<![CDATA[Federal Register Recent Federal Regulation Documents - Justia Regulation Tracker - Justia Regulations Tracker]]> https://regulations.justia.com/regulations/fedreg/agencies/securities-and-exchange-commission/2016/12/28?registers=between Sun, 05 May 2024 11:55:54 -0700 Sun, 05 May 2024 11:55:54 -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/2016/12/28?registers=between Notice - Self-Regulatory Organizations; Fixed Income Clearing Corporation; Notice of Filing of an Advance Notice To Implement a Change to the Methodology Used in the MBSD VaR Model https://regulations.justia.com/regulations/fedreg/2016/12/28/2016-31312.html https://regulations.justia.com/regulations/fedreg/2016/12/28/2016-31312.html Wed, 28 Dec 2016 00:00:00 -0800 2016-31312 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-12-28/pdf/2016-31312.pdf Notice - Self-Regulatory Organizations; Investors Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Require That an Issuer of Securities Listed Under Chapter 16 Notify IEX About Certain Changes to the Index, Portfolio, or Reference Asset Underlying the Security https://regulations.justia.com/regulations/fedreg/2016/12/28/2016-31311.html https://regulations.justia.com/regulations/fedreg/2016/12/28/2016-31311.html Wed, 28 Dec 2016 00:00:00 -0800 2016-31311 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-12-28/pdf/2016-31311.pdf Notice - Self-Regulatory Organizations; NYSE MKT LLC; Notice of Filing and Immediate Effectiveness of Proposed Change Modifying the NYSE Amex Options Fee Schedule https://regulations.justia.com/regulations/fedreg/2016/12/28/2016-31310.html https://regulations.justia.com/regulations/fedreg/2016/12/28/2016-31310.html Wed, 28 Dec 2016 00:00:00 -0800 2016-31310 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-12-28/pdf/2016-31310.pdf Notice - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Modify Administrative Charges for Distributors of Proprietary Data Feed Products https://regulations.justia.com/regulations/fedreg/2016/12/28/2016-31309.html https://regulations.justia.com/regulations/fedreg/2016/12/28/2016-31309.html Wed, 28 Dec 2016 00:00:00 -0800 2016-31309 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-12-28/pdf/2016-31309.pdf Notice - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing of a Proposed Rule Change To Amend FINRA Rules To Conform to the Commission's Proposed Amendment to Commission Rule 15c6-1(a) and the Industry-Led Initiative To Shorten the Standard Settlement Cycle for Most Broker-Dealer Transactions From T+3 to T+2 https://regulations.justia.com/regulations/fedreg/2016/12/28/2016-31308.html https://regulations.justia.com/regulations/fedreg/2016/12/28/2016-31308.html Wed, 28 Dec 2016 00:00:00 -0800 2016-31308 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-12-28/pdf/2016-31308.pdf Notice - Self-Regulatory Organizations; BOX Options Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Adopt Rule 3220, Disruptive Quoting and Trading Activity Prohibited and Rule 12160, Expedited Suspension Proceeding https://regulations.justia.com/regulations/fedreg/2016/12/28/2016-31307.html https://regulations.justia.com/regulations/fedreg/2016/12/28/2016-31307.html Wed, 28 Dec 2016 00:00:00 -0800 2016-31307 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-12-28/pdf/2016-31307.pdf Notice - Self-Regulatory Organizations; NYSE MKT LLC; NYSE Arca, Inc.; Notice of Designation of a Longer Period for Commission Action on Proceedings To Determine Whether To Approve or Disapprove Proposed Rule Changes To Extend the Time Within Which a Member, Member Organization, an ATP Holder, an OTP Holder, or an OTP Firm Must File a Uniform Termination Notice for Securities Industry Registration (“Form U5”) and Any Amendments Thereto https://regulations.justia.com/regulations/fedreg/2016/12/28/2016-31306.html https://regulations.justia.com/regulations/fedreg/2016/12/28/2016-31306.html Wed, 28 Dec 2016 00:00:00 -0800 2016-31306 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-12-28/pdf/2016-31306.pdf Notice - Self-Regulatory Organizations; ISE Gemini, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Adjust Qualifying Tier Thresholds and Fees and Rebates https://regulations.justia.com/regulations/fedreg/2016/12/28/2016-31305.html https://regulations.justia.com/regulations/fedreg/2016/12/28/2016-31305.html Wed, 28 Dec 2016 00:00:00 -0800 2016-31305 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-12-28/pdf/2016-31305.pdf Notice - Self-Regulatory Organizations; NYSE MKT LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Rule 123D-Equities and the Listed Company Manual https://regulations.justia.com/regulations/fedreg/2016/12/28/2016-31304.html https://regulations.justia.com/regulations/fedreg/2016/12/28/2016-31304.html Wed, 28 