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 2024-05-20T12:20:32-07:00 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