Federal Register Recent Federal Regulation Documents - Justia Regulation Tracker

Federal Register Recent Federal Regulation Documents - Justia Regulation Tracker - Justia Regulations Tracker https://regulations.justia.com/regulations/fedreg/agencies/agencies-and-commissions/securities-and-exchange-commission/2015/04?limit=200&registers=between&min-day=1&max-day=30&mode=atom 2024-05-22T22:38:23-07:00 Justia Inc https://www.justia.com/ Justia Regulations Tracker https://regulations.justia.com/images/justiafedregulations.gif Copyright 2011 Justia Inc https://regulations.justia.com/regulations/fedreg/2015/04/30/2015-10187.html Notice - In the Matter of Jet Neko, Inc., Order of Suspension of Trading 2015-04-30T00:00:00-07:00 2015-04-30T00:00:00-07:00 2015-10187 Notice http://www.gpo.gov/fdsys/pkg/FR-2015-04-30/pdf/2015-10187.pdf https://regulations.justia.com/regulations/fedreg/2015/04/30/2015-10094.html Notice - Notice of Applications for Deregistration Under Section 8(f) of the Investment Company Act of 1940 2015-04-30T00:00:00-07:00 2015-04-30T00:00:00-07:00

2015-10094 Notice http://www.gpo.gov/fdsys/pkg/FR-2015-04-30/pdf/2015-10094.pdf https://regulations.justia.com/regulations/fedreg/2015/04/30/2015-10040.html Notice - Self-Regulatory Organizations; Miami International Securities Exchange LLC; Notice of Filing of a Proposed Rule Change To Amend Exchange Rule 515 2015-04-30T00:00:00-07:00 2015-04-30T00:00:00-07:00 2015-10040 Notice http://www.gpo.gov/fdsys/pkg/FR-2015-04-30/pdf/2015-10040.pdf https://regulations.justia.com/regulations/fedreg/2015/04/30/2015-10039.html Notice - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Delay the Implementation Date of Trade Reporting Amendments Approved Pursuant to SR-FINRA-2013-050 2015-04-30T00:00:00-07:00 2015-04-30T00:00:00-07:00 2015-10039 Notice http://www.gpo.gov/fdsys/pkg/FR-2015-04-30/pdf/2015-10039.pdf https://regulations.justia.com/regulations/fedreg/2015/04/30/2015-10038.html Notice - Self-Regulatory Organizations; International Securities Exchange, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the Schedule of Fees 2015-04-30T00:00:00-07:00 2015-04-30T00:00:00-07:00 2015-10038 Notice http://www.gpo.gov/fdsys/pkg/FR-2015-04-30/pdf/2015-10038.pdf https://regulations.justia.com/regulations/fedreg/2015/04/30/2015-10034.html Notice - Order Regarding Review of FASB Accounting Support Fee For 2015 Under Section 109 of the Sarbanes-Oxley Act of 2002 2015-04-30T00:00:00-07:00 2015-04-30T00:00:00-07:00 2015-10034 Notice http://www.gpo.gov/fdsys/pkg/FR-2015-04-30/pdf/2015-10034.pdf https://regulations.justia.com/regulations/fedreg/2015/04/29/C1-2015-08941.html Notice - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend NASDAQ Rules 7014 and 7018 2015-04-29T00:00:00-07:00 2015-04-29T00:00:00-07:00 C1-2015-08941 Notice http://www.gpo.gov/fdsys/pkg/FR-2015-04-29/pdf/C1-2015-08941.pdf https://regulations.justia.com/regulations/fedreg/2015/04/29/2015-10037.html Notice - Sunshine Act Meeting 2015-04-29T00:00:00-07:00 2015-04-29T00:00:00-07:00 2015-10037 Notice http://www.gpo.gov/fdsys/pkg/FR-2015-04-29/pdf/2015-10037.pdf https://regulations.justia.com/regulations/fedreg/2015/04/29/2015-09965.html Notice - Deutsche Bank AG, et al.; Notice of Application and Temporary Order 2015-04-29T00:00:00-07:00 2015-04-29T00:00:00-07:00

