<![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/2015/11/17?registers=between Mon, 23 Jun 2025 21:16:09 -0700 Mon, 23 Jun 2025 21:16:09 -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/2015/11/17?registers=between Notice - Sunshine Act Meeting https://regulations.justia.com/regulations/fedreg/2015/11/17/2015-29408.html https://regulations.justia.com/regulations/fedreg/2015/11/17/2015-29408.html Tue, 17 Nov 2015 00:00:00 -0800 2015-29408 Notice http://www.gpo.gov/fdsys/pkg/FR-2015-11-17/pdf/2015-29408.pdf Notice - Self-Regulatory Organizations; NYSE MKT LLC; Notice of Filing of Proposed Rule Change Constituting a Stated Interpretation With Respect to the Meaning, Administration, and Enforcement of Rule 28-Equities https://regulations.justia.com/regulations/fedreg/2015/11/17/2015-29290.html https://regulations.justia.com/regulations/fedreg/2015/11/17/2015-29290.html Tue, 17 Nov 2015 00:00:00 -0800 2015-29290 Notice http://www.gpo.gov/fdsys/pkg/FR-2015-11-17/pdf/2015-29290.pdf Notice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to the Listing and Trading of Shares of the RiverFront Strategic Income Fund Under NYSE Arca Equities Rule 8.600 https://regulations.justia.com/regulations/fedreg/2015/11/17/2015-29232.html https://regulations.justia.com/regulations/fedreg/2015/11/17/2015-29232.html Tue, 17 Nov 2015 00:00:00 -0800 2015-29232 Notice http://www.gpo.gov/fdsys/pkg/FR-2015-11-17/pdf/2015-29232.pdf Notice - Self-Regulatory Organizations; BATS Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Related to Fees for BZX Options https://regulations.justia.com/regulations/fedreg/2015/11/17/2015-29231.html https://regulations.justia.com/regulations/fedreg/2015/11/17/2015-29231.html Tue, 17 Nov 2015 00:00:00 -0800 2015-29231 Notice http://www.gpo.gov/fdsys/pkg/FR-2015-11-17/pdf/2015-29231.pdf Notice - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Establish the Securities Trader and Securities Trader Principal Registration Categories and To Retire Other Registration Categories https://regulations.justia.com/regulations/fedreg/2015/11/17/2015-29230.html https://regulations.justia.com/regulations/fedreg/2015/11/17/2015-29230.html Tue, 17 Nov 2015 00:00:00 -0800 2015-29230 Notice http://www.gpo.gov/fdsys/pkg/FR-2015-11-17/pdf/2015-29230.pdf Notice - Self-Regulatory Organizations; EDGX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Related to Fees https://regulations.justia.com/regulations/fedreg/2015/11/17/2015-29229.html https://regulations.justia.com/regulations/fedreg/2015/11/17/2015-29229.html Tue, 17 Nov 2015 00:00:00 -0800 2015-29229 Notice http://www.gpo.gov/fdsys/pkg/FR-2015-11-17/pdf/2015-29229.pdf Notice - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Constituting a Stated Interpretation With Respect to the Meaning, Administration, and Enforcement of Rule 28 https://regulations.justia.com/regulations/fedreg/2015/11/17/2015-29228.html https://regulations.justia.com/regulations/fedreg/2015/11/17/2015-29228.html Tue, 17 Nov 2015 00:00:00 -0800 2015-29228 Notice http://www.gpo.gov/fdsys/pkg/FR-2015-11-17/pdf/2015-29228.pdf Notice - Self-Regulatory Organizations; The Options Clearing Corporation; Notice of Filing of an Advance Notice To Modify the Options Clearing Corporation's Margin Methodology by Incorporating Variations in Implied Volatility https://regulations.justia.com/regulations/fedreg/2015/11/17/2015-29227.html https://regulations.justia.com/regulations/fedreg/2015/11/17/2015-29227.html Tue, 17 Nov 2015 00:00:00 -0800 2015-29227 Notice http://www.gpo.gov/fdsys/pkg/FR-2015-11-17/pdf/2015-29227.pdf