Federal Register Recent Federal Regulation Documents - Justia Regulation Tracker - Justia Regulations Trackerhttps://regulations.justia.com/regulations/fedreg/agencies/securities-and-exchange-commission/2017/06?limit=200®isters=between&min-day=1&max-day=30&mode=atom2024-04-18T21:49:09-07:00Justia Inchttps://www.justia.com/Justia Regulations Trackerhttps://regulations.justia.com/images/justiafedregulations.gifCopyright 2011 Justia Inchttps://regulations.justia.com/regulations/fedreg/2017/06/30/2017-13709.htmlNotice - Self-Regulatory Organizations; Nasdaq ISE, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to the Non-Priority Customer License Surcharge2017-06-30T00:00:00-07:002017-06-30T00:00:00-07:002017-13709Noticehttps://www.gpo.gov/fdsys/pkg/FR-2017-06-30/pdf/2017-13709.pdfhttps://regulations.justia.com/regulations/fedreg/2017/06/30/2017-13708.htmlNotice - Self-Regulatory Organizations; Nasdaq GEMX, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to the Non-Priority Customer License Surcharge2017-06-30T00:00:00-07:002017-06-30T00:00:00-07:002017-13708Noticehttps://www.gpo.gov/fdsys/pkg/FR-2017-06-30/pdf/2017-13708.pdfhttps://regulations.justia.com/regulations/fedreg/2017/06/30/2017-13707.htmlNotice - Self-Regulatory Organizations; OneChicago, LLC; Notice of Filing of Proposed Rule Change To Implement Four Decimal Pricing for Outright Transactions in Single Stock Futures2017-06-30T00:00:00-07:002017-06-30T00:00:00-07:002017-13707Noticehttps://www.gpo.gov/fdsys/pkg/FR-2017-06-30/pdf/2017-13707.pdfhttps://regulations.justia.com/regulations/fedreg/2017/06/30/2017-13706.htmlNotice - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing of Proposed Rule Change To Require Listed Companies To Provide Advance Notice of Dividend Announcements to the Exchange2017-06-30T00:00:00-07:002017-06-30T00:00:00-07:002017-13706Noticehttps://www.gpo.gov/fdsys/pkg/FR-2017-06-30/pdf/2017-13706.pdfhttps://regulations.justia.com/regulations/fedreg/2017/06/30/2017-13705.htmlNotice - Self-Regulatory Organizations; Miami International Securities Exchange LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend MIAX Options Rules 307, Position Limits, and 309, Exercise Limits, To Extend the SPY Pilot Program2017-06-30T00:00:00-07:002017-06-30T00:00:00-07:002017-13705Noticehttps://www.gpo.gov/fdsys/pkg/FR-2017-06-30/pdf/2017-13705.pdfhttps://regulations.justia.com/regulations/fedreg/2017/06/30/2017-13704.htmlNotice - Self-Regulatory Organizations; Miami International Securities Exchange LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Its Fee Schedule2017-06-30T00:00:00-07:002017-06-30T00:00:00-07:002017-13704Noticehttps://www.gpo.gov/fdsys/pkg/FR-2017-06-30/pdf/2017-13704.pdfhttps://regulations.justia.com/regulations/fedreg/2017/06/30/2017-13703.htmlNotice - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Reporting of Certain ATS Transactions in U.S. Treasury Securities2017-06-30T00:00:00-07:002017-06-30T00:00:00-07:002017-13703Noticehttps://www.gpo.gov/fdsys/pkg/FR-2017-06-30/pdf/2017-13703.pdfhttps://regulations.justia.com/regulations/fedreg/2017/06/30/2017-13702.htmlNotice - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Extend a Pilot Program That Eliminates Position and Exercise Limits for Physically-Settled SPDR S&P 500 ETF Trust (“SPY”) Options2017-06-30T00:00:00-07:002017-06-30T00:00:00-07:002017-13702Noticehttps://www.gpo.gov/fdsys/pkg/FR-2017-06-30/pdf/2017-13702.pdfhttps://regulations.justia.com/regulations/fedreg/2017/06/29/2017-13590.htmlNotice - Self-Regulatory Organizations; NYSE MKT LLC; Order Granting Approval of Proposed Rule Change To Harmonize the Requirements of the NYSE MKT Company Guide With the Periodic and Semi-Annual Reporting Requirements of the NYSE2017-06-29T00:00:00-07:002017-06-29T00:00:00-07:002017-13590Noticehttps://www.gpo.gov/fdsys/pkg/FR-2017-06-29/pdf/2017-13590.pdfhttps://regulations.justia.com/regulations/fedreg/2017/06/29/2017-13589.htmlNotice - Self-Regulatory Organizations; NYSE MKT LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change to the NYSE MKT Equities Price List and the NYSE Amex Options Fee Schedule To Add Access for Users to Two Third Party Systems and Connectivity to Six Additional Third Party Data Feeds2017-06-29T00:00:00-07:002017-06-29T00:00:00-07:002017-13589Noticehttps://www.gpo.gov/fdsys/pkg/FR-2017-06-29/pdf/2017-13589.pdfhttps://regulations.justia.com/regulations/fedreg/2017/06/29/2017-13588.htmlNotice - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Add Access for Users to Two Third Party Systems and Connectivity to Six Additional Third Party Data Feeds2017-06-29T00:00:00-07:002017-06-29T00:00:00-07:002017-13588Noticehttps://www.gpo.gov/fdsys/pkg/FR-2017-06-29/pdf/2017-13588.pdfhttps://regulations.justia.com/regulations/fedreg/2017/06/29/2017-13587.htmlNotice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change to its NYSE Arca Options Fee Schedule and the NYSE Arca Equities Schedule of Fees and Charges for Exchange Services To Add Access for Users to Two Third Party Systems and Connectivity to Six Additional Third Party Data Feeds2017-06-29T00:00:00-07:002017-06-29T00:00:00-07:002017-13587Noticehttps://www.gpo.gov/fdsys/pkg/FR-2017-06-29/pdf/2017-13587.pdfhttps://regulations.justia.com/regulations/fedreg/2017/06/29/2017-13586.htmlNotice - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Order Granting Approval of Proposed Rule Change To Reduce the Delay Period for Transactions Included in the Historic TRACE Data Sets Relating to Corporate and Agency Debt Securities2017-06-29T00:00:00-07:002017-06-29T00:00:00-07:002017-13586Noticehttps://www.gpo.gov/fdsys/pkg/FR-2017-06-29/pdf/2017-13586.pdfhttps://regulations.justia.com/regulations/fedreg/2017/06/29/2017-13585.htmlNotice - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Related to Rule 6.56 (Compression Forums)2017-06-29T00:00:00-07:002017-06-29T00:00:00-07:002017-13585Noticehttps://www.gpo.gov/fdsys/pkg/FR-2017-06-29/pdf/2017-13585.pdfhttps://regulations.justia.com/regulations/fedreg/2017/06/29/2017-13584.htmlNotice - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Waive Certain TRACE Reporting Fees2017-06-29T00:00:00-07:002017-06-29T00:00:00-07:002017-13584Noticehttps://www.gpo.gov/fdsys/pkg/FR-2017-06-29/pdf/2017-13584.pdfhttps://regulations.justia.com/regulations/fedreg/2017/06/29/2017-13583.htmlNotice - Self-Regulatory Organizations; The Options Clearing Corporation; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Concerning the U.S. Market Transition to a Shortened Settlement Cycle2017-06-29T00:00:00-07:002017-06-29T00:00:00-07:002017-13583Noticehttps://www.gpo.gov/fdsys/pkg/FR-2017-06-29/pdf/2017-13583.pdfhttps://regulations.justia.com/regulations/fedreg/2017/06/29/2017-13582.htmlNotice - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing of a Proposed Rule Change To Amend FINRA Rule 7730 To Make Available a New TRACE Security Activity Report2017-06-29T00:00:00-07:002017-06-29T00:00:00-07:002017-13582Noticehttps://www.gpo.gov/fdsys/pkg/FR-2017-06-29/pdf/2017-13582.pdfhttps://regulations.justia.com/regulations/fedreg/2017/06/28/2017-13490.htmlNotice - Self-Regulatory Organizations; Fixed Income Clearing Corporation; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Make Clarifications and Corrections to the Government Securities Division Rulebook, the Mortgage-Backed Securities Division Clearing Rules and the Mortgage-Backed Securities Division EPN Rules2017-06-28T00:00:00-07:002017-06-28T00:00:00-07:002017-13490Noticehttps://www.gpo.gov/fdsys/pkg/FR-2017-06-28/pdf/2017-13490.pdfhttps://regulations.justia.com/regulations/fedreg/2017/06/28/2017-13489.htmlNotice - Self-Regulatory Organizations; The Depository Trust Company; Notice of Filing of Proposed Rule Change To Establish a Swap Margin Segregation Account for the Segregation of Swap Margin With Respect to Deposited Securities2017-06-28T00:00:00-07:002017-06-28T00:00:00-07:002017-13489Noticehttps://www.gpo.gov/fdsys/pkg/FR-2017-06-28/pdf/2017-13489.pdfhttps://regulations.justia.com/regulations/fedreg/2017/06/28/2017-13488.htmlNotice - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Withdrawal of a Proposed Rule Change, as Modified by Amendment No. 3, 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 Offering2017-06-28T00:00:00-07:002017-06-28T00:00:00-07:002017-13488Noticehttps://www.gpo.gov/fdsys/pkg/FR-2017-06-28/pdf/2017-13488.pdfhttps://regulations.justia.com/regulations/fedreg/2017/06/28/2017-13475.htmlNotice - Self-Regulatory Organizations; Nasdaq ISE, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Section III of the Schedule of Fees2017-06-28T00:00:00-07:002017-06-28T00:00:00-07:002017-13475Noticehttps://www.gpo.gov/fdsys/pkg/FR-2017-06-28/pdf/2017-13475.pdfhttps://regulations.justia.com/regulations/fedreg/2017/06/28/2017-13474.htmlNotice - Self-Regulatory Organizations; Investors Exchange LLC; Notice of Designation of a Longer Period for Commission Action on a Proposed Rule Change Related to Auctions in IEX-Listed Securities, Dissemination of Auction-Related Market Data, and Provisions Governing Trading Halts and Pauses2017-06-28T00:00:00-07:002017-06-28T00:00:00-07:002017-13474Noticehttps://www.gpo.gov/fdsys/pkg/FR-2017-06-28/pdf/2017-13474.pdfhttps://regulations.justia.com/regulations/fedreg/2017/06/28/2017-13473.htmlNotice - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Rule 7014(j)2017-06-28T00:00:00-07:002017-06-28T00:00:00-07:002017-13473Noticehttps://www.gpo.gov/fdsys/pkg/FR-2017-06-28/pdf/2017-13473.pdfhttps://regulations.justia.com/regulations/fedreg/2017/06/27/2017-13492.htmlNotice - Sunshine Act Meeting2017-06-27T00:00:00-07:002017-06-27T00:00:00-07:002017-13492Noticehttps://www.gpo.gov/fdsys/pkg/FR-2017-06-27/pdf/2017-13492.pdfhttps://regulations.justia.com/regulations/fedreg/2017/06/27/2017-13424.htmlNotice - Submission for OMB Review; Comment Request2017-06-27T00:00:00-07:002017-06-27T00:00:00-07:002017-13424Noticehttps://www.gpo.gov/fdsys/pkg/FR-2017-06-27/pdf/2017-13424.pdfhttps://regulations.justia.com/regulations/fedreg/2017/06/27/2017-13371.htmlNotice - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Adopt Initial and Continued Listing Standards for the Listing of Equity Investment Tracking Stocks2017-06-27T00:00:00-07:002017-06-27T00:00:00-07:002017-13371Noticehttps://www.gpo.gov/fdsys/pkg/FR-2017-06-27/pdf/2017-13371.pdfhttps://regulations.justia.com/regulations/fedreg/2017/06/27/2017-13345.htmlNotice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the NYSE Arca Options Fee Schedule2017-06-27T00:00:00-07:002017-06-27T00:00:00-07:002017-13345Noticehttps://www.gpo.gov/fdsys/pkg/FR-2017-06-27/pdf/2017-13345.pdfhttps://regulations.justia.com/regulations/fedreg/2017/06/27/2017-13344.htmlNotice - Self-Regulatory Organizations; NYSE MKT LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Commentary .02 to Rule 960NY in Order To Extend the Penny Pilot in Options Classes in Certain Issues2017-06-27T00:00:00-07:002017-06-27T00:00:00-07:002017-13344Noticehttps://www.gpo.gov/fdsys/pkg/FR-2017-06-27/pdf/2017-13344.pdfhttps://regulations.justia.com/regulations/fedreg/2017/06/27/2017-13343.htmlNotice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Commentary .02 To Rule 6.72 in Order To Extend the Penny Pilot in Options Classes in Certain Issues Through December 31, 20172017-06-27T00:00:00-07:002017-06-27T00:00:00-07:002017-13343Noticehttps://www.gpo.gov/fdsys/pkg/FR-2017-06-27/pdf/2017-13343.pdfhttps://regulations.justia.com/regulations/fedreg/2017/06/26/2017-13263.htmlNotice - 1889 BDC, Inc., et al.; Notice of Application2017-06-26T00:00:00-07:002017-06-26T00:00:00-07:002017-13263Noticehttps://www.gpo.gov/fdsys/pkg/FR-2017-06-26/pdf/2017-13263.pdfhttps://regulations.justia.com/regulations/fedreg/2017/06/26/2017-13231.htmlNotice - Self-Regulatory Organizations; ICE Clear Europe Limited; Notice of Filing of Amendment No. 1 and Order Approving Proposed Rule Change, as Modified by Amendment No. 1 Thereto, Relating to ICE Clear Europe's End-of-Day Price Discovery Policy2017-06-26T00:00:00-07:002017-06-26T00:00:00-07:002017-13231Noticehttps://www.gpo.gov/fdsys/pkg/FR-2017-06-26/pdf/2017-13231.pdfhttps://regulations.justia.com/regulations/fedreg/2017/06/26/2017-13230.htmlNotice - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to the Implementation Date for Trade Modifiers When Reporting Transactions in U.S. Treasury Securities2017-06-26T00:00:00-07:002017-06-26T00:00:00-07:002017-13230Noticehttps://www.gpo.gov/fdsys/pkg/FR-2017-06-26/pdf/2017-13230.pdfhttps://regulations.justia.com/regulations/fedreg/2017/06/26/2017-13229.htmlNotice - Self-Regulatory Organizations; Bats EDGX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Fees for Use on Bats EDGX Exchange, Inc.2017-06-26T00:00:00-07:002017-06-26T00:00:00-07:002017-13229Noticehttps://www.gpo.gov/fdsys/pkg/FR-2017-06-26/pdf/2017-13229.pdfhttps://regulations.justia.com/regulations/fedreg/2017/06/26/2017-13228.htmlNotice - Self-Regulatory Organizations; Bats EDGA Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Related To Amend Its Fee Schedule To Replace Current Inverted Pricing Model With Low Fee Model2017-06-26T00:00:00-07:002017-06-26T00:00:00-07:002017-13228Noticehttps://www.gpo.gov/fdsys/pkg/FR-2017-06-26/pdf/2017-13228.pdfhttps://regulations.justia.com/regulations/fedreg/2017/06/26/2017-13227.htmlNotice - Submission for OMB Review; Comment Request2017-06-26T00:00:00-07:002017-06-26T00:00:00-07:002017-13227Noticehttps://www.gpo.gov/fdsys/pkg/FR-2017-06-26/pdf/2017-13227.pdfhttps://regulations.justia.com/regulations/fedreg/2017/06/23/2017-13145.htmlNotice - Submission for OMB Review; Comment Request2017-06-23T00:00:00-07:002017-06-23T00:00:00-07:002017-13145Noticehttps://www.gpo.gov/fdsys/pkg/FR-2017-06-23/pdf/2017-13145.pdfhttps://regulations.justia.com/regulations/fedreg/2017/06/23/2017-13144.htmlNotice - Submission for OMB Review; Comment Request2017-06-23T00:00:00-07:002017-06-23T00:00:00-07:002017-13144Noticehttps://www.gpo.gov/fdsys/pkg/FR-2017-06-23/pdf/2017-13144.pdfhttps://regulations.justia.com/regulations/fedreg/2017/06/23/2017-13143.htmlNotice - Submission for OMB Review; Comment Request2017-06-23T00:00:00-07:002017-06-23T00:00:00-07:002017-13143Noticehttps://www.gpo.gov/fdsys/pkg/FR-2017-06-23/pdf/2017-13143.pdfhttps://regulations.justia.com/regulations/fedreg/2017/06/23/2017-13142.htmlNotice - Submission for OMB Review; Comment Request2017-06-23T00:00:00-07:002017-06-23T00:00:00-07:002017-13142Noticehttps://www.gpo.gov/fdsys/pkg/FR-2017-06-23/pdf/2017-13142.pdfhttps://regulations.justia.com/regulations/fedreg/2017/06/23/2017-13141.htmlNotice - Submission for OMB Review; Comment Request2017-06-23T00:00:00-07:002017-06-23T00:00:00-07:002017-13141Noticehttps://www.gpo.gov/fdsys/pkg/FR-2017-06-23/pdf/2017-13141.pdfhttps://regulations.justia.com/regulations/fedreg/2017/06/23/2017-13140.htmlNotice - Submission for OMB Review; Comment Request2017-06-23T00:00:00-07:002017-06-23T00:00:00-07:002017-13140Noticehttps://www.gpo.gov/fdsys/pkg/FR-2017-06-23/pdf/2017-13140.pdfhttps://regulations.justia.com/regulations/fedreg/2017/06/23/2017-13105.htmlNotice - Self-Regulatory Organizations; Nasdaq MRX, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Regarding Quote Mitigation2017-06-23T00:00:00-07:002017-06-23T00:00:00-07:002017-13105Noticehttps://www.gpo.gov/fdsys/pkg/FR-2017-06-23/pdf/2017-13105.pdfhttps://regulations.justia.com/regulations/fedreg/2017/06/23/2017-13104.htmlNotice - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Order Approving a Proposed Rule Change Relating to Expediting List Selection in Arbitration2017-06-23T00:00:00-07:002017-06-23T00:00:00-07:002017-13104Noticehttps://www.gpo.gov/fdsys/pkg/FR-2017-06-23/pdf/2017-13104.pdfhttps://regulations.justia.com/regulations/fedreg/2017/06/23/2017-13103.htmlNotice - Self-Regulatory Organizations; NASDAQ PHLX LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Rule 1049, Communications to Customers2017-06-23T00:00:00-07:002017-06-23T00:00:00-07:002017-13103Noticehttps://www.gpo.gov/fdsys/pkg/FR-2017-06-23/pdf/2017-13103.pdfhttps://regulations.justia.com/regulations/fedreg/2017/06/23/2017-13102.htmlNotice - Self-Regulatory Organizations; Nasdaq ISE, LLC; Notice of Filing of a Proposed Rule Change To Adopt Rule 9122017-06-23T00:00:00-07:002017-06-23T00:00:00-07:002017-13102Noticehttps://www.gpo.gov/fdsys/pkg/FR-2017-06-23/pdf/2017-13102.pdfhttps://regulations.justia.com/regulations/fedreg/2017/06/23/2017-13101.htmlNotice - Self-Regulatory Organizations; Nasdaq GEMX, LLC; Notice of Filing of a Proposed Rule Change To Adopt Rule 9122017-06-23T00:00:00-07:002017-06-23T00:00:00-07:002017-13101Noticehttps://www.gpo.gov/fdsys/pkg/FR-2017-06-23/pdf/2017-13101.pdfhttps://regulations.justia.com/regulations/fedreg/2017/06/23/2017-13100.htmlNotice - Self-Regulatory Organizations; BOX Options Exchange LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the Fee Schedule To Make Several Non-Substantive Changes2017-06-23T00:00:00-07:002017-06-23T00:00:00-07:002017-13100Noticehttps://www.gpo.gov/fdsys/pkg/FR-2017-06-23/pdf/2017-13100.pdfhttps://regulations.justia.com/regulations/fedreg/2017/06/23/2017-13099.htmlNotice - Self-Regulatory Organizations; NASDAQ BX, Inc.; Notice of Filing of a Proposed Rule Change To Adopt Rule 6896 and Chapter IX, Section 92017-06-23T00:00:00-07:002017-06-23T00:00:00-07:002017-13099Noticehttps://www.gpo.gov/fdsys/pkg/FR-2017-06-23/pdf/2017-13099.pdfhttps://regulations.justia.com/regulations/fedreg/2017/06/23/2017-13098.htmlNotice - Self-Regulatory Organizations; NASDAQ PHLX LLC; Notice of Filing of a Proposed Rule Change To Adopt Rule 