<![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/2016/05?registers=between&min-day=1&max-day=31 Thu, 23 May 2024 17:29:47 -0700 Thu, 23 May 2024 17:29:47 -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/2016/05?registers=between&min-day=1&max-day=31 Notice - Submission for OMB Review; Comment Request https://regulations.justia.com/regulations/fedreg/2016/05/31/2016-12676.html https://regulations.justia.com/regulations/fedreg/2016/05/31/2016-12676.html Tue, 31 May 2016 00:00:00 -0700 2016-12676 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-05-31/pdf/2016-12676.pdf Notice - Submission for OMB Review; Comment Request https://regulations.justia.com/regulations/fedreg/2016/05/31/2016-12675.html https://regulations.justia.com/regulations/fedreg/2016/05/31/2016-12675.html Tue, 31 May 2016 00:00:00 -0700 2016-12675 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-05-31/pdf/2016-12675.pdf Notice - Submission for OMB Review; Comment Request https://regulations.justia.com/regulations/fedreg/2016/05/31/2016-12674.html https://regulations.justia.com/regulations/fedreg/2016/05/31/2016-12674.html Tue, 31 May 2016 00:00:00 -0700 2016-12674 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-05-31/pdf/2016-12674.pdf Notice - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing of Proposed Rule Change Removing From Its Rules Certain Internal Procedures Regarding the Use of Fine Income https://regulations.justia.com/regulations/fedreg/2016/05/31/2016-12673.html https://regulations.justia.com/regulations/fedreg/2016/05/31/2016-12673.html Tue, 31 May 2016 00:00:00 -0700 2016-12673 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-05-31/pdf/2016-12673.pdf Notice - Self-Regulatory Organizations; NYSE Arca, Inc.; Order Approving Proposed Rule Change, as Modified by Amendment No. 1 Thereto, Amending Section 4.01(a) of the NYSE Arca's Bylaws and NYSE Arca Rule 3.3 to Establish a Committee for Review as a Sub-Committee of the ROC and Making Conforming Changes to NYSE Arca Rules https://regulations.justia.com/regulations/fedreg/2016/05/31/2016-12672.html https://regulations.justia.com/regulations/fedreg/2016/05/31/2016-12672.html Tue, 31 May 2016 00:00:00 -0700 2016-12672 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-05-31/pdf/2016-12672.pdf Notice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Rule 6.43 Regarding Definition of Floor Broker https://regulations.justia.com/regulations/fedreg/2016/05/31/2016-12671.html https://regulations.justia.com/regulations/fedreg/2016/05/31/2016-12671.html Tue, 31 May 2016 00:00:00 -0700 2016-12671 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-05-31/pdf/2016-12671.pdf Notice - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing of Proposed Rule Change, as Modified by Amendment No. 1 Thereto, Relating to the Listing and Trading of the Shares of the First Trust CEF Income Opportunity ETF and the First Trust Municipal CEF Income Opportunity ETF of First Trust Exchange-Traded Fund VIII https://regulations.justia.com/regulations/fedreg/2016/05/31/2016-12670.html https://regulations.justia.com/regulations/fedreg/2016/05/31/2016-12670.html Tue, 31 May 2016 00:00:00 -0700 2016-12670 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-05-31/pdf/2016-12670.pdf Notice - Self-Regulatory Organizations; NASDAQ BX, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Options Pricing at Chapter XV, Section 2 https://regulations.justia.com/regulations/fedreg/2016/05/31/2016-12669.html https://regulations.justia.com/regulations/fedreg/2016/05/31/2016-12669.html Tue, 31 May 2016 00:00:00 -0700 2016-12669 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-05-31/pdf/2016-12669.pdf Notice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing of Proposed Rule Change Regarding Use of Rule 144A Securities by the Fidelity Corporate Bond ETF, Fidelity Investment Grade Bond ETF, Fidelity Limited Term Bond ETF, and Fidelity Total Bond ETF https://regulations.justia.com/regulations/fedreg/2016/05/31/2016-12668.html https://regulations.justia.com/regulations/fedreg/2016/05/31/2016-12668.html Tue, 31 May 2016 00:00:00 -0700 2016-12668 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-05-31/pdf/2016-12668.pdf Notice - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing of Proposed Rule Change, as Modified by Amendment No. 1 Thereto, Relating to the Listing and Trading of the Shares of the Amplify Dow Theory Forecasts Buy List ETF of Amplify ETF Trust https://regulations.justia.com/regulations/fedreg/2016/05/31/2016-12667.html