Federal Register Recent Federal Regulation Documents - Justia Regulation Tracker

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?limit=200&registers=between&min-day=1&max-day=29&mode=atom 2023-12-04T22:50:08-08:00 Justia Inc https://www.justia.com/ Justia Regulations Tracker https://regulations.justia.com/images/justiafedregulations.gif Copyright 2011 Justia Inc https://regulations.justia.com/regulations/fedreg/2016/02/29/2016-04358.html Notice - Self-Regulatory Organizations; BATS Exchange, Inc.; Notice of Filing of a Proposed Rule Change, as Modified by Amendment No. 1 Thereto, To Amend Its Rules Regarding the Auction Process for Securities Subject to an Initial Public Offering 2016-02-29T00:00:00-08:00 2016-02-29T00:00:00-08:00 2016-04358 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-02-29/pdf/2016-04358.pdf https://regulations.justia.com/regulations/fedreg/2016/02/29/2016-04351.html Notice - Proposed Collection; Comment Request 2016-02-29T00:00:00-08:00 2016-02-29T00:00:00-08:00 2016-04351 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-02-29/pdf/2016-04351.pdf https://regulations.justia.com/regulations/fedreg/2016/02/29/2016-04320.html Notice - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing of Partial Amendment No. 1 and Order Granting Accelerated Approval to a Proposed Rule Change 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 2016-02-29T00:00:00-08:00 2016-02-29T00:00:00-08:00 2016-04320 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-02-29/pdf/2016-04320.pdf https://regulations.justia.com/regulations/fedreg/2016/02/29/2016-04252.html Notice - Self-Regulatory Organizations; BATS Exchange, Inc.; Notice of Filing of a Proposed Rule Change To Adopt an Early Trading Session and Three New Time-in-Force Instructions 2016-02-29T00:00:00-08:00 2016-02-29T00:00:00-08:00 2016-04252 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-02-29/pdf/2016-04252.pdf https://regulations.justia.com/regulations/fedreg/2016/02/29/2016-04251.html Notice - Self-Regulatory Organizations; BATS Y-Exchange, Inc.; Notice of Filing of a Proposed Rule Change To Adopt an Early Trading Session and Three New Time-In Force Instructions 2016-02-29T00:00:00-08:00 2016-02-29T00:00:00-08:00 2016-04251 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-02-29/pdf/2016-04251.pdf https://regulations.justia.com/regulations/fedreg/2016/02/29/2016-04250.html Notice - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Adopt FINRA Rule 0151 (Coordination with the MSRB) and Amend FINRA Rule 0150 (Application of Rules to Exempted Securities Except Municipal Securities) 2016-02-29T00:00:00-08:00 2016-02-29T00:00:00-08:00 2016-04250 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-02-29/pdf/2016-04250.pdf https://regulations.justia.com/regulations/fedreg/2016/02/29/2016-04249.html Notice - Self-Regulatory Organizations; EDGX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Related to Fees as Applicable to the Equity Options Platform 2016-02-29T00:00:00-08:00 2016-02-29T00:00:00-08:00 2016-04249 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-02-29/pdf/2016-04249.pdf https://regulations.justia.com/regulations/fedreg/2016/02/29/2016-04248.html Notice - Self-Regulatory Organizations; NYSE MKT LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Sections 1206 and 1212T of the NYSE MKT Company Guide 2016-02-29T00:00:00-08:00 2016-02-29T00:00:00-08:00 2016-04248 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-02-29/pdf/2016-04248.pdf https://regulations.justia.com/regulations/fedreg/2016/02/29/2016-04247.html Notice - Self-Regulatory Organizations; BATS Exchange, Inc.; Notice of Designation of a Longer Period for Commission Action on Proposed Rule Change To List and Trade Shares of the SPDR DoubleLine Emerging Markets Fixed Income ETF of the SSgA Active Trust 2016-02-29T00:00:00-08:00 2016-02-29T00:00:00-08:00 2016-04247 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-02-29/pdf/2016-04247.pdf https://regulations.justia.com/regulations/fedreg/2016/02/29/2016-04246.html Notice - Joint Industry Plan; Notice of Filing of the Tenth Amendment to the National Market System Plan To Address Extraordinary Market Volatility by BATS Exchange, Inc., BATSY-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. 2016-02-29T00:00:00-08:00 2016-02-29T00:00:00-08:00 2016-04246 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-02-29/pdf/2016-04246.pdf https://regulations.justia.com/regulations/fedreg/2016/02/26/2016-04113.html Notice - Brookfield Asset Management Private Institutional Capital Adviser US, LLC et al.; Notice of Application 2016-02-26T00:00:00-08:00 2016-02-26T00:00:00-08:00

2016-04113 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-02-26/pdf/2016-04113.pdf https://regulations.justia.com/regulations/fedreg/2016/02/26/2016-04112.html Notice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing of Amendment No. 4 to, and Order Instituting Proceedings to Determine Whether to Approve or Disapprove, a Proposed Rule Change, as Modified by Amendment No. 4 Thereto, Amending NYSE Arca Equities Rule 8.600 to Adopt Generic Listing Standards for Managed Fund Shares 2016-02-26T00:00:00-08:00 2016-02-26T00:00:00-08:00 2016-04112 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-02-26/pdf/2016-04112.pdf https://regulations.justia.com/regulations/fedreg/2016/02/26/2016-04110.html Notice - Self-Regulatory Organizations; BATS Exchange, Inc.; Notice of Filing of Amendments No. 1, No. 3, and No. 4 to, and Order Instituting Proceedings to Determine Whether To Approve or Disapprove, a Proposed Rule Change, as Modified by Amendments No. 1, No. 3, and No. 4, To Amend BATS Rule 14.11(i) To Adopt Generic Listing Standards for Managed Fund Shares 2016-02-26T00:00:00-08:00 2016-02-26T00:00:00-08:00 2016-04110 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-02-26/pdf/2016-04110.pdf https://regulations.justia.com/regulations/fedreg/2016/02/26/2016-04109.html Notice - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Filing of a Proposed Rule Change Relating to LMMs and DPMs 2016-02-26T00:00:00-08:00 2016-02-26T00:00:00-08:00 2016-04109 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-02-26/pdf/2016-04109.pdf https://regulations.justia.com/regulations/fedreg/2016/02/26/2016-04108.html Notice - Self-Regulatory Organizations; International Securities Exchange, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Correct the Text of ISE Rule 313 2016-02-26T00:00:00-08:00 2016-02-26T00:00:00-08:00 2016-04108 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-02-26/pdf/2016-04108.pdf https://regulations.justia.com/regulations/fedreg/2016/02/25/2016-04022.html Notice - Securities Investor Protection Corporation 2016-02-25T00:00:00-08:00 2016-02-25T00:00:00-08:00

2016-04022 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-02-25/pdf/2016-04022.pdf https://regulations.justia.com/regulations/fedreg/2016/02/25/2016-03962.html 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 2016-02-25T00:00:00-08:00 2016-02-25T00:00:00-08:00 2016-03962 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-02-25/pdf/2016-03962.pdf https://regulations.justia.com/regulations/fedreg/2016/02/25/2016-03961.html 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 2016-02-25T00:00:00-08:00 2016-02-25T00:00:00-08:00 2016-03961 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-02-25/pdf/2016-03961.pdf https://regulations.justia.com/regulations/fedreg/2016/02/25/2016-03960.html 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 2016-02-25T00:00:00-08:00 2016-02-25T00:00:00-08:00 2016-03960 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-02-25/pdf/2016-03960.pdf https://regulations.justia.com/regulations/fedreg/2016/02/25/2016-03959.html Notice - Self-Regulatory Organizations; C2 Options Exchange, Incorporated; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Rule 8.2 2016-02-25T00:00:00-08:00 2016-02-25T00:00:00-08:00 2016-03959 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-02-25/pdf/2016-03959.pdf https://regulations.justia.com/regulations/fedreg/2016/02/25/2016-03953.html 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 2016-02-25T00:00:00-08:00 2016-02-25T00:00:00-08:00 2016-03953 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-02-25/pdf/2016-03953.pdf https://regulations.justia.com/regulations/fedreg/2016/02/25/2016-03952.html 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 2016-02-25T00:00:00-08:00 2016-02-25T00:00:00-08:00 2016-03952 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-02-25/pdf/2016-03952.pdf https://regulations.justia.com/regulations/fedreg/2016/02/25/2016-03951.html 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 2016-02-25T00:00:00-08:00 