<![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/2017/03/09?registers=between Tue, 12 Aug 2025 04:42:02 -0700 Tue, 12 Aug 2025 04:42:02 -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/2017/03/09?registers=between Notice - Self-Regulatory Organizations; NASDAQ BX, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Chapter X, Section 7(a) of the Exchange's Rules Relating to Minor Rule Violation Penalties for Position Limit Violations https://regulations.justia.com/regulations/fedreg/2017/03/09/2017-04607.html https://regulations.justia.com/regulations/fedreg/2017/03/09/2017-04607.html Thu, 09 Mar 2017 00:00:00 -0800 2017-04607 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-03-09/pdf/2017-04607.pdf Notice - Self-Regulatory Organizations; NYSE MKT LLC; NYSE Arca Inc.; Order Approving Proposed Rule Changes To Extend the Time Within Which a Member, Member Organization, an ATP Holder, OTP Holder, or OTP Firm Must File a Uniform Termination Notice for Securities Industry Registration (“Form U5”) https://regulations.justia.com/regulations/fedreg/2017/03/09/2017-04606.html https://regulations.justia.com/regulations/fedreg/2017/03/09/2017-04606.html Thu, 09 Mar 2017 00:00:00 -0800 2017-04606 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-03-09/pdf/2017-04606.pdf Notice - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Related to Billing Ports and Other Services https://regulations.justia.com/regulations/fedreg/2017/03/09/2017-04605.html https://regulations.justia.com/regulations/fedreg/2017/03/09/2017-04605.html Thu, 09 Mar 2017 00:00:00 -0800 2017-04605 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-03-09/pdf/2017-04605.pdf Notice - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Related to the Automated Improvement Mechanism https://regulations.justia.com/regulations/fedreg/2017/03/09/2017-04604.html https://regulations.justia.com/regulations/fedreg/2017/03/09/2017-04604.html Thu, 09 Mar 2017 00:00:00 -0800 2017-04604 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-03-09/pdf/2017-04604.pdf Notice - Self-Regulatory Organizations; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change by Miami International Securities Exchange LLC To Amend MIAX Options Rule 519C, Mass Cancellation of Trading Interest https://regulations.justia.com/regulations/fedreg/2017/03/09/2017-04603.html https://regulations.justia.com/regulations/fedreg/2017/03/09/2017-04603.html Thu, 09 Mar 2017 00:00:00 -0800 2017-04603 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-03-09/pdf/2017-04603.pdf Notice - Self-Regulatory Organizations; ICE Clear Credit LLC; Notice of Proposed Rule Change, Security-Based Swap Submission, or Advance Notice Relating to ICC's End-of-Day Price Discovery Policies and Procedures https://regulations.justia.com/regulations/fedreg/2017/03/09/2017-04602.html https://regulations.justia.com/regulations/fedreg/2017/03/09/2017-04602.html Thu, 09 Mar 2017 00:00:00 -0800 2017-04602 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-03-09/pdf/2017-04602.pdf Notice - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing of Amendment No. 1 and Order Instituting Proceedings To Determine Whether To Approve or Disapprove a Proposed Rule Change, as Modified by Amendment No. 1, To Adopt a New Extended Life Priority Order Attribute Under Rule 4703, and To Make Related Changes to Rules 4702, 4752, 4753, 4754, and 4757 https://regulations.justia.com/regulations/fedreg/2017/03/09/2017-04601.html https://regulations.justia.com/regulations/fedreg/2017/03/09/2017-04601.html Thu, 09 Mar 2017 00:00:00 -0800 2017-04601 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-03-09/pdf/2017-04601.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 https://regulations.justia.com/regulations/fedreg/2017/03/09/2017-04600.html https://regulations.justia.com/regulations/fedreg/2017/03/09/2017-04600.html Thu, 09 Mar 2017 00:00:00 -0800 2017-04600 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-03-09/pdf/2017-04600.pdf Notice - Self-Regulatory Organizations; The Options Clearing Corporation; Order Approving Proposed Rule Change Concerning The Options Clearing Corporation's Margin Coverage During Times of Increased Volatility https://regulations.justia.com/regulations/fedreg/2017/03/09/2017-04599.html https://regulations.justia.com/regulations/fedreg/2017/03/09/2017-04599.html Thu, 09 Mar 2017 00:00:00 -0800 2017-04599 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-03-09/pdf/2017-04599.pdf Notice - Medley Capital Corporation, et al.; Notice of Application https://regulations.justia.com/regulations/fedreg/2017/03/09/2017-04591.html https://regulations.justia.com/regulations/fedreg/2017/03/09/2017-04591.html Thu, 09 Mar 2017 00:00:00 -0800 2017-04591 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-03-09/pdf/2017-04591.pdf