<![CDATA[Federal Register Recent Federal Regulation Documents - Justia Regulation Tracker - Justia Regulations Tracker]]> https://regulations.justia.com/regulations/fedreg/agencies/securities-and-exchange-commission/2016/11/18?registers=between Sat, 21 Dec 2024 21:27:52 -0800 Sat, 21 Dec 2024 21:27:52 -0800 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/2016/11/18?registers=between Notice - Proposed Collection; Comment Request https://regulations.justia.com/regulations/fedreg/2016/11/18/2016-27750.html https://regulations.justia.com/regulations/fedreg/2016/11/18/2016-27750.html Fri, 18 Nov 2016 00:00:00 -0800 2016-27750 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-11-18/pdf/2016-27750.pdf Notice - Proposed Collection; Comment Request https://regulations.justia.com/regulations/fedreg/2016/11/18/2016-27749.html https://regulations.justia.com/regulations/fedreg/2016/11/18/2016-27749.html Fri, 18 Nov 2016 00:00:00 -0800 2016-27749 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-11-18/pdf/2016-27749.pdf Notice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending the Fees for NYSE Arca BBO and NYSE Arca Trades To Lower the Enterprise Fee https://regulations.justia.com/regulations/fedreg/2016/11/18/2016-27748.html https://regulations.justia.com/regulations/fedreg/2016/11/18/2016-27748.html Fri, 18 Nov 2016 00:00:00 -0800 2016-27748 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-11-18/pdf/2016-27748.pdf 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 Bats BZX Exchange, Inc. https://regulations.justia.com/regulations/fedreg/2016/11/18/2016-27747.html https://regulations.justia.com/regulations/fedreg/2016/11/18/2016-27747.html Fri, 18 Nov 2016 00:00:00 -0800 2016-27747 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-11-18/pdf/2016-27747.pdf 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 https://regulations.justia.com/regulations/fedreg/2016/11/18/2016-27746.html https://regulations.justia.com/regulations/fedreg/2016/11/18/2016-27746.html Fri, 18 Nov 2016 00:00:00 -0800 2016-27746 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-11-18/pdf/2016-27746.pdf Notice - 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. https://regulations.justia.com/regulations/fedreg/2016/11/18/2016-27745.html https://regulations.justia.com/regulations/fedreg/2016/11/18/2016-27745.html Fri, 18 Nov 2016 00:00:00 -0800 2016-27745 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-11-18/pdf/2016-27745.pdf Notice - 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. https://regulations.justia.com/regulations/fedreg/2016/11/18/2016-27744.html https://regulations.justia.com/regulations/fedreg/2016/11/18/2016-27744.html Fri, 18 Nov 2016 00:00:00 -0800 2016-27744 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-11-18/pdf/2016-27744.pdf Notice - Self-Regulatory Organizations; Bats EDGA Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Related to Fees for Use of Bats EDGA Exchange, Inc. https://regulations.justia.com/regulations/fedreg/2016/11/18/2016-27743.html https://regulations.justia.com/regulations/fedreg/2016/11/18/2016-27743.html Fri, 18 Nov 2016 00:00:00 -0800 2016-27743 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-11-18/pdf/2016-27743.pdf Notice - Self-Regulatory Organizations; The Depository Trust Company; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Modify the DTC Settlement Service Guide and Distributions Guide Relating to the Anticipated U.S. Market Transition to a Shortened Settlement Cycle https://regulations.justia.com/regulations/fedreg/2016/11/18/2016-27742.html https://regulations.justia.com/regulations/fedreg/2016/11/18/2016-27742.html Fri, 18 Nov 2016 00:00:00 -0800 2016-27742 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-11-18/pdf/2016-27742.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 https://regulations.justia.com/regulations/fedreg/2016/11/18/2016-27741.html https://regulations.justia.com/regulations/fedreg/2016/11/18/2016-27741.html Fri, 18 Nov 2016 00:00:00 -0800 2016-27741 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-11-18/pdf/2016-27741.pdf Notice - Self-Regulatory Organizations; The Depository Trust Company; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Modify the DTC Settlement Service Guide With Respect to Settlement Instructions Provided to DTC by Matching Utilities https://regulations.justia.com/regulations/fedreg/2016/11/18/2016-27740.html https://regulations.justia.com/regulations/fedreg/2016/11/18/2016-27740.html Fri, 18 Nov 2016 00:00:00 -0800 2016-27740 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-11-18/pdf/2016-27740.pdf Notice - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Order Approving 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 Customers To File and Serve Pleadings and Documents Through the FINRA Office of Dispute Resolution's Party Portal and To Permit Mediation Parties To Use the Portal https://regulations.justia.com/regulations/fedreg/2016/11/18/2016-27739.html https://regulations.justia.com/regulations/fedreg/2016/11/18/2016-27739.html Fri, 18 Nov 2016 00:00:00 -0800 2016-27739 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-11-18/pdf/2016-27739.pdf Notice - Self-Regulatory Organizations; Municipal Securities Rulemaking Board; Notice of Filing of a Proposed Rule Change To Extend the MSRB's Customer Complaint and Related Recordkeeping Rules to Municipal Advisors and To Modernize Those Rules https://regulations.justia.com/regulations/fedreg/2016/11/18/2016-27738.html https://regulations.justia.com/regulations/fedreg/2016/11/18/2016-27738.html Fri, 18 Nov 2016 00:00:00 -0800 2016-27738 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-11-18/pdf/2016-27738.pdf Notice - Order Approving Public Company Accounting Oversight Board Supplemental Budget for Calendar Year 2016 https://regulations.justia.com/regulations/fedreg/2016/11/18/2016-27708.html https://regulations.justia.com/regulations/fedreg/2016/11/18/2016-27708.html Fri, 18 Nov 2016 00:00:00 -0800 2016-27708 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-11-18/pdf/2016-27708.pdf Rule - Investment Company Reporting Modernization https://regulations.justia.com/regulations/fedreg/2016/11/18/2016-25349.html https://regulations.justia.com/regulations/fedreg/2016/11/18/2016-25349.html Fri, 18 Nov 2016 00:00:00 -0800 2016-25349 Rule https://www.gpo.gov/fdsys/pkg/FR-2016-11-18/pdf/2016-25349.pdf Rule - Investment Company Liquidity Risk Management Programs https://regulations.justia.com/regulations/fedreg/2016/11/18/2016-25348.html https://regulations.justia.com/regulations/fedreg/2016/11/18/2016-25348.html Fri, 18 Nov 2016 00:00:00 -0800 2016-25348 Rule https://www.gpo.gov/fdsys/pkg/FR-2016-11-18/pdf/2016-25348.pdf Rule - Investment Company Swing Pricing https://regulations.justia.com/regulations/fedreg/2016/11/18/2016-25347.html https://regulations.justia.com/regulations/fedreg/2016/11/18/2016-25347.html Fri, 18 Nov 2016 00:00:00 -0800 2016-25347 Rule https://www.gpo.gov/fdsys/pkg/FR-2016-11-18/pdf/2016-25347.pdf