Federal Register Recent Federal Regulation Documents - Justia Regulation Tracker

Federal Register Recent Federal Regulation Documents - Justia Regulation Tracker - Justia Regulations Tracker https://regulations.justia.com/regulations/fedreg/agencies/securities-and-exchange-commission/2016?limit=200&registers=between&min-day=1&min-month=1&max-day=31&max-month=12&mode=atom 2023-10-02T22:23:40-07:00 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/2016/12/30/2016-31684.html Notice - Northern Lights Fund Trust IV and Blue Sky Asset Management, LLC; Notice of Application 2016-12-30T00:00:00-08:00 2016-12-30T00:00:00-08:00 2016-31684 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-12-30/pdf/2016-31684.pdf https://regulations.justia.com/regulations/fedreg/2016/12/30/2016-31683.html Notice - Self-Regulatory Organizations; NYSE Arca, Inc.; Order Granting Approval of a Proposed Rule Change, as Modified by Amendment Nos. 1, 2, and 3 Thereto, To List and Trade Shares of the JPMorgan Diversified Event Driven ETF Under NYSE Arca Equities Rule 8.600 2016-12-30T00:00:00-08:00 2016-12-30T00:00:00-08:00 2016-31683 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-12-30/pdf/2016-31683.pdf https://regulations.justia.com/regulations/fedreg/2016/12/30/2016-31682.html Notice - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Eliminate Fees for Historical Trade Data Accessed Through the FINRA ADDS Web Site 2016-12-30T00:00:00-08:00 2016-12-30T00:00:00-08:00 2016-31682 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-12-30/pdf/2016-31682.pdf https://regulations.justia.com/regulations/fedreg/2016/12/30/2016-31681.html Notice - Self-Regulatory Organizations; NASDAQ BX, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend the Exchange's Transaction Fees at Rule 7019 (Market Data Distributor Fees) 2016-12-30T00:00:00-08:00 2016-12-30T00:00:00-08:00 2016-31681 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-12-30/pdf/2016-31681.pdf https://regulations.justia.com/regulations/fedreg/2016/12/30/2016-31680.html Notice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending NYSE Arca Equities Rules 7.11, 7.31, and 7.34 2016-12-30T00:00:00-08:00 2016-12-30T00:00:00-08:00 2016-31680 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-12-30/pdf/2016-31680.pdf https://regulations.justia.com/regulations/fedreg/2016/12/30/2016-31679.html Notice - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing of Proposed Rule Change To Shorten the Settlement Cycle From T+3 to T+2 2016-12-30T00:00:00-08:00 2016-12-30T00:00:00-08:00 2016-31679 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-12-30/pdf/2016-31679.pdf https://regulations.justia.com/regulations/fedreg/2016/12/30/2016-31678.html Notice - Self-Regulatory Organizations; International Securities Exchange, LLC; Notice of Filing of Proposed Rule Change to Amend the Supplementary Material to ISE Rule 1901 2016-12-30T00:00:00-08:00 2016-12-30T00:00:00-08:00 2016-31678 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-12-30/pdf/2016-31678.pdf https://regulations.justia.com/regulations/fedreg/2016/12/30/2016-31677.html Notice - Self-Regulatory Organizations; Miami International Securities Exchange LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Its Fee Schedule To Modify the Exchange's Other Market Participant Transaction Fees 2016-12-30T00:00:00-08:00 2016-12-30T00:00:00-08:00 2016-31677 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-12-30/pdf/2016-31677.pdf https://regulations.justia.com/regulations/fedreg/2016/12/30/2016-31676.html Notice - Self-Regulatory Organizations; National Stock Exchange, Inc.; Notice of Filing of Proposed Rule Change in Connection With the Proposed Acquisition of the Exchange by NYSE Group, Inc. 2016-12-30T00:00:00-08:00 2016-12-30T00:00:00-08:00 2016-31676 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-12-30/pdf/2016-31676.pdf https://regulations.justia.com/regulations/fedreg/2016/12/29/2016-31492.html Notice - Self-Regulatory Organizations: Investors Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Related to Retention of Jurisdiction Over Members and Persons Associated with Members Upon Termination, Revocation, or Cancellation of Membership or Association Thereof 2016-12-29T00:00:00-08:00 2016-12-29T00:00:00-08:00 2016-31492 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-12-29/pdf/2016-31492.pdf https://regulations.justia.com/regulations/fedreg/2016/12/29/2016-31491.html Notice - Self-Regulatory Organizations; ISE Gemini, LLC; Notice of Filing of Proposed Rule Change To Amend the Opening Process 2016-12-29T00:00:00-08:00 2016-12-29T00:00:00-08:00 2016-31491 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-12-29/pdf/2016-31491.pdf https://regulations.justia.com/regulations/fedreg/2016/12/29/2016-31490.html Notice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing of Proposed Rule Change in Connection With the Proposed Acquisition of National Stock Exchange, Inc. by the Exchange's Parent the NYSE Group, Inc. To Amend Certain Organizational Documents of NYSE Group, NYSE Holdings LLC, Intercontinental Exchange Holdings, Inc., and Intercontinental Exchange, Inc. 2016-12-29T00:00:00-08:00 2016-12-29T00:00:00-08:00 2016-31490 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-12-29/pdf/2016-31490.pdf https://regulations.justia.com/regulations/fedreg/2016/12/29/2016-31489.html Notice - Self-Regulatory Organizations; ISE Gemini, LLC; Notice of Filing of Proposed Rule Change To Amend Various Rules in Connection With a System Migration to Nasdaq INET Technology 2016-12-29T00:00:00-08:00 2016-12-29T00:00:00-08:00 2016-31489 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-12-29/pdf/2016-31489.pdf https://regulations.justia.com/regulations/fedreg/2016/12/29/2016-31488.html Notice - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing of Proposed Rule Change Amending Its Listing Standards for Special Purpose Acquisition Companies 2016-12-29T00:00:00-08:00 2016-12-29T00:00:00-08:00 2016-31488 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-12-29/pdf/2016-31488.pdf https://regulations.justia.com/regulations/fedreg/2016/12/29/2016-31487.html Notice - Self-Regulatory Organizations; NYSE MKT LLC; Notice of Filing of Proposed Rule Change in Connection With the Proposed Acquisition of National Stock Exchange, Inc. by the NYSE Group, Inc. 2016-12-29T00:00:00-08:00 2016-12-29T00:00:00-08:00 2016-31487 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-12-29/pdf/2016-31487.pdf https://regulations.justia.com/regulations/fedreg/2016/12/29/2016-31486.html Notice - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing of Amendment No. 3 to Proposed Rule Change Amending the Co-Location Services Offered by the Exchange To Add Certain Access and Connectivity Fees 2016-12-29T00:00:00-08:00 2016-12-29T00:00:00-08:00 2016-31486 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-12-29/pdf/2016-31486.pdf https://regulations.justia.com/regulations/fedreg/2016/12/29/2016-31485.html Notice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing of Amendment Nos. 2 and 3 to Proposed Rule Change Amending the Co-Location Services Offered by the Exchange To Add Certain Access and Connectivity Fees 2016-12-29T00:00:00-08:00 2016-12-29T00:00:00-08:00 2016-31485 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-12-29/pdf/2016-31485.pdf https://regulations.justia.com/regulations/fedreg/2016/12/29/2016-31484.html Notice - Self-Regulatory Organizations; NYSE MKT LLC; Notice of Filing of Amendment Nos. 2 and 3 to Proposed Rule Change Amending the Co-Location Services Offered by the Exchange To Add Certain Access and Connectivity Fees 2016-12-29T00:00:00-08:00 2016-12-29T00:00:00-08:00 2016-31484 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-12-29/pdf/2016-31484.pdf https://regulations.justia.com/regulations/fedreg/2016/12/29/2016-31483.html Notice - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing of Proposed Rule Change in Connection With the Proposed Acquisition of National Stock Exchange, Inc. by the Exchange's Parent the NYSE Group, Inc. To Amend Certain Organizational Documents of NYSE Group, NYSE Holdings LLC, Intercontinental Exchange Holdings, Inc., and Intercontinental Exchange, Inc. 2016-12-29T00:00:00-08:00 2016-12-29T00:00:00-08:00 2016-31483 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-12-29/pdf/2016-31483.pdf https://regulations.justia.com/regulations/fedreg/2016/12/29/2016-31482.html Notice - Self-Regulatory Organizations; NASDAQ BX, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Modify Administrative Charges for Distributors of Proprietary Data Feed Products 2016-12-29T00:00:00-08:00 2016-12-29T00:00:00-08:00 2016-31482 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-12-29/pdf/2016-31482.pdf https://regulations.justia.com/regulations/fedreg/2016/12/29/2016-31481.html Notice - Self-Regulatory Organizations; Miami International Securities Exchange LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Its Fee Schedule To Modify the Exchange's Connectivity Fees 2016-12-29T00:00:00-08:00 2016-12-29T00:00:00-08:00 2016-31481 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-12-29/pdf/2016-31481.pdf https://regulations.justia.com/regulations/fedreg/2016/12/29/2016-31480.html Notice - Self-Regulatory Organizations; International Securities Exchange, LLC; Notice of Filing of Proposed Rule Change, as Modified by Amendment No. 1 Thereto, To Amend the Exchange's Rules Regarding Routing of Orders, Cancellation of Orders, and Handling of Error Positions, and Permit Nasdaq Execution Services, LLC To Become an Affiliated Member of the Exchange To Perform Certain Routing and Other Functions 2016-12-29T00:00:00-08:00 2016-12-29T00:00:00-08:00 2016-31480 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-12-29/pdf/2016-31480.pdf https://regulations.justia.com/regulations/fedreg/2016/12/29/2016-31479.html Notice - Self-Regulatory Organizations; ISE Gemini, LLC; Notice of Filing of Proposed Rule Change, as Modified by Amendment Nos. 1 and 2, To Permit Nasdaq Execution Services, LLC To Become an Affiliated Member of the Exchange To Perform Certain Routing and Other Functions 2016-12-29T00:00:00-08:00 2016-12-29T00:00:00-08:00 2016-31479 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-12-29/pdf/2016-31479.pdf https://regulations.justia.com/regulations/fedreg/2016/12/29/2016-31478.html Notice - Self-Regulatory Organizations; ISE Mercury, LLC; Notice of Filing of Proposed Rule Change, as Modified by Amendment Nos. 1 and 2, To Permit Nasdaq Execution Services, LLC To Become an Affiliated Member of the Exchange To Perform Certain Routing and Other Functions 2016-12-29T00:00:00-08:00 2016-12-29T00:00:00-08:00 2016-31478 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-12-29/pdf/2016-31478.pdf https://regulations.justia.com/regulations/fedreg/2016/12/29/2016-31477.html Notice - Self-Regulatory Organizations; The Nasdaq Stock Market LLC; Notice of Filing of Proposed Rule Change, as Modified by Amendment No. 1 Thereto, To Permit The Nasdaq Options Market LLC To Accept Inbound Options Orders Routed by Nasdaq Execution Services LLC 2016-12-29T00:00:00-08:00 2016-12-29T00:00:00-08:00 2016-31477 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-12-29/pdf/2016-31477.pdf https://regulations.justia.com/regulations/fedreg/2016/12/29/2016-31476.html Notice - Self-Regulatory Organizations; NASDAQ BX, Inc.; Notice of Filing of Proposed Rule Change, as Modified by Amendment No. 1 Thereto, To Permit BX To Accept Inbound Options Orders Routed by Nasdaq Execution Services LLC 2016-12-29T00:00:00-08:00 2016-12-29T00:00:00-08:00 2016-31476 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-12-29/pdf/2016-31476.pdf https://regulations.justia.com/regulations/fedreg/2016/12/29/2016-31475.html Notice - Self-Regulatory Organizations; NASDAQ PHLX LLC; Notice of Filing of Proposed Rule Change, as Modified by Amendment No. 1 Thereto, To Permit Phlx To Accept Inbound Options Orders Routed by Nasdaq Execution Services LLC 2016-12-29T00:00:00-08:00 2016-12-29T00:00:00-08:00 2016-31475 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-12-29/pdf/2016-31475.pdf https://regulations.justia.com/regulations/fedreg/2016/12/29/2016-31474.html Notice - Self-Regulatory Organizations; New York Stock Exchange LLC; 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”) 2016-12-29T00:00:00-08:00 2016-12-29T00:00:00-08:00 2016-31474 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-12-29/pdf/2016-31474.pdf https://regulations.justia.com/regulations/fedreg/2016/12/29/2016-31473.html Notice - Self-Regulatory Organizations; NYSE MKT LLC; 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”) 2016-12-29T00:00:00-08:00 2016-12-29T00:00:00-08:00 2016-31473 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-12-29/pdf/2016-31473.pdf https://regulations.justia.com/regulations/fedreg/2016/12/29/2016-31472.html Notice - Self-Regulatory Organizations; National Securities Clearing Corporation; Notice of Filing of Proposed Rule Change To Reflect Updates to the Consolidated Trade Summary, Eliminate Re-Pricing in the Foreign Security Accounting Operation and Make Other Changes 2016-12-29T00:00:00-08:00 2016-12-29T00:00:00-08:00 2016-31472 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-12-29/pdf/2016-31472.pdf https://regulations.justia.com/regulations/fedreg/2016/12/29/2016-31471.html Notice - Self-Regulatory Organizations; NASDAQ PHLX LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Modify Administrative Charges for Distributors of Proprietary Data Feed Products 2016-12-29T00:00:00-08:00 2016-12-29T00:00:00-08:00 2016-31471 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-12-29/pdf/2016-31471.pdf https://regulations.justia.com/regulations/fedreg/2016/12/28/2016-31312.html 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 2016-12-28T00:00:00-08:00 2016-12-28T00:00:00-08:00 2016-31312 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-12-28/pdf/2016-31312.pdf https://regulations.justia.com/regulations/fedreg/2016/12/28/2016-31311.html 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 2016-12-28T00:00:00-08:00 2016-12-28T00:00:00-08:00 2016-31311 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-12-28/pdf/2016-31311.pdf https://regulations.justia.com/regulations/fedreg/2016/12/28/2016-31310.html Notice - Self-Regulatory Organizations; NYSE MKT LLC; Notice of Filing and Immediate Effectiveness of Proposed Change Modifying the NYSE Amex Options Fee Schedule 2016-12-28T00:00:00-08:00 2016-12-28T00:00:00-08:00 2016-31310 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-12-28/pdf/2016-31310.pdf https://regulations.justia.com/regulations/fedreg/2016/12/28/2016-31309.html 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 2016-12-28T00:00:00-08:00 2016-12-28T00:00:00-08:00 2016-31309 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-12-28/pdf/2016-31309.pdf https://regulations.justia.com/regulations/fedreg/2016/12/28/2016-31308.html 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 2016-12-28T00:00:00-08:00 2016-12-28T00:00:00-08:00 2016-31308 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-12-28/pdf/2016-31308.pdf https://regulations.justia.com/regulations/fedreg/2016/12/28/2016-31307.html 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 2016-12-28T00:00:00-08:00 2016-12-28T00:00:00-08:00 2016-31307 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-12-28/pdf/2016-31307.pdf https://regulations.justia.com/regulations/fedreg/2016/12/28/2016-31306.html 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 2016-12-28T00:00:00-08:00 2016-12-28T00:00:00-08:00 2016-31306 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-12-28/pdf/2016-31306.pdf https://regulations.justia.com/regulations/fedreg/2016/12/28/2016-31305.html 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 2016-12-28T00:00:00-08:00 2016-12-28T00:00:00-08:00 2016-31305 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-12-28/pdf/2016-31305.pdf https://regulations.justia.com/regulations/fedreg/2016/12/28/2016-31304.html 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 2016-12-28T00:00:00-08:00 2016-12-28T00:00:00-08:00 2016-31304 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-12-28/pdf/2016-31304.pdf https://regulations.justia.com/regulations/fedreg/2016/12/28/2016-31303.html 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 2016-12-28T00:00:00-08:00 2016-12-28T00:00:00-08:00 2016-31303 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-12-28/pdf/2016-31303.pdf https://regulations.justia.com/regulations/fedreg/2016/12/28/2016-31302.html 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 2016-12-28T00:00:00-08:00 2016-12-28T00:00:00-08:00 2016-31302 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-12-28/pdf/2016-31302.pdf https://regulations.justia.com/regulations/fedreg/2016/12/28/2016-31301.html 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 2016-12-28T00:00:00-08:00 2016-12-28T00:00:00-08:00 2016-31301 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-12-28/pdf/2016-31301.pdf https://regulations.justia.com/regulations/fedreg/2016/12/28/2016-31300.html 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 2016-12-28T00:00:00-08:00 2016-12-28T00:00:00-08:00 2016-31300 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-12-28/pdf/2016-31300.pdf https://regulations.justia.com/regulations/fedreg/2016/12/28/2016-31299.html 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 2016-12-28T00:00:00-08:00 2016-12-28T00:00:00-08:00 2016-31299 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-12-28/pdf/2016-31299.pdf https://regulations.justia.com/regulations/fedreg/2016/12/28/2016-31298.html 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 2016-12-28T00:00:00-08:00 2016-12-28T00:00:00-08:00 2016-31298 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-12-28/pdf/2016-31298.pdf