<![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/2016/03/29?registers=between Sun, 29 Dec 2024 08:54:27 -0800 Sun, 29 Dec 2024 08:54:27 -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/2016/03/29?registers=between Notice - Sunshine Act Meeting https://regulations.justia.com/regulations/fedreg/2016/03/29/2016-07108.html https://regulations.justia.com/regulations/fedreg/2016/03/29/2016-07108.html Tue, 29 Mar 2016 00:00:00 -0700 2016-07108 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-03-29/pdf/2016-07108.pdf Notice - Self-Regulatory Organizations; NYSE MKT LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Rule 964.2NY Regarding the Participation Entitlement Formula for Specialists and e-Specialists https://regulations.justia.com/regulations/fedreg/2016/03/29/2016-06999.html https://regulations.justia.com/regulations/fedreg/2016/03/29/2016-06999.html Tue, 29 Mar 2016 00:00:00 -0700 2016-06999 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-03-29/pdf/2016-06999.pdf Notice - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Rule 13 to Expand the Availability of Self-Trade Prevention Modifiers to Non-Algorithmically Entered Floor Broker Interest https://regulations.justia.com/regulations/fedreg/2016/03/29/2016-06998.html https://regulations.justia.com/regulations/fedreg/2016/03/29/2016-06998.html Tue, 29 Mar 2016 00:00:00 -0700 2016-06998 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-03-29/pdf/2016-06998.pdf Notice - Self-Regulatory Organizations; NYSE MKT LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Rule 13-Equities To Expand the Availability of Self-Trade Prevention Modifiers to Non-Algorithmically Entered Floor Broker Interest https://regulations.justia.com/regulations/fedreg/2016/03/29/2016-06996.html https://regulations.justia.com/regulations/fedreg/2016/03/29/2016-06996.html Tue, 29 Mar 2016 00:00:00 -0700 2016-06996 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-03-29/pdf/2016-06996.pdf Notice - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Order Approving Proposed Rule Change to Adopt FINRA Rule 2273 (Educational Communication Related to Recruitment Practices and Account Transfers) https://regulations.justia.com/regulations/fedreg/2016/03/29/2016-06995.html https://regulations.justia.com/regulations/fedreg/2016/03/29/2016-06995.html Tue, 29 Mar 2016 00:00:00 -0700 2016-06995 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-03-29/pdf/2016-06995.pdf Notice - Self-Regulatory Organizations; NASDAQ BX, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Chapter XI (Doing Business With the Public), Section 8 (Supervision of Accounts) of the Exchange's Rulebook https://regulations.justia.com/regulations/fedreg/2016/03/29/2016-06994.html https://regulations.justia.com/regulations/fedreg/2016/03/29/2016-06994.html Tue, 29 Mar 2016 00:00:00 -0700 2016-06994 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-03-29/pdf/2016-06994.pdf Notice - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Chapter XI (Doing Business With the Public), Section 8 (Supervision of Accounts) of the Exchange's Rulebook https://regulations.justia.com/regulations/fedreg/2016/03/29/2016-06993.html https://regulations.justia.com/regulations/fedreg/2016/03/29/2016-06993.html Tue, 29 Mar 2016 00:00:00 -0700 2016-06993 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-03-29/pdf/2016-06993.pdf Notice - Self-Regulatory Organizations; ICE Clear Europe Limited; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to Additions to Permitted Cover https://regulations.justia.com/regulations/fedreg/2016/03/29/2016-06992.html https://regulations.justia.com/regulations/fedreg/2016/03/29/2016-06992.html Tue, 29 Mar 2016 00:00:00 -0700 2016-06992 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-03-29/pdf/2016-06992.pdf Notice - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Extending the Pilot Period for the Exchange's Retail Liquidity Program https://regulations.justia.com/regulations/fedreg/2016/03/29/2016-06991.html https://regulations.justia.com/regulations/fedreg/2016/03/29/2016-06991.html Tue, 29 Mar 2016 00:00:00 -0700 2016-06991 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-03-29/pdf/2016-06991.pdf Notice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Extend the Pilot Period for the Exchange's Retail Liquidity Program, Which Is Currently Scheduled To Expire on March 31, 2016, Until August 31, 2016 https://regulations.justia.com/regulations/fedreg/2016/03/29/2016-06990.html https://regulations.justia.com/regulations/fedreg/2016/03/29/2016-06990.html Tue, 29 Mar 2016 00:00:00 -0700 2016-06990 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-03-29/pdf/2016-06990.pdf Notice - Self-Regulatory Organizations; NYSE MKT LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Extending the Pilot Period for the Exchange's Retail Liquidity Program https://regulations.justia.com/regulations/fedreg/2016/03/29/2016-06989.html https://regulations.justia.com/regulations/fedreg/2016/03/29/2016-06989.html Tue, 29 Mar 2016 00:00:00 -0700 2016-06989 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-03-29/pdf/2016-06989.pdf Notice - Investor Advisory Committee Meeting https://regulations.justia.com/regulations/fedreg/2016/03/29/2016-06988.html https://regulations.justia.com/regulations/fedreg/2016/03/29/2016-06988.html Tue, 29 Mar 2016 00:00:00 -0700 2016-06988 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-03-29/pdf/2016-06988.pdf