Federal Register Recent Federal Regulation Documents - Justia Regulation Tracker - Justia Regulations Trackerhttps://regulations.justia.com/regulations/fedreg/agencies/securities-and-exchange-commission/2015/01?limit=200®isters=between&min-day=1&max-day=31&mode=atom2024-05-23T21:52:18-07:00Justia Inchttps://www.justia.com/Justia Regulations Trackerhttps://regulations.justia.com/images/justiafedregulations.gifCopyright 2011 Justia Inchttps://regulations.justia.com/regulations/fedreg/2015/01/30/2015-01791.htmlNotice - Self-Regulatory Organizations; Fixed Income Clearing Corporation; National Securities Clearing Corporation; the Depository Trust Company; Notice of No Objection to Advance Notices, as Amended, To Amend and Restate the Third Amended and Restated Shareholders Agreement, Dated as of December 7, 20052015-01-30T00:00:00-08:002015-01-30T00:00:00-08:002015-01791Noticehttp://www.gpo.gov/fdsys/pkg/FR-2015-01-30/pdf/2015-01791.pdfhttps://regulations.justia.com/regulations/fedreg/2015/01/30/2015-01755.htmlNotice - Self-Regulatory Organizations; The Options Clearing Corporation; Notice of Filing of a Proposed Rule Change Concerning a Proposed Capital Plan for Raising Additional Capital That Would Support the Options Clearing Corporation's Function as a Systemically Important Financial Market Utility2015-01-30T00:00:00-08:002015-01-30T00:00:00-08:002015-01755Noticehttp://www.gpo.gov/fdsys/pkg/FR-2015-01-30/pdf/2015-01755.pdfhttps://regulations.justia.com/regulations/fedreg/2015/01/30/2015-01754.htmlNotice - Self-Regulatory Organizations; C2 Options Exchange, Incorporated; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the Fees Schedule2015-01-30T00:00:00-08:002015-01-30T00:00:00-08:002015-01754Noticehttp://www.gpo.gov/fdsys/pkg/FR-2015-01-30/pdf/2015-01754.pdfhttps://regulations.justia.com/regulations/fedreg/2015/01/30/2015-01753.htmlNotice - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the Fees Schedule2015-01-30T00:00:00-08:002015-01-30T00:00:00-08:002015-01753Noticehttp://www.gpo.gov/fdsys/pkg/FR-2015-01-30/pdf/2015-01753.pdfhttps://regulations.justia.com/regulations/fedreg/2015/01/30/2015-01752.htmlNotice - Self-Regulatory Organizations; ICE Clear Europe Limited; Notice of Filing and Order Granting Accelerated Approval of Proposed Rule Change Related to New Haircuts2015-01-30T00:00:00-08:002015-01-30T00:00:00-08:002015-01752Noticehttp://www.gpo.gov/fdsys/pkg/FR-2015-01-30/pdf/2015-01752.pdfhttps://regulations.justia.com/regulations/fedreg/2015/01/30/2015-01750.htmlNotice - Goldman Sachs ETF Trust, et al.; Notice of Application2015-01-30T00:00:00-08:002015-01-30T00:00:00-08:002015-01750Noticehttp://www.gpo.gov/fdsys/pkg/FR-2015-01-30/pdf/2015-01750.pdfhttps://regulations.justia.com/regulations/fedreg/2015/01/30/2015-01749.htmlNotice - Goldman Sachs ETF Trust, et al.; Notice of Application2015-01-30T00:00:00-08:002015-01-30T00:00:00-08:002015-01749Noticehttp://www.gpo.gov/fdsys/pkg/FR-2015-01-30/pdf/2015-01749.pdfhttps://regulations.justia.com/regulations/fedreg/2015/01/30/2015-01748.htmlNotice - Self-Regulatory Organizations; Miami International Securities Exchange LLC; Notice