Federal Register Recent Federal Regulation Documents - Justia Regulation Tracker - Justia Regulations Trackerhttps://regulations.justia.com/regulations/fedreg/agencies/securities-and-exchange-commission/2016/05?limit=200®isters=between&min-day=1&max-day=31&mode=atom2024-04-25T05:49:48-07:00Justia Inchttps://www.justia.com/Justia Regulations Trackerhttps://regulations.justia.com/images/justiafedregulations.gifCopyright 2011 Justia Inchttps://regulations.justia.com/regulations/fedreg/2016/05/31/2016-12676.htmlNotice - Submission for OMB Review; Comment Request2016-05-31T00:00:00-07:002016-05-31T00:00:00-07:002016-12676Noticehttps://www.gpo.gov/fdsys/pkg/FR-2016-05-31/pdf/2016-12676.pdfhttps://regulations.justia.com/regulations/fedreg/2016/05/31/2016-12675.htmlNotice - Submission for OMB Review; Comment Request2016-05-31T00:00:00-07:002016-05-31T00:00:00-07:002016-12675Noticehttps://www.gpo.gov/fdsys/pkg/FR-2016-05-31/pdf/2016-12675.pdfhttps://regulations.justia.com/regulations/fedreg/2016/05/31/2016-12674.htmlNotice - Submission for OMB Review; Comment Request2016-05-31T00:00:00-07:002016-05-31T00:00:00-07:002016-12674Noticehttps://www.gpo.gov/fdsys/pkg/FR-2016-05-31/pdf/2016-12674.pdfhttps://regulations.justia.com/regulations/fedreg/2016/05/31/2016-12673.htmlNotice - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing of Proposed Rule Change Removing From Its Rules Certain Internal Procedures Regarding the Use of Fine Income2016-05-31T00:00:00-07:002016-05-31T00:00:00-07:002016-12673Noticehttps://www.gpo.gov/fdsys/pkg/FR-2016-05-31/pdf/2016-12673.pdfhttps://regulations.justia.com/regulations/fedreg/2016/05/31/2016-12672.htmlNotice - Self-Regulatory Organizations; NYSE Arca, Inc.; Order Approving Proposed Rule Change, as Modified by Amendment No. 1 Thereto, Amending Section 4.01(a) of the NYSE Arca's Bylaws and NYSE Arca Rule 3.3 to Establish a Committee for Review as a Sub-Committee of the ROC and Making Conforming Changes to NYSE Arca Rules2016-05-31T00:00:00-07:002016-05-31T00:00:00-07:002016-12672Noticehttps://www.gpo.gov/fdsys/pkg/FR-2016-05-31/pdf/2016-12672.pdfhttps://regulations.justia.com/regulations/fedreg/2016/05/31/2016-12671.htmlNotice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Rule 6.43 Regarding Definition of Floor Broker2016-05-31T00:00:00-07:002016-05-31T00:00:00-07:002016-12671Noticehttps://www.gpo.gov/fdsys/pkg/FR-2016-05-31/pdf/2016-12671.pdfhttps://regulations.justia.com/regulations/fedreg/2016/05/31/2016-12670.htmlNotice - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing of Proposed Rule Change, as Modified by Amendment No. 1 Thereto, Relating to the Listing and Trading of the Shares of the First Trust CEF Income Opportunity ETF and the First Trust Municipal CEF Income Opportunity ETF of First Trust Exchange-Traded Fund VIII2016-05-31T00:00:00-07:002016-05-31T00:00:00-07:002016-12670Noticehttps://www.gpo.gov/fdsys/pkg/FR-2016-05-31/pdf/2016-12670.pdfhttps://regulations.justia.com/regulations/fedreg/2016/05/31/2016-12669.htmlNotice - Self-Regulatory Organizations; NASDAQ BX, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Options Pricing at Chapter XV, Section 22016-05-31T00:00:00-07:002016-05-31T00:00:00-07:002016-12669Noticehttps://www.gpo.gov/fdsys/pkg/FR-2016-05-31/pdf/2016-12669.pdfhttps://regulations.justia.com/regulations/fedreg/2016/05/31/2016-12668.htmlNotice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing of Proposed Rule Change Regarding Use of Rule 144A Securities by the Fidelity Corporate Bond ETF, Fidelity Investment Grade Bond ETF, Fidelity Limited Term Bond ETF, and Fidelity Total Bond ETF2016-05-31T00:00:00-07:002016-05-31T00:00:00-07:002016-12668Noticehttps://www.gpo.gov/fdsys/pkg/FR-2016-05-31/pdf/2016-12668.pdfhttps://regulations.justia.com/regulations/fedreg/2016/05/31/2016-12667.htmlNotice - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing of Proposed Rule Change, as Modified by Amendment No. 1 Thereto, Relating to the Listing and Trading of the Shares of the Amplify Dow Theory Forecasts Buy List ETF of Amplify ETF Trust2016-05-31T00:00:00-07:002016-05-31T00:00:00-07:002016-12667Noticehttps://www.gpo.gov/fdsys/pkg/FR-2016-05-31/pdf/2016-12667.pdfhttps://regulations.justia.com/regulations/fedreg/2016/05/31/2016-12666.htmlNotice - Self-Regulatory Organizations; Bats EDGA Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Change to the Market Data Section of its Fee Schedule2016-05-31T00:00:00-07:002016-05-31T00:00:00-07:002016-12666Noticehttps://www.gpo.gov/fdsys/pkg/FR-2016-05-31/pdf/2016-12666.pdfhttps://regulations.justia.com/regulations/fedreg/2016/05/31/2016-12665.htmlNotice - Self-Regulatory Organizations; Bats EDGX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Change to the Market Data Section of Its Fee Schedule2016-05-31T00:00:00-07:002016-05-31T00:00:00-07:002016-12665Noticehttps://www.gpo.gov/fdsys/pkg/FR-2016-05-31/pdf/2016-12665.pdfhttps://regulations.justia.com/regulations/fedreg/2016/05/27/2016-12515.htmlNotice - Self-Regulatory Organizations; Bats BYX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Change to the Market Data Section of Its Fee Schedule2016-05-27T00:00:00-07:002016-05-27T00:00:00-07:002016-12515Noticehttps://www.gpo.gov/fdsys/pkg/FR-2016-05-27/pdf/2016-12515.pdfhttps://regulations.justia.com/regulations/fedreg/2016/05/27/2016-12512.htmlNotice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending the NYSE Arca Options Fee Schedule2016-05-27T00:00:00-07:002016-05-27T00:00:00-07:002016-12512Noticehttps://www.gpo.gov/fdsys/pkg/FR-2016-05-27/pdf/2016-12512.pdfhttps://regulations.justia.com/regulations/fedreg/2016/05/27/2016-12511.htmlNotice - 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 Platform2016-05-27T00:00:00-07:002016-05-27T00:00:00-07:002016-12511Noticehttps://www.gpo.gov/fdsys/pkg/FR-2016-05-27/pdf/2016-12511.pdfhttps://regulations.justia.com/regulations/fedreg/2016/05/27/2016-12510.htmlNotice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending the Exchange's Schedule of Fees and Charges To Eliminate the Listing Fee in Connection With Exchange Listing of Certain Exchange Traded Products2016-05-27T00:00:00-07:002016-05-27T00:00:00-07:002016-12510Noticehttps://www.gpo.gov/fdsys/pkg/FR-2016-05-27/pdf/2016-12510.pdfhttps://regulations.justia.com/regulations/fedreg/2016/05/26/2016-12390.htmlRule - Retail Foreign Exchange Transactions2016-05-26T00:00:00-07:002016-05-26T00:00:00-07:002016-12390Rulehttps://www.gpo.gov/fdsys/pkg/FR-2016-05-26/pdf/2016-12390.pdfhttps://regulations.justia.com/regulations/fedreg/2016/05/26/2016-12389.htmlNotice - Self-Regulatory Organizations; ISE Gemini, LLC; Order Approving Proposed Rule Change Related to Market Wide Risk Protection2016-05-26T00:00:00-07:002016-05-26T00:00:00-07:002016-12389Noticehttps://www.gpo.gov/fdsys/pkg/FR-2016-05-26/pdf/2016-12389.pdfhttps://regulations.justia.com/regulations/fedreg/2016/05/26/2016-12388.htmlNotice - 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 BondsSM2016-05-26T00:00:00-07:002016-05-26T00:00:00-07:002016-12388Noticehttps://www.gpo.gov/fdsys/pkg/FR-2016-05-26/pdf/2016-12388.pdfhttps://regulations.justia.com/regulations/fedreg/2016/05/26/2016-12387.htmlNotice - 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 Nominees2016-05-26T00:00:00-07:002016-05-26T00:00:00-07:002016-12387Noticehttps://www.gpo.gov/fdsys/pkg/FR-2016-05-26/pdf/2016-12387.pdfhttps://regulations.justia.com/regulations/fedreg/2016/05/26/2016-12386.htmlNotice - 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 22016-05-26T00:00:00-07:002016-05-26T00:00:00-07:002016-12386Noticehttps://www.gpo.gov/fdsys/pkg/FR-2016-05-26/pdf/2016-12386.pdfhttps://regulations.justia.com/regulations/fedreg/2016/05/26/2016-12385.htmlNotice - 