Securities and Exchange Commission 2017 – Federal Register Recent Federal Regulation Documents

Self-Regulatory Organizations; MIAX PEARL, LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the MIAX PEARL Fee Schedule

Document Number: 2017-22264

Type: Notice

Date: 2017-10-16

Agency: Securities and Exchange Commission, Agencies and Commissions

https://regulations.justia.com/regulations/fedreg/2017/10/16/2017-22264.html

Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing of Proposed Rule Change To List and Trade Shares of the JPMorgan Equity Long/Short ETF Under NYSE Arca Rule 8.600-E

Document Number: 2017-22263

Type: Notice

Date: 2017-10-16

Agency: Securities and Exchange Commission, Agencies and Commissions

https://regulations.justia.com/regulations/fedreg/2017/10/16/2017-22263.html

Self-Regulatory Organizations; Municipal Securities Rulemaking Board; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to MSRB Rule A-11, on Assessments for Municipal Advisor Professionals, To Amend the Annual Municipal Advisor Professional Fee

Document Number: 2017-22262

Type: Notice

Date: 2017-10-16

Agency: Securities and Exchange Commission, Agencies and Commissions

https://regulations.justia.com/regulations/fedreg/2017/10/16/2017-22262.html

Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Reduce the Fees for Certain Investment Management Entities and Eligible Portfolio Companies

Document Number: 2017-22160

Type: Notice

Date: 2017-10-13

Agency: Securities and Exchange Commission, Agencies and Commissions

https://regulations.justia.com/regulations/fedreg/2017/10/13/2017-22160.html

Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Waive Nasdaq's Entry Fee When a New Entity Lists in Connection With Certain Transactions Between Two or More Nasdaq-Listed Companies

Document Number: 2017-22159

Type: Notice

Date: 2017-10-13

Agency: Securities and Exchange Commission, Agencies and Commissions

https://regulations.justia.com/regulations/fedreg/2017/10/13/2017-22159.html

Self-Regulatory Organizations; C2 Options Exchange, Incorporated; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the Fees Schedule

Document Number: 2017-22158

Type: Notice

Date: 2017-10-13

Agency: Securities and Exchange Commission, Agencies and Commissions

https://regulations.justia.com/regulations/fedreg/2017/10/13/2017-22158.html

Self-Regulatory Organizations; NYSE American LLC; Notice of Filing and Immediate Effectiveness of Proposed Change To Modify the NYSE American Options Fee Schedule

Document Number: 2017-21998

Type: Notice

Date: 2017-10-12

Agency: Securities and Exchange Commission, Agencies and Commissions

https://regulations.justia.com/regulations/fedreg/2017/10/12/2017-21998.html

Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to the Fees Schedule

Document Number: 2017-21997

Type: Notice

Date: 2017-10-12

Agency: Securities and Exchange Commission, Agencies and Commissions

https://regulations.justia.com/regulations/fedreg/2017/10/12/2017-21997.html

Self-Regulatory Organizations; NASDAQ PHLX LLC; Order Approving a Proposed Rule Change Relating to Quarterly Trading Requirements

Document Number: 2017-21996

Type: Notice

Date: 2017-10-12

Agency: Securities and Exchange Commission, Agencies and Commissions

https://regulations.justia.com/regulations/fedreg/2017/10/12/2017-21996.html

Self-Regulatory Organizations; Bats BYX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Related to Transaction Fees

Document Number: 2017-21995

Type: Notice

Date: 2017-10-12

Agency: Securities and Exchange Commission, Agencies and Commissions

https://regulations.justia.com/regulations/fedreg/2017/10/12/2017-21995.html

Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend FINRA Rule 6121 To Reflect Recent Amendments to the Regulation NMS Plan To Address Extraordinary Market Volatility

