Copyright Royalty Board, Library of Congress – Federal Register Recent Federal Regulation Documents

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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 FINRA Rule 6433 (Minimum Quotation Size Requirements for OTC Equity Securities)
Document Number: 2015-19869
Type: Notice
Date: 2015-08-13
Agency: Copyright Royalty Board, Library of Congress
https://regulations.justia.com/regulations/fedreg/2015/08/13/2015-19869.html
Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Update Public Disclosure of Exchange Usage of Market Data
Document Number: 2015-19868
Type: Notice
Date: 2015-08-13
Agency: Copyright Royalty Board, Library of Congress
https://regulations.justia.com/regulations/fedreg/2015/08/13/2015-19868.html
Sunshine Act Meeting
Document Number: 2015-19993
Type: Notice
Date: 2015-08-12
Agency: Copyright Royalty Board, Library of Congress
https://regulations.justia.com/regulations/fedreg/2015/08/12/2015-19993.html
Self-Regulatory Organizations; ICE Clear Credit, LLC; Order Approving Proposed Rule Change To Correct Inconsistent Provisions Regarding the Risk Management Subcommittee
Document Number: 2015-19764
Type: Notice
Date: 2015-08-12
Agency: Copyright Royalty Board, Library of Congress
https://regulations.justia.com/regulations/fedreg/2015/08/12/2015-19764.html
Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Order Approving a Proposed Rule Change To Adopt FINRA Rule 2272 To Govern Sales or Offers of Sales of Securities on the Premises of Any Military Installation to Members of the U.S. Armed Forces or Their Dependents
Document Number: 2015-19763
Type: Notice
Date: 2015-08-12
Agency: Copyright Royalty Board, Library of Congress
https://regulations.justia.com/regulations/fedreg/2015/08/12/2015-19763.html
Self-Regulatory Organizations; International Securities Exchange, LLC; Order Disapproving a Proposed Rule Change To Modify ISE's Opening Process
Document Number: 2015-19762
Type: Notice
Date: 2015-08-12
Agency: Copyright Royalty Board, Library of Congress
https://regulations.justia.com/regulations/fedreg/2015/08/12/2015-19762.html
Self-Regulatory Organizations; Miami International Securities Exchange, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Fee Schedule
Document Number: 2015-19761
Type: Notice
Date: 2015-08-12
Agency: Copyright Royalty Board, Library of Congress
https://regulations.justia.com/regulations/fedreg/2015/08/12/2015-19761.html
Self-Regulatory Organizations; Chicago Stock Exchange, Inc.; Notice of Designation of a Longer Period for Commission Action on a Proposed Rule Change To Implement CHX SNAPSM
Document Number: 2015-19760
Type: Notice
Date: 2015-08-12
Agency: Copyright Royalty Board, Library of Congress
https://regulations.justia.com/regulations/fedreg/2015/08/12/2015-19760.html
Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Order Approving a Proposed Rule Change To Amend FINRA Rules Regarding Temporary and Permanent Cease and Desist Orders
Document Number: 2015-19759
Type: Notice
Date: 2015-08-12
Agency: Copyright Royalty Board, Library of Congress
https://regulations.justia.com/regulations/fedreg/2015/08/12/2015-19759.html
Self-Regulatory Organizations; Municipal Securities Rulemaking Board; Order Instituting Proceedings To Determine Whether To Approve or Disapprove a Proposed Rule Change Consisting of Proposed New Rule G-42, on Duties of Non-Solicitor Municipal Advisors, and Proposed Amendments to Rule G-8, on Books and Records To Be Made by Brokers, Dealers, Municipal Securities Dealers, and Municipal Advisors
Document Number: 2015-19758
Type: Notice
Date: 2015-08-12
Agency: Copyright Royalty Board, Library of Congress
https://regulations.justia.com/regulations/fedreg/2015/08/12/2015-19758.html
Self-Regulatory Organizations; ICE Clear Europe Limited; Notice of Filing of Proposed Rule Change Relating to CDS End-of-Day Price Discovery Policy
Document Number: 2015-19757
Type: Notice
Date: 2015-08-12
Agency: Copyright Royalty Board, Library of Congress
https://regulations.justia.com/regulations/fedreg/2015/08/12/2015-19757.html
Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating To Amend Its Rules Related to Equipment and Communication on the Exchange's Trading Floor
Document Number: 2015-19756
Type: Notice
Date: 2015-08-12
Agency: Copyright Royalty Board, Library of Congress
