<![CDATA[Federal Register Recent Federal Regulation Documents - Justia Regulation Tracker - Justia Regulations Tracker]]> https://regulations.justia.com/regulations/fedreg/agencies/securities-and-exchange-commission/2016/07/07?registers=between Fri, 03 May 2024 09:16:13 -0700 Fri, 03 May 2024 09:16:13 -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/2016/07/07?registers=between Notice - 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 Nominees https://regulations.justia.com/regulations/fedreg/2016/07/07/2016-16123.html https://regulations.justia.com/regulations/fedreg/2016/07/07/2016-16123.html Thu, 07 Jul 2016 00:00:00 -0700 2016-16123 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-07-07/pdf/2016-16123.pdf Notice - 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 Schedule https://regulations.justia.com/regulations/fedreg/2016/07/07/2016-16122.html https://regulations.justia.com/regulations/fedreg/2016/07/07/2016-16122.html Thu, 07 Jul 2016 00:00:00 -0700 2016-16122 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-07-07/pdf/2016-16122.pdf Notice - Security-Based Swap Data Repositories; DTCC Data Repository (U.S.) LLC; Notice of Filing of Application for Registration as a Security-Based Swap Data Repository https://regulations.justia.com/regulations/fedreg/2016/07/07/2016-16112.html https://regulations.justia.com/regulations/fedreg/2016/07/07/2016-16112.html Thu, 07 Jul 2016 00:00:00 -0700 2016-16112 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-07-07/pdf/2016-16112.pdf Notice - 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 Orders https://regulations.justia.com/regulations/fedreg/2016/07/07/2016-16111.html https://regulations.justia.com/regulations/fedreg/2016/07/07/2016-16111.html Thu, 07 Jul 2016 00:00:00 -0700 2016-16111 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-07-07/pdf/2016-16111.pdf Notice - 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 Rules https://regulations.justia.com/regulations/fedreg/2016/07/07/2016-16110.html https://regulations.justia.com/regulations/fedreg/2016/07/07/2016-16110.html Thu, 07 Jul 2016 00:00:00 -0700 2016-16110 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-07-07/pdf/2016-16110.pdf Notice - 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)) https://regulations.justia.com/regulations/fedreg/2016/07/07/2016-16109.html https://regulations.justia.com/regulations/fedreg/2016/07/07/2016-16109.html Thu, 07 Jul 2016 00:00:00 -0700 2016-16109 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-07-07/pdf/2016-16109.pdf Notice - 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 8.600 https://regulations.justia.com/regulations/fedreg/2016/07/07/2016-16108.html https://regulations.justia.com/regulations/fedreg/2016/07/07/2016-16108.html Thu, 07 Jul 2016 00:00:00 -0700 2016-16108 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-07-07/pdf/2016-16108.pdf Notice - Order Extending a Temporary Exemption From Compliance With Rules 13n-1 to 13n-12 Under the Securities Exchange Act of 1934 https://regulations.justia.com/regulations/fedreg/2016/07/07/2016-16073.html https://regulations.justia.com/regulations/fedreg/2016/07/07/2016-16073.html Thu, 07 Jul 2016 00:00:00 -0700 2016-16073 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-07-07/pdf/2016-16073.pdf Notice - Submission for OMB Review; Comment Request https://regulations.justia.com/regulations/fedreg/2016/07/07/2016-16040.html https://regulations.justia.com/regulations/fedreg/2016/07/07/2016-16040.html Thu, 07 Jul 2016 00:00:00 -0700 2016-16040 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-07-07/pdf/2016-16040.pdf Notice - Submission for OMB Review; Comment Request https://regulations.justia.com/regulations/fedreg/2016/07/07/2016-16039.html https://regulations.justia.com/regulations/fedreg/2016/07/07/2016-16039.html Thu, 07 Jul 2016 00:00:00 -0700 2016-16039 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-07-07/pdf/2016-16039.pdf Notice - Lord Abbett Family of Funds and Lord, Abbett & Co. LLC; Notice of Application https://regulations.justia.com/regulations/fedreg/2016/07/07/2016-16038.html https://regulations.justia.com/regulations/fedreg/2016/07/07/2016-16038.html Thu, 07 Jul 2016 00:00:00 -0700 2016-16038 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-07-07/pdf/2016-16038.pdf Notice - Submission for OMB Review; Comment Request https://regulations.justia.com/regulations/fedreg/2016/07/07/2016-16037.html https://regulations.justia.com/regulations/fedreg/2016/07/07/2016-16037.html Thu, 07 Jul 2016 00:00:00 -0700 2016-16037 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-07-07/pdf/2016-16037.pdf