Federal Register Recent Federal Regulation Documents - Justia Regulation Tracker - Justia Regulations Trackerhttps://regulations.justia.com/regulations/fedreg/agencies/securities-and-exchange-commission/2017/10?limit=200®isters=between&min-day=1&max-day=31&mode=atom2024-05-10T16:47:49-07:00Justia Inchttps://www.justia.com/Justia Regulations Trackerhttps://regulations.justia.com/images/justiafedregulations.gifCopyright 2011 Justia Inchttps://regulations.justia.com/regulations/fedreg/2017/10/31/2017-23670.htmlNotice - Fixed Income Market Structure Advisory Committee2017-10-31T00:00:00-07:002017-10-31T00:00:00-07:002017-23670Noticehttps://www.gpo.gov/fdsys/pkg/FR-2017-10-31/pdf/2017-23670.pdfhttps://regulations.justia.com/regulations/fedreg/2017/10/31/2017-23658.htmlNotice - Submission for OMB Review; Comment Request2017-10-31T00:00:00-07:002017-10-31T00:00:00-07:002017-23658Noticehttps://www.gpo.gov/fdsys/pkg/FR-2017-10-31/pdf/2017-23658.pdfhttps://regulations.justia.com/regulations/fedreg/2017/10/31/2017-23657.htmlNotice - Proposed Collection; Comment Request2017-10-31T00:00:00-07:002017-10-31T00:00:00-07:002017-23657Noticehttps://www.gpo.gov/fdsys/pkg/FR-2017-10-31/pdf/2017-23657.pdfhttps://regulations.justia.com/regulations/fedreg/2017/10/31/2017-23584.htmlNotice - Self-Regulatory Organizations; NASDAQ BX, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to the Exchange's Name Change2017-10-31T00:00:00-07:002017-10-31T00:00:00-07:002017-23584Noticehttps://www.gpo.gov/fdsys/pkg/FR-2017-10-31/pdf/2017-23584.pdfhttps://regulations.justia.com/regulations/fedreg/2017/10/31/2017-23583.htmlNotice - Self-Regulatory Organizations; Bats BZX Exchange, Inc.; Notice of Filing of Amendments No. 2 and No. 3, and Order Granting Accelerated Approval of a Proposed Rule Change, as Modified by Amendments No. 2 and No. 3, To List and Trade Shares of the Aptus Fortified Value ETF, a Series of ETF Series Solutions, Under Rule 14.11(c)2017-10-31T00:00:00-07:002017-10-31T00:00:00-07:002017-23583Noticehttps://www.gpo.gov/fdsys/pkg/FR-2017-10-31/pdf/2017-23583.pdfhttps://regulations.justia.com/regulations/fedreg/2017/10/31/2017-23582.htmlNotice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing of Proposed Rule Change To List and Trade Shares of the Hartford Schroders Tax-Aware Bond ETF Under NYSE Arca Rule 8.600-E2017-10-31T00:00:00-07:002017-10-31T00:00:00-07:002017-23582Noticehttps://www.gpo.gov/fdsys/pkg/FR-2017-10-31/pdf/2017-23582.pdfhttps://regulations.justia.com/regulations/fedreg/2017/10/31/2017-23581.htmlNotice - Self-Regulatory Organizations; NYSE American LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend NYSE American Equities Rules 7.31E To Establish a Minimum Dollar Threshold Into the Price Protection Mechanisms2017-10-31T00:00:00-07:002017-10-31T00:00:00-07:002017-23581Noticehttps://www.gpo.gov/fdsys/pkg/FR-2017-10-31/pdf/2017-23581.pdfhttps://regulations.justia.com/regulations/fedreg/2017/10/31/2017-23580.htmlNotice - Self-Regulatory Organizations; Nasdaq ISE, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Rules for Excluding Days From the Exchange's ADV and Market Maker Plus Tier Calculations in the Schedule of Fees2017-10-31T00:00:00-07:002017-10-31T00:00:00-07:002017-23580Noticehttps://www.gpo.gov/fdsys/pkg/FR-2017-10-31/pdf/2017-23580.pdfhttps://regulations.justia.com/regulations/fedreg/2017/10/30/2017-23507.htmlRule - Covered Securities Pursuant to Section 18 of the Securities Act of 19332017-10-30T00:00:00-07:002017-10-30T00:00:00-07:002017-23507Rulehttps://www.gpo.gov/fdsys/pkg/FR-2017-10-30/pdf/2017-23507.pdfhttps://regulations.justia.com/regulations/fedreg/2017/10/30/2017-23488.htmlNotice - Self-Regulatory Organizations; NASDAQ PHLX LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to the Exchange's Name Change2017-10-30T00:00:00-07:002017-10-30T00:00:00-07:002017-23488Noticehttps://www.gpo.gov/fdsys/pkg/FR-2017-10-30/pdf/2017-23488.pdfhttps://regulations.justia.com/regulations/fedreg/2017/10/30/2017-23487.htmlNotice - Self-Regulatory Organizations; Bats EDGX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Make Technical Corrections to Its Second Amended and Restated Certificate of Incorporation2017-10-30T00:00:00-07:002017-10-30T00:00:00-07:002017-23487Noticehttps://www.gpo.gov/fdsys/pkg/FR-2017-10-30/pdf/2017-23487.pdfhttps://regulations.justia.com/regulations/fedreg/2017/10/30/2017-23485.htmlNotice - Self-Regulatory Organizations; Bats EDGA Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Make Technical Corrections to Its Second Amended and Restated Certificate of Incorporation2017-10-30T00:00:00-07:002017-10-30T00:00:00-07:002017-23485Noticehttps://www.gpo.gov/fdsys/pkg/FR-2017-10-30/pdf/2017-23485.pdfhttps://regulations.justia.com/regulations/fedreg/2017/10/30/2017-23484.htmlNotice - Self-Regulatory Organizations; Nasdaq