<![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/2017/05/22?registers=between Tue, 22 Jul 2025 15:45:55 -0700 Tue, 22 Jul 2025 15:45:55 -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/2017/05/22?registers=between Notice - Solar Capital Ltd., et al. https://regulations.justia.com/regulations/fedreg/2017/05/22/2017-10355.html https://regulations.justia.com/regulations/fedreg/2017/05/22/2017-10355.html Mon, 22 May 2017 00:00:00 -0700 2017-10355 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-05-22/pdf/2017-10355.pdf Notice - Self-Regulatory Organizations; Miami International Securities Exchange LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend MIAX Options Rules 301, Just and Equitable Principles of Trade; Rule 308, Exemptions From Position Limits; Rule 404, Series of Option Contracts Open for Trading; Rule 514, Priority of Quotes and Orders; Rule 1325, Telemarketing; and Rule 1400, Definitions https://regulations.justia.com/regulations/fedreg/2017/05/22/2017-10312.html https://regulations.justia.com/regulations/fedreg/2017/05/22/2017-10312.html Mon, 22 May 2017 00:00:00 -0700 2017-10312 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-05-22/pdf/2017-10312.pdf Notice - Self-Regulatory Organizations; Bats EDGX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Rule 11.22 of Bats EDGX Exchange, Inc. 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/2017/05/22/2017-10311.html https://regulations.justia.com/regulations/fedreg/2017/05/22/2017-10311.html Mon, 22 May 2017 00:00:00 -0700 2017-10311 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-05-22/pdf/2017-10311.pdf Notice - Self-Regulatory Organizations; Bats BYX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Rule 11.27 of Bats BYX Exchange, Inc. 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/2017/05/22/2017-10310.html https://regulations.justia.com/regulations/fedreg/2017/05/22/2017-10310.html Mon, 22 May 2017 00:00:00 -0700 2017-10310 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-05-22/pdf/2017-10310.pdf Notice - Self-Regulatory Organizations; Bats BZX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Rule 11.27 of Bats BZX Exchange, Inc. 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/2017/05/22/2017-10309.html https://regulations.justia.com/regulations/fedreg/2017/05/22/2017-10309.html Mon, 22 May 2017 00:00:00 -0700 2017-10309 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-05-22/pdf/2017-10309.pdf Notice - Self-Regulatory Organizations; Bats EDGA Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Rule 11.21 of Bats EDGA Exchange, Inc. 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/2017/05/22/2017-10308.html https://regulations.justia.com/regulations/fedreg/2017/05/22/2017-10308.html Mon, 22 May 2017 00:00:00 -0700 2017-10308 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-05-22/pdf/2017-10308.pdf Notice - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing of a Proposed Rule Change To Amend FINRA Rule 7730 To Reduce the Delay Period for the Historic TRACE Data Sets Relating to Corporate and Agency Debt Securities https://regulations.justia.com/regulations/fedreg/2017/05/22/2017-10307.html https://regulations.justia.com/regulations/fedreg/2017/05/22/2017-10307.html Mon, 22 May 2017 00:00:00 -0700 2017-10307 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-05-22/pdf/2017-10307.pdf Notice - Self-Regulatory Organizations; Nasdaq ISE, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the Schedule of Fees To Modify Fees and Rebates for PIM Orders https://regulations.justia.com/regulations/fedreg/2017/05/22/2017-10306.html https://regulations.justia.com/regulations/fedreg/2017/05/22/2017-10306.html Mon, 22 May 2017 00:00:00 -0700 2017-10306 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-05-22/pdf/2017-10306.pdf Notice - Self-Regulatory Organizations; Bats BZX Exchange, Inc.; Notice of Filing of a Proposed Rule Change To Introduce Bats Market Close, a Closing Match Process for Non-BZX Listed Securities Under New Exchange Rule 11.28 https://regulations.justia.com/regulations/fedreg/2017/05/22/2017-10305.html https://regulations.justia.com/regulations/fedreg/2017/05/22/2017-10305.html Mon, 22 May 2017 00:00:00 -0700 2017-10305 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-05-22/pdf/2017-10305.pdf Notice - Self-Regulatory Organizations; NYSE MKT LLC; Order Approving Proposed Rule Change Amending Rules 7.29E and 1.1E To Provide for a Delay Mechanism https://regulations.justia.com/regulations/fedreg/2017/05/22/2017-10304.html