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/2017/09?limit=200®isters=between&min-day=1&max-day=30&mode=atom2024-05-07T01:12:28-07:00Justia Inchttps://www.justia.com/Justia Regulations Trackerhttps://regulations.justia.com/images/justiafedregulations.gifCopyright 2011 Justia Inchttps://regulations.justia.com/regulations/fedreg/2017/09/29/2017-20896.htmlNotice - Self-Regulatory Organizations; NYSE Arca, Inc.; Order Granting Approval of a Proposed Rule Change, as Modified by Amendment Nos. 2 and 3 Thereto, 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 8.2002017-09-29T00:00:00-07:002017-09-29T00:00:00-07:002017-20896Noticehttps://www.gpo.gov/fdsys/pkg/FR-2017-09-29/pdf/2017-20896.pdfhttps://regulations.justia.com/regulations/fedreg/2017/09/29/2017-20892.htmlNotice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Rule 6.40-O To Allow Certain Order Types To Be Excluded From the Risk Limitation Mechanism2017-09-29T00:00:00-07:002017-09-29T00:00:00-07:002017-20892Noticehttps://www.gpo.gov/fdsys/pkg/FR-2017-09-29/pdf/2017-20892.pdfhttps://regulations.justia.com/regulations/fedreg/2017/09/29/2017-20891.htmlNotice - Self-Regulatory Organizations; NYSE American LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Rule 928NY To Allow Certain Order Types To Be Excluded From the Risk Limitation Mechanism2017-09-29T00:00:00-07:002017-09-29T00:00:00-07:002017-20891Noticehttps://www.gpo.gov/fdsys/pkg/FR-2017-09-29/pdf/2017-20891.pdfhttps://regulations.justia.com/regulations/fedreg/2017/09/29/2017-20890.htmlNotice - Self-Regulatory Organizations; Bats BZX Exchange, Inc.; Notice of Withdrawal of a Proposed Rule Change, as Modified by Amendment No. 1, To List and Trade Under BZX Rule 14.11(c)(4) the Shares of the VanEck Vectors AMT-Free National Municipal Index ETF of VanEck Vectors ETF Trust2017-09-29T00:00:00-07:002017-09-29T00:00:00-07:002017-20890Noticehttps://www.gpo.gov/fdsys/pkg/FR-2017-09-29/pdf/2017-20890.pdfhttps://regulations.justia.com/regulations/fedreg/2017/09/29/2017-20889.htmlNotice - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Permit the Exchange To Publish End-of-Day Indicative Values in SPX After the Close of Regular Trading Hours in SPX2017-09-29T00:00:00-07:002017-09-29T00:00:00-07:002017-20889Noticehttps://www.gpo.gov/fdsys/pkg/FR-2017-09-29/pdf/2017-20889.pdfhttps://regulations.justia.com/regulations/fedreg/2017/09/29/2017-20888.htmlNotice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending NYSE Arca Rule 14.2 To Make Technical and Conforming Updates in Connection With the Recent Merger of NYSE Arca Equities, Inc. With and Into the Exchange2017-09-29T00:00:00-07:002017-09-29T00:00:00-07:002017-20888Noticehttps://www.gpo.gov/fdsys/pkg/FR-2017-09-29/pdf/2017-20888.pdfhttps://regulations.justia.com/regulations/fedreg/2017/09/29/2017-20887.htmlNotice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing of Proposed Rule Change To List and Trade Shares of the GraniteShares Silver Trust Under NYSE Arca Equities Rule 8.2012017-09-29T00:00:00-07:002017-09-29T00:00:00-07:002017-20887Noticehttps://www.gpo.gov/fdsys/pkg/FR-2017-09-29/pdf/2017-20887.pdfhttps://regulations.justia.com/regulations/fedreg/2017/09/29/2017-20886.htmlNotice - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Expand the Features of the Enterprise License Set Forth at Rule 70472017-09-29T00:00:00-07:002017-09-29T00:00:00-07:002017-20886Noticehttps://www.gpo.gov/fdsys/pkg/FR-2017-09-29/pdf/2017-20886.pdfhttps://regulations.justia.com/regulations/fedreg/2017/09/29/2017-20879.htmlNotice - Public Availability of the Securities and Exchange Commission's FY 2015 Service Contract Inventory2017-09-29T00:00:00-07:002017-09-29T00:00:00-07:002017-20879Noticehttps://www.gpo.gov/fdsys/pkg/FR-2017-09-29/pdf/2017-20879.pdfhttps://regulations.justia.com/regulations/fedreg/2017/09/29/2017-20654.htmlRule - Adoption of Updated EDGAR Filer Manual2017-09-29T00:00:00-07:002017-09-29T00:00:00-07:002017-20654Rulehttps://www.gpo.gov/fdsys/pkg/FR-2017-09-29/pdf/2017-20654.pdfhttps://regulations.justia.com/regulations/fedreg/2017/09/28/2017-20757.htmlNotice - Oaktree Strategic Income, LLC, et al.2017-09-28T00:00:00-07:002017-09-28T00:00:00-07:002017-20757Noticehttps://www.gpo.gov/fdsys/pkg/FR-2017-09-28/pdf/2017-20757.pdfhttps://regulations.justia.com/regulations/fedreg/2017/09/28/2017-20754.htmlNotice - Self-Regulatory Organizations; Chicago Stock Exchange, Inc.; Order Approving a Proposed Rule Change Regarding Qualified Contingent Trades and Related Information Recording Obligations by Certain Participants2017-09-28T00:00:00-07:002017-09-28T00:00:00-07:002017-20754Noticehttps://www.gpo.gov/fdsys/pkg/FR-2017-09-28/pdf/2017-20754.pdfhttps://regulations.justia.com/regulations/fedreg/2017/09/28/2017-20752.htmlNotice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Reflect Certain Changes Applicable to IQ Municipal Insured ETF, IQ Municipal Intermediate ETF, and IQ Municipal Short Duration ETF2017-09-28T00:00:00-07:002017-09-28T00:00:00-07:002017-20752Noticehttps://www.gpo.gov/fdsys/pkg/FR-2017-09-28/pdf/2017-20752.pdfhttps://regulations.justia.com/regulations/fedreg/2017/09/28/2017-20751.htmlNotice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing of Proposed Rule Change Relating to Listing and Trading of Shares of Breakwave Dry Bulk Shipping ETF Under NYSE Arca Rule 8.200-E, Commentary .022017-09-28T00:00:00-07:002017-09-28T00:00:00-07:002017-20751Noticehttps://www.gpo.gov/fdsys/pkg/FR-2017-09-28/pdf/2017-20751.pdfhttps://regulations.justia.com/regulations/fedreg/2017/09/28/2017-20750.htmlNotice - Self-Regulatory Organizations; ICE Clear Europe Limited; Notice of Filing and Order Granting Accelerated Approval of a Proposed Rule Change Relating to Amendments to the ICE Clear Europe CDS Risk Policy2017-09-28T00:00:00-07:002017-09-28T00:00:00-07:002017-20750Noticehttps://www.gpo.gov/fdsys/pkg/FR-2017-09-28/pdf/2017-20750.pdfhttps://regulations.justia.com/regulations/fedreg/2017/09/27/2017-20632.htmlRule - Commission Guidance on Pay Ratio Disclosure2017-09-27T00:00:00-07:002017-09-27T00:00:00-07:002017-20632Rulehttps://www.gpo.gov/fdsys/pkg/FR-2017-09-27/pdf/2017-20632.pdfhttps://regulations.justia.com/regulations/fedreg/2017/09/27/2017-20628.htmlNotice - Self-Regulatory Organizations; NYSE American LLC; Notice of Filing of Proposed Rule Change Amending Rule 980NY (Electronic Complex Order Trading) To Clarify the Priority of Electronic Complex Orders and To Modify Aspects of Its Complex Order Auction Process2017-09-27T00:00:00-07:002017-09-27T00:00:00-07:002017-20628Noticehttps://www.gpo.gov/fdsys/pkg/FR-2017-09-27/pdf/2017-20628.pdfhttps://regulations.justia.com/regulations/fedreg/2017/09/27/2017-20627.htmlNotice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing of Proposed Rule Change To List