Federal Register Recent Federal Regulation Documents - Justia Regulation Tracker

Federal Register Recent Federal Regulation Documents - Justia Regulation Tracker - Justia Regulations Tracker https://regulations.justia.com/regulations/fedreg/agencies/securities-and-exchange-commission/2016/06?limit=200&registers=between&min-day=1&max-day=30&mode=atom 2024-04-19T04:24:11-07:00 Justia Inc https://www.justia.com/ Justia Regulations Tracker https://regulations.justia.com/images/justiafedregulations.gif Copyright 2011 Justia Inc https://regulations.justia.com/regulations/fedreg/2016/06/30/2016-15509.html Notice - SEC Advisory Committee on Small and Emerging Companies 2016-06-30T00:00:00-07:00 2016-06-30T00:00:00-07:00

2016-15509 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-06-30/pdf/2016-15509.pdf https://regulations.justia.com/regulations/fedreg/2016/06/30/2016-15500.html Notice - Self-Regulatory Organizations; NYSE MKT LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change for a Temporary Suspension of Those Aspects of Rules 36.20-Equities and 36.21-Equities That Would Not Permit Floor Brokers To Use Personal Portable Phone Devices on the Trading Floor Due to the Unavailability of Floor Broker Telephone Services 2016-06-30T00:00:00-07:00 2016-06-30T00:00:00-07:00 2016-15500 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-06-30/pdf/2016-15500.pdf https://regulations.justia.com/regulations/fedreg/2016/06/30/2016-15499.html Notice - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change for a Temporary Suspension of Those Aspects of Rules 36.20 and 36.21 That Would Not Permit Floor Brokers To Use Personal Portable Phone Devices on the Trading Floor Due to the Unavailability of Floor Broker Telephone Services 2016-06-30T00:00:00-07:00 2016-06-30T00:00:00-07:00 2016-15499 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-06-30/pdf/2016-15499.pdf https://regulations.justia.com/regulations/fedreg/2016/06/30/2016-15458.html Notice - Notice of Applications for Deregistration Under Section 8(f) of the Investment Company Act of 1940 2016-06-30T00:00:00-07:00 2016-06-30T00:00:00-07:00

2016-15458 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-06-30/pdf/2016-15458.pdf https://regulations.justia.com/regulations/fedreg/2016/06/30/2016-15457.html Notice - Self-Regulatory Organizations; New York Stock Exchange LLC; Order Granting Approval of a Proposed Rule Change, as Modified by Amendment Nos. 5 and 6, To Adopt Initial and Continued Listing Standards for the Listing of Equity Investment Tracking Stocks and Adopt Listing Fees Specific to Equity Investment Tracking Stocks 2016-06-30T00:00:00-07:00 2016-06-30T00:00:00-07:00 2016-15457 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-06-30/pdf/2016-15457.pdf https://regulations.justia.com/regulations/fedreg/2016/06/30/2016-15456.html Notice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Temporarily Widen Price Collar Thresholds for the Core Open Auction and Trading Halt Auctions 2016-06-30T00:00:00-07:00 2016-06-30T00:00:00-07:00 2016-15456 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-06-30/pdf/2016-15456.pdf https://regulations.justia.com/regulations/fedreg/2016/06/30/2016-15455.html Notice - Self-Regulatory Organizations; The Options Clearing Corporation; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Related to the Acceptance of Pass-Through Letters of Credit as a Form of Margin Asset 2016-06-30T00:00:00-07:00 2016-06-30T00:00:00-07:00 2016-15455 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-06-30/pdf/2016-15455.pdf https://regulations.justia.com/regulations/fedreg/2016/06/30/2016-15454.html Notice - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing of Proposed Rule Change to List and Trade the Shares of the VanEck Vectors Long/Flat Commodity ETF 2016-06-30T00:00:00-07:00 2016-06-30T00:00:00-07:00 2016-15454 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-06-30/pdf/2016-15454.pdf https://regulations.justia.com/regulations/fedreg/2016/06/29/C1-2016-14086.html Notice - Self-Regulatory Organizations; NYSE MKT LLC; Suspension of and Order Instituting Proceedings To Determine Whether To Approve or Disapprove a Proposed Rule Change To Modify the NYSE Amex Options Fee Schedule With Respect to Fees, Rebates, and Credits for Transactions in the Customer Best Execution Auction 2016-06-29T00:00:00-07:00 2016-06-29T00:00:00-07:00 C1-2016-14086 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-06-29/pdf/C1-2016-14086.pdf https://regulations.justia.com/regulations/fedreg/2016/06/29/2016-15360.html Notice - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Allow Listed Companies Not Currently Subject to Nasdaq's All-Inclusive Annual Listing Fee To Opt In to That Fee Program for 2017 2016-06-29T00:00:00-07:00 2016-06-29T00:00:00-07:00 2016-15360 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-06-29/pdf/2016-15360.pdf https://regulations.justia.com/regulations/fedreg/2016/06/29/2016-15324.html Notice - Self-Regulatory Organizations; Chicago Stock Exchange, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Adopt Rules To Implement the Regulation NMS Plan To Implement a Tick Size Pilot Program 2016-06-29T00:00:00-07:00 2016-06-29T00:00:00-07:00 2016-15324 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-06-29/pdf/2016-15324.pdf https://regulations.justia.com/regulations/fedreg/2016/06/29/2016-15322.html Notice - Self-Regulatory Organizations; CBOE Futures Exchange, LLC; Notice of Proposed Rule Change To Make Clarifying Updates to Prohibited Disruptive Trading Practices 2016-06-29T00:00:00-07:00 2016-06-29T00:00:00-07:00 2016-15322 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-06-29/pdf/2016-15322.pdf https://regulations.justia.com/regulations/fedreg/2016/06/28/2016-15377.html Notice - In the Matter of Breitling Energy Corporation; Order of Suspension of Trading 2016-06-28T00:00:00-07:00 2016-06-28T00:00:00-07:00 2016-15377 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-06-28/pdf/2016-15377.pdf https://regulations.justia.com/regulations/fedreg/2016/06/28/2016-15323.html Notice - Self-Regulatory Organizations; ICE Clear Credit LLC; Notice of Designation of Longer Period for Commission Action on Proposed Rule Change To Revise the ICC End-of-Day Price Discovery Policies and Procedures 2016-06-28T00:00:00-07:00 2016-06-28T00:00:00-07:00 2016-15323 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-06-28/pdf/2016-15323.pdf https://regulations.justia.com/regulations/fedreg/2016/06/28/2016-15180.html Notice - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Filing of a Proposed Rule Change To Expand the Nonstandard Expirations Pilot Program 2016-06-28T00:00:00-07:00 2016-06-28T00:00:00-07:00 2016-15180 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-06-28/pdf/2016-15180.pdf https://regulations.justia.com/regulations/fedreg/2016/06/28/2016-15179.html Notice - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Extend a Pilot Program that Eliminates Position and Exercise Limits for Physically-Settled SPDR S&P 500 ETF Trust (“SPY”) Options 2016-06-28T00:00:00-07:00 2016-06-28T00:00:00-07:00 2016-15179 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-06-28/pdf/2016-15179.pdf https://regulations.justia.com/regulations/fedreg/2016/06/28/2016-15178.html Notice - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Adopt NASD Rule 2830 as FINRA Rule 2341 (Investment Company Securities) in the Consolidated FINRA Rulebook 2016-06-28T00:00:00-07:00 2016-06-28T00:00:00-07:00 2016-15178 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-06-28/pdf/2016-15178.pdf https://regulations.justia.com/regulations/fedreg/2016/06/28/2016-15177.html Notice - Self-Regulatory Organizations; NASDAQ PHLX LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to the Risk Monitor Mechanism 2016-06-28T00:00:00-07:00 2016-06-28T00:00:00-07:00 2016-15177 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-06-28/pdf/2016-15177.pdf https://regulations.justia.com/regulations/fedreg/2016/06/28/2016-15176.html Notice - Self-Regulatory Organizations; Chicago Stock Exchange, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the Institutional Broker Fee Cap and Credit 2016-06-28T00:00:00-07:00 2016-06-28T00:00:00-07:00 2016-15176 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-06-28/pdf/2016-15176.pdf https://regulations.justia.com/regulations/fedreg/2016/06/28/2016-15175.html Notice - Self-Regulatory Organizations; NASDAQ BX, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Elimination of SPY Position Limits 2016-06-28T00:00:00-07:00 2016-06-28T00:00:00-07:00 2016-15175 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-06-28/pdf/2016-15175.pdf https://regulations.justia.com/regulations/fedreg/2016/06/28/2016-15174.html Notice - Self-Regulatory Organizations; NASDAQ PHLX LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to SPY Position Limits 2016-06-28T00:00:00-07:00 2016-06-28T00:00:00-07:00 2016-15174 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-06-28/pdf/2016-15174.pdf https://regulations.justia.com/regulations/fedreg/2016/06/28/2016-15173.html Notice - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Elimination of SPY