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?limit=200&registers=between&min-day=1&max-day=31&mode=atom 2020-11-28T01:35:06-08:00 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/2017/07/31/2017-16013.html Notice - Capital Southwest Corporation 2017-07-31T00:00:00-07:00 2017-07-31T00:00:00-07:00 2017-16013 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-07-31/pdf/2017-16013.pdf https://regulations.justia.com/regulations/fedreg/2017/07/31/2017-16000.html Notice - Consolidated Tape Association; Notice of Filing and Immediate Effectiveness of the Twenty-Eight Substantive Amendment to the Second Restatement of the CTA Plan and the Twentieth Amendment to the Restated CQ Plan 2017-07-31T00:00:00-07:00 2017-07-31T00:00:00-07:00 2017-16000 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-07-31/pdf/2017-16000.pdf https://regulations.justia.com/regulations/fedreg/2017/07/31/2017-15999.html Notice - Joint Industry Plan; Notice of Filing and Immediate Effectiveness of the Thirty-Ninth Amendment to the Joint Self-Regulatory Organization Plan Governing the Collection, Consolidation and Dissemination of Quotation and Transaction Information for Nasdaq-Listed Securities Traded on Exchanges on an Unlisted Trading Privileges Basis 2017-07-31T00:00:00-07:00 2017-07-31T00:00:00-07:00 2017-15999 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-07-31/pdf/2017-15999.pdf https://regulations.justia.com/regulations/fedreg/2017/07/31/2017-15996.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 Bats BZX Exchange, Inc. 2017-07-31T00:00:00-07:00 2017-07-31T00:00:00-07:00 2017-15996 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-07-31/pdf/2017-15996.pdf https://regulations.justia.com/regulations/fedreg/2017/07/31/2017-15995.html Notice - Self-Regulatory Organizations; Nasdaq MRX, LLC; Order Approving Proposed Rule Change, as Modified by Amendment No. 2, To Amend the Exchange Opening Process 2017-07-31T00:00:00-07:00 2017-07-31T00:00:00-07:00 2017-15995 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-07-31/pdf/2017-15995.pdf https://regulations.justia.com/regulations/fedreg/2017/07/31/2017-15994.html Notice - Self-Regulatory Organizations; Nasdaq MRX, LLC; Order Approving Proposed Rule Change To Amend Various Rules in Connection With a System Migration to Nasdaq INET Technology 2017-07-31T00:00:00-07:00 2017-07-31T00:00:00-07:00 2017-15994 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-07-31/pdf/2017-15994.pdf https://regulations.justia.com/regulations/fedreg/2017/07/31/2017-15993.html Notice - Self-Regulatory Organizations; National Securities Clearing Corporation; Notice of Filing of a Proposed Rule Change To Expand the Application of the Family-Issued Securities Charge 2017-07-31T00:00:00-07:00 2017-07-31T00:00:00-07:00 2017-15993 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-07-31/pdf/2017-15993.pdf https://regulations.justia.com/regulations/fedreg/2017/07/31/2017-15992.html Notice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Designation of a Longer Period for Commission Action on Proceedings To Determine Whether To Approve or Disapprove a Proposed Rule Change, as Modified by Amendment No. 2, Relating to the Listing and Trading of Shares of the Bitcoin Investment Trust Under NYSE Arca Equities Rule 8.201 2017-07-31T00:00:00-07:00 2017-07-31T00:00:00-07:00 2017-15992 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-07-31/pdf/2017-15992.pdf https://regulations.justia.com/regulations/fedreg/2017/07/28/2017-15910.html Notice - Self-Regulatory Organizations; NYSE Arca, Inc.; Order Approving a Proposed Rule Change To Amend NYSE Arca Equities Rule 13.2, Liability of Corporation 2017-07-28T00:00:00-07:00 2017-07-28T00:00:00-07:00 2017-15910 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-07-28/pdf/2017-15910.pdf https://regulations.justia.com/regulations/fedreg/2017/07/28/2017-15909.html Notice - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing of a Proposed Rule Change Relating to the Definition of Non-Public Arbitrator 2017-07-28T00:00:00-07:00 2017-07-28T00:00:00-07:00 2017-15909 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-07-28/pdf/2017-15909.pdf https://regulations.justia.com/regulations/fedreg/2017/07/28/2017-15908.html Notice - Self-Regulatory Organizations; Investors Exchange LLC; Notice of Filing of Amendment No. 3 and Order Granting Accelerated Approval of Proposed Rule Change, as Modified by Amendment No. 3, To Modify the Manner in Which the Exchange Opens Trading for Non-IEX-Listed Securities 2017-07-28T00:00:00-07:00 2017-07-28T00:00:00-07:00 2017-15908 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-07-28/pdf/2017-15908.pdf https://regulations.justia.com/regulations/fedreg/2017/07/28/2017-15907.html Notice - Self-Regulatory Organizations; The Depository Trust Company; National Securities Clearing Corporation; Fixed Income Clearing Corporation; Notice of Filing Amendment No. 2, Notice of Filing Amendment No. 3, and Order Instituting Proceedings To Determine Whether To Approve or Disapprove Proposed Rule Changes, as Previously Modified by Amendment No. 1, To Adopt the Clearing Agency Liquidity Risk Management Framework 2017-07-28T00:00:00-07:00 2017-07-28T00:00:00-07:00 2017-15907 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-07-28/pdf/2017-15907.pdf https://regulations.justia.com/regulations/fedreg/2017/07/28/2017-15906.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 Rules 404, 506, 806, and 1701 2017-07-28T00:00:00-07:00 2017-07-28T00:00:00-07:00 2017-15906 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-07-28/pdf/2017-15906.pdf https://regulations.justia.com/regulations/fedreg/2017/07/28/2017-15905.html Notice - Self-Regulatory Organizations; The Depository Trust Company; Fixed Income Clearing Corporation; National Securities Clearing Corporation; Notice of Filing Amendment No. 1 and Order Instituting Proceedings to Determine Whether to Approve or Disapprove Proposed Rule Changes to Adopt the Clearing Agency Stress Testing Framework (Market Risk) 2017-07-28T00:00:00-07:00 2017-07-28T00:00:00-07:00 2017-15905 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-07-28/pdf/2017-15905.pdf https://regulations.justia.com/regulations/fedreg/2017/07/28/2017-15904.html Notice - Self-Regulatory Organizations; Bats BZX Exchange, Inc.; Notice of Filing of a Proposed Rule Change to Rule 14.11(c), Index Fund Shares, To List and Trade Shares of the Aptus Fortified Value ETF, a Series of ETF Series Solutions 2017-07-28T00:00:00-07:00 2017-07-28T00:00:00-07:00 2017-15904 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-07-28/pdf/2017-15904.pdf https://regulations.justia.com/regulations/fedreg/2017/07/28/2017-15862.html Rule - Adoption of Updated EDGAR Filer Manual 2017-07-28T00:00:00-07:00 2017-07-28T00:00:00-07:00 2017-15862 Rule https://www.gpo.gov/fdsys/pkg/FR-2017-07-28/pdf/2017-15862.pdf https://regulations.justia.com/regulations/fedreg/2017/07/28/2017-15718.html Notice - Public Company Accounting Oversight Board; Notice of Filing of Proposed Rules on the Auditor's Report on an Audit of Financial Statements When the Auditor Expresses an Unqualified Opinion, and Departures From Unqualified Opinions and Other Reporting Circumstances, and Related Amendments to Auditing Standards 2017-07-28T00:00:00-07:00 2017-07-28T00:00:00-07:00 2017-15718 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-07-28/pdf/2017-15718.pdf https://regulations.justia.com/regulations/fedreg/2017/07/27/2017-15779.html Notice - Submission for OMB Review; Comment Request 2017-07-27T00:00:00-07:00 2017-07-27T00:00:00-07:00 2017-15779 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-07-27/pdf/2017-15779.pdf https://regulations.justia.com/regulations/fedreg/2017/07/27/2017-15775.html Notice - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing of Proposed Rule Change To Amend Exchange Rules 4702 and 4754 To Enhance the Nasdaq Closing Cross 2017-07-27T00:00:00-07:00 2017-07-27T00:00:00-07:00 2017-15775 