and Trade Shares of the GraniteShares Platinum Trust Under NYSE Arca Equities Rule 8.2012017-09-27T00:00:00-07:002017-09-27T00:00:00-07:002017-20627Noticehttps://www.gpo.gov/fdsys/pkg/FR-2017-09-27/pdf/2017-20627.pdfhttps://regulations.justia.com/regulations/fedreg/2017/09/27/2017-20626.htmlNotice - Self-Regulatory Organizations; NYSE American LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Rule 7.31E Relating to the Minimum Trade Size Modifier for Additional Order Types and Expanding the Minimum Trade Size Modifier for Existing Order Types2017-09-27T00:00:00-07:002017-09-27T00:00:00-07:002017-20626Noticehttps://www.gpo.gov/fdsys/pkg/FR-2017-09-27/pdf/2017-20626.pdfhttps://regulations.justia.com/regulations/fedreg/2017/09/27/2017-20625.htmlNotice - Self-Regulatory Organizations; Bats BZX Exchange, Inc.; Notice of Filing of a Proposed Rule Change To List and Trade Shares of the iShares Inflation Hedged Corporate Bond ETF, a Series of the iShares U.S. ETF Trust, Under Rule 14.11(i), Managed Fund Shares2017-09-27T00:00:00-07:002017-09-27T00:00:00-07:002017-20625Noticehttps://www.gpo.gov/fdsys/pkg/FR-2017-09-27/pdf/2017-20625.pdfhttps://regulations.justia.com/regulations/fedreg/2017/09/27/2017-20624.htmlNotice - Self-Regulatory Organizations; NYSE American LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Update and Amend its Options Rules, as Described Herein, To Reduce Unnecessary Complexity and To Promote Standardization and Clarity2017-09-27T00:00:00-07:002017-09-27T00:00:00-07:002017-20624Noticehttps://www.gpo.gov/fdsys/pkg/FR-2017-09-27/pdf/2017-20624.pdfhttps://regulations.justia.com/regulations/fedreg/2017/09/27/2017-20623.htmlNotice - Self-Regulatory Organizations; The Nasdaq Stock Market LLC; Notice of Designation of Longer Period for Commission Action on Proposed Rule Change, as Modified by Amendment No. 1, To Adopt the Midpoint Extended Life Order2017-09-27T00:00:00-07:002017-09-27T00:00:00-07:002017-20623Noticehttps://www.gpo.gov/fdsys/pkg/FR-2017-09-27/pdf/2017-20623.pdfhttps://regulations.justia.com/regulations/fedreg/2017/09/27/2017-20622.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 Securities Valuation Framework2017-09-27T00:00:00-07:002017-09-27T00:00:00-07:002017-20622Noticehttps://www.gpo.gov/fdsys/pkg/FR-2017-09-27/pdf/2017-20622.pdfhttps://regulations.justia.com/regulations/fedreg/2017/09/26/2017-20633.htmlNotice - Sunshine Act Meeting2017-09-26T00:00:00-07:002017-09-26T00:00:00-07:002017-20633Noticehttps://www.gpo.gov/fdsys/pkg/FR-2017-09-26/pdf/2017-20633.pdfhttps://regulations.justia.com/regulations/fedreg/2017/09/26/2017-20500.htmlNotice - Self-Regulatory Organizations: Investors Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Clarify the Manner in Which the Order Collar and Router Constraint Apply to Auctions and the Opening Process2017-09-26T00:00:00-07:002017-09-26T00:00:00-07:002017-20500Noticehttps://www.gpo.gov/fdsys/pkg/FR-2017-09-26/pdf/2017-20500.pdfhttps://regulations.justia.com/regulations/fedreg/2017/09/25/2017-20438.htmlNotice - Barings Corporate Investors, et al.; Notice of Application2017-09-25T00:00:00-07:002017-09-25T00:00:00-07:002017-20438Noticehttps://www.gpo.gov/fdsys/pkg/FR-2017-09-25/pdf/2017-20438.pdfhttps://regulations.justia.com/regulations/fedreg/2017/09/25/2017-20365.htmlNotice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing of Amendment No. 4, and Order Granting Accelerated Approval of a Proposed Rule Change, as Modified by Amendment No. 4, Relating to the Listing and Trading of Shares of the USCF Canadian Crude Oil Index Fund Under NYSE Arca Rule 8.200-E2017-09-25T00:00:00-07:002017-09-25T00:00:00-07:002017-20365Noticehttps://www.gpo.gov/fdsys/pkg/FR-2017-09-25/pdf/2017-20365.pdfhttps://regulations.justia.com/regulations/fedreg/2017/09/25/2017-20364.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.2017-09-25T00:00:00-07:002017-09-25T00:00:00-07:002017-20364Noticehttps://www.gpo.gov/fdsys/pkg/FR-2017-09-25/pdf/2017-20364.pdfhttps://regulations.justia.com/regulations/fedreg/2017/09/25/2017-20363.htmlNotice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Its Rules and the NYSE Arca Options Fees and Charges Schedule in Connection With the Name Change of Its Affiliate NYSE MKT LLC to NYSE American LLC2017-09-25T00:00:00-07:002017-09-25T00:00:00-07:002017-20363Noticehttps://www.gpo.gov/fdsys/pkg/FR-2017-09-25/pdf/2017-20363.pdfhttps://regulations.justia.com/regulations/fedreg/2017/09/25/2017-20361.htmlNotice - Self-Regulatory Organizations; NYSE American LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Its Rules To Make Technical and Conforming Updates, in Connection With the Merger of NYSE Arca Equities, Inc. With and Into the Exchange's Affiliate NYSE Arca, Inc. and the Name Change of NYSE National, Inc.2017-09-25T00:00:00-07:002017-09-25T00:00:00-07:002017-20361Noticehttps://www.gpo.gov/fdsys/pkg/FR-2017-09-25/pdf/2017-20361.pdfhttps://regulations.justia.com/regulations/fedreg/2017/09/25/2017-20360.htmlNotice - Submission for OMB Review; Comment Request2017-09-25T00:00:00-07:002017-09-25T00:00:00-07:002017-20360Noticehttps://www.gpo.gov/fdsys/pkg/FR-2017-09-25/pdf/2017-20360.pdfhttps://regulations.justia.com/regulations/fedreg/2017/09/25/2017-20359.htmlNotice - Submission for OMB Review; Comment Request2017-09-25T00:00:00-07:002017-09-25T00:00:00-07:002017-20359Noticehttps://www.gpo.gov/fdsys/pkg/FR-2017-09-25/pdf/2017-20359.pdfhttps://regulations.justia.com/regulations/fedreg/2017/09/25/2017-20358.htmlNotice - Submission for OMB Review; Comment Request2017-09-25T00:00:00-07:002017-09-25T00:00:00-07:002017-20358Noticehttps://www.gpo.gov/fdsys/pkg/FR-2017-09-25/pdf/2017-20358.pdfhttps://regulations.justia.com/regulations/fedreg/2017/09/22/2017-20221.htmlNotice - Submission for OMB Review; Comment Request2017-09-22T00:00:00-07:002017-09-22T00:00:00-07:002017-20221Noticehttps://www.gpo.gov/fdsys/pkg/FR-2017-09-22/pdf/2017-20221.pdfhttps://regulations.justia.com/regulations/fedreg/2017/09/22/2017-20220.htmlNotice - Submission for OMB Review; Comment Request2017-09-22T00:00:00-07:002017-09-22T00:00:00-07:002017-20220Noticehttps://www.gpo.gov/fdsys/pkg/FR-2017-09-22/pdf/2017-20220.pdfhttps://regulations.justia.com/regulations/fedreg/2017/09/22/2017-20219.htmlNotice - Submission for OMB Review; Comment Request2017-09-22T00:00:00-07:002017-09-22T00:00:00-07:002017-20219Noticehttps://www.gpo.gov/fdsys/pkg/FR-2017-09-22/pdf/2017-20219.pdfhttps://regulations.justia.com/regulations/fedreg/2017/09/22/2017-20218.htmlNotice - Submission for OMB Review; Comment Request2017-09-22T00:00:00-07:002017-09-22T00:00:00-07:002017-20218Noticehttps://www.gpo.gov/fdsys/pkg/FR-2017-09-22/pdf/2017-20218.pdfhttps://regulations.justia.com/regulations/fedreg/2017/09/22/2017-20217.htmlNotice - Submission for OMB Review; Comment