Federal Register Recent Federal Regulation Documents - Justia Regulation Tracker - Justia Regulations Trackerhttps://regulations.justia.com/regulations/fedreg/agencies/securities-and-exchange-commission/2017/05?limit=200®isters=between&min-day=1&max-day=31&mode=atom2024-05-20T12:20:32-07:00Justia Inchttps://www.justia.com/Justia Regulations Trackerhttps://regulations.justia.com/images/justiafedregulations.gifCopyright 2011 Justia Inchttps://regulations.justia.com/regulations/fedreg/2017/05/31/2017-11281.htmlNotice - Sunshine Act Meeting2017-05-31T00:00:00-07:002017-05-31T00:00:00-07:002017-11281Noticehttps://www.gpo.gov/fdsys/pkg/FR-2017-05-31/pdf/2017-11281.pdfhttps://regulations.justia.com/regulations/fedreg/2017/05/31/2017-11178.htmlNotice - Investor Advisory Committee Meeting2017-05-31T00:00:00-07:002017-05-31T00:00:00-07:002017-11178Noticehttps://www.gpo.gov/fdsys/pkg/FR-2017-05-31/pdf/2017-11178.pdfhttps://regulations.justia.com/regulations/fedreg/2017/05/31/2017-11152.htmlNotice - Series Portfolios Trust and Highmore Group Advisors, LLC2017-05-31T00:00:00-07:002017-05-31T00:00:00-07:002017-11152Noticehttps://www.gpo.gov/fdsys/pkg/FR-2017-05-31/pdf/2017-11152.pdfhttps://regulations.justia.com/regulations/fedreg/2017/05/31/2017-11151.htmlNotice - 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 Deposits2017-05-31T00:00:00-07:002017-05-31T00:00:00-07:002017-11151Noticehttps://www.gpo.gov/fdsys/pkg/FR-2017-05-31/pdf/2017-11151.pdfhttps://regulations.justia.com/regulations/fedreg/2017/05/31/2017-11150.htmlNotice - Self-Regulatory Organizations; Nasdaq GEMX, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Cancel and Replace Rule2017-05-31T00:00:00-07:002017-05-31T00:00:00-07:002017-11150Noticehttps://www.gpo.gov/fdsys/pkg/FR-2017-05-31/pdf/2017-11150.pdfhttps://regulations.justia.com/regulations/fedreg/2017/05/31/2017-11149.htmlNotice - 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 Orders2017-05-31T00:00:00-07:002017-05-31T00:00:00-07:002017-11149Noticehttps://www.gpo.gov/fdsys/pkg/FR-2017-05-31/pdf/2017-11149.pdfhttps://regulations.justia.com/regulations/fedreg/2017/05/31/2017-11148.htmlNotice - 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 Orders2017-05-31T00:00:00-07:002017-05-31T00:00:00-07:002017-11148Noticehttps://www.gpo.gov/fdsys/pkg/FR-2017-05-31/pdf/2017-11148.pdfhttps://regulations.justia.com/regulations/fedreg/2017/05/31/2017-11147.htmlNotice - 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 Program2017-05-31T00:00:00-07:002017-05-31T00:00:00-07:002017-11147Noticehttps://www.gpo.gov/fdsys/pkg/FR-2017-05-31/pdf/2017-11147.pdfhttps://regulations.justia.com/regulations/fedreg/2017/05/31/2017-11146.htmlNotice - Self-Regulatory Organizations; Miami International Securities Exchange LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend MIAX Options Rule 510 To Extend the Penny Pilot Program2017-05-31T00:00:00-07:002017-05-31T00:00:00-07:002017-11146Noticehttps://www.gpo.gov/fdsys/pkg/FR-2017-05-31/pdf/2017-11146.pdfhttps://regulations.justia.com/regulations/fedreg/2017/05/31/2017-11145.htmlNotice - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Extend the Penny Pilot Program2017-05-31T00:00:00-07:002017-05-31T00:00:00-07:002017-11145Noticehttps://www.gpo.gov/fdsys/pkg/FR-2017-05-31/pdf/2017-11145.pdfhttps://regulations.justia.com/regulations/fedreg/2017/05/31/2017-11144.htmlNotice - Self-Regulatory Organizations; NASDAQ PHLX LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Extend the Penny Pilot