Federal Register Recent Federal Regulation Documents - Justia Regulation Tracker - Justia Regulations Trackerhttps://regulations.justia.com/regulations/fedreg/agencies/agencies-and-commissions/securities-and-exchange-commission/2017/08?limit=200®isters=between&min-day=1&max-day=31&mode=atom2024-04-18T17:48:56-07:00Justia Inchttps://www.justia.com/Justia Regulations Trackerhttps://regulations.justia.com/images/justiafedregulations.gifCopyright 2011 Justia Inchttps://regulations.justia.com/regulations/fedreg/2017/08/31/2017-18455.htmlNotice - Self-Regulatory Organizations; Investors Exchange LLC; Order Approving a Proposed Rule Change To Introduce a New Market Maker Peg Order2017-08-31T00:00:00-07:002017-08-31T00:00:00-07:002017-18455Noticehttps://www.gpo.gov/fdsys/pkg/FR-2017-08-31/pdf/2017-18455.pdfhttps://regulations.justia.com/regulations/fedreg/2017/08/31/2017-18453.htmlNotice - Notice of Applications for Deregistration Under Section 8(f) of the Investment Company Act of 19402017-08-31T00:00:00-07:002017-08-31T00:00:00-07:002017-18453Noticehttps://www.gpo.gov/fdsys/pkg/FR-2017-08-31/pdf/2017-18453.pdfhttps://regulations.justia.com/regulations/fedreg/2017/08/31/2017-18450.htmlNotice - Self-Regulatory Organizations; LCH SA; Notice of Filing of Proposed Rule Change Relating to Options on Index Credit Default Swaps2017-08-31T00:00:00-07:002017-08-31T00:00:00-07:002017-18450Noticehttps://www.gpo.gov/fdsys/pkg/FR-2017-08-31/pdf/2017-18450.pdfhttps://regulations.justia.com/regulations/fedreg/2017/08/31/2017-18449.htmlNotice - Self-Regulatory Organizations; ICE Clear Credit LLC; Notice of Filing of Proposed Rule Change Relating to ICC's Liquidity Risk Management Framework and ICC's Stress Testing Framework2017-08-31T00:00:00-07:002017-08-31T00:00:00-07:002017-18449Noticehttps://www.gpo.gov/fdsys/pkg/FR-2017-08-31/pdf/2017-18449.pdfhttps://regulations.justia.com/regulations/fedreg/2017/08/31/2017-18448.htmlNotice - Self-Regulatory Organizations; The Depository Trust Company; Fixed Income Clearing Corporation; National Securities Clearing Corporation; Order Approving Proposed Rule Changes To Adopt the Clearing Agency Model Risk Management Framework2017-08-31T00:00:00-07:002017-08-31T00:00:00-07:002017-18448Noticehttps://www.gpo.gov/fdsys/pkg/FR-2017-08-31/pdf/2017-18448.pdfhttps://regulations.justia.com/regulations/fedreg/2017/08/31/2017-18447.htmlNotice - Self-Regulatory Organizations: Investors Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Related to Transaction Fees Pursuant to Rule 15.1102017-08-31T00:00:00-07:002017-08-31T00:00:00-07:002017-18447Noticehttps://www.gpo.gov/fdsys/pkg/FR-2017-08-31/pdf/2017-18447.pdfhttps://regulations.justia.com/regulations/fedreg/2017/08/31/2017-18446.htmlNotice - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Filing of a Proposed Rule Change To Amend Interpretation and Policy .07 of Exchange Rule 4.11, Position Limits, To Increase the Position Limits for Options on Certain ETFs2017-08-31T00:00:00-07:002017-08-31T00:00:00-07:002017-18446Noticehttps://www.gpo.gov/fdsys/pkg/FR-2017-08-31/pdf/2017-18446.pdfhttps://regulations.justia.com/regulations/fedreg/2017/08/30/2017-18352.htmlNotice - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the Exchange's Transaction Fees at Chapter XV, Section 2 Entitled “NASDAQ Options Market-Fees and Rebates”2017-08-30T00:00:00-07:002017-08-30T00:00:00-07:002017-18352Noticehttps://www.gpo.gov/fdsys/pkg/FR-2017-08-30/pdf/2017-18352.pdfhttps://regulations.justia.com/regulations/fedreg/2017/08/30/2017-18351.htmlNotice - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Designation of Longer Period for Commission Action on Proposed Rule Change To Amend the Listed Company Manual To Adopt Initial and Continued Listing Standards for Subscription Receipts2017-08-30T00:00:00-07:002017-08-30T00:00:00-07:002017-18351Noticehttps://www.gpo.gov/fdsys/pkg/FR-2017-08-30/pdf/2017-18351.pdfhttps://regulations.justia.com/regulations/fedreg/2017/08/29/2017-18350.htmlNotice - Sunshine Act Meeting2017-08-29T00:00:00-07:002017-08-29T00:00:00-07:002017-18350Noticehttps://www.gpo.gov/fdsys/pkg/FR-2017-08-29/pdf/2017-18350.pdfhttps://regulations.justia.com/regulations/fedreg/2017/08/29/2017-18308.htmlNotice - Order Making Fiscal Year 2018 Annual Adjustments to Registration Fee Rates2017-08-29T00:00:00-07:002017-08-29T00:00:00-07:002017-18308Noticehttps://www.gpo.gov/fdsys/pkg/FR-2017-08-29/pdf/2017-18308.pdfhttps://regulations.justia.com/regulations/fedreg/2017/08/29/2017-18243.htmlNotice - Self-Regulatory Organizations; NYSE American LLC; Notice of Filing of Proposed Rule Change To Amend the Complimentary Products and Services Available to Certain Eligible New Listings Pursuant to Section 146 of the NYSE American Company Guide2017-08-29T00:00:00-07:002017-08-29T00:00:00-07:002017-18243Noticehttps://www.gpo.gov/fdsys/pkg/FR-2017-08-29/pdf/2017-18243.pdfhttps://regulations.justia.com/regulations/fedreg/2017/08/29/2017-18242.htmlNotice - Self-Regulatory Organizations; Investors Exchange LLC; Notice of Filing of Proposed Rule Change To Adopt Rule 14.602 To Describe the Complimentary Products and Services To Be Made Available to All Listed Companies2017-08-29T00:00:00-07:002017-08-29T00:00:00-07:002017-18242Noticehttps://www.gpo.gov/fdsys/pkg/FR-2017-08-29/pdf/2017-18242.pdfhttps://regulations.justia.com/regulations/fedreg/2017/08/29/2017-18241.htmlNotice - Self-Regulatory Organizations; Bats EDGX Exchange, Inc.; Notice of Designation of Longer Period for Commission Action on Proposed Rule Change To Adopt New Rules That Describe the Trading of Complex Orders on the Exchange2017-08-29T00:00:00-07:002017-08-29T00:00:00-07:002017-18241Noticehttps://www.gpo.gov/fdsys/pkg/FR-2017-08-29/pdf/2017-18241.pdfhttps://regulations.justia.com/regulations/fedreg/2017/08/29/2017-18229.htmlNotice - Proposed Collection; Comment Request2017-08-29T00:00:00-07:002017-08-29T00:00:00-07:002017-18229Noticehttps://www.gpo.gov/fdsys/pkg/FR-2017-08-29/pdf/2017-18229.pdfhttps://regulations.justia.com/regulations/fedreg/2017/08/29/2017-17914.htmlRule - Updates to Commission Guidance Regarding Accounting for Sales of Vaccines and Bioterror Countermeasures to the Federal Government for Placement Into the Pediatric Vaccine Stockpile or the Strategic National Stockpile2017-08-29T00:00:00-07:002017-08-29T00:00:00-07:002017-17914Rulehttps://www.gpo.gov/fdsys/pkg/FR-2017-08-29/pdf/2017-17914.pdfhttps://regulations.justia.com/regulations/fedreg/2017/08/29/2017-17913.htmlRule - Commission Guidance Regarding Revenue Recognition for Bill-and-Hold Arrangements2017-08-29T00:00:00-07:002017-08-29T00:00:00-07:002017-17913Rulehttps://www.gpo.gov/fdsys/pkg/FR-2017-08-29/pdf/2017-17913.pdfhttps://regulations.justia.com/regulations/fedreg/2017/08/29/2017-17912.htmlRule - Staff Accounting Bulletin No. 1162017-08-29T00:00:00-07:002017-08-29T00:00:00-07:002017-17912Rulehttps://www.gpo.gov/fdsys/pkg/FR-2017-08-29/pdf/2017-17912.pdfhttps://regulations.justia.com/regulations/fedreg/2017/08/28/2017-18127.htmlNotice - Self-Regulatory Organizations; Bats EDGX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Rules 11.6, Definitions, 11.8, Order Types, and 11.10, Order Execution2017-08-28T00:00:00-07:002017-08-28T00:00:00-07:002017-18127Noticehttps://www.gpo.gov/fdsys/pkg/FR-2017-08-28/pdf/2017-18127.pdfhttps://regulations.justia.com/regulations/fedreg/2017/08/28/2017-18126.htmlNotice - Self-Regulatory Organizations; Bats EDGA Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Rule 11.8, Order Types, To Permit Midpoint Discretionary Orders To Be Non-Displayed2017-08-28T00:00:00-07:002017-08-28T00:00:00-07:002017-18126Noticehttps://www.gpo.gov/fdsys/pkg/FR-2017-08-28/pdf/2017-18126.pdfhttps://regulations.justia.com/regulations/fedreg/2017/08/28/2017-18125.htmlNotice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing of Proposed Rule Change to List and Trade the Shares of the U.S. Equity Cumulative Dividends Fund-Series 2027 and the U.S. Equity Ex-Dividend Fund-Series 2027 Under NYSE Arca Equities Rule 8.200, Commentary .022017-08-28T00:00:00-07:002017-08-28T00:00:00-07:002017-18125Noticehttps://www.gpo.gov/fdsys/pkg/FR-2017-08-28/pdf/2017-18125.pdfhttps://regulations.justia.com/regulations/fedreg/2017/08/25/2017-18090.htmlNotice - Edward D. Jones & Co., L.P.2017-08-25T00:00:00-07:002017-08-25T00:00:00-07:002017-18090Noticehttps://www.gpo.gov/fdsys/pkg/FR-2017-08-25/pdf/2017-18090.pdfhttps://regulations.justia.com/regulations/fedreg/2017/08/25/2017-18074.htmlNotice - Proposed Collection; Comment Request2017-08-25T00:00:00-07:002017-08-25T00:00:00-07:002017-18074Noticehttps://www.gpo.gov/fdsys/pkg/FR-2017-08-25/pdf/2017-18074.pdfhttps://regulations.justia.com/regulations/fedreg/2017/08/25/2017-18073.htmlNotice - Submission for OMB Review; Comment Request2017-08-25T00:00:00-07:002017-08-25T00:00:00-07:002017-18073Noticehttps://www.gpo.gov/fdsys/pkg/FR-2017-08-25/pdf/2017-18073.pdfhttps://regulations.justia.com/regulations/fedreg/2017/08/25/2017-18000.htmlNotice - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Clarify Application of FINRA Rule 11140 (Transactions in Securities “Ex-Dividend,” “Ex-rights” or “Ex-Warrants”) in Connection With the Implementation of the Shortened Settlement Cycle (T+2) on September 5, 20172017-08-25T00:00:00-07:002017-08-25T00:00:00-07:002017-18000Noticehttps://www.gpo.gov/fdsys/pkg/FR-2017-08-25/pdf/2017-18000.pdfhttps://regulations.justia.com/regulations/fedreg/2017/08/25/2017-17999.htmlNotice - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Address the Application of Rule 11140 in Connection With the Implementation of the Shortened Settlement Cycle (T+2) on September 5, 20172017-08-25T00:00:00-07:002017-08-25T00:00:00-07:002017-17999Noticehttps://www.gpo.gov/fdsys/pkg/FR-2017-08-25/pdf/2017-17999.pdfhttps://regulations.justia.com/regulations/fedreg/2017/08/24/2017-17922.htmlNotice - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing of Amendment No. 2 to Proposed Rule Change To Amend Section 102.01B of the NYSE Listed Company Manual To Provide for the Listing of Companies That List Without a Prior Exchange Act Registration and That Are Not Listing in Connection With an Underwritten Initial Public Offering and Related Changes to Rules 15, 104, and 123D2017-08-24T00:00:00-07:002017-08-24T00:00:00-07:002017-17922Noticehttps://www.gpo.gov/fdsys/pkg/FR-2017-08-24/pdf/2017-17922.pdfhttps://regulations.justia.com/regulations/fedreg/2017/08/24/2017-17921.htmlNotice - Securities Exchange Act of 1934; Order Scheduling Filing of Statements on Review in the Matter of the Chicago Stock Exchange, Inc. for an Order Granting the Approval of Proposed Rule Change Regarding the Acquisition of CHX Holdings, Inc. by North America Casin Holdings, Inc. (File No. SR-CHX-2016-20)2017-08-24T00:00:00-07:002017-08-24T00:00:00-07:002017-17921Noticehttps://www.gpo.gov/fdsys/pkg/FR-2017-08-24/pdf/2017-17921.pdfhttps://regulations.justia.com/regulations/fedreg/2017/08/24/2017-17920.htmlNotice - Self-Regulatory Organizations; NYSE Arca, Inc.; 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 the Generic Listing Criteria Applicable to Equity Index-Linked Securities2017-08-24T00:00:00-07:002017-08-24T00:00:00-07:002017-17920Noticehttps://www.gpo.gov/fdsys/pkg/FR-2017-08-24/pdf/2017-17920.pdfhttps://regulations.justia.com/regulations/fedreg/2017/08/24/2017-17911.htmlNotice - Self-Regulatory Organizations; National Securities Clearing Corporation; Notice of Filing of Proposed Rule Change To Amend and Clarify a Margin Charge Relating to CNS Fails Position2017-08-24T00:00:00-07:002017-08-24T00:00:00-07:002017-17911Noticehttps://www.gpo.gov/fdsys/pkg/FR-2017-08-24/pdf/2017-17911.pdfhttps://regulations.justia.com/regulations/fedreg/2017/08/24/2017-17910.htmlNotice - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing of a Proposed Rule Change Relating to Capital Acquisition Broker Rules 203 (Engaging in Distribution and Solicitation Activities With Government Entities) and 458 (Books and Records Requirements for Government Distribution and Solicitation Activities)2017-08-24T00:00:00-07:002017-08-24T00:00:00-07:002017-17910Noticehttps://www.gpo.gov/fdsys/pkg/FR-2017-08-24/pdf/2017-17910.pdfhttps://regulations.justia.com/regulations/fedreg/2017/08/24/2017-17909.htmlNotice - Self-Regulatory Organizations; Bats BZX Exchange, Inc.; Order Instituting Proceedings To Determine Whether To Approve or Disapprove a Proposed Rule Change To Introduce Bats Market Close, a Closing Match Process for Non-BZX Listed Securities Under New Exchange Rule 11.282017-08-24T00:00:00-07:002017-08-24T00:00:00-07:002017-17909Noticehttps://www.gpo.gov/fdsys/pkg/FR-2017-08-24/pdf/2017-17909.pdfhttps://regulations.justia.com/regulations/fedreg/2017/08/24/2017-17908.htmlNotice - Self-Regulatory Organizations; Nasdaq GEMX, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Related to Quoting at the Opening2017-08-24T00:00:00-07:002017-08-24T00:00:00-07:002017-17908Noticehttps://www.gpo.gov/fdsys/pkg/FR-2017-08-24/pdf/2017-17908.pdfhttps://regulations.justia.com/regulations/fedreg/2017/08/24/2017-17907.htmlNotice - Self-Regulatory Organizations; Nasdaq ISE, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Related to Quoting at the Opening2017-08-24T00:00:00-07:002017-08-24T00:00:00-07:002017-17907Noticehttps://www.gpo.gov/fdsys/pkg/FR-2017-08-24/pdf/2017-17907.pdfhttps://regulations.justia.com/regulations/fedreg/2017/08/24/2017-17906.htmlNotice - Self-Regulatory Organizations; NASDAQ PHLX LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Related to Quoting at the Opening2017-08-24T00:00:00-07:002017-08-24T00:00:00-07:002017-17906Noticehttps://www.gpo.gov/fdsys/pkg/FR-2017-08-24/pdf/2017-17906.pdfhttps://regulations.justia.com/regulations/fedreg/2017/08/24/2017-17905.htmlNotice - 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-21(e), on Municipal Fund Security Product Advertisements2017-08-24T00:00:00-07:002017-08-24T00:00:00-07:002017-17905Noticehttps://www.gpo.gov/fdsys/pkg/FR-2017-08-24/pdf/2017-17905.pdfhttps://regulations.justia.com/regulations/fedreg/2017/08/24/2017-17904.htmlNotice - Self-Regulatory Organizations; Nasdaq GEMX, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Create the Market Access and Routing Subsidy Program2017-08-24T00:00:00-07:002017-08-24T00:00:00-07:002017-17904Noticehttps://www.gpo.gov/fdsys/pkg/FR-2017-08-24/pdf/2017-17904.pdfhttps://regulations.justia.com/regulations/fedreg/2017/08/24/2017-17017.htmlProposed Rule - Regulatory Flexibility Agenda2017-08-24T00:00:00-07:002017-08-24T00:00:00-07:002017-17017Proposed Rulehttps://www.gpo.gov/fdsys/pkg/FR-2017-08-24/pdf/2017-17017.pdfhttps://regulations.justia.com/regulations/fedreg/2017/08/23/2017-17810.htmlNotice - Self-Regulatory Organizations; Nasdaq GEMX, LLC; Notice of Filing of Proposed Rule Change To Adopt New Corporate Governance and Related Processes Similar to Those of the Nasdaq Exchanges2017-08-23T00:00:00-07:002017-08-23T00:00:00-07:002017-17810Noticehttps://www.gpo.gov/fdsys/pkg/FR-2017-08-23/pdf/2017-17810.pdfhttps://regulations.justia.com/regulations/fedreg/2017/08/23/2017-17809.htmlNotice - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Change in Connection With the Name Change of Its Affiliate, From NYSE MKT LLC to NYSE American LLC2017-08-23T00:00:00-07:002017-08-23T00:00:00-07:002017-17809Noticehttps://www.gpo.gov/fdsys/pkg/FR-2017-08-23/pdf/2017-17809.pdfhttps://regulations.justia.com/regulations/fedreg/2017/08/23/2017-17808.htmlNotice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing of Amendment No. 2 and Order Granting Accelerated Approval of a Proposed Rule Change, as Modified by Amendment No. 2, in Connection With the Proposed Merger of Its Wholly Owned Subsidiary NYSE Arca Equities, Inc. With and Into the Exchange2017-08-23T00:00:00-07:002017-08-23T00:00:00-07:002017-17808Noticehttps://www.gpo.gov/fdsys/pkg/FR-2017-08-23/pdf/2017-17808.pdfhttps://regulations.justia.com/regulations/fedreg/2017/08/23/2017-17807.htmlNotice - Self-Regulatory Organizations; NYSE American LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Add Certain Rules Adopted in Connection With the Exchange's Transition to a Fully-Automated Cash Equities Market to the List of Minor Rule Violations in Rule 9217 of the Office Rules2017-08-23T00:00:00-07:002017-08-23T00:00:00-07:002017-17807Noticehttps://www.gpo.gov/fdsys/pkg/FR-2017-08-23/pdf/2017-17807.pdfhttps://regulations.justia.com/regulations/fedreg/2017/08/23/2017-17806.htmlNotice - Self-Regulatory Organizations; Chicago Stock Exchange, Inc.; Notice of Designation of Longer Period for Commission Action on Proceedings To Determine Whether To Approve or Disapprove a