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?limit=200&registers=between&min-day=1&max-day=31&mode=atom 2020-06-01T08:35:06-07:00 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/2017/03/31/2017-06334.html Notice - Self-Regulatory Organizations; International Securities Exchange, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Delay the Implementation of Functionality Associated With Stock-Option Orders 2017-03-31T00:00:00-07:00 2017-03-31T00:00:00-07:00 2017-06334 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-03-31/pdf/2017-06334.pdf https://regulations.justia.com/regulations/fedreg/2017/03/31/2017-06333.html Notice - Self-Regulatory Organizations; The Nasdaq Stock Market LLC; Notice of Filing of Proposed Rule Change To List and Trade Exchange-Traded Managed Funds 2017-03-31T00:00:00-07:00 2017-03-31T00:00:00-07:00 2017-06333 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-03-31/pdf/2017-06333.pdf https://regulations.justia.com/regulations/fedreg/2017/03/31/2017-06332.html Notice - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing of Proposed Rule Change To Amend Section 102.01B of the NYSE Listed Company Manual To Modify the Requirements That Apply to Companies That List Without a Prior Exchange Act Registration and That Are Not Listing in Connection With an Underwritten Initial Public Offering 2017-03-31T00:00:00-07:00 2017-03-31T00:00:00-07:00 2017-06332 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-03-31/pdf/2017-06332.pdf https://regulations.justia.com/regulations/fedreg/2017/03/31/2017-06290.html Rule - Adoption of Updated EDGAR Filer Manual 2017-03-31T00:00:00-07:00 2017-03-31T00:00:00-07:00 2017-06290 Rule https://www.gpo.gov/fdsys/pkg/FR-2017-03-31/pdf/2017-06290.pdf https://regulations.justia.com/regulations/fedreg/2017/03/30/2017-06258.html Notice - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing of Partial Amendment No. 4 and Order Granting Accelerated Approval of a Proposed Rule Change, as Modified by Amendment Nos. 1 Through 4, To Amend the Co-Location Services Offered by the Exchange To Add Certain Access and Connectivity Fees 2017-03-30T00:00:00-07:00 2017-03-30T00:00:00-07:00 2017-06258 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-03-30/pdf/2017-06258.pdf https://regulations.justia.com/regulations/fedreg/2017/03/30/2017-06257.html Notice - Self-Regulatory Organizations; NYSE Arca, Inc; Notice of Filing of Partial Amendment No. 4 and Order Granting Accelerated Approval of a Proposed Rule Change, as Modified by Amendment Nos. 1 Through 4, To Amend the Co-Location Services Offered by the Exchange To Add Certain Access and Connectivity Fees 2017-03-30T00:00:00-07:00 2017-03-30T00:00:00-07:00 2017-06257 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-03-30/pdf/2017-06257.pdf https://regulations.justia.com/regulations/fedreg/2017/03/30/2017-06256.html Notice - Self-Regulatory Organizations; NYSE MKT LLC; Notice of Filing of Partial Amendment No. 4 and Order Granting Accelerated Approval of a Proposed Rule Change, as Modified by Amendment Nos. 1 Through 4, To Amend the Co-Location Services Offered by the Exchange To Add Certain Access and Connectivity Fees 2017-03-30T00:00:00-07:00 2017-03-30T00:00:00-07:00 2017-06256 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-03-30/pdf/2017-06256.pdf https://regulations.justia.com/regulations/fedreg/2017/03/30/2017-06247.html Notice - Transamerica Life Insurance Company, et al. 2017-03-30T00:00:00-07:00 2017-03-30T00:00:00-07:00 2017-06247 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-03-30/pdf/2017-06247.pdf https://regulations.justia.com/regulations/fedreg/2017/03/30/2017-06246.html Notice - Transamerica Advisors Life Insurance Company, et al. 2017-03-30T00:00:00-07:00 2017-03-30T00:00:00-07:00 2017-06246 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-03-30/pdf/2017-06246.pdf https://regulations.justia.com/regulations/fedreg/2017/03/30/2017-06245.html Notice - Transamerica Life Insurance Company, et al. 2017-03-30T00:00:00-07:00 2017-03-30T00:00:00-07:00 2017-06245 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-03-30/pdf/2017-06245.pdf https://regulations.justia.com/regulations/fedreg/2017/03/30/2017-06244.html Notice - Transamerica Financial Life Insurance Company, et al. 2017-03-30T00:00:00-07:00 2017-03-30T00:00:00-07:00 2017-06244 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-03-30/pdf/2017-06244.pdf https://regulations.justia.com/regulations/fedreg/2017/03/30/2017-06243.html Notice - Self-Regulatory Organizations; NASDAQ PHLX, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the Exchange's Pricing Schedule at Section VII(A) 2017-03-30T00:00:00-07:00 2017-03-30T00:00:00-07:00 2017-06243 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-03-30/pdf/2017-06243.pdf https://regulations.justia.com/regulations/fedreg/2017/03/30/2017-06242.html Notice - Self-Regulatory Organizations; ICE Clear Europe Limited; Notice of Filing Amendment Nos. 1 and 2 and Order Granting Accelerated Approval of Proposed Rule Change, as Modified by Amendment Nos. 1 and 2, To Revise the ICE Clear Europe Clearing Rules Relating to the Application of Default Provisions in the Event of a Resolution Proceeding 2017-03-30T00:00:00-07:00 2017-03-30T00:00:00-07:00 2017-06242 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-03-30/pdf/2017-06242.pdf https://regulations.justia.com/regulations/fedreg/2017/03/30/2017-06241.html Notice - Self-Regulatory Organizations; Fixed Income Clearing Corporation; Notice of Filing of Proposed Rule Change To Establish the Centrally Cleared Institutional Triparty Service and Make Other Changes 2017-03-30T00:00:00-07:00 2017-03-30T00:00:00-07:00 2017-06241 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-03-30/pdf/2017-06241.pdf https://regulations.justia.com/regulations/fedreg/2017/03/29/2017-06037.html Rule - Securities Transaction Settlement Cycle 2017-03-29T00:00:00-07:00 2017-03-29T00:00:00-07:00 2017-06037 Rule https://www.gpo.gov/fdsys/pkg/FR-2017-03-29/pdf/2017-06037.pdf https://regulations.justia.com/regulations/fedreg/2017/03/28/2017-06152.html Notice - Sunshine Act Meeting 2017-03-28T00:00:00-07:00 2017-03-28T00:00:00-07:00 2017-06152 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-03-28/pdf/2017-06152.pdf https://regulations.justia.com/regulations/fedreg/2017/03/28/2017-06085.html Notice - Spinnaker ETF Trust, et al. 2017-03-28T00:00:00-07:00 2017-03-28T00:00:00-07:00 2017-06085 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-03-28/pdf/2017-06085.pdf https://regulations.justia.com/regulations/fedreg/2017/03/28/2017-06084.html Notice - AB Bond Fund, Inc., et al. 2017-03-28T00:00:00-07:00 2017-03-28T00:00:00-07:00 2017-06084 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-03-28/pdf/2017-06084.pdf https://regulations.justia.com/regulations/fedreg/2017/03/28/2017-06083.html Notice - Consolidated Tape Association; Notice of Filing and Immediate Effectiveness of the Twenty-Second Charges Amendment to the Second Restatement of the CTA Plan and the Thirteenth Charges Amendment to the Restated CQ Plan 2017-03-28T00:00:00-07:00 2017-03-28T00:00:00-07:00 2017-06083 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-03-28/pdf/2017-06083.pdf https://regulations.justia.com/regulations/fedreg/2017/03/28/2017-06055.html Notice - Self-Regulatory Organizations; C2 Options Exchange, Incorporated; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Related to Rule 6.15 2017-03-28T00:00:00-07:00 2017-03-28T00:00:00-07:00 2017-06055 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-03-28/pdf/2017-06055.pdf https://regulations.justia.com/regulations/fedreg/2017/03/28/2017-06054.html Notice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Designation of a Longer Period for Commission Action on a Proposed Rule Change Relating to the Listing and Trading of Shares of the Bitcoin Investment Trust Under NYSE Arca Equities Rule 8.201 2017-03-28T00:00:00-07:00 2017-03-28T00:00:00-07:00 2017-06054 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-03-28/pdf/2017-06054.pdf https://regulations.justia.com/regulations/fedreg/2017/03/28/2017-06053.html Notice - Self-Regulatory Organizations; NYSE Arca, Inc.; Order Approving a Proposed Rule Change, as Modified by Amendment Nos. 1, 3, and 4 Thereto, To List and Trade Shares of the ProShares UltraPro 3x Crude Oil ETF and ProShares UltraPro 3x Short Crude Oil ETF Under NYSE Arca Equities Rule 8.200 2017-03-28T00:00:00-07:00 2017-03-28T00:00:00-07:00 2017-06053 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-03-28/pdf/2017-06053.pdf https://regulations.justia.com/regulations/fedreg/2017/03/27/2017-05922.html Notice - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the MDX Fees Schedule 2017-03-27T00:00:00-07:00 2017-03-27T00:00:00-07:00 2017-05922 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-03-27/pdf/2017-05922.pdf