<![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/2017/04/10?registers=between Thu, 17 Jul 2025 23:13:07 -0700 Thu, 17 Jul 2025 23:13:07 -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/2017/04/10?registers=between Notice - Order Granting a Temporary Exemption to Covered Clearing Agencies From Compliance With Rule 17Ad-22(e)(3)(ii) and Certain Requirements in Rules 17Ad-22(e)(15)(i) and (ii) Under the Securities Exchange Act of 1934 https://regulations.justia.com/regulations/fedreg/2017/04/10/2017-07101.html https://regulations.justia.com/regulations/fedreg/2017/04/10/2017-07101.html Mon, 10 Apr 2017 00:00:00 -0700 2017-07101 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-04-10/pdf/2017-07101.pdf Notice - Self-Regulatory Organizations; NYSE MKT LLC; Notice of Filing of Proposed Rule Change Amending Rule 36-Equities To Permit Exchange Floor Brokers To Use Non-Exchange Provided Telephones on the Floor https://regulations.justia.com/regulations/fedreg/2017/04/10/2017-07049.html https://regulations.justia.com/regulations/fedreg/2017/04/10/2017-07049.html Mon, 10 Apr 2017 00:00:00 -0700 2017-07049 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-04-10/pdf/2017-07049.pdf Notice - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing of Proposed Rule Change Amending Rule 36 To Permit Exchange Floor Brokers To Use Non-Exchange Provided Telephones on the Floor https://regulations.justia.com/regulations/fedreg/2017/04/10/2017-07048.html https://regulations.justia.com/regulations/fedreg/2017/04/10/2017-07048.html Mon, 10 Apr 2017 00:00:00 -0700 2017-07048 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-04-10/pdf/2017-07048.pdf Notice - Options Clearing Corporation Self-Regulatory Organizations; the Notice of Filing and Immediate Effectiveness of Proposed Rule Change Concerning the Requirement for Clearing Members To Participate in Default Management Testing https://regulations.justia.com/regulations/fedreg/2017/04/10/2017-07047.html https://regulations.justia.com/regulations/fedreg/2017/04/10/2017-07047.html Mon, 10 Apr 2017 00:00:00 -0700 2017-07047 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-04-10/pdf/2017-07047.pdf Notice - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing of a Proposed Rule Change To Adopt Consolidated FINRA Registration Rules, Restructure the Representative-Level Qualification Examination Program and Amend the Continuing Education Requirements https://regulations.justia.com/regulations/fedreg/2017/04/10/2017-07046.html https://regulations.justia.com/regulations/fedreg/2017/04/10/2017-07046.html Mon, 10 Apr 2017 00:00:00 -0700 2017-07046 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-04-10/pdf/2017-07046.pdf Notice - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing of Proposed Rule Change To List and Trade the Shares of the First Trust California Municipal High Income ETF https://regulations.justia.com/regulations/fedreg/2017/04/10/2017-07045.html https://regulations.justia.com/regulations/fedreg/2017/04/10/2017-07045.html Mon, 10 Apr 2017 00:00:00 -0700 2017-07045 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-04-10/pdf/2017-07045.pdf