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

ETFS Trust and ETF Securities Advisors, LLC; Notice of Application

Document Number: 2015-07252

Type: Notice

Date: 2015-03-31

Agency: Securities and Exchange Commission, Agencies and Commissions

https://regulations.justia.com/regulations/fedreg/2015/03/31/2015-07252.html

Submission for OMB Review; Comment Request

Document Number: 2015-07251

Type: Notice

Date: 2015-03-31

Agency: Securities and Exchange Commission, Agencies and Commissions

https://regulations.justia.com/regulations/fedreg/2015/03/31/2015-07251.html

Submission for OMB Review; Comment Request

Document Number: 2015-07250

Type: Notice

Date: 2015-03-31

Agency: Securities and Exchange Commission, Agencies and Commissions

https://regulations.justia.com/regulations/fedreg/2015/03/31/2015-07250.html

Self-Regulatory Organizations; ICE Clear Europe Limited; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Clearance of New Natural Gas Futures Contracts

Document Number: 2015-07248

Type: Notice

Date: 2015-03-31

Agency: Securities and Exchange Commission, Agencies and Commissions

https://regulations.justia.com/regulations/fedreg/2015/03/31/2015-07248.html

Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Extending the Pilot Period for the Exchange's Retail Liquidity Until September 30, 2015

Document Number: 2015-07136

Type: Notice

Date: 2015-03-30

Agency: Securities and Exchange Commission, Agencies and Commissions

https://regulations.justia.com/regulations/fedreg/2015/03/30/2015-07136.html

Self-Regulatory Organizations; NYSE MKT LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Rule 13-Equities Relating to Pegging Interest

Document Number: 2015-07135

Type: Notice

Date: 2015-03-30

Agency: Securities and Exchange Commission, Agencies and Commissions

https://regulations.justia.com/regulations/fedreg/2015/03/30/2015-07135.html

Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Rule 13 Relating to Pegging Interest

Document Number: 2015-07134

Type: Notice

Date: 2015-03-30

Agency: Securities and Exchange Commission, Agencies and Commissions

https://regulations.justia.com/regulations/fedreg/2015/03/30/2015-07134.html

Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Section 4(c) of Schedule A to the FINRA By-Laws To Increase Qualification Examination Fees

Document Number: 2015-07133

Type: Notice

Date: 2015-03-30

Agency: Securities and Exchange Commission, Agencies and Commissions

https://regulations.justia.com/regulations/fedreg/2015/03/30/2015-07133.html

Submission for OMB Review; Comment Request

Document Number: 2015-07130

Type: Notice

Date: 2015-03-30

Agency: Securities and Exchange Commission, Agencies and Commissions

https://regulations.justia.com/regulations/fedreg/2015/03/30/2015-07130.html

Submission for OMB Review; Comment Request

Document Number: 2015-07129

Type: Notice

Date: 2015-03-30

Agency: Securities and Exchange Commission, Agencies and Commissions

https://regulations.justia.com/regulations/fedreg/2015/03/30/2015-07129.html

Submission for OMB Review; Comment Request

Document Number: 2015-07128

Type: Notice

Date: 2015-03-30

Agency: Securities and Exchange Commission, Agencies and Commissions

https://regulations.justia.com/regulations/fedreg/2015/03/30/2015-07128.html

Submission for OMB Review; Comment Request

Document Number: 2015-07127

Type: Notice

Date: 2015-03-30

Agency: Securities and Exchange Commission, Agencies and Commissions

https://regulations.justia.com/regulations/fedreg/2015/03/30/2015-07127.html

Self-Regulatory Organizations; BATS Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Adopt New Rule 21.17, Exchange Sharing of User Designated Risk Settings

Document Number: 2015-06994

Type: Notice

Date: 2015-03-27

Agency: Securities and Exchange Commission, Agencies and Commissions

https://regulations.justia.com/regulations/fedreg/2015/03/27/2015-06994.html

Self-Regulatory Organizations; Municipal Securities Rulemaking Board; Notice of Filing 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: 2015-06993

Type: Notice

Date: 2015-03-27

Agency: Securities and Exchange Commission, Agencies and Commissions

https://regulations.justia.com/regulations/fedreg/2015/03/27/2015-06993.html

Self-Regulatory Organizations; ICE Clear Credit LLC; Notice of Filing of Proposed Rule Change Relating to Physical Settlement of CDS Contracts

