Federal Register Recent Federal Regulation Documents - Justia Regulation Tracker - Justia Regulations Trackerhttps://regulations.justia.com/regulations/fedreg/agencies/securities-and-exchange-commission/2016/07/07?limit=200®isters=between&mode=atom2024-05-10T15:49:47-07:00Justia Inchttps://www.justia.com/Justia Regulations Trackerhttps://regulations.justia.com/images/justiafedregulations.gifCopyright 2011 Justia Inchttps://regulations.justia.com/regulations/fedreg/2016/07/07/2016-16123.htmlNotice - Self-Regulatory Organizations; The Nasdaq Stock Market LLC; Notice of Filing of Amendment No. 2 and Order Granting Accelerated Approval of a Proposed Rule Change, as Modified by Amendment No. 2, To Require Listed Companies to Publicly Disclose Compensation or Other Payments by Third Parties to Board of Director's Members or Nominees2016-07-07T00:00:00-07:002016-07-07T00:00:00-07:002016-16123Noticehttps://www.gpo.gov/fdsys/pkg/FR-2016-07-07/pdf/2016-16123.pdfhttps://regulations.justia.com/regulations/fedreg/2016/07/07/2016-16122.htmlNotice - Self-Regulatory Organizations; Miami International Securities Exchange LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the MIAX Options Fee Schedule2016-07-07T00:00:00-07:002016-07-07T00:00:00-07:002016-16122Noticehttps://www.gpo.gov/fdsys/pkg/FR-2016-07-07/pdf/2016-16122.pdfhttps://regulations.justia.com/regulations/fedreg/2016/07/07/2016-16112.htmlNotice - Security-Based Swap Data Repositories; DTCC Data Repository (U.S.) LLC; Notice of Filing of Application for Registration as a Security-Based Swap Data Repository2016-07-07T00:00:00-07:002016-07-07T00:00:00-07:002016-16112Noticehttps://www.gpo.gov/fdsys/pkg/FR-2016-07-07/pdf/2016-16112.pdfhttps://regulations.justia.com/regulations/fedreg/2016/07/07/2016-16111.htmlNotice - Self-Regulatory Organizations; Bats EDGX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Add Interpretation and Policy .01 to Rule 16.1 To Specify the Calculation Methodology for Counting Professional Orders2016-07-07T00:00:00-07:002016-07-07T00:00:00-07:002016-16111Noticehttps://www.gpo.gov/fdsys/pkg/FR-2016-07-07/pdf/2016-16111.pdfhttps://regulations.justia.com/regulations/fedreg/2016/07/07/2016-16110.htmlNotice - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing of Partial Amendment No. 2 to Proposed Rule Change To Adopt FINRA Capital Acquisition Broker Rules2016-07-07T00:00:00-07:002016-07-07T00:00:00-07:002016-16110Noticehttps://www.gpo.gov/fdsys/pkg/FR-2016-07-07/pdf/2016-16110.pdfhttps://regulations.justia.com/regulations/fedreg/2016/07/07/2016-16109.htmlNotice - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing of a Proposed Rule Change To Amend FINRA Rule 7730 (Trade Reporting and Compliance Engine (TRACE))2016-07-07T00:00:00-07:002016-07-07T00:00:00-07:002016-16109Noticehttps://www.gpo.gov/fdsys/pkg/FR-2016-07-07/pdf/2016-16109.pdfhttps://regulations.justia.com/regulations/fedreg/2016/07/07/2016-16108.htmlNotice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing of Proposed Rule Change To List and Trade Shares of the JPMorgan Diversified Event Driven ETF Under NYSE Arca Equities Rule 8.6002016-07-07T00:00:00-07:002016-07-07T00:00:00-07:002016-16108Noticehttps://www.gpo.gov/fdsys/pkg/FR-2016-07-07/pdf/2016-16108.pdfhttps://regulations.justia.com/regulations/fedreg/2016/07/07/2016-16073.htmlNotice - Order Extending a Temporary Exemption From Compliance With Rules 13n-1 to 13n-12 Under the Securities Exchange Act of 19342016-07-07T00:00:00-07:002016-07-07T00:00:00-07:002016-16073Noticehttps://www.gpo.gov/fdsys/pkg/FR-2016-07-07/pdf/2016-16073.pdfhttps://regulations.justia.com/regulations/fedreg/2016/07/07/2016-16040.htmlNotice - Submission for OMB Review; Comment Request2016-07-07T00:00:00-07:002016-07-07T00:00:00-07:002016-16040Noticehttps://www.gpo.gov/fdsys/pkg/FR-2016-07-07/pdf/2016-16040.pdfhttps://regulations.justia.com/regulations/fedreg/2016/07/07/2016-16039.htmlNotice - Submission for OMB Review; Comment Request2016-07-07T00:00:00-07:002016-07-07T00:00:00-07:002016-16039Noticehttps://www.gpo.gov/fdsys/pkg/FR-2016-07-07/pdf/2016-16039.pdfhttps://regulations.justia.com/regulations/fedreg/2016/07/07/2016-16038.htmlNotice - Lord Abbett Family of Funds and Lord, Abbett & Co. LLC; Notice of Application2016-07-07T00:00:00-07:002016-07-07T00:00:00-07:002016-16038Noticehttps://www.gpo.gov/fdsys/pkg/FR-2016-07-07/pdf/2016-16038.pdfhttps://regulations.justia.com/regulations/fedreg/2016/07/07/2016-16037.htmlNotice - Submission for OMB Review; Comment