<![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/2015/10/28?registers=between Tue, 15 Jul 2025 04:20:27 -0700 Tue, 15 Jul 2025 04:20:27 -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/2015/10/28?registers=between Notice - Joint Industry Plan; Order Approving the Ninth Amendment to the National Market System Plan to Address Extraordinary Market Volatility by BATS Exchange, Inc., BATS Y-Exchange, Inc., Chicago Board Options Exchange, Incorporated, Chicago Stock Exchange, Inc., EDGA Exchange, Inc., EDGX Exchange, Inc., Financial Industry Regulatory Authority, Inc., NASDAQ OMX BX, Inc., NASDAQ OMX PHLX LLC, The Nasdaq Stock Market LLC, National Stock Exchange, Inc., New York Stock Exchange LLC, NYSE MKT LLC, and NYSE Arca, Inc. https://regulations.justia.com/regulations/fedreg/2015/10/28/2015-27396.html https://regulations.justia.com/regulations/fedreg/2015/10/28/2015-27396.html Wed, 28 Oct 2015 00:00:00 -0700 2015-27396 Notice http://www.gpo.gov/fdsys/pkg/FR-2015-10-28/pdf/2015-27396.pdf Proposed Rule - List of Rules To Be Reviewed Pursuant to the Regulatory Flexibility Act https://regulations.justia.com/regulations/fedreg/2015/10/28/2015-27385.html https://regulations.justia.com/regulations/fedreg/2015/10/28/2015-27385.html Wed, 28 Oct 2015 00:00:00 -0700 2015-27385 Proposed Rule http://www.gpo.gov/fdsys/pkg/FR-2015-10-28/pdf/2015-27385.pdf Notice - Good Hill Partners LP and Good Hill ETF Trust; Notice of Application https://regulations.justia.com/regulations/fedreg/2015/10/28/2015-27372.html https://regulations.justia.com/regulations/fedreg/2015/10/28/2015-27372.html Wed, 28 Oct 2015 00:00:00 -0700 2015-27372 Notice http://www.gpo.gov/fdsys/pkg/FR-2015-10-28/pdf/2015-27372.pdf Notice - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule To Establish Fees for Funding Portals https://regulations.justia.com/regulations/fedreg/2015/10/28/2015-27371.html https://regulations.justia.com/regulations/fedreg/2015/10/28/2015-27371.html Wed, 28 Oct 2015 00:00:00 -0700 2015-27371 Notice http://www.gpo.gov/fdsys/pkg/FR-2015-10-28/pdf/2015-27371.pdf Notice - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing of a Proposed Rule Change To Adopt the Funding Portal Rules and Related Forms and FINRA Rule 4518 https://regulations.justia.com/regulations/fedreg/2015/10/28/2015-27370.html https://regulations.justia.com/regulations/fedreg/2015/10/28/2015-27370.html Wed, 28 Oct 2015 00:00:00 -0700 2015-27370 Notice http://www.gpo.gov/fdsys/pkg/FR-2015-10-28/pdf/2015-27370.pdf Notice - Self-Regulatory Organizations; Miami International Securities Exchange LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Extend the Pilot Period Applicable to Rule 521 and Rule 530 Relating To Limit Up/Limit Down https://regulations.justia.com/regulations/fedreg/2015/10/28/2015-27356.html https://regulations.justia.com/regulations/fedreg/2015/10/28/2015-27356.html Wed, 28 Oct 2015 00:00:00 -0700 2015-27356 Notice http://www.gpo.gov/fdsys/pkg/FR-2015-10-28/pdf/2015-27356.pdf Notice - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to Revisions to the Registered Options Principal Examination https://regulations.justia.com/regulations/fedreg/2015/10/28/2015-27355.html https://regulations.justia.com/regulations/fedreg/2015/10/28/2015-27355.html Wed, 28 Oct 2015 00:00:00 -0700 2015-27355 Notice http://www.gpo.gov/fdsys/pkg/FR-2015-10-28/pdf/2015-27355.pdf Notice - Self-Regulatory Organizations; EDGX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Adopt Rule 21.17, Exchange Sharing of User Designated Risk Settings https://regulations.justia.com/regulations/fedreg/2015/10/28/2015-27354.html https://regulations.justia.com/regulations/fedreg/2015/10/28/2015-27354.html Wed, 28 Oct 2015 00:00:00 -0700 2015-27354 Notice http://www.gpo.gov/fdsys/pkg/FR-2015-10-28/pdf/2015-27354.pdf Notice - Self-Regulatory Organizations; BOX Options Exchange LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Interpretive Material 1 to Rule 7170 To Extend the Pilot Program That Suspends Certain Obvious Error Provisions During Limit Up-Limit Down States in Securities That Underlie Options Traded on the Exchange https://regulations.justia.com/regulations/fedreg/2015/10/28/2015-27353.html https://regulations.justia.com/regulations/fedreg/2015/10/28/2015-27353.html Wed, 28 Oct 2015 00:00:00 -0700 2015-27353 Notice http://www.gpo.gov/fdsys/pkg/FR-2015-10-28/pdf/2015-27353.pdf Notice - Self-Regulatory Organizations; International Securities Exchange, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Extend