Federal Register Recent Federal Regulation Documents - Justia Regulation Tracker - Justia Regulations Tracker https://regulations.justia.com/regulations/fedreg/agencies/securities-and-exchange-commission/2016/07/27?limit=200&registers=between&mode=atom 2025-01-15T11:27:05-08:00 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/2016/07/27/2016-17825.html Notice - Self-Regulatory Organizations; NYSE Arca, Inc.; Order Granting Approval of Proposed Rule Change, as Modified by Amendment No. 7 Thereto, Amending NYSE Arca Equities Rule 8.600 To Adopt Generic Listing Standards for Managed Fund Shares 2016-07-27T00:00:00-07:00 2016-07-27T00:00:00-07:00 2016-17825 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-07-27/pdf/2016-17825.pdf https://regulations.justia.com/regulations/fedreg/2016/07/27/2016-17821.html Notice - Submission for OMB Review; Comment Request 2016-07-27T00:00:00-07:00 2016-07-27T00:00:00-07:00 2016-17821 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-07-27/pdf/2016-17821.pdf https://regulations.justia.com/regulations/fedreg/2016/07/27/2016-17676.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 on the BOX Market LLC (“BOX”) Options Facility 2016-07-27T00:00:00-07:00 2016-07-27T00:00:00-07:00 2016-17676 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-07-27/pdf/2016-17676.pdf https://regulations.justia.com/regulations/fedreg/2016/07/27/2016-17675.html Notice - Self-Regulatory Organizations; NYSE MKT LLC; Notice of Filing of Amendment No. 2 to a Proposed Rule Change and Order Instituting Proceedings To Determine Whether To Approve or Disapprove a Proposed Change, as Modified by Amendment Nos. 1 and 2, Establishing Fees Relating to End Users and Amending the Definition of “Affiliate,” as well as Amending the NYSE MKT Equities Price List and the NYSE Amex Options Fee Schedule To Reflect the Changes 2016-07-27T00:00:00-07:00 2016-07-27T00:00:00-07:00 2016-17675 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-07-27/pdf/2016-17675.pdf https://regulations.justia.com/regulations/fedreg/2016/07/27/2016-17674.html Notice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing of Amendment No. 2 to a Proposed Rule Change and Order Instituting Proceedings To Determine Whether To Approve or Disapprove a Proposed Change, as Modified by Amendment Nos. 1 and 2, Establishing Fees Relating to End Users and Amending the Definition of “Affiliate,” as well as Amending the NYSE Arca Equities Schedule of Fees and Charges for Exchange Services and the NYSE Arca Options Fee Schedule To Reflect the Changes 2016-07-27T00:00:00-07:00 2016-07-27T00:00:00-07:00 2016-17674 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-07-27/pdf/2016-17674.pdf https://regulations.justia.com/regulations/fedreg/2016/07/27/2016-17673.html Notice - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing of Amendment No. 2 to a Proposed Rule Change and Order Instituting Proceedings To Determine Whether To Approve or Disapprove a Proposed Change, as Modified by Amendment Nos. 1 and 2, Establishing Fees Relating to End Users and Amending the Definition of “Affiliate,” as Well as Amending the NYSE Price List To Reflect the Changes 2016-07-27T00:00:00-07:00 2016-07-27T00:00:00-07:00 2016-17673 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-07-27/pdf/2016-17673.pdf https://regulations.justia.com/regulations/fedreg/2016/07/27/2016-17672.html Notice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Designation of a Longer Period for Commission Action on a Proposed Rule Change Relating to the Listing and Trading of Shares of the Virtus Japan Alpha ETF Under NYSE Arca Equities Rule 8.600 2016-07-27T00:00:00-07:00 2016-07-27T00:00:00-07:00 2016-17672 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-07-27/pdf/2016-17672.pdf https://regulations.justia.com/regulations/fedreg/2016/07/27/2016-17671.html Notice - Self-Regulatory Organizations; The Nasdaq Stock Market LLC; Notice of Filing of Proposed Rule Change, as Modified by Amendment No. 1 Thereto, to List and Trade Exchange-Traded Managed Funds 2016-07-27T00:00:00-07:00 2016-07-27T00:00:00-07:00 2016-17671 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-07-27/pdf/2016-17671.pdf https://regulations.justia.com/regulations/fedreg/2016/07/27/2016-17670.html Notice - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; 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 Nos. 1 and 2 Thereto, To List and Trade Shares of the