Proposed Rule Change To Adopt the CHX Liquidity Enhancing Access Delay2017-08-23T00:00:00-07:002017-08-23T00:00:00-07:002017-17806Noticehttps://www.gpo.gov/fdsys/pkg/FR-2017-08-23/pdf/2017-17806.pdfhttps://regulations.justia.com/regulations/fedreg/2017/08/23/2017-17805.htmlNotice - Self-Regulatory Organizations; ICE Clear Credit LLC; Notice of Designation of Longer Period for Commission Action on Proposed Rule Change To Provide for the Clearance of Additional Credit Default Swap Contracts2017-08-23T00:00:00-07:002017-08-23T00:00:00-07:002017-17805Noticehttps://www.gpo.gov/fdsys/pkg/FR-2017-08-23/pdf/2017-17805.pdfhttps://regulations.justia.com/regulations/fedreg/2017/08/23/2017-17804.htmlNotice - Self-Regulatory Organizations; ICE Clear Credit LLC; Notice of Designation of Longer Period for Commission Action on Proposed Rule Change To Provide for the Clearance of Additional Credit Default Swap Contracts2017-08-23T00:00:00-07:002017-08-23T00:00:00-07:002017-17804Noticehttps://www.gpo.gov/fdsys/pkg/FR-2017-08-23/pdf/2017-17804.pdfhttps://regulations.justia.com/regulations/fedreg/2017/08/22/2017-17688.htmlNotice - Order Granting Limited Exemptions From Exchange Act Rule 10b-17 and Rules 101 and 102 of Regulation M to IQ Real Return ETF Pursuant to Exchange Act Rule 10b-17(b)(2) and Rules 101(d) and 102(e) of Regulation M2017-08-22T00:00:00-07:002017-08-22T00:00:00-07:002017-17688Noticehttps://www.gpo.gov/fdsys/pkg/FR-2017-08-22/pdf/2017-17688.pdfhttps://regulations.justia.com/regulations/fedreg/2017/08/22/2017-17687.htmlNotice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing of Proposed Rule Change To Extend the Implementation Date for Certain Changes to the NYSE Arca Rule 5 and Rule 8 Series2017-08-22T00:00:00-07:002017-08-22T00:00:00-07:002017-17687Noticehttps://www.gpo.gov/fdsys/pkg/FR-2017-08-22/pdf/2017-17687.pdfhttps://regulations.justia.com/regulations/fedreg/2017/08/22/2017-17685.htmlNotice - Self-Regulatory Organizations; NASDAQ PHLX LLC; Notice of Filing of Proposed Rule Change Related to the Floor Requirements2017-08-22T00:00:00-07:002017-08-22T00:00:00-07:002017-17685Noticehttps://www.gpo.gov/fdsys/pkg/FR-2017-08-22/pdf/2017-17685.pdfhttps://regulations.justia.com/regulations/fedreg/2017/08/22/2017-17684.htmlNotice - Self-Regulatory Organizations; NYSE American LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Modify the NYSE American Options Fee Schedule2017-08-22T00:00:00-07:002017-08-22T00:00:00-07:002017-17684Noticehttps://www.gpo.gov/fdsys/pkg/FR-2017-08-22/pdf/2017-17684.pdfhttps://regulations.justia.com/regulations/fedreg/2017/08/22/2017-17683.htmlNotice - Self-Regulatory Organizations; Bats EDGX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Rule 21.2, Days and Hours of Business2017-08-22T00:00:00-07:002017-08-22T00:00:00-07:002017-17683Noticehttps://www.gpo.gov/fdsys/pkg/FR-2017-08-22/pdf/2017-17683.pdfhttps://regulations.justia.com/regulations/fedreg/2017/08/22/2017-17682.htmlNotice - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing of a Proposed Rule Change To Extend the Implementation Date for Certain Changes to the Rule 5700 Series and Rule 58102017-08-22T00:00:00-07:002017-08-22T00:00:00-07:002017-17682Noticehttps://www.gpo.gov/fdsys/pkg/FR-2017-08-22/pdf/2017-17682.pdfhttps://regulations.justia.com/regulations/fedreg/2017/08/21/2017-17551.htmlNotice - Self-Regulatory Organizations; Bats BZX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Rule 21.2, Days and Hours of Business2017-08-21T00:00:00-07:002017-08-21T00:00:00-07:002017-17551Noticehttps://www.gpo.gov/fdsys/pkg/FR-2017-08-21/pdf/2017-17551.pdfhttps://regulations.justia.com/regulations/fedreg/2017/08/21/2017-17550.htmlNotice - Self-Regulatory Organizations; Nasdaq ISE, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Supplementary Material .14 of Rule 504, Entitled “Series of Options Contracts Open for Trading”2017-08-21T00:00:00-07:002017-08-21T00:00:00-07:002017-17550Noticehttps://www.gpo.gov/fdsys/pkg/FR-2017-08-21/pdf/2017-17550.pdfhttps://regulations.justia.com/regulations/fedreg/2017/08/21/2017-17549.htmlNotice - Self-Regulatory Organizations; CBOE Futures Exchange, LLC; Notice of Filing of a Proposed Rule Change Regarding Recordkeeping Requirements2017-08-21T00:00:00-07:002017-08-21T00:00:00-07:002017-17549Noticehttps://www.gpo.gov/fdsys/pkg/FR-2017-08-21/pdf/2017-17549.pdfhttps://regulations.justia.com/regulations/fedreg/2017/08/21/2017-17548.htmlNotice - Self-Regulatory Organizations; NASDAQ PHLX LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Rule 925 To Create a Limited Exception to the Exchange's Procedures To Designate an Inactive Nominee as an Effective Permit Holder Intra-Day and Make a Non-Substantive Change to the Pricing Schedule2017-08-21T00:00:00-07:002017-08-21T00:00:00-07:002017-17548Noticehttps://www.gpo.gov/fdsys/pkg/FR-2017-08-21/pdf/2017-17548.pdfhttps://regulations.justia.com/regulations/fedreg/2017/08/21/2017-17547.htmlNotice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Designation of a Longer Period for Commission Action on a Proposed Rule Change, as Modified by Amendment No. 1, To Facilitate the Listing and Trading of Certain Series of Investment Company Units Listed Pursuant to NYSE Arca Equities Rule 5.2(j)(3)2017-08-21T00:00:00-07:002017-08-21T00:00:00-07:002017-17547Noticehttps://www.gpo.gov/fdsys/pkg/FR-2017-08-21/pdf/2017-17547.pdfhttps://regulations.justia.com/regulations/fedreg/2017/08/21/2017-17546.htmlNotice - Self-Regulatory Organizations; LCH SA; Notice of Filing of Proposed Rule Change Relating to Margin Framework and Default Fund Methodology for Options on Index Credit Default Swaps2017-08-21T00:00:00-07:002017-08-21T00:00:00-07:002017-17546Noticehttps://www.gpo.gov/fdsys/pkg/FR-2017-08-21/pdf/2017-17546.pdfhttps://regulations.justia.com/regulations/fedreg/2017/08/21/2017-17545.htmlNotice - Self-Regulatory Organizations; BOX Options Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Adopt Rule 2120 (Trading Conduct and Order & Decorum on the Trading Floor) and Amend Rule 12140 (Imposition of Fines for Minor Rule Violations) To Adopt Rule Violations and Sanctions Applicable to the Trading Floor2017-08-21T00:00:00-07:002017-08-21T00:00:00-07:002017-17545Noticehttps://www.gpo.gov/fdsys/pkg/FR-2017-08-21/pdf/2017-17545.pdfhttps://regulations.justia.com/regulations/fedreg/2017/08/21/2017-17540.htmlNotice - TIAA-CREF Funds, et al.2017-08-21T00:00:00-07:002017-08-21T00:00:00-07:002017-17540Noticehttps://www.gpo.gov/fdsys/pkg/FR-2017-08-21/pdf/2017-17540.pdfhttps://regulations.justia.com/regulations/fedreg/2017/08/18/2017-17504.htmlNotice - Advanced Series Trust, et al.2017-08-18T00:00:00-07:002017-08-18T00:00:00-07:002017-17504Noticehttps://www.gpo.gov/fdsys/pkg/FR-2017-08-18/pdf/2017-17504.pdfhttps://regulations.justia.com/regulations/fedreg/2017/08/18/2017-17503.htmlNotice - Submission for OMB Review; Comment Request2017-08-18T00:00:00-07:002017-08-18T00:00:00-07:002017-17503Noticehttps://www.gpo.gov/fdsys/pkg/FR-2017-08-18/pdf/2017-17503.pdfhttps://regulations.justia.com/regulations/fedreg/2017/08/18/2017-17455.htmlNotice - Self-Regulatory Organizations; New York Stock Exchange LLC; Order Granting Approval of Proposed Rule Change To Provide Advance Notice of Dividend or Stock Distribution Announcements to the Exchange2017-08-18T00:00:00-07:002017-08-18T00:00:00-07:002017-17455Noticehttps://www.gpo.gov/fdsys/pkg/FR-2017-08-18/pdf/2017-17455.pdfhttps://regulations.justia.com/regulations/fedreg/2017/08/18/2017-17436.htmlNotice - Self-Regulatory Organizations; BOX Options Exchange LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend BOX Rule 5050 (Series of Options Contracts Open for Trading), IM-5050-1, To Include the iShares S&P 500 Index ETF in the List of Exchange-Traded Funds Eligible for $1 Strike Price Intervals2017-08-18T00:00:00-07:002017-08-18T00:00:00-07:002017-17436Noticehttps://www.gpo.gov/fdsys/pkg/FR-2017-08-18/pdf/2017-17436.pdfhttps://regulations.justia.com/regulations/fedreg/2017/08/18/2017-17435.htmlNotice - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Clarify When Nasdaq Will Utilize the Secondary Source of Data2017-08-18T00:00:00-07:002017-08-18T00:00:00-07:002017-17435Noticehttps://www.gpo.gov/fdsys/pkg/FR-2017-08-18/pdf/2017-17435.pdfhttps://regulations.justia.com/regulations/fedreg/2017/08/18/2017-17434.htmlNotice - 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 Modify the Fees and Credits for Routing Certain Orders to NYSE American LLC2017-08-18T00:00:00-07:002017-08-18T00:00:00-07:002017-17434Noticehttps://www.gpo.gov/fdsys/pkg/FR-2017-08-18/pdf/2017-17434.pdfhttps://regulations.justia.com/regulations/fedreg/2017/08/18/2017-17433.htmlNotice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing of Proposed Rule Change To List and Trade Shares of ProShares QuadPro Funds Under NYSE Arca Equities Rule 8.2002017-08-18T00:00:00-07:002017-08-18T00:00:00-07:002017-17433Noticehttps://www.gpo.gov/fdsys/pkg/FR-2017-08-18/pdf/2017-17433.pdfhttps://regulations.justia.com/regulations/fedreg/2017/08/18/2017-17432.htmlNotice - Self-Regulatory Organizations; Bats BZX Exchange, Inc.; Notice of Filing of a Proposed Rule Change To Extend the Implementation Date For Certain Changes to Exchange Rules 14.11 and 14.122017-08-18T00:00:00-07:002017-08-18T00:00:00-07:002017-17432Noticehttps://www.gpo.gov/fdsys/pkg/FR-2017-08-18/pdf/2017-17432.pdfhttps://regulations.justia.com/regulations/fedreg/2017/08/18/2017-17431.htmlNotice - Self-Regulatory Organizations; ICE Clear Credit LLC; Order Approving Proposed Rule Change To Revise the ICC Clearing Rules and the ICC Treasury Operations Policies and Procedures2017-08-18T00:00:00-07:002017-08-18T00:00:00-07:002017-17431Noticehttps://www.gpo.gov/fdsys/pkg/FR-2017-08-18/pdf/2017-17431.pdfhttps://regulations.justia.com/regulations/fedreg/2017/08/17/2017-17409.htmlNotice - SEC Advisory Committee on Small and Emerging Companies2017-08-17T00:00:00-07:002017-08-17T00:00:00-07:002017-17409Noticehttps://www.gpo.gov/fdsys/pkg/FR-2017-08-17/pdf/2017-17409.pdfhttps://regulations.justia.com/regulations/fedreg/2017/08/17/2017-17408.htmlNotice - Proposed Collection; Comment Request2017-08-17T00:00:00-07:002017-08-17T00:00:00-07:002017-17408Noticehttps://www.gpo.gov/fdsys/pkg/FR-2017-08-17/pdf/2017-17408.pdfhttps://regulations.justia.com/regulations/fedreg/2017/08/17/2017-17407.htmlNotice - Submission for OMB Review; Comment Request2017-08-17T00:00:00-07:002017-08-17T00:00:00-07:002017-17407Noticehttps://www.gpo.gov/fdsys/pkg/FR-2017-08-17/pdf/2017-17407.pdfhttps://regulations.justia.com/regulations/fedreg/2017/08/17/2017-17406.htmlNotice - Submission for OMB Review; Comment Request2017-08-17T00:00:00-07:002017-08-17T00:00:00-07:002017-17406Noticehttps://www.gpo.gov/fdsys/pkg/FR-2017-08-17/pdf/2017-17406.pdfhttps://regulations.justia.com/regulations/fedreg/2017/08/17/2017-17405.htmlNotice - Submission for OMB Review; Comment Request2017-08-17T00:00:00-07:002017-08-17T00:00:00-07:002017-17405Noticehttps://www.gpo.gov/fdsys/pkg/FR-2017-08-17/pdf/2017-17405.pdfhttps://regulations.justia.com/regulations/fedreg/2017/08/17/2017-17367.htmlNotice - Self-Regulatory Organizations; NASDAQ PHLX LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Further Clarify When Nasdaq PSX Will Utilize the Secondary Source of Data Pursuant to Rule 33042017-08-17T00:00:00-07:002017-08-17T00:00:00-07:002017-17367Noticehttps://www.gpo.gov/fdsys/pkg/FR-2017-08-17/pdf/2017-17367.pdfhttps://regulations.justia.com/regulations/fedreg/2017/08/17/2017-17366.htmlNotice - Self-Regulatory Organizations; NASDAQ BX, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Further Clarify When the Exchange Will Utilize the Secondary Source of Data Pursuant to Rule 47592017-08-17T00:00:00-07:002017-08-17T00:00:00-07:002017-17366Noticehttps://www.gpo.gov/fdsys/pkg/FR-2017-08-17/pdf/2017-17366.pdfhttps://regulations.justia.com/regulations/fedreg/2017/08/16/2017-17278.htmlNotice - Self-Regulatory Organizations; NASDAQ PHLX LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the Exchange's Pricing Schedule2017-08-16T00:00:00-07:002017-08-16T00:00:00-07:002017-17278Noticehttps://www.gpo.gov/fdsys/pkg/FR-2017-08-16/pdf/2017-17278.pdfhttps://regulations.justia.com/regulations/fedreg/2017/08/16/2017-17277.htmlNotice - Self-Regulatory Organizations; Miami International Securities Exchange LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Its Fee Schedule in Connection With the Adoption of Certain New Complex Order Types2017-08-16T00:00:00-07:002017-08-16T00:00:00-07:002017-17277Noticehttps://www.gpo.gov/fdsys/pkg/FR-2017-08-16/pdf/2017-17277.pdfhttps://regulations.justia.com/regulations/fedreg/2017/08/16/2017-17276.htmlNotice - Self-Regulatory Organizations; NASDAQ PHLX LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Chapter VI, Section A of Its Pricing Schedule Relating to the Exchange's Monthly Permit Fees for PSX Only Members2017-08-16T00:00:00-07:002017-08-16T00:00:00-07:002017-17276Noticehttps://www.gpo.gov/fdsys/pkg/FR-2017-08-16/pdf/2017-17276.pdfhttps://regulations.justia.com/regulations/fedreg/2017/08/16/2017-17275.htmlNotice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing of Proposed Rule Change To Amend NYSE Arca Equities Rule 8.700 To Reference EURO STOXX 50 Volatility Index Futures and To List and Trade Shares of the ProShares European Volatility Futures ETF2017-08-16T00:00:00-07:002017-08-16T00:00:00-07:002017-17275Noticehttps://www.gpo.gov/fdsys/pkg/FR-2017-08-16/pdf/2017-17275.pdfhttps://regulations.justia.com/regulations/fedreg/2017/08/16/2017-17274.htmlNotice - Self-Regulatory Organizations; Bats EDGA Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Related to Fees for Use on Bats EDGA Exchange, Inc.2017-08-16T00:00:00-07:002017-08-16T00:00:00-07:002017-17274Noticehttps://www.gpo.gov/fdsys/pkg/FR-2017-08-16/pdf/2017-17274.pdfhttps://regulations.justia.com/regulations/fedreg/2017/08/16/2017-17273.htmlNotice - Self-Regulatory Organizations; Bats BYX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Rule 11.24, Retail Price Improvement Program, To Extend the Pilot Period2017-08-16T00:00:00-07:002017-08-16T00:00:00-07:002017-17273Noticehttps://www.gpo.gov/fdsys/pkg/FR-2017-08-16/pdf/2017-17273.pdfhttps://regulations.justia.com/regulations/fedreg/2017/08/16/2017-17272.htmlNotice - Self-Regulatory Organizations; Miami International Securities Exchange, LLC; Notice of Filing of a Proposed Rule Change To Adopt Rules Relating to Trading in Index Options2017-08-16T00:00:00-07:002017-08-16T00:00:00-07:002017-17272Noticehttps://www.gpo.gov/fdsys/pkg/FR-2017-08-16/pdf/2017-17272.pdfhttps://regulations.justia.com/regulations/fedreg/2017/08/15/2017-17286.htmlNotice - Sunshine Act Meeting2017-08-15T00:00:00-07:002017-08-15T00:00:00-07:002017-17286Noticehttps://www.gpo.gov/fdsys/pkg/FR-2017-08-15/pdf/2017-17286.pdfhttps://regulations.justia.com/regulations/fedreg/2017/08/15/2017-17179.htmlNotice - Self-Regulatory Organizations; Chicago Stock Exchange, Inc.; Notice of Filing of Amendment No. 1 and Order Granting Accelerated Approval of a Proposed Rule Change, as Modified by Amendment No. 1, Regarding the Acquisition of CHX Holdings, Inc. by North America Casin Holdings, Inc.2017-08-15T00:00:00-07:002017-08-15T00:00:00-07:002017-17179Noticehttps://www.gpo.gov/fdsys/pkg/FR-2017-08-15/pdf/2017-17179.pdfhttps://regulations.justia.com/regulations/fedreg/2017/08/15/2017-17172.htmlNotice - Self-Regulatory Organizations: Investors Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Correct Nonsubstantive Conflicting Rule Text in Rule 11.1902017-08-15T00:00:00-07:002017-08-15T00:00:00-07:002017-17172Noticehttps://www.gpo.gov/fdsys/pkg/FR-2017-08-15/pdf/2017-17172.pdfhttps://regulations.justia.com/regulations/fedreg/2017/08/15/2017-17171.htmlNotice - Self-Regulatory Organizations; Bats BZX Exchange, 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 the VanEck Vectors AMT-Free National Municipal Index ETF of VanEck Vectors ETF Trust Under BZX Rule 14.11(c)(4)2017-08-15T00:00:00-07:002017-08-15T00:00:00-07:002017-17171Noticehttps://www.gpo.gov/fdsys/pkg/FR-2017-08-15/pdf/2017-17171.pdfhttps://regulations.justia.com/regulations/fedreg/2017/08/15/2017-17170.htmlNotice - Self-Regulatory Organizations; NASDAQ PHLX LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the Exchange's Pricing Schedule2017-08-15T00:00:00-07:002017-08-15T00:00:00-07:002017-17170Noticehttps://www.gpo.gov/fdsys/pkg/FR-2017-08-15/pdf/2017-17170.pdfhttps://regulations.justia.com/regulations/fedreg/2017/08/15/2017-17169.htmlNotice - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the Exchange's Transaction