Federal Register Recent Federal Regulation Documents - Justia Regulation Tracker - Justia Regulations Tracker https://regulations.justia.com/regulations/fedreg/agencies/securities-and-exchange-commission/2017/01?limit=200&registers=between&min-day=1&max-day=31&mode=atom 2020-11-28T03:40:57-08:00 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/2017/01/31/2017-02079.html Notice - Sunshine Act Meeting 2017-01-31T00:00:00-08:00 2017-01-31T00:00:00-08:00 2017-02079 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-01-31/pdf/2017-02079.pdf https://regulations.justia.com/regulations/fedreg/2017/01/31/2017-02001.html Notice - Self-Regulatory Organizations; The Nasdaq Stock Market LLC; Order Granting Approval of Proposed Rule Change, as Modified by Amendment Nos. 2 and 3, To Enhance the Reopening Auction Process Following a Trading Halt Declared Pursuant to the Plan To Address Extraordinary Market Volatility 2017-01-31T00:00:00-08:00 2017-01-31T00:00:00-08:00 2017-02001 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-01-31/pdf/2017-02001.pdf https://regulations.justia.com/regulations/fedreg/2017/01/31/2017-02000.html Notice - Self-Regulatory Organizations; The Nasdaq Stock Market LLC; Notice of Withdrawal of a Proposed Rule Change To Amend Rule 4702 To Adopt a New Retail Post-Only Order 2017-01-31T00:00:00-08:00 2017-01-31T00:00:00-08:00 2017-02000 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-01-31/pdf/2017-02000.pdf https://regulations.justia.com/regulations/fedreg/2017/01/31/2017-01999.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 2017-01-31T00:00:00-08:00 2017-01-31T00:00:00-08:00 2017-01999 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-01-31/pdf/2017-01999.pdf https://regulations.justia.com/regulations/fedreg/2017/01/31/2017-01998.html Notice - Causeway ETMF Trust, et al.; Notice of Application 2017-01-31T00:00:00-08:00 2017-01-31T00:00:00-08:00 2017-01998 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-01-31/pdf/2017-01998.pdf https://regulations.justia.com/regulations/fedreg/2017/01/27/2017-01836.html Notice - Submission for OMB Review; Comment Request 2017-01-27T00:00:00-08:00 2017-01-27T00:00:00-08:00 2017-01836 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-01-27/pdf/2017-01836.pdf https://regulations.justia.com/regulations/fedreg/2017/01/27/2017-01835.html Notice - Self-Regulatory Organizations; Bats BZX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Convert the Listing of the Shares of the SPDR DoubleLine Short Term Total Return Tactical ETF and the SPDR DoubleLine Emerging Markets Fixed Income ETF, Both of Which Are a Series of the SSGA Active Trust, Pursuant to BZX Rule 14.11(i), Managed Fund Shares 2017-01-27T00:00:00-08:00 2017-01-27T00:00:00-08:00 2017-01835 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-01-27/pdf/2017-01835.pdf https://regulations.justia.com/regulations/fedreg/2017/01/27/2017-01834.html Notice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Withdrawal of a Proposed Rule Change Relating to the Listing and Trading of Shares of the PowerShares Government Collateral Pledge Portfolio Under NYSE Arca Equities Rule 8.600 2017-01-27T00:00:00-08:00 2017-01-27T00:00:00-08:00 2017-01834 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-01-27/pdf/2017-01834.pdf https://regulations.justia.com/regulations/fedreg/2017/01/27/2017-01833.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 Data Fees at Rule 7023 2017-01-27T00:00:00-08:00 2017-01-27T00:00:00-08:00 2017-01833 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-01-27/pdf/2017-01833.pdf https://regulations.justia.com/regulations/fedreg/2017/01/27/2017-01832.html Notice - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to the Listing and Trading of the Shares of the Gabelli All Cap NextShares of the Gabelli NextShares Trust 2017-01-27T00:00:00-08:00 2017-01-27T00:00:00-08:00 2017-01832 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-01-27/pdf/2017-01832.pdf https://regulations.justia.com/regulations/fedreg/2017/01/27/2017-01831.html Notice - Self-Regulatory Organizations; C2 Options Exchange, Incorporated; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to the Give Up of a Clearing Trading Permit Holder 2017-01-27T00:00:00-08:00 2017-01-27T00:00:00-08:00 2017-01831 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-01-27/pdf/2017-01831.pdf https://regulations.justia.com/regulations/fedreg/2017/01/27/2017-01830.html Notice - Self-Regulatory Organizations; Bats EDGX Exchange, Inc.; Notice of Withdrawal of a Proposed Rule Change To Adopt an Options Regulatory Fee 2017-01-27T00:00:00-08:00 2017-01-27T00:00:00-08:00 2017-01830 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-01-27/pdf/2017-01830.pdf https://regulations.justia.com/regulations/fedreg/2017/01/27/2017-01829.html Notice - Self-Regulatory Organizations; Bats BZX Exchange, Inc.; Notice of Withdrawal of a Proposed Rule Change To Amend the Options Regulatory Fee 2017-01-27T00:00:00-08:00 2017-01-27T00:00:00-08:00 2017-01829 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-01-27/pdf/2017-01829.pdf https://regulations.justia.com/regulations/fedreg/2017/01/27/2017-01828.html Notice - Submission for OMB Review; Comment Request 2017-01-27T00:00:00-08:00 2017-01-27T00:00:00-08:00 2017-01828 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-01-27/pdf/2017-01828.pdf https://regulations.justia.com/regulations/fedreg/2017/01/27/2017-01827.html Notice - Submission for OMB Review; Comment Request 2017-01-27T00:00:00-08:00 2017-01-27T00:00:00-08:00 2017-01827 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-01-27/pdf/2017-01827.pdf https://regulations.justia.com/regulations/fedreg/2017/01/27/2017-01826.html Notice - Submission for OMB Review; Comment Request 2017-01-27T00:00:00-08:00 2017-01-27T00:00:00-08:00 2017-01826 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-01-27/pdf/2017-01826.pdf https://regulations.justia.com/regulations/fedreg/2017/01/26/2017-01719.html Notice - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Eliminate Fees at Rule 7015(h) Assessed for VTE Terminal Connectivity 2017-01-26T00:00:00-08:00 2017-01-26T00:00:00-08:00 2017-01719 