Federal Register Recent Federal Regulation Documents - Justia Regulation Tracker - Justia Regulations Trackerhttps://regulations.justia.com/regulations/fedreg/agencies/securities-and-exchange-commission/2016/11?limit=200®isters=between&min-day=1&max-day=30&mode=atom2024-04-18T16:26:15-07:00Justia Inchttps://www.justia.com/Justia Regulations Trackerhttps://regulations.justia.com/images/justiafedregulations.gifCopyright 2011 Justia Inchttps://regulations.justia.com/regulations/fedreg/2016/11/30/2016-28781.htmlNotice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Rule 7.312016-11-30T00:00:00-08:002016-11-30T00:00:00-08:002016-28781Noticehttps://www.gpo.gov/fdsys/pkg/FR-2016-11-30/pdf/2016-28781.pdfhttps://regulations.justia.com/regulations/fedreg/2016/11/30/2016-28780.htmlNotice - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Rule 15 Relating to Pre-Opening Indications2016-11-30T00:00:00-08:002016-11-30T00:00:00-08:002016-28780Noticehttps://www.gpo.gov/fdsys/pkg/FR-2016-11-30/pdf/2016-28780.pdfhttps://regulations.justia.com/regulations/fedreg/2016/11/30/2016-28779.htmlNotice - Self-Regulatory Organizations; NYSE MKT LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Rule 15-Equities Relating to Pre-Opening Indications2016-11-30T00:00:00-08:002016-11-30T00:00:00-08:002016-28779Noticehttps://www.gpo.gov/fdsys/pkg/FR-2016-11-30/pdf/2016-28779.pdfhttps://regulations.justia.com/regulations/fedreg/2016/11/30/2016-28778.htmlNotice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Designation of a Longer Period for Commission Action on a Proposed Rule Change Amending NYSE Arca Equities Rule 7.35P To Provide for Widened Price Collar Thresholds for the Core Open Auction on Volatile Trading Days2016-11-30T00:00:00-08:002016-11-30T00:00:00-08:002016-28778Noticehttps://www.gpo.gov/fdsys/pkg/FR-2016-11-30/pdf/2016-28778.pdfhttps://regulations.justia.com/regulations/fedreg/2016/11/30/2016-28777.htmlNotice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending NYSE Arca Equities Rule 7.162016-11-30T00:00:00-08:002016-11-30T00:00:00-08:002016-28777Noticehttps://www.gpo.gov/fdsys/pkg/FR-2016-11-30/pdf/2016-28777.pdfhttps://regulations.justia.com/regulations/fedreg/2016/11/30/2016-28776.htmlNotice - Self-Regulatory Organizations; Bats BYX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Make Ministerial and Corrective Changes to Rules 11.9, 11.13, 11.16, 11.22, and 11.272016-11-30T00:00:00-08:002016-11-30T00:00:00-08:002016-28776Noticehttps://www.gpo.gov/fdsys/pkg/FR-2016-11-30/pdf/2016-28776.pdfhttps://regulations.justia.com/regulations/fedreg/2016/11/30/2016-28775.htmlNotice - Self-Regulatory Organizations; Bats BZX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Make Ministerial and Corrective Changes to Exchange Rules 11.13, 11.16, 11.22, and 11.272016-11-30T00:00:00-08:002016-11-30T00:00:00-08:002016-28775Noticehttps://www.gpo.gov/fdsys/pkg/FR-2016-11-30/pdf/2016-28775.pdfhttps://regulations.justia.com/regulations/fedreg/2016/11/30/2016-28774.htmlNotice - Self-Regulatory Organizations; NYSE Arca, Inc.; Order Granting Approval of Proposed Rule Proposed Rule Change, as Modified by Amendment Nos. 1 and 2 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 ETF2016-11-30T00:00:00-08:002016-11-30T00:00:00-08:002016-28774Noticehttps://www.gpo.gov/fdsys/pkg/FR-2016-11-30/pdf/2016-28774.pdfhttps://regulations.justia.com/regulations/fedreg/2016/11/30/2016-28773.htmlNotice - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Section 907.00 of the Listed Company Manual2016-11-30T00:00:00-08:002016-11-30T00:00:00-08:002016-28773Noticehttps://www.gpo.gov/fdsys/pkg/FR-2016-11-30/pdf/2016-28773.pdfhttps://regulations.justia.com/regulations/fedreg/2016/11/30/2016-28771.htmlNotice - Self-Regulatory Organizations; National Securities Clearing Corporation; Notice of Filing of Advance Notice To Accelerate Its Trade Guaranty, Add New Clearing Fund Components, Enhance Its Intraday Risk Management, Provide for Loss Allocation of “Off-the-Market Transactions,” and Make Other Changes2016-11-30T00:00:00-08:002016-11-30T00:00:00-08:002016-28771Noticehttps://www.gpo.gov/fdsys/pkg/FR-2016-11-30/pdf/2016-28771.pdfhttps://regulations.justia.com/regulations/fedreg/2016/11/29/2016-28772.htmlNotice - Sunshine Act Meeting2016-11-29T00:00:00-08:002016-11-29T00:00:00-08:002016-28772Noticehttps://www.gpo.gov/fdsys/pkg/FR-2016-11-29/pdf/2016-28772.pdfhttps://regulations.justia.com/regulations/fedreg/2016/11/29/2016-28640.htmlNotice - OWLshares Trust, et al.; Notice of Application2016-11-29T00:00:00-08:002016-11-29T00:00:00-08:002016-28640Noticehttps://www.gpo.gov/fdsys/pkg/FR-2016-11-29/pdf/2016-28640.pdfhttps://regulations.justia.com/regulations/fedreg/2016/11/29/2016-28639.htmlNotice - Self-Regulatory Organizations; Bats BZX Exchange, Inc.; Order Granting Accelerated Approval of a Proposed Rule Change, as Modified by Amendments No. 1 and No. 2 Thereto, To List and Trade Shares of the iShares iBonds Dec 2023 Term Muni Bond ETF and iShares iBonds Dec 2024 Term Muni Bond ETF of the iShares U.S. ETF Trust Pursuant to BZX Rule 14.11(c)(4)2016-11-29T00:00:00-08:002016-11-29T00:00:00-08:002016-28639Noticehttps://www.gpo.gov/fdsys/pkg/FR-2016-11-29/pdf/2016-28639.pdfhttps://regulations.justia.com/regulations/fedreg/2016/11/29/2016-28638.htmlNotice - Self-Regulatory Organizations; NYSE Arca, Inc.; Order Instituting Proceedings To Determine Whether To Approve or Disapprove a Proposed Change, as Modified by Amendment No. 1, Amending the Co-location Services Offered by the Exchange To Add Certain Access and Connectivity Fees2016-11-29T00:00:00-08:002016-11-29T00:00:00-08:002016-28638Noticehttps://www.gpo.gov/fdsys/pkg/FR-2016-11-29/pdf/2016-28638.pdfhttps://regulations.justia.com/regulations/fedreg/2016/11/29/2016-28637.htmlNotice - Self-Regulatory Organizations; NYSE MKT LLC; Order Instituting Proceedings To Determine Whether To Approve or Disapprove a Proposed Change, as Modified by Amendment No. 1, Amending the Co-location Services Offered by the Exchange To Add Certain Access and Connectivity Fees2016-11-29T00:00:00-08:002016-11-29T00:00:00-08:002016-28637Noticehttps://www.gpo.gov/fdsys/pkg/FR-2016-11-29/pdf/2016-28637.pdfhttps://regulations.justia.com/regulations/fedreg/2016/11/29/2016-28636.htmlNotice - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Order Granting Approval of Proposed Rule Change, as Modified by Amendment No. 1, To List and Trade Certain Exchange-Traded Managed Funds2016-11-29T00:00:00-08:002016-11-29T00:00:00-08:002016-28636Noticehttps://www.gpo.gov/fdsys/pkg/FR-2016-11-29/pdf/2016-28636.pdfhttps://regulations.justia.com/regulations/fedreg/2016/11/29/2016-28635.htmlNotice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending NYSE Arca Equities Rule 5.1(c) Regarding the Requirements for the Listing of Securities That Are Issued by the Exchange or Any of Its Affiliates2016-11-29T00:00:00-08:002016-11-29T00:00:00-08:002016-28635Noticehttps://www.gpo.gov/fdsys/pkg/FR-2016-11-29/pdf/2016-28635.pdfhttps://regulations.justia.com/regulations/fedreg/2016/11/29/2016-28634.htmlNotice - Self-Regulatory Organizations; ICE Clear Europe Limited; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to the Finance Procedures2016-11-29T00:00:00-08:002016-11-29T00:00:00-08:002016-28634Noticehttps://www.gpo.gov/fdsys/pkg/FR-2016-11-29/pdf/2016-28634.pdfhttps://regulations.justia.com/regulations/fedreg/2016/11/29/2016-28633.htmlNotice - Self-Regulatory Organizations; NYSE MKT LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending NYSE MKT Rule 901NY2016-11-29T00:00:00-08:002016-11-29T00:00:00-08:002016-28633Noticehttps://www.gpo.gov/fdsys/pkg/FR-2016-11-29/pdf/2016-28633.pdfhttps://regulations.justia.com/regulations/fedreg/2016/11/29/2016-28632.htmlNotice - Self-Regulatory Organizations; NASDAQ PHLX LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the Allocation of Directed Complex Orders2016-11-29T00:00:00-08:002016-11-29T00:00:00-08:002016-28632Noticehttps://www.gpo.gov/fdsys/pkg/FR-2016-11-29/pdf/2016-28632.pdfhttps://regulations.justia.com/regulations/fedreg/2016/11/28/2016-28642.htmlNotice - Sunshine Act Meeting2016-11-28T00:00:00-08:002016-11-28T00:00:00-08:002016-28642Noticehttps://www.gpo.gov/fdsys/pkg/FR-2016-11-28/pdf/2016-28642.pdfhttps://regulations.justia.com/regulations/fedreg/2016/11/28/2016-28461.htmlNotice - Self-Regulatory Organizations; The Nasdaq Stock Market LLC; Order Granting Approval of Proposed Rule Change To Modify Rule IM-5900-7 To Adjust the Entitlement to Services of Acquisition Companies2016-11-28T00:00:00-08:002016-11-28T00:00:00-08:002016-28461Noticehttps://www.gpo.gov/fdsys/pkg/FR-2016-11-28/pdf/2016-28461.pdfhttps://regulations.justia.com/regulations/fedreg/2016/11/28/2016-28460.htmlNotice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending NYSE Arca Rules 7.1 and 7.2, and NYSE Arca Equities Rules 7.1 and 7.22016-11-28T00:00:00-08:002016-11-28T00:00:00-08:002016-28460Noticehttps://www.gpo.gov/fdsys/pkg/FR-2016-11-28/pdf/2016-28460.pdfhttps://regulations.justia.com/regulations/fedreg/2016/11/28/2016-28459.