<![CDATA[Federal Register Recent Federal Regulation Documents - Justia Regulation Tracker - Justia Regulations Tracker]]> https://regulations.justia.com/regulations/fedreg/agencies/securities-and-exchange-commission/2016/02/25?registers=between Wed, 27 Nov 2024 02:58:39 -0800 Wed, 27 Nov 2024 02:58:39 -0800 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/2016/02/25?registers=between Notice - Securities Investor Protection Corporation https://regulations.justia.com/regulations/fedreg/2016/02/25/2016-04022.html https://regulations.justia.com/regulations/fedreg/2016/02/25/2016-04022.html Thu, 25 Feb 2016 00:00:00 -0800 2016-04022 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-02-25/pdf/2016-04022.pdf Notice - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending the NYSE Listed Company Manual To Adopt a Requirement That Listed Foreign Private Issuers Must, at a Minimum, Submit a Form 6-K to the Securities and Exchange Commission Containing Semi-Annual Unaudited Financial Information https://regulations.justia.com/regulations/fedreg/2016/02/25/2016-03962.html https://regulations.justia.com/regulations/fedreg/2016/02/25/2016-03962.html Thu, 25 Feb 2016 00:00:00 -0800 2016-03962 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-02-25/pdf/2016-03962.pdf Notice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Rule 7.31P(a)(2)(C) Relating to Repricing Events https://regulations.justia.com/regulations/fedreg/2016/02/25/2016-03961.html https://regulations.justia.com/regulations/fedreg/2016/02/25/2016-03961.html Thu, 25 Feb 2016 00:00:00 -0800 2016-03961 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-02-25/pdf/2016-03961.pdf Notice - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing of a Proposed Rule Change To Reduce the Synchronization Tolerance for Computer Clocks That Are Used To Record Events in NMS Securities and OTC Equity Securities https://regulations.justia.com/regulations/fedreg/2016/02/25/2016-03960.html https://regulations.justia.com/regulations/fedreg/2016/02/25/2016-03960.html Thu, 25 Feb 2016 00:00:00 -0800 2016-03960 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-02-25/pdf/2016-03960.pdf Notice - Self-Regulatory Organizations; C2 Options Exchange, Incorporated; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Rule 8.2 https://regulations.justia.com/regulations/fedreg/2016/02/25/2016-03959.html https://regulations.justia.com/regulations/fedreg/2016/02/25/2016-03959.html Thu, 25 Feb 2016 00:00:00 -0800 2016-03959 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-02-25/pdf/2016-03959.pdf Notice - Self-Regulatory Organizations; BOX Options Exchange LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the Fee Schedule To Eliminate Certain Fees Which Relate to the Series 56 Examination and To Include Certain Fees Which Relate to Series 57 Examination and Continuing Education https://regulations.justia.com/regulations/fedreg/2016/02/25/2016-03953.html https://regulations.justia.com/regulations/fedreg/2016/02/25/2016-03953.html Thu, 25 Feb 2016 00:00:00 -0800 2016-03953 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-02-25/pdf/2016-03953.pdf Notice - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Designation of a Longer Period for Commission Action on Proposed Rule Change, as Modified by Amendment Nos. 1 and 2 Thereto, 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 First Trust RiverFront Dynamic Developed International ETF of First Trust Exchange-Traded Fund III https://regulations.justia.com/regulations/fedreg/2016/02/25/2016-03952.html https://regulations.justia.com/regulations/fedreg/2016/02/25/2016-03952.html Thu, 25 Feb 2016 00:00:00 -0800 2016-03952 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-02-25/pdf/2016-03952.pdf Notice - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Nasdaq Rule 5940 To Adopt Entry and Annual Fees for NextShares https://regulations.justia.com/regulations/fedreg/2016/02/25/2016-03951.html https://regulations.justia.com/regulations/fedreg/2016/02/25/2016-03951.html Thu, 25 Feb 2016 00:00:00 -0800 2016-03951 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-02-25/pdf/2016-03951.pdf Notice - Self-Regulatory Organizations; EDGA Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Rule 11.6, Definitions, To Amend the Operation of Orders With a Non-Displayed Instruction and Orders With Reserve Quantity https://regulations.justia.com/regulations/fedreg/2016/02/25/2016-03950.html https://regulations.justia.com/regulations/fedreg/2016/02/25/2016-03950.html Thu, 25 Feb 2016 00:00:00 -0800 2016-03950 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-02-25/pdf/2016-03950.pdf Notice - Self-Regulatory Organizations; EDGX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Rule 