<![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/2017/12/14?registers=between Sun, 13 Jul 2025 00:18:05 -0700 Sun, 13 Jul 2025 00:18:05 -0700 Justia Regulations Tracker Copyright 2011 Justia Inc. https://regulations.justia.com/images/justiafedregulations.gif <![CDATA[Federal Register Recent Federal Regulation Documents - Justia Regulation Tracker - Justia Regulations Tracker]]> https://regulations.justia.com/regulations/fedreg/agencies/agencies-and-commissions/securities-and-exchange-commission/2017/12/14?registers=between Notice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing of Amendment No. 1 to a Proposed Rule Change Amending the Consolidated Audit Trail Funding Fees https://regulations.justia.com/regulations/fedreg/2017/12/14/2017-27024.html https://regulations.justia.com/regulations/fedreg/2017/12/14/2017-27024.html Thu, 14 Dec 2017 00:00:00 -0800 2017-27024 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-12-14/pdf/2017-27024.pdf Notice - Self-Regulatory Organizations; NYSE MKT LLC; Notice of Filing of Amendment No. 1 to a Proposed Rule Change Amending the Consolidated Audit Trail Funding Fees https://regulations.justia.com/regulations/fedreg/2017/12/14/2017-27022.html https://regulations.justia.com/regulations/fedreg/2017/12/14/2017-27022.html Thu, 14 Dec 2017 00:00:00 -0800 2017-27022 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-12-14/pdf/2017-27022.pdf Notice - Self-Regulatory Organizations; Investors Exchange LLC; Notice of Filing of Amendment No. 1 to a Proposed Rule Change To Establish the Fees for Industry Members Related to the National Market System Plan Governing the Consolidated Audit Trail https://regulations.justia.com/regulations/fedreg/2017/12/14/2017-27018.html https://regulations.justia.com/regulations/fedreg/2017/12/14/2017-27018.html Thu, 14 Dec 2017 00:00:00 -0800 2017-27018 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-12-14/pdf/2017-27018.pdf Notice - Self-Regulatory Organizations; Miami International Securities Exchange, LLC; Notice of Filing of Amendment No. 1 to a Proposed Rule Change to Amend the Fee Schedule https://regulations.justia.com/regulations/fedreg/2017/12/14/2017-27016.html https://regulations.justia.com/regulations/fedreg/2017/12/14/2017-27016.html Thu, 14 Dec 2017 00:00:00 -0800 2017-27016 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-12-14/pdf/2017-27016.pdf Notice - Self-Regulatory Organizations; MIAX PEARL, LLC; Notice of Filing of Amendment No. 1 to a Proposed Rule Change To Amend the Fee Schedule https://regulations.justia.com/regulations/fedreg/2017/12/14/2017-27014.html https://regulations.justia.com/regulations/fedreg/2017/12/14/2017-27014.html Thu, 14 Dec 2017 00:00:00 -0800 2017-27014 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-12-14/pdf/2017-27014.pdf Notice - Self-Regulatory Organizations; Cboe EDGA Exchange, Inc.; Notice of Filing of Amendment No. 1 to a Proposed Rule Change To Establish the Fees for Industry Members Related to the National Market System Plan Governing the Consolidated Audit Trail https://regulations.justia.com/regulations/fedreg/2017/12/14/2017-27011.html https://regulations.justia.com/regulations/fedreg/2017/12/14/2017-27011.html Thu, 14 Dec 2017 00:00:00 -0800 2017-27011 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-12-14/pdf/2017-27011.pdf Notice - Self-Regulatory Organizations; Nasdaq PHLX LLC; Notice of Filing of Amendment No. 2 to a Proposed Rule Change To Adopt Rule 7004 and Chapter XV, Section 11 https://regulations.justia.com/regulations/fedreg/2017/12/14/2017-27009.html https://regulations.justia.com/regulations/fedreg/2017/12/14/2017-27009.html Thu, 14 Dec 2017 00:00:00 -0800 2017-27009 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-12-14/pdf/2017-27009.pdf Notice - Self-Regulatory Organizations; Nasdaq GEMX, LLC; Notice of Filing of Amendment No. 2 to a Proposed Rule Change To Adopt Rule 7004 and Chapter XV, Section 11 