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/2017/11/28?limit=200&registers=between&mode=atom 2025-01-04T21:41:53-08:00 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/2017/11/28/2017-25710.html Notice - Proposed Collection; Comment Request 2017-11-28T00:00:00-08:00 2017-11-28T00:00:00-08:00 2017-25710 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-11-28/pdf/2017-25710.pdf https://regulations.justia.com/regulations/fedreg/2017/11/28/2017-25709.html Notice - Proposed Collection; Comment Request 2017-11-28T00:00:00-08:00 2017-11-28T00:00:00-08:00 2017-25709 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-11-28/pdf/2017-25709.pdf https://regulations.justia.com/regulations/fedreg/2017/11/28/2017-25708.html Notice - Proposed Collection; Comment Request 2017-11-28T00:00:00-08:00 2017-11-28T00:00:00-08:00 2017-25708 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-11-28/pdf/2017-25708.pdf https://regulations.justia.com/regulations/fedreg/2017/11/28/2017-25694.html Notice - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Extend the Tier Size Pilot of Rule 6433 (Minimum Quotation Size Requirements for OTC Equity Securities) 2017-11-28T00:00:00-08:00 2017-11-28T00:00:00-08:00 2017-25694 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-11-28/pdf/2017-25694.pdf https://regulations.justia.com/regulations/fedreg/2017/11/28/2017-25693.html Notice - Self-Regulatory Organizations; The Nasdaq Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Rule 4702 2017-11-28T00:00:00-08:00 2017-11-28T00:00:00-08:00 2017-25693 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-11-28/pdf/2017-25693.pdf https://regulations.justia.com/regulations/fedreg/2017/11/28/2017-25692.html Notice - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Rule 497(c) Regarding the Requirements for the Listing of Securities That Are Issued by the Exchange or Any of Its Affiliates 2017-11-28T00:00:00-08:00 2017-11-28T00:00:00-08:00 2017-25692 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-11-28/pdf/2017-25692.pdf https://regulations.justia.com/regulations/fedreg/2017/11/28/2017-25691.html Notice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Rule 5.1-E(c) Regarding the Requirements for the Listing of Securities That Are Issued by the Exchange or Any of Its Affiliates 2017-11-28T00:00:00-08:00 2017-11-28T00:00:00-08:00 2017-25691 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-11-28/pdf/2017-25691.pdf https://regulations.justia.com/regulations/fedreg/2017/11/28/2017-25690.html Notice - Self-Regulatory Organizations; NYSE American LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Rule 497-Equities (c) Regarding the Requirements for the Listing of Securities That Are Issued by the Exchange or Any of Its Affiliates 2017-11-28T00:00:00-08:00 2017-11-28T00:00:00-08:00 2017-25690 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-11-28/pdf/2017-25690.pdf https://regulations.justia.com/regulations/fedreg/2017/11/28/2017-25689.html Notice - Self-Regulatory Organizations; Nasdaq PHLX LLC; Notice of Designation of a Longer Period for Commission Action on Proposed Rule Change To Amend Rule 1009 To Modify the Criteria for Listing an Option on an Underlying Covered Security 2017-11-28T00:00:00-08:00 2017-11-28T00:00:00-08:00 2017-25689 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-11-28/pdf/2017-25689.pdf https://regulations.justia.com/regulations/fedreg/2017/11/28/2017-25687.html Notice - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Designation of a Longer Period for Commission Action on a Proposed Rule Change To Modify the Listing Requirements Related to Special Purpose Acquisition Companies To Reduce Round Lot Holders on Nasdaq Capital Market for Initial Listing From 300 to 150 and Eliminate Public Holders for Continued Listing From 300 to Zero, Require $5 Million in Net Tangible Assets for Initial and Continued Listing on Nasdaq Capital Market, and Impose a Deadline To Demonstrate Compliance With Initial Listing Requirements on All Nasdaq Markets Within 30 Days Following Each Business Combination 2017-11-28T00:00:00-08:00 2017-11-28T00:00:00-08:00 2017-25687 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-11-28/pdf/2017-25687.pdf https://regulations.justia.com/regulations/fedreg/2017/11/28/2017-25686.html Notice - Self-Regulatory Organizations; Nasdaq ISE, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the Schedule of Fees for Regular Orders in Select Symbols 2017-11-28T00:00:00-08:00 2017-11-28T00:00:00-08:00 2017-25686 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-11-28/pdf/2017-25686.pdf https://regulations.justia.com/regulations/fedreg/2017/11/28/2017-25648.html Notice - Self-Regulatory Organizations; MIAX PEARL, LLC; Notice of Filing of Proposed Minor Rule