GEMX, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Rule 723 To Remove Obsolete Rule Text2017-10-30T00:00:00-07:002017-10-30T00:00:00-07:002017-23484Noticehttps://www.gpo.gov/fdsys/pkg/FR-2017-10-30/pdf/2017-23484.pdfhttps://regulations.justia.com/regulations/fedreg/2017/10/30/2017-23483.htmlNotice - Self-Regulatory Organizations; Nasdaq MRX, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Rule 723 To Remove Obsolete Rule Text2017-10-30T00:00:00-07:002017-10-30T00:00:00-07:002017-23483Noticehttps://www.gpo.gov/fdsys/pkg/FR-2017-10-30/pdf/2017-23483.pdfhttps://regulations.justia.com/regulations/fedreg/2017/10/30/2017-23482.htmlNotice - Self-Regulatory Organizations; Miami International Securities Exchange LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Its Fee Schedule2017-10-30T00:00:00-07:002017-10-30T00:00:00-07:002017-23482Noticehttps://www.gpo.gov/fdsys/pkg/FR-2017-10-30/pdf/2017-23482.pdfhttps://regulations.justia.com/regulations/fedreg/2017/10/30/2017-23481.htmlNotice - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Provide Users With Access to Five Additional Third Party Systems and Connectivity to Two Additional Third Party Data Feeds2017-10-30T00:00:00-07:002017-10-30T00:00:00-07:002017-23481Noticehttps://www.gpo.gov/fdsys/pkg/FR-2017-10-30/pdf/2017-23481.pdfhttps://regulations.justia.com/regulations/fedreg/2017/10/30/2017-23480.htmlNotice - Self-Regulatory Organizations; MIAX PEARL, LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the MIAX PEARL Fee Schedule2017-10-30T00:00:00-07:002017-10-30T00:00:00-07:002017-23480Noticehttps://www.gpo.gov/fdsys/pkg/FR-2017-10-30/pdf/2017-23480.pdfhttps://regulations.justia.com/regulations/fedreg/2017/10/30/2017-23479.htmlNotice - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Make Permanent an Exception to TRACE Reporting for Certain Bond Transactions Effected on the New York Stock Exchange2017-10-30T00:00:00-07:002017-10-30T00:00:00-07:002017-23479Noticehttps://www.gpo.gov/fdsys/pkg/FR-2017-10-30/pdf/2017-23479.pdfhttps://regulations.justia.com/regulations/fedreg/2017/10/30/2017-23478.htmlNotice - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Nasdaq Closing Cross Rules2017-10-30T00:00:00-07:002017-10-30T00:00:00-07:002017-23478Noticehttps://www.gpo.gov/fdsys/pkg/FR-2017-10-30/pdf/2017-23478.pdfhttps://regulations.justia.com/regulations/fedreg/2017/10/30/2017-23476.htmlNotice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Provide Users With Access to Five Additional Third Party Systems and Connectivity to Two Additional Third Party Data Feeds2017-10-30T00:00:00-07:002017-10-30T00:00:00-07:002017-23476Noticehttps://www.gpo.gov/fdsys/pkg/FR-2017-10-30/pdf/2017-23476.pdfhttps://regulations.justia.com/regulations/fedreg/2017/10/30/2017-23475.htmlNotice - Self-Regulatory Organizations; NYSE American LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Modify Rule 964.2NY Regarding the Participation Entitlement Formula for Specialists and e-Specialists2017-10-30T00:00:00-07:002017-10-30T00:00:00-07:002017-23475Noticehttps://www.gpo.gov/fdsys/pkg/FR-2017-10-30/pdf/2017-23475.pdfhttps://regulations.justia.com/regulations/fedreg/2017/10/30/2017-23474.htmlNotice - Self-Regulatory Organizations; NYSE American LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Provide Users With Access to Five Additional Third Party Systems and Connectivity to Two Additional Third Party Data Feeds2017-10-30T00:00:00-07:002017-10-30T00:00:00-07:002017-23474Noticehttps://www.gpo.gov/fdsys/pkg/FR-2017-10-30/pdf/2017-23474.pdfhttps://regulations.justia.com/regulations/fedreg/2017/10/30/2017-23471.htmlNotice - Submission for OMB Review; Comment Request2017-10-30T00:00:00-07:002017-10-30T00:00:00-07:002017-23471Noticehttps://www.gpo.gov/fdsys/pkg/FR-2017-10-30/pdf/2017-23471.pdfhttps://regulations.justia.com/regulations/fedreg/2017/10/27/2017-23379.htmlNotice - Public Company Accounting Oversight Board; Order Granting Approval of Proposed Rules on the Auditor's Report on an Audit of Financial Statements When the Auditor Expresses an Unqualified Opinion, and Departures From Unqualified Opinions and Other Reporting Circumstances, and Related Amendments to Auditing Standards2017-10-27T00:00:00-07:002017-10-27T00:00:00-07:002017-23379Noticehttps://www.gpo.gov/fdsys/pkg/FR-2017-10-27/pdf/2017-23379.pdfhttps://regulations.justia.com/regulations/fedreg/2017/10/27/2017-23378.htmlNotice - Self-Regulatory Organizations; Bats BYX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to Its Amended and Restated Certificate of Incorporation2017-10-27T00:00:00-07:002017-10-27T00:00:00-07:002017-23378Noticehttps://www.gpo.gov/fdsys/pkg/FR-2017-10-27/pdf/2017-23378.pdfhttps://regulations.justia.com/regulations/fedreg/2017/10/27/2017-23377.htmlNotice - Self-Regulatory Organizations; Bats