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-07-27/pdf/2017-15775.pdf https://regulations.justia.com/regulations/fedreg/2017/07/27/2017-15774.html Notice - Self-Regulatory Organizations; ICE Clear Credit LLC; Order Approving Proposed Rule Change Relating to ICC's End-of-Day Price Discovery Policies and Procedures 2017-07-27T00:00:00-07:00 2017-07-27T00:00:00-07:00 2017-15774 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-07-27/pdf/2017-15774.pdf https://regulations.justia.com/regulations/fedreg/2017/07/27/2017-15773.html Notice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to a Change in the Size of a Creation Unit Applicable to Shares of the PIMCO Low Duration Active Exchange-Traded Fund 2017-07-27T00:00:00-07:00 2017-07-27T00:00:00-07:00 2017-15773 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-07-27/pdf/2017-15773.pdf https://regulations.justia.com/regulations/fedreg/2017/07/27/2017-15772.html Notice - Self-Regulatory Organizations; MIAX PEARL, LLC ; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Rule 404, Series of Option Contracts Open for Trading 2017-07-27T00:00:00-07:00 2017-07-27T00:00:00-07:00 2017-15772 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-07-27/pdf/2017-15772.pdf https://regulations.justia.com/regulations/fedreg/2017/07/27/2017-15771.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 404, Series of Option Contracts Open for Trading 2017-07-27T00:00:00-07:00 2017-07-27T00:00:00-07:00 2017-15771 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-07-27/pdf/2017-15771.pdf https://regulations.justia.com/regulations/fedreg/2017/07/27/2017-15768.html Notice - Joint Industry Plan; Order of Summary Abrogation of Amendment No. 2 to the National Market System Plan Governing the Consolidated Audit Trail by 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., Financial Industry Regulatory Authority, Inc., Investors' Exchange LLC, Miami International Securities Exchange, LLC, MIAX PEARL, LLC, NASDAQ BX, Inc., Nasdaq GEMX, LLC, Nasdaq ISE, LLC, Nasdaq MRX, LLC, NASDAQ PHLX LLC, The NASDAQ Stock Market LLC, New York Stock Exchange LLC, NYSE Arca, Inc., NYSE MKT LLC and NYSE National, Inc. 2017-07-27T00:00:00-07:00 2017-07-27T00:00:00-07:00 2017-15768 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-07-27/pdf/2017-15768.pdf https://regulations.justia.com/regulations/fedreg/2017/07/26/2017-15712.html Notice - Point Bridge Capital, LLC, et al. 2017-07-26T00:00:00-07:00 2017-07-26T00:00:00-07:00 2017-15712 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-07-26/pdf/2017-15712.pdf https://regulations.justia.com/regulations/fedreg/2017/07/26/2017-15637.html Notice - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Qualification Criteria Under the Qualified Market Maker Program at Rule 7014 2017-07-26T00:00:00-07:00 2017-07-26T00:00:00-07:00 2017-15637 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-07-26/pdf/2017-15637.pdf https://regulations.justia.com/regulations/fedreg/2017/07/26/2017-15636.html Notice - Self-Regulatory Organizations; Nasdaq ISE, LLC; Notice of Designation of a Longer Period for Commission Action on a Proposed Rule Change To Adopt Rule 912 2017-07-26T00:00:00-07:00 2017-07-26T00:00:00-07:00 2017-15636 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-07-26/pdf/2017-15636.pdf https://regulations.justia.com/regulations/fedreg/2017/07/26/2017-15635.html Notice - Self-Regulatory Organizations; Nasdaq GEMX, LLC; Notice of Designation of a Longer Period for Commission Action on a Proposed Rule Change To Adopt Rule 912 2017-07-26T00:00:00-07:00 2017-07-26T00:00:00-07:00 2017-15635 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-07-26/pdf/2017-15635.pdf https://regulations.justia.com/regulations/fedreg/2017/07/26/2017-15634.html Notice - Self-Regulatory Organizations; NASDAQ BX, Inc.; Notice of Designation of a Longer Period for Commission Action on a Proposed Rule Change To Adopt Rule 6896 and Chapter IX, Section 9 2017-07-26T00:00:00-07:00 2017-07-26T00:00:00-07:00 2017-15634 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-07-26/pdf/2017-15634.pdf https://regulations.justia.com/regulations/fedreg/2017/07/26/2017-15633.html Notice - Self-Regulatory Organizations; Nasdaq MRX, LLC; Notice of Designation of a Longer Period for Commission Action on a Proposed Rule Change To Adopt Rule 912 2017-07-26T00:00:00-07:00 2017-07-26T00:00:00-07:00 2017-15633 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-07-26/pdf/2017-15633.pdf https://regulations.justia.com/regulations/fedreg/2017/07/26/2017-15632.html Notice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Designation of a Longer Period for Commission Action on Proceedings To Determine Whether To Approve or Disapprove a Proposed Rule Change, as Modified by Amendment No. 3, Relating to the Listing and Trading of Shares of the USCF Canadian Crude Oil Index Fund Under NYSE Arca Equities Rule 8.200 2017-07-26T00:00:00-07:00 2017-07-26T00:00:00-07:00 2017-15632 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-07-26/pdf/2017-15632.pdf https://regulations.justia.com/regulations/fedreg/2017/07/26/2017-15631.html Notice - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Eliminate Non-Regular Way Trading on the Exchange 2017-07-26T00:00:00-07:00 2017-07-26T00:00:00-07:00 2017-15631 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-07-26/pdf/2017-15631.pdf https://regulations.justia.com/regulations/fedreg/2017/07/26/2017-15630.html Notice - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Order Granting Approval of Proposed Rule Change Relating to Disaster Recovery 2017-07-26T00:00:00-07:00 2017-07-26T00:00:00-07:00 2017-15630 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-07-26/pdf/2017-15630.pdf https://regulations.justia.com/regulations/fedreg/2017/07/26/2017-15629.html Notice - Self-Regulatory Organizations; Nasdaq GEMX, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Regarding Market Maker Quotations 2017-07-26T00:00:00-07:00 2017-07-26T00:00:00-07:00 2017-15629 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-07-26/pdf/2017-15629.pdf https://regulations.justia.com/regulations/fedreg/2017/07/25/2017-15628.html Notice - Sunshine Act Meeting 2017-07-25T00:00:00-07:00 2017-07-25T00:00:00-07:00 2017-15628 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-07-25/pdf/2017-15628.pdf https://regulations.justia.com/regulations/fedreg/2017/07/25/2017-15627.html Notice - Sunshine Act Meeting 2017-07-25T00:00:00-07:00 2017-07-25T00:00:00-07:00 2017-15627 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-07-25/pdf/2017-15627.pdf https://regulations.justia.com/regulations/fedreg/2017/07/25/2017-15530.html Notice - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Enhance Anti-Internalization Functionality 2017-07-25T00:00:00-07:00 2017-07-25T00:00:00-07:00 2017-15530 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-07-25/pdf/2017-15530.pdf https://regulations.justia.com/regulations/fedreg/2017/07/25/2017-15529.html Notice - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to Updates for the CBOE Fees Schedule 2017-07-25T00:00:00-07:00 2017-07-25T00:00:00-07:00 2017-15529 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-07-25/pdf/2017-15529.pdf https://regulations.justia.com/regulations/fedreg/2017/07/24/2017-15416.html Notice - Self-Regulatory Organizations; Miami International Securities Exchange, LLC; Notice of Designation of a Longer Period for Commission Action on a Proposed Rule Change To Adopt Exchange Rule 1713 Consolidated Audit Trail-Fee Dispute Resolution 2017-07-24T00:00:00-07:00 2017-07-24T00:00:00-07:00 2017-15416 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-07-24/pdf/2017-15416.pdf https://regulations.justia.com/regulations/fedreg/2017/07/24/2017-15415.html Notice - Self-Regulatory Organizations; Investors Exchange LLC; Notice of Designation of a Longer Period for Commission Action on a Proposed Rule Change To Adopt Rule 15.130 To Establish the Procedures for Resolving Potential Disputes Related to CAT Fees Charged to Industry