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 Facility2016-11-28T00:00:00-08:002016-11-28T00:00:00-08:002016-28459Noticehttps://www.gpo.gov/fdsys/pkg/FR-2016-11-28/pdf/2016-28459.pdfhttps://regulations.justia.com/regulations/fedreg/2016/11/28/2016-28458.htmlNotice - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Provide a Process for an Expedited Proceeding and Adopt a Rule To Prohibit Disruptive Quoting and Trading Activity2016-11-28T00:00:00-08:002016-11-28T00:00:00-08:002016-28458Noticehttps://www.gpo.gov/fdsys/pkg/FR-2016-11-28/pdf/2016-28458.pdfhttps://regulations.justia.com/regulations/fedreg/2016/11/28/2016-28457.htmlNotice - Order Granting Limited Exemption From Exchange Act Rule 15c2-11 to Certain Interdealer Quotation Systems Pursuant to Exchange Act Rule 15c2-11(h)2016-11-28T00:00:00-08:002016-11-28T00:00:00-08:002016-28457Noticehttps://www.gpo.gov/fdsys/pkg/FR-2016-11-28/pdf/2016-28457.pdfhttps://regulations.justia.com/regulations/fedreg/2016/11/28/2016-28456.htmlNotice - In the Matter of the New York Stock Exchange LLC for an Order Granting the Approval of Proposed Rule Change Adopting Maximum Fees Member Organizations May Charge in Connection With the Distribution of Investment Company Shareholder Reports Pursuant to Any Electronic Delivery Rules Adopted by the Securities and Exchange Commission; Order Scheduling Filing of Statements on Review2016-11-28T00:00:00-08:002016-11-28T00:00:00-08:002016-28456Noticehttps://www.gpo.gov/fdsys/pkg/FR-2016-11-28/pdf/2016-28456.pdfhttps://regulations.justia.com/regulations/fedreg/2016/11/25/2016-28319.htmlNotice - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; NASDAQ BX, Inc.; International Securities Exchange, LLC; ISE Gemini, LLC; ISE Mercury, LLC; NASDAQ PHLX LLC; Boston Stock Exchange Clearing Corporation; Stock Clearing Corporation of Philadelphia; Notice of Filing of Amendment No. 1 and Order Granting Accelerated Approval of the Proposed Rule Change, as Modified by Amendment No. 1, Amending Bylaws of Nasdaq, Inc. To Implement Proxy Access2016-11-25T00:00:00-08:002016-11-25T00:00:00-08:002016-28319Noticehttps://www.gpo.gov/fdsys/pkg/FR-2016-11-25/pdf/2016-28319.pdfhttps://regulations.justia.com/regulations/fedreg/2016/11/25/2016-28312.htmlNotice - Self-Regulatory Organizations; National Securities Clearing Corporation; Notice of Filing of Proposed Rule Change To Accommodate Shorter Standard Settlement Cycle and Make Other Changes2016-11-25T00:00:00-08:002016-11-25T00:00:00-08:002016-28312Noticehttps://www.gpo.gov/fdsys/pkg/FR-2016-11-25/pdf/2016-28312.pdfhttps://regulations.justia.com/regulations/fedreg/2016/11/25/2016-28311.htmlNotice - Self-Regulatory Organizations; New York Stock Exchange LLC; Order Granting Approval of Proposed Rule Change Adopting Maximum Fees Member Organizations May Charge in Connection With the Distribution of Investment Company Shareholder Reports Pursuant to Any Electronic Delivery Rules Adopted by the Securities and Exchange Commission2016-11-25T00:00:00-08:002016-11-25T00:00:00-08:002016-28311Noticehttps://www.gpo.gov/fdsys/pkg/FR-2016-11-25/pdf/2016-28311.pdfhttps://regulations.justia.com/regulations/fedreg/2016/11/25/2016-28310.htmlNotice - Self-Regulatory Organizations; ISE Mercury, LLC; Notice of Filing of Proposed Rule Change To Reduce the Response Times in the Block Mechanism, Facilitation Mechanism, Solicited Order Mechanism and Price Improvement Mechanism2016-11-25T00:00:00-08:002016-11-25T00:00:00-08:002016-28310Noticehttps://www.gpo.gov/fdsys/pkg/FR-2016-11-25/pdf/2016-28310.pdfhttps://regulations.justia.com/regulations/fedreg/2016/11/25/2016-28309.htmlNotice - Self-Regulatory Organizations; ISE Gemini, LLC; Notice of Filing of Proposed Rule Change To Reduce the Response Times in the Block Mechanism, Facilitation Mechanism, Solicited Order Mechanism and Price Improvement Mechanism2016-11-25T00:00:00-08:002016-11-25T00:00:00-08:002016-28309Noticehttps://www.gpo.gov/fdsys/pkg/FR-2016-11-25/pdf/2016-28309.pdfhttps://regulations.justia.com/regulations/fedreg/2016/11/25/2016-28308.htmlNotice - Self-Regulatory Organizations; International Securities Exchange, LLC; Notice of Filing of Proposed Rule Change To Reduce the Response Times in the Block Mechanism, Facilitation Mechanism, Solicited Order Mechanism and Price Improvement Mechanism2016-11-25T00:00:00-08:002016-11-25T00:00:00-08:002016-28308Noticehttps://www.gpo.gov/fdsys/pkg/FR-2016-11-25/pdf/2016-28308.pdfhttps://regulations.justia.com/regulations/fedreg/2016/11/25/2016-28307.htmlNotice - Self-Regulatory Organizations; The Depository Trust Company; Notice of Designation of a Longer Period for Commission Action on Proposed Rule Change Relating to Processing of Transactions in Money Market Instruments2016-11-25T00:00:00-08:002016-11-25T00:00:00-08:002016-28307Noticehttps://www.gpo.gov/fdsys/pkg/FR-2016-11-25/pdf/2016-28307.pdfhttps://regulations.justia.com/regulations/fedreg/2016/11/23/2016-28257.htmlNotice - Advisory Committee on Small and Emerging Companies2016-11-23T00:00:00-08:002016-11-23T00:00:00-08:002016-28257Noticehttps://www.gpo.gov/fdsys/pkg/FR-2016-11-23/pdf/2016-28257.pdfhttps://regulations.justia.com/regulations/fedreg/2016/11/23/2016-28197.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 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 Price2016-11-23T00:00:00-08:002016-11-23T00:00:00-08:002016-28197Noticehttps://www.gpo.gov/fdsys/pkg/FR-2016-11-23/pdf/2016-28197.pdfhttps://regulations.justia.com/regulations/fedreg/2016/11/23/2016-28190.htmlNotice - 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 Securities2016-11-23T00:00:00-08:002016-11-23T00:00:00-08:002016-28190Noticehttps://www.gpo.gov/fdsys/pkg/FR-2016-11-23/pdf/2016-28190.pdfhttps://regulations.justia.com/regulations/fedreg/2016/11/23/2016-28189.htmlNotice - 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 Orders2016-11-23T00:00:00-08:002016-11-23T00:00:00-08:002016-28189Noticehttps://www.gpo.gov/fdsys/pkg/FR-2016-11-23/pdf/2016-28189.pdfhttps://regulations.justia.com/regulations/fedreg/2016/11/23/2016-28188.htmlNotice - 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 Information2016-11-23T00:00:00-08:002016-11-23T00:00:00-08:002016-28188Noticehttps://www.gpo.gov/fdsys/pkg/FR-2016-11-23/pdf/2016-28188.pdfhttps://regulations.justia.com/regulations/fedreg/2016/11/23/2016-28187.htmlNotice - 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 Information2016-11-23T00:00:00-08:002016-11-23T00:00:00-08:002016-28187Noticehttps://www.gpo.gov/fdsys/pkg/FR-2016-11-23/pdf/2016-28187.pdfhttps://regulations.justia.com/regulations/fedreg/2016/11/23/2016-28186.htmlNotice - 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 Information2016-11-23T00:00:00-08:002016-11-23T00:00:00-08:002016-28186Noticehttps://www.gpo.gov/fdsys/pkg/FR-2016-11-23/pdf/2016-28186.pdfhttps://regulations.justia.com/regulations/fedreg/2016/11/23/2016-28185.htmlNotice - 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 Information2016-11-23T00:00:00-08:002016-11-23T00:00:00-08:002016-28185Noticehttps://www.gpo.gov/fdsys/pkg/FR-2016-11-23/pdf/2016-28185.pdfhttps://regulations.justia.com/regulations/fedreg/2016/11/23/2016-28184.htmlNotice - 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 Mechanism2016-11-23T00:00:00-08:002016-11-23T00:00:00-08:002016-28184Noticehttps://www.gpo.gov/fdsys/pkg/FR-2016-11-23/pdf/2016-28184.pdfhttps://regulations.justia.com/regulations/fedreg/2016/11/23/2016-28183.htmlNotice - 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”)2016-11-23T00:00:00-08:002016-11-23T00:00:00-08:002016-28183Noticehttps://www.gpo.gov/fdsys/pkg/FR-2016-11-23/pdf/2016-28183.pdfhttps://regulations.justia.com/regulations/fedreg/2016/11/23/2016-27919.htmlNotice - Joint Industry Plan; Order Approving the National Market System Plan Governing the Consolidated Audit Trail2016-11-23T00:00:00-08:002016-11-23T00:00:00-08:002016-27919Noticehttps://www.gpo.gov/fdsys/pkg/FR-2016-11-23/pdf/2016-27919.pdfhttps://regulations.justia.com/regulations/fedreg/2016/11/22/2016-28077.htmlNotice - Investor Advisory Committee Meeting2016-11-22T00:00:00-08:002016-11-22T00:00:00-08:002016-28077Noticehttps://www.gpo.gov/fdsys/pkg/FR-2016-11-22/pdf/2016-28077.pdfhttps://regulations.justia.com/regulations/fedreg/2016/11/22/2016-28037.htmlNotice - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the Limit Order Protection for Members Accessing the Nasdaq Market Center2016-11-22T00:00:00-08:002016-11-22T00:00:00-08:002016-28037Noticehttps://www.gpo.gov/fdsys/pkg/FR-2016-11-22/pdf/2016-28037.pdfhttps://regulations.justia.com/regulations/fedreg/2016/11/22/2016-28036.htmlNotice - Self-Regulatory Organizations; NASDAQ BX, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the Limit Order Protection2016-11-22T00:00:00-08:002016-11-22T00:00:00-08:002016-28036Noticehttps://www.gpo.gov/fdsys/pkg/FR-2016-11-22/pdf/2016-28036.pdfhttps://regulations.justia.com/regulations/fedreg/2016/11/22/2016-28035.htmlNotice - Self-Regulatory Organizations; NYSE MKT LLC; Notice of Filing of Proposed Rule Change, as Modified by Amendment No. 1 Thereto, Introducing NYSE OptX2016-11-22T00:00:00-08:002016-11-22T00:00:00-08:002016-28035Noticehttps://www.gpo.gov/fdsys/pkg/FR-2016-11-22/pdf/2016-28035.pdfhttps://regulations.justia.com/regulations/fedreg/2016/11/22/2016-28034.htmlNotice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing of Proposed Rule Change, as Modified by Amendment No. 1 Thereto, Introducing NYSE OptX2016-11-22T00:00:00-08:002016-11-22T00:00:00-08:002016-28034Noticehttps://www.gpo.gov/fdsys/pkg/FR-2016-11-22/pdf/2016-28034.pdfhttps://regulations.justia.com/regulations/fedreg/2016/11/22/2016-28033.htmlNotice - Self-Regulatory Organizations; NASDAQ PHLX LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the Limit Order Protection2016-11-22T00:00:00-08:002016-11-22T00:00:00-08:002016-28033Noticehttps://www.gpo.gov/fdsys/pkg/FR-2016-11-22/pdf/2016-28033.pdfhttps://regulations.justia.com/regulations/fedreg/2016/11/22/2016-28032.htmlNotice - Self-Regulatory Organizations; ICE Clear Credit LLC; Notice of Filing of Proposed Rule Change to Amend the ICE Clear Credit Clearing Rules2016-11-22T00:00:00-08:002016-11-22T00:00:00-08:002016-28032Noticehttps://www.gpo.gov/fdsys/pkg/FR-2016-11-22/pdf/2016-28032.pdfhttps://regulations.justia.com/regulations/fedreg/2016/11/22/2016-28031.htmlNotice - Self-Regulatory Organizations; ISE Mercury, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Make Non-Controversial and Technical Changes to Exchange Rules2016-11-22T00:00:00-08:002016-11-22T00:00:00-08:002016-28031Noticehttps://www.gpo.gov/fdsys/pkg/FR-2016-11-22/pdf/2016-28031.pdfhttps://regulations.justia.com/regulations/fedreg/2016/11/22/2016-28030.htmlNotice - Self-Regulatory Organizations; NASDAQ PHLX LLC; Order Granting Approval of Proposed Rule Change To Delete Outdated or Unnecessary Rule Language in Phlx Rule 10202016-11-22T00:00:00-08:002016-11-22T00:00:00-08:002016-28030Noticehttps://www.gpo.gov/fdsys/pkg/FR-2016-11-22/pdf/2016-28030.pdfhttps://regulations.justia.com/regulations/fedreg/2016/11/22/2016-28029.htmlNotice - Legg Mason ETF Equity Trust, et al.; Notice of Application2016-11-22T00:00:00-08:002016-11-22T00:00:00-08:002016-28029Noticehttps://www.gpo.gov/fdsys/pkg/FR-2016-11-22/pdf/2016-28029.pdfhttps://regulations.justia.com/regulations/fedreg/2016/11/22/2016-28028.htmlNotice - Submission for OMB Review; Comment Request2016-11-22T00:00:00-08:002016-11-22T00:00:00-08:002016-28028Noticehttps://www.gpo.gov/fdsys/pkg/FR-2016-11-22/pdf/2016-28028.pdfhttps://regulations.justia.com/regulations/fedreg/2016/11/22/2016-28027.htmlNotice - Proposed Collection; Comment Request2016-11-22T00:00:00-08:002016-11-22T00:00:00-08:002016-28027Noticehttps://www.gpo.gov/fdsys/pkg/FR-2016-11-22/pdf/2016-28027.pdfhttps://regulations.justia.com/regulations/fedreg/2016/11/22/2016-28026.htmlNotice - Submission for OMB Review; Comment Request2016-11-22T00:00:00-08:002016-11-22T00:00:00-08:002016-28026Noticehttps://www.gpo.gov/fdsys/pkg/FR-2016-11-22/pdf/2016-28026.pdfhttps://regulations.justia.com/regulations/fedreg/2016/11/22/2016-28025.htmlNotice - Self-Regulatory Organizations; Miami International Securities Exchange LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Exchange Rule 605 Market Maker Orders2016-11-22T00:00:00-08:002016-11-22T00:00:00-08:002016-28025Noticehttps://www.gpo.gov/fdsys/pkg/FR-2016-11-22/pdf/2016-28025.pdfhttps://regulations.justia.com/regulations/fedreg/2016/11/21/2016-27897.htmlNotice - Self-Regulatory Organizations; The Nasdaq Stock Market LLC; Order Instituting Proceedings To Determine Whether To Approve or Disapprove a Proposed Rule Change Related to the Payment of a Credit by Execution Access, LLC Based on Volume Thresholds Met on the NASDAQ Options Market2016-11-21T00:00:00-08:002016-11-21T00:00:00-08:002016-27897Noticehttps://www.gpo.gov/fdsys/pkg/FR-2016-11-21/pdf/2016-27897.pdfhttps://regulations.justia.com/regulations/fedreg/2016/11/21/2016-27896.htmlNotice - Self-Regulatory Organizations; New York Stock Exchange LLC; Order Instituting Proceedings To Determine Whether To Approve or Disapprove a Proposed Change, as Modified by Amendment Nos. 1 and 2, Amending the Co-Location Services Offered by the Exchange To Add Certain Access and Connectivity Fees2016-11-21T00:00:00-08:002016-11-21T00:00:00-08:002016-27896Noticehttps://www.gpo.gov/fdsys/pkg/FR-2016-11-21/pdf/2016-27896.pdfhttps://regulations.justia.com/regulations/fedreg/2016/11/21/2016-27895.htmlNotice - Self-Regulatory Organizations; C2 Options Exchange, Incorporated; Notice of Filing of a Proposed Rule Change Relating to Opening of Series for Trading on the Exchange2016-11-21T00:00:00-08:002016-11-21T00:00:00-08:002016-27895Noticehttps://www.gpo.gov/fdsys/pkg/FR-2016-11-21/pdf/2016-27895.pdfhttps://regulations.justia.com/regulations/fedreg/2016/11/21/2016-27894.htmlNotice - Self-Regulatory Organizations; NYSE MKT LLC; Notice of Filing and Immediate Effectiveness of Proposed Change Amending the Fees for NYSE MKT BBO and NYSE MKT Trades To Lower the Enterprise Fee2016-11-21T00:00:00-08:002016-11-21T00:00:00-08:002016-27894Noticehttps://www.gpo.gov/fdsys/pkg/FR-2016-11-21/pdf/2016-27894.pdfhttps://regulations.justia.com/regulations/fedreg/2016/11/21/2016-27893.htmlNotice - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending the Fees for NYSE BBO and NYSE Trades To Lower the Enterprise Fee2016-11-21T00:00:00-08:002016-11-21T00:00:00-08:002016-27893Noticehttps://www.gpo.gov/fdsys/pkg/FR-2016-11-21/pdf/2016-27893.pdfhttps://regulations.justia.com/regulations/fedreg/2016/11/21/2016-27892.htmlNotice - Self-Regulatory Organizations; Bats BZX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Extend the Pilot Period for the Supplemental Competitive Liquidity Provider Program2016-11-21T00:00:00-08:002016-11-21T00:00:00-08:002016-27892Noticehttps://www.gpo.gov/fdsys/pkg/FR-2016-11-21/pdf/2016-27892.pdfhttps://regulations.justia.com/regulations/fedreg/2016/11/21/2016-27891.htmlNotice - Self-Regulatory Organizations; BOX Options Exchange LLC; Order Approving a Proposed Rule Change To Amend the Treatment of Quotes To Provide That All Quotes on BOX Are Liquidity Adding Only2016-11-21T00:00:00-08:002016-11-21T00:00:00-08:002016-27891Noticehttps://www.gpo.gov/fdsys/pkg/FR-2016-11-21/pdf/2016-27891.pdfhttps://regulations.justia.com/regulations/fedreg/2016/11/21/2016-26348.htmlRule - Exemptions To Facilitate Intrastate and Regional Securities Offerings2016-11-21T00:00:00-08:002016-11-21T00:00:00-08:002016-26348Rulehttps://www.gpo.gov/fdsys/pkg/FR-2016-11-21/pdf/2016-26348.pdfhttps://regulations.justia.com/regulations/fedreg/2016/11/18/2016-27750.htmlNotice - Proposed Collection; Comment Request2016-11-18T00:00:00-08:002016-11-18T00:00:00-08:002016-27750Noticehttps://www.gpo.gov/fdsys/pkg/FR-2016-11-18/pdf/2016-27750.pdfhttps://regulations.justia.com/regulations/fedreg/2016/11/18/2016-27749.htmlNotice - Proposed Collection; Comment Request2016-11-18T00:00:00-08:002016-11-18T00:00:00-08:002016-27749Noticehttps://www.gpo.gov/fdsys/pkg/FR-2016-11-18/pdf/2016-27749.pdfhttps://regulations.justia.com/regulations/fedreg/2016/11/18/2016-27748.htmlNotice - 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 Fee2016-11-18T00:00:00-08:002016-11-18T00:00:00-08:002016-27748Noticehttps://www.gpo.gov/fdsys/pkg/FR-2016-11-18/pdf/2016-27748.pdfhttps://regulations.justia.com/regulations/fedreg/2016/11/18/2016-27747.