Federal Register Recent Federal Regulation Documents - Justia Regulation Tracker - Justia Regulations Tracker https://regulations.justia.com/regulations/fedreg/agencies/securities-and-exchange-commission/2016/03?limit=200&registers=between&min-day=1&max-day=31&mode=atom 2024-09-10T09:58:34-07:00 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/2016/03/31/2016-07209.html Notice - Notice of Applications for Deregistration Under Section 8(f) of the Investment Company Act of 1940 2016-03-31T00:00:00-07:00 2016-03-31T00:00:00-07:00 2016-07209 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-03-31/pdf/2016-07209.pdf https://regulations.justia.com/regulations/fedreg/2016/03/31/2016-07205.html 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. 2, to List and Trade Shares of the SPDR DoubleLine Short Duration Total Return Tactical ETF 2016-03-31T00:00:00-07:00 2016-03-31T00:00:00-07:00 2016-07205 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-03-31/pdf/2016-07205.pdf https://regulations.justia.com/regulations/fedreg/2016/03/31/2016-07204.html Notice - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Filing of Amendment No. 1 and Order Granting Accelerated Approval of a Proposed Rule Change, as Modified by Amendment No. 1, To Amend Interpretation and Policy .01 to Rule 1.1(ggg) Relating to the Professional Customer Definition 2016-03-31T00:00:00-07:00 2016-03-31T00:00:00-07:00 2016-07204 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-03-31/pdf/2016-07204.pdf https://regulations.justia.com/regulations/fedreg/2016/03/31/2016-07203.html Notice - Self-Regulatory Organizations; NASDAQ PHLX LLC; Notice of Filing of Amendment No. 1 and Order Granting Accelerated Approval of a Proposed Rule Change, as Modified by Amendment No. 1, Relating to the Professional Customer Definition 2016-03-31T00:00:00-07:00 2016-03-31T00:00:00-07:00 2016-07203 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-03-31/pdf/2016-07203.pdf https://regulations.justia.com/regulations/fedreg/2016/03/31/2016-07198.html Notice - Self-Regulatory Organizations; NASDAQ PHLX LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Delete Rule 756 2016-03-31T00:00:00-07:00 2016-03-31T00:00:00-07:00 2016-07198 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-03-31/pdf/2016-07198.pdf https://regulations.justia.com/regulations/fedreg/2016/03/31/2016-07197.html Notice - Self-Regulatory Organizations; NASDAQ PHLX LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the Exchange's Continuing Education Fee Schedule 2016-03-31T00:00:00-07:00 2016-03-31T00:00:00-07:00 2016-07197 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-03-31/pdf/2016-07197.pdf https://regulations.justia.com/regulations/fedreg/2016/03/31/2016-07196.html Notice - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Order Approving Proposed Rule Change, as Modified by Amendment No. 1 Thereto, To Amend Rule 4120 2016-03-31T00:00:00-07:00 2016-03-31T00:00:00-07:00 2016-07196 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-03-31/pdf/2016-07196.pdf https://regulations.justia.com/regulations/fedreg/2016/03/31/2016-07195.html 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 2016-03-31T00:00:00-07:00 2016-03-31T00:00:00-07:00 2016-07195 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-03-31/pdf/2016-07195.pdf https://regulations.justia.com/regulations/fedreg/2016/03/31/2016-07194.html Notice - Self-Regulatory Organizations; ICE Clear Europe Limited; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to Equity Futures and Options 2016-03-31T00:00:00-07:00 2016-03-31T00:00:00-07:00 2016-07194 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-03-31/pdf/2016-07194.pdf https://regulations.justia.com/regulations/fedreg/2016/03/31/2016-07193.html Notice - AMCAP Fund, et al.; Notice of Application 2016-03-31T00:00:00-07:00 2016-03-31T00:00:00-07:00 2016-07193 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-03-31/pdf/2016-07193.pdf https://regulations.justia.com/regulations/fedreg/2016/03/30/2016-07224.html Notice - Sunshine Act Meeting; Correction 2016-03-30T00:00:00-07:00 2016-03-30T00:00:00-07:00 2016-07224 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-03-30/pdf/2016-07224.pdf https://regulations.justia.com/regulations/fedreg/2016/03/30/2016-07101.html Notice - NexPoint Capital, Inc., et al.; Notice of Application 2016-03-30T00:00:00-07:00 2016-03-30T00:00:00-07:00 2016-07101 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-03-30/pdf/2016-07101.pdf https://regulations.justia.com/regulations/fedreg/2016/03/30/2016-07100.html Notice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing of Proposed Rule Change Amending NYSE Arca Equities Rule 7.31P(h) To Add a New Discretionary Pegged Order 2016-03-30T00:00:00-07:00 2016-03-30T00:00:00-07:00 2016-07100 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-03-30/pdf/2016-07100.pdf https://regulations.justia.com/regulations/fedreg/2016/03/30/2016-07099.html Notice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Rule 6.2 To Create a Reserve Market Maker Options Trading Permit 2016-03-30T00:00:00-07:00 2016-03-30T00:00:00-07:00 2016-07099 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-03-30/pdf/2016-07099.pdf https://regulations.justia.com/regulations/fedreg/2016/03/30/2016-07098.html Notice - Self-Regulatory Organizations; New York Stock Exchange LLC; NYSE MKT LLC; Order Granting an Extension to Limited Exemptions From Rule 612(c) of Regulation NMS in Connection With the Exchanges' Retail Liquidity Programs Until August 31, 2016 2016-03-30T00:00:00-07:00 2016-03-30T00:00:00-07:00 2016-07098 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-03-30/pdf/2016-07098.pdf https://regulations.justia.com/regulations/fedreg/2016/03/30/2016-07097.html Notice - Self-Regulatory Organizations; NYSE Arca, Inc.; Order Granting an Extension to Limited Exemption From Rule 612(c) of Regulation NMS in Connection With the Exchange's Retail Liquidity Program Until August 31, 2016 2016-03-30T00:00:00-07:00 2016-03-30T00:00:00-07:00 2016-07097 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-03-30/pdf/2016-07097.pdf https://regulations.justia.com/regulations/fedreg/2016/03/29/2016-07108.html Notice - Sunshine Act Meeting 2016-03-29T00:00:00-07:00 2016-03-29T00:00:00-07:00 2016-07108 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-03-29/pdf/2016-07108.pdf https://regulations.justia.com/regulations/fedreg/2016/03/29/2016-06999.html Notice - Self-Regulatory Organizations; NYSE MKT LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Rule 964.2NY Regarding the Participation Entitlement Formula for Specialists and e-Specialists 2016-03-29T00:00:00-07:00 2016-03-29T00:00:00-07:00 2016-06999 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-03-29/pdf/2016-06999.pdf https://regulations.justia.com/regulations/fedreg/2016/03/29/2016-06998.html Notice - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Rule 13 to Expand the Availability of Self-Trade Prevention Modifiers to Non-Algorithmically Entered Floor Broker Interest 2016-03-29T00:00:00-07:00 2016-03-29T00:00:00-07:00 2016-06998 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-03-29/pdf/2016-06998.pdf https://regulations.justia.com/regulations/fedreg/2016/03/29/2016-06996.html Notice - Self-Regulatory Organizations; NYSE MKT LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Rule 13-Equities To Expand the Availability of Self-Trade Prevention Modifiers to Non-Algorithmically Entered Floor Broker Interest 2016-03-29T00:00:00-07:00 2016-03-29T00:00:00-07:00 2016-06996 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-03-29/pdf/2016-06996.pdf https://regulations.justia.com/regulations/fedreg/2016/03/29/2016-06995.html Notice - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Order Approving Proposed Rule Change to Adopt FINRA Rule 2273 (Educational Communication Related to Recruitment Practices and Account Transfers) 2016-03-29T00:00:00-07:00 2016-03-29T00:00:00-07:00 2016-06995 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-03-29/pdf/2016-06995.pdf https://regulations.justia.com/regulations/fedreg/2016/03/29/2016-06994.html Notice - Self-Regulatory Organizations; NASDAQ BX, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Chapter XI (Doing Business With the Public), Section 8 (Supervision of Accounts) of the Exchange's Rulebook 2016-03-29T00:00:00-07:00 2016-03-29T00:00:00-07:00 2016-06994 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-03-29/pdf/2016-06994.pdf https://regulations.justia.com/regulations/fedreg/2016/03/29/2016-06993.html Notice - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Chapter XI (Doing Business With the Public), Section 8 (Supervision of Accounts) of the Exchange's Rulebook 2016-03-29T00:00:00-07:00 2016-03-29T00:00:00-07:00 2016-06993 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-03-29/pdf/2016-06993.pdf https://regulations.justia.com/regulations/fedreg/2016/03/29/2016-06992.html Notice - Self-Regulatory Organizations; ICE Clear Europe Limited; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to Additions to Permitted Cover 2016-03-29T00:00:00-07:00 2016-03-29T00:00:00-07:00 2016-06992 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-03-29/pdf/2016-06992.pdf https://regulations.justia.com/regulations/fedreg/2016/03/29/2016-06991.html Notice - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Extending the Pilot Period for the Exchange's Retail Liquidity Program 2016-03-29T00:00:00-07:00 2016-03-29T00:00:00-07:00 2016-06991 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-03-29/pdf/2016-06991.pdf https://regulations.justia.com/regulations/fedreg/2016/03/29/2016-06990.html Notice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Extend the Pilot Period for the Exchange's Retail Liquidity Program, Which Is Currently Scheduled To Expire on March 31, 2016, Until August 31, 2016 2016-03-29T00:00:00-07:00 2016-03-29T00:00:00-07:00 2016-06990 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-03-29/pdf/2016-06990.pdf https://regulations.justia.com/regulations/fedreg/2016/03/29/2016-06989.html Notice - Self-Regulatory Organizations; NYSE MKT LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Extending the Pilot Period for the Exchange's Retail Liquidity Program 2016-03-29T00:00:00-07:00 2016-03-29T00:00:00-07:00 2016-06989 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-03-29/pdf/2016-06989.pdf https://regulations.justia.com/regulations/fedreg/2016/03/29/2016-06988.html Notice - Investor Advisory Committee Meeting 2016-03-29T00:00:00-07:00 2016-03-29T00:00:00-07:00 2016-06988 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-03-29/pdf/2016-06988.pdf https://regulations.justia.com/regulations/fedreg/2016/03/28/2016-07021.html Notice - Sunshine Act Meeting 2016-03-28T00:00:00-07:00 2016-03-28T00:00:00-07:00 2016-07021 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-03-28/pdf/2016-07021.pdf https://regulations.justia.com/regulations/fedreg/2016/03/28/2016-06866.html Notice - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to the Listing and Trading of the Shares of the Eaton Vance Global Income Builder NextShares of the Eaton Vance ETMF Trust 2016-03-28T00:00:00-07:00 2016-03-28T00:00:00-07:00 2016-06866 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-03-28/pdf/2016-06866.pdf https://regulations.justia.com/regulations/fedreg/2016/03/28/2016-06865.html Notice - Self-Regulatory Organizations; Bats BYX Exchange, Inc. f/k/a BATS Y-Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Adopt Exchange Rule 11.27 to Implement the Regulation NMS Plan To Implement a Tick Size Pilot Program 2016-03-28T00:00:00-07:00 2016-03-28T00:00:00-07:00 2016-06865 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-03-28/pdf/2016-06865.pdf https://regulations.justia.com/regulations/fedreg/2016/03/28/2016-06864.html Notice - Self-Regulatory Organizations; Bats EDGA Exchange, Inc. f/k/a EDGA Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Adopt Exchange Rule 11.27 To Implement the Regulation NMS Plan To Implement a Tick Size Pilot Program 2016-03-28T00:00:00-07:00 2016-03-28T00:00:00-07:00 2016-06864 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-03-28/pdf/2016-06864.pdf https://regulations.justia.com/regulations/fedreg/2016/03/28/2016-06863.html Notice - Self-Regulatory Organizations; Bats EDGX Exchange, Inc. f/k/a EDGX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Adopt Exchange Rule 11.27 To Implement the Regulation NMS Plan To Implement a Tick Size Pilot Program 2016-03-28T00:00:00-07:00 2016-03-28T00:00:00-07:00 2016-06863 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-03-28/pdf/2016-06863.pdf https://regulations.justia.com/regulations/fedreg/2016/03/28/2016-06862.html Notice - Self-Regulatory Organizations; The Options Clearing Corporation; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Related to the Voluntary Termination by Offset and Re-Matching of Matched-Book Positions in the Stock Loan/Hedge Program 2016-03-28T00:00:00-07:00 2016-03-28T00:00:00-07:00 2016-06862 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-03-28/pdf/2016-06862.pdf https://regulations.justia.com/regulations/fedreg/2016/03/25/2016-06785.html Notice - Premise Capital, LLC, et al.; Notice of Application 2016-03-25T00:00:00-07:00 2016-03-25T00:00:00-07:00 2016-06785 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-03-25/pdf/2016-06785.pdf https://regulations.justia.com/regulations/fedreg/2016/03/25/2016-06748.html Notice - Northern Lights Fund Trust and Princeton Fund Advisors, LLC; Notice of Application 2016-03-25T00:00:00-07:00 2016-03-25T00:00:00-07:00 2016-06748 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-03-25/pdf/2016-06748.pdf https://regulations.justia.com/regulations/fedreg/2016/03/25/2016-06747.html Notice - Self-Regulatory Organizations; ICE Clear Credit LLC; Notice of Filing of Proposed Rule Change To Revise the ICC Operational Risk Management Framework 2016-03-25T00:00:00-07:00 2016-03-25T00:00:00-07:00 2016-06747 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-03-25/pdf/2016-06747.pdf https://regulations.justia.com/regulations/fedreg/2016/03/25/2016-06746.html Notice - Self-Regulatory Organizations; ISE Mercury, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the Schedule of Fees 2016-03-25T00:00:00-07:00 2016-03-25T00:00:00-07:00 2016-06746 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-03-25/pdf/2016-06746.pdf https://regulations.justia.com/regulations/fedreg/2016/03/25/2016-06745.html Notice - Self-Regulatory Organizations; International Securities Exchange, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Eliminate the Strict Concentration Limits on Primary Market Makers 2016-03-25T00:00:00-07:00 2016-03-25T00:00:00-07:00 2016-06745 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-03-25/pdf/2016-06745.pdf https://regulations.justia.com/regulations/fedreg/2016/03/25/2016-06744.html Notice - Self-Regulatory Organizations; ISE Mercury, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the Schedule of Fees 2016-03-25T00:00:00-07:00 2016-03-25T00:00:00-07:00 2016-06744 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-03-25/pdf/2016-06744.pdf https://regulations.justia.com/regulations/fedreg/2016/03/24/2016-06636.html Notice - Self-Regulatory Organizations; BOX Options Exchange LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Comply With the Requirements of the Amended and Restated Limited Liability Company Agreement of BOX Holdings, and To Permit Certain Ownership Changes Pursuant Thereto 2016-03-24T00:00:00-07:00 2016-03-24T00:00:00-07:00 2016-06636 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-03-24/pdf/2016-06636.pdf https://regulations.justia.com/regulations/fedreg/2016/03/24/2016-06633.html Proposed Rule - Notice of Proposed Commission Interpretation Regarding Automated Quotations Under Regulation NMS 2016-03-24T00:00:00-07:00 2016-03-24T00:00:00-07:00 2016-06633 Proposed Rule https://www.gpo.gov/fdsys/pkg/FR-2016-03-24/pdf/2016-06633.pdf https://regulations.justia.com/regulations/fedreg/2016/03/24/2016-06632.html Notice - Investors' Exchange LLC; Notice of Filing of Amendment Nos. 2, 3, and 4 to, and Order Instituting Proceedings To Determine Whether To Grant or Deny, and Notice of Designation of Longer Period for Commission Action on Proceedings To Determine Whether To Grant or Deny, an Application for Registration as a National Securities Exchange Under Section 6 of the Securities Exchange Act of 1934, as Modified by Amendment Nos. 1, 2, 3, and 4 Thereto 2016-03-24T00:00:00-07:00 2016-03-24T00:00:00-07:00 2016-06632 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-03-24/pdf/2016-06632.pdf https://regulations.justia.com/regulations/fedreg/2016/03/24/2016-06606.html Notice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Designation of a Longer Period for Commission Action on 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 2016-03-24T00:00:00-07:00 2016-03-24T00:00:00-07:00 2016-06606 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-03-24/pdf/2016-06606.pdf https://regulations.justia.com/regulations/fedreg/2016/03/24/2016-06605.html Notice - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Modify the Dissemination Protocols for TRACE-Eligible Securities 2016-03-24T00:00:00-07:00 2016-03-24T00:00:00-07:00 2016-06605 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-03-24/pdf/2016-06605.pdf https://regulations.justia.com/regulations/fedreg/2016/03/24/2016-06604.html Notice - Self-Regulatory Organizations; NASDAQ PHLX LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Rebates and Fees for Adding and Removing Liquidity in SPY 2016-03-24T00:00:00-07:00 2016-03-24T00:00:00-07:00 2016-06604 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-03-24/pdf/2016-06604.pdf https://regulations.justia.com/regulations/fedreg/2016/03/23/2016-06546.html Notice - Order Granting a Temporary Exemption Pursuant to Section 36 of the Securities Exchange Act of 1934 From Compliance With Rules 13n-1 to 13n-12 Under the Securities Exchange Act of 1934 2016-03-23T00:00:00-07:00 2016-03-23T00:00:00-07:00 2016-06546 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-03-23/pdf/2016-06546.pdf https://regulations.justia.com/regulations/fedreg/2016/03/23/2016-06515.html Notice - Self-Regulatory Organizations; NYSE MKT LLC; Order Approving 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 2016-03-23T00:00:00-07:00 2016-03-23T00:00:00-07:00 2016-06515 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-03-23/pdf/2016-06515.pdf https://regulations.justia.com/regulations/fedreg/2016/03/23/2016-06514.html Notice - Self-Regulatory Organizations; Bats EDGX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Related to Fees for Use of the Exchange 2016-03-23T00:00:00-07:00 2016-03-23T00:00:00-07:00 2016-06514 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-03-23/pdf/2016-06514.pdf https://regulations.justia.com/regulations/fedreg/2016/03/23/2016-06455.html Notice - Joint Industry Plan; Order Approving 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. 