Federal Register Recent Federal Regulation Documents - Justia Regulation Tracker - Justia Regulations Trackerhttps://regulations.justia.com/regulations/fedreg/agencies/securities-and-exchange-commission/2017/02?limit=200®isters=between&min-day=1&max-day=28&mode=atom2024-05-22T21:15:21-07:00Justia Inchttps://www.justia.com/Justia Regulations Trackerhttps://regulations.justia.com/images/justiafedregulations.gifCopyright 2011 Justia Inchttps://regulations.justia.com/regulations/fedreg/2017/02/28/2017-03928.htmlNotice - Sunshine Act Meeting2017-02-28T00:00:00-08:002017-02-28T00:00:00-08:002017-03928Noticehttps://www.gpo.gov/fdsys/pkg/FR-2017-02-28/pdf/2017-03928.pdfhttps://regulations.justia.com/regulations/fedreg/2017/02/28/2017-03848.htmlRule - Exemptions To Facilitate Intrastate and Regional Securities Offerings2017-02-28T00:00:00-08:002017-02-28T00:00:00-08:002017-03848Rulehttps://www.gpo.gov/fdsys/pkg/FR-2017-02-28/pdf/2017-03848.pdfhttps://regulations.justia.com/regulations/fedreg/2017/02/28/2017-03847.htmlNotice - Self-Regulatory Organizations; International Securities Exchange, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Rule 715 and Rule 7212017-02-28T00:00:00-08:002017-02-28T00:00:00-08:002017-03847Noticehttps://www.gpo.gov/fdsys/pkg/FR-2017-02-28/pdf/2017-03847.pdfhttps://regulations.justia.com/regulations/fedreg/2017/02/28/2017-03846.htmlNotice - 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 Billing2017-02-28T00:00:00-08:002017-02-28T00:00:00-08:002017-03846Noticehttps://www.gpo.gov/fdsys/pkg/FR-2017-02-28/pdf/2017-03846.pdfhttps://regulations.justia.com/regulations/fedreg/2017/02/28/2017-03843.htmlNotice - 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 Collar2017-02-28T00:00:00-08:002017-02-28T00:00:00-08:002017-03843Noticehttps://www.gpo.gov/fdsys/pkg/FR-2017-02-28/pdf/2017-03843.pdfhttps://regulations.justia.com/regulations/fedreg/2017/02/28/2017-03804.htmlNotice - 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.2017-02-28T00:00:00-08:002017-02-28T00:00:00-08:002017-03804Noticehttps://www.gpo.gov/fdsys/pkg/FR-2017-02-28/pdf/2017-03804.pdfhttps://regulations.justia.com/regulations/fedreg/2017/02/27/2017-03849.htmlNotice - Sunshine Act Meeting2017-02-27T00:00:00-08:002017-02-27T00:00:00-08:002017-03849Noticehttps://www.gpo.gov/fdsys/pkg/FR-2017-02-27/pdf/2017-03849.pdfhttps://regulations.justia.com/regulations/fedreg/2017/02/27/2017-03805.htmlNotice - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the Fees Schedule2017-02-27T00:00:00-08:002017-02-27T00:00:00-08:002017-03805Noticehttps://www.gpo.gov/fdsys/pkg/FR-2017-02-27/pdf/2017-03805.pdfhttps://regulations.justia.com/regulations/fedreg/2017/02/27/2017-03803.htmlNotice - 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.2017-02-27T00:00:00-08:002017-02-27T00:00:00-08:002017-03803Noticehttps://www.gpo.gov/fdsys/pkg/FR-2017-02-27/pdf/2017-03803.pdfhttps://regulations.justia.com/regulations/fedreg/2017/02/27/2017-03802.htmlNotice - 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.2017-02-27T00:00:00-08:002017-02-27T00:00:00-08:002017-03802Noticehttps://www.gpo.gov/fdsys/pkg/FR-2017-02-27/pdf/2017-03802.pdfhttps://regulations.justia.com/regulations/fedreg/2017/02/27/2017-03800.htmlNotice - 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.2017-02-27T00:00:00-08:002017-02-27T00:00:00-08:002017-03800Noticehttps://www.gpo.gov/fdsys/pkg/FR-2017-02-27/pdf/2017-03800.pdfhttps://regulations.justia.com/regulations/fedreg/2017/02/27/2017-03799.htmlNotice - Self-Regulatory