Federal Register Recent Federal Regulation Documents - Justia Regulation Tracker - Justia Regulations Trackerhttps://regulations.justia.com/regulations/fedreg/agencies/securities-and-exchange-commission/2016/09?limit=200®isters=between&min-day=1&max-day=30&mode=atom2024-04-22T22:28:44-07:00Justia Inchttps://www.justia.com/Justia Regulations Trackerhttps://regulations.justia.com/images/justiafedregulations.gifCopyright 2011 Justia Inchttps://regulations.justia.com/regulations/fedreg/2016/09/30/2016-23615.htmlNotice - Self-Regulatory Organizations; The Depository Trust Company; Notice of Filing of Amendment No. 1 and Order Granting Accelerated Approval of a Proposed Rule Change, as Modified by Amendment No. 1, 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 Agent2016-09-30T00:00:00-07:002016-09-30T00:00:00-07:002016-23615Noticehttps://www.gpo.gov/fdsys/pkg/FR-2016-09-30/pdf/2016-23615.pdfhttps://regulations.justia.com/regulations/fedreg/2016/09/30/2016-23611.htmlNotice - SerenityShares Investments LLC, et al.; Notice of Application2016-09-30T00:00:00-07:002016-09-30T00:00:00-07:002016-23611Noticehttps://www.gpo.gov/fdsys/pkg/FR-2016-09-30/pdf/2016-23611.pdfhttps://regulations.justia.com/regulations/fedreg/2016/09/30/2016-23610.htmlNotice - Self-Regulatory Organizations; National Stock Exchange, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the Fee and Rebate Schedule To Create a Liquidity-Adding Volume Threshold To Benefit From the Current Liquidity Taking Fee in Securities Priced $1.00 or Greater2016-09-30T00:00:00-07:002016-09-30T00:00:00-07:002016-23610Noticehttps://www.gpo.gov/fdsys/pkg/FR-2016-09-30/pdf/2016-23610.pdfhttps://regulations.justia.com/regulations/fedreg/2016/09/30/2016-23609.htmlNotice - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to the Fees Schedule2016-09-30T00:00:00-07:002016-09-30T00:00:00-07:002016-23609Noticehttps://www.gpo.gov/fdsys/pkg/FR-2016-09-30/pdf/2016-23609.pdfhttps://regulations.justia.com/regulations/fedreg/2016/09/30/2016-23562.htmlRule - Adoption of Updated EDGAR Filer Manual2016-09-30T00:00:00-07:002016-09-30T00:00:00-07:002016-23562Rulehttps://www.gpo.gov/fdsys/pkg/FR-2016-09-30/pdf/2016-23562.pdfhttps://regulations.justia.com/regulations/fedreg/2016/09/29/2016-23697.htmlNotice - Sunshine Act Meeting2016-09-29T00:00:00-07:002016-09-29T00:00:00-07:002016-23697Noticehttps://www.gpo.gov/fdsys/pkg/FR-2016-09-29/pdf/2016-23697.pdfhttps://regulations.justia.com/regulations/fedreg/2016/09/29/2016-23696.htmlNotice - Order of Suspension of Trading; i n the Matter of Accel Brands, Inc.2016-09-29T00:00:00-07:002016-09-29T00:00:00-07:002016-23696Noticehttps://www.gpo.gov/fdsys/pkg/FR-2016-09-29/pdf/2016-23696.pdfhttps://regulations.justia.com/regulations/fedreg/2016/09/29/2016-23499.htmlNotice - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Order Granting Approval of Proposed Rule Change Relating to TRACE Reporting and Dissemination of CMO Transactions2016-09-29T00:00:00-07:002016-09-29T00:00:00-07:002016-23499Noticehttps://www.gpo.gov/fdsys/pkg/FR-2016-09-29/pdf/2016-23499.pdfhttps://regulations.justia.com/regulations/fedreg/2016/09/29/2016-23498.htmlNotice - Self-Regulatory Organizations; International Securities Exchange, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Adopt a Rule To Prohibit Disruptive Quoting and Trading Activity and Allow the Exchange To Take Prompt Action2016-09-29T00:00:00-07:002016-09-29T00:00:00-07:002016-23498Noticehttps://www.gpo.gov/fdsys/pkg/FR-2016-09-29/pdf/2016-23498.pdfhttps://regulations.justia.com/regulations/fedreg/2016/09/29/2016-23497.htmlNotice - Self-Regulatory Organizations; Miami International Securities Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Its Fee Schedule To Modify the Exchange's Connectivity Fees2016-09-29T00:00:00-07:002016-09-29T00:00:00-07:002016-23497Noticehttps://www.gpo.gov/fdsys/pkg/FR-2016-09-29/pdf/2016-23497.pdfhttps://regulations.justia.com/regulations/fedreg/2016/09/29/2016-23496.htmlNotice - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Order Granting Approval of a Proposed Rule Change To Amend Nasdaq Rule 5735 To Adopt Generic Listing Standards for Managed Fund Shares2016-09-29T00:00:00-07:002016-09-29T00:00:00-07:002016-23496Noticehttps://www.gpo.gov/fdsys/pkg/FR-2016-09-29/pdf/2016-23496.pdfhttps://regulations.justia.com/regulations/fedreg/2016/09/29/2016-23495.htmlNotice - Self-Regulatory Organizations; NYSE MKT LLC; Order Granting Approval of Proposed Rule Change, as Modified by Amendment No. 1 and Partial Amendment No. 2, Amending Exchange Rule 49 Regarding the Exchange's: (1) Emergency Powers; (2) Disaster Recovery Plans; and (3) Backup Systems and Mandatory Testing2016-09-29T00:00:00-07:002016-09-29T00:00:00-07:002016-23495Noticehttps://www.gpo.gov/fdsys/pkg/FR-2016-09-29/pdf/2016-23495.pdfhttps://regulations.justia.com/regulations/fedreg/2016/09/29/2016-23494.htmlNotice - Self-Regulatory Organizations; New York Stock Exchange LLC; Order Granting Approval of Proposed Rule Change, as Modified by Amendment No. 1 and Partial Amendment No. 2, Amending Exchange Rule 49 Regarding the Exchange's: (1) Emergency Powers; (2) Disaster Recovery Plans; and (3) Backup Systems and Mandatory Testing2016-09-29T00:00:00-07:002016-09-29T00:00:00-07:002016-23494Noticehttps://www.gpo.gov/fdsys/pkg/FR-2016-09-29/pdf/2016-23494.pdfhttps://regulations.justia.com/regulations/fedreg/2016/09/29/2016-23493.htmlNotice - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Correct Rule 3.6A2016-09-29T00:00:00-07:002016-09-29T00:00:00-07:002016-23493Noticehttps://www.gpo.gov/fdsys/pkg/FR-2016-09-29/pdf/2016-23493.pdfhttps://regulations.justia.com/regulations/fedreg/2016/09/29/2016-23491.htmlNotice - Self-Regulatory Organizations; NYSE MKT LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Add to the Rules of the Exchange the Tenth Amended and Restated Operating Agreement of the New York Stock Exchange LLC2016-09-29T00:00:00-07:002016-09-29T00:00:00-07:002016-23491Noticehttps://www.gpo.gov/fdsys/pkg/FR-2016-09-29/pdf/2016-23491.pdfhttps://regulations.justia.com/regulations/fedreg/2016/09/29/2016-23490.htmlNotice - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Nasdaq's Fees at Rule 7014(f)2016-09-29T00:00:00-07:002016-09-29T00:00:00-07:002016-23490Noticehttps://www.gpo.gov/fdsys/pkg/FR-2016-09-29/pdf/2016-23490.pdfhttps://regulations.justia.com/regulations/fedreg/2016/09/29/2016-23489.htmlProposed Rule - Extension of Comment Period for Disclosure Update and Simplification2016-09-29T00:00:00-07:002016-09-29T00:00:00-07:002016-23489Proposed Rulehttps://www.gpo.gov/fdsys/pkg/FR-2016-09-29/pdf/2016-23489.pdfhttps://regulations.justia.com/regulations/fedreg/2016/09/28/2016-23561.htmlNotice - Order of Suspension of Trading2016-09-28T00:00:00-07:002016-09-28T00:00:00-07:002016-23561Noticehttps://www.gpo.gov/fdsys/pkg/FR-2016-09-28/pdf/2016-23561.pdfhttps://regulations.justia.com/regulations/fedreg/2016/09/28/2016-23324.htmlNotice - Self-Regulatory Organizations; NASDAQ BX, Inc.; Notice of Filing of Proposed Rule Change To Amend BX Rules 4702 and 47032016-09-28T00:00:00-07:002016-09-28T00:00:00-07:002016-23324Noticehttps://www.gpo.gov/fdsys/pkg/FR-2016-09-28/pdf/2016-23324.pdfhttps://regulations.justia.com/regulations/fedreg/2016/09/28/2016-23323.htmlNotice - Self-Regulatory Organizations; The Nasdaq Stock Market LLC; Notice of Filing of Proposed Rule Change To Amend Nasdaq Rules 4702 and 47032016-09-28T00:00:00-07:002016-09-28T00:00:00-07:002016-23323Noticehttps://www.gpo.gov/fdsys/pkg/FR-2016-09-28/pdf/2016-23323.pdfhttps://regulations.justia.com/regulations/fedreg/2016/09/28/2016-23322.htmlNotice - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the Fees Schedule2016-09-28T00:00:00-07:002016-09-28T00:00:00-07:002016-23322Noticehttps://www.gpo.gov/fdsys/pkg/FR-2016-09-28/pdf/2016-23322.pdfhttps://regulations.justia.com/regulations/fedreg/2016/09/28/2016-23225.htmlRule - Political Contributions by Certain Investment Advisers: Ban on Third-Party Solicitation; Order With Respect to FINRA Rule 20302016-09-28T00:00:00-07:002016-09-28T00:00:00-07:002016-23225Rulehttps://www.gpo.gov/fdsys/pkg/FR-2016-09-28/pdf/2016-23225.pdfhttps://regulations.justia.com/regulations/fedreg/2016/09/28/2016-23224.htmlRule - Political Contributions by Certain Investment Advisers: Ban on Third-Party Solicitation; Order With Respect to MSRB Rule G-372016-09-28T00:00:00-07:002016-09-28T00:00:00-07:002016-23224Rulehttps://www.gpo.gov/fdsys/pkg/FR-2016-09-28/pdf/2016-23224.pdfhttps://regulations.justia.com/regulations/fedreg/2016/09/27/2016-23223.htmlNotice - Self-Regulatory Organizations; The Options Clearing Corporation; Notice of Filing of Advance Notice of and No Objection to the Options Clearing Corporation's Proposal To Enter Into