<![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?registers=between&min-day=1&max-day=30 Sat, 04 May 2024 10:07:56 -0700 Sat, 04 May 2024 10:07:56 -0700 Justia Regulations Tracker Copyright 2011 Justia Inc. https://regulations.justia.com/images/justiafedregulations.gif <![CDATA[Federal Register Recent Federal Regulation Documents - Justia Regulation Tracker - Justia Regulations Tracker]]> https://regulations.justia.com/regulations/fedreg/agencies/securities-and-exchange-commission/2015/11?registers=between&min-day=1&max-day=30 Notice - Sunshine Act Meeting https://regulations.justia.com/regulations/fedreg/2015/11/30/2015-30481.html https://regulations.justia.com/regulations/fedreg/2015/11/30/2015-30481.html Mon, 30 Nov 2015 00:00:00 -0800 2015-30481 Notice http://www.gpo.gov/fdsys/pkg/FR-2015-11-30/pdf/2015-30481.pdf Notice - Self-Regulatory Organizations; NASDAQ OMX PHLX LLC; Order Approving a Proposed Rule Change Relating to the Active Specialized Quote Feed Port Fee https://regulations.justia.com/regulations/fedreg/2015/11/30/2015-30332.html https://regulations.justia.com/regulations/fedreg/2015/11/30/2015-30332.html Mon, 30 Nov 2015 00:00:00 -0800 2015-30332 Notice http://www.gpo.gov/fdsys/pkg/FR-2015-11-30/pdf/2015-30332.pdf Notice - Self-Regulatory Organizations; The Depository Trust Company; Notice of Filing of Proposed Rule Change Regarding the Acknowledgment of End-of-Day Net-Net Settlement Balances by Settling Banks https://regulations.justia.com/regulations/fedreg/2015/11/30/2015-30245.html https://regulations.justia.com/regulations/fedreg/2015/11/30/2015-30245.html Mon, 30 Nov 2015 00:00:00 -0800 2015-30245 Notice http://www.gpo.gov/fdsys/pkg/FR-2015-11-30/pdf/2015-30245.pdf Notice - Self-Regulatory Organizations; International Securities Exchange, LLC; Notice of Filing of Proposed Rule Change Relating Alternative Primary Market Makers https://regulations.justia.com/regulations/fedreg/2015/11/30/2015-30244.html https://regulations.justia.com/regulations/fedreg/2015/11/30/2015-30244.html Mon, 30 Nov 2015 00:00:00 -0800 2015-30244 Notice http://www.gpo.gov/fdsys/pkg/FR-2015-11-30/pdf/2015-30244.pdf Notice - Self-Regulatory Organizations; International Securities Exchange, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the Schedule of Fees https://regulations.justia.com/regulations/fedreg/2015/11/30/2015-30243.html https://regulations.justia.com/regulations/fedreg/2015/11/30/2015-30243.html Mon, 30 Nov 2015 00:00:00 -0800 2015-30243 Notice http://www.gpo.gov/fdsys/pkg/FR-2015-11-30/pdf/2015-30243.pdf Notice - Self-Regulatory Organizations; International Securities Exchange, LLC; Notice of Filing of Proposed Rule Change To Amend Rule 804(g) https://regulations.justia.com/regulations/fedreg/2015/11/30/2015-30242.html https://regulations.justia.com/regulations/fedreg/2015/11/30/2015-30242.html Mon, 30 Nov 2015 00:00:00 -0800 2015-30242 Notice http://www.gpo.gov/fdsys/pkg/FR-2015-11-30/pdf/2015-30242.pdf Notice - Self-Regulatory Organizations; ISE Gemini, LLC; Notice of Filing of Proposed Rule Change To Amend Rule 804(g) https://regulations.justia.com/regulations/fedreg/2015/11/30/2015-30241.html https://regulations.justia.com/regulations/fedreg/2015/11/30/2015-30241.html Mon, 30 Nov 2015 00:00:00 -0800 2015-30241 Notice http://www.gpo.gov/fdsys/pkg/FR-2015-11-30/pdf/2015-30241.pdf Notice - Notice of Applications for Deregistration Under Section 8(f) of the Investment Company Act of 1940 https://regulations.justia.com/regulations/fedreg/2015/11/27/2015-30093.html https://regulations.justia.com/regulations/fedreg/2015/11/27/2015-30093.html Fri, 27 Nov 2015 00:00:00 -0800 2015-30093 Notice http://www.gpo.gov/fdsys/pkg/FR-2015-11-27/pdf/2015-30093.pdf Notice - ETF Series Solutions and AlphaClone, Inc.; Notice of Application https://regulations.justia.com/regulations/fedreg/2015/11/27/2015-30092.html https://regulations.justia.com/regulations/fedreg/2015/11/27/2015-30092.html Fri, 27 Nov 2015 00:00:00 -0800 2015-30092 Notice http://www.gpo.gov/fdsys/pkg/FR-2015-11-27/pdf/2015-30092.pdf Notice - Self-Regulatory Organizations; International Securities Exchange, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the Schedule of Fees https://regulations.justia.com/regulations/fedreg/2015/11/27/2015-30090.html https://regulations.justia.com/regulations/fedreg/2015/11/27/2015-30090.html Fri, 27 Nov 2015 00:00:00 -0800 2015-30090 Notice http://www.gpo.gov/fdsys/pkg/FR-2015-11-27/pdf/2015-30090.pdf Notice - Self-Regulatory Organizations; ISE Gemini, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the Schedule of Fees https://regulations.justia.com/regulations/fedreg/2015/11/27/2015-30089.html https://regulations.justia.com/regulations/fedreg/2015/11/27/2015-30089.html Fri, 27 Nov 2015 00:00:00 -0800 2015-30089 Notice http://www.gpo.gov/fdsys/pkg/FR-2015-11-27/pdf/2015-30089.pdf Notice - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Market Order Spread Protection https://regulations.justia.com/regulations/fedreg/2015/11/27/2015-30088.html https://regulations.justia.com/regulations/fedreg/2015/11/27/2015-30088.html Fri, 27 Nov 2015 00:00:00 -0800 2015-30088 Notice http://www.gpo.gov/fdsys/pkg/FR-2015-11-27/pdf/2015-30088.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/2015/11/27/2015-30087.html https://regulations.justia.com/regulations/fedreg/2015/11/27/2015-30087.html Fri, 27 Nov 2015 00:00:00 -0800 2015-30087 Notice http://www.gpo.gov/fdsys/pkg/FR-2015-11-27/pdf/2015-30087.pdf Notice - Self-Regulatory Organizations; National Stock Exchange, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Adopt Rule 2.13, Mandatory Participation in Testing of Backup Systems https://regulations.justia.com/regulations/fedreg/2015/11/27/2015-30086.html https://regulations.justia.com/regulations/fedreg/2015/11/27/2015-30086.html Fri, 27 Nov 2015 00:00:00 -0800 2015-30086 Notice http://www.gpo.gov/fdsys/pkg/FR-2015-11-27/pdf/2015-30086.pdf Notice - Self-Regulatory Organizations; The Options Clearing Corporation; Notice of Designation of Longer Period for Commission Action on Proposed Rule Change To Modify The Options Clearing Corporation's Margin Methodology by Incorporating Variations in Implied Volatility https://regulations.justia.com/regulations/fedreg/2015/11/27/2015-30085.html https://regulations.justia.com/regulations/fedreg/2015/11/27/2015-30085.html Fri, 27 Nov 2015 00:00:00 -0800 2015-30085 Notice http://www.gpo.gov/fdsys/pkg/FR-2015-11-27/pdf/2015-30085.pdf Notice - Self-Regulatory Organizations; NASDAQ OMX BX, Inc.; Order Granting an Extension To Limited Exemption From Rule 612(c) of Regulation NMS in Connection With the Exchange's Retail Price Improvement Program Until December 1, 2016 https://regulations.justia.com/regulations/fedreg/2015/11/27/2015-30084.html https://regulations.justia.com/regulations/fedreg/2015/11/27/2015-30084.html Fri, 27 Nov 2015 00:00:00 -0800 2015-30084 Notice http://www.gpo.gov/fdsys/pkg/FR-2015-11-27/pdf/2015-30084.pdf Notice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Designation of a Longer Period for Commission Action on Proposed Rule Change To Adopt New Equity Trading Rules Relating to Auctions for Pillar, the Exchange's New Trading Technology Platform https://regulations.justia.com/regulations/fedreg/2015/11/27/2015-30083.html https://regulations.justia.com/regulations/fedreg/2015/11/27/2015-30083.html Fri, 27 Nov 2015 00:00:00 -0800 2015-30083 Notice http://www.gpo.gov/fdsys/pkg/FR-2015-11-27/pdf/2015-30083.pdf Notice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Adopting a Rule Relating to Fingerprint-Based Background Checks of Directors, Officers, Employees, and Others https://regulations.justia.com/regulations/fedreg/2015/11/27/2015-30082.html https://regulations.justia.com/regulations/fedreg/2015/11/27/2015-30082.html Fri, 27 Nov 2015 00:00:00 -0800 2015-30082 Notice http://www.gpo.gov/fdsys/pkg/FR-2015-11-27/pdf/2015-30082.pdf Notice - Self-Regulatory Organizations: Notice of Filing and Immediate Effectiveness of a Proposed Rule Change by Miami International Securities Exchange LLC To Amend Exchange Rule 519 https://regulations.justia.com/regulations/fedreg/2015/11/27/2015-30081.html https://regulations.justia.com/regulations/fedreg/2015/11/27/2015-30081.html Fri, 27 Nov 2015 00:00:00 -0800 2015-30081 Notice http://www.gpo.gov/fdsys/pkg/FR-2015-11-27/pdf/2015-30081.pdf Notice - Self-Regulatory Organizations; NASDAQ OMX BX, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to BX PRISM https://regulations.justia.com/regulations/fedreg/2015/11/27/2015-30079.html https://regulations.justia.com/regulations/fedreg/2015/11/27/2015-30079.html Fri, 27 Nov 2015 00:00:00 -0800 2015-30079 Notice http://www.gpo.gov/fdsys/pkg/FR-2015-11-27/pdf/2015-30079.pdf Notice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing of Proposed Rule Change Amending NYSE Arca Equities Rule 8.600 To Adopt Generic Listing Standards for Managed Fund Shares https://regulations.justia.com/regulations/fedreg/2015/11/27/2015-30078.html https://regulations.justia.com/regulations/fedreg/2015/11/27/2015-30078.html Fri, 27 Nov 2015 00:00:00 -0800 2015-30078 Notice http://www.gpo.gov/fdsys/pkg/FR-2015-11-27/pdf/2015-30078.pdf Notice - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Establishing Fees for the NYSE Integrated Feed https://regulations.justia.com/regulations/fedreg/2015/11/27/2015-30077.html https://regulations.justia.com/regulations/fedreg/2015/11/27/2015-30077.html Fri, 27 Nov 2015 00:00:00 -0800 2015-30077 Notice http://www.gpo.gov/fdsys/pkg/FR-2015-11-27/pdf/2015-30077.pdf Notice - Self-Regulatory Organizations; NASDAQ OMX BX, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Extend