Federal Register Recent Federal Regulation Documents - Justia Regulation Tracker

Federal Register Recent Federal Regulation Documents - Justia Regulation Tracker - Justia Regulations Tracker https://regulations.justia.com/regulations/fedreg/agencies/securities-and-exchange-commission/2015/05?limit=200&registers=between&min-day=1&max-day=31&mode=atom 2024-04-30T16:01:02-07:00 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/2015/05/29/2015-12971.html Notice - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Order Approving Proposed Rule Change To Amend the Code of Arbitration Procedure for Customer Disputes and the Code of Arbitration Procedure for Industry Disputes To Increase a Fee for the Late Cancellation of a Scheduled Hearing, Lengthen the Notice Period for Cancelling a Scheduled Hearing, and Increase the Amount of Honoraria Paid to Arbitrators Affected by a Late Cancellation of a Scheduled Hearing 2015-05-29T00:00:00-07:00 2015-05-29T00:00:00-07:00 2015-12971 Notice http://www.gpo.gov/fdsys/pkg/FR-2015-05-29/pdf/2015-12971.pdf https://regulations.justia.com/regulations/fedreg/2015/05/29/2015-12970.html Notice - KCAP Financial, Inc.; Notice of Application 2015-05-29T00:00:00-07:00 2015-05-29T00:00:00-07:00 2015-12970 Notice http://www.gpo.gov/fdsys/pkg/FR-2015-05-29/pdf/2015-12970.pdf https://regulations.justia.com/regulations/fedreg/2015/05/29/2015-12968.html Notice - Self-Regulatory Organizations; New York Stock Exchange, LLC; Notice of Filing of Amendment No. 1 and Order Granting Accelerated Approval of a Proposed Rule Change, as Modified by Amendment No. 1, Adopting New NYSE Rule 124 To Conduct a Midday Auction and Amending NYSE Rule 104 To Codify the Obligation of Designated Market Makers To Facilitate the Midday Auction 2015-05-29T00:00:00-07:00 2015-05-29T00:00:00-07:00 2015-12968 Notice http://www.gpo.gov/fdsys/pkg/FR-2015-05-29/pdf/2015-12968.pdf https://regulations.justia.com/regulations/fedreg/2015/05/28/2015-12837.html Notice - Self-Regulatory Organizations; NYSE MKT LLC.; Notice of Designation of a Longer Period for Commission Action on a Proposed Rule Change To Modify the Appointment Process Utilized by the Exchange 2015-05-28T00:00:00-07:00 2015-05-28T00:00:00-07:00 2015-12837 Notice http://www.gpo.gov/fdsys/pkg/FR-2015-05-28/pdf/2015-12837.pdf https://regulations.justia.com/regulations/fedreg/2015/05/28/2015-12836.html Notice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Designation of a Longer Period for Commission Action on a Proposed Rule Change To Modify the Appointment Process Utilized by the Exchange 2015-05-28T00:00:00-07:00 2015-05-28T00:00:00-07:00 2015-12836 Notice http://www.gpo.gov/fdsys/pkg/FR-2015-05-28/pdf/2015-12836.pdf https://regulations.justia.com/regulations/fedreg/2015/05/28/2015-12835.html Notice - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Order Approving a Proposed Rule Change, as Modified by Amendment No. 1, To List and Trade the Shares of the Tuttle Tactical Management Multi-Strategy Income ETF of ETFis Series Trust I 2015-05-28T00:00:00-07:00 2015-05-28T00:00:00-07:00 2015-12835 Notice http://www.gpo.gov/fdsys/pkg/FR-2015-05-28/pdf/2015-12835.pdf https://regulations.justia.com/regulations/fedreg/2015/05/28/2015-12834.html Notice - Self-Regulatory Organizations; The Depository Trust Company; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Clarify That Participants Are Required To Participate in Operational Testing by DTC, Including Testing of DTC's Business Continuity and Disaster Recovery Plans 2015-05-28T00:00:00-07:00 2015-05-28T00:00:00-07:00 2015-12834 Notice http://www.gpo.gov/fdsys/pkg/FR-2015-05-28/pdf/2015-12834.pdf https://regulations.justia.com/regulations/fedreg/2015/05/28/2015-12833.html Notice - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Delay Implementation of Rule 15.2A 2015-05-28T00:00:00-07:00 2015-05-28T00:00:00-07:00 2015-12833 Notice http://www.gpo.gov/fdsys/pkg/FR-2015-05-28/pdf/2015-12833.pdf https://regulations.justia.com/regulations/fedreg/2015/05/28/2015-12832.html Notice - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Filing of a Proposed Rule Change To Amend Exchange Rules Related to Order Tickets 2015-05-28T00:00:00-07:00 2015-05-28T00:00:00-07:00 2015-12832 Notice http://www.gpo.gov/fdsys/pkg/FR-2015-05-28/pdf/2015-12832.pdf https://regulations.justia.com/regulations/fedreg/2015/05/28/2015-12831.html Notice - Self-Regulatory Organizations; CBOE Futures Exchange, LLC; Notice of Filing of a Proposed Rule Change Regarding Audit Trail Retention Requirements 2015-05-28T00:00:00-07:00 2015-05-28T00:00:00-07:00 2015-12831 Notice http://www.gpo.gov/fdsys/pkg/FR-2015-05-28/pdf/2015-12831.pdf https://regulations.justia.com/regulations/fedreg/2015/05/28/2015-12830.html Notice - Self-Regulatory Organizations; NASDAQ OMX BX, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Regarding Penny Pilot Options Fees and Rebates 2015-05-28T00:00:00-07:00 2015-05-28T00:00:00-07:00 2015-12830 Notice http://www.gpo.gov/fdsys/pkg/FR-2015-05-28/pdf/2015-12830.pdf https://regulations.justia.com/regulations/fedreg/2015/05/28/2015-12829.html Notice - Self-Regulatory Organizations; NYSE Arca, Inc.; Order Granting Approval of Proposed Rule Change, as Modified by Amendment Nos. 1 and 2 Thereto, Relating to the Listing and Trading of Shares of the SPDR SSgA Global Managed Volatility ETF Under NYSE Arca Equities Rule 8.600 2015-05-28T00:00:00-07:00 2015-05-28T00:00:00-07:00 2015-12829 Notice http://www.gpo.gov/fdsys/pkg/FR-2015-05-28/pdf/2015-12829.pdf https://regulations.justia.com/regulations/fedreg/2015/05/28/2015-12828.html Notice - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the Fees Schedule 2015-05-28T00:00:00-07:00 2015-05-28T00:00:00-07:00 2015-12828 Notice http://www.gpo.gov/fdsys/pkg/FR-2015-05-28/pdf/2015-12828.pdf https://regulations.justia.com/regulations/fedreg/2015/05/27/2015-12960.html Notice - Sunshine Act Meeting 2015-05-27T00:00:00-07:00 2015-05-27T00:00:00-07:00 2015-12960 Notice http://www.gpo.gov/fdsys/pkg/FR-2015-05-27/pdf/2015-12960.pdf https://regulations.justia.com/regulations/fedreg/2015/05/27/2015-12757.html Notice - The Royal Bank of Scotland plc, et al.; Notice of Application and Temporary Order 2015-05-27T00:00:00-07:00 2015-05-27T00:00:00-07:00 2015-12757 Notice http://www.gpo.gov/fdsys/pkg/FR-2015-05-27/pdf/2015-12757.pdf https://regulations.justia.com/regulations/fedreg/2015/05/27/2015-12756.html Notice - Citicorp, et al.; Notice of Application and Temporary Order 2015-05-27T00:00:00-07:00 2015-05-27T00:00:00-07:00 2015-12756 Notice http://www.gpo.gov/fdsys/pkg/FR-2015-05-27/pdf/2015-12756.pdf https://regulations.justia.com/regulations/fedreg/2015/05/27/2015-12755.html Notice - J.P. Morgan Chase & Co., et al.; Notice of Application and Temporary Order 2015-05-27T00:00:00-07:00 2015-05-27T00:00:00-07:00 2015-12755 Notice http://www.gpo.gov/fdsys/pkg/FR-2015-05-27/pdf/2015-12755.pdf https://regulations.justia.com/regulations/fedreg/2015/05/27/2015-12754.html Notice - UBS AG, et al.; Notice of Application and Temporary Order 2015-05-27T00:00:00-07:00 2015-05-27T00:00:00-07:00 2015-12754 Notice http://www.gpo.gov/fdsys/pkg/FR-2015-05-27/pdf/2015-12754.pdf https://regulations.justia.com/regulations/fedreg/2015/05/27/2015-12690.html Notice - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Designation of a Longer Period for Commission Action on Proceedings To Determine Whether To Approve or Disapprove a Proposed Rule Change to Adopt FINRA Rule 2242 (Debt Research Analysts and Debt Research Reports) 2015-05-27T00:00:00-07:00 2015-05-27T00:00:00-07:00 2015-12690 Notice http://www.gpo.gov/fdsys/pkg/FR-2015-05-27/pdf/2015-12690.pdf https://regulations.justia.com/regulations/fedreg/2015/05/27/2015-12689.html Notice - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Designation of a Longer Period for Commission Action on Proceedings To Determine Whether To Approve or Disapprove a Proposed Rule Change Relating to FINRA Rule 2241 (Research Analysts and Research Reports) in the Consolidated FINRA Rulebook 2015-05-27T00:00:00-07:00 2015-05-27T00:00:00-07:00 2015-12689 Notice http://www.gpo.gov/fdsys/pkg/FR-2015-05-27/pdf/2015-12689.pdf https://regulations.justia.com/regulations/fedreg/2015/05/27/2015-12688.html Notice - Self-Regulatory Organizations; NYSE MKT LLC; Notice of Designation of a Longer Period for Commission Action on a Proposed Rule Change Adopting a Principles-Based Approach To Prohibit the Misuse of Material Nonpublic Information by Specialists and e-Specialists by Deleting Rule 927.3NY and Section (f) of Rule 927.5NY 2015-05-27T00:00:00-07:00 