https://regulations.justia.com/regulations/fedreg/2017/03/27/2017-05921.html Notice - Self-Regulatory Organizations; Miami International Securities Exchange, LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Rule 521, Nullification and Adjustment of Options Transactions Including Obvious Errors 2017-03-27T00:00:00-07:00 2017-03-27T00:00:00-07:00 2017-05921 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-03-27/pdf/2017-05921.pdf https://regulations.justia.com/regulations/fedreg/2017/03/27/2017-05920.html Notice - Self-Regulatory Organizations; NYSE MKT LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Its Organizational Documents, Company Guide, Price List, Fee Schedules, Independence Policy and Rules To Change the Name of the Exchange to NYSE American LLC 2017-03-27T00:00:00-07:00 2017-03-27T00:00:00-07:00 2017-05920 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-03-27/pdf/2017-05920.pdf https://regulations.justia.com/regulations/fedreg/2017/03/27/2017-05919.html Notice - Self-Regulatory Organizations; NASDAQ BX, Inc.; Notice of Filing of Proposed Rule Change, as Modified by Amendment No. 1, To Shorten the Settlement Cycle From T+3 to T+2 2017-03-27T00:00:00-07:00 2017-03-27T00:00:00-07:00 2017-05919 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-03-27/pdf/2017-05919.pdf https://regulations.justia.com/regulations/fedreg/2017/03/27/2017-05918.html Notice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the NYSE Arca Equities Schedule of Fees and Charges for Exchange Services 2017-03-27T00:00:00-07:00 2017-03-27T00:00:00-07:00 2017-05918 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-03-27/pdf/2017-05918.pdf https://regulations.justia.com/regulations/fedreg/2017/03/24/2017-05880.html Notice - Submission for OMB Review; Comment Request 2017-03-24T00:00:00-07:00 2017-03-24T00:00:00-07:00 2017-05880 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-03-24/pdf/2017-05880.pdf https://regulations.justia.com/regulations/fedreg/2017/03/24/2017-05854.html Notice - Self-Regulatory Organizations; C2 Options Exchange, Incorporated; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Related to Complex Orders 2017-03-24T00:00:00-07:00 2017-03-24T00:00:00-07:00 2017-05854 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-03-24/pdf/2017-05854.pdf https://regulations.justia.com/regulations/fedreg/2017/03/24/2017-05853.html Notice - Self-Regulatory Organizations; The Depository Trust Company; Notice of Filing of Proposed Rule Change To Establish a Sub-Account for Use With the DTCC Euroclear Global Collateral Ltd Collateral Management Service and Provide for the Authorization of a Representative To Receive Information About the Sub-Account 2017-03-24T00:00:00-07:00 2017-03-24T00:00:00-07:00 2017-05853 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-03-24/pdf/2017-05853.pdf https://regulations.justia.com/regulations/fedreg/2017/03/24/2017-05852.html Notice - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Filing of a Proposed Rule Change Related to Complex Orders 2017-03-24T00:00:00-07:00 2017-03-24T00:00:00-07:00 2017-05852 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-03-24/pdf/2017-05852.pdf https://regulations.justia.com/regulations/fedreg/2017/03/24/2017-05850.html Notice - Advent/Claymore Enhanced Growth & Income Fund 2017-03-24T00:00:00-07:00 2017-03-24T00:00:00-07:00 2017-05850 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-03-24/pdf/2017-05850.pdf https://regulations.justia.com/regulations/fedreg/2017/03/24/2017-05849.html Notice - Investment Managers Series Trust II and Vivaldi Asset Management, LLC 2017-03-24T00:00:00-07:00 2017-03-24T00:00:00-07:00 2017-05849 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-03-24/pdf/2017-05849.pdf https://regulations.justia.com/regulations/fedreg/2017/03/23/2017-05744.html Notice - Self-Regulatory Organizations; International Securities Exchange, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to “Tick-Worse” Functionality 2017-03-23T00:00:00-07:00 2017-03-23T00:00:00-07:00 2017-05744 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-03-23/pdf/2017-05744.pdf https://regulations.justia.com/regulations/fedreg/2017/03/23/2017-05743.html Notice - Self-Regulatory Organizations; NYSE MKT LLC; Notice of Filing of Proposed Rule Change Amending Rule 968NY To Make Permanent a Program That Allows Transactions To Take Place at a Price That Is Below $1 per Option Contract 2017-03-23T00:00:00-07:00 2017-03-23T00:00:00-07:00 2017-05743 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-03-23/pdf/2017-05743.pdf https://regulations.justia.com/regulations/fedreg/2017/03/23/2017-05742.html Notice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing of Proposed Rule Change Amending Rule 6.80 To Make Permanent a Program That Allows Transactions To Take Place at a Price That Is Below $1 per Option Contract 2017-03-23T00:00:00-07:00 2017-03-23T00:00:00-07:00 2017-05742 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-03-23/pdf/2017-05742.pdf https://regulations.justia.com/regulations/fedreg/2017/03/23/2017-05741.html Notice - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Order Instituting Proceedings To Determine Whether To Approve or Disapprove a Proposed Rule Change Related to Rules Regarding the Responsibility for Ensuring Compliance With Priority and Allocation Requirements and Trade-Through Prohibitions in Open Outcry Trading 2017-03-23T00:00:00-07:00 2017-03-23T00:00:00-07:00 2017-05741 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-03-23/pdf/2017-05741.pdf https://regulations.justia.com/regulations/fedreg/2017/03/23/2017-05740.html Notice - Self-Regulatory Organizations; ICE Clear Europe Limited; Notice of Filing of a Proposed Rule Change, Security-Based Swap Submission or Advance Notice Relating to the CDS End-of-Day Price Discovery Policy 2017-03-23T00:00:00-07:00 2017-03-23T00:00:00-07:00 2017-05740 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-03-23/pdf/2017-05740.pdf https://regulations.justia.com/regulations/fedreg/2017/03/23/2017-05739.html Notice - Self-Regulatory Organizations; NYSE MKT LLC; Notice of Designation of Longer Period for Commission Action on Proposed Rule Change Amending Rules 7.29E and 1.1E To Provide for a Delay Mechanism 2017-03-23T00:00:00-07:00 2017-03-23T00:00:00-07:00 2017-05739 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-03-23/pdf/2017-05739.pdf https://regulations.justia.com/regulations/fedreg/2017/03/23/2017-05738.html Notice - Self-Regulatory Organizations; International Securities Exchange, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the Schedule of Fees To Modify the Member Order Routing Program 2017-03-23T00:00:00-07:00 2017-03-23T00:00:00-07:00 2017-05738 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-03-23/pdf/2017-05738.pdf https://regulations.justia.com/regulations/fedreg/2017/03/23/2017-05737.html Notice - Self-Regulatory Organizations; MIAX PEARL, LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend MIAX PEARL Rules 517A, Aggregate Risk Manager for EEMs (“ARM-E”), and 517B, Aggregate Risk Manager for Market Makers (“ARM-M”) 2017-03-23T00:00:00-07:00 2017-03-23T00:00:00-07:00 2017-05737 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-03-23/pdf/2017-05737.pdf https://regulations.justia.com/regulations/fedreg/2017/03/22/2017-05712.html Notice - Proposed Collection; Comment Request 2017-03-22T00:00:00-07:00 2017-03-22T00:00:00-07:00 2017-05712 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-03-22/pdf/2017-05712.pdf https://regulations.justia.com/regulations/fedreg/2017/03/22/2017-05609.html Notice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Designation of a Longer Period for Commission Action on a Proposed Rule Change Relating to the Listing and Trading of Shares of the Direxion Daily Crude Oil Bull 3x Shares and Direxion Daily Crude Oil Bear 3x Shares Under NYSE Arca Equities Rule 8.200 2017-03-22T00:00:00-07:00 2017-03-22T00:00:00-07:00 2017-05609 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-03-22/pdf/2017-05609.pdf https://regulations.justia.com/regulations/fedreg/2017/03/22/2017-05608.html Notice - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Related to Complex Orders 2017-03-22T00:00:00-07:00 2017-03-22T00:00:00-07:00 2017-05608 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-03-22/pdf/2017-05608.pdf https://regulations.justia.com/regulations/fedreg/2017/03/22/2017-05607.html Notice - Self-Regulatory Organizations; NYSE MKT LLC; Notice of Filing and Immediate Effectiveness of Proposed Change Modifying the NYSE Amex Options Fee Schedule 2017-03-22T00:00:00-07:00 2017-03-22T00:00:00-07:00 2017-05607 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-03-22/pdf/2017-05607.pdf https://regulations.justia.com/regulations/fedreg/2017/03/22/2017-05606.html Notice - Self-Regulatory Organizations; National Securities Clearing Corporation; Notice