Federal Register Recent Federal Regulation Documents - Justia Regulation Tracker

Federal Register Recent Federal Regulation Documents - Justia Regulation Tracker - Justia Regulations Tracker https://regulations.justia.com/regulations/fedreg/agencies/securities-and-exchange-commission/2015/10?limit=200&registers=between&min-day=1&max-day=31&mode=atom 2024-05-01T16:13:32-07:00 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/2015/10/30/2015-27657.html Notice - Self-Regulatory Organizations; NASDAQ OMX PHLX LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Options Testing Facility 2015-10-30T00:00:00-07:00 2015-10-30T00:00:00-07:00 2015-27657 Notice http://www.gpo.gov/fdsys/pkg/FR-2015-10-30/pdf/2015-27657.pdf https://regulations.justia.com/regulations/fedreg/2015/10/30/2015-27656.html Notice - Self-Regulatory Organizations; NYSE Arca, Inc.; Order Approving Proposed Rule Change, and Notice of Filing and Order Granting Accelerated Approval of Amendment Nos. 1 and 2 Thereto, Adopting New Equity Trading Rules Relating to Orders and Modifiers and the Retail Liquidity Program To Reflect the Implementation of Pillar, the Exchange's New Trading Technology Platform 2015-10-30T00:00:00-07:00 2015-10-30T00:00:00-07:00 2015-27656 Notice http://www.gpo.gov/fdsys/pkg/FR-2015-10-30/pdf/2015-27656.pdf https://regulations.justia.com/regulations/fedreg/2015/10/30/2015-27655.html Notice - Self-Regulatory Organizations; NYSE MKT LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Establishing Procedures and Credits in Connection With the Re-Location of Equipment in the Exchange's Data Center 2015-10-30T00:00:00-07:00 2015-10-30T00:00:00-07:00 2015-27655 Notice http://www.gpo.gov/fdsys/pkg/FR-2015-10-30/pdf/2015-27655.pdf https://regulations.justia.com/regulations/fedreg/2015/10/30/2015-27654.html Notice - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Establishing Procedures and Credits in Connection With the Re-Location of Equipment in the Exchange's Data Center 2015-10-30T00:00:00-07:00 2015-10-30T00:00:00-07:00 2015-27654 Notice http://www.gpo.gov/fdsys/pkg/FR-2015-10-30/pdf/2015-27654.pdf https://regulations.justia.com/regulations/fedreg/2015/10/30/2015-27653.html Notice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Establishing Procedures and Credits in Connection With the Re-location of Equipment in the Exchange's Data Center 2015-10-30T00:00:00-07:00 2015-10-30T00:00:00-07:00 2015-27653 Notice http://www.gpo.gov/fdsys/pkg/FR-2015-10-30/pdf/2015-27653.pdf https://regulations.justia.com/regulations/fedreg/2015/10/30/2015-27650.html Notice - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Options Testing Facility 2015-10-30T00:00:00-07:00 2015-10-30T00:00:00-07:00 2015-27650 Notice http://www.gpo.gov/fdsys/pkg/FR-2015-10-30/pdf/2015-27650.pdf https://regulations.justia.com/regulations/fedreg/2015/10/30/2015-27649.html Notice - Self-Regulatory Organizations; NASDAQ OMX BX, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Options Testing Facility 2015-10-30T00:00:00-07:00 2015-10-30T00:00:00-07:00 2015-27649 Notice http://www.gpo.gov/fdsys/pkg/FR-2015-10-30/pdf/2015-27649.pdf https://regulations.justia.com/regulations/fedreg/2015/10/29/2015-27695.html Notice - Sunshine Act Meeting 2015-10-29T00:00:00-07:00 2015-10-29T00:00:00-07:00 2015-27695 Notice http://www.gpo.gov/fdsys/pkg/FR-2015-10-29/pdf/2015-27695.pdf https://regulations.justia.com/regulations/fedreg/2015/10/29/2015-27521.html Notice - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Withdrawal of Proposed Rule Change, as Modified by Amendment No. 1, Relating to Rule 6.53C and Complex Orders on the Hybrid System 2015-10-29T00:00:00-07:00 2015-10-29T00:00:00-07:00 2015-27521 Notice http://www.gpo.gov/fdsys/pkg/FR-2015-10-29/pdf/2015-27521.pdf https://regulations.justia.com/regulations/fedreg/2015/10/29/2015-27520.html Notice - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Withdrawal of a Proposed Rule Change Relating to Rules 6.74A and 6.74B 2015-10-29T00:00:00-07:00 2015-10-29T00:00:00-07:00 2015-27520 Notice http://www.gpo.gov/fdsys/pkg/FR-2015-10-29/pdf/2015-27520.pdf https://regulations.justia.com/regulations/fedreg/2015/10/29/2015-27519.html Notice - Self-Regulatory Organizations; Chicago Stock Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the Fee Schedule To Adopt CHX SNAP Execution Fees 2015-10-29T00:00:00-07:00 2015-10-29T00:00:00-07:00 2015-27519 Notice http://www.gpo.gov/fdsys/pkg/FR-2015-10-29/pdf/2015-27519.pdf https://regulations.justia.com/regulations/fedreg/2015/10/29/2015-27518.html Notice - Self-Regulatory Organizations; NYSE MKT LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Extending the Pilot Period Applicable to Rule 953.1NY(c), Which Addresses How the Exchange Treats Obvious and Catastrophic Errors During Periods of Extreme Market Volatility to Coincide with the Pilot Period for the Plan To Address Extraordinary Market Volatility Pursuant to Rule 608 of Regulation NMS 2015-10-29T00:00:00-07:00 2015-10-29T00:00:00-07:00 2015-27518 Notice http://www.gpo.gov/fdsys/pkg/FR-2015-10-29/pdf/2015-27518.pdf https://regulations.justia.com/regulations/fedreg/2015/10/29/2015-27517.html Notice - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating To Qualification and Registration of Trading Permit Holders and Associated Persons 2015-10-29T00:00:00-07:00 2015-10-29T00:00:00-07:00 2015-27517 Notice http://www.gpo.gov/fdsys/pkg/FR-2015-10-29/pdf/2015-27517.pdf https://regulations.justia.com/regulations/fedreg/2015/10/29/2015-27516.html Notice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Extending the Pilot Period Applicable to Rule 6.65A(c), Which Addresses How the Exchange Treats Obvious and Catastrophic Errors During Periods of Extreme Market Volatility To Coincide With the Pilot Period for the Plan To Address Extraordinary Market Volatility Pursuant to Rule 608 of Regulation NMS 2015-10-29T00:00:00-07:00 2015-10-29T00:00:00-07:00 2015-27516 Notice http://www.gpo.gov/fdsys/pkg/FR-2015-10-29/pdf/2015-27516.pdf https://regulations.justia.com/regulations/fedreg/2015/10/29/2015-27515.html Notice - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing of Proposed Rule Change Relating to the Listing and Trading of the Shares of the Active Alts Contrarian ETF of ETFis Series Trust I 2015-10-29T00:00:00-07:00 2015-10-29T00:00:00-07:00 2015-27515 Notice http://www.gpo.gov/fdsys/pkg/FR-2015-10-29/pdf/2015-27515.pdf https://regulations.justia.com/regulations/fedreg/2015/10/28/2015-27396.html Notice - Joint Industry Plan; Order Approving 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, Incorporated, 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. 2015-10-28T00:00:00-07:00 2015-10-28T00:00:00-07:00 2015-27396 Notice http://www.gpo.gov/fdsys/pkg/FR-2015-10-28/pdf/2015-27396.pdf https://regulations.justia.com/regulations/fedreg/2015/10/28/2015-27385.html Proposed Rule - List of Rules To Be Reviewed Pursuant to the Regulatory Flexibility Act 2015-10-28T00:00:00-07:00 2015-10-28T00:00:00-07:00

