Federal Register Recent Federal Regulation Documents - Justia Regulation Tracker - Justia Regulations Trackerhttps://regulations.justia.com/regulations/fedreg/agencies/securities-and-exchange-commission/2015?limit=200®isters=between&min-day=1&min-month=1&max-day=31&max-month=12&mode=atom2024-04-26T03:22:43-07:00Justia Inchttps://www.justia.com/Justia Regulations Trackerhttps://regulations.justia.com/images/justiafedregulations.gifCopyright 2011 Justia Inchttps://regulations.justia.com/regulations/fedreg/2015/12/31/2015-32755.htmlProposed Rule - Transfer Agent Regulations2015-12-31T00:00:00-08:002015-12-31T00:00:00-08:002015-32755Proposed Rulehttps://www.gpo.gov/fdsys/pkg/FR-2015-12-31/pdf/2015-32755.pdfhttps://regulations.justia.com/regulations/fedreg/2015/12/30/2015-32902.htmlNotice - Self-Regulatory Organizations; NASDAQ OMX BX, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Regarding NASDAQ Last Sale Plus2015-12-30T00:00:00-08:002015-12-30T00:00:00-08:002015-32902Noticehttps://www.gpo.gov/fdsys/pkg/FR-2015-12-30/pdf/2015-32902.pdfhttps://regulations.justia.com/regulations/fedreg/2015/12/30/2015-32898.htmlNotice - Self-Regulatory Organizations; BATS Y-Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Related to Fees for Use of BATS Y-Exchange, Inc.2015-12-30T00:00:00-08:002015-12-30T00:00:00-08:002015-32898Noticehttps://www.gpo.gov/fdsys/pkg/FR-2015-12-30/pdf/2015-32898.pdfhttps://regulations.justia.com/regulations/fedreg/2015/12/30/2015-32897.htmlNotice - Self-Regulatory Organizations; NASDAQ OMX PHLX LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Regarding NASDAQ Last Sale Plus2015-12-30T00:00:00-08:002015-12-30T00:00:00-08:002015-32897Noticehttps://www.gpo.gov/fdsys/pkg/FR-2015-12-30/pdf/2015-32897.pdfhttps://regulations.justia.com/regulations/fedreg/2015/12/30/2015-32896.htmlNotice - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Regarding NASDAQ Last Sale Plus2015-12-30T00:00:00-08:002015-12-30T00:00:00-08:002015-32896Noticehttps://www.gpo.gov/fdsys/pkg/FR-2015-12-30/pdf/2015-32896.pdfhttps://regulations.justia.com/regulations/fedreg/2015/12/30/2015-32895.htmlNotice - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend NOM Rules at Chapter XV, Section 22015-12-30T00:00:00-08:002015-12-30T00:00:00-08:002015-32895Noticehttps://www.gpo.gov/fdsys/pkg/FR-2015-12-30/pdf/2015-32895.pdfhttps://regulations.justia.com/regulations/fedreg/2015/12/30/2015-32894.htmlNotice - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing of a Proposed Rule Change To Adopt FINRA Rule 2030 and FINRA Rule 4580 To Establish “Pay-To-Play” and Related Rules2015-12-30T00:00:00-08:002015-12-30T00:00:00-08:002015-32894Noticehttps://www.gpo.gov/fdsys/pkg/FR-2015-12-30/pdf/2015-32894.pdfhttps://regulations.justia.com/regulations/fedreg/2015/12/30/2015-32825.htmlNotice - Self-Regulatory Organizations; BATS Exchange, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Proprietary Trader and Proprietary Trader Principal Registration Categories, Securities Trader and Securities Trader Principal Registration Categories, and Establishing the Series 57 Examination2015-12-30T00:00:00-08:002015-12-30T00:00:00-08:002015-32825Noticehttps://www.gpo.gov/fdsys/pkg/FR-2015-12-30/pdf/2015-32825.pdfhttps://regulations.justia.com/regulations/fedreg/2015/12/30/2015-32823.htmlNotice - Notice of Applications for Deregistration Under Section 8(f) of the Investment Company Act of 19402015-12-30T00:00:00-08:002015-12-30T00:00:00-08:002015-32823Noticehttps://www.gpo.gov/fdsys/pkg/FR-2015-12-30/pdf/2015-32823.pdfhttps://regulations.justia.com/regulations/fedreg/2015/12/30/2015-32822.htmlNotice - Self-Regulatory Organizations; Municipal Securities Rulemaking Board; Notice of Filing of a Proposed Rule Change Consisting of Proposed Amendments to Rule G-37, on Political Contributions and Prohibitions on Municipal Securities Business, Rule G-8, on Books and Records, Rule G-9, on Preservation of Records, and Forms G-37 and G-37x2015-12-30T00:00:00-08:002015-12-30T00:00:00-08:002015-32822Noticehttps://www.gpo.gov/fdsys/pkg/FR-2015-12-30/pdf/2015-32822.pdfhttps://regulations.justia.com/regulations/fedreg/2015/12/30/2015-32821.htmlNotice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing of Proposed Rule Change To List and Trade Shares of the REX Gold Hedged S&P 500 ETF and the REX Gold Hedged FTSE Emerging Markets ETF Under NYSE Arca Equities Rule 8.6002015-12-30T00:00:00-08:002015-12-30T00:00:00-08:002015-32821Noticehttps://www.gpo.gov/fdsys/pkg/FR-2015-12-30/pdf/2015-32821.pdfhttps://regulations.justia.com/regulations/fedreg/2015/12/30/2015-32820.htmlNotice - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Participant Fee2015-12-30T00:00:00-08:002015-12-30T00:00:00-08:002015-32820Noticehttps://www.gpo.gov/fdsys/pkg/FR-2015-12-30/pdf/2015-32820.pdfhttps://regulations.justia.com/regulations/fedreg/2015/12/30/2015-32819.htmlNotice - Self-Regulatory Organizations; EDGA Exchange, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Proprietary Trader and Proprietary Trader Principal Registration Categories, Securities Trader and Securities Trader Principal Registration Categories, and Establishing the Series 57 Examination2015-12-30T00:00:00-08:002015-12-30T00:00:00-08:002015-32819Noticehttps://www.gpo.gov/fdsys/pkg/FR-2015-12-30/pdf/2015-32819.pdfhttps://regulations.justia.com/regulations/fedreg/2015/12/30/2015-32818.htmlNotice - Self-Regulatory Organizations; NYSE Arca, Inc.; Order Approving 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 Services2015-12-30T00:00:00-08:002015-12-30T00:00:00-08:002015-32818Noticehttps://www.gpo.gov/fdsys/pkg/FR-2015-12-30/pdf/2015-32818.pdfhttps://regulations.justia.com/regulations/fedreg/2015/12/30/2015-32817.htmlNotice - Self-Regulatory Organizations; New York Stock Exchange LLC; Order Approving 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 Services2015-12-30T00:00:00-08:002015-12-30T00:00:00-08:002015-32817Noticehttps://www.gpo.gov/fdsys/pkg/FR-2015-12-30/pdf/2015-32817.pdfhttps://regulations.justia.com/regulations/fedreg/2015/12/30/2015-32816.htmlNotice - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing of a Proposed Rule Change To Adopt FINRA Rule 2273 (Educational Communication Related to Recruitment Practices and Account Transfers)2015-12-30T00:00:00-08:002015-12-30T00:00:00-08:002015-32816Noticehttps://www.gpo.gov/fdsys/pkg/FR-2015-12-30/pdf/2015-32816.pdfhttps://regulations.justia.com/regulations/fedreg/2015/12/30/2015-32815.htmlNotice - Self-Regulatory Organizations; EDGX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Proprietary Trader and Proprietary Trader Principal Registration Categories, Securities Trader and Securities Trader Principal Registration Categories, and Establishing the Series 57 Examination2015-12-30T00:00:00-08:002015-12-30T00:00:00-08:002015-32815Noticehttps://www.gpo.gov/fdsys/pkg/FR-2015-12-30/pdf/2015-32815.pdfhttps://regulations.justia.com/regulations/fedreg/2015/12/30/2015-32814.htmlNotice - Self-Regulatory Organizations; BATS Y-Exchange, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Proprietary Trader and Proprietary Trader Principal Registration Categories, Securities Trader and Securities Trader Principal Registration Categories, and Establishing the Series 57 Examination2015-12-30T00:00:00-08:002015-12-30T00:00:00-08:002015-32814Noticehttps://www.gpo.gov/fdsys/pkg/FR-2015-12-30/pdf/2015-32814.pdfhttps://regulations.justia.com/regulations/fedreg/2015/12/30/2015-32813.htmlNotice - Self-Regulatory Organizations; NASDAQ OMX BX, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Adopt a Participant Fee2015-12-30T00:00:00-08:002015-12-30T00:00:00-08:002015-32813Noticehttps://www.gpo.gov/fdsys/pkg/FR-2015-12-30/pdf/2015-32813.pdfhttps://regulations.justia.com/regulations/fedreg/2015/12/30/2015-32812.htmlNotice - Self-Regulatory Organizations; Municipal Securities Rulemaking Board; Order Granting Approval of a Proposed Rule Change, as Modified by Amendment No. 1 and Amendment No. 2, 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 Advisors2015-12-30T00:00:00-08:002015-12-30T00:00:00-08:002015-32812Noticehttps://www.gpo.gov/fdsys/pkg/FR-2015-12-30/pdf/2015-32812.pdfhttps://regulations.justia.com/regulations/fedreg/2015/12/30/2015-32811.htmlNotice - Self-Regulatory Organizations; NYSE MKT LLC; Order Approving 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 Services2015-12-30T00:00:00-08:002015-12-30T00:00:00-08:002015-32811Noticehttps://www.gpo.gov/fdsys/pkg/FR-2015-12-30/pdf/2015-32811.pdfhttps://regulations.justia.com/regulations/fedreg/2015/12/30/2015-32806.htmlNotice - Investor Advisory Committee Meeting2015-12-30T00:00:00-08:002015-12-30T00:00:00-08:002015-32806Noticehttps://www.gpo.gov/fdsys/pkg/FR-2015-12-30/pdf/2015-32806.pdfhttps://regulations.justia.com/regulations/fedreg/2015/12/30/2015-32647.htmlNotice - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing of a Proposed Rule Change To Amend Rules 5810(4), 5810(c), 5815(c) and 5820(d) To Provide Staff With Limited Discretion To Grant a Listed Company That Failed To Hold Its Annual Meeting of Shareholders an Extension of Time To Comply With the