Federal Register Recent Federal Regulation Documents - Justia Regulation Tracker - Justia Regulations Trackerhttps://regulations.justia.com/regulations/fedreg/agencies/securities-and-exchange-commission/2017/07?limit=200®isters=between&min-day=1&max-day=31&mode=atom2024-04-23T22:59:12-07:00Justia Inchttps://www.justia.com/Justia Regulations Trackerhttps://regulations.justia.com/images/justiafedregulations.gifCopyright 2011 Justia Inchttps://regulations.justia.com/regulations/fedreg/2017/07/31/2017-16013.htmlNotice - Capital Southwest Corporation2017-07-31T00:00:00-07:002017-07-31T00:00:00-07:002017-16013Noticehttps://www.gpo.gov/fdsys/pkg/FR-2017-07-31/pdf/2017-16013.pdfhttps://regulations.justia.com/regulations/fedreg/2017/07/31/2017-16000.htmlNotice - Consolidated Tape Association; Notice of Filing and Immediate Effectiveness of the Twenty-Eight Substantive Amendment to the Second Restatement of the CTA Plan and the Twentieth Amendment to the Restated CQ Plan2017-07-31T00:00:00-07:002017-07-31T00:00:00-07:002017-16000Noticehttps://www.gpo.gov/fdsys/pkg/FR-2017-07-31/pdf/2017-16000.pdfhttps://regulations.justia.com/regulations/fedreg/2017/07/31/2017-15999.htmlNotice - Joint Industry Plan; Notice of Filing and Immediate Effectiveness of the Thirty-Ninth Amendment to the Joint Self-Regulatory Organization Plan Governing the Collection, Consolidation and Dissemination of Quotation and Transaction Information for Nasdaq-Listed Securities Traded on Exchanges on an Unlisted Trading Privileges Basis2017-07-31T00:00:00-07:002017-07-31T00:00:00-07:002017-15999Noticehttps://www.gpo.gov/fdsys/pkg/FR-2017-07-31/pdf/2017-15999.pdfhttps://regulations.justia.com/regulations/fedreg/2017/07/31/2017-15996.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.2017-07-31T00:00:00-07:002017-07-31T00:00:00-07:002017-15996Noticehttps://www.gpo.gov/fdsys/pkg/FR-2017-07-31/pdf/2017-15996.pdfhttps://regulations.justia.com/regulations/fedreg/2017/07/31/2017-15995.htmlNotice - Self-Regulatory Organizations; Nasdaq MRX, LLC; Order Approving Proposed Rule Change, as Modified by Amendment No. 2, To Amend the Exchange Opening Process2017-07-31T00:00:00-07:002017-07-31T00:00:00-07:002017-15995Noticehttps://www.gpo.gov/fdsys/pkg/FR-2017-07-31/pdf/2017-15995.pdfhttps://regulations.justia.com/regulations/fedreg/2017/07/31/2017-15994.htmlNotice - Self-Regulatory Organizations; Nasdaq MRX, LLC; Order Approving Proposed Rule Change To Amend Various Rules in Connection With a System Migration to Nasdaq INET Technology2017-07-31T00:00:00-07:002017-07-31T00:00:00-07:002017-15994Noticehttps://www.gpo.gov/fdsys/pkg/FR-2017-07-31/pdf/2017-15994.pdfhttps://regulations.justia.com/regulations/fedreg/2017/07/31/2017-15993.htmlNotice - Self-Regulatory Organizations; National Securities Clearing Corporation; Notice of Filing of a Proposed Rule Change To Expand the Application of the Family-Issued Securities Charge2017-07-31T00:00:00-07:002017-07-31T00:00:00-07:002017-15993Noticehttps://www.gpo.gov/fdsys/pkg/FR-2017-07-31/pdf/2017-15993.pdfhttps://regulations.justia.com/regulations/fedreg/2017/07/31/2017-15992.htmlNotice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Designation of a Longer Period for Commission Action on Proceedings To Determine Whether To Approve or Disapprove a Proposed Rule Change, as Modified by Amendment No. 2, Relating to the Listing and Trading of Shares of the Bitcoin Investment Trust Under NYSE Arca Equities Rule 8.2012017-07-31T00:00:00-07:002017-07-31T00:00:00-07:002017-15992Noticehttps://www.gpo.gov/fdsys/pkg/FR-2017-07-31/pdf/2017-15992.pdfhttps://regulations.justia.com/regulations/fedreg/2017/07/28/2017-15910.htmlNotice - Self-Regulatory Organizations; NYSE Arca, Inc.; Order Approving a Proposed Rule Change To Amend NYSE Arca Equities Rule 13.2, Liability of Corporation2017-07-28T00:00:00-07:002017-07-28T00:00:00-07:002017-15910Noticehttps://www.gpo.gov/fdsys/pkg/FR-2017-07-28/pdf/2017-15910.pdfhttps://regulations.justia.com/regulations/fedreg/2017/07/28/2017-15909.htmlNotice - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing of a Proposed Rule Change Relating to the Definition of Non-Public Arbitrator2017-07-28T00:00:00-07:002017-07-28T00:00:00-07:002017-15909Noticehttps://www.gpo.gov/fdsys/pkg/FR-2017-07-28/pdf/2017-15909.pdfhttps://regulations.justia.com/regulations/fedreg/2017/07/28/2017-15908.htmlNotice - Self-Regulatory Organizations; Investors Exchange LLC; Notice of Filing of Amendment No. 3 and Order Granting Accelerated Approval of Proposed Rule Change, as Modified by Amendment No. 3, To Modify the Manner in Which the Exchange Opens Trading for Non-IEX-Listed Securities2017-07-28T00:00:00-07:002017-07-28T00:00:00-07:002017-15908Noticehttps://www.gpo.gov/fdsys/pkg/FR-2017-07-28/pdf/2017-15908.pdfhttps://regulations.justia.com/regulations/fedreg/2017/07/28/2017-15907.htmlNotice - Self-Regulatory Organizations; The Depository Trust Company; National Securities Clearing Corporation; Fixed Income Clearing Corporation; Notice of Filing Amendment No. 2, Notice of Filing Amendment No. 3, and Order Instituting Proceedings To Determine Whether To Approve or Disapprove Proposed Rule Changes, as Previously Modified by Amendment No. 1, To Adopt the Clearing Agency Liquidity Risk Management Framework2017-07-28T00:00:00-07:002017-07-28T00:00:00-07:002017-15907Noticehttps://www.gpo.gov/fdsys/pkg/FR-2017-07-28/pdf/2017-15907.pdfhttps://regulations.justia.com/regulations/fedreg/2017/07/28/2017-15906.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 404, 506, 806, and 17012017-07-28T00:00:00-07:002017-07-28T00:00:00-07:002017-15906Noticehttps://www.gpo.gov/fdsys/pkg/FR-2017-07-28/pdf/2017-15906.pdfhttps://regulations.justia.com/regulations/fedreg/2017/07/28/2017-15905.htmlNotice - Self-Regulatory Organizations; The Depository Trust Company; Fixed Income Clearing Corporation; National Securities Clearing Corporation; Notice of Filing Amendment No. 1 and Order Instituting Proceedings to Determine Whether to Approve or Disapprove Proposed Rule Changes to Adopt the Clearing Agency Stress Testing Framework (Market Risk)2017-07-28T00:00:00-07:002017-07-28T00:00:00-07:002017-15905Noticehttps://www.gpo.gov/fdsys/pkg/FR-2017-07-28/pdf/2017-15905.pdfhttps://regulations.justia.com/regulations/fedreg/2017/07/28/2017-15904.htmlNotice - Self-Regulatory Organizations; Bats BZX Exchange, Inc.; Notice of Filing of a Proposed Rule Change to Rule 14.11(c), Index Fund Shares, To List and Trade Shares of the Aptus Fortified Value ETF, a Series of ETF Series Solutions2017-07-28T00:00:00-07:002017-07-28T00:00:00-07:002017-15904Noticehttps://www.gpo.gov/fdsys/pkg/FR-2017-07-28/pdf/2017-15904.pdfhttps://regulations.justia.com/regulations/fedreg/2017/07/28/2017-15862.htmlRule - Adoption of Updated EDGAR Filer Manual2017-07-28T00:00:00-07:002017-07-28T00:00:00-07:002017-15862Rulehttps://www.gpo.gov/fdsys/pkg/FR-2017-07-28/pdf/2017-15862.pdfhttps://regulations.justia.com/regulations/fedreg/2017/07/28/2017-15718.htmlNotice - Public Company Accounting Oversight Board; Notice of Filing of Proposed Rules on the Auditor's Report on an Audit of Financial Statements When the Auditor Expresses an Unqualified Opinion, and Departures From Unqualified Opinions and Other Reporting Circumstances, and Related Amendments to Auditing Standards2017-07-28T00:00:00-07:002017-07-28T00:00:00-07:002017-15718Noticehttps://www.gpo.gov/fdsys/pkg/FR-2017-07-28/pdf/2017-15718.pdfhttps://regulations.justia.com/regulations/fedreg/2017/07/27/2017-15779.htmlNotice - Submission for OMB Review; Comment Request2017-07-27T00:00:00-07:002017-07-27T00:00:00-07:002017-15779Noticehttps://www.gpo.gov/fdsys/pkg/FR-2017-07-27/pdf/2017-15779.pdfhttps://regulations.justia.com/regulations/fedreg/2017/07/27/2017-15775.htmlNotice - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing of Proposed Rule Change To Amend Exchange Rules 4702 and 4754 To Enhance the Nasdaq Closing Cross2017-07-27T00:00:00-07:002017-07-27T00:00:00-07:002017-15775Noticehttps://www.gpo.gov/fdsys/pkg/FR-2017-07-27/pdf/2017-15775.pdfhttps://regulations.justia.com/regulations/fedreg/2017/07/27/2017-15774.htmlNotice - Self-Regulatory Organizations; ICE Clear Credit LLC; Order Approving Proposed Rule Change Relating to ICC's End-of-Day Price Discovery Policies and Procedures2017-07-27T00:00:00-07:002017-07-27T00:00:00-07:002017-15774Noticehttps://www.gpo.gov/fdsys/pkg/FR-2017-07-27/pdf/2017-15774.pdfhttps://regulations.justia.com/regulations/fedreg/2017/07/27/2017-15773.htmlNotice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to a Change in the Size of a Creation Unit Applicable to Shares of the PIMCO Low Duration Active Exchange-Traded Fund2017-07-27T00:00:00-07:002017-07-27T00:00:00-07:002017-15773Noticehttps://www.gpo.gov/fdsys/pkg/FR-2017-07-27/pdf/2017-15773.pdfhttps://regulations.justia.com/regulations/fedreg/2017/07/27/2017-15772.htmlNotice - Self-Regulatory Organizations; MIAX PEARL, LLC ; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Rule 404, Series of Option Contracts Open for Trading2017-07-27T00:00:00-07:002017-07-27T00:00:00-07:002017-15772Noticehttps://www.gpo.gov/fdsys/pkg/FR-2017-07-27/pdf/2017-15772.pdfhttps://regulations.justia.com/regulations/fedreg/2017/07/27/2017-15771.