Federal Register Recent Federal Regulation Documents - Justia Regulation Tracker - Justia Regulations Tracker https://regulations.justia.com/regulations/fedreg/agencies/securities-and-exchange-commission/2015/07?limit=200&registers=between&min-day=1&max-day=31&mode=atom 2024-05-03T17:14:39-07:00 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/2015/07/14/2015-17293.html Notice - Sunshine Act Meeting 2015-07-14T00:00:00-07:00 2015-07-14T00:00:00-07:00 2015-17293 Notice http://www.gpo.gov/fdsys/pkg/FR-2015-07-14/pdf/2015-17293.pdf https://regulations.justia.com/regulations/fedreg/2015/07/14/2015-17290.html Notice - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Order Granting Approval of Proposed Rule Change Relating to Trading Permit Holder Qualifications 2015-07-14T00:00:00-07:00 2015-07-14T00:00:00-07:00 2015-17290 Notice http://www.gpo.gov/fdsys/pkg/FR-2015-07-14/pdf/2015-17290.pdf https://regulations.justia.com/regulations/fedreg/2015/07/14/2015-17181.html Notice - Submission for OMB Review; Comment Request 2015-07-14T00:00:00-07:00 2015-07-14T00:00:00-07:00 2015-17181 Notice http://www.gpo.gov/fdsys/pkg/FR-2015-07-14/pdf/2015-17181.pdf https://regulations.justia.com/regulations/fedreg/2015/07/14/2015-17180.html Notice - Public Availability of the Securities and Exchange Commission's FY 2014 Service Contract Inventory 2015-07-14T00:00:00-07:00 2015-07-14T00:00:00-07:00 2015-17180 Notice http://www.gpo.gov/fdsys/pkg/FR-2015-07-14/pdf/2015-17180.pdf https://regulations.justia.com/regulations/fedreg/2015/07/14/2015-17176.html Notice - Self-Regulatory Organizations; NYSE MKT LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Rule 995NY by Deleting the Prohibition on ATP Holders From Entering Customer Limit Orders To Buy and Sell the Same Option Series, for the Account or Accounts of the Same or Related Beneficial Owner 2015-07-14T00:00:00-07:00 2015-07-14T00:00:00-07:00 2015-17176 Notice http://www.gpo.gov/fdsys/pkg/FR-2015-07-14/pdf/2015-17176.pdf https://regulations.justia.com/regulations/fedreg/2015/07/14/2015-17175.html Notice - Self-Regulatory Organizations; EDGX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the Market Data Section of Its Fee Schedule 2015-07-14T00:00:00-07:00 2015-07-14T00:00:00-07:00 2015-17175 Notice http://www.gpo.gov/fdsys/pkg/FR-2015-07-14/pdf/2015-17175.pdf https://regulations.justia.com/regulations/fedreg/2015/07/14/2015-17174.html Notice - Self-Regulatory Organizations; ICE Clear Credit LLC; Notice of Withdrawal of Proposed Rule Change to Provide for the Clearance of an Additional Standard Emerging Market Sovereign Single Name 2015-07-14T00:00:00-07:00 2015-07-14T00:00:00-07:00 2015-17174 Notice http://www.gpo.gov/fdsys/pkg/FR-2015-07-14/pdf/2015-17174.pdf https://regulations.justia.com/regulations/fedreg/2015/07/14/2015-17173.html Notice - Self-Regulatory Organizations; EDGA Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the Market Data Section of Its Fee Schedule 2015-07-14T00:00:00-07:00 2015-07-14T00:00:00-07:00 2015-17173 Notice http://www.gpo.gov/fdsys/pkg/FR-2015-07-14/pdf/2015-17173.pdf https://regulations.justia.com/regulations/fedreg/2015/07/14/2015-17172.html Notice - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing of a Proposed Rule Change To Establish the Securities Trader and Securities Trader Principal Registration Categories 2015-07-14T00:00:00-07:00 2015-07-14T00:00:00-07:00 2015-17172 Notice http://www.gpo.gov/fdsys/pkg/FR-2015-07-14/pdf/2015-17172.pdf https://regulations.justia.com/regulations/fedreg/2015/07/14/2015-17171.