<![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/2016/04/13?registers=between Sun, 29 Dec 2024 08:50:06 -0800 Sun, 29 Dec 2024 08:50:06 -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/2016/04/13?registers=between Notice - Order of Suspension of Trading; In the Matter of Business Marketing Services, Inc., Diversified Corporate Resources, Inc., Great Lakes Recreation Co., Green Nature USA, Inc., Green St. Energy, Inc., International Total Services, Inc., J.P. Cabot Realty, Inc., Multicom Publishing, Pan American Resources, Inc., Printron, Inc., Seaboard Associates, Inc., Sona Mobile Holdings Group, Ltd., Standard Holdings Group, Ltd., TraceGuard Technologies, Inc., Tradings.net, Inc., US-Worldlink.com, Inc., Versadial, Inc., Voxcorp, Inc., and W3OTC, Inc. https://regulations.justia.com/regulations/fedreg/2016/04/13/2016-08611.html https://regulations.justia.com/regulations/fedreg/2016/04/13/2016-08611.html Wed, 13 Apr 2016 00:00:00 -0700 2016-08611 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-04-13/pdf/2016-08611.pdf Notice - Public Company Accounting Oversight Board; Notice of Filing of Proposed Amendments to Board Rules Relating to Inspections https://regulations.justia.com/regulations/fedreg/2016/04/13/2016-08444.html https://regulations.justia.com/regulations/fedreg/2016/04/13/2016-08444.html Wed, 13 Apr 2016 00:00:00 -0700 2016-08444 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-04-13/pdf/2016-08444.pdf Notice - Self-Regulatory Organizations; NASDAQ PHLX LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to PIXL https://regulations.justia.com/regulations/fedreg/2016/04/13/2016-08429.html https://regulations.justia.com/regulations/fedreg/2016/04/13/2016-08429.html Wed, 13 Apr 2016 00:00:00 -0700 2016-08429 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-04-13/pdf/2016-08429.pdf Notice - Self-Regulatory Organizations; ISE Mercury; Notice of Filing of Proposed Rule Change To Limit Mandatory Participation in Scheduled Functional and Performance Testing Under Regulation SCI to Only Those Primary Market Makers That Meet Specified Criteria https://regulations.justia.com/regulations/fedreg/2016/04/13/2016-08428.html https://regulations.justia.com/regulations/fedreg/2016/04/13/2016-08428.html Wed, 13 Apr 2016 00:00:00 -0700 2016-08428 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-04-13/pdf/2016-08428.pdf Notice - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Filing and Immediate Effectiveness of a Proposed Rule To Amend the Fees Schedule https://regulations.justia.com/regulations/fedreg/2016/04/13/2016-08427.html https://regulations.justia.com/regulations/fedreg/2016/04/13/2016-08427.html Wed, 13 Apr 2016 00:00:00 -0700 2016-08427 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-04-13/pdf/2016-08427.pdf Notice - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Order Approving a Proposed Rule Change Relating to LMMs and DPMs https://regulations.justia.com/regulations/fedreg/2016/04/13/2016-08426.html https://regulations.justia.com/regulations/fedreg/2016/04/13/2016-08426.html Wed, 13 Apr 2016 00:00:00 -0700 2016-08426 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-04-13/pdf/2016-08426.pdf Notice - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Rules 7015(g)(1) and 7034 https://regulations.justia.com/regulations/fedreg/2016/04/13/2016-08425.html https://regulations.justia.com/regulations/fedreg/2016/04/13/2016-08425.html Wed, 13 Apr 2016 00:00:00 -0700 2016-08425 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-04-13/pdf/2016-08425.pdf Notice - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Order Approving a Proposed Rule Change To Require Registration as Securities Traders of Associated Persons Primarily Responsible for the Design, Development, Significant Modification of Algorithmic Trading Strategies or Responsible for the Day-to-Day Supervision of Such Activities https://regulations.justia.com/regulations/fedreg/2016/04/13/2016-08424.html https://regulations.justia.com/regulations/fedreg/2016/04/13/2016-08424.html Wed, 13 Apr 2016 00:00:00 -0700 2016-08424 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-04-13/pdf/2016-08424.pdf Notice - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Order Approving Proposed Rule Change To Adopt FINRA Rule 3210 (Accounts at Other Broker-Dealers and Financial Institutions), as Modified by Partial Amendment No. 1 and Partial Amendment No. 2, in the Consolidated FINRA Rulebook https://regulations.justia.com/regulations/fedreg/2016/04/13/2016-08423.html https://regulations.justia.com/regulations/fedreg/2016/04/13/2016-08423.html Wed, 13 Apr 2016 00:00:00 -0700 2016-08423 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-04-13/pdf/2016-08423.pdf Notice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing of Amendment No. 1 and Order Granting Accelerated Approval of a Proposed Rule Change, as Modified by Amendment No. 1, To List and Trade Shares of the WBI Tactical Rotation Shares Under NYSE Arca Equities Rule 8.600 https://regulations.justia.com/regulations/fedreg/2016/04/13/2016-08422.html https://regulations.justia.com/regulations/fedreg/2016/04/13/2016-08422.html Wed, 13 Apr 2016 00:00:00 -0700 2016-08422 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-04-13/pdf/2016-08422.pdf