<![CDATA[Federal Register Recent Federal Regulation Documents - Justia Regulation Tracker - Justia Regulations Tracker]]> https://regulations.justia.com/regulations/fedreg/agencies/securities-and-exchange-commission/2015/09?registers=between&min-day=1&max-day=30 Thu, 02 May 2024 00:40:29 -0700 Thu, 02 May 2024 00:40:29 -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/2015/09?registers=between&min-day=1&max-day=30 Notice - Joint Industry Plan; Order Approving Amendment No. 2 to the National Market System Plan Governing the Process of Selecting a Plan Processor and Developing a Plan for the Consolidated Audit Trail by BATS Exchange, Inc., BATS-Y Exchange, Inc., BOX Options Exchange LLC, C2 Options Exchange, Incorporated, Chicago Board Options Exchange, Incorporated, Chicago Stock Exchange, Inc., EDGA Exchange, Inc., EDGX Exchange, Inc., Financial Industry Regulatory Authority, Inc., International Securities Exchange, LLC, ISE Gemini, LLC, Miami International Securities Exchange LLC, NASDAQ OMX BX, Inc., NASDAQ OMX PHLX LLC, The NASDAQ Stock Market LLC, National Stock Exchange, Inc., New York Stock Exchange LLC, NYSE MKT LLC, and NYSE Arca, Inc. https://regulations.justia.com/regulations/fedreg/2015/09/30/2015-24717.html https://regulations.justia.com/regulations/fedreg/2015/09/30/2015-24717.html Wed, 30 Sep 2015 00:00:00 -0700 2015-24717 Notice http://www.gpo.gov/fdsys/pkg/FR-2015-09-30/pdf/2015-24717.pdf Notice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to a Change to the Secondary Benchmark Index Applicable to Shares of the PIMCO Global Advantage® Inflation-Linked Bond Active Exchange-Traded Fund https://regulations.justia.com/regulations/fedreg/2015/09/30/2015-24716.html https://regulations.justia.com/regulations/fedreg/2015/09/30/2015-24716.html Wed, 30 Sep 2015 00:00:00 -0700 2015-24716 Notice http://www.gpo.gov/fdsys/pkg/FR-2015-09-30/pdf/2015-24716.pdf Notice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Regarding the PIMCO Intermediate Municipal Bond Active Exchange-Traded Fund https://regulations.justia.com/regulations/fedreg/2015/09/30/2015-24715.html https://regulations.justia.com/regulations/fedreg/2015/09/30/2015-24715.html Wed, 30 Sep 2015 00:00:00 -0700 2015-24715 Notice http://www.gpo.gov/fdsys/pkg/FR-2015-09-30/pdf/2015-24715.pdf Notice - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Order Granting Approval of Proposed Rule Change Relating to the Listing and Trading of the 1-3 Month Enhanced Short Duration ETF, a Series of Plus Trust https://regulations.justia.com/regulations/fedreg/2015/09/30/2015-24714.html https://regulations.justia.com/regulations/fedreg/2015/09/30/2015-24714.html Wed, 30 Sep 2015 00:00:00 -0700 2015-24714 Notice http://www.gpo.gov/fdsys/pkg/FR-2015-09-30/pdf/2015-24714.pdf Notice - Sunshine Act Meeting https://regulations.justia.com/regulations/fedreg/2015/09/29/2015-24732.html https://regulations.justia.com/regulations/fedreg/2015/09/29/2015-24732.html Tue, 29 Sep 2015 00:00:00 -0700 2015-24732 Notice http://www.gpo.gov/fdsys/pkg/FR-2015-09-29/pdf/2015-24732.pdf Notice - Advisory Committee on Small and Emerging Companies https://regulations.justia.com/regulations/fedreg/2015/09/29/2015-24634.html https://regulations.justia.com/regulations/fedreg/2015/09/29/2015-24634.html Tue, 29 Sep 2015 00:00:00 -0700 2015-24634 Notice http://www.gpo.gov/fdsys/pkg/FR-2015-09-29/pdf/2015-24634.pdf Notice - Self-Regulatory Organizations; BATS Exchange, Inc.; Notice of Designation of a Longer Period for Commission Action on a Proposed Rule Change, as Modified by Amendment No. 1 Thereto, To Adopt New Rule 8.17 To Provide a Process for an Expedited Suspension Proceeding and Rule 12.15 To Prohibit Layering and Spoofing on BATS Exchange, Inc. https://regulations.justia.com/regulations/fedreg/2015/09/29/2015-24599.html https://regulations.justia.com/regulations/fedreg/2015/09/29/2015-24599.html Tue, 29 Sep 2015 00:00:00 -0700 2015-24599 Notice