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. 2015-07-14T00:00:00-07:00 2015-07-14T00:00:00-07:00 2015-17171 Notice http://www.gpo.gov/fdsys/pkg/FR-2015-07-14/pdf/2015-17171.pdf https://regulations.justia.com/regulations/fedreg/2015/07/14/2015-17170.html Notice - Self-Regulatory Organizations; Notice of Filing and Immediate Effectiveness of Proposed Rule Change by NASDAQ OMX BX, Inc. Relating to the Volume-Based and Multi-Trigger Threshold 2015-07-14T00:00:00-07:00 2015-07-14T00:00:00-07:00 2015-17170 Notice http://www.gpo.gov/fdsys/pkg/FR-2015-07-14/pdf/2015-17170.pdf https://regulations.justia.com/regulations/fedreg/2015/07/14/2015-17169.html Notice - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to the Volume-Based and Multi-Trigger Thresholds 2015-07-14T00:00:00-07:00 2015-07-14T00:00:00-07:00 2015-17169 Notice http://www.gpo.gov/fdsys/pkg/FR-2015-07-14/pdf/2015-17169.pdf https://regulations.justia.com/regulations/fedreg/2015/07/14/2015-17168.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. 2015-07-14T00:00:00-07:00 2015-07-14T00:00:00-07:00 2015-17168 Notice http://www.gpo.gov/fdsys/pkg/FR-2015-07-14/pdf/2015-17168.pdf https://regulations.justia.com/regulations/fedreg/2015/07/14/2015-17167.html Notice - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change to the Designated Liquidity Provider Program Under Rule 7018(i) 2015-07-14T00:00:00-07:00 2015-07-14T00:00:00-07:00 2015-17167 Notice http://www.gpo.gov/fdsys/pkg/FR-2015-07-14/pdf/2015-17167.pdf https://regulations.justia.com/regulations/fedreg/2015/07/14/2015-16613.html Proposed Rule - Listing Standards for Recovery of Erroneously Awarded Compensation 2015-07-14T00:00:00-07:00 2015-07-14T00:00:00-07:00 2015-16613 Proposed Rule http://www.gpo.gov/fdsys/pkg/FR-2015-07-14/pdf/2015-16613.pdf https://regulations.justia.com/regulations/fedreg/2015/07/13/2015-16981.html Notice - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Extend a Pilot Program that Eliminates Position and Exercise Limits for Physically-Settled SPDR S&P 500 ETF Trust (“SPY”) Options 2015-07-13T00:00:00-07:00 2015-07-13T00:00:00-07:00 2015-16981 Notice http://www.gpo.gov/fdsys/pkg/FR-2015-07-13/pdf/2015-16981.pdf https://regulations.justia.com/regulations/fedreg/2015/07/13/2015-16980.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 Tied to Stock Marking Requirement for Certain Orders 2015-07-13T00:00:00-07:00 2015-07-13T00:00:00-07:00 2015-16980 Notice http://www.gpo.gov/fdsys/pkg/FR-2015-07-13/pdf/2015-16980.pdf https://regulations.justia.com/regulations/fedreg/2015/07/13/2015-16979.html Notice - Self-Regulatory Organizations; The Depository Trust Company; Notice of Withdrawal of Proposed Rule Change Regarding the Acknowledgment of End-of-Day Net-Net Settlement Balances by Settling Banks 2015-07-13T00:00:00-07:00 2015-07-13T00:00:00-07:00 2015-16979 Notice http://www.gpo.gov/fdsys/pkg/FR-2015-07-13/pdf/2015-16979.pdf https://regulations.justia.com/regulations/fedreg/2015/07/13/2015-16978.html Notice - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing of a Proposed Rule Change to Amend FINRA Rule 2210 (Communications with the Public) 2015-07-13T00:00:00-07:00 2015-07-13T00:00:00-07:00 