Federal Register Recent Federal Regulation Documents - Justia Regulation Tracker - Justia Regulations Tracker https://regulations.justia.com/regulations/fedreg/agencies/agencies-and-commissions/securities-and-exchange-commission/2017/09?limit=200&registers=between&min-day=1&max-day=30&mode=atom 2021-02-27T03:05:24-08:00 Justia Inc https://www.justia.com/ Justia Regulations Tracker https://regulations.justia.com/images/justiafedregulations.gif Copyright 2011 Justia Inc https://regulations.justia.com/regulations/fedreg/2017/09/29/2017-20896.html Notice - 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 8.200 2017-09-29T00:00:00-07:00 2017-09-29T00:00:00-07:00 2017-20896 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-09-29/pdf/2017-20896.pdf https://regulations.justia.com/regulations/fedreg/2017/09/29/2017-20892.html Notice - 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 Mechanism 2017-09-29T00:00:00-07:00 2017-09-29T00:00:00-07:00 2017-20892 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-09-29/pdf/2017-20892.pdf https://regulations.justia.com/regulations/fedreg/2017/09/29/2017-20891.html Notice - 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 Mechanism 2017-09-29T00:00:00-07:00 2017-09-29T00:00:00-07:00 2017-20891 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-09-29/pdf/2017-20891.pdf https://regulations.justia.com/regulations/fedreg/2017/09/29/2017-20890.html Notice - 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 Trust 2017-09-29T00:00:00-07:00 2017-09-29T00:00:00-07:00 2017-20890 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-09-29/pdf/2017-20890.pdf https://regulations.justia.com/regulations/fedreg/2017/09/29/2017-20889.html Notice - 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 SPX 2017-09-29T00:00:00-07:00 2017-09-29T00:00:00-07:00 2017-20889 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-09-29/pdf/2017-20889.pdf https://regulations.justia.com/regulations/fedreg/2017/09/29/2017-20888.html Notice - 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 Exchange 2017-09-29T00:00:00-07:00 2017-09-29T00:00:00-07:00 2017-20888 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-09-29/pdf/2017-20888.pdf https://regulations.justia.com/regulations/fedreg/2017/09/29/2017-20887.html Notice - 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 8.201 2017-09-29T00:00:00-07:00 2017-09-29T00:00:00-07:00 2017-20887 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-09-29/pdf/2017-20887.pdf https://regulations.justia.com/regulations/fedreg/2017/09/29/2017-20886.html Notice - 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 7047 2017-09-29T00:00:00-07:00 2017-09-29T00:00:00-07:00 2017-20886 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-09-29/pdf/2017-20886.pdf https://regulations.justia.com/regulations/fedreg/2017/09/29/2017-20879.html Notice - Public Availability of the Securities and Exchange Commission's FY 2015 Service Contract Inventory 2017-09-29T00:00:00-07:00 2017-09-29T00:00:00-07:00 2017-20879 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-09-29/pdf/2017-20879.pdf https://regulations.justia.com/regulations/fedreg/2017/09/29/2017-20654.html Rule - Adoption of Updated EDGAR Filer Manual 2017-09-29T00:00:00-07:00 2017-09-29T00:00:00-07:00 2017-20654 Rule https://www.gpo.gov/fdsys/pkg/FR-2017-09-29/pdf/2017-20654.pdf https://regulations.justia.com/regulations/fedreg/2017/09/28/2017-20757.html Notice - Oaktree Strategic Income, LLC, et al. 2017-09-28T00:00:00-07:00 2017-09-28T00:00:00-07:00 2017-20757 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-09-28/pdf/2017-20757.pdf https://regulations.justia.com/regulations/fedreg/2017/09/28/2017-20754.html Notice - Self-Regulatory Organizations; Chicago Stock Exchange, Inc.; Order Approving a Proposed Rule Change Regarding Qualified Contingent Trades and Related Information Recording Obligations by Certain Participants 2017-09-28T00:00:00-07:00 2017-09-28T00:00:00-07:00 2017-20754 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-09-28/pdf/2017-20754.pdf https://regulations.justia.com/regulations/fedreg/2017/09/28/2017-20752.html Notice - 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 ETF 2017-09-28T00:00:00-07:00 2017-09-28T00:00:00-07:00 2017-20752 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-09-28/pdf/2017-20752.pdf https://regulations.justia.com/regulations/fedreg/2017/09/28/2017-20751.html Notice - 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 .02 2017-09-28T00:00:00-07:00 2017-09-28T00:00:00-07:00 2017-20751 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-09-28/pdf/2017-20751.pdf https://regulations.justia.com/regulations/fedreg/2017/09/28/2017-20750.html Notice - 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 Policy 2017-09-28T00:00:00-07:00 2017-09-28T00:00:00-07:00 2017-20750 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-09-28/pdf/2017-20750.pdf https://regulations.justia.com/regulations/fedreg/2017/09/27/2017-20632.html Rule - Commission Guidance on Pay Ratio Disclosure 2017-09-27T00:00:00-07:00 2017-09-27T00:00:00-07:00 2017-20632 Rule https://www.gpo.gov/fdsys/pkg/FR-2017-09-27/pdf/2017-20632.pdf https://regulations.justia.com/regulations/fedreg/2017/09/27/2017-20628.html Notice - 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 Process 2017-09-27T00:00:00-07:00 2017-09-27T00:00:00-07:00 2017-20628 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-09-27/pdf/2017-20628.pdf https://regulations.justia.com/regulations/fedreg/2017/09/27/2017-20627.html Notice - 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 