<![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?registers=between&min-day=1&max-day=31 Sun, 28 Apr 2024 04:21:08 -0700 Sun, 28 Apr 2024 04:21:08 -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?registers=between&min-day=1&max-day=31 Notice - Sunshine Act Meeting https://regulations.justia.com/regulations/fedreg/2016/07/29/2016-18061.html https://regulations.justia.com/regulations/fedreg/2016/07/29/2016-18061.html Fri, 29 Jul 2016 00:00:00 -0700 2016-18061 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-07-29/pdf/2016-18061.pdf Notice - Order Granting Application of Investors' Exchange LLC for a Limited Exemption from Exchange Act Rule 10b-10(a)(2)(i)(A) pursuant to Rule 10b-10(f) https://regulations.justia.com/regulations/fedreg/2016/07/29/2016-18020.html https://regulations.justia.com/regulations/fedreg/2016/07/29/2016-18020.html Fri, 29 Jul 2016 00:00:00 -0700 2016-18020 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-07-29/pdf/2016-18020.pdf Notice - Self-Regulatory Organizations; NASDAQ PHLX LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Update Public Disclosure of Exchange Usage of Market Data https://regulations.justia.com/regulations/fedreg/2016/07/29/2016-17911.html https://regulations.justia.com/regulations/fedreg/2016/07/29/2016-17911.html Fri, 29 Jul 2016 00:00:00 -0700 2016-17911 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-07-29/pdf/2016-17911.pdf Notice - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to Tied to Stock Orders https://regulations.justia.com/regulations/fedreg/2016/07/29/2016-17910.html https://regulations.justia.com/regulations/fedreg/2016/07/29/2016-17910.html Fri, 29 Jul 2016 00:00:00 -0700 2016-17910 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-07-29/pdf/2016-17910.pdf Notice - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Modify NASDAQ Options Market LLC Pricing at Chapter XV https://regulations.justia.com/regulations/fedreg/2016/07/29/2016-17909.html https://regulations.justia.com/regulations/fedreg/2016/07/29/2016-17909.html Fri, 29 Jul 2016 00:00:00 -0700 2016-17909 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-07-29/pdf/2016-17909.pdf Notice - Self-Regulatory Organizations; NASDAQ BX, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Update Public Disclosure of Exchange Usage of Market Data https://regulations.justia.com/regulations/fedreg/2016/07/29/2016-17908.html https://regulations.justia.com/regulations/fedreg/2016/07/29/2016-17908.html Fri, 29 Jul 2016 00:00:00 -0700 2016-17908 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-07-29/pdf/2016-17908.pdf Notice - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Update Public Disclosure of Exchange Usage of Market Data https://regulations.justia.com/regulations/fedreg/2016/07/29/2016-17907.html https://regulations.justia.com/regulations/fedreg/2016/07/29/2016-17907.html Fri, 29 Jul 2016 00:00:00 -0700 2016-17907 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-07-29/pdf/2016-17907.pdf Notice - Self-Regulatory Organizations; National Stock Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to NSX Rule 11.25(a), Stating it Will Utilize IEX Market Data From the CQS/UQDF for Purposes of Order Handling, Routing, and Related Compliance Processes https://regulations.justia.com/regulations/fedreg/2016/07/29/2016-17906.html https://regulations.justia.com/regulations/fedreg/2016/07/29/2016-17906.html Fri, 29 Jul 2016 00:00:00 -0700 2016-17906 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-07-29/pdf/2016-17906.pdf Rule - Amendments to the Commission's Rules of Practice https://regulations.justia.com/regulations/fedreg/2016/07/29/2016-16987.html https://regulations.justia.com/regulations/fedreg/2016/07/29/2016-16987.html Fri, 29 Jul 2016 00:00:00 -0700 2016-16987 Rule https://www.gpo.gov/fdsys/pkg/FR-2016-07-29/pdf/2016-16987.pdf Notice - In the Matter of American Transportation Holdings, Inc.; Order of Suspension of Trading https://regulations.justia.com/regulations/fedreg/2016/07/28/2016-17965.html https://regulations.justia.com/regulations/fedreg/2016/07/28/2016-17965.html Thu, 28 Jul 2016 00:00:00 -0700 2016-17965 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-07-28/pdf/2016-17965.pdf Notice - Self-Regulatory Organizations; BATS Exchange, Inc.; Order Approving a Proposed Rule Change, as Modified by Amendment No. 6, To Amend BATS Rule 14.11(i) To Adopt Generic Listing Standards for Managed Fund Shares https://regulations.justia.com/regulations/fedreg/2016/07/28/2016-17824.html https://regulations.justia.com/regulations/fedreg/2016/07/28/2016-17824.html Thu, 28 Jul 2016 00:00:00 -0700 2016-17824 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-07-28/pdf/2016-17824.pdf Notice - Self-Regulatory Organizations; NASDAQ PHLX LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Price Improvement XL Pricing https://regulations.justia.com/regulations/fedreg/2016/07/28/2016-17823.html https://regulations.justia.com/regulations/fedreg/2016/07/28/2016-17823.html Thu, 28 Jul 2016 00:00:00 -0700 2016-17823 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-07-28/pdf/2016-17823.pdf Notice - Self-Regulatory Organizations; The Nasdaq Stock Market LLC; Notice of Filing of Proposed Rule Change To Modify the Complimentary Services Offered to Certain New Listings https://regulations.justia.com/regulations/fedreg/2016/07/28/2016-17822.html https://regulations.justia.com/regulations/fedreg/2016/07/28/2016-17822.html Thu, 28 Jul 2016 00:00:00 -0700 2016-17822 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-07-28/pdf/2016-17822.pdf Notice - Submission for OMB Review; Comment Request https://regulations.justia.com/regulations/fedreg/2016/07/28/2016-17820.html https://regulations.justia.com/regulations/fedreg/2016/07/28/2016-17820.html Thu, 28 Jul 2016 00:00:00 -0700 2016-17820 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-07-28/pdf/2016-17820.pdf 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 https://regulations.justia.com/regulations/fedreg/2016/07/27/2016-17825.html https://regulations.justia.com/regulations/fedreg/2016/07/27/2016-17825.html Wed, 27 Jul 2016 00:00:00 -0700 2016-17825 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-07-27/pdf/2016-17825.pdf Notice - Submission for OMB Review; Comment Request https://regulations.justia.com/regulations/fedreg/2016/07/27/2016-17821.html https://regulations.justia.com/regulations/fedreg/2016/07/27/2016-17821.html Wed, 27 Jul 2016 00:00:00 -0700 2016-17821 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-07-27/pdf/2016-17821.pdf 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 https://regulations.justia.com/regulations/fedreg/2016/07/27/2016-17676.html https://regulations.justia.com/regulations/fedreg/2016/07/27/2016-17676.html Wed, 27 Jul 2016 00:00:00 -0700 2016-17676 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-07-27/pdf/2016-17676.pdf 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 https://regulations.justia.com/regulations/fedreg/2016/07/27/2016-17675.html https://regulations.justia.com/regulations/fedreg/2016/07/27/2016-17675.html Wed, 27 Jul 2016 00:00:00 -0700 2016-17675 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-07-27/pdf/2016-17675.pdf 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 https://regulations.justia.com/regulations/fedreg/2016/07/27/2016-17674.html https://regulations.justia.com/regulations/fedreg/2016/07/27/2016-17674.html Wed, 27 Jul 2016 00:00:00 -0700 2016-17674 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-07-27/pdf/2016-17674.pdf 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 https://regulations.justia.com/regulations/fedreg/2016/07/27/2016-17673.html https://regulations.justia.com/regulations/fedreg/2016/07/27/2016-17673.html Wed, 27 Jul 2016 00:00:00 -0700 2016-17673 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-07-27/pdf/2016-17673.pdf 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 https://regulations.justia.com/regulations/fedreg/2016/07/27/2016-17672.html https://regulations.justia.com/regulations/fedreg/2016/07/27/2016-17672.html Wed, 27 Jul 2016 00:00:00 -0700 2016-17672 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-07-27/pdf/2016-17672.pdf 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 https://regulations.justia.com/regulations/fedreg/2016/07/27/2016-17671.html https://regulations.justia.com/regulations/fedreg/2016/07/27/2016-17671.html Wed, 27 Jul 2016 00:00:00 -0700 2016-17671 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-07-27/pdf/2016-17671.pdf 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 https://regulations.justia.com/regulations/fedreg/2016/07/27/2016-17670.html https://regulations.justia.com/regulations/fedreg/2016/07/27/2016-17670.html Wed, 27 Jul 2016 00:00:00 -0700 2016-17670 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-07-27/pdf/2016-17670.pdf 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 https://regulations.justia.com/regulations/fedreg/2016/07/27/2016-17669.html https://regulations.justia.com/regulations/fedreg/2016/07/27/2016-17669.html Wed, 27 Jul 2016 00:00:00 -0700 2016-17669 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-07-27/pdf/2016-17669.pdf Notice - Self-Regulatory Organizations; NASDAQ PHLX LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Related to