Members 2017-07-24T00:00:00-07:00 2017-07-24T00:00:00-07:00 2017-15415 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-07-24/pdf/2017-15415.pdf https://regulations.justia.com/regulations/fedreg/2017/07/24/2017-15414.html Notice - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Designation of a Longer Period for Commission Action on a Proposed Rule Change To Adopt Rule 6896 and Chapter IX, Section 9 2017-07-24T00:00:00-07:00 2017-07-24T00:00:00-07:00 2017-15414 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-07-24/pdf/2017-15414.pdf https://regulations.justia.com/regulations/fedreg/2017/07/24/2017-15413.html Notice - Self-Regulatory Organizations; Bats BYX Exchange, Inc.; Notice of Designation of a Longer Period for Commission Action on a Proposed Rule Change To Adopt Rule 4.17, Consolidated Audit Trail-Fee Dispute Resolution 2017-07-24T00:00:00-07:00 2017-07-24T00:00:00-07:00 2017-15413 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-07-24/pdf/2017-15413.pdf https://regulations.justia.com/regulations/fedreg/2017/07/24/2017-15412.html Notice - Self-Regulatory Organizations; Bats BZX Exchange, Inc.; Notice of Designation of a Longer Period for Commission Action on a Proposed Rule Change To Adopt Rule 4.17, Consolidated Audit Trail-Fee Dispute Resolution 2017-07-24T00:00:00-07:00 2017-07-24T00:00:00-07:00 2017-15412 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-07-24/pdf/2017-15412.pdf https://regulations.justia.com/regulations/fedreg/2017/07/24/2017-15411.html Notice - Self-Regulatory Organizations; Bats EDGA Exchange, Inc.; Notice of Designation of a Longer Period for Commission Action on a Proposed Rule Change To Adopt Rule 4.17, Consolidated Audit Trail-Fee Dispute Resolution 2017-07-24T00:00:00-07:00 2017-07-24T00:00:00-07:00 2017-15411 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-07-24/pdf/2017-15411.pdf https://regulations.justia.com/regulations/fedreg/2017/07/24/2017-15410.html Notice - Self-Regulatory Organizations; Bats EDGX Exchange, Inc.; Notice of Designation of a Longer Period for Commission Action on a Proposed Rule Change To Adopt Rule 4.17, Consolidated Audit Trail-Fee Dispute Resolution 2017-07-24T00:00:00-07:00 2017-07-24T00:00:00-07:00 2017-15410 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-07-24/pdf/2017-15410.pdf https://regulations.justia.com/regulations/fedreg/2017/07/24/2017-15409.html Notice - Self-Regulatory Organizations; BOX Options Exchange LLC; Notice of Designation of a Longer Period for Commission Action on a Proposed Rule Change To Adopt Rule 16100 (Consolidated Audit Trail-Fee Dispute Resolution) To Establish the Procedures for Resolving Potential Disputes Related to CAT Fees Charged to Industry Members 2017-07-24T00:00:00-07:00 2017-07-24T00:00:00-07:00 2017-15409 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-07-24/pdf/2017-15409.pdf https://regulations.justia.com/regulations/fedreg/2017/07/24/2017-15408.html Notice - Self-Regulatory Organizations; NASDAQ PHLX LLC; Notice of Designation of a Longer Period for Commission Action on a Proposed Rule Change To Adopt Rule 996A 2017-07-24T00:00:00-07:00 2017-07-24T00:00:00-07:00 2017-15408 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-07-24/pdf/2017-15408.pdf https://regulations.justia.com/regulations/fedreg/2017/07/24/2017-15407.html Notice - Self-Regulatory Organizations; Chicago Stock Exchange, Inc.; Notice of Designation of a Longer Period for Commission Action on a Proposed Rule Change To Adopt Article 23, Rule 13, Consolidated Audit Trail-Fee Dispute Resolution 2017-07-24T00:00:00-07:00 2017-07-24T00:00:00-07:00 2017-15407 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-07-24/pdf/2017-15407.pdf https://regulations.justia.com/regulations/fedreg/2017/07/24/2017-15406.html Notice - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Designation of a Longer Period for Commission Action on a Proposed Rule Change To Adopt Rule 6.97, Consolidated Audit Trail (CAT) Compliance Rule-Fee Dispute Resolution 2017-07-24T00:00:00-07:00 2017-07-24T00:00:00-07:00 2017-15406 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-07-24/pdf/2017-15406.pdf https://regulations.justia.com/regulations/fedreg/2017/07/24/2017-15405.html Notice - Morningstar Funds Trust and Morningstar Investment Management LLC 2017-07-24T00:00:00-07:00 2017-07-24T00:00:00-07:00 2017-15405 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-07-24/pdf/2017-15405.pdf https://regulations.justia.com/regulations/fedreg/2017/07/24/2017-15404.html Notice - Barings LLC, et al. 2017-07-24T00:00:00-07:00 2017-07-24T00:00:00-07:00 2017-15404 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-07-24/pdf/2017-15404.pdf https://regulations.justia.com/regulations/fedreg/2017/07/21/2017-15349.html Notice - Proposed Collection; Comment Request 2017-07-21T00:00:00-07:00 2017-07-21T00:00:00-07:00 2017-15349 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-07-21/pdf/2017-15349.pdf https://regulations.justia.com/regulations/fedreg/2017/07/21/2017-15321.html Notice - Self-Regulatory Organizations; BOX Options Exchange LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the BOX Fee Schedule 2017-07-21T00:00:00-07:00 2017-07-21T00:00:00-07:00 2017-15321 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-07-21/pdf/2017-15321.pdf https://regulations.justia.com/regulations/fedreg/2017/07/21/2017-15320.html Notice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Designation of a Longer Period for Commission Action on Proceedings To Determine Whether To Approve or Disapprove a Proposed Rule Change Relating to the Listing and Trading of Shares of the EtherIndex Ether Trust Under NYSE Arca Equities Rule 8.201 2017-07-21T00:00:00-07:00 2017-07-21T00:00:00-07:00 2017-15320 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-07-21/pdf/2017-15320.pdf https://regulations.justia.com/regulations/fedreg/2017/07/21/2017-15296.html Notice - Proposed Collection; Comment Request 2017-07-21T00:00:00-07:00 2017-07-21T00:00:00-07:00 2017-15296 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-07-21/pdf/2017-15296.pdf https://regulations.justia.com/regulations/fedreg/2017/07/21/2017-15295.html Notice - Submission for OMB Review; Comment Request 2017-07-21T00:00:00-07:00 2017-07-21T00:00:00-07:00 2017-15295 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-07-21/pdf/2017-15295.pdf https://regulations.justia.com/regulations/fedreg/2017/07/21/2017-15294.html Notice - Submission for OMB Review; Comment Request 2017-07-21T00:00:00-07:00 2017-07-21T00:00:00-07:00 2017-15294 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-07-21/pdf/2017-15294.pdf https://regulations.justia.com/regulations/fedreg/2017/07/21/2017-15216.html Proposed Rule - Covered Securities Pursuant to Section 18 of the Securities Act of 1933 2017-07-21T00:00:00-07:00 2017-07-21T00:00:00-07:00 2017-15216 Proposed Rule https://www.gpo.gov/fdsys/pkg/FR-2017-07-21/pdf/2017-15216.pdf https://regulations.justia.com/regulations/fedreg/2017/07/20/2017-15197.html Notice - Self-Regulatory Organizations; Bats BZX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to BZX Rule 14.13, Company Listing Fees, To Amend the Fees Applicable to Securities Listed on the Exchange 2017-07-20T00:00:00-07:00 2017-07-20T00:00:00-07:00 2017-15197 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-07-20/pdf/2017-15197.pdf https://regulations.justia.com/regulations/fedreg/2017/07/20/2017-15196.html Notice - Self-Regulatory Organizations; Nasdaq MRX, LLC; Notice of Designation of a Longer Period for Commission Action on Proposed Rule Change in Connection With a System Migration to Nasdaq INET Technology 2017-07-20T00:00:00-07:00 2017-07-20T00:00:00-07:00 2017-15196 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-07-20/pdf/2017-15196.pdf https://regulations.justia.com/regulations/fedreg/2017/07/20/2017-15195.html Notice - Self-Regulatory Organizations; New York Stock Exchange LLC; NYSE MKT LLC; Order Disapproving Proposed Rule Changes Amending Exchange Rule 104 To Delete