https://regulations.justia.com/regulations/fedreg/2015/08/12/2015-19756.html
Sunshine Act Meeting
Document Number: 2015-19754
Type: Notice
Date: 2015-08-11
Agency: Copyright Royalty Board, Library of Congress
https://regulations.justia.com/regulations/fedreg/2015/08/11/2015-19754.html
Submission for OMB Review; Comment Request
Document Number: 2015-19649
Type: Notice
Date: 2015-08-11
Agency: Copyright Royalty Board, Library of Congress
https://regulations.justia.com/regulations/fedreg/2015/08/11/2015-19649.html
Proposed Collection; Comment Request
Document Number: 2015-19648
Type: Notice
Date: 2015-08-11
Agency: Copyright Royalty Board, Library of Congress
https://regulations.justia.com/regulations/fedreg/2015/08/11/2015-19648.html
Self-Regulatory Organizations; NYSE MKT LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending the NYSE Amex Options Fee Schedule To Modify the Securities That Are Subject to the NYSE Amex Options Market Maker Premium Product Fees
Document Number: 2015-19647
Type: Notice
Date: 2015-08-11
Agency: Copyright Royalty Board, Library of Congress
https://regulations.justia.com/regulations/fedreg/2015/08/11/2015-19647.html
Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Order Approving a Proposed Rule Change, as Modified by Amendment Nos. 1 and 2 Thereto, To List and Trade Shares of the Reaves Utilities ETF of ETFis Series Trust I
Document Number: 2015-19646
Type: Notice
Date: 2015-08-11
Agency: Copyright Royalty Board, Library of Congress
https://regulations.justia.com/regulations/fedreg/2015/08/11/2015-19646.html
Self-Regulatory Organizations; NYSE MKT LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending the NYSE Amex Options Fee Schedule To Discontinue the Market Access and Connectivity Subsidy
Document Number: 2015-19645
Type: Notice
Date: 2015-08-11
Agency: Copyright Royalty Board, Library of Congress
https://regulations.justia.com/regulations/fedreg/2015/08/11/2015-19645.html
Submission for OMB Review; Comment Request
Document Number: 2015-19644
Type: Notice
Date: 2015-08-11
Agency: Copyright Royalty Board, Library of Congress
https://regulations.justia.com/regulations/fedreg/2015/08/11/2015-19644.html
Self-Regulatory Organizations; Miami International Securities Exchange LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Its Fee Schedule
Document Number: 2015-19540
Type: Notice
Date: 2015-08-10
Agency: Copyright Royalty Board, Library of Congress
https://regulations.justia.com/regulations/fedreg/2015/08/10/2015-19540.html
Self-Regulatory Organizations; Municipal Securities Rulemaking Board; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Consisting of Revisions to the Electronic Municipal Market Access System, Real-Time Transaction Reporting System and Short-Term Obligation Rate Transparency System
Document Number: 2015-19539
Type: Notice
Date: 2015-08-10
Agency: Copyright Royalty Board, Library of Congress
https://regulations.justia.com/regulations/fedreg/2015/08/10/2015-19539.html
Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Allow Listed Companies To Opt in to Nasdaq's All-Inclusive Annual Listing Fee
Document Number: 2015-19538
Type: Notice
Date: 2015-08-10
Agency: Copyright Royalty Board, Library of Congress
https://regulations.justia.com/regulations/fedreg/2015/08/10/2015-19538.html
Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Regarding NASDAQ Last Sale Plus
Document Number: 2015-19537
Type: Notice
Date: 2015-08-10
Agency: Copyright Royalty Board, Library of Congress
https://regulations.justia.com/regulations/fedreg/2015/08/10/2015-19537.html
Self-Regulatory Organizations; New York Stock Exchange LLC; Order Instituting Proceedings To Determine Whether To Disapprove Proposed Rule Change Amending Sections 312.03(b) and 312.04 of the NYSE Listed Company Manual To Exempt Early Stage Companies From Having To Obtain Shareholder Approval Before Issuing Shares for Cash to Related Parties, Affiliates of Related Parties or Entities in Which a Related Party Has a Substantial Interest
Document Number: 2015-19536
Type: Notice
Date: 2015-08-10
Agency: Copyright Royalty Board, Library of Congress
https://regulations.justia.com/regulations/fedreg/2015/08/10/2015-19536.html
Self-Regulatory Organizations; EDGX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Related to Fees for Use of EDGX Exchange, Inc.