Fees2017-08-15T00:00:00-07:002017-08-15T00:00:00-07:002017-17169Noticehttps://www.gpo.gov/fdsys/pkg/FR-2017-08-15/pdf/2017-17169.pdfhttps://regulations.justia.com/regulations/fedreg/2017/08/15/2017-17168.htmlNotice - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the Market Access and Routing Subsidy Program2017-08-15T00:00:00-07:002017-08-15T00:00:00-07:002017-17168Noticehttps://www.gpo.gov/fdsys/pkg/FR-2017-08-15/pdf/2017-17168.pdfhttps://regulations.justia.com/regulations/fedreg/2017/08/15/2017-17167.htmlNotice - Self-Regulatory Organizations; Nasdaq MRX, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Regarding Market Maker Quotations2017-08-15T00:00:00-07:002017-08-15T00:00:00-07:002017-17167Noticehttps://www.gpo.gov/fdsys/pkg/FR-2017-08-15/pdf/2017-17167.pdfhttps://regulations.justia.com/regulations/fedreg/2017/08/15/2017-17162.htmlNotice - Self-Regulatory Organization; BATS BYX-Exchange, Inc.; Order Granting an Extension to Limited Exemption From Rule 612(c) of Regulation NMS in Connection With the Exchange's Retail Price Improvement Program2017-08-15T00:00:00-07:002017-08-15T00:00:00-07:002017-17162Noticehttps://www.gpo.gov/fdsys/pkg/FR-2017-08-15/pdf/2017-17162.pdfhttps://regulations.justia.com/regulations/fedreg/2017/08/15/2017-17138.htmlNotice - Equity Market Structure Advisory Committee2017-08-15T00:00:00-07:002017-08-15T00:00:00-07:002017-17138Noticehttps://www.gpo.gov/fdsys/pkg/FR-2017-08-15/pdf/2017-17138.pdfhttps://regulations.justia.com/regulations/fedreg/2017/08/14/2017-17069.htmlNotice - 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 Errors2017-08-14T00:00:00-07:002017-08-14T00:00:00-07:002017-17069Noticehttps://www.gpo.gov/fdsys/pkg/FR-2017-08-14/pdf/2017-17069.pdfhttps://regulations.justia.com/regulations/fedreg/2017/08/14/2017-17068.htmlNotice - 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 Errors2017-08-14T00:00:00-07:002017-08-14T00:00:00-07:002017-17068Noticehttps://www.gpo.gov/fdsys/pkg/FR-2017-08-14/pdf/2017-17068.pdfhttps://regulations.justia.com/regulations/fedreg/2017/08/14/2017-17067.htmlNotice - 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 Errors2017-08-14T00:00:00-07:002017-08-14T00:00:00-07:002017-17067Noticehttps://www.gpo.gov/fdsys/pkg/FR-2017-08-14/pdf/2017-17067.pdfhttps://regulations.justia.com/regulations/fedreg/2017/08/14/2017-17066.htmlNotice - 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)2017-08-14T00:00:00-07:002017-08-14T00:00:00-07:002017-17066Noticehttps://www.gpo.gov/fdsys/pkg/FR-2017-08-14/pdf/2017-17066.pdfhttps://regulations.justia.com/regulations/fedreg/2017/08/14/2017-17065.htmlNotice - Self-Regulatory Organizations; Nasdaq ISE, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Its Schedule of Fees2017-08-14T00:00:00-07:002017-08-14T00:00:00-07:002017-17065Noticehttps://www.gpo.gov/fdsys/pkg/FR-2017-08-14/pdf/2017-17065.pdfhttps://regulations.justia.com/regulations/fedreg/2017/08/14/2017-17053.htmlNotice - 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 Errors2017-08-14T00:00:00-07:002017-08-14T00:00:00-07:002017-17053Noticehttps://www.gpo.gov/fdsys/pkg/FR-2017-08-14/pdf/2017-17053.pdfhttps://regulations.justia.com/regulations/fedreg/2017/08/14/2017-17052.htmlNotice - 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 Framework2017-08-14T00:00:00-07:002017-08-14T00:00:00-07:002017-17052Noticehttps://www.gpo.gov/fdsys/pkg/FR-2017-08-14/pdf/2017-17052.pdfhttps://regulations.justia.com/regulations/fedreg/2017/08/14/2017-17051.htmlNotice - 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 Order2017-08-14T00:00:00-07:002017-08-14T00:00:00-07:002017-17051Noticehttps://www.gpo.gov/fdsys/pkg/FR-2017-08-14/pdf/2017-17051.pdfhttps://regulations.justia.com/regulations/fedreg/2017/08/14/2017-17050.htmlNotice - 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 Fee2017-08-14T00:00:00-07:002017-08-14T00:00:00-07:002017-17050Noticehttps://www.gpo.gov/fdsys/pkg/FR-2017-08-14/pdf/2017-17050.pdfhttps://regulations.justia.com/regulations/fedreg/2017/08/14/2017-17049.htmlNotice - 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 Fee2017-08-14T00:00:00-07:002017-08-14T00:00:00-07:002017-17049Noticehttps://www.gpo.gov/fdsys/pkg/FR-2017-08-14/pdf/2017-17049.pdfhttps://regulations.justia.com/regulations/fedreg/2017/08/14/2017-17048.htmlNotice - 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 Fee2017-08-14T00:00:00-07:002017-08-14T00:00:00-07:002017-17048Noticehttps://www.gpo.gov/fdsys/pkg/FR-2017-08-14/pdf/2017-17048.pdfhttps://regulations.justia.com/regulations/fedreg/2017/08/14/2017-17047.htmlNotice - 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 Fee2017-08-14T00:00:00-07:002017-08-14T00:00:00-07:002017-17047Noticehttps://www.gpo.gov/fdsys/pkg/FR-2017-08-14/pdf/2017-17047.pdfhttps://regulations.justia.com/regulations/fedreg/2017/08/14/2017-17046.htmlNotice - 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 Fee2017-08-14T00:00:00-07:002017-08-14T00:00:00-07:002017-17046Noticehttps://www.gpo.gov/fdsys/pkg/FR-2017-08-14/pdf/2017-17046.pdfhttps://regulations.justia.com/regulations/fedreg/2017/08/14/2017-17045.htmlNotice - 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 Units2017-08-14T00:00:00-07:002017-08-14T00:00:00-07:002017-17045Noticehttps://www.gpo.gov/fdsys/pkg/FR-2017-08-14/pdf/2017-17045.pdfhttps://regulations.justia.com/regulations/fedreg/2017/08/14/2017-17044.htmlNotice - 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 Services2017-08-14T00:00:00-07:002017-08-14T00:00:00-07:002017-17044Noticehttps://www.gpo.gov/fdsys/pkg/FR-2017-08-14/pdf/2017-17044.pdfhttps://regulations.justia.com/regulations/fedreg/2017/08/14/2017-17043.htmlNotice - 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 Framework2017-08-14T00:00:00-07:002017-08-14T00:00:00-07:002017-17043Noticehttps://www.gpo.gov/fdsys/pkg/FR-2017-08-14/pdf/2017-17043.pdfhttps://regulations.justia.com/regulations/fedreg/2017/08/14/2017-17042.htmlNotice - 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 Options2017-08-14T00:00:00-07:002017-08-14T00:00:00-07:002017-17042Noticehttps://www.gpo.gov/fdsys/pkg/FR-2017-08-14/pdf/2017-17042.pdfhttps://regulations.justia.com/regulations/fedreg/2017/08/11/2017-17070.htmlNotice - Sunshine Act Meeting2017-08-11T00:00:00-07:002017-08-11T00:00:00-07:002017-17070Noticehttps://www.gpo.gov/fdsys/pkg/FR-2017-08-11/pdf/2017-17070.pdfhttps://regulations.justia.com/regulations/fedreg/2017/08/11/2017-16930.htmlNotice - Self-Regulatory Organizations; C2 Options Exchange, Incorporated; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Adopt Rule 6.49, C2 Trade Match System2017-08-11T00:00:00-07:002017-08-11T00:00:00-07:002017-16930Noticehttps://www.gpo.gov/fdsys/pkg/FR-2017-08-11/pdf/2017-16930.pdfhttps://regulations.justia.com/regulations/fedreg/2017/08/11/2017-16929.htmlNotice - Self-Regulatory Organizations; Bats BYX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Related to Fees for Use on Bats BYX Exchange, Inc.2017-08-11T00:00:00-07:002017-08-11T00:00:00-07:002017-16929Noticehttps://www.gpo.gov/fdsys/pkg/FR-2017-08-11/pdf/2017-16929.pdfhttps://regulations.justia.com/regulations/fedreg/2017/08/11/2017-16928.htmlNotice - Self-Regulatory Organizations; NYSE Arca, Inc.; 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 Date2017-08-11T00:00:00-07:002017-08-11T00:00:00-07:002017-16928Noticehttps://www.gpo.gov/fdsys/pkg/FR-2017-08-11/pdf/2017-16928.pdfhttps://regulations.justia.com/regulations/fedreg/2017/08/11/2017-16927.htmlNotice - Self-Regulatory Organizations; MIAX PEARL, LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend MIAX PEARL Rules 504, Trading Halts, and 521, Nullification and Adjustment of Options Transactions Including Obvious Errors2017-08-11T00:00:00-07:002017-08-11T00:00:00-07:002017-16927Noticehttps://www.gpo.gov/fdsys/pkg/FR-2017-08-11/pdf/2017-16927.pdfhttps://regulations.justia.com/regulations/fedreg/2017/08/11/2017-16926.htmlNotice - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Chapter V, Section 6, Nullification and Adjustment of Options Transactions Including Obvious Errors2017-08-11T00:00:00-07:002017-08-11T00:00:00-07:002017-16926Noticehttps://www.gpo.gov/fdsys/pkg/FR-2017-08-11/pdf/2017-16926.pdfhttps://regulations.justia.com/regulations/fedreg/2017/08/11/2017-16925.htmlNotice - Self-Regulatory Organizations; Nasdaq ISE, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Rule 