<![CDATA[Federal Register Recent Federal Regulation Documents - Justia Regulation Tracker - Justia Regulations Tracker]]> https://regulations.justia.com/regulations/fedreg/agencies/securities-and-exchange-commission/2015/11/05?registers=between Tue, 26 Nov 2024 22:36:16 -0800 Tue, 26 Nov 2024 22:36:16 -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/2015/11/05?registers=between Notice - Notice of Applications for Deregistration Under Section 8(f) of the Investment Company Act of 1940 https://regulations.justia.com/regulations/fedreg/2015/11/05/2015-28149.html https://regulations.justia.com/regulations/fedreg/2015/11/05/2015-28149.html Thu, 05 Nov 2015 00:00:00 -0800 2015-28149 Notice http://www.gpo.gov/fdsys/pkg/FR-2015-11-05/pdf/2015-28149.pdf Notice - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Designation of Longer Period for Commission Action on Proceedings To Determine Whether To Disapprove Proposed Rule Change, as Modified by Amendment No. 1, Amending Sections 312.03(b) and 312.04 of the NYSE Listed Company Manual to Exempt Early Stage Companies From Having To Obtain Shareholder Approval Before Issuing Shares for Cash to Related Parties, Affiliates of Related Parties or Entities in Which a Related Party Has a Substantial Interest https://regulations.justia.com/regulations/fedreg/2015/11/05/2015-28148.html https://regulations.justia.com/regulations/fedreg/2015/11/05/2015-28148.html Thu, 05 Nov 2015 00:00:00 -0800 2015-28148 Notice http://www.gpo.gov/fdsys/pkg/FR-2015-11-05/pdf/2015-28148.pdf Notice - Order Exempting Certain Large Traders From the Self-Identification Requirements of Rule 13h-1 Under the Securities Exchange Act of 1934, and Exempting Certain Broker-Dealers From the Recordkeeping, Reporting, and Monitoring Responsibilities Under the Rule https://regulations.justia.com/regulations/fedreg/2015/11/05/2015-28147.html https://regulations.justia.com/regulations/fedreg/2015/11/05/2015-28147.html Thu, 05 Nov 2015 00:00:00 -0800 2015-28147 Notice http://www.gpo.gov/fdsys/pkg/FR-2015-11-05/pdf/2015-28147.pdf Notice - Self-Regulatory Organizations; EDGX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Rules 21.2, 21.6, and 21.7, as They Relate To Order Acceptance Time https://regulations.justia.com/regulations/fedreg/2015/11/05/2015-28146.html https://regulations.justia.com/regulations/fedreg/2015/11/05/2015-28146.html Thu, 05 Nov 2015 00:00:00 -0800 2015-28146 Notice http://www.gpo.gov/fdsys/pkg/FR-2015-11-05/pdf/2015-28146.pdf Notice - Self-Regulatory Organizations; BATS Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Rules 21.2, 21.6, and 21.7, as They Relate to Order Acceptance Time https://regulations.justia.com/regulations/fedreg/2015/11/05/2015-28145.html https://regulations.justia.com/regulations/fedreg/2015/11/05/2015-28145.html Thu, 05 Nov 2015 00:00:00 -0800 2015-28145 Notice http://www.gpo.gov/fdsys/pkg/FR-2015-11-05/pdf/2015-28145.pdf Notice - Self-Regulatory Organizations; NASDAQ OMX BX, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change to the Risk Monitor Mechanism https://regulations.justia.com/regulations/fedreg/2015/11/05/2015-28144.html https://regulations.justia.com/regulations/fedreg/2015/11/05/2015-28144.html Thu, 05 Nov 2015 00:00:00 -0800 2015-28144 Notice http://www.gpo.gov/fdsys/pkg/FR-2015-11-05/pdf/2015-28144.pdf Notice - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Risk Monitor Mechanism https://regulations.justia.com/regulations/fedreg/2015/11/05/2015-28143.html https://regulations.justia.com/regulations/fedreg/2015/11/05/2015-28143.html Thu, 05 Nov 2015 00:00:00 -0800 2015-28143 Notice http://www.gpo.gov/fdsys/pkg/FR-2015-11-05/pdf/2015-28143.pdf