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?limit=200&registers=between&min-day=1&max-day=31&mode=atom 2021-06-19T22:08:10-07:00 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 https://regulations.justia.com/regulations/fedreg/2016/08/30/2016-20952.html Notice - Sunshine Act Meeting 2016-08-30T00:00:00-07:00 2016-08-30T00:00:00-07:00 2016-20952 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-08-30/pdf/2016-20952.pdf https://regulations.justia.com/regulations/fedreg/2016/08/30/2016-20924.html Notice - In the Matter of MarilynJean Interactive Inc.; Order of Suspension of Trading 2016-08-30T00:00:00-07:00 2016-08-30T00:00:00-07:00 2016-20924 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-08-30/pdf/2016-20924.pdf https://regulations.justia.com/regulations/fedreg/2016/08/30/2016-20742.html Notice - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing of Proposed Rule Change Amending and Restating the Second Amended and Restated Certificate of Incorporation of the Exchange's Ultimate Parent Company, Intercontinental Exchange, Inc. 2016-08-30T00:00:00-07:00 2016-08-30T00:00:00-07:00 2016-20742 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-08-30/pdf/2016-20742.pdf https://regulations.justia.com/regulations/fedreg/2016/08/30/2016-20741.html Notice - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Extend the Effective Date of SR-FINRA-2016-028 2016-08-30T00:00:00-07:00 2016-08-30T00:00:00-07:00 2016-20741 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-08-30/pdf/2016-20741.pdf https://regulations.justia.com/regulations/fedreg/2016/08/30/2016-20740.html Notice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Withdrawal of a Proposed Rule Change, as Modified by Amendment No. 1, To List and Trade Shares of the First Trust Horizon Managed Volatility Domestic ETF and the First Trust Horizon Managed Volatility Developed International ETF Under NYSE Arca Equities Rule 8.600 2016-08-30T00:00:00-07:00 2016-08-30T00:00:00-07:00 2016-20740 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-08-30/pdf/2016-20740.pdf https://regulations.justia.com/regulations/fedreg/2016/08/30/2016-20739.html Notice - iShares Trust, et al.; Notice of Application 2016-08-30T00:00:00-07:00 2016-08-30T00:00:00-07:00 2016-20739 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-08-30/pdf/2016-20739.pdf https://regulations.justia.com/regulations/fedreg/2016/08/30/2016-20738.html Notice - Calvert Social Investment Fund, et al.; Notice of Application 2016-08-30T00:00:00-07:00 2016-08-30T00:00:00-07:00 2016-20738 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-08-30/pdf/2016-20738.pdf https://regulations.justia.com/regulations/fedreg/2016/08/30/2016-20737.html Notice - Self-Regulatory Organizations; BOX Options Exchange LLC; Order Approving a Proposed Rule Change To Expand the Short Term Option Series Program To Allow Wednesday Expirations for SPY Options 2016-08-30T00:00:00-07:00 2016-08-30T00:00:00-07:00 2016-20737 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-08-30/pdf/2016-20737.pdf https://regulations.justia.com/regulations/fedreg/2016/08/30/2016-20736.html Notice - Self-Regulatory Organizations; NASDAQ BX, Inc.; The Nasdaq Stock Market LLC; NASDAQ PHLX LLC; Notice of Filing of Amendments No. 1 and Order Granting Accelerated Approval of Proposed Rule Changes, as Modified by Amendments No. 1, To Adopt Limit Order Protections 2016-08-30T00:00:00-07:00 2016-08-30T00:00:00-07:00 2016-20736 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-08-30/pdf/2016-20736.pdf https://regulations.justia.com/regulations/fedreg/2016/08/30/2016-20735.html Notice - Self-Regulatory Organizations; Bats BZX Exchange, Inc.; Notice of Filing of a Proposed Rule Change to Rule 14.11(c)(4) To List and Trade Shares of the iShares iBonds Dec 2023 Term Muni Bond ETF and iShares iBonds Dec 2024 Term Muni Bond ETF of the iShares U.S. ETF Trust 2016-08-30T00:00:00-07:00 2016-08-30T00:00:00-07:00 2016-20735 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-08-30/pdf/2016-20735.pdf https://regulations.justia.com/regulations/fedreg/2016/08/30/2016-20734.html Notice - Self-Regulatory Organizations; NASDAQ PHLX LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend the Exchange's Connectivity Fees at Chapter VIII of the NASDAQ PHLX LLC Pricing Schedule 2016-08-30T00:00:00-07:00 2016-08-30T00:00:00-07:00 2016-20734 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-08-30/pdf/2016-20734.pdf https://regulations.justia.com/regulations/fedreg/2016/08/30/2016-20733.html Notice - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending the Text of Current Rule 8313; Amending Rules Relating to the Imposition of Temporary and Current Cease and Desist Orders to Correspond to Recent Amendments by FINRA; and Making Certain Technical and Conforming Changes to Rule 9310 2016-08-30T00:00:00-07:00 2016-08-30T00:00:00-07:00 2016-20733 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-08-30/pdf/2016-20733.pdf https://regulations.justia.com/regulations/fedreg/2016/08/30/2016-20732.html Notice - Self-Regulatory Organizations; NYSE MKT LLC; Notice of Filing of Proposed Rule Change Amending and Restating the Second Amended and Restated Certificate of Incorporation of the Exchange's Ultimate Parent Company, Intercontinental Exchange, Inc. 2016-08-30T00:00:00-07:00 2016-08-30T00:00:00-07:00 2016-20732 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-08-30/pdf/2016-20732.pdf https://regulations.justia.com/regulations/fedreg/2016/08/30/2016-20731.html Notice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing of Proposed Rule Change Amending and Restating the Second Amended and Restated Certificate of Incorporation of the Exchange's Ultimate Parent Company, Intercontinental Exchange, Inc. 2016-08-30T00:00:00-07:00 2016-08-30T00:00:00-07:00 2016-20731 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-08-30/pdf/2016-20731.pdf https://regulations.justia.com/regulations/fedreg/2016/08/29/2016-20577.html Notice - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to the Elkhorn Commodity Rotation Strategy ETF of the Elkhorn ETF Trust 2016-08-29T00:00:00-07:00 2016-08-29T00:00:00-07:00 2016-20577 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-08-29/pdf/2016-20577.pdf https://regulations.justia.com/regulations/fedreg/2016/08/29/2016-20576.html Notice - Self-Regulatory Organizations; Bats BZX Exchange, Inc.; Notice of Designation of a Longer Period for Commission Action on 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 2016-08-29T00:00:00-07:00 2016-08-29T00:00:00-07:00 2016-20576 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-08-29/pdf/2016-20576.pdf https://regulations.justia.com/regulations/fedreg/2016/08/29/2016-20574.html Notice - Self-Regulatory Organizations; Bats BZX Exchange, Inc.; Notice of Designation of a Longer Period for Commission Action on Proposed Rule Change to BZX Rule 14.11(i), Managed Fund Shares, To List and Trade Shares of the ProShares Crude Oil Strategy ETF 2016-08-29T00:00:00-07:00 2016-08-29T00:00:00-07:00 2016-20574 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-08-29/pdf/2016-20574.pdf https://regulations.justia.com/regulations/fedreg/2016/08/29/2016-20573.html Notice - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Order Approving a Proposed Rule Change, as Modified by Amendment No. 1, To List and Trade Shares of the First Trust CEF Income Opportunity ETF and the First Trust Municipal CEF Income Opportunity ETF 2016-08-29T00:00:00-07:00 2016-08-29T00:00:00-07:00 2016-20573 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-08-29/pdf/2016-20573.pdf https://regulations.justia.com/regulations/fedreg/2016/08/29/2016-20572.html Notice - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Designation of a Longer Period for Commission Action on a Proposed Rule Change, as Modified by Amendment No. 1 Thereto, 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 2016-08-29T00:00:00-07:00 2016-08-29T00:00:00-07:00 2016-20572 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-08-29/pdf/2016-20572.pdf https://regulations.justia.com/regulations/fedreg/2016/08/29/2016-20571.html Notice - Self-Regulatory Organizations; Bats BZX Exchange, Inc.; Notice of Designation of a Longer Period for