a New Credit Facility Agreement2016-09-27T00:00:00-07:002016-09-27T00:00:00-07:002016-23223Noticehttps://www.gpo.gov/fdsys/pkg/FR-2016-09-27/pdf/2016-23223.pdfhttps://regulations.justia.com/regulations/fedreg/2016/09/27/2016-23222.htmlNotice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending the NYSE Arca Equities Schedule of Fees and Charges for Exchange Services2016-09-27T00:00:00-07:002016-09-27T00:00:00-07:002016-23222Noticehttps://www.gpo.gov/fdsys/pkg/FR-2016-09-27/pdf/2016-23222.pdfhttps://regulations.justia.com/regulations/fedreg/2016/09/26/2016-23326.htmlNotice - Sunshine Act Meeting2016-09-26T00:00:00-07:002016-09-26T00:00:00-07:002016-23326Noticehttps://www.gpo.gov/fdsys/pkg/FR-2016-09-26/pdf/2016-23326.pdfhttps://regulations.justia.com/regulations/fedreg/2016/09/26/2016-23325.htmlNotice - Sunshine Act Meeting2016-09-26T00:00:00-07:002016-09-26T00:00:00-07:002016-23325Noticehttps://www.gpo.gov/fdsys/pkg/FR-2016-09-26/pdf/2016-23325.pdfhttps://regulations.justia.com/regulations/fedreg/2016/09/26/2016-23047.htmlNotice - Self-Regulatory Organizations; NYSE Arca, Inc.; NYSE MKT LLC; Order Approving Proposed Rule Changes To Provide for the Rejection of Certain Electronic Complex Orders2016-09-26T00:00:00-07:002016-09-26T00:00:00-07:002016-23047Noticehttps://www.gpo.gov/fdsys/pkg/FR-2016-09-26/pdf/2016-23047.pdfhttps://regulations.justia.com/regulations/fedreg/2016/09/26/2016-23046.htmlNotice - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing of Amendment No. 1 to Proposed Rule Change Amending the Co-Location Services Offered by the Exchange To Add Certain Access and Connectivity Fees2016-09-26T00:00:00-07:002016-09-26T00:00:00-07:002016-23046Noticehttps://www.gpo.gov/fdsys/pkg/FR-2016-09-26/pdf/2016-23046.pdfhttps://regulations.justia.com/regulations/fedreg/2016/09/26/2016-23045.htmlNotice - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Order Granting Approval of a Proposed Rule Change, as Modified by Amendment Nos. 1 and 2, To Add Nasdaq Rule 7046 (Nasdaq Trading Insights)2016-09-26T00:00:00-07:002016-09-26T00:00:00-07:002016-23045Noticehttps://www.gpo.gov/fdsys/pkg/FR-2016-09-26/pdf/2016-23045.pdfhttps://regulations.justia.com/regulations/fedreg/2016/09/26/2016-23044.htmlNotice - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Filing of a Proposed Rule Change Relating to SPX Combo Orders2016-09-26T00:00:00-07:002016-09-26T00:00:00-07:002016-23044Noticehttps://www.gpo.gov/fdsys/pkg/FR-2016-09-26/pdf/2016-23044.pdfhttps://regulations.justia.com/regulations/fedreg/2016/09/26/2016-23043.htmlNotice - Order Granting Limited Exemptions From Exchange Act Rule 10b-17 and Rules 101 and 102 of Regulation M to Amplify YieldShares Prime 5 Dividend ETF Pursuant to Exchange Act Rule 10b-17(b)(2) and Rules 101(d) and 102(e) of Regulation M2016-09-26T00:00:00-07:002016-09-26T00:00:00-07:002016-23043Noticehttps://www.gpo.gov/fdsys/pkg/FR-2016-09-26/pdf/2016-23043.pdfhttps://regulations.justia.com/regulations/fedreg/2016/09/23/2016-22905.htmlNotice - Altegris KKR Commitments Master Fund, et al.; Notice of Application2016-09-23T00:00:00-07:002016-09-23T00:00:00-07:002016-22905Noticehttps://www.gpo.gov/fdsys/pkg/FR-2016-09-23/pdf/2016-22905.pdfhttps://regulations.justia.com/regulations/fedreg/2016/09/23/2016-22904.htmlNotice - Self-Regulatory Organizations; ICE Clear Europe Limited; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to the F&O Intraday Risk Management Policy2016-09-23T00:00:00-07:002016-09-23T00:00:00-07:002016-22904Noticehttps://www.gpo.gov/fdsys/pkg/FR-2016-09-23/pdf/2016-22904.pdfhttps://regulations.justia.com/regulations/fedreg/2016/09/22/2016-22793.htmlNotice - Northern Lights Fund Trust and Dearborn Capital Management, LLC; Notice of Application2016-09-22T00:00:00-07:002016-09-22T00:00:00-07:002016-22793Noticehttps://www.gpo.gov/fdsys/pkg/FR-2016-09-22/pdf/2016-22793.pdfhttps://regulations.justia.com/regulations/fedreg/2016/09/22/2016-22792.htmlNotice - Self-Regulatory Organizations; The Options Clearing Corporation; Order Approving Proposed Rule Change, as Modified by Amendment No. 1, Concerning Enhancements to The Options Clearing Corporation's Governance Arrangements2016-09-22T00:00:00-07:002016-09-22T00:00:00-07:002016-22792Noticehttps://www.gpo.gov/fdsys/pkg/FR-2016-09-22/pdf/2016-22792.pdfhttps://regulations.justia.com/regulations/fedreg/2016/09/22/2016-22791.htmlNotice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Rule 7.35P (Auctions) Regarding Indicative Match Price2016-09-22T00:00:00-07:002016-09-22T00:00:00-07:002016-22791Noticehttps://www.gpo.gov/fdsys/pkg/FR-2016-09-22/pdf/2016-22791.pdfhttps://regulations.justia.com/regulations/fedreg/2016/09/22/2016-22790.htmlNotice - Self-Regulatory Organizations; Chicago Stock Exchange, Inc.; Notice of Filing of Proposed Rule Change To Adopt the CHX Liquidity Taking Access Delay2016-09-22T00:00:00-07:002016-09-22T00:00:00-07:002016-22790Noticehttps://www.gpo.gov/fdsys/pkg/FR-2016-09-22/pdf/2016-22790.pdfhttps://regulations.justia.com/regulations/fedreg/2016/09/22/2016-22789.htmlNotice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing of Amendment No. 2 to a Proposed Rule Change To List and Trade Shares of the Global Currency Gold Fund Under NYSE Arca Equities Rule 8.201, and Order Instituting Proceedings To Determine Whether To Approve or Disapprove Proposed Rule Change, as Modified by Amendment No. 22016-09-22T00:00:00-07:002016-09-22T00:00:00-07:002016-22789Noticehttps://www.gpo.gov/fdsys/pkg/FR-2016-09-22/pdf/2016-22789.pdfhttps://regulations.justia.com/regulations/fedreg/2016/09/21/2016-22906.htmlNotice - Sunshine Act Meeting; Additional Item2016-09-21T00:00:00-07:002016-09-21T00:00:00-07:002016-22906Noticehttps://www.gpo.gov/fdsys/pkg/FR-2016-09-21/pdf/2016-22906.pdfhttps://regulations.justia.com/regulations/fedreg/2016/09/21/2016-22730.htmlNotice - Self-Regulatory Organizations; New York Stock Exchange LLC; Order Granting Approval of 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 Floor2016-09-21T00:00:00-07:002016-09-21T00:00:00-07:002016-22730Noticehttps://www.gpo.gov/fdsys/pkg/FR-2016-09-21/pdf/2016-22730.pdfhttps://regulations.justia.com/regulations/fedreg/2016/09/21/2016-22729.htmlNotice - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Adopt NASD Interpretive Material 2210-2 as FINRA Rule 2211 (Communications With the Public About Variable Life Insurance and Variable Annuities) in the Consolidated FINRA Rulebook2016-09-21T00:00:00-07:002016-09-21T00:00:00-07:002016-22729Noticehttps://www.gpo.gov/fdsys/pkg/FR-2016-09-21/pdf/2016-22729.pdfhttps://regulations.justia.com/regulations/fedreg/2016/09/21/2016-22657.htmlNotice - Self-Regulatory Organizations; Bats EDGX Exchange, Inc.; Suspension of and Order Instituting Proceedings To Determine Whether To Approve or Disapprove a Proposed Rule Change To Adopt an Options Regulatory Fee2016-09-21T00:00:00-07:002016-09-21T00:00:00-07:002016-22657Noticehttps://www.gpo.gov/fdsys/pkg/FR-2016-09-21/pdf/2016-22657.pdfhttps://regulations.justia.com/regulations/fedreg/2016/09/21/2016-22656.htmlNotice - Self-Regulatory Organizations; Bats BZX Exchange, Inc.; Suspension of and Order Instituting Proceedings To Determine Whether To Approve or Disapprove a Proposed Rule Change To Modify the Options Regulatory Fee2016-09-21T00:00:00-07:002016-09-21T00:00:00-07:002016-22656Noticehttps://www.gpo.gov/fdsys/pkg/FR-2016-09-21/pdf/2016-22656.pdfhttps://regulations.justia.com/regulations/fedreg/2016/09/20/2016-22731.htmlNotice - In the Matter of All Energy Corp., and As Seen On TV, Inc.; Order of Suspension of Trading2016-09-20T00:00:00-07:002016-09-20T00:00:00-07:002016-22731Noticehttps://www.gpo.gov/fdsys/pkg/FR-2016-09-20/pdf/2016-22731.pdfhttps://regulations.justia.com/regulations/fedreg/2016/09/20/2016-22625.htmlNotice - Submission for OMB Review; Comment Request2016-09-20T00:00:00-07:002016-09-20T00:00:00-07:002016-22625Noticehttps://www.gpo.gov/fdsys/pkg/FR-2016-09-20/pdf/2016-22625.pdfhttps://regulations.justia.com/regulations/fedreg/2016/09/20/2016-22624.htmlNotice - Self-Regulatory Organizations; Bats BZX Exchange, Inc.; Notice of Filing of Amendment No. 1, and Order Granting Accelerated Approval of a Proposed Rule Change, as Modified by Amendments No. 1 and No. 2, to BZX Rule 14.1(i), Managed Fund Shares, To List and Trade Shares of the ProShares Crude Oil Strategy ETF2016-09-20T00:00:00-07:002016-09-20T00:00:00-07:002016-22624Noticehttps://www.gpo.gov/fdsys/pkg/FR-2016-09-20/pdf/2016-22624.pdfhttps://regulations.justia.com/regulations/fedreg/2016/09/20/2016-22623.htmlNotice - Self-Regulatory Organizations; ICE Clear Credit LLC; Notice of Designation of Longer Period for Commission Action on Proposed Rule Change To Revise the ICC Risk Management Model Description Document