of Filing of a Proposed Rule Change To Describe the Illiquid Charge That May Be Imposed on Members 2017-03-22T00:00:00-07:00 2017-03-22T00:00:00-07:00 2017-05606 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-03-22/pdf/2017-05606.pdf https://regulations.justia.com/regulations/fedreg/2017/03/22/2017-05605.html Notice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the NYSE Arca Equities Schedule of Fees and Charges for Exchange Services 2017-03-22T00:00:00-07:00 2017-03-22T00:00:00-07:00 2017-05605 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-03-22/pdf/2017-05605.pdf https://regulations.justia.com/regulations/fedreg/2017/03/22/2017-05604.html Notice - Self-Regulatory Organizations; Investors Exchange LLC; Notice of Designation of a Longer Period for Commission Action on Proposed Rule Change To Amend IEX Rule 16.135 To Adopt Generic Listing Standards for Managed Fund Shares 2017-03-22T00:00:00-07:00 2017-03-22T00:00:00-07:00 2017-05604 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-03-22/pdf/2017-05604.pdf https://regulations.justia.com/regulations/fedreg/2017/03/21/2017-05610.html Notice - Sunshine Act Meeting 2017-03-21T00:00:00-07:00 2017-03-21T00:00:00-07:00 2017-05610 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-03-21/pdf/2017-05610.pdf https://regulations.justia.com/regulations/fedreg/2017/03/21/2017-05554.html Notice - Self-Regulatory Organizations; ISE Mercury, LLC; Notice of Filing of Proposed Minor Rule Violation Plan 2017-03-21T00:00:00-07:00 2017-03-21T00:00:00-07:00 2017-05554 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-03-21/pdf/2017-05554.pdf https://regulations.justia.com/regulations/fedreg/2017/03/21/2017-05539.html Notice - Submission for OMB Review; Comment Request 2017-03-21T00:00:00-07:00 2017-03-21T00:00:00-07:00 2017-05539 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-03-21/pdf/2017-05539.pdf https://regulations.justia.com/regulations/fedreg/2017/03/21/2017-05507.html Notice - Allianz Funds Multi-Strategy Trust and Allianz Global Investors U.S. LLC 2017-03-21T00:00:00-07:00 2017-03-21T00:00:00-07:00 2017-05507 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-03-21/pdf/2017-05507.pdf https://regulations.justia.com/regulations/fedreg/2017/03/21/2017-05506.html Notice - Program for Allocation of Regulatory Responsibilities Pursuant to Rule 17d-2; Notice of Filing of Proposed Amended Plan for the Allocation of Regulatory Responsibilities Between the Financial Industry Regulatory Authority, Inc. and BOX Options Exchange LLC 2017-03-21T00:00:00-07:00 2017-03-21T00:00:00-07:00 2017-05506 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-03-21/pdf/2017-05506.pdf https://regulations.justia.com/regulations/fedreg/2017/03/21/2017-05505.html Notice - Self-Regulatory Organizations; Bats BYX Exchange Inc.; Bats BZX Exchange, Inc.; Bats EDGA Exchange, Inc.; Bats EDGX Exchange, Inc.; BOX Options Exchange LLC; C2 Options Exchange, Incorporated; Chicago Board Options Exchange, Incorporated; Chicago Stock Exchange, 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.; New York Stock Exchange LLC; NYSE Arca, Inc.; NYSE MKT LLC; NYSE National, Inc.; Order Approving Proposed Rule Changes To Adopt Consolidated Audit Trail Compliance Rules 2017-03-21T00:00:00-07:00 2017-03-21T00:00:00-07:00 2017-05505 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-03-21/pdf/2017-05505.pdf https://regulations.justia.com/regulations/fedreg/2017/03/21/2017-05504.html Notice - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Order Approving Proposed Rule Change To Adopt the FINRA Rule 6800 Series (Consolidated Audit Trail Compliance Rule) 2017-03-21T00:00:00-07:00 2017-03-21T00:00:00-07:00 2017-05504 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-03-21/pdf/2017-05504.pdf https://regulations.justia.com/regulations/fedreg/2017/03/21/2017-05503.html Notice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing of Amendment No. 3 and Order Granting Accelerated Approval of a Proposed Rule Change, as Modified by Amendment No. 3, To Amend NYSE Arca Equities Rule 8.700 and To List and Trade Shares of the Managed Emerging Markets Trust Under Proposed Amended NYSE Arca Equities Rule 8.700 2017-03-21T00:00:00-07:00 2017-03-21T00:00:00-07:00 2017-05503 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-03-21/pdf/2017-05503.pdf https://regulations.justia.com/regulations/fedreg/2017/03/21/2017-05502.html Notice - Self-Regulatory Organizations; Fixed Income Clearing Corporation; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Describe the Intraday Mark-to-Market Charge 2017-03-21T00:00:00-07:00 2017-03-21T00:00:00-07:00 2017-05502 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-03-21/pdf/2017-05502.pdf https://regulations.justia.com/regulations/fedreg/2017/03/21/2017-05501.html Notice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the NYSE Arca Options Fee Schedule 2017-03-21T00:00:00-07:00 2017-03-21T00:00:00-07:00 2017-05501 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-03-21/pdf/2017-05501.pdf https://regulations.justia.com/regulations/fedreg/2017/03/21/2017-05500.html Notice - Self-Regulatory Organizations; MIAX PEARL, LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend MIAX PEARL Rules 100, 404, 515, 529, 601 and the Title Pages of Chapter VIII and Chapter XI 2017-03-21T00:00:00-07:00 2017-03-21T00:00:00-07:00 2017-05500 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-03-21/pdf/2017-05500.pdf https://regulations.justia.com/regulations/fedreg/2017/03/21/2017-05499.html Notice - Self-Regulatory Organizations; International Securities Exchange, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the Exchange's Schedule of Fees 2017-03-21T00:00:00-07:00 2017-03-21T00:00:00-07:00 2017-05499 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-03-21/pdf/2017-05499.pdf https://regulations.justia.com/regulations/fedreg/2017/03/21/2017-05498.html Notice - Self-Regulatory Organizations; ISE Gemini, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Rename the Exchange 2017-03-21T00:00:00-07:00 2017-03-21T00:00:00-07:00 2017-05498 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-03-21/pdf/2017-05498.pdf https://regulations.justia.com/regulations/fedreg/2017/03/21/2017-05497.html Notice - Self-Regulatory Organizations; BOX Options Exchange LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend BOX Rule 7170 (Nullification and Adjustment of Options Transactions) To Add IM-7170-4 2017-03-21T00:00:00-07:00 2017-03-21T00:00:00-07:00 2017-05497 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-03-21/pdf/2017-05497.pdf https://regulations.justia.com/regulations/fedreg/2017/03/21/2017-05496.html Notice - Self-Regulatory Organizations; BOX Options Exchange LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the Fee Schedule on the BOX Market LLC (“BOX”) Options Facility 2017-03-21T00:00:00-07:00 2017-03-21T00:00:00-07:00 2017-05496 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-03-21/pdf/2017-05496.pdf https://regulations.justia.com/regulations/fedreg/2017/03/20/2017-05508.html Notice - Sunshine Act Meeting 2017-03-20T00:00:00-07:00 2017-03-20T00:00:00-07:00 2017-05508 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-03-20/pdf/2017-05508.pdf https://regulations.justia.com/regulations/fedreg/2017/03/20/2017-05409.html Notice - Self-Regulatory Organizations; NASDAQ PHLX LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Pricing for NDX and MNX 2017-03-20T00:00:00-07:00 2017-03-20T00:00:00-07:00 2017-05409 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-03-20/pdf/2017-05409.pdf https://regulations.justia.com/regulations/fedreg/2017/03/20/2017-05408.html Notice - Self-Regulatory Organizations; NASDAQ PHLX LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the Address of the Exchange and Its Shareholder 2017-03-20T00:00:00-07:00 2017-03-20T00:00:00-07:00 2017-05408 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-03-20/pdf/2017-05408.pdf https://regulations.justia.com/regulations/fedreg/2017/03/20/2017-05407.html Notice - Self-Regulatory Organizations; Bats BZX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Related to Fees 2017-03-20T00:00:00-07:00 2017-03-20T00:00:00-07:00 2017-05407 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-03-20/pdf/2017-05407.pdf https://regulations.justia.com/regulations/fedreg/2017/03/20/2017-05406.html Notice - Self-Regulatory Organizations; NASDAQ PHLX LLC; Notice of Designation of Longer Period for Commission Action on Proposed Rule Change To Permit the Listing and Trading of P.M.