Federal Register Recent Federal Regulation Documents - Justia Regulation Tracker - Justia Regulations Trackerhttps://regulations.justia.com/regulations/fedreg/agencies/securities-and-exchange-commission/2015/04?limit=200®isters=between&min-day=1&max-day=30&mode=atom2024-05-22T23:03:08-07:00Justia Inchttps://www.justia.com/Justia Regulations Trackerhttps://regulations.justia.com/images/justiafedregulations.gifCopyright 2011 Justia Inchttps://regulations.justia.com/regulations/fedreg/2015/04/30/2015-10187.htmlNotice - In the Matter of Jet Neko, Inc., Order of Suspension of Trading2015-04-30T00:00:00-07:002015-04-30T00:00:00-07:002015-10187Noticehttp://www.gpo.gov/fdsys/pkg/FR-2015-04-30/pdf/2015-10187.pdfhttps://regulations.justia.com/regulations/fedreg/2015/04/30/2015-10094.htmlNotice - Notice of Applications for Deregistration Under Section 8(f) of the Investment Company Act of 19402015-04-30T00:00:00-07:002015-04-30T00:00:00-07:002015-10094Noticehttp://www.gpo.gov/fdsys/pkg/FR-2015-04-30/pdf/2015-10094.pdfhttps://regulations.justia.com/regulations/fedreg/2015/04/30/2015-10040.htmlNotice - Self-Regulatory Organizations; Miami International Securities Exchange LLC; Notice of Filing of a Proposed Rule Change To Amend Exchange Rule 5152015-04-30T00:00:00-07:002015-04-30T00:00:00-07:002015-10040Noticehttp://www.gpo.gov/fdsys/pkg/FR-2015-04-30/pdf/2015-10040.pdfhttps://regulations.justia.com/regulations/fedreg/2015/04/30/2015-10039.htmlNotice - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Delay the Implementation Date of Trade Reporting Amendments Approved Pursuant to SR-FINRA-2013-0502015-04-30T00:00:00-07:002015-04-30T00:00:00-07:002015-10039Noticehttp://www.gpo.gov/fdsys/pkg/FR-2015-04-30/pdf/2015-10039.pdfhttps://regulations.justia.com/regulations/fedreg/2015/04/30/2015-10038.htmlNotice - Self-Regulatory Organizations; International Securities Exchange, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the Schedule of Fees2015-04-30T00:00:00-07:002015-04-30T00:00:00-07:002015-10038Noticehttp://www.gpo.gov/fdsys/pkg/FR-2015-04-30/pdf/2015-10038.pdfhttps://regulations.justia.com/regulations/fedreg/2015/04/30/2015-10034.htmlNotice - Order Regarding Review of FASB Accounting Support Fee For 2015 Under Section 109 of the Sarbanes-Oxley Act of 20022015-04-30T00:00:00-07:002015-04-30T00:00:00-07:002015-10034Noticehttp://www.gpo.gov/fdsys/pkg/FR-2015-04-30/pdf/2015-10034.pdfhttps://regulations.justia.com/regulations/fedreg/2015/04/29/C1-2015-08941.htmlNotice - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend NASDAQ Rules 7014 and 70182015-04-29T00:00:00-07:002015-04-29T00:00:00-07:00C1-2015-08941Noticehttp://www.gpo.gov/fdsys/pkg/FR-2015-04-29/pdf/C1-2015-08941.pdfhttps://regulations.justia.com/regulations/fedreg/2015/04/29/2015-10037.htmlNotice - Sunshine Act Meeting2015-04-29T00:00:00-07:002015-04-29T00:00:00-07:002015-10037Noticehttp://www.gpo.gov/fdsys/pkg/FR-2015-04-29/pdf/2015-10037.pdfhttps://regulations.justia.com/regulations/fedreg/2015/04/29/2015-09965.htmlNotice - Deutsche Bank AG, et al.; Notice of Application and Temporary Order2015-04-29T00:00:00-07:002015-04-29T00:00:00-07:002015-09965Noticehttp://www.gpo.gov/fdsys/pkg/FR-2015-04-29/pdf/2015-09965.pdfhttps://regulations.justia.com/regulations/fedreg/2015/04/29/2015-09964.htmlNotice - Hartford Funds NextShares Trust, et al.; Notice of Application2015-04-29T00:00:00-07:002015-04-29T00:00:00-07:002015-09964Noticehttp://www.gpo.gov/fdsys/pkg/FR-2015-04-29/pdf/2015-09964.pdfhttps://regulations.justia.com/regulations/fedreg/2015/04/29/2015-09963.htmlNotice - Gabelli ETMF Trust, et al.; Notice of