Securities and Exchange Commission 2016 – Federal Register Recent Federal Regulation Documents

Results 451 - 500 of 2,320
Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Specialized Quote Feed Port Fees
Document Number: 2016-25467
Type: Notice
Date: 2016-10-21
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2016/10/21/2016-25467.html
Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Its Price List To Eliminate Take Fees for Bonds Executed on the NYSE BondsSM
Document Number: 2016-25466
Type: Notice
Date: 2016-10-21
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2016/10/21/2016-25466.html
Self-Regulatory Organizations; Bats BZX Exchange, Inc.; Notice of Filing of a Proposed Rule Change to Bats BZX Rule 14.13, Company Listing Fees, and to the Bats BZX Fee Schedule; Suspension of and Order Instituting Proceedings To Determine Whether To Approve or Disapprove the Proposed Rule Change
Document Number: 2016-25350
Type: Notice
Date: 2016-10-20
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2016/10/20/2016-25350.html
First Investors Equity Funds, et al.; Notice of Application
Document Number: 2016-25346
Type: Notice
Date: 2016-10-20
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2016/10/20/2016-25346.html
Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing of Proposed Rule Change Relating to Listing and Trading of Shares of the Virtus Enhanced U.S. Equity ETF Under Commentary .01 to NYSE Arca Equities Rule 5.2(j)(3)
Document Number: 2016-25345
Type: Notice
Date: 2016-10-20
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2016/10/20/2016-25345.html
Self-Regulatory Organizations; International Securities Exchange, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the Schedule of Fees
Document Number: 2016-25344
Type: Notice
Date: 2016-10-20
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2016/10/20/2016-25344.html
ETF Managers Group, LLC and ETF Managers Trust; Notice of Application
Document Number: 2016-25239
Type: Notice
Date: 2016-10-19
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2016/10/19/2016-25239.html
Self-Regulatory Organizations; NYSE MKT LLC; Notice of Filing and Immediate Effectiveness of Proposed Change To Modify the NYSE Amex Options Fee Schedule
Document Number: 2016-25238
Type: Notice
Date: 2016-10-19
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2016/10/19/2016-25238.html
Self-Regulatory Organizations; Bats EDGX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Fees for Use of Bats EDGX Exchange, Inc.
Document Number: 2016-25237
Type: Notice
Date: 2016-10-19
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2016/10/19/2016-25237.html
Self-Regulatory Organizations; Bats EDGX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Fees for Use of Bats EDGX Exchange, Inc. Options Platform
Document Number: 2016-25236
Type: Notice
Date: 2016-10-19
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2016/10/19/2016-25236.html
Self-Regulatory Organizations; Bats BZX Exchange, Inc.; Notice of Designation of a Longer Period for Commission Action on Proposed Rule Change, as Modified by Amendment No. 1 Thereto, to List and Trade Shares of the iShares iBonds Dec 2023 Term Muni Bond ETF and iShares iBonds Dec 2024 Term Muni Bond ETF of the iShares U.S. ETF Trust
Document Number: 2016-25235
Type: Notice
Date: 2016-10-19
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2016/10/19/2016-25235.html
Self-Regulatory Organizations; The Options Clearing Corporation; Order Approving Proposed Rule Change Concerning the Options Clearing Corporation's Escrow Deposit Program
Document Number: 2016-25234
Type: Notice
Date: 2016-10-19
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2016/10/19/2016-25234.html
Self-Regulatory Organizations; The Options Clearing Corporation; Notice of No Objection to Advance Notice Filing Concerning The Options Clearing Corporation's Escrow Deposit Program
Document Number: 2016-25233
Type: Notice
Date: 2016-10-19
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2016/10/19/2016-25233.html
Proposed Collection; Comment Request
Document Number: 2016-25089
Type: Notice
Date: 2016-10-18
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2016/10/18/2016-25089.html
Submission for OMB Review; Comment Request
Document Number: 2016-25088
Type: Notice
Date: 2016-10-18
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2016/10/18/2016-25088.html
Self-Regulatory Organizations; The Depository Trust Company; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Clarify Certain Rules Provisions Relating to Pledges
Document Number: 2016-25087
Type: Notice
Date: 2016-10-18
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2016/10/18/2016-25087.html
Self-Regulatory Organizations; NASDAQ PHLX LLC; Notice of Designation of a Longer Period for Commission Action on Proposed Rule Change To Delete or Amend Rule Language Relating to Specialists and Registered Options Traders
Document Number: 2016-25086
