<![CDATA[Federal Register Recent Federal Regulation Documents - Justia Regulation Tracker

<![CDATA[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?registers=between&min-day=1&max-day=31 Fri, 03 May 2024 17:40:18 -0700 Fri, 03 May 2024 17:40:18 -0700 Justia Regulations Tracker Copyright 2011 Justia Inc. https://regulations.justia.com/images/justiafedregulations.gif <![CDATA[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?registers=between&min-day=1&max-day=31 Notice - Sunshine Act Meeting https://regulations.justia.com/regulations/fedreg/2015/07/14/2015-17293.html https://regulations.justia.com/regulations/fedreg/2015/07/14/2015-17293.html Tue, 14 Jul 2015 00:00:00 -0700 2015-17293 Notice http://www.gpo.gov/fdsys/pkg/FR-2015-07-14/pdf/2015-17293.pdf Notice - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Order Granting Approval of Proposed Rule Change Relating to Trading Permit Holder Qualifications https://regulations.justia.com/regulations/fedreg/2015/07/14/2015-17290.html https://regulations.justia.com/regulations/fedreg/2015/07/14/2015-17290.html Tue, 14 Jul 2015 00:00:00 -0700 2015-17290 Notice http://www.gpo.gov/fdsys/pkg/FR-2015-07-14/pdf/2015-17290.pdf Notice - Submission for OMB Review; Comment Request https://regulations.justia.com/regulations/fedreg/2015/07/14/2015-17181.html https://regulations.justia.com/regulations/fedreg/2015/07/14/2015-17181.html Tue, 14 Jul 2015 00:00:00 -0700 2015-17181 Notice http://www.gpo.gov/fdsys/pkg/FR-2015-07-14/pdf/2015-17181.pdf Notice - Public Availability of the Securities and Exchange Commission's FY 2014 Service Contract Inventory https://regulations.justia.com/regulations/fedreg/2015/07/14/2015-17180.html https://regulations.justia.com/regulations/fedreg/2015/07/14/2015-17180.html Tue, 14 Jul 2015 00:00:00 -0700 2015-17180 Notice http://www.gpo.gov/fdsys/pkg/FR-2015-07-14/pdf/2015-17180.pdf 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 https://regulations.justia.com/regulations/fedreg/2015/07/14/2015-17176.html https://regulations.justia.com/regulations/fedreg/2015/07/14/2015-17176.html Tue, 14 Jul 2015 00:00:00 -0700 2015-17176 Notice http://www.gpo.gov/fdsys/pkg/FR-2015-07-14/pdf/2015-17176.pdf 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 https://regulations.justia.com/regulations/fedreg/2015/07/14/2015-17175.html https://regulations.justia.com/regulations/fedreg/2015/07/14/2015-17175.html Tue, 14 Jul 2015 00:00:00 -0700 2015-17175 Notice http://www.gpo.gov/fdsys/pkg/FR-2015-07-14/pdf/2015-17175.pdf 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 https://regulations.justia.com/regulations/fedreg/2015/07/14/2015-17174.html https://regulations.justia.com/regulations/fedreg/2015/07/14/2015-17174.html Tue, 14 Jul 2015 00:00:00 -0700 2015-17174 Notice http://www.gpo.gov/fdsys/pkg/FR-2015-07-14/pdf/2015-17174.pdf 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 https://regulations.justia.com/regulations/fedreg/2015/07/14/2015-17173.html https://regulations.justia.com/regulations/fedreg/2015/07/14/2015-17173.html Tue, 14 Jul 2015 00:00:00 -0700 2015-17173 Notice http://www.gpo.gov/fdsys/pkg/FR-2015-07-14/pdf/2015-17173.pdf 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 https://regulations.justia.com/regulations/fedreg/2015/07/14/2015-17172.html https://regulations.justia.com/regulations/fedreg/2015/07/14/2015-17172.html Tue, 14 Jul 2015 00:00:00 -0700 2015-17172 Notice http://www.gpo.gov/fdsys/pkg/FR-2015-07-14/pdf/2015-17172.pdf 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. https://regulations.justia.com/regulations/fedreg/2015/07/14/2015-17171.html https://regulations.justia.com/regulations/fedreg/2015/07/14/2015-17171.html Tue, 14 Jul 