<![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/2016/11/17?registers=between Tue, 15 Jul 2025 14:02:17 -0700 Tue, 15 Jul 2025 14:02:17 -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/2016/11/17?registers=between Notice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing of Amendment No. 2 to, and Order Granting Accelerated Approval of, a Proposed Rule Change, as Modified by Amendment No. 2 Thereto, Relating To Listing and Trading of Shares of Cumberland Municipal Bond ETF under NYSE Arca Equities Rule 8.600 https://regulations.justia.com/regulations/fedreg/2016/11/17/2016-27603.html https://regulations.justia.com/regulations/fedreg/2016/11/17/2016-27603.html Thu, 17 Nov 2016 00:00:00 -0800 2016-27603 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-11-17/pdf/2016-27603.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 3, 2016 https://regulations.justia.com/regulations/fedreg/2016/11/17/2016-27602.html https://regulations.justia.com/regulations/fedreg/2016/11/17/2016-27602.html Thu, 17 Nov 2016 00:00:00 -0800 2016-27602 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-11-17/pdf/2016-27602.pdf Notice - Self-Regulatory Organizations; NASDAQ BX, Inc.; The Nasdaq Stock Market LLC; Order Approving Proposed Rule Changes, as Modified by Amendments No. 1, Relating to Post-Only Orders and Orders With Midpoint Pegging https://regulations.justia.com/regulations/fedreg/2016/11/17/2016-27600.html https://regulations.justia.com/regulations/fedreg/2016/11/17/2016-27600.html Thu, 17 Nov 2016 00:00:00 -0800 2016-27600 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-11-17/pdf/2016-27600.pdf Notice - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to the Implementation Date for Alternative Trading Systems To Report Sequence Numbers Under Rule 4554 https://regulations.justia.com/regulations/fedreg/2016/11/17/2016-27599.html https://regulations.justia.com/regulations/fedreg/2016/11/17/2016-27599.html Thu, 17 Nov 2016 00:00:00 -0800 2016-27599 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-11-17/pdf/2016-27599.pdf Notice - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the Transaction Fees at Chapter XV, Section 2 Entitled “NASDAQ Options Market-Fees and Rebates” https://regulations.justia.com/regulations/fedreg/2016/11/17/2016-27598.html https://regulations.justia.com/regulations/fedreg/2016/11/17/2016-27598.html Thu, 17 Nov 2016 00:00:00 -0800 2016-27598 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-11-17/pdf/2016-27598.pdf Notice - Self-Regulatory Organizations; NYSE MKT LLC; Notice of Filing and Immediate Effectiveness of Proposed Change Adopting a Decommission Extension Fee for Receipt of the NYSE MKT Order Imbalances Market Data Product https://regulations.justia.com/regulations/fedreg/2016/11/17/2016-27597.html https://regulations.justia.com/regulations/fedreg/2016/11/17/2016-27597.html Thu, 17 Nov 2016 00:00:00 -0800 2016-27597 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-11-17/pdf/2016-27597.pdf Notice - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Adopting a Decommission Extension Fee for Receipt of the NYSE Order Imbalances Market Data Product https://regulations.justia.com/regulations/fedreg/2016/11/17/2016-27596.html https://regulations.justia.com/regulations/fedreg/2016/11/17/2016-27596.html Thu, 17 Nov 2016 00:00:00 -0800 2016-27596 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-11-17/pdf/2016-27596.pdf Notice - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Order Approving Proposed Rule Change To Amend Rule 12504 of the Code of Arbitration Procedure for Customer Disputes and Rule 13504 of the Code of Arbitration Procedure for Industry Disputes Relating to Motions To Dismiss in Arbitration https://regulations.justia.com/regulations/fedreg/2016/11/17/2016-27595.html https://regulations.justia.com/regulations/fedreg/2016/11/17/2016-27595.html Thu, 17 Nov 2016 00:00:00 -0800 2016-27595 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-11-17/pdf/2016-27595.pdf Notice - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing of Proposed Rule Change Amending Rule 104 To Delete Subsection (g)(i)(A)(III) Prohibiting Designated Market Makers From Establishing a New High (Low) Price on the Exchange in a Security the DMM Has a Long (Short) Position During the Last Ten Minutes Prior to the Close of Trading https://regulations.justia.com/regulations/fedreg/2016/11/17/2016-27594.html https://regulations.justia.com/regulations/fedreg/2016/11/17/2016-27594.html Thu, 17 Nov 2016 00:00:00 -0800 2016-27594 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-11-17/pdf/2016-27594.pdf Notice - Self-Regulatory Organizations; NYSE MKT LLC; Notice of Filing of Proposed Rule Change Amending Rule 104-Equities To Delete Subsection (g)(i)(A)(III) Prohibiting Designated Market Makers From Establishing a New High (Low) Price on the Exchange in a Security the DMM Has a Long (Short) Position During the Last Ten Minutes Prior to the Close of Trading https://regulations.justia.com/regulations/fedreg/2016/11/17/2016-27593.html https://regulations.justia.com/regulations/fedreg/2016/11/17/2016-27593.html Thu, 17 Nov 2016 00:00:00 -0800 2016-27593 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-11-17/pdf/2016-27593.pdf Notice - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Rule 4702 and Rule 4703 To Add a “Trade Now” Instruction to Certain Order Types https://regulations.justia.com/regulations/fedreg/2016/11/17/2016-27592.html https://regulations.justia.com/regulations/fedreg/2016/11/17/2016-27592.html Thu, 17 Nov 2016 00:00:00 -0800 2016-27592 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-11-17/pdf/2016-27592.pdf Notice - Self-Regulatory Organizations; NASDAQ BX, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Rule 4702 and Rule 4703 To Add a “Trade Now” Instruction to Certain Order Types https://regulations.justia.com/regulations/fedreg/2016/11/17/2016-27591.html https://regulations.justia.com/regulations/fedreg/2016/11/17/2016-27591.html Thu, 17 Nov 2016 00:00:00 -0800 2016-27591 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-11-17/pdf/2016-27591.pdf Notice - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the Fees Schedule https://regulations.justia.com/regulations/fedreg/2016/11/17/2016-27590.html https://regulations.justia.com/regulations/fedreg/2016/11/17/2016-27590.html Thu, 17 Nov 2016 00:00:00 -0800 2016-27590 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-11-17/pdf/2016-27590.pdf