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 404, Series of Option Contracts Open for Trading2017-07-27T00:00:00-07:002017-07-27T00:00:00-07:002017-15771Noticehttps://www.gpo.gov/fdsys/pkg/FR-2017-07-27/pdf/2017-15771.pdfhttps://regulations.justia.com/regulations/fedreg/2017/07/27/2017-15768.htmlNotice - Joint Industry Plan; Order of Summary Abrogation 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.2017-07-27T00:00:00-07:002017-07-27T00:00:00-07:002017-15768Noticehttps://www.gpo.gov/fdsys/pkg/FR-2017-07-27/pdf/2017-15768.pdfhttps://regulations.justia.com/regulations/fedreg/2017/07/26/2017-15712.htmlNotice - Point Bridge Capital, LLC, et al.2017-07-26T00:00:00-07:002017-07-26T00:00:00-07:002017-15712Noticehttps://www.gpo.gov/fdsys/pkg/FR-2017-07-26/pdf/2017-15712.pdfhttps://regulations.justia.com/regulations/fedreg/2017/07/26/2017-15637.htmlNotice - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Qualification Criteria Under the Qualified Market Maker Program at Rule 70142017-07-26T00:00:00-07:002017-07-26T00:00:00-07:002017-15637Noticehttps://www.gpo.gov/fdsys/pkg/FR-2017-07-26/pdf/2017-15637.pdfhttps://regulations.justia.com/regulations/fedreg/2017/07/26/2017-15636.htmlNotice - Self-Regulatory Organizations; Nasdaq ISE, LLC; Notice of Designation of a Longer Period for Commission Action on a Proposed Rule Change To Adopt Rule 9122017-07-26T00:00:00-07:002017-07-26T00:00:00-07:002017-15636Noticehttps://www.gpo.gov/fdsys/pkg/FR-2017-07-26/pdf/2017-15636.pdfhttps://regulations.justia.com/regulations/fedreg/2017/07/26/2017-15635.htmlNotice - Self-Regulatory Organizations; Nasdaq GEMX, LLC; Notice of Designation of a Longer Period for Commission Action on a Proposed Rule Change To Adopt Rule 9122017-07-26T00:00:00-07:002017-07-26T00:00:00-07:002017-15635Noticehttps://www.gpo.gov/fdsys/pkg/FR-2017-07-26/pdf/2017-15635.pdfhttps://regulations.justia.com/regulations/fedreg/2017/07/26/2017-15634.htmlNotice - Self-Regulatory Organizations; NASDAQ BX, Inc.; Notice of Designation of a Longer Period for Commission Action on a Proposed Rule Change To Adopt Rule 6896 and Chapter IX, Section 92017-07-26T00:00:00-07:002017-07-26T00:00:00-07:002017-15634Noticehttps://www.gpo.gov/fdsys/pkg/FR-2017-07-26/pdf/2017-15634.pdfhttps://regulations.justia.com/regulations/fedreg/2017/07/26/2017-15633.htmlNotice - Self-Regulatory Organizations; Nasdaq MRX, LLC; Notice of Designation of a Longer Period for Commission Action on a Proposed Rule Change To Adopt Rule 9122017-07-26T00:00:00-07:002017-07-26T00:00:00-07:002017-15633Noticehttps://www.gpo.gov/fdsys/pkg/FR-2017-07-26/pdf/2017-15633.pdfhttps://regulations.justia.com/regulations/fedreg/2017/07/26/2017-15632.htmlNotice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Designation of a Longer Period for Commission Action on Proceedings To Determine Whether To Approve or Disapprove a Proposed Rule Change, as Modified by Amendment No. 3, Relating to the Listing and Trading of Shares of the USCF Canadian Crude Oil Index Fund Under NYSE Arca Equities Rule 8.2002017-07-26T00:00:00-07:002017-07-26T00:00:00-07:002017-15632Noticehttps://www.gpo.gov/fdsys/pkg/FR-2017-07-26/pdf/2017-15632.pdfhttps://regulations.justia.com/regulations/fedreg/2017/07/26/2017-15631.htmlNotice - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Eliminate Non-Regular Way Trading on the Exchange2017-07-26T00:00:00-07:002017-07-26T00:00:00-07:002017-15631Noticehttps://www.gpo.gov/fdsys/pkg/FR-2017-07-26/pdf/2017-15631.pdfhttps://regulations.justia.com/regulations/fedreg/2017/07/26/2017-15630.htmlNotice - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Order Granting Approval of Proposed Rule Change Relating to Disaster Recovery2017-07-26T00:00:00-07:002017-07-26T00:00:00-07:002017-15630Noticehttps://www.gpo.gov/fdsys/pkg/FR-2017-07-26/pdf/2017-15630.pdfhttps://regulations.justia.com/regulations/fedreg/2017/07/26/2017-15629.htmlNotice - Self-Regulatory Organizations; Nasdaq GEMX, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Regarding Market Maker Quotations2017-07-26T00:00:00-07:002017-07-26T00:00:00-07:002017-15629Noticehttps://www.gpo.gov/fdsys/pkg/FR-2017-07-26/pdf/2017-15629.pdfhttps://regulations.justia.com/regulations/fedreg/2017/07/25/2017-15628.htmlNotice - Sunshine Act Meeting2017-07-25T00:00:00-07:002017-07-25T00:00:00-07:002017-15628Noticehttps://www.gpo.gov/fdsys/pkg/FR-2017-07-25/pdf/2017-15628.pdfhttps://regulations.justia.com/regulations/fedreg/2017/07/25/2017-15627.htmlNotice - Sunshine Act Meeting2017-07-25T00:00:00-07:002017-07-25T00:00:00-07:002017-15627Noticehttps://www.gpo.gov/fdsys/pkg/FR-2017-07-25/pdf/2017-15627.pdfhttps://regulations.justia.com/regulations/fedreg/2017/07/25/2017-15530.htmlNotice - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Enhance Anti-Internalization Functionality2017-07-25T00:00:00-07:002017-07-25T00:00:00-07:002017-15530Noticehttps://www.gpo.gov/fdsys/pkg/FR-2017-07-25/pdf/2017-15530.pdfhttps://regulations.justia.com/regulations/fedreg/2017/07/25/2017-15529.htmlNotice - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to Updates for the CBOE Fees Schedule2017-07-25T00:00:00-07:002017-07-25T00:00:00-07:002017-15529Noticehttps://www.gpo.gov/fdsys/pkg/FR-2017-07-25/pdf/2017-15529.pdfhttps://regulations.justia.com/regulations/fedreg/2017/07/24/2017-15416.htmlNotice - Self-Regulatory Organizations; Miami International Securities Exchange, LLC; Notice of Designation of a Longer Period for Commission Action on a Proposed Rule Change To Adopt Exchange Rule 1713 Consolidated Audit Trail-Fee Dispute Resolution2017-07-24T00:00:00-07:002017-07-24T00:00:00-07:002017-15416Noticehttps://www.gpo.gov/fdsys/pkg/FR-2017-07-24/pdf/2017-15416.pdfhttps://regulations.justia.com/regulations/fedreg/2017/07/24/2017-15415.htmlNotice - Self-Regulatory Organizations; Investors Exchange LLC; Notice of Designation of a Longer Period for Commission Action on a Proposed Rule Change To Adopt Rule 15.130 To Establish the Procedures for Resolving Potential Disputes Related to CAT Fees Charged to Industry Members2017-07-24T00:00:00-07:002017-07-24T00:00:00-07:002017-15415Noticehttps://www.gpo.gov/fdsys/pkg/FR-2017-07-24/pdf/2017-15415.pdfhttps://regulations.justia.com/regulations/fedreg/2017/07/24/2017-15414.htmlNotice - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Designation of a Longer Period for Commission Action on a Proposed Rule Change To Adopt Rule 6896 and Chapter IX, Section 92017-07-24T00:00:00-07:002017-07-24T00:00:00-07:002017-15414Noticehttps://www.gpo.gov/fdsys/pkg/FR-2017-07-24/pdf/2017-15414.pdfhttps://regulations.justia.com/regulations/fedreg/2017/07/24/2017-15413.htmlNotice - Self-Regulatory Organizations; Bats BYX Exchange, Inc.; Notice of Designation of a Longer Period for Commission Action on a Proposed Rule Change To Adopt Rule 4.17, Consolidated Audit Trail-Fee Dispute Resolution2017-07-24T00:00:00-07:002017-07-24T00:00:00-07:002017-15413Noticehttps://www.gpo.gov/fdsys/pkg/FR-2017-07-24/pdf/2017-15413.pdfhttps://regulations.justia.com/regulations/fedreg/2017/07/24/2017-15412.htmlNotice - Self-Regulatory Organizations; Bats BZX Exchange, Inc.; Notice of Designation of a Longer Period for Commission Action on a Proposed Rule Change To Adopt Rule 4.17, Consolidated Audit Trail-Fee Dispute