Federal Register Recent Federal Regulation Documents - Justia Regulation Tracker - Justia Regulations Trackerhttps://regulations.justia.com/regulations/fedreg/agencies/agencies-and-commissions/securities-and-exchange-commission/2017/01?limit=200®isters=between&min-day=1&max-day=31&mode=atom2024-05-10T17:26:13-07:00Justia Inchttps://www.justia.com/Justia Regulations Trackerhttps://regulations.justia.com/images/justiafedregulations.gifCopyright 2011 Justia Inchttps://regulations.justia.com/regulations/fedreg/2017/01/31/2017-02079.htmlNotice - Sunshine Act Meeting2017-01-31T00:00:00-08:002017-01-31T00:00:00-08:002017-02079Noticehttps://www.gpo.gov/fdsys/pkg/FR-2017-01-31/pdf/2017-02079.pdfhttps://regulations.justia.com/regulations/fedreg/2017/01/31/2017-02001.htmlNotice - Self-Regulatory Organizations; The Nasdaq Stock Market LLC; Order Granting Approval of Proposed Rule Change, as Modified by Amendment Nos. 2 and 3, To Enhance the Reopening Auction Process Following a Trading Halt Declared Pursuant to the Plan To Address Extraordinary Market Volatility2017-01-31T00:00:00-08:002017-01-31T00:00:00-08:002017-02001Noticehttps://www.gpo.gov/fdsys/pkg/FR-2017-01-31/pdf/2017-02001.pdfhttps://regulations.justia.com/regulations/fedreg/2017/01/31/2017-02000.htmlNotice - Self-Regulatory Organizations; The Nasdaq Stock Market LLC; Notice of Withdrawal of a Proposed Rule Change To Amend Rule 4702 To Adopt a New Retail Post-Only Order2017-01-31T00:00:00-08:002017-01-31T00:00:00-08:002017-02000Noticehttps://www.gpo.gov/fdsys/pkg/FR-2017-01-31/pdf/2017-02000.pdfhttps://regulations.justia.com/regulations/fedreg/2017/01/31/2017-01999.htmlNotice - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the Fees Schedule2017-01-31T00:00:00-08:002017-01-31T00:00:00-08:002017-01999Noticehttps://www.gpo.gov/fdsys/pkg/FR-2017-01-31/pdf/2017-01999.pdfhttps://regulations.justia.com/regulations/fedreg/2017/01/31/2017-01998.htmlNotice - Causeway ETMF Trust, et al.; Notice of Application2017-01-31T00:00:00-08:002017-01-31T00:00:00-08:002017-01998Noticehttps://www.gpo.gov/fdsys/pkg/FR-2017-01-31/pdf/2017-01998.pdfhttps://regulations.justia.com/regulations/fedreg/2017/01/27/2017-01836.htmlNotice - Submission for OMB Review; Comment Request2017-01-27T00:00:00-08:002017-01-27T00:00:00-08:002017-01836Noticehttps://www.gpo.gov/fdsys/pkg/FR-2017-01-27/pdf/2017-01836.pdfhttps://regulations.justia.com/regulations/fedreg/2017/01/27/2017-01835.htmlNotice - Self-Regulatory Organizations; Bats BZX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Convert the Listing of the Shares of the SPDR DoubleLine Short Term Total Return Tactical ETF and the SPDR DoubleLine Emerging Markets Fixed Income ETF, Both of Which Are a Series of the SSGA Active Trust, Pursuant to BZX Rule 14.11(i), Managed Fund Shares2017-01-27T00:00:00-08:002017-01-27T00:00:00-08:002017-01835Noticehttps://www.gpo.gov/fdsys/pkg/FR-2017-01-27/pdf/2017-01835.pdfhttps://regulations.justia.com/regulations/fedreg/2017/01/27/2017-01834.htmlNotice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Withdrawal of a Proposed Rule Change Relating to the Listing and Trading of Shares of the PowerShares Government Collateral Pledge Portfolio Under NYSE Arca Equities Rule 8.6002017-01-27T00:00:00-08:002017-01-27T00:00:00-08:002017-01834Noticehttps://www.gpo.gov/fdsys/pkg/FR-2017-01-27/pdf/2017-01834.pdfhttps://regulations.justia.com/regulations/fedreg/2017/01/27/2017-01833.htmlNotice - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the Exchange's Data Fees at Rule 70232017-01-27T00:00:00-08:002017-01-27T00:00:00-08:002017-01833Noticehttps://www.gpo.gov/fdsys/pkg/FR-2017-01-27/pdf/2017-01833.pdfhttps://regulations.justia.com/regulations/fedreg/2017/01/27/2017-01832.htmlNotice - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to the Listing and Trading of the Shares of the Gabelli All Cap NextShares of the Gabelli NextShares Trust2017-01-27T00:00:00-08:002017-01-27T00:00:00-08:002017-01832Noticehttps://www.gpo.gov/fdsys/pkg/FR-2017-01-27/pdf/2017-01832.pdfhttps://regulations.justia.com/regulations/fedreg/2017/01/27/2017-01831.htmlNotice - Self-Regulatory Organizations; C2 Options Exchange, Incorporated; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to the Give Up of a Clearing Trading Permit Holder2017-01-27T00:00:00-08:002017-01-27T00:00:00-08:002017-01831Noticehttps://www.gpo.gov/fdsys/pkg/FR-2017-01-27/pdf/2017-01831.pdfhttps://regulations.justia.com/regulations/fedreg/2017/01/27/2017-01830.htmlNotice - Self-Regulatory Organizations; Bats EDGX Exchange, Inc.; Notice of Withdrawal of a Proposed Rule Change To Adopt an Options Regulatory Fee2017-01-27T00:00:00-08:002017-01-27T00:00:00-08:002017-01830Noticehttps://www.gpo.gov/fdsys/pkg/FR-2017-01-27/pdf/2017-01830.pdfhttps://regulations.justia.com/regulations/fedreg/2017/01/27/2017-01829.htmlNotice - Self-Regulatory Organizations; Bats BZX Exchange, Inc.; Notice of Withdrawal of a Proposed Rule Change To Amend the Options Regulatory Fee2017-01-27T00:00:00-08:002017-01-27T00:00:00-08:002017-01829Noticehttps://www.gpo.gov/fdsys/pkg/FR-2017-01-27/pdf/2017-01829.pdfhttps://regulations.justia.com/regulations/fedreg/2017/01/27/2017-01828.htmlNotice - Submission for OMB Review; Comment Request2017-01-27T00:00:00-08:002017-01-27T00:00:00-08:002017-01828Noticehttps://www.gpo.gov/fdsys/pkg/FR-2017-01-27/pdf/2017-01828.pdfhttps://regulations.justia.com/regulations/fedreg/2017/01/27/2017-01827.htmlNotice - Submission for OMB Review; Comment Request2017-01-27T00:00:00-08:002017-01-27T00:00:00-08:002017-01827Noticehttps://www.gpo.gov/fdsys/pkg/FR-2017-01-27/pdf/2017-01827.pdfhttps://regulations.justia.com/regulations/fedreg/2017/01/27/2017-01826.htmlNotice - Submission for OMB Review; Comment Request2017-01-27T00:00:00-08:002017-01-27T00:00:00-08:002017-01826Noticehttps://www.gpo.gov/fdsys/pkg/FR-2017-01-27/pdf/2017-01826.pdfhttps://regulations.justia.com/regulations/fedreg/2017/01/26/2017-01719.htmlNotice - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Eliminate Fees at Rule 7015(h) Assessed for VTE Terminal Connectivity2017-01-26T00:00:00-08:002017-01-26T00:00:00-08:002017-01719Noticehttps://www.gpo.gov/fdsys/pkg/FR-2017-01-26/pdf/2017-01719.pdfhttps://regulations.justia.com/regulations/fedreg/2017/01/26/2017-01718.htmlNotice - Self-Regulatory Organizations; NYSE Arca, Inc.; Order Granting Approval of Proposed Rule Change, as Modified by Amendment No. 1, Amending NYSE Arca Equities Rules 7.35 (Auctions), 7.10 (Clearly Erroneous Executions), 7.31 (Orders and Modifiers), and 7.11 (Limit Up-Limit Down Plan and Trading Pauses in Individual Securities Due to Extraordinary Market Volatility)2017-01-26T00:00:00-08:002017-01-26T00:00:00-08:002017-01718Noticehttps://www.gpo.gov/fdsys/pkg/FR-2017-01-26/pdf/2017-01718.pdfhttps://regulations.justia.com/regulations/fedreg/2017/01/26/2017-01717.htmlNotice - Joint Industry Plan; Order Approving the Twelfth Amendment to the National Market System Plan To Address Extraordinary Market Volatility by Bats BZX Exchange, Inc., Bats BYX Exchange, Inc., Bats EDGA Exchange, Inc., Bats EDGX Exchange, Inc., Chicago Stock Exchange, Inc., Financial Industry Regulatory Authority, Inc., Investors Exchange LLC, NASDAQ BX, Inc., NASDAQ PHLX LLC, The Nasdaq Stock Market LLC, National Stock Exchange, Inc., New York Stock Exchange LLC, NYSE MKT LLC, and NYSE Arca, Inc.2017-01-26T00:00:00-08:002017-01-26T00:00:00-08:002017-01717Noticehttps://www.gpo.gov/fdsys/pkg/FR-2017-01-26/pdf/2017-01717.pdfhttps://regulations.justia.com/regulations/fedreg/2017/01/26/2017-01716.htmlNotice - Self-Regulatory Organizations; Fixed Income Clearing Corporation; Notice of No Objection to Advance Notice Filing To Implement a Change to the Methodology Used in the MBSD VaR Model2017-01-26T00:00:00-08:002017-01-26T00:00:00-08:002017-01716Noticehttps://www.gpo.gov/fdsys/pkg/FR-2017-01-26/pdf/2017-01716.pdfhttps://regulations.justia.com/regulations/fedreg/2017/01/25/2017-01620.htmlNotice - Order Extending Certain Temporary Exemptions Under the Securities Exchange Act of 1934 in Connection With the Revision of the Definition of “Security” To Encompass Security-Based Swaps and Request for Comment2017-01-25T00:00:00-08:002017-01-25T00:00:00-08:002017-01620Noticehttps://www.gpo.gov/fdsys/pkg/FR-2017-01-25/pdf/2017-01620.pdfhttps://regulations.justia.com/regulations/fedreg/2017/01/25/2017-01619.htmlNotice - Self-Regulatory Organizations; ISE Mercury LLC; Order Granting Approval of Proposed Rule Change To Amend ISE Mercury Rule 723 and To Make Pilot Program Permanent2017-01-25T00:00:00-08:002017-01-25T00:00:00-08:002017-01619Noticehttps://www.gpo.gov/fdsys/pkg/FR-2017-01-25/pdf/2017-01619.pdfhttps://regulations.justia.com/regulations/fedreg/2017/01/25/2017-01618.htmlNotice - Self-Regulatory Organizations; ISE Gemini, LLC; Order Granting Approval of Proposed Rule Change To Amend ISE Gemini Rule 723 and To Make Pilot Program Permanent2017-01-25T00:00:00-08:002017-01-25T00:00:00-08:002017-01618Noticehttps://www.gpo.gov/fdsys/pkg/FR-2017-01-25/pdf/2017-01618.pdfhttps://regulations.justia.com/regulations/fedreg/2017/01/25/2017-01617.htmlNotice - Self-Regulatory Organizations; Bats BZX Exchange, Inc.; Notice of Designation of a Longer Period for Commission Action on Proposed Rule Changes to BZX Rule 14.11, Other Securities, and BZX Rule 14.12, Failure To Meet Listing Standards2017-01-25T00:00:00-08:002017-01-25T00:00:00-08:002017-01617Noticehttps://www.gpo.gov/fdsys/pkg/FR-2017-01-25/pdf/2017-01617.pdfhttps://regulations.justia.com/regulations/fedreg/2017/01/25/2017-01616.htmlNotice - Self-Regulatory Organizations; Bats EDGX Exchange, Inc.; Notice of Filing and Order Granting Accelerated Approval of a Proposed Rule Change to EDGX Rule 21.19, Bats Auction Mechanism, as it Applies to the Equity Options Platform2017-01-25T00:00:00-08:002017-01-25T00:00:00-08:002017-01616Noticehttps://www.gpo.gov/fdsys/pkg/FR-2017-01-25/pdf/2017-01616.pdfhttps://regulations.justia.com/regulations/fedreg/2017/01/25/2017-01615.htmlNotice - Self-Regulatory Organizations; Miami International Securities Exchange LLC; Order Granting Approval of a Proposed Rule Change To Amend Rule 515A, MIAX Price Improvement Mechanism (“PRIME”) and PRIME Solicitation Mechanism2017-01-25T00:00:00-08:002017-01-25T00:00:00-08:002017-01615Noticehttps://www.gpo.gov/fdsys/pkg/FR-2017-01-25/pdf/2017-01615.pdfhttps://regulations.justia.com/regulations/fedreg/2017/01/25/2017-01614.htmlNotice - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Filing of Amendment No. 1, and Order Granting Accelerated Approval of a Proposed Rule Change, as Modified by Amendment No. 1, To Amend Exchange Rules Related to the Automated Improvement Mechanism2017-01-25T00:00:00-08:002017-01-25T00:00:00-08:002017-01614Noticehttps://www.gpo.gov/fdsys/pkg/FR-2017-01-25/pdf/2017-01614.pdfhttps://regulations.justia.com/regulations/fedreg/2017/01/25/2017-01613.htmlNotice - Self-Regulatory Organizations; NASDAQ PHLX LLC; Order Granting Accelerated Approval of a Proposed Rule Change, as Modified by Amendment No. 1 Thereto, To Amend the PIXL Price Improvement Auction in Phlx Rule 1080(n) and To Make Pilot Program Permanent2017-01-25T00:00:00-08:002017-01-25T00:00:00-08:002017-01613Noticehttps://www.gpo.gov/fdsys/pkg/FR-2017-01-25/pdf/2017-01613.pdfhttps://regulations.justia.com/regulations/fedreg/2017/01/25/2017-01612.htmlNotice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing of Proposed Rule Change Amending the NYSE Arca Equities Rule 5 and Rule 8 Series2017-01-25T00:00:00-08:002017-01-25T00:00:00-08:002017-01612Noticehttps://www.gpo.gov/fdsys/pkg/FR-2017-01-25/pdf/2017-01612.pdfhttps://regulations.justia.com/regulations/fedreg/2017/01/25/2017-01611.htmlNotice - Self-Regulatory Organizations; BOX Options Exchange LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the Fee Schedule on the BOX Market LLC (“BOX”) Options Facility2017-01-25T00:00:00-08:002017-01-25T00:00:00-08:002017-01611Noticehttps://www.gpo.gov/fdsys/pkg/FR-2017-01-25/pdf/2017-01611.pdfhttps://regulations.justia.com/regulations/fedreg/2017/01/25/2017-01610.htmlNotice - Self-Regulatory Organizations; BOX Options Exchange LLC; Order Granting Approval of Proposed Rule Change To Amend Interpretive Material to Rule 7150 (Price Improvement Period “PIP”) and Interpretive Material to Rule 7245 (Complex Order Price Improvement Period “COPIP”) To Make Permanent the Pilot Programs That Permit the Exchange to Have No Minimum Size Requirement for Orders Entered Into the PIP (“PIP Pilot Program”) and COPIP (“COPIP Pilot Program”)2017-01-25T00:00:00-08:002017-01-25T00:00:00-08:002017-01610Noticehttps://www.gpo.gov/fdsys/pkg/FR-2017-01-25/pdf/2017-01610.pdfhttps://regulations.justia.com/regulations/fedreg/2017/01/25/2017-01609.htmlNotice - Self-Regulatory Organizations; NYSE MKT LLC; Order Granting Accelerated Approval of a Proposed Rule Change To Amend NYSE MKT Rule 971.1NY and Make Permanent the Aspects of Customer Best Execution Auction That Are Subject to a Pilot2017-01-25T00:00:00-08:002017-01-25T00:00:00-08:002017-01609Noticehttps://www.gpo.gov/fdsys/pkg/FR-2017-01-25/pdf/2017-01609.pdfhttps://regulations.justia.com/regulations/fedreg/2017/01/25/2017-01608.htmlNotice - Self-Regulatory Organizations; International Securities Exchange, LLC; Order Granting Approval of Proposed Rule Change To Amend ISE Rule 723 and To Make Pilot Program Permanent2017-01-25T00:00:00-08:002017-01-25T00:00:00-08:002017-01608Noticehttps://www.gpo.gov/fdsys/pkg/FR-2017-01-25/pdf/2017-01608.pdfhttps://regulations.justia.com/regulations/fedreg/2017/01/25/2017-01607.htmlNotice - Self-Regulatory Organizations; Chicago Stock Exchange, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Modify the Examination Requirement for CHX Market Maker Authorized Traders2017-01-25T00:00:00-08:002017-01-25T00:00:00-08:002017-01607Noticehttps://www.gpo.gov/fdsys/pkg/FR-2017-01-25/pdf/2017-01607.pdfhttps://regulations.justia.com/regulations/fedreg/2017/01/25/2017-01606.htmlNotice - Self-Regulatory Organizations; ICE Clear Credit LLC; Notice of Designation of Longer Period for Commission Action on Proposed Rule Change To Provide for the Clearance of Additional Credit Default Swap Contracts2017-01-25T00:00:00-08:002017-01-25T00:00:00-08:002017-01606Noticehttps://www.gpo.gov/fdsys/pkg/FR-2017-01-25/pdf/2017-01606.pdfhttps://regulations.justia.com/regulations/fedreg/2017/01/25/2017-01605.htmlNotice - Self-Regulatory Organizations; The Options Clearing Corporation; Notice of Filing of Proposed Rule Change Concerning The Options Clearing Corporation's Margin Coverage During Times of Increased Volatility2017-01-25T00:00:00-08:002017-01-25T00:00:00-08:002017-01605Noticehttps://www.gpo.gov/fdsys/pkg/FR-2017-01-25/pdf/2017-01605.pdfhttps://regulations.justia.com/regulations/fedreg/2017/01/25/2017-01604.htmlNotice - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the Fees Schedule2017-01-25T00:00:00-08:002017-01-25T00:00:00-08:002017-01604Noticehttps://www.gpo.gov/fdsys/pkg/FR-2017-01-25/pdf/2017-01604.pdfhttps://regulations.justia.com/regulations/fedreg/2017/01/24/2017-01566.htmlNotice - Proposed Collection; Comment Request2017-01-24T00:00:00-08:002017-01-24T00:00:00-08:002017-01566Noticehttps://www.gpo.gov/fdsys/pkg/FR-2017-01-24/pdf/2017-01566.pdfhttps://regulations.justia.com/regulations/fedreg/2017/01/24/2017-01467.htmlNotice - Self-Regulatory Organizations; NASDAQ BX, Inc.; Order Granting Approval of Proposed Rule Change To Amend the PRISM Price Improvement Auction in BX Chapter VI, Section 9 and To Make Pilot Program Permanent2017-01-24T00:00:00-08:002017-01-24T00:00:00-08:002017-01467Noticehttps://www.gpo.gov/fdsys/pkg/FR-2017-01-24/pdf/2017-01467.pdfhttps://regulations.justia.com/regulations/fedreg/2017/01/24/2017-01466.htmlNotice - Self-Regulatory Organizations; International Securities Exchange, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the Schedule of Fees2017-01-24T00:00:00-08:002017-01-24T00:00:00-08:002017-01466Noticehttps://www.gpo.gov/fdsys/pkg/FR-2017-01-24/pdf/2017-01466.pdfhttps://regulations.justia.com/regulations/fedreg/2017/01/24/2017-01465.htmlNotice - Self-Regulatory Organizations; The Nasdaq Stock Market LLC; Notice of Designation of Longer Period for Commission Action on Proposed Rule Change To Adopt a New Extended Life Priority Order Attribute Under Rule 4703, and To Make Related Changes to Rules 4702, 4752, 4753, 4754, and 47572017-01-24T00:00:00-08:002017-01-24T00:00:00-08:002017-01465Noticehttps://www.gpo.gov/fdsys/pkg/FR-2017-01-24/pdf/2017-01465.pdfhttps://regulations.justia.com/regulations/fedreg/2017/01/24/2017-01464.htmlNotice - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Transaction Fees To Implement New Incentive2017-01-24T00:00:00-08:002017-01-24T00:00:00-08:002017-01464Noticehttps://www.gpo.gov/fdsys/pkg/FR-2017-01-24/pdf/2017-01464.pdfhttps://regulations.justia.com/regulations/fedreg/2017/01/24/2017-01463.htmlNotice - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the Fees Schedule2017-01-24T00:00:00-08:002017-01-24T00:00:00-08:002017-01463Noticehttps://www.gpo.gov/fdsys/pkg/FR-2017-01-24/pdf/2017-01463.pdfhttps://regulations.justia.com/regulations/fedreg/2017/01/24/2017-01462.htmlNotice - Self-Regulatory Organizations; C2 Options Exchange, Incorporated; Notice of Filing and Immediate Effectiveness of a Proposed Rule To Amend the Fees Schedule2017-01-24T00:00:00-08:002017-01-24T00:00:00-08:002017-01462Noticehttps://www.gpo.gov/fdsys/pkg/FR-2017-01-24/pdf/2017-01462.pdfhttps://regulations.justia.com/regulations/fedreg/2017/01/24/2017-01461.htmlNotice - Self-Regulatory Organizations; National Stock Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Exchange Rule 11.26 Regarding the Data Collection Requirements of the Regulation NMS Plan To Implement a Tick Size Pilot Program January 17, 20172017-01-24T00:00:00-08:002017-01-24T00:00:00-08:002017-01461Noticehttps://www.gpo.gov/fdsys/pkg/FR-2017-01-24/pdf/2017-01461.pdfhttps://regulations.justia.com/regulations/fedreg/2017/01/24/2017-01460.htmlNotice - Self-Regulatory Organizations; NASDAQ PHLX LLC; Notice of Filing of Amendment No. 1, and Order Granting Accelerated Approval of a Proposed Rule Change, as Modified by Amendment No. 1, To Adopt a New Exception in Phlx Rule 1000(f) for Sub-MPV Split-Price Orders2017-01-24T00:00:00-08:002017-01-24T00:00:00-08:002017-01460Noticehttps://www.gpo.gov/fdsys/pkg/FR-2017-01-24/pdf/2017-01460.pdfhttps://regulations.justia.com/regulations/fedreg/2017/01/23/2017-01301.htmlNotice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Designation