Federal Register Recent Federal Regulation Documents - Justia Regulation Tracker - Justia Regulations Trackerhttps://regulations.justia.com/regulations/fedreg/agencies/agencies-and-commissions/securities-and-exchange-commission/2017/11?limit=200®isters=between&min-day=1&max-day=30&mode=atom2024-04-23T08:28:45-07:00Justia Inchttps://www.justia.com/Justia Regulations Trackerhttps://regulations.justia.com/images/justiafedregulations.gifCopyright 2011 Justia Inchttps://regulations.justia.com/regulations/fedreg/2017/11/29/2017-25688.htmlNotice - Self-Regulatory Organizations; Nasdaq PHLX LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Adopt Investigatory and Disciplinary Processes Substantially Similar to Nasdaq BX, Inc. and The Nasdaq Stock Market LLC2017-11-29T00:00:00-08:002017-11-29T00:00:00-08:002017-25688Noticehttps://www.gpo.gov/fdsys/pkg/FR-2017-11-29/pdf/2017-25688.pdfhttps://regulations.justia.com/regulations/fedreg/2017/11/28/2017-25710.htmlNotice - Proposed Collection; Comment Request2017-11-28T00:00:00-08:002017-11-28T00:00:00-08:002017-25710Noticehttps://www.gpo.gov/fdsys/pkg/FR-2017-11-28/pdf/2017-25710.pdfhttps://regulations.justia.com/regulations/fedreg/2017/11/28/2017-25709.htmlNotice - Proposed Collection; Comment Request2017-11-28T00:00:00-08:002017-11-28T00:00:00-08:002017-25709Noticehttps://www.gpo.gov/fdsys/pkg/FR-2017-11-28/pdf/2017-25709.pdfhttps://regulations.justia.com/regulations/fedreg/2017/11/28/2017-25708.htmlNotice - Proposed Collection; Comment Request2017-11-28T00:00:00-08:002017-11-28T00:00:00-08:002017-25708Noticehttps://www.gpo.gov/fdsys/pkg/FR-2017-11-28/pdf/2017-25708.pdfhttps://regulations.justia.com/regulations/fedreg/2017/11/28/2017-25694.htmlNotice - 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)2017-11-28T00:00:00-08:002017-11-28T00:00:00-08:002017-25694Noticehttps://www.gpo.gov/fdsys/pkg/FR-2017-11-28/pdf/2017-25694.pdfhttps://regulations.justia.com/regulations/fedreg/2017/11/28/2017-25693.htmlNotice - Self-Regulatory Organizations; The Nasdaq Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Rule 47022017-11-28T00:00:00-08:002017-11-28T00:00:00-08:002017-25693Noticehttps://www.gpo.gov/fdsys/pkg/FR-2017-11-28/pdf/2017-25693.pdfhttps://regulations.justia.com/regulations/fedreg/2017/11/28/2017-25692.htmlNotice - 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 Affiliates2017-11-28T00:00:00-08:002017-11-28T00:00:00-08:002017-25692Noticehttps://www.gpo.gov/fdsys/pkg/FR-2017-11-28/pdf/2017-25692.pdfhttps://regulations.justia.com/regulations/fedreg/2017/11/28/2017-25691.htmlNotice - 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 Affiliates2017-11-28T00:00:00-08:002017-11-28T00:00:00-08:002017-25691Noticehttps://www.gpo.gov/fdsys/pkg/FR-2017-11-28/pdf/2017-25691.pdfhttps://regulations.justia.com/regulations/fedreg/2017/11/28/2017-25690.htmlNotice - 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 Affiliates2017-11-28T00:00:00-08:002017-11-28T00:00:00-08:002017-25690Noticehttps://www.gpo.gov/fdsys/pkg/FR-2017-11-28/pdf/2017-25690.pdfhttps://regulations.justia.com/regulations/fedreg/2017/11/28/2017-25689.htmlNotice - 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 Security2017-11-28T00:00:00-08:002017-11-28T00:00:00-08:002017-25689Noticehttps://www.gpo.gov/fdsys/pkg/FR-2017-11-28/pdf/2017-25689.pdfhttps://regulations.justia.com/regulations/fedreg/2017/11/28/2017-25687.htmlNotice - 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 Combination2017-11-28T00:00:00-08:002017-11-28T00:00:00-08:002017-25687Noticehttps://www.gpo.gov/fdsys/pkg/FR-2017-11-28/pdf/2017-25687.pdfhttps://regulations.justia.com/regulations/fedreg/2017/11/28/2017-25686.htmlNotice - 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 Symbols2017-11-28T00:00:00-08:002017-11-28T00:00:00-08:002017-25686Noticehttps://www.gpo.gov/fdsys/pkg/FR-2017-11-28/pdf/2017-25686.pdfhttps://regulations.justia.com/regulations/fedreg/2017/11/28/2017-25648.htmlNotice - Self-Regulatory Organizations; MIAX PEARL, LLC; Notice of Filing of Proposed Minor Rule Violation Plan2017-11-28T00:00:00-08:002017-11-28T00:00:00-08:002017-25648Noticehttps://www.gpo.gov/fdsys/pkg/FR-2017-11-28/pdf/2017-25648.pdfhttps://regulations.justia.com/regulations/fedreg/2017/11/28/2017-25647.htmlNotice - Self-Regulatory Organizations; Miami International Securities Exchange, LLC; Notice of Filing of Proposed Minor Rule Violation Plan2017-11-28T00:00:00-08:002017-11-28T00:00:00-08:002017-25647Noticehttps://www.gpo.gov/fdsys/pkg/FR-2017-11-28/pdf/2017-25647.pdfhttps://regulations.justia.com/regulations/fedreg/2017/11/28/2017-25646.htmlNotice - 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 19342017-11-28T00:00:00-08:002017-11-28T00:00:00-08:002017-25646Noticehttps://www.gpo.gov/fdsys/pkg/FR-2017-11-28/pdf/2017-25646.pdfhttps://regulations.justia.com/regulations/fedreg/2017/11/28/2017-25643.htmlNotice - Submission for OMB Review; Comment Request2017-11-28T00:00:00-08:002017-11-28T00:00:00-08:002017-25643Noticehttps://www.gpo.gov/fdsys/pkg/FR-2017-11-28/pdf/2017-25643.pdfhttps://regulations.justia.com/regulations/fedreg/2017/11/28/2017-25642.htmlNotice - Submission for OMB Review; Comment Request2017-11-28T00:00:00-08:002017-11-28T00:00:00-08:002017-25642Noticehttps://www.gpo.gov/fdsys/pkg/FR-2017-11-28/pdf/2017-25642.pdfhttps://regulations.justia.com/regulations/fedreg/2017/11/28/2017-25608.htmlNotice - 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 Rules2017-11-28T00:00:00-08:002017-11-28T00:00:00-08:002017-25608Noticehttps://www.gpo.gov/fdsys/pkg/FR-2017-11-28/pdf/2017-25608.pdfhttps://regulations.justia.com/regulations/fedreg/2017/11/28/2017-25607.htmlNotice - 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 Rules2017-11-28T00:00:00-08:002017-11-28T00:00:00-08:002017-25607Noticehttps://www.gpo.gov/fdsys/pkg/FR-2017-11-28/pdf/2017-25607.pdfhttps://regulations.justia.com/regulations/fedreg/2017/11/28/2017-25606.htmlNotice - 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 .022017-11-28T00:00:00-08:002017-11-28T00:00:00-08:002017-25606Noticehttps://www.gpo.gov/fdsys/pkg/FR-2017-11-28/pdf/2017-25606.pdfhttps://regulations.justia.com/regulations/fedreg/2017/11/28/2017-25605.htmlNotice - 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”)2017-11-28T00:00:00-08:002017-11-28T00:00:00-08:002017-25605Noticehttps://www.gpo.gov/fdsys/pkg/FR-2017-11-28/pdf/2017-25605.pdfhttps://regulations.justia.com/regulations/fedreg/2017/11/28/2017-25604.htmlNotice - 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 CAT2017-11-28T00:00:00-08:002017-11-28T00:00:00-08:002017-25604Noticehttps://www.gpo.gov/fdsys/pkg/FR-2017-11-28/pdf/2017-25604.pdfhttps://regulations.justia.com/regulations/fedreg/2017/11/28/2017-25603.htmlNotice - Self-Regulatory Organizations; Nasdaq MRX, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Remove Directed Order Functionality2017-11-28T00:00:00-08:002017-11-28T00:00:00-08:002017-25603Noticehttps://www.gpo.gov/fdsys/pkg/FR-2017-11-28/pdf/2017-25603.pdfhttps://regulations.justia.com/regulations/fedreg/2017/11/28/2017-25601.htmlNotice - Submission for OMB Review; Comment Request2017-11-28T00:00:00-08:002017-11-28T00:00:00-08:002017-25601Noticehttps://www.gpo.gov/fdsys/pkg/FR-2017-11-28/pdf/2017-25601.pdfhttps://regulations.justia.com/regulations/fedreg/2017/11/28/2017-25600.htmlNotice - Submission for OMB Review; Comment Request2017-11-28T00:00:00-08:002017-11-28T00:00:00-08:002017-25600Noticehttps://www.gpo.gov/fdsys/pkg/FR-2017-11-28/pdf/2017-25600.pdfhttps://regulations.justia.com/regulations/fedreg/2017/11/28/2017-25599.htmlNotice - Submission for OMB Review; Comment Request2017-11-28T00:00:00-08:002017-11-28T00:00:00-08:002017-25599Noticehttps://www.gpo.gov/fdsys/pkg/FR-2017-11-28/pdf/2017-25599.pdfhttps://regulations.justia.com/regulations/fedreg/2017/11/27/2017-25701.htmlNotice - Sunshine Act Meetings2017-11-27T00:00:00-08:002017-11-27T00:00:00-08:002017-25701Noticehttps://www.gpo.gov/fdsys/pkg/FR-2017-11-27/pdf/2017-25701.pdfhttps://regulations.justia.com/regulations/fedreg/2017/11/27/2017-25700.htmlNotice - Sunshine Act Meetings2017-11-27T00:00:00-08:002017-11-27T00:00:00-08:002017-25700Noticehttps://www.gpo.gov/fdsys/pkg/FR-2017-11-27/pdf/2017-25700.pdfhttps://regulations.justia.com/regulations/fedreg/2017/11/27/2017-25476.htmlNotice - Self-Regulatory Organizations; Nasdaq ISE, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Remove Directed Order Functionality2017-11-27T00:00:00-08:002017-11-27T00:00:00-08:002017-25476Noticehttps://www.gpo.gov/fdsys/pkg/FR-2017-11-27/pdf/2017-25476.pdfhttps://regulations.justia.com/regulations/fedreg/2017/11/27/2017-25474.htmlNotice - Self-Regulatory Organizations; Nasdaq ISE, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to