https://regulations.justia.com/regulations/fedreg/2016/05/31/2016-12667.html Tue, 31 May 2016 00:00:00 -0700 2016-12667 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-05-31/pdf/2016-12667.pdf Notice - Self-Regulatory Organizations; Bats EDGA Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Change to the Market Data Section of its Fee Schedule https://regulations.justia.com/regulations/fedreg/2016/05/31/2016-12666.html https://regulations.justia.com/regulations/fedreg/2016/05/31/2016-12666.html Tue, 31 May 2016 00:00:00 -0700 2016-12666 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-05-31/pdf/2016-12666.pdf Notice - Self-Regulatory Organizations; Bats EDGX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Change to the Market Data Section of Its Fee Schedule https://regulations.justia.com/regulations/fedreg/2016/05/31/2016-12665.html https://regulations.justia.com/regulations/fedreg/2016/05/31/2016-12665.html Tue, 31 May 2016 00:00:00 -0700 2016-12665 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-05-31/pdf/2016-12665.pdf Notice - Self-Regulatory Organizations; Bats BYX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Change to the Market Data Section of Its Fee Schedule https://regulations.justia.com/regulations/fedreg/2016/05/27/2016-12515.html https://regulations.justia.com/regulations/fedreg/2016/05/27/2016-12515.html Fri, 27 May 2016 00:00:00 -0700 2016-12515 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-05-27/pdf/2016-12515.pdf Notice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending the NYSE Arca Options Fee Schedule https://regulations.justia.com/regulations/fedreg/2016/05/27/2016-12512.html https://regulations.justia.com/regulations/fedreg/2016/05/27/2016-12512.html Fri, 27 May 2016 00:00:00 -0700 2016-12512 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-05-27/pdf/2016-12512.pdf Notice - Self-Regulatory Organizations; Bats BZX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Related to Fees as They Apply to the Equity Options Platform https://regulations.justia.com/regulations/fedreg/2016/05/27/2016-12511.html https://regulations.justia.com/regulations/fedreg/2016/05/27/2016-12511.html Fri, 27 May 2016 00:00:00 -0700 2016-12511 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-05-27/pdf/2016-12511.pdf Notice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending the Exchange's Schedule of Fees and Charges To Eliminate the Listing Fee in Connection With Exchange Listing of Certain Exchange Traded Products https://regulations.justia.com/regulations/fedreg/2016/05/27/2016-12510.html https://regulations.justia.com/regulations/fedreg/2016/05/27/2016-12510.html Fri, 27 May 2016 00:00:00 -0700 2016-12510 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-05-27/pdf/2016-12510.pdf Rule - Retail Foreign Exchange Transactions https://regulations.justia.com/regulations/fedreg/2016/05/26/2016-12390.html https://regulations.justia.com/regulations/fedreg/2016/05/26/2016-12390.html Thu, 26 May 2016 00:00:00 -0700 2016-12390 Rule https://www.gpo.gov/fdsys/pkg/FR-2016-05-26/pdf/2016-12390.pdf Notice - Self-Regulatory Organizations; ISE Gemini, LLC; Order Approving Proposed Rule Change Related to Market Wide Risk Protection https://regulations.justia.com/regulations/fedreg/2016/05/26/2016-12389.html https://regulations.justia.com/regulations/fedreg/2016/05/26/2016-12389.html Thu, 26 May 2016 00:00:00 -0700 2016-12389 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-05-26/pdf/2016-12389.pdf Notice - Self-Regulatory Organizations; New York Stock Exchange LLC; Order Approving Proposed Rule Change, as Modified by Amendment No. 1 Thereto, To Add Additional Order Types to the NYSE BondsSM https://regulations.justia.com/regulations/fedreg/2016/05/26/2016-12388.html https://regulations.justia.com/regulations/fedreg/2016/05/26/2016-12388.html Thu, 26 May 2016 00:00:00 -0700 2016-12388 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-05-26/pdf/2016-12388.pdf Notice - Self-Regulatory Organizations; The Nasdaq Stock Market LLC; Notice of Designation of a Longer Period for Commission Action on Proposed Rule Change To Require Listed Companies to Publicly Disclose Compensation or Other Payments by Third Parties to Board of Director's Members or Nominees https://regulations.justia.com/regulations/fedreg/2016/05/26/2016-12387.html https://regulations.justia.com/regulations/fedreg/2016/05/26/2016-12387.html Thu, 26 May 2016 00:00:00 -0700 2016-12387 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-05-26/pdf/2016-12387.pdf Notice - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Options Pricing at Chapter XV, Section 2 https://regulations.justia.com/regulations/fedreg/2016/05/26/2016-12386.html https://regulations.justia.com/regulations/fedreg/2016/05/26/2016-12386.html Thu, 26 May 2016 00:00:00 -0700 2016-12386 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-05-26/pdf/2016-12386.pdf Notice - Self-Regulatory Organizations; BOX Options Exchange LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend BOX Rule 12140 (Imposition of Fines for Minor Rule Violations) To Amend the Sanctions for Quotation Parameters and Permit the Aggregation of Violations for the Purpose of Determining What Is an Occurrence https://regulations.justia.com/regulations/fedreg/2016/05/26/2016-12385.html https://regulations.justia.com/regulations/fedreg/2016/05/26/2016-12385.html Thu, 26 May 2016 00:00:00 -0700 2016-12385 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-05-26/pdf/2016-12385.pdf Notice - Self-Regulatory Organizations; International Securities Exchange, LLC; Order Approving Proposed Rule Change Related to Market Wide Risk Protection https://regulations.justia.com/regulations/fedreg/2016/05/26/2016-12384.html https://regulations.justia.com/regulations/fedreg/2016/05/26/2016-12384.html Thu, 26 May 2016 00:00:00 -0700 2016-12384 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-05-26/pdf/2016-12384.pdf Notice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Designation of a Longer Period for Commission Action on Proceedings To Determine Whether To Approve or Disapprove a Proposed Rule Change, as Modified by Amendment No. 4 Thereto, Amending NYSE Arca Equities Rule 8.600 To Adopt Generic Listing Standards for Managed Fund Shares https://regulations.justia.com/regulations/fedreg/2016/05/26/2016-12383.html https://regulations.justia.com/regulations/fedreg/2016/05/26/2016-12383.html Thu, 26 May 2016 00:00:00 -0700 2016-12383 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-05-26/pdf/2016-12383.pdf Notice - Self-Regulatory Organizations; BATS Exchange, Inc.; Notice of Designation of a Longer Period for Commission Action on Proceedings To Determine Whether To Approve or Disapprove a Proposed Rule Change, as Modified by Amendments Nos. 1, 3, and 4 Thereto, To Amend BATS Rule 14.11(i) To Adopt Generic Listing Standards for Managed Fund Shares https://regulations.justia.com/regulations/fedreg/2016/05/26/2016-12382.html https://regulations.justia.com/regulations/fedreg/2016/05/26/2016-12382.html Thu, 26 May 2016 00:00:00 -0700 2016-12382 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-05-26/pdf/2016-12382.pdf Notice - Investor Advisory Committee Meeting https://regulations.justia.com/regulations/fedreg/2016/05/26/2016-12231.html https://regulations.justia.com/regulations/fedreg/2016/05/26/2016-12231.html Thu, 26 May 2016 00:00:00 -0700 2016-12231 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-05-26/pdf/2016-12231.pdf Notice - Self-Regulatory Organizations; Miami International Securities Exchange LLC; Order Granting Approval of Proposed Rule Change to Amend the Exchange's Amended and Restated By-Laws Relating to the Removal of a Board Restriction https://regulations.justia.com/regulations/fedreg/2016/05/25/2016-12396.html https://regulations.justia.com/regulations/fedreg/2016/05/25/2016-12396.html Wed, 25 May 2016 00:00:00 -0700 2016-12396 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-05-25/pdf/2016-12396.pdf Notice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing of Proposed Rule Change Relating to the Listing and Trading of Shares of the Natixis Seeyond International Minimum Volatility ETF Under NYSE Arca Equities Rule 8.600 https://regulations.justia.com/regulations/fedreg/2016/05/25/2016-12242.html https://regulations.justia.com/regulations/fedreg/2016/05/25/2016-12242.html Wed, 25 May 2016 00:00:00 -0700 2016-12242 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-05-25/pdf/2016-12242.pdf Notice - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending NYSE Rule 13 and Related Rules Regarding Market Orders https://regulations.justia.com/regulations/fedreg/2016/05/25/2016-12241.html https://regulations.justia.com/regulations/fedreg/2016/05/25/2016-12241.html Wed, 25 May 2016 00:00:00 -0700 2016-12241 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-05-25/pdf/2016-12241.pdf Notice - Self-Regulatory Organizations; NYSE MKT LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Rule 13-Equities and Related Rules Regarding Market Orders