Subsection (g)(i)(A)(III), Which Prohibits Designated Market Makers From Engaging in Transactions, During the Last Ten Minutes of Trading Before the Close, That Establish a New High (Low) Price for the Day on the Exchange in an Assigned Security in Which the DMM Has a Long (Short) Position 2017-07-20T00:00:00-07:00 2017-07-20T00:00:00-07:00 2017-15195 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-07-20/pdf/2017-15195.pdf https://regulations.justia.com/regulations/fedreg/2017/07/20/2017-15194.html Notice - Self-Regulatory Organizations: Investors Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Make a Clarifying Amendment to IEX Rule 16.135 2017-07-20T00:00:00-07:00 2017-07-20T00:00:00-07:00 2017-15194 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-07-20/pdf/2017-15194.pdf https://regulations.justia.com/regulations/fedreg/2017/07/20/2017-15193.html Notice - Self-Regulatory Organizations; Nasdaq ISE, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Re-Letter Rulebook Definition 2017-07-20T00:00:00-07:00 2017-07-20T00:00:00-07:00 2017-15193 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-07-20/pdf/2017-15193.pdf https://regulations.justia.com/regulations/fedreg/2017/07/20/2017-15192.html Notice - Self-Regulatory Organizations; Nasdaq GEMX, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Remove Outdated Language in the Exchange's Rulebook and Fee Schedule 2017-07-20T00:00:00-07:00 2017-07-20T00:00:00-07:00 2017-15192 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-07-20/pdf/2017-15192.pdf https://regulations.justia.com/regulations/fedreg/2017/07/20/2017-15191.html Notice - Self-Regulatory Organizations; NYSE MKT LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Rule 7.38E To Specify the Ranking of an Odd Lot Order That Has a Display Price That Is Better Than Its Working Price 2017-07-20T00:00:00-07:00 2017-07-20T00:00:00-07:00 2017-15191 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-07-20/pdf/2017-15191.pdf https://regulations.justia.com/regulations/fedreg/2017/07/20/2017-15190.html Notice - Self-Regulatory Organizations; Bats BZX Exchange, Inc.; Bats EDGX Exchange, Inc.; BOX Options Exchange LLC; C2 Options Exchange, Incorporated; Chicago Board Options Exchange, Incorporated; Financial Industry Regulatory Authority, Inc.; International Securities Exchange, LLC; Investors Exchange 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; Notice of Designation of Longer Period for Commission Action on Proposed Rule Changes To Eliminate Requirements That Will Be Duplicative of CAT 2017-07-20T00:00:00-07:00 2017-07-20T00:00:00-07:00 2017-15190 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-07-20/pdf/2017-15190.pdf https://regulations.justia.com/regulations/fedreg/2017/07/20/2017-15189.html Notice - Self-Regulatory Organizations; Nasdaq ISE, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the Schedule of Fees in Connection With the ISE System Migration 2017-07-20T00:00:00-07:00 2017-07-20T00:00:00-07:00 2017-15189 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-07-20/pdf/2017-15189.pdf https://regulations.justia.com/regulations/fedreg/2017/07/19/2017-15169.html Notice - Northern Lights Fund Trust and Toews Corporation 2017-07-19T00:00:00-07:00 2017-07-19T00:00:00-07:00 2017-15169 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-07-19/pdf/2017-15169.pdf https://regulations.justia.com/regulations/fedreg/2017/07/19/2017-15102.html Notice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend NYSE Arca Equities Rule 7.38 To Specify the Ranking of an Odd Lot Order That Has a Display Price That Is Better Than Its Working Price 2017-07-19T00:00:00-07:00 2017-07-19T00:00:00-07:00 2017-15102 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-07-19/pdf/2017-15102.pdf https://regulations.justia.com/regulations/fedreg/2017/07/19/2017-15101.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 2017-07-19T00:00:00-07:00 2017-07-19T00:00:00-07:00 2017-15101 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-07-19/pdf/2017-15101.pdf https://regulations.justia.com/regulations/fedreg/2017/07/19/2017-15100.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 FINRA Rules 2017-07-19T00:00:00-07:00 2017-07-19T00:00:00-07:00 2017-15100 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-07-19/pdf/2017-15100.pdf https://regulations.justia.com/regulations/fedreg/2017/07/19/2017-15099.html Notice - Self-Regulatory Organizations; NASDAQ BX, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Rule 7018 2017-07-19T00:00:00-07:00 2017-07-19T00:00:00-07:00 2017-15099 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-07-19/pdf/2017-15099.pdf https://regulations.justia.com/regulations/fedreg/2017/07/19/2017-15098.html Notice - Self-Regulatory Organizations; Bats EDGX Exchange, Inc.; Notice of Filing of a Proposed Rule Change To Adopt New Rules That Describe the Trading of Complex Orders on the Exchange for the Exchange's Equity Options Platform 2017-07-19T00:00:00-07:00 2017-07-19T00:00:00-07:00 2017-15098 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-07-19/pdf/2017-15098.pdf https://regulations.justia.com/regulations/fedreg/2017/07/19/2017-15097.html Notice - Self-Regulatory Organizations; Nasdaq GEMX, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the Schedule of Fees To Assess Connectivity Fees 2017-07-19T00:00:00-07:00 2017-07-19T00:00:00-07:00 2017-15097 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-07-19/pdf/2017-15097.pdf https://regulations.justia.com/regulations/fedreg/2017/07/18/2017-15104.html Notice - Sunshine Act Meeting 2017-07-18T00:00:00-07:00 2017-07-18T00:00:00-07:00 2017-15104 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-07-18/pdf/2017-15104.pdf https://regulations.justia.com/regulations/fedreg/2017/07/18/2017-14987.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 To Adopt a New Pricing Tier, Tape A and Tape C Tier 2017-07-18T00:00:00-07:00 2017-07-18T00:00:00-07:00 2017-14987 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-07-18/pdf/2017-14987.pdf https://regulations.justia.com/regulations/fedreg/2017/07/18/2017-14986.html Notice - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Increase the Trading Rights Fee 2017-07-18T00:00:00-07:00 2017-07-18T00:00:00-07:00 2017-14986 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-07-18/pdf/2017-14986.pdf https://regulations.justia.com/regulations/fedreg/2017/07/18/2017-14985.html Notice - Self-Regulatory Organizations; ICE Clear Credit LLC; Notice of Filing of Proposed Rule Change, Security-Based Swap Submission, or Advance Notice Relating to ICC's Liquidity Risk Management Framework and ICC's Stress Testing Framework 2017-07-18T00:00:00-07:00 2017-07-18T00:00:00-07:00 2017-14985 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-07-18/pdf/2017-14985.pdf https://regulations.justia.com/regulations/fedreg/2017/07/18/2017-14984.html Notice - Self-Regulatory Organizations; Miami International Securities Exchange LLC; Order Granting Approval of a Proposed Rule Change To Amend MIAX Options Rules 515, Execution of Orders and Quotes; 515A, MIAX Price Improvement Mechanism (“PRIME”) and PRIME Solicitation Mechanism; and 518, Complex Orders 2017-07-18T00:00:00-07:00 2017-07-18T00:00:00-07:00 2017-14984 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-07-18/pdf/2017-14984.pdf https://regulations.justia.com/regulations/fedreg/2017/07/18/2017-14983.html Notice - Self-Regulatory Organizations; NYSE MKT LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Commentary .07 To Rule 904 to Extend the Pilot Program That Eliminated the Position Limits for Options on SPDR S&P 500 ETF 2017-07-18T00:00:00-07:00 2017-07-18T00:00:00-07:00 2017-14983 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-07-18/pdf/2017-14983.pdf https://regulations.justia.com/regulations/fedreg/2017/07/18/2017-14982.html Notice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Commentary .06 to Rule 6.8 To Extend the Pilot Program That Eliminated the Position Limits for Options on SPDR