Affiliated Entities https://regulations.justia.com/regulations/fedreg/2016/07/27/2016-17668.html https://regulations.justia.com/regulations/fedreg/2016/07/27/2016-17668.html Wed, 27 Jul 2016 00:00:00 -0700 2016-17668 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-07-27/pdf/2016-17668.pdf 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 https://regulations.justia.com/regulations/fedreg/2016/07/27/2016-17667.html https://regulations.justia.com/regulations/fedreg/2016/07/27/2016-17667.html Wed, 27 Jul 2016 00:00:00 -0700 2016-17667 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-07-27/pdf/2016-17667.pdf Notice - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Related to Affiliated Entities https://regulations.justia.com/regulations/fedreg/2016/07/27/2016-17666.html https://regulations.justia.com/regulations/fedreg/2016/07/27/2016-17666.html Wed, 27 Jul 2016 00:00:00 -0700 2016-17666 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-07-27/pdf/2016-17666.pdf 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 https://regulations.justia.com/regulations/fedreg/2016/07/27/2016-17665.html https://regulations.justia.com/regulations/fedreg/2016/07/27/2016-17665.html Wed, 27 Jul 2016 00:00:00 -0700 2016-17665 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-07-27/pdf/2016-17665.pdf 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 https://regulations.justia.com/regulations/fedreg/2016/07/27/2016-17664.html https://regulations.justia.com/regulations/fedreg/2016/07/27/2016-17664.html Wed, 27 Jul 2016 00:00:00 -0700 2016-17664 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-07-27/pdf/2016-17664.pdf 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 https://regulations.justia.com/regulations/fedreg/2016/07/27/2016-17663.html https://regulations.justia.com/regulations/fedreg/2016/07/27/2016-17663.html Wed, 27 Jul 2016 00:00:00 -0700 2016-17663 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-07-27/pdf/2016-17663.pdf 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 https://regulations.justia.com/regulations/fedreg/2016/07/27/2016-17662.html https://regulations.justia.com/regulations/fedreg/2016/07/27/2016-17662.html Wed, 27 Jul 2016 00:00:00 -0700 2016-17662 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-07-27/pdf/2016-17662.pdf Proposed Rule - Disclosure of Order Handling Information https://regulations.justia.com/regulations/fedreg/2016/07/27/2016-16967.html https://regulations.justia.com/regulations/fedreg/2016/07/27/2016-16967.html Wed, 27 Jul 2016 00:00:00 -0700 2016-16967 Proposed Rule https://www.gpo.gov/fdsys/pkg/FR-2016-07-27/pdf/2016-16967.pdf 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 https://regulations.justia.com/regulations/fedreg/2016/07/27/2016-15677.html https://regulations.justia.com/regulations/fedreg/2016/07/27/2016-15677.html Wed, 27 Jul 2016 00:00:00 -0700 2016-15677 Rule https://www.gpo.gov/fdsys/pkg/FR-2016-07-27/pdf/2016-15677.pdf Rule - Disclosure of Payments by Resource Extraction Issuers https://regulations.justia.com/regulations/fedreg/2016/07/27/2016-15676.html https://regulations.justia.com/regulations/fedreg/2016/07/27/2016-15676.html Wed, 27 Jul 2016 00:00:00 -0700 2016-15676 Rule https://www.gpo.gov/fdsys/pkg/FR-2016-07-27/pdf/2016-15676.pdf Notice - Submission for OMB Review; Comment Request https://regulations.justia.com/regulations/fedreg/2016/07/26/2016-17636.html https://regulations.justia.com/regulations/fedreg/2016/07/26/2016-17636.html Tue, 26 Jul 2016 00:00:00 -0700 2016-17636 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-07-26/pdf/2016-17636.pdf Notice - Mutual Fund Series Trust, et al.; Notice of Application https://regulations.justia.com/regulations/fedreg/2016/07/26/2016-17607.html https://regulations.justia.com/regulations/fedreg/2016/07/26/2016-17607.html Tue, 26 Jul 2016 00:00:00 -0700 2016-17607 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-07-26/pdf/2016-17607.pdf Notice - Self-Regulatory Organizations; NASDAQ BX, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Affiliated Entities https://regulations.justia.com/regulations/fedreg/2016/07/26/2016-17586.html https://regulations.justia.com/regulations/fedreg/2016/07/26/2016-17586.html Tue, 26 Jul 2016 00:00:00 -0700 2016-17586 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-07-26/pdf/2016-17586.pdf Notice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending NYSE Arca Equities Rules 1.1(s) and 7.35P(a)(10)(A) to Extend the Period for the Current Trading Halt Auction Collar Price Collar Thresholds https://regulations.justia.com/regulations/fedreg/2016/07/26/2016-17585.html https://regulations.justia.com/regulations/fedreg/2016/07/26/2016-17585.html Tue, 26 Jul 2016 00:00:00 -0700 2016-17585 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-07-26/pdf/2016-17585.pdf Notice - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Its Rules Regarding Payment of Compensation and Rebates, and Research Analyst Attestation Requirements, Harmonizing With Certain Financial Industry Regulatory Authority, Inc. Rules and Making Other Conforming Changes https://regulations.justia.com/regulations/fedreg/2016/07/26/2016-17584.html https://regulations.justia.com/regulations/fedreg/2016/07/26/2016-17584.html Tue, 26 Jul 2016 00:00:00 -0700 2016-17584 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-07-26/pdf/2016-17584.pdf Notice - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change for a New Rule 346 Prohibiting Association by Member Organizations, Principal Executives, Approved Persons, and Persons Associated With a Member Organization or Control Persons of Member Organizations With Persons Subject to a Statutory Disqualification https://regulations.justia.com/regulations/fedreg/2016/07/26/2016-17583.html https://regulations.justia.com/regulations/fedreg/2016/07/26/2016-17583.html Tue, 26 Jul 2016 00:00:00 -0700 2016-17583 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-07-26/pdf/2016-17583.pdf 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 Recently Adopted Step Up Mechanism on Its Equity Options Platform https://regulations.justia.com/regulations/fedreg/2016/07/26/2016-17582.html https://regulations.justia.com/regulations/fedreg/2016/07/26/2016-17582.html Tue, 26 Jul 2016 00:00:00 -0700 2016-17582 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-07-26/pdf/2016-17582.pdf Notice - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Withdrawal of 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 https://regulations.justia.com/regulations/fedreg/2016/07/26/2016-17580.html https://regulations.justia.com/regulations/fedreg/2016/07/26/2016-17580.html Tue, 26 Jul 2016 00:00:00 -0700 2016-17580 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-07-26/pdf/2016-17580.pdf Notice - Self-Regulatory Organizations; NYSE MKT LLC; Notice of Withdrawal of 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 https://regulations.justia.com/regulations/fedreg/2016/07/26/2016-17573.html https://regulations.justia.com/regulations/fedreg/2016/07/26/2016-17573.html Tue, 26 Jul 2016 00:00:00 -0700 2016-17573 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-07-26/pdf/2016-17573.pdf Notice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing of Proposed Rule Change Relating to the Listing and Trading of Shares of PowerShares Government Collateral Pledge Portfolio Under NYSE Arca Equities Rule 8.600 https://regulations.justia.com/regulations/fedreg/2016/07/26/2016-17572.html https://regulations.justia.com/regulations/fedreg/2016/07/26/2016-17572.html Tue, 26 Jul 2016 00:00:00 -0700 2016-17572 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-07-26/pdf/2016-17572.pdf Notice - Self-Regulatory Organizations; NASDAQ BX, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Make Adjustments to Its Options Regulatory Fee https://regulations.justia.com/regulations/fedreg/2016/07/25/2016-17448.html https://regulations.justia.com/regulations/fedreg/2016/07/25/2016-17448.html Mon, 25 Jul 2016 00:00:00 -0700 2016-17448 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-07-25/pdf/2016-17448.pdf Notice - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Make Adjustments to Nasdaq's Options Regulatory Fee https://regulations.justia.com/regulations/fedreg/2016/07/25/2016-17447.html https://regulations.justia.com/regulations/fedreg/2016/07/25/2016-17447.html Mon, 25 Jul 2016 00:00:00 -0700 2016-17447 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-07-25/pdf/2016-17447.pdf Notice - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing of a Proposed Rule Change Relating to the Reporting of U.S. Treasury Securities to the Trade Reporting and Compliance Engine https://regulations.justia.com/regulations/fedreg/2016/07/25/2016-17446.html https://regulations.justia.com/regulations/fedreg/2016/07/25/2016-17446.html Mon, 25 Jul 2016 00:00:00 -0700 2016-17446 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-07-25/pdf/2016-17446.pdf Notice - Self-Regulatory Organizations; The Depository Trust Company; Order Approving Proposed Rule Change To Establish a Link With Euroclear https://regulations.justia.com/regulations/fedreg/2016/07/25/2016-17445.html https://regulations.justia.com/regulations/fedreg/2016/07/25/2016-17445.html Mon, 25 Jul 2016 00:00:00 -0700 2016-17445 