Commission Action on Proposed Rule Change to BZX Rule 14.11(d) To Add the EURO STOXX 50® Volatility Futures to the Definition of Futures Reference Asset 2016-08-29T00:00:00-07:00 2016-08-29T00:00:00-07:00 2016-20571 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-08-29/pdf/2016-20571.pdf https://regulations.justia.com/regulations/fedreg/2016/08/29/2016-20570.html Notice - Proposed Collection; Comment Request 2016-08-29T00:00:00-07:00 2016-08-29T00:00:00-07:00 2016-20570 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-08-29/pdf/2016-20570.pdf https://regulations.justia.com/regulations/fedreg/2016/08/29/2016-20569.html Notice - Proposed Collection; Comment Request 2016-08-29T00:00:00-07:00 2016-08-29T00:00:00-07:00 2016-20569 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-08-29/pdf/2016-20569.pdf https://regulations.justia.com/regulations/fedreg/2016/08/29/2016-20568.html Notice - Proposed Collection; Comment Request 2016-08-29T00:00:00-07:00 2016-08-29T00:00:00-07:00 2016-20568 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-08-29/pdf/2016-20568.pdf https://regulations.justia.com/regulations/fedreg/2016/08/26/2016-20548.html Proposed Rule - Extension of Comment Period for Modernization of Property Disclosures for Mining Registrants 2016-08-26T00:00:00-07:00 2016-08-26T00:00:00-07:00 2016-20548 Proposed Rule https://www.gpo.gov/fdsys/pkg/FR-2016-08-26/pdf/2016-20548.pdf https://regulations.justia.com/regulations/fedreg/2016/08/26/2016-20462.html Notice - Self-Regulatory Organizations; Bats EDGA Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Rule 13.8, EDGA Book Feeds, To Adopt a New Market Data Product Known as EDGA Summary Depth 2016-08-26T00:00:00-07:00 2016-08-26T00:00:00-07:00 2016-20462 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-08-26/pdf/2016-20462.pdf https://regulations.justia.com/regulations/fedreg/2016/08/26/2016-20461.html Notice - Self-Regulatory Organizations; Bats EDGX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Rule 13.8, EDGX Book Feeds, To Adopt a New Market Data Product Known as EDGX Summary Depth 2016-08-26T00:00:00-07:00 2016-08-26T00:00:00-07:00 2016-20461 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-08-26/pdf/2016-20461.pdf https://regulations.justia.com/regulations/fedreg/2016/08/26/2016-20460.html Notice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending the Exchange's Schedule of Fees and Charges To Eliminate the Listing Fee in Connection With Exchange Listing of Certain Exchange Traded Products 2016-08-26T00:00:00-07:00 2016-08-26T00:00:00-07:00 2016-20460 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-08-26/pdf/2016-20460.pdf https://regulations.justia.com/regulations/fedreg/2016/08/26/2016-20459.html Notice - Self-Regulatory Organizations; Bats BZX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Rule 11.22, Data Products, To Adopt a New Market Data Product Known as BZX Summary Depth 2016-08-26T00:00:00-07:00 2016-08-26T00:00:00-07:00 2016-20459 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-08-26/pdf/2016-20459.pdf https://regulations.justia.com/regulations/fedreg/2016/08/26/2016-20458.html Notice - Self-Regulatory Organizations; Bats BYX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Rule 11.22, Data Products, To Adopt a New Market Data Product Known as BYX Summary Depth 2016-08-26T00:00:00-07:00 2016-08-26T00:00:00-07:00 2016-20458 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-08-26/pdf/2016-20458.pdf https://regulations.justia.com/regulations/fedreg/2016/08/26/2016-20457.html Notice - Self-Regulatory Organizations; Bats EDGX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Rule 21.8, Order Display and Book Processing 2016-08-26T00:00:00-07:00 2016-08-26T00:00:00-07:00 2016-20457 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-08-26/pdf/2016-20457.pdf https://regulations.justia.com/regulations/fedreg/2016/08/26/2016-20456.html Notice - Self-Regulatory Organizations; NYSE MKT LLC; Notice of Filing of Proposed Change Amending the Co-Location Services Offered by the Exchange To Add Certain Access and Connectivity Fees 2016-08-26T00:00:00-07:00 2016-08-26T00:00:00-07:00 2016-20456 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-08-26/pdf/2016-20456.pdf https://regulations.justia.com/regulations/fedreg/2016/08/26/2016-20455.html Notice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing of Proposed Rule Change Amending the Co-location Services Offered by the Exchange To Add Certain Access and Connectivity Fees 2016-08-26T00:00:00-07:00 2016-08-26T00:00:00-07:00 2016-20455 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-08-26/pdf/2016-20455.pdf https://regulations.justia.com/regulations/fedreg/2016/08/26/2016-20454.html 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. 3, To List and Trade Shares of the Natixis Seeyond International Minimum Volatility ETF Under NYSE Arca Equities Rule 8.600 2016-08-26T00:00:00-07:00 2016-08-26T00:00:00-07:00 2016-20454 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-08-26/pdf/2016-20454.pdf https://regulations.justia.com/regulations/fedreg/2016/08/26/2016-20453.html Notice - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Order Granting Approval of 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 2016-08-26T00:00:00-07:00 2016-08-26T00:00:00-07:00 2016-20453 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-08-26/pdf/2016-20453.pdf https://regulations.justia.com/regulations/fedreg/2016/08/26/2016-20452.html Notice - Self-Regulatory Organizations; Municipal Securities Rulemaking Board; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Delay the Due Date for Certain Submissions Under Rule G-45 and Provide Guidance on the Application of Rules G-42 and G-44 to Municipal Advisors to Sponsors or Trustees of Municipal Fund Securities 2016-08-26T00:00:00-07:00 2016-08-26T00:00:00-07:00 2016-20452 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-08-26/pdf/2016-20452.pdf https://regulations.justia.com/regulations/fedreg/2016/08/26/2016-20451.html Notice - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the Exchange's Options Pricing 2016-08-26T00:00:00-07:00 2016-08-26T00:00:00-07:00 2016-20451 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-08-26/pdf/2016-20451.pdf https://regulations.justia.com/regulations/fedreg/2016/08/25/2016-20213.html Notice - Self-Regulatory Organizations: Notice of Filing of a Proposed Rule Change by Miami International Securities Exchange, LLC To Adopt New Rules To Govern the Trading of Complex Orders on the Exchange 2016-08-25T00:00:00-07:00 2016-08-25T00:00:00-07:00 2016-20213 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-08-25/pdf/2016-20213.pdf https://regulations.justia.com/regulations/fedreg/2016/08/24/2016-20258.html Notice - Proposed Collection; Comment Request 2016-08-24T00:00:00-07:00 2016-08-24T00:00:00-07:00 2016-20258 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-08-24/pdf/2016-20258.pdf https://regulations.justia.com/regulations/fedreg/2016/08/24/2016-20257.html Notice - Submission for OMB Review; Comment Request 2016-08-24T00:00:00-07:00 2016-08-24T00:00:00-07:00 2016-20257 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-08-24/pdf/2016-20257.pdf https://regulations.justia.com/regulations/fedreg/2016/08/24/2016-20256.html Notice - Proposed Collection; Comment Request 2016-08-24T00:00:00-07:00 2016-08-24T00:00:00-07:00 2016-20256 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-08-24/pdf/2016-20256.pdf https://regulations.justia.com/regulations/fedreg/2016/08/24/2016-20212.html Notice - Self-Regulatory Organizations; BOX Options Exchange LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the Fee Schedule on the BOX Market LLC (“BOX”) Options Facility 2016-08-24T00:00:00-07:00 2016-08-24T00:00:00-07:00 2016-20212 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-08-24/pdf/2016-20212.pdf https://regulations.justia.com/regulations/fedreg/2016/08/24/2016-20211.html Notice - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Order Approving Rule Change as Modified by Amendment Nos. 1 and 2 To Adopt FINRA Capital Acquisition Broker Rules 2016-08-24T00:00:00-07:00 2016-08-24T00:00:00-07:00 2016-20211 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-08-24/pdf/2016-20211.pdf