the Pilot Period for the Retail Price Improvement Program Until December 1, 2016 https://regulations.justia.com/regulations/fedreg/2015/11/27/2015-30076.html https://regulations.justia.com/regulations/fedreg/2015/11/27/2015-30076.html Fri, 27 Nov 2015 00:00:00 -0800 2015-30076 Notice http://www.gpo.gov/fdsys/pkg/FR-2015-11-27/pdf/2015-30076.pdf Notice - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to the Technical Disconnect Mechanism https://regulations.justia.com/regulations/fedreg/2015/11/27/2015-30075.html https://regulations.justia.com/regulations/fedreg/2015/11/27/2015-30075.html Fri, 27 Nov 2015 00:00:00 -0800 2015-30075 Notice http://www.gpo.gov/fdsys/pkg/FR-2015-11-27/pdf/2015-30075.pdf Notice - Self-Regulatory Organizations; C2 Options Exchange, Incorporated; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to the Technical Disconnect Mechanism https://regulations.justia.com/regulations/fedreg/2015/11/27/2015-30074.html https://regulations.justia.com/regulations/fedreg/2015/11/27/2015-30074.html Fri, 27 Nov 2015 00:00:00 -0800 2015-30074 Notice http://www.gpo.gov/fdsys/pkg/FR-2015-11-27/pdf/2015-30074.pdf Notice - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing of a Proposed Rule Change To Adopt FINRA Rule 6191(b) and Amend FINRA Rule 7440 To Implement the Data Collection Requirements of the Regulation NMS Plan To Implement a Tick Size Pilot Program https://regulations.justia.com/regulations/fedreg/2015/11/25/2015-29931.html https://regulations.justia.com/regulations/fedreg/2015/11/25/2015-29931.html Wed, 25 Nov 2015 00:00:00 -0800 2015-29931 Notice http://www.gpo.gov/fdsys/pkg/FR-2015-11-25/pdf/2015-29931.pdf Notice - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing of a Proposed Rule Change To Adopt FINRA Rule 6191(a) To Implement the Quoting and Trading Requirements of the Regulation NMS Plan To Implement a Tick Size Pilot Program https://regulations.justia.com/regulations/fedreg/2015/11/25/2015-29930.html https://regulations.justia.com/regulations/fedreg/2015/11/25/2015-29930.html Wed, 25 Nov 2015 00:00:00 -0800 2015-29930 Notice http://www.gpo.gov/fdsys/pkg/FR-2015-11-25/pdf/2015-29930.pdf Notice - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Proposed Rule Change To Trade Expiring MSCI EAFE Index Options Until 3:00 p.m. https://regulations.justia.com/regulations/fedreg/2015/11/25/2015-29929.html https://regulations.justia.com/regulations/fedreg/2015/11/25/2015-29929.html Wed, 25 Nov 2015 00:00:00 -0800 2015-29929 Notice http://www.gpo.gov/fdsys/pkg/FR-2015-11-25/pdf/2015-29929.pdf Notice - Order Granting a Conditional Exemption Under the Securities Exchange Act of 1934 From the Confirmation Requirements of Exchange Act Rule 10b-10(a) for Certain Transactions in Money Market Funds https://regulations.justia.com/regulations/fedreg/2015/11/25/2015-29928.html https://regulations.justia.com/regulations/fedreg/2015/11/25/2015-29928.html Wed, 25 Nov 2015 00:00:00 -0800 2015-29928 Notice http://www.gpo.gov/fdsys/pkg/FR-2015-11-25/pdf/2015-29928.pdf Notice - Self-Regulatory Organizations; ICE Clear Credit LLC; Order Approving Proposed Rule Change Related to the ICC Rule Enforcement Process for Missed Submissions https://regulations.justia.com/regulations/fedreg/2015/11/25/2015-29927.html https://regulations.justia.com/regulations/fedreg/2015/11/25/2015-29927.html Wed, 25 Nov 2015 00:00:00 -0800 2015-29927 Notice http://www.gpo.gov/fdsys/pkg/FR-2015-11-25/pdf/2015-29927.pdf Notice - Self-Regulatory Organizations; BATS Exchange, Inc.; Notice of Filing of Proposed Rule Change To Amend BATS Rule 14.11(i) To Adopt Generic Listing Standards for Managed Fund Shares https://regulations.justia.com/regulations/fedreg/2015/11/25/2015-29926.html https://regulations.justia.com/regulations/fedreg/2015/11/25/2015-29926.html Wed, 25 Nov 2015 00:00:00 -0800 2015-29926 Notice http://www.gpo.gov/fdsys/pkg/FR-2015-11-25/pdf/2015-29926.pdf Notice - ETF Series Solutions and U.S. Global Investors, Inc.; Notice of Application November 18, 2015 https://regulations.justia.com/regulations/fedreg/2015/11/24/2015-29868.html https://regulations.justia.com/regulations/fedreg/2015/11/24/2015-29868.html Tue, 24 Nov 2015 00:00:00 -0800 2015-29868 Notice http://www.gpo.gov/fdsys/pkg/FR-2015-11-24/pdf/2015-29868.pdf Notice - Self-Regulatory Organizations; NYSE Arca, Inc.; Order Instituting Proceedings to Determine Whether To Approve or Disapprove Proposed Rule Change Relating To Implementation of a Fee on Securities Lending and Repurchase Transactions With Respect to Shares of the CurrencyShares® Euro Trust and the CurrencyShares® Japanese Yen Trust https://regulations.justia.com/regulations/fedreg/2015/11/24/2015-29845.html https://regulations.justia.com/regulations/fedreg/2015/11/24/2015-29845.html Tue, 24 Nov 2015 00:00:00 -0800 2015-29845 Notice http://www.gpo.gov/fdsys/pkg/FR-2015-11-24/pdf/2015-29845.pdf Notice - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to Administration of Livevol X License Agreements https://regulations.justia.com/regulations/fedreg/2015/11/24/2015-29844.html https://regulations.justia.com/regulations/fedreg/2015/11/24/2015-29844.html Tue, 24 Nov 2015 00:00:00 -0800 2015-29844 Notice http://www.gpo.gov/fdsys/pkg/FR-2015-11-24/pdf/2015-29844.pdf Notice - Self-Regulatory Organizations; BATS Exchange, Inc.; Notice of Filing of a Proposed Rule Change, as Modified by Amendment No. 1 Thereto, To Adopt Rule 8.17 To Provide a Process for an Expedited Suspension Proceeding and Rule 12.15 To Prohibit Disruptive Quoting and Trading Activity https://regulations.justia.com/regulations/fedreg/2015/11/24/2015-29843.html https://regulations.justia.com/regulations/fedreg/2015/11/24/2015-29843.html Tue, 24 Nov 2015 00:00:00 -0800 2015-29843 Notice http://www.gpo.gov/fdsys/pkg/FR-2015-11-24/pdf/2015-29843.pdf Notice - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Order Granting Approval of Proposed Rule Change Relating to Margin Requirements https://regulations.justia.com/regulations/fedreg/2015/11/24/2015-29842.html https://regulations.justia.com/regulations/fedreg/2015/11/24/2015-29842.html Tue, 24 Nov 2015 00:00:00 -0800 2015-29842 Notice http://www.gpo.gov/fdsys/pkg/FR-2015-11-24/pdf/2015-29842.pdf Notice - Self-Regulatory Organizations; ISE Gemini, LLC; Notice of Withdrawal of a Proposed Rule Change Relating to a Corporate Transaction Involving Its Indirect Parent https://regulations.justia.com/regulations/fedreg/2015/11/24/2015-29841.html https://regulations.justia.com/regulations/fedreg/2015/11/24/2015-29841.html Tue, 24 Nov 2015 00:00:00 -0800 2015-29841 Notice http://www.gpo.gov/fdsys/pkg/FR-2015-11-24/pdf/2015-29841.pdf Notice - Self-Regulatory Organizations; International Securities Exchange, LLC; Notice of Withdrawal of a Proposed Rule Change Relating to a Corporate Transaction Involving Its Indirect Parent https://regulations.justia.com/regulations/fedreg/2015/11/24/2015-29840.html https://regulations.justia.com/regulations/fedreg/2015/11/24/2015-29840.html Tue, 24 Nov 2015 00:00:00 -0800 2015-29840 Notice http://www.gpo.gov/fdsys/pkg/FR-2015-11-24/pdf/2015-29840.pdf Notice - Self-Regulatory Organizations; C2 Options Exchange, Incorporated; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to Delivery of the Regulatory Element of C2's Continuing Education Program https://regulations.justia.com/regulations/fedreg/2015/11/24/2015-29839.html https://regulations.justia.com/regulations/fedreg/2015/11/24/2015-29839.html Tue, 24 Nov 2015 00:00:00 -0800 2015-29839 Notice http://www.gpo.gov/fdsys/pkg/FR-2015-11-24/pdf/2015-29839.pdf Notice - In the Matter of African Copper Corp., Genmed Holding Corp., and Yanglin Soybean, Inc., Order of Suspension of Trading https://regulations.justia.com/regulations/fedreg/2015/11/23/2015-29870.html https://regulations.justia.com/regulations/fedreg/2015/11/23/2015-29870.html Mon, 23 Nov 2015 00:00:00 -0800 2015-29870 Notice http://www.gpo.gov/fdsys/pkg/FR-2015-11-23/pdf/2015-29870.pdf Notice - Submission for OMB Review; Comment Request https://regulations.justia.com/regulations/fedreg/2015/11/23/2015-29745.html https://regulations.justia.com/regulations/fedreg/2015/11/23/2015-29745.html Mon, 23 Nov 2015 00:00:00 -0800 2015-29745 Notice http://www.gpo.gov/fdsys/pkg/FR-2015-11-23/pdf/2015-29745.pdf Notice - Self-Regulatory Organizations; National Securities Clearing Corporation; Order Approving Proposed Rule Change To Require Real-Time Trade Submission and To Prohibit Pre-Netting Practices Through NSCC's Correspondent Clearing Service https://regulations.justia.com/regulations/fedreg/2015/11/23/2015-29728.html https://regulations.justia.com/regulations/fedreg/2015/11/23/2015-29728.html Mon, 23 Nov 2015 00:00:00 -0800 2015-29728 Notice http://www.gpo.gov/fdsys/pkg/FR-2015-11-23/pdf/2015-29728.pdf 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 https://regulations.justia.com/regulations/fedreg/2015/11/23/2015-29727.html https://regulations.justia.com/regulations/fedreg/2015/11/23/2015-29727.html Mon, 23 Nov 2015 00:00:00 -0800 2015-29727 Notice http://www.gpo.gov/fdsys/pkg/FR-2015-11-23/pdf/2015-29727.pdf Notice - Self-Regulatory Organizations; National Securities Clearing Corporation; Order Approving 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 https://regulations.justia.com/regulations/fedreg/2015/11/23/2015-29726.html https://regulations.justia.com/regulations/fedreg/2015/11/23/2015-29726.html Mon, 23 Nov 2015 00:00:00 -0800 2015-29726 Notice http://www.gpo.gov/fdsys/pkg/FR-2015-11-23/pdf/2015-29726.pdf Notice - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Sponsored Access https://regulations.justia.com/regulations/fedreg/2015/11/23/2015-29713.html