Document Number: 2017-21994

Type: Notice

Date: 2017-10-12

Agency: Securities and Exchange Commission, Agencies and Commissions

https://regulations.justia.com/regulations/fedreg/2017/10/12/2017-21994.html

Sunshine Act Meetings

Document Number: 2017-21988

Type: Notice

Date: 2017-10-11

Agency: Securities and Exchange Commission, Agencies and Commissions

https://regulations.justia.com/regulations/fedreg/2017/10/11/2017-21988.html

Sunshine Act Meetings

Document Number: 2017-21987

Type: Notice

Date: 2017-10-11

Agency: Securities and Exchange Commission, Agencies and Commissions

https://regulations.justia.com/regulations/fedreg/2017/10/11/2017-21987.html

Proposed Collection; Comment Request

Document Number: 2017-21911

Type: Notice

Date: 2017-10-11

Agency: Securities and Exchange Commission, Agencies and Commissions

https://regulations.justia.com/regulations/fedreg/2017/10/11/2017-21911.html

Submission for OMB Review; Comment Request

Document Number: 2017-21910

Type: Notice

Date: 2017-10-11

Agency: Securities and Exchange Commission, Agencies and Commissions

https://regulations.justia.com/regulations/fedreg/2017/10/11/2017-21910.html

Proposed Collection; Comment Request

Document Number: 2017-21909

Type: Notice

Date: 2017-10-11

Agency: Securities and Exchange Commission, Agencies and Commissions

https://regulations.justia.com/regulations/fedreg/2017/10/11/2017-21909.html

Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to the Review Charges for Communications Filed With or Submitted to FINRA

Document Number: 2017-21846

Type: Notice

Date: 2017-10-11

Agency: Securities and Exchange Commission, Agencies and Commissions

https://regulations.justia.com/regulations/fedreg/2017/10/11/2017-21846.html

Self-Regulatory Organizations; LCH SA; Notice of Designation of Longer Period for Commission Action on Proposed Rule Change Relating to Options on Index Credit Default Swaps

Document Number: 2017-21816

Type: Notice

Date: 2017-10-11

Agency: Securities and Exchange Commission, Agencies and Commissions

https://regulations.justia.com/regulations/fedreg/2017/10/11/2017-21816.html

Self-Regulatory Organizations; LCH SA; Notice of Designation of Longer Period for Commission Action on Proposed Rule Change Relating to Options on Index Credit Default Swaps

Document Number: 2017-21815

Type: Notice

Date: 2017-10-11

Agency: Securities and Exchange Commission, Agencies and Commissions

https://regulations.justia.com/regulations/fedreg/2017/10/11/2017-21815.html

Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing of Proposed Rule Change To Modify the Listing Requirements Related to Special Purpose Acquisition Companies Listing Standards To Reduce Round Lot Holders on Nasdaq Capital Market for Initial Listing From 300 to 150 and Eliminate Public Holders for Continued Listing From 300 to Zero, Require $5 Million in Net Tangible Assets for Initial and Continued Listing, and Impose a Deadline To Demonstrate Compliance With Initial Listing Requirements on All Nasdaq Markets Within 30 Days Following Each Business Combination

Document Number: 2017-21814

Type: Notice

Date: 2017-10-11

Agency: Securities and Exchange Commission, Agencies and Commissions

https://regulations.justia.com/regulations/fedreg/2017/10/11/2017-21814.html

Self-Regulatory Organizations; Bats BZX Exchange, Inc.; Notice of Filing of a Proposed Rule Change To List and Trade Shares of the CBOE S&P 500® Dividend Aristocrats® Target Income Index ETF Under the ETF Series Solutions Trust, Under Rule 14.11(c)(3), Index Fund Shares

Document Number: 2017-21813

Type: Notice

Date: 2017-10-11

Agency: Securities and Exchange Commission, Agencies and Commissions

https://regulations.justia.com/regulations/fedreg/2017/10/11/2017-21813.html

Self-Regulatory Organizations; NASDAQ PHLX LLC; Notice of Filing of Proposed Rule Change To Amend Rule 1009 To Modify the Criteria for Listing an Option on an Underlying Covered Security

Document Number: 2017-21812

Type: Notice

Date: 2017-10-11

Agency: Securities and Exchange Commission, Agencies and Commissions

https://regulations.justia.com/regulations/fedreg/2017/10/11/2017-21812.html

Whitford Asset Management, LLC, et al.

Document Number: 2017-21811

Type: Notice

Date: 2017-10-11

Agency: Securities and Exchange Commission, Agencies and Commissions

https://regulations.justia.com/regulations/fedreg/2017/10/11/2017-21811.html

USCF Fund Advisors, LLC, et al.

Document Number: 2017-21776

Type: Notice

Date: 2017-10-11

Agency: Securities and Exchange Commission, Agencies and Commissions

https://regulations.justia.com/regulations/fedreg/2017/10/11/2017-21776.html

OppenheimerFunds, Inc., et al.