All-Or-None Orders2017-11-27T00:00:00-08:002017-11-27T00:00:00-08:002017-25474Noticehttps://www.gpo.gov/fdsys/pkg/FR-2017-11-27/pdf/2017-25474.pdfhttps://regulations.justia.com/regulations/fedreg/2017/11/27/2017-25473.htmlNotice - Self-Regulatory Organizations; Nasdaq MRX, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to All-Or-None Orders2017-11-27T00:00:00-08:002017-11-27T00:00:00-08:002017-25473Noticehttps://www.gpo.gov/fdsys/pkg/FR-2017-11-27/pdf/2017-25473.pdfhttps://regulations.justia.com/regulations/fedreg/2017/11/27/2017-25472.htmlNotice - Self-Regulatory Organizations; Nasdaq GEMX, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to All-Or-None Orders2017-11-27T00:00:00-08:002017-11-27T00:00:00-08:002017-25472Noticehttps://www.gpo.gov/fdsys/pkg/FR-2017-11-27/pdf/2017-25472.pdfhttps://regulations.justia.com/regulations/fedreg/2017/11/27/2017-25471.htmlNotice - Self-Regulatory Organizations; Investors Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Modify Its Fee Schedule, Pursuant to IEX Rule 15.110(a) and (c), To Adopt Pricing for Orders That Execute in an IEX Auction for IEX-Listed Securities2017-11-27T00:00:00-08:002017-11-27T00:00:00-08:002017-25471Noticehttps://www.gpo.gov/fdsys/pkg/FR-2017-11-27/pdf/2017-25471.pdfhttps://regulations.justia.com/regulations/fedreg/2017/11/27/2017-25470.htmlNotice - Self-Regulatory Organizations; Cboe EDGX Exchange, Inc.; Notice of Filing of a Proposed Rule Change Relating to Its Director Nomination and Committee Appointment Process and Its Nominating and Governance Committee2017-11-27T00:00:00-08:002017-11-27T00:00:00-08:002017-25470Noticehttps://www.gpo.gov/fdsys/pkg/FR-2017-11-27/pdf/2017-25470.pdfhttps://regulations.justia.com/regulations/fedreg/2017/11/27/2017-25469.htmlNotice - Self-Regulatory Organizations; Cboe EDGA Exchange, Inc.; Notice of Filing of a Proposed Rule Change Relating to Its Director Nomination and Committee Appointment Process and Its Nominating and Governance Committee2017-11-27T00:00:00-08:002017-11-27T00:00:00-08:002017-25469Noticehttps://www.gpo.gov/fdsys/pkg/FR-2017-11-27/pdf/2017-25469.pdfhttps://regulations.justia.com/regulations/fedreg/2017/11/27/2017-25468.htmlNotice - Self-Regulatory Organizations; Cboe BZX Exchange, Inc.; Notice of Filing of a Proposed Rule Change Relating to Its Director Nomination and Committee Appointment Process and Its Nominating and Governance Committee2017-11-27T00:00:00-08:002017-11-27T00:00:00-08:002017-25468Noticehttps://www.gpo.gov/fdsys/pkg/FR-2017-11-27/pdf/2017-25468.pdfhttps://regulations.justia.com/regulations/fedreg/2017/11/27/2017-25467.htmlNotice - Self-Regulatory Organizations; Cboe BYX Exchange, Inc.; Notice of Filing of a Proposed Rule Change Relating to Its Director Nomination and Committee Appointment Process and Its Nominating and Governance Committee2017-11-27T00:00:00-08:002017-11-27T00:00:00-08:002017-25467Noticehttps://www.gpo.gov/fdsys/pkg/FR-2017-11-27/pdf/2017-25467.pdfhttps://regulations.justia.com/regulations/fedreg/2017/11/27/2017-25466.htmlNotice - Self-Regulatory Organizations; Cboe C2 Exchange, Inc.; Notice of Filing of a Proposed Rule Change Relating to Its Nominating and Governance Committee and Regulatory Oversight and Compliance Committee2017-11-27T00:00:00-08:002017-11-27T00:00:00-08:002017-25466Noticehttps://www.gpo.gov/fdsys/pkg/FR-2017-11-27/pdf/2017-25466.pdfhttps://regulations.justia.com/regulations/fedreg/2017/11/27/2017-25465.htmlNotice - Self-Regulatory Organizations; Cboe Exchange, Inc.; Notice of Filing of a Proposed Rule Change Relating to Its Nominating and Governance Committee and Regulatory Oversight and Compliance Committee2017-11-27T00:00:00-08:002017-11-27T00:00:00-08:002017-25465Noticehttps://www.gpo.gov/fdsys/pkg/FR-2017-11-27/pdf/2017-25465.pdfhttps://regulations.justia.com/regulations/fedreg/2017/11/27/2017-25464.htmlNotice - Submission for OMB Review; Comment Request2017-11-27T00:00:00-08:002017-11-27T00:00:00-08:002017-25464Noticehttps://www.gpo.gov/fdsys/pkg/FR-2017-11-27/pdf/2017-25464.pdfhttps://regulations.justia.com/regulations/fedreg/2017/11/27/2017-25463.htmlNotice - Submission for OMB Review; Comment Request2017-11-27T00:00:00-08:002017-11-27T00:00:00-08:002017-25463Noticehttps://www.gpo.gov/fdsys/pkg/FR-2017-11-27/pdf/2017-25463.pdfhttps://regulations.justia.com/regulations/fedreg/2017/11/27/2017-25462.htmlNotice - New Mountain Finance Corporation, et al.2017-11-27T00:00:00-08:002017-11-27T00:00:00-08:002017-25462Noticehttps://www.gpo.gov/fdsys/pkg/FR-2017-11-27/pdf/2017-25462.pdfhttps://regulations.justia.com/regulations/fedreg/2017/11/24/2017-25475.htmlNotice - Self-Regulatory Organizations; Nasdaq GEMX, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Remove Directed Order Functionality2017-11-24T00:00:00-08:002017-11-24T00:00:00-08:002017-25475Noticehttps://www.gpo.gov/fdsys/pkg/FR-2017-11-24/pdf/2017-25475.pdfhttps://regulations.justia.com/regulations/fedreg/2017/11/24/2017-25359.htmlNotice - Motley Fool Asset Management, LLC, et al.; Notice of Application2017-11-24T00:00:00-08:002017-11-24T00:00:00-08:002017-25359Noticehttps://www.gpo.gov/fdsys/pkg/FR-2017-11-24/pdf/2017-25359.pdfhttps://regulations.justia.com/regulations/fedreg/2017/11/24/2017-25357.htmlNotice - Self-Regulatory Organizations; BOX Options Exchange LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Rule 73002017-11-24T00:00:00-08:002017-11-24T00:00:00-08:002017-25357Noticehttps://www.gpo.gov/fdsys/pkg/FR-2017-11-24/pdf/2017-25357.pdfhttps://regulations.justia.com/regulations/fedreg/2017/11/24/2017-25356.htmlNotice - Self-Regulatory Organizations; BOX Options Exchange LLC; Notice of Filing of Proposed Rule Change To Amend the Minimum Order Size for the Floor Broker Guarantee Provided in Rule 7600(f)2017-11-24T00:00:00-08:002017-11-24T00:00:00-08:002017-25356Noticehttps://www.gpo.gov/fdsys/pkg/FR-2017-11-24/pdf/2017-25356.pdfhttps://regulations.justia.com/regulations/fedreg/2017/11/24/2017-25355.htmlNotice - Self-Regulatory Organizations; Miami International Securities Exchange, LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend MIAX Options Rule 612, Aggregate Risk Manager (“ARM”)2017-11-24T00:00:00-08:002017-11-24T00:00:00-08:002017-25355Noticehttps://www.gpo.gov/fdsys/pkg/FR-2017-11-24/pdf/2017-25355.pdfhttps://regulations.justia.com/regulations/fedreg/2017/11/24/2017-25354.htmlNotice - Self-Regulatory Organizations; LCH SA; Order Approving Proposed Rule Changes To Add Rules Related to the Clearing of Options on Index Credit Default Swaps2017-11-24T00:00:00-08:002017-11-24T00:00:00-08:002017-25354Noticehttps://www.gpo.gov/fdsys/pkg/FR-2017-11-24/pdf/2017-25354.pdfhttps://regulations.justia.com/regulations/fedreg/2017/11/24/2017-25353.htmlNotice - Self-Regulatory Organizations; Bats BZX Exchange, Inc.; Notice of Designation of a Longer Period for Commission Action on Proceedings To Determine Whether To Approve or Disapprove a Proposed Rule Change To Introduce Bats Market Close, a Closing Match Process for Non-BZX Listed Securities Under New Exchange Rule 11.282017-11-24T00:00:00-08:002017-11-24T00:00:00-08:002017-25353Noticehttps://www.gpo.gov/fdsys/pkg/FR-2017-11-24/pdf/2017-25353.pdfhttps://regulations.justia.com/regulations/fedreg/2017/11/24/2017-25352.htmlNotice - Self-Regulatory Organizations; Cboe EDGX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Related to Fees for Use on Cboe EDGX Exchange, Inc.2017-11-24T00:00:00-08:002017-11-24T00:00:00-08:002017-25352Noticehttps://www.gpo.gov/fdsys/pkg/FR-2017-11-24/pdf/2017-25352.pdfhttps://regulations.justia.com/regulations/fedreg/2017/11/24/2017-25347.htmlNotice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing of Proposed Rule Change To List and Trade Shares of the Sprott Physical Gold and Silver Trust Under NYSE Arca Rule 8.201-E2017-11-24T00:00:00-08:002017-11-24T00:00:00-08:002017-25347Noticehttps://www.gpo.gov/fdsys/pkg/FR-2017-11-24/pdf/2017-25347.pdfhttps://regulations.justia.com/regulations/fedreg/2017/11/24/2017-25346.htmlNotice - Self-Regulatory Organizations; Bats BZX Exchange, Inc.; Notice of Designation of a Longer Period for Commission Action on a Proposed Rule Change To List and Trade Shares of the CBOE S&P 500® Dividend Aristocrats® Target Income Index ETF Under the ETF Series Solutions Trust, Under Exchange Rule 14.11(c)(3), Index Fund Shares2017-11-24T00:00:00-08:002017-11-24T00:00:00-08:002017-25346Noticehttps://www.gpo.gov/fdsys/pkg/FR-2017-11-24/pdf/2017-25346.pdfhttps://regulations.justia.com/regulations/fedreg/2017/11/24/2017-25345.htmlNotice - Self-Regulatory Organizations; BOX Options Exchange LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Rule 7050 (Minimum Trading