2016-02-25T00:00:00-08:00 2016-03951 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-02-25/pdf/2016-03951.pdf https://regulations.justia.com/regulations/fedreg/2016/02/25/2016-03950.html 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 2016-02-25T00:00:00-08:00 2016-02-25T00:00:00-08:00 2016-03950 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-02-25/pdf/2016-03950.pdf https://regulations.justia.com/regulations/fedreg/2016/02/25/2016-03949.html 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 2016-02-25T00:00:00-08:00 2016-02-25T00:00:00-08:00 2016-03949 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-02-25/pdf/2016-03949.pdf https://regulations.justia.com/regulations/fedreg/2016/02/25/2016-03948.html 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 2016-02-25T00:00:00-08:00 2016-02-25T00:00:00-08:00 2016-03948 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-02-25/pdf/2016-03948.pdf https://regulations.justia.com/regulations/fedreg/2016/02/25/2016-03947.html 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 2016-02-25T00:00:00-08:00 2016-02-25T00:00:00-08:00 2016-03947 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-02-25/pdf/2016-03947.pdf https://regulations.justia.com/regulations/fedreg/2016/02/25/2016-03946.html Notice - Self-Regulatory Organizations; NASDAQ PHLX LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Partnerships 2016-02-25T00:00:00-08:00 2016-02-25T00:00:00-08:00 2016-03946 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-02-25/pdf/2016-03946.pdf https://regulations.justia.com/regulations/fedreg/2016/02/25/2016-03945.html 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 2016-02-25T00:00:00-08:00 2016-02-25T00:00:00-08:00 2016-03945 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-02-25/pdf/2016-03945.pdf https://regulations.justia.com/regulations/fedreg/2016/02/25/2016-03944.html 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 2016-02-25T00:00:00-08:00 2016-02-25T00:00:00-08:00 2016-03944 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-02-25/pdf/2016-03944.pdf https://regulations.justia.com/regulations/fedreg/2016/02/25/2016-03943.html 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 2016-02-25T00:00:00-08:00 2016-02-25T00:00:00-08:00 2016-03943 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-02-25/pdf/2016-03943.pdf https://regulations.justia.com/regulations/fedreg/2016/02/25/2016-03942.html 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 2016-02-25T00:00:00-08:00 2016-02-25T00:00:00-08:00 2016-03942 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-02-25/pdf/2016-03942.pdf https://regulations.justia.com/regulations/fedreg/2016/02/25/2016-03941.html 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) 2016-02-25T00:00:00-08:00 2016-02-25T00:00:00-08:00 2016-03941 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-02-25/pdf/2016-03941.pdf https://regulations.justia.com/regulations/fedreg/2016/02/25/2016-03940.html 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 2016-02-25T00:00:00-08:00 2016-02-25T00:00:00-08:00 2016-03940 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-02-25/pdf/2016-03940.pdf https://regulations.justia.com/regulations/fedreg/2016/02/24/2016-03794.html Notice - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing of a Proposed Rule Change To Require Registration as Securities Traders of Associated Persons Primarily Responsible for the Design, Development or Significant Modification of Algorithmic Trading Strategies 2016-02-24T00:00:00-08:00 2016-02-24T00:00:00-08:00 2016-03794 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-02-24/pdf/2016-03794.pdf https://regulations.justia.com/regulations/fedreg/2016/02/24/2016-03793.html Notice - Self-Regulatory Organizations; NYSE MKT LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Rule 341A(a)(4) To Provide for Web-Based Delivery of the Exchange's Continuing Education Program 2016-02-24T00:00:00-08:00 2016-02-24T00:00:00-08:00 2016-03793 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-02-24/pdf/2016-03793.pdf https://regulations.justia.com/regulations/fedreg/2016/02/24/2016-03792.html Notice - Order Granting Limited Exemptions From Exchange Act Rule 10b-17 and Rules 101 and 102 of Regulation M to WisdomTree Put Write Strategy Fund Pursuant to Exchange Act Rule 10b-17(b)(2) and Rules 101(d) and 102(e) of Regulation M 2016-02-24T00:00:00-08:00 2016-02-24T00:00:00-08:00 2016-03792 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-02-24/pdf/2016-03792.pdf https://regulations.justia.com/regulations/fedreg/2016/02/23/2016-03936.html Notice - Sunshine Act Meeting 2016-02-23T00:00:00-08:00 2016-02-23T00:00:00-08:00 2016-03936 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-02-23/pdf/2016-03936.pdf https://regulations.justia.com/regulations/fedreg/2016/02/23/2016-03847.html Notice - In the Matter of AI Document Services, Inc., Creative Edge Nutrition, Inc. and Interactive Health Network; Order of Suspension of Trading 2016-02-23T00:00:00-08:00 2016-02-23T00:00:00-08:00 2016-03847 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-02-23/pdf/2016-03847.pdf https://regulations.justia.com/regulations/fedreg/2016/02/23/2016-03846.html Notice - Sunshine Act Meeting 2016-02-23T00:00:00-08:00 2016-02-23T00:00:00-08:00 2016-03846 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-02-23/pdf/2016-03846.pdf https://regulations.justia.com/regulations/fedreg/2016/02/23/2016-03740.html Notice - Self-Regulatory Organizations; BATS Exchange, Inc.; Order Granting Approval of a Proposed Rule Change, as Modified by Amendment No. 1 Thereto, To Adopt Rule 8.17 To Provide a Process for an Expedited Suspension Proceeding and Rule 12.15 To Prohibit Disruptive Quoting and Trading Activity 2016-02-23T00:00:00-08:00 2016-02-23T00:00:00-08:00 2016-03740 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-02-23/pdf/2016-03740.pdf https://regulations.justia.com/regulations/fedreg/2016/02/23/2016-03739.html Notice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Withdrawal of a Proposed Rule Change To Adopt a New Policy Relating To Trade Reports for Exchange Traded Products 2016-02-23T00:00:00-08:00 2016-02-23T00:00:00-08:00 2016-03739 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-02-23/pdf/2016-03739.pdf https://regulations.justia.com/regulations/fedreg/2016/02/23/2016-03738.html Notice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending the NYSE Arca Schedule of Options Fees and Charges 2016-02-23T00:00:00-08:00 2016-02-23T00:00:00-08:00 2016-03738 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-02-23/pdf/2016-03738.pdf https://regulations.justia.com/regulations/fedreg/2016/02/23/2016-03737.html Notice - Self-Regulatory Organizations; NYSE MKT LLC; Notice of Filing and Immediate Effectiveness of Proposed Change Amending the NYSE Amex Options Fee Schedule 2016-02-23T00:00:00-08:00 2016-02-23T00:00:00-08:00 2016-03737 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-02-23/pdf/2016-03737.pdf https://regulations.justia.com/regulations/fedreg/2016/02/23/2016-03733.html Proposed Rule - Transfer Agent Regulations; Extension of Comment Period 2016-02-23T00:00:00-08:00 2016-02-23T00:00:00-08:00

2016-03733 Proposed Rule https://www.gpo.gov/fdsys/pkg/FR-2016-02-23/pdf/2016-03733.pdf https://regulations.justia.com/regulations/fedreg/2016/02/23/2016-03669.html Notice - Self-Regulatory Organizations; Boston Stock Exchange Clearing Corporation; Stock Clearing Corporation of Philadelphia; NASDAQ OMX BX, Inc.; The NASDAQ Stock Market LLC; NASDAQ OMX PHLX LLC; Order Approving Proposed Rule Changes, as Modified by Amendments Thereto, To Amend the By-Laws of NASDAQ, Inc. 2016-02-23T00:00:00-08:00 2016-02-23T00:00:00-08:00 2016-03669 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-02-23/pdf/2016-03669.pdf https://regulations.justia.com/regulations/fedreg/2016/02/23/2016-03668.html Notice - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing of Partial Amendment No. 1 and Order Granting Accelerated Approval to a Proposed Rule Change, as Modified by Partial Amendment No. 1, To Adopt FINRA Rule 6191(b) and Amend FINRA Rule 7440 To Implement the Data Collection Requirements of the Regulation NMS Plan To Implement a Tick Size Pilot Program 2016-02-23T00:00:00-08:00 2016-02-23T00:00:00-08:00 2016-03668 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-02-23/pdf/2016-03668.pdf https://regulations.justia.com/regulations/fedreg/2016/02/23/2016-03667.html Notice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing of Proposed Rule Change Relating To Listing and Trading of Shares of WBI Tactical Rotation Shares Under NYSE Arca Equities Rule 8.600 2016-02-23T00:00:00-08:00 2016-02-23T00:00:00-08:00 