Type: Notice
Date: 2016-10-18
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2016/10/18/2016-25086.html
Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the Fees Schedule
Document Number: 2016-25085
Type: Notice
Date: 2016-10-18
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2016/10/18/2016-25085.html
Self-Regulatory Organizations; New York Stock Exchange LLC; Order Instituting Proceedings To Determine Whether To Approve or Disapprove a Proposed Rule Change, as Modified by Amendments No. 1 and 2, Allowing the Exchange To Trade Pursuant to Unlisted Trading Privileges Any NMS Stock Listed on Another National Securities Exchange; Establishing Listing and Trading Requirements for Exchange Traded Products; and Adopting New Equity Trading Rules Relating to Trading Halts of Securities Traded Pursuant to UTP on the Pillar Platform
Document Number: 2016-25083
Type: Notice
Date: 2016-10-18
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2016/10/18/2016-25083.html
Self-Regulatory Organizations; Bats BZX Exchange, Inc.; Order Instituting Proceedings To Determine Whether To Approve or Disapprove a Proposed Rule Change to BZX Rule 14.11(e)(4), Commodity-Based Trust Shares, To List and Trade Winklevoss Bitcoin Shares Issued by the Winklevoss Bitcoin Trust
Document Number: 2016-25082
Type: Notice
Date: 2016-10-18
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2016/10/18/2016-25082.html
Investment Company Act of 1940
Document Number: 2016-24983
Type: Notice
Date: 2016-10-17
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2016/10/17/2016-24983.html
Self-Regulatory Organizations; Fixed Income Clearing Corporation; Order Approving Proposed Rule Change To Describe the Blackout Period Exposure Charge That May Be Imposed on GCF Repo Participants
Document Number: 2016-24982
Type: Notice
Date: 2016-10-17
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2016/10/17/2016-24982.html
Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Its Rules To Remove Definitions and Trading Rules That Are No Longer Operative After the Completed Full Migration of All Symbols to the Pillar Trading Platform
Document Number: 2016-24981
Type: Notice
Date: 2016-10-17
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2016/10/17/2016-24981.html
Self-Regulatory Organizations; NASDAQ PHLX LLC; Notice of Filing of Proposed Rule Change To Amend the Pricing Schedule at Section IV, Part B titled “Flex Transaction Fees”
Document Number: 2016-24980
Type: Notice
Date: 2016-10-17
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2016/10/17/2016-24980.html
Self-Regulatory Organizations; The Nasdaq Stock Market LLC; Notice of Filing of Proposed Rule Change To Amend the Continued Listing Requirements for Exchange-Traded Products
Document Number: 2016-24979
Type: Notice
Date: 2016-10-17
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2016/10/17/2016-24979.html
Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing of Proposed Rule Change To List and Trade Exchange-Traded Managed Funds
Document Number: 2016-24978
Type: Notice
Date: 2016-10-17
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2016/10/17/2016-24978.html
Submission for OMB Review; Comment Request
Document Number: 2016-24977
Type: Notice
Date: 2016-10-17
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2016/10/17/2016-24977.html
Sunshine Act Meeting; Additional Item
Document Number: 2016-24988
Type: Notice
Date: 2016-10-14
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2016/10/14/2016-24988.html
Self-Regulatory Organizations; NASDAQ BX, Inc.; Notice of Filing of Partial Amendment Nos. 1 and 3, and Order Granting Accelerated Approval of a Proposed Rule Change, as Modified by Partial Amendment Nos. 1 and 3, to System Functionality Necessary To Implement the Regulation NMS Plan To Implement a Tick Size Pilot Program
Document Number: 2016-24842
Type: Notice
Date: 2016-10-14
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2016/10/14/2016-24842.html
Destra Capital Advisors LLC, et al.; Notice of Application
Document Number: 2016-24841
Type: Notice
Date: 2016-10-14
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2016/10/14/2016-24841.html
The Bank of New York Mellon Trust Company, National Association and The Bank of New York Mellon; Notice of Application
Document Number: 2016-24840
Type: Notice
Date: 2016-10-14
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2016/10/14/2016-24840.html
Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing of Proposed Rule Change Amending NYSE Arca Equities Rule 7.35P To Provide for Widened Price Collar Thresholds for the Core Open Auction on Volatile Trading Days
Document Number: 2016-24839
Type: Notice
Date: 2016-10-14
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2016/10/14/2016-24839.html
Self-Regulatory Organizations; Bats BZX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Related to Fees for Use of Bats BZX Exchange, Inc.