720, Nullification and Adjustment of Options Transactions Including Obvious Errors2017-08-11T00:00:00-07:002017-08-11T00:00:00-07:002017-16925Noticehttps://www.gpo.gov/fdsys/pkg/FR-2017-08-11/pdf/2017-16925.pdfhttps://regulations.justia.com/regulations/fedreg/2017/08/11/2017-16924.htmlNotice - Self-Regulatory Organizations; Miami International Securities Exchange, LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend MIAX Options Rules 504, Trading Halts, and 521, Nullification and Adjustment of Options Transactions Including Obvious Errors2017-08-11T00:00:00-07:002017-08-11T00:00:00-07:002017-16924Noticehttps://www.gpo.gov/fdsys/pkg/FR-2017-08-11/pdf/2017-16924.pdfhttps://regulations.justia.com/regulations/fedreg/2017/08/10/2017-16931.htmlNotice - 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.'s Options Platform2017-08-10T00:00:00-07:002017-08-10T00:00:00-07:002017-16931Noticehttps://www.gpo.gov/fdsys/pkg/FR-2017-08-10/pdf/2017-16931.pdfhttps://regulations.justia.com/regulations/fedreg/2017/08/10/2017-16831.htmlNotice - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Order Approving Proposed Rule Change To Make Available a New TRACE Security Activity Report2017-08-10T00:00:00-07:002017-08-10T00:00:00-07:002017-16831Noticehttps://www.gpo.gov/fdsys/pkg/FR-2017-08-10/pdf/2017-16831.pdfhttps://regulations.justia.com/regulations/fedreg/2017/08/10/2017-16830.htmlNotice - Self-Regulatory Organizations; Investors Exchange LLC; Notice of Filing of Amendment No. 2 and Order Granting Accelerated Approval of Proposed Rule Change, as Modified by Amendment No. 2, Relating to Auctions in IEX-Listed Securities, Dissemination of Auction-Related Market Data, and Trading Halts and Pauses2017-08-10T00:00:00-07:002017-08-10T00:00:00-07:002017-16830Noticehttps://www.gpo.gov/fdsys/pkg/FR-2017-08-10/pdf/2017-16830.pdfhttps://regulations.justia.com/regulations/fedreg/2017/08/10/2017-16829.htmlNotice - Self-Regulatory Organizations; Chicago Stock Exchange, Inc.; Notice of Filing of Proposed Rule Change Regarding Qualified Contingent Trades and Related Information Recording Obligations by Certain Participants2017-08-10T00:00:00-07:002017-08-10T00:00:00-07:002017-16829Noticehttps://www.gpo.gov/fdsys/pkg/FR-2017-08-10/pdf/2017-16829.pdfhttps://regulations.justia.com/regulations/fedreg/2017/08/09/2017-16795.htmlNotice - Sage Advisory Services LTD Co. and Northern Lights Fund Trust IV2017-08-09T00:00:00-07:002017-08-09T00:00:00-07:002017-16795Noticehttps://www.gpo.gov/fdsys/pkg/FR-2017-08-09/pdf/2017-16795.pdfhttps://regulations.justia.com/regulations/fedreg/2017/08/09/2017-16744.htmlNotice - Self-Regulatory Organizations; Nasdaq MRX, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Establish Ports That Members Use To Connect to the Exchange2017-08-09T00:00:00-07:002017-08-09T00:00:00-07:002017-16744Noticehttps://www.gpo.gov/fdsys/pkg/FR-2017-08-09/pdf/2017-16744.pdfhttps://regulations.justia.com/regulations/fedreg/2017/08/09/2017-16743.htmlNotice - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing of Proposed Rule Change To Adopt the Midpoint Extended Life Order2017-08-09T00:00:00-07:002017-08-09T00:00:00-07:002017-16743Noticehttps://www.gpo.gov/fdsys/pkg/FR-2017-08-09/pdf/2017-16743.pdfhttps://regulations.justia.com/regulations/fedreg/2017/08/09/2017-16742.htmlNotice - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing of Proposed Rule Change for Trading UTP Securities on Pillar, the Exchange's New Trading Technology Platform, Including Orders and Modifiers, Order Ranking and Display, and Order Execution and Routing2017-08-09T00:00:00-07:002017-08-09T00:00:00-07:002017-16742Noticehttps://www.gpo.gov/fdsys/pkg/FR-2017-08-09/pdf/2017-16742.pdfhttps://regulations.justia.com/regulations/fedreg/2017/08/09/2017-16741.htmlNotice - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Designation of Longer Period for Commission Action on a Proposed Rule Change, as Modified by Amendment No. 1, To Amend Section 102.01B of the NYSE Listed Company Manual To Provide for the Listing of Companies That List Without a Prior Exchange Act Registration and That Are Not Listing in Connection With an Underwritten Initial Public Offering and Related Changes to Rules 15, 104, and 123D2017-08-09T00:00:00-07:002017-08-09T00:00:00-07:002017-16741Noticehttps://www.gpo.gov/fdsys/pkg/FR-2017-08-09/pdf/2017-16741.pdfhttps://regulations.justia.com/regulations/fedreg/2017/08/09/2017-16740.htmlNotice - Self-Regulatory Organizations; National Securities Clearing Corporation; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Establish the Effective Date of the Settlement Cycle Rule Changes2017-08-09T00:00:00-07:002017-08-09T00:00:00-07:002017-16740Noticehttps://www.gpo.gov/fdsys/pkg/FR-2017-08-09/pdf/2017-16740.pdfhttps://regulations.justia.com/regulations/fedreg/2017/08/09/2017-16739.htmlNotice - Self-Regulatory Organizations; The Depository Trust Company; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Establish the Effective Date of the Settlement Cycle Rule Changes2017-08-09T00:00:00-07:002017-08-09T00:00:00-07:002017-16739Noticehttps://www.gpo.gov/fdsys/pkg/FR-2017-08-09/pdf/2017-16739.pdfhttps://regulations.justia.com/regulations/fedreg/2017/08/09/2017-16738.htmlNotice - 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.'s Equity Options Platform2017-08-09T00:00:00-07:002017-08-09T00:00:00-07:002017-16738Noticehttps://www.gpo.gov/fdsys/pkg/FR-2017-08-09/pdf/2017-16738.pdfhttps://regulations.justia.com/regulations/fedreg/2017/08/09/2017-16737.htmlNotice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Rule 7.372017-08-09T00:00:00-07:002017-08-09T00:00:00-07:002017-16737Noticehttps://www.gpo.gov/fdsys/pkg/FR-2017-08-09/pdf/2017-16737.pdfhttps://regulations.justia.com/regulations/fedreg/2017/08/09/2017-16715.htmlNotice - Security-Based Swap Data Repositories; DTCC Data Repository (U.S.), LLC; Notice of Filing of Amended Application for Registration as a Security-Based Swap Data Repository2017-08-09T00:00:00-07:002017-08-09T00:00:00-07:002017-16715Noticehttps://www.gpo.gov/fdsys/pkg/FR-2017-08-09/pdf/2017-16715.pdfhttps://regulations.justia.com/regulations/fedreg/2017/08/08/2017-16745.htmlNotice - Sunshine Act Meeting2017-08-08T00:00:00-07:002017-08-08T00:00:00-07:002017-16745Noticehttps://www.gpo.gov/fdsys/pkg/FR-2017-08-08/pdf/2017-16745.pdfhttps://regulations.justia.com/regulations/fedreg/2017/08/08/2017-16640.htmlNotice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Designation of a Longer Period for Commission Action on Proposed Rule Change in Connection With the Proposed Merger of Its Wholly Owned Subsidiary NYSE Arca Equities, Inc. With and Into the Exchange2017-08-08T00:00:00-07:002017-08-08T00:00:00-07:002017-16640Noticehttps://www.gpo.gov/fdsys/pkg/FR-2017-08-08/pdf/2017-16640.pdfhttps://regulations.justia.com/regulations/fedreg/2017/08/08/2017-16639.htmlNotice - Self-Regulatory Organizations; NASDAQ PHLX LLC; Order Granting Approval of a Proposed Rule Change, as Modified by Amendment Nos. 1 and 2, To Permit the Listing and Trading of P.M.-Settled NASDAQ-100 Index® Options on a Pilot Basis2017-08-08T00:00:00-07:002017-08-08T00:00:00-07:002017-16639Noticehttps://www.gpo.gov/fdsys/pkg/FR-2017-08-08/pdf/2017-16639.pdfhttps://regulations.justia.com/regulations/fedreg/2017/08/08/2017-16638.htmlNotice - Self-Regulatory Organizations; BOX Options Exchange LLC; Order Approving a Proposed Rule Change, as Modified by Amendment Nos. 1 and 2, To Adopt Rules for an Open-Outcry Trading Floor2017-08-08T00:00:00-07:002017-08-08T00:00:00-07:002017-16638Noticehttps://www.gpo.gov/fdsys/pkg/FR-2017-08-08/pdf/2017-16638.pdfhttps://regulations.justia.com/regulations/fedreg/2017/08/08/2017-16637.htmlNotice - Self-Regulatory Organizations; Bats EDGA Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Related to Fees for Use on Bats EDGA Exchange, Inc.2017-08-08T00:00:00-07:002017-08-08T00:00:00-07:002017-16637Noticehttps://www.gpo.gov/fdsys/pkg/FR-2017-08-08/pdf/2017-16637.pdfhttps://regulations.justia.com/regulations/fedreg/2017/08/08/2017-16636.htmlNotice - Self-Regulatory Organizations; Bats EDGX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Fees for Use of Bats EDGX Exchange, Inc. and Bats EDGX Exchange, Inc.'s Equity Options