Federal Register Recent Federal Regulation Documents - Justia Regulation Tracker - Justia Regulations Tracker https://regulations.justia.com/regulations/fedreg/agencies/securities-and-exchange-commission/2017/05?limit=200&registers=between&min-day=1&max-day=31&mode=atom 2020-10-21T15:22:06-07:00 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/2017/05/31/2017-11281.html Notice - Sunshine Act Meeting 2017-05-31T00:00:00-07:00 2017-05-31T00:00:00-07:00 2017-11281 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-05-31/pdf/2017-11281.pdf https://regulations.justia.com/regulations/fedreg/2017/05/31/2017-11178.html Notice - Investor Advisory Committee Meeting 2017-05-31T00:00:00-07:00 2017-05-31T00:00:00-07:00 2017-11178 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-05-31/pdf/2017-11178.pdf https://regulations.justia.com/regulations/fedreg/2017/05/31/2017-11152.html Notice - Series Portfolios Trust and Highmore Group Advisors, LLC 2017-05-31T00:00:00-07:00 2017-05-31T00:00:00-07:00 2017-11152 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-05-31/pdf/2017-11152.pdf https://regulations.justia.com/regulations/fedreg/2017/05/31/2017-11151.html Notice - Self-Regulatory Organizations; The Depository Trust Company; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Modify the DTC Settlement Service Guide To Make Technical Revisions To Clarify and Provide Enhanced Transparency With Respect to the Calculation and Adjustment of Required Participants Fund Deposits 2017-05-31T00:00:00-07:00 2017-05-31T00:00:00-07:00 2017-11151 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-05-31/pdf/2017-11151.pdf https://regulations.justia.com/regulations/fedreg/2017/05/31/2017-11150.html Notice - Self-Regulatory Organizations; Nasdaq GEMX, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Cancel and Replace Rule 2017-05-31T00:00:00-07:00 2017-05-31T00:00:00-07:00 2017-11150 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-05-31/pdf/2017-11150.pdf https://regulations.justia.com/regulations/fedreg/2017/05/31/2017-11149.html Notice - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to Market-Maker Reports of Executed Orders 2017-05-31T00:00:00-07:00 2017-05-31T00:00:00-07:00 2017-11149 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-05-31/pdf/2017-11149.pdf https://regulations.justia.com/regulations/fedreg/2017/05/31/2017-11148.html Notice - Self-Regulatory Organizations; C2 Options Exchange, Incorporated; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating To Market-Maker Reports of Executed Orders 2017-05-31T00:00:00-07:00 2017-05-31T00:00:00-07:00 2017-11148 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-05-31/pdf/2017-11148.pdf https://regulations.justia.com/regulations/fedreg/2017/05/31/2017-11147.html Notice - Self-Regulatory Organizations; MIAX PEARL, LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend MIAX PEARL Rule 510 To Extend the Penny Pilot Program 2017-05-31T00:00:00-07:00 2017-05-31T00:00:00-07:00 2017-11147 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-05-31/pdf/2017-11147.pdf https://regulations.justia.com/regulations/fedreg/2017/05/31/2017-11146.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 510 To Extend the Penny Pilot Program 2017-05-31T00:00:00-07:00 2017-05-31T00:00:00-07:00 2017-11146 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-05-31/pdf/2017-11146.pdf https://regulations.justia.com/regulations/fedreg/2017/05/31/2017-11145.html Notice - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Extend the Penny Pilot Program 2017-05-31T00:00:00-07:00 2017-05-31T00:00:00-07:00 2017-11145 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-05-31/pdf/2017-11145.pdf https://regulations.justia.com/regulations/fedreg/2017/05/31/2017-11144.html Notice - Self-Regulatory Organizations; NASDAQ PHLX LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Extend the Penny Pilot Program 2017-05-31T00:00:00-07:00 2017-05-31T00:00:00-07:00 2017-11144 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-05-31/pdf/2017-11144.pdf https://regulations.justia.com/regulations/fedreg/2017/05/31/2017-11143.html Notice - Self-Regulatory Organizations; Chicago Stock Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Modify Certain Appendix B Web Site Publication Requirements Pursuant to the Regulation NMS Plan To Implement a Tick Size Pilot Program 2017-05-31T00:00:00-07:00 2017-05-31T00:00:00-07:00 2017-11143 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-05-31/pdf/2017-11143.pdf https://regulations.justia.com/regulations/fedreg/2017/05/31/2017-11142.html Notice - Self-Regulatory Organizations; New York Stock Exchange LLC; NYSE MKT LLC; Notice of Designation of a Longer Period for Commission Action on Proposed Rule Changes Amending NYSE Rule 36 and NYSE MKT Rule 36-Equities To Permit Exchange Floor Brokers To Use Non-Exchange Provided Telephones on the Floor 2017-05-31T00:00:00-07:00 2017-05-31T00:00:00-07:00 2017-11142 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-05-31/pdf/2017-11142.pdf https://regulations.justia.com/regulations/fedreg/2017/05/31/2017-11141.html Notice - Self-Regulatory Organizations; New York Stock Exchange LLC; NYSE Arca, Inc.; NYSE MKT LLC; NYSE National, Inc.; Order Approving Proposed Rule Changes To Amend the Certificate and Bylaws of Their Ultimate Parent Company, Intercontinental Exchange, Inc. 2017-05-31T00:00:00-07:00 2017-05-31T00:00:00-07:00 2017-11141 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-05-31/pdf/2017-11141.pdf https://regulations.justia.com/regulations/fedreg/2017/05/30/2017-10984.html Notice - Self-Regulatory Organizations; Nasdaq ISE, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Regarding the Opening Process 2017-05-30T00:00:00-07:00 2017-05-30T00:00:00-07:00 2017-10984 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-05-30/pdf/2017-10984.pdf https://regulations.justia.com/regulations/fedreg/2017/05/30/2017-10983.html Notice - Self-Regulatory Organizations; NYSE MKT LLC; Notice of Filing and Immediate Effectiveness of Proposed Change To Amend the Rules of the Exchange, the NYSE MKT Equities Price List, the NYSE Amex Options Fee Schedule, and the NYSE Amex Options Proprietary Market Data Fees 2017-05-30T00:00:00-07:00 2017-05-30T00:00:00-07:00 2017-10983 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-05-30/pdf/2017-10983.pdf https://regulations.justia.com/regulations/fedreg/2017/05/30/2017-10975.html Notice - Self-Regulatory Organizations; Nasdaq GEMX, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Regarding the Opening Process 2017-05-30T00:00:00-07:00 2017-05-30T00:00:00-07:00 2017-10975 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-05-30/pdf/2017-10975.pdf https://regulations.justia.com/regulations/fedreg/2017/05/30/2017-10974.html Notice - Self-Regulatory Organizations; NYSE MKT LLC; Notice of Designation of a Longer Period for Commission Action on Proceedings To Determine Whether To Approve or Disapprove a Proposed Rule Change, as Modified by Amendments No. 1 and 2, 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 2017-05-30T00:00:00-07:00 2017-05-30T00:00:00-07:00 2017-10974 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-05-30/pdf/2017-10974.pdf https://regulations.justia.com/regulations/fedreg/2017/05/30/2017-10973.html Notice - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Order Granting Approval of a Proposed Rule Change, as Modified by Amendments No. 1 and 2, To List and Trade Shares of the First Trust California Municipal High Income ETF 2017-05-30T00:00:00-07:00 2017-05-30T00:00:00-07:00 2017-10973 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-05-30/pdf/2017-10973.pdf https://regulations.justia.com/regulations/fedreg/2017/05/30/2017-10972.html Notice - Self-Regulatory Organizations; Nasdaq ISE, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the Schedule of Fees To Decrease Member Order Routing Program Rebates 2017-05-30T00:00:00-07:00 2017-05-30T00:00:00-07:00 2017-10972 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-05-30/pdf/2017-10972.pdf https://regulations.justia.com/regulations/fedreg/2017/05/26/2017-10893.html Notice - Submission for OMB Review; Comment Request 2017-05-26T00:00:00-07:00 2017-05-26T00:00:00-07:00 2017-10893 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-05-26/pdf/2017-10893.pdf https://regulations.justia.com/regulations/fedreg/2017/05/26/2017-10892.html Notice - Submission for OMB Review; Comment Request 2017-05-26T00:00:00-07:00 2017-05-26T00:00:00-07:00 2017-10892 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-05-26/pdf/2017-10892.pdf https://regulations.justia.com/regulations/fedreg/2017/05/26/2017-10891.html Notice - Submission for OMB Review; Comment Request 2017-05-26T00:00:00-07:00 2017-05-26T00:00:00-07:00 2017-10891 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-05-26/pdf/2017-10891.pdf https://regulations.justia.com/regulations/fedreg/2017/05/26/2017-10890.html Notice - Submission for OMB Review; Comment Request 2017-05-26T00:00:00-07:00 2017-05-26T00:00:00-07:00 2017-10890 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-05-26/pdf/2017-10890.pdf https://regulations.justia.com/regulations/fedreg/2017/05/26/2017-10830.html Notice - TICC Capital Corp., et al. 2017-05-26T00:00:00-07:00 2017-05-26T00:00:00-07:00 2017-10830 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-05-26/pdf/2017-10830.pdf https://regulations.justia.com/regulations/fedreg/2017/05/26/2017-10807.html Notice - Self-Regulatory