8.201 2017-09-27T00:00:00-07:00 2017-09-27T00:00:00-07:00 2017-20627 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-09-27/pdf/2017-20627.pdf https://regulations.justia.com/regulations/fedreg/2017/09/27/2017-20626.html Notice - 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 Types 2017-09-27T00:00:00-07:00 2017-09-27T00:00:00-07:00 2017-20626 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-09-27/pdf/2017-20626.pdf https://regulations.justia.com/regulations/fedreg/2017/09/27/2017-20625.html Notice - 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 Shares 2017-09-27T00:00:00-07:00 2017-09-27T00:00:00-07:00 2017-20625 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-09-27/pdf/2017-20625.pdf https://regulations.justia.com/regulations/fedreg/2017/09/27/2017-20624.html Notice - 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 Clarity 2017-09-27T00:00:00-07:00 2017-09-27T00:00:00-07:00 2017-20624 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-09-27/pdf/2017-20624.pdf https://regulations.justia.com/regulations/fedreg/2017/09/27/2017-20623.html Notice - 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 Order 2017-09-27T00:00:00-07:00 2017-09-27T00:00:00-07:00 2017-20623 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-09-27/pdf/2017-20623.pdf https://regulations.justia.com/regulations/fedreg/2017/09/27/2017-20622.html Notice - Self-Regulatory Organizations; The Depository Trust Company; National Securities Clearing Corporation; Fixed Income Clearing Corporation; Notice of Filings of Proposed Rule Changes To Adopt the Clearing Agency Securities Valuation Framework 2017-09-27T00:00:00-07:00 2017-09-27T00:00:00-07:00 2017-20622 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-09-27/pdf/2017-20622.pdf https://regulations.justia.com/regulations/fedreg/2017/09/26/2017-20633.html Notice - Sunshine Act Meeting 2017-09-26T00:00:00-07:00 2017-09-26T00:00:00-07:00 2017-20633 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-09-26/pdf/2017-20633.pdf https://regulations.justia.com/regulations/fedreg/2017/09/26/2017-20500.html Notice - 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 Process 2017-09-26T00:00:00-07:00 2017-09-26T00:00:00-07:00 2017-20500 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-09-26/pdf/2017-20500.pdf https://regulations.justia.com/regulations/fedreg/2017/09/25/2017-20438.html Notice - Barings Corporate Investors, et al.; Notice of Application 2017-09-25T00:00:00-07:00 2017-09-25T00:00:00-07:00 2017-20438 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-09-25/pdf/2017-20438.pdf https://regulations.justia.com/regulations/fedreg/2017/09/25/2017-20365.html Notice - 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-E 2017-09-25T00:00:00-07:00 2017-09-25T00:00:00-07:00 2017-20365 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-09-25/pdf/2017-20365.pdf https://regulations.justia.com/regulations/fedreg/2017/09/25/2017-20364.html Notice - 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. 2017-09-25T00:00:00-07:00 2017-09-25T00:00:00-07:00 2017-20364 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-09-25/pdf/2017-20364.pdf https://regulations.justia.com/regulations/fedreg/2017/09/25/2017-20363.html Notice - 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 LLC 2017-09-25T00:00:00-07:00 2017-09-25T00:00:00-07:00 2017-20363 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-09-25/pdf/2017-20363.pdf https://regulations.justia.com/regulations/fedreg/2017/09/25/2017-20361.html Notice - 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. 2017-09-25T00:00:00-07:00 2017-09-25T00:00:00-07:00 2017-20361 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-09-25/pdf/2017-20361.pdf https://regulations.justia.com/regulations/fedreg/2017/09/25/2017-20360.html Notice - Submission for OMB Review; Comment Request 2017-09-25T00:00:00-07:00 2017-09-25T00:00:00-07:00 2017-20360 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-09-25/pdf/2017-20360.pdf https://regulations.justia.com/regulations/fedreg/2017/09/25/2017-20359.html Notice - Submission for OMB Review; Comment Request 2017-09-25T00:00:00-07:00 2017-09-25T00:00:00-07:00 2017-20359 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-09-25/pdf/2017-20359.pdf https://regulations.justia.com/regulations/fedreg/2017/09/25/2017-20358.html Notice - Submission for OMB Review; Comment Request 2017-09-25T00:00:00-07:00 2017-09-25T00:00:00-07:00 2017-20358 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-09-25/pdf/2017-20358.pdf https://regulations.justia.com/regulations/fedreg/2017/09/22/2017-20221.html Notice - Submission for OMB Review; Comment Request 2017-09-22T00:00:00-07:00 2017-09-22T00:00:00-07:00 2017-20221 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-09-22/pdf/2017-20221.pdf https://regulations.justia.com/regulations/fedreg/2017/09/22/2017-20220.html Notice - Submission for OMB Review; Comment Request 2017-09-22T00:00:00-07:00 2017-09-22T00:00:00-07:00 2017-20220 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-09-22/pdf/2017-20220.pdf https://regulations.justia.com/regulations/fedreg/2017/09/22/2017-20219.html Notice - Submission for OMB Review; Comment Request 2017-09-22T00:00:00-07:00 2017-09-22T00:00:00-07:00 2017-20219 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-09-22/pdf/2017-20219.pdf https://regulations.justia.com/regulations/fedreg/2017/09/22/2017-20218.html Notice - Submission for OMB Review; Comment Request 2017-09-22T00:00:00-07:00 2017-09-22T00:00:00-07:00 2017-20218 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-09-22/pdf/2017-20218.pdf