of Filing of a Proposed Rule Change To Amend MIAX Rule 4022015-01-30T00:00:00-08:002015-01-30T00:00:00-08:002015-01748Noticehttp://www.gpo.gov/fdsys/pkg/FR-2015-01-30/pdf/2015-01748.pdfhttps://regulations.justia.com/regulations/fedreg/2015/01/30/2015-01747.htmlNotice - Self-Regulatory Organizations; Fixed Income Clearing Corporation; Order Approving Proposed Rule Change To Amend the Government Securities Division Rulebook and the Mortgage Backed Securities Clearing Rules In Order To Move the Time of Novation With Respect to Certain Trades, Include Rules To Reflect Existing Processes, and Clarify Certain Rules To Reflect Current Practices2015-01-30T00:00:00-08:002015-01-30T00:00:00-08:002015-01747Noticehttp://www.gpo.gov/fdsys/pkg/FR-2015-01-30/pdf/2015-01747.pdfhttps://regulations.justia.com/regulations/fedreg/2015/01/29/2015-01648.htmlNotice - Self-Regulatory Organizations; NASDAQ OMX BX, Inc.; Order Approving Proposed Rule Change Relating to Directed Market Makers2015-01-29T00:00:00-08:002015-01-29T00:00:00-08:002015-01648Noticehttp://www.gpo.gov/fdsys/pkg/FR-2015-01-29/pdf/2015-01648.pdfhttps://regulations.justia.com/regulations/fedreg/2015/01/29/2015-01647.htmlNotice - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Establishing the NYSE Integrated Feed Data Feed2015-01-29T00:00:00-08:002015-01-29T00:00:00-08:002015-01647Noticehttp://www.gpo.gov/fdsys/pkg/FR-2015-01-29/pdf/2015-01647.pdfhttps://regulations.justia.com/regulations/fedreg/2015/01/29/2015-01646.htmlNotice - Self-Regulatory Organizations; NYSE MKT LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Establishing the NYSE MKT Integrated Feed Data Feed2015-01-29T00:00:00-08:002015-01-29T00:00:00-08:002015-01646Noticehttp://www.gpo.gov/fdsys/pkg/FR-2015-01-29/pdf/2015-01646.pdfhttps://regulations.justia.com/regulations/fedreg/2015/01/29/2015-01645.htmlNotice - Self-Regulatory Organizations; International Securities Exchange, LLC; Notice of Designation of Longer Period for Commission Action on Proposed Rule Change To Modify the Opening Process2015-01-29T00:00:00-08:002015-01-29T00:00:00-08:002015-01645Noticehttp://www.gpo.gov/fdsys/pkg/FR-2015-01-29/pdf/2015-01645.pdfhttps://regulations.justia.com/regulations/fedreg/2015/01/29/2015-01644.htmlNotice - Self-Regulatory Organizations; NASDAQ OMX PHLX LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to MNX and NDX2015-01-29T00:00:00-08:002015-01-29T00:00:00-08:002015-01644Noticehttp://www.gpo.gov/fdsys/pkg/FR-2015-01-29/pdf/2015-01644.pdfhttps://regulations.justia.com/regulations/fedreg/2015/01/28/2015-01512.htmlNotice - Proposed Collection; Comment Request2015-01-28T00:00:00-08:002015-01-28T00:00:00-08:002015-01512Noticehttp://www.gpo.gov/fdsys/pkg/FR-2015-01-28/pdf/2015-01512.pdfhttps://regulations.justia.com/regulations/fedreg/2015/01/28/2015-01511.htmlNotice - Submission for OMB Review; Comment Request2015-01-28T00:00:00-08:002015-01-28T00:00:00-08:002015-01511Noticehttp://www.gpo.gov/fdsys/pkg/FR-2015-01-28/pdf/2015-01511.pdfhttps://regulations.justia.com/regulations/fedreg/2015/01/28/2015-01510.htmlNotice - Self-Regulatory Organizations; Miami International