Federal Register Recent Federal Regulation Documents - Justia Regulation Tracker - Justia Regulations Tracker https://regulations.justia.com/regulations/fedreg/agencies/securities-and-exchange-commission/2017/08/04?limit=200&registers=between&mode=atom 2024-05-03T07:42:09-07:00 Justia Inc https://www.justia.com/ Justia Regulations Tracker https://regulations.justia.com/images/justiafedregulations.gif Copyright 2011 Justia Inc https://regulations.justia.com/regulations/fedreg/2017/08/04/2017-16405.html Notice - Self-Regulatory Organizations; NASDAQ PHLX LLC; Notice of Filing of Proposed Rule Change to a Proposal To Amend Rule 1027, Discretionary Accounts, To Conform It More Closely to a Comparable Rule of the Chicago Board Options Exchange (“CBOE”) and To Make Minor Corrections and Clarifications 2017-08-04T00:00:00-07:00 2017-08-04T00:00:00-07:00 2017-16405 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-08-04/pdf/2017-16405.pdf https://regulations.justia.com/regulations/fedreg/2017/08/04/2017-16404.html Notice - Self-Regulatory Organizations; NYSE National, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Rule 11.26 To Modify the Date of Appendix B Web site Data Publication Pursuant to the Regulation NMS Plan To Implement a Tick Size Pilot Program 2017-08-04T00:00:00-07:00 2017-08-04T00:00:00-07:00 2017-16404 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-08-04/pdf/2017-16404.pdf https://regulations.justia.com/regulations/fedreg/2017/08/04/2017-16403.html Notice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Modify the NYSE Arca Options Fee Schedule 2017-08-04T00:00:00-07:00 2017-08-04T00:00:00-07:00 2017-16403 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-08-04/pdf/2017-16403.pdf https://regulations.justia.com/regulations/fedreg/2017/08/04/2017-16402.html Notice - Self-Regulatory Organizations; NYSE Arca, Inc.; Order Instituting Proceedings To Determine Whether To Approve or Disapprove a Proposed Rule Change To Adopt NYSE Arca Equities Rule 8.900 To Permit Listing and Trading of Managed Portfolio Shares 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 2017-08-04T00:00:00-07:00 2017-08-04T00:00:00-07:00 2017-16402 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-08-04/pdf/2017-16402.pdf https://regulations.justia.com/regulations/fedreg/2017/08/04/2017-16401.html Notice - Self-Regulatory Organizations; National Securities Clearing Corporation; The Options Clearing Corporation; Order Approving Proposed Rule Changes Concerning the Adoption of a New Stock Options and Futures Settlement Agreement Between the National Securities Clearing Corporation and The Options Clearing Corporation 2017-08-04T00:00:00-07:00 2017-08-04T00:00:00-07:00 2017-16401 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-08-04/pdf/2017-16401.pdf https://regulations.justia.com/regulations/fedreg/2017/08/04/2017-16400.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 Amendments No. 1 and 2, Relating to the First Trust Municipal High Income ETF 2017-08-04T00:00:00-07:00 2017-08-04T00:00:00-07:00 2017-16400 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-08-04/pdf/2017-16400.pdf https://regulations.justia.com/regulations/fedreg/2017/08/04/2017-16399.html Notice - Self-Regulatory Organizations; Municipal Securities Rulemaking Board; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Assess an Underwriting Fee on Dealers That Are Underwriters of Primary Offerings of Plans 2017-08-04T00:00:00-07:00 2017-08-04T00:00:00-07:00 2017-16399 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-08-04/pdf/2017-16399.pdf https://regulations.justia.com/regulations/fedreg/2017/08/04/2017-16398.html Notice - Self-Regulatory Organizations; Nasdaq ISE, LLC; Notice of Filing of Amendment No. 1 and Order Granting Accelerated Approval of a Proposed Rule Change, as Modified by Amendment No. 1 Thereto, To Harmonize the Corporate Governance Framework of Nasdaq ISE, LLC With That of The NASDAQ Stock Market LLC, NASDAQ PHLX LLC, and NASDAQ BX, Inc. 2017-08-04T00:00:00-07:00 2017-08-04T00:00:00-07:00 2017-16398 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-08-04/pdf/2017-16398.pdf https://regulations.justia.com/regulations/fedreg/2017/08/04/2017-16397.html Notice - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Rule 6.1, Days and Hours of Business, To Clarify the Trading Hours for Options on Exchange-Traded Funds and Exchange-Traded Notes 2017-08-04T00:00:00-07:00 2017-08-04T00:00:00-07:00 2017-16397 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-08-04/pdf/2017-16397.pdf https://regulations.justia.com/regulations/fedreg/2017/08/04/2017-16395.html Notice - Self-Regulatory Organizations; National Securities Clearing Corporation; The Options Clearing Corporation; Notice of No Objection To Advance Notices Concerning the Adoption of a New Stock Options and Futures Settlement Agreement Between the National Securities Clearing Corporation and The Options Clearing Corporation 2017-08-04T00:00:00-07:00 2017-08-04T00:00:00-07:00 2017-16395 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-08-04/pdf/2017-16395.pdf https://regulations.justia.com/regulations/fedreg/2017/08/04/2017-16393.html Notice - Sharespost 100 Fund and SP Investments Management, LLC 2017-08-04T00:00:00-07:00 2017-08-04T00:00:00-07:00 2017-16393 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-08-04/pdf/2017-16393.pdf https://regulations.justia.com/regulations/fedreg/2017/08/04/2017-16392.html Notice - USQ Core Real Estate Fund and Union Square Capital Partners, LLC 2017-08-04T00:00:00-07:00 2017-08-04T00:00:00-07:00 2017-16392 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-08-04/pdf/2017-16392.pdf https://regulations.justia.com/regulations/fedreg/2017/08/04/2017-16391.html Notice - Proposed Collection; Comment Request 2017-08-04T00:00:00-07:00 2017-08-04T00:00:00-07:00 2017-16391 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-08-04/pdf/2017-16391.pdf