Organizations; Chicago Stock Exchange, Inc.; Order Instituting Proceedings To Determine Whether To Approve or Disapprove a Proposed Rule Change To Adopt the CHX Liquidity Enhancing Access Delay 2017-05-26T00:00:00-07:00 2017-05-26T00:00:00-07:00 2017-10807 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-05-26/pdf/2017-10807.pdf https://regulations.justia.com/regulations/fedreg/2017/05/26/2017-10795.html Notice - Corporate Capital Trust, Inc., et al. 2017-05-26T00:00:00-07:00 2017-05-26T00:00:00-07:00 2017-10795 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-05-26/pdf/2017-10795.pdf https://regulations.justia.com/regulations/fedreg/2017/05/26/2017-10794.html Notice - Submission for OMB Review; Comment Request 2017-05-26T00:00:00-07:00 2017-05-26T00:00:00-07:00 2017-10794 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-05-26/pdf/2017-10794.pdf https://regulations.justia.com/regulations/fedreg/2017/05/26/2017-10793.html Notice - Submission for OMB Review; Comment Request 2017-05-26T00:00:00-07:00 2017-05-26T00:00:00-07:00 2017-10793 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-05-26/pdf/2017-10793.pdf https://regulations.justia.com/regulations/fedreg/2017/05/26/2017-10790.html Notice - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Order Approving a Proposed Rule Change Relating to the Exposure Periods of the Automated Improvement Mechanism and the Solicitation Auction Mechanism 2017-05-26T00:00:00-07:00 2017-05-26T00:00:00-07:00 2017-10790 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-05-26/pdf/2017-10790.pdf https://regulations.justia.com/regulations/fedreg/2017/05/25/2017-10691.html Notice - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Designation of a Longer Period for Commission Action on Proposed Rule Change Amending Its Listing Standards for Special Purpose Acquisition Companies To Modify the Initial and Continued Distribution Requirements 2017-05-25T00:00:00-07:00 2017-05-25T00:00:00-07:00 2017-10691 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-05-25/pdf/2017-10691.pdf https://regulations.justia.com/regulations/fedreg/2017/05/25/2017-10690.html Notice - Self-Regulatory Organizations; The Depository Trust Company; Fixed Income Clearing Corporation; National Securities Clearing Corporation; Order Approving Proposed Rule Changes To Enhance the Credit Risk Rating Matrix and Make Other Changes 2017-05-25T00:00:00-07:00 2017-05-25T00:00:00-07:00 2017-10690 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-05-25/pdf/2017-10690.pdf https://regulations.justia.com/regulations/fedreg/2017/05/25/2017-10689.html Notice - Self-Regulatory Organizations; The Depository Trust Company; Fixed Income Clearing Corporation; National Securities Clearing Corporation; Notice of No Objection to Advance Notices To Enhance the Credit Risk Rating Matrix and Make Other Changes 2017-05-25T00:00:00-07:00 2017-05-25T00:00:00-07:00 2017-10689 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-05-25/pdf/2017-10689.pdf https://regulations.justia.com/regulations/fedreg/2017/05/25/2017-10688.html Notice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing of Proposed Rule Change Relating to the Listing and Trading of the GraniteShares Gold Trust Under NYSE Arca Equities Rule 8.201 2017-05-25T00:00:00-07:00 2017-05-25T00:00:00-07:00 2017-10688 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-05-25/pdf/2017-10688.pdf https://regulations.justia.com/regulations/fedreg/2017/05/25/2017-10687.html Notice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing of Amendment No. 2 to a Proposed Rule Change Relating to the Listing and Trading of Shares of the Bitcoin Investment Trust Under NYSE Arca Equities Rule 8.201 2017-05-25T00:00:00-07:00 2017-05-25T00:00:00-07:00 2017-10687 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-05-25/pdf/2017-10687.pdf https://regulations.justia.com/regulations/fedreg/2017/05/25/2017-10686.html Notice - Self-Regulatory Organizations; Bats BZX Exchange, Inc.; Notice of Filing of a Proposed Rule Change To Amend BZX Rule 14.11, Other Securities, To Provide for the Inclusion of Cash in an Index Underlying a Series of Index Fund Shares 2017-05-25T00:00:00-07:00 2017-05-25T00:00:00-07:00 2017-10686 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-05-25/pdf/2017-10686.pdf https://regulations.justia.com/regulations/fedreg/2017/05/24/2017-10694.html Notice - Sunshine Act Meeting; Date and Time Change 2017-05-24T00:00:00-07:00 2017-05-24T00:00:00-07:00 2017-10694 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-05-24/pdf/2017-10694.pdf https://regulations.justia.com/regulations/fedreg/2017/05/24/2017-10620.html Notice - Submission for OMB Review; Comment Request 2017-05-24T00:00:00-07:00 2017-05-24T00:00:00-07:00 2017-10620 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-05-24/pdf/2017-10620.pdf https://regulations.justia.com/regulations/fedreg/2017/05/24/2017-10619.html Notice - Submission for OMB Review; Comment Request 2017-05-24T00:00:00-07:00 2017-05-24T00:00:00-07:00 2017-10619 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-05-24/pdf/2017-10619.pdf https://regulations.justia.com/regulations/fedreg/2017/05/24/2017-10618.html Notice - Proposed Collection; Comment Request 2017-05-24T00:00:00-07:00 2017-05-24T00:00:00-07:00 2017-10618 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-05-24/pdf/2017-10618.pdf https://regulations.justia.com/regulations/fedreg/2017/05/24/2017-10617.html Notice - Submission for OMB Review; Comment Request 2017-05-24T00:00:00-07:00 2017-05-24T00:00:00-07:00 2017-10617 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-05-24/pdf/2017-10617.pdf https://regulations.justia.com/regulations/fedreg/2017/05/24/2017-10596.html Notice - 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) 2017-05-24T00:00:00-07:00 2017-05-24T00:00:00-07:00 2017-10596 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-05-24/pdf/2017-10596.pdf https://regulations.justia.com/regulations/fedreg/2017/05/24/2017-10595.html Notice - 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 2017-05-24T00:00:00-07:00 2017-05-24T00:00:00-07:00 2017-10595 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-05-24/pdf/2017-10595.pdf https://regulations.justia.com/regulations/fedreg/2017/05/24/2017-10594.html Notice - 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 2017-05-24T00:00:00-07:00 2017-05-24T00:00:00-07:00 2017-10594 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-05-24/pdf/2017-10594.pdf https://regulations.justia.com/regulations/fedreg/2017/05/24/2017-10593.html Notice - 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 2017-05-24T00:00:00-07:00 2017-05-24T00:00:00-07:00 2017-10593 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-05-24/pdf/2017-10593.pdf https://regulations.justia.com/regulations/fedreg/2017/05/24/2017-10592.html Notice - Self-Regulatory Organizations; NYSE MKT LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Rule 103B-Equities 2017-05-24T00:00:00-07:00 2017-05-24T00:00:00-07:00 2017-10592 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-05-24/pdf/2017-10592.pdf https://regulations.justia.com/regulations/fedreg/2017/05/24/2017-10590.html Notice - 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 2017-05-24T00:00:00-07:00 2017-05-24T00:00:00-07:00 2017-10590 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-05-24/pdf/2017-10590.pdf https://regulations.justia.com/regulations/fedreg/2017/05/24/2017-10589.html Notice - 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 2017-05-24T00:00:00-07:00 2017-05-24T00:00:00-07:00 2017-10589 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-05-24/pdf/2017-10589.pdf https://regulations.justia.com/regulations/fedreg/2017/05/24/2017-10587.html Notice - 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 2017-05-24T00:00:00-07:00 2017-05-24T00:00:00-07:00 2017-10587 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-05-24/pdf/2017-10587.pdf https://regulations.justia.com/regulations/fedreg/2017/05/24/2017-10586.html Notice - 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 2017-05-24T00:00:00-07:00 2017-05-24T00:00:00-07:00 2017-10586 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-05-24/pdf/2017-10586.pdf https://regulations.justia.com/regulations/fedreg/2017/05/24/2017-10585.html Notice - 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 2017-05-24T00:00:00-07:00 2017-05-24T00:00:00-07:00 2017-10585 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-05-24/pdf/2017-10585.pdf https://regulations.justia.com/regulations/fedreg/2017/05/24/2017-10584.html Notice - 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 2017-05-24T00:00:00-07:00 2017-05-24T00:00:00-07:00 2017-10584 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-05-24/pdf/2017-10584.pdf https://regulations.justia.com/regulations/fedreg/2017/05/24/2017-10583.html Notice - 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 2017-05-24T00:00:00-07:00 2017-05-24T00:00:00-07:00 2017-10583 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-05-24/pdf/2017-10583.pdf https://regulations.justia.com/regulations/fedreg/2017/05/24/2017-10582.html Notice - 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 2017-05-24T00:00:00-07:00 2017-05-24T00:00:00-07:00 2017-10582 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-05-24/pdf/2017-10582.pdf https://regulations.justia.com/regulations/fedreg/2017/05/24/2017-10581.html Notice - 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 