and the ICC Risk Management Framework2016-09-20T00:00:00-07:002016-09-20T00:00:00-07:002016-22623Noticehttps://www.gpo.gov/fdsys/pkg/FR-2016-09-20/pdf/2016-22623.pdfhttps://regulations.justia.com/regulations/fedreg/2016/09/20/2016-22563.htmlProposed Rule - List of Rules To Be Reviewed Pursuant to the Regulatory Flexibility Act2016-09-20T00:00:00-07:002016-09-20T00:00:00-07:002016-22563Proposed Rulehttps://www.gpo.gov/fdsys/pkg/FR-2016-09-20/pdf/2016-22563.pdfhttps://regulations.justia.com/regulations/fedreg/2016/09/20/2016-22562.htmlNotice - SEC Advisory Committee on Small and Emerging Companies2016-09-20T00:00:00-07:002016-09-20T00:00:00-07:002016-22562Noticehttps://www.gpo.gov/fdsys/pkg/FR-2016-09-20/pdf/2016-22562.pdfhttps://regulations.justia.com/regulations/fedreg/2016/09/20/2016-22543.htmlNotice - Submission for OMB Review; Comment Request2016-09-20T00:00:00-07:002016-09-20T00:00:00-07:002016-22543Noticehttps://www.gpo.gov/fdsys/pkg/FR-2016-09-20/pdf/2016-22543.pdfhttps://regulations.justia.com/regulations/fedreg/2016/09/20/2016-22542.htmlNotice - Global X Funds, et al.; Notice of Application2016-09-20T00:00:00-07:002016-09-20T00:00:00-07:002016-22542Noticehttps://www.gpo.gov/fdsys/pkg/FR-2016-09-20/pdf/2016-22542.pdfhttps://regulations.justia.com/regulations/fedreg/2016/09/20/2016-22541.htmlNotice - Submission for OMB Review; Comment Request2016-09-20T00:00:00-07:002016-09-20T00:00:00-07:002016-22541Noticehttps://www.gpo.gov/fdsys/pkg/FR-2016-09-20/pdf/2016-22541.pdfhttps://regulations.justia.com/regulations/fedreg/2016/09/20/2016-22540.htmlNotice - Self-Regulatory Organizations; C2 Options Exchange, Incorporated; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend the Bylaws Title2016-09-20T00:00:00-07:002016-09-20T00:00:00-07:002016-22540Noticehttps://www.gpo.gov/fdsys/pkg/FR-2016-09-20/pdf/2016-22540.pdfhttps://regulations.justia.com/regulations/fedreg/2016/09/20/2016-22539.htmlNotice - 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 Direxion Daily Municipal Bond Taxable Bear 1X Fund Under NYSE Arca Equities Rule 5.2(j)(3)2016-09-20T00:00:00-07:002016-09-20T00:00:00-07:002016-22539Noticehttps://www.gpo.gov/fdsys/pkg/FR-2016-09-20/pdf/2016-22539.pdfhttps://regulations.justia.com/regulations/fedreg/2016/09/20/2016-22538.htmlNotice - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Filing of a Proposed Rule Change Relating to Price Protection Mechanisms and Risk Controls2016-09-20T00:00:00-07:002016-09-20T00:00:00-07:002016-22538Noticehttps://www.gpo.gov/fdsys/pkg/FR-2016-09-20/pdf/2016-22538.pdfhttps://regulations.justia.com/regulations/fedreg/2016/09/20/2016-22537.htmlNotice - Self-Regulatory Organizations; NASDAQ BX, Inc.; Notice of Filing of Proposed Rule Change To Describe Changes to System Functionality Necessary To Implement the Tick Size Pilot Program2016-09-20T00:00:00-07:002016-09-20T00:00:00-07:002016-22537Noticehttps://www.gpo.gov/fdsys/pkg/FR-2016-09-20/pdf/2016-22537.pdfhttps://regulations.justia.com/regulations/fedreg/2016/09/20/2016-22536.htmlNotice - Self-Regulatory Organizations; The Nasdaq Stock Market LLC; Notice of Filing of Proposed Rule Change To Describe Changes to System Functionality Necessary To Implement the Tick Size Pilot Program2016-09-20T00:00:00-07:002016-09-20T00:00:00-07:002016-22536Noticehttps://www.gpo.gov/fdsys/pkg/FR-2016-09-20/pdf/2016-22536.pdfhttps://regulations.justia.com/regulations/fedreg/2016/09/20/2016-22535.htmlNotice - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Order Approving Proposed Rule Change To Amend Rule 12403 (Cases With Three Arbitrators) of the Code of Arbitration Procedure for Customer Disputes Relating to the Panel Selection Process in Arbitration2016-09-20T00:00:00-07:002016-09-20T00:00:00-07:002016-22535Noticehttps://www.gpo.gov/fdsys/pkg/FR-2016-09-20/pdf/2016-22535.pdfhttps://regulations.justia.com/regulations/fedreg/2016/09/20/2016-22534.htmlNotice - Self-Regulatory Organizations; NASDAQ PHLX LLC; Notice of Filing of Proposed Rule Change To Describe Changes to System Functionality Necessary To Implement the Tick Size Pilot Program2016-09-20T00:00:00-07:002016-09-20T00:00:00-07:002016-22534Noticehttps://www.gpo.gov/fdsys/pkg/FR-2016-09-20/pdf/2016-22534.pdfhttps://regulations.justia.com/regulations/fedreg/2016/09/20/2016-22533.htmlNotice - Self-Regulatory Organizations; The Options Clearing Corporation; Notice of Filing of Advance Notice Concerning the Options Clearing Corporation's Escrow Deposit Program2016-09-20T00:00:00-07:002016-09-20T00:00:00-07:002016-22533Noticehttps://www.gpo.gov/fdsys/pkg/FR-2016-09-20/pdf/2016-22533.pdfhttps://regulations.justia.com/regulations/fedreg/2016/09/19/2016-22659.htmlNotice - Sunshine Act Meeting2016-09-19T00:00:00-07:002016-09-19T00:00:00-07:002016-22659Noticehttps://www.gpo.gov/fdsys/pkg/FR-2016-09-19/pdf/2016-22659.pdfhttps://regulations.justia.com/regulations/fedreg/2016/09/19/2016-22427.htmlNotice - AB Private Credit Investors Corporation, et al.; Notice of Application2016-09-19T00:00:00-07:002016-09-19T00:00:00-07:002016-22427Noticehttps://www.gpo.gov/fdsys/pkg/FR-2016-09-19/pdf/2016-22427.pdfhttps://regulations.justia.com/regulations/fedreg/2016/09/19/2016-22426.htmlNotice - OFS Capital Corporation, et al.; Notice of Application2016-09-19T00:00:00-07:002016-09-19T00:00:00-07:002016-22426Noticehttps://www.gpo.gov/fdsys/pkg/FR-2016-09-19/pdf/2016-22426.pdfhttps://regulations.justia.com/regulations/fedreg/2016/09/19/2016-22424.htmlNotice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Extend the Deadline for Implementing Rule 6.61(a)(2) and (3) Until September 30, 20162016-09-19T00:00:00-07:002016-09-19T00:00:00-07:002016-22424Noticehttps://www.gpo.gov/fdsys/pkg/FR-2016-09-19/pdf/2016-22424.pdfhttps://regulations.justia.com/regulations/fedreg/2016/09/19/2016-22423.htmlNotice - 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 To Change the Liquidity Fee and Credit Structure for PIP and COPIP Transactions2016-09-19T00:00:00-07:002016-09-19T00:00:00-07:002016-22423Noticehttps://www.gpo.gov/fdsys/pkg/FR-2016-09-19/pdf/2016-22423.pdfhttps://regulations.justia.com/regulations/fedreg/2016/09/19/2016-22422.htmlNotice - Self-Regulatory Organizations; NYSE MKT LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Extend the Deadline for Implementing Rule 967.1NY(a)(2) and (3) Until September 30, 20162016-09-19T00:00:00-07:002016-09-19T00:00:00-07:002016-22422Noticehttps://www.gpo.gov/fdsys/pkg/FR-2016-09-19/pdf/2016-22422.pdfhttps://regulations.justia.com/regulations/fedreg/2016/09/19/2016-22421.htmlNotice - 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 To Change the Fees and Credits for Facilitation and Solicitation Transactions2016-09-19T00:00:00-07:002016-09-19T00:00:00-07:002016-22421Noticehttps://www.gpo.gov/fdsys/pkg/FR-2016-09-19/pdf/2016-22421.pdfhttps://regulations.justia.com/regulations/fedreg/2016/09/19/2016-22420.htmlNotice - 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 To Specify That All Complex Order Transactions Executed Through the Exchange's Auction Mechanisms Will Be Subject to Section I (Exchange Fees) and II (Liquidity Fees and Credits)2016-09-19T00:00:00-07:002016-09-19T00:00:00-07:002016-22420Noticehttps://www.gpo.gov/fdsys/pkg/FR-2016-09-19/pdf/2016-22420.pdfhttps://regulations.justia.com/regulations/fedreg/2016/09/19/2016-22419.htmlNotice - 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, To Establish the MSRB Academic Historical Transaction Data Product2016-09-19T00:00:00-07:002016-09-19T00:00:00-07:002016-22419Noticehttps://www.gpo.gov/fdsys/pkg/FR-2016-09-19/pdf/2016-22419.pdfhttps://regulations.justia.com/regulations/fedreg/2016/09/19/2016-22418.htmlNotice - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing of Partial Amendment No. 1 and Order Granting Accelerated Approval of a Proposed Rule Change Amending FINRA Rules 2210 (Communications With the Public), 2213 (Requirements for the Use of Bond Mutual Fund Volatility Ratings), and 2214 (Requirements for the Use of Investment Analysis Tools), as Modified by Partial Amendment No. 12016-09-19T00:00:00-07:002016-09-19T00:00:00-07:002016-22418Noticehttps://www.gpo.gov/fdsys/pkg/FR-2016-09-19/pdf/2016-22418.pdfhttps://regulations.justia.com/regulations/fedreg/2016/09/19/2016-22417.htmlNotice - Self-Regulatory Organizations; Investors Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Rule 11.340 To Modify Certain Data Collection Requirements of the Regulation NMS Plan To Implement a Tick Size Pilot Program2016-09-19T00:00:00-07:002016-09-19T00:00:00-07:002016-22417Noticehttps://www.gpo.gov/fdsys/pkg/FR-2016-09-19/pdf/2016-22417.pdfhttps://regulations.justia.com/regulations/fedreg/2016/09/19/2016-22416.htmlNotice - Self-Regulatory Organizations; NASDAQ BX, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Regarding