<![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/2016/10/05?registers=between Thu, 24 Jul 2025 12:26:53 -0700 Thu, 24 Jul 2025 12:26:53 -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/2016/10/05?registers=between Notice - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing of Amendment No. 3, and Order Granting Accelerated Approval of Proposed Rule Change, as Modified by Amendment No. 3, to List and Trade Shares of the First Trust Municipal High Income ETF of First Trust Exchange-Traded Fund III https://regulations.justia.com/regulations/fedreg/2016/10/05/2016-24086.html https://regulations.justia.com/regulations/fedreg/2016/10/05/2016-24086.html Wed, 05 Oct 2016 00:00:00 -0700 2016-24086 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-10-05/pdf/2016-24086.pdf Notice - Self-Regulatory Organizations; New York Stock Exchange LLC; NYSE MKT LLC; NYSE Arca, Inc.; Order Approving Proposed Rule Change, as Modified by Amendment No. 2 Thereto, Amending and Restating the Second Amended and Restated Certificate of Incorporation of the Exchanges' Ultimate Parent Company, Intercontinental Exchange, Inc. https://regulations.justia.com/regulations/fedreg/2016/10/05/2016-24016.html https://regulations.justia.com/regulations/fedreg/2016/10/05/2016-24016.html Wed, 05 Oct 2016 00:00:00 -0700 2016-24016 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-10-05/pdf/2016-24016.pdf Notice - Self-Regulatory Organizations; Bats EDGX Exchange, Inc.; Notice of Filing of a Proposed Rule Change Related to the Exchange's Equity Options Platform To Adopt a Price Improvement Auction, the Bats Auction Mechanism https://regulations.justia.com/regulations/fedreg/2016/10/05/2016-24010.html https://regulations.justia.com/regulations/fedreg/2016/10/05/2016-24010.html Wed, 05 Oct 2016 00:00:00 -0700 2016-24010 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-10-05/pdf/2016-24010.pdf Notice - Self-Regulatory Organizations; National Stock Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Exchange Rules 11.11 and 11.26 To Describe Changes to System Functionality Necessary To Implement the Regulation NMS Plan To Implement a Tick Size Pilot Program https://regulations.justia.com/regulations/fedreg/2016/10/05/2016-24009.html https://regulations.justia.com/regulations/fedreg/2016/10/05/2016-24009.html Wed, 05 Oct 2016 00:00:00 -0700 2016-24009 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-10-05/pdf/2016-24009.pdf Notice - Self-Regulatory Organizations; NASDAQ BX, Inc.; Notice of Filing of Proposed Rule Change To Amend the By-Laws of Nasdaq, Inc. to Implement Proxy Access https://regulations.justia.com/regulations/fedreg/2016/10/05/2016-24008.html https://regulations.justia.com/regulations/fedreg/2016/10/05/2016-24008.html Wed, 05 Oct 2016 00:00:00 -0700 2016-24008 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-10-05/pdf/2016-24008.pdf Notice - Self-Regulatory Organizations; International Securities Exchange, LLC; Notice of Filing of Proposed Rule Change To Amend the By-Laws of Nasdaq, Inc. To Implement Proxy Access https://regulations.justia.com/regulations/fedreg/2016/10/05/2016-24007.html https://regulations.justia.com/regulations/fedreg/2016/10/05/2016-24007.html Wed, 05 Oct 2016 00:00:00 -0700 2016-24007 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-10-05/pdf/2016-24007.pdf Notice - Self-Regulatory Organizations; Stock Clearing Corporation of Philadelphia; Notice of Filing of Proposed Rule Change To Amend the By-Laws of Nasdaq, Inc. To Implement Proxy Access https://regulations.justia.com/regulations/fedreg/2016/10/05/2016-24006.html https://regulations.justia.com/regulations/fedreg/2016/10/05/2016-24006.html Wed, 05 Oct 2016 00:00:00 -0700 2016-24006 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-10-05/pdf/2016-24006.pdf Notice - Self-Regulatory Organizations; The Options Clearing Corporation; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Related to Amendments to and the Restatement of OCC's Certificate