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

Results 1,651 - 1,700 of 1,842
Self-Regulatory Organizations; Miami International Securities Exchange 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 List and Trade Options on Shares of the Market Vectors ETFs
Document Number: 2015-01867
Type: Notice
Date: 2015-02-02
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2015/02/02/2015-01867.html
Self-Regulatory Organizations; ICE Clear Europe Limited; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Clearance of New Government Bond Contracts
Document Number: 2015-01866
Type: Notice
Date: 2015-02-02
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2015/02/02/2015-01866.html
Self-Regulatory Organizations; NASDAQ OMX BX; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Regarding the Short Term Option Series Program
Document Number: 2015-01865
Type: Notice
Date: 2015-02-02
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2015/02/02/2015-01865.html
Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Regarding the Short Term Option Series Program
Document Number: 2015-01864
Type: Notice
Date: 2015-02-02
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2015/02/02/2015-01864.html
Self-Regulatory Organizations; NASDAQ OMX PHLX LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Regarding the Short Term Option Series Program
Document Number: 2015-01863
Type: Notice
Date: 2015-02-02
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2015/02/02/2015-01863.html
Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Regarding the Short Term Option Series Program
Document Number: 2015-01862
Type: Notice
Date: 2015-02-02
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2015/02/02/2015-01862.html
Self-Regulatory Organizations: Chicago Board Options Exchange, Incorporated; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the Fees Schedule
Document Number: 2015-01861
Type: Notice
Date: 2015-02-02
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2015/02/02/2015-01861.html
Self-Regulatory Organizations; Fixed Income Clearing Corporation; National Securities Clearing Corporation; the Depository Trust Company; Notice of No Objection to Advance Notices, as Amended, To Amend and Restate the Third Amended and Restated Shareholders Agreement, Dated as of December 7, 2005
Document Number: 2015-01791
Type: Notice
Date: 2015-01-30
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2015/01/30/2015-01791.html
Self-Regulatory Organizations; The Options Clearing Corporation; Notice of Filing of a Proposed Rule Change Concerning a Proposed Capital Plan for Raising Additional Capital That Would Support the Options Clearing Corporation's Function as a Systemically Important Financial Market Utility
Document Number: 2015-01755
Type: Notice
Date: 2015-01-30
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2015/01/30/2015-01755.html
Self-Regulatory Organizations; C2 Options Exchange, Incorporated; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the Fees Schedule
Document Number: 2015-01754
Type: Notice
Date: 2015-01-30
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2015/01/30/2015-01754.html
Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the Fees Schedule
Document Number: 2015-01753
Type: Notice
Date: 2015-01-30
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2015/01/30/2015-01753.html
Self-Regulatory Organizations; ICE Clear Europe Limited; Notice of Filing and Order Granting Accelerated Approval of Proposed Rule Change Related to New Haircuts
Document Number: 2015-01752
Type: Notice
Date: 2015-01-30
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2015/01/30/2015-01752.html
Goldman Sachs ETF Trust, et al.; Notice of Application
Document Number: 2015-01750
Type: Notice
Date: 2015-01-30
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2015/01/30/2015-01750.html
Goldman Sachs ETF Trust, et al.; Notice of Application
Document Number: 2015-01749
Type: Notice
Date: 2015-01-30
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2015/01/30/2015-01749.html
Self-Regulatory Organizations; Miami International Securities Exchange LLC; Notice of Filing of a Proposed Rule Change To Amend MIAX Rule 402
Document Number: 2015-01748
Type: Notice
Date: 2015-01-30
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2015/01/30/2015-01748.html
Self-Regulatory Organizations; Fixed Income Clearing Corporation; Order Approving Proposed Rule Change To Amend the Government Securities Division Rulebook and the Mortgage Backed Securities Clearing Rules In Order To Move the Time of Novation With Respect to Certain Trades, Include Rules To Reflect Existing Processes, and Clarify Certain Rules To Reflect Current Practices