https://regulations.justia.com/regulations/fedreg/2017/12/14/2017-27008.html https://regulations.justia.com/regulations/fedreg/2017/12/14/2017-27008.html Thu, 14 Dec 2017 00:00:00 -0800 2017-27008 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-12-14/pdf/2017-27008.pdf Notice - Self-Regulatory Organizations; The Nasdaq Stock Market LLC.; Notice of Filing of Amendment No. 2 to a Proposed Rule Change To Adopt Rule 7004 and Chapter XV, Section 11 https://regulations.justia.com/regulations/fedreg/2017/12/14/2017-27007.html https://regulations.justia.com/regulations/fedreg/2017/12/14/2017-27007.html Thu, 14 Dec 2017 00:00:00 -0800 2017-27007 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-12-14/pdf/2017-27007.pdf Notice - Self-Regulatory Organizations; Nasdaq BX, Inc.; Notice of Filing of Amendment No. 2 to a Proposed Rule Change To Adopt Rule 7004 and Chapter XV, Section 11 https://regulations.justia.com/regulations/fedreg/2017/12/14/2017-27006.html https://regulations.justia.com/regulations/fedreg/2017/12/14/2017-27006.html Thu, 14 Dec 2017 00:00:00 -0800 2017-27006 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-12-14/pdf/2017-27006.pdf Notice - Self-Regulatory Organizations; Cboe BYX Exchange, Inc.; Notice of Filing of Amendment No. 1 to a Proposed Rule Change To Establish the Fees for Industry Members Related to the National Market System Plan Governing the Consolidated Audit Trail https://regulations.justia.com/regulations/fedreg/2017/12/14/2017-26996.html https://regulations.justia.com/regulations/fedreg/2017/12/14/2017-26996.html Thu, 14 Dec 2017 00:00:00 -0800 2017-26996 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-12-14/pdf/2017-26996.pdf Rule - Compliance Date for Form 10-D Hyperlink Requirements https://regulations.justia.com/regulations/fedreg/2017/12/14/2017-26982.html https://regulations.justia.com/regulations/fedreg/2017/12/14/2017-26982.html Thu, 14 Dec 2017 00:00:00 -0800 2017-26982 Rule https://www.gpo.gov/fdsys/pkg/FR-2017-12-14/pdf/2017-26982.pdf Rule - Investment Company Reporting Modernization https://regulations.justia.com/regulations/fedreg/2017/12/14/2017-26922.html https://regulations.justia.com/regulations/fedreg/2017/12/14/2017-26922.html Thu, 14 Dec 2017 00:00:00 -0800 2017-26922 Rule https://www.gpo.gov/fdsys/pkg/FR-2017-12-14/pdf/2017-26922.pdf Notice - Self-Regulatory Organizations; Chicago Stock Exchange, Inc.; Notice of Filing of Amendment No. 2 to the Proposed Rule Change To Amend the Schedule of Fees and Assessments To Adopt a Fee Schedule To Establish Fees for Industry Members Related to the National Market System Plan Governing the Consolidated Audit Trail https://regulations.justia.com/regulations/fedreg/2017/12/14/2017-26919.html https://regulations.justia.com/regulations/fedreg/2017/12/14/2017-26919.html Thu, 14 Dec 2017 00:00:00 -0800 2017-26919 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-12-14/pdf/2017-26919.pdf Notice - Self-Regulatory Organizations; Chicago Stock Exchange, Inc.; Notice of Filing of Amendment No. 1 to a Proposed Rule Change To Amend the Schedule of Fees and Assessments To Adopt a Fee Schedule To Establish Fees for Industry Members Related to the National Market System Plan Governing the Consolidated Audit Trail https://regulations.justia.com/regulations/fedreg/2017/12/14/2017-26918.html https://regulations.justia.com/regulations/fedreg/2017/12/14/2017-26918.html Thu, 14 Dec 2017 00:00:00 -0800 2017-26918 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-12-14/pdf/2017-26918.pdf Notice - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing of Amendment No. 1 to a Proposed Rule Change to Adopt a Fee Schedule to Establish the Fees for Industry Members Related to the National Market System Plan Governing the Consolidated Audit Trail https://regulations.justia.com/regulations/fedreg/2017/12/14/2017-26917.html https://regulations.justia.com/regulations/fedreg/2017/12/14/2017-26917.html Thu, 14 Dec 2017 00:00:00 -0800 2017-26917 