<![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/2015/11/12?registers=between Sun, 22 Dec 2024 06:05:51 -0800 Sun, 22 Dec 2024 06:05:51 -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/2015/11/12?registers=between Notice - Good Hill Partners LP and Good Hill ETF Trust; Notice of Application https://regulations.justia.com/regulations/fedreg/2015/11/12/2015-28796.html https://regulations.justia.com/regulations/fedreg/2015/11/12/2015-28796.html Thu, 12 Nov 2015 00:00:00 -0800 2015-28796 Notice http://www.gpo.gov/fdsys/pkg/FR-2015-11-12/pdf/2015-28796.pdf Notice - Self-Regulatory Organizations; NASDAQ OMX PHLX LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Adopt Business Continuity and Disaster Recovery Plans Testing Requirements https://regulations.justia.com/regulations/fedreg/2015/11/12/2015-28698.html https://regulations.justia.com/regulations/fedreg/2015/11/12/2015-28698.html Thu, 12 Nov 2015 00:00:00 -0800 2015-28698 Notice http://www.gpo.gov/fdsys/pkg/FR-2015-11-12/pdf/2015-28698.pdf Notice - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Adopt Business Continuity and Disaster Recovery Plans Testing Requirements https://regulations.justia.com/regulations/fedreg/2015/11/12/2015-28697.html https://regulations.justia.com/regulations/fedreg/2015/11/12/2015-28697.html Thu, 12 Nov 2015 00:00:00 -0800 2015-28697 Notice http://www.gpo.gov/fdsys/pkg/FR-2015-11-12/pdf/2015-28697.pdf Notice - Wildermuth Endowment Strategy Fund and Wildermuth Advisory, LLC; Notice of Application https://regulations.justia.com/regulations/fedreg/2015/11/12/2015-28696.html https://regulations.justia.com/regulations/fedreg/2015/11/12/2015-28696.html Thu, 12 Nov 2015 00:00:00 -0800 2015-28696 Notice http://www.gpo.gov/fdsys/pkg/FR-2015-11-12/pdf/2015-28696.pdf Notice - Legg Mason Partners Fund Advisor, LLC, et al.; Notice of Application https://regulations.justia.com/regulations/fedreg/2015/11/12/2015-28695.html https://regulations.justia.com/regulations/fedreg/2015/11/12/2015-28695.html Thu, 12 Nov 2015 00:00:00 -0800 2015-28695 Notice http://www.gpo.gov/fdsys/pkg/FR-2015-11-12/pdf/2015-28695.pdf Notice - Forum Funds and Exceed Advisory LLC; Notice of Application https://regulations.justia.com/regulations/fedreg/2015/11/12/2015-28694.html https://regulations.justia.com/regulations/fedreg/2015/11/12/2015-28694.html Thu, 12 Nov 2015 00:00:00 -0800 2015-28694 Notice http://www.gpo.gov/fdsys/pkg/FR-2015-11-12/pdf/2015-28694.pdf Notice - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Provide That the Co-Location Services Offered by the Exchange Include 40 Gigabit Internet Protocol Network Connections in the Exchange's Data Center and To Amend the Exchange's Price List To Implement Fees for the New Service https://regulations.justia.com/regulations/fedreg/2015/11/12/2015-28693.html https://regulations.justia.com/regulations/fedreg/2015/11/12/2015-28693.html Thu, 12 Nov 2015 00:00:00 -0800 2015-28693 Notice http://www.gpo.gov/fdsys/pkg/FR-2015-11-12/pdf/2015-28693.pdf Notice - Self-Regulatory Organizations; NASDAQ OMX BX, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Related to Price Improving and Post-Only Orders https://regulations.justia.com/regulations/fedreg/2015/11/12/2015-28692.html https://regulations.justia.com/regulations/fedreg/2015/11/12/2015-28692.html Thu, 12 Nov 2015 00:00:00 -0800 2015-28692 Notice http://www.gpo.gov/fdsys/pkg/FR-2015-11-12/pdf/2015-28692.pdf Notice - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing of Proposed Rule Change to the Co-Location Services Offered by the Exchange (the Offering of a Wireless Connection To Allow Users To Receive Market Data Feeds From Third Party Markets) and To Reflect Changes to the Exchange's Price List Related to These Services https://regulations.justia.com/regulations/fedreg/2015/11/12/2015-28691.html https://regulations.justia.com/regulations/fedreg/2015/11/12/2015-28691.html Thu, 12 Nov 2015 00:00:00 -0800 2015-28691 Notice http://www.gpo.gov/fdsys/pkg/FR-2015-11-12/pdf/2015-28691.pdf Notice - Self-Regulatory Organizations; NYSE MKT LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Provide That the Co-Location Services Offered by the Exchange Include 40 Gigabit Internet Protocol Network Connections in the Exchange's Data Center and To Amend the NYSE MKT Equities Price List and the NYSE Amex Options Fee Schedule To Implement Fees for the New Service https://regulations.justia.com/regulations/fedreg/2015/11/12/2015-28690.html https://regulations.justia.com/regulations/fedreg/2015/11/12/2015-28690.html Thu, 12 Nov 2015 00:00:00 -0800 2015-28690 Notice http://www.gpo.gov/fdsys/pkg/FR-2015-11-12/pdf/2015-28690.pdf Notice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Provide That the Co-Location Services Offered by the Exchange Include 40 Gigabit Internet Protocol Network Connections in the Exchange's Data Center and To Amend the Exchange's Price List To Implement Fees for the New Services https://regulations.justia.com/regulations/fedreg/2015/11/12/2015-28689.html https://regulations.justia.com/regulations/fedreg/2015/11/12/2015-28689.html