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?limit=200&registers=between&min-day=1&max-day=28&mode=atom 2020-01-28T02:16:02-08:00 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/2017/02/28/2017-03928.html Notice - Sunshine Act Meeting 2017-02-28T00:00:00-08:00 2017-02-28T00:00:00-08:00 2017-03928 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-02-28/pdf/2017-03928.pdf https://regulations.justia.com/regulations/fedreg/2017/02/28/2017-03848.html Rule - Exemptions To Facilitate Intrastate and Regional Securities Offerings 2017-02-28T00:00:00-08:00 2017-02-28T00:00:00-08:00 2017-03848 Rule https://www.gpo.gov/fdsys/pkg/FR-2017-02-28/pdf/2017-03848.pdf https://regulations.justia.com/regulations/fedreg/2017/02/28/2017-03847.html Notice - Self-Regulatory Organizations; International Securities Exchange, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Rule 715 and Rule 721 2017-02-28T00:00:00-08:00 2017-02-28T00:00:00-08:00 2017-03847 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-02-28/pdf/2017-03847.pdf https://regulations.justia.com/regulations/fedreg/2017/02/28/2017-03846.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 Port-Related Fees at Rules 7015 and 7016(b) To Eliminate Prorated Billing 2017-02-28T00:00:00-08:00 2017-02-28T00:00:00-08:00 2017-03846 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-02-28/pdf/2017-03846.pdf https://regulations.justia.com/regulations/fedreg/2017/02/28/2017-03843.html Notice - Self-Regulatory Organizations; Miami International Securities Exchange LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend MIAX Options Rule 518, Complex Orders, To Establish the Complex MIAX Options Price Collar 2017-02-28T00:00:00-08:00 2017-02-28T00:00:00-08:00 2017-03843 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-02-28/pdf/2017-03843.pdf https://regulations.justia.com/regulations/fedreg/2017/02/28/2017-03804.html Notice - Self-Regulatory Organizations; NYSE MKT LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending the Eighth Amended and Restated Certificate of Incorporation of Intercontinental Exchange Holdings, Inc. and the Fifth Amended and Restated Certificate of Incorporation of NYSE Group, Inc. 2017-02-28T00:00:00-08:00 2017-02-28T00:00:00-08:00 2017-03804 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-02-28/pdf/2017-03804.pdf https://regulations.justia.com/regulations/fedreg/2017/02/27/2017-03849.html Notice - Sunshine Act Meeting 2017-02-27T00:00:00-08:00 2017-02-27T00:00:00-08:00 2017-03849 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-02-27/pdf/2017-03849.pdf https://regulations.justia.com/regulations/fedreg/2017/02/27/2017-03805.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 2017-02-27T00:00:00-08:00 2017-02-27T00:00:00-08:00 2017-03805 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-02-27/pdf/2017-03805.pdf https://regulations.justia.com/regulations/fedreg/2017/02/27/2017-03803.html Notice - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending the Eighth Amended and Restated Certificate of Incorporation of Intercontinental Exchange Holdings, Inc. and the Fifth Amended and Restated Certificate of Incorporation of NYSE Group, Inc. 2017-02-27T00:00:00-08:00 2017-02-27T00:00:00-08:00 2017-03803 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-02-27/pdf/2017-03803.pdf https://regulations.justia.com/regulations/fedreg/2017/02/27/2017-03802.html Notice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending the Eighth Amended and Restated Certificate of Incorporation of Intercontinental Exchange Holdings, Inc. and the Fifth Amended and Restated Certificate of Incorporation of NYSE Group, Inc. 2017-02-27T00:00:00-08:00 2017-02-27T00:00:00-08:00 2017-03802 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-02-27/pdf/2017-03802.pdf https://regulations.justia.com/regulations/fedreg/2017/02/27/2017-03800.html Notice - Self-Regulatory Organizations; NYSE National, Inc., Formerly National Stock Exchange, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending the Eighth Amended and Restated Certificate of Incorporation of Intercontinental Exchange Holdings, Inc. and the Fifth Amended and Restated Certificate of Incorporation of NYSE Group, Inc. 2017-02-27T00:00:00-08:00 2017-02-27T00:00:00-08:00 2017-03800 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-02-27/pdf/2017-03800.pdf https://regulations.justia.com/regulations/fedreg/2017/02/27/2017-03799.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 2017-02-27T00:00:00-08:00 2017-02-27T00:00:00-08:00 2017-03799 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-02-27/pdf/2017-03799.pdf https://regulations.justia.com/regulations/fedreg/2017/02/27/2017-03798.html Notice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Designation of a Longer Period for Commission Action on a 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 2017-02-27T00:00:00-08:00 2017-02-27T00:00:00-08:00 2017-03798 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-02-27/pdf/2017-03798.pdf https://regulations.justia.com/regulations/fedreg/2017/02/27/2017-03797.html Notice - Self-Regulatory Organizations; NYSE MKT LLC; Notice of Designation of Longer Period for Commission Action on Proceedings To Determine Whether To Approve or Disapprove a Proposed Rule Change, as Modified by Amendment Nos. 1-4, To Amend the Co-location Services Offered by the Exchange To Add Certain Access and Connectivity Fees 2017-02-27T00:00:00-08:00 2017-02-27T00:00:00-08:00 2017-03797 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-02-27/pdf/2017-03797.pdf https://regulations.justia.com/regulations/fedreg/2017/02/27/2017-03796.html Notice - Self-Regulatory Organizations; NYSE Arca, Inc; Notice of Designation of Longer Period for Commission Action on Proceedings To Determine Whether To Approve or Disapprove a Proposed Rule Change, as Modified by Amendment Nos. 1-4, To Amend the Co-location Services Offered by the Exchange To Add Certain Access and Connectivity Fees 2017-02-27T00:00:00-08:00 2017-02-27T00:00:00-08:00 2017-03796 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-02-27/pdf/2017-03796.pdf https://regulations.justia.com/regulations/fedreg/2017/02/27/2017-03773.html Notice - Proposed Collection; Comment Request 2017-02-27T00:00:00-08:00 2017-02-27T00:00:00-08:00 2017-03773 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-02-27/pdf/2017-03773.pdf https://regulations.justia.com/regulations/fedreg/2017/02/27/2017-03772.html Notice - Submission for OMB Review; Comment Request 2017-02-27T00:00:00-08:00 2017-02-27T00:00:00-08:00 2017-03772 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-02-27/pdf/2017-03772.pdf https://regulations.justia.com/regulations/fedreg/2017/02/27/2017-03742.html Notice - Morgan Stanley ETF Trust, et al.; Notice of Application 2017-02-27T00:00:00-08:00 2017-02-27T00:00:00-08:00 2017-03742 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-02-27/pdf/2017-03742.pdf https://regulations.justia.com/regulations/fedreg/2017/02/27/2017-03741.html Notice - The RBB Fund, Inc. and