<![CDATA[Federal Register Recent Federal Regulation Documents - Justia Regulation Tracker - Justia Regulations Tracker]]> https://regulations.justia.com/regulations/fedreg/agencies/securities-and-exchange-commission/2016/05?registers=between&min-day=1&max-day=31 Tue, 30 Apr 2024 20:19:07 -0700 Tue, 30 Apr 2024 20:19:07 -0700 Justia Regulations Tracker Copyright 2011 Justia Inc. https://regulations.justia.com/images/justiafedregulations.gif <![CDATA[Federal Register Recent Federal Regulation Documents - Justia Regulation Tracker - Justia Regulations Tracker]]> https://regulations.justia.com/regulations/fedreg/agencies/securities-and-exchange-commission/2016/05?registers=between&min-day=1&max-day=31 Notice - Submission for OMB Review; Comment Request https://regulations.justia.com/regulations/fedreg/2016/05/31/2016-12676.html https://regulations.justia.com/regulations/fedreg/2016/05/31/2016-12676.html Tue, 31 May 2016 00:00:00 -0700 2016-12676 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-05-31/pdf/2016-12676.pdf Notice - Submission for OMB Review; Comment Request https://regulations.justia.com/regulations/fedreg/2016/05/31/2016-12675.html https://regulations.justia.com/regulations/fedreg/2016/05/31/2016-12675.html Tue, 31 May 2016 00:00:00 -0700 2016-12675 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-05-31/pdf/2016-12675.pdf Notice - Submission for OMB Review; Comment Request https://regulations.justia.com/regulations/fedreg/2016/05/31/2016-12674.html https://regulations.justia.com/regulations/fedreg/2016/05/31/2016-12674.html Tue, 31 May 2016 00:00:00 -0700 2016-12674 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-05-31/pdf/2016-12674.pdf Notice - 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 Income https://regulations.justia.com/regulations/fedreg/2016/05/31/2016-12673.html https://regulations.justia.com/regulations/fedreg/2016/05/31/2016-12673.html Tue, 31 May 2016 00:00:00 -0700 2016-12673 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-05-31/pdf/2016-12673.pdf Notice - 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 Rules https://regulations.justia.com/regulations/fedreg/2016/05/31/2016-12672.html https://regulations.justia.com/regulations/fedreg/2016/05/31/2016-12672.html Tue, 31 May 2016 00:00:00 -0700 2016-12672 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-05-31/pdf/2016-12672.pdf Notice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Rule 6.43 Regarding Definition of Floor Broker https://regulations.justia.com/regulations/fedreg/2016/05/31/2016-12671.html https://regulations.justia.com/regulations/fedreg/2016/05/31/2016-12671.html Tue, 31 May 2016 00:00:00 -0700 2016-12671 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-05-31/pdf/2016-12671.pdf Notice - 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 VIII https://regulations.justia.com/regulations/fedreg/2016/05/31/2016-12670.html https://regulations.justia.com/regulations/fedreg/2016/05/31/2016-12670.html Tue, 31 May 2016 00:00:00 -0700 2016-12670 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-05-31/pdf/2016-12670.pdf Notice - Self-Regulatory Organizations; NASDAQ BX, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Options Pricing at Chapter XV, Section 2 https://regulations.justia.com/regulations/fedreg/2016/05/31/2016-12669.html https://regulations.justia.com/regulations/fedreg/2016/05/31/2016-12669.html Tue, 31 May 2016 00:00:00 -0700 2016-12669 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-05-31/pdf/2016-12669.pdf Notice - 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 ETF https://regulations.justia.com/regulations/fedreg/2016/05/31/2016-12668.html https://regulations.justia.com/regulations/fedreg/2016/05/31/2016-12668.html Tue, 31 May 2016 00:00:00 -0700 2016-12668 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-05-31/pdf/2016-12668.pdf Notice - 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 Trust https://regulations.justia.com/regulations/fedreg/2016/05/31/2016-12667.html https://regulations.justia.com/regulations/fedreg/2016/05/31/2016-12667.html Tue, 31 May 2016 00:00:00 -0700 2016-12667 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-05-31/pdf/2016-12667.pdf Notice - 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 Schedule https://regulations.justia.com/regulations/fedreg/2016/05/31/2016-12666.html https://regulations.justia.com/regulations/fedreg/2016/05/31/2016-12666.html Tue, 31 May 2016 00:00:00 -0700 2016-12666 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-05-31/pdf/2016-12666.pdf Notice - 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 Schedule https://regulations.justia.com/regulations/fedreg/2016/05/31/2016-12665.html https://regulations.justia.com/regulations/fedreg/2016/05/31/2016-12665.html Tue, 31 May 2016 00:00:00 -0700 2016-12665 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-05-31/pdf/2016-12665.pdf Notice - 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 Schedule https://regulations.justia.com/regulations/fedreg/2016/05/27/2016-12515.html https://regulations.justia.com/regulations/fedreg/2016/05/27/2016-12515.html Fri, 27 May 2016 00:00:00 -0700 2016-12515 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-05-27/pdf/2016-12515.pdf Notice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending the NYSE Arca Options Fee Schedule https://regulations.justia.com/regulations/fedreg/2016/05/27/2016-12512.html https://regulations.justia.com/regulations/fedreg/2016/05/27/2016-12512.html Fri, 27 May 2016 00:00:00 -0700 2016-12512 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-05-27/pdf/2016-12512.pdf 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 https://regulations.justia.com/regulations/fedreg/2016/05/27/2016-12511.html https://regulations.justia.com/regulations/fedreg/2016/05/27/2016-12511.html Fri, 27 May 2016 00:00:00 -0700 2016-12511 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-05-27/pdf/2016-12511.pdf Notice - 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 Products https://regulations.justia.com/regulations/fedreg/2016/05/27/2016-12510.html https://regulations.justia.com/regulations/fedreg/2016/05/27/2016-12510.html Fri, 27 May 2016 00:00:00 -0700 2016-12510 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-05-27/pdf/2016-12510.pdf Rule - Retail Foreign Exchange Transactions https://regulations.justia.com/regulations/fedreg/2016/05/26/2016-12390.html https://regulations.justia.com/regulations/fedreg/2016/05/26/2016-12390.html Thu, 26 May 2016 00:00:00 -0700 2016-12390 Rule https://www.gpo.gov/fdsys/pkg/FR-2016-05-26/pdf/2016-12390.pdf Notice - Self-Regulatory Organizations; ISE Gemini, LLC; Order Approving Proposed Rule Change Related to Market Wide Risk Protection https://regulations.justia.com/regulations/fedreg/2016/05/26/2016-12389.html https://regulations.justia.com/regulations/fedreg/2016/05/26/2016-12389.html Thu, 26 May 2016 00:00:00 -0700 2016-12389 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-05-26/pdf/2016-12389.pdf Notice - 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 https://regulations.justia.com/regulations/fedreg/2016/05/26/2016-12388.html https://regulations.justia.com/regulations/fedreg/2016/05/26/2016-12388.html Thu, 26 May 2016 00:00:00 -0700 2016-12388 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-05-26/pdf/2016-12388.pdf Notice - 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 https://regulations.justia.com/regulations/fedreg/2016/05/26/2016-12387.html https://regulations.justia.com/regulations/fedreg/2016/05/26/2016-12387.html Thu, 26 May 2016 00:00:00 -0700 2016-12387 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-05-26/pdf/2016-12387.pdf Notice - 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 https://regulations.justia.com/regulations/fedreg/2016/05/26/2016-12386.html https://regulations.justia.com/regulations/fedreg/2016/05/26/2016-12386.html Thu, 26 May 2016 00:00:00 -0700 2016-12386 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-05-26/pdf/2016-12386.pdf Notice - 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 https://regulations.justia.com/regulations/fedreg/2016/05/26/2016-12385.html https://regulations.justia.com/regulations/fedreg/2016/05/26/2016-12385.html