https://regulations.justia.com/regulations/fedreg/2016/12/28/2016-31297.html 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 2016-12-28T00:00:00-08:00 2016-12-28T00:00:00-08:00 2016-31297 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-12-28/pdf/2016-31297.pdf https://regulations.justia.com/regulations/fedreg/2016/12/28/2016-31290.html Notice - Transamerica Funds, et al.; Notice of Application 2016-12-28T00:00:00-08:00 2016-12-28T00:00:00-08:00 2016-31290 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-12-28/pdf/2016-31290.pdf https://regulations.justia.com/regulations/fedreg/2016/12/28/2016-31289.html Notice - Ares Capital Corporation, et al.; Notice of Application 2016-12-28T00:00:00-08:00 2016-12-28T00:00:00-08:00 2016-31289 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-12-28/pdf/2016-31289.pdf https://regulations.justia.com/regulations/fedreg/2016/12/28/2016-31288.html Notice - Virtus Alternative Solutions Trust, et al.; Notice of Application 2016-12-28T00:00:00-08:00 2016-12-28T00:00:00-08:00 2016-31288 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-12-28/pdf/2016-31288.pdf https://regulations.justia.com/regulations/fedreg/2016/12/28/2016-31286.html Rule - Changes to Exchange Act Registration Requirements To Implement Title V and Title VI of the JOBS Act; Correction 2016-12-28T00:00:00-08:00 2016-12-28T00:00:00-08:00

2016-31286 Rule https://www.gpo.gov/fdsys/pkg/FR-2016-12-28/pdf/2016-31286.pdf https://regulations.justia.com/regulations/fedreg/2016/12/27/2016-31117.html Notice - Self-Regulatory Organizations; ISE Gemini, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Exchange Rules in Connection With Business Continuity and Disaster Recovery Plans Testing Requirements 2016-12-27T00:00:00-08:00 2016-12-27T00:00:00-08:00 2016-31117 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-12-27/pdf/2016-31117.pdf https://regulations.justia.com/regulations/fedreg/2016/12/27/2016-31116.html Notice - Self-Regulatory Organizations; ISE Mercury, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend ISE Mercury Rule 803 at Supplementary Material .02 in Connection With Business Continuity and Disaster Recovery Plans 2016-12-27T00:00:00-08:00 2016-12-27T00:00:00-08:00 2016-31116 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-12-27/pdf/2016-31116.pdf https://regulations.justia.com/regulations/fedreg/2016/12/27/2016-31115.html Notice - Self-Regulatory Organizations; Bats BYX 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 BYX Summary Depth and Amend Fees for BYX Depth 2016-12-27T00:00:00-08:00 2016-12-27T00:00:00-08:00 2016-31115 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-12-27/pdf/2016-31115.pdf https://regulations.justia.com/regulations/fedreg/2016/12/27/2016-31114.html Notice - Self-Regulatory Organizations; International Securities Exchange, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend ISE Rule 803 at Supplementary Material .02 in Connection With Business Continuity and Disaster Recovery Plans 2016-12-27T00:00:00-08:00 2016-12-27T00:00:00-08:00 2016-31114 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-12-27/pdf/2016-31114.pdf https://regulations.justia.com/regulations/fedreg/2016/12/27/2016-31113.html Notice - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Extend the Credit Option Margin Pilot Program Through July 18, 2017 2016-12-27T00:00:00-08:00 2016-12-27T00:00:00-08:00 2016-31113 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-12-27/pdf/2016-31113.pdf https://regulations.justia.com/regulations/fedreg/2016/12/27/2016-31112.html Notice - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to Reporting Transactions in U.S. Treasury Securities to the Trade Reporting and Compliance Engine 2016-12-27T00:00:00-08:00 2016-12-27T00:00:00-08:00 2016-31112 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-12-27/pdf/2016-31112.pdf https://regulations.justia.com/regulations/fedreg/2016/12/27/2016-31111.html Notice - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Related to SQF Ports 2016-12-27T00:00:00-08:00 2016-12-27T00:00:00-08:00 2016-31111 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-12-27/pdf/2016-31111.pdf https://regulations.justia.com/regulations/fedreg/2016/12/27/2016-31110.html Notice - Self-Regulatory Organizations; Bats BZX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change to BZX Rule 14.11(i), Managed Fund Shares, To List Shares of the Cambria Sovereign High Yield Bond ETF and the Cambria Value and Momentum ETFs 2016-12-27T00:00:00-08:00 2016-12-27T00:00:00-08:00 2016-31110 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-12-27/pdf/2016-31110.pdf https://regulations.justia.com/regulations/fedreg/2016/12/27/2016-31109.html Notice - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the Exchange Data Fees at Rule 7052 2016-12-27T00:00:00-08:00 2016-12-27T00:00:00-08:00 2016-31109 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-12-27/pdf/2016-31109.pdf https://regulations.justia.com/regulations/fedreg/2016/12/27/2016-31108.html Notice - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Rule 4770 (Compliance With Regulation NMS Plan To Implement a Tick Size Pilot) 2016-12-27T00:00:00-08:00 2016-12-27T00:00:00-08:00 2016-31108 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-12-27/pdf/2016-31108.pdf https://regulations.justia.com/regulations/fedreg/2016/12/27/2016-31107.html Notice - Self-Regulatory Organizations; NASDAQ BX, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Rule 4770 (Compliance With Regulation NMS Plan To Implement a Tick Size Pilot) 2016-12-27T00:00:00-08:00 2016-12-27T00:00:00-08:00 2016-31107 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-12-27/pdf/2016-31107.pdf https://regulations.justia.com/regulations/fedreg/2016/12/27/2016-31106.html Notice - Self-Regulatory Organizations; NASDAQ PHLX LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Rule 3317 (Compliance With Regulation NMS Plan To Implement a Tick Size Pilot) 2016-12-27T00:00:00-08:00 2016-12-27T00:00:00-08:00 2016-31106 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-12-27/pdf/2016-31106.pdf https://regulations.justia.com/regulations/fedreg/2016/12/27/2016-31105.html Notice - Self-Regulatory Organizations; BOX Options Exchange LLC; Notice of Designation of Longer Period for Commission Action on 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 RealDayTM 2016-12-27T00:00:00-08:00 2016-12-27T00:00:00-08:00 2016-31105 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-12-27/pdf/2016-31105.pdf https://regulations.justia.com/regulations/fedreg/2016/12/27/2016-31104.html Notice - Self-Regulatory Organizations; NYSE MKT LLC; Notice of Designation of a Longer Period for Commission Action on 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 Trading 2016-12-27T00:00:00-08:00 2016-12-27T00:00:00-08:00 2016-31104 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-12-27/pdf/2016-31104.pdf https://regulations.justia.com/regulations/fedreg/2016/12/27/2016-31103.html Notice - Self-Regulatory Organizations; NYSE MKT LLC; Notice of Designation of a Longer Period for Commission Action on 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 Trading 2016-12-27T00:00:00-08:00 2016-12-27T00:00:00-08:00 2016-31103 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-12-27/pdf/2016-31103.pdf https://regulations.justia.com/regulations/fedreg/2016/12/27/2016-31102.html Notice - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to Compression of S&P 500(R) Index Options Positions 2016-12-27T00:00:00-08:00 2016-12-27T00:00:00-08:00 2016-31102 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-12-27/pdf/2016-31102.pdf https://regulations.justia.com/regulations/fedreg/2016/12/27/2016-31101.html Notice - Self-Regulatory Organizations; NASDAQ BX, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Delay the Implementation of the Limit Order Protection 2016-12-27T00:00:00-08:00 2016-12-27T00:00:00-08:00 2016-31101 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-12-27/pdf/2016-31101.pdf https://regulations.justia.com/regulations/fedreg/2016/12/27/2016-31100.html Notice - Self-Regulatory Organizations; Chicago Stock Exchange, Inc.; Order Instituting Proceedings To Determine Whether To Approve or Disapprove a Proposed Rule Change To Adopt the CHX Liquidity Taking Access Delay 2016-12-27T00:00:00-08:00 2016-12-27T00:00:00-08:00 2016-31100 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-12-27/pdf/2016-31100.pdf https://regulations.justia.com/regulations/fedreg/2016/12/22/2016-30853.html Notice - Euroclear Bank SA/NV; Order of the Commission Approving an Application To Modify an Existing Exemption From Clearing Agency Registration 2016-12-22T00:00:00-08:00 2016-12-22T00:00:00-08:00 2016-30853 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-12-22/pdf/2016-30853.pdf https://regulations.justia.com/regulations/fedreg/2016/12/22/2016-30815.html Notice - Self-Regulatory Organizations; New