<![CDATA[Federal Register Recent Federal Regulation Documents - Justia Regulation Tracker - Justia Regulations Tracker]]> https://regulations.justia.com/regulations/fedreg/agencies/securities-and-exchange-commission/2015/11/03?registers=between Mon, 25 Nov 2024 08:01:41 -0800 Mon, 25 Nov 2024 08:01:41 -0800 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/2015/11/03?registers=between 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 https://regulations.justia.com/regulations/fedreg/2015/11/03/C1-2015-27221.html https://regulations.justia.com/regulations/fedreg/2015/11/03/C1-2015-27221.html Tue, 03 Nov 2015 00:00:00 -0800 C1-2015-27221 Notice http://www.gpo.gov/fdsys/pkg/FR-2015-11-03/pdf/C1-2015-27221.pdf 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” https://regulations.justia.com/regulations/fedreg/2015/11/03/C1-2015-26577.html https://regulations.justia.com/regulations/fedreg/2015/11/03/C1-2015-26577.html Tue, 03 Nov 2015 00:00:00 -0800 C1-2015-26577 Notice http://www.gpo.gov/fdsys/pkg/FR-2015-11-03/pdf/C1-2015-26577.pdf Notice - Order of Suspension of Trading; In the Matter of American Power Corp. and Locan, Inc. https://regulations.justia.com/regulations/fedreg/2015/11/03/2015-28065.html https://regulations.justia.com/regulations/fedreg/2015/11/03/2015-28065.html Tue, 03 Nov 2015 00:00:00 -0800 2015-28065 Notice http://www.gpo.gov/fdsys/pkg/FR-2015-11-03/pdf/2015-28065.pdf Notice - Sunshine Act Meeting https://regulations.justia.com/regulations/fedreg/2015/11/03/2015-28027.html https://regulations.justia.com/regulations/fedreg/2015/11/03/2015-28027.html Tue, 03 Nov 2015 00:00:00 -0800 2015-28027 Notice http://www.gpo.gov/fdsys/pkg/FR-2015-11-03/pdf/2015-28027.pdf Notice - Submission for OMB Review; Comment Request https://regulations.justia.com/regulations/fedreg/2015/11/03/2015-27916.html https://regulations.justia.com/regulations/fedreg/2015/11/03/2015-27916.html Tue, 03 Nov 2015 00:00:00 -0800 2015-27916 Notice http://www.gpo.gov/fdsys/pkg/FR-2015-11-03/pdf/2015-27916.pdf Notice - Proposed Collection; Comment Request https://regulations.justia.com/regulations/fedreg/2015/11/03/2015-27915.html https://regulations.justia.com/regulations/fedreg/2015/11/03/2015-27915.html Tue, 03 Nov 2015 00:00:00 -0800 2015-27915 Notice http://www.gpo.gov/fdsys/pkg/FR-2015-11-03/pdf/2015-27915.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/2015/11/03/2015-27913.html https://regulations.justia.com/regulations/fedreg/2015/11/03/2015-27913.html Tue, 03 Nov 2015 00:00:00 -0800 2015-27913 Notice http://www.gpo.gov/fdsys/pkg/FR-2015-11-03/pdf/2015-27913.pdf Notice - Self-Regulatory Organizations; National Securities Clearing Corporation; Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Provide Additional Details Regarding the Requirement that Members Participate in Annual Testing of Business Continuity and Disaster Recovery Plans https://regulations.justia.com/regulations/fedreg/2015/11/03/2015-27912.html https://regulations.justia.com/regulations/fedreg/2015/11/03/2015-27912.html Tue, 03 Nov 2015 00:00:00 -0800 2015-27912 Notice http://www.gpo.gov/fdsys/pkg/FR-2015-11-03/pdf/2015-27912.pdf Notice - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Rule 123D To Specify That Exchange Systems May Open One or More Securities Electronically if a Designated Market Maker Registered in a Security or Securities Cannot Facilitate the Opening of Trading as Required by Exchange Rules https://regulations.justia.com/regulations/fedreg/2015/11/03/2015-27911.html https://regulations.justia.com/regulations/fedreg/2015/11/03/2015-27911.html Tue, 03 Nov 2015 00:00:00 -0800 