Position Limits 2016-06-28T00:00:00-07:00 2016-06-28T00:00:00-07:00 2016-15173 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-06-28/pdf/2016-15173.pdf https://regulations.justia.com/regulations/fedreg/2016/06/28/2016-15172.html Notice - Self-Regulatory Organizations; Bats BYX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Related to Fees 2016-06-28T00:00:00-07:00 2016-06-28T00:00:00-07:00 2016-15172 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-06-28/pdf/2016-15172.pdf https://regulations.justia.com/regulations/fedreg/2016/06/28/2016-15171.html Notice - Self-Regulatory Organizations; Bats EDGA Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Related to Fees 2016-06-28T00:00:00-07:00 2016-06-28T00:00:00-07:00 2016-15171 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-06-28/pdf/2016-15171.pdf https://regulations.justia.com/regulations/fedreg/2016/06/28/2016-15170.html Notice - Self-Regulatory Organizations; Miami International Securities Exchange LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Exchange Rules 307 and 309 To Extend the SPY Pilot Program 2016-06-28T00:00:00-07:00 2016-06-28T00:00:00-07:00 2016-15170 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-06-28/pdf/2016-15170.pdf https://regulations.justia.com/regulations/fedreg/2016/06/27/2016-15255.html Notice - In the Matter of Coastal Pacific Mining Corp. and Petaquilla Minerals Ltd.; Order of Suspension of Trading 2016-06-27T00:00:00-07:00 2016-06-27T00:00:00-07:00 2016-15255 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-06-27/pdf/2016-15255.pdf https://regulations.justia.com/regulations/fedreg/2016/06/27/2016-15214.html Notice - In the Matter of Caspian International Oil Corporation, Elevate, Inc., Frawley Corporation, Groen Brothers Aviation, Inc., and Logic Devices, Incorporated; Order of Suspension of Trading 2016-06-27T00:00:00-07:00 2016-06-27T00:00:00-07:00 2016-15214 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-06-27/pdf/2016-15214.pdf https://regulations.justia.com/regulations/fedreg/2016/06/27/2016-15210.html Notice - In the Matter of Rebornne (USA) Inc.; Order of Suspension of Trading 2016-06-27T00:00:00-07:00 2016-06-27T00:00:00-07:00 2016-15210 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-06-27/pdf/2016-15210.pdf https://regulations.justia.com/regulations/fedreg/2016/06/27/2016-15109.html Notice - Investor Advisory Committee Meeting 2016-06-27T00:00:00-07:00 2016-06-27T00:00:00-07:00

2016-15109 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-06-27/pdf/2016-15109.pdf https://regulations.justia.com/regulations/fedreg/2016/06/27/2016-15076.html Notice - Self-Regulatory Organizations; Bats EDGX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Related to Fees 2016-06-27T00:00:00-07:00 2016-06-27T00:00:00-07:00 2016-15076 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-06-27/pdf/2016-15076.pdf https://regulations.justia.com/regulations/fedreg/2016/06/27/2016-15075.html Notice - Self-Regulatory Organizations; Bats BZX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Related to Fees 2016-06-27T00:00:00-07:00 2016-06-27T00:00:00-07:00 2016-15075 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-06-27/pdf/2016-15075.pdf https://regulations.justia.com/regulations/fedreg/2016/06/27/2016-15074.html Notice - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Related to Order Marking 2016-06-27T00:00:00-07:00 2016-06-27T00:00:00-07:00 2016-15074 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-06-27/pdf/2016-15074.pdf https://regulations.justia.com/regulations/fedreg/2016/06/27/2016-15073.html Notice - Self-Regulatory Organizations; Chicago Stock Exchange, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Regarding Fingerprinting 2016-06-27T00:00:00-07:00 2016-06-27T00:00:00-07:00 2016-15073 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-06-27/pdf/2016-15073.pdf https://regulations.justia.com/regulations/fedreg/2016/06/27/2016-15072.html Notice - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Its Price List To Adopt a Fee Waiver and a Fee Cap Related to the Liquidity Provider Incentive Program on the NYSE BondsSM 2016-06-27T00:00:00-07:00 2016-06-27T00:00:00-07:00 2016-15072 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-06-27/pdf/2016-15072.pdf https://regulations.justia.com/regulations/fedreg/2016/06/27/2016-15071.html Notice - Self-Regulatory Organizations; NASDAQ BX, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Provide a Process for an Expedited Suspension Proceeding and Adopt a Rule To Prohibit Disruptive Options Quoting and Trading Activity 2016-06-27T00:00:00-07:00 2016-06-27T00:00:00-07:00 2016-15071 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-06-27/pdf/2016-15071.pdf https://regulations.justia.com/regulations/fedreg/2016/06/27/2016-15067.html Notice - Self-Regulatory Organizations; International Securities Exchange, LLC; ISE Gemini, LLC; ISE Mercury, LLC; Notice of Filing of Amendments No. 1 and Order Granting Accelerated Approval of Proposed Rule Changes, Each as Modified by Amendment No. 1 Thereto, Relating to a Corporate Transaction in Which Nasdaq, Inc. Will Become the Indirect Parent of ISE, ISE Gemini, and ISE Mercury 2016-06-27T00:00:00-07:00 2016-06-27T00:00:00-07:00 2016-15067 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-06-27/pdf/2016-15067.pdf https://regulations.justia.com/regulations/fedreg/2016/06/27/2016-15066.html Notice - Self-Regulatory Organizations; NYSE MKT LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Modifying the NYSE Amex Options Fee Schedule 2016-06-27T00:00:00-07:00 2016-06-27T00:00:00-07:00 2016-15066 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-06-27/pdf/2016-15066.pdf https://regulations.justia.com/regulations/fedreg/2016/06/27/2016-15065.html Notice - Self-Regulatory Organizations; NASDAQ PHLX LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Exchange's Pricing Schedule 2016-06-27T00:00:00-07:00 2016-06-27T00:00:00-07:00 2016-15065 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-06-27/pdf/2016-15065.pdf https://regulations.justia.com/regulations/fedreg/2016/06/27/2016-14632.html Proposed Rule - Modernization of Property Disclosures for Mining Registrants 2016-06-27T00:00:00-07:00 2016-06-27T00:00:00-07:00

2016-14632 Proposed Rule https://www.gpo.gov/fdsys/pkg/FR-2016-06-27/pdf/2016-14632.pdf https://regulations.justia.com/regulations/fedreg/2016/06/24/C1-2016-14499.html Notice - Securities Investor Protection Corporation; Notice of Filing of Proposed Bylaw Amendments Relating to Assessment of SIPC Members 2016-06-24T00:00:00-07:00 2016-06-24T00:00:00-07:00 C1-2016-14499 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-06-24/pdf/C1-2016-14499.pdf https://regulations.justia.com/regulations/fedreg/2016/06/24/2016-14933.html Notice - Self-Regulatory Organizations; NYSE MKT LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Adopting New NYSE MKT Rules 2090-Equities (Know Your Customer) and 2111-Equities (Suitability) That Are Substantially Similar to FINRA Rules 2090 (Know Your Customer) and 2111 (Suitability), Deleting Current NYSE MKT Rule 405-Equities (Diligence as to Accounts), and Making Other Conforming Changes 2016-06-24T00:00:00-07:00 2016-06-24T00:00:00-07:00 2016-14933 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-06-24/pdf/2016-14933.pdf https://regulations.justia.com/regulations/fedreg/2016/06/24/2016-14931.html Notice - Submission for OMB Review; Comment Request 2016-06-24T00:00:00-07:00 2016-06-24T00:00:00-07:00 2016-14931 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-06-24/pdf/2016-14931.pdf https://regulations.justia.com/regulations/fedreg/2016/06/24/2016-14930.html Notice - Submission for OMB Review; Comment Request 2016-06-24T00:00:00-07:00 2016-06-24T00:00:00-07:00 2016-14930 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-06-24/pdf/2016-14930.pdf https://regulations.justia.com/regulations/fedreg/2016/06/24/2016-14929.html Notice - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Options Pricing at Chapter XV, Section 2 2016-06-24T00:00:00-07:00 2016-06-24T00:00:00-07:00 2016-14929 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-06-24/pdf/2016-14929.pdf https://regulations.justia.com/regulations/fedreg/2016/06/24/2016-14928.html Notice - Self-Regulatory Organizations; BATS Exchange, Inc.; Order Granting Approval of a Proposed Rule Change, as Modified by Amendment Nos. 1, 2, and 3, 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 2016-06-24T00:00:00-07:00 2016-06-24T00:00:00-07:00 2016-14928 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-06-24/pdf/2016-14928.pdf https://regulations.justia.com/regulations/fedreg/2016/06/23/2016-14876.html Rule - Commission Interpretation Regarding Automated Quotations Under Regulation NMS 2016-06-23T00:00:00-07:00 2016-06-23T00:00:00-07:00