BYX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to Its Amended and Restated Certificate of Incorporation2017-10-27T00:00:00-07:002017-10-27T00:00:00-07:002017-23377Noticehttps://www.gpo.gov/fdsys/pkg/FR-2017-10-27/pdf/2017-23377.pdfhttps://regulations.justia.com/regulations/fedreg/2017/10/27/2017-23376.htmlNotice - Self-Regulatory Organizations; Bats EDGX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Rule 11.10, Order Execution2017-10-27T00:00:00-07:002017-10-27T00:00:00-07:002017-23376Noticehttps://www.gpo.gov/fdsys/pkg/FR-2017-10-27/pdf/2017-23376.pdfhttps://regulations.justia.com/regulations/fedreg/2017/10/27/2017-23375.htmlNotice - Self-Regulatory Organizations; Investors Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Rule 11.152 To Add Provisions Related to Market Maker Withdrawals of Quotations in Securities Listed on the Investors Exchange2017-10-27T00:00:00-07:002017-10-27T00:00:00-07:002017-23375Noticehttps://www.gpo.gov/fdsys/pkg/FR-2017-10-27/pdf/2017-23375.pdfhttps://regulations.justia.com/regulations/fedreg/2017/10/27/2017-23374.htmlNotice - Self-Regulatory Organizations; Municipal Securities Rulemaking Board; Notice of Filing of a Proposed Rule Change To Amend MSRB Form G-45 To Collect Additional Data About the Transactional Fees Primarily Assessed by Programs Established To Implement the ABLE Act2017-10-27T00:00:00-07:002017-10-27T00:00:00-07:002017-23374Noticehttps://www.gpo.gov/fdsys/pkg/FR-2017-10-27/pdf/2017-23374.pdfhttps://regulations.justia.com/regulations/fedreg/2017/10/27/2017-23373.htmlNotice - Self-Regulatory Organizations; Bats EDGX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Rule 21.1, Definitions, To Modify Stop Orders and Stop Limit Orders Applicable to the Exchange's Equity Options Platform in Preparation for the C2 Options Exchange, Incorporated Technology Migration2017-10-27T00:00:00-07:002017-10-27T00:00:00-07:002017-23373Noticehttps://www.gpo.gov/fdsys/pkg/FR-2017-10-27/pdf/2017-23373.pdfhttps://regulations.justia.com/regulations/fedreg/2017/10/27/2017-23372.htmlNotice - Self-Regulatory Organizations; Bats BZX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Rule 21.1, Definitions, To Modify Stop Orders and Stop Limit Orders Applicable to the Exchange's Equity Options Platform in Preparation for the C2 Options Exchange, Incorporated Technology Migration2017-10-27T00:00:00-07:002017-10-27T00:00:00-07:002017-23372Noticehttps://www.gpo.gov/fdsys/pkg/FR-2017-10-27/pdf/2017-23372.pdfhttps://regulations.justia.com/regulations/fedreg/2017/10/27/2017-23371.htmlNotice - Self-Regulatory Organizations; NYSE Arca, Inc.; Order Approving a Proposed Rule Change, as Modified by Amendment No. 1 Thereto, To List and Trade Shares of The Gold Trust Under NYSE Arca Rule 8.201-E2017-10-27T00:00:00-07:002017-10-27T00:00:00-07:002017-23371Noticehttps://www.gpo.gov/fdsys/pkg/FR-2017-10-27/pdf/2017-23371.pdfhttps://regulations.justia.com/regulations/fedreg/2017/10/27/2017-23370.htmlNotice - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to the Exchange's Name Change2017-10-27T00:00:00-07:002017-10-27T00:00:00-07:002017-23370Noticehttps://www.gpo.gov/fdsys/pkg/FR-2017-10-27/pdf/2017-23370.pdfhttps://regulations.justia.com/regulations/fedreg/2017/10/27/2017-23369.htmlNotice - PIMCO Funds, et al.2017-10-27T00:00:00-07:002017-10-27T00:00:00-07:002017-23369Noticehttps://www.gpo.gov/fdsys/pkg/FR-2017-10-27/pdf/2017-23369.pdfhttps://regulations.justia.com/regulations/fedreg/2017/10/27/2017-23368.htmlNotice - Blackstone/GSO Floating Rate Enhanced Income Fund, et al.2017-10-27T00:00:00-07:002017-10-27T00:00:00-07:002017-23368Noticehttps://www.gpo.gov/fdsys/pkg/FR-2017-10-27/pdf/2017-23368.pdfhttps://regulations.justia.com/regulations/fedreg/2017/10/27/2017-23367.htmlNotice - Blackstone/GSO Floating Rate Enhanced Income Fund, et al.2017-10-27T00:00:00-07:002017-10-27T00:00:00-07:002017-23367Noticehttps://www.gpo.gov/fdsys/pkg/FR-2017-10-27/pdf/2017-23367.pdfhttps://regulations.justia.com/regulations/fedreg/2017/10/26/2017-23265.htmlNotice - 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 Thereto, To List and Trade Shares of the Hartford Municipal Opportunities ETF Under NYSE Arca Rule 8.600-E2017-10-26T00:00:00-07:002017-10-26T00:00:00-07:002017-23265Noticehttps://www.gpo.gov/fdsys/pkg/FR-2017-10-26/pdf/2017-23265.pdfhttps://regulations.justia.com/regulations/fedreg/2017/10/26/2017-23264.htmlNotice - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Designation of a Longer Period for Commission Action on Proposed Rule Change To Amend Section 202.06 of the NYSE Listed Company Manual To Prohibit Listed Companies From Issuing Material News After the Official Closing Time for the Exchange's Trading Session Until the Earlier of Publication of Such Company's Official Closing Price on the Exchange or Five Minutes After the