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?limit=200&registers=between&min-day=1&max-day=30&mode=atom 2020-11-30T03:37:59-08:00 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/2017/06/30/2017-13709.html Notice - Self-Regulatory Organizations; Nasdaq ISE, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to the Non-Priority Customer License Surcharge 2017-06-30T00:00:00-07:00 2017-06-30T00:00:00-07:00 2017-13709 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-06-30/pdf/2017-13709.pdf https://regulations.justia.com/regulations/fedreg/2017/06/30/2017-13708.html Notice - Self-Regulatory Organizations; Nasdaq GEMX, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to the Non-Priority Customer License Surcharge 2017-06-30T00:00:00-07:00 2017-06-30T00:00:00-07:00 2017-13708 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-06-30/pdf/2017-13708.pdf https://regulations.justia.com/regulations/fedreg/2017/06/30/2017-13707.html Notice - Self-Regulatory Organizations; OneChicago, LLC; Notice of Filing of Proposed Rule Change To Implement Four Decimal Pricing for Outright Transactions in Single Stock Futures 2017-06-30T00:00:00-07:00 2017-06-30T00:00:00-07:00 2017-13707 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-06-30/pdf/2017-13707.pdf https://regulations.justia.com/regulations/fedreg/2017/06/30/2017-13706.html Notice - 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 Exchange 2017-06-30T00:00:00-07:00 2017-06-30T00:00:00-07:00 2017-13706 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-06-30/pdf/2017-13706.pdf https://regulations.justia.com/regulations/fedreg/2017/06/30/2017-13705.html Notice - Self-Regulatory Organizations; Miami International Securities Exchange LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend MIAX Options Rules 307, Position Limits, and 309, Exercise Limits, To Extend the SPY Pilot Program 2017-06-30T00:00:00-07:00 2017-06-30T00:00:00-07:00 2017-13705 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-06-30/pdf/2017-13705.pdf https://regulations.justia.com/regulations/fedreg/2017/06/30/2017-13704.html Notice - Self-Regulatory Organizations; Miami International Securities Exchange LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Its Fee Schedule 2017-06-30T00:00:00-07:00 2017-06-30T00:00:00-07:00 2017-13704 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-06-30/pdf/2017-13704.pdf https://regulations.justia.com/regulations/fedreg/2017/06/30/2017-13703.html Notice - 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 Securities 2017-06-30T00:00:00-07:00 2017-06-30T00:00:00-07:00 2017-13703 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-06-30/pdf/2017-13703.pdf https://regulations.justia.com/regulations/fedreg/2017/06/30/2017-13702.html Notice - 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”) Options 2017-06-30T00:00:00-07:00 2017-06-30T00:00:00-07:00 2017-13702 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-06-30/pdf/2017-13702.pdf https://regulations.justia.com/regulations/fedreg/2017/06/29/2017-13590.html Notice - 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 NYSE 2017-06-29T00:00:00-07:00 2017-06-29T00:00:00-07:00 2017-13590 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-06-29/pdf/2017-13590.pdf https://regulations.justia.com/regulations/fedreg/2017/06/29/2017-13589.html Notice - 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 Feeds 2017-06-29T00:00:00-07:00 2017-06-29T00:00:00-07:00 2017-13589 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-06-29/pdf/2017-13589.pdf https://regulations.justia.com/regulations/fedreg/2017/06/29/2017-13588.html Notice - 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 Feeds 2017-06-29T00:00:00-07:00 2017-06-29T00:00:00-07:00 2017-13588 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-06-29/pdf/2017-13588.pdf https://regulations.justia.com/regulations/fedreg/2017/06/29/2017-13587.html Notice - 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 Feeds 2017-06-29T00:00:00-07:00 2017-06-29T00:00:00-07:00 2017-13587 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-06-29/pdf/2017-13587.pdf https://regulations.justia.com/regulations/fedreg/2017/06/29/2017-13586.html Notice - 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 Securities 2017-06-29T00:00:00-07:00 2017-06-29T00:00:00-07:00 2017-13586 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-06-29/pdf/2017-13586.pdf https://regulations.justia.com/regulations/fedreg/2017/06/29/2017-13585.html Notice - 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) 2017-06-29T00:00:00-07:00 2017-06-29T00:00:00-07:00 2017-13585 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-06-29/pdf/2017-13585.pdf https://regulations.justia.com/regulations/fedreg/2017/06/29/2017-13584.html Notice - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Waive Certain TRACE Reporting Fees 2017-06-29T00:00:00-07:00 2017-06-29T00:00:00-07:00 2017-13584 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-06-29/pdf/2017-13584.pdf https://regulations.justia.com/regulations/fedreg/2017/06/29/2017-13583.html Notice - 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 Cycle 2017-06-29T00:00:00-07:00 2017-06-29T00:00:00-07:00 2017-13583 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-06-29/pdf/2017-13583.pdf https://regulations.justia.com/regulations/fedreg/2017/06/29/2017-13582.html Notice - 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 Report 2017-06-29T00:00:00-07:00 2017-06-29T00:00:00-07:00 2017-13582 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-06-29/pdf/2017-13582.pdf https://regulations.justia.com/regulations/fedreg/2017/06/28/2017-13490.html Notice - 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 Rules 2017-06-28T00:00:00-07:00 2017-06-28T00:00:00-07:00 2017-13490 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-06-28/pdf/2017-13490.pdf https://regulations.justia.com/regulations/fedreg/2017/06/28/2017-13489.html Notice - 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 Securities 2017-06-28T00:00:00-07:00 2017-06-28T00:00:00-07:00 2017-13489 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-06-28/pdf/2017-13489.pdf https://regulations.justia.com/regulations/fedreg/2017/06/28/2017-13488.html Notice - 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 Offering 2017-06-28T00:00:00-07:00 2017-06-28T00:00:00-07:00 2017-13488 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-06-28/pdf/2017-13488.pdf https://regulations.justia.com/regulations/fedreg/2017/06/28/2017-13475.html Notice - Self-Regulatory Organizations; Nasdaq ISE, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Section III of the Schedule of Fees 2017-06-28T00:00:00-07:00 2017-06-28T00:00:00-07:00 2017-13475 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-06-28/pdf/2017-13475.pdf