https://regulations.justia.com/regulations/fedreg/2016/05/25/2016-12240.html https://regulations.justia.com/regulations/fedreg/2016/05/25/2016-12240.html Wed, 25 May 2016 00:00:00 -0700 2016-12240 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-05-25/pdf/2016-12240.pdf Notice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Reflecting a Change to the Means of Achieving the Investment Objective With Respect to the AdvisorShares EquityPro ETF https://regulations.justia.com/regulations/fedreg/2016/05/25/2016-12239.html https://regulations.justia.com/regulations/fedreg/2016/05/25/2016-12239.html Wed, 25 May 2016 00:00:00 -0700 2016-12239 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-05-25/pdf/2016-12239.pdf Notice - Self-Regulatory Organizations; Municipal Securities Rulemaking Board; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Consisting of Amendments to the MSRB's Amended and Restated Articles of Incorporation https://regulations.justia.com/regulations/fedreg/2016/05/25/2016-12238.html https://regulations.justia.com/regulations/fedreg/2016/05/25/2016-12238.html Wed, 25 May 2016 00:00:00 -0700 2016-12238 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-05-25/pdf/2016-12238.pdf Notice - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend and Clarify Closed-End Funds Annual Fees https://regulations.justia.com/regulations/fedreg/2016/05/25/2016-12237.html https://regulations.justia.com/regulations/fedreg/2016/05/25/2016-12237.html Wed, 25 May 2016 00:00:00 -0700 2016-12237 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-05-25/pdf/2016-12237.pdf Notice - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing of Proposed Rule Change Relating To Listing and Trading of Shares of the First Trust Equity Market Neutral ETF of the First Trust Exchange-Traded Fund VIII https://regulations.justia.com/regulations/fedreg/2016/05/25/2016-12236.html https://regulations.justia.com/regulations/fedreg/2016/05/25/2016-12236.html Wed, 25 May 2016 00:00:00 -0700 2016-12236 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-05-25/pdf/2016-12236.pdf Notice - Self-Regulatory Organizations; Miami International Securities Exchange LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Exchange Rule 100 Concerning Professional Customers https://regulations.justia.com/regulations/fedreg/2016/05/25/2016-12235.html https://regulations.justia.com/regulations/fedreg/2016/05/25/2016-12235.html Wed, 25 May 2016 00:00:00 -0700 2016-12235 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-05-25/pdf/2016-12235.pdf Notice - Sunshine Act Meeting https://regulations.justia.com/regulations/fedreg/2016/05/24/2016-12291.html https://regulations.justia.com/regulations/fedreg/2016/05/24/2016-12291.html Tue, 24 May 2016 00:00:00 -0700 2016-12291 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-05-24/pdf/2016-12291.pdf Notice - In the Matter of NuTech Energy Resources, Inc.; Order of Suspension of Trading https://regulations.justia.com/regulations/fedreg/2016/05/24/2016-12290.html https://regulations.justia.com/regulations/fedreg/2016/05/24/2016-12290.html Tue, 24 May 2016 00:00:00 -0700 2016-12290 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-05-24/pdf/2016-12290.pdf Notice - In the Matter of Dragon Bright Mintai Botanical Technology Cayman Ltd., JinZangHuang Tibet Pharmaceuticals, Inc., and Macau Resources Group Ltd.; Order of Suspension of Trading https://regulations.justia.com/regulations/fedreg/2016/05/24/2016-12289.html https://regulations.justia.com/regulations/fedreg/2016/05/24/2016-12289.html Tue, 24 May 2016 00:00:00 -0700 2016-12289 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-05-24/pdf/2016-12289.pdf Notice - In the Matter of Bodisen Biotech, Inc., China Global Media, Inc., China Heli Resource Renewable, Inc., and GFR Pharmaceuticals, Inc.; Order of Suspension of Trading https://regulations.justia.com/regulations/fedreg/2016/05/24/2016-12288.html https://regulations.justia.com/regulations/fedreg/2016/05/24/2016-12288.html Tue, 24 May 2016 00:00:00 -0700 2016-12288 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-05-24/pdf/2016-12288.pdf Proposed Rule - Performance-Based Investment Advisory Fees https://regulations.justia.com/regulations/fedreg/2016/05/24/2016-12167.html https://regulations.justia.com/regulations/fedreg/2016/05/24/2016-12167.html Tue, 24 May 2016 00:00:00 -0700 2016-12167 Proposed Rule https://www.gpo.gov/fdsys/pkg/FR-2016-05-24/pdf/2016-12167.pdf Rule - Business Conduct Standards for Security-Based Swap Dealers and Major Security-Based Swap