Notice - Self-Regulatory Organizations; Municipal Securities Rulemaking Board; Notice of Filing of Amendment No. 2 to Proposed Rule Change Consisting of Proposed New Rule G-42, on Duties of Non-Solicitor Municipal Advisors, and Proposed Amendments to Rule G-8, on Books and Records To Be Made by Brokers, Dealers, Municipal Securities Dealers, and Municipal Advisors https://regulations.justia.com/regulations/fedreg/2015/11/17/2015-29226.html https://regulations.justia.com/regulations/fedreg/2015/11/17/2015-29226.html Tue, 17 Nov 2015 00:00:00 -0800 2015-29226 Notice http://www.gpo.gov/fdsys/pkg/FR-2015-11-17/pdf/2015-29226.pdf Notice - Self-Regulatory Organizations; NASDAQ OMX BX, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Establish the Securities Trader and Securities Trader Principal Registration Categories https://regulations.justia.com/regulations/fedreg/2015/11/17/2015-29225.html https://regulations.justia.com/regulations/fedreg/2015/11/17/2015-29225.html Tue, 17 Nov 2015 00:00:00 -0800 2015-29225 Notice http://www.gpo.gov/fdsys/pkg/FR-2015-11-17/pdf/2015-29225.pdf Notice - Self-Regulatory Organizations; C2 Options Exchange, Incorporated; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to Qualification and Registration of Permit Holders https://regulations.justia.com/regulations/fedreg/2015/11/17/2015-29224.html https://regulations.justia.com/regulations/fedreg/2015/11/17/2015-29224.html Tue, 17 Nov 2015 00:00:00 -0800 2015-29224 Notice http://www.gpo.gov/fdsys/pkg/FR-2015-11-17/pdf/2015-29224.pdf Notice - Self-Regulatory Organizations; BATS Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Related to Fees https://regulations.justia.com/regulations/fedreg/2015/11/17/2015-29223.html https://regulations.justia.com/regulations/fedreg/2015/11/17/2015-29223.html Tue, 17 Nov 2015 00:00:00 -0800 2015-29223 Notice http://www.gpo.gov/fdsys/pkg/FR-2015-11-17/pdf/2015-29223.pdf Notice - Self-Regulatory Organizations; BATS Y-Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Related to Fees https://regulations.justia.com/regulations/fedreg/2015/11/17/2015-29222.html https://regulations.justia.com/regulations/fedreg/2015/11/17/2015-29222.html Tue, 17 Nov 2015 00:00:00 -0800 2015-29222 Notice http://www.gpo.gov/fdsys/pkg/FR-2015-11-17/pdf/2015-29222.pdf Notice - Self-Regulatory Organizations; EDGA Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Related to Fees https://regulations.justia.com/regulations/fedreg/2015/11/17/2015-29221.html https://regulations.justia.com/regulations/fedreg/2015/11/17/2015-29221.html Tue, 17 Nov 2015 00:00:00 -0800 2015-29221 Notice http://www.gpo.gov/fdsys/pkg/FR-2015-11-17/pdf/2015-29221.pdf Notice - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Discontinue the NYSE Realtime Reference Price Market Data Product Offering https://regulations.justia.com/regulations/fedreg/2015/11/17/2015-29219.html https://regulations.justia.com/regulations/fedreg/2015/11/17/2015-29219.html Tue, 17 Nov 2015 00:00:00 -0800 2015-29219 Notice http://www.gpo.gov/fdsys/pkg/FR-2015-11-17/pdf/2015-29219.pdf Notice - Self-Regulatory Organizations: Miami International Securities Exchange LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Delete Exchange Rule 610, Limitations on Dealings https://regulations.justia.com/regulations/fedreg/2015/11/17/2015-29218.html https://regulations.justia.com/regulations/fedreg/2015/11/17/2015-29218.html Tue, 17 Nov 2015 00:00:00 -0800 2015-29218 Notice http://www.gpo.gov/fdsys/pkg/FR-2015-11-17/pdf/2015-29218.pdf Notice - Self-Regulatory