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-07-25/pdf/2016-17445.pdf Notice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending NYSE Arca Equities Rule 1.1 To Establish an Official Closing Price for Exchange-Listed Securities if the Exchange Is Unable To Conduct a Closing Auction https://regulations.justia.com/regulations/fedreg/2016/07/25/2016-17444.html https://regulations.justia.com/regulations/fedreg/2016/07/25/2016-17444.html Mon, 25 Jul 2016 00:00:00 -0700 2016-17444 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-07-25/pdf/2016-17444.pdf Notice - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Nasdaq Rule 7018 https://regulations.justia.com/regulations/fedreg/2016/07/25/2016-17443.html https://regulations.justia.com/regulations/fedreg/2016/07/25/2016-17443.html Mon, 25 Jul 2016 00:00:00 -0700 2016-17443 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-07-25/pdf/2016-17443.pdf Notice - In the Matter of Scanner Technologies Corp., Seville Ventures Corp., StarInvest Group, Inc., and The Digital Development Group Corp.; Order of Suspension of Trading https://regulations.justia.com/regulations/fedreg/2016/07/22/2016-17449.html https://regulations.justia.com/regulations/fedreg/2016/07/22/2016-17449.html Fri, 22 Jul 2016 00:00:00 -0700 2016-17449 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-07-22/pdf/2016-17449.pdf Notice - Self-Regulatory Organizations; BOX Options Exchange LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Extend the Pilot Programs That Permit the Exchange to Have No Minimum Size Requirement for Orders Entered Into the PIP and COPIP https://regulations.justia.com/regulations/fedreg/2016/07/22/2016-17280.html https://regulations.justia.com/regulations/fedreg/2016/07/22/2016-17280.html Fri, 22 Jul 2016 00:00:00 -0700 2016-17280 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-07-22/pdf/2016-17280.pdf Notice - Self-Regulatory Organizations; NYSE MKT LLC; Notice of Filing of Proposed Rule Change To Amend Certain Rules Related to Flexible Exchange Options https://regulations.justia.com/regulations/fedreg/2016/07/21/2016-17201.html https://regulations.justia.com/regulations/fedreg/2016/07/21/2016-17201.html Thu, 21 Jul 2016 00:00:00 -0700 2016-17201 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-07-21/pdf/2016-17201.pdf Notice - Self-Regulatory Organizations; Fixed Income Clearing Corporation; Notice of Filing of Proposed Rule Change To Describe the Blackout Period Exposure Charge That May Be Imposed on GCF Repo Participants https://regulations.justia.com/regulations/fedreg/2016/07/21/2016-17200.html https://regulations.justia.com/regulations/fedreg/2016/07/21/2016-17200.html Thu, 21 Jul 2016 00:00:00 -0700 2016-17200 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-07-21/pdf/2016-17200.pdf Notice - Self-Regulatory Organizations; Bats BZX Exchange, Inc.; Notice of Filing of a Proposed Rule Change to BZX Rule 14.11(i), Managed Fund Shares, To List and Trade Shares of the ProShares Crude Oil Strategy ETF, a Series of ProShares https://regulations.justia.com/regulations/fedreg/2016/07/21/2016-17199.html https://regulations.justia.com/regulations/fedreg/2016/07/21/2016-17199.html Thu, 21 Jul 2016 00:00:00 -0700 2016-17199 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-07-21/pdf/2016-17199.pdf Notice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing of Proposed Rule Change To Amend NYSE Arca Equities Rule 8.700 and To List and Trade Shares of the Managed Emerging Markets Trust Under Proposed Amended NYSE Arca Equities Rule 8.700 https://regulations.justia.com/regulations/fedreg/2016/07/21/2016-17198.html https://regulations.justia.com/regulations/fedreg/2016/07/21/2016-17198.html Thu, 21 Jul 2016 00:00:00 -0700 2016-17198 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-07-21/pdf/2016-17198.pdf Notice - Self-Regulatory Organizations; International Securities Exchange, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Extend the Price Improvement Mechanism Pilot Program https://regulations.justia.com/regulations/fedreg/2016/07/21/2016-17197.html https://regulations.justia.com/regulations/fedreg/2016/07/21/2016-17197.html Thu, 21 Jul 2016 00:00:00 -0700 2016-17197 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-07-21/pdf/2016-17197.pdf Notice - Self-Regulatory Organizations; ISE Gemini, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Extend the Price Improvement Mechanism Pilot Program https://regulations.justia.com/regulations/fedreg/2016/07/21/2016-17196.html https://regulations.justia.com/regulations/fedreg/2016/07/21/2016-17196.html Thu, 21 Jul 2016 00:00:00 -0700 2016-17196 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-07-21/pdf/2016-17196.pdf Notice - Self-Regulatory Organizations; ISE Mercury, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Extend the Price Improvement Mechanism Pilot Program https://regulations.justia.com/regulations/fedreg/2016/07/21/2016-17195.html https://regulations.justia.com/regulations/fedreg/2016/07/21/2016-17195.html Thu, 21 Jul 2016 00:00:00 -0700 2016-17195 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-07-21/pdf/2016-17195.pdf Notice - Self-Regulatory Organizations; Bats EDGX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Related to Functionality Offered by the Exchange's Options Platform To: Modify Various Rules To Eliminate the Display-Price Sliding Option; Modify Various Rules To Eliminate Price Improving Orders; and Adopt the Step Up Mechanism https://regulations.justia.com/regulations/fedreg/2016/07/21/2016-17194.html https://regulations.justia.com/regulations/fedreg/2016/07/21/2016-17194.html Thu, 21 Jul 2016 00:00:00 -0700 2016-17194 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-07-21/pdf/2016-17194.pdf Notice - Self-Regulatory Organizations; Bats BZX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Related to Fees for Use of Bats BZX Exchange, Inc. https://regulations.justia.com/regulations/fedreg/2016/07/21/2016-17193.html https://regulations.justia.com/regulations/fedreg/2016/07/21/2016-17193.html Thu, 21 Jul 2016 00:00:00 -0700 2016-17193 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-07-21/pdf/2016-17193.pdf Notice - Order Granting Limited Exemptions From Exchange Act Rule 10b-17 and Rules 101 and 102 of Regulation M to Janus Detroit Street Trust, the Janus Velocity Tail Risk Hedged Large Cap ETF, and the Janus Velocity Volatility Hedged Large Cap ETF https://regulations.justia.com/regulations/fedreg/2016/07/20/2016-17107.html https://regulations.justia.com/regulations/fedreg/2016/07/20/2016-17107.html Wed, 20 Jul 2016 00:00:00 -0700 2016-17107 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-07-20/pdf/2016-17107.pdf 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 BlackRock Government Collateral Pledge Unit Under NYSE Arca Equities Rule 8.600 https://regulations.justia.com/regulations/fedreg/2016/07/20/2016-17098.html https://regulations.justia.com/regulations/fedreg/2016/07/20/2016-17098.html Wed, 20 Jul 2016 00:00:00 -0700 2016-17098 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-07-20/pdf/2016-17098.pdf Notice - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Update Rule Cross-References and Make Non-Substantive Technical Changes to Certain FINRA Rules https://regulations.justia.com/regulations/fedreg/2016/07/20/2016-17097.html https://regulations.justia.com/regulations/fedreg/2016/07/20/2016-17097.html Wed, 20 Jul 2016 00:00:00 -0700 2016-17097 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-07-20/pdf/2016-17097.pdf Notice - Self-Regulatory Organizations; New York Stock Exchange LLC; Order Approving Proposed Rule Change Removing From Its Rules Certain Internal Procedures Regarding the Use of Fine Income https://regulations.justia.com/regulations/fedreg/2016/07/20/2016-17096.html https://regulations.justia.com/regulations/fedreg/2016/07/20/2016-17096.html Wed, 20 Jul 2016 00:00:00 -0700 2016-17096 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-07-20/pdf/2016-17096.pdf Notice - Self-Regulatory Organizations; NYSE MKT LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Extending the Pilot Period Applicable to the Customer Best Execution Auction per Rule 971.1NY https://regulations.justia.com/regulations/fedreg/2016/07/20/2016-17095.html https://regulations.justia.com/regulations/fedreg/2016/07/20/2016-17095.html Wed, 20 Jul 2016 00:00:00 -0700 2016-17095 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-07-20/pdf/2016-17095.pdf Notice - Self-Regulatory Organizations; Municipal Securities Rulemaking Board; Notice of Filing of a Proposed Rule Change To Establish the MSRB Academic Historical Transaction Data Product https://regulations.justia.com/regulations/fedreg/2016/07/20/2016-17094.html https://regulations.justia.com/regulations/fedreg/2016/07/20/2016-17094.html Wed, 20 Jul 2016 00:00:00 -0700 2016-17094 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-07-20/pdf/2016-17094.pdf Notice - Self-Regulatory Organizations; Bats BZX Exchange, Inc.; Notice of Filing of a Proposed Rule Change To Adopt Paragraph (c) to Exchange Rule 11.27 To Describe Changes to System Functionality Necessary To Implement the Regulation NMS Plan To Implement a Tick Size Pilot Program https://regulations.justia.com/regulations/fedreg/2016/07/20/2016-17093.html https://regulations.justia.com/regulations/fedreg/2016/07/20/2016-17093.html