2015 00:00:00 -0700 2015-17171 Notice http://www.gpo.gov/fdsys/pkg/FR-2015-07-14/pdf/2015-17171.pdf 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 https://regulations.justia.com/regulations/fedreg/2015/07/14/2015-17170.html https://regulations.justia.com/regulations/fedreg/2015/07/14/2015-17170.html Tue, 14 Jul 2015 00:00:00 -0700 2015-17170 Notice http://www.gpo.gov/fdsys/pkg/FR-2015-07-14/pdf/2015-17170.pdf 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 https://regulations.justia.com/regulations/fedreg/2015/07/14/2015-17169.html https://regulations.justia.com/regulations/fedreg/2015/07/14/2015-17169.html Tue, 14 Jul 2015 00:00:00 -0700 2015-17169 Notice http://www.gpo.gov/fdsys/pkg/FR-2015-07-14/pdf/2015-17169.pdf 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. https://regulations.justia.com/regulations/fedreg/2015/07/14/2015-17168.html https://regulations.justia.com/regulations/fedreg/2015/07/14/2015-17168.html Tue, 14 Jul 2015 00:00:00 -0700 2015-17168 Notice http://www.gpo.gov/fdsys/pkg/FR-2015-07-14/pdf/2015-17168.pdf 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) https://regulations.justia.com/regulations/fedreg/2015/07/14/2015-17167.html https://regulations.justia.com/regulations/fedreg/2015/07/14/2015-17167.html Tue, 14 Jul 2015 00:00:00 -0700 2015-17167 Notice http://www.gpo.gov/fdsys/pkg/FR-2015-07-14/pdf/2015-17167.pdf Proposed Rule - Listing Standards for Recovery of Erroneously Awarded Compensation https://regulations.justia.com/regulations/fedreg/2015/07/14/2015-16613.html https://regulations.justia.com/regulations/fedreg/2015/07/14/2015-16613.html Tue, 14 Jul 2015 00:00:00 -0700 2015-16613 Proposed Rule http://www.gpo.gov/fdsys/pkg/FR-2015-07-14/pdf/2015-16613.pdf 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 https://regulations.justia.com/regulations/fedreg/2015/07/13/2015-16981.html https://regulations.justia.com/regulations/fedreg/2015/07/13/2015-16981.html Mon, 13 Jul 2015 00:00:00 -0700 2015-16981 Notice http://www.gpo.gov/fdsys/pkg/FR-2015-07-13/pdf/2015-16981.pdf 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 https://regulations.justia.com/regulations/fedreg/2015/07/13/2015-16980.html https://regulations.justia.com/regulations/fedreg/2015/07/13/2015-16980.html Mon, 13 Jul 2015 00:00:00 -0700 2015-16980 Notice http://www.gpo.gov/fdsys/pkg/FR-2015-07-13/pdf/2015-16980.pdf 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 https://regulations.justia.com/regulations/fedreg/2015/07/13/2015-16979.html https://regulations.justia.com/regulations/fedreg/2015/07/13/2015-16979.html Mon, 13 Jul 2015 00:00:00 -0700 2015-16979 Notice http://www.gpo.gov/fdsys/pkg/FR-2015-07-13/pdf/2015-16979.pdf 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) https://regulations.justia.com/regulations/fedreg/2015/07/13/2015-16978.html https://regulations.justia.com/regulations/fedreg/2015/07/13/2015-16978.html Mon, 13 Jul 2015 00:00:00 -0700 2015-16978 Notice http://www.gpo.gov/fdsys/pkg/FR-2015-07-13/pdf/2015-16978.pdf 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 https://regulations.justia.com/regulations/fedreg/2015/07/13/2015-16977.html https://regulations.justia.com/regulations/fedreg/2015/07/13/2015-16977.html Mon, 13 Jul 2015 00:00:00 -0700 2015-16977 Notice http://www.gpo.gov/fdsys/pkg/FR-2015-07-13/pdf/2015-16977.pdf 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 https://regulations.justia.com/regulations/fedreg/2015/07/13/2015-16976.html https://regulations.justia.com/regulations/fedreg/2015/07/13/2015-16976.html Mon, 13 Jul 2015 00:00:00 -0700 2015-16976 Notice http://www.gpo.gov/fdsys/pkg/FR-2015-07-13/pdf/2015-16976.pdf 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 