Organizations; NASDAQ OMX PHLX LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Regarding NASDAQ Last Sale Plus https://regulations.justia.com/regulations/fedreg/2015/11/17/2015-29217.html https://regulations.justia.com/regulations/fedreg/2015/11/17/2015-29217.html Tue, 17 Nov 2015 00:00:00 -0800 2015-29217 Notice http://www.gpo.gov/fdsys/pkg/FR-2015-11-17/pdf/2015-29217.pdf Notice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Making Certain Representations Relating to the NYSE Best Quote & Trades Data Feed https://regulations.justia.com/regulations/fedreg/2015/11/17/2015-29216.html https://regulations.justia.com/regulations/fedreg/2015/11/17/2015-29216.html Tue, 17 Nov 2015 00:00:00 -0800 2015-29216 Notice http://www.gpo.gov/fdsys/pkg/FR-2015-11-17/pdf/2015-29216.pdf Notice - Self-Regulatory Organizations; ISE Gemini, LLC; Notice of Filing of Proposed Rule Change Relating to a Corporate Transaction Involving Its Indirect Parent https://regulations.justia.com/regulations/fedreg/2015/11/17/2015-29215.html https://regulations.justia.com/regulations/fedreg/2015/11/17/2015-29215.html Tue, 17 Nov 2015 00:00:00 -0800 2015-29215 Notice http://www.gpo.gov/fdsys/pkg/FR-2015-11-17/pdf/2015-29215.pdf Notice - Self-Regulatory Organizations; International Securities Exchange, LLC; Notice of Filing of Proposed Rule Change Relating to a Corporate Transaction Involving Its Indirect Parent https://regulations.justia.com/regulations/fedreg/2015/11/17/2015-29214.html https://regulations.justia.com/regulations/fedreg/2015/11/17/2015-29214.html Tue, 17 Nov 2015 00:00:00 -0800 2015-29214 Notice http://www.gpo.gov/fdsys/pkg/FR-2015-11-17/pdf/2015-29214.pdf Notice - Self-Regulatory Organizations; NASDAQ OMX PHLX LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Establish the Securities Trader and Securities Trader Principal Registration Categories and To Retire Other Registration Categories https://regulations.justia.com/regulations/fedreg/2015/11/17/2015-29213.html https://regulations.justia.com/regulations/fedreg/2015/11/17/2015-29213.html Tue, 17 Nov 2015 00:00:00 -0800 2015-29213 Notice http://www.gpo.gov/fdsys/pkg/FR-2015-11-17/pdf/2015-29213.pdf Notice - Self-Regulatory Organizations; NYSE MKT LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Making Certain Representations Relating to the NYSE Best Quote & Trades Data Feed https://regulations.justia.com/regulations/fedreg/2015/11/17/2015-29212.html https://regulations.justia.com/regulations/fedreg/2015/11/17/2015-29212.html Tue, 17 Nov 2015 00:00:00 -0800 2015-29212 Notice http://www.gpo.gov/fdsys/pkg/FR-2015-11-17/pdf/2015-29212.pdf Notice - THL Credit, Inc., et al.; Notice of Application https://regulations.justia.com/regulations/fedreg/2015/11/17/2015-29204.html https://regulations.justia.com/regulations/fedreg/2015/11/17/2015-29204.html Tue, 17 Nov 2015 00:00:00 -0800 2015-29204 Notice http://www.gpo.gov/fdsys/pkg/FR-2015-11-17/pdf/2015-29204.pdf Notice - Submission for OMB Review; Comment Request https://regulations.justia.com/regulations/fedreg/2015/11/17/2015-29203.html https://regulations.justia.com/regulations/fedreg/2015/11/17/2015-29203.html Tue, 17 Nov 2015 00:00:00 -0800 2015-29203 Notice http://www.gpo.gov/fdsys/pkg/FR-2015-11-17/pdf/2015-29203.pdf Notice - Submission for OMB Review; Comment Request https://regulations.justia.com/regulations/fedreg/2015/11/17/2015-29202.html https://regulations.justia.com/regulations/fedreg/2015/11/17/2015-29202.html Tue, 17 Nov 2015 00:00:00 -0800 2015-29202 Notice http://www.gpo.gov/fdsys/pkg/FR-2015-11-17/pdf/2015-29202.pdf