Altair Advisers LLC; Notice of Application 2017-02-27T00:00:00-08:00 2017-02-27T00:00:00-08:00 2017-03741 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-02-27/pdf/2017-03741.pdf https://regulations.justia.com/regulations/fedreg/2017/02/27/2017-03731.html Notice - Self-Regulatory Organizations; ICE Clear Europe Limited; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to Certain Charges and Rates of Return Applicable to Margin and Guaranty Fund Deposits 2017-02-27T00:00:00-08:00 2017-02-27T00:00:00-08:00 2017-03731 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-02-27/pdf/2017-03731.pdf https://regulations.justia.com/regulations/fedreg/2017/02/27/2017-03730.html Notice - Self-Regulatory Organizations; International Securities Exchange, LLC; Notice of Filing of Proposed Rule Change To Amend Various Rules in Connection With a System Migration to Nasdaq INET Technology 2017-02-27T00:00:00-08:00 2017-02-27T00:00:00-08:00 2017-03730 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-02-27/pdf/2017-03730.pdf https://regulations.justia.com/regulations/fedreg/2017/02/27/2017-03729.html Notice - Self-Regulatory Organizations; NASDAQ PHLX LLC; Notice of Filing of Amendment No. 1 and Order Granting Accelerated Approval of Proposed Rule Change, as Modified by Amendment No. 1, To Amend Rules 501, 507, 508, 510, and 511 of the Exchange 2017-02-27T00:00:00-08:00 2017-02-27T00:00:00-08:00 2017-03729 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-02-27/pdf/2017-03729.pdf https://regulations.justia.com/regulations/fedreg/2017/02/27/2017-03728.html Notice - Self-Regulatory Organizations; NYSE MKT LLC; Notice of Filing of Proposed Rule Change To Amend Rule 925.1NY Regarding Market Maker Quotations, Including To Adopt a Market Maker Light Only Quotation 2017-02-27T00:00:00-08:00 2017-02-27T00:00:00-08:00 2017-03728 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-02-27/pdf/2017-03728.pdf https://regulations.justia.com/regulations/fedreg/2017/02/27/2017-03727.html Notice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing of Proposed Rule Change To Amend Rule 6.37B Regarding Market Maker Quotations 2017-02-27T00:00:00-08:00 2017-02-27T00:00:00-08:00 2017-03727 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-02-27/pdf/2017-03727.pdf https://regulations.justia.com/regulations/fedreg/2017/02/24/2017-03732.html Notice - Sunshine Act Meeting 2017-02-24T00:00:00-08:00 2017-02-24T00:00:00-08:00 2017-03732 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-02-24/pdf/2017-03732.pdf https://regulations.justia.com/regulations/fedreg/2017/02/24/2017-03576.html Notice - Self-Regulatory Organizations; NASDAQ PHLX LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend PIXL pricing 2017-02-24T00:00:00-08:00 2017-02-24T00:00:00-08:00 2017-03576 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-02-24/pdf/2017-03576.pdf https://regulations.justia.com/regulations/fedreg/2017/02/24/2017-03575.html Notice - Self-Regulatory Organizations; Miami International Securities Exchange LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Its Fee Schedule To Clarify Its Fees Relating to the MIAX Express Network Interconnect (“MENI”) 2017-02-24T00:00:00-08:00 2017-02-24T00:00:00-08:00 2017-03575 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-02-24/pdf/2017-03575.pdf https://regulations.justia.com/regulations/fedreg/2017/02/24/2017-03574.html Notice - Self-Regulatory Organizations; MIAX PEARL, LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Establish the MIAX PEARL Fee Schedule 2017-02-24T00:00:00-08:00 2017-02-24T00:00:00-08:00 2017-03574 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-02-24/pdf/2017-03574.pdf https://regulations.justia.com/regulations/fedreg/2017/02/24/2017-03573.html Notice - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Order Approving a Proposed Rule Change Related to a Change to the Trading Symbol for P.M.-Settled Options on the Standard & Poor's 500 Index 2017-02-24T00:00:00-08:00 2017-02-24T00:00:00-08:00 2017-03573 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-02-24/pdf/2017-03573.pdf https://regulations.justia.com/regulations/fedreg/2017/02/24/2017-03572.html Notice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Rules 6.62, 6.73 and Make a Conforming Change to Rule 6.47A 2017-02-24T00:00:00-08:00 2017-02-24T00:00:00-08:00 2017-03572 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-02-24/pdf/2017-03572.pdf https://regulations.justia.com/regulations/fedreg/2017/02/23/2017-03476.html Notice - Blackstone Alternative Investment Funds and Blackstone Alternative Investment Advisors LLC; Notice of Application 2017-02-23T00:00:00-08:00 2017-02-23T00:00:00-08:00 2017-03476 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-02-23/pdf/2017-03476.pdf https://regulations.justia.com/regulations/fedreg/2017/02/23/2017-03459.html Notice - Self-Regulatory Organizations; Bats BZX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Its Option Regulatory Fees as They Relate to the Equity Options Platform 2017-02-23T00:00:00-08:00 2017-02-23T00:00:00-08:00 2017-03459 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-02-23/pdf/2017-03459.pdf https://regulations.justia.com/regulations/fedreg/2017/02/22/2017-03461.html Notice - Self-Regulatory Organizations; NASDAQ BX, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Increase the BX Options Market Port Fees and Institute a Fee Cap at Chapter XV Section 3 2017-02-22T00:00:00-08:00 2017-02-22T00:00:00-08:00 2017-03461 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-02-22/pdf/2017-03461.pdf https://regulations.justia.com/regulations/fedreg/2017/02/22/2017-03460.html Notice - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Rules 7014 and 7018 2017-02-22T00:00:00-08:00 2017-02-22T00:00:00-08:00 2017-03460 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-02-22/pdf/2017-03460.pdf https://regulations.justia.com/regulations/fedreg/2017/02/22/2017-03425.html Notice - Proposed Collection; Comment Request 2017-02-22T00:00:00-08:00 2017-02-22T00:00:00-08:00 2017-03425 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-02-22/pdf/2017-03425.pdf https://regulations.justia.com/regulations/fedreg/2017/02/22/2017-03424.html Notice - Proposed Collection; Comment Request 2017-02-22T00:00:00-08:00 2017-02-22T00:00:00-08:00 2017-03424 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-02-22/pdf/2017-03424.pdf https://regulations.justia.com/regulations/fedreg/2017/02/22/2017-03423.html Notice - Proposed Collection; Comment Request 2017-02-22T00:00:00-08:00 2017-02-22T00:00:00-08:00 2017-03423 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-02-22/pdf/2017-03423.pdf https://regulations.justia.com/regulations/fedreg/2017/02/22/2017-03422.html Notice - Proposed Collection; Comment Request 2017-02-22T00:00:00-08:00 2017-02-22T00:00:00-08:00 2017-03422 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-02-22/pdf/2017-03422.pdf https://regulations.justia.com/regulations/fedreg/2017/02/22/2017-03421.html Notice - Proposed Collection; Comment Request 