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-01-26/pdf/2017-01719.pdf https://regulations.justia.com/regulations/fedreg/2017/01/26/2017-01718.html Notice - Self-Regulatory Organizations; NYSE Arca, Inc.; Order Granting Approval of Proposed Rule Change, as Modified by Amendment No. 1, 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) 2017-01-26T00:00:00-08:00 2017-01-26T00:00:00-08:00 2017-01718 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-01-26/pdf/2017-01718.pdf https://regulations.justia.com/regulations/fedreg/2017/01/26/2017-01717.html Notice - Joint Industry Plan; Order Approving the Twelfth Amendment to the National Market System Plan To Address Extraordinary Market Volatility by Bats BZX Exchange, Inc., Bats BYX Exchange, Inc., Bats EDGA Exchange, Inc., Bats EDGX Exchange, Inc., Chicago Stock Exchange, Inc., Financial Industry Regulatory Authority, Inc., Investors Exchange LLC, NASDAQ BX, Inc., NASDAQ PHLX LLC, The Nasdaq Stock Market LLC, National Stock Exchange, Inc., New York Stock Exchange LLC, NYSE MKT LLC, and NYSE Arca, Inc. 2017-01-26T00:00:00-08:00 2017-01-26T00:00:00-08:00 2017-01717 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-01-26/pdf/2017-01717.pdf https://regulations.justia.com/regulations/fedreg/2017/01/26/2017-01716.html Notice - Self-Regulatory Organizations; Fixed Income Clearing Corporation; Notice of No Objection to Advance Notice Filing To Implement a Change to the Methodology Used in the MBSD VaR Model 2017-01-26T00:00:00-08:00 2017-01-26T00:00:00-08:00 2017-01716 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-01-26/pdf/2017-01716.pdf https://regulations.justia.com/regulations/fedreg/2017/01/25/2017-01620.html Notice - Order Extending Certain Temporary Exemptions Under the Securities Exchange Act of 1934 in Connection With the Revision of the Definition of “Security” To Encompass Security-Based Swaps and Request for Comment 2017-01-25T00:00:00-08:00 2017-01-25T00:00:00-08:00 2017-01620 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-01-25/pdf/2017-01620.pdf https://regulations.justia.com/regulations/fedreg/2017/01/25/2017-01619.html Notice - Self-Regulatory Organizations; ISE Mercury LLC; Order Granting Approval of Proposed Rule Change To Amend ISE Mercury Rule 723 and To Make Pilot Program Permanent 2017-01-25T00:00:00-08:00 2017-01-25T00:00:00-08:00 2017-01619 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-01-25/pdf/2017-01619.pdf https://regulations.justia.com/regulations/fedreg/2017/01/25/2017-01618.html Notice - Self-Regulatory Organizations; ISE Gemini, LLC; Order Granting Approval of Proposed Rule Change To Amend ISE Gemini Rule 723 and To Make Pilot Program Permanent 2017-01-25T00:00:00-08:00 2017-01-25T00:00:00-08:00 2017-01618 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-01-25/pdf/2017-01618.pdf https://regulations.justia.com/regulations/fedreg/2017/01/25/2017-01617.html Notice - Self-Regulatory Organizations; Bats BZX Exchange, Inc.; Notice of Designation of a Longer Period for Commission Action on Proposed Rule Changes to BZX Rule 14.11, Other Securities, and BZX Rule 14.12, Failure To Meet Listing Standards 2017-01-25T00:00:00-08:00 2017-01-25T00:00:00-08:00 2017-01617 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-01-25/pdf/2017-01617.pdf https://regulations.justia.com/regulations/fedreg/2017/01/25/2017-01616.html Notice - Self-Regulatory Organizations; Bats EDGX Exchange, Inc.; Notice of Filing and Order Granting Accelerated Approval of a Proposed Rule Change to EDGX Rule 21.19, Bats Auction Mechanism, as it Applies to the Equity Options Platform 2017-01-25T00:00:00-08:00 2017-01-25T00:00:00-08:00 2017-01616 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-01-25/pdf/2017-01616.pdf https://regulations.justia.com/regulations/fedreg/2017/01/25/2017-01615.html Notice - Self-Regulatory Organizations; Miami International Securities Exchange LLC; Order Granting Approval of a Proposed Rule Change To Amend Rule 515A, MIAX Price Improvement Mechanism (“PRIME”) and PRIME Solicitation Mechanism 2017-01-25T00:00:00-08:00 2017-01-25T00:00:00-08:00 2017-01615 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-01-25/pdf/2017-01615.pdf https://regulations.justia.com/regulations/fedreg/2017/01/25/2017-01614.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, To Amend Exchange Rules Related to the Automated Improvement Mechanism 2017-01-25T00:00:00-08:00 2017-01-25T00:00:00-08:00 2017-01614 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-01-25/pdf/2017-01614.pdf https://regulations.justia.com/regulations/fedreg/2017/01/25/2017-01613.html Notice - Self-Regulatory Organizations; NASDAQ PHLX LLC; Order Granting Accelerated Approval of a 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 2017-01-25T00:00:00-08:00 2017-01-25T00:00:00-08:00 2017-01613 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-01-25/pdf/2017-01613.pdf https://regulations.justia.com/regulations/fedreg/2017/01/25/2017-01612.html Notice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing of Proposed Rule Change Amending the NYSE Arca Equities Rule 5 and Rule 8 Series 2017-01-25T00:00:00-08:00 2017-01-25T00:00:00-08:00 2017-01612 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-01-25/pdf/2017-01612.pdf https://regulations.justia.com/regulations/fedreg/2017/01/25/2017-01611.