<![CDATA[Federal Register Recent Federal Regulation Documents - Justia Regulation Tracker - Justia Regulations Tracker]]> https://regulations.justia.com/regulations/fedreg/agencies/securities-and-exchange-commission/2017/04?registers=between&min-day=1&max-day=30 Sat, 27 Apr 2024 15:49:41 -0700 Sat, 27 Apr 2024 15:49:41 -0700 Justia Regulations Tracker Copyright 2011 Justia Inc. https://regulations.justia.com/images/justiafedregulations.gif <![CDATA[Federal Register Recent Federal Regulation Documents - Justia Regulation Tracker - Justia Regulations Tracker]]> https://regulations.justia.com/regulations/fedreg/agencies/securities-and-exchange-commission/2017/04?registers=between&min-day=1&max-day=30 Notice - Self-Regulatory Organizations; Fixed Income Clearing Corporation; Notice of Filing of Proposed Rule Change To Amend the Mortgage-Backed Securities Division Rules Concerning Use of Clearing Fund for Losses, Liabilities or Temporary Needs for Funds Incident to the Clearance and Settlement Business and Make Other Related Changes https://regulations.justia.com/regulations/fedreg/2017/04/28/2017-08578.html https://regulations.justia.com/regulations/fedreg/2017/04/28/2017-08578.html Fri, 28 Apr 2017 00:00:00 -0700 2017-08578 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-04-28/pdf/2017-08578.pdf Notice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending the NYSE Arca Equities Schedule of Fees and Charges for Exchange Services https://regulations.justia.com/regulations/fedreg/2017/04/28/2017-08577.html https://regulations.justia.com/regulations/fedreg/2017/04/28/2017-08577.html Fri, 28 Apr 2017 00:00:00 -0700 2017-08577 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-04-28/pdf/2017-08577.pdf Notice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Reflect a Change in the Index Methodology Applicable to the Virtus Enhanced U.S. Equity ETF Under NYSE Arca Equities Rule 5.2(j)(3) https://regulations.justia.com/regulations/fedreg/2017/04/28/2017-08576.html https://regulations.justia.com/regulations/fedreg/2017/04/28/2017-08576.html Fri, 28 Apr 2017 00:00:00 -0700 2017-08576 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-04-28/pdf/2017-08576.pdf Notice - Self-Regulatory Organizations; Investors Exchange LLC; Notice of Filing of Proposed Rule Change To Modify the Manner in Which the Exchange Opens Trading for Non-IEX-Listed Securities https://regulations.justia.com/regulations/fedreg/2017/04/28/2017-08575.html https://regulations.justia.com/regulations/fedreg/2017/04/28/2017-08575.html Fri, 28 Apr 2017 00:00:00 -0700 2017-08575 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-04-28/pdf/2017-08575.pdf Notice - Order Granting Petition for Review and Scheduling Filing of Statements; in the Matter of Bats BZX Exchange, Inc.; Regarding an Order Disapproving a Proposed Rule Change, as Modified by Amendments No. 1 and 2, to BZX Rule 14.11(e)(4), Commodity-Based Trust Shares, To List and Trade Shares Issued by the Winklevoss Bitcoin Trust https://regulations.justia.com/regulations/fedreg/2017/04/28/2017-08565.html https://regulations.justia.com/regulations/fedreg/2017/04/28/2017-08565.html Fri, 28 Apr 2017 00:00:00 -0700 2017-08565 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-04-28/pdf/2017-08565.pdf Notice - SEC Advisory Committee on Small and Emerging Companies https://regulations.justia.com/regulations/fedreg/2017/04/27/2017-08534.html https://regulations.justia.com/regulations/fedreg/2017/04/27/2017-08534.html Thu, 27 Apr 2017 00:00:00 -0700 2017-08534 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-04-27/pdf/2017-08534.pdf Notice - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to Rule 5.7 https://regulations.justia.com/regulations/fedreg/2017/04/27/2017-08467.html https://regulations.justia.com/regulations/fedreg/2017/04/27/2017-08467.html Thu, 27 Apr 2017 00:00:00 -0700 2017-08467 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-04-27/pdf/2017-08467.pdf Notice - Self-Regulatory Organizations; ICE Clear Credit LLC; Notice of Designation of Longer Period for Commission Action on Proposed Rule Change, Security-Based Swap Submission, or Advance Notice Relating to ICC's End-of-Day Price Discovery Policies and Procedures https://regulations.justia.com/regulations/fedreg/2017/04/27/2017-08466.html https://regulations.justia.com/regulations/fedreg/2017/04/27/2017-08466.html Thu, 27 Apr 2017 00:00:00 -0700 2017-08466 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-04-27/pdf/2017-08466.pdf Notice - Self-Regulatory Organizations; Bats BZX Exchange, Inc.; Notice of Designation of a Longer Period for Commission Action on a Proposed Rule Change, as Modified by Amendment Nos. 3 and 4, To List and Trade Shares of the Amplify YieldShares Oil Hedged MLP Fund, a Series of the Amplify ETF Trust, Under BZX Rule 14.11(i), Managed Fund Shares https://regulations.justia.com/regulations/fedreg/2017/04/27/2017-08465.html https://regulations.justia.com/regulations/fedreg/2017/04/27/2017-08465.html Thu, 27 Apr 2017 00:00:00 -0700 2017-08465 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-04-27/pdf/2017-08465.pdf Notice - Self-Regulatory Organizations; NASDAQ PHLX, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Rule 1002 of the Exchange's Rules To Establish Certain Exemptions From Exercise Limits https://regulations.justia.com/regulations/fedreg/2017/04/27/2017-08464.html https://regulations.justia.com/regulations/fedreg/2017/04/27/2017-08464.html Thu, 27 Apr 2017 00:00:00 -0700 2017-08464 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-04-27/pdf/2017-08464.pdf Notice - Self-Regulatory Organizations; ICE Clear Credit LLC; Notice and Immediate Effectiveness of Proposed Rule Change, Security-Based Swap Submission, or Advance Notice Relating to Clearance of Additional Credit Default Swap Contracts https://regulations.justia.com/regulations/fedreg/2017/04/27/2017-08463.html https://regulations.justia.com/regulations/fedreg/2017/04/27/2017-08463.html Thu, 27 Apr 2017 00:00:00 -0700 2017-08463 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-04-27/pdf/2017-08463.pdf Notice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing of Amendment No. 1, and Order Instituting Proceedings To Determine Whether To Approve or Disapprove a Proposed Rule Change, as Modified by Amendment No. 1, Relating to the Listing and Trading of Shares of the Bitcoin Investment Trust Under NYSE Arca Equities Rule 8.201 https://regulations.justia.com/regulations/fedreg/2017/04/27/2017-08462.html https://regulations.justia.com/regulations/fedreg/2017/04/27/2017-08462.html Thu, 27 Apr 2017 00:00:00 -0700 2017-08462 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-04-27/pdf/2017-08462.pdf Notice - Self-Regulatory Organizations; NYSE Arca, Inc.; Order Instituting Proceedings To Determine Whether To Approve or Disapprove a Proposed Rule Change Relating to the Listing and Trading of Shares of the EtherIndex Ether Trust Under NYSE Arca Equities Rule 8.201 https://regulations.justia.com/regulations/fedreg/2017/04/27/2017-08461.html https://regulations.justia.com/regulations/fedreg/2017/04/27/2017-08461.html Thu, 27 Apr 2017 00:00:00 -0700 2017-08461 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-04-27/pdf/2017-08461.pdf Notice - Self-Regulatory Organizations; NYSE MKT LLC; Notice of Filing of Amendment No. 1 to a Proposed Rule Change Allowing the Exchange To Trade, Pursuant to Unlisted Trading Privileges, Any NMS Stock Listed on Another National Securities Exchange; Establishing Rules for the Trading Pursuant to UTP of Exchange-Traded Products; and Adopting New Equity Trading Rules Relating to Trading Halts of Securities Traded Pursuant to UTP on the Pillar Platform https://regulations.justia.com/regulations/fedreg/2017/04/27/2017-08460.html https://regulations.justia.com/regulations/fedreg/2017/04/27/2017-08460.html Thu, 27 Apr 2017 00:00:00 -0700 2017-08460 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-04-27/pdf/2017-08460.pdf Notice - TriLine Index Solutions, LLC, et al. https://regulations.justia.com/regulations/fedreg/2017/04/26/2017-08444.html https://regulations.justia.com/regulations/fedreg/2017/04/26/2017-08444.html Wed, 26 Apr 2017 00:00:00 -0700 2017-08444 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-04-26/pdf/2017-08444.pdf Notice - Submission for OMB Review; Comment Request https://regulations.justia.com/regulations/fedreg/2017/04/26/2017-08432.html https://regulations.justia.com/regulations/fedreg/2017/04/26/2017-08432.html Wed, 26 Apr 2017 00:00:00 -0700 2017-08432 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-04-26/pdf/2017-08432.pdf Notice - Formula Folio Investments, LLC and Northern Lights Fund Trust IV