Federal Register Recent Federal Regulation Documents - Justia Regulation Tracker - Justia Regulations Tracker https://regulations.justia.com/regulations/fedreg/agencies/securities-and-exchange-commission/2015/01?limit=200&registers=between&min-day=1&max-day=31&mode=atom 2024-05-23T21:52:18-07:00 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/2015/01/30/2015-01791.html Notice - 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, 2005 2015-01-30T00:00:00-08:00 2015-01-30T00:00:00-08:00 2015-01791 Notice http://www.gpo.gov/fdsys/pkg/FR-2015-01-30/pdf/2015-01791.pdf https://regulations.justia.com/regulations/fedreg/2015/01/30/2015-01755.html Notice - 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 Utility 2015-01-30T00:00:00-08:00 2015-01-30T00:00:00-08:00 2015-01755 Notice http://www.gpo.gov/fdsys/pkg/FR-2015-01-30/pdf/2015-01755.pdf https://regulations.justia.com/regulations/fedreg/2015/01/30/2015-01754.html Notice - Self-Regulatory Organizations; C2 Options Exchange, Incorporated; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the Fees Schedule 2015-01-30T00:00:00-08:00 2015-01-30T00:00:00-08:00 2015-01754 Notice http://www.gpo.gov/fdsys/pkg/FR-2015-01-30/pdf/2015-01754.pdf https://regulations.justia.com/regulations/fedreg/2015/01/30/2015-01753.html Notice - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the Fees Schedule 2015-01-30T00:00:00-08:00 2015-01-30T00:00:00-08:00 2015-01753 Notice http://www.gpo.gov/fdsys/pkg/FR-2015-01-30/pdf/2015-01753.pdf https://regulations.justia.com/regulations/fedreg/2015/01/30/2015-01752.html Notice - Self-Regulatory Organizations; ICE Clear Europe Limited; Notice of Filing and Order Granting Accelerated Approval of Proposed Rule Change Related to New Haircuts 2015-01-30T00:00:00-08:00 2015-01-30T00:00:00-08:00 2015-01752 Notice http://www.gpo.gov/fdsys/pkg/FR-2015-01-30/pdf/2015-01752.pdf https://regulations.justia.com/regulations/fedreg/2015/01/30/2015-01750.html Notice - Goldman Sachs ETF Trust, et al.; Notice of Application 2015-01-30T00:00:00-08:00 2015-01-30T00:00:00-08:00 2015-01750 Notice http://www.gpo.gov/fdsys/pkg/FR-2015-01-30/pdf/2015-01750.pdf https://regulations.justia.com/regulations/fedreg/2015/01/30/2015-01749.html Notice - Goldman Sachs ETF Trust, et al.; Notice of Application 2015-01-30T00:00:00-08:00 2015-01-30T00:00:00-08:00 2015-01749 Notice http://www.gpo.gov/fdsys/pkg/FR-2015-01-30/pdf/2015-01749.pdf https://regulations.justia.com/regulations/fedreg/2015/01/30/2015-01748.html Notice - Self-Regulatory Organizations; Miami International Securities Exchange LLC; Notice of Filing of a Proposed Rule Change To Amend MIAX Rule 402 2015-01-30T00:00:00-08:00 2015-01-30T00:00:00-08:00 2015-01748 Notice http://www.gpo.gov/fdsys/pkg/FR-2015-01-30/pdf/2015-01748.pdf https://regulations.justia.com/regulations/fedreg/2015/01/30/2015-01747.html Notice - 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 Practices 2015-01-30T00:00:00-08:00 2015-01-30T00:00:00-08:00 2015-01747 Notice http://www.gpo.gov/fdsys/pkg/FR-2015-01-30/pdf/2015-01747.pdf https://regulations.justia.com/regulations/fedreg/2015/01/29/2015-01648.html Notice - Self-Regulatory Organizations; NASDAQ OMX BX, Inc.; Order Approving Proposed Rule Change Relating to Directed Market Makers 2015-01-29T00:00:00-08:00 2015-01-29T00:00:00-08:00 2015-01648 Notice http://www.gpo.gov/fdsys/pkg/FR-2015-01-29/pdf/2015-01648.pdf https://regulations.justia.com/regulations/fedreg/2015/01/29/2015-01647.html Notice - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Establishing the NYSE Integrated Feed Data Feed 2015-01-29T00:00:00-08:00 2015-01-29T00:00:00-08:00 2015-01647 Notice http://www.gpo.gov/fdsys/pkg/FR-2015-01-29/pdf/2015-01647.pdf https://regulations.justia.com/regulations/fedreg/2015/01/29/2015-01646.html Notice - Self-Regulatory Organizations; NYSE MKT LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Establishing the NYSE MKT Integrated Feed Data Feed 2015-01-29T00:00:00-08:00 2015-01-29T00:00:00-08:00 2015-01646 Notice http://www.gpo.gov/fdsys/pkg/FR-2015-01-29/pdf/2015-01646.pdf https://regulations.justia.com/regulations/fedreg/2015/01/29/2015-01645.html Notice - Self-Regulatory Organizations; International Securities Exchange, LLC; Notice of Designation of Longer Period for Commission Action on Proposed Rule Change To Modify the Opening Process 2015-01-29T00:00:00-08:00 2015-01-29T00:00:00-08:00 2015-01645 Notice http://www.gpo.gov/fdsys/pkg/FR-2015-01-29/pdf/2015-01645.pdf https://regulations.justia.com/regulations/fedreg/2015/01/29/2015-01644.html Notice - Self-Regulatory Organizations; NASDAQ OMX PHLX LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to MNX and NDX 2015-01-29T00:00:00-08:00 2015-01-29T00:00:00-08:00 2015-01644 Notice http://www.gpo.gov/fdsys/pkg/FR-2015-01-29/pdf/2015-01644.pdf https://regulations.justia.com/regulations/fedreg/2015/01/28/2015-01512.html Notice - Proposed Collection; Comment Request 2015-01-28T00:00:00-08:00 2015-01-28T00:00:00-08:00 2015-01512 Notice http://www.gpo.gov/fdsys/pkg/FR-2015-01-28/pdf/2015-01512.pdf https://regulations.justia.com/regulations/fedreg/2015/01/28/2015-01511.html Notice - Submission for OMB Review; Comment Request 2015-01-28T00:00:00-08:00 2015-01-28T00:00:00-08:00 2015-01511 Notice http://www.gpo.gov/fdsys/pkg/FR-2015-01-28/pdf/2015-01511.pdf https://regulations.justia.com/regulations/fedreg/2015/01/28/2015-01510.html Notice - 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 Monitor 2015-01-28T00:00:00-08:00 2015-01-28T00:00:00-08:00 2015-01510 Notice http://www.gpo.gov/fdsys/pkg/FR-2015-01-28/pdf/2015-01510.pdf https://regulations.justia.com/regulations/fedreg/2015/01/28/2015-01509.html Notice - Self-Regulatory Organizations; International Securities Exchange, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the Schedule of Fees 2015-01-28T00:00:00-08:00 2015-01-28T00:00:00-08:00 2015-01509 Notice http://www.gpo.gov/fdsys/pkg/FR-2015-01-28/pdf/2015-01509.pdf https://regulations.justia.com/regulations/fedreg/2015/01/28/2015-01508.html Notice - Self-Regulatory Organizations; BOX Options Exchange LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Implement an Equity Rights Program 2015-01-28T00:00:00-08:00 2015-01-28T00:00:00-08:00 2015-01508 Notice http://www.gpo.gov/fdsys/pkg/FR-2015-01-28/pdf/2015-01508.pdf https://regulations.justia.com/regulations/fedreg/2015/01/28/2015-01507.html Notice - Self-Regulatory Organizations; ISE Gemini, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the Schedule of Fees 2015-01-28T00:00:00-08:00 2015-01-28T00:00:00-08:00 2015-01507 Notice http://www.gpo.gov/fdsys/pkg/FR-2015-01-28/pdf/2015-01507.pdf https://regulations.justia.com/regulations/fedreg/2015/01/28/2015-01506.html Notice - 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, 2016 2015-01-28T00:00:00-08:00 2015-01-28T00:00:00-08:00 2015-01506 Notice http://www.gpo.gov/fdsys/pkg/FR-2015-01-28/pdf/2015-01506.pdf https://regulations.justia.com/regulations/fedreg/2015/01/27/2015-01519.html Notice - Sunshine Act Meeting 2015-01-27T00:00:00-08:00 2015-01-27T00:00:00-08:00 2015-01519 Notice http://www.gpo.gov/fdsys/pkg/FR-2015-01-27/pdf/2015-01519.pdf https://regulations.justia.com/regulations/fedreg/2015/01/27/2015-01426.html Notice - 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 1934 2015-01-27T00:00:00-08:00 2015-01-27T00:00:00-08:00 2015-01426 Notice http://www.gpo.gov/fdsys/pkg/FR-2015-01-27/pdf/2015-01426.pdf https://regulations.justia.com/regulations/fedreg/2015/01/27/2015-01425.html Notice - 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 Program 2015-01-27T00:00:00-08:00 2015-01-27T00:00:00-08:00 2015-01425 Notice http://www.gpo.gov/fdsys/pkg/FR-2015-01-27/pdf/2015-01425.pdf https://regulations.justia.com/regulations/fedreg/2015/01/27/2015-01384.html Notice - 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. 