First Trust Municipal High Income ETF of First Trust Exchange-Traded Fund III 2016-07-27T00:00:00-07:00 2016-07-27T00:00:00-07:00 2016-17670 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-07-27/pdf/2016-17670.pdf https://regulations.justia.com/regulations/fedreg/2016/07/27/2016-17669.html Notice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing of Proposed Rule Change Amending NYSE Arca Equities Rules 2.16(c) and 2.21(i) to Harmonize the Requirement of When an ETP Holder Must File a Uniform Termination Notice for Securities Industry Registration With the Rules of Other Exchanges and FINRA 2016-07-27T00:00:00-07:00 2016-07-27T00:00:00-07:00 2016-17669 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-07-27/pdf/2016-17669.pdf https://regulations.justia.com/regulations/fedreg/2016/07/27/2016-17668.html Notice - Self-Regulatory Organizations; NASDAQ PHLX LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Related to Affiliated Entities 2016-07-27T00:00:00-07:00 2016-07-27T00:00:00-07:00 2016-17668 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-07-27/pdf/2016-17668.pdf https://regulations.justia.com/regulations/fedreg/2016/07/27/2016-17667.html Notice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing of Proposed Rule Change Amending Rules 2.17(c) and 2.23(i) To Harmonize the Requirement of When OTP Holders and OTP Firms Must File a Uniform Termination Notice for Securities Industry Registration With the Rules of Other Exchanges and FINRA 2016-07-27T00:00:00-07:00 2016-07-27T00:00:00-07:00 2016-17667 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-07-27/pdf/2016-17667.pdf https://regulations.justia.com/regulations/fedreg/2016/07/27/2016-17666.html Notice - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Related to Affiliated Entities 2016-07-27T00:00:00-07:00 2016-07-27T00:00:00-07:00 2016-17666 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-07-27/pdf/2016-17666.pdf https://regulations.justia.com/regulations/fedreg/2016/07/27/2016-17665.html Notice - Self-Regulatory Organizations; The Depository Trust Company; Notice of Designation of a Longer Period for Commission Action on Proposed Rule Change Pursuant to Which DTC Would Impose Deposit Chills and Global Locks and Provide Fair Procedures to Issuers 2016-07-27T00:00:00-07:00 2016-07-27T00:00:00-07:00 2016-17665 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-07-27/pdf/2016-17665.pdf https://regulations.justia.com/regulations/fedreg/2016/07/27/2016-17664.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 2016-07-27T00:00:00-07:00 2016-07-27T00:00:00-07:00 2016-17664 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-07-27/pdf/2016-17664.pdf https://regulations.justia.com/regulations/fedreg/2016/07/27/2016-17663.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 the NYSE Arca Equities Schedule of Fees and Charges for Exchange Services 2016-07-27T00:00:00-07:00 2016-07-27T00:00:00-07:00 2016-17663 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-07-27/pdf/2016-17663.pdf https://regulations.justia.com/regulations/fedreg/2016/07/27/2016-17662.html Notice - Self-Regulatory Organizations; NYSE MKT LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending the NYSE MKT Equities Price List and the NYSE Amex Options Fee Schedule 2016-07-27T00:00:00-07:00 2016-07-27T00:00:00-07:00 2016-17662 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-07-27/pdf/2016-17662.pdf https://regulations.justia.com/regulations/fedreg/2016/07/27/2016-16967.html Proposed Rule - Disclosure of Order Handling Information 2016-07-27T00:00:00-07:00 2016-07-27T00:00:00-07:00 2016-16967 Proposed Rule https://www.gpo.gov/fdsys/pkg/FR-2016-07-27/pdf/2016-16967.pdf https://regulations.justia.com/regulations/fedreg/2016/07/27/2016-15677.html Rule - Order Recognizing the Resource Extraction Payment Disclosure Requirements of the European Union, Canada and the U.S. Extractive Industries Transparency Initiative as Substantially Similar to the Requirements of Rule 13q-1 Under the Securities Exchange Act of 1934 2016-07-27T00:00:00-07:00 2016-07-27T00:00:00-07:00 2016-15677 Rule https://www.gpo.gov/fdsys/pkg/FR-2016-07-27/pdf/2016-15677.pdf https://regulations.justia.com/regulations/fedreg/2016/07/27/2016-15676.html Rule - Disclosure of Payments by Resource Extraction Issuers 2016-07-27T00:00:00-07:00 2016-07-27T00:00:00-07:00 2016-15676 Rule https://www.gpo.gov/fdsys/pkg/FR-2016-07-27/pdf/2016-15676.pdf