https://regulations.justia.com/regulations/fedreg/2017/06/28/2017-13474.html Notice - 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 Pauses 2017-06-28T00:00:00-07:00 2017-06-28T00:00:00-07:00 2017-13474 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-06-28/pdf/2017-13474.pdf https://regulations.justia.com/regulations/fedreg/2017/06/28/2017-13473.html Notice - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Rule 7014(j) 2017-06-28T00:00:00-07:00 2017-06-28T00:00:00-07:00 2017-13473 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-06-28/pdf/2017-13473.pdf https://regulations.justia.com/regulations/fedreg/2017/06/27/2017-13492.html Notice - Sunshine Act Meeting 2017-06-27T00:00:00-07:00 2017-06-27T00:00:00-07:00 2017-13492 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-06-27/pdf/2017-13492.pdf https://regulations.justia.com/regulations/fedreg/2017/06/27/2017-13424.html Notice - Submission for OMB Review; Comment Request 2017-06-27T00:00:00-07:00 2017-06-27T00:00:00-07:00 2017-13424 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-06-27/pdf/2017-13424.pdf https://regulations.justia.com/regulations/fedreg/2017/06/27/2017-13371.html Notice - 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 Stocks 2017-06-27T00:00:00-07:00 2017-06-27T00:00:00-07:00 2017-13371 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-06-27/pdf/2017-13371.pdf https://regulations.justia.com/regulations/fedreg/2017/06/27/2017-13345.html Notice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the NYSE Arca Options Fee Schedule 2017-06-27T00:00:00-07:00 2017-06-27T00:00:00-07:00 2017-13345 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-06-27/pdf/2017-13345.pdf https://regulations.justia.com/regulations/fedreg/2017/06/27/2017-13344.html Notice - 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 Issues 2017-06-27T00:00:00-07:00 2017-06-27T00:00:00-07:00 2017-13344 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-06-27/pdf/2017-13344.pdf https://regulations.justia.com/regulations/fedreg/2017/06/27/2017-13343.html Notice - 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, 2017 2017-06-27T00:00:00-07:00 2017-06-27T00:00:00-07:00 2017-13343 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-06-27/pdf/2017-13343.pdf https://regulations.justia.com/regulations/fedreg/2017/06/26/2017-13263.html Notice - 1889 BDC, Inc., et al.; Notice of Application 2017-06-26T00:00:00-07:00 2017-06-26T00:00:00-07:00 2017-13263 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-06-26/pdf/2017-13263.pdf https://regulations.justia.com/regulations/fedreg/2017/06/26/2017-13231.html Notice - 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 Policy 2017-06-26T00:00:00-07:00 2017-06-26T00:00:00-07:00 2017-13231 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-06-26/pdf/2017-13231.pdf https://regulations.justia.com/regulations/fedreg/2017/06/26/2017-13230.html Notice - 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 Securities 2017-06-26T00:00:00-07:00 2017-06-26T00:00:00-07:00 2017-13230 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-06-26/pdf/2017-13230.pdf https://regulations.justia.com/regulations/fedreg/2017/06/26/2017-13229.html Notice - Self-Regulatory Organizations; Bats EDGX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Fees for Use on Bats EDGX Exchange, Inc. 2017-06-26T00:00:00-07:00 2017-06-26T00:00:00-07:00 2017-13229 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-06-26/pdf/2017-13229.pdf https://regulations.justia.com/regulations/fedreg/2017/06/26/2017-13228.html Notice - 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 Model 2017-06-26T00:00:00-07:00 2017-06-26T00:00:00-07:00 2017-13228 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-06-26/pdf/2017-13228.pdf https://regulations.justia.com/regulations/fedreg/2017/06/26/2017-13227.html Notice - Submission for OMB Review; Comment Request 2017-06-26T00:00:00-07:00 2017-06-26T00:00:00-07:00 2017-13227 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-06-26/pdf/2017-13227.pdf https://regulations.justia.com/regulations/fedreg/2017/06/23/2017-13145.html Notice - Submission for OMB Review; Comment Request 2017-06-23T00:00:00-07:00 2017-06-23T00:00:00-07:00 2017-13145 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-06-23/pdf/2017-13145.pdf https://regulations.justia.com/regulations/fedreg/2017/06/23/2017-13144.html Notice - Submission for OMB Review; Comment Request 2017-06-23T00:00:00-07:00 2017-06-23T00:00:00-07:00 2017-13144 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-06-23/pdf/2017-13144.pdf https://regulations.justia.com/regulations/fedreg/2017/06/23/2017-13143.html Notice - Submission for OMB Review; Comment Request 2017-06-23T00:00:00-07:00 2017-06-23T00:00:00-07:00 2017-13143 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-06-23/pdf/2017-13143.pdf https://regulations.justia.com/regulations/fedreg/2017/06/23/2017-13142.html Notice - Submission for OMB Review; Comment Request 2017-06-23T00:00:00-07:00 2017-06-23T00:00:00-07:00 2017-13142 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-06-23/pdf/2017-13142.pdf https://regulations.justia.com/regulations/fedreg/2017/06/23/2017-13141.html Notice - Submission for OMB Review; Comment Request 2017-06-23T00:00:00-07:00 2017-06-23T00:00:00-07:00 2017-13141 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-06-23/pdf/2017-13141.pdf https://regulations.justia.com/regulations/fedreg/2017/06/23/2017-13140.html Notice - Submission for OMB Review; Comment Request 2017-06-23T00:00:00-07:00 2017-06-23T00:00:00-07:00 2017-13140 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-06-23/pdf/2017-13140.pdf https://regulations.justia.com/regulations/fedreg/2017/06/23/2017-13105.html Notice - Self-Regulatory Organizations; Nasdaq MRX, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Regarding Quote Mitigation 2017-06-23T00:00:00-07:00 2017-06-23T00:00:00-07:00 2017-13105 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-06-23/pdf/2017-13105.pdf https://regulations.justia.com/regulations/fedreg/2017/06/23/2017-13104.html Notice - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Order Approving a Proposed Rule Change Relating to Expediting List Selection in Arbitration 2017-06-23T00:00:00-07:00 2017-06-23T00:00:00-07:00 2017-13104 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-06-23/pdf/2017-13104.pdf https://regulations.justia.com/regulations/fedreg/2017/06/23/2017-13103.html Notice - Self-Regulatory Organizations; NASDAQ PHLX LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Rule 1049, Communications to Customers 2017-06-23T00:00:00-07:00 2017-06-23T00:00:00-07:00 2017-13103 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-06-23/pdf/2017-13103.pdf https://regulations.justia.com/regulations/fedreg/2017/06/23/2017-13102.html