https://regulations.justia.com/regulations/fedreg/2016/08/24/2016-20210.html Notice - Self-Regulatory Organizations; The Nasdaq Stock Market LLC; Notice of Filing of Proposed Rule Change To Amend Nasdaq Rule 5735 To Adopt Generic Listing Standards for Managed Fund Shares 2016-08-24T00:00:00-07:00 2016-08-24T00:00:00-07:00 2016-20210 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-08-24/pdf/2016-20210.pdf https://regulations.justia.com/regulations/fedreg/2016/08/24/2016-20209.html Notice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend NYSE Arca Equities Rules 7.35P, 7.34P, 7.18P and 7.31P Regarding Order Processing Following an Auction or When Transitioning From One Trading Session to Another 2016-08-24T00:00:00-07:00 2016-08-24T00:00:00-07:00 2016-20209 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-08-24/pdf/2016-20209.pdf https://regulations.justia.com/regulations/fedreg/2016/08/24/2016-20208.html Notice - Self-Regulatory Organizations; NYSE Arca, Inc.; Order Instituting Proceedings To Determine Whether To Approve or Disapprove Proposed Rule Change, as Modified by Amendment Nos. 1 and 2, To List and Trade Shares of the AdvisorShares KIM Korea Equity ETF 2016-08-24T00:00:00-07:00 2016-08-24T00:00:00-07:00 2016-20208 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-08-24/pdf/2016-20208.pdf https://regulations.justia.com/regulations/fedreg/2016/08/24/2016-20207.html Notice - Self-Regulatory Organizations; Bats BZX Exchange, Inc.; Notice of Designation of a Longer Period for Commission Action on a Proposed Rule Change To List and Trade Shares of the JPMorgan Global Bond Opportunities ETF 2016-08-24T00:00:00-07:00 2016-08-24T00:00:00-07:00 2016-20207 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-08-24/pdf/2016-20207.pdf https://regulations.justia.com/regulations/fedreg/2016/08/24/2016-20206.html Notice - Self-Regulatory Organizations; Miami International Securities Exchange LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Exchange Rules 803 and 1308 2016-08-24T00:00:00-07:00 2016-08-24T00:00:00-07:00 2016-20206 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-08-24/pdf/2016-20206.pdf https://regulations.justia.com/regulations/fedreg/2016/08/24/2016-20205.html Notice - Self-Regulatory Organizations; Municipal Securities Rulemaking Board; Notice of Filing of Amendment No. 1 and Order Granting Accelerated Approval of a Proposed Rule Change, as Modified by Amendment No. 1, Consisting of Proposed Amendments to Rule G-12, on Uniform Practice, Regarding Close-Out Procedures for Municipal Securities 2016-08-24T00:00:00-07:00 2016-08-24T00:00:00-07:00 2016-20205 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-08-24/pdf/2016-20205.pdf https://regulations.justia.com/regulations/fedreg/2016/08/24/2016-20204.html Notice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Designation of a Longer Period for Commission Action on a Proposed Rule Change To List and Trade Shares of the JPMorgan Diversified Event Driven ETF Under NYSE Arca Equities Rule 8.600 2016-08-24T00:00:00-07:00 2016-08-24T00:00:00-07:00 2016-20204 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-08-24/pdf/2016-20204.pdf https://regulations.justia.com/regulations/fedreg/2016/08/24/2016-20203.html Notice - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to Use of the Alternative Display Facility for Trade Reporting Purpose Only 2016-08-24T00:00:00-07:00 2016-08-24T00:00:00-07:00 2016-20203 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-08-24/pdf/2016-20203.pdf https://regulations.justia.com/regulations/fedreg/2016/08/23/2016-20214.html Notice - Sunshine Act Meeting 2016-08-23T00:00:00-07:00 2016-08-23T00:00:00-07:00 2016-20214 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-08-23/pdf/2016-20214.pdf https://regulations.justia.com/regulations/fedreg/2016/08/23/2016-20065.html Notice - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Correct a Typographical Error in Rules IM-5910-1 and IM-5920-1 2016-08-23T00:00:00-07:00 2016-08-23T00:00:00-07:00 2016-20065 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-08-23/pdf/2016-20065.pdf https://regulations.justia.com/regulations/fedreg/2016/08/23/2016-20064.html Notice - Self-Regulatory Organizations; ICE Clear Europe Limited; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to the Settlement of UK Spot Natural Gas Contracts and European Emissions Contracts 2016-08-23T00:00:00-07:00 2016-08-23T00:00:00-07:00 2016-20064 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-08-23/pdf/2016-20064.pdf https://regulations.justia.com/regulations/fedreg/2016/08/23/2016-20063.html Notice - Self-Regulatory Organizations; NYSE MKT LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Extending the Pilot Period for the Exchange's Retail Liquidity Program 2016-08-23T00:00:00-07:00 2016-08-23T00:00:00-07:00 2016-20063 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-08-23/pdf/2016-20063.pdf https://regulations.justia.com/regulations/fedreg/2016/08/23/2016-20062.html Notice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Extending the Pilot Period for the Exchange's Retail Liquidity Program 2016-08-23T00:00:00-07:00 2016-08-23T00:00:00-07:00 2016-20062 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-08-23/pdf/2016-20062.pdf https://regulations.justia.com/regulations/fedreg/2016/08/23/2016-20061.html Notice - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Extending the Pilot Period for the Exchange's Retail Liquidity Program 2016-08-23T00:00:00-07:00 2016-08-23T00:00:00-07:00 2016-20061 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-08-23/pdf/2016-20061.pdf https://regulations.justia.com/regulations/fedreg/2016/08/23/2016-20060.html Notice - Self-Regulatory Organizations; NYSE MKT LLC; Notice of Designation of a Longer Period for Commission Action on Proposed Rule Change Amending Rules 340, 341, and 359 To Extend the Time Within Which a Member, Member Organization, or an ATP Holder Must File a Uniform Termination Notice for Securities Industry Registration (“U5”) 2016-08-23T00:00:00-07:00 2016-08-23T00:00:00-07:00 2016-20060 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-08-23/pdf/2016-20060.pdf https://regulations.justia.com/regulations/fedreg/2016/08/23/2016-20059.html Notice - FS Global Credit Opportunities Fund, et al.; Notice of Application 2016-08-23T00:00:00-07:00 2016-08-23T00:00:00-07:00 2016-20059 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-08-23/pdf/2016-20059.pdf https://regulations.justia.com/regulations/fedreg/2016/08/22/2016-19900.html Notice - Davis Fundamental ETF Trust, et al.; Notice of Application 2016-08-22T00:00:00-07:00 2016-08-22T00:00:00-07:00 2016-19900 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-08-22/pdf/2016-19900.pdf https://regulations.justia.com/regulations/fedreg/2016/08/22/2016-19899.html Notice - Self-Regulatory Organizations; NASDAQ PHLX LLC; Notice of Filing of Proposed Rule Change To Adopt a New Exception in Exchange Rule 1000(f) for Sub-MPV Split-Priced Orders 2016-08-22T00:00:00-07:00 2016-08-22T00:00:00-07:00 2016-19899 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-08-22/pdf/2016-19899.pdf https://regulations.justia.com/regulations/fedreg/2016/08/22/2016-19898.html Notice - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Order Granting Approval of Proposed Rule Change To List and Trade Shares of the First Trust Equity Market Neutral ETF of the First Trust Exchange-Traded Fund VIII 2016-08-22T00:00:00-07:00 2016-08-22T00:00:00-07:00 2016-19898 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-08-22/pdf/2016-19898.pdf https://regulations.justia.com/regulations/fedreg/2016/08/22/2016-19897.html Notice - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing of Proposed Rule Change Adopting Maximum Fees Member Organizations may Charge in Connection With the Distribution of Investment Company Shareholder Reports Pursuant to Any Electronic Delivery Rules Adopted by the Securities and Exchange Commission 2016-08-22T00:00:00-07:00 2016-08-22T00:00:00-07:00 2016-19897 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-08-22/pdf/2016-19897.pdf https://regulations.justia.com/regulations/fedreg/2016/08/22/2016-19896.html Notice - Self-Regulatory Organizations; NASDAQ PHLX LLC; Notice of Filing of Proposed Rule Change To Amend Rule 1017, Openings in Options 2016-08-22T00:00:00-07:00 2016-08-22T00:00:00-07:00 2016-19896 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-08-22/pdf/2016-19896.pdf https://regulations.justia.com/regulations/fedreg/2016/08/22/2016-19895.html Notice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Designation of a Longer Period for Commission Action on a Proposed Rule Change, as Modified by Amendment No. 1, To List and Trade Shares of the First Trust Horizon Managed Volatility Domestic ETF and the First Trust Horizon Managed Volatility Developed International ETF Under NYSE Arca Equities Rule 8.600 2016-08-22T00:00:00-07:00 2016-08-22T00:00:00-07:00 2016-19895 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-08-22/pdf/2016-19895.pdf https://regulations.justia.com/regulations/fedreg/2016/08/22/2016-19894.html Notice - Self-Regulatory Organizations; NYSE MKT LLC; Notice of Filing of Proposed Rule Change Amending Section 146 of the NYSE MKT Company Guide To Adjust the Entitlement to Services of Special Purpose Acquisition Companies 2016-08-22T00:00:00-07:00 2016-08-22T00:00:00-07:00 2016-19894 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-08-22/pdf/2016-19894.pdf https://regulations.justia.com/regulations/fedreg/2016/08/19/2016-19945.html Notice - In the Matter of Imperial Plantation Corporation; Order of Suspension of Trading 2016-08-19T00:00:00-07:00 2016-08-19T00:00:00-07:00 2016-19945 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-08-19/pdf/2016-19945.pdf https://regulations.justia.com/regulations/fedreg/2016/08/19/2016-19855.html Notice - Wells Fargo Bank, National Association, et al., Notice of Application 2016-08-19T00:00:00-07:00 2016-08-19T00:00:00-07:00 2016-19855 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-08-19/pdf/2016-19855.pdf https://regulations.justia.com/regulations/fedreg/2016/08/19/2016-19799.html Notice - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Nasdaq Rule 7047 2016-08-19T00:00:00-07:00 2016-08-19T00:00:00-07:00 2016-19799 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-08-19/pdf/2016-19799.pdf https://regulations.justia.com/regulations/fedreg/2016/08/19/2016-19798.html Notice - Self-Regulatory Organizations; NASDAQ PHLX LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the Exchange's Pricing Schedule 2016-08-19T00:00:00-07:00 2016-08-19T00:00:00-07:00 2016-19798 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-08-19/pdf/2016-19798.pdf https://regulations.justia.com/regulations/fedreg/2016/08/19/2016-19773.html Notice - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing of a Proposed Rule Change Relating to FINRA Rule 2232 (Customer Confirmations) To Require Members To Disclose Additional Pricing Information on Retail Customer Confirmations Relating to Transactions in Fixed Income Securities 2016-08-19T00:00:00-07:00 2016-08-19T00:00:00-07:00 2016-19773 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-08-19/pdf/2016-19773.pdf https://regulations.justia.com/regulations/fedreg/2016/08/18/2016-19689.html Notice - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Nasdaq Rule 7018 2016-08-18T00:00:00-07:00 2016-08-18T00:00:00-07:00 2016-19689 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-08-18/pdf/2016-19689.pdf https://regulations.justia.com/regulations/fedreg/2016/08/18/2016-19688.html Notice - Self-Regulatory Organizations; ICE Clear Credit LLC; Order Approving Proposed Rule Change To Revise the ICC Treasury Operations Policies and Procedures 2016-08-18T00:00:00-07:00 2016-08-18T00:00:00-07:00 2016-19688 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-08-18/pdf/2016-19688.pdf https://regulations.justia.com/regulations/fedreg/2016/08/18/2016-19687.html Notice - Self-Regulatory Organizations; BOX Options Exchange LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Its Fee Schedule To Adopt a New Fee in Section V (Technology Fees) of the BOX Fee Schedule 2016-08-18T00:00:00-07:00 2016-08-18T00:00:00-07:00 2016-19687 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-08-18/pdf/2016-19687.pdf https://regulations.justia.com/regulations/fedreg/2016/08/18/2016-19686.html Notice - Self-Regulatory Organizations; NYSE Arca, Inc.; Order Instituting Proceedings To Determine Whether To Approve or Disapprove a Proposed Rule Change Relating to a Change to the Underlying Index for the PowerShares Build America Bond Portfolio 2016-08-18T00:00:00-07:00 2016-08-18T00:00:00-07:00 2016-19686 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-08-18/pdf/2016-19686.pdf https://regulations.justia.com/regulations/fedreg/2016/08/17/2016-19718.html Notice - In the Matter of Neuromama, Ltd.; Order of Suspension of Trading 2016-08-17T00:00:00-07:00 2016-08-17T00:00:00-07:00 2016-19718 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-08-17/pdf/2016-19718.pdf https://regulations.justia.com/regulations/fedreg/2016/08/17/2016-19587.html 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 2016-08-17T00:00:00-07:00 2016-08-17T00:00:00-07:00 2016-19587 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-08-17/pdf/2016-19587.pdf https://regulations.justia.com/regulations/fedreg/2016/08/17/2016-19586.html 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 2016-08-17T00:00:00-07:00 2016-08-17T00:00:00-07:00 2016-19586 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-08-17/pdf/2016-19586.pdf https://regulations.justia.com/regulations/fedreg/2016/08/17/2016-19585.html 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 2016-08-17T00:00:00-07:00 2016-08-17T00:00:00-07:00 2016-19585 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-08-17/pdf/2016-19585.pdf https://regulations.justia.com/regulations/fedreg/2016/08/17/2016-19584.html Notice - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to COPS 2016-08-17T00:00:00-07:00 2016-08-17T00:00:00-07:00 2016-19584 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-08-17/pdf/2016-19584.pdf https://regulations.justia.com/regulations/fedreg/2016/08/17/2016-19583.html 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 2016-08-17T00:00:00-07:00 2016-08-17T00:00:00-07:00 2016-19583 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-08-17/pdf/2016-19583.pdf https://regulations.justia.com/regulations/fedreg/2016/08/17/2016-19582.html 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. 2016-08-17T00:00:00-07:00 2016-08-17T00:00:00-07:00 2016-19582 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-08-17/pdf/2016-19582.pdf https://regulations.justia.com/regulations/fedreg/2016/08/17/2016-19581.html Notice - Self-Regulatory Organizations; Investors Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Related to Transaction and Regulatory Fees 2016-08-17T00:00:00-07:00 2016-08-17T00:00:00-07:00 2016-19581 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-08-17/pdf/2016-19581.pdf https://regulations.justia.com/regulations/fedreg/2016/08/17/2016-19580.html 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 2016-08-17T00:00:00-07:00 2016-08-17T00:00:00-07:00 2016-19580 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-08-17/pdf/2016-19580.pdf https://regulations.justia.com/regulations/fedreg/2016/08/17/2016-19579.html Notice - Self-Regulatory Organizations; NYSE MKT LLC; Notice of Filing and Immediate Effectiveness of Proposed Change To Modify the NYSE Amex Options Fee Schedule 2016-08-17T00:00:00-07:00 2016-08-17T00:00:00-07:00 2016-19579 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-08-17/pdf/2016-19579.pdf https://regulations.justia.com/regulations/fedreg/2016/08/17/2016-19578.html 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 2016-08-17T00:00:00-07:00 2016-08-17T00:00:00-07:00 2016-19578 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-08-17/pdf/2016-19578.pdf https://regulations.justia.com/regulations/fedreg/2016/08/17/2016-19577.html 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 2016-08-17T00:00:00-07:00 2016-08-17T00:00:00-07:00 2016-19577 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-08-17/pdf/2016-19577.pdf https://regulations.justia.com/regulations/fedreg/2016/08/17/2016-19576.html 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 2016-08-17T00:00:00-07:00 2016-08-17T00:00:00-07:00 