2016-03-23T00:00:00-07:00 2016-03-23T00:00:00-07:00 2016-06455 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-03-23/pdf/2016-06455.pdf https://regulations.justia.com/regulations/fedreg/2016/03/23/2016-06454.html Notice - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Include U.S. Non-Display Policies in the Nasdaq Rule Book 2016-03-23T00:00:00-07:00 2016-03-23T00:00:00-07:00 2016-06454 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-03-23/pdf/2016-06454.pdf https://regulations.justia.com/regulations/fedreg/2016/03/23/2016-06453.html Notice - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Order Instituting Proceedings To Determine Whether To Approve or Disapprove Proposed Rule Change To Adopt FINRA Capital Acquisition Broker Rules 2016-03-23T00:00:00-07:00 2016-03-23T00:00:00-07:00 2016-06453 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-03-23/pdf/2016-06453.pdf https://regulations.justia.com/regulations/fedreg/2016/03/23/2016-06452.html Notice - Self-Regulatory Organizations; Municipal Securities Rulemaking Board; Order Granting Approval of a Proposed Rule Change Consisting of Proposed Amendments to Rule A-3, on Membership on the Board 2016-03-23T00:00:00-07:00 2016-03-23T00:00:00-07:00 2016-06452 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-03-23/pdf/2016-06452.pdf https://regulations.justia.com/regulations/fedreg/2016/03/22/2016-06516.html Notice - Sunshine Act Meeting 2016-03-22T00:00:00-07:00 2016-03-22T00:00:00-07:00 2016-06516 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-03-22/pdf/2016-06516.pdf https://regulations.justia.com/regulations/fedreg/2016/03/22/2016-06412.html Notice - Proposed Collection; Comment Request 2016-03-22T00:00:00-07:00 2016-03-22T00:00:00-07:00 2016-06412 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-03-22/pdf/2016-06412.pdf https://regulations.justia.com/regulations/fedreg/2016/03/22/2016-06411.html Notice - Principal Life Insurance Company, et al., Notice of Application 2016-03-22T00:00:00-07:00 2016-03-22T00:00:00-07:00 2016-06411 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-03-22/pdf/2016-06411.pdf https://regulations.justia.com/regulations/fedreg/2016/03/22/2016-06410.html Notice - Principal Life Insurance Company, et al., 2016-03-22T00:00:00-07:00 2016-03-22T00:00:00-07:00 2016-06410 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-03-22/pdf/2016-06410.pdf https://regulations.justia.com/regulations/fedreg/2016/03/22/2016-06409.html Notice - Self-Regulatory Organizations; NYSE MKT LLC; Notice of Filing and Immediate Effectiveness of Proposed Change Adopting a Decommission Extension Fee for receipt of the NYSE MKT BBO and NYSE MKT Trades Market Data Products 2016-03-22T00:00:00-07:00 2016-03-22T00:00:00-07:00 2016-06409 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-03-22/pdf/2016-06409.pdf https://regulations.justia.com/regulations/fedreg/2016/03/22/2016-06408.html Notice - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Adopting a Decommission Extension Fee for Receipt of the NYSE BBO and NYSE Trades Market Data Products 2016-03-22T00:00:00-07:00 2016-03-22T00:00:00-07:00 2016-06408 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-03-22/pdf/2016-06408.pdf https://regulations.justia.com/regulations/fedreg/2016/03/22/2016-06364.html Notice - Self-Regulatory Organizations; NYSE MKT LLC; Notice of Filing of Proposed Rule Change Amending and Restating the Fifth Amended and Restated Bylaws of the Exchange's Ultimate Parent Company, Intercontinental Exchange, Inc., To Implement Proxy Access 2016-03-22T00:00:00-07:00 2016-03-22T00:00:00-07:00 2016-06364 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-03-22/pdf/2016-06364.pdf https://regulations.justia.com/regulations/fedreg/2016/03/22/2016-06363.html Notice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing of Proposed Rule Change Amending and Restating the Fifth Amended and Restated Bylaws of the Exchange's Ultimate Parent Company, Intercontinental Exchange, Inc., To Implement Proxy Access 2016-03-22T00:00:00-07:00 2016-03-22T00:00:00-07:00 2016-06363 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-03-22/pdf/2016-06363.pdf https://regulations.justia.com/regulations/fedreg/2016/03/22/2016-06362.html Notice - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing of Proposed Rule Change Amending and Restating the Fifth Amended and Restated Bylaws of the Exchange's Ultimate Parent Company, Intercontinental Exchange, Inc., To Implement Proxy Access 2016-03-22T00:00:00-07:00 2016-03-22T00:00:00-07:00 2016-06362 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-03-22/pdf/2016-06362.pdf https://regulations.justia.com/regulations/fedreg/2016/03/22/2016-06341.html Notice - Self-Regulatory Organizations; The Nasdaq Stock Market LLC; Notice of Filing of Proposed Rule Change To Offer Remote ITCH to Trade Options Wave Ports 2016-03-22T00:00:00-07:00 2016-03-22T00:00:00-07:00 2016-06341 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-03-22/pdf/2016-06341.pdf https://regulations.justia.com/regulations/fedreg/2016/03/22/2016-06340.html Notice - Order Granting Limited Exemptions From Exchange Act Rule 10b-17 and Rules 101 and 102 of Regulation M to First Trust Dorsey Wright Dynamic Focus 5 ETF Pursuant to Exchange Act Rule 10b-17(b)(2) and Rules 101(d) and 102(e) of Regulation M 2016-03-22T00:00:00-07:00 2016-03-22T00:00:00-07:00 2016-06340 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-03-22/pdf/2016-06340.pdf https://regulations.justia.com/regulations/fedreg/2016/03/22/2016-06339.html Notice - Self-Regulatory Organizations; BATS Exchange, Inc.; Notice of Filing of a Proposed Rule Change To List and Trade Shares of the Pointbreak Diversified Commodity Fund of the Pointbreak ETF Trust Under BATS Rule 14.11(i), Managed Fund Shares 2016-03-22T00:00:00-07:00 2016-03-22T00:00:00-07:00 2016-06339 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-03-22/pdf/2016-06339.pdf https://regulations.justia.com/regulations/fedreg/2016/03/22/2016-06338.html Notice - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Transaction Fees at Rule 7018(a) 2016-03-22T00:00:00-07:00 2016-03-22T00:00:00-07:00 2016-06338 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-03-22/pdf/2016-06338.pdf https://regulations.justia.com/regulations/fedreg/2016/03/21/2016-06365.html Notice - In the Matter of Broke Out, Inc.; Order of Suspension of Trading 2016-03-21T00:00:00-07:00 2016-03-21T00:00:00-07:00 2016-06365 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-03-21/pdf/2016-06365.pdf https://regulations.justia.com/regulations/fedreg/2016/03/21/2016-06239.html Notice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending NYSE Arca Equities Rule 7.33 To Conform the Exchange's Rules to Industry-Wide Standards for Recording the Capacity in Which an ETP Holder Executes a Transaction 2016-03-21T00:00:00-07:00 2016-03-21T00:00:00-07:00 2016-06239 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-03-21/pdf/2016-06239.pdf https://regulations.justia.com/regulations/fedreg/2016/03/21/2016-06230.html Notice - Submission for OMB Review; Comment Request 2016-03-21T00:00:00-07:00 2016-03-21T00:00:00-07:00 2016-06230 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-03-21/pdf/2016-06230.pdf https://regulations.justia.com/regulations/fedreg/2016/03/21/2016-06229.html Notice - Self-Regulatory Organizations; NYSE MKT LLC; Notice of Filing and Immediate Effectiveness of Proposed Change To Amend Its Price List Effective March 1, 2016 2016-03-21T00:00:00-07:00 2016-03-21T00:00:00-07:00 2016-06229 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-03-21/pdf/2016-06229.pdf https://regulations.justia.com/regulations/fedreg/2016/03/21/2016-06228.html Notice - Self-Regulatory Organizations; NYSE MKT LLC; Notice of Filing and Immediate Effectiveness of Proposed Change Modifying the NYSE Amex Options Fee Schedule 2016-03-21T00:00:00-07:00 2016-03-21T00:00:00-07:00 2016-06228 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-03-21/pdf/2016-06228.pdf https://regulations.justia.com/regulations/fedreg/2016/03/18/2016-06098.html Notice - Self-Regulatory Organizations; The Options Clearing Corporation; Notice of Filing of Proposed Rule Change Related to the Adoption of an Options Exchange Risk Control Standards Policy 2016-03-18T00:00:00-07:00 2016-03-18T00:00:00-07:00 2016-06098 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-03-18/pdf/2016-06098.pdf https://regulations.justia.com/regulations/fedreg/2016/03/18/2016-06097.html Notice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Extending the Deadline for Implementing Rule 6.61(a)(2) and (3) 2016-03-18T00:00:00-07:00 2016-03-18T00:00:00-07:00 2016-06097 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-03-18/pdf/2016-06097.pdf https://regulations.justia.com/regulations/fedreg/2016/03/18/2016-06096.html Notice - Self-Regulatory Organizations; NYSE MKT LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Extend the Deadline for Implementing Rule 967.1NY(a)(2) and (3) 2016-03-18T00:00:00-07:00 2016-03-18T00:00:00-07:00 2016-06096 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-03-18/pdf/2016-06096.pdf https://regulations.justia.com/regulations/fedreg/2016/03/18/2016-06095.html Notice - Order Approving Public Company Accounting Oversight Board Budget and Annual Accounting Support Fee for Calendar Year 2016 2016-03-18T00:00:00-07:00 2016-03-18T00:00:00-07:00 2016-06095 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-03-18/pdf/2016-06095.pdf https://regulations.justia.com/regulations/fedreg/2016/03/18/2016-06094.html Notice - Proposed Collection; Comment Request 2016-03-18T00:00:00-07:00 2016-03-18T00:00:00-07:00 2016-06094 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-03-18/pdf/2016-06094.pdf https://regulations.justia.com/regulations/fedreg/2016/03/18/2016-06093.html Notice - Self-Regulatory Organizations; Municipal Securities Rulemaking Board; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Revise an Effective Date of Several Previously-Approved Amendments to Rule G-14, on Transaction Reporting 2016-03-18T00:00:00-07:00 2016-03-18T00:00:00-07:00 2016-06093 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-03-18/pdf/2016-06093.pdf https://regulations.justia.com/regulations/fedreg/2016/03/18/2016-06092.