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https://regulations.justia.com/regulations/fedreg/agencies/agencies-and-commissions/securities-and-exchange-commission/2016/12/28?registers=between
Wed, 20 Aug 2025 01:44:55 -0700Wed, 20 Aug 2025 01:44:55 -0700Justia Regulations TrackerCopyright 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/2016/12/28?registers=between
Notice - Self-Regulatory Organizations; Fixed Income Clearing Corporation; Notice of Filing of an Advance Notice To Implement a Change to the Methodology Used in the MBSD VaR Model
https://regulations.justia.com/regulations/fedreg/2016/12/28/2016-31312.html
https://regulations.justia.com/regulations/fedreg/2016/12/28/2016-31312.htmlWed, 28 Dec 2016 00:00:00 -08002016-31312Noticehttps://www.gpo.gov/fdsys/pkg/FR-2016-12-28/pdf/2016-31312.pdfNotice - Self-Regulatory Organizations; Investors Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Require That an Issuer of Securities Listed Under Chapter 16 Notify IEX About Certain Changes to the Index, Portfolio, or Reference Asset Underlying the Security
https://regulations.justia.com/regulations/fedreg/2016/12/28/2016-31311.html
https://regulations.justia.com/regulations/fedreg/2016/12/28/2016-31311.htmlWed, 28 Dec 2016 00:00:00 -08002016-31311Noticehttps://www.gpo.gov/fdsys/pkg/FR-2016-12-28/pdf/2016-31311.pdfNotice - Self-Regulatory Organizations; NYSE MKT LLC; Notice of Filing and Immediate Effectiveness of Proposed Change Modifying the NYSE Amex Options Fee Schedule
https://regulations.justia.com/regulations/fedreg/2016/12/28/2016-31310.html
https://regulations.justia.com/regulations/fedreg/2016/12/28/2016-31310.htmlWed, 28 Dec 2016 00:00:00 -08002016-31310Noticehttps://www.gpo.gov/fdsys/pkg/FR-2016-12-28/pdf/2016-31310.pdfNotice - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Modify Administrative Charges for Distributors of Proprietary Data Feed Products
https://regulations.justia.com/regulations/fedreg/2016/12/28/2016-31309.html
https://regulations.justia.com/regulations/fedreg/2016/12/28/2016-31309.htmlWed, 28 Dec 2016 00:00:00 -08002016-31309Noticehttps://www.gpo.gov/fdsys/pkg/FR-2016-12-28/pdf/2016-31309.pdfNotice - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing of a Proposed Rule Change To Amend FINRA Rules To Conform to the Commission's Proposed Amendment to Commission Rule 15c6-1(a) and the Industry-Led Initiative To Shorten the Standard Settlement Cycle for Most Broker-Dealer Transactions From T+3 to T+2
https://regulations.justia.com/regulations/fedreg/2016/12/28/2016-31308.html
https://regulations.justia.com/regulations/fedreg/2016/12/28/2016-31308.htmlWed, 28 Dec 2016 00:00:00 -08002016-31308Noticehttps://www.gpo.gov/fdsys/pkg/FR-2016-12-28/pdf/2016-31308.pdfNotice - Self-Regulatory Organizations; BOX Options Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Adopt Rule 3220, Disruptive Quoting and Trading Activity Prohibited and Rule 12160, Expedited Suspension Proceeding
https://regulations.justia.com/regulations/fedreg/2016/12/28/2016-31307.html
https://regulations.justia.com/regulations/fedreg/2016/12/28/2016-31307.htmlWed, 28 Dec 2016 00:00:00 -08002016-31307Noticehttps://www.gpo.gov/fdsys/pkg/FR-2016-12-28/pdf/2016-31307.pdfNotice - Self-Regulatory Organizations; NYSE MKT LLC; NYSE Arca, Inc.; Notice of Designation of a Longer Period for Commission Action on Proceedings To Determine Whether To Approve or Disapprove Proposed Rule Changes To Extend the Time Within Which a Member, Member Organization, an ATP Holder, an OTP Holder, or an OTP Firm Must File a Uniform Termination Notice for Securities Industry Registration (“Form U5”) and Any Amendments Thereto
https://regulations.justia.com/regulations/fedreg/2016/12/28/2016-31306.html
https://regulations.justia.com/regulations/fedreg/2016/12/28/2016-31306.htmlWed, 28 Dec 2016 00:00:00 -08002016-31306Noticehttps://www.gpo.gov/fdsys/pkg/FR-2016-12-28/pdf/2016-31306.pdfNotice - Self-Regulatory Organizations; ISE Gemini, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Adjust Qualifying Tier Thresholds and Fees and Rebates
https://regulations.justia.com/regulations/fedreg/2016/12/28/2016-31305.html
https://regulations.justia.com/regulations/fedreg/2016/12/28/2016-31305.htmlWed, 28 Dec 2016 00:00:00 -08002016-31305Noticehttps://www.gpo.gov/fdsys/pkg/FR-2016-12-28/pdf/2016-31305.pdfNotice - Self-Regulatory Organizations; NYSE MKT LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Rule 123D-Equities and the Listed Company Manual
https://regulations.justia.com/regulations/fedreg/2016/12/28/2016-31304.html