S&P 500 ETF 2017-07-18T00:00:00-07:00 2017-07-18T00:00:00-07:00 2017-14982 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-07-18/pdf/2017-14982.pdf https://regulations.justia.com/regulations/fedreg/2017/07/18/2017-14981.html Notice - Self-Regulatory Organizations; Nasdaq ISE, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Eliminate Fees and Rebates for Trades Executed on June 30, 2017 in INET Launch Symbols 2017-07-18T00:00:00-07:00 2017-07-18T00:00:00-07:00 2017-14981 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-07-18/pdf/2017-14981.pdf https://regulations.justia.com/regulations/fedreg/2017/07/18/2017-14970.html Notice - Submission for OMB Review; Comment Request 2017-07-18T00:00:00-07:00 2017-07-18T00:00:00-07:00 2017-14970 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-07-18/pdf/2017-14970.pdf https://regulations.justia.com/regulations/fedreg/2017/07/18/2017-14969.html Notice - Submission for OMB Review; Comment Request 2017-07-18T00:00:00-07:00 2017-07-18T00:00:00-07:00 2017-14969 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-07-18/pdf/2017-14969.pdf https://regulations.justia.com/regulations/fedreg/2017/07/18/2017-14968.html Notice - Proposed Collection; Comment Request 2017-07-18T00:00:00-07:00 2017-07-18T00:00:00-07:00 2017-14968 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-07-18/pdf/2017-14968.pdf https://regulations.justia.com/regulations/fedreg/2017/07/18/2017-14967.html Notice - Proposed Collection; Comment Request 2017-07-18T00:00:00-07:00 2017-07-18T00:00:00-07:00 2017-14967 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-07-18/pdf/2017-14967.pdf https://regulations.justia.com/regulations/fedreg/2017/07/18/2017-14966.html Notice - Proposed Collection; Comment Request 2017-07-18T00:00:00-07:00 2017-07-18T00:00:00-07:00 2017-14966 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-07-18/pdf/2017-14966.pdf https://regulations.justia.com/regulations/fedreg/2017/07/17/2017-14893.html Notice - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Designation of a Longer Period for Commission Action on a Proposed Rule Change, as Modified by Amendment No. 1, Relating to the First Trust Municipal High Income ETF 2017-07-17T00:00:00-07:00 2017-07-17T00:00:00-07:00 2017-14893 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-07-17/pdf/2017-14893.pdf https://regulations.justia.com/regulations/fedreg/2017/07/17/2017-14892.html Notice - Self-Regulatory Organizations; Miami International Securities Exchange, LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change by Miami International Securities Exchange, LLC To Amend MIAX Options Rule 524, Reporting of Matched Trades to Clearing Corporation 2017-07-17T00:00:00-07:00 2017-07-17T00:00:00-07:00 2017-14892 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-07-17/pdf/2017-14892.pdf https://regulations.justia.com/regulations/fedreg/2017/07/17/2017-14891.html Notice - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the Customer and Professional Penny Pilot Options Tier 8 Rebate To Add Liquidity 2017-07-17T00:00:00-07:00 2017-07-17T00:00:00-07:00 2017-14891 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-07-17/pdf/2017-14891.pdf https://regulations.justia.com/regulations/fedreg/2017/07/17/2017-14890.html Notice - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Nasdaq Rule 5705(b) To Provide for the Inclusion of Cash in an Index or Portfolio Underlying a Series of Index Fund Shares 2017-07-17T00:00:00-07:00 2017-07-17T00:00:00-07:00 2017-14890 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-07-17/pdf/2017-14890.pdf https://regulations.justia.com/regulations/fedreg/2017/07/17/2017-14889.html Notice - Self-Regulatory Organizations; MIAX PEARL, LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend MIAX PEARL Rule 524, Reporting of Matched Trades to Clearing Corporation 2017-07-17T00:00:00-07:00 2017-07-17T00:00:00-07:00 2017-14889 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-07-17/pdf/2017-14889.pdf https://regulations.justia.com/regulations/fedreg/2017/07/17/2017-14888.html Notice - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Updating the CBOE Fees Schedule Concerning LVCX Fees 2017-07-17T00:00:00-07:00 2017-07-17T00:00:00-07:00 2017-14888 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-07-17/pdf/2017-14888.pdf https://regulations.justia.com/regulations/fedreg/2017/07/17/2017-14887.html Notice - Self-Regulatory Organizations; NASDAQ PHLX LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Nasdaq Phlx Pricing Schedule, Section IX 2017-07-17T00:00:00-07:00 2017-07-17T00:00:00-07:00 2017-14887 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-07-17/pdf/2017-14887.pdf https://regulations.justia.com/regulations/fedreg/2017/07/17/2017-14886.html Notice - Self-Regulatory Organizations; NASDAQ PHLX LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Regarding Quote Mitigation 2017-07-17T00:00:00-07:00 2017-07-17T00:00:00-07:00 2017-14886 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-07-17/pdf/2017-14886.pdf https://regulations.justia.com/regulations/fedreg/2017/07/17/2017-14885.html Notice - Self-Regulatory Organizations; NYSE MKT LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Exchange Rules To Eliminate ALO and Day ISO Orders and Related Functionality, Provide That All Pegged Orders Would Be Non-Displayed Orders, Change References From “NYSE MKT” to “NYSE American,” and Add the Definition of “NYSE American Marketplace” 2017-07-17T00:00:00-07:00 2017-07-17T00:00:00-07:00 2017-14885 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-07-17/pdf/2017-14885.pdf https://regulations.justia.com/regulations/fedreg/2017/07/17/2017-14884.html Notice - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Order Granting Approval of Proposed Rule Change To Make Available a New End-of-Day TRACE Transaction File 2017-07-17T00:00:00-07:00 2017-07-17T00:00:00-07:00 2017-14884 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-07-17/pdf/2017-14884.pdf https://regulations.justia.com/regulations/fedreg/2017/07/14/2017-14777.html Notice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Designation of a Longer Period for Commission Action on a Proposed Rule Change for a New NYSE Arca Rule 11.6900 and a New NYSE Arca Equities Rule 6.6900 To Establish the Procedures for Resolving Potential Disputes Related to CAT Fees Charged to Industry Members 2017-07-14T00:00:00-07:00 2017-07-14T00:00:00-07:00 2017-14777 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-07-14/pdf/2017-14777.pdf https://regulations.justia.com/regulations/fedreg/2017/07/14/2017-14776.html Notice - Self-Regulatory Organizations; NYSE MKT LLC; Notice of Designation of a Longer Period for Commission Action on a Proposed Rule Change To Adopt Rule 6900 To Establish the Procedures for Resolving Potential Disputes Related to CAT Fees Charged to Industry Members 2017-07-14T00:00:00-07:00 2017-07-14T00:00:00-07:00 2017-14776 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-07-14/pdf/2017-14776.pdf https://regulations.justia.com/regulations/fedreg/2017/07/14/2017-14775.html Notice - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Designation of a Longer Period for Commission Action on a Proposed Rule Change To Adopt Rule 6900 To Establish the Procedures for Resolving Potential Disputes Related to CAT Fees Charged to Industry Members 2017-07-14T00:00:00-07:00 2017-07-14T00:00:00-07:00 2017-14775 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-07-14/pdf/2017-14775.pdf https://regulations.justia.com/regulations/fedreg/2017/07/14/2017-14756.html Notice - Self-Regulatory Organizations; Nasdaq GEMX, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Specify an Exception to the Manner in Which Market Maker Immediate-or-Cancel Orders Will Be Handled 2017-07-14T00:00:00-07:00 2017-07-14T00:00:00-07:00 2017-14756 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-07-14/pdf/2017-14756.pdf https://regulations.justia.com/regulations/fedreg/2017/07/14/2017-14755.html Notice - Self-Regulatory