<![CDATA[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?registers=between&min-day=1&max-day=31 Sat, 27 Apr 2024 02:23:19 -0700 Sat, 27 Apr 2024 02:23:19 -0700 Justia Regulations Tracker Copyright 2011 Justia Inc. https://regulations.justia.com/images/justiafedregulations.gif <![CDATA[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?registers=between&min-day=1&max-day=31 Notice - Self-Regulatory Organizations; Investors Exchange LLC; Order Approving a Proposed Rule Change To Introduce a New Market Maker Peg Order https://regulations.justia.com/regulations/fedreg/2017/08/31/2017-18455.html https://regulations.justia.com/regulations/fedreg/2017/08/31/2017-18455.html Thu, 31 Aug 2017 00:00:00 -0700 2017-18455 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-08-31/pdf/2017-18455.pdf Notice - Notice of Applications for Deregistration Under Section 8(f) of the Investment Company Act of 1940 https://regulations.justia.com/regulations/fedreg/2017/08/31/2017-18453.html https://regulations.justia.com/regulations/fedreg/2017/08/31/2017-18453.html Thu, 31 Aug 2017 00:00:00 -0700 2017-18453 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-08-31/pdf/2017-18453.pdf Notice - Self-Regulatory Organizations; LCH SA; Notice of Filing of Proposed Rule Change Relating to Options on Index Credit Default Swaps https://regulations.justia.com/regulations/fedreg/2017/08/31/2017-18450.html https://regulations.justia.com/regulations/fedreg/2017/08/31/2017-18450.html Thu, 31 Aug 2017 00:00:00 -0700 2017-18450 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-08-31/pdf/2017-18450.pdf Notice - Self-Regulatory Organizations; ICE Clear Credit LLC; Notice of Filing of Proposed Rule Change Relating to ICC's Liquidity Risk Management Framework and ICC's Stress Testing Framework https://regulations.justia.com/regulations/fedreg/2017/08/31/2017-18449.html https://regulations.justia.com/regulations/fedreg/2017/08/31/2017-18449.html Thu, 31 Aug 2017 00:00:00 -0700 2017-18449 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-08-31/pdf/2017-18449.pdf Notice - Self-Regulatory Organizations; The Depository Trust Company; Fixed Income Clearing Corporation; National Securities Clearing Corporation; Order Approving Proposed Rule Changes To Adopt the Clearing Agency Model Risk Management Framework https://regulations.justia.com/regulations/fedreg/2017/08/31/2017-18448.html https://regulations.justia.com/regulations/fedreg/2017/08/31/2017-18448.html Thu, 31 Aug 2017 00:00:00 -0700 2017-18448 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-08-31/pdf/2017-18448.pdf Notice - Self-Regulatory Organizations: Investors Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Related to Transaction Fees Pursuant to Rule 15.110 https://regulations.justia.com/regulations/fedreg/2017/08/31/2017-18447.html https://regulations.justia.com/regulations/fedreg/2017/08/31/2017-18447.html Thu, 31 Aug 2017 00:00:00 -0700 2017-18447 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-08-31/pdf/2017-18447.pdf Notice - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Filing of a Proposed Rule Change To Amend Interpretation and Policy .07 of Exchange Rule 4.11, Position Limits, To Increase the Position Limits for Options on Certain ETFs https://regulations.justia.com/regulations/fedreg/2017/08/31/2017-18446.html https://regulations.justia.com/regulations/fedreg/2017/08/31/2017-18446.html Thu, 31 Aug 2017 00:00:00 -0700 2017-18446 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-08-31/pdf/2017-18446.pdf 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 Chapter XV, Section 2 Entitled “NASDAQ Options Market-Fees and Rebates” https://regulations.justia.com/regulations/fedreg/2017/08/30/2017-18352.html https://regulations.justia.com/regulations/fedreg/2017/08/30/2017-18352.html Wed, 30 Aug 2017 00:00:00 -0700 2017-18352 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-08-30/pdf/2017-18352.pdf Notice - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Designation of Longer Period for Commission Action on Proposed Rule Change To Amend the Listed Company Manual To Adopt Initial and Continued Listing Standards for Subscription Receipts https://regulations.justia.com/regulations/fedreg/2017/08/30/2017-18351.html https://regulations.justia.com/regulations/fedreg/2017/08/30/2017-18351.html Wed, 30 Aug 2017 00:00:00 -0700 2017-18351 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-08-30/pdf/2017-18351.pdf Notice - Sunshine Act Meeting https://regulations.justia.com/regulations/fedreg/2017/08/29/2017-18350.html https://regulations.justia.com/regulations/fedreg/2017/08/29/2017-18350.html Tue, 29 Aug 2017 00:00:00 -0700 2017-18350 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-08-29/pdf/2017-18350.pdf Notice - Order Making Fiscal Year 2018 Annual Adjustments to Registration Fee Rates https://regulations.justia.com/regulations/fedreg/2017/08/29/2017-18308.html https://regulations.justia.com/regulations/fedreg/2017/08/29/2017-18308.html Tue, 29 Aug 2017 00:00:00 -0700 2017-18308 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-08-29/pdf/2017-18308.pdf Notice - Self-Regulatory Organizations; NYSE American LLC; Notice of Filing of Proposed Rule Change To Amend the Complimentary Products and Services Available to Certain Eligible New Listings Pursuant to Section 146 of the NYSE American Company Guide https://regulations.justia.com/regulations/fedreg/2017/08/29/2017-18243.html https://regulations.justia.com/regulations/fedreg/2017/08/29/2017-18243.html Tue, 29 Aug 2017 00:00:00 -0700 2017-18243 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-08-29/pdf/2017-18243.pdf Notice - Self-Regulatory Organizations; Investors Exchange LLC; Notice of Filing of Proposed Rule Change To Adopt Rule 14.602 To Describe the Complimentary Products and Services To Be Made Available to All Listed Companies https://regulations.justia.com/regulations/fedreg/2017/08/29/2017-18242.html https://regulations.justia.com/regulations/fedreg/2017/08/29/2017-18242.html Tue, 29 Aug 2017 00:00:00 -0700 2017-18242 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-08-29/pdf/2017-18242.pdf Notice - Self-Regulatory Organizations; Bats EDGX Exchange, Inc.; Notice of Designation of Longer Period for Commission Action on Proposed Rule Change To Adopt New Rules That Describe the Trading of Complex Orders on the Exchange https://regulations.justia.com/regulations/fedreg/2017/08/29/2017-18241.html https://regulations.justia.com/regulations/fedreg/2017/08/29/2017-18241.html Tue, 29 Aug 2017 00:00:00 -0700 2017-18241 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-08-29/pdf/2017-18241.pdf Notice - Proposed Collection; Comment Request https://regulations.justia.com/regulations/fedreg/2017/08/29/2017-18229.html https://regulations.justia.com/regulations/fedreg/2017/08/29/2017-18229.html Tue, 29 Aug 2017 00:00:00 -0700 2017-18229 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-08-29/pdf/2017-18229.pdf Rule - Updates to Commission Guidance Regarding Accounting for Sales of Vaccines and Bioterror Countermeasures to the Federal Government for Placement Into the Pediatric Vaccine Stockpile or the Strategic National Stockpile https://regulations.justia.com/regulations/fedreg/2017/08/29/2017-17914.html https://regulations.justia.com/regulations/fedreg/2017/08/29/2017-17914.html Tue, 29 Aug 2017 00:00:00 -0700 2017-17914 Rule https://www.gpo.gov/fdsys/pkg/FR-2017-08-29/pdf/2017-17914.pdf Rule - Commission Guidance Regarding Revenue Recognition for Bill-and-Hold Arrangements https://regulations.justia.com/regulations/fedreg/2017/08/29/2017-17913.html https://regulations.justia.com/regulations/fedreg/2017/08/29/2017-17913.html Tue, 29 Aug 2017 00:00:00 -0700 2017-17913 Rule https://www.gpo.gov/fdsys/pkg/FR-2017-08-29/pdf/2017-17913.pdf Rule - Staff Accounting Bulletin No. 116 https://regulations.justia.com/regulations/fedreg/2017/08/29/2017-17912.html https://regulations.justia.com/regulations/fedreg/2017/08/29/2017-17912.html Tue, 29 Aug 2017 00:00:00 -0700 2017-17912 Rule https://www.gpo.gov/fdsys/pkg/FR-2017-08-29/pdf/2017-17912.pdf Notice - Self-Regulatory Organizations; Bats EDGX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Rules 11.6, Definitions, 11.8, Order Types, and 11.10, Order Execution https://regulations.justia.com/regulations/fedreg/2017/08/28/2017-18127.html https://regulations.justia.com/regulations/fedreg/2017/08/28/2017-18127.html Mon, 28 Aug 2017 00:00:00 -0700 2017-18127 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-08-28/pdf/2017-18127.pdf Notice - Self-Regulatory Organizations; Bats EDGA Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Rule 11.8, Order Types, To Permit Midpoint Discretionary Orders To Be Non-Displayed https://regulations.justia.com/regulations/fedreg/2017/08/28/2017-18126.html https://regulations.justia.com/regulations/fedreg/2017/08/28/2017-18126.html Mon, 28 Aug 2017 00:00:00 -0700 2017-18126 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-08-28/pdf/2017-18126.pdf Notice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing of Proposed Rule Change to List and Trade the Shares of the U.S. Equity Cumulative Dividends Fund-Series 2027 and the U.S. Equity Ex-Dividend Fund-Series 2027 Under NYSE Arca Equities Rule 8.200, Commentary .02 https://regulations.justia.com/regulations/fedreg/2017/08/28/2017-18125.html https://regulations.justia.com/regulations/fedreg/2017/08/28/2017-18125.html Mon, 28 Aug 2017 00:00:00 -0700 2017-18125 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-08-28/pdf/2017-18125.pdf Notice - Edward D. Jones & Co., L.P. https://regulations.justia.com/regulations/fedreg/2017/08/25/2017-18090.html https://regulations.justia.com/regulations/fedreg/2017/08/25/2017-18090.html Fri, 25 Aug 2017 00:00:00 -0700 2017-18090 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-08-25/pdf/2017-18090.pdf Notice - Proposed Collection; Comment Request https://regulations.justia.com/regulations/fedreg/2017/08/25/2017-18074.html https://regulations.justia.com/regulations/fedreg/2017/08/25/2017-18074.html Fri, 25 Aug 2017 00:00:00 -0700 2017-18074 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-08-25/pdf/2017-18074.pdf Notice - Submission for OMB Review; Comment Request https://regulations.justia.com/regulations/fedreg/2017/08/25/2017-18073.html https://regulations.justia.com/regulations/fedreg/2017/08/25/2017-18073.html Fri, 25 Aug 2017 00:00:00 -0700 2017-18073 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-08-25/pdf/2017-18073.pdf Notice - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Clarify Application of FINRA Rule 11140 (Transactions in Securities “Ex-Dividend,” “Ex-rights” or “Ex-Warrants”) in Connection With the Implementation of the Shortened Settlement Cycle (T+2) on September 5, 2017 https://regulations.justia.com/regulations/fedreg/2017/08/25/2017-18000.html https://regulations.justia.com/regulations/fedreg/2017/08/25/2017-18000.html Fri, 25 Aug 2017 00:00:00 -0700 2017-18000 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-08-25/pdf/2017-18000.pdf Notice - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Address the Application of Rule 11140 in Connection With the Implementation of the Shortened Settlement Cycle (T+2) on September 5, 2017 https://regulations.justia.com/regulations/fedreg/2017/08/25/2017-17999.html https://regulations.justia.com/regulations/fedreg/2017/08/25/2017-17999.html Fri, 25 Aug 2017 00:00:00 -0700 2017-17999 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-08-25/pdf/2017-17999.pdf Notice - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing of Amendment No. 2 to 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 https://regulations.justia.com/regulations/fedreg/2017/08/24/2017-17922.html https://regulations.justia.com/regulations/fedreg/2017/08/24/2017-17922.html Thu, 24 Aug 2017 00:00:00 -0700 2017-17922 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-08-24/pdf/2017-17922.pdf Notice - Securities Exchange Act of 1934; Order Scheduling Filing of Statements on Review in the Matter of the Chicago Stock Exchange, Inc. for an Order Granting the Approval of Proposed Rule Change Regarding the Acquisition of CHX Holdings, Inc. by North America Casin Holdings, Inc. (File No. SR-CHX-2016-20) https://regulations.justia.com/regulations/fedreg/2017/08/24/2017-17921.html https://regulations.justia.com/regulations/fedreg/2017/08/24/2017-17921.html Thu, 24 Aug 2017 00:00:00 -0700 2017-17921 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-08-24/pdf/2017-17921.pdf Notice - Self-Regulatory Organizations; NYSE Arca, Inc.; 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 the Generic Listing Criteria Applicable to Equity Index-Linked Securities https://regulations.justia.com/regulations/fedreg/2017/08/24/2017-17920.html https://regulations.justia.com/regulations/fedreg/2017/08/24/2017-17920.html Thu, 24 Aug 2017 00:00:00 -0700 2017-17920 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-08-24/pdf/2017-17920.pdf Notice - Self-Regulatory Organizations; National Securities Clearing Corporation; Notice of Filing of Proposed Rule Change To Amend and Clarify a Margin Charge Relating to CNS Fails Position https://regulations.justia.com/regulations/fedreg/2017/08/24/2017-17911.html https://regulations.justia.com/regulations/fedreg/2017/08/24/2017-17911.html Thu, 24 Aug 2017 00:00:00 -0700 2017-17911 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-08-24/pdf/2017-17911.pdf Notice - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing of a Proposed Rule Change Relating to Capital Acquisition Broker Rules 203 (Engaging in Distribution and Solicitation Activities With Government Entities) and 458 (Books and Records Requirements for Government Distribution and Solicitation Activities) https://regulations.justia.com/regulations/fedreg/2017/08/24/2017-17910.html https://regulations.justia.com/regulations/fedreg/2017/08/24/2017-17910.html Thu, 24 Aug 2017 00:00:00 -0700 2017-17910 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-08-24/pdf/2017-17910.pdf Notice - Self-Regulatory Organizations; Bats BZX Exchange, Inc.; Order Instituting Proceedings To Determine Whether To Approve or Disapprove a Proposed Rule Change To Introduce Bats Market Close, a Closing Match Process for Non-BZX Listed Securities Under New Exchange Rule 11.28 https://regulations.justia.com/regulations/fedreg/2017/08/24/2017-17909.html https://regulations.justia.com/regulations/fedreg/2017/08/24/2017-17909.html Thu, 24 Aug 2017 00:00:00 -0700 2017-17909 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-08-24/pdf/2017-17909.pdf Notice - Self-Regulatory Organizations; Nasdaq GEMX, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Related to Quoting at the Opening https://regulations.justia.com/regulations/fedreg/2017/08/24/2017-17908.html https://regulations.justia.com/regulations/fedreg/2017/08/24/2017-17908.html Thu, 24 Aug 2017 00:00:00 -0700 2017-17908 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-08-24/pdf/2017-17908.pdf Notice - Self-Regulatory Organizations; Nasdaq ISE, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Related to Quoting at the Opening https://regulations.justia.com/regulations/fedreg/2017/08/24/2017-17907.html https://regulations.justia.com/regulations/fedreg/2017/08/24/2017-17907.html Thu, 24 Aug 2017 00:00:00 -0700 2017-17907 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-08-24/pdf/2017-17907.pdf Notice - Self-Regulatory Organizations; NASDAQ PHLX LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Related to Quoting at the Opening https://regulations.justia.com/regulations/fedreg/2017/08/24/2017-17906.html https://regulations.justia.com/regulations/fedreg/2017/08/24/2017-17906.html Thu, 24 Aug 2017 00:00:00 -0700 2017-17906 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-08-24/pdf/2017-17906.pdf Notice - Self-Regulatory Organizations; Municipal Securities Rulemaking Board; Notice of Filing of Amendment No. 1 and Order Granting Accelerated Approval of a Proposed Rule Change, as Modified by Amendment No. 1, Consisting of Proposed Amendments to MSRB Rule G-21(e), on Municipal Fund Security Product Advertisements https://regulations.justia.com/regulations/fedreg/2017/08/24/2017-17905.html https://regulations.justia.com/regulations/fedreg/2017/08/24/2017-17905.html Thu, 24 Aug 2017 00:00:00 -0700 2017-17905 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-08-24/pdf/2017-17905.pdf Notice - Self-Regulatory Organizations; Nasdaq GEMX, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Create the Market Access and Routing Subsidy Program https://regulations.justia.com/regulations/fedreg/2017/08/24/2017-17904.html https://regulations.justia.com/regulations/fedreg/2017/08/24/2017-17904.html Thu, 24 Aug 2017 00:00:00 -0700 2017-17904 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-08-24/pdf/2017-17904.pdf Proposed Rule - Regulatory Flexibility Agenda https://regulations.justia.com/regulations/fedreg/2017/08/24/2017-17017.html https://regulations.justia.com/regulations/fedreg/2017/08/24/2017-17017.html Thu, 24 Aug 2017 00:00:00 -0700 2017-17017 Proposed Rule https://www.gpo.gov/fdsys/pkg/FR-2017-08-24/pdf/2017-17017.pdf Notice - Self-Regulatory Organizations; Nasdaq GEMX, LLC; Notice of Filing of Proposed Rule Change To Adopt New Corporate Governance and Related Processes Similar to Those of the Nasdaq Exchanges https://regulations.justia.com/regulations/fedreg/2017/08/23/2017-17810.html https://regulations.justia.com/regulations/fedreg/2017/08/23/2017-17810.html Wed, 23 Aug 2017 00:00:00 -0700 2017-17810 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-08-23/pdf/2017-17810.pdf Notice - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Change in Connection With the Name Change of Its Affiliate, From NYSE MKT LLC to NYSE American LLC https://regulations.justia.com/regulations/fedreg/2017/08/23/2017-17809.html https://regulations.justia.com/regulations/fedreg/2017/08/23/2017-17809.html Wed, 23 Aug 2017 00:00:00 -0700 2017-17809 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-08-23/pdf/2017-17809.pdf Notice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing of Amendment No. 2 and Order Granting Accelerated Approval of a Proposed Rule Change, as Modified by Amendment No. 2, in Connection With the Proposed Merger of Its Wholly Owned Subsidiary NYSE Arca Equities, Inc. With and Into the Exchange https://regulations.justia.com/regulations/fedreg/2017/08/23/2017-17808.html https://regulations.justia.com/regulations/fedreg/2017/08/23/2017-17808.html Wed, 23 Aug 2017 00:00:00 -0700 2017-17808 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-08-23/pdf/2017-17808.pdf Notice - Self-Regulatory Organizations; NYSE American LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Add Certain Rules Adopted in Connection With the Exchange's Transition to a Fully-Automated Cash Equities Market to the List of Minor Rule Violations in Rule 9217 of the Office Rules https://regulations.justia.com/regulations/fedreg/2017/08/23/2017-17807.html https://regulations.justia.com/regulations/fedreg/2017/08/23/2017-17807.html Wed, 23 Aug 2017 00:00:00 -0700 2017-17807 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-08-23/pdf/2017-17807.pdf 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 To Adopt the CHX Liquidity Enhancing Access Delay https://regulations.justia.com/regulations/fedreg/2017/08/23/2017-17806.html https://regulations.justia.com/regulations/fedreg/2017/08/23/2017-17806.html Wed, 23 Aug 2017 00:00:00 -0700 2017-17806 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-08-23/pdf/2017-17806.pdf Notice - Self-Regulatory Organizations; ICE Clear Credit LLC; Notice of Designation of Longer Period for Commission Action on Proposed Rule Change To Provide for the Clearance of Additional Credit Default Swap Contracts https://regulations.justia.com/regulations/fedreg/2017/08/23/2017-17805.html https://regulations.justia.com/regulations/fedreg/2017/08/23/2017-17805.html Wed, 23 Aug 2017 00:00:00 -0700 2017-17805 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-08-23/pdf/2017-17805.pdf Notice - Self-Regulatory Organizations; ICE Clear Credit LLC; Notice