Request2016-07-07T00:00:00-07:002016-07-07T00:00:00-07:002016-16037Noticehttps://www.gpo.gov/fdsys/pkg/FR-2016-07-07/pdf/2016-16037.pdfhttps://regulations.justia.com/regulations/fedreg/2016/07/07/2016-16036.htmlNotice - Submission for OMB Review; Comment Request2016-07-07T00:00:00-07:002016-07-07T00:00:00-07:002016-16036Noticehttps://www.gpo.gov/fdsys/pkg/FR-2016-07-07/pdf/2016-16036.pdfhttps://regulations.justia.com/regulations/fedreg/2016/07/07/2016-16035.htmlNotice - 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 Activity2016-07-07T00:00:00-07:002016-07-07T00:00:00-07:002016-16035Noticehttps://www.gpo.gov/fdsys/pkg/FR-2016-07-07/pdf/2016-16035.pdfhttps://regulations.justia.com/regulations/fedreg/2016/07/07/2016-16034.htmlNotice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Designation of a Longer Period for Commission Action on Proposed Rule Change Regarding Use of Rule 144A Securities By the Fidelity Corporate Bond ETF, Fidelity Investment Grade Bond ETF, Fidelity Limited Term Bond ETF, and Fidelity Total Bond ETF2016-07-07T00:00:00-07:002016-07-07T00:00:00-07:002016-16034Noticehttps://www.gpo.gov/fdsys/pkg/FR-2016-07-07/pdf/2016-16034.pdfhttps://regulations.justia.com/regulations/fedreg/2016/07/07/2016-16033.htmlNotice - Self-Regulatory Organizations; Fixed Income Clearing Corporation; Order Approving Proposed Rule Change To Suspend the Interbank Service of the GCF Repo® Service2016-07-07T00:00:00-07:002016-07-07T00:00:00-07:002016-16033Noticehttps://www.gpo.gov/fdsys/pkg/FR-2016-07-07/pdf/2016-16033.pdfhttps://regulations.justia.com/regulations/fedreg/2016/07/07/2016-16032.htmlNotice - Self-Regulatory Organizations; ICE Clear Credit LLC; Notice of Filing of Proposed Rule Change To Revise the ICC Treasury Operations Policies and Procedures2016-07-07T00:00:00-07:002016-07-07T00:00:00-07:002016-16032Noticehttps://www.gpo.gov/fdsys/pkg/FR-2016-07-07/pdf/2016-16032.pdfhttps://regulations.justia.com/regulations/fedreg/2016/07/07/2016-16031.htmlNotice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Designation of a Longer Period for Commission Action on Proposed Rule Change To List and Trade Shares of the Natixis Seeyond International Minimum Volatility ETF Under NYSE Arca Equities Rule 8.6002016-07-07T00:00:00-07:002016-07-07T00:00:00-07:002016-16031Noticehttps://www.gpo.gov/fdsys/pkg/FR-2016-07-07/pdf/2016-16031.pdfhttps://regulations.justia.com/regulations/fedreg/2016/07/07/2016-16030.htmlNotice - Self-Regulatory Organizations; International Securities Exchange, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Extend the Penny Pilot Program2016-07-07T00:00:00-07:002016-07-07T00:00:00-07:002016-16030Noticehttps://www.gpo.gov/fdsys/pkg/FR-2016-07-07/pdf/2016-16030.pdfhttps://regulations.justia.com/regulations/fedreg/2016/07/07/2016-16029.htmlNotice - Self-Regulatory Organizations; ISE Mercury, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Extend the Penny Pilot Program2016-07-07T00:00:00-07:002016-07-07T00:00:00-07:002016-16029Noticehttps://www.gpo.gov/fdsys/pkg/FR-2016-07-07/pdf/2016-16029.pdfhttps://regulations.justia.com/regulations/fedreg/2016/07/07/2016-16028.htmlNotice - Self-Regulatory Organizations; ISE Gemini, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Extend the Penny Pilot Program2016-07-07T00:00:00-07:002016-07-07T00:00:00-07:002016-16028Noticehttps://www.gpo.gov/fdsys/pkg/FR-2016-07-07/pdf/2016-16028.pdfhttps://regulations.justia.com/regulations/fedreg/2016/07/07/2016-16027.htmlNotice - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Professionals Order Counting2016-07-07T00:00:00-07:002016-07-07T00:00:00-07:002016-16027Noticehttps://www.gpo.gov/fdsys/pkg/FR-2016-07-07/pdf/2016-16027.pdfhttps://regulations.justia.com/regulations/fedreg/2016/07/07/2016-16026.htmlNotice - Self-Regulatory Organizations; NASDAQ BX, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change to the Professional Designation2016-07-07T00:00:00-07:002016-07-07T00:00:00-07:002016-16026Noticehttps://www.gpo.gov/fdsys/pkg/FR-2016-07-07/pdf/2016-16026.pdfhttps://regulations.justia.com/regulations/fedreg/2016/07/07/2016-16025.htmlNotice - Self-Regulatory Organizations; NYSE MKT LLC; Notice of Filing of Proposed Rule Change Amending Rules 340, 341, and 359 To Extend the Time Within Which a Member or Member Organization or an ATP Holder Must File a Uniform Termination Notice for Securities Industry Registration2016-07-07T00:00:00-07:002016-07-07T00:00:00-07:002016-16025Noticehttps://www.gpo.gov/fdsys/pkg/FR-2016-07-07/pdf/2016-16025.pdf