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 2024-05-22T21:15:21-07:00 Justia Inc https://www.justia.com/ Justia Regulations Tracker https://regulations.justia.com/images/justiafedregulations.gif Copyright 2011 Justia Inc https://regulations.justia.com/regulations/fedreg/2017/02/28/2017-03928.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