2017-05-24T00:00:00-07:00 2017-05-24T00:00:00-07:00 2017-10581 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-05-24/pdf/2017-10581.pdf https://regulations.justia.com/regulations/fedreg/2017/05/24/2017-10578.html Notice - The Mexico Equity & Income Fund, Inc. and Pichardo Asset Management, S.A. de C.V. 2017-05-24T00:00:00-07:00 2017-05-24T00:00:00-07:00 2017-10578 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-05-24/pdf/2017-10578.pdf https://regulations.justia.com/regulations/fedreg/2017/05/23/2017-10605.html Notice - Sunshine Act Meeting 2017-05-23T00:00:00-07:00 2017-05-23T00:00:00-07:00 2017-10605 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-05-23/pdf/2017-10605.pdf https://regulations.justia.com/regulations/fedreg/2017/05/23/2017-10588.html Notice - Self-Regulatory Organizations; BOX Options Exchange LLC; Notice of Filing of Amendment No. 2 to a Proposed Rule Change To Adopt Rules for an Open-Outcry Trading Floor 2017-05-23T00:00:00-07:00 2017-05-23T00:00:00-07:00 2017-10588 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-05-23/pdf/2017-10588.pdf https://regulations.justia.com/regulations/fedreg/2017/05/23/2017-10466.html Notice - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Adopt a Fee Schedule To Establish the Fees for Industry Members Related to the National Market System Plan Governing the Consolidated Audit Trail 2017-05-23T00:00:00-07:00 2017-05-23T00:00:00-07:00 2017-10466 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-05-23/pdf/2017-10466.pdf https://regulations.justia.com/regulations/fedreg/2017/05/23/2017-10465.html Notice - Self-Regulatory Organizations; Bats BZX Exchange, Inc.; Notice of Filing of a Proposed Rule Change To Amend Rule 20.6, Nullification and Adjustment of Options Transactions Including Obvious Errors 2017-05-23T00:00:00-07:00 2017-05-23T00:00:00-07:00 2017-10465 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-05-23/pdf/2017-10465.pdf https://regulations.justia.com/regulations/fedreg/2017/05/23/2017-10464.html Notice - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Continued Listing Standards for Exchange-Traded Products 2017-05-23T00:00:00-07:00 2017-05-23T00:00:00-07:00 2017-10464 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-05-23/pdf/2017-10464.pdf https://regulations.justia.com/regulations/fedreg/2017/05/23/2017-10463.html Notice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing of Proposed Rule Change To Amend NYSE Arca Equities Rule 5.2(j)(6) Relating to Equity Index-Linked Securities 2017-05-23T00:00:00-07:00 2017-05-23T00:00:00-07:00 2017-10463 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-05-23/pdf/2017-10463.pdf https://regulations.justia.com/regulations/fedreg/2017/05/23/2017-10462.html Notice - Self-Regulatory Organizations; ICE Clear Europe Limited; Notice of Filing of Proposed Rule Change, Security-Based Swap Submission or Advance Notice Relating to Clearing House Contributions to CDS Default Resources 2017-05-23T00:00:00-07:00 2017-05-23T00:00:00-07:00 2017-10462 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-05-23/pdf/2017-10462.pdf https://regulations.justia.com/regulations/fedreg/2017/05/22/2017-10355.html Notice - Solar Capital Ltd., et al. 2017-05-22T00:00:00-07:00 2017-05-22T00:00:00-07:00 2017-10355 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-05-22/pdf/2017-10355.pdf https://regulations.justia.com/regulations/fedreg/2017/05/22/2017-10312.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 Rules 301, Just and Equitable Principles of Trade; Rule 308, Exemptions From Position Limits; Rule 404, Series of Option Contracts Open for Trading; Rule 514, Priority of Quotes and Orders; Rule 1325, Telemarketing; and Rule 1400, Definitions 2017-05-22T00:00:00-07:00 2017-05-22T00:00:00-07:00 2017-10312 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-05-22/pdf/2017-10312.pdf https://regulations.justia.com/regulations/fedreg/2017/05/22/2017-10311.html Notice - Self-Regulatory Organizations; Bats EDGX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Rule 11.22 of Bats EDGX Exchange, Inc. To Modify the Date of Appendix B Web Site Data Publication Pursuant to the Regulation NMS Plan To Implement a Tick Size Pilot Program 2017-05-22T00:00:00-07:00 2017-05-22T00:00:00-07:00 2017-10311 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-05-22/pdf/2017-10311.pdf https://regulations.justia.com/regulations/fedreg/2017/05/22/2017-10310.html Notice - Self-Regulatory Organizations; Bats BYX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Rule 11.27 of Bats BYX Exchange, Inc. To Modify the Date of Appendix B Web Site Data Publication Pursuant To the Regulation NMS Plan To Implement a Tick Size Pilot Program 2017-05-22T00:00:00-07:00 2017-05-22T00:00:00-07:00 2017-10310 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-05-22/pdf/2017-10310.pdf https://regulations.justia.com/regulations/fedreg/2017/05/22/2017-10309.html Notice - Self-Regulatory Organizations; Bats BZX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Rule 11.27 of Bats BZX Exchange, Inc. To Modify the Date of Appendix B Web Site Data Publication Pursuant to the Regulation NMS Plan To Implement a Tick Size Pilot Program 2017-05-22T00:00:00-07:00 2017-05-22T00:00:00-07:00 2017-10309 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-05-22/pdf/2017-10309.pdf https://regulations.justia.com/regulations/fedreg/2017/05/22/2017-10308.html Notice - Self-Regulatory Organizations; Bats EDGA Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Rule 11.21 of Bats EDGA Exchange, Inc. To Modify the Date of Appendix B Web site Data Publication Pursuant to the Regulation NMS Plan To Implement a Tick Size Pilot Program 2017-05-22T00:00:00-07:00 2017-05-22T00:00:00-07:00 2017-10308 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-05-22/pdf/2017-10308.pdf https://regulations.justia.com/regulations/fedreg/2017/05/22/2017-10307.html Notice - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing of a Proposed Rule Change To Amend FINRA Rule 7730 To Reduce the Delay Period for the Historic TRACE Data Sets Relating to Corporate and Agency Debt Securities 2017-05-22T00:00:00-07:00 2017-05-22T00:00:00-07:00 2017-10307 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-05-22/pdf/2017-10307.pdf https://regulations.justia.com/regulations/fedreg/2017/05/22/2017-10306.html Notice - Self-Regulatory Organizations; Nasdaq ISE, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the Schedule of Fees To Modify Fees and Rebates for PIM Orders 2017-05-22T00:00:00-07:00 2017-05-22T00:00:00-07:00 2017-10306 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-05-22/pdf/2017-10306.pdf https://regulations.justia.com/regulations/fedreg/2017/05/22/2017-10305.html Notice - Self-Regulatory Organizations; Bats BZX Exchange, Inc.; Notice of Filing of a Proposed Rule Change To Introduce Bats Market Close, a Closing Match Process for Non-BZX Listed Securities Under New Exchange Rule 11.28 2017-05-22T00:00:00-07:00 2017-05-22T00:00:00-07:00 2017-10305 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-05-22/pdf/2017-10305.pdf https://regulations.justia.com/regulations/fedreg/2017/05/22/2017-10304.html Notice - Self-Regulatory Organizations; NYSE MKT LLC; Order Approving Proposed Rule Change Amending Rules 7.29E and 1.1E To Provide for a Delay Mechanism 2017-05-22T00:00:00-07:00 2017-05-22T00:00:00-07:00 2017-10304 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-05-22/pdf/2017-10304.pdf https://regulations.justia.com/regulations/fedreg/2017/05/22/2017-10303.html Notice - Self-Regulatory Organizations; Municipal Securities Rulemaking Board; Order Granting Approval of a Proposed Rule Change Consisting of Proposed Amendments 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 2017-05-22T00:00:00-07:00 2017-05-22T00:00:00-07:00 2017-10303 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-05-22/pdf/2017-10303.pdf https://regulations.justia.com/regulations/fedreg/2017/05/22/2017-10302.html 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, and the NYSE Arca Schedule of Options Fees and Charges To Adopt the Fees for Industry Members Related to the National Market System Plan Governing the Consolidated Audit Trail 2017-05-22T00:00:00-07:00 2017-05-22T00:00:00-07:00 2017-10302 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-05-22/pdf/2017-10302.pdf https://regulations.justia.com/regulations/fedreg/2017/05/22/2017-10301.html Notice - Self-Regulatory Organizations; NASDAQ BX, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the Exchange's Fees at Rule 7004 and Chapter XV, Section 11 2017-05-22T00:00:00-07:00 2017-05-22T00:00:00-07:00 2017-10301 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-05-22/pdf/2017-10301.pdf https://regulations.justia.com/regulations/fedreg/2017/05/22/2017-10300.