Securities and Exchange Commission May 26, 2016 – Federal Register Recent Federal Regulation Documents

Results 1 - 10 of 10
Retail Foreign Exchange Transactions
Document Number: 2016-12390
Type: Rule
Date: 2016-05-26
Agency: Securities and Exchange Commission, Agencies and Commissions
Rule 15b12-1, by its terms, will expire and no longer be effective on July 31, 2016. Interested persons should be aware that as of that date, any broker or dealer, including a broker or dealer that is also dually registered as a futures commission merchant (``BD/ FCM''), shall be prohibited under the Commodity Exchange Act (``CEA'') from offering or entering into a transaction described in the CEA with a person who is not an eligible contract participant (``retail forex transaction'').
https://regulations.justia.com/regulations/fedreg/2016/05/26/2016-12390.html
Self-Regulatory Organizations; ISE Gemini, LLC; Order Approving Proposed Rule Change Related to Market Wide Risk Protection
Document Number: 2016-12389
Type: Notice
Date: 2016-05-26
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2016/05/26/2016-12389.html
Self-Regulatory Organizations; New York Stock Exchange LLC; Order Approving Proposed Rule Change, as Modified by Amendment No. 1 Thereto, To Add Additional Order Types to the NYSE BondsSM
Document Number: 2016-12388
Type: Notice
Date: 2016-05-26
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2016/05/26/2016-12388.html
Self-Regulatory Organizations; The Nasdaq Stock Market LLC; Notice of Designation of a Longer Period for Commission Action on Proposed Rule Change To Require Listed Companies to Publicly Disclose Compensation or Other Payments by Third Parties to Board of Director's Members or Nominees
Document Number: 2016-12387
Type: Notice
Date: 2016-05-26
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2016/05/26/2016-12387.html
Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Options Pricing at Chapter XV, Section 2
Document Number: 2016-12386
Type: Notice
Date: 2016-05-26
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2016/05/26/2016-12386.html
Self-Regulatory Organizations; BOX Options Exchange LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend BOX Rule 12140 (Imposition of Fines for Minor Rule Violations) To Amend the Sanctions for Quotation Parameters and Permit the Aggregation of Violations for the Purpose of Determining What Is an Occurrence
Document Number: 2016-12385
Type: Notice
Date: 2016-05-26
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2016/05/26/2016-12385.html
Self-Regulatory Organizations; International Securities Exchange, LLC; Order Approving Proposed Rule Change Related to Market Wide Risk Protection
Document Number: 2016-12384
Type: Notice
Date: 2016-05-26
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2016/05/26/2016-12384.html
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, as Modified by Amendment No. 4 Thereto, Amending NYSE Arca Equities Rule 8.600 To Adopt Generic Listing Standards for Managed Fund Shares
Document Number: 2016-12383
Type: Notice
Date: 2016-05-26
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2016/05/26/2016-12383.html
Self-Regulatory Organizations; BATS Exchange, Inc.; Notice of Designation of a Longer Period for Commission Action on Proceedings To Determine Whether To Approve or Disapprove a Proposed Rule Change, as Modified by Amendments Nos. 1, 3, and 4 Thereto, To Amend BATS Rule 14.11(i) To Adopt Generic Listing Standards for Managed Fund Shares
Document Number: 2016-12382
Type: Notice
Date: 2016-05-26
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2016/05/26/2016-12382.html
Investor Advisory Committee Meeting
Document Number: 2016-12231
Type: Notice
Date: 2016-05-26
Agency: Securities and Exchange Commission, Agencies and Commissions
The Securities and Exchange Commission Investor Advisory Committee, established pursuant to Section 911 of the Dodd-Frank Wall Street Reform and Consumer Protection Act of 2010, is providing notice that it will hold a telephonic meeting on Tuesday, June 7, 2016. The meeting will begin at 11:00 a.m. (ET) and conclude at 12:30 p.m. and will be open to the public via telephone at 1-888-240-3210, participant code 7250901. The public is invited to submit written statements to the Committee.
https://regulations.justia.com/regulations/fedreg/2016/05/26/2016-12231.html
This site is protected by reCAPTCHA and the Google Privacy Policy and Terms of Service apply.