2016-03667 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-02-23/pdf/2016-03667.pdf https://regulations.justia.com/regulations/fedreg/2016/02/23/2016-03666.html Notice - Self-Regulatory Organizations; BATS Exchange, Inc.; Notice of Designation of a Longer Period for Commission Action on 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 2016-02-23T00:00:00-08:00 2016-02-23T00:00:00-08:00 2016-03666 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-02-23/pdf/2016-03666.pdf https://regulations.justia.com/regulations/fedreg/2016/02/23/2016-03665.html Notice - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Delay the Implementation Date of FINRA Rule 2242 (Debt Research Analysts and Debt Research Reports) 2016-02-23T00:00:00-08:00 2016-02-23T00:00:00-08:00 2016-03665 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-02-23/pdf/2016-03665.pdf https://regulations.justia.com/regulations/fedreg/2016/02/23/2016-03664.html Notice - Self-Regulatory Organizations; BATS Y-Exchange, Inc.; Notice of Filing of a Proposed Rule Change To Amend the Certificate of Incorporation and Bylaws of the Exchange's Ultimate Parent Company, BATS Global Markets, Inc. 2016-02-23T00:00:00-08:00 2016-02-23T00:00:00-08:00 2016-03664 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-02-23/pdf/2016-03664.pdf https://regulations.justia.com/regulations/fedreg/2016/02/23/2016-03663.html Notice - Self-Regulatory Organizations; BATS Exchange, Inc.; Notice of Filing of a Proposed Rule Change To Amend the Certificate of Incorporation and Bylaws of the Exchange's Ultimate Parent Company, BATS Global Markets, Inc. 2016-02-23T00:00:00-08:00 2016-02-23T00:00:00-08:00 2016-03663 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-02-23/pdf/2016-03663.pdf https://regulations.justia.com/regulations/fedreg/2016/02/23/2016-03662.html Notice - Self-Regulatory Organizations; BOX Options Exchange LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Reduce the Order Handling Period for Directed Orders From Three Seconds to One Second 2016-02-23T00:00:00-08:00 2016-02-23T00:00:00-08:00 2016-03662 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-02-23/pdf/2016-03662.pdf https://regulations.justia.com/regulations/fedreg/2016/02/23/2016-03661.html Notice - Self-Regulatory Organizations; NASDAQ OMX PHLX LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Extend the FLEX No Minimum Value Pilot 2016-02-23T00:00:00-08:00 2016-02-23T00:00:00-08:00 2016-03661 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-02-23/pdf/2016-03661.pdf https://regulations.justia.com/regulations/fedreg/2016/02/23/2016-03660.html Notice - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Nasdaq Rule 7014 and Nasdaq Rule 7018 2016-02-23T00:00:00-08:00 2016-02-23T00:00:00-08:00 2016-03660 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-02-23/pdf/2016-03660.pdf https://regulations.justia.com/regulations/fedreg/2016/02/23/2016-03642.html Notice - Proposed Collection; Comment Request 2016-02-23T00:00:00-08:00 2016-02-23T00:00:00-08:00 2016-03642 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-02-23/pdf/2016-03642.pdf https://regulations.justia.com/regulations/fedreg/2016/02/23/2016-03641.html Notice - Proposed Collection; Comment Request 2016-02-23T00:00:00-08:00 2016-02-23T00:00:00-08:00 2016-03641 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-02-23/pdf/2016-03641.pdf https://regulations.justia.com/regulations/fedreg/2016/02/23/2016-03640.html Notice - Proposed Collection; Comment Request 2016-02-23T00:00:00-08:00 2016-02-23T00:00:00-08:00 2016-03640 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-02-23/pdf/2016-03640.pdf https://regulations.justia.com/regulations/fedreg/2016/02/23/2016-03639.html Notice - Proposed Collection; Comment Request 2016-02-23T00:00:00-08:00 2016-02-23T00:00:00-08:00 2016-03639 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-02-23/pdf/2016-03639.pdf https://regulations.justia.com/regulations/fedreg/2016/02/22/2016-03534.html Notice - Program for Allocation of Regulatory Responsibilities Pursuant to Rule 17d-2; Notice of Filing and Order Approving and Declaring Effective an Amendment to the Plan for the Allocation of Regulatory Responsibilities Among NYSE MKT LLC, BATS Exchange, Inc., BOX Options Exchange LLC, C2 Options Exchange, Incorporated, the Chicago Board Options Exchange, Incorporated, the EDGX Exchange, Inc., the International Securities Exchange LLC, ISE Gemini, LLC, ISE Mercury, LLC, Financial Industry Regulatory Authority, Inc., NYSE Arca, Inc., The NASDAQ Stock Market LLC, NASDAQ OMX BX, Inc., the NASDAQ OMX PHLX, Inc., and Miami International Securities Exchange, LLC Concerning Options-Related Market Surveillance 2016-02-22T00:00:00-08:00 2016-02-22T00:00:00-08:00 2016-03534 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-02-22/pdf/2016-03534.pdf https://regulations.justia.com/regulations/fedreg/2016/02/22/2016-03533.html Notice - Program for Allocation of Regulatory Responsibilities Pursuant to Rule 17d-2; Notice of Filing and Order Approving and Declaring Effective an Amendment to the Plan for the Allocation of Regulatory Responsibilities Among NYSE MKT LLC, BATS Exchange, Inc., BOX Options Exchange LLC, C2 Options Exchange, Incorporated, the Chicago Board Options Exchange, Incorporated, the EDGX Exchange, Inc., the International Securities Exchange LLC, ISE Gemini, LLC, ISE Mercury, LLC Financial Industry Regulatory Authority, Inc., the New York Stock Exchange LLC, NYSE Arca, Inc., The NASDAQ Stock Market LLC, NASDAQ OMX BX, Inc., the NASDAQ OMX PHLX, Inc., and Miami International Securities Exchange, LLC Concerning Options-Related Sales Practice Matters 2016-02-22T00:00:00-08:00 2016-02-22T00:00:00-08:00 2016-03533 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-02-22/pdf/2016-03533.pdf https://regulations.justia.com/regulations/fedreg/2016/02/22/2016-03529.html Notice - Self-Regulatory Organizations; EDGX Exchange, Inc.; Notice of Filing of a Proposed Rule Change To Amend the Certificate of Incorporation and Bylaws of the Exchange's Ultimate Parent Company, BATS Global Markets, Inc. 2016-02-22T00:00:00-08:00 2016-02-22T00:00:00-08:00 2016-03529 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-02-22/pdf/2016-03529.pdf https://regulations.justia.com/regulations/fedreg/2016/02/22/2016-03528.html Notice - Self-Regulatory Organizations; EDGA Exchange, Inc.; Notice of Filing of a Proposed Rule Change To Amend the Certificate of Incorporation and Bylaws of the Exchange's Ultimate Parent Company, BATS Global Markets, Inc. 2016-02-22T00:00:00-08:00 2016-02-22T00:00:00-08:00 2016-03528 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-02-22/pdf/2016-03528.pdf https://regulations.justia.com/regulations/fedreg/2016/02/22/2016-03527.html Notice - Self-Regulatory Organizations; BOX Options Exchange LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the Fee Schedule on the BOX Market LLC (“BOX”) Options Facility 2016-02-22T00:00:00-08:00 2016-02-22T00:00:00-08:00 2016-03527 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-02-22/pdf/2016-03527.pdf https://regulations.justia.com/regulations/fedreg/2016/02/22/2016-03526.html Notice - Self-Regulatory Organizations; NASDAQ PHLX LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to a Policy for Amending Billing Information and a Research Fee 2016-02-22T00:00:00-08:00 2016-02-22T00:00:00-08:00 2016-03526 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-02-22/pdf/2016-03526.pdf https://regulations.justia.com/regulations/fedreg/2016/02/22/2016-03525.html Notice - Self-Regulatory Organizations; EDGX Exchange, Inc.; Notice of Filing of a Proposed Rule Change, as Modified by Amendment No. 1 Thereto, To Adopt an Early Trading Session and Three New Time-in-Force Instructions 2016-02-22T00:00:00-08:00 2016-02-22T00:00:00-08:00 2016-03525 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-02-22/pdf/2016-03525.pdf https://regulations.justia.com/regulations/fedreg/2016/02/22/2016-03524.html Notice - Self-Regulatory Organizations; EDGA Exchange, Inc.; Notice of Filing of a Proposed Rule Change, as Modified by Amendment No. 1 Thereto, To Adopt an Early Trading Session and Three New Time-in-Force Instructions 2016-02-22T00:00:00-08:00 2016-02-22T00:00:00-08:00 2016-03524 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-02-22/pdf/2016-03524.pdf https://regulations.justia.com/regulations/fedreg/2016/02/22/2016-03523.html Notice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Rule 7.35P To Provide for Price Collar Thresholds for Trading Halt Auctions 2016-02-22T00:00:00-08:00 2016-02-22T00:00:00-08:00 2016-03523 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-02-22/pdf/2016-03523.pdf