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 2017-01-25T00:00:00-08:00 2017-01-25T00:00:00-08:00 2017-01611 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-01-25/pdf/2017-01611.pdf https://regulations.justia.com/regulations/fedreg/2017/01/25/2017-01610.html Notice - Self-Regulatory Organizations; BOX Options Exchange LLC; Order Granting Approval 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”) 2017-01-25T00:00:00-08:00 2017-01-25T00:00:00-08:00 2017-01610 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-01-25/pdf/2017-01610.pdf https://regulations.justia.com/regulations/fedreg/2017/01/25/2017-01609.html Notice - Self-Regulatory Organizations; NYSE MKT LLC; Order Granting Accelerated Approval of a Proposed Rule Change To Amend NYSE MKT Rule 971.1NY and Make Permanent the Aspects of Customer Best Execution Auction That Are Subject to a Pilot 2017-01-25T00:00:00-08:00 2017-01-25T00:00:00-08:00 2017-01609 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-01-25/pdf/2017-01609.pdf https://regulations.justia.com/regulations/fedreg/2017/01/25/2017-01608.html Notice - Self-Regulatory Organizations; International Securities Exchange, LLC; Order Granting Approval of Proposed Rule Change To Amend ISE Rule 723 and To Make Pilot Program Permanent 2017-01-25T00:00:00-08:00 2017-01-25T00:00:00-08:00 2017-01608 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-01-25/pdf/2017-01608.pdf https://regulations.justia.com/regulations/fedreg/2017/01/25/2017-01607.html Notice - Self-Regulatory Organizations; Chicago Stock Exchange, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Modify the Examination Requirement for CHX Market Maker Authorized Traders 2017-01-25T00:00:00-08:00 2017-01-25T00:00:00-08:00 2017-01607 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-01-25/pdf/2017-01607.pdf https://regulations.justia.com/regulations/fedreg/2017/01/25/2017-01606.html Notice - Self-Regulatory Organizations; ICE Clear Credit LLC; Notice of Designation of Longer Period for Commission Action on Proposed Rule Change To Provide for the Clearance of Additional Credit Default Swap Contracts 2017-01-25T00:00:00-08:00 2017-01-25T00:00:00-08:00 2017-01606 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-01-25/pdf/2017-01606.pdf https://regulations.justia.com/regulations/fedreg/2017/01/25/2017-01605.html Notice - Self-Regulatory Organizations; The Options Clearing Corporation; Notice of Filing of Proposed Rule Change Concerning The Options Clearing Corporation's Margin Coverage During Times of Increased Volatility 2017-01-25T00:00:00-08:00 2017-01-25T00:00:00-08:00 2017-01605 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-01-25/pdf/2017-01605.pdf https://regulations.justia.com/regulations/fedreg/2017/01/25/2017-01604.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 2017-01-25T00:00:00-08:00 2017-01-25T00:00:00-08:00 2017-01604 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-01-25/pdf/2017-01604.pdf https://regulations.justia.com/regulations/fedreg/2017/01/24/2017-01566.html Notice - Proposed Collection; Comment Request 2017-01-24T00:00:00-08:00 2017-01-24T00:00:00-08:00 2017-01566 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-01-24/pdf/2017-01566.pdf https://regulations.justia.com/regulations/fedreg/2017/01/24/2017-01467.html Notice - Self-Regulatory Organizations; NASDAQ BX, Inc.; Order Granting Approval of Proposed Rule Change To Amend the PRISM Price Improvement Auction in BX Chapter VI, Section 9 and To Make Pilot Program Permanent 2017-01-24T00:00:00-08:00 2017-01-24T00:00:00-08:00 2017-01467 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-01-24/pdf/2017-01467.pdf https://regulations.justia.com/regulations/fedreg/2017/01/24/2017-01466.html Notice - Self-Regulatory Organizations; International Securities Exchange, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the Schedule of Fees 2017-01-24T00:00:00-08:00 2017-01-24T00:00:00-08:00 2017-01466 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-01-24/pdf/2017-01466.pdf https://regulations.justia.com/regulations/fedreg/2017/01/24/2017-01465.html Notice - Self-Regulatory Organizations; The Nasdaq Stock Market LLC; Notice of Designation of Longer Period for Commission Action on Proposed Rule Change To Adopt a New Extended Life Priority Order Attribute Under Rule 4703, and To Make Related Changes to Rules 4702, 4752, 4753, 4754, and 4757 2017-01-24T00:00:00-08:00 2017-01-24T00:00:00-08:00 2017-01465 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-01-24/pdf/2017-01465.pdf https://regulations.justia.com/regulations/fedreg/2017/01/24/2017-01464.html Notice - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Transaction Fees To Implement New Incentive 2017-01-24T00:00:00-08:00 2017-01-24T00:00:00-08:00 2017-01464 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-01-24/pdf/2017-01464.pdf https://regulations.justia.com/regulations/fedreg/2017/01/24/2017-01463.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 2017-01-24T00:00:00-08:00 2017-01-24T00:00:00-08:00 2017-01463 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-01-24/pdf/2017-01463.pdf https://regulations.justia.com/regulations/fedreg/2017/01/24/2017-01462.html Notice - Self-Regulatory Organizations; C2 Options Exchange, Incorporated; Notice of Filing and Immediate Effectiveness of a Proposed Rule To Amend the Fees Schedule 2017-01-24T00:00:00-08:00 2017-01-24T00:00:00-08:00 2017-01462 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-01-24/pdf/2017-01462.pdf https://regulations.justia.com/regulations/fedreg/2017/01/24/2017-01461.html Notice - Self-Regulatory Organizations; National Stock Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Exchange Rule 11.26 Regarding the Data Collection Requirements of the Regulation NMS Plan To Implement a Tick Size Pilot Program January 17, 2017 2017-01-24T00:00:00-08:00 2017-01-24T00:00:00-08:00 2017-01461 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-01-24/pdf/2017-01461.pdf https://regulations.justia.com/regulations/fedreg/2017/01/24/2017-01460.html Notice - Self-Regulatory Organizations; NASDAQ PHLX LLC; Notice of Filing of Amendment No. 1, and Order Granting Accelerated Approval of a Proposed Rule Change, as Modified by Amendment No. 1, To Adopt a New Exception in Phlx Rule 1000(f) for Sub-MPV Split-Price Orders 2017-01-24T00:00:00-08:00 2017-01-24T00:00:00-08:00 2017-01460 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-01-24/pdf/2017-01460.pdf https://regulations.justia.com/regulations/fedreg/2017/01/23/2017-01301.html Notice - Self-Regulatory Organizations; NYSE Arca, Inc.; 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 Amendment No. 2 Thereto, To Amend NYSE Arca Equities Rule 8.700 and To List and Trade Shares of the Managed Emerging Markets Trust Under Proposed Amended NYSE Arca Equities Rule 8.700 2017-01-23T00:00:00-08:00 2017-01-23T00:00:00-08:00 2017-01301 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-01-23/pdf/2017-01301.pdf https://regulations.justia.com/regulations/fedreg/2017/01/23/2017-01300.html Notice - Self-Regulatory Organizations; Municipal Securities Rulemaking Board; Notice of Filing of Amendment No. 1 and Order Granting Accelerated Approval of a Proposed Rule Change, as Modified by Amendment No. 1, To Extend the MSRB's Customer Complaint and Related Recordkeeping Rules to Municipal Advisors and To Modernize Those Rules 2017-01-23T00:00:00-08:00 2017-01-23T00:00:00-08:00 2017-01300 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-01-23/pdf/2017-01300.pdf https://regulations.justia.com/regulations/fedreg/2017/01/23/2017-01299.html Notice - Self-Regulatory Organizations; ISE Gemini, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the Schedule of Fees 2017-01-23T00:00:00-08:00 2017-01-23T00:00:00-08:00 2017-01299 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-01-23/pdf/2017-01299.pdf https://regulations.justia.com/regulations/fedreg/2017/01/23/2017-01298.html Notice - Self-Regulatory Organizations; C2 Options Exchange, Incorporated; Notice of Filing and Immediate Effectiveness of a Proposed Rule To Amend the Fees Schedule 2017-01-23T00:00:00-08:00 2017-01-23T00:00:00-08:00 2017-01298 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-01-23/pdf/2017-01298.pdf https://regulations.justia.com/regulations/fedreg/2017/01/23/2017-01297.html Notice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing of Proposed Rule Change Relating to the Listing and Trading of Shares of the USCF Canadian Crude Oil Index Fund Under NYSE Arca Equities Rule 8.200 2017-01-23T00:00:00-08:00 2017-01-23T00:00:00-08:00 2017-01297 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-01-23/pdf/2017-01297.pdf https://regulations.justia.com/regulations/fedreg/2017/01/23/2017-01296.html Notice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing of Proposed Rule Change Relating to the Listing and Trading of Shares of the EtherIndex Ether Trust Under NYSE Arca Equities Rule 8.201 2017-01-23T00:00:00-08:00 2017-01-23T00:00:00-08:00 2017-01296 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-01-23/pdf/2017-01296.pdf https://regulations.justia.com/regulations/fedreg/2017/01/23/2017-01295.html Notice - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Rule 7018 2017-01-23T00:00:00-08:00 2017-01-23T00:00:00-08:00 2017-01295 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-01-23/pdf/2017-01295.pdf https://regulations.justia.com/regulations/fedreg/2017/01/23/2016-32032.html Rule - Adoption of Updated EDGAR Filer Manual 2017-01-23T00:00:00-08:00 2017-01-23T00:00:00-08:00 2016-32032 Rule https://www.gpo.gov/fdsys/pkg/FR-2017-01-23/pdf/2016-32032.pdf https://regulations.justia.com/regulations/fedreg/2017/01/18/2017-01142.html Notice - Sunshine Act Meeting 2017-01-18T00:00:00-08:00 2017-01-18T00:00:00-08:00 2017-01142 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-01-18/pdf/2017-01142.pdf https://regulations.justia.com/regulations/fedreg/2017/01/18/2017-00965.html Notice - Self-Regulatory Organizations; Bats EDGX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Modify Fees for Connectivity and Its Communication and Routing Service Known as Bats Connect 2017-01-18T00:00:00-08:00 2017-01-18T00:00:00-08:00 2017-00965 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-01-18/pdf/2017-00965.pdf https://regulations.justia.com/regulations/fedreg/2017/01/18/2017-00964.html Notice - Self-Regulatory Organizations; Bats EDGA Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Modify Fees for Connectivity and Its Communication and Routing Service Known as Bats Connect 2017-01-18T00:00:00-08:00 2017-01-18T00:00:00-08:00 2017-00964 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-01-18/pdf/2017-00964.pdf https://regulations.justia.com/regulations/fedreg/2017/01/18/2017-00963.html Notice - Owl Rock Capital Corporation, et al.; Notice of Application 2017-01-18T00:00:00-08:00 2017-01-18T00:00:00-08:00 2017-00963 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-01-18/pdf/2017-00963.pdf https://regulations.justia.com/regulations/fedreg/2017/01/18/2017-00421.html Rule - Adjustments to Civil Monetary Penalty Amounts 2017-01-18T00:00:00-08:00 2017-01-18T00:00:00-08:00 2017-00421 Rule https://www.gpo.gov/fdsys/pkg/FR-2017-01-18/pdf/2017-00421.pdf https://regulations.justia.com/regulations/fedreg/2017/01/17/2017-00783.html Notice - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Reduce the All-Inclusive Annual Listing Fee for Limited Partnerships Listed on Nasdaq 2017-01-17T00:00:00-08:00 2017-01-17T00:00:00-08:00 2017-00783 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-01-17/pdf/2017-00783.pdf https://regulations.justia.com/regulations/fedreg/2017/01/17/2017-00782.html Notice - Self-Regulatory Organizations; Bats EDGX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Modify the Fee Schedule of the Exchange's Options Platform To Adopt Fees for its Recently Adopted Bats Auction Mechanism 2017-01-17T00:00:00-08:00 2017-01-17T00:00:00-08:00 2017-00782 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-01-17/pdf/2017-00782.pdf https://regulations.justia.com/regulations/fedreg/2017/01/17/2017-00781.html Notice - Self-Regulatory Organizations; BOX Options Exchange LLC; Notice of Designation of Longer Period for Commission Action on a Proposed Rule Change To Adopt Rules for an Open-Outcry Trading Floor 2017-01-17T00:00:00-08:00 2017-01-17T00:00:00-08:00 2017-00781 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-01-17/pdf/2017-00781.pdf https://regulations.justia.com/regulations/fedreg/2017/01/17/2017-00780.html Notice - Self-Regulatory Organizations; NYSEArca, Inc.; Order Granting Approval of Proposed Rule Change, as Modified by Amendment No. 1 Thereto, Relating to a Change to the Underlying Index for the PowerShares Build America Bond Portfolio 2017-01-17T00:00:00-08:00 2017-01-17T00:00:00-08:00 2017-00780 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-01-17/pdf/2017-00780.pdf https://regulations.justia.com/regulations/fedreg/2017/01/17/2017-00779.html Notice - Self-Regulatory Organizations; Bats BZX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Amending Fees To Adopt a New Cross-Asset Step-Up Tier 2017-01-17T00:00:00-08:00 2017-01-17T00:00:00-08:00 2017-00779 