<![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/2016/10/12?registers=between Sun, 29 Dec 2024 09:01:46 -0800 Sun, 29 Dec 2024 09:01:46 -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/2016/10/12?registers=between Notice - Sunshine Act Meeting https://regulations.justia.com/regulations/fedreg/2016/10/12/2016-24732.html https://regulations.justia.com/regulations/fedreg/2016/10/12/2016-24732.html Wed, 12 Oct 2016 00:00:00 -0700 2016-24732 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-10-12/pdf/2016-24732.pdf Notice - Sunshine Act Meeting https://regulations.justia.com/regulations/fedreg/2016/10/12/2016-24731.html https://regulations.justia.com/regulations/fedreg/2016/10/12/2016-24731.html Wed, 12 Oct 2016 00:00:00 -0700 2016-24731 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-10-12/pdf/2016-24731.pdf Notice - Self-Regulatory Organizations; NYSE MKT LLC; Order Granting Approval of Proposed Rule Change Amending Section 146 of the NYSE MKT Company Guide To Adjust the Entitlement to Services of Special Purpose Acquisition Companies https://regulations.justia.com/regulations/fedreg/2016/10/12/2016-24608.html https://regulations.justia.com/regulations/fedreg/2016/10/12/2016-24608.html Wed, 12 Oct 2016 00:00:00 -0700 2016-24608 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-10-12/pdf/2016-24608.pdf Notice - Self-Regulatory Organizations; NYSE MKT LLC; NYSE Arca, Inc.; Order Instituting Proceedings To Determine Whether To Approve or Disapprove Proposed Rule Changes To Extend the Time Within Which a Member, Member Organization, an ATP Holder, an OTP Holder, or an OTP Firm Must File a Uniform Termination Notice for Securities Industry Registration (“Form U5”) https://regulations.justia.com/regulations/fedreg/2016/10/12/2016-24580.html https://regulations.justia.com/regulations/fedreg/2016/10/12/2016-24580.html Wed, 12 Oct 2016 00:00:00 -0700 2016-24580 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-10-12/pdf/2016-24580.pdf Notice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending the NYSE Arca Equities Schedule of Fees and Charges for Exchange Services To Revise the Requirements for the Current Step Up Tier https://regulations.justia.com/regulations/fedreg/2016/10/12/2016-24579.html https://regulations.justia.com/regulations/fedreg/2016/10/12/2016-24579.html Wed, 12 Oct 2016 00:00:00 -0700 2016-24579 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-10-12/pdf/2016-24579.pdf Notice - Self-Regulatory Organizations; Bats BZX Exchange, Inc.; Order Granting Approval of a Proposed Rule Change, as Modified by Amendment Nos. 1, 2, and 3, To List and Trade Shares of the JPMorgan Global Bond Opportunities ETF of the J.P. Morgan Exchange-Traded Fund Trust Under BZX Rule 14.11(i), Managed Fund Shares https://regulations.justia.com/regulations/fedreg/2016/10/12/2016-24578.html https://regulations.justia.com/regulations/fedreg/2016/10/12/2016-24578.html Wed, 12 Oct 2016 00:00:00 -0700 2016-24578 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-10-12/pdf/2016-24578.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 Nos. 1, 2, and 3 Thereto, To List and Trade Shares of the JPMorgan Diversified Event Driven ETF Under NYSE Arca Equities Rule 8.600 https://regulations.justia.com/regulations/fedreg/2016/10/12/2016-24577.html https://regulations.justia.com/regulations/fedreg/2016/10/12/2016-24577.html Wed, 12 Oct 2016 00:00:00 -0700 2016-24577 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-10-12/pdf/2016-24577.pdf Notice - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Designation of a Longer Period for Commission Action on Proposed Rule Change Adopting Maximum Fees Member Organizations May Charge in Connection With the Distribution of Investment Company Shareholder Reports Pursuant to Any Electronic Delivery Rules Adopted by the Securities and Exchange Commission https://regulations.justia.com/regulations/fedreg/2016/10/12/2016-24576.html https://regulations.justia.com/regulations/fedreg/2016/10/12/2016-24576.html Wed, 12 Oct 2016 00:00:00 -0700 2016-24576 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-10-12/pdf/2016-24576.pdf Notice - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Modify Fees and Transaction Credits for the FINRA/NYSE Trade Reporting Facility https://regulations.justia.com/regulations/fedreg/2016/10/12/2016-24575.html https://regulations.justia.com/regulations/fedreg/2016/10/12/2016-24575.html Wed, 12 Oct 2016 00:00:00 -0700 2016-24575 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-10-12/pdf/2016-24575.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 Adopt the Third Party Connectivity Service Under Rules 7034(b) and 7051 https://regulations.justia.com/regulations/fedreg/2016/10/12/2016-24574.html https://regulations.justia.com/regulations/fedreg/2016/10/12/2016-24574.html Wed, 12 Oct 2016 00:00:00 -0700 2016-24574 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-10-12/pdf/2016-24574.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 503 Openings on the Exchange and Rule 603 Obligations of Market Makers https://regulations.justia.com/regulations/fedreg/2016/10/12/2016-24573.html https://regulations.justia.com/regulations/fedreg/2016/10/12/2016-24573.html Wed, 12 Oct 2016 00:00:00 -0700 2016-24573 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-10-12/pdf/2016-24573.pdf Notice - Self-Regulatory Organizations; NASDAQ PHLX LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Options Floor Procedure Advice F-1, Entitled “Use of Identification Letters and Numbers.” https://regulations.justia.com/regulations/fedreg/2016/10/12/2016-24572.html https://regulations.justia.com/regulations/fedreg/2016/10/12/2016-24572.html Wed, 12 Oct 2016 00:00:00 -0700 2016-24572 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-10-12/pdf/2016-24572.pdf Notice - Harris Associates Investment Trust, et al.; Notice of Application https://regulations.justia.com/regulations/fedreg/2016/10/12/2016-24568.html https://regulations.justia.com/regulations/fedreg/2016/10/12/2016-24568.html Wed, 12 Oct 2016 00:00:00 -0700 2016-24568 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-10-12/pdf/2016-24568.pdf