https://regulations.justia.com/regulations/fedreg/2017/04/26/2017-08394.html https://regulations.justia.com/regulations/fedreg/2017/04/26/2017-08394.html Wed, 26 Apr 2017 00:00:00 -0700 2017-08394 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-04-26/pdf/2017-08394.pdf 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 the Exchange's Equity Options Platform https://regulations.justia.com/regulations/fedreg/2017/04/26/2017-08392.html https://regulations.justia.com/regulations/fedreg/2017/04/26/2017-08392.html Wed, 26 Apr 2017 00:00:00 -0700 2017-08392 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-04-26/pdf/2017-08392.pdf Notice - Self-Regulatory Organizations; NYSE MKT LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Rule 975NY https://regulations.justia.com/regulations/fedreg/2017/04/26/2017-08391.html https://regulations.justia.com/regulations/fedreg/2017/04/26/2017-08391.html Wed, 26 Apr 2017 00:00:00 -0700 2017-08391 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-04-26/pdf/2017-08391.pdf Notice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Rule 6.87 https://regulations.justia.com/regulations/fedreg/2017/04/26/2017-08390.html https://regulations.justia.com/regulations/fedreg/2017/04/26/2017-08390.html Wed, 26 Apr 2017 00:00:00 -0700 2017-08390 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-04-26/pdf/2017-08390.pdf Notice - Self-Regulatory Organizations; BOX Options Exchange LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend a Prior Rule Change, SR-BOX-2017-08, Which Contained a Portion of Text That Is Not Applicable to BOX https://regulations.justia.com/regulations/fedreg/2017/04/26/2017-08389.html https://regulations.justia.com/regulations/fedreg/2017/04/26/2017-08389.html Wed, 26 Apr 2017 00:00:00 -0700 2017-08389 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-04-26/pdf/2017-08389.pdf Notice - Self-Regulatory Organizations; NYSE MKT LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Adopt Rule 994NY, Broadcast Order Liquidity Delivery Mechanism https://regulations.justia.com/regulations/fedreg/2017/04/26/2017-08388.html https://regulations.justia.com/regulations/fedreg/2017/04/26/2017-08388.html Wed, 26 Apr 2017 00:00:00 -0700 2017-08388 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-04-26/pdf/2017-08388.pdf Notice - Sunshine Act Meeting https://regulations.justia.com/regulations/fedreg/2017/04/25/2017-08393.html https://regulations.justia.com/regulations/fedreg/2017/04/25/2017-08393.html Tue, 25 Apr 2017 00:00:00 -0700 2017-08393 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-04-25/pdf/2017-08393.pdf Notice - Homestead Funds, Inc. and RE Advisers Corporation https://regulations.justia.com/regulations/fedreg/2017/04/25/2017-08288.html https://regulations.justia.com/regulations/fedreg/2017/04/25/2017-08288.html Tue, 25 Apr 2017 00:00:00 -0700 2017-08288 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-04-25/pdf/2017-08288.pdf Notice - Self-Regulatory Organizations; The Depository Trust Company; National Securities Clearing Corporation; Fixed Income Clearing Corporation; Notice of Filings of Proposed Rule Changes, as Modified by Amendments No. 1, To Adopt the Clearing Agency Policy on Capital Requirements and the Clearing Agency Capital Replenishment Plan https://regulations.justia.com/regulations/fedreg/2017/04/25/2017-08287.html https://regulations.justia.com/regulations/fedreg/2017/04/25/2017-08287.html Tue, 25 Apr 2017 00:00:00 -0700 2017-08287 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-04-25/pdf/2017-08287.pdf Notice - Self-Regulatory Organizations; The Depository Trust Company; National Securities Clearing Corporation; Fixed Income Clearing Corporation; Notice of Filings of Proposed Rule Changes, as Modified by Amendments No. 1, To Adopt the Clearing Agency Liquidity Risk Management Framework https://regulations.justia.com/regulations/fedreg/2017/04/25/2017-08286.html https://regulations.justia.com/regulations/fedreg/2017/04/25/2017-08286.html Tue, 25 Apr 2017 00:00:00 -0700 2017-08286 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-04-25/pdf/2017-08286.pdf Notice - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Fees at Rule 7030(d)(3) https://regulations.justia.com/regulations/fedreg/2017/04/25/2017-08285.html https://regulations.justia.com/regulations/fedreg/2017/04/25/2017-08285.html Tue, 25 Apr 2017 00:00:00 -0700 2017-08285 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-04-25/pdf/2017-08285.pdf Notice - Self-Regulatory Organizations; NYSE Arca, Inc.; Order Instituting Proceedings To Determine Whether To Approve or Disapprove a Proposed Rule Change Relating to the Listing and Trading of Shares of the USCF Canadian Crude Oil Index Fund Under NYSE Arca Equities Rule 8.200 https://regulations.justia.com/regulations/fedreg/2017/04/25/2017-08284.html https://regulations.justia.com/regulations/fedreg/2017/04/25/2017-08284.html Tue, 25 Apr 2017 00:00:00 -0700 2017-08284 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-04-25/pdf/2017-08284.pdf Notice - Self-Regulatory Organizations; The Depository Trust Company; Fixed Income Clearing Corporation; National Securities Clearing Corporation; Notice of Filings of Proposed Rule Changes To Adopt the Clearing Agency Stress Testing Framework (Market Risk) https://regulations.justia.com/regulations/fedreg/2017/04/25/2017-08283.html https://regulations.justia.com/regulations/fedreg/2017/04/25/2017-08283.html Tue, 25 Apr 2017 00:00:00 -0700 2017-08283 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-04-25/pdf/2017-08283.pdf Notice - Self-Regulatory Organizations; Fixed Income Clearing Corporation; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Establish Effective Date of Government Securities Division Margin Proxy Rule Changes https://regulations.justia.com/regulations/fedreg/2017/04/25/2017-08282.html https://regulations.justia.com/regulations/fedreg/2017/04/25/2017-08282.html Tue, 25 Apr 2017 00:00:00 -0700 2017-08282 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-04-25/pdf/2017-08282.pdf Notice - Self-Regulatory Organizations; NASDAQ PHLX LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the Exchange's Transaction Fees at Section VIII https://regulations.justia.com/regulations/fedreg/2017/04/25/2017-08281.html https://regulations.justia.com/regulations/fedreg/2017/04/25/2017-08281.html Tue, 25 Apr 2017 00:00:00 -0700 2017-08281 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-04-25/pdf/2017-08281.pdf Notice - Proposed Collection; Comment Request https://regulations.justia.com/regulations/fedreg/2017/04/24/2017-08168.html https://regulations.justia.com/regulations/fedreg/2017/04/24/2017-08168.html Mon, 24 Apr 2017 00:00:00 -0700 2017-08168 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-04-24/pdf/2017-08168.pdf Notice - Self-Regulatory Organizations; Nasdaq GEMX, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the Rulebook and Schedule of Fees To Incorporate Certain Name Changes https://regulations.justia.com/regulations/fedreg/2017/04/24/2017-08165.html https://regulations.justia.com/regulations/fedreg/2017/04/24/2017-08165.html Mon, 24 Apr 2017 00:00:00 -0700 2017-08165 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-04-24/pdf/2017-08165.pdf 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 Unusual Market Conditions and the Requirement To Systemize Non-Electronic Orders Prior to Representation https://regulations.justia.com/regulations/fedreg/2017/04/24/2017-08164.html https://regulations.justia.com/regulations/fedreg/2017/04/24/2017-08164.html Mon, 24 Apr 2017 00:00:00 -0700 2017-08164 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-04-24/pdf/2017-08164.pdf 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. https://regulations.justia.com/regulations/fedreg/2017/04/24/2017-08163.html https://regulations.justia.com/regulations/fedreg/2017/04/24/2017-08163.html Mon, 24 Apr 2017 00:00:00 -0700 2017-08163 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-04-24/pdf/2017-08163.pdf Notice - Self-Regulatory Organizations; ISE Mercury, LLC; Order Declaring Effective a Minor Rule Violation Plan https://regulations.justia.com/regulations/fedreg/2017/04/24/2017-08162.html https://regulations.justia.com/regulations/fedreg/2017/04/24/2017-08162.html Mon, 24 Apr 2017 00:00:00 -0700 2017-08162 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-04-24/pdf/2017-08162.pdf Proposed Rule - Request for Comment on Possible Changes to Industry Guide 3 (Statistical Disclosure by Bank Holding Companies); Extension of Comment Period https://regulations.justia.com/regulations/fedreg/2017/04/24/2017-08160.html https://regulations.justia.com/regulations/fedreg/2017/04/24/2017-08160.html Mon, 24 Apr 2017 00:00:00 -0700 2017-08160 Proposed Rule https://www.gpo.gov/fdsys/pkg/FR-2017-04-24/pdf/2017-08160.pdf Notice - Self-Regulatory Organizations; NASDAQ BX, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the Exchange's Transaction Fees at Rule 7018 https://regulations.justia.com/regulations/fedreg/2017/04/21/2017-08063.html https://regulations.justia.com/regulations/fedreg/2017/04/21/2017-08063.html Fri, 21 Apr 2017 00:00:00 -0700 2017-08063 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-04-21/pdf/2017-08063.pdf Notice - Self-Regulatory Organizations; NASDAQ PHLX LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the Pricing Schedule https://regulations.justia.com/regulations/fedreg/2017/04/21/2017-08062.html https://regulations.justia.com/regulations/fedreg/2017/04/21/2017-08062.html Fri, 21 Apr 2017 00:00:00 -0700 2017-08062 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-04-21/pdf/2017-08062.pdf Notice - Self-Regulatory Organizations; C2 Options Exchange, Incorporated; Notice of Filing and Immediate Effectiveness of a Proposed Rule To Amend the Fees Schedule https://regulations.justia.com/regulations/fedreg/2017/04/21/2017-08061.html https://regulations.justia.com/regulations/fedreg/2017/04/21/2017-08061.html Fri, 21 Apr 2017 00:00:00 -0700 2017-08061 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-04-21/pdf/2017-08061.pdf 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 https://regulations.justia.com/regulations/fedreg/2017/04/21/2017-08060.html https://regulations.justia.com/regulations/fedreg/2017/04/21/2017-08060.html Fri, 21 Apr 2017 00:00:00 -0700 2017-08060 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-04-21/pdf/2017-08060.pdf Notice - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the MDX Fees Schedule https://regulations.justia.com/regulations/fedreg/2017/04/21/2017-08059.html https://regulations.justia.com/regulations/fedreg/2017/04/21/2017-08059.html Fri, 21 Apr 2017 00:00:00 -0700 2017-08059 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-04-21/pdf/2017-08059.pdf 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 https://regulations.justia.com/regulations/fedreg/2017/04/21/2017-08058.html https://regulations.justia.com/regulations/fedreg/2017/04/21/2017-08058.html Fri, 21 Apr 2017 00:00:00 -0700 2017-08058 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-04-21/pdf/2017-08058.pdf Notice - Self-Regulatory Organizations; Chicago Stock Exchange, Inc.; Notice of Filing of Proposed Rule Change To Shorten the Standard Settlement Cycle From Three Business Days After the Trade Date to Two Business Days After the Trade Date https://regulations.justia.com/regulations/fedreg/2017/04/21/2017-08057.html https://regulations.justia.com/regulations/fedreg/2017/04/21/2017-08057.html Fri, 21 Apr 2017 00:00:00 -0700 2017-08057 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-04-21/pdf/2017-08057.pdf Notice - Self-Regulatory Organizations; NASDAQ PHLX LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating To Customer Rebates and Pricing for Multiply Listed Options https://regulations.justia.com/regulations/fedreg/2017/04/21/2017-08056.html https://regulations.justia.com/regulations/fedreg/2017/04/21/2017-08056.html Fri, 21 Apr 2017 00:00:00 -0700 2017-08056 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-04-21/pdf/2017-08056.pdf Notice - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Designation of a Longer Period for Commission Action on a Proposed Rule Change To Adopt Rule 7017 https://regulations.justia.com/regulations/fedreg/2017/04/21/2017-08055.html https://regulations.justia.com/regulations/fedreg/2017/04/21/2017-08055.html Fri, 21 Apr 2017 00:00:00 -0700 2017-08055 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-04-21/pdf/2017-08055.pdf 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 https://regulations.justia.com/regulations/fedreg/2017/04/20/2017-07954.html https://regulations.justia.com/regulations/fedreg/2017/04/20/2017-07954.html Thu, 20 Apr 2017 00:00:00 -0700 2017-07954 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-04-20/pdf/2017-07954.pdf Notice - Self-Regulatory Organizations; Bats BZX Exchange, Inc.; Notice of Designation of a Longer Period for Commission Action on Proceedings To Determine Whether To Approve or Disapprove a Proposed Rule Change to Bats BZX Rule 14.13, Company Listing Fees, and to the Bats BZX Fee Schedule https://regulations.justia.com/regulations/fedreg/2017/04/20/2017-07953.html https://regulations.justia.com/regulations/fedreg/2017/04/20/2017-07953.html Thu, 20 Apr 2017 00:00:00 -0700 2017-07953 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-04-20/pdf/2017-07953.pdf Notice - Joint Industry Plan; Order Approving the Thirteenth Amendment to the National Market System Plan To Address Extraordinary Market Volatility by Bats BZX Exchange, Inc., Bats BYX Exchange, Inc., Bats EDGA Exchange, Inc., Bats EDGX Exchange, Inc., Chicago Stock Exchange, Inc., Financial Industry Regulatory Authority, Inc., Investors Exchange LLC, NASDAQ BX, Inc., NASDAQ PHLX LLC, The Nasdaq Stock Market LLC, NYSE National, Inc., New York Stock Exchange LLC, NYSE MKT LLC, and NYSE Arca, Inc. https://regulations.justia.com/regulations/fedreg/2017/04/19/2017-07878.html https://regulations.justia.com/regulations/fedreg/2017/04/19/2017-07878.html Wed, 19 Apr 2017 00:00:00 -0700 2017-07878 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-04-19/pdf/2017-07878.pdf Notice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing of Proposed Rule Change, as Modified by Amendment No. 1 Thereto, To List and Trade Shares of the Euro Gold Trust, Pound Gold Trust, and the Yen Gold Trust Under NYSE Arca Equities Rule 8.201 https://regulations.justia.com/regulations/fedreg/2017/04/19/2017-07877.html https://regulations.justia.com/regulations/fedreg/2017/04/19/2017-07877.html Wed, 19 Apr 2017 00:00:00 -0700 2017-07877 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-04-19/pdf/2017-07877.pdf Notice - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposal To Adopt a Fee Schedule for Acquisition Companies https://regulations.justia.com/regulations/fedreg/2017/04/19/2017-07876.html https://regulations.justia.com/regulations/fedreg/2017/04/19/2017-07876.html Wed, 19 Apr 2017 00:00:00 -0700 2017-07876 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-04-19/pdf/2017-07876.pdf Notice - Self-Regulatory Organizations; The Depository Trust Company; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Modify the DTC Rules in Order to Enhance Transparency With Regard to Application Criteria and Participation Requirements for Applicants and Participants https://regulations.justia.com/regulations/fedreg/2017/04/19/2017-07875.html https://regulations.justia.com/regulations/fedreg/2017/04/19/2017-07875.html Wed, 19 Apr 2017 00:00:00 -0700 2017-07875 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-04-19/pdf/2017-07875.pdf Notice - Self-Regulatory Organizations; Investors Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Specify the Required Forms of Listing Application, Agreement and Other Documentation https://regulations.justia.com/regulations/fedreg/2017/04/19/2017-07874.html https://regulations.justia.com/regulations/fedreg/2017/04/19/2017-07874.html Wed, 19 Apr 2017 00:00:00 -0700 2017-07874 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-04-19/pdf/2017-07874.pdf Notice - Self-Regulatory Organizations; LCH SA; Notice of Proposed Rule Change, Security-Based Swap Submission, or Advance Notice Relating to CDS Margin and Extreme Credit Spread Curves https://regulations.justia.com/regulations/fedreg/2017/04/19/2017-07873.html https://regulations.justia.com/regulations/fedreg/2017/04/19/2017-07873.html Wed, 19 Apr 2017 00:00:00 -0700 2017-07873 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-04-19/pdf/2017-07873.pdf Notice - Self-Regulatory Organizations; LCH SA; Notice of Filing of Proposed Rule Change Relating to Recovery Risk Margin https://regulations.justia.com/regulations/fedreg/2017/04/19/2017-07872.html https://regulations.justia.com/regulations/fedreg/2017/04/19/2017-07872.html Wed, 19 Apr 2017 00:00:00 -0700 2017-07872 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-04-19/pdf/2017-07872.pdf Notice - Self-Regulatory Organizations; ICE Clear Europe Limited; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to Third Party Collateral Purchase Arrangements Under the ICE Clear Europe Finance Procedures and Other Clarifying Changes to the ICE Clear Europe Finance Procedures https://regulations.justia.com/regulations/fedreg/2017/04/19/2017-07870.html https://regulations.justia.com/regulations/fedreg/2017/04/19/2017-07870.html Wed, 19 Apr 2017 00:00:00 -0700 2017-07870 