Securities and Exchange Commission 2015 – Federal Register Recent Federal Regulation Documents

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Self-Regulatory Organizations; Boston Stock Exchange Clearing Corporation; Notice of Filing of Proposed Rule Change To Amend the Amended and Restated Certificate of Incorporation and By-Laws of The NASDAQ OMX Group, Inc.
Document Number: 2015-13450
Type: Notice
Date: 2015-06-03
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2015/06/03/2015-13450.html
Self-Regulatory Organizations; Stock Clearing Corporation of Philadelphia; Notice of Filing of Proposed Rule Change To Amend the Amended and Restated Certificate of Incorporation and By-Laws of The NASDAQ OMX Group, Inc.
Document Number: 2015-13449
Type: Notice
Date: 2015-06-03
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2015/06/03/2015-13449.html
Sunshine Act Meeting
Document Number: 2015-13453
Type: Notice
Date: 2015-06-02
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2015/06/02/2015-13453.html
Submission for OMB Review; Comment Request
Document Number: 2015-13382
Type: Notice
Date: 2015-06-02
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2015/06/02/2015-13382.html
Submission for OMB Review; Comment Request
Document Number: 2015-13381
Type: Notice
Date: 2015-06-02
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2015/06/02/2015-13381.html
Submission for OMB Review; Comment Request
Document Number: 2015-13380
Type: Notice
Date: 2015-06-02
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2015/06/02/2015-13380.html
Submission for OMB Review Comment Request
Document Number: 2015-13379
Type: Notice
Date: 2015-06-02
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2015/06/02/2015-13379.html
Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Clarify the Scope of the Definition of “Asset-Backed Security” for Purposes of Reporting to FINRA's Trade Reporting and Compliance Engine (TRACE) System
Document Number: 2015-13378
Type: Notice
Date: 2015-06-02
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2015/06/02/2015-13378.html
Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Section 804.00 of the Listed Company Manual To Specify That Issuers Seeking a Review of a Delisting Decision Made by the Staff of NYSE Regulation, Inc. Must Have Paid All Prior Fees Owed to the Exchange
Document Number: 2015-13326
Type: Notice
Date: 2015-06-02
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2015/06/02/2015-13326.html
Benefit Street Partners BDC, Inc., et al.; Notice of Application
Document Number: 2015-13321
Type: Notice
Date: 2015-06-02
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2015/06/02/2015-13321.html
The RBB Fund, Inc., et al.;
Document Number: 2015-13176
Type: Notice
Date: 2015-06-02
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2015/06/02/2015-13176.html
Self-Regulatory Organizations; NASDAQ OMX PHLX LLC; Notice of Filing of Proposed Rule Change To Amend the Amended and Restated Certificate of Incorporation and By-Laws of The NASDAQ OMX Group, Inc.
Document Number: 2015-13175
Type: Notice
Date: 2015-06-02
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2015/06/02/2015-13175.html
Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing of Proposed Rule Change To Amend the Amended and Restated Certificate of Incorporation and By-Laws of The NASDAQ OMX Group, Inc.
Document Number: 2015-13174
Type: Notice
Date: 2015-06-02
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2015/06/02/2015-13174.html
Self-Regulatory Organizations; NASDAQ OMX BX, Inc.; Notice of Filing of Proposed Rule Change To Amend the Amended and Restated Certificate of Incorporation and By-Laws of The NASDAQ OMX Group, Inc.
