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/2017/12/28?limit=200&registers=between&mode=atom 2025-01-02T17:24:32-08:00 Justia Inc https://www.justia.com/ Justia Regulations Tracker https://regulations.justia.com/images/justiafedregulations.gif Copyright 2011 Justia Inc https://regulations.justia.com/regulations/fedreg/2017/12/28/2017-28082.html Notice - Self-Regulatory Organizations; Cboe Exchange, Inc.; Order Approving a Proposed Rule Change To Amend Rule 6.56 To Include Procedures for Multi-Leg Positions 2017-12-28T00:00:00-08:00 2017-12-28T00:00:00-08:00 2017-28082 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-12-28/pdf/2017-28082.pdf https://regulations.justia.com/regulations/fedreg/2017/12/28/2017-28081.html Notice - Self-Regulatory Organizations; Nasdaq ISE, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the Schedule of Fees To Clarify the Market Maker Plus Program 2017-12-28T00:00:00-08:00 2017-12-28T00:00:00-08:00 2017-28081 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-12-28/pdf/2017-28081.pdf https://regulations.justia.com/regulations/fedreg/2017/12/28/2017-28080.html Notice - 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) and Rule 518, Complex Orders 2017-12-28T00:00:00-08:00 2017-12-28T00:00:00-08:00 2017-28080 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-12-28/pdf/2017-28080.pdf https://regulations.justia.com/regulations/fedreg/2017/12/28/2017-28079.html Notice - Self-Regulatory Organizations; MIAX PEARL, LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend MIAX PEARL Rule 510 To Extend the Penny Pilot Program 2017-12-28T00:00:00-08:00 2017-12-28T00:00:00-08:00 2017-28079 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-12-28/pdf/2017-28079.pdf https://regulations.justia.com/regulations/fedreg/2017/12/28/2017-28078.html Notice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing of Amendment No. 1, and Order Granting Approval on an Accelerated Basis of a Proposed Rule Change, as Modified by Amendments No. 1 and No. 3, to List and Trade of Shares of the Breakwave Dry Bulk Shipping ETF Under NYSE Arca Rule 8.200-E, Commentary .02 2017-12-28T00:00:00-08:00 2017-12-28T00:00:00-08:00 2017-28078 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-12-28/pdf/2017-28078.pdf https://regulations.justia.com/regulations/fedreg/2017/12/28/2017-28077.html Notice - Self-Regulatory Organizations; Cboe BZX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Rule 21.5, Minimum Increments, To Extend the Penny Pilot Program 2017-12-28T00:00:00-08:00 2017-12-28T00:00:00-08:00 2017-28077 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-12-28/pdf/2017-28077.pdf https://regulations.justia.com/regulations/fedreg/2017/12/28/2017-28076.html Notice - Self-Regulatory Organizations; Bats BZX Exchange, Inc.; Order Instituting Proceedings To Determine Whether To Approve or Disapprove a Proposed Rule Change, as Modified by Amendment No. 2 Thereto, 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 Shares 2017-12-28T00:00:00-08:00 2017-12-28T00:00:00-08:00 2017-28076 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-12-28/pdf/2017-28076.pdf https://regulations.justia.com/regulations/fedreg/2017/12/28/2017-28002.html Notice - Self-Regulatory Organizations; Cboe 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 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) 2017-12-28T00:00:00-08:00 2017-12-28T00:00:00-08:00 2017-28002 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-12-28/pdf/2017-28002.pdf https://regulations.justia.com/regulations/fedreg/2017/12/28/2017-28001.html Notice - Self-Regulatory Organizations; Fixed Income Clearing Corporation; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Eliminate the Development Fees From the Mortgage-Backed Securities Division Clearing Rules 2017-12-28T00:00:00-08:00 2017-12-28T00:00:00-08:00 2017-28001 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-12-28/pdf/2017-28001.pdf https://regulations.justia.com/regulations/fedreg/2017/12/28/2017-28000.html Notice - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Rules