Document Number: 2017-21775

Type: Notice

Date: 2017-10-11

Agency: Securities and Exchange Commission, Agencies and Commissions

https://regulations.justia.com/regulations/fedreg/2017/10/11/2017-21775.html

Sunshine Act Meetings

Document Number: 2017-21705

Type: Notice

Date: 2017-10-10

Agency: Securities and Exchange Commission, Agencies and Commissions

https://regulations.justia.com/regulations/fedreg/2017/10/10/2017-21705.html

Self-Regulatory Organizations; Bats BZX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Rule 11.9, Orders and Modifiers, To Add New Optional Functionality to Minimum Quantity Orders

Document Number: 2017-21674

Type: Notice

Date: 2017-10-10

Agency: Securities and Exchange Commission, Agencies and Commissions

https://regulations.justia.com/regulations/fedreg/2017/10/10/2017-21674.html

Self-Regulatory Organizations; Bats BYX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Rule 11.9, Orders and Modifiers, To Add New Optional Functionality to Minimum Quantity Orders

Document Number: 2017-21673

Type: Notice

Date: 2017-10-10

Agency: Securities and Exchange Commission, Agencies and Commissions

https://regulations.justia.com/regulations/fedreg/2017/10/10/2017-21673.html

Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Remove Obsolete Text From Options Regulatory Fee Rule

Document Number: 2017-21672

Type: Notice

Date: 2017-10-10

Agency: Securities and Exchange Commission, Agencies and Commissions

https://regulations.justia.com/regulations/fedreg/2017/10/10/2017-21672.html

Self-Regulatory Organizations; NASDAQ BX, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Remove Obsolete Text From Options Regulatory Fee Rule

Document Number: 2017-21671

Type: Notice

Date: 2017-10-10

Agency: Securities and Exchange Commission, Agencies and Commissions

https://regulations.justia.com/regulations/fedreg/2017/10/10/2017-21671.html

Self-Regulatory Organizations; Nasdaq ISE, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Remove Obsolete Text From Options Regulatory Fee Rule

Document Number: 2017-21670

Type: Notice

Date: 2017-10-10

Agency: Securities and Exchange Commission, Agencies and Commissions

https://regulations.justia.com/regulations/fedreg/2017/10/10/2017-21670.html

Self-Regulatory Organizations; Nasdaq GEMX, LLC; Order Granting Approval of a Proposed Rule Change, as Modified by Amendment No. 1 Thereto, To Adopt New Corporate Governance and Related Processes Similar to Those of the Nasdaq Exchanges

Document Number: 2017-21669

Type: Notice

Date: 2017-10-10

Agency: Securities and Exchange Commission, Agencies and Commissions

https://regulations.justia.com/regulations/fedreg/2017/10/10/2017-21669.html

EntrepreneurShares Series Trust, et al.

Document Number: 2017-21661

Type: Notice

Date: 2017-10-10

Agency: Securities and Exchange Commission, Agencies and Commissions

https://regulations.justia.com/regulations/fedreg/2017/10/10/2017-21661.html

Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the Exchange's Connectivity Fees at Rule 7051

Document Number: 2017-21541

Type: Notice

Date: 2017-10-06

Agency: Securities and Exchange Commission, Agencies and Commissions

https://regulations.justia.com/regulations/fedreg/2017/10/06/2017-21541.html

Self-Regulatory Organizations; ICE Clear Credit LLC; Order Approving Proposed Rule Change Relating to ICC's Liquidity Risk Management Framework and ICC's Stress Testing Framework

Document Number: 2017-21540

Type: Notice

Date: 2017-10-06

Agency: Securities and Exchange Commission, Agencies and Commissions

https://regulations.justia.com/regulations/fedreg/2017/10/06/2017-21540.html

Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the Schedule of Fees and Charges Relating to the Listing Fees Applicable to Exchange Traded Products

Document Number: 2017-21539

Type: Notice

Date: 2017-10-06

Agency: Securities and Exchange Commission, Agencies and Commissions

https://regulations.justia.com/regulations/fedreg/2017/10/06/2017-21539.html

Self-Regulatory Organizations; Nasdaq MRX, LLC; Notice of Filing of Proposed Rule Change To Adopt New Corporate Governance and Related Process Similar to Those of the Nasdaq Exchanges

Document Number: 2017-21538

Type: Notice

Date: 2017-10-06

Agency: Securities and Exchange Commission, Agencies and Commissions

https://regulations.justia.com/regulations/fedreg/2017/10/06/2017-21538.html

Self-Regulatory Organizations; NYSE Arca, Inc.; Order Instituting Proceedings To Determine Whether To Approve or Disapprove a Proposed Rule Change, as Modified by Amendment No. 1, To List and Trade Pursuant to NYSE Arca Rule 5.2-E(j)(3) Twelve Series of Investment Company Units

Document Number: 2017-21537

Type: Notice

Date: 2017-10-06

Agency: Securities and Exchange Commission, Agencies and Commissions

https://regulations.justia.com/regulations/fedreg/2017/10/06/2017-21537.html

Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Reflect a Change to the Administrator for the London Bullion Market Association Silver Price to ICE Benchmark Administration