Tiers Related to SPY Options2016-09-19T00:00:00-07:002016-09-19T00:00:00-07:002016-22416Noticehttps://www.gpo.gov/fdsys/pkg/FR-2016-09-19/pdf/2016-22416.pdfhttps://regulations.justia.com/regulations/fedreg/2016/09/16/2016-22257.htmlNotice - Self-Regulatory Organizations; ICE Clear Credit LLC; Notice of Filing of Proposed Rule Change To Provide for the Clearance of Additional Credit Default Swap Contracts2016-09-16T00:00:00-07:002016-09-16T00:00:00-07:002016-22257Noticehttps://www.gpo.gov/fdsys/pkg/FR-2016-09-16/pdf/2016-22257.pdfhttps://regulations.justia.com/regulations/fedreg/2016/09/16/2016-22256.htmlNotice - Self-Regulatory Organizations; NYSE MKT LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Rule 67-Equities To Modify Certain Data Collection Requirements of the Regulation NMS Plan To Implement a Tick Size Pilot Program2016-09-16T00:00:00-07:002016-09-16T00:00:00-07:002016-22256Noticehttps://www.gpo.gov/fdsys/pkg/FR-2016-09-16/pdf/2016-22256.pdfhttps://regulations.justia.com/regulations/fedreg/2016/09/16/2016-22255.htmlNotice - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Rule 47702016-09-16T00:00:00-07:002016-09-16T00:00:00-07:002016-22255Noticehttps://www.gpo.gov/fdsys/pkg/FR-2016-09-16/pdf/2016-22255.pdfhttps://regulations.justia.com/regulations/fedreg/2016/09/16/2016-22254.htmlNotice - Self-Regulatory Organizations; NASDAQ PHLX LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Rule 33172016-09-16T00:00:00-07:002016-09-16T00:00:00-07:002016-22254Noticehttps://www.gpo.gov/fdsys/pkg/FR-2016-09-16/pdf/2016-22254.pdfhttps://regulations.justia.com/regulations/fedreg/2016/09/16/2016-22253.htmlNotice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Rule 7.46 To Modify Certain Data Collection Requirements of the Regulation NMS Plan To Implement a Tick Size Pilot Program2016-09-16T00:00:00-07:002016-09-16T00:00:00-07:002016-22253Noticehttps://www.gpo.gov/fdsys/pkg/FR-2016-09-16/pdf/2016-22253.pdfhttps://regulations.justia.com/regulations/fedreg/2016/09/16/2016-22252.htmlNotice - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Rule 67 To Modify Certain Data Collection Requirements of the Regulation NMS Plan To Implement a Tick Size Pilot Program2016-09-16T00:00:00-07:002016-09-16T00:00:00-07:002016-22252Noticehttps://www.gpo.gov/fdsys/pkg/FR-2016-09-16/pdf/2016-22252.pdfhttps://regulations.justia.com/regulations/fedreg/2016/09/16/2016-22251.htmlNotice - Self Regulatory Organizations; Chicago Stock Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Article 20, Rule 13(b) To Modify Certain Data Collection Requirements of the Regulation NMS Plan To Implement a Tick Size Pilot Program2016-09-16T00:00:00-07:002016-09-16T00:00:00-07:002016-22251Noticehttps://www.gpo.gov/fdsys/pkg/FR-2016-09-16/pdf/2016-22251.pdfhttps://regulations.justia.com/regulations/fedreg/2016/09/16/2016-22250.htmlNotice - Self-Regulatory Organizations; NASDAQ BX, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Rule 47702016-09-16T00:00:00-07:002016-09-16T00:00:00-07:002016-22250Noticehttps://www.gpo.gov/fdsys/pkg/FR-2016-09-16/pdf/2016-22250.pdfhttps://regulations.justia.com/regulations/fedreg/2016/09/15/2016-22170.htmlNotice - Submission for OMB Review; Comment Request2016-09-15T00:00:00-07:002016-09-15T00:00:00-07:002016-22170Noticehttps://www.gpo.gov/fdsys/pkg/FR-2016-09-15/pdf/2016-22170.pdfhttps://regulations.justia.com/regulations/fedreg/2016/09/15/2016-22169.htmlNotice - Submission for OMB Review; Comment Request2016-09-15T00:00:00-07:002016-09-15T00:00:00-07:002016-22169Noticehttps://www.gpo.gov/fdsys/pkg/FR-2016-09-15/pdf/2016-22169.pdfhttps://regulations.justia.com/regulations/fedreg/2016/09/15/2016-22158.htmlNotice - Self-Regulatory Organizations; NYSE Arca, Inc.; Order Approving Proposed Rule Change Amending NYSE Arca Equities Rules 2.16(c) and 2.21(i) Regarding the Timing for Submission of a Uniform Termination Notice for Securities Industry Registration (“Form U5”) by an ETP Holder2016-09-15T00:00:00-07:002016-09-15T00:00:00-07:002016-22158Noticehttps://www.gpo.gov/fdsys/pkg/FR-2016-09-15/pdf/2016-22158.pdfhttps://regulations.justia.com/regulations/fedreg/2016/09/15/2016-22157.htmlNotice - Self-Regulatory Organizations; National Securities Clearing Corporation; Notice of Filing of Proposed Rule Change To Describe the Backtesting Charge and the Bank Holiday Charge That May Be Imposed on Members2016-09-15T00:00:00-07:002016-09-15T00:00:00-07:002016-22157Noticehttps://www.gpo.gov/fdsys/pkg/FR-2016-09-15/pdf/2016-22157.pdfhttps://regulations.justia.com/regulations/fedreg/2016/09/15/2016-22156.htmlNotice - Self-Regulatory Organizations; Fixed Income Clearing Corporation; Notice of Filing of Proposed Rule Change To Describe the Backtesting Charge and the Holiday Charge That May Be Imposed on Members2016-09-15T00:00:00-07:002016-09-15T00:00:00-07:002016-22156Noticehttps://www.gpo.gov/fdsys/pkg/FR-2016-09-15/pdf/2016-22156.pdfhttps://regulations.justia.com/regulations/fedreg/2016/09/15/2016-22155.htmlNotice - Self-Regulatory Organizations; The Nasdaq Stock Market LLC; Order Approving Proposed Rule Change To Modify the Complimentary Services Offered to Certain New Listings2016-09-15T00:00:00-07:002016-09-15T00:00:00-07:002016-22155Noticehttps://www.gpo.gov/fdsys/pkg/FR-2016-09-15/pdf/2016-22155.pdfhttps://regulations.justia.com/regulations/fedreg/2016/09/15/2016-22154.htmlNotice - Self-Regulatory Organizations; New York Stock Exchange LLC; Order Approving a Proposed Rule Change Amending the Ninth Amended and Restated Operating Agreement of the Exchange2016-09-15T00:00:00-07:002016-09-15T00:00:00-07:002016-22154Noticehttps://www.gpo.gov/fdsys/pkg/FR-2016-09-15/pdf/2016-22154.pdfhttps://regulations.justia.com/regulations/fedreg/2016/09/15/2016-22153.htmlNotice - Self-Regulatory Organizations; NYSE Arca, Inc.; Order Instituting Proceedings to Determine Whether To Approve or Disapprove Proposed Rule Change, as Modified by Amendment No. 1, Relating to Amendments to NYSE MKT Rules 1600 et seq. and the Listing Rules Applicable to the Shares of the Nuveen Diversified Commodity Fund and the Nuveen Long/Short Commodity Total Return Fund2016-09-15T00:00:00-07:002016-09-15T00:00:00-07:002016-22153Noticehttps://www.gpo.gov/fdsys/pkg/FR-2016-09-15/pdf/2016-22153.pdfhttps://regulations.justia.com/regulations/fedreg/2016/09/15/2016-22152.htmlNotice - Self-Regulatory Organizations; NYSE MKT LLC; Notice of Filing of Proposed Rule Change Amending Rule 67-Equities Relating to the Tick Size Pilot Program2016-09-15T00:00:00-07:002016-09-15T00:00:00-07:002016-22152Noticehttps://www.gpo.gov/fdsys/pkg/FR-2016-09-15/pdf/2016-22152.pdfhttps://regulations.justia.com/regulations/fedreg/2016/09/15/2016-22151.htmlNotice - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing of Proposed Rule Change Amending Rule 67 Relating to the Tick Size Pilot Program2016-09-15T00:00:00-07:002016-09-15T00:00:00-07:002016-22151Noticehttps://www.gpo.gov/fdsys/pkg/FR-2016-09-15/pdf/2016-22151.pdfhttps://regulations.justia.com/regulations/fedreg/2016/09/15/2016-22150.htmlNotice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing of Proposed Rule Change Amending Rule 7.46 Relating to the Tick Size Pilot Program2016-09-15T00:00:00-07:002016-09-15T00:00:00-07:002016-22150Noticehttps://www.gpo.gov/fdsys/pkg/FR-2016-09-15/pdf/2016-22150.pdfhttps://regulations.justia.com/regulations/fedreg/2016/09/15/2016-22149.htmlNotice - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend FINRA Rule 6191 Relating to the Data Collection Requirements of the Regulation NMS Plan To Implement A Tick Size Pilot Program2016-09-15T00:00:00-07:002016-09-15T00:00:00-07:002016-22149Noticehttps://www.gpo.gov/fdsys/pkg/FR-2016-09-15/pdf/2016-22149.pdfhttps://regulations.justia.com/regulations/fedreg/2016/09/15/2016-22148.htmlNotice - Self-Regulatory Organizations; Bats EDGA Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Rule 11.21(b) Regarding the Data Collection Requirements of the Regulation NMS Plan To Implement a Tick Size Pilot Program2016-09-15T00:00:00-07:002016-09-15T00:00:00-07:002016-22148Noticehttps://www.gpo.gov/fdsys/pkg/FR-2016-09-15/pdf/2016-22148.pdfhttps://regulations.justia.com/regulations/fedreg/2016/09/15/2016-22147.htmlNotice - Self-Regulatory Organizations; Bats EDGX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Rule 11.22(b) Regarding the Data Collection Requirements of the Regulation NMS Plan To Implement a Tick Size Pilot Program2016-09-15T00:00:00-07:002016-09-15T00:00:00-07:002016-22147Noticehttps://www.gpo.gov/fdsys/pkg/FR-2016-09-15/pdf/2016-22147.pdfhttps://regulations.justia.com/regulations/fedreg/2016/09/15/2016-22146.htmlNotice - Self-Regulatory Organizations; Bats BZX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Rule 