Federal Register Recent Federal Regulation Documents - Justia Regulation Tracker - Justia Regulations Tracker https://regulations.justia.com/regulations/fedreg/agencies/securities-and-exchange-commission/2017/06/20?limit=200&registers=between&mode=atom 2021-01-18T23:01:23-08:00 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/2017/06/20/2017-12898.html Notice - Sunshine Act Meeting 2017-06-20T00:00:00-07:00 2017-06-20T00:00:00-07:00 2017-12898 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-06-20/pdf/2017-12898.pdf https://regulations.justia.com/regulations/fedreg/2017/06/20/2017-12897.html Notice - Sunshine Act Meeting 2017-06-20T00:00:00-07:00 2017-06-20T00:00:00-07:00 2017-12897 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-06-20/pdf/2017-12897.pdf https://regulations.justia.com/regulations/fedreg/2017/06/20/2017-12894.html Notice - Self-Regulatory Organizations; The NASDAQ Stock Market 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 List and Trade Shares of the Guggenheim Limited Duration ETF 2017-06-20T00:00:00-07:00 2017-06-20T00:00:00-07:00 2017-12894 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-06-20/pdf/2017-12894.pdf https://regulations.justia.com/regulations/fedreg/2017/06/20/2017-12893.html Notice - Self-Regulatory Organizations; Nasdaq ISE, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Regarding Market Maker Quotations 2017-06-20T00:00:00-07:00 2017-06-20T00:00:00-07:00 2017-12893 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-06-20/pdf/2017-12893.pdf https://regulations.justia.com/regulations/fedreg/2017/06/20/2017-12892.html Notice - Self-Regulatory Organizations; National Securities Clearing Corporation; Notice of Filing of Proposed Rule Change To Adopt a New Stock Options and Futures Settlement Agreement With the Options Clearing Corporation 2017-06-20T00:00:00-07:00 2017-06-20T00:00:00-07:00 2017-12892 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-06-20/pdf/2017-12892.pdf https://regulations.justia.com/regulations/fedreg/2017/06/20/2017-12891.html Notice - Self-Regulatory Organizations; The Options Clearing Corporation; Notice of Filing of Proposed Rule Change Concerning the Adoption of a New Stock Options and Futures Settlement Agreement Between The Options Clearing Corporation and the National Securities Clearing Corporation 2017-06-20T00:00:00-07:00 2017-06-20T00:00:00-07:00 2017-12891 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-06-20/pdf/2017-12891.pdf https://regulations.justia.com/regulations/fedreg/2017/06/20/2017-12888.html Notice - Self-Regulatory Organizations; NASDAQ PHLX LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Exchange's Transaction Fees at Section VIII 2017-06-20T00:00:00-07:00 2017-06-20T00:00:00-07:00 2017-12888 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-06-20/pdf/2017-12888.pdf https://regulations.justia.com/regulations/fedreg/2017/06/20/2017-12887.html Notice - Self-Regulatory Organizations; Nasdaq MRX, LLC; Notice of Filing of Proposed Rule Change, as Modified by Amendment No. 2 Thereto, To Amend the Opening Process 2017-06-20T00:00:00-07:00 2017-06-20T00:00:00-07:00 2017-12887 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-06-20/pdf/2017-12887.pdf https://regulations.justia.com/regulations/fedreg/2017/06/20/2017-12886.html Notice - Self-Regulatory Organizations; Investors Exchange LLC; Notice of Filing of a Proposed Rule Change To Adopt Rule 15.130 To Establish the Procedures for Resolving Potential Disputes Related to CAT Fees Charged to Industry Members 2017-06-20T00:00:00-07:00 2017-06-20T00:00:00-07:00 2017-12886 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-06-20/pdf/2017-12886.pdf https://regulations.justia.com/regulations/fedreg/2017/06/20/2017-12885.html Notice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Designation of a Longer Period for Commission Action on a 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 2017-06-20T00:00:00-07:00 2017-06-20T00:00:00-07:00 2017-12885 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-06-20/pdf/2017-12885.pdf https://regulations.justia.com/regulations/fedreg/2017/06/20/2017-12884.html Notice - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Its Price List Regarding the Liquidity Provider Incentive Program 2017-06-20T00:00:00-07:00 2017-06-20T00:00:00-07:00 2017-12884 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-06-20/pdf/2017-12884.pdf https://regulations.justia.com/regulations/fedreg/2017/06/20/2017-12832.html Notice - Proposed Collection; Comment Request 2017-06-20T00:00:00-07:00 2017-06-20T00:00:00-07:00 2017-12832 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-06-20/pdf/2017-12832.pdf https://regulations.justia.com/regulations/fedreg/2017/06/20/2017-12804.html Notice - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing of Proposed Rule Change To Amend Section 102.01B of the NYSE Listed Company Manual To Provide for the Listing of Companies That List Without a Prior Exchange Act Registration and That Are Not Listing in Connection With an Underwritten Initial Public Offering and Related Changes to Rules 15, 104, and 123D 2017-06-20T00:00:00-07:00 2017-06-20T00:00:00-07:00 