Wed, 20 Jul 2016 00:00:00 -0700 2016-17093 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-07-20/pdf/2016-17093.pdf Notice - Self-Regulatory Organizations; Bats BYX Exchange, Inc.; Notice of Filing of a Proposed Rule Change To Amend Exchange Rule 11.27 To Describe Changes to System Functionality Necessary To Implement the Regulation NMS Plan To Implement a Tick Size Pilot Program https://regulations.justia.com/regulations/fedreg/2016/07/20/2016-17092.html https://regulations.justia.com/regulations/fedreg/2016/07/20/2016-17092.html Wed, 20 Jul 2016 00:00:00 -0700 2016-17092 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-07-20/pdf/2016-17092.pdf Notice - Self-Regulatory Organizations; Bats EDGX Exchange, Inc.; Notice of Filing of a Proposed Rule Change To Adopt Paragraph (c) to Exchange Rule 11.22 To Describe Changes to System Functionality Necessary To Implement the Regulation NMS Plan To Implement a Tick Size Pilot Program https://regulations.justia.com/regulations/fedreg/2016/07/20/2016-17091.html https://regulations.justia.com/regulations/fedreg/2016/07/20/2016-17091.html Wed, 20 Jul 2016 00:00:00 -0700 2016-17091 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-07-20/pdf/2016-17091.pdf Notice - Self-Regulatory Organizations; Bats EDGA Exchange, Inc.; Notice of Filing of a Proposed Rule Change To Adopt Paragraph (c) to Exchange Rule 11.21 To Describe Changes to System Functionality Necessary To Implement the Regulation NMS Plan To Implement a Tick Size Pilot Program https://regulations.justia.com/regulations/fedreg/2016/07/20/2016-17090.html https://regulations.justia.com/regulations/fedreg/2016/07/20/2016-17090.html Wed, 20 Jul 2016 00:00:00 -0700 2016-17090 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-07-20/pdf/2016-17090.pdf Notice - Self-Regulatory Organizations; Bats BZX Exchange, Inc.; Order Granting Approval of Proposed Rule Change, as Modified by Amendment No. 8 Thereto, to List and Trade Under BZX Rule 14.11(c)(4) Shares of the Following Series of VanEck Vectors ETF Trust: VanEck Vectors AMT-Free 6-8 Year Municipal Index ETF; VanEck Vectors AMT-Free 8-12 Year Municipal Index ETF; and VanEck Vectors AMT-Free 12-17 Year Municipal Index ETF https://regulations.justia.com/regulations/fedreg/2016/07/20/2016-17089.html https://regulations.justia.com/regulations/fedreg/2016/07/20/2016-17089.html Wed, 20 Jul 2016 00:00:00 -0700 2016-17089 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-07-20/pdf/2016-17089.pdf Notice - Sunshine Act Meeting https://regulations.justia.com/regulations/fedreg/2016/07/19/2016-17168.html https://regulations.justia.com/regulations/fedreg/2016/07/19/2016-17168.html Tue, 19 Jul 2016 00:00:00 -0700 2016-17168 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-07-19/pdf/2016-17168.pdf Notice - Sunshine Act Meeting https://regulations.justia.com/regulations/fedreg/2016/07/19/2016-17167.html https://regulations.justia.com/regulations/fedreg/2016/07/19/2016-17167.html Tue, 19 Jul 2016 00:00:00 -0700 2016-17167 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-07-19/pdf/2016-17167.pdf Notice - Submission for OMB Review; Comment Request https://regulations.justia.com/regulations/fedreg/2016/07/19/2016-17001.html https://regulations.justia.com/regulations/fedreg/2016/07/19/2016-17001.html Tue, 19 Jul 2016 00:00:00 -0700 2016-17001 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-07-19/pdf/2016-17001.pdf Notice - Proposed Collection; Comment Request https://regulations.justia.com/regulations/fedreg/2016/07/19/2016-17000.html https://regulations.justia.com/regulations/fedreg/2016/07/19/2016-17000.html Tue, 19 Jul 2016 00:00:00 -0700 2016-17000 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-07-19/pdf/2016-17000.pdf Notice - Order Granting Limited Exemptions from Exchange Act Rule 10b-17 and Rules 101 and 102 of Regulation M to PowerShares DWA Momentum & Low Volatility Rotation Portfolio Pursuant to Exchange Act Rule 10b-17(b)(2) and Rules 101(d) and 102(e) of Regulation M https://regulations.justia.com/regulations/fedreg/2016/07/19/2016-16999.html https://regulations.justia.com/regulations/fedreg/2016/07/19/2016-16999.html Tue, 19 Jul 2016 00:00:00 -0700 2016-16999 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-07-19/pdf/2016-16999.pdf Notice - Self-Regulatory Organizations; Bats EDGX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to EDGX Rule 13.4(a), Stating It Will Utilize IEX Market Data From the CQS/UQDF for Purposes of Order Handling, Routing, and Related Compliance Processes https://regulations.justia.com/regulations/fedreg/2016/07/19/2016-16975.html https://regulations.justia.com/regulations/fedreg/2016/07/19/2016-16975.html Tue, 19 Jul 2016 00:00:00 -0700 2016-16975 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-07-19/pdf/2016-16975.pdf Notice - Self-Regulatory Organizations; BOX Options Exchange LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Introduce New Risk Protections on the Exchange and Provide Enhancements to Current Risk Protections https://regulations.justia.com/regulations/fedreg/2016/07/19/2016-16974.html https://regulations.justia.com/regulations/fedreg/2016/07/19/2016-16974.html Tue, 19 Jul 2016 00:00:00 -0700 2016-16974 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-07-19/pdf/2016-16974.pdf Notice - Self-Regulatory Organizations; NASDAQ PHLX LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Adopt Rules To Implement the Quoting and Trading Provisions of the Plan To Implement a Tick Size Pilot Program https://regulations.justia.com/regulations/fedreg/2016/07/19/2016-16973.html https://regulations.justia.com/regulations/fedreg/2016/07/19/2016-16973.html Tue, 19 Jul 2016 00:00:00 -0700 2016-16973 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-07-19/pdf/2016-16973.pdf Notice - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Related to the Automated Improvement Mechanism https://regulations.justia.com/regulations/fedreg/2016/07/19/2016-16972.html https://regulations.justia.com/regulations/fedreg/2016/07/19/2016-16972.html Tue, 19 Jul 2016 00:00:00 -0700 2016-16972 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-07-19/pdf/2016-16972.pdf Notice - Self-Regulatory Organizations; C2 Options Exchange, Incorporated; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Related to the Automated Improvement Mechanism https://regulations.justia.com/regulations/fedreg/2016/07/19/2016-16971.html https://regulations.justia.com/regulations/fedreg/2016/07/19/2016-16971.html Tue, 19 Jul 2016 00:00:00 -0700 2016-16971 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-07-19/pdf/2016-16971.pdf Notice - Self-Regulatory Organizations; Bats EDGA Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to EDGA Rule 13.4(a), Stating It Will Utilize IEX Market Data From the CQS/UQDF for Purposes of Order Handling, Routing, and Related Compliance Processes https://regulations.justia.com/regulations/fedreg/2016/07/19/2016-16970.html https://regulations.justia.com/regulations/fedreg/2016/07/19/2016-16970.html Tue, 19 Jul 2016 00:00:00 -0700 2016-16970 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-07-19/pdf/2016-16970.pdf Notice - Equity Market Structure Advisory Committee https://regulations.justia.com/regulations/fedreg/2016/07/18/2016-16892.html https://regulations.justia.com/regulations/fedreg/2016/07/18/2016-16892.html Mon, 18 Jul 2016 00:00:00 -0700 2016-16892 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-07-18/pdf/2016-16892.pdf Notice - Self-Regulatory Organizations; Investors Exchange LLC; Notice of Filing of Proposed Minor Rule Violation Plan https://regulations.justia.com/regulations/fedreg/2016/07/18/2016-16866.html https://regulations.justia.com/regulations/fedreg/2016/07/18/2016-16866.html Mon, 18 Jul 2016 00:00:00 -0700 2016-16866 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-07-18/pdf/2016-16866.pdf Notice - Self-Regulatory Organizations; Bats BZX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to BZX Rule 11.26(a), Stating it Will Utilize IEX Market Data From the CQS/UQDF for Purposes of Order Handling, Routing, and Related Compliance Processes https://regulations.justia.com/regulations/fedreg/2016/07/18/2016-16861.html https://regulations.justia.com/regulations/fedreg/2016/07/18/2016-16861.html Mon, 18 Jul 2016 00:00:00 -0700 2016-16861 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-07-18/pdf/2016-16861.pdf Notice - Self-Regulatory Organizations; Bats BYX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to BYX Rule 11.26(a), Stating it Will Utilize IEX Market Data From the CQS/UQDF for Purposes of Order Handling, Routing, and Related Compliance Processes https://regulations.justia.com/regulations/fedreg/2016/07/18/2016-16860.html https://regulations.justia.com/regulations/fedreg/2016/07/18/2016-16860.html Mon, 18 Jul 2016 00:00:00 -0700 2016-16860 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-07-18/pdf/2016-16860.pdf Notice - Self-Regulatory Organizations; NASDAQ PHLX LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Extend Pilot Program Through January 18, 2017 https://regulations.justia.com/regulations/fedreg/2016/07/18/2016-16859.html https://regulations.justia.com/regulations/fedreg/2016/07/18/2016-16859.html Mon, 18 Jul 2016 00:00:00 -0700 2016-16859 