Securities Exchange LLC; Notice of Filing of a Proposed Rule Change, as Modified by Amendment No. 1 Thereto, To Adopt Rule 519A Risk Protection Monitor2015-01-28T00:00:00-08:002015-01-28T00:00:00-08:002015-01510Noticehttp://www.gpo.gov/fdsys/pkg/FR-2015-01-28/pdf/2015-01510.pdfhttps://regulations.justia.com/regulations/fedreg/2015/01/28/2015-01509.htmlNotice - Self-Regulatory Organizations; International Securities Exchange, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the Schedule of Fees2015-01-28T00:00:00-08:002015-01-28T00:00:00-08:002015-01509Noticehttp://www.gpo.gov/fdsys/pkg/FR-2015-01-28/pdf/2015-01509.pdfhttps://regulations.justia.com/regulations/fedreg/2015/01/28/2015-01508.htmlNotice - Self-Regulatory Organizations; BOX Options Exchange LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Implement an Equity Rights Program2015-01-28T00:00:00-08:002015-01-28T00:00:00-08:002015-01508Noticehttp://www.gpo.gov/fdsys/pkg/FR-2015-01-28/pdf/2015-01508.pdfhttps://regulations.justia.com/regulations/fedreg/2015/01/28/2015-01507.htmlNotice - Self-Regulatory Organizations; ISE Gemini, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the Schedule of Fees2015-01-28T00:00:00-08:002015-01-28T00:00:00-08:002015-01507Noticehttp://www.gpo.gov/fdsys/pkg/FR-2015-01-28/pdf/2015-01507.pdfhttps://regulations.justia.com/regulations/fedreg/2015/01/28/2015-01506.htmlNotice - Self-Regulatory Organizations; BATS Y-Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Extend the Pilot Period for BATS Y-Exchange, Inc.'s Retail Price Improvement (“RPI”) Program for 12 Months, To Expire on January 31, 20162015-01-28T00:00:00-08:002015-01-28T00:00:00-08:002015-01506Noticehttp://www.gpo.gov/fdsys/pkg/FR-2015-01-28/pdf/2015-01506.pdfhttps://regulations.justia.com/regulations/fedreg/2015/01/27/2015-01519.htmlNotice - Sunshine Act Meeting2015-01-27T00:00:00-08:002015-01-27T00:00:00-08:002015-01519Noticehttp://www.gpo.gov/fdsys/pkg/FR-2015-01-27/pdf/2015-01519.pdfhttps://regulations.justia.com/regulations/fedreg/2015/01/27/2015-01426.htmlNotice - Automated Matching Systems Exchange, LLC; Notice of Designation of a Longer Period for Commission Action on Proceedings To Determine Whether To Grant or Deny a Limited Volume Exemption From Registration as a National Securities Exchange Under Section 5 of the Securities Exchange Act of 19342015-01-27T00:00:00-08:002015-01-27T00:00:00-08:002015-01426Noticehttp://www.gpo.gov/fdsys/pkg/FR-2015-01-27/pdf/2015-01426.pdfhttps://regulations.justia.com/regulations/fedreg/2015/01/27/2015-01425.htmlNotice - Self-Regulatory Organization; BATS Y-Exchange, Inc.; Order Granting an Extension to Limited Exemption From Rule 612(c) of Regulation NMS in Connection With the Exchange's Retail Price Improvement Program2015-01-27T00:00:00-08:002015-01-27T00:00:00-08:002015-01425Noticehttp://www.gpo.gov/fdsys/pkg/FR-2015-01-27/pdf/2015-01425.pdfhttps://regulations.justia.com/regulations/fedreg/2015/01/27/2015-01384.htmlNotice - Joint Industry Plan; Notice of Filing of the Eighth Amendment to the National Market System Plan To Address Extraordinary Market Volatility by BATS Exchange, Inc., BATS