Program2017-05-31T00:00:00-07:002017-05-31T00:00:00-07:002017-11144Noticehttps://www.gpo.gov/fdsys/pkg/FR-2017-05-31/pdf/2017-11144.pdfhttps://regulations.justia.com/regulations/fedreg/2017/05/31/2017-11143.htmlNotice - 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 Program2017-05-31T00:00:00-07:002017-05-31T00:00:00-07:002017-11143Noticehttps://www.gpo.gov/fdsys/pkg/FR-2017-05-31/pdf/2017-11143.pdfhttps://regulations.justia.com/regulations/fedreg/2017/05/31/2017-11142.htmlNotice - 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 Floor2017-05-31T00:00:00-07:002017-05-31T00:00:00-07:002017-11142Noticehttps://www.gpo.gov/fdsys/pkg/FR-2017-05-31/pdf/2017-11142.pdfhttps://regulations.justia.com/regulations/fedreg/2017/05/31/2017-11141.htmlNotice - 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.2017-05-31T00:00:00-07:002017-05-31T00:00:00-07:002017-11141Noticehttps://www.gpo.gov/fdsys/pkg/FR-2017-05-31/pdf/2017-11141.pdfhttps://regulations.justia.com/regulations/fedreg/2017/05/30/2017-10984.htmlNotice - Self-Regulatory Organizations; Nasdaq ISE, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Regarding the Opening Process2017-05-30T00:00:00-07:002017-05-30T00:00:00-07:002017-10984Noticehttps://www.gpo.gov/fdsys/pkg/FR-2017-05-30/pdf/2017-10984.pdfhttps://regulations.justia.com/regulations/fedreg/2017/05/30/2017-10983.htmlNotice - 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 Fees2017-05-30T00:00:00-07:002017-05-30T00:00:00-07:002017-10983Noticehttps://www.gpo.gov/fdsys/pkg/FR-2017-05-30/pdf/2017-10983.pdfhttps://regulations.justia.com/regulations/fedreg/2017/05/30/2017-10975.htmlNotice - Self-Regulatory Organizations; Nasdaq GEMX, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Regarding the Opening Process2017-05-30T00:00:00-07:002017-05-30T00:00:00-07:002017-10975Noticehttps://www.gpo.gov/fdsys/pkg/FR-2017-05-30/pdf/2017-10975.pdfhttps://regulations.justia.com/regulations/fedreg/2017/05/30/2017-10974.htmlNotice - 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 Platform2017-05-30T00:00:00-07:002017-05-30T00:00:00-07:002017-10974Noticehttps://www.gpo.gov/fdsys/pkg/FR-2017-05-30/pdf/2017-10974.pdfhttps://regulations.justia.com/regulations/fedreg/2017/05/30/2017-10973.htmlNotice - 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 ETF2017-05-30T00:00:00-07:002017-05-30T00:00:00-07:002017-10973Noticehttps://www.gpo.gov/fdsys/pkg/FR-2017-05-30/pdf/2017-10973.pdfhttps://regulations.justia.com/regulations/fedreg/2017/05/30/2017-10972.htmlNotice - 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 Rebates2017-05-30T00:00:00-07:002017-05-30T00:00:00-07:002017-10972Noticehttps://www.gpo.gov/fdsys/pkg/FR-2017-05-30/pdf/2017-10972.pdfhttps://regulations.justia.com/regulations/fedreg/2017/05/26/2017-10893.htmlNotice - Submission for OMB Review; Comment Request2017-05-26T00:00:00-07:002017-05-26T00:00:00-07:002017-10893Noticehttps://www.gpo.gov/fdsys/pkg/FR-2017-05-26/pdf/2017-10893.pdfhttps://regulations.justia.com/regulations/fedreg/2017/05/26/2017-10892.htmlNotice - Submission for OMB Review; Comment Request2017-05-26T00:00:00-07:002017-05-26T00:00:00-07:002017-10892Noticehttps://www.gpo.gov/fdsys/pkg/FR-2017-05-26/pdf/2017-10892.pdfhttps://regulations.justia.com/regulations/fedreg/2017/05/26/2017-10891.htmlNotice - Submission for OMB Review; Comment Request2017-05-26T00:00:00-07:002017-05-26T00:00:00-07:002017-10891Noticehttps://www.gpo.gov/fdsys/pkg/FR-2017-05-26/pdf/2017-10891.pdfhttps://regulations.justia.com/regulations/fedreg/2017/05/26/2017-10890.htmlNotice - Submission for OMB Review; Comment