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-07-18/pdf/2016-16859.pdf 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 https://regulations.justia.com/regulations/fedreg/2016/07/18/2016-16858.html https://regulations.justia.com/regulations/fedreg/2016/07/18/2016-16858.html Mon, 18 Jul 2016 00:00:00 -0700 2016-16858 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-07-18/pdf/2016-16858.pdf Notice - Self-Regulatory Organizations; NASDAQ BX, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Detection of Loss of Connection https://regulations.justia.com/regulations/fedreg/2016/07/18/2016-16857.html https://regulations.justia.com/regulations/fedreg/2016/07/18/2016-16857.html Mon, 18 Jul 2016 00:00:00 -0700 2016-16857 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-07-18/pdf/2016-16857.pdf Notice - Self-Regulatory Organizations; NYSE MKT LLC; Notice of Filing and Immediate Effectiveness of Proposed Change To Modify the NYSE Amex Options Fee Schedule Effective July 1, 2016 https://regulations.justia.com/regulations/fedreg/2016/07/18/2016-16856.html https://regulations.justia.com/regulations/fedreg/2016/07/18/2016-16856.html Mon, 18 Jul 2016 00:00:00 -0700 2016-16856 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-07-18/pdf/2016-16856.pdf Notice - Self-Regulatory Organizations; International Securities Exchange, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Extend the SPY Pilot Program https://regulations.justia.com/regulations/fedreg/2016/07/18/2016-16855.html https://regulations.justia.com/regulations/fedreg/2016/07/18/2016-16855.html Mon, 18 Jul 2016 00:00:00 -0700 2016-16855 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-07-18/pdf/2016-16855.pdf Notice - Self-Regulatory Organizations; C2 Options Exchange, Incorporated; Order Approving a Proposed Rule Change Relating to Senior Management Authority https://regulations.justia.com/regulations/fedreg/2016/07/18/2016-16854.html https://regulations.justia.com/regulations/fedreg/2016/07/18/2016-16854.html Mon, 18 Jul 2016 00:00:00 -0700 2016-16854 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-07-18/pdf/2016-16854.pdf Notice - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Order Approving a Proposed Rule Change Relating to Senior Management Authority https://regulations.justia.com/regulations/fedreg/2016/07/18/2016-16853.html https://regulations.justia.com/regulations/fedreg/2016/07/18/2016-16853.html Mon, 18 Jul 2016 00:00:00 -0700 2016-16853 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-07-18/pdf/2016-16853.pdf Notice - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the Fees Schedule https://regulations.justia.com/regulations/fedreg/2016/07/18/2016-16852.html https://regulations.justia.com/regulations/fedreg/2016/07/18/2016-16852.html Mon, 18 Jul 2016 00:00:00 -0700 2016-16852 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-07-18/pdf/2016-16852.pdf Notice - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Designation of a Longer Period for Commission Action on Proposed Rule Change To List and Trade Shares of the First Trust CEF Income Opportunity ETF and the First Trust Municipal CEF Income Opportunity ETF https://regulations.justia.com/regulations/fedreg/2016/07/18/2016-16851.html https://regulations.justia.com/regulations/fedreg/2016/07/18/2016-16851.html Mon, 18 Jul 2016 00:00:00 -0700 2016-16851 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-07-18/pdf/2016-16851.pdf Notice - Self-Regulatory Organizations; Bats BZX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Related to Fees for Use of Bats BZX Exchange, Inc. https://regulations.justia.com/regulations/fedreg/2016/07/18/2016-16850.html https://regulations.justia.com/regulations/fedreg/2016/07/18/2016-16850.html Mon, 18 Jul 2016 00:00:00 -0700 2016-16850 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-07-18/pdf/2016-16850.pdf Notice - Self-Regulatory Organizations; Bats BZX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Related to Fees for Use of Bats BZX Exchange, Inc. https://regulations.justia.com/regulations/fedreg/2016/07/18/2016-16849.html https://regulations.justia.com/regulations/fedreg/2016/07/18/2016-16849.html Mon, 18 Jul 2016 00:00:00 -0700 2016-16849 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-07-18/pdf/2016-16849.pdf 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 https://regulations.justia.com/regulations/fedreg/2016/07/18/2016-16848.html https://regulations.justia.com/regulations/fedreg/2016/07/18/2016-16848.html Mon, 18 Jul 2016 00:00:00 -0700 2016-16848 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-07-18/pdf/2016-16848.pdf Notice - Sunshine Act Meeting https://regulations.justia.com/regulations/fedreg/2016/07/15/2016-16867.html https://regulations.justia.com/regulations/fedreg/2016/07/15/2016-16867.html Fri, 15 Jul 2016 00:00:00 -0700 2016-16867 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-07-15/pdf/2016-16867.pdf Notice - Public Company Accounting Oversight Board; Order Granting Approval of Proposed Amendments to Board Rules Relating to Inspections https://regulations.justia.com/regulations/fedreg/2016/07/15/2016-16727.html https://regulations.justia.com/regulations/fedreg/2016/07/15/2016-16727.html Fri, 15 Jul 2016 00:00:00 -0700 2016-16727 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-07-15/pdf/2016-16727.pdf Notice - Self-Regulatory Organizations; NASDAQ BX, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to the Automated Removal of Quotes https://regulations.justia.com/regulations/fedreg/2016/07/15/2016-16725.html https://regulations.justia.com/regulations/fedreg/2016/07/15/2016-16725.html Fri, 15 Jul 2016 00:00:00 -0700 2016-16725 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-07-15/pdf/2016-16725.pdf Notice - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Automated Removal of Orders and Quotes https://regulations.justia.com/regulations/fedreg/2016/07/15/2016-16724.html https://regulations.justia.com/regulations/fedreg/2016/07/15/2016-16724.html Fri, 15 Jul 2016 00:00:00 -0700 2016-16724 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-07-15/pdf/2016-16724.pdf Notice - Self-Regulatory Organizations; NYSE MKT 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 Amend Rule 952NY With Respect to Opening Trading in an Options Series https://regulations.justia.com/regulations/fedreg/2016/07/15/2016-16723.html https://regulations.justia.com/regulations/fedreg/2016/07/15/2016-16723.html Fri, 15 Jul 2016 00:00:00 -0700 2016-16723 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-07-15/pdf/2016-16723.pdf Notice - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to the Fee for the Regulatory Element of Continuing Education https://regulations.justia.com/regulations/fedreg/2016/07/15/2016-16722.html https://regulations.justia.com/regulations/fedreg/2016/07/15/2016-16722.html Fri, 15 Jul 2016 00:00:00 -0700 2016-16722 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-07-15/pdf/2016-16722.pdf Notice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending NYSE Arca Rule 3.3 To Delete an Outdated Reference https://regulations.justia.com/regulations/fedreg/2016/07/15/2016-16721.html https://regulations.justia.com/regulations/fedreg/2016/07/15/2016-16721.html Fri, 15 Jul 2016 00:00:00 -0700 2016-16721 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-07-15/pdf/2016-16721.pdf Notice - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing of a Proposed Rule Change To Amend Rule 12403 (Cases With Three Arbitrators) of the Code of Arbitration Procedure for Customer Disputes Relating to the Panel Selection Process in Arbitration https://regulations.justia.com/regulations/fedreg/2016/07/15/2016-16720.html https://regulations.justia.com/regulations/fedreg/2016/07/15/2016-16720.html Fri, 15 Jul 2016 00:00:00 -0700 2016-16720 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-07-15/pdf/2016-16720.pdf Notice - Self-Regulatory Organizations; NASDAQ BX, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Fees Under Rule 7018 https://regulations.justia.com/regulations/fedreg/2016/07/15/2016-16719.html https://regulations.justia.com/regulations/fedreg/2016/07/15/2016-16719.html Fri, 15 Jul 2016 00:00:00 -0700 2016-16719 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-07-15/pdf/2016-16719.pdf Notice - Self-Regulatory Organizations; The Options Clearing Corporation; Order Approving Proposed Rule Change Related to The Options Clearing Corporation's Membership Approval Process https://regulations.justia.com/regulations/fedreg/2016/07/15/2016-16718.html https://regulations.justia.com/regulations/fedreg/2016/07/15/2016-16718.html Fri, 15 Jul 2016 00:00:00 -0700 2016-16718 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-07-15/pdf/2016-16718.pdf Notice - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the Fees Schedule https://regulations.justia.com/regulations/fedreg/2016/07/15/2016-16717.html https://regulations.justia.com/regulations/fedreg/2016/07/15/2016-16717.html Fri, 15 Jul 2016 00:00:00 -0700 2016-16717 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-07-15/pdf/2016-16717.pdf Notice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing of Amendment No. 1 and Order Granting Accelerated Approval of a Proposed Rule Change, as Modified by Amendment No. 1, To Amend Rule 6.64 With Respect To