https://regulations.justia.com/regulations/fedreg/2015/07/13/2015-16975.html https://regulations.justia.com/regulations/fedreg/2015/07/13/2015-16975.html Mon, 13 Jul 2015 00:00:00 -0700 2015-16975 Notice http://www.gpo.gov/fdsys/pkg/FR-2015-07-13/pdf/2015-16975.pdf 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 https://regulations.justia.com/regulations/fedreg/2015/07/13/2015-16974.html https://regulations.justia.com/regulations/fedreg/2015/07/13/2015-16974.html Mon, 13 Jul 2015 00:00:00 -0700 2015-16974 Notice http://www.gpo.gov/fdsys/pkg/FR-2015-07-13/pdf/2015-16974.pdf 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 https://regulations.justia.com/regulations/fedreg/2015/07/13/2015-16973.html https://regulations.justia.com/regulations/fedreg/2015/07/13/2015-16973.html Mon, 13 Jul 2015 00:00:00 -0700 2015-16973 Notice http://www.gpo.gov/fdsys/pkg/FR-2015-07-13/pdf/2015-16973.pdf 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 https://regulations.justia.com/regulations/fedreg/2015/07/10/2015-17015.html https://regulations.justia.com/regulations/fedreg/2015/07/10/2015-17015.html Fri, 10 Jul 2015 00:00:00 -0700 2015-17015 Notice http://www.gpo.gov/fdsys/pkg/FR-2015-07-10/pdf/2015-17015.pdf 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 https://regulations.justia.com/regulations/fedreg/2015/07/10/2015-17014.html https://regulations.justia.com/regulations/fedreg/2015/07/10/2015-17014.html Fri, 10 Jul 2015 00:00:00 -0700 2015-17014 Notice http://www.gpo.gov/fdsys/pkg/FR-2015-07-10/pdf/2015-17014.pdf Notice - Sunshine Act Meeting https://regulations.justia.com/regulations/fedreg/2015/07/10/2015-16982.html https://regulations.justia.com/regulations/fedreg/2015/07/10/2015-16982.html Fri, 10 Jul 2015 00:00:00 -0700 2015-16982 Notice http://www.gpo.gov/fdsys/pkg/FR-2015-07-10/pdf/2015-16982.pdf 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 https://regulations.justia.com/regulations/fedreg/2015/07/10/2015-16862.html https://regulations.justia.com/regulations/fedreg/2015/07/10/2015-16862.html Fri, 10 Jul 2015 00:00:00 -0700 2015-16862 Notice http://www.gpo.gov/fdsys/pkg/FR-2015-07-10/pdf/2015-16862.pdf 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) https://regulations.justia.com/regulations/fedreg/2015/07/10/2015-16861.html https://regulations.justia.com/regulations/fedreg/2015/07/10/2015-16861.html Fri, 10 Jul 2015 00:00:00 -0700 2015-16861 Notice http://www.gpo.gov/fdsys/pkg/FR-2015-07-10/pdf/2015-16861.pdf 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 https://regulations.justia.com/regulations/fedreg/2015/07/10/2015-16860.html https://regulations.justia.com/regulations/fedreg/2015/07/10/2015-16860.html Fri, 10 Jul 2015 00:00:00 -0700 2015-16860 Notice http://www.gpo.gov/fdsys/pkg/FR-2015-07-10/pdf/2015-16860.pdf 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 https://regulations.justia.com/regulations/fedreg/2015/07/10/2015-16859.html https://regulations.justia.com/regulations/fedreg/2015/07/10/2015-16859.html Fri, 10 Jul 2015 00:00:00 -0700 2015-16859 Notice http://www.gpo.gov/fdsys/pkg/FR-2015-07-10/pdf/2015-16859.pdf 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 https://regulations.justia.com/regulations/fedreg/2015/07/10/2015-16858.html https://regulations.justia.com/regulations/fedreg/2015/07/10/2015-16858.html Fri, 10 Jul 2015 00:00:00 -0700 2015-16858 Notice http://www.gpo.gov/fdsys/pkg/FR-2015-07-10/pdf/2015-16858.pdf 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 https://regulations.justia.com/regulations/fedreg/2015/07/10/2015-16857.html https://regulations.justia.com/regulations/fedreg/2015/07/10/2015-16857.html Fri, 10 Jul 2015 00:00:00 -0700 2015-16857 Notice