<![CDATA[Federal Register Recent Federal Regulation Documents - Justia Regulation Tracker - Justia Regulations Tracker]]> https://regulations.justia.com/regulations/fedreg/agencies/securities-and-exchange-commission/2016/01?registers=between&min-day=1&max-day=31 Sun, 05 May 2024 14:32:24 -0700 Sun, 05 May 2024 14:32:24 -0700 Justia Regulations Tracker Copyright 2011 Justia Inc. https://regulations.justia.com/images/justiafedregulations.gif <![CDATA[Federal Register Recent Federal Regulation Documents - Justia Regulation Tracker - Justia Regulations Tracker]]> https://regulations.justia.com/regulations/fedreg/agencies/securities-and-exchange-commission/2016/01?registers=between&min-day=1&max-day=31 Notice - Self-Regulatory Organizations; New York Stock Exchange LLC; Order Instituting Proceedings To Determine Whether To Disapprove a Proposed Rule Change To Establish Rules To Comply With the Quoting and Trading Requirements of the Plan To Implement a Tick Size Pilot Plan Submitted to the Commission Pursuant to Rule 608 of Regulation NMS Under the Act https://regulations.justia.com/regulations/fedreg/2016/01/29/2016-01691.html https://regulations.justia.com/regulations/fedreg/2016/01/29/2016-01691.html Fri, 29 Jan 2016 00:00:00 -0800 2016-01691 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-01-29/pdf/2016-01691.pdf Notice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending the Exchange's Schedule of Fees and Charges To Define the Term “Exchange Traded Products” and To Provide for the Proration of Annual Fees Applicable to Exchange Traded Products That Have Liquidated https://regulations.justia.com/regulations/fedreg/2016/01/27/2016-01668.html https://regulations.justia.com/regulations/fedreg/2016/01/27/2016-01668.html Wed, 27 Jan 2016 00:00:00 -0800 2016-01668 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-01-27/pdf/2016-01668.pdf Notice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Establishing the NYSE Arca Order Imbalances Proprietary Market Data Product https://regulations.justia.com/regulations/fedreg/2016/01/27/2016-01667.html https://regulations.justia.com/regulations/fedreg/2016/01/27/2016-01667.html Wed, 27 Jan 2016 00:00:00 -0800 2016-01667 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-01-27/pdf/2016-01667.pdf Notice - 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 2 https://regulations.justia.com/regulations/fedreg/2016/01/27/2016-01666.html https://regulations.justia.com/regulations/fedreg/2016/01/27/2016-01666.html Wed, 27 Jan 2016 00:00:00 -0800 2016-01666 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-01-27/pdf/2016-01666.pdf Notice - Self-Regulatory Organizations; NASDAQ OMX PHLX LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend a Quote Spread Parameter Provision https://regulations.justia.com/regulations/fedreg/2016/01/27/2016-01665.html https://regulations.justia.com/regulations/fedreg/2016/01/27/2016-01665.html Wed, 27 Jan 2016 00:00:00 -0800 2016-01665 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-01-27/pdf/2016-01665.pdf Notice - Self-Regulatory Organizations; BATS Y-Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Rule 11.24, Retail Price Improvement Program, To Extend the Pilot Period https://regulations.justia.com/regulations/fedreg/2016/01/27/2016-01664.html https://regulations.justia.com/regulations/fedreg/2016/01/27/2016-01664.html Wed, 27 Jan 2016 00:00:00 -0800 2016-01664 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-01-27/pdf/2016-01664.pdf Notice - Self-Regulatory Organizations; International Securities Exchange, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the Schedule of Fees https://regulations.justia.com/regulations/fedreg/2016/01/27/2016-01663.html https://regulations.justia.com/regulations/fedreg/2016/01/27/2016-01663.html Wed, 27 Jan 2016 00:00:00 -0800 2016-01663 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-01-27/pdf/2016-01663.pdf Proposed Rule - Extension of Comment Period for Disclosure of Payments by Resource Extraction Issuers https://regulations.justia.com/regulations/fedreg/2016/01/27/2016-01545.html https://regulations.justia.com/regulations/fedreg/2016/01/27/2016-01545.html Wed, 27 Jan 2016 00:00:00 -0800 2016-01545 Proposed Rule https://www.gpo.gov/fdsys/pkg/FR-2016-01-27/pdf/2016-01545.pdf Notice - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing of Proposed Rule Change To List and Trade Shares of the First Trust Municipal High Income ETF of First Trust Exchange-Traded Fund III https://regulations.justia.com/regulations/fedreg/2016/01/27/2016-01542.html https://regulations.justia.com/regulations/fedreg/2016/01/27/2016-01542.html Wed, 27 Jan 2016 00:00:00 -0800 2016-01542 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-01-27/pdf/2016-01542.pdf Notice - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Filing of Amendment No. 2 and Order Granting Accelerated Approval of Proposed Rule Change, as Modified by Amendment Nos. 1 and 2 Thereto, Relating to Price Protection Mechanisms for Quotes and Orders https://regulations.justia.com/regulations/fedreg/2016/01/27/2016-01540.html https://regulations.justia.com/regulations/fedreg/2016/01/27/2016-01540.html Wed, 27 Jan 2016 00:00:00 -0800 2016-01540 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-01-27/pdf/2016-01540.pdf Notice - Self-Regulatory Organizations; C2 Options Exchange, Incorporated; Notice of Filing of Amendment No. 2 and Order Granting Accelerated Approval of Proposed Rule Change, as Modified by Amendment Nos. 1 and 2 Thereto, Relating to Price Protection Mechanisms for Quotes and Orders https://regulations.justia.com/regulations/fedreg/2016/01/27/2016-01539.html https://regulations.justia.com/regulations/fedreg/2016/01/27/2016-01539.html Wed, 27 Jan 2016 00:00:00 -0800 2016-01539 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-01-27/pdf/2016-01539.pdf Notice - Self-Regulatory Organizations; The Nasdaq Stock Market LLC; Notice of Filing of Proposed Rule Change To Adopt a Limit Order Protection and a Market Order Protection https://regulations.justia.com/regulations/fedreg/2016/01/27/2016-01538.html https://regulations.justia.com/regulations/fedreg/2016/01/27/2016-01538.html Wed, 27 Jan 2016 00:00:00 -0800 2016-01538 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-01-27/pdf/2016-01538.pdf Notice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Designation of a Longer Period for Commission Action on Proposed Rule Change, as Modified by Amendment No. 1, Relating To Listing and Trading of Shares of the Cumberland Municipal Bond ETF Under NYSE Arca Equities Rule 8.600 https://regulations.justia.com/regulations/fedreg/2016/01/27/2016-01536.html https://regulations.justia.com/regulations/fedreg/2016/01/27/2016-01536.html Wed, 27 Jan 2016 00:00:00 -0800 2016-01536 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-01-27/pdf/2016-01536.pdf Notice - Self-Regulatory Organizations; BATS Exchange, Inc.; Notice of Filing of a Proposed Rule Change to Rule 14.11(i), Managed Fund Shares, to List and Trade Shares of the iShares iBonds Dec 2023 AMT-Free Muni Bond ETF, iShares iBonds Dec 2024 AMT-Free Muni Bond ETF, iShares iBonds Dec 2025 AMT-Free Muni Bond ETF, and iShares iBonds Dec 2026 AMT-Free Muni Bond ETF of the iShares U.S. ETF Trust https://regulations.justia.com/regulations/fedreg/2016/01/27/2016-01535.html https://regulations.justia.com/regulations/fedreg/2016/01/27/2016-01535.html Wed, 27 Jan 2016 00:00:00 -0800 2016-01535 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-01-27/pdf/2016-01535.pdf Notice - 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 https://regulations.justia.com/regulations/fedreg/2016/01/27/2016-01534.html https://regulations.justia.com/regulations/fedreg/2016/01/27/2016-01534.html Wed, 27 Jan 2016 00:00:00 -0800 2016-01534 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-01-27/pdf/2016-01534.pdf Notice - Self-Regulatory Organizations; NASDAQ OMX BX, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Regarding SQF Port Fees https://regulations.justia.com/regulations/fedreg/2016/01/27/2016-01533.html https://regulations.justia.com/regulations/fedreg/2016/01/27/2016-01533.html Wed, 27 Jan 2016 00:00:00 -0800 2016-01533 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-01-27/pdf/2016-01533.pdf Notice - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the Options Regulatory Fee https://regulations.justia.com/regulations/fedreg/2016/01/27/2016-01532.html https://regulations.justia.com/regulations/fedreg/2016/01/27/2016-01532.html Wed, 27 Jan 2016 00:00:00 -0800 2016-01532 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-01-27/pdf/2016-01532.pdf Notice - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Subsection (a)(7) of Rule 7003, Registration and Processing Fees