https://regulations.justia.com/regulations/fedreg/2015/11/23/2015-29713.html Mon, 23 Nov 2015 00:00:00 -0800 2015-29713 Notice http://www.gpo.gov/fdsys/pkg/FR-2015-11-23/pdf/2015-29713.pdf Notice - Self-Regulatory Organizations; BATS Y-Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Rule 11.13, Order Execution and Routing https://regulations.justia.com/regulations/fedreg/2015/11/23/2015-29712.html https://regulations.justia.com/regulations/fedreg/2015/11/23/2015-29712.html Mon, 23 Nov 2015 00:00:00 -0800 2015-29712 Notice http://www.gpo.gov/fdsys/pkg/FR-2015-11-23/pdf/2015-29712.pdf 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 https://regulations.justia.com/regulations/fedreg/2015/11/23/2015-29711.html https://regulations.justia.com/regulations/fedreg/2015/11/23/2015-29711.html Mon, 23 Nov 2015 00:00:00 -0800 2015-29711 Notice http://www.gpo.gov/fdsys/pkg/FR-2015-11-23/pdf/2015-29711.pdf Notice - Self-Regulatory Organizations; EDGA Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Rule 11.11, Routing to Away Trading Centers https://regulations.justia.com/regulations/fedreg/2015/11/23/2015-29710.html https://regulations.justia.com/regulations/fedreg/2015/11/23/2015-29710.html Mon, 23 Nov 2015 00:00:00 -0800 2015-29710 Notice http://www.gpo.gov/fdsys/pkg/FR-2015-11-23/pdf/2015-29710.pdf Notice - Self-Regulatory Organizations; NASDAQ OMX BX, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Sponsored Access https://regulations.justia.com/regulations/fedreg/2015/11/23/2015-29709.html https://regulations.justia.com/regulations/fedreg/2015/11/23/2015-29709.html Mon, 23 Nov 2015 00:00:00 -0800 2015-29709 Notice http://www.gpo.gov/fdsys/pkg/FR-2015-11-23/pdf/2015-29709.pdf Notice - Self-Regulatory Organizations; EDGX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Related to Fees https://regulations.justia.com/regulations/fedreg/2015/11/23/2015-29708.html https://regulations.justia.com/regulations/fedreg/2015/11/23/2015-29708.html Mon, 23 Nov 2015 00:00:00 -0800 2015-29708 Notice http://www.gpo.gov/fdsys/pkg/FR-2015-11-23/pdf/2015-29708.pdf Notice - Self-Regulatory Organizations; NASDAQ OMX PHLX LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Sponsored Access https://regulations.justia.com/regulations/fedreg/2015/11/23/2015-29707.html https://regulations.justia.com/regulations/fedreg/2015/11/23/2015-29707.html Mon, 23 Nov 2015 00:00:00 -0800 2015-29707 Notice http://www.gpo.gov/fdsys/pkg/FR-2015-11-23/pdf/2015-29707.pdf Notice - Self-Regulatory Organizations; International Securities Exchange, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the Schedule of Fees https://regulations.justia.com/regulations/fedreg/2015/11/23/2015-29706.html https://regulations.justia.com/regulations/fedreg/2015/11/23/2015-29706.html Mon, 23 Nov 2015 00:00:00 -0800 2015-29706 Notice http://www.gpo.gov/fdsys/pkg/FR-2015-11-23/pdf/2015-29706.pdf Notice - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the Market Quality Incentive Program and Certain Other Fees and Credits for Execution and Routing https://regulations.justia.com/regulations/fedreg/2015/11/23/2015-29705.html https://regulations.justia.com/regulations/fedreg/2015/11/23/2015-29705.html Mon, 23 Nov 2015 00:00:00 -0800 2015-29705 Notice http://www.gpo.gov/fdsys/pkg/FR-2015-11-23/pdf/2015-29705.pdf Notice - Self-Regulatory Organizations; BOX Options Exchange LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the Fee Schedule on the BOX Market LLC Options Facility https://regulations.justia.com/regulations/fedreg/2015/11/20/2015-29603.html https://regulations.justia.com/regulations/fedreg/2015/11/20/2015-29603.html Fri, 20 Nov 2015 00:00:00 -0800 2015-29603 Notice http://www.gpo.gov/fdsys/pkg/FR-2015-11-20/pdf/2015-29603.pdf Notice - Self-Regulatory Organizations; NASDAQ OMX PHLX LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change to a Market Access and Routing Subsidy or “MARS” https://regulations.justia.com/regulations/fedreg/2015/11/20/2015-29602.html https://regulations.justia.com/regulations/fedreg/2015/11/20/2015-29602.html Fri, 20 Nov 2015 00:00:00 -0800 2015-29602 Notice http://www.gpo.gov/fdsys/pkg/FR-2015-11-20/pdf/2015-29602.pdf Notice - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Create a Market Access and Routing Subsidy or “MARS” https://regulations.justia.com/regulations/fedreg/2015/11/20/2015-29601.html https://regulations.justia.com/regulations/fedreg/2015/11/20/2015-29601.html Fri, 20 Nov 2015 00:00:00 -0800 2015-29601 Notice http://www.gpo.gov/fdsys/pkg/FR-2015-11-20/pdf/2015-29601.pdf Notice - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Designation of a Longer Period for Commission Action on a Proposed Rule Change To Merge FINRA Dispute Resolution, Inc. Into and With FINRA Regulation, Inc. https://regulations.justia.com/regulations/fedreg/2015/11/20/2015-29600.html https://regulations.justia.com/regulations/fedreg/2015/11/20/2015-29600.html Fri, 20 Nov 2015 00:00:00 -0800 2015-29600 Notice http://www.gpo.gov/fdsys/pkg/FR-2015-11-20/pdf/2015-29600.pdf Notice - Self-Regulatory Organizations; Municipal Securities Rulemaking Board; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Adopt Proposed New MSRB Rule A-18, on Mandatory Participation in Business Continuity and Disaster Recovery Testing https://regulations.justia.com/regulations/fedreg/2015/11/20/2015-29599.html https://regulations.justia.com/regulations/fedreg/2015/11/20/2015-29599.html Fri, 20 Nov 2015 00:00:00 -0800 2015-29599 Notice http://www.gpo.gov/fdsys/pkg/FR-2015-11-20/pdf/2015-29599.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/2015/11/20/2015-29598.html https://regulations.justia.com/regulations/fedreg/2015/11/20/2015-29598.html Fri, 20 Nov 2015 00:00:00 -0800 2015-29598 Notice http://www.gpo.gov/fdsys/pkg/FR-2015-11-20/pdf/2015-29598.pdf Notice - Self-Regulatory Organizations; NASDAQ OMX PHLX LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Rule 1014, “Obligations and Restrictions Applicable to Specialists and Registered Options Traders” https://regulations.justia.com/regulations/fedreg/2015/11/20/2015-29597.html https://regulations.justia.com/regulations/fedreg/2015/11/20/2015-29597.html Fri, 20 Nov 2015 00:00:00 -0800 2015-29597 Notice http://www.gpo.gov/fdsys/pkg/FR-2015-11-20/pdf/2015-29597.pdf Notice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the NYSE Arca Options Fee Schedule Effective December 1, 2015 https://regulations.justia.com/regulations/fedreg/2015/11/19/2015-29491.html https://regulations.justia.com/regulations/fedreg/2015/11/19/2015-29491.html Thu, 19 Nov 2015 00:00:00 -0800 2015-29491 Notice http://www.gpo.gov/fdsys/pkg/FR-2015-11-19/pdf/2015-29491.pdf Notice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending the NYSE Arca Options Fee Schedule https://regulations.justia.com/regulations/fedreg/2015/11/19/2015-29490.html https://regulations.justia.com/regulations/fedreg/2015/11/19/2015-29490.html Thu, 19 Nov 2015 00:00:00 -0800 2015-29490 Notice http://www.gpo.gov/fdsys/pkg/FR-2015-11-19/pdf/2015-29490.pdf Notice - Self-Regulatory Organizations; ICE Clear Credit LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Revise ICC End-of-Day Price Discovery Policies and Procedures https://regulations.justia.com/regulations/fedreg/2015/11/19/2015-29489.html https://regulations.justia.com/regulations/fedreg/2015/11/19/2015-29489.html Thu, 19 Nov 2015 00:00:00 -0800 2015-29489 Notice http://www.gpo.gov/fdsys/pkg/FR-2015-11-19/pdf/2015-29489.pdf Notice - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing of Amendment Nos. 3 and 5 and Order Granting Accelerated Approval of a Proposed Rule Change, as Modified by Amendment Nos. 1, 3 and 5, Amending Exchange Disciplinary Rules To Facilitate the Reintegration of Certain Regulatory Functions From Financial Industry Regulatory Authority, Inc. https://regulations.justia.com/regulations/fedreg/2015/11/19/2015-29488.html https://regulations.justia.com/regulations/fedreg/2015/11/19/2015-29488.html Thu, 19 Nov 2015 00:00:00 -0800 2015-29488 Notice http://www.gpo.gov/fdsys/pkg/FR-2015-11-19/pdf/2015-29488.pdf Notice - Sunshine Act Meeting https://regulations.justia.com/regulations/fedreg/2015/11/18/2015-29502.html https://regulations.justia.com/regulations/fedreg/2015/11/18/2015-29502.html Wed, 18 Nov 2015 00:00:00 -0800 2015-29502 Notice http://www.gpo.gov/fdsys/pkg/FR-2015-11-18/pdf/2015-29502.pdf Notice - Sunshine Act Meeting https://regulations.justia.com/regulations/fedreg/2015/11/18/2015-29501.html https://regulations.justia.com/regulations/fedreg/2015/11/18/2015-29501.html Wed, 18 Nov 2015 00:00:00 -0800 2015-29501 Notice http://www.gpo.gov/fdsys/pkg/FR-2015-11-18/pdf/2015-29501.pdf Notice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing of Proposed Rule Change To Adopt a New Policy Relating to Trade Reports for Exchange Traded Products https://regulations.justia.com/regulations/fedreg/2015/11/18/2015-29395.html https://regulations.justia.com/regulations/fedreg/2015/11/18/2015-29395.html Wed, 18 Nov 2015 00:00:00 -0800 2015-29395 Notice http://www.gpo.gov/fdsys/pkg/FR-2015-11-18/pdf/2015-29395.pdf Notice - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Order Instituting Proceedings To Determine Whether To Approve or Disapprove Proposed Rule Change To Adopt FINRA Rule 3210 (Accounts at Other Broker-Dealers and Financial Institutions), as Modified by Partial Amendment No. 1, in the Consolidated FINRA Rulebook https://regulations.justia.com/regulations/fedreg/2015/11/18/2015-29394.html https://regulations.justia.com/regulations/fedreg/2015/11/18/2015-29394.html Wed, 18 Nov 2015 00:00:00 -0800 2015-29394 Notice http://www.gpo.gov/fdsys/pkg/FR-2015-11-18/pdf/2015-29394.pdf