-Settled NASDAQ-100 Index® Options on a Pilot Basis 2017-03-20T00:00:00-07:00 2017-03-20T00:00:00-07:00 2017-05406 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-03-20/pdf/2017-05406.pdf https://regulations.justia.com/regulations/fedreg/2017/03/20/2017-05405.html Notice - Self-Regulatory Organizations; ISE Gemini, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change, as Modified by Amendment No. 1, To Amend Supplementary Material .03 to Rule 713 2017-03-20T00:00:00-07:00 2017-03-20T00:00:00-07:00 2017-05405 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-03-20/pdf/2017-05405.pdf https://regulations.justia.com/regulations/fedreg/2017/03/20/2017-05404.html Notice - Self-Regulatory Organizations; The Nasdaq Stock Market LLC; Notice of Filing of Proposed Rule Change To List and Trade Exchange-Traded Managed Funds 2017-03-20T00:00:00-07:00 2017-03-20T00:00:00-07:00 2017-05404 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-03-20/pdf/2017-05404.pdf https://regulations.justia.com/regulations/fedreg/2017/03/20/2017-05402.html Notice - Self-Regulatory Organizations; Fixed Income Clearing Corporation; Notice of Designation of Longer Period for Commission Action on Proposed Rule Change To (1) Implement the Margin Proxy, (2) Modify the Calculation of the Coverage Charge in Circumstances Where the Margin Proxy Applies, and (3) Make Certain Technical Corrections 2017-03-20T00:00:00-07:00 2017-03-20T00:00:00-07:00 2017-05402 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-03-20/pdf/2017-05402.pdf https://regulations.justia.com/regulations/fedreg/2017/03/20/2017-05401.html Notice - Self-Regulatory Organizations; Fixed Income Clearing Corporation; Notice of Filing of Proposed Rule Change To Implement the Capped Contingency Liquidity Facility in the Government Securities Division Rulebook 2017-03-20T00:00:00-07:00 2017-03-20T00:00:00-07:00 2017-05401 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-03-20/pdf/2017-05401.pdf https://regulations.justia.com/regulations/fedreg/2017/03/20/2017-05398.html Notice - Equity Market Structure Advisory Committee 2017-03-20T00:00:00-07:00 2017-03-20T00:00:00-07:00 2017-05398 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-03-20/pdf/2017-05398.pdf https://regulations.justia.com/regulations/fedreg/2017/03/17/2017-05403.html Notice - Self-Regulatory Organizations; Fixed Income Clearing Corporation; Notice of Filing of Proposed Rule Change, as Modified by Amendment No. 1 Thereto, To Expand the Types of Entities That Are Eligible To Participate in Fixed Income Clearing Corporation as Sponsored Members and Make Other Changes 2017-03-17T00:00:00-07:00 2017-03-17T00:00:00-07:00 2017-05403 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-03-17/pdf/2017-05403.pdf https://regulations.justia.com/regulations/fedreg/2017/03/17/2017-05362.html Notice - Proposed Collection; Comment Request 2017-03-17T00:00:00-07:00 2017-03-17T00:00:00-07:00 2017-05362 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-03-17/pdf/2017-05362.pdf https://regulations.justia.com/regulations/fedreg/2017/03/17/2017-05345.html Notice - Self-Regulatory Organizations; Miami International Securities Exchange LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend MIAX Options Rule 515, Execution of Orders and Quotes 2017-03-17T00:00:00-07:00 2017-03-17T00:00:00-07:00 2017-05345 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-03-17/pdf/2017-05345.pdf https://regulations.justia.com/regulations/fedreg/2017/03/17/2017-05344.html Notice - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the Data Collection Requirements in Rule 4470 2017-03-17T00:00:00-07:00 2017-03-17T00:00:00-07:00 2017-05344 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-03-17/pdf/2017-05344.pdf https://regulations.justia.com/regulations/fedreg/2017/03/17/2017-05343.html Notice - Self-Regulatory Organizations; NASDAQ BX, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the Data Reporting Requirements of Rule 4770 2017-03-17T00:00:00-07:00 2017-03-17T00:00:00-07:00 2017-05343 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-03-17/pdf/2017-05343.pdf https://regulations.justia.com/regulations/fedreg/2017/03/17/2017-05342.html Notice - Self-Regulatory Organizations; Chicago Stock Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Modify the Date of Appendix B Web Site Data Publication Pursuant to the Regulation NMS Plan To Implement a Tick Size Pilot Program 2017-03-17T00:00:00-07:00 2017-03-17T00:00:00-07:00 2017-05342 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-03-17/pdf/2017-05342.pdf https://regulations.justia.com/regulations/fedreg/2017/03/17/2017-05341.html Notice - Self-Regulatory Organizations; NASDAQ PHLX LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the Data Collection Requirements in Rule 3317 2017-03-17T00:00:00-07:00 2017-03-17T00:00:00-07:00 2017-05341 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-03-17/pdf/2017-05341.pdf https://regulations.justia.com/regulations/fedreg/2017/03/17/2017-05340.html Notice - Self-Regulatory Organizations; International Securities Exchange, LLC; Order Approving Proposed Rule Change, as Modified by Amendment No. 1, To Amend the Exchange Opening Process 2017-03-17T00:00:00-07:00 2017-03-17T00:00:00-07:00 2017-05340 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-03-17/pdf/2017-05340.pdf https://regulations.justia.com/regulations/fedreg/2017/03/17/2017-05339.html Notice - Self-Regulatory Organizations; NASDAQ BX, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the Exchange's Transaction Fees at Rule 7018 2017-03-17T00:00:00-07:00 2017-03-17T00:00:00-07:00 2017-05339 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-03-17/pdf/2017-05339.pdf https://regulations.justia.com/regulations/fedreg/2017/03/17/2017-05338.html Notice - Self-Regulatory Organizations; Investors Exchange, LLC; Order Granting Approval to a Proposed Rule Change To: (i) Amend Rules 11.190(a)(3) and 11.190(b)(8) To Modify the Operation of the Primary Peg Order Type; (ii) Amend Rule 11.190(h)(3)(C)(ii) and (D)(ii) Regarding Price Sliding in Locked and Crossed Markets To Simplify the Price Sliding Process for Both Primary Peg Orders and Discretionary Peg Orders Resting on or Posting to the Order Book; and (iii) Make Minor Technical Changes To Conform Certain Terminology 2017-03-17T00:00:00-07:00 2017-03-17T00:00:00-07:00 2017-05338 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-03-17/pdf/2017-05338.pdf https://regulations.justia.com/regulations/fedreg/2017/03/17/2017-05337.html Notice - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Its Price List 2017-03-17T00:00:00-07:00 2017-03-17T00:00:00-07:00 2017-05337 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-03-17/pdf/2017-05337.pdf https://regulations.justia.com/regulations/fedreg/2017/03/17/2017-05336.html Notice - Self-Regulatory Organizations; Bats BYX 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 2017-03-17T00:00:00-07:00 2017-03-17T00:00:00-07:00 2017-05336 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-03-17/pdf/2017-05336.pdf https://regulations.justia.com/regulations/fedreg/2017/03/17/2017-05335.html Notice - Self-Regulatory Organizations; International Securities Exchange, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the Fee Schedule To Change the Definition of Net Zero Complex Order 2017-03-17T00:00:00-07:00 2017-03-17T00:00:00-07:00 2017-05335 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-03-17/pdf/2017-05335.pdf https://regulations.justia.com/regulations/fedreg/2017/03/17/2017-04366.html Proposed Rule - Inline XBRL Filing of Tagged Data 2017-03-17T00:00:00-07:00 2017-03-17T00:00:00-07:00 2017-04366 Proposed Rule https://www.gpo.gov/fdsys/pkg/FR-2017-03-17/pdf/2017-04366.pdf https://regulations.justia.com/regulations/fedreg/2017/03/17/2017-04365.html Rule - Exhibit Hyperlinks and HTML Format 2017-03-17T00:00:00-07:00 2017-03-17T00:00:00-07:00 2017-04365 Rule https://www.gpo.gov/fdsys/pkg/FR-2017-03-17/pdf/2017-04365.pdf https://regulations.justia.com/regulations/fedreg/2017/03/16/2017-05275.html Notice - Proposed Collection; Comment Request 2017-03-16T00:00:00-07:00 2017-03-16T00:00:00-07:00 2017-05275 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-03-16/pdf/2017-05275.pdf https://regulations.justia.com/regulations/fedreg/2017/03/16/2017-05274.html Notice - Proposed Collection; Comment Request 2017-03-16T00:00:00-07:00 2017-03-16T00:00:00-07:00 2017-05274 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-03-16/pdf/2017-05274.pdf https://regulations.justia.com/regulations/fedreg/2017/03/16/2017-05273.html Notice - Proposed Collection; Comment Request 2017-03-16T00:00:00-07:00 2017-03-16T00:00:00-07:00 2017-05273 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-03-16/pdf/2017-05273.pdf https://regulations.justia.com/regulations/fedreg/2017/03/16/2017-05272.html Notice - Proposed Collection; Comment Request 2017-03-16T00:00:00-07:00 2017-03-16T00:00:00-07:00 2017-05272 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-03-16/pdf/2017-05272.pdf https://regulations.justia.com/regulations/fedreg/2017/03/16/2017-05271.html Notice - Proposed Collection; Comment Request 2017-03-16T00:00:00-07:00 2017-03-16T00:00:00-07:00 2017-05271 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-03-16/pdf/2017-05271.pdf https://regulations.justia.com/regulations/fedreg/2017/03/16/2017-05270.html Notice - Proposed Collection; Comment Request 2017-03-16T00:00:00-07:00 2017-03-16T00:00:00-07:00 2017-05270 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-03-16/pdf/2017-05270.pdf https://regulations.justia.com/regulations/fedreg/2017/03/16/2017-05269.html Notice - Proposed Collection; Comment Request 2017-03-16T00:00:00-07:00 2017-03-16T00:00:00-07:00 2017-05269 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-03-16/pdf/2017-05269.pdf https://regulations.justia.com/regulations/fedreg/2017/03/16/2017-05226.html 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. 