Opening Trading in an Options Series https://regulations.justia.com/regulations/fedreg/2016/07/15/2016-16715.html https://regulations.justia.com/regulations/fedreg/2016/07/15/2016-16715.html Fri, 15 Jul 2016 00:00:00 -0700 2016-16715 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-07-15/pdf/2016-16715.pdf Notice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Rule 6.87 Regarding Transactions That Qualify as a Catastrophic Error as it Relates to Binary Return Derivatives Contracts https://regulations.justia.com/regulations/fedreg/2016/07/14/2016-16618.html https://regulations.justia.com/regulations/fedreg/2016/07/14/2016-16618.html Thu, 14 Jul 2016 00:00:00 -0700 2016-16618 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-07-14/pdf/2016-16618.pdf Notice - Self-Regulatory Organizations; NYSE MKT LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Rule 975NY Regarding Transactions That Qualify as a Catastrophic Error as it Relates to Binary Return Derivatives Contracts https://regulations.justia.com/regulations/fedreg/2016/07/14/2016-16617.html https://regulations.justia.com/regulations/fedreg/2016/07/14/2016-16617.html Thu, 14 Jul 2016 00:00:00 -0700 2016-16617 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-07-14/pdf/2016-16617.pdf Notice - Self-Regulatory Organizations; Miami International Securities Exchange LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Exchange Rule 515A To Extend the MIAX Price Improvement Mechanism (“PRIME”) Auction Pilot Program Until January 18, 2017 https://regulations.justia.com/regulations/fedreg/2016/07/14/2016-16616.html https://regulations.justia.com/regulations/fedreg/2016/07/14/2016-16616.html Thu, 14 Jul 2016 00:00:00 -0700 2016-16616 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-07-14/pdf/2016-16616.pdf Notice - Self-Regulatory Organizations; Bats BZX Exchange, Inc.; Notice of Filing of a Proposed Rule Change To List and Trade Shares of the JPMorgan Global Bond Opportunities ETF https://regulations.justia.com/regulations/fedreg/2016/07/14/2016-16615.html https://regulations.justia.com/regulations/fedreg/2016/07/14/2016-16615.html Thu, 14 Jul 2016 00:00:00 -0700 2016-16615 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-07-14/pdf/2016-16615.pdf Notice - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing of Proposed Rule Change Allowing the Exchange To Trade Pursuant to Unlisted Trading Privileges for Any NMS Stock Listed on Another National Securities Exchange; Establishing Listing and Trading Requirements for Exchange Traded Products; and Adopting New Equity Trading Rules Relating to Trading Halts of Securities Traded Pursuant to UTP on the Pillar Platform https://regulations.justia.com/regulations/fedreg/2016/07/14/2016-16605.html https://regulations.justia.com/regulations/fedreg/2016/07/14/2016-16605.html Thu, 14 Jul 2016 00:00:00 -0700 2016-16605 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-07-14/pdf/2016-16605.pdf Notice - Self-Regulatory Organizations; Bats BZX Exchange, Inc.; Notice of Filing of a Proposed Rule Change to BZX Rule 14.11(e)(4), Commodity-Based Trust Shares, To List and Trade Winklevoss Bitcoin Shares Issued by the Winklevoss Bitcoin Trust https://regulations.justia.com/regulations/fedreg/2016/07/14/2016-16604.html https://regulations.justia.com/regulations/fedreg/2016/07/14/2016-16604.html Thu, 14 Jul 2016 00:00:00 -0700 2016-16604 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-07-14/pdf/2016-16604.pdf Notice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Withdrawal of a Proposed Rule Change, as Modified by Amendment No. 1 Thereto, To Adopt NYSE Arca Equities Rule 8.900 To Permit Listing and Trading of Managed Portfolio Shares and To Permit Listing and Trading of Shares of Fifteen Issues of the Precidian ETFs Trust https://regulations.justia.com/regulations/fedreg/2016/07/14/2016-16603.html https://regulations.justia.com/regulations/fedreg/2016/07/14/2016-16603.html Thu, 14 Jul 2016 00:00:00 -0700 2016-16603 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-07-14/pdf/2016-16603.pdf 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 https://regulations.justia.com/regulations/fedreg/2016/07/14/2016-16602.html https://regulations.justia.com/regulations/fedreg/2016/07/14/2016-16602.html Thu, 14 Jul 2016 00:00:00 -0700 2016-16602 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-07-14/pdf/2016-16602.pdf Notice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Withdrawal of 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 https://regulations.justia.com/regulations/fedreg/2016/07/14/2016-16601.html https://regulations.justia.com/regulations/fedreg/2016/07/14/2016-16601.html Thu, 14 Jul 2016 00:00:00 -0700 2016-16601 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-07-14/pdf/2016-16601.pdf Notice - Corrected 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/2016/07/13/2016-16541.html https://regulations.justia.com/regulations/fedreg/2016/07/13/2016-16541.html Wed, 13 Jul 2016 00:00:00 -0700 2016-16541 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-07-13/pdf/2016-16541.pdf Notice - Proposed Collection; Comment Request https://regulations.justia.com/regulations/fedreg/2016/07/13/2016-16495.html https://regulations.justia.com/regulations/fedreg/2016/07/13/2016-16495.html Wed, 13 Jul 2016 00:00:00 -0700 2016-16495 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-07-13/pdf/2016-16495.pdf Notice - Proposed Collection; Comment Request https://regulations.justia.com/regulations/fedreg/2016/07/13/2016-16494.html https://regulations.justia.com/regulations/fedreg/2016/07/13/2016-16494.html Wed, 13 Jul 2016 00:00:00 -0700 2016-16494 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-07-13/pdf/2016-16494.pdf Notice - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Adopt Rules To Implement the Quoting and Trading Provisions of the Plan To Implement a Tick Size Pilot Program https://regulations.justia.com/regulations/fedreg/2016/07/13/2016-16493.html https://regulations.justia.com/regulations/fedreg/2016/07/13/2016-16493.html Wed, 13 Jul 2016 00:00:00 -0700 2016-16493 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-07-13/pdf/2016-16493.pdf Notice - Self-Regulatory Organizations; NASDAQ BX, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Adopt Rules To Implement the Quoting and Trading Provisions of the Plan To Implement a Tick Size Pilot Program https://regulations.justia.com/regulations/fedreg/2016/07/13/2016-16492.html https://regulations.justia.com/regulations/fedreg/2016/07/13/2016-16492.html Wed, 13 Jul 2016 00:00:00 -0700 2016-16492 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-07-13/pdf/2016-16492.pdf Notice - Self-Regulatory Organizations; NASDAQ BX, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Extend PRISM Pilot Program Through January 18, 2017 https://regulations.justia.com/regulations/fedreg/2016/07/13/2016-16491.html https://regulations.justia.com/regulations/fedreg/2016/07/13/2016-16491.html Wed, 13 Jul 2016 00:00:00 -0700 2016-16491 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-07-13/pdf/2016-16491.pdf Notice - Self-Regulatory Organizations; CBOE Futures Exchange, LLC; Notice of Proposed Rule Change Regarding Account and Order Ticket Information https://regulations.justia.com/regulations/fedreg/2016/07/13/2016-16490.html https://regulations.justia.com/regulations/fedreg/2016/07/13/2016-16490.html Wed, 13 Jul 2016 00:00:00 -0700 2016-16490 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-07-13/pdf/2016-16490.pdf Notice - Self-Regulatory Organizations; BOX Options Exchange LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend IM-3120-2 to Rule 3120 To Extend the Pilot Program That Eliminated the Position Limits for Options on SPDR S&P 500 ETF (“SPY”) (“SPY Pilot Program”) https://regulations.justia.com/regulations/fedreg/2016/07/13/2016-16488.html https://regulations.justia.com/regulations/fedreg/2016/07/13/2016-16488.html Wed, 13 Jul 2016 00:00:00 -0700 2016-16488 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-07-13/pdf/2016-16488.pdf Notice - Self-Regulatory Organizations; The Nasdaq Stock Market LLC; Notice of Filing of Proposed Rule Change To Adopt Limit Order Protection https://regulations.justia.com/regulations/fedreg/2016/07/13/2016-16487.html https://regulations.justia.com/regulations/fedreg/2016/07/13/2016-16487.html Wed, 13 Jul 2016 00:00:00 -0700 2016-16487 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-07-13/pdf/2016-16487.pdf Notice - Self-Regulatory Organizations; NASDAQ PHLX LLC; Notice of Filing of Proposed Rule Change To Adopt Limit Order Protection https://regulations.justia.com/regulations/fedreg/2016/07/13/2016-16486.html https://regulations.justia.com/regulations/fedreg/2016/07/13/2016-16486.html Wed, 13 Jul 2016 00:00:00 -0700 2016-16486 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-07-13/pdf/2016-16486.pdf Notice - Self-Regulatory Organizations; NASDAQ BX, Inc.; Notice of Filing of Proposed Rule Change To Adopt Limit Order Protection https://regulations.justia.com/regulations/fedreg/2016/07/13/2016-16485.html https://regulations.justia.com/regulations/fedreg/2016/07/13/2016-16485.html Wed, 13 Jul 2016 00:00:00 -0700 2016-16485 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-07-13/pdf/2016-16485.pdf Notice - Self-Regulatory