Official Closing Time2017-10-26T00:00:00-07:002017-10-26T00:00:00-07:002017-23264Noticehttps://www.gpo.gov/fdsys/pkg/FR-2017-10-26/pdf/2017-23264.pdfhttps://regulations.justia.com/regulations/fedreg/2017/10/25/2017-23122.htmlNotice - Self-Regulatory Organizations; Chicago Stock Exchange, Inc.; Notice of Filing of Amendments No. 1 and No. 2 and Order Granting Accelerated Approval of a Proposed Rule Change, as Modified by Amendments No. 1 and No. 2, To Adopt the CHX Liquidity Enhancing Access Delay on a Pilot Basis2017-10-25T00:00:00-07:002017-10-25T00:00:00-07:002017-23122Noticehttps://www.gpo.gov/fdsys/pkg/FR-2017-10-25/pdf/2017-23122.pdfhttps://regulations.justia.com/regulations/fedreg/2017/10/25/2017-23121.htmlNotice - Self-Regulatory Organizations; The Options Clearing Corporation; Notice of Filing of Proposed Rule Change Related to a Comprehensive Risk Management Framework2017-10-25T00:00:00-07:002017-10-25T00:00:00-07:002017-23121Noticehttps://www.gpo.gov/fdsys/pkg/FR-2017-10-25/pdf/2017-23121.pdfhttps://regulations.justia.com/regulations/fedreg/2017/10/25/2017-23120.htmlNotice - Self-Regulatory Organizations; Nasdaq MRX, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the Exchange's Schedule of Fees2017-10-25T00:00:00-07:002017-10-25T00:00:00-07:002017-23120Noticehttps://www.gpo.gov/fdsys/pkg/FR-2017-10-25/pdf/2017-23120.pdfhttps://regulations.justia.com/regulations/fedreg/2017/10/25/2017-23119.htmlNotice - Self-Regulatory Organizations; Bats BZX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Related to Transaction Fees for the Exchange's Equity Platform2017-10-25T00:00:00-07:002017-10-25T00:00:00-07:002017-23119Noticehttps://www.gpo.gov/fdsys/pkg/FR-2017-10-25/pdf/2017-23119.pdfhttps://regulations.justia.com/regulations/fedreg/2017/10/25/2017-23118.htmlNotice - Self-Regulatory Organizations; Nasdaq ISE, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the Exchange's Schedule of Fees2017-10-25T00:00:00-07:002017-10-25T00:00:00-07:002017-23118Noticehttps://www.gpo.gov/fdsys/pkg/FR-2017-10-25/pdf/2017-23118.pdfhttps://regulations.justia.com/regulations/fedreg/2017/10/25/2017-23117.htmlNotice - Self-Regulatory Organizations; Nasdaq GEMX, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the Exchange's Schedule of Fees2017-10-25T00:00:00-07:002017-10-25T00:00:00-07:002017-23117Noticehttps://www.gpo.gov/fdsys/pkg/FR-2017-10-25/pdf/2017-23117.pdfhttps://regulations.justia.com/regulations/fedreg/2017/10/25/2017-23116.htmlNotice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the NYSE Arca Equities Fees and Charges2017-10-25T00:00:00-07:002017-10-25T00:00:00-07:002017-23116Noticehttps://www.gpo.gov/fdsys/pkg/FR-2017-10-25/pdf/2017-23116.pdfhttps://regulations.justia.com/regulations/fedreg/2017/10/25/2017-23115.htmlNotice - Options Price Reporting Authority; Notice of Filing and Immediate Effectiveness of Proposed Amendment To Modify the OPRA Fee Schedule To Eliminate the Enterprise Rate Non-Professional Subscriber Fee and Amend the Non-Professional Subscriber Fee2017-10-25T00:00:00-07:002017-10-25T00:00:00-07:002017-23115Noticehttps://www.gpo.gov/fdsys/pkg/FR-2017-10-25/pdf/2017-23115.pdfhttps://regulations.justia.com/regulations/fedreg/2017/10/25/2017-23114.htmlNotice - Options Price Reporting Authority; Notice of Filing and Immediate Effectiveness of Proposed Amendment To Modify the OPRA Fee Schedule To Amend the Professional Subscriber Device-Based Fee2017-10-25T00:00:00-07:002017-10-25T00:00:00-07:002017-23114Noticehttps://www.gpo.gov/fdsys/pkg/FR-2017-10-25/pdf/2017-23114.pdfhttps://regulations.justia.com/regulations/fedreg/2017/10/24/2017-23123.htmlNotice - Sunshine Act Meetings2017-10-24T00:00:00-07:002017-10-24T00:00:00-07:002017-23123Noticehttps://www.gpo.gov/fdsys/pkg/FR-2017-10-24/pdf/2017-23123.pdfhttps://regulations.justia.com/regulations/fedreg/2017/10/24/2017-22974.htmlNotice - Self-Regulatory Organizations; Bats BZX Exchange, Inc.; Notice of Designation of a Longer Period for Commission Action on a Proposed Rule Change To List and Trade Shares of Specified Series of the Innovator Shield Strategy S&P 500 Monthly Index Series and Innovator Ultra Shield Strategy S&P 500 Monthly Index Series Under Rule 14.11(c)(3)2017-10-24T00:00:00-07:002017-10-24T00:00:00-07:002017-22974Noticehttps://www.gpo.gov/fdsys/pkg/FR-2017-10-24/pdf/2017-22974.pdfhttps://regulations.justia.com/regulations/fedreg/2017/10/24/2017-22973.htmlNotice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend NYSE Arca Rule 1.1 and Rule 7.35-E To Make Technical and Conforming Updates in Connection With the Recent Merger of NYSE Arca Equities, Inc.2017-10-24T00:00:00-07:002017-10-24T00:00:00-07:002017-22973Noticehttps://www.gpo.gov/fdsys/pkg/FR-2017-10-24/pdf/2017-22973.pdfhttps://regulations.justia.com/regulations/fedreg/2017/10/24/2017-22972.htmlNotice - Joint Industry Plan; Notice of Filing of the Fourth Amendment to the Plan for the Purpose of Developing and Implementing Procedures Designed To Facilitate the Listing and Trading of Standardized Options2017-10-24T00:00:00-07:002017-10-24T00:00:00-07:002017-22972Noticehttps://www.gpo.gov/fdsys/pkg/FR-2017-10-24/pdf/2017-22972.pdfhttps://regulations.justia.com/regulations/fedreg/2017/10/24/2017-22955.htmlNotice - Stephens Inc.2017-10-24T00:00:00-07:002017-10-24T00:00:00-07:002017-22955Noticehttps://www.gpo.gov/fdsys/pkg/FR-2017-10-24/pdf/2017-22955.pdfhttps://regulations.justia.com/regulations/fedreg/2017/10/23/2017-22907.htmlNotice - Submission for OMB Review; Comment Request2017-10-23T00:00:00-07:002017-10-23T00:00:00-07:002017-22907Noticehttps://www.gpo.gov/fdsys/pkg/FR-2017-10-23/pdf/2017-22907.pdfhttps://regulations.justia.com/regulations/fedreg/2017/10/23/2017-22887.htmlNotice - Self-Regulatory Organizations; ICE Clear Credit LLC; Notice of Filing and Order Granting Accelerated Approval of Proposed Rule Change Relating to Changes to the ICC Clearing Rules2017-10-23T00:00:00-07:002017-10-23T00:00:00-07:002017-22887Noticehttps://www.gpo.gov/fdsys/pkg/FR-2017-10-23/pdf/2017-22887.pdfhttps://regulations.justia.com/regulations/fedreg/2017/10/23/2017-22886.htmlNotice - Self-Regulatory Organizations; Bats EDGX 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, To Adopt New Rules Governing the Trading of Complex Orders on the Exchange2017-10-23T00:00:00-07:002017-10-23T00:00:00-07:002017-22886Noticehttps://www.gpo.gov/fdsys/pkg/FR-2017-10-23/pdf/2017-22886.pdfhttps://regulations.justia.com/regulations/fedreg/2017/10/23/2017-22885.htmlNotice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Changes to Certain Representations Relating to Five PIMCO Exchange-Traded Funds Currently Listed Under NYSE Arca Rule 8.600-E2017-10-23T00:00:00-07:002017-10-23T00:00:00-07:002017-22885Noticehttps://www.gpo.gov/fdsys/pkg/FR-2017-10-23/pdf/2017-22885.pdfhttps://regulations.justia.com/regulations/fedreg/2017/10/23/2017-22884.htmlNotice - Self-Regulatory Organizations: Investors Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Reflect Name Changes of NYSE MKT to NYSE American LLC and the National Stock Exchange to NYSE National, Inc.2017-10-23T00:00:00-07:002017-10-23T00:00:00-07:002017-22884Noticehttps://www.gpo.gov/fdsys/pkg/FR-2017-10-23/pdf/2017-22884.pdfhttps://regulations.justia.com/regulations/fedreg/2017/10/23/2017-22883.htmlNotice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Rule 6.76A-O To Adopt Additional Self-Trade Prevention Modifiers2017-10-23T00:00:00-07:002017-10-23T00:00:00-07:002017-22883Noticehttps://www.gpo.gov/fdsys/pkg/FR-2017-10-23/pdf/2017-22883.pdfhttps://regulations.justia.com/regulations/fedreg/2017/10/23/2017-22882.htmlNotice - Self-Regulatory Organizations; NYSE American LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Rule 964NY To Adopt Additional Self-Trade Prevention Modifiers2017-10-23T00:00:00-07:002017-10-23T00:00:00-07:002017-22882Noticehttps://www.gpo.gov/fdsys/pkg/FR-2017-10-23/pdf/2017-22882.pdfhttps://regulations.justia.com/regulations/fedreg/2017/10/20/2017-22759.htmlNotice - Self-Regulatory Organizations; The Depository Trust Company; National Securities Clearing Corporation; Fixed Income Clearing Corporation; Notice of Designation of Longer Period for Commission Action on Proceedings To Determine Whether To Approve or Disapprove Proposed Rule Changes, as Modified by Amendments No. 1 and No. 3, To Adopt the Clearing Agency Liquidity Risk Management Framework2017-10-20T00:00:00-07:002017-10-20T00:00:00-07:002017-22759Noticehttps://www.gpo.gov/fdsys/pkg/FR-2017-10-20/pdf/2017-22759.pdfhttps://regulations.justia.com/regulations/fedreg/2017/10/20/2017-22758.htmlNotice - Self-Regulatory Organizations; The Depository Trust Company; Fixed Income Clearing Corporation; National Securities Clearing Corporation; Notice of Designation of Longer Period for Commission Action on Proceedings To Determine Whether To Approve or Disapprove Proposed Rule Changes, as Modified by Amendments No. 1, To Adopt the Clearing Agency Stress Testing Framework (Market Risk)2017-10-20T00:00:00-07:002017-10-20T00:00:00-07:002017-22758Noticehttps://www.gpo.gov/fdsys/pkg/FR-2017-10-20/pdf/2017-22758.pdfhttps://regulations.justia.com/regulations/fedreg/2017/10/20/2017-22757.htmlNotice - Self-Regulatory Organizations; Nasdaq ISE, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Assess Fees for Specialized Quote Feed and SQF Purge Ports2017-10-20T00:00:00-07:002017-10-20T00:00:00-07:002017-22757Noticehttps://www.gpo.gov/fdsys/pkg/FR-2017-10-20/pdf/2017-22757.pdfhttps://regulations.justia.com/regulations/fedreg/2017/10/20/2017-22756.htmlNotice - Self-Regulatory Organizations; Nasdaq GEMX, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Its