2015-09965 Notice http://www.gpo.gov/fdsys/pkg/FR-2015-04-29/pdf/2015-09965.pdf https://regulations.justia.com/regulations/fedreg/2015/04/29/2015-09964.html Notice - Hartford Funds NextShares Trust, et al.; Notice of Application 2015-04-29T00:00:00-07:00 2015-04-29T00:00:00-07:00 2015-09964 Notice http://www.gpo.gov/fdsys/pkg/FR-2015-04-29/pdf/2015-09964.pdf https://regulations.justia.com/regulations/fedreg/2015/04/29/2015-09963.html Notice - Gabelli ETMF Trust, et al.; Notice of Application 2015-04-29T00:00:00-07:00 2015-04-29T00:00:00-07:00 2015-09963 Notice http://www.gpo.gov/fdsys/pkg/FR-2015-04-29/pdf/2015-09963.pdf https://regulations.justia.com/regulations/fedreg/2015/04/29/2015-09920.html Notice - Self-Regulatory Organizations; NASDAQ OMX PHLX LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Delete Outdated Rule Language Contained in Rule 1019 and Options Floor Procedures Advices 2015-04-29T00:00:00-07:00 2015-04-29T00:00:00-07:00 2015-09920 Notice http://www.gpo.gov/fdsys/pkg/FR-2015-04-29/pdf/2015-09920.pdf https://regulations.justia.com/regulations/fedreg/2015/04/29/2015-09919.html Notice - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing of Proposed Rule Change, as Modified by Amendments Nos. 1 and 2 Thereto, Relating to the Listing and Trading of the Shares of 18 Eaton Vance NextShares ETMFs of Either the Eaton Vance ETMF Trust or the Eaton Vance ETMF Trust II 2015-04-29T00:00:00-07:00 2015-04-29T00:00:00-07:00 2015-09919 Notice http://www.gpo.gov/fdsys/pkg/FR-2015-04-29/pdf/2015-09919.pdf https://regulations.justia.com/regulations/fedreg/2015/04/29/2015-09918.html Notice - Self-Regulatory Organizations; NYSE Arca, Inc.; Order Granting Approval of Proposed Rule Change To Eliminate Additional Order Type Combinations, Delete Related Rule Text, Restructure the Remaining Rule Text in NYSE Arca Equities Rule 7.31, and Make Other Clarifying Changes to Its Rules 2015-04-29T00:00:00-07:00 2015-04-29T00:00:00-07:00 2015-09918 Notice http://www.gpo.gov/fdsys/pkg/FR-2015-04-29/pdf/2015-09918.pdf https://regulations.justia.com/regulations/fedreg/2015/04/29/2015-09917.html Notice - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Postpone Implementation of Changes to Rules 4751(h) and 4754(b) Relating to the Closing Process 2015-04-29T00:00:00-07:00 2015-04-29T00:00:00-07:00 2015-09917 Notice http://www.gpo.gov/fdsys/pkg/FR-2015-04-29/pdf/2015-09917.pdf https://regulations.justia.com/regulations/fedreg/2015/04/29/2015-09916.html Notice - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to Submission of Financial Reports 2015-04-29T00:00:00-07:00 2015-04-29T00:00:00-07:00 2015-09916 Notice http://www.gpo.gov/fdsys/pkg/FR-2015-04-29/pdf/2015-09916.pdf https://regulations.justia.com/regulations/fedreg/2015/04/28/2015-09841.html Notice - Self-Regulatory Organizations; SS&C Technologies, Inc.; Notice of Filing of Application for Exemption From Registration as a Clearing Agency 2015-04-28T00:00:00-07:00 2015-04-28T00:00:00-07:00 2015-09841 Notice http://www.gpo.gov/fdsys/pkg/FR-2015-04-28/pdf/2015-09841.pdf https://regulations.justia.com/regulations/fedreg/2015/04/28/2015-09792.html Notice - Equity Market Structure Advisory Committee 2015-04-28T00:00:00-07:00 2015-04-28T00:00:00-07:00

2015-09792 Notice http://www.gpo.gov/fdsys/pkg/FR-2015-04-28/pdf/2015-09792.pdf https://regulations.justia.com/regulations/fedreg/2015/04/28/2015-09766.html Notice - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Designation of a Longer Period for Commission Action on Proposed Rule Change Related to Equipment and Communication on the Exchange's Trading Floor 2015-04-28T00:00:00-07:00 2015-04-28T00:00:00-07:00 2015-09766 Notice http://www.gpo.gov/fdsys/pkg/FR-2015-04-28/pdf/2015-09766.pdf https://regulations.justia.com/regulations/fedreg/2015/04/28/2015-09765.html Notice - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to NASDAQ Market Center Participant Registration and Sponsored Access 2015-04-28T00:00:00-07:00 2015-04-28T00:00:00-07:00 2015-09765 Notice http://www.gpo.gov/fdsys/pkg/FR-2015-04-28/pdf/2015-09765.pdf https://regulations.justia.com/regulations/fedreg/2015/04/28/2015-09764.html Notice - Self-Regulatory