2016-19576 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-08-17/pdf/2016-19576.pdf https://regulations.justia.com/regulations/fedreg/2016/08/17/2016-19575.html 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 2016-08-17T00:00:00-07:00 2016-08-17T00:00:00-07:00 2016-19575 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-08-17/pdf/2016-19575.pdf https://regulations.justia.com/regulations/fedreg/2016/08/17/2016-19574.html Notice - Self-Regulatory Organizations; Bats BZX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Related to Logical Port Fees 2016-08-17T00:00:00-07:00 2016-08-17T00:00:00-07:00 2016-19574 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-08-17/pdf/2016-19574.pdf https://regulations.justia.com/regulations/fedreg/2016/08/17/2016-19573.html Notice - Self-Regulatory Organizations; Bats BYX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Related to Logical Port Fees 2016-08-17T00:00:00-07:00 2016-08-17T00:00:00-07:00 2016-19573 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-08-17/pdf/2016-19573.pdf https://regulations.justia.com/regulations/fedreg/2016/08/16/2016-19607.html Notice - In the Matter of: Safecode Drug Technologies Corp., Dynamic Ventures Corp.; Order of Suspension of Trading 2016-08-16T00:00:00-07:00 2016-08-16T00:00:00-07:00 2016-19607 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-08-16/pdf/2016-19607.pdf https://regulations.justia.com/regulations/fedreg/2016/08/16/2016-19590.html Notice - Sunshine Act Meeting 2016-08-16T00:00:00-07:00 2016-08-16T00:00:00-07:00 2016-19590 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-08-16/pdf/2016-19590.pdf https://regulations.justia.com/regulations/fedreg/2016/08/16/2016-19445.html Notice - Self-Regulatory Organizations; Bats EDGA Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Related to Logical Port Fees 2016-08-16T00:00:00-07:00 2016-08-16T00:00:00-07:00 2016-19445 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-08-16/pdf/2016-19445.pdf https://regulations.justia.com/regulations/fedreg/2016/08/16/2016-19444.html Notice - Self-Regulatory Organizations; Bats EDGX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Related to Fees 2016-08-16T00:00:00-07:00 2016-08-16T00:00:00-07:00 2016-19444 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-08-16/pdf/2016-19444.pdf https://regulations.justia.com/regulations/fedreg/2016/08/16/2016-19443.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 2016-08-16T00:00:00-07:00 2016-08-16T00:00:00-07:00 2016-19443 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-08-16/pdf/2016-19443.pdf https://regulations.justia.com/regulations/fedreg/2016/08/16/2016-19442.html Notice - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Order Granting Approval of a Proposed Rule Change, as Modified by Amendment No. 1 Thereto, To List and Trade the Shares of the VanEck Vectors Long/Flat Commodity ETF 2016-08-16T00:00:00-07:00 2016-08-16T00:00:00-07:00 2016-19442 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-08-16/pdf/2016-19442.pdf https://regulations.justia.com/regulations/fedreg/2016/08/16/2016-19441.html Notice - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Order Approving a Proposed Rule Change To Expand the Nonstandard Expirations Pilot Program To Include Monday Expirations 2016-08-16T00:00:00-07:00 2016-08-16T00:00:00-07:00 2016-19441 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-08-16/pdf/2016-19441.pdf https://regulations.justia.com/regulations/fedreg/2016/08/16/2016-19440.html Notice - Self-Regulatory Organizations; The Depository Trust Company; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Add a Participants Fund Maintenance Fee 2016-08-16T00:00:00-07:00 2016-08-16T00:00:00-07:00 2016-19440 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-08-16/pdf/2016-19440.pdf https://regulations.justia.com/regulations/fedreg/2016/08/16/2016-19433.html Notice - Self-Regulatory Organizations; Fixed Income Clearing Corporation; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Add a Clearing Fund Maintenance Fee 2016-08-16T00:00:00-07:00 2016-08-16T00:00:00-07:00 2016-19433 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-08-16/pdf/2016-19433.pdf https://regulations.justia.com/regulations/fedreg/2016/08/16/2016-19432.html Notice - Self-Regulatory Organizations; Bats BZX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Establish a Closing Contingency Procedure 2016-08-16T00:00:00-07:00 2016-08-16T00:00:00-07:00 2016-19432 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-08-16/pdf/2016-19432.pdf https://regulations.justia.com/regulations/fedreg/2016/08/16/2016-19431.html Notice - Self-Regulatory Organizations; The Options Clearing Corporation; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Revise The Options Clearing Corporation's Schedule of Fees 2016-08-16T00:00:00-07:00 2016-08-16T00:00:00-07:00 2016-19431 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-08-16/pdf/2016-19431.pdf https://regulations.justia.com/regulations/fedreg/2016/08/15/2016-19455.html Notice - Sunshine Act Meeting 2016-08-15T00:00:00-07:00 2016-08-15T00:00:00-07:00 2016-19455 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-08-15/pdf/2016-19455.pdf https://regulations.justia.com/regulations/fedreg/2016/08/15/2016-19326.html Notice - Self-Regulatory Organizations; National Securities Clearing Corporation; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Add a Clearing Fund Maintenance Fee 2016-08-15T00:00:00-07:00 2016-08-15T00:00:00-07:00 2016-19326 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-08-15/pdf/2016-19326.pdf https://regulations.justia.com/regulations/fedreg/2016/08/15/2016-19325.html Notice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing of Proposed Rule Change Relating to Listing and Trading of Shares of Cumberland Municipal Bond ETF Under NYSE Arca Equities Rule 8.600 2016-08-15T00:00:00-07:00 2016-08-15T00:00:00-07:00 2016-19325 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-08-15/pdf/2016-19325.pdf https://regulations.justia.com/regulations/fedreg/2016/08/15/2016-19324.html Notice - Self-Regulatory Organizations; Bats EDGX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Related to Fees for Use of the Exchange's Options Platform 2016-08-15T00:00:00-07:00 2016-08-15T00:00:00-07:00 2016-19324 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-08-15/pdf/2016-19324.pdf https://regulations.justia.com/regulations/fedreg/2016/08/15/2016-19323.html Notice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Reflect a Change in the Permitted Size of a Basket Applicable to Shares of ETFS Physical Silver Shares Issued by the ETFS Silver Trust 2016-08-15T00:00:00-07:00 2016-08-15T00:00:00-07:00 2016-19323 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-08-15/pdf/2016-19323.pdf https://regulations.justia.com/regulations/fedreg/2016/08/15/2016-19322.html Notice - Self-Regulatory Organizations; The Depository Trust Company; Notice of Filing of Proposed Rule Change Regarding the Implementation of Functionality To Submit a Cover of Protect on Behalf of Another Participant and the Removal of the Option To Cover of Protect Directly With Agent 2016-08-15T00:00:00-07:00 2016-08-15T00:00:00-07:00 2016-19322 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-08-15/pdf/2016-19322.pdf https://regulations.justia.com/regulations/fedreg/2016/08/15/2016-19321.