<![CDATA[Federal Register Recent Federal Regulation Documents - Justia Regulation Tracker - Justia Regulations Tracker]]> https://regulations.justia.com/regulations/fedreg/agencies/agencies-and-commissions/securities-and-exchange-commission/2017/10/05?registers=between Tue, 30 Apr 2024 06:15:25 -0700 Tue, 30 Apr 2024 06:15:25 -0700 Justia Regulations Tracker Copyright 2011 Justia Inc. https://regulations.justia.com/images/justiafedregulations.gif <![CDATA[Federal Register Recent Federal Regulation Documents - Justia Regulation Tracker - Justia Regulations Tracker]]> https://regulations.justia.com/regulations/fedreg/agencies/agencies-and-commissions/securities-and-exchange-commission/2017/10/05?registers=between Notice - Notice of Applications for Deregistration Under Section 8(f) of the Investment Company Act of 1940 https://regulations.justia.com/regulations/fedreg/2017/10/05/2017-21416.html https://regulations.justia.com/regulations/fedreg/2017/10/05/2017-21416.html Thu, 05 Oct 2017 00:00:00 -0700 2017-21416 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-10-05/pdf/2017-21416.pdf Notice - Self-Regulatory Organizations; NYSE American LLC; Order Approving Proposed Rule Change To Amend the Complimentary Products and Services Available to Certain Eligible New Listings Pursuant to Section 146 of the NYSE American Company Guide https://regulations.justia.com/regulations/fedreg/2017/10/05/2017-21415.html https://regulations.justia.com/regulations/fedreg/2017/10/05/2017-21415.html Thu, 05 Oct 2017 00:00:00 -0700 2017-21415 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-10-05/pdf/2017-21415.pdf Notice - Self-Regulatory Organizations; NYSE National, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Adopt Rules To Establish a Rule Numbering Framework in Connection With the Re-Launch of Trading on the Exchange https://regulations.justia.com/regulations/fedreg/2017/10/05/2017-21414.html https://regulations.justia.com/regulations/fedreg/2017/10/05/2017-21414.html Thu, 05 Oct 2017 00:00:00 -0700 2017-21414 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-10-05/pdf/2017-21414.pdf Notice - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Order Approving a Proposed Rule Change Relating to Capital Acquisition Broker Rules 203 (Engaging in Distribution and Solicitation Activities With Government Entities) and 458 (Books and Records Requirements for Government Distribution and Solicitation Activities) https://regulations.justia.com/regulations/fedreg/2017/10/05/2017-21413.html https://regulations.justia.com/regulations/fedreg/2017/10/05/2017-21413.html Thu, 05 Oct 2017 00:00:00 -0700 2017-21413 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-10-05/pdf/2017-21413.pdf Notice - Self-Regulatory Organizations; Bats BZX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Extend the Implementation Date for Certain Changes to Exchange Rules 14.11 and 14.12 https://regulations.justia.com/regulations/fedreg/2017/10/05/2017-21412.html https://regulations.justia.com/regulations/fedreg/2017/10/05/2017-21412.html Thu, 05 Oct 2017 00:00:00 -0700 2017-21412 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-10-05/pdf/2017-21412.pdf Notice - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Make Technical and Conforming Changes to Section 703.02 of the NYSE Listed Company Manual https://regulations.justia.com/regulations/fedreg/2017/10/05/2017-21411.html https://regulations.justia.com/regulations/fedreg/2017/10/05/2017-21411.html Thu, 05 Oct 2017 00:00:00 -0700 2017-21411 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-10-05/pdf/2017-21411.pdf Notice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Extend the Implementation Date for Certain Changes to the NYSE Arca Rule 5 and Rule 8 Series https://regulations.justia.com/regulations/fedreg/2017/10/05/2017-21410.html https://regulations.justia.com/regulations/fedreg/2017/10/05/2017-21410.html Thu, 05 Oct 2017 00:00:00 -0700 2017-21410 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-10-05/pdf/2017-21410.pdf Notice - Self-Regulatory Organizations; National Securities Clearing Corporation; Order Approving Proposed Rule Change To Amend and Clarify a Margin Charge Relating to CNS Fails Positions https://regulations.justia.com/regulations/fedreg/2017/10/05/2017-21409.html https://regulations.justia.com/regulations/fedreg/2017/10/05/2017-21409.html