Requirement2015-12-30T00:00:00-08:002015-12-30T00:00:00-08:002015-32647Noticehttps://www.gpo.gov/fdsys/pkg/FR-2015-12-30/pdf/2015-32647.pdfhttps://regulations.justia.com/regulations/fedreg/2015/12/30/2015-32646.htmlRule - Regulation Systems Compliance and Integrity; Correction2015-12-30T00:00:00-08:002015-12-30T00:00:00-08:002015-32646Rulehttps://www.gpo.gov/fdsys/pkg/FR-2015-12-30/pdf/2015-32646.pdfhttps://regulations.justia.com/regulations/fedreg/2015/12/29/2015-32654.htmlNotice - Self-Regulatory Organizations; NASDAQ OMX PHLX LLC; Notice of Filing of Amendment Nos. 1 and 2 and Order Granting Accelerated Approval of a Proposed Rule Change, as Modified by Amendment Nos. 1 and 2, To Amend and Correct Phlx Rule 1080.072015-12-29T00:00:00-08:002015-12-29T00:00:00-08:002015-32654Noticehttps://www.gpo.gov/fdsys/pkg/FR-2015-12-29/pdf/2015-32654.pdfhttps://regulations.justia.com/regulations/fedreg/2015/12/29/2015-32653.htmlNotice - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend NASDAQ Options Market-Fees and Rebates2015-12-29T00:00:00-08:002015-12-29T00:00:00-08:002015-32653Noticehttps://www.gpo.gov/fdsys/pkg/FR-2015-12-29/pdf/2015-32653.pdfhttps://regulations.justia.com/regulations/fedreg/2015/12/29/2015-32652.htmlNotice - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Modify the Level 2 Professional Subscriber Fee2015-12-29T00:00:00-08:002015-12-29T00:00:00-08:002015-32652Noticehttps://www.gpo.gov/fdsys/pkg/FR-2015-12-29/pdf/2015-32652.pdfhttps://regulations.justia.com/regulations/fedreg/2015/12/29/2015-32651.htmlNotice - Self-Regulatory Organizations; NASDAQ OMX PHLX LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Delete Rule 1068, Execution of Multi-Part Orders2015-12-29T00:00:00-08:002015-12-29T00:00:00-08:002015-32651Noticehttps://www.gpo.gov/fdsys/pkg/FR-2015-12-29/pdf/2015-32651.pdfhttps://regulations.justia.com/regulations/fedreg/2015/12/29/2015-32650.htmlNotice - Self-Regulatory Organizations; National Stock Exchange, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Adopt a Fee and Rebate Schedule Pursuant to Exchange Rule 16.12015-12-29T00:00:00-08:002015-12-29T00:00:00-08:002015-32650Noticehttps://www.gpo.gov/fdsys/pkg/FR-2015-12-29/pdf/2015-32650.pdfhttps://regulations.justia.com/regulations/fedreg/2015/12/29/2015-32649.htmlNotice - Self-Regulatory Organizations; ICE Clear Credit LLC; Order Approving 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 Document2015-12-29T00:00:00-08:002015-12-29T00:00:00-08:002015-32649Noticehttps://www.gpo.gov/fdsys/pkg/FR-2015-12-29/pdf/2015-32649.pdfhttps://regulations.justia.com/regulations/fedreg/2015/12/29/2015-32648.htmlNotice - Self-Regulatory Organizations; BOX Options Exchange LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend BOX Rule 2020 (Participant Eligibility and Registration) To Replace the Limited Representative-Proprietary Trader and Limited Principal-Proprietary Trader Registration Categories and Establish the Securities Trader and Securities Trader Principal Registration Categories2015-12-29T00:00:00-08:002015-12-29T00:00:00-08:002015-32648Noticehttps://www.gpo.gov/fdsys/pkg/FR-2015-12-29/pdf/2015-32648.pdfhttps://regulations.justia.com/regulations/fedreg/2015/12/28/2015-32704.htmlNotice - In the Matter of Yayi International, Inc.,; Order of Suspension of Trading2015-12-28T00:00:00-08:002015-12-28T00:00:00-08:002015-32704Noticehttps://www.gpo.gov/fdsys/pkg/FR-2015-12-28/pdf/2015-32704.pdfhttps://regulations.justia.com/regulations/fedreg/2015/12/28/2015-32579.htmlNotice - Self Storage Group, Inc.; Notice of Application2015-12-28T00:00:00-08:002015-12-28T00:00:00-08:002015-32579Noticehttps://www.gpo.gov/fdsys/pkg/FR-2015-12-28/pdf/2015-32579.pdfhttps://regulations.justia.com/regulations/fedreg/2015/12/28/2015-32578.htmlNotice - Recon Capital Series Trust, et al.; Notice of Application2015-12-28T00:00:00-08:002015-12-28T00:00:00-08:002015-32578Noticehttps://www.gpo.gov/fdsys/pkg/FR-2015-12-28/pdf/2015-32578.pdfhttps://regulations.justia.com/regulations/fedreg/2015/12/28/2015-32541.htmlNotice - Self-Regulatory Organizations; EDGX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Related to Fees for Use of EDGX Exchange, Inc.2015-12-28T00:00:00-08:002015-12-28T00:00:00-08:002015-32541Noticehttps://www.gpo.gov/fdsys/pkg/FR-2015-12-28/pdf/2015-32541.pdfhttps://regulations.justia.com/regulations/fedreg/2015/12/28/2015-32540.htmlNotice - Self-Regulatory Organizations; EDGA Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Rule 11.6(n)(1), Routing/Posting Instructions, To Amend the Aggressive Instruction2015-12-28T00:00:00-08:002015-12-28T00:00:00-08:002015-32540Noticehttps://www.gpo.gov/fdsys/pkg/FR-2015-12-28/pdf/2015-32540.pdfhttps://regulations.justia.com/regulations/fedreg/2015/12/28/2015-32539.htmlNotice - Self-Regulatory Organizations; EDGA Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Related to Fees for Use of EDGA Exchange, Inc.2015-12-28T00:00:00-08:002015-12-28T00:00:00-08:002015-32539Noticehttps://www.gpo.gov/fdsys/pkg/FR-2015-12-28/pdf/2015-32539.pdfhttps://regulations.justia.com/regulations/fedreg/2015/12/28/2015-32538.htmlNotice - Self-Regulatory Organizations; BOX Options Exchange LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the Fee Schedule To Update Certain Fees Assessed Under Section V (Connectivity Fees)2015-12-28T00:00:00-08:002015-12-28T00:00:00-08:002015-32538Noticehttps://www.gpo.gov/fdsys/pkg/FR-2015-12-28/pdf/2015-32538.pdfhttps://regulations.justia.com/regulations/fedreg/2015/12/28/2015-32537.htmlNotice - Self-Regulatory Organizations; BATS Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Related to Fees for Use of BATS Exchange, Inc.2015-12-28T00:00:00-08:002015-12-28T00:00:00-08:002015-32537Noticehttps://www.gpo.gov/fdsys/pkg/FR-2015-12-28/pdf/2015-32537.pdfhttps://regulations.justia.com/regulations/fedreg/2015/12/28/2015-32536.htmlNotice - Self-Regulatory Organizations; EDGX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Related to Fees for EDGX Options2015-12-28T00:00:00-08:002015-12-28T00:00:00-08:002015-32536Noticehttps://www.gpo.gov/fdsys/pkg/FR-2015-12-28/pdf/2015-32536.pdfhttps://regulations.justia.com/regulations/fedreg/2015/12/28/2015-32535.htmlNotice - Self-Regulatory Organizations; BATS Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Related to Fees for BZX Options2015-12-28T00:00:00-08:002015-12-28T00:00:00-08:002015-32535Noticehttps://www.gpo.gov/fdsys/pkg/FR-2015-12-28/pdf/2015-32535.pdfhttps://regulations.justia.com/regulations/fedreg/2015/12/28/2015-32534.htmlNotice - Self-Regulatory Organizations; BATS Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Related to Fees for BZX Options2015-12-28T00:00:00-08:002015-12-28T00:00:00-08:002015-32534Noticehttps://www.gpo.gov/fdsys/pkg/FR-2015-12-28/pdf/2015-32534.pdfhttps://regulations.justia.com/regulations/fedreg/2015/12/28/2015-32528.htmlNotice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing of Amendment Nos. 3, 4, 5, and 6 and Order Granting Accelerated Approval of a Proposed Rule Change, as Modified by Amendment Nos. 1, 3, 4, 5 and 6, To List and Trade of Shares of the Guggenheim Total Return Bond ETF Under NYSE Arca Equities Rule 8.6002015-12-28T00:00:00-08:002015-12-28T00:00:00-08:002015-32528Noticehttps://www.gpo.gov/fdsys/pkg/FR-2015-12-28/pdf/2015-32528.pdfhttps://regulations.justia.com/regulations/fedreg/2015/12/28/2015-32527.htmlNotice - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Order Approving a Proposed Rule Change To Amend Rule 47582015-12-28T00:00:00-08:002015-12-28T00:00:00-08:002015-32527Noticehttps://www.gpo.gov/fdsys/pkg/FR-2015-12-28/pdf/2015-32527.pdfhttps://regulations.justia.com/regulations/fedreg/2015/12/28/2015-32526.htmlNotice - Self-Regulatory Organizations; Miami International Securities Exchange LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Its Fee Schedule2015-12-28T00:00:00-08:002015-12-28T00:00:00-08:002015-32526Noticehttps://www.gpo.gov/fdsys/pkg/FR-2015-12-28/pdf/2015-32526.pdfhttps://regulations.justia.com/regulations/fedreg/2015/12/28/2015-32525.htmlNotice - Self-Regulatory Organizations; Miami International Securities Exchange LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Its Fee Schedule2015-12-28T00:00:00-08:002015-12-28T00:00:00-08:002015-32525Noticehttps://www.gpo.gov/fdsys/pkg/FR-2015-12-28/pdf/2015-32525.pdfhttps://regulations.justia.com/regulations/fedreg/2015/12/28/2015-32524.htmlNotice - 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 Processing2015-12-28T00:00:00-08:002015-12-28T00:00:00-08:002015-32524Noticehttps://www.gpo.gov/fdsys/pkg/FR-2015-12-28/pdf/2015-32524.pdfhttps://regulations.justia.com/regulations/fedreg/2015/12/28/2015-32523.htmlNotice - Self-Regulatory Organizations; EDGX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Rule 11.6(n)(1), Routing/Posting Instructions, To Amend the Aggressive Instruction2015-12-28T00:00:00-08:002015-12-28T00:00:00-08:002015-32523Noticehttps://www.gpo.gov/fdsys/pkg/FR-2015-12-28/pdf/2015-32523.pdfhttps://regulations.justia.com/regulations/fedreg/2015/12/28/2015-31704.htmlProposed Rule - Use of Derivatives by Registered Investment Companies and Business Development