2015-05-27T00:00:00-07:00 2015-12688 Notice http://www.gpo.gov/fdsys/pkg/FR-2015-05-27/pdf/2015-12688.pdf https://regulations.justia.com/regulations/fedreg/2015/05/27/2015-12687.html Notice - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Filing of a Proposed Rule Change Relating to Rule 6.53C and Complex Orders on the Hybrid System 2015-05-27T00:00:00-07:00 2015-05-27T00:00:00-07:00 2015-12687 Notice http://www.gpo.gov/fdsys/pkg/FR-2015-05-27/pdf/2015-12687.pdf https://regulations.justia.com/regulations/fedreg/2015/05/27/2015-12686.html Notice - Self-Regulatory Organizations; BOX Options Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Authorize the Exchange To Share Any Participant-Designated Risk Settings in the Trading System With the Clearing Participant That Clears Transactions on Behalf of the Participant 2015-05-27T00:00:00-07:00 2015-05-27T00:00:00-07:00 2015-12686 Notice http://www.gpo.gov/fdsys/pkg/FR-2015-05-27/pdf/2015-12686.pdf https://regulations.justia.com/regulations/fedreg/2015/05/27/2015-12685.html Notice - Proposed Collection; Comment Request 2015-05-27T00:00:00-07:00 2015-05-27T00:00:00-07:00 2015-12685 Notice http://www.gpo.gov/fdsys/pkg/FR-2015-05-27/pdf/2015-12685.pdf https://regulations.justia.com/regulations/fedreg/2015/05/27/2015-12684.html Notice - Proposed Collection; Comment Request 2015-05-27T00:00:00-07:00 2015-05-27T00:00:00-07:00 2015-12684 Notice http://www.gpo.gov/fdsys/pkg/FR-2015-05-27/pdf/2015-12684.pdf https://regulations.justia.com/regulations/fedreg/2015/05/27/2015-12683.html Notice - Proposed Collection; Comment Request 2015-05-27T00:00:00-07:00 2015-05-27T00:00:00-07:00 2015-12683 Notice http://www.gpo.gov/fdsys/pkg/FR-2015-05-27/pdf/2015-12683.pdf https://regulations.justia.com/regulations/fedreg/2015/05/26/2015-12566.html Rule - Adoption of Updated EDGAR Filer Manual 2015-05-26T00:00:00-07:00 2015-05-26T00:00:00-07:00

2015-12566 Rule http://www.gpo.gov/fdsys/pkg/FR-2015-05-26/pdf/2015-12566.pdf https://regulations.justia.com/regulations/fedreg/2015/05/22/2015-12636.html Notice - Self-Regulatory Organizations; The Options Clearing Corporation; Notice of Filing of a Proposed Rule Change Concerning the Implementation of New Risk Models in Order To Support the Clearance and Settlement of Asian-Style Flexibly Structured Options and Flexibly Structured Cliquet Options 2015-05-22T00:00:00-07:00 2015-05-22T00:00:00-07:00 2015-12636 Notice http://www.gpo.gov/fdsys/pkg/FR-2015-05-22/pdf/2015-12636.pdf https://regulations.justia.com/regulations/fedreg/2015/05/22/2015-12587.html Notice - In the Matter of Composite Solutions, Inc., Ruby Creek Resources, Inc., and Voyager Entertainment International Inc.; Order of Suspension of Trading 2015-05-22T00:00:00-07:00 2015-05-22T00:00:00-07:00 2015-12587 Notice http://www.gpo.gov/fdsys/pkg/FR-2015-05-22/pdf/2015-12587.pdf https://regulations.justia.com/regulations/fedreg/2015/05/22/2015-12417.html Notice - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Filing of a Proposed Rule Change Relating to Floor Broker Due Diligence 2015-05-22T00:00:00-07:00 2015-05-22T00:00:00-07:00 2015-12417 Notice http://www.gpo.gov/fdsys/pkg/FR-2015-05-22/pdf/2015-12417.pdf https://regulations.justia.com/regulations/fedreg/2015/05/22/2015-12416.html Notice - Self-Regulatory Organizations; Miami International Securities Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Exchange Rule 515A 2015-05-22T00:00:00-07:00 2015-05-22T00:00:00-07:00 2015-12416 Notice http://www.gpo.gov/fdsys/pkg/FR-2015-05-22/pdf/2015-12416.pdf https://regulations.justia.com/regulations/fedreg/2015/05/22/2015-12415.html Notice - Self-Regulatory Organizations; BATS Y-Exchange, Inc.; Notice of Filing of a Proposed Rule Change, and Amendment No. 1 Thereto, To Amend Rule 11.2 To State That the BATS Y-Exchange, Inc. Will Not Designate for Trading Any Security Admitted to Unlisted Trading Privileges on the Exchange Unless That Security Satisfies Certain Liquidity Requirements 2015-05-22T00:00:00-07:00 2015-05-22T00:00:00-07:00 2015-12415 Notice http://www.gpo.gov/fdsys/pkg/FR-2015-05-22/pdf/2015-12415.pdf https://regulations.justia.com/regulations/fedreg/2015/05/22/2015-12414.html Notice - Self-Regulatory Organizations; BATS Exchange, Inc.; Notice of Filing of a Proposed Rule Change, and Amendment No. 1 Thereto, To Amend Rule 11.2 To State That the BATS Exchange, Inc. Will Not Designate for Trading Any Security Admitted to Unlisted Trading Privileges on the Exchange Unless That Security Satisfies Certain Liquidity Requirements 2015-05-22T00:00:00-07:00 2015-05-22T00:00:00-07:00 2015-12414 Notice http://www.gpo.gov/fdsys/pkg/FR-2015-05-22/pdf/2015-12414.pdf https://regulations.justia.com/regulations/fedreg/2015/05/22/2015-12413.html Notice - Self-Regulatory Organizations; EDGA Exchange, Inc.; Notice of Filing of a Proposed Rule Change, and Amendment No. 1 Thereto, To Amend Rule 11.2 To State That EDGA Exchange, Inc. Will Not Designate for Trading Any Security Admitted to Unlisted Trading Privileges on the Exchange Unless That Security Satisfies Certain Liquidity Requirements 2015-05-22T00:00:00-07:00 2015-05-22T00:00:00-07:00 2015-12413 Notice http://www.gpo.gov/fdsys/pkg/FR-2015-05-22/pdf/2015-12413.pdf https://regulations.justia.com/regulations/fedreg/2015/05/22/2015-12412.html Notice - Self-Regulatory Organizations; EDGX Exchange, Inc.; Notice of Filing of a Proposed Rule Change, and Amendment No. 1 Thereto, To Amend Rule 11.2 To State That EDGX Exchange, Inc. Will Not Designate for Trading Any Security Admitted to Unlisted Trading Privileges on the Exchange Unless That Security Satisfies Certain Liquidity Requirements 2015-05-22T00:00:00-07:00 2015-05-22T00:00:00-07:00 2015-12412 Notice http://www.gpo.gov/fdsys/pkg/FR-2015-05-22/pdf/2015-12412.pdf https://regulations.justia.com/regulations/fedreg/2015/05/22/2015-12381.html Notice - BMO Funds, Inc. and BMO Asset Management Corp.; Notice of Application 2015-05-22T00:00:00-07:00 2015-05-22T00:00:00-07:00 2015-12381 Notice http://www.gpo.gov/fdsys/pkg/FR-2015-05-22/pdf/2015-12381.pdf https://regulations.justia.com/regulations/fedreg/2015/05/22/2015-12379.html Notice - SEC Advisory Committee on Small and Emerging Companies 2015-05-22T00:00:00-07:00 2015-05-22T00:00:00-07:00

2015-12379 Notice http://www.gpo.gov/fdsys/pkg/FR-2015-05-22/pdf/2015-12379.pdf https://regulations.justia.com/regulations/fedreg/2015/05/21/2015-12294.html Notice - Self-Regulatory Organizations; The Options Clearing Corporation; Order Approving Proposed Rule Change To Establish Procedures Regarding the Monthly Resizing of Its Clearing Fund and the Addition of Financial Resources 2015-05-21T00:00:00-07:00 2015-05-21T00:00:00-07:00 2015-12294 Notice http://www.gpo.gov/fdsys/pkg/FR-2015-05-21/pdf/2015-12294.pdf https://regulations.justia.com/regulations/fedreg/2015/05/21/2015-12293.html Notice - Self-Regulatory Organizations; The Options Clearing Corporation; Notice of No Objection to an Advance Notice, as Modified by Amendment No. 1 and Amendment No. 2, To Establish Procedures Regarding the Monthly Resizing of Its Clearing Fund and the Addition of Financial Resources 2015-05-21T00:00:00-07:00 2015-05-21T00:00:00-07:00 2015-12293 Notice http://www.gpo.gov/fdsys/pkg/FR-2015-05-21/pdf/2015-12293.pdf https://regulations.justia.com/regulations/fedreg/2015/05/21/2015-12285.html Notice - Submission for OMB Review; Comment Request 2015-05-21T00:00:00-07:00 2015-05-21T00:00:00-07:00 2015-12285 Notice http://www.gpo.gov/fdsys/pkg/FR-2015-05-21/pdf/2015-12285.pdf https://regulations.justia.com/regulations/fedreg/2015/05/21/2015-12284.html Notice - 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 DB Optimum Yield Diversified Commodity Strategy Portfolio, PowerShares Agriculture Commodity Strategy Portfolio, PowerShares Precious Metals Commodity Strategy Portfolio, PowerShares Energy Commodity Strategy Portfolio, PowerShares Base Metals Commodity Strategy Portfolio and PowerShares Bloomberg Commodity Strategy Portfolio, Each a Series of PowerShares Actively Managed Exchange-Traded Commodity Fund Trust 2015-05-21T00:00:00-07:00 2015-05-21T00:00:00-07:00 2015-12284 Notice http://www.gpo.gov/fdsys/pkg/FR-2015-05-21/pdf/2015-12284.pdf https://regulations.justia.com/regulations/fedreg/2015/05/21/2015-12283.