<![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?registers=between&min-day=1&min-month=1&max-day=31&max-month=12 Thu, 23 May 2024 16:48:36 -0700 Thu, 23 May 2024 16:48:36 -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?registers=between&min-day=1&min-month=1&max-day=31&max-month=12 Notice - Northern Lights Fund Trust IV and Blue Sky Asset Management, LLC; Notice of Application https://regulations.justia.com/regulations/fedreg/2016/12/30/2016-31684.html https://regulations.justia.com/regulations/fedreg/2016/12/30/2016-31684.html Fri, 30 Dec 2016 00:00:00 -0800 2016-31684 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-12-30/pdf/2016-31684.pdf Notice - Self-Regulatory Organizations; NYSE Arca, Inc.; Order Granting Approval of a Proposed Rule Change, as Modified by Amendment Nos. 1, 2, and 3 Thereto, To List and Trade Shares of the JPMorgan Diversified Event Driven ETF Under NYSE Arca Equities Rule 8.600 https://regulations.justia.com/regulations/fedreg/2016/12/30/2016-31683.html https://regulations.justia.com/regulations/fedreg/2016/12/30/2016-31683.html Fri, 30 Dec 2016 00:00:00 -0800 2016-31683 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-12-30/pdf/2016-31683.pdf Notice - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Eliminate Fees for Historical Trade Data Accessed Through the FINRA ADDS Web Site https://regulations.justia.com/regulations/fedreg/2016/12/30/2016-31682.html https://regulations.justia.com/regulations/fedreg/2016/12/30/2016-31682.html Fri, 30 Dec 2016 00:00:00 -0800 2016-31682 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-12-30/pdf/2016-31682.pdf Notice - Self-Regulatory Organizations; NASDAQ BX, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend the Exchange's Transaction Fees at Rule 7019 (Market Data Distributor Fees) https://regulations.justia.com/regulations/fedreg/2016/12/30/2016-31681.html https://regulations.justia.com/regulations/fedreg/2016/12/30/2016-31681.html Fri, 30 Dec 2016 00:00:00 -0800 2016-31681 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-12-30/pdf/2016-31681.pdf Notice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending NYSE Arca Equities Rules 7.11, 7.31, and 7.34 https://regulations.justia.com/regulations/fedreg/2016/12/30/2016-31680.html https://regulations.justia.com/regulations/fedreg/2016/12/30/2016-31680.html Fri, 30 Dec 2016 00:00:00 -0800 2016-31680 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-12-30/pdf/2016-31680.pdf Notice - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing of Proposed Rule Change To Shorten the Settlement Cycle From T+3 to T+2 https://regulations.justia.com/regulations/fedreg/2016/12/30/2016-31679.html https://regulations.justia.com/regulations/fedreg/2016/12/30/2016-31679.html Fri, 30 Dec 2016 00:00:00 -0800 2016-31679 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-12-30/pdf/2016-31679.pdf Notice - Self-Regulatory Organizations; International Securities Exchange, LLC; Notice of Filing of Proposed Rule Change to Amend the Supplementary Material to ISE Rule 1901 https://regulations.justia.com/regulations/fedreg/2016/12/30/2016-31678.html https://regulations.justia.com/regulations/fedreg/2016/12/30/2016-31678.html Fri, 30 Dec 2016 00:00:00 -0800 2016-31678 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-12-30/pdf/2016-31678.pdf Notice - Self-Regulatory Organizations; Miami International Securities Exchange LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Its Fee Schedule To Modify the Exchange's Other Market Participant Transaction Fees https://regulations.justia.com/regulations/fedreg/2016/12/30/2016-31677.html https://regulations.justia.com/regulations/fedreg/2016/12/30/2016-31677.html Fri, 30 Dec 2016 00:00:00 -0800 2016-31677 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-12-30/pdf/2016-31677.pdf Notice - Self-Regulatory Organizations; National Stock Exchange, Inc.; Notice of Filing of Proposed Rule Change in Connection With the Proposed Acquisition of the Exchange by NYSE Group, Inc. https://regulations.justia.com/regulations/fedreg/2016/12/30/2016-31676.html https://regulations.justia.com/regulations/fedreg/2016/12/30/2016-31676.html Fri, 30 Dec 2016 00:00:00 -0800 2016-31676 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-12-30/pdf/2016-31676.pdf Notice - Self-Regulatory Organizations: Investors Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Related to Retention of Jurisdiction Over Members and Persons Associated with Members Upon Termination, Revocation, or Cancellation of Membership or Association Thereof https://regulations.justia.com/regulations/fedreg/2016/12/29/2016-31492.html https://regulations.justia.com/regulations/fedreg/2016/12/29/2016-31492.html Thu, 29 Dec 2016 00:00:00 -0800 2016-31492 