2015-16978 Notice http://www.gpo.gov/fdsys/pkg/FR-2015-07-13/pdf/2015-16978.pdf https://regulations.justia.com/regulations/fedreg/2015/07/13/2015-16977.html Notice - Self-Regulatory Organizations; NYSE Arca, Inc.; Order Granting Approval of Proposed Rule Change Relating to Listing and Trading Under NYSE Arca Equities Rule 5.2(j)(3), Commentary .02 of Shares of the Vanguard Tax-Exempt Bond Index Fund 2015-07-13T00:00:00-07:00 2015-07-13T00:00:00-07:00 2015-16977 Notice http://www.gpo.gov/fdsys/pkg/FR-2015-07-13/pdf/2015-16977.pdf https://regulations.justia.com/regulations/fedreg/2015/07/13/2015-16976.html Notice - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend the Definition of Designated Retail Order in Nasdaq Rule 7018 2015-07-13T00:00:00-07:00 2015-07-13T00:00:00-07:00 2015-16976 Notice http://www.gpo.gov/fdsys/pkg/FR-2015-07-13/pdf/2015-16976.pdf https://regulations.justia.com/regulations/fedreg/2015/07/13/2015-16975.html Notice - Self-Regulatory Organizations; BOX Options Exchange LLC; Notice of Filing of Proposed Rule Change to Implement the Governance Provisions of an Equity Rights Program 2015-07-13T00:00:00-07:00 2015-07-13T00:00:00-07:00 2015-16975 Notice http://www.gpo.gov/fdsys/pkg/FR-2015-07-13/pdf/2015-16975.pdf https://regulations.justia.com/regulations/fedreg/2015/07/13/2015-16974.html Notice - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to Rule 6.49A 2015-07-13T00:00:00-07:00 2015-07-13T00:00:00-07:00 2015-16974 Notice http://www.gpo.gov/fdsys/pkg/FR-2015-07-13/pdf/2015-16974.pdf https://regulations.justia.com/regulations/fedreg/2015/07/13/2015-16973.html Notice - Self-Regulatory Organizations; NASDAQ OMX PHLX LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to the Volume-Based and Multi-Trigger Threshold 2015-07-13T00:00:00-07:00 2015-07-13T00:00:00-07:00 2015-16973 Notice http://www.gpo.gov/fdsys/pkg/FR-2015-07-13/pdf/2015-16973.pdf https://regulations.justia.com/regulations/fedreg/2015/07/10/2015-17015.html Notice - In the Matter of International Hi-Tech Industries Inc., Mark One Global Industries, Inc., Nortel Networks Corporation, and Silverado Gold Mines Ltd.; Order of Suspension of Trading 2015-07-10T00:00:00-07:00 2015-07-10T00:00:00-07:00 2015-17015 Notice http://www.gpo.gov/fdsys/pkg/FR-2015-07-10/pdf/2015-17015.pdf https://regulations.justia.com/regulations/fedreg/2015/07/10/2015-17014.html Notice - In the Matter of Arrin Corporation, Gundaker/Jordan American Holdings (a/k/a Jordan American Holdings, Inc.), Liberty Petroleum Corporation, Mikojo Incorporated, Royal Invest International Corp., and San Joaquin Bancorp; Order of Suspension of Trading 2015-07-10T00:00:00-07:00 2015-07-10T00:00:00-07:00 2015-17014 Notice http://www.gpo.gov/fdsys/pkg/FR-2015-07-10/pdf/2015-17014.pdf https://regulations.justia.com/regulations/fedreg/2015/07/10/2015-16982.html Notice - Sunshine Act Meeting 2015-07-10T00:00:00-07:00 2015-07-10T00:00:00-07:00 2015-16982 Notice http://www.gpo.gov/fdsys/pkg/FR-2015-07-10/pdf/2015-16982.pdf https://regulations.justia.com/regulations/fedreg/2015/07/10/2015-16862.html Notice - Self-Regulatory Organizations; C2 Options Exchange, Incorporated; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Correct an Inaccurate Rule Reference 2015-07-10T00:00:00-07:00 2015-07-10T00:00:00-07:00 2015-16862 Notice http://www.gpo.gov/fdsys/pkg/FR-2015-07-10/pdf/2015-16862.pdf