<![CDATA[Federal Register Recent Federal Regulation Documents - Justia Regulation Tracker - Justia Regulations Tracker]]> https://regulations.justia.com/regulations/fedreg/agencies/securities-and-exchange-commission/2016/08/17?registers=between Thu, 02 May 2024 08:40:27 -0700 Thu, 02 May 2024 08:40:27 -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/2016/08/17?registers=between Notice - In the Matter of Neuromama, Ltd.; Order of Suspension of Trading https://regulations.justia.com/regulations/fedreg/2016/08/17/2016-19718.html https://regulations.justia.com/regulations/fedreg/2016/08/17/2016-19718.html Wed, 17 Aug 2016 00:00:00 -0700 2016-19718 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-08-17/pdf/2016-19718.pdf Notice - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing of Amendment No. 1 and Order Granting Accelerated Approval of a Proposed Rule Change Amending Rule 12904 (Awards) of the Code of Arbitration Procedure for Customer Disputes and Rule 13904 (Awards) of the Code of Arbitration Procedure for Industry Disputes To Permit Award Offsets in Arbitration, as Modified by Amendment No. 1 https://regulations.justia.com/regulations/fedreg/2016/08/17/2016-19587.html https://regulations.justia.com/regulations/fedreg/2016/08/17/2016-19587.html Wed, 17 Aug 2016 00:00:00 -0700 2016-19587 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-08-17/pdf/2016-19587.pdf Notice - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing of Proposed Rule Change Amending the Co-location Services Offered by the Exchange To Add Certain Access and Connectivity Fees https://regulations.justia.com/regulations/fedreg/2016/08/17/2016-19586.html https://regulations.justia.com/regulations/fedreg/2016/08/17/2016-19586.html Wed, 17 Aug 2016 00:00:00 -0700 2016-19586 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-08-17/pdf/2016-19586.pdf Notice - Self-Regulatory Organizations: Investors Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Conform to Rules of the Financial Industry Regulatory Authority https://regulations.justia.com/regulations/fedreg/2016/08/17/2016-19585.html https://regulations.justia.com/regulations/fedreg/2016/08/17/2016-19585.html Wed, 17 Aug 2016 00:00:00 -0700 2016-19585 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-08-17/pdf/2016-19585.pdf Notice - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to COPS https://regulations.justia.com/regulations/fedreg/2016/08/17/2016-19584.html https://regulations.justia.com/regulations/fedreg/2016/08/17/2016-19584.html Wed, 17 Aug 2016 00:00:00 -0700 2016-19584 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-08-17/pdf/2016-19584.pdf Notice - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing of a Proposed Rule Change Amending Rule 12504 of the Code of Arbitration Procedure for Customer Disputes and Rule 13504 of the Code of Arbitration Procedure for Industry Disputes Relating to Motions To Dismiss in Arbitration https://regulations.justia.com/regulations/fedreg/2016/08/17/2016-19583.html https://regulations.justia.com/regulations/fedreg/2016/08/17/2016-19583.html Wed, 17 Aug 2016 00:00:00 -0700 2016-19583 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-08-17/pdf/2016-19583.pdf Notice - Program for Allocation of Regulatory Responsibilities Pursuant to Rule 17d-2; Notice of Filing and Order Approving and Declaring Effective an Amendment to the Plan for the Allocation of Regulatory Responsibilities Between Bats BZX Exchange, Inc., Bats BYX Exchange, Inc., BOX Options Exchange LLC, Chicago Board Options Exchange, Incorporated, C2 Options Exchange, Incorporated, Chicago Stock Exchange, Inc., Bats EDGA Exchange, Inc., Bats EDGX Exchange, Inc., Financial Industry Regulatory Authority, Inc., International Securities Exchange, LLC, Investors Exchange LLC, ISE Gemini, LLC, ISE Mercury, LLC, Miami International Securities Exchange, LLC, The NASDAQ Stock Market LLC, NASDAQ BX, Inc., NASDAQ PHLX, Inc., National Stock Exchange, Inc., New York Stock Exchange LLC, NYSE MKT LLC, and NYSE Arca, Inc. https://regulations.justia.com/regulations/fedreg/2016/08/17/2016-19582.html