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-04-19/pdf/2017-07870.pdf Notice - Self-Regulatory Organizations; Bats EDGA Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Related to Fees for Use on Bats EDGA Exchange, Inc. https://regulations.justia.com/regulations/fedreg/2017/04/19/2017-07869.html https://regulations.justia.com/regulations/fedreg/2017/04/19/2017-07869.html Wed, 19 Apr 2017 00:00:00 -0700 2017-07869 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-04-19/pdf/2017-07869.pdf Notice - Self-Regulatory Organizations; Bats BYX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Related to Fees https://regulations.justia.com/regulations/fedreg/2017/04/19/2017-07868.html https://regulations.justia.com/regulations/fedreg/2017/04/19/2017-07868.html Wed, 19 Apr 2017 00:00:00 -0700 2017-07868 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-04-19/pdf/2017-07868.pdf Notice - Sunshine Act Meeting https://regulations.justia.com/regulations/fedreg/2017/04/18/2017-07867.html https://regulations.justia.com/regulations/fedreg/2017/04/18/2017-07867.html Tue, 18 Apr 2017 00:00:00 -0700 2017-07867 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-04-18/pdf/2017-07867.pdf Notice - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to FLEX Options Pilot Program https://regulations.justia.com/regulations/fedreg/2017/04/18/2017-07755.html https://regulations.justia.com/regulations/fedreg/2017/04/18/2017-07755.html Tue, 18 Apr 2017 00:00:00 -0700 2017-07755 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-04-18/pdf/2017-07755.pdf Notice - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the Exchange's Transaction Fees at Rule 7014(f) To Amend the Designated Liquidity Provider Program https://regulations.justia.com/regulations/fedreg/2017/04/18/2017-07754.html https://regulations.justia.com/regulations/fedreg/2017/04/18/2017-07754.html Tue, 18 Apr 2017 00:00:00 -0700 2017-07754 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-04-18/pdf/2017-07754.pdf Notice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending the NYSE Arca Options Fee Schedule https://regulations.justia.com/regulations/fedreg/2017/04/18/2017-07753.html https://regulations.justia.com/regulations/fedreg/2017/04/18/2017-07753.html Tue, 18 Apr 2017 00:00:00 -0700 2017-07753 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-04-18/pdf/2017-07753.pdf Notice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending the NYSE Arca Options Fee Schedule https://regulations.justia.com/regulations/fedreg/2017/04/18/2017-07752.html https://regulations.justia.com/regulations/fedreg/2017/04/18/2017-07752.html Tue, 18 Apr 2017 00:00:00 -0700 2017-07752 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-04-18/pdf/2017-07752.pdf Notice - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to Complex Order Price Protections https://regulations.justia.com/regulations/fedreg/2017/04/18/2017-07751.html https://regulations.justia.com/regulations/fedreg/2017/04/18/2017-07751.html Tue, 18 Apr 2017 00:00:00 -0700 2017-07751 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-04-18/pdf/2017-07751.pdf Notice - Self-Regulatory Organizations; Nasdaq ISE, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Supplementary Material .03 to Rule 713 To Change the Allocation Entitlement for Preferred PMMs https://regulations.justia.com/regulations/fedreg/2017/04/18/2017-07750.html https://regulations.justia.com/regulations/fedreg/2017/04/18/2017-07750.html Tue, 18 Apr 2017 00:00:00 -0700 2017-07750 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-04-18/pdf/2017-07750.pdf Notice - Proposed Collection; Comment Request https://regulations.justia.com/regulations/fedreg/2017/04/17/2017-07656.html https://regulations.justia.com/regulations/fedreg/2017/04/17/2017-07656.html Mon, 17 Apr 2017 00:00:00 -0700 2017-07656 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-04-17/pdf/2017-07656.pdf Notice - Proposed Collection; Comment Request https://regulations.justia.com/regulations/fedreg/2017/04/17/2017-07655.html https://regulations.justia.com/regulations/fedreg/2017/04/17/2017-07655.html Mon, 17 Apr 2017 00:00:00 -0700 2017-07655 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-04-17/pdf/2017-07655.pdf Notice - Self-Regulatory Organizations; Bats EDGX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Fees for Use on the Exchange's Equities Options Platform https://regulations.justia.com/regulations/fedreg/2017/04/17/2017-07640.html https://regulations.justia.com/regulations/fedreg/2017/04/17/2017-07640.html Mon, 17 Apr 2017 00:00:00 -0700 2017-07640 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-04-17/pdf/2017-07640.pdf Notice - Self-Regulatory Organizations; NYSE MKT LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Certain of the Initial and Annual Listing Fee Provisions Included in the NYSE MKT Company Guide https://regulations.justia.com/regulations/fedreg/2017/04/17/2017-07639.html https://regulations.justia.com/regulations/fedreg/2017/04/17/2017-07639.html Mon, 17 Apr 2017 00:00:00 -0700 2017-07639 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-04-17/pdf/2017-07639.pdf Notice - Self-Regulatory Organizations; Nasdaq ISE, LLC; Order Approving Proposed Rule Change, as Modified by Amendment No. 1, To Amend Various Rules in Connection With a System Migration to Nasdaq INET Technology https://regulations.justia.com/regulations/fedreg/2017/04/17/2017-07638.html https://regulations.justia.com/regulations/fedreg/2017/04/17/2017-07638.html Mon, 17 Apr 2017 00:00:00 -0700 2017-07638 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-04-17/pdf/2017-07638.pdf Notice - Self-Regulatory Organizations; NASDAQ PHLX LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Obvious Errors https://regulations.justia.com/regulations/fedreg/2017/04/17/2017-07637.html https://regulations.justia.com/regulations/fedreg/2017/04/17/2017-07637.html Mon, 17 Apr 2017 00:00:00 -0700 2017-07637 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-04-17/pdf/2017-07637.pdf Notice - Self-Regulatory Organizations; C2 Options Exchange, Incorporated; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to Complex Order Price Protections https://regulations.justia.com/regulations/fedreg/2017/04/17/2017-07636.html https://regulations.justia.com/regulations/fedreg/2017/04/17/2017-07636.html Mon, 17 Apr 2017 00:00:00 -0700 2017-07636 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-04-17/pdf/2017-07636.pdf Notice - Self-Regulatory Organizations; Nasdaq ISE, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Obvious Errors https://regulations.justia.com/regulations/fedreg/2017/04/17/2017-07635.html https://regulations.justia.com/regulations/fedreg/2017/04/17/2017-07635.html Mon, 17 Apr 2017 00:00:00 -0700 2017-07635 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-04-17/pdf/2017-07635.pdf Notice - Self-Regulatory Organizations; BOX Options Exchange LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Expand the Execution Range for a Customer Cross Order https://regulations.justia.com/regulations/fedreg/2017/04/17/2017-07634.html https://regulations.justia.com/regulations/fedreg/2017/04/17/2017-07634.html Mon, 17 Apr 2017 00:00:00 -0700 2017-07634 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-04-17/pdf/2017-07634.pdf Notice - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Rule 4703 (Order Attributes), Rule 4752 (Opening Process), Rule 4753 (Nasdaq Halt Cross) and Rule 4754 (Nasdaq Closing Cross) https://regulations.justia.com/regulations/fedreg/2017/04/17/2017-07633.html https://regulations.justia.com/regulations/fedreg/2017/04/17/2017-07633.html Mon, 17 Apr 2017 00:00:00 -0700 2017-07633 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-04-17/pdf/2017-07633.pdf Notice - Self-Regulatory Organizations; NYSE Arca, Inc.; Order Approving a Proposed Rule Change, as Modified by Amendments No. 2 and No. 3 Thereto, To List and Trade Shares of the United States 3x Oil Fund and United States 3x Short Oil Fund Under NYSE Arca Equities Rule 8.200, Commentary .02 https://regulations.justia.com/regulations/fedreg/2017/04/14/2017-07598.html https://regulations.justia.com/regulations/fedreg/2017/04/14/2017-07598.html Fri, 14 Apr 2017 00:00:00 -0700 2017-07598 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-04-14/pdf/2017-07598.pdf Notice - Excelsior Private Markets Fund II (Master), LLC, et al. https://regulations.justia.com/regulations/fedreg/2017/04/14/2017-07539.html https://regulations.justia.com/regulations/fedreg/2017/04/14/2017-07539.html Fri, 14 Apr 2017 00:00:00 -0700 2017-07539 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-04-14/pdf/2017-07539.pdf 