Companies2015-12-28T00:00:00-08:002015-12-28T00:00:00-08:002015-31704Proposed Rulehttps://www.gpo.gov/fdsys/pkg/FR-2015-12-28/pdf/2015-31704.pdfhttps://regulations.justia.com/regulations/fedreg/2015/12/28/2015-29890.htmlProposed Rule - Regulation of NMS Stock Alternative Trading Systems2015-12-28T00:00:00-08:002015-12-28T00:00:00-08:002015-29890Proposed Rulehttps://www.gpo.gov/fdsys/pkg/FR-2015-12-28/pdf/2015-29890.pdfhttps://regulations.justia.com/regulations/fedreg/2015/12/24/2015-32576.htmlNotice - Bravo Resource Partners, Ltd., First Potash Corp., HIP Energy Corporation, Musgrove Minerals Corp., and Starcore International Ventures Ltd. (a/k/a Starcore International Mines Ltd.); Order of Suspension of Trading2015-12-24T00:00:00-08:002015-12-24T00:00:00-08:002015-32576Noticehttps://www.gpo.gov/fdsys/pkg/FR-2015-12-24/pdf/2015-32576.pdfhttps://regulations.justia.com/regulations/fedreg/2015/12/24/2015-32575.htmlNotice - Bioject Medical Technologies, Inc., Black Castle Developments Holdings, Inc. (n/k/a ingXabo Corporation), Catalyst Resource Group, Inc., SSI International, Ltd., Strike Axe, Inc., and Viper Powersports, Inc.; Order of Suspension of Trading2015-12-24T00:00:00-08:002015-12-24T00:00:00-08:002015-32575Noticehttps://www.gpo.gov/fdsys/pkg/FR-2015-12-24/pdf/2015-32575.pdfhttps://regulations.justia.com/regulations/fedreg/2015/12/24/2015-32392.htmlNotice - Proposed Collection; Comment Request2015-12-24T00:00:00-08:002015-12-24T00:00:00-08:002015-32392Noticehttps://www.gpo.gov/fdsys/pkg/FR-2015-12-24/pdf/2015-32392.pdfhttps://regulations.justia.com/regulations/fedreg/2015/12/24/2015-32391.htmlNotice - Self-Regulatory Organizations; NASDAQ OMX PHLX LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Regarding Trading Halts2015-12-24T00:00:00-08:002015-12-24T00:00:00-08:002015-32391Noticehttps://www.gpo.gov/fdsys/pkg/FR-2015-12-24/pdf/2015-32391.pdfhttps://regulations.justia.com/regulations/fedreg/2015/12/24/2015-32390.htmlNotice - Self-Regulatory Organizations; ICE Clear Europe Limited; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to ICC End-of-Day Price Discovery Policy2015-12-24T00:00:00-08:002015-12-24T00:00:00-08:002015-32390Noticehttps://www.gpo.gov/fdsys/pkg/FR-2015-12-24/pdf/2015-32390.pdfhttps://regulations.justia.com/regulations/fedreg/2015/12/24/2015-32389.htmlNotice - Self-Regulatory Organizations; NASDAQ OMX BX, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Establish Fees and Rebates Related to BX Price Improvement Auction (PRISM)2015-12-24T00:00:00-08:002015-12-24T00:00:00-08:002015-32389Noticehttps://www.gpo.gov/fdsys/pkg/FR-2015-12-24/pdf/2015-32389.pdfhttps://regulations.justia.com/regulations/fedreg/2015/12/24/2015-32388.htmlNotice - Self-Regulatory Organizations; NASDAQ OMX BX, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Regarding Fees and Rebates and Tiers Related to BX Options2015-12-24T00:00:00-08:002015-12-24T00:00:00-08:002015-32388Noticehttps://www.gpo.gov/fdsys/pkg/FR-2015-12-24/pdf/2015-32388.pdfhttps://regulations.justia.com/regulations/fedreg/2015/12/24/2015-32387.htmlNotice - Self-Regulatory Organizations; Miami International Securities Exchange, LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Establish the Securities Trader and Securities Trader Principal Registration Categories and To Establish the Series 57 Examination as the Appropriate Qualification Examination for Securities Traders2015-12-24T00:00:00-08:002015-12-24T00:00:00-08:002015-32387Noticehttps://www.gpo.gov/fdsys/pkg/FR-2015-12-24/pdf/2015-32387.pdfhttps://regulations.justia.com/regulations/fedreg/2015/12/24/2015-32386.htmlNotice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing of Proposed Rule Change To Amend Rule 1.1(s) To Provide for Price Collar Thresholds for Trading Halt Auctions2015-12-24T00:00:00-08:002015-12-24T00:00:00-08:002015-32386Noticehttps://www.gpo.gov/fdsys/pkg/FR-2015-12-24/pdf/2015-32386.pdfhttps://regulations.justia.com/regulations/fedreg/2015/12/24/2015-32385.htmlNotice - Self-Regulatory Organizations; BATS Y-Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Related to ALLB Routing and Other Fees for Use of BATS Y-Exchange, Inc.2015-12-24T00:00:00-08:002015-12-24T00:00:00-08:002015-32385Noticehttps://www.gpo.gov/fdsys/pkg/FR-2015-12-24/pdf/2015-32385.pdfhttps://regulations.justia.com/regulations/fedreg/2015/12/24/2015-32384.htmlNotice - Self-Regulatory Organizations; BATS Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Related to ALLB Routing and Other Fees for Use of BATS Exchange, Inc.2015-12-24T00:00:00-08:002015-12-24T00:00:00-08:002015-32384Noticehttps://www.gpo.gov/fdsys/pkg/FR-2015-12-24/pdf/2015-32384.pdfhttps://regulations.justia.com/regulations/fedreg/2015/12/24/2015-32383.htmlNotice - Self-Regulatory Organizations; NASDAQ OMX PHLX LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Delete Sections (e) Through (h) of Exchange Rule 1020, Registration and Functions of Options Specialists2015-12-24T00:00:00-08:002015-12-24T00:00:00-08:002015-32383Noticehttps://www.gpo.gov/fdsys/pkg/FR-2015-12-24/pdf/2015-32383.pdfhttps://regulations.justia.com/regulations/fedreg/2015/12/24/2015-32382.htmlNotice - Self-Regulatory Organizations; The Options Clearing Corporation; Notice of Filing of a Proposed Rule Change Concerning the Adoption of a Charter of a New Committee of The Options Clearing Corporation's Board of Directors, the Technology Committee2015-12-24T00:00:00-08:002015-12-24T00:00:00-08:002015-32382Noticehttps://www.gpo.gov/fdsys/pkg/FR-2015-12-24/pdf/2015-32382.pdfhttps://regulations.justia.com/regulations/fedreg/2015/12/23/2015-32193.htmlNotice - Altegris KKR Commitments Master Fund, et al.; Notice of Application2015-12-23T00:00:00-08:002015-12-23T00:00:00-08:002015-32193Noticehttps://www.gpo.gov/fdsys/pkg/FR-2015-12-23/pdf/2015-32193.pdfhttps://regulations.justia.com/regulations/fedreg/2015/12/23/2015-32192.htmlNotice - Order Granting Chicago Mercantile Exchange Inc.'s Request To Withdraw From Registration as a Clearing Agency2015-12-23T00:00:00-08:002015-12-23T00:00:00-08:002015-32192Noticehttps://www.gpo.gov/fdsys/pkg/FR-2015-12-23/pdf/2015-32192.pdfhttps://regulations.justia.com/regulations/fedreg/2015/12/23/2015-32191.htmlNotice - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Provide FINRA with Authority To Grant Exemptions from TRACE Reporting Requirements for Certain ATS Transactions2015-12-23T00:00:00-08:002015-12-23T00:00:00-08:002015-32191Noticehttps://www.gpo.gov/fdsys/pkg/FR-2015-12-23/pdf/2015-32191.pdfhttps://regulations.justia.com/regulations/fedreg/2015/12/23/2015-32190.htmlNotice - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Order Granting Approval of a Proposed Rule Change, as Modified by Amendment Nos. 1 and 2, To List and Trade Options That Overlie a Reduced Value of the FTSE China 50 Index2015-12-23T00:00:00-08:002015-12-23T00:00:00-08:002015-32190Noticehttps://www.gpo.gov/fdsys/pkg/FR-2015-12-23/pdf/2015-32190.pdfhttps://regulations.justia.com/regulations/fedreg/2015/12/23/2015-32189.htmlNotice - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing of a Proposed Rule Change To Adopt the Capital Acquisition Broker Rules2015-12-23T00:00:00-08:002015-12-23T00:00:00-08:002015-32189Noticehttps://www.gpo.gov/fdsys/pkg/FR-2015-12-23/pdf/2015-32189.pdfhttps://regulations.justia.com/regulations/fedreg/2015/12/23/2015-32188.htmlNotice - Self-Regulatory Organizations; Miami International Securities Exchange LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Its Fee Schedule2015-12-23T00:00:00-08:002015-12-23T00:00:00-08:002015-32188Noticehttps://www.gpo.gov/fdsys/pkg/FR-2015-12-23/pdf/2015-32188.pdfhttps://regulations.justia.com/regulations/fedreg/2015/12/23/2015-32187.htmlNotice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Designation of a Longer Period for Commission Action on Proposed Rule Change To Adopt a New Policy Relating to Trade Reports for Exchange Traded Products2015-12-23T00:00:00-08:002015-12-23T00:00:00-08:002015-32187Noticehttps://www.gpo.gov/fdsys/pkg/FR-2015-12-23/pdf/2015-32187.pdfhttps://regulations.justia.com/regulations/fedreg/2015/12/23/2015-32186.htmlNotice - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to the Technical Disconnect Mechanism2015-12-23T00:00:00-08:002015-12-23T00:00:00-08:002015-32186Noticehttps://www.gpo.gov/fdsys/pkg/FR-2015-12-23/pdf/2015-32186.pdfhttps://regulations.justia.com/regulations/fedreg/2015/12/23/2015-31703.htmlProposed Rule - Establishing the Form and Manner with which Security-Based Swap Data Repositories Must Make Security-Based Swap Data Available to the Commission2015-12-23T00:00:00-08:002015-12-23T00:00:00-08:002015-31703Proposed Rulehttps://www.gpo.gov/fdsys/pkg/FR-2015-12-23/pdf/2015-31703.pdfhttps://regulations.justia.com/regulations/fedreg/2015/12/23/2015-31702.htmlProposed Rule - Disclosure of Payments by Resource Extraction Issuers2015-12-23T00:00:00-08:002015-12-23T00:00:00-08:002015-31702Proposed Rulehttps://www.gpo.gov/fdsys/pkg/FR-2015-12-23/pdf/2015-31702.pdfhttps://regulations.justia.com/regulations/fedreg/2015/12/22/2015-32106.htmlRule - Crowdfunding; Correction2015-12-22T00:00:00-08:002015-12-22T00:00:00-08:002015-32106Rulehttps://www.gpo.gov/fdsys/pkg/FR-2015-12-22/pdf/2015-32106.pdfhttps://regulations.justia.com/regulations/fedreg/2015/12/22/2015-32079.htmlNotice - Third Avenue Trust and Third Avenue Management LLC; Notice of Application and Temporary Order2015-12-22T00:00:00-08:002015-12-22T00:00:00-08:002015-32079Noticehttps://www.gpo.gov/fdsys/pkg/FR-2015-12-22/pdf/2015-32079.pdfhttps://regulations.justia.com/regulations/fedreg/2015/12/22/2015-32053.htmlNotice - Proposed Collection; Comment Request2015-12-22T00:00:00-08:002015-12-22T00:00:00-08:002015-32053Noticehttps://www.gpo.gov/fdsys/pkg/FR-2015-12-22/pdf/2015-32053.pdfhttps://regulations.justia.com/regulations/fedreg/2015/12/22/2015-32052.htmlNotice - Self-Regulatory Organizations; NASDAQ OMX PHLX LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Extend the Cabinet Trading Pilot Program2015-12-22T00:00:00-08:002015-12-22T00:00:00-08:002015-32052Noticehttps://www.gpo.gov/fdsys/pkg/FR-2015-12-22/pdf/2015-32052.pdfhttps://regulations.justia.com/regulations/fedreg/2015/12/22/2015-32051.htmlNotice - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Order Approving a Proposed Rule Change To Merge FINRA Dispute Resolution, Inc. Into and With FINRA Regulation, Inc.2015-12-22T00:00:00-08:002015-12-22T00:00:00-08:002015-32051Noticehttps://www.gpo.gov/fdsys/pkg/FR-2015-12-22/pdf/2015-32051.pdfhttps://regulations.justia.com/regulations/fedreg/2015/12/22/2015-32050.htmlNotice - Self-Regulatory Organizations; NYSE MKT LLC; Notice of Designation of a Longer Period for Commission Action on Proposed Rule Change Deleting Rule 410B-Equities Governing Reporting Requirements for Off-Exchange Transactions2015-12-22T00:00:00-08:002015-12-22T00:00:00-08:002015-32050Noticehttps://www.gpo.gov/fdsys/pkg/FR-2015-12-22/pdf/2015-32050.pdfhttps://regulations.justia.com/regulations/fedreg/2015/12/22/2015-32049.htmlNotice - Self-Regulatory Organizations; NYSE MKT LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Extending Its Program That Allows Transactions To Take Place at a Price That Is Below $1 Per Option Contract Until January 5, 20172015-12-22T00:00:00-08:002015-12-22T00:00:00-08:002015-32049Noticehttps://www.gpo.gov/fdsys/pkg/FR-2015-12-22/pdf/2015-32049.pdfhttps://regulations.justia.com/regulations/fedreg/2015/12/22/2015-32048.htmlNotice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Extending Its Program That Allows Transactions to Take Place at a Price That Is Below $1 Per Option Contract Until January 5, 20172015-12-22T00:00:00-08:002015-12-22T00:00:00-08:002015-32048Noticehttps://www.gpo.gov/fdsys/pkg/FR-2015-12-22/pdf/2015-32048.pdfhttps://regulations.justia.com/regulations/fedreg/2015/12/22/2015-32047.htmlNotice - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Designation of a Longer Period for Commission Action on Proposed Rule Change Deleting Rule 410B Governing Reporting Requirements for Off-Exchange Transactions2015-12-22T00:00:00-08:002015-12-22T00:00:00-08:002015-32047Noticehttps://www.gpo.gov/fdsys/pkg/FR-2015-12-22/pdf/2015-32047.pdfhttps://regulations.justia.com/regulations/fedreg/2015/12/22/2015-32046.htmlNotice - Self-Regulatory Organizations; BATS Y-Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Rule 13.3, Forwarding of Proxy and Other Issuer Materials; Proxy Voting2015-12-22T00:00:00-08:002015-12-22T00:00:00-08:002015-32046Noticehttps://www.gpo.gov/fdsys/pkg/FR-2015-12-22/pdf/2015-32046.pdfhttps://regulations.justia.com/regulations/fedreg/2015/12/22/2015-32045.htmlNotice - Self-Regulatory Organizations; BATS Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Rule 13.3, Forwarding of Proxy and Other Issuer Materials; Proxy Voting2015-12-22T00:00:00-08:002015-12-22T00:00:00-08:002015-32045Noticehttps://www.gpo.gov/fdsys/pkg/FR-2015-12-22/pdf/2015-32045.pdfhttps://regulations.justia.com/regulations/fedreg/2015/12/22/2015-32044.htmlNotice - Self-Regulatory Organizations; NASDAQ OMX BX, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Order Exposure2015-12-22T00:00:00-08:002015-12-22T00:00:00-08:002015-32044Noticehttps://www.gpo.gov/fdsys/pkg/FR-2015-12-22/pdf/2015-32044.pdfhttps://regulations.justia.com/regulations/fedreg/2015/12/21/2015-31935.htmlNotice - Self-Regulatory Organizations; NASDAQ OMX PHLX LLC; Notice of Designation of a Longer Period for Commission Action on Proceedings To Determine Whether To Approve or Disapprove a Proposed Rule Change To Amend and Correct Rule 1080.072015-12-21T00:00:00-08:002015-12-21T00:00:00-08:002015-31935Noticehttps://www.gpo.gov/fdsys/pkg/FR-2015-12-21/pdf/2015-31935.pdfhttps://regulations.justia.com/regulations/fedreg/2015/12/21/2015-31934.htmlNotice - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend NASDAQ Options Market-Fees and Rebates2015-12-21T00:00:00-08:002015-12-21T00:00:00-08:002015-31934Noticehttps://www.gpo.gov/fdsys/pkg/FR-2015-12-21/pdf/2015-31934.pdfhttps://regulations.justia.com/regulations/fedreg/2015/12/21/2015-31933.htmlNotice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing of Proposed Rule Change Relating to the Index Underlying the WisdomTree Put Write Strategy Fund2015-12-21T00:00:00-08:002015-12-21T00:00:00-08:002015-31933Noticehttps://www.gpo.gov/fdsys/pkg/FR-2015-12-21/pdf/2015-31933.pdfhttps://regulations.justia.com/regulations/fedreg/2015/12/21/2015-31932.htmlNotice - Self-Regulatory Organizations; NYSE Arca, Inc.; Order Approving a Proposed Rule Change Regarding a Change to the Underlying Index of the Market Vectors Short High Yield Municipal Index ETF2015-12-21T00:00:00-08:002015-12-21T00:00:00-08:002015-31932Noticehttps://www.gpo.gov/fdsys/pkg/FR-2015-12-21/pdf/2015-31932.pdfhttps://regulations.justia.com/regulations/fedreg/2015/12/21/2015-31931.htmlNotice - Self-Regulatory Organizations; National Futures Association; Notice of Filing and Immediate Effectiveness of Proposed Change to the Interpretive Notice to NFA Compliance Rules 2-7 and 2-24 and Registration Rule 401: Proficiency Requirements for SFPs2015-12-21T00:00:00-08:002015-12-21T00:00:00-08:002015-31931Noticehttps://www.gpo.gov/fdsys/pkg/FR-2015-12-21/pdf/2015-31931.pdfhttps://regulations.justia.com/regulations/fedreg/2015/12/21/2015-31930.htmlNotice - Proposed Collection; Comment Request2015-12-21T00:00:00-08:002015-12-21T00:00:00-08:002015-31930Noticehttps://www.gpo.gov/fdsys/pkg/FR-2015-12-21/pdf/2015-31930.pdfhttps://regulations.justia.com/regulations/fedreg/2015/12/21/2015-31929.htmlNotice - Self-Regulatory Organizations; NASDAQ OMX BX, Inc.; Notice of Withdrawal of Proposed Rule Change To Amend the Fees Schedule2015-12-21T00:00:00-08:002015-12-21T00:00:00-08:002015-31929Noticehttps://www.gpo.gov/fdsys/pkg/FR-2015-12-21/pdf/2015-31929.pdfhttps://regulations.justia.com/regulations/fedreg/2015/12/21/2015-31928.htmlNotice - Self-Regulatory Organizations; NASDAQ OMX PHLX LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Delete Rule 1082015-12-21T00:00:00-08:002015-12-21T00:00:00-08:002015-31928Noticehttps://www.gpo.gov/fdsys/pkg/FR-2015-12-21/pdf/2015-31928.pdfhttps://regulations.justia.com/regulations/fedreg/2015/12/21/2015-31927.htmlNotice - Self-Regulatory Organizations; NASDAQ OMX BX, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the Exchange's Certificate of Incorporation and By-Laws2015-12-21T00:00:00-08:002015-12-21T00:00:00-08:002015-31927Noticehttps://www.gpo.gov/fdsys/pkg/FR-2015-12-21/pdf/2015-31927.pdfhttps://regulations.justia.com/regulations/fedreg/2015/12/21/2015-31926.htmlNotice - Self-Regulatory Organizations; NYSE MKT LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Rule 13 Equities To Eliminate Good Til Cancelled Orders and Stop Orders, and Make Conforming Changes to Equities Rules 49, 61, 70, 104, 115A, 116, 118, 123, 123A, 123C, 123D, 501, 1000, 1004, and 61402015-12-21T00:00:00-08:002015-12-21T00:00:00-08:002015-31926Noticehttps://www.gpo.gov/fdsys/pkg/FR-2015-12-21/pdf/2015-31926.pdfhttps://regulations.justia.com/regulations/fedreg/2015/12/21/2015-31925.htmlNotice - Self-Regulatory Organizations; NASDAQ OMX PHLX LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the Exchange's Certificate of Formation, By-Laws and First Amended Limited Liability Company Agreement2015-12-21T00:00:00-08:002015-12-21T00:00:00-08:002015-31925Noticehttps://www.gpo.gov/fdsys/pkg/FR-2015-12-21/pdf/2015-31925.pdfhttps://regulations.justia.com/regulations/fedreg/2015/12/21/2015-31924.htmlNotice - Self-Regulatory Organizations; Municipal Securities Rulemaking Board; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Forms G-37, G-37x and G-38t To Change the MSRB's Address on the Forms2015-12-21T00:00:00-08:002015-12-21T00:00:00-08:002015-31924Noticehttps://www.gpo.gov/fdsys/pkg/FR-2015-12-21/pdf/2015-31924.pdfhttps://regulations.justia.com/regulations/fedreg/2015/12/21/2015-31923.htmlNotice - Self-Regulatory Organizations; National Securities Clearing Corporation; Order Approving Proposed Rule Change To Provide Mechanism for Sub-Account Settlement With Respect to the Alternative Investment Product Services2015-12-21T00:00:00-08:002015-12-21T00:00:00-08:002015-31923Noticehttps://www.gpo.gov/fdsys/pkg/FR-2015-12-21/pdf/2015-31923.pdfhttps://regulations.justia.com/regulations/fedreg/2015/12/21/2015-31922.htmlNotice - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend NASDAQ Options Market-Fees and Rebates2015-12-21T00:00:00-08:002015-12-21T00:00:00-08:002015-31922Noticehttps://www.gpo.gov/fdsys/pkg/FR-2015-12-21/pdf/2015-31922.pdfhttps://regulations.justia.com/regulations/fedreg/2015/12/21/2015-31921.htmlNotice - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend NASD Rules 1022 (Categories of Principal Registration) and 1032 (Categories of Representative Registration)2015-12-21T00:00:00-08:002015-12-21T00:00:00-08:002015-31921Noticehttps://www.gpo.gov/fdsys/pkg/FR-2015-12-21/pdf/2015-31921.pdfhttps://regulations.justia.com/regulations/fedreg/2015/12/21/2015-31920.htmlNotice - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Rule 13 To Eliminate Good til Cancelled (“GTC”) Orders and Stop Orders, and Make Conforming Changes to Rules 49, 61, 70, 104, 109, 115A, 116, 118, 123, 123A, 123C, 123D, 1000, 1004 and 61402015-12-21T00:00:00-08:002015-12-21T00:00:00-08:002015-31920Noticehttps://www.gpo.gov/fdsys/pkg/FR-2015-12-21/pdf/2015-31920.pdfhttps://regulations.justia.com/regulations/fedreg/2015/12/18/2015-31818.htmlNotice - Self-Regulatory Organizations; The Options Clearing Corporation; Notice of Filing of an Advance Notice, as Modified by Amendment Nos. 1, 2 and 3, Concerning The Options Clearing Corporation's Non-Bank Liquidity Facility2015-12-18T00:00:00-08:002015-12-18T00:00:00-08:002015-31818Noticehttps://www.gpo.gov/fdsys/pkg/FR-2015-12-18/pdf/2015-31818.pdfhttps://regulations.justia.com/regulations/fedreg/2015/12/18/2015-31790.htmlNotice - Self-Regulatory Organizations; National Stock Exchange, Inc.; Order Approving a Proposed Rule Change To Modify and Eliminate Certain Rules and To Enable Trading Activity To Resume on the Exchange2015-12-18T00:00:00-08:002015-12-18T00:00:00-08:002015-31790Noticehttps://www.gpo.gov/fdsys/pkg/FR-2015-12-18/pdf/2015-31790.pdfhttps://regulations.justia.com/regulations/fedreg/2015/12/18/2015-31789.htmlNotice - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Order Approving a Proposed Rule Change To Amend FINRA Rule 0150 To Apply FINRA Rule 2121 and its Supplementary Material .01 and .02 to Transactions in Exempted Securities That Are Government Securities2015-12-18T00:00:00-08:002015-12-18T00:00:00-08:002015-31789Noticehttps://www.gpo.gov/fdsys/pkg/FR-2015-12-18/pdf/2015-31789.pdfhttps://regulations.justia.com/regulations/fedreg/2015/12/18/2015-31788.htmlNotice - Self-Regulatory Organizations; NYSE MKT LLC; Notice of Filing of Proposed Rule Change Amending the Seventh Amended and Restated Operating Agreement of the Exchange To Establish a Committee for Review as a Sub-Committee of the ROC and Make Conforming Changes to Rules and the NYSE MKT Company Guide2015-12-18T00:00:00-08:002015-12-18T00:00:00-08:002015-31788Noticehttps://www.gpo.gov/fdsys/pkg/FR-2015-12-18/pdf/2015-31788.pdfhttps://regulations.justia.com/regulations/fedreg/2015/12/18/2015-31787.htmlNotice - Self-Regulatory Organizations; NYSE MKT LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Add to the Rules of the Exchange the Ninth Amended and Restated Operating Agreement of New York Stock Exchange LLC2015-12-18T00:00:00-08:002015-12-18T00:00:00-08:002015-31787Noticehttps://www.gpo.gov/fdsys/pkg/FR-2015-12-18/pdf/2015-31787.pdfhttps://regulations.justia.com/regulations/fedreg/2015/12/18/2015-31786.htmlNotice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending the NYSE Arca Options Fee Schedule2015-12-18T00:00:00-08:002015-12-18T00:00:00-08:002015-31786Noticehttps://www.gpo.gov/fdsys/pkg/FR-2015-12-18/pdf/2015-31786.pdfhttps://regulations.justia.com/regulations/fedreg/2015/12/17/2015-31688.htmlNotice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending the NYSE Arca Equities Schedule of Fees and Charges for Exchange Services2015-12-17T00:00:00-08:002015-12-17T00:00:00-08:002015-31688Noticehttps://www.gpo.gov/fdsys/pkg/FR-2015-12-17/pdf/2015-31688.pdfhttps://regulations.justia.com/regulations/fedreg/2015/12/17/2015-31687.htmlNotice - Self-Regulatory Organizations; NASDAQ OMX PHLX LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to the Exchange's Pricing Schedule Under Section VIII With Respect to Execution and Routing of Orders in Securities Priced at $1 or More Per Share2015-12-17T00:00:00-08:002015-12-17T00:00:00-08:002015-31687Noticehttps://www.gpo.gov/fdsys/pkg/FR-2015-12-17/pdf/2015-31687.pdfhttps://regulations.justia.com/regulations/fedreg/2015/12/17/2015-31686.htmlNotice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending the NYSE Arca Options Fee Schedule2015-12-17T00:00:00-08:002015-12-17T00:00:00-08:002015-31686Noticehttps://www.gpo.gov/fdsys/pkg/FR-2015-12-17/pdf/2015-31686.pdfhttps://regulations.justia.com/regulations/fedreg/2015/12/17/2015-31685.htmlNotice - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Order Granting Approval of a Proposed Rule Change, as Modified by Amendment No. 1, To List and Trade Options That Overlie a Reduced Value of the FTSE 100 Index2015-12-17T00:00:00-08:002015-12-17T00:00:00-08:002015-31685Noticehttps://www.gpo.gov/fdsys/pkg/FR-2015-12-17/pdf/2015-31685.pdfhttps://regulations.justia.com/regulations/fedreg/2015/12/17/2015-31684.htmlNotice - Self-Regulatory Organizations; BATS Y-Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Rule 11.13(b)(4)(A), Amending Aggressive Re-Route Instruction2015-12-17T00:00:00-08:002015-12-17T00:00:00-08:002015-31684Noticehttps://www.gpo.gov/fdsys/pkg/FR-2015-12-17/pdf/2015-31684.pdfhttps://regulations.justia.com/regulations/fedreg/2015/12/17/2015-31683.htmlNotice - Self-Regulatory Organizations; BATS Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Rules 11.13(b)(4)(A) and 21.9(a)(3)(A), Amending Aggressive Re-Route Instruction2015-12-17T00:00:00-08:002015-12-17T00:00:00-08:002015-31683Noticehttps://www.gpo.gov/fdsys/pkg/FR-2015-12-17/pdf/2015-31683.pdfhttps://regulations.justia.com/regulations/fedreg/2015/12/17/2015-31682.htmlNotice - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Order Granting Approval of a Proposed Rule Change Relating to Complex Orders as Modified by Amendment No. 12015-12-17T00:00:00-08:002015-12-17T00:00:00-08:002015-31682Noticehttps://www.gpo.gov/fdsys/pkg/FR-2015-12-17/pdf/2015-31682.pdfhttps://regulations.justia.com/regulations/fedreg/2015/12/17/2015-31681.htmlNotice - Self-Regulatory Organizations; C2 Options Exchange, Incorporated; Order Granting Approval of a Proposed Rule Change Relating to Complex Orders as Modified by Amendment No. 12015-12-17T00:00:00-08:002015-12-17T00:00:00-08:002015-31681Noticehttps://www.gpo.gov/fdsys/pkg/FR-2015-12-17/pdf/2015-31681.pdfhttps://regulations.justia.com/regulations/fedreg/2015/12/17/2015-31680.htmlNotice - Self-Regulatory Organizations; NYSE Arca, Inc.; Order Instituting Proceedings To Determine Whether To Approve or Disapprove Proposed Rule Change, as Modified by Amendment No. 1, To List and Trade Shares of the Global Currency Gold Fund Under NYSE Arca Equities Rule 8.2012015-12-17T00:00:00-08:002015-12-17T00:00:00-08:002015-31680Noticehttps://www.gpo.gov/fdsys/pkg/FR-2015-12-17/pdf/2015-31680.pdfhttps://regulations.justia.com/regulations/fedreg/2015/12/17/2015-31679.htmlNotice - Submission for OMB Review Comment Request2015-12-17T00:00:00-08:002015-12-17T00:00:00-08:002015-31679Noticehttps://www.gpo.gov/fdsys/pkg/FR-2015-12-17/pdf/2015-31679.pdfhttps://regulations.justia.com/regulations/fedreg/2015/12/17/2015-31678.htmlNotice - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Order Granting Accelerated Approval of a Proposed Rule Change To Trade Expiring MSCI EAFE Index Options Until 3:00 p.m.2015-12-17T00:00:00-08:002015-12-17T00:00:00-08:002015-31678Noticehttps://www.gpo.gov/fdsys/pkg/FR-2015-12-17/pdf/2015-31678.pdfhttps://regulations.justia.com/regulations/fedreg/2015/12/17/2015-31677.htmlNotice - Submission for OMB Review; Comment Request2015-12-17T00:00:00-08:002015-12-17T00:00:00-08:002015-31677Noticehttps://www.gpo.gov/fdsys/pkg/FR-2015-12-17/pdf/2015-31677.pdfhttps://regulations.justia.com/regulations/fedreg/2015/12/16/2015-31578.htmlNotice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing of Proposed Rule Change to Its Rules To Provide That the Co-location Services Offered by the Exchange Include Three Time Feeds and Four Bundles of Co-location Services2015-12-16T00:00:00-08:002015-12-16T00:00:00-08:002015-31578Noticehttps://www.gpo.gov/fdsys/pkg/FR-2015-12-16/pdf/2015-31578.pdfhttps://regulations.justia.com/regulations/fedreg/2015/12/16/2015-31577.htmlNotice - Self-Regulatory Organizations; NYSE MKT LLC; Notice of Filing of Proposed Rule Change to Its Rules To Provide That the Co-Location Services Offered by the Exchange Include Three Time Feeds and Four Bundles of Co-Location Services2015-12-16T00:00:00-08:002015-12-16T00:00:00-08:002015-31577Noticehttps://www.gpo.gov/fdsys/pkg/FR-2015-12-16/pdf/2015-31577.pdfhttps://regulations.justia.com/regulations/fedreg/2015/12/16/2015-31576.htmlNotice - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing of Proposed Rule Change to Its Rules To Provide That the Co-Location Services Offered by the Exchange Include Three Time Feeds and Four Bundles of Co-Location