York Stock Exchange LLC; NYSE MKT LLC; Order Granting an Extension to Limited Exemptions From Rule 612(c) of Regulation NMS In Connection With the Exchanges' Retail Liquidity Programs Until June 30, 2017 2016-12-22T00:00:00-08:00 2016-12-22T00:00:00-08:00 2016-30815 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-12-22/pdf/2016-30815.pdf https://regulations.justia.com/regulations/fedreg/2016/12/22/2016-30796.html Notice - Self-Regulatory Organizations; Bats BZX Exchange, Inc.; Bats BYX Exchange, Inc.; Bats EDGA Exchange, Inc.; Bats EDGX Exchange, Inc.; Order Granting Approval of Proposed Rule Change in Connection With the Proposed Corporate Transaction Involving Bats Global Markets, Inc. and CBOE Holdings, Inc. 2016-12-22T00:00:00-08:00 2016-12-22T00:00:00-08:00 2016-30796 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-12-22/pdf/2016-30796.pdf https://regulations.justia.com/regulations/fedreg/2016/12/22/2016-30795.html Notice - Self-Regulatory Organizations; NASDAQ PHLX LLC; Notice of Filing of Proposed Rule Change, as Modified by Amendment No. 1 Thereto, To Amend the PIXL Price Improvement Auction in Phlx Rule 1080(n) and To Make Pilot Program Permanent 2016-12-22T00:00:00-08:00 2016-12-22T00:00:00-08:00 2016-30795 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-12-22/pdf/2016-30795.pdf https://regulations.justia.com/regulations/fedreg/2016/12/22/2016-30794.html Notice - Self-Regulatory Organizations; NASDAQ PHLX LLC; Order Approving Proposed Rule Change To Amend Phlx Rule 748, Supervision 2016-12-22T00:00:00-08:00 2016-12-22T00:00:00-08:00 2016-30794 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-12-22/pdf/2016-30794.pdf https://regulations.justia.com/regulations/fedreg/2016/12/22/2016-30793.html Notice - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Section 902.02 of the NYSE Listed Company Manual To Adopt a Fee Cap Specific to Investment Management Entities and Their Eligible Portfolio Companies 2016-12-22T00:00:00-08:00 2016-12-22T00:00:00-08:00 2016-30793 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-12-22/pdf/2016-30793.pdf https://regulations.justia.com/regulations/fedreg/2016/12/21/2016-30814.html Notice - Self-Regulatory Organizations; NYSE Arca, Inc.; Order Granting an Extension to Limited Exemption From Rule 612(c) of Regulation NMS in Connection With the Exchange's Retail Liquidity Program Until June 30, 2017 2016-12-21T00:00:00-08:00 2016-12-21T00:00:00-08:00 2016-30814 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-12-21/pdf/2016-30814.pdf https://regulations.justia.com/regulations/fedreg/2016/12/21/2016-30695.html Notice - Self-Regulatory Organizations; ISE Gemini, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Remove Direct Debit for Market Data Products 2016-12-21T00:00:00-08:00 2016-12-21T00:00:00-08:00 2016-30695 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-12-21/pdf/2016-30695.pdf https://regulations.justia.com/regulations/fedreg/2016/12/21/2016-30694.html Notice - Self-Regulatory Organizations; NYSE MKT LLC; Notice of Withdrawal of a Proposed Rule Change, as Modified by Amendments No. 1 and 2 Thereto, Relating to Amendments to NYSE MKT Rules 1600 et seq. and the Listing Rules Applicable to the Shares of the Nuveen Diversified Commodity Fund and the Nuveen Long/Short Commodity Total Return Fund 2016-12-21T00:00:00-08:00 2016-12-21T00:00:00-08:00 2016-30694 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-12-21/pdf/2016-30694.pdf https://regulations.justia.com/regulations/fedreg/2016/12/21/2016-30689.html Notice - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to Rule 4554 Reporting Requirements for Alternative Trading Systems 2016-12-21T00:00:00-08:00 2016-12-21T00:00:00-08:00 2016-30689 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-12-21/pdf/2016-30689.pdf https://regulations.justia.com/regulations/fedreg/2016/12/21/2016-30688.html Notice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Extending Its Program That Allows Transactions To Take Place at a Price That Is Below $1 Per Option Contract Until July 5, 2017 2016-12-21T00:00:00-08:00 2016-12-21T00:00:00-08:00 2016-30688 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-12-21/pdf/2016-30688.pdf https://regulations.justia.com/regulations/fedreg/2016/12/21/2016-30687.html Notice - Self-Regulatory Organizations; NYSE MKT LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Extending Its Program That Allows Transactions to Take Place at a Price That Is Below $1 Per Option Contract Until July 5, 2017 2016-12-21T00:00:00-08:00 2016-12-21T00:00:00-08:00 2016-30687 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-12-21/pdf/2016-30687.pdf https://regulations.justia.com/regulations/fedreg/2016/12/21/2016-30686.html Notice - Self-Regulatory Organizations; International Securities Exchange, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Remove Direct Debit for Market Data Products 2016-12-21T00:00:00-08:00 2016-12-21T00:00:00-08:00 2016-30686 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-12-21/pdf/2016-30686.pdf https://regulations.justia.com/regulations/fedreg/2016/12/20/2016-30565.html Notice - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Move the Web Site and Vendor Through Which It Sells and Disseminates Open and Close Volume Data on the CBOE 2016-12-20T00:00:00-08:00 2016-12-20T00:00:00-08:00 2016-30565 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-12-20/pdf/2016-30565.pdf https://regulations.justia.com/regulations/fedreg/2016/12/20/2016-30564.html Notice - Self-Regulatory Organizations; NYSE MKT LLC; Notice of Filing and Immediate Effectiveness of Proposed Change Modifying the NYSE Amex Options Fee Schedule 2016-12-20T00:00:00-08:00 2016-12-20T00:00:00-08:00 2016-30564 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-12-20/pdf/2016-30564.pdf https://regulations.justia.com/regulations/fedreg/2016/12/20/2016-30563.html Notice - Self-Regulatory Organizations; NYSE MKT LLC; Notice of Filing and Immediate Effectiveness of Proposed Change Modifying the NYSE Amex Options Fee Schedule 2016-12-20T00:00:00-08:00 2016-12-20T00:00:00-08:00 2016-30563 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-12-20/pdf/2016-30563.pdf https://regulations.justia.com/regulations/fedreg/2016/12/20/2016-30562.html Notice - Self-Regulatory Organizations; BOX Options Exchange LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Detail How Complex Orders Will Execute Through the Solicitation Auction Mechanism 2016-12-20T00:00:00-08:00 2016-12-20T00:00:00-08:00 2016-30562 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-12-20/pdf/2016-30562.pdf https://regulations.justia.com/regulations/fedreg/2016/12/20/2016-30561.html Notice - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Modify Distributor Fees for ITTO and BONO Data Feeds 2016-12-20T00:00:00-08:00 2016-12-20T00:00:00-08:00 2016-30561 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-12-20/pdf/2016-30561.pdf https://regulations.justia.com/regulations/fedreg/2016/12/20/2016-30560.html Notice - Self-Regulatory Organizations; C2 Options Exchange, Incorporated; Order Approving a Proposed Rule Change Relating to Price Protection Mechanisms and Risk Controls 2016-12-20T00:00:00-08:00 2016-12-20T00:00:00-08:00 2016-30560 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-12-20/pdf/2016-30560.pdf https://regulations.justia.com/regulations/fedreg/2016/12/20/2016-30559.html Notice - Self-Regulatory Organizations; The Nasdaq Stock Market LLC; Notice of Designation of a Longer Period for Commission Action on a Proposed Rule Change To Amend Rule 4702 To Adopt a New Retail Post-Only Order 2016-12-20T00:00:00-08:00 2016-12-20T00:00:00-08:00 2016-30559 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-12-20/pdf/2016-30559.pdf https://regulations.justia.com/regulations/fedreg/2016/12/20/2016-30558.html Notice - Self-Regulatory Organizations; Bats BZX Exchange, Inc.; Notice of Designation of a Longer Period for Commission Action on 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 NMS 2016-12-20T00:00:00-08:00 2016-12-20T00:00:00-08:00 2016-30558 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-12-20/pdf/2016-30558.pdf https://regulations.justia.com/regulations/fedreg/2016/12/20/2016-30557.html Notice - Self-Regulatory Organizations; The Nasdaq Stock Market LLC; Notice of Designation of a Longer Period for Commission Action on Proposed Rule Change To Enhance the Reopening Auction Process Following a Trading Halt Declared Pursuant to the Plan To Address Extraordinary Market Volatility 2016-12-20T00:00:00-08:00 2016-12-20T00:00:00-08:00 2016-30557 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-12-20/pdf/2016-30557.pdf https://regulations.justia.com/regulations/fedreg/2016/12/20/2016-30556.html Notice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Designation of a Longer Period for Commission Action on a Proposed Rule Change To List and Trade 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 