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Regulation Tracker
Securities and Exchange Commission
2017
Securities and Exchange Commission 2017 – Federal Register Recent Federal Regulation Documents
Results 1 - 50 of 2,178
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Validea Capital Management, LLC, et al.; Notice of Application
Document Number:
2017-28166
Type:
Notice
Date:
2017-12-29
Agency:
Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2017/12/29/2017-28166.html
Self-Regulatory Organizations; Cboe Exchange, Inc.; Order Approving a Proposed Rule Change To Amend Rule 6.56 To Include Procedures for Multi-Leg Positions
Document Number:
2017-28082
Type:
Notice
Date:
2017-12-28
Agency:
Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2017/12/28/2017-28082.html
Self-Regulatory Organizations; Nasdaq ISE, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the Schedule of Fees To Clarify the Market Maker Plus Program
Document Number:
2017-28081
Type:
Notice
Date:
2017-12-28
Agency:
Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2017/12/28/2017-28081.html
Self-Regulatory Organizations; Miami International Securities Exchange LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend MIAX Options Rule 612, Aggregate Risk Manager (ARM) and Rule 518, Complex Orders
Document Number:
2017-28080
Type:
Notice
Date:
2017-12-28
Agency:
Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2017/12/28/2017-28080.html
Self-Regulatory Organizations; MIAX PEARL, LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend MIAX PEARL Rule 510 To Extend the Penny Pilot Program
Document Number:
2017-28079
Type:
Notice
Date:
2017-12-28
Agency:
Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2017/12/28/2017-28079.html
Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing of Amendment No. 1, and Order Granting Approval on an Accelerated Basis of a Proposed Rule Change, as Modified by Amendments No. 1 and No. 3, to List and Trade of Shares of the Breakwave Dry Bulk Shipping ETF Under NYSE Arca Rule 8.200-E, Commentary .02
Document Number:
2017-28078
Type:
Notice
Date:
2017-12-28
Agency:
Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2017/12/28/2017-28078.html
Self-Regulatory Organizations; Cboe BZX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Rule 21.5, Minimum Increments, To Extend the Penny Pilot Program
Document Number:
2017-28077
Type:
Notice
Date:
2017-12-28
Agency:
Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2017/12/28/2017-28077.html
Self-Regulatory Organizations; Bats BZX Exchange, Inc.; Order Instituting Proceedings To Determine Whether To Approve or Disapprove a Proposed Rule Change, as Modified by Amendment No. 2 Thereto, To List and Trade Shares of the iShares Inflation Hedged Corporate Bond ETF, a Series of the iShares U.S. ETF Trust, Under Rule 14.11(i), Managed Fund Shares
Document Number:
2017-28076
Type:
Notice
Date:
2017-12-28
Agency:
Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2017/12/28/2017-28076.html
Self-Regulatory Organizations; Cboe BZX Exchange, Inc.; Notice of Designation of a Longer Period for Commission Action on a Proposed Rule Change To List and Trade Shares of the Innovator S&P 500 15% Shield Strategy ETF Series, Innovator S&P 500 −5% to −35% Shield Strategy ETF Series, Innovator S&P 500 Enhance and 10% Shield Strategy ETF Series, and Innovator S&P 500 Ultra Strategy ETF Series Under Rule 14.11(i)
Document Number:
2017-28002
Type:
Notice
Date:
2017-12-28
Agency:
Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2017/12/28/2017-28002.html
Self-Regulatory Organizations; Fixed Income Clearing Corporation; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Eliminate the Development Fees From the Mortgage-Backed Securities Division Clearing Rules
Document Number:
2017-28001
Type:
Notice
Date:
2017-12-28
Agency:
Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2017/12/28/2017-28001.html
Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Rules Relating to Investment Company Units, Index-Linked Securities and Managed Trust Securities
Document Number:
2017-28000
Type:
Notice
Date:
2017-12-28
Agency:
Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2017/12/28/2017-28000.html
Self-Regulatory Organizations; Cboe EDGX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Rule 21.5, Minimum Increments, To Extend the Penny Pilot Program
Document Number:
2017-27999
Type:
Notice
Date:
2017-12-28
Agency:
Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2017/12/28/2017-27999.html
Self-Regulatory Organizations; Cboe BZX Exchange, Inc.; Notice of Filing of a Proposed Rule Change To List and Trade Shares of the LHA Market State® Tactical U.S. Equity ETF, a Series of the ETF Series Solutions, Under Rule 14.11(i), Managed Fund Shares
Document Number:
2017-27998
Type:
Notice
Date:
2017-12-28
Agency:
Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2017/12/28/2017-27998.html
Self-Regulatory Organizations; The Depository Trust Company; National Securities Clearing Corporation; Fixed Income Clearing Corporation; Notice of Filing of Amendment No. 4, Notice of Filing Amendment No. 5, Notice of Filing Amendment No. 6, and Order Granting Accelerated Approval of Proposed Rule Changes, as Modified by Amendment Nos. 1, 3 and 6, To Adopt the Clearing Agency Liquidity Risk Management Framework