http://www.gpo.gov/fdsys/pkg/FR-2015-09-29/pdf/2015-24599.pdf Notice - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Supplementary Material .20 to Rule 103 To Permit Member Organizations That Operate as Designated Market Maker Units on the Exchange and Also Operate DMM Units on the NYSE MKT LLC To Make an Adjustment to Excess Net Capital https://regulations.justia.com/regulations/fedreg/2015/09/28/2015-24517.html https://regulations.justia.com/regulations/fedreg/2015/09/28/2015-24517.html Mon, 28 Sep 2015 00:00:00 -0700 2015-24517 Notice http://www.gpo.gov/fdsys/pkg/FR-2015-09-28/pdf/2015-24517.pdf Notice - Self-Regulatory Organizations: Miami International Securities Exchange LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Exchange Rule 503 https://regulations.justia.com/regulations/fedreg/2015/09/28/2015-24516.html https://regulations.justia.com/regulations/fedreg/2015/09/28/2015-24516.html Mon, 28 Sep 2015 00:00:00 -0700 2015-24516 Notice http://www.gpo.gov/fdsys/pkg/FR-2015-09-28/pdf/2015-24516.pdf Notice - Self-Regulatory Organizations; ISE Gemini, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the Schedule of Fees https://regulations.justia.com/regulations/fedreg/2015/09/28/2015-24515.html https://regulations.justia.com/regulations/fedreg/2015/09/28/2015-24515.html Mon, 28 Sep 2015 00:00:00 -0700 2015-24515 Notice http://www.gpo.gov/fdsys/pkg/FR-2015-09-28/pdf/2015-24515.pdf Notice - Investor Advisory Committee Meeting https://regulations.justia.com/regulations/fedreg/2015/09/28/2015-24514.html https://regulations.justia.com/regulations/fedreg/2015/09/28/2015-24514.html Mon, 28 Sep 2015 00:00:00 -0700 2015-24514 Notice http://www.gpo.gov/fdsys/pkg/FR-2015-09-28/pdf/2015-24514.pdf Notice - Sunshine Act Meeting https://regulations.justia.com/regulations/fedreg/2015/09/25/2015-24547.html https://regulations.justia.com/regulations/fedreg/2015/09/25/2015-24547.html Fri, 25 Sep 2015 00:00:00 -0700 2015-24547 Notice http://www.gpo.gov/fdsys/pkg/FR-2015-09-25/pdf/2015-24547.pdf Notice - Principal Exchange-Traded Funds, et al.; Notice of Application https://regulations.justia.com/regulations/fedreg/2015/09/25/2015-24446.html https://regulations.justia.com/regulations/fedreg/2015/09/25/2015-24446.html Fri, 25 Sep 2015 00:00:00 -0700 2015-24446 Notice http://www.gpo.gov/fdsys/pkg/FR-2015-09-25/pdf/2015-24446.pdf Notice - General Electric Company and GE Capital International Funding Company; Notice of Application https://regulations.justia.com/regulations/fedreg/2015/09/25/2015-24445.html https://regulations.justia.com/regulations/fedreg/2015/09/25/2015-24445.html Fri, 25 Sep 2015 00:00:00 -0700 2015-24445 Notice http://www.gpo.gov/fdsys/pkg/FR-2015-09-25/pdf/2015-24445.pdf Rule - Removal of Certain References to Credit Ratings and Amendment to the Issuer Diversification Requirement in the Money Market Fund Rule https://regulations.justia.com/regulations/fedreg/2015/09/25/2015-24015.html https://regulations.justia.com/regulations/fedreg/2015/09/25/2015-24015.html Fri, 25 Sep 2015 00:00:00 -0700 2015-24015 Rule http://www.gpo.gov/fdsys/pkg/FR-2015-09-25/pdf/2015-24015.pdf Notice - Self-Regulatory Organizations; NYSE MKT LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Make Permanent the Rules of the New Market Model Pilot, the Supplemental Liquidity Providers Pilot, and the Pilot Program Allowing “UTP Securities” To Be Traded on the Exchange Pursuant to a Grant of Unlisted Trading Privileges https://regulations.justia.com/regulations/fedreg/2015/09/24/2015-24216.html https://regulations.justia.com/regulations/fedreg/2015/09/24/2015-24216.html Thu, 24 Sep 2015 00:00:00 -0700 2015-24216 Notice http://www.gpo.gov/fdsys/pkg/FR-2015-09-24/pdf/2015-24216.pdf Notice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Designation of a Longer Period for Commission Action on Proposed Rule Change Relating to Implementation of a Fee on Securities Lending and Repurchase Transactions With Respect to Shares of the CurrencyShares® Euro