https://regulations.justia.com/regulations/fedreg/2016/01/27/2016-01531.html https://regulations.justia.com/regulations/fedreg/2016/01/27/2016-01531.html Wed, 27 Jan 2016 00:00:00 -0800 2016-01531 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-01-27/pdf/2016-01531.pdf Notice - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Subsection (a)(7) of Rule 7003, Registration and Processing Fees https://regulations.justia.com/regulations/fedreg/2016/01/27/2016-01530.html https://regulations.justia.com/regulations/fedreg/2016/01/27/2016-01530.html Wed, 27 Jan 2016 00:00:00 -0800 2016-01530 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-01-27/pdf/2016-01530.pdf Notice - Self-Regulatory Organizations; BATS Exchange, Inc.; Notice of Designation of Longer Period for Commission Action on a Proposed Rule Change To Adopt Rule 11.27 To Implement the Quoting and Trading Requirements of the Tick Size Pilot Program https://regulations.justia.com/regulations/fedreg/2016/01/27/2016-01529.html https://regulations.justia.com/regulations/fedreg/2016/01/27/2016-01529.html Wed, 27 Jan 2016 00:00:00 -0800 2016-01529 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-01-27/pdf/2016-01529.pdf Notice - OldWeb sites.com, Inc., RPHL Acquisition Corp. (a/k/a Rockport Healthcare Group, Inc.), The Brainy Brands Company, Inc., TheraBiogen, Inc., U.S. Helicopter Corporation, and Vicor Technologies, Inc.; Order of Suspension of Trading https://regulations.justia.com/regulations/fedreg/2016/01/26/2016-01613.html https://regulations.justia.com/regulations/fedreg/2016/01/26/2016-01613.html Tue, 26 Jan 2016 00:00:00 -0800 2016-01613 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-01-26/pdf/2016-01613.pdf Notice - In the Matter of 99 Cent Stuff, Inc., Bizzingo, Inc., Clicker, Inc., Incentra Solutions, Inc., Maxray Optical Technology Co. Ltd., and Peer Review Mediation & Arbitration, Inc., Order of Suspension of Trading https://regulations.justia.com/regulations/fedreg/2016/01/26/2016-01612.html https://regulations.justia.com/regulations/fedreg/2016/01/26/2016-01612.html Tue, 26 Jan 2016 00:00:00 -0800 2016-01612 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-01-26/pdf/2016-01612.pdf Notice - Sunshine Act Meeting https://regulations.justia.com/regulations/fedreg/2016/01/26/2016-01541.html https://regulations.justia.com/regulations/fedreg/2016/01/26/2016-01541.html Tue, 26 Jan 2016 00:00:00 -0800 2016-01541 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-01-26/pdf/2016-01541.pdf Notice - Submission for OMB Review; Comment Request https://regulations.justia.com/regulations/fedreg/2016/01/26/2016-01394.html https://regulations.justia.com/regulations/fedreg/2016/01/26/2016-01394.html Tue, 26 Jan 2016 00:00:00 -0800 2016-01394 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-01-26/pdf/2016-01394.pdf Notice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending the Fees for NYSE Arca BBO and NYSE Arca Trades https://regulations.justia.com/regulations/fedreg/2016/01/26/2016-01393.html https://regulations.justia.com/regulations/fedreg/2016/01/26/2016-01393.html Tue, 26 Jan 2016 00:00:00 -0800 2016-01393 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-01-26/pdf/2016-01393.pdf Notice - Self-Regulatory Organizations; International Securities Exchange, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Back-Up Primary Market Makers https://regulations.justia.com/regulations/fedreg/2016/01/26/2016-01392.html https://regulations.justia.com/regulations/fedreg/2016/01/26/2016-01392.html Tue, 26 Jan 2016 00:00:00 -0800 2016-01392 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-01-26/pdf/2016-01392.pdf Notice - Self-Regulatory Organizations; NYSE MKT LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Modifying the NYSE Amex Options Fee Schedule https://regulations.justia.com/regulations/fedreg/2016/01/26/2016-01391.html https://regulations.justia.com/regulations/fedreg/2016/01/26/2016-01391.html Tue, 26 Jan 2016 00:00:00 -0800 2016-01391 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-01-26/pdf/2016-01391.pdf Notice - In the Matter of Vadda Energy Corp.; Order of Suspension of Trading https://regulations.justia.com/regulations/fedreg/2016/01/25/2016-01431.html https://regulations.justia.com/regulations/fedreg/2016/01/25/2016-01431.html Mon, 25 Jan 2016 00:00:00 -0800 2016-01431 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-01-25/pdf/2016-01431.pdf Notice - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to Alternative Trading System Volume and Trading Information https://regulations.justia.com/regulations/fedreg/2016/01/25/2016-01308.html https://regulations.justia.com/regulations/fedreg/2016/01/25/2016-01308.html Mon, 25 Jan 2016 00:00:00 -0800 2016-01308 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-01-25/pdf/2016-01308.pdf Notice - Self-Regulatory Organizations; NASDAQ OMX PHLX LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Make Nonsubstantive, Clarifying Amendments to Several Rules Relating to the Clearing of Exchange Options Transactions https://regulations.justia.com/regulations/fedreg/2016/01/25/2016-01307.html https://regulations.justia.com/regulations/fedreg/2016/01/25/2016-01307.html Mon, 25 Jan 2016 00:00:00 -0800 2016-01307 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-01-25/pdf/2016-01307.pdf Notice - Agency Information Collection Activities; Submission for OMB Review; Comment Request; Simplification of Disclosure Requirements for Emerging Growth Companies and Forward Incorporation by Reference on Form S-1 for Smaller Reporting Companies https://regulations.justia.com/regulations/fedreg/2016/01/25/2016-01304.html https://regulations.justia.com/regulations/fedreg/2016/01/25/2016-01304.html Mon, 25 Jan 2016 00:00:00 -0800 2016-01304 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-01-25/pdf/2016-01304.pdf Notice - The Guardian Insurance & Annuity Company, Inc., et al; Notice of Application https://regulations.justia.com/regulations/fedreg/2016/01/22/2016-01230.html https://regulations.justia.com/regulations/fedreg/2016/01/22/2016-01230.html Fri, 22 Jan 2016 00:00:00 -0800 2016-01230 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-01-22/pdf/2016-01230.pdf Notice - Leaning Pine II, L.L.C.; Notice of Application https://regulations.justia.com/regulations/fedreg/2016/01/22/2016-01201.html https://regulations.justia.com/regulations/fedreg/2016/01/22/2016-01201.html Fri, 22 Jan 2016 00:00:00 -0800 2016-01201 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-01-22/pdf/2016-01201.pdf Notice - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the Fees Schedule https://regulations.justia.com/regulations/fedreg/2016/01/22/2016-01200.html https://regulations.justia.com/regulations/fedreg/2016/01/22/2016-01200.html Fri, 22 Jan 2016 00:00:00 -0800 2016-01200 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-01-22/pdf/2016-01200.pdf Notice - Self-Regulatory Organizations; OneChicago, LLC; Notice of Filing of Proposed Rule Change Relating to the Summary Imposition of Fines https://regulations.justia.com/regulations/fedreg/2016/01/22/2016-01199.html https://regulations.justia.com/regulations/fedreg/2016/01/22/2016-01199.html Fri, 22 Jan 2016 00:00:00 -0800 2016-01199 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-01-22/pdf/2016-01199.pdf Proposed Rule - Access to Data Obtained by Security-Based Swap Data Repositories and Exemption From Indemnification Requirement https://regulations.justia.com/regulations/fedreg/2016/01/21/2016-01148.html https://regulations.justia.com/regulations/fedreg/2016/01/21/2016-01148.html Thu, 21 Jan 2016 00:00:00 -0800 2016-01148 Proposed Rule https://www.gpo.gov/fdsys/pkg/FR-2016-01-21/pdf/2016-01148.pdf Notice - J.P. Morgan Exchange-Traded Fund Trust, et al.; Notice of Application https://regulations.justia.com/regulations/fedreg/2016/01/21/2016-01147.html https://regulations.justia.com/regulations/fedreg/2016/01/21/2016-01147.html Thu, 21 Jan 2016 00:00:00 -0800 2016-01147 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-01-21/pdf/2016-01147.pdf Notice - Self-Regulatory Organizations; NASDAQ OMX BX, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Exchange Rule 7018 https://regulations.justia.com/regulations/fedreg/2016/01/21/2016-01064.html https://regulations.justia.com/regulations/fedreg/2016/01/21/2016-01064.html Thu, 21 Jan 2016 00:00:00 -0800 2016-01064 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-01-21/pdf/2016-01064.pdf Notice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending the Fees for NYSE Arca Integrated Feed https://regulations.justia.com/regulations/fedreg/2016/01/21/2016-01063.html https://regulations.justia.com/regulations/fedreg/2016/01/21/2016-01063.html Thu, 21 Jan 2016 00:00:00 -0800 2016-01063 