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.2016-11-18T00:00:00-08:002016-11-18T00:00:00-08:002016-27747Noticehttps://www.gpo.gov/fdsys/pkg/FR-2016-11-18/pdf/2016-27747.pdfhttps://regulations.justia.com/regulations/fedreg/2016/11/18/2016-27746.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 Facility2016-11-18T00:00:00-08:002016-11-18T00:00:00-08:002016-27746Noticehttps://www.gpo.gov/fdsys/pkg/FR-2016-11-18/pdf/2016-27746.pdfhttps://regulations.justia.com/regulations/fedreg/2016/11/18/2016-27745.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.2016-11-18T00:00:00-08:002016-11-18T00:00:00-08:002016-27745Noticehttps://www.gpo.gov/fdsys/pkg/FR-2016-11-18/pdf/2016-27745.pdfhttps://regulations.justia.com/regulations/fedreg/2016/11/18/2016-27744.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.2016-11-18T00:00:00-08:002016-11-18T00:00:00-08:002016-27744Noticehttps://www.gpo.gov/fdsys/pkg/FR-2016-11-18/pdf/2016-27744.pdfhttps://regulations.justia.com/regulations/fedreg/2016/11/18/2016-27743.htmlNotice - 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.2016-11-18T00:00:00-08:002016-11-18T00:00:00-08:002016-27743Noticehttps://www.gpo.gov/fdsys/pkg/FR-2016-11-18/pdf/2016-27743.pdfhttps://regulations.justia.com/regulations/fedreg/2016/11/18/2016-27742.htmlNotice - 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 Cycle2016-11-18T00:00:00-08:002016-11-18T00:00:00-08:002016-27742Noticehttps://www.gpo.gov/fdsys/pkg/FR-2016-11-18/pdf/2016-27742.pdfhttps://regulations.justia.com/regulations/fedreg/2016/11/18/2016-27741.htmlNotice - Self-Regulatory Organizations; Miami International Securities Exchange LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Its Fee Schedule2016-11-18T00:00:00-08:002016-11-18T00:00:00-08:002016-27741Noticehttps://www.gpo.gov/fdsys/pkg/FR-2016-11-18/pdf/2016-27741.pdfhttps://regulations.justia.com/regulations/fedreg/2016/11/18/2016-27740.htmlNotice - 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 Utilities2016-11-18T00:00:00-08:002016-11-18T00:00:00-08:002016-27740Noticehttps://www.gpo.gov/fdsys/pkg/FR-2016-11-18/pdf/2016-27740.pdfhttps://regulations.justia.com/regulations/fedreg/2016/11/18/2016-27739.htmlNotice - 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 Portal2016-11-18T00:00:00-08:002016-11-18T00:00:00-08:002016-27739Noticehttps://www.gpo.gov/fdsys/pkg/FR-2016-11-18/pdf/2016-27739.pdfhttps://regulations.justia.com/regulations/fedreg/2016/11/18/2016-27738.htmlNotice - 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 Rules2016-11-18T00:00:00-08:002016-11-18T00:00:00-08:002016-27738Noticehttps://www.gpo.gov/fdsys/pkg/FR-2016-11-18/pdf/2016-27738.pdfhttps://regulations.justia.com/regulations/fedreg/2016/11/18/2016-27708.htmlNotice - Order Approving Public Company Accounting Oversight Board Supplemental Budget for Calendar Year 20162016-11-18T00:00:00-08:002016-11-18T00:00:00-08:002016-27708Noticehttps://www.gpo.gov/fdsys/pkg/FR-2016-11-18/pdf/2016-27708.pdfhttps://regulations.justia.com/regulations/fedreg/2016/11/18/2016-25349.htmlRule - Investment Company Reporting Modernization2016-11-18T00:00:00-08:002016-11-18T00:00:00-08:002016-25349Rulehttps://www.gpo.gov/fdsys/pkg/FR-2016-11-18/pdf/2016-25349.pdfhttps://regulations.justia.com/regulations/fedreg/2016/11/18/2016-25348.htmlRule - Investment Company Liquidity Risk Management Programs2016-11-18T00:00:00-08:002016-11-18T00:00:00-08:002016-25348Rulehttps://www.gpo.gov/fdsys/pkg/FR-2016-11-18/pdf/2016-25348.pdfhttps://regulations.justia.com/regulations/fedreg/2016/11/18/2016-25347.htmlRule - Investment Company Swing Pricing2016-11-18T00:00:00-08:002016-11-18T00:00:00-08:002016-25347Rulehttps://www.gpo.gov/fdsys/pkg/FR-2016-11-18/pdf/2016-25347.pdfhttps://regulations.justia.com/regulations/fedreg/2016/11/17/2016-27603.htmlNotice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing of Amendment No. 2 to, and Order Granting Accelerated Approval of, a Proposed Rule Change, as Modified by Amendment No. 2 Thereto, Relating To Listing and Trading of Shares of Cumberland Municipal Bond ETF under NYSE Arca Equities Rule 8.6002016-11-17T00:00:00-08:002016-11-17T00:00:00-08:002016-27603Noticehttps://www.gpo.gov/fdsys/pkg/FR-2016-11-17/pdf/2016-27603.pdfhttps://regulations.justia.com/regulations/fedreg/2016/11/17/2016-27602.htmlNotice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the NYSE Arca Options Fee Schedule Effective November 3, 20162016-11-17T00:00:00-08:002016-11-17T00:00:00-08:002016-27602Noticehttps://www.gpo.gov/fdsys/pkg/FR-2016-11-17/pdf/2016-27602.pdfhttps://regulations.justia.com/regulations/fedreg/2016/11/17/2016-27600.htmlNotice - Self-Regulatory Organizations; NASDAQ BX, Inc.; The Nasdaq Stock Market LLC; Order Approving Proposed Rule Changes, as Modified by Amendments No. 1, Relating to Post-Only Orders and Orders With Midpoint Pegging2016-11-17T00:00:00-08:002016-11-17T00:00:00-08:002016-27600Noticehttps://www.gpo.gov/fdsys/pkg/FR-2016-11-17/pdf/2016-27600.pdfhttps://regulations.justia.com/regulations/fedreg/2016/11/17/2016-27599.htmlNotice - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to the Implementation Date for Alternative Trading Systems To Report Sequence Numbers Under Rule 45542016-11-17T00:00:00-08:002016-11-17T00:00:00-08:002016-27599Noticehttps://www.gpo.gov/fdsys/pkg/FR-2016-11-17/pdf/2016-27599.pdfhttps://regulations.justia.com/regulations/fedreg/2016/11/17/2016-27598.htmlNotice - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the Transaction Fees at Chapter XV, Section 2 Entitled “NASDAQ Options Market-Fees and Rebates”2016-11-17T00:00:00-08:002016-11-17T00:00:00-08:002016-27598Noticehttps://www.gpo.gov/fdsys/pkg/FR-2016-11-17/pdf/2016-27598.pdfhttps://regulations.justia.com/regulations/fedreg/2016/11/17/2016-27597.htmlNotice - Self-Regulatory Organizations; NYSE MKT LLC; Notice of Filing and Immediate Effectiveness of Proposed Change Adopting a Decommission Extension Fee for Receipt of the NYSE MKT Order Imbalances Market Data Product2016-11-17T00:00:00-08:002016-11-17T00:00:00-08:002016-27597Noticehttps://www.gpo.gov/fdsys/pkg/FR-2016-11-17/pdf/2016-27597.pdfhttps://regulations.justia.com/regulations/fedreg/2016/11/17/2016-27596.htmlNotice - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Adopting a Decommission Extension Fee for Receipt of the NYSE Order Imbalances Market Data Product2016-11-17T00:00:00-08:002016-11-17T00:00:00-08:002016-27596Noticehttps://www.gpo.gov/fdsys/pkg/FR-2016-11-17/pdf/2016-27596.pdfhttps://regulations.justia.com/regulations/fedreg/2016/11/17/2016-27595.htmlNotice - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Order Approving Proposed Rule Change To Amend Rule 12504 of the Code of Arbitration Procedure for Customer Disputes and Rule 13504 of the Code of Arbitration Procedure for Industry Disputes Relating to Motions To Dismiss in Arbitration2016-11-17T00:00:00-08:002016-11-17T00:00:00-08:002016-27595Noticehttps://www.gpo.gov/fdsys/pkg/FR-2016-11-17/pdf/2016-27595.pdfhttps://regulations.justia.com/regulations/fedreg/2016/11/17/2016-27594.htmlNotice - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing of Proposed Rule Change Amending Rule 104 To Delete Subsection (g)(i)(A)(III) Prohibiting Designated Market Makers From Establishing a New High (Low) Price on the Exchange in a Security the DMM Has a Long (Short) Position During the Last Ten Minutes Prior to the Close of Trading2016-11-17T00:00:00-08:002016-11-17T00:00:00-08:002016-27594Noticehttps://www.gpo.gov/fdsys/pkg/FR-2016-11-17/pdf/2016-27594.pdfhttps://regulations.justia.com/regulations/fedreg/2016/11/17/2016-27593.htmlNotice - Self-Regulatory Organizations; NYSE MKT LLC; Notice of Filing of Proposed Rule Change Amending Rule 104-Equities To Delete Subsection (g)(i)(A)(III) Prohibiting Designated Market Makers From Establishing a New High (Low) Price on the Exchange in a Security the DMM Has a Long (Short) Position During the Last Ten Minutes Prior to the Close of Trading2016-11-17T00:00:00-08:002016-11-17T00:00:00-08:002016-27593Noticehttps://www.gpo.gov/fdsys/pkg/FR-2016-11-17/pdf/2016-27593.pdfhttps://regulations.justia.com/regulations/fedreg/2016/11/17/2016-27592.htmlNotice - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Rule 4702 and Rule 4703 To Add a “Trade Now” Instruction to Certain Order Types2016-11-17T00:00:00-08:002016-11-17T00:00:00-08:002016-27592Noticehttps://www.gpo.gov/fdsys/pkg/FR-2016-11-17/pdf/2016-27592.pdfhttps://regulations.justia.com/regulations/fedreg/2016/11/17/2016-27591.htmlNotice - Self-Regulatory Organizations; NASDAQ BX, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Rule 4702 and Rule 4703 To Add a “Trade Now” Instruction to Certain Order Types2016-11-17T00:00:00-08:002016-11-17T00:00:00-08:002016-27591Noticehttps://www.gpo.gov/fdsys/pkg/FR-2016-11-17/pdf/2016-27591.pdfhttps://regulations.justia.com/regulations/fedreg/2016/11/17/2016-27590.htmlNotice - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the Fees Schedule2016-11-17T00:00:00-08:002016-11-17T00:00:00-08:002016-27590Noticehttps://www.gpo.gov/fdsys/pkg/FR-2016-11-17/pdf/2016-27590.pdfhttps://regulations.justia.com/regulations/fedreg/2016/11/16/2016-27631.htmlNotice - Sunshine Act Meeting2016-11-16T00:00:00-08:002016-11-16T00:00:00-08:002016-27631Noticehttps://www.gpo.gov/fdsys/pkg/FR-2016-11-16/pdf/2016-27631.pdfhttps://regulations.justia.com/regulations/fedreg/2016/11/16/2016-27630.htmlNotice - Sunshine Act Meeting2016-11-16T00:00:00-08:002016-11-16T00:00:00-08:002016-27630Noticehttps://www.gpo.gov/fdsys/pkg/FR-2016-11-16/pdf/2016-27630.pdfhttps://regulations.justia.com/regulations/fedreg/2016/11/16/2016-27472.htmlNotice - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the NBBO Program2016-11-16T00:00:00-08:002016-11-16T00:00:00-08:002016-27472Noticehttps://www.gpo.gov/fdsys/pkg/FR-2016-11-16/pdf/2016-27472.pdfhttps://regulations.justia.com/regulations/fedreg/2016/11/16/2016-27471.htmlNotice - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the Fees Schedule2016-11-16T00:00:00-08:002016-11-16T00:00:00-08:002016-27471Noticehttps://www.gpo.gov/fdsys/pkg/FR-2016-11-16/pdf/2016-27471.pdfhttps://regulations.justia.com/regulations/fedreg/2016/11/16/2016-27470.htmlNotice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Temporarily Widen Price Collar Thresholds for the Core Open Auction and Trading Halt Auctions2016-11-16T00:00:00-08:002016-11-16T00:00:00-08:002016-27470Noticehttps://www.gpo.gov/fdsys/pkg/FR-2016-11-16/pdf/2016-27470.pdfhttps://regulations.justia.com/regulations/fedreg/2016/11/16/2016-27469.htmlNotice - Self-Regulatory Organizations; NASDAQ PHLX LLC; Notice of Filing of Partial Amendment No. 2 and Order Granting Approval of a Proposed Rule Change, as Modified by Partial Amendment No. 2, To Amend PHLX Rule 1017, Openings in Options2016-11-16T00:00:00-08:002016-11-16T00:00:00-08:002016-27469Noticehttps://www.gpo.gov/fdsys/pkg/FR-2016-11-16/pdf/2016-27469.pdfhttps://regulations.justia.com/regulations/fedreg/2016/11/16/2016-27468.htmlNotice - Self-Regulatory Organizations; Bats EDGX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Fees for Use of the Exchange's Equity Options Platform2016-11-16T00:00:00-08:002016-11-16T00:00:00-08:002016-27468Noticehttps://www.gpo.gov/fdsys/pkg/FR-2016-11-16/pdf/2016-27468.pdfhttps://regulations.justia.com/regulations/fedreg/2016/11/16/2016-27467.htmlNotice - Self-Regulatory Organizations; Miami International Securities Exchange LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Exchange Rule 519A, Risk Protection Monitor2016-11-16T00:00:00-08:002016-11-16T00:00:00-08:002016-27467Noticehttps://www.gpo.gov/fdsys/pkg/FR-2016-11-16/pdf/2016-27467.pdfhttps://regulations.justia.com/regulations/fedreg/2016/11/15/2016-27377.htmlNotice - Submission for OMB Review; Comment Request2016-11-15T00:00:00-08:002016-11-15T00:00:00-08:002016-27377Noticehttps://www.gpo.gov/fdsys/pkg/FR-2016-11-15/pdf/2016-27377.pdfhttps://regulations.justia.com/regulations/fedreg/2016/11/15/2016-27375.htmlNotice - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Rule 7014 and the Nasdaq Growth Program2016-11-15T00:00:00-08:002016-11-15T00:00:00-08:002016-27375Noticehttps://www.gpo.gov/fdsys/pkg/FR-2016-11-15/pdf/2016-27375.pdfhttps://regulations.justia.com/regulations/fedreg/2016/11/15/2016-27374.htmlNotice - Self-Regulatory Organizations; Bats BYX Exchange, Inc.; Notice of Filing of a Proposed Rule Change in Connection With the Proposed Corporate Transaction Involving Bats Global Markets, Inc. and CBOE Holdings, Inc.2016-11-15T00:00:00-08:002016-11-15T00:00:00-08:002016-27374Noticehttps://www.gpo.gov/fdsys/pkg/FR-2016-11-15/pdf/2016-27374.pdfhttps://regulations.justia.com/regulations/fedreg/2016/11/15/2016-27373.htmlNotice - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Filing of a Proposed Rule Change in Connection With a Proposed Corporate Transaction Involving CBOE Holdings, Inc. and Bats Global Markets, Inc.2016-11-15T00:00:00-08:002016-11-15T00:00:00-08:002016-27373Noticehttps://www.gpo.gov/fdsys/pkg/FR-2016-11-15/pdf/2016-27373.pdfhttps://regulations.justia.com/regulations/fedreg/2016/11/15/2016-27372.htmlNotice - Self-Regulatory Organizations; C2 Options Exchange, Incorporated; Notice of Filing of a Proposed Rule Change in Connection With a Proposed Corporate Transaction Involving CBOE Holdings, Inc. and Bats Global Markets, Inc.2016-11-15T00:00:00-08:002016-11-15T00:00:00-08:002016-27372Noticehttps://www.gpo.gov/fdsys/pkg/FR-2016-11-15/pdf/2016-27372.pdfhttps://regulations.justia.com/regulations/fedreg/2016/11/15/2016-27371.htmlNotice - Self-Regulatory Organizations; Bats BZX Exchange, Inc.; Notice of Filing of a Proposed Rule Change in Connection With the Proposed Corporate Transaction Involving Bats Global Markets, Inc. and CBOE Holdings, Inc.2016-11-15T00:00:00-08:002016-11-15T00:00:00-08:002016-27371Noticehttps://www.gpo.gov/fdsys/pkg/FR-2016-11-15/pdf/2016-27371.pdfhttps://regulations.justia.com/regulations/fedreg/2016/11/15/2016-27370.htmlNotice - Self-Regulatory Organizations; Bats EDGA Exchange, Inc.; Notice of Filing of a Proposed Rule Change in Connection With the Proposed Corporate Transaction Involving Bats Global Markets, Inc. and CBOE Holdings, Inc.2016-11-15T00:00:00-08:002016-11-15T00:00:00-08:002016-27370Noticehttps://www.gpo.gov/fdsys/pkg/FR-2016-11-15/pdf/2016-27370.pdfhttps://regulations.justia.com/regulations/fedreg/2016/11/15/2016-27369.htmlNotice - Self-Regulatory Organizations; Bats EDGX Exchange, Inc.; Notice of Filing of a Proposed Rule Change in Connection With the Proposed Corporate Transaction Involving Bats Global Markets, Inc. and CBOE Holdings, Inc.2016-11-15T00:00:00-08:002016-11-15T00:00:00-08:002016-27369Noticehttps://www.gpo.gov/fdsys/pkg/FR-2016-11-15/pdf/2016-27369.pdfhttps://regulations.justia.com/regulations/fedreg/2016/11/15/2016-27368.htmlNotice - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Commentary .14 to Rule 4770 (Compliance With Regulation NMS Plan To Implement a Tick Size Pilot)2016-11-15T00:00:00-08:002016-11-15T00:00:00-08:002016-27368Noticehttps://www.gpo.gov/fdsys/pkg/FR-2016-11-15/pdf/2016-27368.pdfhttps://regulations.justia.com/regulations/fedreg/2016/11/15/2016-27367.htmlNotice - Self-Regulatory Organizations; NASDAQ BX, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Commentary .14 to Rule 4770 (Compliance With Regulation NMS Plan To Implement a Tick Size Pilot)2016-11-15T00:00:00-08:002016-11-15T00:00:00-08:002016-27367Noticehttps://www.gpo.gov/fdsys/pkg/FR-2016-11-15/pdf/2016-27367.pdfhttps://regulations.justia.com/regulations/fedreg/2016/11/15/2016-27366.htmlNotice - Self-Regulatory Organizations; NASDAQ PHLX LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Commentary .14 to Rule 3317 (Compliance With Regulation NMS Plan To Implement a Tick Size