Relating to Investment Company Units, Index-Linked Securities and Managed Trust Securities 2017-12-28T00:00:00-08:00 2017-12-28T00:00:00-08:00 2017-28000 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-12-28/pdf/2017-28000.pdf https://regulations.justia.com/regulations/fedreg/2017/12/28/2017-27999.html Notice - Self-Regulatory Organizations; Cboe EDGX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Rule 21.5, Minimum Increments, To Extend the Penny Pilot Program 2017-12-28T00:00:00-08:00 2017-12-28T00:00:00-08:00 2017-27999 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-12-28/pdf/2017-27999.pdf https://regulations.justia.com/regulations/fedreg/2017/12/28/2017-27998.html Notice - Self-Regulatory Organizations; Cboe BZX Exchange, Inc.; Notice of Filing of a Proposed Rule Change To List and Trade Shares of the LHA Market State® Tactical U.S. Equity ETF, a Series of the ETF Series Solutions, Under Rule 14.11(i), Managed Fund Shares 2017-12-28T00:00:00-08:00 2017-12-28T00:00:00-08:00 2017-27998 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-12-28/pdf/2017-27998.pdf https://regulations.justia.com/regulations/fedreg/2017/12/28/2017-27997.html Notice - Self-Regulatory Organizations; The Depository Trust Company; National Securities Clearing Corporation; Fixed Income Clearing Corporation; Notice of Filing of Amendment No. 4, Notice of Filing Amendment No. 5, Notice of Filing Amendment No. 6, and Order Granting Accelerated Approval of Proposed Rule Changes, as Modified by Amendment Nos. 1, 3 and 6, To Adopt the Clearing Agency Liquidity Risk Management Framework 2017-12-28T00:00:00-08:00 2017-12-28T00:00:00-08:00 2017-27997 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-12-28/pdf/2017-27997.pdf https://regulations.justia.com/regulations/fedreg/2017/12/28/2017-27996.html Notice - Self-Regulatory Organizations; C2 Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Rule 6.4, Minimum Increments for Bids and Offers, To Extend the Penny Pilot Program 2017-12-28T00:00:00-08:00 2017-12-28T00:00:00-08:00 2017-27996 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-12-28/pdf/2017-27996.pdf https://regulations.justia.com/regulations/fedreg/2017/12/28/2017-27995.html Notice - Self-Regulatory Organizations; Cboe Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Rule 6.42, Minimum Increments for Bids and Offers, To Extend the Penny Pilot Program 2017-12-28T00:00:00-08:00 2017-12-28T00:00:00-08:00 2017-27995 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-12-28/pdf/2017-27995.pdf https://regulations.justia.com/regulations/fedreg/2017/12/28/2017-27994.html Notice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Withdrawal of a Proposed Rule Change, as Modified by Amendment No. 1, To Adopt NYSE Arca Rule 8.900-E 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 Rule 8.900-E 2017-12-28T00:00:00-08:00 2017-12-28T00:00:00-08:00 2017-27994 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-12-28/pdf/2017-27994.pdf https://regulations.justia.com/regulations/fedreg/2017/12/28/2017-27993.html Notice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing of Proposed Rule Change To List and Trade Shares of the Perth Mint Physical Gold ETF Trust Under NYSE Arca Rule 8.201-E 2017-12-28T00:00:00-08:00 2017-12-28T00:00:00-08:00 2017-27993 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-12-28/pdf/2017-27993.pdf https://regulations.justia.com/regulations/fedreg/2017/12/28/2017-27990.html Notice - Self-Regulatory Organizations; MIAX PEARL, LLC; Order Declaring Effective a Minor Rule Violation Plan 2017-12-28T00:00:00-08:00 2017-12-28T00:00:00-08:00 2017-27990 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-12-28/pdf/2017-27990.pdf https://regulations.justia.com/regulations/fedreg/2017/12/28/2017-27989.html Notice - Self-Regulatory Organizations; Miami International Securities Exchange, LLC; Order Declaring Effective a Minor Rule Violation Plan 2017-12-28T00:00:00-08:00 2017-12-28T00:00:00-08:00 2017-27989 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-12-28/pdf/2017-27989.pdf