Trust and the CurrencyShares® Japanese Yen Trust https://regulations.justia.com/regulations/fedreg/2015/09/24/2015-24215.html https://regulations.justia.com/regulations/fedreg/2015/09/24/2015-24215.html Thu, 24 Sep 2015 00:00:00 -0700 2015-24215 Notice http://www.gpo.gov/fdsys/pkg/FR-2015-09-24/pdf/2015-24215.pdf Notice - Sunshine Act Meeting https://regulations.justia.com/regulations/fedreg/2015/09/23/2015-24217.html https://regulations.justia.com/regulations/fedreg/2015/09/23/2015-24217.html Wed, 23 Sep 2015 00:00:00 -0700 2015-24217 Notice http://www.gpo.gov/fdsys/pkg/FR-2015-09-23/pdf/2015-24217.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/2015/09/23/2015-24063.html https://regulations.justia.com/regulations/fedreg/2015/09/23/2015-24063.html Wed, 23 Sep 2015 00:00:00 -0700 2015-24063 Notice http://www.gpo.gov/fdsys/pkg/FR-2015-09-23/pdf/2015-24063.pdf Notice - Self-Regulatory Organizations; NASDAQ OMX PHLX LLC; Order Instituting Proceedings To Determine Whether To Approve or Disapprove a Proposed Rule Change To Amend and Correct Rule 1080.07 https://regulations.justia.com/regulations/fedreg/2015/09/23/2015-24062.html https://regulations.justia.com/regulations/fedreg/2015/09/23/2015-24062.html Wed, 23 Sep 2015 00:00:00 -0700 2015-24062 Notice http://www.gpo.gov/fdsys/pkg/FR-2015-09-23/pdf/2015-24062.pdf Notice - Self-Regulatory Organizations; New York Stock Exchange LLC; NYSE MKT LLC; Order Instituting Proceedings To Determine Whether To Disapprove the Proposed Rule Changes Amending the NYSE Trades Market Data and NYSE MKT Trades Market Data Product Offerings https://regulations.justia.com/regulations/fedreg/2015/09/23/2015-24061.html https://regulations.justia.com/regulations/fedreg/2015/09/23/2015-24061.html Wed, 23 Sep 2015 00:00:00 -0700 2015-24061 Notice http://www.gpo.gov/fdsys/pkg/FR-2015-09-23/pdf/2015-24061.pdf Notice - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Order Granting Approval of Proposed Rule Change Relating to the Listing and Trading of the Shares of the PowerShares High Income Downside Hedged Portfolio, a Series of the PowerShares Actively Managed Exchange-Traded Fund Trust https://regulations.justia.com/regulations/fedreg/2015/09/23/2015-24060.html https://regulations.justia.com/regulations/fedreg/2015/09/23/2015-24060.html Wed, 23 Sep 2015 00:00:00 -0700 2015-24060 Notice http://www.gpo.gov/fdsys/pkg/FR-2015-09-23/pdf/2015-24060.pdf Notice - Self-Regulatory Organizations; Municipal Securities Rulemaking Board; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Revise the Effective Date of New Rule G-18, on Best Execution of Transactions in Municipal Securities, and Amendments to Rule G-48, on Transactions With Sophisticated Municipal Market Professionals, and Rule D-15, on the Definition of Sophisticated Municipal Market Professional https://regulations.justia.com/regulations/fedreg/2015/09/23/2015-24059.html https://regulations.justia.com/regulations/fedreg/2015/09/23/2015-24059.html Wed, 23 Sep 2015 00:00:00 -0700 2015-24059 Notice http://www.gpo.gov/fdsys/pkg/FR-2015-09-23/pdf/2015-24059.pdf Notice - Public Company Accounting Oversight Board; Order Granting Approval of Proposed Rules To Implement the Reorganization of PCAOB Auditing Standards and Related Changes to PCAOB Rules and Attestation, Quality Control, and Ethics and Independence Standards https://regulations.justia.com/regulations/fedreg/2015/09/22/2015-24019.html https://regulations.justia.com/regulations/fedreg/2015/09/22/2015-24019.html Tue, 22 Sep 2015 00:00:00 -0700 2015-24019 Notice http://www.gpo.gov/fdsys/pkg/FR-2015-09-22/pdf/2015-24019.pdf Notice - Self-Regulatory Organizations; Municipal Securities Rulemaking Board; Notice of Filing of a Proposed Rule Change Consisting of Proposed Amendments to Rule G-20, on Gifts, Gratuities and Non-Cash Compensation, and Rule G-8, on Books and Records To Be Made by Brokers, Dealers, Municipal Securities Dealers, and Municipal Advisors, and the Deletion of Prior