<![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/2016/12/27?registers=between Thu, 16 May 2024 19:30:34 -0700 Thu, 16 May 2024 19:30:34 -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/2016/12/27?registers=between Notice - Self-Regulatory Organizations; ISE Gemini, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Exchange Rules in Connection With Business Continuity and Disaster Recovery Plans Testing Requirements https://regulations.justia.com/regulations/fedreg/2016/12/27/2016-31117.html https://regulations.justia.com/regulations/fedreg/2016/12/27/2016-31117.html Tue, 27 Dec 2016 00:00:00 -0800 2016-31117 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-12-27/pdf/2016-31117.pdf Notice - Self-Regulatory Organizations; ISE Mercury, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend ISE Mercury Rule 803 at Supplementary Material .02 in Connection With Business Continuity and Disaster Recovery Plans https://regulations.justia.com/regulations/fedreg/2016/12/27/2016-31116.html https://regulations.justia.com/regulations/fedreg/2016/12/27/2016-31116.html Tue, 27 Dec 2016 00:00:00 -0800 2016-31116 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-12-27/pdf/2016-31116.pdf Notice - Self-Regulatory Organizations; Bats BYX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the Market Data Section of Its Fee Schedule To Adopt Fees for BYX Summary Depth and Amend Fees for BYX Depth https://regulations.justia.com/regulations/fedreg/2016/12/27/2016-31115.html https://regulations.justia.com/regulations/fedreg/2016/12/27/2016-31115.html Tue, 27 Dec 2016 00:00:00 -0800 2016-31115 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-12-27/pdf/2016-31115.pdf Notice - Self-Regulatory Organizations; International Securities Exchange, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend ISE Rule 803 at Supplementary Material .02 in Connection With Business Continuity and Disaster Recovery Plans https://regulations.justia.com/regulations/fedreg/2016/12/27/2016-31114.html https://regulations.justia.com/regulations/fedreg/2016/12/27/2016-31114.html Tue, 27 Dec 2016 00:00:00 -0800 2016-31114 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-12-27/pdf/2016-31114.pdf Notice - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Extend the Credit Option Margin Pilot Program Through July 18, 2017 https://regulations.justia.com/regulations/fedreg/2016/12/27/2016-31113.html https://regulations.justia.com/regulations/fedreg/2016/12/27/2016-31113.html Tue, 27 Dec 2016 00:00:00 -0800 2016-31113 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-12-27/pdf/2016-31113.pdf Notice - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to Reporting Transactions in U.S. Treasury Securities to the Trade Reporting and Compliance Engine https://regulations.justia.com/regulations/fedreg/2016/12/27/2016-31112.html https://regulations.justia.com/regulations/fedreg/2016/12/27/2016-31112.html Tue, 27 Dec 2016 00:00:00 -0800 2016-31112 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-12-27/pdf/2016-31112.pdf Notice - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Related to SQF Ports https://regulations.justia.com/regulations/fedreg/2016/12/27/2016-31111.html https://regulations.justia.com/regulations/fedreg/2016/12/27/2016-31111.html Tue, 27 Dec 2016 00:00:00 -0800 2016-31111 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-12-27/pdf/2016-31111.pdf Notice - Self-Regulatory Organizations; Bats BZX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change to BZX Rule 14.11(i), Managed Fund Shares, To List Shares of the Cambria Sovereign High Yield Bond ETF and the Cambria Value and Momentum ETFs https://regulations.justia.com/regulations/fedreg/2016/12/27/2016-31110.html https://regulations.justia.com/regulations/fedreg/2016/12/27/2016-31110.html Tue, 27 Dec 2016 00:00:00 -0800 2016-31110 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-12-27/pdf/2016-31110.pdf Notice - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the Exchange Data Fees at Rule 7052 https://regulations.justia.com/regulations/fedreg/2016/12/27/2016-31109.html https://regulations.justia.com/regulations/fedreg/2016/12/27/2016-31109.html