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Justia
US Law
US Regulations
Securities and Exchange Commission
2017
May
24
Securities and Exchange Commission May 24, 2017 – Federal Register Recent Federal Regulation Documents
Results 1 - 20 of 20
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Sunshine Act Meeting; Date and Time Change
Document Number:
2017-10694
Type:
Notice
Date:
2017-05-24
Agency:
Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2017/05/24/2017-10694.html
Submission for OMB Review; Comment Request
Document Number:
2017-10620
Type:
Notice
Date:
2017-05-24
Agency:
Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2017/05/24/2017-10620.html
Submission for OMB Review; Comment Request
Document Number:
2017-10619
Type:
Notice
Date:
2017-05-24
Agency:
Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2017/05/24/2017-10619.html
Proposed Collection; Comment Request
Document Number:
2017-10618
Type:
Notice
Date:
2017-05-24
Agency:
Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2017/05/24/2017-10618.html
Submission for OMB Review; Comment Request
Document Number:
2017-10617
Type:
Notice
Date:
2017-05-24
Agency:
Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2017/05/24/2017-10617.html
Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Extend the Tier Size Pilot of Rule 6433 (Minimum Quotation Size Requirements for OTC Equity Securities)
Document Number:
2017-10596
Type:
Notice
Date:
2017-05-24
Agency:
Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2017/05/24/2017-10596.html
Self-Regulatory Organizations; Nasdaq MRX, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Adopt Section IV of the MRX Fee Schedule
Document Number:
2017-10595
Type:
Notice
Date:
2017-05-24
Agency:
Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2017/05/24/2017-10595.html
Self-Regulatory Organizations; NASDAQ PHLX LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the Exchange's Pricing Schedule at Section XIV
Document Number:
2017-10594
Type:
Notice
Date:
2017-05-24
Agency:
Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2017/05/24/2017-10594.html
Self-Regulatory Organizations; MIAX PEARL, LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend MIAX PEARL Rules 503 and 515
Document Number:
2017-10593
Type:
Notice
Date:
2017-05-24
Agency:
Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2017/05/24/2017-10593.html
Self-Regulatory Organizations; NYSE MKT LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Rule 103B-Equities
Document Number:
2017-10592
Type:
Notice
Date:
2017-05-24
Agency:
Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2017/05/24/2017-10592.html
Self-Regulatory Organizations; Nasdaq GEMX, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the Exchange's Schedule of Fees To Offer the Historical GEMX Open/Close Trade Profile
Document Number:
2017-10590
Type:
Notice
Date:
2017-05-24
Agency:
Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2017/05/24/2017-10590.html
Self-Regulatory Organizations; BOX Options Exchange LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the BOX Fee Schedule To Adopt a Fee Schedule To Establish the Fees for Industry Members Related to the National Market System Plan Governing the Consolidated Audit Trail
Document Number:
2017-10589
Type:
Notice
Date:
2017-05-24
Agency:
Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2017/05/24/2017-10589.html
Self-Regulatory Organizations; BOX Options Exchange LLC; Notice of Designation of Longer Period for Commission Action on Proceedings To Determine Whether To Approve or Disapprove a Proposed Rule Change, as Modified by Amendment Nos. 1 and 2 Thereto, To Adopt Rules for an Open-Outcry Trading Floor
Document Number:
2017-10587
Type:
Notice
Date:
2017-05-24
Agency:
Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2017/05/24/2017-10587.html
Self-Regulatory Organizations; Nasdaq ISE, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Temporarily Suspend the Implementation of QCC With Stock Order Functionality Upon Migration to INET
Document Number:
2017-10586
Type:
Notice
Date:
2017-05-24
Agency:
Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2017/05/24/2017-10586.html
Self-Regulatory Organizations; Fixed Income Clearing Corporation; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Establish Fees for Government Securities Division CCIT Members, and Netting Members That Engage in CCIT Transactions
Document Number:
2017-10585
Type:
Notice
Date:
2017-05-24
Agency:
Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2017/05/24/2017-10585.html
Self-Regulatory Organizations; Fixed Income Clearing Corporation; Notice of Filing of Proposed Rule Change to the Mortgage-Backed Securities Division Clearing Rules Regarding Fixed Income Clearing Corporation's (1) Time of Novation, (2) Treatment of Itself as the Settlement Counterparty for Certain Transaction Types, and (3) Proposal To Implement New Processes To Promote Operational Efficiencies for Its Clearing Members
Document Number:
2017-10584
Type:
Notice
Date:
2017-05-24
Agency:
Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2017/05/24/2017-10584.html
Self-Regulatory Organizations; Nasdaq ISE, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Adopt Section X of the ISE Fee Schedule
Document Number:
2017-10583
Type:
Notice
Date:
2017-05-24
Agency:
Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2017/05/24/2017-10583.html
Self-Regulatory Organizations; Bats BZX Exchange, Inc.; Notice of Withdrawal of a Proposed Rule Change to Bats BZX Rule 14.13, Company Listing Fees, and to the Bats BZX Fee Schedule
Document Number:
2017-10582
Type:
Notice
Date:
2017-05-24
Agency:
Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2017/05/24/2017-10582.html
Self-Regulatory Organizations; Nasdaq GEMX, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Adopt Section VI of the GEMX Fee Schedule
Document Number:
2017-10581
Type:
Notice
Date:
2017-05-24
Agency:
Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2017/05/24/2017-10581.html
The Mexico Equity & Income Fund, Inc. and Pichardo Asset Management, S.A. de C.V.
Document Number:
2017-10578
Type:
Notice
Date:
2017-05-24
Agency:
Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2017/05/24/2017-10578.html