2017-02-22T00:00:00-08:00 2017-02-22T00:00:00-08:00 2017-03421 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-02-22/pdf/2017-03421.pdf https://regulations.justia.com/regulations/fedreg/2017/02/22/2017-03401.html Notice - Self-Regulatory Organizations; NASDAQ BX, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Extend the Implementation Date of Its Functionality Relating to Post-Only Orders and Orders With Midpoint Pegging, and Its Trade-Now Functionality 2017-02-22T00:00:00-08:00 2017-02-22T00:00:00-08:00 2017-03401 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-02-22/pdf/2017-03401.pdf https://regulations.justia.com/regulations/fedreg/2017/02/22/2017-03400.html Notice - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Extend the Implementation Date of Its Functionality Relating to Post-Only Orders and Orders With Midpoint Pegging, and Its Trade-Now Functionality 2017-02-22T00:00:00-08:00 2017-02-22T00:00:00-08:00 2017-03400 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-02-22/pdf/2017-03400.pdf https://regulations.justia.com/regulations/fedreg/2017/02/22/2017-03399.html Notice - Self-Regulatory Organizations; New York Stock Exchange LLC; Order Instituting Proceedings To Determine Whether To Approve or Disapprove a Proposed Rule Change Amending Rule 104 To Delete Subsection (g)(i)(A)(III) Prohibiting Designated Market Makers From Establishing a New High (Low) Price on the Exchange in a Security the DMM Has a Long (Short) Position During the Last Ten Minutes Prior to the Close of Trading 2017-02-22T00:00:00-08:00 2017-02-22T00:00:00-08:00 2017-03399 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-02-22/pdf/2017-03399.pdf https://regulations.justia.com/regulations/fedreg/2017/02/22/2017-03398.html Notice - Self-Regulatory Organizations; NYSE MKT LLC; Order Instituting Proceedings To Determine Whether To Approve or Disapprove a Proposed Rule Change Amending Rule 104-Equities To Delete Subsection (g)(i)(A)(III) Prohibiting Designated Market Makers From Establishing a New High (Low) Price on the Exchange in a Security the DMM Has a Long (Short) Position During the Last Ten Minutes Prior to the Close of Trading 2017-02-22T00:00:00-08:00 2017-02-22T00:00:00-08:00 2017-03398 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-02-22/pdf/2017-03398.pdf https://regulations.justia.com/regulations/fedreg/2017/02/22/2017-03395.html Notice - Proposed Collection; Comment Request 2017-02-22T00:00:00-08:00 2017-02-22T00:00:00-08:00 2017-03395 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-02-22/pdf/2017-03395.pdf https://regulations.justia.com/regulations/fedreg/2017/02/22/2017-03394.html Notice - Proposed Collection; Comment Request 2017-02-22T00:00:00-08:00 2017-02-22T00:00:00-08:00 2017-03394 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-02-22/pdf/2017-03394.pdf https://regulations.justia.com/regulations/fedreg/2017/02/22/2017-03393.html Notice - Proposed Collection; Comment Request 2017-02-22T00:00:00-08:00 2017-02-22T00:00:00-08:00 2017-03393 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-02-22/pdf/2017-03393.pdf https://regulations.justia.com/regulations/fedreg/2017/02/22/2017-03392.html Notice - Proposed Collection; Comment Request 2017-02-22T00:00:00-08:00 2017-02-22T00:00:00-08:00 2017-03392 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-02-22/pdf/2017-03392.pdf https://regulations.justia.com/regulations/fedreg/2017/02/21/2017-03302.html Notice - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Filing of a Proposed Rule Change Related to Rule 24.9(e) 2017-02-21T00:00:00-08:00 2017-02-21T00:00:00-08:00 2017-03302 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-02-21/pdf/2017-03302.pdf https://regulations.justia.com/regulations/fedreg/2017/02/21/2017-03301.html Notice - Self-Regulatory Organizations; Bats BZX Exchange, Inc.; Notice of Filing of a Proposed Rule Change To List and Trade Shares of the iShares iBonds Dec 2024 AMT-Free Muni Bond ETF, iShares iBonds Dec 2025 AMT-Free Muni Bond ETF, and iShares iBonds Dec 2026 AMT-Free Muni Bond ETF of the iShares U.S. ETF Trust Under Bats Rule 14.11(i), Managed Fund Shares 2017-02-21T00:00:00-08:00 2017-02-21T00:00:00-08:00 2017-03301 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-02-21/pdf/2017-03301.pdf https://regulations.justia.com/regulations/fedreg/2017/02/21/2017-03300.html Notice - Self-Regulatory Organizations; MIAX PEARL, LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the MIAX PEARL Fee Schedule To Establish an Options Regulatory Fee (“ORF”) 2017-02-21T00:00:00-08:00 2017-02-21T00:00:00-08:00 2017-03300 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-02-21/pdf/2017-03300.pdf https://regulations.justia.com/regulations/fedreg/2017/02/21/2017-03299.html Notice - Self-Regulatory Organizations; Bats EDGX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Fees for Use of Use of the Exchange's Equities Platform 2017-02-21T00:00:00-08:00 2017-02-21T00:00:00-08:00 2017-03299 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-02-21/pdf/2017-03299.pdf https://regulations.justia.com/regulations/fedreg/2017/02/21/2017-03298.html Notice - Brinker Capital Destinations Trust, et al.; Notice of Application 2017-02-21T00:00:00-08:00 2017-02-21T00:00:00-08:00 2017-03298 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-02-21/pdf/2017-03298.pdf https://regulations.justia.com/regulations/fedreg/2017/02/21/2017-03297.html Notice - Brinker Capital Destinations Trust, et al.; Notice of Application 2017-02-21T00:00:00-08:00 2017-02-21T00:00:00-08:00 2017-03297 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-02-21/pdf/2017-03297.pdf https://regulations.justia.com/regulations/fedreg/2017/02/21/2017-03296.html Notice - Self-Regulatory Organizations; Chicago Stock Exchange, Inc.; Notice of Filing of Proposed Rule Change To Adopt the CHX Liquidity Enhancing Access Delay 2017-02-21T00:00:00-08:00 2017-02-21T00:00:00-08:00 2017-03296 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-02-21/pdf/2017-03296.pdf https://regulations.justia.com/regulations/fedreg/2017/02/21/2017-03295.html Notice - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Order Granting Approval of a Proposed Rule Change, as Modified by Amendment No. 1, Related to the Nullification and Adjustment of Options Transactions 2017-02-21T00:00:00-08:00 2017-02-21T00:00:00-08:00 2017-03295 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-02-21/pdf/2017-03295.pdf https://regulations.justia.com/regulations/fedreg/2017/02/17/2017-03184.html Notice - General Electric Company and GE Capital International Holdings Limited; Notice of Application 2017-02-17T00:00:00-08:00 2017-02-17T00:00:00-08:00 2017-03184 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-02-17/pdf/2017-03184.pdf https://regulations.justia.com/regulations/fedreg/2017/02/17/2017-03183.html Notice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the NYSE Arca Equities Schedule of Fees and Charges for Exchange Services 2017-02-17T00:00:00-08:00 2017-02-17T00:00:00-08:00 2017-03183 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-02-17/pdf/2017-03183.pdf https://regulations.justia.com/regulations/fedreg/2017/02/17/2017-03182.html Notice - Self-Regulatory Organizations; C2 Options Exchange, Incorporated; Notice of Filing and Immediate Effectiveness of a Proposed Rule To Amend the Fees Schedule 2017-02-17T00:00:00-08:00 2017-02-17T00:00:00-08:00 2017-03182 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-02-17/pdf/2017-03182.pdf https://regulations.justia.com/regulations/fedreg/2017/02/17/2017-03181.html Notice - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Section 902.02 of the New York Stock Exchange LLC Listed Company Manual To Waive the First Partial Year's Annual Fees for Companies Transferring From Other Exchanges 2017-02-17T00:00:00-08:00 2017-02-17T00:00:00-08:00 2017-03181 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-02-17/pdf/2017-03181.pdf https://regulations.justia.com/regulations/fedreg/2017/02/17/2017-03180.