2015-27911 Notice http://www.gpo.gov/fdsys/pkg/FR-2015-11-03/pdf/2015-27911.pdf Notice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Designation of a Longer Period for Commission Action on a 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/2015/11/03/2015-27910.html https://regulations.justia.com/regulations/fedreg/2015/11/03/2015-27910.html Tue, 03 Nov 2015 00:00:00 -0800 2015-27910 Notice http://www.gpo.gov/fdsys/pkg/FR-2015-11-03/pdf/2015-27910.pdf Notice - Self-Regulatory Organizations; NYSE MKT LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Rule 123D-Equities To Specify That Exchange Systems May Open One or More Securities Electronically if a Designated Market Maker Registered in a Security or Securities Cannot Facilitate the Opening of Trading as Required by Exchange Rules https://regulations.justia.com/regulations/fedreg/2015/11/03/2015-27909.html https://regulations.justia.com/regulations/fedreg/2015/11/03/2015-27909.html Tue, 03 Nov 2015 00:00:00 -0800 2015-27909 Notice http://www.gpo.gov/fdsys/pkg/FR-2015-11-03/pdf/2015-27909.pdf Notice - Self-Regulatory Organizations; BATS Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Extend the Pilot Period of the BATS Exchange, Inc.'s Supplemental Competitive Liquidity Provider Program https://regulations.justia.com/regulations/fedreg/2015/11/03/2015-27908.html https://regulations.justia.com/regulations/fedreg/2015/11/03/2015-27908.html Tue, 03 Nov 2015 00:00:00 -0800 2015-27908 Notice http://www.gpo.gov/fdsys/pkg/FR-2015-11-03/pdf/2015-27908.pdf Notice - SPDR® Series Trust, et al.; Notice of Application https://regulations.justia.com/regulations/fedreg/2015/11/03/2015-27907.html https://regulations.justia.com/regulations/fedreg/2015/11/03/2015-27907.html Tue, 03 Nov 2015 00:00:00 -0800 2015-27907 Notice http://www.gpo.gov/fdsys/pkg/FR-2015-11-03/pdf/2015-27907.pdf Notice - Submission for OMB Review; Comment Request https://regulations.justia.com/regulations/fedreg/2015/11/03/2015-27906.html https://regulations.justia.com/regulations/fedreg/2015/11/03/2015-27906.html Tue, 03 Nov 2015 00:00:00 -0800 2015-27906 Notice http://www.gpo.gov/fdsys/pkg/FR-2015-11-03/pdf/2015-27906.pdf Notice - Proposed Collection; Comment Request https://regulations.justia.com/regulations/fedreg/2015/11/03/2015-27905.html https://regulations.justia.com/regulations/fedreg/2015/11/03/2015-27905.html Tue, 03 Nov 2015 00:00:00 -0800 2015-27905 Notice http://www.gpo.gov/fdsys/pkg/FR-2015-11-03/pdf/2015-27905.pdf Notice - Proposed Collection; Comment Request https://regulations.justia.com/regulations/fedreg/2015/11/03/2015-27904.html https://regulations.justia.com/regulations/fedreg/2015/11/03/2015-27904.html Tue, 03 Nov 2015 00:00:00 -0800 2015-27904 Notice http://www.gpo.gov/fdsys/pkg/FR-2015-11-03/pdf/2015-27904.pdf Notice - Proposed Collection; Comment Request https://regulations.justia.com/regulations/fedreg/2015/11/03/2015-27903.html https://regulations.justia.com/regulations/fedreg/2015/11/03/2015-27903.html Tue, 03 Nov 2015 00:00:00 -0800 2015-27903 Notice http://www.gpo.gov/fdsys/pkg/FR-2015-11-03/pdf/2015-27903.pdf Notice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing of Amendment No. 1 and Order Granting Accelerated Approval to a Proposed Rule Change, as Modified by Amendment No. 1, 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; Correction https://regulations.justia.com/regulations/fedreg/2015/11/03/2015-27877.html https://regulations.justia.com/regulations/fedreg/2015/11/03/2015-27877.html Tue, 03 Nov 2015 00:00:00 -0800 2015-27877 Notice http://www.gpo.gov/fdsys/pkg/FR-2015-11-03/pdf/2015-27877.pdf