2017-03-16T00:00:00-07:00 2017-03-16T00:00:00-07:00 2017-05226 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-03-16/pdf/2017-05226.pdf https://regulations.justia.com/regulations/fedreg/2017/03/16/2017-05225.html 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 2017-03-16T00:00:00-07:00 2017-03-16T00:00:00-07:00 2017-05225 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-03-16/pdf/2017-05225.pdf https://regulations.justia.com/regulations/fedreg/2017/03/16/2017-05224.html 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 2017-03-16T00:00:00-07:00 2017-03-16T00:00:00-07:00 2017-05224 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-03-16/pdf/2017-05224.pdf https://regulations.justia.com/regulations/fedreg/2017/03/16/2017-05223.html 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 2017-03-16T00:00:00-07:00 2017-03-16T00:00:00-07:00 2017-05223 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-03-16/pdf/2017-05223.pdf https://regulations.justia.com/regulations/fedreg/2017/03/16/2017-05222.html 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 2017-03-16T00:00:00-07:00 2017-03-16T00:00:00-07:00 2017-05222 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-03-16/pdf/2017-05222.pdf https://regulations.justia.com/regulations/fedreg/2017/03/16/2017-05221.html 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 2017-03-16T00:00:00-07:00 2017-03-16T00:00:00-07:00 2017-05221 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-03-16/pdf/2017-05221.pdf https://regulations.justia.com/regulations/fedreg/2017/03/16/2017-05220.html Notice - Self-Regulatory Organizations; ISE Gemini, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Adopt Fees for New Ports 2017-03-16T00:00:00-07:00 2017-03-16T00:00:00-07:00 2017-05220 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-03-16/pdf/2017-05220.pdf https://regulations.justia.com/regulations/fedreg/2017/03/16/2017-05219.html 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 2017-03-16T00:00:00-07:00 2017-03-16T00:00:00-07:00 2017-05219 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-03-16/pdf/2017-05219.pdf https://regulations.justia.com/regulations/fedreg/2017/03/16/2017-05218.html 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 2017-03-16T00:00:00-07:00 2017-03-16T00:00:00-07:00 2017-05218 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-03-16/pdf/2017-05218.pdf https://regulations.justia.com/regulations/fedreg/2017/03/16/2017-05217.html 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 2017-03-16T00:00:00-07:00 2017-03-16T00:00:00-07:00 2017-05217 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-03-16/pdf/2017-05217.pdf https://regulations.justia.com/regulations/fedreg/2017/03/16/2017-05216.html 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 2017-03-16T00:00:00-07:00 2017-03-16T00:00:00-07:00 2017-05216 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-03-16/pdf/2017-05216.pdf https://regulations.justia.com/regulations/fedreg/2017/03/16/2017-05215.html 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 2017-03-16T00:00:00-07:00 2017-03-16T00:00:00-07:00 2017-05215 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-03-16/pdf/2017-05215.pdf https://regulations.justia.com/regulations/fedreg/2017/03/16/2017-05214.html 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 2017-03-16T00:00:00-07:00 2017-03-16T00:00:00-07:00 2017-05214 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-03-16/pdf/2017-05214.pdf https://regulations.justia.com/regulations/fedreg/2017/03/16/2017-05213.html 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 2017-03-16T00:00:00-07:00 2017-03-16T00:00:00-07:00 2017-05213 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-03-16/pdf/2017-05213.pdf https://regulations.justia.com/regulations/fedreg/2017/03/16/2017-05212.html 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 2017-03-16T00:00:00-07:00 2017-03-16T00:00:00-07:00 2017-05212 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-03-16/pdf/2017-05212.pdf https://regulations.justia.com/regulations/fedreg/2017/03/16/2017-05211.html 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 2017-03-16T00:00:00-07:00 2017-03-16T00:00:00-07:00 2017-05211 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-03-16/pdf/2017-05211.pdf https://regulations.justia.com/regulations/fedreg/2017/03/16/2017-05210.html 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 2017-03-16T00:00:00-07:00 2017-03-16T00:00:00-07:00 2017-05210 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-03-16/pdf/2017-05210.pdf https://regulations.justia.com/regulations/fedreg/2017/03/16/2017-05209.html 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 2017-03-16T00:00:00-07:00 2017-03-16T00:00:00-07:00 2017-05209 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-03-16/pdf/2017-05209.pdf https://regulations.justia.com/regulations/fedreg/2017/03/16/2017-05208.html Notice - UBS ETMF Trust, et al.; Notice of Application 2017-03-16T00:00:00-07:00 2017-03-16T00:00:00-07:00 2017-05208 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-03-16/pdf/2017-05208.pdf https://regulations.justia.com/regulations/fedreg/2017/03/16/2017-05207.html Notice - Parker Global Strategies, LLC; Notice of Application 2017-03-16T00:00:00-07:00 2017-03-16T00:00:00-07:00 2017-05207 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-03-16/pdf/2017-05207.pdf https://regulations.justia.com/regulations/fedreg/2017/03/15/2017-05137.html Notice - Self-Regulatory Organizations; New York Stock Exchange LLC; Order Granting Approval of a Proposed Rule Change Amending Initial and Continued Listing Standards for Special Purpose Acquisition Companies 2017-03-15T00:00:00-07:00 2017-03-15T00:00:00-07:00 2017-05137 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-03-15/pdf/2017-05137.pdf https://regulations.justia.com/regulations/fedreg/2017/03/15/2017-05092.html Notice - Self-Regulatory Organizations; Fixed Income Clearing Corporation; Notice of Filing of Advance Notice To Implement the Capped Contingency Liquidity Facility in the Government Securities Division Rulebook 2017-03-15T00:00:00-07:00 2017-03-15T00:00:00-07:00 2017-05092 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-03-15/pdf/2017-05092.pdf https://regulations.justia.com/regulations/fedreg/2017/03/15/2017-05091.html Notice - Self-Regulatory Organizations; Miami International Securities Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Its Fee Schedule Relating to the Professional Rebate Program 2017-03-15T00:00:00-07:00 2017-03-15T00:00:00-07:00 2017-05091 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-03-15/pdf/2017-05091.pdf https://regulations.justia.com/regulations/fedreg/2017/03/15/2017-05090.html Notice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing of Amendment No. 2 and Order Granting Accelerated Approval of a Proposed Rule Change, as Modified by Amendment No. 2, Amending the NYSE Arca Equities Rule 5 and Rule 8 Series 2017-03-15T00:00:00-07:00 2017-03-15T00:00:00-07:00 2017-05090 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-03-15/pdf/2017-05090.pdf https://regulations.justia.com/regulations/fedreg/2017/03/15/2017-05089.html Notice - Self-Regulatory Organizations; International Securities Exchange, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the Schedule of Fees 2017-03-15T00:00:00-07:00 2017-03-15T00:00:00-07:00 2017-05089 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-03-15/pdf/2017-05089.pdf https://regulations.justia.com/regulations/fedreg/2017/03/15/2017-05088.html Notice - Self-Regulatory Organizations; Bats EDGA Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Related to Fees 2017-03-15T00:00:00-07:00 2017-03-15T00:00:00-07:00 2017-05088 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-03-15/pdf/2017-05088.pdf https://regulations.justia.com/regulations/fedreg/2017/03/15/2017-05087.html Notice - Self-Regulatory Organizations; Bats EDGX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Fees for Use on Bats EDGX Exchange, Inc. 2017-03-15T00:00:00-07:00 2017-03-15T00:00:00-07:00 2017-05087 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-03-15/pdf/2017-05087.pdf