996A2017-06-23T00:00:00-07:002017-06-23T00:00:00-07:002017-13098Noticehttps://www.gpo.gov/fdsys/pkg/FR-2017-06-23/pdf/2017-13098.pdfhttps://regulations.justia.com/regulations/fedreg/2017/06/23/2017-13097.htmlNotice - Self-Regulatory Organizations; Nasdaq MRX, LLC; Notice of Filing of a Proposed Rule Change To Adopt Rule 9122017-06-23T00:00:00-07:002017-06-23T00:00:00-07:002017-13097Noticehttps://www.gpo.gov/fdsys/pkg/FR-2017-06-23/pdf/2017-13097.pdfhttps://regulations.justia.com/regulations/fedreg/2017/06/23/2017-13096.htmlNotice - Self-Regulatory Organizations; Nasdaq MRX, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Chapter 192017-06-23T00:00:00-07:002017-06-23T00:00:00-07:002017-13096Noticehttps://www.gpo.gov/fdsys/pkg/FR-2017-06-23/pdf/2017-13096.pdfhttps://regulations.justia.com/regulations/fedreg/2017/06/23/2017-13095.htmlNotice - Self-Regulatory Organizations; NYSE MKT LLC; Notice of Filing and Immediate Effectiveness of Proposed Change To Modify the NYSE Amex Options Fee Schedule2017-06-23T00:00:00-07:002017-06-23T00:00:00-07:002017-13095Noticehttps://www.gpo.gov/fdsys/pkg/FR-2017-06-23/pdf/2017-13095.pdfhttps://regulations.justia.com/regulations/fedreg/2017/06/22/2017-12987.htmlNotice - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing of a Proposed Rule Change To Adopt Rule 6896 and Chapter IX, Section 92017-06-22T00:00:00-07:002017-06-22T00:00:00-07:002017-12987Noticehttps://www.gpo.gov/fdsys/pkg/FR-2017-06-22/pdf/2017-12987.pdfhttps://regulations.justia.com/regulations/fedreg/2017/06/21/2017-12947.htmlNotice - Westcore Trust and Denver Investment Advisors LLC; Notice of Application2017-06-21T00:00:00-07:002017-06-21T00:00:00-07:002017-12947Noticehttps://www.gpo.gov/fdsys/pkg/FR-2017-06-21/pdf/2017-12947.pdfhttps://regulations.justia.com/regulations/fedreg/2017/06/21/2017-12890.htmlNotice - Self-Regulatory Organizations; Miami International Securities Exchange LLC; Order Approving a Proposed Rule Change Relating to the Exposure Periods of the MIAX Price Improvement Mechanism and Solicitation Mechanism2017-06-21T00:00:00-07:002017-06-21T00:00:00-07:002017-12890Noticehttps://www.gpo.gov/fdsys/pkg/FR-2017-06-21/pdf/2017-12890.pdfhttps://regulations.justia.com/regulations/fedreg/2017/06/21/2017-12889.htmlNotice - Self-Regulatory Organizations; Bats BYX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Related to Fees for Use on Bats BYX Exchange, Inc.2017-06-21T00:00:00-07:002017-06-21T00:00:00-07:002017-12889Noticehttps://www.gpo.gov/fdsys/pkg/FR-2017-06-21/pdf/2017-12889.pdfhttps://regulations.justia.com/regulations/fedreg/2017/06/20/2017-12898.htmlNotice - Sunshine Act Meeting2017-06-20T00:00:00-07:002017-06-20T00:00:00-07:002017-12898Noticehttps://www.gpo.gov/fdsys/pkg/FR-2017-06-20/pdf/2017-12898.pdfhttps://regulations.justia.com/regulations/fedreg/2017/06/20/2017-12897.htmlNotice - Sunshine Act Meeting2017-06-20T00:00:00-07:002017-06-20T00:00:00-07:002017-12897Noticehttps://www.gpo.gov/fdsys/pkg/FR-2017-06-20/pdf/2017-12897.pdfhttps://regulations.justia.com/regulations/fedreg/2017/06/20/2017-12894.htmlNotice - 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 ETF2017-06-20T00:00:00-07:002017-06-20T00:00:00-07:002017-12894Noticehttps://www.gpo.gov/fdsys/pkg/FR-2017-06-20/pdf/2017-12894.pdfhttps://regulations.justia.com/regulations/fedreg/2017/06/20/2017-12893.htmlNotice - Self-Regulatory Organizations; Nasdaq ISE, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Regarding Market Maker Quotations2017-06-20T00:00:00-07:002017-06-20T00:00:00-07:002017-12893Noticehttps://www.gpo.gov/fdsys/pkg/FR-2017-06-20/pdf/2017-12893.pdfhttps://regulations.justia.com/regulations/fedreg/2017/06/20/2017-12892.htmlNotice - 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 Corporation2017-06-20T00:00:00-07:002017-06-20T00:00:00-07:002017-12892Noticehttps://www.gpo.gov/fdsys/pkg/FR-2017-06-20/pdf/2017-12892.pdfhttps://regulations.justia.com/regulations/fedreg/2017/06/20/2017-12891.htmlNotice - 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 Corporation2017-06-20T00:00:00-07:002017-06-20T00:00:00-07:002017-12891Noticehttps://www.gpo.gov/fdsys/pkg/FR-2017-06-20/pdf/2017-12891.pdfhttps://regulations.justia.com/regulations/fedreg/2017/06/20/2017-12888.htmlNotice - Self-Regulatory Organizations; NASDAQ PHLX LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Exchange's Transaction Fees at Section VIII2017-06-20T00:00:00-07:002017-06-20T00:00:00-07:002017-12888Noticehttps://www.gpo.gov/fdsys/pkg/FR-2017-06-20/pdf/2017-12888.pdfhttps://regulations.justia.com/regulations/fedreg/2017/06/20/2017-12887.htmlNotice - Self-Regulatory Organizations; Nasdaq MRX, LLC; Notice of Filing of Proposed Rule Change, as Modified by Amendment No. 2 Thereto, To Amend the Opening Process2017-06-20T00:00:00-07:002017-06-20T00:00:00-07:002017-12887Noticehttps://www.gpo.gov/fdsys/pkg/FR-2017-06-20/pdf/2017-12887.pdfhttps://regulations.justia.com/regulations/fedreg/2017/06/20/2017-12886.htmlNotice - 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 Members2017-06-20T00:00:00-07:002017-06-20T00:00:00-07:002017-12886Noticehttps://www.gpo.gov/fdsys/pkg/FR-2017-06-20/pdf/2017-12886.pdfhttps://regulations.justia.com/regulations/fedreg/2017/06/20/2017-12885.htmlNotice - 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 8.9002017-06-20T00:00:00-07:002017-06-20T00:00:00-07:002017-12885Noticehttps://www.gpo.gov/fdsys/pkg/FR-2017-06-20/pdf/2017-12885.pdfhttps://regulations.justia.com/regulations/fedreg/2017/06/20/2017-12884.htmlNotice - 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 Program2017-06-20T00:00:00-07:002017-06-20T00:00:00-07:002017-12884Noticehttps://www.gpo.gov/fdsys/pkg/FR-2017-06-20/pdf/2017-12884.pdfhttps://regulations.justia.com/regulations/fedreg/2017/06/20/2017-12832.htmlNotice - Proposed Collection; Comment Request2017-06-20T00:00:00-07:002017-06-20T00:00:00-07:002017-12832Noticehttps://www.gpo.gov/fdsys/pkg/FR-2017-06-20/pdf/2017-12832.pdfhttps://regulations.justia.com/regulations/fedreg/2017/06/20/2017-12804.htmlNotice - 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 123D2017-06-20T00:00:00-07:002017-06-20T00:00:00-07:002017-12804Noticehttps://www.gpo.gov/fdsys/pkg/FR-2017-06-20/pdf/2017-12804.pdfhttps://regulations.justia.com/regulations/fedreg/2017/06/20/2017-12771.htmlNotice - 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.2017-06-20T00:00:00-07:002017-06-20T00:00:00-07:002017-12771Noticehttps://www.gpo.gov/fdsys/pkg/FR-2017-06-20/pdf/2017-12771.pdfhttps://regulations.justia.com/regulations/fedreg/2017/06/20/2017-12770.htmlNotice - 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 Exchange2017-06-20T00:00:00-07:002017-06-20T00:00:00-07:002017-12770Noticehttps://www.gpo.gov/fdsys/pkg/FR-2017-06-20/pdf/2017-12770.pdfhttps://regulations.justia.com/regulations/fedreg/2017/06/20/2017-12769.htmlNotice - 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)2017-06-20T00:00:00-07:002017-06-20T00:00:00-07:002017-12769Noticehttps://www.gpo.gov/fdsys/pkg/FR-2017-06-20/pdf/2017-12769.pdfhttps://regulations.justia.com/regulations/fedreg/2017/06/20/2017-12768.htmlNotice - 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 Issues2017-06-20T00:00:00-07:002017-06-20T00:00:00-07:002017-12768Noticehttps://www.gpo.gov/fdsys/pkg/FR-2017-06-20/pdf/2017-12768.pdfhttps://regulations.justia.com/regulations/fedreg/2017/06/20/2017-12767.htmlNotice - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Withdrawal of Proposed Rule Change Related to Complex Orders2017-06-20T00:00:00-07:002017-06-20T00:00:00-07:002017-12767Noticehttps://www.gpo.gov/fdsys/pkg/FR-2017-06-20/pdf/2017-12767.pdfhttps://regulations.justia.com/regulations/fedreg/2017/06/20/2017-12766.htmlNotice - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the Fees Schedule2017-06-20T00:00:00-07:002017-06-20T00:00:00-07:002017-12766Noticehttps://www.gpo.gov/fdsys/pkg/FR-2017-06-20/pdf/2017-12766.pdfhttps://regulations.justia.com/regulations/fedreg/2017/06/20/2017-12765.htmlNotice - 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 70182017-06-20T00:00:00-07:002017-06-20T00:00:00-07:002017-12765Noticehttps://www.gpo.gov/fdsys/pkg/FR-2017-06-20/pdf/2017-12765.pdfhttps://regulations.justia.com/regulations/fedreg/2017/06/20/2017-12764.htmlNotice - 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.2017-06-20T00:00:00-07:002017-06-20T00:00:00-07:002017-12764Noticehttps://www.gpo.gov/fdsys/pkg/FR-2017-06-20/pdf/2017-12764.pdfhttps://regulations.justia.com/regulations/fedreg/2017/06/20/2017-12763.htmlNotice - 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 Contracts2017-06-20T00:00:00-07:002017-06-20T00:00:00-07:002017-12763Noticehttps://www.gpo.gov/fdsys/pkg/FR-2017-06-20/pdf/2017-12763.pdfhttps://regulations.justia.com/regulations/fedreg/2017/06/20/2017-12762.htmlNotice - Self-Regulatory Organizations; Nasdaq GEMX, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend the Fee Schedule2017-06-20T00:00:00-07:002017-06-20T00:00:00-07:002017-12762Noticehttps://www.gpo.gov/fdsys/pkg/FR-2017-06-20/pdf/2017-12762.pdfhttps://regulations.justia.com/regulations/fedreg/2017/06/20/2017-12761.htmlNotice - 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 Services2017-06-20T00:00:00-07:002017-06-20T00:00:00-07:002017-12761Noticehttps://www.gpo.gov/fdsys/pkg/FR-2017-06-20/pdf/2017-12761.pdfhttps://regulations.justia.com/regulations/fedreg/2017/06/20/2017-12760.htmlNotice - 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 Platform2017-06-20T00:00:00-07:002017-06-20T00:00:00-07:002017-12760Noticehttps://www.gpo.gov/fdsys/pkg/FR-2017-06-20/pdf/2017-12760.pdfhttps://regulations.justia.com/regulations/fedreg/2017/06/19/2017-12590.htmlNotice - Triloma EIG Energy Income Fund, et al.; Notice of Application2017-06-19T00:00:00-07:002017-06-19T00:00:00-07:002017-12590Noticehttps://www.gpo.gov/fdsys/pkg/FR-2017-06-19/pdf/2017-12590.pdfhttps://regulations.justia.com/regulations/fedreg/2017/06/19/2017-12589.htmlNotice - Self-Regulatory Organizations; BOX Options Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend BOX Rule 7240 (Complex Orders) To Expand the Price Range Within Which Complex Orders Can Trade2017-06-19T00:00:00-07:002017-06-19T00:00:00-07:002017-12589Noticehttps://www.gpo.gov/fdsys/pkg/FR-2017-06-19/pdf/2017-12589.pdfhttps://regulations.justia.com/regulations/fedreg/2017/06/19/2017-12588.htmlNotice - Self-Regulatory Organizations; Chicago Stock Exchange, Inc.; Notice of Filing of a Proposed Rule Change To Adopt Article 23, Rule 13, Consolidated Audit Trail-Fee Dispute Resolution2017-06-19T00:00:00-07:002017-06-19T00:00:00-07:002017-12588Noticehttps://www.gpo.gov/fdsys/pkg/FR-2017-06-19/pdf/2017-12588.pdfhttps://regulations.justia.com/regulations/fedreg/2017/06/19/2017-12587.htmlNotice - Self-Regulatory Organizations; MIAX PEARL, LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the MIAX PEARL Fee Schedule2017-06-19T00:00:00-07:002017-06-19T00:00:00-07:002017-12587Noticehttps://www.gpo.gov/fdsys/pkg/FR-2017-06-19/pdf/2017-12587.pdfhttps://regulations.justia.com/regulations/fedreg/2017/06/19/2017-12586.htmlNotice - Self-Regulatory Organizations; MIAX PEARL, LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the MIAX PEARL Fee Schedule2017-06-19T00:00:00-07:002017-06-19T00:00:00-07:002017-12586Noticehttps://www.gpo.gov/fdsys/pkg/FR-2017-06-19/pdf/2017-12586.pdfhttps://regulations.justia.com/regulations/fedreg/2017/06/19/2017-12585.htmlNotice - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Related to Rule 5.52017-06-19T00:00:00-07:002017-06-19T00:00:00-07:002017-12585Noticehttps://www.gpo.gov/fdsys/pkg/FR-2017-06-19/pdf/2017-12585.pdfhttps://regulations.justia.com/regulations/fedreg/2017/06/19/2017-12584.htmlNotice - 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.2017-06-19T00:00:00-07:002017-06-19T00:00:00-07:002017-12584Noticehttps://www.gpo.gov/fdsys/pkg/FR-2017-06-19/pdf/2017-12584.pdfhttps://regulations.justia.com/regulations/fedreg/2017/06/19/2017-12583.htmlNotice - Self-Regulatory Organizations; Bats BZX Exchange, Inc.; Notice of Filing of a Proposed Rule Change To Permit the Listing and Trading of Managed Portfolio Shares; and To List and Trade Shares of the Following Under Proposed Rule 14.11(k): ClearBridge Appreciation ETF; ClearBridge Large Cap ETF; ClearBridge MidCap Growth ETF; ClearBridge Select ETF; and ClearBridge All Cap Value ETF2017-06-19T00:00:00-07:002017-06-19T00:00:00-07:002017-12583Noticehttps://www.gpo.gov/fdsys/pkg/FR-2017-06-19/pdf/2017-12583.pdfhttps://regulations.justia.com/regulations/fedreg/2017/06/16/2017-12548.htmlNotice - CION Ares Diversified Credit Fund, et al.; Notice of Application2017-06-16T00:00:00-07:002017-06-16T00:00:00-07:002017-12548Noticehttps://www.gpo.gov/fdsys/pkg/FR-2017-06-16/pdf/2017-12548.pdfhttps://regulations.justia.com/regulations/fedreg/2017/06/16/2017-12537.htmlNotice - Submission for OMB Review; Comment Request2017-06-16T00:00:00-07:002017-06-16T00:00:00-07:002017-12537Noticehttps://www.gpo.gov/fdsys/pkg/FR-2017-06-16/pdf/2017-12537.pdfhttps://regulations.justia.com/regulations/fedreg/2017/06/16/2017-12536.htmlNotice - Submission for OMB Review; Comment Request2017-06-16T00:00:00-07:002017-06-16T00:00:00-07:002017-12536Noticehttps://www.gpo.gov/fdsys/pkg/FR-2017-06-16/pdf/2017-12536.pdfhttps://regulations.justia.com/regulations/fedreg/2017/06/16/2017-12492.htmlNotice - Proposed Collection; Comment Request2017-06-16T00:00:00-07:002017-06-16T00:00:00-07:002017-12492Noticehttps://www.gpo.gov/fdsys/pkg/FR-2017-06-16/pdf/2017-12492.pdfhttps://regulations.justia.com/regulations/fedreg/2017/06/16/2017-12484.htmlNotice - Self-Regulatory Organizations: Notice of Filing and Immediate Effectiveness of a Proposed Rule Change by Miami International Securities Exchange, LLC To Implement an Equity Rights Program2017-06-16T00:00:00-07:002017-06-16T00:00:00-07:002017-12484Noticehttps://www.gpo.gov/fdsys/pkg/FR-2017-06-16/pdf/2017-12484.pdfhttps://regulations.justia.com/regulations/fedreg/2017/06/16/2017-12458.htmlNotice - Self-Regulatory Organizations; Bats EDGX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Rule 21.5 of Bats EDGX Exchange, Inc. To Extend Through December 31, 2017, the Penny Pilot Program in Options Classes in Certain Issues2017-06-16T00:00:00-07:002017-06-16T00:00:00-07:002017-12458Noticehttps://www.gpo.gov/fdsys/pkg/FR-2017-06-16/pdf/2017-12458.pdfhttps://regulations.justia.com/regulations/fedreg/2017/06/16/2017-12457.htmlNotice - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Extend the Exchange's Authority To Grant Exemptions From the OATS Requirements2017-06-16T00:00:00-07:002017-06-16T00:00:00-07:002017-12457Noticehttps://www.gpo.gov/fdsys/pkg/FR-2017-06-16/pdf/2017-12457.pdfhttps://regulations.justia.com/regulations/fedreg/2017/06/16/2017-12456.htmlNotice - Self-Regulatory Organizations; Investors Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Related to Continued Listing Standards for Exchange Traded Products2017-06-16T00:00:00-07:002017-06-16T00:00:00-07:002017-12456Noticehttps://www.gpo.gov/fdsys/pkg/FR-2017-06-16/pdf/2017-12456.pdfhttps://regulations.justia.com/regulations/fedreg/2017/06/16/2017-12455.htmlNotice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Extend the Exchange's Authority To Grant Exemptions From the OATS Requirements2017-06-16T00:00:00-07:002017-06-16T00:00:00-07:002017-12455Noticehttps://www.gpo.gov/fdsys/pkg/FR-2017-06-16/pdf/2017-12455.pdfhttps://regulations.justia.com/regulations/fedreg/2017/06/16/2017-12454.htmlNotice - Self-Regulatory Organizations; NYSE MKT LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Extend the Exchange's Authority To Grant Exemptions From the OATS Requirements2017-06-16T00:00:00-07:002017-06-16T00:00:00-07:002017-12454Noticehttps://www.gpo.gov/fdsys/pkg/FR-2017-06-16/pdf/2017-12454.pdfhttps://regulations.justia.com/regulations/fedreg/2017/06/15/2017-12442.htmlNotice - Proposed Collection; Comment Request2017-06-15T00:00:00-07:002017-06-15T00:00:00-07:002017-12442Noticehttps://www.gpo.gov/fdsys/pkg/FR-2017-06-15/pdf/2017-12442.pdfhttps://regulations.justia.com/regulations/fedreg/2017/06/15/2017-12431.htmlNotice - Submission for OMB Review; Comment Request2017-06-15T00:00:00-07:002017-06-15T00:00:00-07:002017-12431Noticehttps://www.gpo.gov/fdsys/pkg/FR-2017-06-15/pdf/2017-12431.pdfhttps://regulations.justia.com/regulations/fedreg/2017/06/15/2017-12377.htmlNotice - Self-Regulatory Organizations; ICE Clear Credit LLC; Notice of Withdrawal of Proposed Rule Change Relating to ICC's Liquidity Risk Management Framework and ICC's Stress Testing Framework2017-06-15T00:00:00-07:002017-06-15T00:00:00-07:002017-12377Noticehttps://www.gpo.gov/fdsys/pkg/FR-2017-06-15/pdf/2017-12377.pdfhttps://regulations.justia.com/regulations/fedreg/2017/06/15/2017-12376.htmlNotice - Self-Regulatory Organizations; ICE Clear Credit LLC; Notice of Proposed Rule Change Relating to ICC's End-of-Day Price Discovery Policies and Procedures2017-06-15T00:00:00-07:002017-06-15T00:00:00-07:002017-12376Noticehttps://www.gpo.gov/fdsys/pkg/FR-2017-06-15/pdf/2017-12376.pdfhttps://regulations.justia.com/regulations/fedreg/2017/06/14/C1-2017-11151.