amplify BlackSwan Growth & Treasury Core ETF Under Commentary .02 to NYSE Arca Rule 5.2-E(j)(3)

Document Number: 2018-17832

Type: Notice

Date: 2018-08-20

Agency: Securities and Exchange Commission, Agencies and Commissions

https://regulations.justia.com/regulations/fedreg/2018/08/20/2018-17832.html

Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Designation of a Longer Period for Commission Action on a Proposed Rule Change Regarding Investments of the REX BKCM ETF

Document Number: 2018-17831

Type: Notice

Date: 2018-08-20

Agency: Securities and Exchange Commission, Agencies and Commissions

https://regulations.justia.com/regulations/fedreg/2018/08/20/2018-17831.html

Self-Regulatory Organizations; NYSE National, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Its Schedule of Fees and Rebates

Document Number: 2018-17830

Type: Notice

Date: 2018-08-20

Agency: Securities and Exchange Commission, Agencies and Commissions

https://regulations.justia.com/regulations/fedreg/2018/08/20/2018-17830.html

Self-Regulatory Organizations; NYSE American LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Rules 903 and 903A

Document Number: 2018-17829

Type: Notice

Date: 2018-08-20

Agency: Securities and Exchange Commission, Agencies and Commissions

https://regulations.justia.com/regulations/fedreg/2018/08/20/2018-17829.html