<![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/2015/10/16?registers=between Wed, 16 Jul 2025 03:07:06 -0700 Wed, 16 Jul 2025 03:07:06 -0700 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/2015/10/16?registers=between Notice - Self-Regulatory Organizations; New York Stock Exchange LLC; Order Approving Proposed Rule Change, Amending Section 907.00 of the Listed Company Manual (the “Manual”) To (i) Amend the Suite of Complimentary Products and Services That Are Offered to Certain Current and Newly Listed Companies, (ii) Update the Value of Complimentary Products and Services Offered to Listed Companies, and (iii) Provide That Complimentary Products and Services Would Also Be Offered to Companies That Transfer Their Listing to the Exchange From Another National Securities Exchange https://regulations.justia.com/regulations/fedreg/2015/10/16/2015-26336.html https://regulations.justia.com/regulations/fedreg/2015/10/16/2015-26336.html Fri, 16 Oct 2015 00:00:00 -0700 2015-26336 Notice http://www.gpo.gov/fdsys/pkg/FR-2015-10-16/pdf/2015-26336.pdf Notice - Self-Regulatory Organizations; Notice of Filing of Proposed Rule Change Amending Several Rules To Address Certain Order Handling Obligations on the Part of Its Floor Brokers https://regulations.justia.com/regulations/fedreg/2015/10/16/2015-26330.html https://regulations.justia.com/regulations/fedreg/2015/10/16/2015-26330.html Fri, 16 Oct 2015 00:00:00 -0700 2015-26330 Notice http://www.gpo.gov/fdsys/pkg/FR-2015-10-16/pdf/2015-26330.pdf Notice - Order Granting Limited Exemptions From Exchange Act Rule 10b-17 and Rules 101 and 102 of Regulation M to PowerShares DWA Tactical Sector Rotation Portfolio Pursuant to Exchange Act Rule 10b-17(b)(2) and Rules 101(d) and 102(e) of Regulation M https://regulations.justia.com/regulations/fedreg/2015/10/16/2015-26329.html https://regulations.justia.com/regulations/fedreg/2015/10/16/2015-26329.html Fri, 16 Oct 2015 00:00:00 -0700 2015-26329 Notice http://www.gpo.gov/fdsys/pkg/FR-2015-10-16/pdf/2015-26329.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/2015/10/16/2015-26328.html https://regulations.justia.com/regulations/fedreg/2015/10/16/2015-26328.html Fri, 16 Oct 2015 00:00:00 -0700 2015-26328 Notice http://www.gpo.gov/fdsys/pkg/FR-2015-10-16/pdf/2015-26328.pdf Notice - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Order Approving Proposed Rule Change To Adopt a Kill Switch for NOM https://regulations.justia.com/regulations/fedreg/2015/10/16/2015-26327.html https://regulations.justia.com/regulations/fedreg/2015/10/16/2015-26327.html Fri, 16 Oct 2015 00:00:00 -0700 2015-26327 Notice http://www.gpo.gov/fdsys/pkg/FR-2015-10-16/pdf/2015-26327.pdf Notice - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Extend the TRACE Pilot Program in FINRA Rule 6730(e)(4) https://regulations.justia.com/regulations/fedreg/2015/10/16/2015-26326.html https://regulations.justia.com/regulations/fedreg/2015/10/16/2015-26326.html Fri, 16 Oct 2015 00:00:00 -0700 2015-26326 Notice http://www.gpo.gov/fdsys/pkg/FR-2015-10-16/pdf/2015-26326.pdf Notice - Self-Regulatory Organizations; ICE Clear Credit LLC; Notice of Filing of Proposed Rule Change Related to the ICC Rule Enforcement Process for Missed Submissions https://regulations.justia.com/regulations/fedreg/2015/10/16/2015-26325.html https://regulations.justia.com/regulations/fedreg/2015/10/16/2015-26325.html Fri, 16 Oct 2015 00:00:00 -0700 2015-26325 Notice http://www.gpo.gov/fdsys/pkg/FR-2015-10-16/pdf/2015-26325.pdf Notice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change, as Modified by Amendment No. 1, Amending the Exchange's Fee Schedule To Eliminate the Sponsor Fee In Connection With Listing a New Derivative Securities Product on the Exchange https://regulations.justia.com/regulations/fedreg/2015/10/16/2015-26324.html https://regulations.justia.com/regulations/fedreg/2015/10/16/2015-26324.html Fri, 16 Oct 2015 00:00:00 -0700 2015-26324 Notice http://www.gpo.gov/fdsys/pkg/FR-2015-10-16/pdf/2015-26324.pdf Notice - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Order Granting Approval of Proposed Rule Change Relating to the Listing and Trading of the Shares of the AltShares Long/Short High Yield Fund of ETFis Series Trust I https://regulations.justia.com/regulations/fedreg/2015/10/16/2015-26323.html https://regulations.justia.com/regulations/fedreg/2015/10/16/2015-26323.html Fri, 16 Oct 2015 00:00:00 -0700 2015-26323 Notice http://www.gpo.gov/fdsys/pkg/FR-2015-10-16/pdf/2015-26323.pdf