Federal Register Recent Federal Regulation Documents - Justia Regulation Tracker - Justia Regulations Tracker https://regulations.justia.com/regulations/fedreg/agencies/securities-and-exchange-commission/2016/08/31?limit=200&registers=between&mode=atom 2024-04-20T23:19:22-07:00 Justia Inc https://www.justia.com/ Justia Regulations Tracker https://regulations.justia.com/images/justiafedregulations.gif Copyright 2011 Justia Inc https://regulations.justia.com/regulations/fedreg/2016/08/31/2016-20965.html 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 2016-08-31T00:00:00-07:00 2016-08-31T00:00:00-07:00 2016-20965 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-08-31/pdf/2016-20965.pdf https://regulations.justia.com/regulations/fedreg/2016/08/31/2016-20964.html Notice - Self-Regulatory Organizations; Bats BZX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Rule 19.6, Series of Options Contracts Open for Trading, To Allow Wednesday Expirations for SPY Options 2016-08-31T00:00:00-07:00 2016-08-31T00:00:00-07:00 2016-20964 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-08-31/pdf/2016-20964.pdf https://regulations.justia.com/regulations/fedreg/2016/08/31/2016-20963.html Notice - Self-Regulatory Organizations; Bats EDGX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Rule 19.6, Series of Options Contracts Open for Trading, To Allow Wednesday Expirations for SPY Options 2016-08-31T00:00:00-07:00 2016-08-31T00:00:00-07:00 2016-20963 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-08-31/pdf/2016-20963.pdf https://regulations.justia.com/regulations/fedreg/2016/08/31/2016-20962.html Notice - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Expand the Short Term Option Series Program 2016-08-31T00:00:00-07:00 2016-08-31T00:00:00-07:00 2016-20962 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-08-31/pdf/2016-20962.pdf https://regulations.justia.com/regulations/fedreg/2016/08/31/2016-20961.html Notice - Self-Regulatory Organizations; NASDAQ BX, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Expand the Short Term Option Series Program 2016-08-31T00:00:00-07:00 2016-08-31T00:00:00-07:00 2016-20961 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-08-31/pdf/2016-20961.pdf https://regulations.justia.com/regulations/fedreg/2016/08/31/2016-20960.html Notice - Self-Regulatory Organizations; NASDAQ PHLX LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Expand the Short Term Option Series Program 2016-08-31T00:00:00-07:00 2016-08-31T00:00:00-07:00 2016-20960 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-08-31/pdf/2016-20960.pdf https://regulations.justia.com/regulations/fedreg/2016/08/31/2016-20959.html Notice - Self-Regulatory Organizations; NYSE MKT LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Rule 13-Equities To Eliminate Orders With a Sell “Plus” and Buy “Minus” Instruction and Retain Orders With a “Buy Minus Zero Plus” Instruction, and Make Conforming Changes to Rules 104-Equities, 107B-Equities, 123C-Equities and 1004-Equities 2016-08-31T00:00:00-07:00 2016-08-31T00:00:00-07:00 2016-20959 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-08-31/pdf/2016-20959.pdf https://regulations.justia.com/regulations/fedreg/2016/08/31/2016-20906.html Proposed Rule - Request for Comment on Subpart 400 of Regulation S-K Disclosure Requirements Relating to Management, Certain Security Holders and Corporate Governance Matters 2016-08-31T00:00:00-07:00 2016-08-31T00:00:00-07:00 2016-20906 Proposed Rule https://www.gpo.gov/fdsys/pkg/FR-2016-08-31/pdf/2016-20906.pdf https://regulations.justia.com/regulations/fedreg/2016/08/31/2016-20894.html 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 2016-08-31T00:00:00-07:00 2016-08-31T00:00:00-07:00 2016-20894 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-08-31/pdf/2016-20894.pdf https://regulations.justia.com/regulations/fedreg/2016/08/31/2016-20893.html Notice - Self-Regulatory Organizations; NASDAQ PHLX LLC; Notice of Filing of Proposed Rule Change to Delete or Amend Outdated Rule Language 2016-08-31T00:00:00-07:00 2016-08-31T00:00:00-07:00 2016-20893 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-08-31/pdf/2016-20893.pdf https://regulations.justia.com/regulations/fedreg/2016/08/31/2016-20892.html Notice - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Rule 13 To Eliminate Orders With a Sell “Plus” and Buy “Minus” Instruction and Retain Orders With a “Buy