Thu, 26 May 2016 00:00:00 -0700 2016-12385 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-05-26/pdf/2016-12385.pdf Notice - Self-Regulatory Organizations; International Securities Exchange, LLC; Order Approving Proposed Rule Change Related to Market Wide Risk Protection https://regulations.justia.com/regulations/fedreg/2016/05/26/2016-12384.html https://regulations.justia.com/regulations/fedreg/2016/05/26/2016-12384.html Thu, 26 May 2016 00:00:00 -0700 2016-12384 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-05-26/pdf/2016-12384.pdf Notice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Designation of a Longer Period for Commission Action on Proceedings To Determine Whether To Approve or Disapprove a Proposed Rule Change, as Modified by Amendment No. 4 Thereto, Amending NYSE Arca Equities Rule 8.600 To Adopt Generic Listing Standards for Managed Fund Shares https://regulations.justia.com/regulations/fedreg/2016/05/26/2016-12383.html https://regulations.justia.com/regulations/fedreg/2016/05/26/2016-12383.html Thu, 26 May 2016 00:00:00 -0700 2016-12383 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-05-26/pdf/2016-12383.pdf Notice - 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 https://regulations.justia.com/regulations/fedreg/2016/05/26/2016-12382.html https://regulations.justia.com/regulations/fedreg/2016/05/26/2016-12382.html Thu, 26 May 2016 00:00:00 -0700 2016-12382 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-05-26/pdf/2016-12382.pdf Notice - Investor Advisory Committee Meeting https://regulations.justia.com/regulations/fedreg/2016/05/26/2016-12231.html https://regulations.justia.com/regulations/fedreg/2016/05/26/2016-12231.html Thu, 26 May 2016 00:00:00 -0700 2016-12231 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-05-26/pdf/2016-12231.pdf Notice - 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 Restriction https://regulations.justia.com/regulations/fedreg/2016/05/25/2016-12396.html https://regulations.justia.com/regulations/fedreg/2016/05/25/2016-12396.html Wed, 25 May 2016 00:00:00 -0700 2016-12396 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-05-25/pdf/2016-12396.pdf Notice - 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 8.600 https://regulations.justia.com/regulations/fedreg/2016/05/25/2016-12242.html https://regulations.justia.com/regulations/fedreg/2016/05/25/2016-12242.html Wed, 25 May 2016 00:00:00 -0700 2016-12242 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-05-25/pdf/2016-12242.pdf Notice - 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 Orders https://regulations.justia.com/regulations/fedreg/2016/05/25/2016-12241.html https://regulations.justia.com/regulations/fedreg/2016/05/25/2016-12241.html Wed, 25 May 2016 00:00:00 -0700 2016-12241 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-05-25/pdf/2016-12241.pdf Notice - 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 Orders https://regulations.justia.com/regulations/fedreg/2016/05/25/2016-12240.html https://regulations.justia.com/regulations/fedreg/2016/05/25/2016-12240.html Wed, 25 May 2016 00:00:00 -0700 2016-12240 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-05-25/pdf/2016-12240.pdf Notice - 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 ETF https://regulations.justia.com/regulations/fedreg/2016/05/25/2016-12239.html https://regulations.justia.com/regulations/fedreg/2016/05/25/2016-12239.html Wed, 25 May 2016 00:00:00 -0700 2016-12239 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-05-25/pdf/2016-12239.pdf Notice - 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 Incorporation https://regulations.justia.com/regulations/fedreg/2016/05/25/2016-12238.html https://regulations.justia.com/regulations/fedreg/2016/05/25/2016-12238.html Wed, 25 May 2016 00:00:00 -0700 2016-12238 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-05-25/pdf/2016-12238.pdf Notice - 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 Fees https://regulations.justia.com/regulations/fedreg/2016/05/25/2016-12237.html https://regulations.justia.com/regulations/fedreg/2016/05/25/2016-12237.html Wed, 25 May 2016 00:00:00 -0700 2016-12237 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-05-25/pdf/2016-12237.pdf Notice - 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 VIII https://regulations.justia.com/regulations/fedreg/2016/05/25/2016-12236.html https://regulations.justia.com/regulations/fedreg/2016/05/25/2016-12236.html Wed, 25 May 2016 00:00:00 -0700 2016-12236 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-05-25/pdf/2016-12236.pdf Notice - 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 Customers https://regulations.justia.com/regulations/fedreg/2016/05/25/2016-12235.html https://regulations.justia.com/regulations/fedreg/2016/05/25/2016-12235.html Wed, 25 May 2016 00:00:00 -0700 2016-12235 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-05-25/pdf/2016-12235.pdf Notice - Sunshine Act Meeting https://regulations.justia.com/regulations/fedreg/2016/05/24/2016-12291.html https://regulations.justia.com/regulations/fedreg/2016/05/24/2016-12291.html Tue, 24 May 2016 00:00:00 -0700 2016-12291 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-05-24/pdf/2016-12291.pdf Notice - In the Matter of NuTech Energy Resources, Inc.; Order of Suspension of Trading https://regulations.justia.com/regulations/fedreg/2016/05/24/2016-12290.html https://regulations.justia.com/regulations/fedreg/2016/05/24/2016-12290.html Tue, 24 May 2016 00:00:00 -0700 2016-12290 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-05-24/pdf/2016-12290.pdf Notice - In the Matter of Dragon Bright Mintai Botanical Technology Cayman Ltd., JinZangHuang Tibet Pharmaceuticals, Inc., and Macau Resources Group Ltd.; Order of Suspension of Trading https://regulations.justia.com/regulations/fedreg/2016/05/24/2016-12289.html https://regulations.justia.com/regulations/fedreg/2016/05/24/2016-12289.html Tue, 24 May 2016 00:00:00 -0700 2016-12289 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-05-24/pdf/2016-12289.pdf Notice - In the Matter of Bodisen Biotech, Inc., China Global Media, Inc., China Heli Resource Renewable, Inc., and GFR Pharmaceuticals, Inc.; Order of Suspension of Trading https://regulations.justia.com/regulations/fedreg/2016/05/24/2016-12288.html https://regulations.justia.com/regulations/fedreg/2016/05/24/2016-12288.html Tue, 24 May 2016 00:00:00 -0700 2016-12288 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-05-24/pdf/2016-12288.pdf Proposed Rule - Performance-Based Investment Advisory Fees https://regulations.justia.com/regulations/fedreg/2016/05/24/2016-12167.html https://regulations.justia.com/regulations/fedreg/2016/05/24/2016-12167.html Tue, 24 May 2016 00:00:00 -0700 2016-12167 Proposed Rule https://www.gpo.gov/fdsys/pkg/FR-2016-05-24/pdf/2016-12167.pdf Rule - Business Conduct Standards for Security-Based Swap Dealers and Major Security-Based Swap Participants; Correction https://regulations.justia.com/regulations/fedreg/2016/05/24/2016-12166.html https://regulations.justia.com/regulations/fedreg/2016/05/24/2016-12166.html Tue, 24 May 2016 00:00:00 -0700 2016-12166 Rule https://www.gpo.gov/fdsys/pkg/FR-2016-05-24/pdf/2016-12166.pdf Notice - Proposed Collection; Comment Request https://regulations.justia.com/regulations/fedreg/2016/05/24/2016-12116.html https://regulations.justia.com/regulations/fedreg/2016/05/24/2016-12116.html Tue, 24 May 2016 00:00:00 -0700 2016-12116 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-05-24/pdf/2016-12116.pdf Notice - Submission for OMB Review; Comment Request https://regulations.justia.com/regulations/fedreg/2016/05/24/2016-12115.html https://regulations.justia.com/regulations/fedreg/2016/05/24/2016-12115.html Tue, 24 May 2016 00:00:00 -0700 2016-12115 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-05-24/pdf/2016-12115.pdf 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, 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 https://regulations.justia.com/regulations/fedreg/2016/05/23/2016-12028.html https://regulations.justia.com/regulations/fedreg/2016/05/23/2016-12028.html Mon, 23 May 2016 00:00:00 -0700 2016-12028 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-05-23/pdf/2016-12028.pdf