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-12-29/pdf/2016-31492.pdf Notice - Self-Regulatory Organizations; ISE Gemini, LLC; Notice of Filing of Proposed Rule Change To Amend the Opening Process https://regulations.justia.com/regulations/fedreg/2016/12/29/2016-31491.html https://regulations.justia.com/regulations/fedreg/2016/12/29/2016-31491.html Thu, 29 Dec 2016 00:00:00 -0800 2016-31491 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-12-29/pdf/2016-31491.pdf Notice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing of Proposed Rule Change in Connection With the Proposed Acquisition of National Stock Exchange, Inc. by the Exchange's Parent the NYSE Group, Inc. To Amend Certain Organizational Documents of NYSE Group, NYSE Holdings LLC, Intercontinental Exchange Holdings, Inc., and Intercontinental Exchange, Inc. https://regulations.justia.com/regulations/fedreg/2016/12/29/2016-31490.html https://regulations.justia.com/regulations/fedreg/2016/12/29/2016-31490.html Thu, 29 Dec 2016 00:00:00 -0800 2016-31490 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-12-29/pdf/2016-31490.pdf Notice - Self-Regulatory Organizations; ISE Gemini, LLC; Notice of Filing of Proposed Rule Change To Amend Various Rules in Connection With a System Migration to Nasdaq INET Technology https://regulations.justia.com/regulations/fedreg/2016/12/29/2016-31489.html https://regulations.justia.com/regulations/fedreg/2016/12/29/2016-31489.html Thu, 29 Dec 2016 00:00:00 -0800 2016-31489 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-12-29/pdf/2016-31489.pdf Notice - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing of Proposed Rule Change Amending Its Listing Standards for Special Purpose Acquisition Companies https://regulations.justia.com/regulations/fedreg/2016/12/29/2016-31488.html https://regulations.justia.com/regulations/fedreg/2016/12/29/2016-31488.html Thu, 29 Dec 2016 00:00:00 -0800 2016-31488 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-12-29/pdf/2016-31488.pdf Notice - Self-Regulatory Organizations; NYSE MKT LLC; Notice of Filing of Proposed Rule Change in Connection With the Proposed Acquisition of National Stock Exchange, Inc. by the NYSE Group, Inc. https://regulations.justia.com/regulations/fedreg/2016/12/29/2016-31487.html https://regulations.justia.com/regulations/fedreg/2016/12/29/2016-31487.html Thu, 29 Dec 2016 00:00:00 -0800 2016-31487 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-12-29/pdf/2016-31487.pdf Notice - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing of Amendment No. 3 to Proposed Rule Change Amending the Co-Location Services Offered by the Exchange To Add Certain Access and Connectivity Fees https://regulations.justia.com/regulations/fedreg/2016/12/29/2016-31486.html https://regulations.justia.com/regulations/fedreg/2016/12/29/2016-31486.html Thu, 29 Dec 2016 00:00:00 -0800 2016-31486 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-12-29/pdf/2016-31486.pdf Notice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing of Amendment Nos. 2 and 3 to Proposed Rule Change Amending the Co-Location Services Offered by the Exchange To Add Certain Access and Connectivity Fees https://regulations.justia.com/regulations/fedreg/2016/12/29/2016-31485.html https://regulations.justia.com/regulations/fedreg/2016/12/29/2016-31485.html Thu, 29 Dec 2016 00:00:00 -0800 2016-31485 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-12-29/pdf/2016-31485.pdf Notice - Self-Regulatory Organizations; NYSE MKT LLC; Notice of Filing of Amendment Nos. 2 and 3 to Proposed Rule Change Amending the Co-Location Services Offered by the Exchange To Add Certain Access and Connectivity Fees https://regulations.justia.com/regulations/fedreg/2016/12/29/2016-31484.html https://regulations.justia.com/regulations/fedreg/2016/12/29/2016-31484.html Thu, 29 Dec 2016 00:00:00 -0800 2016-31484 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-12-29/pdf/2016-31484.pdf Notice - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing of Proposed Rule Change in Connection With the Proposed Acquisition of National Stock Exchange, Inc. by the Exchange's Parent the NYSE Group, Inc. To Amend Certain Organizational Documents of NYSE Group, NYSE Holdings LLC, Intercontinental Exchange Holdings, Inc., and Intercontinental Exchange, Inc. https://regulations.justia.com/regulations/fedreg/2016/12/29/2016-31483.html https://regulations.justia.com/regulations/fedreg/2016/12/29/2016-31483.html Thu, 29 Dec 2016 00:00:00 -0800 2016-31483 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-12-29/pdf/2016-31483.pdf Notice - Self-Regulatory Organizations; NASDAQ BX, Inc.; 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/2016/12/29/2016-31482.html https://regulations.justia.com/regulations/fedreg/2016/12/29/2016-31482.html