Organizations; Nasdaq ISE, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Priority Customer Taker Fees for Regular Orders in Select Symbols 2017-07-14T00:00:00-07:00 2017-07-14T00:00:00-07:00 2017-14755 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-07-14/pdf/2017-14755.pdf https://regulations.justia.com/regulations/fedreg/2017/07/14/2017-14754.html Notice - Self-Regulatory Organizations; Nasdaq MRX, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Specify an Exception to the Manner in Which Market Maker Immediate-or-Cancel Orders Will Be Handled 2017-07-14T00:00:00-07:00 2017-07-14T00:00:00-07:00 2017-14754 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-07-14/pdf/2017-14754.pdf https://regulations.justia.com/regulations/fedreg/2017/07/14/2017-14753.html Notice - Self-Regulatory Organizations; Nasdaq ISE, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Eliminate Fees and Rebates for Trades in KANG Executed on June 27-30, 2017 2017-07-14T00:00:00-07:00 2017-07-14T00:00:00-07:00 2017-14753 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-07-14/pdf/2017-14753.pdf 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 https://regulations.justia.com/regulations/fedreg/2017/07/12/2017-14574.html Notice - Proposed Collection; Comment Request 2017-07-12T00:00:00-07:00 2017-07-12T00:00:00-07:00 2017-14574 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-07-12/pdf/2017-14574.pdf https://regulations.justia.com/regulations/fedreg/2017/07/12/2017-14573.html Notice - Proposed Collection; Comment Request 2017-07-12T00:00:00-07:00 2017-07-12T00:00:00-07:00 2017-14573 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-07-12/pdf/2017-14573.pdf https://regulations.justia.com/regulations/fedreg/2017/07/12/2017-14572.html Notice - Proposed Collection; Comment Request 2017-07-12T00:00:00-07:00 2017-07-12T00:00:00-07:00 2017-14572 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-07-12/pdf/2017-14572.pdf https://regulations.justia.com/regulations/fedreg/2017/07/12/2017-14571.html Notice - Proposed Collection; Comment Request 2017-07-12T00:00:00-07:00 2017-07-12T00:00:00-07:00 2017-14571 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-07-12/pdf/2017-14571.pdf https://regulations.justia.com/regulations/fedreg/2017/07/12/2017-14570.html Notice - Proposed Collection; Comment Request 2017-07-12T00:00:00-07:00 2017-07-12T00:00:00-07:00 2017-14570 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-07-12/pdf/2017-14570.pdf https://regulations.justia.com/regulations/fedreg/2017/07/12/2017-14569.html Notice - Proposed Collection; Comment Request 2017-07-12T00:00:00-07:00 2017-07-12T00:00:00-07:00 2017-14569 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-07-12/pdf/2017-14569.pdf https://regulations.justia.com/regulations/fedreg/2017/07/12/2017-14568.html Notice - Proposed Collection; Comment Request 2017-07-12T00:00:00-07:00 2017-07-12T00:00:00-07:00 2017-14568 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-07-12/pdf/2017-14568.pdf https://regulations.justia.com/regulations/fedreg/2017/07/12/2017-14567.html Notice - Proposed Collection; Comment Request 2017-07-12T00:00:00-07:00 2017-07-12T00:00:00-07:00 2017-14567 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-07-12/pdf/2017-14567.pdf https://regulations.justia.com/regulations/fedreg/2017/07/12/2017-14558.html Notice - Nationwide Fund Advisors, et al. 2017-07-12T00:00:00-07:00 2017-07-12T00:00:00-07:00 2017-14558 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-07-12/pdf/2017-14558.pdf https://regulations.justia.com/regulations/fedreg/2017/07/12/2017-14557.html Notice - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Rule 6.47A, Automated Improvement Mechanism 2017-07-12T00:00:00-07:00 2017-07-12T00:00:00-07:00 2017-14557 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-07-12/pdf/2017-14557.pdf https://regulations.justia.com/regulations/fedreg/2017/07/12/2017-14556.html Notice - Self-Regulatory Organizations; Bats BZX Exchange, Inc.; Order Granting Approval of a Proposed Rule Change To Amend Rule 20.6, Nullification and Adjustment of Options Transactions Including Obvious Errors, and Rule 20.3, Trading Halts 2017-07-12T00:00:00-07:00 2017-07-12T00:00:00-07:00 2017-14556 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-07-12/pdf/2017-14556.pdf https://regulations.justia.com/regulations/fedreg/2017/07/12/2017-14555.html Notice - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Extend the Credit Option Margin Pilot Program Through July 18, 2018 2017-07-12T00:00:00-07:00 2017-07-12T00:00:00-07:00 2017-14555 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-07-12/pdf/2017-14555.pdf https://regulations.justia.com/regulations/fedreg/2017/07/12/2017-14554.html Notice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Designation of a Longer Period for Commission Action on a Proposed Rule Change To Amend the Generic Listing Criteria Applicable to Index-Linked Securities 2017-07-12T00:00:00-07:00 2017-07-12T00:00:00-07:00 2017-14554 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-07-12/pdf/2017-14554.pdf https://regulations.justia.com/regulations/fedreg/2017/07/11/2017-14560.html Notice - Sunshine Act Meeting 2017-07-11T00:00:00-07:00 2017-07-11T00:00:00-07:00 2017-14560 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-07-11/pdf/2017-14560.pdf https://regulations.justia.com/regulations/fedreg/2017/07/11/2017-14430.html Notice - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing of Amendment No. 2 and Order Granting Accelerated Approval of a Proposed Rule Change, as Modified by Amendment No. 2, to Amend Listing Standards for Special Purpose Acquisition Companies to Modify the Initial and Continued Distribution Requirements 2017-07-11T00:00:00-07:00 2017-07-11T00:00:00-07:00 2017-14430 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-07-11/pdf/2017-14430.pdf https://regulations.justia.com/regulations/fedreg/2017/07/11/2017-14429.html Notice - Self-Regulatory Organizations; Investors Exchange LLC; Notice of Filing of Proposed Rule Change To Introduce a New Market Maker Peg Order 2017-07-11T00:00:00-07:00 2017-07-11T00:00:00-07:00 2017-14429 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-07-11/pdf/2017-14429.pdf https://regulations.justia.com/regulations/fedreg/2017/07/11/2017-14428.html Notice - Self-Regulatory Organizations; NYSE Arca, Inc.; Order Approving a Proposed Rule Change, as Modified by Amendment No. 1 Thereto, To List and Trade Shares of the GraniteShares Gold Trust Under NYSE Arca Equities Rule 8.201 2017-07-11T00:00:00-07:00 2017-07-11T00:00:00-07:00 2017-14428 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-07-11/pdf/2017-14428.pdf https://regulations.justia.com/regulations/fedreg/2017/07/11/2017-14427.html Notice - Self-Regulatory Organizations; ICE Clear Europe Limited; Order Approving Proposed Rule Change Relating to Clearing House Contributions to CDS Default Resources 2017-07-11T00:00:00-07:00 2017-07-11T00:00:00-07:00 2017-14427 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-07-11/pdf/2017-14427.pdf https://regulations.justia.com/regulations/fedreg/2017/07/11/2017-14426.html Notice - Self-Regulatory Organizations; ICE Clear Europe Limited; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to Amendments to the ICE Clear Europe Finance Procedures 2017-07-11T00:00:00-07:00 2017-07-11T00:00:00-07:00 2017-14426 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-07-11/pdf/2017-14426.pdf https://regulations.justia.com/regulations/fedreg/2017/07/11/2017-14425.html Notice - Self-Regulatory Organizations; The Depository Trust Company; Fixed Income Clearing Corporation; National Securities Clearing Corporation; Notice of Filings of Proposed Rule Changes To Adopt the Clearing Agency Model Risk Management Framework 2017-07-11T00:00:00-07:00 2017-07-11T00:00:00-07:00 2017-14425 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-07-11/pdf/2017-14425.pdf https://regulations.justia.com/regulations/fedreg/2017/07/10/2017-14341.html Notice - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing of Amendment No. 1 and Order Granting Accelerated Approval of a Proposed Rule Change, as Modified by Amendment No. 1, To Amend Listing Standards for Special Purpose Acquisition Companies To Change Its Requirements With Respect to the Approval of a Business Combination 2017-07-10T00:00:00-07:00 2017-07-10T00:00:00-07:00 2017-14341 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-07-10/pdf/2017-14341.pdf https://regulations.justia.com/regulations/fedreg/2017/07/10/2017-14340.html Notice - Self-Regulatory Organizations; Bats BZX Exchange, Inc.; Notice of Designation of a Longer Period for Commission Action on Proposed Rule Change To Introduce Bats Market Close, a Closing Match Process for Non-BZX Listed Securities Under New Exchange Rule 11.28 2017-07-10T00:00:00-07:00 2017-07-10T00:00:00-07:00 2017-14340 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-07-10/pdf/2017-14340.pdf https://regulations.justia.com/regulations/fedreg/2017/07/07/2017-14314.html Notice - Vertical Capital Income Fund and Oakline Advisors, LLC 2017-07-07T00:00:00-07:00 2017-07-07T00:00:00-07:00 2017-14314 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-07-07/pdf/2017-14314.pdf https://regulations.justia.com/regulations/fedreg/2017/07/07/2017-14248.html Notice - Self-Regulatory Organizations; Bats BZX Exchange, Inc.; Order Approving a Proposed Rule Change, To Amend BZX Rule 14.11 To Provide for the Inclusion of Cash in an Index Underlying a Series of Index Fund Shares 2017-07-07T00:00:00-07:00 2017-07-07T00:00:00-07:00 2017-14248 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-07-07/pdf/2017-14248.pdf https://regulations.justia.com/regulations/fedreg/2017/07/07/2017-14247.html Notice - Self-Regulatory Organizations; NASDAQ PHLX LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Regarding Delivery of Options Disclosure Documents and Special Statement for Uncovered Options Writers 2017-07-07T00:00:00-07:00 2017-07-07T00:00:00-07:00 2017-14247 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-07-07/pdf/2017-14247.pdf https://regulations.justia.com/regulations/fedreg/2017/07/07/2017-14246.html Notice - Self-Regulatory Organizations; ICE Clear Europe Limited; Order Approving Proposed Rule Change Relating to Amendments to the ICE Clear Europe Limited Articles of Association 2017-07-07T00:00:00-07:00 2017-07-07T00:00:00-07:00 2017-14246 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-07-07/pdf/2017-14246.pdf https://regulations.justia.com/regulations/fedreg/2017/07/07/2017-14245.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.; Financial Industry Regulatory Authority, Inc.; Investors' Exchange LLC; Miami International Securities Exchange, LLC; MIAX PEARL LLC; NASDAQ BX, Inc.; Nasdaq GEMX, LLC; Nasdaq ISE, LLC; Nasdaq MRX, LLC; NASDAQ PHLX LLC; The NASDAQ Stock Market LLC; New York Stock Exchange LLC; NYSE Arca, Inc. and NYSE MKT LLC; Suspension of and Order Instituting Proceedings To Determine Whether To Approve or Disapprove Proposed Rule Changes To Establish Fees for Industry Members To Fund the Consolidated Audit Trail 2017-07-07T00:00:00-07:00 2017-07-07T00:00:00-07:00 2017-14245 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-07-07/pdf/2017-14245.pdf https://regulations.justia.com/regulations/fedreg/2017/07/07/2017-14244.html Notice - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Withdrawal of a Proposed Rule Change Related to Unusual Market Conditions and the Duty To Systemize Non-Electronic Orders Prior to Representation 2017-07-07T00:00:00-07:00 2017-07-07T00:00:00-07:00 2017-14244 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-07-07/pdf/2017-14244.pdf https://regulations.justia.com/regulations/fedreg/2017/07/07/2017-14243.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 Concerning the Options Regulatory Fee 2017-07-07T00:00:00-07:00 2017-07-07T00:00:00-07:00 2017-14243 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-07-07/pdf/2017-14243.pdf https://regulations.justia.com/regulations/fedreg/2017/07/07/2017-14242.html Notice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing of Proposed Rule Change to Facilitate the Listing and Trading of Certain Series of Investment Company Units Listed Pursuant to NYSE Arca Equities Rule 5.2(j)(3) 2017-07-07T00:00:00-07:00 2017-07-07T00:00:00-07:00 2017-14242 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-07-07/pdf/2017-14242.pdf https://regulations.justia.com/regulations/fedreg/2017/07/07/2017-14241.html Notice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Specify in Exchange Rules the Exchange's Primary and Secondary Sources of Data Feeds From NYSE MKT LLC 2017-07-07T00:00:00-07:00 2017-07-07T00:00:00-07:00 2017-14241 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-07-07/pdf/2017-14241.pdf https://regulations.justia.com/regulations/fedreg/2017/07/07/2017-14240.html Notice - Self-Regulatory Organizations; Municipal Securities Rulemaking Board; Notice of Filing of a Proposed Rule Change To Amend MSRB Rule G-21(e), on Municipal Fund Security Product Advertisements 2017-07-07T00:00:00-07:00 2017-07-07T00:00:00-07:00 2017-14240 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-07-07/pdf/2017-14240.pdf https://regulations.justia.com/regulations/fedreg/2017/07/06/2017-14239.html Notice - Self-Regulatory Organizations; LCH SA; Order Approving Proposed Rule Change, as Amended by Amendment No. 1 Thereto, To Add Rules Related to the Clearing of CDX.NA.HY CDS 2017-07-06T00:00:00-07:00 2017-07-06T00:00:00-07:00 2017-14239 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-07-06/pdf/2017-14239.pdf https://regulations.justia.com/regulations/fedreg/2017/07/06/2017-14199.html Notice - Joint Industry Plan; Notice of Filing and Immediate Effectiveness of Amendment No. 2 to the National Market System Plan Governing the Consolidated Audit Trail by 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., Financial Industry Regulatory Authority, Inc., Investors' Exchange LLC, Miami International Securities Exchange, LLC, MIAX PEARL, LLC, NASDAQ BX, Inc., Nasdaq GEMX, LLC, Nasdaq ISE, LLC, Nasdaq MRX, LLC, NASDAQ PHLX LLC, The NASDAQ Stock Market LLC, New York Stock Exchange LLC, NYSE Arca, Inc., NYSE MKT LLC and NYSE National, Inc.; Correction 2017-07-06T00:00:00-07:00 2017-07-06T00:00:00-07:00 2017-14199 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-07-06/pdf/2017-14199.pdf https://regulations.justia.com/regulations/fedreg/2017/07/06/2017-14195.html Notice - Notice of Applications for Deregistration Under Section 8(f) of the Investment Company Act of 1940 2017-07-06T00:00:00-07:00 2017-07-06T00:00:00-07:00 2017-14195 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-07-06/pdf/2017-14195.pdf https://regulations.justia.com/regulations/fedreg/2017/07/06/2017-14187.html Notice - Self-Regulatory Organizations; The Options Clearing Corporation; Notice of Filing of Advance Notice of and No Objection to The Options Clearing Corporation's Proposal To Enter Into a New Credit Facility Agreement 2017-07-06T00:00:00-07:00 2017-07-06T00:00:00-07:00 2017-14187 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-07-06/pdf/2017-14187.pdf https://regulations.justia.com/regulations/fedreg/2017/07/06/2017-14145.html Notice - Self-Regulatory Organizations; Fixed Income Clearing Corporation; Notice of No Objection to Advance Notice Filing To Implement the Capped Contingency Liquidity Facility in the Government Securities Division Rulebook 2017-07-06T00:00:00-07:00 2017-07-06T00:00:00-07:00 2017-14145 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-07-06/pdf/2017-14145.pdf https://regulations.justia.com/regulations/fedreg/2017/07/06/2017-14144.html Notice - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing of a Proposed Rule Change To Adopt FINRA Rule 6898 (Consolidated Audit Trail-Fee Dispute Resolution) 2017-07-06T00:00:00-07:00 2017-07-06T00:00:00-07:00 2017-14144 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-07-06/pdf/2017-14144.pdf