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-12-14/pdf/2017-26917.pdf Notice - Self-Regulatory Organizations; Nasdaq PHLX LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Exclude Options Overlying NDX From Several Pricing Programs https://regulations.justia.com/regulations/fedreg/2017/12/14/2017-26916.html https://regulations.justia.com/regulations/fedreg/2017/12/14/2017-26916.html Thu, 14 Dec 2017 00:00:00 -0800 2017-26916 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-12-14/pdf/2017-26916.pdf Notice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing of Amendment No. 2 and Order Approving on an Accelerated Basis a Proposed Rule Change, as Modified by Amendment No. 2, To List and Trade Shares of the GraniteShares Platinum Trust Under NYSE Arca Rule 8.201-E https://regulations.justia.com/regulations/fedreg/2017/12/14/2017-26915.html https://regulations.justia.com/regulations/fedreg/2017/12/14/2017-26915.html Thu, 14 Dec 2017 00:00:00 -0800 2017-26915 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-12-14/pdf/2017-26915.pdf Notice - Self-Regulatory Organizations; Cboe Futures Exchange, LLC; Notice of Filing of Proposed Rule Change Regarding CFE's New Trading System https://regulations.justia.com/regulations/fedreg/2017/12/14/2017-26914.html https://regulations.justia.com/regulations/fedreg/2017/12/14/2017-26914.html Thu, 14 Dec 2017 00:00:00 -0800 2017-26914 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-12-14/pdf/2017-26914.pdf Notice - Self-Regulatory Organizations; The Options Clearing Corporation; Notice of Filing of Advance Notice, as Modified by Amendment No. 1, Concerning the Adoption of a New Minimum Cash Requirement for the Clearing Fund https://regulations.justia.com/regulations/fedreg/2017/12/14/2017-26913.html https://regulations.justia.com/regulations/fedreg/2017/12/14/2017-26913.html Thu, 14 Dec 2017 00:00:00 -0800 2017-26913 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-12-14/pdf/2017-26913.pdf Notice - Self-Regulatory Organizations; Nasdaq PHLX LLC; Notice of Filing of Proposed Rule Change To Amend the Exchange Rules To Make Permanent a Program That Allows Transactions To Take Place in Open Outcry Trading at Prices of at Least $0 But Less Than $1 per Option Contract (“Sub-Dollar Cabinet Trades”) https://regulations.justia.com/regulations/fedreg/2017/12/14/2017-26912.html https://regulations.justia.com/regulations/fedreg/2017/12/14/2017-26912.html Thu, 14 Dec 2017 00:00:00 -0800 2017-26912 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-12-14/pdf/2017-26912.pdf Notice - Self-Regulatory Organizations; Cboe EDGX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Related to Transaction Fees for Exchange's Equity Trading Platform https://regulations.justia.com/regulations/fedreg/2017/12/14/2017-26911.html https://regulations.justia.com/regulations/fedreg/2017/12/14/2017-26911.html Thu, 14 Dec 2017 00:00:00 -0800 2017-26911 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-12-14/pdf/2017-26911.pdf Notice - Self-Regulatory Organizations; The Nasdaq Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the Exchange's Transaction Fees at Chapter XV, Section 2(1) https://regulations.justia.com/regulations/fedreg/2017/12/14/2017-26910.html https://regulations.justia.com/regulations/fedreg/2017/12/14/2017-26910.html Thu, 14 Dec 2017 00:00:00 -0800 2017-26910 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-12-14/pdf/2017-26910.pdf Notice - Self-Regulatory Organizations; Municipal Securities Rulemaking Board; Order Granting Approval of a Proposed Rule Change To Amend MSRB Form G-45 To Collect Additional Data About the Transactional Fees Primarily Assessed by Programs Established To Implement the ABLE Act https://regulations.justia.com/regulations/fedreg/2017/12/14/2017-26909.html https://regulations.justia.com/regulations/fedreg/2017/12/14/2017-26909.html Thu, 14 Dec 2017 00:00:00 -0800 2017-26909 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-12-14/pdf/2017-26909.pdf