11.27(b) Regarding the Data Collection Requirements of the Regulation NMS Plan To Implement a Tick Size Pilot Program2016-09-15T00:00:00-07:002016-09-15T00:00:00-07:002016-22146Noticehttps://www.gpo.gov/fdsys/pkg/FR-2016-09-15/pdf/2016-22146.pdfhttps://regulations.justia.com/regulations/fedreg/2016/09/15/2016-22145.htmlNotice - Self-Regulatory Organizations; Bats BYX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Rule 11.27(b) Regarding the Data Collection Requirements of the Regulation NMS Plan To Implement a Tick Size Pilot Program2016-09-15T00:00:00-07:002016-09-15T00:00:00-07:002016-22145Noticehttps://www.gpo.gov/fdsys/pkg/FR-2016-09-15/pdf/2016-22145.pdfhttps://regulations.justia.com/regulations/fedreg/2016/09/15/2016-22126.htmlNotice - Foreside Advisor Services, LLC, et al.; Notice of Application2016-09-15T00:00:00-07:002016-09-15T00:00:00-07:002016-22126Noticehttps://www.gpo.gov/fdsys/pkg/FR-2016-09-15/pdf/2016-22126.pdfhttps://regulations.justia.com/regulations/fedreg/2016/09/15/2016-22125.htmlNotice - Dhandho ETF Trust and Dhandho Funds LLC; Notice of Application2016-09-15T00:00:00-07:002016-09-15T00:00:00-07:002016-22125Noticehttps://www.gpo.gov/fdsys/pkg/FR-2016-09-15/pdf/2016-22125.pdfhttps://regulations.justia.com/regulations/fedreg/2016/09/14/C1-2016-20062.htmlNotice - 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 Program2016-09-14T00:00:00-07:002016-09-14T00:00:00-07:00C1-2016-20062Noticehttps://www.gpo.gov/fdsys/pkg/FR-2016-09-14/pdf/C1-2016-20062.pdfhttps://regulations.justia.com/regulations/fedreg/2016/09/14/2016-22038.htmlNotice - Proposed Collection; Comment Request2016-09-14T00:00:00-07:002016-09-14T00:00:00-07:002016-22038Noticehttps://www.gpo.gov/fdsys/pkg/FR-2016-09-14/pdf/2016-22038.pdfhttps://regulations.justia.com/regulations/fedreg/2016/09/14/2016-22037.htmlNotice - Proposed Collection; Comment Request2016-09-14T00:00:00-07:002016-09-14T00:00:00-07:002016-22037Noticehttps://www.gpo.gov/fdsys/pkg/FR-2016-09-14/pdf/2016-22037.pdfhttps://regulations.justia.com/regulations/fedreg/2016/09/14/2016-22034.htmlNotice - MIAX PEARL, LLC; Notice of Filing of Application for Registration as a National Securities Exchange Under Section 6 of the Securities Exchange Act of 19342016-09-14T00:00:00-07:002016-09-14T00:00:00-07:002016-22034Noticehttps://www.gpo.gov/fdsys/pkg/FR-2016-09-14/pdf/2016-22034.pdfhttps://regulations.justia.com/regulations/fedreg/2016/09/14/2016-22033.htmlNotice - 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.2016-09-14T00:00:00-07:002016-09-14T00:00:00-07:002016-22033Noticehttps://www.gpo.gov/fdsys/pkg/FR-2016-09-14/pdf/2016-22033.pdfhttps://regulations.justia.com/regulations/fedreg/2016/09/14/2016-22032.htmlNotice - 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 Rules2016-09-14T00:00:00-07:002016-09-14T00:00:00-07:002016-22032Noticehttps://www.gpo.gov/fdsys/pkg/FR-2016-09-14/pdf/2016-22032.pdfhttps://regulations.justia.com/regulations/fedreg/2016/09/14/2016-22031.htmlNotice - 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 Professional2016-09-14T00:00:00-07:002016-09-14T00:00:00-07:002016-22031Noticehttps://www.gpo.gov/fdsys/pkg/FR-2016-09-14/pdf/2016-22031.pdfhttps://regulations.justia.com/regulations/fedreg/2016/09/14/2016-22030.htmlNotice - 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.2016-09-14T00:00:00-07:002016-09-14T00:00:00-07:002016-22030Noticehttps://www.gpo.gov/fdsys/pkg/FR-2016-09-14/pdf/2016-22030.pdfhttps://regulations.justia.com/regulations/fedreg/2016/09/14/2016-22029.htmlNotice - 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 Rules2016-09-14T00:00:00-07:002016-09-14T00:00:00-07:002016-22029Noticehttps://www.gpo.gov/fdsys/pkg/FR-2016-09-14/pdf/2016-22029.pdfhttps://regulations.justia.com/regulations/fedreg/2016/09/14/2016-22028.htmlNotice - 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.2016-09-14T00:00:00-07:002016-09-14T00:00:00-07:002016-22028Noticehttps://www.gpo.gov/fdsys/pkg/FR-2016-09-14/pdf/2016-22028.pdfhttps://regulations.justia.com/regulations/fedreg/2016/09/14/2016-22027.htmlNotice - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the Fees Schedule2016-09-14T00:00:00-07:002016-09-14T00:00:00-07:002016-22027Noticehttps://www.gpo.gov/fdsys/pkg/FR-2016-09-14/pdf/2016-22027.pdfhttps://regulations.justia.com/regulations/fedreg/2016/09/14/2016-22026.htmlNotice - Self-Regulatory Organizations; C2 Options Exchange, Incorporated; Notice of Filing and Immediate Effectiveness of a Proposed Rule To Amend the Fees Schedule2016-09-14T00:00:00-07:002016-09-14T00:00:00-07:002016-22026Noticehttps://www.gpo.gov/fdsys/pkg/FR-2016-09-14/pdf/2016-22026.pdfhttps://regulations.justia.com/regulations/fedreg/2016/09/14/2016-22025.htmlNotice - 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 Share2016-09-14T00:00:00-07:002016-09-14T00:00:00-07:002016-22025Noticehttps://www.gpo.gov/fdsys/pkg/FR-2016-09-14/pdf/2016-22025.pdfhttps://regulations.justia.com/regulations/fedreg/2016/09/14/2016-22009.htmlNotice - Advisors Series Trust and Orinda Asset Management, LLC; Notice of Intention To Rescind an Order2016-09-14T00:00:00-07:002016-09-14T00:00:00-07:002016-22009Noticehttps://www.gpo.gov/fdsys/pkg/FR-2016-09-14/pdf/2016-22009.pdfhttps://regulations.justia.com/regulations/fedreg/2016/09/13/2016-22035.htmlNotice - Sunshine Act Meeting2016-09-13T00:00:00-07:002016-09-13T00:00:00-07:002016-22035Noticehttps://www.gpo.gov/fdsys/pkg/FR-2016-09-13/pdf/2016-22035.pdfhttps://regulations.justia.com/regulations/fedreg/2016/09/13/2016-21914.htmlNotice - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing of Proposed Rule Change Amending Section 907.00 of the NYSE Listed Company Manual To Adjust the Timing of Entitlements to Complimentary Products and Services for Special Purpose Acquisition Companies2016-09-13T00:00:00-07:002016-09-13T00:00:00-07:002016-21914Noticehttps://www.gpo.gov/fdsys/pkg/FR-2016-09-13/pdf/2016-21914.pdfhttps://regulations.justia.com/regulations/fedreg/2016/09/13/2016-21913.htmlNotice - Self-Regulatory Organizations; Miami International Securities Exchange LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Its Fee Schedule2016-09-13T00:00:00-07:002016-09-13T00:00:00-07:002016-21913Noticehttps://www.gpo.gov/fdsys/pkg/FR-2016-09-13/pdf/2016-21913.pdfhttps://regulations.justia.com/regulations/fedreg/2016/09/13/2016-21912.htmlNotice - Self-Regulatory Organizations; NYSE MKT LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Rule 903 and Rule 900.2NY(50)2016-09-13T00:00:00-07:002016-09-13T00:00:00-07:002016-21912Noticehttps://www.gpo.gov/fdsys/pkg/FR-2016-09-13/pdf/2016-21912.pdfhttps://regulations.justia.com/regulations/fedreg/2016/09/13/2016-21911.htmlNotice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Rule 6.1(b)(41) and Rule 6.42016-09-13T00:00:00-07:002016-09-13T00:00:00-07:002016-21911Noticehttps://www.gpo.gov/fdsys/pkg/FR-2016-09-13/pdf/2016-21911.pdfhttps://regulations.justia.com/regulations/fedreg/2016/09/13/2016-21910.htmlNotice - Self-Regulatory Organizations; The Depository Trust Company; Fixed Income Clearing Corporation; National Securities Clearing Corporation; Notice of Filing of Proposed Rule Changes Relating to Clearing Agency Investment Policy2016-09-13T00:00:00-07:002016-09-13T00:00:00-07:002016-21910Noticehttps://www.gpo.gov/fdsys/pkg/FR-2016-09-13/pdf/2016-21910.pdfhttps://regulations.justia.com/regulations/fedreg/2016/09/13/2016-21909.htmlNotice - Self-Regulatory Organizations; Municipal Securities Rulemaking Board; Notice of Filing of a Proposed Rule Change to MSRB Rules G-15 and G-30 To Require Disclosure of Mark-Ups and Mark-Downs to Retail Customers on Certain Principal Transactions and To Provide Guidance on Prevailing Market Price2016-09-13T00:00:00-07:002016-09-13T00:00:00-07:002016-21909Noticehttps://www.gpo.gov/fdsys/pkg/FR-2016-09-13/pdf/2016-21909.pdfhttps://regulations.justia.com/regulations/fedreg/2016/09/12/2016-21802.htmlNotice - Self-Regulatory Organizations; The Depository Trust Company; Notice of Filing of Amendment No. 1 and Order Instituting Proceedings To Determine Whether To Approve or Disapprove a Proposed Rule Change, as Modified by Amendment No. 1, To Impose Deposit Chills and Global Locks and Provide Fair Procedures to Issuers2016-09-12T00:00:00-07:002016-09-12T00:00:00-07:002016-21802Noticehttps://www.gpo.gov/fdsys/pkg/FR-2016-09-12/pdf/2016-21802.pdfhttps://regulations.justia.com/regulations/fedreg/2016/09/12/2016-21801.htmlNotice - Self-Regulatory Organizations; Miami International Securities Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Expand the Short Term Option Series Program2016-09-12T00:00:00-07:002016-09-12T00:00:00-07:002016-21801Noticehttps://www.gpo.gov/fdsys/pkg/FR-2016-09-12/pdf/2016-21801.pdfhttps://regulations.justia.com/regulations/fedreg/2016/09/12/2016-21800.htmlNotice - 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.2016-09-12T00:00:00-07:002016-09-12T00:00:00-07:002016-21800Noticehttps://www.gpo.gov/fdsys/pkg/FR-2016-09-12/pdf/2016-21800.pdfhttps://regulations.justia.com/regulations/fedreg/2016/09/12/2016-21799.htmlNotice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Designation of a Longer Period for Commission Action on a Proposed Rule Change Relating to the Listing and Trading of Shares of SolidX Bitcoin Trust Under NYSE Arca Equities Rule 8.2012016-09-12T00:00:00-07:002016-09-12T00:00:00-07:002016-21799Noticehttps://www.gpo.gov/fdsys/pkg/FR-2016-09-12/pdf/2016-21799.pdfhttps://regulations.justia.com/regulations/fedreg/2016/09/12/2016-21798.htmlNotice - Submission for OMB Review; Comment Request2016-09-12T00:00:00-07:002016-09-12T00:00:00-07:002016-21798Noticehttps://www.gpo.gov/fdsys/pkg/FR-2016-09-12/pdf/2016-21798.pdfhttps://regulations.justia.com/regulations/fedreg/2016/09/12/2016-21797.htmlNotice - Submission for OMB Review; Comment Request2016-09-12T00:00:00-07:002016-09-12T00:00:00-07:002016-21797Noticehttps://www.gpo.gov/fdsys/pkg/FR-2016-09-12/pdf/2016-21797.pdfhttps://regulations.justia.com/regulations/fedreg/2016/09/12/2016-21795.htmlNotice - Submission for OMB Review; Comment Request2016-09-12T00:00:00-07:002016-09-12T00:00:00-07:002016-21795Noticehttps://www.gpo.gov/fdsys/pkg/FR-2016-09-12/pdf/2016-21795.pdfhttps://regulations.justia.com/regulations/fedreg/2016/09/12/2016-21313.htmlProposed Rule - Exhibit Hyperlinks and HTML Format2016-09-12T00:00:00-07:002016-09-12T00:00:00-07:002016-21313Proposed Rulehttps://www.gpo.gov/fdsys/pkg/FR-2016-09-12/pdf/2016-21313.pdfhttps://regulations.justia.com/regulations/fedreg/2016/09/08/2016-21650.htmlNotice - Self-Regulatory Organizations; Bats EDGX Exchange, Inc.; Notice of Filing of Amendment No. 1 and Order Granting Accelerated Approval of a Proposed Rule Change, as Modified by Amendment No. 1, To Amend Exchange Rule 11.22 To Describe Changes to System Functionality Necessary To Implement the Regulation NMS Plan To Implement a Tick Size Pilot Program2016-09-08T00:00:00-07:002016-09-08T00:00:00-07:002016-21650Noticehttps://www.gpo.gov/fdsys/pkg/FR-2016-09-08/pdf/2016-21650.pdfhttps://regulations.justia.com/regulations/fedreg/2016/09/08/2016-21649.htmlNotice - Self-Regulatory Organizations; Bats BYX Exchange, Inc.; Notice of Filing of Amendment No. 1 and Order Granting Accelerated Approval of a Proposed Rule Change, as Modified by Amendment No. 1, To Amend Exchange Rule 11.27 To Describe Changes to System Functionality Necessary To Implement the Regulation NMS Plan To Implement a Tick Size Pilot Program2016-09-08T00:00:00-07:002016-09-08T00:00:00-07:002016-21649Noticehttps://www.gpo.gov/fdsys/pkg/FR-2016-09-08/pdf/2016-21649.pdfhttps://regulations.justia.com/regulations/fedreg/2016/09/08/2016-21648.htmlNotice - Self-Regulatory Organizations; Bats BZX Exchange, Inc.; Notice of Filing of Amendment No. 1 and Order Granting Accelerated Approval of a Proposed Rule Change, as Modified by Amendment No. 1, To Amend Exchange Rule 11.27 To Describe Changes to System Functionality Necessary To Implement the Regulation NMS Plan To Implement a Tick Size Pilot Program2016-09-08T00:00:00-07:002016-09-08T00:00:00-07:002016-21648Noticehttps://www.gpo.gov/fdsys/pkg/FR-2016-09-08/pdf/2016-21648.pdfhttps://regulations.justia.com/regulations/fedreg/2016/09/08/2016-21647.htmlNotice - Self-Regulatory Organizations; Bats EDGA Exchange, Inc.; Notice of Filing of Amendment No. 1 and Order Granting Accelerated Approval of a Proposed Rule Change, as Modified by Amendment No. 1, To Amend Exchange Rule 11.21 To Describe Changes to System Functionality Necessary To Implement the Regulation NMS Plan To Implement a Tick Size Pilot Program2016-09-08T00:00:00-07:002016-09-08T00:00:00-07:002016-21647Noticehttps://www.gpo.gov/fdsys/pkg/FR-2016-09-08/pdf/2016-21647.pdfhttps://regulations.justia.com/regulations/fedreg/2016/09/08/2016-21646.htmlNotice - Self-Regulatory Organizations; ICE Clear Europe Limited; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to Certain Default Management Requirements Under Applicable Law2016-09-08T00:00:00-07:002016-09-08T00:00:00-07:002016-21646Noticehttps://www.gpo.gov/fdsys/pkg/FR-2016-09-08/pdf/2016-21646.pdfhttps://regulations.justia.com/regulations/fedreg/2016/09/08/2016-21644.htmlNotice - Self-Regulatory Organizations; National Stock Exchange, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Rule 11.18 To Address the Exchange's Liability for System Failures; Amend Rule 2.11 To Provide for an Error Account Maintained by the Exchange's Routing Broker; Adopt Rule 11.11(e) To Allow Cancellation of Orders When a System Failure Occurs; Amend Rule 1.5 To Reposition the Definition of a Trading Center; and Make Other Non-Substantive and Conforming Changes2016-09-08T00:00:00-07:002016-09-08T00:00:00-07:002016-21644Noticehttps://www.gpo.gov/fdsys/pkg/FR-2016-09-08/pdf/2016-21644.pdfhttps://regulations.justia.com/regulations/fedreg/2016/09/08/2016-21643.htmlNotice - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Filing of Amendment No. 1 and Order Granting Accelerated Approval of a Proposed Rule Change, as Modified by Amendment No. 1, To List and Trade Options That Overlie the FTSE Developed Europe Index and the FTSE Emerging Index and To Amend the Maintenance Listing Criteria Applicable to Certain Index Options2016-09-08T00:00:00-07:002016-09-08T00:00:00-07:002016-21643Noticehttps://www.gpo.gov/fdsys/pkg/FR-2016-09-08/pdf/2016-21643.pdfhttps://regulations.justia.com/regulations/fedreg/2016/09/08/2016-21642.htmlNotice - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Order Granting Approval of Proposed Rule Change To Create an Academic Corporate Bond TRACE Data Product2016-09-08T00:00:00-07:002016-09-08T00:00:00-07:002016-21642Noticehttps://www.gpo.gov/fdsys/pkg/FR-2016-09-08/pdf/2016-21642.pdfhttps://regulations.justia.com/regulations/fedreg/2016/09/08/2016-21641.htmlNotice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Withdrawal of a Proposed Rule Change To List and Trade Shares of the Natixis Seeyond International Minimum Volatility ETF Under NYSE Arca Equities Rule 8.6002016-09-08T00:00:00-07:002016-09-08T00:00:00-07:002016-21641Noticehttps://www.gpo.gov/fdsys/pkg/FR-2016-09-08/pdf/2016-21641.pdfhttps://regulations.justia.com/regulations/fedreg/2016/09/08/2016-21640.htmlNotice - Proposed Collection; Comment Request2016-09-08T00:00:00-07:002016-09-08T00:00:00-07:002016-21640Noticehttps://www.gpo.gov/fdsys/pkg/FR-2016-09-08/pdf/2016-21640.pdfhttps://regulations.justia.com/regulations/fedreg/2016/09/08/2016-21520.htmlNotice - Proposed Collection; Comment Request2016-09-08T00:00:00-07:002016-09-08T00:00:00-07:002016-21520Noticehttps://www.gpo.gov/fdsys/pkg/FR-2016-09-08/pdf/2016-21520.pdfhttps://regulations.justia.com/regulations/fedreg/2016/09/08/2016-21519.htmlNotice - Self-Regulatory Organizations; NYSE Arca Inc.; Notice of Designation of a Longer Period for Commission Action on Proposed Rule Change Amending Rules 2.17(c) and 2.23(i) To Extend the Time Within Which OTP Holders and OTP Firms Must File a Uniform Termination Notice for Securities Industry Registration (“U5”)2016-09-08T00:00:00-07:002016-09-08T00:00:00-07:002016-21519Noticehttps://www.gpo.gov/fdsys/pkg/FR-2016-09-08/pdf/2016-21519.pdfhttps://regulations.justia.com/regulations/fedreg/2016/09/08/2016-21496.htmlNotice - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending the Exchange's Price List To Amend the Date That Two Wireless Connections to Third Party Data Feeds Are Expected To Be Available2016-09-08T00:00:00-07:002016-09-08T00:00:00-07:002016-21496Noticehttps://www.gpo.gov/fdsys/pkg/FR-2016-09-08/pdf/2016-21496.pdfhttps://regulations.justia.com/regulations/fedreg/2016/09/08/2016-21495.htmlNotice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending the NYSE Arca Options Fee Schedule and, the NYSE Arca Equities Schedule of Fees and Charges for Exchange Services To Amend the Date That Two Wireless Connections to Third Party Data Feeds Are Expected To Be Available2016-09-08T00:00:00-07:002016-09-08T00:00:00-07:002016-21495Noticehttps://www.gpo.gov/fdsys/pkg/FR-2016-09-08/pdf/2016-21495.pdfhttps://regulations.justia.com/regulations/fedreg/2016/09/08/2016-21494.htmlNotice - Self-Regulatory Organizations; NYSE MKT LLC; Notice of Filing and Immediate Effectiveness of Proposed Change Amending the NYSE MKT Equities Price List and the NYSE Amex Options Fee Schedule To Amend the Date That Two Wireless Connections to Third Party Data Feeds Are Expected To Be