Notice - Self-Regulatory Organizations; Nasdaq ISE, LLC; Notice of Filing of a Proposed Rule Change To Adopt Rule 912 2017-06-23T00:00:00-07:00 2017-06-23T00:00:00-07:00 2017-13102 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-06-23/pdf/2017-13102.pdf https://regulations.justia.com/regulations/fedreg/2017/06/23/2017-13101.html Notice - Self-Regulatory Organizations; Nasdaq GEMX, LLC; Notice of Filing of a Proposed Rule Change To Adopt Rule 912 2017-06-23T00:00:00-07:00 2017-06-23T00:00:00-07:00 2017-13101 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-06-23/pdf/2017-13101.pdf https://regulations.justia.com/regulations/fedreg/2017/06/23/2017-13100.html Notice - 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 Changes 2017-06-23T00:00:00-07:00 2017-06-23T00:00:00-07:00 2017-13100 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-06-23/pdf/2017-13100.pdf https://regulations.justia.com/regulations/fedreg/2017/06/23/2017-13099.html Notice - Self-Regulatory Organizations; NASDAQ BX, Inc.; Notice of Filing of a Proposed Rule Change To Adopt Rule 6896 and Chapter IX, Section 9 2017-06-23T00:00:00-07:00 2017-06-23T00:00:00-07:00 2017-13099 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-06-23/pdf/2017-13099.pdf https://regulations.justia.com/regulations/fedreg/2017/06/23/2017-13098.html Notice - Self-Regulatory Organizations; NASDAQ PHLX LLC; Notice of Filing of a Proposed Rule Change To Adopt Rule 996A 2017-06-23T00:00:00-07:00 2017-06-23T00:00:00-07:00 2017-13098 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-06-23/pdf/2017-13098.pdf https://regulations.justia.com/regulations/fedreg/2017/06/23/2017-13097.html Notice - Self-Regulatory Organizations; Nasdaq MRX, LLC; Notice of Filing of a Proposed Rule Change To Adopt Rule 912 2017-06-23T00:00:00-07:00 2017-06-23T00:00:00-07:00 2017-13097 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-06-23/pdf/2017-13097.pdf https://regulations.justia.com/regulations/fedreg/2017/06/23/2017-13096.html Notice - Self-Regulatory Organizations; Nasdaq MRX, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Chapter 19 2017-06-23T00:00:00-07:00 2017-06-23T00:00:00-07:00 2017-13096 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-06-23/pdf/2017-13096.pdf https://regulations.justia.com/regulations/fedreg/2017/06/23/2017-13095.html Notice - Self-Regulatory Organizations; NYSE MKT LLC; Notice of Filing and Immediate Effectiveness of Proposed Change To Modify the NYSE Amex Options Fee Schedule 2017-06-23T00:00:00-07:00 2017-06-23T00:00:00-07:00 2017-13095 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-06-23/pdf/2017-13095.pdf https://regulations.justia.com/regulations/fedreg/2017/06/22/2017-12987.html Notice - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing of a Proposed Rule Change To Adopt Rule 6896 and Chapter IX, Section 9 2017-06-22T00:00:00-07:00 2017-06-22T00:00:00-07:00 2017-12987 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-06-22/pdf/2017-12987.pdf https://regulations.justia.com/regulations/fedreg/2017/06/21/2017-12947.html Notice - Westcore Trust and Denver Investment Advisors LLC; Notice of Application 2017-06-21T00:00:00-07:00 2017-06-21T00:00:00-07:00 2017-12947 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-06-21/pdf/2017-12947.pdf https://regulations.justia.com/regulations/fedreg/2017/06/21/2017-12890.html Notice - 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 Mechanism 2017-06-21T00:00:00-07:00 2017-06-21T00:00:00-07:00 2017-12890 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-06-21/pdf/2017-12890.pdf https://regulations.justia.com/regulations/fedreg/2017/06/21/2017-12889.html Notice - 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. 2017-06-21T00:00:00-07:00 2017-06-21T00:00:00-07:00 2017-12889 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-06-21/pdf/2017-12889.pdf 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 https://regulations.justia.com/regulations/fedreg/2017/06/19/2017-12590.html Notice - Triloma EIG Energy Income Fund, et al.; Notice of Application 2017-06-19T00:00:00-07:00 2017-06-19T00:00:00-07:00 2017-12590 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-06-19/pdf/2017-12590.pdf https://regulations.justia.com/regulations/fedreg/2017/06/19/2017-12589.html Notice - 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 Trade 2017-06-19T00:00:00-07:00 2017-06-19T00:00:00-07:00 2017-12589 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-06-19/pdf/2017-12589.pdf https://regulations.justia.com/regulations/fedreg/2017/06/19/2017-12588.html Notice - 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 Resolution 2017-06-19T00:00:00-07:00 2017-06-19T00:00:00-07:00 2017-12588 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-06-19/pdf/2017-12588.pdf https://regulations.justia.com/regulations/fedreg/2017/06/19/2017-12587.html Notice - Self-Regulatory Organizations; MIAX PEARL, LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the MIAX PEARL Fee Schedule 2017-06-19T00:00:00-07:00 2017-06-19T00:00:00-07:00 2017-12587 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-06-19/pdf/2017-12587.pdf https://regulations.justia.com/regulations/fedreg/2017/06/19/2017-12586.html Notice - Self-Regulatory Organizations; MIAX PEARL, LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the MIAX PEARL Fee Schedule 2017-06-19T00:00:00-07:00 2017-06-19T00:00:00-07:00 2017-12586 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-06-19/pdf/2017-12586.pdf https://regulations.justia.com/regulations/fedreg/2017/06/19/2017-12585.html Notice - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Related to Rule 5.5 2017-06-19T00:00:00-07:00 2017-06-19T00:00:00-07:00 2017-12585 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-06-19/pdf/2017-12585.pdf https://regulations.justia.com/regulations/fedreg/2017/06/19/2017-12584.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. 