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 Occurrence2016-05-26T00:00:00-07:002016-05-26T00:00:00-07:002016-12385Noticehttps://www.gpo.gov/fdsys/pkg/FR-2016-05-26/pdf/2016-12385.pdfhttps://regulations.justia.com/regulations/fedreg/2016/05/26/2016-12384.htmlNotice - Self-Regulatory Organizations; International Securities Exchange, LLC; Order Approving Proposed Rule Change Related to Market Wide Risk Protection2016-05-26T00:00:00-07:002016-05-26T00:00:00-07:002016-12384Noticehttps://www.gpo.gov/fdsys/pkg/FR-2016-05-26/pdf/2016-12384.pdfhttps://regulations.justia.com/regulations/fedreg/2016/05/26/2016-12383.htmlNotice - 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 Shares2016-05-26T00:00:00-07:002016-05-26T00:00:00-07:002016-12383Noticehttps://www.gpo.gov/fdsys/pkg/FR-2016-05-26/pdf/2016-12383.pdfhttps://regulations.justia.com/regulations/fedreg/2016/05/26/2016-12382.htmlNotice - 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 Shares2016-05-26T00:00:00-07:002016-05-26T00:00:00-07:002016-12382Noticehttps://www.gpo.gov/fdsys/pkg/FR-2016-05-26/pdf/2016-12382.pdfhttps://regulations.justia.com/regulations/fedreg/2016/05/26/2016-12231.htmlNotice - Investor Advisory Committee Meeting2016-05-26T00:00:00-07:002016-05-26T00:00:00-07:002016-12231Noticehttps://www.gpo.gov/fdsys/pkg/FR-2016-05-26/pdf/2016-12231.pdfhttps://regulations.justia.com/regulations/fedreg/2016/05/25/2016-12396.htmlNotice - Self-Regulatory Organizations; Miami International Securities Exchange LLC; Order Granting Approval of Proposed Rule Change to Amend the Exchange's Amended and Restated By-Laws Relating to the Removal of a Board Restriction2016-05-25T00:00:00-07:002016-05-25T00:00:00-07:002016-12396Noticehttps://www.gpo.gov/fdsys/pkg/FR-2016-05-25/pdf/2016-12396.pdfhttps://regulations.justia.com/regulations/fedreg/2016/05/25/2016-12242.htmlNotice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing of Proposed Rule Change Relating to the Listing and Trading of Shares of the Natixis Seeyond International Minimum Volatility ETF Under NYSE Arca Equities Rule 8.6002016-05-25T00:00:00-07:002016-05-25T00:00:00-07:002016-12242Noticehttps://www.gpo.gov/fdsys/pkg/FR-2016-05-25/pdf/2016-12242.pdfhttps://regulations.justia.com/regulations/fedreg/2016/05/25/2016-12241.htmlNotice - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending NYSE Rule 13 and Related Rules Regarding Market Orders2016-05-25T00:00:00-07:002016-05-25T00:00:00-07:002016-12241Noticehttps://www.gpo.gov/fdsys/pkg/FR-2016-05-25/pdf/2016-12241.pdfhttps://regulations.justia.com/regulations/fedreg/2016/05/25/2016-12240.htmlNotice - Self-Regulatory Organizations; NYSE MKT LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Rule 13-Equities and Related Rules Regarding Market Orders2016-05-25T00:00:00-07:002016-05-25T00:00:00-07:002016-12240Noticehttps://www.gpo.gov/fdsys/pkg/FR-2016-05-25/pdf/2016-12240.pdfhttps://regulations.justia.com/regulations/fedreg/2016/05/25/2016-12239.htmlNotice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Reflecting a Change to the Means of Achieving the Investment Objective With Respect to the AdvisorShares EquityPro ETF2016-05-25T00:00:00-07:002016-05-25T00:00:00-07:002016-12239Noticehttps://www.gpo.gov/fdsys/pkg/FR-2016-05-25/pdf/2016-12239.pdfhttps://regulations.justia.com/regulations/fedreg/2016/05/25/2016-12238.htmlNotice - Self-Regulatory Organizations; Municipal Securities Rulemaking Board; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Consisting of Amendments to the MSRB's Amended and Restated Articles of Incorporation2016-05-25T00:00:00-07:002016-05-25T00:00:00-07:002016-12238Noticehttps://www.gpo.gov/fdsys/pkg/FR-2016-05-25/pdf/2016-12238.pdfhttps://regulations.justia.com/regulations/fedreg/2016/05/25/2016-12237.htmlNotice - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend and Clarify Closed-End Funds Annual Fees2016-05-25T00:00:00-07:002016-05-25T00:00:00-07:002016-12237Noticehttps://www.gpo.gov/fdsys/pkg/FR-2016-05-25/pdf/2016-12237.pdfhttps://regulations.justia.com/regulations/fedreg/2016/05/25/2016-12236.htmlNotice - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing of Proposed Rule Change Relating To Listing and Trading of Shares of the First Trust Equity Market Neutral ETF of the First Trust Exchange-Traded Fund VIII2016-05-25T00:00:00-07:002016-05-25T00:00:00-07:002016-12236Noticehttps://www.gpo.gov/fdsys/pkg/FR-2016-05-25/pdf/2016-12236.pdfhttps://regulations.justia.com/regulations/fedreg/2016/05/25/2016-12235.htmlNotice - Self-Regulatory Organizations; Miami International Securities Exchange LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Exchange Rule 100 Concerning Professional Customers2016-05-25T00:00:00-07:002016-05-25T00:00:00-07:002016-12235Noticehttps://www.gpo.gov/fdsys/pkg/FR-2016-05-25/pdf/2016-12235.pdfhttps://regulations.justia.com/regulations/fedreg/2016/05/24/2016-12291.htmlNotice - Sunshine Act Meeting2016-05-24T00:00:00-07:002016-05-24T00:00:00-07:002016-12291Noticehttps://www.gpo.gov/fdsys/pkg/FR-2016-05-24/pdf/2016-12291.pdfhttps://regulations.justia.com/regulations/fedreg/2016/05/24/2016-12290.htmlNotice - In the Matter of NuTech Energy Resources, Inc.; Order of Suspension of Trading2016-05-24T00:00:00-07:002016-05-24T00:00:00-07:002016-12290Noticehttps://www.gpo.gov/fdsys/pkg/FR-2016-05-24/pdf/2016-12290.pdfhttps://regulations.justia.com/regulations/fedreg/2016/05/24/2016-12289.htmlNotice - In the Matter of Dragon Bright Mintai Botanical Technology Cayman Ltd., JinZangHuang Tibet Pharmaceuticals, Inc., and Macau Resources Group Ltd.; Order of Suspension of Trading2016-05-24T00:00:00-07:002016-05-24T00:00:00-07:002016-12289Noticehttps://www.gpo.gov/fdsys/pkg/FR-2016-05-24/pdf/2016-12289.pdfhttps://regulations.justia.com/regulations/fedreg/2016/05/24/2016-12288.htmlNotice - In the Matter of Bodisen Biotech, Inc., China Global Media, Inc., China Heli Resource Renewable, Inc., and GFR Pharmaceuticals, Inc.; Order of Suspension of Trading2016-05-24T00:00:00-07:002016-05-24T00:00:00-07:002016-12288Noticehttps://www.gpo.gov/fdsys/pkg/FR-2016-05-24/pdf/2016-12288.pdfhttps://regulations.justia.com/regulations/fedreg/2016/05/24/2016-12167.htmlProposed Rule - Performance-Based Investment Advisory Fees2016-05-24T00:00:00-07:002016-05-24T00:00:00-07:002016-12167Proposed Rulehttps://www.gpo.gov/fdsys/pkg/FR-2016-05-24/pdf/2016-12167.pdfhttps://regulations.justia.com/regulations/fedreg/2016/05/24/2016-12166.htmlRule - Business Conduct Standards for Security-Based Swap Dealers and Major Security-Based Swap Participants; Correction2016-05-24T00:00:00-07:002016-05-24T00:00:00-07:002016-12166Rulehttps://www.gpo.gov/fdsys/pkg/FR-2016-05-24/pdf/2016-12166.pdfhttps://regulations.justia.com/regulations/fedreg/2016/05/24/2016-12116.htmlNotice - Proposed Collection; Comment Request2016-05-24T00:00:00-07:002016-05-24T00:00:00-07:002016-12116Noticehttps://www.gpo.gov/fdsys/pkg/FR-2016-05-24/pdf/2016-12116.pdfhttps://regulations.justia.com/regulations/fedreg/2016/05/24/2016-12115.htmlNotice - Submission for OMB Review; Comment Request2016-05-24T00:00:00-07:002016-05-24T00:00:00-07:002016-12115Noticehttps://www.gpo.gov/fdsys/pkg/FR-2016-05-24/pdf/2016-12115.pdfhttps://regulations.justia.com/regulations/fedreg/2016/05/23/2016-12028.htmlNotice - 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, 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 Trust2016-05-23T00:00:00-07:002016-05-23T00:00:00-07:002016-12028Noticehttps://www.gpo.gov/fdsys/pkg/FR-2016-05-23/pdf/2016-12028.pdfhttps://regulations.justia.com/regulations/fedreg/2016/05/23/2016-12017.htmlNotice - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing of Amendment No. 5 to Proposed Rule Change Adopting Initial and Continued Listing Standards for the Listing of Equity Investment