Available2016-09-08T00:00:00-07:002016-09-08T00:00:00-07:002016-21494Noticehttps://www.gpo.gov/fdsys/pkg/FR-2016-09-08/pdf/2016-21494.pdfhttps://regulations.justia.com/regulations/fedreg/2016/09/08/2016-21493.htmlNotice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Designation of a Longer Period for Commission Action on Proposed Rule Change Relating to the Listing and Trading of Shares of PowerShares Government Collateral Pledge Portfolio Under NYSE Arca Equities Rule 8.6002016-09-08T00:00:00-07:002016-09-08T00:00:00-07:002016-21493Noticehttps://www.gpo.gov/fdsys/pkg/FR-2016-09-08/pdf/2016-21493.pdfhttps://regulations.justia.com/regulations/fedreg/2016/09/08/2016-21492.htmlNotice - Self-Regulatory Organizations; The Nasdaq Stock Market LLC; Notice of Filing of Proposed Rule Change Related to the NASDAQ Options Market LLC's Pricing at Chapter XV, Section 2(6)2016-09-08T00:00:00-07:002016-09-08T00:00:00-07:002016-21492Noticehttps://www.gpo.gov/fdsys/pkg/FR-2016-09-08/pdf/2016-21492.pdfhttps://regulations.justia.com/regulations/fedreg/2016/09/08/2016-21491.htmlNotice - Self-Regulatory Organizations; Bats EDGA Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Related to Fees2016-09-08T00:00:00-07:002016-09-08T00:00:00-07:002016-21491Noticehttps://www.gpo.gov/fdsys/pkg/FR-2016-09-08/pdf/2016-21491.pdfhttps://regulations.justia.com/regulations/fedreg/2016/09/08/2016-21489.htmlNotice - Self-Regulatory Organizations; Bats BYX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Related to Fees for Use of Bats BYX Exchange, Inc.2016-09-08T00:00:00-07:002016-09-08T00:00:00-07:002016-21489Noticehttps://www.gpo.gov/fdsys/pkg/FR-2016-09-08/pdf/2016-21489.pdfhttps://regulations.justia.com/regulations/fedreg/2016/09/08/2016-21488.htmlNotice - Self-Regulatory Organizations; Bats BZX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Delay the Implementation of Amendments to the Options Regulatory Fee2016-09-08T00:00:00-07:002016-09-08T00:00:00-07:002016-21488Noticehttps://www.gpo.gov/fdsys/pkg/FR-2016-09-08/pdf/2016-21488.pdfhttps://regulations.justia.com/regulations/fedreg/2016/09/08/2016-21487.htmlNotice - Self-Regulatory Organizations; Bats EDGX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Delay the Implementation of the Options Regulatory Fee2016-09-08T00:00:00-07:002016-09-08T00:00:00-07:002016-21487Noticehttps://www.gpo.gov/fdsys/pkg/FR-2016-09-08/pdf/2016-21487.pdfhttps://regulations.justia.com/regulations/fedreg/2016/09/08/2016-21486.htmlNotice - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Order Granting Approval of Proposed Rule Change, as Modified by Amendment No. 1 Thereto, To List and Trade Exchange-Traded Managed Funds2016-09-08T00:00:00-07:002016-09-08T00:00:00-07:002016-21486Noticehttps://www.gpo.gov/fdsys/pkg/FR-2016-09-08/pdf/2016-21486.pdfhttps://regulations.justia.com/regulations/fedreg/2016/09/07/2016-21585.htmlNotice - Sunshine Act Meeting2016-09-07T00:00:00-07:002016-09-07T00:00:00-07:002016-21585Noticehttps://www.gpo.gov/fdsys/pkg/FR-2016-09-07/pdf/2016-21585.pdfhttps://regulations.justia.com/regulations/fedreg/2016/09/07/2016-21584.htmlNotice - In the Matter of Preston Royalty Corp.; Order of Suspension of Trading2016-09-07T00:00:00-07:002016-09-07T00:00:00-07:002016-21584Noticehttps://www.gpo.gov/fdsys/pkg/FR-2016-09-07/pdf/2016-21584.pdfhttps://regulations.justia.com/regulations/fedreg/2016/09/07/2016-21429.htmlNotice - Regents Park Funds, LLC, et al.; Notice of Application2016-09-07T00:00:00-07:002016-09-07T00:00:00-07:002016-21429Noticehttps://www.gpo.gov/fdsys/pkg/FR-2016-09-07/pdf/2016-21429.pdfhttps://regulations.justia.com/regulations/fedreg/2016/09/07/2016-21383.htmlNotice - Self-Regulatory Organizations; NYSE MKT LLC; Notice of Designation of a Longer Period for Commission Action on a Proposed Rule Change To Amend Certain Rules Relating to Flexible Exchange Options2016-09-07T00:00:00-07:002016-09-07T00:00:00-07:002016-21383Noticehttps://www.gpo.gov/fdsys/pkg/FR-2016-09-07/pdf/2016-21383.pdfhttps://regulations.justia.com/regulations/fedreg/2016/09/07/2016-21382.htmlNotice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Withdrawal of a Proposed Rule Change, as Modified by Amendment No. 1, To Amend Rule 6.67(c) by Revising the Clearing Member Requirements for Entering an Order into the Electronic Order Capture System2016-09-07T00:00:00-07:002016-09-07T00:00:00-07:002016-21382Noticehttps://www.gpo.gov/fdsys/pkg/FR-2016-09-07/pdf/2016-21382.pdfhttps://regulations.justia.com/regulations/fedreg/2016/09/07/2016-21381.htmlNotice - Self-Regulatory Organizations; NYSE MKT LLC; Notice of Withdrawal of a Proposed Rule Change, as Modified by Amendment No. 1, To Amend Rule 955NY(c) by Revising the Clearing Member Requirements for Entering an Order Into the Electronic Order Capture System2016-09-07T00:00:00-07:002016-09-07T00:00:00-07:002016-21381Noticehttps://www.gpo.gov/fdsys/pkg/FR-2016-09-07/pdf/2016-21381.pdfhttps://regulations.justia.com/regulations/fedreg/2016/09/07/2016-21380.htmlNotice - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the Fees Schedule2016-09-07T00:00:00-07:002016-09-07T00:00:00-07:002016-21380Noticehttps://www.gpo.gov/fdsys/pkg/FR-2016-09-07/pdf/2016-21380.pdfhttps://regulations.justia.com/regulations/fedreg/2016/09/07/2016-21379.htmlNotice - Self-Regulatory Organizations; NASDAQ PHLX LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Prior Rule Change, SR-PHLX-2016-382016-09-07T00:00:00-07:002016-09-07T00:00:00-07:002016-21379Noticehttps://www.gpo.gov/fdsys/pkg/FR-2016-09-07/pdf/2016-21379.pdfhttps://regulations.justia.com/regulations/fedreg/2016/09/07/2016-21248.htmlNotice - Voya ETF Trust, et al.; Notice of Application2016-09-07T00:00:00-07:002016-09-07T00:00:00-07:002016-21248Noticehttps://www.gpo.gov/fdsys/pkg/FR-2016-09-07/pdf/2016-21248.pdfhttps://regulations.justia.com/regulations/fedreg/2016/09/06/2016-21269.htmlNotice - Securities Investor Protection Corporation: Order Approving a Proposed Bylaw Change Relating to SIPC Fund Assessments on SIPC Members2016-09-06T00:00:00-07:002016-09-06T00:00:00-07:002016-21269Noticehttps://www.gpo.gov/fdsys/pkg/FR-2016-09-06/pdf/2016-21269.pdfhttps://regulations.justia.com/regulations/fedreg/2016/09/06/2016-21268.htmlNotice - Order Making Fiscal Year 2017 Annual Adjustments to Registration Fee Rates2016-09-06T00:00:00-07:002016-09-06T00:00:00-07:002016-21268Noticehttps://www.gpo.gov/fdsys/pkg/FR-2016-09-06/pdf/2016-21268.pdfhttps://regulations.justia.com/regulations/fedreg/2016/09/06/2016-21257.htmlNotice - Self-Regulatory Organizations; The Options Clearing Corporation; Notice of Withdrawal of a Proposed Rule Change Related to the Adoption of an Options Exchange Risk Control Standards Policy2016-09-06T00:00:00-07:002016-09-06T00:00:00-07:002016-21257Noticehttps://www.gpo.gov/fdsys/pkg/FR-2016-09-06/pdf/2016-21257.pdfhttps://regulations.justia.com/regulations/fedreg/2016/09/06/2016-21256.htmlNotice - Self-Regulatory Organizations; NYSE MKT LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Rule 9217 To Add a Provision and Related Fines Addressing Trade-Through Violations2016-09-06T00:00:00-07:002016-09-06T00:00:00-07:002016-21256Noticehttps://www.gpo.gov/fdsys/pkg/FR-2016-09-06/pdf/2016-21256.pdfhttps://regulations.justia.com/regulations/fedreg/2016/09/06/2016-21255.htmlNotice - Self-Regulatory Organizations; Fixed Income Clearing Corporation; Notice of Designation of a Longer Period for Commission Action on Proposed Rule Change to Describe the Blackout Period Exposure Charge That May Be Imposed on GCF Repo Participants2016-09-06T00:00:00-07:002016-09-06T00:00:00-07:002016-21255Noticehttps://www.gpo.gov/fdsys/pkg/FR-2016-09-06/pdf/2016-21255.pdfhttps://regulations.justia.com/regulations/fedreg/2016/09/06/2016-21253.htmlNotice - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing of a Proposed Rule Change Amending Rule 12400 of the Code of Arbitration Procedure for Customer Disputes and Rule 13400 of the Code of Arbitration Procedure for Industry Disputes Relating to Broadening Chairperson Eligibility in Arbitration2016-09-06T00:00:00-07:002016-09-06T00:00:00-07:002016-21253Noticehttps://www.gpo.gov/fdsys/pkg/FR-2016-09-06/pdf/2016-21253.pdfhttps://regulations.justia.com/regulations/fedreg/2016/09/06/2016-21252.htmlNotice - Self-Regulatory Organizations; NYSE Arca, Inc.; Order Instituting Proceedings To Determine Whether To Approve or Disapprove a Proposed Rule Change Relating to the Listing and Trading of Shares of BlackRock Government Collateral Pledge Unit Under NYSE Arca Equities Rule 8.6002016-09-06T00:00:00-07:002016-09-06T00:00:00-07:002016-21252Noticehttps://www.gpo.gov/fdsys/pkg/FR-2016-09-06/pdf/2016-21252.pdfhttps://regulations.justia.com/regulations/fedreg/2016/09/06/2016-21251.htmlNotice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Designation of a Longer Period for Commission Action on Proposed Rule Change To Amend NYSE