Application2015-04-29T00:00:00-07:002015-04-29T00:00:00-07:002015-09963Noticehttp://www.gpo.gov/fdsys/pkg/FR-2015-04-29/pdf/2015-09963.pdfhttps://regulations.justia.com/regulations/fedreg/2015/04/29/2015-09920.htmlNotice - Self-Regulatory Organizations; NASDAQ OMX PHLX LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Delete Outdated Rule Language Contained in Rule 1019 and Options Floor Procedures Advices2015-04-29T00:00:00-07:002015-04-29T00:00:00-07:002015-09920Noticehttp://www.gpo.gov/fdsys/pkg/FR-2015-04-29/pdf/2015-09920.pdfhttps://regulations.justia.com/regulations/fedreg/2015/04/29/2015-09919.htmlNotice - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing of Proposed Rule Change, as Modified by Amendments Nos. 1 and 2 Thereto, Relating to the Listing and Trading of the Shares of 18 Eaton Vance NextShares ETMFs of Either the Eaton Vance ETMF Trust or the Eaton Vance ETMF Trust II2015-04-29T00:00:00-07:002015-04-29T00:00:00-07:002015-09919Noticehttp://www.gpo.gov/fdsys/pkg/FR-2015-04-29/pdf/2015-09919.pdfhttps://regulations.justia.com/regulations/fedreg/2015/04/29/2015-09918.htmlNotice - Self-Regulatory Organizations; NYSE Arca, Inc.; Order Granting Approval of Proposed Rule Change To Eliminate Additional Order Type Combinations, Delete Related Rule Text, Restructure the Remaining Rule Text in NYSE Arca Equities Rule 7.31, and Make Other Clarifying Changes to Its Rules2015-04-29T00:00:00-07:002015-04-29T00:00:00-07:002015-09918Noticehttp://www.gpo.gov/fdsys/pkg/FR-2015-04-29/pdf/2015-09918.pdfhttps://regulations.justia.com/regulations/fedreg/2015/04/29/2015-09917.htmlNotice - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Postpone Implementation of Changes to Rules 4751(h) and 4754(b) Relating to the Closing Process2015-04-29T00:00:00-07:002015-04-29T00:00:00-07:002015-09917Noticehttp://www.gpo.gov/fdsys/pkg/FR-2015-04-29/pdf/2015-09917.pdfhttps://regulations.justia.com/regulations/fedreg/2015/04/29/2015-09916.htmlNotice - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to Submission of Financial Reports2015-04-29T00:00:00-07:002015-04-29T00:00:00-07:002015-09916Noticehttp://www.gpo.gov/fdsys/pkg/FR-2015-04-29/pdf/2015-09916.pdfhttps://regulations.justia.com/regulations/fedreg/2015/04/28/2015-09841.htmlNotice - Self-Regulatory Organizations; SS&C Technologies, Inc.; Notice of Filing of Application for Exemption From Registration as a Clearing Agency2015-04-28T00:00:00-07:002015-04-28T00:00:00-07:002015-09841Noticehttp://www.gpo.gov/fdsys/pkg/FR-2015-04-28/pdf/2015-09841.pdfhttps://regulations.justia.com/regulations/fedreg/2015/04/28/2015-09792.htmlNotice - Equity Market Structure Advisory Committee2015-04-28T00:00:00-07:002015-04-28T00:00:00-07:002015-09792Noticehttp://www.gpo.gov/fdsys/pkg/FR-2015-04-28/pdf/2015-09792.pdfhttps://regulations.justia.com/regulations/fedreg/2015/04/28/2015-09766.htmlNotice - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Designation of a Longer Period for Commission Action on Proposed Rule Change Related to Equipment and Communication on the Exchange's Trading Floor2015-04-28T00:00:00-07:002015-04-28T00:00:00-07:002015-09766Noticehttp://www.gpo.gov/fdsys/pkg/FR-2015-04-28/pdf/2015-09766.pdfhttps://regulations.justia.com/regulations/fedreg/2015/04/28/2015-09765.htmlNotice - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to NASDAQ Market Center Participant Registration and Sponsored Access2015-04-28T00:00:00-07:002015-04-28T00:00:00-07:002015-09765Noticehttp://www.gpo.gov/fdsys/pkg/FR-2015-04-28/pdf/2015-09765.pdfhttps://regulations.justia.com/regulations/fedreg/2015/04/28/2015-09764.htmlNotice - Self-Regulatory Organizations; Notice of Filing and Immediate Effectiveness of Proposed Rule