<![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/2017/08/02?registers=between Sun, 22 Dec 2024 05:19:20 -0800 Sun, 22 Dec 2024 05:19:20 -0800 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/2017/08/02?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/2017/08/02/2017-16273.html https://regulations.justia.com/regulations/fedreg/2017/08/02/2017-16273.html Wed, 02 Aug 2017 00:00:00 -0700 2017-16273 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-08-02/pdf/2017-16273.pdf Notice - Self-Regulatory Organizations; NASDAQ BX, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend BX Rules at Chapter IV, Section 6 https://regulations.justia.com/regulations/fedreg/2017/08/02/2017-16271.html https://regulations.justia.com/regulations/fedreg/2017/08/02/2017-16271.html Wed, 02 Aug 2017 00:00:00 -0700 2017-16271 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-08-02/pdf/2017-16271.pdf Notice - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Delay the Effective Date of the TotalView and OpenView Depth-of-Book Products https://regulations.justia.com/regulations/fedreg/2017/08/02/2017-16270.html https://regulations.justia.com/regulations/fedreg/2017/08/02/2017-16270.html Wed, 02 Aug 2017 00:00:00 -0700 2017-16270 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-08-02/pdf/2017-16270.pdf Notice - Self-Regulatory Organizations; The Depository Trust Company; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Modify the DTC Operational Arrangements Necessary for Securities To Become and Remain Eligible for DTC Services in Order To Clarify and Update Provisions Relating to the Processing of Eligibility Requests and Servicing of Assets on Deposit at DTC https://regulations.justia.com/regulations/fedreg/2017/08/02/2017-16269.html https://regulations.justia.com/regulations/fedreg/2017/08/02/2017-16269.html Wed, 02 Aug 2017 00:00:00 -0700 2017-16269 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-08-02/pdf/2017-16269.pdf Notice - Self-Regulatory Organizations; The Depository Trust Company; National Securities Clearing Corporation; Fixed Income Clearing Corporation; Notice of Filings of Proposed Rule Changes To Adopt the Clearing Agency Risk Management Framework https://regulations.justia.com/regulations/fedreg/2017/08/02/2017-16268.html https://regulations.justia.com/regulations/fedreg/2017/08/02/2017-16268.html Wed, 02 Aug 2017 00:00:00 -0700 2017-16268 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-08-02/pdf/2017-16268.pdf Notice - Self-Regulatory Organizations; Bats BZX Exchange, Inc.; Notice of Designation of a Longer Period for Commission Action on a Proposed Rule Change To Permit the Listing and Trading of Managed Portfolio Shares; and To List and Trade Shares of the Following Under Proposed Rule 14.11(k): ClearBridge Appreciation ETF; ClearBridge Large Cap ETF; ClearBridge MidCap Growth ETF; ClearBridge Select ETF; and ClearBridge All Cap Value ETF https://regulations.justia.com/regulations/fedreg/2017/08/02/2017-16267.html https://regulations.justia.com/regulations/fedreg/2017/08/02/2017-16267.html Wed, 02 Aug 2017 00:00:00 -0700 2017-16267 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-08-02/pdf/2017-16267.pdf Notice - Self-Regulatory Organizations; NASDAQ PHLX LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Rule 1012 https://regulations.justia.com/regulations/fedreg/2017/08/02/2017-16266.html https://regulations.justia.com/regulations/fedreg/2017/08/02/2017-16266.html Wed, 02 Aug 2017 00:00:00 -0700 2017-16266 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-08-02/pdf/2017-16266.pdf Notice - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Options Market Rules at Chapter IV, Section 6 https://regulations.justia.com/regulations/fedreg/2017/08/02/2017-16265.html https://regulations.justia.com/regulations/fedreg/2017/08/02/2017-16265.html Wed, 02 Aug 2017 00:00:00 -0700 2017-16265 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-08-02/pdf/2017-16265.pdf Notice - Proposed Collection; Comment Request https://regulations.justia.com/regulations/fedreg/2017/08/02/2017-16214.html https://regulations.justia.com/regulations/fedreg/2017/08/02/2017-16214.html Wed, 02 Aug 2017 00:00:00 -0700 2017-16214 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-08-02/pdf/2017-16214.pdf Notice - Self-Regulatory Organizations; Municipal Securities Rulemaking Board; Notice of Filing