Pilot)2016-11-15T00:00:00-08:002016-11-15T00:00:00-08:002016-27366Noticehttps://www.gpo.gov/fdsys/pkg/FR-2016-11-15/pdf/2016-27366.pdfhttps://regulations.justia.com/regulations/fedreg/2016/11/15/2016-27365.htmlNotice - Self-Regulatory Organizations; NASDAQ BX, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Adopt Cease and Desist Authority Rules2016-11-15T00:00:00-08:002016-11-15T00:00:00-08:002016-27365Noticehttps://www.gpo.gov/fdsys/pkg/FR-2016-11-15/pdf/2016-27365.pdfhttps://regulations.justia.com/regulations/fedreg/2016/11/15/2016-27364.htmlNotice - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Adopt Cease and Desist Authority Rules2016-11-15T00:00:00-08:002016-11-15T00:00:00-08:002016-27364Noticehttps://www.gpo.gov/fdsys/pkg/FR-2016-11-15/pdf/2016-27364.pdfhttps://regulations.justia.com/regulations/fedreg/2016/11/15/2016-27363.htmlNotice - Self-Regulatory Organizations; BOX Options Exchange LLC; Notice of Filing of Proposed Rule Change To Amend Rule 5050 Series of Options Contracts Open for Trading To Provide for the Listing and Trading on the Exchange of RealDayTM2016-11-15T00:00:00-08:002016-11-15T00:00:00-08:002016-27363Noticehttps://www.gpo.gov/fdsys/pkg/FR-2016-11-15/pdf/2016-27363.pdfhttps://regulations.justia.com/regulations/fedreg/2016/11/14/2016-27378.htmlNotice - Sunshine Act Meeting2016-11-14T00:00:00-08:002016-11-14T00:00:00-08:002016-27378Noticehttps://www.gpo.gov/fdsys/pkg/FR-2016-11-14/pdf/2016-27378.pdfhttps://regulations.justia.com/regulations/fedreg/2016/11/14/2016-27265.htmlNotice - Equity Market Structure Advisory Committee2016-11-14T00:00:00-08:002016-11-14T00:00:00-08:002016-27265Noticehttps://www.gpo.gov/fdsys/pkg/FR-2016-11-14/pdf/2016-27265.pdfhttps://regulations.justia.com/regulations/fedreg/2016/11/14/2016-27249.htmlNotice - The Boston Trust & Walden Funds, et al.; Notice of Application2016-11-14T00:00:00-08:002016-11-14T00:00:00-08:002016-27249Noticehttps://www.gpo.gov/fdsys/pkg/FR-2016-11-14/pdf/2016-27249.pdfhttps://regulations.justia.com/regulations/fedreg/2016/11/14/2016-27248.htmlNotice - Proposed Collection; Comment Request2016-11-14T00:00:00-08:002016-11-14T00:00:00-08:002016-27248Noticehttps://www.gpo.gov/fdsys/pkg/FR-2016-11-14/pdf/2016-27248.pdfhttps://regulations.justia.com/regulations/fedreg/2016/11/14/2016-27238.htmlNotice - Self-Regulatory Organizations; Bats BZX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Related to Fees for Use of the Exchange's Equity Options Platform2016-11-14T00:00:00-08:002016-11-14T00:00:00-08:002016-27238Noticehttps://www.gpo.gov/fdsys/pkg/FR-2016-11-14/pdf/2016-27238.pdfhttps://regulations.justia.com/regulations/fedreg/2016/11/14/2016-27237.htmlNotice - Self-Regulatory Organizations; ISE Gemini, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Make a Number of Non-Controversial and Technical Changes2016-11-14T00:00:00-08:002016-11-14T00:00:00-08:002016-27237Noticehttps://www.gpo.gov/fdsys/pkg/FR-2016-11-14/pdf/2016-27237.pdfhttps://regulations.justia.com/regulations/fedreg/2016/11/14/2016-27236.htmlNotice - Self-Regulatory Organizations; The Depository Trust Company; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Allow DTC To Automate the Process for Participants To Submit Eligibility Requests for the DTC Custody Service2016-11-14T00:00:00-08:002016-11-14T00:00:00-08:002016-27236Noticehttps://www.gpo.gov/fdsys/pkg/FR-2016-11-14/pdf/2016-27236.pdfhttps://regulations.justia.com/regulations/fedreg/2016/11/14/2016-27235.htmlNotice - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the Exchange's Market Access and Routing Subsidy Program2016-11-14T00:00:00-08:002016-11-14T00:00:00-08:002016-27235Noticehttps://www.gpo.gov/fdsys/pkg/FR-2016-11-14/pdf/2016-27235.pdfhttps://regulations.justia.com/regulations/fedreg/2016/11/14/2016-27234.htmlNotice - Self-Regulatory Organizations; NASDAQ PHLX LLC; Order Granting Approval of Proposed Rule Change To Delete or Amend Rule Language Relating to Specialists and Registered Options Traders2016-11-14T00:00:00-08:002016-11-14T00:00:00-08:002016-27234Noticehttps://www.gpo.gov/fdsys/pkg/FR-2016-11-14/pdf/2016-27234.pdfhttps://regulations.justia.com/regulations/fedreg/2016/11/14/2016-27151.htmlNotice - Self-Regulatory Organizations; NASDAQ BX, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Rule 9400 To Include a Cross-Reference2016-11-14T00:00:00-08:002016-11-14T00:00:00-08:002016-27151Noticehttps://www.gpo.gov/fdsys/pkg/FR-2016-11-14/pdf/2016-27151.pdfhttps://regulations.justia.com/regulations/fedreg/2016/11/10/2016-27247.htmlNotice - Sunshine Act Meeting2016-11-10T00:00:00-08:002016-11-10T00:00:00-08:002016-27247Noticehttps://www.gpo.gov/fdsys/pkg/FR-2016-11-10/pdf/2016-27247.pdfhttps://regulations.justia.com/regulations/fedreg/2016/11/10/2016-27155.htmlNotice - Self-Regulatory Organizations; Miami International Securities Exchange LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Its Fee Schedule2016-11-10T00:00:00-08:002016-11-10T00:00:00-08:002016-27155Noticehttps://www.gpo.gov/fdsys/pkg/FR-2016-11-10/pdf/2016-27155.pdfhttps://regulations.justia.com/regulations/fedreg/2016/11/10/2016-27154.htmlNotice - Self-Regulatory Organizations; National Securities Clearing Corporation; Notice of Filing of Proposed Rule Change To Accelerate Its Trade Guaranty, Add New Clearing Fund Components, Enhance Its Intraday Risk Management, Provide for Loss Allocation of “Off-the-Market Transactions,” and Make Other Changes2016-11-10T00:00:00-08:002016-11-10T00:00:00-08:002016-27154Noticehttps://www.gpo.gov/fdsys/pkg/FR-2016-11-10/pdf/2016-27154.pdfhttps://regulations.justia.com/regulations/fedreg/2016/11/10/2016-27153.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, Relating to Price Protection Mechanisms and Risk Controls2016-11-10T00:00:00-08:002016-11-10T00:00:00-08:002016-27153Noticehttps://www.gpo.gov/fdsys/pkg/FR-2016-11-10/pdf/2016-27153.pdfhttps://regulations.justia.com/regulations/fedreg/2016/11/10/2016-27152.htmlNotice - Self-Regulatory Organizations; NYSE MKT LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Adopting New Rules To Reflect the Implementation of Pillar, the Exchange's New Trading Technology2016-11-10T00:00:00-08:002016-11-10T00:00:00-08:002016-27152Noticehttps://www.gpo.gov/fdsys/pkg/FR-2016-11-10/pdf/2016-27152.pdfhttps://regulations.justia.com/regulations/fedreg/2016/11/10/2016-27150.htmlNotice - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Rule 9400 To Include a Cross-Reference2016-11-10T00:00:00-08:002016-11-10T00:00:00-08:002016-27150Noticehttps://www.gpo.gov/fdsys/pkg/FR-2016-11-10/pdf/2016-27150.pdfhttps://regulations.justia.com/regulations/fedreg/2016/11/10/2016-27149.htmlNotice - Self-Regulatory Organizations; Municipal Securities Rulemaking Board; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Establish Fees Related to the MSRB Academic Historical Transaction Data Product2016-11-10T00:00:00-08:002016-11-10T00:00:00-08:002016-27149Noticehttps://www.gpo.gov/fdsys/pkg/FR-2016-11-10/pdf/2016-27149.pdfhttps://regulations.justia.com/regulations/fedreg/2016/11/10/2016-27147.htmlNotice - Sunshine Act Meeting; Additional Item2016-11-10T00:00:00-08:002016-11-10T00:00:00-08:002016-27147Noticehttps://www.gpo.gov/fdsys/pkg/FR-2016-11-10/pdf/2016-27147.pdfhttps://regulations.justia.com/regulations/fedreg/2016/11/10/2016-26349.htmlProposed Rule - Universal Proxy2016-11-10T00:00:00-08:002016-11-10T00:00:00-08:002016-26349Proposed Rulehttps://www.gpo.gov/fdsys/pkg/FR-2016-11-10/pdf/2016-26349.pdfhttps://regulations.justia.com/regulations/fedreg/2016/11/09/2016-27030.htmlNotice - Self-Regulatory Organizations; The Depository Trust Company; Notice of Filing of and Extension of Review Period of Advance Notice Relating to Processing of Transactions in Money Market Instruments2016-11-09T00:00:00-08:002016-11-09T00:00:00-08:002016-27030Noticehttps://www.gpo.gov/fdsys/pkg/FR-2016-11-09/pdf/2016-27030.pdfhttps://regulations.justia.com/regulations/fedreg/2016/11/09/2016-27028.htmlNotice - Self-Regulatory Organizations; Bats EDGX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend EDGX Rule 2.5, Restrictions, Regarding Members and Associated Persons of Members Who Are or Become Subject to a Statutory Disqualification2016-11-09T00:00:00-08:002016-11-09T00:00:00-08:002016-27028Noticehttps://www.gpo.gov/fdsys/pkg/FR-2016-11-09/pdf/2016-27028.pdfhttps://regulations.justia.com/regulations/fedreg/2016/11/09/2016-27027.htmlNotice - Self-Regulatory Organizations; Bats EDGA Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend EDGA Rule 2.5, Restrictions, Regarding Members and Associated Persons of Members Who Are or Become Subject to a Statutory Disqualification2016-11-09T00:00:00-08:002016-11-09T00:00:00-08:002016-27027Noticehttps://www.gpo.gov/fdsys/pkg/FR-2016-11-09/pdf/2016-27027.pdfhttps://regulations.justia.com/regulations/fedreg/2016/11/09/2016-27026.htmlNotice - Self-Regulatory Organizations; Bats BYX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend BYX Rule, 2.5, Restrictions, Regarding Members and Associated Persons of Members Who Are or Become Subject to a Statutory Disqualification2016-11-09T00:00:00-08:002016-11-09T00:00:00-08:002016-27026Noticehttps://www.gpo.gov/fdsys/pkg/FR-2016-11-09/pdf/2016-27026.pdfhttps://regulations.justia.com/regulations/fedreg/2016/11/09/2016-27025.