Tracking Stocks and Adopting Listing Fees Specific to Equity Investment Tracking Stocks2016-05-23T00:00:00-07:002016-05-23T00:00:00-07:002016-12017Noticehttps://www.gpo.gov/fdsys/pkg/FR-2016-05-23/pdf/2016-12017.pdfhttps://regulations.justia.com/regulations/fedreg/2016/05/23/2016-12016.htmlNotice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing of Proposed Rule Change Relating to a Change to the Underlying Index for the PowerShares Build America Bond Portfolio2016-05-23T00:00:00-07:002016-05-23T00:00:00-07:002016-12016Noticehttps://www.gpo.gov/fdsys/pkg/FR-2016-05-23/pdf/2016-12016.pdfhttps://regulations.justia.com/regulations/fedreg/2016/05/23/2016-12014.htmlNotice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing of Proposed Rule Change, as Modified by Amendment No. 1 Thereto, Relating to the Listing and Trading of Shares of the AdvisorShares KIM Korea Equity ETF2016-05-23T00:00:00-07:002016-05-23T00:00:00-07:002016-12014Noticehttps://www.gpo.gov/fdsys/pkg/FR-2016-05-23/pdf/2016-12014.pdfhttps://regulations.justia.com/regulations/fedreg/2016/05/23/2016-12013.htmlNotice - Self-Regulatory Organizations; Bats BZX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Rules 15.1(a) and (c) in Order To Implement a Tape B Quoting Tier2016-05-23T00:00:00-07:002016-05-23T00:00:00-07:002016-12013Noticehttps://www.gpo.gov/fdsys/pkg/FR-2016-05-23/pdf/2016-12013.pdfhttps://regulations.justia.com/regulations/fedreg/2016/05/23/2016-12012.htmlNotice - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing of a Proposed Rule Change Amending Rule 12904 (Awards) of the Code of Arbitration Procedure for Customer Disputes and Rule 13904 (Awards) of the Code of Arbitration Procedure for Industry Disputes To Permit Award Offsets in Arbitration2016-05-23T00:00:00-07:002016-05-23T00:00:00-07:002016-12012Noticehttps://www.gpo.gov/fdsys/pkg/FR-2016-05-23/pdf/2016-12012.pdfhttps://regulations.justia.com/regulations/fedreg/2016/05/20/2016-12015.htmlNotice - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Order Approving Proposed Rule Change, as Modified by Amendment No. 2 Thereto, Relating to AIM Retained Orders2016-05-20T00:00:00-07:002016-05-20T00:00:00-07:002016-12015Noticehttps://www.gpo.gov/fdsys/pkg/FR-2016-05-20/pdf/2016-12015.pdfhttps://regulations.justia.com/regulations/fedreg/2016/05/20/2016-11958.htmlNotice - Proposed Collection; Comment Request2016-05-20T00:00:00-07:002016-05-20T00:00:00-07:002016-11958Noticehttps://www.gpo.gov/fdsys/pkg/FR-2016-05-20/pdf/2016-11958.pdfhttps://regulations.justia.com/regulations/fedreg/2016/05/20/2016-11884.htmlNotice - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Adopting New NYSE Rules 2090 (Know Your Customer) and 2111 (Suitability) That Are Substantially Similar to FINRA Rules 2090 and 2111 and Deleting Current Rule 405 and the Related NYSE Rule Interpretation To Harmonize Its Rules With Certain Financial Industry Regulatory Authority, Inc. Rules2016-05-20T00:00:00-07:002016-05-20T00:00:00-07:002016-11884Noticehttps://www.gpo.gov/fdsys/pkg/FR-2016-05-20/pdf/2016-11884.pdfhttps://regulations.justia.com/regulations/fedreg/2016/05/20/2016-11881.htmlNotice - Self-Regulatory Organizations; ISE Mercury, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the Schedule of Fees2016-05-20T00:00:00-07:002016-05-20T00:00:00-07:002016-11881Noticehttps://www.gpo.gov/fdsys/pkg/FR-2016-05-20/pdf/2016-11881.pdfhttps://regulations.justia.com/regulations/fedreg/2016/05/20/2016-11880.htmlNotice - Self-Regulatory Organizations; Fixed Income Clearing Corporation; Notice of Filing To Suspend the Interbank Service of the GCF Repo® Service2016-05-20T00:00:00-07:002016-05-20T00:00:00-07:002016-11880Noticehttps://www.gpo.gov/fdsys/pkg/FR-2016-05-20/pdf/2016-11880.pdfhttps://regulations.justia.com/regulations/fedreg/2016/05/20/2016-11879.htmlNotice - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Nasdaq Rule 47032016-05-20T00:00:00-07:002016-05-20T00:00:00-07:002016-11879Noticehttps://www.gpo.gov/fdsys/pkg/FR-2016-05-20/pdf/2016-11879.pdfhttps://regulations.justia.com/regulations/fedreg/2016/05/20/2016-11878.htmlNotice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the Definition of Professional Customer in Rule 6.1A(a)(4A)2016-05-20T00:00:00-07:002016-05-20T00:00:00-07:002016-11878Noticehttps://www.gpo.gov/fdsys/pkg/FR-2016-05-20/pdf/2016-11878.pdfhttps://regulations.justia.com/regulations/fedreg/2016/05/20/2016-11877.htmlNotice - Self-Regulatory Organizations; NYSE MKT LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the Definition of Professional Customer in Rule 900.2NY(18A)2016-05-20T00:00:00-07:002016-05-20T00:00:00-07:002016-11877Noticehttps://www.gpo.gov/fdsys/pkg/FR-2016-05-20/pdf/2016-11877.pdfhttps://regulations.justia.com/regulations/fedreg/2016/05/20/2016-11876.htmlNotice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the NYSE Arca Options Fee Schedule2016-05-20T00:00:00-07:002016-05-20T00:00:00-07:002016-11876Noticehttps://www.gpo.gov/fdsys/pkg/FR-2016-05-20/pdf/2016-11876.pdfhttps://regulations.justia.com/regulations/fedreg/2016/05/20/2016-11875.htmlNotice - Submission for OMB Review; Comment Request2016-05-20T00:00:00-07:002016-05-20T00:00:00-07:002016-11875Noticehttps://www.gpo.gov/fdsys/pkg/FR-2016-05-20/pdf/2016-11875.pdfhttps://regulations.justia.com/regulations/fedreg/2016/05/20/2016-11874.htmlNotice - Submission for OMB Review; Comment Request2016-05-20T00:00:00-07:002016-05-20T00:00:00-07:002016-11874Noticehttps://www.gpo.gov/fdsys/pkg/FR-2016-05-20/pdf/2016-11874.pdfhttps://regulations.justia.com/regulations/fedreg/2016/05/20/2016-11873.htmlNotice - Nationwide Mutual Funds, et al.; Notice of Application2016-05-20T00:00:00-07:002016-05-20T00:00:00-07:002016-11873Noticehttps://www.gpo.gov/fdsys/pkg/FR-2016-05-20/pdf/2016-11873.pdfhttps://regulations.justia.com/regulations/fedreg/2016/05/20/2016-11872.htmlNotice - Proposed Collection; Comment Request2016-05-20T00:00:00-07:002016-05-20T00:00:00-07:002016-11872Noticehttps://www.gpo.gov/fdsys/pkg/FR-2016-05-20/pdf/2016-11872.pdfhttps://regulations.justia.com/regulations/fedreg/2016/05/20/2016-11871.htmlNotice - Proposed Collection; Comment Request2016-05-20T00:00:00-07:002016-05-20T00:00:00-07:002016-11871Noticehttps://www.gpo.gov/fdsys/pkg/FR-2016-05-20/pdf/2016-11871.pdfhttps://regulations.justia.com/regulations/fedreg/2016/05/19/2016-11764.htmlRule - Adoption of Updated EDGAR Filer Manual2016-05-19T00:00:00-07:002016-05-19T00:00:00-07:002016-11764Rulehttps://www.gpo.gov/fdsys/pkg/FR-2016-05-19/pdf/2016-11764.pdfhttps://regulations.justia.com/regulations/fedreg/2016/05/19/2016-11761.htmlNotice - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Withdrawal of Proposed Rule Change To Amend Rules 4702 and 47032016-05-19T00:00:00-07:002016-05-19T00:00:00-07:002016-11761Noticehttps://www.gpo.gov/fdsys/pkg/FR-2016-05-19/pdf/2016-11761.pdfhttps://regulations.justia.com/regulations/fedreg/2016/05/19/2016-11760.htmlNotice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Changes to Procedures Regarding Establishing the LBMA Silver Price2016-05-19T00:00:00-07:002016-05-19T00:00:00-07:002016-11760Noticehttps://www.gpo.gov/fdsys/pkg/FR-2016-05-19/pdf/2016-11760.pdfhttps://regulations.justia.com/regulations/fedreg/2016/05/19/2016-11759.htmlNotice - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Designation of a Longer Period for Commission Action on a Proposed Rule Change, as Modified by Amendment No. 2, Relating to Pre-Opening Indications and Opening Procedures2016-05-19T00:00:00-07:002016-05-19T00:00:00-07:002016-11759Noticehttps://www.gpo.gov/fdsys/pkg/FR-2016-05-19/pdf/2016-11759.pdfhttps://regulations.justia.com/regulations/fedreg/2016/05/18/2016-11652.htmlNotice - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to