Notice - 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 Stocks https://regulations.justia.com/regulations/fedreg/2016/05/23/2016-12017.html https://regulations.justia.com/regulations/fedreg/2016/05/23/2016-12017.html Mon, 23 May 2016 00:00:00 -0700 2016-12017 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-05-23/pdf/2016-12017.pdf Notice - 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 Portfolio https://regulations.justia.com/regulations/fedreg/2016/05/23/2016-12016.html https://regulations.justia.com/regulations/fedreg/2016/05/23/2016-12016.html Mon, 23 May 2016 00:00:00 -0700 2016-12016 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-05-23/pdf/2016-12016.pdf Notice - 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 ETF https://regulations.justia.com/regulations/fedreg/2016/05/23/2016-12014.html https://regulations.justia.com/regulations/fedreg/2016/05/23/2016-12014.html Mon, 23 May 2016 00:00:00 -0700 2016-12014 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-05-23/pdf/2016-12014.pdf Notice - 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 Tier https://regulations.justia.com/regulations/fedreg/2016/05/23/2016-12013.html https://regulations.justia.com/regulations/fedreg/2016/05/23/2016-12013.html Mon, 23 May 2016 00:00:00 -0700 2016-12013 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-05-23/pdf/2016-12013.pdf Notice - 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 Arbitration https://regulations.justia.com/regulations/fedreg/2016/05/23/2016-12012.html https://regulations.justia.com/regulations/fedreg/2016/05/23/2016-12012.html Mon, 23 May 2016 00:00:00 -0700 2016-12012 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-05-23/pdf/2016-12012.pdf Notice - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Order Approving Proposed Rule Change, as Modified by Amendment No. 2 Thereto, Relating to AIM Retained Orders https://regulations.justia.com/regulations/fedreg/2016/05/20/2016-12015.html https://regulations.justia.com/regulations/fedreg/2016/05/20/2016-12015.html Fri, 20 May 2016 00:00:00 -0700 2016-12015 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-05-20/pdf/2016-12015.pdf Notice - Proposed Collection; Comment Request https://regulations.justia.com/regulations/fedreg/2016/05/20/2016-11958.html https://regulations.justia.com/regulations/fedreg/2016/05/20/2016-11958.html Fri, 20 May 2016 00:00:00 -0700 2016-11958 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-05-20/pdf/2016-11958.pdf Notice - 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. Rules https://regulations.justia.com/regulations/fedreg/2016/05/20/2016-11884.html https://regulations.justia.com/regulations/fedreg/2016/05/20/2016-11884.html Fri, 20 May 2016 00:00:00 -0700 2016-11884 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-05-20/pdf/2016-11884.pdf Notice - Self-Regulatory Organizations; ISE Mercury, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the Schedule of Fees https://regulations.justia.com/regulations/fedreg/2016/05/20/2016-11881.html https://regulations.justia.com/regulations/fedreg/2016/05/20/2016-11881.html Fri, 20 May 2016 00:00:00 -0700 2016-11881 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-05-20/pdf/2016-11881.pdf Notice - Self-Regulatory Organizations; Fixed Income Clearing Corporation; Notice of Filing To Suspend the Interbank Service of the GCF Repo® Service https://regulations.justia.com/regulations/fedreg/2016/05/20/2016-11880.html https://regulations.justia.com/regulations/fedreg/2016/05/20/2016-11880.html Fri, 20 May 2016 00:00:00 -0700 2016-11880 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-05-20/pdf/2016-11880.pdf Notice - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Nasdaq Rule 4703 https://regulations.justia.com/regulations/fedreg/2016/05/20/2016-11879.html https://regulations.justia.com/regulations/fedreg/2016/05/20/2016-11879.html Fri, 20 May 2016 00:00:00 -0700 2016-11879 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-05-20/pdf/2016-11879.pdf Notice - 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) https://regulations.justia.com/regulations/fedreg/2016/05/20/2016-11878.html https://regulations.justia.com/regulations/fedreg/2016/05/20/2016-11878.html Fri, 20 May 2016 00:00:00 -0700 2016-11878 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-05-20/pdf/2016-11878.pdf Notice - 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) https://regulations.justia.com/regulations/fedreg/2016/05/20/2016-11877.html https://regulations.justia.com/regulations/fedreg/2016/05/20/2016-11877.html Fri, 20 May 2016 00:00:00 -0700 2016-11877 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-05-20/pdf/2016-11877.pdf Notice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the NYSE Arca Options Fee Schedule https://regulations.justia.com/regulations/fedreg/2016/05/20/2016-11876.html https://regulations.justia.com/regulations/fedreg/2016/05/20/2016-11876.html Fri, 20 May 2016 00:00:00 -0700 2016-11876 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-05-20/pdf/2016-11876.pdf Notice - Submission for OMB Review; Comment Request https://regulations.justia.com/regulations/fedreg/2016/05/20/2016-11875.html https://regulations.justia.com/regulations/fedreg/2016/05/20/2016-11875.html Fri, 20 May 2016 00:00:00 -0700 2016-11875 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-05-20/pdf/2016-11875.pdf Notice - Submission for OMB Review; Comment Request https://regulations.justia.com/regulations/fedreg/2016/05/20/2016-11874.html https://regulations.justia.com/regulations/fedreg/2016/05/20/2016-11874.html Fri, 20 May 2016 00:00:00 -0700 2016-11874 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-05-20/pdf/2016-11874.pdf Notice - Nationwide Mutual Funds, et al.; Notice of Application https://regulations.justia.com/regulations/fedreg/2016/05/20/2016-11873.html https://regulations.justia.com/regulations/fedreg/2016/05/20/2016-11873.html Fri, 20 May 2016 00:00:00 -0700 2016-11873 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-05-20/pdf/2016-11873.pdf Notice - Proposed Collection; Comment Request https://regulations.justia.com/regulations/fedreg/2016/05/20/2016-11872.html https://regulations.justia.com/regulations/fedreg/2016/05/20/2016-11872.html Fri, 20 May 2016 00:00:00 -0700 2016-11872 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-05-20/pdf/2016-11872.pdf Notice - Proposed Collection; Comment Request https://regulations.justia.com/regulations/fedreg/2016/05/20/2016-11871.html https://regulations.justia.com/regulations/fedreg/2016/05/20/2016-11871.html Fri, 20 May 2016 00:00:00 -0700 2016-11871 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-05-20/pdf/2016-11871.pdf Rule - Adoption of Updated EDGAR Filer Manual https://regulations.justia.com/regulations/fedreg/2016/05/19/2016-11764.html https://regulations.justia.com/regulations/fedreg/2016/05/19/2016-11764.html Thu, 19 May 2016 00:00:00 -0700 2016-11764 Rule https://www.gpo.gov/fdsys/pkg/FR-2016-05-19/pdf/2016-11764.pdf Notice - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Withdrawal of Proposed Rule Change To Amend Rules 4702 and 4703 https://regulations.justia.com/regulations/fedreg/2016/05/19/2016-11761.html https://regulations.justia.com/regulations/fedreg/2016/05/19/2016-11761.html Thu, 19 May 2016 00:00:00 -0700 2016-11761 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-05-19/pdf/2016-11761.pdf Notice - 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 Price https://regulations.justia.com/regulations/fedreg/2016/05/19/2016-11760.html https://regulations.justia.com/regulations/fedreg/2016/05/19/2016-11760.html Thu, 19 May 2016 00:00:00 -0700 2016-11760 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-05-19/pdf/2016-11760.pdf Notice - 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 Procedures https://regulations.justia.com/regulations/fedreg/2016/05/19/2016-11759.html https://regulations.justia.com/regulations/fedreg/2016/05/19/2016-11759.html Thu, 19 May 2016 00:00:00 -0700 2016-11759 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-05-19/pdf/2016-11759.pdf Notice - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to Split-Price Priority https://regulations.justia.com/regulations/fedreg/2016/05/18/2016-11652.html