Schedule of Fees To Increase the Monthly Cap on the Fees Assessed for Specialized Quote Feed and SQF Purge Ports That Market Makers Utilize To Connect to the Exchange2017-10-20T00:00:00-07:002017-10-20T00:00:00-07:002017-22756Noticehttps://www.gpo.gov/fdsys/pkg/FR-2017-10-20/pdf/2017-22756.pdfhttps://regulations.justia.com/regulations/fedreg/2017/10/20/2017-22755.htmlNotice - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Rules 80C, 104, 107B, and 1282017-10-20T00:00:00-07:002017-10-20T00:00:00-07:002017-22755Noticehttps://www.gpo.gov/fdsys/pkg/FR-2017-10-20/pdf/2017-22755.pdfhttps://regulations.justia.com/regulations/fedreg/2017/10/20/2017-22754.htmlNotice - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To List and Trade S&P Select Sector Index Options2017-10-20T00:00:00-07:002017-10-20T00:00:00-07:002017-22754Noticehttps://www.gpo.gov/fdsys/pkg/FR-2017-10-20/pdf/2017-22754.pdfhttps://regulations.justia.com/regulations/fedreg/2017/10/20/2017-22753.htmlNotice - Self-Regulatory Organizations; Nasdaq ISE, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the Schedule of Fees To Increase the Crossing Fee Cap2017-10-20T00:00:00-07:002017-10-20T00:00:00-07:002017-22753Noticehttps://www.gpo.gov/fdsys/pkg/FR-2017-10-20/pdf/2017-22753.pdfhttps://regulations.justia.com/regulations/fedreg/2017/10/20/2017-22752.htmlNotice - Self-Regulatory Organizations; Bats BZX Exchange, Inc.; Order Granting Approval of a Proposed Rule Change To List and Trade Shares of the WisdomTree CBOE Russell 2000 PutWrite Strategy Fund, a Series of the WisdomTree Trust, Under Rule 14.11(c)(3) (Index Fund Shares)2017-10-20T00:00:00-07:002017-10-20T00:00:00-07:002017-22752Noticehttps://www.gpo.gov/fdsys/pkg/FR-2017-10-20/pdf/2017-22752.pdfhttps://regulations.justia.com/regulations/fedreg/2017/10/19/2017-22646.htmlNotice - Proposed Collection; Comment Request2017-10-19T00:00:00-07:002017-10-19T00:00:00-07:002017-22646Noticehttps://www.gpo.gov/fdsys/pkg/FR-2017-10-19/pdf/2017-22646.pdfhttps://regulations.justia.com/regulations/fedreg/2017/10/19/2017-22644.htmlNotice - Self-Regulatory Organizations; Investors Exchange LLC; Order Approving Proposed Rule Change To Adopt Rule 14.602 To Describe the Complimentary Products and Services To Be Made Available to All Listed Companies2017-10-19T00:00:00-07:002017-10-19T00:00:00-07:002017-22644Noticehttps://www.gpo.gov/fdsys/pkg/FR-2017-10-19/pdf/2017-22644.pdfhttps://regulations.justia.com/regulations/fedreg/2017/10/19/2017-22643.htmlNotice - Self-Regulatory Organizations; The Depository Trust Company; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the DTC Distributions Guide Relating to Announcements and Tax Treatment of Certain Corporate Action Events and To Amend the DTC Fee Schedule2017-10-19T00:00:00-07:002017-10-19T00:00:00-07:002017-22643Noticehttps://www.gpo.gov/fdsys/pkg/FR-2017-10-19/pdf/2017-22643.pdfhttps://regulations.justia.com/regulations/fedreg/2017/10/18/2017-22542.htmlNotice - Submission for OMB Review; Comment Request2017-10-18T00:00:00-07:002017-10-18T00:00:00-07:002017-22542Noticehttps://www.gpo.gov/fdsys/pkg/FR-2017-10-18/pdf/2017-22542.pdfhttps://regulations.justia.com/regulations/fedreg/2017/10/18/2017-22541.htmlNotice - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the Exchange's Transaction Fees at Rule 7030 That Apply to Use of the Nasdaq Testing Facility2017-10-18T00:00:00-07:002017-10-18T00:00:00-07:002017-22541Noticehttps://www.gpo.gov/fdsys/pkg/FR-2017-10-18/pdf/2017-22541.pdfhttps://regulations.justia.com/regulations/fedreg/2017/10/18/2017-22540.htmlNotice - Self-Regulatory Organizations; Bats BZX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Related to Fees for Use on the Exchange's Equity Options Platform2017-10-18T00:00:00-07:002017-10-18T00:00:00-07:002017-22540Noticehttps://www.gpo.gov/fdsys/pkg/FR-2017-10-18/pdf/2017-22540.pdfhttps://regulations.justia.com/regulations/fedreg/2017/10/18/2017-22539.htmlNotice - Self-Regulatory Organizations; Bats BZX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Provide Interpretation With Respect to the Meaning, Administration, or Enforcement of Rule 14.11, Other Securities, and Rule 14.12, Failure To Meet Listing Standards2017-10-18T00:00:00-07:002017-10-18T00:00:00-07:002017-22539Noticehttps://www.gpo.gov/fdsys/pkg/FR-2017-10-18/pdf/2017-22539.pdfhttps://regulations.justia.com/regulations/fedreg/2017/10/18/2017-22538.htmlNotice - Self-Regulatory Organizations; Nasdaq ISE, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Rule 723 and Rule 16142017-10-18T00:00:00-07:002017-10-18T00:00:00-07:002017-22538Noticehttps://www.gpo.gov/fdsys/pkg/FR-2017-10-18/pdf/2017-22538.pdfhttps://regulations.justia.com/regulations/fedreg/2017/10/18/2017-22537.htmlNotice - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Filing of a Proposed Rule Change