Split-Price Priority2016-05-18T00:00:00-07:002016-05-18T00:00:00-07:002016-11652Noticehttps://www.gpo.gov/fdsys/pkg/FR-2016-05-18/pdf/2016-11652.pdfhttps://regulations.justia.com/regulations/fedreg/2016/05/18/2016-11651.htmlNotice - Self-Regulatory Organizations; Miami International Securities Exchange LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Exchange Rule 612, Aggregate Risk Manager (“ARM”)2016-05-18T00:00:00-07:002016-05-18T00:00:00-07:002016-11651Noticehttps://www.gpo.gov/fdsys/pkg/FR-2016-05-18/pdf/2016-11651.pdfhttps://regulations.justia.com/regulations/fedreg/2016/05/18/2016-11645.htmlNotice - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Filing and Immediate Effectiveness of a Proposed Rule To Amend the Fees Schedule2016-05-18T00:00:00-07:002016-05-18T00:00:00-07:002016-11645Noticehttps://www.gpo.gov/fdsys/pkg/FR-2016-05-18/pdf/2016-11645.pdfhttps://regulations.justia.com/regulations/fedreg/2016/05/18/2016-11644.htmlNotice - Self-Regulatory Organizations; International Securities Exchange, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the Schedule of Fees2016-05-18T00:00:00-07:002016-05-18T00:00:00-07:002016-11644Noticehttps://www.gpo.gov/fdsys/pkg/FR-2016-05-18/pdf/2016-11644.pdfhttps://regulations.justia.com/regulations/fedreg/2016/05/18/2016-11643.htmlNotice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Designation of a Longer Period for Commission Action on a Proposed Rule Change Amending NYSE Arca Equities Rule 7.31P(h) To Add a New Discretionary Pegged Order2016-05-18T00:00:00-07:002016-05-18T00:00:00-07:002016-11643Noticehttps://www.gpo.gov/fdsys/pkg/FR-2016-05-18/pdf/2016-11643.pdfhttps://regulations.justia.com/regulations/fedreg/2016/05/18/2016-11642.htmlNotice - Self-Regulatory Organizations; Bats EDGX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the Description of Price Improving Orders Under Subparagraph (6) to Rule 21.1(d) and Add Subparagraph (4) to Rule 21.1(h) Modifying the Operation of Orders Subject to the Display Price Sliding Process When a Contra-Side Post Only Order Is Received by the Bats EDGX Exchange Options Platform2016-05-18T00:00:00-07:002016-05-18T00:00:00-07:002016-11642Noticehttps://www.gpo.gov/fdsys/pkg/FR-2016-05-18/pdf/2016-11642.pdfhttps://regulations.justia.com/regulations/fedreg/2016/05/18/2016-11641.htmlNotice - Self-Regulatory Organizations; Bats BZX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Add Subparagraph (5) to Rule 21.1(h) Modifying the Operation of Orders Subject to the Display Price Sliding Process When a Contra-Side Post Only Order Is Received by the Bats BZX Exchange Options Platform2016-05-18T00:00:00-07:002016-05-18T00:00:00-07:002016-11641Noticehttps://www.gpo.gov/fdsys/pkg/FR-2016-05-18/pdf/2016-11641.pdfhttps://regulations.justia.com/regulations/fedreg/2016/05/18/2016-11640.htmlNotice - Submission for OMB Review; Comment Request2016-05-18T00:00:00-07:002016-05-18T00:00:00-07:002016-11640Noticehttps://www.gpo.gov/fdsys/pkg/FR-2016-05-18/pdf/2016-11640.pdfhttps://regulations.justia.com/regulations/fedreg/2016/05/18/2016-11639.htmlNotice - Submission for OMB Review; Comment Request2016-05-18T00:00:00-07:002016-05-18T00:00:00-07:002016-11639Noticehttps://www.gpo.gov/fdsys/pkg/FR-2016-05-18/pdf/2016-11639.pdfhttps://regulations.justia.com/regulations/fedreg/2016/05/17/2016-11704.htmlNotice - Sunshine Act Meeting2016-05-17T00:00:00-07:002016-05-17T00:00:00-07:002016-11704Noticehttps://www.gpo.gov/fdsys/pkg/FR-2016-05-17/pdf/2016-11704.pdfhttps://regulations.justia.com/regulations/fedreg/2016/05/17/2016-11544.htmlNotice - Self-Regulatory Organizations; NYSE MKT LLC; Notice of Filing and Immediate Effectiveness of Proposed Change Modifying the NYSE Amex Options Fee Schedule2016-05-17T00:00:00-07:002016-05-17T00:00:00-07:002016-11544Noticehttps://www.gpo.gov/fdsys/pkg/FR-2016-05-17/pdf/2016-11544.pdfhttps://regulations.justia.com/regulations/fedreg/2016/05/17/2016-11543.htmlNotice - Self-Regulatory Organizations; Bats EDGX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Related to Fees as They Apply to the Equity Options Platform2016-05-17T00:00:00-07:002016-05-17T00:00:00-07:002016-11543Noticehttps://www.gpo.gov/fdsys/pkg/FR-2016-05-17/pdf/2016-11543.pdfhttps://regulations.justia.com/regulations/fedreg/2016/05/17/2016-11542.htmlNotice - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Its Price List To Make a Clarifying Change Regarding the Rebate Program Recently Implemented by the Exchange for the NYSE Bonds System2016-05-17T00:00:00-07:002016-05-17T00:00:00-07:002016-11542Noticehttps://www.gpo.gov/fdsys/pkg/FR-2016-05-17/pdf/2016-11542.pdfhttps://regulations.justia.com/regulations/fedreg/2016/05/17/2016-11541.htmlNotice - Self-Regulatory Organizations; NASDAQ PHLX LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Related to Customer Rebates2016-05-17T00:00:00-07:002016-05-17T00:00:00-07:002016-11541Noticehttps://www.gpo.gov/fdsys/pkg/FR-2016-05-17/pdf/2016-11541.pdfhttps://regulations.justia.com/regulations/fedreg/2016/05/17/2016-11540.htmlNotice - Self-Regulatory Organizations; Bats EDGA Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Rule 11.11, Routing to Away Trading Centers, To Delete the IOCM and ICMT Routing Options2016-05-17T00:00:00-07:002016-05-17T00:00:00-07:002016-11540Noticehttps://www.gpo.gov/fdsys/pkg/FR-2016-05-17/pdf/2016-11540.pdfhttps://regulations.justia.com/regulations/fedreg/2016/05/17/2016-11539.htmlNotice - Self-Regulatory Organizations; ICE Clear Europe Limited; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to Accounts Categories for Positions of Clearing Member Affiliates2016-05-17T00:00:00-07:002016-05-17T00:00:00-07:002016-11539Noticehttps://www.gpo.gov/fdsys/pkg/FR-2016-05-17/pdf/2016-11539.pdfhttps://regulations.justia.com/regulations/fedreg/2016/05/17/2016-11538.htmlNotice - Self-Regulatory Organizations; NYSE MKT LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Rule 98-Equities2016-05-17T00:00:00-07:002016-05-17T00:00:00-07:002016-11538Noticehttps://www.gpo.gov/fdsys/pkg/FR-2016-05-17/pdf/2016-11538.pdfhttps://regulations.justia.com/regulations/fedreg/2016/05/17/2016-11534.htmlNotice - TCW Alternative Funds, et al.; Notice of Application2016-05-17T00:00:00-07:002016-05-17T00:00:00-07:002016-11534Noticehttps://www.gpo.gov/fdsys/pkg/FR-2016-05-17/pdf/2016-11534.pdfhttps://regulations.justia.com/regulations/fedreg/2016/05/17/2016-10461.htmlNotice - Joint Industry Plan; Notice of Filing of the National Market System Plan Governing the Consolidated Audit Trail2016-05-17T00:00:00-07:002016-05-17T00:00:00-07:002016-10461Noticehttps://www.gpo.gov/fdsys/pkg/FR-2016-05-17/pdf/2016-10461.pdfhttps://regulations.justia.com/regulations/fedreg/2016/05/16/2016-11581.htmlNotice - Sunshine Act Meeting2016-05-16T00:00:00-07:002016-05-16T00:00:00-07:002016-11581Noticehttps://www.gpo.gov/fdsys/pkg/FR-2016-05-16/pdf/2016-11581.pdfhttps://regulations.justia.com/regulations/fedreg/2016/05/16/2016-11412.htmlNotice - Self-Regulatory Organizations; NASDAQ PHLX LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Modify the Maximum Number of Times an Order on PSX May Be Updated Before the System Cancels the Order2016-05-16T00:00:00-07:002016-05-16T00:00:00-07:002016-11412Noticehttps://www.gpo.gov/fdsys/pkg/FR-2016-05-16/pdf/2016-11412.pdfhttps://regulations.justia.com/regulations/fedreg/2016/05/16/2016-11411.htmlNotice - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Adopt a New Limit Up-Limit Down Pricing Program Under Rule 70142016-05-16T00:00:00-07:002016-05-16T00:00:00-07:002016-11411Noticehttps://www.gpo.gov/fdsys/pkg/FR-2016-05-16/pdf/2016-11411.pdfhttps://regulations.justia.com/regulations/fedreg/2016/05/16/2016-11410.htmlNotice - Self-Regulatory Organizations; NASDAQ BX, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Modify the Maximum Number of Times an Order on BX May Be Updated Before the System Cancels the Order2016-05-16T00:00:00-07:002016-05-16T00:00:00-07:002016-11410Noticehttps://www.gpo.gov/fdsys/pkg/FR-2016-05-16/pdf/2016-11410.pdfhttps://regulations.justia.com/regulations/fedreg/2016/05/16/2016-11409.htmlNotice - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Order Approving a Proposed Rule Change To Adopt FINRA Rule 4554, Alternative Trading Systems-Recording and Reporting Requirements of Order and Execution Information for NMS Stocks2016-05-16T00:00:00-07:002016-05-16T00:00:00-07:002016-11409Noticehttps://www.gpo.gov/fdsys/pkg/FR-2016-05-16/pdf/2016-11409.pdfhttps://regulations.justia.com/regulations/fedreg/2016/05/16/2016-11408.htmlNotice - Self-Regulatory Organizations; Bats BZX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Rule 11.13, Order Execution and Routing, To Delete References to the TRIM3 Routing Option2016-05-16T00:00:00-07:002016-05-16T00:00:00-07:002016-11408Noticehttps://www.gpo.gov/fdsys/pkg/FR-2016-05-16/pdf/2016-11408.pdfhttps://regulations.justia.com/regulations/fedreg/2016/05/16/2016-11407.htmlNotice - Self-Regulatory Organizations; ISE Mercury, LLC; Notice of Filing of Proposed Rule Change Relating to a Corporate Transaction Involving Its Indirect Parent2016-05-16T00:00:00-07:002016-05-16T00:00:00-07:002016-11407Noticehttps://www.gpo.gov/fdsys/pkg/FR-2016-05-16/pdf/2016-11407.pdfhttps://regulations.justia.com/regulations/fedreg/2016/05/16/2016-11406.htmlNotice - Self-Regulatory Organizations; ISE Gemini, LLC; Notice of Filing of Proposed Rule Change Relating to a Corporate Transaction Involving Its Indirect Parent2016-05-16T00:00:00-07:002016-05-16T00:00:00-07:002016-11406Noticehttps://www.gpo.gov/fdsys/pkg/FR-2016-05-16/pdf/2016-11406.pdfhttps://regulations.justia.com/regulations/fedreg/2016/05/16/2016-11405.htmlNotice - Self-Regulatory Organizations; International Securities Exchange, LLC; Notice of Filing of Proposed Rule Change Relating to a Corporate Transaction Involving Its Indirect Parent2016-05-16T00:00:00-07:002016-05-16T00:00:00-07:002016-11405Noticehttps://www.gpo.gov/fdsys/pkg/FR-2016-05-16/pdf/2016-11405.pdfhttps://regulations.justia.com/regulations/fedreg/2016/05/16/2016-11404.htmlNotice - 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(a) To Implement the Quoting and Trading Provisions of the Regulation NMS Plan To Implement a Tick Size Pilot Program2016-05-16T00:00:00-07:002016-05-16T00:00:00-07:002016-11404Noticehttps://www.gpo.gov/fdsys/pkg/FR-2016-05-16/pdf/2016-11404.pdfhttps://regulations.justia.com/regulations/fedreg/2016/05/16/2016-11403.htmlNotice - 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 11.21(a) To Implement the Quoting and Trading Provisions of the Regulation NMS Plan To Implement a Tick Size Pilot Program2016-05-16T00:00:00-07:002016-05-16T00:00:00-07:002016-11403Noticehttps://www.gpo.gov/fdsys/pkg/FR-2016-05-16/pdf/2016-11403.pdfhttps://regulations.justia.com/regulations/fedreg/2016/05/16/2016-11402.htmlNotice - 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 11.22(a) To Implement the Quoting and Trading Provisions of the Regulation NMS Plan To Implement a Tick Size Pilot Program2016-05-16T00:00:00-07:002016-05-16T00:00:00-07:002016-11402Noticehttps://www.gpo.gov/fdsys/pkg/FR-2016-05-16/pdf/2016-11402.pdfhttps://regulations.justia.com/regulations/fedreg/2016/05/16/2016-11401.htmlNotice - Self-Regulatory Organizations; Bats BYX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Rule 11.13, Order Execution and Routing, To Delete the IOCM and ICMT Routing Options2016-05-16T00:00:00-07:002016-05-16T00:00:00-07:002016-11401Noticehttps://www.gpo.gov/fdsys/pkg/FR-2016-05-16/pdf/2016-11401.pdfhttps://regulations.justia.com/regulations/fedreg/2016/05/16/2016-11400.htmlNotice - Self-Regulatory Organizations; Bats BZX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Related to Fees2016-05-16T00:00:00-07:002016-05-16T00:00:00-07:002016-11400Noticehttps://www.gpo.gov/fdsys/pkg/FR-2016-05-16/pdf/2016-11400.pdfhttps://regulations.justia.com/regulations/fedreg/2016/05/13/2016-11533.htmlNotice - Sunshine Act Meeting; Cancellation2016-05-13T00:00:00-07:002016-05-13T00:00:00-07:002016-11533Noticehttps://www.gpo.gov/fdsys/pkg/FR-2016-05-13/pdf/2016-11533.pdfhttps://regulations.justia.com/regulations/fedreg/2016/05/13/2016-11460.htmlNotice - Li-ion Motors Corp. (a/k/a Terra Inventions Corp.), PetroHunter Energy Corp., and Shrink Nanotechnologies, Inc.; Order of Suspension of Trading2016-05-13T00:00:00-07:002016-05-13T00:00:00-07:002016-11460Noticehttps://www.gpo.gov/fdsys/pkg/FR-2016-05-13/pdf/2016-11460.pdfhttps://regulations.justia.com/regulations/fedreg/2016/05/13/2016-11459.htmlNotice - In the Matter of GroveWare Technologies Ltd., Luve Sports, Inc., and Northcore Technologies, Inc., File No. 500-1; Order of Suspension of Trading2016-05-13T00:00:00-07:002016-05-13T00:00:00-07:002016-11459Noticehttps://www.gpo.gov/fdsys/pkg/FR-2016-05-13/pdf/2016-11459.pdfhttps://regulations.justia.com/regulations/fedreg/2016/05/13/2016-11295.htmlNotice - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing of a Proposed Rule Change Relating to National Adjudicatory Council Composition, Member Terms and Election Procedures2016-05-13T00:00:00-07:002016-05-13T00:00:00-07:002016-11295Noticehttps://www.gpo.gov/fdsys/pkg/FR-2016-05-13/pdf/2016-11295.pdfhttps://regulations.justia.com/regulations/fedreg/2016/05/13/2016-11294.htmlNotice - Self Regulatory Organizations; Chicago Stock Exchange, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Its Schedule of Fees and Assessments To Modify and Clarify Certain Fees Applicable to CHX Institutional Brokers2016-05-13T00:00:00-07:002016-05-13T00:00:00-07:002016-11294Noticehttps://www.gpo.gov/fdsys/pkg/FR-2016-05-13/pdf/2016-11294.pdfhttps://regulations.justia.com/regulations/fedreg/2016/05/13/2016-11293.htmlNotice - 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 Platform2016-05-13T00:00:00-07:002016-05-13T00:00:00-07:002016-11293Noticehttps://www.gpo.gov/fdsys/pkg/FR-2016-05-13/pdf/2016-11293.pdfhttps://regulations.justia.com/regulations/fedreg/2016/05/13/2016-11292.htmlNotice - Public Company Accounting Oversight Board; Order Granting Approval of Proposed Rules To Require Disclosure of Certain Audit Participants on a New PCAOB Form and Related Amendments to Auditing Standards2016-05-13T00:00:00-07:002016-05-13T00:00:00-07:002016-11292Noticehttps://www.gpo.gov/fdsys/pkg/FR-2016-05-13/pdf/2016-11292.pdfhttps://regulations.justia.com/regulations/fedreg/2016/05/13/2016-10918.htmlRule - Business Conduct Standards for Security-Based Swap Dealers and Major Security-Based Swap Participants2016-05-13T00:00:00-07:002016-05-13T00:00:00-07:002016-10918Rulehttps://www.gpo.gov/fdsys/pkg/FR-2016-05-13/pdf/2016-10918.pdfhttps://regulations.justia.com/regulations/fedreg/2016/05/12/2016-11178.htmlNotice - Self-Regulatory Organizations; New York Stock Exchange LLC; NYSE Arca, Inc.; NYSE MKT LLC; Order Approving Proposed Rule Change Amending and Restating the Fifth Amended and Restated Bylaws of the Exchanges' Ultimate Parent Company, Intercontinental Exchange, Inc., To Implement Proxy Access2016-05-12T00:00:00-07:002016-05-12T00:00:00-07:002016-11178Noticehttps://www.gpo.gov/fdsys/pkg/FR-2016-05-12/pdf/2016-11178.pdfhttps://regulations.justia.com/regulations/fedreg/2016/05/12/2016-11156.htmlNotice - 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 Strategic Mortgage REIT ETF of First Trust Exchange-Traded Fund VIII2016-05-12T00:00:00-07:002016-05-12T00:00:00-07:002016-11156Noticehttps://www.gpo.gov/fdsys/pkg/FR-2016-05-12/pdf/2016-11156.pdfhttps://regulations.justia.com/regulations/fedreg/2016/05/12/2016-11155.htmlNotice - Self-Regulatory Organizations; Bats EDGX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Related to Fees2016-05-12T00:00:00-07:002016-05-12T00:00:00-07:002016-11155Noticehttps://www.gpo.gov/fdsys/pkg/FR-2016-05-12/pdf/2016-11155.pdfhttps://regulations.justia.com/regulations/fedreg/2016/05/12/2016-11154.htmlNotice - Order Granting Limited Exemptions From Exchange Act Rule 10b-17 and Rules 101 and 102 of Regulation M to IndexIQ ETF Trust, IQ Enhanced Core Bond U.S. ETF, IQ Enhanced Core Plus Bond U.S. ETF, IQ Leaders Bond Allocation Tracker ETF, and IQ Leaders GTAA Tracker ETF, Pursuant to Exchange Act Rule 10b-17(b)(2) and Rules 101(d) and 102(e) of Regulation M2016-05-12T00:00:00-07:002016-05-12T00:00:00-07:002016-11154Noticehttps://www.gpo.gov/fdsys/pkg/FR-2016-05-12/pdf/2016-11154.pdfhttps://regulations.justia.com/regulations/fedreg/2016/05/12/2016-11153.htmlNotice - 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 Facility2016-05-12T00:00:00-07:002016-05-12T00:00:00-07:002016-11153Noticehttps://www.gpo.gov/fdsys/pkg/FR-2016-05-12/pdf/2016-11153.pdfhttps://regulations.justia.com/regulations/fedreg/2016/05/12/2016-11152.htmlNotice - Self-Regulatory Organizations; Miami International Securities Exchange LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Its Fee Schedule2016-05-12T00:00:00-07:002016-05-12T00:00:00-07:002016-11152Noticehttps://www.gpo.gov/fdsys/pkg/FR-2016-05-12/pdf/2016-11152.pdfhttps://regulations.justia.com/regulations/fedreg/2016/05/11/2016-11183.htmlNotice - In the Matter of Midwest Oil and Gas, Inc., File No. 500-1; Order of Suspension of Trading2016-05-11T00:00:00-07:002016-05-11T00:00:00-07:002016-11183Noticehttps://www.gpo.gov/fdsys/pkg/FR-2016-05-11/pdf/2016-11183.pdfhttps://regulations.justia.com/regulations/fedreg/2016/05/11/2016-11157.htmlNotice - Sunshine Act Meeting2016-05-11T00:00:00-07:002016-05-11T00:00:00-07:002016-11157Noticehttps://www.gpo.gov/fdsys/pkg/FR-2016-05-11/pdf/2016-11157.pdfhttps://regulations.justia.com/regulations/fedreg/2016/05/11/2016-11012.htmlNotice - Self-Regulatory Organizations; ICE Clear Credit LLC; Notice of Filing of Proposed Rule Change To Revise the ICC End-of-Day Price Discovery Policies and Procedures2016-05-11T00:00:00-07:002016-05-11T00:00:00-07:002016-11012Noticehttps://www.gpo.gov/fdsys/pkg/FR-2016-05-11/pdf/2016-11012.pdfhttps://regulations.justia.com/regulations/fedreg/2016/05/11/2016-11011.htmlNotice - 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 List and Trade Shares of the Pointbreak Diversified Commodity Strategy Fund of the Pointbreak ETF Trust Under BATS Rule 14.11(i), Managed Fund Shares2016-05-11T00:00:00-07:002016-05-11T00:00:00-07:002016-11011Noticehttps://www.gpo.gov/fdsys/pkg/FR-2016-05-11/pdf/2016-11011.pdfhttps://regulations.justia.com/regulations/fedreg/2016/05/11/2016-11010.htmlNotice - Self-Regulatory Organizations; ICE Clear Credit LLC; Order Approving Proposed Rule Change To Revise the ICC Operational Risk Management Framework2016-05-11T00:00:00-07:002016-05-11T00:00:00-07:002016-11010Noticehttps://www.gpo.gov/fdsys/pkg/FR-2016-05-11/pdf/2016-11010.pdfhttps://regulations.justia.com/regulations/fedreg/2016/05/10/2016-11067.htmlNotice - In the Matter of Code Rebel Corporation; Order of Suspension of Trading2016-05-10T00:00:00-07:002016-05-10T00:00:00-07:002016-11067Noticehttps://www.gpo.gov/fdsys/pkg/FR-2016-05-10/pdf/2016-11067.pdfhttps://regulations.justia.com/regulations/fedreg/2016/05/10/2016-11065.htmlNotice - In the Matter of Striper Energy, Inc.; Order of Suspension of Trading2016-05-10T00:00:00-07:002016-05-10T00:00:00-07:002016-11065Noticehttps://www.gpo.gov/fdsys/pkg/FR-2016-05-10/pdf/2016-11065.pdfhttps://regulations.justia.com/regulations/fedreg/2016/05/10/2016-10984.htmlNotice - Columbia ETF Trust I, et al.; Notice of Application2016-05-10T00:00:00-07:002016-05-10T00:00:00-07:002016-10984Noticehttps://www.gpo.gov/fdsys/pkg/FR-2016-05-10/pdf/2016-10984.pdfhttps://regulations.justia.com/regulations/fedreg/2016/05/10/2016-10983.htmlNotice - Franklin Templeton ETF Trust, et al.; Notice of Application2016-05-10T00:00:00-07:002016-05-10T00:00:00-07:002016-10983Noticehttps://www.gpo.gov/fdsys/pkg/FR-2016-05-10/pdf/2016-10983.pdfhttps://regulations.justia.com/regulations/fedreg/2016/05/10/2016-10960.htmlNotice - Triloma EIG Global Energy Fund, et al.; Notice of Application2016-05-10T00:00:00-07:002016-05-10T00:00:00-07:002016-10960Noticehttps://www.gpo.gov/fdsys/pkg/FR-2016-05-10/pdf/2016-10960.pdfhttps://regulations.justia.com/regulations/fedreg/2016/05/10/2016-10917.htmlNotice - Bridge Builder Trust and Olive Street Investment Advisers, LLC; Notice of Application2016-05-10T00:00:00-07:002016-05-10T00:00:00-07:002016-10917Noticehttps://www.gpo.gov/fdsys/pkg/FR-2016-05-10/pdf/2016-10917.pdfhttps://regulations.justia.com/regulations/fedreg/2016/05/10/2016-10889.htmlNotice - Capitala Finance Corp., et al.; Notice of Application2016-05-10T00:00:00-07:002016-05-10T00:00:00-07:002016-10889Noticehttps://www.gpo.gov/fdsys/pkg/FR-2016-05-10/pdf/2016-10889.pdfhttps://regulations.justia.com/regulations/fedreg/2016/05/10/2016-10888.htmlNotice - Submission for OMB Review; Comment Request2016-05-10T00:00:00-07:002016-05-10T00:00:00-07:002016-10888Noticehttps://www.gpo.gov/fdsys/pkg/FR-2016-05-10/pdf/2016-10888.pdfhttps://regulations.justia.com/regulations/fedreg/2016/05/10/2016-10887.htmlNotice - Submission for OMB Review; Comment Request2016-05-10T00:00:00-07:002016-05-10T00:00:00-07:002016-10887Noticehttps://www.gpo.gov/fdsys/pkg/FR-2016-05-10/pdf/2016-10887.pdfhttps://regulations.justia.com/regulations/fedreg/2016/05/10/2016-10886.htmlNotice - Submission for OMB Review; Comment Request2016-05-10T00:00:00-07:002016-05-10T00:00:00-07:002016-10886Noticehttps://www.gpo.gov/fdsys/pkg/FR-2016-05-10/pdf/2016-10886.pdfhttps://regulations.justia.com/regulations/fedreg/2016/05/10/2016-10885.htmlNotice - Self-Regulatory Organizations; The Nasdaq Stock Market 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 Exchange's Offering of Remote ITCH to Trade Options Wave Ports2016-05-10T00:00:00-07:002016-05-10T00:00:00-07:002016-10885Noticehttps://www.gpo.gov/fdsys/pkg/FR-2016-05-10/pdf/2016-10885.pdfhttps://regulations.justia.com/regulations/fedreg/2016/05/10/2016-10746.htmlRule - Changes to Exchange Act Registration Requirements To Implement Title V and Title VI of the JOBS Act2016-05-10T00:00:00-07:002016-05-10T00:00:00-07:002016-10746Rulehttps://www.gpo.gov/fdsys/pkg/FR-2016-05-10/pdf/2016-10746.pdfhttps://regulations.justia.com/regulations/fedreg/2016/05/09/2016-10758.htmlNotice - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the Fees Schedule2016-05-09T00:00:00-07:002016-05-09T00:00:00-07:002016-10758Noticehttps://www.gpo.gov/fdsys/pkg/FR-2016-05-09/pdf/2016-10758.pdfhttps://regulations.justia.com/regulations/fedreg/2016/05/06/2016-10792.htmlNotice - In the Matter of Giant Resources, Inc., and Rush Exploration, Inc., Order of Suspension of Trading2016-05-06T00:00:00-07:002016-05-06T00:00:00-07:002016-10792Noticehttps://www.gpo.gov/fdsys/pkg/FR-2016-05-06/pdf/2016-10792.pdfhttps://regulations.justia.com/regulations/fedreg/2016/05/06/2016-10790.htmlNotice - In the Matter of EQCO2, Inc., Hondo Minerals Corp., and Liberty Gold Corp., Order of Suspension of Trading2016-05-06T00:00:00-07:002016-05-06T00:00:00-07:002016-10790Noticehttps://www.gpo.gov/fdsys/pkg/FR-2016-05-06/pdf/2016-10790.pdfhttps://regulations.justia.com/regulations/fedreg/2016/05/06/2016-10608.htmlNotice - Self-Regulatory Organizations; International Securities Exchange, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the Schedule of Fees2016-05-06T00:00:00-07:002016-05-06T00:00:00-07:002016-10608Noticehttps://www.gpo.gov/fdsys/pkg/FR-2016-05-06/pdf/2016-10608.pdfhttps://regulations.justia.com/regulations/fedreg/2016/05/06/2016-10607.htmlNotice - Self-Regulatory Organizations; ISE Gemini, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the Schedule of Fees2016-05-06T00:00:00-07:002016-05-06T00:00:00-07:002016-10607Noticehttps://www.gpo.gov/fdsys/pkg/FR-2016-05-06/pdf/2016-10607.pdfhttps://regulations.justia.com/regulations/fedreg/2016/05/05/2016-10677.htmlNotice - In the Matter of Solarbrook Water and Power Corp.; Order of Suspension of Trading2016-05-05T00:00:00-07:002016-05-05T00:00:00-07:002016-10677Noticehttps://www.gpo.gov/fdsys/pkg/FR-2016-05-05/pdf/2016-10677.pdfhttps://regulations.justia.com/regulations/fedreg/2016/05/05/2016-10474.htmlNotice - Sunshine Act Meeting; Additional Item2016-05-05T00:00:00-07:002016-05-05T00:00:00-07:002016-10474Noticehttps://www.gpo.gov/fdsys/pkg/FR-2016-05-05/pdf/2016-10474.pdfhttps://regulations.justia.com/regulations/fedreg/2016/05/05/2016-10473.htmlNotice - Self-Regulatory Organizations; The Depository Trust Company; National Securities Clearing Corporation; Notice of Filing of and No Objection to Advance Notices To Renew the Credit Facility2016-05-05T00:00:00-07:002016-05-05T00:00:00-07:002016-10473Noticehttps://www.gpo.gov/fdsys/pkg/FR-2016-05-05/pdf/2016-10473.pdfhttps://regulations.justia.com/regulations/fedreg/2016/05/05/2016-10472.htmlNotice - Self-Regulatory Organizations; NYSE MKT LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Rule 967.1NY Regarding Price Protection for Market Maker Quotes2016-05-05T00:00:00-07:002016-05-05T00:00:00-07:002016-10472Noticehttps://www.gpo.gov/fdsys/pkg/FR-2016-05-05/pdf/2016-10472.pdfhttps://regulations.justia.com/regulations/fedreg/2016/05/05/2016-10471.htmlNotice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Rule 6.61 Regarding Price Protection for Market Maker Quotes2016-05-05T00:00:00-07:002016-05-05T00:00:00-07:002016-10471Noticehttps://www.gpo.gov/fdsys/pkg/FR-2016-05-05/pdf/2016-10471.pdfhttps://regulations.justia.com/regulations/fedreg/2016/05/04/2016-10438.htmlNotice - Notice of Applications for Deregistration Under Section 8(f) of the Investment Company Act of 19402016-05-04T00:00:00-07:002016-05-04T00:00:00-07:002016-10438Noticehttps://www.gpo.gov/fdsys/pkg/FR-2016-05-04/pdf/2016-10438.pdfhttps://regulations.justia.com/regulations/fedreg/2016/05/04/2016-10437.htmlNotice - Self-Regulatory Organizations; Municipal Securities Rulemaking Board; Order Granting Approval 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 Amendments2016-05-04T00:00:00-07:002016-05-04T00:00:00-07:002016-10437Noticehttps://www.gpo.gov/fdsys/pkg/FR-2016-05-04/pdf/2016-10437.pdfhttps://regulations.justia.com/regulations/fedreg/2016/05/04/2016-10436.htmlNotice - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to FLEX Options Pilot Program2016-05-04T00:00:00-07:002016-05-04T00:00:00-07:002016-10436Noticehttps://www.gpo.gov/fdsys/pkg/FR-2016-05-04/pdf/2016-10436.pdfhttps://regulations.justia.com/regulations/fedreg/2016/05/04/2016-10406.htmlNotice - SEC Advisory Committee on Small and Emerging Companies2016-05-04T00:00:00-07:002016-05-04T00:00:00-07:002016-10406Noticehttps://www.gpo.gov/fdsys/pkg/FR-2016-05-04/pdf/2016-10406.pdfhttps://regulations.justia.com/regulations/fedreg/2016/05/04/2016-10395.htmlNotice - Submission for OMB Review; Comment Request2016-05-04T00:00:00-07:002016-05-04T00:00:00-07:002016-10395Noticehttps://www.gpo.gov/fdsys/pkg/FR-2016-05-04/pdf/2016-10395.pdfhttps://regulations.justia.com/regulations/fedreg/2016/05/04/2016-10371.htmlNotice - Self-Regulatory Organizations; the NASDAQ Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Update Public Disclosure of Exchange Usage of Market Data2016-05-04T00:00:00-07:002016-05-04T00:00:00-07:002016-10371Noticehttps://www.gpo.gov/fdsys/pkg/FR-2016-05-04/pdf/2016-10371.pdfhttps://regulations.justia.com/regulations/fedreg/2016/05/04/2016-10370.htmlNotice - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Nasdaq Rule 70232016-05-04T00:00:00-07:002016-05-04T00:00:00-07:002016-10370Noticehttps://www.gpo.gov/fdsys/pkg/FR-2016-05-04/pdf/2016-10370.pdfhttps://regulations.justia.com/regulations/fedreg/2016/05/04/2016-10369.htmlNotice - Submission for OMB Review; Comment Request2016-05-04T00:00:00-07:002016-05-04T00:00:00-07:002016-10369Noticehttps://www.gpo.gov/fdsys/pkg/FR-2016-05-04/pdf/2016-10369.pdfhttps://regulations.justia.com/regulations/fedreg/2016/05/04/2016-10368.htmlNotice - Submission for OMB Review; Comment Request2016-05-04T00:00:00-07:002016-05-04T00:00:00-07:002016-10368Noticehttps://www.gpo.gov/fdsys/pkg/FR-2016-05-04/pdf/2016-10368.pdfhttps://regulations.justia.com/regulations/fedreg/2016/05/04/2016-10367.htmlNotice - Submission for OMB Review; Comment Request2016-05-04T00:00:00-07:002016-05-04T00:00:00-07:002016-10367Noticehttps://www.gpo.gov/fdsys/pkg/FR-2016-05-04/pdf/2016-10367.pdfhttps://regulations.justia.com/regulations/fedreg/2016/05/04/2016-10366.htmlNotice - Proposed Collection; Comment Request2016-05-04T00:00:00-07:002016-05-04T00:00:00-07:002016-10366Noticehttps://www.gpo.gov/fdsys/pkg/FR-2016-05-04/pdf/2016-10366.pdfhttps://regulations.justia.com/regulations/fedreg/2016/05/04/2016-10365.htmlNotice - Submission for OMB Review; Comment Request2016-05-04T00:00:00-07:002016-05-04T00:00:00-07:002016-10365Noticehttps://www.gpo.gov/fdsys/pkg/FR-2016-05-04/pdf/2016-10365.pdfhttps://regulations.justia.com/regulations/fedreg/2016/05/04/2016-10364.htmlNotice - Submission for OMB Review; Comment Request2016-05-04T00:00:00-07:002016-05-04T00:00:00-07:002016-10364Noticehttps://www.gpo.gov/fdsys/pkg/FR-2016-05-04/pdf/2016-10364.pdfhttps://regulations.justia.com/regulations/fedreg/2016/05/03/2016-10410.htmlNotice - Coyote Resources, Inc., Harbor Island Development Corp., Medical Makeover Corp. of America, and Shades Holdings, Inc.; Order of Suspension of Trading2016-05-03T00:00:00-07:002016-05-03T00:00:00-07:002016-10410Noticehttps://www.gpo.gov/fdsys/pkg/FR-2016-05-03/pdf/2016-10410.pdfhttps://regulations.justia.com/regulations/fedreg/2016/05/03/2016-10407.htmlNotice - Order of Suspension of Trading; In the Matter of Pioneer Exploration, Inc., Premier Brands, Inc., and Private Media Group, Inc.2016-05-03T00:00:00-07:002016-05-03T00:00:00-07:002016-10407Noticehttps://www.gpo.gov/fdsys/pkg/FR-2016-05-03/pdf/2016-10407.pdfhttps://regulations.justia.com/regulations/fedreg/2016/05/03/2016-10394.htmlNotice - Sunshine Act Meeting2016-05-03T00:00:00-07:002016-05-03T00:00:00-07:002016-10394Noticehttps://www.gpo.gov/fdsys/pkg/FR-2016-05-03/pdf/2016-10394.pdfhttps://regulations.justia.com/regulations/fedreg/2016/05/03/2016-10274.htmlNotice - Self-Regulatory Organizations; NYSE MKT LLC; Notice of Filing of Proposed Rule Change Amending the Definition of “Block” for Purposes of Rule 72(d)-Equities and the Size of a Proposed Cross Transaction Eligible for the Cross Function in Rule 76-Equities2016-05-03T00:00:00-07:002016-05-03T00:00:00-07:002016-10274Noticehttps://www.gpo.gov/fdsys/pkg/FR-2016-05-03/pdf/2016-10274.pdfhttps://regulations.justia.com/regulations/fedreg/2016/05/03/2016-10273.htmlNotice - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Delay Implementation of FINRA Rule 2242 (Debt Research Analysts and Debt Research Reports)2016-05-03T00:00:00-07:002016-05-03T00:00:00-07:002016-10273Noticehttps://www.gpo.gov/fdsys/pkg/FR-2016-05-03/pdf/2016-10273.pdfhttps://regulations.justia.com/regulations/fedreg/2016/05/03/2016-10272.htmlNotice - Self-Regulatory Organizations; Bats BZX Exchange, Inc.; Notice of Filing of a Proposed Rule Change to Rule 14.11, Managed Fund Shares, To List and Trade Shares of the Pointbreak Agriculture Commodity Strategy Fund of the Pointbreak ETF