<![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/2015/11/04?registers=between Thu, 26 Jun 2025 07:39:24 -0700 Thu, 26 Jun 2025 07:39:24 -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/2015/11/04?registers=between Notice - U.S. Bank National Association; Notice of Application https://regulations.justia.com/regulations/fedreg/2015/11/04/2015-28069.html https://regulations.justia.com/regulations/fedreg/2015/11/04/2015-28069.html Wed, 04 Nov 2015 00:00:00 -0800 2015-28069 Notice http://www.gpo.gov/fdsys/pkg/FR-2015-11-04/pdf/2015-28069.pdf Notice - Program for Allocation of Regulatory Responsibilities Pursuant to Rule 17d-2; Order Approving and Declaring Effective a Proposed Plan for the Allocation of Regulatory Responsibilities Between BATS Exchange, Inc., BATS Y-Exchange, Inc., BOX Options Exchange LLC, Chicago Board Options Exchange, Incorporated, C2 Options Exchange, Incorporated, Chicago Stock Exchange, Inc., EDGA Exchange, Inc., EDGX Exchange, Inc., Financial Industry Regulatory Authority, Inc., International Securities Exchange, LLC, ISE Gemini, LLC, Miami International Securities Exchange, LLC, The NASDAQ Stock Market LLC, NASDAQ OMX BX, Inc., NASDAQ OMX PHLX, Inc., National Stock Exchange, Inc., New York Stock Exchange LLC, NYSE MKT LLC, and NYSE Arca, Inc. Relating to Regulation NMS Rules https://regulations.justia.com/regulations/fedreg/2015/11/04/2015-28068.html https://regulations.justia.com/regulations/fedreg/2015/11/04/2015-28068.html Wed, 04 Nov 2015 00:00:00 -0800 2015-28068 Notice http://www.gpo.gov/fdsys/pkg/FR-2015-11-04/pdf/2015-28068.pdf Notice - Program for Allocation of Regulatory Responsibilities Pursuant to Rule 17d-2; Notice of Filing and Order Approving and Declaring Effective an Amendment to the Plan for the Allocation of Regulatory Responsibilities Among NYSE MKT LLC, BATS Exchange, Inc., BOX Options Exchange LLC, C2 Options Exchange, Incorporated, the Chicago Board Options Exchange, Incorporated, the EDGX Exchange, Inc., the International Securities Exchange LLC, ISE Gemini, LLC, Financial Industry Regulatory Authority, Inc., NYSE Arca, Inc., The NASDAQ Stock Market LLC, NASDAQ OMX BX, Inc., the NASDAQ OMX PHLX, Inc., and Miami International Securities Exchange, LLC Concerning Options-Related Market Surveillance https://regulations.justia.com/regulations/fedreg/2015/11/04/2015-28067.html https://regulations.justia.com/regulations/fedreg/2015/11/04/2015-28067.html Wed, 04 Nov 2015 00:00:00 -0800 2015-28067 Notice http://www.gpo.gov/fdsys/pkg/FR-2015-11-04/pdf/2015-28067.pdf Notice - Program for Allocation of Regulatory Responsibilities Pursuant to Rule 17d-2; Notice of Filing and Order Approving and Declaring Effective an Amendment to the Plan for the Allocation of Regulatory Responsibilities Among NYSE MKT LLC, BATS Exchange, Inc., BOX Options Exchange LLC, C2 Options Exchange, Incorporated, the Chicago Board Options Exchange, Incorporated, the EDGX Exchange, Inc., the International Securities Exchange LLC, ISE Gemini, LLC, Financial Industry Regulatory Authority, Inc., the New York Stock Exchange LLC, NYSE Arca, Inc., The NASDAQ Stock Market LLC, NASDAQ OMX BX, Inc., the NASDAQ OMX PHLX, Inc., and Miami International Securities Exchange, LLC Concerning Options-Related Sales Practice Matters https://regulations.justia.com/regulations/fedreg/2015/11/04/2015-28066.html https://regulations.justia.com/regulations/fedreg/2015/11/04/2015-28066.html Wed, 04 Nov 2015 00:00:00 -0800 2015-28066 Notice http://www.gpo.gov/fdsys/pkg/FR-2015-11-04/pdf/2015-28066.pdf Notice - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Discontinuing the NYSE Retail Trading Product and the NYSE Program Trading Product Market Data Product Offerings https://regulations.justia.com/regulations/fedreg/2015/11/04/2015-28033.html https://regulations.justia.com/regulations/fedreg/2015/11/04/2015-28033.html Wed, 04 Nov 2015 00:00:00 -0800 2015-28033 Notice