http://www.gpo.gov/fdsys/pkg/FR-2015-07-10/pdf/2015-16857.pdf 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 https://regulations.justia.com/regulations/fedreg/2015/07/10/2015-16856.html https://regulations.justia.com/regulations/fedreg/2015/07/10/2015-16856.html Fri, 10 Jul 2015 00:00:00 -0700 2015-16856 Notice http://www.gpo.gov/fdsys/pkg/FR-2015-07-10/pdf/2015-16856.pdf Notice - Consolidated Tape Association; Notice of Filing of the Twenty Third Substantive Amendment to the Second Restatement of the CTA Plan https://regulations.justia.com/regulations/fedreg/2015/07/10/2015-16837.html https://regulations.justia.com/regulations/fedreg/2015/07/10/2015-16837.html Fri, 10 Jul 2015 00:00:00 -0700 2015-16837 Notice http://www.gpo.gov/fdsys/pkg/FR-2015-07-10/pdf/2015-16837.pdf 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 https://regulations.justia.com/regulations/fedreg/2015/07/08/2015-16653.html https://regulations.justia.com/regulations/fedreg/2015/07/08/2015-16653.html Wed, 08 Jul 2015 00:00:00 -0700 2015-16653 Notice http://www.gpo.gov/fdsys/pkg/FR-2015-07-08/pdf/2015-16653.pdf 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 https://regulations.justia.com/regulations/fedreg/2015/07/08/2015-16652.html https://regulations.justia.com/regulations/fedreg/2015/07/08/2015-16652.html Wed, 08 Jul 2015 00:00:00 -0700 2015-16652 Notice http://www.gpo.gov/fdsys/pkg/FR-2015-07-08/pdf/2015-16652.pdf Notice - Self-Regulatory Organizations; Chicago Stock Exchange, Inc.; Notice of Filing of Proposed Rule Change To Implement CHX SNAPSM https://regulations.justia.com/regulations/fedreg/2015/07/08/2015-16651.html https://regulations.justia.com/regulations/fedreg/2015/07/08/2015-16651.html Wed, 08 Jul 2015 00:00:00 -0700 2015-16651 Notice http://www.gpo.gov/fdsys/pkg/FR-2015-07-08/pdf/2015-16651.pdf Proposed Rule - Possible Revisions To Audit Committee Disclosures https://regulations.justia.com/regulations/fedreg/2015/07/08/2015-16639.html https://regulations.justia.com/regulations/fedreg/2015/07/08/2015-16639.html Wed, 08 Jul 2015 00:00:00 -0700 2015-16639 Proposed Rule http://www.gpo.gov/fdsys/pkg/FR-2015-07-08/pdf/2015-16639.pdf Notice - Sunshine Act Meeting https://regulations.justia.com/regulations/fedreg/2015/07/07/2015-16725.html https://regulations.justia.com/regulations/fedreg/2015/07/07/2015-16725.html Tue, 07 Jul 2015 00:00:00 -0700 2015-16725 Notice http://www.gpo.gov/fdsys/pkg/FR-2015-07-07/pdf/2015-16725.pdf 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 https://regulations.justia.com/regulations/fedreg/2015/07/07/2015-16555.html https://regulations.justia.com/regulations/fedreg/2015/07/07/2015-16555.html Tue, 07 Jul 2015 00:00:00 -0700 2015-16555 Notice http://www.gpo.gov/fdsys/pkg/FR-2015-07-07/pdf/2015-16555.pdf Notice - Self-Regulatory Organizations; BATS Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Extend the Penny Pilot Program https://regulations.justia.com/regulations/fedreg/2015/07/07/2015-16546.html https://regulations.justia.com/regulations/fedreg/2015/07/07/2015-16546.html Tue, 07 Jul 2015 00:00:00 -0700 2015-16546 Notice http://www.gpo.gov/fdsys/pkg/FR-2015-07-07/pdf/2015-16546.pdf 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 https://regulations.justia.com/regulations/fedreg/2015/07/07/2015-16545.html https://regulations.justia.com/regulations/fedreg/2015/07/07/2015-16545.html Tue, 07 Jul 2015 00:00:00 -0700 2015-16545 Notice http://www.gpo.gov/fdsys/pkg/FR-2015-07-07/pdf/2015-16545.pdf 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 https://regulations.justia.com/regulations/fedreg/2015/07/07/2015-16544.html https://regulations.justia.com/regulations/fedreg/2015/07/07/2015-16544.html Tue, 07 Jul 2015 