of a Longer Period for Commission Action on Proceedings To Determine Whether To Approve or Disapprove a Proposed Rule Change, as Modified by Amendment No. 2 Thereto, To Amend NYSE Arca Equities Rule 8.700 and To List and Trade Shares of the Managed Emerging Markets Trust Under Proposed Amended NYSE Arca Equities Rule 8.7002017-01-23T00:00:00-08:002017-01-23T00:00:00-08:002017-01301Noticehttps://www.gpo.gov/fdsys/pkg/FR-2017-01-23/pdf/2017-01301.pdfhttps://regulations.justia.com/regulations/fedreg/2017/01/23/2017-01300.htmlNotice - Self-Regulatory Organizations; Municipal Securities Rulemaking Board; Notice of Filing of Amendment No. 1 and Order Granting Accelerated Approval of a Proposed Rule Change, as Modified by Amendment No. 1, To Extend the MSRB's Customer Complaint and Related Recordkeeping Rules to Municipal Advisors and To Modernize Those Rules2017-01-23T00:00:00-08:002017-01-23T00:00:00-08:002017-01300Noticehttps://www.gpo.gov/fdsys/pkg/FR-2017-01-23/pdf/2017-01300.pdfhttps://regulations.justia.com/regulations/fedreg/2017/01/23/2017-01299.htmlNotice - Self-Regulatory Organizations; ISE Gemini, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the Schedule of Fees2017-01-23T00:00:00-08:002017-01-23T00:00:00-08:002017-01299Noticehttps://www.gpo.gov/fdsys/pkg/FR-2017-01-23/pdf/2017-01299.pdfhttps://regulations.justia.com/regulations/fedreg/2017/01/23/2017-01298.htmlNotice - Self-Regulatory Organizations; C2 Options Exchange, Incorporated; Notice of Filing and Immediate Effectiveness of a Proposed Rule To Amend the Fees Schedule2017-01-23T00:00:00-08:002017-01-23T00:00:00-08:002017-01298Noticehttps://www.gpo.gov/fdsys/pkg/FR-2017-01-23/pdf/2017-01298.pdfhttps://regulations.justia.com/regulations/fedreg/2017/01/23/2017-01297.htmlNotice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing of Proposed Rule Change Relating to the Listing and Trading of Shares of the USCF Canadian Crude Oil Index Fund Under NYSE Arca Equities Rule 8.2002017-01-23T00:00:00-08:002017-01-23T00:00:00-08:002017-01297Noticehttps://www.gpo.gov/fdsys/pkg/FR-2017-01-23/pdf/2017-01297.pdfhttps://regulations.justia.com/regulations/fedreg/2017/01/23/2017-01296.htmlNotice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing of Proposed Rule Change Relating to the Listing and Trading of Shares of the EtherIndex Ether Trust Under NYSE Arca Equities Rule 8.2012017-01-23T00:00:00-08:002017-01-23T00:00:00-08:002017-01296Noticehttps://www.gpo.gov/fdsys/pkg/FR-2017-01-23/pdf/2017-01296.pdfhttps://regulations.justia.com/regulations/fedreg/2017/01/23/2017-01295.htmlNotice - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Rule 70182017-01-23T00:00:00-08:002017-01-23T00:00:00-08:002017-01295Noticehttps://www.gpo.gov/fdsys/pkg/FR-2017-01-23/pdf/2017-01295.pdfhttps://regulations.justia.com/regulations/fedreg/2017/01/23/2016-32032.htmlRule - Adoption of Updated EDGAR Filer Manual2017-01-23T00:00:00-08:002017-01-23T00:00:00-08:002016-32032Rulehttps://www.gpo.gov/fdsys/pkg/FR-2017-01-23/pdf/2016-32032.pdfhttps://regulations.justia.com/regulations/fedreg/2017/01/18/2017-01142.htmlNotice - Sunshine Act Meeting2017-01-18T00:00:00-08:002017-01-18T00:00:00-08:002017-01142Noticehttps://www.gpo.gov/fdsys/pkg/FR-2017-01-18/pdf/2017-01142.pdfhttps://regulations.justia.com/regulations/fedreg/2017/01/18/2017-00965.htmlNotice - Self-Regulatory Organizations; Bats EDGX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Modify Fees for Connectivity and Its Communication and Routing Service Known as Bats Connect2017-01-18T00:00:00-08:002017-01-18T00:00:00-08:002017-00965Noticehttps://www.gpo.gov/fdsys/pkg/FR-2017-01-18/pdf/2017-00965.pdfhttps://regulations.justia.com/regulations/fedreg/2017/01/18/2017-00964.htmlNotice - Self-Regulatory Organizations; Bats EDGA Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Modify Fees for Connectivity and Its Communication and Routing Service Known as Bats Connect2017-01-18T00:00:00-08:002017-01-18T00:00:00-08:002017-00964Noticehttps://www.gpo.gov/fdsys/pkg/FR-2017-01-18/pdf/2017-00964.pdfhttps://regulations.justia.com/regulations/fedreg/2017/01/18/2017-00963.htmlNotice - Owl Rock Capital Corporation, et al.; Notice of Application2017-01-18T00:00:00-08:002017-01-18T00:00:00-08:002017-00963Noticehttps://www.gpo.gov/fdsys/pkg/FR-2017-01-18/pdf/2017-00963.pdfhttps://regulations.justia.com/regulations/fedreg/2017/01/18/2017-00421.htmlRule - Adjustments to Civil Monetary Penalty Amounts2017-01-18T00:00:00-08:002017-01-18T00:00:00-08:002017-00421Rulehttps://www.gpo.gov/fdsys/pkg/FR-2017-01-18/pdf/2017-00421.pdfhttps://regulations.justia.com/regulations/fedreg/2017/01/17/2017-00783.htmlNotice - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Reduce the All-Inclusive Annual Listing Fee for Limited Partnerships Listed on Nasdaq2017-01-17T00:00:00-08:002017-01-17T00:00:00-08:002017-00783Noticehttps://www.gpo.gov/fdsys/pkg/FR-2017-01-17/pdf/2017-00783.pdfhttps://regulations.justia.com/regulations/fedreg/2017/01/17/2017-00782.htmlNotice - Self-Regulatory Organizations; Bats EDGX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Modify the Fee Schedule of the Exchange's Options Platform To Adopt Fees for its Recently Adopted Bats Auction Mechanism2017-01-17T00:00:00-08:002017-01-17T00:00:00-08:002017-00782Noticehttps://www.gpo.gov/fdsys/pkg/FR-2017-01-17/pdf/2017-00782.pdfhttps://regulations.justia.com/regulations/fedreg/2017/01/17/2017-00781.htmlNotice - Self-Regulatory Organizations; BOX Options Exchange LLC; Notice of Designation of Longer Period for Commission Action on a Proposed Rule Change To Adopt Rules for an Open-Outcry Trading Floor2017-01-17T00:00:00-08:002017-01-17T00:00:00-08:002017-00781Noticehttps://www.gpo.gov/fdsys/pkg/FR-2017-01-17/pdf/2017-00781.pdfhttps://regulations.justia.com/regulations/fedreg/2017/01/17/2017-00780.htmlNotice - Self-Regulatory Organizations; NYSEArca, Inc.; Order Granting Approval of Proposed Rule Change, as Modified by Amendment No. 1 Thereto, Relating to a Change to the Underlying Index for the PowerShares Build America Bond Portfolio2017-01-17T00:00:00-08:002017-01-17T00:00:00-08:002017-00780Noticehttps://www.gpo.gov/fdsys/pkg/FR-2017-01-17/pdf/2017-00780.pdfhttps://regulations.justia.com/regulations/fedreg/2017/01/17/2017-00779.htmlNotice - Self-Regulatory Organizations; Bats BZX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Amending Fees To Adopt a New Cross-Asset Step-Up Tier2017-01-17T00:00:00-08:002017-01-17T00:00:00-08:002017-00779Noticehttps://www.gpo.gov/fdsys/pkg/FR-2017-01-17/pdf/2017-00779.pdfhttps://regulations.justia.com/regulations/fedreg/2017/01/17/2017-00778.htmlNotice - Brown Advisory LLC; Notice of Application2017-01-17T00:00:00-08:002017-01-17T00:00:00-08:002017-00778Noticehttps://www.gpo.gov/fdsys/pkg/FR-2017-01-17/pdf/2017-00778.pdfhttps://regulations.justia.com/regulations/fedreg/2017/01/13/2017-00628.htmlNotice - Guardian Variable Products Trust and Park Avenue Institutional Advisers LLC; Notice of Application2017-01-13T00:00:00-08:002017-01-13T00:00:00-08:002017-00628Noticehttps://www.gpo.gov/fdsys/pkg/FR-2017-01-13/pdf/2017-00628.pdfhttps://regulations.justia.com/regulations/fedreg/2017/01/13/2017-00626.htmlNotice - Self-Regulatory Organizations; The Depository Trust Company; Order Granting Approval of Proposed Rule Change Relating To Processing of Transactions in Money Market Instruments2017-01-13T00:00:00-08:002017-01-13T00:00:00-08:002017-00626Noticehttps://www.gpo.gov/fdsys/pkg/FR-2017-01-13/pdf/2017-00626.pdfhttps://regulations.justia.com/regulations/fedreg/2017/01/13/2017-00625.htmlNotice - Self-Regulatory Organizations; The Depository Trust Company; Notice of No Objection To Advance Notice Filing Relating To Processing of Transactions in Money Market Instruments2017-01-13T00:00:00-08:002017-01-13T00:00:00-08:002017-00625Noticehttps://www.gpo.gov/fdsys/pkg/FR-2017-01-13/pdf/2017-00625.pdfhttps://regulations.justia.com/regulations/fedreg/2017/01/13/2017-00611.htmlNotice - Self-Regulatory Organizations; Bats BZX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Modify Fees for Connectivity and Its Communication and Routing Service Known as Bats Connect2017-01-13T00:00:00-08:002017-01-13T00:00:00-08:002017-00611Noticehttps://www.gpo.gov/fdsys/pkg/FR-2017-01-13/pdf/2017-00611.pdfhttps://regulations.justia.com/regulations/fedreg/2017/01/13/2017-00610.htmlNotice - Self-Regulatory Organizations; Bats EDGX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Modify Fees for Connectivity and Its Communication and Routing Service Known as Bats Connect2017-01-13T00:00:00-08:002017-01-13T00:00:00-08:002017-00610Noticehttps://www.gpo.gov/fdsys/pkg/FR-2017-01-13/pdf/2017-00610.pdfhttps://regulations.justia.com/regulations/fedreg/2017/01/13/2017-00609.htmlNotice - Self-Regulatory Organizations; Bats BYX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Modify Fees for Connectivity and Its Communication and Routing Service Known as Bats Connect2017-01-13T00:00:00-08:002017-01-13T00:00:00-08:002017-00609Noticehttps://www.gpo.gov/fdsys/pkg/FR-2017-01-13/pdf/2017-00609.pdfhttps://regulations.justia.com/regulations/fedreg/2017/01/13/2017-00608.htmlNotice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Designation of a Longer Period for Commission Action on a Proposed Rule Change, as Modified by Amendment No. 1, To Amend NYSE Arca Rule 6.912017-01-13T00:00:00-08:002017-01-13T00:00:00-08:002017-00608Noticehttps://www.gpo.gov/fdsys/pkg/FR-2017-01-13/pdf/2017-00608.pdfhttps://regulations.justia.com/regulations/fedreg/2017/01/13/2017-00607.htmlNotice - Self-Regulatory Organizations; Bats BZX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Modify Fees for Connectivity and Its Communication and Routing Service Known as Bats Connect2017-01-13T00:00:00-08:002017-01-13T00:00:00-08:002017-00607Noticehttps://www.gpo.gov/fdsys/pkg/FR-2017-01-13/pdf/2017-00607.pdfhttps://regulations.justia.com/regulations/fedreg/2017/01/12/2017-00493.htmlNotice - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Extend the Expiration Date of FINRA Rule 0180 (Application of Rules to Security-Based Swaps)2017-01-12T00:00:00-08:002017-01-12T00:00:00-08:002017-00493Noticehttps://www.gpo.gov/fdsys/pkg/FR-2017-01-12/pdf/2017-00493.pdfhttps://regulations.justia.com/regulations/fedreg/2017/01/12/2017-00492.htmlNotice - Self-Regulatory Organizations; NASDAQ PHLX LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Options Regulatory Fee2017-01-12T00:00:00-08:002017-01-12T00:00:00-08:002017-00492Noticehttps://www.gpo.gov/fdsys/pkg/FR-2017-01-12/pdf/2017-00492.pdfhttps://regulations.justia.com/regulations/fedreg/2017/01/12/2017-00491.htmlNotice - Self-Regulatory Organizations; ICE Clear Credit LLC; Notice of Filing Amendment No. 1 and Order Granting Accelerated Approval of Proposed Rule Change To Amend the ICE Clear Credit Clearing Rules, as Modified by Amendment No. 1, Relating to Default Management, Clearing House Recovery and Wind-Down2017-01-12T00:00:00-08:002017-01-12T00:00:00-08:002017-00491Noticehttps://www.gpo.gov/fdsys/pkg/FR-2017-01-12/pdf/2017-00491.pdfhttps://regulations.justia.com/regulations/fedreg/2017/01/12/2017-00490.htmlNotice - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Its Price List2017-01-12T00:00:00-08:002017-01-12T00:00:00-08:002017-00490Noticehttps://www.gpo.gov/fdsys/pkg/FR-2017-01-12/pdf/2017-00490.pdfhttps://regulations.justia.com/regulations/fedreg/2017/01/12/2017-00469.htmlNotice - Proposed Collection; Comment Request2017-01-12T00:00:00-08:002017-01-12T00:00:00-08:002017-00469Noticehttps://www.gpo.gov/fdsys/pkg/FR-2017-01-12/pdf/2017-00469.pdfhttps://regulations.justia.com/regulations/fedreg/2017/01/11/2017-00369.htmlNotice - Self-Regulatory Organizations; The Depository Trust Company; Notice of Filing and Immediate Effectiveness of Proposed Rule Change, as Modified by Amendment No. 1, Regarding the Update of Its Corporate Action Service for the Processing of Redemptions Events and the Transition to International Organization for Standardization 20022 Messaging for Corporate Action Announcements2017-01-11T00:00:00-08:002017-01-11T00:00:00-08:002017-00369Noticehttps://www.gpo.gov/fdsys/pkg/FR-2017-01-11/pdf/2017-00369.pdfhttps://regulations.justia.com/regulations/fedreg/2017/01/11/2017-00368.htmlNotice - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the Fees