2017-06-19T00:00:00-07:00 2017-06-19T00:00:00-07:00 2017-12584 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-06-19/pdf/2017-12584.pdf https://regulations.justia.com/regulations/fedreg/2017/06/19/2017-12583.html Notice - 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 ETF 2017-06-19T00:00:00-07:00 2017-06-19T00:00:00-07:00 2017-12583 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-06-19/pdf/2017-12583.pdf https://regulations.justia.com/regulations/fedreg/2017/06/16/2017-12548.html Notice - CION Ares Diversified Credit Fund, et al.; Notice of Application 2017-06-16T00:00:00-07:00 2017-06-16T00:00:00-07:00 2017-12548 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-06-16/pdf/2017-12548.pdf https://regulations.justia.com/regulations/fedreg/2017/06/16/2017-12537.html Notice - Submission for OMB Review; Comment Request 2017-06-16T00:00:00-07:00 2017-06-16T00:00:00-07:00 2017-12537 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-06-16/pdf/2017-12537.pdf https://regulations.justia.com/regulations/fedreg/2017/06/16/2017-12536.html Notice - Submission for OMB Review; Comment Request 2017-06-16T00:00:00-07:00 2017-06-16T00:00:00-07:00 2017-12536 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-06-16/pdf/2017-12536.pdf https://regulations.justia.com/regulations/fedreg/2017/06/16/2017-12492.html Notice - Proposed Collection; Comment Request 2017-06-16T00:00:00-07:00 2017-06-16T00:00:00-07:00 2017-12492 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-06-16/pdf/2017-12492.pdf https://regulations.justia.com/regulations/fedreg/2017/06/16/2017-12484.html Notice - 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 Program 2017-06-16T00:00:00-07:00 2017-06-16T00:00:00-07:00 2017-12484 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-06-16/pdf/2017-12484.pdf https://regulations.justia.com/regulations/fedreg/2017/06/16/2017-12458.html Notice - 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 Issues 2017-06-16T00:00:00-07:00 2017-06-16T00:00:00-07:00 2017-12458 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-06-16/pdf/2017-12458.pdf https://regulations.justia.com/regulations/fedreg/2017/06/16/2017-12457.html Notice - 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 Requirements 2017-06-16T00:00:00-07:00 2017-06-16T00:00:00-07:00 2017-12457 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-06-16/pdf/2017-12457.pdf https://regulations.justia.com/regulations/fedreg/2017/06/16/2017-12456.html Notice - Self-Regulatory Organizations; Investors Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Related to Continued Listing Standards for Exchange Traded Products 2017-06-16T00:00:00-07:00 2017-06-16T00:00:00-07:00 2017-12456 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-06-16/pdf/2017-12456.pdf https://regulations.justia.com/regulations/fedreg/2017/06/16/2017-12455.html Notice - 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 Requirements 2017-06-16T00:00:00-07:00 2017-06-16T00:00:00-07:00 2017-12455 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-06-16/pdf/2017-12455.pdf https://regulations.justia.com/regulations/fedreg/2017/06/16/2017-12454.html Notice - 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 Requirements 2017-06-16T00:00:00-07:00 2017-06-16T00:00:00-07:00 2017-12454 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-06-16/pdf/2017-12454.pdf https://regulations.justia.com/regulations/fedreg/2017/06/15/2017-12442.html Notice - Proposed Collection; Comment Request 2017-06-15T00:00:00-07:00 2017-06-15T00:00:00-07:00 2017-12442 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-06-15/pdf/2017-12442.pdf https://regulations.justia.com/regulations/fedreg/2017/06/15/2017-12431.html Notice - Submission for OMB Review; Comment Request 2017-06-15T00:00:00-07:00 2017-06-15T00:00:00-07:00 2017-12431 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-06-15/pdf/2017-12431.pdf https://regulations.justia.com/regulations/fedreg/2017/06/15/2017-12377.html Notice - 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 Framework 2017-06-15T00:00:00-07:00 2017-06-15T00:00:00-07:00 2017-12377 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-06-15/pdf/2017-12377.pdf https://regulations.justia.com/regulations/fedreg/2017/06/15/2017-12376.html Notice - Self-Regulatory Organizations; ICE Clear Credit LLC; Notice of Proposed Rule Change Relating to ICC's End-of-Day Price Discovery Policies and Procedures 2017-06-15T00:00:00-07:00 2017-06-15T00:00:00-07:00 2017-12376 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-06-15/pdf/2017-12376.pdf https://regulations.justia.com/regulations/fedreg/2017/06/14/C1-2017-11151.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 2017-06-14T00:00:00-07:00 2017-06-14T00:00:00-07:00 C1-2017-11151 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-06-14/pdf/C1-2017-11151.pdf https://regulations.justia.com/regulations/fedreg/2017/06/14/2017-12267.html Notice - 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 TotalView 2017-06-14T00:00:00-07:00 2017-06-14T00:00:00-07:00 2017-12267 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-06-14/pdf/2017-12267.pdf https://regulations.justia.com/regulations/fedreg/2017/06/14/2017-12266.html Notice - 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 Standard 2017-06-14T00:00:00-07:00 2017-06-14T00:00:00-07:00 2017-12266 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-06-14/pdf/2017-12266.pdf https://regulations.justia.com/regulations/fedreg/2017/06/14/2017-12265.html Notice - 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 Period 2017-06-14T00:00:00-07:00 2017-06-14T00:00:00-07:00 2017-12265 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-06-14/pdf/2017-12265.pdf https://regulations.justia.com/regulations/fedreg/2017/06/14/2017-12260.html Notice - 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 8.600 2017-06-14T00:00:00-07:00 2017-06-14T00:00:00-07:00 2017-12260 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-06-14/pdf/2017-12260.pdf https://regulations.justia.com/regulations/fedreg/2017/06/14/2017-12259.html Notice - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to the Penny Pilot Program 2017-06-14T00:00:00-07:00 2017-06-14T00:00:00-07:00 2017-12259 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-06-14/pdf/2017-12259.pdf https://regulations.justia.com/regulations/fedreg/2017/06/14/2017-12258.html Notice - Self-Regulatory Organizations; C2 Options Exchange, Incorporated; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to the Penny Pilot Program 2017-06-14T00:00:00-07:00 2017-06-14T00:00:00-07:00 2017-12258 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-06-14/pdf/2017-12258.pdf https://regulations.justia.com/regulations/fedreg/2017/06/13/2017-12273.html Notice - Sunshine Act Meeting 2017-06-13T00:00:00-07:00 2017-06-13T00:00:00-07:00 2017-12273 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-06-13/pdf/2017-12273.pdf https://regulations.justia.com/regulations/fedreg/2017/06/13/2017-12157.html Notice - 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) 2017-06-13T00:00:00-07:00 2017-06-13T00:00:00-07:00 2017-12157 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-06-13/pdf/2017-12157.pdf https://regulations.justia.com/regulations/fedreg/2017/06/13/2017-12156.html Notice - 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 Changes 2017-06-13T00:00:00-07:00 2017-06-13T00:00:00-07:00 2017-12156 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-06-13/pdf/2017-12156.pdf https://regulations.justia.com/regulations/fedreg/2017/06/13/2017-12155.html Notice - 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 Plan 2017-06-13T00:00:00-07:00 2017-06-13T00:00:00-07:00 2017-12155 