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 Transaction Fees at Rule 7004 and Chapter XV, Section 14 2017-05-22T00:00:00-07:00 2017-05-22T00:00:00-07:00 2017-10300 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-05-22/pdf/2017-10300.pdf https://regulations.justia.com/regulations/fedreg/2017/05/22/2017-10299.html Notice - Self-Regulatory Organizations; NYSE MKT LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Rule 994NY, Broadcast Order Liquidity Delivery Mechanism 2017-05-22T00:00:00-07:00 2017-05-22T00:00:00-07:00 2017-10299 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-05-22/pdf/2017-10299.pdf https://regulations.justia.com/regulations/fedreg/2017/05/22/2017-10298.html Notice - Self-Regulatory Organizations; NYSE MKT LLC; Notice of Filing and Immediate Effectiveness of Proposed Change Amending the NYSE MKT Equities Price List and the NYSE Amex Options Fee Schedule 2017-05-22T00:00:00-07:00 2017-05-22T00:00:00-07:00 2017-10298 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-05-22/pdf/2017-10298.pdf https://regulations.justia.com/regulations/fedreg/2017/05/22/2017-10297.html Notice - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending the NYSE Price List 2017-05-22T00:00:00-07:00 2017-05-22T00:00:00-07:00 2017-10297 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-05-22/pdf/2017-10297.pdf https://regulations.justia.com/regulations/fedreg/2017/05/22/2017-10296.html Notice - Self-Regulatory Organizations: Investors Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Establish Fees for Industry Members Related to the National Market System Plan Governing the Consolidated Audit Trail 2017-05-22T00:00:00-07:00 2017-05-22T00:00:00-07:00 2017-10296 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-05-22/pdf/2017-10296.pdf https://regulations.justia.com/regulations/fedreg/2017/05/22/2017-10295.html Notice - Self-Regulatory Organizations; Chicago Stock Exchange, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Its Schedule of Fees and Assessments To Adopt a Fee Schedule To Establish Fees for Industry Members Related to the National Market System Plan Governing the Consolidated Audit Trail 2017-05-22T00:00:00-07:00 2017-05-22T00:00:00-07:00 2017-10295 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-05-22/pdf/2017-10295.pdf https://regulations.justia.com/regulations/fedreg/2017/05/19/2017-10132.html Notice - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing of Proposed Rule Change Amending Its Listing Standard for Special Purpose Acquisition Companies To Change Shareholder Vote Requirement for the Approval of a Business Combination 2017-05-19T00:00:00-07:00 2017-05-19T00:00:00-07:00 2017-10132 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-05-19/pdf/2017-10132.pdf https://regulations.justia.com/regulations/fedreg/2017/05/19/2017-10131.html Notice - Self-Regulatory Organizations; MIAX PEARL, LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the Fee Schedule 2017-05-19T00:00:00-07:00 2017-05-19T00:00:00-07:00 2017-10131 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-05-19/pdf/2017-10131.pdf https://regulations.justia.com/regulations/fedreg/2017/05/19/2017-10130.html Notice - Self-Regulatory Organizations; Miami International Securities Exchange, LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the Fee Schedule 2017-05-19T00:00:00-07:00 2017-05-19T00:00:00-07:00 2017-10130 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-05-19/pdf/2017-10130.pdf https://regulations.justia.com/regulations/fedreg/2017/05/19/2017-10129.html Notice - Self-Regulatory Organizations; ICE Clear Europe Limited; Notice of Proposed Rule Change, Security-Based Swap Submission or Advance Notice Relating to Amendments to the ICE Clear Europe Limited Articles of Association 2017-05-19T00:00:00-07:00 2017-05-19T00:00:00-07:00 2017-10129 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-05-19/pdf/2017-10129.pdf https://regulations.justia.com/regulations/fedreg/2017/05/19/2017-10128.html Notice - Self-Regulatory Organizations; Chicago Stock Exchange, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Regarding Anonymous Trade Reporting and Clearing 2017-05-19T00:00:00-07:00 2017-05-19T00:00:00-07:00 2017-10128 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-05-19/pdf/2017-10128.pdf https://regulations.justia.com/regulations/fedreg/2017/05/19/2017-10127.html Notice - Self-Regulatory Organizations; The Options Clearing Corporation; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Concerning the Options Clearing Corporation's Management Structure 2017-05-19T00:00:00-07:00 2017-05-19T00:00:00-07:00 2017-10127 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-05-19/pdf/2017-10127.pdf https://regulations.justia.com/regulations/fedreg/2017/05/19/2017-10126.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 2017-05-19T00:00:00-07:00 2017-05-19T00:00:00-07:00 2017-10126 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-05-19/pdf/2017-10126.pdf https://regulations.justia.com/regulations/fedreg/2017/05/18/2017-10017.html Notice - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Designation of Longer Period for Commission Action on a Proposed Rule Change To Amend Section 102.01B of the NYSE Listed Company Manual To Modify the Requirements That Apply to Companies That List Without a Prior Exchange Act Registration and That Are Not Listing in Connection With an Underwritten Initial Public Offering 2017-05-18T00:00:00-07:00 2017-05-18T00:00:00-07:00 2017-10017 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-05-18/pdf/2017-10017.pdf https://regulations.justia.com/regulations/fedreg/2017/05/18/2017-10016.html Notice - Self-Regulatory Organizations: Investors Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Correct an Incorrect Internal Cross Reference in Rule 11.420(d)(2)(B). 2017-05-18T00:00:00-07:00 2017-05-18T00:00:00-07:00 2017-10016 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-05-18/pdf/2017-10016.pdf https://regulations.justia.com/regulations/fedreg/2017/05/17/2017-09983.html Notice - RiverNorth DoubleLine Strategic Opportunity Fund, Inc. and RiverNorth Capital Management LLC 2017-05-17T00:00:00-07:00 2017-05-17T00:00:00-07:00 2017-09983 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-05-17/pdf/2017-09983.pdf https://regulations.justia.com/regulations/fedreg/2017/05/17/2017-09935.html Notice - Self-Regulatory Organizations; LCH SA; Notice of Proposed Rule Change, as modified by Amendment No. 1 Thereto, To Add Rules Related to the Clearing of CDX.NA.HY CDS 2017-05-17T00:00:00-07:00 2017-05-17T00:00:00-07:00 2017-09935 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-05-17/pdf/2017-09935.pdf https://regulations.justia.com/regulations/fedreg/2017/05/17/2017-09934.html Notice - Aspiriant Trust, et al. 2017-05-17T00:00:00-07:00 2017-05-17T00:00:00-07:00 2017-09934 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-05-17/pdf/2017-09934.pdf https://regulations.justia.com/regulations/fedreg/2017/05/17/2017-09933.html Notice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending NYSE Arca Equities Schedule of Fees and Charges for Exchange Services 2017-05-17T00:00:00-07:00 2017-05-17T00:00:00-07:00 2017-09933 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-05-17/pdf/2017-09933.pdf https://regulations.justia.com/regulations/fedreg/2017/05/17/2017-09932.html Notice - Self-Regulatory Organizations; Bats BZX Exchange, Inc.; Order Instituting Proceedings To Determine Whether To Approve or Disapprove a Proposed Rule Change, as Modified by Amendment No. 1, To List and Trade Shares of the VanEck Vectors AMT-Free National Municipal Index ETF of VanEck Vectors ETF Trust Under BZX Rule 14.11(c)(4) 2017-05-17T00:00:00-07:00 2017-05-17T00:00:00-07:00 2017-09932 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-05-17/pdf/2017-09932.pdf https://regulations.justia.com/regulations/fedreg/2017/05/17/2017-09931.html Notice - Self-Regulatory Organizations; BOX Options Exchange LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Adopt Qualified Contingent Cross Orders 2017-05-17T00:00:00-07:00 2017-05-17T00:00:00-07:00 2017-09931 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-05-17/pdf/2017-09931.pdf https://regulations.justia.com/regulations/fedreg/2017/05/17/2017-09930.html Notice - Self-Regulatory Organizations; NASDAQ PHLX LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Rule 3317 To Modify the Date of Appendix B Web Site Data Publication 2017-05-17T00:00:00-07:00 2017-05-17T00:00:00-07:00 2017-09930 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-05-17/pdf/2017-09930.pdf https://regulations.justia.com/regulations/fedreg/2017/05/17/2017-09929.html Notice - Self-Regulatory Organizations; MIAX PEARL, LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Rule 519C 2017-05-17T00:00:00-07:00 2017-05-17T00:00:00-07:00 2017-09929 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-05-17/pdf/2017-09929.pdf https://regulations.justia.com/regulations/fedreg/2017/05/17/2017-09928.html 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 Equity Options Platform 2017-05-17T00:00:00-07:00 2017-05-17T00:00:00-07:00 2017-09928 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-05-17/pdf/2017-09928.pdf https://regulations.justia.com/regulations/fedreg/2017/05/17/2017-09927.html Notice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing of Amendment No. 2 and Order Granting Accelerated Approval of a Proposed Rule Change, as Modified by Amendment No. 2, Regarding Investments of the Janus Short Duration Income ETF Listed Under NYSE Arca Equities Rule 8.600 2017-05-17T00:00:00-07:00 2017-05-17T00:00:00-07:00 2017-09927 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-05-17/pdf/2017-09927.pdf https://regulations.justia.com/regulations/fedreg/2017/05/17/2017-09926.html Notice - Self-Regulatory Organizations; NASDAQ BX, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Rule 4770 To Modify the Date of Appendix B Web Site Data Publication 2017-05-17T00:00:00-07:00 2017-05-17T00:00:00-07:00 2017-09926 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-05-17/pdf/2017-09926.pdf https://regulations.justia.com/regulations/fedreg/2017/05/17/2017-09925.html Notice - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Rule 4770 To Modify the Date of Appendix B Web Site Data Publication 2017-05-17T00:00:00-07:00 2017-05-17T00:00:00-07:00 2017-09925 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-05-17/pdf/2017-09925.pdf https://regulations.justia.com/regulations/fedreg/2017/05/17/2017-09924.html Notice - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to Quoting Bandwidth Allowance 2017-05-17T00:00:00-07:00 2017-05-17T00:00:00-07:00 2017-09924 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-05-17/pdf/2017-09924.pdf https://regulations.justia.com/regulations/fedreg/2017/05/17/2017-09923.html Notice - Self-Regulatory Organizations; Bats EDGA Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Related to Fees 2017-05-17T00:00:00-07:00 2017-05-17T00:00:00-07:00 2017-09923 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-05-17/pdf/2017-09923.pdf https://regulations.justia.com/regulations/fedreg/2017/05/16/2017-09936.html Notice - Sunshine Act Meeting 2017-05-16T00:00:00-07:00 2017-05-16T00:00:00-07:00 2017-09936 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-05-16/pdf/2017-09936.pdf https://regulations.justia.com/regulations/fedreg/2017/05/16/2017-09823.html Notice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Rule 7.46 To Modify the Date of Appendix B Web site Data Publication Pursuant to the Regulation NMS Plan To Implement a Tick Size Pilot Program 2017-05-16T00:00:00-07:00 2017-05-16T00:00:00-07:00 2017-09823 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-05-16/pdf/2017-09823.pdf https://regulations.justia.com/regulations/fedreg/2017/05/16/2017-09822.html Notice - Self-Regulatory Organizations: Investors Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Exchange Rule 11.340 To Modify the Date of Appendix B Web Site Data Publication Pursuant to the Regulation NMS Plan To Implement a Tick Size Pilot Program 2017-05-16T00:00:00-07:00 2017-05-16T00:00:00-07:00 2017-09822 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-05-16/pdf/2017-09822.pdf https://regulations.justia.com/regulations/fedreg/2017/05/16/2017-09821.html Notice - Self-Regulatory Organizations; Nasdaq GEMX, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Establish INET Ports 2017-05-16T00:00:00-07:00 2017-05-16T00:00:00-07:00 2017-09821 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-05-16/pdf/2017-09821.pdf https://regulations.justia.com/regulations/fedreg/2017/05/16/2017-09820.html Notice - Self-Regulatory Organizations; NYSE MKT LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amend Rule 67-Equities To Modify the Date of Appendix B Web Site Data Publication Pursuant to the Regulation NMS Plan To Implement a Tick Size Pilot Program 2017-05-16T00:00:00-07:00 2017-05-16T00:00:00-07:00 2017-09820 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-05-16/pdf/2017-09820.pdf https://regulations.justia.com/regulations/fedreg/2017/05/16/2017-09819.html Notice - Self-Regulatory Organizations; Chicago Stock Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Modify the Date of Appendix B Web Site Data Publication Pursuant to the Regulation NMS Plan To Implement a Tick Size Pilot Program 2017-05-16T00:00:00-07:00 2017-05-16T00:00:00-07:00 2017-09819 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-05-16/pdf/2017-09819.pdf https://regulations.justia.com/regulations/fedreg/2017/05/16/2017-09818.html Notice - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend FINRA Rule 6191 To Modify the Date of Appendix B Web Site Data Publication Pursuant to the Regulation NMS Plan To Implement a Tick Size Pilot Program 2017-05-16T00:00:00-07:00 2017-05-16T00:00:00-07:00 2017-09818 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-05-16/pdf/2017-09818.pdf https://regulations.justia.com/regulations/fedreg/2017/05/16/2017-09817.html Notice - Self-Regulatory Organizations; Bats BYX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Related to Fees 2017-05-16T00:00:00-07:00 2017-05-16T00:00:00-07:00 2017-09817 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-05-16/pdf/2017-09817.pdf https://regulations.justia.com/regulations/fedreg/2017/05/16/2017-09816.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 2017-05-16T00:00:00-07:00 2017-05-16T00:00:00-07:00 2017-09816 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-05-16/pdf/2017-09816.pdf https://regulations.justia.com/regulations/fedreg/2017/05/16/2017-09815.html Notice - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Rule 67 To Modify the Date of Appendix B Web Site Data Publication Pursuant to the Regulation NMS Plan To Implement a Tick Size Pilot Program 2017-05-16T00:00:00-07:00 2017-05-16T00:00:00-07:00 2017-09815 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-05-16/pdf/2017-09815.pdf https://regulations.justia.com/regulations/fedreg/2017/05/16/2017-09814.html Notice - Self-Regulatory Organizations; Bats BZX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Related to Fees 2017-05-16T00:00:00-07:00 2017-05-16T00:00:00-07:00 2017-09814 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-05-16/pdf/2017-09814.pdf https://regulations.justia.com/regulations/fedreg/2017/05/16/2017-09813.html Notice - Self-Regulatory Organizations; NASDAQ BX, Inc.; Order Granting Approval of a Proposed Rule Change, as Modified by Amendment No. 1, To Shorten the Settlement Cycle From T+3 to T+2 2017-05-16T00:00:00-07:00 2017-05-16T00:00:00-07:00 2017-09813 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-05-16/pdf/2017-09813.pdf https://regulations.justia.com/regulations/fedreg/2017/05/16/2017-09812.html Notice - Self-Regulatory Organizations; Nasdaq ISE, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the Exchange's Schedule of Fees To Amend Pricing Related to Options Overlying NDX and MNX 2017-05-16T00:00:00-07:00 2017-05-16T00:00:00-07:00 2017-09812 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-05-16/pdf/2017-09812.pdf https://regulations.justia.com/regulations/fedreg/2017/05/16/2017-09811.html Notice - Self-Regulatory Organizations; Nasdaq GEMX, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Schedule of Fees to Amend Pricing Related to Options Overlying NDX and MNX 2017-05-16T00:00:00-07:00 2017-05-16T00:00:00-07:00 2017-09811 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-05-16/pdf/2017-09811.pdf https://regulations.justia.com/regulations/fedreg/2017/05/16/2017-09808.html Notice - Allianz Funds, et al. 2017-05-16T00:00:00-07:00 2017-05-16T00:00:00-07:00 2017-09808 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-05-16/pdf/2017-09808.pdf https://regulations.justia.com/regulations/fedreg/2017/05/16/2017-09790.html Notice - Sierra Total Return Fund, et al. 2017-05-16T00:00:00-07:00 2017-05-16T00:00:00-07:00 2017-09790 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-05-16/pdf/2017-09790.pdf https://regulations.justia.com/regulations/fedreg/2017/05/15/2017-09729.html Notice - Proposed Collection; Comment Request 2017-05-15T00:00:00-07:00 2017-05-15T00:00:00-07:00 2017-09729 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-05-15/pdf/2017-09729.pdf https://regulations.justia.com/regulations/fedreg/2017/05/15/2017-09728.html Notice - Proposed Collection; Comment Request 2017-05-15T00:00:00-07:00 2017-05-15T00:00:00-07:00 2017-09728 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-05-15/pdf/2017-09728.pdf https://regulations.justia.com/regulations/fedreg/2017/05/15/2017-09716.html Notice - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing of a Proposed Rule Change Relating To Expediting List Selection in Arbitration 2017-05-15T00:00:00-07:00 2017-05-15T00:00:00-07:00 2017-09716 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-05-15/pdf/2017-09716.pdf https://regulations.justia.com/regulations/fedreg/2017/05/15/2017-09715.html 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 2017-05-15T00:00:00-07:00 2017-05-15T00:00:00-07:00 2017-09715 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-05-15/pdf/2017-09715.pdf https://regulations.justia.com/regulations/fedreg/2017/05/15/2017-09714.html Notice - Self-Regulatory Organizations; ICE Clear Europe Limited; Notice of Proposed Rule Change, Security-Based Swap Submission or Advance Notice Relating to the CDS End-of-Day Price Discovery Policy 2017-05-15T00:00:00-07:00 2017-05-15T00:00:00-07:00 2017-09714 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-05-15/pdf/2017-09714.pdf https://regulations.justia.com/regulations/fedreg/2017/05/15/2017-09713.html Notice - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Rule 4702 (Order Types) 2017-05-15T00:00:00-07:00 2017-05-15T00:00:00-07:00 2017-09713 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-05-15/pdf/2017-09713.pdf https://regulations.justia.com/regulations/fedreg/2017/05/15/2017-09712.html Notice - Self-Regulatory Organizations; Bats BZX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Related to Fees for Use on the Exchange's Equity Options Platform 2017-05-15T00:00:00-07:00 2017-05-15T00:00:00-07:00 2017-09712 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-05-15/pdf/2017-09712.pdf https://regulations.justia.com/regulations/fedreg/2017/05/12/2017-09643.html Notice - New Mountain Finance Corporation, et al. 2017-05-12T00:00:00-07:00 2017-05-12T00:00:00-07:00 2017-09643 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-05-12/pdf/2017-09643.pdf https://regulations.justia.com/regulations/fedreg/2017/05/12/2017-09607.html Notice - Self-Regulatory Organizations; NYSE MKT