Increments)2017-11-24T00:00:00-08:002017-11-24T00:00:00-08:002017-25345Noticehttps://www.gpo.gov/fdsys/pkg/FR-2017-11-24/pdf/2017-25345.pdfhttps://regulations.justia.com/regulations/fedreg/2017/11/22/2017-25241.htmlNotice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing of Amendment No. 2, and Order Instituting Proceedings To Determine Whether To Approve or Disapprove a Proposed Rule Change, as Modified by Amendment No. 2, To List and Trade Shares of ProShares QuadPro Funds Under NYSE Arca Rule 8.200-E2017-11-22T00:00:00-08:002017-11-22T00:00:00-08:002017-25241Noticehttps://www.gpo.gov/fdsys/pkg/FR-2017-11-22/pdf/2017-25241.pdfhttps://regulations.justia.com/regulations/fedreg/2017/11/22/2017-25233.htmlNotice - Self-Regulatory Organizations; Cboe Exchange, Inc.; Notice of Filing of a Proposed Rule Change Relating to Rule 6.562017-11-22T00:00:00-08:002017-11-22T00:00:00-08:002017-25233Noticehttps://www.gpo.gov/fdsys/pkg/FR-2017-11-22/pdf/2017-25233.pdfhttps://regulations.justia.com/regulations/fedreg/2017/11/22/2017-25232.htmlNotice - Self-Regulatory Organizations; Nasdaq MRX, LLC; Order Granting Approval of a Proposed Rule Change To Adopt New Corporate Governance and Related Processes Similar to Those of the Nasdaq Exchanges2017-11-22T00:00:00-08:002017-11-22T00:00:00-08:002017-25232Noticehttps://www.gpo.gov/fdsys/pkg/FR-2017-11-22/pdf/2017-25232.pdfhttps://regulations.justia.com/regulations/fedreg/2017/11/22/2017-25231.htmlNotice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Changes to the NYSE Arca Equities Proprietary Market Data Fees2017-11-22T00:00:00-08:002017-11-22T00:00:00-08:002017-25231Noticehttps://www.gpo.gov/fdsys/pkg/FR-2017-11-22/pdf/2017-25231.pdfhttps://regulations.justia.com/regulations/fedreg/2017/11/22/2017-25230.htmlNotice - Self-Regulatory Organizations; NYSE American LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Rule 903 (Series of Options Open for Trading)2017-11-22T00:00:00-08:002017-11-22T00:00:00-08:002017-25230Noticehttps://www.gpo.gov/fdsys/pkg/FR-2017-11-22/pdf/2017-25230.pdfhttps://regulations.justia.com/regulations/fedreg/2017/11/22/2017-25229.htmlNotice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Rule 6.4-O (Series of Options Open for Trading)2017-11-22T00:00:00-08:002017-11-22T00:00:00-08:002017-25229Noticehttps://www.gpo.gov/fdsys/pkg/FR-2017-11-22/pdf/2017-25229.pdfhttps://regulations.justia.com/regulations/fedreg/2017/11/22/2017-25228.htmlNotice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the Fees for NYSE Arca BBO and NYSE Arca Trades To Lower the Enterprise Fee for Those Products2017-11-22T00:00:00-08:002017-11-22T00:00:00-08:002017-25228Noticehttps://www.gpo.gov/fdsys/pkg/FR-2017-11-22/pdf/2017-25228.pdfhttps://regulations.justia.com/regulations/fedreg/2017/11/22/2017-25227.htmlNotice - Self-Regulatory Organizations; Chicago Stock Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Related to the Plan To Address Extraordinary Market Volatility Pursuant to Rule 608 of Regulation NMS2017-11-22T00:00:00-08:002017-11-22T00:00:00-08:002017-25227Noticehttps://www.gpo.gov/fdsys/pkg/FR-2017-11-22/pdf/2017-25227.pdfhttps://regulations.justia.com/regulations/fedreg/2017/11/22/2017-25226.htmlNotice - Self-Regulatory Organizations; Cboe BZX Exchange, Inc.; Notice of Filing of a Proposed Rule Change To List and Trade Shares of the Innovator S&P 500 15% Shield Strategy ETF Series, Innovator S&P 500 −5% to −35% Shield Strategy ETF Series, Innovator S&P 500 Enhance and 10% Shield Strategy ETF Series, and Innovator S&P 500 Ultra Strategy ETF Series Under Rule 14.11(i)2017-11-22T00:00:00-08:002017-11-22T00:00:00-08:002017-25226Noticehttps://www.gpo.gov/fdsys/pkg/FR-2017-11-22/pdf/2017-25226.pdfhttps://regulations.justia.com/regulations/fedreg/2017/11/21/2017-25145.htmlNotice - Self-Regulatory Organizations; Fixed Income Clearing Corporation; Order Approving a Proposed Rule Change To Implement the Capped Contingency Liquidity Facility in the Government Securities Division Rulebook2017-11-21T00:00:00-08:002017-11-21T00:00:00-08:002017-25145Noticehttps://www.gpo.gov/fdsys/pkg/FR-2017-11-21/pdf/2017-25145.pdfhttps://regulations.justia.com/regulations/fedreg/2017/11/21/2017-25144.htmlNotice - Self-Regulatory Organizations; Cboe Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Describe Functionality of and Adopt Fees for a New Front-End Order Entry and Management Platform2017-11-21T00:00:00-08:002017-11-21T00:00:00-08:002017-25144Noticehttps://www.gpo.gov/fdsys/pkg/FR-2017-11-21/pdf/2017-25144.pdfhttps://regulations.justia.com/regulations/fedreg/2017/11/21/2017-25143.htmlNotice - Self-Regulatory Organizations; Cboe EDGA Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Rule 11.8, Order Types, To Clarify When a MidPoint Discretionary Order May Execute at Sub-Penny Prices2017-11-21T00:00:00-08:002017-11-21T00:00:00-08:002017-25143Noticehttps://www.gpo.gov/fdsys/pkg/FR-2017-11-21/pdf/2017-25143.pdfhttps://regulations.justia.com/regulations/fedreg/2017/11/21/2017-25142.htmlNotice - Self-Regulatory Organizations; Nasdaq PHLX LLC; Notice of Designation of a Longer Period for Commission Action on Proposed Rule Change To Introduce the Intellicator Analytic Tool2017-11-21T00:00:00-08:002017-11-21T00:00:00-08:002017-25142Noticehttps://www.gpo.gov/fdsys/pkg/FR-2017-11-21/pdf/2017-25142.pdfhttps://regulations.justia.com/regulations/fedreg/2017/11/21/2017-25141.htmlNotice - Self-Regulatory Organizations; NYSE National, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the Governing Documents of Its Intermediate Parent Companies Intercontinental Exchange Holdings, Inc., NYSE Holdings LLC and NYSE Group, Inc. To Make Them More Consistent With the Governing Documents of Their Ultimate Parent Intercontinental Exchange, Inc.2017-11-21T00:00:00-08:002017-11-21T00:00:00-08:002017-25141Noticehttps://www.gpo.gov/fdsys/pkg/FR-2017-11-21/pdf/2017-25141.pdfhttps://regulations.justia.com/regulations/fedreg/2017/11/21/2017-25140.htmlNotice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the Governing Documents of Its Intermediate Parent Companies Intercontinental Exchange Holdings, Inc., NYSE Holdings LLC and NYSE Group, Inc. To Make Them More Consistent With the Governing Documents of Their Ultimate Parent Intercontinental Exchange, Inc.2017-11-21T00:00:00-08:002017-11-21T00:00:00-08:002017-25140Noticehttps://www.gpo.gov/fdsys/pkg/FR-2017-11-21/pdf/2017-25140.pdfhttps://regulations.justia.com/regulations/fedreg/2017/11/21/2017-25139.htmlNotice - Self-Regulatory Organizations; NYSE American LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the Governing Documents of Its Intermediate Parent Companies Intercontinental Exchange Holdings, Inc., NYSE Holdings LLC and NYSE Group, Inc. To Make Them More Consistent With the Governing Documents of Their Ultimate Parent Intercontinental Exchange, Inc.2017-11-21T00:00:00-08:002017-11-21T00:00:00-08:002017-25139Noticehttps://www.gpo.gov/fdsys/pkg/FR-2017-11-21/pdf/2017-25139.pdfhttps://regulations.justia.com/regulations/fedreg/2017/11/21/2017-25138.htmlNotice - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the Governing Documents of Its Intermediate Parent Companies Intercontinental Exchange Holdings, Inc., NYSE Holdings LLC and NYSE Group, Inc. To Make Them More Consistent With the Governing Documents of Their Ultimate Parent Intercontinental Exchange, Inc.2017-11-21T00:00:00-08:002017-11-21T00:00:00-08:002017-25138Noticehttps://www.gpo.gov/fdsys/pkg/FR-2017-11-21/pdf/2017-25138.pdfhttps://regulations.justia.com/regulations/fedreg/2017/11/21/2017-25137.htmlNotice - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Section 902.06 of the NYSE Listed Company Manual2017-11-21T00:00:00-08:002017-11-21T00:00:00-08:002017-25137Noticehttps://www.gpo.gov/fdsys/pkg/FR-2017-11-21/pdf/2017-25137.pdfhttps://regulations.justia.com/regulations/fedreg/2017/11/21/2017-25136.htmlNotice - Self-Regulatory Organizations; NYSE Arca, Inc.; Order Granting Approval of a Proposed Rule Change, as Modified by Amendment Nos. 1 and 2, To List and Trade Shares of the JPMorgan Managed Futures ETF Under NYSE Arca Rule 8.600-E2017-11-21T00:00:00-08:002017-11-21T00:00:00-08:002017-25136Noticehttps://www.gpo.gov/fdsys/pkg/FR-2017-11-21/pdf/2017-25136.pdfhttps://regulations.justia.com/regulations/fedreg/2017/11/20/2017-25041.htmlNotice - Self-Regulatory Organizations; Bats BZX Exchange, Inc.; Notice of Withdrawal 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)2017-11-20T00:00:00-08:002017-11-20T00:00:00-08:002017-25041Noticehttps://www.gpo.gov/fdsys/pkg/FR-2017-11-20/pdf/2017-25041.pdfhttps://regulations.justia.com/regulations/fedreg/2017/11/20/2017-25040.htmlNotice - Self-Regulatory Organizations; LCH SA; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to Margin Framework and Default Fund Methodology for Options