Request2017-09-22T00:00:00-07:002017-09-22T00:00:00-07:002017-20217Noticehttps://www.gpo.gov/fdsys/pkg/FR-2017-09-22/pdf/2017-20217.pdfhttps://regulations.justia.com/regulations/fedreg/2017/09/22/2017-20216.htmlNotice - Submission for OMB Review; Comment Request2017-09-22T00:00:00-07:002017-09-22T00:00:00-07:002017-20216Noticehttps://www.gpo.gov/fdsys/pkg/FR-2017-09-22/pdf/2017-20216.pdfhttps://regulations.justia.com/regulations/fedreg/2017/09/22/2017-20204.htmlNotice - Self-Regulatory Organizations; ICE Clear Credit LLC; Order Approving Proposed Rule Change Relating to the Clearance of Additional Credit Default Swap Contracts2017-09-22T00:00:00-07:002017-09-22T00:00:00-07:002017-20204Noticehttps://www.gpo.gov/fdsys/pkg/FR-2017-09-22/pdf/2017-20204.pdfhttps://regulations.justia.com/regulations/fedreg/2017/09/22/2017-20203.htmlNotice - Self-Regulatory Organizations; ICE Clear Credit LLC; Order Approving Proposed Rule Change Relating to the Clearance of Additional Credit Default Swap Contracts2017-09-22T00:00:00-07:002017-09-22T00:00:00-07:002017-20203Noticehttps://www.gpo.gov/fdsys/pkg/FR-2017-09-22/pdf/2017-20203.pdfhttps://regulations.justia.com/regulations/fedreg/2017/09/22/2017-20202.htmlNotice - Self-Regulatory Organizations; NASDAQ PHLX LLC; Notice of Filing of Proposed Rule Change To Amend Certain Sections of Rules 1024, Conduct of Accounts for Options Trading, and of 1025, Supervision of Accounts, To Conform Them More Closely To Comparable Rules of the Chicago Board Options Exchange (“CBOE”) and To Make Minor Clarifications and Corrections to the Text2017-09-22T00:00:00-07:002017-09-22T00:00:00-07:002017-20202Noticehttps://www.gpo.gov/fdsys/pkg/FR-2017-09-22/pdf/2017-20202.pdfhttps://regulations.justia.com/regulations/fedreg/2017/09/22/2017-20201.htmlNotice - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Designation of a Longer Period for Commission Action on a Proposed Rule Change To Adopt New Equity Trading Rules for Trading UTP Securities on Pillar, Including Orders and Modifiers, Order Ranking and Display, and Order Execution and Routing2017-09-22T00:00:00-07:002017-09-22T00:00:00-07:002017-20201Noticehttps://www.gpo.gov/fdsys/pkg/FR-2017-09-22/pdf/2017-20201.pdfhttps://regulations.justia.com/regulations/fedreg/2017/09/22/2017-20177.htmlNotice - AQR Funds, et al.2017-09-22T00:00:00-07:002017-09-22T00:00:00-07:002017-20177Noticehttps://www.gpo.gov/fdsys/pkg/FR-2017-09-22/pdf/2017-20177.pdfhttps://regulations.justia.com/regulations/fedreg/2017/09/22/2017-20176.htmlNotice - Eagle Series Trust, et al.2017-09-22T00:00:00-07:002017-09-22T00:00:00-07:002017-20176Noticehttps://www.gpo.gov/fdsys/pkg/FR-2017-09-22/pdf/2017-20176.pdfhttps://regulations.justia.com/regulations/fedreg/2017/09/21/2017-20143.htmlNotice - Active Weighting Funds ETF Trust and Active Weighting Advisors LLC2017-09-21T00:00:00-07:002017-09-21T00:00:00-07:002017-20143Noticehttps://www.gpo.gov/fdsys/pkg/FR-2017-09-21/pdf/2017-20143.pdfhttps://regulations.justia.com/regulations/fedreg/2017/09/21/2017-20101.htmlNotice - Self-Regulatory Organizations; New York Stock Exchange LLC; Order Instituting Proceedings To Determine Whether To Approve or Disapprove a Proposed Rule Change, as Modified by Amendment No. 2, 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 123D2017-09-21T00:00:00-07:002017-09-21T00:00:00-07:002017-20101Noticehttps://www.gpo.gov/fdsys/pkg/FR-2017-09-21/pdf/2017-20101.pdfhttps://regulations.justia.com/regulations/fedreg/2017/09/21/2017-20090.htmlNotice - Self-Regulatory Organizations; Fixed Income Clearing Corporation; Notice of Designation of Longer Period for Commission Action on Proceedings To Determine Whether To Approve or Disapprove a Proposed Rule Change To Implement the Capped Contingency Liquidity Facility in the Government Securities Division Rulebook2017-09-21T00:00:00-07:002017-09-21T00:00:00-07:002017-20090Noticehttps://www.gpo.gov/fdsys/pkg/FR-2017-09-21/pdf/2017-20090.pdfhttps://regulations.justia.com/regulations/fedreg/2017/09/21/2017-20089.htmlNotice - Self-Regulatory Organizations; The Depository Trust Company; National Securities Clearing Corporation; Fixed Income Clearing Corporation; Order Approving Proposed Rule Changes To Adopt the Clearing Agency Risk Management Framework2017-09-21T00:00:00-07:002017-09-21T00:00:00-07:002017-20089Noticehttps://www.gpo.gov/fdsys/pkg/FR-2017-09-21/pdf/2017-20089.pdfhttps://regulations.justia.com/regulations/fedreg/2017/09/21/2017-20088.htmlNotice - Self-Regulatory Organizations; Nasdaq GEMX, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Its Schedule of Fees To Offer Monthly Subscriptions for Open and Close Trade Profile Information2017-09-21T00:00:00-07:002017-09-21T00:00:00-07:002017-20088Noticehttps://www.gpo.gov/fdsys/pkg/FR-2017-09-21/pdf/2017-20088.pdfhttps://regulations.justia.com/regulations/fedreg/2017/09/21/2017-20087.htmlNotice - Self-Regulatory Organizations; NASDAQ PHLX LLC; Order Approving 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 Clarifications2017-09-21T00:00:00-07:002017-09-21T00:00:00-07:002017-20087Noticehttps://www.gpo.gov/fdsys/pkg/FR-2017-09-21/pdf/2017-20087.pdfhttps://regulations.justia.com/regulations/fedreg/2017/09/21/2017-20081.htmlNotice - Before the Securities and Exchange Commission; Securities Exchange Act of 1934; In the Matter of the The Options Clearing Corporation For an Order Granting the Approval of Proposed Rule Change Concerning a Proposed Capital Plan for Raising Additional Capital That Would Support the Options Clearing Corporation's Function as a Systemically Important Financial Market Utility; Corrected Order Scheduling Filing of Statements on Review2017-09-21T00:00:00-07:002017-09-21T00:00:00-07:002017-20081Noticehttps://www.gpo.gov/fdsys/pkg/FR-2017-09-21/pdf/2017-20081.pdfhttps://regulations.justia.com/regulations/fedreg/2017/09/21/2017-20080.htmlNotice - Before the Securities and Exchange Commission; Securities Exchange Act of 1934; In the Matter of the Options Clearing Corporation; Corrected Order Denying Motion for Stay2017-09-21T00:00:00-07:002017-09-21T00:00:00-07:002017-20080Noticehttps://www.gpo.gov/fdsys/pkg/FR-2017-09-21/pdf/2017-20080.pdfhttps://regulations.justia.com/regulations/fedreg/2017/09/20/2017-19968.htmlNotice - Self-Regulatory Organizations; Chicago Stock Exchange, Inc.; Financial Industry Regulatory Authority, Inc.; Order Approving Proposed Rule Changes, as Modified by Amendments, To Adopt a Consolidated Audit Trail Fee Dispute Resolution Process2017-09-20T00:00:00-07:002017-09-20T00:00:00-07:002017-19968Noticehttps://www.gpo.gov/fdsys/pkg/FR-2017-09-20/pdf/2017-19968.pdfhttps://regulations.justia.com/regulations/fedreg/2017/09/20/2017-19967.htmlNotice - Self-Regulatory Organizations; BOX Options Exchange LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the Fee Schedule on the BOX Market LLC (“BOX”) Options Facility2017-09-20T00:00:00-07:002017-09-20T00:00:00-07:002017-19967Noticehttps://www.gpo.gov/fdsys/pkg/FR-2017-09-20/pdf/2017-19967.pdfhttps://regulations.justia.com/regulations/fedreg/2017/09/20/2017-19966.htmlNotice - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the Fees Schedule2017-09-20T00:00:00-07:002017-09-20T00:00:00-07:002017-19966Noticehttps://www.gpo.gov/fdsys/pkg/FR-2017-09-20/pdf/2017-19966.pdfhttps://regulations.justia.com/regulations/fedreg/2017/09/20/2017-19965.htmlNotice - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Correct an Inadvertent Marking Error in the Fees Schedule2017-09-20T00:00:00-07:002017-09-20T00:00:00-07:002017-19965Noticehttps://www.gpo.gov/fdsys/pkg/FR-2017-09-20/pdf/2017-19965.pdfhttps://regulations.justia.com/regulations/fedreg/2017/09/20/2017-19964.htmlNotice - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Its Price List2017-09-20T00:00:00-07:002017-09-20T00:00:00-07:002017-19964Noticehttps://www.gpo.gov/fdsys/pkg/FR-2017-09-20/pdf/2017-19964.pdfhttps://regulations.justia.com/regulations/fedreg/2017/09/20/2017-19963.htmlNotice - Self-Regulatory Organizations; Nasdaq ISE, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Eliminate Third Party Developer Fees From the Schedule of Fees2017-09-20T00:00:00-07:002017-09-20T00:00:00-07:002017-19963Noticehttps://www.gpo.gov/fdsys/pkg/FR-2017-09-20/pdf/2017-19963.pdfhttps://regulations.justia.com/regulations/fedreg/2017/09/19/2017-19845.htmlNotice - Self-Regulatory Organizations; Nasdaq ISE, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Its Schedule of Fees To Increase the Priority Customer Taker Fee for Regular Orders in SPY2017-09-19T00:00:00-07:002017-09-19T00:00:00-07:002017-19845Noticehttps://www.gpo.gov/fdsys/pkg/FR-2017-09-19/pdf/2017-19845.pdfhttps://regulations.justia.com/regulations/fedreg/2017/09/19/2017-19805.htmlNotice - Self-Regulatory Organizations; Bats EDGX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Rule 11.11, Routing to Away Trade Centers, To Account for IEX as a Primary Listing Market and To Amend Certain Rules To Reflect the Name Change of NYSE MKT to NYSE American2017-09-19T00:00:00-07:002017-09-19T00:00:00-07:002017-19805Noticehttps://www.gpo.gov/fdsys/pkg/FR-2017-09-19/pdf/2017-19805.pdfhttps://regulations.justia.com/regulations/fedreg/2017/09/18/2017-19918.htmlNotice - Sunshine Act Meeting2017-09-18T00:00:00-07:002017-09-18T00:00:00-07:002017-19918Noticehttps://www.gpo.gov/fdsys/pkg/FR-2017-09-18/pdf/2017-19918.pdfhttps://regulations.justia.com/regulations/fedreg/2017/09/18/2017-19812.htmlNotice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend NYSE Arca Rule 7.35-E, NYSE Arca Rule 7.31-E and NYSE Arca Rule 7.23-E2017-09-18T00:00:00-07:002017-09-18T00:00:00-07:002017-19812Noticehttps://www.gpo.gov/fdsys/pkg/FR-2017-09-18/pdf/2017-19812.pdfhttps://regulations.justia.com/regulations/fedreg/2017/09/18/2017-19811.htmlNotice - Self-Regulatory Organizations; Investors Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Related to Fees Pursuant to Rule 15.1102017-09-18T00:00:00-07:002017-09-18T00:00:00-07:002017-19811Noticehttps://www.gpo.gov/fdsys/pkg/FR-2017-09-18/pdf/2017-19811.pdfhttps://regulations.justia.com/regulations/fedreg/2017/09/18/2017-19810.htmlNotice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the NYSE Arca Equities Fees and Charges2017-09-18T00:00:00-07:002017-09-18T00:00:00-07:002017-19810Noticehttps://www.gpo.gov/fdsys/pkg/FR-2017-09-18/pdf/2017-19810.pdfhttps://regulations.justia.com/regulations/fedreg/2017/09/18/2017-19809.htmlNotice - Self-Regulatory Organizations; Bats EDGA Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Related to Transaction Fees2017-09-18T00:00:00-07:002017-09-18T00:00:00-07:002017-19809Noticehttps://www.gpo.gov/fdsys/pkg/FR-2017-09-18/pdf/2017-19809.pdfhttps://regulations.justia.com/regulations/fedreg/2017/09/18/2017-19808.htmlNotice - Self-Regulatory Organizations; Bats BZX Exchange, Inc.; Order Instituting Proceedings To Determine Whether To Approve or Disapprove 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 ETF2017-09-18T00:00:00-07:002017-09-18T00:00:00-07:002017-19808Noticehttps://www.gpo.gov/fdsys/pkg/FR-2017-09-18/pdf/2017-19808.pdfhttps://regulations.justia.com/regulations/fedreg/2017/09/18/2017-19807.htmlNotice - Self-Regulatory Organizations; Nasdaq ISE, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Make Non-Substantive, Clarifying Changes to ISE's Rulebook and Schedule of Fees2017-09-18T00:00:00-07:002017-09-18T00:00:00-07:002017-19807Noticehttps://www.gpo.gov/fdsys/pkg/FR-2017-09-18/pdf/2017-19807.pdfhttps://regulations.justia.com/regulations/fedreg/2017/09/18/2017-19806.htmlNotice - Self-Regulatory Organizations; Nasdaq MRX, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Remove Language From Chapter 19 of the Rulebook2017-09-18T00:00:00-07:002017-09-18T00:00:00-07:002017-19806Noticehttps://www.gpo.gov/fdsys/pkg/FR-2017-09-18/pdf/2017-19806.pdfhttps://regulations.justia.com/regulations/fedreg/2017/09/18/2017-19804.htmlNotice - Self-Regulatory Organizations; Municipal Securities Rulemaking Board; Notice of Filing of a Proposed Rule Change To Amend MSRB Rule G-34, on CUSIP Numbers, New Issue, and Market Information Requirements2017-09-18T00:00:00-07:002017-09-18T00:00:00-07:002017-19804Noticehttps://www.gpo.gov/fdsys/pkg/FR-2017-09-18/pdf/2017-19804.pdfhttps://regulations.justia.com/regulations/fedreg/2017/09/18/2017-19803.htmlNotice - Self-Regulatory Organizations; Bats BZX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Rule 11.13, Order Execution and Routing, To Account for IEX as a Primary Listing Market and To Amend Certain Rules To Reflect the Name Change of NYSE MKT to NYSE American2017-09-18T00:00:00-07:002017-09-18T00:00:00-07:002017-19803Noticehttps://www.gpo.gov/fdsys/pkg/FR-2017-09-18/pdf/2017-19803.pdfhttps://regulations.justia.com/regulations/fedreg/2017/09/18/2017-19802.htmlNotice - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing of Proposed Rule Change To List and Trade Shares of Calvert Ultra-Short Income NextSharesTM2017-09-18T00:00:00-07:002017-09-18T00:00:00-07:002017-19802Noticehttps://www.gpo.gov/fdsys/pkg/FR-2017-09-18/pdf/2017-19802.pdfhttps://regulations.justia.com/regulations/fedreg/2017/09/18/2017-19712.htmlNotice - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to the On-Floor Lead Market-Maker Program2017-09-18T00:00:00-07:002017-09-18T00:00:00-07:002017-19712Noticehttps://www.gpo.gov/fdsys/pkg/FR-2017-09-18/pdf/2017-19712.pdfhttps://regulations.justia.com/regulations/fedreg/2017/09/18/2017-19711.htmlNotice - Self-Regulatory Organizations; NYSE American LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Rule 975NY and Rule 