Securities and Exchange Commission February 8, 2017 – Federal Register Recent Federal Regulation Documents

Results 1 - 23 of 23
Sunshine Act Meeting; Additional Item
Document Number: 2017-02636
Type: Notice
Date: 2017-02-08
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2017/02/08/2017-02636.html
Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Filing of a Proposed Rule Change Relating to the Consolidated Audit Trail
Document Number: 2017-02555
Type: Notice
Date: 2017-02-08
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2017/02/08/2017-02555.html
Self-Regulatory Organizations; Bats EDGX Exchange, Inc.; Notice of Filing of a Proposed Rule Change To Adopt Rules 4.5 Through 4.16 To Implement the Compliance Rule Regarding the National Market System Plan Governing the Consolidated Audit Trail
Document Number: 2017-02554
Type: Notice
Date: 2017-02-08
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2017/02/08/2017-02554.html
Self-Regulatory Organizations; Chicago Stock Exchange, Inc.; Notice of Filing of Proposed Rule Change To Implement the Compliance Rule Regarding the National Market System Plan Governing the Consolidated Audit Trail
Document Number: 2017-02553
Type: Notice
Date: 2017-02-08
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2017/02/08/2017-02553.html
Self-Regulatory Organizations; MIAX PEARL, LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend MIAX PEARL Rules 100, 404, 519C and Adopt MIAX PEARL 1018
Document Number: 2017-02552
Type: Notice
Date: 2017-02-08
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2017/02/08/2017-02552.html
Self-Regulatory Organizations; MIAX PEARL, LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Exchange Rule 515, Execution of Orders and Quotes
Document Number: 2017-02551
Type: Notice
Date: 2017-02-08
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2017/02/08/2017-02551.html
Self-Regulatory Organizations; NASDAQ PHLX LLC; Notice of Filing of Proposed Rule Change To Adopt the Rule 900A Series
Document Number: 2017-02550
Type: Notice
Date: 2017-02-08
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2017/02/08/2017-02550.html
Self-Regulatory Organizations; Bats BYX Exchange, Inc.; Notice of Filing of a Proposed Rule Change To Adopt Rules 4.5 Through 4.16 To Implement the Compliance Rule Regarding the National Market System Plan Governing the Consolidated Audit Trail
Document Number: 2017-02549
Type: Notice
Date: 2017-02-08
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2017/02/08/2017-02549.html
Program for Allocation of Regulatory Responsibilities Pursuant to Rule 17d-2; Notice of Filing and Order Approving and Declaring Effective an Amendment to the Plan for the Allocation of Regulatory Responsibilities Among NYSE MKT LLC, Bats BZX Exchange, Inc., BOX Options Exchange LLC, C2 Options Exchange, Incorporated, the Chicago Board Options Exchange, Incorporated, the Bats EDGX Exchange, Inc., the International Securities Exchange LLC, ISE Gemini, LLC, ISE Mercury, LLC, Financial Industry Regulatory Authority, Inc., NYSE Arca, Inc., The NASDAQ Stock Market LLC, NASDAQ BX, Inc., the NASDAQ PHLX, Inc., Miami International Securities Exchange, LLC, and MIAX PEARL Concerning Options-Related Market Surveillance
Document Number: 2017-02548
Type: Notice
Date: 2017-02-08
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2017/02/08/2017-02548.html
Program for Allocation of Regulatory Responsibilities Pursuant to Rule 17d-2; Notice of Filing and Order Approving and Declaring Effective an Amendment to the Plan for the Allocation of Regulatory Responsibilities Among NYSE MKT LLC, Bats BZX Exchange, Inc., BOX Options Exchange LLC, C2 Options Exchange, Incorporated, the Chicago Board Options Exchange, Incorporated, Bats EDGX Exchange, Inc., the International Securities Exchange LLC, ISE Gemini, LLC, ISE Mercury, LLC, Financial Industry Regulatory Authority, Inc., NYSE Arca, Inc., The NASDAQ Stock Market LLC, NASDAQ BX, Inc., the NASDAQ PHLX, Inc., Miami International Securities Exchange, LLC, and MIAX PEARL, LLC Concerning Options-Related Sales Practice Matters
Document Number: 2017-02547
Type: Notice
Date: 2017-02-08
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2017/02/08/2017-02547.html
Program for Allocation of Regulatory Responsibilities Pursuant to Rule 17d-2; Notice of Filing and Order Approving and Declaring Effective an Amendment to the Plan for the Allocation of Regulatory Responsibilities Between Bats BZX Exchange, Inc., Bats BYX Exchange, Inc., BOX Options Exchange LLC, Chicago Board Options Exchange, Incorporated, C2 Options Exchange, Incorporated, Chicago Stock Exchange, Inc., Bats EDGA Exchange, Inc., Bats EDGX Exchange, Inc., Financial Industry Regulatory Authority, Inc., International Securities Exchange, LLC, Investors Exchange LLC, ISE Gemini, LLC, ISE Mercury, LLC, Miami International Securities Exchange, LLC, MIAX PEARL, LLC, The NASDAQ Stock Market LLC, NASDAQ BX, Inc., NASDAQ PHLX, Inc., National Stock Exchange, Inc., New York Stock Exchange LLC, NYSE MKT LLC, and NYSE Arca, Inc.