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-01-21/pdf/2016-01063.pdf Notice - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending the Fees for NYSE BBO and NYSE Trades https://regulations.justia.com/regulations/fedreg/2016/01/21/2016-01062.html https://regulations.justia.com/regulations/fedreg/2016/01/21/2016-01062.html Thu, 21 Jan 2016 00:00:00 -0800 2016-01062 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-01-21/pdf/2016-01062.pdf Notice - Self-Regulatory Organizations; NYSE MKT LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending the Fees for NYSE MKT Order Imbalances https://regulations.justia.com/regulations/fedreg/2016/01/21/2016-01061.html https://regulations.justia.com/regulations/fedreg/2016/01/21/2016-01061.html Thu, 21 Jan 2016 00:00:00 -0800 2016-01061 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-01-21/pdf/2016-01061.pdf Notice - Self-Regulatory Organizations; NASDAQ OMX PHLX LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Delete Obsolete Rules 1000B-1012B and To Amend Rule 722 https://regulations.justia.com/regulations/fedreg/2016/01/21/2016-01060.html https://regulations.justia.com/regulations/fedreg/2016/01/21/2016-01060.html Thu, 21 Jan 2016 00:00:00 -0800 2016-01060 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-01-21/pdf/2016-01060.pdf Notice - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Order Approving 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 Program https://regulations.justia.com/regulations/fedreg/2016/01/21/2016-01059.html https://regulations.justia.com/regulations/fedreg/2016/01/21/2016-01059.html Thu, 21 Jan 2016 00:00:00 -0800 2016-01059 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-01-21/pdf/2016-01059.pdf Notice - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Order Instituting Proceedings To Determine Whether To Approve or Disapprove Proposed Rule Change To Amend FINRA Rule 4210 (Margin Requirements) To Establish Margin Requirements for the TBA Market, as Modified by Partial Amendment No. 1 https://regulations.justia.com/regulations/fedreg/2016/01/21/2016-01058.html https://regulations.justia.com/regulations/fedreg/2016/01/21/2016-01058.html Thu, 21 Jan 2016 00:00:00 -0800 2016-01058 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-01-21/pdf/2016-01058.pdf Notice - Self-Regulatory Organizations; NYSE MKT LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Rule 132.30(9)-Equities To Conform the Exchange's Rules to Industry-Wide Standards for Recording the Capacity in Which a Member Organization Executes a Transaction https://regulations.justia.com/regulations/fedreg/2016/01/21/2016-01057.html https://regulations.justia.com/regulations/fedreg/2016/01/21/2016-01057.html Thu, 21 Jan 2016 00:00:00 -0800 2016-01057 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-01-21/pdf/2016-01057.pdf Notice - Self-Regulatory Organizations; NYSE MKT LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending the Fees for NYSE MKT BBO and NYSE MKT Trades https://regulations.justia.com/regulations/fedreg/2016/01/21/2016-01056.html https://regulations.justia.com/regulations/fedreg/2016/01/21/2016-01056.html Thu, 21 Jan 2016 00:00:00 -0800 2016-01056 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-01-21/pdf/2016-01056.pdf Notice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending the Fees for NYSE ArcaBook https://regulations.justia.com/regulations/fedreg/2016/01/21/2016-01055.html https://regulations.justia.com/regulations/fedreg/2016/01/21/2016-01055.html Thu, 21 Jan 2016 00:00:00 -0800 2016-01055 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-01-21/pdf/2016-01055.pdf Notice - Self-Regulatory Organizations; NASDAQ OMX PHLX LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Delete Phlx Rules 792, 794, 797, and 798 https://regulations.justia.com/regulations/fedreg/2016/01/21/2016-01054.html https://regulations.justia.com/regulations/fedreg/2016/01/21/2016-01054.html Thu, 21 Jan 2016 00:00:00 -0800 2016-01054 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-01-21/pdf/2016-01054.pdf Notice - Self-Regulatory Organizations; NYSE MKT LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending the Fees for NYSE MKT OpenBook https://regulations.justia.com/regulations/fedreg/2016/01/21/2016-01053.html https://regulations.justia.com/regulations/fedreg/2016/01/21/2016-01053.html Thu, 21 Jan 2016 00:00:00 -0800 2016-01053 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-01-21/pdf/2016-01053.pdf Notice - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending the Fees for NYSE OpenBook https://regulations.justia.com/regulations/fedreg/2016/01/21/2016-01052.html https://regulations.justia.com/regulations/fedreg/2016/01/21/2016-01052.html Thu, 21 Jan 2016 00:00:00 -0800 2016-01052 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-01-21/pdf/2016-01052.pdf Notice - Sunshine Act Meeting https://regulations.justia.com/regulations/fedreg/2016/01/20/2016-01130.html https://regulations.justia.com/regulations/fedreg/2016/01/20/2016-01130.html Wed, 20 Jan 2016 00:00:00 -0800 2016-01130 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-01-20/pdf/2016-01130.pdf Notice - Sunshine Act Meeting https://regulations.justia.com/regulations/fedreg/2016/01/20/2016-01129.html https://regulations.justia.com/regulations/fedreg/2016/01/20/2016-01129.html Wed, 20 Jan 2016 00:00:00 -0800 2016-01129 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-01-20/pdf/2016-01129.pdf Notice - Self-Regulatory Organizations; The Options Clearing Corporation; Notice of No Objection to Advance Notice Filing, as Modified by Amendment Nos. 1, 2 and 3, Concerning The Options Clearing Corporation's Non-Bank Liquidity Facility https://regulations.justia.com/regulations/fedreg/2016/01/20/2016-00976.html https://regulations.justia.com/regulations/fedreg/2016/01/20/2016-00976.html Wed, 20 Jan 2016 00:00:00 -0800 2016-00976 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-01-20/pdf/2016-00976.pdf Notice - Self-Regulatory Organizations; Miami International Securities Exchange LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Its Fee Schedule https://regulations.justia.com/regulations/fedreg/2016/01/20/2016-00971.html https://regulations.justia.com/regulations/fedreg/2016/01/20/2016-00971.html Wed, 20 Jan 2016 00:00:00 -0800 2016-00971 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-01-20/pdf/2016-00971.pdf Notice - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Rule 8.3 Relating to Appointment Costs https://regulations.justia.com/regulations/fedreg/2016/01/20/2016-00905.html https://regulations.justia.com/regulations/fedreg/2016/01/20/2016-00905.html Wed, 20 Jan 2016 00:00:00 -0800 2016-00905 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-01-20/pdf/2016-00905.pdf Notice - Self-Regulatory Organizations; ISE Gemini, LLC; Notice of Designation of Longer Period for Commission Action on Proposed Rule Change To Amend Rule 804(g) https://regulations.justia.com/regulations/fedreg/2016/01/20/2016-00904.html https://regulations.justia.com/regulations/fedreg/2016/01/20/2016-00904.html Wed, 20 Jan 2016 00:00:00 -0800 2016-00904 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-01-20/pdf/2016-00904.pdf Notice - Self-Regulatory Organizations; International Securities Exchange, LLC; Notice of Designation of Longer Period for Commission Action on Proposed Rule Change To Amend Rule 804(g) https://regulations.justia.com/regulations/fedreg/2016/01/20/2016-00903.html https://regulations.justia.com/regulations/fedreg/2016/01/20/2016-00903.html Wed, 20 Jan 2016 00:00:00 -0800 2016-00903 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-01-20/pdf/2016-00903.pdf Notice - Self-Regulatory Organizations; BATS Exchange, Inc.; Notice of Designation of Longer Period for Commission Action on a Proposed Rule Change To Adopt Rule 11.27 Regarding the Data Collection Requirements of the Tick Size Pilot Program https://regulations.justia.com/regulations/fedreg/2016/01/20/2016-00902.html https://regulations.justia.com/regulations/fedreg/2016/01/20/2016-00902.html Wed, 20 Jan 2016 00:00:00 -0800 2016-00902 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-01-20/pdf/2016-00902.pdf Notice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Market Data Fees for the NYSE Arca Options Product https://regulations.justia.com/regulations/fedreg/2016/01/20/2016-00901.html https://regulations.justia.com/regulations/fedreg/2016/01/20/2016-00901.html Wed, 20 Jan 2016 00:00:00 -0800 2016-00901 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-01-20/pdf/2016-00901.pdf Notice - Self-Regulatory Organizations; NYSE MKT LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Market Data Fees for the NYSE Amex Options Product https://regulations.justia.com/regulations/fedreg/2016/01/20/2016-00900.html