of Incorporation https://regulations.justia.com/regulations/fedreg/2016/10/05/2016-24005.html https://regulations.justia.com/regulations/fedreg/2016/10/05/2016-24005.html Wed, 05 Oct 2016 00:00:00 -0700 2016-24005 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-10-05/pdf/2016-24005.pdf Notice - Self-Regulatory Organizations; Boston Stock Exchange Clearing Corporation; Notice of Filing of Proposed Rule Change To Amend the By-Laws of Nasdaq, Inc. To Implement Proxy Access https://regulations.justia.com/regulations/fedreg/2016/10/05/2016-24004.html https://regulations.justia.com/regulations/fedreg/2016/10/05/2016-24004.html Wed, 05 Oct 2016 00:00:00 -0700 2016-24004 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-10-05/pdf/2016-24004.pdf Notice - Self-Regulatory Organizations; ISE Gemini, LLC; Notice of Filing of Proposed Rule Change To Amend the By-Laws of Nasdaq, Inc. To Implement Proxy Access https://regulations.justia.com/regulations/fedreg/2016/10/05/2016-24003.html https://regulations.justia.com/regulations/fedreg/2016/10/05/2016-24003.html Wed, 05 Oct 2016 00:00:00 -0700 2016-24003 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-10-05/pdf/2016-24003.pdf Notice - Self-Regulatory Organizations; ISE Mercury, LLC; Notice of Filing of Proposed Rule Change To Amend the By-Laws of Nasdaq, Inc. To Implement Proxy Access https://regulations.justia.com/regulations/fedreg/2016/10/05/2016-24002.html https://regulations.justia.com/regulations/fedreg/2016/10/05/2016-24002.html Wed, 05 Oct 2016 00:00:00 -0700 2016-24002 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-10-05/pdf/2016-24002.pdf Notice - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing of Proposed Rule Change To Amend the By-Laws of Nasdaq, Inc. To Implement Proxy Access https://regulations.justia.com/regulations/fedreg/2016/10/05/2016-24001.html https://regulations.justia.com/regulations/fedreg/2016/10/05/2016-24001.html Wed, 05 Oct 2016 00:00:00 -0700 2016-24001 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-10-05/pdf/2016-24001.pdf Notice - Self-Regulatory Organizations; NASDAQ PHLX LLC; Notice of Filing of Proposed Rule Change To Amend the By-Laws of Nasdaq, Inc. To Implement Proxy Access https://regulations.justia.com/regulations/fedreg/2016/10/05/2016-24000.html https://regulations.justia.com/regulations/fedreg/2016/10/05/2016-24000.html Wed, 05 Oct 2016 00:00:00 -0700 2016-24000 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-10-05/pdf/2016-24000.pdf Notice - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Nasdaq's Fees and Credits at Rules 7014 and 7018 https://regulations.justia.com/regulations/fedreg/2016/10/05/2016-23999.html https://regulations.justia.com/regulations/fedreg/2016/10/05/2016-23999.html Wed, 05 Oct 2016 00:00:00 -0700 2016-23999 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-10-05/pdf/2016-23999.pdf Notice - Order Extending a Temporary Exemption From Compliance With Rules 13n-1 to 13n-12 Under the Securities Exchange Act of 1934 https://regulations.justia.com/regulations/fedreg/2016/10/05/2016-23998.html https://regulations.justia.com/regulations/fedreg/2016/10/05/2016-23998.html Wed, 05 Oct 2016 00:00:00 -0700 2016-23998 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-10-05/pdf/2016-23998.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 519C, Mass Cancellation of Trading Interest https://regulations.justia.com/regulations/fedreg/2016/10/05/2016-23997.html https://regulations.justia.com/regulations/fedreg/2016/10/05/2016-23997.html Wed, 05 Oct 2016 00:00:00 -0700 2016-23997 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-10-05/pdf/2016-23997.pdf Proposed Rule - Amendment to Securities Transaction Settlement Cycle https://regulations.justia.com/regulations/fedreg/2016/10/05/2016-23890.html https://regulations.justia.com/regulations/fedreg/2016/10/05/2016-23890.html Wed, 05 Oct 2016 00:00:00 -0700 2016-23890 Proposed Rule https://www.gpo.gov/fdsys/pkg/FR-2016-10-05/pdf/2016-23890.pdf