of Designation of Longer Period for Commission Action on Proposed Rule Change To Provide for the Clearance of Additional Credit Default Swap Contracts https://regulations.justia.com/regulations/fedreg/2017/08/23/2017-17804.html https://regulations.justia.com/regulations/fedreg/2017/08/23/2017-17804.html Wed, 23 Aug 2017 00:00:00 -0700 2017-17804 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-08-23/pdf/2017-17804.pdf Notice - Order Granting Limited Exemptions From Exchange Act Rule 10b-17 and Rules 101 and 102 of Regulation M to IQ Real Return ETF Pursuant to Exchange Act Rule 10b-17(b)(2) and Rules 101(d) and 102(e) of Regulation M https://regulations.justia.com/regulations/fedreg/2017/08/22/2017-17688.html https://regulations.justia.com/regulations/fedreg/2017/08/22/2017-17688.html Tue, 22 Aug 2017 00:00:00 -0700 2017-17688 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-08-22/pdf/2017-17688.pdf Notice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing of Proposed Rule Change To Extend the Implementation Date for Certain Changes to the NYSE Arca Rule 5 and Rule 8 Series https://regulations.justia.com/regulations/fedreg/2017/08/22/2017-17687.html https://regulations.justia.com/regulations/fedreg/2017/08/22/2017-17687.html Tue, 22 Aug 2017 00:00:00 -0700 2017-17687 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-08-22/pdf/2017-17687.pdf Notice - Self-Regulatory Organizations; NASDAQ PHLX LLC; Notice of Filing of Proposed Rule Change Related to the Floor Requirements https://regulations.justia.com/regulations/fedreg/2017/08/22/2017-17685.html https://regulations.justia.com/regulations/fedreg/2017/08/22/2017-17685.html Tue, 22 Aug 2017 00:00:00 -0700 2017-17685 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-08-22/pdf/2017-17685.pdf Notice - Self-Regulatory Organizations; NYSE American LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Modify the NYSE American Options Fee Schedule https://regulations.justia.com/regulations/fedreg/2017/08/22/2017-17684.html https://regulations.justia.com/regulations/fedreg/2017/08/22/2017-17684.html Tue, 22 Aug 2017 00:00:00 -0700 2017-17684 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-08-22/pdf/2017-17684.pdf Notice - Self-Regulatory Organizations; Bats EDGX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Rule 21.2, Days and Hours of Business https://regulations.justia.com/regulations/fedreg/2017/08/22/2017-17683.html https://regulations.justia.com/regulations/fedreg/2017/08/22/2017-17683.html Tue, 22 Aug 2017 00:00:00 -0700 2017-17683 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-08-22/pdf/2017-17683.pdf Notice - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing of a Proposed Rule Change To Extend the Implementation Date for Certain Changes to the Rule 5700 Series and Rule 5810 https://regulations.justia.com/regulations/fedreg/2017/08/22/2017-17682.html https://regulations.justia.com/regulations/fedreg/2017/08/22/2017-17682.html Tue, 22 Aug 2017 00:00:00 -0700 2017-17682 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-08-22/pdf/2017-17682.pdf Notice - Self-Regulatory Organizations; Bats BZX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Rule 21.2, Days and Hours of Business https://regulations.justia.com/regulations/fedreg/2017/08/21/2017-17551.html https://regulations.justia.com/regulations/fedreg/2017/08/21/2017-17551.html Mon, 21 Aug 2017 00:00:00 -0700 2017-17551 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-08-21/pdf/2017-17551.pdf Notice - Self-Regulatory Organizations; Nasdaq ISE, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Supplementary Material .14 of Rule 504, Entitled “Series of Options Contracts Open for Trading” https://regulations.justia.com/regulations/fedreg/2017/08/21/2017-17550.html https://regulations.justia.com/regulations/fedreg/2017/08/21/2017-17550.html Mon, 21 Aug 2017 00:00:00 -0700 2017-17550 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-08-21/pdf/2017-17550.pdf Notice - Self-Regulatory Organizations; CBOE Futures Exchange, LLC; Notice of Filing of a Proposed Rule Change Regarding Recordkeeping Requirements https://regulations.justia.com/regulations/fedreg/2017/08/21/2017-17549.html https://regulations.justia.com/regulations/fedreg/2017/08/21/2017-17549.html Mon, 21 Aug 2017 00:00:00 -0700 2017-17549 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-08-21/pdf/2017-17549.pdf Notice - Self-Regulatory Organizations; NASDAQ PHLX LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Rule 925 To Create a Limited Exception to the Exchange's Procedures To Designate an Inactive Nominee as an Effective Permit Holder Intra-Day and Make a Non-Substantive Change to the Pricing Schedule https://regulations.justia.com/regulations/fedreg/2017/08/21/2017-17548.html https://regulations.justia.com/regulations/fedreg/2017/08/21/2017-17548.html Mon, 21 Aug 2017 00:00:00 -0700 2017-17548 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-08-21/pdf/2017-17548.pdf Notice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Designation of a Longer Period for Commission Action on a Proposed Rule Change, as Modified by Amendment No. 1, To Facilitate the Listing and Trading of Certain Series of Investment Company Units Listed Pursuant to NYSE Arca Equities Rule 5.2(j)(3) https://regulations.justia.com/regulations/fedreg/2017/08/21/2017-17547.html https://regulations.justia.com/regulations/fedreg/2017/08/21/2017-17547.html Mon, 21 Aug 2017 00:00:00 -0700 2017-17547 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-08-21/pdf/2017-17547.pdf Notice - Self-Regulatory Organizations; LCH SA; Notice of Filing of Proposed Rule Change Relating to Margin Framework and Default Fund Methodology for Options on Index Credit Default Swaps https://regulations.justia.com/regulations/fedreg/2017/08/21/2017-17546.html https://regulations.justia.com/regulations/fedreg/2017/08/21/2017-17546.html Mon, 21 Aug 2017 00:00:00 -0700 2017-17546 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-08-21/pdf/2017-17546.pdf Notice - Self-Regulatory Organizations; BOX Options Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Adopt Rule 2120 (Trading Conduct and Order & Decorum on the Trading Floor) and Amend Rule 12140 (Imposition of Fines for Minor Rule Violations) To Adopt Rule Violations and Sanctions Applicable to the Trading Floor https://regulations.justia.com/regulations/fedreg/2017/08/21/2017-17545.html https://regulations.justia.com/regulations/fedreg/2017/08/21/2017-17545.html Mon, 21 Aug 2017 00:00:00 -0700 2017-17545 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-08-21/pdf/2017-17545.pdf Notice - TIAA-CREF Funds, et al. https://regulations.justia.com/regulations/fedreg/2017/08/21/2017-17540.html https://regulations.justia.com/regulations/fedreg/2017/08/21/2017-17540.html Mon, 21 Aug 2017 00:00:00 -0700 2017-17540 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-08-21/pdf/2017-17540.pdf Notice - Advanced Series Trust, et al. https://regulations.justia.com/regulations/fedreg/2017/08/18/2017-17504.html https://regulations.justia.com/regulations/fedreg/2017/08/18/2017-17504.html Fri, 18 Aug 2017 00:00:00 -0700 2017-17504 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-08-18/pdf/2017-17504.pdf Notice - Submission for OMB Review; Comment Request https://regulations.justia.com/regulations/fedreg/2017/08/18/2017-17503.html https://regulations.justia.com/regulations/fedreg/2017/08/18/2017-17503.html Fri, 18 Aug 2017 00:00:00 -0700 2017-17503 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-08-18/pdf/2017-17503.pdf Notice - Self-Regulatory Organizations; New York Stock Exchange LLC; Order Granting Approval of Proposed Rule Change To Provide Advance Notice of Dividend or Stock Distribution Announcements to the Exchange https://regulations.justia.com/regulations/fedreg/2017/08/18/2017-17455.html https://regulations.justia.com/regulations/fedreg/2017/08/18/2017-17455.html Fri, 18 Aug 2017 00:00:00 -0700 2017-17455 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-08-18/pdf/2017-17455.pdf Notice - Self-Regulatory Organizations; BOX Options Exchange LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend BOX Rule 5050 (Series of Options Contracts Open for Trading), IM-5050-1, To Include the iShares S&P 500 Index ETF in the List of Exchange-Traded Funds Eligible for $1 Strike Price Intervals https://regulations.justia.com/regulations/fedreg/2017/08/18/2017-17436.html https://regulations.justia.com/regulations/fedreg/2017/08/18/2017-17436.html Fri, 18 Aug 2017 00:00:00 -0700 2017-17436 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-08-18/pdf/2017-17436.pdf Notice - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Clarify When Nasdaq Will Utilize the Secondary Source of Data https://regulations.justia.com/regulations/fedreg/2017/08/18/2017-17435.html https://regulations.justia.com/regulations/fedreg/2017/08/18/2017-17435.html Fri, 18 Aug 2017 00:00:00 -0700 2017-17435 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-08-18/pdf/2017-17435.pdf 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 To Modify the Fees and Credits for Routing Certain Orders to NYSE American LLC https://regulations.justia.com/regulations/fedreg/2017/08/18/2017-17434.html https://regulations.justia.com/regulations/fedreg/2017/08/18/2017-17434.html Fri, 18 Aug 2017 00:00:00 -0700 2017-17434 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-08-18/pdf/2017-17434.pdf Notice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing of Proposed Rule Change To List and Trade Shares of ProShares QuadPro Funds Under NYSE Arca Equities Rule 8.200 https://regulations.justia.com/regulations/fedreg/2017/08/18/2017-17433.html https://regulations.justia.com/regulations/fedreg/2017/08/18/2017-17433.html Fri, 18 Aug 2017 00:00:00 -0700 2017-17433 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-08-18/pdf/2017-17433.pdf Notice - Self-Regulatory Organizations; Bats BZX Exchange, Inc.; Notice of Filing of a Proposed Rule Change To Extend the Implementation Date For Certain Changes to Exchange Rules 14.11 and 14.12 