https://regulations.justia.com/regulations/fedreg/2016/01/20/2016-00900.html Wed, 20 Jan 2016 00:00:00 -0800 2016-00900 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-01-20/pdf/2016-00900.pdf Notice - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to COPS https://regulations.justia.com/regulations/fedreg/2016/01/20/2016-00899.html https://regulations.justia.com/regulations/fedreg/2016/01/20/2016-00899.html Wed, 20 Jan 2016 00:00:00 -0800 2016-00899 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-01-20/pdf/2016-00899.pdf Notice - Self-Regulatory Organizations; The Depository Trust Company; Order Approving Proposed Rule Change Regarding the Acknowledgment of End-of-Day Net-Net Settlement Balances by Settling Banks https://regulations.justia.com/regulations/fedreg/2016/01/20/2016-00898.html https://regulations.justia.com/regulations/fedreg/2016/01/20/2016-00898.html Wed, 20 Jan 2016 00:00:00 -0800 2016-00898 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-01-20/pdf/2016-00898.pdf Notice - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Chapter XV, Entitled “Options Pricing” https://regulations.justia.com/regulations/fedreg/2016/01/20/2016-00897.html https://regulations.justia.com/regulations/fedreg/2016/01/20/2016-00897.html Wed, 20 Jan 2016 00:00:00 -0800 2016-00897 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-01-20/pdf/2016-00897.pdf Notice - Self-Regulatory Organizations; BATS Exchange, Inc.; Notice of Filing of a Proposed Rule Change to Rule 14.11(i), Managed Fund Shares, To List and Trade Shares of the REX VolMAX Long VIX Weekly Futures Strategy ETF and the REX VolMAXX Inverse VIX Weekly Futures Strategy ETF of the Exchange Traded Concepts Trust https://regulations.justia.com/regulations/fedreg/2016/01/20/2016-00896.html https://regulations.justia.com/regulations/fedreg/2016/01/20/2016-00896.html Wed, 20 Jan 2016 00:00:00 -0800 2016-00896 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-01-20/pdf/2016-00896.pdf Rule - Simplification of Disclosure Requirements for Emerging Growth Companies and Forward Incorporation by Reference on Form S-1 for Smaller Reporting Companies https://regulations.justia.com/regulations/fedreg/2016/01/19/2016-00872.html https://regulations.justia.com/regulations/fedreg/2016/01/19/2016-00872.html Tue, 19 Jan 2016 00:00:00 -0800 2016-00872 Rule https://www.gpo.gov/fdsys/pkg/FR-2016-01-19/pdf/2016-00872.pdf Notice - Equity Market Structure Advisory Committee https://regulations.justia.com/regulations/fedreg/2016/01/19/2016-00837.html https://regulations.justia.com/regulations/fedreg/2016/01/19/2016-00837.html Tue, 19 Jan 2016 00:00:00 -0800 2016-00837 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-01-19/pdf/2016-00837.pdf Notice - Submission for OMB Review; Comment Request https://regulations.justia.com/regulations/fedreg/2016/01/19/2016-00788.html https://regulations.justia.com/regulations/fedreg/2016/01/19/2016-00788.html Tue, 19 Jan 2016 00:00:00 -0800 2016-00788 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-01-19/pdf/2016-00788.pdf Notice - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Section (a)(6) of Rule 1120, Continuing Education Requirements https://regulations.justia.com/regulations/fedreg/2016/01/19/2016-00787.html https://regulations.justia.com/regulations/fedreg/2016/01/19/2016-00787.html Tue, 19 Jan 2016 00:00:00 -0800 2016-00787 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-01-19/pdf/2016-00787.pdf Notice - Self-Regulatory Organizations; NASDAQ OMX BX, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Section (a)(6) of Rule 1120 (Continuing Education Requirements) https://regulations.justia.com/regulations/fedreg/2016/01/19/2016-00786.html https://regulations.justia.com/regulations/fedreg/2016/01/19/2016-00786.html Tue, 19 Jan 2016 00:00:00 -0800 2016-00786 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-01-19/pdf/2016-00786.pdf Notice - Self-Regulatory Organizations; NASDAQ OMX PHLX LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Section (a)(4) of Rule 640, Continuing Education for Registered Persons https://regulations.justia.com/regulations/fedreg/2016/01/19/2016-00785.html https://regulations.justia.com/regulations/fedreg/2016/01/19/2016-00785.html Tue, 19 Jan 2016 00:00:00 -0800 2016-00785 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-01-19/pdf/2016-00785.pdf Notice - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the Fees Schedule https://regulations.justia.com/regulations/fedreg/2016/01/19/2016-00784.html https://regulations.justia.com/regulations/fedreg/2016/01/19/2016-00784.html Tue, 19 Jan 2016 00:00:00 -0800 2016-00784 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-01-19/pdf/2016-00784.pdf Notice - Investment Managers Series Trust, et al.; Notice of Application https://regulations.justia.com/regulations/fedreg/2016/01/15/2016-00662.html https://regulations.justia.com/regulations/fedreg/2016/01/15/2016-00662.html Fri, 15 Jan 2016 00:00:00 -0800 2016-00662 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-01-15/pdf/2016-00662.pdf Notice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing of Amendment No. 1 and Order Granting Accelerated Approval of a Proposed Rule Change, as Modified by Amendment No. 1, To List and Trade Shares of the Market Vectors Dynamic Put Write ETF Under NYSE Arca Equities Rule 8.600 https://regulations.justia.com/regulations/fedreg/2016/01/15/2016-00661.html https://regulations.justia.com/regulations/fedreg/2016/01/15/2016-00661.html Fri, 15 Jan 2016 00:00:00 -0800 2016-00661 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-01-15/pdf/2016-00661.pdf Notice - Self-Regulatory Organizations; The Depository Trust Company; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the DTC Custody Service Guide To Codify Its Current Procedures for Assigning a Value to Custody Service Securities for Shipping Insurance Valuation Purposes https://regulations.justia.com/regulations/fedreg/2016/01/15/2016-00646.html https://regulations.justia.com/regulations/fedreg/2016/01/15/2016-00646.html Fri, 15 Jan 2016 00:00:00 -0800 2016-00646 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-01-15/pdf/2016-00646.pdf Notice - Self-Regulatory Organizations; NYSE Arca, Inc.; Order Granting Approval of Proposed Rule Change, and Notice of Filing and Order Granting Accelerated Approval of Amendment Nos. 1 and 3 Thereto, Relating to Auctions for Pillar, the Exchange's New Trading Technology Platform https://regulations.justia.com/regulations/fedreg/2016/01/15/2016-00645.html https://regulations.justia.com/regulations/fedreg/2016/01/15/2016-00645.html Fri, 15 Jan 2016 00:00:00 -0800 2016-00645 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-01-15/pdf/2016-00645.pdf Notice - Self-Regulatory Organizations; NASDAQ OMX BX, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Rule 7015 https://regulations.justia.com/regulations/fedreg/2016/01/15/2016-00644.html https://regulations.justia.com/regulations/fedreg/2016/01/15/2016-00644.html Fri, 15 Jan 2016 00:00:00 -0800 2016-00644 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-01-15/pdf/2016-00644.pdf Notice - Self-Regulatory Organizations; NASDAQ OMX PHLX LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Chapter VIII of the Pricing Schedule https://regulations.justia.com/regulations/fedreg/2016/01/15/2016-00643.html https://regulations.justia.com/regulations/fedreg/2016/01/15/2016-00643.html Fri, 15 Jan 2016 00:00:00 -0800 2016-00643 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-01-15/pdf/2016-00643.pdf Notice - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Adopt a Trading License Fee for Calendar Year 2016, Effective January 4, 2016 https://regulations.justia.com/regulations/fedreg/2016/01/15/2016-00642.html https://regulations.justia.com/regulations/fedreg/2016/01/15/2016-00642.html Fri, 15 Jan 2016 00:00:00 -0800 2016-00642 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-01-15/pdf/2016-00642.pdf Notice - Self-Regulatory Organizations; BATS Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Rules 27.1, Definitions, and 27.4, Temporary Rule Governing Phase-Out of P and P/A Orders https://regulations.justia.com/regulations/fedreg/2016/01/15/2016-00641.html https://regulations.justia.com/regulations/fedreg/2016/01/15/2016-00641.html Fri, 15 Jan 2016 00:00:00 -0800 2016-00641 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-01-15/pdf/2016-00641.pdf Notice - 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. https://regulations.justia.com/regulations/fedreg/2016/01/15/2016-00640.html https://regulations.justia.com/regulations/fedreg/2016/01/15/2016-00640.html Fri, 15 Jan 2016 00:00:00 -0800 2016-00640 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-01-15/pdf/2016-00640.pdf Notice - Self-Regulatory Organizations; BATS Exchange, Inc., Notice of Filing of Proposed Rule Change To List and Trade Shares of the SPDR DoubleLine Emerging Markets Fixed Income ETF of the SSgA Active Trust https://regulations.justia.com/regulations/fedreg/2016/01/15/2016-00639.html https://regulations.justia.com/regulations/fedreg/2016/01/15/2016-00639.html Fri, 15 Jan 2016 00:00:00 -0800 2016-00639 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-01-15/pdf/2016-00639.pdf Notice - Self-Regulatory Organizations; NASDAQ OMX PHLX LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Permit Fees https://regulations.justia.com/regulations/fedreg/2016/01/14/2016-00569.html https://regulations.justia.com/regulations/fedreg/2016/01/14/2016-00569.html Thu, 14 Jan 2016 00:00:00 -0800 2016-00569 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-01-14/pdf/2016-00569.pdf Notice - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Related to Limit Order Price Protections for Stock-Option Orders https://regulations.justia.com/regulations/fedreg/2016/01/14/2016-00568.html https://regulations.justia.com/regulations/fedreg/2016/01/14/2016-00568.html Thu, 14 Jan 2016 00:00:00 -0800 2016-00568 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-01-14/pdf/2016-00568.pdf Notice - Program for Allocation of Regulatory Responsibilities Pursuant to Rule 17d-2; Notice of Filing of Proposed Plan for the Allocation of Regulatory Responsibilities Between the Financial Industry Regulatory Authority, Inc. and the National Stock Exchange, Inc. https://regulations.justia.com/regulations/fedreg/2016/01/14/2016-00567.html https://regulations.justia.com/regulations/fedreg/2016/01/14/2016-00567.html Thu, 14 Jan 2016 00:00:00 -0800 2016-00567 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-01-14/pdf/2016-00567.pdf Notice - In the Matter of DC Brands International Inc., Order of Suspension of Trading https://regulations.justia.com/regulations/fedreg/2016/01/13/2016-00591.html https://regulations.justia.com/regulations/fedreg/2016/01/13/2016-00591.html Wed, 13 Jan 2016 00:00:00 -0800 2016-00591 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-01-13/pdf/2016-00591.pdf Notice - Sunshine Act Meeting https://regulations.justia.com/regulations/fedreg/2016/01/13/2016-00566.html https://regulations.justia.com/regulations/fedreg/2016/01/13/2016-00566.html Wed, 13 Jan 2016 00:00:00 -0800 2016-00566 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-01-13/pdf/2016-00566.pdf Notice - Self-Regulatory Organizations; BATS Y-Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Changes to Rules 11.5, Registration of Market Makers, 11.6, Obligations of Market Maker Authorized Traders, 11.7, Registration of Market Makers in a Security, and 11.8, Obligations of Market Makers https://regulations.justia.com/regulations/fedreg/2016/01/13/2016-00493.html https://regulations.justia.com/regulations/fedreg/2016/01/13/2016-00493.html Wed, 13 Jan 2016 00:00:00 -0800 2016-00493 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-01-13/pdf/2016-00493.pdf Notice - Investment Company Act Release No. 31953; File No. 812-14411 Columbia Funds Series Trust I, et al.; Notice of Application https://regulations.justia.com/regulations/fedreg/2016/01/13/2016-00470.html https://regulations.justia.com/regulations/fedreg/2016/01/13/2016-00470.html Wed, 13 Jan 2016 00:00:00 -0800 2016-00470 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-01-13/pdf/2016-00470.pdf Notice - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Designation of Longer Period for Commission Action on a Proposed Rule Change To Establish Rules To Adopt FINRA Rule 6191(a) To Implement the Quoting and Trading Requirements of the Regulation NMS Plan To Implement a Tick Size Pilot Program https://regulations.justia.com/regulations/fedreg/2016/01/13/2016-00469.html https://regulations.justia.com/regulations/fedreg/2016/01/13/2016-00469.html Wed, 13 Jan 2016 00:00:00 -0800 2016-00469 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-01-13/pdf/2016-00469.pdf Notice - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Designation of Longer Period for Commission Action on a Proposed Rule Change To Establish Rules To Adopt FINRA Rule 6191(b) and Amend FINRA Rule 7440 To Implement the Data Collection Requirements of the Plan To Implement a Tick Size Pilot Program https://regulations.justia.com/regulations/fedreg/2016/01/13/2016-00468.html https://regulations.justia.com/regulations/fedreg/2016/01/13/2016-00468.html Wed, 13 Jan 2016 00:00:00 -0800 2016-00468 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-01-13/pdf/2016-00468.pdf Notice - Self-Regulatory Organizations; EDGX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Rules 11.17, Registration of Market Makers, and 11.20, Obligations of Market Makers https://regulations.justia.com/regulations/fedreg/2016/01/13/2016-00467.html https://regulations.justia.com/regulations/fedreg/2016/01/13/2016-00467.html Wed, 13 Jan 2016 00:00:00 -0800 2016-00467 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-01-13/pdf/2016-00467.pdf Notice - Self-Regulatory Organizations; EDGA Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Rules 11.17, Registration of Market Makers, and 11.20, Obligations of Market Makers https://regulations.justia.com/regulations/fedreg/2016/01/13/2016-00466.html https://regulations.justia.com/regulations/fedreg/2016/01/13/2016-00466.html Wed, 13 Jan 2016 00:00:00 -0800 2016-00466 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-01-13/pdf/2016-00466.pdf Notice - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Extend the Expiration Date of FINRA Rule 0180 (Application of Rules to Security-Based Swaps) https://regulations.justia.com/regulations/fedreg/2016/01/13/2016-00465.html https://regulations.justia.com/regulations/fedreg/2016/01/13/2016-00465.html Wed, 13 Jan 2016 00:00:00 -0800 2016-00465 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-01-13/pdf/2016-00465.pdf Notice - Self-Regulatory Organizations; BATS Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Changes to Rules 11.5, Registration of Market Makers, 11.6, Obligations of Market Maker Authorized Traders, 11.7, Registration of Market Makers in a Security, and 11.8, Obligations of Market Makers https://regulations.justia.com/regulations/fedreg/2016/01/13/2016-00464.html https://regulations.justia.com/regulations/fedreg/2016/01/13/2016-00464.html Wed, 13 Jan 2016 00:00:00 -0800 2016-00464 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-01-13/pdf/2016-00464.pdf Notice - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Rule 132.30(9) To Conform the Exchange's Rules to Industry-Wide Standards for Recording the Capacity in Which a Member Organization Executes a Transaction https://regulations.justia.com/regulations/fedreg/2016/01/13/2016-00463.html https://regulations.justia.com/regulations/fedreg/2016/01/13/2016-00463.html Wed, 13 Jan 2016 00:00:00 -0800 2016-00463 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-01-13/pdf/2016-00463.pdf Notice - 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. https://regulations.justia.com/regulations/fedreg/2016/01/13/2016-00462.html https://regulations.justia.com/regulations/fedreg/2016/01/13/2016-00462.html Wed, 13 Jan 2016 00:00:00 -0800 2016-00462 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-01-13/pdf/2016-00462.pdf Notice - Sunshine Act Meeting https://regulations.justia.com/regulations/fedreg/2016/01/12/2016-00494.html https://regulations.justia.com/regulations/fedreg/2016/01/12/2016-00494.html Tue, 12 Jan 2016 00:00:00 -0800 2016-00494 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-01-12/pdf/2016-00494.pdf Notice - Order Making Fiscal Year 2016 Annual Adjustments to Transaction Fee Rates https://regulations.justia.com/regulations/fedreg/2016/01/12/2016-00406.html https://regulations.justia.com/regulations/fedreg/2016/01/12/2016-00406.html Tue, 12 Jan 2016 00:00:00 -0800 2016-00406 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-01-12/pdf/2016-00406.pdf Notice - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Filing and Immediate Effectiveness of a Proposed Rule To Amend the Fees Schedule https://regulations.justia.com/regulations/fedreg/2016/01/12/2016-00337.html https://regulations.justia.com/regulations/fedreg/2016/01/12/2016-00337.html Tue, 12 Jan 2016 00:00:00 -0800 2016-00337 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-01-12/pdf/2016-00337.pdf Notice - Self-Regulatory Organizations; BATS Exchange, Inc.; Notice of Designation of a Longer Period for Commission Action on a Proposed Rule Change, as Modified by Amendment No. 1 Thereto, To Adopt Rule 8.17 To Provide a Process for an Expedited Client Suspension Proceeding and Rule 12.15 To Prohibit Disruptive Quoting and Trading Activity