https://regulations.justia.com/regulations/fedreg/2016/08/17/2016-19582.html Wed, 17 Aug 2016 00:00:00 -0700 2016-19582 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-08-17/pdf/2016-19582.pdf Notice - Self-Regulatory Organizations; Investors Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Related to Transaction and Regulatory Fees https://regulations.justia.com/regulations/fedreg/2016/08/17/2016-19581.html https://regulations.justia.com/regulations/fedreg/2016/08/17/2016-19581.html Wed, 17 Aug 2016 00:00:00 -0700 2016-19581 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-08-17/pdf/2016-19581.pdf Notice - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing of a Proposed Rule Change Amending the Code of Arbitration Procedure for Customer Disputes and the Code of Arbitration Procedure for Industry Disputes to Require All Parties Other Than Pro Se https://regulations.justia.com/regulations/fedreg/2016/08/17/2016-19580.html https://regulations.justia.com/regulations/fedreg/2016/08/17/2016-19580.html Wed, 17 Aug 2016 00:00:00 -0700 2016-19580 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-08-17/pdf/2016-19580.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 https://regulations.justia.com/regulations/fedreg/2016/08/17/2016-19579.html https://regulations.justia.com/regulations/fedreg/2016/08/17/2016-19579.html Wed, 17 Aug 2016 00:00:00 -0700 2016-19579 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-08-17/pdf/2016-19579.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 517 https://regulations.justia.com/regulations/fedreg/2016/08/17/2016-19578.html https://regulations.justia.com/regulations/fedreg/2016/08/17/2016-19578.html Wed, 17 Aug 2016 00:00:00 -0700 2016-19578 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-08-17/pdf/2016-19578.pdf Notice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing of Proposed Rule Change Amending Rule 6.91(b) To Provide for the Rejection of Certain Electronic Complex Orders https://regulations.justia.com/regulations/fedreg/2016/08/17/2016-19577.html https://regulations.justia.com/regulations/fedreg/2016/08/17/2016-19577.html Wed, 17 Aug 2016 00:00:00 -0700 2016-19577 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-08-17/pdf/2016-19577.pdf Notice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the NYSE Arca Equities Schedule of Fees and Charges for Exchange Services Related to Tier 1 and Cross Asset Tier 2 Fees and Credits for Orders Executed on the Exchange, and Eliminate the Routable Retail Order Tier https://regulations.justia.com/regulations/fedreg/2016/08/17/2016-19576.html https://regulations.justia.com/regulations/fedreg/2016/08/17/2016-19576.html Wed, 17 Aug 2016 00:00:00 -0700 2016-19576 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-08-17/pdf/2016-19576.pdf Notice - Self-Regulatory Organizations; NYSE MKT LLC; Notice of Filing of Proposed Rule Change Amending Rule 980NY(d) To Provide for the Rejection of Certain Electronic Complex Orders https://regulations.justia.com/regulations/fedreg/2016/08/17/2016-19575.html https://regulations.justia.com/regulations/fedreg/2016/08/17/2016-19575.html Wed, 17 Aug 2016 00:00:00 -0700 2016-19575 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-08-17/pdf/2016-19575.pdf Notice - Self-Regulatory Organizations; Bats BZX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Related to Logical Port Fees https://regulations.justia.com/regulations/fedreg/2016/08/17/2016-19574.html https://regulations.justia.com/regulations/fedreg/2016/08/17/2016-19574.html Wed, 17 Aug 2016 00:00:00 -0700 2016-19574 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-08-17/pdf/2016-19574.pdf Notice - Self-Regulatory Organizations; Bats BYX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Related to Logical Port Fees https://regulations.justia.com/regulations/fedreg/2016/08/17/2016-19573.html https://regulations.justia.com/regulations/fedreg/2016/08/17/2016-19573.html Wed, 17 Aug 2016 00:00:00 -0700 2016-19573 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-08-17/pdf/2016-19573.pdf