Resolution2017-07-24T00:00:00-07:002017-07-24T00:00:00-07:002017-15412Noticehttps://www.gpo.gov/fdsys/pkg/FR-2017-07-24/pdf/2017-15412.pdfhttps://regulations.justia.com/regulations/fedreg/2017/07/24/2017-15411.htmlNotice - Self-Regulatory Organizations; Bats EDGA Exchange, Inc.; Notice of Designation of a Longer Period for Commission Action on a Proposed Rule Change To Adopt Rule 4.17, Consolidated Audit Trail-Fee Dispute Resolution2017-07-24T00:00:00-07:002017-07-24T00:00:00-07:002017-15411Noticehttps://www.gpo.gov/fdsys/pkg/FR-2017-07-24/pdf/2017-15411.pdfhttps://regulations.justia.com/regulations/fedreg/2017/07/24/2017-15410.htmlNotice - Self-Regulatory Organizations; Bats EDGX Exchange, Inc.; Notice of Designation of a Longer Period for Commission Action on a Proposed Rule Change To Adopt Rule 4.17, Consolidated Audit Trail-Fee Dispute Resolution2017-07-24T00:00:00-07:002017-07-24T00:00:00-07:002017-15410Noticehttps://www.gpo.gov/fdsys/pkg/FR-2017-07-24/pdf/2017-15410.pdfhttps://regulations.justia.com/regulations/fedreg/2017/07/24/2017-15409.htmlNotice - Self-Regulatory Organizations; BOX Options Exchange LLC; Notice of Designation of a Longer Period for Commission Action on a 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 Members2017-07-24T00:00:00-07:002017-07-24T00:00:00-07:002017-15409Noticehttps://www.gpo.gov/fdsys/pkg/FR-2017-07-24/pdf/2017-15409.pdfhttps://regulations.justia.com/regulations/fedreg/2017/07/24/2017-15408.htmlNotice - Self-Regulatory Organizations; NASDAQ PHLX LLC; Notice of Designation of a Longer Period for Commission Action on a Proposed Rule Change To Adopt Rule 996A2017-07-24T00:00:00-07:002017-07-24T00:00:00-07:002017-15408Noticehttps://www.gpo.gov/fdsys/pkg/FR-2017-07-24/pdf/2017-15408.pdfhttps://regulations.justia.com/regulations/fedreg/2017/07/24/2017-15407.htmlNotice - Self-Regulatory Organizations; Chicago Stock Exchange, Inc.; Notice of Designation of a Longer Period for Commission Action on a Proposed Rule Change To Adopt Article 23, Rule 13, Consolidated Audit Trail-Fee Dispute Resolution2017-07-24T00:00:00-07:002017-07-24T00:00:00-07:002017-15407Noticehttps://www.gpo.gov/fdsys/pkg/FR-2017-07-24/pdf/2017-15407.pdfhttps://regulations.justia.com/regulations/fedreg/2017/07/24/2017-15406.htmlNotice - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Designation of a Longer Period for Commission Action on a Proposed Rule Change To Adopt Rule 6.97, Consolidated Audit Trail (CAT) Compliance Rule-Fee Dispute Resolution2017-07-24T00:00:00-07:002017-07-24T00:00:00-07:002017-15406Noticehttps://www.gpo.gov/fdsys/pkg/FR-2017-07-24/pdf/2017-15406.pdfhttps://regulations.justia.com/regulations/fedreg/2017/07/24/2017-15405.htmlNotice - Morningstar Funds Trust and Morningstar Investment Management LLC2017-07-24T00:00:00-07:002017-07-24T00:00:00-07:002017-15405Noticehttps://www.gpo.gov/fdsys/pkg/FR-2017-07-24/pdf/2017-15405.pdfhttps://regulations.justia.com/regulations/fedreg/2017/07/24/2017-15404.htmlNotice - Barings LLC, et al.2017-07-24T00:00:00-07:002017-07-24T00:00:00-07:002017-15404Noticehttps://www.gpo.gov/fdsys/pkg/FR-2017-07-24/pdf/2017-15404.pdfhttps://regulations.justia.com/regulations/fedreg/2017/07/21/2017-15349.htmlNotice - Proposed Collection; Comment Request2017-07-21T00:00:00-07:002017-07-21T00:00:00-07:002017-15349Noticehttps://www.gpo.gov/fdsys/pkg/FR-2017-07-21/pdf/2017-15349.pdfhttps://regulations.justia.com/regulations/fedreg/2017/07/21/2017-15321.htmlNotice - Self-Regulatory Organizations; BOX Options Exchange LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the BOX Fee Schedule2017-07-21T00:00:00-07:002017-07-21T00:00:00-07:002017-15321Noticehttps://www.gpo.gov/fdsys/pkg/FR-2017-07-21/pdf/2017-15321.pdfhttps://regulations.justia.com/regulations/fedreg/2017/07/21/2017-15320.htmlNotice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Designation of a Longer Period for Commission Action on Proceedings To Determine Whether To Approve or Disapprove a Proposed Rule Change Relating to the Listing and Trading of Shares of the EtherIndex Ether Trust Under NYSE Arca Equities Rule 8.2012017-07-21T00:00:00-07:002017-07-21T00:00:00-07:002017-15320Noticehttps://www.gpo.gov/fdsys/pkg/FR-2017-07-21/pdf/2017-15320.pdfhttps://regulations.justia.com/regulations/fedreg/2017/07/21/2017-15296.htmlNotice - Proposed Collection; Comment Request2017-07-21T00:00:00-07:002017-07-21T00:00:00-07:002017-15296Noticehttps://www.gpo.gov/fdsys/pkg/FR-2017-07-21/pdf/2017-15296.pdfhttps://regulations.justia.com/regulations/fedreg/2017/07/21/2017-15295.htmlNotice - Submission for OMB Review; Comment Request2017-07-21T00:00:00-07:002017-07-21T00:00:00-07:002017-15295Noticehttps://www.gpo.gov/fdsys/pkg/FR-2017-07-21/pdf/2017-15295.pdfhttps://regulations.justia.com/regulations/fedreg/2017/07/21/2017-15294.htmlNotice - Submission for OMB Review; Comment Request2017-07-21T00:00:00-07:002017-07-21T00:00:00-07:002017-15294Noticehttps://www.gpo.gov/fdsys/pkg/FR-2017-07-21/pdf/2017-15294.pdfhttps://regulations.justia.com/regulations/fedreg/2017/07/21/2017-15216.htmlProposed Rule - Covered Securities Pursuant to Section 18 of the Securities Act of 19332017-07-21T00:00:00-07:002017-07-21T00:00:00-07:002017-15216Proposed Rulehttps://www.gpo.gov/fdsys/pkg/FR-2017-07-21/pdf/2017-15216.pdfhttps://regulations.justia.com/regulations/fedreg/2017/07/20/2017-15197.htmlNotice - Self-Regulatory Organizations; Bats BZX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to BZX Rule 14.13, Company Listing Fees, To Amend the Fees Applicable to Securities Listed on the Exchange2017-07-20T00:00:00-07:002017-07-20T00:00:00-07:002017-15197Noticehttps://www.gpo.gov/fdsys/pkg/FR-2017-07-20/pdf/2017-15197.pdfhttps://regulations.justia.com/regulations/fedreg/2017/07/20/2017-15196.htmlNotice - Self-Regulatory Organizations; Nasdaq MRX, LLC; Notice of Designation of a Longer Period for Commission Action on Proposed Rule Change in Connection With a System Migration to Nasdaq INET Technology2017-07-20T00:00:00-07:002017-07-20T00:00:00-07:002017-15196Noticehttps://www.gpo.gov/fdsys/pkg/FR-2017-07-20/pdf/2017-15196.pdfhttps://regulations.justia.com/regulations/fedreg/2017/07/20/2017-15195.htmlNotice - Self-Regulatory Organizations; New York Stock Exchange LLC; NYSE MKT LLC; Order Disapproving Proposed Rule Changes Amending Exchange Rule 104 To Delete Subsection (g)(i)(A)(III), Which Prohibits Designated Market Makers From Engaging in Transactions, During the Last Ten Minutes of Trading Before the Close, That Establish a New High (Low) Price for the Day on the Exchange in an Assigned Security in Which the DMM Has a Long (Short) Position2017-07-20T00:00:00-07:002017-07-20T00:00:00-07:002017-15195Noticehttps://www.gpo.gov/fdsys/pkg/FR-2017-07-20/pdf/2017-15195.pdfhttps://regulations.justia.com/regulations/fedreg/2017/07/20/2017-15194.htmlNotice - Self-Regulatory Organizations: Investors Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Make a Clarifying Amendment to IEX Rule 16.1352017-07-20T00:00:00-07:002017-07-20T00:00:00-07:002017-15194Noticehttps://www.gpo.gov/fdsys/pkg/FR-2017-07-20/pdf/2017-15194.pdfhttps://regulations.justia.com/regulations/fedreg/2017/07/20/2017-15193.htmlNotice - Self-Regulatory Organizations; Nasdaq ISE, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Re-Letter Rulebook Definition2017-07-20T00:00:00-07:002017-07-20T00:00:00-07:002017-15193Noticehttps://www.gpo.gov/fdsys/pkg/FR-2017-07-20/pdf/2017-15193.pdfhttps://regulations.justia.com/regulations/fedreg/2017/07/20/2017-15192.htmlNotice - Self-Regulatory Organizations; Nasdaq GEMX, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Remove Outdated Language in the Exchange's Rulebook and Fee Schedule2017-07-20T00:00:00-07:002017-07-20T00:00:00-07:002017-15192Noticehttps://www.gpo.gov/fdsys/pkg/FR-2017-07-20/pdf/2017-15192.pdfhttps://regulations.justia.com/regulations/fedreg/2017/07/20/2017-15191.htmlNotice - Self-Regulatory Organizations; NYSE MKT LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Rule 7.38E To Specify the Ranking of an Odd Lot Order That Has a Display Price That Is Better Than Its Working Price2017-07-20T00:00:00-07:002017-07-20T00:00:00-07:002017-15191Noticehttps://www.gpo.gov/fdsys/pkg/FR-2017-07-20/pdf/2017-15191.pdfhttps://regulations.justia.com/regulations/fedreg/2017/07/20/2017-15190.htmlNotice - Self-Regulatory Organizations; Bats BZX Exchange, Inc.; Bats EDGX Exchange, Inc.; BOX Options Exchange LLC; C2 Options Exchange, Incorporated; Chicago Board Options Exchange, Incorporated; Financial Industry Regulatory Authority, Inc.; International Securities Exchange, LLC; Investors Exchange LLC; Miami International Securities Exchange LLC; MIAX PEARL, LLC; The NASDAQ Stock Market LLC; NASDAQ BX, Inc.; NASDAQ PHLX, Inc.; New York Stock Exchange LLC; NYSE Arca, Inc.; NYSE MKT LLC; Notice of Designation of Longer Period for Commission Action on Proposed Rule Changes To Eliminate Requirements That Will Be Duplicative of CAT2017-07-20T00:00:00-07:002017-07-20T00:00:00-07:002017-15190Noticehttps://www.gpo.gov/fdsys/pkg/FR-2017-07-20/pdf/2017-15190.pdfhttps://regulations.justia.com/regulations/fedreg/2017/07/20/2017-15189.htmlNotice - Self-Regulatory Organizations; Nasdaq ISE, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the Schedule of Fees in Connection With the ISE System Migration2017-07-20T00:00:00-07:002017-07-20T00:00:00-07:002017-15189Noticehttps://www.gpo.gov/fdsys/pkg/FR-2017-07-20/pdf/2017-15189.pdfhttps://regulations.justia.com/regulations/fedreg/2017/07/19/2017-15169.htmlNotice - Northern Lights Fund Trust and Toews Corporation2017-07-19T00:00:00-07:002017-07-19T00:00:00-07:002017-15169Noticehttps://www.gpo.gov/fdsys/pkg/FR-2017-07-19/pdf/2017-15169.pdfhttps://regulations.justia.com/regulations/fedreg/2017/07/19/2017-15102.htmlNotice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend NYSE Arca Equities Rule 7.38 To Specify the Ranking of an Odd Lot Order That Has a Display Price That Is Better Than Its Working Price2017-07-19T00:00:00-07:002017-07-19T00:00:00-07:002017-15102Noticehttps://www.gpo.gov/fdsys/pkg/FR-2017-07-19/pdf/2017-15102.pdfhttps://regulations.justia.com/regulations/fedreg/2017/07/19/2017-15101.htmlNotice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the NYSE Arca Options Fee Schedule2017-07-19T00:00:00-07:002017-07-19T00:00:00-07:002017-15101Noticehttps://www.gpo.gov/fdsys/pkg/FR-2017-07-19/pdf/2017-15101.pdfhttps://regulations.justia.com/regulations/fedreg/2017/07/19/2017-15100.htmlNotice - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Update Rule Cross-References and Make Non-Substantive Technical Changes to FINRA Rules2017-07-19T00:00:00-07:002017-07-19T00:00:00-07:002017-15100Noticehttps://www.gpo.gov/fdsys/pkg/FR-2017-07-19/pdf/2017-15100.pdfhttps://regulations.justia.com/regulations/fedreg/2017/07/19/2017-15099.htmlNotice - Self-Regulatory Organizations; NASDAQ BX, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Rule 70182017-07-19T00:00:00-07:002017-07-19T00:00:00-07:002017-15099Noticehttps://www.gpo.gov/fdsys/pkg/FR-2017-07-19/pdf/2017-15099.pdfhttps://regulations.justia.com/regulations/fedreg/2017/07/19/2017-15098.htmlNotice - Self-Regulatory Organizations; Bats EDGX Exchange, Inc.; Notice of Filing of a Proposed Rule Change To Adopt New Rules That Describe the Trading of Complex Orders on the Exchange for the Exchange's Equity Options Platform2017-07-19T00:00:00-07:002017-07-19T00:00:00-07:002017-15098Noticehttps://www.gpo.gov/fdsys/pkg/FR-2017-07-19/pdf/2017-15098.pdfhttps://regulations.justia.com/regulations/fedreg/2017/07/19/2017-15097.htmlNotice - Self-Regulatory Organizations; Nasdaq GEMX, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the Schedule of Fees To Assess Connectivity Fees2017-07-19T00:00:00-07:002017-07-19T00:00:00-07:002017-15097Noticehttps://www.gpo.gov/fdsys/pkg/FR-2017-07-19/pdf/2017-15097.pdfhttps://regulations.justia.com/regulations/fedreg/2017/07/18/2017-15104.htmlNotice - Sunshine Act Meeting2017-07-18T00:00:00-07:002017-07-18T00:00:00-07:002017-15104Noticehttps://www.gpo.gov/fdsys/pkg/FR-2017-07-18/pdf/2017-15104.pdfhttps://regulations.justia.com/regulations/fedreg/2017/07/18/2017-14987.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 Services To Adopt a New Pricing Tier, Tape A and Tape C Tier2017-07-18T00:00:00-07:002017-07-18T00:00:00-07:002017-14987Noticehttps://www.gpo.gov/fdsys/pkg/FR-2017-07-18/pdf/2017-14987.pdfhttps://regulations.justia.com/regulations/fedreg/2017/07/18/2017-14986.htmlNotice - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Increase the Trading Rights Fee2017-07-18T00:00:00-07:002017-07-18T00:00:00-07:002017-14986Noticehttps://www.gpo.gov/fdsys/pkg/FR-2017-07-18/pdf/2017-14986.pdfhttps://regulations.justia.com/regulations/fedreg/2017/07/18/2017-14985.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 Framework2017-07-18T00:00:00-07:002017-07-18T00:00:00-07:002017-14985Noticehttps://www.gpo.gov/fdsys/pkg/FR-2017-07-18/pdf/2017-14985.pdfhttps://regulations.justia.com/regulations/fedreg/2017/07/18/2017-14984.htmlNotice - Self-Regulatory Organizations; Miami International Securities Exchange LLC; Order Granting Approval of a Proposed Rule Change To Amend MIAX Options Rules 515, Execution of Orders and Quotes; 515A, MIAX Price Improvement Mechanism (“PRIME”) and PRIME Solicitation Mechanism; and 518, Complex Orders2017-07-18T00:00:00-07:002017-07-18T00:00:00-07:002017-14984Noticehttps://www.gpo.gov/fdsys/pkg/FR-2017-07-18/pdf/2017-14984.pdfhttps://regulations.justia.com/regulations/fedreg/2017/07/18/2017-14983.htmlNotice - Self-Regulatory Organizations; NYSE MKT LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Commentary .07 To Rule 904 to Extend the Pilot Program That Eliminated the Position Limits for Options on SPDR S&P 500 ETF2017-07-18T00:00:00-07:002017-07-18T00:00:00-07:002017-14983Noticehttps://www.gpo.gov/fdsys/pkg/FR-2017-07-18/pdf/2017-14983.pdfhttps://regulations.justia.com/regulations/fedreg/2017/07/18/2017-14982.htmlNotice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Commentary .06 to Rule 6.8 To Extend the Pilot Program That Eliminated the Position Limits for Options on SPDR S&P 500 ETF2017-07-18T00:00:00-07:002017-07-18T00:00:00-07:002017-14982Noticehttps://www.gpo.gov/fdsys/pkg/FR-2017-07-18/pdf/2017-14982.pdfhttps://regulations.justia.com/regulations/fedreg/2017/07/18/2017-14981.htmlNotice - Self-Regulatory Organizations; Nasdaq ISE, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Eliminate Fees and Rebates for Trades Executed on June 30, 2017 in INET Launch Symbols2017-07-18T00:00:00-07:002017-07-18T00:00:00-07:002017-14981Noticehttps://www.gpo.gov/fdsys/pkg/FR-2017-07-18/pdf/2017-14981.pdfhttps://regulations.justia.com/regulations/fedreg/2017/07/18/2017-14970.htmlNotice - Submission for OMB Review; Comment Request2017-07-18T00:00:00-07:002017-07-18T00:00:00-07:002017-14970Noticehttps://www.gpo.gov/fdsys/pkg/FR-2017-07-18/pdf/2017-14970.pdfhttps://regulations.justia.com/regulations/fedreg/2017/07/18/2017-14969.htmlNotice - Submission for OMB Review; Comment Request2017-07-18T00:00:00-07:002017-07-18T00:00:00-07:002017-14969Noticehttps://www.gpo.gov/fdsys/pkg/FR-2017-07-18/pdf/2017-14969.pdfhttps://regulations.justia.com/regulations/fedreg/2017/07/18/2017-14968.htmlNotice - Proposed Collection; Comment Request2017-07-18T00:00:00-07:002017-07-18T00:00:00-07:002017-14968Noticehttps://www.gpo.gov/fdsys/pkg/FR-2017-07-18/pdf/2017-14968.pdfhttps://regulations.justia.com/regulations/fedreg/2017/07/18/2017-14967.htmlNotice - Proposed Collection; Comment Request2017-07-18T00:00:00-07:002017-07-18T00:00:00-07:002017-14967Noticehttps://www.gpo.gov/fdsys/pkg/FR-2017-07-18/pdf/2017-14967.pdfhttps://regulations.justia.com/regulations/fedreg/2017/07/18/2017-14966.htmlNotice - Proposed Collection; Comment Request2017-07-18T00:00:00-07:002017-07-18T00:00:00-07:002017-14966Noticehttps://www.gpo.gov/fdsys/pkg/FR-2017-07-18/pdf/2017-14966.pdfhttps://regulations.justia.com/regulations/fedreg/2017/07/17/2017-14893.htmlNotice - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Designation of a Longer Period for Commission Action on a Proposed Rule Change, as Modified by Amendment No. 1, Relating to the First Trust Municipal High Income ETF2017-07-17T00:00:00-07:002017-07-17T00:00:00-07:002017-14893Noticehttps://www.gpo.gov/fdsys/pkg/FR-2017-07-17/pdf/2017-14893.pdfhttps://regulations.justia.com/regulations/fedreg/2017/07/17/2017-14892.htmlNotice - Self-Regulatory Organizations; Miami International Securities Exchange, LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change by