Interpretive Guidance https://regulations.justia.com/regulations/fedreg/2015/09/22/2015-23975.html https://regulations.justia.com/regulations/fedreg/2015/09/22/2015-23975.html Tue, 22 Sep 2015 00:00:00 -0700 2015-23975 Notice http://www.gpo.gov/fdsys/pkg/FR-2015-09-22/pdf/2015-23975.pdf Notice - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Chapter XV, Section 2 Entitled “NASDAQ Options Market-Fees and Rebates” https://regulations.justia.com/regulations/fedreg/2015/09/22/2015-23974.html https://regulations.justia.com/regulations/fedreg/2015/09/22/2015-23974.html Tue, 22 Sep 2015 00:00:00 -0700 2015-23974 Notice http://www.gpo.gov/fdsys/pkg/FR-2015-09-22/pdf/2015-23974.pdf Notice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing of Proposed Rule Change, as Modified by Amendment No. 1, Relating to Listing and Trading of Shares of the Guggenheim Total Return Bond ETF Under NYSE Arca Equities Rule 8.600 https://regulations.justia.com/regulations/fedreg/2015/09/22/2015-23973.html https://regulations.justia.com/regulations/fedreg/2015/09/22/2015-23973.html Tue, 22 Sep 2015 00:00:00 -0700 2015-23973 Notice http://www.gpo.gov/fdsys/pkg/FR-2015-09-22/pdf/2015-23973.pdf Notice - Investors' Exchange, LLC; Notice of Filing of Application, as Amended, for Registration as a National Securities Exchange Under Section 6 of the Securities Exchange Act of 1934 https://regulations.justia.com/regulations/fedreg/2015/09/22/2015-23972.html https://regulations.justia.com/regulations/fedreg/2015/09/22/2015-23972.html Tue, 22 Sep 2015 00:00:00 -0700 2015-23972 Notice http://www.gpo.gov/fdsys/pkg/FR-2015-09-22/pdf/2015-23972.pdf Notice - Sunshine Act Meeting https://regulations.justia.com/regulations/fedreg/2015/09/21/2015-23971.html https://regulations.justia.com/regulations/fedreg/2015/09/21/2015-23971.html Mon, 21 Sep 2015 00:00:00 -0700 2015-23971 Notice http://www.gpo.gov/fdsys/pkg/FR-2015-09-21/pdf/2015-23971.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/2015/09/21/2015-23527.html https://regulations.justia.com/regulations/fedreg/2015/09/21/2015-23527.html Mon, 21 Sep 2015 00:00:00 -0700 2015-23527 Notice http://www.gpo.gov/fdsys/pkg/FR-2015-09-21/pdf/2015-23527.pdf Notice - Submission for OMB Review; Comment Request https://regulations.justia.com/regulations/fedreg/2015/09/18/2015-23467.html https://regulations.justia.com/regulations/fedreg/2015/09/18/2015-23467.html Fri, 18 Sep 2015 00:00:00 -0700 2015-23467 Notice http://www.gpo.gov/fdsys/pkg/FR-2015-09-18/pdf/2015-23467.pdf Notice - Submission for OMB Review; Comment Request https://regulations.justia.com/regulations/fedreg/2015/09/18/2015-23466.html https://regulations.justia.com/regulations/fedreg/2015/09/18/2015-23466.html Fri, 18 Sep 2015 00:00:00 -0700 2015-23466 Notice http://www.gpo.gov/fdsys/pkg/FR-2015-09-18/pdf/2015-23466.pdf Notice - Proposed Collection; Comment Request https://regulations.justia.com/regulations/fedreg/2015/09/18/2015-23465.html https://regulations.justia.com/regulations/fedreg/2015/09/18/2015-23465.html Fri, 18 Sep 2015 00:00:00 -0700 2015-23465 Notice http://www.gpo.gov/fdsys/pkg/FR-2015-09-18/pdf/2015-23465.pdf Notice - Order Pursuant to Sections 15F(b)(6) and 36 of the Securities Exchange Act of 1934 Extending Certain Temporary Exemptions and a Temporary and Limited Exception Related to Security-Based Swaps https://regulations.justia.com/regulations/fedreg/2015/09/18/2015-23464.html https://regulations.justia.com/regulations/fedreg/2015/09/18/2015-23464.html Fri, 18 Sep 2015 00:00:00 -0700 2015-23464 Notice http://www.gpo.gov/fdsys/pkg/FR-2015-09-18/pdf/2015-23464.pdf Notice - Joint Industry Plan; Notice of Filing of the Ninth Amendment to the National Market System Plan To Address Extraordinary Market Volatility by BATS Exchange, Inc., BATS Y-Exchange, Inc., Chicago Board Options 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, National Stock Exchange, Inc., New York Stock Exchange LLC, NYSE MKT LLC, and NYSE