https://regulations.justia.com/regulations/fedreg/2016/02/22/2016-03522.html Notice - Submission for OMB Review; Comment Request 2016-02-22T00:00:00-08:00 2016-02-22T00:00:00-08:00 2016-03522 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-02-22/pdf/2016-03522.pdf https://regulations.justia.com/regulations/fedreg/2016/02/22/2016-03521.html Notice - Proposed Collection; Comment Request 2016-02-22T00:00:00-08:00 2016-02-22T00:00:00-08:00 2016-03521 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-02-22/pdf/2016-03521.pdf https://regulations.justia.com/regulations/fedreg/2016/02/22/2016-03520.html Notice - Proposed Collection; Comment Request; 2016-02-22T00:00:00-08:00 2016-02-22T00:00:00-08:00 2016-03520 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-02-22/pdf/2016-03520.pdf https://regulations.justia.com/regulations/fedreg/2016/02/22/2016-03519.html Notice - Submission for OMB Review; Comment Request 2016-02-22T00:00:00-08:00 2016-02-22T00:00:00-08:00 2016-03519 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-02-22/pdf/2016-03519.pdf https://regulations.justia.com/regulations/fedreg/2016/02/22/2016-03517.html Notice - Proposed Collection; Comment Request 2016-02-22T00:00:00-08:00 2016-02-22T00:00:00-08:00 2016-03517 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-02-22/pdf/2016-03517.pdf https://regulations.justia.com/regulations/fedreg/2016/02/22/2016-03516.html Notice - Submission for OMB Review; Comment Request 2016-02-22T00:00:00-08:00 2016-02-22T00:00:00-08:00 2016-03516 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-02-22/pdf/2016-03516.pdf https://regulations.justia.com/regulations/fedreg/2016/02/19/2016-03518.html Notice - Proposed Collection; Comment Request 2016-02-19T00:00:00-08:00 2016-02-19T00:00:00-08:00 2016-03518 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-02-19/pdf/2016-03518.pdf https://regulations.justia.com/regulations/fedreg/2016/02/19/2016-03442.html Notice - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Order Granting Approval of Proposed Rule Change To Amend Rules 5810(4), 5810(c), 5815(c) and 5820(d) To Provide Staff With Limited Discretion To Grant a Listed Company That Failed To Hold Its Annual Meeting of Shareholders an Extension of Time To Comply With the Annual Meeting Requirement 2016-02-19T00:00:00-08:00 2016-02-19T00:00:00-08:00 2016-03442 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-02-19/pdf/2016-03442.pdf https://regulations.justia.com/regulations/fedreg/2016/02/19/2016-03403.html Notice - Proposed Collection; Comment Request 2016-02-19T00:00:00-08:00 2016-02-19T00:00:00-08:00 2016-03403 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-02-19/pdf/2016-03403.pdf https://regulations.justia.com/regulations/fedreg/2016/02/19/2016-03400.html Notice - Proposed Collection; Comment Request 2016-02-19T00:00:00-08:00 2016-02-19T00:00:00-08:00 2016-03400 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-02-19/pdf/2016-03400.pdf https://regulations.justia.com/regulations/fedreg/2016/02/19/2016-03399.html Notice - Proposed Collection; Comment Request 2016-02-19T00:00:00-08:00 2016-02-19T00:00:00-08:00 2016-03399 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-02-19/pdf/2016-03399.pdf https://regulations.justia.com/regulations/fedreg/2016/02/19/2016-03398.html Notice - Proposed Collection; Comment Request 2016-02-19T00:00:00-08:00 2016-02-19T00:00:00-08:00 2016-03398 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-02-19/pdf/2016-03398.pdf https://regulations.justia.com/regulations/fedreg/2016/02/19/2016-03397.html Notice - Innovator Management LLC, et al.; Notice of Application 2016-02-19T00:00:00-08:00 2016-02-19T00:00:00-08:00 2016-03397 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-02-19/pdf/2016-03397.pdf https://regulations.justia.com/regulations/fedreg/2016/02/19/2016-03392.html Notice - Self-Regulatory Organizations; NASDAQ BX, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Regarding Fees and Rebates Applicable to Firms and To Adopt Tiers Applicable to Options Overlying SPY 2016-02-19T00:00:00-08:00 2016-02-19T00:00:00-08:00 2016-03392 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-02-19/pdf/2016-03392.pdf https://regulations.justia.com/regulations/fedreg/2016/02/19/2016-03391.html 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 Nos. 1, 2, and 3 Thereto, To List and Trade Shares of the REX Gold Hedged S&P 500 ETF and the REX Gold Hedged FTSE Emerging Markets ETF Under NYSE Arca Equities Rule 8.600 2016-02-19T00:00:00-08:00 2016-02-19T00:00:00-08:00 2016-03391 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-02-19/pdf/2016-03391.pdf https://regulations.justia.com/regulations/fedreg/2016/02/19/2016-03390.html Notice - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Options Pricing at Chapter XV, Section 2 2016-02-19T00:00:00-08:00 2016-02-19T00:00:00-08:00 2016-03390 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-02-19/pdf/2016-03390.pdf https://regulations.justia.com/regulations/fedreg/2016/02/19/2016-03389.html Notice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Designation of a Longer Period for Commission Action on Proceedings To Determine Whether To Approve or Disapprove a Proposed Rule Change Relating to Implementation of a Fee on Securities Lending and Repurchase Transactions With Respect to Shares of the CurrencyShares® Euro Trust and the CurrencyShares® Japanese Yen Trust 2016-02-19T00:00:00-08:00 2016-02-19T00:00:00-08:00 2016-03389 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-02-19/pdf/2016-03389.pdf https://regulations.justia.com/regulations/fedreg/2016/02/19/2016-03388.html Notice - Self-Regulatory Organizations; NASDAQ OMX PHLX LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Rule 1066 2016-02-19T00:00:00-08:00 2016-02-19T00:00:00-08:00 2016-03388 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-02-19/pdf/2016-03388.pdf https://regulations.justia.com/regulations/fedreg/2016/02/19/2016-03387.html Notice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the NYSE Arca Equities Schedule of Fees and Charges for Exchange Services 2016-02-19T00:00:00-08:00 2016-02-19T00:00:00-08:00 2016-03387 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-02-19/pdf/2016-03387.pdf https://regulations.justia.com/regulations/fedreg/2016/02/19/2016-03300.html 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 ISE Mercury, LLC 2016-02-19T00:00:00-08:00 2016-02-19T00:00:00-08:00 2016-03300 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-02-19/pdf/2016-03300.pdf https://regulations.justia.com/regulations/fedreg/2016/02/19/2016-03178.html Rule - Security-Based Swap Transactions Connected With a Non-U.S. Person's Dealing Activity That Are Arranged, Negotiated, or Executed by Personnel Located in a U.S. Branch or Office or in a U.S. Branch or Office of an Agent; Security-Based Swap Dealer De Minimis Exception 2016-02-19T00:00:00-08:00 2016-02-19T00:00:00-08:00

2016-03178 Rule https://www.gpo.gov/fdsys/pkg/FR-2016-02-19/pdf/2016-03178.pdf https://regulations.justia.com/regulations/fedreg/2016/02/18/2016-03301.html Notice - PowerShares Exchange-Traded Self-Indexed Fund Trust, et al.; Notice of Application 2016-02-18T00:00:00-08:00 2016-02-18T00:00:00-08:00 2016-03301 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-02-18/pdf/2016-03301.pdf https://regulations.justia.com/regulations/fedreg/2016/02/18/2016-03275.html Notice - Joint Industry Plan; Notice of Filing of Amendment No. 3 to the National Market System Plan for the Selection and Reservation of Securities Symbols Submitted by Financial Industry Regulatory Authority, Inc., BATS Exchange, Inc., BOX Options Exchange, LLC, Chicago Board Options Exchange, Incorporated, Chicago Stock Exchange, Inc., EDGA Exchange, Inc., EDGX Exchange, Inc., International Securities Exchange, LLC, NASDAQ OMX BX, Inc., NASDAQ OMX PHLX, Inc., The Nasdaq Stock Market LLC, National Stock Exchange, Inc., New York Stock Exchange, LLC, NYSE MKT, LLC, and NYSE Arca, Inc. 2016-02-18T00:00:00-08:00 2016-02-18T00:00:00-08:00 2016-03275 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-02-18/pdf/2016-03275.pdf https://regulations.justia.com/regulations/fedreg/2016/02/18/2016-03274.html Notice - Self-Regulatory Organizations; NASDAQ PHLX LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Regarding Rule 505 and Rule 506 2016-02-18T00:00:00-08:00 2016-02-18T00:00:00-08:00 2016-03274 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-02-18/pdf/2016-03274.pdf https://regulations.justia.com/regulations/fedreg/2016/02/18/2016-03271.html Notice - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change to the Co-Location Services Offered by the Exchange To Include a Means for Co-Located Users To Receive the NASDAQ TotalView Ultra Market