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”) https://regulations.justia.com/regulations/fedreg/2017/04/14/2017-07536.html https://regulations.justia.com/regulations/fedreg/2017/04/14/2017-07536.html Fri, 14 Apr 2017 00:00:00 -0700 2017-07536 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-04-14/pdf/2017-07536.pdf Notice - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Eliminate Obsolete References in the Fees Schedule https://regulations.justia.com/regulations/fedreg/2017/04/14/2017-07535.html https://regulations.justia.com/regulations/fedreg/2017/04/14/2017-07535.html Fri, 14 Apr 2017 00:00:00 -0700 2017-07535 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-04-14/pdf/2017-07535.pdf Notice - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Filing of a Proposed Rule Change Relating to the Automated Improvement Mechanism and the Solicitation Auction Mechanism https://regulations.justia.com/regulations/fedreg/2017/04/14/2017-07534.html https://regulations.justia.com/regulations/fedreg/2017/04/14/2017-07534.html Fri, 14 Apr 2017 00:00:00 -0700 2017-07534 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-04-14/pdf/2017-07534.pdf Notice - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing of Proposed Rule Change, as Modified by Amendment No. 1 Thereto, Amending the Certificate of Incorporation and Bylaws of Its Ultimate Parent Company, Intercontinental Exchange, Inc. https://regulations.justia.com/regulations/fedreg/2017/04/14/2017-07533.html https://regulations.justia.com/regulations/fedreg/2017/04/14/2017-07533.html Fri, 14 Apr 2017 00:00:00 -0700 2017-07533 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-04-14/pdf/2017-07533.pdf Notice - Self-Regulatory Organizations; NYSE MKT LLC; Notice of Filing of Proposed Rule Change, as Modified by Amendment No. 1 Thereto, Amending the Certificate of Incorporation and Bylaws of Its Ultimate Parent Company, Intercontinental Exchange, Inc. https://regulations.justia.com/regulations/fedreg/2017/04/14/2017-07532.html https://regulations.justia.com/regulations/fedreg/2017/04/14/2017-07532.html Fri, 14 Apr 2017 00:00:00 -0700 2017-07532 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-04-14/pdf/2017-07532.pdf Notice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing of Proposed Rule Change, as Modified by Amendment No. 1 Thereto, Amending the Certificate of Incorporation and Bylaws of Its Ultimate Parent Company, Intercontinental Exchange, Inc. https://regulations.justia.com/regulations/fedreg/2017/04/14/2017-07531.html https://regulations.justia.com/regulations/fedreg/2017/04/14/2017-07531.html Fri, 14 Apr 2017 00:00:00 -0700 2017-07531 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-04-14/pdf/2017-07531.pdf Notice - Self-Regulatory Organizations; NYSE National, Inc.; Notice of Filing of Proposed Rule Change, as Modified by Amendment No. 1 Thereto, Amending the Certificate of Incorporation and Bylaws of Its Ultimate Parent Company, Intercontinental Exchange, Inc. https://regulations.justia.com/regulations/fedreg/2017/04/14/2017-07530.html https://regulations.justia.com/regulations/fedreg/2017/04/14/2017-07530.html Fri, 14 Apr 2017 00:00:00 -0700 2017-07530 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-04-14/pdf/2017-07530.pdf 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 https://regulations.justia.com/regulations/fedreg/2017/04/14/2017-07529.html https://regulations.justia.com/regulations/fedreg/2017/04/14/2017-07529.html Fri, 14 Apr 2017 00:00:00 -0700 2017-07529 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-04-14/pdf/2017-07529.pdf Notice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing of Proposed Rule Change To Amend Commentary .01 and Commentary .02 to NYSE Arca Equities Rule 5.2(j)(3) To Provide for the Inclusion of Cash in an Index Underlying a Series of Investment Company Units https://regulations.justia.com/regulations/fedreg/2017/04/14/2017-07528.html https://regulations.justia.com/regulations/fedreg/2017/04/14/2017-07528.html Fri, 14 Apr 2017 00:00:00 -0700 2017-07528 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-04-14/pdf/2017-07528.pdf Notice - Self-Regulatory Organizations; National Securities Clearing Corporation; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Provide for a New Data Repository Feature Called “Insurance Profile” for Transmission of Fee Data and Implement Fees in Connection With This Feature https://regulations.justia.com/regulations/fedreg/2017/04/13/2017-07459.html https://regulations.justia.com/regulations/fedreg/2017/04/13/2017-07459.html Thu, 13 Apr 2017 00:00:00 -0700 2017-07459 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-04-13/pdf/2017-07459.pdf 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 https://regulations.justia.com/regulations/fedreg/2017/04/13/2017-07458.html https://regulations.justia.com/regulations/fedreg/2017/04/13/2017-07458.html Thu, 13 Apr 2017 00:00:00 -0700 2017-07458 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-04-13/pdf/2017-07458.pdf Notice - Self-Regulatory Organizations; BOX Options Exchange LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Extend the Pilot Program for the Listing and Trading of Options Settling to the RealVolTM https://regulations.justia.com/regulations/fedreg/2017/04/13/2017-07457.html https://regulations.justia.com/regulations/fedreg/2017/04/13/2017-07457.html Thu, 13 Apr 2017 00:00:00 -0700 2017-07457 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-04-13/pdf/2017-07457.pdf Notice - Self-Regulatory Organizations; Bats BZX Exchange, Inc.; Order Approving a Proposed Rule Change, as Modified by Amendments No. 1 and No. 2, 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 Exchange Rule 14.11(i) https://regulations.justia.com/regulations/fedreg/2017/04/13/2017-07456.html https://regulations.justia.com/regulations/fedreg/2017/04/13/2017-07456.html Thu, 13 Apr 2017 00:00:00 -0700 2017-07456 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-04-13/pdf/2017-07456.pdf Notice - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Remove Section 204.25 (Treasury Stock Changes) From the NYSE Listed Company Manual https://regulations.justia.com/regulations/fedreg/2017/04/13/2017-07455.html https://regulations.justia.com/regulations/fedreg/2017/04/13/2017-07455.html Thu, 13 Apr 2017 00:00:00 -0700 2017-07455 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-04-13/pdf/2017-07455.pdf Notice - Self-Regulatory Organizations; NYSE MKT LLC; Notice of Filing and Immediate Effectiveness of Proposed Change Amending Its Price List https://regulations.justia.com/regulations/fedreg/2017/04/13/2017-07454.html https://regulations.justia.com/regulations/fedreg/2017/04/13/2017-07454.html Thu, 13 Apr 2017 00:00:00 -0700 2017-07454 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-04-13/pdf/2017-07454.pdf Notice - Self-Regulatory Organizations; National Securities Clearing Corporation; Notice of Filing of Advance Notice To Enhance the Credit Risk Rating Matrix and Make Other Changes https://regulations.justia.com/regulations/fedreg/2017/04/13/2017-07453.html https://regulations.justia.com/regulations/fedreg/2017/04/13/2017-07453.html Thu, 13 Apr 2017 00:00:00 -0700 2017-07453 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-04-13/pdf/2017-07453.pdf Notice - Self-Regulatory Organizations; Fixed Income Clearing Corporation; Notice of Filing of Advance Notice To Enhance the Credit Risk Rating Matrix and Make Other Changes https://regulations.justia.com/regulations/fedreg/2017/04/13/2017-07452.html https://regulations.justia.com/regulations/fedreg/2017/04/13/2017-07452.html Thu, 13 Apr 2017 00:00:00 -0700 2017-07452 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-04-13/pdf/2017-07452.pdf Notice - Self-Regulatory Organizations; The Depository Trust Company; Notice of Filing of Advance Notice To Address and Update Practices and Policies With Respect to the Credit Risk Rating Matrix and Make Other Changes https://regulations.justia.com/regulations/fedreg/2017/04/13/2017-07451.html https://regulations.justia.com/regulations/fedreg/2017/04/13/2017-07451.html Thu, 13 Apr 2017 00:00:00 -0700 2017-07451 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-04-13/pdf/2017-07451.pdf Notice - Program for Allocation of Regulatory Responsibilities Pursuant to Rule 17d-2; Order Approving and Declaring Effective a Proposed Plan for the Allocation of Regulatory Responsibilities Between the Financial Industry Regulatory Authority, Inc. and BOX Options Exchange LLC https://regulations.justia.com/regulations/fedreg/2017/04/12/2017-07311.html https://regulations.justia.com/regulations/fedreg/2017/04/12/2017-07311.html Wed, 12 Apr 2017 00:00:00 -0700 2017-07311 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-04-12/pdf/2017-07311.pdf 