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-01-17/pdf/2017-00779.pdf https://regulations.justia.com/regulations/fedreg/2017/01/17/2017-00778.html Notice - Brown Advisory LLC; Notice of Application 2017-01-17T00:00:00-08:00 2017-01-17T00:00:00-08:00 2017-00778 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-01-17/pdf/2017-00778.pdf https://regulations.justia.com/regulations/fedreg/2017/01/13/2017-00628.html Notice - Guardian Variable Products Trust and Park Avenue Institutional Advisers LLC; Notice of Application 2017-01-13T00:00:00-08:00 2017-01-13T00:00:00-08:00 2017-00628 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-01-13/pdf/2017-00628.pdf https://regulations.justia.com/regulations/fedreg/2017/01/13/2017-00626.html Notice - Self-Regulatory Organizations; The Depository Trust Company; Order Granting Approval of Proposed Rule Change Relating To Processing of Transactions in Money Market Instruments 2017-01-13T00:00:00-08:00 2017-01-13T00:00:00-08:00 2017-00626 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-01-13/pdf/2017-00626.pdf https://regulations.justia.com/regulations/fedreg/2017/01/13/2017-00625.html Notice - Self-Regulatory Organizations; The Depository Trust Company; Notice of No Objection To Advance Notice Filing Relating To Processing of Transactions in Money Market Instruments 2017-01-13T00:00:00-08:00 2017-01-13T00:00:00-08:00 2017-00625 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-01-13/pdf/2017-00625.pdf https://regulations.justia.com/regulations/fedreg/2017/01/13/2017-00611.html Notice - Self-Regulatory Organizations; Bats BZX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Modify Fees for Connectivity and Its Communication and Routing Service Known as Bats Connect 2017-01-13T00:00:00-08:00 2017-01-13T00:00:00-08:00 2017-00611 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-01-13/pdf/2017-00611.pdf https://regulations.justia.com/regulations/fedreg/2017/01/13/2017-00610.html Notice - Self-Regulatory Organizations; Bats EDGX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Modify Fees for Connectivity and Its Communication and Routing Service Known as Bats Connect 2017-01-13T00:00:00-08:00 2017-01-13T00:00:00-08:00 2017-00610 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-01-13/pdf/2017-00610.pdf https://regulations.justia.com/regulations/fedreg/2017/01/13/2017-00609.html Notice - Self-Regulatory Organizations; Bats BYX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Modify Fees for Connectivity and Its Communication and Routing Service Known as Bats Connect 2017-01-13T00:00:00-08:00 2017-01-13T00:00:00-08:00 2017-00609 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-01-13/pdf/2017-00609.pdf https://regulations.justia.com/regulations/fedreg/2017/01/13/2017-00608.html Notice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Designation of a Longer Period for Commission Action on a Proposed Rule Change, as Modified by Amendment No. 1, To Amend NYSE Arca Rule 6.91 2017-01-13T00:00:00-08:00 2017-01-13T00:00:00-08:00 2017-00608 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-01-13/pdf/2017-00608.pdf https://regulations.justia.com/regulations/fedreg/2017/01/13/2017-00607.html Notice - Self-Regulatory Organizations; Bats BZX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Modify Fees for Connectivity and Its Communication and Routing Service Known as Bats Connect 2017-01-13T00:00:00-08:00 2017-01-13T00:00:00-08:00 2017-00607 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-01-13/pdf/2017-00607.pdf https://regulations.justia.com/regulations/fedreg/2017/01/12/2017-00493.html Notice - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Extend the Expiration Date of FINRA Rule 0180 (Application of Rules to Security-Based Swaps) 2017-01-12T00:00:00-08:00 2017-01-12T00:00:00-08:00 2017-00493 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-01-12/pdf/2017-00493.pdf https://regulations.justia.com/regulations/fedreg/2017/01/12/2017-00492.html Notice - Self-Regulatory Organizations; NASDAQ PHLX LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Options Regulatory Fee 2017-01-12T00:00:00-08:00 2017-01-12T00:00:00-08:00 2017-00492 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-01-12/pdf/2017-00492.pdf https://regulations.justia.com/regulations/fedreg/2017/01/12/2017-00491.html Notice - Self-Regulatory Organizations; ICE Clear Credit LLC; Notice of Filing Amendment No. 1 and Order Granting Accelerated Approval of Proposed Rule Change To Amend the ICE Clear Credit Clearing Rules, as Modified by Amendment No. 1, Relating to Default Management, Clearing House Recovery and Wind-Down 2017-01-12T00:00:00-08:00 2017-01-12T00:00:00-08:00 2017-00491 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-01-12/pdf/2017-00491.pdf https://regulations.justia.com/regulations/fedreg/2017/01/12/2017-00490.html Notice - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Its Price List 2017-01-12T00:00:00-08:00 2017-01-12T00:00:00-08:00 2017-00490 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-01-12/pdf/2017-00490.pdf https://regulations.justia.com/regulations/fedreg/2017/01/12/2017-00469.html Notice - Proposed Collection; Comment Request 2017-01-12T00:00:00-08:00 2017-01-12T00:00:00-08:00 2017-00469 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-01-12/pdf/2017-00469.pdf https://regulations.justia.com/regulations/fedreg/2017/01/11/2017-00369.html Notice - Self-Regulatory Organizations; The Depository Trust Company; Notice of Filing and Immediate Effectiveness of Proposed Rule Change, as Modified by Amendment No. 1, Regarding the Update of Its Corporate Action Service for the Processing of Redemptions Events and the Transition to International Organization for Standardization 20022 Messaging for Corporate Action Announcements 2017-01-11T00:00:00-08:00 2017-01-11T00:00:00-08:00 2017-00369 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-01-11/pdf/2017-00369.pdf https://regulations.justia.com/regulations/fedreg/2017/01/11/2017-00368.