Change by NASDAQ OMX BX, Inc. Relating to NASDAQ OMX BX Equities Market Participant Registration and Sponsored Access2015-04-28T00:00:00-07:002015-04-28T00:00:00-07:002015-09764Noticehttp://www.gpo.gov/fdsys/pkg/FR-2015-04-28/pdf/2015-09764.pdfhttps://regulations.justia.com/regulations/fedreg/2015/04/28/2015-09763.htmlNotice - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Order Granting Approval of Proposed Rule Change, as Modified by Amendment No. 1 Thereto, Relating to the Listing and Trading of the Shares of the WisdomTree Western Unconstrained Bond Fund of the WisdomTree Trust2015-04-28T00:00:00-07:002015-04-28T00:00:00-07:002015-09763Noticehttp://www.gpo.gov/fdsys/pkg/FR-2015-04-28/pdf/2015-09763.pdfhttps://regulations.justia.com/regulations/fedreg/2015/04/27/2015-09789.htmlNotice - Sunshine Act Meeting.2015-04-27T00:00:00-07:002015-04-27T00:00:00-07:002015-09789Noticehttp://www.gpo.gov/fdsys/pkg/FR-2015-04-27/pdf/2015-09789.pdfhttps://regulations.justia.com/regulations/fedreg/2015/04/27/2015-09629.htmlNotice - Self-Regulatory Organizations; ISE Gemini, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Its Information Barrier Rules2015-04-27T00:00:00-07:002015-04-27T00:00:00-07:002015-09629Noticehttp://www.gpo.gov/fdsys/pkg/FR-2015-04-27/pdf/2015-09629.pdfhttps://regulations.justia.com/regulations/fedreg/2015/04/27/2015-09628.htmlNotice - Self-Regulatory Organizations; NASDAQ OMX BX, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Exchange Rules 7001, 7003 and 70182015-04-27T00:00:00-07:002015-04-27T00:00:00-07:002015-09628Noticehttp://www.gpo.gov/fdsys/pkg/FR-2015-04-27/pdf/2015-09628.pdfhttps://regulations.justia.com/regulations/fedreg/2015/04/27/2015-09627.htmlNotice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Modifying the Manner in Which It Calculates Volume, Liquidity and Quoting Thresholds Applicable to Billing on the Exchange on March 31, 20152015-04-27T00:00:00-07:002015-04-27T00:00:00-07:002015-09627Noticehttp://www.gpo.gov/fdsys/pkg/FR-2015-04-27/pdf/2015-09627.pdfhttps://regulations.justia.com/regulations/fedreg/2015/04/24/2015-09685.htmlNotice - In the Matter of First American Scientific Corp., Order of Suspension of Trading2015-04-24T00:00:00-07:002015-04-24T00:00:00-07:002015-09685Noticehttp://www.gpo.gov/fdsys/pkg/FR-2015-04-24/pdf/2015-09685.pdfhttps://regulations.justia.com/regulations/fedreg/2015/04/24/2015-09556.htmlNotice - D-W Investments LLC; Notice of Application2015-04-24T00:00:00-07:002015-04-24T00:00:00-07:002015-09556Noticehttp://www.gpo.gov/fdsys/pkg/FR-2015-04-24/pdf/2015-09556.pdfhttps://regulations.justia.com/regulations/fedreg/2015/04/24/2015-09498.htmlNotice - Self-Regulatory Organizations; BATS Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Related to Fees for Use of BATS Exchange, Inc.2015-04-24T00:00:00-07:002015-04-24T00:00:00-07:002015-09498Noticehttp://www.gpo.gov/fdsys/pkg/FR-2015-04-24/pdf/2015-09498.pdfhttps://regulations.justia.com/regulations/fedreg/2015/04/24/2015-09497.htmlNotice - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing of Proposed Rule Change to Amend the Seventh Amended and Restated Operating Agreement of the New York Stock Exchange LLC.2015-04-24T00:00:00-07:002015-04-24T00:00:00-07:002015-09497Noticehttp://www.gpo.gov/fdsys/pkg/FR-2015-04-24/pdf/2015-09497.pdfhttps://regulations.justia.com/regulations/fedreg/2015/04/24/2015-09496.htmlNotice - Proposed Collection; Comment Request2015-04-24T00:00:00-07:002015-04-24T00:00:00-07:002015-09496Noticehttp://www.gpo.gov/fdsys/pkg/FR-2015-04-24/pdf/2015-09496.pdfhttps://regulations.justia.com/regulations/fedreg/2015/04/24/2015-09495.htmlNotice - Proposed Collection; Comment