https://regulations.justia.com/regulations/fedreg/2017/07/06/2017-14143.html Notice - Self-Regulatory Organizations; Investors Exchange LLC; Notice of Designation of a Longer Period for Commission Action on a Proposed Rule Change To Modify the Manner in Which the Exchange Opens Trading for Non-IEX-Listed Securities 2017-07-06T00:00:00-07:00 2017-07-06T00:00:00-07:00 2017-14143 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-07-06/pdf/2017-14143.pdf https://regulations.justia.com/regulations/fedreg/2017/07/06/2017-14142.html Notice - Self-Regulatory Organizations; Fixed Income Clearing Corporation; Order Approving a Proposed Rule Change to the Mortgage-Backed Securities Division Clearing Rules Regarding Fixed Income Clearing Corporation's (1) Time of Novation, (2) Treatment of Itself as the Settlement Counterparty for Certain Transaction Types, and (3) Proposal to Implement New Processes to Promote Operational Efficiencies for Its Clearing Members 2017-07-06T00:00:00-07:00 2017-07-06T00:00:00-07:00 2017-14142 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-07-06/pdf/2017-14142.pdf https://regulations.justia.com/regulations/fedreg/2017/07/06/2017-14141.html Notice - Self-Regulatory Organizations; National Securities Clearing Corporation; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Further Describe and Codify Existing Practices Relating to the Bond Haircut 2017-07-06T00:00:00-07:00 2017-07-06T00:00:00-07:00 2017-14141 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-07-06/pdf/2017-14141.pdf https://regulations.justia.com/regulations/fedreg/2017/07/05/2017-14196.html Notice - Transamerica ETF Trust, et al. 2017-07-05T00:00:00-07:00 2017-07-05T00:00:00-07:00 2017-14196 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-07-05/pdf/2017-14196.pdf https://regulations.justia.com/regulations/fedreg/2017/07/05/2017-14065.html Notice - Proposed Collection; Comment Request 2017-07-05T00:00:00-07:00 2017-07-05T00:00:00-07:00 2017-14065 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-07-05/pdf/2017-14065.pdf https://regulations.justia.com/regulations/fedreg/2017/07/05/2017-14064.html Notice - Proposed Collection; Comment Request 2017-07-05T00:00:00-07:00 2017-07-05T00:00:00-07:00 2017-14064 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-07-05/pdf/2017-14064.pdf https://regulations.justia.com/regulations/fedreg/2017/07/05/2017-14016.html Notice - Self-Regulatory Organizations; The Options Clearing Corporation; Notice of Filing of Advance Notice Concerning the Adoption of a New Stock Options and Futures Settlement Agreement Between The Options Clearing Corporation and the National Securities Clearing Corporation 2017-07-05T00:00:00-07:00 2017-07-05T00:00:00-07:00 2017-14016 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-07-05/pdf/2017-14016.pdf https://regulations.justia.com/regulations/fedreg/2017/07/05/2017-14015.html Notice - Self-Regulatory Organizations; National Securities Clearing Corporation; Notice of Filing of Advance Notice To Adopt a New Stock Options and Futures Settlement Agreement With The Options Clearing Corporation 2017-07-05T00:00:00-07:00 2017-07-05T00:00:00-07:00 2017-14015 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-07-05/pdf/2017-14015.pdf https://regulations.justia.com/regulations/fedreg/2017/07/05/2017-14014.html Notice - Self-Regulatory Organizations; NYSE MKT LLC; Order Granting Approval of Proposed Rule Change, as Modified by Amendments No. 1, 2, and 3, To Allow the Exchange To Trade, Pursuant to Unlisted Trading Privileges, any NMS Stock Listed on Another National Securities Exchange; Establish Rules for the Trading Pursuant to UTP of Exchange-Traded Products; and Adopt New Equity Trading Rules Relating To Trading Halts of Securities Traded Pursuant to UTP on the Pillar Platform 2017-07-05T00:00:00-07:00 2017-07-05T00:00:00-07:00 2017-14014 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-07-05/pdf/2017-14014.pdf https://regulations.justia.com/regulations/fedreg/2017/07/05/2017-14013.html Notice - Self-Regulatory Organizations; ICE Clear Credit LLC; Notice of Proposed Rule Change, Security-Based Swap Submission, or Advance Notice Relating to the ICC Clearing Rules and the ICC Treasury Operations Policies and Procedures 2017-07-05T00:00:00-07:00 2017-07-05T00:00:00-07:00 2017-14013 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-07-05/pdf/2017-14013.pdf https://regulations.justia.com/regulations/fedreg/2017/07/03/2017-13904.html Notice - Nationwide Fund Advisors, et al. 2017-07-03T00:00:00-07:00 2017-07-03T00:00:00-07:00 2017-13904 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-07-03/pdf/2017-13904.pdf https://regulations.justia.com/regulations/fedreg/2017/07/03/2017-13903.html Notice - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Extend the Implementation of FINRA Rule 4240 (Margin Requirements for Credit Default Swaps) 2017-07-03T00:00:00-07:00 2017-07-03T00:00:00-07:00 2017-13903 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-07-03/pdf/2017-13903.pdf https://regulations.justia.com/regulations/fedreg/2017/07/03/2017-13902.html Notice - Self-Regulatory Organizations; Nasdaq ISE, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Specify an Exception to the Manner in Which Market Maker Immediate-or-Cancel Orders Will Be Handled 2017-07-03T00:00:00-07:00 2017-07-03T00:00:00-07:00 2017-13902 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-07-03/pdf/2017-13902.pdf https://regulations.justia.com/regulations/fedreg/2017/07/03/2017-13901.html Notice - Self-Regulatory Organizations; Bats BZX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Related to Fees for Logical Ports on the Bats Equity Options Platform 2017-07-03T00:00:00-07:00 2017-07-03T00:00:00-07:00 2017-13901 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-07-03/pdf/2017-13901.pdf https://regulations.justia.com/regulations/fedreg/2017/07/03/2017-13900.html Notice - Self-Regulatory Organizations; ICE Clear Credit LLC; Notice of Proposed Rule Change, Security-Based Swap Submission, or Advance Notice Relating to the Clearance of Additional Credit Default Swap Contracts 2017-07-03T00:00:00-07:00 2017-07-03T00:00:00-07:00 2017-13900 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-07-03/pdf/2017-13900.pdf https://regulations.justia.com/regulations/fedreg/2017/07/03/2017-13899.html Notice - Self-Regulatory Organizations; ICE Clear Credit LLC; Notice of Proposed Rule Change, Security-Based Swap Submission, or Advance Notice Relating to the Clearance of Additional Credit Default Swap Contracts 2017-07-03T00:00:00-07:00 2017-07-03T00:00:00-07:00 2017-13899 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-07-03/pdf/2017-13899.pdf https://regulations.justia.com/regulations/fedreg/2017/07/03/2017-13898.html Notice - Self-Regulatory Organizations; ICE Clear Credit LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to ICC's Cash Investment Yield Schedule 2017-07-03T00:00:00-07:00 2017-07-03T00:00:00-07:00 2017-13898 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-07-03/pdf/2017-13898.pdf https://regulations.justia.com/regulations/fedreg/2017/07/03/2017-13897.html Notice - Self-Regulatory Organizations; ICE Clear Europe Limited; Order Approving Proposed Rule Changes Relating to the CDS End-of-Day Price Discovery Policy and Price Submission Disciplinary Framework 2017-07-03T00:00:00-07:00 2017-07-03T00:00:00-07:00 2017-13897 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-07-03/pdf/2017-13897.pdf https://regulations.justia.com/regulations/fedreg/2017/07/03/2017-13894.html Notice - Proposed Collection; Comment Request 2017-07-03T00:00:00-07:00 2017-07-03T00:00:00-07:00 2017-13894 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-07-03/pdf/2017-13894.pdf https://regulations.justia.com/regulations/fedreg/2017/07/03/2017-13893.html Notice - The Boston Consulting Group, Inc. and Green Falcon Investors I, L.P. 2017-07-03T00:00:00-07:00 2017-07-03T00:00:00-07:00 2017-13893 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-07-03/pdf/2017-13893.pdf