Schedule2017-01-11T00:00:00-08:002017-01-11T00:00:00-08:002017-00368Noticehttps://www.gpo.gov/fdsys/pkg/FR-2017-01-11/pdf/2017-00368.pdfhttps://regulations.justia.com/regulations/fedreg/2017/01/11/2017-00367.htmlNotice - Self-Regulatory Organizations; C2 Options Exchange, Incorporated; Order Approving a Proposed Rule Change Relating to Opening and Closing Rotations for Series Trading on the Exchange2017-01-11T00:00:00-08:002017-01-11T00:00:00-08:002017-00367Noticehttps://www.gpo.gov/fdsys/pkg/FR-2017-01-11/pdf/2017-00367.pdfhttps://regulations.justia.com/regulations/fedreg/2017/01/11/2017-00366.htmlNotice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing of Proposed Rule Change Relating to the Listing and Trading of the Shares of the United States 3x Oil Fund and United States −3x Short Oil Fund Under NYSE Arca Equities Rule 8.2002017-01-11T00:00:00-08:002017-01-11T00:00:00-08:002017-00366Noticehttps://www.gpo.gov/fdsys/pkg/FR-2017-01-11/pdf/2017-00366.pdfhttps://regulations.justia.com/regulations/fedreg/2017/01/10/2017-00376.htmlNotice - Sunshine Act Meeting2017-01-10T00:00:00-08:002017-01-10T00:00:00-08:002017-00376Noticehttps://www.gpo.gov/fdsys/pkg/FR-2017-01-10/pdf/2017-00376.pdfhttps://regulations.justia.com/regulations/fedreg/2017/01/10/2017-00227.htmlNotice - Hartford Funds Exchange-Traded Trust, et al.; Notice of Application]2017-01-10T00:00:00-08:002017-01-10T00:00:00-08:002017-00227Noticehttps://www.gpo.gov/fdsys/pkg/FR-2017-01-10/pdf/2017-00227.pdfhttps://regulations.justia.com/regulations/fedreg/2017/01/10/2017-00226.htmlNotice - Krane Funds Advisors, LLC, et al.;2017-01-10T00:00:00-08:002017-01-10T00:00:00-08:002017-00226Noticehttps://www.gpo.gov/fdsys/pkg/FR-2017-01-10/pdf/2017-00226.pdfhttps://regulations.justia.com/regulations/fedreg/2017/01/10/2017-00225.htmlNotice - Self-Regulatory Organizations; ISE Gemini, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Rules To Extend a Pilot Program2017-01-10T00:00:00-08:002017-01-10T00:00:00-08:002017-00225Noticehttps://www.gpo.gov/fdsys/pkg/FR-2017-01-10/pdf/2017-00225.pdfhttps://regulations.justia.com/regulations/fedreg/2017/01/10/2017-00224.htmlNotice - Self-Regulatory Organizations; ISE Mercury, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend its Rules to Extend a Pilot Program2017-01-10T00:00:00-08:002017-01-10T00:00:00-08:002017-00224Noticehttps://www.gpo.gov/fdsys/pkg/FR-2017-01-10/pdf/2017-00224.pdfhttps://regulations.justia.com/regulations/fedreg/2017/01/10/2017-00223.htmlNotice - Self-Regulatory Organizations; National Securities Clearing Corporation; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Adjust Fees Related to Insurance and Retirement Processing Services2017-01-10T00:00:00-08:002017-01-10T00:00:00-08:002017-00223Noticehttps://www.gpo.gov/fdsys/pkg/FR-2017-01-10/pdf/2017-00223.pdfhttps://regulations.justia.com/regulations/fedreg/2017/01/10/2017-00222.htmlNotice - Self-Regulatory Organizations; NYSE MKT LLC; Notice of Designation of a Longer Period for Commission Action on a Proposed Rule Change Allowing the Exchange To Trade Pursuant to Unlisted Trading Privileges for Any NMS Stock Listed on Another National Securities Exchange; Establishing Rules for the Trading Pursuant to UTP of Exchange-Traded Products; and Adopting New Equity Trading Rules Relating to Trading Halts of Securities Traded Pursuant to UTP on the Pillar Platform2017-01-10T00:00:00-08:002017-01-10T00:00:00-08:002017-00222Noticehttps://www.gpo.gov/fdsys/pkg/FR-2017-01-10/pdf/2017-00222.pdfhttps://regulations.justia.com/regulations/fedreg/2017/01/10/2017-00221.htmlNotice - Self-Regulatory Organizations; NYSE MKT LLC; Notice of Filing and Immediate Effectiveness of Proposed Change Modifying the NYSE Amex Options Fee Schedule2017-01-10T00:00:00-08:002017-01-10T00:00:00-08:002017-00221Noticehttps://www.gpo.gov/fdsys/pkg/FR-2017-01-10/pdf/2017-00221.pdfhttps://regulations.justia.com/regulations/fedreg/2017/01/10/2017-00220.htmlNotice - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Designation of a Longer Period for Commission Action on Proceedings To Determine Whether To Approve or Disapprove a Proposed Rule Change, as Modified by Amendments No. 1 and 2, Allowing the Exchange To Trade Pursuant to Unlisted Trading Privileges any NMS Stock Listed on Another National Securities Exchange; Establishing Listing and Trading Requirements for Exchange Traded Products; and Adopting New Equity Trading Rules Relating To Trading Halts of Securities Traded Pursuant to UTP on the Pillar Platform2017-01-10T00:00:00-08:002017-01-10T00:00:00-08:002017-00220Noticehttps://www.gpo.gov/fdsys/pkg/FR-2017-01-10/pdf/2017-00220.pdfhttps://regulations.justia.com/regulations/fedreg/2017/01/10/2017-00219.htmlNotice - Self-Regulatory Organizations; ISE Gemini, LLC; Order Approving a Proposed Rule Change To Modify the Response Times in the Block Mechanism, Facilitation Mechanism, Solicited Order Mechanism, and Price Improvement Mechanism2017-01-10T00:00:00-08:002017-01-10T00:00:00-08:002017-00219Noticehttps://www.gpo.gov/fdsys/pkg/FR-2017-01-10/pdf/2017-00219.pdfhttps://regulations.justia.com/regulations/fedreg/2017/01/10/2017-00218.htmlNotice - Self-Regulatory Organizations; National Securities Clearing Corporation; Order Granting Approval of Proposed Rule Change To Accommodate Shorter Standard Settlement Cycle and Make Other Changes2017-01-10T00:00:00-08:002017-01-10T00:00:00-08:002017-00218Noticehttps://www.gpo.gov/fdsys/pkg/FR-2017-01-10/pdf/2017-00218.pdfhttps://regulations.justia.com/regulations/fedreg/2017/01/10/2017-00217.htmlNotice - Self-Regulatory Organizations; International Securities Exchange, LLC; Order Approving a Proposed Rule Change To Modify the Response Times in the Block Mechanism, Facilitation Mechanism, Solicited Order Mechanism, and Price Improvement Mechanism2017-01-10T00:00:00-08:002017-01-10T00:00:00-08:002017-00217Noticehttps://www.gpo.gov/fdsys/pkg/FR-2017-01-10/pdf/2017-00217.pdfhttps://regulations.justia.com/regulations/fedreg/2017/01/10/2017-00216.htmlNotice - Self-Regulatory Organizations; NYSE Arca, Inc.; Order Granting Approval of a Proposed Rule Change To Conform to Proposed Amendment to Rule 15c6-1(a) Under the Securities Exchange Act of 1934 