Organizations; International Securities Exchange, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the Schedule of Fees2017-02-27T00:00:00-08:002017-02-27T00:00:00-08:002017-03799Noticehttps://www.gpo.gov/fdsys/pkg/FR-2017-02-27/pdf/2017-03799.pdfhttps://regulations.justia.com/regulations/fedreg/2017/02/27/2017-03798.htmlNotice - 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 8.2002017-02-27T00:00:00-08:002017-02-27T00:00:00-08:002017-03798Noticehttps://www.gpo.gov/fdsys/pkg/FR-2017-02-27/pdf/2017-03798.pdfhttps://regulations.justia.com/regulations/fedreg/2017/02/27/2017-03797.htmlNotice - 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 Fees2017-02-27T00:00:00-08:002017-02-27T00:00:00-08:002017-03797Noticehttps://www.gpo.gov/fdsys/pkg/FR-2017-02-27/pdf/2017-03797.pdfhttps://regulations.justia.com/regulations/fedreg/2017/02/27/2017-03796.htmlNotice - 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 Fees2017-02-27T00:00:00-08:002017-02-27T00:00:00-08:002017-03796Noticehttps://www.gpo.gov/fdsys/pkg/FR-2017-02-27/pdf/2017-03796.pdfhttps://regulations.justia.com/regulations/fedreg/2017/02/27/2017-03773.htmlNotice - Proposed Collection; Comment Request2017-02-27T00:00:00-08:002017-02-27T00:00:00-08:002017-03773Noticehttps://www.gpo.gov/fdsys/pkg/FR-2017-02-27/pdf/2017-03773.pdfhttps://regulations.justia.com/regulations/fedreg/2017/02/27/2017-03772.htmlNotice - Submission for OMB Review; Comment Request2017-02-27T00:00:00-08:002017-02-27T00:00:00-08:002017-03772Noticehttps://www.gpo.gov/fdsys/pkg/FR-2017-02-27/pdf/2017-03772.pdfhttps://regulations.justia.com/regulations/fedreg/2017/02/27/2017-03742.htmlNotice - Morgan Stanley ETF Trust, et al.; Notice of Application2017-02-27T00:00:00-08:002017-02-27T00:00:00-08:002017-03742Noticehttps://www.gpo.gov/fdsys/pkg/FR-2017-02-27/pdf/2017-03742.pdfhttps://regulations.justia.com/regulations/fedreg/2017/02/27/2017-03741.htmlNotice - The RBB Fund, Inc. and Altair Advisers LLC; Notice of Application2017-02-27T00:00:00-08:002017-02-27T00:00:00-08:002017-03741Noticehttps://www.gpo.gov/fdsys/pkg/FR-2017-02-27/pdf/2017-03741.pdfhttps://regulations.justia.com/regulations/fedreg/2017/02/27/2017-03731.htmlNotice - 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 Deposits2017-02-27T00:00:00-08:002017-02-27T00:00:00-08:002017-03731Noticehttps://www.gpo.gov/fdsys/pkg/FR-2017-02-27/pdf/2017-03731.pdfhttps://regulations.justia.com/regulations/fedreg/2017/02/27/2017-03730.htmlNotice - 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 Technology2017-02-27T00:00:00-08:002017-02-27T00:00:00-08:002017-03730Noticehttps://www.gpo.gov/fdsys/pkg/FR-2017-02-27/pdf/2017-03730.pdfhttps://regulations.justia.com/regulations/fedreg/2017/02/27/2017-03729.htmlNotice - 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 Exchange2017-02-27T00:00:00-08:002017-02-27T00:00:00-08:002017-03729Noticehttps://www.gpo.gov/fdsys/pkg/FR-2017-02-27/pdf/2017-03729.pdfhttps://regulations.justia.com/regulations/fedreg/2017/02/27/2017-03728.htmlNotice - 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 Quotation2017-02-27T00:00:00-08:002017-02-27T00:00:00-08:002017-03728Noticehttps://www.gpo.gov/fdsys/pkg/FR-2017-02-27/pdf/2017-03728.pdfhttps://regulations.justia.com/regulations/fedreg/2017/02/27/2017-03727.htmlNotice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing of Proposed Rule Change To Amend Rule 6.37B Regarding Market Maker Quotations2017-02-27T00:00:00-08:002017-02-27T00:00:00-08:002017-03727Noticehttps://www.gpo.gov/fdsys/pkg/FR-2017-02-27/pdf/2017-03727.pdfhttps://regulations.justia.com/regulations/fedreg/2017/02/24/2017-03732.htmlNotice - Sunshine Act Meeting2017-02-24T00:00:00-08:002017-02-24T00:00:00-08:002017-03732Noticehttps://www.gpo.gov/fdsys/pkg/FR-2017-02-24/pdf/2017-03732.pdfhttps://regulations.justia.com/regulations/fedreg/2017/02/24/2017-03576.htmlNotice - Self-Regulatory Organizations; NASDAQ PHLX LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend PIXL pricing2017-02-24T00:00:00-08:002017-02-24T00:00:00-08:002017-03576Noticehttps://www.gpo.gov/fdsys/pkg/FR-2017-02-24/pdf/2017-03576.pdfhttps://regulations.justia.com/regulations/fedreg/2017/02/24/2017-03575.htmlNotice - 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”)2017-02-24T00:00:00-08:002017-02-24T00:00:00-08:002017-03575Noticehttps://www.gpo.gov/fdsys/pkg/FR-2017-02-24/pdf/2017-03575.pdfhttps://regulations.justia.com/regulations/fedreg/2017/02/24/2017-03574.htmlNotice - Self-Regulatory Organizations; MIAX PEARL, LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Establish the MIAX PEARL Fee Schedule2017-02-24T00:00:00-08:002017-02-24T00:00:00-08:002017-03574Noticehttps://www.gpo.gov/fdsys/pkg/FR-2017-02-24/pdf/2017-03574.pdfhttps://regulations.justia.com/regulations/fedreg/2017/02/24/2017-03573.htmlNotice - 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 Index2017-02-24T00:00:00-08:002017-02-24T00:00:00-08:002017-03573Noticehttps://www.gpo.gov/fdsys/pkg/FR-2017-02-24/pdf/2017-03573.pdfhttps://regulations.justia.com/regulations/fedreg/2017/02/24/2017-03572.htmlNotice - 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 6.47A2017-02-24T00:00:00-08:002017-02-24T00:00:00-08:002017-03572Noticehttps://www.gpo.gov/fdsys/pkg/FR-2017-02-24/pdf/2017-03572.pdfhttps://regulations.justia.com/regulations/fedreg/2017/02/23/2017-03476.htmlNotice - Blackstone Alternative Investment Funds and Blackstone Alternative Investment Advisors LLC; Notice of Application2017-02-23T00:00:00-08:002017-02-23T00:00:00-08:002017-03476Noticehttps://www.gpo.gov/fdsys/pkg/FR-2017-02-23/pdf/2017-03476.pdfhttps://regulations.justia.com/regulations/fedreg/2017/02/23/2017-03459.htmlNotice - 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 Platform2017-02-23T00:00:00-08:002017-02-23T00:00:00-08:002017-03459Noticehttps://www.gpo.gov/fdsys/pkg/FR-2017-02-23/pdf/2017-03459.pdfhttps://regulations.justia.com/regulations/fedreg/2017/02/22/2017-03461.htmlNotice - 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 32017-02-22T00:00:00-08:002017-02-22T00:00:00-08:002017-03461Noticehttps://www.gpo.gov/fdsys/pkg/FR-2017-02-22/pdf/2017-03461.pdfhttps://regulations.justia.com/regulations/fedreg/2017/02/22/2017-03460.htmlNotice - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Rules 7014 and 70182017-02-22T00:00:00-08:002017-02-22T00:00:00-08:002017-03460Noticehttps://www.gpo.gov/fdsys/pkg/FR-2017-02-22/pdf/2017-03460.pdfhttps://regulations.justia.com/regulations/fedreg/2017/02/22/2017-03425.htmlNotice - Proposed Collection; Comment Request2017-02-22T00:00:00-08:002017-02-22T00:00:00-08:002017-03425Noticehttps://www.gpo.gov/fdsys/pkg/FR-2017-02-22/pdf/2017-03425.pdfhttps://regulations.justia.com/regulations/fedreg/2017/02/22/2017-03424.htmlNotice - Proposed Collection; Comment Request2017-02-22T00:00:00-08:002017-02-22T00:00:00-08:002017-03424Noticehttps://www.gpo.gov/fdsys/pkg/FR-2017-02-22/pdf/2017-03424.pdfhttps://regulations.justia.com/regulations/fedreg/2017/02/22/2017-03423.htmlNotice - Proposed Collection; Comment