Arca, Inc. https://regulations.justia.com/regulations/fedreg/2015/09/18/2015-23415.html https://regulations.justia.com/regulations/fedreg/2015/09/18/2015-23415.html Fri, 18 Sep 2015 00:00:00 -0700 2015-23415 Notice http://www.gpo.gov/fdsys/pkg/FR-2015-09-18/pdf/2015-23415.pdf Notice - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; 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 Rules 6.74A and 6.74B https://regulations.justia.com/regulations/fedreg/2015/09/18/2015-23401.html https://regulations.justia.com/regulations/fedreg/2015/09/18/2015-23401.html Fri, 18 Sep 2015 00:00:00 -0700 2015-23401 Notice http://www.gpo.gov/fdsys/pkg/FR-2015-09-18/pdf/2015-23401.pdf Notice - Self-Regulatory Organizations; BOX Options Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Adopt a Principles-Based Approach To Prohibit the Misuse of Material Nonpublic Information by Market Makers https://regulations.justia.com/regulations/fedreg/2015/09/18/2015-23400.html https://regulations.justia.com/regulations/fedreg/2015/09/18/2015-23400.html Fri, 18 Sep 2015 00:00:00 -0700 2015-23400 Notice http://www.gpo.gov/fdsys/pkg/FR-2015-09-18/pdf/2015-23400.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/2015/09/18/2015-23399.html https://regulations.justia.com/regulations/fedreg/2015/09/18/2015-23399.html Fri, 18 Sep 2015 00:00:00 -0700 2015-23399 Notice http://www.gpo.gov/fdsys/pkg/FR-2015-09-18/pdf/2015-23399.pdf Notice - Self-Regulatory Organizations; International Securities Exchange, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the Schedule of Fees https://regulations.justia.com/regulations/fedreg/2015/09/18/2015-23398.html https://regulations.justia.com/regulations/fedreg/2015/09/18/2015-23398.html Fri, 18 Sep 2015 00:00:00 -0700 2015-23398 Notice http://www.gpo.gov/fdsys/pkg/FR-2015-09-18/pdf/2015-23398.pdf Notice - Self-Regulatory Organizations; International Securities Exchange, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the Schedule of Fees https://regulations.justia.com/regulations/fedreg/2015/09/18/2015-23397.html https://regulations.justia.com/regulations/fedreg/2015/09/18/2015-23397.html Fri, 18 Sep 2015 00:00:00 -0700 2015-23397 Notice http://www.gpo.gov/fdsys/pkg/FR-2015-09-18/pdf/2015-23397.pdf Notice - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Transaction Fees at Chapter XV, Section 2 Entitled “NASDAQ Options Market-Fees and Rebates” https://regulations.justia.com/regulations/fedreg/2015/09/18/2015-23396.html https://regulations.justia.com/regulations/fedreg/2015/09/18/2015-23396.html Fri, 18 Sep 2015 00:00:00 -0700 2015-23396 Notice http://www.gpo.gov/fdsys/pkg/FR-2015-09-18/pdf/2015-23396.pdf Notice - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To List Two Additional Products During Extended Trading Hours https://regulations.justia.com/regulations/fedreg/2015/09/18/2015-23395.html https://regulations.justia.com/regulations/fedreg/2015/09/18/2015-23395.html Fri, 18 Sep 2015 00:00:00 -0700 2015-23395 Notice http://www.gpo.gov/fdsys/pkg/FR-2015-09-18/pdf/2015-23395.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/2015/09/18/2015-23394.html https://regulations.justia.com/regulations/fedreg/2015/09/18/2015-23394.html Fri, 18 Sep 2015 00:00:00 -0700 2015-23394 Notice http://www.gpo.gov/fdsys/pkg/FR-2015-09-18/pdf/2015-23394.pdf Notice - Self-Regulatory Organizations; NASDAQ OMX BX, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Exchange Rule 7018 https://regulations.justia.com/regulations/fedreg/2015/09/17/2015-23289.html https://regulations.justia.com/regulations/fedreg/2015/09/17/2015-23289.html Thu, 17 Sep 2015 00:00:00 -0700 2015-23289 Notice http://www.gpo.gov/fdsys/pkg/FR-2015-09-17/pdf/2015-23289.pdf Notice - Pomona Investment Fund, et al.; Notice of Application https://regulations.justia.com/regulations/fedreg/2015/09/17/2015-23288.html https://regulations.justia.com/regulations/fedreg/2015/09/17/2015-23288.html Thu, 17 Sep 2015 00:00:00 -0700 2015-23288 Notice