Securities and Exchange Commission January 2015 – Federal Register Recent Federal Regulation Documents

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

Document Number: 2015-01791

Type: Notice

Date: 2015-01-30

Agency: Securities and Exchange Commission, Agencies and Commissions

https://regulations.justia.com/regulations/fedreg/2015/01/30/2015-01791.html

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

Document Number: 2015-01755

Type: Notice

Date: 2015-01-30

Agency: Securities and Exchange Commission, Agencies and Commissions

https://regulations.justia.com/regulations/fedreg/2015/01/30/2015-01755.html

Self-Regulatory Organizations; C2 Options Exchange, Incorporated; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the Fees Schedule

Document Number: 2015-01754

Type: Notice

Date: 2015-01-30

Agency: Securities and Exchange Commission, Agencies and Commissions

https://regulations.justia.com/regulations/fedreg/2015/01/30/2015-01754.html

Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the Fees Schedule

Document Number: 2015-01753

Type: Notice

Date: 2015-01-30

Agency: Securities and Exchange Commission, Agencies and Commissions

https://regulations.justia.com/regulations/fedreg/2015/01/30/2015-01753.html

Self-Regulatory Organizations; ICE Clear Europe Limited; Notice of Filing and Order Granting Accelerated Approval of Proposed Rule Change Related to New Haircuts

Document Number: 2015-01752

Type: Notice

Date: 2015-01-30

Agency: Securities and Exchange Commission, Agencies and Commissions

https://regulations.justia.com/regulations/fedreg/2015/01/30/2015-01752.html

Goldman Sachs ETF Trust, et al.; Notice of Application

Document Number: 2015-01750

Type: Notice

Date: 2015-01-30

Agency: Securities and Exchange Commission, Agencies and Commissions

https://regulations.justia.com/regulations/fedreg/2015/01/30/2015-01750.html

Goldman Sachs ETF Trust, et al.; Notice of Application

Document Number: 2015-01749

Type: Notice

Date: 2015-01-30

Agency: Securities and Exchange Commission, Agencies and Commissions

https://regulations.justia.com/regulations/fedreg/2015/01/30/2015-01749.html

Self-Regulatory Organizations; Miami International Securities Exchange LLC; Notice of Filing of a Proposed Rule Change To Amend MIAX Rule 402

Document Number: 2015-01748

Type: Notice

Date: 2015-01-30

Agency: Securities and Exchange Commission, Agencies and Commissions

https://regulations.justia.com/regulations/fedreg/2015/01/30/2015-01748.html

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

Document Number: 2015-01747

Type: Notice

Date: 2015-01-30

Agency: Securities and Exchange Commission, Agencies and Commissions

https://regulations.justia.com/regulations/fedreg/2015/01/30/2015-01747.html

Self-Regulatory Organizations; NASDAQ OMX BX, Inc.; Order Approving Proposed Rule Change Relating to Directed Market Makers

Document Number: 2015-01648

Type: Notice

Date: 2015-01-29

Agency: Securities and Exchange Commission, Agencies and Commissions

https://regulations.justia.com/regulations/fedreg/2015/01/29/2015-01648.html

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

Document Number: 2015-01647

Type: Notice

Date: 2015-01-29

Agency: Securities and Exchange Commission, Agencies and Commissions

https://regulations.justia.com/regulations/fedreg/2015/01/29/2015-01647.html

Self-Regulatory Organizations; NYSE MKT LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Establishing the NYSE MKT Integrated Feed Data Feed

Document Number: 2015-01646

Type: Notice

Date: 2015-01-29

Agency: Securities and Exchange Commission, Agencies and Commissions

https://regulations.justia.com/regulations/fedreg/2015/01/29/2015-01646.html

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

Document Number: 2015-01645

Type: Notice

Date: 2015-01-29

Agency: Securities and Exchange Commission, Agencies and Commissions

https://regulations.justia.com/regulations/fedreg/2015/01/29/2015-01645.html

Self-Regulatory Organizations; NASDAQ OMX PHLX LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to MNX and NDX

Document Number: 2015-01644

Type: Notice

Date: 2015-01-29

Agency: Securities and Exchange Commission, Agencies and Commissions

https://regulations.justia.com/regulations/fedreg/2015/01/29/2015-01644.html

Proposed Collection; Comment Request

Document Number: 2015-01512

Type: Notice

Date: 2015-01-28

Agency: Securities and Exchange Commission, Agencies and Commissions

https://regulations.justia.com/regulations/fedreg/2015/01/28/2015-01512.html

Submission for OMB Review; Comment Request

Document Number: 2015-01511

Type: Notice

Date: 2015-01-28

Agency: Securities and Exchange Commission, Agencies and Commissions

https://regulations.justia.com/regulations/fedreg/2015/01/28/2015-01511.html

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

Document Number: 2015-01510

Type: Notice

Date: 2015-01-28

Agency: Securities and Exchange Commission, Agencies and Commissions

https://regulations.justia.com/regulations/fedreg/2015/01/28/2015-01510.html

Self-Regulatory Organizations; International Securities Exchange, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the Schedule of Fees