https://regulations.justia.com/regulations/fedreg/2017/09/22/2017-20217.html Notice - Submission for OMB Review; Comment Request 2017-09-22T00:00:00-07:00 2017-09-22T00:00:00-07:00 2017-20217 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-09-22/pdf/2017-20217.pdf https://regulations.justia.com/regulations/fedreg/2017/09/22/2017-20216.html Notice - Submission for OMB Review; Comment Request 2017-09-22T00:00:00-07:00 2017-09-22T00:00:00-07:00 2017-20216 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-09-22/pdf/2017-20216.pdf https://regulations.justia.com/regulations/fedreg/2017/09/22/2017-20204.html Notice - Self-Regulatory Organizations; ICE Clear Credit LLC; Order Approving Proposed Rule Change Relating to the Clearance of Additional Credit Default Swap Contracts 2017-09-22T00:00:00-07:00 2017-09-22T00:00:00-07:00 2017-20204 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-09-22/pdf/2017-20204.pdf https://regulations.justia.com/regulations/fedreg/2017/09/22/2017-20203.html Notice - Self-Regulatory Organizations; ICE Clear Credit LLC; Order Approving Proposed Rule Change Relating to the Clearance of Additional Credit Default Swap Contracts 2017-09-22T00:00:00-07:00 2017-09-22T00:00:00-07:00 2017-20203 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-09-22/pdf/2017-20203.pdf https://regulations.justia.com/regulations/fedreg/2017/09/22/2017-20202.html Notice - 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 Text 2017-09-22T00:00:00-07:00 2017-09-22T00:00:00-07:00 2017-20202 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-09-22/pdf/2017-20202.pdf https://regulations.justia.com/regulations/fedreg/2017/09/22/2017-20201.html Notice - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Designation of a Longer Period for Commission Action on a Proposed Rule Change To Adopt New Equity Trading Rules for Trading UTP Securities on Pillar, Including Orders and Modifiers, Order Ranking and Display, and Order Execution and Routing 2017-09-22T00:00:00-07:00 2017-09-22T00:00:00-07:00 2017-20201 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-09-22/pdf/2017-20201.pdf https://regulations.justia.com/regulations/fedreg/2017/09/22/2017-20177.html Notice - AQR Funds, et al. 2017-09-22T00:00:00-07:00 2017-09-22T00:00:00-07:00 2017-20177 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-09-22/pdf/2017-20177.pdf https://regulations.justia.com/regulations/fedreg/2017/09/22/2017-20176.html Notice - Eagle Series Trust, et al. 2017-09-22T00:00:00-07:00 2017-09-22T00:00:00-07:00 2017-20176 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-09-22/pdf/2017-20176.pdf https://regulations.justia.com/regulations/fedreg/2017/09/21/2017-20143.html Notice - Active Weighting Funds ETF Trust and Active Weighting Advisors LLC 2017-09-21T00:00:00-07:00 2017-09-21T00:00:00-07:00 2017-20143 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-09-21/pdf/2017-20143.pdf https://regulations.justia.com/regulations/fedreg/2017/09/21/2017-20101.html Notice - 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 123D 2017-09-21T00:00:00-07:00 2017-09-21T00:00:00-07:00 2017-20101 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-09-21/pdf/2017-20101.pdf https://regulations.justia.com/regulations/fedreg/2017/09/21/2017-20090.html Notice - 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 Rulebook 2017-09-21T00:00:00-07:00 2017-09-21T00:00:00-07:00 2017-20090 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-09-21/pdf/2017-20090.pdf https://regulations.justia.com/regulations/fedreg/2017/09/21/2017-20089.html Notice - 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 Framework 2017-09-21T00:00:00-07:00 2017-09-21T00:00:00-07:00 2017-20089 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-09-21/pdf/2017-20089.pdf https://regulations.justia.com/regulations/fedreg/2017/09/21/2017-20088.html Notice - 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 Information 2017-09-21T00:00:00-07:00 2017-09-21T00:00:00-07:00 2017-20088 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-09-21/pdf/2017-20088.pdf https://regulations.justia.com/regulations/fedreg/2017/09/21/2017-20087.html Notice - 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 Clarifications 2017-09-21T00:00:00-07:00 2017-09-21T00:00:00-07:00 2017-20087 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-09-21/pdf/2017-20087.pdf https://regulations.justia.com/regulations/fedreg/2017/09/21/2017-20081.html Notice - 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 Review 2017-09-21T00:00:00-07:00 2017-09-21T00:00:00-07:00 2017-20081 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-09-21/pdf/2017-20081.pdf https://regulations.justia.com/regulations/fedreg/2017/09/21/2017-20080.html Notice - Before the Securities and Exchange Commission; Securities Exchange Act of 1934; In the Matter of the Options Clearing Corporation; Corrected Order Denying Motion for Stay 2017-09-21T00:00:00-07:00 2017-09-21T00:00:00-07:00 2017-20080 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-09-21/pdf/2017-20080.pdf https://regulations.justia.com/regulations/fedreg/2017/09/20/2017-19968.html Notice - 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 Process 2017-09-20T00:00:00-07:00 2017-09-20T00:00:00-07:00 2017-19968 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-09-20/pdf/2017-19968.pdf https://regulations.justia.com/regulations/fedreg/2017/09/20/2017-19967.html Notice - 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 Facility 2017-09-20T00:00:00-07:00 2017-09-20T00:00:00-07:00 2017-19967 