2015-27385 Proposed Rule http://www.gpo.gov/fdsys/pkg/FR-2015-10-28/pdf/2015-27385.pdf https://regulations.justia.com/regulations/fedreg/2015/10/28/2015-27372.html Notice - Good Hill Partners LP and Good Hill ETF Trust; Notice of Application 2015-10-28T00:00:00-07:00 2015-10-28T00:00:00-07:00 2015-27372 Notice http://www.gpo.gov/fdsys/pkg/FR-2015-10-28/pdf/2015-27372.pdf https://regulations.justia.com/regulations/fedreg/2015/10/28/2015-27371.html Notice - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule To Establish Fees for Funding Portals 2015-10-28T00:00:00-07:00 2015-10-28T00:00:00-07:00 2015-27371 Notice http://www.gpo.gov/fdsys/pkg/FR-2015-10-28/pdf/2015-27371.pdf https://regulations.justia.com/regulations/fedreg/2015/10/28/2015-27370.html Notice - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing of a Proposed Rule Change To Adopt the Funding Portal Rules and Related Forms and FINRA Rule 4518 2015-10-28T00:00:00-07:00 2015-10-28T00:00:00-07:00 2015-27370 Notice http://www.gpo.gov/fdsys/pkg/FR-2015-10-28/pdf/2015-27370.pdf https://regulations.justia.com/regulations/fedreg/2015/10/28/2015-27356.html Notice - Self-Regulatory Organizations; Miami International Securities Exchange LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Extend the Pilot Period Applicable to Rule 521 and Rule 530 Relating To Limit Up/Limit Down 2015-10-28T00:00:00-07:00 2015-10-28T00:00:00-07:00 2015-27356 Notice http://www.gpo.gov/fdsys/pkg/FR-2015-10-28/pdf/2015-27356.pdf https://regulations.justia.com/regulations/fedreg/2015/10/28/2015-27355.html Notice - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to Revisions to the Registered Options Principal Examination 2015-10-28T00:00:00-07:00 2015-10-28T00:00:00-07:00 2015-27355 Notice http://www.gpo.gov/fdsys/pkg/FR-2015-10-28/pdf/2015-27355.pdf https://regulations.justia.com/regulations/fedreg/2015/10/28/2015-27354.html Notice - Self-Regulatory Organizations; EDGX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Adopt Rule 21.17, Exchange Sharing of User Designated Risk Settings 2015-10-28T00:00:00-07:00 2015-10-28T00:00:00-07:00 2015-27354 Notice http://www.gpo.gov/fdsys/pkg/FR-2015-10-28/pdf/2015-27354.pdf https://regulations.justia.com/regulations/fedreg/2015/10/28/2015-27353.html Notice - Self-Regulatory Organizations; BOX Options Exchange LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Interpretive Material 1 to Rule 7170 To Extend the Pilot Program That Suspends Certain Obvious Error Provisions During Limit Up-Limit Down States in Securities That Underlie Options Traded on the Exchange 2015-10-28T00:00:00-07:00 2015-10-28T00:00:00-07:00 2015-27353 Notice http://www.gpo.gov/fdsys/pkg/FR-2015-10-28/pdf/2015-27353.pdf https://regulations.justia.com/regulations/fedreg/2015/10/28/2015-27352.html Notice - Self-Regulatory Organizations; International Securities Exchange, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Extend the Limit Up-Limit Down Obvious Error Pilot 2015-10-28T00:00:00-07:00 2015-10-28T00:00:00-07:00 2015-27352 Notice http://www.gpo.gov/fdsys/pkg/FR-2015-10-28/pdf/2015-27352.pdf https://regulations.justia.com/regulations/fedreg/2015/10/28/2015-27351.html Notice - Self-Regulatory Organizations; BATS Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Rule 20.6, Nullification and Adjustment of Options Transactions Including Obvious Errors 2015-10-28T00:00:00-07:00 2015-10-28T00:00:00-07:00 2015-27351 Notice http://www.gpo.gov/fdsys/pkg/FR-2015-10-28/pdf/2015-27351.pdf https://regulations.justia.com/regulations/fedreg/2015/10/28/2015-27350.html Notice - Self-Regulatory Organizations; EDGX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Rule 20.6, Nullification and Adjustment of Options Transactions Including Obvious Errors 2015-10-28T00:00:00-07:00 2015-10-28T00:00:00-07:00 2015-27350 Notice http://www.gpo.gov/fdsys/pkg/FR-2015-10-28/pdf/2015-27350.pdf https://regulations.justia.com/regulations/fedreg/2015/10/28/2015-27349.html Notice - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing of Proposed Rule Change Establishing Rules To Comply With the Requirements of the Plan To Implement a Tick Size Pilot Plan Submitted to the Commission Pursuant to Rule 608 of Regulation NMS Under the Act 2015-10-28T00:00:00-07:00 2015-10-28T00:00:00-07:00 2015-27349 Notice http://www.gpo.gov/fdsys/pkg/FR-2015-10-28/pdf/2015-27349.pdf https://regulations.justia.com/regulations/fedreg/2015/10/28/2015-27348.html Notice - Self-Regulatory Organizations; ISE Gemini, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Extend the Limit Up-Limit Down Obvious Error Pilot 2015-10-28T00:00:00-07:00 2015-10-28T00:00:00-07:00 2015-27348 Notice http://www.gpo.gov/fdsys/pkg/FR-2015-10-28/pdf/2015-27348.pdf https://regulations.justia.com/regulations/fedreg/2015/10/28/2015-27347.html Notice - Self-Regulatory Organizations; NASDAQ OMX BX, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Regarding the Obvious Error Pilot Program 2015-10-28T00:00:00-07:00 2015-10-28T00:00:00-07:00 2015-27347 Notice http://www.gpo.gov/fdsys/pkg/FR-2015-10-28/pdf/2015-27347.pdf https://regulations.justia.com/regulations/fedreg/2015/10/28/2015-27346.html Notice - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Regarding the Obvious Error Pilot Program 2015-10-28T00:00:00-07:00 2015-10-28T00:00:00-07:00 2015-27346 Notice http://www.gpo.gov/fdsys/pkg/FR-2015-10-28/pdf/2015-27346.pdf https://regulations.justia.com/regulations/fedreg/2015/10/28/2015-27345.html Notice - Self-Regulatory Organizations; NASDAQ OMX PHLX LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Regarding the Obvious Error Pilot Program 2015-10-28T00:00:00-07:00 2015-10-28T00:00:00-07:00 2015-27345 Notice http://www.gpo.gov/fdsys/pkg/FR-2015-10-28/pdf/2015-27345.pdf https://regulations.justia.com/regulations/fedreg/2015/10/28/2015-27344.html Notice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Regarding the AdvisorShares WCM/BNY Mellon Focused Growth ADR ETF's Holdings 2015-10-28T00:00:00-07:00 2015-10-28T00:00:00-07:00 2015-27344 Notice http://www.gpo.gov/fdsys/pkg/FR-2015-10-28/pdf/2015-27344.pdf https://regulations.justia.com/regulations/fedreg/2015/10/28/2015-27343.html Notice - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to Exchange Rule 6.25 2015-10-28T00:00:00-07:00 2015-10-28T00:00:00-07:00 2015-27343 Notice http://www.gpo.gov/fdsys/pkg/FR-2015-10-28/pdf/2015-27343.pdf https://regulations.justia.com/regulations/fedreg/2015/10/28/2015-27342.html Notice - Self-Regulatory Organizations; C2 Options Exchange, Incorporated; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to Exchange Rule 6.15 2015-10-28T00:00:00-07:00 2015-10-28T00:00:00-07:00 2015-27342 Notice http://www.gpo.gov/fdsys/pkg/FR-2015-10-28/pdf/2015-27342.pdf https://regulations.justia.com/regulations/fedreg/2015/10/27/2015-27394.html Notice - Sunshine Act Meeting 2015-10-27T00:00:00-07:00 2015-10-27T00:00:00-07:00 2015-27394 Notice http://www.gpo.gov/fdsys/pkg/FR-2015-10-27/pdf/2015-27394.pdf https://regulations.justia.com/regulations/fedreg/2015/10/27/2015-27225.html Notice - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to the Reporting of OTC Transactions in Exchange-Traded Managed Fund Shares (NextShares) to FINRA 2015-10-27T00:00:00-07:00 2015-10-27T00:00:00-07:00 2015-27225 Notice http://www.gpo.gov/fdsys/pkg/FR-2015-10-27/pdf/2015-27225.pdf https://regulations.justia.com/regulations/fedreg/2015/10/27/2015-27224.html Notice - Self-Regulatory Organizations; ISE Gemini, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the Schedule of Fees 2015-10-27T00:00:00-07:00 2015-10-27T00:00:00-07:00 2015-27224 Notice http://www.gpo.gov/fdsys/pkg/FR-2015-10-27/pdf/2015-27224.pdf https://regulations.justia.com/regulations/fedreg/2015/10/27/2015-27223.html Notice - Self-Regulatory Organizations; NYSE MKT LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Modifying the NYSE Amex Options Fee Schedule 2015-10-27T00:00:00-07:00 2015-10-27T00:00:00-07:00 2015-27223 Notice http://www.gpo.gov/fdsys/pkg/FR-2015-10-27/pdf/2015-27223.pdf https://regulations.justia.com/regulations/fedreg/2015/10/27/2015-27222.html Notice - Self-Regulatory Organizations; BATS Exchange, Inc.; Notice of Designation of a Longer Period for Commission Action on a Proposed Rule Change To Amend Rules 1.5(r), 11.1(a), 11.23, 14.6, 14.11, and 14.12 and Adopt Rule 11.1(a)(1) 2015-10-27T00:00:00-07:00 2015-10-27T00:00:00-07:00 2015-27222 Notice http://www.gpo.gov/fdsys/pkg/FR-2015-10-27/pdf/2015-27222.pdf https://regulations.justia.com/regulations/fedreg/2015/10/27/2015-27221.html Notice - Self-Regulatory Organizations; BATS Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Rule 11.25, Retail Order Attribution Program 2015-10-27T00:00:00-07:00 2015-10-27T00:00:00-07:00 2015-27221 Notice http://www.gpo.gov/fdsys/pkg/FR-2015-10-27/pdf/2015-27221.pdf https://regulations.justia.com/regulations/fedreg/2015/10/27/2015-27220.html Notice - Self-Regulatory Organizations; BATS Y-Exchange, Inc.; Notice of Designation of a Longer Period for Commission Action on a Proposed Rule Change To Amend Rules 1.5(r) and 11.1 and Adopt New Rule 11.1(a)(1) 2015-10-27T00:00:00-07:00 2015-10-27T00:00:00-07:00 2015-27220 Notice http://www.gpo.gov/fdsys/pkg/FR-2015-10-27/pdf/2015-27220.pdf https://regulations.justia.com/regulations/fedreg/2015/10/27/2015-27219.html Notice - Self-Regulatory Organizations; BATS Y-Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Rule 11.24, Retail Price Improvement Program 2015-10-27T00:00:00-07:00 2015-10-27T00:00:00-07:00 2015-27219 Notice http://www.gpo.gov/fdsys/pkg/FR-2015-10-27/pdf/2015-27219.pdf https://regulations.justia.com/regulations/fedreg/2015/10/27/2015-27218.html Notice - Self-Regulatory Organizations; NYSE MKT LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Modifying the NYSE Amex Options Fee Schedule Related to the Amex Customer Engagement Program 2015-10-27T00:00:00-07:00 2015-10-27T00:00:00-07:00 2015-27218 Notice http://www.gpo.gov/fdsys/pkg/FR-2015-10-27/pdf/2015-27218.pdf https://regulations.justia.com/regulations/fedreg/2015/10/27/2015-27217.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 2015-10-27T00:00:00-07:00 2015-10-27T00:00:00-07:00 2015-27217 Notice http://www.gpo.gov/fdsys/pkg/FR-2015-10-27/pdf/2015-27217.pdf https://regulations.justia.com/regulations/fedreg/2015/10/27/2015-27216.html Notice - Self-Regulatory Organizations; EDGA Exchange, Inc.; Notice of Designation of a Longer Period for Commission Action on a Proposed Rule Change To Amend Rules 1.5(s), 11.1(a)(1), 11.6 and 11.8 2015-10-27T00:00:00-07:00 2015-10-27T00:00:00-07:00 2015-27216 Notice http://www.gpo.gov/fdsys/pkg/FR-2015-10-27/pdf/2015-27216.pdf https://regulations.justia.com/regulations/fedreg/2015/10/27/2015-27215.html Notice - Self-Regulatory Organizations; EDGX Exchange, Inc.; Notice of Designation of a Longer Period for Commission Action on a Proposed Rule Change To Amend Rules 1.5(s), 11.1(a)(1), 11.6 and 11.8 2015-10-27T00:00:00-07:00 2015-10-27T00:00:00-07:00 2015-27215 Notice http://www.gpo.gov/fdsys/pkg/FR-2015-10-27/pdf/2015-27215.pdf https://regulations.justia.com/regulations/fedreg/2015/10/27/2015-27214.html Notice - Self-Regulatory Organizations; EDGX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Rule 11.11, Routing to Away Trading Centers 2015-10-27T00:00:00-07:00 2015-10-27T00:00:00-07:00 2015-27214 Notice http://www.gpo.gov/fdsys/pkg/FR-2015-10-27/pdf/2015-27214.pdf https://regulations.justia.com/regulations/fedreg/2015/10/26/2015-27357.html Notice - Sunshine Act Meeting 2015-10-26T00:00:00-07:00 2015-10-26T00:00:00-07:00 2015-27357 Notice http://www.gpo.gov/fdsys/pkg/FR-2015-10-26/pdf/2015-27357.pdf https://regulations.justia.com/regulations/fedreg/2015/10/26/2015-27086.html Notice - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to Disaster Recovery 2015-10-26T00:00:00-07:00 2015-10-26T00:00:00-07:00 2015-27086 Notice http://www.gpo.gov/fdsys/pkg/FR-2015-10-26/pdf/2015-27086.pdf https://regulations.justia.com/regulations/fedreg/2015/10/26/2015-27073.html Notice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing of Amendment No. 1 and Order Granting Accelerated Approval of a Proposed Rule Change, as Modified by Amendment No. 1, To List and Trade Shares of the First Trust Heitman Global Prime Real Estate ETF Under NYSE Arca Equities Rule 8.600 2015-10-26T00:00:00-07:00 2015-10-26T00:00:00-07:00 2015-27073 Notice http://www.gpo.gov/fdsys/pkg/FR-2015-10-26/pdf/2015-27073.pdf https://regulations.justia.com/regulations/fedreg/2015/10/26/2015-27072.html Notice - Self-Regulatory Organizations: Miami International Securities Exchange LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Exchange Rule 404 2015-10-26T00:00:00-07:00 2015-10-26T00:00:00-07:00 2015-27072 Notice http://www.gpo.gov/fdsys/pkg/FR-2015-10-26/pdf/2015-27072.pdf https://regulations.justia.com/regulations/fedreg/2015/10/26/2015-27071.html Notice - Self-Regulatory Organizations; EDGX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Rule 19.3 To Allow the Listing of Certain Options Based on International Indexes 2015-10-26T00:00:00-07:00 2015-10-26T00:00:00-07:00 2015-27071 Notice http://www.gpo.gov/fdsys/pkg/FR-2015-10-26/pdf/2015-27071.pdf https://regulations.justia.com/regulations/fedreg/2015/10/26/2015-27070.html Notice - Self-Regulatory Organizations; NASDAQ OMX BX, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Implement An Order Exposure Alert To Be Disseminated by the Exchange 2015-10-26T00:00:00-07:00 2015-10-26T00:00:00-07:00 2015-27070 Notice http://www.gpo.gov/fdsys/pkg/FR-2015-10-26/pdf/2015-27070.pdf https://regulations.justia.com/regulations/fedreg/2015/10/26/2015-27069.html Notice - Self-Regulatory Organizations; NYSE Arca, Inc.; Order Approving Proposed Rule Change, and Notice of Filing and Order Granting Accelerated Approval of Amendment No. 1 Thereto, Adopting New Equity Trading Rules Relating to Trading Halts, Short Sales, Limit Up-Limit Down, and Odd Lots and Mixed Lots To Reflect the Implementation of Pillar, the Exchange's New Trading Technology Platform 2015-10-26T00:00:00-07:00 2015-10-26T00:00:00-07:00 2015-27069 Notice http://www.gpo.gov/fdsys/pkg/FR-2015-10-26/pdf/2015-27069.pdf https://regulations.justia.com/regulations/fedreg/2015/10/26/2015-27068.html Notice - Self-Regulatory Organizations; BATS Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Rule 11.13, Order Execution and Routing 2015-10-26T00:00:00-07:00 2015-10-26T00:00:00-07:00 2015-27068 Notice http://www.gpo.gov/fdsys/pkg/FR-2015-10-26/pdf/2015-27068.pdf https://regulations.justia.com/regulations/fedreg/2015/10/26/2015-27067.html Notice - Self-Regulatory Organizations; ICE Clear Europe Limited; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to Clearing Services for European Natural Gas Spot Contracts 2015-10-26T00:00:00-07:00 2015-10-26T00:00:00-07:00 2015-27067 Notice http://www.gpo.gov/fdsys/pkg/FR-2015-10-26/pdf/2015-27067.pdf https://regulations.justia.com/regulations/fedreg/2015/10/23/2015-26917.html Notice - Investment Company Act Release No. 31870; File No. 812-14536 Advisors Asset Management, Inc. and AAM ETF Trust; Notice of Application 2015-10-23T00:00:00-07:00 2015-10-23T00:00:00-07:00 2015-26917 Notice http://www.gpo.gov/fdsys/pkg/FR-2015-10-23/pdf/2015-26917.pdf https://regulations.justia.com/regulations/fedreg/2015/10/23/2015-26916.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 2015-10-23T00:00:00-07:00 2015-10-23T00:00:00-07:00 2015-26916 Notice http://www.gpo.gov/fdsys/pkg/FR-2015-10-23/pdf/2015-26916.pdf https://regulations.justia.com/regulations/fedreg/2015/10/23/2015-26915.html Notice - Self-Regulatory Organizations; NASDAQ OMX PHLX LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Mini Options 2015-10-23T00:00:00-07:00 2015-10-23T00:00:00-07:00 2015-26915 Notice http://www.gpo.gov/fdsys/pkg/FR-2015-10-23/pdf/2015-26915.pdf https://regulations.justia.com/regulations/fedreg/2015/10/23/2015-26914.html Notice - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to the Series 28 Examination Program 2015-10-23T00:00:00-07:00 2015-10-23T00:00:00-07:00 2015-26914 Notice http://www.gpo.gov/fdsys/pkg/FR-2015-10-23/pdf/2015-26914.pdf https://regulations.justia.com/regulations/fedreg/2015/10/23/2015-26913.html Notice - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to the Series 27 Examination Program 2015-10-23T00:00:00-07:00 2015-10-23T00:00:00-07:00 2015-26913 Notice http://www.gpo.gov/fdsys/pkg/FR-2015-10-23/pdf/2015-26913.pdf https://regulations.justia.com/regulations/fedreg/2015/10/23/2015-26912.html Notice - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to the New Securities Trader Qualification Examination (Series 57) 2015-10-23T00:00:00-07:00 2015-10-23T00:00:00-07:00 2015-26912 Notice http://www.gpo.gov/fdsys/pkg/FR-2015-10-23/pdf/2015-26912.pdf https://regulations.justia.com/regulations/fedreg/2015/10/23/2015-26911.html Notice - Self-Regulatory Organizations; NASDAQ OMX PHLX LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to the Options Floor Broker Management System 2015-10-23T00:00:00-07:00 2015-10-23T00:00:00-07:00 2015-26911 Notice http://www.gpo.gov/fdsys/pkg/FR-2015-10-23/pdf/2015-26911.pdf https://regulations.justia.com/regulations/fedreg/2015/10/23/2015-26910.html Notice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Withdrawal of a Proposed Rule Change, as Modified by Amendment No. 1 Thereto, To Amend NYSE Arca Equities Rule 8.600 To Adopt Generic Listing Standards for Managed Fund Shares 2015-10-23T00:00:00-07:00 2015-10-23T00:00:00-07:00 2015-26910 Notice http://www.gpo.gov/fdsys/pkg/FR-2015-10-23/pdf/2015-26910.pdf https://regulations.justia.com/regulations/fedreg/2015/10/22/2015-27066.html Notice - Sunshine Act Meeting 2015-10-22T00:00:00-07:00 2015-10-22T00:00:00-07:00 2015-27066 Notice http://www.gpo.gov/fdsys/pkg/FR-2015-10-22/pdf/2015-27066.pdf https://regulations.justia.com/regulations/fedreg/2015/10/22/2015-26972.html Notice - Sunshine Act Meeting 2015-10-22T00:00:00-07:00 2015-10-22T00:00:00-07:00 2015-26972 Notice http://www.gpo.gov/fdsys/pkg/FR-2015-10-22/pdf/2015-26972.pdf https://regulations.justia.com/regulations/fedreg/2015/10/22/2015-26867.html Notice - Self-Regulatory Organizations; the Options Clearing Corporation; Notice of Filing of Advance Notice of and No Objection to the Options Clearing Corporation's Proposal To Enter a New Credit Facility Agreement 2015-10-22T00:00:00-07:00 2015-10-22T00:00:00-07:00 2015-26867 Notice http://www.gpo.gov/fdsys/pkg/FR-2015-10-22/pdf/2015-26867.pdf https://regulations.justia.com/regulations/fedreg/2015/10/22/2015-26820.html Notice - Order Extending Temporary Conditional Exemption for Nationally Recognized Statistical Rating Organizations From Requirements of Rule 17g-5(A)(3) Under the Securities Exchange Act of 1934 and Request for Comment 2015-10-22T00:00:00-07:00 2015-10-22T00:00:00-07:00 2015-26820 Notice http://www.gpo.gov/fdsys/pkg/FR-2015-10-22/pdf/2015-26820.pdf https://regulations.justia.com/regulations/fedreg/2015/10/22/2015-26811.html Notice - Self-Regulatory Organizations; International Securities Exchange, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the Schedule of Fees 2015-10-22T00:00:00-07:00 2015-10-22T00:00:00-07:00 2015-26811 Notice http://www.gpo.gov/fdsys/pkg/FR-2015-10-22/pdf/2015-26811.pdf https://regulations.justia.com/regulations/fedreg/2015/10/22/2015-26810.html Notice - Self-Regulatory Organizations; ISE Gemini, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the Schedule of Fees 2015-10-22T00:00:00-07:00 2015-10-22T00:00:00-07:00 2015-26810 Notice http://www.gpo.gov/fdsys/pkg/FR-2015-10-22/pdf/2015-26810.pdf https://regulations.justia.com/regulations/fedreg/2015/10/22/2015-26809.html Notice - Self-Regulatory Organizations; International Securities Exchange, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the Schedule of Fees 2015-10-22T00:00:00-07:00 2015-10-22T00:00:00-07:00 2015-26809 Notice http://www.gpo.gov/fdsys/pkg/FR-2015-10-22/pdf/2015-26809.pdf https://regulations.justia.com/regulations/fedreg/2015/10/22/2015-26808.html Notice - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Amendment No. 1 and Order Granting Accelerated Approval to a Proposed Rule Change, as Modified by Amendment No. 1, To Require an Indicator When a TRACE Report Does Not Reflect a Commission or Mark-up/Mark-down 2015-10-22T00:00:00-07:00 2015-10-22T00:00:00-07:00 2015-26808 Notice http://www.gpo.gov/fdsys/pkg/FR-2015-10-22/pdf/2015-26808.pdf https://regulations.justia.com/regulations/fedreg/2015/10/22/2015-26807.html Notice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Designation of a Longer Period for Commission Action on Proposed Rule Change Regarding a Change to the Reference Index of the Market Vectors Short High Yield Municipal Index ETF 2015-10-22T00:00:00-07:00 2015-10-22T00:00:00-07:00 2015-26807 Notice http://www.gpo.gov/fdsys/pkg/FR-2015-10-22/pdf/2015-26807.pdf https://regulations.justia.com/regulations/fedreg/2015/10/22/2015-26806.html Notice - Self-Regulatory Organizations; International Securities Exchange, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the Schedule of Fees 2015-10-22T00:00:00-07:00 2015-10-22T00:00:00-07:00 2015-26806 Notice http://www.gpo.gov/fdsys/pkg/FR-2015-10-22/pdf/2015-26806.pdf https://regulations.justia.com/regulations/fedreg/2015/10/22/2015-26805.html Notice - Self-Regulatory Organizations; ISE Gemini, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the Schedule of Fees 2015-10-22T00:00:00-07:00 2015-10-22T00:00:00-07:00 2015-26805 Notice http://www.gpo.gov/fdsys/pkg/FR-2015-10-22/pdf/2015-26805.pdf https://regulations.justia.com/regulations/fedreg/2015/10/21/2015-26680.html Notice - Self-Regulatory Organizations; EDGA Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Adopt Rule 2.4, Mandatory Participation in Testing of Backup Systems 2015-10-21T00:00:00-07:00 2015-10-21T00:00:00-07:00 2015-26680 Notice http://www.gpo.gov/fdsys/pkg/FR-2015-10-21/pdf/2015-26680.pdf https://regulations.justia.com/regulations/fedreg/2015/10/21/2015-26679.html Notice - Self-Regulatory Organizations; EDGX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Adopt Rule 2.4, Mandatory Participation in Testing of Backup Systems 2015-10-21T00:00:00-07:00 2015-10-21T00:00:00-07:00 2015-26679 Notice http://www.gpo.gov/fdsys/pkg/FR-2015-10-21/pdf/2015-26679.pdf https://regulations.justia.com/regulations/fedreg/2015/10/21/2015-26678.html Notice - Self-Regulatory Organizations; BATS Y-Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Adopt Rule 2.4, Mandatory Participation in Testing of Backup Systems 2015-10-21T00:00:00-07:00 2015-10-21T00:00:00-07:00 2015-26678 Notice http://www.gpo.gov/fdsys/pkg/FR-2015-10-21/pdf/2015-26678.pdf https://regulations.justia.com/regulations/fedreg/2015/10/21/2015-26677.html Notice - Self-Regulatory Organizations; BATS Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Adopt Rule 2.4, Mandatory Participation in Testing of Backup Systems 2015-10-21T00:00:00-07:00 2015-10-21T00:00:00-07:00 2015-26677 Notice http://www.gpo.gov/fdsys/pkg/FR-2015-10-21/pdf/2015-26677.pdf https://regulations.justia.com/regulations/fedreg/2015/10/21/2015-26676.html Notice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Representations Regarding the Names and Principal Investments of Certain WBI SMID Funds Currently Listed and Traded on the Exchange Under NYSE Arca Equities Rule 8.600 2015-10-21T00:00:00-07:00 2015-10-21T00:00:00-07:00 2015-26676 Notice http://www.gpo.gov/fdsys/pkg/FR-2015-10-21/pdf/2015-26676.pdf https://regulations.justia.com/regulations/fedreg/2015/10/20/2015-26722.html Notice - Accentia Biopharmaceuticals, Inc. and Biostem U.S. Corp., Order of Suspension of Trading 2015-10-20T00:00:00-07:00 2015-10-20T00:00:00-07:00 2015-26722 Notice http://www.gpo.gov/fdsys/pkg/FR-2015-10-20/pdf/2015-26722.pdf https://regulations.justia.com/regulations/fedreg/2015/10/20/2015-26718.html Notice - Life Care Medical Devices Ltd., and New Leaf Brands, Inc.; Order of Suspension of Trading 2015-10-20T00:00:00-07:00 2015-10-20T00:00:00-07:00 2015-26718 Notice http://www.gpo.gov/fdsys/pkg/FR-2015-10-20/pdf/2015-26718.pdf https://regulations.justia.com/regulations/fedreg/2015/10/20/2015-26717.html Notice - Sunshine Act Meeting 2015-10-20T00:00:00-07:00 2015-10-20T00:00:00-07:00 2015-26717 Notice http://www.gpo.gov/fdsys/pkg/FR-2015-10-20/pdf/2015-26717.pdf https://regulations.justia.com/regulations/fedreg/2015/10/20/2015-26580.html Notice - Self-Regulatory Organizations; EDGX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Adopt Rule 3.20, Influencing or Rewarding Employees of Others, Concerning Gifts and Gratuities in Relation to the Business of the Employer of the Recipient 2015-10-20T00:00:00-07:00 2015-10-20T00:00:00-07:00 2015-26580 Notice http://www.gpo.gov/fdsys/pkg/FR-2015-10-20/pdf/2015-26580.pdf https://regulations.justia.com/regulations/fedreg/2015/10/20/2015-26579.html Notice - Self-Regulatory Organizations; BATS Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Rule 3.22, Concerning Gifts and Gratuities in Relation to the Business of the Employer of the Recipient, and Renaming the Rule “Influencing or Rewarding Employees of Others” 2015-10-20T00:00:00-07:00 2015-10-20T00:00:00-07:00 2015-26579 Notice http://www.gpo.gov/fdsys/pkg/FR-2015-10-20/pdf/2015-26579.pdf https://regulations.justia.com/regulations/fedreg/2015/10/20/2015-26578.html Notice - Self-Regulatory Organizations; EDGA Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Adopt Rule 3.20, Influencing or Rewarding Employees of Others, Concerning Gifts and Gratuities in Relation to the Business of the Employer of the Recipient 2015-10-20T00:00:00-07:00 2015-10-20T00:00:00-07:00 2015-26578 Notice http://www.gpo.gov/fdsys/pkg/FR-2015-10-20/pdf/2015-26578.pdf https://regulations.justia.com/regulations/fedreg/2015/10/20/2015-26577.html Notice - Self-Regulatory Organizations; BATS Y-Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Rule 3.22, Concerning Gifts and Gratuities in Relation to the Business of the Employer of the Recipient, and Renaming the Rule “Influencing or Rewarding Employees of Others” 2015-10-20T00:00:00-07:00 2015-10-20T00:00:00-07:00 2015-26577 Notice http://www.gpo.gov/fdsys/pkg/FR-2015-10-20/pdf/2015-26577.pdf https://regulations.justia.com/regulations/fedreg/2015/10/20/2015-26521.html Notice - Self-Regulatory Organizations; C2 Options Exchange, Incorporated; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend the Fees Schedule 2015-10-20T00:00:00-07:00 2015-10-20T00:00:00-07:00 2015-26521 Notice http://www.gpo.gov/fdsys/pkg/FR-2015-10-20/pdf/2015-26521.pdf https://regulations.justia.com/regulations/fedreg/2015/10/20/2015-26520.html Notice - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Filing and Immediate Effectiveness of Proposed Rule Change to End of Week/End of Month Expirations Pilot Program 2015-10-20T00:00:00-07:00 2015-10-20T00:00:00-07:00 2015-26520 Notice http://www.gpo.gov/fdsys/pkg/FR-2015-10-20/pdf/2015-26520.pdf https://regulations.justia.com/regulations/fedreg/2015/10/20/2015-26519.html Notice - Submission for OMB Review; Comment Request 2015-10-20T00:00:00-07:00 2015-10-20T00:00:00-07:00 2015-26519 Notice http://www.gpo.gov/fdsys/pkg/FR-2015-10-20/pdf/2015-26519.pdf https://regulations.justia.com/regulations/fedreg/2015/10/20/2015-26518.html Notice - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing of a Proposed Rule Change To Amend FINRA Rule 4210 (Margin Requirements) To Establish Margin Requirements for the TBA Market 2015-10-20T00:00:00-07:00 2015-10-20T00:00:00-07:00 2015-26518 Notice http://www.gpo.gov/fdsys/pkg/FR-2015-10-20/pdf/2015-26518.pdf https://regulations.justia.com/regulations/fedreg/2015/10/20/2015-26517.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. 2015-10-20T00:00:00-07:00 2015-10-20T00:00:00-07:00 2015-26517 Notice http://www.gpo.gov/fdsys/pkg/FR-2015-10-20/pdf/2015-26517.pdf https://regulations.justia.com/regulations/fedreg/2015/10/20/2015-26516.html Notice - Self-Regulatory Organizations; Municipal Securities Rulemaking Board; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Provide a Web-Based Delivery Method for Completing the Regulatory Element of the Continuing Education Requirements Pursuant to Rule G-3(i)(i) 2015-10-20T00:00:00-07:00 2015-10-20T00:00:00-07:00 2015-26516 Notice http://www.gpo.gov/fdsys/pkg/FR-2015-10-20/pdf/2015-26516.pdf https://regulations.justia.com/regulations/fedreg/2015/10/20/2015-26515.html Notice - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Mini Options 2015-10-20T00:00:00-07:00 2015-10-20T00:00:00-07:00 2015-26515 Notice http://www.gpo.gov/fdsys/pkg/FR-2015-10-20/pdf/2015-26515.pdf https://regulations.justia.com/regulations/fedreg/2015/10/20/2015-26514.html Notice - Submission for OMB Review; Comment Request 2015-10-20T00:00:00-07:00 2015-10-20T00:00:00-07:00 2015-26514 Notice http://www.gpo.gov/fdsys/pkg/FR-2015-10-20/pdf/2015-26514.pdf https://regulations.justia.com/regulations/fedreg/2015/10/19/2015-26427.html Notice - Self-Regulatory Organizations; the Options Clearing Corporation; Notice of Filing of Proposed Rule Change To Modify the Options Clearing Corporation's Margin Methodology by Incorporating Variations in Implied Volatility 2015-10-19T00:00:00-07:00 2015-10-19T00:00:00-07:00 2015-26427 Notice http://www.gpo.gov/fdsys/pkg/FR-2015-10-19/pdf/2015-26427.pdf https://regulations.justia.com/regulations/fedreg/2015/10/19/2015-26426.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. 2015-10-19T00:00:00-07:00 2015-10-19T00:00:00-07:00 2015-26426 Notice http://www.gpo.gov/fdsys/pkg/FR-2015-10-19/pdf/2015-26426.pdf https://regulations.justia.com/regulations/fedreg/2015/10/19/2015-26425.html Notice - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Modify Chapter XV, Entitled “Options Pricing,” at Section 2 Governing Pricing for NASDAQ Members 2015-10-19T00:00:00-07:00 2015-10-19T00:00:00-07:00 2015-26425 Notice http://www.gpo.gov/fdsys/pkg/FR-2015-10-19/pdf/2015-26425.pdf https://regulations.justia.com/regulations/fedreg/2015/10/19/2015-26424.html Notice - Self-Regulatory Organizations; NASDAQ OMX BX, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Mini Options 2015-10-19T00:00:00-07:00 2015-10-19T00:00:00-07:00 2015-26424 Notice http://www.gpo.gov/fdsys/pkg/FR-2015-10-19/pdf/2015-26424.pdf https://regulations.justia.com/regulations/fedreg/2015/10/19/2015-26423.html Notice - Self-Regulatory Organizations; ICE Clear Europe Limited; Order Approving Proposed Rule Change, as Modified by Amendment No. 1 Thereto, Relating to Credit Default Swap Risk Policies 2015-10-19T00:00:00-07:00 2015-10-19T00:00:00-07:00 2015-26423 Notice http://www.gpo.gov/fdsys/pkg/FR-2015-10-19/pdf/2015-26423.pdf https://regulations.justia.com/regulations/fedreg/2015/10/19/2015-26422.html Notice - Columbia Trust, et al.; Notice of Application 2015-10-19T00:00:00-07:00 2015-10-19T00:00:00-07:00