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 2017-02-17T00:00:00-08:00 2017-02-17T00:00:00-08:00 2017-03180 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-02-17/pdf/2017-03180.pdf https://regulations.justia.com/regulations/fedreg/2017/02/17/2017-03179.html Notice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing of Proposed Rule Change Regarding Investments of the Janus Short Duration Income ETF Under NYSE Arca Equities Rule 8.600 2017-02-17T00:00:00-08:00 2017-02-17T00:00:00-08:00 2017-03179 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-02-17/pdf/2017-03179.pdf https://regulations.justia.com/regulations/fedreg/2017/02/17/2017-03178.html Notice - Self-Regulatory Organizations; Bats EDGX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Adopt Option Regulatory Fees as They Relate to the Equity Options Platform 2017-02-17T00:00:00-08:00 2017-02-17T00:00:00-08:00 2017-03178 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-02-17/pdf/2017-03178.pdf https://regulations.justia.com/regulations/fedreg/2017/02/16/2017-03122.html Notice - Investor Advisory Committee Meeting 2017-02-16T00:00:00-08:00 2017-02-16T00:00:00-08:00 2017-03122 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-02-16/pdf/2017-03122.pdf https://regulations.justia.com/regulations/fedreg/2017/02/16/2017-03111.html Notice - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Designation of a Longer Period for Commission Action on Proposed Rule Change Amending Its Listing Standards for Special Purpose Acquisition Companies 2017-02-16T00:00:00-08:00 2017-02-16T00:00:00-08:00 2017-03111 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-02-16/pdf/2017-03111.pdf https://regulations.justia.com/regulations/fedreg/2017/02/16/2017-03110.html Notice - Self-Regulatory Organizations; New York Stock Exchange LLC; 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 for Most Broker-Dealer Transactions From Three Business Days After the Trade Date (“T+3”) to Two Business Days After the Trade Date (“T+2”) 2017-02-16T00:00:00-08:00 2017-02-16T00:00:00-08:00 2017-03110 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-02-16/pdf/2017-03110.pdf https://regulations.justia.com/regulations/fedreg/2017/02/16/2017-03109.html Notice - Self-Regulatory Organizations; NYSE MKT LLC; 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 for Most Broker-Dealer Transactions From Three Business Days After the Trade Date (“T+3”) to Two Business Days After the Trade Date (“T+2”) 2017-02-16T00:00:00-08:00 2017-02-16T00:00:00-08:00 2017-03109 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-02-16/pdf/2017-03109.pdf https://regulations.justia.com/regulations/fedreg/2017/02/16/2017-03108.html Notice - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing of Proposed Rule Change Amending Rule 98 2017-02-16T00:00:00-08:00 2017-02-16T00:00:00-08:00 2017-03108 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-02-16/pdf/2017-03108.pdf https://regulations.justia.com/regulations/fedreg/2017/02/16/2017-03107.html Notice - Self-Regulatory Organizations; NYSE National, Inc., Formerly National Stock Exchange, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Rule 11.1, Hours of Trading, Interpretations and Policies .01, To Cease Trading on the Exchange's System as of February 1, 2017 2017-02-16T00:00:00-08:00 2017-02-16T00:00:00-08:00 2017-03107 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-02-16/pdf/2017-03107.pdf https://regulations.justia.com/regulations/fedreg/2017/02/16/2017-03106.html Notice - Self-Regulatory Organizations; Bats BZX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Related to Fees for Use on Bats BZX Exchange, Inc. Adding NBBO Setter Tiers 2017-02-16T00:00:00-08:00 2017-02-16T00:00:00-08:00 2017-03106 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-02-16/pdf/2017-03106.pdf https://regulations.justia.com/regulations/fedreg/2017/02/16/2017-03105.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 7026 2017-02-16T00:00:00-08:00 2017-02-16T00:00:00-08:00 2017-03105 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-02-16/pdf/2017-03105.pdf https://regulations.justia.com/regulations/fedreg/2017/02/16/2017-03104.html Notice - Self-Regulatory Organizations; ISE Gemini, LLC; Order Approving Proposed Rule Change, as Modified by Amendment No. 1, To Amend the Exchange Opening Process 2017-02-16T00:00:00-08:00 2017-02-16T00:00:00-08:00 2017-03104 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-02-16/pdf/2017-03104.pdf https://regulations.justia.com/regulations/fedreg/2017/02/16/2017-03103.html Notice - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; 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 to Two Business Days After the Trade Date 2017-02-16T00:00:00-08:00 2017-02-16T00:00:00-08:00 2017-03103 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-02-16/pdf/2017-03103.pdf https://regulations.justia.com/regulations/fedreg/2017/02/16/2017-03102.html Notice - Self-Regulatory Organizations; Bats BZX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Related To Fees as They Relate to the Equities Options Platform 2017-02-16T00:00:00-08:00 2017-02-16T00:00:00-08:00 2017-03102 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-02-16/pdf/2017-03102.pdf https://regulations.justia.com/regulations/fedreg/2017/02/16/2017-03101.html Notice - Self-Regulatory Organizations; ISE Gemini, LLC; Order Approving Proposed Rule Change, as Modified by Amendment Nos. 1 and 2, To Amend Various Rules in Connection With a System Migration to Nasdaq INET Technology 2017-02-16T00:00:00-08:00 2017-02-16T00:00:00-08:00 2017-03101 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-02-16/pdf/2017-03101.pdf https://regulations.justia.com/regulations/fedreg/2017/02/16/2017-03100.html Notice - Self-Regulatory Organizations; International Securities Exchange, LLC; Order Approving Proposed Rule Change To Amend the Supplementary Material to ISE Rule 1901 2017-02-16T00:00:00-08:00 2017-02-16T00:00:00-08:00 2017-03100 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-02-16/pdf/2017-03100.pdf