Federal Register Recent Federal Regulation Documents - Justia Regulation Tracker

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 2024-05-23T16:50:01-07:00 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