00:00:00 -0700 2015-16544 Notice http://www.gpo.gov/fdsys/pkg/FR-2015-07-07/pdf/2015-16544.pdf 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 https://regulations.justia.com/regulations/fedreg/2015/07/07/2015-16543.html https://regulations.justia.com/regulations/fedreg/2015/07/07/2015-16543.html Tue, 07 Jul 2015 00:00:00 -0700 2015-16543 Notice http://www.gpo.gov/fdsys/pkg/FR-2015-07-07/pdf/2015-16543.pdf Notice - Self-Regulatory Organizations; ICE Clear Europe Limited; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to the Delivery Procedures https://regulations.justia.com/regulations/fedreg/2015/07/06/2015-16417.html https://regulations.justia.com/regulations/fedreg/2015/07/06/2015-16417.html Mon, 06 Jul 2015 00:00:00 -0700 2015-16417 Notice http://www.gpo.gov/fdsys/pkg/FR-2015-07-06/pdf/2015-16417.pdf 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 https://regulations.justia.com/regulations/fedreg/2015/07/06/2015-16416.html https://regulations.justia.com/regulations/fedreg/2015/07/06/2015-16416.html Mon, 06 Jul 2015 00:00:00 -0700 2015-16416 Notice http://www.gpo.gov/fdsys/pkg/FR-2015-07-06/pdf/2015-16416.pdf 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 https://regulations.justia.com/regulations/fedreg/2015/07/06/2015-16415.html https://regulations.justia.com/regulations/fedreg/2015/07/06/2015-16415.html Mon, 06 Jul 2015 00:00:00 -0700 2015-16415 Notice http://www.gpo.gov/fdsys/pkg/FR-2015-07-06/pdf/2015-16415.pdf 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 https://regulations.justia.com/regulations/fedreg/2015/07/06/2015-16414.html https://regulations.justia.com/regulations/fedreg/2015/07/06/2015-16414.html Mon, 06 Jul 2015 00:00:00 -0700 2015-16414 Notice http://www.gpo.gov/fdsys/pkg/FR-2015-07-06/pdf/2015-16414.pdf 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 https://regulations.justia.com/regulations/fedreg/2015/07/06/2015-16413.html https://regulations.justia.com/regulations/fedreg/2015/07/06/2015-16413.html Mon, 06 Jul 2015 00:00:00 -0700 2015-16413 Notice http://www.gpo.gov/fdsys/pkg/FR-2015-07-06/pdf/2015-16413.pdf Notice - Self-Regulatory Organizations; NYSE MKT LLC; Order Approving Proposed Rule Change Amending Rule 923NY to Modify the Appointment Process Utilized by the Exchange https://regulations.justia.com/regulations/fedreg/2015/07/06/2015-16412.html https://regulations.justia.com/regulations/fedreg/2015/07/06/2015-16412.html Mon, 06 Jul 2015 00:00:00 -0700 2015-16412 Notice http://www.gpo.gov/fdsys/pkg/FR-2015-07-06/pdf/2015-16412.pdf 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 https://regulations.justia.com/regulations/fedreg/2015/07/06/2015-16411.html https://regulations.justia.com/regulations/fedreg/2015/07/06/2015-16411.html Mon, 06 Jul 2015 00:00:00 -0700 2015-16411 Notice http://www.gpo.gov/fdsys/pkg/FR-2015-07-06/pdf/2015-16411.pdf 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 https://regulations.justia.com/regulations/fedreg/2015/07/06/2015-16410.html https://regulations.justia.com/regulations/fedreg/2015/07/06/2015-16410.html Mon, 06 Jul 2015 00:00:00 -0700 2015-16410 Notice http://www.gpo.gov/fdsys/pkg/FR-2015-07-06/pdf/2015-16410.pdf Notice - Notice of Applications for Deregistration Under Section 8(f) of the Investment Company Act of 1940 https://regulations.justia.com/regulations/fedreg/2015/07/06/2015-16409.html https://regulations.justia.com/regulations/fedreg/2015/07/06/2015-16409.html Mon, 06 Jul 2015 00:00:00 -0700 2015-16409 Notice http://www.gpo.gov/fdsys/pkg/FR-2015-07-06/pdf/2015-16409.pdf Notice - Submission for OMB Review; Comment Request https://regulations.justia.com/regulations/fedreg/2015/07/06/2015-16408.html