https://regulations.justia.com/regulations/fedreg/2016/12/28/2016-31304.htmlWed, 28 Dec 2016 00:00:00 -08002016-31304Noticehttps://www.gpo.gov/fdsys/pkg/FR-2016-12-28/pdf/2016-31304.pdfNotice - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; 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/2016/12/28/2016-31303.html
https://regulations.justia.com/regulations/fedreg/2016/12/28/2016-31303.htmlWed, 28 Dec 2016 00:00:00 -08002016-31303Noticehttps://www.gpo.gov/fdsys/pkg/FR-2016-12-28/pdf/2016-31303.pdfNotice - Self-Regulatory Organizations; NYSE MKT LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To (1) Change How Orders Would Be Processed When the Protected Best Bid (“PBB”) Is Higher Than the Protected Best Offer (“PBO”) (The “PBBO”) in Certain Circumstances, and (2) Adopt a Limit Order Price Protection Mechanism
https://regulations.justia.com/regulations/fedreg/2016/12/28/2016-31302.html
https://regulations.justia.com/regulations/fedreg/2016/12/28/2016-31302.htmlWed, 28 Dec 2016 00:00:00 -08002016-31302Noticehttps://www.gpo.gov/fdsys/pkg/FR-2016-12-28/pdf/2016-31302.pdfNotice - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Adopt a Trading License Fee for Calendar Year 2017
https://regulations.justia.com/regulations/fedreg/2016/12/28/2016-31301.html
https://regulations.justia.com/regulations/fedreg/2016/12/28/2016-31301.htmlWed, 28 Dec 2016 00:00:00 -08002016-31301Noticehttps://www.gpo.gov/fdsys/pkg/FR-2016-12-28/pdf/2016-31301.pdfNotice - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change to (1) Change How Orders Would be Processed When the Protected Best Bid (“PBB”) Is Higher Than the Protected Best Offer (“PBO”) (The “PBBO”) in Certain Circumstances, and (2) Adopt a Limit Order Price Protection Mechanism
https://regulations.justia.com/regulations/fedreg/2016/12/28/2016-31300.html
https://regulations.justia.com/regulations/fedreg/2016/12/28/2016-31300.htmlWed, 28 Dec 2016 00:00:00 -08002016-31300Noticehttps://www.gpo.gov/fdsys/pkg/FR-2016-12-28/pdf/2016-31300.pdfNotice - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Rule 123D and the Listed Company Manual
https://regulations.justia.com/regulations/fedreg/2016/12/28/2016-31299.html
https://regulations.justia.com/regulations/fedreg/2016/12/28/2016-31299.htmlWed, 28 Dec 2016 00:00:00 -08002016-31299Noticehttps://www.gpo.gov/fdsys/pkg/FR-2016-12-28/pdf/2016-31299.pdfNotice - Self-Regulatory Organizations; Bats BZX 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 BZX Summary Depth and Amend Fees for BZX Depth
https://regulations.justia.com/regulations/fedreg/2016/12/28/2016-31298.html
https://regulations.justia.com/regulations/fedreg/2016/12/28/2016-31298.htmlWed, 28 Dec 2016 00:00:00 -08002016-31298Noticehttps://www.gpo.gov/fdsys/pkg/FR-2016-12-28/pdf/2016-31298.pdfNotice - Self-Regulatory Organizations; NASDAQ PHLX LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Delay the Implementation of the Limit Order Protection for Members Accessing PSX
https://regulations.justia.com/regulations/fedreg/2016/12/28/2016-31297.html
https://regulations.justia.com/regulations/fedreg/2016/12/28/2016-31297.htmlWed, 28 Dec 2016 00:00:00 -08002016-31297Noticehttps://www.gpo.gov/fdsys/pkg/FR-2016-12-28/pdf/2016-31297.pdfNotice - Transamerica Funds, et al.; Notice of Application
https://regulations.justia.com/regulations/fedreg/2016/12/28/2016-31290.html
https://regulations.justia.com/regulations/fedreg/2016/12/28/2016-31290.htmlWed, 28 Dec 2016 00:00:00 -08002016-31290Noticehttps://www.gpo.gov/fdsys/pkg/FR-2016-12-28/pdf/2016-31290.pdfNotice - Ares Capital Corporation, et al.; Notice of Application
https://regulations.justia.com/regulations/fedreg/2016/12/28/2016-31289.html
https://regulations.justia.com/regulations/fedreg/2016/12/28/2016-31289.htmlWed, 28 Dec 2016 00:00:00 -08002016-31289Noticehttps://www.gpo.gov/fdsys/pkg/FR-2016-12-28/pdf/2016-31289.pdfNotice - Virtus Alternative Solutions Trust, et al.; Notice of Application
https://regulations.justia.com/regulations/fedreg/2016/12/28/2016-31288.html
https://regulations.justia.com/regulations/fedreg/2016/12/28/2016-31288.htmlWed, 28 Dec 2016 00:00:00 -08002016-31288Noticehttps://www.gpo.gov/fdsys/pkg/FR-2016-12-28/pdf/2016-31288.pdfRule - Changes to Exchange Act Registration Requirements To Implement Title V and Title VI of the JOBS Act; Correction
https://regulations.justia.com/regulations/fedreg/2016/12/28/2016-31286.html
https://regulations.justia.com/regulations/fedreg/2016/12/28/2016-31286.htmlWed, 28 Dec 2016 00:00:00 -08002016-31286Rulehttps://www.gpo.gov/fdsys/pkg/FR-2016-12-28/pdf/2016-31286.pdf