<![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/2016/12/07?registers=between Tue, 15 Jul 2025 21:45:01 -0700 Tue, 15 Jul 2025 21:45:01 -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/2016/12/07?registers=between Notice - CWM Advisors, LLC, et al.; Notice of Application https://regulations.justia.com/regulations/fedreg/2016/12/07/2016-29301.html https://regulations.justia.com/regulations/fedreg/2016/12/07/2016-29301.html Wed, 07 Dec 2016 00:00:00 -0800 2016-29301 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-12-07/pdf/2016-29301.pdf Notice - Wells Fargo Advisors, LLC and Wells Fargo Advisors Financial Network, LLC; Notice of Application https://regulations.justia.com/regulations/fedreg/2016/12/07/2016-29300.html https://regulations.justia.com/regulations/fedreg/2016/12/07/2016-29300.html Wed, 07 Dec 2016 00:00:00 -0800 2016-29300 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-12-07/pdf/2016-29300.pdf Notice - UBS Financial Services Inc.; Notice of Application https://regulations.justia.com/regulations/fedreg/2016/12/07/2016-29299.html https://regulations.justia.com/regulations/fedreg/2016/12/07/2016-29299.html Wed, 07 Dec 2016 00:00:00 -0800 2016-29299 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-12-07/pdf/2016-29299.pdf Notice - Robert W. Baird & Co. Incorporated; Notice of Application https://regulations.justia.com/regulations/fedreg/2016/12/07/2016-29298.html https://regulations.justia.com/regulations/fedreg/2016/12/07/2016-29298.html Wed, 07 Dec 2016 00:00:00 -0800 2016-29298 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-12-07/pdf/2016-29298.pdf Notice - Merrill Lynch, Pierce, Fenner & Smith Incorporated; Notice of Application https://regulations.justia.com/regulations/fedreg/2016/12/07/2016-29297.html https://regulations.justia.com/regulations/fedreg/2016/12/07/2016-29297.html Wed, 07 Dec 2016 00:00:00 -0800 2016-29297 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-12-07/pdf/2016-29297.pdf 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 https://regulations.justia.com/regulations/fedreg/2016/12/07/2016-29294.html https://regulations.justia.com/regulations/fedreg/2016/12/07/2016-29294.html Wed, 07 Dec 2016 00:00:00 -0800 2016-29294 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-12-07/pdf/2016-29294.pdf 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 https://regulations.justia.com/regulations/fedreg/2016/12/07/2016-29293.html https://regulations.justia.com/regulations/fedreg/2016/12/07/2016-29293.html Wed, 07 Dec 2016 00:00:00 -0800 2016-29293 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-12-07/pdf/2016-29293.pdf 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 https://regulations.justia.com/regulations/fedreg/2016/12/07/2016-29292.html https://regulations.justia.com/regulations/fedreg/2016/12/07/2016-29292.html Wed, 07 Dec 2016 00:00:00 -0800 2016-29292 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-12-07/pdf/2016-29292.pdf 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 https://regulations.justia.com/regulations/fedreg/2016/12/07/2016-29291.html https://regulations.justia.com/regulations/fedreg/2016/12/07/2016-29291.html Wed, 07 Dec 2016 00:00:00 -0800 2016-29291 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-12-07/pdf/2016-29291.pdf 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 https://regulations.justia.com/regulations/fedreg/2016/12/07/2016-29290.html https://regulations.justia.com/regulations/fedreg/2016/12/07/2016-29290.html Wed, 07 Dec 2016 00:00:00 -0800 2016-29290 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-12-07/pdf/2016-29290.pdf 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 https://regulations.justia.com/regulations/fedreg/2016/12/07/2016-29289.html https://regulations.justia.com/regulations/fedreg/2016/12/07/2016-29289.html Wed, 07 Dec 2016 00:00:00 -0800 2016-29289 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-12-07/pdf/2016-29289.pdf 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 https://regulations.justia.com/regulations/fedreg/2016/12/07/2016-29288.html https://regulations.justia.com/regulations/fedreg/2016/12/07/2016-29288.html Wed, 07 Dec 2016 00:00:00 -0800 2016-29288 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-12-07/pdf/2016-29288.pdf 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 https://regulations.justia.com/regulations/fedreg/2016/12/07/2016-29287.html https://regulations.justia.com/regulations/fedreg/2016/12/07/2016-29287.html Wed, 07 Dec 2016 00:00:00 -0800 2016-29287 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-12-07/pdf/2016-29287.pdf 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 https://regulations.justia.com/regulations/fedreg/2016/12/07/2016-29286.html https://regulations.justia.com/regulations/fedreg/2016/12/07/2016-29286.html Wed, 07 Dec 2016 00:00:00 -0800 2016-29286 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-12-07/pdf/2016-29286.pdf 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 https://regulations.justia.com/regulations/fedreg/2016/12/07/2016-29285.html https://regulations.justia.com/regulations/fedreg/2016/12/07/2016-29285.html Wed, 07 Dec 2016 00:00:00 -0800 2016-29285 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-12-07/pdf/2016-29285.pdf 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 https://regulations.justia.com/regulations/fedreg/2016/12/07/2016-29284.html https://regulations.justia.com/regulations/fedreg/2016/12/07/2016-29284.html Wed, 07 Dec 2016 00:00:00 -0800 2016-29284 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-12-07/pdf/2016-29284.pdf 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 https://regulations.justia.com/regulations/fedreg/2016/12/07/2016-29283.html https://regulations.justia.com/regulations/fedreg/2016/12/07/2016-29283.html Wed, 07 Dec 2016 00:00:00 -0800 2016-29283 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-12-07/pdf/2016-29283.pdf 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 https://regulations.justia.com/regulations/fedreg/2016/12/07/2016-29282.html https://regulations.justia.com/regulations/fedreg/2016/12/07/2016-29282.html Wed, 07 Dec 2016 00:00:00 -0800 2016-29282 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-12-07/pdf/2016-29282.pdf