https://regulations.justia.com/regulations/fedreg/2016/05/18/2016-11652.html Wed, 18 May 2016 00:00:00 -0700 2016-11652 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-05-18/pdf/2016-11652.pdf Notice - 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”) https://regulations.justia.com/regulations/fedreg/2016/05/18/2016-11651.html https://regulations.justia.com/regulations/fedreg/2016/05/18/2016-11651.html Wed, 18 May 2016 00:00:00 -0700 2016-11651 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-05-18/pdf/2016-11651.pdf Notice - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Filing and Immediate Effectiveness of a Proposed Rule To Amend the Fees Schedule https://regulations.justia.com/regulations/fedreg/2016/05/18/2016-11645.html https://regulations.justia.com/regulations/fedreg/2016/05/18/2016-11645.html Wed, 18 May 2016 00:00:00 -0700 2016-11645 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-05-18/pdf/2016-11645.pdf Notice - Self-Regulatory Organizations; International Securities Exchange, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the Schedule of Fees https://regulations.justia.com/regulations/fedreg/2016/05/18/2016-11644.html https://regulations.justia.com/regulations/fedreg/2016/05/18/2016-11644.html Wed, 18 May 2016 00:00:00 -0700 2016-11644 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-05-18/pdf/2016-11644.pdf Notice - 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 Order https://regulations.justia.com/regulations/fedreg/2016/05/18/2016-11643.html https://regulations.justia.com/regulations/fedreg/2016/05/18/2016-11643.html Wed, 18 May 2016 00:00:00 -0700 2016-11643 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-05-18/pdf/2016-11643.pdf Notice - 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 Platform https://regulations.justia.com/regulations/fedreg/2016/05/18/2016-11642.html https://regulations.justia.com/regulations/fedreg/2016/05/18/2016-11642.html Wed, 18 May 2016 00:00:00 -0700 2016-11642 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-05-18/pdf/2016-11642.pdf Notice - 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 Platform https://regulations.justia.com/regulations/fedreg/2016/05/18/2016-11641.html https://regulations.justia.com/regulations/fedreg/2016/05/18/2016-11641.html Wed, 18 May 2016 00:00:00 -0700 2016-11641 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-05-18/pdf/2016-11641.pdf Notice - Submission for OMB Review; Comment Request https://regulations.justia.com/regulations/fedreg/2016/05/18/2016-11640.html https://regulations.justia.com/regulations/fedreg/2016/05/18/2016-11640.html Wed, 18 May 2016 00:00:00 -0700 2016-11640 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-05-18/pdf/2016-11640.pdf Notice - Submission for OMB Review; Comment Request https://regulations.justia.com/regulations/fedreg/2016/05/18/2016-11639.html https://regulations.justia.com/regulations/fedreg/2016/05/18/2016-11639.html Wed, 18 May 2016 00:00:00 -0700 2016-11639 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-05-18/pdf/2016-11639.pdf Notice - Sunshine Act Meeting https://regulations.justia.com/regulations/fedreg/2016/05/17/2016-11704.html https://regulations.justia.com/regulations/fedreg/2016/05/17/2016-11704.html Tue, 17 May 2016 00:00:00 -0700 2016-11704 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-05-17/pdf/2016-11704.pdf Notice - Self-Regulatory Organizations; NYSE MKT LLC; Notice of Filing and Immediate Effectiveness of Proposed Change Modifying the NYSE Amex Options Fee Schedule https://regulations.justia.com/regulations/fedreg/2016/05/17/2016-11544.html https://regulations.justia.com/regulations/fedreg/2016/05/17/2016-11544.html Tue, 17 May 2016 00:00:00 -0700 2016-11544 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-05-17/pdf/2016-11544.pdf Notice - 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 Platform https://regulations.justia.com/regulations/fedreg/2016/05/17/2016-11543.html https://regulations.justia.com/regulations/fedreg/2016/05/17/2016-11543.html Tue, 17 May 2016 00:00:00 -0700 2016-11543 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-05-17/pdf/2016-11543.pdf Notice - 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 System https://regulations.justia.com/regulations/fedreg/2016/05/17/2016-11542.html https://regulations.justia.com/regulations/fedreg/2016/05/17/2016-11542.html Tue, 17 May 2016 00:00:00 -0700 2016-11542 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-05-17/pdf/2016-11542.pdf Notice - Self-Regulatory Organizations; NASDAQ PHLX LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Related to Customer Rebates https://regulations.justia.com/regulations/fedreg/2016/05/17/2016-11541.html https://regulations.justia.com/regulations/fedreg/2016/05/17/2016-11541.html Tue, 17 May 2016 00:00:00 -0700 2016-11541 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-05-17/pdf/2016-11541.pdf Notice - 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 Options https://regulations.justia.com/regulations/fedreg/2016/05/17/2016-11540.html https://regulations.justia.com/regulations/fedreg/2016/05/17/2016-11540.html Tue, 17 May 2016 00:00:00 -0700 2016-11540 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-05-17/pdf/2016-11540.pdf Notice - 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 Affiliates https://regulations.justia.com/regulations/fedreg/2016/05/17/2016-11539.html https://regulations.justia.com/regulations/fedreg/2016/05/17/2016-11539.html Tue, 17 May 2016 00:00:00 -0700 2016-11539 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-05-17/pdf/2016-11539.pdf Notice - Self-Regulatory Organizations; NYSE MKT LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Rule 98-Equities https://regulations.justia.com/regulations/fedreg/2016/05/17/2016-11538.html https://regulations.justia.com/regulations/fedreg/2016/05/17/2016-11538.html Tue, 17 May 2016 00:00:00 -0700 2016-11538 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-05-17/pdf/2016-11538.pdf Notice - TCW Alternative Funds, et al.; Notice of Application https://regulations.justia.com/regulations/fedreg/2016/05/17/2016-11534.html https://regulations.justia.com/regulations/fedreg/2016/05/17/2016-11534.html Tue, 17 May 2016 00:00:00 -0700 2016-11534 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-05-17/pdf/2016-11534.pdf Notice - Joint Industry Plan; Notice of Filing of the National Market System Plan Governing the Consolidated Audit Trail https://regulations.justia.com/regulations/fedreg/2016/05/17/2016-10461.html https://regulations.justia.com/regulations/fedreg/2016/05/17/2016-10461.html Tue, 17 May 2016 00:00:00 -0700 2016-10461 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-05-17/pdf/2016-10461.pdf Notice - Sunshine Act Meeting https://regulations.justia.com/regulations/fedreg/2016/05/16/2016-11581.html https://regulations.justia.com/regulations/fedreg/2016/05/16/2016-11581.html Mon, 16 May 2016 00:00:00 -0700 2016-11581 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-05-16/pdf/2016-11581.pdf Notice - 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 Order https://regulations.justia.com/regulations/fedreg/2016/05/16/2016-11412.html https://regulations.justia.com/regulations/fedreg/2016/05/16/2016-11412.html Mon, 16 May 2016 00:00:00 -0700 2016-11412 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-05-16/pdf/2016-11412.pdf Notice - 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 7014 https://regulations.justia.com/regulations/fedreg/2016/05/16/2016-11411.html https://regulations.justia.com/regulations/fedreg/2016/05/16/2016-11411.html Mon, 16 May 2016 00:00:00 -0700 2016-11411 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-05-16/pdf/2016-11411.pdf Notice - 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 Order https://regulations.justia.com/regulations/fedreg/2016/05/16/2016-11410.html https://regulations.justia.com/regulations/fedreg/2016/05/16/2016-11410.html Mon, 16 May 2016 00:00:00 -0700 2016-11410 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-05-16/pdf/2016-11410.pdf Notice - 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 Stocks https://regulations.justia.com/regulations/fedreg/2016/05/16/2016-11409.html