Services2015-12-16T00:00:00-08:002015-12-16T00:00:00-08:002015-31576Noticehttps://www.gpo.gov/fdsys/pkg/FR-2015-12-16/pdf/2015-31576.pdfhttps://regulations.justia.com/regulations/fedreg/2015/12/15/2015-31597.htmlNotice - In The Matter of Oxford City Football Club, Inc.; Order of Suspension of Trading2015-12-15T00:00:00-08:002015-12-15T00:00:00-08:002015-31597Noticehttps://www.gpo.gov/fdsys/pkg/FR-2015-12-15/pdf/2015-31597.pdfhttps://regulations.justia.com/regulations/fedreg/2015/12/15/2015-31579.htmlNotice - Sunshine Act Meeting2015-12-15T00:00:00-08:002015-12-15T00:00:00-08:002015-31579Noticehttps://www.gpo.gov/fdsys/pkg/FR-2015-12-15/pdf/2015-31579.pdfhttps://regulations.justia.com/regulations/fedreg/2015/12/15/2015-31444.htmlNotice - Self-Regulatory Organizations; EDGX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Related to Fees for Use of EDGX Exchange, Inc.2015-12-15T00:00:00-08:002015-12-15T00:00:00-08:002015-31444Noticehttps://www.gpo.gov/fdsys/pkg/FR-2015-12-15/pdf/2015-31444.pdfhttps://regulations.justia.com/regulations/fedreg/2015/12/15/2015-31443.htmlNotice - Self-Regulatory Organizations; EDGA Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Related to Fees for Use of EDGA Exchange, Inc.2015-12-15T00:00:00-08:002015-12-15T00:00:00-08:002015-31443Noticehttps://www.gpo.gov/fdsys/pkg/FR-2015-12-15/pdf/2015-31443.pdfhttps://regulations.justia.com/regulations/fedreg/2015/12/15/2015-31442.htmlNotice - Self-Regulatory Organizations; NYSE MKT LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Rule 123C-Equities To Define the Term “Official Closing Price”2015-12-15T00:00:00-08:002015-12-15T00:00:00-08:002015-31442Noticehttps://www.gpo.gov/fdsys/pkg/FR-2015-12-15/pdf/2015-31442.pdfhttps://regulations.justia.com/regulations/fedreg/2015/12/15/2015-31441.htmlNotice - Self-Regulatory Organizations; NYSE MKT LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to NYSE MKT Trades Market Data Product Offering2015-12-15T00:00:00-08:002015-12-15T00:00:00-08:002015-31441Noticehttps://www.gpo.gov/fdsys/pkg/FR-2015-12-15/pdf/2015-31441.pdfhttps://regulations.justia.com/regulations/fedreg/2015/12/15/2015-31440.htmlNotice - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to NYSE Trades Market Data Product Offering2015-12-15T00:00:00-08:002015-12-15T00:00:00-08:002015-31440Noticehttps://www.gpo.gov/fdsys/pkg/FR-2015-12-15/pdf/2015-31440.pdfhttps://regulations.justia.com/regulations/fedreg/2015/12/15/2015-31439.htmlNotice - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Rule 123C To Define the Term “Official Closing Price”2015-12-15T00:00:00-08:002015-12-15T00:00:00-08:002015-31439Noticehttps://www.gpo.gov/fdsys/pkg/FR-2015-12-15/pdf/2015-31439.pdfhttps://regulations.justia.com/regulations/fedreg/2015/12/15/2015-31438.htmlNotice - Self-Regulatory Organizations; EDGX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Rule 19.6, Series of Options Contracts Open for Trading2015-12-15T00:00:00-08:002015-12-15T00:00:00-08:002015-31438Noticehttps://www.gpo.gov/fdsys/pkg/FR-2015-12-15/pdf/2015-31438.pdfhttps://regulations.justia.com/regulations/fedreg/2015/12/15/2015-31437.htmlNotice - Self-Regulatory Organizations; BATS Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Rule 19.6, Series of Options Contracts Open for Trading2015-12-15T00:00:00-08:002015-12-15T00:00:00-08:002015-31437Noticehttps://www.gpo.gov/fdsys/pkg/FR-2015-12-15/pdf/2015-31437.pdfhttps://regulations.justia.com/regulations/fedreg/2015/12/15/2015-30678.htmlUnknown - Regulatory Flexibility Agenda2015-12-15T00:00:00-08:002015-12-15T00:00:00-08:002015-30678Unknownhttps://www.gpo.gov/fdsys/pkg/FR-2015-12-15/pdf/2015-30678.pdfhttps://regulations.justia.com/regulations/fedreg/2015/12/14/2015-31362.htmlNotice - Proposed Collection; Comment Request2015-12-14T00:00:00-08:002015-12-14T00:00:00-08:002015-31362Noticehttps://www.gpo.gov/fdsys/pkg/FR-2015-12-14/pdf/2015-31362.pdfhttps://regulations.justia.com/regulations/fedreg/2015/12/14/2015-31361.htmlNotice - Proposed Collection; Comment Request2015-12-14T00:00:00-08:002015-12-14T00:00:00-08:002015-31361Noticehttps://www.gpo.gov/fdsys/pkg/FR-2015-12-14/pdf/2015-31361.pdfhttps://regulations.justia.com/regulations/fedreg/2015/12/14/2015-31360.htmlNotice - Submission for OMB Review; Comment Request2015-12-14T00:00:00-08:002015-12-14T00:00:00-08:002015-31360Noticehttps://www.gpo.gov/fdsys/pkg/FR-2015-12-14/pdf/2015-31360.pdfhttps://regulations.justia.com/regulations/fedreg/2015/12/14/2015-31359.htmlNotice - Submission for OMB Review; Comment Request2015-12-14T00:00:00-08:002015-12-14T00:00:00-08:002015-31359Noticehttps://www.gpo.gov/fdsys/pkg/FR-2015-12-14/pdf/2015-31359.pdfhttps://regulations.justia.com/regulations/fedreg/2015/12/14/2015-31358.htmlNotice - Submission for OMB Review; Comment Request2015-12-14T00:00:00-08:002015-12-14T00:00:00-08:002015-31358Noticehttps://www.gpo.gov/fdsys/pkg/FR-2015-12-14/pdf/2015-31358.pdfhttps://regulations.justia.com/regulations/fedreg/2015/12/14/2015-31333.htmlNotice - Self-Regulatory Organizations; NASDAQ OMX PHLX LLC; Notice of Filing of Proposed Rule Change To Make Permanent the Pilot Program Eliminating Minimum Value Sizes for Opening Transactions in New Series of FLEX Options2015-12-14T00:00:00-08:002015-12-14T00:00:00-08:002015-31333Noticehttps://www.gpo.gov/fdsys/pkg/FR-2015-12-14/pdf/2015-31333.pdfhttps://regulations.justia.com/regulations/fedreg/2015/12/14/2015-31329.htmlNotice - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending the NYSE Listed Company Manual To Provide That Any Senior Official of a Listed Company With the Rank of Corporate Secretary or Higher Can Sign the Written Request of a Listed Company Seeking To Change Its Designated Market Maker Unit Required by Section 806.01 of the Manual2015-12-14T00:00:00-08:002015-12-14T00:00:00-08:002015-31329Noticehttps://www.gpo.gov/fdsys/pkg/FR-2015-12-14/pdf/2015-31329.pdfhttps://regulations.justia.com/regulations/fedreg/2015/12/14/2015-31328.htmlNotice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing of Proposed Rule Change Relating to Listing and Trading of Shares of Cumberland Municipal Bond ETF Under NYSE Arca Equities Rule 8.6002015-12-14T00:00:00-08:002015-12-14T00:00:00-08:002015-31328Noticehttps://www.gpo.gov/fdsys/pkg/FR-2015-12-14/pdf/2015-31328.pdfhttps://regulations.justia.com/regulations/fedreg/2015/12/14/2015-31327.htmlNotice - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the Certificate of Incorporation of Its Parent Company2015-12-14T00:00:00-08:002015-12-14T00:00:00-08:002015-31327Noticehttps://www.gpo.gov/fdsys/pkg/FR-2015-12-14/pdf/2015-31327.pdfhttps://regulations.justia.com/regulations/fedreg/2015/12/14/2015-31326.htmlNotice - Self-Regulatory Organizations; C2 Options Exchange, Incorporated; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the Certificate of Incorporation of Its Parent Company2015-12-14T00:00:00-08:002015-12-14T00:00:00-08:002015-31326Noticehttps://www.gpo.gov/fdsys/pkg/FR-2015-12-14/pdf/2015-31326.pdfhttps://regulations.justia.com/regulations/fedreg/2015/12/11/2015-31283.htmlNotice - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Exchange Rules To Prescribe the Securities Traders Examination as the Qualifying Examination for Persons Associated With a Member Organization Engaged Solely in Proprietary Trading, and Amend Continuing Education Requirement Applicable to Such Members2015-12-11T00:00:00-08:002015-12-11T00:00:00-08:002015-31283Noticehttps://www.gpo.gov/fdsys/pkg/FR-2015-12-11/pdf/2015-31283.pdfhttps://regulations.justia.com/regulations/fedreg/2015/12/11/2015-31282.htmlNotice - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Nasdaq Rule 70182015-12-11T00:00:00-08:002015-12-11T00:00:00-08:002015-31282Noticehttps://www.gpo.gov/fdsys/pkg/FR-2015-12-11/pdf/2015-31282.pdfhttps://regulations.justia.com/regulations/fedreg/2015/12/11/2015-31281.htmlNotice - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Filing of a Proposed Rule Change, as Modified by Amendment No. 1 Thereto, Relating to Price Protection Mechanisms2015-12-11T00:00:00-08:002015-12-11T00:00:00-08:002015-31281Noticehttps://www.gpo.gov/fdsys/pkg/FR-2015-12-11/pdf/2015-31281.pdfhttps://regulations.justia.com/regulations/fedreg/2015/12/11/2015-31280.htmlNotice - Self-Regulatory Organizations; C2 Options Exchange, Incorporated; Notice of Filing of a Proposed Rule Change, as Modified by Amendment No. 1 Thereto, Relating to Price Protection Mechanisms2015-12-11T00:00:00-08:002015-12-11T00:00:00-08:002015-31280Noticehttps://www.gpo.gov/fdsys/pkg/FR-2015-12-11/pdf/2015-31280.pdfhttps://regulations.justia.com/regulations/fedreg/2015/12/11/2015-31279.htmlNotice - Self-Regulatory Organizations; NYSE MKT LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Exchange Rules To Prescribe the Securities Traders Examination as the Qualifying Examination for Persons Associated With a Member Organization Engaged Solely in Proprietary Trading, and Amend Continuing Education Requirement Applicable to Such Members2015-12-11T00:00:00-08:002015-12-11T00:00:00-08:002015-31279Noticehttps://www.gpo.gov/fdsys/pkg/FR-2015-12-11/pdf/2015-31279.pdfhttps://regulations.justia.com/regulations/fedreg/2015/12/11/2015-31278.htmlNotice - Self-Regulatory Organizations; NYSE MKT LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Exchange Rules To Establish the Securities Trader and Securities Trader Principal Registration Categories2015-12-11T00:00:00-08:002015-12-11T00:00:00-08:002015-31278Noticehttps://www.gpo.gov/fdsys/pkg/FR-2015-12-11/pdf/2015-31278.pdfhttps://regulations.justia.com/regulations/fedreg/2015/12/11/2015-31277.htmlNotice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Exchange Rules To Prescribe the Securities Traders Examination as the Qualifying Examination for Employees of ETP Holders Engaged Solely in Proprietary Trading, and Amend Continuing Education Requirement Applicable to Such Members2015-12-11T00:00:00-08:002015-12-11T00:00:00-08:002015-31277Noticehttps://www.gpo.gov/fdsys/pkg/FR-2015-12-11/pdf/2015-31277.pdfhttps://regulations.justia.com/regulations/fedreg/2015/12/11/2015-31276.htmlNotice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending NYSE Arca Rule 2.23 To Establish the Securities Trader and Securities Trader Principal Registration Categories2015-12-11T00:00:00-08:002015-12-11T00:00:00-08:002015-31276Noticehttps://www.gpo.gov/fdsys/pkg/FR-2015-12-11/pdf/2015-31276.pdfhttps://regulations.justia.com/regulations/fedreg/2015/12/11/2015-31275.htmlNotice - Self-Regulatory Organizations; EDGX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Delete Rule 22.10, Limitation on Dealings, Related to the EDGX Options Market2015-12-11T00:00:00-08:002015-12-11T00:00:00-08:002015-31275Noticehttps://www.gpo.gov/fdsys/pkg/FR-2015-12-11/pdf/2015-31275.pdfhttps://regulations.justia.com/regulations/fedreg/2015/12/11/2015-31179.htmlNotice - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Withdrawal of Proposed Rule Change To Amend the Fees Schedule2015-12-11T00:00:00-08:002015-12-11T00:00:00-08:002015-31179Noticehttps://www.gpo.gov/fdsys/pkg/FR-2015-12-11/pdf/2015-31179.pdfhttps://regulations.justia.com/regulations/fedreg/2015/12/11/2015-31178.htmlNotice - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the Fees Schedule2015-12-11T00:00:00-08:002015-12-11T00:00:00-08:002015-31178Noticehttps://www.gpo.gov/fdsys/pkg/FR-2015-12-11/pdf/2015-31178.pdfhttps://regulations.justia.com/regulations/fedreg/2015/12/11/2015-31177.htmlNotice - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Rule 6.542015-12-11T00:00:00-08:002015-12-11T00:00:00-08:002015-31177Noticehttps://www.gpo.gov/fdsys/pkg/FR-2015-12-11/pdf/2015-31177.pdfhttps://regulations.justia.com/regulations/fedreg/2015/12/11/2015-31176.htmlNotice - Self-Regulatory Organizations; ICE Clear Europe Limited; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to Gross Margining for Certain Categories of Customer Accounts2015-12-11T00:00:00-08:002015-12-11T00:00:00-08:002015-31176Noticehttps://www.gpo.gov/fdsys/pkg/FR-2015-12-11/pdf/2015-31176.pdfhttps://regulations.justia.com/regulations/fedreg/2015/12/10/2015-31070.htmlNotice - Alcentra Capital Corporation, et al.; Notice of Application2015-12-10T00:00:00-08:002015-12-10T00:00:00-08:002015-31070Noticehttps://www.gpo.gov/fdsys/pkg/FR-2015-12-10/pdf/2015-31070.pdfhttps://regulations.justia.com/regulations/fedreg/2015/12/10/2015-31069.htmlNotice - Submission for OMB Review; Comment Request2015-12-10T00:00:00-08:002015-12-10T00:00:00-08:002015-31069Noticehttps://www.gpo.gov/fdsys/pkg/FR-2015-12-10/pdf/2015-31069.pdfhttps://regulations.justia.com/regulations/fedreg/2015/12/10/2015-31068.htmlNotice - Submission for OMB Review; Comment Request2015-12-10T00:00:00-08:002015-12-10T00:00:00-08:002015-31068Noticehttps://www.gpo.gov/fdsys/pkg/FR-2015-12-10/pdf/2015-31068.pdfhttps://regulations.justia.com/regulations/fedreg/2015/12/10/2015-31067.htmlNotice - Submission for OMB Review; Comment Request2015-12-10T00:00:00-08:002015-12-10T00:00:00-08:002015-31067Noticehttps://www.gpo.gov/fdsys/pkg/FR-2015-12-10/pdf/2015-31067.pdfhttps://regulations.justia.com/regulations/fedreg/2015/12/10/2015-31066.htmlNotice - Submission for OMB Review; Comment Request2015-12-10T00:00:00-08:002015-12-10T00:00:00-08:002015-31066Noticehttps://www.gpo.gov/fdsys/pkg/FR-2015-12-10/pdf/2015-31066.pdfhttps://regulations.justia.com/regulations/fedreg/2015/12/10/2015-31065.htmlNotice - Self-Regulatory Organizations: Miami International Securities Exchange LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Its Fee Schedule2015-12-10T00:00:00-08:002015-12-10T00:00:00-08:002015-31065Noticehttps://www.gpo.gov/fdsys/pkg/FR-2015-12-10/pdf/2015-31065.pdfhttps://regulations.justia.com/regulations/fedreg/2015/12/10/2015-31064.htmlNotice - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Rule 7620A Relating to FINRA/Nasdaq Trade Reporting Facility Fees2015-12-10T00:00:00-08:002015-12-10T00:00:00-08:002015-31064Noticehttps://www.gpo.gov/fdsys/pkg/FR-2015-12-10/pdf/2015-31064.pdfhttps://regulations.justia.com/regulations/fedreg/2015/12/09/2015-31106.htmlNotice - Sunshine Act Meeting2015-12-09T00:00:00-08:002015-12-09T00:00:00-08:002015-31106Noticehttp://www.gpo.gov/fdsys/pkg/FR-2015-12-09/pdf/2015-31106.pdfhttps://regulations.justia.com/regulations/fedreg/2015/12/09/2015-30971.htmlNotice - Self-Regulatory Organizations; The Options Clearing Corporation; Notice of No Objection to Advance Notice Filing to Modify The Options Clearing Corporation's Margin Methodology by Incorporating Variations in Implied Volatility2015-12-09T00:00:00-08:002015-12-09T00:00:00-08:002015-30971Noticehttp://www.gpo.gov/fdsys/pkg/FR-2015-12-09/pdf/2015-30971.pdfhttps://regulations.justia.com/regulations/fedreg/2015/12/09/2015-30945.htmlNotice - Self-Regulatory Organizations; NYSE MKT LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Rule 107C-Equities To Distinguish Between Retail Orders Routed on Behalf of Other Broker-Dealers and Retail Orders That Are Routed on Behalf of Introduced Retail Accounts That Are Carried on a Fully Disclosed Basis2015-12-09T00:00:00-08:002015-12-09T00:00:00-08:002015-30945Noticehttp://www.gpo.gov/fdsys/pkg/FR-2015-12-09/pdf/2015-30945.pdfhttps://regulations.justia.com/regulations/fedreg/2015/12/09/2015-30944.htmlNotice - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Rule 107C To Distinguish Between Retail Orders Routed on Behalf of Other Broker-Dealers and Retail Orders That Are Routed on Behalf of Introduced Retail Accounts That Are Carried on a Fully Disclosed Basis2015-12-09T00:00:00-08:002015-12-09T00:00:00-08:002015-30944Noticehttp://www.gpo.gov/fdsys/pkg/FR-2015-12-09/pdf/2015-30944.pdfhttps://regulations.justia.com/regulations/fedreg/2015/12/09/2015-30943.htmlNotice - Self-Regulatory Organizations; BATS Exchange, Inc.; Notice of Filing of a Proposed Rule Change To Adopt Rule 11.27 Regarding the Quoting and Trading Requirements of the Tick Size Pilot Program2015-12-09T00:00:00-08:002015-12-09T00:00:00-08:002015-30943Noticehttp://www.gpo.gov/fdsys/pkg/FR-2015-12-09/pdf/2015-30943.pdfhttps://regulations.justia.com/regulations/fedreg/2015/12/09/2015-30942.htmlNotice - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Designation of a Longer Period for Commission Action on a Proposed Rule Change To Establish Rules To Comply With the Requirements of the Plan To Implement a Tick Size Pilot Plan Submitted to the Commission Pursuant to Rule 608 of Regulation NMS Under the Act2015-12-09T00:00:00-08:002015-12-09T00:00:00-08:002015-30942Noticehttp://www.gpo.gov/fdsys/pkg/FR-2015-12-09/pdf/2015-30942.pdfhttps://regulations.justia.com/regulations/fedreg/2015/12/09/2015-30941.htmlNotice - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Adopt Record Keeping Change and Substitution Listing Event Fees for Securities Listed Under the Rule 5700 Series2015-12-09T00:00:00-08:002015-12-09T00:00:00-08:002015-30941Noticehttp://www.gpo.gov/fdsys/pkg/FR-2015-12-09/pdf/2015-30941.pdfhttps://regulations.justia.com/regulations/fedreg/2015/12/09/2015-30940.htmlNotice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending NYSE Arca Equities Rules 7.44 and 7.44P To Distinguish Between Retail Orders Routed on Behalf of Other Broker-Dealers and Retail Orders That are Routed on Behalf of Introduced Retail Accounts That are Carried on a Fully Disclosed Basis2015-12-09T00:00:00-08:002015-12-09T00:00:00-08:002015-30940Noticehttp://www.gpo.gov/fdsys/pkg/FR-2015-12-09/pdf/2015-30940.pdfhttps://regulations.justia.com/regulations/fedreg/2015/12/09/2015-30939.htmlNotice - Self-Regulatory Organizations; BOX Options Exchange LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To amend IM-5050-10 to BOX Rule 5050 (Mini Option Contracts)2015-12-09T00:00:00-08:002015-12-09T00:00:00-08:002015-30939Noticehttp://www.gpo.gov/fdsys/pkg/FR-2015-12-09/pdf/2015-30939.pdfhttps://regulations.justia.com/regulations/fedreg/2015/12/09/2015-30866.htmlNotice - Proposed Collection; Comment Request2015-12-09T00:00:00-08:002015-12-09T00:00:00-08:002015-30866Noticehttp://www.gpo.gov/fdsys/pkg/FR-2015-12-09/pdf/2015-30866.pdfhttps://regulations.justia.com/regulations/fedreg/2015/12/08/2015-31071.htmlNotice - Sunshine Act Meeting2015-12-08T00:00:00-08:002015-12-08T00:00:00-08:002015-31071Noticehttp://www.gpo.gov/fdsys/pkg/FR-2015-12-08/pdf/2015-31071.pdfhttps://regulations.justia.com/regulations/fedreg/2015/12/08/2015-30946.htmlNotice - Sunshine Act Meeting2015-12-08T00:00:00-08:002015-12-08T00:00:00-08:002015-30946Noticehttp://www.gpo.gov/fdsys/pkg/FR-2015-12-08/pdf/2015-30946.pdfhttps://regulations.justia.com/regulations/fedreg/2015/12/08/2015-30867.htmlNotice - Nuveen Fund Advisors, LLC, et al.; Notice of Application2015-12-08T00:00:00-08:002015-12-08T00:00:00-08:002015-30867Noticehttp://www.gpo.gov/fdsys/pkg/FR-2015-12-08/pdf/2015-30867.pdfhttps://regulations.justia.com/regulations/fedreg/2015/12/08/2015-30838.htmlNotice - Investment Advisers Act of 1940, Release No. 4285/December 2, 2015; Notice of Intention To Cancel Registrations of Certain Investment Advisers Pursuant to Section 203(H) of the Investment Advisers Act of 19402015-12-08T00:00:00-08:002015-12-08T00:00:00-08:002015-30838Noticehttp://www.gpo.gov/fdsys/pkg/FR-2015-12-08/pdf/2015-30838.pdfhttps://regulations.justia.com/regulations/fedreg/2015/12/08/2015-30837.htmlNotice - Self-Regulatory Organizations; NYSE MKT LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Rule 132-Equities To Delete Supplementary Material .40 Requiring Members Effecting Transactions on the Equities Trading Floor to Submit Certain Data Elements and Badge Information and to Make a Conforming Change2015-12-08T00:00:00-08:002015-12-08T00:00:00-08:002015-30837Noticehttp://www.gpo.gov/fdsys/pkg/FR-2015-12-08/pdf/2015-30837.pdfhttps://regulations.justia.com/regulations/fedreg/2015/12/08/2015-30836.htmlNotice - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Rule 132 To Delete Supplementary Material .40 Requiring Members Effecting Transactions on the NYSE Trading Floor To Submit Certain Data Elements and Badge Information and To Make a Conforming Change2015-12-08T00:00:00-08:002015-12-08T00:00:00-08:002015-30836Noticehttp://www.gpo.gov/fdsys/pkg/FR-2015-12-08/pdf/2015-30836.pdfhttps://regulations.justia.com/regulations/fedreg/2015/12/08/2015-30835.htmlNotice - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Order Approving a Proposed Rule Change To List and Trade Shares of the Active Alts Contrarian ETF of ETFis Series Trust I2015-12-08T00:00:00-08:002015-12-08T00:00:00-08:002015-30835Noticehttp://www.gpo.gov/fdsys/pkg/FR-2015-12-08/pdf/2015-30835.pdfhttps://regulations.justia.com/regulations/fedreg/2015/12/07/2015-30746.htmlNotice - Proposed Collection; Comment Request2015-12-07T00:00:00-08:002015-12-07T00:00:00-08:002015-30746Noticehttp://www.gpo.gov/fdsys/pkg/FR-2015-12-07/pdf/2015-30746.pdfhttps://regulations.justia.com/regulations/fedreg/2015/12/07/2015-30721.htmlNotice - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Update Rule Cross-References and Make Non-Substantive Technical Changes to Certain FINRA Rules2015-12-07T00:00:00-08:002015-12-07T00:00:00-08:002015-30721Noticehttp://www.gpo.gov/fdsys/pkg/FR-2015-12-07/pdf/2015-30721.pdfhttps://regulations.justia.com/regulations/fedreg/2015/12/07/2015-30720.htmlNotice - Self-Regulatory Organizations; NASDAQ OMX BX, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Market Order Spread Protection2015-12-07T00:00:00-08:002015-12-07T00:00:00-08:002015-30720Noticehttp://www.gpo.gov/fdsys/pkg/FR-2015-12-07/pdf/2015-30720.pdfhttps://regulations.justia.com/regulations/fedreg/2015/12/04/2015-30609.htmlNotice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing of Proposed Rule Change Relating To Listing and Trading of Shares of the Market Vectors Dynamic Put Write ETF Under NYSE Arca Equities Rule 8.6002015-12-04T00:00:00-08:002015-12-04T00:00:00-08:002015-30609Noticehttp://www.gpo.gov/fdsys/pkg/FR-2015-12-04/pdf/2015-30609.pdfhttps://regulations.justia.com/regulations/fedreg/2015/12/04/2015-30607.htmlNotice - Self-Regulatory Organizations; NASDAQ OMX BX, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Establish Fees and Rebates Related to Order Exposure2015-12-04T00:00:00-08:002015-12-04T00:00:00-08:002015-30607Noticehttp://www.gpo.gov/fdsys/pkg/FR-2015-12-04/pdf/2015-30607.pdfhttps://regulations.justia.com/regulations/fedreg/2015/12/03/2015-30608.htmlNotice - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Filing of a Proposed Rule Change To Permit P.M.-Settled Options on Broad-Based Indexes To Expire on Any Wednesday of the Month by Expanding the End of Week/End of Month Pilot Program2015-12-03T00:00:00-08:002015-12-03T00:00:00-08:002015-30608Noticehttp://www.gpo.gov/fdsys/pkg/FR-2015-12-03/pdf/2015-30608.pdfhttps://regulations.justia.com/regulations/fedreg/2015/12/01/2015-30480.htmlNotice - Self-Regulatory Organizations; NYSE MKT LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Establishing Fees for the NYSE MKT Integrated Feed2015-12-01T00:00:00-08:002015-12-01T00:00:00-08:002015-30480Noticehttp://www.gpo.gov/fdsys/pkg/FR-2015-12-01/pdf/2015-30480.pdfhttps://regulations.justia.com/regulations/fedreg/2015/12/01/2015-30479.htmlNotice - Self-Regulatory Organizations; BATS Exchange, Inc.; Notice of Filing of a Proposed Rule Change To Adopt Rule 11.27 Regarding the Data Collection Requirements of the Tick Size Pilot Program2015-12-01T00:00:00-08:002015-12-01T00:00:00-08:002015-30479Noticehttp://www.gpo.gov/fdsys/pkg/FR-2015-12-01/pdf/2015-30479.pdfhttps://regulations.justia.com/regulations/fedreg/2015/12/01/2015-30413.htmlNotice - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Extend the Tier Size Pilot of FINRA Rule 6433 (Minimum Quotation Size Requirements for OTC Equity Securities)2015-12-01T00:00:00-08:002015-12-01T00:00:00-08:002015-30413Noticehttp://www.gpo.gov/fdsys/pkg/FR-2015-12-01/pdf/2015-30413.pdfhttps://regulations.justia.com/regulations/fedreg/2015/12/01/2015-30412.htmlNotice - Bloomberg STP LLC; SS&C Technologies, Inc.; Order of the Commission Approving Applications for an Exemption From Registration as a Clearing Agency2015-12-01T00:00:00-08:002015-12-01T00:00:00-08:002015-30412Noticehttp://www.gpo.gov/fdsys/pkg/FR-2015-12-01/pdf/2015-30412.pdfhttps://regulations.justia.com/regulations/fedreg/2015/12/01/2015-30386.htmlNotice - Self-Regulatory Organizations; NASDAQ OMX BX, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Establish Fees and Rebates Related to BX Price Improvement Auction (PRISM)2015-12-01T00:00:00-08:002015-12-01T00:00:00-08:002015-30386Noticehttp://www.gpo.gov/fdsys/pkg/FR-2015-12-01/pdf/2015-30386.pdfhttps://regulations.justia.com/regulations/fedreg/2015/12/01/2015-30384.htmlNotice - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Include Managed Fund Shares in the Lead Market Maker Program2015-12-01T00:00:00-08:002015-12-01T00:00:00-08:002015-30384Noticehttp://www.gpo.gov/fdsys/pkg/FR-2015-12-01/pdf/2015-30384.pdfhttps://regulations.justia.com/regulations/fedreg/2015/11/30/2015-30481.htmlNotice - Sunshine Act Meeting2015-11-30T00:00:00-08:002015-11-30T00:00:00-08:002015-30481Noticehttp://www.gpo.gov/fdsys/pkg/FR-2015-11-30/pdf/2015-30481.pdfhttps://regulations.justia.com/regulations/fedreg/2015/11/30/2015-30332.htmlNotice - Self-Regulatory Organizations; NASDAQ OMX PHLX LLC; Order Approving a Proposed Rule Change Relating to the Active Specialized Quote Feed Port Fee2015-11-30T00:00:00-08:002015-11-30T00:00:00-08:002015-30332Noticehttp://www.gpo.gov/fdsys/pkg/FR-2015-11-30/pdf/2015-30332.pdfhttps://regulations.justia.com/regulations/fedreg/2015/11/30/2015-30245.htmlNotice - 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 Banks2015-11-30T00:00:00-08:002015-11-30T00:00:00-08:002015-30245Noticehttp://www.gpo.gov/fdsys/pkg/FR-2015-11-30/pdf/2015-30245.pdfhttps://regulations.justia.com/regulations/fedreg/2015/11/30/2015-30244.htmlNotice - Self-Regulatory Organizations; International Securities Exchange, LLC; Notice of Filing of Proposed Rule Change Relating Alternative Primary Market Makers2015-11-30T00:00:00-08:002015-11-30T00:00:00-08:002015-30244Noticehttp://www.gpo.gov/fdsys/pkg/FR-2015-11-30/pdf/2015-30244.pdfhttps://regulations.justia.com/regulations/fedreg/2015/11/30/2015-30243.htmlNotice - Self-Regulatory Organizations; International Securities Exchange, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the Schedule of Fees2015-11-30T00:00:00-08:002015-11-30T00:00:00-08:002015-30243Noticehttp://www.gpo.gov/fdsys/pkg/FR-2015-11-30/pdf/2015-30243.pdfhttps://regulations.justia.com/regulations/fedreg/2015/11/30/2015-30242.htmlNotice - Self-Regulatory Organizations; International Securities Exchange, LLC; Notice of Filing of Proposed Rule Change To Amend Rule 804(g)2015-11-30T00:00:00-08:002015-11-30T00:00:00-08:002015-30242Noticehttp://www.gpo.gov/fdsys/pkg/FR-2015-11-30/pdf/2015-30242.pdfhttps://regulations.justia.com/regulations/fedreg/2015/11/30/2015-30241.htmlNotice - Self-Regulatory Organizations; ISE Gemini, LLC; Notice of Filing of Proposed Rule Change To Amend Rule 804(g)2015-11-30T00:00:00-08:002015-11-30T00:00:00-08:002015-30241Noticehttp://www.gpo.gov/fdsys/pkg/FR-2015-11-30/pdf/2015-30241.pdfhttps://regulations.justia.com/regulations/fedreg/2015/11/27/2015-30093.htmlNotice - Notice of Applications for Deregistration Under Section 8(f) of the Investment Company Act of 19402015-11-27T00:00:00-08:002015-11-27T00:00:00-08:002015-30093Noticehttp://www.gpo.gov/fdsys/pkg/FR-2015-11-27/pdf/2015-30093.pdf