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-09-20/pdf/2017-19967.pdf https://regulations.justia.com/regulations/fedreg/2017/09/20/2017-19966.html Notice - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the Fees Schedule 2017-09-20T00:00:00-07:00 2017-09-20T00:00:00-07:00 2017-19966 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-09-20/pdf/2017-19966.pdf https://regulations.justia.com/regulations/fedreg/2017/09/20/2017-19965.html Notice - 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 Schedule 2017-09-20T00:00:00-07:00 2017-09-20T00:00:00-07:00 2017-19965 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-09-20/pdf/2017-19965.pdf https://regulations.justia.com/regulations/fedreg/2017/09/20/2017-19964.html Notice - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Its Price List 2017-09-20T00:00:00-07:00 2017-09-20T00:00:00-07:00 2017-19964 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-09-20/pdf/2017-19964.pdf https://regulations.justia.com/regulations/fedreg/2017/09/20/2017-19963.html Notice - 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 Fees 2017-09-20T00:00:00-07:00 2017-09-20T00:00:00-07:00 2017-19963 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-09-20/pdf/2017-19963.pdf https://regulations.justia.com/regulations/fedreg/2017/09/19/2017-19845.html Notice - 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 SPY 2017-09-19T00:00:00-07:00 2017-09-19T00:00:00-07:00 2017-19845 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-09-19/pdf/2017-19845.pdf https://regulations.justia.com/regulations/fedreg/2017/09/19/2017-19805.html Notice - 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 American 2017-09-19T00:00:00-07:00 2017-09-19T00:00:00-07:00 2017-19805 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-09-19/pdf/2017-19805.pdf https://regulations.justia.com/regulations/fedreg/2017/09/18/2017-19918.html Notice - Sunshine Act Meeting 2017-09-18T00:00:00-07:00 2017-09-18T00:00:00-07:00 2017-19918 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-09-18/pdf/2017-19918.pdf https://regulations.justia.com/regulations/fedreg/2017/09/18/2017-19812.html Notice - 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-E 2017-09-18T00:00:00-07:00 2017-09-18T00:00:00-07:00 2017-19812 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-09-18/pdf/2017-19812.pdf https://regulations.justia.com/regulations/fedreg/2017/09/18/2017-19811.html Notice - Self-Regulatory Organizations; Investors Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Related to Fees Pursuant to Rule 15.110 2017-09-18T00:00:00-07:00 2017-09-18T00:00:00-07:00 2017-19811 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-09-18/pdf/2017-19811.pdf https://regulations.justia.com/regulations/fedreg/2017/09/18/2017-19810.html Notice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the NYSE Arca Equities Fees and Charges 2017-09-18T00:00:00-07:00 2017-09-18T00:00:00-07:00 2017-19810 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-09-18/pdf/2017-19810.pdf https://regulations.justia.com/regulations/fedreg/2017/09/18/2017-19809.html Notice - Self-Regulatory Organizations; Bats EDGA Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Related to Transaction Fees 2017-09-18T00:00:00-07:00 2017-09-18T00:00:00-07:00 2017-19809 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-09-18/pdf/2017-19809.pdf https://regulations.justia.com/regulations/fedreg/2017/09/18/2017-19808.html Notice - 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 ETF 2017-09-18T00:00:00-07:00 2017-09-18T00:00:00-07:00 2017-19808 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-09-18/pdf/2017-19808.pdf https://regulations.justia.com/regulations/fedreg/2017/09/18/2017-19807.html Notice - 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 Fees 2017-09-18T00:00:00-07:00 2017-09-18T00:00:00-07:00 2017-19807 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-09-18/pdf/2017-19807.pdf https://regulations.justia.com/regulations/fedreg/2017/09/18/2017-19806.html Notice - Self-Regulatory Organizations; Nasdaq MRX, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Remove Language From Chapter 19 of the Rulebook 2017-09-18T00:00:00-07:00 2017-09-18T00:00:00-07:00 2017-19806 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-09-18/pdf/2017-19806.pdf https://regulations.justia.com/regulations/fedreg/2017/09/18/2017-19804.html Notice - 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 Requirements 2017-09-18T00:00:00-07:00 2017-09-18T00:00:00-07:00 2017-19804 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-09-18/pdf/2017-19804.pdf https://regulations.justia.com/regulations/fedreg/2017/09/18/2017-19803.html Notice - 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 American 2017-09-18T00:00:00-07:00 2017-09-18T00:00:00-07:00 2017-19803 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-09-18/pdf/2017-19803.pdf https://regulations.justia.com/regulations/fedreg/2017/09/18/2017-19802.html Notice - 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 NextSharesTM 2017-09-18T00:00:00-07:00 2017-09-18T00:00:00-07:00 2017-19802 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-09-18/pdf/2017-19802.pdf https://regulations.justia.com/regulations/fedreg/2017/09/18/2017-19712.html Notice - 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 Program 2017-09-18T00:00:00-07:00 2017-09-18T00:00:00-07:00 2017-19712 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-09-18/pdf/2017-19712.pdf https://regulations.justia.com/regulations/fedreg/2017/09/18/2017-19711.html Notice - Self-Regulatory Organizations; NYSE American LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Rule 975NY and Rule 953NY 2017-09-18T00:00:00-07:00 2017-09-18T00:00:00-07:00 2017-19711 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-09-18/pdf/2017-19711.pdf https://regulations.justia.com/regulations/fedreg/2017/09/18/2017-19710.html Notice - 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-O 2017-09-18T00:00:00-07:00 2017-09-18T00:00:00-07:00 2017-19710 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-09-18/pdf/2017-19710.pdf https://regulations.justia.com/regulations/fedreg/2017/09/18/2017-19709.html Notice - 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 Activated 2017-09-18T00:00:00-07:00 2017-09-18T00:00:00-07:00 2017-19709 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-09-18/pdf/2017-19709.pdf https://regulations.justia.com/regulations/fedreg/2017/09/18/2017-19708.html Notice - 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 Schedule 2017-09-18T00:00:00-07:00 2017-09-18T00:00:00-07:00 2017-19708 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-09-18/pdf/2017-19708.pdf https://regulations.justia.com/regulations/fedreg/2017/09/15/2017-19678.html Notice - Proposed Collection; Comment Request 2017-09-15T00:00:00-07:00 2017-09-15T00:00:00-07:00 2017-19678 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-09-15/pdf/2017-19678.pdf https://regulations.justia.com/regulations/fedreg/2017/09/15/2017-19677.html Notice - Submission for OMB Review; Comment Request 2017-09-15T00:00:00-07:00 2017-09-15T00:00:00-07:00 2017-19677 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-09-15/pdf/2017-19677.pdf https://regulations.justia.com/regulations/fedreg/2017/09/15/2017-19676.html Notice - Proposed Collection; Comment Request 2017-09-15T00:00:00-07:00 2017-09-15T00:00:00-07:00 2017-19676 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-09-15/pdf/2017-19676.pdf https://regulations.justia.com/regulations/fedreg/2017/09/15/2017-19674.html Notice - Investor Advisory Committee Meeting 2017-09-15T00:00:00-07:00 2017-09-15T00:00:00-07:00 2017-19674 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-09-15/pdf/2017-19674.pdf https://regulations.justia.com/regulations/fedreg/2017/09/15/2017-19586.html Notice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the NYSE Arca Equities Fees and Charges 2017-09-15T00:00:00-07:00 2017-09-15T00:00:00-07:00 2017-19586 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-09-15/pdf/2017-19586.pdf https://regulations.justia.com/regulations/fedreg/2017/09/15/2017-19585.html Notice - 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-E 2017-09-15T00:00:00-07:00 2017-09-15T00:00:00-07:00 2017-19585 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-09-15/pdf/2017-19585.pdf https://regulations.justia.com/regulations/fedreg/2017/09/15/2017-19584.html Notice - Self-Regulatory Organizations; NYSE American LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Modify the NYSE American Options Fee Schedule 2017-09-15T00:00:00-07:00 2017-09-15T00:00:00-07:00 2017-19584 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-09-15/pdf/2017-19584.pdf https://regulations.justia.com/regulations/fedreg/2017/09/15/2017-19583.html Notice - 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 NextSharesTM 2017-09-15T00:00:00-07:00 2017-09-15T00:00:00-07:00 2017-19583 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-09-15/pdf/2017-19583.pdf https://regulations.justia.com/regulations/fedreg/2017/09/15/2017-19582.html Notice - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Order Approving a Proposed Rule Change Relating to the Definition of Non-Public Arbitrator 2017-09-15T00:00:00-07:00 2017-09-15T00:00:00-07:00 2017-19582 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-09-15/pdf/2017-19582.pdf https://regulations.justia.com/regulations/fedreg/2017/09/15/2017-19581.html Notice - 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 System 2017-09-15T00:00:00-07:00 2017-09-15T00:00:00-07:00 2017-19581 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-09-15/pdf/2017-19581.pdf https://regulations.justia.com/regulations/fedreg/2017/09/15/2017-19577.html Notice - Innovator ETFS Trust and Innovator Capital Management, LLC 2017-09-15T00:00:00-07:00 2017-09-15T00:00:00-07:00 2017-19577 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-09-15/pdf/2017-19577.pdf https://regulations.justia.com/regulations/fedreg/2017/09/14/2017-19537.html Notice - Innovator ETFs Trust, et al. 2017-09-14T00:00:00-07:00 2017-09-14T00:00:00-07:00 2017-19537 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-09-14/pdf/2017-19537.pdf https://regulations.justia.com/regulations/fedreg/2017/09/14/2017-19536.html Notice - Innovator ETFs Trust, et al. 2017-09-14T00:00:00-07:00 2017-09-14T00:00:00-07:00 2017-19536 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-09-14/pdf/2017-19536.pdf https://regulations.justia.com/regulations/fedreg/2017/09/14/2017-19511.html Notice - Proposed Collection; Comment Request 2017-09-14T00:00:00-07:00 2017-09-14T00:00:00-07:00 2017-19511 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-09-14/pdf/2017-19511.pdf https://regulations.justia.com/regulations/fedreg/2017/09/14/2017-19510.html Notice - Proposed Collection; Comment Request 2017-09-14T00:00:00-07:00 2017-09-14T00:00:00-07:00 2017-19510 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-09-14/pdf/2017-19510.pdf https://regulations.justia.com/regulations/fedreg/2017/09/14/2017-19509.html Notice - Proposed Collection; Comment Request 2017-09-14T00:00:00-07:00 2017-09-14T00:00:00-07:00 2017-19509 