Document Number: 2015-19535
Type: Notice
Date: 2015-08-10
Agency: Copyright Royalty Board, Library of Congress
https://regulations.justia.com/regulations/fedreg/2015/08/10/2015-19535.html
Self-Regulatory Organizations; EDGA Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Related to Fees for Use of EDGA Exchange, Inc.
Document Number: 2015-19534
Type: Notice
Date: 2015-08-10
Agency: Copyright Royalty Board, Library of Congress
https://regulations.justia.com/regulations/fedreg/2015/08/10/2015-19534.html
Interpretation of the SEC's Whistleblower Rules Under Section 21F of the Securities Exchange Act of 1934
Document Number: 2015-19508
Type: Rule
Date: 2015-08-10
Agency: Copyright Royalty Board, Library of Congress
The Securities and Exchange Commission (Commission or SEC) is issuing this interpretive rule to clarify that, for purposes of the employment retaliation protections provided by Section 21F of the Securities Exchange Act of 1934 (``Exchange Act''), an individual's status as a whistleblower does not depend on adherence to the reporting procedures specified in Exchange Act Rule 21F-9(a), but is determined solely by the terms of Exchange Act Rule 21F-2(b)(1).
https://regulations.justia.com/regulations/fedreg/2015/08/10/2015-19508.html
In the Matter of Solar Acquisition Corp., Order of Suspension of Trading
Document Number: 2015-19572
Type: Notice
Date: 2015-08-07
Agency: Copyright Royalty Board, Library of Congress
https://regulations.justia.com/regulations/fedreg/2015/08/07/2015-19572.html
In the Matter of PDK Energy, Inc.; Order of Suspension of Trading
Document Number: 2015-19569
Type: Notice
Date: 2015-08-07
Agency: Copyright Royalty Board, Library of Congress
https://regulations.justia.com/regulations/fedreg/2015/08/07/2015-19569.html
Notice of Applications for Deregistration Under Section 8(f) of the Investment Company Act of 1940
Document Number: 2015-19383
Type: Notice
Date: 2015-08-07
Agency: Copyright Royalty Board, Library of Congress
Each applicant, a closed-end investment company, seeks an order declaring that it has ceased to be an investment company. Applicants transferred their assets to Nuveen Dow 30sm Dynamic Overwrite Fund, and on December 22, 2014, made distributions to their shareholders based on net asset value. Expenses of $536,640 incurred in connection with the reorganization were paid by applicants. Filing Date: The applications were filed on June 26, 2015. Applicants' Address: 333 West Wacker Dr., Chicago, IL 60606.
