Federal Register Recent Federal Regulation Documents - Justia Regulation Tracker - Justia Regulations Trackerhttps://regulations.justia.com/regulations/fedreg/agencies/securities-and-exchange-commission/2017/02/08?limit=200®isters=between&mode=atom2024-04-26T20:36:26-07:00Justia Inchttps://www.justia.com/Justia Regulations Trackerhttps://regulations.justia.com/images/justiafedregulations.gifCopyright 2011 Justia Inchttps://regulations.justia.com/regulations/fedreg/2017/02/08/2017-02636.htmlNotice - Sunshine Act Meeting; Additional Item2017-02-08T00:00:00-08:002017-02-08T00:00:00-08:002017-02636Noticehttps://www.gpo.gov/fdsys/pkg/FR-2017-02-08/pdf/2017-02636.pdfhttps://regulations.justia.com/regulations/fedreg/2017/02/08/2017-02555.htmlNotice - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Filing of a Proposed Rule Change Relating to the Consolidated Audit Trail2017-02-08T00:00:00-08:002017-02-08T00:00:00-08:002017-02555Noticehttps://www.gpo.gov/fdsys/pkg/FR-2017-02-08/pdf/2017-02555.pdfhttps://regulations.justia.com/regulations/fedreg/2017/02/08/2017-02554.htmlNotice - Self-Regulatory Organizations; Bats EDGX Exchange, Inc.; Notice of Filing of a Proposed Rule Change To Adopt Rules 4.5 Through 4.16 To Implement the Compliance Rule Regarding the National Market System Plan Governing the Consolidated Audit Trail2017-02-08T00:00:00-08:002017-02-08T00:00:00-08:002017-02554Noticehttps://www.gpo.gov/fdsys/pkg/FR-2017-02-08/pdf/2017-02554.pdfhttps://regulations.justia.com/regulations/fedreg/2017/02/08/2017-02553.htmlNotice - Self-Regulatory Organizations; Chicago Stock Exchange, Inc.; Notice of Filing of Proposed Rule Change To Implement the Compliance Rule Regarding the National Market System Plan Governing the Consolidated Audit Trail2017-02-08T00:00:00-08:002017-02-08T00:00:00-08:002017-02553Noticehttps://www.gpo.gov/fdsys/pkg/FR-2017-02-08/pdf/2017-02553.pdfhttps://regulations.justia.com/regulations/fedreg/2017/02/08/2017-02552.htmlNotice - Self-Regulatory Organizations; MIAX PEARL, LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend MIAX PEARL Rules 100, 404, 519C and Adopt MIAX PEARL 10182017-02-08T00:00:00-08:002017-02-08T00:00:00-08:002017-02552Noticehttps://www.gpo.gov/fdsys/pkg/FR-2017-02-08/pdf/2017-02552.pdfhttps://regulations.justia.com/regulations/fedreg/2017/02/08/2017-02551.htmlNotice - Self-Regulatory Organizations; MIAX PEARL, LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Exchange Rule 515, Execution of Orders and Quotes2017-02-08T00:00:00-08:002017-02-08T00:00:00-08:002017-02551Noticehttps://www.gpo.gov/fdsys/pkg/FR-2017-02-08/pdf/2017-02551.pdfhttps://regulations.justia.com/regulations/fedreg/2017/02/08/2017-02550.htmlNotice - Self-Regulatory Organizations; NASDAQ PHLX LLC; Notice of Filing of Proposed Rule Change To Adopt the Rule 900A Series2017-02-08T00:00:00-08:002017-02-08T00:00:00-08:002017-02550Noticehttps://www.gpo.gov/fdsys/pkg/FR-2017-02-08/pdf/2017-02550.pdfhttps://regulations.justia.com/regulations/fedreg/2017/02/08/2017-02549.htmlNotice - Self-Regulatory Organizations; Bats BYX Exchange, Inc.; Notice of Filing of a Proposed Rule Change To Adopt Rules 4.5 Through 4.16 To Implement the Compliance Rule Regarding the National Market System Plan Governing the Consolidated Audit Trail2017-02-08T00:00:00-08:002017-02-08T00:00:00-08:002017-02549Noticehttps://www.gpo.gov/fdsys/pkg/FR-2017-02-08/pdf/2017-02549.pdfhttps://regulations.justia.com/regulations/fedreg/2017/02/08/2017-02548.htmlNotice - Program for Allocation of Regulatory Responsibilities Pursuant to Rule 17d-2; Notice of Filing and Order Approving and Declaring Effective an Amendment to the Plan for the Allocation of Regulatory Responsibilities Among NYSE MKT LLC, Bats BZX Exchange, Inc., BOX