https://regulations.justia.com/regulations/fedreg/2016/05/16/2016-11409.html Mon, 16 May 2016 00:00:00 -0700 2016-11409 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-05-16/pdf/2016-11409.pdf Notice - 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 Option https://regulations.justia.com/regulations/fedreg/2016/05/16/2016-11408.html https://regulations.justia.com/regulations/fedreg/2016/05/16/2016-11408.html Mon, 16 May 2016 00:00:00 -0700 2016-11408 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-05-16/pdf/2016-11408.pdf Notice - Self-Regulatory Organizations; ISE Mercury, LLC; Notice of Filing of Proposed Rule Change Relating to a Corporate Transaction Involving Its Indirect Parent https://regulations.justia.com/regulations/fedreg/2016/05/16/2016-11407.html https://regulations.justia.com/regulations/fedreg/2016/05/16/2016-11407.html Mon, 16 May 2016 00:00:00 -0700 2016-11407 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-05-16/pdf/2016-11407.pdf Notice - Self-Regulatory Organizations; ISE Gemini, LLC; Notice of Filing of Proposed Rule Change Relating to a Corporate Transaction Involving Its Indirect Parent https://regulations.justia.com/regulations/fedreg/2016/05/16/2016-11406.html https://regulations.justia.com/regulations/fedreg/2016/05/16/2016-11406.html Mon, 16 May 2016 00:00:00 -0700 2016-11406 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-05-16/pdf/2016-11406.pdf Notice - Self-Regulatory Organizations; International Securities Exchange, LLC; Notice of Filing of Proposed Rule Change Relating to a Corporate Transaction Involving Its Indirect Parent https://regulations.justia.com/regulations/fedreg/2016/05/16/2016-11405.html https://regulations.justia.com/regulations/fedreg/2016/05/16/2016-11405.html Mon, 16 May 2016 00:00:00 -0700 2016-11405 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-05-16/pdf/2016-11405.pdf 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(a) To Implement the Quoting and Trading Provisions of the Regulation NMS Plan To Implement a Tick Size Pilot Program https://regulations.justia.com/regulations/fedreg/2016/05/16/2016-11404.html https://regulations.justia.com/regulations/fedreg/2016/05/16/2016-11404.html Mon, 16 May 2016 00:00:00 -0700 2016-11404 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-05-16/pdf/2016-11404.pdf 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 11.21(a) To Implement the Quoting and Trading Provisions of the Regulation NMS Plan To Implement a Tick Size Pilot Program https://regulations.justia.com/regulations/fedreg/2016/05/16/2016-11403.html https://regulations.justia.com/regulations/fedreg/2016/05/16/2016-11403.html Mon, 16 May 2016 00:00:00 -0700 2016-11403 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-05-16/pdf/2016-11403.pdf 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 11.22(a) To Implement the Quoting and Trading Provisions of the Regulation NMS Plan To Implement a Tick Size Pilot Program https://regulations.justia.com/regulations/fedreg/2016/05/16/2016-11402.html https://regulations.justia.com/regulations/fedreg/2016/05/16/2016-11402.html Mon, 16 May 2016 00:00:00 -0700 2016-11402 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-05-16/pdf/2016-11402.pdf Notice - 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 Options https://regulations.justia.com/regulations/fedreg/2016/05/16/2016-11401.html https://regulations.justia.com/regulations/fedreg/2016/05/16/2016-11401.html Mon, 16 May 2016 00:00:00 -0700 2016-11401 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-05-16/pdf/2016-11401.pdf Notice - Self-Regulatory Organizations; Bats BZX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Related to Fees https://regulations.justia.com/regulations/fedreg/2016/05/16/2016-11400.html https://regulations.justia.com/regulations/fedreg/2016/05/16/2016-11400.html Mon, 16 May 2016 00:00:00 -0700 2016-11400 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-05-16/pdf/2016-11400.pdf Notice - Sunshine Act Meeting; Cancellation https://regulations.justia.com/regulations/fedreg/2016/05/13/2016-11533.html https://regulations.justia.com/regulations/fedreg/2016/05/13/2016-11533.html Fri, 13 May 2016 00:00:00 -0700 2016-11533 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-05-13/pdf/2016-11533.pdf Notice - Li-ion Motors Corp. (a/k/a Terra Inventions Corp.), PetroHunter Energy Corp., and Shrink Nanotechnologies, Inc.; Order of Suspension of Trading https://regulations.justia.com/regulations/fedreg/2016/05/13/2016-11460.html https://regulations.justia.com/regulations/fedreg/2016/05/13/2016-11460.html Fri, 13 May 2016 00:00:00 -0700 2016-11460 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-05-13/pdf/2016-11460.pdf Notice - In the Matter of GroveWare Technologies Ltd., Luve Sports, Inc., and Northcore Technologies, Inc., File No. 500-1; Order of Suspension of Trading https://regulations.justia.com/regulations/fedreg/2016/05/13/2016-11459.html https://regulations.justia.com/regulations/fedreg/2016/05/13/2016-11459.html Fri, 13 May 2016 00:00:00 -0700 2016-11459 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-05-13/pdf/2016-11459.pdf Notice - 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 Procedures https://regulations.justia.com/regulations/fedreg/2016/05/13/2016-11295.html https://regulations.justia.com/regulations/fedreg/2016/05/13/2016-11295.html Fri, 13 May 2016 00:00:00 -0700 2016-11295 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-05-13/pdf/2016-11295.pdf Notice - 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 Brokers https://regulations.justia.com/regulations/fedreg/2016/05/13/2016-11294.html https://regulations.justia.com/regulations/fedreg/2016/05/13/2016-11294.html Fri, 13 May 2016 00:00:00 -0700 2016-11294 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-05-13/pdf/2016-11294.pdf 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 https://regulations.justia.com/regulations/fedreg/2016/05/13/2016-11293.html https://regulations.justia.com/regulations/fedreg/2016/05/13/2016-11293.html Fri, 13 May 2016 00:00:00 -0700 2016-11293 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-05-13/pdf/2016-11293.pdf Notice - 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 Standards https://regulations.justia.com/regulations/fedreg/2016/05/13/2016-11292.html https://regulations.justia.com/regulations/fedreg/2016/05/13/2016-11292.html Fri, 13 May 2016 00:00:00 -0700 2016-11292 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-05-13/pdf/2016-11292.pdf Rule - Business Conduct Standards for Security-Based Swap Dealers and Major Security-Based Swap Participants https://regulations.justia.com/regulations/fedreg/2016/05/13/2016-10918.html https://regulations.justia.com/regulations/fedreg/2016/05/13/2016-10918.html Fri, 13 May 2016 00:00:00 -0700 2016-10918 Rule https://www.gpo.gov/fdsys/pkg/FR-2016-05-13/pdf/2016-10918.pdf Notice - 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 Access https://regulations.justia.com/regulations/fedreg/2016/05/12/2016-11178.html https://regulations.justia.com/regulations/fedreg/2016/05/12/2016-11178.html Thu, 12 May 2016 00:00:00 -0700 2016-11178 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-05-12/pdf/2016-11178.pdf 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 Strategic Mortgage REIT ETF of First Trust Exchange-Traded Fund VIII https://regulations.justia.com/regulations/fedreg/2016/05/12/2016-11156.html https://regulations.justia.com/regulations/fedreg/2016/05/12/2016-11156.html Thu, 12 May 2016 00:00:00 -0700 2016-11156 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-05-12/pdf/2016-11156.pdf Notice - Self-Regulatory Organizations; Bats EDGX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Related to Fees https://regulations.justia.com/regulations/fedreg/2016/05/12/2016-11155.html https://regulations.justia.com/regulations/fedreg/2016/05/12/2016-11155.html Thu, 12 May 2016 00:00:00 -0700 2016-11155 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-05-12/pdf/2016-11155.pdf Notice - 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 M https://regulations.justia.com/regulations/fedreg/2016/05/12/2016-11154.html https://regulations.justia.com/regulations/fedreg/2016/05/12/2016-11154.html