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 2015-05-21T00:00:00-07:00 2015-05-21T00:00:00-07:00 2015-12283 Notice http://www.gpo.gov/fdsys/pkg/FR-2015-05-21/pdf/2015-12283.pdf https://regulations.justia.com/regulations/fedreg/2015/05/21/2015-12282.html Notice - Self-Regulatory Organizations; ICE Clear Credit LLC; Order Approving Proposed Rule Change Related to Settlement Finality 2015-05-21T00:00:00-07:00 2015-05-21T00:00:00-07:00 2015-12282 Notice http://www.gpo.gov/fdsys/pkg/FR-2015-05-21/pdf/2015-12282.pdf https://regulations.justia.com/regulations/fedreg/2015/05/21/2015-12281.html Notice - Self-Regulatory Organizations; Fixed Income Clearing Corporation; Notice of Filing of a Proposed Rule Change to the Government Securities Division Rules in Connection With the Extension of the GCF Repo Service Pilot Program 2015-05-21T00:00:00-07:00 2015-05-21T00:00:00-07:00 2015-12281 Notice http://www.gpo.gov/fdsys/pkg/FR-2015-05-21/pdf/2015-12281.pdf https://regulations.justia.com/regulations/fedreg/2015/05/21/2015-12280.html Notice - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing of Proposed Rule Change Regarding NASDAQ Last Sale Plus 2015-05-21T00:00:00-07:00 2015-05-21T00:00:00-07:00 2015-12280 Notice http://www.gpo.gov/fdsys/pkg/FR-2015-05-21/pdf/2015-12280.pdf https://regulations.justia.com/regulations/fedreg/2015/05/20/2015-12380.html Notice - Sunshine Act Meeting 2015-05-20T00:00:00-07:00 2015-05-20T00:00:00-07:00 2015-12380 Notice http://www.gpo.gov/fdsys/pkg/FR-2015-05-20/pdf/2015-12380.pdf https://regulations.justia.com/regulations/fedreg/2015/05/20/2015-12173.html Notice - Self-Regulatory Organizations; BOX Options Exchange, LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the Fee Schedule on the BOX Market, LLC Options Facility 2015-05-20T00:00:00-07:00 2015-05-20T00:00:00-07:00 2015-12173 Notice http://www.gpo.gov/fdsys/pkg/FR-2015-05-20/pdf/2015-12173.pdf https://regulations.justia.com/regulations/fedreg/2015/05/20/2015-12152.html Notice - Submission for OMB Review; Comment Request 2015-05-20T00:00:00-07:00 2015-05-20T00:00:00-07:00 2015-12152 Notice http://www.gpo.gov/fdsys/pkg/FR-2015-05-20/pdf/2015-12152.pdf https://regulations.justia.com/regulations/fedreg/2015/05/20/2015-12150.html Notice - Self-Regulatory Organizations; ISE Gemini, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the Schedule of Fees To Introduce a New “Retail” Designation for Priority Customer Orders 2015-05-20T00:00:00-07:00 2015-05-20T00:00:00-07:00 2015-12150 Notice http://www.gpo.gov/fdsys/pkg/FR-2015-05-20/pdf/2015-12150.pdf https://regulations.justia.com/regulations/fedreg/2015/05/20/2015-12149.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 To Introduce a New “Retail” Designation for Priority Customer Orders 2015-05-20T00:00:00-07:00 2015-05-20T00:00:00-07:00 2015-12149 Notice http://www.gpo.gov/fdsys/pkg/FR-2015-05-20/pdf/2015-12149.pdf https://regulations.justia.com/regulations/fedreg/2015/05/20/2015-12148.html Notice - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Regarding Limitation of Liability 2015-05-20T00:00:00-07:00 2015-05-20T00:00:00-07:00 2015-12148 Notice http://www.gpo.gov/fdsys/pkg/FR-2015-05-20/pdf/2015-12148.pdf https://regulations.justia.com/regulations/fedreg/2015/05/20/2015-12147.html Notice - 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. 2015-05-20T00:00:00-07:00 2015-05-20T00:00:00-07:00 2015-12147 Notice http://www.gpo.gov/fdsys/pkg/FR-2015-05-20/pdf/2015-12147.pdf https://regulations.justia.com/regulations/fedreg/2015/05/20/2015-12146.html Notice - Self-Regulatory Organizations; NASDAQ OMX PHLX, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Update the Public Disclosure of Sources of Data Utilized By PSX 2015-05-20T00:00:00-07:00 2015-05-20T00:00:00-07:00 2015-12146 Notice http://www.gpo.gov/fdsys/pkg/FR-2015-05-20/pdf/2015-12146.pdf https://regulations.justia.com/regulations/fedreg/2015/05/20/2015-12145.html Notice - Self-Regulatory Organizations; National Securities Clearing Corporation; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Clarify NSCC's Rules & Procedures Relating to the Process by Which NSCC Members Submit Buy-Ins Within NSCC's Continuous Net Settlement System 2015-05-20T00:00:00-07:00 2015-05-20T00:00:00-07:00 2015-12145 Notice http://www.gpo.gov/fdsys/pkg/FR-2015-05-20/pdf/2015-12145.pdf https://regulations.justia.com/regulations/fedreg/2015/05/20/2015-12144.html Notice - Self-Regulatory Organizations; C2 Options Exchange, Incorporated; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Regarding Limitation of Liability 2015-05-20T00:00:00-07:00 2015-05-20T00:00:00-07:00 2015-12144 Notice http://www.gpo.gov/fdsys/pkg/FR-2015-05-20/pdf/2015-12144.pdf https://regulations.justia.com/regulations/fedreg/2015/05/20/2015-12143.html Notice - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Filing of a Proposed Rule Change Relating to Trading Permit Holder Qualifications 2015-05-20T00:00:00-07:00 2015-05-20T00:00:00-07:00 2015-12143 Notice http://www.gpo.gov/fdsys/pkg/FR-2015-05-20/pdf/2015-12143.pdf https://regulations.justia.com/regulations/fedreg/2015/05/20/2015-12142.html Notice - Self-Regulatory Organizations; NASDAQ OMX BX, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Update the Public Disclosure of Sources of Data BX Utilizes 2015-05-20T00:00:00-07:00 2015-05-20T00:00:00-07:00 2015-12142 Notice http://www.gpo.gov/fdsys/pkg/FR-2015-05-20/pdf/2015-12142.pdf https://regulations.justia.com/regulations/fedreg/2015/05/20/2015-12141.html Notice - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Order Granting Approval of a Proposed Rule Change Relating to Stock-Option Order Handling 2015-05-20T00:00:00-07:00 2015-05-20T00:00:00-07:00 2015-12141 Notice http://www.gpo.gov/fdsys/pkg/FR-2015-05-20/pdf/2015-12141.pdf https://regulations.justia.com/regulations/fedreg/2015/05/19/2015-12183.html Notice - Sunshine Act Meeting 2015-05-19T00:00:00-07:00 2015-05-19T00:00:00-07:00 2015-12183 Notice http://www.gpo.gov/fdsys/pkg/FR-2015-05-19/pdf/2015-12183.pdf https://regulations.justia.com/regulations/fedreg/2015/05/19/2015-12063.html Notice - Self-Regulatory Organizations; NYSE MKT, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Modifying the NYSE Amex Options Fee Schedule Related to Fees and Credits Associated With the Customer Best Execution Auction 2015-05-19T00:00:00-07:00 2015-05-19T00:00:00-07:00 2015-12063 Notice http://www.gpo.gov/fdsys/pkg/FR-2015-05-19/pdf/2015-12063.pdf https://regulations.justia.com/regulations/fedreg/2015/05/19/2015-12062.html Notice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending the NYSE Arca Equities Schedule of Fees and Charges for Exchange Services To Reduce Fees for Routing Certain Retail Orders to Away Market Centers 2015-05-19T00:00:00-07:00 2015-05-19T00:00:00-07:00 2015-12062 Notice http://www.gpo.gov/fdsys/pkg/FR-2015-05-19/pdf/2015-12062.pdf https://regulations.justia.com/regulations/fedreg/2015/05/19/2015-12032.html Notice - Self-Regulatory Organizations; ICE Clear Europe Limited; Order Approving Proposed Rule Change Relating to Collateral and Haircut Policy 2015-05-19T00:00:00-07:00 2015-05-19T00:00:00-07:00 2015-12032 Notice http://www.gpo.gov/fdsys/pkg/FR-2015-05-19/pdf/2015-12032.pdf https://regulations.justia.com/regulations/fedreg/2015/05/19/2015-12031.html Notice - Self-Regulatory Organizations; NASDAQ OMX PHLX LLC; Notice of Designation of Longer Period for Commission Action on Proposed Rule Change To Amend and Restate Certain Rules That Govern the NASDAQ PSX 2015-05-19T00:00:00-07:00 2015-05-19T00:00:00-07:00 2015-12031 Notice http://www.gpo.gov/fdsys/pkg/FR-2015-05-19/pdf/2015-12031.pdf https://regulations.justia.com/regulations/fedreg/2015/05/19/2015-12030.html Notice - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to the Reporting Requirements of FINRA Rule 4530(a)(1)(H) 2015-05-19T00:00:00-07:00 2015-05-19T00:00:00-07:00 2015-12030 Notice http://www.gpo.gov/fdsys/pkg/FR-2015-05-19/pdf/2015-12030.pdf https://regulations.justia.com/regulations/fedreg/2015/05/19/2015-12029.html Notice - Self-Regulatory Organizations; BOX Options Exchange LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Adjust the Preferred Market Maker Quoting Obligations 2015-05-19T00:00:00-07:00 2015-05-19T00:00:00-07:00 2015-12029 Notice http://www.gpo.gov/fdsys/pkg/FR-2015-05-19/pdf/2015-12029.pdf https://regulations.justia.com/regulations/fedreg/2015/05/19/2015-12028.html Notice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing of Proposed Rule Change Adopting New Equity Trading Rules Relating to Trading Sessions, Order Ranking and Display, and Order Execution To Reflect the Implementation of Pillar, the Exchange's New Trading Technology Platform 2015-05-19T00:00:00-07:00 2015-05-19T00:00:00-07:00 2015-12028 Notice http://www.gpo.gov/fdsys/pkg/FR-2015-05-19/pdf/2015-12028.pdf https://regulations.justia.com/regulations/fedreg/2015/05/19/2015-12027.html Notice - 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. 