Minus Zero Plus” Instruction, and Make Conforming Changes to Rules 104, 107B, 123C and 1004 2016-08-31T00:00:00-07:00 2016-08-31T00:00:00-07:00 2016-20892 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-08-31/pdf/2016-20892.pdf https://regulations.justia.com/regulations/fedreg/2016/08/31/2016-20891.html Notice - Self-Regulatory Organizations; New York Stock Exchange LLC; NYSE MKT LLC; Order Granting an Extension to Limited Exemptions From Rule 612(c) of Regulation NMS in Connection With the Exchanges' Retail Liquidity Programs Until December 31, 2016 2016-08-31T00:00:00-07:00 2016-08-31T00:00:00-07:00 2016-20891 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-08-31/pdf/2016-20891.pdf https://regulations.justia.com/regulations/fedreg/2016/08/31/2016-20888.html Notice - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Order Approving a Proposed Rule Change To Adopt FINRA Rule 2030 and FINRA Rule 4580 To Establish “Pay-To-Play” and Related Rules 2016-08-31T00:00:00-07:00 2016-08-31T00:00:00-07:00 2016-20888 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-08-31/pdf/2016-20888.pdf https://regulations.justia.com/regulations/fedreg/2016/08/31/2016-20887.html Notice - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Expand the Short Term Option Series Program To Allow Wednesday Expirations for SPY Options 2016-08-31T00:00:00-07:00 2016-08-31T00:00:00-07:00 2016-20887 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-08-31/pdf/2016-20887.pdf https://regulations.justia.com/regulations/fedreg/2016/08/31/2016-20886.html Notice - Self-Regulatory Organizations; NYSE MKT LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Rule 900.2NY(18A) 2016-08-31T00:00:00-07:00 2016-08-31T00:00:00-07:00 2016-20886 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-08-31/pdf/2016-20886.pdf https://regulations.justia.com/regulations/fedreg/2016/08/31/2016-20885.html Notice - Self-Regulatory Organizations; Chicago Stock Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Modify the Handling of Intermarket Sweep Orders 2016-08-31T00:00:00-07:00 2016-08-31T00:00:00-07:00 2016-20885 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-08-31/pdf/2016-20885.pdf https://regulations.justia.com/regulations/fedreg/2016/08/31/2016-20884.html Notice - Self-Regulatory Organizations; NYSE Arca, Inc.; Order Granting an Extension to Limited Exemption From Rule 612(c) of Regulation NMS in Connection With the Exchange's Retail Liquidity Program Until December 31, 2016 2016-08-31T00:00:00-07:00 2016-08-31T00:00:00-07:00 2016-20884 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-08-31/pdf/2016-20884.pdf https://regulations.justia.com/regulations/fedreg/2016/08/31/2016-20883.html Notice - Self-Regulatory Organizations; National Stock Exchange, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Rules Regarding Qualification, Registration and Continuing Education for Persons Associated With Equity Trading Permit Holders, To Add Definitions, Amend Definitions, and To Make Technical, Non-Substantive and Conforming Amendments to Rules 2016-08-31T00:00:00-07:00 2016-08-31T00:00:00-07:00 2016-20883 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-08-31/pdf/2016-20883.pdf https://regulations.justia.com/regulations/fedreg/2016/08/31/2016-20882.html Notice - Self-Regulatory Organizations; the Options Clearing Corporation; Notice of Filing of Proposed Rule Change Concerning the Options Clearing Corporation's Escrow Deposit Program 2016-08-31T00:00:00-07:00 2016-08-31T00:00:00-07:00 2016-20882 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-08-31/pdf/2016-20882.pdf https://regulations.justia.com/regulations/fedreg/2016/08/31/2016-20881.html Notice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending NYSE Arca Equities Rule 5.3(i)(3) To Amend the Requirements for the Dissemination of News in Compliance With the Exchange's Immediate Release Policy 2016-08-31T00:00:00-07:00 2016-08-31T00:00:00-07:00 2016-20881 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-08-31/pdf/2016-20881.pdf https://regulations.justia.com/regulations/fedreg/2016/08/31/2016-20880.html Notice - Self-Regulatory Organizations; NYSE MKT LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Its Rules Relating to Pre-Opening Indications and Opening Procedures 2016-08-31T00:00:00-07:00 2016-08-31T00:00:00-07:00 2016-20880 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-08-31/pdf/2016-20880.pdf