<![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/2017/03/16?registers=between Tue, 15 Jul 2025 20:05:46 -0700 Tue, 15 Jul 2025 20:05:46 -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/2017/03/16?registers=between Notice - Proposed Collection; Comment Request https://regulations.justia.com/regulations/fedreg/2017/03/16/2017-05275.html https://regulations.justia.com/regulations/fedreg/2017/03/16/2017-05275.html Thu, 16 Mar 2017 00:00:00 -0700 2017-05275 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-03-16/pdf/2017-05275.pdf Notice - Proposed Collection; Comment Request https://regulations.justia.com/regulations/fedreg/2017/03/16/2017-05274.html https://regulations.justia.com/regulations/fedreg/2017/03/16/2017-05274.html Thu, 16 Mar 2017 00:00:00 -0700 2017-05274 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-03-16/pdf/2017-05274.pdf Notice - Proposed Collection; Comment Request https://regulations.justia.com/regulations/fedreg/2017/03/16/2017-05273.html https://regulations.justia.com/regulations/fedreg/2017/03/16/2017-05273.html Thu, 16 Mar 2017 00:00:00 -0700 2017-05273 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-03-16/pdf/2017-05273.pdf Notice - Proposed Collection; Comment Request https://regulations.justia.com/regulations/fedreg/2017/03/16/2017-05272.html https://regulations.justia.com/regulations/fedreg/2017/03/16/2017-05272.html Thu, 16 Mar 2017 00:00:00 -0700 2017-05272 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-03-16/pdf/2017-05272.pdf Notice - Proposed Collection; Comment Request https://regulations.justia.com/regulations/fedreg/2017/03/16/2017-05271.html https://regulations.justia.com/regulations/fedreg/2017/03/16/2017-05271.html Thu, 16 Mar 2017 00:00:00 -0700 2017-05271 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-03-16/pdf/2017-05271.pdf Notice - Proposed Collection; Comment Request https://regulations.justia.com/regulations/fedreg/2017/03/16/2017-05270.html https://regulations.justia.com/regulations/fedreg/2017/03/16/2017-05270.html Thu, 16 Mar 2017 00:00:00 -0700 2017-05270 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-03-16/pdf/2017-05270.pdf Notice - Proposed Collection; Comment Request https://regulations.justia.com/regulations/fedreg/2017/03/16/2017-05269.html https://regulations.justia.com/regulations/fedreg/2017/03/16/2017-05269.html Thu, 16 Mar 2017 00:00:00 -0700 2017-05269 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-03-16/pdf/2017-05269.pdf Notice - Joint Industry Plan; Notice of Filing of the Thirteenth 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, NYSE National, Inc., New York Stock Exchange LLC, NYSE MKT LLC, and NYSE Arca, Inc. https://regulations.justia.com/regulations/fedreg/2017/03/16/2017-05226.html https://regulations.justia.com/regulations/fedreg/2017/03/16/2017-05226.html Thu, 16 Mar 2017 00:00:00 -0700 2017-05226 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-03-16/pdf/2017-05226.pdf Notice - Self-Regulatory Organizations: Investors Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Exchange Rule 11.340 To Modify the Date of Appendix B Web Site Data Publication Pursuant to the Regulation NMS Plan To Implement a Tick Size Pilot Program https://regulations.justia.com/regulations/fedreg/2017/03/16/2017-05225.html https://regulations.justia.com/regulations/fedreg/2017/03/16/2017-05225.html Thu, 16 Mar 2017 00:00:00 -0700 2017-05225 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-03-16/pdf/2017-05225.pdf Notice - Self-Regulatory Organizations; NASDAQ Stock Market, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Chapter X, Section 7(a) of the Exchange's Options Rules https://regulations.justia.com/regulations/fedreg/2017/03/16/2017-05224.html https://regulations.justia.com/regulations/fedreg/2017/03/16/2017-05224.html Thu, 16 Mar 2017 00:00:00 -0700 2017-05224 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-03-16/pdf/2017-05224.pdf Notice - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Rule 4703 and Rule 4753 https://regulations.justia.com/regulations/fedreg/2017/03/16/2017-05223.html https://regulations.justia.com/regulations/fedreg/2017/03/16/2017-05223.html Thu, 16 Mar 2017 00:00:00 -0700 2017-05223 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-03-16/pdf/2017-05223.pdf Notice - Self-Regulatory Organizations; Bats EDGA Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Rule 11.21 To Modify the Date of Appendix B Web Site Data Publication Pursuant to the Regulation NMS Plan To Implement a Tick Size Pilot Program https://regulations.justia.com/regulations/fedreg/2017/03/16/2017-05222.html https://regulations.justia.com/regulations/fedreg/2017/03/16/2017-05222.html Thu, 16 Mar 2017 00:00:00 -0700 2017-05222 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-03-16/pdf/2017-05222.pdf Notice - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing of Amendment No. 4 and Order Granting Accelerated Approval of a Proposed Rule Change, as Modified by Amendment Nos. 1, 2, and 4, 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 Unlisted Trading Privileges on the Pillar Platform https://regulations.justia.com/regulations/fedreg/2017/03/16/2017-05221.html https://regulations.justia.com/regulations/fedreg/2017/03/16/2017-05221.html Thu, 16 Mar 2017 00:00:00 -0700 2017-05221 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-03-16/pdf/2017-05221.pdf Notice - Self-Regulatory Organizations; ISE Gemini, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Adopt Fees for New Ports https://regulations.justia.com/regulations/fedreg/2017/03/16/2017-05220.html https://regulations.justia.com/regulations/fedreg/2017/03/16/2017-05220.html Thu, 16 Mar 2017 00:00:00 -0700 2017-05220 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-03-16/pdf/2017-05220.pdf Notice - Self-Regulatory Organizations; International Securities