Platform2017-08-08T00:00:00-07:002017-08-08T00:00:00-07:002017-16636Noticehttps://www.gpo.gov/fdsys/pkg/FR-2017-08-08/pdf/2017-16636.pdfhttps://regulations.justia.com/regulations/fedreg/2017/08/08/2017-16635.htmlNotice - 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. and Bats BZX Exchange, Inc.'s Equity Options Platform2017-08-08T00:00:00-07:002017-08-08T00:00:00-07:002017-16635Noticehttps://www.gpo.gov/fdsys/pkg/FR-2017-08-08/pdf/2017-16635.pdfhttps://regulations.justia.com/regulations/fedreg/2017/08/08/2017-16634.htmlNotice - Self-Regulatory Organizations; Bats BYX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Related to Fees for Use on Bats BYX Exchange, Inc.2017-08-08T00:00:00-07:002017-08-08T00:00:00-07:002017-16634Noticehttps://www.gpo.gov/fdsys/pkg/FR-2017-08-08/pdf/2017-16634.pdfhttps://regulations.justia.com/regulations/fedreg/2017/08/08/2017-16631.htmlNotice - Self-Regulatory Organizations; National Securities Clearing Corporation; Notice of Filing of Advance Notice To Expand the Application of the Family-Issued Securities Charge2017-08-08T00:00:00-07:002017-08-08T00:00:00-07:002017-16631Noticehttps://www.gpo.gov/fdsys/pkg/FR-2017-08-08/pdf/2017-16631.pdfhttps://regulations.justia.com/regulations/fedreg/2017/08/07/2017-16514.htmlNotice - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Designation of a Longer Period for Commission Action on a Proposed Rule Change To Adopt FINRA Rule 6898 (Consolidated Audit Trail-Fee Dispute Resolution)2017-08-07T00:00:00-07:002017-08-07T00:00:00-07:002017-16514Noticehttps://www.gpo.gov/fdsys/pkg/FR-2017-08-07/pdf/2017-16514.pdfhttps://regulations.justia.com/regulations/fedreg/2017/08/07/2017-16513.htmlNotice - Self-Regulatory Organizations; Investors Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Adopt a Policy Relating to Its Treatment of Trade Reports That It Determines To Be Inconsistent With the Prevailing Market2017-08-07T00:00:00-07:002017-08-07T00:00:00-07:002017-16513Noticehttps://www.gpo.gov/fdsys/pkg/FR-2017-08-07/pdf/2017-16513.pdfhttps://regulations.justia.com/regulations/fedreg/2017/08/07/2017-16511.htmlNotice - Northern Lights Fund Trust and Toews Corporation2017-08-07T00:00:00-07:002017-08-07T00:00:00-07:002017-16511Noticehttps://www.gpo.gov/fdsys/pkg/FR-2017-08-07/pdf/2017-16511.pdfhttps://regulations.justia.com/regulations/fedreg/2017/08/07/2017-16510.htmlNotice - MVC Capital, Inc., et al.2017-08-07T00:00:00-07:002017-08-07T00:00:00-07:002017-16510Noticehttps://www.gpo.gov/fdsys/pkg/FR-2017-08-07/pdf/2017-16510.pdfhttps://regulations.justia.com/regulations/fedreg/2017/08/04/2017-16405.htmlNotice - Self-Regulatory Organizations; NASDAQ PHLX LLC; Notice of Filing of Proposed Rule Change to a Proposal To Amend Rule 1027, Discretionary Accounts, To Conform It More Closely to a Comparable Rule of the Chicago Board Options Exchange (“CBOE”) and To Make Minor Corrections and Clarifications2017-08-04T00:00:00-07:002017-08-04T00:00:00-07:002017-16405Noticehttps://www.gpo.gov/fdsys/pkg/FR-2017-08-04/pdf/2017-16405.pdfhttps://regulations.justia.com/regulations/fedreg/2017/08/04/2017-16404.htmlNotice - Self-Regulatory Organizations; NYSE National, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Rule 11.26 To Modify the Date of Appendix B Web site Data Publication Pursuant to the Regulation NMS Plan To Implement a Tick Size Pilot Program2017-08-04T00:00:00-07:002017-08-04T00:00:00-07:002017-16404Noticehttps://www.gpo.gov/fdsys/pkg/FR-2017-08-04/pdf/2017-16404.pdfhttps://regulations.justia.com/regulations/fedreg/2017/08/04/2017-16403.htmlNotice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Modify the NYSE Arca Options Fee Schedule2017-08-04T00:00:00-07:002017-08-04T00:00:00-07:002017-16403Noticehttps://www.gpo.gov/fdsys/pkg/FR-2017-08-04/pdf/2017-16403.pdfhttps://regulations.justia.com/regulations/fedreg/2017/08/04/2017-16402.htmlNotice - Self-Regulatory Organizations; NYSE Arca, Inc.; Order Instituting Proceedings To Determine Whether To Approve or Disapprove a Proposed Rule Change To Adopt NYSE Arca Equities Rule 8.900 To Permit Listing and Trading of Managed Portfolio Shares and To List and Trade Shares of the Royce Pennsylvania ETF; Royce Premier ETF; and Royce Total Return ETF Under Proposed NYSE Arca Equities Rule 8.9002017-08-04T00:00:00-07:002017-08-04T00:00:00-07:002017-16402Noticehttps://www.gpo.gov/fdsys/pkg/FR-2017-08-04/pdf/2017-16402.pdfhttps://regulations.justia.com/regulations/fedreg/2017/08/04/2017-16401.htmlNotice - Self-Regulatory Organizations; National Securities Clearing Corporation; The Options Clearing Corporation; Order Approving Proposed Rule Changes Concerning the Adoption of a New Stock Options and Futures Settlement Agreement Between the National Securities Clearing Corporation and The Options Clearing Corporation2017-08-04T00:00:00-07:002017-08-04T00:00:00-07:002017-16401Noticehttps://www.gpo.gov/fdsys/pkg/FR-2017-08-04/pdf/2017-16401.pdfhttps://regulations.justia.com/regulations/fedreg/2017/08/04/2017-16400.htmlNotice - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing of Amendment No. 1, and Order Granting Accelerated Approval of a Proposed Rule Change, as Modified by Amendments No. 1 and 2, Relating to the First Trust Municipal High Income ETF2017-08-04T00:00:00-07:002017-08-04T00:00:00-07:002017-16400Noticehttps://www.gpo.gov/fdsys/pkg/FR-2017-08-04/pdf/2017-16400.pdfhttps://regulations.justia.com/regulations/fedreg/2017/08/04/2017-16399.htmlNotice - Self-Regulatory Organizations; Municipal Securities Rulemaking Board; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Assess an Underwriting Fee on Dealers That Are Underwriters of Primary Offerings of Plans2017-08-04T00:00:00-07:002017-08-04T00:00:00-07:002017-16399Noticehttps://www.gpo.gov/fdsys/pkg/FR-2017-08-04/pdf/2017-16399.pdfhttps://regulations.justia.com/regulations/fedreg/2017/08/04/2017-16398.htmlNotice - Self-Regulatory Organizations; Nasdaq ISE, LLC; Notice of Filing of Amendment No. 1 and Order Granting Accelerated Approval of a Proposed Rule Change, as Modified by Amendment No. 1 Thereto, To Harmonize the Corporate Governance Framework of Nasdaq ISE, LLC With That of The NASDAQ Stock Market LLC, NASDAQ PHLX LLC, and NASDAQ BX, Inc.2017-08-04T00:00:00-07:002017-08-04T00:00:00-07:002017-16398Noticehttps://www.gpo.gov/fdsys/pkg/FR-2017-08-04/pdf/2017-16398.pdfhttps://regulations.justia.com/regulations/fedreg/2017/08/04/2017-16397.htmlNotice - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Rule 6.1, Days and Hours of Business, To Clarify the Trading Hours for Options on Exchange-Traded Funds and Exchange-Traded Notes2017-08-04T00:00:00-07:002017-08-04T00:00:00-07:002017-16397Noticehttps://www.gpo.gov/fdsys/pkg/FR-2017-08-04/pdf/2017-16397.pdfhttps://regulations.justia.com/regulations/fedreg/2017/08/04/2017-16395.htmlNotice - Self-Regulatory Organizations; National Securities Clearing Corporation; The Options Clearing Corporation; Notice of No Objection To Advance Notices Concerning the Adoption of a New Stock Options and Futures Settlement Agreement Between the National Securities Clearing Corporation and The Options Clearing Corporation2017-08-04T00:00:00-07:002017-08-04T00:00:00-07:002017-16395Noticehttps://www.gpo.gov/fdsys/pkg/FR-2017-08-04/pdf/2017-16395.pdfhttps://regulations.justia.com/regulations/fedreg/2017/08/04/2017-16393.htmlNotice - Sharespost 100 Fund and SP Investments Management, LLC2017-08-04T00:00:00-07:002017-08-04T00:00:00-07:002017-16393Noticehttps://www.gpo.gov/fdsys/pkg/FR-2017-08-04/pdf/2017-16393.pdfhttps://regulations.justia.com/regulations/fedreg/2017/08/04/2017-16392.htmlNotice - USQ Core Real Estate Fund and Union Square Capital Partners, LLC2017-08-04T00:00:00-07:002017-08-04T00:00:00-07:002017-16392Noticehttps://www.gpo.gov/fdsys/pkg/FR-2017-08-04/pdf/2017-16392.pdfhttps://regulations.justia.com/regulations/fedreg/2017/08/04/2017-16391.htmlNotice - Proposed Collection; Comment Request2017-08-04T00:00:00-07:002017-08-04T00:00:00-07:002017-16391Noticehttps://www.gpo.gov/fdsys/pkg/FR-2017-08-04/pdf/2017-16391.pdfhttps://regulations.justia.com/regulations/fedreg/2017/08/03/2017-16396.htmlNotice - Self-Regulatory Organizations; C2 Options Exchange, Incorporated; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Rule 6.1, Days and Hours of Business, To Clarify the Trading Hours for Options on Index-Linked Exchangeable