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 2016-03-18T00:00:00-07:00 2016-03-18T00:00:00-07:00 2016-06092 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-03-18/pdf/2016-06092.pdf https://regulations.justia.com/regulations/fedreg/2016/03/18/2016-06091.html Notice - Self-Regulatory Organizations; Municipal Securities Rulemaking Board; Notice of Filing of a Proposed Rule Change Consisting of Proposed Amendments to Rules G-12 and G-15 To Define Regular-Way Settlement for Municipal Securities Transactions as Occurring on a Two-Day Settlement Cycle and Technical Conforming Amendments 2016-03-18T00:00:00-07:00 2016-03-18T00:00:00-07:00 2016-06091 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-03-18/pdf/2016-06091.pdf https://regulations.justia.com/regulations/fedreg/2016/03/18/2016-06090.html Notice - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Its Price List Effective March 1, 2016 2016-03-18T00:00:00-07:00 2016-03-18T00:00:00-07:00 2016-06090 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-03-18/pdf/2016-06090.pdf https://regulations.justia.com/regulations/fedreg/2016/03/18/2016-06089.html Notice - Self-Regulatory Organizations; ICE Clear Credit LLC; Order Approving Proposed Rule Change To Provide for the Clearance of Certain Asia-Pacific Credit Default Swap Contracts 2016-03-18T00:00:00-07:00 2016-03-18T00:00:00-07:00 2016-06089 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-03-18/pdf/2016-06089.pdf https://regulations.justia.com/regulations/fedreg/2016/03/18/2016-06088.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 2016-03-18T00:00:00-07:00 2016-03-18T00:00:00-07:00 2016-06088 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-03-18/pdf/2016-06088.pdf https://regulations.justia.com/regulations/fedreg/2016/03/17/2016-06130.html Notice - Sunshine Act Meeting 2016-03-17T00:00:00-07:00 2016-03-17T00:00:00-07:00 2016-06130 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-03-17/pdf/2016-06130.pdf https://regulations.justia.com/regulations/fedreg/2016/03/17/2016-06041.html Rule - Securities Investor Protection Corporation 2016-03-17T00:00:00-07:00 2016-03-17T00:00:00-07:00 2016-06041 Rule https://www.gpo.gov/fdsys/pkg/FR-2016-03-17/pdf/2016-06041.pdf https://regulations.justia.com/regulations/fedreg/2016/03/17/2016-05989.html Notice - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Fees Under Rule 7018(a) 2016-03-17T00:00:00-07:00 2016-03-17T00:00:00-07:00 2016-05989 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-03-17/pdf/2016-05989.pdf https://regulations.justia.com/regulations/fedreg/2016/03/17/2016-05978.html Notice - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the Market Quality Incentive Programs Under Rule 7014 2016-03-17T00:00:00-07:00 2016-03-17T00:00:00-07:00 2016-05978 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-03-17/pdf/2016-05978.pdf https://regulations.justia.com/regulations/fedreg/2016/03/17/2016-05977.html Notice - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing of Proposed Rule Change Regarding Monthly Distributions, Excess Returns, and Share Index Factors of Certain AccuShares® Trust I Funds 2016-03-17T00:00:00-07:00 2016-03-17T00:00:00-07:00 2016-05977 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-03-17/pdf/2016-05977.pdf https://regulations.justia.com/regulations/fedreg/2016/03/17/2016-05976.html Notice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Withdrawal of 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 2016-03-17T00:00:00-07:00 2016-03-17T00:00:00-07:00 2016-05976 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-03-17/pdf/2016-05976.pdf https://regulations.justia.com/regulations/fedreg/2016/03/17/2016-05975.html Notice - Self-Regulatory Organizations; NASDAQ PHLX LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Rebates and Fees for Adding and Removing Liquidity in SPY 2016-03-17T00:00:00-07:00 2016-03-17T00:00:00-07:00 2016-05975 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-03-17/pdf/2016-05975.pdf https://regulations.justia.com/regulations/fedreg/2016/03/17/2016-05974.html Notice - Self-Regulatory Organizations; NASDAQ BX, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Exchange Rule 7018 2016-03-17T00:00:00-07:00 2016-03-17T00:00:00-07:00 2016-05974 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-03-17/pdf/2016-05974.pdf https://regulations.justia.com/regulations/fedreg/2016/03/17/2016-05973.html Notice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Rules 7.31P(j) and 7.34P(c) To Allow Q Orders To Participate in the Early Trading Session and Late Trading Session 2016-03-17T00:00:00-07:00 2016-03-17T00:00:00-07:00 2016-05973 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-03-17/pdf/2016-05973.pdf https://regulations.justia.com/regulations/fedreg/2016/03/17/2016-05972.html Notice - Self-Regulatory Organizations; NYSE MKT LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Sections 401 and 402 of the NYSE MKT Company Guide To Harmonize the Exchange's Immediate Release and Trading Halt Policies 2016-03-17T00:00:00-07:00 2016-03-17T00:00:00-07:00 2016-05972 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-03-17/pdf/2016-05972.pdf https://regulations.justia.com/regulations/fedreg/2016/03/16/2016-05878.html Notice - Submission for OMB Review; Comment Request 2016-03-16T00:00:00-07:00 2016-03-16T00:00:00-07:00 2016-05878 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-03-16/pdf/2016-05878.pdf https://regulations.justia.com/regulations/fedreg/2016/03/16/2016-05858.html Notice - Proposed Collection; Comment Request 2016-03-16T00:00:00-07:00 2016-03-16T00:00:00-07:00 2016-05858 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-03-16/pdf/2016-05858.pdf https://regulations.justia.com/regulations/fedreg/2016/03/16/2016-05857.html Notice - Proposed Collection; Comment Request 2016-03-16T00:00:00-07:00 2016-03-16T00:00:00-07:00 2016-05857 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-03-16/pdf/2016-05857.pdf https://regulations.justia.com/regulations/fedreg/2016/03/16/2016-05856.html Notice - Self-Regulatory Organizations; NASDAQ OMX PHLX LLC; Notice of Filing of Amendment No. 1 and Order Granting Accelerated Approval of Proposed Rule Change, as Modified by Amendment No. 1, to Make Permanent the Pilot Program Eliminating Minimum Value Sizes for Opening Transactions in New Series of FLEX Options 2016-03-16T00:00:00-07:00 2016-03-16T00:00:00-07:00 2016-05856 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-03-16/pdf/2016-05856.pdf https://regulations.justia.com/regulations/fedreg/2016/03/16/2016-05855.html Notice - Self-Regulatory Organizations; NYSE Arca, Inc.; Order Instituting Proceedings To Determine Whether to Approve or Disapprove a Proposed Rule Change, as Modified by Amendment No. 1 Thereto, Relating To Listing and Trading of Shares of the Cumberland Municipal Bond ETF Under NYSE Arca Equities Rule 8.600 2016-03-16T00:00:00-07:00 2016-03-16T00:00:00-07:00 2016-05855 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-03-16/pdf/2016-05855.pdf https://regulations.justia.com/regulations/fedreg/2016/03/16/2016-05854.html Notice - Self-Regulatory Organizations; NASDAQ BX, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Regarding Fees and Rebates To Adopt the Select Symbols Options Tier Schedule 2016-03-16T00:00:00-07:00 2016-03-16T00:00:00-07:00 2016-05854 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-03-16/pdf/2016-05854.pdf https://regulations.justia.com/regulations/fedreg/2016/03/16/2016-05853.html 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 Elkhorn Dorsey Wright Commodity Rotation Portfolio of Elkhorn ETF Trust 2016-03-16T00:00:00-07:00 2016-03-16T00:00:00-07:00 2016-05853 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-03-16/pdf/2016-05853.pdf https://regulations.justia.com/regulations/fedreg/2016/03/16/2016-05851.html Notice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Withdrawal of a Proposed Rule Change To List and Trade Shares of the Global Currency Gold Fund Under NYSE Arca Equities