2015-26422 Notice http://www.gpo.gov/fdsys/pkg/FR-2015-10-19/pdf/2015-26422.pdf https://regulations.justia.com/regulations/fedreg/2015/10/16/2015-26336.html Notice - Self-Regulatory Organizations; New York Stock Exchange LLC; Order Approving Proposed Rule Change, Amending Section 907.00 of the Listed Company Manual (the “Manual”) To (i) Amend the Suite of Complimentary Products and Services That Are Offered to Certain Current and Newly Listed Companies, (ii) Update the Value of Complimentary Products and Services Offered to Listed Companies, and (iii) Provide That Complimentary Products and Services Would Also Be Offered to Companies That Transfer Their Listing to the Exchange From Another National Securities Exchange 2015-10-16T00:00:00-07:00 2015-10-16T00:00:00-07:00 2015-26336 Notice http://www.gpo.gov/fdsys/pkg/FR-2015-10-16/pdf/2015-26336.pdf https://regulations.justia.com/regulations/fedreg/2015/10/16/2015-26330.html Notice - Self-Regulatory Organizations; Notice of Filing of Proposed Rule Change Amending Several Rules To Address Certain Order Handling Obligations on the Part of Its Floor Brokers 2015-10-16T00:00:00-07:00 2015-10-16T00:00:00-07:00