http://www.gpo.gov/fdsys/pkg/FR-2015-09-17/pdf/2015-23288.pdf Notice - Self-Regulatory Organizations; C2 Options Exchange, Incorporated; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the Fees Schedule https://regulations.justia.com/regulations/fedreg/2015/09/17/2015-23287.html https://regulations.justia.com/regulations/fedreg/2015/09/17/2015-23287.html Thu, 17 Sep 2015 00:00:00 -0700 2015-23287 Notice http://www.gpo.gov/fdsys/pkg/FR-2015-09-17/pdf/2015-23287.pdf Notice - Self-Regulatory Organizations; BATS Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Related to Fees To Adopt a Tape B Volume Tier https://regulations.justia.com/regulations/fedreg/2015/09/17/2015-23286.html https://regulations.justia.com/regulations/fedreg/2015/09/17/2015-23286.html Thu, 17 Sep 2015 00:00:00 -0700 2015-23286 Notice http://www.gpo.gov/fdsys/pkg/FR-2015-09-17/pdf/2015-23286.pdf Notice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing of Proposed Rule Change To List and Trade Shares of the Following Under NYSE Arca Equities Rule 8.600: First Trust Heitman Global Prime Real Estate ETF https://regulations.justia.com/regulations/fedreg/2015/09/17/2015-23285.html https://regulations.justia.com/regulations/fedreg/2015/09/17/2015-23285.html Thu, 17 Sep 2015 00:00:00 -0700 2015-23285 Notice http://www.gpo.gov/fdsys/pkg/FR-2015-09-17/pdf/2015-23285.pdf Notice - Self-Regulatory Organizations; National Securities Clearing Corporation; Notice of Filing of Advance Notice To Enhance NSCC's Margining Methodology as Applied to Family-Issued Securities of Certain NSCC Members https://regulations.justia.com/regulations/fedreg/2015/09/17/2015-23283.html https://regulations.justia.com/regulations/fedreg/2015/09/17/2015-23283.html Thu, 17 Sep 2015 00:00:00 -0700 2015-23283 Notice http://www.gpo.gov/fdsys/pkg/FR-2015-09-17/pdf/2015-23283.pdf Notice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing of Proposed Rule Change To List and Trade Shares of the Global Currency Gold Fund Under NYSE Arca Equities Rule 8.201 https://regulations.justia.com/regulations/fedreg/2015/09/16/2015-23284.html https://regulations.justia.com/regulations/fedreg/2015/09/16/2015-23284.html Wed, 16 Sep 2015 00:00:00 -0700 2015-23284 Notice http://www.gpo.gov/fdsys/pkg/FR-2015-09-16/pdf/2015-23284.pdf Notice - AlphaClone, Inc., et al.; Notice of Application https://regulations.justia.com/regulations/fedreg/2015/09/16/2015-23270.html https://regulations.justia.com/regulations/fedreg/2015/09/16/2015-23270.html Wed, 16 Sep 2015 00:00:00 -0700 2015-23270 Notice http://www.gpo.gov/fdsys/pkg/FR-2015-09-16/pdf/2015-23270.pdf Notice - Securities Exchange Act of 1934; In the Matter of the Options Clearing Corporation; Order Discontinuing the Automatic Stay https://regulations.justia.com/regulations/fedreg/2015/09/16/2015-23241.html https://regulations.justia.com/regulations/fedreg/2015/09/16/2015-23241.html Wed, 16 Sep 2015 00:00:00 -0700 2015-23241 Notice http://www.gpo.gov/fdsys/pkg/FR-2015-09-16/pdf/2015-23241.pdf Notice - In the Matter of BATS Global Markets, Inc.; BOX Options Exchange LLC; KCG Holdings, Inc.; Miami International Securities Exchange, LLC; Susquehanna International Group, LLP; Order Granting Petitions for Review and Scheduling Filing of Statements https://regulations.justia.com/regulations/fedreg/2015/09/16/2015-23240.html https://regulations.justia.com/regulations/fedreg/2015/09/16/2015-23240.html Wed, 16 Sep 2015 00:00:00 -0700 2015-23240 Notice http://www.gpo.gov/fdsys/pkg/FR-2015-09-16/pdf/2015-23240.pdf Notice - ISE Mercury, LLC; Notice of Filing of Application for Registration as a National Securities Exchange Under Section 6 of the Securities Exchange Act of 1934 https://regulations.justia.com/regulations/fedreg/2015/09/16/2015-23220.html https://regulations.justia.com/regulations/fedreg/2015/09/16/2015-23220.html Wed, 16 Sep 2015 00:00:00 -0700 2015-23220 Notice http://www.gpo.gov/fdsys/pkg/FR-2015-09-16/pdf/2015-23220.pdf Notice - Self-Regulatory