Document Number: 2015-01509

Type: Notice

Date: 2015-01-28

Agency: Securities and Exchange Commission, Agencies and Commissions

https://regulations.justia.com/regulations/fedreg/2015/01/28/2015-01509.html

Self-Regulatory Organizations; BOX Options Exchange LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Implement an Equity Rights Program

Document Number: 2015-01508

Type: Notice

Date: 2015-01-28

Agency: Securities and Exchange Commission, Agencies and Commissions

https://regulations.justia.com/regulations/fedreg/2015/01/28/2015-01508.html

Self-Regulatory Organizations; ISE Gemini, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the Schedule of Fees

Document Number: 2015-01507

Type: Notice

Date: 2015-01-28

Agency: Securities and Exchange Commission, Agencies and Commissions

https://regulations.justia.com/regulations/fedreg/2015/01/28/2015-01507.html

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

Document Number: 2015-01506

Type: Notice

Date: 2015-01-28

Agency: Securities and Exchange Commission, Agencies and Commissions

https://regulations.justia.com/regulations/fedreg/2015/01/28/2015-01506.html

Sunshine Act Meeting

Document Number: 2015-01519

Type: Notice

Date: 2015-01-27

Agency: Securities and Exchange Commission, Agencies and Commissions

https://regulations.justia.com/regulations/fedreg/2015/01/27/2015-01519.html

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

Document Number: 2015-01426

Type: Notice

Date: 2015-01-27

Agency: Securities and Exchange Commission, Agencies and Commissions

https://regulations.justia.com/regulations/fedreg/2015/01/27/2015-01426.html

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

Document Number: 2015-01425

Type: Notice

Date: 2015-01-27

Agency: Securities and Exchange Commission, Agencies and Commissions

https://regulations.justia.com/regulations/fedreg/2015/01/27/2015-01425.html

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.

Document Number: 2015-01384

Type: Notice

Date: 2015-01-27

Agency: Securities and Exchange Commission, Agencies and Commissions

https://regulations.justia.com/regulations/fedreg/2015/01/27/2015-01384.html

Proposed Collection; Comment Request

Document Number: 2015-01377

Type: Notice

Date: 2015-01-27

Agency: Securities and Exchange Commission, Agencies and Commissions

https://regulations.justia.com/regulations/fedreg/2015/01/27/2015-01377.html

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

Document Number: 2015-01376

Type: Notice

Date: 2015-01-27

Agency: Securities and Exchange Commission, Agencies and Commissions

https://regulations.justia.com/regulations/fedreg/2015/01/27/2015-01376.html

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

Document Number: 2015-01375

Type: Notice

Date: 2015-01-27

Agency: Securities and Exchange Commission, Agencies and Commissions

https://regulations.justia.com/regulations/fedreg/2015/01/27/2015-01375.html

Investor Advisory Committee Meeting

Document Number: 2015-01275

Type: Notice

Date: 2015-01-26

Agency: Securities and Exchange Commission, Agencies and Commissions

The Securities and Exchange Commission Investor Advisory Committee, established pursuant to Section 911 of the Dodd-Frank Wall Street Reform and Consumer Protection Act of 2010, is providing notice that it will hold a public meeting. The public is invited to submit written statements to the Committee.

https://regulations.justia.com/regulations/fedreg/2015/01/26/2015-01275.html

Self-Regulatory Organizations; NASDAQ OMX PHLX LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to SPY Pilot Program

Document Number: 2015-01252

Type: Notice

Date: 2015-01-26

Agency: Securities and Exchange Commission, Agencies and Commissions

https://regulations.justia.com/regulations/fedreg/2015/01/26/2015-01252.html

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

Document Number: 2015-01251

Type: Notice

Date: 2015-01-26

Agency: Securities and Exchange Commission, Agencies and Commissions

https://regulations.justia.com/regulations/fedreg/2015/01/26/2015-01251.html

Self-Regulatory Organizations; NASDAQ OMX BX, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Regarding BX LMM and Penny Pilot Options

Document Number: 2015-01250

Type: Notice

Date: 2015-01-26

Agency: Securities and Exchange Commission, Agencies and Commissions

https://regulations.justia.com/regulations/fedreg/2015/01/26/2015-01250.html

Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Order Approving a Proposed Rule Change Relating to the NASDAQ Opening and Halt Cross