2015-26330 Notice http://www.gpo.gov/fdsys/pkg/FR-2015-10-16/pdf/2015-26330.pdf https://regulations.justia.com/regulations/fedreg/2015/10/16/2015-26329.html Notice - Order Granting Limited Exemptions From Exchange Act Rule 10b-17 and Rules 101 and 102 of Regulation M to PowerShares DWA Tactical Sector Rotation Portfolio Pursuant to Exchange Act Rule 10b-17(b)(2) and Rules 101(d) and 102(e) of Regulation M 2015-10-16T00:00:00-07:00 2015-10-16T00:00:00-07:00 2015-26329 Notice http://www.gpo.gov/fdsys/pkg/FR-2015-10-16/pdf/2015-26329.pdf https://regulations.justia.com/regulations/fedreg/2015/10/16/2015-26328.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. 2015-10-16T00:00:00-07:00 2015-10-16T00:00:00-07:00 2015-26328 Notice http://www.gpo.gov/fdsys/pkg/FR-2015-10-16/pdf/2015-26328.pdf https://regulations.justia.com/regulations/fedreg/2015/10/16/2015-26327.html Notice - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Order Approving Proposed Rule Change To Adopt a Kill Switch for NOM 2015-10-16T00:00:00-07:00 2015-10-16T00:00:00-07:00 2015-26327 Notice http://www.gpo.gov/fdsys/pkg/FR-2015-10-16/pdf/2015-26327.pdf https://regulations.justia.com/regulations/fedreg/2015/10/16/2015-26326.html Notice - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Extend the TRACE Pilot Program in FINRA Rule 6730(e)(4) 2015-10-16T00:00:00-07:00 2015-10-16T00:00:00-07:00 2015-26326 Notice http://www.gpo.gov/fdsys/pkg/FR-2015-10-16/pdf/2015-26326.pdf https://regulations.justia.com/regulations/fedreg/2015/10/16/2015-26325.html Notice - Self-Regulatory Organizations; ICE Clear Credit LLC; Notice of Filing of Proposed Rule Change Related to the ICC Rule Enforcement Process for Missed Submissions 2015-10-16T00:00:00-07:00 2015-10-16T00:00:00-07:00 2015-26325 Notice http://www.gpo.gov/fdsys/pkg/FR-2015-10-16/pdf/2015-26325.pdf https://regulations.justia.com/regulations/fedreg/2015/10/16/2015-26324.html Notice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change, as Modified by Amendment No. 1, Amending the Exchange's Fee Schedule To Eliminate the Sponsor Fee In Connection With Listing a New Derivative Securities Product on the Exchange 2015-10-16T00:00:00-07:00 2015-10-16T00:00:00-07:00 2015-26324 Notice http://www.gpo.gov/fdsys/pkg/FR-2015-10-16/pdf/2015-26324.pdf https://regulations.justia.com/regulations/fedreg/2015/10/16/2015-26323.html 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 AltShares Long/Short High Yield Fund of ETFis Series Trust I 2015-10-16T00:00:00-07:00 2015-10-16T00:00:00-07:00 2015-26323 Notice http://www.gpo.gov/fdsys/pkg/FR-2015-10-16/pdf/2015-26323.pdf https://regulations.justia.com/regulations/fedreg/2015/10/15/2015-26157.html Notice - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Order Approving a Proposed Rule Change To Amend FINRA Rule 2210 (Communications With the Public) 2015-10-15T00:00:00-07:00 2015-10-15T00:00:00-07:00 2015-26157 Notice http://www.gpo.gov/fdsys/pkg/FR-2015-10-15/pdf/2015-26157.pdf https://regulations.justia.com/regulations/fedreg/2015/10/15/2015-26156.html Notice - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to Complex Orders 2015-10-15T00:00:00-07:00 2015-10-15T00:00:00-07:00 2015-26156 Notice http://www.gpo.gov/fdsys/pkg/FR-2015-10-15/pdf/2015-26156.pdf https://regulations.justia.com/regulations/fedreg/2015/10/15/2015-26155.html Notice - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to Delivery of the Regulatory Element of the Exchange's Continuing Education Program 2015-10-15T00:00:00-07:00 2015-10-15T00:00:00-07:00 2015-26155 Notice http://www.gpo.gov/fdsys/pkg/FR-2015-10-15/pdf/2015-26155.pdf https://regulations.justia.com/regulations/fedreg/2015/10/15/2015-26154.html Notice - Self-Regulatory Organizations; The Options Clearing Corporation; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Concerning the Requirement for Clearing Members To Participate in Operation Testing 2015-10-15T00:00:00-07:00 2015-10-15T00:00:00-07:00 2015-26154 Notice http://www.gpo.gov/fdsys/pkg/FR-2015-10-15/pdf/2015-26154.pdf https://regulations.justia.com/regulations/fedreg/2015/10/15/2015-26153.html Notice - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Sections 902.03, 902.04, 902.05 and 902.06 of the Listed Company Manual To Increase Certain of the Fees Set Forth Therein 2015-10-15T00:00:00-07:00 2015-10-15T00:00:00-07:00 2015-26153 Notice http://www.gpo.gov/fdsys/pkg/FR-2015-10-15/pdf/2015-26153.pdf https://regulations.justia.com/regulations/fedreg/2015/10/15/2015-26152.html Notice - Self-Regulatory Organizations; ICE Clear Credit LLC; Order Approving Proposed Rule Change To Provide for the Clearance of Additional Western European Sovereign Single Names 2015-10-15T00:00:00-07:00 2015-10-15T00:00:00-07:00 2015-26152 Notice http://www.gpo.gov/fdsys/pkg/FR-2015-10-15/pdf/2015-26152.pdf https://regulations.justia.com/regulations/fedreg/2015/10/15/2015-26151.html Notice - Self-Regulatory Organizations; National Securities Clearing Corporation; Notice of Filing of Proposed Rule Change To Permit Trades in Eligible Fixed Income Securities Scheduled To Settle on Day After Trade Date To Be Processed for Settlement at National Securities Clearing Corporation 2015-10-15T00:00:00-07:00 2015-10-15T00:00:00-07:00 2015-26151 Notice http://www.gpo.gov/fdsys/pkg/FR-2015-10-15/pdf/2015-26151.pdf https://regulations.justia.com/regulations/fedreg/2015/10/15/2015-26150.html Notice - Self-Regulatory Organizations; BATS Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Adopt an Issuer Incentive Program Applicable to Securities Listed on BATS Exchange, Inc. 2015-10-15T00:00:00-07:00 2015-10-15T00:00:00-07:00 2015-26150 Notice http://www.gpo.gov/fdsys/pkg/FR-2015-10-15/pdf/2015-26150.pdf https://regulations.justia.com/regulations/fedreg/2015/10/15/2015-26149.html Notice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending the NYSE Arca Equities Schedule of Fees and Charges for Exchange Services 2015-10-15T00:00:00-07:00 2015-10-15T00:00:00-07:00 2015-26149 Notice http://www.gpo.gov/fdsys/pkg/FR-2015-10-15/pdf/2015-26149.pdf https://regulations.justia.com/regulations/fedreg/2015/10/15/2015-26148.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 2015-10-15T00:00:00-07:00 2015-10-15T00:00:00-07:00 2015-26148 Notice http://www.gpo.gov/fdsys/pkg/FR-2015-10-15/pdf/2015-26148.pdf https://regulations.justia.com/regulations/fedreg/2015/10/15/2015-26147.html Notice - Self-Regulatory Organizations; NASDAQ OMX BX, Inc.; Order Approving Proposed Rule Change To Adopt a Kill Switch 2015-10-15T00:00:00-07:00 2015-10-15T00:00:00-07:00 2015-26147 Notice http://www.gpo.gov/fdsys/pkg/FR-2015-10-15/pdf/2015-26147.pdf https://regulations.justia.com/regulations/fedreg/2015/10/15/2015-26146.html Notice - Fidelity Management & Research Company and FMR Co., Inc.; Notice of Application 2015-10-15T00:00:00-07:00 2015-10-15T00:00:00-07:00 2015-26146 Notice http://www.gpo.gov/fdsys/pkg/FR-2015-10-15/pdf/2015-26146.pdf https://regulations.justia.com/regulations/fedreg/2015/10/15/2015-24507.html Proposed Rule - Open-End Fund Liquidity Risk Management Programs; Swing Pricing; Re-Opening of Comment Period for Investment Company Reporting Modernization Release 2015-10-15T00:00:00-07:00 2015-10-15T00:00:00-07:00