https://regulations.justia.com/regulations/fedreg/2015/07/06/2015-16408.html Mon, 06 Jul 2015 00:00:00 -0700 2015-16408 Notice http://www.gpo.gov/fdsys/pkg/FR-2015-07-06/pdf/2015-16408.pdf Proposed Rule - Amendments to Form ADV and Investment Advisers Act Rules https://regulations.justia.com/regulations/fedreg/2015/07/02/C1-2015-12778.html https://regulations.justia.com/regulations/fedreg/2015/07/02/C1-2015-12778.html Thu, 02 Jul 2015 00:00:00 -0700 C1-2015-12778 Proposed Rule http://www.gpo.gov/fdsys/pkg/FR-2015-07-02/pdf/C1-2015-12778.pdf Notice - Proposed Collection; Comment Request https://regulations.justia.com/regulations/fedreg/2015/07/02/2015-16407.html https://regulations.justia.com/regulations/fedreg/2015/07/02/2015-16407.html Thu, 02 Jul 2015 00:00:00 -0700 2015-16407 Notice http://www.gpo.gov/fdsys/pkg/FR-2015-07-02/pdf/2015-16407.pdf 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) https://regulations.justia.com/regulations/fedreg/2015/07/02/2015-16274.html https://regulations.justia.com/regulations/fedreg/2015/07/02/2015-16274.html Thu, 02 Jul 2015 00:00:00 -0700 2015-16274 Notice http://www.gpo.gov/fdsys/pkg/FR-2015-07-02/pdf/2015-16274.pdf Notice - Self-Regulatory Organizations; ISE Gemini, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Extend the Penny Pilot Program https://regulations.justia.com/regulations/fedreg/2015/07/02/2015-16273.html https://regulations.justia.com/regulations/fedreg/2015/07/02/2015-16273.html Thu, 02 Jul 2015 00:00:00 -0700 2015-16273 Notice http://www.gpo.gov/fdsys/pkg/FR-2015-07-02/pdf/2015-16273.pdf 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 https://regulations.justia.com/regulations/fedreg/2015/07/02/2015-16272.html https://regulations.justia.com/regulations/fedreg/2015/07/02/2015-16272.html Thu, 02 Jul 2015 00:00:00 -0700 2015-16272 Notice http://www.gpo.gov/fdsys/pkg/FR-2015-07-02/pdf/2015-16272.pdf 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. https://regulations.justia.com/regulations/fedreg/2015/07/02/2015-16271.html https://regulations.justia.com/regulations/fedreg/2015/07/02/2015-16271.html Thu, 02 Jul 2015 00:00:00 -0700 2015-16271 Notice http://www.gpo.gov/fdsys/pkg/FR-2015-07-02/pdf/2015-16271.pdf Notice - Self-Regulatory Organizations; International Securities Exchange, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Extend the Penny Pilot Program https://regulations.justia.com/regulations/fedreg/2015/07/02/2015-16270.html https://regulations.justia.com/regulations/fedreg/2015/07/02/2015-16270.html Thu, 02 Jul 2015 00:00:00 -0700 2015-16270 Notice http://www.gpo.gov/fdsys/pkg/FR-2015-07-02/pdf/2015-16270.pdf 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 https://regulations.justia.com/regulations/fedreg/2015/07/02/2015-16269.html https://regulations.justia.com/regulations/fedreg/2015/07/02/2015-16269.html Thu, 02 Jul 2015 00:00:00 -0700 2015-16269 Notice http://www.gpo.gov/fdsys/pkg/FR-2015-07-02/pdf/2015-16269.pdf Notice - Advisory Committee on Small and Emerging Companies https://regulations.justia.com/regulations/fedreg/2015/07/01/2015-16108.html https://regulations.justia.com/regulations/fedreg/2015/07/01/2015-16108.html Wed, 01 Jul 2015 00:00:00 -0700 2015-16108 Notice http://www.gpo.gov/fdsys/pkg/FR-2015-07-01/pdf/2015-16108.pdf Notice - Cash Trust Series, Inc., et al.; Notice of Application https://regulations.justia.com/regulations/fedreg/2015/07/01/2015-16091.html https://regulations.justia.com/regulations/fedreg/2015/07/01/2015-16091.html Wed, 01 Jul 2015 00:00:00 -0700 2015-16091 Notice http://www.gpo.gov/fdsys/pkg/FR-2015-07-01/pdf/2015-16091.pdf 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 https://regulations.justia.com/regulations/fedreg/2015/07/01/2015-16090.html