https://regulations.justia.com/regulations/fedreg/2017/08/18/2017-17432.html https://regulations.justia.com/regulations/fedreg/2017/08/18/2017-17432.html Fri, 18 Aug 2017 00:00:00 -0700 2017-17432 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-08-18/pdf/2017-17432.pdf Notice - Self-Regulatory Organizations; ICE Clear Credit LLC; Order Approving Proposed Rule Change To Revise the ICC Clearing Rules and the ICC Treasury Operations Policies and Procedures https://regulations.justia.com/regulations/fedreg/2017/08/18/2017-17431.html https://regulations.justia.com/regulations/fedreg/2017/08/18/2017-17431.html Fri, 18 Aug 2017 00:00:00 -0700 2017-17431 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-08-18/pdf/2017-17431.pdf Notice - SEC Advisory Committee on Small and Emerging Companies https://regulations.justia.com/regulations/fedreg/2017/08/17/2017-17409.html https://regulations.justia.com/regulations/fedreg/2017/08/17/2017-17409.html Thu, 17 Aug 2017 00:00:00 -0700 2017-17409 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-08-17/pdf/2017-17409.pdf Notice - Proposed Collection; Comment Request https://regulations.justia.com/regulations/fedreg/2017/08/17/2017-17408.html https://regulations.justia.com/regulations/fedreg/2017/08/17/2017-17408.html Thu, 17 Aug 2017 00:00:00 -0700 2017-17408 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-08-17/pdf/2017-17408.pdf Notice - Submission for OMB Review; Comment Request https://regulations.justia.com/regulations/fedreg/2017/08/17/2017-17407.html https://regulations.justia.com/regulations/fedreg/2017/08/17/2017-17407.html Thu, 17 Aug 2017 00:00:00 -0700 2017-17407 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-08-17/pdf/2017-17407.pdf Notice - Submission for OMB Review; Comment Request https://regulations.justia.com/regulations/fedreg/2017/08/17/2017-17406.html https://regulations.justia.com/regulations/fedreg/2017/08/17/2017-17406.html Thu, 17 Aug 2017 00:00:00 -0700 2017-17406 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-08-17/pdf/2017-17406.pdf Notice - Submission for OMB Review; Comment Request https://regulations.justia.com/regulations/fedreg/2017/08/17/2017-17405.html https://regulations.justia.com/regulations/fedreg/2017/08/17/2017-17405.html Thu, 17 Aug 2017 00:00:00 -0700 2017-17405 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-08-17/pdf/2017-17405.pdf Notice - Self-Regulatory Organizations; NASDAQ PHLX LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Further Clarify When Nasdaq PSX Will Utilize the Secondary Source of Data Pursuant to Rule 3304 https://regulations.justia.com/regulations/fedreg/2017/08/17/2017-17367.html https://regulations.justia.com/regulations/fedreg/2017/08/17/2017-17367.html Thu, 17 Aug 2017 00:00:00 -0700 2017-17367 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-08-17/pdf/2017-17367.pdf Notice - Self-Regulatory Organizations; NASDAQ BX, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Further Clarify When the Exchange Will Utilize the Secondary Source of Data Pursuant to Rule 4759 https://regulations.justia.com/regulations/fedreg/2017/08/17/2017-17366.html https://regulations.justia.com/regulations/fedreg/2017/08/17/2017-17366.html Thu, 17 Aug 2017 00:00:00 -0700 2017-17366 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-08-17/pdf/2017-17366.pdf Notice - Self-Regulatory Organizations; NASDAQ PHLX LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the Exchange's Pricing Schedule https://regulations.justia.com/regulations/fedreg/2017/08/16/2017-17278.html https://regulations.justia.com/regulations/fedreg/2017/08/16/2017-17278.html Wed, 16 Aug 2017 00:00:00 -0700 2017-17278 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-08-16/pdf/2017-17278.pdf 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 in Connection With the Adoption of Certain New Complex Order Types https://regulations.justia.com/regulations/fedreg/2017/08/16/2017-17277.html https://regulations.justia.com/regulations/fedreg/2017/08/16/2017-17277.html Wed, 16 Aug 2017 00:00:00 -0700 2017-17277 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-08-16/pdf/2017-17277.pdf Notice - Self-Regulatory Organizations; NASDAQ PHLX LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Chapter VI, Section A of Its Pricing Schedule Relating to the Exchange's Monthly Permit Fees for PSX Only Members https://regulations.justia.com/regulations/fedreg/2017/08/16/2017-17276.html https://regulations.justia.com/regulations/fedreg/2017/08/16/2017-17276.html Wed, 16 Aug 2017 00:00:00 -0700 2017-17276 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-08-16/pdf/2017-17276.pdf Notice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing of Proposed Rule Change To Amend NYSE Arca Equities Rule 8.700 To Reference EURO STOXX 50 Volatility Index Futures and To List and Trade Shares of the ProShares European Volatility Futures ETF https://regulations.justia.com/regulations/fedreg/2017/08/16/2017-17275.html https://regulations.justia.com/regulations/fedreg/2017/08/16/2017-17275.html Wed, 16 Aug 2017 00:00:00 -0700 2017-17275 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-08-16/pdf/2017-17275.pdf 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. https://regulations.justia.com/regulations/fedreg/2017/08/16/2017-17274.html https://regulations.justia.com/regulations/fedreg/2017/08/16/2017-17274.html Wed, 16 Aug 2017 00:00:00 -0700 2017-17274 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-08-16/pdf/2017-17274.pdf Notice - Self-Regulatory Organizations; Bats BYX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Rule 11.24, Retail Price Improvement Program, To Extend the Pilot Period https://regulations.justia.com/regulations/fedreg/2017/08/16/2017-17273.html https://regulations.justia.com/regulations/fedreg/2017/08/16/2017-17273.html Wed, 16 Aug 2017 00:00:00 -0700 2017-17273 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-08-16/pdf/2017-17273.pdf Notice - Self-Regulatory Organizations; Miami International Securities Exchange, LLC; Notice of Filing of a Proposed Rule Change To Adopt Rules Relating to Trading in Index Options https://regulations.justia.com/regulations/fedreg/2017/08/16/2017-17272.html https://regulations.justia.com/regulations/fedreg/2017/08/16/2017-17272.html Wed, 16 Aug 2017 00:00:00 -0700 2017-17272 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-08-16/pdf/2017-17272.pdf Notice - Sunshine Act Meeting https://regulations.justia.com/regulations/fedreg/2017/08/15/2017-17286.html https://regulations.justia.com/regulations/fedreg/2017/08/15/2017-17286.html Tue, 15 Aug 2017 00:00:00 -0700 2017-17286 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-08-15/pdf/2017-17286.pdf Notice - Self-Regulatory Organizations; Chicago Stock Exchange, Inc.; Notice of Filing of Amendment No. 1 and Order Granting Accelerated Approval of a Proposed Rule Change, as Modified by Amendment No. 1, Regarding the Acquisition of CHX Holdings, Inc. by North America Casin Holdings, Inc. https://regulations.justia.com/regulations/fedreg/2017/08/15/2017-17179.html https://regulations.justia.com/regulations/fedreg/2017/08/15/2017-17179.html Tue, 15 Aug 2017 00:00:00 -0700 2017-17179 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-08-15/pdf/2017-17179.pdf Notice - Self-Regulatory Organizations: Investors Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Correct Nonsubstantive Conflicting Rule Text in Rule 11.190 https://regulations.justia.com/regulations/fedreg/2017/08/15/2017-17172.html https://regulations.justia.com/regulations/fedreg/2017/08/15/2017-17172.html Tue, 15 Aug 2017 00:00:00 -0700 2017-17172 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-08-15/pdf/2017-17172.pdf Notice - Self-Regulatory Organizations; Bats BZX Exchange, 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. 1, To List and Trade Shares of the VanEck Vectors AMT-Free National Municipal Index ETF of VanEck Vectors ETF Trust Under BZX Rule 14.11(c)(4) https://regulations.justia.com/regulations/fedreg/2017/08/15/2017-17171.html https://regulations.justia.com/regulations/fedreg/2017/08/15/2017-17171.html Tue, 15 Aug 2017 00:00:00 -0700 2017-17171 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-08-15/pdf/2017-17171.pdf Notice - Self-Regulatory Organizations; NASDAQ PHLX LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the Exchange's Pricing Schedule https://regulations.justia.com/regulations/fedreg/2017/08/15/2017-17170.html https://regulations.justia.com/regulations/fedreg/2017/08/15/2017-17170.html Tue, 15 Aug 2017 00:00:00 -0700 2017-17170 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-08-15/pdf/2017-17170.pdf 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 https://regulations.justia.com/regulations/fedreg/2017/08/15/2017-17169.html https://regulations.justia.com/regulations/fedreg/2017/08/15/2017-17169.html Tue, 15 Aug 2017 00:00:00 -0700 2017-17169 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-08-15/pdf/2017-17169.pdf Notice - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the Market Access and Routing Subsidy Program https://regulations.justia.com/regulations/fedreg/2017/08/15/2017-17168.html https://regulations.justia.com/regulations/fedreg/2017/08/15/2017-17168.html Tue, 15 Aug 2017 00:00:00 -0700 2017-17168 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-08-15/pdf/2017-17168.pdf Notice - Self-Regulatory Organizations; Nasdaq MRX, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Regarding Market Maker Quotations https://regulations.justia.com/regulations/fedreg/2017/08/15/2017-17167.html https://regulations.justia.com/regulations/fedreg/2017/08/15/2017-17167.html Tue, 15 Aug 2017 00:00:00 -0700 2017-17167 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-08-15/pdf/2017-17167.pdf Notice - Self-Regulatory Organization; BATS BYX-Exchange, Inc.; Order Granting an Extension to Limited Exemption From Rule 612(c) of Regulation NMS in Connection With the Exchange's Retail Price Improvement Program https://regulations.justia.com/regulations/fedreg/2017/08/15/2017-17162.html