<![CDATA[Federal Register Recent Federal Regulation Documents - Justia Regulation Tracker - Justia Regulations Tracker]]> https://regulations.justia.com/regulations/fedreg/agencies/securities-and-exchange-commission/2016/11/01?registers=between Wed, 08 May 2024 16:39:17 -0700 Wed, 08 May 2024 16:39:17 -0700 Justia Regulations Tracker Copyright 2011 Justia Inc. https://regulations.justia.com/images/justiafedregulations.gif <![CDATA[Federal Register Recent Federal Regulation Documents - Justia Regulation Tracker - Justia Regulations Tracker]]> https://regulations.justia.com/regulations/fedreg/agencies/securities-and-exchange-commission/2016/11/01?registers=between Notice - Sunshine Act Meeting https://regulations.justia.com/regulations/fedreg/2016/11/01/2016-26506.html https://regulations.justia.com/regulations/fedreg/2016/11/01/2016-26506.html Tue, 01 Nov 2016 00:00:00 -0700 2016-26506 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-11-01/pdf/2016-26506.pdf Notice - Self-Regulatory Organizations; The Options Clearing Corporation; Notice of Filing of Proposed Rule Change Related to Compliance With Section 871(m) of the Internal Revenue Code https://regulations.justia.com/regulations/fedreg/2016/11/01/2016-26382.html https://regulations.justia.com/regulations/fedreg/2016/11/01/2016-26382.html Tue, 01 Nov 2016 00:00:00 -0700 2016-26382 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-11-01/pdf/2016-26382.pdf Notice - Hartford Mutual Funds Inc., et al.; Notice of Application https://regulations.justia.com/regulations/fedreg/2016/11/01/2016-26305.html https://regulations.justia.com/regulations/fedreg/2016/11/01/2016-26305.html Tue, 01 Nov 2016 00:00:00 -0700 2016-26305 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-11-01/pdf/2016-26305.pdf Notice - Self-Regulatory Organizations; Fixed Income Clearing Corporation; National Securities Clearing Corporation; Order Granting Approval of Proposed Rule Changes To Describe the Backtesting Charge and the Holiday Charge That May Be Imposed on Members https://regulations.justia.com/regulations/fedreg/2016/11/01/2016-26303.html https://regulations.justia.com/regulations/fedreg/2016/11/01/2016-26303.html Tue, 01 Nov 2016 00:00:00 -0700 2016-26303 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-11-01/pdf/2016-26303.pdf Notice - Self-Regulatory Organizations; The Depository Trust Company; Fixed Income Clearing Corporation; National Securities Clearing Corporation; Notice of Designation of a Longer Period for Commission Action on Proposed Rule Changes Relating to Clearing Agency Investment Policy https://regulations.justia.com/regulations/fedreg/2016/11/01/2016-26302.html https://regulations.justia.com/regulations/fedreg/2016/11/01/2016-26302.html Tue, 01 Nov 2016 00:00:00 -0700 2016-26302 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-11-01/pdf/2016-26302.pdf Notice - Self-Regulatory Organizations; The Nasdaq Stock Market LLC; Notice of Filing of Proposed Rule Change To Amend Rule 4702 To Adopt a New Retail Post-Only Order https://regulations.justia.com/regulations/fedreg/2016/11/01/2016-26301.html https://regulations.justia.com/regulations/fedreg/2016/11/01/2016-26301.html Tue, 01 Nov 2016 00:00:00 -0700 2016-26301 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-11-01/pdf/2016-26301.pdf Notice - Self-Regulatory Organizations; Bats BZX Exchange, Inc.; Notice of Filing of a Proposed Rule Change To Amend Exchange Rule 11.23, Auctions, To Enhance the Reopening Auction Process Following a Trading Halt Declared Pursuant to the Plan To Address Extraordinary Market Volatility Pursuant to Rule 608 of Regulation NMS https://regulations.justia.com/regulations/fedreg/2016/11/01/2016-26300.html https://regulations.justia.com/regulations/fedreg/2016/11/01/2016-26300.html Tue, 01 Nov 2016 00:00:00 -0700 2016-26300 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-11-01/pdf/2016-26300.pdf Notice - Order Granting Limited Exemptions From Exchange Act Rule 10b-17 and Rules 101 and 102 of Regulation M to Premise Capital Frontier Advantage Diversified Tactical ETF Pursuant to Exchange Act Rule 10b-17(b)(2) and Rules 101(d) and 102(e) of Regulation M https://regulations.justia.com/regulations/fedreg/2016/11/01/2016-26299.html https://regulations.justia.com/regulations/fedreg/2016/11/01/2016-26299.html Tue, 01 Nov 2016 00:00:00 -0700 2016-26299 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-11-01/pdf/2016-26299.pdf Notice - Self-Regulatory Organizations; The Nasdaq Stock Market LLC; Notice of Filing of Proposed Rule Change To Enhance the Reopening Auction Process Following a Trading Halt Declared Pursuant to the Plan To Address Extraordinary Market Volatility https://regulations.justia.com/regulations/fedreg/2016/11/01/2016-26298.html https://regulations.justia.com/regulations/fedreg/2016/11/01/2016-26298.html Tue, 01 Nov 2016 00:00:00 -0700 2016-26298 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-11-01/pdf/2016-26298.pdf 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 To Adopt Fees and Credits for Transactions Involving Complex Orders https://regulations.justia.com/regulations/fedreg/2016/11/01/2016-26297.html https://regulations.justia.com/regulations/fedreg/2016/11/01/2016-26297.html Tue, 01 Nov 2016 00:00:00 -0700 2016-26297 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-11-01/pdf/2016-26297.pdf