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 Orders With Midpoint Pegging https://regulations.justia.com/regulations/fedreg/2017/04/12/2017-07309.html https://regulations.justia.com/regulations/fedreg/2017/04/12/2017-07309.html Wed, 12 Apr 2017 00:00:00 -0700 2017-07309 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-04-12/pdf/2017-07309.pdf 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 Midpoint Peg Post-Only Orders and Orders With Midpoint Pegging https://regulations.justia.com/regulations/fedreg/2017/04/12/2017-07308.html https://regulations.justia.com/regulations/fedreg/2017/04/12/2017-07308.html Wed, 12 Apr 2017 00:00:00 -0700 2017-07308 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-04-12/pdf/2017-07308.pdf Notice - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Renew Nonstandard Expirations Pilot Program https://regulations.justia.com/regulations/fedreg/2017/04/12/2017-07307.html https://regulations.justia.com/regulations/fedreg/2017/04/12/2017-07307.html Wed, 12 Apr 2017 00:00:00 -0700 2017-07307 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-04-12/pdf/2017-07307.pdf Notice - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to the SPXPM Pilot Program https://regulations.justia.com/regulations/fedreg/2017/04/12/2017-07306.html https://regulations.justia.com/regulations/fedreg/2017/04/12/2017-07306.html Wed, 12 Apr 2017 00:00:00 -0700 2017-07306 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-04-12/pdf/2017-07306.pdf Notice - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Order Approving Proposed Rule Change Related to Rule 24.9(e) https://regulations.justia.com/regulations/fedreg/2017/04/12/2017-07305.html https://regulations.justia.com/regulations/fedreg/2017/04/12/2017-07305.html Wed, 12 Apr 2017 00:00:00 -0700 2017-07305 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-04-12/pdf/2017-07305.pdf Notice - Self-Regulatory Organizations: MIAX PEARL, LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend MIAX PEARL Rules 504 and 516 https://regulations.justia.com/regulations/fedreg/2017/04/12/2017-07304.html https://regulations.justia.com/regulations/fedreg/2017/04/12/2017-07304.html Wed, 12 Apr 2017 00:00:00 -0700 2017-07304 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-04-12/pdf/2017-07304.pdf Notice - Proposed Collection; Comment Request https://regulations.justia.com/regulations/fedreg/2017/04/12/2017-07303.html https://regulations.justia.com/regulations/fedreg/2017/04/12/2017-07303.html Wed, 12 Apr 2017 00:00:00 -0700 2017-07303 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-04-12/pdf/2017-07303.pdf Notice - Proposed Collection; Comment Request https://regulations.justia.com/regulations/fedreg/2017/04/12/2017-07302.html https://regulations.justia.com/regulations/fedreg/2017/04/12/2017-07302.html Wed, 12 Apr 2017 00:00:00 -0700 2017-07302 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-04-12/pdf/2017-07302.pdf Notice - Proposed Collection; Comment Request https://regulations.justia.com/regulations/fedreg/2017/04/12/2017-07301.html https://regulations.justia.com/regulations/fedreg/2017/04/12/2017-07301.html Wed, 12 Apr 2017 00:00:00 -0700 2017-07301 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-04-12/pdf/2017-07301.pdf Notice - Proposed Collection; Comment Request https://regulations.justia.com/regulations/fedreg/2017/04/12/2017-07300.html https://regulations.justia.com/regulations/fedreg/2017/04/12/2017-07300.html Wed, 12 Apr 2017 00:00:00 -0700 2017-07300 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-04-12/pdf/2017-07300.pdf Notice - Proposed Collection; Comment Request https://regulations.justia.com/regulations/fedreg/2017/04/12/2017-07299.html https://regulations.justia.com/regulations/fedreg/2017/04/12/2017-07299.html Wed, 12 Apr 2017 00:00:00 -0700 2017-07299 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-04-12/pdf/2017-07299.pdf Notice - Proposed Collection; Comment Request https://regulations.justia.com/regulations/fedreg/2017/04/12/2017-07298.html https://regulations.justia.com/regulations/fedreg/2017/04/12/2017-07298.html Wed, 12 Apr 2017 00:00:00 -0700 2017-07298 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-04-12/pdf/2017-07298.pdf Notice - Proposed Collection; Comment Request https://regulations.justia.com/regulations/fedreg/2017/04/12/2017-07297.html https://regulations.justia.com/regulations/fedreg/2017/04/12/2017-07297.html Wed, 12 Apr 2017 00:00:00 -0700 2017-07297 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-04-12/pdf/2017-07297.pdf Rule - Inflation Adjustments and Other Technical Amendments Under Titles I and III of the Jobs Act https://regulations.justia.com/regulations/fedreg/2017/04/12/2017-06797.html https://regulations.justia.com/regulations/fedreg/2017/04/12/2017-06797.html Wed, 12 Apr 2017 00:00:00 -0700 2017-06797 Rule https://www.gpo.gov/fdsys/pkg/FR-2017-04-12/pdf/2017-06797.pdf Notice - Proposed Collection; Comment Request https://regulations.justia.com/regulations/fedreg/2017/04/11/2017-07250.html https://regulations.justia.com/regulations/fedreg/2017/04/11/2017-07250.html Tue, 11 Apr 2017 00:00:00 -0700 2017-07250 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-04-11/pdf/2017-07250.pdf Notice - Submission for OMB Review: Comment Request https://regulations.justia.com/regulations/fedreg/2017/04/11/2017-07249.html https://regulations.justia.com/regulations/fedreg/2017/04/11/2017-07249.html Tue, 11 Apr 2017 00:00:00 -0700 2017-07249 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-04-11/pdf/2017-07249.pdf Notice - Proposed Collection; Comment Request https://regulations.justia.com/regulations/fedreg/2017/04/11/2017-07248.html https://regulations.justia.com/regulations/fedreg/2017/04/11/2017-07248.html Tue, 11 Apr 2017 00:00:00 -0700 2017-07248 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-04-11/pdf/2017-07248.pdf Notice - Self-Regulatory Organizations; Fixed Income Clearing Corporation; Notice of Filing of Proposed Rule Change To Enhance the Credit Risk Rating Matrix and Make Other Changes https://regulations.justia.com/regulations/fedreg/2017/04/11/2017-07182.html https://regulations.justia.com/regulations/fedreg/2017/04/11/2017-07182.html Tue, 11 Apr 2017 00:00:00 -0700 2017-07182 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-04-11/pdf/2017-07182.pdf Notice - Self-Regulatory Organizations; The Depository Trust Company; Notice of Filing of Proposed Rule Change To Address and Update Practices and Policies With Respect to the Credit Risk Rating Matrix and Make Other Changes https://regulations.justia.com/regulations/fedreg/2017/04/11/2017-07181.html https://regulations.justia.com/regulations/fedreg/2017/04/11/2017-07181.html Tue, 11 Apr 2017 00:00:00 -0700 2017-07181 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-04-11/pdf/2017-07181.pdf Notice - Self-Regulatory Organizations; National Securities Clearing Corporation; Notice of Filing of Proposed Rule Change To Enhance the Credit Risk Rating Matrix and Make Other Changes https://regulations.justia.com/regulations/fedreg/2017/04/11/2017-07180.html https://regulations.justia.com/regulations/fedreg/2017/04/11/2017-07180.html Tue, 11 Apr 2017 00:00:00 -0700 2017-07180 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-04-11/pdf/2017-07180.pdf Notice - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Reduce Fees for Certain Connectivity Under Rule 7015(g)(1) and Rule 7034(b) https://regulations.justia.com/regulations/fedreg/2017/04/11/2017-07179.html https://regulations.justia.com/regulations/fedreg/2017/04/11/2017-07179.html Tue, 11 Apr 2017 00:00:00 -0700 2017-07179 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-04-11/pdf/2017-07179.pdf Notice - Self-Regulatory Organizations; LCH SA; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Retroactively Apply Recently-Revised Fee Schedule https://regulations.justia.com/regulations/fedreg/2017/04/11/2017-07178.html https://regulations.justia.com/regulations/fedreg/2017/04/11/2017-07178.html Tue, 11 Apr 2017 00:00:00 -0700 2017-07178 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-04-11/pdf/2017-07178.pdf Notice - Precidian ETFs Trust, et al. https://regulations.justia.com/regulations/fedreg/2017/04/11/2017-07173.html https://regulations.justia.com/regulations/fedreg/2017/04/11/2017-07173.html Tue, 11 Apr 2017 00:00:00 -0700 2017-07173 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-04-11/pdf/2017-07173.pdf Notice - Order Granting a Temporary Exemption to Covered Clearing Agencies From Compliance With Rule 17Ad-22(e)(3)(ii) and Certain Requirements in Rules 17Ad-22(e)(15)(i) and (ii) Under the Securities Exchange Act of 1934 https://regulations.justia.com/regulations/fedreg/2017/04/10/2017-07101.html