<![CDATA[Federal Register Recent Federal Regulation Documents - Justia Regulation Tracker - Justia Regulations Tracker]]> https://regulations.justia.com/regulations/fedreg/agencies/securities-and-exchange-commission/2016/11/23?registers=between Fri, 17 May 2024 02:21:11 -0700 Fri, 17 May 2024 02:21:11 -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/2016/11/23?registers=between Notice - Advisory Committee on Small and Emerging Companies https://regulations.justia.com/regulations/fedreg/2016/11/23/2016-28257.html https://regulations.justia.com/regulations/fedreg/2016/11/23/2016-28257.html Wed, 23 Nov 2016 00:00:00 -0800 2016-28257 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-11-23/pdf/2016-28257.pdf Notice - Self-Regulatory Organizations; Municipal Securities Rulemaking Board; Notice of Filing of Amendment No. 1 and Order Granting Accelerated Approval of a Proposed Rule Change, as Modified by Amendment No. 1, 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 Price https://regulations.justia.com/regulations/fedreg/2016/11/23/2016-28197.html https://regulations.justia.com/regulations/fedreg/2016/11/23/2016-28197.html Wed, 23 Nov 2016 00:00:00 -0800 2016-28197 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-11-23/pdf/2016-28197.pdf Notice - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing of Amendment No. 1 and Order Granting Accelerated Approval of a Proposed Rule Change, as Modified by Amendment No. 1, Relating to FINRA Rule 2232 (Customer Confirmations) To Require Members To Disclose Additional Pricing Information on Retail Customer Confirmations Relating to Transactions in Certain Fixed Income Securities https://regulations.justia.com/regulations/fedreg/2016/11/23/2016-28190.html https://regulations.justia.com/regulations/fedreg/2016/11/23/2016-28190.html Wed, 23 Nov 2016 00:00:00 -0800 2016-28190 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-11-23/pdf/2016-28190.pdf Notice - Self-Regulatory Organizations; NASDAQ PHLX LLC; Order Instituting Proceedings To Determine Whether To Approve or Disapprove a Proposed Rule Change To Adopt a New Exception in Exchange Rule 1000(f) for Sub-MPV Split-Price Orders https://regulations.justia.com/regulations/fedreg/2016/11/23/2016-28189.html https://regulations.justia.com/regulations/fedreg/2016/11/23/2016-28189.html Wed, 23 Nov 2016 00:00:00 -0800 2016-28189 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-11-23/pdf/2016-28189.pdf Notice - Self-Regulatory Organizations; Bats EDGX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of an Amendment to Rule 8.11, Effective Date of Judgment and the Adoption of Rule 8.18, Release of Disciplinary Complaints, Decisions and Other Information https://regulations.justia.com/regulations/fedreg/2016/11/23/2016-28188.html https://regulations.justia.com/regulations/fedreg/2016/11/23/2016-28188.html Wed, 23 Nov 2016 00:00:00 -0800 2016-28188 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-11-23/pdf/2016-28188.pdf Notice - Self-Regulatory Organizations; Bats EDGA Exchange, Inc.; Notice of Filing and Immediate Effectiveness of an Amendment to Rule 8.11, Effective Date of Judgment and the Adoption of Rule 8.18, Release of Disciplinary Complaints, Decisions and Other Information https://regulations.justia.com/regulations/fedreg/2016/11/23/2016-28187.html https://regulations.justia.com/regulations/fedreg/2016/11/23/2016-28187.html Wed, 23 Nov 2016 00:00:00 -0800 2016-28187 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-11-23/pdf/2016-28187.pdf Notice - Self-Regulatory Organizations; Bats BZX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of an Amendment to Rule 8.11, Effective Date of Judgment and the Adoption of Rule 8.18, Release of Disciplinary Complaints, Decisions and Other Information https://regulations.justia.com/regulations/fedreg/2016/11/23/2016-28186.html https://regulations.justia.com/regulations/fedreg/2016/11/23/2016-28186.html Wed, 23 Nov 2016 00:00:00 -0800 2016-28186 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-11-23/pdf/2016-28186.pdf Notice - Self-Regulatory Organizations; Bats BYX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of an Amendment to Rule 8.11, Effective Date of Judgement and the Adoption of Rule 8.18, Release of Disciplinary Complaints, Decisions and Other Information https://regulations.justia.com/regulations/fedreg/2016/11/23/2016-28185.html https://regulations.justia.com/regulations/fedreg/2016/11/23/2016-28185.html Wed, 23 Nov 2016 00:00:00 -0800 2016-28185 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-11-23/pdf/2016-28185.pdf Notice - Self-Regulatory Organizations; Bats EDGX Exchange, Inc.; Notice of Designation of Longer Period for Commission Action on Proposed Rule Change Related to the Exchange's Equity Options Platform To Adopt a Price Improvement Auction, the Bats Auction Mechanism https://regulations.justia.com/regulations/fedreg/2016/11/23/2016-28184.html https://regulations.justia.com/regulations/fedreg/2016/11/23/2016-28184.html Wed, 23 Nov 2016 00:00:00 -0800 2016-28184 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-11-23/pdf/2016-28184.pdf Notice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing of Proposed Rule Change To Conform to Proposed Amendments to Securities Exchange Act Rule 15c6-1(A) To Shorten the Standard Settlement Cycle From Three Business Days After the Trade Date (“T+3”) to Two Business Days After the Trade Date (“T+2”) https://regulations.justia.com/regulations/fedreg/2016/11/23/2016-28183.html https://regulations.justia.com/regulations/fedreg/2016/11/23/2016-28183.html Wed, 23 Nov 2016 00:00:00 -0800 2016-28183 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-11-23/pdf/2016-28183.pdf Notice - Joint Industry Plan; Order Approving the National Market System Plan Governing the Consolidated Audit Trail https://regulations.justia.com/regulations/fedreg/2016/11/23/2016-27919.html https://regulations.justia.com/regulations/fedreg/2016/11/23/2016-27919.html Wed, 23 Nov 2016 00:00:00 -0800 2016-27919 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-11-23/pdf/2016-27919.pdf