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 Deposits2017-06-14T00:00:00-07:002017-06-14T00:00:00-07:00C1-2017-11151Noticehttps://www.gpo.gov/fdsys/pkg/FR-2017-06-14/pdf/C1-2017-11151.pdfhttps://regulations.justia.com/regulations/fedreg/2017/06/14/2017-12267.htmlNotice - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Merge the OpenView Depth-of-Book Product Into TotalView2017-06-14T00:00:00-07:002017-06-14T00:00:00-07:002017-12267Noticehttps://www.gpo.gov/fdsys/pkg/FR-2017-06-14/pdf/2017-12267.pdfhttps://regulations.justia.com/regulations/fedreg/2017/06/14/2017-12266.htmlNotice - Self-Regulatory Organizations; Municipal Securities Rulemaking Board; Notice of Filing of a Proposed Rule Change To Amend MSRB Rule G-26, on Customer Account Transfers, To Modernize the Rule and Promote a Uniform Customer Account Transfer Standard2017-06-14T00:00:00-07:002017-06-14T00:00:00-07:002017-12266Noticehttps://www.gpo.gov/fdsys/pkg/FR-2017-06-14/pdf/2017-12266.pdfhttps://regulations.justia.com/regulations/fedreg/2017/06/14/2017-12265.htmlNotice - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Rule 5110(c) To Permit a Reverse Merger Company To Qualify for Initial Listing Under Any Applicable Listing Standard After Satisfying the Required Seasoning Period2017-06-14T00:00:00-07:002017-06-14T00:00:00-07:002017-12265Noticehttps://www.gpo.gov/fdsys/pkg/FR-2017-06-14/pdf/2017-12265.pdfhttps://regulations.justia.com/regulations/fedreg/2017/06/14/2017-12260.htmlNotice - Self-Regulatory Organizations; NYSE Arca, Inc.; Order Granting Approval of a Proposed Rule Change, as Modified by Amendment Nos. 1 and 2, To List and Trade of Shares of the IQ Municipal Insured ETF, IQ Municipal Short Duration ETF, and IQ Municipal Intermediate ETF Under NYSE Arca Equities Rule 8.6002017-06-14T00:00:00-07:002017-06-14T00:00:00-07:002017-12260Noticehttps://www.gpo.gov/fdsys/pkg/FR-2017-06-14/pdf/2017-12260.pdfhttps://regulations.justia.com/regulations/fedreg/2017/06/14/2017-12259.htmlNotice - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to the Penny Pilot Program2017-06-14T00:00:00-07:002017-06-14T00:00:00-07:002017-12259Noticehttps://www.gpo.gov/fdsys/pkg/FR-2017-06-14/pdf/2017-12259.pdfhttps://regulations.justia.com/regulations/fedreg/2017/06/14/2017-12258.htmlNotice - Self-Regulatory Organizations; C2 Options Exchange, Incorporated; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to the Penny Pilot Program2017-06-14T00:00:00-07:002017-06-14T00:00:00-07:002017-12258Noticehttps://www.gpo.gov/fdsys/pkg/FR-2017-06-14/pdf/2017-12258.pdfhttps://regulations.justia.com/regulations/fedreg/2017/06/13/2017-12273.htmlNotice - Sunshine Act Meeting2017-06-13T00:00:00-07:002017-06-13T00:00:00-07:002017-12273Noticehttps://www.gpo.gov/fdsys/pkg/FR-2017-06-13/pdf/2017-12273.pdfhttps://regulations.justia.com/regulations/fedreg/2017/06/13/2017-12157.htmlNotice - Self-Regulatory Organizations; The Depository Trust Company; Fixed Income Clearing Corporation; National Securities Clearing Corporation; Notice of Designation of Longer Period for Commission Action on Proposed Rule Changes To Adopt the Clearing Agency Stress Testing Framework (Market Risk)2017-06-13T00:00:00-07:002017-06-13T00:00:00-07:002017-12157Noticehttps://www.gpo.gov/fdsys/pkg/FR-2017-06-13/pdf/2017-12157.pdfhttps://regulations.justia.com/regulations/fedreg/2017/06/13/2017-12156.htmlNotice - Self-Regulatory Organizations; Fixed Income Clearing Corporation; Notice of Designation of Longer Period for Commission Action on a Proposed Rule Change To Amend the Mortgage-Backed Securities Division Rules Concerning Use of Clearing Fund for Losses, Liabilities or Temporary Needs for Funds Incident to the Clearance and Settlement Business and Make Other Related Changes2017-06-13T00:00:00-07:002017-06-13T00:00:00-07:002017-12156Noticehttps://www.gpo.gov/fdsys/pkg/FR-2017-06-13/pdf/2017-12156.pdfhttps://regulations.justia.com/regulations/fedreg/2017/06/13/2017-12155.htmlNotice - Self-Regulatory Organizations; The Depository Trust Company; National Securities Clearing Corporation; Fixed Income Clearing Corporation; Notice of Designation of Longer Period for Commission Action on Proposed Rule Changes, as Modified by Amendments No. 1, To Adopt the Clearing Agency Policy on Capital Requirements and the Clearing Agency Capital Replenishment Plan2017-06-13T00:00:00-07:002017-06-13T00:00:00-07:002017-12155Noticehttps://www.gpo.gov/fdsys/pkg/FR-2017-06-13/pdf/2017-12155.pdfhttps://regulations.justia.com/regulations/fedreg/2017/06/13/2017-12154.htmlNotice - Self-Regulatory Organizations; The Depository Trust Company; National Securities Clearing Corporation; Fixed Income Clearing Corporation; Notice of Designation of Longer Period for Commission Action on Proposed Rule Changes, as Modified by Amendments No. 1, To Adopt the Clearing Agency Liquidity Risk Management Framework2017-06-13T00:00:00-07:002017-06-13T00:00:00-07:002017-12154Noticehttps://www.gpo.gov/fdsys/pkg/FR-2017-06-13/pdf/2017-12154.pdfhttps://regulations.justia.com/regulations/fedreg/2017/06/13/2017-12153.htmlNotice - Self-Regulatory Organizations; MIAX PEARL, LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the MIAX PEARL Fee Schedule To Establish an Options Regulatory Fee (“ORF”)2017-06-13T00:00:00-07:002017-06-13T00:00:00-07:002017-12153Noticehttps://www.gpo.gov/fdsys/pkg/FR-2017-06-13/pdf/2017-12153.pdfhttps://regulations.justia.com/regulations/fedreg/2017/06/13/2017-12152.htmlNotice - Self-Regulatory Organizations; Nasdaq ISE, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Remove Chapter 21 From the ISE Rulebook2017-06-13T00:00:00-07:002017-06-13T00:00:00-07:002017-12152Noticehttps://www.gpo.gov/fdsys/pkg/FR-2017-06-13/pdf/2017-12152.pdfhttps://regulations.justia.com/regulations/fedreg/2017/06/13/2017-12151.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 406, Long Term Option Contracts2017-06-13T00:00:00-07:002017-06-13T00:00:00-07:002017-12151Noticehttps://www.gpo.gov/fdsys/pkg/FR-2017-06-13/pdf/2017-12151.pdfhttps://regulations.justia.com/regulations/fedreg/2017/06/13/2017-12140.htmlNotice - Commission Statement Concerning a Request for an Interpretation as to Whether a Particular Agreement Is a Swap, Security-Based Swap, or Mixed Swap2017-06-13T00:00:00-07:002017-06-13T00:00:00-07:002017-12140Noticehttps://www.gpo.gov/fdsys/pkg/FR-2017-06-13/pdf/2017-12140.pdfhttps://regulations.justia.com/regulations/fedreg/2017/06/12/2017-12089.htmlNotice - Proposed Collection; Comment Request2017-06-12T00:00:00-07:002017-06-12T00:00:00-07:002017-12089Noticehttps://www.gpo.gov/fdsys/pkg/FR-2017-06-12/pdf/2017-12089.pdfhttps://regulations.justia.com/regulations/fedreg/2017/06/12/2017-12088.htmlNotice - Proposed Collection; Comment Request2017-06-12T00:00:00-07:002017-06-12T00:00:00-07:002017-12088Noticehttps://www.gpo.gov/fdsys/pkg/FR-2017-06-12/pdf/2017-12088.pdfhttps://regulations.justia.com/regulations/fedreg/2017/06/12/2017-12087.htmlNotice - Proposed Collection; Comment Request2017-06-12T00:00:00-07:002017-06-12T00:00:00-07:002017-12087Noticehttps://www.gpo.gov/fdsys/pkg/FR-2017-06-12/pdf/2017-12087.pdfhttps://regulations.justia.com/regulations/fedreg/2017/06/12/2017-12044.htmlNotice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing of Proposed Rule Change To Amend NYSE Arca Equities Rule 13.2, Liability of Corporation2017-06-12T00:00:00-07:002017-06-12T00:00:00-07:002017-12044Noticehttps://www.gpo.gov/fdsys/pkg/FR-2017-06-12/pdf/2017-12044.pdfhttps://regulations.justia.com/regulations/fedreg/2017/06/12/2017-12043.htmlNotice - Self-Regulatory Organizations; NYSE Arca, Inc.; Order Approving a Proposed Rule Change, as Modified by Amendment No. 1 Thereto, 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 8.6002017-06-12T00:00:00-07:002017-06-12T00:00:00-07:002017-12043Noticehttps://www.gpo.gov/fdsys/pkg/FR-2017-06-12/pdf/2017-12043.pdfhttps://regulations.justia.com/regulations/fedreg/2017/06/12/2017-12042.htmlNotice - Self-Regulatory Organizations; Chicago Stock Exchange, Inc.; Notice of Designation of Longer Period for Commission Action on Proceedings To Determine Whether To Approve or Disapprove a Proposed Rule Change in Connection With the Proposed Transaction Involving CHX Holdings, Inc. and North America Casin Holdings, Inc.2017-06-12T00:00:00-07:002017-06-12T00:00:00-07:002017-12042Noticehttps://www.gpo.gov/fdsys/pkg/FR-2017-06-12/pdf/2017-12042.pdfhttps://regulations.justia.com/regulations/fedreg/2017/06/12/2017-12041.htmlNotice - Self-Regulatory Organizations; MIAX PEARL, LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend MIAX PEARL Rule 406, Long Term Option Contracts2017-06-12T00:00:00-07:002017-06-12T00:00:00-07:002017-12041Noticehttps://www.gpo.gov/fdsys/pkg/FR-2017-06-12/pdf/2017-12041.pdfhttps://regulations.justia.com/regulations/fedreg/2017/06/12/2017-12040.htmlNotice - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing of Proposed Rule Change To Amend its Listing Standards for Closed-end Funds2017-06-12T00:00:00-07:002017-06-12T00:00:00-07:002017-12040Noticehttps://www.gpo.gov/fdsys/pkg/FR-2017-06-12/pdf/2017-12040.pdfhttps://regulations.justia.com/regulations/fedreg/2017/06/09/2017-11966.htmlNotice - Self-Regulatory Organizations; New York Stock Exchange LLC; NYSE MKT LLC; Order Granting an Extension to Limited Exemptions