https://regulations.justia.com/regulations/fedreg/2017/04/10/2017-07101.html Mon, 10 Apr 2017 00:00:00 -0700 2017-07101 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-04-10/pdf/2017-07101.pdf Notice - Self-Regulatory Organizations; NYSE MKT LLC; Notice of Filing of Proposed Rule Change Amending Rule 36-Equities To Permit Exchange Floor Brokers To Use Non-Exchange Provided Telephones on the Floor https://regulations.justia.com/regulations/fedreg/2017/04/10/2017-07049.html https://regulations.justia.com/regulations/fedreg/2017/04/10/2017-07049.html Mon, 10 Apr 2017 00:00:00 -0700 2017-07049 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-04-10/pdf/2017-07049.pdf Notice - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing of Proposed Rule Change Amending Rule 36 To Permit Exchange Floor Brokers To Use Non-Exchange Provided Telephones on the Floor https://regulations.justia.com/regulations/fedreg/2017/04/10/2017-07048.html https://regulations.justia.com/regulations/fedreg/2017/04/10/2017-07048.html Mon, 10 Apr 2017 00:00:00 -0700 2017-07048 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-04-10/pdf/2017-07048.pdf Notice - Options Clearing Corporation Self-Regulatory Organizations; the Notice of Filing and Immediate Effectiveness of Proposed Rule Change Concerning the Requirement for Clearing Members To Participate in Default Management Testing https://regulations.justia.com/regulations/fedreg/2017/04/10/2017-07047.html https://regulations.justia.com/regulations/fedreg/2017/04/10/2017-07047.html Mon, 10 Apr 2017 00:00:00 -0700 2017-07047 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-04-10/pdf/2017-07047.pdf Notice - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing of a Proposed Rule Change To Adopt Consolidated FINRA Registration Rules, Restructure the Representative-Level Qualification Examination Program and Amend the Continuing Education Requirements https://regulations.justia.com/regulations/fedreg/2017/04/10/2017-07046.html https://regulations.justia.com/regulations/fedreg/2017/04/10/2017-07046.html Mon, 10 Apr 2017 00:00:00 -0700 2017-07046 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-04-10/pdf/2017-07046.pdf Notice - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing of Proposed Rule Change To List and Trade the Shares of the First Trust California Municipal High Income ETF https://regulations.justia.com/regulations/fedreg/2017/04/10/2017-07045.html https://regulations.justia.com/regulations/fedreg/2017/04/10/2017-07045.html Mon, 10 Apr 2017 00:00:00 -0700 2017-07045 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-04-10/pdf/2017-07045.pdf Notice - Self-Regulatory Organizations; Fixed Income Clearing Corporation; Notice of Filing of Advance Notice To Establish the Centrally Cleared Institutional Triparty Service and Make Other Changes https://regulations.justia.com/regulations/fedreg/2017/04/07/2017-06976.html https://regulations.justia.com/regulations/fedreg/2017/04/07/2017-06976.html Fri, 07 Apr 2017 00:00:00 -0700 2017-06976 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-04-07/pdf/2017-06976.pdf Notice - Self-Regulatory Organizations; Chicago Stock Exchange, Inc.; Notice of Designation of a Longer Period for Commission Action on Proposed Rule Change To Adopt the CHX Liquidity Enhancing Access Delay https://regulations.justia.com/regulations/fedreg/2017/04/07/2017-06911.html https://regulations.justia.com/regulations/fedreg/2017/04/07/2017-06911.html Fri, 07 Apr 2017 00:00:00 -0700 2017-06911 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-04-07/pdf/2017-06911.pdf Notice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the Exchange's Schedule of Fees and Charges https://regulations.justia.com/regulations/fedreg/2017/04/07/2017-06910.html https://regulations.justia.com/regulations/fedreg/2017/04/07/2017-06910.html Fri, 07 Apr 2017 00:00:00 -0700 2017-06910 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-04-07/pdf/2017-06910.pdf Notice - Self-Regulatory Organizations; ISE Mercury, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change to “Tick-Worse” Functionality https://regulations.justia.com/regulations/fedreg/2017/04/07/2017-06909.html https://regulations.justia.com/regulations/fedreg/2017/04/07/2017-06909.html Fri, 07 Apr 2017 00:00:00 -0700 2017-06909 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-04-07/pdf/2017-06909.pdf Notice - Olden Lane Securities LLC and Olden Lane Trust https://regulations.justia.com/regulations/fedreg/2017/04/07/2017-06908.html https://regulations.justia.com/regulations/fedreg/2017/04/07/2017-06908.html Fri, 07 Apr 2017 00:00:00 -0700 2017-06908 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-04-07/pdf/2017-06908.pdf Notice - Order Extending a Temporary Exemption From Compliance With Rules 13n-1 to 13n-12 Under the Securities Exchange Act of 1934 https://regulations.justia.com/regulations/fedreg/2017/04/06/2017-06793.html https://regulations.justia.com/regulations/fedreg/2017/04/06/2017-06793.html Thu, 06 Apr 2017 00:00:00 -0700 2017-06793 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-04-06/pdf/2017-06793.pdf Notice - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing of Proposed Rule Change To Amend Listing Standards for Acquisition Companies To Modify the Initial and Continued Distribution Requirements https://regulations.justia.com/regulations/fedreg/2017/04/06/2017-06787.html https://regulations.justia.com/regulations/fedreg/2017/04/06/2017-06787.html Thu, 06 Apr 2017 00:00:00 -0700 2017-06787 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-04-06/pdf/2017-06787.pdf Notice - Submission for OMB Review; Comment Request https://regulations.justia.com/regulations/fedreg/2017/04/06/2017-06784.html https://regulations.justia.com/regulations/fedreg/2017/04/06/2017-06784.html Thu, 06 Apr 2017 00:00:00 -0700 2017-06784 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-04-06/pdf/2017-06784.pdf Notice - Proposed Collection; Comment Request https://regulations.justia.com/regulations/fedreg/2017/04/05/2017-06695.html https://regulations.justia.com/regulations/fedreg/2017/04/05/2017-06695.html Wed, 05 Apr 2017 00:00:00 -0700 2017-06695 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-04-05/pdf/2017-06695.pdf Notice - Winton Diversified Opportunities Fund and Winton Capital US LLC https://regulations.justia.com/regulations/fedreg/2017/04/05/2017-06693.html https://regulations.justia.com/regulations/fedreg/2017/04/05/2017-06693.html Wed, 05 Apr 2017 00:00:00 -0700 2017-06693 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-04-05/pdf/2017-06693.pdf Notice - Angel Oak Funds Trust and Angel Oak Capital Advisors, LLC https://regulations.justia.com/regulations/fedreg/2017/04/05/2017-06692.html https://regulations.justia.com/regulations/fedreg/2017/04/05/2017-06692.html Wed, 05 Apr 2017 00:00:00 -0700 2017-06692 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-04-05/pdf/2017-06692.pdf Notice - Self-Regulatory Organizations; Bats BZX Exchange, Inc.; Notice of Designation of a Longer Period for Commission Action on Proposed Rule Change, as Modified by Amendment No. 1, 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 https://regulations.justia.com/regulations/fedreg/2017/04/05/2017-06686.html https://regulations.justia.com/regulations/fedreg/2017/04/05/2017-06686.html Wed, 05 Apr 2017 00:00:00 -0700 2017-06686 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-04-05/pdf/2017-06686.pdf Notice - Self-Regulatory Organizations; Fixed Income Clearing Corporation; Order Approving a 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 https://regulations.justia.com/regulations/fedreg/2017/04/05/2017-06685.html https://regulations.justia.com/regulations/fedreg/2017/04/05/2017-06685.html Wed, 05 Apr 2017 00:00:00 -0700 2017-06685 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-04-05/pdf/2017-06685.pdf Notice - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Nasdaq Rule 5710 https://regulations.justia.com/regulations/fedreg/2017/04/05/2017-06684.html https://regulations.justia.com/regulations/fedreg/2017/04/05/2017-06684.html Wed, 05 Apr 2017 00:00:00 -0700 2017-06684 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-04-05/pdf/2017-06684.pdf Notice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Designation of a Longer Period for Commission Action on Proposed Rule Change, as Modified by Amendment No. 1, Regarding Investments of the Janus Short Duration Income ETF Listed Under NYSE Arca Equities Rule 8.600 https://regulations.justia.com/regulations/fedreg/2017/04/05/2017-06683.html https://regulations.justia.com/regulations/fedreg/2017/04/05/2017-06683.html Wed, 05 Apr 2017 00:00:00 -0700 