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-06-13/pdf/2017-12155.pdf https://regulations.justia.com/regulations/fedreg/2017/06/13/2017-12154.html Notice - 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 Framework 2017-06-13T00:00:00-07:00 2017-06-13T00:00:00-07:00 2017-12154 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-06-13/pdf/2017-12154.pdf https://regulations.justia.com/regulations/fedreg/2017/06/13/2017-12153.html Notice - Self-Regulatory Organizations; MIAX PEARL, LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the MIAX PEARL Fee Schedule To Establish an Options Regulatory Fee (“ORF”) 2017-06-13T00:00:00-07:00 2017-06-13T00:00:00-07:00 2017-12153 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-06-13/pdf/2017-12153.pdf https://regulations.justia.com/regulations/fedreg/2017/06/13/2017-12152.html Notice - Self-Regulatory Organizations; Nasdaq ISE, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Remove Chapter 21 From the ISE Rulebook 2017-06-13T00:00:00-07:00 2017-06-13T00:00:00-07:00 2017-12152 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-06-13/pdf/2017-12152.pdf https://regulations.justia.com/regulations/fedreg/2017/06/13/2017-12151.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 406, Long Term Option Contracts 2017-06-13T00:00:00-07:00 2017-06-13T00:00:00-07:00 2017-12151 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-06-13/pdf/2017-12151.pdf https://regulations.justia.com/regulations/fedreg/2017/06/13/2017-12140.html Notice - Commission Statement Concerning a Request for an Interpretation as to Whether a Particular Agreement Is a Swap, Security-Based Swap, or Mixed Swap 2017-06-13T00:00:00-07:00 2017-06-13T00:00:00-07:00 2017-12140 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-06-13/pdf/2017-12140.pdf https://regulations.justia.com/regulations/fedreg/2017/06/12/2017-12089.html Notice - Proposed Collection; Comment Request 2017-06-12T00:00:00-07:00 2017-06-12T00:00:00-07:00 2017-12089 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-06-12/pdf/2017-12089.pdf https://regulations.justia.com/regulations/fedreg/2017/06/12/2017-12088.html Notice - Proposed Collection; Comment Request 2017-06-12T00:00:00-07:00 2017-06-12T00:00:00-07:00 2017-12088 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-06-12/pdf/2017-12088.pdf https://regulations.justia.com/regulations/fedreg/2017/06/12/2017-12087.html Notice - Proposed Collection; Comment Request 2017-06-12T00:00:00-07:00 2017-06-12T00:00:00-07:00 2017-12087 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-06-12/pdf/2017-12087.pdf https://regulations.justia.com/regulations/fedreg/2017/06/12/2017-12044.html Notice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing of Proposed Rule Change To Amend NYSE Arca Equities Rule 13.2, Liability of Corporation 2017-06-12T00:00:00-07:00 2017-06-12T00:00:00-07:00 2017-12044 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-06-12/pdf/2017-12044.pdf https://regulations.justia.com/regulations/fedreg/2017/06/12/2017-12043.html Notice - 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 8.600 2017-06-12T00:00:00-07:00 2017-06-12T00:00:00-07:00 2017-12043 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-06-12/pdf/2017-12043.pdf https://regulations.justia.com/regulations/fedreg/2017/06/12/2017-12042.html Notice - 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. 2017-06-12T00:00:00-07:00 2017-06-12T00:00:00-07:00 2017-12042 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-06-12/pdf/2017-12042.pdf https://regulations.justia.com/regulations/fedreg/2017/06/12/2017-12041.html Notice - 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 Contracts 2017-06-12T00:00:00-07:00 2017-06-12T00:00:00-07:00 2017-12041 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-06-12/pdf/2017-12041.pdf https://regulations.justia.com/regulations/fedreg/2017/06/12/2017-12040.html Notice - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing of Proposed Rule Change To Amend its Listing Standards for Closed-end Funds 2017-06-12T00:00:00-07:00 2017-06-12T00:00:00-07:00 2017-12040 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-06-12/pdf/2017-12040.pdf https://regulations.justia.com/regulations/fedreg/2017/06/09/2017-11966.html Notice - 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, 2017 2017-06-09T00:00:00-07:00 2017-06-09T00:00:00-07:00 2017-11966 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-06-09/pdf/2017-11966.pdf https://regulations.justia.com/regulations/fedreg/2017/06/09/2017-11965.html Notice - 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, 2017 2017-06-09T00:00:00-07:00 2017-06-09T00:00:00-07:00 2017-11965 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-06-09/pdf/2017-11965.pdf https://regulations.justia.com/regulations/fedreg/2017/06/09/2017-11964.html Notice - 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 Trading 2017-06-09T00:00:00-07:00 2017-06-09T00:00:00-07:00 2017-11964 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-06-09/pdf/2017-11964.pdf https://regulations.justia.com/regulations/fedreg/2017/06/09/2017-11963.html Notice - 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 Procedures 2017-06-09T00:00:00-07:00 2017-06-09T00:00:00-07:00 2017-11963 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-06-09/pdf/2017-11963.pdf https://regulations.justia.com/regulations/fedreg/2017/06/09/2017-11962.html Notice - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Filing of a Proposed Rule Change Relating to Disaster Recovery 2017-06-09T00:00:00-07:00 2017-06-09T00:00:00-07:00 2017-11962 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-06-09/pdf/2017-11962.pdf https://regulations.justia.com/regulations/fedreg/2017/06/09/2017-11961.html Notice - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the Exchange's Fees at Rule 7046 2017-06-09T00:00:00-07:00 2017-06-09T00:00:00-07:00 2017-11961 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-06-09/pdf/2017-11961.pdf https://regulations.justia.com/regulations/fedreg/2017/06/08/2017-11924.html Notice - Franklin Fund Allocator Series, et al. 2017-06-08T00:00:00-07:00 2017-06-08T00:00:00-07:00 2017-11924 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-06-08/pdf/2017-11924.pdf https://regulations.justia.com/regulations/fedreg/2017/06/08/2017-11870.html Notice - 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 Representation 2017-06-08T00:00:00-07:00 2017-06-08T00:00:00-07:00 2017-11870 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-06-08/pdf/2017-11870.pdf https://regulations.justia.com/regulations/fedreg/2017/06/08/2017-11869.