Federal Register Recent Federal Regulation Documents - Justia Regulation Tracker - Justia Regulations Tracker https://regulations.justia.com/regulations/fedreg/agencies/securities-and-exchange-commission/2016/12/13?limit=200&registers=between&mode=atom 2025-03-14T01:12:12-07:00 Justia Inc https://www.justia.com/ Justia Regulations Tracker https://regulations.justia.com/images/justiafedregulations.gif Copyright 2011 Justia Inc https://regulations.justia.com/regulations/fedreg/2016/12/13/2016-29965.html Notice - Sunshine Act Meeting 2016-12-13T00:00:00-08:00 2016-12-13T00:00:00-08:00 2016-29965 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-12-13/pdf/2016-29965.pdf https://regulations.justia.com/regulations/fedreg/2016/12/13/2016-29807.html Notice - Self-Regulatory Organizations; Investors Exchange LLC; Notice of Filing of Proposed Rule Change to: (i) Amend Rules 11.190(a)(3) and 11.190(b)(8) To Modify the Operation of the Primary Peg Order Type; (ii) Amend Rule 11.190(h)(C)(ii) and (D)(ii) Regarding Price Sliding in Locked and Crossed Markets To Simplify the Price Sliding Process for Both Primary Peg Orders and Discretionary Peg Orders Resting on or Posting to the Order Book; and (iii) Make Minor Housekeeping Changes To Conform Certain Terminology 2016-12-13T00:00:00-08:00 2016-12-13T00:00:00-08:00 2016-29807 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-12-13/pdf/2016-29807.pdf https://regulations.justia.com/regulations/fedreg/2016/12/13/2016-29806.html Notice - 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 Equities Platform 2016-12-13T00:00:00-08:00 2016-12-13T00:00:00-08:00 2016-29806 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-12-13/pdf/2016-29806.pdf https://regulations.justia.com/regulations/fedreg/2016/12/13/2016-29805.html Notice - Self-Regulatory Organizations; Miami International Securities Exchange LLC; Notice of Filing of a Proposed Rule Change To Amend Rule 515A, MIAX Price Improvement Mechanism (“PRIME”) and PRIME Solicitation Mechanism 2016-12-13T00:00:00-08:00 2016-12-13T00:00:00-08:00 2016-29805 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-12-13/pdf/2016-29805.pdf https://regulations.justia.com/regulations/fedreg/2016/12/13/2016-29804.html Notice - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Filing of a Proposed Rule Change To Amend Exchange Rules Related to the Automated Improvement Mechanism 2016-12-13T00:00:00-08:00 2016-12-13T00:00:00-08:00 2016-29804 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-12-13/pdf/2016-29804.pdf https://regulations.justia.com/regulations/fedreg/2016/12/13/2016-29803.html Notice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Withdrawal of a Proposed Rule Change Relating to Listing and Trading of Shares of the BlackRock Government Collateral Pledge Unit Under NYSE Arca Equities Rule 8.600 2016-12-13T00:00:00-08:00 2016-12-13T00:00:00-08:00 2016-29803 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-12-13/pdf/2016-29803.pdf https://regulations.justia.com/regulations/fedreg/2016/12/13/2016-29802.html Notice - Self-Regulatory Organizations; Bats EDGX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Related to Fees for Use of the Exchange's Equities Options Platform 2016-12-13T00:00:00-08:00 2016-12-13T00:00:00-08:00 2016-29802 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-12-13/pdf/2016-29802.pdf https://regulations.justia.com/regulations/fedreg/2016/12/13/2016-29801.html 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 the Exchange's Equity Options Platform 2016-12-13T00:00:00-08:00 2016-12-13T00:00:00-08:00 2016-29801 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-12-13/pdf/2016-29801.pdf https://regulations.justia.com/regulations/fedreg/2016/12/13/2016-29800.html Notice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Extend the Pilot Period for the Exchange's Retail Liquidity Program 2016-12-13T00:00:00-08:00 2016-12-13T00:00:00-08:00 2016-29800 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-12-13/pdf/2016-29800.pdf https://regulations.justia.com/regulations/fedreg/2016/12/13/2016-29799.html Notice - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Extend the Pilot Period for the Exchange's Retail Liquidity Program 2016-12-13T00:00:00-08:00 2016-12-13T00:00:00-08:00 2016-29799 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-12-13/pdf/2016-29799.pdf https://regulations.justia.com/regulations/fedreg/2016/12/13/2016-29798.html Notice - Self-Regulatory Organizations; The Nasdaq Stock Market LLC; Notice of Withdrawal of Proposed Rule Change Related to the Payment of a Credit by Execution Access, LLC Based on Volume Thresholds Met on the NASDAQ Options Market 2016-12-13T00:00:00-08:00 2016-12-13T00:00:00-08:00 2016-29798 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-12-13/pdf/2016-29798.pdf https://regulations.justia.com/regulations/fedreg/2016/12/13/2016-29797.html Notice - Self-Regulatory Organizations; Fixed Income Clearing Corporation; Notice of Filing of Proposed Rule Change To Implement a Change to the Methodology Used in the MBSD VaR Model 2016-12-13T00:00:00-08:00 2016-12-13T00:00:00-08:00 2016-29797 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-12-13/pdf/2016-29797.pdf https://regulations.justia.com/regulations/fedreg/2016/12/13/2016-29796.html Notice - Goldman Sachs BDC, Inc., et al.; Notice of Application 2016-12-13T00:00:00-08:00 2016-12-13T00:00:00-08:00 2016-29796 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-12-13/pdf/2016-29796.pdf https://regulations.justia.com/regulations/fedreg/2016/12/13/2016-29795.html Notice - Fidus Investment Corporation, et al.; Notice of Application 2016-12-13T00:00:00-08:00 2016-12-13T00:00:00-08:00 2016-29795 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-12-13/pdf/2016-29795.pdf https://regulations.justia.com/regulations/fedreg/2016/12/13/2016-29793.html Notice - Stifel, Nicolaus & Company, Inc., et al.; Notice of Application and Temporary Order 2016-12-13T00:00:00-08:00 2016-12-13T00:00:00-08:00 2016-29793 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-12-13/pdf/2016-29793.pdf