Request2015-04-24T00:00:00-07:002015-04-24T00:00:00-07:002015-09495Noticehttp://www.gpo.gov/fdsys/pkg/FR-2015-04-24/pdf/2015-09495.pdfhttps://regulations.justia.com/regulations/fedreg/2015/04/23/2015-09555.htmlNotice - ForceField Energy Inc.; Order of Suspension of Trading2015-04-23T00:00:00-07:002015-04-23T00:00:00-07:002015-09555Noticehttp://www.gpo.gov/fdsys/pkg/FR-2015-04-23/pdf/2015-09555.pdfhttps://regulations.justia.com/regulations/fedreg/2015/04/23/2015-09432.htmlNotice - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to HGX and OSX2015-04-23T00:00:00-07:002015-04-23T00:00:00-07:002015-09432Noticehttp://www.gpo.gov/fdsys/pkg/FR-2015-04-23/pdf/2015-09432.pdfhttps://regulations.justia.com/regulations/fedreg/2015/04/23/2015-09431.htmlNotice - Self-Regulatory Organizations; EDGA Exchange, Inc.; Notice of Designation of Longer Period for Commission Action on a Proposed Rule Change, as Modified by Amendment No. 1, To Amend Rules 11.6, 11.8, 11.9, 11.10 and 11.11 of EDGA Exchange, Inc.2015-04-23T00:00:00-07:002015-04-23T00:00:00-07:002015-09431Noticehttp://www.gpo.gov/fdsys/pkg/FR-2015-04-23/pdf/2015-09431.pdfhttps://regulations.justia.com/regulations/fedreg/2015/04/23/2015-09430.htmlNotice - Self-Regulatory Organizations; EDGX Exchange, Inc.; Notice of Designation of Longer Period for Commission Action on a Proposed Rule Change, as Modified by Amendment No. 1, To Amend Rules 11.6, 11.8, 11.9, 11.10 and 11.11 of EDGX Exchange, Inc.2015-04-23T00:00:00-07:002015-04-23T00:00:00-07:002015-09430Noticehttp://www.gpo.gov/fdsys/pkg/FR-2015-04-23/pdf/2015-09430.pdfhttps://regulations.justia.com/regulations/fedreg/2015/04/23/2015-09429.htmlNotice - Self-Regulatory Organizations; Chicago Mercantile Exchange Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Regarding Liquidity Risk Management2015-04-23T00:00:00-07:002015-04-23T00:00:00-07:002015-09429Noticehttp://www.gpo.gov/fdsys/pkg/FR-2015-04-23/pdf/2015-09429.pdfhttps://regulations.justia.com/regulations/fedreg/2015/04/23/2015-09428.htmlNotice - Self-Regulatory Organizations; NYSE MKT LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Modifying the NYSE Amex Options Fee Schedule Relating to the Amex Customer Engagement Program2015-04-23T00:00:00-07:002015-04-23T00:00:00-07:002015-09428Noticehttp://www.gpo.gov/fdsys/pkg/FR-2015-04-23/pdf/2015-09428.pdfhttps://regulations.justia.com/regulations/fedreg/2015/04/23/2015-09427.htmlNotice - Self-Regulatory Organizations; Miami International Securities Exchange LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Establish the MIAX Order Feed2015-04-23T00:00:00-07:002015-04-23T00:00:00-07:002015-09427Noticehttp://www.gpo.gov/fdsys/pkg/FR-2015-04-23/pdf/2015-09427.pdfhttps://regulations.justia.com/regulations/fedreg/2015/04/23/2015-09426.htmlNotice - Self-Regulatory Organizations; Miami International Securities Exchange LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Its Fee Schedule2015-04-23T00:00:00-07:002015-04-23T00:00:00-07:002015-09426Noticehttp://www.gpo.gov/fdsys/pkg/FR-2015-04-23/pdf/2015-09426.pdfhttps://regulations.justia.com/regulations/fedreg/2015/04/23/2015-09425.htmlNotice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Designation of a Longer Period for Commission Action on Proposed Rule Change To Amend NYSE Arca Equities Rule 8.600 To Adopt Generic Listing Standards for Managed Fund Shares2015-04-23T00:00:00-07:002015-04-23T00:00:00-07:002015-09425Noticehttp://www.gpo.gov/fdsys/pkg/FR-2015-04-23/pdf/2015-09425.pdfhttps://regulations.justia.com/regulations/fedreg/2015/04/22/2015-09272.htmlNotice - Self-Regulatory Organizations; BATS Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Exchange