2015-24507 Proposed Rule http://www.gpo.gov/fdsys/pkg/FR-2015-10-15/pdf/2015-24507.pdf https://regulations.justia.com/regulations/fedreg/2015/10/14/2015-26158.html Notice - Sunshine Act Meeting 2015-10-14T00:00:00-07:00 2015-10-14T00:00:00-07:00 2015-26158 Notice http://www.gpo.gov/fdsys/pkg/FR-2015-10-14/pdf/2015-26158.pdf https://regulations.justia.com/regulations/fedreg/2015/10/14/2015-26035.html Notice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Rule 6.89 To Update a Cross-Reference to Exchange's Recently Revised Rule Regarding Obvious Errors 2015-10-14T00:00:00-07:00 2015-10-14T00:00:00-07:00 2015-26035 Notice http://www.gpo.gov/fdsys/pkg/FR-2015-10-14/pdf/2015-26035.pdf https://regulations.justia.com/regulations/fedreg/2015/10/14/2015-26034.html Notice - Self-Regulatory Organizations; EDGA Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Rule 3.13 (Payments Involving Publications That Influence the Market Price of a Security) 2015-10-14T00:00:00-07:00 2015-10-14T00:00:00-07:00 2015-26034 Notice http://www.gpo.gov/fdsys/pkg/FR-2015-10-14/pdf/2015-26034.pdf https://regulations.justia.com/regulations/fedreg/2015/10/14/2015-26033.html Notice - Self-Regulatory Organizations; BATS Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Rule 3.13 (Payment Designed To Influence Market Prices, Other Than Paid Advertising) 2015-10-14T00:00:00-07:00 2015-10-14T00:00:00-07:00 2015-26033 Notice http://www.gpo.gov/fdsys/pkg/FR-2015-10-14/pdf/2015-26033.pdf https://regulations.justia.com/regulations/fedreg/2015/10/14/2015-26032.html Notice - Self-Regulatory Organizations; EDGX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Rule 3.13 (Payments Involving Publications that Influence the Market Price of a Security) 2015-10-14T00:00:00-07:00 2015-10-14T00:00:00-07:00 2015-26032 Notice http://www.gpo.gov/fdsys/pkg/FR-2015-10-14/pdf/2015-26032.pdf https://regulations.justia.com/regulations/fedreg/2015/10/14/2015-26031.html Notice - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Designation of a Longer Period for Commission Action on a Proposed Rule Change, as Modified by Amendment Nos. 1 and 2, To Amend Certain Exchange Disciplinary Rules To Facilitate the Reintegration of Certain Regulatory Functions From Financial Industry Regulatory Authority, Inc. 2015-10-14T00:00:00-07:00 2015-10-14T00:00:00-07:00 2015-26031 Notice http://www.gpo.gov/fdsys/pkg/FR-2015-10-14/pdf/2015-26031.pdf https://regulations.justia.com/regulations/fedreg/2015/10/14/2015-26030.html Notice - ARK ETF Trust, et al.; Notice of Application 2015-10-14T00:00:00-07:00 2015-10-14T00:00:00-07:00