953NY2017-09-18T00:00:00-07:002017-09-18T00:00:00-07:002017-19711Noticehttps://www.gpo.gov/fdsys/pkg/FR-2017-09-18/pdf/2017-19711.pdfhttps://regulations.justia.com/regulations/fedreg/2017/09/18/2017-19710.htmlNotice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Rule 6.87-O and Rule 6.65-O2017-09-18T00:00:00-07:002017-09-18T00:00:00-07:002017-19710Noticehttps://www.gpo.gov/fdsys/pkg/FR-2017-09-18/pdf/2017-19710.pdfhttps://regulations.justia.com/regulations/fedreg/2017/09/18/2017-19709.htmlNotice - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing of Proposed Rule Change To Amend Rule 4703(a) To Allow Members To Designate When an Order With a RTFY or SCAN Routing Order Attribute Will Be Activated2017-09-18T00:00:00-07:002017-09-18T00:00:00-07:002017-19709Noticehttps://www.gpo.gov/fdsys/pkg/FR-2017-09-18/pdf/2017-19709.pdfhttps://regulations.justia.com/regulations/fedreg/2017/09/18/2017-19708.htmlNotice - Self-Regulatory Organizations; NASDAQ PHLX LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Add a Missing Letter to Section IV, Part D of the Pricing Schedule2017-09-18T00:00:00-07:002017-09-18T00:00:00-07:002017-19708Noticehttps://www.gpo.gov/fdsys/pkg/FR-2017-09-18/pdf/2017-19708.pdfhttps://regulations.justia.com/regulations/fedreg/2017/09/15/2017-19678.htmlNotice - Proposed Collection; Comment Request2017-09-15T00:00:00-07:002017-09-15T00:00:00-07:002017-19678Noticehttps://www.gpo.gov/fdsys/pkg/FR-2017-09-15/pdf/2017-19678.pdfhttps://regulations.justia.com/regulations/fedreg/2017/09/15/2017-19677.htmlNotice - Submission for OMB Review; Comment Request2017-09-15T00:00:00-07:002017-09-15T00:00:00-07:002017-19677Noticehttps://www.gpo.gov/fdsys/pkg/FR-2017-09-15/pdf/2017-19677.pdfhttps://regulations.justia.com/regulations/fedreg/2017/09/15/2017-19676.htmlNotice - Proposed Collection; Comment Request2017-09-15T00:00:00-07:002017-09-15T00:00:00-07:002017-19676Noticehttps://www.gpo.gov/fdsys/pkg/FR-2017-09-15/pdf/2017-19676.pdfhttps://regulations.justia.com/regulations/fedreg/2017/09/15/2017-19674.htmlNotice - Investor Advisory Committee Meeting2017-09-15T00:00:00-07:002017-09-15T00:00:00-07:002017-19674Noticehttps://www.gpo.gov/fdsys/pkg/FR-2017-09-15/pdf/2017-19674.pdfhttps://regulations.justia.com/regulations/fedreg/2017/09/15/2017-19586.htmlNotice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the NYSE Arca Equities Fees and Charges2017-09-15T00:00:00-07:002017-09-15T00:00:00-07:002017-19586Noticehttps://www.gpo.gov/fdsys/pkg/FR-2017-09-15/pdf/2017-19586.pdfhttps://regulations.justia.com/regulations/fedreg/2017/09/15/2017-19585.htmlNotice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing of Proposed Rule Change To List and Trade Shares of The Gold Trust Under NYSE Arca Rule 8.201-E2017-09-15T00:00:00-07:002017-09-15T00:00:00-07:002017-19585Noticehttps://www.gpo.gov/fdsys/pkg/FR-2017-09-15/pdf/2017-19585.pdfhttps://regulations.justia.com/regulations/fedreg/2017/09/15/2017-19584.htmlNotice - Self-Regulatory Organizations; NYSE American LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Modify the NYSE American Options Fee Schedule2017-09-15T00:00:00-07:002017-09-15T00:00:00-07:002017-19584Noticehttps://www.gpo.gov/fdsys/pkg/FR-2017-09-15/pdf/2017-19584.pdfhttps://regulations.justia.com/regulations/fedreg/2017/09/15/2017-19583.htmlNotice - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing of Proposed Rule Change To List and Trade Shares of the Eaton Vance Oaktree Diversified Credit NextSharesTM2017-09-15T00:00:00-07:002017-09-15T00:00:00-07:002017-19583Noticehttps://www.gpo.gov/fdsys/pkg/FR-2017-09-15/pdf/2017-19583.pdfhttps://regulations.justia.com/regulations/fedreg/2017/09/15/2017-19582.htmlNotice - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Order Approving a Proposed Rule Change Relating to the Definition of Non-Public Arbitrator2017-09-15T00:00:00-07:002017-09-15T00:00:00-07:002017-19582Noticehttps://www.gpo.gov/fdsys/pkg/FR-2017-09-15/pdf/2017-19582.pdfhttps://regulations.justia.com/regulations/fedreg/2017/09/15/2017-19581.htmlNotice - Self-Regulatory Organizations; NASDAQ PHLX LLC; Notice of Designation of a Longer Period for Commission Action on a Proposed Rule Change To Add an Exception to Phlx Rule 1000(f)(iii) for Certain Floor Broker Transactions and Adopt Rule 1063(e)(v) To Add the Snapshot Functionality to the Options Floor Broker Management System2017-09-15T00:00:00-07:002017-09-15T00:00:00-07:002017-19581Noticehttps://www.gpo.gov/fdsys/pkg/FR-2017-09-15/pdf/2017-19581.pdfhttps://regulations.justia.com/regulations/fedreg/2017/09/15/2017-19577.htmlNotice - Innovator ETFS Trust and Innovator Capital Management, LLC2017-09-15T00:00:00-07:002017-09-15T00:00:00-07:002017-19577Noticehttps://www.gpo.gov/fdsys/pkg/FR-2017-09-15/pdf/2017-19577.pdfhttps://regulations.justia.com/regulations/fedreg/2017/09/14/2017-19537.htmlNotice - Innovator ETFs Trust, et al.2017-09-14T00:00:00-07:002017-09-14T00:00:00-07:002017-19537Noticehttps://www.gpo.gov/fdsys/pkg/FR-2017-09-14/pdf/2017-19537.pdfhttps://regulations.justia.com/regulations/fedreg/2017/09/14/2017-19536.htmlNotice - Innovator ETFs Trust, et al.2017-09-14T00:00:00-07:002017-09-14T00:00:00-07:002017-19536Noticehttps://www.gpo.gov/fdsys/pkg/FR-2017-09-14/pdf/2017-19536.pdfhttps://regulations.justia.com/regulations/fedreg/2017/09/14/2017-19511.htmlNotice - Proposed Collection; Comment Request2017-09-14T00:00:00-07:002017-09-14T00:00:00-07:002017-19511Noticehttps://www.gpo.gov/fdsys/pkg/FR-2017-09-14/pdf/2017-19511.pdfhttps://regulations.justia.com/regulations/fedreg/2017/09/14/2017-19510.htmlNotice - Proposed Collection; Comment Request2017-09-14T00:00:00-07:002017-09-14T00:00:00-07:002017-19510Noticehttps://www.gpo.gov/fdsys/pkg/FR-2017-09-14/pdf/2017-19510.pdfhttps://regulations.justia.com/regulations/fedreg/2017/09/14/2017-19509.htmlNotice - Proposed Collection; Comment Request2017-09-14T00:00:00-07:002017-09-14T00:00:00-07:002017-19509Noticehttps://www.gpo.gov/fdsys/pkg/FR-2017-09-14/pdf/2017-19509.pdfhttps://regulations.justia.com/regulations/fedreg/2017/09/14/2017-19479.htmlNotice - Self-Regulatory Organizations; Bats BZX Exchange, Inc.; Notice of Designation of a Longer Period for Commission Action on Proposed Rule Change, as Modified by Amendment No. 1, To List and Trade Shares of the Aptus Fortified Value ETF, a Series of ETF Series Solutions, Under Exchange Rule 14.11(c)2017-09-14T00:00:00-07:002017-09-14T00:00:00-07:002017-19479Noticehttps://www.gpo.gov/fdsys/pkg/FR-2017-09-14/pdf/2017-19479.pdfhttps://regulations.justia.com/regulations/fedreg/2017/09/14/2017-19478.