Miami International Securities Exchange, LLC To Amend MIAX Options Rule 524, Reporting of Matched Trades to Clearing Corporation2017-07-17T00:00:00-07:002017-07-17T00:00:00-07:002017-14892Noticehttps://www.gpo.gov/fdsys/pkg/FR-2017-07-17/pdf/2017-14892.pdfhttps://regulations.justia.com/regulations/fedreg/2017/07/17/2017-14891.htmlNotice - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the Customer and Professional Penny Pilot Options Tier 8 Rebate To Add Liquidity2017-07-17T00:00:00-07:002017-07-17T00:00:00-07:002017-14891Noticehttps://www.gpo.gov/fdsys/pkg/FR-2017-07-17/pdf/2017-14891.pdfhttps://regulations.justia.com/regulations/fedreg/2017/07/17/2017-14890.htmlNotice - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Nasdaq Rule 5705(b) To Provide for the Inclusion of Cash in an Index or Portfolio Underlying a Series of Index Fund Shares2017-07-17T00:00:00-07:002017-07-17T00:00:00-07:002017-14890Noticehttps://www.gpo.gov/fdsys/pkg/FR-2017-07-17/pdf/2017-14890.pdfhttps://regulations.justia.com/regulations/fedreg/2017/07/17/2017-14889.htmlNotice - Self-Regulatory Organizations; MIAX PEARL, LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend MIAX PEARL Rule 524, Reporting of Matched Trades to Clearing Corporation2017-07-17T00:00:00-07:002017-07-17T00:00:00-07:002017-14889Noticehttps://www.gpo.gov/fdsys/pkg/FR-2017-07-17/pdf/2017-14889.pdfhttps://regulations.justia.com/regulations/fedreg/2017/07/17/2017-14888.htmlNotice - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Updating the CBOE Fees Schedule Concerning LVCX Fees2017-07-17T00:00:00-07:002017-07-17T00:00:00-07:002017-14888Noticehttps://www.gpo.gov/fdsys/pkg/FR-2017-07-17/pdf/2017-14888.pdfhttps://regulations.justia.com/regulations/fedreg/2017/07/17/2017-14887.htmlNotice - Self-Regulatory Organizations; NASDAQ PHLX LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Nasdaq Phlx Pricing Schedule, Section IX2017-07-17T00:00:00-07:002017-07-17T00:00:00-07:002017-14887Noticehttps://www.gpo.gov/fdsys/pkg/FR-2017-07-17/pdf/2017-14887.pdfhttps://regulations.justia.com/regulations/fedreg/2017/07/17/2017-14886.htmlNotice - Self-Regulatory Organizations; NASDAQ PHLX LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Regarding Quote Mitigation2017-07-17T00:00:00-07:002017-07-17T00:00:00-07:002017-14886Noticehttps://www.gpo.gov/fdsys/pkg/FR-2017-07-17/pdf/2017-14886.pdfhttps://regulations.justia.com/regulations/fedreg/2017/07/17/2017-14885.htmlNotice - Self-Regulatory Organizations; NYSE MKT LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Exchange Rules To Eliminate ALO and Day ISO Orders and Related Functionality, Provide That All Pegged Orders Would Be Non-Displayed Orders, Change References From “NYSE MKT” to “NYSE American,” and Add the Definition of “NYSE American Marketplace”2017-07-17T00:00:00-07:002017-07-17T00:00:00-07:002017-14885Noticehttps://www.gpo.gov/fdsys/pkg/FR-2017-07-17/pdf/2017-14885.pdfhttps://regulations.justia.com/regulations/fedreg/2017/07/17/2017-14884.htmlNotice - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Order Granting Approval of Proposed Rule Change To Make Available a New End-of-Day TRACE Transaction File2017-07-17T00:00:00-07:002017-07-17T00:00:00-07:002017-14884Noticehttps://www.gpo.gov/fdsys/pkg/FR-2017-07-17/pdf/2017-14884.pdfhttps://regulations.justia.com/regulations/fedreg/2017/07/14/2017-14777.htmlNotice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Designation of a Longer Period for Commission Action on a Proposed Rule Change for a New NYSE Arca Rule 11.6900 and a New NYSE Arca Equities Rule 6.6900 To Establish the Procedures for Resolving Potential Disputes Related to CAT Fees Charged to Industry Members2017-07-14T00:00:00-07:002017-07-14T00:00:00-07:002017-14777Noticehttps://www.gpo.gov/fdsys/pkg/FR-2017-07-14/pdf/2017-14777.pdfhttps://regulations.justia.com/regulations/fedreg/2017/07/14/2017-14776.htmlNotice - Self-Regulatory Organizations; NYSE MKT LLC; Notice of Designation of a Longer Period for Commission Action on a Proposed Rule Change To Adopt Rule 6900 To Establish the Procedures for Resolving Potential Disputes Related to CAT Fees Charged to Industry Members2017-07-14T00:00:00-07:002017-07-14T00:00:00-07:002017-14776Noticehttps://www.gpo.gov/fdsys/pkg/FR-2017-07-14/pdf/2017-14776.pdfhttps://regulations.justia.com/regulations/fedreg/2017/07/14/2017-14775.htmlNotice - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Designation of a Longer Period for Commission Action on a Proposed Rule Change To Adopt Rule 6900 To Establish the Procedures for Resolving Potential Disputes Related to CAT Fees Charged to Industry Members2017-07-14T00:00:00-07:002017-07-14T00:00:00-07:002017-14775Noticehttps://www.gpo.gov/fdsys/pkg/FR-2017-07-14/pdf/2017-14775.pdfhttps://regulations.justia.com/regulations/fedreg/2017/07/14/2017-14756.htmlNotice - Self-Regulatory Organizations; Nasdaq GEMX, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Specify an Exception to the Manner in Which Market Maker Immediate-or-Cancel Orders Will Be Handled2017-07-14T00:00:00-07:002017-07-14T00:00:00-07:002017-14756Noticehttps://www.gpo.gov/fdsys/pkg/FR-2017-07-14/pdf/2017-14756.pdfhttps://regulations.justia.com/regulations/fedreg/2017/07/14/2017-14755.htmlNotice - Self-Regulatory Organizations; Nasdaq ISE, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Priority Customer Taker Fees for Regular Orders in Select Symbols2017-07-14T00:00:00-07:002017-07-14T00:00:00-07:002017-14755Noticehttps://www.gpo.gov/fdsys/pkg/FR-2017-07-14/pdf/2017-14755.pdfhttps://regulations.justia.com/regulations/fedreg/2017/07/14/2017-14754.htmlNotice - Self-Regulatory Organizations; Nasdaq MRX, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Specify an Exception to the Manner in Which Market Maker Immediate-or-Cancel Orders Will Be Handled2017-07-14T00:00:00-07:002017-07-14T00:00:00-07:002017-14754Noticehttps://www.gpo.gov/fdsys/pkg/FR-2017-07-14/pdf/2017-14754.pdfhttps://regulations.justia.com/regulations/fedreg/2017/07/14/2017-14753.htmlNotice - Self-Regulatory Organizations; Nasdaq ISE, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Eliminate Fees and Rebates for Trades in KANG Executed on June 27-30, 20172017-07-14T00:00:00-07:002017-07-14T00:00:00-07:002017-14753Noticehttps://www.gpo.gov/fdsys/pkg/FR-2017-07-14/pdf/2017-14753.pdfhttps://regulations.justia.com/regulations/fedreg/2017/07/13/2017-14671.htmlNotice - Self-Regulatory Organizations; The Depository Trust Company; National Securities Clearing Corporation; Fixed Income Clearing Corporation; Order Approving Proposed Rule Changes, as Modified by Amendments No. 1, To Adopt the Clearing Agency Policy on Capital Requirements and the Clearing Agency Capital Replenishment Plan2017-07-13T00:00:00-07:002017-07-13T00:00:00-07:002017-14671Noticehttps://www.gpo.gov/fdsys/pkg/FR-2017-07-13/pdf/2017-14671.pdfhttps://regulations.justia.com/regulations/fedreg/2017/07/13/2017-14670.htmlNotice - Self-Regulatory Organizations; New York Stock Exchange LLC; NYSE MKT LLC; Order Granting Approval of Proposed Rule Changes, as Modified by Amendment No. 1, Amending NYSE Rule 36 and NYSE MKT Rule 36-Equities To Permit Exchange Floor Brokers To Use Non-Exchange Provided Telephones on the Floor2017-07-13T00:00:00-07:002017-07-13T00:00:00-07:002017-14670Noticehttps://www.gpo.gov/fdsys/pkg/FR-2017-07-13/pdf/2017-14670.pdfhttps://regulations.justia.com/regulations/fedreg/2017/07/13/2017-14669.htmlNotice - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing of Proposed Rule Change To Amend the Listed Company Manual To Adopt Initial and Continued Listing Standards for Subscription Receipts2017-07-13T00:00:00-07:002017-07-13T00:00:00-07:002017-14669Noticehttps://www.gpo.gov/fdsys/pkg/FR-2017-07-13/pdf/2017-14669.pdfhttps://regulations.justia.com/regulations/fedreg/2017/07/13/2017-14668.