Thu, 12 May 2016 00:00:00 -0700 2016-11154 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-05-12/pdf/2016-11154.pdf Notice - Self-Regulatory Organizations; BOX Options Exchange LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the Fee Schedule on the BOX Market LLC (“BOX”) Options Facility https://regulations.justia.com/regulations/fedreg/2016/05/12/2016-11153.html https://regulations.justia.com/regulations/fedreg/2016/05/12/2016-11153.html Thu, 12 May 2016 00:00:00 -0700 2016-11153 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-05-12/pdf/2016-11153.pdf Notice - Self-Regulatory Organizations; Miami International Securities Exchange LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Its Fee Schedule https://regulations.justia.com/regulations/fedreg/2016/05/12/2016-11152.html https://regulations.justia.com/regulations/fedreg/2016/05/12/2016-11152.html Thu, 12 May 2016 00:00:00 -0700 2016-11152 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-05-12/pdf/2016-11152.pdf Notice - In the Matter of Midwest Oil and Gas, Inc., File No. 500-1; Order of Suspension of Trading https://regulations.justia.com/regulations/fedreg/2016/05/11/2016-11183.html https://regulations.justia.com/regulations/fedreg/2016/05/11/2016-11183.html Wed, 11 May 2016 00:00:00 -0700 2016-11183 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-05-11/pdf/2016-11183.pdf Notice - Sunshine Act Meeting https://regulations.justia.com/regulations/fedreg/2016/05/11/2016-11157.html https://regulations.justia.com/regulations/fedreg/2016/05/11/2016-11157.html Wed, 11 May 2016 00:00:00 -0700 2016-11157 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-05-11/pdf/2016-11157.pdf Notice - 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 Procedures https://regulations.justia.com/regulations/fedreg/2016/05/11/2016-11012.html https://regulations.justia.com/regulations/fedreg/2016/05/11/2016-11012.html Wed, 11 May 2016 00:00:00 -0700 2016-11012 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-05-11/pdf/2016-11012.pdf 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 List and Trade Shares of the Pointbreak Diversified Commodity Strategy Fund of the Pointbreak ETF Trust Under BATS Rule 14.11(i), Managed Fund Shares https://regulations.justia.com/regulations/fedreg/2016/05/11/2016-11011.html https://regulations.justia.com/regulations/fedreg/2016/05/11/2016-11011.html Wed, 11 May 2016 00:00:00 -0700 2016-11011 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-05-11/pdf/2016-11011.pdf Notice - Self-Regulatory Organizations; ICE Clear Credit LLC; Order Approving Proposed Rule Change To Revise the ICC Operational Risk Management Framework https://regulations.justia.com/regulations/fedreg/2016/05/11/2016-11010.html https://regulations.justia.com/regulations/fedreg/2016/05/11/2016-11010.html Wed, 11 May 2016 00:00:00 -0700 2016-11010 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-05-11/pdf/2016-11010.pdf Notice - In the Matter of Code Rebel Corporation; Order of Suspension of Trading https://regulations.justia.com/regulations/fedreg/2016/05/10/2016-11067.html https://regulations.justia.com/regulations/fedreg/2016/05/10/2016-11067.html Tue, 10 May 2016 00:00:00 -0700 2016-11067 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-05-10/pdf/2016-11067.pdf Notice - In the Matter of Striper Energy, Inc.; Order of Suspension of Trading https://regulations.justia.com/regulations/fedreg/2016/05/10/2016-11065.html https://regulations.justia.com/regulations/fedreg/2016/05/10/2016-11065.html Tue, 10 May 2016 00:00:00 -0700 2016-11065 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-05-10/pdf/2016-11065.pdf Notice - Columbia ETF Trust I, et al.; Notice of Application https://regulations.justia.com/regulations/fedreg/2016/05/10/2016-10984.html https://regulations.justia.com/regulations/fedreg/2016/05/10/2016-10984.html Tue, 10 May 2016 00:00:00 -0700 2016-10984 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-05-10/pdf/2016-10984.pdf Notice - Franklin Templeton ETF Trust, et al.; Notice of Application https://regulations.justia.com/regulations/fedreg/2016/05/10/2016-10983.html https://regulations.justia.com/regulations/fedreg/2016/05/10/2016-10983.html Tue, 10 May 2016 00:00:00 -0700 2016-10983 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-05-10/pdf/2016-10983.pdf Notice - Triloma EIG Global Energy Fund, et al.; Notice of Application https://regulations.justia.com/regulations/fedreg/2016/05/10/2016-10960.html https://regulations.justia.com/regulations/fedreg/2016/05/10/2016-10960.html Tue, 10 May 2016 00:00:00 -0700 2016-10960 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-05-10/pdf/2016-10960.pdf Notice - Bridge Builder Trust and Olive Street Investment Advisers, LLC; Notice of Application https://regulations.justia.com/regulations/fedreg/2016/05/10/2016-10917.html https://regulations.justia.com/regulations/fedreg/2016/05/10/2016-10917.html Tue, 10 May 2016 00:00:00 -0700 2016-10917 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-05-10/pdf/2016-10917.pdf Notice - Capitala Finance Corp., et al.; Notice of Application https://regulations.justia.com/regulations/fedreg/2016/05/10/2016-10889.html https://regulations.justia.com/regulations/fedreg/2016/05/10/2016-10889.html Tue, 10 May 2016 00:00:00 -0700 2016-10889 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-05-10/pdf/2016-10889.pdf Notice - Submission for OMB Review; Comment Request https://regulations.justia.com/regulations/fedreg/2016/05/10/2016-10888.html https://regulations.justia.com/regulations/fedreg/2016/05/10/2016-10888.html Tue, 10 May 2016 00:00:00 -0700 2016-10888 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-05-10/pdf/2016-10888.pdf Notice - Submission for OMB Review; Comment Request https://regulations.justia.com/regulations/fedreg/2016/05/10/2016-10887.html https://regulations.justia.com/regulations/fedreg/2016/05/10/2016-10887.html Tue, 10 May 2016 00:00:00 -0700 2016-10887 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-05-10/pdf/2016-10887.pdf Notice - Submission for OMB Review; Comment Request https://regulations.justia.com/regulations/fedreg/2016/05/10/2016-10886.html https://regulations.justia.com/regulations/fedreg/2016/05/10/2016-10886.html Tue, 10 May 2016 00:00:00 -0700 2016-10886 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-05-10/pdf/2016-10886.pdf Notice - 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 Ports https://regulations.justia.com/regulations/fedreg/2016/05/10/2016-10885.html https://regulations.justia.com/regulations/fedreg/2016/05/10/2016-10885.html Tue, 10 May 2016 00:00:00 -0700 2016-10885 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-05-10/pdf/2016-10885.pdf Rule - Changes to Exchange Act Registration Requirements To Implement Title V and Title VI of the JOBS Act https://regulations.justia.com/regulations/fedreg/2016/05/10/2016-10746.html https://regulations.justia.com/regulations/fedreg/2016/05/10/2016-10746.html Tue, 10 May 2016 00:00:00 -0700 2016-10746 Rule https://www.gpo.gov/fdsys/pkg/FR-2016-05-10/pdf/2016-10746.pdf Notice - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the Fees Schedule https://regulations.justia.com/regulations/fedreg/2016/05/09/2016-10758.html https://regulations.justia.com/regulations/fedreg/2016/05/09/2016-10758.html Mon, 09 May 2016 00:00:00 -0700 2016-10758 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-05-09/pdf/2016-10758.pdf Notice - In the Matter of Giant Resources, Inc., and Rush Exploration, Inc., Order of Suspension of Trading https://regulations.justia.com/regulations/fedreg/2016/05/06/2016-10792.html https://regulations.justia.com/regulations/fedreg/2016/05/06/2016-10792.html Fri, 06 May 2016 00:00:00 -0700 2016-10792 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-05-06/pdf/2016-10792.pdf Notice - In the Matter of EQCO2, Inc., Hondo Minerals Corp., and Liberty Gold Corp., Order of Suspension of Trading https://regulations.justia.com/regulations/fedreg/2016/05/06/2016-10790.html https://regulations.justia.com/regulations/fedreg/2016/05/06/2016-10790.html Fri, 06 May 2016 00:00:00 -0700 2016-10790 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-05-06/pdf/2016-10790.pdf Notice - Self-Regulatory