Document Number: 2016-24838
Type: Notice
Date: 2016-10-14
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2016/10/14/2016-24838.html
Self-Regulatory Organizations; Miami International Securities Exchange, LLC; Order Approving a Proposed Rule Change To Adopt New Rules To Govern the Trading of Complex Orders
Document Number: 2016-24837
Type: Notice
Date: 2016-10-14
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2016/10/14/2016-24837.html
Self-Regulatory Organizations; NASDAQ PHLX LLC; Notice of Filing of Proposed Rule Change To Delete Outdated or Unnecessary Rule Language
Document Number: 2016-24836
Type: Notice
Date: 2016-10-14
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2016/10/14/2016-24836.html
Self-Regulatory Organizations; NASDAQ PHLX LLC; Notice of Filing of Partial Amendment Nos. 1, 2 and 3, and Order Granting Accelerated Approval of a Proposed Rule Change, as Modified by Partial Amendment Nos. 1, 2 and 3, to System Functionality Necessary to Implement the Regulation NMS Plan To Implement a Tick Size Pilot Program
Document Number: 2016-24835
Type: Notice
Date: 2016-10-14
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2016/10/14/2016-24835.html
Self-Regulatory Organizations; The Nasdaq Stock Market LLC; Notice of Filing of Partial Amendment Nos. 1, 2 and 3, and Order Granting Accelerated Approval of a Proposed Rule Change, as Modified by Partial Amendment Nos. 1, 2 and 3, to System Functionality Necessary To Implement the Regulation NMS Plan To Implement a Tick Size Pilot Program
Document Number: 2016-24834
Type: Notice
Date: 2016-10-14
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2016/10/14/2016-24834.html
Self-Regulatory Organizations; Bats BZX Exchange, Inc.; Order Granting Approval of Proposed Rule Change, as Modified by Amendment No. 1, To Amend BZX Rule 14.11(d) To Add the EURO STOXX 50 Volatility Futures to the Definition of Futures Reference Asset
Document Number: 2016-24776
Type: Notice
Date: 2016-10-13
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2016/10/13/2016-24776.html
Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Supplementary Material .20 to Rule 103
Document Number: 2016-24775
Type: Notice
Date: 2016-10-13
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2016/10/13/2016-24775.html
Program for Allocation of Regulatory Responsibilities Pursuant to Rule 17d-2; Notice of Filing and Order Approving and Declaring Effective a Proposed Plan for the Allocation of Regulatory Responsibilities Between the Financial Industry Regulatory Authority, Inc., Bats BZX Exchange, Inc., Bats BYX Exchange, Inc., Bats EDGA Exchange, Inc., and Bats EDGX Exchange, Inc.