https://regulations.justia.com/regulations/fedreg/2015/07/10/2015-16861.html Notice - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Fees Assessed Under Rules 7015(b) and (g) 2015-07-10T00:00:00-07:00 2015-07-10T00:00:00-07:00 2015-16861 Notice http://www.gpo.gov/fdsys/pkg/FR-2015-07-10/pdf/2015-16861.pdf https://regulations.justia.com/regulations/fedreg/2015/07/10/2015-16860.html Notice - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to Rule 4553 and Fees for Access to Alternative Trading System Volume Information Published on FINRA's Web Site 2015-07-10T00:00:00-07:00 2015-07-10T00:00:00-07:00 2015-16860 Notice http://www.gpo.gov/fdsys/pkg/FR-2015-07-10/pdf/2015-16860.pdf https://regulations.justia.com/regulations/fedreg/2015/07/10/2015-16859.html Notice - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend FINRA Rule 7650A Relating to Submission of Billing Disputes by FINRA/Nasdaq Trade Reporting Facility Participants 2015-07-10T00:00:00-07:00 2015-07-10T00:00:00-07:00 2015-16859 Notice http://www.gpo.gov/fdsys/pkg/FR-2015-07-10/pdf/2015-16859.pdf https://regulations.justia.com/regulations/fedreg/2015/07/10/2015-16858.html Notice - Self-Regulatory Organizations: Notice of Filing and Immediate Effectiveness of a Proposed Rule Change by Miami International Securities Exchange LLC To Amend Exchange Rule 612 Regarding Enhanced Aggregate Risk Manager Protections for Exchange Market Makers 2015-07-10T00:00:00-07:00 2015-07-10T00:00:00-07:00 2015-16858 Notice http://www.gpo.gov/fdsys/pkg/FR-2015-07-10/pdf/2015-16858.pdf https://regulations.justia.com/regulations/fedreg/2015/07/10/2015-16857.html Notice - Self-Regulatory Organizations; BATS Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Rule 21.1(d)(9), (h) and (i) To Modify the Operation of BATS Post Only Orders on the Exchange's Options Platform 2015-07-10T00:00:00-07:00 2015-07-10T00:00:00-07:00 2015-16857 Notice http://www.gpo.gov/fdsys/pkg/FR-2015-07-10/pdf/2015-16857.pdf https://regulations.justia.com/regulations/fedreg/2015/07/10/2015-16856.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 Rule 6.53C and Complex Orders on the Hybrid System 2015-07-10T00:00:00-07:00 2015-07-10T00:00:00-07:00 2015-16856 Notice http://www.gpo.gov/fdsys/pkg/FR-2015-07-10/pdf/2015-16856.pdf https://regulations.justia.com/regulations/fedreg/2015/07/10/2015-16837.html Notice - Consolidated Tape Association; Notice of Filing of the Twenty Third Substantive Amendment to the Second Restatement of the CTA Plan 2015-07-10T00:00:00-07:00 2015-07-10T00:00:00-07:00 2015-16837 Notice http://www.gpo.gov/fdsys/pkg/FR-2015-07-10/pdf/2015-16837.pdf https://regulations.justia.com/regulations/fedreg/2015/07/08/2015-16653.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 2015-07-08T00:00:00-07:00 2015-07-08T00:00:00-07:00 2015-16653 Notice http://www.gpo.gov/fdsys/pkg/FR-2015-07-08/pdf/2015-16653.pdf https://regulations.justia.com/regulations/fedreg/2015/07/08/2015-16652.html Notice - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Order Granting Approval of Proposed Rule Change, as Modified by Amendment Nos. 1 and 2 Thereto, 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 2015-07-08T00:00:00-07:00 2015-07-08T00:00:00-07:00 2015-16652 Notice http://www.gpo.gov/fdsys/pkg/FR-2015-07-08/pdf/2015-16652.pdf https://regulations.justia.com/regulations/fedreg/2015/07/08/2015-16651.html