Thu, 29 Dec 2016 00:00:00 -0800 2016-31482 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-12-29/pdf/2016-31482.pdf Notice - Self-Regulatory Organizations; Miami International Securities Exchange LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Its Fee Schedule To Modify the Exchange's Connectivity Fees https://regulations.justia.com/regulations/fedreg/2016/12/29/2016-31481.html https://regulations.justia.com/regulations/fedreg/2016/12/29/2016-31481.html Thu, 29 Dec 2016 00:00:00 -0800 2016-31481 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-12-29/pdf/2016-31481.pdf Notice - Self-Regulatory Organizations; International Securities Exchange, LLC; Notice of Filing of Proposed Rule Change, as Modified by Amendment No. 1 Thereto, To Amend the Exchange's Rules Regarding Routing of Orders, Cancellation of Orders, and Handling of Error Positions, and Permit Nasdaq Execution Services, LLC To Become an Affiliated Member of the Exchange To Perform Certain Routing and Other Functions https://regulations.justia.com/regulations/fedreg/2016/12/29/2016-31480.html https://regulations.justia.com/regulations/fedreg/2016/12/29/2016-31480.html Thu, 29 Dec 2016 00:00:00 -0800 2016-31480 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-12-29/pdf/2016-31480.pdf Notice - Self-Regulatory Organizations; ISE Gemini, LLC; Notice of Filing of Proposed Rule Change, as Modified by Amendment Nos. 1 and 2, To Permit Nasdaq Execution Services, LLC To Become an Affiliated Member of the Exchange To Perform Certain Routing and Other Functions https://regulations.justia.com/regulations/fedreg/2016/12/29/2016-31479.html https://regulations.justia.com/regulations/fedreg/2016/12/29/2016-31479.html Thu, 29 Dec 2016 00:00:00 -0800 2016-31479 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-12-29/pdf/2016-31479.pdf Notice - Self-Regulatory Organizations; ISE Mercury, LLC; Notice of Filing of Proposed Rule Change, as Modified by Amendment Nos. 1 and 2, To Permit Nasdaq Execution Services, LLC To Become an Affiliated Member of the Exchange To Perform Certain Routing and Other Functions https://regulations.justia.com/regulations/fedreg/2016/12/29/2016-31478.html https://regulations.justia.com/regulations/fedreg/2016/12/29/2016-31478.html Thu, 29 Dec 2016 00:00:00 -0800 2016-31478 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-12-29/pdf/2016-31478.pdf Notice - Self-Regulatory Organizations; The Nasdaq Stock Market LLC; Notice of Filing of Proposed Rule Change, as Modified by Amendment No. 1 Thereto, To Permit The Nasdaq Options Market LLC To Accept Inbound Options Orders Routed by Nasdaq Execution Services LLC https://regulations.justia.com/regulations/fedreg/2016/12/29/2016-31477.html https://regulations.justia.com/regulations/fedreg/2016/12/29/2016-31477.html Thu, 29 Dec 2016 00:00:00 -0800 2016-31477 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-12-29/pdf/2016-31477.pdf Notice - Self-Regulatory Organizations; NASDAQ BX, Inc.; Notice of Filing of Proposed Rule Change, as Modified by Amendment No. 1 Thereto, To Permit BX To Accept Inbound Options Orders Routed by Nasdaq Execution Services LLC https://regulations.justia.com/regulations/fedreg/2016/12/29/2016-31476.html https://regulations.justia.com/regulations/fedreg/2016/12/29/2016-31476.html Thu, 29 Dec 2016 00:00:00 -0800 2016-31476 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-12-29/pdf/2016-31476.pdf Notice - Self-Regulatory Organizations; NASDAQ PHLX LLC; Notice of Filing of Proposed Rule Change, as Modified by Amendment No. 1 Thereto, To Permit Phlx To Accept Inbound Options Orders Routed by Nasdaq Execution Services LLC https://regulations.justia.com/regulations/fedreg/2016/12/29/2016-31475.html https://regulations.justia.com/regulations/fedreg/2016/12/29/2016-31475.html Thu, 29 Dec 2016 00:00:00 -0800 2016-31475 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-12-29/pdf/2016-31475.pdf Notice - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing of Proposed Rule Change To Conform to Proposed Amendments to Securities Exchange Act Rule 15c6-1(a) To Shorten the Standard Settlement Cycle From Three Business Days After the Trade Date (“T+3”) to Two Business Days After the Trade Date (“T+2”) https://regulations.justia.com/regulations/fedreg/2016/12/29/2016-31474.html https://regulations.justia.com/regulations/fedreg/2016/12/29/2016-31474.html Thu, 29 Dec 2016 00:00:00 -0800 2016-31474 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-12-29/pdf/2016-31474.pdf Notice - Self-Regulatory Organizations; NYSE MKT LLC; Notice of Filing of Proposed Rule Change To Conform to Proposed Amendments to Securities Exchange Act Rule 15c6-1(a) To Shorten the Standard Settlement Cycle From Three Business Days After the Trade Date (“T+3”) to Two