Arca Equities Rule 8.700 and To List and Trade Shares of the Managed Emerging Markets Trust Under Proposed Amended NYSE Arca Equities Rule 8.7002016-09-06T00:00:00-07:002016-09-06T00:00:00-07:002016-21251Noticehttps://www.gpo.gov/fdsys/pkg/FR-2016-09-06/pdf/2016-21251.pdfhttps://regulations.justia.com/regulations/fedreg/2016/09/06/2016-21249.htmlNotice - Self-Regulatory Organizations; The Options Clearing Corporation; Notice of Withdrawal of an Advance Notice Related to the Adoption of an Options Exchange Risk Control Standards Policy2016-09-06T00:00:00-07:002016-09-06T00:00:00-07:002016-21249Noticehttps://www.gpo.gov/fdsys/pkg/FR-2016-09-06/pdf/2016-21249.pdfhttps://regulations.justia.com/regulations/fedreg/2016/09/06/2016-21247.htmlNotice - Voya ETF Trust, et al., Notice of Application2016-09-06T00:00:00-07:002016-09-06T00:00:00-07:002016-21247Noticehttps://www.gpo.gov/fdsys/pkg/FR-2016-09-06/pdf/2016-21247.pdfhttps://regulations.justia.com/regulations/fedreg/2016/09/06/2016-21246.htmlNotice - Rational Advisors, Inc. and Strategy Shares; Notice of Application2016-09-06T00:00:00-07:002016-09-06T00:00:00-07:002016-21246Noticehttps://www.gpo.gov/fdsys/pkg/FR-2016-09-06/pdf/2016-21246.pdfhttps://regulations.justia.com/regulations/fedreg/2016/09/06/2016-21245.htmlNotice - Euroclear Bank SA/NV; Notice of Filing of Application To Modify an Existing Exemption From Clearing Agency Registration2016-09-06T00:00:00-07:002016-09-06T00:00:00-07:002016-21245Noticehttps://www.gpo.gov/fdsys/pkg/FR-2016-09-06/pdf/2016-21245.pdfhttps://regulations.justia.com/regulations/fedreg/2016/09/02/2016-21301.htmlNotice - In the Matter of Luxeyard, Inc., and SuperDirectories, Inc.; Order of Suspension of Trading2016-09-02T00:00:00-07:002016-09-02T00:00:00-07:002016-21301Noticehttps://www.gpo.gov/fdsys/pkg/FR-2016-09-02/pdf/2016-21301.pdfhttps://regulations.justia.com/regulations/fedreg/2016/09/02/2016-21300.htmlNotice - In the Matter of Multi-Corp. International, Inc., Pan American Goldfields Ltd., and Sky Harvest Energy Corp., File No. 500-1; Order of Suspension of Trading2016-09-02T00:00:00-07:002016-09-02T00:00:00-07:002016-21300Noticehttps://www.gpo.gov/fdsys/pkg/FR-2016-09-02/pdf/2016-21300.pdfhttps://regulations.justia.com/regulations/fedreg/2016/09/02/2016-21137.htmlRule - Access to Data Obtained by Security-Based Swap Data Repositories2016-09-02T00:00:00-07:002016-09-02T00:00:00-07:002016-21137Rulehttps://www.gpo.gov/fdsys/pkg/FR-2016-09-02/pdf/2016-21137.pdfhttps://regulations.justia.com/regulations/fedreg/2016/09/02/2016-21136.htmlNotice - Proposed Collection; Comment Request2016-09-02T00:00:00-07:002016-09-02T00:00:00-07:002016-21136Noticehttps://www.gpo.gov/fdsys/pkg/FR-2016-09-02/pdf/2016-21136.pdfhttps://regulations.justia.com/regulations/fedreg/2016/09/02/2016-21135.htmlNotice - Proposed Collection; Comment Request2016-09-02T00:00:00-07:002016-09-02T00:00:00-07:002016-21135Noticehttps://www.gpo.gov/fdsys/pkg/FR-2016-09-02/pdf/2016-21135.pdfhttps://regulations.justia.com/regulations/fedreg/2016/09/02/2016-21134.htmlNotice - Investment Company Act of 1940; Release No. 32242/August 29, 2016; Order Under Sections 26(c) and 17(b) of the Investment Company Act of 1940 (“Act”)2016-09-02T00:00:00-07:002016-09-02T00:00:00-07:002016-21134Noticehttps://www.gpo.gov/fdsys/pkg/FR-2016-09-02/pdf/2016-21134.pdfhttps://regulations.justia.com/regulations/fedreg/2016/09/02/2016-21133.htmlNotice - Starboard Investment Trust and Cavalier Investments, Inc.; Notice of Application2016-09-02T00:00:00-07:002016-09-02T00:00:00-07:002016-21133Noticehttps://www.gpo.gov/fdsys/pkg/FR-2016-09-02/pdf/2016-21133.pdfhttps://regulations.justia.com/regulations/fedreg/2016/09/02/2016-21132.htmlNotice - Self-Regulatory Organizations; International Securities Exchange, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Expand the Short Term Option Series Program2016-09-02T00:00:00-07:002016-09-02T00:00:00-07:002016-21132Noticehttps://www.gpo.gov/fdsys/pkg/FR-2016-09-02/pdf/2016-21132.pdfhttps://regulations.justia.com/regulations/fedreg/2016/09/02/2016-21131.htmlNotice - Self-Regulatory Organizations; NASDAQ PHLX LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Rule 1042A, Exercise of Options Contracts and Options Floor Procedure Advice G-1, Index Option Exercise Advice Forms2016-09-02T00:00:00-07:002016-09-02T00:00:00-07:002016-21131Noticehttps://www.gpo.gov/fdsys/pkg/FR-2016-09-02/pdf/2016-21131.pdfhttps://regulations.justia.com/regulations/fedreg/2016/09/02/2016-21130.htmlNotice - Self-Regulatory Organizations; The Nasdaq Stock Market LLC; Notice of Filing of Proposed Rule Change To Adopt the Third Party Connectivity Service Under Rules 7034(b) and 70512016-09-02T00:00:00-07:002016-09-02T00:00:00-07:002016-21130Noticehttps://www.gpo.gov/fdsys/pkg/FR-2016-09-02/pdf/2016-21130.pdfhttps://regulations.justia.com/regulations/fedreg/2016/09/02/2016-21129.htmlNotice - 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. 1 Thereto, Regarding Use of Rule 144A Securities by the Fidelity Corporate Bond ETF, Fidelity Investment Grade Bond ETF, Fidelity Limited Term Bond ETF, and Fidelity Total Bond ETF2016-09-02T00:00:00-07:002016-09-02T00:00:00-07:002016-21129Noticehttps://www.gpo.gov/fdsys/pkg/FR-2016-09-02/pdf/2016-21129.pdfhttps://regulations.justia.com/regulations/fedreg/2016/09/02/2016-20890.htmlProposed Rule - Political Contributions by Certain Investment Advisers: Ban on Third-Party Solicitation; Notice of Order With Respect to MSRB Rule G-372016-09-02T00:00:00-07:002016-09-02T00:00:00-07:002016-20890Proposed Rulehttps://www.gpo.gov/fdsys/pkg/FR-2016-09-02/pdf/2016-20890.pdfhttps://regulations.justia.com/regulations/fedreg/2016/09/02/2016-20889.htmlProposed Rule - Political Contributions by Certain Investment Advisers: Ban on Third-Party Solicitation; Notice of Order With Respect to FINRA Rule 20302016-09-02T00:00:00-07:002016-09-02T00:00:00-07:002016-20889Proposed Rulehttps://www.gpo.gov/fdsys/pkg/FR-2016-09-02/pdf/2016-20889.pdfhttps://regulations.justia.com/regulations/fedreg/2016/09/01/2016-21026.htmlNotice - Notice of Applications for Deregistration Under Section 8(f) of the Investment Company Act of 19402016-09-01T00:00:00-07:002016-09-01T00:00:00-07:002016-21026Noticehttps://www.gpo.gov/fdsys/pkg/FR-2016-09-01/pdf/2016-21026.pdfhttps://regulations.justia.com/regulations/fedreg/2016/09/01/2016-21025.htmlNotice - Joint Industry Plan; Notice of Filing and Immediate Effectiveness of Amendment to the Plan Establishing Procedures Under Rule 605 of Regulation NMS To Add the Investors Exchange LLC as a Participant2016-09-01T00:00:00-07:002016-09-01T00:00:00-07:002016-21025Noticehttps://www.gpo.gov/fdsys/pkg/FR-2016-09-01/pdf/2016-21025.pdfhttps://regulations.justia.com/regulations/fedreg/2016/09/01/2016-21024.htmlNotice - Joint Industry Plan; Notice of Filing and Immediate Effectiveness of Amendment to the Plan To Address Extraordinary Market Volatility To Add the Investors Exchange LLC as a Participant2016-09-01T00:00:00-07:002016-09-01T00:00:00-07:002016-21024Noticehttps://www.gpo.gov/fdsys/pkg/FR-2016-09-01/pdf/2016-21024.pdfhttps://regulations.justia.com/regulations/fedreg/2016/09/01/2016-21023.htmlNotice - Joint Industry Plan; Notice of Filing and Immediate Effectiveness of Amendment to the Plan To Implement a Tick Size Pilot Program To Add the Investors Exchange LLC as a Participant2016-09-01T00:00:00-07:002016-09-01T00:00:00-07:002016-21023Noticehttps://www.gpo.gov/fdsys/pkg/FR-2016-09-01/pdf/2016-21023.pdfhttps://regulations.justia.com/regulations/fedreg/2016/09/01/2016-21022.htmlNotice - Consolidated Tape Association; Notice of Filing and Immediate Effectiveness of Amendment No. 26 to the Second Restatement of the CTA Plan and Amendment No. 19 to the Restated CQ Plan To Add the Investors Exchange LLC as a Participant2016-09-01T00:00:00-07:002016-09-01T00:00:00-07:002016-21022Noticehttps://www.gpo.gov/fdsys/pkg/FR-2016-09-01/pdf/2016-21022.pdfhttps://regulations.justia.com/regulations/fedreg/2016/09/01/2016-21021.htmlNotice - Joint Industry Plan; Notice of Filing and Immediate Effectiveness of Amendment No. 37 to the Joint Self-Regulatory Organization Plan Governing the Collection, Consolidation and Dissemination of Quotation and Transaction Information for Nasdaq-Listed Securities Traded on Exchanges on an Unlisted Trading Privileges Basis To Add the Investors Exchange LLC as a Participant2016-09-01T00:00:00-07:002016-09-01T00:00:00-07:002016-21021Noticehttps://www.gpo.gov/fdsys/pkg/FR-2016-09-01/pdf/2016-21021.pdfhttps://regulations.justia.com/regulations/fedreg/2016/09/01/2016-20832.htmlRule - Form ADV and Investment Advisers Act Rules2016-09-01T00:00:00-07:002016-09-01T00:00:00-07:002016-20832Rulehttps://www.gpo.gov/fdsys/pkg/FR-2016-09-01/pdf/2016-20832.pdf