Violation Plan 2017-11-28T00:00:00-08:00 2017-11-28T00:00:00-08:00 2017-25648 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-11-28/pdf/2017-25648.pdf https://regulations.justia.com/regulations/fedreg/2017/11/28/2017-25647.html Notice - Self-Regulatory Organizations; Miami International Securities Exchange, LLC; Notice of Filing of Proposed Minor Rule Violation Plan 2017-11-28T00:00:00-08:00 2017-11-28T00:00:00-08:00 2017-25647 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-11-28/pdf/2017-25647.pdf https://regulations.justia.com/regulations/fedreg/2017/11/28/2017-25646.html Notice - Order Extending Conditional Temporary Exemption for Nationally Recognized Statistical Rating Organizations From Requirements of Rule 17g-5(A)(3) Under the Securities Exchange Act of 1934 2017-11-28T00:00:00-08:00 2017-11-28T00:00:00-08:00 2017-25646 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-11-28/pdf/2017-25646.pdf https://regulations.justia.com/regulations/fedreg/2017/11/28/2017-25643.html Notice - Submission for OMB Review; Comment Request 2017-11-28T00:00:00-08:00 2017-11-28T00:00:00-08:00 2017-25643 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-11-28/pdf/2017-25643.pdf https://regulations.justia.com/regulations/fedreg/2017/11/28/2017-25642.html Notice - Submission for OMB Review; Comment Request 2017-11-28T00:00:00-08:00 2017-11-28T00:00:00-08:00 2017-25642 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-11-28/pdf/2017-25642.pdf https://regulations.justia.com/regulations/fedreg/2017/11/28/2017-25608.html Notice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Rule 7.35-E Relating to Auction Collars and To Add Temporary Rules 2017-11-28T00:00:00-08:00 2017-11-28T00:00:00-08:00 2017-25608 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-11-28/pdf/2017-25608.pdf https://regulations.justia.com/regulations/fedreg/2017/11/28/2017-25607.html Notice - Self-Regulatory Organizations; NYSE American LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Rule 7.35E Relating to Auction Collars and To Add Temporary Rules 2017-11-28T00:00:00-08:00 2017-11-28T00:00:00-08:00 2017-25607 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-11-28/pdf/2017-25607.pdf https://regulations.justia.com/regulations/fedreg/2017/11/28/2017-25606.html Notice - Self-Regulatory Organizations; NYSE Arca, Inc.; Order Approving a Proposed Rule Change, as Modified by Amendments No. 1 and 2, To List and Trade Shares of the U.S. Equity Cumulative Dividends Fund-Series 2027 and the U.S. Equity Ex-Dividend Fund-Series 2027 Under NYSE Arca Rule 8.200-E, Commentary .02 2017-11-28T00:00:00-08:00 2017-11-28T00:00:00-08:00 2017-25606 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-11-28/pdf/2017-25606.pdf https://regulations.justia.com/regulations/fedreg/2017/11/28/2017-25605.html Notice - Self-Regulatory Organizations; Miami International Securities Exchange LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the MIAX Order Feed (“MOR”) 2017-11-28T00:00:00-08:00 2017-11-28T00:00:00-08:00 2017-25605 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-11-28/pdf/2017-25605.pdf https://regulations.justia.com/regulations/fedreg/2017/11/28/2017-25604.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 Designation of Longer Period for Commission Action on Proceedings To Determine Whether To Approve or Disapprove the Proposed Rule Changes, as Modified by Amendments Thereto, To Eliminate Requirements That Will Be Duplicative of CAT 2017-11-28T00:00:00-08:00 2017-11-28T00:00:00-08:00 2017-25604 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-11-28/pdf/2017-25604.pdf https://regulations.justia.com/regulations/fedreg/2017/11/28/2017-25603.html Notice - Self-Regulatory Organizations; Nasdaq MRX, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Remove Directed Order Functionality 2017-11-28T00:00:00-08:00 2017-11-28T00:00:00-08:00 2017-25603 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-11-28/pdf/2017-25603.pdf https://regulations.justia.com/regulations/fedreg/2017/11/28/2017-25601.html Notice - Submission for OMB Review; Comment Request 2017-11-28T00:00:00-08:00 2017-11-28T00:00:00-08:00 2017-25601 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-11-28/pdf/2017-25601.pdf https://regulations.justia.com/regulations/fedreg/2017/11/28/2017-25600.html Notice - Submission for OMB Review; Comment Request 2017-11-28T00:00:00-08:00 2017-11-28T00:00:00-08:00 2017-25600 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-11-28/pdf/2017-25600.pdf https://regulations.justia.com/regulations/fedreg/2017/11/28/2017-25599.html Notice - Submission for OMB Review; Comment Request 2017-11-28T00:00:00-08:00 2017-11-28T00:00:00-08:00 2017-25599 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-11-28/pdf/2017-25599.pdf