<![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/2017/08/14?registers=between Fri, 03 May 2024 03:47:50 -0700 Fri, 03 May 2024 03:47:50 -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/2017/08/14?registers=between Notice - Self-Regulatory Organizations; Nasdaq GEMX, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Rule 720, Nullification and Adjustment of Options Transactions Including Obvious Errors https://regulations.justia.com/regulations/fedreg/2017/08/14/2017-17069.html https://regulations.justia.com/regulations/fedreg/2017/08/14/2017-17069.html Mon, 14 Aug 2017 00:00:00 -0700 2017-17069 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-08-14/pdf/2017-17069.pdf Notice - Self-Regulatory Organizations; Nasdaq MRX, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Rule 720, Nullification and Adjustment of Options Transactions Including Obvious Errors https://regulations.justia.com/regulations/fedreg/2017/08/14/2017-17068.html https://regulations.justia.com/regulations/fedreg/2017/08/14/2017-17068.html Mon, 14 Aug 2017 00:00:00 -0700 2017-17068 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-08-14/pdf/2017-17068.pdf Notice - Self-Regulatory Organizations; NASDAQ PHLX LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Rule 1092, Nullification and Adjustment of Options Transactions Including Obvious Errors https://regulations.justia.com/regulations/fedreg/2017/08/14/2017-17067.html https://regulations.justia.com/regulations/fedreg/2017/08/14/2017-17067.html Mon, 14 Aug 2017 00:00:00 -0700 2017-17067 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-08-14/pdf/2017-17067.pdf Notice - Self-Regulatory Organizations; BOX Options Exchange LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend BOX Rule 7170 (Nullification and Adjustment of Options Transactions Including Obvious Errors) https://regulations.justia.com/regulations/fedreg/2017/08/14/2017-17066.html https://regulations.justia.com/regulations/fedreg/2017/08/14/2017-17066.html Mon, 14 Aug 2017 00:00:00 -0700 2017-17066 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-08-14/pdf/2017-17066.pdf Notice - Self-Regulatory Organizations; Nasdaq ISE, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Its Schedule of Fees https://regulations.justia.com/regulations/fedreg/2017/08/14/2017-17065.html https://regulations.justia.com/regulations/fedreg/2017/08/14/2017-17065.html Mon, 14 Aug 2017 00:00:00 -0700 2017-17065 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-08-14/pdf/2017-17065.pdf Notice - Self-Regulatory Organizations; NASDAQ BX, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Chapter V, Section 6, Nullification and Adjustment of Options Transactions Including Obvious Errors https://regulations.justia.com/regulations/fedreg/2017/08/14/2017-17053.html https://regulations.justia.com/regulations/fedreg/2017/08/14/2017-17053.html Mon, 14 Aug 2017 00:00:00 -0700 2017-17053 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-08-14/pdf/2017-17053.pdf Notice - Self-Regulatory Organizations; ICE Clear Credit LLC; Order Granting Accelerated Approval of Proposed Rule Change Relating to the ICC Liquidity Risk Management Framework and the ICC Stress Testing Framework https://regulations.justia.com/regulations/fedreg/2017/08/14/2017-17052.html https://regulations.justia.com/regulations/fedreg/2017/08/14/2017-17052.html Mon, 14 Aug 2017 00:00:00 -0700 2017-17052 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-08-14/pdf/2017-17052.pdf Notice - Self-Regulatory Organizations; Investors Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Make a Correction to the Exchange Fee Schedule Related to Fees for Executions That Involve Taking Resting Interest With Non-Displayed Priority With a Displayable Order https://regulations.justia.com/regulations/fedreg/2017/08/14/2017-17051.html https://regulations.justia.com/regulations/fedreg/2017/08/14/2017-17051.html Mon, 14 Aug 2017 00:00:00 -0700 2017-17051 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-08-14/pdf/2017-17051.pdf Notice - Self-Regulatory Organizations; Nasdaq ISE, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend ISE's Schedule of Fees With Respect to the Options Regulatory Fee https://regulations.justia.com/regulations/fedreg/2017/08/14/2017-17050.html https://regulations.justia.com/regulations/fedreg/2017/08/14/2017-17050.html Mon, 14 Aug 2017 00:00:00 -0700 2017-17050 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-08-14/pdf/2017-17050.pdf Notice - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Revise the NASDAQ Options Market LLC Rules Regarding the Options Regulatory Fee https://regulations.justia.com/regulations/fedreg/2017/08/14/2017-17049.html https://regulations.justia.com/regulations/fedreg/2017/08/14/2017-17049.html Mon, 14 Aug 2017 00:00:00 -0700 2017-17049 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-08-14/pdf/2017-17049.pdf Notice - Self-Regulatory Organizations; NASDAQ PHLX LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the Exchange's Pricing Schedule With Respect to the Options Regulatory Fee https://regulations.justia.com/regulations/fedreg/2017/08/14/2017-17048.html https://regulations.justia.com/regulations/fedreg/2017/08/14/2017-17048.html Mon, 14 Aug 2017 00:00:00 -0700 2017-17048 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-08-14/pdf/2017-17048.pdf Notice - Self-Regulatory Organizations; Nasdaq GEMX, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend GEMX's Schedule of Fees With Respect to the Options Regulatory Fee https://regulations.justia.com/regulations/fedreg/2017/08/14/2017-17047.html https://regulations.justia.com/regulations/fedreg/2017/08/14/2017-17047.html Mon, 14 Aug 2017 00:00:00 -0700 2017-17047 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-08-14/pdf/2017-17047.pdf Notice - Self-Regulatory Organizations; NASDAQ BX, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Revise the Rules Regarding the Exchange's Options Regulatory Fee https://regulations.justia.com/regulations/fedreg/2017/08/14/2017-17046.html https://regulations.justia.com/regulations/fedreg/2017/08/14/2017-17046.html Mon, 14 Aug 2017 00:00:00 -0700 2017-17046 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-08-14/pdf/2017-17046.pdf Notice - Self-Regulatory Organizations; NYSE American LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Supplementary Material .01 and .02 to NYSE American Rule 5.2E(j)(3) To Provide for the Inclusion of Cash in an Index Underlying a Series of Investment Company Units https://regulations.justia.com/regulations/fedreg/2017/08/14/2017-17045.html https://regulations.justia.com/regulations/fedreg/2017/08/14/2017-17045.html Mon, 14 Aug 2017 00:00:00 -0700 2017-17045 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-08-14/pdf/2017-17045.pdf Notice - Self-Regulatory Organizations; National Securities Clearing Corporation; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Make Certain Adjustments, Clarifications and Corrections to the Fee Provisions for Insurance and Retirement Processing Services https://regulations.justia.com/regulations/fedreg/2017/08/14/2017-17044.html https://regulations.justia.com/regulations/fedreg/2017/08/14/2017-17044.html Mon, 14 Aug 2017 00:00:00 -0700 2017-17044 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-08-14/pdf/2017-17044.pdf 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 Operational Risk Management Framework https://regulations.justia.com/regulations/fedreg/2017/08/14/2017-17043.html https://regulations.justia.com/regulations/fedreg/2017/08/14/2017-17043.html Mon, 14 Aug 2017 00:00:00 -0700 2017-17043 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-08-14/pdf/2017-17043.pdf Notice - Self-Regulatory Organizations; NYSE American LLC; Notice of Filing and Immediate Effectiveness of Proposed Change in Connection With Its Recent Name Change From NYSE MKT LLC to NYSE American LLC and the Related Rebranding of NYSE Amex Options to NYSE American Options https://regulations.justia.com/regulations/fedreg/2017/08/14/2017-17042.html https://regulations.justia.com/regulations/fedreg/2017/08/14/2017-17042.html Mon, 14 Aug 2017 00:00:00 -0700 2017-17042 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-08-14/pdf/2017-17042.pdf