https://regulations.justia.com/regulations/fedreg/2016/01/12/2016-00336.html https://regulations.justia.com/regulations/fedreg/2016/01/12/2016-00336.html Tue, 12 Jan 2016 00:00:00 -0800 2016-00336 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-01-12/pdf/2016-00336.pdf Notice - Self-Regulatory Organizations; Fixed Income Clearing Corporation; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Modify the Government Securities Division Fee Schedule https://regulations.justia.com/regulations/fedreg/2016/01/12/2016-00335.html https://regulations.justia.com/regulations/fedreg/2016/01/12/2016-00335.html Tue, 12 Jan 2016 00:00:00 -0800 2016-00335 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-01-12/pdf/2016-00335.pdf Notice - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Nasdaq Rule 7015 https://regulations.justia.com/regulations/fedreg/2016/01/11/2016-260.html https://regulations.justia.com/regulations/fedreg/2016/01/11/2016-260.html Mon, 11 Jan 2016 00:00:00 -0800 2016-260 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-01-11/pdf/2016-260.pdf Notice - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Extend the Credit Option Margin Pilot Program Through January 17, 2017 https://regulations.justia.com/regulations/fedreg/2016/01/11/2016-259.html https://regulations.justia.com/regulations/fedreg/2016/01/11/2016-259.html Mon, 11 Jan 2016 00:00:00 -0800 2016-259 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-01-11/pdf/2016-259.pdf Notice - Joint Industry Plan; Notice of Filing and Immediate Effectiveness of Amendment to the Options Order Protection and Locked/Crossed Market Plan to Add the EDGX Exchange, Inc. as a Participant https://regulations.justia.com/regulations/fedreg/2016/01/11/2016-258.html https://regulations.justia.com/regulations/fedreg/2016/01/11/2016-258.html Mon, 11 Jan 2016 00:00:00 -0800 2016-258 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-01-11/pdf/2016-258.pdf Notice - Joint Industry Plan; Notice of Filing and Immediate Effectiveness of Amendment to the Plan for the Purpose of Developing and Implementing Procedures Designed To Facilitate the Listing and Trading of Standardized Options To Add EDGX Exchange, Inc. (“EDGX”) as a Plan Sponsor https://regulations.justia.com/regulations/fedreg/2016/01/11/2016-257.html https://regulations.justia.com/regulations/fedreg/2016/01/11/2016-257.html Mon, 11 Jan 2016 00:00:00 -0800 2016-257 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-01-11/pdf/2016-257.pdf Notice - Proposed Collection; Comment Request https://regulations.justia.com/regulations/fedreg/2016/01/11/2016-256.html https://regulations.justia.com/regulations/fedreg/2016/01/11/2016-256.html Mon, 11 Jan 2016 00:00:00 -0800 2016-256 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-01-11/pdf/2016-256.pdf Notice - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Rule 7014 https://regulations.justia.com/regulations/fedreg/2016/01/11/2016-255.html https://regulations.justia.com/regulations/fedreg/2016/01/11/2016-255.html Mon, 11 Jan 2016 00:00:00 -0800 2016-255 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-01-11/pdf/2016-255.pdf Notice - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to Fees for Certain CBOE Real-Time Data Feeds https://regulations.justia.com/regulations/fedreg/2016/01/11/2016-254.html https://regulations.justia.com/regulations/fedreg/2016/01/11/2016-254.html Mon, 11 Jan 2016 00:00:00 -0800 2016-254 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-01-11/pdf/2016-254.pdf Notice - Self-Regulatory Organizations; NASDAQ OMX BX, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the Retail Price Improvement Program https://regulations.justia.com/regulations/fedreg/2016/01/11/2016-253.html https://regulations.justia.com/regulations/fedreg/2016/01/11/2016-253.html Mon, 11 Jan 2016 00:00:00 -0800 2016-253 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-01-11/pdf/2016-253.pdf Notice - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Delay of Implementation of Kill Switch https://regulations.justia.com/regulations/fedreg/2016/01/11/2016-252.html https://regulations.justia.com/regulations/fedreg/2016/01/11/2016-252.html Mon, 11 Jan 2016 00:00:00 -0800 2016-252 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-01-11/pdf/2016-252.pdf Notice - Self-Regulatory Organizations; NASDAQ OMX BX, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Delay of Implementation of Kill Switch https://regulations.justia.com/regulations/fedreg/2016/01/11/2016-251.html https://regulations.justia.com/regulations/fedreg/2016/01/11/2016-251.html Mon, 11 Jan 2016 00:00:00 -0800 2016-251 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-01-11/pdf/2016-251.pdf Notice - Self-Regulatory Organizations; BATS Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Rule 11.22, Data Products, To Describe IPO Auction Viewer https://regulations.justia.com/regulations/fedreg/2016/01/11/2016-250.html https://regulations.justia.com/regulations/fedreg/2016/01/11/2016-250.html Mon, 11 Jan 2016 00:00:00 -0800 2016-250 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-01-11/pdf/2016-250.pdf Notice - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing of Proposed Rule Change To Implement Additional Price Protections in the Opening Process https://regulations.justia.com/regulations/fedreg/2016/01/11/2016-249.html https://regulations.justia.com/regulations/fedreg/2016/01/11/2016-249.html Mon, 11 Jan 2016 00:00:00 -0800 2016-249 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-01-11/pdf/2016-249.pdf Notice - Self-Regulatory Organizations; International Securities Exchange; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Establish the Securities Trader and Securities Trader Principal Registration Categories https://regulations.justia.com/regulations/fedreg/2016/01/11/2016-248.html https://regulations.justia.com/regulations/fedreg/2016/01/11/2016-248.html Mon, 11 Jan 2016 00:00:00 -0800 2016-248 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-01-11/pdf/2016-248.pdf Notice - Self-Regulatory Organizations; ISE Gemini, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Establish the Securities Trader and Securities Trader Principal Registration Categories https://regulations.justia.com/regulations/fedreg/2016/01/11/2016-247.html https://regulations.justia.com/regulations/fedreg/2016/01/11/2016-247.html Mon, 11 Jan 2016 00:00:00 -0800 2016-247 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-01-11/pdf/2016-247.pdf Notice - Proposed Collection; Comment Request https://regulations.justia.com/regulations/fedreg/2016/01/11/2016-246.html https://regulations.justia.com/regulations/fedreg/2016/01/11/2016-246.html Mon, 11 Jan 2016 00:00:00 -0800 2016-246 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-01-11/pdf/2016-246.pdf Notice - Northern Lights Fund Trust, et al.; Notice of Application https://regulations.justia.com/regulations/fedreg/2016/01/11/2016-210.html https://regulations.justia.com/regulations/fedreg/2016/01/11/2016-210.html Mon, 11 Jan 2016 00:00:00 -0800 2016-210 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-01-11/pdf/2016-210.pdf Notice - Self-Regulatory Organizations; BATS Exchange, Inc.; Notice of Designation of a Longer Period for Commission Action on Proposed Rule Change To Amend BATS Rule 14.11(i) To Adopt Generic Listing Standards for Managed Fund Shares https://regulations.justia.com/regulations/fedreg/2016/01/08/2016-105.html https://regulations.justia.com/regulations/fedreg/2016/01/08/2016-105.html Fri, 08 Jan 2016 00:00:00 -0800 2016-105 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-01-08/pdf/2016-105.pdf Notice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Designation of a Longer Period for Commission Action on Proposed Rule Change To Adopt Generic Listing Standards for Managed Fund Shares https://regulations.justia.com/regulations/fedreg/2016/01/08/2016-104.html https://regulations.justia.com/regulations/fedreg/2016/01/08/2016-104.html Fri, 08 Jan 2016 00:00:00 -0800 2016-104 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-01-08/pdf/2016-104.pdf Notice - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing of Proposed Rule Change Relating to the Listing and Trading of the Shares of the First Trust RiverFront Dynamic Europe ETF, First Trust RiverFront Dynamic Asia Pacific ETF, First Trust RiverFront Dynamic Emerging Markets ETF, and the First Trust RiverFront Dynamic Developed International ETF of First Trust Exchange-Traded Fund III https://regulations.justia.com/regulations/fedreg/2016/01/08/2016-103.html https://regulations.justia.com/regulations/fedreg/2016/01/08/2016-103.html Fri, 08 Jan 2016 00:00:00 -0800 2016-103 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-01-08/pdf/2016-103.pdf Notice - 