Organizations; Notice of Filing and Immediate Effectiveness of Proposed Rule Change by NASDAQ OMX BX, Inc. Relating to NASDAQ OMX BX Equities Market Participant Registration and Sponsored Access 2015-04-28T00:00:00-07:00 2015-04-28T00:00:00-07:00 2015-09764 Notice http://www.gpo.gov/fdsys/pkg/FR-2015-04-28/pdf/2015-09764.pdf https://regulations.justia.com/regulations/fedreg/2015/04/28/2015-09763.html Notice - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Order Granting Approval of Proposed Rule Change, as Modified by Amendment No. 1 Thereto, Relating to the Listing and Trading of the Shares of the WisdomTree Western Unconstrained Bond Fund of the WisdomTree Trust 2015-04-28T00:00:00-07:00 2015-04-28T00:00:00-07:00 2015-09763 Notice http://www.gpo.gov/fdsys/pkg/FR-2015-04-28/pdf/2015-09763.pdf https://regulations.justia.com/regulations/fedreg/2015/04/27/2015-09789.html Notice - Sunshine Act Meeting. 2015-04-27T00:00:00-07:00 2015-04-27T00:00:00-07:00 2015-09789 Notice http://www.gpo.gov/fdsys/pkg/FR-2015-04-27/pdf/2015-09789.pdf https://regulations.justia.com/regulations/fedreg/2015/04/27/2015-09629.html Notice - Self-Regulatory Organizations; ISE Gemini, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Its Information Barrier Rules 2015-04-27T00:00:00-07:00 2015-04-27T00:00:00-07:00 2015-09629 Notice http://www.gpo.gov/fdsys/pkg/FR-2015-04-27/pdf/2015-09629.pdf https://regulations.justia.com/regulations/fedreg/2015/04/27/2015-09628.html Notice - Self-Regulatory Organizations; NASDAQ OMX BX, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Exchange Rules 7001, 7003 and 7018 2015-04-27T00:00:00-07:00 2015-04-27T00:00:00-07:00 2015-09628 Notice http://www.gpo.gov/fdsys/pkg/FR-2015-04-27/pdf/2015-09628.pdf https://regulations.justia.com/regulations/fedreg/2015/04/27/2015-09627.html Notice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Modifying the Manner in Which It Calculates Volume, Liquidity and Quoting Thresholds Applicable to Billing on the Exchange on March 31, 2015 2015-04-27T00:00:00-07:00 2015-04-27T00:00:00-07:00 2015-09627 Notice http://www.gpo.gov/fdsys/pkg/FR-2015-04-27/pdf/2015-09627.pdf https://regulations.justia.com/regulations/fedreg/2015/04/24/2015-09685.html Notice - In the Matter of First American Scientific Corp., Order of Suspension of Trading 2015-04-24T00:00:00-07:00 2015-04-24T00:00:00-07:00 2015-09685 Notice http://www.gpo.gov/fdsys/pkg/FR-2015-04-24/pdf/2015-09685.pdf https://regulations.justia.com/regulations/fedreg/2015/04/24/2015-09556.html Notice - D-W Investments LLC; Notice of Application 2015-04-24T00:00:00-07:00 2015-04-24T00:00:00-07:00

2015-09556 Notice http://www.gpo.gov/fdsys/pkg/FR-2015-04-24/pdf/2015-09556.pdf https://regulations.justia.com/regulations/fedreg/2015/04/24/2015-09498.html Notice - Self-Regulatory Organizations; BATS Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Related to Fees for Use of BATS Exchange, Inc. 2015-04-24T00:00:00-07:00 2015-04-24T00:00:00-07:00 2015-09498 Notice http://www.gpo.gov/fdsys/pkg/FR-2015-04-24/pdf/2015-09498.pdf https://regulations.justia.com/regulations/fedreg/2015/04/24/2015-09497.html Notice - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing of Proposed Rule Change to Amend the Seventh Amended and Restated Operating Agreement of the New York Stock Exchange LLC. 2015-04-24T00:00:00-07:00 2015-04-24T00:00:00-07:00 2015-09497 Notice http://www.gpo.gov/fdsys/pkg/FR-2015-04-24/pdf/2015-09497.pdf https://regulations.justia.com/regulations/fedreg/2015/04/24/2015-09496.html Notice - Proposed Collection; Comment Request 2015-04-24T00:00:00-07:00 2015-04-24T00:00:00-07:00 2015-09496 Notice http://www.gpo.gov/fdsys/pkg/FR-2015-04-24/pdf/2015-09496.pdf https://regulations.justia.com/regulations/fedreg/2015/04/24/2015-09495.html