Federal Register Recent Federal Regulation Documents - Justia Regulation Tracker - Justia Regulations Tracker https://regulations.justia.com/regulations/fedreg/agencies/securities-and-exchange-commission/2016/07/05?limit=200&registers=between&mode=atom 2024-02-23T03:15:31-08:00 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/2016/07/05/2016-15761.html Notice - Self-Regulatory Organizations; The Nasdaq Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to the Listing and Trading of the Shares of the AdvisorShares Market Adaptive Unconstrained Income ETF of the AdvisorShares Trust 2016-07-05T00:00:00-07:00 2016-07-05T00:00:00-07:00 2016-15761 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-07-05/pdf/2016-15761.pdf https://regulations.justia.com/regulations/fedreg/2016/07/05/2016-15760.html Notice - Self-Regulatory Organizations; C2 Options Exchange, Incorporated; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to Professionals Order Counting 2016-07-05T00:00:00-07:00 2016-07-05T00:00:00-07:00 2016-15760 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-07-05/pdf/2016-15760.pdf https://regulations.justia.com/regulations/fedreg/2016/07/05/2016-15759.html Notice - Self-Regulatory Organizations; Municipal Securities Rulemaking Board; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to the Content Outline for the Municipal Advisor Representative Qualification Examination (Series 50) 2016-07-05T00:00:00-07:00 2016-07-05T00:00:00-07:00 2016-15759 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-07-05/pdf/2016-15759.pdf https://regulations.justia.com/regulations/fedreg/2016/07/05/2016-15758.html Notice - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Extend the Implementation of FINRA Rule 4240 (Margin Requirements for Credit Default Swaps) 2016-07-05T00:00:00-07:00 2016-07-05T00:00:00-07:00 2016-15758 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-07-05/pdf/2016-15758.pdf https://regulations.justia.com/regulations/fedreg/2016/07/05/2016-15757.html Notice - Program for Allocation of Regulatory Responsibilities Pursuant to Rule 17-2; Notice of Filing of Proposed Plan for the Allocation of Regulatory Responsibilities Between the Financial Industry Regulatory Authority, Inc. and the Investors' Exchange LLC 2016-07-05T00:00:00-07:00 2016-07-05T00:00:00-07:00 2016-15757 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-07-05/pdf/2016-15757.pdf https://regulations.justia.com/regulations/fedreg/2016/07/05/2016-15756.html Notice - Self-Regulatory Organization; BATS BYX-Exchange, Inc.; Order Granting an Extension to Limited Exemption From Rule 612(c) of Regulation NMS in Connection With the Exchange's Retail Price Improvement Program 2016-07-05T00:00:00-07:00 2016-07-05T00:00:00-07:00 2016-15756 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-07-05/pdf/2016-15756.pdf https://regulations.justia.com/regulations/fedreg/2016/07/05/2016-15675.html Proposed Rule - Adviser Business Continuity and Transition Plans 2016-07-05T00:00:00-07:00 2016-07-05T00:00:00-07:00 2016-15675 Proposed Rule https://www.gpo.gov/fdsys/pkg/FR-2016-07-05/pdf/2016-15675.pdf