Organizations; International Securities Exchange, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the Schedule of Fees https://regulations.justia.com/regulations/fedreg/2016/05/06/2016-10608.html https://regulations.justia.com/regulations/fedreg/2016/05/06/2016-10608.html Fri, 06 May 2016 00:00:00 -0700 2016-10608 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-05-06/pdf/2016-10608.pdf Notice - Self-Regulatory Organizations; ISE Gemini, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the Schedule of Fees https://regulations.justia.com/regulations/fedreg/2016/05/06/2016-10607.html https://regulations.justia.com/regulations/fedreg/2016/05/06/2016-10607.html Fri, 06 May 2016 00:00:00 -0700 2016-10607 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-05-06/pdf/2016-10607.pdf Notice - In the Matter of Solarbrook Water and Power Corp.; Order of Suspension of Trading https://regulations.justia.com/regulations/fedreg/2016/05/05/2016-10677.html https://regulations.justia.com/regulations/fedreg/2016/05/05/2016-10677.html Thu, 05 May 2016 00:00:00 -0700 2016-10677 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-05-05/pdf/2016-10677.pdf Notice - Sunshine Act Meeting; Additional Item https://regulations.justia.com/regulations/fedreg/2016/05/05/2016-10474.html https://regulations.justia.com/regulations/fedreg/2016/05/05/2016-10474.html Thu, 05 May 2016 00:00:00 -0700 2016-10474 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-05-05/pdf/2016-10474.pdf Notice - 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 Facility https://regulations.justia.com/regulations/fedreg/2016/05/05/2016-10473.html https://regulations.justia.com/regulations/fedreg/2016/05/05/2016-10473.html Thu, 05 May 2016 00:00:00 -0700 2016-10473 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-05-05/pdf/2016-10473.pdf Notice - 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 Quotes https://regulations.justia.com/regulations/fedreg/2016/05/05/2016-10472.html https://regulations.justia.com/regulations/fedreg/2016/05/05/2016-10472.html Thu, 05 May 2016 00:00:00 -0700 2016-10472 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-05-05/pdf/2016-10472.pdf Notice - 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 Quotes https://regulations.justia.com/regulations/fedreg/2016/05/05/2016-10471.html https://regulations.justia.com/regulations/fedreg/2016/05/05/2016-10471.html Thu, 05 May 2016 00:00:00 -0700 2016-10471 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-05-05/pdf/2016-10471.pdf Notice - Notice of Applications for Deregistration Under Section 8(f) of the Investment Company Act of 1940 https://regulations.justia.com/regulations/fedreg/2016/05/04/2016-10438.html https://regulations.justia.com/regulations/fedreg/2016/05/04/2016-10438.html Wed, 04 May 2016 00:00:00 -0700 2016-10438 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-05-04/pdf/2016-10438.pdf Notice - 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 Amendments https://regulations.justia.com/regulations/fedreg/2016/05/04/2016-10437.html https://regulations.justia.com/regulations/fedreg/2016/05/04/2016-10437.html Wed, 04 May 2016 00:00:00 -0700 2016-10437 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-05-04/pdf/2016-10437.pdf Notice - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to FLEX Options Pilot Program https://regulations.justia.com/regulations/fedreg/2016/05/04/2016-10436.html https://regulations.justia.com/regulations/fedreg/2016/05/04/2016-10436.html Wed, 04 May 2016 00:00:00 -0700 2016-10436 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-05-04/pdf/2016-10436.pdf Notice - SEC Advisory Committee on Small and Emerging Companies https://regulations.justia.com/regulations/fedreg/2016/05/04/2016-10406.html https://regulations.justia.com/regulations/fedreg/2016/05/04/2016-10406.html Wed, 04 May 2016 00:00:00 -0700 2016-10406 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-05-04/pdf/2016-10406.pdf Notice - Submission for OMB Review; Comment Request https://regulations.justia.com/regulations/fedreg/2016/05/04/2016-10395.html https://regulations.justia.com/regulations/fedreg/2016/05/04/2016-10395.html Wed, 04 May 2016 00:00:00 -0700 2016-10395 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-05-04/pdf/2016-10395.pdf Notice - 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 Data https://regulations.justia.com/regulations/fedreg/2016/05/04/2016-10371.html https://regulations.justia.com/regulations/fedreg/2016/05/04/2016-10371.html Wed, 04 May 2016 00:00:00 -0700 2016-10371 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-05-04/pdf/2016-10371.pdf Notice - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Nasdaq Rule 7023 https://regulations.justia.com/regulations/fedreg/2016/05/04/2016-10370.html https://regulations.justia.com/regulations/fedreg/2016/05/04/2016-10370.html Wed, 04 May 2016 00:00:00 -0700 2016-10370 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-05-04/pdf/2016-10370.pdf Notice - Submission for OMB Review; Comment Request https://regulations.justia.com/regulations/fedreg/2016/05/04/2016-10369.html https://regulations.justia.com/regulations/fedreg/2016/05/04/2016-10369.html Wed, 04 May 2016 00:00:00 -0700 2016-10369 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-05-04/pdf/2016-10369.pdf Notice - Submission for OMB Review; Comment Request https://regulations.justia.com/regulations/fedreg/2016/05/04/2016-10368.html https://regulations.justia.com/regulations/fedreg/2016/05/04/2016-10368.html Wed, 04 May 2016 00:00:00 -0700 2016-10368 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-05-04/pdf/2016-10368.pdf Notice - Submission for OMB Review; Comment Request https://regulations.justia.com/regulations/fedreg/2016/05/04/2016-10367.html https://regulations.justia.com/regulations/fedreg/2016/05/04/2016-10367.html Wed, 04 May 2016 00:00:00 -0700 2016-10367 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-05-04/pdf/2016-10367.pdf Notice - Proposed Collection; Comment Request https://regulations.justia.com/regulations/fedreg/2016/05/04/2016-10366.html https://regulations.justia.com/regulations/fedreg/2016/05/04/2016-10366.html Wed, 04 May 2016 00:00:00 -0700 2016-10366 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-05-04/pdf/2016-10366.pdf Notice - Submission for OMB Review; Comment Request https://regulations.justia.com/regulations/fedreg/2016/05/04/2016-10365.html https://regulations.justia.com/regulations/fedreg/2016/05/04/2016-10365.html Wed, 04 May 2016 00:00:00 -0700 2016-10365 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-05-04/pdf/2016-10365.pdf Notice - Submission for OMB Review; Comment Request https://regulations.justia.com/regulations/fedreg/2016/05/04/2016-10364.html https://regulations.justia.com/regulations/fedreg/2016/05/04/2016-10364.html Wed, 04 May 2016 00:00:00 -0700 2016-10364 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-05-04/pdf/2016-10364.pdf Notice - Coyote Resources, Inc., Harbor Island Development Corp., Medical Makeover Corp. of America, and Shades Holdings, Inc.; Order of Suspension of Trading https://regulations.justia.com/regulations/fedreg/2016/05/03/2016-10410.html https://regulations.justia.com/regulations/fedreg/2016/05/03/2016-10410.html Tue, 03 May 2016 00:00:00 -0700 2016-10410 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-05-03/pdf/2016-10410.pdf Notice - Order of Suspension of Trading; In the Matter of Pioneer Exploration, Inc., Premier Brands, Inc., and Private Media Group, Inc. https://regulations.justia.com/regulations/fedreg/2016/05/03/2016-10407.html https://regulations.justia.com/regulations/fedreg/2016/05/03/2016-10407.html Tue, 03 May 2016 00:00:00 -0700 2016-10407 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-05-03/pdf/2016-10407.pdf Notice - Sunshine Act Meeting https://regulations.justia.com/regulations/fedreg/2016/05/03/2016-10394.html https://regulations.justia.com/regulations/fedreg/2016/05/03/2016-10394.html Tue, 03 May 2016 00:00:00 -0700 2016-10394 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-05-03/pdf/2016-10394.pdf Notice - 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-Equities https://regulations.justia.com/regulations/fedreg/2016/05/03/2016-10274.html