Document Number: 2015-06992

Type: Notice

Date: 2015-03-27

Agency: Securities and Exchange Commission, Agencies and Commissions

https://regulations.justia.com/regulations/fedreg/2015/03/27/2015-06992.html

Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing of Proposed Rule Change Relating to Listing and Trading of Shares of Principal EDGE Active Income ETF Under NYSE Arca Equities Rule 8.600

Document Number: 2015-06991

Type: Notice

Date: 2015-03-27

Agency: Securities and Exchange Commission, Agencies and Commissions

https://regulations.justia.com/regulations/fedreg/2015/03/27/2015-06991.html

Self-Regulatory Organizations; Municipal Securities Rulemaking Board; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Consisting of Amendments to MSRB Rule A-16, on Examination Fees

Document Number: 2015-06990

Type: Notice

Date: 2015-03-27

Agency: Securities and Exchange Commission, Agencies and Commissions

https://regulations.justia.com/regulations/fedreg/2015/03/27/2015-06990.html

Griffin Institutional Access Real Estate Fund and Griffin Capital Advisor, LLC; Notice of Application

Document Number: 2015-06989

Type: Notice

Date: 2015-03-27

Agency: Securities and Exchange Commission, Agencies and Commissions

Summary of Application: Applicants request an order to permit certain registered closed-end management investment companies to issue multiple classes of shares and to impose asset-based distribution fees and early withdrawal charges (``EWCs'').

https://regulations.justia.com/regulations/fedreg/2015/03/27/2015-06989.html

Sunshine Act Meeting

Document Number: 2015-07048

Type: Notice

Date: 2015-03-26

Agency: Securities and Exchange Commission, Agencies and Commissions

https://regulations.justia.com/regulations/fedreg/2015/03/26/2015-07048.html

In the Matter of Winsonic Digital Media Group, Ltd.; Order of Suspension of Trading Pursuant to Section 12(K) of the Securities Exchange Act of 1934

Document Number: 2015-07040

Type: Notice

Date: 2015-03-26

Agency: Securities and Exchange Commission, Agencies and Commissions

https://regulations.justia.com/regulations/fedreg/2015/03/26/2015-07040.html

Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to the Solicitation Auction Mechanism

Document Number: 2015-06893

Type: Notice

Date: 2015-03-26

Agency: Securities and Exchange Commission, Agencies and Commissions

https://regulations.justia.com/regulations/fedreg/2015/03/26/2015-06893.html

Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Designation of a Longer Period for Commission Action on Proceedings To Determine Whether To Approve or Disapprove a Proposed Rule Change, as Modified by Amendment No. 1 Thereto, Relating To Listing and Trading of Shares of the SPDR SSgA Global Managed Volatility ETF Under NYSE Arca Equities Rule 8.600

Document Number: 2015-06892

Type: Notice

Date: 2015-03-26

Agency: Securities and Exchange Commission, Agencies and Commissions

https://regulations.justia.com/regulations/fedreg/2015/03/26/2015-06892.html

Self-Regulatory Organizations; The NASDAQ Stock Market, LLC; Notice of Proposed Rule Change To Amend and Restate Certain Nasdaq Rules That Govern the Nasdaq Market Center

Document Number: 2015-06891

Type: Notice

Date: 2015-03-26

Agency: Securities and Exchange Commission, Agencies and Commissions

https://regulations.justia.com/regulations/fedreg/2015/03/26/2015-06891.html

Self-Regulatory Organizations; BATS Exchange, Inc.; Notice of Filing of Amendment No. 2, and Order Granting Accelerated Approval of a Proposed Rule Change, as Modified by Amendment Nos. 1 and 2 Thereto, to BATS Rules 20.3 and 20.6

Document Number: 2015-06890

Type: Notice

Date: 2015-03-26

Agency: Securities and Exchange Commission, Agencies and Commissions

https://regulations.justia.com/regulations/fedreg/2015/03/26/2015-06890.html

Self-Regulatory Organizations; Miami International Securities Exchange, LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Its Fee Schedule

Document Number: 2015-06889

Type: Notice

Date: 2015-03-26

Agency: Securities and Exchange Commission, Agencies and Commissions

https://regulations.justia.com/regulations/fedreg/2015/03/26/2015-06889.html

Self-Regulatory Organizations; Miami International Securities Exchange, LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Its Fee Schedule

