<![CDATA[Federal Register Recent Federal Regulation Documents - Justia Regulation Tracker - Justia Regulations Tracker]]> https://regulations.justia.com/regulations/fedreg/agencies/securities-and-exchange-commission/2016/08/04?registers=between Fri, 03 May 2024 20:49:10 -0700 Fri, 03 May 2024 20:49:10 -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/2016/08/04?registers=between Notice - Joint Industry Plan; Notice of Designation of Longer Period for Commission Action on the Proposed National Market System Plan Governing the Consolidated Audit Trail by BATS Exchange, Inc., BATS-Y Exchange, Inc., BOX Options Exchange LLC, C2 Options Exchange, Incorporated, Chicago Board Options Exchange, Incorporated, Chicago Stock Exchange, Inc., EDGA Exchange, Inc., EDGX Exchange, Inc., Financial Industry Regulatory Authority, Inc., International Securities Exchange, LLC, the Investors' Exchange, LLC, ISE Gemini, LLC, ISE Mercury, LLC, Miami International Securities Exchange LLC, NASDAQ OMX BX, Inc., NASDAQ OMX PHLX LLC, The NASDAQ Stock Market LLC, National Stock Exchange, Inc., New York Stock Exchange LLC, NYSE MKT LLC, and NYSE Arca, Inc. https://regulations.justia.com/regulations/fedreg/2016/08/04/2016-18477.html https://regulations.justia.com/regulations/fedreg/2016/08/04/2016-18477.html Thu, 04 Aug 2016 00:00:00 -0700 2016-18477 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-08-04/pdf/2016-18477.pdf Notice - Self-Regulatory Organizations; ICE Clear Credit LLC; Notice of Filing of Proposed Rule Change To Revise the ICC Risk Management Model Description Document and the ICC Risk Management Framework https://regulations.justia.com/regulations/fedreg/2016/08/04/2016-18475.html https://regulations.justia.com/regulations/fedreg/2016/08/04/2016-18475.html Thu, 04 Aug 2016 00:00:00 -0700 2016-18475 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-08-04/pdf/2016-18475.pdf Notice - Self-Regulatory Organizations; Investors Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Correct Typographical Errors in Certain Referenced Time Frames https://regulations.justia.com/regulations/fedreg/2016/08/04/2016-18474.html https://regulations.justia.com/regulations/fedreg/2016/08/04/2016-18474.html Thu, 04 Aug 2016 00:00:00 -0700 2016-18474 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-08-04/pdf/2016-18474.pdf Notice - Self-Regulatory Organizations; Chicago Stock Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Provide Web-Based Delivery of the Continuing Education Program https://regulations.justia.com/regulations/fedreg/2016/08/04/2016-18473.html https://regulations.justia.com/regulations/fedreg/2016/08/04/2016-18473.html Thu, 04 Aug 2016 00:00:00 -0700 2016-18473 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-08-04/pdf/2016-18473.pdf Notice - Self-Regulatory Organizations; Chicago Stock Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Adopt the Securities Trader Registration Category and the Series 57 Securities Trader Examination Registration Requirement https://regulations.justia.com/regulations/fedreg/2016/08/04/2016-18472.html https://regulations.justia.com/regulations/fedreg/2016/08/04/2016-18472.html Thu, 04 Aug 2016 00:00:00 -0700 2016-18472 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-08-04/pdf/2016-18472.pdf Notice - Self-Regulatory Organizations; BOX Options Exchange LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Detail How Complex Orders Will Execute Through the Facilitation Auction Mechanism https://regulations.justia.com/regulations/fedreg/2016/08/04/2016-18471.html https://regulations.justia.com/regulations/fedreg/2016/08/04/2016-18471.html Thu, 04 Aug 2016 00:00:00 -0700 2016-18471 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-08-04/pdf/2016-18471.pdf Notice - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Order Granting Approval of Proposed Rule Change Relating to the Listing and Trading of the Shares of the First Trust Strategic Mortgage REIT ETF of First Trust Exchange-Traded Fund VIII https://regulations.justia.com/regulations/fedreg/2016/08/04/2016-18470.html https://regulations.justia.com/regulations/fedreg/2016/08/04/2016-18470.html Thu, 04 Aug 2016 00:00:00 -0700 2016-18470 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-08-04/pdf/2016-18470.pdf Notice - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Designation of a Longer Period for Commission Action on a Proposed Rule Change Amending NYSE Rule 6A To Exclude the Physical Area Within Fully Enclosed Telephone Booths Located in 18 Broad Street From the Definition of Trading Floor https://regulations.justia.com/regulations/fedreg/2016/08/04/2016-18469.html https://regulations.justia.com/regulations/fedreg/2016/08/04/2016-18469.html Thu, 04 Aug 2016 00:00:00 -0700 2016-18469 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-08-04/pdf/2016-18469.pdf Notice - Notice of Applications for Deregistration Under Section 8(f) of the Investment Company Act of 1940 https://regulations.justia.com/regulations/fedreg/2016/08/04/2016-18468.html https://regulations.justia.com/regulations/fedreg/2016/08/04/2016-18468.html Thu, 04 Aug 2016 00:00:00 -0700 2016-18468 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-08-04/pdf/2016-18468.pdf Notice - Bain Capital Specialty Finance, Inc., et al.; Notice of Application https://regulations.justia.com/regulations/fedreg/2016/08/04/2016-18467.html https://regulations.justia.com/regulations/fedreg/2016/08/04/2016-18467.html Thu, 04 Aug 2016 00:00:00 -0700 2016-18467 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-08-04/pdf/2016-18467.pdf Notice - Investment Managers Series Trust and SilverPepper LLC; Notice of Application https://regulations.justia.com/regulations/fedreg/2016/08/04/2016-18466.html https://regulations.justia.com/regulations/fedreg/2016/08/04/2016-18466.html Thu, 04 Aug 2016 00:00:00 -0700 2016-18466 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-08-04/pdf/2016-18466.pdf Proposed Rule - Disclosure Update and Simplification https://regulations.justia.com/regulations/fedreg/2016/08/04/2016-16964.html https://regulations.justia.com/regulations/fedreg/2016/08/04/2016-16964.html Thu, 04 Aug 2016 00:00:00 -0700 2016-16964 Proposed Rule https://www.gpo.gov/fdsys/pkg/FR-2016-08-04/pdf/2016-16964.pdf