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 Eleventh Amended and Restated Operating Agreement of the New York Stock Exchange LLC2016-11-09T00:00:00-08:002016-11-09T00:00:00-08:002016-27025Noticehttps://www.gpo.gov/fdsys/pkg/FR-2016-11-09/pdf/2016-27025.pdfhttps://regulations.justia.com/regulations/fedreg/2016/11/09/2016-27024.htmlNotice - Self-Regulatory Organizations; NYSE MKT LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Its Rules Concerning Payment of Compensation and Rebates, and Research Analyst Attestation Requirements in Order To Harmonize With Certain FINRA Rules and Make Other Conforming Changes2016-11-09T00:00:00-08:002016-11-09T00:00:00-08:002016-27024Noticehttps://www.gpo.gov/fdsys/pkg/FR-2016-11-09/pdf/2016-27024.pdfhttps://regulations.justia.com/regulations/fedreg/2016/11/09/2016-27023.htmlNotice - Self-Regulatory Organizations; Bats BZX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend BZX Rule 2.5, Restrictions, Regarding Members and Associated Persons of Members Who Are or Become Subject to a Statutory Disqualification2016-11-09T00:00:00-08:002016-11-09T00:00:00-08:002016-27023Noticehttps://www.gpo.gov/fdsys/pkg/FR-2016-11-09/pdf/2016-27023.pdfhttps://regulations.justia.com/regulations/fedreg/2016/11/09/2016-27022.htmlNotice - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Institute a New Fee for the Distribution of Data2016-11-09T00:00:00-08:002016-11-09T00:00:00-08:002016-27022Noticehttps://www.gpo.gov/fdsys/pkg/FR-2016-11-09/pdf/2016-27022.pdfhttps://regulations.justia.com/regulations/fedreg/2016/11/09/2016-27021.htmlNotice - Self-Regulatory Organizations; Municipal Securities Rulemaking Board; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the Requirements in MSRB Rule A-4, on Meetings of the Board, Regarding the Formation of a Quorum2016-11-09T00:00:00-08:002016-11-09T00:00:00-08:002016-27021Noticehttps://www.gpo.gov/fdsys/pkg/FR-2016-11-09/pdf/2016-27021.pdfhttps://regulations.justia.com/regulations/fedreg/2016/11/08/2016-27029.htmlNotice - Sunshine Act Meeting2016-11-08T00:00:00-08:002016-11-08T00:00:00-08:002016-27029Noticehttps://www.gpo.gov/fdsys/pkg/FR-2016-11-08/pdf/2016-27029.pdfhttps://regulations.justia.com/regulations/fedreg/2016/11/08/2016-26908.htmlNotice - Self-Regulatory Organizations; Bats BZX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Extend the Pilot Period for the Supplemental Competitive Liquidity Provider Program2016-11-08T00:00:00-08:002016-11-08T00:00:00-08:002016-26908Noticehttps://www.gpo.gov/fdsys/pkg/FR-2016-11-08/pdf/2016-26908.pdfhttps://regulations.justia.com/regulations/fedreg/2016/11/08/2016-26907.htmlNotice - Self-Regulatory Organizations; NASDAQ PHLX LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Exchange Rule 1079 Concerning the Process of Initiating a FLEX Transaction and Determining the Best Bid or Offer2016-11-08T00:00:00-08:002016-11-08T00:00:00-08:002016-26907Noticehttps://www.gpo.gov/fdsys/pkg/FR-2016-11-08/pdf/2016-26907.pdfhttps://regulations.justia.com/regulations/fedreg/2016/11/08/2016-26906.htmlNotice - Self-Regulatory Organizations; ICE Clear Credit LLC; Order Approving Proposed Rule Change To Revise the ICC Risk Management Model Description Document and the ICC Risk Management Framework2016-11-08T00:00:00-08:002016-11-08T00:00:00-08:002016-26906Noticehttps://www.gpo.gov/fdsys/pkg/FR-2016-11-08/pdf/2016-26906.pdfhttps://regulations.justia.com/regulations/fedreg/2016/11/07/2016-26797.htmlNotice - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing of a Proposed Rule Change To Amend Rule 4512 (Customer Account Information) and Adopt FINRA Rule 2165 (Financial Exploitation of Specified Adults)2016-11-07T00:00:00-08:002016-11-07T00:00:00-08:002016-26797Noticehttps://www.gpo.gov/fdsys/pkg/FR-2016-11-07/pdf/2016-26797.pdfhttps://regulations.justia.com/regulations/fedreg/2016/11/07/2016-26796.htmlNotice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Commentary .05 to Rule 6.912016-11-07T00:00:00-08:002016-11-07T00:00:00-08:002016-26796Noticehttps://www.gpo.gov/fdsys/pkg/FR-2016-11-07/pdf/2016-26796.pdfhttps://regulations.justia.com/regulations/fedreg/2016/11/07/2016-26795.htmlNotice - Self-Regulatory Organizations; NYSE MKT LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Commentary .05 to Rule 980NY2016-11-07T00:00:00-08:002016-11-07T00:00:00-08:002016-26795Noticehttps://www.gpo.gov/fdsys/pkg/FR-2016-11-07/pdf/2016-26795.pdfhttps://regulations.justia.com/regulations/fedreg/2016/11/07/2016-26791.htmlNotice - Self-Regulatory Organizations; The Options Clearing Corporation; Notice of Filing of Proposed Rule Change Concerning the Options Clearing Corporation's Margin Coverage During Times of Increase Volatility2016-11-07T00:00:00-08:002016-11-07T00:00:00-08:002016-26791Noticehttps://www.gpo.gov/fdsys/pkg/FR-2016-11-07/pdf/2016-26791.pdfhttps://regulations.justia.com/regulations/fedreg/2016/11/07/2016-26790.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, To List and Trade Shares of the Direxion Daily Municipal Bond Taxable Bear 1X Fund Under NYSE Arca Equities Rule 5.2(j)(3)2016-11-07T00:00:00-08:002016-11-07T00:00:00-08:002016-26790Noticehttps://www.gpo.gov/fdsys/pkg/FR-2016-11-07/pdf/2016-26790.pdfhttps://regulations.justia.com/regulations/fedreg/2016/11/07/2016-26789.htmlNotice - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Its Price List2016-11-07T00:00:00-08:002016-11-07T00:00:00-08:002016-26789Noticehttps://www.gpo.gov/fdsys/pkg/FR-2016-11-07/pdf/2016-26789.pdfhttps://regulations.justia.com/regulations/fedreg/2016/11/07/2016-26788.htmlNotice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the NYSE Arca Options Fee Schedule Effective November 1, 20162016-11-07T00:00:00-08:002016-11-07T00:00:00-08:002016-26788Noticehttps://www.gpo.gov/fdsys/pkg/FR-2016-11-07/pdf/2016-26788.pdfhttps://regulations.justia.com/regulations/fedreg/2016/11/07/2016-26787.htmlNotice - Self-Regulatory Organizations; Chicago Stock Exchange, Inc.; Notice of Designation of a Longer Period for Commission Action on a Proposed Rule Change To Adopt the CHX Liquidity Taking Access Delay2016-11-07T00:00:00-08:002016-11-07T00:00:00-08:002016-26787Noticehttps://www.gpo.gov/fdsys/pkg/FR-2016-11-07/pdf/2016-26787.pdfhttps://regulations.justia.com/regulations/fedreg/2016/11/07/2016-26786.htmlNotice - Prudential ETF Trust, et al.; Notice of Application2016-11-07T00:00:00-08:002016-11-07T00:00:00-08:002016-26786Noticehttps://www.gpo.gov/fdsys/pkg/FR-2016-11-07/pdf/2016-26786.pdfhttps://regulations.justia.com/regulations/fedreg/2016/11/07/2016-26785.htmlNotice - Submission for OMB Review; Comment Request2016-11-07T00:00:00-08:002016-11-07T00:00:00-08:002016-26785Noticehttps://www.gpo.gov/fdsys/pkg/FR-2016-11-07/pdf/2016-26785.pdfhttps://regulations.justia.com/regulations/fedreg/2016/11/04/2016-26647.htmlNotice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing of Proposed Rule Change Relating to the Listing and Trading of Shares of the ForceShares Daily 4X US Market Futures Long Fund and ForceShares Daily 4X US Market Futures Short Fund Under Commentary .02 to NYSE Arca Equities Rule 8.2002016-11-04T00:00:00-07:002016-11-04T00:00:00-07:002016-26647Noticehttps://www.gpo.gov/fdsys/pkg/FR-2016-11-04/pdf/2016-26647.pdfhttps://regulations.justia.com/regulations/fedreg/2016/11/04/2016-26646.htmlNotice - Order Granting a Limited Exemption From Rule 102 of Regulation M Concerning NASDAQ Stock Market LLC's New Product Support Incentives Pursuant to Regulation M Rule 102(e)2016-11-04T00:00:00-07:002016-11-04T00:00:00-07:002016-26646Noticehttps://www.gpo.gov/fdsys/pkg/FR-2016-11-04/pdf/2016-26646.pdfhttps://regulations.justia.com/regulations/fedreg/2016/11/04/2016-26645.htmlNotice - Self-Regulatory Organizations; Miami International Securities Exchange LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Its Fee Schedule2016-11-04T00:00:00-07:002016-11-04T00:00:00-07:002016-26645Noticehttps://www.gpo.gov/fdsys/pkg/FR-2016-11-04/pdf/2016-26645.pdfhttps://regulations.justia.com/regulations/fedreg/2016/11/04/2016-26644.htmlNotice - Self-Regulatory Organizations; ICE Clear Credit LLC; Order Approving Proposed Rule Change To Provide for the Clearance of Additional Credit Default Swap Contracts2016-11-04T00:00:00-07:002016-11-04T00:00:00-07:002016-26644Noticehttps://www.gpo.gov/fdsys/pkg/FR-2016-11-04/pdf/2016-26644.pdfhttps://regulations.justia.com/regulations/fedreg/2016/11/03/2016-26514.htmlNotice - Self-Regulatory Organizations; Miami International Securities Exchange LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Adopt Exchange Rule 322, Disruptive Quoting and Trading Activity Prohibited and Exchange Rule 1018, Expedited Suspension Proceeding2016-11-03T00:00:00-07:002016-11-03T00:00:00-07:002016-26514Noticehttps://www.gpo.gov/fdsys/pkg/FR-2016-11-03/pdf/2016-26514.pdfhttps://regulations.justia.com/regulations/fedreg/2016/11/03/2016-26513.htmlNotice - Self-Regulatory Organizations; Bats BZX Exchange, Inc.; Notice of Filing of Amendment No. 1 to a Proposed Rule Change to BZX Rule 14.11(e)(4), Commodity-Based Trust Shares, To List and Trade Winklevoss Bitcoin Shares Issued by the Winklevoss Bitcoin Trust2016-11-03T00:00:00-07:002016-11-03T00:00:00-07:002016-26513Noticehttps://www.gpo.gov/fdsys/pkg/FR-2016-11-03/pdf/2016-26513.pdfhttps://regulations.justia.com/regulations/fedreg/2016/11/03/2016-26512.htmlNotice - Self-Regulatory Organizations; Bats EDGX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend EDGX Rule 21.12, Clearing Member Give Up2016-11-03T00:00:00-07:002016-11-03T00:00:00-07:002016-26512Noticehttps://www.gpo.gov/fdsys/pkg/FR-2016-11-03/pdf/2016-26512.pdfhttps://regulations.justia.com/regulations/fedreg/2016/11/03/2016-26511.htmlNotice - Self-Regulatory Organizations; NASDAQ PHLX LLC; Notice of Filing of Proposed Rule Change To Amend Phlx Rule 748, Supervision2016-11-03T00:00:00-07:002016-11-03T00:00:00-07:002016-26511Noticehttps://www.gpo.gov/fdsys/pkg/FR-2016-11-03/pdf/2016-26511.pdfhttps://regulations.justia.com/regulations/fedreg/2016/11/03/2016-26510.htmlNotice - Self-Regulatory Organizations; C2 Options Exchange, Incorporated; Notice of Filing of a Proposed Rule Change Relating to Price Protection Mechanisms and Risk Controls2016-11-03T00:00:00-07:002016-11-03T00:00:00-07:002016-26510Noticehttps://www.gpo.gov/fdsys/pkg/FR-2016-11-03/pdf/2016-26510.pdfhttps://regulations.justia.com/regulations/fedreg/2016/11/03/2016-26509.htmlNotice - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend FINRA Rule 7730 To Establish a Fee for the Academic Corporate Bond TRACE Data Product2016-11-03T00:00:00-07:002016-11-03T00:00:00-07:002016-26509Noticehttps://www.gpo.gov/fdsys/pkg/FR-2016-11-03/pdf/2016-26509.pdfhttps://regulations.justia.com/regulations/fedreg/2016/11/03/2016-26508.htmlNotice - Notice of Applications for Deregistration Under Section 8(f) of the Investment Company Act of 19402016-11-03T00:00:00-07:002016-11-03T00:00:00-07:002016-26508Noticehttps://www.gpo.gov/fdsys/pkg/FR-2016-11-03/pdf/2016-26508.pdfhttps://regulations.justia.com/regulations/fedreg/2016/11/02/2016-26490.htmlNotice - Self-Regulatory Organizations; New York Stock Exchange LLC; Order Granting Approval 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 Companies2016-11-02T00:00:00-07:002016-11-02T00:00:00-07:002016-26490Noticehttps://www.gpo.gov/fdsys/pkg/FR-2016-11-02/pdf/2016-26490.pdfhttps://regulations.justia.com/regulations/fedreg/2016/11/02/2016-26405.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 SolidX Bitcoin Trust Under NYSE Arca Equities Rule 8.2012016-11-02T00:00:00-07:002016-11-02T00:00:00-07:002016-26405Noticehttps://www.gpo.gov/fdsys/pkg/FR-2016-11-02/pdf/2016-26405.pdfhttps://regulations.justia.com/regulations/fedreg/2016/11/02/2016-26404.htmlNotice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Designation of a Longer Period for Commission Action on Proceedings To Determine Whether To Approve or Disapprove a Proposed Rule Change Relating to a Change to the Underlying Index for the PowerShares Build America Bond Portfolio2016-11-02T00:00:00-07:002016-11-02T00:00:00-07:002016-26404Noticehttps://www.gpo.gov/fdsys/pkg/FR-2016-11-02/pdf/2016-26404.pdfhttps://regulations.justia.com/regulations/fedreg/2016/11/02/2016-26403.htmlNotice - Self-Regulatory Organizations; National Stock Exchange, Inc.; Notice of Filing of a Proposed Rule Change To Amend Exchange Rule 11.26 To Correct Defective Numbering in the Interpretations and Policies of the Rule2016-11-02T00:00:00-07:002016-11-02T00:00:00-07:002016-26403Noticehttps://www.gpo.gov/fdsys/pkg/FR-2016-11-02/pdf/2016-26403.pdfhttps://regulations.justia.com/regulations/fedreg/2016/11/02/2016-26401.htmlNotice - NF Investment Corp., et al.; Notice of Application2016-11-02T00:00:00-07:002016-11-02T00:00:00-07:002016-26401Noticehttps://www.gpo.gov/fdsys/pkg/FR-2016-11-02/pdf/2016-26401.pdfhttps://regulations.justia.com/regulations/fedreg/2016/11/01/2016-26506.htmlNotice - Sunshine Act Meeting2016-11-01T00:00:00-07:002016-11-01T00:00:00-07:002016-26506Noticehttps://www.gpo.gov/fdsys/pkg/FR-2016-11-01/pdf/2016-26506.pdfhttps://regulations.justia.com/regulations/fedreg/2016/11/01/2016-26382.htmlNotice - 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 Code2016-11-01T00:00:00-07:002016-11-01T00:00:00-07:002016-26382Noticehttps://www.gpo.gov/fdsys/pkg/FR-2016-11-01/pdf/2016-26382.pdfhttps://regulations.justia.com/regulations/fedreg/2016/11/01/2016-26305.htmlNotice - Hartford Mutual Funds Inc., et al.; Notice of Application2016-11-01T00:00:00-07:002016-11-01T00:00:00-07:002016-26305Noticehttps://www.gpo.gov/fdsys/pkg/FR-2016-11-01/pdf/2016-26305.pdfhttps://regulations.justia.com/regulations/fedreg/2016/11/01/2016-26303.htmlNotice - 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 Members2016-11-01T00:00:00-07:002016-11-01T00:00:00-07:002016-26303Noticehttps://www.gpo.gov/fdsys/pkg/FR-2016-11-01/pdf/2016-26303.pdfhttps://regulations.justia.com/regulations/fedreg/2016/11/01/2016-26302.htmlNotice - 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 Policy2016-11-01T00:00:00-07:002016-11-01T00:00:00-07:002016-26302Noticehttps://www.gpo.gov/fdsys/pkg/FR-2016-11-01/pdf/2016-26302.pdfhttps://regulations.justia.com/regulations/fedreg/2016/11/01/2016-26301.htmlNotice - 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 Order2016-11-01T00:00:00-07:002016-11-01T00:00:00-07:002016-26301Noticehttps://www.gpo.gov/fdsys/pkg/FR-2016-11-01/pdf/2016-26301.pdfhttps://regulations.justia.com/regulations/fedreg/2016/11/01/2016-26300.htmlNotice - 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 NMS2016-11-01T00:00:00-07:002016-11-01T00:00:00-07:002016-26300Noticehttps://www.gpo.gov/fdsys/pkg/FR-2016-11-01/pdf/2016-26300.pdfhttps://regulations.justia.com/regulations/fedreg/2016/11/01/2016-26299.htmlNotice - 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 M2016-11-01T00:00:00-07:002016-11-01T00:00:00-07:002016-26299Noticehttps://www.gpo.gov/fdsys/pkg/FR-2016-11-01/pdf/2016-26299.pdfhttps://regulations.justia.com/regulations/fedreg/2016/11/01/2016-26298.htmlNotice - 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 Volatility2016-11-01T00:00:00-07:002016-11-01T00:00:00-07:002016-26298Noticehttps://www.gpo.gov/fdsys/pkg/FR-2016-11-01/pdf/2016-26298.pdfhttps://regulations.justia.com/regulations/fedreg/2016/11/01/2016-26297.htmlNotice - 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 Orders2016-11-01T00:00:00-07:002016-11-01T00:00:00-07:002016-26297Noticehttps://www.gpo.gov/fdsys/pkg/FR-2016-11-01/pdf/2016-26297.pdf