Notice - Self-Regulatory Organizations; Chicago Stock Exchange, Inc.; Notice of Filing of Proposed Rule Change To Implement CHX SNAPSM 2015-07-08T00:00:00-07:00 2015-07-08T00:00:00-07:00 2015-16651 Notice http://www.gpo.gov/fdsys/pkg/FR-2015-07-08/pdf/2015-16651.pdf https://regulations.justia.com/regulations/fedreg/2015/07/08/2015-16639.html Proposed Rule - Possible Revisions To Audit Committee Disclosures 2015-07-08T00:00:00-07:00 2015-07-08T00:00:00-07:00 2015-16639 Proposed Rule http://www.gpo.gov/fdsys/pkg/FR-2015-07-08/pdf/2015-16639.pdf https://regulations.justia.com/regulations/fedreg/2015/07/07/2015-16725.html Notice - Sunshine Act Meeting 2015-07-07T00:00:00-07:00 2015-07-07T00:00:00-07:00 2015-16725 Notice http://www.gpo.gov/fdsys/pkg/FR-2015-07-07/pdf/2015-16725.pdf https://regulations.justia.com/regulations/fedreg/2015/07/07/2015-16555.html Notice - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Adopt Rule 7650A Relating to Debit Process for the Collection of FINRA/Nasdaq Trade Reporting Facility Fees 2015-07-07T00:00:00-07:00 2015-07-07T00:00:00-07:00 2015-16555 Notice http://www.gpo.gov/fdsys/pkg/FR-2015-07-07/pdf/2015-16555.pdf https://regulations.justia.com/regulations/fedreg/2015/07/07/2015-16546.html Notice - Self-Regulatory Organizations; BATS Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Extend the Penny Pilot Program 2015-07-07T00:00:00-07:00 2015-07-07T00:00:00-07:00 2015-16546 Notice http://www.gpo.gov/fdsys/pkg/FR-2015-07-07/pdf/2015-16546.pdf https://regulations.justia.com/regulations/fedreg/2015/07/07/2015-16545.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 2015-07-07T00:00:00-07:00 2015-07-07T00:00:00-07:00 2015-16545 Notice http://www.gpo.gov/fdsys/pkg/FR-2015-07-07/pdf/2015-16545.pdf https://regulations.justia.com/regulations/fedreg/2015/07/07/2015-16544.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 2015-07-07T00:00:00-07:00 2015-07-07T00:00:00-07:00 2015-16544 Notice http://www.gpo.gov/fdsys/pkg/FR-2015-07-07/pdf/2015-16544.pdf https://regulations.justia.com/regulations/fedreg/2015/07/07/2015-16543.html Notice - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing of a Proposed Rule Change To Amend FINRA Rule Series 9100, 9200, 9300, 9550, and 9800 Regarding Temporary and Permanent Cease and Desist Orders 2015-07-07T00:00:00-07:00 2015-07-07T00:00:00-07:00 2015-16543 Notice http://www.gpo.gov/fdsys/pkg/FR-2015-07-07/pdf/2015-16543.pdf https://regulations.justia.com/regulations/fedreg/2015/07/06/2015-16417.html Notice - Self-Regulatory Organizations; ICE Clear Europe Limited; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to the Delivery Procedures 2015-07-06T00:00:00-07:00 2015-07-06T00:00:00-07:00 2015-16417 Notice http://www.gpo.gov/fdsys/pkg/FR-2015-07-06/pdf/2015-16417.pdf https://regulations.justia.com/regulations/fedreg/2015/07/06/2015-16416.html Notice - Self-Regulatory Organizations; NASDAQ OMX BX, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to Extension of the Exchange's Penny Pilot Program and Replacement of Penny Pilot Issues That Have Been Delisted 2015-07-06T00:00:00-07:00 2015-07-06T00:00:00-07:00 2015-16416 Notice http://www.gpo.gov/fdsys/pkg/FR-2015-07-06/pdf/2015-16416.pdf https://regulations.justia.com/regulations/fedreg/2015/07/06/2015-16415.html Notice - Self-Regulatory Organizations; BATS