Exchange, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Harmonize Liability Caps and Related Reimbursement Requirements https://regulations.justia.com/regulations/fedreg/2017/03/16/2017-05219.html https://regulations.justia.com/regulations/fedreg/2017/03/16/2017-05219.html Thu, 16 Mar 2017 00:00:00 -0700 2017-05219 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-03-16/pdf/2017-05219.pdf Notice - Self-Regulatory Organizations; ISE Mercury, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Harmonize Liability Caps and Related Reimbursement Requirements https://regulations.justia.com/regulations/fedreg/2017/03/16/2017-05218.html https://regulations.justia.com/regulations/fedreg/2017/03/16/2017-05218.html Thu, 16 Mar 2017 00:00:00 -0700 2017-05218 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-03-16/pdf/2017-05218.pdf Notice - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the Continued Listing Requirements for Exchange-Traded Products https://regulations.justia.com/regulations/fedreg/2017/03/16/2017-05217.html https://regulations.justia.com/regulations/fedreg/2017/03/16/2017-05217.html Thu, 16 Mar 2017 00:00:00 -0700 2017-05217 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-03-16/pdf/2017-05217.pdf Notice - Self-Regulatory Organizations; ISE Gemini, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Harmonize Liability Caps and Related Reimbursement Requirements https://regulations.justia.com/regulations/fedreg/2017/03/16/2017-05216.html https://regulations.justia.com/regulations/fedreg/2017/03/16/2017-05216.html Thu, 16 Mar 2017 00:00:00 -0700 2017-05216 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-03-16/pdf/2017-05216.pdf Notice - Self-Regulatory Organizations; Bats EDGX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Exchange Rule 11.22 To Modify the Date of Appendix B Web Site Data Publication Pursuant to the Regulation NMS Plan To Implement a Tick Size Pilot Program https://regulations.justia.com/regulations/fedreg/2017/03/16/2017-05215.html https://regulations.justia.com/regulations/fedreg/2017/03/16/2017-05215.html Thu, 16 Mar 2017 00:00:00 -0700 2017-05215 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-03-16/pdf/2017-05215.pdf Notice - Self-Regulatory Organizations; Bats BZX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Exchange Rule 11.27 To Modify the Date of Appendix B Web Site Data Publication Pursuant to the Regulation NMS Plan To Implement a Tick Size Pilot Program https://regulations.justia.com/regulations/fedreg/2017/03/16/2017-05214.html https://regulations.justia.com/regulations/fedreg/2017/03/16/2017-05214.html Thu, 16 Mar 2017 00:00:00 -0700 2017-05214 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-03-16/pdf/2017-05214.pdf Notice - Self-Regulatory Organizations; Bats BZX Exchange, Inc.; Order Disapproving a Proposed Rule Change, as Modified by Amendments No. 1 and 2, to BZX Rule 14.11(e)(4), Commodity-Based Trust Shares, To List and Trade Shares Issued by the Winklevoss Bitcoin Trust https://regulations.justia.com/regulations/fedreg/2017/03/16/2017-05213.html https://regulations.justia.com/regulations/fedreg/2017/03/16/2017-05213.html Thu, 16 Mar 2017 00:00:00 -0700 2017-05213 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-03-16/pdf/2017-05213.pdf Notice - Self-Regulatory Organizations; Bats BZX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Related to Fees for Use on the Exchange's Equity Options Platform https://regulations.justia.com/regulations/fedreg/2017/03/16/2017-05212.html https://regulations.justia.com/regulations/fedreg/2017/03/16/2017-05212.html Thu, 16 Mar 2017 00:00:00 -0700 2017-05212 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-03-16/pdf/2017-05212.pdf Notice - Self-Regulatory Organizations; Bats EDGX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Related to Fees as They Apply to the Equity Options Platform https://regulations.justia.com/regulations/fedreg/2017/03/16/2017-05211.html https://regulations.justia.com/regulations/fedreg/2017/03/16/2017-05211.html Thu, 16 Mar 2017 00:00:00 -0700 2017-05211 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-03-16/pdf/2017-05211.pdf Notice - Self-Regulatory Organizations; Investors Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Rule 11.190(g) To Modify the Quote Instability Coefficients and Quote Instability Threshold Included in the Quote Instability Calculation Specified in Subparagraph (g)(1) for Purposes of Determining Whether a Crumbling Quote Exists https://regulations.justia.com/regulations/fedreg/2017/03/16/2017-05210.html https://regulations.justia.com/regulations/fedreg/2017/03/16/2017-05210.html Thu, 16 Mar 2017 00:00:00 -0700 2017-05210 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-03-16/pdf/2017-05210.pdf Notice - Self-Regulatory Organizations; ISE Gemini, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to the Decommission of the Tick-Worse Functionality https://regulations.justia.com/regulations/fedreg/2017/03/16/2017-05209.html https://regulations.justia.com/regulations/fedreg/2017/03/16/2017-05209.html Thu, 16 Mar 2017 00:00:00 -0700 2017-05209 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-03-16/pdf/2017-05209.pdf Notice - UBS ETMF Trust, et al.; Notice of Application https://regulations.justia.com/regulations/fedreg/2017/03/16/2017-05208.html https://regulations.justia.com/regulations/fedreg/2017/03/16/2017-05208.html Thu, 16 Mar 2017 00:00:00 -0700 2017-05208 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-03-16/pdf/2017-05208.pdf Notice - Parker Global Strategies, LLC; Notice of Application https://regulations.justia.com/regulations/fedreg/2017/03/16/2017-05207.html https://regulations.justia.com/regulations/fedreg/2017/03/16/2017-05207.html Thu, 16 Mar 2017 00:00:00 -0700 2017-05207 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-03-16/pdf/2017-05207.pdf