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. https://regulations.justia.com/regulations/fedreg/2016/01/08/2016-102.html https://regulations.justia.com/regulations/fedreg/2016/01/08/2016-102.html Fri, 08 Jan 2016 00:00:00 -0800 2016-102 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-01-08/pdf/2016-102.pdf Proposed Rule - Establishing the Form and Manner With Which Security-Based Swap Data Repositories Must Make Security-Based Swap Data Available to the Commission; Correction https://regulations.justia.com/regulations/fedreg/2016/01/07/2016-00044.html https://regulations.justia.com/regulations/fedreg/2016/01/07/2016-00044.html Thu, 07 Jan 2016 00:00:00 -0800 2016-00044 Proposed Rule https://www.gpo.gov/fdsys/pkg/FR-2016-01-07/pdf/2016-00044.pdf Notice - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing of Amendment Nos. 1 and 2 and Order Granting Accelerated Approval of Proposed Rule Change, as Modified by Amendment Nos. 1 and 2 Thereto, Amending Sections 312.03(b) and 312.04 of the NYSE Listed Company Manual To Exempt Early Stage Companies From Having To Obtain Shareholder Approval Before Issuing Shares for Cash to Related Parties, Affiliates of Related Parties or Entities in Which a Related Party Has a Substantial Interest https://regulations.justia.com/regulations/fedreg/2016/01/07/2015-33313.html https://regulations.justia.com/regulations/fedreg/2016/01/07/2015-33313.html Thu, 07 Jan 2016 00:00:00 -0800 2015-33313 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-01-07/pdf/2015-33313.pdf Notice - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing of a Proposed Rule Change To Amend the Derivatives and Other Off-Balance Sheet Items Schedule Pursuant to FINRA Rule 4524 (Supplemental FOCUS Information) https://regulations.justia.com/regulations/fedreg/2016/01/07/2015-33312.html https://regulations.justia.com/regulations/fedreg/2016/01/07/2015-33312.html Thu, 07 Jan 2016 00:00:00 -0800 2015-33312 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-01-07/pdf/2015-33312.pdf Notice - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to the Series 9/10 Examination Program https://regulations.justia.com/regulations/fedreg/2016/01/07/2015-33311.html https://regulations.justia.com/regulations/fedreg/2016/01/07/2015-33311.html Thu, 07 Jan 2016 00:00:00 -0800 2015-33311 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-01-07/pdf/2015-33311.pdf Notice - Self-Regulatory Organizations; The Depository Trust Company; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Postponing the Date for Retirement of Computer to Computer Facility Corporate Action Announcement Files, and Implementing a Fee Associated With Its Use https://regulations.justia.com/regulations/fedreg/2016/01/07/2015-33310.html https://regulations.justia.com/regulations/fedreg/2016/01/07/2015-33310.html Thu, 07 Jan 2016 00:00:00 -0800 2015-33310 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-01-07/pdf/2015-33310.pdf Notice - Self-Regulatory Organizations; NASDAQ OMX PHLX LLC; Notice of Filing of Proposed Rule Change, as Modified by Amendment No. 2 Thereto, To Amend the By-Laws of Nasdaq, Inc. https://regulations.justia.com/regulations/fedreg/2016/01/07/2015-33309.html https://regulations.justia.com/regulations/fedreg/2016/01/07/2015-33309.html Thu, 07 Jan 2016 00:00:00 -0800 2015-33309 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-01-07/pdf/2015-33309.pdf Notice - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing of Proposed Rule Change, as Modified by Amendment No. 1 Thereto, To Amend the By-Laws of Nasdaq, Inc. https://regulations.justia.com/regulations/fedreg/2016/01/07/2015-33308.html https://regulations.justia.com/regulations/fedreg/2016/01/07/2015-33308.html Thu, 07 Jan 2016 00:00:00 -0800 2015-33308 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-01-07/pdf/2015-33308.pdf Notice - Self-Regulatory Organizations; NASDAQ OMX BX, Inc.; Notice of Filing of Proposed Rule Change, as Modified by Amendment No. 1 Thereto, To Amend the By-Laws of Nasdaq, Inc. https://regulations.justia.com/regulations/fedreg/2016/01/07/2015-33307.html https://regulations.justia.com/regulations/fedreg/2016/01/07/2015-33307.html Thu, 07 Jan 2016 00:00:00 -0800 2015-33307 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-01-07/pdf/2015-33307.pdf Notice - Self-Regulatory Organizations; Stock Clearing Corporation of Philadelphia; Notice of Filing of Proposed Rule Change, as Modified by Amendment No. 1 Thereto, To Amend the By-Laws of Nasdaq, Inc. https://regulations.justia.com/regulations/fedreg/2016/01/07/2015-33306.html https://regulations.justia.com/regulations/fedreg/2016/01/07/2015-33306.html Thu, 07 Jan 2016 00:00:00 -0800 2015-33306 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-01-07/pdf/2015-33306.pdf Notice - Self-Regulatory Organizations; Boston Stock Exchange Clearing Corporation; Notice of Filing of Proposed Rule Change, as Modified by Amendment No. 1 Thereto, To Amend the By-Laws of Nasdaq, Inc. https://regulations.justia.com/regulations/fedreg/2016/01/07/2015-33305.html https://regulations.justia.com/regulations/fedreg/2016/01/07/2015-33305.html Thu, 07 Jan 2016 00:00:00 -0800 2015-33305 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-01-07/pdf/2015-33305.pdf Notice - Submission for OMB Review; Comment Request https://regulations.justia.com/regulations/fedreg/2016/01/07/2015-33216.html https://regulations.justia.com/regulations/fedreg/2016/01/07/2015-33216.html Thu, 07 Jan 2016 00:00:00 -0800 2015-33216 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-01-07/pdf/2015-33216.pdf Notice - Submission for OMB Review; Comment Request https://regulations.justia.com/regulations/fedreg/2016/01/07/2015-33215.html https://regulations.justia.com/regulations/fedreg/2016/01/07/2015-33215.html Thu, 07 Jan 2016 00:00:00 -0800 2015-33215 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-01-07/pdf/2015-33215.pdf Notice - Self-Regulatory Organizations; NASDAQ OMX PHLX LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Rule 1060 https://regulations.justia.com/regulations/fedreg/2016/01/06/2015-33220.html https://regulations.justia.com/regulations/fedreg/2016/01/06/2015-33220.html Wed, 06 Jan 2016 00:00:00 -0800 2015-33220 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-01-06/pdf/2015-33220.pdf Notice - Self-Regulatory Organizations; NASDAQ OMX PHLX LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Regarding Order Exposure https://regulations.justia.com/regulations/fedreg/2016/01/06/2015-33219.html https://regulations.justia.com/regulations/fedreg/2016/01/06/2015-33219.html Wed, 06 Jan 2016 00:00:00 -0800 2015-33219 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-01-06/pdf/2015-33219.pdf Notice - Self-Regulatory Organizations; The Depository Trust Company; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Add a Fee To Be Charged To Transfer Agents of DTC-Eligible Issues Subject to a Corporate Action https://regulations.justia.com/regulations/fedreg/2016/01/06/2015-33218.html https://regulations.justia.com/regulations/fedreg/2016/01/06/2015-33218.html Wed, 06 Jan 2016 00:00:00 -0800 2015-33218 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-01-06/pdf/2015-33218.pdf Notice - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Adopting New Rules To Reflect the Implementation of Pillar, the Exchange's New Trading Technology Platform https://regulations.justia.com/regulations/fedreg/2016/01/06/2015-33217.html https://regulations.justia.com/regulations/fedreg/2016/01/06/2015-33217.html Wed, 06 Jan 2016 00:00:00 -0800 2015-33217 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-01-06/pdf/2015-33217.pdf Notice - Submission for OMB Review; Comment Request https://regulations.justia.com/regulations/fedreg/2016/01/06/2015-33214.html https://regulations.justia.com/regulations/fedreg/2016/01/06/2015-33214.html Wed, 06 Jan 2016 00:00:00 -0800 2015-33214 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-01-06/pdf/2015-33214.pdf Notice - Submission for OMB Review; Comment Request https://regulations.justia.com/regulations/fedreg/2016/01/06/2015-33213.html https://regulations.justia.com/regulations/fedreg/2016/01/06/2015-33213.html Wed, 06 Jan 2016 00:00:00 -0800 2015-33213 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-01-06/pdf/2015-33213.pdf Notice - Submission for OMB Review; Comment Request https://regulations.justia.com/regulations/fedreg/2016/01/06/2015-33212.html https://regulations.justia.com/regulations/fedreg/2016/01/06/2015-33212.html Wed, 06 Jan 2016 00:00:00 -0800 2015-33212 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-01-06/pdf/2015-33212.pdf Notice - Submission for OMB Review; Comment Request https://regulations.justia.com/regulations/fedreg/2016/01/06/2015-33211.html