Notice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Discontinue the NYSE Arca Realtime Reference Price Market Data Product Offering https://regulations.justia.com/regulations/fedreg/2015/11/18/2015-29393.html https://regulations.justia.com/regulations/fedreg/2015/11/18/2015-29393.html Wed, 18 Nov 2015 00:00:00 -0800 2015-29393 Notice http://www.gpo.gov/fdsys/pkg/FR-2015-11-18/pdf/2015-29393.pdf Notice - Self-Regulatory Organizations; NYSE MKT LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Discontinue the NYSE MKT Realtime Reference Price Market Data Product Offering https://regulations.justia.com/regulations/fedreg/2015/11/18/2015-29392.html https://regulations.justia.com/regulations/fedreg/2015/11/18/2015-29392.html Wed, 18 Nov 2015 00:00:00 -0800 2015-29392 Notice http://www.gpo.gov/fdsys/pkg/FR-2015-11-18/pdf/2015-29392.pdf Notice - Sunshine Act Meeting https://regulations.justia.com/regulations/fedreg/2015/11/17/2015-29408.html https://regulations.justia.com/regulations/fedreg/2015/11/17/2015-29408.html Tue, 17 Nov 2015 00:00:00 -0800 2015-29408 Notice http://www.gpo.gov/fdsys/pkg/FR-2015-11-17/pdf/2015-29408.pdf Notice - Self-Regulatory Organizations; NYSE MKT LLC; Notice of Filing of Proposed Rule Change Constituting a Stated Interpretation With Respect to the Meaning, Administration, and Enforcement of Rule 28-Equities https://regulations.justia.com/regulations/fedreg/2015/11/17/2015-29290.html https://regulations.justia.com/regulations/fedreg/2015/11/17/2015-29290.html Tue, 17 Nov 2015 00:00:00 -0800 2015-29290 Notice http://www.gpo.gov/fdsys/pkg/FR-2015-11-17/pdf/2015-29290.pdf Notice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to the Listing and Trading of Shares of the RiverFront Strategic Income Fund Under NYSE Arca Equities Rule 8.600 https://regulations.justia.com/regulations/fedreg/2015/11/17/2015-29232.html https://regulations.justia.com/regulations/fedreg/2015/11/17/2015-29232.html Tue, 17 Nov 2015 00:00:00 -0800 2015-29232 Notice http://www.gpo.gov/fdsys/pkg/FR-2015-11-17/pdf/2015-29232.pdf Notice - Self-Regulatory Organizations; BATS Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Related to Fees for BZX Options https://regulations.justia.com/regulations/fedreg/2015/11/17/2015-29231.html https://regulations.justia.com/regulations/fedreg/2015/11/17/2015-29231.html Tue, 17 Nov 2015 00:00:00 -0800 2015-29231 Notice http://www.gpo.gov/fdsys/pkg/FR-2015-11-17/pdf/2015-29231.pdf Notice - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Establish the Securities Trader and Securities Trader Principal Registration Categories and To Retire Other Registration Categories https://regulations.justia.com/regulations/fedreg/2015/11/17/2015-29230.html https://regulations.justia.com/regulations/fedreg/2015/11/17/2015-29230.html Tue, 17 Nov 2015 00:00:00 -0800 2015-29230 Notice http://www.gpo.gov/fdsys/pkg/FR-2015-11-17/pdf/2015-29230.pdf Notice - Self-Regulatory Organizations; EDGX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Related to Fees https://regulations.justia.com/regulations/fedreg/2015/11/17/2015-29229.html https://regulations.justia.com/regulations/fedreg/2015/11/17/2015-29229.html Tue, 17 Nov 2015 00:00:00 -0800 2015-29229 Notice http://www.gpo.gov/fdsys/pkg/FR-2015-11-17/pdf/2015-29229.pdf Notice - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Constituting a Stated Interpretation With Respect to the Meaning, Administration, and Enforcement of Rule 28 https://regulations.justia.com/regulations/fedreg/2015/11/17/2015-29228.html https://regulations.justia.com/regulations/fedreg/2015/11/17/2015-29228.html Tue, 17 Nov 2015 00:00:00 -0800 2015-29228 Notice http://www.gpo.gov/fdsys/pkg/FR-2015-11-17/pdf/2015-29228.pdf Notice - Self-Regulatory Organizations; The Options Clearing Corporation; Notice of Filing of an Advance Notice To Modify the Options Clearing Corporation's Margin Methodology by Incorporating Variations in Implied Volatility https://regulations.justia.com/regulations/fedreg/2015/11/17/2015-29227.html https://regulations.justia.com/regulations/fedreg/2015/11/17/2015-29227.html Tue, 17 Nov 2015 00:00:00 -0800 2015-29227 Notice http://www.gpo.gov/fdsys/pkg/FR-2015-11-17/pdf/2015-29227.pdf Notice - Self-Regulatory Organizations; Municipal Securities Rulemaking Board; Notice of Filing of Amendment No. 2 to Proposed Rule Change Consisting of Proposed New Rule G-42, on Duties of Non-Solicitor Municipal Advisors, and Proposed Amendments to Rule G-8, on Books and Records To Be Made by Brokers, Dealers, Municipal Securities Dealers, and Municipal Advisors https://regulations.justia.com/regulations/fedreg/2015/11/17/2015-29226.html https://regulations.justia.com/regulations/fedreg/2015/11/17/2015-29226.html Tue, 17 Nov 2015 00:00:00 -0800 2015-29226 Notice http://www.gpo.gov/fdsys/pkg/FR-2015-11-17/pdf/2015-29226.pdf Notice - Self-Regulatory Organizations; NASDAQ OMX BX, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Establish the Securities Trader and Securities Trader Principal Registration Categories https://regulations.justia.com/regulations/fedreg/2015/11/17/2015-29225.html https://regulations.justia.com/regulations/fedreg/2015/11/17/2015-29225.html Tue, 17 Nov 2015 00:00:00 -0800 2015-29225 Notice http://www.gpo.gov/fdsys/pkg/FR-2015-11-17/pdf/2015-29225.pdf Notice - Self-Regulatory Organizations; C2 Options Exchange, Incorporated; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to Qualification and Registration of Permit Holders https://regulations.justia.com/regulations/fedreg/2015/11/17/2015-29224.html https://regulations.justia.com/regulations/fedreg/2015/11/17/2015-29224.html Tue, 17 Nov 2015 00:00:00 -0800 2015-29224 Notice http://www.gpo.gov/fdsys/pkg/FR-2015-11-17/pdf/2015-29224.pdf Notice - Self-Regulatory Organizations; BATS Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Related to Fees https://regulations.justia.com/regulations/fedreg/2015/11/17/2015-29223.html https://regulations.justia.com/regulations/fedreg/2015/11/17/2015-29223.html Tue, 17 Nov 2015 00:00:00 -0800 2015-29223 Notice http://www.gpo.gov/fdsys/pkg/FR-2015-11-17/pdf/2015-29223.pdf Notice - Self-Regulatory Organizations; BATS Y-Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Related to Fees https://regulations.justia.com/regulations/fedreg/2015/11/17/2015-29222.html https://regulations.justia.com/regulations/fedreg/2015/11/17/2015-29222.html Tue, 17 Nov 2015 00:00:00 -0800 2015-29222 Notice http://www.gpo.gov/fdsys/pkg/FR-2015-11-17/pdf/2015-29222.pdf Notice - Self-Regulatory Organizations; EDGA Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Related to Fees https://regulations.justia.com/regulations/fedreg/2015/11/17/2015-29221.html https://regulations.justia.com/regulations/fedreg/2015/11/17/2015-29221.html Tue, 17 Nov 2015 00:00:00 -0800 2015-29221 Notice http://www.gpo.gov/fdsys/pkg/FR-2015-11-17/pdf/2015-29221.pdf Notice - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Discontinue the NYSE Realtime Reference Price Market Data Product Offering https://regulations.justia.com/regulations/fedreg/2015/11/17/2015-29219.html https://regulations.justia.com/regulations/fedreg/2015/11/17/2015-29219.html Tue, 17 Nov 2015 00:00:00 -0800 2015-29219 Notice http://www.gpo.gov/fdsys/pkg/FR-2015-11-17/pdf/2015-29219.pdf Notice - Self-Regulatory Organizations: Miami International Securities Exchange LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Delete Exchange Rule 610, Limitations on Dealings https://regulations.justia.com/regulations/fedreg/2015/11/17/2015-29218.html https://regulations.justia.com/regulations/fedreg/2015/11/17/2015-29218.html Tue, 17 Nov 2015 00:00:00 -0800 2015-29218 Notice http://www.gpo.gov/fdsys/pkg/FR-2015-11-17/pdf/2015-29218.pdf Notice - Self-Regulatory Organizations; NASDAQ OMX PHLX LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Regarding NASDAQ Last Sale Plus https://regulations.justia.com/regulations/fedreg/2015/11/17/2015-29217.html https://regulations.justia.com/regulations/fedreg/2015/11/17/2015-29217.html Tue, 17 Nov 2015 00:00:00 -0800 2015-29217 Notice http://www.gpo.gov/fdsys/pkg/FR-2015-11-17/pdf/2015-29217.pdf Notice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Making Certain Representations Relating to the NYSE Best Quote & Trades Data Feed https://regulations.justia.com/regulations/fedreg/2015/11/17/2015-29216.html https://regulations.justia.com/regulations/fedreg/2015/11/17/2015-29216.html Tue, 17 Nov 2015 00:00:00 -0800 2015-29216 Notice http://www.gpo.gov/fdsys/pkg/FR-2015-11-17/pdf/2015-29216.pdf Notice - Self-Regulatory Organizations; ISE Gemini, LLC; Notice of Filing of Proposed Rule Change Relating to a Corporate Transaction Involving Its Indirect Parent https://regulations.justia.com/regulations/fedreg/2015/11/17/2015-29215.html https://regulations.justia.com/regulations/fedreg/2015/11/17/2015-29215.html Tue, 17 Nov 2015 00:00:00 -0800 2015-29215 Notice http://www.gpo.gov/fdsys/pkg/FR-2015-11-17/pdf/2015-29215.pdf Notice - Self-Regulatory Organizations; International Securities Exchange, LLC; Notice of Filing of Proposed Rule Change Relating to a Corporate Transaction Involving Its Indirect Parent https://regulations.justia.com/regulations/fedreg/2015/11/17/2015-29214.html https://regulations.justia.com/regulations/fedreg/2015/11/17/2015-29214.html Tue, 17 Nov 2015 00:00:00 -0800 2015-29214 Notice http://www.gpo.gov/fdsys/pkg/FR-2015-11-17/pdf/2015-29214.pdf Notice - Self-Regulatory Organizations; NASDAQ OMX PHLX LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Establish the Securities Trader and Securities Trader Principal Registration Categories and To Retire Other Registration Categories