From Rule 612(c) of Regulation NMS in Connection With the Exchanges' Retail Liquidity Programs Until December 31, 20172017-06-09T00:00:00-07:002017-06-09T00:00:00-07:002017-11966Noticehttps://www.gpo.gov/fdsys/pkg/FR-2017-06-09/pdf/2017-11966.pdfhttps://regulations.justia.com/regulations/fedreg/2017/06/09/2017-11965.htmlNotice - Self-Regulatory Organizations; NYSE Arca, Inc.; Order Granting an Extension to Limited Exemption From Rule 612(c) of Regulation NMS In Connection With the Exchange's Retail Liquidity Program Until December 31, 20172017-06-09T00:00:00-07:002017-06-09T00:00:00-07:002017-11965Noticehttps://www.gpo.gov/fdsys/pkg/FR-2017-06-09/pdf/2017-11965.pdfhttps://regulations.justia.com/regulations/fedreg/2017/06/09/2017-11964.htmlNotice - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Withdrawal of a Proposed Rule Change Related to Rules Regarding the Responsibility for Ensuring Compliance With Priority and Allocation Requirements and Trade-Through Prohibitions in Open Outcry Trading2017-06-09T00:00:00-07:002017-06-09T00:00:00-07:002017-11964Noticehttps://www.gpo.gov/fdsys/pkg/FR-2017-06-09/pdf/2017-11964.pdfhttps://regulations.justia.com/regulations/fedreg/2017/06/09/2017-11963.htmlNotice - Self-Regulatory Organizations; ICE Clear Credit LLC; Notice of Filing of Amendment No. 1 and Order Approving Proposed Rule Change, as Modified by Amendment No. 1 Thereto, Relating to ICC's End-of-Day Price Discovery Policies and Procedures2017-06-09T00:00:00-07:002017-06-09T00:00:00-07:002017-11963Noticehttps://www.gpo.gov/fdsys/pkg/FR-2017-06-09/pdf/2017-11963.pdfhttps://regulations.justia.com/regulations/fedreg/2017/06/09/2017-11962.htmlNotice - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Filing of a Proposed Rule Change Relating to Disaster Recovery2017-06-09T00:00:00-07:002017-06-09T00:00:00-07:002017-11962Noticehttps://www.gpo.gov/fdsys/pkg/FR-2017-06-09/pdf/2017-11962.pdfhttps://regulations.justia.com/regulations/fedreg/2017/06/09/2017-11961.htmlNotice - 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 70462017-06-09T00:00:00-07:002017-06-09T00:00:00-07:002017-11961Noticehttps://www.gpo.gov/fdsys/pkg/FR-2017-06-09/pdf/2017-11961.pdfhttps://regulations.justia.com/regulations/fedreg/2017/06/08/2017-11924.htmlNotice - Franklin Fund Allocator Series, et al.2017-06-08T00:00:00-07:002017-06-08T00:00:00-07:002017-11924Noticehttps://www.gpo.gov/fdsys/pkg/FR-2017-06-08/pdf/2017-11924.pdfhttps://regulations.justia.com/regulations/fedreg/2017/06/08/2017-11870.htmlNotice - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Order Instituting Proceedings To Determine Whether To Approve or Disapprove a Proposed Rule Change Related to Unusual Market Conditions and the Duty To Systemize Non-Electronic Orders Prior to Representation2017-06-08T00:00:00-07:002017-06-08T00:00:00-07:002017-11870Noticehttps://www.gpo.gov/fdsys/pkg/FR-2017-06-08/pdf/2017-11870.pdfhttps://regulations.justia.com/regulations/fedreg/2017/06/08/2017-11869.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 521, Nullification and Adjustment of Options Transactions Including Obvious Errors2017-06-08T00:00:00-07:002017-06-08T00:00:00-07:002017-11869Noticehttps://www.gpo.gov/fdsys/pkg/FR-2017-06-08/pdf/2017-11869.pdfhttps://regulations.justia.com/regulations/fedreg/2017/06/08/2017-11868.htmlNotice - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Withdrawal of Proposed Rule Change To Adopt Rule 70172017-06-08T00:00:00-07:002017-06-08T00:00:00-07:002017-11868Noticehttps://www.gpo.gov/fdsys/pkg/FR-2017-06-08/pdf/2017-11868.pdfhttps://regulations.justia.com/regulations/fedreg/2017/06/08/2017-11867.htmlNotice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Extend the Pilot Period for the Exchange's Retail Liquidity Program Until December 31, 20172017-06-08T00:00:00-07:002017-06-08T00:00:00-07:002017-11867Noticehttps://www.gpo.gov/fdsys/pkg/FR-2017-06-08/pdf/2017-11867.pdfhttps://regulations.justia.com/regulations/fedreg/2017/06/08/2017-11866.htmlNotice - Self-Regulatory Organizations; NYSE MKT LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Extend the Pilot Period for the Exchange's Retail Liquidity Program Until December 31, 20172017-06-08T00:00:00-07:002017-06-08T00:00:00-07:002017-11866Noticehttps://www.gpo.gov/fdsys/pkg/FR-2017-06-08/pdf/2017-11866.pdfhttps://regulations.justia.com/regulations/fedreg/2017/06/08/2017-11865.htmlNotice - Self-Regulatory Organizations; LCH SA; Order Approving Proposed Rule Change Relating to LCH SA's CDS Margin and Extreme Credit Spread Curves2017-06-08T00:00:00-07:002017-06-08T00:00:00-07:002017-11865Noticehttps://www.gpo.gov/fdsys/pkg/FR-2017-06-08/pdf/2017-11865.pdfhttps://regulations.justia.com/regulations/fedreg/2017/06/08/2017-11864.htmlNotice - Self-Regulatory Organizations; LCH SA; Order Approving Proposed Rule Change Relating to Recovery Risk Margin2017-06-08T00:00:00-07:002017-06-08T00:00:00-07:002017-11864Noticehttps://www.gpo.gov/fdsys/pkg/FR-2017-06-08/pdf/2017-11864.pdfhttps://regulations.justia.com/regulations/fedreg/2017/06/07/2017-11754.htmlNotice - Self-Regulatory Organizations; Investors Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Remove the Ten (10) Price Level Limitation on Aggregated Depth of Book Quotations Disseminated on the IEX Data Platform, and To Add Rule 11.330(a)(5) To Offer Historical Data2017-06-07T00:00:00-07:002017-06-07T00:00:00-07:002017-11754Noticehttps://www.gpo.gov/fdsys/pkg/FR-2017-06-07/pdf/2017-11754.pdfhttps://regulations.justia.com/regulations/fedreg/2017/06/07/2017-11753.htmlNotice - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Extend the Pilot Period for the Exchange's Retail Liquidity Program Until December 31, 20172017-06-07T00:00:00-07:002017-06-07T00:00:00-07:002017-11753Noticehttps://www.gpo.gov/fdsys/pkg/FR-2017-06-07/pdf/2017-11753.pdfhttps://regulations.justia.com/regulations/fedreg/2017/06/07/2017-11752.htmlNotice - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend FINRA Rule 7620A To Eliminate the No/Was Corrective Transaction Charge2017-06-07T00:00:00-07:002017-06-07T00:00:00-07:002017-11752Noticehttps://www.gpo.gov/fdsys/pkg/FR-2017-06-07/pdf/2017-11752.pdfhttps://regulations.justia.com/regulations/fedreg/2017/06/07/2017-11751.htmlNotice - Self-Regulatory Organizations; Bats EDGX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Add a New Optional Order Instruction Known as Non-Displayed Swap2017-06-07T00:00:00-07:002017-06-07T00:00:00-07:002017-11751Noticehttps://www.gpo.gov/fdsys/pkg/FR-2017-06-07/pdf/2017-11751.pdfhttps://regulations.justia.com/regulations/fedreg/2017/06/07/2017-11750.htmlNotice - Self-Regulatory Organizations; NYSE Arca, Inc.; Order Approving a Proposed Rule Change, as Modified by Amendment No. 2 Thereto, To List and Trade Shares of the Euro Gold Trust, Pound Gold Trust, and the Yen Gold Trust Under NYSE Arca Equities Rule 8.2012017-06-07T00:00:00-07:002017-06-07T00:00:00-07:002017-11750Noticehttps://www.gpo.gov/fdsys/pkg/FR-2017-06-07/pdf/2017-11750.pdfhttps://regulations.justia.com/regulations/fedreg/2017/06/07/2017-11749.htmlNotice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the NYSE Arca Options Fee Schedule2017-06-07T00:00:00-07:002017-06-07T00:00:00-07:002017-11749Noticehttps://www.gpo.gov/fdsys/pkg/FR-2017-06-07/pdf/2017-11749.pdfhttps://regulations.justia.com/regulations/fedreg/2017/06/07/2017-11748.htmlNotice - Self-Regulatory Organizations; Miami International Securities Exchange LLC; Notice of Filing of a Proposed Rule Change To Adopt Exchange Rule 1713 Consolidated Audit Trail-Fee Dispute Resolution2017-06-07T00:00:00-07:002017-06-07T00:00:00-07:002017-11748Noticehttps://www.gpo.gov/fdsys/pkg/FR-2017-06-07/pdf/2017-11748.pdfhttps://regulations.justia.com/regulations/fedreg/2017/06/07/2017-11747.htmlNotice - Self-Regulatory Organizations; Bats BYX Exchange, Inc.; Notice of Filing of a Proposed Rule Change To Adopt Rule 4.17, Consolidated Audit Trail-Fee Dispute Resolution2017-06-07T00:00:00-07:002017-06-07T00:00:00-07:002017-11747Noticehttps://www.gpo.gov/fdsys/pkg/FR-2017-06-07/pdf/2017-11747.pdfhttps://regulations.justia.com/regulations/fedreg/2017/06/07/2017-11746.htmlNotice - Self-Regulatory Organizations; Bats EDGA Exchange, Inc.; Notice of Filing of a Proposed Rule Change To Adopt Rule 4.17, Consolidated Audit Trail-Fee Dispute Resolution2017-06-07T00:00:00-07:002017-06-07T00:00:00-07:002017-11746Noticehttps://www.gpo.gov/fdsys/pkg/FR-2017-06-07/pdf/2017-11746.pdfhttps://regulations.justia.com/regulations/fedreg/2017/06/07/2017-11745.htmlNotice - Self-Regulatory Organizations; Bats BZX Exchange, Inc.; Notice of Filing of a Proposed Rule Change To Adopt Rule 4.17, Consolidated Audit Trail-Fee Dispute Resolution2017-06-07T00:00:00-07:002017-06-07T00:00:00-07:002017-11745Noticehttps://www.gpo.gov/fdsys/pkg/FR-2017-06-07/pdf/2017-11745.pdfhttps://regulations.justia.com/regulations/fedreg/2017/06/07/2017-11744.htmlNotice - Self-Regulatory Organizations; Bats EDGX Exchange, Inc.; Notice of Filing of a Proposed Rule Change To Adopt Rule 4.17, Consolidated Audit Trail-Fee Dispute Resolution2017-06-07T00:00:00-07:002017-06-07T00:00:00-07:002017-11744Noticehttps://www.gpo.gov/fdsys/pkg/FR-2017-06-07/pdf/2017-11744.pdfhttps://regulations.justia.com/regulations/fedreg/2017/06/07/2017-11743.htmlNotice - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Filing of a Proposed Rule Change To Adopt Rule 6.97, Consolidated Audit Trail (CAT) Compliance Rule-Fee Dispute Resolution2017-06-07T00:00:00-07:002017-06-07T00:00:00-07:002017-11743Noticehttps://www.gpo.gov/fdsys/pkg/FR-2017-06-07/pdf/2017-11743.pdfhttps://regulations.justia.com/regulations/fedreg/2017/06/07/2017-11742.htmlNotice - Self-Regulatory Organizations; BOX Options Exchange LLC; Notice of Filing of Proposed Rule Change To Adopt Rule 16100 (Consolidated Audit Trail-Fee Dispute Resolution) To Establish the Procedures for Resolving Potential Disputes Related to CAT Fees Charged to Industry Members2017-06-07T00:00:00-07:002017-06-07T00:00:00-07:002017-11742Noticehttps://www.gpo.gov/fdsys/pkg/FR-2017-06-07/pdf/2017-11742.pdfhttps://regulations.justia.com/regulations/fedreg/2017/06/07/2017-11728.htmlNotice - Partners Group (USA) Inc., et al.2017-06-07T00:00:00-07:002017-06-07T00:00:00-07:002017-11728Noticehttps://www.gpo.gov/fdsys/pkg/FR-2017-06-07/pdf/2017-11728.pdfhttps://regulations.justia.com/regulations/fedreg/2017/06/06/2017-11769.htmlNotice - Sunshine Act Meeting2017-06-06T00:00:00-07:002017-06-06T00:00:00-07:002017-11769Noticehttps://www.gpo.gov/fdsys/pkg/FR-2017-06-06/pdf/2017-11769.pdfhttps://regulations.justia.com/regulations/fedreg/2017/06/06/2017-11612.htmlNotice - Self-Regulatory Organizations; BOX Options Exchange LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Rule 7260 by Extending the Penny Pilot Program Through December 31, 20172017-06-06T00:00:00-07:002017-06-06T00:00:00-07:002017-11612Noticehttps://www.gpo.gov/fdsys/pkg/FR-2017-06-06/pdf/2017-11612.pdfhttps://regulations.justia.com/regulations/fedreg/2017/06/06/2017-11611.htmlNotice - Self-Regulatory Organizations; Nasdaq ISE, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Extend a Pilot Program To Quote and To Trade Certain Options Classes in Penny Increments2017-06-06T00:00:00-07:002017-06-06T00:00:00-07:002017-11611Noticehttps://www.gpo.gov/fdsys/pkg/FR-2017-06-06/pdf/2017-11611.pdfhttps://regulations.justia.com/regulations/fedreg/2017/06/06/2017-11610.htmlNotice - Self-Regulatory Organizations; Nasdaq GEMX, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Extend a Pilot Program To Quote and To Trade Certain Options Classes in Penny Increments2017-06-06T00:00:00-07:002017-06-06T00:00:00-07:002017-11610Noticehttps://www.gpo.gov/fdsys/pkg/FR-2017-06-06/pdf/2017-11610.pdfhttps://regulations.justia.com/regulations/fedreg/2017/06/06/2017-11609.htmlNotice - Self-Regulatory Organizations; Chicago Stock Exchange, Inc.; Order Granting Approval of a Proposed Rule Change To Shorten the Standard Settlement Cycle From Three Business Days After the Trade Date to Two Business Days After the Trade Date2017-06-06T00:00:00-07:002017-06-06T00:00:00-07:002017-11609Noticehttps://www.gpo.gov/fdsys/pkg/FR-2017-06-06/pdf/2017-11609.pdfhttps://regulations.justia.com/regulations/fedreg/2017/06/06/2017-11608.htmlNotice - Self-Regulatory Organizations; NASDAQ BX, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Chapter VI, Section 52017-06-06T00:00:00-07:002017-06-06T00:00:00-07:002017-11608Noticehttps://www.gpo.gov/fdsys/pkg/FR-2017-06-06/pdf/2017-11608.pdfhttps://regulations.justia.com/regulations/fedreg/2017/06/06/2017-11607.htmlNotice - Self-Regulatory Organizations; Nasdaq MRX, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Extend a Pilot Program To Quote and To Trade Certain Options Classes in Penny Increments2017-06-06T00:00:00-07:002017-06-06T00:00:00-07:002017-11607Noticehttps://www.gpo.gov/fdsys/pkg/FR-2017-06-06/pdf/2017-11607.pdfhttps://regulations.justia.com/regulations/fedreg/2017/06/06/2017-11606.htmlNotice - 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.2017-06-06T00:00:00-07:002017-06-06T00:00:00-07:002017-11606Noticehttps://www.gpo.gov/fdsys/pkg/FR-2017-06-06/pdf/2017-11606.pdfhttps://regulations.justia.com/regulations/fedreg/2017/06/06/2017-11605.htmlNotice - Self-Regulatory Organizations; Bats EDGX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Related to Fees for Use on Bats EDGX Exchange, Inc.2017-06-06T00:00:00-07:002017-06-06T00:00:00-07:002017-11605Noticehttps://www.gpo.gov/fdsys/pkg/FR-2017-06-06/pdf/2017-11605.pdfhttps://regulations.justia.com/regulations/fedreg/2017/06/06/2017-11604.htmlNotice - Self-Regulatory Organizations; NASDAQ PHLX LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Openings in Options Rule2017-06-06T00:00:00-07:002017-06-06T00:00:00-07:002017-11604Noticehttps://www.gpo.gov/fdsys/pkg/FR-2017-06-06/pdf/2017-11604.pdfhttps://regulations.justia.com/regulations/fedreg/2017/06/06/2017-11603.htmlNotice - Self-Regulatory Organizations; ICE Clear Credit LLC; Notice of Filing of Proposed Rule Change, Security-Based Swap Submission, or Advance Notice Relating to ICC's Liquidity Risk Management Framework and ICC's Stress Testing Framework2017-06-06T00:00:00-07:002017-06-06T00:00:00-07:002017-11603Noticehttps://www.gpo.gov/fdsys/pkg/FR-2017-06-06/pdf/2017-11603.pdfhttps://regulations.justia.com/regulations/fedreg/2017/06/06/2017-11580.htmlNotice - Consolidated Tape Association; Notice of Withdrawal of the Twenty-Second Charges Amendment to the Second Restatement of the CTA Plan and the Thirteenth Charges Amendment to the Restated CQ Plan2017-06-06T00:00:00-07:002017-06-06T00:00:00-07:002017-11580Noticehttps://www.gpo.gov/fdsys/pkg/FR-2017-06-06/pdf/2017-11580.pdfhttps://regulations.justia.com/regulations/fedreg/2017/06/06/2017-11505.htmlNotice - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Rule 57352017-06-06T00:00:00-07:002017-06-06T00:00:00-07:002017-11505Noticehttps://www.gpo.gov/fdsys/pkg/FR-2017-06-06/pdf/2017-11505.pdfhttps://regulations.justia.com/regulations/fedreg/2017/06/05/2017-11555.htmlNotice - Order Making Fiscal Year 2017 Annual Adjustments to Transaction Fee Rates2017-06-05T00:00:00-07:002017-06-05T00:00:00-07:002017-11555Noticehttps://www.gpo.gov/fdsys/pkg/FR-2017-06-05/pdf/2017-11555.pdfhttps://regulations.justia.com/regulations/fedreg/2017/06/05/2017-11510.htmlNotice - Dreyfus ETF Trust2017-06-05T00:00:00-07:002017-06-05T00:00:00-07:002017-11510Noticehttps://www.gpo.gov/fdsys/pkg/FR-2017-06-05/pdf/2017-11510.pdfhttps://regulations.justia.com/regulations/fedreg/2017/06/05/2017-11509.htmlNotice - Self-Regulatory Organizations; Nasdaq MRX, LLC; Notice of Filing of Proposed Rule Change in Connection With a System Migration to Nasdaq INET Technology2017-06-05T00:00:00-07:002017-06-05T00:00:00-07:002017-11509Noticehttps://www.gpo.gov/fdsys/pkg/FR-2017-06-05/pdf/2017-11509.pdfhttps://regulations.justia.com/regulations/fedreg/2017/06/05/2017-11508.htmlNotice - Self-Regulatory Organizations; NASDAQ BX, Inc.; Notice of Filing of Proposed Rule Change To Eliminate Requirements That Will Be Duplicative of CAT2017-06-05T00:00:00-07:002017-06-05T00:00:00-07:002017-11508Noticehttps://www.gpo.gov/fdsys/pkg/FR-2017-06-05/pdf/2017-11508.pdfhttps://regulations.justia.com/regulations/fedreg/2017/06/05/2017-11507.htmlNotice - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing of Proposed Rule Change To Eliminate Requirements That Will Be Duplicative of CAT2017-06-05T00:00:00-07:002017-06-05T00:00:00-07:002017-11507Noticehttps://www.gpo.gov/fdsys/pkg/FR-2017-06-05/pdf/2017-11507.pdfhttps://regulations.justia.com/regulations/fedreg/2017/06/05/2017-11506.htmlNotice - Self-Regulatory Organizations; NASDAQ PHLX LLC; Notice of Filing of Proposed Rule Change To Eliminate Requirements That Will Be Duplicative of CAT2017-06-05T00:00:00-07:002017-06-05T00:00:00-07:002017-11506Noticehttps://www.gpo.gov/fdsys/pkg/FR-2017-06-05/pdf/2017-11506.pdfhttps://regulations.justia.com/regulations/fedreg/2017/06/05/2017-11504.htmlNotice - Self-Regulatory Organizations; Bats BYX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Related to Fees for Use on Bats BYX Exchange, Inc.2017-06-05T00:00:00-07:002017-06-05T00:00:00-07:002017-11504Noticehttps://www.gpo.gov/fdsys/pkg/FR-2017-06-05/pdf/2017-11504.pdfhttps://regulations.justia.com/regulations/fedreg/2017/06/05/2017-11503.htmlNotice - Self-Regulatory Organizations; Nasdaq GEMX, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the Schedule of Fees2017-06-05T00:00:00-07:002017-06-05T00:00:00-07:002017-11503Noticehttps://www.gpo.gov/fdsys/pkg/FR-2017-06-05/pdf/2017-11503.pdfhttps://regulations.justia.com/regulations/fedreg/2017/06/05/2017-11502.htmlNotice - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Adopt Rules 5220 and 9560 and Amend Rule 83132017-06-05T00:00:00-07:002017-06-05T00:00:00-07:002017-11502Noticehttps://www.gpo.gov/fdsys/pkg/FR-2017-06-05/pdf/2017-11502.pdfhttps://regulations.justia.com/regulations/fedreg/2017/06/05/2017-11501.htmlNotice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Adopting New NYSE Arca Rule 11.21 and NYSE Arca Equities Rule 5220, NYSE Arca Rule 10.18 and NYSE Arca Equities Rule 10.16, and Amending NYSE Arca Rule 10.17 and NYSE Arca Equities 10.152017-06-05T00:00:00-07:002017-06-05T00:00:00-07:002017-11501Noticehttps://www.gpo.gov/fdsys/pkg/FR-2017-06-05/pdf/2017-11501.pdfhttps://regulations.justia.com/regulations/fedreg/2017/06/05/2017-11500.htmlNotice - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing of a Proposed Rule Change To Amend FINRA Rule 7730 To Make Available a New End-of-Day TRACE Transaction File2017-06-05T00:00:00-07:002017-06-05T00:00:00-07:002017-11500Noticehttps://www.gpo.gov/fdsys/pkg/FR-2017-06-05/pdf/2017-11500.pdfhttps://regulations.justia.com/regulations/fedreg/2017/06/05/2017-11499.htmlNotice - Self-Regulatory Organizations; NYSE MKT LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Adopting Rules 5220-Equities, 996NY Options and 9560 and Amending Rule 83132017-06-05T00:00:00-07:002017-06-05T00:00:00-07:002017-11499Noticehttps://www.gpo.gov/fdsys/pkg/FR-2017-06-05/pdf/2017-11499.pdfhttps://regulations.justia.com/regulations/fedreg/2017/06/02/2017-11471.htmlNotice - Self-Regulatory Organizations; Fixed Income Clearing Corporation; Order Instituting Proceedings To Determine Whether To Approve or Disapprove a Proposed Rule Change To Implement the Capped Contingency Liquidity Facility in the Government Securities Division Rulebook2017-06-02T00:00:00-07:002017-06-02T00:00:00-07:002017-11471Noticehttps://www.gpo.gov/fdsys/pkg/FR-2017-06-02/pdf/2017-11471.pdfhttps://regulations.justia.com/regulations/fedreg/2017/06/02/2017-11466.htmlNotice - Proposed Collection; Comment Request2017-06-02T00:00:00-07:002017-06-02T00:00:00-07:002017-11466Noticehttps://www.gpo.gov/fdsys/pkg/FR-2017-06-02/pdf/2017-11466.pdfhttps://regulations.justia.com/regulations/fedreg/2017/06/02/2017-11402.htmlNotice - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing of Proposed Rule Change Relating to the First Trust Municipal High Income ETF2017-06-02T00:00:00-07:002017-06-02T00:00:00-07:002017-11402Noticehttps://www.gpo.gov/fdsys/pkg/FR-2017-06-02/pdf/2017-11402.pdfhttps://regulations.justia.com/regulations/fedreg/2017/06/02/2017-11401.htmlNotice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing of Proposed Rule Change To Eliminate Requirements That Will Be Duplicative of CAT2017-06-02T00:00:00-07:002017-06-02T00:00:00-07:002017-11401Noticehttps://www.gpo.gov/fdsys/pkg/FR-2017-06-02/pdf/2017-11401.pdfhttps://regulations.justia.com/regulations/fedreg/2017/06/02/2017-11400.htmlNotice - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing of Proposed Rule Change To Eliminate Requirements That Will Be Duplicative of CAT2017-06-02T00:00:00-07:002017-06-02T00:00:00-07:002017-11400Noticehttps://www.gpo.gov/fdsys/pkg/FR-2017-06-02/pdf/2017-11400.pdfhttps://regulations.justia.com/regulations/fedreg/2017/06/01/2017-11374.htmlNotice - Self-Regulatory Organizations; C2 Options Exchange, Incorporated; Notice of Filing of Proposed Rule Change To Eliminate Requirements That Will Be Duplicative of CAT2017-06-01T00:00:00-07:002017-06-01T00:00:00-07:002017-11374Noticehttps://www.gpo.gov/fdsys/pkg/FR-2017-06-01/pdf/2017-11374.pdfhttps://regulations.justia.com/regulations/fedreg/2017/06/01/2017-11373.htmlNotice - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Filing of Proposed Rule Change To Eliminate Requirements That Will Be Duplicative of CAT2017-06-01T00:00:00-07:002017-06-01T00:00:00-07:002017-11373Noticehttps://www.gpo.gov/fdsys/pkg/FR-2017-06-01/pdf/2017-11373.pdfhttps://regulations.justia.com/regulations/fedreg/2017/06/01/2017-11372.htmlNotice - Self-Regulatory Organizations; Bats BZX Exchange, Inc.; Notice of Filing of Proposed Rule Change To Eliminate Requirements That Will Be Duplicative of CAT2017-06-01T00:00:00-07:002017-06-01T00:00:00-07:002017-11372Noticehttps://www.gpo.gov/fdsys/pkg/FR-2017-06-01/pdf/2017-11372.pdfhttps://regulations.justia.com/regulations/fedreg/2017/06/01/2017-11371.htmlNotice - Self-Regulatory Organizations; Bats EDGX Exchange, Inc.; Notice of Filing of Proposed Rule Change To Eliminate Requirements That Will Be Duplicative of CAT2017-06-01T00:00:00-07:002017-06-01T00:00:00-07:002017-11371Noticehttps://www.gpo.gov/fdsys/pkg/FR-2017-06-01/pdf/2017-11371.pdfhttps://regulations.justia.com/regulations/fedreg/2017/06/01/2017-11370.htmlNotice - Self-Regulatory Organizations; NYSE MKT LLC; Notice of Filing of Proposed Rule Change To Eliminate Requirements That Will Be Duplicative of CAT2017-06-01T00:00:00-07:002017-06-01T00:00:00-07:002017-11370Noticehttps://www.gpo.gov/fdsys/pkg/FR-2017-06-01/pdf/2017-11370.pdfhttps://regulations.justia.com/regulations/fedreg/2017/06/01/2017-11369.htmlNotice - Self-Regulatory Organizations; NYSE MKT LLC; Notice of Filing of Proposed Rule Change To Eliminate Requirements That Will Be Duplicative of CAT2017-06-01T00:00:00-07:002017-06-01T00:00:00-07:002017-11369Noticehttps://www.gpo.gov/fdsys/pkg/FR-2017-06-01/pdf/2017-11369.pdfhttps://regulations.justia.com/regulations/fedreg/2017/06/01/2017-11368.htmlNotice - Self-Regulatory Organizations; MIAX PEARL, LLC; Notice of Filing of Proposed Rule Change To Eliminate Requirements That Will Be Duplicative of CAT2017-06-01T00:00:00-07:002017-06-01T00:00:00-07:002017-11368Noticehttps://www.gpo.gov/fdsys/pkg/FR-2017-06-01/pdf/2017-11368.pdfhttps://regulations.justia.com/regulations/fedreg/2017/06/01/2017-11367.htmlNotice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing of Proposed Rule Change To Eliminate Requirements That Will Be Duplicative of CAT2017-06-01T00:00:00-07:002017-06-01T00:00:00-07:002017-11367Noticehttps://www.gpo.gov/fdsys/pkg/FR-2017-06-01/pdf/2017-11367.pdfhttps://regulations.justia.com/regulations/fedreg/2017/06/01/2017-11366.htmlNotice - Self-Regulatory Organizations; Miami International Securities Exchange, LLC; Notice of Filing of Proposed Rule Change To Eliminate Requirements That Will Be Duplicative of CAT2017-06-01T00:00:00-07:002017-06-01T00:00:00-07:002017-11366Noticehttps://www.gpo.gov/fdsys/pkg/FR-2017-06-01/pdf/2017-11366.pdfhttps://regulations.justia.com/regulations/fedreg/2017/06/01/2017-11365.htmlNotice - Self-Regulatory Organizations; BOX Options Exchange LLC; Notice of Filing of Proposed Rule Change To Eliminate Requirements That Will Be Duplicative of CAT2017-06-01T00:00:00-07:002017-06-01T00:00:00-07:002017-11365Noticehttps://www.gpo.gov/fdsys/pkg/FR-2017-06-01/pdf/2017-11365.pdfhttps://regulations.justia.com/regulations/fedreg/2017/06/01/2017-11364.htmlNotice - Self-Regulatory Organizations; Investors Exchange LLC; Notice of Filing of Proposed Rule Change To Eliminate Requirements That Will Be Duplicative of CAT2017-06-01T00:00:00-07:002017-06-01T00:00:00-07:002017-11364Noticehttps://www.gpo.gov/fdsys/pkg/FR-2017-06-01/pdf/2017-11364.pdfhttps://regulations.justia.com/regulations/fedreg/2017/06/01/2017-11363.htmlNotice - Self-Regulatory Organizations; Nasdaq ISE, LLC; Notice of Filing of Proposed Rule Change To Eliminate Requirements That Will Be Duplicative of CAT2017-06-01T00:00:00-07:002017-06-01T00:00:00-07:002017-11363Noticehttps://www.gpo.gov/fdsys/pkg/FR-2017-06-01/pdf/2017-11363.pdfhttps://regulations.justia.com/regulations/fedreg/2017/06/01/2017-11362.htmlNotice - Self-Regulatory Organizations; C2 Options Exchange, Incorporated; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Establish the Fees for Industry Members Related to the National Market System Plan Governing the Consolidated Audit Trail2017-06-01T00:00:00-07:002017-06-01T00:00:00-07:002017-11362Noticehttps://www.gpo.gov/fdsys/pkg/FR-2017-06-01/pdf/2017-11362.pdfhttps://regulations.justia.com/regulations/fedreg/2017/06/01/2017-11361.htmlNotice - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Establish the Fees for Industry Members Related to the National Market System Plan Governing the Consolidated Audit Trail2017-06-01T00:00:00-07:002017-06-01T00:00:00-07:002017-11361Noticehttps://www.gpo.gov/fdsys/pkg/FR-2017-06-01/pdf/2017-11361.pdfhttps://regulations.justia.com/regulations/fedreg/2017/06/01/2017-11360.htmlNotice - Self-Regulatory Organizations; Bats EDGA Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Related to Fees for Use on Bats EDGA Exchange, Inc.2017-06-01T00:00:00-07:002017-06-01T00:00:00-07:002017-11360Noticehttps://www.gpo.gov/fdsys/pkg/FR-2017-06-01/pdf/2017-11360.pdf