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 2016-08-15T00:00:00-07:00 2016-08-15T00:00:00-07:00 2016-19321 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-08-15/pdf/2016-19321.pdf https://regulations.justia.com/regulations/fedreg/2016/08/15/2016-19320.html 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 the Exchange's Options Platform 2016-08-15T00:00:00-07:00 2016-08-15T00:00:00-07:00 2016-19320 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-08-15/pdf/2016-19320.pdf https://regulations.justia.com/regulations/fedreg/2016/08/15/2016-19319.html Notice - Self-Regulatory Organizations; BOX Options Exchange LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the Fee Schedule on the BOX Market LLC (“BOX”) Options Facility 2016-08-15T00:00:00-07:00 2016-08-15T00:00:00-07:00 2016-19319 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-08-15/pdf/2016-19319.pdf https://regulations.justia.com/regulations/fedreg/2016/08/15/2016-19318.html Notice - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to Rule 24.6 2016-08-15T00:00:00-07:00 2016-08-15T00:00:00-07:00 2016-19318 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-08-15/pdf/2016-19318.pdf https://regulations.justia.com/regulations/fedreg/2016/08/15/2016-19317.html Notice - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Rule 123D Relating to When a DMM May Reopen a Security Electronically 2016-08-15T00:00:00-07:00 2016-08-15T00:00:00-07:00 2016-19317 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-08-15/pdf/2016-19317.pdf https://regulations.justia.com/regulations/fedreg/2016/08/15/2016-19316.html Notice - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Designation of Longer Period for Commission Action on 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 2016-08-15T00:00:00-07:00 2016-08-15T00:00:00-07:00 2016-19316 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-08-15/pdf/2016-19316.pdf https://regulations.justia.com/regulations/fedreg/2016/08/15/2016-19315.html Notice - Self-Regulatory Organizations; Investors Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Rule 11.190(g) Related to Discretionary Peg Orders 2016-08-15T00:00:00-07:00 2016-08-15T00:00:00-07:00 2016-19315 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-08-15/pdf/2016-19315.pdf https://regulations.justia.com/regulations/fedreg/2016/08/15/2016-19314.html Notice - Self-Regulatory Organizations; Investors Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Rule 11.190(f) To Make Correcting and Clarifying Changes 2016-08-15T00:00:00-07:00 2016-08-15T00:00:00-07:00 2016-19314 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-08-15/pdf/2016-19314.pdf https://regulations.justia.com/regulations/fedreg/2016/08/15/2016-19313.html Notice - Self-Regulatory Organizations; C2 Options Exchange, Incorporated; Notice of Filing and Immediate Effectiveness of a Proposed Rule To Amend the Fees Schedule 2016-08-15T00:00:00-07:00 2016-08-15T00:00:00-07:00 2016-19313 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-08-15/pdf/2016-19313.pdf https://regulations.justia.com/regulations/fedreg/2016/08/12/2016-19208.html Notice - Submission for OMB Review; Comment Request 2016-08-12T00:00:00-07:00 2016-08-12T00:00:00-07:00 2016-19208 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-08-12/pdf/2016-19208.pdf https://regulations.justia.com/regulations/fedreg/2016/08/12/2016-19207.html Notice - Proposed Collection; Comment Request 2016-08-12T00:00:00-07:00 2016-08-12T00:00:00-07:00 2016-19207 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-08-12/pdf/2016-19207.pdf https://regulations.justia.com/regulations/fedreg/2016/08/12/2016-19184.html Notice - Blackrock Funds, et al.; Notice of Application 2016-08-12T00:00:00-07:00 2016-08-12T00:00:00-07:00 2016-19184 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-08-12/pdf/2016-19184.pdf https://regulations.justia.com/regulations/fedreg/2016/08/12/2016-19183.html Notice - Submission for OMB Review; Comment Request 2016-08-12T00:00:00-07:00 2016-08-12T00:00:00-07:00 2016-19183 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-08-12/pdf/2016-19183.pdf https://regulations.justia.com/regulations/fedreg/2016/08/12/2016-19182.html Notice - Submission for OMB Review; Comment Request 2016-08-12T00:00:00-07:00 2016-08-12T00:00:00-07:00 2016-19182 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-08-12/pdf/2016-19182.pdf https://regulations.justia.com/regulations/fedreg/2016/08/12/2016-19181.html Notice - Proposed Collection; Comment Request 2016-08-12T00:00:00-07:00 2016-08-12T00:00:00-07:00 2016-19181 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-08-12/pdf/2016-19181.pdf https://regulations.justia.com/regulations/fedreg/2016/08/12/2016-19178.html Notice - Self-Regulatory Organizations; NYSE MKT LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend NYSE MKT Rule 19-Equities To Specify in Exchange Rules the Exchange's Use of Data Feeds From Investors' Exchange, LLC for Order Handling and Execution, Order Routing, and Regulatory Compliance 2016-08-12T00:00:00-07:00 2016-08-12T00:00:00-07:00 2016-19178 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-08-12/pdf/2016-19178.pdf https://regulations.justia.com/regulations/fedreg/2016/08/12/2016-19177.html Notice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Specify in Exchange Rules the Exchange's Use of Data Feeds From Investors' Exchange, LLC for Order Handling and Execution, Order Routing, and Regulatory Compliance 2016-08-12T00:00:00-07:00 2016-08-12T00:00:00-07:00 2016-19177 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-08-12/pdf/2016-19177.pdf https://regulations.justia.com/regulations/fedreg/2016/08/12/2016-19176.html Notice - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Rule 19 To Specify in Exchange Rules the Exchange's Use of Data Feeds From Investors' Exchange, LLC for Order Handling and Execution, Order Routing, and Regulatory Compliance 2016-08-12T00:00:00-07:00 2016-08-12T00:00:00-07:00 2016-19176 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-08-12/pdf/2016-19176.pdf https://regulations.justia.com/regulations/fedreg/2016/08/12/2016-19175.html Notice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Section 3 of NYSE Arca Equities Rule 8 To Extend the Effectiveness of the Exchange Traded Product Incentive Program 2016-08-12T00:00:00-07:00 2016-08-12T00:00:00-07:00 2016-19175 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-08-12/pdf/2016-19175.pdf https://regulations.justia.com/regulations/fedreg/2016/08/12/2016-19174.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 2016-08-12T00:00:00-07:00 2016-08-12T00:00:00-07:00 2016-19174 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-08-12/pdf/2016-19174.pdf https://regulations.justia.com/regulations/fedreg/2016/08/12/2016-19173.html Notice - Self-Regulatory Organizations; Chicago Stock Exchange, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the Continuing Education Fees 2016-08-12T00:00:00-07:00 2016-08-12T00:00:00-07:00 2016-19173 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-08-12/pdf/2016-19173.pdf https://regulations.justia.com/regulations/fedreg/2016/08/12/2016-19172.html Notice - Self-Regulatory Organizations; Chicago Stock Exchange, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Update or Adopt Various Fees for Services Provided by the Financial Industry Regulatory Authority 2016-08-12T00:00:00-07:00 2016-08-12T00:00:00-07:00 2016-19172 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-08-12/pdf/2016-19172.pdf https://regulations.justia.com/regulations/fedreg/2016/08/12/2016-19171.html Notice - Self-Regulatory Organizations: Investors Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Rule 9.218 To Specify the List of Violations Eligible for Disposition Under IEX's Minor Rule Violation Plan 2016-08-12T00:00:00-07:00 2016-08-12T00:00:00-07:00 2016-19171 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-08-12/pdf/2016-19171.pdf https://regulations.justia.com/regulations/fedreg/2016/08/12/2016-19170.html Notice - Self-Regulatory Organizations; ICE Clear Credit LLC; Order Approving Proposed Rule Change To Revise the ICC End-of-Day Price Discovery Policies and Procedures 2016-08-12T00:00:00-07:00 2016-08-12T00:00:00-07:00 2016-19170 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-08-12/pdf/2016-19170.pdf https://regulations.justia.com/regulations/fedreg/2016/08/12/2016-17032.html Rule - Regulation SBSR-Reporting and Dissemination of Security-Based Swap Information 2016-08-12T00:00:00-07:00 2016-08-12T00:00:00-07:00 2016-17032 Rule https://www.gpo.gov/fdsys/pkg/FR-2016-08-12/pdf/2016-17032.pdf https://regulations.justia.com/regulations/fedreg/2016/08/11/2016-19209.html Notice - In the Matter of Chang-On International, Inc., Computer Graphics International Inc., Guanwei Recycling Corp., John D. Oil and Gas Company, Legal Life Plans, Inc., Powder River Coal Corp., Reunion Industries, Inc., ThermoEnergy Corporation; Order of Suspension of Trading 2016-08-11T00:00:00-07:00 2016-08-11T00:00:00-07:00 2016-19209 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-08-11/pdf/2016-19209.pdf