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 2017-01-11T00:00:00-08:00 2017-01-11T00:00:00-08:00 2017-00368 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-01-11/pdf/2017-00368.pdf https://regulations.justia.com/regulations/fedreg/2017/01/11/2017-00367.html Notice - Self-Regulatory Organizations; C2 Options Exchange, Incorporated; Order Approving a Proposed Rule Change Relating to Opening and Closing Rotations for Series Trading on the Exchange 2017-01-11T00:00:00-08:00 2017-01-11T00:00:00-08:00 2017-00367 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-01-11/pdf/2017-00367.pdf https://regulations.justia.com/regulations/fedreg/2017/01/11/2017-00366.html Notice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing of Proposed Rule Change Relating to the Listing and Trading of the Shares of the United States 3x Oil Fund and United States −3x Short Oil Fund Under NYSE Arca Equities Rule 8.200 2017-01-11T00:00:00-08:00 2017-01-11T00:00:00-08:00 2017-00366 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-01-11/pdf/2017-00366.pdf https://regulations.justia.com/regulations/fedreg/2017/01/10/2017-00376.html Notice - Sunshine Act Meeting 2017-01-10T00:00:00-08:00 2017-01-10T00:00:00-08:00 2017-00376 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-01-10/pdf/2017-00376.pdf https://regulations.justia.com/regulations/fedreg/2017/01/10/2017-00227.html Notice - Hartford Funds Exchange-Traded Trust, et al.; Notice of Application] 2017-01-10T00:00:00-08:00 2017-01-10T00:00:00-08:00 2017-00227 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-01-10/pdf/2017-00227.pdf https://regulations.justia.com/regulations/fedreg/2017/01/10/2017-00226.html Notice - Krane Funds Advisors, LLC, et al.; 2017-01-10T00:00:00-08:00 2017-01-10T00:00:00-08:00 2017-00226 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-01-10/pdf/2017-00226.pdf https://regulations.justia.com/regulations/fedreg/2017/01/10/2017-00225.html Notice - Self-Regulatory Organizations; ISE Gemini, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Rules To Extend a Pilot Program 2017-01-10T00:00:00-08:00 2017-01-10T00:00:00-08:00 2017-00225 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-01-10/pdf/2017-00225.pdf https://regulations.justia.com/regulations/fedreg/2017/01/10/2017-00224.html Notice - Self-Regulatory Organizations; ISE Mercury, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend its Rules to Extend a Pilot Program 2017-01-10T00:00:00-08:00 2017-01-10T00:00:00-08:00 2017-00224 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-01-10/pdf/2017-00224.pdf https://regulations.justia.com/regulations/fedreg/2017/01/10/2017-00223.html Notice - Self-Regulatory Organizations; National Securities Clearing Corporation; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Adjust Fees Related to Insurance and Retirement Processing Services 2017-01-10T00:00:00-08:00 2017-01-10T00:00:00-08:00 2017-00223 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-01-10/pdf/2017-00223.pdf https://regulations.justia.com/regulations/fedreg/2017/01/10/2017-00222.html Notice - Self-Regulatory Organizations; NYSE MKT LLC; Notice of Designation of a Longer Period for Commission Action on a Proposed Rule Change Allowing the Exchange To Trade Pursuant to Unlisted Trading Privileges for Any NMS Stock Listed on Another National Securities Exchange; Establishing Rules for the Trading Pursuant to UTP of Exchange-Traded Products; and Adopting New Equity Trading Rules Relating to Trading Halts of Securities Traded Pursuant to UTP on the Pillar Platform 2017-01-10T00:00:00-08:00 2017-01-10T00:00:00-08:00 2017-00222 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-01-10/pdf/2017-00222.pdf https://regulations.justia.com/regulations/fedreg/2017/01/10/2017-00221.html Notice - Self-Regulatory Organizations; NYSE MKT LLC; Notice of Filing and Immediate Effectiveness of Proposed Change Modifying the NYSE Amex Options Fee Schedule 2017-01-10T00:00:00-08:00 2017-01-10T00:00:00-08:00 2017-00221 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-01-10/pdf/2017-00221.pdf https://regulations.justia.com/regulations/fedreg/2017/01/10/2017-00220.html Notice - Self-Regulatory Organizations; New York Stock Exchange 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, 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 2017-01-10T00:00:00-08:00 2017-01-10T00:00:00-08:00 2017-00220 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-01-10/pdf/2017-00220.pdf https://regulations.justia.com/regulations/fedreg/2017/01/10/2017-00219.html Notice - Self-Regulatory Organizations; ISE Gemini, LLC; Order Approving a Proposed Rule Change To Modify the Response Times in the Block Mechanism, Facilitation Mechanism, Solicited Order Mechanism, and Price Improvement Mechanism 2017-01-10T00:00:00-08:00 2017-01-10T00:00:00-08:00 2017-00219 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-01-10/pdf/2017-00219.pdf https://regulations.justia.com/regulations/fedreg/2017/01/10/2017-00218.html Notice - Self-Regulatory Organizations; National Securities Clearing Corporation; Order Granting Approval of Proposed Rule Change To Accommodate Shorter Standard Settlement Cycle and Make Other Changes 2017-01-10T00:00:00-08:00 2017-01-10T00:00:00-08:00 2017-00218 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-01-10/pdf/2017-00218.pdf https://regulations.justia.com/regulations/fedreg/2017/01/10/2017-00217.html Notice - Self-Regulatory Organizations; International Securities Exchange, LLC; Order Approving a Proposed Rule Change To Modify the Response Times in the Block Mechanism, Facilitation Mechanism, Solicited Order Mechanism, and Price Improvement Mechanism 2017-01-10T00:00:00-08:00 2017-01-10T00:00:00-08:00 2017-00217 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-01-10/pdf/2017-00217.pdf https://regulations.justia.com/regulations/fedreg/2017/01/10/2017-00216.html Notice - Self-Regulatory Organizations; NYSE Arca, Inc.; Order Granting Approval of a Proposed Rule Change To Conform to Proposed Amendment to Rule 15c6-1(a) Under the Securities Exchange Act of 1934 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”) 2017-01-10T00:00:00-08:00 2017-01-10T00:00:00-08:00 2017-00216 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-01-10/pdf/2017-00216.pdf https://regulations.justia.com/regulations/fedreg/2017/01/10/2017-00215.html Notice - Self-Regulatory