Dec 2016 00:00:00 -0800 2016-31304 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-12-28/pdf/2016-31304.pdf Notice - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Delay the Implementation of the Limit Order Protection https://regulations.justia.com/regulations/fedreg/2016/12/28/2016-31303.html https://regulations.justia.com/regulations/fedreg/2016/12/28/2016-31303.html Wed, 28 Dec 2016 00:00:00 -0800 2016-31303 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-12-28/pdf/2016-31303.pdf Notice - Self-Regulatory Organizations; NYSE MKT LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To (1) Change How Orders Would Be Processed When the Protected Best Bid (“PBB”) Is Higher Than the Protected Best Offer (“PBO”) (The “PBBO”) in Certain Circumstances, and (2) Adopt a Limit Order Price Protection Mechanism https://regulations.justia.com/regulations/fedreg/2016/12/28/2016-31302.html https://regulations.justia.com/regulations/fedreg/2016/12/28/2016-31302.html Wed, 28 Dec 2016 00:00:00 -0800 2016-31302 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-12-28/pdf/2016-31302.pdf Notice - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Adopt a Trading License Fee for Calendar Year 2017 https://regulations.justia.com/regulations/fedreg/2016/12/28/2016-31301.html https://regulations.justia.com/regulations/fedreg/2016/12/28/2016-31301.html Wed, 28 Dec 2016 00:00:00 -0800 2016-31301 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-12-28/pdf/2016-31301.pdf Notice - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change to (1) Change How Orders Would be Processed When the Protected Best Bid (“PBB”) Is Higher Than the Protected Best Offer (“PBO”) (The “PBBO”) in Certain Circumstances, and (2) Adopt a Limit Order Price Protection Mechanism https://regulations.justia.com/regulations/fedreg/2016/12/28/2016-31300.html https://regulations.justia.com/regulations/fedreg/2016/12/28/2016-31300.html Wed, 28 Dec 2016 00:00:00 -0800 2016-31300 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-12-28/pdf/2016-31300.pdf Notice - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Rule 123D and the Listed Company Manual https://regulations.justia.com/regulations/fedreg/2016/12/28/2016-31299.html https://regulations.justia.com/regulations/fedreg/2016/12/28/2016-31299.html Wed, 28 Dec 2016 00:00:00 -0800 2016-31299 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-12-28/pdf/2016-31299.pdf Notice - Self-Regulatory Organizations; Bats BZX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the Market Data Section of Its Fee Schedule To Adopt Fees for BZX Summary Depth and Amend Fees for BZX Depth https://regulations.justia.com/regulations/fedreg/2016/12/28/2016-31298.html https://regulations.justia.com/regulations/fedreg/2016/12/28/2016-31298.html Wed, 28 Dec 2016 00:00:00 -0800 2016-31298 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-12-28/pdf/2016-31298.pdf Notice - Self-Regulatory Organizations; NASDAQ PHLX LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Delay the Implementation of the Limit Order Protection for Members Accessing PSX https://regulations.justia.com/regulations/fedreg/2016/12/28/2016-31297.html https://regulations.justia.com/regulations/fedreg/2016/12/28/2016-31297.html Wed, 28 Dec 2016 00:00:00 -0800 2016-31297 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-12-28/pdf/2016-31297.pdf Notice - Transamerica Funds, et al.; Notice of Application https://regulations.justia.com/regulations/fedreg/2016/12/28/2016-31290.html https://regulations.justia.com/regulations/fedreg/2016/12/28/2016-31290.html Wed, 28 Dec 2016 00:00:00 -0800 2016-31290 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-12-28/pdf/2016-31290.pdf Notice - Ares Capital Corporation, et al.; Notice of Application https://regulations.justia.com/regulations/fedreg/2016/12/28/2016-31289.html https://regulations.justia.com/regulations/fedreg/2016/12/28/2016-31289.html Wed, 28 Dec 2016 00:00:00 -0800 2016-31289 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-12-28/pdf/2016-31289.pdf Notice - Virtus Alternative Solutions Trust, et al.; Notice of Application https://regulations.justia.com/regulations/fedreg/2016/12/28/2016-31288.html https://regulations.justia.com/regulations/fedreg/2016/12/28/2016-31288.html Wed, 28 Dec 2016 00:00:00 -0800 2016-31288 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-12-28/pdf/2016-31288.pdf Rule - Changes to Exchange Act Registration Requirements To Implement Title V and Title VI of the JOBS Act; Correction https://regulations.justia.com/regulations/fedreg/2016/12/28/2016-31286.html https://regulations.justia.com/regulations/fedreg/2016/12/28/2016-31286.html Wed, 28 Dec 2016 00:00:00 -0800 2016-31286 Rule https://www.gpo.gov/fdsys/pkg/FR-2016-12-28/pdf/2016-31286.pdf