Thu, 12 Nov 2015 00:00:00 -0800 2015-28689 Notice http://www.gpo.gov/fdsys/pkg/FR-2015-11-12/pdf/2015-28689.pdf Notice - Self-Regulatory Organizations; NASDAQ OMX BX, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Adopt Business Continuity and Disaster Recovery Plans Testing Requirements https://regulations.justia.com/regulations/fedreg/2015/11/12/2015-28688.html https://regulations.justia.com/regulations/fedreg/2015/11/12/2015-28688.html Thu, 12 Nov 2015 00:00:00 -0800 2015-28688 Notice http://www.gpo.gov/fdsys/pkg/FR-2015-11-12/pdf/2015-28688.pdf Notice - Self-Regulatory Organizations; BOX Options Exchange LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Adopt Business Continuity and Disaster Recovery Plans (“BC/DR plans”) Testing Requirements for Certain Options Participants in Connection With Regulation Systems Compliance and Integrity (“Regulation SCI”) https://regulations.justia.com/regulations/fedreg/2015/11/12/2015-28687.html https://regulations.justia.com/regulations/fedreg/2015/11/12/2015-28687.html Thu, 12 Nov 2015 00:00:00 -0800 2015-28687 Notice http://www.gpo.gov/fdsys/pkg/FR-2015-11-12/pdf/2015-28687.pdf Notice - Self-Regulatory Organizations; NYSE MKT LLC; Notice of Filing of Proposed Rule Change to the Co-Location Services Offered by the Exchange (the Offering of a Wireless Connection To Allow Users To Receive Market Data Feeds From Third Party Markets) and To Reflect Changes to the NYSE MKT Equities Price List and the NYSE Amex Options Fee Schedule Related to These Services https://regulations.justia.com/regulations/fedreg/2015/11/12/2015-28686.html https://regulations.justia.com/regulations/fedreg/2015/11/12/2015-28686.html Thu, 12 Nov 2015 00:00:00 -0800 2015-28686 Notice http://www.gpo.gov/fdsys/pkg/FR-2015-11-12/pdf/2015-28686.pdf Notice - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Modify Chapter XV, Entitled “Options Pricing,” at Section 2 Governing Pricing for NASDAQ Members https://regulations.justia.com/regulations/fedreg/2015/11/12/2015-28685.html https://regulations.justia.com/regulations/fedreg/2015/11/12/2015-28685.html Thu, 12 Nov 2015 00:00:00 -0800 2015-28685 Notice http://www.gpo.gov/fdsys/pkg/FR-2015-11-12/pdf/2015-28685.pdf Notice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing of Proposed Rule Change to the Co-Location Services Offered by the Exchange (the Offering of a Wireless Connection To Allow Users To Receive Market Data Feeds From Third Party Markets) and To Reflect Changes to the NYSE Arca Options Fee Schedule and the NYSE Arca Equities Schedule of Fees and Charges Related to These Services https://regulations.justia.com/regulations/fedreg/2015/11/12/2015-28684.html https://regulations.justia.com/regulations/fedreg/2015/11/12/2015-28684.html Thu, 12 Nov 2015 00:00:00 -0800 2015-28684 Notice http://www.gpo.gov/fdsys/pkg/FR-2015-11-12/pdf/2015-28684.pdf Notice - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Modify Chapter XV, Entitled “Options Pricing,” at Section 2 Governing Pricing for NASDAQ Members https://regulations.justia.com/regulations/fedreg/2015/11/12/2015-28683.html https://regulations.justia.com/regulations/fedreg/2015/11/12/2015-28683.html Thu, 12 Nov 2015 00:00:00 -0800 2015-28683 Notice http://www.gpo.gov/fdsys/pkg/FR-2015-11-12/pdf/2015-28683.pdf Notice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Designation of a Longer Period for Commission Action on a Proposed Rule Change, as Modified by Amendments No. 1 and 3, Relating to Listing and Trading of Shares of the Guggenheim Total Return Bond ETF Under NYSE Arca Equities Rule 8.600 https://regulations.justia.com/regulations/fedreg/2015/11/12/2015-28682.html https://regulations.justia.com/regulations/fedreg/2015/11/12/2015-28682.html Thu, 12 Nov 2015 00:00:00 -0800 2015-28682 Notice http://www.gpo.gov/fdsys/pkg/FR-2015-11-12/pdf/2015-28682.pdf Notice - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to Mandatory Participation in Business Continuity and Disaster Recovery Testing Under Regulation SCI https://regulations.justia.com/regulations/fedreg/2015/11/12/2015-28681.html https://regulations.justia.com/regulations/fedreg/2015/11/12/2015-28681.html Thu, 12 Nov 2015 00:00:00 -0800 2015-28681 Notice http://www.gpo.gov/fdsys/pkg/FR-2015-11-12/pdf/2015-28681.pdf Notice - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Order Approving a Proposed Rule Change To Amend FINRA Rule 8312 (FINRA BrokerCheck Disclosure) To Reduce the Waiting Period for the Release of Information Reported on Form U5 https://regulations.justia.com/regulations/fedreg/2015/11/12/2015-28680.html https://regulations.justia.com/regulations/fedreg/2015/11/12/2015-28680.html Thu, 12 Nov 2015 00:00:00 -0800 2015-28680 Notice http://www.gpo.gov/fdsys/pkg/FR-2015-11-12/pdf/2015-28680.pdf Notice - Pointbreak Advisers LLC, et al.; Notice of Application https://regulations.justia.com/regulations/fedreg/2015/11/12/2015-28677.html https://regulations.justia.com/regulations/fedreg/2015/11/12/2015-28677.html Thu, 12 Nov 2015 00:00:00 -0800 2015-28677 Notice http://www.gpo.gov/fdsys/pkg/FR-2015-11-12/pdf/2015-28677.pdf