2015-26030 Notice http://www.gpo.gov/fdsys/pkg/FR-2015-10-14/pdf/2015-26030.pdf https://regulations.justia.com/regulations/fedreg/2015/10/14/2015-26029.html Notice - CLA Strategic Allocation Fund and CLA Asset Management, LLC; Notice of Application 2015-10-14T00:00:00-07:00 2015-10-14T00:00:00-07:00

2015-26029 Notice http://www.gpo.gov/fdsys/pkg/FR-2015-10-14/pdf/2015-26029.pdf https://regulations.justia.com/regulations/fedreg/2015/10/14/2015-26028.html Notice - Self-Regulatory Organizations; National Securities Clearing Corporation; Notice of Filing of Proposed Rule Change to Require Real-Time Trade Submission and to Prohibit Pre-Netting Practices through NSCC's Correspondent Clearing Service 2015-10-14T00:00:00-07:00 2015-10-14T00:00:00-07:00 2015-26028 Notice http://www.gpo.gov/fdsys/pkg/FR-2015-10-14/pdf/2015-26028.pdf https://regulations.justia.com/regulations/fedreg/2015/10/14/2015-26027.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 2015-10-14T00:00:00-07:00 2015-10-14T00:00:00-07:00 2015-26027 Notice http://www.gpo.gov/fdsys/pkg/FR-2015-10-14/pdf/2015-26027.pdf https://regulations.justia.com/regulations/fedreg/2015/10/14/2015-26026.html Notice - Self-Regulatory Organizations; BATS Y-Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Rule 3.13 (Payment Designed To Influence Market Prices, Other than Paid Advertising) 2015-10-14T00:00:00-07:00 2015-10-14T00:00:00-07:00 2015-26026 Notice http://www.gpo.gov/fdsys/pkg/FR-2015-10-14/pdf/2015-26026.pdf https://regulations.justia.com/regulations/fedreg/2015/10/13/2015-25948.html Proposed Rule - Request for Comment on the Effectiveness of Financial Disclosures About Entities Other Than the Registrant 2015-10-13T00:00:00-07:00 2015-10-13T00:00:00-07:00

2015-25948 Proposed Rule http://www.gpo.gov/fdsys/pkg/FR-2015-10-13/pdf/2015-25948.pdf https://regulations.justia.com/regulations/fedreg/2015/10/13/2015-25886.html Notice - Self-Regulatory Organizations; Chicago Stock Exchange, Inc.; Order Granting Accelerated Approval of a Proposed Rule Change, as Modified by Amendment No. 1 Thereto, To Adopt and Implement CHX SNAP SM 2015-10-13T00:00:00-07:00 2015-10-13T00:00:00-07:00 2015-25886 Notice http://www.gpo.gov/fdsys/pkg/FR-2015-10-13/pdf/2015-25886.pdf https://regulations.justia.com/regulations/fedreg/2015/10/13/2015-25871.html Notice - Submission for OMB Review; Comment Request 2015-10-13T00:00:00-07:00 2015-10-13T00:00:00-07:00 2015-25871 Notice http://www.gpo.gov/fdsys/pkg/FR-2015-10-13/pdf/2015-25871.pdf https://regulations.justia.com/regulations/fedreg/2015/10/13/2015-25870.html Notice - Submission for OMB Review; Comment Request 2015-10-13T00:00:00-07:00 2015-10-13T00:00:00-07:00 2015-25870 Notice http://www.gpo.gov/fdsys/pkg/FR-2015-10-13/pdf/2015-25870.pdf https://regulations.justia.com/regulations/fedreg/2015/10/13/2015-25869.html Notice - Submission for OMB Review; Comment Request 2015-10-13T00:00:00-07:00 2015-10-13T00:00:00-07:00 2015-25869 Notice http://www.gpo.gov/fdsys/pkg/FR-2015-10-13/pdf/2015-25869.pdf https://regulations.justia.com/regulations/fedreg/2015/10/13/2015-25868.html Notice - Submission for OMB Review; Comment Request 2015-10-13T00:00:00-07:00 2015-10-13T00:00:00-07:00 2015-25868 Notice http://www.gpo.gov/fdsys/pkg/FR-2015-10-13/pdf/2015-25868.pdf https://regulations.justia.com/regulations/fedreg/2015/10/13/2015-25867.html Notice - Submission for OMB Review; Comment Request 2015-10-13T00:00:00-07:00 2015-10-13T00:00:00-07:00

2015-25867 Notice http://www.gpo.gov/fdsys/pkg/FR-2015-10-13/pdf/2015-25867.pdf https://regulations.justia.com/regulations/fedreg/2015/10/13/2015-25865.html Notice - Self-Regulatory Organizations; BOX Options Exchange LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Rule 7270 (Block Trades) 2015-10-13T00:00:00-07:00 2015-10-13T00:00:00-07:00 2015-25865 Notice http://www.gpo.gov/fdsys/pkg/FR-2015-10-13/pdf/2015-25865.pdf https://regulations.justia.com/regulations/fedreg/2015/10/13/2015-25864.html Notice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing of Proposed Rule Change for New Equity Trading Rules Relating to Auctions for Pillar, the Exchange's New Trading Technology Platform 2015-10-13T00:00:00-07:00 2015-10-13T00:00:00-07:00 2015-25864 Notice http://www.gpo.gov/fdsys/pkg/FR-2015-10-13/pdf/2015-25864.pdf https://regulations.justia.com/regulations/fedreg/2015/10/13/2015-25863.html Notice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending the NYSE Arca Equities Schedule of Fees and Charges for Exchange Services 2015-10-13T00:00:00-07:00 2015-10-13T00:00:00-07:00 2015-25863 Notice http://www.gpo.gov/fdsys/pkg/FR-2015-10-13/pdf/2015-25863.pdf https://regulations.justia.com/regulations/fedreg/2015/10/13/2015-25862.html Notice - Self-Regulatory Organizations; NASDAQ OMX PHLX LLC; Notice of Filing of Proposed Rule Change Relating to Active Specialized Quote Feed Port Fee 2015-10-13T00:00:00-07:00 2015-10-13T00:00:00-07:00 2015-25862 Notice http://www.gpo.gov/fdsys/pkg/FR-2015-10-13/pdf/2015-25862.pdf https://regulations.justia.com/regulations/fedreg/2015/10/13/2015-25861.html Notice - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing of a Proposed Rule Change To Merge FINRA Dispute Resolution, Inc. Into and With FINRA Regulation, Inc. 2015-10-13T00:00:00-07:00 2015-10-13T00:00:00-07:00 2015-25861 Notice http://www.gpo.gov/fdsys/pkg/FR-2015-10-13/pdf/2015-25861.pdf https://regulations.justia.com/regulations/fedreg/2015/10/09/2015-25760.html Notice - Harvest Capital Credit Corporation, et al.; Notice of Application 2015-10-09T00:00:00-07:00 2015-10-09T00:00:00-07:00 2015-25760 Notice http://www.gpo.gov/fdsys/pkg/FR-2015-10-09/pdf/2015-25760.pdf https://regulations.justia.com/regulations/fedreg/2015/10/09/2015-25759.html Notice - Equity Market Structure Advisory Committee 2015-10-09T00:00:00-07:00 2015-10-09T00:00:00-07:00