the Limit Up-Limit Down Obvious Error Pilot https://regulations.justia.com/regulations/fedreg/2015/10/28/2015-27352.html https://regulations.justia.com/regulations/fedreg/2015/10/28/2015-27352.html Wed, 28 Oct 2015 00:00:00 -0700 2015-27352 Notice http://www.gpo.gov/fdsys/pkg/FR-2015-10-28/pdf/2015-27352.pdf Notice - Self-Regulatory Organizations; BATS Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Rule 20.6, Nullification and Adjustment of Options Transactions Including Obvious Errors https://regulations.justia.com/regulations/fedreg/2015/10/28/2015-27351.html https://regulations.justia.com/regulations/fedreg/2015/10/28/2015-27351.html Wed, 28 Oct 2015 00:00:00 -0700 2015-27351 Notice http://www.gpo.gov/fdsys/pkg/FR-2015-10-28/pdf/2015-27351.pdf Notice - Self-Regulatory Organizations; EDGX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Rule 20.6, Nullification and Adjustment of Options Transactions Including Obvious Errors https://regulations.justia.com/regulations/fedreg/2015/10/28/2015-27350.html https://regulations.justia.com/regulations/fedreg/2015/10/28/2015-27350.html Wed, 28 Oct 2015 00:00:00 -0700 2015-27350 Notice http://www.gpo.gov/fdsys/pkg/FR-2015-10-28/pdf/2015-27350.pdf Notice - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing of Proposed Rule Change Establishing Rules To Comply With the Requirements of the Plan To Implement a Tick Size Pilot Plan Submitted to the Commission Pursuant to Rule 608 of Regulation NMS Under the Act https://regulations.justia.com/regulations/fedreg/2015/10/28/2015-27349.html https://regulations.justia.com/regulations/fedreg/2015/10/28/2015-27349.html Wed, 28 Oct 2015 00:00:00 -0700 2015-27349 Notice http://www.gpo.gov/fdsys/pkg/FR-2015-10-28/pdf/2015-27349.pdf Notice - Self-Regulatory Organizations; ISE Gemini, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Extend the Limit Up-Limit Down Obvious Error Pilot https://regulations.justia.com/regulations/fedreg/2015/10/28/2015-27348.html https://regulations.justia.com/regulations/fedreg/2015/10/28/2015-27348.html Wed, 28 Oct 2015 00:00:00 -0700 2015-27348 Notice http://www.gpo.gov/fdsys/pkg/FR-2015-10-28/pdf/2015-27348.pdf Notice - Self-Regulatory Organizations; NASDAQ OMX BX, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Regarding the Obvious Error Pilot Program https://regulations.justia.com/regulations/fedreg/2015/10/28/2015-27347.html https://regulations.justia.com/regulations/fedreg/2015/10/28/2015-27347.html Wed, 28 Oct 2015 00:00:00 -0700 2015-27347 Notice http://www.gpo.gov/fdsys/pkg/FR-2015-10-28/pdf/2015-27347.pdf Notice - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Regarding the Obvious Error Pilot Program https://regulations.justia.com/regulations/fedreg/2015/10/28/2015-27346.html https://regulations.justia.com/regulations/fedreg/2015/10/28/2015-27346.html Wed, 28 Oct 2015 00:00:00 -0700 2015-27346 Notice http://www.gpo.gov/fdsys/pkg/FR-2015-10-28/pdf/2015-27346.pdf Notice - Self-Regulatory Organizations; NASDAQ OMX PHLX LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Regarding the Obvious Error Pilot Program https://regulations.justia.com/regulations/fedreg/2015/10/28/2015-27345.html https://regulations.justia.com/regulations/fedreg/2015/10/28/2015-27345.html Wed, 28 Oct 2015 00:00:00 -0700 2015-27345 Notice http://www.gpo.gov/fdsys/pkg/FR-2015-10-28/pdf/2015-27345.pdf Notice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Regarding the AdvisorShares WCM/BNY Mellon Focused Growth ADR ETF's Holdings https://regulations.justia.com/regulations/fedreg/2015/10/28/2015-27344.html https://regulations.justia.com/regulations/fedreg/2015/10/28/2015-27344.html Wed, 28 Oct 2015 00:00:00 -0700 2015-27344 Notice http://www.gpo.gov/fdsys/pkg/FR-2015-10-28/pdf/2015-27344.pdf Notice - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to Exchange Rule 6.25 https://regulations.justia.com/regulations/fedreg/2015/10/28/2015-27343.html https://regulations.justia.com/regulations/fedreg/2015/10/28/2015-27343.html Wed, 28 Oct 2015 00:00:00 -0700 2015-27343 Notice http://www.gpo.gov/fdsys/pkg/FR-2015-10-28/pdf/2015-27343.pdf Notice - Self-Regulatory Organizations; C2 Options Exchange, Incorporated; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to Exchange Rule 6.15 https://regulations.justia.com/regulations/fedreg/2015/10/28/2015-27342.html https://regulations.justia.com/regulations/fedreg/2015/10/28/2015-27342.html Wed, 28 Oct 2015 00:00:00 -0700 2015-27342 Notice http://www.gpo.gov/fdsys/pkg/FR-2015-10-28/pdf/2015-27342.pdf