on Index Credit Default Swaps2017-11-20T00:00:00-08:002017-11-20T00:00:00-08:002017-25040Noticehttps://www.gpo.gov/fdsys/pkg/FR-2017-11-20/pdf/2017-25040.pdfhttps://regulations.justia.com/regulations/fedreg/2017/11/20/2017-25039.htmlNotice - Self-Regulatory Organizations; Nasdaq BX, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the Exchange's Transaction Fees at Rule 7018 To Change the Amounts of Certain Credits for Entering Orders That Access Liquidity in the Exchange's Equities System2017-11-20T00:00:00-08:002017-11-20T00:00:00-08:002017-25039Noticehttps://www.gpo.gov/fdsys/pkg/FR-2017-11-20/pdf/2017-25039.pdfhttps://regulations.justia.com/regulations/fedreg/2017/11/20/2017-25038.htmlNotice - Self-Regulatory Organizations; Nasdaq PHLX LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Section VIII of the Nasdaq PHLX LLC Pricing Schedule2017-11-20T00:00:00-08:002017-11-20T00:00:00-08:002017-25038Noticehttps://www.gpo.gov/fdsys/pkg/FR-2017-11-20/pdf/2017-25038.pdfhttps://regulations.justia.com/regulations/fedreg/2017/11/20/2017-25037.htmlNotice - Self-Regulatory Organizations; The Nasdaq Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Rule 70182017-11-20T00:00:00-08:002017-11-20T00:00:00-08:002017-25037Noticehttps://www.gpo.gov/fdsys/pkg/FR-2017-11-20/pdf/2017-25037.pdfhttps://regulations.justia.com/regulations/fedreg/2017/11/20/2017-25030.htmlNotice - Self-Regulatory Organizations; Chicago Stock Exchange, Inc.; Notice of Filing of Amendment No. 2 to Proposed Rule Change in Connection With the Proposed Transaction Involving CHX Holdings, Inc. and North America Casin Holdings, Inc.2017-11-20T00:00:00-08:002017-11-20T00:00:00-08:002017-25030Noticehttps://www.gpo.gov/fdsys/pkg/FR-2017-11-20/pdf/2017-25030.pdfhttps://regulations.justia.com/regulations/fedreg/2017/11/20/2017-25028.htmlNotice - Joint Industry Plan; Notice of Filing and Immediate Effectiveness of the Fortieth Amendment to the Joint Self-Regulatory Organization Plan Governing the Collection, Consolidation and Dissemination of Quotation and Transaction Information for Nasdaq-Listed Securities Traded on Exchanges on an Unlisted Trading Privileges Basis2017-11-20T00:00:00-08:002017-11-20T00:00:00-08:002017-25028Noticehttps://www.gpo.gov/fdsys/pkg/FR-2017-11-20/pdf/2017-25028.pdfhttps://regulations.justia.com/regulations/fedreg/2017/11/20/2017-25027.htmlNotice - Consolidated Tape Association; Notice of Filing and Immediate Effectiveness of the Twenty-Second Charges Amendment to the Second Restatement of the CTA Plan and the Thirteenth Charges Amendment to the Restated CQ Plan2017-11-20T00:00:00-08:002017-11-20T00:00:00-08:002017-25027Noticehttps://www.gpo.gov/fdsys/pkg/FR-2017-11-20/pdf/2017-25027.pdfhttps://regulations.justia.com/regulations/fedreg/2017/11/17/2017-24945.htmlNotice - Proposed Collection; Comment Request2017-11-17T00:00:00-08:002017-11-17T00:00:00-08:002017-24945Noticehttps://www.gpo.gov/fdsys/pkg/FR-2017-11-17/pdf/2017-24945.pdfhttps://regulations.justia.com/regulations/fedreg/2017/11/17/2017-24939.htmlNotice - In the Matter of the Petitions of: Virtu Financial Inc. and Virtu Americas, LLC and Susquehanna International Group, et al.; Order Granting Motion To Substitute Parties and Motion for Extension of Time; Securities Exchange Act of 19342017-11-17T00:00:00-08:002017-11-17T00:00:00-08:002017-24939Noticehttps://www.gpo.gov/fdsys/pkg/FR-2017-11-17/pdf/2017-24939.pdfhttps://regulations.justia.com/regulations/fedreg/2017/11/17/2017-24938.htmlNotice - Self-Regulatory Organizations; NYSEArca, Inc.; Notice of Filing of Amendment No. 3, and Order Granting Accelerated Approval of a Proposed Rule Change, as Modified by Amendment No. 3, To Amend NYSE Arca Rule 8.700-E and To List and Trade Shares of the ProShares European Volatility Futures ETF2017-11-17T00:00:00-08:002017-11-17T00:00:00-08:002017-24938Noticehttps://www.gpo.gov/fdsys/pkg/FR-2017-11-17/pdf/2017-24938.pdfhttps://regulations.justia.com/regulations/fedreg/2017/11/17/2017-24937.htmlNotice - Self-Regulatory Organizations; The Nasdaq Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the Exchange's Fees at Rule 7036 To Withdraw the Nasdaq Market Analytics Data Package From Sale2017-11-17T00:00:00-08:002017-11-17T00:00:00-08:002017-24937Noticehttps://www.gpo.gov/fdsys/pkg/FR-2017-11-17/pdf/2017-24937.pdfhttps://regulations.justia.com/regulations/fedreg/2017/11/17/2017-24936.htmlNotice - Self-Regulatory Organizations; Cboe EDGX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Modify Its Fees for Physical Ports as They Relate to the Exchange's Equity Options Platform2017-11-17T00:00:00-08:002017-11-17T00:00:00-08:002017-24936Noticehttps://www.gpo.gov/fdsys/pkg/FR-2017-11-17/pdf/2017-24936.pdfhttps://regulations.justia.com/regulations/fedreg/2017/11/17/2017-24935.htmlNotice - Self-Regulatory Organizations; ICE Clear Europe Limited; Notice of Filing of Proposed Rule Change, Security Based Swap Submission, or Advance Notice Relating to Amendments to the ICE Clear Europe Collateral and Haircut Policy2017-11-17T00:00:00-08:002017-11-17T00:00:00-08:002017-24935Noticehttps://www.gpo.gov/fdsys/pkg/FR-2017-11-17/pdf/2017-24935.pdfhttps://regulations.justia.com/regulations/fedreg/2017/11/17/2017-24934.htmlNotice - Self-Regulatory Organizations; The Nasdaq Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Rule 70142017-11-17T00:00:00-08:002017-11-17T00:00:00-08:002017-24934Noticehttps://www.gpo.gov/fdsys/pkg/FR-2017-11-17/pdf/2017-24934.pdfhttps://regulations.justia.com/regulations/fedreg/2017/11/17/2017-24933.htmlNotice - Self-Regulatory Organizations; Cboe EDGA Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Modify Its Fees for Physical Ports2017-11-17T00:00:00-08:002017-11-17T00:00:00-08:002017-24933Noticehttps://www.gpo.gov/fdsys/pkg/FR-2017-11-17/pdf/2017-24933.pdfhttps://regulations.justia.com/regulations/fedreg/2017/11/17/2017-24932.htmlNotice - Self-Regulatory Organizations; Cboe EDGX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Modify Its Fees for Physical Ports2017-11-17T00:00:00-08:002017-11-17T00:00:00-08:002017-24932Noticehttps://www.gpo.gov/fdsys/pkg/FR-2017-11-17/pdf/2017-24932.pdfhttps://regulations.justia.com/regulations/fedreg/2017/11/17/2017-24931.htmlNotice - Self-Regulatory Organizations; Nasdaq BX, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the Exchange's Options Pricing at Chapter XV, Section 22017-11-17T00:00:00-08:002017-11-17T00:00:00-08:002017-24931Noticehttps://www.gpo.gov/fdsys/pkg/FR-2017-11-17/pdf/2017-24931.pdfhttps://regulations.justia.com/regulations/fedreg/2017/11/17/2017-24930.htmlNotice - Self-Regulatory Organizations: Investors Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Adopt Rules Pertaining to Certain Listing Regulatory Reporting and Operational Requirements2017-11-17T00:00:00-08:002017-11-17T00:00:00-08:002017-24930Noticehttps://www.gpo.gov/fdsys/pkg/FR-2017-11-17/pdf/2017-24930.pdfhttps://regulations.justia.com/regulations/fedreg/2017/11/17/2017-24929.htmlNotice - Self-Regulatory Organizations; Cboe EDGX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Adopt Fees for Its Recently Adopted Functionality for the Handling of Complex Orders on Its Equity Options Platform2017-11-17T00:00:00-08:002017-11-17T00:00:00-08:002017-24929Noticehttps://www.gpo.gov/fdsys/pkg/FR-2017-11-17/pdf/2017-24929.pdfhttps://regulations.justia.com/regulations/fedreg/2017/11/17/2017-24928.htmlNotice - Self-Regulatory Organizations; Municipal Securities Rulemaking Board; Notice of Filing of Amendment No. 1 to Proposed Rule Change To Amend MSRB Rule G-34, on CUSIP Numbers, New Issue, and Market Information Requirements2017-11-17T00:00:00-08:002017-11-17T00:00:00-08:002017-24928Noticehttps://www.gpo.gov/fdsys/pkg/FR-2017-11-17/pdf/2017-24928.pdfhttps://regulations.justia.com/regulations/fedreg/2017/11/17/2017-24920.htmlNotice - Self-Regulatory Organizations; The Options Clearing Corporation; Notice of Filing of Advance Notice Concerning Liquidity for Same-Day Settlement2017-11-17T00:00:00-08:002017-11-17T00:00:00-08:002017-24920Noticehttps://www.gpo.gov/fdsys/pkg/FR-2017-11-17/pdf/2017-24920.pdfhttps://regulations.justia.com/regulations/fedreg/2017/11/17/2017-24919.htmlNotice - Self-Regulatory Organizations; The Options Clearing Corporation; Notice of Filing of Advance Notice Concerning the Use of the Society of Worldwide Interbank Financial Telecommunication Messaging Network in OCC's Cash Settlement Process2017-11-17T00:00:00-08:002017-11-17T00:00:00-08:002017-24919Noticehttps://www.gpo.gov/fdsys/pkg/FR-2017-11-17/pdf/2017-24919.pdfhttps://regulations.justia.com/regulations/fedreg/2017/11/16/2017-24784.htmlNotice - Self-Regulatory Organizations; LCH SA; Notice of Filing of Proposed Rule Change, Security-Based Swap Submission, or