2015-05-19T00:00:00-07:00 2015-05-19T00:00:00-07:00 2015-12027 Notice http://www.gpo.gov/fdsys/pkg/FR-2015-05-19/pdf/2015-12027.pdf https://regulations.justia.com/regulations/fedreg/2015/05/19/2015-12022.html Notice - Self-Regulatory Organizations; EDGX Exchange, Inc.; Notice of Filing of Proposed Rule Change To Establish Rules Governing the Trading of Options on the EDGX Options Exchange 2015-05-19T00:00:00-07:00 2015-05-19T00:00:00-07:00 2015-12022 Notice http://www.gpo.gov/fdsys/pkg/FR-2015-05-19/pdf/2015-12022.pdf https://regulations.justia.com/regulations/fedreg/2015/05/19/2015-12016.html Notice - 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. 2015-05-19T00:00:00-07:00 2015-05-19T00:00:00-07:00 2015-12016 Notice http://www.gpo.gov/fdsys/pkg/FR-2015-05-19/pdf/2015-12016.pdf https://regulations.justia.com/regulations/fedreg/2015/05/19/2015-12015.html Notice - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Modify NASDAQ Rule 7018 Governing Fees and Credits Assessed For Execution and Routing 2015-05-19T00:00:00-07:00 2015-05-19T00:00:00-07:00 2015-12015 Notice http://www.gpo.gov/fdsys/pkg/FR-2015-05-19/pdf/2015-12015.pdf https://regulations.justia.com/regulations/fedreg/2015/05/18/2015-12067.html Notice - Sunshine Act Meeting 2015-05-18T00:00:00-07:00 2015-05-18T00:00:00-07:00 2015-12067 Notice http://www.gpo.gov/fdsys/pkg/FR-2015-05-18/pdf/2015-12067.pdf https://regulations.justia.com/regulations/fedreg/2015/05/18/2015-11946.html Notice - Forward Contracts With Embedded Volumetric Optionality 2015-05-18T00:00:00-07:00 2015-05-18T00:00:00-07:00

2015-11946 Notice http://www.gpo.gov/fdsys/pkg/FR-2015-05-18/pdf/2015-11946.pdf https://regulations.justia.com/regulations/fedreg/2015/05/18/2015-11879.html Notice - Self-Regulatory Organizations; BATS Y-Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Related to Fees for Use of BATS Y-Exchange, Inc. 2015-05-18T00:00:00-07:00 2015-05-18T00:00:00-07:00 2015-11879 Notice http://www.gpo.gov/fdsys/pkg/FR-2015-05-18/pdf/2015-11879.pdf https://regulations.justia.com/regulations/fedreg/2015/05/18/2015-11878.html Notice - 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. 2015-05-18T00:00:00-07:00 2015-05-18T00:00:00-07:00 2015-11878 Notice http://www.gpo.gov/fdsys/pkg/FR-2015-05-18/pdf/2015-11878.pdf https://regulations.justia.com/regulations/fedreg/2015/05/18/2015-11877.html Notice - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to The Customized Option Pricing Service 2015-05-18T00:00:00-07:00 2015-05-18T00:00:00-07:00 2015-11877 Notice http://www.gpo.gov/fdsys/pkg/FR-2015-05-18/pdf/2015-11877.pdf https://regulations.justia.com/regulations/fedreg/2015/05/18/2015-11876.html Notice - Self-Regulatory Organizations; EDGX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Change the Name of “ConnectEdge” Product Offering Under Rule 13.9 to “BATS Connect” 2015-05-18T00:00:00-07:00 2015-05-18T00:00:00-07:00 2015-11876 Notice http://www.gpo.gov/fdsys/pkg/FR-2015-05-18/pdf/2015-11876.pdf https://regulations.justia.com/regulations/fedreg/2015/05/18/2015-11875.html Notice - Self-Regulatory Organizations; NASDAQ OMX BX Inc.; Notice of Designation of Longer Period for Commission Action on Proposed Rule Change To Amend and Restate Certain Rules That Govern the NASDAQ OMX BX Equities Market 2015-05-18T00:00:00-07:00 2015-05-18T00:00:00-07:00 2015-11875 Notice http://www.gpo.gov/fdsys/pkg/FR-2015-05-18/pdf/2015-11875.pdf https://regulations.justia.com/regulations/fedreg/2015/05/18/2015-11873.html Notice - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to NASDAQ Options Market Fees and Rebates 2015-05-18T00:00:00-07:00 2015-05-18T00:00:00-07:00 2015-11873 Notice http://www.gpo.gov/fdsys/pkg/FR-2015-05-18/pdf/2015-11873.pdf https://regulations.justia.com/regulations/fedreg/2015/05/18/2015-11872.html Notice - Self-Regulatory Organizations; NYSE MKT, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending the Constituent Documents of Its Intermediate Parent Companies NYSE Holdings, LLC., Intercontinental Exchange, Inc., To Eliminate Certain Provisions That by Their Terms Have Become Void and Are of No Further Force and Effect as a Result of the Sale by ICE of Euronext N.V. in June 2014 and Make Conforming Changes to the Independence Policy of the Board of Directors of ICE 2015-05-18T00:00:00-07:00 2015-05-18T00:00:00-07:00 2015-11872 Notice http://www.gpo.gov/fdsys/pkg/FR-2015-05-18/pdf/2015-11872.pdf https://regulations.justia.com/regulations/fedreg/2015/05/18/2015-11871.html Notice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending the Constituent Documents of Its Intermediate Parent Companies NYSE Holdings LLC., Intercontinental Exchange, Inc., to Eliminate Certain Provisions That by Their Terms Have Become Void and Are of No Further Force and Effect as a Result of the Sale by ICE of Euronext N.V. in June 2014 and Make Conforming Changes to the Independence Policy of the Board of Directors of ICE 2015-05-18T00:00:00-07:00 2015-05-18T00:00:00-07:00 2015-11871 Notice http://www.gpo.gov/fdsys/pkg/FR-2015-05-18/pdf/2015-11871.pdf https://regulations.justia.com/regulations/fedreg/2015/05/18/2015-11870.html Notice - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending the Constituent Documents of Its Intermediate Parent Companies NYSE Holdings LLC., Intercontinental Exchange, Inc., To Eliminate Certain Provisions That by Their Terms Have Become Void and Are of No Further Force and Effect as a Result of the Sale by ICE of Euronext N.V. in June 2014 and Make Conforming Changes to the Independence Policy of the Board of Directors of ICE 2015-05-18T00:00:00-07:00 2015-05-18T00:00:00-07:00 2015-11870 Notice http://www.gpo.gov/fdsys/pkg/FR-2015-05-18/pdf/2015-11870.pdf https://regulations.justia.com/regulations/fedreg/2015/05/18/2015-11869.html Notice - 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) 2015-05-18T00:00:00-07:00 2015-05-18T00:00:00-07:00 2015-11869 Notice http://www.gpo.gov/fdsys/pkg/FR-2015-05-18/pdf/2015-11869.pdf https://regulations.justia.com/regulations/fedreg/2015/05/18/2015-11868.html Notice - Self-Regulatory Organizations; The Depository Trust Company; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Make Technical Revisions to the DTC Custody Service Guide and the DTC Deposits Service Guide 2015-05-18T00:00:00-07:00 2015-05-18T00:00:00-07:00 2015-11868 Notice http://www.gpo.gov/fdsys/pkg/FR-2015-05-18/pdf/2015-11868.pdf https://regulations.justia.com/regulations/fedreg/2015/05/15/2015-11731.html Notice - Business Development Corporation of America, et al.; Notice of Application 2015-05-15T00:00:00-07:00 2015-05-15T00:00:00-07:00 2015-11731 Notice http://www.gpo.gov/fdsys/pkg/FR-2015-05-15/pdf/2015-11731.pdf https://regulations.justia.com/regulations/fedreg/2015/05/15/2015-11730.html Notice - The MainStay Funds, et al.; Notice of Application 2015-05-15T00:00:00-07:00 2015-05-15T00:00:00-07:00 2015-11730 Notice http://www.gpo.gov/fdsys/pkg/FR-2015-05-15/pdf/2015-11730.pdf https://regulations.justia.com/regulations/fedreg/2015/05/15/2015-11729.html Notice - Submission for OMB Review; Comment Request 2015-05-15T00:00:00-07:00 2015-05-15T00:00:00-07:00 2015-11729 Notice http://www.gpo.gov/fdsys/pkg/FR-2015-05-15/pdf/2015-11729.pdf https://regulations.justia.com/regulations/fedreg/2015/05/15/2015-11728.html Notice - Submission for OMB Review; Comment Request 2015-05-15T00:00:00-07:00 2015-05-15T00:00:00-07:00 2015-11728 Notice http://www.gpo.gov/fdsys/pkg/FR-2015-05-15/pdf/2015-11728.pdf https://regulations.justia.com/regulations/fedreg/2015/05/15/2015-11716.html Notice - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Related to Floor Broker Errors and the Use of Floor Broker Error Accounts 2015-05-15T00:00:00-07:00 2015-05-15T00:00:00-07:00 2015-11716 Notice http://www.gpo.gov/fdsys/pkg/FR-2015-05-15/pdf/2015-11716.pdf https://regulations.justia.com/regulations/fedreg/2015/05/15/2015-11715.html Notice - Self-Regulatory Organizations; ICE Clear Europe Limited; Notice of Filing of Proposed Rule Change Relating to Finance Procedures To Add Clearstream Banking as a Triparty Collateral Service Provider 2015-05-15T00:00:00-07:00 2015-05-15T00:00:00-07:00 2015-11715 Notice http://www.gpo.gov/fdsys/pkg/FR-2015-05-15/pdf/2015-11715.pdf https://regulations.justia.com/regulations/fedreg/2015/05/14/2015-11751.html Notice - In the Matter of InferX Corp., and Sedona Corp.; Order of Suspension of Trading 2015-05-14T00:00:00-07:00 2015-05-14T00:00:00-07:00 2015-11751 Notice http://www.gpo.gov/fdsys/pkg/FR-2015-05-14/pdf/2015-11751.pdf