2016-14876 Rule https://www.gpo.gov/fdsys/pkg/FR-2016-06-23/pdf/2016-14876.pdf https://regulations.justia.com/regulations/fedreg/2016/06/23/2016-14875.html Notice - In the Matter of the Application of: Investors' Exchange, LLC for Registration as a National Securities Exchange; Findings, Opinion, and Order of the Commission 2016-06-23T00:00:00-07:00 2016-06-23T00:00:00-07:00 2016-14875 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-06-23/pdf/2016-14875.pdf https://regulations.justia.com/regulations/fedreg/2016/06/23/2016-14840.html Notice - Proposed Collection; Comment Request 2016-06-23T00:00:00-07:00 2016-06-23T00:00:00-07:00 2016-14840 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-06-23/pdf/2016-14840.pdf https://regulations.justia.com/regulations/fedreg/2016/06/23/2016-14837.html Notice - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Order Approving Proposed Rule Change Relating to Composition, Terms of Members and Election Procedures for the National Adjudicatory Council 2016-06-23T00:00:00-07:00 2016-06-23T00:00:00-07:00 2016-14837 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-06-23/pdf/2016-14837.pdf https://regulations.justia.com/regulations/fedreg/2016/06/22/2016-14730.html Rule - Asset-Backed Securities Disclosure and Registration 2016-06-22T00:00:00-07:00 2016-06-22T00:00:00-07:00

2016-14730 Rule https://www.gpo.gov/fdsys/pkg/FR-2016-06-22/pdf/2016-14730.pdf https://regulations.justia.com/regulations/fedreg/2016/06/22/2016-14715.html Notice - Self-Regulatory Organizations; NASDAQ PHLX LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Make Clarifying Amendments to and Remove Obsolete Language From Rules 1053 and 1056 2016-06-22T00:00:00-07:00 2016-06-22T00:00:00-07:00 2016-14715 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-06-22/pdf/2016-14715.pdf https://regulations.justia.com/regulations/fedreg/2016/06/22/2016-14714.html Notice - Self-Regulatory Organizations; C2 Options Exchange, Incorporated; Notice of Filing and Immediate Effectiveness of a Proposed Rule To Amend the Fees Schedule 2016-06-22T00:00:00-07:00 2016-06-22T00:00:00-07:00 2016-14714 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-06-22/pdf/2016-14714.pdf https://regulations.justia.com/regulations/fedreg/2016/06/22/2016-14713.html Notice - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Rules 7018(a) and 7014(h) 2016-06-22T00:00:00-07:00 2016-06-22T00:00:00-07:00 2016-14713 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-06-22/pdf/2016-14713.pdf https://regulations.justia.com/regulations/fedreg/2016/06/21/2016-14561.html Notice - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing of Amendment No. 3 and Order Granting Accelerated Approval to a Proposed Rule Change To Amend FINRA Rule 4210 (Margin Requirements) To Establish Margin Requirements for the TBA Market, as Modified by Amendment Nos. 1, 2, and 3 2016-06-21T00:00:00-07:00 2016-06-21T00:00:00-07:00 2016-14561 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-06-21/pdf/2016-14561.pdf https://regulations.justia.com/regulations/fedreg/2016/06/21/2016-14560.html Notice - Self-Regulatory Organizations; Miami International Securities Exchange LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Exchange Rule 510 To Extend the Penny Pilot Program Until December 31, 2016 2016-06-21T00:00:00-07:00 2016-06-21T00:00:00-07:00 2016-14560 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-06-21/pdf/2016-14560.pdf https://regulations.justia.com/regulations/fedreg/2016/06/21/2016-14559.html Notice - Self-Regulatory Organizations; Bats BZX Exchange, Inc.; Notice of Designation of a Longer Period for Commission Action on 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 2016-06-21T00:00:00-07:00 2016-06-21T00:00:00-07:00 2016-14559 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-06-21/pdf/2016-14559.pdf https://regulations.justia.com/regulations/fedreg/2016/06/21/2016-14558.html Notice - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Designation of a Longer Period for Commission Action on a 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 2016-06-21T00:00:00-07:00 2016-06-21T00:00:00-07:00 2016-14558 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-06-21/pdf/2016-14558.pdf https://regulations.justia.com/regulations/fedreg/2016/06/21/2016-14557.html 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 2016-06-21T00:00:00-07:00 2016-06-21T00:00:00-07:00 2016-14557 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-06-21/pdf/2016-14557.pdf https://regulations.justia.com/regulations/fedreg/2016/06/21/2016-14556.html Notice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing of Proposed Rule Change To List and Trade Shares of the Global Currency Gold Fund Under NYSE Arca Equities Rule 8.201 2016-06-21T00:00:00-07:00 2016-06-21T00:00:00-07:00 2016-14556 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-06-21/pdf/2016-14556.pdf https://regulations.justia.com/regulations/fedreg/2016/06/20/2016-14499.html Notice - Securities Investor Protection Corporation; Notice of Filing of Proposed Bylaw Amendments Relating to Assessment of SIPC Members 2016-06-20T00:00:00-07:00 2016-06-20T00:00:00-07:00 2016-14499 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-06-20/pdf/2016-14499.pdf https://regulations.justia.com/regulations/fedreg/2016/06/20/2016-14450.html Notice - Order Approving Adjustment for Inflation of the Dollar Amount Tests in Rule 205-3 Under the Investment Advisers Act of 1940 2016-06-20T00:00:00-07:00 2016-06-20T00:00:00-07:00 2016-14450 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-06-20/pdf/2016-14450.pdf https://regulations.justia.com/regulations/fedreg/2016/06/20/2016-14449.html Notice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending the NYSE Arca Equities Schedule of Fees and Charges for Exchange Services 2016-06-20T00:00:00-07:00 2016-06-20T00:00:00-07:00 2016-14449 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-06-20/pdf/2016-14449.pdf https://regulations.justia.com/regulations/fedreg/2016/06/20/2016-14448.html Notice - Self-Regulatory Organizations; NASDAQ BX, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Rule 7018(a) 2016-06-20T00:00:00-07:00 2016-06-20T00:00:00-07:00 2016-14448 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-06-20/pdf/2016-14448.pdf https://regulations.justia.com/regulations/fedreg/2016/06/20/2016-14447.html Notice - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Designation of a Longer Period for Commission Action on a Proposed Rule Change, as Modified by Amendment No. 1 Thereto, 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 2016-06-20T00:00:00-07:00 2016-06-20T00:00:00-07:00 2016-14447 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-06-20/pdf/2016-14447.pdf https://regulations.justia.com/regulations/fedreg/2016/06/20/2016-14446.html 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 2016-06-20T00:00:00-07:00 2016-06-20T00:00:00-07:00 2016-14446 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-06-20/pdf/2016-14446.pdf https://regulations.justia.com/regulations/fedreg/2016/06/20/2016-14445.html Notice - Self-Regulatory Organizations; Bats BZX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Related to Fees as They Apply to the Equity Options Platform 2016-06-20T00:00:00-07:00 2016-06-20T00:00:00-07:00 2016-14445 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-06-20/pdf/2016-14445.pdf https://regulations.justia.com/regulations/fedreg/2016/06/20/2016-14444.html Notice - Self-Regulatory Organizations; NASDAQ PHLX LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to Extension of the Exchange's Penny Pilot Program and Replacement of Penny Pilot Issues That Have Been Delisted 2016-06-20T00:00:00-07:00 2016-06-20T00:00:00-07:00 2016-14444 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-06-20/pdf/2016-14444.pdf https://regulations.justia.com/regulations/fedreg/2016/06/17/2016-14477.html Notice - In the Matter of MIT Holding, Inc.; Order of Suspension of Trading 2016-06-17T00:00:00-07:00 2016-06-17T00:00:00-07:00 2016-14477 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-06-17/pdf/2016-14477.pdf https://regulations.justia.com/regulations/fedreg/2016/06/17/2016-14475.html Notice - In the Matter of Advanced Life Sciences Holdings, Inc., Anoteros, Inc., Emperial Americas, Inc., Nord Resources Corporation, and UNR Holdings, Inc.; Order of Suspension of Trading 2016-06-17T00:00:00-07:00 2016-06-17T00:00:00-07:00 2016-14475 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-06-17/pdf/2016-14475.pdf https://regulations.justia.com/regulations/fedreg/2016/06/17/2016-14473.html Notice - In the Matter of Cascade Technologies Corp., Echo Automotive, Inc., and Vision Industries Corp.; Order of Suspension of Trading 2016-06-17T00:00:00-07:00 2016-06-17T00:00:00-07:00 2016-14473 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-06-17/pdf/2016-14473.pdf https://regulations.justia.com/regulations/fedreg/2016/06/17/2016-14320.html Notice - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing of Proposed Rule Change Amending NYSE Rule 6A To Exclude the Physical Area Within Fully Enclosed Telephone Booths Located in 18 Broad Street From the Definition of Trading Floor 2016-06-17T00:00:00-07:00 2016-06-17T00:00:00-07:00 2016-14320 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-06-17/pdf/2016-14320.pdf https://regulations.justia.com/regulations/fedreg/2016/06/17/2016-14319.html Notice - Self-Regulatory Organizations; Bats EDGX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Extend the Penny Pilot Program 2016-06-17T00:00:00-07:00 2016-06-17T00:00:00-07:00 2016-14319 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-06-17/pdf/2016-14319.pdf https://regulations.justia.com/regulations/fedreg/2016/06/17/2016-14315.html Notice - Self-Regulatory Organizations; The Options Clearing Corporation; Order Instituting Proceedings To Determine Whether To Approve or Disapprove a Proposed Rule Change Related to the Adoption of an Options Exchange Risk Control Standards Policy 2016-06-17T00:00:00-07:00 2016-06-17T00:00:00-07:00 2016-14315 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-06-17/pdf/2016-14315.pdf https://regulations.justia.com/regulations/fedreg/2016/06/17/2016-14314.html Notice - Self-Regulatory Organizations; ICE Clear Credit LLC; Notice of Filing and Order Granting Accelerated Approval of Proposed Rule Change To Revise the ICC Clearing Rules 2016-06-17T00:00:00-07:00 2016-06-17T00:00:00-07:00 2016-14314 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-06-17/pdf/2016-14314.pdf https://regulations.justia.com/regulations/fedreg/2016/06/17/2016-14313.html Notice - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Fees Assessed Under Rule 7015(h) 2016-06-17T00:00:00-07:00 2016-06-17T00:00:00-07:00 2016-14313 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-06-17/pdf/2016-14313.pdf https://regulations.justia.com/regulations/fedreg/2016/06/17/2016-14312.html Notice - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Eliminate the Limited WebLink ACT or Nasdaq Workstation Post Trade Fee Tier Under Rule 7015(e) 2016-06-17T00:00:00-07:00 2016-06-17T00:00:00-07:00 2016-14312 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-06-17/pdf/2016-14312.pdf https://regulations.justia.com/regulations/fedreg/2016/06/17/2016-14311.html Notice - Self-Regulatory Organizations; National Stock Exchange, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Its Fee and Rebate Schedule To Adopt a Market Data Revenue Sharing Program 2016-06-17T00:00:00-07:00 2016-06-17T00:00:00-07:00 2016-14311 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-06-17/pdf/2016-14311.pdf https://regulations.justia.com/regulations/fedreg/2016/06/17/2016-14310.html Notice - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Eliminate Certain Fees Charged to Securities Listed on Nasdaq Under the Rule 5700 Series 2016-06-17T00:00:00-07:00 2016-06-17T00:00:00-07:00 2016-14310 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-06-17/pdf/2016-14310.pdf https://regulations.justia.com/regulations/fedreg/2016/06/17/2016-14307.html Notice - Self-Regulatory Organizations; ICE Clear Europe Limited; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating To Clearance of Containerised White Sugar Futures Contracts 2016-06-17T00:00:00-07:00 2016-06-17T00:00:00-07:00 2016-14307 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-06-17/pdf/2016-14307.pdf https://regulations.justia.com/regulations/fedreg/2016/06/17/2016-14306.html Notice - Order Granting Limited and Conditional Exemption Under Section 36(a) of the Securities Exchange Act of 1934 From Compliance With Interactive Data File Exhibit Requirement in Forms 6-K, 8-K, 10-Q, 10-K, 20-F and 40-F To Facilitate Inline Filing of Tagged Financial Data 2016-06-17T00:00:00-07:00 2016-06-17T00:00:00-07:00 2016-14306 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-06-17/pdf/2016-14306.pdf https://regulations.justia.com/regulations/fedreg/2016/06/17/2016-13915.html Rule - Trade Acknowledgment and Verification of Security-Based Swap Transactions 2016-06-17T00:00:00-07:00 2016-06-17T00:00:00-07:00

2016-13915 Rule https://www.gpo.gov/fdsys/pkg/FR-2016-06-17/pdf/2016-13915.pdf https://regulations.justia.com/regulations/fedreg/2016/06/16/2016-14379.html Notice - In the Matter of Enterprise Energy, Inc., Order of Suspension of Trading 2016-06-16T00:00:00-07:00 2016-06-16T00:00:00-07:00 2016-14379 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-06-16/pdf/2016-14379.pdf https://regulations.justia.com/regulations/fedreg/2016/06/16/2016-14211.html Notice - Angelo, Gordon & Co., L.P.; Notice of Application 2016-06-16T00:00:00-07:00 2016-06-16T00:00:00-07:00 2016-14211 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-06-16/pdf/2016-14211.pdf https://regulations.justia.com/regulations/fedreg/2016/06/16/2016-14210.html Notice - Self-Regulatory Organizations; Bats EDGX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Rule 11.7, Opening Process 2016-06-16T00:00:00-07:00 2016-06-16T00:00:00-07:00 2016-14210 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-06-16/pdf/2016-14210.pdf https://regulations.justia.com/regulations/fedreg/2016/06/16/2016-14209.html Notice - Self-Regulatory Organizations; Bats EDGA Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Rule 11.7, Opening Process 2016-06-16T00:00:00-07:00 2016-06-16T00:00:00-07:00 2016-14209 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-06-16/pdf/2016-14209.pdf https://regulations.justia.com/regulations/fedreg/2016/06/16/2016-14208.html Notice - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to Extension of the Exchange's Penny Pilot Program and Replacement of Penny Pilot Issues That Have Been Delisted 2016-06-16T00:00:00-07:00 2016-06-16T00:00:00-07:00 2016-14208 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-06-16/pdf/2016-14208.pdf https://regulations.justia.com/regulations/fedreg/2016/06/16/2016-14207.html Notice - Self-Regulatory Organizations; NASDAQ BX, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to Extension of the Exchange's Penny Pilot Program and Replacement of Penny Pilot Issues That Have Been Delisted 2016-06-16T00:00:00-07:00 2016-06-16T00:00:00-07:00 2016-14207 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-06-16/pdf/2016-14207.pdf https://regulations.justia.com/regulations/fedreg/2016/06/16/2016-14206.html Notice - Self-Regulatory Organizations; Bats BYX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Rule 11.23, Opening Process 2016-06-16T00:00:00-07:00 2016-06-16T00:00:00-07:00 2016-14206 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-06-16/pdf/2016-14206.pdf https://regulations.justia.com/regulations/fedreg/2016/06/16/2016-14205.html Notice - Self-Regulatory Organizations; Bats BZX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Rule 11.24, Opening Process for Non-BZX-Listed Securities 2016-06-16T00:00:00-07:00 2016-06-16T00:00:00-07:00 2016-14205 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-06-16/pdf/2016-14205.pdf https://regulations.justia.com/regulations/fedreg/2016/06/16/2016-14204.html Notice - Self-Regulatory Organizations; Bats BZX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Extend the Penny Pilot Program 2016-06-16T00:00:00-07:00 2016-06-16T00:00:00-07:00 2016-14204 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-06-16/pdf/2016-14204.pdf https://regulations.justia.com/regulations/fedreg/2016/06/16/2016-14203.html Notice - Self-Regulatory Organizations; The Depository Trust Company; Notice of Filing of Proposed Rule Change To Establish a Link With Euroclear 2016-06-16T00:00:00-07:00 2016-06-16T00:00:00-07:00 2016-14203 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-06-16/pdf/2016-14203.pdf https://regulations.justia.com/regulations/fedreg/2016/06/16/2016-14199.html Notice - Equity Market Structure Advisory Committee Meeting 2016-06-16T00:00:00-07:00 2016-06-16T00:00:00-07:00

2016-14199 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-06-16/pdf/2016-14199.pdf https://regulations.justia.com/regulations/fedreg/2016/06/15/2016-14086.html Notice - Self-Regulatory Organizations; NYSE MKT LLC; Suspension of and Order Instituting Proceedings To Determine Whether To Approve or Disapprove a Proposed Rule Change To Modify the NYSE Amex Options Fee Schedule With Respect to Fees, Rebates, and Credits for Transactions in the Customer Best Execution Auction 2016-06-15T00:00:00-07:00 2016-06-15T00:00:00-07:00 2016-14086 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-06-15/pdf/2016-14086.pdf https://regulations.justia.com/regulations/fedreg/2016/06/15/2016-14085.html Notice - Self-Regulatory Organizations; NASDAQ PHLX LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the Exchange's Pricing Schedule Under Section VIII 2016-06-15T00:00:00-07:00 2016-06-15T00:00:00-07:00 2016-14085 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-06-15/pdf/2016-14085.pdf https://regulations.justia.com/regulations/fedreg/2016/06/15/2016-14084.html Notice - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing of a Proposed Rule Change To Amend FINRA Rules 2210 (Communications With the Public), 2213 (Requirements for the Use of Bond Mutual Fund Volatility Ratings), and 2214 (Requirements for the Use of Investment Analysis Tools) 2016-06-15T00:00:00-07:00 2016-06-15T00:00:00-07:00 2016-14084 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-06-15/pdf/2016-14084.pdf https://regulations.justia.com/regulations/fedreg/2016/06/15/2016-14083.html Notice - Self-Regulatory Organizations; BOX Options Exchange LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the Fee Schedule To Make Non-Substantive Clerical Amendments 2016-06-15T00:00:00-07:00 2016-06-15T00:00:00-07:00 