Document Number: 2015-01747
Type: Notice
Date: 2015-01-30
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2015/01/30/2015-01747.html
Self-Regulatory Organizations; NASDAQ OMX BX, Inc.; Order Approving Proposed Rule Change Relating to Directed Market Makers
Document Number: 2015-01648
Type: Notice
Date: 2015-01-29
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2015/01/29/2015-01648.html
Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Establishing the NYSE Integrated Feed Data Feed
Document Number: 2015-01647
Type: Notice
Date: 2015-01-29
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2015/01/29/2015-01647.html
Self-Regulatory Organizations; NYSE MKT LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Establishing the NYSE MKT Integrated Feed Data Feed
Document Number: 2015-01646
Type: Notice
Date: 2015-01-29
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2015/01/29/2015-01646.html
Self-Regulatory Organizations; International Securities Exchange, LLC; Notice of Designation of Longer Period for Commission Action on Proposed Rule Change To Modify the Opening Process
Document Number: 2015-01645
Type: Notice
Date: 2015-01-29
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2015/01/29/2015-01645.html
Self-Regulatory Organizations; NASDAQ OMX PHLX LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to MNX and NDX
Document Number: 2015-01644
Type: Notice
Date: 2015-01-29
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2015/01/29/2015-01644.html
Proposed Collection; Comment Request
Document Number: 2015-01512
Type: Notice
Date: 2015-01-28
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2015/01/28/2015-01512.html
Submission for OMB Review; Comment Request
Document Number: 2015-01511
Type: Notice
Date: 2015-01-28
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2015/01/28/2015-01511.html
Self-Regulatory Organizations; Miami International Securities Exchange LLC; Notice of Filing of a Proposed Rule Change, as Modified by Amendment No. 1 Thereto, To Adopt Rule 519A Risk Protection Monitor
Document Number: 2015-01510
Type: Notice
Date: 2015-01-28
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2015/01/28/2015-01510.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: 2015-01509
Type: Notice
Date: 2015-01-28
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2015/01/28/2015-01509.html
Self-Regulatory Organizations; BOX Options Exchange LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Implement an Equity Rights Program
Document Number: 2015-01508
Type: Notice
Date: 2015-01-28
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2015/01/28/2015-01508.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: 2015-01507
Type: Notice
Date: 2015-01-28
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2015/01/28/2015-01507.html
Self-Regulatory Organizations; BATS Y-Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Extend the Pilot Period for BATS Y-Exchange, Inc.'s Retail Price Improvement (“RPI”) Program for 12 Months, To Expire on January 31, 2016
Document Number: 2015-01506
Type: Notice
Date: 2015-01-28
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2015/01/28/2015-01506.html
Sunshine Act Meeting
Document Number: 2015-01519
Type: Notice
Date: 2015-01-27
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2015/01/27/2015-01519.html
Automated Matching Systems Exchange, LLC; Notice of Designation of a Longer Period for Commission Action on Proceedings To Determine Whether To Grant or Deny a Limited Volume Exemption From Registration as a National Securities Exchange Under Section 5 of the Securities Exchange Act of 1934
Document Number: 2015-01426
Type: Notice
Date: 2015-01-27
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2015/01/27/2015-01426.html
Self-Regulatory Organization; BATS Y-Exchange, Inc.; Order Granting an Extension to Limited Exemption From Rule 612(c) of Regulation NMS in Connection With the Exchange's Retail Price Improvement Program
Document Number: 2015-01425
Type: Notice
Date: 2015-01-27
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2015/01/27/2015-01425.html
Joint Industry Plan; Notice of Filing of the Eighth Amendment to the National Market System Plan To Address Extraordinary Market Volatility by BATS Exchange, Inc., BATS Y-Exchange, Inc., Chicago Board Options Exchange, Inc., Chicago Stock Exchange, Inc., EDGA Exchange, Inc., EDGX Exchange, Inc., Financial Industry Regulatory Authority, Inc., NASDAQ OMX BX, Inc., NASDAQ OMX PHLX LLC, The Nasdaq Stock Market LLC, National Stock Exchange, Inc., New York Stock Exchange LLC, NYSE MKT LLC, and NYSE Arca, Inc.
