Federal Register Recent Federal Regulation Documents - Justia Regulation Tracker - Justia Regulations Tracker https://regulations.justia.com/regulations/fedreg/agencies/securities-and-exchange-commission/2017/02/09?limit=200&registers=between&mode=atom 2024-04-25T22:28:20-07:00 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/2017/02/09/2017-02738.html Notice - Self-Regulatory Organizations; OneChicago, LLC; Notice of Filing of Proposed Rule Change Regarding Fraudulent Acts 2017-02-09T00:00:00-08:00 2017-02-09T00:00:00-08:00 2017-02738 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-02-09/pdf/2017-02738.pdf https://regulations.justia.com/regulations/fedreg/2017/02/09/2017-02737.html Notice - Self-Regulatory Organizations; Municipal Securities Rulemaking Board; Notice of Filing of a Proposed Rule Change To Add New MSRB Rule G-49, on Transactions Below the Minimum Denomination of an Issue, to the Rules of the MSRB, and To Rescind Paragraph (f), on Minimum Denominations, From MSRB Rule G-15 2017-02-09T00:00:00-08:00 2017-02-09T00:00:00-08:00 2017-02737 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-02-09/pdf/2017-02737.pdf https://regulations.justia.com/regulations/fedreg/2017/02/09/2017-02651.html Notice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing of Proposed Rule Change Relating to the Listing and Trading Shares of the Bitcoin Investment Trust under NYSE Arca Equities Rule 8.201 2017-02-09T00:00:00-08:00 2017-02-09T00:00:00-08:00 2017-02651 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-02-09/pdf/2017-02651.pdf https://regulations.justia.com/regulations/fedreg/2017/02/09/2017-02650.html Notice - Self-Regulatory Organizations; C2 Options Exchange, Incorporated; Notice of Filing of a Proposed Rule Change Relating to the Consolidated Audit Trail 2017-02-09T00:00:00-08:00 2017-02-09T00:00:00-08:00 2017-02650 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-02-09/pdf/2017-02650.pdf https://regulations.justia.com/regulations/fedreg/2017/02/09/2017-02649.html Notice - Self-Regulatory Organizations; Fixed Income Clearing Corporation; Notice of Filing of Proposed Rule Change To (1) Implement the Margin Proxy, (2) Modify the Calculation of the Coverage Charge in Circumstances Where the Margin Proxy Applies, and (3) Make Certain Technical Corrections 2017-02-09T00:00:00-08:00 2017-02-09T00:00:00-08:00 2017-02649 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-02-09/pdf/2017-02649.pdf https://regulations.justia.com/regulations/fedreg/2017/02/09/2017-02648.html Notice - Self-Regulatory Organizations; International Securities Exchange, LLC; Notice of Filing of Proposed Rule Change To Adopt Chapter 9 2017-02-09T00:00:00-08:00 2017-02-09T00:00:00-08:00 2017-02648 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-02-09/pdf/2017-02648.pdf https://regulations.justia.com/regulations/fedreg/2017/02/09/2017-02647.html Notice - Self-Regulatory Organizations; Bats BYX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Related to Fees for Use on Bats BYX Exchange, Inc. 2017-02-09T00:00:00-08:00 2017-02-09T00:00:00-08:00 2017-02647 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-02-09/pdf/2017-02647.pdf https://regulations.justia.com/regulations/fedreg/2017/02/09/2017-02646.html Notice - Self-Regulatory Organizations; ISE Gemini, LLC; Notice of Filing of Proposed Rule Change to Adopt Chapter 9 2017-02-09T00:00:00-08:00 2017-02-09T00:00:00-08:00 2017-02646 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-02-09/pdf/2017-02646.pdf https://regulations.justia.com/regulations/fedreg/2017/02/09/2017-02645.html Notice - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing of Partial Amendment No. 1 and Order Granting Accelerated Approval of the Proposed Rule Change To Amend Rule 4512 (Customer Account Information) and Adopt FINRA Rule 2165 (Financial Exploitation of Specified Adults), as Modified by Partial Amendment No. 1 2017-02-09T00:00:00-08:00 2017-02-09T00:00:00-08:00 2017-02645 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-02-09/pdf/2017-02645.pdf https://regulations.justia.com/regulations/fedreg/2017/02/09/2017-02644.html Notice - Self-Regulatory Organizations; ISE Mercury, LLC; Notice of Filing of Proposed Rule Change To Adopt Chapter 9 2017-02-09T00:00:00-08:00 2017-02-09T00:00:00-08:00 2017-02644 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-02-09/pdf/2017-02644.pdf https://regulations.justia.com/regulations/fedreg/2017/02/09/2017-02643.html Notice - Self-Regulatory Organizations; Bats EDGA 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 2017-02-09T00:00:00-08:00 2017-02-09T00:00:00-08:00 2017-02643 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-02-09/pdf/2017-02643.pdf https://regulations.justia.com/regulations/fedreg/2017/02/09/2017-02642.html Notice - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing of a Proposed Rule Change To Adopt the FINRA Rule 6800 Series (Consolidated Audit Trail Compliance Rule) 2017-02-09T00:00:00-08:00 2017-02-09T00:00:00-08:00 2017-02642 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-02-09/pdf/2017-02642.pdf https://regulations.justia.com/regulations/fedreg/2017/02/09/2017-02641.html Notice - Self-Regulatory Organizations; NASDAQ BX, Inc.; Notice of Filing of Proposed Rule Change To Adopt Rules Regarding the CAT NMS Plan 2017-02-09T00:00:00-08:00 2017-02-09T00:00:00-08:00 2017-02641 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-02-09/pdf/2017-02641.pdf https://regulations.justia.com/regulations/fedreg/2017/02/09/2017-02640.html Notice - Self-Regulatory Organizations; MIAX PEARL, LLC; Notice of Filing of a Proposed Rule Change To Amend Exchange Rule 519A, Risk Protection Monitor for Orders Entered via the FIX Interface (“RPM-FIX”), and Exchange Rule 519B, Risk Protection Monitor for Orders Entered via the MEO Interface (“RPM-MEO”) 2017-02-09T00:00:00-08:00 2017-02-09T00:00:00-08:00 2017-02640 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-02-09/pdf/2017-02640.pdf https://regulations.justia.com/regulations/fedreg/2017/02/09/2017-02639.html Notice - Self-Regulatory Organizations; Bats EDGX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Adopt a New Type of Logical Port Known as a Purge Port 2017-02-09T00:00:00-08:00 2017-02-09T00:00:00-08:00 2017-02639 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-02-09/pdf/2017-02639.pdf https://regulations.justia.com/regulations/fedreg/2017/02/09/2017-02638.html Notice - Self-Regulatory Organizations; Bats BZX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Adopt a New Type of Logical Port Known as a Purge Port 2017-02-09T00:00:00-08:00 2017-02-09T00:00:00-08:00 2017-02638 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-02-09/pdf/2017-02638.pdf