Rule 8.201 2016-03-16T00:00:00-07:00 2016-03-16T00:00:00-07:00 2016-05851 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-03-16/pdf/2016-05851.pdf https://regulations.justia.com/regulations/fedreg/2016/03/16/2016-05850.html Notice - Self-Regulatory Organizations; The Options Clearing Corporation; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Simplify the Options Clearing Corporation's Schedule of Fees 2016-03-16T00:00:00-07:00 2016-03-16T00:00:00-07:00 2016-05850 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-03-16/pdf/2016-05850.pdf https://regulations.justia.com/regulations/fedreg/2016/03/15/2016-05879.html Notice - Sunshine Act Meeting 2016-03-15T00:00:00-07:00 2016-03-15T00:00:00-07:00 2016-05879 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-03-15/pdf/2016-05879.pdf https://regulations.justia.com/regulations/fedreg/2016/03/15/2016-05756.html Notice - Self-Regulatory Organizations; International Securities Exchange; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Limit Mandatory Participation in Scheduled Functional and Performance Testing Under Regulation SCI to Only Those Primary Market Makers That Meet Specified Criteria 2016-03-15T00:00:00-07:00 2016-03-15T00:00:00-07:00 2016-05756 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-03-15/pdf/2016-05756.pdf https://regulations.justia.com/regulations/fedreg/2016/03/15/2016-05755.html Notice - Self-Regulatory Organizations; ISE Gemini, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Limit Mandatory Participation in Scheduled Functional and Performance Testing Under Regulation SCI to Only Those Primary Market Makers That Meet Specified Criteria 2016-03-15T00:00:00-07:00 2016-03-15T00:00:00-07:00 2016-05755 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-03-15/pdf/2016-05755.pdf https://regulations.justia.com/regulations/fedreg/2016/03/15/2016-05754.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 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 2016-03-15T00:00:00-07:00 2016-03-15T00:00:00-07:00 2016-05754 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-03-15/pdf/2016-05754.pdf https://regulations.justia.com/regulations/fedreg/2016/03/15/2016-05753.html Notice - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing of Proposed Rule Change Amending Rule 98 To Provide That When Designated Market Makers Enter Interest for the Purpose of Facilitating the Execution of Customer Orders, Such Orders Would Not Be Required To Be Designated as DMM Interest 2016-03-15T00:00:00-07:00 2016-03-15T00:00:00-07:00 2016-05753 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-03-15/pdf/2016-05753.pdf https://regulations.justia.com/regulations/fedreg/2016/03/15/2016-05752.html Notice - Self-Regulatory Organizations; Chicago Stock Exchange, Inc.; Notice of Filing of Proposed Rule Change To Adopt and Amend Rules To Permit the Exchange To Initiate CHX SNAP SM 2016-03-15T00:00:00-07:00 2016-03-15T00:00:00-07:00 2016-05752 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-03-15/pdf/2016-05752.pdf https://regulations.justia.com/regulations/fedreg/2016/03/15/2016-05751.html Notice - Self-Regulatory Organizations; Bats BZX Exchange, Inc. f/k/a BATS Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Related to Fees for Use of BATS Exchange, Inc. 2016-03-15T00:00:00-07:00 2016-03-15T00:00:00-07:00 2016-05751 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-03-15/pdf/2016-05751.pdf https://regulations.justia.com/regulations/fedreg/2016/03/15/2016-05750.html Notice - Self-Regulatory Organizations; Bats EDGX Exchange, Inc. f/k/a EDGX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Related to Fees as they Apply to the Equity Options Platform. 2016-03-15T00:00:00-07:00 2016-03-15T00:00:00-07:00 2016-05750 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-03-15/pdf/2016-05750.pdf https://regulations.justia.com/regulations/fedreg/2016/03/15/2016-05749.html Notice - Order Granting Limited Exemptions From Exchange Act Rule 10b-17 and Rules 101 and 102 of Regulation M to PowerShares DWA Tactical Multi-Asset Income Portfolio Pursuant to Exchange Act Rule 10b-17(b)(2) and Rules 101(d) and 102(e) of Regulation M 2016-03-15T00:00:00-07:00 2016-03-15T00:00:00-07:00 2016-05749 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-03-15/pdf/2016-05749.pdf https://regulations.justia.com/regulations/fedreg/2016/03/14/2016-05802.html Notice - Sunshine Act Meeting 2016-03-14T00:00:00-07:00 2016-03-14T00:00:00-07:00 2016-05802 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-03-14/pdf/2016-05802.pdf https://regulations.justia.com/regulations/fedreg/2016/03/14/2016-05599.html Notice - Joint Industry Plan; Notice of Filing and Immediate Effectiveness of Amendment to the Options Order Protection and Locked/Crossed Market Plan To Add ISE Mercury LLC, as a Participant 2016-03-14T00:00:00-07:00 2016-03-14T00:00:00-07:00 2016-05599 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-03-14/pdf/2016-05599.pdf https://regulations.justia.com/regulations/fedreg/2016/03/14/2016-05598.html 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 ISE Mercury, LLC as a Plan Sponsor 2016-03-14T00:00:00-07:00 2016-03-14T00:00:00-07:00 2016-05598 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-03-14/pdf/2016-05598.pdf https://regulations.justia.com/regulations/fedreg/2016/03/14/2016-05589.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 ISE Mercury, LLC 2016-03-14T00:00:00-07:00 2016-03-14T00:00:00-07:00 2016-05589 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-03-14/pdf/2016-05589.pdf https://regulations.justia.com/regulations/fedreg/2016/03/14/2016-05588.html Notice - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Designation of a Longer Period for Commission Action on Proposed Rule Change to List and Trade Shares of the First Trust Municipal High Income ETF 2016-03-14T00:00:00-07:00 2016-03-14T00:00:00-07:00 2016-05588 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-03-14/pdf/2016-05588.pdf https://regulations.justia.com/regulations/fedreg/2016/03/14/2016-05587.html Notice - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Filing and Order Granting Accelerated Approval of a Proposed Rule Change Related to Options That Overlie the MSCI EAFE Index and the MSCI Emerging Markets Index 2016-03-14T00:00:00-07:00 2016-03-14T00:00:00-07:00 2016-05587 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-03-14/pdf/2016-05587.pdf https://regulations.justia.com/regulations/fedreg/2016/03/14/2016-05586.html Notice - Self-Regulatory Organizations; Municipal Securities Rulemaking Board; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Consisting of an Amendment to Rule G-33, on Calculations, and an Interpretive Notice 2016-03-14T00:00:00-07:00 2016-03-14T00:00:00-07:00 2016-05586 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-03-14/pdf/2016-05586.pdf https://regulations.justia.com/regulations/fedreg/2016/03/11/C1-2016-03178.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 2016-03-11T00:00:00-08:00 2016-03-11T00:00:00-08:00 C1-2016-03178 Rule https://www.gpo.gov/fdsys/pkg/FR-2016-03-11/pdf/C1-2016-03178.pdf https://regulations.justia.com/regulations/fedreg/2016/03/11/2016-05581.html Rule - Organization; Conduct and Ethics; and Information and Requests 2016-03-11T00:00:00-08:00 2016-03-11T00:00:00-08:00 2016-05581 Rule https://www.gpo.gov/fdsys/pkg/FR-2016-03-11/pdf/2016-05581.pdf https://regulations.justia.com/regulations/fedreg/2016/03/11/2016-05480.html Notice - Pointbreak Advisers LLC, et al.; Notice of Application 2016-03-11T00:00:00-08:00 2016-03-11T00:00:00-08:00 2016-05480 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-03-11/pdf/2016-05480.pdf https://regulations.justia.com/regulations/fedreg/2016/03/11/2016-05442.html Notice - Self-Regulatory Organizations; ICE Clear Europe Limited; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to the Delegation of Authority To Approve Certain Rule and Procedure Amendments 2016-03-11T00:00:00-08:00 2016-03-11T00:00:00-08:00 2016-05442 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-03-11/pdf/2016-05442.pdf https://regulations.justia.com/regulations/fedreg/2016/03/11/2016-05441.html Notice - Self-Regulatory Organizations; Bats BZX Exchange, Inc. f/k/a BATS Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Rule 11.27(b), Compliance With Data Collection Requirements, Relating to the Regulation NMS Plan To Implement a Tick Size Pilot Program 2016-03-11T00:00:00-08:00 2016-03-11T00:00:00-08:00 2016-05441 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-03-11/pdf/2016-05441.pdf https://regulations.justia.com/regulations/fedreg/2016/03/11/2016-05440.html Notice - Self-Regulatory Organizations; The Nasdaq Stock Market LLC; Notice of Filing of Proposed Rule Change To Establish a Secondary Contingency Procedure To Enable the Exchange To Report an Official Closing Price on Behalf of an Impaired Primary Listing Exchange 2016-03-11T00:00:00-08:00 2016-03-11T00:00:00-08:00 2016-05440 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-03-11/pdf/2016-05440.pdf https://regulations.justia.com/regulations/fedreg/2016/03/11/2016-05439.html Notice - Self-Regulatory Organizations; BATS Y-Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Its Rules as Well as Certain Corporate Documents of the Exchange To Reflect a Legal Name Change by BATS Global Markets, Inc. and