2015-25759 Notice http://www.gpo.gov/fdsys/pkg/FR-2015-10-09/pdf/2015-25759.pdf https://regulations.justia.com/regulations/fedreg/2015/10/09/2015-25703.html Notice - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Order Approving a Proposed Rule Change, as Amended by Amendment No. 1, To Expand FINRA's Alternative Trading System Transparency Initiative by Publishing OTC Equity Volume Executed Outside ATSs 2015-10-09T00:00:00-07:00 2015-10-09T00:00:00-07:00 2015-25703 Notice http://www.gpo.gov/fdsys/pkg/FR-2015-10-09/pdf/2015-25703.pdf https://regulations.justia.com/regulations/fedreg/2015/10/09/2015-25702.html Notice - Self-Regulatory Organizations; National Securities Clearing Corporation; Order Approving Proposed Rule Change to Enhance NSCC's Margining Methodology as Applied to Family-Issued Securities of Certain NSCC Members 2015-10-09T00:00:00-07:00 2015-10-09T00:00:00-07:00 2015-25702 Notice http://www.gpo.gov/fdsys/pkg/FR-2015-10-09/pdf/2015-25702.pdf https://regulations.justia.com/regulations/fedreg/2015/10/09/2015-25701.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 Shares of the First Trust SSI Strategic Convertible Securities ETF of First Trust Exchange-Traded Fund IV 2015-10-09T00:00:00-07:00 2015-10-09T00:00:00-07:00 2015-25701 Notice http://www.gpo.gov/fdsys/pkg/FR-2015-10-09/pdf/2015-25701.pdf https://regulations.justia.com/regulations/fedreg/2015/10/09/2015-25700.html Notice - Self-Regulatory Organizations; National Securities Clearing Corporation; Notice of No Objection to Advance Notice Filing To Enhance NSCC's Margining Methodology as Applied to Family-Issued Securities of Certain NSCC Members 2015-10-09T00:00:00-07:00 2015-10-09T00:00:00-07:00 2015-25700 Notice http://www.gpo.gov/fdsys/pkg/FR-2015-10-09/pdf/2015-25700.pdf https://regulations.justia.com/regulations/fedreg/2015/10/09/2015-25699.html Notice - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Its Price List To Change the Monthly Fees for the Use of Certain Ports 2015-10-09T00:00:00-07:00 2015-10-09T00:00:00-07:00 2015-25699 Notice http://www.gpo.gov/fdsys/pkg/FR-2015-10-09/pdf/2015-25699.pdf https://regulations.justia.com/regulations/fedreg/2015/10/09/2015-25698.html Notice - Self-Regulatory Organizations; NYSE MKT LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Its Price List To Change the Monthly Fees for the Use of Certain Ports 2015-10-09T00:00:00-07:00 2015-10-09T00:00:00-07:00 2015-25698 Notice http://www.gpo.gov/fdsys/pkg/FR-2015-10-09/pdf/2015-25698.pdf https://regulations.justia.com/regulations/fedreg/2015/10/09/2015-25697.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. 2015-10-09T00:00:00-07:00 2015-10-09T00:00:00-07:00 2015-25697 Notice http://www.gpo.gov/fdsys/pkg/FR-2015-10-09/pdf/2015-25697.pdf https://regulations.justia.com/regulations/fedreg/2015/10/08/2015-25600.html Notice - Proposed Collection; Comment Request 2015-10-08T00:00:00-07:00 2015-10-08T00:00:00-07:00 2015-25600 Notice http://www.gpo.gov/fdsys/pkg/FR-2015-10-08/pdf/2015-25600.pdf https://regulations.justia.com/regulations/fedreg/2015/10/08/2015-25599.html Notice - Self-Regulatory Organizations; ICE Clear Europe Limited; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to Clearance of New Natural Gas Futures Contracts 2015-10-08T00:00:00-07:00 2015-10-08T00:00:00-07:00 2015-25599 Notice http://www.gpo.gov/fdsys/pkg/FR-2015-10-08/pdf/2015-25599.pdf https://regulations.justia.com/regulations/fedreg/2015/10/08/2015-25598.html Notice - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Filing of a Proposed Rule Change Relating To Margin Requirements 2015-10-08T00:00:00-07:00 2015-10-08T00:00:00-07:00 2015-25598 Notice http://www.gpo.gov/fdsys/pkg/FR-2015-10-08/pdf/2015-25598.pdf https://regulations.justia.com/regulations/fedreg/2015/10/07/2015-25465.html Notice - Triton Pacific Investment Corporation, Inc., et al.; 2015-10-07T00:00:00-07:00 2015-10-07T00:00:00-07:00 2015-25465 Notice http://www.gpo.gov/fdsys/pkg/FR-2015-10-07/pdf/2015-25465.pdf https://regulations.justia.com/regulations/fedreg/2015/10/07/2015-25464.html Notice - Self-Regulatory Organizations; NYSE MKT LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Several Rules To Address Certain Order Handling Obligations on the Part of Its Floor Brokers 2015-10-07T00:00:00-07:00 2015-10-07T00:00:00-07:00 2015-25464 Notice http://www.gpo.gov/fdsys/pkg/FR-2015-10-07/pdf/2015-25464.pdf https://regulations.justia.com/regulations/fedreg/2015/10/07/2015-25463.html Notice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Several Rules to Address Certain Order Handling Obligations on the Part of Its Floor Brokers 2015-10-07T00:00:00-07:00 2015-10-07T00:00:00-07:00 2015-25463 Notice http://www.gpo.gov/fdsys/pkg/FR-2015-10-07/pdf/2015-25463.pdf https://regulations.justia.com/regulations/fedreg/2015/10/06/2015-25451.html Notice - Sunshine Act Meeting 2015-10-06T00:00:00-07:00 2015-10-06T00:00:00-07:00 2015-25451 Notice http://www.gpo.gov/fdsys/pkg/FR-2015-10-06/pdf/2015-25451.pdf https://regulations.justia.com/regulations/fedreg/2015/10/06/2015-25330.html Notice - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to the Submission of “Clearing-Only, Non-Regulatory Reports” to the FINRA Equity Trade Reporting Facilities 2015-10-06T00:00:00-07:00 2015-10-06T00:00:00-07:00 2015-25330 Notice http://www.gpo.gov/fdsys/pkg/FR-2015-10-06/pdf/2015-25330.pdf https://regulations.justia.com/regulations/fedreg/2015/10/06/2015-25329.html Notice - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing of a Proposed Rule Change To Amend FINRA Rule 0150 to Apply FINRA Rule 2121 and its Supplementary Material .01 and .02 to Transactions in Exempted Securities That Are Government Securities 2015-10-06T00:00:00-07:00 2015-10-06T00:00:00-07:00 2015-25329 Notice http://www.gpo.gov/fdsys/pkg/FR-2015-10-06/pdf/2015-25329.pdf https://regulations.justia.com/regulations/fedreg/2015/10/06/2015-25328.html Notice - Program for Allocation of Regulatory Responsibilities Pursuant to Rule 17d-2; Notice of Filing of Proposed Amended Plan for the Allocation of Regulatory Responsibilities Between BATS Exchange, Inc., BATS Y-Exchange, Inc., BOX Options Exchange LLC, Chicago Board Options Exchange, Incorporated, C2 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, The NASDAQ Stock Market LLC, NASDAQ OMX BX, Inc., NASDAQ OMX PHLX, Inc., National Stock Exchange, Inc., New York Stock Exchange LLC, NYSE MKT LLC, and NYSE Arca, Inc. 2015-10-06T00:00:00-07:00 2015-10-06T00:00:00-07:00 2015-25328 Notice http://www.gpo.gov/fdsys/pkg/FR-2015-10-06/pdf/2015-25328.pdf https://regulations.justia.com/regulations/fedreg/2015/10/06/2015-25327.html Notice - Self-Regulatory Organizations; BATS Exchange, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Delete Rule 2.13, Fidelity Bonds 2015-10-06T00:00:00-07:00 2015-10-06T00:00:00-07:00 2015-25327 Notice http://www.gpo.gov/fdsys/pkg/FR-2015-10-06/pdf/2015-25327.pdf https://regulations.justia.com/regulations/fedreg/2015/10/06/2015-25326.html Notice - Self-Regulatory Organizations; BATS Y-Exchange, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Delete Rule 2.13, Fidelity Bonds 2015-10-06T00:00:00-07:00 2015-10-06T00:00:00-07:00 2015-25326 Notice http://www.gpo.gov/fdsys/pkg/FR-2015-10-06/pdf/2015-25326.pdf https://regulations.justia.com/regulations/fedreg/2015/10/05/2015-25186.html Notice - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to Bandwidth 2015-10-05T00:00:00-07:00 2015-10-05T00:00:00-07:00 2015-25186 Notice http://www.gpo.gov/fdsys/pkg/FR-2015-10-05/pdf/2015-25186.pdf https://regulations.justia.com/regulations/fedreg/2015/10/05/2015-25185.html Notice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Modifying Certain Proprietary Options Data Products 2015-10-05T00:00:00-07:00 2015-10-05T00:00:00-07:00 2015-25185 Notice http://www.gpo.gov/fdsys/pkg/FR-2015-10-05/pdf/2015-25185.pdf https://regulations.justia.com/regulations/fedreg/2015/10/05/2015-25184.html Notice - Self-Regulatory Organizations; NYSE MKT LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Modifying Certain Proprietary Options Data Products 2015-10-05T00:00:00-07:00 2015-10-05T00:00:00-07:00 2015-25184 Notice http://www.gpo.gov/fdsys/pkg/FR-2015-10-05/pdf/2015-25184.pdf https://regulations.justia.com/regulations/fedreg/2015/10/05/2015-25183.html Notice - Self-Regulatory Organizations; NYSE Arca, Inc.; Order Granting an Extension to Limited Exemption From Rule 612(c) of Regulation NMS in Connection With the Exchange's Retail Liquidity Program Until March 31, 2016 2015-10-05T00:00:00-07:00 2015-10-05T00:00:00-07:00 2015-25183 Notice http://www.gpo.gov/fdsys/pkg/FR-2015-10-05/pdf/2015-25183.pdf https://regulations.justia.com/regulations/fedreg/2015/10/05/2015-25182.html Notice - Self-Regulatory Organizations; New York Stock Exchange LLC; NYSE MKT LLC; Order Granting an Extension to Limited Exemptions From Rule 612(c) of Regulation NMS in Connection With the Exchanges' Retail Liquidity Programs Until March 31, 2016 2015-10-05T00:00:00-07:00 2015-10-05T00:00:00-07:00 2015-25182 Notice http://www.gpo.gov/fdsys/pkg/FR-2015-10-05/pdf/2015-25182.pdf https://regulations.justia.com/regulations/fedreg/2015/10/05/2015-25181.html Notice - Self-Regulatory Organizations; BATS Exchange, Inc.; Notice of Designation of a Longer Period for Commission Action on Proposed Rule Change, as Modified by Amendments Nos. 1 and 2, To List and Trade Shares of the ProShares Managed Futures Strategy ETF of the ProShares Trust Under BATS Rule 14.11 on BATS Exchange, Inc. 2015-10-05T00:00:00-07:00 2015-10-05T00:00:00-07:00 2015-25181 Notice http://www.gpo.gov/fdsys/pkg/FR-2015-10-05/pdf/2015-25181.pdf https://regulations.justia.com/regulations/fedreg/2015/10/05/2015-25180.html Notice - Self-Regulatory Organizations; EDGX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Rule 11.15, Clearly Erroneous Executions 2015-10-05T00:00:00-07:00 2015-10-05T00:00:00-07:00 2015-25180 Notice http://www.gpo.gov/fdsys/pkg/FR-2015-10-05/pdf/2015-25180.pdf https://regulations.justia.com/regulations/fedreg/2015/10/05/2015-25179.html Notice - Self-Regulatory Organizations; EDGA Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Rule 11.15, Clearly Erroneous Executions 2015-10-05T00:00:00-07:00 2015-10-05T00:00:00-07:00 2015-25179 Notice http://www.gpo.gov/fdsys/pkg/FR-2015-10-05/pdf/2015-25179.pdf https://regulations.justia.com/regulations/fedreg/2015/10/05/2015-25178.html Notice - Self-Regulatory Organizations; BATS Y-Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Restructure and Amend Rule 11.17, Clearly Erroneous Executions 2015-10-05T00:00:00-07:00 2015-10-05T00:00:00-07:00 2015-25178 Notice http://www.gpo.gov/fdsys/pkg/FR-2015-10-05/pdf/2015-25178.pdf https://regulations.justia.com/regulations/fedreg/2015/10/05/2015-25177.html Notice - Self-Regulatory Organizations; BATS Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Restructure and Amend Rule 11.17, Clearly Erroneous Executions 2015-10-05T00:00:00-07:00 2015-10-05T00:00:00-07:00 2015-25177 Notice http://www.gpo.gov/fdsys/pkg/FR-2015-10-05/pdf/2015-25177.pdf https://regulations.justia.com/regulations/fedreg/2015/10/05/2015-25176.html Notice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Adding Definitions Applicable to Co-Location Services to the NYSE Arca Options Fee Schedule and, the NYSE Arca Equities Schedule of Fees and Charges for Exchange Services and Modifying the Fee for Users That Host Their Customers at the Exchange's Data Center 2015-10-05T00:00:00-07:00 2015-10-05T00:00:00-07:00 2015-25176 Notice http://www.gpo.gov/fdsys/pkg/FR-2015-10-05/pdf/2015-25176.pdf https://regulations.justia.com/regulations/fedreg/2015/10/05/2015-25175.html Notice - Self-Regulatory Organizations; NYSE MKT LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Adding Definitions Applicable to Certain Co-location Services and Modifying the Fee for Users That Host Their Customers at the Exchange's Data Center 2015-10-05T00:00:00-07:00 2015-10-05T00:00:00-07:00 2015-25175 Notice http://www.gpo.gov/fdsys/pkg/FR-2015-10-05/pdf/2015-25175.pdf https://regulations.justia.com/regulations/fedreg/2015/10/05/2015-25174.html Notice - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Adding Definitions Applicable to Certain Co-Location Services to the Exchange's Price List and Modifying the Fee for Users That Host Their Customers at the Exchange's Data Center 2015-10-05T00:00:00-07:00 2015-10-05T00:00:00-07:00 2015-25174 Notice http://www.gpo.gov/fdsys/pkg/FR-2015-10-05/pdf/2015-25174.pdf https://regulations.justia.com/regulations/fedreg/2015/10/05/2015-24707.html Proposed Rule - Amendments to the Commission's Rules of Practice 2015-10-05T00:00:00-07:00 2015-10-05T00:00:00-07:00