2016-14083 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-06-15/pdf/2016-14083.pdf https://regulations.justia.com/regulations/fedreg/2016/06/14/2016-14080.html Notice - Sunshine Act Meeting 2016-06-14T00:00:00-07:00 2016-06-14T00:00:00-07:00 2016-14080 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-06-14/pdf/2016-14080.pdf https://regulations.justia.com/regulations/fedreg/2016/06/14/2016-13967.html Notice - ETF Managers Group LLC, et al.; Notice of Application 2016-06-14T00:00:00-07:00 2016-06-14T00:00:00-07:00 2016-13967 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-06-14/pdf/2016-13967.pdf https://regulations.justia.com/regulations/fedreg/2016/06/14/2016-13966.html Notice - Self-Regulatory Organizations; Miami International Securities Exchange LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Adopt Exchange Rule 519C, Mass Cancellation of Trading Interest 2016-06-14T00:00:00-07:00 2016-06-14T00:00:00-07:00 2016-13966 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-06-14/pdf/2016-13966.pdf https://regulations.justia.com/regulations/fedreg/2016/06/14/2016-13965.html Notice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing of Amendment No. 6 to a Proposed Rule Change To Amend NYSE Arca Equities Rule 8.600 To Adopt Generic Listing Standards for Managed Fund Shares 2016-06-14T00:00:00-07:00 2016-06-14T00:00:00-07:00 2016-13965 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-06-14/pdf/2016-13965.pdf https://regulations.justia.com/regulations/fedreg/2016/06/14/2016-13964.html Notice - Self-Regulatory Organizations; New York Stock Exchange LLC; NYSE MKT LLC; Notice of Filings of Amendment No. 1, and Order Granting Accelerated Approval of Proposed Rule Changes, as Modified by Amendment No. 1, To Provide for How the Exchanges Would Determine an Official Closing Price if the Exchanges Are Unable To Conduct a Closing Transaction 2016-06-14T00:00:00-07:00 2016-06-14T00:00:00-07:00 2016-13964 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-06-14/pdf/2016-13964.pdf https://regulations.justia.com/regulations/fedreg/2016/06/14/2016-13963.html 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, To Establish Secondary Contingency Procedures for the Exchange's Closing Cross 2016-06-14T00:00:00-07:00 2016-06-14T00:00:00-07:00 2016-13963 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-06-14/pdf/2016-13963.pdf https://regulations.justia.com/regulations/fedreg/2016/06/14/2016-13962.html Notice - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to the Penny Pilot Program 2016-06-14T00:00:00-07:00 2016-06-14T00:00:00-07:00 2016-13962 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-06-14/pdf/2016-13962.pdf https://regulations.justia.com/regulations/fedreg/2016/06/14/2016-13961.html Notice - Self-Regulatory Organizations; C2 Options Exchange, Incorporated; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to the Penny Pilot Program 2016-06-14T00:00:00-07:00 2016-06-14T00:00:00-07:00 2016-13961 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-06-14/pdf/2016-13961.pdf https://regulations.justia.com/regulations/fedreg/2016/06/13/2016-13826.html Notice - Guggenheim Funds Trust, et al.; Notice of Application 2016-06-13T00:00:00-07:00 2016-06-13T00:00:00-07:00 2016-13826 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-06-13/pdf/2016-13826.pdf https://regulations.justia.com/regulations/fedreg/2016/06/13/2016-13825.html Notice - Self-Regulatory Organizations; Bats BZX Exchange, Inc.; Notice of Filing of Amendment No. 5 To Proposed Rule Change, as Modified by Amendments Nos. 1, 3, and 4 thereto, To Amend Rule 14.11(i) To Adopt Generic Listing Standards for Managed Fund Shares 2016-06-13T00:00:00-07:00 2016-06-13T00:00:00-07:00 2016-13825 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-06-13/pdf/2016-13825.pdf https://regulations.justia.com/regulations/fedreg/2016/06/13/2016-13824.html Notice - Self-Regulatory Organizations; NASDAQ PHLX LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Certain Rules Governing Trading of Index Options 2016-06-13T00:00:00-07:00 2016-06-13T00:00:00-07:00 2016-13824 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-06-13/pdf/2016-13824.pdf https://regulations.justia.com/regulations/fedreg/2016/06/13/2016-13823.html Notice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Designation of a Longer Period for Commission Action on Proceedings To Determine Whether To Approve or Disapprove a Proposed Rule Change, as Modified by Amendment No. 1 Thereto, Relating to Listing and Trading of Shares of the Cumberland Municipal Bond ETF Under NYSE Arca Equities Rule 8.600 2016-06-13T00:00:00-07:00 2016-06-13T00:00:00-07:00 2016-13823 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-06-13/pdf/2016-13823.pdf https://regulations.justia.com/regulations/fedreg/2016/06/13/2016-13822.html Notice - Self-Regulatory Organizations; NASDAQ PHLX LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change to a Proposal To Relocate and Update the Existing Provisions of Rule 1080.07 to New Rule 1098 2016-06-13T00:00:00-07:00 2016-06-13T00:00:00-07:00 2016-13822 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-06-13/pdf/2016-13822.pdf https://regulations.justia.com/regulations/fedreg/2016/06/13/2016-13821.html Notice - Self-Regulatory Organizations; NYSE MKT LLC; Notice of Filing of Proposed Rule Change Relating to Amendments to NYSE MKT Rules 1600 et seq. and to Changes to the Names and Operation of the Nuveen Diversified Commodity Fund and the Nuveen Long/Short Commodity Total Return Fund 2016-06-13T00:00:00-07:00 2016-06-13T00:00:00-07:00 2016-13821 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-06-13/pdf/2016-13821.pdf https://regulations.justia.com/regulations/fedreg/2016/06/10/2016-13717.html Notice - Ramius Archview Credit and Distressed Fund and Ramius Advisors, LLC; Notice of Application 2016-06-10T00:00:00-07:00 2016-06-10T00:00:00-07:00 2016-13717 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-06-10/pdf/2016-13717.pdf https://regulations.justia.com/regulations/fedreg/2016/06/10/2016-13716.html 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. 5, To Adopt Initial and Continued Listing Standards for the Listing of Equity Investment Tracking Stocks and Adopt Listing Fees Specific to Equity Investment Tracking Stocks 2016-06-10T00:00:00-07:00 2016-06-10T00:00:00-07:00 2016-13716 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-06-10/pdf/2016-13716.pdf https://regulations.justia.com/regulations/fedreg/2016/06/10/2016-13715.html Notice - Self-Regulatory Organizations; Chicago Stock Exchange, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Adopt Business Continuity Plan Requirements for Participants 2016-06-10T00:00:00-07:00 2016-06-10T00:00:00-07:00 2016-13715 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-06-10/pdf/2016-13715.pdf https://regulations.justia.com/regulations/fedreg/2016/06/10/2016-11788.html Proposed Rule - Incentive-Based Compensation Arrangements 2016-06-10T00:00:00-07:00 2016-06-10T00:00:00-07:00

2016-11788 Proposed Rule https://www.gpo.gov/fdsys/pkg/FR-2016-06-10/pdf/2016-11788.pdf https://regulations.justia.com/regulations/fedreg/2016/06/09/2016-13618.html Notice - Proposed Collection; Comment Request 2016-06-09T00:00:00-07:00 2016-06-09T00:00:00-07:00 2016-13618 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-06-09/pdf/2016-13618.pdf https://regulations.justia.com/regulations/fedreg/2016/06/09/2016-13617.html Notice - Proposed Collection; Comment Request 2016-06-09T00:00:00-07:00 2016-06-09T00:00:00-07:00 2016-13617 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-06-09/pdf/2016-13617.pdf https://regulations.justia.com/regulations/fedreg/2016/06/09/2016-13616.html Notice - Proposed Collection; Comment Request 2016-06-09T00:00:00-07:00 2016-06-09T00:00:00-07:00 2016-13616 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-06-09/pdf/2016-13616.pdf https://regulations.justia.com/regulations/fedreg/2016/06/09/2016-13615.html Notice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing of Proposed Rule Change Relating to the Listing and Trading of Shares of the Virtus Japan Alpha ETF Under NYSE Arca Equities Rule 8.600 2016-06-09T00:00:00-07:00 2016-06-09T00:00:00-07:00 2016-13615 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-06-09/pdf/2016-13615.pdf https://regulations.justia.com/regulations/fedreg/2016/06/09/2016-13614.html Notice - Self-Regulatory Organizations; The Depository Trust Company; Notice of Filing of Proposed Rule Change Pursuant to Which It Would Impose Deposit Chills and Global Locks and Provide Fair Procedures to Issuers 2016-06-09T00:00:00-07:00 2016-06-09T00:00:00-07:00 2016-13614 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-06-09/pdf/2016-13614.pdf https://regulations.justia.com/regulations/fedreg/2016/06/09/2016-13613.html Notice - Self-Regulatory Organizations; National Securities Clearing Corporation; Order Approving Proposed Rule Change To Remove From the DTCC Limit Monitoring Tool the 50% Early Warning Limit Alert and Make Technical Revisions to the Rules 2016-06-09T00:00:00-07:00 2016-06-09T00:00:00-07:00 2016-13613 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-06-09/pdf/2016-13613.pdf https://regulations.justia.com/regulations/fedreg/2016/06/09/2016-13612.html Notice - Self-Regulatory Organizations; Miami International Securities Exchange LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Its Fee Schedule 2016-06-09T00:00:00-07:00 2016-06-09T00:00:00-07:00 2016-13612 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-06-09/pdf/2016-13612.pdf https://regulations.justia.com/regulations/fedreg/2016/06/09/2016-13611.html Notice - Self-Regulatory Organizations; Fixed Income Clearing Corporation; Order Approving Proposed Rule Change Relating to the GCF Repo® Service 2016-06-09T00:00:00-07:00 2016-06-09T00:00:00-07:00 2016-13611 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-06-09/pdf/2016-13611.pdf https://regulations.justia.com/regulations/fedreg/2016/06/09/2016-13328.html Rule - Form 10-K Summary 2016-06-09T00:00:00-07:00 2016-06-09T00:00:00-07:00