LLC; Notice of Filing of Proposed Rule Change To Harmonize the Requirements of the NYSE MKT Company Guide With Respect to Periodic Reporting With Those of the NYSE 2017-05-12T00:00:00-07:00 2017-05-12T00:00:00-07:00 2017-09607 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-05-12/pdf/2017-09607.pdf https://regulations.justia.com/regulations/fedreg/2017/05/11/2017-09585.html Notice - Proposed Collection; Comment Request 2017-05-11T00:00:00-07:00 2017-05-11T00:00:00-07:00 2017-09585 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-05-11/pdf/2017-09585.pdf https://regulations.justia.com/regulations/fedreg/2017/05/11/2017-09584.html Notice - Submission for OMB Review; Comment Request 2017-05-11T00:00:00-07:00 2017-05-11T00:00:00-07:00 2017-09584 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-05-11/pdf/2017-09584.pdf https://regulations.justia.com/regulations/fedreg/2017/05/11/2017-09583.html Notice - Proposed Collection; Comment Request 2017-05-11T00:00:00-07:00 2017-05-11T00:00:00-07:00 2017-09583 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-05-11/pdf/2017-09583.pdf https://regulations.justia.com/regulations/fedreg/2017/05/11/2017-09582.html Notice - Submission for OMB Review; Comment Request 2017-05-11T00:00:00-07:00 2017-05-11T00:00:00-07:00 2017-09582 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-05-11/pdf/2017-09582.pdf https://regulations.justia.com/regulations/fedreg/2017/05/11/2017-09532.html Notice - Self-Regulatory Organizations; NYSE MKT LLC; Notice of Filing of Amendment No. 1 and Order Granting Accelerated Approval of a Proposed Rule Change, as Modified by Amendment No. 1, Amending Rule 968NY To Make Permanent a Program That Allows Cabinet Trade Transactions To Take Place at a Price Below $1 Per Option Contract 2017-05-11T00:00:00-07:00 2017-05-11T00:00:00-07:00 2017-09532 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-05-11/pdf/2017-09532.pdf https://regulations.justia.com/regulations/fedreg/2017/05/11/2017-09531.html Notice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing of Amendment No. 1 and Order Granting Accelerated Approval of a Proposed Rule Change, as Modified by Amendment No. 1, Amending Rule 6.80 To Make Permanent a Program That Allows Cabinet Trade Transactions To Take Place at a Price Below $1 Per Option Contract 2017-05-11T00:00:00-07:00 2017-05-11T00:00:00-07:00 2017-09531 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-05-11/pdf/2017-09531.pdf https://regulations.justia.com/regulations/fedreg/2017/05/11/2017-09530.html Notice - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Order Granting Approval of Proposed Rule Change, as Modified by Amendment Nos. 2, 3, and 4, to List and Trade Shares of the Gabelli Small Cap Growth Fund and the Gabelli RBI Fund Under Nasdaq Rule 5745 2017-05-11T00:00:00-07:00 2017-05-11T00:00:00-07:00 2017-09530 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-05-11/pdf/2017-09530.pdf https://regulations.justia.com/regulations/fedreg/2017/05/11/2017-09529.html Notice - Self-Regulatory Organizations; Nasdaq ISE, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Complex Order Quoting 2017-05-11T00:00:00-07:00 2017-05-11T00:00:00-07:00 2017-09529 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-05-11/pdf/2017-09529.pdf https://regulations.justia.com/regulations/fedreg/2017/05/11/2017-09528.html Notice - Self-Regulatory Organizations; Bats BYX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Rule 11.15 of Bats BYX Exchange, Inc. To Authorize the Exchange To Share a User's Risk Settings With the Clearing Member That Clears Transactions on Behalf of the User 2017-05-11T00:00:00-07:00 2017-05-11T00:00:00-07:00 2017-09528 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-05-11/pdf/2017-09528.pdf https://regulations.justia.com/regulations/fedreg/2017/05/11/2017-09527.html Notice - Self-Regulatory Organizations; Bats BZX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Rule 11.15 of Bats BZX Exchange, Inc. To Authorize the Exchange To Share a User's Risk Settings With the Clearing Member That Clears Transactions on Behalf of the User 2017-05-11T00:00:00-07:00 2017-05-11T00:00:00-07:00 2017-09527 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-05-11/pdf/2017-09527.pdf https://regulations.justia.com/regulations/fedreg/2017/05/11/2017-09526.html Notice - Self-Regulatory Organizations; Municipal Securities Rulemaking Board; Notice of Withdrawal of a Proposed Rule Change To Add New MSRB Rule G-49, on Transactions Below the Minimum Denomination of an Issue, to the Rules of the MSRB, and To Rescind Paragraph (f), on Minimum Denominations, From MSRB Rule G-15 2017-05-11T00:00:00-07:00 2017-05-11T00:00:00-07:00 2017-09526 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-05-11/pdf/2017-09526.pdf https://regulations.justia.com/regulations/fedreg/2017/05/11/2017-09525.html Notice - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Designation of a Longer Period for Commission Action on Proposed Rule Change Related to Complex Orders 2017-05-11T00:00:00-07:00 2017-05-11T00:00:00-07:00 2017-09525 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-05-11/pdf/2017-09525.pdf https://regulations.justia.com/regulations/fedreg/2017/05/11/2017-09524.html Notice - Self-Regulatory Organizations; Bats EDGA Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Rule 11.13 of Bats EDGA Exchange, Inc. To Authorize the Exchange To Share a User's Risk Settings With the Clearing Firm That Clears Transactions on Behalf of the User 2017-05-11T00:00:00-07:00 2017-05-11T00:00:00-07:00 2017-09524 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-05-11/pdf/2017-09524.pdf https://regulations.justia.com/regulations/fedreg/2017/05/11/2017-09523.html Notice - Self-Regulatory Organizations; Bats EDGX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Rule 11.13 of Bats EDGX Exchange, Inc. To Authorize the Exchange To Share a User's Risk Settings With the Clearing Firm That Clears Transactions on Behalf of the User 2017-05-11T00:00:00-07:00 2017-05-11T00:00:00-07:00 2017-09523 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-05-11/pdf/2017-09523.pdf https://regulations.justia.com/regulations/fedreg/2017/05/11/2017-09522.html Notice - Self-Regulatory Organizations; NYSE Arca, Inc.; Order Instituting Proceedings To Determine Whether To Approve or Disapprove a Proposed Rule Change To List and Trade Shares of Direxion Daily Crude Oil Bull 3x Shares and Direxion Daily Crude Oil Bear 3x Shares Under NYSE Arca Equities Rule 8.200 2017-05-11T00:00:00-07:00 2017-05-11T00:00:00-07:00 2017-09522 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-05-11/pdf/2017-09522.pdf https://regulations.justia.com/regulations/fedreg/2017/05/10/2017-09459.html Notice - Self-Regulatory Organizations; The Depository Trust Company; National Securities Clearing Corporation; Notice of Filing of and No Objection To Advance Notices, as Modified by Amendments No. 1, To Renew the Credit Facility 2017-05-10T00:00:00-07:00 2017-05-10T00:00:00-07:00 2017-09459 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-05-10/pdf/2017-09459.pdf https://regulations.justia.com/regulations/fedreg/2017/05/10/2017-09426.html Notice - Self-Regulatory Organizations; The Depository Trust Company; Order Granting Approval of Proposed Rule Change To Establish a Sub-Account for Use With the DTCC Euroclear Global Collateral Ltd Collateral Management Service and Provide for the Authorization of a Representative To Receive Information About the Sub-Account 2017-05-10T00:00:00-07:00 2017-05-10T00:00:00-07:00 2017-09426 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-05-10/pdf/2017-09426.pdf https://regulations.justia.com/regulations/fedreg/2017/05/10/2017-09425.html Notice - Self-Regulatory Organizations; National Securities Clearing Corporation; Order Approving Proposed Rule Change To Describe the Illiquid Charge That May Be Imposed on Members 2017-05-10T00:00:00-07:00 2017-05-10T00:00:00-07:00 2017-09425 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-05-10/pdf/2017-09425.pdf https://regulations.justia.com/regulations/fedreg/2017/05/10/2017-09424.html Notice - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to Compression Forums 2017-05-10T00:00:00-07:00 2017-05-10T00:00:00-07:00 2017-09424 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-05-10/pdf/2017-09424.pdf https://regulations.justia.com/regulations/fedreg/2017/05/10/2017-09423.html Notice - Self-Regulatory Organizations; NASDAQ BX, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Rule 4703 (Order Attributes) 2017-05-10T00:00:00-07:00 2017-05-10T00:00:00-07:00 2017-09423 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-05-10/pdf/2017-09423.pdf https://regulations.justia.com/regulations/fedreg/2017/05/10/2017-09422.html Notice - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Rule 4702 (Order Types) and Rule 4703 (Order Attributes) 2017-05-10T00:00:00-07:00 2017-05-10T00:00:00-07:00 2017-09422 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-05-10/pdf/2017-09422.pdf https://regulations.justia.com/regulations/fedreg/2017/05/10/2017-09421.