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-09-14/pdf/2017-19509.pdf https://regulations.justia.com/regulations/fedreg/2017/09/14/2017-19479.html Notice - 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) 2017-09-14T00:00:00-07:00 2017-09-14T00:00:00-07:00 2017-19479 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-09-14/pdf/2017-19479.pdf https://regulations.justia.com/regulations/fedreg/2017/09/14/2017-19478.html Notice - 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 Changes 2017-09-14T00:00:00-07:00 2017-09-14T00:00:00-07:00 2017-19478 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-09-14/pdf/2017-19478.pdf https://regulations.justia.com/regulations/fedreg/2017/09/14/2017-19477.html Notice - Self-Regulatory Organizations; Nasdaq ISE, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Delay Implementation of SR-ISE-2017-32 2017-09-14T00:00:00-07:00 2017-09-14T00:00:00-07:00 2017-19477 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-09-14/pdf/2017-19477.pdf https://regulations.justia.com/regulations/fedreg/2017/09/14/2017-19476.html Notice - 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 Issues 2017-09-14T00:00:00-07:00 2017-09-14T00:00:00-07:00 2017-19476 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-09-14/pdf/2017-19476.pdf https://regulations.justia.com/regulations/fedreg/2017/09/14/2017-19474.html Notice - The Vanguard Group, Inc., et al. 2017-09-14T00:00:00-07:00 2017-09-14T00:00:00-07:00 2017-19474 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-09-14/pdf/2017-19474.pdf https://regulations.justia.com/regulations/fedreg/2017/09/14/2017-19473.html Notice - Medley Capital Corporation, et al. 2017-09-14T00:00:00-07:00 2017-09-14T00:00:00-07:00 2017-19473 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-09-14/pdf/2017-19473.pdf https://regulations.justia.com/regulations/fedreg/2017/09/13/2017-19446.html Notice - Submission for OMB Review; Comment Request 2017-09-13T00:00:00-07:00 2017-09-13T00:00:00-07:00 2017-19446 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-09-13/pdf/2017-19446.pdf https://regulations.justia.com/regulations/fedreg/2017/09/13/2017-19379.html Notice - Self-Regulatory Organizations; National Securities Clearing Corporation; Order Approving Proposed Rule Change To Expand the Application of the Family-Issued Securities Charge 2017-09-13T00:00:00-07:00 2017-09-13T00:00:00-07:00 2017-19379 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-09-13/pdf/2017-19379.pdf https://regulations.justia.com/regulations/fedreg/2017/09/13/2017-19378.html Notice - Self-Regulatory Organizations; NYSE American LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Modify the NYSE American Options Fee Schedule 2017-09-13T00:00:00-07:00 2017-09-13T00:00:00-07:00 2017-19378 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-09-13/pdf/2017-19378.pdf https://regulations.justia.com/regulations/fedreg/2017/09/13/2017-19377.html Notice - 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. 2017-09-13T00:00:00-07:00 2017-09-13T00:00:00-07:00 2017-19377 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-09-13/pdf/2017-19377.pdf https://regulations.justia.com/regulations/fedreg/2017/09/13/2017-19376.html Notice - Self-Regulatory Organizations; NYSE American LLC; Notice of Filing and Immediate Effectiveness of Proposed Change To Amend Its Price List 2017-09-13T00:00:00-07:00 2017-09-13T00:00:00-07:00 2017-19376 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-09-13/pdf/2017-19376.pdf https://regulations.justia.com/regulations/fedreg/2017/09/13/2017-19375.html Notice - Self-Regulatory Organizations; National Securities Clearing Corporation; Notice of No Objection to an Advance Notice To Expand the Application of the Family-Issued Securities Charge 2017-09-13T00:00:00-07:00 2017-09-13T00:00:00-07:00 2017-19375 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-09-13/pdf/2017-19375.pdf https://regulations.justia.com/regulations/fedreg/2017/09/13/2017-19360.html Notice - Submission for OMB Review; Comment Request 2017-09-13T00:00:00-07:00 2017-09-13T00:00:00-07:00 2017-19360 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-09-13/pdf/2017-19360.pdf https://regulations.justia.com/regulations/fedreg/2017/09/12/2017-19445.html Notice - Sunshine Act Meeting 2017-09-12T00:00:00-07:00 2017-09-12T00:00:00-07:00 2017-19445 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-09-12/pdf/2017-19445.pdf https://regulations.justia.com/regulations/fedreg/2017/09/12/2017-19241.html Notice - 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 Exchange 2017-09-12T00:00:00-07:00 2017-09-12T00:00:00-07:00 2017-19241 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-09-12/pdf/2017-19241.pdf https://regulations.justia.com/regulations/fedreg/2017/09/12/2017-19240.html Notice - 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 8.201 2017-09-12T00:00:00-07:00 2017-09-12T00:00:00-07:00 2017-19240 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-09-12/pdf/2017-19240.pdf https://regulations.justia.com/regulations/fedreg/2017/09/12/2017-19239.html Notice - 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 Exchange 2017-09-12T00:00:00-07:00 2017-09-12T00:00:00-07:00 2017-19239 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-09-12/pdf/2017-19239.pdf https://regulations.justia.com/regulations/fedreg/2017/09/12/2017-19236.html Notice - Active Weighting Funds ETF Trust and Active Weighting Advisors LLC 2017-09-12T00:00:00-07:00 2017-09-12T00:00:00-07:00 2017-19236 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-09-12/pdf/2017-19236.pdf