Y-Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Rule 11.9 of BATS Y-Exchange, Inc., To Modify its Price Adjust Functionality 2015-07-06T00:00:00-07:00 2015-07-06T00:00:00-07:00 2015-16415 Notice http://www.gpo.gov/fdsys/pkg/FR-2015-07-06/pdf/2015-16415.pdf https://regulations.justia.com/regulations/fedreg/2015/07/06/2015-16414.html Notice - Self-Regulatory Organizations; BATS Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Rule 11.9 of BATS Exchange, Inc., To Modify its Price Adjust Functionality 2015-07-06T00:00:00-07:00 2015-07-06T00:00:00-07:00 2015-16414 Notice http://www.gpo.gov/fdsys/pkg/FR-2015-07-06/pdf/2015-16414.pdf https://regulations.justia.com/regulations/fedreg/2015/07/06/2015-16413.html Notice - Self-Regulatory Organizations; NYSE Arca, Inc.; Order Approving Proposed Rule Change Amending Rule 6.35 to Modify the Appointment Process Utilized by the Exchange 2015-07-06T00:00:00-07:00 2015-07-06T00:00:00-07:00 2015-16413 Notice http://www.gpo.gov/fdsys/pkg/FR-2015-07-06/pdf/2015-16413.pdf https://regulations.justia.com/regulations/fedreg/2015/07/06/2015-16412.html Notice - Self-Regulatory Organizations; NYSE MKT LLC; Order Approving Proposed Rule Change Amending Rule 923NY to Modify the Appointment Process Utilized by the Exchange 2015-07-06T00:00:00-07:00 2015-07-06T00:00:00-07:00 2015-16412 Notice http://www.gpo.gov/fdsys/pkg/FR-2015-07-06/pdf/2015-16412.pdf https://regulations.justia.com/regulations/fedreg/2015/07/06/2015-16411.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 2015-07-06T00:00:00-07:00 2015-07-06T00:00:00-07:00 2015-16411 Notice http://www.gpo.gov/fdsys/pkg/FR-2015-07-06/pdf/2015-16411.pdf https://regulations.justia.com/regulations/fedreg/2015/07/06/2015-16410.html Notice - Self-Regulatory Organizations; ICE Clear Europe Limited; Notice of Designation of Longer Period for Commission Action on Proposed Rule Change Relating to Finance Procedures To Add Clearstream Banking as a Triparty Collateral Service Provider 2015-07-06T00:00:00-07:00 2015-07-06T00:00:00-07:00 2015-16410 Notice http://www.gpo.gov/fdsys/pkg/FR-2015-07-06/pdf/2015-16410.pdf https://regulations.justia.com/regulations/fedreg/2015/07/06/2015-16409.html Notice - Notice of Applications for Deregistration Under Section 8(f) of the Investment Company Act of 1940 2015-07-06T00:00:00-07:00 2015-07-06T00:00:00-07:00 2015-16409 Notice http://www.gpo.gov/fdsys/pkg/FR-2015-07-06/pdf/2015-16409.pdf https://regulations.justia.com/regulations/fedreg/2015/07/06/2015-16408.html Notice - Submission for OMB Review; Comment Request 2015-07-06T00:00:00-07:00 2015-07-06T00:00:00-07:00 2015-16408 Notice http://www.gpo.gov/fdsys/pkg/FR-2015-07-06/pdf/2015-16408.pdf https://regulations.justia.com/regulations/fedreg/2015/07/02/C1-2015-12778.html Proposed Rule - Amendments to Form ADV and Investment Advisers Act Rules 2015-07-02T00:00:00-07:00 2015-07-02T00:00:00-07:00 C1-2015-12778 Proposed Rule http://www.gpo.gov/fdsys/pkg/FR-2015-07-02/pdf/C1-2015-12778.pdf https://regulations.justia.com/regulations/fedreg/2015/07/02/2015-16407.html Notice - Proposed Collection; Comment Request 2015-07-02T00:00:00-07:00 2015-07-02T00:00:00-07:00 2015-16407 Notice http://www.gpo.gov/fdsys/pkg/FR-2015-07-02/pdf/2015-16407.pdf https://regulations.justia.com/regulations/fedreg/2015/07/02/2015-16274.html Notice - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Modify