<![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/2016/11/07?registers=between Wed, 16 Jul 2025 00:20:44 -0700 Wed, 16 Jul 2025 00:20:44 -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/2016/11/07?registers=between Notice - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing of a Proposed Rule Change To Amend Rule 4512 (Customer Account Information) and Adopt FINRA Rule 2165 (Financial Exploitation of Specified Adults) https://regulations.justia.com/regulations/fedreg/2016/11/07/2016-26797.html https://regulations.justia.com/regulations/fedreg/2016/11/07/2016-26797.html Mon, 07 Nov 2016 00:00:00 -0800 2016-26797 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-11-07/pdf/2016-26797.pdf Notice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Commentary .05 to Rule 6.91 https://regulations.justia.com/regulations/fedreg/2016/11/07/2016-26796.html https://regulations.justia.com/regulations/fedreg/2016/11/07/2016-26796.html Mon, 07 Nov 2016 00:00:00 -0800 2016-26796 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-11-07/pdf/2016-26796.pdf Notice - Self-Regulatory Organizations; NYSE MKT LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Commentary .05 to Rule 980NY https://regulations.justia.com/regulations/fedreg/2016/11/07/2016-26795.html https://regulations.justia.com/regulations/fedreg/2016/11/07/2016-26795.html Mon, 07 Nov 2016 00:00:00 -0800 2016-26795 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-11-07/pdf/2016-26795.pdf Notice - Self-Regulatory Organizations; The Options Clearing Corporation; Notice of Filing of Proposed Rule Change Concerning the Options Clearing Corporation's Margin Coverage During Times of Increase Volatility https://regulations.justia.com/regulations/fedreg/2016/11/07/2016-26791.html https://regulations.justia.com/regulations/fedreg/2016/11/07/2016-26791.html Mon, 07 Nov 2016 00:00:00 -0800 2016-26791 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-11-07/pdf/2016-26791.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, To List and Trade Shares of the Direxion Daily Municipal Bond Taxable Bear 1X Fund Under NYSE Arca Equities Rule 5.2(j)(3) https://regulations.justia.com/regulations/fedreg/2016/11/07/2016-26790.html https://regulations.justia.com/regulations/fedreg/2016/11/07/2016-26790.html Mon, 07 Nov 2016 00:00:00 -0800 2016-26790 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-11-07/pdf/2016-26790.pdf Notice - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Its Price List https://regulations.justia.com/regulations/fedreg/2016/11/07/2016-26789.html https://regulations.justia.com/regulations/fedreg/2016/11/07/2016-26789.html Mon, 07 Nov 2016 00:00:00 -0800 2016-26789 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-11-07/pdf/2016-26789.pdf Notice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the NYSE Arca Options Fee Schedule Effective November 1, 2016 https://regulations.justia.com/regulations/fedreg/2016/11/07/2016-26788.html https://regulations.justia.com/regulations/fedreg/2016/11/07/2016-26788.html Mon, 07 Nov 2016 00:00:00 -0800 2016-26788 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-11-07/pdf/2016-26788.pdf Notice - Self-Regulatory Organizations; Chicago Stock Exchange, Inc.; Notice of Designation of a Longer Period for Commission Action on a Proposed Rule Change To Adopt the CHX Liquidity Taking Access Delay https://regulations.justia.com/regulations/fedreg/2016/11/07/2016-26787.html https://regulations.justia.com/regulations/fedreg/2016/11/07/2016-26787.html Mon, 07 Nov 2016 00:00:00 -0800 2016-26787 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-11-07/pdf/2016-26787.pdf Notice - Prudential ETF Trust, et al.; Notice of Application https://regulations.justia.com/regulations/fedreg/2016/11/07/2016-26786.html https://regulations.justia.com/regulations/fedreg/2016/11/07/2016-26786.html Mon, 07 Nov 2016 00:00:00 -0800 2016-26786 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-11-07/pdf/2016-26786.pdf Notice - Submission for OMB Review; Comment Request https://regulations.justia.com/regulations/fedreg/2016/11/07/2016-26785.html https://regulations.justia.com/regulations/fedreg/2016/11/07/2016-26785.html Mon, 07 Nov 2016 00:00:00 -0800 2016-26785 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-11-07/pdf/2016-26785.pdf