Advance Notice Relating to Wrong Way Risk Margin2017-11-16T00:00:00-08:002017-11-16T00:00:00-08:002017-24784Noticehttps://www.gpo.gov/fdsys/pkg/FR-2017-11-16/pdf/2017-24784.pdfhttps://regulations.justia.com/regulations/fedreg/2017/11/16/2017-24783.htmlNotice - Self-Regulatory Organizations; Cboe BYX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Modify Its Fees for Physical Ports2017-11-16T00:00:00-08:002017-11-16T00:00:00-08:002017-24783Noticehttps://www.gpo.gov/fdsys/pkg/FR-2017-11-16/pdf/2017-24783.pdfhttps://regulations.justia.com/regulations/fedreg/2017/11/16/2017-24782.htmlNotice - Self-Regulatory Organizations; Cboe BZX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Modify Its Fees for Physical Ports2017-11-16T00:00:00-08:002017-11-16T00:00:00-08:002017-24782Noticehttps://www.gpo.gov/fdsys/pkg/FR-2017-11-16/pdf/2017-24782.pdfhttps://regulations.justia.com/regulations/fedreg/2017/11/16/2017-24781.htmlNotice - Self-Regulatory Organizations; Bats BYX Exchange, Inc.; Bats BZX Exchange, Inc.; Bats EDGA Exchange, Inc.; Bats EDGX Exchange, Inc.; BOX Options Exchange LLC; C2 Options Exchange, Incorporated; Chicago Board Options Exchange, Incorporated; Chicago Stock Exchange, Inc.; Financial Industry Regulatory Authority, Inc.; Investors Exchange LLC; Miami International Securities Exchange, LLC; MIAX PEARL LLC; Nasdaq BX, Inc.; Nasdaq GEMX, LLC; Nasdaq ISE, LLC; Nasdaq MRX, LLC; Nasdaq PHLX LLC; The Nasdaq Stock Market LLC; New York Stock Exchange LLC; NYSE Arca, Inc. and NYSE MKT LLC; Notice of Designation of Longer Period for Commission Action on Proceedings To Determine Whether To Approve or Disapprove Proposed Rule Changes To Establish Fees for Industry Members To Fund the Consolidated Audit Trail2017-11-16T00:00:00-08:002017-11-16T00:00:00-08:002017-24781Noticehttps://www.gpo.gov/fdsys/pkg/FR-2017-11-16/pdf/2017-24781.pdfhttps://regulations.justia.com/regulations/fedreg/2017/11/16/2017-24780.htmlNotice - Self-Regulatory Organizations; Cboe BYX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Related to Fees for Use on Cboe BYX Exchange, Inc.2017-11-16T00:00:00-08:002017-11-16T00:00:00-08:002017-24780Noticehttps://www.gpo.gov/fdsys/pkg/FR-2017-11-16/pdf/2017-24780.pdfhttps://regulations.justia.com/regulations/fedreg/2017/11/16/2017-24779.htmlNotice - Self-Regulatory Organizations; Nasdaq PHLX LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Rule 1059, Accommodation Transactions2017-11-16T00:00:00-08:002017-11-16T00:00:00-08:002017-24779Noticehttps://www.gpo.gov/fdsys/pkg/FR-2017-11-16/pdf/2017-24779.pdfhttps://regulations.justia.com/regulations/fedreg/2017/11/16/2017-24778.htmlNotice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Designation of a Longer Period for Commission Action on a Proposed Rule Change To List and Trade Shares of the Breakwave Dry Bulk Shipping ETF Under NYSE Arca Rule 8.200-E, Commentary .022017-11-16T00:00:00-08:002017-11-16T00:00:00-08:002017-24778Noticehttps://www.gpo.gov/fdsys/pkg/FR-2017-11-16/pdf/2017-24778.pdfhttps://regulations.justia.com/regulations/fedreg/2017/11/16/2017-24777.htmlNotice - Self-Regulatory Organizations; Cboe BZX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Modify Its Fees for Physical Ports as They Apply to the Exchange's Equity Options Platform2017-11-16T00:00:00-08:002017-11-16T00:00:00-08:002017-24777Noticehttps://www.gpo.gov/fdsys/pkg/FR-2017-11-16/pdf/2017-24777.pdfhttps://regulations.justia.com/regulations/fedreg/2017/11/16/2017-24755.htmlNotice - Submission for OMB Review; Comment Request2017-11-16T00:00:00-08:002017-11-16T00:00:00-08:002017-24755Noticehttps://www.gpo.gov/fdsys/pkg/FR-2017-11-16/pdf/2017-24755.pdfhttps://regulations.justia.com/regulations/fedreg/2017/11/16/2017-24754.htmlNotice - Submission for OMB Review; Comment Request2017-11-16T00:00:00-08:002017-11-16T00:00:00-08:002017-24754Noticehttps://www.gpo.gov/fdsys/pkg/FR-2017-11-16/pdf/2017-24754.pdfhttps://regulations.justia.com/regulations/fedreg/2017/11/16/2017-24753.htmlNotice - Submission for OMB Review; Comment Request2017-11-16T00:00:00-08:002017-11-16T00:00:00-08:002017-24753Noticehttps://www.gpo.gov/fdsys/pkg/FR-2017-11-16/pdf/2017-24753.pdfhttps://regulations.justia.com/regulations/fedreg/2017/11/16/2017-24752.htmlNotice - Submission for OMB Review; Comment Request2017-11-16T00:00:00-08:002017-11-16T00:00:00-08:002017-24752Noticehttps://www.gpo.gov/fdsys/pkg/FR-2017-11-16/pdf/2017-24752.pdfhttps://regulations.justia.com/regulations/fedreg/2017/11/16/2017-24751.htmlNotice - Proposed Collection; Comment Request2017-11-16T00:00:00-08:002017-11-16T00:00:00-08:002017-24751Noticehttps://www.gpo.gov/fdsys/pkg/FR-2017-11-16/pdf/2017-24751.pdfhttps://regulations.justia.com/regulations/fedreg/2017/11/16/2017-24750.htmlNotice - Proposed Collection; Comment Request2017-11-16T00:00:00-08:002017-11-16T00:00:00-08:002017-24750Noticehttps://www.gpo.gov/fdsys/pkg/FR-2017-11-16/pdf/2017-24750.pdfhttps://regulations.justia.com/regulations/fedreg/2017/11/16/2017-24749.htmlNotice - Submission for OMB Review; Comment Request2017-11-16T00:00:00-08:002017-11-16T00:00:00-08:002017-24749Noticehttps://www.gpo.gov/fdsys/pkg/FR-2017-11-16/pdf/2017-24749.pdfhttps://regulations.justia.com/regulations/fedreg/2017/11/15/2017-24692.htmlNotice - Investor Advisory Committee Meeting2017-11-15T00:00:00-08:002017-11-15T00:00:00-08:002017-24692Noticehttps://www.gpo.gov/fdsys/pkg/FR-2017-11-15/pdf/2017-24692.pdfhttps://regulations.justia.com/regulations/fedreg/2017/11/15/2017-24660.htmlNotice - Self-Regulatory Organizations; ICE Clear Europe Limited; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to Amendments to the ICE Clear Europe Delivery Procedures2017-11-15T00:00:00-08:002017-11-15T00:00:00-08:002017-24660Noticehttps://www.gpo.gov/fdsys/pkg/FR-2017-11-15/pdf/2017-24660.pdfhttps://regulations.justia.com/regulations/fedreg/2017/11/15/2017-24659.htmlNotice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Designation of a Longer Period for Commission Action on a Proposed Rule Change, as Modified by Amendment No. 1, To List and Trade Shares of the GraniteShares Silver Trust Under NYSE Arca Rule 8.201-E2017-11-15T00:00:00-08:002017-11-15T00:00:00-08:002017-24659Noticehttps://www.gpo.gov/fdsys/pkg/FR-2017-11-15/pdf/2017-24659.pdfhttps://regulations.justia.com/regulations/fedreg/2017/11/15/2017-24658.htmlNotice - Self-Regulatory Organizations; The Nasdaq Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to the Access and Redistribution Fee2017-11-15T00:00:00-08:002017-11-15T00:00:00-08:002017-24658Noticehttps://www.gpo.gov/fdsys/pkg/FR-2017-11-15/pdf/2017-24658.pdfhttps://regulations.justia.com/regulations/fedreg/2017/11/15/2017-24657.htmlNotice - Self-Regulatory Organizations; Nasdaq BX, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to the Access and Redistribution Fee2017-11-15T00:00:00-08:002017-11-15T00:00:00-08:002017-24657Noticehttps://www.gpo.gov/fdsys/pkg/FR-2017-11-15/pdf/2017-24657.pdfhttps://regulations.justia.com/regulations/fedreg/2017/11/15/2017-24656.htmlNotice - Self-Regulatory Organizations; Nasdaq PHLX LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Its Index Options Rules To Be More Clear and Conformed More Closely to Those of the Options Clearing Corporation (“OCC”) and Other Exchanges2017-11-15T00:00:00-08:002017-11-15T00:00:00-08:002017-24656Noticehttps://www.gpo.gov/fdsys/pkg/FR-2017-11-15/pdf/2017-24656.pdfhttps://regulations.justia.com/regulations/fedreg/2017/11/15/2017-24655.htmlNotice - Self-Regulatory Organizations; Nasdaq PHLX LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to the Access and Redistribution Fee2017-11-15T00:00:00-08:002017-11-15T00:00:00-08:002017-24655Noticehttps://www.gpo.gov/fdsys/pkg/FR-2017-11-15/pdf/2017-24655.pdfhttps://regulations.justia.com/regulations/fedreg/2017/11/15/2017-24654.htmlNotice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Designation of a Longer Period for Commission Action on Proposed Rule, as Modified by Amendment No. 1 Thereto, to List and Trade Shares of the GraniteShares Palladium Trust under NYSE Arca Rule 8.201-E2017-11-15T00:00:00-08:002017-11-15T00:00:00-08:002017-24654Noticehttps://www.gpo.gov/fdsys/pkg/FR-2017-11-15/pdf/2017-24654.pdfhttps://regulations.justia.com/regulations/fedreg/2017/11/14/2017-24681.htmlNotice - Sunshine Act Meetings2017-11-14T00:00:00-08:002017-11-14T00:00:00-08:002017-24681Noticehttps://www.gpo.gov/fdsys/pkg/FR-2017-11-14/pdf/2017-24681.pdfhttps://regulations.justia.com/regulations/fedreg/2017/11/14/2017-24629.htmlNotice - Order Scheduling Filing of Statements on Review2017-11-14T00:00:00-08:002017-11-14T00:00:00-08:002017-24629Noticehttps://www.gpo.gov/fdsys/pkg/FR-2017-11-14/pdf/2017-24629.pdfhttps://regulations.justia.com/regulations/fedreg/2017/11/14/2017-24628.htmlNotice - Meeder Funds Trust, et al.2017-11-14T00:00:00-08:002017-11-14T00:00:00-08:002017-24628Noticehttps://www.gpo.gov/fdsys/pkg/FR-2017-11-14/pdf/2017-24628.pdfhttps://regulations.justia.com/regulations/fedreg/2017/11/14/2017-24577.htmlNotice - Self-Regulatory Organizations; New York Stock Exchange LLC; Order Instituting Proceedings To Determine Whether To Approve or Disapprove a Proposed Rule Change To Adopt New Equity Trading Rules To trade Securities Pursuant to Unlisted Trading Privileges, Including Orders and Modifiers, Order Ranking and Display, and Order Execution and Routing on Pillar, the Exchange's New Trading Technology Platform2017-11-14T00:00:00-08:002017-11-14T00:00:00-08:002017-24577Noticehttps://www.gpo.gov/fdsys/pkg/FR-2017-11-14/pdf/2017-24577.pdfhttps://regulations.justia.com/regulations/fedreg/2017/11/14/2017-24576.htmlNotice - Self-Regulatory Organizations; NYSE American 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 NYSE American Rule 980NY To Clarify the Priority of Electronic Complex Orders and To Modify Aspects of the Complex Order Auction Process2017-11-14T00:00:00-08:002017-11-14T00:00:00-08:002017-24576Noticehttps://www.gpo.gov/fdsys/pkg/FR-2017-11-14/pdf/2017-24576.pdfhttps://regulations.justia.com/regulations/fedreg/2017/11/14/2017-24575.htmlNotice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Designation of a Longer Period for Commission Action on a Proposed Rule Change, as Modified by Amendment No. 1, To List and Trade Shares of the GraniteShares Platinum Trust Under NYSE Arca Rule 8.201-E2017-11-14T00:00:00-08:002017-11-14T00:00:00-08:002017-24575Noticehttps://www.gpo.gov/fdsys/pkg/FR-2017-11-14/pdf/2017-24575.pdfhttps://regulations.justia.com/regulations/fedreg/2017/11/14/2017-24574.htmlNotice - Self-Regulatory Organizations; Bats BZX Exchange, Inc.; Notice of Designation of a Longer Period for Commission Action on 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 Shares2017-11-14T00:00:00-08:002017-11-14T00:00:00-08:002017-24574Noticehttps://www.gpo.gov/fdsys/pkg/FR-2017-11-14/pdf/2017-24574.pdfhttps://regulations.justia.com/regulations/fedreg/2017/11/13/2017-24487.htmlNotice - CBOE Vest Financial, LLC, et al.2017-11-13T00:00:00-08:002017-11-13T00:00:00-08:002017-24487Noticehttps://www.gpo.gov/fdsys/pkg/FR-2017-11-13/pdf/2017-24487.pdfhttps://regulations.justia.com/regulations/fedreg/2017/11/13/2017-24486.htmlNotice - Submission for OMB Review; Comment Request2017-11-13T00:00:00-08:002017-11-13T00:00:00-08:002017-24486Noticehttps://www.gpo.gov/fdsys/pkg/FR-2017-11-13/pdf/2017-24486.pdfhttps://regulations.justia.com/regulations/fedreg/2017/11/13/2017-24485.htmlNotice - Submission for OMB Review; Comment Request2017-11-13T00:00:00-08:002017-11-13T00:00:00-08:002017-24485Noticehttps://www.gpo.gov/fdsys/pkg/FR-2017-11-13/pdf/2017-24485.pdfhttps://regulations.justia.com/regulations/fedreg/2017/11/13/2017-24442.htmlNotice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the NYSE Arca Options Fees and Charges Schedule and the NYSE Arca Equities Fees and Charges Schedule Relating to Co-Location Services To Reflect the Name Change of a Third Party Data Feed2017-11-13T00:00:00-08:002017-11-13T00:00:00-08:002017-24442Noticehttps://www.gpo.gov/fdsys/pkg/FR-2017-11-13/pdf/2017-24442.pdfhttps://regulations.justia.com/regulations/fedreg/2017/11/13/2017-24441.htmlNotice - Self-Regulatory Organizations; NYSE American LLC; Notice of Filing and Immediate Effectiveness of Proposed Change To Amend the NYSE American Equities Price List and the NYSE American Options Fee Schedule Relating to Co-Location Services To Reflect the Name Change of a Third Party Data Feed2017-11-13T00:00:00-08:002017-11-13T00:00:00-08:002017-24441Noticehttps://www.gpo.gov/fdsys/pkg/FR-2017-11-13/pdf/2017-24441.pdfhttps://regulations.justia.com/regulations/fedreg/2017/11/13/2017-24440.htmlNotice - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Certain of Its Listing Fees2017-11-13T00:00:00-08:002017-11-13T00:00:00-08:002017-24440Noticehttps://www.gpo.gov/fdsys/pkg/FR-2017-11-13/pdf/2017-24440.pdfhttps://regulations.justia.com/regulations/fedreg/2017/11/13/2017-24439.htmlNotice - Self-Regulatory Organizations; Nasdaq PHLX LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Pricing Schedule Section II, Entitled Multiply Listed Options Fees2017-11-13T00:00:00-08:002017-11-13T00:00:00-08:002017-24439Noticehttps://www.gpo.gov/fdsys/pkg/FR-2017-11-13/pdf/2017-24439.pdfhttps://regulations.justia.com/regulations/fedreg/2017/11/13/2017-24438.htmlNotice - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Its Price List Relating to Co-Location Services To Reflect the Name Change of a Third Party Data Feed2017-11-13T00:00:00-08:002017-11-13T00:00:00-08:002017-24438Noticehttps://www.gpo.gov/fdsys/pkg/FR-2017-11-13/pdf/2017-24438.pdfhttps://regulations.justia.com/regulations/fedreg/2017/11/13/2017-24437.htmlNotice - Self-Regulatory Organizations; MIAX PEARL, LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the MIAX PEARL Fee Schedule2017-11-13T00:00:00-08:002017-11-13T00:00:00-08:002017-24437Noticehttps://www.gpo.gov/fdsys/pkg/FR-2017-11-13/pdf/2017-24437.pdfhttps://regulations.justia.com/regulations/fedreg/2017/11/09/2017-24371.htmlNotice - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing of Amendment No. 2 and Order Instituting Proceedings To Determine Whether To Approve or Disapprove a Proposed Rule Change, as Modified by Amendment Nos. 1 and 2, To Adopt the Midpoint Extended Life Order2017-11-09T00:00:00-08:002017-11-09T00:00:00-08:002017-24371Noticehttps://www.gpo.gov/fdsys/pkg/FR-2017-11-09/pdf/2017-24371.pdfhttps://regulations.justia.com/regulations/fedreg/2017/11/09/2017-24370.htmlNotice - Self-Regulatory Organizations; Nasdaq PHLX LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Rule 1080(p)(2) To Enhance Anti-Internalization Functionality2017-11-09T00:00:00-08:002017-11-09T00:00:00-08:002017-24370Noticehttps://www.gpo.gov/fdsys/pkg/FR-2017-11-09/pdf/2017-24370.pdfhttps://regulations.justia.com/regulations/fedreg/2017/11/09/2017-24369.htmlNotice - Self-Regulatory Organizations; The Options Clearing Corporation; Notice of Filing of Proposed Rule Change Related to The Options Clearing Corporation's Collateral Risk Management Policy2017-11-09T00:00:00-08:002017-11-09T00:00:00-08:002017-24369Noticehttps://www.gpo.gov/fdsys/pkg/FR-2017-11-09/pdf/2017-24369.pdfhttps://regulations.justia.com/regulations/fedreg/2017/11/09/2017-24368.htmlNotice - Self-Regulatory Organizations; Nasdaq PHLX LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the Exchange's Pricing Schedule at Section IV, Entitled “Other Transaction Fees”2017-11-09T00:00:00-08:002017-11-09T00:00:00-08:002017-24368Noticehttps://www.gpo.gov/fdsys/pkg/FR-2017-11-09/pdf/2017-24368.pdfhttps://regulations.justia.com/regulations/fedreg/2017/11/08/2017-24257.htmlNotice - 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 Securities Valuation Framework2017-11-08T00:00:00-08:002017-11-08T00:00:00-08:002017-24257Noticehttps://www.gpo.gov/fdsys/pkg/FR-2017-11-08/pdf/2017-24257.pdfhttps://regulations.justia.com/regulations/fedreg/2017/11/08/2017-24256.htmlNotice - Self-Regulatory Organizations; NASDAQ PHLX LLC; Order Approving Proposed Rule Changes To Amend Rules 1024, Conduct of Accounts for Options Trading, and 1025, Supervision of Accounts2017-11-08T00:00:00-08:002017-11-08T00:00:00-08:002017-24256Noticehttps://www.gpo.gov/fdsys/pkg/FR-2017-11-08/pdf/2017-24256.pdfhttps://regulations.justia.com/regulations/fedreg/2017/11/08/2017-24255.htmlNotice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend NYSE Arca Rules 7.31-E and 7.35-E2017-11-08T00:00:00-08:002017-11-08T00:00:00-08:002017-24255Noticehttps://www.gpo.gov/fdsys/pkg/FR-2017-11-08/pdf/2017-24255.pdfhttps://regulations.justia.com/regulations/fedreg/2017/11/08/2017-24254.htmlNotice - Self-Regulatory Organizations; The Nasdaq Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the Exchange's Fees at Rule 70582017-11-08T00:00:00-08:002017-11-08T00:00:00-08:002017-24254Noticehttps://www.gpo.gov/fdsys/pkg/FR-2017-11-08/pdf/2017-24254.pdfhttps://regulations.justia.com/regulations/fedreg/2017/11/08/2017-24253.htmlNotice - Self-Regulatory Organizations; Nasdaq PHLX LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the Price Improvement XL Auction2017-11-08T00:00:00-08:002017-11-08T00:00:00-08:002017-24253Noticehttps://www.gpo.gov/fdsys/pkg/FR-2017-11-08/pdf/2017-24253.pdfhttps://regulations.justia.com/regulations/fedreg/2017/11/08/2017-24252.htmlNotice - Self-Regulatory Organizations; Miami International Securities Exchange LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Its Fee