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/2016/12/07?limit=200&registers=between&mode=atom 2024-12-29T09:08:54-08:00 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/2016/12/07/2016-29301.html Notice - CWM Advisors, LLC, et al.; Notice of Application 2016-12-07T00:00:00-08:00 2016-12-07T00:00:00-08:00 2016-29301 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-12-07/pdf/2016-29301.pdf https://regulations.justia.com/regulations/fedreg/2016/12/07/2016-29300.html Notice - Wells Fargo Advisors, LLC and Wells Fargo Advisors Financial Network, LLC; Notice of Application 2016-12-07T00:00:00-08:00 2016-12-07T00:00:00-08:00 2016-29300 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-12-07/pdf/2016-29300.pdf https://regulations.justia.com/regulations/fedreg/2016/12/07/2016-29299.html Notice - UBS Financial Services Inc.; Notice of Application 2016-12-07T00:00:00-08:00 2016-12-07T00:00:00-08:00 2016-29299 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-12-07/pdf/2016-29299.pdf https://regulations.justia.com/regulations/fedreg/2016/12/07/2016-29298.html Notice - Robert W. Baird & Co. Incorporated; Notice of Application 2016-12-07T00:00:00-08:00 2016-12-07T00:00:00-08:00 2016-29298 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-12-07/pdf/2016-29298.pdf https://regulations.justia.com/regulations/fedreg/2016/12/07/2016-29297.html Notice - Merrill Lynch, Pierce, Fenner & Smith Incorporated; Notice of Application 2016-12-07T00:00:00-08:00 2016-12-07T00:00:00-08:00 2016-29297 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-12-07/pdf/2016-29297.pdf https://regulations.justia.com/regulations/fedreg/2016/12/07/2016-29294.html Notice - Self-Regulatory Organizations; Bats BZX Exchange, Inc.; Notice of Filing of Proposed Rule Changes to BZX Rule 14.11, Other Securities, and BZX Rule 14.12, Failure To Meet Listing Standards 2016-12-07T00:00:00-08:00 2016-12-07T00:00:00-08:00 2016-29294 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-12-07/pdf/2016-29294.pdf https://regulations.justia.com/regulations/fedreg/2016/12/07/2016-29293.html Notice - Self-Regulatory Organizations; NASDAQ BX, Inc.; Order Granting an Extension to Limited Exemption From Rule 612(c) of Regulation NMS in Connection With the Exchange's Retail Price Improvement Program Until December 1, 2017 2016-12-07T00:00:00-08:00 2016-12-07T00:00:00-08:00 2016-29293 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-12-07/pdf/2016-29293.pdf https://regulations.justia.com/regulations/fedreg/2016/12/07/2016-29292.html Notice - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Change the Titles of Equities Rule 7015 and Options Chapter XV, Section 3, and To Make Related Changes 2016-12-07T00:00:00-08:00 2016-12-07T00:00:00-08:00 2016-29292 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-12-07/pdf/2016-29292.pdf https://regulations.justia.com/regulations/fedreg/2016/12/07/2016-29291.html Notice - Self-Regulatory Organizations; NASDAQ BX, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Extend the Pilot Period for the Retail Price Improvement Program Until December 1, 2017 2016-12-07T00:00:00-08:00 2016-12-07T00:00:00-08:00 2016-29291 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-12-07/pdf/2016-29291.pdf https://regulations.justia.com/regulations/fedreg/2016/12/07/2016-29290.html Notice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of Proposal to Change Representation Regarding Investments by PowerShares DB Trust Issued Receipts Listed Under Commentary .02 to NYSE Arca Equities Rule 8.200 2016-12-07T00:00:00-08:00 2016-12-07T00:00:00-08:00 2016-29290 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-12-07/pdf/2016-29290.pdf https://regulations.justia.com/regulations/fedreg/2016/12/07/2016-29289.html Notice - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Its Rules Governing Business Continuity and Disaster Recovery 2016-12-07T00:00:00-08:00 2016-12-07T00:00:00-08:00 2016-29289 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-12-07/pdf/2016-29289.pdf https://regulations.justia.com/regulations/fedreg/2016/12/07/2016-29288.html Notice - Self-Regulatory Organizations; NYSE MKT LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Its Rules Governing Business Continuity and Disaster Recovery Planning 2016-12-07T00:00:00-08:00 2016-12-07T00:00:00-08:00 2016-29288 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-12-07/pdf/2016-29288.pdf https://regulations.justia.com/regulations/fedreg/2016/12/07/2016-29287.html Notice - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to the Penny Pilot Program 2016-12-07T00:00:00-08:00 2016-12-07T00:00:00-08:00 2016-29287 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-12-07/pdf/2016-29287.pdf https://regulations.justia.com/regulations/fedreg/2016/12/07/2016-29286.html Notice - Self-Regulatory Organizations; C2 Options Exchange, Incorporated; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to the Penny Pilot Program 2016-12-07T00:00:00-08:00 2016-12-07T00:00:00-08:00 2016-29286 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-12-07/pdf/2016-29286.pdf https://regulations.justia.com/regulations/fedreg/2016/12/07/2016-29285.html Notice - Self-Regulatory Organizations; ICE Clear Credit LLC; Notice of Filing of Proposed Rule Change To Provide for the Clearance of Additional Credit Default Swap Contracts 2016-12-07T00:00:00-08:00 2016-12-07T00:00:00-08:00 2016-29285 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-12-07/pdf/2016-29285.pdf https://regulations.justia.com/regulations/fedreg/2016/12/07/2016-29284.html Notice - Self-Regulatory Organizations; Bats BZX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Make Non-Substantive Changes to the Fee Schedule 2016-12-07T00:00:00-08:00 2016-12-07T00:00:00-08:00 2016-29284 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-12-07/pdf/2016-29284.pdf https://regulations.justia.com/regulations/fedreg/2016/12/07/2016-29283.html Notice - Self-Regulatory Organizations; Bats EDGA Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Make Non-Substantive Changes to the Fee Schedule 2016-12-07T00:00:00-08:00 2016-12-07T00:00:00-08:00 2016-29283 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-12-07/pdf/2016-29283.pdf https://regulations.justia.com/regulations/fedreg/2016/12/07/2016-29282.html Notice - Self-Regulatory Organizations; Bats EDGX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Make Non-Substantive Changes to the Equity Options Fee Schedule 2016-12-07T00:00:00-08:00 2016-12-07T00:00:00-08:00 2016-29282 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-12-07/pdf/2016-29282.pdf