Y-Exchange, Inc., Chicago Board Options Exchange, Inc., Chicago Stock Exchange, Inc., EDGA Exchange, Inc., EDGX Exchange, Inc., Financial Industry Regulatory Authority, Inc., NASDAQ OMX BX, Inc., NASDAQ OMX PHLX LLC, The Nasdaq Stock Market LLC, National Stock Exchange, Inc., New York Stock Exchange LLC, NYSE MKT LLC, and NYSE Arca, Inc.2015-01-27T00:00:00-08:002015-01-27T00:00:00-08:002015-01384Noticehttp://www.gpo.gov/fdsys/pkg/FR-2015-01-27/pdf/2015-01384.pdfhttps://regulations.justia.com/regulations/fedreg/2015/01/27/2015-01377.htmlNotice - Proposed Collection; Comment Request2015-01-27T00:00:00-08:002015-01-27T00:00:00-08:002015-01377Noticehttp://www.gpo.gov/fdsys/pkg/FR-2015-01-27/pdf/2015-01377.pdfhttps://regulations.justia.com/regulations/fedreg/2015/01/27/2015-01376.htmlNotice - Self-Regulatory Organizations; NYSE Arca, Inc.; Order Approving a Proposed Rule Change To List and Trade Shares of the IQ Wilshire Alternative Strategies ETF Under NYSE Arca Equities Rule 8.6002015-01-27T00:00:00-08:002015-01-27T00:00:00-08:002015-01376Noticehttp://www.gpo.gov/fdsys/pkg/FR-2015-01-27/pdf/2015-01376.pdfhttps://regulations.justia.com/regulations/fedreg/2015/01/27/2015-01375.htmlNotice - Self-Regulatory Organizations; NASDAQ OMX BX; Notice of Filing and Immediate Effectiveness of a Proposed Rule Changes To Amend Rule 7018 To Amend Fees and Rebates in Connection With BX's Retail Price Improvement Program2015-01-27T00:00:00-08:002015-01-27T00:00:00-08:002015-01375Noticehttp://www.gpo.gov/fdsys/pkg/FR-2015-01-27/pdf/2015-01375.pdfhttps://regulations.justia.com/regulations/fedreg/2015/01/26/2015-01275.htmlNotice - Investor Advisory Committee Meeting2015-01-26T00:00:00-08:002015-01-26T00:00:00-08:002015-01275Noticehttp://www.gpo.gov/fdsys/pkg/FR-2015-01-26/pdf/2015-01275.pdfhttps://regulations.justia.com/regulations/fedreg/2015/01/26/2015-01252.htmlNotice - Self-Regulatory Organizations; NASDAQ OMX PHLX LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to SPY Pilot Program2015-01-26T00:00:00-08:002015-01-26T00:00:00-08:002015-01252Noticehttp://www.gpo.gov/fdsys/pkg/FR-2015-01-26/pdf/2015-01252.pdfhttps://regulations.justia.com/regulations/fedreg/2015/01/26/2015-01251.htmlNotice - Self-Regulatory Organizations; National Securities Clearing Corporation; Order Approving Proposed Rule Change To Amend NSCC's Rules and Procedures in Connection With the Discontinuance of the Analytic Reporting Service2015-01-26T00:00:00-08:002015-01-26T00:00:00-08:002015-01251Noticehttp://www.gpo.gov/fdsys/pkg/FR-2015-01-26/pdf/2015-01251.pdfhttps://regulations.justia.com/regulations/fedreg/2015/01/26/2015-01250.htmlNotice - Self-Regulatory Organizations; NASDAQ OMX BX, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Regarding BX LMM and Penny Pilot Options2015-01-26T00:00:00-08:002015-01-26T00:00:00-08:002015-01250Noticehttp://www.gpo.gov/fdsys/pkg/FR-2015-01-26/pdf/2015-01250.pdfhttps://regulations.justia.com/regulations/fedreg/2015/01/26/2015-01249.htmlNotice - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Order Approving a Proposed Rule Change Relating to the NASDAQ Opening and Halt