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 in Order To Enhance the Memo Segregation Function in Connection With Deliveries Processed at DTC Related to the Direct Registration System2017-07-13T00:00:00-07:002017-07-13T00:00:00-07:002017-14668Noticehttps://www.gpo.gov/fdsys/pkg/FR-2017-07-13/pdf/2017-14668.pdfhttps://regulations.justia.com/regulations/fedreg/2017/07/13/2017-14667.htmlNotice - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Order Approving Proposed Rule Change To Adopt Consolidated Registration Rules, Restructure the Representative-Level Qualification Examination Program, Allow Permissive Registration, Establish Exam Waiver Process for Persons Working for Financial Services Affiliate of Member, and Amend the Continuing Education Requirements2017-07-13T00:00:00-07:002017-07-13T00:00:00-07:002017-14667Noticehttps://www.gpo.gov/fdsys/pkg/FR-2017-07-13/pdf/2017-14667.pdfhttps://regulations.justia.com/regulations/fedreg/2017/07/13/2017-14666.htmlNotice - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Order Approving a Proposed Rule Change, as Modified by Amendment No. 1, To Adopt a New Extended Life Priority Order Attribute Under Rule 4703, and To Make Related Changes to Rules 4702, 4752, 4753, 4754, and 47572017-07-13T00:00:00-07:002017-07-13T00:00:00-07:002017-14666Noticehttps://www.gpo.gov/fdsys/pkg/FR-2017-07-13/pdf/2017-14666.pdfhttps://regulations.justia.com/regulations/fedreg/2017/07/13/2017-14665.htmlNotice - Self-Regulatory Organizations; The Depository Trust Company; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Require Agents To Use the Automated Tender Offer Program To Process Consent Solicitations for Book-Entry Only Securities2017-07-13T00:00:00-07:002017-07-13T00:00:00-07:002017-14665Noticehttps://www.gpo.gov/fdsys/pkg/FR-2017-07-13/pdf/2017-14665.pdfhttps://regulations.justia.com/regulations/fedreg/2017/07/13/2017-14664.htmlNotice - Self-Regulatory Organizations; Nasdaq ISE, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Establish Ports and Gateways That Members Use To Connect to the Exchange2017-07-13T00:00:00-07:002017-07-13T00:00:00-07:002017-14664Noticehttps://www.gpo.gov/fdsys/pkg/FR-2017-07-13/pdf/2017-14664.pdfhttps://regulations.justia.com/regulations/fedreg/2017/07/13/2017-14663.htmlNotice - Self-Regulatory Organizations; Nasdaq ISE, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Extend the SPY Pilot Program2017-07-13T00:00:00-07:002017-07-13T00:00:00-07:002017-14663Noticehttps://www.gpo.gov/fdsys/pkg/FR-2017-07-13/pdf/2017-14663.pdfhttps://regulations.justia.com/regulations/fedreg/2017/07/13/2017-14662.htmlNotice - Self-Regulatory Organizations; NASDAQ BX, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Extend the SPY Pilot Program2017-07-13T00:00:00-07:002017-07-13T00:00:00-07:002017-14662Noticehttps://www.gpo.gov/fdsys/pkg/FR-2017-07-13/pdf/2017-14662.pdfhttps://regulations.justia.com/regulations/fedreg/2017/07/13/2017-14661.htmlNotice - Self-Regulatory Organizations; BOX Options Exchange LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend IM-3120-2 to Rule 3120 To Extend the Pilot Program That Eliminated the Position Limits for Options on SPDR S&P 500 ETF (“SPY”) (“SPY Pilot Program”)2017-07-13T00:00:00-07:002017-07-13T00:00:00-07:002017-14661Noticehttps://www.gpo.gov/fdsys/pkg/FR-2017-07-13/pdf/2017-14661.pdfhttps://regulations.justia.com/regulations/fedreg/2017/07/13/2017-14660.htmlNotice - Self-Regulatory Organizations; NASDAQ PHLX LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Extend the SPY Pilot Program2017-07-13T00:00:00-07:002017-07-13T00:00:00-07:002017-14660Noticehttps://www.gpo.gov/fdsys/pkg/FR-2017-07-13/pdf/2017-14660.pdfhttps://regulations.justia.com/regulations/fedreg/2017/07/13/2017-14659.htmlNotice - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Extend the SPY Pilot Program2017-07-13T00:00:00-07:002017-07-13T00:00:00-07:002017-14659Noticehttps://www.gpo.gov/fdsys/pkg/FR-2017-07-13/pdf/2017-14659.pdfhttps://regulations.justia.com/regulations/fedreg/2017/07/12/2017-14574.htmlNotice - Proposed Collection; Comment Request2017-07-12T00:00:00-07:002017-07-12T00:00:00-07:002017-14574Noticehttps://www.gpo.gov/fdsys/pkg/FR-2017-07-12/pdf/2017-14574.pdfhttps://regulations.justia.com/regulations/fedreg/2017/07/12/2017-14573.htmlNotice - Proposed Collection; Comment Request2017-07-12T00:00:00-07:002017-07-12T00:00:00-07:002017-14573Noticehttps://www.gpo.gov/fdsys/pkg/FR-2017-07-12/pdf/2017-14573.pdfhttps://regulations.justia.com/regulations/fedreg/2017/07/12/2017-14572.htmlNotice - Proposed Collection; Comment Request2017-07-12T00:00:00-07:002017-07-12T00:00:00-07:002017-14572Noticehttps://www.gpo.gov/fdsys/pkg/FR-2017-07-12/pdf/2017-14572.pdfhttps://regulations.justia.com/regulations/fedreg/2017/07/12/2017-14571.htmlNotice - Proposed Collection; Comment Request2017-07-12T00:00:00-07:002017-07-12T00:00:00-07:002017-14571Noticehttps://www.gpo.gov/fdsys/pkg/FR-2017-07-12/pdf/2017-14571.pdfhttps://regulations.justia.com/regulations/fedreg/2017/07/12/2017-14570.htmlNotice - Proposed Collection; Comment Request2017-07-12T00:00:00-07:002017-07-12T00:00:00-07:002017-14570Noticehttps://www.gpo.gov/fdsys/pkg/FR-2017-07-12/pdf/2017-14570.pdfhttps://regulations.justia.com/regulations/fedreg/2017/07/12/2017-14569.htmlNotice - Proposed Collection; Comment Request2017-07-12T00:00:00-07:002017-07-12T00:00:00-07:002017-14569Noticehttps://www.gpo.gov/fdsys/pkg/FR-2017-07-12/pdf/2017-14569.pdfhttps://regulations.justia.com/regulations/fedreg/2017/07/12/2017-14568.htmlNotice - Proposed Collection; Comment Request2017-07-12T00:00:00-07:002017-07-12T00:00:00-07:002017-14568Noticehttps://www.gpo.gov/fdsys/pkg/FR-2017-07-12/pdf/2017-14568.pdfhttps://regulations.justia.com/regulations/fedreg/2017/07/12/2017-14567.htmlNotice - Proposed Collection; Comment Request2017-07-12T00:00:00-07:002017-07-12T00:00:00-07:002017-14567Noticehttps://www.gpo.gov/fdsys/pkg/FR-2017-07-12/pdf/2017-14567.pdfhttps://regulations.justia.com/regulations/fedreg/2017/07/12/2017-14558.htmlNotice - Nationwide Fund Advisors, et al.2017-07-12T00:00:00-07:002017-07-12T00:00:00-07:002017-14558Noticehttps://www.gpo.gov/fdsys/pkg/FR-2017-07-12/pdf/2017-14558.pdfhttps://regulations.justia.com/regulations/fedreg/2017/07/12/2017-14557.htmlNotice - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Rule 6.47A, Automated Improvement Mechanism2017-07-12T00:00:00-07:002017-07-12T00:00:00-07:002017-14557Noticehttps://www.gpo.gov/fdsys/pkg/FR-2017-07-12/pdf/2017-14557.pdfhttps://regulations.justia.com/regulations/fedreg/2017/07/12/2017-14556.htmlNotice - Self-Regulatory Organizations; Bats BZX Exchange, Inc.; Order Granting Approval of a Proposed Rule Change To Amend Rule 20.6, Nullification and Adjustment of Options Transactions Including Obvious Errors, and Rule 20.3, Trading Halts2017-07-12T00:00:00-07:002017-07-12T00:00:00-07:002017-14556Noticehttps://www.gpo.gov/fdsys/pkg/FR-2017-07-12/pdf/2017-14556.pdfhttps://regulations.justia.com/regulations/fedreg/2017/07/12/2017-14555.htmlNotice - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Extend the Credit Option Margin Pilot Program Through July 18, 20182017-07-12T00:00:00-07:002017-07-12T00:00:00-07:002017-14555Noticehttps://www.gpo.gov/fdsys/pkg/FR-2017-07-12/pdf/2017-14555.pdfhttps://regulations.justia.com/regulations/fedreg/2017/07/12/2017-14554.htmlNotice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Designation of a Longer Period for Commission Action on a Proposed Rule Change To Amend the Generic Listing Criteria Applicable to Index-Linked Securities2017-07-12T00:00:00-07:002017-07-12T00:00:00-07:002017-14554Noticehttps://www.gpo.gov/fdsys/pkg/FR-2017-07-12/pdf/2017-14554.pdfhttps://regulations.justia.com/regulations/fedreg/2017/07/11/2017-14560.htmlNotice - Sunshine Act Meeting2017-07-11T00:00:00-07:002017-07-11T00:00:00-07:002017-14560Noticehttps://www.gpo.gov/fdsys/pkg/FR-2017-07-11/pdf/2017-14560.pdfhttps://regulations.justia.com/regulations/fedreg/2017/07/11/2017-14430.htmlNotice - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing of Amendment No. 2 and Order Granting Accelerated Approval of a Proposed Rule Change, as Modified by Amendment No. 2, to Amend Listing Standards for Special Purpose Acquisition Companies to Modify the Initial and Continued Distribution Requirements2017-07-11T00:00:00-07:002017-07-11T00:00:00-07:002017-14430Noticehttps://www.gpo.gov/fdsys/pkg/FR-2017-07-11/pdf/2017-14430.pdfhttps://regulations.justia.com/regulations/fedreg/2017/07/11/2017-14429.htmlNotice - Self-Regulatory Organizations; Investors Exchange LLC; Notice of Filing of Proposed Rule Change To Introduce a New Market Maker Peg