8.200 2016-12-20T00:00:00-08:00 2016-12-20T00:00:00-08:00 2016-30556 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-12-20/pdf/2016-30556.pdf https://regulations.justia.com/regulations/fedreg/2016/12/20/2016-30555.html Notice - Self-Regulatory Organizations; NASDAQ BX, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Rule 4770 (Compliance With Regulation NMS Plan To Implement a Tick Size Pilot) 2016-12-20T00:00:00-08:00 2016-12-20T00:00:00-08:00 2016-30555 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-12-20/pdf/2016-30555.pdf https://regulations.justia.com/regulations/fedreg/2016/12/20/2016-30554.html Notice - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the Fees Schedule 2016-12-20T00:00:00-08:00 2016-12-20T00:00:00-08:00 2016-30554 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-12-20/pdf/2016-30554.pdf https://regulations.justia.com/regulations/fedreg/2016/12/20/2016-30553.html Notice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending NYSE Arca Rule 10.17 and NYSE Arca Equities Rule 10.15 2016-12-20T00:00:00-08:00 2016-12-20T00:00:00-08:00 2016-30553 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-12-20/pdf/2016-30553.pdf https://regulations.justia.com/regulations/fedreg/2016/12/20/2016-30552.html Notice - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Rule 4770 (Compliance With Regulation NMS Plan To Implement a Tick Size Pilot) 2016-12-20T00:00:00-08:00 2016-12-20T00:00:00-08:00 2016-30552 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-12-20/pdf/2016-30552.pdf https://regulations.justia.com/regulations/fedreg/2016/12/20/2016-30551.html Notice - Self-Regulatory Organizations; NASDAQ PHLX LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Rule 3317 (Compliance With Regulation NMS Plan To Implement a Tick Size Pilot) 2016-12-20T00:00:00-08:00 2016-12-20T00:00:00-08:00 2016-30551 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-12-20/pdf/2016-30551.pdf https://regulations.justia.com/regulations/fedreg/2016/12/20/2016-30540.html Notice - Minnesota Life Insurance Company, et al; Notice of Application 2016-12-20T00:00:00-08:00 2016-12-20T00:00:00-08:00

2016-30540 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-12-20/pdf/2016-30540.pdf https://regulations.justia.com/regulations/fedreg/2016/12/20/2016-30539.html Notice - Equus Total Return, Inc.; Notice of Application 2016-12-20T00:00:00-08:00 2016-12-20T00:00:00-08:00 2016-30539 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-12-20/pdf/2016-30539.pdf https://regulations.justia.com/regulations/fedreg/2016/12/20/2016-30538.html Notice - In the Matter of the Application of MIAX PEARL, LLC for Registration as a National Securities Exchange; Findings, Opinion, and Order of the Commission 2016-12-20T00:00:00-08:00 2016-12-20T00:00:00-08:00 2016-30538 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-12-20/pdf/2016-30538.pdf https://regulations.justia.com/regulations/fedreg/2016/12/20/2016-30537.html Notice - Order Approving Public Company Accounting Oversight Board Budget and Annual Accounting Support Fee for Calendar Year 2017 2016-12-20T00:00:00-08:00 2016-12-20T00:00:00-08:00 2016-30537 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-12-20/pdf/2016-30537.pdf https://regulations.justia.com/regulations/fedreg/2016/12/19/2016-30394.html Notice - Self-Regulatory Organizations; ISE Gemini, LLC; Notice of Filing of Proposed Rule Change To Amend ISE Gemini Rule 723 and To Make Pilot Program Permanent 2016-12-19T00:00:00-08:00 2016-12-19T00:00:00-08:00 2016-30394 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-12-19/pdf/2016-30394.pdf https://regulations.justia.com/regulations/fedreg/2016/12/19/2016-30393.html Notice - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Filing of a Proposed Rule Change Related to Rules Regarding the Responsibility for Ensuring Compliance With Open Outcry Priority and Allocation Requirements and Trade-Through Prohibitions 2016-12-19T00:00:00-08:00 2016-12-19T00:00:00-08:00 2016-30393 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-12-19/pdf/2016-30393.pdf https://regulations.justia.com/regulations/fedreg/2016/12/19/2016-30392.html Notice - Self-Regulatory Organizations; ISE Mercury LLC; Notice of Filing of Proposed Rule Change to Amend ISE Mercury Rule 723 and To Make Pilot Program Permanent 2016-12-19T00:00:00-08:00 2016-12-19T00:00:00-08:00 2016-30392 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-12-19/pdf/2016-30392.pdf https://regulations.justia.com/regulations/fedreg/2016/12/19/2016-30391.html Notice - Self Regulatory Organizations; Chicago Stock Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Modify the Web Site Data Publication Requirements and Clarify Certain Data Reporting Obligations Related to the Regulation NMS Plan To Implement a Tick Size Pilot Program 2016-12-19T00:00:00-08:00 2016-12-19T00:00:00-08:00 2016-30391 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-12-19/pdf/2016-30391.pdf https://regulations.justia.com/regulations/fedreg/2016/12/19/2016-30390.html Notice - Self-Regulatory Organizations; Bats EDGX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Exchange Rule 11.22(b) Regarding the Data Collection Requirements of the Regulation NMS Plan To Implement a Tick Size Pilot Program 2016-12-19T00:00:00-08:00 2016-12-19T00:00:00-08:00 2016-30390 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-12-19/pdf/2016-30390.pdf https://regulations.justia.com/regulations/fedreg/2016/12/19/2016-30389.html Notice - Self-Regulatory Organizations; Bats EDGA Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Exchange Rule 11.21(b) Regarding the Data Collection Requirements of the Regulation NMS Plan To Implement a Tick Size Pilot Program 2016-12-19T00:00:00-08:00 2016-12-19T00:00:00-08:00 2016-30389 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-12-19/pdf/2016-30389.pdf https://regulations.justia.com/regulations/fedreg/2016/12/19/2016-30388.html Notice - Self-Regulatory Organizations; Fixed Income Clearing Corporation; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Modify the MBSD Schedule of Charges Dealer Account Group 2016-12-19T00:00:00-08:00 2016-12-19T00:00:00-08:00 2016-30388 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-12-19/pdf/2016-30388.pdf https://regulations.justia.com/regulations/fedreg/2016/12/19/2016-30387.html Notice - Self-Regulatory Organizations; Bats BYX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Exchange Rule 11.27(b) Regarding the Data Collection Requirements of the Regulation NMS Plan To Implement a Tick Size Pilot Program 2016-12-19T00:00:00-08:00 2016-12-19T00:00:00-08:00 2016-30387 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-12-19/pdf/2016-30387.pdf https://regulations.justia.com/regulations/fedreg/2016/12/19/2016-30386.html Notice - Self-Regulatory Organizations; Bats BZX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend Exchange Rule 11.27(b) Regarding the Data Collection Requirements of the Regulation NMS Plan to Implement a Tick Size Pilot Program 2016-12-19T00:00:00-08:00 2016-12-19T00:00:00-08:00 2016-30386 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-12-19/pdf/2016-30386.pdf https://regulations.justia.com/regulations/fedreg/2016/12/19/2016-30378.html Notice - Submission for OMB Review; Comment Request 2016-12-19T00:00:00-08:00 2016-12-19T00:00:00-08:00 2016-30378 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-12-19/pdf/2016-30378.pdf https://regulations.justia.com/regulations/fedreg/2016/12/19/2016-30377.html Notice - Submission for OMB Review; Comment Request 2016-12-19T00:00:00-08:00 2016-12-19T00:00:00-08:00 2016-30377 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-12-19/pdf/2016-30377.pdf https://regulations.justia.com/regulations/fedreg/2016/12/19/2016-30376.html Notice - Submission for OMB Review; Comment Request 2016-12-19T00:00:00-08:00 2016-12-19T00:00:00-08:00 2016-30376 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-12-19/pdf/2016-30376.pdf https://regulations.justia.com/regulations/fedreg/2016/12/19/2016-30375.html Notice - Proposed Collection; Comment Request 2016-12-19T00:00:00-08:00 2016-12-19T00:00:00-08:00 2016-30375 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-12-19/pdf/2016-30375.pdf https://regulations.justia.com/regulations/fedreg/2016/12/19/2016-30374.html Notice - Proposed Collection; Comment Request 2016-12-19T00:00:00-08:00 2016-12-19T00:00:00-08:00 2016-30374 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-12-19/pdf/2016-30374.pdf https://regulations.justia.com/regulations/fedreg/2016/12/19/2016-30373.html Notice - Proposed Collection; Comment Request 2016-12-19T00:00:00-08:00 2016-12-19T00:00:00-08:00 2016-30373 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-12-19/pdf/2016-30373.pdf https://regulations.justia.com/regulations/fedreg/2016/12/19/2016-30372.html Notice - Proposed Collection; Comment Request 2016-12-19T00:00:00-08:00 2016-12-19T00:00:00-08:00 