Document Number: 2015-06888

Type: Notice

Date: 2015-03-26

Agency: Securities and Exchange Commission, Agencies and Commissions

https://regulations.justia.com/regulations/fedreg/2015/03/26/2015-06888.html

Self-Regulatory Organizations; NASDAQ OMX PHLX LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Surveillance Agreements

Document Number: 2015-06887

Type: Notice

Date: 2015-03-26

Agency: Securities and Exchange Commission, Agencies and Commissions

https://regulations.justia.com/regulations/fedreg/2015/03/26/2015-06887.html

Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Order Approving a Proposed Rule Change To Amend Rules 6.41 and 24.8

Document Number: 2015-06886

Type: Notice

Date: 2015-03-26

Agency: Securities and Exchange Commission, Agencies and Commissions

https://regulations.justia.com/regulations/fedreg/2015/03/26/2015-06886.html

Sunshine Act Meeting.

Document Number: 2015-06900

Type: Notice

Date: 2015-03-25

Agency: Securities and Exchange Commission, Agencies and Commissions

https://regulations.justia.com/regulations/fedreg/2015/03/25/2015-06900.html

Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to the LBMA Gold Price as a Replacement for the London Gold Fix for Certain Gold Related Exchange Traded Products

Document Number: 2015-06719

Type: Notice

Date: 2015-03-25

Agency: Securities and Exchange Commission, Agencies and Commissions

https://regulations.justia.com/regulations/fedreg/2015/03/25/2015-06719.html

Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Its Rules Governing the Short Term Option Series Program To Extend Current $0.50 Strike Price Intervals in Non-Index Options to Short Term Options With Strike Prices Less Than $100

Document Number: 2015-06718

Type: Notice

Date: 2015-03-25

Agency: Securities and Exchange Commission, Agencies and Commissions

https://regulations.justia.com/regulations/fedreg/2015/03/25/2015-06718.html

Self-Regulatory Organizations; NYSE MKT LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Its Rules Governing the Short Term Option Series Program To Extend Current $0.50 Strike Price Intervals in Non-Index Options to Short Term Options With Strike Prices Less Than $100

Document Number: 2015-06717

Type: Notice

Date: 2015-03-25

Agency: Securities and Exchange Commission, Agencies and Commissions

https://regulations.justia.com/regulations/fedreg/2015/03/25/2015-06717.html

Self-Regulatory Organizations; Miami International Securities Exchange LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change by Miami International Securities Exchange LLC To Amend Its Fee Schedule

Document Number: 2015-06716

Type: Notice

Date: 2015-03-25

Agency: Securities and Exchange Commission, Agencies and Commissions

https://regulations.justia.com/regulations/fedreg/2015/03/25/2015-06716.html

Self-Regulatory Organizations; The Options Clearing Corporation; Order Approving Proposed Rule Change, as Modified by Amendment 1 Thereto, To Expand the Officers Who May Declare That a Clearing Member Is Summarily Suspended

Document Number: 2015-06715

Type: Notice

Date: 2015-03-25

Agency: Securities and Exchange Commission, Agencies and Commissions

https://regulations.justia.com/regulations/fedreg/2015/03/25/2015-06715.html

Self-Regulatory Organizations; The Options Clearing Corporation; Notice of Filing of Proposed Rule Change To Enhance the Measurement Used To Establish Minimum Capital Requirements for Banks Approved To Issue Letters of Credit

Document Number: 2015-06714

Type: Notice

Date: 2015-03-25

Agency: Securities and Exchange Commission, Agencies and Commissions

https://regulations.justia.com/regulations/fedreg/2015/03/25/2015-06714.html

Self-Regulatory Organizations; NYSE MKT LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Rule 900.3NY(w) and Rule 980NY(d)(1) to Delete the PNP Plus Designation for Electronic Complex Orders From Its Rules

Document Number: 2015-06713

Type: Notice

Date: 2015-03-25

Agency: Securities and Exchange Commission, Agencies and Commissions

https://regulations.justia.com/regulations/fedreg/2015/03/25/2015-06713.html

Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Designation of a Longer Period for Commission Action on Proposed Rule Change Amending NYSE Arca Equities Rule 5.2(j)(3), Commentary .02 Relating to Listing of Investment Company Units Based on Municipal Bond Indexes

Document Number: 2015-06712

Type: Notice

Date: 2015-03-25

Agency: Securities and Exchange Commission, Agencies and Commissions

https://regulations.justia.com/regulations/fedreg/2015/03/25/2015-06712.html

Self-Regulatory Organizations; NASDAQ OMX PHLX LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Updating to Certain Phlx Rules