Order2017-07-11T00:00:00-07:002017-07-11T00:00:00-07:002017-14429Noticehttps://www.gpo.gov/fdsys/pkg/FR-2017-07-11/pdf/2017-14429.pdfhttps://regulations.justia.com/regulations/fedreg/2017/07/11/2017-14428.htmlNotice - Self-Regulatory Organizations; NYSE Arca, Inc.; Order Approving a Proposed Rule Change, as Modified by Amendment No. 1 Thereto, To List and Trade Shares of the GraniteShares Gold Trust Under NYSE Arca Equities Rule 8.2012017-07-11T00:00:00-07:002017-07-11T00:00:00-07:002017-14428Noticehttps://www.gpo.gov/fdsys/pkg/FR-2017-07-11/pdf/2017-14428.pdfhttps://regulations.justia.com/regulations/fedreg/2017/07/11/2017-14427.htmlNotice - Self-Regulatory Organizations; ICE Clear Europe Limited; Order Approving Proposed Rule Change Relating to Clearing House Contributions to CDS Default Resources2017-07-11T00:00:00-07:002017-07-11T00:00:00-07:002017-14427Noticehttps://www.gpo.gov/fdsys/pkg/FR-2017-07-11/pdf/2017-14427.pdfhttps://regulations.justia.com/regulations/fedreg/2017/07/11/2017-14426.htmlNotice - Self-Regulatory Organizations; ICE Clear Europe Limited; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to Amendments to the ICE Clear Europe Finance Procedures2017-07-11T00:00:00-07:002017-07-11T00:00:00-07:002017-14426Noticehttps://www.gpo.gov/fdsys/pkg/FR-2017-07-11/pdf/2017-14426.pdfhttps://regulations.justia.com/regulations/fedreg/2017/07/11/2017-14425.htmlNotice - Self-Regulatory Organizations; The Depository Trust Company; Fixed Income Clearing Corporation; National Securities Clearing Corporation; Notice of Filings of Proposed Rule Changes To Adopt the Clearing Agency Model Risk Management Framework2017-07-11T00:00:00-07:002017-07-11T00:00:00-07:002017-14425Noticehttps://www.gpo.gov/fdsys/pkg/FR-2017-07-11/pdf/2017-14425.pdfhttps://regulations.justia.com/regulations/fedreg/2017/07/10/2017-14341.htmlNotice - Self-Regulatory Organizations; New York Stock Exchange 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 Amend Listing Standards for Special Purpose Acquisition Companies To Change Its Requirements With Respect to the Approval of a Business Combination2017-07-10T00:00:00-07:002017-07-10T00:00:00-07:002017-14341Noticehttps://www.gpo.gov/fdsys/pkg/FR-2017-07-10/pdf/2017-14341.pdfhttps://regulations.justia.com/regulations/fedreg/2017/07/10/2017-14340.htmlNotice - Self-Regulatory Organizations; Bats BZX Exchange, Inc.; Notice of Designation of a Longer Period for Commission Action on Proposed Rule Change To Introduce Bats Market Close, a Closing Match Process for Non-BZX Listed Securities Under New Exchange Rule 11.282017-07-10T00:00:00-07:002017-07-10T00:00:00-07:002017-14340Noticehttps://www.gpo.gov/fdsys/pkg/FR-2017-07-10/pdf/2017-14340.pdfhttps://regulations.justia.com/regulations/fedreg/2017/07/07/2017-14314.htmlNotice - Vertical Capital Income Fund and Oakline Advisors, LLC2017-07-07T00:00:00-07:002017-07-07T00:00:00-07:002017-14314Noticehttps://www.gpo.gov/fdsys/pkg/FR-2017-07-07/pdf/2017-14314.pdfhttps://regulations.justia.com/regulations/fedreg/2017/07/07/2017-14248.htmlNotice - Self-Regulatory Organizations; Bats BZX Exchange, Inc.; Order Approving a Proposed Rule Change, To Amend BZX Rule 14.11 To Provide for the Inclusion of Cash in an Index Underlying a Series of Index Fund Shares2017-07-07T00:00:00-07:002017-07-07T00:00:00-07:002017-14248Noticehttps://www.gpo.gov/fdsys/pkg/FR-2017-07-07/pdf/2017-14248.pdfhttps://regulations.justia.com/regulations/fedreg/2017/07/07/2017-14247.htmlNotice - Self-Regulatory Organizations; NASDAQ PHLX LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Regarding Delivery of Options Disclosure Documents and Special Statement for Uncovered Options Writers2017-07-07T00:00:00-07:002017-07-07T00:00:00-07:002017-14247Noticehttps://www.gpo.gov/fdsys/pkg/FR-2017-07-07/pdf/2017-14247.pdfhttps://regulations.justia.com/regulations/fedreg/2017/07/07/2017-14246.htmlNotice - Self-Regulatory Organizations; ICE Clear Europe Limited; Order Approving Proposed Rule Change Relating to Amendments to the ICE Clear Europe Limited Articles of Association2017-07-07T00:00:00-07:002017-07-07T00:00:00-07:002017-14246Noticehttps://www.gpo.gov/fdsys/pkg/FR-2017-07-07/pdf/2017-14246.pdfhttps://regulations.justia.com/regulations/fedreg/2017/07/07/2017-14245.htmlNotice - Self-Regulatory Organizations; 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. and NYSE MKT LLC; Suspension of and Order Instituting Proceedings To Determine Whether To Approve or Disapprove Proposed Rule Changes To Establish Fees for Industry Members To Fund the Consolidated Audit Trail2017-07-07T00:00:00-07:002017-07-07T00:00:00-07:002017-14245Noticehttps://www.gpo.gov/fdsys/pkg/FR-2017-07-07/pdf/2017-14245.pdfhttps://regulations.justia.com/regulations/fedreg/2017/07/07/2017-14244.htmlNotice - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Withdrawal of a Proposed Rule Change Related to Unusual Market Conditions and the Duty To Systemize Non-Electronic Orders Prior to Representation2017-07-07T00:00:00-07:002017-07-07T00:00:00-07:002017-14244Noticehttps://www.gpo.gov/fdsys/pkg/FR-2017-07-07/pdf/2017-14244.pdfhttps://regulations.justia.com/regulations/fedreg/2017/07/07/2017-14243.htmlNotice - Self-Regulatory Organizations; Miami International Securities Exchange, LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend its Fee Schedule Concerning the Options Regulatory Fee2017-07-07T00:00:00-07:002017-07-07T00:00:00-07:002017-14243Noticehttps://www.gpo.gov/fdsys/pkg/FR-2017-07-07/pdf/2017-14243.pdfhttps://regulations.justia.com/regulations/fedreg/2017/07/07/2017-14242.htmlNotice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing of Proposed Rule Change to Facilitate the Listing and Trading of Certain Series of Investment Company Units Listed Pursuant to NYSE Arca Equities Rule 5.2(j)(3)2017-07-07T00:00:00-07:002017-07-07T00:00:00-07:002017-14242Noticehttps://www.gpo.gov/fdsys/pkg/FR-2017-07-07/pdf/2017-14242.pdfhttps://regulations.justia.com/regulations/fedreg/2017/07/07/2017-14241.htmlNotice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Specify in Exchange Rules the Exchange's Primary and Secondary Sources of Data Feeds From NYSE MKT LLC2017-07-07T00:00:00-07:002017-07-07T00:00:00-07:002017-14241Noticehttps://www.gpo.gov/fdsys/pkg/FR-2017-07-07/pdf/2017-14241.pdfhttps://regulations.justia.com/regulations/fedreg/2017/07/07/2017-14240.htmlNotice - Self-Regulatory Organizations; Municipal Securities Rulemaking Board; Notice of Filing of a Proposed Rule Change To Amend MSRB Rule G-21(e), on Municipal Fund Security Product Advertisements2017-07-07T00:00:00-07:002017-07-07T00:00:00-07:002017-14240Noticehttps://www.gpo.gov/fdsys/pkg/FR-2017-07-07/pdf/2017-14240.pdfhttps://regulations.justia.com/regulations/fedreg/2017/07/06/2017-14239.htmlNotice - Self-Regulatory Organizations; LCH SA; Order Approving Proposed Rule Change, as Amended by Amendment No. 1 Thereto, To Add Rules Related to the Clearing of CDX.NA.HY CDS2017-07-06T00:00:00-07:002017-07-06T00:00:00-07:002017-14239Noticehttps://www.gpo.gov/fdsys/pkg/FR-2017-07-06/pdf/2017-14239.pdfhttps://regulations.justia.com/regulations/fedreg/2017/07/06/2017-14199.