https://regulations.justia.com/regulations/fedreg/2015/11/17/2015-29213.html https://regulations.justia.com/regulations/fedreg/2015/11/17/2015-29213.html Tue, 17 Nov 2015 00:00:00 -0800 2015-29213 Notice http://www.gpo.gov/fdsys/pkg/FR-2015-11-17/pdf/2015-29213.pdf Notice - Self-Regulatory Organizations; NYSE MKT LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Making Certain Representations Relating to the NYSE Best Quote & Trades Data Feed https://regulations.justia.com/regulations/fedreg/2015/11/17/2015-29212.html https://regulations.justia.com/regulations/fedreg/2015/11/17/2015-29212.html Tue, 17 Nov 2015 00:00:00 -0800 2015-29212 Notice http://www.gpo.gov/fdsys/pkg/FR-2015-11-17/pdf/2015-29212.pdf Notice - THL Credit, Inc., et al.; Notice of Application https://regulations.justia.com/regulations/fedreg/2015/11/17/2015-29204.html https://regulations.justia.com/regulations/fedreg/2015/11/17/2015-29204.html Tue, 17 Nov 2015 00:00:00 -0800 2015-29204 Notice http://www.gpo.gov/fdsys/pkg/FR-2015-11-17/pdf/2015-29204.pdf Notice - Submission for OMB Review; Comment Request https://regulations.justia.com/regulations/fedreg/2015/11/17/2015-29203.html https://regulations.justia.com/regulations/fedreg/2015/11/17/2015-29203.html Tue, 17 Nov 2015 00:00:00 -0800 2015-29203 Notice http://www.gpo.gov/fdsys/pkg/FR-2015-11-17/pdf/2015-29203.pdf Notice - Submission for OMB Review; Comment Request https://regulations.justia.com/regulations/fedreg/2015/11/17/2015-29202.html https://regulations.justia.com/regulations/fedreg/2015/11/17/2015-29202.html Tue, 17 Nov 2015 00:00:00 -0800 2015-29202 Notice http://www.gpo.gov/fdsys/pkg/FR-2015-11-17/pdf/2015-29202.pdf Notice - In the Matter of Riverdale Mining Inc., and Tresoro Mining Corp., Order of Suspension of Trading https://regulations.justia.com/regulations/fedreg/2015/11/16/2015-29288.html https://regulations.justia.com/regulations/fedreg/2015/11/16/2015-29288.html Mon, 16 Nov 2015 00:00:00 -0800 2015-29288 Notice http://www.gpo.gov/fdsys/pkg/FR-2015-11-16/pdf/2015-29288.pdf Notice - In the Matter of Tirex Corporation, Order of Suspension of Trading https://regulations.justia.com/regulations/fedreg/2015/11/16/2015-29287.html https://regulations.justia.com/regulations/fedreg/2015/11/16/2015-29287.html Mon, 16 Nov 2015 00:00:00 -0800 2015-29287 Notice http://www.gpo.gov/fdsys/pkg/FR-2015-11-16/pdf/2015-29287.pdf Notice - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Its Price List to Modify Certain Fees for Transactions that Remove Liquidity from the Exchange https://regulations.justia.com/regulations/fedreg/2015/11/16/2015-28865.html https://regulations.justia.com/regulations/fedreg/2015/11/16/2015-28865.html Mon, 16 Nov 2015 00:00:00 -0800 2015-28865 Notice http://www.gpo.gov/fdsys/pkg/FR-2015-11-16/pdf/2015-28865.pdf Notice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Adopt a Principles-Based Approach To Prohibit the Misuse of Material Nonpublic Information by Lead Market Makers (“LMMs”) by Deleting Rule 6.83 https://regulations.justia.com/regulations/fedreg/2015/11/16/2015-28864.html https://regulations.justia.com/regulations/fedreg/2015/11/16/2015-28864.html Mon, 16 Nov 2015 00:00:00 -0800 2015-28864 Notice http://www.gpo.gov/fdsys/pkg/FR-2015-11-16/pdf/2015-28864.pdf Notice - Self-Regulatory Organizations; BATS Exchange, Inc.; Notice of Filing of Amendments Nos. 1 and 2 and Order Granting Accelerated Approval of a Proposed Rule Change 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. https://regulations.justia.com/regulations/fedreg/2015/11/16/2015-28863.html https://regulations.justia.com/regulations/fedreg/2015/11/16/2015-28863.html Mon, 16 Nov 2015 00:00:00 -0800 2015-28863 Notice http://www.gpo.gov/fdsys/pkg/FR-2015-11-16/pdf/2015-28863.pdf Notice - Self-Regulatory Organizations; BATS Exchange, Inc.; Notice of Withdrawal of a Proposed Rule Change, as Modified by Amendment No. 1 Thereto, To Adopt New Rule 8.17 To Provide a Process for an Expedited Suspension Proceeding and Rule 12.15 To Prohibit Layering and Spoofing on BATS Exchange, Inc. https://regulations.justia.com/regulations/fedreg/2015/11/16/2015-28862.html https://regulations.justia.com/regulations/fedreg/2015/11/16/2015-28862.html Mon, 16 Nov 2015 00:00:00 -0800 2015-28862 Notice http://www.gpo.gov/fdsys/pkg/FR-2015-11-16/pdf/2015-28862.pdf Notice - Self-Regulatory Organizations; Miami International Securities Exchange LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend MIAX Rule 521 https://regulations.justia.com/regulations/fedreg/2015/11/16/2015-28861.html https://regulations.justia.com/regulations/fedreg/2015/11/16/2015-28861.html Mon, 16 Nov 2015 00:00:00 -0800 2015-28861 Notice http://www.gpo.gov/fdsys/pkg/FR-2015-11-16/pdf/2015-28861.pdf Notice - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Establish an Examination Fee for the Securities Trader Qualification Examination (Series 57) https://regulations.justia.com/regulations/fedreg/2015/11/16/2015-28860.html https://regulations.justia.com/regulations/fedreg/2015/11/16/2015-28860.html Mon, 16 Nov 2015 00:00:00 -0800 2015-28860 Notice http://www.gpo.gov/fdsys/pkg/FR-2015-11-16/pdf/2015-28860.pdf Rule - Crowdfunding https://regulations.justia.com/regulations/fedreg/2015/11/16/2015-28220.html https://regulations.justia.com/regulations/fedreg/2015/11/16/2015-28220.html Mon, 16 Nov 2015 00:00:00 -0800 2015-28220 Rule http://www.gpo.gov/fdsys/pkg/FR-2015-11-16/pdf/2015-28220.pdf Notice - Self-Regulatory Organizations; National Stock Exchange, Inc.; Notice of Filing of Proposed Rule Change Amending Rule 11.1, Hours of Trading, To Rescind Interpretations and Policies .01, “Cessation of Trading Operations on NSX;” Adopting Rule 11.25 Relating to Use of Market Data Feeds; Amending NSX Rule 11.13 Relating to the Order Delivery Mode of Order Interaction; Amending NSX Rule 11.11 To Remove Certain Order Types and Correct Technical Deficiencies in the Numbering of Certain Sections of the Rule; and Amending Rule 11.12, Cross Message and Making Conforming Amendments to NSX Rules 11.11(c) and 16.2 https://regulations.justia.com/regulations/fedreg/2015/11/13/2015-28811.html https://regulations.justia.com/regulations/fedreg/2015/11/13/2015-28811.html Fri, 13 Nov 2015 00:00:00 -0800 2015-28811 Notice http://www.gpo.gov/fdsys/pkg/FR-2015-11-13/pdf/2015-28811.pdf 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 https://regulations.justia.com/regulations/fedreg/2015/11/13/2015-28810.html https://regulations.justia.com/regulations/fedreg/2015/11/13/2015-28810.html Fri, 13 Nov 2015 00:00:00 -0800 2015-28810 Notice http://www.gpo.gov/fdsys/pkg/FR-2015-11-13/pdf/2015-28810.pdf Notice - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend FINRA Rule 7640A (Data Products Offered by Nasdaq) https://regulations.justia.com/regulations/fedreg/2015/11/13/2015-28809.html https://regulations.justia.com/regulations/fedreg/2015/11/13/2015-28809.html Fri, 13 Nov 2015 00:00:00 -0800 2015-28809 Notice http://www.gpo.gov/fdsys/pkg/FR-2015-11-13/pdf/2015-28809.pdf Notice - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Regarding NASDAQ Last Sale Plus https://regulations.justia.com/regulations/fedreg/2015/11/13/2015-28808.html https://regulations.justia.com/regulations/fedreg/2015/11/13/2015-28808.html Fri, 13 Nov 2015 00:00:00 -0800 2015-28808 Notice http://www.gpo.gov/fdsys/pkg/FR-2015-11-13/pdf/2015-28808.pdf Notice - Self-Regulatory Organizations; NASDAQ OMX BX, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Regarding NASDAQ Last Sale Plus https://regulations.justia.com/regulations/fedreg/2015/11/13/2015-28807.html https://regulations.justia.com/regulations/fedreg/2015/11/13/2015-28807.html Fri, 13 Nov 2015 00:00:00 -0800 2015-28807 Notice http://www.gpo.gov/fdsys/pkg/FR-2015-11-13/pdf/2015-28807.pdf Notice - Self-Regulatory Organizations; Municipal Securities Rulemaking Board; Order Granting Approval of a Proposed Rule Change Consisting of Proposed Amendments to Rule G-20, on Gifts, Gratuities and Non-Cash Compensation, and Rule G-8, on Books and Records To Be Made by Brokers, Dealers, Municipal Securities Dealers, and Municipal Advisors, and the Deletion of Prior Interpretive Guidance https://regulations.justia.com/regulations/fedreg/2015/11/13/2015-28806.html https://regulations.justia.com/regulations/fedreg/2015/11/13/2015-28806.html Fri, 13 Nov 2015 00:00:00 -0800 2015-28806 Notice http://www.gpo.gov/fdsys/pkg/FR-2015-11-13/pdf/2015-28806.pdf Notice - Order Granting Exemption From Compliance With the National Market System Plan To Implement a Tick Size Pilot Program https://regulations.justia.com/regulations/fedreg/2015/11/13/2015-28795.html https://regulations.justia.com/regulations/fedreg/2015/11/13/2015-28795.html Fri, 13 Nov 2015 00:00:00 -0800 2015-28795 Notice http://www.gpo.gov/fdsys/pkg/FR-2015-11-13/pdf/2015-28795.pdf Notice - Good Hill Partners LP and Good Hill ETF Trust; Notice of Application https://regulations.justia.com/regulations/fedreg/2015/11/12/2015-28796.html https://regulations.justia.com/regulations/fedreg/2015/11/12/2015-28796.html Thu, 12 Nov 2015 00:00:00 -0800 2015-28796 Notice http://www.gpo.gov/fdsys/pkg/FR-2015-11-12/pdf/2015-28796.pdf Notice - Self-Regulatory Organizations; NASDAQ OMX PHLX LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Adopt Business Continuity and Disaster Recovery Plans Testing Requirements https://regulations.justia.com/regulations/fedreg/2015/11/12/2015-28698.html https://regulations.justia.com/regulations/fedreg/2015/11/12/2015-28698.html Thu, 12 Nov 2015 00:00:00 -0800 2015-28698 Notice http://www.gpo.gov/fdsys/pkg/FR-2015-11-12/pdf/2015-28698.pdf Notice - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Adopt Business