Document Number: 2015-13173
Type: Notice
Date: 2015-06-02
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2015/06/02/2015-13173.html
Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Designation of a Longer Period for Commission Action on a Proposed Rule Change Amending NYSE Rule 13 and Related Rules Governing Order Types and Modifiers
Document Number: 2015-13171
Type: Notice
Date: 2015-06-02
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2015/06/02/2015-13171.html
Sunshine Act Meeting
Document Number: 2015-13322
Type: Notice
Date: 2015-06-01
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2015/06/01/2015-13322.html
In the Matter of America West Resources, Inc., Sonoma Valley Bancorp, and WorldStar Energy, Corp.; Order of Suspension of Trading
Document Number: 2015-13320
Type: Notice
Date: 2015-06-01
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2015/06/01/2015-13320.html
Self-Regulatory Organizations; NYSE MKT LLC; Notice of Designation of a Longer Period for Commission Action on a Proposed Rule Change Amending NYSEMKT Rule 13-Equities and Related Rules Governing Order Types and Modifiers
Document Number: 2015-13172
Type: Notice
Date: 2015-06-01
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2015/06/01/2015-13172.html
Self-Regulatory Organizations; Municipal Securities Rulemaking Board; Order Granting Approval of a Proposed Rule Change Consisting of Proposed Amendments to the MSRB Rule G-14 RTRS Procedures, and the Real-Time Transaction Reporting System and Subscription Service
Document Number: 2015-13082
Type: Notice
Date: 2015-06-01
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2015/06/01/2015-13082.html
Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Designation of a Longer Period for Commission Action on Proposed Rule Change Relating to Listing and Trading Under NYSE Arca Equities Rule 5.2(j)(3), Commentary .02 of Shares of the Vanguard Tax-Exempt Bond Index Fund
Document Number: 2015-13073
Type: Notice
Date: 2015-06-01
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2015/06/01/2015-13073.html
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 Share
Document Number: 2015-13072
Type: Notice
Date: 2015-06-01
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2015/06/01/2015-13072.html
Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Order Approving Proposed Rule Change To Amend the Code of Arbitration Procedure for Customer Disputes and the Code of Arbitration Procedure for Industry Disputes To Increase a Fee for the Late Cancellation of a Scheduled Hearing, Lengthen the Notice Period for Cancelling a Scheduled Hearing, and Increase the Amount of Honoraria Paid to Arbitrators Affected by a Late Cancellation of a Scheduled Hearing
Document Number: 2015-12971
Type: Notice
Date: 2015-05-29
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2015/05/29/2015-12971.html
KCAP Financial, Inc.; Notice of Application
Document Number: 2015-12970
Type: Notice
Date: 2015-05-29
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2015/05/29/2015-12970.html
Self-Regulatory Organizations; New York Stock Exchange, LLC; Notice of Filing of Amendment No. 1 and Order Granting Accelerated Approval of a Proposed Rule Change, as Modified by Amendment No. 1, Adopting New NYSE Rule 124 To Conduct a Midday Auction and Amending NYSE Rule 104 To Codify the Obligation of Designated Market Makers To Facilitate the Midday Auction
Document Number: 2015-12968
Type: Notice
Date: 2015-05-29
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2015/05/29/2015-12968.html
Self-Regulatory Organizations; NYSE MKT LLC.; Notice of Designation of a Longer Period for Commission Action on a Proposed Rule Change To Modify the Appointment Process Utilized by the Exchange
Document Number: 2015-12837
Type: Notice
Date: 2015-05-28
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2015/05/28/2015-12837.html
Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Designation of a Longer Period for Commission Action on a Proposed Rule Change To Modify the Appointment Process Utilized by the Exchange
Document Number: 2015-12836
Type: Notice
Date: 2015-05-28
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2015/05/28/2015-12836.html
Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Order Approving a Proposed Rule Change, as Modified by Amendment No. 1, To List and Trade the Shares of the Tuttle Tactical Management Multi-Strategy Income ETF of ETFis Series Trust I
Document Number: 2015-12835
Type: Notice
Date: 2015-05-28
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2015/05/28/2015-12835.html
Self-Regulatory Organizations; The Depository Trust Company; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Clarify That Participants Are Required To Participate in Operational Testing by DTC, Including Testing of DTC's Business Continuity and Disaster Recovery Plans
Document Number: 2015-12834
Type: Notice
Date: 2015-05-28
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2015/05/28/2015-12834.html
Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Delay Implementation of Rule 15.2A
Document Number: 2015-12833
Type: Notice
Date: 2015-05-28
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2015/05/28/2015-12833.html
Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Filing of a Proposed Rule Change To Amend Exchange Rules Related to Order Tickets
Document Number: 2015-12832
Type: Notice
Date: 2015-05-28
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2015/05/28/2015-12832.html
Self-Regulatory Organizations; CBOE Futures Exchange, LLC; Notice of Filing of a Proposed Rule Change Regarding Audit Trail Retention Requirements
Document Number: 2015-12831
Type: Notice
Date: 2015-05-28
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2015/05/28/2015-12831.html