Document Number: 2015-06711

Type: Notice

Date: 2015-03-25

Agency: Securities and Exchange Commission, Agencies and Commissions

https://regulations.justia.com/regulations/fedreg/2015/03/25/2015-06711.html

Self-Regulatory Organizations; NASDAQ OMX PHLX LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to the Pricing Schedule's Preface and Sections I, II and IV

Document Number: 2015-06710

Type: Notice

Date: 2015-03-25

Agency: Securities and Exchange Commission, Agencies and Commissions

https://regulations.justia.com/regulations/fedreg/2015/03/25/2015-06710.html

In the Matter of Longhai Steel, Inc., Order of Suspension of Trading

Document Number: 2015-06800

Type: Notice

Date: 2015-03-24

Agency: Securities and Exchange Commission, Agencies and Commissions

https://regulations.justia.com/regulations/fedreg/2015/03/24/2015-06800.html

In the Matter of ChitrChatr Communications Inc.; Order of Suspension of Trading

Document Number: 2015-06796

Type: Notice

Date: 2015-03-24

Agency: Securities and Exchange Commission, Agencies and Commissions

https://regulations.justia.com/regulations/fedreg/2015/03/24/2015-06796.html

In the Matter of First China Pharmaceutical Group, Inc.; Order of Suspension of Trading

Document Number: 2015-06795

Type: Notice

Date: 2015-03-24

Agency: Securities and Exchange Commission, Agencies and Commissions

https://regulations.justia.com/regulations/fedreg/2015/03/24/2015-06795.html

Sunshine Act Meeting

Document Number: 2015-06720

Type: Notice

Date: 2015-03-24

Agency: Securities and Exchange Commission, Agencies and Commissions

https://regulations.justia.com/regulations/fedreg/2015/03/24/2015-06720.html

Self-Regulatory Organizations; ISE Gemini, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the Schedule of Fees

Document Number: 2015-06624

Type: Notice

Date: 2015-03-24

Agency: Securities and Exchange Commission, Agencies and Commissions

https://regulations.justia.com/regulations/fedreg/2015/03/24/2015-06624.html

Self-Regulatory Organizations; International Securities Exchange, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the Schedule of Fees

Document Number: 2015-06623

Type: Notice

Date: 2015-03-24

Agency: Securities and Exchange Commission, Agencies and Commissions

https://regulations.justia.com/regulations/fedreg/2015/03/24/2015-06623.html

Self-Regulatory Organizations; BOX Options Exchange LLC; Notice of Designation of a Longer Period for Commission Action on a Proposed Rule Change To Amend the Exchange's Rules for the Listing and Trading on the Exchange of Options Settling to the RealVolTM

Document Number: 2015-06622

Type: Notice

Date: 2015-03-24

Agency: Securities and Exchange Commission, Agencies and Commissions

https://regulations.justia.com/regulations/fedreg/2015/03/24/2015-06622.html

Self-Regulatory Organizations; International Securities Exchange, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the Schedule of Fees

Document Number: 2015-06621

Type: Notice

Date: 2015-03-24

Agency: Securities and Exchange Commission, Agencies and Commissions

https://regulations.justia.com/regulations/fedreg/2015/03/24/2015-06621.html

Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Fees Assessed Under NASDAQ Rule 7016(a)

Document Number: 2015-06620

Type: Notice

Date: 2015-03-24

Agency: Securities and Exchange Commission, Agencies and Commissions

https://regulations.justia.com/regulations/fedreg/2015/03/24/2015-06620.html

Investor Advisory Committee Meeting

Document Number: 2015-06533

Type: Notice

Date: 2015-03-23

Agency: Securities and Exchange Commission, Agencies and Commissions

The Securities and Exchange Commission Investor Advisory Committee, established pursuant to section 911 of the Dodd-Frank Wall Street Reform and Consumer Protection Act of 2010, is providing notice that it will hold a public meeting. The public is invited to submit written statements to the Committee.

https://regulations.justia.com/regulations/fedreg/2015/03/23/2015-06533.html

Self-Regulatory Organizations; International Securities Exchange, LLC; Order Approving Proposed Rule Change, as Modified by Amendment No. 1, Amending its Information Barrier Rules

Document Number: 2015-06515

Type: Notice

Date: 2015-03-23

Agency: Securities and Exchange Commission, Agencies and Commissions

https://regulations.justia.com/regulations/fedreg/2015/03/23/2015-06515.html