https://regulations.justia.com/regulations/fedreg/2015/08/07/2015-19383.html
Self-Regulatory Organizations; CBOE Futures Exchange, LLC; Notice of Proposed Rule Change Regarding Disruptive Trading Practices
Document Number: 2015-19382
Type: Notice
Date: 2015-08-07
Agency: Copyright Royalty Board, Library of Congress
https://regulations.justia.com/regulations/fedreg/2015/08/07/2015-19382.html
Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing of a Proposed Rule Change to Require an Indicator When a TRACE Report Does Not Reflect a Commission or Mark-Up/Mark-Down
Document Number: 2015-19381
Type: Notice
Date: 2015-08-07
Agency: Copyright Royalty Board, Library of Congress
https://regulations.justia.com/regulations/fedreg/2015/08/07/2015-19381.html
Self-Regulatory Organizations; Chicago Mercantile Exchange Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Expand Performance Bond Collateral Program To Include Australian Government Debt, Singapore Government Debt, and Ontario and Quebec Canadian Provincial Debt
Document Number: 2015-19290
Type: Notice
Date: 2015-08-06
Agency: Copyright Royalty Board, Library of Congress
https://regulations.justia.com/regulations/fedreg/2015/08/06/2015-19290.html
Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Order Approving a Proposed Rule Change To Provide a Web-Based Delivery Method for Completing the Regulatory Element of the Continuing Education Requirements
Document Number: 2015-19289
Type: Notice
Date: 2015-08-06
Agency: Copyright Royalty Board, Library of Congress
https://regulations.justia.com/regulations/fedreg/2015/08/06/2015-19289.html
Self-Regulatory Organizations; New York Stock Exchange, LLC; Order Granting Approval of a Proposed Rule Change Making Permanent the Rules of the NYSE New Market Model Pilot and the NYSE Supplemental Liquidity Providers Pilot
Document Number: 2015-19288
Type: Notice
Date: 2015-08-06
Agency: Copyright Royalty Board, Library of Congress
https://regulations.justia.com/regulations/fedreg/2015/08/06/2015-19288.html
In the Matter of Wonder International Education and Investment Group Corp.; Order of Suspension of Trading
Document Number: 2015-19311
Type: Notice
Date: 2015-08-05
Agency: Copyright Royalty Board, Library of Congress
https://regulations.justia.com/regulations/fedreg/2015/08/05/2015-19311.html
Self-Regulatory Organizations; NASDAQ OMX PHLX LLC; Notice of Designation of a Longer Period for Commission Action on a Proposed Rule Change To Amend and Correct Rule 1080.07
Document Number: 2015-19136
Type: Notice
Date: 2015-08-05
Agency: Copyright Royalty Board, Library of Congress
https://regulations.justia.com/regulations/fedreg/2015/08/05/2015-19136.html
Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Designation of a Longer Period for Commission Action on Proceedings to Determine Whether to Approve or Disapprove a Proposed Rule Change Amending NYSE Arca Equities Rule 5.2(j)(3), Commentary .02 Relating to Listing of Investment Company Units Based on Municipal Bond Indexes
Document Number: 2015-19135
Type: Notice
Date: 2015-08-05
Agency: Copyright Royalty Board, Library of Congress
https://regulations.justia.com/regulations/fedreg/2015/08/05/2015-19135.html
Self-Regulatory Organizations; NASDAQ OMX BX, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Rule 4703(a)
Document Number: 2015-19134
Type: Notice
Date: 2015-08-05
Agency: Copyright Royalty Board, Library of Congress
https://regulations.justia.com/regulations/fedreg/2015/08/05/2015-19134.html
Self-Regulatory Organizations; BATS Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Delay Implementation of SR-BATS-2015-51
Document Number: 2015-19133
Type: Notice
Date: 2015-08-05
Agency: Copyright Royalty Board, Library of Congress
https://regulations.justia.com/regulations/fedreg/2015/08/05/2015-19133.html