Notes2017-08-03T00:00:00-07:002017-08-03T00:00:00-07:002017-16396Noticehttps://www.gpo.gov/fdsys/pkg/FR-2017-08-03/pdf/2017-16396.pdfhttps://regulations.justia.com/regulations/fedreg/2017/08/03/2017-16298.htmlNotice - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Alter the Exchange's Fee Schedule for the Short Interest Report2017-08-03T00:00:00-07:002017-08-03T00:00:00-07:002017-16298Noticehttps://www.gpo.gov/fdsys/pkg/FR-2017-08-03/pdf/2017-16298.pdfhttps://regulations.justia.com/regulations/fedreg/2017/08/03/2017-16297.htmlNotice - Self-Regulatory Organizations; Fixed Income Clearing Corporation; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the Fees in the Mortgage-Backed Securities Division Clearing Rules and the EPN Rules2017-08-03T00:00:00-07:002017-08-03T00:00:00-07:002017-16297Noticehttps://www.gpo.gov/fdsys/pkg/FR-2017-08-03/pdf/2017-16297.pdfhttps://regulations.justia.com/regulations/fedreg/2017/08/03/2017-16296.htmlNotice - Self-Regulatory Organizations; Miami International Securities Exchange LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Adopt a New Type of MIAX Express Interface Port Known as a Purge Port, To Amend MIAX Options Rule 519C, Mass Cancellation of Trading Interest, To Adopt a New Purge Message, and To Amend Its Fee Schedule To Adopt Fees for Purge Ports2017-08-03T00:00:00-07:002017-08-03T00:00:00-07:002017-16296Noticehttps://www.gpo.gov/fdsys/pkg/FR-2017-08-03/pdf/2017-16296.pdfhttps://regulations.justia.com/regulations/fedreg/2017/08/02/2017-16273.htmlNotice - Notice of Applications for Deregistration Under Section 8(f) of the Investment Company Act of 19402017-08-02T00:00:00-07:002017-08-02T00:00:00-07:002017-16273Noticehttps://www.gpo.gov/fdsys/pkg/FR-2017-08-02/pdf/2017-16273.pdfhttps://regulations.justia.com/regulations/fedreg/2017/08/02/2017-16271.htmlNotice - Self-Regulatory Organizations; NASDAQ BX, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend BX Rules at Chapter IV, Section 62017-08-02T00:00:00-07:002017-08-02T00:00:00-07:002017-16271Noticehttps://www.gpo.gov/fdsys/pkg/FR-2017-08-02/pdf/2017-16271.pdfhttps://regulations.justia.com/regulations/fedreg/2017/08/02/2017-16270.htmlNotice - 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 Products2017-08-02T00:00:00-07:002017-08-02T00:00:00-07:002017-16270Noticehttps://www.gpo.gov/fdsys/pkg/FR-2017-08-02/pdf/2017-16270.pdfhttps://regulations.justia.com/regulations/fedreg/2017/08/02/2017-16269.htmlNotice - 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 DTC2017-08-02T00:00:00-07:002017-08-02T00:00:00-07:002017-16269Noticehttps://www.gpo.gov/fdsys/pkg/FR-2017-08-02/pdf/2017-16269.pdfhttps://regulations.justia.com/regulations/fedreg/2017/08/02/2017-16268.htmlNotice - 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 Framework2017-08-02T00:00:00-07:002017-08-02T00:00:00-07:002017-16268Noticehttps://www.gpo.gov/fdsys/pkg/FR-2017-08-02/pdf/2017-16268.pdfhttps://regulations.justia.com/regulations/fedreg/2017/08/02/2017-16267.htmlNotice - 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 ETF2017-08-02T00:00:00-07:002017-08-02T00:00:00-07:002017-16267Noticehttps://www.gpo.gov/fdsys/pkg/FR-2017-08-02/pdf/2017-16267.pdfhttps://regulations.justia.com/regulations/fedreg/2017/08/02/2017-16266.htmlNotice - Self-Regulatory Organizations; NASDAQ PHLX LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Rule 10122017-08-02T00:00:00-07:002017-08-02T00:00:00-07:002017-16266Noticehttps://www.gpo.gov/fdsys/pkg/FR-2017-08-02/pdf/2017-16266.pdfhttps://regulations.justia.com/regulations/fedreg/2017/08/02/2017-16265.htmlNotice - 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 62017-08-02T00:00:00-07:002017-08-02T00:00:00-07:002017-16265Noticehttps://www.gpo.gov/fdsys/pkg/FR-2017-08-02/pdf/2017-16265.pdfhttps://regulations.justia.com/regulations/fedreg/2017/08/02/2017-16214.htmlNotice - Proposed Collection; Comment Request2017-08-02T00:00:00-07:002017-08-02T00:00:00-07:002017-16214Noticehttps://www.gpo.gov/fdsys/pkg/FR-2017-08-02/pdf/2017-16214.pdfhttps://regulations.justia.com/regulations/fedreg/2017/08/02/2017-16213.htmlNotice - 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 Standard2017-08-02T00:00:00-07:002017-08-02T00:00:00-07:002017-16213Noticehttps://www.gpo.gov/fdsys/pkg/FR-2017-08-02/pdf/2017-16213.pdfhttps://regulations.justia.com/regulations/fedreg/2017/08/02/2017-16212.htmlNotice - 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 Date2017-08-02T00:00:00-07:002017-08-02T00:00:00-07:002017-16212Noticehttps://www.gpo.gov/fdsys/pkg/FR-2017-08-02/pdf/2017-16212.pdfhttps://regulations.justia.com/regulations/fedreg/2017/08/02/2017-16211.htmlNotice - 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 Date2017-08-02T00:00:00-07:002017-08-02T00:00:00-07:002017-16211Noticehttps://www.gpo.gov/fdsys/pkg/FR-2017-08-02/pdf/2017-16211.pdfhttps://regulations.justia.com/regulations/fedreg/2017/08/02/2017-16209.htmlNotice - 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 Monitor2017-08-02T00:00:00-07:002017-08-02T00:00:00-07:002017-16209Noticehttps://www.gpo.gov/fdsys/pkg/FR-2017-08-02/pdf/2017-16209.pdfhttps://regulations.justia.com/regulations/fedreg/2017/08/02/2017-16208.htmlNotice - 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 Market2017-08-02T00:00:00-07:002017-08-02T00:00:00-07:002017-16208Noticehttps://www.gpo.gov/fdsys/pkg/FR-2017-08-02/pdf/2017-16208.pdfhttps://regulations.justia.com/regulations/fedreg/2017/08/02/2017-16207.htmlNotice - 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 Funds2017-08-02T00:00:00-07:002017-08-02T00:00:00-07:002017-16207Noticehttps://www.gpo.gov/fdsys/pkg/FR-2017-08-02/pdf/2017-16207.pdfhttps://regulations.justia.com/regulations/fedreg/2017/08/02/2017-16206.htmlNotice - 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 Platform2017-08-02T00:00:00-07:002017-08-02T00:00:00-07:002017-16206Noticehttps://www.gpo.gov/fdsys/pkg/FR-2017-08-02/pdf/2017-16206.pdfhttps://regulations.justia.com/regulations/fedreg/2017/08/02/2017-16205.htmlNotice - 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 8.2002017-08-02T00:00:00-07:002017-08-02T00:00:00-07:002017-16205Noticehttps://www.gpo.gov/fdsys/pkg/FR-2017-08-02/pdf/2017-16205.pdfhttps://regulations.justia.com/regulations/fedreg/2017/08/02/2017-16200.htmlNotice - Change Finance, PBC, et al.2017-08-02T00:00:00-07:002017-08-02T00:00:00-07:002017-16200Noticehttps://www.gpo.gov/fdsys/pkg/FR-2017-08-02/pdf/2017-16200.pdfhttps://regulations.justia.com/regulations/fedreg/2017/08/01/2017-16210.htmlNotice - Self-Regulatory Organizations; NASDAQ PHLX LLC; Notice of Filing of Proposed Rule Change To Add Functionality to the Options Floor Broker Management System2017-08-01T00:00:00-07:002017-08-01T00:00:00-07:002017-16210Noticehttps://www.gpo.gov/fdsys/pkg/FR-2017-08-01/pdf/2017-16210.pdfhttps://regulations.justia.com/regulations/fedreg/2017/08/01/2017-16173.htmlNotice - Security-Based Swap Data Repositories; ICE Trade Vault, LLC; Notice of Filing of Amended Application for Registration as a Security-Based Swap Data Repository2017-08-01T00:00:00-07:002017-08-01T00:00:00-07:002017-16173Noticehttps://www.gpo.gov/fdsys/pkg/FR-2017-08-01/pdf/2017-16173.pdfhttps://regulations.justia.com/regulations/fedreg/2017/08/01/2017-16109.htmlNotice - Self-Regulatory Organizations; Nasdaq ISE, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the Exchange's Schedule of Fees2017-08-01T00:00:00-07:002017-08-01T00:00:00-07:002017-16109Noticehttps://www.gpo.gov/fdsys/pkg/FR-2017-08-01/pdf/2017-16109.pdfhttps://regulations.justia.com/regulations/fedreg/2017/08/01/2017-16108.htmlNotice - Self-Regulatory Organizations; Nasdaq ISE, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Extend the Implementation Date in Rule 723(b)2017-08-01T00:00:00-07:002017-08-01T00:00:00-07:002017-16108Noticehttps://www.gpo.gov/fdsys/pkg/FR-2017-08-01/pdf/2017-16108.pdfhttps://regulations.justia.com/regulations/fedreg/2017/08/01/2017-16107.htmlNotice - Self-Regulatory Organizations; Fixed Income Clearing Corporation; Notice of Withdrawal of a Proposed Rule Change To Amend the Mortgage-Backed Securities Division Rules Concerning Use of Clearing Fund for Losses, Liabilities or Temporary Needs for Funds Incident to the Clearance and Settlement Business and Make Other Related Changes2017-08-01T00:00:00-07:002017-08-01T00:00:00-07:002017-16107Noticehttps://www.gpo.gov/fdsys/pkg/FR-2017-08-01/pdf/2017-16107.pdf