Options Exchange LLC, C2 Options Exchange, Incorporated, the Chicago Board Options Exchange, Incorporated, the Bats EDGX Exchange, Inc., the International Securities Exchange LLC, ISE Gemini, LLC, ISE Mercury, LLC, Financial Industry Regulatory Authority, Inc., NYSE Arca, Inc., The NASDAQ Stock Market LLC, NASDAQ BX, Inc., the NASDAQ PHLX, Inc., Miami International Securities Exchange, LLC, and MIAX PEARL Concerning Options-Related Market Surveillance2017-02-08T00:00:00-08:002017-02-08T00:00:00-08:002017-02548Noticehttps://www.gpo.gov/fdsys/pkg/FR-2017-02-08/pdf/2017-02548.pdfhttps://regulations.justia.com/regulations/fedreg/2017/02/08/2017-02547.htmlNotice - Program for Allocation of Regulatory Responsibilities Pursuant to Rule 17d-2; Notice of Filing and Order Approving and Declaring Effective an Amendment to the Plan for the Allocation of Regulatory Responsibilities Among NYSE MKT LLC, Bats BZX Exchange, Inc., BOX Options Exchange LLC, C2 Options Exchange, Incorporated, the Chicago Board Options Exchange, Incorporated, Bats EDGX Exchange, Inc., the International Securities Exchange LLC, ISE Gemini, LLC, ISE Mercury, LLC, Financial Industry Regulatory Authority, Inc., NYSE Arca, Inc., The NASDAQ Stock Market LLC, NASDAQ BX, Inc., the NASDAQ PHLX, Inc., Miami International Securities Exchange, LLC, and MIAX PEARL, LLC Concerning Options-Related Sales Practice Matters2017-02-08T00:00:00-08:002017-02-08T00:00:00-08:002017-02547Noticehttps://www.gpo.gov/fdsys/pkg/FR-2017-02-08/pdf/2017-02547.pdfhttps://regulations.justia.com/regulations/fedreg/2017/02/08/2017-02546.htmlNotice - Program for Allocation of Regulatory Responsibilities Pursuant to Rule 17d-2; Notice of Filing and Order Approving and Declaring Effective an Amendment to the Plan for the Allocation of Regulatory Responsibilities Between Bats BZX Exchange, Inc., Bats BYX Exchange, Inc., BOX Options Exchange LLC, Chicago Board Options Exchange, Incorporated, C2 Options Exchange, Incorporated, Chicago Stock Exchange, Inc., Bats EDGA Exchange, Inc., Bats EDGX Exchange, Inc., Financial Industry Regulatory Authority, Inc., International Securities Exchange, LLC, Investors Exchange LLC, ISE Gemini, LLC, ISE Mercury, LLC, Miami International Securities Exchange, LLC, MIAX PEARL, LLC, The NASDAQ Stock Market LLC, NASDAQ BX, Inc., NASDAQ PHLX, Inc., National Stock Exchange, Inc., New York Stock Exchange LLC, NYSE MKT LLC, and NYSE Arca, Inc.2017-02-08T00:00:00-08:002017-02-08T00:00:00-08:002017-02546Noticehttps://www.gpo.gov/fdsys/pkg/FR-2017-02-08/pdf/2017-02546.pdfhttps://regulations.justia.com/regulations/fedreg/2017/02/08/2017-02545.htmlNotice - Self-Regulatory Organizations; Bats EDGX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Related to Functionality Offered by the Exchange's Options Platform To Adopt Qualified Contingent Cross Orders2017-02-08T00:00:00-08:002017-02-08T00:00:00-08:002017-02545Noticehttps://www.gpo.gov/fdsys/pkg/FR-2017-02-08/pdf/2017-02545.pdfhttps://regulations.justia.com/regulations/fedreg/2017/02/08/2017-02544.htmlNotice - Self-Regulatory Organizations: Investors Exchange LLC; Notice of Filing of Proposed Rule Change To Amend IEX Rule 16.135 To Adopt Generic Listing Standards for Managed Fund Shares2017-02-08T00:00:00-08:002017-02-08T00:00:00-08:002017-02544Noticehttps://www.gpo.gov/fdsys/pkg/FR-2017-02-08/pdf/2017-02544.pdfhttps://regulations.justia.com/regulations/fedreg/2017/02/08/2017-02543.htmlNotice - Self-Regulatory Organizations; MIAX PEARL, LLC ; Notice of Filing of a Proposed Rule Change by To Adopt Rules 1701-1712 To Implement the Compliance Rule Regarding the National Market System Plan Governing the Consolidated Audit