Continuity and Disaster Recovery Plans Testing Requirements https://regulations.justia.com/regulations/fedreg/2015/11/12/2015-28697.html https://regulations.justia.com/regulations/fedreg/2015/11/12/2015-28697.html Thu, 12 Nov 2015 00:00:00 -0800 2015-28697 Notice http://www.gpo.gov/fdsys/pkg/FR-2015-11-12/pdf/2015-28697.pdf Notice - Wildermuth Endowment Strategy Fund and Wildermuth Advisory, LLC; Notice of Application https://regulations.justia.com/regulations/fedreg/2015/11/12/2015-28696.html https://regulations.justia.com/regulations/fedreg/2015/11/12/2015-28696.html Thu, 12 Nov 2015 00:00:00 -0800 2015-28696 Notice http://www.gpo.gov/fdsys/pkg/FR-2015-11-12/pdf/2015-28696.pdf Notice - Legg Mason Partners Fund Advisor, LLC, et al.; Notice of Application https://regulations.justia.com/regulations/fedreg/2015/11/12/2015-28695.html https://regulations.justia.com/regulations/fedreg/2015/11/12/2015-28695.html Thu, 12 Nov 2015 00:00:00 -0800 2015-28695 Notice http://www.gpo.gov/fdsys/pkg/FR-2015-11-12/pdf/2015-28695.pdf Notice - Forum Funds and Exceed Advisory LLC; Notice of Application https://regulations.justia.com/regulations/fedreg/2015/11/12/2015-28694.html https://regulations.justia.com/regulations/fedreg/2015/11/12/2015-28694.html Thu, 12 Nov 2015 00:00:00 -0800 2015-28694 Notice http://www.gpo.gov/fdsys/pkg/FR-2015-11-12/pdf/2015-28694.pdf Notice - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Provide That the Co-Location Services Offered by the Exchange Include 40 Gigabit Internet Protocol Network Connections in the Exchange's Data Center and To Amend the Exchange's Price List To Implement Fees for the New Service https://regulations.justia.com/regulations/fedreg/2015/11/12/2015-28693.html https://regulations.justia.com/regulations/fedreg/2015/11/12/2015-28693.html Thu, 12 Nov 2015 00:00:00 -0800 2015-28693 Notice http://www.gpo.gov/fdsys/pkg/FR-2015-11-12/pdf/2015-28693.pdf Notice - Self-Regulatory Organizations; NASDAQ OMX BX, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Related to Price Improving and Post-Only Orders https://regulations.justia.com/regulations/fedreg/2015/11/12/2015-28692.html https://regulations.justia.com/regulations/fedreg/2015/11/12/2015-28692.html Thu, 12 Nov 2015 00:00:00 -0800 2015-28692 Notice http://www.gpo.gov/fdsys/pkg/FR-2015-11-12/pdf/2015-28692.pdf Notice - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing of Proposed Rule Change to the Co-Location Services Offered by the Exchange (the Offering of a Wireless Connection To Allow Users To Receive Market Data Feeds From Third Party Markets) and To Reflect Changes to the Exchange's Price List Related to These Services https://regulations.justia.com/regulations/fedreg/2015/11/12/2015-28691.html https://regulations.justia.com/regulations/fedreg/2015/11/12/2015-28691.html Thu, 12 Nov 2015 00:00:00 -0800 2015-28691 Notice http://www.gpo.gov/fdsys/pkg/FR-2015-11-12/pdf/2015-28691.pdf Notice - Self-Regulatory Organizations; NYSE MKT LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Provide That the Co-Location Services Offered by the Exchange Include 40 Gigabit Internet Protocol Network Connections in the Exchange's Data Center and To Amend the NYSE MKT Equities Price List and the NYSE Amex Options Fee Schedule To Implement Fees for the New Service https://regulations.justia.com/regulations/fedreg/2015/11/12/2015-28690.html https://regulations.justia.com/regulations/fedreg/2015/11/12/2015-28690.html Thu, 12 Nov 2015 00:00:00 -0800 2015-28690 Notice http://www.gpo.gov/fdsys/pkg/FR-2015-11-12/pdf/2015-28690.pdf Notice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Provide That the Co-Location Services Offered by the Exchange Include 40 Gigabit Internet Protocol Network Connections in the Exchange's Data Center and To Amend the Exchange's Price List To Implement Fees for the New Services https://regulations.justia.com/regulations/fedreg/2015/11/12/2015-28689.html https://regulations.justia.com/regulations/fedreg/2015/11/12/2015-28689.html Thu, 12 Nov 2015 00:00:00 -0800 2015-28689 Notice http://www.gpo.gov/fdsys/pkg/FR-2015-11-12/pdf/2015-28689.pdf Notice - Self-Regulatory Organizations; NASDAQ OMX BX, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Adopt Business Continuity and Disaster Recovery Plans Testing Requirements https://regulations.justia.com/regulations/fedreg/2015/11/12/2015-28688.html https://regulations.justia.com/regulations/fedreg/2015/11/12/2015-28688.html Thu, 12 Nov 2015 00:00:00 -0800 2015-28688 Notice http://www.gpo.gov/fdsys/pkg/FR-2015-11-12/pdf/2015-28688.pdf Notice - Self-Regulatory Organizations; BOX Options Exchange LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Adopt Business Continuity and Disaster Recovery Plans (“BC/DR plans”) Testing Requirements for Certain Options Participants in Connection With Regulation Systems Compliance and Integrity (“Regulation SCI”) https://regulations.justia.com/regulations/fedreg/2015/11/12/2015-28687.html https://regulations.justia.com/regulations/fedreg/2015/11/12/2015-28687.html Thu, 12 Nov 2015 00:00:00 -0800 2015-28687 Notice http://www.gpo.gov/fdsys/pkg/FR-2015-11-12/pdf/2015-28687.pdf Notice - Self-Regulatory Organizations; NYSE MKT LLC; Notice of Filing of Proposed Rule Change to the Co-Location Services Offered by the Exchange (the Offering of a Wireless Connection To Allow Users To Receive Market Data Feeds From Third Party Markets) and To Reflect Changes to the NYSE MKT Equities Price List and the NYSE Amex Options Fee Schedule Related to These Services https://regulations.justia.com/regulations/fedreg/2015/11/12/2015-28686.html https://regulations.justia.com/regulations/fedreg/2015/11/12/2015-28686.html Thu, 12 Nov 2015 00:00:00 -0800 2015-28686 Notice http://www.gpo.gov/fdsys/pkg/FR-2015-11-12/pdf/2015-28686.pdf 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 https://regulations.justia.com/regulations/fedreg/2015/11/12/2015-28685.html https://regulations.justia.com/regulations/fedreg/2015/11/12/2015-28685.html Thu, 12 Nov 2015 00:00:00 -0800 2015-28685 Notice http://www.gpo.gov/fdsys/pkg/FR-2015-11-12/pdf/2015-28685.pdf Notice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing of Proposed Rule Change to the Co-Location Services Offered by the Exchange (the Offering of a Wireless Connection To Allow Users To Receive Market Data Feeds From Third Party Markets) and To Reflect Changes to the NYSE Arca Options Fee Schedule and the NYSE Arca Equities Schedule of Fees and Charges Related to These Services https://regulations.justia.com/regulations/fedreg/2015/11/12/2015-28684.html https://regulations.justia.com/regulations/fedreg/2015/11/12/2015-28684.html Thu, 12 Nov 2015 00:00:00 -0800 2015-28684 Notice http://www.gpo.gov/fdsys/pkg/FR-2015-11-12/pdf/2015-28684.pdf 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 https://regulations.justia.com/regulations/fedreg/2015/11/12/2015-28683.html https://regulations.justia.com/regulations/fedreg/2015/11/12/2015-28683.html Thu, 12 Nov 2015 00:00:00 -0800 2015-28683 Notice http://www.gpo.gov/fdsys/pkg/FR-2015-11-12/pdf/2015-28683.pdf Notice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Designation of a Longer Period for Commission Action on a Proposed Rule Change, as Modified by Amendments No. 1 and 3, Relating to Listing and Trading of Shares of the Guggenheim Total Return Bond ETF Under NYSE Arca Equities Rule 8.600 https://regulations.justia.com/regulations/fedreg/2015/11/12/2015-28682.html https://regulations.justia.com/regulations/fedreg/2015/11/12/2015-28682.html Thu, 12 Nov 2015 00:00:00 -0800 2015-28682 Notice http://www.gpo.gov/fdsys/pkg/FR-2015-11-12/pdf/2015-28682.pdf Notice - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to Mandatory Participation in Business Continuity and Disaster Recovery Testing Under Regulation SCI https://regulations.justia.com/regulations/fedreg/2015/11/12/2015-28681.html https://regulations.justia.com/regulations/fedreg/2015/11/12/2015-28681.html Thu, 12 Nov 2015 00:00:00 -0800 2015-28681 Notice http://www.gpo.gov/fdsys/pkg/FR-2015-11-12/pdf/2015-28681.pdf Notice - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Order Approving 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 https://regulations.justia.com/regulations/fedreg/2015/11/12/2015-28680.html https://regulations.justia.com/regulations/fedreg/2015/11/12/2015-28680.html Thu, 12 Nov 2015 00:00:00 -0800 2015-28680 Notice http://www.gpo.gov/fdsys/pkg/FR-2015-11-12/pdf/2015-28680.pdf Notice - Pointbreak Advisers LLC, et al.; Notice of Application https://regulations.justia.com/regulations/fedreg/2015/11/12/2015-28677.html https://regulations.justia.com/regulations/fedreg/2015/11/12/2015-28677.html Thu, 12 Nov 2015 00:00:00 -0800 2015-28677 Notice http://www.gpo.gov/fdsys/pkg/FR-2015-11-12/pdf/2015-28677.pdf Notice - In the Matter of Inelco Corp., and Teliphone Corp.; Order of Suspension of Trading https://regulations.justia.com/regulations/fedreg/2015/11/10/2015-28706.html https://regulations.justia.com/regulations/fedreg/2015/11/10/2015-28706.html Tue, 10 Nov 2015 00:00:00 -0800 2015-28706 Notice http://www.gpo.gov/fdsys/pkg/FR-2015-11-10/pdf/2015-28706.pdf Notice - Sunshine Act Meeting https://regulations.justia.com/regulations/fedreg/2015/11/10/2015-28699.html https://regulations.justia.com/regulations/fedreg/2015/11/10/2015-28699.html Tue, 10 Nov 2015 00:00:00 -0800 2015-28699 Notice http://www.gpo.gov/fdsys/pkg/FR-2015-11-10/pdf/2015-28699.pdf Notice - Self-Regulatory Organizations; NYSE MKT LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Requiring Certain Member Organizations To Participate in Business Continuity and Disaster Recovery Plans Testing in Connection With Regulation