Self-Regulatory Organizations; NYSE Arca, Inc.; Order Approving a Proposed Rule Change, as Modified by Amendments No. 1 and No. 2, To List and Trade of Shares of Newfleet Multi-Sector Unconstrained Bond ETF Under NYSE Arca Equities Rule 8.600
Document Number: 2015-19132
Type: Notice
Date: 2015-08-05
Agency: Copyright Royalty Board, Library of Congress
https://regulations.justia.com/regulations/fedreg/2015/08/05/2015-19132.html
Self-Regulatory Organizations; NASDAQ OMX PHLX LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Rule 3301B(a)
Document Number: 2015-19131
Type: Notice
Date: 2015-08-05
Agency: Copyright Royalty Board, Library of Congress
https://regulations.justia.com/regulations/fedreg/2015/08/05/2015-19131.html
Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Update Rule Cross-References and Make Non-Substantive Technical Changes to Certain FINRA Rules
Document Number: 2015-19130
Type: Notice
Date: 2015-08-05
Agency: Copyright Royalty Board, Library of Congress
https://regulations.justia.com/regulations/fedreg/2015/08/05/2015-19130.html
Self-Regulatory Organizations; NYSE MKT LLC; Notice of Filing of Proposed Rule Change Amending the NYSE MKT Trades Market Data Product Offering
Document Number: 2015-19129
Type: Notice
Date: 2015-08-05
Agency: Copyright Royalty Board, Library of Congress
https://regulations.justia.com/regulations/fedreg/2015/08/05/2015-19129.html
Self-Regulatory Organizations; NASDAQ OMX PHLX LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to a Delay of Implementation Related to the Volume-Based and Multi-Trigger Thresholds
Document Number: 2015-19128
Type: Notice
Date: 2015-08-05
Agency: Copyright Royalty Board, Library of Congress
https://regulations.justia.com/regulations/fedreg/2015/08/05/2015-19128.html
Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend NASDAQ Rule 7015(b) and (g) To Modify Port Fees
Document Number: 2015-19127
Type: Notice
Date: 2015-08-05
Agency: Copyright Royalty Board, Library of Congress
https://regulations.justia.com/regulations/fedreg/2015/08/05/2015-19127.html
Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing of Proposed Rule Change Amending the NYSE Trades Market Data Product Offering
Document Number: 2015-19126
Type: Notice
Date: 2015-08-05
Agency: Copyright Royalty Board, Library of Congress
https://regulations.justia.com/regulations/fedreg/2015/08/05/2015-19126.html
Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing of Proposed Rule Change Relating to the Listing and Trading of the Shares of the PowerShares High Income Downside Hedged Portfolio a series of the PowerShares Actively Managed Exchange-Traded Fund Trust
Document Number: 2015-19125
Type: Notice
Date: 2015-08-05
Agency: Copyright Royalty Board, Library of Congress
https://regulations.justia.com/regulations/fedreg/2015/08/05/2015-19125.html
Self-Regulatory Organizations; National Stock Exchange, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Exchange Rule 11.21, Short Sales, To Describe the Exchange's Implementation of Rule 201 of Regulation SHO Under the Securities Exchange Act of 1934 and Relocate Certain Text From Rule 11.11, Orders and Modifiers; and Amending Rule 13.2 To Incorporate by Reference Rules 200, 203 and 204 of Regulation SHO
Document Number: 2015-19124
Type: Notice
Date: 2015-08-05
Agency: Copyright Royalty Board, Library of Congress
https://regulations.justia.com/regulations/fedreg/2015/08/05/2015-19124.html
Self-Regulatory Organizations; NYSE MKT LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Extending the Pilot Period Applicable to the Customer Best Execution Auction per Rule 971.1NY Until July 18, 2016
Document Number: 2015-17759
Type: Notice
Date: 2015-08-05
Agency: Copyright Royalty Board, Library of Congress
https://regulations.justia.com/regulations/fedreg/2015/08/05/2015-17759.html
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