https://regulations.justia.com/regulations/fedreg/2015/05/14/2015-11622.html Notice - Joint Industry Plan; Notice of Filing of Amendment No. 35 to the Joint Self-Regulatory Organization Plan Governing the Collection, Consolidation and Dissemination of Quotation and Transaction Information for Nasdaq-Listed Securities Traded on Exchanges on an Unlisted Trading Privileges Basis Submitted by the BATS Exchange, Inc., BATS Y-Exchange, Inc., Chicago Board Options Exchange, Incorporated, Chicago Stock Exchange, Inc., EDGA Exchange, Inc., EDGX Exchange, Inc., Financial Industry Regulatory Authority, Inc., International Securities Exchange LLC, NASDAQ OMX BX, Inc., NASDAQ OMX PHLX LLC, Nasdaq Stock Market LLC, National Stock Exchange, Inc., New York Stock Exchange LLC, NYSE MKT LLC, and NYSE Arca, Inc. 2015-05-14T00:00:00-07:00 2015-05-14T00:00:00-07:00 2015-11622 Notice http://www.gpo.gov/fdsys/pkg/FR-2015-05-14/pdf/2015-11622.pdf https://regulations.justia.com/regulations/fedreg/2015/05/14/2015-11621.html Notice - Consolidated Tape Association; Notice of Filing of the Twenty Second Substantive Amendment to the Second Restatement of the CTA Plan and Sixteenth Substantive Amendment to the Restated CQ Plan 2015-05-14T00:00:00-07:00 2015-05-14T00:00:00-07:00 2015-11621 Notice http://www.gpo.gov/fdsys/pkg/FR-2015-05-14/pdf/2015-11621.pdf https://regulations.justia.com/regulations/fedreg/2015/05/14/2015-11605.html Notice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Rule 6.87-Obvious Errors and Catastrophic Errors in Order To Harmonize Substantial Portions of the Rule With Recently Adopted, and Proposed Rules of Other Options Exchanges 2015-05-14T00:00:00-07:00 2015-05-14T00:00:00-07:00 2015-11605 Notice http://www.gpo.gov/fdsys/pkg/FR-2015-05-14/pdf/2015-11605.pdf https://regulations.justia.com/regulations/fedreg/2015/05/14/2015-11604.html Notice - Self-Regulatory Organizations; NYSE MKT LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Rule 975NY-Obvious Errors and Catastrophic Errors in Order To Harmonize Substantial Portions of the Rule With Recently Adopted, and Proposed Rules of Other Options Exchanges 2015-05-14T00:00:00-07:00 2015-05-14T00:00:00-07:00 2015-11604 Notice http://www.gpo.gov/fdsys/pkg/FR-2015-05-14/pdf/2015-11604.pdf https://regulations.justia.com/regulations/fedreg/2015/05/14/2015-11603.html Notice - Self-Regulatory Organizations; Miami International Securities Exchange LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to the Nullification and Adjustment of Options Transactions Including Obvious Errors 2015-05-14T00:00:00-07:00 2015-05-14T00:00:00-07:00 2015-11603 Notice http://www.gpo.gov/fdsys/pkg/FR-2015-05-14/pdf/2015-11603.pdf https://regulations.justia.com/regulations/fedreg/2015/05/14/2015-11602.html Notice - Self-Regulatory Organizations; The Depository Trust Company; National Securities Clearing Corporation; Notice of Filing and No Objection to Advance Notices Relating to the Renewal of Existing Line of Credit 2015-05-14T00:00:00-07:00 2015-05-14T00:00:00-07:00 2015-11602 Notice http://www.gpo.gov/fdsys/pkg/FR-2015-05-14/pdf/2015-11602.pdf https://regulations.justia.com/regulations/fedreg/2015/05/14/2015-11598.html Notice - Proposed Collection; Comment Request 2015-05-14T00:00:00-07:00 2015-05-14T00:00:00-07:00 2015-11598 Notice http://www.gpo.gov/fdsys/pkg/FR-2015-05-14/pdf/2015-11598.pdf https://regulations.justia.com/regulations/fedreg/2015/05/14/2015-11597.html Notice - Proposed Collection; Comment Request 2015-05-14T00:00:00-07:00 2015-05-14T00:00:00-07:00 2015-11597 Notice http://www.gpo.gov/fdsys/pkg/FR-2015-05-14/pdf/2015-11597.pdf https://regulations.justia.com/regulations/fedreg/2015/05/14/2015-11595.html Notice - Self-Regulatory Organizations; ICE Clear Credit LLC; Order Approving Proposed Rule Change Relating to Physical Settlement of CDS Contracts 2015-05-14T00:00:00-07:00 2015-05-14T00:00:00-07:00 2015-11595 Notice http://www.gpo.gov/fdsys/pkg/FR-2015-05-14/pdf/2015-11595.pdf https://regulations.justia.com/regulations/fedreg/2015/05/14/2015-11594.html Notice - Self-Regulatory Organizations; NASDAQ OMX BX, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Chapter V, Section 6 2015-05-14T00:00:00-07:00 2015-05-14T00:00:00-07:00 2015-11594 Notice http://www.gpo.gov/fdsys/pkg/FR-2015-05-14/pdf/2015-11594.pdf https://regulations.justia.com/regulations/fedreg/2015/05/14/2015-11593.html Notice - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Chapter V, Section 6 2015-05-14T00:00:00-07:00 2015-05-14T00:00:00-07:00 2015-11593 Notice http://www.gpo.gov/fdsys/pkg/FR-2015-05-14/pdf/2015-11593.pdf https://regulations.justia.com/regulations/fedreg/2015/05/14/2015-11591.html Notice - Self-Regulatory Organizations; BOX Options Exchange LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Replace BOX Rule 7170 (Obvious and Catastrophic Errors) With New Rule 7170 (Nullification and Adjustment of Options Transactions Including Obvious Errors) 2015-05-14T00:00:00-07:00 2015-05-14T00:00:00-07:00 2015-11591 Notice http://www.gpo.gov/fdsys/pkg/FR-2015-05-14/pdf/2015-11591.pdf https://regulations.justia.com/regulations/fedreg/2015/05/14/2015-11590.html Notice - Self-Regulatory Organizations; Fixed Income Clearing Corporation; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Clarify the Rules of the Government Securities Division and the Mortgage-Backed Securities Division Regarding the Default of Fixed Income Clearing Corporation 2015-05-14T00:00:00-07:00 2015-05-14T00:00:00-07:00 2015-11590 Notice http://www.gpo.gov/fdsys/pkg/FR-2015-05-14/pdf/2015-11590.pdf https://regulations.justia.com/regulations/fedreg/2015/05/14/2015-11588.html Notice - Self-Regulatory Organizations; NASDAQ OMX PHLX LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Rule 1092 2015-05-14T00:00:00-07:00 2015-05-14T00:00:00-07:00 2015-11588 Notice http://www.gpo.gov/fdsys/pkg/FR-2015-05-14/pdf/2015-11588.pdf https://regulations.justia.com/regulations/fedreg/2015/05/13/2015-11592.html Notice - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Proposed Rule To Introduce Asian Style Settlement and Cliquet Style Settlement for FLexible Exchange Broad-Based Index Options 2015-05-13T00:00:00-07:00 2015-05-13T00:00:00-07:00 2015-11592 Notice http://www.gpo.gov/fdsys/pkg/FR-2015-05-13/pdf/2015-11592.pdf https://regulations.justia.com/regulations/fedreg/2015/05/13/2015-11587.html Notice - Self-Regulatory Organizations; International Securities Exchange, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Related to the Nullification and Adjustment of Options Transactions Including Obvious Errors 2015-05-13T00:00:00-07:00 2015-05-13T00:00:00-07:00 2015-11587 Notice http://www.gpo.gov/fdsys/pkg/FR-2015-05-13/pdf/2015-11587.pdf https://regulations.justia.com/regulations/fedreg/2015/05/13/2015-11492.html Notice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending the Fees for NYSE ArcaBook To Add a Late Fee in Connection With Failure To Submit the Non-Display Use Declaration 2015-05-13T00:00:00-07:00 2015-05-13T00:00:00-07:00 2015-11492 Notice http://www.gpo.gov/fdsys/pkg/FR-2015-05-13/pdf/2015-11492.pdf https://regulations.justia.com/regulations/fedreg/2015/05/13/2015-11491.html Notice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending the Fees for NYSE Arca BBO and NYSE Arca Trades To Add a Late Fee in Connection With Failure To Submit the Non-Display Use Declaration 2015-05-13T00:00:00-07:00 2015-05-13T00:00:00-07:00 2015-11491 Notice http://www.gpo.gov/fdsys/pkg/FR-2015-05-13/pdf/2015-11491.pdf https://regulations.justia.com/regulations/fedreg/2015/05/13/2015-11485.html Notice - Self-Regulatory Organizations; C2 Options Exchange, Incorporated; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to the Nullification and Adjustment of Options Transactions Including Obvious Errors 2015-05-13T00:00:00-07:00 2015-05-13T00:00:00-07:00 2015-11485 Notice http://www.gpo.gov/fdsys/pkg/FR-2015-05-13/pdf/2015-11485.pdf https://regulations.justia.com/regulations/fedreg/2015/05/13/2015-11484.html Notice - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to the Nullification and Adjustment of Options Transactions Including Obvious Errors 2015-05-13T00:00:00-07:00 2015-05-13T00:00:00-07:00 2015-11484 Notice http://www.gpo.gov/fdsys/pkg/FR-2015-05-13/pdf/2015-11484.pdf https://regulations.justia.com/regulations/fedreg/2015/05/13/2015-11483.html Notice - Self-Regulatory Organizations; ISE Gemini, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Related to the Nullification and Adjustment of Options Transactions Including Obvious Errors 2015-05-13T00:00:00-07:00 2015-05-13T00:00:00-07:00 