Schedule2017-11-08T00:00:00-08:002017-11-08T00:00:00-08:002017-24252Noticehttps://www.gpo.gov/fdsys/pkg/FR-2017-11-08/pdf/2017-24252.pdfhttps://regulations.justia.com/regulations/fedreg/2017/11/08/2017-24251.htmlNotice - Self-Regulatory Organizations; The Nasdaq Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to an Incentive to the Market Access and Routing Subsidy Program2017-11-08T00:00:00-08:002017-11-08T00:00:00-08:002017-24251Noticehttps://www.gpo.gov/fdsys/pkg/FR-2017-11-08/pdf/2017-24251.pdfhttps://regulations.justia.com/regulations/fedreg/2017/11/07/2017-24260.htmlNotice - Sunshine Act Meetings2017-11-07T00:00:00-08:002017-11-07T00:00:00-08:002017-24260Noticehttps://www.gpo.gov/fdsys/pkg/FR-2017-11-07/pdf/2017-24260.pdfhttps://regulations.justia.com/regulations/fedreg/2017/11/07/2017-24225.htmlNotice - Princeton Fund Advisors, LLC. et al.2017-11-07T00:00:00-08:002017-11-07T00:00:00-08:002017-24225Noticehttps://www.gpo.gov/fdsys/pkg/FR-2017-11-07/pdf/2017-24225.pdfhttps://regulations.justia.com/regulations/fedreg/2017/11/07/2017-24224.htmlNotice - Brandes Investment Trust, et al.2017-11-07T00:00:00-08:002017-11-07T00:00:00-08:002017-24224Noticehttps://www.gpo.gov/fdsys/pkg/FR-2017-11-07/pdf/2017-24224.pdfhttps://regulations.justia.com/regulations/fedreg/2017/11/07/2017-24138.htmlNotice - Reinhart Partners, Inc., et al.2017-11-07T00:00:00-08:002017-11-07T00:00:00-08:002017-24138Noticehttps://www.gpo.gov/fdsys/pkg/FR-2017-11-07/pdf/2017-24138.pdfhttps://regulations.justia.com/regulations/fedreg/2017/11/07/2017-24132.htmlNotice - Self-Regulatory Organizations; NYSE American LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Annual Listing Fees for Common Stocks and Warrants2017-11-07T00:00:00-08:002017-11-07T00:00:00-08:002017-24132Noticehttps://www.gpo.gov/fdsys/pkg/FR-2017-11-07/pdf/2017-24132.pdfhttps://regulations.justia.com/regulations/fedreg/2017/11/07/2017-24131.htmlNotice - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Establish Fees for the New TRACE Security Activity Report and End-of-Day TRACE Transaction File2017-11-07T00:00:00-08:002017-11-07T00:00:00-08:002017-24131Noticehttps://www.gpo.gov/fdsys/pkg/FR-2017-11-07/pdf/2017-24131.pdfhttps://regulations.justia.com/regulations/fedreg/2017/11/07/2017-24130.htmlNotice - Self-Regulatory Organizations; ICE Clear Europe Limited; Notice of Filing of Proposed Rule Change, Security-Based Swap Submission or Advance Notice Relating to the ICE Clear Europe Procyclicality Framework2017-11-07T00:00:00-08:002017-11-07T00:00:00-08:002017-24130Noticehttps://www.gpo.gov/fdsys/pkg/FR-2017-11-07/pdf/2017-24130.pdfhttps://regulations.justia.com/regulations/fedreg/2017/11/06/2017-24056.htmlNotice - Order Temporarily Exempting Certain Broker-Dealers From Specified Provisions of the Recordkeeping, Reporting, and Monitoring Responsibilities of Rule 13h-1 Under the Securities Exchange Act of 19342017-11-06T00:00:00-08:002017-11-06T00:00:00-08:002017-24056Noticehttps://www.gpo.gov/fdsys/pkg/FR-2017-11-06/pdf/2017-24056.pdfhttps://regulations.justia.com/regulations/fedreg/2017/11/06/2017-24051.htmlNotice - Self-Regulatory Organizations; Cboe EDGX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Rule 20.6, Nullification and Adjustment of Options Transactions Including Obvious Errors2017-11-06T00:00:00-08:002017-11-06T00:00:00-08:002017-24051Noticehttps://www.gpo.gov/fdsys/pkg/FR-2017-11-06/pdf/2017-24051.pdfhttps://regulations.justia.com/regulations/fedreg/2017/11/06/2017-24050.htmlNotice - Self-Regulatory Organizations; Nasdaq ISE, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Rule 16142017-11-06T00:00:00-08:002017-11-06T00:00:00-08:002017-24050Noticehttps://www.gpo.gov/fdsys/pkg/FR-2017-11-06/pdf/2017-24050.pdfhttps://regulations.justia.com/regulations/fedreg/2017/11/06/2017-24049.htmlNotice - Self-Regulatory Organizations; The Depository Trust Company; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Establish a Special Segregation Account for a Participant or Pledgee That Is a Derivatives Clearing Organization or Futures Commission Merchant2017-11-06T00:00:00-08:002017-11-06T00:00:00-08:002017-24049Noticehttps://www.gpo.gov/fdsys/pkg/FR-2017-11-06/pdf/2017-24049.pdfhttps://regulations.justia.com/regulations/fedreg/2017/11/06/2017-24048.htmlNotice - Self-Regulatory Organizations; Investors Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Adopt New Rule 6.210 Related to Ex-Dates for Securities Listed or Traded on the Exchange2017-11-06T00:00:00-08:002017-11-06T00:00:00-08:002017-24048Noticehttps://www.gpo.gov/fdsys/pkg/FR-2017-11-06/pdf/2017-24048.pdfhttps://regulations.justia.com/regulations/fedreg/2017/11/06/2017-24047.htmlNotice - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Order Granting Approval of Proposed Rule Change, as Modified by Amendments No. 1 and 2, To List and Trade Shares of the Calvert Ultra-Short Duration Income NextSharesTM2017-11-06T00:00:00-08:002017-11-06T00:00:00-08:002017-24047Noticehttps://www.gpo.gov/fdsys/pkg/FR-2017-11-06/pdf/2017-24047.pdfhttps://regulations.justia.com/regulations/fedreg/2017/11/06/2017-24046.htmlNotice - Self-Regulatory Organizations; The Nasdaq Stock Market LLC; Notice of Designation of a Longer Period for Commission Action on a 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 Activated2017-11-06T00:00:00-08:002017-11-06T00:00:00-08:002017-24046Noticehttps://www.gpo.gov/fdsys/pkg/FR-2017-11-06/pdf/2017-24046.pdfhttps://regulations.justia.com/regulations/fedreg/2017/11/06/2017-24045.htmlNotice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Regarding Exchange Calculation of the Intraday Indicative Value for Specified Exchange-Traded Products2017-11-06T00:00:00-08:002017-11-06T00:00:00-08:002017-24045Noticehttps://www.gpo.gov/fdsys/pkg/FR-2017-11-06/pdf/2017-24045.pdfhttps://regulations.justia.com/regulations/fedreg/2017/11/03/2017-23928.htmlNotice - Self-Regulatory Organizations; Investors Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Clarify the Eligibility of Market Orders and Limit Orders With a Time-In-Force of DAY for a Volatility Auction Occurring Outside of Regular Market Hours2017-11-03T00:00:00-07:002017-11-03T00:00:00-07:002017-23928Noticehttps://www.gpo.gov/fdsys/pkg/FR-2017-11-03/pdf/2017-23928.pdfhttps://regulations.justia.com/regulations/fedreg/2017/11/03/2017-23927.htmlNotice - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Reflect in the Exchange's Governing Documents, Rulebook and Fees Schedules, a Non-Substantive Corporate Branding Change, Including Changes to the Company's Name, the Intermediate's Name, and the Exchange's Name2017-11-03T00:00:00-07:002017-11-03T00:00:00-07:002017-23927Noticehttps://www.gpo.gov/fdsys/pkg/FR-2017-11-03/pdf/2017-23927.pdfhttps://regulations.justia.com/regulations/fedreg/2017/11/03/2017-23926.htmlNotice - Self-Regulatory Organizations; Nasdaq PHLX 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 add an Exception to Phlx Rule 1000(f)(iii) for Certain Floor Broker Transactions and add the Snapshot Functionality to the Options Floor Broker Management System2017-11-03T00:00:00-07:002017-11-03T00:00:00-07:002017-23926Noticehttps://www.gpo.gov/fdsys/pkg/FR-2017-11-03/pdf/2017-23926.pdfhttps://regulations.justia.com/regulations/fedreg/2017/11/03/2017-23925.htmlNotice - Self-Regulatory Organizations; C2 Options Exchange, Incorporated; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating To Reflect in the Exchange's Governing Documents, Rulebook and Fees Schedules, a Non-Substantive Corporate Branding Change, Including Changes to the Company's Name, the Intermediate's Name, and the Exchange's Name2017-11-03T00:00:00-07:002017-11-03T00:00:00-07:002017-23925Noticehttps://www.gpo.gov/fdsys/pkg/FR-2017-11-03/pdf/2017-23925.pdfhttps://regulations.justia.com/regulations/fedreg/2017/11/03/2017-23924.htmlNotice - Self-Regulatory Organizations; Nasdaq BX, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Remove References to Nasdaq Options Services2017-11-03T00:00:00-07:002017-11-03T00:00:00-07:002017-23924Noticehttps://www.gpo.gov/fdsys/pkg/FR-2017-11-03/pdf/2017-23924.pdfhttps://regulations.justia.com/regulations/fedreg/2017/11/03/2017-23923.htmlNotice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Designation of Longer Period for Commission Action on Proceedings To Determine Whether To Approve or Disapprove a Proposed Rule Change To Adopt NYSE Arca Equities Rule 8.900 To Permit Listing and Trading of Managed Portfolio Shares and To List and Trade Shares of the Royce Pennsylvania ETF, Royce Premier ETF, and Royce Total Return ETF Under Proposed NYSE Arca Equities Rule 8.9002017-11-03T00:00:00-07:002017-11-03T00:00:00-07:002017-23923Noticehttps://www.gpo.gov/fdsys/pkg/FR-2017-11-03/pdf/2017-23923.pdfhttps://regulations.justia.com/regulations/fedreg/2017/11/03/2017-23922.htmlNotice - Self-Regulatory Organizations; Miami International Securities Exchange, LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend MIAX Options Rules 700, 1322, and 5172017-11-03T00:00:00-07:002017-11-03T00:00:00-07:002017-23922Noticehttps://www.gpo.gov/fdsys/pkg/FR-2017-11-03/pdf/2017-23922.pdfhttps://regulations.justia.com/regulations/fedreg/2017/11/03/2017-23920.htmlNotice - Horizon Technology Finance Corporation, et al.2017-11-03T00:00:00-07:002017-11-03T00:00:00-07:002017-23920Noticehttps://www.gpo.gov/fdsys/pkg/FR-2017-11-03/pdf/2017-23920.pdfhttps://regulations.justia.com/regulations/fedreg/2017/11/02/2017-23837.htmlNotice - Notice of Applications for Deregistration Under Section 8(f) of the Investment Company Act of 19402017-11-02T00:00:00-07:002017-11-02T00:00:00-07:002017-23837Noticehttps://www.gpo.gov/fdsys/pkg/FR-2017-11-02/pdf/2017-23837.pdfhttps://regulations.justia.com/regulations/fedreg/2017/11/02/2017-23832.htmlNotice - Self-Regulatory Organizations; Nasdaq GEMX, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to an Optional Kill Switch Protection2017-11-02T00:00:00-07:002017-11-02T00:00:00-07:002017-23832Noticehttps://www.gpo.gov/fdsys/pkg/FR-2017-11-02/pdf/2017-23832.pdfhttps://regulations.justia.com/regulations/fedreg/2017/11/02/2017-23831.htmlNotice - Self-Regulatory Organizations; Nasdaq PHLX LLC; Notice of Filing of Proposed Rule Change, as Modified by Amendment No. 1, To Establish a Nonstandard Expirations Pilot Program on a Pilot Basis, for an Initial Period of Twelve Months From the Date of Approval of This Proposed Rule Change2017-11-02T00:00:00-07:002017-11-02T00:00:00-07:002017-23831Noticehttps://www.gpo.gov/fdsys/pkg/FR-2017-11-02/pdf/2017-23831.pdfhttps://regulations.justia.com/regulations/fedreg/2017/11/02/2017-23830.htmlNotice - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Order Granting Approval of Proposed Rule Change, as Modified by Amendment No. 1, To List and Trade Shares of the Eaton Vance Oaktree Diversified Credit NextSharesTM2017-11-02T00:00:00-07:002017-11-02T00:00:00-07:002017-23830Noticehttps://www.gpo.gov/fdsys/pkg/FR-2017-11-02/pdf/2017-23830.pdfhttps://regulations.justia.com/regulations/fedreg/2017/11/02/2017-23829.htmlNotice - Self-Regulatory Organizations; The Nasdaq Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Remove References to Nasdaq Options Services2017-11-02T00:00:00-07:002017-11-02T00:00:00-07:002017-23829Noticehttps://www.gpo.gov/fdsys/pkg/FR-2017-11-02/pdf/2017-23829.pdfhttps://regulations.justia.com/regulations/fedreg/2017/11/02/2017-23828.htmlNotice - Self-Regulatory Organizations; Nasdaq ISE, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to an Optional Kill Switch Protection2017-11-02T00:00:00-07:002017-11-02T00:00:00-07:002017-23828Noticehttps://www.gpo.gov/fdsys/pkg/FR-2017-11-02/pdf/2017-23828.pdfhttps://regulations.justia.com/regulations/fedreg/2017/11/02/2017-23827.htmlNotice - Self-Regulatory Organizations; Nasdaq MRX, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to an Optional Kill Switch Protection2017-11-02T00:00:00-07:002017-11-02T00:00:00-07:002017-23827Noticehttps://www.gpo.gov/fdsys/pkg/FR-2017-11-02/pdf/2017-23827.pdfhttps://regulations.justia.com/regulations/fedreg/2017/11/02/2017-23826.htmlNotice - Self-Regulatory Organizations; NYSE American LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Exchange Rule 7.10E To Exclude Trading Halt Auctions From Being Reviewed as Clearly Erroneous, Rule 7.11E To Conform to the Limit Up-Limit Down NMS Plan, Rule 7.31E To Add a New Imbalance Only Order, and Rule 7.35E To Enhance the Information Available Before an Auction and Revise Procedures for Trading Halt Auctions2017-11-02T00:00:00-07:002017-11-02T00:00:00-07:002017-23826Noticehttps://www.gpo.gov/fdsys/pkg/FR-2017-11-02/pdf/2017-23826.pdfhttps://regulations.justia.com/regulations/fedreg/2017/11/02/2017-23825.htmlNotice - Self-Regulatory Organizations; Miami International Securities Exchange LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend MIAX Options Rule 518 Relating to Derived Orders2017-11-02T00:00:00-07:002017-11-02T00:00:00-07:002017-23825Noticehttps://www.gpo.gov/fdsys/pkg/FR-2017-11-02/pdf/2017-23825.pdfhttps://regulations.justia.com/regulations/fedreg/2017/11/02/2017-22374.htmlProposed Rule - FAST Act Modernization and Simplification of Regulation S-K2017-11-02T00:00:00-07:002017-11-02T00:00:00-07:002017-22374Proposed Rulehttps://www.gpo.gov/fdsys/pkg/FR-2017-11-02/pdf/2017-22374.pdfhttps://regulations.justia.com/regulations/fedreg/2017/11/01/2017-23739.htmlNotice - Self-Regulatory Organizations; Bats EDGX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Reflect in the Exchange's Governing Documents, Rulebook and Fees Schedules, a Non-Substantive Corporate Branding Change, Including Changes to the Company's Name, the Intermediate's Name, and the Exchange's Name2017-11-01T00:00:00-07:002017-11-01T00:00:00-07:002017-23739Noticehttps://www.gpo.gov/fdsys/pkg/FR-2017-11-01/pdf/2017-23739.pdfhttps://regulations.justia.com/regulations/fedreg/2017/11/01/2017-23738.htmlNotice - Self-Regulatory Organizations; Bats BZX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Reflect in the Exchange's Governing Documents, Rulebook and Fees Schedules, a Non-Substantive Corporate Branding Change, Including Changes to the Company's Name, the Intermediate's Name, and the Exchange's Name2017-11-01T00:00:00-07:002017-11-01T00:00:00-07:002017-23738Noticehttps://www.gpo.gov/fdsys/pkg/FR-2017-11-01/pdf/2017-23738.pdfhttps://regulations.justia.com/regulations/fedreg/2017/11/01/2017-23737.htmlNotice - Self-Regulatory Organizations; Bats EDGA Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Reflect in the Exchange's Governing Documents, Rulebook and Fee Schedule, a Non-Substantive Corporate Branding Change, Including Changes to the Company's Name, the Intermediate's Name, and the Exchange's Name2017-11-01T00:00:00-07:002017-11-01T00:00:00-07:002017-23737Noticehttps://www.gpo.gov/fdsys/pkg/FR-2017-11-01/pdf/2017-23737.pdfhttps://regulations.justia.com/regulations/fedreg/2017/11/01/2017-23736.htmlNotice - Self-Regulatory Organizations; The Options Clearing Corporation; Notice of Filing of Proposed Rule Change Concerning Liquidity for Same Day Settlement2017-11-01T00:00:00-07:002017-11-01T00:00:00-07:002017-23736Noticehttps://www.gpo.gov/fdsys/pkg/FR-2017-11-01/pdf/2017-23736.pdfhttps://regulations.justia.com/regulations/fedreg/2017/11/01/2017-23735.htmlNotice - Self-Regulatory Organizations; The Options Clearing Corporation; Notice of Filing of Proposed Rule Change Related to The Options Clearing Corporation's Default Management Policy2017-11-01T00:00:00-07:002017-11-01T00:00:00-07:002017-23735Noticehttps://www.gpo.gov/fdsys/pkg/FR-2017-11-01/pdf/2017-23735.pdfhttps://regulations.justia.com/regulations/fedreg/2017/11/01/2017-23734.htmlNotice - Self-Regulatory Organizations; NASDAQ BX, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Remove References To Surrender Feature for Auto-Match Submissions in the Price Improvement Auction2017-11-01T00:00:00-07:002017-11-01T00:00:00-07:002017-23734Noticehttps://www.gpo.gov/fdsys/pkg/FR-2017-11-01/pdf/2017-23734.pdfhttps://regulations.justia.com/regulations/fedreg/2017/11/01/2017-23733.htmlNotice - Self-Regulatory Organizations; Bats BYX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Reflect in the Exchange's Governing Documents, Rulebook and Fee Schedule, a Non-Substantive Corporate Branding Change, Including Changes to the Company's Name, the Intermediate's Name, and the Exchange's Name2017-11-01T00:00:00-07:002017-11-01T00:00:00-07:002017-23733Noticehttps://www.gpo.gov/fdsys/pkg/FR-2017-11-01/pdf/2017-23733.pdfhttps://regulations.justia.com/regulations/fedreg/2017/11/01/2017-23732.htmlNotice - Self-Regulatory Organizations; Cboe BZX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Update Rule 21.1 To Adopt a New Time in Force Applicable to the Exchange's Equity Options Platform2017-11-01T00:00:00-07:002017-11-01T00:00:00-07:002017-23732Noticehttps://www.gpo.gov/fdsys/pkg/FR-2017-11-01/pdf/2017-23732.pdfhttps://regulations.justia.com/regulations/fedreg/2017/11/01/2017-23731.htmlNotice - Self-Regulatory Organizations; The Options Clearing Corporation; Notice of Filing of Proposed Rule Change Related to The Options Clearing Corporation's Counterparty Credit Risk Management Policy2017-11-01T00:00:00-07:002017-11-01T00:00:00-07:002017-23731Noticehttps://www.gpo.gov/fdsys/pkg/FR-2017-11-01/pdf/2017-23731.pdfhttps://regulations.justia.com/regulations/fedreg/2017/11/01/2017-23695.htmlNotice - The Relative Value Fund et al.2017-11-01T00:00:00-07:002017-11-01T00:00:00-07:002017-23695Noticehttps://www.gpo.gov/fdsys/pkg/FR-2017-11-01/pdf/2017-23695.pdf