Document Number: 2017-02546
Type: Notice
Date: 2017-02-08
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2017/02/08/2017-02546.html
Self-Regulatory Organizations; Bats EDGX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Related to Functionality Offered by the Exchange's Options Platform To Adopt Qualified Contingent Cross Orders
Document Number: 2017-02545
Type: Notice
Date: 2017-02-08
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2017/02/08/2017-02545.html
Self-Regulatory Organizations: Investors Exchange LLC; Notice of Filing of Proposed Rule Change To Amend IEX Rule 16.135 To Adopt Generic Listing Standards for Managed Fund Shares
Document Number: 2017-02544
Type: Notice
Date: 2017-02-08
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2017/02/08/2017-02544.html
Self-Regulatory Organizations; MIAX PEARL, LLC ; Notice of Filing of a Proposed Rule Change by To Adopt Rules 1701-1712 To Implement the Compliance Rule Regarding the National Market System Plan Governing the Consolidated Audit Trail
Document Number: 2017-02543
Type: Notice
Date: 2017-02-08
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2017/02/08/2017-02543.html
Self-Regulatory Organizations; Miami International Securities Exchange, LLC; Notice of Filing of a Proposed Rule Change To Adopt Consolidated Audit Trail Compliance Rule (Rules 1701-1712) To Implement the Compliance Rule Regarding the National Market System Plan Governing the Consolidated Audit Trail
Document Number: 2017-02542
Type: Notice
Date: 2017-02-08
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2017/02/08/2017-02542.html
Self-Regulatory Organizations; BOX Options Exchange LLC; Order Granting Approval of a 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
Document Number: 2017-02541
Type: Notice
Date: 2017-02-08
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2017/02/08/2017-02541.html
Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing of Proposed Rule Change To Adopt Rules Regarding the CAT NMS Plan
Document Number: 2017-02540
Type: Notice
Date: 2017-02-08
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2017/02/08/2017-02540.html
Self-Regulatory Organizations; Investors Exchange LLC; Notice of Filing of Proposed Rule Change To Adopt the Rule Series 11.600 To Implement the Compliance Rule Regarding the National Market System Plan Governing the Consolidated Audit Trail
Document Number: 2017-02539
Type: Notice
Date: 2017-02-08
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2017/02/08/2017-02539.html
Self-Regulatory Organizations; National Stock Exchange, Inc.; Notice of Filing of Proposed Rule Change To Implement Compliance Rules Regarding the National Market System Plan Governing the Consolidated Audit Trail
Document Number: 2017-02538
Type: Notice
Date: 2017-02-08
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2017/02/08/2017-02538.html
Self-Regulatory Organizations; BOX Options Exchange LLC; Notice of Filing of a Proposed Rule Change To Adopt the Rule 16000 Series To Implement the Compliance Rule Regarding the National Market System Plan Governing the Consolidated Audit Trail
Document Number: 2017-02537
Type: Notice
Date: 2017-02-08
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2017/02/08/2017-02537.html
Self-Regulatory Organizations; CBOE Futures Exchange, LLC; Notice of Filing of a Proposed Rule Change Regarding Block Trades
Document Number: 2017-02536
Type: Notice
Date: 2017-02-08
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2017/02/08/2017-02536.html
Self-Regulatory Organizations; Bats BZX Exchange, Inc.; Notice of Filing of a Proposed Rule Change To Adopt Rules 4.5 Through 4.16 To Implement the Compliance Rule Regarding the National Market System Plan Governing the Consolidated Audit Trail
Document Number: 2017-02535
Type: Notice
Date: 2017-02-08
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2017/02/08/2017-02535.html
Adoption of Updated EDGAR Filer Manual
Document Number: 2017-02455
Type: Rule
Date: 2017-02-08
Agency: Securities and Exchange Commission, Agencies and Commissions
The Securities and Exchange Commission (the Commission) is adopting revisions to the Electronic Data Gathering, Analysis, and Retrieval System (EDGAR) Filer Manual and related rules to reflect updates to the EDGAR system. The updates are being made primarily to support an upgrade to the passphrase authentication process; and update the recommended Internet browser language for all EDGAR Web sites. The EDGAR system is scheduled to be upgraded to support the functionalities on January 30, 2017.
https://regulations.justia.com/regulations/fedreg/2017/02/08/2017-02455.html
This site is protected by reCAPTCHA and the Google Privacy Policy and Terms of Service apply.