https://regulations.justia.com/regulations/fedreg/2017/02/16/2017-03099.html Notice - Self-Regulatory Organizations; NASDAQ PHLX LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Sections I and II of the Pricing Schedule 2017-02-16T00:00:00-08:00 2017-02-16T00:00:00-08:00 2017-03099 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-02-16/pdf/2017-03099.pdf https://regulations.justia.com/regulations/fedreg/2017/02/16/2017-03098.html Notice - Self-Regulatory Organizations; NASDAQ PHLX LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the Market Access and Routing Subsidy 2017-02-16T00:00:00-08:00 2017-02-16T00:00:00-08:00 2017-03098 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-02-16/pdf/2017-03098.pdf https://regulations.justia.com/regulations/fedreg/2017/02/15/2017-03121.html Rule - Exemptions for Security-Based Swaps 2017-02-15T00:00:00-08:00 2017-02-15T00:00:00-08:00 2017-03121 Rule https://www.gpo.gov/fdsys/pkg/FR-2017-02-15/pdf/2017-03121.pdf https://regulations.justia.com/regulations/fedreg/2017/02/15/2017-02998.html Notice - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Order Granting Approval of a Proposed Rule Change To Amend FINRA Rules To Conform to the Commission's Proposed Amendment to Commission Rule 15c6-1(a) and the Industry-Led Initiative To Shorten the Standard Settlement Cycle for Most Broker-Dealer Transactions From T+3 to T+2 2017-02-15T00:00:00-08:00 2017-02-15T00:00:00-08:00 2017-02998 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-02-15/pdf/2017-02998.pdf https://regulations.justia.com/regulations/fedreg/2017/02/15/2017-02997.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 2017-02-15T00:00:00-08:00 2017-02-15T00:00:00-08:00 2017-02997 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-02-15/pdf/2017-02997.pdf https://regulations.justia.com/regulations/fedreg/2017/02/15/2017-02996.html Notice - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Designation of Longer Period for Commission Action on Proceedings To Determine Whether To Approve or Disapprove a Proposed Rule Change, as Modified by Amendment Nos. 1-4, To Amend the Co-Location Services Offered by the Exchange To Add Certain Access and Connectivity Fees 2017-02-15T00:00:00-08:00 2017-02-15T00:00:00-08:00 2017-02996 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-02-15/pdf/2017-02996.pdf https://regulations.justia.com/regulations/fedreg/2017/02/15/2017-02995.html Notice - Self-Regulatory Organizations; ICE Clear Europe Limited; Notice of Filing of Proposed Rule Change To Revise the ICE Clear Europe Clearing Rules Relating to the Application of Default Provisions in the Event of a Resolution Proceeding 2017-02-15T00:00:00-08:00 2017-02-15T00:00:00-08:00 2017-02995 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-02-15/pdf/2017-02995.pdf https://regulations.justia.com/regulations/fedreg/2017/02/15/2017-02994.html Notice - Self-Regulatory Organizations; NYSE MKT LLC; Notice of Filing of Proposed Rule Change Amending Rules 7.29E and 1.1E To Provide for a Delay Mechanism 2017-02-15T00:00:00-08:00 2017-02-15T00:00:00-08:00 2017-02994 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-02-15/pdf/2017-02994.pdf https://regulations.justia.com/regulations/fedreg/2017/02/15/2017-02993.html Notice - Self-Regulatory Organizations; NASDAQ BX, Inc.; The Nasdaq Stock Market LLC; NASDAQ PHLX LLC; Order Granting Approval of Proposed Rule Changes, as Modified by Amendment No. 1s, To Accept Orders Routed Inbound From the International Stock Exchange, LLC, ISE Gemini, LLC, and ISE Mercury, LLC, by Nasdaq Execution Services, LLC 2017-02-15T00:00:00-08:00 2017-02-15T00:00:00-08:00 2017-02993 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-02-15/pdf/2017-02993.pdf https://regulations.justia.com/regulations/fedreg/2017/02/15/2017-02992.html Notice - Self-Regulatory Organizations; ISE Gemini, LLC; ISE Mercury, LLC; Order Granting Approval of Proposed Rule Changes, as Modified by Amendment Nos. 1 and 2 Thereto, To Permit Nasdaq Execution Services, LLC To Become an Affiliated Member of Each Exchange To Perform Certain Routing and Other Functions 2017-02-15T00:00:00-08:00 2017-02-15T00:00:00-08:00 2017-02992 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-02-15/pdf/2017-02992.pdf https://regulations.justia.com/regulations/fedreg/2017/02/15/2017-02991.html Notice - Self-Regulatory Organizations; International Securities Exchange, LLC; Order Granting Approval of Proposed Rule Change, as Modified by Amendment No. 1 Thereto, To Amend the Exchange's Rules Regarding Routing of Orders, Cancellation of Orders, and Handling of Error Positions, and Permit Nasdaq Execution Services, LLC To Become an Affiliated Member of the Exchange To Perform Certain Routing and Other Functions 2017-02-15T00:00:00-08:00 2017-02-15T00:00:00-08:00 2017-02991 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-02-15/pdf/2017-02991.pdf https://regulations.justia.com/regulations/fedreg/2017/02/15/2017-02990.html Notice - Self-Regulatory Organizations; NYSE MKT LLC; Notice of Filing of Proposed Rule Change To Adopt New Equities Trading Rules To Transition Trading on the Exchange From a Floor Based Market With a Parity Allocation Model to Fully Automated Price-Time Priority Model on the Exchange's New Trading Technology Platform, Pillar 2017-02-15T00:00:00-08:00 2017-02-15T00:00:00-08:00 2017-02990 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-02-15/pdf/2017-02990.pdf https://regulations.justia.com/regulations/fedreg/2017/02/15/2017-02976.html Notice - Submission for OMB Review; Comment Request 2017-02-15T00:00:00-08:00 2017-02-15T00:00:00-08:00 2017-02976 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-02-15/pdf/2017-02976.pdf https://regulations.justia.com/regulations/fedreg/2017/02/15/2017-02975.html Notice - Submission for OMB Review; Comment Request 2017-02-15T00:00:00-08:00 2017-02-15T00:00:00-08:00 2017-02975 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-02-15/pdf/2017-02975.pdf https://regulations.justia.com/regulations/fedreg/2017/02/15/2017-02974.html Notice - Submission for OMB Review; Comment Request 2017-02-15T00:00:00-08:00 2017-02-15T00:00:00-08:00 2017-02974 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-02-15/pdf/2017-02974.pdf https://regulations.justia.com/regulations/fedreg/2017/02/15/2017-02973.html Notice - USAA Asset Management Company, et al.; Notice of Application 2017-02-15T00:00:00-08:00 2017-02-15T00:00:00-08:00 2017-02973 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-02-15/pdf/2017-02973.pdf https://regulations.justia.com/regulations/fedreg/2017/02/14/2017-03006.html Notice - Sunshine Act Meeting 2017-02-14T00:00:00-08:00 2017-02-14T00:00:00-08:00 2017-03006 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-02-14/pdf/2017-03006.pdf https://regulations.justia.com/regulations/fedreg/2017/02/14/2017-02933.html Notice - Submission for OMB Review; Comment Request 2017-02-14T00:00:00-08:00 2017-02-14T00:00:00-08:00 2017-02933 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-02-14/pdf/2017-02933.pdf