2015-24707 Proposed Rule http://www.gpo.gov/fdsys/pkg/FR-2015-10-05/pdf/2015-24707.pdf https://regulations.justia.com/regulations/fedreg/2015/10/05/2015-24705.html Proposed Rule - Amendments to the Commission's Rules of Practice 2015-10-05T00:00:00-07:00 2015-10-05T00:00:00-07:00

2015-24705 Proposed Rule http://www.gpo.gov/fdsys/pkg/FR-2015-10-05/pdf/2015-24705.pdf https://regulations.justia.com/regulations/fedreg/2015/10/02/2015-24971.html Notice - Self-Regulatory Organizations; New York Stock Exchange LLC; Order Approving Proposed Rule Change Amending the Eighth Amended and Restated Operating Agreement of the Exchange To Establish a Regulatory Oversight Committee as a Committee of the Board of Directors of the Exchange and Amending Other Rules of the Exchange 2015-10-02T00:00:00-07:00 2015-10-02T00:00:00-07:00 2015-24971 Notice http://www.gpo.gov/fdsys/pkg/FR-2015-10-02/pdf/2015-24971.pdf https://regulations.justia.com/regulations/fedreg/2015/10/02/2015-24970.html Notice - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Extending the Pilot Period for the Exchange's Retail Liquidity Program Until March 31, 2016 2015-10-02T00:00:00-07:00 2015-10-02T00:00:00-07:00 2015-24970 Notice http://www.gpo.gov/fdsys/pkg/FR-2015-10-02/pdf/2015-24970.pdf https://regulations.justia.com/regulations/fedreg/2015/10/02/2015-24969.html Notice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Extending the Pilot Period for the Exchange's Retail Liquidity Program Until March 31, 2016 2015-10-02T00:00:00-07:00 2015-10-02T00:00:00-07:00 2015-24969 Notice http://www.gpo.gov/fdsys/pkg/FR-2015-10-02/pdf/2015-24969.pdf https://regulations.justia.com/regulations/fedreg/2015/10/02/2015-24968.html Notice - Self-Regulatory Organizations; NYSE MKT LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Extending the Pilot Period for the Exchange's Retail Liquidity Program Until March 31, 2016 2015-10-02T00:00:00-07:00 2015-10-02T00:00:00-07:00 2015-24968 Notice http://www.gpo.gov/fdsys/pkg/FR-2015-10-02/pdf/2015-24968.pdf https://regulations.justia.com/regulations/fedreg/2015/10/02/2015-24904.html Rule - Adoption of Updated EDGAR Filer Manual 2015-10-02T00:00:00-07:00 2015-10-02T00:00:00-07:00

2015-24904 Rule http://www.gpo.gov/fdsys/pkg/FR-2015-10-02/pdf/2015-24904.pdf https://regulations.justia.com/regulations/fedreg/2015/10/01/2015-24888.html Notice - Submission for OMB Review; Comment Request 2015-10-01T00:00:00-07:00 2015-10-01T00:00:00-07:00 2015-24888 Notice http://www.gpo.gov/fdsys/pkg/FR-2015-10-01/pdf/2015-24888.pdf https://regulations.justia.com/regulations/fedreg/2015/10/01/2015-24887.html Notice - Submission for OMB Review; Comment Request 2015-10-01T00:00:00-07:00 2015-10-01T00:00:00-07:00 2015-24887 Notice http://www.gpo.gov/fdsys/pkg/FR-2015-10-01/pdf/2015-24887.pdf https://regulations.justia.com/regulations/fedreg/2015/10/01/2015-24886.html Notice - Notice of Applications for Deregistration Under Section 8(f) of the Investment Company Act of 1940 2015-10-01T00:00:00-07:00 2015-10-01T00:00:00-07:00

2015-24886 Notice http://www.gpo.gov/fdsys/pkg/FR-2015-10-01/pdf/2015-24886.pdf https://regulations.justia.com/regulations/fedreg/2015/10/01/2015-24885.html Notice - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing of a Proposed Rule Change To Amend FINRA Rule 8312 (FINRA BrokerCheck Disclosure) To Reduce the Waiting Period for the Release of Information Reported on Form U5 2015-10-01T00:00:00-07:00 2015-10-01T00:00:00-07:00 2015-24885 Notice http://www.gpo.gov/fdsys/pkg/FR-2015-10-01/pdf/2015-24885.pdf https://regulations.justia.com/regulations/fedreg/2015/10/01/2015-24884.html Notice - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing of Proposed Rule Change To Amend Rule 4758 2015-10-01T00:00:00-07:00 2015-10-01T00:00:00-07:00 2015-24884 Notice http://www.gpo.gov/fdsys/pkg/FR-2015-10-01/pdf/2015-24884.pdf https://regulations.justia.com/regulations/fedreg/2015/10/01/2015-24883.html Notice - Self-Regulatory Organizations: Miami International Securities Exchange LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the MIAX Options Fee Schedule 2015-10-01T00:00:00-07:00 2015-10-01T00:00:00-07:00 2015-24883 Notice http://www.gpo.gov/fdsys/pkg/FR-2015-10-01/pdf/2015-24883.pdf https://regulations.justia.com/regulations/fedreg/2015/10/01/2015-24882.html Notice - Self-Regulatory Organizations; NYSE MKT LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Adding to the Rules of the Exchange the Third Amended and Restated Certificate of Incorporation of NYSE Market, Inc., and the Eighth Amended and Restated Operating Agreement of New York Stock Exchange LLC 2015-10-01T00:00:00-07:00 2015-10-01T00:00:00-07:00 2015-24882 Notice http://www.gpo.gov/fdsys/pkg/FR-2015-10-01/pdf/2015-24882.pdf https://regulations.justia.com/regulations/fedreg/2015/10/01/2015-24881.html Notice - Self-Regulatory Organizations; ICE Clear Europe Limited; Order Approving Proposed Rule Change Relating to CDS End-of-Day Price Discovery Policy 2015-10-01T00:00:00-07:00 2015-10-01T00:00:00-07:00 2015-24881 Notice http://www.gpo.gov/fdsys/pkg/FR-2015-10-01/pdf/2015-24881.pdf https://regulations.justia.com/regulations/fedreg/2015/10/01/2015-24875.html Proposed Rule - Request for Comment on the Effectiveness of Financial Disclosures About Entities Other Than the Registrant 2015-10-01T00:00:00-07:00 2015-10-01T00:00:00-07:00

2015-24875 Proposed Rule http://www.gpo.gov/fdsys/pkg/FR-2015-10-01/pdf/2015-24875.pdf