Organizations; ISE Mercury, LLC; Order Approving a Proposed Rule Change To Modify the Response Times in the Block Mechanism, Facilitation Mechanism, Solicited Order Mechanism, and Price Improvement Mechanism 2017-01-10T00:00:00-08:00 2017-01-10T00:00:00-08:00 2017-00215 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-01-10/pdf/2017-00215.pdf https://regulations.justia.com/regulations/fedreg/2017/01/10/2017-00214.html Notice - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending the Exchange's Price List Related to Co-location Services To Increase LCN and IP Network Fees and Add a Description of Access To Trading and Execution Services and Connectivity to Included Data Products 2017-01-10T00:00:00-08:00 2017-01-10T00:00:00-08:00 2017-00214 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-01-10/pdf/2017-00214.pdf https://regulations.justia.com/regulations/fedreg/2017/01/10/2017-00213.html Notice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending the NYSE Arca Options Fee Schedule and the NYSE Arca Equities Schedule of Fees and Charges Related to Co-Location Services To Increase LCN and IP Network Fees and Add a Description of Access to Trading and Execution Services and Connectivity to Included Data Products 2017-01-10T00:00:00-08:00 2017-01-10T00:00:00-08:00 2017-00213 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-01-10/pdf/2017-00213.pdf https://regulations.justia.com/regulations/fedreg/2017/01/10/2017-00212.html Notice - Self-Regulatory Organizations; NYSE MKT LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending the NYSE MKT Equities Price List and the NYSE Amex Options Fee Schedule Related to Co-Location Services To Increase LCN and IP Network Fees and Add a Description of Access to Trading and Execution Services and Connectivity to Included Data Products 2017-01-10T00:00:00-08:00 2017-01-10T00:00:00-08:00 2017-00212 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-01-10/pdf/2017-00212.pdf https://regulations.justia.com/regulations/fedreg/2017/01/09/2017-00102.html Notice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Designation of a Longer Period for Commission Action on Proceedings To Determine Whether To Approve or Disapprove a Proposed Rule Change Relating to the Listing and Trading of Shares of SolidX Bitcoin Trust Under NYSE Arca Equities Rule 8.201 2017-01-09T00:00:00-08:00 2017-01-09T00:00:00-08:00 2017-00102 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-01-09/pdf/2017-00102.pdf https://regulations.justia.com/regulations/fedreg/2017/01/09/2017-00101.html Notice - Self-Regulatory Organizations; Bats BZX Exchange, Inc.; 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 Amendment No. 1, to BZX Rule 14.11(e)(4), Commodity-Based Trust Shares, to List and Trade Winklevoss Bitcoin Shares Issued by the Winklevoss Bitcoin Trust 2017-01-09T00:00:00-08:00 2017-01-09T00:00:00-08:00 2017-00101 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-01-09/pdf/2017-00101.pdf https://regulations.justia.com/regulations/fedreg/2017/01/09/2017-00100.html Notice - Self-Regulatory Organizations; NASDAQ PHLX LLC; Notice of Filing of Proposed Rule Change To Amend Rules 501, 507, 508, 510, and 511 2017-01-09T00:00:00-08:00 2017-01-09T00:00:00-08:00 2017-00100 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-01-09/pdf/2017-00100.pdf https://regulations.justia.com/regulations/fedreg/2017/01/09/2017-00099.html Notice - Self-Regulatory Organizations; International Securities Exchange, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Rules To Extend a Pilot Program 2017-01-09T00:00:00-08:00 2017-01-09T00:00:00-08:00 2017-00099 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-01-09/pdf/2017-00099.pdf https://regulations.justia.com/regulations/fedreg/2017/01/09/2017-00098.html Notice - Self-Regulatory Organizations; NYSE MKT LLC; Order Approving Proposed Rule Change, as Modified by Amendment No. 1 Thereto, Introducing NYSE OptX 2017-01-09T00:00:00-08:00 2017-01-09T00:00:00-08:00 2017-00098 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-01-09/pdf/2017-00098.pdf https://regulations.justia.com/regulations/fedreg/2017/01/09/2017-00097.html Notice - Self-Regulatory Organizations; NYSE Arca, Inc.; Order Approving Proposed Rule Change, as Modified by Amendment No. 1 Thereto, Introducing NYSE OptX 2017-01-09T00:00:00-08:00 2017-01-09T00:00:00-08:00 2017-00097 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-01-09/pdf/2017-00097.pdf https://regulations.justia.com/regulations/fedreg/2017/01/09/2017-00096.html Notice - Self-Regulatory Organizations; Bats EDGX Exchange, Inc.; 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 the Exchange's Equity Options Platform To Adopt a Price Improvement Auction, the Bats Auction Mechanism 2017-01-09T00:00:00-08:00 2017-01-09T00:00:00-08:00 2017-00096 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-01-09/pdf/2017-00096.pdf https://regulations.justia.com/regulations/fedreg/2017/01/06/2016-32041.html Notice - Notice of Applications For Deregistration Under Section 8(f) of the Investment Company Act of 1940 2017-01-06T00:00:00-08:00 2017-01-06T00:00:00-08:00 2016-32041 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-01-06/pdf/2016-32041.pdf https://regulations.justia.com/regulations/fedreg/2017/01/06/2016-32040.html Notice - Self-Regulatory Organizations; NYSE MKT LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the NYSE MKT Equities Price List and the NYSE Amex Options Fee Schedule To Modify the Fees Related to Four Bundles of Co-Location Services in Connection With the Exchange's Co-Location Services 2017-01-06T00:00:00-08:00 2017-01-06T00:00:00-08:00 2016-32040 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-01-06/pdf/2016-32040.pdf https://regulations.justia.com/regulations/fedreg/2017/01/06/2016-32039.html Notice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the NYSE Arca Options Fee Schedule and the NYSE Arca Equities Schedule of Fees and Charges for Exchange Services To Modify the Fees Related to Four Bundles of Co-Location Services in Connection With the Exchange's Co-Location Services 2017-01-06T00:00:00-08:00 2017-01-06T00:00:00-08:00 2016-32039 