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 521, Nullification and Adjustment of Options Transactions Including Obvious Errors 2017-06-08T00:00:00-07:00 2017-06-08T00:00:00-07:00 2017-11869 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-06-08/pdf/2017-11869.pdf https://regulations.justia.com/regulations/fedreg/2017/06/08/2017-11868.html Notice - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Withdrawal of Proposed Rule Change To Adopt Rule 7017 2017-06-08T00:00:00-07:00 2017-06-08T00:00:00-07:00 2017-11868 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-06-08/pdf/2017-11868.pdf https://regulations.justia.com/regulations/fedreg/2017/06/08/2017-11867.html Notice - 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, 2017 2017-06-08T00:00:00-07:00 2017-06-08T00:00:00-07:00 2017-11867 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-06-08/pdf/2017-11867.pdf https://regulations.justia.com/regulations/fedreg/2017/06/08/2017-11866.html Notice - 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, 2017 2017-06-08T00:00:00-07:00 2017-06-08T00:00:00-07:00 2017-11866 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-06-08/pdf/2017-11866.pdf https://regulations.justia.com/regulations/fedreg/2017/06/08/2017-11865.html Notice - Self-Regulatory Organizations; LCH SA; Order Approving Proposed Rule Change Relating to LCH SA's CDS Margin and Extreme Credit Spread Curves 2017-06-08T00:00:00-07:00 2017-06-08T00:00:00-07:00 2017-11865 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-06-08/pdf/2017-11865.pdf https://regulations.justia.com/regulations/fedreg/2017/06/08/2017-11864.html Notice - Self-Regulatory Organizations; LCH SA; Order Approving Proposed Rule Change Relating to Recovery Risk Margin 2017-06-08T00:00:00-07:00 2017-06-08T00:00:00-07:00 2017-11864 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-06-08/pdf/2017-11864.pdf https://regulations.justia.com/regulations/fedreg/2017/06/07/2017-11754.html Notice - 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 Data 2017-06-07T00:00:00-07:00 2017-06-07T00:00:00-07:00 2017-11754 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-06-07/pdf/2017-11754.pdf https://regulations.justia.com/regulations/fedreg/2017/06/07/2017-11753.html Notice - 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, 2017 2017-06-07T00:00:00-07:00 2017-06-07T00:00:00-07:00 2017-11753 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-06-07/pdf/2017-11753.pdf https://regulations.justia.com/regulations/fedreg/2017/06/07/2017-11752.html Notice - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend FINRA Rule 7620A To Eliminate the No/Was Corrective Transaction Charge 2017-06-07T00:00:00-07:00 2017-06-07T00:00:00-07:00 2017-11752 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-06-07/pdf/2017-11752.pdf https://regulations.justia.com/regulations/fedreg/2017/06/07/2017-11751.html Notice - 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 Swap 2017-06-07T00:00:00-07:00 2017-06-07T00:00:00-07:00 2017-11751 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-06-07/pdf/2017-11751.pdf https://regulations.justia.com/regulations/fedreg/2017/06/07/2017-11750.html Notice - 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 8.201 2017-06-07T00:00:00-07:00 2017-06-07T00:00:00-07:00 2017-11750 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-06-07/pdf/2017-11750.pdf https://regulations.justia.com/regulations/fedreg/2017/06/07/2017-11749.html Notice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the NYSE Arca Options Fee Schedule 2017-06-07T00:00:00-07:00 2017-06-07T00:00:00-07:00 2017-11749 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-06-07/pdf/2017-11749.pdf https://regulations.justia.com/regulations/fedreg/2017/06/07/2017-11748.html Notice - 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 Resolution 2017-06-07T00:00:00-07:00 2017-06-07T00:00:00-07:00 2017-11748 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-06-07/pdf/2017-11748.pdf https://regulations.justia.com/regulations/fedreg/2017/06/07/2017-11747.html Notice - 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 Resolution 2017-06-07T00:00:00-07:00 2017-06-07T00:00:00-07:00 2017-11747 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-06-07/pdf/2017-11747.pdf https://regulations.justia.com/regulations/fedreg/2017/06/07/2017-11746.html Notice - 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 Resolution 2017-06-07T00:00:00-07:00 2017-06-07T00:00:00-07:00 2017-11746 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-06-07/pdf/2017-11746.pdf https://regulations.justia.com/regulations/fedreg/2017/06/07/2017-11745.html Notice - 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 Resolution 2017-06-07T00:00:00-07:00 2017-06-07T00:00:00-07:00 2017-11745 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-06-07/pdf/2017-11745.pdf https://regulations.justia.com/regulations/fedreg/2017/06/07/2017-11744.html Notice - 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 Resolution 2017-06-07T00:00:00-07:00 2017-06-07T00:00:00-07:00 2017-11744 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-06-07/pdf/2017-11744.pdf https://regulations.justia.com/regulations/fedreg/2017/06/07/2017-11743.html Notice - 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 Resolution 2017-06-07T00:00:00-07:00 2017-06-07T00:00:00-07:00 2017-11743 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-06-07/pdf/2017-11743.pdf https://regulations.justia.com/regulations/fedreg/2017/06/07/2017-11742.html Notice - 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 Members 2017-06-07T00:00:00-07:00 2017-06-07T00:00:00-07:00 2017-11742 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-06-07/pdf/2017-11742.pdf https://regulations.justia.com/regulations/fedreg/2017/06/07/2017-11728.html Notice - Partners Group (USA) Inc., et al. 2017-06-07T00:00:00-07:00 2017-06-07T00:00:00-07:00 2017-11728 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-06-07/pdf/2017-11728.pdf https://regulations.justia.com/regulations/fedreg/2017/06/06/2017-11769.html Notice - Sunshine Act Meeting 2017-06-06T00:00:00-07:00 2017-06-06T00:00:00-07:00 2017-11769 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-06-06/pdf/2017-11769.pdf https://regulations.justia.com/regulations/fedreg/2017/06/06/2017-11612.html Notice - 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, 2017 2017-06-06T00:00:00-07:00 2017-06-06T00:00:00-07:00 2017-11612 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-06-06/pdf/2017-11612.pdf https://regulations.justia.com/regulations/fedreg/2017/06/06/2017-11611.html Notice - 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 Increments 2017-06-06T00:00:00-07:00 2017-06-06T00:00:00-07:00 2017-11611 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-06-06/pdf/2017-11611.pdf https://regulations.justia.com/regulations/fedreg/2017/06/06/2017-11610.html Notice - 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 Increments 2017-06-06T00:00:00-07:00 2017-06-06T00:00:00-07:00 