2015-11483 Notice http://www.gpo.gov/fdsys/pkg/FR-2015-05-13/pdf/2015-11483.pdf https://regulations.justia.com/regulations/fedreg/2015/05/13/2015-11481.html Notice - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Billing Policies 2015-05-13T00:00:00-07:00 2015-05-13T00:00:00-07:00 2015-11481 Notice http://www.gpo.gov/fdsys/pkg/FR-2015-05-13/pdf/2015-11481.pdf https://regulations.justia.com/regulations/fedreg/2015/05/13/2015-11480.html Notice - Self-Regulatory Organizations; The Options Clearing Corporation; Order Approving Proposed Rule Change To Enhance the Measurement Used To Establish Minimum Capital Requirements for Banks Approved To Issue Letters of Credit 2015-05-13T00:00:00-07:00 2015-05-13T00:00:00-07:00 2015-11480 Notice http://www.gpo.gov/fdsys/pkg/FR-2015-05-13/pdf/2015-11480.pdf https://regulations.justia.com/regulations/fedreg/2015/05/13/2015-11425.html Notice - Joint Industry Plans; Order Approving the National Market System Plan To Implement a Tick Size Pilot Program by BATS Exchange, Inc., BATS Y-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, New York Stock Exchange LLC, NYSE MKT LLC, and NYSE Arca, Inc., as Modified by the Commission, for a Two-Year Period 2015-05-13T00:00:00-07:00 2015-05-13T00:00:00-07:00 2015-11425 Notice http://www.gpo.gov/fdsys/pkg/FR-2015-05-13/pdf/2015-11425.pdf https://regulations.justia.com/regulations/fedreg/2015/05/13/2015-10382.html Proposed Rule - Application of Certain Title VII Requirements to Security-Based Swap Transactions Connected With a Non-U.S. Person's Dealing Activity That Are Arranged, Negotiated, or Executed by Personnel Located in a U.S. Branch or Office or in a U.S. Branch or Office of an Agent 2015-05-13T00:00:00-07:00 2015-05-13T00:00:00-07:00

2015-10382 Proposed Rule http://www.gpo.gov/fdsys/pkg/FR-2015-05-13/pdf/2015-10382.pdf https://regulations.justia.com/regulations/fedreg/2015/05/12/2015-11508.html Notice - Sunshine Act Meeting 2015-05-12T00:00:00-07:00 2015-05-12T00:00:00-07:00 2015-11508 Notice http://www.gpo.gov/fdsys/pkg/FR-2015-05-12/pdf/2015-11508.pdf https://regulations.justia.com/regulations/fedreg/2015/05/12/2015-11381.html Notice - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing of 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 2015-05-12T00:00:00-07:00 2015-05-12T00:00:00-07:00 2015-11381 Notice http://www.gpo.gov/fdsys/pkg/FR-2015-05-12/pdf/2015-11381.pdf https://regulations.justia.com/regulations/fedreg/2015/05/12/2015-11380.html Notice - Self-Regulatory Organizations; New York Stock Exchange, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Deleting Rules 16 and 17T Related to the Terminated Intermarket Trading System, NMS Linkage Plans, and Amending Rules 45, 47, 52, 54, 93, 94, 95, 104A.50 and 123 To Remove Outdated References to the ITS Plan 2015-05-12T00:00:00-07:00 2015-05-12T00:00:00-07:00 2015-11380 Notice http://www.gpo.gov/fdsys/pkg/FR-2015-05-12/pdf/2015-11380.pdf https://regulations.justia.com/regulations/fedreg/2015/05/12/2015-11379.html Notice - Self-Regulatory Organizations; C2 Options Exchange, Incorporated; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to the Effectiveness of a Permit Holder 2015-05-12T00:00:00-07:00 2015-05-12T00:00:00-07:00 2015-11379 Notice http://www.gpo.gov/fdsys/pkg/FR-2015-05-12/pdf/2015-11379.pdf https://regulations.justia.com/regulations/fedreg/2015/05/12/2015-11375.html Notice - Self-Regulatory Organizations; NYSE MKT LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending the Fees for NYSE MKT OpenBook To Add a Late Fee In Connection With Failure To Submit the Non-Display Use Declaration 2015-05-12T00:00:00-07:00 2015-05-12T00:00:00-07:00 2015-11375 Notice http://www.gpo.gov/fdsys/pkg/FR-2015-05-12/pdf/2015-11375.pdf https://regulations.justia.com/regulations/fedreg/2015/05/12/2015-11374.html Notice - Self-Regulatory Organizations; NYSE MKT LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending the Fees for NYSE MKT Order Imbalances to Add a Late Fee In Connection With Failure To Submit the Non-Display Use Declaration 2015-05-12T00:00:00-07:00 2015-05-12T00:00:00-07:00 2015-11374 Notice http://www.gpo.gov/fdsys/pkg/FR-2015-05-12/pdf/2015-11374.pdf https://regulations.justia.com/regulations/fedreg/2015/05/12/2015-11373.html Notice - Self-Regulatory Organizations; NYSE MKT, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending the Fees for NYSE MKT BBO and NYSE MKT Trades To Add a Late Fee In Connection With Failure To Submit the Non-Display Use Declaration 2015-05-12T00:00:00-07:00 2015-05-12T00:00:00-07:00 2015-11373 Notice http://www.gpo.gov/fdsys/pkg/FR-2015-05-12/pdf/2015-11373.pdf https://regulations.justia.com/regulations/fedreg/2015/05/12/2015-11372.html Notice - Self-Regulatory Organizations; The NASDAQ Stock Market, LLC; Notice of Designation of Longer Period for Commission Action on Proposed Rule Change To Amend and Restate Certain Nasdaq Rules That Govern the Nasdaq Market Center 2015-05-12T00:00:00-07:00 2015-05-12T00:00:00-07:00 2015-11372 Notice http://www.gpo.gov/fdsys/pkg/FR-2015-05-12/pdf/2015-11372.pdf https://regulations.justia.com/regulations/fedreg/2015/05/12/2015-11371.html Notice - Self-Regulatory Organizations; The NASDAQ Stock Market, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to the Listing and Trading of the Shares of the First Trust Low Beta Income ETF, a Series of First Trust Exchange-Traded Fund VI 2015-05-12T00:00:00-07:00 2015-05-12T00:00:00-07:00 2015-11371 Notice http://www.gpo.gov/fdsys/pkg/FR-2015-05-12/pdf/2015-11371.pdf https://regulations.justia.com/regulations/fedreg/2015/05/12/2015-11370.html Notice - Submission for OMB Review; Comment Request 2015-05-12T00:00:00-07:00 2015-05-12T00:00:00-07:00 2015-11370 Notice http://www.gpo.gov/fdsys/pkg/FR-2015-05-12/pdf/2015-11370.pdf https://regulations.justia.com/regulations/fedreg/2015/05/12/2015-11369.html Notice - Submission for OMB Review; Comment Request 2015-05-12T00:00:00-07:00 2015-05-12T00:00:00-07:00 2015-11369 Notice http://www.gpo.gov/fdsys/pkg/FR-2015-05-12/pdf/2015-11369.pdf https://regulations.justia.com/regulations/fedreg/2015/05/12/2015-11368.html Notice - Proposed Collection; Comment Request 2015-05-12T00:00:00-07:00 2015-05-12T00:00:00-07:00 2015-11368 Notice http://www.gpo.gov/fdsys/pkg/FR-2015-05-12/pdf/2015-11368.pdf https://regulations.justia.com/regulations/fedreg/2015/05/11/2015-11365.html Notice - Sunshine Act Meeting 2015-05-11T00:00:00-07:00 2015-05-11T00:00:00-07:00 2015-11365 Notice http://www.gpo.gov/fdsys/pkg/FR-2015-05-11/pdf/2015-11365.pdf https://regulations.justia.com/regulations/fedreg/2015/05/11/2015-11276.html Notice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending the Fees for NYSE Arca Options Market Data To Add a Late Fee in Connection With Failure To Submit the Non-Display Use Declaration 2015-05-11T00:00:00-07:00 2015-05-11T00:00:00-07:00 2015-11276 Notice http://www.gpo.gov/fdsys/pkg/FR-2015-05-11/pdf/2015-11276.pdf https://regulations.justia.com/regulations/fedreg/2015/05/11/2015-11275.html Notice - Self-Regulatory Organizations; BOX Options Exchange LLC; Notice of Filing of Amendment No. 1 and Order Granting Accelerated Approval of a Proposed Rule Change To Establish a Pilot Program, as Modified by Amendment No. 1, To List and Trade Options Settling to the RealVolTM 2015-05-11T00:00:00-07:00 2015-05-11T00:00:00-07:00 2015-11275 Notice http://www.gpo.gov/fdsys/pkg/FR-2015-05-11/pdf/2015-11275.pdf https://regulations.justia.com/regulations/fedreg/2015/05/11/2015-11274.html Notice - Self-Regulatory Organizations; NYSE MKT LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending the Fees NYSE Amex Options Market Data To Add a Late Fee in Connection With Failure To Submit the Non-Display Use Declaration 2015-05-11T00:00:00-07:00 2015-05-11T00:00:00-07:00 2015-11274 Notice http://www.gpo.gov/fdsys/pkg/FR-2015-05-11/pdf/2015-11274.pdf https://regulations.justia.com/regulations/fedreg/2015/05/11/2015-11273.html Notice - Self-Regulatory Organizations; NASDAQ OMX PHLX LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Exchange Rules To Describe How All-or-None Orders Are Handled by Its New Options Floor Broker Management System 2015-05-11T00:00:00-07:00 2015-05-11T00:00:00-07:00 2015-11273 Notice http://www.gpo.gov/fdsys/pkg/FR-2015-05-11/pdf/2015-11273.pdf https://regulations.justia.com/regulations/fedreg/2015/05/11/2015-11272.html Notice - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to the Listing and Trading of the Shares of the First Trust High Income ETF, a Series of First Trust Exchange-Traded Fund VI 2015-05-11T00:00:00-07:00 2015-05-11T00:00:00-07:00 