Document Number: 2017-21536

Type: Notice

Date: 2017-10-06

Agency: Securities and Exchange Commission, Agencies and Commissions

https://regulations.justia.com/regulations/fedreg/2017/10/06/2017-21536.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 Permit Affiliated Member Organizations That Are Supplemental Liquidity Providers

Document Number: 2017-21535

Type: Notice

Date: 2017-10-06

Agency: Securities and Exchange Commission, Agencies and Commissions

https://regulations.justia.com/regulations/fedreg/2017/10/06/2017-21535.html

Notice of Applications for Deregistration Under Section 8(f) of the Investment Company Act of 1940

Document Number: 2017-21416

Type: Notice

Date: 2017-10-05

Agency: Securities and Exchange Commission, Agencies and Commissions

Applicant seeks an order declaring that it has ceased to be an investment company. Applicant has transferred its assets to Putnam Multi-Cap Growth Fund and, on September 27, 2010, made a final distribution to its shareholders based on net asset value. Expenses of $725,531 incurred in connection with the reorganization were paid by the applicant and the acquiring fund. Filing Date: The application was filed on August 3, 2017, and amended on August 24, 2017. Applicant's Address: One Post Office Square, Boston, Massachusetts 02109.

https://regulations.justia.com/regulations/fedreg/2017/10/05/2017-21416.html

Self-Regulatory Organizations; NYSE American LLC; Order Approving Proposed Rule Change To Amend the Complimentary Products and Services Available to Certain Eligible New Listings Pursuant to Section 146 of the NYSE American Company Guide

Document Number: 2017-21415

Type: Notice

Date: 2017-10-05

Agency: Securities and Exchange Commission, Agencies and Commissions

https://regulations.justia.com/regulations/fedreg/2017/10/05/2017-21415.html

Self-Regulatory Organizations; NYSE National, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Adopt Rules To Establish a Rule Numbering Framework in Connection With the Re-Launch of Trading on the Exchange

Document Number: 2017-21414

Type: Notice

Date: 2017-10-05

Agency: Securities and Exchange Commission, Agencies and Commissions

https://regulations.justia.com/regulations/fedreg/2017/10/05/2017-21414.html

Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Order Approving a Proposed Rule Change Relating to Capital Acquisition Broker Rules 203 (Engaging in Distribution and Solicitation Activities With Government Entities) and 458 (Books and Records Requirements for Government Distribution and Solicitation Activities)

Document Number: 2017-21413

Type: Notice

Date: 2017-10-05

Agency: Securities and Exchange Commission, Agencies and Commissions

https://regulations.justia.com/regulations/fedreg/2017/10/05/2017-21413.html

Self-Regulatory Organizations; Bats BZX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Extend the Implementation Date for Certain Changes to Exchange Rules 14.11 and 14.12

Document Number: 2017-21412

Type: Notice

Date: 2017-10-05

Agency: Securities and Exchange Commission, Agencies and Commissions

https://regulations.justia.com/regulations/fedreg/2017/10/05/2017-21412.html

Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Make Technical and Conforming Changes to Section 703.02 of the NYSE Listed Company Manual

Document Number: 2017-21411

Type: Notice

Date: 2017-10-05

Agency: Securities and Exchange Commission, Agencies and Commissions

https://regulations.justia.com/regulations/fedreg/2017/10/05/2017-21411.html

Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Extend the Implementation Date for Certain Changes to the NYSE Arca Rule 5 and Rule 8 Series

Document Number: 2017-21410

Type: Notice

Date: 2017-10-05

Agency: Securities and Exchange Commission, Agencies and Commissions

https://regulations.justia.com/regulations/fedreg/2017/10/05/2017-21410.html

Self-Regulatory Organizations; National Securities Clearing Corporation; Order Approving Proposed Rule Change To Amend and Clarify a Margin Charge Relating to CNS Fails Positions

Document Number: 2017-21409

Type: Notice

Date: 2017-10-05

Agency: Securities and Exchange Commission, Agencies and Commissions

https://regulations.justia.com/regulations/fedreg/2017/10/05/2017-21409.html

Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Extend the Implementation Date for Certain Changes to the Rule 5700 Series and Rule 5810

Document Number: 2017-21408

Type: Notice

Date: 2017-10-05

Agency: Securities and Exchange Commission, Agencies and Commissions

https://regulations.justia.com/regulations/fedreg/2017/10/05/2017-21408.html

Self-Regulatory Organizations; Nasdaq ISE, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Rule 716(c) on the Block Order Mechanism

Document Number: 2017-21407

Type: Notice

Date: 2017-10-05

Agency: Securities and Exchange Commission, Agencies and Commissions

https://regulations.justia.com/regulations/fedreg/2017/10/05/2017-21407.html