Organizations; BOX Options Exchange LLC; Notice of Filing of Proposed Rule Change To Expand the Short Term Option Series Program To Allow Wednesday Expirations for SPY Options https://regulations.justia.com/regulations/fedreg/2016/07/13/2016-16484.html https://regulations.justia.com/regulations/fedreg/2016/07/13/2016-16484.html Wed, 13 Jul 2016 00:00:00 -0700 2016-16484 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-07-13/pdf/2016-16484.pdf Notice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Commentary .06 to Rule 6.8 To Extend the Pilot Program That Eliminated the Position Limits for Options on SPDR S&P 500 ETF https://regulations.justia.com/regulations/fedreg/2016/07/13/2016-16483.html https://regulations.justia.com/regulations/fedreg/2016/07/13/2016-16483.html Wed, 13 Jul 2016 00:00:00 -0700 2016-16483 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-07-13/pdf/2016-16483.pdf Notice - Self-Regulatory Organizations; NYSE MKT LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Commentary .07 to Rule 904 To Extend the Pilot Program That Eliminated the Position Limits for Options on SPDR S&P 500 ETF https://regulations.justia.com/regulations/fedreg/2016/07/13/2016-16482.html https://regulations.justia.com/regulations/fedreg/2016/07/13/2016-16482.html Wed, 13 Jul 2016 00:00:00 -0700 2016-16482 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-07-13/pdf/2016-16482.pdf Notice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Designation of a Longer Period for Commission Action on Proposed Rule Change, as Modified by Amendment Nos. 1 and 2, To List and Trade Shares of the AdvisorShares KIM Korea Equity ETF https://regulations.justia.com/regulations/fedreg/2016/07/13/2016-16481.html https://regulations.justia.com/regulations/fedreg/2016/07/13/2016-16481.html Wed, 13 Jul 2016 00:00:00 -0700 2016-16481 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-07-13/pdf/2016-16481.pdf Notice - Self-Regulatory Organizations; NYSE Arca, Inc.; Order Instituting Proceedings To Determine Whether To Approve or Disapprove a Proposed Rule Change, as Modified by Amendment No. 1, To Amend Rule 6.67(c) by Revising the Clearing Member Requirement for Entering an Order Into the Electronic Order Capture System https://regulations.justia.com/regulations/fedreg/2016/07/13/2016-16480.html https://regulations.justia.com/regulations/fedreg/2016/07/13/2016-16480.html Wed, 13 Jul 2016 00:00:00 -0700 2016-16480 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-07-13/pdf/2016-16480.pdf Notice - Self-Regulatory Organizations; NYSE MKT LLC; Order Instituting Proceedings To Determine Whether To Approve or Disapprove a Proposed Rule Change, as Modified by Amendment No. 1, To Amend Rule 955NY(c) by Revising the Clearing Member Requirement for Entering an Order Into the Electronic Order Capture System https://regulations.justia.com/regulations/fedreg/2016/07/13/2016-16479.html https://regulations.justia.com/regulations/fedreg/2016/07/13/2016-16479.html Wed, 13 Jul 2016 00:00:00 -0700 2016-16479 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-07-13/pdf/2016-16479.pdf Notice - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Clarify the Application of FINRA Rule 2210 (“Communications With the Public”) to Debt Research Reports https://regulations.justia.com/regulations/fedreg/2016/07/13/2016-16478.html https://regulations.justia.com/regulations/fedreg/2016/07/13/2016-16478.html Wed, 13 Jul 2016 00:00:00 -0700 2016-16478 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-07-13/pdf/2016-16478.pdf Notice - Announcement of Office of Management and Budget's Approval of Collection of Information Contained in “Final Interagency Policy Statement Establishing Joint Standards for Assessing the Diversity Policies and Practices of Entities Regulated by the Agencies.” https://regulations.justia.com/regulations/fedreg/2016/07/13/2016-16459.html https://regulations.justia.com/regulations/fedreg/2016/07/13/2016-16459.html Wed, 13 Jul 2016 00:00:00 -0700 2016-16459 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-07-13/pdf/2016-16459.pdf Notice - Sunshine Act Meeting https://regulations.justia.com/regulations/fedreg/2016/07/12/2016-16542.html https://regulations.justia.com/regulations/fedreg/2016/07/12/2016-16542.html Tue, 12 Jul 2016 00:00:00 -0700 2016-16542 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-07-12/pdf/2016-16542.pdf Notice - Sunshine Act Meeting https://regulations.justia.com/regulations/fedreg/2016/07/12/2016-16497.html https://regulations.justia.com/regulations/fedreg/2016/07/12/2016-16497.html Tue, 12 Jul 2016 00:00:00 -0700 2016-16497 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-07-12/pdf/2016-16497.pdf Notice - Sunshine Act Meeting https://regulations.justia.com/regulations/fedreg/2016/07/12/2016-16496.html https://regulations.justia.com/regulations/fedreg/2016/07/12/2016-16496.html Tue, 12 Jul 2016 00:00:00 -0700 2016-16496 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-07-12/pdf/2016-16496.pdf Notice - Self-Regulatory Organizations; Bats BZX Exchange, Inc.; Notice of Filing of Proposed Rule Change to BZX Rule 14.11(d) To Add the EURO STOXX 50® Volatility Futures to the Definition of Futures Reference Asset https://regulations.justia.com/regulations/fedreg/2016/07/12/2016-16380.html https://regulations.justia.com/regulations/fedreg/2016/07/12/2016-16380.html Tue, 12 Jul 2016 00:00:00 -0700 2016-16380 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-07-12/pdf/2016-16380.pdf Notice - Self-Regulatory Organizations; C2 Options Exchange, Incorporated; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Rules Related to Execution and Priority https://regulations.justia.com/regulations/fedreg/2016/07/12/2016-16379.html https://regulations.justia.com/regulations/fedreg/2016/07/12/2016-16379.html Tue, 12 Jul 2016 00:00:00 -0700 2016-16379 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-07-12/pdf/2016-16379.pdf Notice - Self-Regulatory Organizations; NASDAQ BX, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Rule 4120 https://regulations.justia.com/regulations/fedreg/2016/07/12/2016-16378.html https://regulations.justia.com/regulations/fedreg/2016/07/12/2016-16378.html Tue, 12 Jul 2016 00:00:00 -0700 2016-16378 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-07-12/pdf/2016-16378.pdf Notice - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Its Price List https://regulations.justia.com/regulations/fedreg/2016/07/12/2016-16377.html https://regulations.justia.com/regulations/fedreg/2016/07/12/2016-16377.html Tue, 12 Jul 2016 00:00:00 -0700 2016-16377 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-07-12/pdf/2016-16377.pdf Notice - Self-Regulatory Organizations; NASDAQ PHLX LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Rule 3100 https://regulations.justia.com/regulations/fedreg/2016/07/12/2016-16376.html https://regulations.justia.com/regulations/fedreg/2016/07/12/2016-16376.html Tue, 12 Jul 2016 00:00:00 -0700 2016-16376 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-07-12/pdf/2016-16376.pdf Notice - Investor Advisory Committee Meeting https://regulations.justia.com/regulations/fedreg/2016/07/11/2016-16311.html https://regulations.justia.com/regulations/fedreg/2016/07/11/2016-16311.html Mon, 11 Jul 2016 00:00:00 -0700 2016-16311 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-07-11/pdf/2016-16311.pdf Notice - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing of Partial Amendment No. 3 and Order Granting Accelerated Approval of a Proposed Rule Change, as Modified by Amendments No. 2 and 3, Relating to Pre-Opening Indications and Opening Procedures https://regulations.justia.com/regulations/fedreg/2016/07/11/2016-16272.html https://regulations.justia.com/regulations/fedreg/2016/07/11/2016-16272.html Mon, 11 Jul 2016 00:00:00 -0700 2016-16272 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-07-11/pdf/2016-16272.pdf Notice - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Designation of a Longer Period for Commission Action on a Proposed Rule Change To List and Trade Shares of the First Trust Equity Market Neutral ETF of the First Trust Exchange-Traded Fund VIII https://regulations.justia.com/regulations/fedreg/2016/07/11/2016-16271.html https://regulations.justia.com/regulations/fedreg/2016/07/11/2016-16271.html Mon, 11 Jul 2016 00:00:00 -0700 2016-16271 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-07-11/pdf/2016-16271.pdf Notice - Self-Regulatory Organizations; Bats BZX 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/2016/07/11/2016-16270.html https://regulations.justia.com/regulations/fedreg/2016/07/11/2016-16270.html Mon, 11 Jul 2016 00:00:00 -0700 2016-16270 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-07-11/pdf/2016-16270.pdf 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 Amplify Dow Theory Forecasts Buy List ETF of Amplify ETF Trust https://regulations.justia.com/regulations/fedreg/2016/07/11/2016-16269.html https://regulations.justia.com/regulations/fedreg/2016/07/11/2016-16269.html Mon, 11 Jul 2016 00:00:00 -0700 2016-16269 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-07-11/pdf/2016-16269.pdf Notice - Proposed Collection; Comment Request https://regulations.justia.com/regulations/fedreg/2016/07/11/2016-16192.html