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”)2017-01-10T00:00:00-08:002017-01-10T00:00:00-08:002017-00216Noticehttps://www.gpo.gov/fdsys/pkg/FR-2017-01-10/pdf/2017-00216.pdfhttps://regulations.justia.com/regulations/fedreg/2017/01/10/2017-00215.htmlNotice - Self-Regulatory Organizations; ISE Mercury, LLC; Order Approving a Proposed Rule Change To Modify the Response Times in the Block Mechanism, Facilitation Mechanism, Solicited Order Mechanism, and Price Improvement Mechanism2017-01-10T00:00:00-08:002017-01-10T00:00:00-08:002017-00215Noticehttps://www.gpo.gov/fdsys/pkg/FR-2017-01-10/pdf/2017-00215.pdfhttps://regulations.justia.com/regulations/fedreg/2017/01/10/2017-00214.htmlNotice - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending the Exchange's Price List Related to Co-location Services To Increase LCN and IP Network Fees and Add a Description of Access To Trading and Execution Services and Connectivity to Included Data Products2017-01-10T00:00:00-08:002017-01-10T00:00:00-08:002017-00214Noticehttps://www.gpo.gov/fdsys/pkg/FR-2017-01-10/pdf/2017-00214.pdfhttps://regulations.justia.com/regulations/fedreg/2017/01/10/2017-00213.htmlNotice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending the NYSE Arca Options Fee Schedule and the NYSE Arca Equities Schedule of Fees and Charges Related to Co-Location Services To Increase LCN and IP Network Fees and Add a Description of Access to Trading and Execution Services and Connectivity to Included Data Products2017-01-10T00:00:00-08:002017-01-10T00:00:00-08:002017-00213Noticehttps://www.gpo.gov/fdsys/pkg/FR-2017-01-10/pdf/2017-00213.pdfhttps://regulations.justia.com/regulations/fedreg/2017/01/10/2017-00212.htmlNotice - Self-Regulatory Organizations; NYSE MKT LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending the NYSE MKT Equities Price List and the NYSE Amex Options Fee Schedule Related to Co-Location Services To Increase LCN and IP Network Fees and Add a Description of Access to Trading and Execution Services and Connectivity to Included Data Products2017-01-10T00:00:00-08:002017-01-10T00:00:00-08:002017-00212Noticehttps://www.gpo.gov/fdsys/pkg/FR-2017-01-10/pdf/2017-00212.pdfhttps://regulations.justia.com/regulations/fedreg/2017/01/09/2017-00102.htmlNotice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Designation of a Longer Period for Commission Action on Proceedings To Determine Whether To Approve or Disapprove a Proposed Rule Change Relating to the Listing and Trading of Shares of SolidX Bitcoin Trust Under NYSE Arca Equities Rule 8.2012017-01-09T00:00:00-08:002017-01-09T00:00:00-08:002017-00102Noticehttps://www.gpo.gov/fdsys/pkg/FR-2017-01-09/pdf/2017-00102.pdfhttps://regulations.justia.com/regulations/fedreg/2017/01/09/2017-00101.htmlNotice - Self-Regulatory Organizations; Bats BZX Exchange, Inc.; Notice of Designation of a Longer Period for Commission Action on Proceedings to Determine Whether to Approve or Disapprove a Proposed Rule Change, as Modified by Amendment No. 1, to BZX Rule 14.11(e)(4), Commodity-Based Trust Shares, to List and Trade Winklevoss Bitcoin Shares Issued by the Winklevoss Bitcoin Trust2017-01-09T00:00:00-08:002017-01-09T00:00:00-08:002017-00101Noticehttps://www.gpo.gov/fdsys/pkg/FR-2017-01-09/pdf/2017-00101.pdfhttps://regulations.justia.com/regulations/fedreg/2017/01/09/2017-00100.htmlNotice - Self-Regulatory Organizations; NASDAQ PHLX LLC; Notice of Filing of Proposed Rule Change To Amend Rules 501, 507, 508, 510, and 5112017-01-09T00:00:00-08:002017-01-09T00:00:00-08:002017-00100Noticehttps://www.gpo.gov/fdsys/pkg/FR-2017-01-09/pdf/2017-00100.pdfhttps://regulations.justia.com/regulations/fedreg/2017/01/09/2017-00099.htmlNotice - Self-Regulatory Organizations; International Securities Exchange, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Rules To Extend a Pilot Program2017-01-09T00:00:00-08:002017-01-09T00:00:00-08:002017-00099Noticehttps://www.gpo.gov/fdsys/pkg/FR-2017-01-09/pdf/2017-00099.pdfhttps://regulations.justia.com/regulations/fedreg/2017/01/09/2017-00098.htmlNotice - Self-Regulatory Organizations; NYSE MKT LLC; Order Approving Proposed Rule Change, as Modified by Amendment No. 1 Thereto, Introducing NYSE OptX2017-01-09T00:00:00-08:002017-01-09T00:00:00-08:002017-00098Noticehttps://www.gpo.gov/fdsys/pkg/FR-2017-01-09/pdf/2017-00098.pdfhttps://regulations.justia.com/regulations/fedreg/2017/01/09/2017-00097.htmlNotice - Self-Regulatory Organizations; NYSE Arca, Inc.; Order Approving Proposed Rule Change, as Modified by Amendment No. 1 Thereto, Introducing NYSE OptX2017-01-09T00:00:00-08:002017-01-09T00:00:00-08:002017-00097Noticehttps://www.gpo.gov/fdsys/pkg/FR-2017-01-09/pdf/2017-00097.pdfhttps://regulations.justia.com/regulations/fedreg/2017/01/09/2017-00096.htmlNotice - Self-Regulatory Organizations; Bats EDGX Exchange, Inc.; Notice of Filing of Amendment No. 1 and Order Granting Accelerated Approval of a Proposed Rule Change, as Modified by Amendment No. 1, Related to the Exchange's Equity Options Platform To Adopt a Price Improvement Auction, the Bats Auction Mechanism2017-01-09T00:00:00-08:002017-01-09T00:00:00-08:002017-00096Noticehttps://www.gpo.gov/fdsys/pkg/FR-2017-01-09/pdf/2017-00096.pdfhttps://regulations.justia.com/regulations/fedreg/2017/01/06/2016-32041.htmlNotice - Notice of Applications For Deregistration Under Section 8(f) of the Investment Company Act of 19402017-01-06T00:00:00-08:002017-01-06T00:00:00-08:002016-32041Noticehttps://www.gpo.gov/fdsys/pkg/FR-2017-01-06/pdf/2016-32041.pdfhttps://regulations.justia.com/regulations/fedreg/2017/01/06/2016-32040.htmlNotice - Self-Regulatory Organizations; NYSE MKT LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the NYSE MKT Equities Price List and the NYSE Amex Options Fee Schedule To Modify the Fees Related to Four Bundles of Co-Location Services in Connection With the Exchange's Co-Location Services2017-01-06T00:00:00-08:002017-01-06T00:00:00-08:002016-32040Noticehttps://www.gpo.gov/fdsys/pkg/FR-2017-01-06/pdf/2016-32040.pdfhttps://regulations.justia.com/regulations/fedreg/2017/01/06/2016-32039.htmlNotice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the NYSE Arca Options Fee Schedule and