Data Feed Through a Wireless Connection and Reflect Changes to the Exchange Price List 2016-02-18T00:00:00-08:00 2016-02-18T00:00:00-08:00 2016-03271 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-02-18/pdf/2016-03271.pdf https://regulations.justia.com/regulations/fedreg/2016/02/18/2016-03270.html Notice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change to the Co-Location Services Offered by the Exchange To Include a Means for Co-Located Users To Receive the NASDAQ TotalView Ultra Market Data Feed Through a Wireless Connection and Reflect Changes to the NYSE Arca Equities Schedule of Fees and Charges for Exchange Services and the Options Fee Schedule 2016-02-18T00:00:00-08:00 2016-02-18T00:00:00-08:00 2016-03270 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-02-18/pdf/2016-03270.pdf https://regulations.justia.com/regulations/fedreg/2016/02/18/2016-03269.html Notice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing of Proposed Rule Change To Adopt NYSE Arca Equities Rule 8.900 To Permit Listing and Trading of Managed Portfolio Shares and To Permit Listing and Trading of Shares of Fifteen Issues of the Precidian ETFs Trust 2016-02-18T00:00:00-08:00 2016-02-18T00:00:00-08:00 2016-03269 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-02-18/pdf/2016-03269.pdf https://regulations.justia.com/regulations/fedreg/2016/02/18/2016-03268.html 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 2016-02-18T00:00:00-08:00 2016-02-18T00:00:00-08:00 2016-03268 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-02-18/pdf/2016-03268.pdf https://regulations.justia.com/regulations/fedreg/2016/02/18/2016-03267.html Notice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Modifying the Arca Options Deep Market Data Product 2016-02-18T00:00:00-08:00 2016-02-18T00:00:00-08:00 2016-03267 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-02-18/pdf/2016-03267.pdf https://regulations.justia.com/regulations/fedreg/2016/02/18/2016-03266.html Notice - Self-Regulatory Organizations; NYSE MKT LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Modifying the Amex Options Deep Market Data Product 2016-02-18T00:00:00-08:00 2016-02-18T00:00:00-08:00 2016-03266 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-02-18/pdf/2016-03266.pdf https://regulations.justia.com/regulations/fedreg/2016/02/18/2016-03265.html Notice - Self-Regulatory Organizations; The Options Clearing Corporation; Order Setting Aside Action by Delegated Authority, Approving Proposed Rule Change Concerning the Options Clearing Corporation's Capital Plan and Denying Motions 2016-02-18T00:00:00-08:00 2016-02-18T00:00:00-08:00 2016-03265 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-02-18/pdf/2016-03265.pdf https://regulations.justia.com/regulations/fedreg/2016/02/18/2016-03264.html Notice - Self-Regulatory Organizations; NYSE MKT LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change to the Co-location Services Offered by the Exchange To Include a Means for Co-located Users To Receive the NASDAQ TotalView Ultra Market Data Feed Through a Wireless Connection and Reflect Changes to the NYSE MKT Equities Price List and the NYSE Amex Options Fee Schedule 2016-02-18T00:00:00-08:00 2016-02-18T00:00:00-08:00 2016-03264 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-02-18/pdf/2016-03264.pdf https://regulations.justia.com/regulations/fedreg/2016/02/17/2016-03129.html Notice - Self-Regulatory Organizations; NYSE MKT LLC; Notice of Filing and Immediate Effectiveness of Proposed Change Modifying the NYSE Amex Options Fee Schedule 2016-02-17T00:00:00-08:00 2016-02-17T00:00:00-08:00 2016-03129 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-02-17/pdf/2016-03129.pdf https://regulations.justia.com/regulations/fedreg/2016/02/17/2016-03128.html Notice - Self-Regulatory Organizations: BATS Exchange Inc.; Notice of Filing of Partial Amendment No. 2 and Order Granting Accelerated Approval to a Proposed Rule Change, as Modified by Partial Amendment No. 2, To Adopt Rule 11.27 Regarding the Data Collection Requirements of the Tick Size Pilot 2016-02-17T00:00:00-08:00 2016-02-17T00:00:00-08:00 2016-03128 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-02-17/pdf/2016-03128.pdf https://regulations.justia.com/regulations/fedreg/2016/02/17/2016-03127.html Notice - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Designation of a Longer Period for Commission Action on Proceedings To Determine Whether To Approve or Disapprove a Proposed Rule Change To Adopt FINRA Rule 3210 (Accounts at Other Broker-Dealers and Financial Institutions), as Modified by Partial Amendment No. 1, in the Consolidated FINRA Rulebook 2016-02-17T00:00:00-08:00 2016-02-17T00:00:00-08:00 2016-03127 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-02-17/pdf/2016-03127.pdf https://regulations.justia.com/regulations/fedreg/2016/02/17/2016-03114.html Notice - Proposed Collection; Comment Request 2016-02-17T00:00:00-08:00 2016-02-17T00:00:00-08:00 2016-03114 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-02-17/pdf/2016-03114.pdf https://regulations.justia.com/regulations/fedreg/2016/02/17/2016-03113.html Notice - Proposed Collection; Comment Request 2016-02-17T00:00:00-08:00 2016-02-17T00:00:00-08:00 2016-03113 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-02-17/pdf/2016-03113.pdf https://regulations.justia.com/regulations/fedreg/2016/02/17/2016-03112.html Notice - Proposed Collection; Comment Request 2016-02-17T00:00:00-08:00 2016-02-17T00:00:00-08:00 2016-03112 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-02-17/pdf/2016-03112.pdf https://regulations.justia.com/regulations/fedreg/2016/02/17/2016-03111.html Notice - Proposed Collection; Comment Request 2016-02-17T00:00:00-08:00 2016-02-17T00:00:00-08:00 2016-03111 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-02-17/pdf/2016-03111.pdf https://regulations.justia.com/regulations/fedreg/2016/02/16/2016-02990.html Notice - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Order Approving a Proposed Rule Change To Amend the Derivatives and Other Off-Balance Sheet Items Schedule Pursuant to FINRA Rule 4524 (Supplemental FOCUS Information) 2016-02-16T00:00:00-08:00 2016-02-16T00:00:00-08:00 2016-02990 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-02-16/pdf/2016-02990.pdf https://regulations.justia.com/regulations/fedreg/2016/02/16/2016-02989.html 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 To Implement a Professional Rebate Program 2016-02-16T00:00:00-08:00 2016-02-16T00:00:00-08:00 2016-02989 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-02-16/pdf/2016-02989.pdf https://regulations.justia.com/regulations/fedreg/2016/02/16/2016-02988.html Notice - Self-Regulatory Organizations; BOX Options Exchange LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Rule 7290 (Price Protection for Limit Orders) To Enhance the Protections Provided to Participants Executing Orders and Quotes on the Exchange 2016-02-16T00:00:00-08:00 2016-02-16T00:00:00-08:00 2016-02988 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-02-16/pdf/2016-02988.pdf https://regulations.justia.com/regulations/fedreg/2016/02/16/2016-02987.html Notice - Self-Regulatory Organizations; BOX Options Exchange LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Rule 7070 (Opening the Market) To Implement a New Price Protection Feature for the Opening 2016-02-16T00:00:00-08:00 2016-02-16T00:00:00-08:00 2016-02987 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-02-16/pdf/2016-02987.pdf https://regulations.justia.com/regulations/fedreg/2016/02/16/2016-02986.html Notice - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Filing and Immediate Effectiveness of a Proposed Rule To Amend the Fees Schedule 2016-02-16T00:00:00-08:00 2016-02-16T00:00:00-08:00 2016-02986 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-02-16/pdf/2016-02986.pdf https://regulations.justia.com/regulations/fedreg/2016/02/16/2016-02985.html Notice - Self-Regulatory Organizations; BOX Options Exchange LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Add Rule 7310 (Drill-Through Protection) To Implement a New Price Protection Feature 2016-02-16T00:00:00-08:00 2016-02-16T00:00:00-08:00 2016-02985 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-02-16/pdf/2016-02985.pdf https://regulations.justia.com/regulations/fedreg/2016/02/16/2016-02984.html Notice - Self-Regulatory Organizations; EDGX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Rule 21.16, Risk Monitor Mechanism, Relating to the EDGX Equity Options Trading Platform 2016-02-16T00:00:00-08:00 2016-02-16T00:00:00-08:00 2016-02984 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-02-16/pdf/2016-02984.pdf