https://regulations.justia.com/regulations/fedreg/2017/08/15/2017-17162.html Tue, 15 Aug 2017 00:00:00 -0700 2017-17162 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-08-15/pdf/2017-17162.pdf Notice - Equity Market Structure Advisory Committee https://regulations.justia.com/regulations/fedreg/2017/08/15/2017-17138.html https://regulations.justia.com/regulations/fedreg/2017/08/15/2017-17138.html Tue, 15 Aug 2017 00:00:00 -0700 2017-17138 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-08-15/pdf/2017-17138.pdf Notice - Self-Regulatory Organizations; Nasdaq GEMX, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Rule 720, Nullification and Adjustment of Options Transactions Including Obvious Errors https://regulations.justia.com/regulations/fedreg/2017/08/14/2017-17069.html https://regulations.justia.com/regulations/fedreg/2017/08/14/2017-17069.html Mon, 14 Aug 2017 00:00:00 -0700 2017-17069 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-08-14/pdf/2017-17069.pdf Notice - Self-Regulatory Organizations; Nasdaq MRX, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Rule 720, Nullification and Adjustment of Options Transactions Including Obvious Errors https://regulations.justia.com/regulations/fedreg/2017/08/14/2017-17068.html https://regulations.justia.com/regulations/fedreg/2017/08/14/2017-17068.html Mon, 14 Aug 2017 00:00:00 -0700 2017-17068 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-08-14/pdf/2017-17068.pdf Notice - Self-Regulatory Organizations; NASDAQ PHLX LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Rule 1092, Nullification and Adjustment of Options Transactions Including Obvious Errors https://regulations.justia.com/regulations/fedreg/2017/08/14/2017-17067.html https://regulations.justia.com/regulations/fedreg/2017/08/14/2017-17067.html Mon, 14 Aug 2017 00:00:00 -0700 2017-17067 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-08-14/pdf/2017-17067.pdf Notice - Self-Regulatory Organizations; BOX Options Exchange LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend BOX Rule 7170 (Nullification and Adjustment of Options Transactions Including Obvious Errors) https://regulations.justia.com/regulations/fedreg/2017/08/14/2017-17066.html https://regulations.justia.com/regulations/fedreg/2017/08/14/2017-17066.html Mon, 14 Aug 2017 00:00:00 -0700 2017-17066 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-08-14/pdf/2017-17066.pdf Notice - Self-Regulatory Organizations; Nasdaq ISE, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Its Schedule of Fees https://regulations.justia.com/regulations/fedreg/2017/08/14/2017-17065.html https://regulations.justia.com/regulations/fedreg/2017/08/14/2017-17065.html Mon, 14 Aug 2017 00:00:00 -0700 2017-17065 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-08-14/pdf/2017-17065.pdf Notice - Self-Regulatory Organizations; NASDAQ BX, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Chapter V, Section 6, Nullification and Adjustment of Options Transactions Including Obvious Errors https://regulations.justia.com/regulations/fedreg/2017/08/14/2017-17053.html https://regulations.justia.com/regulations/fedreg/2017/08/14/2017-17053.html Mon, 14 Aug 2017 00:00:00 -0700 2017-17053 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-08-14/pdf/2017-17053.pdf Notice - Self-Regulatory Organizations; ICE Clear Credit LLC; Order Granting Accelerated Approval of Proposed Rule Change Relating to the ICC Liquidity Risk Management Framework and the ICC Stress Testing Framework https://regulations.justia.com/regulations/fedreg/2017/08/14/2017-17052.html https://regulations.justia.com/regulations/fedreg/2017/08/14/2017-17052.html Mon, 14 Aug 2017 00:00:00 -0700 2017-17052 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-08-14/pdf/2017-17052.pdf Notice - Self-Regulatory Organizations; Investors Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Make a Correction to the Exchange Fee Schedule Related to Fees for Executions That Involve Taking Resting Interest With Non-Displayed Priority With a Displayable Order https://regulations.justia.com/regulations/fedreg/2017/08/14/2017-17051.html https://regulations.justia.com/regulations/fedreg/2017/08/14/2017-17051.html Mon, 14 Aug 2017 00:00:00 -0700 2017-17051 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-08-14/pdf/2017-17051.pdf Notice - Self-Regulatory Organizations; Nasdaq ISE, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend ISE's Schedule of Fees With Respect to the Options Regulatory Fee https://regulations.justia.com/regulations/fedreg/2017/08/14/2017-17050.html https://regulations.justia.com/regulations/fedreg/2017/08/14/2017-17050.html Mon, 14 Aug 2017 00:00:00 -0700 2017-17050 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-08-14/pdf/2017-17050.pdf Notice - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Revise the NASDAQ Options Market LLC Rules Regarding the Options Regulatory Fee https://regulations.justia.com/regulations/fedreg/2017/08/14/2017-17049.html https://regulations.justia.com/regulations/fedreg/2017/08/14/2017-17049.html Mon, 14 Aug 2017 00:00:00 -0700 2017-17049 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-08-14/pdf/2017-17049.pdf Notice - Self-Regulatory Organizations; NASDAQ PHLX LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the Exchange's Pricing Schedule With Respect to the Options Regulatory Fee https://regulations.justia.com/regulations/fedreg/2017/08/14/2017-17048.html https://regulations.justia.com/regulations/fedreg/2017/08/14/2017-17048.html Mon, 14 Aug 2017 00:00:00 -0700 2017-17048 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-08-14/pdf/2017-17048.pdf Notice - Self-Regulatory Organizations; Nasdaq GEMX, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend GEMX's Schedule of Fees With Respect to the Options Regulatory Fee https://regulations.justia.com/regulations/fedreg/2017/08/14/2017-17047.html https://regulations.justia.com/regulations/fedreg/2017/08/14/2017-17047.html Mon, 14 Aug 2017 00:00:00 -0700 2017-17047 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-08-14/pdf/2017-17047.pdf Notice - Self-Regulatory Organizations; NASDAQ BX, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Revise the Rules Regarding the Exchange's Options Regulatory Fee https://regulations.justia.com/regulations/fedreg/2017/08/14/2017-17046.html https://regulations.justia.com/regulations/fedreg/2017/08/14/2017-17046.html Mon, 14 Aug 2017 00:00:00 -0700 2017-17046 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-08-14/pdf/2017-17046.pdf Notice - Self-Regulatory Organizations; NYSE American LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Supplementary Material .01 and .02 to NYSE American Rule 5.2E(j)(3) To Provide for the Inclusion of Cash in an Index Underlying a Series of Investment Company Units https://regulations.justia.com/regulations/fedreg/2017/08/14/2017-17045.html https://regulations.justia.com/regulations/fedreg/2017/08/14/2017-17045.html Mon, 14 Aug 2017 00:00:00 -0700 2017-17045 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-08-14/pdf/2017-17045.pdf Notice - Self-Regulatory Organizations; National Securities Clearing Corporation; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Make Certain Adjustments, Clarifications and Corrections to the Fee Provisions for Insurance and Retirement Processing Services https://regulations.justia.com/regulations/fedreg/2017/08/14/2017-17044.html https://regulations.justia.com/regulations/fedreg/2017/08/14/2017-17044.html Mon, 14 Aug 2017 00:00:00 -0700 2017-17044 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-08-14/pdf/2017-17044.pdf Notice - 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 Operational Risk Management Framework https://regulations.justia.com/regulations/fedreg/2017/08/14/2017-17043.html https://regulations.justia.com/regulations/fedreg/2017/08/14/2017-17043.html Mon, 14 Aug 2017 00:00:00 -0700 2017-17043 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-08-14/pdf/2017-17043.pdf Notice - Self-Regulatory Organizations; NYSE American LLC; Notice of Filing and Immediate Effectiveness of Proposed Change in Connection With Its Recent Name Change From NYSE MKT LLC to NYSE American LLC and the Related Rebranding of NYSE Amex Options to NYSE American Options https://regulations.justia.com/regulations/fedreg/2017/08/14/2017-17042.html https://regulations.justia.com/regulations/fedreg/2017/08/14/2017-17042.html Mon, 14 Aug 2017 00:00:00 -0700 2017-17042 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-08-14/pdf/2017-17042.pdf Notice - Sunshine Act Meeting https://regulations.justia.com/regulations/fedreg/2017/08/11/2017-17070.html https://regulations.justia.com/regulations/fedreg/2017/08/11/2017-17070.html Fri, 11 Aug 2017 00:00:00 -0700 2017-17070 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-08-11/pdf/2017-17070.pdf Notice - Self-Regulatory Organizations; C2 Options Exchange, Incorporated; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Adopt Rule 6.49, C2 Trade Match System https://regulations.justia.com/regulations/fedreg/2017/08/11/2017-16930.html https://regulations.justia.com/regulations/fedreg/2017/08/11/2017-16930.html Fri, 11 Aug 2017 00:00:00 -0700 2017-16930 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-08-11/pdf/2017-16930.pdf 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. https://regulations.justia.com/regulations/fedreg/2017/08/11/2017-16929.html https://regulations.justia.com/regulations/fedreg/2017/08/11/2017-16929.html Fri, 11 Aug 2017 00:00:00 -0700 2017-16929 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-08-11/pdf/2017-16929.pdf Notice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change in Connection With the September 5, 2017 Compliance Date for the Shortening of the Standard Settlement Cycle From Three Business Days After the Trade Date to Two Business Days After the Trade Date https://regulations.justia.com/regulations/fedreg/2017/08/11/2017-16928.html https://regulations.justia.com/regulations/fedreg/2017/08/11/2017-16928.html Fri, 11 Aug 2017 00:00:00 -0700 2017-16928 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-08-11/pdf/2017-16928.pdf