<![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/2017/05/04?registers=between Sat, 19 Jul 2025 22:26:02 -0700 Sat, 19 Jul 2025 22:26:02 -0700 Justia Regulations Tracker Copyright 2011 Justia Inc. https://regulations.justia.com/images/justiafedregulations.gif <![CDATA[Federal Register Recent Federal Regulation Documents - Justia Regulation Tracker - Justia Regulations Tracker]]> https://regulations.justia.com/regulations/fedreg/agencies/agencies-and-commissions/securities-and-exchange-commission/2017/05/04?registers=between Notice - Notice of Applications for Deregistration Under Section 8(f) of the Investment Company Act of 1940 https://regulations.justia.com/regulations/fedreg/2017/05/04/2017-08984.html https://regulations.justia.com/regulations/fedreg/2017/05/04/2017-08984.html Thu, 04 May 2017 00:00:00 -0700 2017-08984 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-05-04/pdf/2017-08984.pdf Notice - Self-Regulatory Organizations; The Nasdaq Stock Market LLC; Notice of Filing of Amendments No. 1, 2, 3, 4, and 5 and Order Granting Accelerated Approval of a Proposed Rule Change, as Amended, To Establish the Third Party Connectivity Service https://regulations.justia.com/regulations/fedreg/2017/05/04/2017-08983.html https://regulations.justia.com/regulations/fedreg/2017/05/04/2017-08983.html Thu, 04 May 2017 00:00:00 -0700 2017-08983 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-05-04/pdf/2017-08983.pdf Notice - Self-Regulatory Organizations; The Options Clearing Corporation; Order Approving Proposed Rule Change Concerning Enhancements to OCC's Stock Loan Programs https://regulations.justia.com/regulations/fedreg/2017/05/04/2017-08982.html https://regulations.justia.com/regulations/fedreg/2017/05/04/2017-08982.html Thu, 04 May 2017 00:00:00 -0700 2017-08982 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-05-04/pdf/2017-08982.pdf Notice - Self-Regulatory Organizations; C2 Options Exchange, Incorporated; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Related to Rule 6.13 https://regulations.justia.com/regulations/fedreg/2017/05/04/2017-08981.html https://regulations.justia.com/regulations/fedreg/2017/05/04/2017-08981.html Thu, 04 May 2017 00:00:00 -0700 2017-08981 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-05-04/pdf/2017-08981.pdf Notice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing of Proposed Rule Change To Adopt a New NYSE Arca Equities Rule 8.900 and To List and Trade Shares of the Royce Pennsylvania ETF; Royce Premier ETF; and Royce Total Return ETF Under Proposed NYSE Arca Equities Rule 8.900 https://regulations.justia.com/regulations/fedreg/2017/05/04/2017-08980.html https://regulations.justia.com/regulations/fedreg/2017/05/04/2017-08980.html Thu, 04 May 2017 00:00:00 -0700 2017-08980 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-05-04/pdf/2017-08980.pdf Notice - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Designation of a Longer Period for Commission Action on Proceedings To Determine Whether To Approve or Disapprove a Proposed Rule Change Amending Rule 104 To Delete Subsection (g)(i)(A)(III) Prohibiting Designated Market Makers From Establishing a New High (Low) Price on the Exchange in a Security the DMM Has a Long (Short) Position During the Last Ten Minutes Prior to the Close of Trading https://regulations.justia.com/regulations/fedreg/2017/05/04/2017-08979.html https://regulations.justia.com/regulations/fedreg/2017/05/04/2017-08979.html Thu, 04 May 2017 00:00:00 -0700 2017-08979 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-05-04/pdf/2017-08979.pdf Notice - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Order Granting Approval 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 https://regulations.justia.com/regulations/fedreg/2017/05/04/2017-08978.html https://regulations.justia.com/regulations/fedreg/2017/05/04/2017-08978.html Thu, 04 May 2017 00:00:00 -0700 2017-08978 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-05-04/pdf/2017-08978.pdf Notice - Self-Regulatory Organizations; NYSE MKT LLC; Notice of Designation of a Longer Period for Commission Action on Proceedings To Determine Whether To Approve or Disapprove a Proposed Rule Change Amending Rule 104-Equities To Delete Subsection (g)(i)(A)(III) Prohibiting Designated Market Makers From Establishing a New High (Low) Price on the Exchange in a Security the DMM Has a Long (Short) Position During the Last Ten Minutes Prior to the Close of Trading https://regulations.justia.com/regulations/fedreg/2017/05/04/2017-08977.html https://regulations.justia.com/regulations/fedreg/2017/05/04/2017-08977.html Thu, 04 May 2017 00:00:00 -0700 2017-08977 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-05-04/pdf/2017-08977.pdf Notice - Submission for OMB Review; Comment Request https://regulations.justia.com/regulations/fedreg/2017/05/04/2017-08971.html https://regulations.justia.com/regulations/fedreg/2017/05/04/2017-08971.html Thu, 04 May 2017 00:00:00 -0700 2017-08971 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-05-04/pdf/2017-08971.pdf Notice - Joint Industry Plan; Notice of Filing and Immediate Effectiveness of the Fourteenth 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/2017/05/04/2017-08970.html https://regulations.justia.com/regulations/fedreg/2017/05/04/2017-08970.html Thu, 04 May 2017 00:00:00 -0700 2017-08970 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-05-04/pdf/2017-08970.pdf