https://regulations.justia.com/regulations/fedreg/2017/05/22/2017-10304.html Mon, 22 May 2017 00:00:00 -0700 2017-10304 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-05-22/pdf/2017-10304.pdf Notice - Self-Regulatory Organizations; Municipal Securities Rulemaking Board; Order Granting Approval of a Proposed Rule Change Consisting of Proposed Amendments to Rule G-3, on Professional Qualification Requirements, and Rule G-8, on Books and Records, To Establish Continuing Education Requirements for Municipal Advisors and Accompanying Recordkeeping Requirements https://regulations.justia.com/regulations/fedreg/2017/05/22/2017-10303.html https://regulations.justia.com/regulations/fedreg/2017/05/22/2017-10303.html Mon, 22 May 2017 00:00:00 -0700 2017-10303 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-05-22/pdf/2017-10303.pdf Notice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending the NYSE Arca Equities Schedule of Fees and Charges for Exchange Services, and the NYSE Arca Schedule of Options Fees and Charges To Adopt the Fees for Industry Members Related to the National Market System Plan Governing the Consolidated Audit Trail https://regulations.justia.com/regulations/fedreg/2017/05/22/2017-10302.html https://regulations.justia.com/regulations/fedreg/2017/05/22/2017-10302.html Mon, 22 May 2017 00:00:00 -0700 2017-10302 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-05-22/pdf/2017-10302.pdf Notice - Self-Regulatory Organizations; NASDAQ BX, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the Exchange's Fees at Rule 7004 and Chapter XV, Section 11 https://regulations.justia.com/regulations/fedreg/2017/05/22/2017-10301.html https://regulations.justia.com/regulations/fedreg/2017/05/22/2017-10301.html Mon, 22 May 2017 00:00:00 -0700 2017-10301 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-05-22/pdf/2017-10301.pdf Notice - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the Exchange's Transaction Fees at Rule 7004 and Chapter XV, Section 14 https://regulations.justia.com/regulations/fedreg/2017/05/22/2017-10300.html https://regulations.justia.com/regulations/fedreg/2017/05/22/2017-10300.html Mon, 22 May 2017 00:00:00 -0700 2017-10300 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-05-22/pdf/2017-10300.pdf Notice - Self-Regulatory Organizations; NYSE MKT LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Rule 994NY, Broadcast Order Liquidity Delivery Mechanism https://regulations.justia.com/regulations/fedreg/2017/05/22/2017-10299.html https://regulations.justia.com/regulations/fedreg/2017/05/22/2017-10299.html Mon, 22 May 2017 00:00:00 -0700 2017-10299 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-05-22/pdf/2017-10299.pdf Notice - Self-Regulatory Organizations; NYSE MKT LLC; Notice of Filing and Immediate Effectiveness of Proposed Change Amending the NYSE MKT Equities Price List and the NYSE Amex Options Fee Schedule https://regulations.justia.com/regulations/fedreg/2017/05/22/2017-10298.html https://regulations.justia.com/regulations/fedreg/2017/05/22/2017-10298.html Mon, 22 May 2017 00:00:00 -0700 2017-10298 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-05-22/pdf/2017-10298.pdf Notice - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending the NYSE Price List https://regulations.justia.com/regulations/fedreg/2017/05/22/2017-10297.html https://regulations.justia.com/regulations/fedreg/2017/05/22/2017-10297.html Mon, 22 May 2017 00:00:00 -0700 2017-10297 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-05-22/pdf/2017-10297.pdf Notice - Self-Regulatory Organizations: Investors Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Establish Fees for Industry Members Related to the National Market System Plan Governing the Consolidated Audit Trail https://regulations.justia.com/regulations/fedreg/2017/05/22/2017-10296.html https://regulations.justia.com/regulations/fedreg/2017/05/22/2017-10296.html Mon, 22 May 2017 00:00:00 -0700 2017-10296 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-05-22/pdf/2017-10296.pdf Notice - Self-Regulatory Organizations; Chicago Stock Exchange, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Its Schedule of Fees and Assessments To Adopt a Fee Schedule To Establish Fees for Industry Members Related to the National Market System Plan Governing the Consolidated Audit Trail https://regulations.justia.com/regulations/fedreg/2017/05/22/2017-10295.html https://regulations.justia.com/regulations/fedreg/2017/05/22/2017-10295.html Mon, 22 May 2017 00:00:00 -0700 2017-10295 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-05-22/pdf/2017-10295.pdf