https://regulations.justia.com/regulations/fedreg/2017/02/14/2017-02932.html Notice - Equity Market Structure Advisory Committee 2017-02-14T00:00:00-08:00 2017-02-14T00:00:00-08:00 2017-02932 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-02-14/pdf/2017-02932.pdf https://regulations.justia.com/regulations/fedreg/2017/02/14/2017-02910.html Notice - Self-Regulatory Organizations; Bats BZX Exchange, Inc.; Notice of Filing of a Proposed Rule Change To List and Trade Under BZX Rule 14.11(c)(4) the Shares of the VanEck Vectors AMT-Free National Municipal Index ETF of VanEck Vectors ETF Trust 2017-02-14T00:00:00-08:00 2017-02-14T00:00:00-08:00 2017-02910 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-02-14/pdf/2017-02910.pdf https://regulations.justia.com/regulations/fedreg/2017/02/14/2017-02909.html Notice - Self-Regulatory Organizations; ICE Clear Credit LLC; Notice of Proposed Rule Change, Security-Based Swap Submission, or Advance Notice Relating to ICC's Liquidity Thresholds for Euro Denominated Products 2017-02-14T00:00:00-08:00 2017-02-14T00:00:00-08:00 2017-02909 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-02-14/pdf/2017-02909.pdf https://regulations.justia.com/regulations/fedreg/2017/02/13/2017-02839.html Notice - Self-Regulatory Organizations; Chicago Stock Exchange, Inc.; Notice of Withdrawal of a Proposed Rule Change To Adopt the CHX Liquidity Taking Access Delay 2017-02-13T00:00:00-08:00 2017-02-13T00:00:00-08:00 2017-02839 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-02-13/pdf/2017-02839.pdf https://regulations.justia.com/regulations/fedreg/2017/02/13/2017-02838.html Notice - Self-Regulatory Organizations; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change by Miami International Securities Exchange LLC To Amend Its Fee Schedule To Modify Its Market Maker and Other Market Participant Transaction Fees 2017-02-13T00:00:00-08:00 2017-02-13T00:00:00-08:00 2017-02838 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-02-13/pdf/2017-02838.pdf https://regulations.justia.com/regulations/fedreg/2017/02/13/2017-02837.html Notice - Self-Regulatory Organizations; NYSE MKT LLC; Notice of Filing of Proposed Rule Change Relating to Market Makers Applicable When the Exchange Transitions Trading to Pillar, the Exchange's New Trading Technology Platform 2017-02-13T00:00:00-08:00 2017-02-13T00:00:00-08:00 2017-02837 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-02-13/pdf/2017-02837.pdf https://regulations.justia.com/regulations/fedreg/2017/02/13/2017-02836.html Notice - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to Allocation and Priority Rules 2017-02-13T00:00:00-08:00 2017-02-13T00:00:00-08:00 2017-02836 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-02-13/pdf/2017-02836.pdf https://regulations.justia.com/regulations/fedreg/2017/02/13/2017-02835.html Notice - NorthStar/Townsend Institutional Real Estate Fund Inc., et al.; Notice of Application 2017-02-13T00:00:00-08:00 2017-02-13T00:00:00-08:00 2017-02835 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-02-13/pdf/2017-02835.pdf https://regulations.justia.com/regulations/fedreg/2017/02/13/2017-02834.html Notice - StrongVest ETF Trust, et al.; Notice of Application 2017-02-13T00:00:00-08:00 2017-02-13T00:00:00-08:00 2017-02834 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-02-13/pdf/2017-02834.pdf https://regulations.justia.com/regulations/fedreg/2017/02/10/2017-02906.html Notice - Sunshine Act Meeting 2017-02-10T00:00:00-08:00 2017-02-10T00:00:00-08:00 2017-02906 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-02-10/pdf/2017-02906.pdf https://regulations.justia.com/regulations/fedreg/2017/02/10/2017-02739.html Notice - Program for Allocation of Regulatory Responsibilities Pursuant to Rule 17d-2; Order Approving and Declaring Effective a Proposed Amended Plan for the Allocation of Regulatory Responsibilities Among the Financial Industry Regulatory Authority, Inc., Miami International Securities Exchange, LLC, and MIAX PEARL, LLC 2017-02-10T00:00:00-08:00 2017-02-10T00:00:00-08:00 2017-02739 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-02-10/pdf/2017-02739.pdf https://regulations.justia.com/regulations/fedreg/2017/02/10/2017-02736.html Notice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Certain Rules Related to Flexible Exchange Options 2017-02-10T00:00:00-08:00 2017-02-10T00:00:00-08:00 2017-02736 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-02-10/pdf/2017-02736.pdf https://regulations.justia.com/regulations/fedreg/2017/02/10/2017-02735.html Notice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend NYSE Arca Equities Rule 5.2(j)(6)(v) To Add the EURO STOXX 50 Volatility Futures to the Definition of Futures Reference Asset 2017-02-10T00:00:00-08:00 2017-02-10T00:00:00-08:00 2017-02735 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-02-10/pdf/2017-02735.pdf 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 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 https://regulations.justia.com/regulations/fedreg/2017/02/07/2017-02531.html Notice - Sunshine Act Meeting 2017-02-07T00:00:00-08:00 2017-02-07T00:00:00-08:00 2017-02531 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-02-07/pdf/2017-02531.pdf https://regulations.justia.com/regulations/fedreg/2017/02/07/2017-02445.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 ProShares UltraPro 3x Crude Oil ETF and ProShares UltraPro 3x Short Crude Oil ETF Under NYSE Arca Equities Rule 8.200 2017-02-07T00:00:00-08:00 2017-02-07T00:00:00-08:00 2017-02445 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-02-07/pdf/2017-02445.pdf https://regulations.justia.com/regulations/fedreg/2017/02/07/2017-02444.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 Direxion Daily Crude Oil Bull 3x Shares and Direxion Daily Crude Oil Bear 3x Shares Under NYSE Arca Equities Rule 8.200 2017-02-07T00:00:00-08:00 2017-02-07T00:00:00-08:00 2017-02444 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-02-07/pdf/2017-02444.pdf https://regulations.justia.com/regulations/fedreg/2017/02/07/2017-02443.html Notice - Self-Regulatory Organizations; The Options Clearing Corporation; Notice of Filing of Advance Notice Concerning The Options Clearing Corporation's Margin Coverage During Times of Increased Volatility 2017-02-07T00:00:00-08:00 2017-02-07T00:00:00-08:00 2017-02443 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-02-07/pdf/2017-02443.pdf https://regulations.justia.com/regulations/fedreg/2017/02/07/2017-02442.html Notice - Self-Regulatory Organizations; NYSE Arca, Inc.; Order Instituting Proceedings To Determine Whether To Approve or Disapprove a Proposed Rule Change, as Modified by Amendment No. 1, To List and Trade Shares of the ForceShares Daily 4X US Market Futures Long Fund and ForceShares Daily 4X US Market Futures Short Fund Under Commentary .02 to NYSE Arca Equities Rule 8.200 2017-02-07T00:00:00-08:00 2017-02-07T00:00:00-08:00 2017-02442 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-02-07/pdf/2017-02442.pdf