Document Number: 2015-01384
Type: Notice
Date: 2015-01-27
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2015/01/27/2015-01384.html
Proposed Collection; Comment Request
Document Number: 2015-01377
Type: Notice
Date: 2015-01-27
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2015/01/27/2015-01377.html
Self-Regulatory Organizations; NYSE Arca, Inc.; Order Approving a Proposed Rule Change To List and Trade Shares of the IQ Wilshire Alternative Strategies ETF Under NYSE Arca Equities Rule 8.600
Document Number: 2015-01376
Type: Notice
Date: 2015-01-27
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2015/01/27/2015-01376.html
Self-Regulatory Organizations; NASDAQ OMX BX; Notice of Filing and Immediate Effectiveness of a Proposed Rule Changes To Amend Rule 7018 To Amend Fees and Rebates in Connection With BX's Retail Price Improvement Program
Document Number: 2015-01375
Type: Notice
Date: 2015-01-27
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2015/01/27/2015-01375.html
Investor Advisory Committee Meeting
Document Number: 2015-01275
Type: Notice
Date: 2015-01-26
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/2015/01/26/2015-01275.html
Self-Regulatory Organizations; NASDAQ OMX PHLX LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to SPY Pilot Program
Document Number: 2015-01252
Type: Notice
Date: 2015-01-26
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2015/01/26/2015-01252.html
Self-Regulatory Organizations; National Securities Clearing Corporation; Order Approving Proposed Rule Change To Amend NSCC's Rules and Procedures in Connection With the Discontinuance of the Analytic Reporting Service
Document Number: 2015-01251
Type: Notice
Date: 2015-01-26
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2015/01/26/2015-01251.html
Self-Regulatory Organizations; NASDAQ OMX BX, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Regarding BX LMM and Penny Pilot Options
Document Number: 2015-01250
Type: Notice
Date: 2015-01-26
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2015/01/26/2015-01250.html
Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Order Approving a Proposed Rule Change Relating to the NASDAQ Opening and Halt Cross
Document Number: 2015-01249
Type: Notice
Date: 2015-01-26
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2015/01/26/2015-01249.html
Self-Regulatory Organizations: Miami International Securities Exchange LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Implement an Equity Rights Program
Document Number: 2015-01248
Type: Notice
Date: 2015-01-26
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2015/01/26/2015-01248.html
Self-Regulatory Organizations; NYSE MKT LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Rule 123C-Equities To Specify That Exchange Systems May Close One or More Securities Electronically If a Designated Market Maker Registered in a Security or Securities Cannot Facilitate the Close of Trading as Required by Exchange Rules
Document Number: 2015-01247
Type: Notice
Date: 2015-01-26
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2015/01/26/2015-01247.html
Self-Regulatory Organizations; NYSE Arca, Inc.; Order Approving a Proposed Rule Change, as Modified by Amendment No. 1, Relating to the Listing and Trading of Shares of the AdvisorShares Pacific Asset Enhanced Floating Rate ETF Under NYSE Arca Equities Rule 8.600
Document Number: 2015-01246
Type: Notice
Date: 2015-01-26
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2015/01/26/2015-01246.html
Self-Regulatory Organizations; The Options Clearing Corporation; Notice of Filing of an Advance Notice, and Amendment No. 1 Thereto, To Establish Procedures Regarding the Monthly Resizing of its Clearing Fund and the Addition of Financial Resources
Document Number: 2015-01245
Type: Notice
Date: 2015-01-26
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2015/01/26/2015-01245.html
Notice of Federal Advisory Committee Establishment; Equity Market Structure Advisory Committee
Document Number: 2015-01159
Type: Notice
Date: 2015-01-23
Agency: Securities and Exchange Commission, Agencies and Commissions
The Securities and Exchange Commission intends to establish the Securities and Exchange Commission Equity Market Structure Advisory Committee.
https://regulations.justia.com/regulations/fedreg/2015/01/23/2015-01159.html
Self-Regulatory Organizations; NYSE Arca, Inc.; Order Instituting Proceedings To Determine Whether To Approve or Disapprove a Proposed Rule Change To Remove the Exchange's Quote Mitigation Plan as Provided by Commentary .03 to Exchange Rule 6.86
Document Number: 2015-01108
Type: Notice
Date: 2015-01-23
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2015/01/23/2015-01108.html
Self-Regulatory Organizations; NYSE MKT LLC; Order Instituting Proceedings To Determine Whether To Approve or Disapprove a Proposed Rule Change To Remove the Exchange's Quote Mitigation Plan as Provided by Exchange Rule 970.1NY
Document Number: 2015-01107
Type: Notice
Date: 2015-01-23
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2015/01/23/2015-01107.html
Proposed Collection; Comment Request
Document Number: 2015-01078
Type: Notice
Date: 2015-01-23
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2015/01/23/2015-01078.html
Proposed Collection; Comment Request
Document Number: 2015-01077
Type: Notice
Date: 2015-01-23
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2015/01/23/2015-01077.html
Proposed Collection; Comment Request
Document Number: 2015-01076
Type: Notice
Date: 2015-01-23
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2015/01/23/2015-01076.html
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