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 2017-05-10T00:00:00-07:00 2017-05-10T00:00:00-07:00 2017-09421 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-05-10/pdf/2017-09421.pdf https://regulations.justia.com/regulations/fedreg/2017/05/10/2017-09420.html Notice - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Order Granting Approval of Proposed Rule Change, as Modified by Amendment Nos. 3 and 4, To List and Trade Shares of the Hartford Global Impact NextSharesTM 2017-05-10T00:00:00-07:00 2017-05-10T00:00:00-07:00 2017-09420 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-05-10/pdf/2017-09420.pdf https://regulations.justia.com/regulations/fedreg/2017/05/10/2017-09419.html Notice - Self-Regulatory Organizations; NYSE MKT LLC; Order Granting Accelerated Approval of Proposed Rule Change, as Modified by Amendment No. 1, To Adopt New Equity Trading Rules To Transition Trading on the Exchange From a Floor-Based Market With a Parity Allocation Model to a Fully Automated Market With a Price-Time Priority Model on the Exchange's New Trading Technology Platform, Pillar 2017-05-10T00:00:00-07:00 2017-05-10T00:00:00-07:00 2017-09419 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-05-10/pdf/2017-09419.pdf https://regulations.justia.com/regulations/fedreg/2017/05/09/2017-09334.html Proposed Rule - Amendments to Investment Advisers Act Rules To Reflect Changes Made by the FAST Act 2017-05-09T00:00:00-07:00 2017-05-09T00:00:00-07:00 2017-09334 Proposed Rule https://www.gpo.gov/fdsys/pkg/FR-2017-05-09/pdf/2017-09334.pdf https://regulations.justia.com/regulations/fedreg/2017/05/09/2017-09331.html Rule - Technical Amendments to Form ADV and Form ADV-W 2017-05-09T00:00:00-07:00 2017-05-09T00:00:00-07:00 2017-09331 Rule https://www.gpo.gov/fdsys/pkg/FR-2017-05-09/pdf/2017-09331.pdf https://regulations.justia.com/regulations/fedreg/2017/05/09/2017-09315.html Notice - Self-Regulatory Organizations; NASDAQ PHLX LLC; 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, To Permit the Listing and Trading of P.M.-Settled NASDAQ-100 Index® Options on a Pilot Basis 2017-05-09T00:00:00-07:00 2017-05-09T00:00:00-07:00 2017-09315 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-05-09/pdf/2017-09315.pdf https://regulations.justia.com/regulations/fedreg/2017/05/09/2017-09314.html Notice - Self-Regulatory Organizations; Bats BZX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Rule 11.22, Data Products, To Adopt a New Market Data Product Known as the ETF Implied Liquidity Feed 2017-05-09T00:00:00-07:00 2017-05-09T00:00:00-07:00 2017-09314 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-05-09/pdf/2017-09314.pdf https://regulations.justia.com/regulations/fedreg/2017/05/09/2017-09312.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 Fees at Rule 7047 2017-05-09T00:00:00-07:00 2017-05-09T00:00:00-07:00 2017-09312 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-05-09/pdf/2017-09312.pdf https://regulations.justia.com/regulations/fedreg/2017/05/09/2017-09311.html Notice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing of Proposed Rule Change To List and Trade Shares of the IQ Municipal Insured ETF; IQ Municipal Short Duration ETF; and IQ Municipal Intermediate ETF Under NYSE Arca Equities Rule 8.600 2017-05-09T00:00:00-07:00 2017-05-09T00:00:00-07:00 2017-09311 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-05-09/pdf/2017-09311.pdf https://regulations.justia.com/regulations/fedreg/2017/05/09/2017-09310.html Notice - Self-Regulatory Organizations; Investors Exchange LLC; Notice of Filing of Proposed Rule Change Related to Auctions in IEX-Listed Securities, Dissemination of Auction-Related Market Data, and Provisions Governing Trading Halts and Pauses 2017-05-09T00:00:00-07:00 2017-05-09T00:00:00-07:00 2017-09310 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-05-09/pdf/2017-09310.pdf https://regulations.justia.com/regulations/fedreg/2017/05/08/2017-09407.html Notice - Sunshine Act Meeting 2017-05-08T00:00:00-07:00 2017-05-08T00:00:00-07:00 2017-09407 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-05-08/pdf/2017-09407.pdf https://regulations.justia.com/regulations/fedreg/2017/05/08/2017-09196.html Notice - Self-Regulatory Organizations; NYSE Arca, Inc.; Order Approving a Proposed Rule Change, as Modified by Amendment No. 3, To List and Trade Shares of the ForceShares Daily 4X US Market Futures Long Fund and ForceShares Daily 4X US Market Futures Short Fund Under Commentary .02 to NYSE Arca Equities Rule 8.200 2017-05-08T00:00:00-07:00 2017-05-08T00:00:00-07:00 2017-09196 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-05-08/pdf/2017-09196.pdf https://regulations.justia.com/regulations/fedreg/2017/05/08/2017-09195.html Notice - Self-Regulatory Organizations; NYSE MKT LLC; Order Granting Accelerated Approval of Proposed Rule Change, as Modified by Amendment No. 1, Relating to Market Makers Applicable When the Exchange Transitions Trading to Pillar, the Exchange's New Trading Technology Platform 2017-05-08T00:00:00-07:00 2017-05-08T00:00:00-07:00 2017-09195 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-05-08/pdf/2017-09195.pdf https://regulations.justia.com/regulations/fedreg/2017/05/08/2017-09194.html Notice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending NYSE Arca Equities Rule 7.35 To Specify Order Handling for an IPO Auction 2017-05-08T00:00:00-07:00 2017-05-08T00:00:00-07:00 2017-09194 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-05-08/pdf/2017-09194.pdf https://regulations.justia.com/regulations/fedreg/2017/05/08/2017-09193.html Notice - Self-Regulatory Organizations; Fixed Income Clearing Corporation; Order Granting Approval of Proposed Rule Change To Establish the Centrally Cleared Institutional Triparty Service and Make Other Changes 2017-05-08T00:00:00-07:00 2017-05-08T00:00:00-07:00 2017-09193 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-05-08/pdf/2017-09193.pdf https://regulations.justia.com/regulations/fedreg/2017/05/08/2017-09192.html Notice - Self-Regulatory Organizations; Nasdaq GEMX, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Regarding Quote Mitigation 2017-05-08T00:00:00-07:00 2017-05-08T00:00:00-07:00 2017-09192 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-05-08/pdf/2017-09192.pdf https://regulations.justia.com/regulations/fedreg/2017/05/05/2017-09080.html Notice - Order Granting Limited Exemptions From Exchange Act Rule 10b-17 and Rules 101 and 102 of Regulation M to Alpha Architect Value Momentum Trend ETF Pursuant to Exchange Act Rule 10b-17(b)(2) and Rules 101(d) and 102(e) of Regulation M 2017-05-05T00:00:00-07:00 2017-05-05T00:00:00-07:00 2017-09080 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-05-05/pdf/2017-09080.pdf https://regulations.justia.com/regulations/fedreg/2017/05/05/2017-09065.html Notice - ClearShares, LLC et al. 2017-05-05T00:00:00-07:00 2017-05-05T00:00:00-07:00 2017-09065 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-05-05/pdf/2017-09065.pdf https://regulations.justia.com/regulations/fedreg/2017/05/05/2017-09062.html Notice - Self-Regulatory Organizations; Miami International Securities Exchange LLC; Notice of Filing of a Proposed Rule Change To Amend MIAX Options Rule 515A, MIAX Price Improvement Mechanism (“PRIME”) and PRIME Solicitation Mechanism 2017-05-05T00:00:00-07:00 2017-05-05T00:00:00-07:00 2017-09062 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-05-05/pdf/2017-09062.pdf https://regulations.justia.com/regulations/fedreg/2017/05/05/2017-09061.html Notice - Self-Regulatory Organizations; Nasdaq ISE, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Regarding Quote Mitigation 2017-05-05T00:00:00-07:00 2017-05-05T00:00:00-07:00 2017-09061 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-05-05/pdf/2017-09061.pdf https://regulations.justia.com/regulations/fedreg/2017/05/05/2017-09060.html Notice - Self-Regulatory Organizations; ICE Clear Europe Limited; Notice of Designation of Longer Period for Commission Action on Proposed Rule Change, Security-Based Swap Submission, or Advance Notice Relating to the CDS End-of-Day Price Discovery Policy 2017-05-05T00:00:00-07:00 2017-05-05T00:00:00-07:00 2017-09060 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-05-05/pdf/2017-09060.pdf https://regulations.justia.com/regulations/fedreg/2017/05/05/2017-09059.html Notice - Self-Regulatory Organizations; Fixed Income Clearing Corporation; Order Approving a Proposed Rule Change, as Modified by Amendment No. 1, To Expand the Types of Entities That Are Eligible To Participate in Fixed Income Clearing Corporation as Sponsored Members and Make Other Changes 2017-05-05T00:00:00-07:00 2017-05-05T00:00:00-07:00 2017-09059 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-05-05/pdf/2017-09059.pdf https://regulations.justia.com/regulations/fedreg/2017/05/04/2017-08984.html Notice - Notice of Applications for Deregistration Under Section 8(f) of the Investment Company Act of 1940 2017-05-04T00:00:00-07:00 2017-05-04T00:00:00-07:00 2017-08984 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-05-04/pdf/2017-08984.pdf https://regulations.justia.com/regulations/fedreg/2017/05/04/2017-08983.html Notice - Self-Regulatory Organizations; The Nasdaq Stock Market LLC; Notice of Filing of Amendments No. 1, 2, 3, 4, and 5 and Order Granting Accelerated Approval of a Proposed Rule Change, as Amended, To Establish the Third Party Connectivity Service 2017-05-04T00:00:00-07:00 2017-05-04T00:00:00-07:00 2017-08983 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-05-04/pdf/2017-08983.pdf https://regulations.justia.com/regulations/fedreg/2017/05/04/2017-08982.html Notice - Self-Regulatory Organizations; The Options Clearing Corporation; Order Approving Proposed Rule Change Concerning Enhancements to OCC's Stock Loan Programs 2017-05-04T00:00:00-07:00 2017-05-04T00:00:00-07:00 2017-08982 