https://regulations.justia.com/regulations/fedreg/2017/02/07/2017-02441.html Notice - Self-Regulatory Organizations; MIAX PEARL, LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Establish MIAX PEARL Top of Market (“ToM”) and MIAX PEARL Liquidity Feed (“PLF”) Data Products 2017-02-07T00:00:00-08:00 2017-02-07T00:00:00-08:00 2017-02441 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-02-07/pdf/2017-02441.pdf https://regulations.justia.com/regulations/fedreg/2017/02/06/2017-02413.html Notice - Order Regarding Review of FASB Accounting Support Fee for 2017 Under Section 109 of The Sarbanes-Oxley Act of 2002 2017-02-06T00:00:00-08:00 2017-02-06T00:00:00-08:00 2017-02413 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-02-06/pdf/2017-02413.pdf https://regulations.justia.com/regulations/fedreg/2017/02/06/2017-02379.html Notice - Self-Regulatory Organizations; NYSE MKT LLC; Notice of Filing of Proposed Rule Change, as Modified by Amendment No. 1, To Adopt the Rule 6800 Series To Implement the Compliance Rule Regarding the National Market System Plan Governing the Consolidated Audit Trail 2017-02-06T00:00:00-08:00 2017-02-06T00:00:00-08:00 2017-02379 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-02-06/pdf/2017-02379.pdf https://regulations.justia.com/regulations/fedreg/2017/02/06/2017-02378.html Notice - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Designation of a Longer Period for Commission Action on a Proposed Rule Change Related to Rules Regarding the Responsibility for Ensuring Compliance With Open Outcry Priority and Allocation Requirements and Trade-Through Prohibitions 2017-02-06T00:00:00-08:00 2017-02-06T00:00:00-08:00 2017-02378 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-02-06/pdf/2017-02378.pdf https://regulations.justia.com/regulations/fedreg/2017/02/06/2017-02377.html Notice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing of Proposed Rule Change, as Modified by Amendment No. 1, To Adopt the Rule 11.6800 Series To Implement the Compliance Rule Regarding the National Market System Plan Governing the Consolidated Audit Trail 2017-02-06T00:00:00-08:00 2017-02-06T00:00:00-08:00 2017-02377 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-02-06/pdf/2017-02377.pdf https://regulations.justia.com/regulations/fedreg/2017/02/06/2017-02376.html Notice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing of Proposed Rule Change, as Modified by Amendment No. 1, To Adopt the Rule 6.6800 Series To Implement the Compliance Rule Regarding the National Market System Plan Governing the Consolidated Audit Trail 2017-02-06T00:00:00-08:00 2017-02-06T00:00:00-08:00 2017-02376 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-02-06/pdf/2017-02376.pdf https://regulations.justia.com/regulations/fedreg/2017/02/06/2017-02375.html Notice - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing of Proposed Rule Change, as Modified by Amendment No. 1, To Adopt the Rule 6800 Series To Implement the Compliance Rule Regarding the National Market System Plan Governing the Consolidated Audit Trail 2017-02-06T00:00:00-08:00 2017-02-06T00:00:00-08:00 2017-02375 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-02-06/pdf/2017-02375.pdf https://regulations.justia.com/regulations/fedreg/2017/02/06/2017-02374.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 2017-02-06T00:00:00-08:00 2017-02-06T00:00:00-08:00 2017-02374 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-02-06/pdf/2017-02374.pdf https://regulations.justia.com/regulations/fedreg/2017/02/06/2017-02373.html Notice - Self-Regulatory Organizations; NASDAQ PHLX LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Correct a Typographical Error 2017-02-06T00:00:00-08:00 2017-02-06T00:00:00-08:00 2017-02373 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-02-06/pdf/2017-02373.pdf https://regulations.justia.com/regulations/fedreg/2017/02/06/2017-02372.html Notice - Self-Regulatory Organizations; National Securities Clearing Corporation; Order Granting Approval of Proposed Rule Change To Reflect Updates to the Consolidated Trade Summary, Eliminate Re-Pricing in the Foreign Security Accounting Operation and Make Other Changes 2017-02-06T00:00:00-08:00 2017-02-06T00:00:00-08:00 2017-02372 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-02-06/pdf/2017-02372.pdf https://regulations.justia.com/regulations/fedreg/2017/02/06/2017-02361.html Notice - Golub Capital BDC, Inc., et al.; Notice of Application 2017-02-06T00:00:00-08:00 2017-02-06T00:00:00-08:00 2017-02361 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-02-06/pdf/2017-02361.pdf https://regulations.justia.com/regulations/fedreg/2017/02/06/2017-02360.html Notice - Goldman, Sachs & Co.; Notice of Application 2017-02-06T00:00:00-08:00 2017-02-06T00:00:00-08:00 2017-02360 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-02-06/pdf/2017-02360.pdf https://regulations.justia.com/regulations/fedreg/2017/02/03/C1-2017-01461.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 2017-02-03T00:00:00-08:00 2017-02-03T00:00:00-08:00 C1-2017-01461 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-02-03/pdf/C1-2017-01461.pdf https://regulations.justia.com/regulations/fedreg/2017/02/03/2017-02267.html Notice - Joint Industry Plan; Notice of Filing and Immediate Effectiveness of Amendment to the Plan Governing the Consolidated Audit Trail To Add MIAX PEARL, LLC as a Participant 2017-02-03T00:00:00-08:00 2017-02-03T00:00:00-08:00 2017-02267 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-02-03/pdf/2017-02267.pdf https://regulations.justia.com/regulations/fedreg/2017/02/03/2017-02266.html Notice - Joint Industry Plan; Notice of Filing and Immediate Effectiveness of Amendment to the Plan for the Purpose of Developing and Implementing Procedures Designed To Facilitate the Listing and Trading of Standardized Options To Add MIAX PEARL, LLC as a Plan Sponsor 2017-02-03T00:00:00-08:00 2017-02-03T00:00:00-08:00 2017-02266 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-02-03/pdf/2017-02266.pdf https://regulations.justia.com/regulations/fedreg/2017/02/03/2017-02265.html Notice - Joint Industry Plan; Notice of Filing and Immediate Effectiveness of Amendment to the Options Order Protection and Locked/Crossed Market Plan To Add MIAX PEARL, LLC as a Participant 2017-02-03T00:00:00-08:00 2017-02-03T00:00:00-08:00 2017-02265 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-02-03/pdf/2017-02265.pdf https://regulations.justia.com/regulations/fedreg/2017/02/03/2017-02264.html Notice - Destra Capital Advisors LLC, et al.; Notice of Application 2017-02-03T00:00:00-08:00 2017-02-03T00:00:00-08:00 2017-02264 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-02-03/pdf/2017-02264.pdf https://regulations.justia.com/regulations/fedreg/2017/02/03/2017-02263.html Notice - Self-Regulatory Organizations; National Stock Exchange, Inc.; Order Approving Proposed Rule Change, as Modified by Amendment No. 1, in Connection With a Proposed Acquisition of the Exchange by NYSE Group, Inc. 2017-02-03T00:00:00-08:00 2017-02-03T00:00:00-08:00 2017-02263 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-02-03/pdf/2017-02263.pdf https://regulations.justia.com/regulations/fedreg/2017/02/03/2017-02262.html Notice - Self-Regulatory Organizations; New York Stock Exchange LLC; NYSE Arca, Inc.; NYSE MKT LLC; Order Approving Proposed Rule Changes, Each as Modified by Amendment No. 1 Thereto, in Connection With the Proposed Acquisition of National Stock Exchange, Inc. by the NYSE Group, Inc. 2017-02-03T00:00:00-08:00 2017-02-03T00:00:00-08:00 2017-02262 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-02-03/pdf/2017-02262.pdf https://regulations.justia.com/regulations/fedreg/2017/02/03/2017-02261.html Notice - Self-Regulatory Organizations; BOX Options Exchange LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Rule 7150 (The Price Improvement Period (“PIP”)) 2017-02-03T00:00:00-08:00 2017-02-03T00:00:00-08:00 2017-02261 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-02-03/pdf/2017-02261.pdf https://regulations.justia.com/regulations/fedreg/2017/02/03/2017-02260.