2016-30372 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-12-19/pdf/2016-30372.pdf https://regulations.justia.com/regulations/fedreg/2016/12/19/2016-30371.html Notice - Proposed Collection; Comment Request 2016-12-19T00:00:00-08:00 2016-12-19T00:00:00-08:00 2016-30371 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-12-19/pdf/2016-30371.pdf https://regulations.justia.com/regulations/fedreg/2016/12/16/2016-30259.html Notice - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the Exchange's Transaction Fees at Chapter XV, Section 2 2016-12-16T00:00:00-08:00 2016-12-16T00:00:00-08:00 2016-30259 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-12-16/pdf/2016-30259.pdf https://regulations.justia.com/regulations/fedreg/2016/12/16/2016-30258.html Notice - Self-Regulatory Organizations; BOX Options Exchange LLC; Notice of Filing of Proposed Rule Change To Amend Interpretive Material to Rule 7150 (Price Improvement Period “PIP”) and Interpretive Material to Rule 7245 (Complex Order Price Improvement Period “COPIP”) To Make Permanent the Pilot Programs That Permit the Exchange To Have No Minimum Size Requirement for Orders Entered Into the PIP (“PIP Pilot Program”) and COPIP (“COPIP Pilot Program”) 2016-12-16T00:00:00-08:00 2016-12-16T00:00:00-08:00 2016-30258 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-12-16/pdf/2016-30258.pdf https://regulations.justia.com/regulations/fedreg/2016/12/16/2016-30257.html Notice - Self-Regulatory Organizations; International Securities Exchange, LLC; Notice of Filing of Proposed Rule Change To Amend ISE Rule 723 and To Make Pilot Program Permanent 2016-12-16T00:00:00-08:00 2016-12-16T00:00:00-08:00 2016-30257 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-12-16/pdf/2016-30257.pdf https://regulations.justia.com/regulations/fedreg/2016/12/16/2016-30256.html Notice - Self-Regulatory Organizations; The Depository Trust Company; Fixed Income Clearing Corporation; National Securities Clearing Corporation; Notice of Filing of Amendments No. 1 and Order Granting Accelerated Approval of Proposed Rule Changes, as Modified by Amendments No. 1, Relating to Clearing Agency Investment Policy 2016-12-16T00:00:00-08:00 2016-12-16T00:00:00-08:00 2016-30256 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-12-16/pdf/2016-30256.pdf https://regulations.justia.com/regulations/fedreg/2016/12/16/2016-30255.html Notice - Self-Regulatory Organizations: Investors Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Require Listed Companies To Publicly Disclose Compensation or Other Payments by Third Parties to Any Nominee for Director or Sitting Director in Connection With Their Candidacy for or Service on the Companies' Board of Directors 2016-12-16T00:00:00-08:00 2016-12-16T00:00:00-08:00 2016-30255 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-12-16/pdf/2016-30255.pdf https://regulations.justia.com/regulations/fedreg/2016/12/16/2016-30254.html Notice - Self-Regulatory Organizations; Bats EDGX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Rule 21.5 of Bats EDGX Exchange, Inc. To Extend Through June 30, 2017, the Penny Pilot Program in Options Classes in Certain Issues 2016-12-16T00:00:00-08:00 2016-12-16T00:00:00-08:00 2016-30254 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-12-16/pdf/2016-30254.pdf https://regulations.justia.com/regulations/fedreg/2016/12/16/2016-30253.html Notice - Self-Regulatory Organizations; NYSE MKT LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Commentary .02 to Rule 960NY in Order To Extend the Penny Pilot in Options Classes in Certain Issues 2016-12-16T00:00:00-08:00 2016-12-16T00:00:00-08:00 2016-30253 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-12-16/pdf/2016-30253.pdf https://regulations.justia.com/regulations/fedreg/2016/12/16/2016-30252.html Notice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Commentary .02 to Rule 6.72 2016-12-16T00:00:00-08:00 2016-12-16T00:00:00-08:00 2016-30252 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-12-16/pdf/2016-30252.pdf https://regulations.justia.com/regulations/fedreg/2016/12/16/2016-30251.html Notice - Alpha Architect ETF Trust, et al.; Notice of Application 2016-12-16T00:00:00-08:00 2016-12-16T00:00:00-08:00 2016-30251 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-12-16/pdf/2016-30251.pdf https://regulations.justia.com/regulations/fedreg/2016/12/15/2016-30095.html Notice - Self-Regulatory Organizations; Bats BZX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Rule 21.5 of Bats BZX Exchange, Inc. To Extend Through June 30, 2017, the Penny Pilot Program in Options Classes in Certain Issues 2016-12-15T00:00:00-08:00 2016-12-15T00:00:00-08:00 2016-30095 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-12-15/pdf/2016-30095.pdf https://regulations.justia.com/regulations/fedreg/2016/12/15/2016-30082.html Notice - 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 Opening and Closing Rotations Under the HOSS System 2016-12-15T00:00:00-08:00 2016-12-15T00:00:00-08:00 2016-30082 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-12-15/pdf/2016-30082.pdf https://regulations.justia.com/regulations/fedreg/2016/12/15/2016-30081.html Notice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing of Amendment No. 3, and Order Granting Accelerated Approval of Proposed Rule Change, as Modified by Amendment No. 3, Relating to the Listing and Trading of Shares of the Long Dollar Gold Trust Under NYSE Arca Equities Rule 8.201 2016-12-15T00:00:00-08:00 2016-12-15T00:00:00-08:00 2016-30081 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-12-15/pdf/2016-30081.pdf https://regulations.justia.com/regulations/fedreg/2016/12/15/2016-30080.html Notice - Self-Regulatory Organizations; ICE Clear Europe Limited; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to the Clearing Rules Regarding German CDS Clearing Members 2016-12-15T00:00:00-08:00 2016-12-15T00:00:00-08:00 2016-30080 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-12-15/pdf/2016-30080.pdf https://regulations.justia.com/regulations/fedreg/2016/12/15/2016-30079.html Notice - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Section 902.04 of the NYSE Listed Company Manual 2016-12-15T00:00:00-08:00 2016-12-15T00:00:00-08:00 2016-30079 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-12-15/pdf/2016-30079.pdf https://regulations.justia.com/regulations/fedreg/2016/12/15/2016-30078.html Notice - Self-Regulatory Organizations; CBOE Futures Exchange, LLC; Notice of Filing of a Proposed Rule Change Regarding Attempted Fraudulent Acts 2016-12-15T00:00:00-08:00 2016-12-15T00:00:00-08:00 2016-30078 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-12-15/pdf/2016-30078.pdf https://regulations.justia.com/regulations/fedreg/2016/12/14/2016-29940.html Notice - Self-Regulatory Organizations; NYSE MKT LLC; Notice of Designation of a Longer Period for Commission Action on Proceedings To Determine Whether To Approve or Disapprove a Proposed Rule Change, as Modified by Amendments No. 1 and 2 Thereto, Relating to Amendments to NYSE MKT Rules 1600 et seq. and the Listing Rules Applicable to the Shares of the Nuveen Diversified Commodity Fund and the Nuveen Long/Short Commodity Total Return Fund 2016-12-14T00:00:00-08:00 2016-12-14T00:00:00-08:00 2016-29940 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-12-14/pdf/2016-29940.pdf https://regulations.justia.com/regulations/fedreg/2016/12/14/2016-29939.html Notice - Self-Regulatory Organizations; NYSE MKT LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Extend the Pilot Period for the Exchange's Retail Liquidity Program 2016-12-14T00:00:00-08:00 2016-12-14T00:00:00-08:00 2016-29939 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-12-14/pdf/2016-29939.pdf https://regulations.justia.com/regulations/fedreg/2016/12/14/2016-29938.html Notice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending the Exchange's Schedule of Fees and Charges Relating to the Listing and Annual Fees Applicable to Certain Structured Products 2016-12-14T00:00:00-08:00 2016-12-14T00:00:00-08:00 2016-29938 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-12-14/pdf/2016-29938.pdf https://regulations.justia.com/regulations/fedreg/2016/12/14/2016-29934.html Notice - Hartford Life Insurance Company, et al; Notice of Application 2016-12-14T00:00:00-08:00 2016-12-14T00:00:00-08:00 2016-29934 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-12-14/pdf/2016-29934.pdf https://regulations.justia.com/regulations/fedreg/2016/12/14/2016-29933.html Notice - Hartford Life Insurance Company, et al; Notice of Application 2016-12-14T00:00:00-08:00 2016-12-14T00:00:00-08:00 2016-29933 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-12-14/pdf/2016-29933.pdf https://regulations.justia.com/regulations/fedreg/2016/12/14/2016-29932.html Notice - ALAIA Market Linked Trust and Beech Hill Securities, Inc.; Notice of Application 2016-12-14T00:00:00-08:00 2016-12-14T00:00:00-08:00 