https://regulations.justia.com/regulations/fedreg/2016/08/11/2016-19055.html 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 2016-08-11T00:00:00-07:00 2016-08-11T00:00:00-07:00 2016-19055 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-08-11/pdf/2016-19055.pdf https://regulations.justia.com/regulations/fedreg/2016/08/11/2016-19054.html Notice - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing of Proposed Rule Change, as Modified by Amendment No. 1, Amending NYSE Rule 49 Regarding: (1) The Exchange's Emergency Powers; (2) the Exchange's Disaster Recovery Plans; and (3) Exchange Backup Systems and Mandatory Testing 2016-08-11T00:00:00-07:00 2016-08-11T00:00:00-07:00 2016-19054 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-08-11/pdf/2016-19054.pdf https://regulations.justia.com/regulations/fedreg/2016/08/11/2016-19053.html Notice - Self-Regulatory Organizations; NYSE MKT LLC; Notice of Filing of Proposed Rule Change, Rule Change, as Modified by Amendment No. 1, Amending NYSE Rule 49-Equities Regarding: (1) The Exchange's Emergency Powers; (2) the Exchange's Disaster Recovery Plans; and (3) Exchange Backup Systems and Mandatory Testing 2016-08-11T00:00:00-07:00 2016-08-11T00:00:00-07:00 2016-19053 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-08-11/pdf/2016-19053.pdf https://regulations.justia.com/regulations/fedreg/2016/08/11/2016-19052.html Notice - Self-Regulatory Organizations; Investors Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Rule 11.270(c) Concerning Clearly Erroneous Executions 2016-08-11T00:00:00-07:00 2016-08-11T00:00:00-07:00 2016-19052 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-08-11/pdf/2016-19052.pdf https://regulations.justia.com/regulations/fedreg/2016/08/10/2016-18914.html Notice - TrimTabs ETF Trust, et al.; Notice of Application 2016-08-10T00:00:00-07:00 2016-08-10T00:00:00-07:00 2016-18914 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-08-10/pdf/2016-18914.pdf https://regulations.justia.com/regulations/fedreg/2016/08/10/2016-18913.html Notice - Allianz Life Insurance Company of North America, et al; Notice of Application 2016-08-10T00:00:00-07:00 2016-08-10T00:00:00-07:00 2016-18913 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-08-10/pdf/2016-18913.pdf https://regulations.justia.com/regulations/fedreg/2016/08/10/2016-18912.html Notice - Self-Regulatory Organizations; Investors Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Adopt Rule 11.340(b) To Set Forth the Requirements for the Collection and Transmission of Data Pursuant to the Regulation NMS Plan To Implement a Tick Size Pilot Program 2016-08-10T00:00:00-07:00 2016-08-10T00:00:00-07:00 2016-18912 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-08-10/pdf/2016-18912.pdf https://regulations.justia.com/regulations/fedreg/2016/08/10/2016-18911.html Notice - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Related to Detection of Loss of Connection 2016-08-10T00:00:00-07:00 2016-08-10T00:00:00-07:00 2016-18911 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-08-10/pdf/2016-18911.pdf https://regulations.justia.com/regulations/fedreg/2016/08/10/2016-18910.html Notice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending the NYSE Arca Options Fee Schedule 2016-08-10T00:00:00-07:00 2016-08-10T00:00:00-07:00 2016-18910 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-08-10/pdf/2016-18910.pdf https://regulations.justia.com/regulations/fedreg/2016/08/10/2016-18909.html Notice - Self-Regulatory Organizations; C2 Options Exchange, Incorporated; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to AIM Retained Orders 2016-08-10T00:00:00-07:00 2016-08-10T00:00:00-07:00 2016-18909 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-08-10/pdf/2016-18909.pdf https://regulations.justia.com/regulations/fedreg/2016/08/10/2016-18908.html Notice - Joint Industry Plan; Notice of Filing and Immediate Effectiveness of Amendment No. 4 to the National Market System Plan Governing the Process of Selecting a Plan Processor and Developing a Plan for 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, 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. 2016-08-10T00:00:00-07:00 2016-08-10T00:00:00-07:00 2016-18908 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-08-10/pdf/2016-18908.pdf https://regulations.justia.com/regulations/fedreg/2016/08/09/2016-18932.html Notice - Sunshine Act Meeting 2016-08-09T00:00:00-07:00 2016-08-09T00:00:00-07:00 2016-18932 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-08-09/pdf/2016-18932.pdf https://regulations.justia.com/regulations/fedreg/2016/08/09/2016-18795.html Notice - Self-Regulatory Organizations; Investors Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Rule 11.330 To Combine the TOPS and LAST Data Products and Make Minor Correcting and Conforming Changes to the Description of TOPS Viewer 2016-08-09T00:00:00-07:00 2016-08-09T00:00:00-07:00 2016-18795 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-08-09/pdf/2016-18795.pdf https://regulations.justia.com/regulations/fedreg/2016/08/09/2016-18794.html Notice - Self-Regulatory Organizations; Investors Exchange LLC; Order Declaring Effective a Minor Rule Violation Plan 2016-08-09T00:00:00-07:00 2016-08-09T00:00:00-07:00 2016-18794 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-08-09/pdf/2016-18794.pdf https://regulations.justia.com/regulations/fedreg/2016/08/09/2016-18793.html 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 Among Bats BZX Exchange, Inc., Bats BYX Exchange, Inc., Chicago Stock Exchange, Inc., Bats EDGA Exchange, Inc., Bats EDGX Exchange, Inc., Financial Industry Regulatory Authority, Inc., NASDAQ BX, Inc., NASDAQ PHLX LLC, The NASDAQ Stock Market LLC, National Stock Exchange, Inc., New York Stock Exchange LLC, NYSE MKT LLC, NYSE Arca, Inc., and Investors Exchange LLC Relating to the Surveillance, Investigation, and Enforcement of Insider Trading Rules 2016-08-09T00:00:00-07:00 2016-08-09T00:00:00-07:00 2016-18793 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-08-09/pdf/2016-18793.pdf https://regulations.justia.com/regulations/fedreg/2016/08/09/2016-18792.html Notice - Self-Regulatory Organizations; Bats EDGX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Rule 11.21, Retail Orders, To Conform to the Rules of Bats BZX Exchange, Inc. and Bats BYX Exchange, Inc. 2016-08-09T00:00:00-07:00 2016-08-09T00:00:00-07:00 2016-18792 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-08-09/pdf/2016-18792.pdf https://regulations.justia.com/regulations/fedreg/2016/08/08/2016-18754.html Notice - American Independence Funds Trust, et al.; Notice of Application 2016-08-08T00:00:00-07:00 2016-08-08T00:00:00-07:00 2016-18754 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-08-08/pdf/2016-18754.pdf https://regulations.justia.com/regulations/fedreg/2016/08/08/2016-18706.html Notice - OSI ETF Trust, et al.; Notice of Application 2016-08-08T00:00:00-07:00 2016-08-08T00:00:00-07:00 2016-18706 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-08-08/pdf/2016-18706.pdf https://regulations.justia.com/regulations/fedreg/2016/08/08/2016-18703.html Notice - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing of Proposed Rule Change To Add Nasdaq Rule 7046 (Nasdaq Trading Insights) 2016-08-08T00:00:00-07:00 2016-08-08T00:00:00-07:00 2016-18703 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-08-08/pdf/2016-18703.pdf https://regulations.justia.com/regulations/fedreg/2016/08/08/2016-18702.html Notice - Self-Regulatory Organizations; C2 Options Exchange, Incorporated; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to Adopting a Principles-Based Approach To Prohibit the Misuse of Material Nonpublic Information by Market-Makers and Designated Primary Market-Makers (“DPMs”) 2016-08-08T00:00:00-07:00 2016-08-08T00:00:00-07:00 2016-18702 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-08-08/pdf/2016-18702.pdf https://regulations.justia.com/regulations/fedreg/2016/08/08/2016-18701.html Notice - Self-Regulatory Organizations; Bats EDGX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Reflect the Dissolution of One of the Exchange's Intermediate Holding Companies, Direct Edge Holdings LLC 2016-08-08T00:00:00-07:00 2016-08-08T00:00:00-07:00 2016-18701 