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 CBOE Rule 6.53C 2017-02-03T00:00:00-08:00 2017-02-03T00:00:00-08:00 2017-02260 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-02-03/pdf/2017-02260.pdf https://regulations.justia.com/regulations/fedreg/2017/02/03/2017-02259.html Notice - Self-Regulatory Organizations; NYSE MKT LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Rules 900.3NY, Rule 961NY, Make a Conforming Change to Rule 935NY, and Eliminate Section 910-AEMI of the AEMI Rules, and Sections 910 and 910-AEMI of the NYSE MKT Company Guide 2017-02-03T00:00:00-08:00 2017-02-03T00:00:00-08:00 2017-02259 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-02-03/pdf/2017-02259.pdf https://regulations.justia.com/regulations/fedreg/2017/02/03/2017-02258.html Notice - Self-Regulatory Organizations; NASDAQ PHLX LLC; Notice of Filing of Proposed Rule Change To Permit the Listing and Trading of P.M.-Settled NASDAQ-100 Index® Options on a Pilot Basis 2017-02-03T00:00:00-08:00 2017-02-03T00:00:00-08:00 2017-02258 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-02-03/pdf/2017-02258.pdf https://regulations.justia.com/regulations/fedreg/2017/02/02/2017-02186.html Notice - Self-Regulatory Organizations; Investors Exchange LLC; Notice of Designation of a Longer Period for Commission Action on Proposed Rule Change To: (i) Amend Rules 11.190(a)(3) and 11.190(b)(8) To Modify the Operation of the Primary Peg Order Type; (ii) Amend Rule 11.190(h)(3)(C)(ii) and (D)(ii) Regarding Price Sliding in Locked and Crossed Markets To Simplify the Price Sliding Process for Both Primary Peg Orders and Discretionary Peg Orders Resting on or Posting to the Order Book; and (iii) Make Minor Housekeeping Changes To Conform Certain Terminology 2017-02-02T00:00:00-08:00 2017-02-02T00:00:00-08:00 2017-02186 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-02-02/pdf/2017-02186.pdf https://regulations.justia.com/regulations/fedreg/2017/02/02/2017-02185.html Notice - Self-Regulatory Organizations; ICE Clear Credit LLC; Order Approving Proposed Rule Change To Provide for the Clearance of Additional Credit Default Swap Contracts 2017-02-02T00:00:00-08:00 2017-02-02T00:00:00-08:00 2017-02185 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-02-02/pdf/2017-02185.pdf https://regulations.justia.com/regulations/fedreg/2017/02/02/2017-02184.html Notice - Self-Regulatory Organizations; BOX Options Exchange LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Rule 8040 (Obligations of Market Makers) 2017-02-02T00:00:00-08:00 2017-02-02T00:00:00-08:00 2017-02184 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-02-02/pdf/2017-02184.pdf https://regulations.justia.com/regulations/fedreg/2017/02/02/2017-02183.html Notice - Self-Regulatory Organizations; ICE Clear Credit LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Implement Collateral Fee Changes 2017-02-02T00:00:00-08:00 2017-02-02T00:00:00-08:00 2017-02183 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-02-02/pdf/2017-02183.pdf https://regulations.justia.com/regulations/fedreg/2017/02/02/2017-02182.html Notice - Self-Regulatory Organizations; International Securities Exchange, LLC; Notice of Filing of Proposed Rule Change To Amend the Opening Process 2017-02-02T00:00:00-08:00 2017-02-02T00:00:00-08:00 2017-02182 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-02-02/pdf/2017-02182.pdf https://regulations.justia.com/regulations/fedreg/2017/02/02/2017-02181.html Notice - Allstate Assurance Company, et al.; Notice of Application 2017-02-02T00:00:00-08:00 2017-02-02T00:00:00-08:00 2017-02181 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-02-02/pdf/2017-02181.pdf https://regulations.justia.com/regulations/fedreg/2017/02/02/2017-02180.html Notice - Notice of Applications for Deregistration Under Section 8(f) of the Investment Company Act of 1940 2017-02-02T00:00:00-08:00 2017-02-02T00:00:00-08:00 2017-02180 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-02-02/pdf/2017-02180.pdf https://regulations.justia.com/regulations/fedreg/2017/02/01/2017-02099.html Notice - Agency Information Collection Activities; Submission for OMB Review; Comment Request; Rules 147(f)(1)(iii) and 147A(f)(1)(iii) Written Representations as to Purchaser Residency 2017-02-01T00:00:00-08:00 2017-02-01T00:00:00-08:00 2017-02099 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-02-01/pdf/2017-02099.pdf https://regulations.justia.com/regulations/fedreg/2017/02/01/2017-02098.html Notice - Proposed Collection; Comment Request 2017-02-01T00:00:00-08:00 2017-02-01T00:00:00-08:00 2017-02098 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-02-01/pdf/2017-02098.pdf https://regulations.justia.com/regulations/fedreg/2017/02/01/2017-02089.html Notice - Self-Regulatory Organizations; NYSE Arca, Inc.; Order Approving a Proposed Rule Change, as Modified by Amendments No. 1, No. 2, and No. 3, To List and Trade Shares of the Direxion Daily Municipal Bond Taxable Bear 1X Fund Under NYSE Arca Equities Rule 5.2(j)(3) 2017-02-01T00:00:00-08:00 2017-02-01T00:00:00-08:00 2017-02089 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-02-01/pdf/2017-02089.pdf https://regulations.justia.com/regulations/fedreg/2017/02/01/2017-02088.html Notice - Self-Regulatory Organizations; Bats BZX Exchange, Inc.; Order Granting Approval of Proposed Rule Change, as Modified by Amendment No. 1, To Amend Exchange Rule 11.23, Auctions, To Enhance the Reopening Auction Process Following a Trading Halt Declared Pursuant to the Plan To Address Extraordinary Market Volatility Pursuant to Rule 608 of Regulation NMS 2017-02-01T00:00:00-08:00 2017-02-01T00:00:00-08:00 2017-02088 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-02-01/pdf/2017-02088.pdf https://regulations.justia.com/regulations/fedreg/2017/02/01/2017-02080.html Notice - StrongVest ETF Trust, et al.; Notice of Application 2017-02-01T00:00:00-08:00 2017-02-01T00:00:00-08:00 2017-02080 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-02-01/pdf/2017-02080.pdf