Cross2015-01-26T00:00:00-08:002015-01-26T00:00:00-08:002015-01249Noticehttp://www.gpo.gov/fdsys/pkg/FR-2015-01-26/pdf/2015-01249.pdfhttps://regulations.justia.com/regulations/fedreg/2015/01/26/2015-01248.htmlNotice - Self-Regulatory Organizations: Miami International Securities Exchange LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Implement an Equity Rights Program2015-01-26T00:00:00-08:002015-01-26T00:00:00-08:002015-01248Noticehttp://www.gpo.gov/fdsys/pkg/FR-2015-01-26/pdf/2015-01248.pdfhttps://regulations.justia.com/regulations/fedreg/2015/01/26/2015-01247.htmlNotice - Self-Regulatory Organizations; NYSE MKT LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Rule 123C-Equities To Specify That Exchange Systems May Close One or More Securities Electronically If a Designated Market Maker Registered in a Security or Securities Cannot Facilitate the Close of Trading as Required by Exchange Rules2015-01-26T00:00:00-08:002015-01-26T00:00:00-08:002015-01247Noticehttp://www.gpo.gov/fdsys/pkg/FR-2015-01-26/pdf/2015-01247.pdfhttps://regulations.justia.com/regulations/fedreg/2015/01/26/2015-01246.htmlNotice - Self-Regulatory Organizations; NYSE Arca, Inc.; Order Approving a Proposed Rule Change, as Modified by Amendment No. 1, Relating to the Listing and Trading of Shares of the AdvisorShares Pacific Asset Enhanced Floating Rate ETF Under NYSE Arca Equities Rule 8.6002015-01-26T00:00:00-08:002015-01-26T00:00:00-08:002015-01246Noticehttp://www.gpo.gov/fdsys/pkg/FR-2015-01-26/pdf/2015-01246.pdfhttps://regulations.justia.com/regulations/fedreg/2015/01/26/2015-01245.htmlNotice - Self-Regulatory Organizations; The Options Clearing Corporation; Notice of Filing of an Advance Notice, and Amendment No. 1 Thereto, To Establish Procedures Regarding the Monthly Resizing of its Clearing Fund and the Addition of Financial Resources2015-01-26T00:00:00-08:002015-01-26T00:00:00-08:002015-01245Noticehttp://www.gpo.gov/fdsys/pkg/FR-2015-01-26/pdf/2015-01245.pdfhttps://regulations.justia.com/regulations/fedreg/2015/01/23/2015-01159.htmlNotice - Notice of Federal Advisory Committee Establishment; Equity Market Structure Advisory Committee2015-01-23T00:00:00-08:002015-01-23T00:00:00-08:002015-01159Noticehttp://www.gpo.gov/fdsys/pkg/FR-2015-01-23/pdf/2015-01159.pdfhttps://regulations.justia.com/regulations/fedreg/2015/01/23/2015-01108.htmlNotice - Self-Regulatory Organizations; NYSE Arca, Inc.; Order Instituting Proceedings To Determine Whether To Approve or Disapprove a Proposed Rule Change To Remove the Exchange's Quote Mitigation Plan as Provided by Commentary .03 to Exchange Rule 6.862015-01-23T00:00:00-08:002015-01-23T00:00:00-08:002015-01108Noticehttp://www.gpo.gov/fdsys/pkg/FR-2015-01-23/pdf/2015-01108.pdfhttps://regulations.justia.com/regulations/fedreg/2015/01/23/2015-01107.htmlNotice - Self-Regulatory Organizations; NYSE MKT LLC; Order Instituting Proceedings To Determine Whether To Approve or Disapprove a Proposed Rule Change To Remove the Exchange's Quote Mitigation Plan as Provided by Exchange Rule 970.1NY2015-01-23T00:00:00-08:002015-01-23T00:00:00-08:002015-01107Noticehttp://www.gpo.gov/fdsys/pkg/FR-2015-01-23/pdf/2015-01107.pdfhttps://regulations.justia.com/regulations/fedreg/2015/01/23/2015-01078.htmlNotice - Proposed Collection; Comment Request2015-01-23T00:00:00-08:002015-01-23T00:00:00-08:002015-01078Noticehttp://www.gpo.gov/fdsys/pkg/FR-2015-01-23/pdf/2015-01078.pdfhttps://regulations.justia.com/regulations/fedreg/2015/01/23/2015-01077.htmlNotice - Proposed Collection; Comment Request2015-01-23T00:00:00-08:002015-01-23T00:00:00-08:002015-01077Noticehttp://www.gpo.gov/fdsys/pkg/FR-2015-01-23/pdf/2015-01077.pdfhttps://regulations.justia.com/regulations/fedreg/2015/01/23/2015-01076.htmlNotice - Proposed Collection; Comment Request2015-01-23T00:00:00-08:002015-01-23T00:00:00-08:002015-01076Noticehttp://www.gpo.gov/fdsys/pkg/FR-2015-01-23/pdf/2015-01076.pdfhttps://regulations.justia.com/regulations/fedreg/2015/01/23/2015-01075.htmlNotice - Proposed Collection; Comment Request2015-01-23T00:00:00-08:002015-01-23T00:00:00-08:002015-01075Noticehttp://www.gpo.gov/fdsys/pkg/FR-2015-01-23/pdf/2015-01075.pdfhttps://regulations.justia.com/regulations/fedreg/2015/01/23/2015-01074.htmlNotice - Proposed Collection; Comment Request2015-01-23T00:00:00-08:002015-01-23T00:00:00-08:002015-01074Noticehttp://www.gpo.gov/fdsys/pkg/FR-2015-01-23/pdf/2015-01074.pdfhttps://regulations.justia.com/regulations/fedreg/2015/01/23/2015-01072.htmlNotice - Self-Regulatory Organizations; NYSE MKT LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending the NYSE Amex Options Fee Schedule2015-01-23T00:00:00-08:002015-01-23T00:00:00-08:002015-01072Noticehttp://www.gpo.gov/fdsys/pkg/FR-2015-01-23/pdf/2015-01072.pdfhttps://regulations.justia.com/regulations/fedreg/2015/01/23/2015-01071.htmlNotice - Self-Regulatory Organizations; ICE Clear Europe Limited; Order Granting Approval of Proposed Rule Change Relating to CDS Pricing Policy2015-01-23T00:00:00-08:002015-01-23T00:00:00-08:002015-01071Noticehttp://www.gpo.gov/fdsys/pkg/FR-2015-01-23/pdf/2015-01071.pdfhttps://regulations.justia.com/regulations/fedreg/2015/01/23/2015-01070.htmlNotice - Self-Regulatory Organizations; ICE Clear Credit LLC; Notice of Filing of Proposed Rule Change To Revise the ICC Treasury Operations Policies and Procedures2015-01-23T00:00:00-08:002015-01-23T00:00:00-08:002015-01070Noticehttp://www.gpo.gov/fdsys/pkg/FR-2015-01-23/pdf/2015-01070.pdfhttps://regulations.justia.com/regulations/fedreg/2015/01/23/2015-01069.htmlNotice - Self-Regulatory Organizations; NYSE MKT LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Sections 140 and 141 of The NYSE MKT Company Guide To Adopt A New Flat Annual Fee of $5,000 for Listed Warrants2015-01-23T00:00:00-08:002015-01-23T00:00:00-08:002015-01069Noticehttp://www.gpo.gov/fdsys/pkg/FR-2015-01-23/pdf/2015-01069.pdfhttps://regulations.justia.com/regulations/fedreg/2015/01/23/2015-01068.htmlNotice - Self-Regulatory Organizations; ICE Clear Credit LLC; Notice of Designation of Longer Period for Commission Action on Proposed Rule Change To Formalize the ICC Operational Risk Management Framework2015-01-23T00:00:00-08:002015-01-23T00:00:00-08:002015-01068Noticehttp://www.gpo.gov/fdsys/pkg/FR-2015-01-23/pdf/2015-01068.pdf