https://regulations.justia.com/regulations/fedreg/2017/09/12/2017-19235.html Notice - Proposed Collection; Comment Request 2017-09-12T00:00:00-07:00 2017-09-12T00:00:00-07:00 2017-19235 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-09-12/pdf/2017-19235.pdf https://regulations.justia.com/regulations/fedreg/2017/09/11/2017-19107.html Notice - 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 Exchange 2017-09-11T00:00:00-07:00 2017-09-11T00:00:00-07:00 2017-19107 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-09-11/pdf/2017-19107.pdf https://regulations.justia.com/regulations/fedreg/2017/09/08/2017-19072.html Notice - Proposed Collection; Comment Request 2017-09-08T00:00:00-07:00 2017-09-08T00:00:00-07:00 2017-19072 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-09-08/pdf/2017-19072.pdf https://regulations.justia.com/regulations/fedreg/2017/09/08/2017-19071.html Notice - Submission for OMB Review; Comment Request 2017-09-08T00:00:00-07:00 2017-09-08T00:00:00-07:00 2017-19071 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-09-08/pdf/2017-19071.pdf https://regulations.justia.com/regulations/fedreg/2017/09/08/2017-19070.html Notice - Proposed Collection; Comment Request 2017-09-08T00:00:00-07:00 2017-09-08T00:00:00-07:00 2017-19070 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-09-08/pdf/2017-19070.pdf https://regulations.justia.com/regulations/fedreg/2017/09/08/2017-19069.html Notice - Proposed Collection; Comment Request 2017-09-08T00:00:00-07:00 2017-09-08T00:00:00-07:00 2017-19069 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-09-08/pdf/2017-19069.pdf https://regulations.justia.com/regulations/fedreg/2017/09/07/2017-19003.html Notice - 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 Errors 2017-09-07T00:00:00-07:00 2017-09-07T00:00:00-07:00 2017-19003 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-09-07/pdf/2017-19003.pdf https://regulations.justia.com/regulations/fedreg/2017/09/07/2017-18939.html Notice - 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 Errors 2017-09-07T00:00:00-07:00 2017-09-07T00:00:00-07:00 2017-18939 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-09-07/pdf/2017-18939.pdf https://regulations.justia.com/regulations/fedreg/2017/09/07/2017-18938.html Notice - 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 Errors 2017-09-07T00:00:00-07:00 2017-09-07T00:00:00-07:00 2017-18938 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-09-07/pdf/2017-18938.pdf https://regulations.justia.com/regulations/fedreg/2017/09/07/2017-18937.html Notice - 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, 2017 2017-09-07T00:00:00-07:00 2017-09-07T00:00:00-07:00 2017-18937 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-09-07/pdf/2017-18937.pdf https://regulations.justia.com/regulations/fedreg/2017/09/07/2017-18936.html Notice - 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 Consequences 2017-09-07T00:00:00-07:00 2017-09-07T00:00:00-07:00 2017-18936 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-09-07/pdf/2017-18936.pdf https://regulations.justia.com/regulations/fedreg/2017/09/07/2017-18935.html Notice - 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 Shares 2017-09-07T00:00:00-07:00 2017-09-07T00:00:00-07:00 2017-18935 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-09-07/pdf/2017-18935.pdf https://regulations.justia.com/regulations/fedreg/2017/09/07/2017-18932.html Notice - Eagle Series Trust, et al. 2017-09-07T00:00:00-07:00 2017-09-07T00:00:00-07:00 2017-18932 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-09-07/pdf/2017-18932.pdf https://regulations.justia.com/regulations/fedreg/2017/09/07/2017-18931.html Notice - American Century International Bond Funds, et al. 2017-09-07T00:00:00-07:00 2017-09-07T00:00:00-07:00 2017-18931 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-09-07/pdf/2017-18931.pdf https://regulations.justia.com/regulations/fedreg/2017/09/07/2017-18930.html Notice - Hudson Advisors L.P., et al. 2017-09-07T00:00:00-07:00 2017-09-07T00:00:00-07:00 2017-18930 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-09-07/pdf/2017-18930.pdf https://regulations.justia.com/regulations/fedreg/2017/09/07/2017-18929.html Notice - Northern Lights Fund Trust IV and Measured Risk Portfolios, Inc. 2017-09-07T00:00:00-07:00 2017-09-07T00:00:00-07:00 2017-18929 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-09-07/pdf/2017-18929.pdf https://regulations.justia.com/regulations/fedreg/2017/09/06/2017-18933.html Notice - Sunshine Act Meeting 2017-09-06T00:00:00-07:00 2017-09-06T00:00:00-07:00 2017-18933 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-09-06/pdf/2017-18933.pdf https://regulations.justia.com/regulations/fedreg/2017/09/06/2017-18860.html Notice - Proposed Collection; Comment Request 2017-09-06T00:00:00-07:00 2017-09-06T00:00:00-07:00 2017-18860 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-09-06/pdf/2017-18860.pdf https://regulations.justia.com/regulations/fedreg/2017/09/06/2017-18859.html Notice - Proposed Collection; Comment Request 2017-09-06T00:00:00-07:00 2017-09-06T00:00:00-07:00 2017-18859 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-09-06/pdf/2017-18859.pdf https://regulations.justia.com/regulations/fedreg/2017/09/06/2017-18858.html Notice - Proposed Collection; Comment Request 2017-09-06T00:00:00-07:00 2017-09-06T00:00:00-07:00 2017-18858 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-09-06/pdf/2017-18858.pdf https://regulations.justia.com/regulations/fedreg/2017/09/06/2017-18857.html Notice - Proposed Collection; Comment Request 2017-09-06T00:00:00-07:00 