2017-11610 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-06-06/pdf/2017-11610.pdf https://regulations.justia.com/regulations/fedreg/2017/06/06/2017-11609.html Notice - 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 Date 2017-06-06T00:00:00-07:00 2017-06-06T00:00:00-07:00 2017-11609 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-06-06/pdf/2017-11609.pdf https://regulations.justia.com/regulations/fedreg/2017/06/06/2017-11608.html Notice - Self-Regulatory Organizations; NASDAQ BX, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Chapter VI, Section 5 2017-06-06T00:00:00-07:00 2017-06-06T00:00:00-07:00 2017-11608 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-06-06/pdf/2017-11608.pdf https://regulations.justia.com/regulations/fedreg/2017/06/06/2017-11607.html Notice - 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 Increments 2017-06-06T00:00:00-07:00 2017-06-06T00:00:00-07:00 2017-11607 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-06-06/pdf/2017-11607.pdf https://regulations.justia.com/regulations/fedreg/2017/06/06/2017-11606.html Notice - 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. 2017-06-06T00:00:00-07:00 2017-06-06T00:00:00-07:00 2017-11606 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-06-06/pdf/2017-11606.pdf https://regulations.justia.com/regulations/fedreg/2017/06/06/2017-11605.html Notice - 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. 2017-06-06T00:00:00-07:00 2017-06-06T00:00:00-07:00 2017-11605 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-06-06/pdf/2017-11605.pdf https://regulations.justia.com/regulations/fedreg/2017/06/06/2017-11604.html Notice - Self-Regulatory Organizations; NASDAQ PHLX LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Openings in Options Rule 2017-06-06T00:00:00-07:00 2017-06-06T00:00:00-07:00 2017-11604 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-06-06/pdf/2017-11604.pdf https://regulations.justia.com/regulations/fedreg/2017/06/06/2017-11603.html Notice - 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 Framework 2017-06-06T00:00:00-07:00 2017-06-06T00:00:00-07:00 2017-11603 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-06-06/pdf/2017-11603.pdf https://regulations.justia.com/regulations/fedreg/2017/06/06/2017-11580.html Notice - 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 Plan 2017-06-06T00:00:00-07:00 2017-06-06T00:00:00-07:00 2017-11580 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-06-06/pdf/2017-11580.pdf https://regulations.justia.com/regulations/fedreg/2017/06/06/2017-11505.html Notice - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Rule 5735 2017-06-06T00:00:00-07:00 2017-06-06T00:00:00-07:00 2017-11505 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-06-06/pdf/2017-11505.pdf https://regulations.justia.com/regulations/fedreg/2017/06/05/2017-11555.html Notice - Order Making Fiscal Year 2017 Annual Adjustments to Transaction Fee Rates 2017-06-05T00:00:00-07:00 2017-06-05T00:00:00-07:00 2017-11555 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-06-05/pdf/2017-11555.pdf https://regulations.justia.com/regulations/fedreg/2017/06/05/2017-11510.html Notice - Dreyfus ETF Trust 2017-06-05T00:00:00-07:00 2017-06-05T00:00:00-07:00 2017-11510 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-06-05/pdf/2017-11510.pdf https://regulations.justia.com/regulations/fedreg/2017/06/05/2017-11509.html Notice - Self-Regulatory Organizations; Nasdaq MRX, LLC; Notice of Filing of Proposed Rule Change in Connection With a System Migration to Nasdaq INET Technology 2017-06-05T00:00:00-07:00 2017-06-05T00:00:00-07:00 2017-11509 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-06-05/pdf/2017-11509.pdf https://regulations.justia.com/regulations/fedreg/2017/06/05/2017-11508.html Notice - Self-Regulatory Organizations; NASDAQ BX, Inc.; Notice of Filing of Proposed Rule Change To Eliminate Requirements That Will Be Duplicative of CAT 2017-06-05T00:00:00-07:00 2017-06-05T00:00:00-07:00 2017-11508 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-06-05/pdf/2017-11508.pdf https://regulations.justia.com/regulations/fedreg/2017/06/05/2017-11507.html Notice - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing of Proposed Rule Change To Eliminate Requirements That Will Be Duplicative of CAT 2017-06-05T00:00:00-07:00 2017-06-05T00:00:00-07:00 2017-11507 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-06-05/pdf/2017-11507.pdf https://regulations.justia.com/regulations/fedreg/2017/06/05/2017-11506.html Notice - Self-Regulatory Organizations; NASDAQ PHLX LLC; Notice of Filing of Proposed Rule Change To Eliminate Requirements That Will Be Duplicative of CAT 2017-06-05T00:00:00-07:00 2017-06-05T00:00:00-07:00 2017-11506 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-06-05/pdf/2017-11506.pdf https://regulations.justia.com/regulations/fedreg/2017/06/05/2017-11504.html Notice - 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. 2017-06-05T00:00:00-07:00 2017-06-05T00:00:00-07:00 2017-11504 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-06-05/pdf/2017-11504.pdf https://regulations.justia.com/regulations/fedreg/2017/06/05/2017-11503.html Notice - Self-Regulatory Organizations; Nasdaq GEMX, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the Schedule of Fees 2017-06-05T00:00:00-07:00 2017-06-05T00:00:00-07:00 2017-11503 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-06-05/pdf/2017-11503.pdf https://regulations.justia.com/regulations/fedreg/2017/06/05/2017-11502.html Notice - 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 8313 2017-06-05T00:00:00-07:00 2017-06-05T00:00:00-07:00 2017-11502 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-06-05/pdf/2017-11502.pdf https://regulations.justia.com/regulations/fedreg/2017/06/05/2017-11501.html Notice - 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 10.15 2017-06-05T00:00:00-07:00 2017-06-05T00:00:00-07:00 2017-11501 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-06-05/pdf/2017-11501.pdf https://regulations.justia.com/regulations/fedreg/2017/06/05/2017-11500.html Notice - 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 File 2017-06-05T00:00:00-07:00 2017-06-05T00:00:00-07:00 2017-11500 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-06-05/pdf/2017-11500.pdf https://regulations.justia.com/regulations/fedreg/2017/06/05/2017-11499.html Notice - 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 8313 2017-06-05T00:00:00-07:00 2017-06-05T00:00:00-07:00 2017-11499 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-06-05/pdf/2017-11499.pdf https://regulations.justia.com/regulations/fedreg/2017/06/02/2017-11471.html Notice - 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 Rulebook 2017-06-02T00:00:00-07:00 2017-06-02T00:00:00-07:00 2017-11471 