Organizations; NASDAQ OMX PHLX LLC; Notice of Filing of and Immediate Effectiveness of Proposed Rule Change Regarding NASDAQ Last Sale Plus https://regulations.justia.com/regulations/fedreg/2015/09/16/2015-23219.html https://regulations.justia.com/regulations/fedreg/2015/09/16/2015-23219.html Wed, 16 Sep 2015 00:00:00 -0700 2015-23219 Notice http://www.gpo.gov/fdsys/pkg/FR-2015-09-16/pdf/2015-23219.pdf Notice - Self-Regulatory Organizations; NASDAQ OMX PHLX LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to the Exchange's Pricing Schedule Under Section VIII With Respect to Execution and Routing of Orders in Securities Priced at $1 or More Per Share https://regulations.justia.com/regulations/fedreg/2015/09/16/2015-23218.html https://regulations.justia.com/regulations/fedreg/2015/09/16/2015-23218.html Wed, 16 Sep 2015 00:00:00 -0700 2015-23218 Notice http://www.gpo.gov/fdsys/pkg/FR-2015-09-16/pdf/2015-23218.pdf Notice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing of Proposed Rule Regarding a Change to the Reference Index Relating to the Market Vectors Short High Yield Municipal Index ETF https://regulations.justia.com/regulations/fedreg/2015/09/16/2015-23217.html https://regulations.justia.com/regulations/fedreg/2015/09/16/2015-23217.html Wed, 16 Sep 2015 00:00:00 -0700 2015-23217 Notice http://www.gpo.gov/fdsys/pkg/FR-2015-09-16/pdf/2015-23217.pdf Notice - Self-Regulatory Organizations; ICE Clear Credit LLC; Notice of Filing of Amendments No. 1 and 2 and Order Granting Accelerated Approval of Proposed Rule Change, as Modified by Amendments No. 1 and 2, To Revise the ICC Risk Management Framework https://regulations.justia.com/regulations/fedreg/2015/09/16/2015-23216.html https://regulations.justia.com/regulations/fedreg/2015/09/16/2015-23216.html Wed, 16 Sep 2015 00:00:00 -0700 2015-23216 Notice http://www.gpo.gov/fdsys/pkg/FR-2015-09-16/pdf/2015-23216.pdf Notice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending the NYSE Arca Options Fee Schedule https://regulations.justia.com/regulations/fedreg/2015/09/16/2015-23214.html https://regulations.justia.com/regulations/fedreg/2015/09/16/2015-23214.html Wed, 16 Sep 2015 00:00:00 -0700 2015-23214 Notice http://www.gpo.gov/fdsys/pkg/FR-2015-09-16/pdf/2015-23214.pdf Notice - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Nasdaq Rules 7014 and 7018, Pertaining to Credits, Rebates, and Fee Caps https://regulations.justia.com/regulations/fedreg/2015/09/16/2015-23213.html https://regulations.justia.com/regulations/fedreg/2015/09/16/2015-23213.html Wed, 16 Sep 2015 00:00:00 -0700 2015-23213 Notice http://www.gpo.gov/fdsys/pkg/FR-2015-09-16/pdf/2015-23213.pdf Notice - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend NASDAQ Rules 7015(b) and (g) to Modify Port Fees https://regulations.justia.com/regulations/fedreg/2015/09/16/2015-23212.html https://regulations.justia.com/regulations/fedreg/2015/09/16/2015-23212.html Wed, 16 Sep 2015 00:00:00 -0700 2015-23212 Notice http://www.gpo.gov/fdsys/pkg/FR-2015-09-16/pdf/2015-23212.pdf Notice - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Designation of a Longer Period for Commission Action on a Proposed Rule Change To Require an Indicator When a TRACE Report Does Not Reflect a Commission or Mark-Up/Mark-Down https://regulations.justia.com/regulations/fedreg/2015/09/16/2015-23211.html https://regulations.justia.com/regulations/fedreg/2015/09/16/2015-23211.html Wed, 16 Sep 2015 00:00:00 -0700 2015-23211 Notice http://www.gpo.gov/fdsys/pkg/FR-2015-09-16/pdf/2015-23211.pdf Notice - Self-Regulatory Organizations; International Securities Exchange, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the Schedule of Fees https://regulations.justia.com/regulations/fedreg/2015/09/16/2015-23210.html https://regulations.justia.com/regulations/fedreg/2015/09/16/2015-23210.html Wed, 16 Sep 2015 00:00:00 -0700 2015-23210 Notice http://www.gpo.gov/fdsys/pkg/FR-2015-09-16/pdf/2015-23210.pdf Notice - In the