Systems Compliance and Integrity https://regulations.justia.com/regulations/fedreg/2015/11/10/2015-28521.html https://regulations.justia.com/regulations/fedreg/2015/11/10/2015-28521.html Tue, 10 Nov 2015 00:00:00 -0800 2015-28521 Notice http://www.gpo.gov/fdsys/pkg/FR-2015-11-10/pdf/2015-28521.pdf Notice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Requiring Certain ETP Holders To Participate in Business Continuity and Disaster Recovery Plans Testing in Connection With Regulation Systems Compliance and Integrity https://regulations.justia.com/regulations/fedreg/2015/11/10/2015-28520.html https://regulations.justia.com/regulations/fedreg/2015/11/10/2015-28520.html Tue, 10 Nov 2015 00:00:00 -0800 2015-28520 Notice http://www.gpo.gov/fdsys/pkg/FR-2015-11-10/pdf/2015-28520.pdf Notice - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to Mini Options https://regulations.justia.com/regulations/fedreg/2015/11/10/2015-28519.html https://regulations.justia.com/regulations/fedreg/2015/11/10/2015-28519.html Tue, 10 Nov 2015 00:00:00 -0800 2015-28519 Notice http://www.gpo.gov/fdsys/pkg/FR-2015-11-10/pdf/2015-28519.pdf Notice - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Modify the LIST Routing Option https://regulations.justia.com/regulations/fedreg/2015/11/10/2015-28518.html https://regulations.justia.com/regulations/fedreg/2015/11/10/2015-28518.html Tue, 10 Nov 2015 00:00:00 -0800 2015-28518 Notice http://www.gpo.gov/fdsys/pkg/FR-2015-11-10/pdf/2015-28518.pdf Notice - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Filing of a Proposed Rule Change To List and Trade Options That Overlie a Reduced Value of the FTSE 100 Index https://regulations.justia.com/regulations/fedreg/2015/11/10/2015-28516.html https://regulations.justia.com/regulations/fedreg/2015/11/10/2015-28516.html Tue, 10 Nov 2015 00:00:00 -0800 2015-28516 Notice http://www.gpo.gov/fdsys/pkg/FR-2015-11-10/pdf/2015-28516.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/2015/11/10/2015-28515.html https://regulations.justia.com/regulations/fedreg/2015/11/10/2015-28515.html Tue, 10 Nov 2015 00:00:00 -0800 2015-28515 Notice http://www.gpo.gov/fdsys/pkg/FR-2015-11-10/pdf/2015-28515.pdf Notice - Self-Regulatory Organizations; Chicago Stock Exchange, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Adopt Business and Disaster Recovery Plans Testing Requirements for Certain Participants in Connection With Regulation Systems Compliance and Integrity https://regulations.justia.com/regulations/fedreg/2015/11/10/2015-28514.html https://regulations.justia.com/regulations/fedreg/2015/11/10/2015-28514.html Tue, 10 Nov 2015 00:00:00 -0800 2015-28514 Notice http://www.gpo.gov/fdsys/pkg/FR-2015-11-10/pdf/2015-28514.pdf Notice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Requiring OTP Holders To Participate in Business Continuity and Disaster Recovery Plans Testing in Connection With Regulation Systems Compliance and Integrity https://regulations.justia.com/regulations/fedreg/2015/11/10/2015-28513.html https://regulations.justia.com/regulations/fedreg/2015/11/10/2015-28513.html Tue, 10 Nov 2015 00:00:00 -0800 2015-28513 Notice http://www.gpo.gov/fdsys/pkg/FR-2015-11-10/pdf/2015-28513.pdf Notice - Self-Regulatory Organizations; National Securities Clearing Corporation; Notice of Filing of Proposed Rule Change To Provide Mechanism for Sub-Account Settlement With Respect to the Alternative Investment Product Services https://regulations.justia.com/regulations/fedreg/2015/11/10/2015-28512.html https://regulations.justia.com/regulations/fedreg/2015/11/10/2015-28512.html Tue, 10 Nov 2015 00:00:00 -0800 2015-28512 Notice http://www.gpo.gov/fdsys/pkg/FR-2015-11-10/pdf/2015-28512.pdf Notice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Specifying in Exchange Rules the Exchange's Use of Data Feeds From National Stock Exchange, Inc. for Order Handling and Execution, Order Routing, and Regulatory Compliance https://regulations.justia.com/regulations/fedreg/2015/11/10/2015-28511.html https://regulations.justia.com/regulations/fedreg/2015/11/10/2015-28511.html Tue, 10 Nov 2015 00:00:00 -0800 2015-28511 Notice http://www.gpo.gov/fdsys/pkg/FR-2015-11-10/pdf/2015-28511.pdf Notice - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Requiring Certain Member Organizations To Participate in Business Continuity and Disaster Recovery Plans Testing in Connection With Regulation Systems Compliance and Integrity https://regulations.justia.com/regulations/fedreg/2015/11/10/2015-28510.html https://regulations.justia.com/regulations/fedreg/2015/11/10/2015-28510.html Tue, 10 Nov 2015 00:00:00 -0800 2015-28510 Notice http://www.gpo.gov/fdsys/pkg/FR-2015-11-10/pdf/2015-28510.pdf Notice - Self-Regulatory Organizations; NYSE MKT LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending NYSE MKT Rule 19-Equities To Specify in Exchange Rules the Exchange's Use of Data Feeds From National Stock Exchange, Inc. for Order Handling and Execution, Order Routing, and Regulatory Compliance https://regulations.justia.com/regulations/fedreg/2015/11/10/2015-28509.html https://regulations.justia.com/regulations/fedreg/2015/11/10/2015-28509.html Tue, 10 Nov 2015 00:00:00 -0800 2015-28509 Notice http://www.gpo.gov/fdsys/pkg/FR-2015-11-10/pdf/2015-28509.pdf 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 https://regulations.justia.com/regulations/fedreg/2015/11/10/2015-28508.html https://regulations.justia.com/regulations/fedreg/2015/11/10/2015-28508.html Tue, 10 Nov 2015 00:00:00 -0800 2015-28508 Notice http://www.gpo.gov/fdsys/pkg/FR-2015-11-10/pdf/2015-28508.pdf Notice - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Rule 19 To Specify in Exchange Rules the Exchange's Use of Data Feeds From National Stock Exchange, Inc. for Order Handling and Execution, Order Routing, and Regulatory Compliance https://regulations.justia.com/regulations/fedreg/2015/11/10/2015-28505.html https://regulations.justia.com/regulations/fedreg/2015/11/10/2015-28505.html Tue, 10 Nov 2015 00:00:00 -0800 2015-28505 Notice http://www.gpo.gov/fdsys/pkg/FR-2015-11-10/pdf/2015-28505.pdf Notice - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Filing of a Proposed Rule Change To List and Trade Options That Overlie a Reduced Value of the FTSE China 50 Index https://regulations.justia.com/regulations/fedreg/2015/11/10/2015-28504.html https://regulations.justia.com/regulations/fedreg/2015/11/10/2015-28504.html Tue, 10 Nov 2015 00:00:00 -0800 2015-28504 Notice http://www.gpo.gov/fdsys/pkg/FR-2015-11-10/pdf/2015-28504.pdf Proposed Rule - Exemptions To Facilitate Intrastate and Regional Securities Offerings https://regulations.justia.com/regulations/fedreg/2015/11/10/2015-28219.html https://regulations.justia.com/regulations/fedreg/2015/11/10/2015-28219.html Tue, 10 Nov 2015 00:00:00 -0800 2015-28219 Proposed Rule http://www.gpo.gov/fdsys/pkg/FR-2015-11-10/pdf/2015-28219.pdf Notice - In the Matter of Friendly Energy Exploration, Public Media Works, Inc., VRDT Corp., and Zoro Mining Corp., File No. 500-1; Order of Suspension of Trading https://regulations.justia.com/regulations/fedreg/2015/11/09/2015-28549.html https://regulations.justia.com/regulations/fedreg/2015/11/09/2015-28549.html Mon, 09 Nov 2015 00:00:00 -0800 2015-28549 Notice http://www.gpo.gov/fdsys/pkg/FR-2015-11-09/pdf/2015-28549.pdf Notice - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Designation of a Longer Period for Commission Action on Proposed Rule Change To Establish a Retail Order Process Known as “RTFY” https://regulations.justia.com/regulations/fedreg/2015/11/09/2015-28405.html https://regulations.justia.com/regulations/fedreg/2015/11/09/2015-28405.html Mon, 09 Nov 2015 00:00:00 -0800 2015-28405 Notice http://www.gpo.gov/fdsys/pkg/FR-2015-11-09/pdf/2015-28405.pdf Notice - Self-Regulatory Organizations; International Securities Exchange; Notice of Filing of Proposed Rule Change To Comply With the Requirements of Rule 1004 of Regulation SCI https://regulations.justia.com/regulations/fedreg/2015/11/09/2015-28404.html https://regulations.justia.com/regulations/fedreg/2015/11/09/2015-28404.html Mon, 09 Nov 2015 00:00:00 -0800 2015-28404 Notice http://www.gpo.gov/fdsys/pkg/FR-2015-11-09/pdf/2015-28404.pdf Notice - Self-Regulatory Organizations; ISE Gemini, LLC; Notice of Filing of Proposed Rule Change To Comply With the Requirements of Rule 1004 of Regulation SCI https://regulations.justia.com/regulations/fedreg/2015/11/09/2015-28403.html https://regulations.justia.com/regulations/fedreg/2015/11/09/2015-28403.html Mon, 09 Nov 2015 00:00:00 -0800 2015-28403 Notice http://www.gpo.gov/fdsys/pkg/FR-2015-11-09/pdf/2015-28403.pdf Notice - Self-Regulatory Organizations; ICE Clear Credit LLC; Notice of Filing of Proposed Rule Change To Revise the ICC Risk Management Framework and ICC Treasury Operations Policies and Procedures, and Adopt the ICC Risk Management Model Description Document https://regulations.justia.com/regulations/fedreg/2015/11/09/2015-28402.html https://regulations.justia.com/regulations/fedreg/2015/11/09/2015-28402.html Mon, 09 Nov 2015 00:00:00 -0800 2015-28402 Notice http://www.gpo.gov/fdsys/pkg/FR-2015-11-09/pdf/2015-28402.pdf Notice - Self-Regulatory Organizations; EDGA Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Rules 3.22, Proxy Voting, and 13.3, Forwarding of Proxy and Other Issuer Materials https://regulations.justia.com/regulations/fedreg/2015/11/09/2015-28401.html https://regulations.justia.com/regulations/fedreg/2015/11/09/2015-28401.html Mon, 09 Nov 2015 00:00:00 -0800 2015-28401 Notice http://www.gpo.gov/fdsys/pkg/FR-2015-11-09/pdf/2015-28401.pdf Notice - Self-Regulatory Organizations; EDGX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Rules 