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.; Correction2017-07-06T00:00:00-07:002017-07-06T00:00:00-07:002017-14199Noticehttps://www.gpo.gov/fdsys/pkg/FR-2017-07-06/pdf/2017-14199.pdfhttps://regulations.justia.com/regulations/fedreg/2017/07/06/2017-14195.htmlNotice - Notice of Applications for Deregistration Under Section 8(f) of the Investment Company Act of 19402017-07-06T00:00:00-07:002017-07-06T00:00:00-07:002017-14195Noticehttps://www.gpo.gov/fdsys/pkg/FR-2017-07-06/pdf/2017-14195.pdfhttps://regulations.justia.com/regulations/fedreg/2017/07/06/2017-14187.htmlNotice - Self-Regulatory Organizations; The Options Clearing Corporation; Notice of Filing of Advance Notice of and No Objection to The Options Clearing Corporation's Proposal To Enter Into a New Credit Facility Agreement2017-07-06T00:00:00-07:002017-07-06T00:00:00-07:002017-14187Noticehttps://www.gpo.gov/fdsys/pkg/FR-2017-07-06/pdf/2017-14187.pdfhttps://regulations.justia.com/regulations/fedreg/2017/07/06/2017-14145.htmlNotice - Self-Regulatory Organizations; Fixed Income Clearing Corporation; Notice of No Objection to Advance Notice Filing To Implement the Capped Contingency Liquidity Facility in the Government Securities Division Rulebook2017-07-06T00:00:00-07:002017-07-06T00:00:00-07:002017-14145Noticehttps://www.gpo.gov/fdsys/pkg/FR-2017-07-06/pdf/2017-14145.pdfhttps://regulations.justia.com/regulations/fedreg/2017/07/06/2017-14144.htmlNotice - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing of a Proposed Rule Change To Adopt FINRA Rule 6898 (Consolidated Audit Trail-Fee Dispute Resolution)2017-07-06T00:00:00-07:002017-07-06T00:00:00-07:002017-14144Noticehttps://www.gpo.gov/fdsys/pkg/FR-2017-07-06/pdf/2017-14144.pdfhttps://regulations.justia.com/regulations/fedreg/2017/07/06/2017-14143.htmlNotice - Self-Regulatory Organizations; Investors Exchange LLC; Notice of Designation of a Longer Period for Commission Action on a Proposed Rule Change To Modify the Manner in Which the Exchange Opens Trading for Non-IEX-Listed Securities2017-07-06T00:00:00-07:002017-07-06T00:00:00-07:002017-14143Noticehttps://www.gpo.gov/fdsys/pkg/FR-2017-07-06/pdf/2017-14143.pdfhttps://regulations.justia.com/regulations/fedreg/2017/07/06/2017-14142.htmlNotice - Self-Regulatory Organizations; Fixed Income Clearing Corporation; Order Approving a Proposed Rule Change to the Mortgage-Backed Securities Division Clearing Rules Regarding Fixed Income Clearing Corporation's (1) Time of Novation, (2) Treatment of Itself as the Settlement Counterparty for Certain Transaction Types, and (3) Proposal to Implement New Processes to Promote Operational Efficiencies for Its Clearing Members2017-07-06T00:00:00-07:002017-07-06T00:00:00-07:002017-14142Noticehttps://www.gpo.gov/fdsys/pkg/FR-2017-07-06/pdf/2017-14142.pdfhttps://regulations.justia.com/regulations/fedreg/2017/07/06/2017-14141.htmlNotice - Self-Regulatory Organizations; National Securities Clearing Corporation; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Further Describe and Codify Existing Practices Relating to the Bond Haircut2017-07-06T00:00:00-07:002017-07-06T00:00:00-07:002017-14141Noticehttps://www.gpo.gov/fdsys/pkg/FR-2017-07-06/pdf/2017-14141.pdfhttps://regulations.justia.com/regulations/fedreg/2017/07/05/2017-14196.htmlNotice - Transamerica ETF Trust, et al.2017-07-05T00:00:00-07:002017-07-05T00:00:00-07:002017-14196Noticehttps://www.gpo.gov/fdsys/pkg/FR-2017-07-05/pdf/2017-14196.pdfhttps://regulations.justia.com/regulations/fedreg/2017/07/05/2017-14065.htmlNotice - Proposed Collection; Comment Request2017-07-05T00:00:00-07:002017-07-05T00:00:00-07:002017-14065Noticehttps://www.gpo.gov/fdsys/pkg/FR-2017-07-05/pdf/2017-14065.pdfhttps://regulations.justia.com/regulations/fedreg/2017/07/05/2017-14064.htmlNotice - Proposed Collection; Comment Request2017-07-05T00:00:00-07:002017-07-05T00:00:00-07:002017-14064Noticehttps://www.gpo.gov/fdsys/pkg/FR-2017-07-05/pdf/2017-14064.pdfhttps://regulations.justia.com/regulations/fedreg/2017/07/05/2017-14016.htmlNotice - Self-Regulatory Organizations; The Options Clearing Corporation; Notice of Filing of Advance Notice Concerning the Adoption of a New Stock Options and Futures Settlement Agreement Between The Options Clearing Corporation and the National Securities Clearing Corporation2017-07-05T00:00:00-07:002017-07-05T00:00:00-07:002017-14016Noticehttps://www.gpo.gov/fdsys/pkg/FR-2017-07-05/pdf/2017-14016.pdfhttps://regulations.justia.com/regulations/fedreg/2017/07/05/2017-14015.htmlNotice - Self-Regulatory Organizations; National Securities Clearing Corporation; Notice of Filing of Advance Notice To Adopt a New Stock Options and Futures Settlement Agreement With The Options Clearing Corporation2017-07-05T00:00:00-07:002017-07-05T00:00:00-07:002017-14015Noticehttps://www.gpo.gov/fdsys/pkg/FR-2017-07-05/pdf/2017-14015.pdfhttps://regulations.justia.com/regulations/fedreg/2017/07/05/2017-14014.htmlNotice - Self-Regulatory Organizations; NYSE MKT LLC; Order Granting Approval of Proposed Rule Change, as Modified by Amendments No. 1, 2, and 3, To Allow the Exchange To Trade, Pursuant to Unlisted Trading Privileges, any NMS Stock Listed on Another National Securities Exchange; Establish Rules for the Trading Pursuant to UTP of Exchange-Traded Products; and Adopt New Equity Trading Rules Relating To Trading Halts of Securities Traded Pursuant to UTP on the Pillar Platform2017-07-05T00:00:00-07:002017-07-05T00:00:00-07:002017-14014Noticehttps://www.gpo.gov/fdsys/pkg/FR-2017-07-05/pdf/2017-14014.pdfhttps://regulations.justia.com/regulations/fedreg/2017/07/05/2017-14013.htmlNotice - Self-Regulatory Organizations; ICE Clear Credit LLC; Notice of Proposed Rule Change, Security-Based Swap Submission, or Advance Notice Relating to the ICC Clearing Rules and the ICC Treasury Operations Policies and Procedures2017-07-05T00:00:00-07:002017-07-05T00:00:00-07:002017-14013Noticehttps://www.gpo.gov/fdsys/pkg/FR-2017-07-05/pdf/2017-14013.pdfhttps://regulations.justia.com/regulations/fedreg/2017/07/03/2017-13904.htmlNotice - Nationwide Fund Advisors, et al.2017-07-03T00:00:00-07:002017-07-03T00:00:00-07:002017-13904Noticehttps://www.gpo.gov/fdsys/pkg/FR-2017-07-03/pdf/2017-13904.pdfhttps://regulations.justia.com/regulations/fedreg/2017/07/03/2017-13903.htmlNotice - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Extend the Implementation of FINRA Rule 4240 (Margin Requirements for Credit Default Swaps)2017-07-03T00:00:00-07:002017-07-03T00:00:00-07:002017-13903Noticehttps://www.gpo.gov/fdsys/pkg/FR-2017-07-03/pdf/2017-13903.pdfhttps://regulations.justia.com/regulations/fedreg/2017/07/03/2017-13902.htmlNotice - Self-Regulatory Organizations; Nasdaq ISE, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Specify an Exception to the Manner in Which Market Maker Immediate-or-Cancel Orders Will Be Handled2017-07-03T00:00:00-07:002017-07-03T00:00:00-07:002017-13902Noticehttps://www.gpo.gov/fdsys/pkg/FR-2017-07-03/pdf/2017-13902.pdfhttps://regulations.justia.com/regulations/fedreg/2017/07/03/2017-13901.htmlNotice - Self-Regulatory Organizations; Bats BZX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Related to Fees for Logical Ports on the Bats Equity Options Platform2017-07-03T00:00:00-07:002017-07-03T00:00:00-07:002017-13901Noticehttps://www.gpo.gov/fdsys/pkg/FR-2017-07-03/pdf/2017-13901.pdfhttps://regulations.justia.com/regulations/fedreg/2017/07/03/2017-13900.htmlNotice - Self-Regulatory Organizations; ICE Clear Credit LLC; Notice of Proposed Rule Change, Security-Based Swap Submission, or Advance Notice Relating to the Clearance of Additional Credit Default Swap Contracts2017-07-03T00:00:00-07:002017-07-03T00:00:00-07:002017-13900Noticehttps://www.gpo.gov/fdsys/pkg/FR-2017-07-03/pdf/2017-13900.pdfhttps://regulations.justia.com/regulations/fedreg/2017/07/03/2017-13899.htmlNotice - Self-Regulatory Organizations; ICE Clear Credit LLC; Notice of Proposed Rule Change, Security-Based Swap Submission, or Advance Notice Relating to the Clearance of Additional Credit Default Swap Contracts2017-07-03T00:00:00-07:002017-07-03T00:00:00-07:002017-13899Noticehttps://www.gpo.gov/fdsys/pkg/FR-2017-07-03/pdf/2017-13899.pdfhttps://regulations.justia.com/regulations/fedreg/2017/07/03/2017-13898.htmlNotice - Self-Regulatory Organizations; ICE Clear Credit LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to ICC's Cash Investment Yield Schedule2017-07-03T00:00:00-07:002017-07-03T00:00:00-07:002017-13898Noticehttps://www.gpo.gov/fdsys/pkg/FR-2017-07-03/pdf/2017-13898.pdfhttps://regulations.justia.com/regulations/fedreg/2017/07/03/2017-13897.htmlNotice - Self-Regulatory Organizations; ICE Clear Europe Limited; Order Approving Proposed Rule Changes Relating to the CDS End-of-Day Price Discovery Policy and Price Submission Disciplinary Framework2017-07-03T00:00:00-07:002017-07-03T00:00:00-07:002017-13897Noticehttps://www.gpo.gov/fdsys/pkg/FR-2017-07-03/pdf/2017-13897.pdfhttps://regulations.justia.com/regulations/fedreg/2017/07/03/2017-13894.htmlNotice - Proposed Collection; Comment Request2017-07-03T00:00:00-07:002017-07-03T00:00:00-07:002017-13894Noticehttps://www.gpo.gov/fdsys/pkg/FR-2017-07-03/pdf/2017-13894.pdfhttps://regulations.justia.com/regulations/fedreg/2017/07/03/2017-13893.htmlNotice - The Boston Consulting Group, Inc. and Green Falcon Investors I, L.P.2017-07-03T00:00:00-07:002017-07-03T00:00:00-07:002017-13893Noticehttps://www.gpo.gov/fdsys/pkg/FR-2017-07-03/pdf/2017-13893.pdf