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/2017/07/13?limit=200&registers=between&mode=atom 2024-04-19T13:14:08-07:00 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/2017/07/13/2017-14671.html Notice - Self-Regulatory Organizations; The Depository Trust Company; National Securities Clearing Corporation; Fixed Income Clearing Corporation; Order Approving Proposed Rule Changes, as Modified by Amendments No. 1, To Adopt the Clearing Agency Policy on Capital Requirements and the Clearing Agency Capital Replenishment Plan 2017-07-13T00:00:00-07:00 2017-07-13T00:00:00-07:00 2017-14671 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-07-13/pdf/2017-14671.pdf https://regulations.justia.com/regulations/fedreg/2017/07/13/2017-14670.html Notice - Self-Regulatory Organizations; New York Stock Exchange LLC; NYSE MKT LLC; Order Granting Approval of Proposed Rule Changes, as Modified by Amendment No. 1, Amending NYSE Rule 36 and NYSE MKT Rule 36-Equities To Permit Exchange Floor Brokers To Use Non-Exchange Provided Telephones on the Floor 2017-07-13T00:00:00-07:00 2017-07-13T00:00:00-07:00 2017-14670 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-07-13/pdf/2017-14670.pdf https://regulations.justia.com/regulations/fedreg/2017/07/13/2017-14669.html Notice - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing of Proposed Rule Change To Amend the Listed Company Manual To Adopt Initial and Continued Listing Standards for Subscription Receipts 2017-07-13T00:00:00-07:00 2017-07-13T00:00:00-07:00 2017-14669 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-07-13/pdf/2017-14669.pdf https://regulations.justia.com/regulations/fedreg/2017/07/13/2017-14668.html Notice - Self-Regulatory Organizations; The Depository Trust Company; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Modify the DTC Settlement Service Guide in Order To Enhance the Memo Segregation Function in Connection With Deliveries Processed at DTC Related to the Direct Registration System 2017-07-13T00:00:00-07:00 2017-07-13T00:00:00-07:00 2017-14668 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-07-13/pdf/2017-14668.pdf https://regulations.justia.com/regulations/fedreg/2017/07/13/2017-14667.html Notice - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Order Approving Proposed Rule Change To Adopt Consolidated Registration Rules, Restructure the Representative-Level Qualification Examination Program, Allow Permissive Registration, Establish Exam Waiver Process for Persons Working for Financial Services Affiliate of Member, and Amend the Continuing Education Requirements 2017-07-13T00:00:00-07:00 2017-07-13T00:00:00-07:00 2017-14667 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-07-13/pdf/2017-14667.pdf https://regulations.justia.com/regulations/fedreg/2017/07/13/2017-14666.html Notice - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Order Approving 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 2017-07-13T00:00:00-07:00 2017-07-13T00:00:00-07:00 2017-14666 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-07-13/pdf/2017-14666.pdf https://regulations.justia.com/regulations/fedreg/2017/07/13/2017-14665.html Notice - Self-Regulatory Organizations; The Depository Trust Company; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Require Agents To Use the Automated Tender Offer Program To Process Consent Solicitations for Book-Entry Only Securities 2017-07-13T00:00:00-07:00 2017-07-13T00:00:00-07:00 2017-14665 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-07-13/pdf/2017-14665.pdf https://regulations.justia.com/regulations/fedreg/2017/07/13/2017-14664.html Notice - Self-Regulatory Organizations; Nasdaq ISE, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Establish Ports and Gateways That Members Use To Connect to the Exchange 2017-07-13T00:00:00-07:00 2017-07-13T00:00:00-07:00 2017-14664 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-07-13/pdf/2017-14664.pdf https://regulations.justia.com/regulations/fedreg/2017/07/13/2017-14663.html Notice - Self-Regulatory Organizations; Nasdaq ISE, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Extend the SPY Pilot Program 2017-07-13T00:00:00-07:00 2017-07-13T00:00:00-07:00 2017-14663 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-07-13/pdf/2017-14663.pdf https://regulations.justia.com/regulations/fedreg/2017/07/13/2017-14662.html Notice - Self-Regulatory Organizations; NASDAQ BX, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Extend the SPY Pilot Program 2017-07-13T00:00:00-07:00 2017-07-13T00:00:00-07:00 2017-14662 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-07-13/pdf/2017-14662.pdf https://regulations.justia.com/regulations/fedreg/2017/07/13/2017-14661.html Notice - Self-Regulatory Organizations; BOX Options Exchange LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend IM-3120-2 to Rule 3120 To Extend the Pilot Program That Eliminated the Position Limits for Options on SPDR S&P 500 ETF (“SPY”) (“SPY Pilot Program”) 2017-07-13T00:00:00-07:00 2017-07-13T00:00:00-07:00 2017-14661 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-07-13/pdf/2017-14661.pdf https://regulations.justia.com/regulations/fedreg/2017/07/13/2017-14660.html Notice - Self-Regulatory Organizations; NASDAQ PHLX LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Extend the SPY Pilot Program 2017-07-13T00:00:00-07:00 2017-07-13T00:00:00-07:00 2017-14660 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-07-13/pdf/2017-14660.pdf https://regulations.justia.com/regulations/fedreg/2017/07/13/2017-14659.html Notice - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Extend the SPY Pilot Program 2017-07-13T00:00:00-07:00 2017-07-13T00:00:00-07:00 2017-14659 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-07-13/pdf/2017-14659.pdf