Request2017-05-26T00:00:00-07:002017-05-26T00:00:00-07:002017-10890Noticehttps://www.gpo.gov/fdsys/pkg/FR-2017-05-26/pdf/2017-10890.pdfhttps://regulations.justia.com/regulations/fedreg/2017/05/26/2017-10830.htmlNotice - TICC Capital Corp., et al.2017-05-26T00:00:00-07:002017-05-26T00:00:00-07:002017-10830Noticehttps://www.gpo.gov/fdsys/pkg/FR-2017-05-26/pdf/2017-10830.pdfhttps://regulations.justia.com/regulations/fedreg/2017/05/26/2017-10807.htmlNotice - 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 Delay2017-05-26T00:00:00-07:002017-05-26T00:00:00-07:002017-10807Noticehttps://www.gpo.gov/fdsys/pkg/FR-2017-05-26/pdf/2017-10807.pdfhttps://regulations.justia.com/regulations/fedreg/2017/05/26/2017-10795.htmlNotice - Corporate Capital Trust, Inc., et al.2017-05-26T00:00:00-07:002017-05-26T00:00:00-07:002017-10795Noticehttps://www.gpo.gov/fdsys/pkg/FR-2017-05-26/pdf/2017-10795.pdfhttps://regulations.justia.com/regulations/fedreg/2017/05/26/2017-10794.htmlNotice - Submission for OMB Review; Comment Request2017-05-26T00:00:00-07:002017-05-26T00:00:00-07:002017-10794Noticehttps://www.gpo.gov/fdsys/pkg/FR-2017-05-26/pdf/2017-10794.pdfhttps://regulations.justia.com/regulations/fedreg/2017/05/26/2017-10793.htmlNotice - Submission for OMB Review; Comment Request2017-05-26T00:00:00-07:002017-05-26T00:00:00-07:002017-10793Noticehttps://www.gpo.gov/fdsys/pkg/FR-2017-05-26/pdf/2017-10793.pdfhttps://regulations.justia.com/regulations/fedreg/2017/05/26/2017-10790.htmlNotice - 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 Mechanism2017-05-26T00:00:00-07:002017-05-26T00:00:00-07:002017-10790Noticehttps://www.gpo.gov/fdsys/pkg/FR-2017-05-26/pdf/2017-10790.pdfhttps://regulations.justia.com/regulations/fedreg/2017/05/25/2017-10691.htmlNotice - 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 Requirements2017-05-25T00:00:00-07:002017-05-25T00:00:00-07:002017-10691Noticehttps://www.gpo.gov/fdsys/pkg/FR-2017-05-25/pdf/2017-10691.pdfhttps://regulations.justia.com/regulations/fedreg/2017/05/25/2017-10690.htmlNotice - 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 Changes2017-05-25T00:00:00-07:002017-05-25T00:00:00-07:002017-10690Noticehttps://www.gpo.gov/fdsys/pkg/FR-2017-05-25/pdf/2017-10690.pdfhttps://regulations.justia.com/regulations/fedreg/2017/05/25/2017-10689.htmlNotice - 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 Changes2017-05-25T00:00:00-07:002017-05-25T00:00:00-07:002017-10689Noticehttps://www.gpo.gov/fdsys/pkg/FR-2017-05-25/pdf/2017-10689.pdfhttps://regulations.justia.com/regulations/fedreg/2017/05/25/2017-10688.htmlNotice - 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 8.2012017-05-25T00:00:00-07:002017-05-25T00:00:00-07:002017-10688Noticehttps://www.gpo.gov/fdsys/pkg/FR-2017-05-25/pdf/2017-10688.pdfhttps://regulations.justia.com/regulations/fedreg/2017/05/25/2017-10687.htmlNotice - 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 8.2012017-05-25T00:00:00-07:002017-05-25T00:00:00-07:002017-10687Noticehttps://www.gpo.gov/fdsys/pkg/FR-2017-05-25/pdf/2017-10687.pdfhttps://regulations.justia.com/regulations/fedreg/2017/05/25/2017-10686.htmlNotice - 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 Shares2017-05-25T00:00:00-07:002017-05-25T00:00:00-07:002017-10686Noticehttps://www.gpo.gov/fdsys/pkg/FR-2017-05-25/pdf/2017-10686.pdfhttps://regulations.justia.com/regulations/fedreg/2017/05/24/2017-10694.htmlNotice - Sunshine Act Meeting; Date and Time Change2017-05-24T00:00:00-07:002017-05-24T00:00:00-07:002017-10694Noticehttps://www.gpo.gov/fdsys/pkg/FR-2017-05-24/pdf/2017-10694.pdfhttps://regulations.justia.com/regulations/fedreg/2017/05/24/2017-10620.htmlNotice - Submission for OMB Review; Comment Request2017-05-24T00:00:00-07:002017-05-24T00:00:00-07:002017-10620Noticehttps://www.gpo.gov/fdsys/pkg/FR-2017-05-24/pdf/2017-10620.pdfhttps://regulations.justia.com/regulations/fedreg/2017/05/24/2017-10619.htmlNotice - Submission for OMB Review; Comment Request2017-05-24T00:00:00-07:002017-05-24T00:00:00-07:002017-10619Noticehttps://www.gpo.gov/fdsys/pkg/FR-2017-05-24/pdf/2017-10619.pdfhttps://regulations.justia.com/regulations/fedreg/2017/05/24/2017-10618.htmlNotice - Proposed Collection; Comment Request2017-05-24T00:00:00-07:002017-05-24T00:00:00-07:002017-10618Noticehttps://www.gpo.gov/fdsys/pkg/FR-2017-05-24/pdf/2017-10618.pdfhttps://regulations.justia.com/regulations/fedreg/2017/05/24/2017-10617.htmlNotice - Submission for OMB Review; Comment Request2017-05-24T00:00:00-07:002017-05-24T00:00:00-07:002017-10617Noticehttps://www.gpo.gov/fdsys/pkg/FR-2017-05-24/pdf/2017-10617.pdfhttps://regulations.justia.com/regulations/fedreg/2017/05/24/2017-10596.htmlNotice - 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)2017-05-24T00:00:00-07:002017-05-24T00:00:00-07:002017-10596Noticehttps://www.gpo.gov/fdsys/pkg/FR-2017-05-24/pdf/2017-10596.pdfhttps://regulations.justia.com/regulations/fedreg/2017/05/24/2017-10595.htmlNotice - Self-Regulatory Organizations; Nasdaq MRX, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Adopt Section IV of the MRX Fee Schedule2017-05-24T00:00:00-07:002017-05-24T00:00:00-07:002017-10595Noticehttps://www.gpo.gov/fdsys/pkg/FR-2017-05-24/pdf/2017-10595.pdfhttps://regulations.justia.com/regulations/fedreg/2017/05/24/2017-10594.htmlNotice - 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 XIV2017-05-24T00:00:00-07:002017-05-24T00:00:00-07:002017-10594Noticehttps://www.gpo.gov/fdsys/pkg/FR-2017-05-24/pdf/2017-10594.pdfhttps://regulations.justia.com/regulations/fedreg/2017/05/24/2017-10593.htmlNotice - Self-Regulatory Organizations; MIAX PEARL, LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend MIAX PEARL Rules 503 and 5152017-05-24T00:00:00-07:002017-05-24T00:00:00-07:002017-10593Noticehttps://www.gpo.gov/fdsys/pkg/FR-2017-05-24/pdf/2017-10593.pdfhttps://regulations.justia.com/regulations/fedreg/2017/05/24/2017-10592.htmlNotice - Self-Regulatory Organizations; NYSE MKT LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Rule 103B-Equities2017-05-24T00:00:00-07:002017-05-24T00:00:00-07:002017-10592Noticehttps://www.gpo.gov/fdsys/pkg/FR-2017-05-24/pdf/2017-10592.pdfhttps://regulations.justia.com/regulations/fedreg/2017/05/24/2017-10590.htmlNotice - 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 Profile2017-05-24T00:00:00-07:002017-05-24T00:00:00-07:002017-10590Noticehttps://www.gpo.gov/fdsys/pkg/FR-2017-05-24/pdf/2017-10590.pdfhttps://regulations.justia.com/regulations/fedreg/2017/05/24/2017-10589.htmlNotice - 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 Trail2017-05-24T00:00:00-07:002017-05-24T00:00:00-07:002017-10589Noticehttps://www.gpo.gov/fdsys/pkg/FR-2017-05-24/pdf/2017-10589.pdfhttps://regulations.justia.com/regulations/fedreg/2017/05/24/2017-10587.htmlNotice - 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 Floor2017-05-24T00:00:00-07:002017-05-24T00:00:00-07:002017-10587Noticehttps://www.gpo.gov/fdsys/pkg/FR-2017-05-24/pdf/2017-10587.pdfhttps://regulations.justia.com/regulations/fedreg/2017/05/24/2017-10586.htmlNotice - 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 INET2017-05-24T00:00:00-07:002017-05-24T00:00:00-07:002017-10586Noticehttps://www.gpo.gov/fdsys/pkg/FR-2017-05-24/pdf/2017-10586.pdf