https://regulations.justia.com/regulations/fedreg/2016/02/16/2016-02983.html Notice - Self-Regulatory Organizations; BATS Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Rule 21.16, Risk Monitor Mechanism, Relating to the BATS Equity Options Trading Platform 2016-02-16T00:00:00-08:00 2016-02-16T00:00:00-08:00 2016-02983 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-02-16/pdf/2016-02983.pdf https://regulations.justia.com/regulations/fedreg/2016/02/16/2016-02982.html Notice - Program for Allocation of Regulatory Responsibilities Pursuant to Rule 17d-2; Order Approving and Declaring Effective a Proposed Plan for the Allocation of Regulatory Responsibilities Between the Financial Industry Regulatory Authority, Inc. and the National Stock Exchange, Inc. 2016-02-16T00:00:00-08:00 2016-02-16T00:00:00-08:00 2016-02982 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-02-16/pdf/2016-02982.pdf https://regulations.justia.com/regulations/fedreg/2016/02/16/2016-02981.html Notice - Self-Regulatory Organizations; BATS Exchange, Inc.; Notice of Filing of Proposed Rule Change, as Modified by Amendment No. 1 Thereto, To List and Trade the Shares of the Elkhorn Dow Jones RAFI Commodity ETF of Elkhorn ETF Trust 2016-02-16T00:00:00-08:00 2016-02-16T00:00:00-08:00 2016-02981 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-02-16/pdf/2016-02981.pdf https://regulations.justia.com/regulations/fedreg/2016/02/16/2016-02980.html Notice - Self-Regulatory Organizations; NYSE MKT LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Rule 990NY(8) To Correct a Typographical Error 2016-02-16T00:00:00-08:00 2016-02-16T00:00:00-08:00 2016-02980 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-02-16/pdf/2016-02980.pdf https://regulations.justia.com/regulations/fedreg/2016/02/16/2016-02875.html Notice - Public Company Accounting Oversight Board; Notice of Filing of Proposed Rules on Improving the Transparency of Audits: Rules To Require Disclosure of Certain Audit Participants on a New PCAOB Form and Related Amendments to Auditing Standards 2016-02-16T00:00:00-08:00 2016-02-16T00:00:00-08:00 2016-02875 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-02-16/pdf/2016-02875.pdf https://regulations.justia.com/regulations/fedreg/2016/02/12/2016-02841.html Notice - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating To Adopting a Principles-Based Approach To Prohibit the Misuse of Material Nonpublic Information by Designated Primary Market-Makers (“DPMs”) and Lead Market-Makers (“LMMs”) 2016-02-12T00:00:00-08:00 2016-02-12T00:00:00-08:00 2016-02841 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-02-12/pdf/2016-02841.pdf https://regulations.justia.com/regulations/fedreg/2016/02/12/2016-02840.html Notice - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Include NextShares in the Lead Market Maker Program 2016-02-12T00:00:00-08:00 2016-02-12T00:00:00-08:00 2016-02840 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-02-12/pdf/2016-02840.pdf https://regulations.justia.com/regulations/fedreg/2016/02/12/2016-02839.html Notice - Self-Regulatory Organizations; ICE Clear Credit LLC; Notice of Filing, as Modified by Amendment No. 1 Thereto, of Proposed Rule Change To Provide for the Clearance of Certain Asia-Pacific Credit Default Swap Contracts 2016-02-12T00:00:00-08:00 2016-02-12T00:00:00-08:00 2016-02839 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-02-12/pdf/2016-02839.pdf https://regulations.justia.com/regulations/fedreg/2016/02/12/2016-02838.html 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 SPDR DoubleLine Short Term Total Return Tactical ETF of the SSgA Active Trust 2016-02-12T00:00:00-08:00 2016-02-12T00:00:00-08:00 2016-02838 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-02-12/pdf/2016-02838.pdf https://regulations.justia.com/regulations/fedreg/2016/02/12/2016-02837.html Notice - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Retroactively Apply Recently-Reduced Port Fees 2016-02-12T00:00:00-08:00 2016-02-12T00:00:00-08:00 2016-02837 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-02-12/pdf/2016-02837.pdf https://regulations.justia.com/regulations/fedreg/2016/02/12/2016-02836.html Notice - Self-Regulatory Organizations; NASDAQ PHLX LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Delete Obsolete Rules 1000C-1009C 2016-02-12T00:00:00-08:00 2016-02-12T00:00:00-08:00 2016-02836 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-02-12/pdf/2016-02836.pdf https://regulations.justia.com/regulations/fedreg/2016/02/12/2016-02834.html Notice - State Farm Associates' Funds Trust, et al.; Notice of Application 2016-02-12T00:00:00-08:00 2016-02-12T00:00:00-08:00 2016-02834 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-02-12/pdf/2016-02834.pdf https://regulations.justia.com/regulations/fedreg/2016/02/12/2016-02833.html Notice - Submission for OMB Review; Comment Request 2016-02-12T00:00:00-08:00 2016-02-12T00:00:00-08:00 2016-02833 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-02-12/pdf/2016-02833.pdf https://regulations.justia.com/regulations/fedreg/2016/02/12/2016-02832.html Notice - Submission for OMB Review; Comment Request 2016-02-12T00:00:00-08:00 2016-02-12T00:00:00-08:00 2016-02832 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-02-12/pdf/2016-02832.pdf https://regulations.justia.com/regulations/fedreg/2016/02/11/2016-02764.html Notice - Good Hill Partners LP and Good Hill ETF Trust; Notice of Application 2016-02-11T00:00:00-08:00 2016-02-11T00:00:00-08:00 2016-02764 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-02-11/pdf/2016-02764.pdf https://regulations.justia.com/regulations/fedreg/2016/02/11/2016-02736.html Notice - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing of Amendment No. 1 and Order Granting Accelerated Approval of Proposed Rule Change, as Modified by Amendment No. 1, To Provide That the Co-Location Services Offered by the Exchange Include Three Time Feeds and Four Partial Cabinet Bundle Options 2016-02-11T00:00:00-08:00 2016-02-11T00:00:00-08:00 2016-02736 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-02-11/pdf/2016-02736.pdf https://regulations.justia.com/regulations/fedreg/2016/02/11/2016-02735.html Notice - Self-Regulatory Organizations; NYSE MKT LLC; Notice of Filing of Amendment No. 2 and Order Granting Accelerated Approval of Proposed Rule Change, as Modified by Amendment No. 2, To Provide That the Co-Location Services Offered by the Exchange Include Three Time Feeds and Four Partial Cabinet Bundle Options 2016-02-11T00:00:00-08:00 2016-02-11T00:00:00-08:00 2016-02735 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-02-11/pdf/2016-02735.pdf https://regulations.justia.com/regulations/fedreg/2016/02/11/2016-02734.html Notice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing of Amendment No. 2 and Order Granting Accelerated Approval of Proposed Rule Change, as Modified by Amendment No. 2, To Provide That the Co-Location Services Offered by the Exchange Include Three Time Feeds and Four Partial Cabinet Bundle Options 2016-02-11T00:00:00-08:00 2016-02-11T00:00:00-08:00 2016-02734 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-02-11/pdf/2016-02734.pdf https://regulations.justia.com/regulations/fedreg/2016/02/11/2016-02733.html Notice - Self-Regulatory Organizations; BATS Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Chapter XXI of BZX Options To Further Align the Rules With Those of EDGX Options 2016-02-11T00:00:00-08:00 2016-02-11T00:00:00-08:00 2016-02733 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-02-11/pdf/2016-02733.pdf https://regulations.justia.com/regulations/fedreg/2016/02/11/2016-02732.html Notice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending the NYSE Arca Options Fee Schedule 2016-02-11T00:00:00-08:00 2016-02-11T00:00:00-08:00 2016-02732 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-02-11/pdf/2016-02732.pdf https://regulations.justia.com/regulations/fedreg/2016/02/11/2016-02731.html Notice - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing of Proposed Rule Change To Amend Rule 4120 2016-02-11T00:00:00-08:00 2016-02-11T00:00:00-08:00 2016-02731 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-02-11/pdf/2016-02731.pdf https://regulations.justia.com/regulations/fedreg/2016/02/11/2016-02730.html 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. 2016-02-11T00:00:00-08:00 2016-02-11T00:00:00-08:00 2016-02730 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-02-11/pdf/2016-02730.pdf https://regulations.justia.com/regulations/fedreg/2016/02/11/2016-02729.html Notice - Self-Regulatory Organizations; NYSE MKT LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Supplementary Material .10 to Rule 103B-Equities To Provide That Any Senior Official of a Listed Company With the Rank of Corporate Secretary or Higher Can Sign the Written Request of a Listed Company Seeking To Change Its Designated Market Maker Unit 2016-02-11T00:00:00-08:00 2016-02-11T00:00:00-08:00 2016-02729 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-02-11/pdf/2016-02729.pdf https://regulations.justia.com/regulations/fedreg/2016/02/10/2016-02658.html Notice - SEC Advisory Committee on Small and Emerging Companies; Meeting 2016-02-10T00:00:00-08:00 2016-02-10T00:00:00-08:00

