<![CDATA[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/2015/10/09?registers=between Sun, 22 Dec 2024 12:01:10 -0800 Sun, 22 Dec 2024 12:01:10 -0800 Justia Regulations Tracker Copyright 2011 Justia Inc. https://regulations.justia.com/images/justiafedregulations.gif <![CDATA[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/2015/10/09?registers=between Notice - Harvest Capital Credit Corporation, et al.; Notice of Application https://regulations.justia.com/regulations/fedreg/2015/10/09/2015-25760.html https://regulations.justia.com/regulations/fedreg/2015/10/09/2015-25760.html Fri, 09 Oct 2015 00:00:00 -0700 2015-25760 Notice http://www.gpo.gov/fdsys/pkg/FR-2015-10-09/pdf/2015-25760.pdf Notice - Equity Market Structure Advisory Committee https://regulations.justia.com/regulations/fedreg/2015/10/09/2015-25759.html https://regulations.justia.com/regulations/fedreg/2015/10/09/2015-25759.html Fri, 09 Oct 2015 00:00:00 -0700 2015-25759 Notice http://www.gpo.gov/fdsys/pkg/FR-2015-10-09/pdf/2015-25759.pdf Notice - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Order Approving a Proposed Rule Change, as Amended by Amendment No. 1, To Expand FINRA's Alternative Trading System Transparency Initiative by Publishing OTC Equity Volume Executed Outside ATSs https://regulations.justia.com/regulations/fedreg/2015/10/09/2015-25703.html https://regulations.justia.com/regulations/fedreg/2015/10/09/2015-25703.html Fri, 09 Oct 2015 00:00:00 -0700 2015-25703 Notice http://www.gpo.gov/fdsys/pkg/FR-2015-10-09/pdf/2015-25703.pdf Notice - Self-Regulatory Organizations; National Securities Clearing Corporation; Order Approving Proposed Rule Change to Enhance NSCC's Margining Methodology as Applied to Family-Issued Securities of Certain NSCC Members https://regulations.justia.com/regulations/fedreg/2015/10/09/2015-25702.html https://regulations.justia.com/regulations/fedreg/2015/10/09/2015-25702.html Fri, 09 Oct 2015 00:00:00 -0700 2015-25702 Notice http://www.gpo.gov/fdsys/pkg/FR-2015-10-09/pdf/2015-25702.pdf Notice - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Order Granting Approval of Proposed Rule Change, as Modified by Amendment Nos. 1 and 2 Thereto, Relating to the Listing and Trading of Shares of the First Trust SSI Strategic Convertible Securities ETF of First Trust Exchange-Traded Fund IV https://regulations.justia.com/regulations/fedreg/2015/10/09/2015-25701.html https://regulations.justia.com/regulations/fedreg/2015/10/09/2015-25701.html Fri, 09 Oct 2015 00:00:00 -0700 2015-25701 Notice http://www.gpo.gov/fdsys/pkg/FR-2015-10-09/pdf/2015-25701.pdf Notice - Self-Regulatory Organizations; National Securities Clearing Corporation; Notice of No Objection to Advance Notice Filing To Enhance NSCC's Margining Methodology as Applied to Family-Issued Securities of Certain NSCC Members https://regulations.justia.com/regulations/fedreg/2015/10/09/2015-25700.html https://regulations.justia.com/regulations/fedreg/2015/10/09/2015-25700.html Fri, 09 Oct 2015 00:00:00 -0700 2015-25700 Notice http://www.gpo.gov/fdsys/pkg/FR-2015-10-09/pdf/2015-25700.pdf Notice - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Its Price List To Change the Monthly Fees for the Use of Certain Ports https://regulations.justia.com/regulations/fedreg/2015/10/09/2015-25699.html https://regulations.justia.com/regulations/fedreg/2015/10/09/2015-25699.html Fri, 09 Oct 2015 00:00:00 -0700 2015-25699 Notice http://www.gpo.gov/fdsys/pkg/FR-2015-10-09/pdf/2015-25699.pdf Notice - Self-Regulatory Organizations; NYSE MKT LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Its Price List To Change the Monthly Fees for the Use of Certain Ports https://regulations.justia.com/regulations/fedreg/2015/10/09/2015-25698.html https://regulations.justia.com/regulations/fedreg/2015/10/09/2015-25698.html Fri, 09 Oct 2015 00:00:00 -0700 2015-25698 Notice http://www.gpo.gov/fdsys/pkg/FR-2015-10-09/pdf/2015-25698.pdf 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. https://regulations.justia.com/regulations/fedreg/2015/10/09/2015-25697.html https://regulations.justia.com/regulations/fedreg/2015/10/09/2015-25697.html Fri, 09 Oct 2015 00:00:00 -0700 2015-25697 Notice http://www.gpo.gov/fdsys/pkg/FR-2015-10-09/pdf/2015-25697.pdf