https://regulations.justia.com/regulations/fedreg/2016/05/03/2016-10274.html Tue, 03 May 2016 00:00:00 -0700 2016-10274 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-05-03/pdf/2016-10274.pdf Notice - 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) https://regulations.justia.com/regulations/fedreg/2016/05/03/2016-10273.html https://regulations.justia.com/regulations/fedreg/2016/05/03/2016-10273.html Tue, 03 May 2016 00:00:00 -0700 2016-10273 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-05-03/pdf/2016-10273.pdf Notice - 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 Trust https://regulations.justia.com/regulations/fedreg/2016/05/03/2016-10272.html https://regulations.justia.com/regulations/fedreg/2016/05/03/2016-10272.html Tue, 03 May 2016 00:00:00 -0700 2016-10272 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-05-03/pdf/2016-10272.pdf Notice - 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 Funds https://regulations.justia.com/regulations/fedreg/2016/05/03/2016-10271.html https://regulations.justia.com/regulations/fedreg/2016/05/03/2016-10271.html Tue, 03 May 2016 00:00:00 -0700 2016-10271 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-05-03/pdf/2016-10271.pdf Notice - 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 Program https://regulations.justia.com/regulations/fedreg/2016/05/03/2016-10270.html https://regulations.justia.com/regulations/fedreg/2016/05/03/2016-10270.html Tue, 03 May 2016 00:00:00 -0700 2016-10270 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-05-03/pdf/2016-10270.pdf Notice - 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 Policy https://regulations.justia.com/regulations/fedreg/2016/05/03/2016-10269.html https://regulations.justia.com/regulations/fedreg/2016/05/03/2016-10269.html Tue, 03 May 2016 00:00:00 -0700 2016-10269 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-05-03/pdf/2016-10269.pdf Notice - 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 Data https://regulations.justia.com/regulations/fedreg/2016/05/03/2016-10268.html https://regulations.justia.com/regulations/fedreg/2016/05/03/2016-10268.html Tue, 03 May 2016 00:00:00 -0700 2016-10268 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-05-03/pdf/2016-10268.pdf Notice - Submission for OMB Review; Comment Request https://regulations.justia.com/regulations/fedreg/2016/05/03/2016-10267.html https://regulations.justia.com/regulations/fedreg/2016/05/03/2016-10267.html Tue, 03 May 2016 00:00:00 -0700 2016-10267 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-05-03/pdf/2016-10267.pdf Notice - Order of Suspension of Trading; In the Matter of Pineapple Express, Inc. https://regulations.justia.com/regulations/fedreg/2016/05/02/2016-10295.html https://regulations.justia.com/regulations/fedreg/2016/05/02/2016-10295.html Mon, 02 May 2016 00:00:00 -0700 2016-10295 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-05-02/pdf/2016-10295.pdf Notice - Self-Regulatory Organizations; ISE Mercury, LLC; Notice of Filing of Proposed Rule Change Relating to Preferenced Volume https://regulations.justia.com/regulations/fedreg/2016/05/02/2016-10155.html https://regulations.justia.com/regulations/fedreg/2016/05/02/2016-10155.html Mon, 02 May 2016 00:00:00 -0700 2016-10155 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-05-02/pdf/2016-10155.pdf 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 PowerShares Variable Rate Investment Grade Portfolio, a Series of the PowerShares Actively Managed Exchange-Traded Fund Trust https://regulations.justia.com/regulations/fedreg/2016/05/02/2016-10154.html https://regulations.justia.com/regulations/fedreg/2016/05/02/2016-10154.html Mon, 02 May 2016 00:00:00 -0700 2016-10154 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-05-02/pdf/2016-10154.pdf Notice - 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 I https://regulations.justia.com/regulations/fedreg/2016/05/02/2016-10153.html https://regulations.justia.com/regulations/fedreg/2016/05/02/2016-10153.html Mon, 02 May 2016 00:00:00 -0700 2016-10153 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-05-02/pdf/2016-10153.pdf Notice - 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 Cycles https://regulations.justia.com/regulations/fedreg/2016/05/02/2016-10152.html https://regulations.justia.com/regulations/fedreg/2016/05/02/2016-10152.html Mon, 02 May 2016 00:00:00 -0700 2016-10152 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-05-02/pdf/2016-10152.pdf Notice - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Filing and Immediate Effectiveness of a Proposed Rule To Amend the Fees Schedule https://regulations.justia.com/regulations/fedreg/2016/05/02/2016-10151.html https://regulations.justia.com/regulations/fedreg/2016/05/02/2016-10151.html Mon, 02 May 2016 00:00:00 -0700 2016-10151 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-05-02/pdf/2016-10151.pdf Notice - 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 Rules https://regulations.justia.com/regulations/fedreg/2016/05/02/2016-10150.html https://regulations.justia.com/regulations/fedreg/2016/05/02/2016-10150.html Mon, 02 May 2016 00:00:00 -0700 2016-10150 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-05-02/pdf/2016-10150.pdf Notice - 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 Interest https://regulations.justia.com/regulations/fedreg/2016/05/02/2016-10149.html https://regulations.justia.com/regulations/fedreg/2016/05/02/2016-10149.html Mon, 02 May 2016 00:00:00 -0700 2016-10149 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-05-02/pdf/2016-10149.pdf Notice - 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 Data https://regulations.justia.com/regulations/fedreg/2016/05/02/2016-10148.html https://regulations.justia.com/regulations/fedreg/2016/05/02/2016-10148.html Mon, 02 May 2016 00:00:00 -0700 2016-10148 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-05-02/pdf/2016-10148.pdf Notice - 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 Change https://regulations.justia.com/regulations/fedreg/2016/05/02/2016-10147.html https://regulations.justia.com/regulations/fedreg/2016/05/02/2016-10147.html Mon, 02 May 2016 00:00:00 -0700 2016-10147 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-05-02/pdf/2016-10147.pdf Notice - 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 III https://regulations.justia.com/regulations/fedreg/2016/05/02/2016-10146.html https://regulations.justia.com/regulations/fedreg/2016/05/02/2016-10146.html Mon, 02 May 2016 00:00:00 -0700 2016-10146 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-05-02/pdf/2016-10146.pdf Notice - Proposed Collection; Comment Request https://regulations.justia.com/regulations/fedreg/2016/05/02/2016-10111.html https://regulations.justia.com/regulations/fedreg/2016/05/02/2016-10111.html Mon, 02 May 2016 00:00:00 -0700 2016-10111 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-05-02/pdf/2016-10111.pdf Notice - Proposed Collection; Comment Request https://regulations.justia.com/regulations/fedreg/2016/05/02/2016-10110.html https://regulations.justia.com/regulations/fedreg/2016/05/02/2016-10110.html Mon, 02 May 2016 00:00:00 -0700 2016-10110 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-05-02/pdf/2016-10110.pdf Notice - Terra Capital Partners, LLC, et al.; Notice of Application https://regulations.justia.com/regulations/fedreg/2016/05/02/2016-10109.html https://regulations.justia.com/regulations/fedreg/2016/05/02/2016-10109.html Mon, 02 May 2016 00:00:00 -0700 2016-10109 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-05-02/pdf/2016-10109.pdf Notice - Proposed Collection; Comment Request https://regulations.justia.com/regulations/fedreg/2016/05/02/2016-10108.html https://regulations.justia.com/regulations/fedreg/2016/05/02/2016-10108.html Mon, 02 May 2016 00:00:00 -0700 2016-10108 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-05-02/pdf/2016-10108.pdf Notice - Proposed Collection; Comment Request https://regulations.justia.com/regulations/fedreg/2016/05/02/2016-10107.html https://regulations.justia.com/regulations/fedreg/2016/05/02/2016-10107.html Mon, 02 May 2016 00:00:00 -0700 2016-10107 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-05-02/pdf/2016-10107.pdf