https://regulations.justia.com/regulations/fedreg/2017/03/15/2017-05086.html Notice - Self-Regulatory Organizations; International Securities Exchange, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Modify the Qualified Contingent Cross and Solicitation Rebate Tiers 2017-03-15T00:00:00-07:00 2017-03-15T00:00:00-07:00 2017-05086 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-03-15/pdf/2017-05086.pdf https://regulations.justia.com/regulations/fedreg/2017/03/15/2017-05085.html Notice - Self-Regulatory Organizations; ISE Gemini, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the Schedule of Fees 2017-03-15T00:00:00-07:00 2017-03-15T00:00:00-07:00 2017-05085 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-03-15/pdf/2017-05085.pdf https://regulations.justia.com/regulations/fedreg/2017/03/15/2017-05083.html Notice - Self-Regulatory Organizations; International Securities Exchange, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Correct a Typographical Error in Section 413 of the Exchange's Rules 2017-03-15T00:00:00-07:00 2017-03-15T00:00:00-07:00 2017-05083 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-03-15/pdf/2017-05083.pdf https://regulations.justia.com/regulations/fedreg/2017/03/15/2017-05082.html Notice - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing of a Proposed Rule Change To Amend Rule 6191 To Implement an Anonymous, Grouped Masking Methodology for Over-the-Counter Activity in Connection With Web Site Data Publication of Appendix B Data Pursuant to the Regulation NMS Plan To Implement a Tick Size Pilot Program 2017-03-15T00:00:00-07:00 2017-03-15T00:00:00-07:00 2017-05082 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-03-15/pdf/2017-05082.pdf https://regulations.justia.com/regulations/fedreg/2017/03/15/2017-05081.html Notice - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Rule 7018(a) To Adopt Two Credits 2017-03-15T00:00:00-07:00 2017-03-15T00:00:00-07:00 2017-05081 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-03-15/pdf/2017-05081.pdf https://regulations.justia.com/regulations/fedreg/2017/03/15/2017-04323.html Proposed Rule - Proposed Amendments to Municipal Securities Disclosure 2017-03-15T00:00:00-07:00 2017-03-15T00:00:00-07:00 2017-04323 Proposed Rule https://www.gpo.gov/fdsys/pkg/FR-2017-03-15/pdf/2017-04323.pdf https://regulations.justia.com/regulations/fedreg/2017/03/14/2017-05084.html Notice - Sunshine Act Meeting 2017-03-14T00:00:00-07:00 2017-03-14T00:00:00-07:00 2017-05084 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-03-14/pdf/2017-05084.pdf https://regulations.justia.com/regulations/fedreg/2017/03/14/2017-04928.html Notice - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to Complex Order Price Protections 2017-03-14T00:00:00-07:00 2017-03-14T00:00:00-07:00 2017-04928 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-03-14/pdf/2017-04928.pdf https://regulations.justia.com/regulations/fedreg/2017/03/14/2017-04927.html Notice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Designation of a Longer Period for Commission Action on Proposed Rule Change Relating to the Listing and Trading of Shares of the USCF Canadian Crude Oil Index Fund Under NYSE Arca Equities Rule 8.200 2017-03-14T00:00:00-07:00 2017-03-14T00:00:00-07:00 2017-04927 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-03-14/pdf/2017-04927.pdf https://regulations.justia.com/regulations/fedreg/2017/03/14/2017-04926.html Notice - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend FINRA Rule 6191 To Modify the Date of Appendix B Web Site Data Publication Pursuant to the Regulation NMS Plan To Implement a Tick Size Pilot Program 2017-03-14T00:00:00-07:00 2017-03-14T00:00:00-07:00 2017-04926 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-03-14/pdf/2017-04926.pdf https://regulations.justia.com/regulations/fedreg/2017/03/14/2017-04925.html Notice - Self-Regulatory Organizations; NYSE MKT LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Rule 67 To Modify the Date of Appendix B Web Site Data Publication Pursuant to the Regulation NMS Plan To Implement a Tick Size Pilot Program 2017-03-14T00:00:00-07:00 2017-03-14T00:00:00-07:00 2017-04925 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-03-14/pdf/2017-04925.pdf https://regulations.justia.com/regulations/fedreg/2017/03/14/2017-04924.html Notice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Rule 7.46 To Modify the Date of Appendix B Web site Data Publication Pursuant to the Regulation NMS Plan To Implement a Tick Size Pilot Program 2017-03-14T00:00:00-07:00 2017-03-14T00:00:00-07:00 2017-04924 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-03-14/pdf/2017-04924.pdf https://regulations.justia.com/regulations/fedreg/2017/03/14/2017-04923.html Notice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending NYSE Arca Options Fee Schedule 2017-03-14T00:00:00-07:00 2017-03-14T00:00:00-07:00 2017-04923 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-03-14/pdf/2017-04923.pdf https://regulations.justia.com/regulations/fedreg/2017/03/14/2017-04922.html Notice - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Rule 67 To Modify the Date of Appendix B Web Site Data Publication Pursuant to the Regulation NMS Plan To Implement a Tick Size Pilot Program 2017-03-14T00:00:00-07:00 2017-03-14T00:00:00-07:00 2017-04922 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-03-14/pdf/2017-04922.pdf https://regulations.justia.com/regulations/fedreg/2017/03/14/2017-04921.html Notice - Self-Regulatory Organizations; the Options Clearing Corporation; Notice of Filing of Proposed Rule Change Concerning Enhancements to OCC's Stock Loan Programs 2017-03-14T00:00:00-07:00 2017-03-14T00:00:00-07:00 2017-04921 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-03-14/pdf/2017-04921.pdf https://regulations.justia.com/regulations/fedreg/2017/03/13/2017-04869.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; Correction 2017-03-13T00:00:00-07:00 2017-03-13T00:00:00-07:00 2017-04869 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-03-13/pdf/2017-04869.pdf https://regulations.justia.com/regulations/fedreg/2017/03/13/2017-04867.html Notice - Submission for OMB Review; Comment Request 2017-03-13T00:00:00-07:00 2017-03-13T00:00:00-07:00 2017-04867 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-03-13/pdf/2017-04867.pdf https://regulations.justia.com/regulations/fedreg/2017/03/13/2017-04866.html Notice - Submission for OMB Review; Comment Request 2017-03-13T00:00:00-07:00 2017-03-13T00:00:00-07:00 2017-04866 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-03-13/pdf/2017-04866.pdf https://regulations.justia.com/regulations/fedreg/2017/03/13/2017-04865.html Notice - Submission for OMB Review; Comment Request 2017-03-13T00:00:00-07:00 2017-03-13T00:00:00-07:00 2017-04865 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-03-13/pdf/2017-04865.pdf https://regulations.justia.com/regulations/fedreg/2017/03/13/2017-04817.html Notice - Self-Regulatory Organizations; Bats BZX Exchange, Inc.; Notice of Filing of Amendment Nos. 1 and 2 and Order Granting Accelerated Approval of a Proposed Rule Change, as Modified by Amendment Nos. 1 and 2, Relating to BZX Rule 14.11, Other Securities, and BZX Rule 14.12, Failure To Meet Listing Standards 2017-03-13T00:00:00-07:00 2017-03-13T00:00:00-07:00 2017-04817 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-03-13/pdf/2017-04817.pdf https://regulations.justia.com/regulations/fedreg/2017/03/13/2017-04816.html Notice - Self-Regulatory Organizations; The Options Clearing Corporation; Notice of Filing of Proposed Rule Change Concerning Changes to The Options Clearing Corporation's Management Structure 2017-03-13T00:00:00-07:00 2017-03-13T00:00:00-07:00 2017-04816 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-03-13/pdf/2017-04816.pdf https://regulations.justia.com/regulations/fedreg/2017/03/13/2017-04815.html Notice - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Filing of a Proposed Rule Change To Amend the Bylaws and Certificate of Incorporation 2017-03-13T00:00:00-07:00 2017-03-13T00:00:00-07:00 2017-04815 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-03-13/pdf/2017-04815.pdf https://regulations.justia.com/regulations/fedreg/2017/03/13/2017-04814.html Notice - Self-Regulatory Organizations; C2 Options Exchange, Incorporated; Notice of Filing of a Proposed Rule Change To Amend the C2 Bylaws and Certificate of Incorporation 2017-03-13T00:00:00-07:00 2017-03-13T00:00:00-07:00 2017-04814 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-03-13/pdf/2017-04814.pdf https://regulations.justia.com/regulations/fedreg/2017/03/13/2017-04813.html Notice - Jeffrey LLC; Notice of Application 2017-03-13T00:00:00-07:00 2017-03-13T00:00:00-07:00 2017-04813 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-03-13/pdf/2017-04813.pdf