2015-11272 Notice http://www.gpo.gov/fdsys/pkg/FR-2015-05-11/pdf/2015-11272.pdf https://regulations.justia.com/regulations/fedreg/2015/05/11/2015-11271.html Notice - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending the Fees for NYSE Order Imbalances To Add a Late Fee in Connection With Failure To Submit the Non-Display Use Declaration 2015-05-11T00:00:00-07:00 2015-05-11T00:00:00-07:00 2015-11271 Notice http://www.gpo.gov/fdsys/pkg/FR-2015-05-11/pdf/2015-11271.pdf https://regulations.justia.com/regulations/fedreg/2015/05/11/2015-11270.html Notice - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending the Fees for NYSE OpenBook To Add a Late Fee in Connection With Failure To Submit the Non-Display Use Declaration 2015-05-11T00:00:00-07:00 2015-05-11T00:00:00-07:00 2015-11270 Notice http://www.gpo.gov/fdsys/pkg/FR-2015-05-11/pdf/2015-11270.pdf https://regulations.justia.com/regulations/fedreg/2015/05/08/2015-11080.html Notice - Self-Regulatory Organizations; NYSE Arca, Inc.; Order Approving a Proposed Rule Change, as Modified by Amendment No. 1, to the List and Trade Shares of the Principal EDGE Active Income ETF Under NYSE Arca Equities Rule 8.600 2015-05-08T00:00:00-07:00 2015-05-08T00:00:00-07:00 2015-11080 Notice http://www.gpo.gov/fdsys/pkg/FR-2015-05-08/pdf/2015-11080.pdf https://regulations.justia.com/regulations/fedreg/2015/05/08/2015-11059.html Notice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending the Fees for NYSE Arca Integrated Feed To Add a Late Fee In Connection With Failure To Submit the Non-Display Use Declaration 2015-05-08T00:00:00-07:00 2015-05-08T00:00:00-07:00 2015-11059 Notice http://www.gpo.gov/fdsys/pkg/FR-2015-05-08/pdf/2015-11059.pdf https://regulations.justia.com/regulations/fedreg/2015/05/08/2015-11058.html Notice - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to Automated Improvement Mechanism Order Allocation 2015-05-08T00:00:00-07:00 2015-05-08T00:00:00-07:00 2015-11058 Notice http://www.gpo.gov/fdsys/pkg/FR-2015-05-08/pdf/2015-11058.pdf https://regulations.justia.com/regulations/fedreg/2015/05/08/2015-11057.html Notice - Self-Regulatory Organizations; NYSE Arca, Inc.; Order Instituting Proceedings To Determine Whether To Approve or Disapprove Proposed Rule Change Amending NYSE Arca Equities Rule 5.2(j)(3), Commentary .02 Relating to the Listing of Investment Company Units Based on Municipal Bond Indexes 2015-05-08T00:00:00-07:00 2015-05-08T00:00:00-07:00 2015-11057 Notice http://www.gpo.gov/fdsys/pkg/FR-2015-05-08/pdf/2015-11057.pdf https://regulations.justia.com/regulations/fedreg/2015/05/08/2015-11056.html Notice - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Designation of Longer Period for Commission Action on Proposed Rule Change Relating to Rules 6.74A and 6.74B 2015-05-08T00:00:00-07:00 2015-05-08T00:00:00-07:00 2015-11056 Notice http://www.gpo.gov/fdsys/pkg/FR-2015-05-08/pdf/2015-11056.pdf https://regulations.justia.com/regulations/fedreg/2015/05/08/2015-11055.html Notice - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending the Fees for NYSE BBO and NYSE Trades To Add a Late Fee In Connection With Failure To Submit the Non-Display Use Declaration 2015-05-08T00:00:00-07:00 2015-05-08T00:00:00-07:00 2015-11055 Notice http://www.gpo.gov/fdsys/pkg/FR-2015-05-08/pdf/2015-11055.pdf https://regulations.justia.com/regulations/fedreg/2015/05/08/2015-11054.html Notice - Self-Regulatory Organizations; Municipal Securities Rulemaking Board; Notice of Filing of 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 2015-05-08T00:00:00-07:00 2015-05-08T00:00:00-07:00 2015-11054 Notice http://www.gpo.gov/fdsys/pkg/FR-2015-05-08/pdf/2015-11054.pdf https://regulations.justia.com/regulations/fedreg/2015/05/07/2015-11116.html Notice - A.B. Watley Group, Inc., Cambridge Heart, Inc., iGenii Inc., and RKO Resources, Inc. (a/k/a Shamika 2 Gold, Inc.); Order of Suspension of Trading 2015-05-07T00:00:00-07:00 2015-05-07T00:00:00-07:00 2015-11116 Notice http://www.gpo.gov/fdsys/pkg/FR-2015-05-07/pdf/2015-11116.pdf https://regulations.justia.com/regulations/fedreg/2015/05/07/2015-10957.html Notice - Self-Regulatory Organizations: Miami International Securities Exchange LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Its Fee Schedule 2015-05-07T00:00:00-07:00 2015-05-07T00:00:00-07:00 2015-10957 Notice http://www.gpo.gov/fdsys/pkg/FR-2015-05-07/pdf/2015-10957.pdf https://regulations.justia.com/regulations/fedreg/2015/05/07/2015-10952.html Notice - Self-Regulatory Organizations; Miami International Securities Exchange LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Its Fee Schedule 2015-05-07T00:00:00-07:00 2015-05-07T00:00:00-07:00 2015-10952 Notice http://www.gpo.gov/fdsys/pkg/FR-2015-05-07/pdf/2015-10952.pdf https://regulations.justia.com/regulations/fedreg/2015/05/07/2015-10946.html Notice - Self-Regulatory Organizations; Municipal Securities Rulemaking Board; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Consisting of the Specifications for the Selection of Examination Questions and Content Outline for the Municipal Advisor Representative Qualification Examination 2015-05-07T00:00:00-07:00 2015-05-07T00:00:00-07:00 2015-10946 Notice http://www.gpo.gov/fdsys/pkg/FR-2015-05-07/pdf/2015-10946.pdf https://regulations.justia.com/regulations/fedreg/2015/05/07/2015-10429.html Proposed Rule - Pay Versus Performance 2015-05-07T00:00:00-07:00 2015-05-07T00:00:00-07:00

2015-10429 Proposed Rule http://www.gpo.gov/fdsys/pkg/FR-2015-05-07/pdf/2015-10429.pdf https://regulations.justia.com/regulations/fedreg/2015/05/06/2015-10586.html Notice - Syntax, LLC and Syntax ETF Trust; Notice of Application 2015-05-06T00:00:00-07:00 2015-05-06T00:00:00-07:00 2015-10586 Notice http://www.gpo.gov/fdsys/pkg/FR-2015-05-06/pdf/2015-10586.pdf https://regulations.justia.com/regulations/fedreg/2015/05/06/2015-10585.html Notice - TCW Direct Lending LLC, et al.; Notice of Application 2015-05-06T00:00:00-07:00 2015-05-06T00:00:00-07:00 2015-10585 Notice http://www.gpo.gov/fdsys/pkg/FR-2015-05-06/pdf/2015-10585.pdf https://regulations.justia.com/regulations/fedreg/2015/05/06/2015-10511.html Notice - Starboard Investment Trust and Foliometrix, LLC; Notice of Application 2015-05-06T00:00:00-07:00 2015-05-06T00:00:00-07:00

2015-10511 Notice http://www.gpo.gov/fdsys/pkg/FR-2015-05-06/pdf/2015-10511.pdf https://regulations.justia.com/regulations/fedreg/2015/05/06/2015-10505.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 2015-05-06T00:00:00-07:00 2015-05-06T00:00:00-07:00 2015-10505 Notice http://www.gpo.gov/fdsys/pkg/FR-2015-05-06/pdf/2015-10505.pdf https://regulations.justia.com/regulations/fedreg/2015/05/06/2015-10504.html Notice - Self-Regulatory Organizations; The Options Clearing Corporation; Order Approving Proposed Rule Change Concerning the Provision of Clearance and Settlement Services for Energy Futures and Options on Energy Futures 2015-05-06T00:00:00-07:00 2015-05-06T00:00:00-07:00 2015-10504 Notice http://www.gpo.gov/fdsys/pkg/FR-2015-05-06/pdf/2015-10504.pdf https://regulations.justia.com/regulations/fedreg/2015/05/06/2015-10503.html Notice - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing of 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 2015-05-06T00:00:00-07:00 2015-05-06T00:00:00-07:00 2015-10503 Notice http://www.gpo.gov/fdsys/pkg/FR-2015-05-06/pdf/2015-10503.pdf https://regulations.justia.com/regulations/fedreg/2015/05/05/2015-10538.html Notice - Sunshine Act Meeting 2015-05-05T00:00:00-07:00 2015-05-05T00:00:00-07:00 2015-10538 Notice http://www.gpo.gov/fdsys/pkg/FR-2015-05-05/pdf/2015-10538.pdf https://regulations.justia.com/regulations/fedreg/2015/05/05/2015-10412.html Notice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing of Amendments Nos. 1 and 2 and Order Granting Accelerated Approval of a Proposed Rule Change, as Modified by Amendments Nos. 1 and 2, To List and Trade Shares of Eight PIMCO Exchange-Traded Funds 2015-05-05T00:00:00-07:00 2015-05-05T00:00:00-07:00 2015-10412 Notice http://www.gpo.gov/fdsys/pkg/FR-2015-05-05/pdf/2015-10412.pdf https://regulations.justia.com/regulations/fedreg/2015/05/05/2015-10411.html Notice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Modifying Its Rules To Provide for the Use of Ports That Provide Connectivity to the Exchange's Trading Systems Solely for the Cancellation or “Takedown” of Quotes and Changes to the NYSE Arca Options Fee Schedule Related to Quote Takedown Service 2015-05-05T00:00:00-07:00 2015-05-05T00:00:00-07:00 2015-10411 Notice http://www.gpo.gov/fdsys/pkg/FR-2015-05-05/pdf/2015-10411.pdf