<![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/2017/12/20?registers=between Wed, 13 Aug 2025 09:21:16 -0700 Wed, 13 Aug 2025 09:21:16 -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/2017/12/20?registers=between Notice - Consulting Group Capital Markets Funds and Consulting Group Advisory Services LLC https://regulations.justia.com/regulations/fedreg/2017/12/20/2017-27430.html https://regulations.justia.com/regulations/fedreg/2017/12/20/2017-27430.html Wed, 20 Dec 2017 00:00:00 -0800 2017-27430 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-12-20/pdf/2017-27430.pdf Notice - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Designation of Longer Period for Commission Action on Proceedings To Determine Whether To Approve or Disapprove a Proposed Rule Change, as Modified by Amendment No. 3, To Amend Section 102.01B of the NYSE Listed Company Manual To Provide for the Listing of Companies That List Without a Prior Exchange Act Registration and That Are Not Listing in Connection With an Underwritten Initial Public Offering and Related Changes to Rules 15, 104, and 123D https://regulations.justia.com/regulations/fedreg/2017/12/20/2017-27351.html https://regulations.justia.com/regulations/fedreg/2017/12/20/2017-27351.html Wed, 20 Dec 2017 00:00:00 -0800 2017-27351 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-12-20/pdf/2017-27351.pdf Notice - Self-Regulatory Organizations; Cboe EDGX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Rule 19.6, Series of Options Contracts Open for Trading https://regulations.justia.com/regulations/fedreg/2017/12/20/2017-27350.html https://regulations.justia.com/regulations/fedreg/2017/12/20/2017-27350.html Wed, 20 Dec 2017 00:00:00 -0800 2017-27350 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-12-20/pdf/2017-27350.pdf Notice - Self-Regulatory Organizations; Cboe BZX Exchange, Inc.; Notice of Filing of a Proposed Rule Change To List and Trade the Common Shares of Beneficial Interest of the PowerShares Income Builder Portfolio, a Series of PowerShares Exchange-Traded Fund Trust II https://regulations.justia.com/regulations/fedreg/2017/12/20/2017-27349.html https://regulations.justia.com/regulations/fedreg/2017/12/20/2017-27349.html Wed, 20 Dec 2017 00:00:00 -0800 2017-27349 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-12-20/pdf/2017-27349.pdf Notice - Self-Regulatory Organizations; The Nasdaq Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Rule 4120 (Limit Up-Limit Down Plan and Trading Halts) To Reduce the Length of the “Display-Only Period” for the Initial Pricing on Nasdaq of a Security That Is the Subject of an Initial Public Offering https://regulations.justia.com/regulations/fedreg/2017/12/20/2017-27348.html https://regulations.justia.com/regulations/fedreg/2017/12/20/2017-27348.html Wed, 20 Dec 2017 00:00:00 -0800 2017-27348 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-12-20/pdf/2017-27348.pdf Notice - Self-Regulatory Organizations; Nasdaq GEMX, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Primary Market Maker Obligations https://regulations.justia.com/regulations/fedreg/2017/12/20/2017-27347.html https://regulations.justia.com/regulations/fedreg/2017/12/20/2017-27347.html Wed, 20 Dec 2017 00:00:00 -0800 2017-27347 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-12-20/pdf/2017-27347.pdf Notice - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Rule 300 https://regulations.justia.com/regulations/fedreg/2017/12/20/2017-27346.html https://regulations.justia.com/regulations/fedreg/2017/12/20/2017-27346.html Wed, 20 Dec 2017 00:00:00 -0800 2017-27346 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-12-20/pdf/2017-27346.pdf Notice - Self-Regulatory Organizations; Nasdaq MRX, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Primary Market Maker Obligations https://regulations.justia.com/regulations/fedreg/2017/12/20/2017-27345.html https://regulations.justia.com/regulations/fedreg/2017/12/20/2017-27345.html Wed, 20 Dec 2017 00:00:00 -0800 2017-27345 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-12-20/pdf/2017-27345.pdf Notice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Designation of a Longer Period for Commission Action on Proposed Rule Change, as Modified by Amendment No. 1, To List and Trade Shares of the Hartford Schroders Tax-Aware Bond ETF Under NYSE Arca Rule 8.600-E https://regulations.justia.com/regulations/fedreg/2017/12/20/2017-27344.html https://regulations.justia.com/regulations/fedreg/2017/12/20/2017-27344.html Wed, 20 Dec 2017 00:00:00 -0800 2017-27344 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-12-20/pdf/2017-27344.pdf Notice - Self-Regulatory Organizations; Nasdaq PHLX LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Specialist Obligations https://regulations.justia.com/regulations/fedreg/2017/12/20/2017-27343.html https://regulations.justia.com/regulations/fedreg/2017/12/20/2017-27343.html Wed, 20 Dec 2017 00:00:00 -0800 2017-27343 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-12-20/pdf/2017-27343.pdf Notice - Self-Regulatory Organizations; Municipal Securities Rulemaking Board; Order Granting Accelerated Approval of a Proposed Rule Change, as Modified by Amendment No. 1, Consisting of Proposed Amendments to MSRB Rule G-34, on CUSIP Numbers, New Issue, and Market Information Requirements https://regulations.justia.com/regulations/fedreg/2017/12/20/2017-27342.html https://regulations.justia.com/regulations/fedreg/2017/12/20/2017-27342.html Wed, 20 Dec 2017 00:00:00 -0800 2017-27342 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-12-20/pdf/2017-27342.pdf Notice - Self-Regulatory Organizations; Nasdaq ISE, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the Calculation of the Member Order Routing Program https://regulations.justia.com/regulations/fedreg/2017/12/20/2017-27340.html https://regulations.justia.com/regulations/fedreg/2017/12/20/2017-27340.html Wed, 20 Dec 2017 00:00:00 -0800 2017-27340 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-12-20/pdf/2017-27340.pdf Notice - Self-Regulatory Organizations; Nasdaq GEMX, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the Market Access and Routing Subsidy Program https://regulations.justia.com/regulations/fedreg/2017/12/20/2017-27339.html https://regulations.justia.com/regulations/fedreg/2017/12/20/2017-27339.html Wed, 20 Dec 2017 00:00:00 -0800 2017-27339 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-12-20/pdf/2017-27339.pdf Notice - Self-Regulatory Organizations; Nasdaq ISE, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Primary Market Maker Obligations https://regulations.justia.com/regulations/fedreg/2017/12/20/2017-27338.html https://regulations.justia.com/regulations/fedreg/2017/12/20/2017-27338.html Wed, 20 Dec 2017 00:00:00 -0800 2017-27338 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-12-20/pdf/2017-27338.pdf Notice - Ausdal Financial Partners, Inc. and Ausdal Unit Investment Trust https://regulations.justia.com/regulations/fedreg/2017/12/20/2017-27337.html https://regulations.justia.com/regulations/fedreg/2017/12/20/2017-27337.html Wed, 20 Dec 2017 00:00:00 -0800 2017-27337 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-12-20/pdf/2017-27337.pdf