Thu, 05 Oct 2017 00:00:00 -0700 2017-21409 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-10-05/pdf/2017-21409.pdf Notice - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Extend the Implementation Date for Certain Changes to the Rule 5700 Series and Rule 5810 https://regulations.justia.com/regulations/fedreg/2017/10/05/2017-21408.html https://regulations.justia.com/regulations/fedreg/2017/10/05/2017-21408.html Thu, 05 Oct 2017 00:00:00 -0700 2017-21408 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-10-05/pdf/2017-21408.pdf Notice - Self-Regulatory Organizations; Nasdaq ISE, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Rule 716(c) on the Block Order Mechanism https://regulations.justia.com/regulations/fedreg/2017/10/05/2017-21407.html https://regulations.justia.com/regulations/fedreg/2017/10/05/2017-21407.html Thu, 05 Oct 2017 00:00:00 -0700 2017-21407 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-10-05/pdf/2017-21407.pdf Notice - Self-Regulatory Organizations; Nasdaq GEMX, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Rule 716(c) on the Block Order Mechanism https://regulations.justia.com/regulations/fedreg/2017/10/05/2017-21406.html https://regulations.justia.com/regulations/fedreg/2017/10/05/2017-21406.html Thu, 05 Oct 2017 00:00:00 -0700 2017-21406 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-10-05/pdf/2017-21406.pdf Notice - Self-Regulatory Organizations; C2 Options Exchange, Incorporated; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Rule 6.45 Relating to Disaster Recovery https://regulations.justia.com/regulations/fedreg/2017/10/05/2017-21405.html https://regulations.justia.com/regulations/fedreg/2017/10/05/2017-21405.html Thu, 05 Oct 2017 00:00:00 -0700 2017-21405 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-10-05/pdf/2017-21405.pdf Notice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the NYSE Arca Options Fee Schedule https://regulations.justia.com/regulations/fedreg/2017/10/05/2017-21404.html https://regulations.justia.com/regulations/fedreg/2017/10/05/2017-21404.html Thu, 05 Oct 2017 00:00:00 -0700 2017-21404 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-10-05/pdf/2017-21404.pdf Notice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing of Proposed Rule Change To List and Trade Shares of the JPMorgan Managed Futures ETF Under NYSE Arca Rule 8.600-E https://regulations.justia.com/regulations/fedreg/2017/10/05/2017-21403.html https://regulations.justia.com/regulations/fedreg/2017/10/05/2017-21403.html Thu, 05 Oct 2017 00:00:00 -0700 2017-21403 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-10-05/pdf/2017-21403.pdf Notice - Self-Regulatory Organizations; Nasdaq MRX, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Rule 716(c) on the Block Order Mechanism https://regulations.justia.com/regulations/fedreg/2017/10/05/2017-21402.html https://regulations.justia.com/regulations/fedreg/2017/10/05/2017-21402.html Thu, 05 Oct 2017 00:00:00 -0700 2017-21402 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-10-05/pdf/2017-21402.pdf Notice - Self-Regulatory Organizations; Chicago Stock Exchange, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Related to Sponsored Access https://regulations.justia.com/regulations/fedreg/2017/10/05/2017-21401.html https://regulations.justia.com/regulations/fedreg/2017/10/05/2017-21401.html Thu, 05 Oct 2017 00:00:00 -0700 2017-21401 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-10-05/pdf/2017-21401.pdf Notice - Order Granting Limited Exemptions From Exchange Act Rule 10b-17 and Rules 101 and 102 of Regulation M to VanEck Vectors NDR CMG Long/Flat Allocation ETF Pursuant to Exchange Act Rule 10b-17(b)(2) and Rules 101(d) and 102(e) of Regulation M https://regulations.justia.com/regulations/fedreg/2017/10/05/2017-21400.html https://regulations.justia.com/regulations/fedreg/2017/10/05/2017-21400.html Thu, 05 Oct 2017 00:00:00 -0700 2017-21400 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-10-05/pdf/2017-21400.pdf Notice - Olden Lane Securities LLC and Olden Lane Trust; Notice of Application https://regulations.justia.com/regulations/fedreg/2017/10/05/2017-21398.html https://regulations.justia.com/regulations/fedreg/2017/10/05/2017-21398.html Thu, 05 Oct 2017 00:00:00 -0700 2017-21398 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-10-05/pdf/2017-21398.pdf