2017-09-06T00:00:00-07:00 2017-18857 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-09-06/pdf/2017-18857.pdf https://regulations.justia.com/regulations/fedreg/2017/09/06/2017-18800.html Notice - 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 Floor 2017-09-06T00:00:00-07:00 2017-09-06T00:00:00-07:00 2017-18800 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-09-06/pdf/2017-18800.pdf https://regulations.justia.com/regulations/fedreg/2017/09/06/2017-18799.html Notice - 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-E 2017-09-06T00:00:00-07:00 2017-09-06T00:00:00-07:00 2017-18799 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-09-06/pdf/2017-18799.pdf https://regulations.justia.com/regulations/fedreg/2017/09/06/2017-18798.html Notice - 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 Facility 2017-09-06T00:00:00-07:00 2017-09-06T00:00:00-07:00 2017-18798 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-09-06/pdf/2017-18798.pdf https://regulations.justia.com/regulations/fedreg/2017/09/06/2017-18797.html Notice - 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 Incorporated 2017-09-06T00:00:00-07:00 2017-09-06T00:00:00-07:00 2017-18797 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-09-06/pdf/2017-18797.pdf https://regulations.justia.com/regulations/fedreg/2017/09/06/2017-18796.html Notice - Self-Regulatory Organizations; Investors Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Related to Fees Pursuant to Rule 15.110 2017-09-06T00:00:00-07:00 2017-09-06T00:00:00-07:00 2017-18796 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-09-06/pdf/2017-18796.pdf https://regulations.justia.com/regulations/fedreg/2017/09/06/2017-18795.html Notice - 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 Thereunder 2017-09-06T00:00:00-07:00 2017-09-06T00:00:00-07:00 2017-18795 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-09-06/pdf/2017-18795.pdf https://regulations.justia.com/regulations/fedreg/2017/09/06/2017-18794.html Notice - Self-Regulatory Organizations; Bats BYX Exchange Inc.; Bats BZX Exchange, Inc.; Bats EDGA Exchange, Inc.; Bats EDGX Exchange, Inc.; BOX Options Exchange LLC; 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 Process 2017-09-06T00:00:00-07:00 2017-09-06T00:00:00-07:00 2017-18794 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-09-06/pdf/2017-18794.pdf https://regulations.justia.com/regulations/fedreg/2017/09/06/2017-18793.html Notice - Self-Regulatory Organizations; Bats BZX Exchange, Inc.; Bats EDGX Exchange, Inc.; BOX Options Exchange LLC; C2 Options Exchange, Incorporated; Chicago Board Options Exchange, Incorporated; Financial Industry Regulatory Authority, Inc.; International Securities Exchange, LLC; Investors Exchange LLC; Miami International Securities Exchange LLC; MIAX PEARL, LLC; The NASDAQ Stock Market LLC; NASDAQ BX, Inc.; NASDAQ PHLX 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 Inte 2017-09-06T00:00:00-07:00 2017-09-06T00:00:00-07:00 2017-18793 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-09-06/pdf/2017-18793.pdf https://regulations.justia.com/regulations/fedreg/2017/09/06/2017-18792.html Notice - 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 Incorporated 2017-09-06T00:00:00-07:00 2017-09-06T00:00:00-07:00 2017-18792 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-09-06/pdf/2017-18792.pdf https://regulations.justia.com/regulations/fedreg/2017/09/06/2017-18791.html Notice - 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 Incorporated 2017-09-06T00:00:00-07:00 2017-09-06T00:00:00-07:00 2017-18791 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-09-06/pdf/2017-18791.pdf https://regulations.justia.com/regulations/fedreg/2017/09/06/2017-18790.html Notice - 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 Incorporated 2017-09-06T00:00:00-07:00 2017-09-06T00:00:00-07:00 2017-18790 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-09-06/pdf/2017-18790.pdf https://regulations.justia.com/regulations/fedreg/2017/09/06/2017-18777.html Notice - SL Advisors, LLC, et al. 2017-09-06T00:00:00-07:00 2017-09-06T00:00:00-07:00 2017-18777 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-09-06/pdf/2017-18777.pdf https://regulations.justia.com/regulations/fedreg/2017/09/05/2017-18807.html Notice - Sunshine Act Meeting 2017-09-05T00:00:00-07:00 2017-09-05T00:00:00-07:00 2017-18807 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-09-05/pdf/2017-18807.pdf https://regulations.justia.com/regulations/fedreg/2017/09/05/2017-18660.html Notice - 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) 2017-09-05T00:00:00-07:00 2017-09-05T00:00:00-07:00 2017-18660 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-09-05/pdf/2017-18660.pdf https://regulations.justia.com/regulations/fedreg/2017/09/05/2017-18659.html Notice - 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 Time 2017-09-05T00:00:00-07:00 2017-09-05T00:00:00-07:00 2017-18659 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-09-05/pdf/2017-18659.pdf https://regulations.justia.com/regulations/fedreg/2017/09/05/2017-18658.html Notice - 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) 2017-09-05T00:00:00-07:00 2017-09-05T00:00:00-07:00 2017-18658 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-09-05/pdf/2017-18658.pdf https://regulations.justia.com/regulations/fedreg/2017/09/01/2017-18533.html Notice - 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 211 2017-09-01T00:00:00-07:00 2017-09-01T00:00:00-07:00 2017-18533 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-09-01/pdf/2017-18533.pdf