Securities and Exchange Commission September 14, 2016 – Federal Register Recent Federal Regulation Documents

Results 1 - 14 of 14
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
Document Number: C1-2016-20062
Type: Notice
Date: 2016-09-14
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2016/09/14/C1-2016-20062.html
Proposed Collection; Comment Request
Document Number: 2016-22038
Type: Notice
Date: 2016-09-14
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2016/09/14/2016-22038.html
Proposed Collection; Comment Request
Document Number: 2016-22037
Type: Notice
Date: 2016-09-14
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2016/09/14/2016-22037.html
MIAX PEARL, LLC; Notice of Filing of Application for Registration as a National Securities Exchange Under Section 6 of the Securities Exchange Act of 1934
Document Number: 2016-22034
Type: Notice
Date: 2016-09-14
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2016/09/14/2016-22034.html
Self-Regulatory Organizations; Bats BZX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Related to Fees for Use of Bats BZX Exchange, Inc.
Document Number: 2016-22033
Type: Notice
Date: 2016-09-14
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2016/09/14/2016-22033.html
Self-Regulatory Organizations; ISE Mercury, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Add Specificity to the Definition of a Professional in the Exchange's Rules
Document Number: 2016-22032
Type: Notice
Date: 2016-09-14
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2016/09/14/2016-22032.html
Self-Regulatory Organizations; ISE Gemini, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Exchange Rule 100(a)(37C) (Definitions) To Add Specificity to the Definition of a Professional
Document Number: 2016-22031
Type: Notice
Date: 2016-09-14
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2016/09/14/2016-22031.html
Self-Regulatory Organizations; Bats EDGX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Fees for Use of Bats EDGX Exchange, Inc.
Document Number: 2016-22030
Type: Notice
Date: 2016-09-14
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2016/09/14/2016-22030.html
Self-Regulatory Organizations; International Securities Exchange, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Add Specificity to the Definition of a Professional in the Exchange's Rules
Document Number: 2016-22029
Type: Notice
Date: 2016-09-14
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2016/09/14/2016-22029.html
Self-Regulatory Organizations; Bats BZX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Related to Fees for Use of Bats BZX Exchange, Inc.
Document Number: 2016-22028
Type: Notice
Date: 2016-09-14
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2016/09/14/2016-22028.html
Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the Fees Schedule
Document Number: 2016-22027
Type: Notice
Date: 2016-09-14
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2016/09/14/2016-22027.html
Self-Regulatory Organizations; C2 Options Exchange, Incorporated; Notice of Filing and Immediate Effectiveness of a Proposed Rule To Amend the Fees Schedule
Document Number: 2016-22026
Type: Notice
Date: 2016-09-14
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2016/09/14/2016-22026.html
Self-Regulatory Organizations; NASDAQ PHLX LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to the Exchange's Pricing Schedule Under Section VIII With Respect To Execution and Routing of Orders in Securities Priced at $1 or More Per Share
Document Number: 2016-22025
Type: Notice
Date: 2016-09-14
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2016/09/14/2016-22025.html
Advisors Series Trust and Orinda Asset Management, LLC; Notice of Intention To Rescind an Order
Document Number: 2016-22009
Type: Notice
Date: 2016-09-14
Agency: Securities and Exchange Commission, Agencies and Commissions
At the request of Advisors Series Trust (``AST'') and Orinda Asset Management, LLC (``Orinda,'' and together, the ``Applicants''), the Commission intends to rescind an order previously issued to Applicants under section 6(c) of the Act that granted an exemption from section 15(a) of the Act and rule 18f-2 under the Act, as well as from certain disclosure requirements.\1\
https://regulations.justia.com/regulations/fedreg/2016/09/14/2016-22009.html
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