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-08-08/pdf/2016-18701.pdf https://regulations.justia.com/regulations/fedreg/2016/08/08/2016-18700.html Notice - Self-Regulatory Organizations; Bats EDGA Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Reflect the Dissolution of One of the Exchange's Intermediate Holding Companies, Direct Edge Holdings LLC 2016-08-08T00:00:00-07:00 2016-08-08T00:00:00-07:00 2016-18700 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-08-08/pdf/2016-18700.pdf https://regulations.justia.com/regulations/fedreg/2016/08/08/2016-18699.html Notice - Self-Regulatory Organizations; Bats BYX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Reflect the Dissolution of One of the Exchange's Intermediate Holding Companies, Direct Edge Holdings LLC 2016-08-08T00:00:00-07:00 2016-08-08T00:00:00-07:00 2016-18699 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-08-08/pdf/2016-18699.pdf https://regulations.justia.com/regulations/fedreg/2016/08/08/2016-18698.html Notice - Self-Regulatory Organizations; Bats BZX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Reflect the Dissolution of One of the Exchange's Intermediate Holding Companies, Direct Edge Holdings LLC 2016-08-08T00:00:00-07:00 2016-08-08T00:00:00-07:00 2016-18698 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-08-08/pdf/2016-18698.pdf https://regulations.justia.com/regulations/fedreg/2016/08/08/2016-18697.html Notice - Self-Regulatory Organizations; Bats BZX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Extend the Pilot Period for the Exchange's Supplemental Competitive Liquidity Provider Program 2016-08-08T00:00:00-07:00 2016-08-08T00:00:00-07:00 2016-18697 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-08-08/pdf/2016-18697.pdf https://regulations.justia.com/regulations/fedreg/2016/08/08/2016-18683.html Notice - Managed Portfolio Series and Port Street Investments, LLC; Notice of Application 2016-08-08T00:00:00-07:00 2016-08-08T00:00:00-07:00 2016-18683 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-08-08/pdf/2016-18683.pdf https://regulations.justia.com/regulations/fedreg/2016/08/05/C1-2016-17908.html 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 2016-08-05T00:00:00-07:00 2016-08-05T00:00:00-07:00 C1-2016-17908 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-08-05/pdf/C1-2016-17908.pdf https://regulations.justia.com/regulations/fedreg/2016/08/05/2016-18571.html Notice - Self-Regulatory Organizations; Bats BZX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the Options Regulatory Fee 2016-08-05T00:00:00-07:00 2016-08-05T00:00:00-07:00 2016-18571 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-08-05/pdf/2016-18571.pdf https://regulations.justia.com/regulations/fedreg/2016/08/05/2016-18570.html Notice - Self-Regulatory Organizations; Bats EDGX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Adopt an Options Regulatory Fee 2016-08-05T00:00:00-07:00 2016-08-05T00:00:00-07:00 2016-18570 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-08-05/pdf/2016-18570.pdf https://regulations.justia.com/regulations/fedreg/2016/08/05/2016-18569.html 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 Eaton Vance Floating-Rate & High Income NextShares of the Eaton Vance NextShares Trust II 2016-08-05T00:00:00-07:00 2016-08-05T00:00:00-07:00 2016-18569 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-08-05/pdf/2016-18569.pdf https://regulations.justia.com/regulations/fedreg/2016/08/05/2016-18568.html Notice - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to the Series 9/10 Examination Program 2016-08-05T00:00:00-07:00 2016-08-05T00:00:00-07:00 2016-18568 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-08-05/pdf/2016-18568.pdf https://regulations.justia.com/regulations/fedreg/2016/08/05/2016-18567.html Notice - Self-Regulatory Organizations; BOX Options Exchange LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the BOX Rules Regarding Participants and Associated Persons Who Are or Become Subject to a Statutory Disqualification 2016-08-05T00:00:00-07:00 2016-08-05T00:00:00-07:00 2016-18567 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-08-05/pdf/2016-18567.pdf https://regulations.justia.com/regulations/fedreg/2016/08/04/2016-18477.html 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. 2016-08-04T00:00:00-07:00 2016-08-04T00:00:00-07:00 2016-18477 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-08-04/pdf/2016-18477.pdf https://regulations.justia.com/regulations/fedreg/2016/08/04/2016-18475.html 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 2016-08-04T00:00:00-07:00 2016-08-04T00:00:00-07:00 2016-18475 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-08-04/pdf/2016-18475.pdf https://regulations.justia.com/regulations/fedreg/2016/08/04/2016-18474.html 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 2016-08-04T00:00:00-07:00 2016-08-04T00:00:00-07:00 2016-18474 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-08-04/pdf/2016-18474.pdf https://regulations.justia.com/regulations/fedreg/2016/08/04/2016-18473.html 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 2016-08-04T00:00:00-07:00 2016-08-04T00:00:00-07:00 2016-18473 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-08-04/pdf/2016-18473.pdf https://regulations.justia.com/regulations/fedreg/2016/08/04/2016-18472.html 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 2016-08-04T00:00:00-07:00 2016-08-04T00:00:00-07:00 2016-18472 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-08-04/pdf/2016-18472.pdf https://regulations.justia.com/regulations/fedreg/2016/08/04/2016-18471.html 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 2016-08-04T00:00:00-07:00 2016-08-04T00:00:00-07:00 2016-18471 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-08-04/pdf/2016-18471.pdf https://regulations.justia.com/regulations/fedreg/2016/08/04/2016-18470.html 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 2016-08-04T00:00:00-07:00 2016-08-04T00:00:00-07:00 2016-18470 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-08-04/pdf/2016-18470.pdf https://regulations.justia.com/regulations/fedreg/2016/08/04/2016-18469.html 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 2016-08-04T00:00:00-07:00 2016-08-04T00:00:00-07:00 2016-18469 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-08-04/pdf/2016-18469.pdf https://regulations.justia.com/regulations/fedreg/2016/08/04/2016-18468.html Notice - Notice of Applications for Deregistration Under Section 8(f) of the Investment Company Act of 1940 2016-08-04T00:00:00-07:00 2016-08-04T00:00:00-07:00 2016-18468 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-08-04/pdf/2016-18468.pdf https://regulations.justia.com/regulations/fedreg/2016/08/04/2016-18467.html Notice - Bain Capital Specialty Finance, Inc., et al.; Notice of Application 2016-08-04T00:00:00-07:00 2016-08-04T00:00:00-07:00 2016-18467 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-08-04/pdf/2016-18467.pdf https://regulations.justia.com/regulations/fedreg/2016/08/04/2016-18466.html Notice - Investment Managers Series Trust and SilverPepper LLC; Notice of Application 2016-08-04T00:00:00-07:00 2016-08-04T00:00:00-07:00 2016-18466 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-08-04/pdf/2016-18466.pdf https://regulations.justia.com/regulations/fedreg/2016/08/04/2016-16964.html Proposed Rule - Disclosure Update and Simplification 2016-08-04T00:00:00-07:00 2016-08-04T00:00:00-07:00 2016-16964 Proposed Rule https://www.gpo.gov/fdsys/pkg/FR-2016-08-04/pdf/2016-16964.pdf https://regulations.justia.com/regulations/fedreg/2016/08/03/2016-18321.html Notice - CSat Investment Advisory, L.P., et al.; Notice of Application 2016-08-03T00:00:00-07:00 2016-08-03T00:00:00-07:00 2016-18321 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-08-03/pdf/2016-18321.pdf https://regulations.justia.com/regulations/fedreg/2016/08/03/2016-18320.html Notice - Self-Regulatory Organizations; The Options Clearing Corporation; Notice of Filing of Proposed Rule Change Concerning Enhancements to The Options Clearing Corporation's Governance Arrangements 2016-08-03T00:00:00-07:00 2016-08-03T00:00:00-07:00 2016-18320 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-08-03/pdf/2016-18320.pdf