<![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/2015/12/30?registers=between Wed, 25 Jun 2025 12:37:07 -0700 Wed, 25 Jun 2025 12:37:07 -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/2015/12/30?registers=between Notice - Self-Regulatory Organizations; NASDAQ OMX BX, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Regarding NASDAQ Last Sale Plus https://regulations.justia.com/regulations/fedreg/2015/12/30/2015-32902.html https://regulations.justia.com/regulations/fedreg/2015/12/30/2015-32902.html Wed, 30 Dec 2015 00:00:00 -0800 2015-32902 Notice https://www.gpo.gov/fdsys/pkg/FR-2015-12-30/pdf/2015-32902.pdf Notice - Self-Regulatory Organizations; BATS Y-Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Related to Fees for Use of BATS Y-Exchange, Inc. https://regulations.justia.com/regulations/fedreg/2015/12/30/2015-32898.html https://regulations.justia.com/regulations/fedreg/2015/12/30/2015-32898.html Wed, 30 Dec 2015 00:00:00 -0800 2015-32898 Notice https://www.gpo.gov/fdsys/pkg/FR-2015-12-30/pdf/2015-32898.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/2015/12/30/2015-32897.html https://regulations.justia.com/regulations/fedreg/2015/12/30/2015-32897.html Wed, 30 Dec 2015 00:00:00 -0800 2015-32897 Notice https://www.gpo.gov/fdsys/pkg/FR-2015-12-30/pdf/2015-32897.pdf Notice - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Regarding NASDAQ Last Sale Plus https://regulations.justia.com/regulations/fedreg/2015/12/30/2015-32896.html https://regulations.justia.com/regulations/fedreg/2015/12/30/2015-32896.html Wed, 30 Dec 2015 00:00:00 -0800 2015-32896 Notice https://www.gpo.gov/fdsys/pkg/FR-2015-12-30/pdf/2015-32896.pdf Notice - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend NOM Rules at Chapter XV, Section 2 https://regulations.justia.com/regulations/fedreg/2015/12/30/2015-32895.html https://regulations.justia.com/regulations/fedreg/2015/12/30/2015-32895.html Wed, 30 Dec 2015 00:00:00 -0800 2015-32895 Notice https://www.gpo.gov/fdsys/pkg/FR-2015-12-30/pdf/2015-32895.pdf Notice - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing of a Proposed Rule Change To Adopt FINRA Rule 2030 and FINRA Rule 4580 To Establish “Pay-To-Play” and Related Rules https://regulations.justia.com/regulations/fedreg/2015/12/30/2015-32894.html https://regulations.justia.com/regulations/fedreg/2015/12/30/2015-32894.html Wed, 30 Dec 2015 00:00:00 -0800 2015-32894 Notice https://www.gpo.gov/fdsys/pkg/FR-2015-12-30/pdf/2015-32894.pdf Notice - Self-Regulatory Organizations; BATS Exchange, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Proprietary Trader and Proprietary Trader Principal Registration Categories, Securities Trader and Securities Trader Principal Registration Categories, and Establishing the Series 57 Examination https://regulations.justia.com/regulations/fedreg/2015/12/30/2015-32825.html https://regulations.justia.com/regulations/fedreg/2015/12/30/2015-32825.html Wed, 30 Dec 2015 00:00:00 -0800 2015-32825 Notice https://www.gpo.gov/fdsys/pkg/FR-2015-12-30/pdf/2015-32825.pdf Notice - Notice of Applications for Deregistration Under Section 8(f) of the Investment Company Act of 1940 https://regulations.justia.com/regulations/fedreg/2015/12/30/2015-32823.html https://regulations.justia.com/regulations/fedreg/2015/12/30/2015-32823.html Wed, 30 Dec 2015 00:00:00 -0800 2015-32823 Notice https://www.gpo.gov/fdsys/pkg/FR-2015-12-30/pdf/2015-32823.pdf Notice - Self-Regulatory Organizations; Municipal Securities Rulemaking Board; Notice of Filing of a Proposed Rule Change Consisting of Proposed Amendments to Rule G-37, on Political Contributions and Prohibitions on Municipal Securities Business, Rule G-8, on Books and Records, Rule G-9, on Preservation of Records, and Forms G-37 and G-37x https://regulations.justia.com/regulations/fedreg/2015/12/30/2015-32822.html https://regulations.justia.com/regulations/fedreg/2015/12/30/2015-32822.html Wed, 30 Dec 2015 00:00:00 -0800 2015-32822 Notice https://www.gpo.gov/fdsys/pkg/FR-2015-12-30/pdf/2015-32822.pdf Notice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing of Proposed Rule Change To List and Trade Shares of the REX Gold Hedged S&P 500 ETF and the REX Gold Hedged FTSE Emerging Markets ETF Under NYSE Arca Equities Rule 8.600 https://regulations.justia.com/regulations/fedreg/2015/12/30/2015-32821.html https://regulations.justia.com/regulations/fedreg/2015/12/30/2015-32821.html Wed, 30 Dec 2015 00:00:00 -0800 2015-32821 Notice https://www.gpo.gov/fdsys/pkg/FR-2015-12-30/pdf/2015-32821.pdf Notice - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Participant Fee https://regulations.justia.com/regulations/fedreg/2015/12/30/2015-32820.html https://regulations.justia.com/regulations/fedreg/2015/12/30/2015-32820.html Wed, 30 Dec 2015 00:00:00 -0800 2015-32820 Notice https://www.gpo.gov/fdsys/pkg/FR-2015-12-30/pdf/2015-32820.pdf Notice - Self-Regulatory Organizations; EDGA Exchange, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Proprietary Trader and Proprietary Trader Principal Registration Categories, Securities