2017-06683 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-04-05/pdf/2017-06683.pdf Notice - Self-Regulatory Organizations; Fixed Income Clearing Corporation; Notice of No Objection to Advance Notice Filing To (1) Implement the Margin Proxy and (2) Modify the Calculation of the Coverage Charge in Circumstances Where the Margin Proxy Applies https://regulations.justia.com/regulations/fedreg/2017/04/05/2017-06682.html https://regulations.justia.com/regulations/fedreg/2017/04/05/2017-06682.html Wed, 05 Apr 2017 00:00:00 -0700 2017-06682 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-04-05/pdf/2017-06682.pdf Notice - Sunshine Act Meeting https://regulations.justia.com/regulations/fedreg/2017/04/04/2017-06691.html https://regulations.justia.com/regulations/fedreg/2017/04/04/2017-06691.html Tue, 04 Apr 2017 00:00:00 -0700 2017-06691 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-04-04/pdf/2017-06691.pdf Notice - Sunshine Act Meeting https://regulations.justia.com/regulations/fedreg/2017/04/04/2017-06690.html https://regulations.justia.com/regulations/fedreg/2017/04/04/2017-06690.html Tue, 04 Apr 2017 00:00:00 -0700 2017-06690 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-04-04/pdf/2017-06690.pdf Notice - Order Granting Application by C2 Options Exchange, Incorporated for an Exemption Pursuant to Section 36(a) of the Exchange Act From the Rule Filing Requirements of Section 19(b) of the Exchange Act With Respect to Certain Rules Incorporated by Reference https://regulations.justia.com/regulations/fedreg/2017/04/04/2017-06571.html https://regulations.justia.com/regulations/fedreg/2017/04/04/2017-06571.html Tue, 04 Apr 2017 00:00:00 -0700 2017-06571 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-04-04/pdf/2017-06571.pdf Notice - Order Granting Application by MIAX PEARL, LLC for an Exemption Pursuant to Section 36(a) of the Exchange Act From the Rule Filing Requirements of Section 19(b) of the Exchange Act With Respect to Certain Rules Incorporated by Reference https://regulations.justia.com/regulations/fedreg/2017/04/04/2017-06570.html https://regulations.justia.com/regulations/fedreg/2017/04/04/2017-06570.html Tue, 04 Apr 2017 00:00:00 -0700 2017-06570 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-04-04/pdf/2017-06570.pdf Notice - Self-Regulatory Organizations; NYSE MKT LLC; Notice of Designation of a Longer Period for Commission Action on a 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 https://regulations.justia.com/regulations/fedreg/2017/04/04/2017-06569.html https://regulations.justia.com/regulations/fedreg/2017/04/04/2017-06569.html Tue, 04 Apr 2017 00:00:00 -0700 2017-06569 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-04-04/pdf/2017-06569.pdf Notice - Self-Regulatory Organizations; NYSE MKT LLC; Notice of Designation of a Longer Period for Commission Action on a Proposed Rule Change Relating to Market Makers Applicable When the Exchange Transitions Trading to Pillar, the Exchange's New Trading Technology Platform https://regulations.justia.com/regulations/fedreg/2017/04/04/2017-06568.html https://regulations.justia.com/regulations/fedreg/2017/04/04/2017-06568.html Tue, 04 Apr 2017 00:00:00 -0700 2017-06568 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-04-04/pdf/2017-06568.pdf Notice - Self-Regulatory Organizations; New York Stock Exchange LLC; Order Approving Proposed Rule Change Amending Rule 98 https://regulations.justia.com/regulations/fedreg/2017/04/04/2017-06567.html https://regulations.justia.com/regulations/fedreg/2017/04/04/2017-06567.html Tue, 04 Apr 2017 00:00:00 -0700 2017-06567 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-04-04/pdf/2017-06567.pdf Notice - Self-Regulatory Organizations: Investors Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Correct Typographical Errors in SR-IEX-2017-06 https://regulations.justia.com/regulations/fedreg/2017/04/04/2017-06566.html https://regulations.justia.com/regulations/fedreg/2017/04/04/2017-06566.html Tue, 04 Apr 2017 00:00:00 -0700 2017-06566 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-04-04/pdf/2017-06566.pdf Notice - Self-Regulatory Organizations; NYSE MKT LLC; Order Approving Proposed Rule Change To Amend Rule 925.1NY Regarding Market Maker Quotations, Including To Adopt a Market Maker Light Only Quotation https://regulations.justia.com/regulations/fedreg/2017/04/04/2017-06565.html https://regulations.justia.com/regulations/fedreg/2017/04/04/2017-06565.html Tue, 04 Apr 2017 00:00:00 -0700 2017-06565 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-04-04/pdf/2017-06565.pdf Notice - Self-Regulatory Organizations; NYSE Arca, Inc.; Order Approving Proposed Rule Change To Amend Rule 6.37B Regarding Market Maker Quotations, Including To Adopt a Market Maker Light Only Quotation https://regulations.justia.com/regulations/fedreg/2017/04/04/2017-06564.html https://regulations.justia.com/regulations/fedreg/2017/04/04/2017-06564.html Tue, 04 Apr 2017 00:00:00 -0700 2017-06564 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-04-04/pdf/2017-06564.pdf Notice - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Filing of a Proposed Rule Change Relating to Reporting Duties https://regulations.justia.com/regulations/fedreg/2017/04/04/2017-06563.html https://regulations.justia.com/regulations/fedreg/2017/04/04/2017-06563.html Tue, 04 Apr 2017 00:00:00 -0700 2017-06563 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-04-04/pdf/2017-06563.pdf Notice - Self-Regulatory Organizations; Municipal Securities Rulemaking Board; Notice of Filing of a Proposed Rule Change to Rule G-3, on Professional Qualification Requirements, and Rule G-8, on Books and Records, To Establish Continuing Education Requirements for Municipal Advisors and Accompanying Recordkeeping Requirements https://regulations.justia.com/regulations/fedreg/2017/04/04/2017-06562.html https://regulations.justia.com/regulations/fedreg/2017/04/04/2017-06562.html Tue, 04 Apr 2017 00:00:00 -0700 2017-06562 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-04-04/pdf/2017-06562.pdf Notice - Self-Regulatory Organizations; ISE Mercury, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Rename the Exchange as Nasdaq MRX, LLC https://regulations.justia.com/regulations/fedreg/2017/04/04/2017-06561.html https://regulations.justia.com/regulations/fedreg/2017/04/04/2017-06561.html Tue, 04 Apr 2017 00:00:00 -0700 2017-06561 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-04-04/pdf/2017-06561.pdf Notice - Self-Regulatory Organizations; International Securities Exchange, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Rename the Exchange as Nasdaq ISE, LLC https://regulations.justia.com/regulations/fedreg/2017/04/04/2017-06560.html https://regulations.justia.com/regulations/fedreg/2017/04/04/2017-06560.html Tue, 04 Apr 2017 00:00:00 -0700 2017-06560 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-04-04/pdf/2017-06560.pdf Notice - Self-Regulatory Organizations; The Options Clearing Corporation; Notice of Filing of Advance Notice Concerning Enhancements to OCC's Stock Loan Programs https://regulations.justia.com/regulations/fedreg/2017/04/03/2017-06443.html https://regulations.justia.com/regulations/fedreg/2017/04/03/2017-06443.html Mon, 03 Apr 2017 00:00:00 -0700 2017-06443 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-04-03/pdf/2017-06443.pdf Notice - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to the Private Placement Filer Form Under FINRA Rules 5122 and 5123 https://regulations.justia.com/regulations/fedreg/2017/04/03/2017-06442.html https://regulations.justia.com/regulations/fedreg/2017/04/03/2017-06442.html Mon, 03 Apr 2017 00:00:00 -0700 2017-06442 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-04-03/pdf/2017-06442.pdf Notice - Self-Regulatory Organizations; NYSE Arca, Inc.; Order Disapproving a Proposed Rule Change, as Modified by Amendment No. 1, Relating to the Listing and Trading of Shares of the SolidX Bitcoin Trust Under NYSE Arca Equities Rule 8.201 https://regulations.justia.com/regulations/fedreg/2017/04/03/2017-06441.html https://regulations.justia.com/regulations/fedreg/2017/04/03/2017-06441.html Mon, 03 Apr 2017 00:00:00 -0700 2017-06441 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-04-03/pdf/2017-06441.pdf Notice - Self-Regulatory Organizations; ICE Clear Credit LLC; Order Approving Proposed Rule Change To Revise Liquidity Thresholds for Euro Denominated Products https://regulations.justia.com/regulations/fedreg/2017/04/03/2017-06440.html https://regulations.justia.com/regulations/fedreg/2017/04/03/2017-06440.html Mon, 03 Apr 2017 00:00:00 -0700 2017-06440 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-04-03/pdf/2017-06440.pdf