Notice - Proposed Collection; Comment Request 2015-04-24T00:00:00-07:00 2015-04-24T00:00:00-07:00 2015-09495 Notice http://www.gpo.gov/fdsys/pkg/FR-2015-04-24/pdf/2015-09495.pdf https://regulations.justia.com/regulations/fedreg/2015/04/23/2015-09555.html Notice - ForceField Energy Inc.; Order of Suspension of Trading 2015-04-23T00:00:00-07:00 2015-04-23T00:00:00-07:00 2015-09555 Notice http://www.gpo.gov/fdsys/pkg/FR-2015-04-23/pdf/2015-09555.pdf https://regulations.justia.com/regulations/fedreg/2015/04/23/2015-09432.html Notice - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to HGX and OSX 2015-04-23T00:00:00-07:00 2015-04-23T00:00:00-07:00 2015-09432 Notice http://www.gpo.gov/fdsys/pkg/FR-2015-04-23/pdf/2015-09432.pdf https://regulations.justia.com/regulations/fedreg/2015/04/23/2015-09431.html Notice - Self-Regulatory Organizations; EDGA Exchange, Inc.; Notice of Designation of Longer Period for Commission Action on a Proposed Rule Change, as Modified by Amendment No. 1, To Amend Rules 11.6, 11.8, 11.9, 11.10 and 11.11 of EDGA Exchange, Inc. 2015-04-23T00:00:00-07:00 2015-04-23T00:00:00-07:00 2015-09431 Notice http://www.gpo.gov/fdsys/pkg/FR-2015-04-23/pdf/2015-09431.pdf https://regulations.justia.com/regulations/fedreg/2015/04/23/2015-09430.html Notice - Self-Regulatory Organizations; EDGX Exchange, Inc.; Notice of Designation of Longer Period for Commission Action on a Proposed Rule Change, as Modified by Amendment No. 1, To Amend Rules 11.6, 11.8, 11.9, 11.10 and 11.11 of EDGX Exchange, Inc. 2015-04-23T00:00:00-07:00 2015-04-23T00:00:00-07:00 2015-09430 Notice http://www.gpo.gov/fdsys/pkg/FR-2015-04-23/pdf/2015-09430.pdf https://regulations.justia.com/regulations/fedreg/2015/04/23/2015-09429.html Notice - Self-Regulatory Organizations; Chicago Mercantile Exchange Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Regarding Liquidity Risk Management 2015-04-23T00:00:00-07:00 2015-04-23T00:00:00-07:00 2015-09429 Notice http://www.gpo.gov/fdsys/pkg/FR-2015-04-23/pdf/2015-09429.pdf https://regulations.justia.com/regulations/fedreg/2015/04/23/2015-09428.html Notice - Self-Regulatory Organizations; NYSE MKT LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Modifying the NYSE Amex Options Fee Schedule Relating to the Amex Customer Engagement Program 2015-04-23T00:00:00-07:00 2015-04-23T00:00:00-07:00 2015-09428 Notice http://www.gpo.gov/fdsys/pkg/FR-2015-04-23/pdf/2015-09428.pdf https://regulations.justia.com/regulations/fedreg/2015/04/23/2015-09427.html Notice - Self-Regulatory Organizations; Miami International Securities Exchange LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Establish the MIAX Order Feed 2015-04-23T00:00:00-07:00 2015-04-23T00:00:00-07:00 2015-09427 Notice http://www.gpo.gov/fdsys/pkg/FR-2015-04-23/pdf/2015-09427.pdf https://regulations.justia.com/regulations/fedreg/2015/04/23/2015-09426.html Notice - Self-Regulatory Organizations; Miami International Securities Exchange LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Its Fee Schedule 2015-04-23T00:00:00-07:00 2015-04-23T00:00:00-07:00 2015-09426 Notice http://www.gpo.gov/fdsys/pkg/FR-2015-04-23/pdf/2015-09426.pdf https://regulations.justia.com/regulations/fedreg/2015/04/23/2015-09425.html Notice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Designation of a Longer Period for Commission Action on Proposed Rule Change To Amend NYSE Arca Equities Rule 8.600 To Adopt Generic Listing Standards for Managed Fund Shares 2015-04-23T00:00:00-07:00 2015-04-23T00:00:00-07:00 2015-09425 Notice http://www.gpo.gov/fdsys/pkg/FR-2015-04-23/pdf/2015-09425.pdf https://regulations.justia.com/regulations/fedreg/2015/04/22/2015-09272.html Notice - Self-Regulatory