Document Number: 2015-01249

Type: Notice

Date: 2015-01-26

Agency: Securities and Exchange Commission, Agencies and Commissions

https://regulations.justia.com/regulations/fedreg/2015/01/26/2015-01249.html

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

Document Number: 2015-01248

Type: Notice

Date: 2015-01-26

Agency: Securities and Exchange Commission, Agencies and Commissions

https://regulations.justia.com/regulations/fedreg/2015/01/26/2015-01248.html

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

Document Number: 2015-01247

Type: Notice

Date: 2015-01-26

Agency: Securities and Exchange Commission, Agencies and Commissions

https://regulations.justia.com/regulations/fedreg/2015/01/26/2015-01247.html

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

Document Number: 2015-01246

Type: Notice

Date: 2015-01-26

Agency: Securities and Exchange Commission, Agencies and Commissions

https://regulations.justia.com/regulations/fedreg/2015/01/26/2015-01246.html

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

Document Number: 2015-01245

Type: Notice

Date: 2015-01-26

Agency: Securities and Exchange Commission, Agencies and Commissions

https://regulations.justia.com/regulations/fedreg/2015/01/26/2015-01245.html

Notice of Federal Advisory Committee Establishment; Equity Market Structure Advisory Committee

Document Number: 2015-01159

Type: Notice

Date: 2015-01-23

Agency: Securities and Exchange Commission, Agencies and Commissions

The Securities and Exchange Commission intends to establish the Securities and Exchange Commission Equity Market Structure Advisory Committee.

https://regulations.justia.com/regulations/fedreg/2015/01/23/2015-01159.html

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

Document Number: 2015-01108

Type: Notice

Date: 2015-01-23

Agency: Securities and Exchange Commission, Agencies and Commissions

https://regulations.justia.com/regulations/fedreg/2015/01/23/2015-01108.html

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

Document Number: 2015-01107

Type: Notice

Date: 2015-01-23

Agency: Securities and Exchange Commission, Agencies and Commissions

https://regulations.justia.com/regulations/fedreg/2015/01/23/2015-01107.html

Proposed Collection; Comment Request

Document Number: 2015-01078

Type: Notice

Date: 2015-01-23

Agency: Securities and Exchange Commission, Agencies and Commissions

https://regulations.justia.com/regulations/fedreg/2015/01/23/2015-01078.html

Proposed Collection; Comment Request

Document Number: 2015-01077

Type: Notice

Date: 2015-01-23

Agency: Securities and Exchange Commission, Agencies and Commissions

https://regulations.justia.com/regulations/fedreg/2015/01/23/2015-01077.html

Proposed Collection; Comment Request

Document Number: 2015-01076

Type: Notice

Date: 2015-01-23

Agency: Securities and Exchange Commission, Agencies and Commissions

https://regulations.justia.com/regulations/fedreg/2015/01/23/2015-01076.html

Proposed Collection; Comment Request

Document Number: 2015-01075

Type: Notice

Date: 2015-01-23

Agency: Securities and Exchange Commission, Agencies and Commissions

https://regulations.justia.com/regulations/fedreg/2015/01/23/2015-01075.html

Proposed Collection; Comment Request

Document Number: 2015-01074

Type: Notice

Date: 2015-01-23

Agency: Securities and Exchange Commission, Agencies and Commissions

https://regulations.justia.com/regulations/fedreg/2015/01/23/2015-01074.html

Self-Regulatory Organizations; NYSE MKT LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending the NYSE Amex Options Fee Schedule

Document Number: 2015-01072

Type: Notice

Date: 2015-01-23

Agency: Securities and Exchange Commission, Agencies and Commissions

https://regulations.justia.com/regulations/fedreg/2015/01/23/2015-01072.html

Self-Regulatory Organizations; ICE Clear Europe Limited; Order Granting Approval of Proposed Rule Change Relating to CDS Pricing Policy

Document Number: 2015-01071

Type: Notice

Date: 2015-01-23

Agency: Securities and Exchange Commission, Agencies and Commissions

https://regulations.justia.com/regulations/fedreg/2015/01/23/2015-01071.html

Self-Regulatory Organizations; ICE Clear Credit LLC; Notice of Filing of Proposed Rule Change To Revise the ICC Treasury Operations Policies and Procedures

Document Number: 2015-01070

Type: Notice

Date: 2015-01-23

Agency: Securities and Exchange Commission, Agencies and Commissions

https://regulations.justia.com/regulations/fedreg/2015/01/23/2015-01070.html

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

Document Number: 2015-01069

Type: Notice

Date: 2015-01-23

Agency: Securities and Exchange Commission, Agencies and Commissions

https://regulations.justia.com/regulations/fedreg/2015/01/23/2015-01069.html

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

Document Number: 2015-01068

Type: Notice

Date: 2015-01-23

Agency: Securities and Exchange Commission, Agencies and Commissions

https://regulations.justia.com/regulations/fedreg/2015/01/23/2015-01068.html