Notice - Self-Regulatory Organizations; MIAX PEARL, LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend MIAX PEARL Rules 504, Trading Halts, and 521, Nullification and Adjustment of Options Transactions Including Obvious Errors https://regulations.justia.com/regulations/fedreg/2017/08/11/2017-16927.html https://regulations.justia.com/regulations/fedreg/2017/08/11/2017-16927.html Fri, 11 Aug 2017 00:00:00 -0700 2017-16927 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-08-11/pdf/2017-16927.pdf Notice - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Chapter V, Section 6, Nullification and Adjustment of Options Transactions Including Obvious Errors https://regulations.justia.com/regulations/fedreg/2017/08/11/2017-16926.html https://regulations.justia.com/regulations/fedreg/2017/08/11/2017-16926.html Fri, 11 Aug 2017 00:00:00 -0700 2017-16926 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-08-11/pdf/2017-16926.pdf Notice - Self-Regulatory Organizations; Nasdaq ISE, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Rule 720, Nullification and Adjustment of Options Transactions Including Obvious Errors https://regulations.justia.com/regulations/fedreg/2017/08/11/2017-16925.html https://regulations.justia.com/regulations/fedreg/2017/08/11/2017-16925.html Fri, 11 Aug 2017 00:00:00 -0700 2017-16925 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-08-11/pdf/2017-16925.pdf 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 504, Trading Halts, and 521, Nullification and Adjustment of Options Transactions Including Obvious Errors https://regulations.justia.com/regulations/fedreg/2017/08/11/2017-16924.html https://regulations.justia.com/regulations/fedreg/2017/08/11/2017-16924.html Fri, 11 Aug 2017 00:00:00 -0700 2017-16924 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-08-11/pdf/2017-16924.pdf 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 https://regulations.justia.com/regulations/fedreg/2017/08/10/2017-16931.html https://regulations.justia.com/regulations/fedreg/2017/08/10/2017-16931.html Thu, 10 Aug 2017 00:00:00 -0700 2017-16931 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-08-10/pdf/2017-16931.pdf Notice - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Order Approving Proposed Rule Change To Make Available a New TRACE Security Activity Report https://regulations.justia.com/regulations/fedreg/2017/08/10/2017-16831.html https://regulations.justia.com/regulations/fedreg/2017/08/10/2017-16831.html Thu, 10 Aug 2017 00:00:00 -0700 2017-16831 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-08-10/pdf/2017-16831.pdf Notice - Self-Regulatory Organizations; Investors Exchange LLC; Notice of Filing of Amendment No. 2 and Order Granting Accelerated Approval of Proposed Rule Change, as Modified by Amendment No. 2, Relating to Auctions in IEX-Listed Securities, Dissemination of Auction-Related Market Data, and Trading Halts and Pauses https://regulations.justia.com/regulations/fedreg/2017/08/10/2017-16830.html https://regulations.justia.com/regulations/fedreg/2017/08/10/2017-16830.html Thu, 10 Aug 2017 00:00:00 -0700 2017-16830 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-08-10/pdf/2017-16830.pdf Notice - Self-Regulatory Organizations; Chicago Stock Exchange, Inc.; Notice of Filing of Proposed Rule Change Regarding Qualified Contingent Trades and Related Information Recording Obligations by Certain Participants https://regulations.justia.com/regulations/fedreg/2017/08/10/2017-16829.html https://regulations.justia.com/regulations/fedreg/2017/08/10/2017-16829.html Thu, 10 Aug 2017 00:00:00 -0700 2017-16829 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-08-10/pdf/2017-16829.pdf Notice - Sage Advisory Services LTD Co. and Northern Lights Fund Trust IV https://regulations.justia.com/regulations/fedreg/2017/08/09/2017-16795.html https://regulations.justia.com/regulations/fedreg/2017/08/09/2017-16795.html Wed, 09 Aug 2017 00:00:00 -0700 2017-16795 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-08-09/pdf/2017-16795.pdf Notice - Self-Regulatory Organizations; Nasdaq MRX, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Establish Ports That Members Use To Connect to the Exchange https://regulations.justia.com/regulations/fedreg/2017/08/09/2017-16744.html https://regulations.justia.com/regulations/fedreg/2017/08/09/2017-16744.html Wed, 09 Aug 2017 00:00:00 -0700 2017-16744 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-08-09/pdf/2017-16744.pdf Notice - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing of Proposed Rule Change To Adopt the Midpoint Extended Life Order https://regulations.justia.com/regulations/fedreg/2017/08/09/2017-16743.html https://regulations.justia.com/regulations/fedreg/2017/08/09/2017-16743.html Wed, 09 Aug 2017 00:00:00 -0700 2017-16743 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-08-09/pdf/2017-16743.pdf Notice - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing of Proposed Rule Change for Trading UTP Securities on Pillar, the Exchange's New Trading Technology Platform, Including Orders and Modifiers, Order Ranking and Display, and Order Execution and Routing https://regulations.justia.com/regulations/fedreg/2017/08/09/2017-16742.html https://regulations.justia.com/regulations/fedreg/2017/08/09/2017-16742.html Wed, 09 Aug 2017 00:00:00 -0700 2017-16742 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-08-09/pdf/2017-16742.pdf Notice - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Designation of Longer Period for Commission Action on a Proposed Rule Change, as Modified by Amendment No. 1, 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 https://regulations.justia.com/regulations/fedreg/2017/08/09/2017-16741.html https://regulations.justia.com/regulations/fedreg/2017/08/09/2017-16741.html Wed, 09 Aug 2017 00:00:00 -0700 2017-16741 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-08-09/pdf/2017-16741.pdf Notice - Self-Regulatory Organizations; National Securities Clearing Corporation; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Establish the Effective Date of the Settlement Cycle Rule Changes https://regulations.justia.com/regulations/fedreg/2017/08/09/2017-16740.html https://regulations.justia.com/regulations/fedreg/2017/08/09/2017-16740.html Wed, 09 Aug 2017 00:00:00 -0700 2017-16740 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-08-09/pdf/2017-16740.pdf Notice - Self-Regulatory Organizations; The Depository Trust Company; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Establish the Effective Date of the Settlement Cycle Rule Changes https://regulations.justia.com/regulations/fedreg/2017/08/09/2017-16739.html https://regulations.justia.com/regulations/fedreg/2017/08/09/2017-16739.html Wed, 09 Aug 2017 00:00:00 -0700 2017-16739 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-08-09/pdf/2017-16739.pdf 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 Equity Options Platform https://regulations.justia.com/regulations/fedreg/2017/08/09/2017-16738.html https://regulations.justia.com/regulations/fedreg/2017/08/09/2017-16738.html Wed, 09 Aug 2017 00:00:00 -0700 2017-16738 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-08-09/pdf/2017-16738.pdf Notice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Rule 7.37 https://regulations.justia.com/regulations/fedreg/2017/08/09/2017-16737.html https://regulations.justia.com/regulations/fedreg/2017/08/09/2017-16737.html Wed, 09 Aug 2017 00:00:00 -0700 2017-16737 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-08-09/pdf/2017-16737.pdf Notice - Security-Based Swap Data Repositories; DTCC Data Repository (U.S.), LLC; Notice of Filing of Amended Application for Registration as a Security-Based Swap Data Repository https://regulations.justia.com/regulations/fedreg/2017/08/09/2017-16715.html https://regulations.justia.com/regulations/fedreg/2017/08/09/2017-16715.html Wed, 09 Aug 2017 00:00:00 -0700 2017-16715 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-08-09/pdf/2017-16715.pdf Notice - Sunshine Act Meeting https://regulations.justia.com/regulations/fedreg/2017/08/08/2017-16745.html https://regulations.justia.com/regulations/fedreg/2017/08/08/2017-16745.html Tue, 08 Aug 2017 00:00:00 -0700 2017-16745 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-08-08/pdf/2017-16745.pdf Notice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Designation of a Longer Period for Commission Action on Proposed Rule Change in Connection With the Proposed Merger of Its Wholly Owned Subsidiary NYSE Arca Equities, Inc. With and Into the Exchange https://regulations.justia.com/regulations/fedreg/2017/08/08/2017-16640.html https://regulations.justia.com/regulations/fedreg/2017/08/08/2017-16640.html Tue, 08 Aug 2017 00:00:00 -0700 2017-16640 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-08-08/pdf/2017-16640.pdf Notice - Self-Regulatory Organizations; NASDAQ PHLX LLC; Order Granting Approval of a Proposed Rule Change, as Modified by Amendment Nos. 1 and 2, To Permit the Listing and Trading of P.M.