Federal Register Recent Federal Regulation Documents - Justia Regulation Tracker - Justia Regulations Tracker https://regulations.justia.com/regulations/fedreg/agencies/securities-and-exchange-commission/2017/02/08?limit=200&registers=between&mode=atom 2024-04-26T20:36:26-07:00 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/2017/02/08/2017-02636.html Notice - Sunshine Act Meeting; Additional Item 2017-02-08T00:00:00-08:00 2017-02-08T00:00:00-08:00 2017-02636 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-02-08/pdf/2017-02636.pdf https://regulations.justia.com/regulations/fedreg/2017/02/08/2017-02555.html Notice - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Filing of a Proposed Rule Change Relating to the Consolidated Audit Trail 2017-02-08T00:00:00-08:00 2017-02-08T00:00:00-08:00 2017-02555 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-02-08/pdf/2017-02555.pdf https://regulations.justia.com/regulations/fedreg/2017/02/08/2017-02554.html Notice - 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 Trail 2017-02-08T00:00:00-08:00 2017-02-08T00:00:00-08:00 2017-02554 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-02-08/pdf/2017-02554.pdf https://regulations.justia.com/regulations/fedreg/2017/02/08/2017-02553.html Notice - 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 Trail 2017-02-08T00:00:00-08:00 2017-02-08T00:00:00-08:00 2017-02553 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-02-08/pdf/2017-02553.pdf https://regulations.justia.com/regulations/fedreg/2017/02/08/2017-02552.html Notice - 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 1018 2017-02-08T00:00:00-08:00 2017-02-08T00:00:00-08:00 2017-02552 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-02-08/pdf/2017-02552.pdf https://regulations.justia.com/regulations/fedreg/2017/02/08/2017-02551.html Notice - 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 Quotes 2017-02-08T00:00:00-08:00 2017-02-08T00:00:00-08:00 2017-02551 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-02-08/pdf/2017-02551.pdf https://regulations.justia.com/regulations/fedreg/2017/02/08/2017-02550.html Notice - Self-Regulatory Organizations; NASDAQ PHLX LLC; Notice of Filing of Proposed Rule Change To Adopt the Rule 900A Series 2017-02-08T00:00:00-08:00 2017-02-08T00:00:00-08:00 2017-02550 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-02-08/pdf/2017-02550.pdf https://regulations.justia.com/regulations/fedreg/2017/02/08/2017-02549.html Notice - 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 Trail 2017-02-08T00:00:00-08:00 2017-02-08T00:00:00-08:00 2017-02549 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-02-08/pdf/2017-02549.pdf https://regulations.justia.com/regulations/fedreg/2017/02/08/2017-02548.html Notice - 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 Surveillance 2017-02-08T00:00:00-08:00 2017-02-08T00:00:00-08:00 2017-02548 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-02-08/pdf/2017-02548.pdf https://regulations.justia.com/regulations/fedreg/2017/02/08/2017-02547.html Notice - 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 Matters 2017-02-08T00:00:00-08:00 2017-02-08T00:00:00-08:00 2017-02547 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-02-08/pdf/2017-02547.pdf https://regulations.justia.com/regulations/fedreg/2017/02/08/2017-02546.html Notice - 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. 2017-02-08T00:00:00-08:00 2017-02-08T00:00:00-08:00 2017-02546 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-02-08/pdf/2017-02546.pdf https://regulations.justia.com/regulations/fedreg/2017/02/08/2017-02545.html Notice - 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 Orders 2017-02-08T00:00:00-08:00 2017-02-08T00:00:00-08:00 2017-02545 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-02-08/pdf/2017-02545.pdf https://regulations.justia.com/regulations/fedreg/2017/02/08/2017-02544.html Notice - 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 Shares 2017-02-08T00:00:00-08:00 2017-02-08T00:00:00-08:00 2017-02544 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-02-08/pdf/2017-02544.pdf https://regulations.justia.com/regulations/fedreg/2017/02/08/2017-02543.html Notice - 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 Trail 2017-02-08T00:00:00-08:00 2017-02-08T00:00:00-08:00 2017-02543 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-02-08/pdf/2017-02543.pdf https://regulations.justia.com/regulations/fedreg/2017/02/08/2017-02542.html Notice - 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 Trail 2017-02-08T00:00:00-08:00 2017-02-08T00:00:00-08:00 2017-02542 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-02-08/pdf/2017-02542.pdf https://regulations.justia.com/regulations/fedreg/2017/02/08/2017-02541.html Notice - 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 RealDayTM 2017-02-08T00:00:00-08:00 2017-02-08T00:00:00-08:00 2017-02541 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-02-08/pdf/2017-02541.pdf https://regulations.justia.com/regulations/fedreg/2017/02/08/2017-02540.html Notice - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing of Proposed Rule Change To Adopt Rules Regarding the CAT NMS Plan 2017-02-08T00:00:00-08:00 2017-02-08T00:00:00-08:00 2017-02540 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-02-08/pdf/2017-02540.pdf https://regulations.justia.com/regulations/fedreg/2017/02/08/2017-02539.html Notice - 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 Trail 2017-02-08T00:00:00-08:00 2017-02-08T00:00:00-08:00 2017-02539 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-02-08/pdf/2017-02539.pdf https://regulations.justia.com/regulations/fedreg/2017/02/08/2017-02538.html Notice - 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 Trail 2017-02-08T00:00:00-08:00 2017-02-08T00:00:00-08:00 2017-02538 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-02-08/pdf/2017-02538.pdf https://regulations.justia.com/regulations/fedreg/2017/02/08/2017-02537.html Notice - 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 Trail 2017-02-08T00:00:00-08:00 2017-02-08T00:00:00-08:00 2017-02537 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-02-08/pdf/2017-02537.pdf https://regulations.justia.com/regulations/fedreg/2017/02/08/2017-02536.html Notice - Self-Regulatory Organizations; CBOE Futures Exchange, LLC; Notice of Filing of a Proposed Rule Change Regarding Block Trades 2017-02-08T00:00:00-08:00 2017-02-08T00:00:00-08:00 2017-02536 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-02-08/pdf/2017-02536.pdf https://regulations.justia.com/regulations/fedreg/2017/02/08/2017-02535.html Notice - 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 Trail 2017-02-08T00:00:00-08:00 2017-02-08T00:00:00-08:00 2017-02535 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-02-08/pdf/2017-02535.pdf https://regulations.justia.com/regulations/fedreg/2017/02/08/2017-02455.html Rule - Adoption of Updated EDGAR Filer Manual 2017-02-08T00:00:00-08:00 2017-02-08T00:00:00-08:00 2017-02455 Rule https://www.gpo.gov/fdsys/pkg/FR-2017-02-08/pdf/2017-02455.pdf