Trust2016-05-03T00:00:00-07:002016-05-03T00:00:00-07:002016-10272Noticehttps://www.gpo.gov/fdsys/pkg/FR-2016-05-03/pdf/2016-10272.pdfhttps://regulations.justia.com/regulations/fedreg/2016/05/03/2016-10271.htmlNotice - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Order Granting Approval of a Proposed Rule Change Regarding Monthly Distributions, Excess Returns, and Share Index Factors of Certain AccuShares® Trust I Funds2016-05-03T00:00:00-07:002016-05-03T00:00:00-07:002016-10271Noticehttps://www.gpo.gov/fdsys/pkg/FR-2016-05-03/pdf/2016-10271.pdfhttps://regulations.justia.com/regulations/fedreg/2016/05/03/2016-10270.htmlNotice - Self-Regulatory Organizations; Bats BZX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Extend the Pilot Period for the Exchange's Supplemental Competitive Liquidity Provider Program2016-05-03T00:00:00-07:002016-05-03T00:00:00-07:002016-10270Noticehttps://www.gpo.gov/fdsys/pkg/FR-2016-05-03/pdf/2016-10270.pdfhttps://regulations.justia.com/regulations/fedreg/2016/05/03/2016-10269.htmlNotice - Self-Regulatory Organizations; The Options Clearing Corporation; Notice of Designation of Longer Period for Commission Action on Proposed Rule Change Related to the Adoption of an Options Exchange Risk Control Standards Policy2016-05-03T00:00:00-07:002016-05-03T00:00:00-07:002016-10269Noticehttps://www.gpo.gov/fdsys/pkg/FR-2016-05-03/pdf/2016-10269.pdfhttps://regulations.justia.com/regulations/fedreg/2016/05/03/2016-10268.htmlNotice - Self-Regulatory Organizations; NASDAQ BX, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Update Public Disclosure of Exchange Usage of Market Data2016-05-03T00:00:00-07:002016-05-03T00:00:00-07:002016-10268Noticehttps://www.gpo.gov/fdsys/pkg/FR-2016-05-03/pdf/2016-10268.pdfhttps://regulations.justia.com/regulations/fedreg/2016/05/03/2016-10267.htmlNotice - Submission for OMB Review; Comment Request2016-05-03T00:00:00-07:002016-05-03T00:00:00-07:002016-10267Noticehttps://www.gpo.gov/fdsys/pkg/FR-2016-05-03/pdf/2016-10267.pdfhttps://regulations.justia.com/regulations/fedreg/2016/05/02/2016-10295.htmlNotice - Order of Suspension of Trading; In the Matter of Pineapple Express, Inc.2016-05-02T00:00:00-07:002016-05-02T00:00:00-07:002016-10295Noticehttps://www.gpo.gov/fdsys/pkg/FR-2016-05-02/pdf/2016-10295.pdfhttps://regulations.justia.com/regulations/fedreg/2016/05/02/2016-10155.htmlNotice - Self-Regulatory Organizations; ISE Mercury, LLC; Notice of Filing of Proposed Rule Change Relating to Preferenced Volume2016-05-02T00:00:00-07:002016-05-02T00:00:00-07:002016-10155Noticehttps://www.gpo.gov/fdsys/pkg/FR-2016-05-02/pdf/2016-10155.pdfhttps://regulations.justia.com/regulations/fedreg/2016/05/02/2016-10154.htmlNotice - 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 PowerShares Variable Rate Investment Grade Portfolio, a Series of the PowerShares Actively Managed Exchange-Traded Fund Trust2016-05-02T00:00:00-07:002016-05-02T00:00:00-07:002016-10154Noticehttps://www.gpo.gov/fdsys/pkg/FR-2016-05-02/pdf/2016-10154.pdfhttps://regulations.justia.com/regulations/fedreg/2016/05/02/2016-10153.htmlNotice - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Order Granting Approval of Proposed Rule Change, as Modified by Amendment No. 1 Thereto, Relating to the Listing and Trading of the Shares of the iSectors Post-MPT Growth ETF of ETFis Series Trust I2016-05-02T00:00:00-07:002016-05-02T00:00:00-07:002016-10153Noticehttps://www.gpo.gov/fdsys/pkg/FR-2016-05-02/pdf/2016-10153.pdfhttps://regulations.justia.com/regulations/fedreg/2016/05/02/2016-10152.htmlNotice - Self-Regulatory Organizations; Chicago Stock Exchange, Inc.; Order Approving a Proposed Rule Change To Adopt and Amend Rules To Permit the Exchange To Initiate CHX SNAP Cycles2016-05-02T00:00:00-07:002016-05-02T00:00:00-07:002016-10152Noticehttps://www.gpo.gov/fdsys/pkg/FR-2016-05-02/pdf/2016-10152.pdfhttps://regulations.justia.com/regulations/fedreg/2016/05/02/2016-10151.htmlNotice - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Filing and Immediate Effectiveness of a Proposed Rule To Amend the Fees Schedule2016-05-02T00:00:00-07:002016-05-02T00:00:00-07:002016-10151Noticehttps://www.gpo.gov/fdsys/pkg/FR-2016-05-02/pdf/2016-10151.pdfhttps://regulations.justia.com/regulations/fedreg/2016/05/02/2016-10150.htmlNotice - Self-Regulatory Organizations; National Securities Clearing Corporation; Notice of Filing of a Proposed Rule Change To Remove From the DTCC Limit Monitoring Tool the 50% Early Warning Limit Alert and Make Technical Revisions to the Rules2016-05-02T00:00:00-07:002016-05-02T00:00:00-07:002016-10150Noticehttps://www.gpo.gov/fdsys/pkg/FR-2016-05-02/pdf/2016-10150.pdfhttps://regulations.justia.com/regulations/fedreg/2016/05/02/2016-10149.htmlNotice - Self-Regulatory Organizations; New York Stock Exchange LLC; 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 NYSE Rule 98 To Provide That, When Designated Market Makers Enter Interest for the Purpose of Facilitating the Execution of Customer Orders, Those Orders Would Not Be Required To Be Designated as DMM Interest2016-05-02T00:00:00-07:002016-05-02T00:00:00-07:002016-10149Noticehttps://www.gpo.gov/fdsys/pkg/FR-2016-05-02/pdf/2016-10149.pdfhttps://regulations.justia.com/regulations/fedreg/2016/05/02/2016-10148.htmlNotice - Self-Regulatory Organizations; NASDAQ PHLX LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Update Public Disclosure of Exchange Usage of Market Data2016-05-02T00:00:00-07:002016-05-02T00:00:00-07:002016-10148Noticehttps://www.gpo.gov/fdsys/pkg/FR-2016-05-02/pdf/2016-10148.pdfhttps://regulations.justia.com/regulations/fedreg/2016/05/02/2016-10147.htmlNotice - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Require an Issuer of Securities Listed Under the Rule 5700 Series To Notify Nasdaq About the Replacement of the Index, Portfolio, or Reference Asset Underlying the Security and Pay a Fee in Connection With the Change2016-05-02T00:00:00-07:002016-05-02T00:00:00-07:002016-10147Noticehttps://www.gpo.gov/fdsys/pkg/FR-2016-05-02/pdf/2016-10147.pdfhttps://regulations.justia.com/regulations/fedreg/2016/05/02/2016-10146.htmlNotice - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Order Instituting Proceedings To Determine Whether To Approve or Disapprove a Proposed Rule Change, as Modified by Amendment No. 1 Thereto, To List and Trade Shares of the First Trust Municipal High Income ETF of First Trust Exchange-Traded Fund III2016-05-02T00:00:00-07:002016-05-02T00:00:00-07:002016-10146Noticehttps://www.gpo.gov/fdsys/pkg/FR-2016-05-02/pdf/2016-10146.pdfhttps://regulations.justia.com/regulations/fedreg/2016/05/02/2016-10111.htmlNotice - Proposed Collection; Comment Request2016-05-02T00:00:00-07:002016-05-02T00:00:00-07:002016-10111Noticehttps://www.gpo.gov/fdsys/pkg/FR-2016-05-02/pdf/2016-10111.pdfhttps://regulations.justia.com/regulations/fedreg/2016/05/02/2016-10110.htmlNotice - Proposed Collection; Comment Request2016-05-02T00:00:00-07:002016-05-02T00:00:00-07:002016-10110Noticehttps://www.gpo.gov/fdsys/pkg/FR-2016-05-02/pdf/2016-10110.pdfhttps://regulations.justia.com/regulations/fedreg/2016/05/02/2016-10109.htmlNotice - Terra Capital Partners, LLC, et al.; Notice of Application2016-05-02T00:00:00-07:002016-05-02T00:00:00-07:002016-10109Noticehttps://www.gpo.gov/fdsys/pkg/FR-2016-05-02/pdf/2016-10109.pdfhttps://regulations.justia.com/regulations/fedreg/2016/05/02/2016-10108.htmlNotice - Proposed Collection; Comment Request2016-05-02T00:00:00-07:002016-05-02T00:00:00-07:002016-10108Noticehttps://www.gpo.gov/fdsys/pkg/FR-2016-05-02/pdf/2016-10108.pdfhttps://regulations.justia.com/regulations/fedreg/2016/05/02/2016-10107.htmlNotice - Proposed Collection; Comment Request2016-05-02T00:00:00-07:002016-05-02T00:00:00-07:002016-10107Noticehttps://www.gpo.gov/fdsys/pkg/FR-2016-05-02/pdf/2016-10107.pdf