https://regulations.justia.com/regulations/fedreg/2017/03/13/2017-04812.html Notice - Advanced Series Trust, et al.; Notice of Application 2017-03-13T00:00:00-07:00 2017-03-13T00:00:00-07:00 2017-04812 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-03-13/pdf/2017-04812.pdf https://regulations.justia.com/regulations/fedreg/2017/03/13/2017-04811.html Notice - Katahdin Asset Management LLC; Notice of Application 2017-03-13T00:00:00-07:00 2017-03-13T00:00:00-07:00 2017-04811 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-03-13/pdf/2017-04811.pdf https://regulations.justia.com/regulations/fedreg/2017/03/13/2017-04810.html Notice - The Jeffrey Company; Notice of Application 2017-03-13T00:00:00-07:00 2017-03-13T00:00:00-07:00 2017-04810 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-03-13/pdf/2017-04810.pdf https://regulations.justia.com/regulations/fedreg/2017/03/10/2017-04726.html Notice - Self-Regulatory Organizations; NASDAQ PHLX LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Related to Billing Ports and Other Services 2017-03-10T00:00:00-08:00 2017-03-10T00:00:00-08:00 2017-04726 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-03-10/pdf/2017-04726.pdf https://regulations.justia.com/regulations/fedreg/2017/03/10/2017-04725.html Notice - Self-Regulatory Organizations; NASDAQ BX, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Related to Billing Ports and Other Services 2017-03-10T00:00:00-08:00 2017-03-10T00:00:00-08:00 2017-04725 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-03-10/pdf/2017-04725.pdf https://regulations.justia.com/regulations/fedreg/2017/03/09/2017-04607.html 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 2017-03-09T00:00:00-08:00 2017-03-09T00:00:00-08:00 2017-04607 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-03-09/pdf/2017-04607.pdf https://regulations.justia.com/regulations/fedreg/2017/03/09/2017-04606.html 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”) 2017-03-09T00:00:00-08:00 2017-03-09T00:00:00-08:00 2017-04606 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-03-09/pdf/2017-04606.pdf https://regulations.justia.com/regulations/fedreg/2017/03/09/2017-04605.html 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 2017-03-09T00:00:00-08:00 2017-03-09T00:00:00-08:00 2017-04605 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-03-09/pdf/2017-04605.pdf https://regulations.justia.com/regulations/fedreg/2017/03/09/2017-04604.html 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 2017-03-09T00:00:00-08:00 2017-03-09T00:00:00-08:00 2017-04604 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-03-09/pdf/2017-04604.pdf https://regulations.justia.com/regulations/fedreg/2017/03/09/2017-04603.html 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 2017-03-09T00:00:00-08:00 2017-03-09T00:00:00-08:00 2017-04603 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-03-09/pdf/2017-04603.pdf https://regulations.justia.com/regulations/fedreg/2017/03/09/2017-04602.html 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 2017-03-09T00:00:00-08:00 2017-03-09T00:00:00-08:00 2017-04602 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-03-09/pdf/2017-04602.pdf https://regulations.justia.com/regulations/fedreg/2017/03/09/2017-04601.html 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 2017-03-09T00:00:00-08:00 2017-03-09T00:00:00-08:00 2017-04601 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-03-09/pdf/2017-04601.pdf https://regulations.justia.com/regulations/fedreg/2017/03/09/2017-04600.html 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 2017-03-09T00:00:00-08:00 2017-03-09T00:00:00-08:00 2017-04600 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-03-09/pdf/2017-04600.pdf https://regulations.justia.com/regulations/fedreg/2017/03/09/2017-04599.html 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 2017-03-09T00:00:00-08:00 2017-03-09T00:00:00-08:00 2017-04599 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-03-09/pdf/2017-04599.pdf https://regulations.justia.com/regulations/fedreg/2017/03/09/2017-04591.html Notice - Medley Capital Corporation, et al.; Notice of Application 2017-03-09T00:00:00-08:00 2017-03-09T00:00:00-08:00 2017-04591 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-03-09/pdf/2017-04591.pdf https://regulations.justia.com/regulations/fedreg/2017/03/08/2017-04498.html Notice - Self-Regulatory Organizations; The Options Clearing Corporation; Notice of No Objection To Advance Notice Filing Concerning the Options Clearing Corporation's Margin Coverage During Times of Increased Volatility 2017-03-08T00:00:00-08:00 2017-03-08T00:00:00-08:00 2017-04498 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-03-08/pdf/2017-04498.pdf https://regulations.justia.com/regulations/fedreg/2017/03/08/2017-04479.html Notice - Order Granting Limited Exemptive Relief, Pursuant to Rule 608(e) of the Securities Exchange Act of 1934, From the Clock Synchronization Compliance Deadline Specified in Section 6.7(a)(ii) of the National Market System Plan Governing the Consolidated Audit Trail 2017-03-08T00:00:00-08:00 2017-03-08T00:00:00-08:00 2017-04479 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-03-08/pdf/2017-04479.pdf https://regulations.justia.com/regulations/fedreg/2017/03/08/2017-04478.html Notice - Self-Regulatory Organizations; NYSE MKT LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Renaming NYSE OptX 2017-03-08T00:00:00-08:00 2017-03-08T00:00:00-08:00 2017-04478 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-03-08/pdf/2017-04478.pdf https://regulations.justia.com/regulations/fedreg/2017/03/08/2017-04477.html Notice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Renaming NYSE OptX 2017-03-08T00:00:00-08:00 2017-03-08T00:00:00-08:00 2017-04477 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-03-08/pdf/2017-04477.pdf https://regulations.justia.com/regulations/fedreg/2017/03/08/2017-04476.html Notice - Self-Regulatory Organizations; Fixed Income Clearing Corporation; Notice of Filing of Advance Notice To (1) Implement the Margin Proxy and (2) Modify the Calculation of the Coverage Charge in Circumstances Where the Margin Proxy Applies 2017-03-08T00:00:00-08:00 2017-03-08T00:00:00-08:00 2017-04476 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-03-08/pdf/2017-04476.pdf https://regulations.justia.com/regulations/fedreg/2017/03/07/2017-04497.html Notice - Sunshine Act Meeting 2017-03-07T00:00:00-08:00 2017-03-07T00:00:00-08:00 2017-04497 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-03-07/pdf/2017-04497.pdf https://regulations.justia.com/regulations/fedreg/2017/03/07/2017-04496.html Notice - Sunshine Act Meeting 2017-03-07T00:00:00-08:00 2017-03-07T00:00:00-08:00 2017-04496 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-03-07/pdf/2017-04496.pdf https://regulations.justia.com/regulations/fedreg/2017/03/07/2017-04495.html Notice - Sunshine Act Meeting 2017-03-07T00:00:00-08:00 2017-03-07T00:00:00-08:00 2017-04495 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-03-07/pdf/2017-04495.pdf https://regulations.justia.com/regulations/fedreg/2017/03/07/2017-04440.html Notice - Victory Portfolios, et al.; Notice of Application 2017-03-07T00:00:00-08:00 2017-03-07T00:00:00-08:00 2017-04440 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-03-07/pdf/2017-04440.pdf https://regulations.justia.com/regulations/fedreg/2017/03/07/2017-04352.html Notice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing of Amendment Nos. 1 and 2 and Order Granting Accelerated Approval of a Proposed Rule Change, as Modified by Amendment Nos. 1 and 2, To Amend NYSE Arca Rule 6.91 2017-03-07T00:00:00-08:00 2017-03-07T00:00:00-08:00 2017-04352 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-03-07/pdf/2017-04352.pdf https://regulations.justia.com/regulations/fedreg/2017/03/07/2017-04351.html Notice - Self-Regulatory Organizations; Bats BZX Exchange, Inc.; Notice of Filing of a Proposed Rule Change To List and Trade Shares of the Amplify YieldShares Oil Hedged MLP Fund, a Series of the Amplify ETF Trust, Under Rule 14.11(i), Managed Fund Shares 2017-03-07T00:00:00-08:00 2017-03-07T00:00:00-08:00 2017-04351 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-03-07/pdf/2017-04351.pdf https://regulations.justia.com/regulations/fedreg/2017/03/07/2017-04350.html Notice - Self-Regulatory Organizations; BOX Options Exchange 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 Rules for an Open-Outcry Trading Floor 2017-03-07T00:00:00-08:00 2017-03-07T00:00:00-08:00 2017-04350 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-03-07/pdf/2017-04350.pdf https://regulations.justia.com/regulations/fedreg/2017/03/07/2017-04329.html Proposed Rule - Request for Comment on Possible Changes to Industry Guide 3 (Statistical Disclosure by Bank Holding Companies) 2017-03-07T00:00:00-08:00 2017-03-07T00:00:00-08:00 2017-04329 Proposed Rule