2016-02658 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-02-10/pdf/2016-02658.pdf https://regulations.justia.com/regulations/fedreg/2016/02/10/2016-02607.html 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 Lower Certain Fees for Non-Auction Transactions on the BOX Market LLC (“BOX”) Options Facility 2016-02-10T00:00:00-08:00 2016-02-10T00:00:00-08:00 2016-02607 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-02-10/pdf/2016-02607.pdf https://regulations.justia.com/regulations/fedreg/2016/02/10/2016-02606.html Notice - Self-Regulatory Organizations; NASDAQ OMX PHLX LLC; Notice of Filing of Proposed Rule Change Relating to Professional Customer Definition 2016-02-10T00:00:00-08:00 2016-02-10T00:00:00-08:00 2016-02606 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-02-10/pdf/2016-02606.pdf https://regulations.justia.com/regulations/fedreg/2016/02/10/2016-02605.html Notice - Self-Regulatory Organizations; NASDAQ OMX BX, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Adopt an Options Regulatory Fee 2016-02-10T00:00:00-08:00 2016-02-10T00:00:00-08:00 2016-02605 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-02-10/pdf/2016-02605.pdf https://regulations.justia.com/regulations/fedreg/2016/02/10/2016-02604.html Notice - Self-Regulatory Organizations; Municipal Securities Rulemaking Board; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to the Content Outline for the Series 9/10 Examination Program 2016-02-10T00:00:00-08:00 2016-02-10T00:00:00-08:00 2016-02604 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-02-10/pdf/2016-02604.pdf https://regulations.justia.com/regulations/fedreg/2016/02/10/2016-02603.html Notice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to the AdvisorShares Athena High Dividend ETF's Investments in Sponsored and Unsponsored American Depositary Receipts 2016-02-10T00:00:00-08:00 2016-02-10T00:00:00-08:00 2016-02603 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-02-10/pdf/2016-02603.pdf https://regulations.justia.com/regulations/fedreg/2016/02/10/2016-02602.html Notice - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Filing of a Proposed Rule Change Relating to Professionals 2016-02-10T00:00:00-08:00 2016-02-10T00:00:00-08:00 2016-02602 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-02-10/pdf/2016-02602.pdf https://regulations.justia.com/regulations/fedreg/2016/02/09/2016-02600.html Notice - Sunshine Act Meeting 2016-02-09T00:00:00-08:00 2016-02-09T00:00:00-08:00 2016-02600 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-02-09/pdf/2016-02600.pdf https://regulations.justia.com/regulations/fedreg/2016/02/09/2016-02489.html Notice - MassMutual Premiere Funds, et al.; Notice of Application 2016-02-09T00:00:00-08:00 2016-02-09T00:00:00-08:00 2016-02489 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-02-09/pdf/2016-02489.pdf https://regulations.justia.com/regulations/fedreg/2016/02/09/2016-02443.html Notice - Self-Regulatory Organizations; The Options Clearing Corporation; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Revise the Options Clearing Corporation's Schedule of Fees 2016-02-09T00:00:00-08:00 2016-02-09T00:00:00-08:00 2016-02443 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-02-09/pdf/2016-02443.pdf https://regulations.justia.com/regulations/fedreg/2016/02/09/2016-02442.html Notice - Medallion Financial Corp.; Notice of Application 2016-02-09T00:00:00-08:00 2016-02-09T00:00:00-08:00

2016-02442 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-02-09/pdf/2016-02442.pdf https://regulations.justia.com/regulations/fedreg/2016/02/09/2016-02441.html Notice - Self-Regulatory Organizations; New York Stock Exchange LLC; NYSE MKT LLC; Notice of Withdrawal of Proposed Rule Changes Amending the NYSE Trades Market Data and NYSE MKT Trades Market Data Product Offerings 2016-02-09T00:00:00-08:00 2016-02-09T00:00:00-08:00 2016-02441 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-02-09/pdf/2016-02441.pdf https://regulations.justia.com/regulations/fedreg/2016/02/09/2016-02440.html Notice - Self-Regulatory Organizations; NYSE Arca, Inc.; Order Approving a Proposed Rule Change Relating to the Index Underlying the WisdomTree Put Write Strategy Fund 2016-02-09T00:00:00-08:00 2016-02-09T00:00:00-08:00 2016-02440 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-02-09/pdf/2016-02440.pdf https://regulations.justia.com/regulations/fedreg/2016/02/09/2016-02439.html Notice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To List and Trade Binary Return Derivatives 2016-02-09T00:00:00-08:00 2016-02-09T00:00:00-08:00 2016-02439 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-02-09/pdf/2016-02439.pdf https://regulations.justia.com/regulations/fedreg/2016/02/09/2016-02438.html Notice - Self-Regulatory Organizations; The Depository Trust Company; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Regarding the Discontinuance of the Facsimile and Hardcopy Delivery Methods of Security Position Reports 2016-02-09T00:00:00-08:00 2016-02-09T00:00:00-08:00 2016-02438 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-02-09/pdf/2016-02438.pdf https://regulations.justia.com/regulations/fedreg/2016/02/09/2016-02437.html Notice - Self-Regulatory Organizations; The Options Clearing Corporation; Order Approving the Adoption of a Charter of a New Committee of The Options Clearing Corporation's Board of Directors, the Technology Committee 2016-02-09T00:00:00-08:00 2016-02-09T00:00:00-08:00 2016-02437 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-02-09/pdf/2016-02437.pdf https://regulations.justia.com/regulations/fedreg/2016/02/05/2016-02222.html Notice - Medallion Financial Corp.; Notice of Application 2016-02-05T00:00:00-08:00 2016-02-05T00:00:00-08:00 2016-02222 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-02-05/pdf/2016-02222.pdf https://regulations.justia.com/regulations/fedreg/2016/02/05/2016-02199.html Notice - PNC Funds, et al.; Notice of Application 2016-02-05T00:00:00-08:00 2016-02-05T00:00:00-08:00 2016-02199 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-02-05/pdf/2016-02199.pdf https://regulations.justia.com/regulations/fedreg/2016/02/05/2016-02198.html Notice - Self-Regulatory Organizations; NYSE MKT LLC; Order Approving Proposed Rule Change Amending the Seventh Amended and Restated Operating Agreement of the Exchange To Establish a Committee for Review as a Sub-Committee of the ROC and Make Conforming Changes to Rules and the NYSE MKT Company Guide 2016-02-05T00:00:00-08:00 2016-02-05T00:00:00-08:00 2016-02198 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-02-05/pdf/2016-02198.pdf https://regulations.justia.com/regulations/fedreg/2016/02/05/2016-02197.html Notice - Self-Regulatory Organizations; NASDAQ OMX PHLX LLC; Notice of Filing of Proposed Rule Change To Adopt a Limit Order Protection and a Market Order Protection 2016-02-05T00:00:00-08:00 2016-02-05T00:00:00-08:00 2016-02197 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-02-05/pdf/2016-02197.pdf https://regulations.justia.com/regulations/fedreg/2016/02/05/2016-02196.html Notice - Self-Regulatory Organizations; NASDAQ OMX BX, Inc.; Notice of Filing of Proposed Rule Change To Adopt a Limit Order Protection and a Market Order Protection 2016-02-05T00:00:00-08:00 2016-02-05T00:00:00-08:00 2016-02196 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-02-05/pdf/2016-02196.pdf https://regulations.justia.com/regulations/fedreg/2016/02/04/2016-02221.html Notice - Sunshine Act Meeting 2016-02-04T00:00:00-08:00 2016-02-04T00:00:00-08:00 2016-02221 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-02-04/pdf/2016-02221.pdf https://regulations.justia.com/regulations/fedreg/2016/02/04/2016-02065.html Notice - Susa Registered Fund, LLC and Susa Fund Management LLP; Notice of Application 2016-02-04T00:00:00-08:00 2016-02-04T00:00:00-08:00 2016-02065 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-02-04/pdf/2016-02065.pdf https://regulations.justia.com/regulations/fedreg/2016/02/04/2016-02064.html Notice - Notice of Applications for Deregistration Under Section 8(f) of the Investment Company Act of 1940 2016-02-04T00:00:00-08:00 2016-02-04T00:00:00-08:00