Recent Changes to Rules 4751(h) and 4754(b) 2015-07-02T00:00:00-07:00 2015-07-02T00:00:00-07:00 2015-16274 Notice http://www.gpo.gov/fdsys/pkg/FR-2015-07-02/pdf/2015-16274.pdf https://regulations.justia.com/regulations/fedreg/2015/07/02/2015-16273.html Notice - Self-Regulatory Organizations; ISE Gemini, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Extend the Penny Pilot Program 2015-07-02T00:00:00-07:00 2015-07-02T00:00:00-07:00 2015-16273 Notice http://www.gpo.gov/fdsys/pkg/FR-2015-07-02/pdf/2015-16273.pdf https://regulations.justia.com/regulations/fedreg/2015/07/02/2015-16272.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 2015-07-02T00:00:00-07:00 2015-07-02T00:00:00-07:00 2015-16272 Notice http://www.gpo.gov/fdsys/pkg/FR-2015-07-02/pdf/2015-16272.pdf https://regulations.justia.com/regulations/fedreg/2015/07/02/2015-16271.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. 2015-07-02T00:00:00-07:00 2015-07-02T00:00:00-07:00 2015-16271 Notice http://www.gpo.gov/fdsys/pkg/FR-2015-07-02/pdf/2015-16271.pdf https://regulations.justia.com/regulations/fedreg/2015/07/02/2015-16270.html Notice - Self-Regulatory Organizations; International Securities Exchange, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Extend the Penny Pilot Program 2015-07-02T00:00:00-07:00 2015-07-02T00:00:00-07:00 2015-16270 Notice http://www.gpo.gov/fdsys/pkg/FR-2015-07-02/pdf/2015-16270.pdf https://regulations.justia.com/regulations/fedreg/2015/07/02/2015-16269.html Notice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing of Proposed Rule Change Relating to Listing and Trading of Shares of the Cambria Sovereign High Yield Bond ETF and the Cambria Value and Momentum ETF Under NYSE Arca Equities Rule 8.600 2015-07-02T00:00:00-07:00 2015-07-02T00:00:00-07:00 2015-16269 Notice http://www.gpo.gov/fdsys/pkg/FR-2015-07-02/pdf/2015-16269.pdf https://regulations.justia.com/regulations/fedreg/2015/07/01/2015-16108.html Notice - Advisory Committee on Small and Emerging Companies 2015-07-01T00:00:00-07:00 2015-07-01T00:00:00-07:00 2015-16108 Notice http://www.gpo.gov/fdsys/pkg/FR-2015-07-01/pdf/2015-16108.pdf https://regulations.justia.com/regulations/fedreg/2015/07/01/2015-16091.html Notice - Cash Trust Series, Inc., et al.; Notice of Application 2015-07-01T00:00:00-07:00 2015-07-01T00:00:00-07:00 2015-16091 Notice http://www.gpo.gov/fdsys/pkg/FR-2015-07-01/pdf/2015-16091.pdf https://regulations.justia.com/regulations/fedreg/2015/07/01/2015-16090.html Notice - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to Front-End Order Entry and Management Tools in Connection With Purchase of Livevol Assets 2015-07-01T00:00:00-07:00 2015-07-01T00:00:00-07:00 2015-16090 Notice http://www.gpo.gov/fdsys/pkg/FR-2015-07-01/pdf/2015-16090.pdf https://regulations.justia.com/regulations/fedreg/2015/07/01/2015-16089.html Notice - Self-Regulatory Organizations; NYSE MKT LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending the Members' Schedule as Defined in the Amended and Restated Limited Liability Company Agreement of NYSE Amex Options LLC Dated as of May 14, 2014 in Order to Reflect Changes to the Capital Structure of the Company 2015-07-01T00:00:00-07:00 2015-07-01T00:00:00-07:00 2015-16089 Notice http://www.gpo.gov/fdsys/pkg/FR-2015-07-01/pdf/2015-16089.pdf https://regulations.justia.com/regulations/fedreg/2015/07/01/2015-16088.html Notice - Self-Regulatory Organizations; NASDAQ OMX PHLX LLC; Order Disapproving a Proposed Rule Change, as Modified by Amendment No. 2, To Adopt New Exchange Rule 1081, Solicitation Mechanism, To Introduce a New Electronic Solicitation Mechanism 2015-07-01T00:00:00-07:00 2015-07-01T00:00:00-07:00 2015-16088 Notice http://www.gpo.gov/fdsys/pkg/FR-2015-07-01/pdf/2015-16088.pdf https://regulations.justia.com/regulations/fedreg/2015/07/01/2015-16087.html Notice - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Order Approving Proposed Rule Change Relating to Floor Broker Due Diligence 2015-07-01T00:00:00-07:00 2015-07-01T00:00:00-07:00 2015-16087 Notice http://www.gpo.gov/fdsys/pkg/FR-2015-07-01/pdf/2015-16087.pdf https://regulations.justia.com/regulations/fedreg/2015/07/01/2015-16086.html Notice - Self-Regulatory Organizations; EDGX Exchange, Inc.; Notice of Designation of a Longer Period for Commission Action on a Proposed Rule Change To Establish Rules Governing the Trading of Options on the EDGX Options Exchange 2015-07-01T00:00:00-07:00 2015-07-01T00:00:00-07:00 2015-16086 Notice http://www.gpo.gov/fdsys/pkg/FR-2015-07-01/pdf/2015-16086.pdf https://regulations.justia.com/regulations/fedreg/2015/07/01/2015-16085.html Notice - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Rule 5.3.06 2015-07-01T00:00:00-07:00 2015-07-01T00:00:00-07:00 2015-16085 Notice http://www.gpo.gov/fdsys/pkg/FR-2015-07-01/pdf/2015-16085.pdf https://regulations.justia.com/regulations/fedreg/2015/07/01/2015-16084.html Notice - Self-Regulatory Organizations; BOX Options Exchange LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Rule 7260 To Extend, Through June 30, 2016, the Pilot Program That Permits Certain Classes To Be Quoted in Penny Increments 2015-07-01T00:00:00-07:00 2015-07-01T00:00:00-07:00 2015-16084 Notice http://www.gpo.gov/fdsys/pkg/FR-2015-07-01/pdf/2015-16084.pdf https://regulations.justia.com/regulations/fedreg/2015/07/01/2015-16083.html Notice - Self-Regulatory Organizations; NASDAQ OMX BX Inc.; Notice of Filing of Amendment No. 1 and Order Granting Accelerated Approval of Proposed Rule Change, as Modified by Amendment No. 1, To Amend and Restate Certain Rules That Govern the NASDAQ OMX BX Equities Market 2015-07-01T00:00:00-07:00 2015-07-01T00:00:00-07:00 2015-16083 Notice http://www.gpo.gov/fdsys/pkg/FR-2015-07-01/pdf/2015-16083.pdf https://regulations.justia.com/regulations/fedreg/2015/07/01/2015-16048.html Rule - Political Contributions by Certain Investment Advisers: Ban on Third-Party Solicitation; Notice of Compliance Date 2015-07-01T00:00:00-07:00 2015-07-01T00:00:00-07:00 2015-16048 Rule http://www.gpo.gov/fdsys/pkg/FR-2015-07-01/pdf/2015-16048.pdf https://regulations.justia.com/regulations/fedreg/2015/07/01/2015-16045.html Rule - Amendments for Small and Additional Issues Exemptions Under the Securities Act (Regulation A); Correction 2015-07-01T00:00:00-07:00 2015-07-01T00:00:00-07:00 2015-16045 Rule http://www.gpo.gov/fdsys/pkg/FR-2015-07-01/pdf/2015-16045.pdf https://regulations.justia.com/regulations/fedreg/2015/07/01/2015-15506.html Rule - Commission Guidance Regarding the Definition of the Terms “Spouse” and “Marriage” Following the Supreme Court's Decision in United States v. Windsor 2015-07-01T00:00:00-07:00 2015-07-01T00:00:00-07:00 2015-15506 Rule http://www.gpo.gov/fdsys/pkg/FR-2015-07-01/pdf/2015-15506.pdf