https://regulations.justia.com/regulations/fedreg/2015/05/05/2015-10410.html Notice - Self-Regulatory Organizations; NYSE MKT LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Modifying Its Rules To Provide for the Use of Ports That Provide Connectivity to the Exchange's Trading Systems Solely for the Cancellation or “Takedown” of Quotes and Changes to the NYSE Amex Options Fee Schedule Related to This Quote Takedown Service 2015-05-05T00:00:00-07:00 2015-05-05T00:00:00-07:00 2015-10410 Notice http://www.gpo.gov/fdsys/pkg/FR-2015-05-05/pdf/2015-10410.pdf https://regulations.justia.com/regulations/fedreg/2015/05/05/2015-10406.html Notice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing of Proposed Rule Change Relating to Listing and Trading of Shares of ALPS Enhanced Put Write Strategy ETF under NYSE Arca Equities Rule 8.600 2015-05-05T00:00:00-07:00 2015-05-05T00:00:00-07:00 2015-10406 Notice http://www.gpo.gov/fdsys/pkg/FR-2015-05-05/pdf/2015-10406.pdf https://regulations.justia.com/regulations/fedreg/2015/05/05/2015-10405.html Notice - Self-Regulatory Organizations; NYSE MKT LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Rule 15-Equities To Reflect That Exchange Systems Will Not Publish Order Imbalance Information on the Initial Public Offering of a Security 2015-05-05T00:00:00-07:00 2015-05-05T00:00:00-07:00 2015-10405 Notice http://www.gpo.gov/fdsys/pkg/FR-2015-05-05/pdf/2015-10405.pdf https://regulations.justia.com/regulations/fedreg/2015/05/05/2015-10404.html Notice - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Rule 15 To Reflect That Exchange Systems Will Not Publish Order Imbalance Information on the Initial Public Offering of a Security 2015-05-05T00:00:00-07:00 2015-05-05T00:00:00-07:00 2015-10404 Notice http://www.gpo.gov/fdsys/pkg/FR-2015-05-05/pdf/2015-10404.pdf https://regulations.justia.com/regulations/fedreg/2015/05/05/2015-10403.html Notice - Self-Regulatory Organizations; NASDAQ OMX PHLX LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to the Phlx Permit Fee, Order Entry Port Fee, Clearing Trade Interface Port Fee, and Active Specialized Quote Feed Port Fee 2015-05-05T00:00:00-07:00 2015-05-05T00:00:00-07:00 2015-10403 Notice http://www.gpo.gov/fdsys/pkg/FR-2015-05-05/pdf/2015-10403.pdf https://regulations.justia.com/regulations/fedreg/2015/05/05/2015-10402.html Notice - Self-Regulatory Organizations; International Securities Exchange, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Rule 502 2015-05-05T00:00:00-07:00 2015-05-05T00:00:00-07:00 2015-10402 Notice http://www.gpo.gov/fdsys/pkg/FR-2015-05-05/pdf/2015-10402.pdf https://regulations.justia.com/regulations/fedreg/2015/05/05/2015-10401.html Notice - Self-Regulatory Organizations; The Depository Trust Company; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to a DTC Custody Service Fee Change 2015-05-05T00:00:00-07:00 2015-05-05T00:00:00-07:00 2015-10401 Notice http://www.gpo.gov/fdsys/pkg/FR-2015-05-05/pdf/2015-10401.pdf https://regulations.justia.com/regulations/fedreg/2015/05/05/2015-10400.html Notice - Self-Regulatory Organizations; The Depository Trust Company; Notice of Filing of Proposed Rule Change Regarding the Acknowledgment of End-of-Day Net-Net Settlement Balances by Settling Banks 2015-05-05T00:00:00-07:00 2015-05-05T00:00:00-07:00 2015-10400 Notice http://www.gpo.gov/fdsys/pkg/FR-2015-05-05/pdf/2015-10400.pdf https://regulations.justia.com/regulations/fedreg/2015/05/05/2015-10399.html Notice - 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 2015-05-05T00:00:00-07:00 2015-05-05T00:00:00-07:00 2015-10399 Notice http://www.gpo.gov/fdsys/pkg/FR-2015-05-05/pdf/2015-10399.pdf https://regulations.justia.com/regulations/fedreg/2015/05/05/2015-10398.html Notice - Submission for OMB Review; Comment Request 2015-05-05T00:00:00-07:00 2015-05-05T00:00:00-07:00 2015-10398 Notice http://www.gpo.gov/fdsys/pkg/FR-2015-05-05/pdf/2015-10398.pdf https://regulations.justia.com/regulations/fedreg/2015/05/05/2015-10397.html Notice - Proposed Collection; Comment Request 2015-05-05T00:00:00-07:00 2015-05-05T00:00:00-07:00 2015-10397 Notice http://www.gpo.gov/fdsys/pkg/FR-2015-05-05/pdf/2015-10397.pdf https://regulations.justia.com/regulations/fedreg/2015/05/04/2015-10438.html Notice - In the Matter of Cedar Creek Mines Ltd., General Kinetics Incorporated, ProDigital Film Studios, Inc. (a/k/a ProDigital Film Labs, Inc.), SendTec, Inc., and Specialized Services, Inc. (n/k/a Exergetic Energy, Inc.); Order of Suspension of Trading 2015-05-04T00:00:00-07:00 2015-05-04T00:00:00-07:00 2015-10438 Notice http://www.gpo.gov/fdsys/pkg/FR-2015-05-04/pdf/2015-10438.pdf https://regulations.justia.com/regulations/fedreg/2015/05/04/2015-10437.html Notice - In the Matter of Eden Energy Corp. and Fifth Season International, Inc., Order of Suspension of Trading 2015-05-04T00:00:00-07:00 2015-05-04T00:00:00-07:00 2015-10437 Notice http://www.gpo.gov/fdsys/pkg/FR-2015-05-04/pdf/2015-10437.pdf https://regulations.justia.com/regulations/fedreg/2015/05/04/2015-10312.html Notice - Self-Regulatory Organizations; NYSE MKT LLC; Notice of Filing of Proposed Rule Change To Amend the Sixth Amended and Restated Operating Agreement of the Exchange 2015-05-04T00:00:00-07:00 2015-05-04T00:00:00-07:00 2015-10312 Notice http://www.gpo.gov/fdsys/pkg/FR-2015-05-04/pdf/2015-10312.pdf https://regulations.justia.com/regulations/fedreg/2015/05/04/2015-10311.html Notice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing of Proposed Rule Change to Amend NYSE Arca Rules 3.1 and 3.3 and Section 4.01(a) of the Exchange's Bylaws to Establish a Regulatory Oversight Committee as a Committee of the Board of Directors of the Exchange 2015-05-04T00:00:00-07:00 2015-05-04T00:00:00-07:00 2015-10311 Notice http://www.gpo.gov/fdsys/pkg/FR-2015-05-04/pdf/2015-10311.pdf https://regulations.justia.com/regulations/fedreg/2015/05/04/2015-10285.html Notice - Submission for OMB Review; Comment Request 2015-05-04T00:00:00-07:00 2015-05-04T00:00:00-07:00 2015-10285 Notice http://www.gpo.gov/fdsys/pkg/FR-2015-05-04/pdf/2015-10285.pdf https://regulations.justia.com/regulations/fedreg/2015/05/04/2015-10284.html Notice - Submission for OMB Review; Comment Request 2015-05-04T00:00:00-07:00 2015-05-04T00:00:00-07:00 2015-10284 Notice http://www.gpo.gov/fdsys/pkg/FR-2015-05-04/pdf/2015-10284.pdf https://regulations.justia.com/regulations/fedreg/2015/05/04/2015-10283.html Notice - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Collection of Exchange Fees 2015-05-04T00:00:00-07:00 2015-05-04T00:00:00-07:00 2015-10283 Notice http://www.gpo.gov/fdsys/pkg/FR-2015-05-04/pdf/2015-10283.pdf https://regulations.justia.com/regulations/fedreg/2015/05/04/2015-10282.html Notice - Self-Regulatory Organizations; Notice of Filing and Immediate Effectiveness of Proposed Rule Change by NASDAQ OMX BX, Inc. Relating to Fees, Dues and Other Charges 2015-05-04T00:00:00-07:00 2015-05-04T00:00:00-07:00 2015-10282 Notice http://www.gpo.gov/fdsys/pkg/FR-2015-05-04/pdf/2015-10282.pdf https://regulations.justia.com/regulations/fedreg/2015/05/04/2015-10281.html Notice - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Fees, Dues and Other Charges 2015-05-04T00:00:00-07:00 2015-05-04T00:00:00-07:00 2015-10281 Notice http://www.gpo.gov/fdsys/pkg/FR-2015-05-04/pdf/2015-10281.pdf https://regulations.justia.com/regulations/fedreg/2015/05/01/2015-10176.html Notice - Highland Funds I, et al.; Notice of Application 2015-05-01T00:00:00-07:00 2015-05-01T00:00:00-07:00 2015-10176 Notice http://www.gpo.gov/fdsys/pkg/FR-2015-05-01/pdf/2015-10176.pdf https://regulations.justia.com/regulations/fedreg/2015/05/01/2015-10160.html Notice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing of Amendment Nos. 2 and 3 and Order Granting Accelerated Approval of a Proposed Rule Change, as Modified by Amendment Nos. 1, 2, and 3, To Reflect Changes to the Means of Achieving the Investment Objective Applicable to the Guggenheim Enhanced Short Duration ETF 2015-05-01T00:00:00-07:00 2015-05-01T00:00:00-07:00 2015-10160 Notice http://www.gpo.gov/fdsys/pkg/FR-2015-05-01/pdf/2015-10160.pdf https://regulations.justia.com/regulations/fedreg/2015/05/01/2015-10136.html Notice - Self-Regulatory Organizations; The Options Clearing Corporation; Order Granting Approval of Accelerated Delivery of Supplement to the Options Disclosure Document Reflecting the Inclusion of Disclosure Regarding Foreign Currency Index Options and Changes to Disclosure Regarding Implied Volatility Index Options 2015-05-01T00:00:00-07:00 2015-05-01T00:00:00-07:00 2015-10136 Notice http://www.gpo.gov/fdsys/pkg/FR-2015-05-01/pdf/2015-10136.pdf