https://regulations.justia.com/regulations/fedreg/2015/07/01/2015-16090.html Wed, 01 Jul 2015 00:00:00 -0700 2015-16090 Notice http://www.gpo.gov/fdsys/pkg/FR-2015-07-01/pdf/2015-16090.pdf 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 https://regulations.justia.com/regulations/fedreg/2015/07/01/2015-16089.html https://regulations.justia.com/regulations/fedreg/2015/07/01/2015-16089.html Wed, 01 Jul 2015 00:00:00 -0700 2015-16089 Notice http://www.gpo.gov/fdsys/pkg/FR-2015-07-01/pdf/2015-16089.pdf 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 https://regulations.justia.com/regulations/fedreg/2015/07/01/2015-16088.html https://regulations.justia.com/regulations/fedreg/2015/07/01/2015-16088.html Wed, 01 Jul 2015 00:00:00 -0700 2015-16088 Notice http://www.gpo.gov/fdsys/pkg/FR-2015-07-01/pdf/2015-16088.pdf Notice - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Order Approving Proposed Rule Change Relating to Floor Broker Due Diligence https://regulations.justia.com/regulations/fedreg/2015/07/01/2015-16087.html https://regulations.justia.com/regulations/fedreg/2015/07/01/2015-16087.html Wed, 01 Jul 2015 00:00:00 -0700 2015-16087 Notice http://www.gpo.gov/fdsys/pkg/FR-2015-07-01/pdf/2015-16087.pdf 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 https://regulations.justia.com/regulations/fedreg/2015/07/01/2015-16086.html https://regulations.justia.com/regulations/fedreg/2015/07/01/2015-16086.html Wed, 01 Jul 2015 00:00:00 -0700 2015-16086 Notice http://www.gpo.gov/fdsys/pkg/FR-2015-07-01/pdf/2015-16086.pdf 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 https://regulations.justia.com/regulations/fedreg/2015/07/01/2015-16085.html https://regulations.justia.com/regulations/fedreg/2015/07/01/2015-16085.html Wed, 01 Jul 2015 00:00:00 -0700 2015-16085 Notice http://www.gpo.gov/fdsys/pkg/FR-2015-07-01/pdf/2015-16085.pdf 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 https://regulations.justia.com/regulations/fedreg/2015/07/01/2015-16084.html https://regulations.justia.com/regulations/fedreg/2015/07/01/2015-16084.html Wed, 01 Jul 2015 00:00:00 -0700 2015-16084 Notice http://www.gpo.gov/fdsys/pkg/FR-2015-07-01/pdf/2015-16084.pdf 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 https://regulations.justia.com/regulations/fedreg/2015/07/01/2015-16083.html https://regulations.justia.com/regulations/fedreg/2015/07/01/2015-16083.html Wed, 01 Jul 2015 00:00:00 -0700 2015-16083 Notice http://www.gpo.gov/fdsys/pkg/FR-2015-07-01/pdf/2015-16083.pdf Rule - Political Contributions by Certain Investment Advisers: Ban on Third-Party Solicitation; Notice of Compliance Date https://regulations.justia.com/regulations/fedreg/2015/07/01/2015-16048.html https://regulations.justia.com/regulations/fedreg/2015/07/01/2015-16048.html Wed, 01 Jul 2015 00:00:00 -0700 2015-16048 Rule http://www.gpo.gov/fdsys/pkg/FR-2015-07-01/pdf/2015-16048.pdf Rule - Amendments for Small and Additional Issues Exemptions Under the Securities Act (Regulation A); Correction https://regulations.justia.com/regulations/fedreg/2015/07/01/2015-16045.html https://regulations.justia.com/regulations/fedreg/2015/07/01/2015-16045.html Wed, 01 Jul 2015 00:00:00 -0700 2015-16045 Rule http://www.gpo.gov/fdsys/pkg/FR-2015-07-01/pdf/2015-16045.pdf Rule - Commission Guidance Regarding the Definition of the Terms “Spouse” and “Marriage” Following the Supreme Court's Decision in United States v. Windsor https://regulations.justia.com/regulations/fedreg/2015/07/01/2015-15506.html https://regulations.justia.com/regulations/fedreg/2015/07/01/2015-15506.html Wed, 01 Jul 2015 00:00:00 -0700 2015-15506 Rule http://www.gpo.gov/fdsys/pkg/FR-2015-07-01/pdf/2015-15506.pdf