Participants; Correction https://regulations.justia.com/regulations/fedreg/2016/05/24/2016-12166.html https://regulations.justia.com/regulations/fedreg/2016/05/24/2016-12166.html Tue, 24 May 2016 00:00:00 -0700 2016-12166 Rule https://www.gpo.gov/fdsys/pkg/FR-2016-05-24/pdf/2016-12166.pdf Notice - Proposed Collection; Comment Request https://regulations.justia.com/regulations/fedreg/2016/05/24/2016-12116.html https://regulations.justia.com/regulations/fedreg/2016/05/24/2016-12116.html Tue, 24 May 2016 00:00:00 -0700 2016-12116 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-05-24/pdf/2016-12116.pdf Notice - Submission for OMB Review; Comment Request https://regulations.justia.com/regulations/fedreg/2016/05/24/2016-12115.html https://regulations.justia.com/regulations/fedreg/2016/05/24/2016-12115.html Tue, 24 May 2016 00:00:00 -0700 2016-12115 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-05-24/pdf/2016-12115.pdf Notice - Self-Regulatory Organizations; NYSE Arca, Inc.; Order Instituting Proceedings To Determine Whether To Approve or Disapprove a Proposed Rule Change, as Modified by Amendment No. 1 Thereto, To Adopt NYSE Arca Equities Rule 8.900 To Permit Listing and Trading of Managed Portfolio Shares and To Permit Listing and Trading of Shares of Fifteen Issues of the Precidian ETFs Trust https://regulations.justia.com/regulations/fedreg/2016/05/23/2016-12028.html https://regulations.justia.com/regulations/fedreg/2016/05/23/2016-12028.html Mon, 23 May 2016 00:00:00 -0700 2016-12028 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-05-23/pdf/2016-12028.pdf Notice - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing of Amendment No. 5 to Proposed Rule Change Adopting Initial and Continued Listing Standards for the Listing of Equity Investment Tracking Stocks and Adopting Listing Fees Specific to Equity Investment Tracking Stocks https://regulations.justia.com/regulations/fedreg/2016/05/23/2016-12017.html https://regulations.justia.com/regulations/fedreg/2016/05/23/2016-12017.html Mon, 23 May 2016 00:00:00 -0700 2016-12017 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-05-23/pdf/2016-12017.pdf Notice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing of Proposed Rule Change Relating to a Change to the Underlying Index for the PowerShares Build America Bond Portfolio https://regulations.justia.com/regulations/fedreg/2016/05/23/2016-12016.html https://regulations.justia.com/regulations/fedreg/2016/05/23/2016-12016.html Mon, 23 May 2016 00:00:00 -0700 2016-12016 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-05-23/pdf/2016-12016.pdf Notice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing of Proposed Rule Change, as Modified by Amendment No. 1 Thereto, Relating to the Listing and Trading of Shares of the AdvisorShares KIM Korea Equity ETF https://regulations.justia.com/regulations/fedreg/2016/05/23/2016-12014.html https://regulations.justia.com/regulations/fedreg/2016/05/23/2016-12014.html Mon, 23 May 2016 00:00:00 -0700 2016-12014 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-05-23/pdf/2016-12014.pdf Notice - Self-Regulatory Organizations; Bats BZX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Rules 15.1(a) and (c) in Order To Implement a Tape B Quoting Tier https://regulations.justia.com/regulations/fedreg/2016/05/23/2016-12013.html https://regulations.justia.com/regulations/fedreg/2016/05/23/2016-12013.html Mon, 23 May 2016 00:00:00 -0700 2016-12013 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-05-23/pdf/2016-12013.pdf Notice - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing of a Proposed Rule Change Amending Rule 12904 (Awards) of the Code of Arbitration Procedure for Customer Disputes and Rule 13904 (Awards) of the Code of Arbitration Procedure for Industry Disputes To Permit Award Offsets in Arbitration https://regulations.justia.com/regulations/fedreg/2016/05/23/2016-12012.html https://regulations.justia.com/regulations/fedreg/2016/05/23/2016-12012.html Mon, 23 May 2016 00:00:00 -0700 2016-12012 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-05-23/pdf/2016-12012.pdf Notice - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Order Approving Proposed Rule Change, as Modified by Amendment No. 2 Thereto, Relating to AIM Retained Orders https://regulations.justia.com/regulations/fedreg/2016/05/20/2016-12015.html https://regulations.justia.com/regulations/fedreg/2016/05/20/2016-12015.html Fri, 20 May 2016 00:00:00 -0700 2016-12015 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-05-20/pdf/2016-12015.pdf