the Legal Names of Certain Subsidiaries 2016-03-11T00:00:00-08:00 2016-03-11T00:00:00-08:00 2016-05439 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-03-11/pdf/2016-05439.pdf https://regulations.justia.com/regulations/fedreg/2016/03/11/2016-05438.html Notice - Self-Regulatory Organizations; BATS Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Its Rules as Well as Certain Corporate Documents of the Exchange To Reflect a Legal Name Change by BATS Global Markets, Inc. and the Legal Names of Certain Subsidiaries 2016-03-11T00:00:00-08:00 2016-03-11T00:00:00-08:00 2016-05438 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-03-11/pdf/2016-05438.pdf https://regulations.justia.com/regulations/fedreg/2016/03/11/2016-05437.html Notice - Self-Regulatory Organizations; NYSE MKT LLC; Notice of Filing of Proposed Rule Change Amending Rule 123C-Equities To Provide for How the Exchange Would Determine an Official Closing Price if the Exchange Is Unable To Conduct a Closing Transaction 2016-03-11T00:00:00-08:00 2016-03-11T00:00:00-08:00 2016-05437 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-03-11/pdf/2016-05437.pdf https://regulations.justia.com/regulations/fedreg/2016/03/11/2016-05436.html Notice - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing of Proposed Rule Change Amending Rule 123C To Provide for How the Exchange Would Determine an Official Closing Price if the Exchange is Unable To Conduct a Closing Transaction 2016-03-11T00:00:00-08:00 2016-03-11T00:00:00-08:00 2016-05436 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-03-11/pdf/2016-05436.pdf https://regulations.justia.com/regulations/fedreg/2016/03/11/2016-05435.html Notice - Self-Regulatory Organizations; NYSE MKT LLC; Notice of Filing of Proposed Rule Change, as Modified by Amendment No. 1, Establishing Procedures for the Allocation of Cages to Its Co-Located Users, Including the Waiver of Certain Fees, and To Amend the Visitor Security Escort Requirements and Fee 2016-03-11T00:00:00-08:00 2016-03-11T00:00:00-08:00 2016-05435 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-03-11/pdf/2016-05435.pdf https://regulations.justia.com/regulations/fedreg/2016/03/11/2016-05434.html Notice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing of Proposed Rule Change, as Modified by Amendment No. 1, Establishing Procedures for the Allocation of Cages to Its Co-Located Users, Including the Waiver of Certain Fees, and To Amend the Visitor Security Escort Requirements and Fee 2016-03-11T00:00:00-08:00 2016-03-11T00:00:00-08:00 2016-05434 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-03-11/pdf/2016-05434.pdf https://regulations.justia.com/regulations/fedreg/2016/03/11/2016-05433.html Notice - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing of Proposed Rule Change, as Modified by Amendment No. 1, Establishing Procedures for the Allocation of Cages to Its Co-Located Users, Including the Waiver of Certain Fees, and To Amend the Visitor Security Escort Requirements and Fee 2016-03-11T00:00:00-08:00 2016-03-11T00:00:00-08:00 2016-05433 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-03-11/pdf/2016-05433.pdf https://regulations.justia.com/regulations/fedreg/2016/03/11/2016-05432.html 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 iSectors Post-MPT Growth ETF of ETFis Series Trust I 2016-03-11T00:00:00-08:00 2016-03-11T00:00:00-08:00 2016-05432 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-03-11/pdf/2016-05432.pdf https://regulations.justia.com/regulations/fedreg/2016/03/10/2016-05481.html Notice - Sunshine Act Meeting 2016-03-10T00:00:00-08:00 2016-03-10T00:00:00-08:00 2016-05481 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-03-10/pdf/2016-05481.pdf https://regulations.justia.com/regulations/fedreg/2016/03/10/2016-05331.html Notice - Submission for OMB Review; Comment Request 2016-03-10T00:00:00-08:00 2016-03-10T00:00:00-08:00 2016-05331 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-03-10/pdf/2016-05331.pdf https://regulations.justia.com/regulations/fedreg/2016/03/10/2016-05329.html Notice - Submission for OMB Review; Comment Request 2016-03-10T00:00:00-08:00 2016-03-10T00:00:00-08:00 2016-05329 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-03-10/pdf/2016-05329.pdf https://regulations.justia.com/regulations/fedreg/2016/03/10/2016-05328.html Notice - Self-Regulatory Organizations; EDGA Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend its Rules as Well as Certain Corporate Documents of the Exchange To Reflect a Legal Name Change by BATS Global Markets, Inc. and the Legal Names of Certain Subsidiaries 2016-03-10T00:00:00-08:00 2016-03-10T00:00:00-08:00 2016-05328 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-03-10/pdf/2016-05328.pdf https://regulations.justia.com/regulations/fedreg/2016/03/10/2016-05327.html Notice - Self-Regulatory Organizations; EDGX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Reflect a Legal Name Change by BATS Global Markets, Inc. and the Legal Names of Certain Subsidiaries 2016-03-10T00:00:00-08:00 2016-03-10T00:00:00-08:00 2016-05327 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-03-10/pdf/2016-05327.pdf https://regulations.justia.com/regulations/fedreg/2016/03/10/2016-05326.html Notice - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Related to Complex Orders 2016-03-10T00:00:00-08:00 2016-03-10T00:00:00-08:00 2016-05326 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-03-10/pdf/2016-05326.pdf https://regulations.justia.com/regulations/fedreg/2016/03/10/2016-05325.html Notice - Self-Regulatory Organizations; NASDAQ PHLX LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Provisions Related to Options Disputes 2016-03-10T00:00:00-08:00 2016-03-10T00:00:00-08:00 2016-05325 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-03-10/pdf/2016-05325.pdf https://regulations.justia.com/regulations/fedreg/2016/03/10/2016-05324.html Notice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Modify the NYSE Arca Options Fee Schedule Relating to ByRDs Transaction Fees 2016-03-10T00:00:00-08:00 2016-03-10T00:00:00-08:00 2016-05324 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-03-10/pdf/2016-05324.pdf https://regulations.justia.com/regulations/fedreg/2016/03/10/2016-05323.html Notice - Self-Regulatory Organizations; NYSE MKT LLC; Notice of Filing and Immediate Effectiveness of Proposed Change To Modify the NYSE Amex Options Fee Schedule Relating to ByRDs Transaction Fees 2016-03-10T00:00:00-08:00 2016-03-10T00:00:00-08:00 2016-05323 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-03-10/pdf/2016-05323.pdf https://regulations.justia.com/regulations/fedreg/2016/03/10/2016-05322.html Notice - Self-Regulatory Organizations; ISE Mercury, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Establish the Schedule of Fees 2016-03-10T00:00:00-08:00 2016-03-10T00:00:00-08:00 2016-05322 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-03-10/pdf/2016-05322.pdf https://regulations.justia.com/regulations/fedreg/2016/03/09/2016-05330.html Notice - Sunshine Act Meeting 2016-03-09T00:00:00-08:00 2016-03-09T00:00:00-08:00 2016-05330 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-03-09/pdf/2016-05330.pdf https://regulations.justia.com/regulations/fedreg/2016/03/09/2016-05186.html Notice - Amplify ETF Trust and Amplify Investments LLC; Notice of Application 2016-03-09T00:00:00-08:00 2016-03-09T00:00:00-08:00 2016-05186 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-03-09/pdf/2016-05186.pdf https://regulations.justia.com/regulations/fedreg/2016/03/09/2016-05185.html Notice - Self-Regulatory Organizations; BATS Exchange, Inc.; Notice of Filing of Partial Amendment No. 1 and Order Granting Accelerated Approval to a Proposed Rule Change To Adopt BATS Rule 11.27(a) To Implement the Quoting and Trading Requirements of the Regulation NMS Plan To Implement a Tick Size Pilot Program 2016-03-09T00:00:00-08:00 2016-03-09T00:00:00-08:00 2016-05185 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-03-09/pdf/2016-05185.pdf https://regulations.justia.com/regulations/fedreg/2016/03/09/2016-05184.html Notice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Establishing Fees for the NYSE Arca Order Imbalances Data Feed 2016-03-09T00:00:00-08:00 2016-03-09T00:00:00-08:00 2016-05184 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-03-09/pdf/2016-05184.pdf https://regulations.justia.com/regulations/fedreg/2016/03/09/2016-05182.html 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 Nos. 1 and 2, to BATS Rule 14.11(i), Managed Fund Shares, To List and Trade Shares of the REX VolMAXX Long VIX Weekly Futures Strategy ETF and the REX VolMAXX Inverse VIX Weekly Futures Strategy ETF of the Exchange Traded Concepts Trust 2016-03-09T00:00:00-08:00 2016-03-09T00:00:00-08:00 2016-05182 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-03-09/pdf/2016-05182.pdf https://regulations.justia.com/regulations/fedreg/2016/03/09/2016-05181.html Notice - Self-Regulatory Organizations; NASDAQ OMX PHLX LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Access Services Fees Under Chapter VIII of the Pricing Schedule 2016-03-09T00:00:00-08:00 2016-03-09T00:00:00-08:00 2016-05181 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-03-09/pdf/2016-05181.pdf https://regulations.justia.com/regulations/fedreg/2016/03/08/2016-05125.html Notice - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Access Services Fees Under Rule 7015 2016-03-08T00:00:00-08:00 2016-03-08T00:00:00-08:00 2016-05125 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-03-08/pdf/2016-05125.pdf https://regulations.justia.com/regulations/fedreg/2016/03/08/2016-05124.html Notice - Self-Regulatory Organizations; Bats BZX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Rule 11.23, Auctions, To Lengthen the Auction Information Dissemination Periods for the Opening and Closing Auctions in BZX Listed Securities 2016-03-08T00:00:00-08:00 2016-03-08T00:00:00-08:00 2016-05124 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-03-08/pdf/2016-05124.pdf https://regulations.justia.com/regulations/fedreg/2016/03/08/2016-05123.html Notice - Self-Regulatory Organizations; NASDAQ PHLX LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the Pricing Schedule 2016-03-08T00:00:00-08:00 2016-03-08T00:00:00-08:00 2016-05123 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-03-08/pdf/2016-05123.pdf https://regulations.justia.com/regulations/fedreg/2016/03/08/2016-05122.html Notice - Self-Regulatory Organizations; NASDAQ OMX BX, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Access Services Fees under Rule 7015 2016-03-08T00:00:00-08:00 2016-03-08T00:00:00-08:00 2016-05122 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-03-08/pdf/2016-05122.pdf https://regulations.justia.com/regulations/fedreg/2016/03/08/2016-05121.html Notice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Amending the Fees for NYSE Arca Proprietary Market Data as They Apply to Federal Agency Customers 2016-03-08T00:00:00-08:00 2016-03-08T00:00:00-08:00 2016-05121 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-03-08/pdf/2016-05121.pdf https://regulations.justia.com/regulations/fedreg/2016/03/08/2016-05120.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 Proprietary Market Data as They Apply to Federal Agency Customers 2016-03-08T00:00:00-08:00 2016-03-08T00:00:00-08:00 2016-05120 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-03-08/pdf/2016-05120.pdf https://regulations.justia.com/regulations/fedreg/2016/03/08/2016-05119.html Notice - Self-Regulatory Organizations; NYSE MKT LLC; Notice of Filing and Immediate Effectiveness of a Proposed Change Amending the Fees for NYSE MKT Proprietary Market Data as They Apply to Federal Agency Customers 2016-03-08T00:00:00-08:00 2016-03-08T00:00:00-08:00 2016-05119 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-03-08/pdf/2016-05119.pdf https://regulations.justia.com/regulations/fedreg/2016/03/08/2016-05106.html Notice - Crescent Capital BDC Inc., et al.; Notice of Application 2016-03-08T00:00:00-08:00 2016-03-08T00:00:00-08:00 2016-05106 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-03-08/pdf/2016-05106.pdf https://regulations.justia.com/regulations/fedreg/2016/03/08/2016-05105.html Notice - Joint Industry Plan; Notice of Filing and Immediate Effectiveness of Amendment to the Plan To Implement a Tick Size Pilot Program To Add National Stock Exchange, Inc. as a Participant 2016-03-08T00:00:00-08:00 2016-03-08T00:00:00-08:00 2016-05105 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-03-08/pdf/2016-05105.pdf https://regulations.justia.com/regulations/fedreg/2016/03/08/2016-05046.html Notice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change to the NYSE Arca Equities Schedule of Fees and Charges for Exchange Services 2016-03-08T00:00:00-08:00 2016-03-08T00:00:00-08:00 2016-05046 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-03-08/pdf/2016-05046.pdf https://regulations.justia.com/regulations/fedreg/2016/03/08/2016-05045.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 No. 1, Relating to Listing and Trading of Shares of the Cumberland Municipal Bond ETF Under NYSE Arca Equities Rule 8.600; Correction 2016-03-08T00:00:00-08:00 2016-03-08T00:00:00-08:00 2016-05045 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-03-08/pdf/2016-05045.pdf https://regulations.justia.com/regulations/fedreg/2016/03/08/2016-05044.html Notice - Submission for OMB Review; Comment Request 2016-03-08T00:00:00-08:00 2016-03-08T00:00:00-08:00 2016-05044 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-03-08/pdf/2016-05044.pdf https://regulations.justia.com/regulations/fedreg/2016/03/08/2016-05043.html Notice - Apollo Investment Corporation, et al.; Notice of Application 2016-03-08T00:00:00-08:00 2016-03-08T00:00:00-08:00 2016-05043 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-03-08/pdf/2016-05043.pdf https://regulations.justia.com/regulations/fedreg/2016/03/08/2016-05042.html Notice - Submission for OMB Review; Comment Request 2016-03-08T00:00:00-08:00 2016-03-08T00:00:00-08:00 2016-05042 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-03-08/pdf/2016-05042.pdf https://regulations.justia.com/regulations/fedreg/2016/03/08/2016-05041.html Notice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Amending the Fees for NYSE Arca Options Proprietary Market Data as They Apply to Federal Agency Customers 2016-03-08T00:00:00-08:00 2016-03-08T00:00:00-08:00 2016-05041 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-03-08/pdf/2016-05041.pdf https://regulations.justia.com/regulations/fedreg/2016/03/08/2016-05040.html Notice - Self-Regulatory Organizations; NYSE MKT LLC; Notice of Filing and Immediate Effectiveness of a Proposed Change Amending the Fees for NYSE Amex Options Proprietary Market Data as They Apply to Federal Agency Customers 2016-03-08T00:00:00-08:00 2016-03-08T00:00:00-08:00 2016-05040 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-03-08/pdf/2016-05040.pdf https://regulations.justia.com/regulations/fedreg/2016/03/08/2016-05039.html Notice - Ares Management LLC; Notice of Application 2016-03-08T00:00:00-08:00 2016-03-08T00:00:00-08:00 2016-05039 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-03-08/pdf/2016-05039.pdf https://regulations.justia.com/regulations/fedreg/2016/03/07/2016-04913.html Notice - Advisors Asset Management, Inc. and AAM ETF Trust; Notice of Application 2016-03-07T00:00:00-08:00 2016-03-07T00:00:00-08:00 2016-04913 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-03-07/pdf/2016-04913.pdf https://regulations.justia.com/regulations/fedreg/2016/03/07/2016-04912.html Notice - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing of a Proposed Rule Change To Adopt FINRA Rule 4554 (Alternative Trading Systems-Recording and Reporting Requirements of Order and Execution Information for NMS Stocks) 2016-03-07T00:00:00-08:00 2016-03-07T00:00:00-08:00 2016-04912 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-03-07/pdf/2016-04912.pdf https://regulations.justia.com/regulations/fedreg/2016/03/07/2016-04911.html Notice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Exchange Rule 7.21, Obligations of Market Maker Authorized Traders 2016-03-07T00:00:00-08:00 2016-03-07T00:00:00-08:00 2016-04911 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-03-07/pdf/2016-04911.pdf https://regulations.justia.com/regulations/fedreg/2016/03/07/2016-04910.html Notice - Order Granting Exemptions From Certain Provisions of Rule 613 Pursuant to Section 36(a)(1) of the Securities Exchange Act of 1934 2016-03-07T00:00:00-08:00 2016-03-07T00:00:00-08:00 2016-04910 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-03-07/pdf/2016-04910.pdf https://regulations.justia.com/regulations/fedreg/2016/03/07/2016-04909.html Notice - Self-Regulatory Organizations; The Nasdaq Stock Market LLC; Notice of Withdrawal of Proposed Rule Change To Adopt Limit Order Protection and Market Order Protection 2016-03-07T00:00:00-08:00 2016-03-07T00:00:00-08:00 2016-04909 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-03-07/pdf/2016-04909.pdf https://regulations.justia.com/regulations/fedreg/2016/03/07/2016-04908.html Notice - Self-Regulatory Organizations; NASDAQ OMX BX, Inc.; Notice of Withdrawal of Proposed Rule Change To Adopt Limit Order Protection and Market Order Protection 2016-03-07T00:00:00-08:00 2016-03-07T00:00:00-08:00 2016-04908 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-03-07/pdf/2016-04908.pdf https://regulations.justia.com/regulations/fedreg/2016/03/07/2016-04907.html Notice - Self-Regulatory Organizations; NASDAQ OMX PHLX LLC; Notice of Withdrawal of Proposed Rule Change to Adopt Limit Order Protection and Market Order Protection 2016-03-07T00:00:00-08:00 2016-03-07T00:00:00-08:00 2016-04907 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-03-07/pdf/2016-04907.pdf https://regulations.justia.com/regulations/fedreg/2016/03/07/2016-04906.html Notice - Self-Regulatory Organizations; Bats BZX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Related to Fees as They Apply to the Equity Options Platform 2016-03-07T00:00:00-08:00 2016-03-07T00:00:00-08:00 2016-04906 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-03-07/pdf/2016-04906.pdf https://regulations.justia.com/regulations/fedreg/2016/03/04/2016-04794.html Notice - Charles Schwab Investment Management, Inc., et al.; Notice of Application 2016-03-04T00:00:00-08:00 2016-03-04T00:00:00-08:00 2016-04794 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-03-04/pdf/2016-04794.pdf https://regulations.justia.com/regulations/fedreg/2016/03/04/2016-04722.html Notice - CLS Investments, LLC, et al.; Notice of Application 