Securities and Exchange Commission March 2, 2017 – Federal Register Recent Federal Regulation Documents

Results 1 - 10 of 10
Self-Regulatory Organizations; NASDAQ PHLX LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Rule 1014 of the Options Rules Relating to Market Maker Quotations
Document Number: 2017-04036
Type: Notice
Date: 2017-03-02
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2017/03/02/2017-04036.html
Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Chapter VII, Section 6 of the Options Rules Relating to Market Maker Quotations
Document Number: 2017-04035
Type: Notice
Date: 2017-03-02
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2017/03/02/2017-04035.html
Self-Regulatory Organizations; ISE Gemini, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Regarding Cancel and Replace Orders
Document Number: 2017-04034
Type: Notice
Date: 2017-03-02
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2017/03/02/2017-04034.html
Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Update Rule Cross-References and Make Non-Substantive Technical Changes to Certain FINRA Rules
Document Number: 2017-04033
Type: Notice
Date: 2017-03-02
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2017/03/02/2017-04033.html
Self-Regulatory Organizations; NASDAQ BX, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Chapter VII, Section 6 of the Options Rules Relating to Market Maker Quotations
Document Number: 2017-04032
Type: Notice
Date: 2017-03-02
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2017/03/02/2017-04032.html
Self-Regulatory Organizations; ISE Gemini, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Related to All-or-None Orders
Document Number: 2017-04031
Type: Notice
Date: 2017-03-02
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2017/03/02/2017-04031.html
Self-Regulatory Organizations; ISE Gemini, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Related to a Delay of Implementation for the Block Order Mechanism
Document Number: 2017-04030
Type: Notice
Date: 2017-03-02
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2017/03/02/2017-04030.html
Proposed Collection; Comment Request
Document Number: 2017-04023
Type: Notice
Date: 2017-03-02
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2017/03/02/2017-04023.html
Proposed Collection; Comment Request
Document Number: 2017-04022
Type: Notice
Date: 2017-03-02
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2017/03/02/2017-04022.html
Notice of Applications for Deregistration Under Section 8(f) of the Investment Company Act of 1940
Document Number: 2017-04014
Type: Notice
Date: 2017-03-02
Agency: Securities and Exchange Commission, Agencies and Commissions
Applicant, a closed-end investment company, seeks an order declaring that it has ceased to be an investment company. Applicant currently has fewer than 100 beneficial owners, is not presently making an offering of securities and does not propose to make any offering of securities. Applicant will continue to operate as a private investment fund in reliance on section 3(c)(1) of the Act. Filing Date: The application was filed on January 17, 2017. Applicant's Address: One Winthrop Square, Boston, Massachusetts 02110.
https://regulations.justia.com/regulations/fedreg/2017/03/02/2017-04014.html
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