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-06-02/pdf/2017-11471.pdf https://regulations.justia.com/regulations/fedreg/2017/06/02/2017-11466.html Notice - Proposed Collection; Comment Request 2017-06-02T00:00:00-07:00 2017-06-02T00:00:00-07:00 2017-11466 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-06-02/pdf/2017-11466.pdf https://regulations.justia.com/regulations/fedreg/2017/06/02/2017-11402.html Notice - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing of Proposed Rule Change Relating to the First Trust Municipal High Income ETF 2017-06-02T00:00:00-07:00 2017-06-02T00:00:00-07:00 2017-11402 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-06-02/pdf/2017-11402.pdf https://regulations.justia.com/regulations/fedreg/2017/06/02/2017-11401.html Notice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing of Proposed Rule Change To Eliminate Requirements That Will Be Duplicative of CAT 2017-06-02T00:00:00-07:00 2017-06-02T00:00:00-07:00 2017-11401 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-06-02/pdf/2017-11401.pdf https://regulations.justia.com/regulations/fedreg/2017/06/02/2017-11400.html Notice - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing of Proposed Rule Change To Eliminate Requirements That Will Be Duplicative of CAT 2017-06-02T00:00:00-07:00 2017-06-02T00:00:00-07:00 2017-11400 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-06-02/pdf/2017-11400.pdf https://regulations.justia.com/regulations/fedreg/2017/06/01/2017-11374.html Notice - Self-Regulatory Organizations; C2 Options Exchange, Incorporated; Notice of Filing of Proposed Rule Change To Eliminate Requirements That Will Be Duplicative of CAT 2017-06-01T00:00:00-07:00 2017-06-01T00:00:00-07:00 2017-11374 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-06-01/pdf/2017-11374.pdf https://regulations.justia.com/regulations/fedreg/2017/06/01/2017-11373.html Notice - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Filing of Proposed Rule Change To Eliminate Requirements That Will Be Duplicative of CAT 2017-06-01T00:00:00-07:00 2017-06-01T00:00:00-07:00 2017-11373 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-06-01/pdf/2017-11373.pdf https://regulations.justia.com/regulations/fedreg/2017/06/01/2017-11372.html Notice - Self-Regulatory Organizations; Bats BZX Exchange, Inc.; Notice of Filing of Proposed Rule Change To Eliminate Requirements That Will Be Duplicative of CAT 2017-06-01T00:00:00-07:00 2017-06-01T00:00:00-07:00 2017-11372 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-06-01/pdf/2017-11372.pdf https://regulations.justia.com/regulations/fedreg/2017/06/01/2017-11371.html Notice - Self-Regulatory Organizations; Bats EDGX Exchange, Inc.; Notice of Filing of Proposed Rule Change To Eliminate Requirements That Will Be Duplicative of CAT 2017-06-01T00:00:00-07:00 2017-06-01T00:00:00-07:00 2017-11371 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-06-01/pdf/2017-11371.pdf https://regulations.justia.com/regulations/fedreg/2017/06/01/2017-11370.html Notice - Self-Regulatory Organizations; NYSE MKT LLC; Notice of Filing of Proposed Rule Change To Eliminate Requirements That Will Be Duplicative of CAT 2017-06-01T00:00:00-07:00 2017-06-01T00:00:00-07:00 2017-11370 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-06-01/pdf/2017-11370.pdf https://regulations.justia.com/regulations/fedreg/2017/06/01/2017-11369.html Notice - Self-Regulatory Organizations; NYSE MKT LLC; Notice of Filing of Proposed Rule Change To Eliminate Requirements That Will Be Duplicative of CAT 2017-06-01T00:00:00-07:00 2017-06-01T00:00:00-07:00 2017-11369 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-06-01/pdf/2017-11369.pdf https://regulations.justia.com/regulations/fedreg/2017/06/01/2017-11368.html Notice - Self-Regulatory Organizations; MIAX PEARL, LLC; Notice of Filing of Proposed Rule Change To Eliminate Requirements That Will Be Duplicative of CAT 2017-06-01T00:00:00-07:00 2017-06-01T00:00:00-07:00 2017-11368 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-06-01/pdf/2017-11368.pdf https://regulations.justia.com/regulations/fedreg/2017/06/01/2017-11367.html Notice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing of Proposed Rule Change To Eliminate Requirements That Will Be Duplicative of CAT 2017-06-01T00:00:00-07:00 2017-06-01T00:00:00-07:00 2017-11367 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-06-01/pdf/2017-11367.pdf https://regulations.justia.com/regulations/fedreg/2017/06/01/2017-11366.html Notice - Self-Regulatory Organizations; Miami International Securities Exchange, LLC; Notice of Filing of Proposed Rule Change To Eliminate Requirements That Will Be Duplicative of CAT 2017-06-01T00:00:00-07:00 2017-06-01T00:00:00-07:00 2017-11366 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-06-01/pdf/2017-11366.pdf https://regulations.justia.com/regulations/fedreg/2017/06/01/2017-11365.html Notice - Self-Regulatory Organizations; BOX Options Exchange LLC; Notice of Filing of Proposed Rule Change To Eliminate Requirements That Will Be Duplicative of CAT 2017-06-01T00:00:00-07:00 2017-06-01T00:00:00-07:00 2017-11365 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-06-01/pdf/2017-11365.pdf https://regulations.justia.com/regulations/fedreg/2017/06/01/2017-11364.html Notice - Self-Regulatory Organizations; Investors Exchange LLC; Notice of Filing of Proposed Rule Change To Eliminate Requirements That Will Be Duplicative of CAT 2017-06-01T00:00:00-07:00 2017-06-01T00:00:00-07:00 2017-11364 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-06-01/pdf/2017-11364.pdf https://regulations.justia.com/regulations/fedreg/2017/06/01/2017-11363.html Notice - Self-Regulatory Organizations; Nasdaq ISE, LLC; Notice of Filing of Proposed Rule Change To Eliminate Requirements That Will Be Duplicative of CAT 2017-06-01T00:00:00-07:00 2017-06-01T00:00:00-07:00 2017-11363 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-06-01/pdf/2017-11363.pdf https://regulations.justia.com/regulations/fedreg/2017/06/01/2017-11362.html Notice - 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 Trail 2017-06-01T00:00:00-07:00 2017-06-01T00:00:00-07:00 2017-11362 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-06-01/pdf/2017-11362.pdf https://regulations.justia.com/regulations/fedreg/2017/06/01/2017-11361.html Notice - 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 Trail 2017-06-01T00:00:00-07:00 2017-06-01T00:00:00-07:00 2017-11361 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-06-01/pdf/2017-11361.pdf https://regulations.justia.com/regulations/fedreg/2017/06/01/2017-11360.html Notice - 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. 2017-06-01T00:00:00-07:00 2017-06-01T00:00:00-07:00 2017-11360 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-06-01/pdf/2017-11360.pdf