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https://regulations.justia.com/regulations/fedreg/agencies/agencies-and-commissions/securities-and-exchange-commission/2017/10/05?registers=between
Thu, 24 Jul 2025 16:57:14 -0700Thu, 24 Jul 2025 16:57:14 -0700Justia Regulations TrackerCopyright 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.htmlThu, 05 Oct 2017 00:00:00 -07002017-21416Noticehttps://www.gpo.gov/fdsys/pkg/FR-2017-10-05/pdf/2017-21416.pdfNotice - 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.htmlThu, 05 Oct 2017 00:00:00 -07002017-21415Noticehttps://www.gpo.gov/fdsys/pkg/FR-2017-10-05/pdf/2017-21415.pdfNotice - 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.htmlThu, 05 Oct 2017 00:00:00 -07002017-21414Noticehttps://www.gpo.gov/fdsys/pkg/FR-2017-10-05/pdf/2017-21414.pdfNotice - 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.htmlThu, 05 Oct 2017 00:00:00 -07002017-21413Noticehttps://www.gpo.gov/fdsys/pkg/FR-2017-10-05/pdf/2017-21413.pdfNotice - 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.htmlThu, 05 Oct 2017 00:00:00 -07002017-21412Noticehttps://www.gpo.gov/fdsys/pkg/FR-2017-10-05/pdf/2017-21412.pdfNotice - 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.htmlThu, 05 Oct 2017 00:00:00 -07002017-21411Noticehttps://www.gpo.gov/fdsys/pkg/FR-2017-10-05/pdf/2017-21411.pdfNotice - 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.htmlThu, 05 Oct 2017 00:00:00 -07002017-21410Noticehttps://www.gpo.gov/fdsys/pkg/FR-2017-10-05/pdf/2017-21410.pdfNotice - 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.htmlThu, 05 Oct 2017 00:00:00 -07002017-21409Noticehttps://www.gpo.gov/fdsys/pkg/FR-2017-10-05/pdf/2017-21409.pdfNotice - 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.htmlThu, 05 Oct 2017 00:00:00 -07002017-21408Noticehttps://www.gpo.gov/fdsys/pkg/FR-2017-10-05/pdf/2017-21408.pdfNotice - 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.htmlThu, 05 Oct 2017 00:00:00 -07002017-21407Noticehttps://www.gpo.gov/fdsys/pkg/FR-2017-10-05/pdf/2017-21407.pdfNotice - 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.htmlThu, 05 Oct 2017 00:00:00 -07002017-21406Noticehttps://www.gpo.gov/fdsys/pkg/FR-2017-10-05/pdf/2017-21406.pdfNotice - 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.htmlThu, 05 Oct 2017 00:00:00 -07002017-21405Noticehttps://www.gpo.gov/fdsys/pkg/FR-2017-10-05/pdf/2017-21405.pdfNotice - 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.htmlThu, 05 Oct 2017 00:00:00 -07002017-21404Noticehttps://www.gpo.gov/fdsys/pkg/FR-2017-10-05/pdf/2017-21404.pdfNotice - 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.htmlThu, 05 Oct 2017 00:00:00 -07002017-21403Noticehttps://www.gpo.gov/fdsys/pkg/FR-2017-10-05/pdf/2017-21403.pdfNotice - 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.htmlThu, 05 Oct 2017 00:00:00 -07002017-21402Noticehttps://www.gpo.gov/fdsys/pkg/FR-2017-10-05/pdf/2017-21402.pdfNotice - 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.htmlThu, 05 Oct 2017 00:00:00 -07002017-21401Noticehttps://www.gpo.gov/fdsys/pkg/FR-2017-10-05/pdf/2017-21401.pdfNotice - 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.htmlThu, 05 Oct 2017 00:00:00 -07002017-21400Noticehttps://www.gpo.gov/fdsys/pkg/FR-2017-10-05/pdf/2017-21400.pdfNotice - 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.htmlThu, 05 Oct 2017 00:00:00 -07002017-21398Noticehttps://www.gpo.gov/fdsys/pkg/FR-2017-10-05/pdf/2017-21398.pdf