Notice - Submission for OMB Review; Comment Request https://regulations.justia.com/regulations/fedreg/2016/07/07/2016-16036.html https://regulations.justia.com/regulations/fedreg/2016/07/07/2016-16036.html Thu, 07 Jul 2016 00:00:00 -0700 2016-16036 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-07-07/pdf/2016-16036.pdf 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 https://regulations.justia.com/regulations/fedreg/2016/07/07/2016-16035.html https://regulations.justia.com/regulations/fedreg/2016/07/07/2016-16035.html Thu, 07 Jul 2016 00:00:00 -0700 2016-16035 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-07-07/pdf/2016-16035.pdf Notice - 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 ETF https://regulations.justia.com/regulations/fedreg/2016/07/07/2016-16034.html https://regulations.justia.com/regulations/fedreg/2016/07/07/2016-16034.html Thu, 07 Jul 2016 00:00:00 -0700 2016-16034 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-07-07/pdf/2016-16034.pdf Notice - Self-Regulatory Organizations; Fixed Income Clearing Corporation; Order Approving Proposed Rule Change To Suspend the Interbank Service of the GCF Repo® Service https://regulations.justia.com/regulations/fedreg/2016/07/07/2016-16033.html https://regulations.justia.com/regulations/fedreg/2016/07/07/2016-16033.html Thu, 07 Jul 2016 00:00:00 -0700 2016-16033 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-07-07/pdf/2016-16033.pdf Notice - Self-Regulatory Organizations; ICE Clear Credit LLC; Notice of Filing of Proposed Rule Change To Revise the ICC Treasury Operations Policies and Procedures https://regulations.justia.com/regulations/fedreg/2016/07/07/2016-16032.html https://regulations.justia.com/regulations/fedreg/2016/07/07/2016-16032.html Thu, 07 Jul 2016 00:00:00 -0700 2016-16032 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-07-07/pdf/2016-16032.pdf Notice - 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 8.600 https://regulations.justia.com/regulations/fedreg/2016/07/07/2016-16031.html https://regulations.justia.com/regulations/fedreg/2016/07/07/2016-16031.html Thu, 07 Jul 2016 00:00:00 -0700 2016-16031 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-07-07/pdf/2016-16031.pdf Notice - Self-Regulatory Organizations; International Securities Exchange, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Extend the Penny Pilot Program https://regulations.justia.com/regulations/fedreg/2016/07/07/2016-16030.html https://regulations.justia.com/regulations/fedreg/2016/07/07/2016-16030.html Thu, 07 Jul 2016 00:00:00 -0700 2016-16030 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-07-07/pdf/2016-16030.pdf Notice - Self-Regulatory Organizations; ISE Mercury, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Extend the Penny Pilot Program https://regulations.justia.com/regulations/fedreg/2016/07/07/2016-16029.html https://regulations.justia.com/regulations/fedreg/2016/07/07/2016-16029.html Thu, 07 Jul 2016 00:00:00 -0700 2016-16029 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-07-07/pdf/2016-16029.pdf Notice - Self-Regulatory Organizations; ISE Gemini, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Extend the Penny Pilot Program https://regulations.justia.com/regulations/fedreg/2016/07/07/2016-16028.html https://regulations.justia.com/regulations/fedreg/2016/07/07/2016-16028.html Thu, 07 Jul 2016 00:00:00 -0700 2016-16028 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-07-07/pdf/2016-16028.pdf Notice - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Professionals Order Counting https://regulations.justia.com/regulations/fedreg/2016/07/07/2016-16027.html https://regulations.justia.com/regulations/fedreg/2016/07/07/2016-16027.html Thu, 07 Jul 2016 00:00:00 -0700 2016-16027 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-07-07/pdf/2016-16027.pdf Notice - Self-Regulatory Organizations; NASDAQ BX, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change to the Professional Designation https://regulations.justia.com/regulations/fedreg/2016/07/07/2016-16026.html https://regulations.justia.com/regulations/fedreg/2016/07/07/2016-16026.html Thu, 07 Jul 2016 00:00:00 -0700 2016-16026 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-07-07/pdf/2016-16026.pdf Notice - 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 Registration https://regulations.justia.com/regulations/fedreg/2016/07/07/2016-16025.html https://regulations.justia.com/regulations/fedreg/2016/07/07/2016-16025.html Thu, 07 Jul 2016 00:00:00 -0700 2016-16025 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-07-07/pdf/2016-16025.pdf