2016-13328 Rule https://www.gpo.gov/fdsys/pkg/FR-2016-06-09/pdf/2016-13328.pdf https://regulations.justia.com/regulations/fedreg/2016/06/08/2016-13514.html Notice - Carey Credit Income Fund, et al.; Notice of Application 2016-06-08T00:00:00-07:00 2016-06-08T00:00:00-07:00 2016-13514 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-06-08/pdf/2016-13514.pdf https://regulations.justia.com/regulations/fedreg/2016/06/08/2016-13483.html Notice - Self-Regulatory Organizations: Miami International Securities Exchange LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Exchange Rule 1015, Disciplinary Functions 2016-06-08T00:00:00-07:00 2016-06-08T00:00:00-07:00 2016-13483 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-06-08/pdf/2016-13483.pdf https://regulations.justia.com/regulations/fedreg/2016/06/08/2016-13477.html Notice - Self-Regulatory Organizations; ICE Clear Credit LLC; Notice of Filing of Amendment No. 1 and Order Approving Proposed Rule Change, as Modified by Amendment No. 1 Thereto, To Update and Formalize the ICC Stress Testing Framework 2016-06-08T00:00:00-07:00 2016-06-08T00:00:00-07:00 2016-13477 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-06-08/pdf/2016-13477.pdf https://regulations.justia.com/regulations/fedreg/2016/06/08/2016-13476.html Notice - Self-Regulatory Organizations; NYSE MKT LLC; Notice of Designation of Longer Period for Commission Action on a Proposed Rule Change, as Modified by Amendment No. 1, To Establish Certain End User Fees, Amend the Definition of Affiliate, and Amend the Co-Location Section of the Fee Schedule To Reflect the Changes 2016-06-08T00:00:00-07:00 2016-06-08T00:00:00-07:00 2016-13476 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-06-08/pdf/2016-13476.pdf https://regulations.justia.com/regulations/fedreg/2016/06/08/2016-13475.html Notice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Designation of Longer Period for Commission Action on a Proposed Rule Change, as Modified by Amendment No. 1, To Establish Certain End User Fees, Amend the Definition of Affiliate, and Amend the Co-Location Section of the Fee Schedule To Reflect the Changes 2016-06-08T00:00:00-07:00 2016-06-08T00:00:00-07:00 2016-13475 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-06-08/pdf/2016-13475.pdf https://regulations.justia.com/regulations/fedreg/2016/06/08/2016-13474.html Notice - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Designation of Longer Period for Commission Action on a Proposed Rule Change, as Modified by Amendment No. 1, To Establish Certain End User Fees, Amend the Definition of Affiliate, and Amend the Co-Location Section of the Price List To Reflect the Changes 2016-06-08T00:00:00-07:00 2016-06-08T00:00:00-07:00 2016-13474 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-06-08/pdf/2016-13474.pdf https://regulations.justia.com/regulations/fedreg/2016/06/08/2016-13473.html Notice - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending the Exchange's Price List To Eliminate Certain Services That Are No Longer Utilized by Users and To Remove Obsolete Text 2016-06-08T00:00:00-07:00 2016-06-08T00:00:00-07:00 2016-13473 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-06-08/pdf/2016-13473.pdf https://regulations.justia.com/regulations/fedreg/2016/06/08/2016-13472.html Notice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending the NYSE Arca Options Fee Schedule and the NYSE Arca Equities Schedule of Fees and Charges for Exchange Services To Eliminate Certain Services That Are No Longer Utilized by Users and To Remove Obsolete Text 2016-06-08T00:00:00-07:00 2016-06-08T00:00:00-07:00 2016-13472 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-06-08/pdf/2016-13472.pdf https://regulations.justia.com/regulations/fedreg/2016/06/08/2016-13471.html Notice - Self-Regulatory Organizations; NYSE MKT LLC; Notice of Filing and Immediate Effectiveness of Proposed Change Amending the NYSE MKT Equities Price List and the NYSE Amex Options Fee Schedule To Eliminate Certain Services That are No Longer Utilized by Users and To Remove Obsolete Text 2016-06-08T00:00:00-07:00 2016-06-08T00:00:00-07:00 2016-13471 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-06-08/pdf/2016-13471.pdf https://regulations.justia.com/regulations/fedreg/2016/06/08/2016-13466.html Notice - Proposed Collection; Comment Request 2016-06-08T00:00:00-07:00 2016-06-08T00:00:00-07:00 2016-13466 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-06-08/pdf/2016-13466.pdf https://regulations.justia.com/regulations/fedreg/2016/06/08/2016-13465.html Notice - Proposed Collection; Comment Request 2016-06-08T00:00:00-07:00 2016-06-08T00:00:00-07:00 2016-13465 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-06-08/pdf/2016-13465.pdf https://regulations.justia.com/regulations/fedreg/2016/06/08/2016-13464.html Notice - Proposed Collection; Comment Request 2016-06-08T00:00:00-07:00 2016-06-08T00:00:00-07:00 2016-13464 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-06-08/pdf/2016-13464.pdf https://regulations.justia.com/regulations/fedreg/2016/06/08/2016-13463.html Notice - Proposed Collection; Comment Request 2016-06-08T00:00:00-07:00 2016-06-08T00:00:00-07:00 2016-13463 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-06-08/pdf/2016-13463.pdf https://regulations.justia.com/regulations/fedreg/2016/06/07/2016-13478.html Notice - Sunshine Act Meeting 2016-06-07T00:00:00-07:00 2016-06-07T00:00:00-07:00 2016-13478 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-06-07/pdf/2016-13478.pdf https://regulations.justia.com/regulations/fedreg/2016/06/07/2016-13329.html Notice - Proposed Collection; Comment Request 2016-06-07T00:00:00-07:00 2016-06-07T00:00:00-07:00 2016-13329 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-06-07/pdf/2016-13329.pdf https://regulations.justia.com/regulations/fedreg/2016/06/07/2016-13321.html Notice - Proposed Collection; Comment Request 2016-06-07T00:00:00-07:00 2016-06-07T00:00:00-07:00 2016-13321 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-06-07/pdf/2016-13321.pdf https://regulations.justia.com/regulations/fedreg/2016/06/07/2016-13320.html Notice - Proposed Collection; Comment Request 2016-06-07T00:00:00-07:00 2016-06-07T00:00:00-07:00 2016-13320 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-06-07/pdf/2016-13320.pdf https://regulations.justia.com/regulations/fedreg/2016/06/07/2016-13319.html Notice - Self-Regulatory Organizations; NASDAQ PHLX LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Rule 1000A(b)(8) 2016-06-07T00:00:00-07:00 2016-06-07T00:00:00-07:00 2016-13319 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-06-07/pdf/2016-13319.pdf https://regulations.justia.com/regulations/fedreg/2016/06/07/2016-13318.html Notice - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend FINRA Rule 2242 (Debt Research Analysts and Debt Research Reports) 2016-06-07T00:00:00-07:00 2016-06-07T00:00:00-07:00 2016-13318 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-06-07/pdf/2016-13318.pdf https://regulations.justia.com/regulations/fedreg/2016/06/07/2016-13317.html Notice - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Filing of a Proposed Rule Change Relating to Senior Management Authority 2016-06-07T00:00:00-07:00 2016-06-07T00:00:00-07:00 2016-13317 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-06-07/pdf/2016-13317.pdf https://regulations.justia.com/regulations/fedreg/2016/06/07/2016-13316.html Notice - Self-Regulatory Organizations; C2 Options Exchange, Incorporated; Notice of Filing of a Proposed Rule Change Relating to Senior Management Authority 2016-06-07T00:00:00-07:00 2016-06-07T00:00:00-07:00 2016-13316 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-06-07/pdf/2016-13316.pdf https://regulations.justia.com/regulations/fedreg/2016/06/07/2016-13315.html Notice - Self-Regulatory Organizations; BatsBZX Exchange, Inc.; Notice of Designation of a Longer Period for Commission Action on Proposed Rule Change To List and Trade Under BZX Rule 14.11(c)(4) Shares of the Following Series of Market Vectors ETF Trust: Market Vectors 6-8 Year Municipal Index ETF; Market Vectors 8-12 Year Municipal Index ETF; and Market Vectors 12-17 Year Municipal Index ETF 2016-06-07T00:00:00-07:00 2016-06-07T00:00:00-07:00 2016-13315 