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-05-04/pdf/2017-08982.pdf https://regulations.justia.com/regulations/fedreg/2017/05/04/2017-08981.html Notice - Self-Regulatory Organizations; C2 Options Exchange, Incorporated; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Related to Rule 6.13 2017-05-04T00:00:00-07:00 2017-05-04T00:00:00-07:00 2017-08981 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-05-04/pdf/2017-08981.pdf https://regulations.justia.com/regulations/fedreg/2017/05/04/2017-08980.html Notice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing of Proposed Rule Change To Adopt a New NYSE Arca Equities Rule 8.900 and To List and Trade Shares of the Royce Pennsylvania ETF; Royce Premier ETF; and Royce Total Return ETF Under Proposed NYSE Arca Equities Rule 8.900 2017-05-04T00:00:00-07:00 2017-05-04T00:00:00-07:00 2017-08980 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-05-04/pdf/2017-08980.pdf https://regulations.justia.com/regulations/fedreg/2017/05/04/2017-08979.html Notice - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Designation of a Longer Period for Commission Action on 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 2017-05-04T00:00:00-07:00 2017-05-04T00:00:00-07:00 2017-08979 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-05-04/pdf/2017-08979.pdf https://regulations.justia.com/regulations/fedreg/2017/05/04/2017-08978.html Notice - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Order Granting Approval of a Proposed Rule Change To Amend Rule 6191 To Implement an Anonymous, Grouped Masking Methodology for Over-the-Counter Activity in Connection With Web Site Data Publication of Appendix B Data Pursuant to the Regulation NMS Plan To Implement a Tick Size Pilot Program 2017-05-04T00:00:00-07:00 2017-05-04T00:00:00-07:00 2017-08978 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-05-04/pdf/2017-08978.pdf https://regulations.justia.com/regulations/fedreg/2017/05/04/2017-08977.html Notice - Self-Regulatory Organizations; NYSE MKT LLC; Notice of Designation of a Longer Period for Commission Action on 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 2017-05-04T00:00:00-07:00 2017-05-04T00:00:00-07:00 2017-08977 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-05-04/pdf/2017-08977.pdf https://regulations.justia.com/regulations/fedreg/2017/05/04/2017-08971.html Notice - Submission for OMB Review; Comment Request 2017-05-04T00:00:00-07:00 2017-05-04T00:00:00-07:00 2017-08971 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-05-04/pdf/2017-08971.pdf https://regulations.justia.com/regulations/fedreg/2017/05/04/2017-08970.html Notice - Joint Industry Plan; Notice of Filing and Immediate Effectiveness of the Fourteenth 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. 2017-05-04T00:00:00-07:00 2017-05-04T00:00:00-07:00 2017-08970 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-05-04/pdf/2017-08970.pdf https://regulations.justia.com/regulations/fedreg/2017/05/03/2017-08907.html Notice - Self-Regulatory Organizations; Fixed Income Clearing Corporation; Notice of Designation of Longer Period for Commission Action on Proposed Rule Change To Implement the Capped Contingency Liquidity Facility in the Government Securities Division Rulebook 2017-05-03T00:00:00-07:00 2017-05-03T00:00:00-07:00 2017-08907 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-05-03/pdf/2017-08907.pdf https://regulations.justia.com/regulations/fedreg/2017/05/03/2017-08904.html Notice - Commonwealth Annuity and Life Insurance Company, et al. 2017-05-03T00:00:00-07:00 2017-05-03T00:00:00-07:00 2017-08904 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-05-03/pdf/2017-08904.pdf https://regulations.justia.com/regulations/fedreg/2017/05/03/2017-08903.html Notice - Self-Regulatory Organizations; Fixed Income Clearing Corporation; Notice of No Objection To Advance Notice Filing To Establish the Centrally Cleared Institutional Triparty Service and Make Other Changes 2017-05-03T00:00:00-07:00 2017-05-03T00:00:00-07:00 2017-08903 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-05-03/pdf/2017-08903.pdf https://regulations.justia.com/regulations/fedreg/2017/05/03/2017-08902.html Notice - Self-Regulatory Organizations; Investors Exchange LLC; Notice of Filing of Amendment No. 1 and Order Granting Accelerated Approval of a Proposed Rule Change, as Modified by Amendment No. 1, To Amend IEX Rule 16.135 To Adopt Generic Listing Standards for Managed Fund Shares 2017-05-03T00:00:00-07:00 2017-05-03T00:00:00-07:00 2017-08902 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-05-03/pdf/2017-08902.pdf https://regulations.justia.com/regulations/fedreg/2017/05/03/2017-08901.html Notice - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Adopt an Annual Fee Cap for Acquisition Companies 2017-05-03T00:00:00-07:00 2017-05-03T00:00:00-07:00 2017-08901 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-05-03/pdf/2017-08901.pdf https://regulations.justia.com/regulations/fedreg/2017/05/03/2017-08900.html Notice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing of Proposed Rule Change Relating to the Listing and Trading of Shares of the Franklin Liberty Intermediate Municipal Opportunities ETF and Franklin Liberty Municipal Bond ETF Under NYSE Arca Equities Rule 8.600 2017-05-03T00:00:00-07:00 2017-05-03T00:00:00-07:00 2017-08900 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-05-03/pdf/2017-08900.pdf https://regulations.justia.com/regulations/fedreg/2017/05/03/2017-08899.html Notice - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing of Proposed Rule Change To List and Trade the Guggenheim Limited Duration ETF 2017-05-03T00:00:00-07:00 2017-05-03T00:00:00-07:00 2017-08899 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-05-03/pdf/2017-08899.pdf https://regulations.justia.com/regulations/fedreg/2017/05/03/2017-08892.html Notice - Self-Regulatory Organizations; The Options Clearing Corporation; Notice of No Objection To Advance Notice Filing Concerning the Options Clearing Corporation's Enhancements to OCC's Stock Loan Programs 2017-05-03T00:00:00-07:00 2017-05-03T00:00:00-07:00 2017-08892 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-05-03/pdf/2017-08892.pdf https://regulations.justia.com/regulations/fedreg/2017/05/03/2017-08891.html Notice - Order Granting Application by New York Stock Exchange LLC, NYSE MKT LLC, NYSE Arca, Inc., and NYSE National, Inc., Respectively, for a Conditional Exemption Pursuant to Section 36(a) of the Exchange Act From Certain Requirements of Rule 6a-2 Under the Exchange Act 2017-05-03T00:00:00-07:00 2017-05-03T00:00:00-07:00 2017-08891 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-05-03/pdf/2017-08891.pdf https://regulations.justia.com/regulations/fedreg/2017/05/02/2017-08957.html Notice - Sunshine Act Meeting 2017-05-02T00:00:00-07:00 2017-05-02T00:00:00-07:00 2017-08957 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-05-02/pdf/2017-08957.pdf https://regulations.justia.com/regulations/fedreg/2017/05/02/2017-08815.html Notice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Reflect Changes in the Name of, the Investment Objective for, and the Means of Achieving the Investment Objective Applicable to the PIMCO Total Return Active Exchange-Traded Fund 2017-05-02T00:00:00-07:00 2017-05-02T00:00:00-07:00 2017-08815 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-05-02/pdf/2017-08815.pdf https://regulations.justia.com/regulations/fedreg/2017/05/02/2017-08814.html Notice - Self-Regulatory Organizations; the Options Clearing Corporation; Order Approving Proposed Rule Change Concerning Changes to the Options Clearing Corporation's Management Structure 2017-05-02T00:00:00-07:00 2017-05-02T00:00:00-07:00 2017-08814 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-05-02/pdf/2017-08814.pdf https://regulations.justia.com/regulations/fedreg/2017/05/02/2017-08813.html Notice - Self-Regulatory Organizations; Nasdaq ISE, LLC; Notice of Filing of Proposed Rule Change To Harmonize the Corporate Governance Framework With That of the NASDAQ Stock Market LLC, NASDAQ PHLX LLC, and NASDAQ BX, Inc. 2017-05-02T00:00:00-07:00 2017-05-02T00:00:00-07:00 2017-08813 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-05-02/pdf/2017-08813.pdf https://regulations.justia.com/regulations/fedreg/2017/05/02/2017-08812.html Notice - Self-Regulatory Organizations; Bats BZX Exchange, Inc.; Order Granting Approval of a Proposed Rule Change, as Modified by Amendment Nos. 3 and 5, 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 2017-05-02T00:00:00-07:00 2017-05-02T00:00:00-07:00 2017-08812 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-05-02/pdf/2017-08812.pdf https://regulations.justia.com/regulations/fedreg/2017/05/01/2017-08767.html Notice - Submission for OMB Review; Comment Request 2017-05-01T00:00:00-07:00 2017-05-01T00:00:00-07:00 2017-08767 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-05-01/pdf/2017-08767.pdf https://regulations.justia.com/regulations/fedreg/2017/05/01/2017-08766.html Notice - Submission for OMB Review; Comment Request 2017-05-01T00:00:00-07:00 2017-05-01T00:00:00-07:00 2017-08766 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-05-01/pdf/2017-08766.pdf https://regulations.justia.com/regulations/fedreg/2017/05/01/2017-08765.html Notice - Submission for OMB Review; Comment Request 2017-05-01T00:00:00-07:00 2017-05-01T00:00:00-07:00 2017-08765 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-05-01/pdf/2017-08765.pdf