Self-Regulatory Organizations; NASDAQ OMX BX, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Regarding Penny Pilot Options Fees and Rebates
Document Number: 2015-12830
Type: Notice
Date: 2015-05-28
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2015/05/28/2015-12830.html
Self-Regulatory Organizations; NYSE Arca, Inc.; Order Granting Approval of Proposed Rule Change, as Modified by Amendment Nos. 1 and 2 Thereto, Relating to the Listing and Trading of Shares of the SPDR SSgA Global Managed Volatility ETF Under NYSE Arca Equities Rule 8.600
Document Number: 2015-12829
Type: Notice
Date: 2015-05-28
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2015/05/28/2015-12829.html
Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the Fees Schedule
Document Number: 2015-12828
Type: Notice
Date: 2015-05-28
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2015/05/28/2015-12828.html
Sunshine Act Meeting
Document Number: 2015-12960
Type: Notice
Date: 2015-05-27
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2015/05/27/2015-12960.html
The Royal Bank of Scotland plc, et al.; Notice of Application and Temporary Order
Document Number: 2015-12757
Type: Notice
Date: 2015-05-27
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2015/05/27/2015-12757.html
Citicorp, et al.; Notice of Application and Temporary Order
Document Number: 2015-12756
Type: Notice
Date: 2015-05-27
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2015/05/27/2015-12756.html
J.P. Morgan Chase & Co., et al.; Notice of Application and Temporary Order
Document Number: 2015-12755
Type: Notice
Date: 2015-05-27
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2015/05/27/2015-12755.html
UBS AG, et al.; Notice of Application and Temporary Order
Document Number: 2015-12754
Type: Notice
Date: 2015-05-27
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2015/05/27/2015-12754.html
Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Designation of a Longer Period for Commission Action on Proceedings To Determine Whether To Approve or Disapprove a Proposed Rule Change to Adopt FINRA Rule 2242 (Debt Research Analysts and Debt Research Reports)
Document Number: 2015-12690
Type: Notice
Date: 2015-05-27
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2015/05/27/2015-12690.html
Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Designation of a Longer Period for Commission Action on Proceedings To Determine Whether To Approve or Disapprove a Proposed Rule Change Relating to FINRA Rule 2241 (Research Analysts and Research Reports) in the Consolidated FINRA Rulebook
Document Number: 2015-12689
Type: Notice
Date: 2015-05-27
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2015/05/27/2015-12689.html
Self-Regulatory Organizations; NYSE MKT LLC; Notice of Designation of a Longer Period for Commission Action on a Proposed Rule Change Adopting a Principles-Based Approach To Prohibit the Misuse of Material Nonpublic Information by Specialists and e-Specialists by Deleting Rule 927.3NY and Section (f) of Rule 927.5NY
Document Number: 2015-12688
Type: Notice
Date: 2015-05-27
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2015/05/27/2015-12688.html
Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Filing of a Proposed Rule Change Relating to Rule 6.53C and Complex Orders on the Hybrid System
Document Number: 2015-12687
Type: Notice
Date: 2015-05-27
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2015/05/27/2015-12687.html
Self-Regulatory Organizations; BOX Options Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Authorize the Exchange To Share Any Participant-Designated Risk Settings in the Trading System With the Clearing Participant That Clears Transactions on Behalf of the Participant
Document Number: 2015-12686
Type: Notice
Date: 2015-05-27
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2015/05/27/2015-12686.html
Proposed Collection; Comment Request
Document Number: 2015-12685
Type: Notice
Date: 2015-05-27
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2015/05/27/2015-12685.html
Proposed Collection; Comment Request
Document Number: 2015-12684
Type: Notice
Date: 2015-05-27
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2015/05/27/2015-12684.html
Proposed Collection; Comment Request
Document Number: 2015-12683
Type: Notice
Date: 2015-05-27
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2015/05/27/2015-12683.html
Adoption of Updated EDGAR Filer Manual
Document Number: 2015-12566
Type: Rule
Date: 2015-05-26
Agency: Securities and Exchange Commission, Agencies and Commissions
The Securities and Exchange Commission (the Commission) is adopting revisions to the Electronic Data Gathering, Analysis, and Retrieval System (EDGAR) Filer Manual and related rules to reflect updates to the EDGAR system. The updates are being made primarily to support the submission form types for Regulation A. The EDGAR system is scheduled to be upgraded to support this functionality on May 11, 2015.
https://regulations.justia.com/regulations/fedreg/2015/05/26/2015-12566.html
Self-Regulatory Organizations; The Options Clearing Corporation; Notice of Filing of a Proposed Rule Change Concerning the Implementation of New Risk Models in Order To Support the Clearance and Settlement of Asian-Style Flexibly Structured Options and Flexibly Structured Cliquet Options
Document Number: 2015-12636
Type: Notice
Date: 2015-05-22
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2015/05/22/2015-12636.html
In the Matter of Composite Solutions, Inc., Ruby Creek Resources, Inc., and Voyager Entertainment International Inc.; Order of Suspension of Trading
Document Number: 2015-12587
Type: Notice
Date: 2015-05-22
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2015/05/22/2015-12587.html
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