Tue, 27 Dec 2016 00:00:00 -0800 2016-31109 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-12-27/pdf/2016-31109.pdf Notice - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Rule 4770 (Compliance With Regulation NMS Plan To Implement a Tick Size Pilot) https://regulations.justia.com/regulations/fedreg/2016/12/27/2016-31108.html https://regulations.justia.com/regulations/fedreg/2016/12/27/2016-31108.html Tue, 27 Dec 2016 00:00:00 -0800 2016-31108 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-12-27/pdf/2016-31108.pdf Notice - Self-Regulatory Organizations; NASDAQ BX, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Rule 4770 (Compliance With Regulation NMS Plan To Implement a Tick Size Pilot) https://regulations.justia.com/regulations/fedreg/2016/12/27/2016-31107.html https://regulations.justia.com/regulations/fedreg/2016/12/27/2016-31107.html Tue, 27 Dec 2016 00:00:00 -0800 2016-31107 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-12-27/pdf/2016-31107.pdf Notice - Self-Regulatory Organizations; NASDAQ PHLX LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Rule 3317 (Compliance With Regulation NMS Plan To Implement a Tick Size Pilot) https://regulations.justia.com/regulations/fedreg/2016/12/27/2016-31106.html https://regulations.justia.com/regulations/fedreg/2016/12/27/2016-31106.html Tue, 27 Dec 2016 00:00:00 -0800 2016-31106 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-12-27/pdf/2016-31106.pdf Notice - Self-Regulatory Organizations; BOX Options Exchange LLC; Notice of Designation of Longer Period for Commission Action on Proposed Rule Change To Amend Rule 5050 Series of Options Contracts Open for Trading To Provide for the Listing and Trading on the Exchange of RealDayTM https://regulations.justia.com/regulations/fedreg/2016/12/27/2016-31105.html https://regulations.justia.com/regulations/fedreg/2016/12/27/2016-31105.html Tue, 27 Dec 2016 00:00:00 -0800 2016-31105 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-12-27/pdf/2016-31105.pdf Notice - Self-Regulatory Organizations; NYSE MKT LLC; Notice of Designation of a Longer Period for Commission Action on 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/2016/12/27/2016-31104.html https://regulations.justia.com/regulations/fedreg/2016/12/27/2016-31104.html Tue, 27 Dec 2016 00:00:00 -0800 2016-31104 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-12-27/pdf/2016-31104.pdf Notice - Self-Regulatory Organizations; NYSE MKT LLC; Notice of Designation of a Longer Period for Commission Action on 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/2016/12/27/2016-31103.html https://regulations.justia.com/regulations/fedreg/2016/12/27/2016-31103.html Tue, 27 Dec 2016 00:00:00 -0800 2016-31103 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-12-27/pdf/2016-31103.pdf Notice - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to Compression of S&P 500(R) Index Options Positions https://regulations.justia.com/regulations/fedreg/2016/12/27/2016-31102.html https://regulations.justia.com/regulations/fedreg/2016/12/27/2016-31102.html Tue, 27 Dec 2016 00:00:00 -0800 2016-31102 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-12-27/pdf/2016-31102.pdf Notice - Self-Regulatory Organizations; NASDAQ BX, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Delay the Implementation of the Limit Order Protection https://regulations.justia.com/regulations/fedreg/2016/12/27/2016-31101.html https://regulations.justia.com/regulations/fedreg/2016/12/27/2016-31101.html Tue, 27 Dec 2016 00:00:00 -0800 2016-31101 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-12-27/pdf/2016-31101.pdf Notice - Self-Regulatory Organizations; Chicago Stock Exchange, Inc.; Order Instituting Proceedings To Determine Whether To Approve or Disapprove a Proposed Rule Change To Adopt the CHX Liquidity Taking Access Delay https://regulations.justia.com/regulations/fedreg/2016/12/27/2016-31100.html https://regulations.justia.com/regulations/fedreg/2016/12/27/2016-31100.html Tue, 27 Dec 2016 00:00:00 -0800 2016-31100 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-12-27/pdf/2016-31100.pdf