2017-12804 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-06-20/pdf/2017-12804.pdf https://regulations.justia.com/regulations/fedreg/2017/06/20/2017-12771.html Notice - Joint Industry Plan; Notice of Filing and Immediate Effectiveness of Amendment No. 2 to the National Market System Plan Governing the Consolidated Audit Trail by Bats BYX Exchange, Inc., Bats BZX Exchange, Inc., Bats EDGA Exchange, Inc., Bats EDGX Exchange, Inc., BOX Options Exchange LLC, C2 Options Exchange, Incorporated, Chicago Board Options Exchange, Incorporated, Chicago Stock Exchange, Inc., Financial Industry Regulatory Authority, Inc., Investors' Exchange LLC, Miami International Securities Exchange, LLC, MIAX PEARL, LLC, NASDAQ BX, Inc., Nasdaq GEMX, LLC, Nasdaq ISE, LLC, Nasdaq MRX, LLC, NASDAQ PHLX LLC, The NASDAQ Stock Market LLC, New York Stock Exchange LLC, NYSE Arca, Inc., NYSE MKT LLC and NYSE National, Inc. 2017-06-20T00:00:00-07:00 2017-06-20T00:00:00-07:00 2017-12771 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-06-20/pdf/2017-12771.pdf https://regulations.justia.com/regulations/fedreg/2017/06/20/2017-12770.html Notice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing of Proposed Rule Change in Connection With the Proposed Merger of Its Wholly Owned Subsidiary NYSE Arca Equities, Inc. With and Into the Exchange 2017-06-20T00:00:00-07:00 2017-06-20T00:00:00-07:00 2017-12770 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-06-20/pdf/2017-12770.pdf https://regulations.justia.com/regulations/fedreg/2017/06/20/2017-12769.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 7018(a)(2) 2017-06-20T00:00:00-07:00 2017-06-20T00:00:00-07:00 2017-12769 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-06-20/pdf/2017-12769.pdf https://regulations.justia.com/regulations/fedreg/2017/06/20/2017-12768.html Notice - Self-Regulatory Organizations; Bats BZX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Rule 21.5 of Bats BZX Exchange, Inc. To Extend Through December 31, 2017, the Penny Pilot Program in Options Classes in Certain Issues 2017-06-20T00:00:00-07:00 2017-06-20T00:00:00-07:00 2017-12768 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-06-20/pdf/2017-12768.pdf https://regulations.justia.com/regulations/fedreg/2017/06/20/2017-12767.html Notice - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Withdrawal of Proposed Rule Change Related to Complex Orders 2017-06-20T00:00:00-07:00 2017-06-20T00:00:00-07:00 2017-12767 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-06-20/pdf/2017-12767.pdf https://regulations.justia.com/regulations/fedreg/2017/06/20/2017-12766.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 2017-06-20T00:00:00-07:00 2017-06-20T00:00:00-07:00 2017-12766 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-06-20/pdf/2017-12766.pdf https://regulations.justia.com/regulations/fedreg/2017/06/20/2017-12765.html Notice - Self-Regulatory Organizations; NASDAQ BX, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the Exchange's Transaction Fees at Rule 7018 2017-06-20T00:00:00-07:00 2017-06-20T00:00:00-07:00 2017-12765 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-06-20/pdf/2017-12765.pdf https://regulations.justia.com/regulations/fedreg/2017/06/20/2017-12764.html Notice - Self-Regulatory Organizations; Nasdaq ISE, LLC; Notice of Designation of Longer Period for Commission Action on Proposed Rule Change To Harmonize the Corporate Governance Framework With That of the NASDAQ Stock Market LLC, NASDAQ PHLX LLC, and NASDAQ BX, Inc. 2017-06-20T00:00:00-07:00 2017-06-20T00:00:00-07:00 2017-12764 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-06-20/pdf/2017-12764.pdf https://regulations.justia.com/regulations/fedreg/2017/06/20/2017-12763.html Notice - Self-Regulatory Organizations; Nasdaq ISE, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Its Schedule of Fees To (1) Reduce the Priority Customer Taker Fee for Regular Orders in SPY to $0.35 Per Contract, and (2) Lower the Threshold of Net Zero Complex Contracts 2017-06-20T00:00:00-07:00 2017-06-20T00:00:00-07:00 2017-12763 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-06-20/pdf/2017-12763.pdf https://regulations.justia.com/regulations/fedreg/2017/06/20/2017-12762.html Notice - Self-Regulatory Organizations; Nasdaq GEMX, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend the Fee Schedule 2017-06-20T00:00:00-07:00 2017-06-20T00:00:00-07:00 2017-12762 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-06-20/pdf/2017-12762.pdf https://regulations.justia.com/regulations/fedreg/2017/06/20/2017-12761.html Notice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the NYSE Arca Equities Schedule of Fees and Charges for Exchange Services 2017-06-20T00:00:00-07:00 2017-06-20T00:00:00-07:00 2017-12761 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-06-20/pdf/2017-12761.pdf https://regulations.justia.com/regulations/fedreg/2017/06/20/2017-12760.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 Bats BZX Exchange, Inc.'s Options Platform 2017-06-20T00:00:00-07:00 2017-06-20T00:00:00-07:00 2017-12760 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-06-20/pdf/2017-12760.pdf