Document Number: 2016-24709
Type: Notice
Date: 2016-10-13
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2016/10/13/2016-24709.html
Hartford Funds Exchange-Traded Trust, et al.; Notice of Application
Document Number: 2016-24708
Type: Notice
Date: 2016-10-13
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2016/10/13/2016-24708.html
Self-Regulatory Organizations; Bats BZX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Related to Fees To Make a Clarifying Change Related to the Tape B Quoting Tier
Document Number: 2016-24701
Type: Notice
Date: 2016-10-13
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2016/10/13/2016-24701.html
Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending the NYSE Arca Options Fee Schedule
Document Number: 2016-24700
Type: Notice
Date: 2016-10-13
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2016/10/13/2016-24700.html
Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Withdrawal of a Proposed Rule Change, as Modified by Amendment Nos. 1 and 2, To List and Trade Shares of the AdvisorShares KIM Korea Equity ETF
Document Number: 2016-24699
Type: Notice
Date: 2016-10-13
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2016/10/13/2016-24699.html
Self-Regulatory Organizations; International Securities Exchange, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend a Current Billing Practice With Respect to Billing Disputes
Document Number: 2016-24698
Type: Notice
Date: 2016-10-13
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2016/10/13/2016-24698.html
Self-Regulatory Organizations; ISE Gemini, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change to a Proposal To Amend a Current Billing Practice With Respect to Billing Disputes
Document Number: 2016-24697
Type: Notice
Date: 2016-10-13
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2016/10/13/2016-24697.html
Self-Regulatory Organizations; ISE Mercury, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend a Current Billing Practice With Respect to Billing Disputes
Document Number: 2016-24696
Type: Notice
Date: 2016-10-13
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2016/10/13/2016-24696.html
Definition of Covered Clearing Agency
Document Number: 2016-23892
Type: Proposed Rule
Date: 2016-10-13
Agency: Securities and Exchange Commission, Agencies and Commissions
The Securities and Exchange Commission (``SEC'' or ``Commission'') proposes to amend the definition of ``covered clearing agency'' under Rule 17Ad-22 to mean a registered clearing agency that provides the services of a central counterparty (``CCP''), central securities depository (``CSD''), or a securities settlement system (``SSS''). The Commission also proposes a definition of ``securities settlement system'' and proposes to amend the definitions of ``central securities depository services'' to facilitate the proposed amendment to ``covered clearing agency.'' In addition, the Commission proposes to amend the definition of ``sensitivity analysis'' under Rule 17Ad-22 to expand the scope of covered clearing agencies subject to requirements thereunder. These amendments are proposed pursuant to Section 17A of the Securities Exchange Act of 1934 (``Exchange Act'') and the Payment, Clearing, and Settlement Supervision Act of 2010 (``Clearing Supervision Act''), enacted in Title VIII of the Dodd-Frank Wall Street Reform and Consumer Protection Act of 2010 (``Dodd-Frank Act'').
https://regulations.justia.com/regulations/fedreg/2016/10/13/2016-23892.html
Standards for Covered Clearing Agencies
Document Number: 2016-23891
Type: Rule
Date: 2016-10-13
Agency: Securities and Exchange Commission, Agencies and Commissions
The Securities and Exchange Commission (``SEC'' or ``Commission'') is adopting amendments to Rule 17Ad-22 and adding new Rule 17Ab2-2 pursuant to Section 17A of the Securities Exchange Act of 1934 (``Exchange Act'') and the Payment, Clearing, and Settlement Supervision Act of 2010 (``Clearing Supervision Act''), enacted in Title VIII of the Dodd-Frank Wall Street Reform and Consumer Protection Act of 2010 (``Dodd-Frank Act''). Among other things, the rules establish enhanced standards for the operation and governance of those clearing agencies registered with the Commission (``registered clearing agencies'') that meet the definition of ``covered clearing agency.''
https://regulations.justia.com/regulations/fedreg/2016/10/13/2016-23891.html
Sunshine Act Meeting
Document Number: 2016-24732
Type: Notice
Date: 2016-10-12
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2016/10/12/2016-24732.html
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