https://www.gpo.gov/fdsys/pkg/FR-2017-03-07/pdf/2017-04329.pdf https://regulations.justia.com/regulations/fedreg/2017/03/06/2017-04241.html Notice - IFRS Taxonomy for Foreign Private Issuers That Prepare Their Financial Statements in Accordance With International Financial Reporting Standards as Issued by the International Accounting Standards Board 2017-03-06T00:00:00-08:00 2017-03-06T00:00:00-08:00 2017-04241 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-03-06/pdf/2017-04241.pdf https://regulations.justia.com/regulations/fedreg/2017/03/06/2017-04209.html Notice - Touchstone Investment Trust, et al.; Notice of Application 2017-03-06T00:00:00-08:00 2017-03-06T00:00:00-08:00 2017-04209 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-03-06/pdf/2017-04209.pdf https://regulations.justia.com/regulations/fedreg/2017/03/06/2017-04208.html Notice - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change to the Co-Location Services Offered by the Exchange Adding a Wireless Connection to Toronto Stock Exchange (TSX) Third Party Data 2017-03-06T00:00:00-08:00 2017-03-06T00:00:00-08:00 2017-04208 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-03-06/pdf/2017-04208.pdf https://regulations.justia.com/regulations/fedreg/2017/03/06/2017-04207.html Notice - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Filing of a Proposed Rule Change Related to Unusual Market Conditions 2017-03-06T00:00:00-08:00 2017-03-06T00:00:00-08:00 2017-04207 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-03-06/pdf/2017-04207.pdf https://regulations.justia.com/regulations/fedreg/2017/03/06/2017-04206.html Notice - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Rule 103B 2017-03-06T00:00:00-08:00 2017-03-06T00:00:00-08:00 2017-04206 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-03-06/pdf/2017-04206.pdf https://regulations.justia.com/regulations/fedreg/2017/03/06/2017-04205.html Notice - Self-Regulatory Organizations; Miami International Securities Exchange LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend MIAX Options Rule 519, MIAX Order Monitor 2017-03-06T00:00:00-08:00 2017-03-06T00:00:00-08:00 2017-04205 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-03-06/pdf/2017-04205.pdf https://regulations.justia.com/regulations/fedreg/2017/03/06/2017-04204.html Notice - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing of Proposed Rule Change To Adopt Rule 7017 2017-03-06T00:00:00-08:00 2017-03-06T00:00:00-08:00 2017-04204 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-03-06/pdf/2017-04204.pdf https://regulations.justia.com/regulations/fedreg/2017/03/06/2017-04203.html Notice - Self-Regulatory Organizations; NASDAQ PHLX LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Related to Qualified Contingent Cross Orders 2017-03-06T00:00:00-08:00 2017-03-06T00:00:00-08:00 2017-04203 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-03-06/pdf/2017-04203.pdf https://regulations.justia.com/regulations/fedreg/2017/03/06/2017-04202.html Notice - Self-Regulatory Organizations; Investors Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Adopt DEEP, a New Depth of Book Market Data Feed, Rename TOPS Viewer to IEX Data Platform, and Include Depth of Book Market Data Therein 2017-03-06T00:00:00-08:00 2017-03-06T00:00:00-08:00 2017-04202 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-03-06/pdf/2017-04202.pdf https://regulations.justia.com/regulations/fedreg/2017/03/06/2017-04201.html Notice - Self-Regulatory Organizations; NYSE MKT LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change to the Co-Location Services Offered by the Exchange Adding a Wireless Connection to Toronto Stock Exchange (TSX) Third Party Data 2017-03-06T00:00:00-08:00 2017-03-06T00:00:00-08:00 2017-04201 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-03-06/pdf/2017-04201.pdf https://regulations.justia.com/regulations/fedreg/2017/03/06/2017-04200.html Notice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change to the Co-Location Services Offered by the Exchange Adding a Wireless Connection to Toronto Stock Exchange (TSX) Third Party Data 2017-03-06T00:00:00-08:00 2017-03-06T00:00:00-08:00 2017-04200 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-03-06/pdf/2017-04200.pdf https://regulations.justia.com/regulations/fedreg/2017/03/03/2017-04106.html Notice - Neuberger Berman Investment Advisers LLC, et al.; Notice of Application 2017-03-03T00:00:00-08:00 2017-03-03T00:00:00-08:00 2017-04106 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-03-03/pdf/2017-04106.pdf https://regulations.justia.com/regulations/fedreg/2017/03/03/2017-04091.html Notice - Tortoise Index Solutions, LLC, et al.; Notice of Application 2017-03-03T00:00:00-08:00 2017-03-03T00:00:00-08:00 2017-04091 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-03-03/pdf/2017-04091.pdf https://regulations.justia.com/regulations/fedreg/2017/03/03/2017-04090.html Notice - USAA ETF Trust, et al.; Notice of Application 2017-03-03T00:00:00-08:00 2017-03-03T00:00:00-08:00 2017-04090 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-03-03/pdf/2017-04090.pdf https://regulations.justia.com/regulations/fedreg/2017/03/03/2017-04089.html Notice - Self-Regulatory Organizations; LCH SA; Notice of Filing and Immediate Effectiveness of Proposed Rule Change, Security-Based Swap Submission, or Advance Notice To Adopt Revised Fee Schedule and Establish Annual Fixed Fee for General Members 2017-03-03T00:00:00-08:00 2017-03-03T00:00:00-08:00 2017-04089 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-03-03/pdf/2017-04089.pdf https://regulations.justia.com/regulations/fedreg/2017/03/02/2017-04036.html Notice - 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 2017-03-02T00:00:00-08:00 2017-03-02T00:00:00-08:00 2017-04036 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-03-02/pdf/2017-04036.pdf https://regulations.justia.com/regulations/fedreg/2017/03/02/2017-04035.html Notice - 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 2017-03-02T00:00:00-08:00 2017-03-02T00:00:00-08:00 2017-04035 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-03-02/pdf/2017-04035.pdf https://regulations.justia.com/regulations/fedreg/2017/03/02/2017-04034.html Notice - Self-Regulatory Organizations; ISE Gemini, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Regarding Cancel and Replace Orders 2017-03-02T00:00:00-08:00 2017-03-02T00:00:00-08:00 2017-04034 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-03-02/pdf/2017-04034.pdf https://regulations.justia.com/regulations/fedreg/2017/03/02/2017-04033.html Notice - 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 2017-03-02T00:00:00-08:00 2017-03-02T00:00:00-08:00 2017-04033 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-03-02/pdf/2017-04033.pdf https://regulations.justia.com/regulations/fedreg/2017/03/02/2017-04032.html Notice - 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 2017-03-02T00:00:00-08:00 2017-03-02T00:00:00-08:00 2017-04032 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-03-02/pdf/2017-04032.pdf https://regulations.justia.com/regulations/fedreg/2017/03/02/2017-04031.html Notice - Self-Regulatory Organizations; ISE Gemini, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Related to All-or-None Orders 2017-03-02T00:00:00-08:00 2017-03-02T00:00:00-08:00 2017-04031 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-03-02/pdf/2017-04031.pdf https://regulations.justia.com/regulations/fedreg/2017/03/02/2017-04030.html Notice - 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 2017-03-02T00:00:00-08:00 2017-03-02T00:00:00-08:00 2017-04030 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-03-02/pdf/2017-04030.pdf https://regulations.justia.com/regulations/fedreg/2017/03/02/2017-04023.html Notice - Proposed Collection; Comment Request 2017-03-02T00:00:00-08:00 2017-03-02T00:00:00-08:00 2017-04023 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-03-02/pdf/2017-04023.pdf https://regulations.justia.com/regulations/fedreg/2017/03/02/2017-04022.html Notice - Proposed Collection; Comment Request 2017-03-02T00:00:00-08:00 2017-03-02T00:00:00-08:00 2017-04022 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-03-02/pdf/2017-04022.pdf https://regulations.justia.com/regulations/fedreg/2017/03/02/2017-04014.html Notice - Notice of Applications for Deregistration Under Section 8(f) of the Investment Company Act of 1940 2017-03-02T00:00:00-08:00 2017-03-02T00:00:00-08:00 2017-04014 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-03-02/pdf/2017-04014.pdf https://regulations.justia.com/regulations/fedreg/2017/03/01/2017-03984.html Notice - Self-Regulatory Organizations; International Securities Exchange, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Delay Directed Orders 2017-03-01T00:00:00-08:00 2017-03-01T00:00:00-08:00 2017-03984 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-03-01/pdf/2017-03984.pdf