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-06-07/pdf/2016-13315.pdf https://regulations.justia.com/regulations/fedreg/2016/06/07/2016-13314.html Notice - Self-Regulatory Organizations; Bats BZX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Rule 14.13, Company Listing Fees 2016-06-07T00:00:00-07:00 2016-06-07T00:00:00-07:00 2016-13314 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-06-07/pdf/2016-13314.pdf https://regulations.justia.com/regulations/fedreg/2016/06/07/2016-13313.html Notice - Self-Regulatory Organizations; Miami International Securities Exchange LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Exchange Rule 506 2016-06-07T00:00:00-07:00 2016-06-07T00:00:00-07:00 2016-13313 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-06-07/pdf/2016-13313.pdf https://regulations.justia.com/regulations/fedreg/2016/06/07/2016-13312.html Notice - Self-Regulatory Organizations; CBOE Futures Exchange, LLC; Notice of Proposed Rule Change Regarding the Reporting Time for Exchange of Contract for Related Position Transactions and Block Trades That Involve Trade at Settlement Transactions 2016-06-07T00:00:00-07:00 2016-06-07T00:00:00-07:00 2016-13312 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-06-07/pdf/2016-13312.pdf https://regulations.justia.com/regulations/fedreg/2016/06/06/2016-13212.html Notice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Reflect a Change to the Benchmark Index Applicable to the WisdomTree Managed Futures Strategy Fund 2016-06-06T00:00:00-07:00 2016-06-06T00:00:00-07:00 2016-13212 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-06-06/pdf/2016-13212.pdf https://regulations.justia.com/regulations/fedreg/2016/06/06/2016-13211.html Notice - Self-Regulatory Organizations; NYSE MKT LLC; Notice of Designation of a Longer Period for Commission Action on a 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 2016-06-06T00:00:00-07:00 2016-06-06T00:00:00-07:00 2016-13211 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-06-06/pdf/2016-13211.pdf https://regulations.justia.com/regulations/fedreg/2016/06/06/2016-13210.html Notice - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Designation of a Longer Period for Commission Action on a Proposed Rule Change Amending the Definition of “Block” for Purposes of Rule 72(d) and the Size of a Proposed Cross Transaction Eligible for the Cross Function in Rule 76 2016-06-06T00:00:00-07:00 2016-06-06T00:00:00-07:00 2016-13210 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-06-06/pdf/2016-13210.pdf https://regulations.justia.com/regulations/fedreg/2016/06/06/2016-13209.html Notice - Self-Regulatory Organizations; NYSE MKT LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Implementing the Quoting and Trading Provisions of the Plan To Implement a Tick Size Pilot Program Submitted to the Commission Pursuant to Rule 608 of Regulation NMS Under the Act 2016-06-06T00:00:00-07:00 2016-06-06T00:00:00-07:00 2016-13209 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-06-06/pdf/2016-13209.pdf https://regulations.justia.com/regulations/fedreg/2016/06/06/2016-13208.html Notice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Implementing the Quoting and Trading Provisions of the Plan To Implement a Tick Size Pilot Program Submitted to the Commission Pursuant to Rule 608 of Regulation NMS Under the Act 2016-06-06T00:00:00-07:00 2016-06-06T00:00:00-07:00 2016-13208 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-06-06/pdf/2016-13208.pdf https://regulations.justia.com/regulations/fedreg/2016/06/03/2016-13213.html Notice - Sunshine Act Meeting 2016-06-03T00:00:00-07:00 2016-06-03T00:00:00-07:00 2016-13213 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-06-03/pdf/2016-13213.pdf https://regulations.justia.com/regulations/fedreg/2016/06/02/2016-13043.html Notice - Notice of Applications for Deregistration Under Section 8(f) of the Investment Company Act of 1940 2016-06-02T00:00:00-07:00 2016-06-02T00:00:00-07:00

2016-13043 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-06-02/pdf/2016-13043.pdf https://regulations.justia.com/regulations/fedreg/2016/06/02/2016-13042.html Notice - Self-Regulatory Organizations; ICE Clear Europe Limited; Notice of Filing of Amendment No. 1 and Order Approving Proposed Rule Change, as Modified by Amendment No. 1 Thereto, Relating to Additions to Permitted Cover 2016-06-02T00:00:00-07:00 2016-06-02T00:00:00-07:00 2016-13042 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-06-02/pdf/2016-13042.pdf https://regulations.justia.com/regulations/fedreg/2016/06/02/2016-13041.html Notice - Order Granting Limited Exemptions From Exchange Act Rule 10b-17 and Rules 101 and 102 of Regulation M to SPDR Series Trust and SPDR Dorsey Wright Fixed Income Allocation ETF Pursuant to Exchange Act Rule 10b-17(b)(2) and Rules 101(d) and 102(e) of Regulation M 2016-06-02T00:00:00-07:00 2016-06-02T00:00:00-07:00 2016-13041 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-06-02/pdf/2016-13041.pdf https://regulations.justia.com/regulations/fedreg/2016/06/02/2016-13040.html Notice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing of Proposed Rule Change Relating to the Listing and Trading of Shares of BlackRock Government Collateral Pledge Unit Under NYSE Arca Equities Rule 8.600 2016-06-02T00:00:00-07:00 2016-06-02T00:00:00-07:00 2016-13040 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-06-02/pdf/2016-13040.pdf https://regulations.justia.com/regulations/fedreg/2016/06/02/2016-13039.html Notice - Self-Regulatory Organizations; The Options Clearing Corporation; Notice of Filing of Proposed Rule Change Related to The Options Clearing Corporation's Membership Approval Process 2016-06-02T00:00:00-07:00 2016-06-02T00:00:00-07:00 2016-13039 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-06-02/pdf/2016-13039.pdf https://regulations.justia.com/regulations/fedreg/2016/06/02/2016-12891.html Notice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending NYSE Arca Equities Rule 7.31P(e) Regarding ALO Orders 2016-06-02T00:00:00-07:00 2016-06-02T00:00:00-07:00 2016-12891 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-06-02/pdf/2016-12891.pdf https://regulations.justia.com/regulations/fedreg/2016/06/02/2016-12890.html Notice - Self-Regulatory Organizations; ISE Mercury, LLC; Order Approving Proposed Rule Change Related to Market Wide Risk Protection 2016-06-02T00:00:00-07:00 2016-06-02T00:00:00-07:00 2016-12890 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-06-02/pdf/2016-12890.pdf https://regulations.justia.com/regulations/fedreg/2016/06/02/2016-12878.html Notice - Ares Capital Corporation, et al.; 2016-06-02T00:00:00-07:00 2016-06-02T00:00:00-07:00

2016-12878 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-06-02/pdf/2016-12878.pdf https://regulations.justia.com/regulations/fedreg/2016/06/02/2016-12877.html Notice - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Rule 130 2016-06-02T00:00:00-07:00 2016-06-02T00:00:00-07:00 2016-12877 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-06-02/pdf/2016-12877.pdf https://regulations.justia.com/regulations/fedreg/2016/06/02/2016-12876.html Notice - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Its Price List 2016-06-02T00:00:00-07:00 2016-06-02T00:00:00-07:00 2016-12876 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-06-02/pdf/2016-12876.pdf https://regulations.justia.com/regulations/fedreg/2016/06/02/2016-12875.html Notice - Self-Regulatory Organizations; International Securities Exchange, LLC; Notice of Designation of Longer Period for Commission Action on Proceedings To Determine Whether To Approve or Disapprove a Proposed Rule Change To Amend Rule 804(g) 2016-06-02T00:00:00-07:00 2016-06-02T00:00:00-07:00 2016-12875 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-06-02/pdf/2016-12875.pdf https://regulations.justia.com/regulations/fedreg/2016/06/02/2016-12874.html Notice - Self-Regulatory Organizations; ISE Gemini, LLC; Notice of Designation of Longer Period for Commission Action on Proceedings To Determine Whether To Approve or Disapprove a Proposed Rule Change To Amend Rule 804(g) 2016-06-02T00:00:00-07:00 2016-06-02T00:00:00-07:00 2016-12874 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-06-02/pdf/2016-12874.pdf https://regulations.justia.com/regulations/fedreg/2016/06/02/2016-12873.html Notice - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Filing and Immediate Effectiveness of a Proposed Rule To Amend the Fees Schedule 2016-06-02T00:00:00-07:00 2016-06-02T00:00:00-07:00 2016-12873 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-06-02/pdf/2016-12873.pdf https://regulations.justia.com/regulations/fedreg/2016/06/02/2016-12872.html Notice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the NYSE Arca Equities Schedule of Fees Effective June 1, 2016 2016-06-02T00:00:00-07:00 2016-06-02T00:00:00-07:00 2016-12872 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-06-02/pdf/2016-12872.pdf https://regulations.justia.com/regulations/fedreg/2016/06/02/2016-12871.html Notice - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Extend the Tier Size Pilot of FINRA Rule 6433 (Minimum Quotation Size Requirements