Document Number:
2017-27997
Type:
Notice
Date:
2017-12-28
Agency:
Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2017/12/28/2017-27997.html
Self-Regulatory Organizations; C2 Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Rule 6.4, Minimum Increments for Bids and Offers, To Extend the Penny Pilot Program
Document Number:
2017-27996
Type:
Notice
Date:
2017-12-28
Agency:
Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2017/12/28/2017-27996.html
Self-Regulatory Organizations; Cboe Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Rule 6.42, Minimum Increments for Bids and Offers, To Extend the Penny Pilot Program
Document Number:
2017-27995
Type:
Notice
Date:
2017-12-28
Agency:
Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2017/12/28/2017-27995.html
Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Withdrawal of a Proposed Rule Change, as Modified by Amendment No. 1, To Adopt NYSE Arca Rule 8.900-E To Permit Listing and Trading of Managed Portfolio Shares and To List and Trade Shares of the Royce Pennsylvania ETF, Royce Premier ETF, and Royce Total Return ETF Under Proposed NYSE Arca Rule 8.900-E
Document Number:
2017-27994
Type:
Notice
Date:
2017-12-28
Agency:
Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2017/12/28/2017-27994.html
Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing of Proposed Rule Change To List and Trade Shares of the Perth Mint Physical Gold ETF Trust Under NYSE Arca Rule 8.201-E
Document Number:
2017-27993
Type:
Notice
Date:
2017-12-28
Agency:
Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2017/12/28/2017-27993.html
Self-Regulatory Organizations; MIAX PEARL, LLC; Order Declaring Effective a Minor Rule Violation Plan
Document Number:
2017-27990
Type:
Notice
Date:
2017-12-28
Agency:
Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2017/12/28/2017-27990.html
Self-Regulatory Organizations; Miami International Securities Exchange, LLC; Order Declaring Effective a Minor Rule Violation Plan
Document Number:
2017-27989
Type:
Notice
Date:
2017-12-28
Agency:
Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2017/12/28/2017-27989.html
Self-Regulatory Organizations; The Options Clearing Corporation; Notice of Filing of Advance Notice Concerning Proposed Changes to The Options Clearing Corporation's Margin Methodology
Document Number:
2017-27832
Type:
Notice
Date:
2017-12-27
Agency:
Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2017/12/27/2017-27832.html
Self-Regulatory Organizations; Nasdaq PHLX LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Extend the Penny Pilot Program
Document Number:
2017-27831
Type:
Notice
Date:
2017-12-27
Agency:
Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2017/12/27/2017-27831.html
TCG BDC, Inc., et al.
Document Number:
2017-27825
Type:
Notice
Date:
2017-12-27
Agency:
Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2017/12/27/2017-27825.html
The Hartford Mutual Funds, Inc., et al.
Document Number:
2017-27807
Type:
Notice
Date:
2017-12-27
Agency:
Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2017/12/27/2017-27807.html
Sunshine Act Meetings
Document Number:
2017-27833
Type:
Notice
Date:
2017-12-26
Agency:
Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2017/12/26/2017-27833.html
Submission for OMB Review; Comment Request
Document Number:
2017-27740
Type:
Notice
Date:
2017-12-26
Agency:
Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2017/12/26/2017-27740.html
Self-Regulatory Organizations; The Depository Trust Company; Fixed Income Clearing Corporation; National Securities Clearing Corporation; Notice of Filing of Amendments No. 2 and Order Granting Accelerated Approval of Proposed Rule Changes, as Modified by Amendments Nos. 1 and 2, To Adopt the Clearing Agency Stress Testing Framework (Market Risk)
Document Number:
2017-27705
Type:
Notice
Date:
2017-12-26
Agency:
Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2017/12/26/2017-27705.html
Self-Regulatory Organizations; Nasdaq BX, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Extend the Penny Pilot Program
Document Number:
2017-27704
Type:
Notice
Date:
2017-12-26
Agency:
Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2017/12/26/2017-27704.html
Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Commentary .02 to Rule 6.72-O in Order To Extend the Penny Pilot in Options Classes
Document Number:
2017-27703
Type:
Notice
Date:
2017-12-26
Agency:
Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2017/12/26/2017-27703.html
Self-Regulatory Organizations; The Nasdaq Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Extend the Penny Pilot Program
Document Number:
2017-27702
Type:
Notice
Date:
2017-12-26
Agency:
Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2017/12/26/2017-27702.html
Self-Regulatory Organizations; Nasdaq MRX, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Extend the Penny Pilot Program
Document Number:
2017-27701
Type:
Notice
Date:
2017-12-26
Agency:
Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2017/12/26/2017-27701.html
Self-Regulatory Organizations; Nasdaq PHLX LLC; Notice of Filing of Proposed Rule Change To Amend Rule 1000 and Commentary .11 to Rule 1012
Document Number:
2017-27700
Type:
Notice
Date:
2017-12-26
Agency:
Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2017/12/26/2017-27700.html
Self-Regulatory Organizations; Nasdaq ISE, LLC; Notice of Filing of Proposed Rule Change To Permit the Listing and Trading of NQX Index Options
Document Number:
2017-27699
Type:
Notice
Date:
2017-12-26
Agency:
Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2017/12/26/2017-27699.html
Self-Regulatory Organizations; NYSE American 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
Document Number:
2017-27698
Type:
Notice
Date:
2017-12-26
Agency:
Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2017/12/26/2017-27698.html
Self-Regulatory Organizations; Nasdaq ISE, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Extend the Penny Pilot Program
Document Number:
2017-27697
Type:
Notice
Date:
2017-12-26
Agency:
Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2017/12/26/2017-27697.html
Self-Regulatory Organizations; Nasdaq GEMX, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Extend the Penny Pilot Program
Document Number:
2017-27696
Type:
Notice
Date:
2017-12-26
Agency:
Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2017/12/26/2017-27696.html
Self-Regulatory Organizations; The Options Clearing Corporation; Notice of Filing of Proposed Rule Change, as Modified by Amendment No. 1, Related to The Options Clearing Corporation's Margin Policy
Document Number:
2017-27695
Type:
Notice
Date:
2017-12-26
Agency:
Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2017/12/26/2017-27695.html
Self-Regulatory Organizations; Miami International Securities Exchange LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend MIAX Options Rule 510 To Extend the Penny Pilot Program
Document Number:
2017-27694
Type:
Notice
Date:
2017-12-26
Agency:
Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2017/12/26/2017-27694.html
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, 2018
Document Number:
2017-27693
Type:
Notice
Date:
2017-12-26
Agency:
Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2017/12/26/2017-27693.html
Self-Regulatory Organizations; The Options Clearing Corporation; Notice of Filing of a Proposed Rule Change Concerning Updates to and Formalization of OCC's Recovery and Orderly Wind-Down Plan
Document Number:
2017-27692
Type:
Notice
Date:
2017-12-26
Agency:
Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2017/12/26/2017-27692.html
Self-Regulatory Organizations; The Options Clearing Corporation; Notice of Filing of a Proposed Rule Change Concerning Enhanced and New Tools for Recovery Scenarios
Document Number:
2017-27691
Type:
Notice
Date:
2017-12-26
Agency:
Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2017/12/26/2017-27691.html
Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing of Proposed Rule Change To List and Trade the Shares of the ProShares Bitcoin ETF and the ProShares Short Bitcoin ETF Under NYSE Arca Rule 8.200-E, Commentary .02
Document Number:
2017-27690
Type:
Notice
Date:
2017-12-26
Agency:
Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2017/12/26/2017-27690.html
Self-Regulatory Organizations; MIAX PEARL, LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Adopt a New Type of MIAX Express Orders Interface Port Known as a MEO Purge Port and To Amend MIAX PEARL Rule 519C, Mass Cancellation of Trading Interest, To Adopt a New Purge Message, as Well as To Amend Its Fee Schedule To Identify the New MEO Purge Port
Document Number:
2017-27689
Type:
Notice
Date:
2017-12-26
Agency:
Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2017/12/26/2017-27689.html
BlackRock Capital Investment Corporation, et al.
Document Number:
2017-27686
Type:
Notice
Date:
2017-12-26
Agency:
Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2017/12/26/2017-27686.html
FQF Trust, et al.
Document Number:
2017-27649
Type:
Notice
Date:
2017-12-26
Agency:
Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2017/12/26/2017-27649.html
Notice of Intention To Cancel Registrations of Certain Transfer Agents
Document Number:
2017-27566
Type:
Notice
Date:
2017-12-22
Agency:
Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2017/12/22/2017-27566.html
Self-Regulatory Organizations; Cboe Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Exchange Rule 5.4, Withdrawal of Approval of Underlying Securities
Document Number:
2017-27564
Type:
Notice
Date:
2017-12-22
Agency:
Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2017/12/22/2017-27564.html
Self-Regulatory Organizations; LCH SA; Order Approving Proposed Rule Change Relating to Wrong Way Risk Margin
Document Number:
2017-27563
Type:
Notice
Date:
2017-12-22
Agency:
Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2017/12/22/2017-27563.html
Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Adopt a Decommission Extension Fee for Receipt of the NYSE Arca Integrated Feed Market Data Product
Document Number:
2017-27562
Type:
Notice
Date:
2017-12-22
Agency:
Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2017/12/22/2017-27562.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 Adopt a Rebate for the NYSE BondsSM
Document Number:
2017-27561
Type:
Notice
Date:
2017-12-22
Agency:
Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2017/12/22/2017-27561.html
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