Business Days After the Trade Date (“T+2”) https://regulations.justia.com/regulations/fedreg/2016/12/29/2016-31473.html https://regulations.justia.com/regulations/fedreg/2016/12/29/2016-31473.html Thu, 29 Dec 2016 00:00:00 -0800 2016-31473 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-12-29/pdf/2016-31473.pdf Notice - Self-Regulatory Organizations; National Securities Clearing Corporation; Notice of Filing of Proposed Rule Change To Reflect Updates to the Consolidated Trade Summary, Eliminate Re-Pricing in the Foreign Security Accounting Operation and Make Other Changes https://regulations.justia.com/regulations/fedreg/2016/12/29/2016-31472.html https://regulations.justia.com/regulations/fedreg/2016/12/29/2016-31472.html Thu, 29 Dec 2016 00:00:00 -0800 2016-31472 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-12-29/pdf/2016-31472.pdf Notice - Self-Regulatory Organizations; NASDAQ PHLX 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/2016/12/29/2016-31471.html https://regulations.justia.com/regulations/fedreg/2016/12/29/2016-31471.html Thu, 29 Dec 2016 00:00:00 -0800 2016-31471 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-12-29/pdf/2016-31471.pdf 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.html Wed, 28 Dec 2016 00:00:00 -0800 2016-31312 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-12-28/pdf/2016-31312.pdf Notice - 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.html Wed, 28 Dec 2016 00:00:00 -0800 2016-31311 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-12-28/pdf/2016-31311.pdf Notice - 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.html Wed, 28 Dec 2016 00:00:00 -0800 2016-31310 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-12-28/pdf/2016-31310.pdf Notice - 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.html Wed, 28 Dec 2016 00:00:00 -0800 2016-31309 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-12-28/pdf/2016-31309.pdf Notice - 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.html Wed, 28 Dec 2016 00:00:00 -0800 2016-31308 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-12-28/pdf/2016-31308.pdf Notice - 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.html Wed, 28 Dec 2016 00:00:00 -0800 2016-31307 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-12-28/pdf/2016-31307.pdf Notice - 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.html Wed, 28 Dec 2016 00:00:00 -0800 2016-31306 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-12-28/pdf/2016-31306.pdf Notice - 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.html Wed, 28 Dec 2016 00:00:00 -0800 2016-31305 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-12-28/pdf/2016-31305.pdf Notice - 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.html Wed, 28 Dec 2016 00:00:00 -0800 2016-31304 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-12-28/pdf/2016-31304.pdf Notice - 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.html Wed, 28 Dec 2016 00:00:00 -0800 2016-31303 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-12-28/pdf/2016-31303.pdf Notice - 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.html Wed, 28 Dec 2016 00:00:00 -0800 2016-31302 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-12-28/pdf/2016-31302.pdf Notice - 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.html Wed, 28 Dec 2016 00:00:00 -0800 2016-31301 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-12-28/pdf/2016-31301.pdf Notice - 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.html Wed, 28 Dec 2016 00:00:00 -0800 2016-31300 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-12-28/pdf/2016-31300.pdf Notice - 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.html Wed, 28 Dec 2016 00:00:00 -0800 2016-31299 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-12-28/pdf/2016-31299.pdf Notice - 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.html Wed, 28 Dec 2016 00:00:00 -0800 2016-31298 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-12-28/pdf/2016-31298.pdf Notice - 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.html Wed, 28 Dec 2016 00:00:00 -0800 2016-31297 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-12-28/pdf/2016-31297.pdf Notice - 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.html Wed, 28 Dec 2016 00:00:00 -0800 2016-31290 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-12-28/pdf/2016-31290.pdf Notice - 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.html Wed, 28 Dec 2016 00:00:00 -0800 2016-31289 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-12-28/pdf/2016-31289.pdf Notice - 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.html Wed, 28 Dec 2016 00:00:00 -0800 2016-31288 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-12-28/pdf/2016-31288.pdf