the NYSE Arca Equities Schedule of Fees and Charges for Exchange Services To Modify the Fees Related to Four Bundles of Co-Location Services in Connection With the Exchange's Co-Location Services2017-01-06T00:00:00-08:002017-01-06T00:00:00-08:002016-32039Noticehttps://www.gpo.gov/fdsys/pkg/FR-2017-01-06/pdf/2016-32039.pdfhttps://regulations.justia.com/regulations/fedreg/2017/01/06/2016-32038.htmlNotice - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend the Exchange's Price List to Modify the Fees Related to Four Bundles of Co-Location Services in Connection with the Exchange's Co-Location Services2017-01-06T00:00:00-08:002017-01-06T00:00:00-08:002016-32038Noticehttps://www.gpo.gov/fdsys/pkg/FR-2017-01-06/pdf/2016-32038.pdfhttps://regulations.justia.com/regulations/fedreg/2017/01/06/2016-32037.htmlNotice - Self-Regulatory Organizations; NYSE Arca, Inc.; Order Approving a Proposed Rule Change, as Modified by Amendment No. 1, Amending NYSE Arca Equities Rule 7.35 To Provide for Widened Auction Collars for the Core Open Auction on Volatile Trading Days2017-01-06T00:00:00-08:002017-01-06T00:00:00-08:002016-32037Noticehttps://www.gpo.gov/fdsys/pkg/FR-2017-01-06/pdf/2016-32037.pdfhttps://regulations.justia.com/regulations/fedreg/2017/01/06/2016-32036.htmlNotice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending NYSE Arca Equities Rule 7.35(d)(4)2017-01-06T00:00:00-08:002017-01-06T00:00:00-08:002016-32036Noticehttps://www.gpo.gov/fdsys/pkg/FR-2017-01-06/pdf/2016-32036.pdfhttps://regulations.justia.com/regulations/fedreg/2017/01/05/2016-32048.htmlNotice - Sunshine Act Meeting; Additional Item2017-01-05T00:00:00-08:002017-01-05T00:00:00-08:002016-32048Noticehttps://www.gpo.gov/fdsys/pkg/FR-2017-01-05/pdf/2016-32048.pdfhttps://regulations.justia.com/regulations/fedreg/2017/01/05/2016-32047.htmlNotice - Sunshine Act Meeting2017-01-05T00:00:00-08:002017-01-05T00:00:00-08:002016-32047Noticehttps://www.gpo.gov/fdsys/pkg/FR-2017-01-05/pdf/2016-32047.pdfhttps://regulations.justia.com/regulations/fedreg/2017/01/05/2016-31945.htmlNotice - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Its Price List2017-01-05T00:00:00-08:002017-01-05T00:00:00-08:002016-31945Noticehttps://www.gpo.gov/fdsys/pkg/FR-2017-01-05/pdf/2016-31945.pdfhttps://regulations.justia.com/regulations/fedreg/2017/01/05/2016-31943.htmlNotice - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Filing of a Proposed Rule Change Related to a Change to the Trading Symbol for P.M.-Settled Options on the Standard & Poor's 500 Index2017-01-05T00:00:00-08:002017-01-05T00:00:00-08:002016-31943Noticehttps://www.gpo.gov/fdsys/pkg/FR-2017-01-05/pdf/2016-31943.pdfhttps://regulations.justia.com/regulations/fedreg/2017/01/05/2016-31942.htmlNotice - Self-Regulatory Organizations; C2 Options Exchange, Incorporated; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to Fees for C2 Real-Time Data Feeds2017-01-05T00:00:00-08:002017-01-05T00:00:00-08:002016-31942Noticehttps://www.gpo.gov/fdsys/pkg/FR-2017-01-05/pdf/2016-31942.pdfhttps://regulations.justia.com/regulations/fedreg/2017/01/05/2016-31941.htmlNotice - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to Fees for the Complex Order Book Data Feed2017-01-05T00:00:00-08:002017-01-05T00:00:00-08:002016-31941Noticehttps://www.gpo.gov/fdsys/pkg/FR-2017-01-05/pdf/2016-31941.pdfhttps://regulations.justia.com/regulations/fedreg/2017/01/05/2016-31940.htmlNotice - Self-Regulatory Organizations; LCH SA; Order Granting Application for Registration as a Clearing Agency and Request for Exemptive Relief2017-01-05T00:00:00-08:002017-01-05T00:00:00-08:002016-31940Noticehttps://www.gpo.gov/fdsys/pkg/FR-2017-01-05/pdf/2016-31940.pdfhttps://regulations.justia.com/regulations/fedreg/2017/01/05/2016-31939.htmlNotice - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to the Listing and Trading of the Shares of the First Trust Strategic Income ETF of First Trust Exchange-Traded Fund IV2017-01-05T00:00:00-08:002017-01-05T00:00:00-08:002016-31939Noticehttps://www.gpo.gov/fdsys/pkg/FR-2017-01-05/pdf/2016-31939.pdfhttps://regulations.justia.com/regulations/fedreg/2017/01/05/2016-31938.htmlNotice - DFA Investment Dimensions Group Inc., et al.; Notice of Application2017-01-05T00:00:00-08:002017-01-05T00:00:00-08:002016-31938Noticehttps://www.gpo.gov/fdsys/pkg/FR-2017-01-05/pdf/2016-31938.pdfhttps://regulations.justia.com/regulations/fedreg/2017/01/05/2016-31937.htmlNotice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending NYSE Arca Equities Rule 7.35(a)(10)(A)2017-01-05T00:00:00-08:002017-01-05T00:00:00-08:002016-31937Noticehttps://www.gpo.gov/fdsys/pkg/FR-2017-01-05/pdf/2016-31937.pdfhttps://regulations.justia.com/regulations/fedreg/2017/01/05/2016-31936.htmlNotice - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Rule 7022(d)2017-01-05T00:00:00-08:002017-01-05T00:00:00-08:002016-31936Noticehttps://www.gpo.gov/fdsys/pkg/FR-2017-01-05/pdf/2016-31936.pdfhttps://regulations.justia.com/regulations/fedreg/2017/01/04/2016-31860.htmlNotice - Morgan Stanley ETF Trust, et al.; Notice of Application2017-01-04T00:00:00-08:002017-01-04T00:00:00-08:002016-31860Noticehttps://www.gpo.gov/fdsys/pkg/FR-2017-01-04/pdf/2016-31860.pdfhttps://regulations.justia.com/regulations/fedreg/2017/01/04/2016-31859.htmlNotice - Self-Regulatory Organizations; Bats EDGA 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 EDGA Summary Depth and Amend Fees for EDGA Depth2017-01-04T00:00:00-08:002017-01-04T00:00:00-08:002016-31859Noticehttps://www.gpo.gov/fdsys/pkg/FR-2017-01-04/pdf/2016-31859.pdfhttps://regulations.justia.com/regulations/fedreg/2017/01/03/2016-31766.htmlNotice - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Filing of a Proposed Rule Change Related to the Nullification and Adjustment of Options Transactions2017-01-03T00:00:00-08:002017-01-03T00:00:00-08:002016-31766Noticehttps://www.gpo.gov/fdsys/pkg/FR-2017-01-03/pdf/2016-31766.pdfhttps://regulations.justia.com/regulations/fedreg/2017/01/03/2016-31765.htmlNotice - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Rule 6.542017-01-03T00:00:00-08:002017-01-03T00:00:00-08:002016-31765Noticehttps://www.gpo.gov/fdsys/pkg/FR-2017-01-03/pdf/2016-31765.pdf