Trader and Securities Trader Principal Registration Categories, and Establishing the Series 57 Examination https://regulations.justia.com/regulations/fedreg/2015/12/30/2015-32819.html https://regulations.justia.com/regulations/fedreg/2015/12/30/2015-32819.html Wed, 30 Dec 2015 00:00:00 -0800 2015-32819 Notice https://www.gpo.gov/fdsys/pkg/FR-2015-12-30/pdf/2015-32819.pdf Notice - Self-Regulatory Organizations; NYSE Arca, Inc.; Order Approving 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/2015/12/30/2015-32818.html https://regulations.justia.com/regulations/fedreg/2015/12/30/2015-32818.html Wed, 30 Dec 2015 00:00:00 -0800 2015-32818 Notice https://www.gpo.gov/fdsys/pkg/FR-2015-12-30/pdf/2015-32818.pdf Notice - Self-Regulatory Organizations; New York Stock Exchange LLC; Order Approving 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/2015/12/30/2015-32817.html https://regulations.justia.com/regulations/fedreg/2015/12/30/2015-32817.html Wed, 30 Dec 2015 00:00:00 -0800 2015-32817 Notice https://www.gpo.gov/fdsys/pkg/FR-2015-12-30/pdf/2015-32817.pdf Notice - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing of a Proposed Rule Change To Adopt FINRA Rule 2273 (Educational Communication Related to Recruitment Practices and Account Transfers) https://regulations.justia.com/regulations/fedreg/2015/12/30/2015-32816.html https://regulations.justia.com/regulations/fedreg/2015/12/30/2015-32816.html Wed, 30 Dec 2015 00:00:00 -0800 2015-32816 Notice https://www.gpo.gov/fdsys/pkg/FR-2015-12-30/pdf/2015-32816.pdf Notice - Self-Regulatory Organizations; EDGX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Proprietary Trader and Proprietary Trader Principal Registration Categories, Securities Trader and Securities Trader Principal Registration Categories, and Establishing the Series 57 Examination https://regulations.justia.com/regulations/fedreg/2015/12/30/2015-32815.html https://regulations.justia.com/regulations/fedreg/2015/12/30/2015-32815.html Wed, 30 Dec 2015 00:00:00 -0800 2015-32815 Notice https://www.gpo.gov/fdsys/pkg/FR-2015-12-30/pdf/2015-32815.pdf Notice - Self-Regulatory Organizations; BATS Y-Exchange, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Proprietary Trader and Proprietary Trader Principal Registration Categories, Securities Trader and Securities Trader Principal Registration Categories, and Establishing the Series 57 Examination https://regulations.justia.com/regulations/fedreg/2015/12/30/2015-32814.html https://regulations.justia.com/regulations/fedreg/2015/12/30/2015-32814.html Wed, 30 Dec 2015 00:00:00 -0800 2015-32814 Notice https://www.gpo.gov/fdsys/pkg/FR-2015-12-30/pdf/2015-32814.pdf Notice - Self-Regulatory Organizations; NASDAQ OMX BX, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Adopt a Participant Fee https://regulations.justia.com/regulations/fedreg/2015/12/30/2015-32813.html https://regulations.justia.com/regulations/fedreg/2015/12/30/2015-32813.html Wed, 30 Dec 2015 00:00:00 -0800 2015-32813 Notice https://www.gpo.gov/fdsys/pkg/FR-2015-12-30/pdf/2015-32813.pdf Notice - Self-Regulatory Organizations; Municipal Securities Rulemaking Board; Order Granting Approval of a Proposed Rule Change, as Modified by Amendment No. 1 and Amendment No. 2, 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/2015/12/30/2015-32812.html https://regulations.justia.com/regulations/fedreg/2015/12/30/2015-32812.html Wed, 30 Dec 2015 00:00:00 -0800 2015-32812 Notice https://www.gpo.gov/fdsys/pkg/FR-2015-12-30/pdf/2015-32812.pdf Notice - Self-Regulatory Organizations; NYSE MKT LLC; Order Approving 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/2015/12/30/2015-32811.html https://regulations.justia.com/regulations/fedreg/2015/12/30/2015-32811.html Wed, 30 Dec 2015 00:00:00 -0800 2015-32811 Notice https://www.gpo.gov/fdsys/pkg/FR-2015-12-30/pdf/2015-32811.pdf Notice - Investor Advisory Committee Meeting https://regulations.justia.com/regulations/fedreg/2015/12/30/2015-32806.html https://regulations.justia.com/regulations/fedreg/2015/12/30/2015-32806.html Wed, 30 Dec 2015 00:00:00 -0800 2015-32806 Notice https://www.gpo.gov/fdsys/pkg/FR-2015-12-30/pdf/2015-32806.pdf Notice - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing of a Proposed Rule Change To Amend Rules 5810(4), 5810(c), 5815(c) and 5820(d) To Provide Staff With Limited Discretion To Grant a Listed Company That Failed To Hold Its Annual Meeting of Shareholders an Extension of Time To Comply With the Requirement https://regulations.justia.com/regulations/fedreg/2015/12/30/2015-32647.html https://regulations.justia.com/regulations/fedreg/2015/12/30/2015-32647.html Wed, 30 Dec 2015 00:00:00 -0800 2015-32647 Notice https://www.gpo.gov/fdsys/pkg/FR-2015-12-30/pdf/2015-32647.pdf Rule - Regulation Systems Compliance and Integrity; Correction https://regulations.justia.com/regulations/fedreg/2015/12/30/2015-32646.html https://regulations.justia.com/regulations/fedreg/2015/12/30/2015-32646.html Wed, 30 Dec 2015 00:00:00 -0800 2015-32646 Rule https://www.gpo.gov/fdsys/pkg/FR-2015-12-30/pdf/2015-32646.pdf