2016-29932 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-12-14/pdf/2016-29932.pdf 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 https://regulations.justia.com/regulations/fedreg/2016/12/12/2016-29794.html Notice - Sunshine Act Meeting 2016-12-12T00:00:00-08:00 2016-12-12T00:00:00-08:00 2016-29794 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-12-12/pdf/2016-29794.pdf https://regulations.justia.com/regulations/fedreg/2016/12/12/2016-29668.html Notice - Self-Regulatory Organizations; The Depository Trust Company; Order Granting Approval of a Proposed Rule Change, as Modified by Amendment No. 1, To Impose Deposit Chills and Global Locks and Provide Fair Procedures to Issuers 2016-12-12T00:00:00-08:00 2016-12-12T00:00:00-08:00 2016-29668 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-12-12/pdf/2016-29668.pdf https://regulations.justia.com/regulations/fedreg/2016/12/12/2016-29659.html Notice - Self-Regulatory Organizations; BOX Options Exchange LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the Fee Schedule on the BOX Market LLC (“BOX”) Options Facility 2016-12-12T00:00:00-08:00 2016-12-12T00:00:00-08:00 2016-29659 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-12-12/pdf/2016-29659.pdf https://regulations.justia.com/regulations/fedreg/2016/12/12/2016-29658.html Notice - Self-Regulatory Organizations; NASDAQ BX, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the Titles of Equities Rule 7015 and Options Chapter XV, Section 3, and To Make Related Changes 2016-12-12T00:00:00-08:00 2016-12-12T00:00:00-08:00 2016-29658 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-12-12/pdf/2016-29658.pdf https://regulations.justia.com/regulations/fedreg/2016/12/12/2016-29652.html Notice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Designation of a Longer Period for Commission Action on Proposed Rule Change Amending NYSE Arca Equities Rules 7.35 (Auctions), 7.10 (Clearly Erroneous Executions), 7.31 (Orders and Modifiers), and 7.11 (Limit Up-Limit Down Plan and Trading Pauses in Individual Securities Due to Extraordinary Market Volatility) 2016-12-12T00:00:00-08:00 2016-12-12T00:00:00-08:00 2016-29652 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-12-12/pdf/2016-29652.pdf https://regulations.justia.com/regulations/fedreg/2016/12/12/2016-29651.html Notice - Self-Regulatory Organizations; NYSE MKT LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Provide That the Exchange Would Not Be Required To Report to the Securities Information Processor an Official Closing Price, as Defined Under Rule 123C(1)(e)(i)-Equities, as an “M” Sale Condition 2016-12-12T00:00:00-08:00 2016-12-12T00:00:00-08:00 2016-29651 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-12-12/pdf/2016-29651.pdf https://regulations.justia.com/regulations/fedreg/2016/12/12/2016-29650.html Notice - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Provide That the Exchange Would Not Be Required To Report to The Securities Information Processor an Official Closing Price, as Defined Under Rule 123C(1)(e)(i), as an “M” Sale Condition 2016-12-12T00:00:00-08:00 2016-12-12T00:00:00-08:00 2016-29650 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-12-12/pdf/2016-29650.pdf https://regulations.justia.com/regulations/fedreg/2016/12/12/2016-29649.html Notice - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Rule 67 To Modify the Web site Data Publication Requirements Relating to the Regulation NMS Plan To Implement a Tick Size Pilot Program 2016-12-12T00:00:00-08:00 2016-12-12T00:00:00-08:00 2016-29649 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-12-12/pdf/2016-29649.pdf https://regulations.justia.com/regulations/fedreg/2016/12/12/2016-29648.html Notice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Rule 7.46 to Modify the Web Site Data Publication Requirements Relating To the Regulation NMS Plan To Implement a Tick Size Pilot Program 2016-12-12T00:00:00-08:00 2016-12-12T00:00:00-08:00 2016-29648 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-12-12/pdf/2016-29648.pdf https://regulations.justia.com/regulations/fedreg/2016/12/12/2016-29647.html Notice - Self-Regulatory Organizations; NYSE MKT LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Rule 67-Equities To Modify the Web Site Data Publication Requirements Relating to the Regulation NMS Plan To Implement a Tick Size Pilot Program 2016-12-12T00:00:00-08:00 2016-12-12T00:00:00-08:00 2016-29647 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-12-12/pdf/2016-29647.pdf https://regulations.justia.com/regulations/fedreg/2016/12/12/2016-29646.html Notice - Self-Regulatory Organizations; Chicago Stock Exchange, Inc.; Notice of Filing of Proposed Rule Change in Connection With the Proposed Transaction Involving CHX Holdings, Inc. and North America Casin Holdings, Inc. 2016-12-12T00:00:00-08:00 2016-12-12T00:00:00-08:00 2016-29646 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-12-12/pdf/2016-29646.pdf https://regulations.justia.com/regulations/fedreg/2016/12/12/2016-29645.html Notice - Self-Regulatory Organizations: Investors Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Modify the Web site Data Publication Requirements Relating to the Regulation NMS Plan To Implement a Tick Size Pilot Program 2016-12-12T00:00:00-08:00 2016-12-12T00:00:00-08:00 2016-29645 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-12-12/pdf/2016-29645.pdf https://regulations.justia.com/regulations/fedreg/2016/12/09/2016-29493.html Notice - Proposed Collection; Comment Request 2016-12-09T00:00:00-08:00 2016-12-09T00:00:00-08:00 2016-29493 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-12-09/pdf/2016-29493.pdf https://regulations.justia.com/regulations/fedreg/2016/12/09/2016-29467.html Notice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Rule 6.40 To Expand the Risk Limitation Mechanism to All Orders, Including Complex Orders 2016-12-09T00:00:00-08:00 2016-12-09T00:00:00-08:00 2016-29467 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-12-09/pdf/2016-29467.pdf https://regulations.justia.com/regulations/fedreg/2016/12/09/2016-29466.html Notice - Self-Regulatory Organizations; NYSE MKT LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Rule To Expand the Risk Limitation Mechanism to All Orders, Including Complex Orders 2016-12-09T00:00:00-08:00 2016-12-09T00:00:00-08:00 2016-29466 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-12-09/pdf/2016-29466.pdf https://regulations.justia.com/regulations/fedreg/2016/12/09/2016-29465.html Notice - Self-Regulatory Organizations; Bats BZX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to BZX Rule 11.23, Auctions, To Amend How the Official Auction Prices Are Calculated and Add Additional Specificity Regarding the Handling of RHO Orders During an Opening Auction for a BZX Listed Security 2016-12-09T00:00:00-08:00 2016-12-09T00:00:00-08:00 2016-29465 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-12-09/pdf/2016-29465.pdf https://regulations.justia.com/regulations/fedreg/2016/12/09/2016-29464.html Notice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Its Rules Governing Business Continuity and Disaster Recovery Planning 2016-12-09T00:00:00-08:00 2016-12-09T00:00:00-08:00 2016-29464 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-12-09/pdf/2016-29464.pdf https://regulations.justia.com/regulations/fedreg/2016/12/09/2016-29463.html Notice - Self-Regulatory Organizations; NASDAQ BX, Inc.; Notice of Filing of Proposed Rule Change To Amend the PRISM Price Improvement Auction in BX Chapter VI, Section 9 and To Make Pilot Program Permanent 2016-12-09T00:00:00-08:00 2016-12-09T00:00:00-08:00 2016-29463 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-12-09/pdf/2016-29463.pdf https://regulations.justia.com/regulations/fedreg/2016/12/08/2016-29389.html Notice - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Chapter Nine of the NYSE Listed Company Manual 2016-12-08T00:00:00-08:00 2016-12-08T00:00:00-08:00 2016-29389 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-12-08/pdf/2016-29389.pdf https://regulations.justia.com/regulations/fedreg/2016/12/08/2016-29387.html Notice - Self-Regulatory Organizations; Bats BZX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Make Non-Substantive Changes to the Equity Options Fee Schedule 2016-12-08T00:00:00-08:00 2016-12-08T00:00:00-08:00 2016-29387 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-12-08/pdf/2016-29387.pdf https://regulations.justia.com/regulations/fedreg/2016/12/08/2016-29386.html Notice - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the Exchange's Transaction Fees at Rule 7047 2016-12-08T00:00:00-08:00 2016-12-08T00:00:00-08:00 2016-29386 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-12-08/pdf/2016-29386.pdf https://regulations.justia.com/regulations/fedreg/2016/12/08/2016-29385.html Notice - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Order Approving Proposed Rule Change To