Federal Register Recent Federal Regulation Documents - Justia Regulation Tracker - Justia Regulations Tracker https://regulations.justia.com/regulations/fedreg/agencies/securities-and-exchange-commission/2017/10/05?limit=200&registers=between&mode=atom 2020-05-27T15:58:29-07:00 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/2017/10/05/2017-21416.html Notice - Notice of Applications for Deregistration Under Section 8(f) of the Investment Company Act of 1940 2017-10-05T00:00:00-07:00 2017-10-05T00:00:00-07:00 2017-21416 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-10-05/pdf/2017-21416.pdf https://regulations.justia.com/regulations/fedreg/2017/10/05/2017-21415.html Notice - Self-Regulatory Organizations; NYSE American LLC; Order Approving 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 2017-10-05T00:00:00-07:00 2017-10-05T00:00:00-07:00 2017-21415 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-10-05/pdf/2017-21415.pdf https://regulations.justia.com/regulations/fedreg/2017/10/05/2017-21414.html Notice - Self-Regulatory Organizations; NYSE National, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Adopt Rules To Establish a Rule Numbering Framework in Connection With the Re-Launch of Trading on the Exchange 2017-10-05T00:00:00-07:00 2017-10-05T00:00:00-07:00 2017-21414 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-10-05/pdf/2017-21414.pdf https://regulations.justia.com/regulations/fedreg/2017/10/05/2017-21413.html Notice - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Order Approving 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) 2017-10-05T00:00:00-07:00 2017-10-05T00:00:00-07:00 2017-21413 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-10-05/pdf/2017-21413.pdf https://regulations.justia.com/regulations/fedreg/2017/10/05/2017-21412.html Notice - Self-Regulatory Organizations; Bats BZX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Extend the Implementation Date for Certain Changes to Exchange Rules 14.11 and 14.12 2017-10-05T00:00:00-07:00 2017-10-05T00:00:00-07:00 2017-21412 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-10-05/pdf/2017-21412.pdf https://regulations.justia.com/regulations/fedreg/2017/10/05/2017-21411.html Notice - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Make Technical and Conforming Changes to Section 703.02 of the NYSE Listed Company Manual 2017-10-05T00:00:00-07:00 2017-10-05T00:00:00-07:00 2017-21411 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-10-05/pdf/2017-21411.pdf https://regulations.justia.com/regulations/fedreg/2017/10/05/2017-21410.html Notice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Extend the Implementation Date for Certain Changes to the NYSE Arca Rule 5 and Rule 8 Series 2017-10-05T00:00:00-07:00 2017-10-05T00:00:00-07:00 2017-21410 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-10-05/pdf/2017-21410.pdf https://regulations.justia.com/regulations/fedreg/2017/10/05/2017-21409.html Notice - Self-Regulatory Organizations; National Securities Clearing Corporation; Order Approving Proposed Rule Change To Amend and Clarify a Margin Charge Relating to CNS Fails Positions 2017-10-05T00:00:00-07:00 2017-10-05T00:00:00-07:00 2017-21409 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-10-05/pdf/2017-21409.pdf https://regulations.justia.com/regulations/fedreg/2017/10/05/2017-21408.html Notice - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Extend the Implementation Date for Certain Changes to the Rule 5700 Series and Rule 5810 2017-10-05T00:00:00-07:00 2017-10-05T00:00:00-07:00 2017-21408 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-10-05/pdf/2017-21408.pdf https://regulations.justia.com/regulations/fedreg/2017/10/05/2017-21407.html Notice - Self-Regulatory Organizations; Nasdaq ISE, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Rule 716(c) on the Block Order Mechanism 2017-10-05T00:00:00-07:00 2017-10-05T00:00:00-07:00 2017-21407 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-10-05/pdf/2017-21407.pdf https://regulations.justia.com/regulations/fedreg/2017/10/05/2017-21406.html Notice - Self-Regulatory Organizations; Nasdaq GEMX, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Rule 716(c) on the Block Order Mechanism 2017-10-05T00:00:00-07:00 2017-10-05T00:00:00-07:00 2017-21406 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-10-05/pdf/2017-21406.pdf https://regulations.justia.com/regulations/fedreg/2017/10/05/2017-21405.html Notice - Self-Regulatory Organizations; C2 Options Exchange, Incorporated; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Rule 6.45 Relating to Disaster Recovery 2017-10-05T00:00:00-07:00 2017-10-05T00:00:00-07:00 2017-21405 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-10-05/pdf/2017-21405.pdf https://regulations.justia.com/regulations/fedreg/2017/10/05/2017-21404.html Notice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the NYSE Arca Options Fee Schedule 2017-10-05T00:00:00-07:00 2017-10-05T00:00:00-07:00 2017-21404 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-10-05/pdf/2017-21404.pdf https://regulations.justia.com/regulations/fedreg/2017/10/05/2017-21403.html Notice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing of Proposed Rule Change To List and Trade Shares of the JPMorgan Managed Futures ETF Under NYSE Arca Rule 8.600-E 2017-10-05T00:00:00-07:00 2017-10-05T00:00:00-07:00 2017-21403 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-10-05/pdf/2017-21403.pdf https://regulations.justia.com/regulations/fedreg/2017/10/05/2017-21402.html Notice - Self-Regulatory Organizations; Nasdaq MRX, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Rule 716(c) on the Block Order Mechanism 2017-10-05T00:00:00-07:00 2017-10-05T00:00:00-07:00 2017-21402 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-10-05/pdf/2017-21402.pdf https://regulations.justia.com/regulations/fedreg/2017/10/05/2017-21401.html Notice - Self-Regulatory Organizations; Chicago Stock Exchange, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Related to Sponsored Access 2017-10-05T00:00:00-07:00 2017-10-05T00:00:00-07:00 2017-21401 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-10-05/pdf/2017-21401.pdf https://regulations.justia.com/regulations/fedreg/2017/10/05/2017-21400.html Notice - Order Granting Limited Exemptions From Exchange Act Rule 10b-17 and Rules 101 and 102 of Regulation M to VanEck Vectors NDR CMG Long/Flat Allocation ETF Pursuant to Exchange Act Rule 10b-17(b)(2) and Rules 101(d) and 102(e) of Regulation M 2017-10-05T00:00:00-07:00 2017-10-05T00:00:00-07:00 2017-21400 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-10-05/pdf/2017-21400.pdf https://regulations.justia.com/regulations/fedreg/2017/10/05/2017-21398.html Notice - Olden Lane Securities LLC and Olden Lane Trust; Notice of Application 2017-10-05T00:00:00-07:00 2017-10-05T00:00:00-07:00 2017-21398 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-10-05/pdf/2017-21398.pdf