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 Amendment No. 1, To Amend Rules 4702 and 4754 Relating to the Nasdaq Closing Cross and To Make Other Related Changes2017-09-14T00:00:00-07:002017-09-14T00:00:00-07:002017-19478Noticehttps://www.gpo.gov/fdsys/pkg/FR-2017-09-14/pdf/2017-19478.pdfhttps://regulations.justia.com/regulations/fedreg/2017/09/14/2017-19477.htmlNotice - Self-Regulatory Organizations; Nasdaq ISE, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Delay Implementation of SR-ISE-2017-322017-09-14T00:00:00-07:002017-09-14T00:00:00-07:002017-19477Noticehttps://www.gpo.gov/fdsys/pkg/FR-2017-09-14/pdf/2017-19477.pdfhttps://regulations.justia.com/regulations/fedreg/2017/09/14/2017-19476.htmlNotice - Self-Regulatory Organizations; The Depository Trust Company; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Add a Discount to the Pricing Schedule for Special Requests for Security Position Reports Relating to Municipal Security Issues2017-09-14T00:00:00-07:002017-09-14T00:00:00-07:002017-19476Noticehttps://www.gpo.gov/fdsys/pkg/FR-2017-09-14/pdf/2017-19476.pdfhttps://regulations.justia.com/regulations/fedreg/2017/09/14/2017-19474.htmlNotice - The Vanguard Group, Inc., et al.2017-09-14T00:00:00-07:002017-09-14T00:00:00-07:002017-19474Noticehttps://www.gpo.gov/fdsys/pkg/FR-2017-09-14/pdf/2017-19474.pdfhttps://regulations.justia.com/regulations/fedreg/2017/09/14/2017-19473.htmlNotice - Medley Capital Corporation, et al.2017-09-14T00:00:00-07:002017-09-14T00:00:00-07:002017-19473Noticehttps://www.gpo.gov/fdsys/pkg/FR-2017-09-14/pdf/2017-19473.pdfhttps://regulations.justia.com/regulations/fedreg/2017/09/13/2017-19446.htmlNotice - Submission for OMB Review; Comment Request2017-09-13T00:00:00-07:002017-09-13T00:00:00-07:002017-19446Noticehttps://www.gpo.gov/fdsys/pkg/FR-2017-09-13/pdf/2017-19446.pdfhttps://regulations.justia.com/regulations/fedreg/2017/09/13/2017-19379.htmlNotice - Self-Regulatory Organizations; National Securities Clearing Corporation; Order Approving Proposed Rule Change To Expand the Application of the Family-Issued Securities Charge2017-09-13T00:00:00-07:002017-09-13T00:00:00-07:002017-19379Noticehttps://www.gpo.gov/fdsys/pkg/FR-2017-09-13/pdf/2017-19379.pdfhttps://regulations.justia.com/regulations/fedreg/2017/09/13/2017-19378.htmlNotice - Self-Regulatory Organizations; NYSE American LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Modify the NYSE American Options Fee Schedule2017-09-13T00:00:00-07:002017-09-13T00:00:00-07:002017-19378Noticehttps://www.gpo.gov/fdsys/pkg/FR-2017-09-13/pdf/2017-19378.pdfhttps://regulations.justia.com/regulations/fedreg/2017/09/13/2017-19377.htmlNotice - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Change To Amend Its Rules To Make Technical and Conforming Updates, in Connection With the Merger of NYSE Arca Equities, Inc. With and Into the Exchange's Affiliate NYSE Arca, Inc. and the Name Change of NYSE National, Inc.2017-09-13T00:00:00-07:002017-09-13T00:00:00-07:002017-19377Noticehttps://www.gpo.gov/fdsys/pkg/FR-2017-09-13/pdf/2017-19377.pdfhttps://regulations.justia.com/regulations/fedreg/2017/09/13/2017-19376.htmlNotice - Self-Regulatory Organizations; NYSE American LLC; Notice of Filing and Immediate Effectiveness of Proposed Change To Amend Its Price List2017-09-13T00:00:00-07:002017-09-13T00:00:00-07:002017-19376Noticehttps://www.gpo.gov/fdsys/pkg/FR-2017-09-13/pdf/2017-19376.pdfhttps://regulations.justia.com/regulations/fedreg/2017/09/13/2017-19375.htmlNotice - Self-Regulatory Organizations; National Securities Clearing Corporation; Notice of No Objection to an Advance Notice To Expand the Application of the Family-Issued Securities Charge2017-09-13T00:00:00-07:002017-09-13T00:00:00-07:002017-19375Noticehttps://www.gpo.gov/fdsys/pkg/FR-2017-09-13/pdf/2017-19375.pdfhttps://regulations.justia.com/regulations/fedreg/2017/09/13/2017-19360.htmlNotice - Submission for OMB Review; Comment Request2017-09-13T00:00:00-07:002017-09-13T00:00:00-07:002017-19360Noticehttps://www.gpo.gov/fdsys/pkg/FR-2017-09-13/pdf/2017-19360.pdfhttps://regulations.justia.com/regulations/fedreg/2017/09/12/2017-19445.htmlNotice - Sunshine Act Meeting2017-09-12T00:00:00-07:002017-09-12T00:00:00-07:002017-19445Noticehttps://www.gpo.gov/fdsys/pkg/FR-2017-09-12/pdf/2017-19445.pdfhttps://regulations.justia.com/regulations/fedreg/2017/09/12/2017-19241.htmlNotice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Adopt Commentary .06 to NYSE Arca Rule 6.91-O To Enhance the Price Protections for Complex Orders Executed on the Exchange2017-09-12T00:00:00-07:002017-09-12T00:00:00-07:002017-19241Noticehttps://www.gpo.gov/fdsys/pkg/FR-2017-09-12/pdf/2017-19241.pdfhttps://regulations.justia.com/regulations/fedreg/2017/09/12/2017-19240.htmlNotice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Withdrawal of a Proposed Rule Change Relating to the Listing and Trading of Shares of the EtherIndex Ether Trust Under NYSE Arca Equities Rule 8.2012017-09-12T00:00:00-07:002017-09-12T00:00:00-07:002017-19240Noticehttps://www.gpo.gov/fdsys/pkg/FR-2017-09-12/pdf/2017-19240.pdfhttps://regulations.justia.com/regulations/fedreg/2017/09/12/2017-19239.htmlNotice - Self-Regulatory Organizations; NYSE American LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Adopt Commentary .06 to Rule 980NY To Enhance the Price Protections for Complex Orders Executed on the Exchange2017-09-12T00:00:00-07:002017-09-12T00:00:00-07:002017-19239Noticehttps://www.gpo.gov/fdsys/pkg/FR-2017-09-12/pdf/2017-19239.pdfhttps://regulations.justia.com/regulations/fedreg/2017/09/12/2017-19236.htmlNotice - Active Weighting Funds ETF Trust and Active Weighting Advisors LLC2017-09-12T00:00:00-07:002017-09-12T00:00:00-07:002017-19236Noticehttps://www.gpo.gov/fdsys/pkg/FR-2017-09-12/pdf/2017-19236.pdfhttps://regulations.justia.com/regulations/fedreg/2017/09/12/2017-19235.htmlNotice - Proposed Collection; Comment Request2017-09-12T00:00:00-07:002017-09-12T00:00:00-07:002017-19235Noticehttps://www.gpo.gov/fdsys/pkg/FR-2017-09-12/pdf/2017-19235.pdfhttps://regulations.justia.com/regulations/fedreg/2017/09/11/2017-19107.htmlNotice - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change, as Modified by Amendment No. 1 Thereto, To Delay the Implementation of Its Recently Approved Rule Requiring Listed Companies To Provide Advance Notice of Dividend or Stock Distribution Announcements to the Exchange2017-09-11T00:00:00-07:002017-09-11T00:00:00-07:002017-19107Noticehttps://www.gpo.gov/fdsys/pkg/FR-2017-09-11/pdf/2017-19107.pdfhttps://regulations.justia.com/regulations/fedreg/2017/09/08/2017-19072.htmlNotice - Proposed Collection; Comment Request2017-09-08T00:00:00-07:002017-09-08T00:00:00-07:002017-19072Noticehttps://www.gpo.gov/fdsys/pkg/FR-2017-09-08/pdf/2017-19072.pdfhttps://regulations.justia.com/regulations/fedreg/2017/09/08/2017-19071.htmlNotice - Submission for OMB Review; Comment Request2017-09-08T00:00:00-07:002017-09-08T00:00:00-07:002017-19071Noticehttps://www.gpo.gov/fdsys/pkg/FR-2017-09-08/pdf/2017-19071.pdfhttps://regulations.justia.com/regulations/fedreg/2017/09/08/2017-19070.htmlNotice - Proposed Collection; Comment Request2017-09-08T00:00:00-07:002017-09-08T00:00:00-07:002017-19070Noticehttps://www.gpo.gov/fdsys/pkg/FR-2017-09-08/pdf/2017-19070.pdfhttps://regulations.justia.com/regulations/fedreg/2017/09/08/2017-19069.htmlNotice - Proposed Collection; Comment Request2017-09-08T00:00:00-07:002017-09-08T00:00:00-07:002017-19069Noticehttps://www.gpo.gov/fdsys/pkg/FR-2017-09-08/pdf/2017-19069.pdfhttps://regulations.justia.com/regulations/fedreg/2017/09/07/2017-19003.htmlNotice - Self-Regulatory Organizations; C2 Options Exchange, Incorporated; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Rule 6.15, Nullification and Adjustment of Options Transactions Including Obvious Errors2017-09-07T00:00:00-07:002017-09-07T00:00:00-07:002017-19003Noticehttps://www.gpo.gov/fdsys/pkg/FR-2017-09-07/pdf/2017-19003.pdfhttps://regulations.justia.com/regulations/fedreg/2017/09/07/2017-18939.htmlNotice - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Rule 6.25, Nullification and Adjustment of Options Transactions Including Obvious Errors2017-09-07T00:00:00-07:002017-09-07T00:00:00-07:002017-18939Noticehttps://www.gpo.gov/fdsys/pkg/FR-2017-09-07/pdf/2017-18939.pdfhttps://regulations.justia.com/regulations/fedreg/2017/09/07/2017-18938.htmlNotice - Self-Regulatory Organizations; Bats EDGX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Rule 20.3, Trading Halts, and Rule 20.6, Nullification and Adjustment of Options Transactions Including Obvious Errors2017-09-07T00:00:00-07:002017-09-07T00:00:00-07:002017-18938Noticehttps://www.gpo.gov/fdsys/pkg/FR-2017-09-07/pdf/2017-18938.pdfhttps://regulations.justia.com/regulations/fedreg/2017/09/07/2017-18937.htmlNotice - Self-Regulatory Organizations; NASDAQ BX, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Address the Application of Exchange Rule 11140 (Transactions in Securities “Ex-Dividend,” “Ex-Rights” or “Ex-Warrants”) as it Relates to Establishing Ex-Dividend Dates in connection With the Implementation of the T+2 Settlement Cycle on September 5, 20172017-09-07T00:00:00-07:002017-09-07T00:00:00-07:002017-18937Noticehttps://www.gpo.gov/fdsys/pkg/FR-2017-09-07/pdf/2017-18937.pdfhttps://regulations.justia.com/regulations/fedreg/2017/09/07/2017-18936.htmlNotice - Self-Regulatory Organizations; Fixed Income Clearing Corporation; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Adopt the Interpretive Guidance With Respect to Watch List Consequences2017-09-07T00:00:00-07:002017-09-07T00:00:00-07:002017-18936Noticehttps://www.gpo.gov/fdsys/pkg/FR-2017-09-07/pdf/2017-18936.pdfhttps://regulations.justia.com/regulations/fedreg/2017/09/07/2017-18935.htmlNotice - Self-Regulatory Organizations; Bats BZX Exchange, Inc.; Notice of Filing of a Proposed Rule Change To List and Trade Shares of the WisdomTree CBOE Russell 2000 PutWrite Strategy Fund, a Series of the WisdomTree Trust, Under Rule 14.11(c)(3), Index Fund Shares2017-09-07T00:00:00-07:002017-09-07T00:00:00-07:002017-18935Noticehttps://www.gpo.gov/fdsys/pkg/FR-2017-09-07/pdf/2017-18935.pdfhttps://regulations.justia.com/regulations/fedreg/2017/09/07/2017-18932.htmlNotice - Eagle Series Trust, et al.2017-09-07T00:00:00-07:002017-09-07T00:00:00-07:002017-18932Noticehttps://www.gpo.gov/fdsys/pkg/FR-2017-09-07/pdf/2017-18932.pdfhttps://regulations.justia.com/regulations/fedreg/2017/09/07/2017-18931.htmlNotice - American Century International Bond Funds, et al.2017-09-07T00:00:00-07:002017-09-07T00:00:00-07:002017-18931Noticehttps://www.gpo.gov/fdsys/pkg/FR-2017-09-07/pdf/2017-18931.pdfhttps://regulations.justia.com/regulations/fedreg/2017/09/07/2017-18930.htmlNotice - Hudson Advisors L.P., et al.2017-09-07T00:00:00-07:002017-09-07T00:00:00-07:002017-18930Noticehttps://www.gpo.gov/fdsys/pkg/FR-2017-09-07/pdf/2017-18930.pdfhttps://regulations.justia.com/regulations/fedreg/2017/09/07/2017-18929.htmlNotice - Northern Lights Fund Trust IV and Measured Risk Portfolios, Inc.2017-09-07T00:00:00-07:002017-09-07T00:00:00-07:002017-18929Noticehttps://www.gpo.gov/fdsys/pkg/FR-2017-09-07/pdf/2017-18929.pdfhttps://regulations.justia.com/regulations/fedreg/2017/09/06/2017-18933.htmlNotice - Sunshine Act Meeting2017-09-06T00:00:00-07:002017-09-06T00:00:00-07:002017-18933Noticehttps://www.gpo.gov/fdsys/pkg/FR-2017-09-06/pdf/2017-18933.pdfhttps://regulations.justia.com/regulations/fedreg/2017/09/06/2017-18860.htmlNotice - Proposed Collection; Comment Request2017-09-06T00:00:00-07:002017-09-06T00:00:00-07:002017-18860Noticehttps://www.gpo.gov/fdsys/pkg/FR-2017-09-06/pdf/2017-18860.pdfhttps://regulations.justia.com/regulations/fedreg/2017/09/06/2017-18859.htmlNotice - Proposed Collection; Comment Request2017-09-06T00:00:00-07:002017-09-06T00:00:00-07:002017-18859Noticehttps://www.gpo.gov/fdsys/pkg/FR-2017-09-06/pdf/2017-18859.pdfhttps://regulations.justia.com/regulations/fedreg/2017/09/06/2017-18858.htmlNotice - Proposed Collection; Comment Request2017-09-06T00:00:00-07:002017-09-06T00:00:00-07:002017-18858Noticehttps://www.gpo.gov/fdsys/pkg/FR-2017-09-06/pdf/2017-18858.pdfhttps://regulations.justia.com/regulations/fedreg/2017/09/06/2017-18857.htmlNotice - Proposed Collection; Comment Request2017-09-06T00:00:00-07:002017-09-06T00:00:00-07:002017-18857Noticehttps://www.gpo.gov/fdsys/pkg/FR-2017-09-06/pdf/2017-18857.pdfhttps://regulations.justia.com/regulations/fedreg/2017/09/06/2017-18800.htmlNotice - Self-Regulatory Organizations; BOX Options Exchange LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the Fee Schedule To Establish a Booth Space Fee for the BOX Trading Floor2017-09-06T00:00:00-07:002017-09-06T00:00:00-07:002017-18800Noticehttps://www.gpo.gov/fdsys/pkg/FR-2017-09-06/pdf/2017-18800.pdfhttps://regulations.justia.com/regulations/fedreg/2017/09/06/2017-18799.htmlNotice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing of Proposed Rule Change To List and Trade Shares of the Hartford Municipal Opportunities ETF Under NYSE Arca Rule 8.600-E2017-09-06T00:00:00-07:002017-09-06T00:00:00-07:002017-18799Noticehttps://www.gpo.gov/fdsys/pkg/FR-2017-09-06/pdf/2017-18799.pdfhttps://regulations.justia.com/regulations/fedreg/2017/09/06/2017-18798.htmlNotice - Self-Regulatory Organizations; BOX Options Exchange LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Establish Fees and Rebates for the Trading Floor on the BOX Market LLC (“BOX”) Options Facility2017-09-06T00:00:00-07:002017-09-06T00:00:00-07:002017-18798Noticehttps://www.gpo.gov/fdsys/pkg/FR-2017-09-06/pdf/2017-18798.pdfhttps://regulations.justia.com/regulations/fedreg/2017/09/06/2017-18797.htmlNotice - Self-Regulatory Organizations; Bats EDGX Exchange, Inc.; Notice of Filing of a Proposed Rule Change, as Modified by Amendment No. 1, To Harmonize the Corporate Governance