-Settled NASDAQ-100 Index® Options on a Pilot Basis https://regulations.justia.com/regulations/fedreg/2017/08/08/2017-16639.html https://regulations.justia.com/regulations/fedreg/2017/08/08/2017-16639.html Tue, 08 Aug 2017 00:00:00 -0700 2017-16639 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-08-08/pdf/2017-16639.pdf Notice - Self-Regulatory Organizations; BOX Options Exchange LLC; Order Approving a Proposed Rule Change, as Modified by Amendment Nos. 1 and 2, To Adopt Rules for an Open-Outcry Trading Floor https://regulations.justia.com/regulations/fedreg/2017/08/08/2017-16638.html https://regulations.justia.com/regulations/fedreg/2017/08/08/2017-16638.html Tue, 08 Aug 2017 00:00:00 -0700 2017-16638 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-08-08/pdf/2017-16638.pdf 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. https://regulations.justia.com/regulations/fedreg/2017/08/08/2017-16637.html https://regulations.justia.com/regulations/fedreg/2017/08/08/2017-16637.html Tue, 08 Aug 2017 00:00:00 -0700 2017-16637 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-08-08/pdf/2017-16637.pdf Notice - Self-Regulatory Organizations; Bats EDGX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Fees for Use of Bats EDGX Exchange, Inc. and Bats EDGX Exchange, Inc.'s Equity Options Platform https://regulations.justia.com/regulations/fedreg/2017/08/08/2017-16636.html https://regulations.justia.com/regulations/fedreg/2017/08/08/2017-16636.html Tue, 08 Aug 2017 00:00:00 -0700 2017-16636 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-08-08/pdf/2017-16636.pdf 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. and Bats BZX Exchange, Inc.'s Equity Options Platform https://regulations.justia.com/regulations/fedreg/2017/08/08/2017-16635.html https://regulations.justia.com/regulations/fedreg/2017/08/08/2017-16635.html Tue, 08 Aug 2017 00:00:00 -0700 2017-16635 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-08-08/pdf/2017-16635.pdf 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. https://regulations.justia.com/regulations/fedreg/2017/08/08/2017-16634.html https://regulations.justia.com/regulations/fedreg/2017/08/08/2017-16634.html Tue, 08 Aug 2017 00:00:00 -0700 2017-16634 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-08-08/pdf/2017-16634.pdf Notice - Self-Regulatory Organizations; National Securities Clearing Corporation; Notice of Filing of Advance Notice To Expand the Application of the Family-Issued Securities Charge https://regulations.justia.com/regulations/fedreg/2017/08/08/2017-16631.html https://regulations.justia.com/regulations/fedreg/2017/08/08/2017-16631.html Tue, 08 Aug 2017 00:00:00 -0700 2017-16631 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-08-08/pdf/2017-16631.pdf Notice - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Designation of a Longer Period for Commission Action on a Proposed Rule Change To Adopt FINRA Rule 6898 (Consolidated Audit Trail-Fee Dispute Resolution) https://regulations.justia.com/regulations/fedreg/2017/08/07/2017-16514.html https://regulations.justia.com/regulations/fedreg/2017/08/07/2017-16514.html Mon, 07 Aug 2017 00:00:00 -0700 2017-16514 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-08-07/pdf/2017-16514.pdf Notice - Self-Regulatory Organizations; Investors Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Adopt a Policy Relating to Its Treatment of Trade Reports That It Determines To Be Inconsistent With the Prevailing Market https://regulations.justia.com/regulations/fedreg/2017/08/07/2017-16513.html https://regulations.justia.com/regulations/fedreg/2017/08/07/2017-16513.html Mon, 07 Aug 2017 00:00:00 -0700 2017-16513 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-08-07/pdf/2017-16513.pdf Notice - Northern Lights Fund Trust and Toews Corporation https://regulations.justia.com/regulations/fedreg/2017/08/07/2017-16511.html https://regulations.justia.com/regulations/fedreg/2017/08/07/2017-16511.html Mon, 07 Aug 2017 00:00:00 -0700 2017-16511 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-08-07/pdf/2017-16511.pdf Notice - MVC Capital, Inc., et al. https://regulations.justia.com/regulations/fedreg/2017/08/07/2017-16510.html https://regulations.justia.com/regulations/fedreg/2017/08/07/2017-16510.html Mon, 07 Aug 2017 00:00:00 -0700 2017-16510 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-08-07/pdf/2017-16510.pdf 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 https://regulations.justia.com/regulations/fedreg/2017/08/04/2017-16405.html https://regulations.justia.com/regulations/fedreg/2017/08/04/2017-16405.html Fri, 04 Aug 2017 00:00:00 -0700 2017-16405 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-08-04/pdf/2017-16405.pdf 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 https://regulations.justia.com/regulations/fedreg/2017/08/04/2017-16404.html https://regulations.justia.com/regulations/fedreg/2017/08/04/2017-16404.html Fri, 04 Aug 2017 00:00:00 -0700 2017-16404 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-08-04/pdf/2017-16404.pdf 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 https://regulations.justia.com/regulations/fedreg/2017/08/04/2017-16403.html https://regulations.justia.com/regulations/fedreg/2017/08/04/2017-16403.html Fri, 04 Aug 2017 00:00:00 -0700 2017-16403 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-08-04/pdf/2017-16403.pdf 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 https://regulations.justia.com/regulations/fedreg/2017/08/04/2017-16402.html https://regulations.justia.com/regulations/fedreg/2017/08/04/2017-16402.html Fri, 04 Aug 2017 00:00:00 -0700 2017-16402 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-08-04/pdf/2017-16402.pdf 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 https://regulations.justia.com/regulations/fedreg/2017/08/04/2017-16401.html https://regulations.justia.com/regulations/fedreg/2017/08/04/2017-16401.html Fri, 04 Aug 2017 00:00:00 -0700 2017-16401 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-08-04/pdf/2017-16401.pdf 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 https://regulations.justia.com/regulations/fedreg/2017/08/04/2017-16400.html https://regulations.justia.com/regulations/fedreg/2017/08/04/2017-16400.html Fri, 04 Aug 2017 00:00:00 -0700 2017-16400 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-08-04/pdf/2017-16400.pdf 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 https://regulations.justia.com/regulations/fedreg/2017/08/04/2017-16399.html https://regulations.justia.com/regulations/fedreg/2017/08/04/2017-16399.html Fri, 04 Aug 2017 00:00:00 -0700 2017-16399 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-08-04/pdf/2017-16399.pdf 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. https://regulations.justia.com/regulations/fedreg/2017/08/04/2017-16398.html https://regulations.justia.com/regulations/fedreg/2017/08/04/2017-16398.html Fri, 04 Aug 2017 00:00:00 -0700 2017-16398 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-08-04/pdf/2017-16398.pdf 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 https://regulations.justia.com/regulations/fedreg/2017/08/04/2017-16397.html https://regulations.justia.com/regulations/fedreg/2017/08/04/2017-16397.html Fri, 04 Aug 2017 00:00:00 -0700 2017-16397 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-08-04/pdf/2017-16397.pdf 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 https://regulations.justia.com/regulations/fedreg/2017/08/04/2017-16395.html https://regulations.justia.com/regulations/fedreg/2017/08/04/2017-16395.html Fri, 04 Aug 2017 00:00:00 -0700 2017-16395 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-08-04/pdf/2017-16395.pdf Notice - Sharespost 100 Fund and SP Investments Management, LLC https://regulations.justia.com/regulations/fedreg/2017/08/04/2017-16393.html https://regulations.justia.com/regulations/fedreg/2017/08/04/2017-16393.html Fri, 04 Aug 2017 00:00:00 -0700 2017-16393 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-08-04/pdf/2017-16393.pdf Notice - USQ Core Real Estate Fund and Union Square Capital Partners, LLC https://regulations.justia.com/regulations/fedreg/2017/08/04/2017-16392.html https://regulations.justia.com/regulations/fedreg/2017/08/04/2017-16392.html Fri, 04 Aug 2017 00:00:00 -0700 2017-16392 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-08-04/pdf/2017-16392.pdf Notice - Proposed Collection; Comment Request https://regulations.justia.com/regulations/fedreg/2017/08/04/2017-16391.html https://regulations.justia.com/regulations/fedreg/2017/08/04/2017-16391.html Fri, 04 Aug 2017 00:00:00 -0700 2017-16391 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-08-04/pdf/2017-16391.pdf Notice - Self-Regulatory Organizations; C2 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 Index-Linked Exchangeable Notes https://regulations.justia.com/regulations/fedreg/2017/08/03/2017-16396.html https://regulations.justia.com/regulations/fedreg/2017/08/03/2017-16396.html Thu, 03 Aug 2017 00:00:00 -0700 2017-16396 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-08-03/pdf/2017-16396.pdf Notice - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Alter the Exchange's Fee Schedule for the Short Interest Report https://regulations.justia.com/regulations/fedreg/2017/08/03/2017-16298.html https://regulations.justia.com/regulations/fedreg/2017/08/03/2017-16298.html Thu, 03 Aug 2017 00:00:00 -0700 2017-16298 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-08-03/pdf/2017-16298.pdf Notice - Self-Regulatory Organizations; Fixed Income Clearing Corporation; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the Fees in the Mortgage-Backed Securities Division Clearing Rules and the EPN Rules https://regulations.justia.com/regulations/fedreg/2017/08/03/2017-16297.html https://regulations.justia.com/regulations/fedreg/2017/08/03/2017-16297.html Thu, 03 Aug 2017 00:00:00 -0700 2017-16297 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-08-03/pdf/2017-16297.pdf Notice - Self-Regulatory Organizations; Miami International Securities Exchange LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Adopt a New Type of MIAX Express Interface Port Known as a Purge Port, To Amend MIAX Options Rule 519C, Mass Cancellation of Trading Interest, To Adopt a New Purge Message, and To Amend Its Fee Schedule To Adopt Fees for Purge Ports https://regulations.justia.com/regulations/fedreg/2017/08/03/2017-16296.html https://regulations.justia.com/regulations/fedreg/2017/08/03/2017-16296.html Thu, 03 Aug 2017 00:00:00 -0700 2017-16296 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-08-03/pdf/2017-16296.pdf Notice - Notice of Applications for Deregistration Under Section 8(f) of the Investment Company Act of 1940 https://regulations.justia.com/regulations/fedreg/2017/08/02/2017-16273.html https://regulations.justia.com/regulations/fedreg/2017/08/02/2017-16273.html Wed, 02 Aug 2017 00:00:00 -0700 2017-16273 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-08-02/pdf/2017-16273.pdf Notice - Self-Regulatory Organizations; NASDAQ BX, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend BX Rules at Chapter IV, Section 6 https://regulations.justia.com/regulations/fedreg/2017/08/02/2017-16271.html https://regulations.justia.com/regulations/fedreg/2017/08/02/2017-16271.html Wed, 02 Aug 2017 00:00:00 -0700 2017-16271 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-08-02/pdf/2017-16271.pdf Notice - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Delay the Effective Date of the TotalView and OpenView Depth-of-Book Products https://regulations.justia.com/regulations/fedreg/2017/08/02/2017-16270.html https://regulations.justia.com/regulations/fedreg/2017/08/02/2017-16270.html Wed, 02 Aug 2017 00:00:00 -0700 2017-16270 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-08-02/pdf/2017-16270.pdf Notice - Self-Regulatory Organizations; The Depository Trust Company; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Modify the DTC Operational Arrangements Necessary for Securities To Become and Remain Eligible for DTC Services in Order To Clarify and Update Provisions Relating to the Processing of Eligibility Requests and Servicing of Assets on Deposit at DTC https://regulations.justia.com/regulations/fedreg/2017/08/02/2017-16269.html https://regulations.justia.com/regulations/fedreg/2017/08/02/2017-16269.html Wed, 02 Aug 2017 00:00:00 -0700 2017-16269 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-08-02/pdf/2017-16269.pdf Notice - Self-Regulatory Organizations; The Depository Trust Company; National Securities Clearing Corporation; Fixed Income Clearing Corporation; Notice of Filings of Proposed Rule Changes To Adopt the Clearing Agency Risk Management Framework https://regulations.justia.com/regulations/fedreg/2017/08/02/2017-16268.html https://regulations.justia.com/regulations/fedreg/2017/08/02/2017-16268.html Wed, 02 Aug 2017 00:00:00 -0700 2017-16268 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-08-02/pdf/2017-16268.pdf Notice - Self-Regulatory Organizations; Bats BZX Exchange, Inc.; Notice of Designation of a Longer Period for Commission Action on 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 https://regulations.justia.com/regulations/fedreg/2017/08/02/2017-16267.html https://regulations.justia.com/regulations/fedreg/2017/08/02/2017-16267.html Wed, 02 Aug 2017 00:00:00 -0700 2017-16267 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-08-02/pdf/2017-16267.pdf Notice - Self-Regulatory Organizations; NASDAQ PHLX LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Rule 1012 https://regulations.justia.com/regulations/fedreg/2017/08/02/2017-16266.html https://regulations.justia.com/regulations/fedreg/2017/08/02/2017-16266.html Wed, 02 Aug 2017 00:00:00 -0700 2017-16266 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-08-02/pdf/2017-16266.pdf Notice - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Options Market Rules at Chapter IV, Section 6 https://regulations.justia.com/regulations/fedreg/2017/08/02/2017-16265.html https://regulations.justia.com/regulations/fedreg/2017/08/02/2017-16265.html Wed, 02 Aug 2017 00:00:00 -0700 2017-16265 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-08-02/pdf/2017-16265.pdf Notice - Proposed Collection; Comment Request https://regulations.justia.com/regulations/fedreg/2017/08/02/2017-16214.html https://regulations.justia.com/regulations/fedreg/2017/08/02/2017-16214.html Wed, 02 Aug 2017 00:00:00 -0700 2017-16214 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-08-02/pdf/2017-16214.pdf Notice - Self-Regulatory Organizations; Municipal Securities Rulemaking Board; Notice of Filing of Amendment No. 1 and Order Granting Accelerated Approval of a Proposed Rule Change, as Modified by Amendment No. 1, Consisting of Proposed Amendments to MSRB Rule G-26, on Customer Account Transfers, To Modernize the Rule and Promote a Uniform Customer Account Transfer Standard https://regulations.justia.com/regulations/fedreg/2017/08/02/2017-16213.html https://regulations.justia.com/regulations/fedreg/2017/08/02/2017-16213.html Wed, 02 Aug 2017 00:00:00 -0700 2017-16213 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-08-02/pdf/2017-16213.pdf Notice - Self-Regulatory Organizations; NYSE American LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change in Connection With the September 5, 2017 Compliance Date for the Shortening of the Standard Settlement Cycle From Three Business Days After the Trade Date to Two Business Days After the Trade Date https://regulations.justia.com/regulations/fedreg/2017/08/02/2017-16212.html https://regulations.justia.com/regulations/fedreg/2017/08/02/2017-16212.html Wed, 02 Aug 2017 00:00:00 -0700 2017-16212 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-08-02/pdf/2017-16212.pdf Notice - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change in Connection With the September 5, 2017 Compliance Date for the Shortening of the Standard Settlement Cycle From Three Business Days After the Trade Date to Two Business Days After the Trade Date https://regulations.justia.com/regulations/fedreg/2017/08/02/2017-16211.html https://regulations.justia.com/regulations/fedreg/2017/08/02/2017-16211.html Wed, 02 Aug 2017 00:00:00 -0700 2017-16211 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-08-02/pdf/2017-16211.pdf 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 515A, MIAX Price Improvement Mechanism (“PRIME”) and PRIME Solicitation Mechanism, Rule 518, Complex Orders, and Rule 519A, Risk Protection Monitor https://regulations.justia.com/regulations/fedreg/2017/08/02/2017-16209.html https://regulations.justia.com/regulations/fedreg/2017/08/02/2017-16209.html Wed, 02 Aug 2017 00:00:00 -0700 2017-16209 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-08-02/pdf/2017-16209.pdf Notice - Self-Regulatory Organizations; NYSE MKT LLC; Notice of Filing and Immediate Effectiveness of Proposed Change To Adopt Transaction Fees in Connection With the Exchange's Transition to a Fully-Automated Cash Equities Market https://regulations.justia.com/regulations/fedreg/2017/08/02/2017-16208.html https://regulations.justia.com/regulations/fedreg/2017/08/02/2017-16208.html Wed, 02 Aug 2017 00:00:00 -0700 2017-16208 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-08-02/pdf/2017-16208.pdf Notice - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing of Amendment No. 1 and Order Granting Accelerated Approval of Proposed Rule Change, as Modified by Amendment No. 1, To Amend Its Listing Standards for Closed-End Funds https://regulations.justia.com/regulations/fedreg/2017/08/02/2017-16207.html https://regulations.justia.com/regulations/fedreg/2017/08/02/2017-16207.html Wed, 02 Aug 2017 00:00:00 -0700 2017-16207 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-08-02/pdf/2017-16207.pdf Notice - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change for Trading UTP Securities on Pillar, the Exchange's New Trading Technology Platform https://regulations.justia.com/regulations/fedreg/2017/08/02/2017-16206.html https://regulations.justia.com/regulations/fedreg/2017/08/02/2017-16206.html Wed, 02 Aug 2017 00:00:00 -0700 2017-16206 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-08-02/pdf/2017-16206.pdf Notice - 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. 1, To List and Trade Shares of Direxion Daily Crude Oil Bull 3x Shares and Direxion Daily Crude Oil Bear 3x Shares Under NYSE Arca Equities Rule 8.200 https://regulations.justia.com/regulations/fedreg/2017/08/02/2017-16205.html https://regulations.justia.com/regulations/fedreg/2017/08/02/2017-16205.html Wed, 02 Aug 2017 00:00:00 -0700 2017-16205 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-08-02/pdf/2017-16205.pdf Notice - Change Finance, PBC, et al. https://regulations.justia.com/regulations/fedreg/2017/08/02/2017-16200.html https://regulations.justia.com/regulations/fedreg/2017/08/02/2017-16200.html Wed, 02 Aug 2017 00:00:00 -0700 2017-16200 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-08-02/pdf/2017-16200.pdf Notice - Self-Regulatory Organizations; NASDAQ PHLX LLC; Notice of Filing of Proposed Rule Change To Add Functionality to the Options Floor Broker Management System https://regulations.justia.com/regulations/fedreg/2017/08/01/2017-16210.html https://regulations.justia.com/regulations/fedreg/2017/08/01/2017-16210.html Tue, 01 Aug 2017 00:00:00 -0700 2017-16210 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-08-01/pdf/2017-16210.pdf Notice - Security-Based Swap Data Repositories; ICE Trade Vault, LLC; Notice of Filing of Amended Application for Registration as a Security-Based Swap Data Repository https://regulations.justia.com/regulations/fedreg/2017/08/01/2017-16173.html https://regulations.justia.com/regulations/fedreg/2017/08/01/2017-16173.html Tue, 01 Aug 2017 00:00:00 -0700 2017-16173 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-08-01/pdf/2017-16173.pdf Notice - Self-Regulatory Organizations; Nasdaq ISE, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the Exchange's Schedule of Fees https://regulations.justia.com/regulations/fedreg/2017/08/01/2017-16109.html https://regulations.justia.com/regulations/fedreg/2017/08/01/2017-16109.html Tue, 01 Aug 2017 00:00:00 -0700 2017-16109 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-08-01/pdf/2017-16109.pdf Notice - Self-Regulatory Organizations; Nasdaq ISE, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Extend the Implementation Date in Rule 723(b) https://regulations.justia.com/regulations/fedreg/2017/08/01/2017-16108.html https://regulations.justia.com/regulations/fedreg/2017/08/01/2017-16108.html Tue, 01 Aug 2017 00:00:00 -0700 2017-16108 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-08-01/pdf/2017-16108.pdf Notice - Self-Regulatory Organizations; Fixed Income Clearing Corporation; Notice of Withdrawal of 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 https://regulations.justia.com/regulations/fedreg/2017/08/01/2017-16107.html https://regulations.justia.com/regulations/fedreg/2017/08/01/2017-16107.html Tue, 01 Aug 2017 00:00:00 -0700 2017-16107 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-08-01/pdf/2017-16107.pdf