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-01-06/pdf/2016-32039.pdf https://regulations.justia.com/regulations/fedreg/2017/01/06/2016-32038.html Notice - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend the Exchange's Price List to Modify the Fees Related to Four Bundles of Co-Location Services in Connection with the Exchange's Co-Location Services 2017-01-06T00:00:00-08:00 2017-01-06T00:00:00-08:00 2016-32038 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-01-06/pdf/2016-32038.pdf https://regulations.justia.com/regulations/fedreg/2017/01/06/2016-32037.html Notice - Self-Regulatory Organizations; NYSE Arca, Inc.; Order Approving a Proposed Rule Change, as Modified by Amendment No. 1, Amending NYSE Arca Equities Rule 7.35 To Provide for Widened Auction Collars for the Core Open Auction on Volatile Trading Days 2017-01-06T00:00:00-08:00 2017-01-06T00:00:00-08:00 2016-32037 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-01-06/pdf/2016-32037.pdf https://regulations.justia.com/regulations/fedreg/2017/01/06/2016-32036.html Notice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending NYSE Arca Equities Rule 7.35(d)(4) 2017-01-06T00:00:00-08:00 2017-01-06T00:00:00-08:00 2016-32036 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-01-06/pdf/2016-32036.pdf https://regulations.justia.com/regulations/fedreg/2017/01/05/2016-32048.html Notice - Sunshine Act Meeting; Additional Item 2017-01-05T00:00:00-08:00 2017-01-05T00:00:00-08:00 2016-32048 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-01-05/pdf/2016-32048.pdf https://regulations.justia.com/regulations/fedreg/2017/01/05/2016-32047.html Notice - Sunshine Act Meeting 2017-01-05T00:00:00-08:00 2017-01-05T00:00:00-08:00 2016-32047 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-01-05/pdf/2016-32047.pdf https://regulations.justia.com/regulations/fedreg/2017/01/05/2016-31945.html Notice - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Its Price List 2017-01-05T00:00:00-08:00 2017-01-05T00:00:00-08:00 2016-31945 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-01-05/pdf/2016-31945.pdf https://regulations.justia.com/regulations/fedreg/2017/01/05/2016-31943.html Notice - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Filing of a Proposed Rule Change Related to a Change to the Trading Symbol for P.M.-Settled Options on the Standard & Poor's 500 Index 2017-01-05T00:00:00-08:00 2017-01-05T00:00:00-08:00 2016-31943 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-01-05/pdf/2016-31943.pdf https://regulations.justia.com/regulations/fedreg/2017/01/05/2016-31942.html Notice - Self-Regulatory Organizations; C2 Options Exchange, Incorporated; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to Fees for C2 Real-Time Data Feeds 2017-01-05T00:00:00-08:00 2017-01-05T00:00:00-08:00 2016-31942 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-01-05/pdf/2016-31942.pdf https://regulations.justia.com/regulations/fedreg/2017/01/05/2016-31941.html Notice - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to Fees for the Complex Order Book Data Feed 2017-01-05T00:00:00-08:00 2017-01-05T00:00:00-08:00 2016-31941 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-01-05/pdf/2016-31941.pdf https://regulations.justia.com/regulations/fedreg/2017/01/05/2016-31940.html Notice - Self-Regulatory Organizations; LCH SA; Order Granting Application for Registration as a Clearing Agency and Request for Exemptive Relief 2017-01-05T00:00:00-08:00 2017-01-05T00:00:00-08:00 2016-31940 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-01-05/pdf/2016-31940.pdf https://regulations.justia.com/regulations/fedreg/2017/01/05/2016-31939.html Notice - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to the Listing and Trading of the Shares of the First Trust Strategic Income ETF of First Trust Exchange-Traded Fund IV 2017-01-05T00:00:00-08:00 2017-01-05T00:00:00-08:00 2016-31939 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-01-05/pdf/2016-31939.pdf https://regulations.justia.com/regulations/fedreg/2017/01/05/2016-31938.html Notice - DFA Investment Dimensions Group Inc., et al.; Notice of Application 2017-01-05T00:00:00-08:00 2017-01-05T00:00:00-08:00 2016-31938 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-01-05/pdf/2016-31938.pdf https://regulations.justia.com/regulations/fedreg/2017/01/05/2016-31937.html Notice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending NYSE Arca Equities Rule 7.35(a)(10)(A) 2017-01-05T00:00:00-08:00 2017-01-05T00:00:00-08:00 2016-31937 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-01-05/pdf/2016-31937.pdf https://regulations.justia.com/regulations/fedreg/2017/01/05/2016-31936.html Notice - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Rule 7022(d) 2017-01-05T00:00:00-08:00 2017-01-05T00:00:00-08:00 2016-31936 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-01-05/pdf/2016-31936.pdf https://regulations.justia.com/regulations/fedreg/2017/01/04/2016-31860.html Notice - Morgan Stanley ETF Trust, et al.; Notice of Application 2017-01-04T00:00:00-08:00 2017-01-04T00:00:00-08:00 2016-31860 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-01-04/pdf/2016-31860.pdf https://regulations.justia.com/regulations/fedreg/2017/01/04/2016-31859.html Notice - Self-Regulatory Organizations; Bats EDGA 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 EDGA Summary Depth and Amend Fees for EDGA Depth 2017-01-04T00:00:00-08:00 2017-01-04T00:00:00-08:00 2016-31859 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-01-04/pdf/2016-31859.pdf https://regulations.justia.com/regulations/fedreg/2017/01/03/2016-31766.html Notice - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Filing of a Proposed Rule Change Related to the Nullification and Adjustment of Options Transactions 2017-01-03T00:00:00-08:00 2017-01-03T00:00:00-08:00 2016-31766 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-01-03/pdf/2016-31766.pdf https://regulations.justia.com/regulations/fedreg/2017/01/03/2016-31765.html Notice - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Rule 6.54 2017-01-03T00:00:00-08:00 2017-01-03T00:00:00-08:00 2016-31765 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-01-03/pdf/2016-31765.pdf