2016-03-04T00:00:00-08:00 2016-03-04T00:00:00-08:00 2016-04722 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-03-04/pdf/2016-04722.pdf https://regulations.justia.com/regulations/fedreg/2016/03/04/2016-04709.html Notice - Self-Regulatory Organizations; NASDAQ BX, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend BX Options Chapter VII, Section 6 2016-03-04T00:00:00-08:00 2016-03-04T00:00:00-08:00 2016-04709 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-03-04/pdf/2016-04709.pdf https://regulations.justia.com/regulations/fedreg/2016/03/04/2016-04708.html Notice - Self-Regulatory Organizations; Miami International Securities Exchange LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the MIAX Options Fee Schedule 2016-03-04T00:00:00-08:00 2016-03-04T00:00:00-08:00 2016-04708 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-03-04/pdf/2016-04708.pdf https://regulations.justia.com/regulations/fedreg/2016/03/03/2016-04792.html Notice - Sunshine Act Meeting 2016-03-03T00:00:00-08:00 2016-03-03T00:00:00-08:00 2016-04792 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-03-03/pdf/2016-04792.pdf https://regulations.justia.com/regulations/fedreg/2016/03/03/2016-04639.html Notice - Notice of Applications for Deregistration Under Section 8(f) of the Investment Company Act of 1940 2016-03-03T00:00:00-08:00 2016-03-03T00:00:00-08:00 2016-04639 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-03-03/pdf/2016-04639.pdf https://regulations.justia.com/regulations/fedreg/2016/03/03/2016-04638.html Notice - Self-Regulatory Organizations; ISE Gemini, LLC; Order Instituting Proceedings To Determine Whether To Approve or Disapprove a Proposed Rule Change To Amend Rule 804(g) 2016-03-03T00:00:00-08:00 2016-03-03T00:00:00-08:00 2016-04638 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-03-03/pdf/2016-04638.pdf https://regulations.justia.com/regulations/fedreg/2016/03/03/2016-04637.html Notice - Self-Regulatory Organizations; International Securities Exchange, LLC; Order Instituting Proceedings To Determine Whether To Approve or Disapprove a Proposed Rule Change To Amend Rule 804(g) 2016-03-03T00:00:00-08:00 2016-03-03T00:00:00-08:00 2016-04637 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-03-03/pdf/2016-04637.pdf https://regulations.justia.com/regulations/fedreg/2016/03/03/2016-04636.html Notice - Self-Regulatory Organizations; NASDAQ OMX PHLX LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Adopt a Kill Switch 2016-03-03T00:00:00-08:00 2016-03-03T00:00:00-08:00 2016-04636 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-03-03/pdf/2016-04636.pdf https://regulations.justia.com/regulations/fedreg/2016/03/03/2016-04635.html Notice - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend FINRA Rule 7620A (FINRA/Nasdaq Trade Reporting Facility Reporting Fees) 2016-03-03T00:00:00-08:00 2016-03-03T00:00:00-08:00 2016-04635 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-03-03/pdf/2016-04635.pdf https://regulations.justia.com/regulations/fedreg/2016/03/03/2016-04634.html Notice - Self-Regulatory Organizations; EDGX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Related to Fees as They Apply to the Equity Options Platform 2016-03-03T00:00:00-08:00 2016-03-03T00:00:00-08:00 2016-04634 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-03-03/pdf/2016-04634.pdf https://regulations.justia.com/regulations/fedreg/2016/03/03/2016-04633.html Notice - Self-Regulatory Organizations; NYSE MKT LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Adopting Investigation, Disciplinary, Sanction, and Other Procedural Rules Modeled on the Rules of the New York Stock Exchange LLC and Certain Conforming and Technical Changes 2016-03-03T00:00:00-08:00 2016-03-03T00:00:00-08:00 2016-04633 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-03-03/pdf/2016-04633.pdf https://regulations.justia.com/regulations/fedreg/2016/03/02/2016-04527.html Notice - Order Granting Limited Exemptions From Exchange Act Section 11(d), Exchange Act Rules 10b-10, 10b-17, and 11d1-2, and Rules 101 and 102 of Regulation M to Eaton Vance ETMF Trust, Eaton Vance NextShares Trust II, Eaton Vance Balanced NextShares, and Other Exchange-Traded Managed Funds Pursuant to Exchange Act Section 36, Exchange Act Rules 10b-10(f) and 10b-17(b)(2), and Rules 101(d) and 102(e) of Regulation M 2016-03-02T00:00:00-08:00 2016-03-02T00:00:00-08:00 2016-04527 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-03-02/pdf/2016-04527.pdf https://regulations.justia.com/regulations/fedreg/2016/03/02/2016-04509.html Notice - PowerShares Exchange-Traded Fund Trust, et al.; Notice of Application 2016-03-02T00:00:00-08:00 2016-03-02T00:00:00-08:00 2016-04509 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-03-02/pdf/2016-04509.pdf https://regulations.justia.com/regulations/fedreg/2016/03/02/2016-04507.html Notice - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Nasdaq Rule 7018 2016-03-02T00:00:00-08:00 2016-03-02T00:00:00-08:00 2016-04507 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-03-02/pdf/2016-04507.pdf https://regulations.justia.com/regulations/fedreg/2016/03/02/2016-04506.html Notice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Rule 7.44P Retail Liquidity Program 2016-03-02T00:00:00-08:00 2016-03-02T00:00:00-08:00 2016-04506 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-03-02/pdf/2016-04506.pdf https://regulations.justia.com/regulations/fedreg/2016/03/02/2016-04505.html Notice - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Order Approving a Proposed Rule Change To Implement Additional Price Protections in the Opening Process 2016-03-02T00:00:00-08:00 2016-03-02T00:00:00-08:00 2016-04505 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-03-02/pdf/2016-04505.pdf https://regulations.justia.com/regulations/fedreg/2016/03/02/2016-04504.html Notice - Self-Regulatory Organizations; ICE Clear Europe Limited; Notice of Filing of a Proposed Rule Change Relating to Additions to Permitted Cover 2016-03-02T00:00:00-08:00 2016-03-02T00:00:00-08:00 2016-04504 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-03-02/pdf/2016-04504.pdf https://regulations.justia.com/regulations/fedreg/2016/03/02/2016-04503.html 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 Alternative Absolute Return Strategy ETF of First Trust Exchange-Traded Fund VII 2016-03-02T00:00:00-08:00 2016-03-02T00:00:00-08:00 2016-04503 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-03-02/pdf/2016-04503.pdf https://regulations.justia.com/regulations/fedreg/2016/03/02/2016-04502.html Notice - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Rule 5745 2016-03-02T00:00:00-08:00 2016-03-02T00:00:00-08:00 2016-04502 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-03-02/pdf/2016-04502.pdf https://regulations.justia.com/regulations/fedreg/2016/03/02/2016-04501.html Notice - Self-Regulatory Organizations; ISE Gemini, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Correct the Text of ISE Gemini Rule 306 2016-03-02T00:00:00-08:00 2016-03-02T00:00:00-08:00 2016-04501 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-03-02/pdf/2016-04501.pdf https://regulations.justia.com/regulations/fedreg/2016/03/02/2016-04500.html Notice - Self-Regulatory Organizations; BOX Options Exchange LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Make Non-Controversial and Clerical Amendments to Its Rules 2016-03-02T00:00:00-08:00 2016-03-02T00:00:00-08:00 2016-04500 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-03-02/pdf/2016-04500.pdf https://regulations.justia.com/regulations/fedreg/2016/03/02/2016-03874.html Proposed Rule - Covered Broker-Dealer Provisions Under Title II of the Dodd-Frank Wall Street Reform and Consumer Protection Act 2016-03-02T00:00:00-08:00 2016-03-02T00:00:00-08:00 2016-03874 Proposed Rule https://www.gpo.gov/fdsys/pkg/FR-2016-03-02/pdf/2016-03874.pdf https://regulations.justia.com/regulations/fedreg/2016/03/01/2016-04528.html Notice - Sunshine Act Meeting 2016-03-01T00:00:00-08:00 2016-03-01T00:00:00-08:00 2016-04528 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-03-01/pdf/2016-04528.pdf https://regulations.justia.com/regulations/fedreg/2016/03/01/2016-04441.html Notice - Submission for OMB Review; Comment Request 2016-03-01T00:00:00-08:00 2016-03-01T00:00:00-08:00 2016-04441 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-03-01/pdf/2016-04441.pdf https://regulations.justia.com/regulations/fedreg/2016/03/01/2016-04440.html Notice - Submission for OMB Review; Comment Request 2016-03-01T00:00:00-08:00 2016-03-01T00:00:00-08:00 2016-04440 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-03-01/pdf/2016-04440.pdf https://regulations.justia.com/regulations/fedreg/2016/03/01/2016-04359.html Notice - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing of Proposed Rule Change To Amend Rules 4702 and 4703 2016-03-01T00:00:00-08:00 2016-03-01T00:00:00-08:00 2016-04359 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-03-01/pdf/2016-04359.pdf https://regulations.justia.com/regulations/fedreg/2016/03/01/2016-04357.html Notice - Self-Regulatory Organizations; NASDAQ PHLX LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Section II of the Exchange's Pricing Schedule 2016-03-01T00:00:00-08:00 2016-03-01T00:00:00-08:00 2016-04357 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-03-01/pdf/2016-04357.pdf