Relating to the Creation of an Electronic-Only Order Type2017-10-18T00:00:00-07:002017-10-18T00:00:00-07:002017-22537Noticehttps://www.gpo.gov/fdsys/pkg/FR-2017-10-18/pdf/2017-22537.pdfhttps://regulations.justia.com/regulations/fedreg/2017/10/18/2017-22536.htmlNotice - Self-Regulatory Organizations; NASDAQ PHLX LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Decrease the Qualification Criteria of a Credit Tier and Make Related Changes2017-10-18T00:00:00-07:002017-10-18T00:00:00-07:002017-22536Noticehttps://www.gpo.gov/fdsys/pkg/FR-2017-10-18/pdf/2017-22536.pdfhttps://regulations.justia.com/regulations/fedreg/2017/10/18/2017-22518.htmlNotice - Self-Regulatory Organizations; Bats EDGA Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Certain Rules To Add New Optional Functionality to Orders With a Minimum Quantity Instruction2017-10-18T00:00:00-07:002017-10-18T00:00:00-07:002017-22518Noticehttps://www.gpo.gov/fdsys/pkg/FR-2017-10-18/pdf/2017-22518.pdfhttps://regulations.justia.com/regulations/fedreg/2017/10/18/2017-22517.htmlNotice - Steadfast Alcentra Global Credit Fund and Steadfast Investment Adviser, LLC2017-10-18T00:00:00-07:002017-10-18T00:00:00-07:002017-22517Noticehttps://www.gpo.gov/fdsys/pkg/FR-2017-10-18/pdf/2017-22517.pdfhttps://regulations.justia.com/regulations/fedreg/2017/10/17/2017-22408.htmlNotice - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing of Amendment No. 1 and Order Granting Accelerated Approval of a Proposed Rule Change, as Modified by Amendment No. 1, To Amend the Listed Company Manual To Adopt Initial and Continued Listing Standards for Subscription Receipts2017-10-17T00:00:00-07:002017-10-17T00:00:00-07:002017-22408Noticehttps://www.gpo.gov/fdsys/pkg/FR-2017-10-17/pdf/2017-22408.pdfhttps://regulations.justia.com/regulations/fedreg/2017/10/17/2017-22392.htmlNotice - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Postpone Implementation of a New Attribute for Designated Retail Orders2017-10-17T00:00:00-07:002017-10-17T00:00:00-07:002017-22392Noticehttps://www.gpo.gov/fdsys/pkg/FR-2017-10-17/pdf/2017-22392.pdfhttps://regulations.justia.com/regulations/fedreg/2017/10/17/2017-22391.htmlNotice - Self-Regulatory Organizations; The Depository Trust Company; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Eliminate a Surcharge for Eligibility Requests Submitted to DTC Two Days Prior to Closing Date2017-10-17T00:00:00-07:002017-10-17T00:00:00-07:002017-22391Noticehttps://www.gpo.gov/fdsys/pkg/FR-2017-10-17/pdf/2017-22391.pdfhttps://regulations.justia.com/regulations/fedreg/2017/10/17/2017-22390.htmlNotice - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Designation of Longer Period for Commission Action on 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 ETFs2017-10-17T00:00:00-07:002017-10-17T00:00:00-07:002017-22390Noticehttps://www.gpo.gov/fdsys/pkg/FR-2017-10-17/pdf/2017-22390.pdfhttps://regulations.justia.com/regulations/fedreg/2017/10/17/2017-22389.htmlNotice - Self-Regulatory Organizations; BOX Options Exchange LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the Fee Schedule To Adopt a Strategy QOO Order Fee Cap2017-10-17T00:00:00-07:002017-10-17T00:00:00-07:002017-22389Noticehttps://www.gpo.gov/fdsys/pkg/FR-2017-10-17/pdf/2017-22389.pdfhttps://regulations.justia.com/regulations/fedreg/2017/10/17/2017-22388.htmlNotice - Self-Regulatory Organizations; BOX Options Exchange LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the Fee Schedule To Update Certain Fees Assessed Under Section VI.A (Connectivity Fees)2017-10-17T00:00:00-07:002017-10-17T00:00:00-07:002017-22388Noticehttps://www.gpo.gov/fdsys/pkg/FR-2017-10-17/pdf/2017-22388.pdfhttps://regulations.justia.com/regulations/fedreg/2017/10/17/2017-22387.htmlNotice - Self-Regulatory Organizations; Bats BYX Exchange, Inc.; Bats BZX Exchange, Inc.; Bats EDGA Exchange, Inc.; Bats EDGX Exchange, Inc.; Order Granting Approval of Proposed Rule Changes, as Modified by Amendments No. 1, To Harmonize the Corporate Governance Framework of Each Exchange With That of Chicago Board Options Exchange, Incorporated and C2 Options Exchange, Incorporated2017-10-17T00:00:00-07:002017-10-17T00:00:00-07:002017-22387Noticehttps://www.gpo.gov/fdsys/pkg/FR-2017-10-17/pdf/2017-22387.pdfhttps://regulations.justia.com/regulations/fedreg/2017/10/17/2017-22386.htmlNotice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Designation of a Longer Period for Commission Action on 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 .022017-10-17T00:00:00-07:002017-10-17T00:00:00-07:002017-22386Noticehttps://www.gpo.gov/fdsys/pkg/FR-2017-10-17/pdf/2017-22386.pdfhttps://regulations.justia.com/regulations/fedreg/2017/10/16/2017-22264.htmlNotice - Self-Regulatory Organizations; MIAX PEARL, LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the MIAX PEARL Fee