https://regulations.justia.com/regulations/fedreg/2016/07/11/2016-16192.html Mon, 11 Jul 2016 00:00:00 -0700 2016-16192 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-07-11/pdf/2016-16192.pdf Notice - Sunshine Act Meeting https://regulations.justia.com/regulations/fedreg/2016/07/08/2016-16309.html https://regulations.justia.com/regulations/fedreg/2016/07/08/2016-16309.html Fri, 08 Jul 2016 00:00:00 -0700 2016-16309 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-07-08/pdf/2016-16309.pdf Notice - Proposed Collection; Comment Request https://regulations.justia.com/regulations/fedreg/2016/07/08/2016-16193.html https://regulations.justia.com/regulations/fedreg/2016/07/08/2016-16193.html Fri, 08 Jul 2016 00:00:00 -0700 2016-16193 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-07-08/pdf/2016-16193.pdf Notice - Proposed Collection; Comment Request https://regulations.justia.com/regulations/fedreg/2016/07/08/2016-16191.html https://regulations.justia.com/regulations/fedreg/2016/07/08/2016-16191.html Fri, 08 Jul 2016 00:00:00 -0700 2016-16191 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-07-08/pdf/2016-16191.pdf 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 Notice - Sunshine Act Meeting https://regulations.justia.com/regulations/fedreg/2016/07/06/2016-16076.html https://regulations.justia.com/regulations/fedreg/2016/07/06/2016-16076.html Wed, 06 Jul 2016 00:00:00 -0700 2016-16076 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-07-06/pdf/2016-16076.pdf Notice - Sunshine Act Meeting https://regulations.justia.com/regulations/fedreg/2016/07/06/2016-16075.html https://regulations.justia.com/regulations/fedreg/2016/07/06/2016-16075.html Wed, 06 Jul 2016 00:00:00 -0700 2016-16075 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-07-06/pdf/2016-16075.pdf Notice - Fidelity Commonwealth Trust, et al.; Notice of Application https://regulations.justia.com/regulations/fedreg/2016/07/06/2016-15919.html https://regulations.justia.com/regulations/fedreg/2016/07/06/2016-15919.html Wed, 06 Jul 2016 00:00:00 -0700 2016-15919 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-07-06/pdf/2016-15919.pdf Notice - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing of a Proposed Rule Change To Increase Transparency for CMO Transactions https://regulations.justia.com/regulations/fedreg/2016/07/06/2016-15918.html https://regulations.justia.com/regulations/fedreg/2016/07/06/2016-15918.html Wed, 06 Jul 2016 00:00:00 -0700 2016-15918 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-07-06/pdf/2016-15918.pdf Notice - Self-Regulatory Organizations; Bats BYX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Remove Interpretation and Policy .01 From Rule 11.13, Order Execution and Routing https://regulations.justia.com/regulations/fedreg/2016/07/06/2016-15917.html https://regulations.justia.com/regulations/fedreg/2016/07/06/2016-15917.html Wed, 06 Jul 2016 00:00:00 -0700 2016-15917 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-07-06/pdf/2016-15917.pdf Notice - Self-Regulatory Organizations; Bats BZX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Remove Interpretation and Policy .01 From Rule 11.13, Order Execution and Routing https://regulations.justia.com/regulations/fedreg/2016/07/06/2016-15916.html https://regulations.justia.com/regulations/fedreg/2016/07/06/2016-15916.html Wed, 06 Jul 2016 00:00:00 -0700 2016-15916 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-07-06/pdf/2016-15916.pdf Notice - Self-Regulatory Organizations; NASDAQ PHLX LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Detection of Loss of Connection https://regulations.justia.com/regulations/fedreg/2016/07/06/2016-15915.html https://regulations.justia.com/regulations/fedreg/2016/07/06/2016-15915.html Wed, 06 Jul 2016 00:00:00 -0700 2016-15915 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-07-06/pdf/2016-15915.pdf Notice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing of Proposed Rule Change Relating to Listing and Trading of Shares of First Trust Horizon Managed Volatility Domestic ETF and First Trust Horizon Managed Volatility Developed International ETF Under NYSE Arca Equities Rule 8.600 https://regulations.justia.com/regulations/fedreg/2016/07/06/2016-15913.html https://regulations.justia.com/regulations/fedreg/2016/07/06/2016-15913.html Wed, 06 Jul 2016 00:00:00 -0700 2016-15913 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-07-06/pdf/2016-15913.pdf 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 https://regulations.justia.com/regulations/fedreg/2016/07/05/2016-15761.html https://regulations.justia.com/regulations/fedreg/2016/07/05/2016-15761.html Tue, 05 Jul 2016 00:00:00 -0700 2016-15761 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-07-05/pdf/2016-15761.pdf Notice - Self-Regulatory Organizations; C2 Options Exchange, Incorporated; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to Professionals Order Counting https://regulations.justia.com/regulations/fedreg/2016/07/05/2016-15760.html https://regulations.justia.com/regulations/fedreg/2016/07/05/2016-15760.html Tue, 05 Jul 2016 00:00:00 -0700 2016-15760 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-07-05/pdf/2016-15760.pdf 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) https://regulations.justia.com/regulations/fedreg/2016/07/05/2016-15759.html https://regulations.justia.com/regulations/fedreg/2016/07/05/2016-15759.html Tue, 05 Jul 2016 00:00:00 -0700 2016-15759 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-07-05/pdf/2016-15759.pdf 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) https://regulations.justia.com/regulations/fedreg/2016/07/05/2016-15758.html https://regulations.justia.com/regulations/fedreg/2016/07/05/2016-15758.html Tue, 05 Jul 2016 00:00:00 -0700 2016-15758 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-07-05/pdf/2016-15758.pdf 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 https://regulations.justia.com/regulations/fedreg/2016/07/05/2016-15757.html https://regulations.justia.com/regulations/fedreg/2016/07/05/2016-15757.html Tue, 05 Jul 2016 00:00:00 -0700 2016-15757 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-07-05/pdf/2016-15757.pdf 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 https://regulations.justia.com/regulations/fedreg/2016/07/05/2016-15756.html https://regulations.justia.com/regulations/fedreg/2016/07/05/2016-15756.html Tue, 05 Jul 2016 00:00:00 -0700 2016-15756 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-07-05/pdf/2016-15756.pdf Proposed Rule - Adviser Business Continuity and Transition Plans https://regulations.justia.com/regulations/fedreg/2016/07/05/2016-15675.html https://regulations.justia.com/regulations/fedreg/2016/07/05/2016-15675.html Tue, 05 Jul 2016 00:00:00 -0700 2016-15675 Proposed Rule https://www.gpo.gov/fdsys/pkg/FR-2016-07-05/pdf/2016-15675.pdf Notice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing of Amendment No. 1, and Order Granting Accelerated Approval of a Proposed Rule Change, as Modified by Amendment No. 1, To Add a New Discretionary Pegged Order https://regulations.justia.com/regulations/fedreg/2016/07/01/2016-15718.html https://regulations.justia.com/regulations/fedreg/2016/07/01/2016-15718.html Fri, 01 Jul 2016 00:00:00 -0700 2016-15718 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-07-01/pdf/2016-15718.pdf Notice - Self-Regulatory Organizations; Bats BYX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Rule 11.24, Retail Price Improvement Program, To Extend the Pilot Period https://regulations.justia.com/regulations/fedreg/2016/07/01/2016-15717.html https://regulations.justia.com/regulations/fedreg/2016/07/01/2016-15717.html Fri, 01 Jul 2016 00:00:00 -0700 2016-15717 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-07-01/pdf/2016-15717.pdf Notice - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Filing of a Proposed Rule Change To List Options That Overlie the FTSE Developed Europe Index and the FTSE Emerging Index, To Raise the Comprehensive Surveillance Agreement Percentage Applicable to Certain Index Options, and To Amend the Maintenance Listing Criteria Applicable to Certain Index Options https://regulations.justia.com/regulations/fedreg/2016/07/01/2016-15716.html https://regulations.justia.com/regulations/fedreg/2016/07/01/2016-15716.html Fri, 01 Jul 2016 00:00:00 -0700 2016-15716 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-07-01/pdf/2016-15716.pdf Notice - Self-Regulatory Organizations; NYSE MKT LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Commentary .02 to NYSE Amex Options Rule 960NY in Order To Extend the Penny Pilot Through December 31, 2016 https://regulations.justia.com/regulations/fedreg/2016/07/01/2016-15715.html https://regulations.justia.com/regulations/fedreg/2016/07/01/2016-15715.html Fri, 01 Jul 2016 00:00:00 -0700 2016-15715 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-07-01/pdf/2016-15715.pdf Notice - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Reduce the Fees for Certain Real Estate Investment Trusts Listed on Nasdaq https://regulations.justia.com/regulations/fedreg/2016/07/01/2016-15714.html https://regulations.justia.com/regulations/fedreg/2016/07/01/2016-15714.html Fri, 01 Jul 2016 00:00:00 -0700 2016-15714 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-07-01/pdf/2016-15714.pdf