for OTC Equity Securities) 2016-06-02T00:00:00-07:00 2016-06-02T00:00:00-07:00 2016-12871 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-06-02/pdf/2016-12871.pdf https://regulations.justia.com/regulations/fedreg/2016/06/01/2016-12948.html Notice - Sunshine Act Meeting 2016-06-01T00:00:00-07:00 2016-06-01T00:00:00-07:00 2016-12948 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-06-01/pdf/2016-12948.pdf https://regulations.justia.com/regulations/fedreg/2016/06/01/2016-12794.html Notice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Designation of Longer Period for Commission Action on a Proposed Rule Change, as Modified by Amendment No. 1, To Amend Rule 6.67(c) by Revising the Clearing Member Requirements for Entering an Order Into the Electronic Order Capture System 2016-06-01T00:00:00-07:00 2016-06-01T00:00:00-07:00 2016-12794 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-06-01/pdf/2016-12794.pdf https://regulations.justia.com/regulations/fedreg/2016/06/01/2016-12793.html Notice - Self-Regulatory Organizations; NASDAQ PHLX LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Related to PIXL Pricing 2016-06-01T00:00:00-07:00 2016-06-01T00:00:00-07:00 2016-12793 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-06-01/pdf/2016-12793.pdf https://regulations.justia.com/regulations/fedreg/2016/06/01/2016-12792.html Notice - Self-Regulatory Organizations; International Securities Exchange, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the Schedule of Fees 2016-06-01T00:00:00-07:00 2016-06-01T00:00:00-07:00 2016-12792 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-06-01/pdf/2016-12792.pdf https://regulations.justia.com/regulations/fedreg/2016/06/01/2016-12791.html Notice - Self-Regulatory Organizations; Bats EDGA Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Rule 11.7, Opening Process 2016-06-01T00:00:00-07:00 2016-06-01T00:00:00-07:00 2016-12791 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-06-01/pdf/2016-12791.pdf https://regulations.justia.com/regulations/fedreg/2016/06/01/2016-12790.html Notice - Self-Regulatory Organizations; Bats EDGX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Rule 11.7, Opening Process 2016-06-01T00:00:00-07:00 2016-06-01T00:00:00-07:00 2016-12790 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-06-01/pdf/2016-12790.pdf https://regulations.justia.com/regulations/fedreg/2016/06/01/2016-12789.html Notice - Self-Regulatory Organizations; Municipal Securities Rulemaking Board; Notice of Filing of a Proposed Rule Change Consisting of Proposed Amendments to MSRB Rule G-12, on Uniform Practice, Regarding Close-Out Procedures for Municipal Securities 2016-06-01T00:00:00-07:00 2016-06-01T00:00:00-07:00 2016-12789 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-06-01/pdf/2016-12789.pdf https://regulations.justia.com/regulations/fedreg/2016/06/01/2016-12788.html Notice - Self-Regulatory Organizations; NYSE MKT LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Rule 930NY Regarding Definition of Floor Broker 2016-06-01T00:00:00-07:00 2016-06-01T00:00:00-07:00 2016-12788 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-06-01/pdf/2016-12788.pdf https://regulations.justia.com/regulations/fedreg/2016/06/01/2016-12787.html Notice - Self-Regulatory Organizations; NYSE MKT LLC; Order Approving a Proposed Rule Change, as Modified by Amendment No.1 Thereto, To Amend the Eighth Amended and Restated Operating Agreement of the Exchange 2016-06-01T00:00:00-07:00 2016-06-01T00:00:00-07:00 2016-12787 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-06-01/pdf/2016-12787.pdf https://regulations.justia.com/regulations/fedreg/2016/06/01/2016-12782.html Notice - Self-Regulatory Organizations; NYSE Arca, Inc.; Order Approving a Proposed Rule Change, as Modified by Amendment No. 2, To List and Trade Shares of the AdvisorShares Cornerstone Small Cap ETF Under NYSE Arca Equities Rule 8.600 2016-06-01T00:00:00-07:00 2016-06-01T00:00:00-07:00 2016-12782 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-06-01/pdf/2016-12782.pdf https://regulations.justia.com/regulations/fedreg/2016/06/01/2016-12781.html Notice - Self-Regulatory Organizations; Bats BYX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Rule 11.23, Opening Process 2016-06-01T00:00:00-07:00 2016-06-01T00:00:00-07:00 2016-12781 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-06-01/pdf/2016-12781.pdf https://regulations.justia.com/regulations/fedreg/2016/06/01/2016-12780.html Notice - Self-Regulatory Organizations; Bats BYX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Related to Fees 2016-06-01T00:00:00-07:00 2016-06-01T00:00:00-07:00 2016-12780 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-06-01/pdf/2016-12780.pdf https://regulations.justia.com/regulations/fedreg/2016/06/01/2016-12779.html Notice - Joint Industry Plan; Notice of Filing and Immediate Effectiveness of Amendment No. 3 to the National Market System Plan Governing the Process of Selecting a Plan Processor and Developing a Plan for the Consolidated Audit Trail by BATS Exchange, Inc., BATS-Y Exchange, Inc., BOX Options Exchange LLC, C2 Options Exchange, Incorporated, Chicago Board Options Exchange, Incorporated, Chicago Stock Exchange, Inc., EDGA Exchange, Inc., EDGX Exchange, Inc., Financial Industry Regulatory Authority, Inc., International Securities Exchange, LLC, ISE Gemini, LLC, Miami International Securities Exchange LLC, NASDAQ OMX BX, Inc., NASDAQ OMX PHLX LLC, The NASDAQ Stock Market LLC, National Stock Exchange, Inc., New York Stock Exchange LLC, NYSE MKT LLC, and NYSE Arca, Inc. 2016-06-01T00:00:00-07:00 2016-06-01T00:00:00-07:00 2016-12779 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-06-01/pdf/2016-12779.pdf https://regulations.justia.com/regulations/fedreg/2016/06/01/2016-12778.html Notice - Self-Regulatory Organizations; NASDAQ PHLX LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Rules 900.1, 910, and 921 2016-06-01T00:00:00-07:00 2016-06-01T00:00:00-07:00 2016-12778 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-06-01/pdf/2016-12778.pdf https://regulations.justia.com/regulations/fedreg/2016/06/01/2016-12777.html Notice - Self-Regulatory Organizations; Bats BZX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Rule 11.24, Opening Process for Non-BZX-Listed Securities 2016-06-01T00:00:00-07:00 2016-06-01T00:00:00-07:00 2016-12777 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-06-01/pdf/2016-12777.pdf https://regulations.justia.com/regulations/fedreg/2016/06/01/2016-12776.html Notice - Self-Regulatory Organizations; NASDAQ BX, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Provide a Process for an Expedited Suspension Proceeding and Adopt a Rule To Prohibit Disruptive Quoting and Trading Activity 2016-06-01T00:00:00-07:00 2016-06-01T00:00:00-07:00 2016-12776 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-06-01/pdf/2016-12776.pdf https://regulations.justia.com/regulations/fedreg/2016/06/01/2016-12775.html Notice - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Provide a Process for an Expedited Suspension Proceeding and Adopt a Rule To Prohibit Disruptive Quoting and Trading Activity 2016-06-01T00:00:00-07:00 2016-06-01T00:00:00-07:00 2016-12775 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-06-01/pdf/2016-12775.pdf https://regulations.justia.com/regulations/fedreg/2016/06/01/2016-12774.html Notice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Designation of Longer Period for Commission Action on Proposed Rule Change To Amend Rule 6.64 With Respect to Opening Trading in an Options Series 2016-06-01T00:00:00-07:00 2016-06-01T00:00:00-07:00 2016-12774 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-06-01/pdf/2016-12774.pdf https://regulations.justia.com/regulations/fedreg/2016/06/01/2016-12773.html Notice - Self-Regulatory Organizations; NYSE MKT LLC; Notice of Designation of Longer Period for Commission Action on Proposed Rule Change To Amend Rule 952NY With Respect to Opening Trading in an Options Series 2016-06-01T00:00:00-07:00 2016-06-01T00:00:00-07:00 2016-12773 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-06-01/pdf/2016-12773.pdf https://regulations.justia.com/regulations/fedreg/2016/06/01/2016-12772.html Notice - Self-Regulatory Organizations; NYSE MKT LLC; Notice of Designation of Longer Period for Commission Action on a Proposed Rule Change, as Modified by Amendment No. 1, To Amend Rule 955NY(c) by Revising the Clearing Member Requirements for Entering an Order Into the Electronic Order Capture System 2016-06-01T00:00:00-07:00 2016-06-01T00:00:00-07:00 2016-12772 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-06-01/pdf/2016-12772.pdf https://regulations.justia.com/regulations/fedreg/2016/06/01/2016-12770.html Notice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing of Amendment No. 3 and Order Granting Accelerated Approval of a Proposed Rule Change, as Modified by Amendment No. 3, to List and Trade of Shares of the JPMorgan Diversified Alternative ETF Under NYSE Arca Equities Rule 8.600 2016-06-01T00:00:00-07:00 2016-06-01T00:00:00-07:00 2016-12770 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-06-01/pdf/2016-12770.pdf