Trail2017-02-08T00:00:00-08:002017-02-08T00:00:00-08:002017-02543Noticehttps://www.gpo.gov/fdsys/pkg/FR-2017-02-08/pdf/2017-02543.pdfhttps://regulations.justia.com/regulations/fedreg/2017/02/08/2017-02542.htmlNotice - Self-Regulatory Organizations; Miami International Securities Exchange, LLC; Notice of Filing of a Proposed Rule Change To Adopt Consolidated Audit Trail Compliance Rule (Rules 1701-1712) To Implement the Compliance Rule Regarding the National Market System Plan Governing the Consolidated Audit Trail2017-02-08T00:00:00-08:002017-02-08T00:00:00-08:002017-02542Noticehttps://www.gpo.gov/fdsys/pkg/FR-2017-02-08/pdf/2017-02542.pdfhttps://regulations.justia.com/regulations/fedreg/2017/02/08/2017-02541.htmlNotice - Self-Regulatory Organizations; BOX Options Exchange LLC; Order Granting Approval of a Proposed Rule Change To Amend Rule 5050 Series of Options Contracts Open for Trading To Provide for the Listing and Trading on the Exchange of RealDayTM2017-02-08T00:00:00-08:002017-02-08T00:00:00-08:002017-02541Noticehttps://www.gpo.gov/fdsys/pkg/FR-2017-02-08/pdf/2017-02541.pdfhttps://regulations.justia.com/regulations/fedreg/2017/02/08/2017-02540.htmlNotice - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing of Proposed Rule Change To Adopt Rules Regarding the CAT NMS Plan2017-02-08T00:00:00-08:002017-02-08T00:00:00-08:002017-02540Noticehttps://www.gpo.gov/fdsys/pkg/FR-2017-02-08/pdf/2017-02540.pdfhttps://regulations.justia.com/regulations/fedreg/2017/02/08/2017-02539.htmlNotice - Self-Regulatory Organizations; Investors Exchange LLC; Notice of Filing of Proposed Rule Change To Adopt the Rule Series 11.600 To Implement the Compliance Rule Regarding the National Market System Plan Governing the Consolidated Audit Trail2017-02-08T00:00:00-08:002017-02-08T00:00:00-08:002017-02539Noticehttps://www.gpo.gov/fdsys/pkg/FR-2017-02-08/pdf/2017-02539.pdfhttps://regulations.justia.com/regulations/fedreg/2017/02/08/2017-02538.htmlNotice - Self-Regulatory Organizations; National Stock Exchange, Inc.; Notice of Filing of Proposed Rule Change To Implement Compliance Rules Regarding the National Market System Plan Governing the Consolidated Audit Trail2017-02-08T00:00:00-08:002017-02-08T00:00:00-08:002017-02538Noticehttps://www.gpo.gov/fdsys/pkg/FR-2017-02-08/pdf/2017-02538.pdfhttps://regulations.justia.com/regulations/fedreg/2017/02/08/2017-02537.htmlNotice - Self-Regulatory Organizations; BOX Options Exchange LLC; Notice of Filing of a Proposed Rule Change To Adopt the Rule 16000 Series To Implement the Compliance Rule Regarding the National Market System Plan Governing the Consolidated Audit Trail2017-02-08T00:00:00-08:002017-02-08T00:00:00-08:002017-02537Noticehttps://www.gpo.gov/fdsys/pkg/FR-2017-02-08/pdf/2017-02537.pdfhttps://regulations.justia.com/regulations/fedreg/2017/02/08/2017-02536.htmlNotice - Self-Regulatory Organizations; CBOE Futures Exchange, LLC; Notice of Filing of a Proposed Rule Change Regarding Block Trades2017-02-08T00:00:00-08:002017-02-08T00:00:00-08:002017-02536Noticehttps://www.gpo.gov/fdsys/pkg/FR-2017-02-08/pdf/2017-02536.pdfhttps://regulations.justia.com/regulations/fedreg/2017/02/08/2017-02535.htmlNotice - Self-Regulatory Organizations; Bats BZX Exchange, Inc.; Notice of Filing of a Proposed Rule Change To Adopt Rules 4.5 Through 4.16 To Implement the Compliance Rule Regarding the National Market System Plan Governing the Consolidated Audit Trail2017-02-08T00:00:00-08:002017-02-08T00:00:00-08:002017-02535Noticehttps://www.gpo.gov/fdsys/pkg/FR-2017-02-08/pdf/2017-02535.pdfhttps://regulations.justia.com/regulations/fedreg/2017/02/08/2017-02455.htmlRule - Adoption of Updated EDGAR Filer Manual2017-02-08T00:00:00-08:002017-02-08T00:00:00-08:002017-02455Rulehttps://www.gpo.gov/fdsys/pkg/FR-2017-02-08/pdf/2017-02455.pdf