of Amendment No. 1 and Order Granting Accelerated Approval of a Proposed Rule Change, as Modified by Amendment No. 1, Consisting of Proposed Amendments to MSRB Rule G-26, on Customer Account Transfers, To Modernize the Rule and Promote a Uniform Customer Account Transfer Standard https://regulations.justia.com/regulations/fedreg/2017/08/02/2017-16213.html https://regulations.justia.com/regulations/fedreg/2017/08/02/2017-16213.html Wed, 02 Aug 2017 00:00:00 -0700 2017-16213 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-08-02/pdf/2017-16213.pdf Notice - Self-Regulatory Organizations; NYSE American LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change in Connection With the September 5, 2017 Compliance Date for the Shortening of the Standard Settlement Cycle From Three Business Days After the Trade Date to Two Business Days After the Trade Date https://regulations.justia.com/regulations/fedreg/2017/08/02/2017-16212.html https://regulations.justia.com/regulations/fedreg/2017/08/02/2017-16212.html Wed, 02 Aug 2017 00:00:00 -0700 2017-16212 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-08-02/pdf/2017-16212.pdf Notice - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change in Connection With the September 5, 2017 Compliance Date for the Shortening of the Standard Settlement Cycle From Three Business Days After the Trade Date to Two Business Days After the Trade Date https://regulations.justia.com/regulations/fedreg/2017/08/02/2017-16211.html https://regulations.justia.com/regulations/fedreg/2017/08/02/2017-16211.html Wed, 02 Aug 2017 00:00:00 -0700 2017-16211 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-08-02/pdf/2017-16211.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 Rule 515A, MIAX Price Improvement Mechanism (“PRIME”) and PRIME Solicitation Mechanism, Rule 518, Complex Orders, and Rule 519A, Risk Protection Monitor https://regulations.justia.com/regulations/fedreg/2017/08/02/2017-16209.html https://regulations.justia.com/regulations/fedreg/2017/08/02/2017-16209.html Wed, 02 Aug 2017 00:00:00 -0700 2017-16209 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-08-02/pdf/2017-16209.pdf Notice - Self-Regulatory Organizations; NYSE MKT LLC; Notice of Filing and Immediate Effectiveness of Proposed Change To Adopt Transaction Fees in Connection With the Exchange's Transition to a Fully-Automated Cash Equities Market https://regulations.justia.com/regulations/fedreg/2017/08/02/2017-16208.html https://regulations.justia.com/regulations/fedreg/2017/08/02/2017-16208.html Wed, 02 Aug 2017 00:00:00 -0700 2017-16208 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-08-02/pdf/2017-16208.pdf Notice - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing of Amendment No. 1 and Order Granting Accelerated Approval of Proposed Rule Change, as Modified by Amendment No. 1, To Amend Its Listing Standards for Closed-End Funds https://regulations.justia.com/regulations/fedreg/2017/08/02/2017-16207.html https://regulations.justia.com/regulations/fedreg/2017/08/02/2017-16207.html Wed, 02 Aug 2017 00:00:00 -0700 2017-16207 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-08-02/pdf/2017-16207.pdf Notice - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change for Trading UTP Securities on Pillar, the Exchange's New Trading Technology Platform https://regulations.justia.com/regulations/fedreg/2017/08/02/2017-16206.html https://regulations.justia.com/regulations/fedreg/2017/08/02/2017-16206.html Wed, 02 Aug 2017 00:00:00 -0700 2017-16206 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-08-02/pdf/2017-16206.pdf 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. 1, To List and Trade Shares of Direxion Daily Crude Oil Bull 3x Shares and Direxion Daily Crude Oil Bear 3x Shares Under NYSE Arca Equities Rule 8.200 https://regulations.justia.com/regulations/fedreg/2017/08/02/2017-16205.html https://regulations.justia.com/regulations/fedreg/2017/08/02/2017-16205.html Wed, 02 Aug 2017 00:00:00 -0700 2017-16205 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-08-02/pdf/2017-16205.pdf Notice - Change Finance, PBC, et al. https://regulations.justia.com/regulations/fedreg/2017/08/02/2017-16200.html https://regulations.justia.com/regulations/fedreg/2017/08/02/2017-16200.html Wed, 02 Aug 2017 00:00:00 -0700 2017-16200 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-08-02/pdf/2017-16200.pdf