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/2016/11/01?limit=200&registers=between&mode=atom 2025-01-01T07:06:01-08:00 Justia Inc https://www.justia.com/ Justia Regulations Tracker https://regulations.justia.com/images/justiafedregulations.gif Copyright 2011 Justia Inc https://regulations.justia.com/regulations/fedreg/2016/11/01/2016-26506.html Notice - Sunshine Act Meeting 2016-11-01T00:00:00-07:00 2016-11-01T00:00:00-07:00 2016-26506 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-11-01/pdf/2016-26506.pdf https://regulations.justia.com/regulations/fedreg/2016/11/01/2016-26382.html Notice - Self-Regulatory Organizations; The Options Clearing Corporation; Notice of Filing of Proposed Rule Change Related to Compliance With Section 871(m) of the Internal Revenue Code 2016-11-01T00:00:00-07:00 2016-11-01T00:00:00-07:00 2016-26382 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-11-01/pdf/2016-26382.pdf https://regulations.justia.com/regulations/fedreg/2016/11/01/2016-26305.html Notice - Hartford Mutual Funds Inc., et al.; Notice of Application 2016-11-01T00:00:00-07:00 2016-11-01T00:00:00-07:00 2016-26305 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-11-01/pdf/2016-26305.pdf https://regulations.justia.com/regulations/fedreg/2016/11/01/2016-26303.html Notice - Self-Regulatory Organizations; Fixed Income Clearing Corporation; National Securities Clearing Corporation; Order Granting Approval of Proposed Rule Changes To Describe the Backtesting Charge and the Holiday Charge That May Be Imposed on Members 2016-11-01T00:00:00-07:00 2016-11-01T00:00:00-07:00 2016-26303 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-11-01/pdf/2016-26303.pdf https://regulations.justia.com/regulations/fedreg/2016/11/01/2016-26302.html Notice - Self-Regulatory Organizations; The Depository Trust Company; Fixed Income Clearing Corporation; National Securities Clearing Corporation; Notice of Designation of a Longer Period for Commission Action on Proposed Rule Changes Relating to Clearing Agency Investment Policy 2016-11-01T00:00:00-07:00 2016-11-01T00:00:00-07:00 2016-26302 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-11-01/pdf/2016-26302.pdf https://regulations.justia.com/regulations/fedreg/2016/11/01/2016-26301.html Notice - Self-Regulatory Organizations; The Nasdaq Stock Market LLC; Notice of Filing of Proposed Rule Change To Amend Rule 4702 To Adopt a New Retail Post-Only Order 2016-11-01T00:00:00-07:00 2016-11-01T00:00:00-07:00 2016-26301 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-11-01/pdf/2016-26301.pdf https://regulations.justia.com/regulations/fedreg/2016/11/01/2016-26300.html Notice - Self-Regulatory Organizations; Bats BZX Exchange, Inc.; Notice of Filing of a Proposed Rule Change To Amend Exchange Rule 11.23, Auctions, To Enhance the Reopening Auction Process Following a Trading Halt Declared Pursuant to the Plan To Address Extraordinary Market Volatility Pursuant to Rule 608 of Regulation NMS 2016-11-01T00:00:00-07:00 2016-11-01T00:00:00-07:00 2016-26300 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-11-01/pdf/2016-26300.pdf https://regulations.justia.com/regulations/fedreg/2016/11/01/2016-26299.html Notice - Order Granting Limited Exemptions From Exchange Act Rule 10b-17 and Rules 101 and 102 of Regulation M to Premise Capital Frontier Advantage Diversified Tactical ETF Pursuant to Exchange Act Rule 10b-17(b)(2) and Rules 101(d) and 102(e) of Regulation M 2016-11-01T00:00:00-07:00 2016-11-01T00:00:00-07:00 2016-26299 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-11-01/pdf/2016-26299.pdf https://regulations.justia.com/regulations/fedreg/2016/11/01/2016-26298.html Notice - Self-Regulatory Organizations; The Nasdaq Stock Market LLC; Notice of Filing of Proposed Rule Change To Enhance the Reopening Auction Process Following a Trading Halt Declared Pursuant to the Plan To Address Extraordinary Market Volatility 2016-11-01T00:00:00-07:00 2016-11-01T00:00:00-07:00 2016-26298 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-11-01/pdf/2016-26298.pdf https://regulations.justia.com/regulations/fedreg/2016/11/01/2016-26297.html Notice - Self-Regulatory Organizations; Miami International Securities Exchange LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Its Fee Schedule To Adopt Fees and Credits for Transactions Involving Complex Orders 2016-11-01T00:00:00-07:00 2016-11-01T00:00:00-07:00 2016-26297 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-11-01/pdf/2016-26297.pdf