https://regulations.justia.com/regulations/fedreg/2016/01/06/2015-33211.html Wed, 06 Jan 2016 00:00:00 -0800 2015-33211 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-01-06/pdf/2015-33211.pdf Notice - Proposed Collection; Comment Request https://regulations.justia.com/regulations/fedreg/2016/01/06/2015-33210.html https://regulations.justia.com/regulations/fedreg/2016/01/06/2015-33210.html Wed, 06 Jan 2016 00:00:00 -0800 2015-33210 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-01-06/pdf/2015-33210.pdf Notice - Self-Regulatory Organizations; NASDAQ OMX BX, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Modify the Fees for Managed Data Solutions https://regulations.justia.com/regulations/fedreg/2016/01/06/2015-33209.html https://regulations.justia.com/regulations/fedreg/2016/01/06/2015-33209.html Wed, 06 Jan 2016 00:00:00 -0800 2015-33209 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-01-06/pdf/2015-33209.pdf Notice - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Modify the Fees for Managed Data Solutions https://regulations.justia.com/regulations/fedreg/2016/01/06/2015-33208.html https://regulations.justia.com/regulations/fedreg/2016/01/06/2015-33208.html Wed, 06 Jan 2016 00:00:00 -0800 2015-33208 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-01-06/pdf/2015-33208.pdf Notice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing of Proposed Rule Change To List and Trade Shares of RiverFront Dynamic Unconstrained Income ETF and RiverFront Dynamic Core Income ETF Under NYSE Arca Equities Rule 8.600 https://regulations.justia.com/regulations/fedreg/2016/01/06/2015-33207.html https://regulations.justia.com/regulations/fedreg/2016/01/06/2015-33207.html Wed, 06 Jan 2016 00:00:00 -0800 2015-33207 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-01-06/pdf/2015-33207.pdf Notice - Self-Regulatory Organizations; NASDAQ OMX PHLX LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Modify the Fees for Managed Data Solutions https://regulations.justia.com/regulations/fedreg/2016/01/06/2015-33206.html https://regulations.justia.com/regulations/fedreg/2016/01/06/2015-33206.html Wed, 06 Jan 2016 00:00:00 -0800 2015-33206 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-01-06/pdf/2015-33206.pdf Notice - Sunshine Act Meeting https://regulations.justia.com/regulations/fedreg/2016/01/05/2015-33314.html https://regulations.justia.com/regulations/fedreg/2016/01/05/2015-33314.html Tue, 05 Jan 2016 00:00:00 -0800 2015-33314 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-01-05/pdf/2015-33314.pdf Notice - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Its Price List To Modify Certain Fees for Executions at the Close https://regulations.justia.com/regulations/fedreg/2016/01/05/2015-33116.html https://regulations.justia.com/regulations/fedreg/2016/01/05/2015-33116.html Tue, 05 Jan 2016 00:00:00 -0800 2015-33116 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-01-05/pdf/2015-33116.pdf Notice - Self-Regulatory Organizations; C2 Options Exchange, Incorporated; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the Fees Schedule https://regulations.justia.com/regulations/fedreg/2016/01/05/2015-33115.html https://regulations.justia.com/regulations/fedreg/2016/01/05/2015-33115.html Tue, 05 Jan 2016 00:00:00 -0800 2015-33115 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-01-05/pdf/2015-33115.pdf Notice - Self-Regulatory Organizations; National Securities Clearing Corporation; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Adjust Fees Related to Automated Customer Account Transfer Service, Obligation Warehouse, Fund/SERV®, Insurance and Retirement Processing Services, and Alternative Investment Product Services https://regulations.justia.com/regulations/fedreg/2016/01/05/2015-33114.html https://regulations.justia.com/regulations/fedreg/2016/01/05/2015-33114.html Tue, 05 Jan 2016 00:00:00 -0800 2015-33114 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-01-05/pdf/2015-33114.pdf Notice - Self-Regulatory Organizations; ICE Clear Credit LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Extend Single Name Backloading Incentive Program https://regulations.justia.com/regulations/fedreg/2016/01/05/2015-33113.html https://regulations.justia.com/regulations/fedreg/2016/01/05/2015-33113.html Tue, 05 Jan 2016 00:00:00 -0800 2015-33113 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-01-05/pdf/2015-33113.pdf Notice - In the Matter of China Domestica Bio-Technology Holdings, Inc., Order of Suspension of Trading https://regulations.justia.com/regulations/fedreg/2016/01/04/2015-33139.html https://regulations.justia.com/regulations/fedreg/2016/01/04/2015-33139.html Mon, 04 Jan 2016 00:00:00 -0800 2015-33139 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-01-04/pdf/2015-33139.pdf Notice - In the Matter of USA Graphite, Inc., Order of Suspension of Trading https://regulations.justia.com/regulations/fedreg/2016/01/04/2015-33138.html https://regulations.justia.com/regulations/fedreg/2016/01/04/2015-33138.html Mon, 04 Jan 2016 00:00:00 -0800 2015-33138 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-01-04/pdf/2015-33138.pdf Notice - In the Matter of Changda International Holdings, Inc.: Order of Suspension of Trading https://regulations.justia.com/regulations/fedreg/2016/01/04/2015-33029.html https://regulations.justia.com/regulations/fedreg/2016/01/04/2015-33029.html Mon, 04 Jan 2016 00:00:00 -0800 2015-33029 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-01-04/pdf/2015-33029.pdf Notice - In the Matter of Zhong Wen International Holding Co., Ltd.; Order of Suspension of Trading https://regulations.justia.com/regulations/fedreg/2016/01/04/2015-33028.html https://regulations.justia.com/regulations/fedreg/2016/01/04/2015-33028.html Mon, 04 Jan 2016 00:00:00 -0800 2015-33028 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-01-04/pdf/2015-33028.pdf Notice - Self-Regulatory Organizations; The Options Clearing Corporation; Order Approving a Proposed Rule Change, as Modified by Amendment No. 1, To Modify the Options Clearing Corporation's Margin Methodology by Incorporating Variations in Implied Volatility https://regulations.justia.com/regulations/fedreg/2016/01/04/2015-32991.html https://regulations.justia.com/regulations/fedreg/2016/01/04/2015-32991.html Mon, 04 Jan 2016 00:00:00 -0800 2015-32991 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-01-04/pdf/2015-32991.pdf Notice - Self-Regulatory Organizations; NASDAQ OMX PHLX LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the NASDAQ OMX PHLX Fee Schedule To Increase the Options Surcharge Fee for MNX and NDX https://regulations.justia.com/regulations/fedreg/2016/01/04/2015-32990.html https://regulations.justia.com/regulations/fedreg/2016/01/04/2015-32990.html Mon, 04 Jan 2016 00:00:00 -0800 2015-32990 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-01-04/pdf/2015-32990.pdf Notice - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Modify the Professional Subscriber Fee for Non-Display Usage via Direct Access https://regulations.justia.com/regulations/fedreg/2016/01/04/2015-32989.html https://regulations.justia.com/regulations/fedreg/2016/01/04/2015-32989.html Mon, 04 Jan 2016 00:00:00 -0800 2015-32989 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-01-04/pdf/2015-32989.pdf Notice - 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. https://regulations.justia.com/regulations/fedreg/2016/01/04/2015-32988.html https://regulations.justia.com/regulations/fedreg/2016/01/04/2015-32988.html Mon, 04 Jan 2016 00:00:00 -0800 2015-32988 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-01-04/pdf/2015-32988.pdf Notice - 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. https://regulations.justia.com/regulations/fedreg/2016/01/04/2015-32987.html https://regulations.justia.com/regulations/fedreg/2016/01/04/2015-32987.html Mon, 04 Jan 2016 00:00:00 -0800 2015-32987 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-01-04/pdf/2015-32987.pdf Notice - Self-Regulatory Organizations; BATS Exchange, Inc.; Notice of Filing of a Proposed Rule Change to Rule 14.11(i), Managed Fund Shares, To List and Trade the Shares of the Elkhorn S&P GSCI Dynamic Roll Commodity ETF of Elkhorn ETF Trust https://regulations.justia.com/regulations/fedreg/2016/01/04/2015-32986.html https://regulations.justia.com/regulations/fedreg/2016/01/04/2015-32986.html Mon, 04 Jan 2016 00:00:00 -0800 2015-32986 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-01-04/pdf/2015-32986.pdf Rule - Adoption of Updated EDGAR Filer Manual https://regulations.justia.com/regulations/fedreg/2016/01/04/2015-32985.html https://regulations.justia.com/regulations/fedreg/2016/01/04/2015-32985.html Mon, 04 Jan 2016 00:00:00 -0800 2015-32985 Rule https://www.gpo.gov/fdsys/pkg/FR-2016-01-04/pdf/2015-32985.pdf