3.22, Proxy Voting, and 13.3, Forwarding of Proxy and Other Issuer Materials https://regulations.justia.com/regulations/fedreg/2015/11/09/2015-28400.html https://regulations.justia.com/regulations/fedreg/2015/11/09/2015-28400.html Mon, 09 Nov 2015 00:00:00 -0800 2015-28400 Notice http://www.gpo.gov/fdsys/pkg/FR-2015-11-09/pdf/2015-28400.pdf Notice - Proposed Collection; Comment Request https://regulations.justia.com/regulations/fedreg/2015/11/09/2015-28399.html https://regulations.justia.com/regulations/fedreg/2015/11/09/2015-28399.html Mon, 09 Nov 2015 00:00:00 -0800 2015-28399 Notice http://www.gpo.gov/fdsys/pkg/FR-2015-11-09/pdf/2015-28399.pdf Notice - In the Matter of CodeSmart Holdings, Inc.; Order of Suspension of Trading https://regulations.justia.com/regulations/fedreg/2015/11/06/2015-28413.html https://regulations.justia.com/regulations/fedreg/2015/11/06/2015-28413.html Fri, 06 Nov 2015 00:00:00 -0800 2015-28413 Notice http://www.gpo.gov/fdsys/pkg/FR-2015-11-06/pdf/2015-28413.pdf Notice - Agency Information Collection; Submission for OMB Review; Joint Comment Request; Joint Standards for Assessing the Diversity Policies and Practices of Entities Regulated by the Agencies https://regulations.justia.com/regulations/fedreg/2015/11/06/2015-28369.html https://regulations.justia.com/regulations/fedreg/2015/11/06/2015-28369.html Fri, 06 Nov 2015 00:00:00 -0800 2015-28369 Notice http://www.gpo.gov/fdsys/pkg/FR-2015-11-06/pdf/2015-28369.pdf Notice - Self-Regulatory Organizations; BATS Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Delete Rule 22.10, Limitations on Dealings https://regulations.justia.com/regulations/fedreg/2015/11/06/2015-28268.html https://regulations.justia.com/regulations/fedreg/2015/11/06/2015-28268.html Fri, 06 Nov 2015 00:00:00 -0800 2015-28268 Notice http://www.gpo.gov/fdsys/pkg/FR-2015-11-06/pdf/2015-28268.pdf Notice - Self-Regulatory Organizations; Chicago Stock Exchange, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Modify Its Smart Versus Direct Routing Protocol https://regulations.justia.com/regulations/fedreg/2015/11/06/2015-28267.html https://regulations.justia.com/regulations/fedreg/2015/11/06/2015-28267.html Fri, 06 Nov 2015 00:00:00 -0800 2015-28267 Notice http://www.gpo.gov/fdsys/pkg/FR-2015-11-06/pdf/2015-28267.pdf Notice - Notice of Applications for Deregistration Under Section 8(f) of the Investment Company Act of 1940 https://regulations.justia.com/regulations/fedreg/2015/11/05/2015-28149.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 Notice - U.S. Bank National Association; Notice of Application https://regulations.justia.com/regulations/fedreg/2015/11/04/2015-28069.html https://regulations.justia.com/regulations/fedreg/2015/11/04/2015-28069.html Wed, 04 Nov 2015 00:00:00 -0800 2015-28069 Notice http://www.gpo.gov/fdsys/pkg/FR-2015-11-04/pdf/2015-28069.pdf Notice - Program for Allocation of Regulatory Responsibilities Pursuant to Rule 17d-2; Order Approving and Declaring Effective a Proposed 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. Relating to Regulation NMS Rules https://regulations.justia.com/regulations/fedreg/2015/11/04/2015-28068.html https://regulations.justia.com/regulations/fedreg/2015/11/04/2015-28068.html Wed, 04 Nov 2015 00:00:00 -0800 2015-28068 Notice http://www.gpo.gov/fdsys/pkg/FR-2015-11-04/pdf/2015-28068.pdf Notice - Program for Allocation of Regulatory Responsibilities Pursuant to Rule 17d-2; Notice of Filing and Order Approving and Declaring Effective an Amendment to the Plan for the Allocation of Regulatory Responsibilities Among NYSE MKT LLC, BATS Exchange, Inc., BOX Options Exchange LLC, C2 Options Exchange, Incorporated, the Chicago Board Options Exchange, Incorporated, the EDGX Exchange, Inc., the International Securities Exchange LLC, ISE Gemini, LLC, Financial Industry Regulatory Authority, Inc., NYSE Arca, Inc., The NASDAQ Stock Market LLC, NASDAQ OMX BX, Inc., the NASDAQ OMX PHLX, Inc., and Miami International Securities Exchange, LLC Concerning Options-Related Market Surveillance https://regulations.justia.com/regulations/fedreg/2015/11/04/2015-28067.html https://regulations.justia.com/regulations/fedreg/2015/11/04/2015-28067.html Wed, 04 Nov 2015 00:00:00 -0800 2015-28067 Notice http://www.gpo.gov/fdsys/pkg/FR-2015-11-04/pdf/2015-28067.pdf Notice - Program for Allocation of Regulatory Responsibilities Pursuant to Rule 17d-2; Notice of Filing and Order Approving and Declaring Effective an Amendment to the Plan for the Allocation of Regulatory Responsibilities Among NYSE MKT LLC, BATS Exchange, Inc., BOX Options Exchange LLC, C2 Options Exchange, Incorporated, the Chicago Board Options Exchange, Incorporated, the EDGX Exchange, Inc., the International Securities Exchange LLC, ISE Gemini, LLC, Financial Industry Regulatory Authority, Inc., the New York Stock Exchange LLC, NYSE Arca, Inc., The NASDAQ Stock Market LLC, NASDAQ OMX BX, Inc., the NASDAQ OMX PHLX, Inc., and Miami International Securities Exchange, LLC Concerning Options-Related Sales Practice Matters https://regulations.justia.com/regulations/fedreg/2015/11/04/2015-28066.html https://regulations.justia.com/regulations/fedreg/2015/11/04/2015-28066.html Wed, 04 Nov 2015 00:00:00 -0800 2015-28066 Notice http://www.gpo.gov/fdsys/pkg/FR-2015-11-04/pdf/2015-28066.pdf Notice - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Discontinuing the NYSE Retail Trading Product and the NYSE Program Trading Product Market Data Product Offerings https://regulations.justia.com/regulations/fedreg/2015/11/04/2015-28033.html https://regulations.justia.com/regulations/fedreg/2015/11/04/2015-28033.html Wed, 04 Nov 2015 00:00:00 -0800 2015-28033 Notice http://www.gpo.gov/fdsys/pkg/FR-2015-11-04/pdf/2015-28033.pdf Notice - Self-Regulatory Organizations: Miami International Securities Exchange LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Adopt Rule 321 Business Continuity and Disaster Recovery Plans Testing Requirements for Designated Members https://regulations.justia.com/regulations/fedreg/2015/11/04/2015-28026.html https://regulations.justia.com/regulations/fedreg/2015/11/04/2015-28026.html Wed, 04 Nov 2015 00:00:00 -0800 2015-28026 Notice http://www.gpo.gov/fdsys/pkg/FR-2015-11-04/pdf/2015-28026.pdf Notice - Self-Regulatory Organizations; EDGX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Rule 21.8, Order Display and Book Processing https://regulations.justia.com/regulations/fedreg/2015/11/04/2015-28025.html https://regulations.justia.com/regulations/fedreg/2015/11/04/2015-28025.html Wed, 04 Nov 2015 00:00:00 -0800 2015-28025 Notice http://www.gpo.gov/fdsys/pkg/FR-2015-11-04/pdf/2015-28025.pdf Notice - Self-Regulatory Organizations; NASDAQ OMX BX, Inc.; Notice of Filing of Amendment No. 2 and Order Granting Accelerated Approval of a Proposed Rule Change, as Modified by Amendment Nos. 1 and 2, To Adopt a New Price Improvement Auction, BX PRISM https://regulations.justia.com/regulations/fedreg/2015/11/04/2015-28024.html https://regulations.justia.com/regulations/fedreg/2015/11/04/2015-28024.html Wed, 04 Nov 2015 00:00:00 -0800 2015-28024 Notice http://www.gpo.gov/fdsys/pkg/FR-2015-11-04/pdf/2015-28024.pdf Notice - Self-Regulatory Organizations; C2 Options Exchange, Incorporated; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Amending Rule 6.45 Relating to Disaster Recovery https://regulations.justia.com/regulations/fedreg/2015/11/04/2015-28023.html https://regulations.justia.com/regulations/fedreg/2015/11/04/2015-28023.html Wed, 04 Nov 2015 00:00:00 -0800 2015-28023 Notice http://www.gpo.gov/fdsys/pkg/FR-2015-11-04/pdf/2015-28023.pdf Notice - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Nasdaq Rule 7018 https://regulations.justia.com/regulations/fedreg/2015/11/04/2015-28022.html https://regulations.justia.com/regulations/fedreg/2015/11/04/2015-28022.html Wed, 04 Nov 2015 00:00:00 -0800 2015-28022 Notice http://www.gpo.gov/fdsys/pkg/FR-2015-11-04/pdf/2015-28022.pdf Notice - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Terminology in Nasdaq Rules 4120, 5615 and 5745 and IM-5615-4 https://regulations.justia.com/regulations/fedreg/2015/11/04/2015-28021.html https://regulations.justia.com/regulations/fedreg/2015/11/04/2015-28021.html Wed, 04 Nov 2015 00:00:00 -0800 2015-28021 Notice http://www.gpo.gov/fdsys/pkg/FR-2015-11-04/pdf/2015-28021.pdf Notice - Self-Regulatory Organizations; NASDAQ OMX PHLX LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Risk Monitor Mechanism https://regulations.justia.com/regulations/fedreg/2015/11/04/2015-28020.html https://regulations.justia.com/regulations/fedreg/2015/11/04/2015-28020.html Wed, 04 Nov 2015 00:00:00 -0800 2015-28020 Notice http://www.gpo.gov/fdsys/pkg/FR-2015-11-04/pdf/2015-28020.pdf Notice - Self-Regulatory Organizations; NYSE MKT LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Rules 46-Equities, 46A-Equities, 103B-Equities, and 497-Equities To Replace References to the NYSE Regulation Board of Directors With the Exchange's Regulatory Oversight Committee https://regulations.justia.com/regulations/fedreg/2015/11/04/2015-28019.html https://regulations.justia.com/regulations/fedreg/2015/11/04/2015-28019.html Wed, 04 Nov 2015 00:00:00 -0800 2015-28019 Notice http://www.gpo.gov/fdsys/pkg/FR-2015-11-04/pdf/2015-28019.pdf Proposed Rule - Securities Investor Protection Corporation https://regulations.justia.com/regulations/fedreg/2015/11/04/2015-27921.html https://regulations.justia.com/regulations/fedreg/2015/11/04/2015-27921.html Wed, 04 Nov 2015 00:00:00 -0800 2015-27921 Proposed Rule http://www.gpo.gov/fdsys/pkg/FR-2015-11-04/pdf/2015-27921.pdf 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