Request2017-02-22T00:00:00-08:002017-02-22T00:00:00-08:002017-03423Noticehttps://www.gpo.gov/fdsys/pkg/FR-2017-02-22/pdf/2017-03423.pdfhttps://regulations.justia.com/regulations/fedreg/2017/02/22/2017-03422.htmlNotice - Proposed Collection; Comment Request2017-02-22T00:00:00-08:002017-02-22T00:00:00-08:002017-03422Noticehttps://www.gpo.gov/fdsys/pkg/FR-2017-02-22/pdf/2017-03422.pdfhttps://regulations.justia.com/regulations/fedreg/2017/02/22/2017-03421.htmlNotice - Proposed Collection; Comment Request2017-02-22T00:00:00-08:002017-02-22T00:00:00-08:002017-03421Noticehttps://www.gpo.gov/fdsys/pkg/FR-2017-02-22/pdf/2017-03421.pdfhttps://regulations.justia.com/regulations/fedreg/2017/02/22/2017-03401.htmlNotice - 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 Functionality2017-02-22T00:00:00-08:002017-02-22T00:00:00-08:002017-03401Noticehttps://www.gpo.gov/fdsys/pkg/FR-2017-02-22/pdf/2017-03401.pdfhttps://regulations.justia.com/regulations/fedreg/2017/02/22/2017-03400.htmlNotice - 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 Functionality2017-02-22T00:00:00-08:002017-02-22T00:00:00-08:002017-03400Noticehttps://www.gpo.gov/fdsys/pkg/FR-2017-02-22/pdf/2017-03400.pdfhttps://regulations.justia.com/regulations/fedreg/2017/02/22/2017-03399.htmlNotice - 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 Trading2017-02-22T00:00:00-08:002017-02-22T00:00:00-08:002017-03399Noticehttps://www.gpo.gov/fdsys/pkg/FR-2017-02-22/pdf/2017-03399.pdfhttps://regulations.justia.com/regulations/fedreg/2017/02/22/2017-03398.htmlNotice - 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 Trading2017-02-22T00:00:00-08:002017-02-22T00:00:00-08:002017-03398Noticehttps://www.gpo.gov/fdsys/pkg/FR-2017-02-22/pdf/2017-03398.pdfhttps://regulations.justia.com/regulations/fedreg/2017/02/22/2017-03395.htmlNotice - Proposed Collection; Comment Request2017-02-22T00:00:00-08:002017-02-22T00:00:00-08:002017-03395Noticehttps://www.gpo.gov/fdsys/pkg/FR-2017-02-22/pdf/2017-03395.pdfhttps://regulations.justia.com/regulations/fedreg/2017/02/22/2017-03394.htmlNotice - Proposed Collection; Comment Request2017-02-22T00:00:00-08:002017-02-22T00:00:00-08:002017-03394Noticehttps://www.gpo.gov/fdsys/pkg/FR-2017-02-22/pdf/2017-03394.pdfhttps://regulations.justia.com/regulations/fedreg/2017/02/22/2017-03393.htmlNotice - Proposed Collection; Comment Request2017-02-22T00:00:00-08:002017-02-22T00:00:00-08:002017-03393Noticehttps://www.gpo.gov/fdsys/pkg/FR-2017-02-22/pdf/2017-03393.pdfhttps://regulations.justia.com/regulations/fedreg/2017/02/22/2017-03392.htmlNotice - Proposed Collection; Comment Request2017-02-22T00:00:00-08:002017-02-22T00:00:00-08:002017-03392Noticehttps://www.gpo.gov/fdsys/pkg/FR-2017-02-22/pdf/2017-03392.pdfhttps://regulations.justia.com/regulations/fedreg/2017/02/21/2017-03302.htmlNotice - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Filing of a Proposed Rule Change Related to Rule 24.9(e)2017-02-21T00:00:00-08:002017-02-21T00:00:00-08:002017-03302Noticehttps://www.gpo.gov/fdsys/pkg/FR-2017-02-21/pdf/2017-03302.pdfhttps://regulations.justia.com/regulations/fedreg/2017/02/21/2017-03301.htmlNotice - 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 Shares2017-02-21T00:00:00-08:002017-02-21T00:00:00-08:002017-03301Noticehttps://www.gpo.gov/fdsys/pkg/FR-2017-02-21/pdf/2017-03301.pdfhttps://regulations.justia.com/regulations/fedreg/2017/02/21/2017-03300.htmlNotice - 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”)2017-02-21T00:00:00-08:002017-02-21T00:00:00-08:002017-03300Noticehttps://www.gpo.gov/fdsys/pkg/FR-2017-02-21/pdf/2017-03300.pdf