Matter of NMI Health, Inc., Order of Suspension of Trading https://regulations.justia.com/regulations/fedreg/2015/09/15/2015-23238.html https://regulations.justia.com/regulations/fedreg/2015/09/15/2015-23238.html Tue, 15 Sep 2015 00:00:00 -0700 2015-23238 Notice http://www.gpo.gov/fdsys/pkg/FR-2015-09-15/pdf/2015-23238.pdf Notice - Order of Suspension of Trading https://regulations.justia.com/regulations/fedreg/2015/09/15/2015-23237.html https://regulations.justia.com/regulations/fedreg/2015/09/15/2015-23237.html Tue, 15 Sep 2015 00:00:00 -0700 2015-23237 Notice http://www.gpo.gov/fdsys/pkg/FR-2015-09-15/pdf/2015-23237.pdf Notice - Sunshine Act Meeting https://regulations.justia.com/regulations/fedreg/2015/09/15/2015-23221.html https://regulations.justia.com/regulations/fedreg/2015/09/15/2015-23221.html Tue, 15 Sep 2015 00:00:00 -0700 2015-23221 Notice http://www.gpo.gov/fdsys/pkg/FR-2015-09-15/pdf/2015-23221.pdf Notice - ISE Mercury, LLC; Order Granting Application for a Conditional Exemption Pursuant to Section 36(a) of the Exchange Act From Certain Requirements of Rules 6a-1 and 6a-2 Under the Exchange Act https://regulations.justia.com/regulations/fedreg/2015/09/15/2015-23106.html https://regulations.justia.com/regulations/fedreg/2015/09/15/2015-23106.html Tue, 15 Sep 2015 00:00:00 -0700 2015-23106 Notice http://www.gpo.gov/fdsys/pkg/FR-2015-09-15/pdf/2015-23106.pdf Notice - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Order Approving a Proposed Rule Change To Introduce an Additional Data Element to the IPO Indicator Service https://regulations.justia.com/regulations/fedreg/2015/09/15/2015-23096.html https://regulations.justia.com/regulations/fedreg/2015/09/15/2015-23096.html Tue, 15 Sep 2015 00:00:00 -0700 2015-23096 Notice http://www.gpo.gov/fdsys/pkg/FR-2015-09-15/pdf/2015-23096.pdf Notice - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Establish an Administration and Delivery Fee for the Municipal Advisor Representative Examination (“Series 50 Examination”) https://regulations.justia.com/regulations/fedreg/2015/09/15/2015-23095.html https://regulations.justia.com/regulations/fedreg/2015/09/15/2015-23095.html Tue, 15 Sep 2015 00:00:00 -0700 2015-23095 Notice http://www.gpo.gov/fdsys/pkg/FR-2015-09-15/pdf/2015-23095.pdf Notice - Self-Regulatory Organizations; NASDAQ OMX PHLX LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Modify the Phlx Pricing Schedule https://regulations.justia.com/regulations/fedreg/2015/09/15/2015-23094.html https://regulations.justia.com/regulations/fedreg/2015/09/15/2015-23094.html Tue, 15 Sep 2015 00:00:00 -0700 2015-23094 Notice http://www.gpo.gov/fdsys/pkg/FR-2015-09-15/pdf/2015-23094.pdf Notice - TIAA-CREF Funds, et al.; Notice of Application https://regulations.justia.com/regulations/fedreg/2015/09/15/2015-23093.html https://regulations.justia.com/regulations/fedreg/2015/09/15/2015-23093.html Tue, 15 Sep 2015 00:00:00 -0700 2015-23093 Notice http://www.gpo.gov/fdsys/pkg/FR-2015-09-15/pdf/2015-23093.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/2015/09/14/2015-22977.html https://regulations.justia.com/regulations/fedreg/2015/09/14/2015-22977.html Mon, 14 Sep 2015 00:00:00 -0700 2015-22977 Notice http://www.gpo.gov/fdsys/pkg/FR-2015-09-14/pdf/2015-22977.pdf Notice - Proposed Collection; Comment Request https://regulations.justia.com/regulations/fedreg/2015/09/14/2015-22976.html https://regulations.justia.com/regulations/fedreg/2015/09/14/2015-22976.html Mon, 14 Sep 2015 00:00:00 -0700 2015-22976 Notice http://www.gpo.gov/fdsys/pkg/FR-2015-09-14/pdf/2015-22976.pdf Proposed Rule - Access to Data Obtained by Security-Based Swap Data Repositories and Exemption From Indemnification Requirement https://regulations.justia.com/regulations/fedreg/2015/09/14/2015-22844.html https://regulations.justia.com/regulations/fedreg/2015/09/14/2015-22844.html Mon, 14 Sep 2015 00:00:00 -0700 2015-22844 Proposed Rule http://www.gpo.gov/fdsys/pkg/FR-2015-09-14/pdf/2015-22844.pdf