<![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/2016/03/11?registers=between Tue, 15 Jul 2025 20:25:19 -0700 Tue, 15 Jul 2025 20:25:19 -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/2016/03/11?registers=between Rule - Security-Based Swap Transactions Connected With a Non-U.S. Person's Dealing Activity That Are Arranged, Negotiated, or Executed by Personnel Located in a U.S. Branch or Office or in a U.S. Branch or Office of an Agent; Security-Based Swap Dealer De Minimis Exception https://regulations.justia.com/regulations/fedreg/2016/03/11/C1-2016-03178.html https://regulations.justia.com/regulations/fedreg/2016/03/11/C1-2016-03178.html Fri, 11 Mar 2016 00:00:00 -0800 C1-2016-03178 Rule https://www.gpo.gov/fdsys/pkg/FR-2016-03-11/pdf/C1-2016-03178.pdf Rule - Organization; Conduct and Ethics; and Information and Requests https://regulations.justia.com/regulations/fedreg/2016/03/11/2016-05581.html https://regulations.justia.com/regulations/fedreg/2016/03/11/2016-05581.html Fri, 11 Mar 2016 00:00:00 -0800 2016-05581 Rule https://www.gpo.gov/fdsys/pkg/FR-2016-03-11/pdf/2016-05581.pdf Notice - Pointbreak Advisers LLC, et al.; Notice of Application https://regulations.justia.com/regulations/fedreg/2016/03/11/2016-05480.html https://regulations.justia.com/regulations/fedreg/2016/03/11/2016-05480.html Fri, 11 Mar 2016 00:00:00 -0800 2016-05480 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-03-11/pdf/2016-05480.pdf Notice - Self-Regulatory Organizations; ICE Clear Europe Limited; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to the Delegation of Authority To Approve Certain Rule and Procedure Amendments https://regulations.justia.com/regulations/fedreg/2016/03/11/2016-05442.html https://regulations.justia.com/regulations/fedreg/2016/03/11/2016-05442.html Fri, 11 Mar 2016 00:00:00 -0800 2016-05442 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-03-11/pdf/2016-05442.pdf Notice - Self-Regulatory Organizations; Bats BZX Exchange, Inc. f/k/a BATS Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Rule 11.27(b), Compliance With Data Collection Requirements, Relating to the Regulation NMS Plan To Implement a Tick Size Pilot Program https://regulations.justia.com/regulations/fedreg/2016/03/11/2016-05441.html https://regulations.justia.com/regulations/fedreg/2016/03/11/2016-05441.html Fri, 11 Mar 2016 00:00:00 -0800 2016-05441 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-03-11/pdf/2016-05441.pdf Notice - Self-Regulatory Organizations; The Nasdaq Stock Market LLC; Notice of Filing of Proposed Rule Change To Establish a Secondary Contingency Procedure To Enable the Exchange To Report an Official Closing Price on Behalf of an Impaired Primary Listing Exchange https://regulations.justia.com/regulations/fedreg/2016/03/11/2016-05440.html https://regulations.justia.com/regulations/fedreg/2016/03/11/2016-05440.html Fri, 11 Mar 2016 00:00:00 -0800 2016-05440 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-03-11/pdf/2016-05440.pdf Notice - Self-Regulatory Organizations; BATS Y-Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Its Rules as Well as Certain Corporate Documents of the Exchange To Reflect a Legal Name Change by BATS Global Markets, Inc. and the Legal Names of Certain Subsidiaries https://regulations.justia.com/regulations/fedreg/2016/03/11/2016-05439.html https://regulations.justia.com/regulations/fedreg/2016/03/11/2016-05439.html Fri, 11 Mar 2016 00:00:00 -0800 2016-05439 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-03-11/pdf/2016-05439.pdf Notice - Self-Regulatory Organizations; BATS Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Its Rules as Well as Certain Corporate Documents of the Exchange To Reflect a Legal Name Change by BATS Global Markets, Inc. and the Legal Names of Certain Subsidiaries https://regulations.justia.com/regulations/fedreg/2016/03/11/2016-05438.html https://regulations.justia.com/regulations/fedreg/2016/03/11/2016-05438.html Fri, 11 Mar 2016 00:00:00 -0800 2016-05438 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-03-11/pdf/2016-05438.pdf Notice - Self-Regulatory Organizations; NYSE MKT LLC; Notice of Filing of Proposed Rule Change Amending Rule 123C-Equities To Provide for How the Exchange Would Determine an Official Closing Price if the Exchange Is Unable To Conduct a Closing Transaction https://regulations.justia.com/regulations/fedreg/2016/03/11/2016-05437.html https://regulations.justia.com/regulations/fedreg/2016/03/11/2016-05437.html Fri, 11 Mar 2016 00:00:00 -0800 2016-05437 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-03-11/pdf/2016-05437.pdf Notice - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing of Proposed Rule Change Amending Rule 123C To Provide for How the Exchange Would Determine an Official Closing Price if the Exchange is Unable To Conduct a Closing Transaction https://regulations.justia.com/regulations/fedreg/2016/03/11/2016-05436.html https://regulations.justia.com/regulations/fedreg/2016/03/11/2016-05436.html Fri, 11 Mar 2016 00:00:00 -0800 2016-05436 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-03-11/pdf/2016-05436.pdf Notice - Self-Regulatory Organizations; NYSE MKT LLC; Notice of Filing of Proposed Rule Change, as Modified by Amendment No. 1, Establishing Procedures for the Allocation of Cages to Its Co-Located Users, Including the Waiver of Certain Fees, and To Amend the Visitor Security Escort Requirements and Fee https://regulations.justia.com/regulations/fedreg/2016/03/11/2016-05435.html https://regulations.justia.com/regulations/fedreg/2016/03/11/2016-05435.html Fri, 11 Mar 2016 00:00:00 -0800 2016-05435 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-03-11/pdf/2016-05435.pdf Notice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing of Proposed Rule Change, as Modified by Amendment No. 1, Establishing Procedures for the Allocation of Cages to Its Co-Located Users, Including the Waiver of Certain Fees, and To Amend the Visitor Security Escort Requirements and Fee https://regulations.justia.com/regulations/fedreg/2016/03/11/2016-05434.html https://regulations.justia.com/regulations/fedreg/2016/03/11/2016-05434.html Fri, 11 Mar 2016 00:00:00 -0800 2016-05434 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-03-11/pdf/2016-05434.pdf Notice - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing of Proposed Rule Change, as Modified by Amendment No. 1, Establishing Procedures for the Allocation of Cages to Its Co-Located Users, Including the Waiver of Certain Fees, and To Amend the Visitor Security Escort Requirements and Fee https://regulations.justia.com/regulations/fedreg/2016/03/11/2016-05433.html https://regulations.justia.com/regulations/fedreg/2016/03/11/2016-05433.html Fri, 11 Mar 2016 00:00:00 -0800 2016-05433 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-03-11/pdf/2016-05433.pdf Notice - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing of Proposed Rule Change Relating to the Listing and Trading of the Shares of the iSectors Post-MPT Growth ETF of ETFis Series Trust I https://regulations.justia.com/regulations/fedreg/2016/03/11/2016-05432.html https://regulations.justia.com/regulations/fedreg/2016/03/11/2016-05432.html Fri, 11 Mar 2016 00:00:00 -0800 2016-05432 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-03-11/pdf/2016-05432.pdf