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

Results 151 - 179 of 179
Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the Fees Schedule
Document Number: 2015-10505
Type: Notice
Date: 2015-05-06
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2015/05/06/2015-10505.html
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
Document Number: 2015-10504
Type: Notice
Date: 2015-05-06
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2015/05/06/2015-10504.html
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
Document Number: 2015-10503
Type: Notice
Date: 2015-05-06
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2015/05/06/2015-10503.html
Sunshine Act Meeting
Document Number: 2015-10538
Type: Notice
Date: 2015-05-05
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2015/05/05/2015-10538.html
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
Document Number: 2015-10412
Type: Notice
Date: 2015-05-05
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2015/05/05/2015-10412.html
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
Document Number: 2015-10411
Type: Notice
Date: 2015-05-05
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2015/05/05/2015-10411.html
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
Document Number: 2015-10410
Type: Notice
Date: 2015-05-05
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2015/05/05/2015-10410.html
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
Document Number: 2015-10406
Type: Notice
Date: 2015-05-05
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2015/05/05/2015-10406.html
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
Document Number: 2015-10405
Type: Notice
Date: 2015-05-05
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2015/05/05/2015-10405.html
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
Document Number: 2015-10404
Type: Notice
Date: 2015-05-05
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2015/05/05/2015-10404.html
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
Document Number: 2015-10403
Type: Notice
Date: 2015-05-05
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2015/05/05/2015-10403.html
Self-Regulatory Organizations; International Securities Exchange, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Rule 502
Document Number: 2015-10402
Type: Notice
Date: 2015-05-05
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2015/05/05/2015-10402.html
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
Document Number: 2015-10401
Type: Notice
Date: 2015-05-05
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2015/05/05/2015-10401.html
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
Document Number: 2015-10400
Type: Notice
Date: 2015-05-05
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2015/05/05/2015-10400.html
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
Document Number: 2015-10399
Type: Notice
Date: 2015-05-05
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2015/05/05/2015-10399.html
Submission for OMB Review; Comment Request
Document Number: 2015-10398
Type: Notice
Date: 2015-05-05
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2015/05/05/2015-10398.html
Proposed Collection; Comment Request
Document Number: 2015-10397
Type: Notice
Date: 2015-05-05
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2015/05/05/2015-10397.html
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
Document Number: 2015-10438
Type: Notice
Date: 2015-05-04
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2015/05/04/2015-10438.html
In the Matter of Eden Energy Corp. and Fifth Season International, Inc., Order of Suspension of Trading
Document Number: 2015-10437
Type: Notice
Date: 2015-05-04
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2015/05/04/2015-10437.html
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
Document Number: 2015-10312
Type: Notice
Date: 2015-05-04
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2015/05/04/2015-10312.html
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
Document Number: 2015-10311
Type: Notice
Date: 2015-05-04
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2015/05/04/2015-10311.html
Submission for OMB Review; Comment Request
Document Number: 2015-10285
Type: Notice
Date: 2015-05-04
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2015/05/04/2015-10285.html
Submission for OMB Review; Comment Request
Document Number: 2015-10284
Type: Notice
Date: 2015-05-04
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2015/05/04/2015-10284.html
Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Collection of Exchange Fees
Document Number: 2015-10283
Type: Notice
Date: 2015-05-04
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2015/05/04/2015-10283.html
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
Document Number: 2015-10282
Type: Notice
Date: 2015-05-04
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2015/05/04/2015-10282.html
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
Document Number: 2015-10281
Type: Notice
Date: 2015-05-04
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2015/05/04/2015-10281.html
Highland Funds I, et al.; Notice of Application
Document Number: 2015-10176
Type: Notice
Date: 2015-05-01
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2015/05/01/2015-10176.html
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
Document Number: 2015-10160
Type: Notice
Date: 2015-05-01
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2015/05/01/2015-10160.html
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
Document Number: 2015-10136
Type: Notice
Date: 2015-05-01
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2015/05/01/2015-10136.html
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