11.6, Definitions, To Amend the Operation of Orders With a Non-Displayed Instruction and Orders With Reserve Quantity https://regulations.justia.com/regulations/fedreg/2016/02/25/2016-03949.html https://regulations.justia.com/regulations/fedreg/2016/02/25/2016-03949.html Thu, 25 Feb 2016 00:00:00 -0800 2016-03949 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-02-25/pdf/2016-03949.pdf Notice - Self-Regulatory Organizations; BATS Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Rule 11.13(b)(3)(H), Order Execution and Routing, To Amend the Operation of Non-Displayed Orders and Reserve Orders https://regulations.justia.com/regulations/fedreg/2016/02/25/2016-03948.html https://regulations.justia.com/regulations/fedreg/2016/02/25/2016-03948.html Thu, 25 Feb 2016 00:00:00 -0800 2016-03948 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-02-25/pdf/2016-03948.pdf Notice - Self-Regulatory Organizations; BATS Y-Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Rule 11.13(b)(3)(H), Order Execution and Routing, To Amend the Operation of Non-Displayed Orders and Reserve Orders https://regulations.justia.com/regulations/fedreg/2016/02/25/2016-03947.html https://regulations.justia.com/regulations/fedreg/2016/02/25/2016-03947.html Thu, 25 Feb 2016 00:00:00 -0800 2016-03947 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-02-25/pdf/2016-03947.pdf Notice - Self-Regulatory Organizations; NASDAQ PHLX LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Partnerships https://regulations.justia.com/regulations/fedreg/2016/02/25/2016-03946.html https://regulations.justia.com/regulations/fedreg/2016/02/25/2016-03946.html Thu, 25 Feb 2016 00:00:00 -0800 2016-03946 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-02-25/pdf/2016-03946.pdf Notice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Designation of a Longer Period for Commission Action on a Proposed Rule Change, as Modified by Amendment Nos. 1 and 2, To List and Trade of 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/2016/02/25/2016-03945.html https://regulations.justia.com/regulations/fedreg/2016/02/25/2016-03945.html Thu, 25 Feb 2016 00:00:00 -0800 2016-03945 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-02-25/pdf/2016-03945.pdf Notice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing of Proposed Rule Change To List and Trade Shares of RiverFront Dynamic US Dividend Advantage ETF and RiverFront Dynamic US Flex-Cap ETF Under NYSE Arca Equities Rule 8.600 https://regulations.justia.com/regulations/fedreg/2016/02/25/2016-03944.html https://regulations.justia.com/regulations/fedreg/2016/02/25/2016-03944.html Thu, 25 Feb 2016 00:00:00 -0800 2016-03944 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-02-25/pdf/2016-03944.pdf Notice - Self-Regulatory Organizations; BATS Exchange, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Rules 8.15, Imposition of Fines for Minor Violation(s) of Rules, and 25.3, Penalty for Minor Rule Violations, To Amend the Minor Rule Violation Plan https://regulations.justia.com/regulations/fedreg/2016/02/25/2016-03943.html https://regulations.justia.com/regulations/fedreg/2016/02/25/2016-03943.html Thu, 25 Feb 2016 00:00:00 -0800 2016-03943 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-02-25/pdf/2016-03943.pdf Notice - Self-Regulatory Organizations; EDGX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Rules 8.15, Imposition of Fines for Minor Violation(s) of Rules, and 25.3, Penalty for Minor Rule Violations, Amending the Exchange's Minor Rule Violation Plan https://regulations.justia.com/regulations/fedreg/2016/02/25/2016-03942.html https://regulations.justia.com/regulations/fedreg/2016/02/25/2016-03942.html Thu, 25 Feb 2016 00:00:00 -0800 2016-03942 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-02-25/pdf/2016-03942.pdf Notice - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing of a Proposed Rule Change To Amend FINRA Rules 7410 (Definitions) and 7440 (Recording of Order Information) https://regulations.justia.com/regulations/fedreg/2016/02/25/2016-03941.html https://regulations.justia.com/regulations/fedreg/2016/02/25/2016-03941.html Thu, 25 Feb 2016 00:00:00 -0800 2016-03941 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-02-25/pdf/2016-03941.pdf Notice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing of Proposed Rule Change Relating to Listing and Trading of Shares of the JPMorgan Diversified Alternative ETF Under NYSE Arca Equities Rule 8.600 https://regulations.justia.com/regulations/fedreg/2016/02/25/2016-03940.html https://regulations.justia.com/regulations/fedreg/2016/02/25/2016-03940.html Thu, 25 Feb 2016 00:00:00 -0800 2016-03940 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-02-25/pdf/2016-03940.pdf