2015-01-27T00:00:00-08:00 2015-01-27T00:00:00-08:00 2015-01384 Notice http://www.gpo.gov/fdsys/pkg/FR-2015-01-27/pdf/2015-01384.pdf https://regulations.justia.com/regulations/fedreg/2015/01/27/2015-01377.html Notice - Proposed Collection; Comment Request 2015-01-27T00:00:00-08:00 2015-01-27T00:00:00-08:00 2015-01377 Notice http://www.gpo.gov/fdsys/pkg/FR-2015-01-27/pdf/2015-01377.pdf https://regulations.justia.com/regulations/fedreg/2015/01/27/2015-01376.html Notice - 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 8.600 2015-01-27T00:00:00-08:00 2015-01-27T00:00:00-08:00 2015-01376 Notice http://www.gpo.gov/fdsys/pkg/FR-2015-01-27/pdf/2015-01376.pdf https://regulations.justia.com/regulations/fedreg/2015/01/27/2015-01375.html Notice - 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 Program 2015-01-27T00:00:00-08:00 2015-01-27T00:00:00-08:00 2015-01375 Notice http://www.gpo.gov/fdsys/pkg/FR-2015-01-27/pdf/2015-01375.pdf https://regulations.justia.com/regulations/fedreg/2015/01/26/2015-01275.html Notice - Investor Advisory Committee Meeting 2015-01-26T00:00:00-08:00 2015-01-26T00:00:00-08:00 2015-01275 Notice http://www.gpo.gov/fdsys/pkg/FR-2015-01-26/pdf/2015-01275.pdf https://regulations.justia.com/regulations/fedreg/2015/01/26/2015-01252.html Notice - Self-Regulatory Organizations; NASDAQ OMX PHLX LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to SPY Pilot Program 2015-01-26T00:00:00-08:00 2015-01-26T00:00:00-08:00 2015-01252 Notice http://www.gpo.gov/fdsys/pkg/FR-2015-01-26/pdf/2015-01252.pdf https://regulations.justia.com/regulations/fedreg/2015/01/26/2015-01251.html Notice - 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 Service 2015-01-26T00:00:00-08:00 2015-01-26T00:00:00-08:00 2015-01251 Notice http://www.gpo.gov/fdsys/pkg/FR-2015-01-26/pdf/2015-01251.pdf https://regulations.justia.com/regulations/fedreg/2015/01/26/2015-01250.html Notice - Self-Regulatory Organizations; NASDAQ OMX BX, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Regarding BX LMM and Penny Pilot Options 2015-01-26T00:00:00-08:00 2015-01-26T00:00:00-08:00 2015-01250 Notice http://www.gpo.gov/fdsys/pkg/FR-2015-01-26/pdf/2015-01250.pdf https://regulations.justia.com/regulations/fedreg/2015/01/26/2015-01249.html Notice - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Order Approving a Proposed Rule Change Relating to the NASDAQ Opening and Halt Cross 2015-01-26T00:00:00-08:00 2015-01-26T00:00:00-08:00 2015-01249 Notice http://www.gpo.gov/fdsys/pkg/FR-2015-01-26/pdf/2015-01249.pdf https://regulations.justia.com/regulations/fedreg/2015/01/26/2015-01248.html Notice - Self-Regulatory Organizations: Miami International Securities Exchange LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Implement an Equity Rights Program 2015-01-26T00:00:00-08:00 2015-01-26T00:00:00-08:00 2015-01248 Notice http://www.gpo.gov/fdsys/pkg/FR-2015-01-26/pdf/2015-01248.pdf https://regulations.justia.com/regulations/fedreg/2015/01/26/2015-01247.html Notice - 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 Rules 2015-01-26T00:00:00-08:00 2015-01-26T00:00:00-08:00 2015-01247 Notice http://www.gpo.gov/fdsys/pkg/FR-2015-01-26/pdf/2015-01247.pdf https://regulations.justia.com/regulations/fedreg/2015/01/26/2015-01246.html Notice - 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 8.600 2015-01-26T00:00:00-08:00 2015-01-26T00:00:00-08:00 2015-01246 Notice http://www.gpo.gov/fdsys/pkg/FR-2015-01-26/pdf/2015-01246.pdf https://regulations.justia.com/regulations/fedreg/2015/01/26/2015-01245.html Notice - 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 Resources 2015-01-26T00:00:00-08:00 2015-01-26T00:00:00-08:00 2015-01245 