2016-02064 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-02-04/pdf/2016-02064.pdf https://regulations.justia.com/regulations/fedreg/2016/02/04/2016-02063.html Notice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending the NYSE Arca Equities Schedule of Fees and Charges for Exchange Services 2016-02-04T00:00:00-08:00 2016-02-04T00:00:00-08:00 2016-02063 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-02-04/pdf/2016-02063.pdf https://regulations.justia.com/regulations/fedreg/2016/02/04/2016-02062.html Notice - Self-Regulatory Organizations; Municipal Securities Rulemaking Board; Notice of Filing of a Proposed Rule Change Consisting of Proposed Amendments to Rule A-3, on Membership on the Board 2016-02-04T00:00:00-08:00 2016-02-04T00:00:00-08:00 2016-02062 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-02-04/pdf/2016-02062.pdf https://regulations.justia.com/regulations/fedreg/2016/02/04/2016-02061.html Notice - In the Matter of the Application of ISE Mercury, LLC for Registration as a National Securities Exchange; Findings, Opinion, and Order of the Commission 2016-02-04T00:00:00-08:00 2016-02-04T00:00:00-08:00 2016-02061 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-02-04/pdf/2016-02061.pdf https://regulations.justia.com/regulations/fedreg/2016/02/04/2016-02060.html Notice - Self-Regulatory Organizations; ICE Clear Credit LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Revise the ICC Risk Management Framework 2016-02-04T00:00:00-08:00 2016-02-04T00:00:00-08:00 2016-02060 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-02-04/pdf/2016-02060.pdf https://regulations.justia.com/regulations/fedreg/2016/02/03/2016-01960.html Notice - Submission for OMB Review; Comment Request 2016-02-03T00:00:00-08:00 2016-02-03T00:00:00-08:00 2016-01960 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-02-03/pdf/2016-01960.pdf https://regulations.justia.com/regulations/fedreg/2016/02/03/2016-01932.html Notice - Self-Regulatory Organizations; NYSE MKT LLC; Notice of Filing of Proposed Rule Change Amending the NYSE MKT Company Guide To Create a New Section 146 Under Which a Certain Category of Newly Listed Issuers Would Be Entitled To Receive Complimentary Products and Services From the Exchange 2016-02-03T00:00:00-08:00 2016-02-03T00:00:00-08:00 2016-01932 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-02-03/pdf/2016-01932.pdf https://regulations.justia.com/regulations/fedreg/2016/02/03/2016-01931.html Notice - Self-Regulatory Organizations; C2 Options Exchange, Incorporated; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to the Options Regulatory Fee 2016-02-03T00:00:00-08:00 2016-02-03T00:00:00-08:00 2016-01931 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-02-03/pdf/2016-01931.pdf https://regulations.justia.com/regulations/fedreg/2016/02/03/2016-01930.html Notice - Self-Regulatory Organizations; NYSE Arca, Inc.; Order Approving Proposed Rule Change To Provide for Price Collar Thresholds for Trading Halt Auctions 2016-02-03T00:00:00-08:00 2016-02-03T00:00:00-08:00 2016-01930 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-02-03/pdf/2016-01930.pdf https://regulations.justia.com/regulations/fedreg/2016/02/03/2016-01929.html Notice - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to the Options Regulatory Fee 2016-02-03T00:00:00-08:00 2016-02-03T00:00:00-08:00 2016-01929 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-02-03/pdf/2016-01929.pdf https://regulations.justia.com/regulations/fedreg/2016/02/03/2016-01928.html Notice - Self-Regulatory Organizations; NYSE MKT LLC; Notice of Filing and Immediate Effectiveness of Proposed Change Modifying the NYSE Amex Options Fee Schedule To Add an Early Adopter Specialist Credit 2016-02-03T00:00:00-08:00 2016-02-03T00:00:00-08:00 2016-01928 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-02-03/pdf/2016-01928.pdf https://regulations.justia.com/regulations/fedreg/2016/02/03/2016-01927.html Notice - Self-Regulatory Organizations; International Securities Exchange, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the Schedule of Fees 2016-02-03T00:00:00-08:00 2016-02-03T00:00:00-08:00 2016-01927 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-02-03/pdf/2016-01927.pdf https://regulations.justia.com/regulations/fedreg/2016/02/03/2016-01926.html Notice - Self-Regulatory Organizations; NASDAQ OMX PHLX LLC; Notice of Designation of a Longer Period for Commission Action on a Proposed Rule Change To Make Permanent the Pilot Program Eliminating Minimum Value Sizes for Opening Transactions in New Series of FLEX Options 2016-02-03T00:00:00-08:00 2016-02-03T00:00:00-08:00 2016-01926 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-02-03/pdf/2016-01926.pdf https://regulations.justia.com/regulations/fedreg/2016/02/03/2016-01925.html Notice - Self-Regulatory Organizations; NASDAQ OMX PHLX LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Make Minor Changes to Rule 1064, Crossing, Facilitation and Solicited Orders 2016-02-03T00:00:00-08:00 2016-02-03T00:00:00-08:00 2016-01925 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-02-03/pdf/2016-01925.pdf https://regulations.justia.com/regulations/fedreg/2016/02/03/2016-01924.html Notice - Self-Regulatory Organizations; New York Stock Exchange LLC; Order Approving a Proposed Rule Change Deleting Rule 410B Governing Reporting Requirements for Off-Exchange Transactions 2016-02-03T00:00:00-08:00 2016-02-03T00:00:00-08:00 2016-01924 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-02-03/pdf/2016-01924.pdf https://regulations.justia.com/regulations/fedreg/2016/02/03/2016-01923.html Notice - Self-Regulatory Organizations; NYSE MKT LLC; Order Approving a Proposed Rule Change Deleting Rule 410B-Equities Governing Reporting Requirements for Off-Exchange Transactions 2016-02-03T00:00:00-08:00 2016-02-03T00:00:00-08:00 2016-01923 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-02-03/pdf/2016-01923.pdf https://regulations.justia.com/regulations/fedreg/2016/02/03/2016-01922.html Notice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Reflect Changes to the Investment Strategy for the PowerShares S&P 500® Downside Hedged Portfolio 2016-02-03T00:00:00-08:00 2016-02-03T00:00:00-08:00 2016-01922 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-02-03/pdf/2016-01922.pdf https://regulations.justia.com/regulations/fedreg/2016/02/02/2016-01942.html Notice - Sunshine Act Meeting 2016-02-02T00:00:00-08:00 2016-02-02T00:00:00-08:00 2016-01942 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-02-02/pdf/2016-01942.pdf https://regulations.justia.com/regulations/fedreg/2016/02/01/2016-01717.html Notice - Proposed Collection; Comment Request 2016-02-01T00:00:00-08:00 2016-02-01T00:00:00-08:00 2016-01717 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-02-01/pdf/2016-01717.pdf https://regulations.justia.com/regulations/fedreg/2016/02/01/2016-01716.html Notice - Proposed Collection; Comment Request 2016-02-01T00:00:00-08:00 2016-02-01T00:00:00-08:00 2016-01716 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-02-01/pdf/2016-01716.pdf https://regulations.justia.com/regulations/fedreg/2016/02/01/2016-01715.html Notice - Self-Regulatory Organizations; NYSE MKT LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Amending the Fees for NYSE MKT Integrated Feed 2016-02-01T00:00:00-08:00 2016-02-01T00:00:00-08:00 2016-01715 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-02-01/pdf/2016-01715.pdf https://regulations.justia.com/regulations/fedreg/2016/02/01/2016-01714.html Notice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing of Amendment No. 2 to Proposed Rule Change Amending NYSE Arca Equities Rule 8.600 To Adopt Generic Listing Standards for Managed Fund Shares 2016-02-01T00:00:00-08:00 2016-02-01T00:00:00-08:00 2016-01714 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-02-01/pdf/2016-01714.pdf https://regulations.justia.com/regulations/fedreg/2016/02/01/2016-01713.html Notice - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Amending the Fees for NYSE Integrated Feed 2016-02-01T00:00:00-08:00 2016-02-01T00:00:00-08:00 2016-01713 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-02-01/pdf/2016-01713.pdf https://regulations.justia.com/regulations/fedreg/2016/02/01/2016-01712.html Notice - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Amending the Fees for NYSE Order Imbalances and NYSE Alerts 2016-02-01T00:00:00-08:00 2016-02-01T00:00:00-08:00 2016-01712 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-02-01/pdf/2016-01712.pdf https://regulations.justia.com/regulations/fedreg/2016/02/01/2016-01711.html Notice - Proposed Collection; Comment Request 2016-02-01T00:00:00-08:00 2016-02-01T00:00:00-08:00 2016-01711 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-02-01/pdf/2016-01711.pdf