Amend Rule 12400 of the Code of Arbitration Procedure for Customer Disputes and Rule 13400 of the Code of Arbitration Procedure for Industry Disputes Relating To Broadening Chairperson Eligibility in Arbitration 2016-12-08T00:00:00-08:00 2016-12-08T00:00:00-08:00 2016-29385 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-12-08/pdf/2016-29385.pdf https://regulations.justia.com/regulations/fedreg/2016/12/07/2016-29301.html Notice - CWM Advisors, LLC, et al.; Notice of Application 2016-12-07T00:00:00-08:00 2016-12-07T00:00:00-08:00 2016-29301 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-12-07/pdf/2016-29301.pdf https://regulations.justia.com/regulations/fedreg/2016/12/07/2016-29300.html Notice - Wells Fargo Advisors, LLC and Wells Fargo Advisors Financial Network, LLC; Notice of Application 2016-12-07T00:00:00-08:00 2016-12-07T00:00:00-08:00 2016-29300 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-12-07/pdf/2016-29300.pdf https://regulations.justia.com/regulations/fedreg/2016/12/07/2016-29299.html Notice - UBS Financial Services Inc.; Notice of Application 2016-12-07T00:00:00-08:00 2016-12-07T00:00:00-08:00 2016-29299 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-12-07/pdf/2016-29299.pdf https://regulations.justia.com/regulations/fedreg/2016/12/07/2016-29298.html Notice - Robert W. Baird & Co. Incorporated; Notice of Application 2016-12-07T00:00:00-08:00 2016-12-07T00:00:00-08:00 2016-29298 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-12-07/pdf/2016-29298.pdf https://regulations.justia.com/regulations/fedreg/2016/12/07/2016-29297.html Notice - Merrill Lynch, Pierce, Fenner & Smith Incorporated; Notice of Application 2016-12-07T00:00:00-08:00 2016-12-07T00:00:00-08:00 2016-29297 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-12-07/pdf/2016-29297.pdf https://regulations.justia.com/regulations/fedreg/2016/12/07/2016-29294.html Notice - Self-Regulatory Organizations; Bats BZX Exchange, Inc.; Notice of Filing of Proposed Rule Changes to BZX Rule 14.11, Other Securities, and BZX Rule 14.12, Failure To Meet Listing Standards 2016-12-07T00:00:00-08:00 2016-12-07T00:00:00-08:00 2016-29294 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-12-07/pdf/2016-29294.pdf https://regulations.justia.com/regulations/fedreg/2016/12/07/2016-29293.html Notice - Self-Regulatory Organizations; NASDAQ BX, Inc.; Order Granting an Extension to Limited Exemption From Rule 612(c) of Regulation NMS in Connection With the Exchange's Retail Price Improvement Program Until December 1, 2017 2016-12-07T00:00:00-08:00 2016-12-07T00:00:00-08:00 2016-29293 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-12-07/pdf/2016-29293.pdf https://regulations.justia.com/regulations/fedreg/2016/12/07/2016-29292.html Notice - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Change the Titles of Equities Rule 7015 and Options Chapter XV, Section 3, and To Make Related Changes 2016-12-07T00:00:00-08:00 2016-12-07T00:00:00-08:00 2016-29292 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-12-07/pdf/2016-29292.pdf https://regulations.justia.com/regulations/fedreg/2016/12/07/2016-29291.html Notice - Self-Regulatory Organizations; NASDAQ BX, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Extend the Pilot Period for the Retail Price Improvement Program Until December 1, 2017 2016-12-07T00:00:00-08:00 2016-12-07T00:00:00-08:00 2016-29291 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-12-07/pdf/2016-29291.pdf https://regulations.justia.com/regulations/fedreg/2016/12/07/2016-29290.html Notice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of Proposal to Change Representation Regarding Investments by PowerShares DB Trust Issued Receipts Listed Under Commentary .02 to NYSE Arca Equities Rule 8.200 2016-12-07T00:00:00-08:00 2016-12-07T00:00:00-08:00 2016-29290 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-12-07/pdf/2016-29290.pdf https://regulations.justia.com/regulations/fedreg/2016/12/07/2016-29289.html Notice - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Its Rules Governing Business Continuity and Disaster Recovery 2016-12-07T00:00:00-08:00 2016-12-07T00:00:00-08:00 2016-29289 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-12-07/pdf/2016-29289.pdf https://regulations.justia.com/regulations/fedreg/2016/12/07/2016-29288.html Notice - Self-Regulatory Organizations; NYSE MKT LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Its Rules Governing Business Continuity and Disaster Recovery Planning 2016-12-07T00:00:00-08:00 2016-12-07T00:00:00-08:00 2016-29288 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-12-07/pdf/2016-29288.pdf https://regulations.justia.com/regulations/fedreg/2016/12/07/2016-29287.html Notice - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to the Penny Pilot Program 2016-12-07T00:00:00-08:00 2016-12-07T00:00:00-08:00 2016-29287 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-12-07/pdf/2016-29287.pdf https://regulations.justia.com/regulations/fedreg/2016/12/07/2016-29286.html Notice - Self-Regulatory Organizations; C2 Options Exchange, Incorporated; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to the Penny Pilot Program 2016-12-07T00:00:00-08:00 2016-12-07T00:00:00-08:00 2016-29286 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-12-07/pdf/2016-29286.pdf https://regulations.justia.com/regulations/fedreg/2016/12/07/2016-29285.html Notice - Self-Regulatory Organizations; ICE Clear Credit LLC; Notice of Filing of Proposed Rule Change To Provide for the Clearance of Additional Credit Default Swap Contracts 2016-12-07T00:00:00-08:00 2016-12-07T00:00:00-08:00 2016-29285 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-12-07/pdf/2016-29285.pdf https://regulations.justia.com/regulations/fedreg/2016/12/07/2016-29284.html Notice - Self-Regulatory Organizations; Bats BZX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Make Non-Substantive Changes to the Fee Schedule 2016-12-07T00:00:00-08:00 2016-12-07T00:00:00-08:00 2016-29284 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-12-07/pdf/2016-29284.pdf https://regulations.justia.com/regulations/fedreg/2016/12/07/2016-29283.html Notice - Self-Regulatory Organizations; Bats EDGA Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Make Non-Substantive Changes to the Fee Schedule 2016-12-07T00:00:00-08:00 2016-12-07T00:00:00-08:00 2016-29283 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-12-07/pdf/2016-29283.pdf https://regulations.justia.com/regulations/fedreg/2016/12/07/2016-29282.html Notice - Self-Regulatory Organizations; Bats EDGX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Make Non-Substantive Changes to the Equity Options Fee Schedule 2016-12-07T00:00:00-08:00 2016-12-07T00:00:00-08:00 2016-29282 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-12-07/pdf/2016-29282.pdf https://regulations.justia.com/regulations/fedreg/2016/12/06/2016-29296.html Notice - Sunshine Act Meeting 2016-12-06T00:00:00-08:00 2016-12-06T00:00:00-08:00 2016-29296 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-12-06/pdf/2016-29296.pdf https://regulations.justia.com/regulations/fedreg/2016/12/06/2016-29295.html Notice - Sunshine Act Meeting 2016-12-06T00:00:00-08:00 2016-12-06T00:00:00-08:00 2016-29295 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-12-06/pdf/2016-29295.pdf https://regulations.justia.com/regulations/fedreg/2016/12/06/2016-29174.html Notice - Self-Regulatory Organizations; BOX Options Exchange LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Rule 7260 by Extending the Penny Pilot Program Through June 30, 2017 2016-12-06T00:00:00-08:00 2016-12-06T00:00:00-08:00 2016-29174 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-12-06/pdf/2016-29174.pdf https://regulations.justia.com/regulations/fedreg/2016/12/06/2016-29163.html Notice - Self-Regulatory Organizations; The Options Clearing Corporation; Notice of Filing of Amendment No. 1 and Order Granting Accelerated Approval of a Proposed Rule Change, as Modified by Amendment No. 1, Related to Compliance With Section 871(m) of the Internal Revenue Code 2016-12-06T00:00:00-08:00 2016-12-06T00:00:00-08:00 2016-29163 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-12-06/pdf/2016-29163.pdf https://regulations.justia.com/regulations/fedreg/2016/12/06/2016-29162.html Notice - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Chapter VI, Section 5 To Extend the Penny Pilot Program 2016-12-06T00:00:00-08:00 2016-12-06T00:00:00-08:00 2016-29162 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-12-06/pdf/2016-29162.pdf https://regulations.justia.com/regulations/fedreg/2016/12/06/2016-29161.html Notice - Self-Regulatory Organizations; Miami International Securities Exchange LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Exchange Rule 510 To Extend the Penny Pilot Program 2016-12-06T00:00:00-08:00 2016-12-06T00:00:00-08:00 2016-29161 Notice https://www.gpo.gov/fdsys/pkg/FR-2016-12-06/pdf/2016-29161.pdf