Notice http://www.gpo.gov/fdsys/pkg/FR-2015-01-26/pdf/2015-01245.pdf https://regulations.justia.com/regulations/fedreg/2015/01/23/2015-01159.html Notice - Notice of Federal Advisory Committee Establishment; Equity Market Structure Advisory Committee 2015-01-23T00:00:00-08:00 2015-01-23T00:00:00-08:00 2015-01159 Notice http://www.gpo.gov/fdsys/pkg/FR-2015-01-23/pdf/2015-01159.pdf https://regulations.justia.com/regulations/fedreg/2015/01/23/2015-01108.html Notice - 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 6.86 2015-01-23T00:00:00-08:00 2015-01-23T00:00:00-08:00 2015-01108 Notice http://www.gpo.gov/fdsys/pkg/FR-2015-01-23/pdf/2015-01108.pdf https://regulations.justia.com/regulations/fedreg/2015/01/23/2015-01107.html Notice - 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 970.1NY 2015-01-23T00:00:00-08:00 2015-01-23T00:00:00-08:00 2015-01107 Notice http://www.gpo.gov/fdsys/pkg/FR-2015-01-23/pdf/2015-01107.pdf https://regulations.justia.com/regulations/fedreg/2015/01/23/2015-01078.html Notice - Proposed Collection; Comment Request 2015-01-23T00:00:00-08:00 2015-01-23T00:00:00-08:00 2015-01078 Notice http://www.gpo.gov/fdsys/pkg/FR-2015-01-23/pdf/2015-01078.pdf https://regulations.justia.com/regulations/fedreg/2015/01/23/2015-01077.html Notice - Proposed Collection; Comment Request 2015-01-23T00:00:00-08:00 2015-01-23T00:00:00-08:00 2015-01077 Notice http://www.gpo.gov/fdsys/pkg/FR-2015-01-23/pdf/2015-01077.pdf https://regulations.justia.com/regulations/fedreg/2015/01/23/2015-01076.html Notice - Proposed Collection; Comment Request 2015-01-23T00:00:00-08:00 2015-01-23T00:00:00-08:00 2015-01076 Notice http://www.gpo.gov/fdsys/pkg/FR-2015-01-23/pdf/2015-01076.pdf https://regulations.justia.com/regulations/fedreg/2015/01/23/2015-01075.html Notice - Proposed Collection; Comment Request 2015-01-23T00:00:00-08:00 2015-01-23T00:00:00-08:00 2015-01075 Notice http://www.gpo.gov/fdsys/pkg/FR-2015-01-23/pdf/2015-01075.pdf https://regulations.justia.com/regulations/fedreg/2015/01/23/2015-01074.html Notice - Proposed Collection; Comment Request 2015-01-23T00:00:00-08:00 2015-01-23T00:00:00-08:00 2015-01074 Notice http://www.gpo.gov/fdsys/pkg/FR-2015-01-23/pdf/2015-01074.pdf https://regulations.justia.com/regulations/fedreg/2015/01/23/2015-01072.html Notice - Self-Regulatory Organizations; NYSE MKT LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending the NYSE Amex Options Fee Schedule 2015-01-23T00:00:00-08:00 2015-01-23T00:00:00-08:00 2015-01072 Notice http://www.gpo.gov/fdsys/pkg/FR-2015-01-23/pdf/2015-01072.pdf https://regulations.justia.com/regulations/fedreg/2015/01/23/2015-01071.html Notice - Self-Regulatory Organizations; ICE Clear Europe Limited; Order Granting Approval of Proposed Rule Change Relating to CDS Pricing Policy 2015-01-23T00:00:00-08:00 2015-01-23T00:00:00-08:00 2015-01071 Notice http://www.gpo.gov/fdsys/pkg/FR-2015-01-23/pdf/2015-01071.pdf https://regulations.justia.com/regulations/fedreg/2015/01/23/2015-01070.html Notice - Self-Regulatory Organizations; ICE Clear Credit LLC; Notice of Filing of Proposed Rule Change To Revise the ICC Treasury Operations Policies and Procedures 2015-01-23T00:00:00-08:00 2015-01-23T00:00:00-08:00 2015-01070 Notice http://www.gpo.gov/fdsys/pkg/FR-2015-01-23/pdf/2015-01070.pdf https://regulations.justia.com/regulations/fedreg/2015/01/23/2015-01069.html Notice - 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 Warrants 2015-01-23T00:00:00-08:00 2015-01-23T00:00:00-08:00 2015-01069 Notice http://www.gpo.gov/fdsys/pkg/FR-2015-01-23/pdf/2015-01069.pdf https://regulations.justia.com/regulations/fedreg/2015/01/23/2015-01068.html Notice - 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 Framework 2015-01-23T00:00:00-08:00 2015-01-23T00:00:00-08:00 2015-01068 Notice http://www.gpo.gov/fdsys/pkg/FR-2015-01-23/pdf/2015-01068.pdf