Rule 3.5 (Advertising Practices) and Repeal Exchange Rule 3.20 (Initial or Partial Payments)2015-04-22T00:00:00-07:002015-04-22T00:00:00-07:002015-09272Noticehttp://www.gpo.gov/fdsys/pkg/FR-2015-04-22/pdf/2015-09272.pdfhttps://regulations.justia.com/regulations/fedreg/2015/04/22/2015-09271.htmlNotice - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Order Approving a Proposed Rule Change, as Modified by Amendments No. 1 and No. 2, To List and Trade the Shares of the First Trust Strategic Floating Rate ETF of First Trust Exchange-Traded Fund IV2015-04-22T00:00:00-07:002015-04-22T00:00:00-07:002015-09271Noticehttp://www.gpo.gov/fdsys/pkg/FR-2015-04-22/pdf/2015-09271.pdfhttps://regulations.justia.com/regulations/fedreg/2015/04/22/2015-09270.htmlNotice - Self-Regulatory Organizations; ICE Clear Europe Limited; Notice of Designation of Longer Period for Commission Action on Proposed Rule Change Relating to CDS Procedures for CDX North America Index CDS Contracts2015-04-22T00:00:00-07:002015-04-22T00:00:00-07:002015-09270Noticehttp://www.gpo.gov/fdsys/pkg/FR-2015-04-22/pdf/2015-09270.pdfhttps://regulations.justia.com/regulations/fedreg/2015/04/22/2015-09269.htmlNotice - Self-Regulatory Organizations; BATS Y-Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Exchange Rule 3.5 (Advertising Practices) and Repeal Exchange Rule 3.20 (Initial or Partial Payments)2015-04-22T00:00:00-07:002015-04-22T00:00:00-07:002015-09269Noticehttp://www.gpo.gov/fdsys/pkg/FR-2015-04-22/pdf/2015-09269.pdfhttps://regulations.justia.com/regulations/fedreg/2015/04/22/2015-09268.htmlNotice - Self-Regulatory Organizations; BATS Y-Exchange, Inc.; Order Granting Approval of a Proposed Rule Change To Amend Rules 11.9, 11.12, and 11.13 of BATS Y-Exchange, Inc.2015-04-22T00:00:00-07:002015-04-22T00:00:00-07:002015-09268Noticehttp://www.gpo.gov/fdsys/pkg/FR-2015-04-22/pdf/2015-09268.pdfhttps://regulations.justia.com/regulations/fedreg/2015/04/22/2015-09267.htmlNotice - Self-Regulatory Organizations; BATS Exchange, Inc.; Order Granting Approval of a Proposed Rule Change To Amend Rules 11.9, 11.12, and 11.13 of BATS Exchange, Inc.2015-04-22T00:00:00-07:002015-04-22T00:00:00-07:002015-09267Noticehttp://www.gpo.gov/fdsys/pkg/FR-2015-04-22/pdf/2015-09267.pdfhttps://regulations.justia.com/regulations/fedreg/2015/04/22/2015-09266.htmlNotice - Self-Regulatory Organizations; The Options Clearing Corporation; Order Approving Proposed Rule Change Concerning the Execution of an Agreement for Clearing and Settlement Services Between OCC and NASDAQ Futures, Inc.2015-04-22T00:00:00-07:002015-04-22T00:00:00-07:002015-09266Noticehttp://www.gpo.gov/fdsys/pkg/FR-2015-04-22/pdf/2015-09266.pdfhttps://regulations.justia.com/regulations/fedreg/2015/04/22/2015-09265.htmlNotice - Self-Regulatory Organizations; NASDAQ OMX PHLX LLC; Notice of Filing of Amendment No. 2 and Designation of Longer Period for Commission Action on Proceedings To Determine Whether To Approve or Disapprove Proposed Rule Change, as Modified by Amendment No. 2, To Adopt New Exchange Rule 1081, Solicitation Mechanism, To Introduce a New Electronic Solicitation Mechanism2015-04-22T00:00:00-07:002015-04-22T00:00:00-07:002015-09265Noticehttp://www.gpo.gov/fdsys/pkg/FR-2015-04-22/pdf/2015-09265.pdfhttps://regulations.justia.com/regulations/fedreg/2015/04/22/2015-09264.htmlNotice - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Establish Distributor and Managed Data Solution Distributor Fees for an Optional Hardware-Based Version of NASDAQ ITCH to Trade Options2015-04-22T00:00:00-07:002015-04-22T00:00:00-07:002015-09264Noticehttp://www.gpo.gov/fdsys/pkg/FR-2015-04-22/pdf/2015-09264.pdf