http://www.gpo.gov/fdsys/pkg/FR-2015-11-04/pdf/2015-28033.pdf Notice - Self-Regulatory Organizations: Miami International Securities Exchange LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Adopt Rule 321 Business Continuity and Disaster Recovery Plans Testing Requirements for Designated Members https://regulations.justia.com/regulations/fedreg/2015/11/04/2015-28026.html https://regulations.justia.com/regulations/fedreg/2015/11/04/2015-28026.html Wed, 04 Nov 2015 00:00:00 -0800 2015-28026 Notice http://www.gpo.gov/fdsys/pkg/FR-2015-11-04/pdf/2015-28026.pdf Notice - Self-Regulatory Organizations; EDGX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Rule 21.8, Order Display and Book Processing https://regulations.justia.com/regulations/fedreg/2015/11/04/2015-28025.html https://regulations.justia.com/regulations/fedreg/2015/11/04/2015-28025.html Wed, 04 Nov 2015 00:00:00 -0800 2015-28025 Notice http://www.gpo.gov/fdsys/pkg/FR-2015-11-04/pdf/2015-28025.pdf Notice - Self-Regulatory Organizations; NASDAQ OMX BX, Inc.; Notice of Filing of Amendment No. 2 and Order Granting Accelerated Approval of a Proposed Rule Change, as Modified by Amendment Nos. 1 and 2, To Adopt a New Price Improvement Auction, BX PRISM https://regulations.justia.com/regulations/fedreg/2015/11/04/2015-28024.html https://regulations.justia.com/regulations/fedreg/2015/11/04/2015-28024.html Wed, 04 Nov 2015 00:00:00 -0800 2015-28024 Notice http://www.gpo.gov/fdsys/pkg/FR-2015-11-04/pdf/2015-28024.pdf Notice - Self-Regulatory Organizations; C2 Options Exchange, Incorporated; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Amending Rule 6.45 Relating to Disaster Recovery https://regulations.justia.com/regulations/fedreg/2015/11/04/2015-28023.html https://regulations.justia.com/regulations/fedreg/2015/11/04/2015-28023.html Wed, 04 Nov 2015 00:00:00 -0800 2015-28023 Notice http://www.gpo.gov/fdsys/pkg/FR-2015-11-04/pdf/2015-28023.pdf Notice - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Nasdaq Rule 7018 https://regulations.justia.com/regulations/fedreg/2015/11/04/2015-28022.html https://regulations.justia.com/regulations/fedreg/2015/11/04/2015-28022.html Wed, 04 Nov 2015 00:00:00 -0800 2015-28022 Notice http://www.gpo.gov/fdsys/pkg/FR-2015-11-04/pdf/2015-28022.pdf Notice - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Terminology in Nasdaq Rules 4120, 5615 and 5745 and IM-5615-4 https://regulations.justia.com/regulations/fedreg/2015/11/04/2015-28021.html https://regulations.justia.com/regulations/fedreg/2015/11/04/2015-28021.html Wed, 04 Nov 2015 00:00:00 -0800 2015-28021 Notice http://www.gpo.gov/fdsys/pkg/FR-2015-11-04/pdf/2015-28021.pdf Notice - Self-Regulatory Organizations; NASDAQ OMX PHLX LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Risk Monitor Mechanism https://regulations.justia.com/regulations/fedreg/2015/11/04/2015-28020.html https://regulations.justia.com/regulations/fedreg/2015/11/04/2015-28020.html Wed, 04 Nov 2015 00:00:00 -0800 2015-28020 Notice http://www.gpo.gov/fdsys/pkg/FR-2015-11-04/pdf/2015-28020.pdf Notice - Self-Regulatory Organizations; NYSE MKT LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Rules 46-Equities, 46A-Equities, 103B-Equities, and 497-Equities To Replace References to the NYSE Regulation Board of Directors With the Exchange's Regulatory Oversight Committee https://regulations.justia.com/regulations/fedreg/2015/11/04/2015-28019.html https://regulations.justia.com/regulations/fedreg/2015/11/04/2015-28019.html Wed, 04 Nov 2015 00:00:00 -0800 2015-28019 Notice http://www.gpo.gov/fdsys/pkg/FR-2015-11-04/pdf/2015-28019.pdf Proposed Rule - Securities Investor Protection Corporation https://regulations.justia.com/regulations/fedreg/2015/11/04/2015-27921.html https://regulations.justia.com/regulations/fedreg/2015/11/04/2015-27921.html Wed, 04 Nov 2015 00:00:00 -0800 2015-27921 Proposed Rule http://www.gpo.gov/fdsys/pkg/FR-2015-11-04/pdf/2015-27921.pdf