Framework With That of Chicago Board Options Exchange, Incorporated and C2 Options Exchange Incorporated2017-09-06T00:00:00-07:002017-09-06T00:00:00-07:002017-18797Noticehttps://www.gpo.gov/fdsys/pkg/FR-2017-09-06/pdf/2017-18797.pdfhttps://regulations.justia.com/regulations/fedreg/2017/09/06/2017-18796.htmlNotice - Self-Regulatory Organizations; Investors Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Related to Fees Pursuant to Rule 15.1102017-09-06T00:00:00-07:002017-09-06T00:00:00-07:002017-18796Noticehttps://www.gpo.gov/fdsys/pkg/FR-2017-09-06/pdf/2017-18796.pdfhttps://regulations.justia.com/regulations/fedreg/2017/09/06/2017-18795.htmlNotice - Self-Regulatory Organizations; NASDAQ PHLX LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Rules 431, 432, and 835 To Conform Them to Securities Exchange Act Rule 15c6-1(a), Which Shortens the Settlement Cycle to Two Dates After the Trade Date, and To Interpret the Amended Rules To Exclude September 5, 2017 as the First Ex-Dividend Date Thereunder2017-09-06T00:00:00-07:002017-09-06T00:00:00-07:002017-18795Noticehttps://www.gpo.gov/fdsys/pkg/FR-2017-09-06/pdf/2017-18795.pdfhttps://regulations.justia.com/regulations/fedreg/2017/09/06/2017-18794.htmlNotice - Self-Regulatory Organizations; Bats BYX Exchange Inc.; Bats BZX Exchange, Inc.; Bats EDGA Exchange, Inc.; Bats EDGX Exchange, Inc.; BOX Options Exchange LLC; Chicago Board Options Exchange, Incorporated; Investors Exchange LLC; Nasdaq ISE, LLC; Nasdaq MRX, LLC; Miami International Securities Exchange, LLC; The NASDAQ Stock Market LLC; NASDAQ BX, Inc.; Nasdaq GEMX, LLC; NASDAQ PHLX LLC; New York Stock Exchange LLC; NYSE Arca, Inc.; NYSE MKT LLC; Order Approving Proposed Rule Changes, as Modified by Amendments, To Adopt a Consolidated Audit Trail Fee Dispute Resolution Process2017-09-06T00:00:00-07:002017-09-06T00:00:00-07:002017-18794Noticehttps://www.gpo.gov/fdsys/pkg/FR-2017-09-06/pdf/2017-18794.pdfhttps://regulations.justia.com/regulations/fedreg/2017/09/06/2017-18793.htmlNotice - Self-Regulatory Organizations; Bats BZX Exchange, Inc.; Bats EDGX Exchange, Inc.; BOX Options Exchange LLC; C2 Options Exchange, Incorporated; Chicago Board Options Exchange, Incorporated; Financial Industry Regulatory Authority, Inc.; International Securities Exchange, LLC; Investors Exchange LLC; Miami International Securities Exchange LLC; MIAX PEARL, LLC; The NASDAQ Stock Market LLC; NASDAQ BX, Inc.; NASDAQ PHLX LLC; New York Stock Exchange LLC; NYSE Arca, Inc.; NYSE MKT LLC; Notice of Filing of Amendment No. 1 by Bats BZX Exchange, Inc.; Bats EDGX Exchange, Inc.; BOX Options Exchange LLC; C2 Options Exchange, Incorporated; Chicago Board Options Exchange, Incorporated; Financial Industry Regulatory Authority, Inc.; Investors Exchange LLC; New York Stock Exchange LLC; NYSE Arca, Inc.; NYSE MKT LLC, of Amendment Nos. 1 and 2 by International Securities Exchange, LLC; The NASDAQ Stock Market LLC; NASDAQ BX, Inc.; and NASDAQ PHLX LLC, of Amendment No. 2 by MIAX PEARL, LLC, and of Amendment No. 3 by Miami Inte2017-09-06T00:00:00-07:002017-09-06T00:00:00-07:002017-18793Noticehttps://www.gpo.gov/fdsys/pkg/FR-2017-09-06/pdf/2017-18793.pdfhttps://regulations.justia.com/regulations/fedreg/2017/09/06/2017-18792.htmlNotice - Self-Regulatory Organizations; Bats BYX Exchange, Inc.; Notice of Filing of a Proposed Rule Change, as Modified by Amendment No. 1, To Harmonize the Corporate Governance Framework With That of Chicago Board Options Exchange, Incorporated and C2 Options Exchange Incorporated2017-09-06T00:00:00-07:002017-09-06T00:00:00-07:002017-18792Noticehttps://www.gpo.gov/fdsys/pkg/FR-2017-09-06/pdf/2017-18792.pdfhttps://regulations.justia.com/regulations/fedreg/2017/09/06/2017-18791.htmlNotice - Self-Regulatory Organizations; Bats BZX Exchange, Inc.; Notice of Filing of a Proposed Rule Change, as Modified by Amendment No. 1, To Harmonize the Corporate Governance Framework With That of Chicago Board Options Exchange, Incorporated and C2 Options Exchange Incorporated2017-09-06T00:00:00-07:002017-09-06T00:00:00-07:002017-18791Noticehttps://www.gpo.gov/fdsys/pkg/FR-2017-09-06/pdf/2017-18791.pdfhttps://regulations.justia.com/regulations/fedreg/2017/09/06/2017-18790.htmlNotice - Self-Regulatory Organizations; Bats EDGA Exchange, Inc.; Notice of Filing of a Proposed Rule Change, as Modified by Amendment No. 1, To Harmonize the Corporate Governance Framework With That of Chicago Board Options Exchange, Incorporated and C2 Options Exchange Incorporated2017-09-06T00:00:00-07:002017-09-06T00:00:00-07:002017-18790Noticehttps://www.gpo.gov/fdsys/pkg/FR-2017-09-06/pdf/2017-18790.pdfhttps://regulations.justia.com/regulations/fedreg/2017/09/06/2017-18777.htmlNotice - SL Advisors, LLC, et al.2017-09-06T00:00:00-07:002017-09-06T00:00:00-07:002017-18777Noticehttps://www.gpo.gov/fdsys/pkg/FR-2017-09-06/pdf/2017-18777.pdfhttps://regulations.justia.com/regulations/fedreg/2017/09/05/2017-18807.htmlNotice - Sunshine Act Meeting2017-09-05T00:00:00-07:002017-09-05T00:00:00-07:002017-18807Noticehttps://www.gpo.gov/fdsys/pkg/FR-2017-09-05/pdf/2017-18807.pdfhttps://regulations.justia.com/regulations/fedreg/2017/09/05/2017-18660.htmlNotice - Self-Regulatory Organizations; Bats BZX Exchange, Inc.; Notice of Filing of a Proposed Rule Change To List and Trade Shares of Specified Series of the Innovator Shield Strategy S&P 500 Monthly Index Series and Innovator Ultra Shield Strategy S&P 500 Monthly Index Series Under Rule 14.11(c)(3)2017-09-05T00:00:00-07:002017-09-05T00:00:00-07:002017-18660Noticehttps://www.gpo.gov/fdsys/pkg/FR-2017-09-05/pdf/2017-18660.pdfhttps://regulations.justia.com/regulations/fedreg/2017/09/05/2017-18659.htmlNotice - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing of Proposed Rule Change To Amend Section 202.06 of the NYSE Listed Company Manual To Prohibit Listed Companies From Issuing Material News After the Official Closing Time for the Exchange's Trading Session Until the Earlier of Publication of Such Company's Official Closing Price on the Exchange or Five Minutes After the Official Closing Time2017-09-05T00:00:00-07:002017-09-05T00:00:00-07:002017-18659Noticehttps://www.gpo.gov/fdsys/pkg/FR-2017-09-05/pdf/2017-18659.pdfhttps://regulations.justia.com/regulations/fedreg/2017/09/05/2017-18658.htmlNotice - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Rule 4752(d)(2)(F)(i)2017-09-05T00:00:00-07:002017-09-05T00:00:00-07:002017-18658Noticehttps://www.gpo.gov/fdsys/pkg/FR-2017-09-05/pdf/2017-18658.pdfhttps://regulations.justia.com/regulations/fedreg/2017/09/01/2017-18533.htmlNotice - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Implement a New Electronic Form 2112017-09-01T00:00:00-07:002017-09-01T00:00:00-07:002017-18533Noticehttps://www.gpo.gov/fdsys/pkg/FR-2017-09-01/pdf/2017-18533.pdf