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/2017/02/15?limit=200&registers=between&mode=atom 2025-03-14T04:25:35-07:00 Justia Inc https://www.justia.com/ Justia Regulations Tracker https://regulations.justia.com/images/justiafedregulations.gif Copyright 2011 Justia Inc https://regulations.justia.com/regulations/fedreg/2017/02/15/2017-03121.html Rule - Exemptions for Security-Based Swaps 2017-02-15T00:00:00-08:00 2017-02-15T00:00:00-08:00 2017-03121 Rule https://www.gpo.gov/fdsys/pkg/FR-2017-02-15/pdf/2017-03121.pdf https://regulations.justia.com/regulations/fedreg/2017/02/15/2017-02998.html Notice - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Order Granting Approval 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 2017-02-15T00:00:00-08:00 2017-02-15T00:00:00-08:00 2017-02998 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-02-15/pdf/2017-02998.pdf https://regulations.justia.com/regulations/fedreg/2017/02/15/2017-02997.html Notice - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the Fees Schedule 2017-02-15T00:00:00-08:00 2017-02-15T00:00:00-08:00 2017-02997 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-02-15/pdf/2017-02997.pdf https://regulations.justia.com/regulations/fedreg/2017/02/15/2017-02996.html Notice - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Designation of Longer Period for Commission Action on Proceedings To Determine Whether To Approve or Disapprove a Proposed Rule Change, as Modified by Amendment Nos. 1-4, To Amend the Co-Location Services Offered by the Exchange To Add Certain Access and Connectivity Fees 2017-02-15T00:00:00-08:00 2017-02-15T00:00:00-08:00 2017-02996 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-02-15/pdf/2017-02996.pdf https://regulations.justia.com/regulations/fedreg/2017/02/15/2017-02995.html Notice - Self-Regulatory Organizations; ICE Clear Europe Limited; Notice of Filing of Proposed Rule Change To Revise the ICE Clear Europe Clearing Rules Relating to the Application of Default Provisions in the Event of a Resolution Proceeding 2017-02-15T00:00:00-08:00 2017-02-15T00:00:00-08:00 2017-02995 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-02-15/pdf/2017-02995.pdf https://regulations.justia.com/regulations/fedreg/2017/02/15/2017-02994.html Notice - Self-Regulatory Organizations; NYSE MKT LLC; Notice of Filing of Proposed Rule Change Amending Rules 7.29E and 1.1E To Provide for a Delay Mechanism 2017-02-15T00:00:00-08:00 2017-02-15T00:00:00-08:00 2017-02994 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-02-15/pdf/2017-02994.pdf https://regulations.justia.com/regulations/fedreg/2017/02/15/2017-02993.html Notice - Self-Regulatory Organizations; NASDAQ BX, Inc.; The Nasdaq Stock Market LLC; NASDAQ PHLX LLC; Order Granting Approval of Proposed Rule Changes, as Modified by Amendment No. 1s, To Accept Orders Routed Inbound From the International Stock Exchange, LLC, ISE Gemini, LLC, and ISE Mercury, LLC, by Nasdaq Execution Services, LLC 2017-02-15T00:00:00-08:00 2017-02-15T00:00:00-08:00 2017-02993 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-02-15/pdf/2017-02993.pdf https://regulations.justia.com/regulations/fedreg/2017/02/15/2017-02992.html Notice - Self-Regulatory Organizations; ISE Gemini, LLC; ISE Mercury, LLC; Order Granting Approval of Proposed Rule Changes, as Modified by Amendment Nos. 1 and 2 Thereto, To Permit Nasdaq Execution Services, LLC To Become an Affiliated Member of Each Exchange To Perform Certain Routing and Other Functions 2017-02-15T00:00:00-08:00 2017-02-15T00:00:00-08:00 2017-02992 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-02-15/pdf/2017-02992.pdf https://regulations.justia.com/regulations/fedreg/2017/02/15/2017-02991.html Notice - Self-Regulatory Organizations; International Securities Exchange, LLC; Order Granting Approval 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 2017-02-15T00:00:00-08:00 2017-02-15T00:00:00-08:00 2017-02991 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-02-15/pdf/2017-02991.pdf https://regulations.justia.com/regulations/fedreg/2017/02/15/2017-02990.html Notice - Self-Regulatory Organizations; NYSE MKT LLC; Notice of Filing of Proposed Rule Change To Adopt New Equities Trading Rules To Transition Trading on the Exchange From a Floor Based Market With a Parity Allocation Model to Fully Automated Price-Time Priority Model on the Exchange's New Trading Technology Platform, Pillar 2017-02-15T00:00:00-08:00 2017-02-15T00:00:00-08:00 2017-02990 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-02-15/pdf/2017-02990.pdf https://regulations.justia.com/regulations/fedreg/2017/02/15/2017-02976.html Notice - Submission for OMB Review; Comment Request 2017-02-15T00:00:00-08:00 2017-02-15T00:00:00-08:00 2017-02976 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-02-15/pdf/2017-02976.pdf https://regulations.justia.com/regulations/fedreg/2017/02/15/2017-02975.html Notice - Submission for OMB Review; Comment Request 2017-02-15T00:00:00-08:00 2017-02-15T00:00:00-08:00 2017-02975 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-02-15/pdf/2017-02975.pdf https://regulations.justia.com/regulations/fedreg/2017/02/15/2017-02974.html Notice - Submission for OMB Review; Comment Request 2017-02-15T00:00:00-08:00 2017-02-15T00:00:00-08:00 2017-02974 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-02-15/pdf/2017-02974.pdf https://regulations.justia.com/regulations/fedreg/2017/02/15/2017-02973.html Notice - USAA Asset Management Company, et al.; Notice of Application 2017-02-15T00:00:00-08:00 2017-02-15T00:00:00-08:00 2017-02973 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-02-15/pdf/2017-02973.pdf