<![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/2016/01/07?registers=between Sun, 29 Dec 2024 09:08:55 -0800 Sun, 29 Dec 2024 09:08:55 -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/2016/01/07?registers=between Proposed Rule - Establishing the Form and Manner With Which Security-Based Swap Data Repositories Must Make Security-Based Swap Data Available to the Commission; Correction https://regulations.justia.com/regulations/fedreg/2016/01/07/2016-00044.html https://regulations.justia.com/regulations/fedreg/2016/01/07/2016-00044.html Thu, 07 Jan 2016 00:00:00 -0800 2016-00044 Proposed Rule https://www.gpo.gov/fdsys/pkg/FR-2016-01-07/pdf/2016-00044.pdf Notice - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing of Amendment Nos. 1 and 2 and Order Granting Accelerated Approval of Proposed Rule Change, as Modified by Amendment Nos. 1 and 2 Thereto, Amending Sections 312.03(b) and 312.04 of the NYSE Listed Company Manual To Exempt Early Stage Companies From Having To Obtain Shareholder Approval Before Issuing Shares for Cash to Related Parties, Affiliates of Related Parties or Entities in Which a Related Party Has a Substantial Interest https://regulations.justia.com/regulations/fedreg/2016/01/07/2015-33313.html https://regulations.justia.com/regulations/fedreg/2016/01/07/2015-33313.html Thu, 07 Jan 2016 00:00:00 -0800 2015-33313 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-01-07/pdf/2015-33313.pdf Notice - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing of a Proposed Rule Change To Amend the Derivatives and Other Off-Balance Sheet Items Schedule Pursuant to FINRA Rule 4524 (Supplemental FOCUS Information) https://regulations.justia.com/regulations/fedreg/2016/01/07/2015-33312.html https://regulations.justia.com/regulations/fedreg/2016/01/07/2015-33312.html Thu, 07 Jan 2016 00:00:00 -0800 2015-33312 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-01-07/pdf/2015-33312.pdf Notice - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to the Series 9/10 Examination Program https://regulations.justia.com/regulations/fedreg/2016/01/07/2015-33311.html https://regulations.justia.com/regulations/fedreg/2016/01/07/2015-33311.html Thu, 07 Jan 2016 00:00:00 -0800 2015-33311 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-01-07/pdf/2015-33311.pdf Notice - Self-Regulatory Organizations; The Depository Trust Company; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Postponing the Date for Retirement of Computer to Computer Facility Corporate Action Announcement Files, and Implementing a Fee Associated With Its Use https://regulations.justia.com/regulations/fedreg/2016/01/07/2015-33310.html https://regulations.justia.com/regulations/fedreg/2016/01/07/2015-33310.html Thu, 07 Jan 2016 00:00:00 -0800 2015-33310 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-01-07/pdf/2015-33310.pdf Notice - Self-Regulatory Organizations; NASDAQ OMX PHLX LLC; Notice of Filing of Proposed Rule Change, as Modified by Amendment No. 2 Thereto, To Amend the By-Laws of Nasdaq, Inc. https://regulations.justia.com/regulations/fedreg/2016/01/07/2015-33309.html https://regulations.justia.com/regulations/fedreg/2016/01/07/2015-33309.html Thu, 07 Jan 2016 00:00:00 -0800 2015-33309 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-01-07/pdf/2015-33309.pdf Notice - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing of Proposed Rule Change, as Modified by Amendment No. 1 Thereto, To Amend the By-Laws of Nasdaq, Inc. https://regulations.justia.com/regulations/fedreg/2016/01/07/2015-33308.html https://regulations.justia.com/regulations/fedreg/2016/01/07/2015-33308.html Thu, 07 Jan 2016 00:00:00 -0800 2015-33308 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-01-07/pdf/2015-33308.pdf Notice - Self-Regulatory Organizations; NASDAQ OMX BX, Inc.; Notice of Filing of Proposed Rule Change, as Modified by Amendment No. 1 Thereto, To Amend the By-Laws of Nasdaq, Inc. https://regulations.justia.com/regulations/fedreg/2016/01/07/2015-33307.html https://regulations.justia.com/regulations/fedreg/2016/01/07/2015-33307.html Thu, 07 Jan 2016 00:00:00 -0800 2015-33307 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-01-07/pdf/2015-33307.pdf Notice - Self-Regulatory Organizations; Stock Clearing Corporation of Philadelphia; Notice of Filing of Proposed Rule Change, as Modified by Amendment No. 1 Thereto, To Amend the By-Laws of Nasdaq, Inc. https://regulations.justia.com/regulations/fedreg/2016/01/07/2015-33306.html https://regulations.justia.com/regulations/fedreg/2016/01/07/2015-33306.html Thu, 07 Jan 2016 00:00:00 -0800 2015-33306 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-01-07/pdf/2015-33306.pdf Notice - Self-Regulatory Organizations; Boston Stock Exchange Clearing Corporation; Notice of Filing of Proposed Rule Change, as Modified by Amendment No. 1 Thereto, To Amend the By-Laws of Nasdaq, Inc. https://regulations.justia.com/regulations/fedreg/2016/01/07/2015-33305.html https://regulations.justia.com/regulations/fedreg/2016/01/07/2015-33305.html Thu, 07 Jan 2016 00:00:00 -0800 2015-33305 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-01-07/pdf/2015-33305.pdf Notice - Submission for OMB Review; Comment Request https://regulations.justia.com/regulations/fedreg/2016/01/07/2015-33216.html https://regulations.justia.com/regulations/fedreg/2016/01/07/2015-33216.html Thu, 07 Jan 2016 00:00:00 -0800 2015-33216 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-01-07/pdf/2015-33216.pdf Notice - Submission for OMB Review; Comment Request https://regulations.justia.com/regulations/fedreg/2016/01/07/2015-33215.html https://regulations.justia.com/regulations/fedreg/2016/01/07/2015-33215.html Thu, 07 Jan 2016 00:00:00 -0800 2015-33215 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-01-07/pdf/2015-33215.pdf