Organizations; BATS Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Exchange Rule 3.5 (Advertising Practices) and Repeal Exchange Rule 3.20 (Initial or Partial Payments) 2015-04-22T00:00:00-07:00 2015-04-22T00:00:00-07:00 2015-09272 Notice http://www.gpo.gov/fdsys/pkg/FR-2015-04-22/pdf/2015-09272.pdf https://regulations.justia.com/regulations/fedreg/2015/04/22/2015-09271.html Notice - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Order Approving a Proposed Rule Change, as Modified by Amendments No. 1 and No. 2, To List and Trade the Shares of the First Trust Strategic Floating Rate ETF of First Trust Exchange-Traded Fund IV 2015-04-22T00:00:00-07:00 2015-04-22T00:00:00-07:00 2015-09271 Notice http://www.gpo.gov/fdsys/pkg/FR-2015-04-22/pdf/2015-09271.pdf https://regulations.justia.com/regulations/fedreg/2015/04/22/2015-09270.html Notice - Self-Regulatory Organizations; ICE Clear Europe Limited; Notice of Designation of Longer Period for Commission Action on Proposed Rule Change Relating to CDS Procedures for CDX North America Index CDS Contracts 2015-04-22T00:00:00-07:00 2015-04-22T00:00:00-07:00 2015-09270 Notice http://www.gpo.gov/fdsys/pkg/FR-2015-04-22/pdf/2015-09270.pdf https://regulations.justia.com/regulations/fedreg/2015/04/22/2015-09269.html Notice - Self-Regulatory Organizations; BATS Y-Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Exchange Rule 3.5 (Advertising Practices) and Repeal Exchange Rule 3.20 (Initial or Partial Payments) 2015-04-22T00:00:00-07:00 2015-04-22T00:00:00-07:00 2015-09269 Notice http://www.gpo.gov/fdsys/pkg/FR-2015-04-22/pdf/2015-09269.pdf https://regulations.justia.com/regulations/fedreg/2015/04/22/2015-09268.html Notice - Self-Regulatory Organizations; BATS Y-Exchange, Inc.; Order Granting Approval of a Proposed Rule Change To Amend Rules 11.9, 11.12, and 11.13 of BATS Y-Exchange, Inc. 2015-04-22T00:00:00-07:00 2015-04-22T00:00:00-07:00 2015-09268 Notice http://www.gpo.gov/fdsys/pkg/FR-2015-04-22/pdf/2015-09268.pdf https://regulations.justia.com/regulations/fedreg/2015/04/22/2015-09267.html Notice - Self-Regulatory Organizations; BATS Exchange, Inc.; Order Granting Approval of a Proposed Rule Change To Amend Rules 11.9, 11.12, and 11.13 of BATS Exchange, Inc. 2015-04-22T00:00:00-07:00 2015-04-22T00:00:00-07:00 2015-09267 Notice http://www.gpo.gov/fdsys/pkg/FR-2015-04-22/pdf/2015-09267.pdf https://regulations.justia.com/regulations/fedreg/2015/04/22/2015-09266.html Notice - Self-Regulatory Organizations; The Options Clearing Corporation; Order Approving Proposed Rule Change Concerning the Execution of an Agreement for Clearing and Settlement Services Between OCC and NASDAQ Futures, Inc. 2015-04-22T00:00:00-07:00 2015-04-22T00:00:00-07:00 2015-09266 Notice http://www.gpo.gov/fdsys/pkg/FR-2015-04-22/pdf/2015-09266.pdf https://regulations.justia.com/regulations/fedreg/2015/04/22/2015-09265.html Notice - Self-Regulatory Organizations; NASDAQ OMX PHLX LLC; Notice of Filing of Amendment No. 2 and Designation of Longer Period for Commission Action on Proceedings To Determine Whether To Approve or Disapprove Proposed Rule Change, as Modified by Amendment No. 2, To Adopt New Exchange Rule 1081, Solicitation Mechanism, To Introduce a New Electronic Solicitation Mechanism 2015-04-22T00:00:00-07:00 2015-04-22T00:00:00-07:00 2015-09265 Notice http://www.gpo.gov/fdsys/pkg/FR-2015-04-22/pdf/2015-09265.pdf https://regulations.justia.com/regulations/fedreg/2015/04/22/2015-09264.html Notice - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Establish Distributor and Managed Data Solution Distributor Fees for an Optional Hardware-Based Version of NASDAQ ITCH to Trade Options 2015-04-22T00:00:00-07:00 2015-04-22T00:00:00-07:00 2015-09264 Notice http://www.gpo.gov/fdsys/pkg/FR-2015-04-22/pdf/2015-09264.pdf