Schedule2017-10-16T00:00:00-07:002017-10-16T00:00:00-07:002017-22264Noticehttps://www.gpo.gov/fdsys/pkg/FR-2017-10-16/pdf/2017-22264.pdfhttps://regulations.justia.com/regulations/fedreg/2017/10/16/2017-22263.htmlNotice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing of Proposed Rule Change To List and Trade Shares of the JPMorgan Equity Long/Short ETF Under NYSE Arca Rule 8.600-E2017-10-16T00:00:00-07:002017-10-16T00:00:00-07:002017-22263Noticehttps://www.gpo.gov/fdsys/pkg/FR-2017-10-16/pdf/2017-22263.pdfhttps://regulations.justia.com/regulations/fedreg/2017/10/16/2017-22262.htmlNotice - Self-Regulatory Organizations; Municipal Securities Rulemaking Board; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to MSRB Rule A-11, on Assessments for Municipal Advisor Professionals, To Amend the Annual Municipal Advisor Professional Fee2017-10-16T00:00:00-07:002017-10-16T00:00:00-07:002017-22262Noticehttps://www.gpo.gov/fdsys/pkg/FR-2017-10-16/pdf/2017-22262.pdfhttps://regulations.justia.com/regulations/fedreg/2017/10/13/2017-22160.htmlNotice - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Reduce the Fees for Certain Investment Management Entities and Eligible Portfolio Companies2017-10-13T00:00:00-07:002017-10-13T00:00:00-07:002017-22160Noticehttps://www.gpo.gov/fdsys/pkg/FR-2017-10-13/pdf/2017-22160.pdfhttps://regulations.justia.com/regulations/fedreg/2017/10/13/2017-22159.htmlNotice - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Waive Nasdaq's Entry Fee When a New Entity Lists in Connection With Certain Transactions Between Two or More Nasdaq-Listed Companies2017-10-13T00:00:00-07:002017-10-13T00:00:00-07:002017-22159Noticehttps://www.gpo.gov/fdsys/pkg/FR-2017-10-13/pdf/2017-22159.pdfhttps://regulations.justia.com/regulations/fedreg/2017/10/13/2017-22158.htmlNotice - Self-Regulatory Organizations; C2 Options Exchange, Incorporated; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the Fees Schedule2017-10-13T00:00:00-07:002017-10-13T00:00:00-07:002017-22158Noticehttps://www.gpo.gov/fdsys/pkg/FR-2017-10-13/pdf/2017-22158.pdfhttps://regulations.justia.com/regulations/fedreg/2017/10/12/2017-21998.htmlNotice - Self-Regulatory Organizations; NYSE American LLC; Notice of Filing and Immediate Effectiveness of Proposed Change To Modify the NYSE American Options Fee Schedule2017-10-12T00:00:00-07:002017-10-12T00:00:00-07:002017-21998Noticehttps://www.gpo.gov/fdsys/pkg/FR-2017-10-12/pdf/2017-21998.pdfhttps://regulations.justia.com/regulations/fedreg/2017/10/12/2017-21997.htmlNotice - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to the Fees Schedule2017-10-12T00:00:00-07:002017-10-12T00:00:00-07:002017-21997Noticehttps://www.gpo.gov/fdsys/pkg/FR-2017-10-12/pdf/2017-21997.pdfhttps://regulations.justia.com/regulations/fedreg/2017/10/12/2017-21996.htmlNotice - Self-Regulatory Organizations; NASDAQ PHLX LLC; Order Approving a Proposed Rule Change Relating to Quarterly Trading Requirements2017-10-12T00:00:00-07:002017-10-12T00:00:00-07:002017-21996Noticehttps://www.gpo.gov/fdsys/pkg/FR-2017-10-12/pdf/2017-21996.pdfhttps://regulations.justia.com/regulations/fedreg/2017/10/12/2017-21995.htmlNotice - Self-Regulatory Organizations; Bats BYX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Related to Transaction Fees2017-10-12T00:00:00-07:002017-10-12T00:00:00-07:002017-21995Noticehttps://www.gpo.gov/fdsys/pkg/FR-2017-10-12/pdf/2017-21995.pdfhttps://regulations.justia.com/regulations/fedreg/2017/10/12/2017-21994.htmlNotice - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend FINRA Rule 6121 To Reflect Recent Amendments to the Regulation NMS Plan To Address Extraordinary Market Volatility2017-10-12T00:00:00-07:002017-10-12T00:00:00-07:002017-21994Noticehttps://www.gpo.gov/fdsys/pkg/FR-2017-10-12/pdf/2017-21994.pdfhttps://regulations.justia.com/regulations/fedreg/2017/10/11/2017-21988.htmlNotice - Sunshine Act Meetings2017-10-11T00:00:00-07:002017-10-11T00:00:00-07:002017-21988Noticehttps://www.gpo.gov/fdsys/pkg/FR-2017-10-11/pdf/2017-21988.pdfhttps://regulations.justia.com/regulations/fedreg/2017/10/11/2017-21987.htmlNotice - Sunshine Act Meetings2017-10-11T00:00:00-07:002017-10-11T00:00:00-07:002017-21987Noticehttps://www.gpo.gov/fdsys/pkg/FR-2017-10-11/pdf/2017-21987.pdfhttps://regulations.justia.com/regulations/fedreg/2017/10/11/2017-21911.htmlNotice - Proposed Collection; Comment Request2017-10-11T00:00:00-07:002017-10-11T00:00:00-07:002017-21911Noticehttps://www.gpo.gov/fdsys/pkg/FR-2017-10-11/pdf/2017-21911.pdfhttps://regulations.justia.com/regulations/fedreg/2017/10/11/2017-21910.htmlNotice - Submission for OMB Review; Comment Request2017-10-11T00:00:00-07:002017-10-11T00:00:00-07:002017-21910Noticehttps://www.gpo.gov/fdsys/pkg/FR-2017-10-11/pdf/2017-21910.pdfhttps://regulations.justia.com/regulations/fedreg/2017/10/11/2017-21909.htmlNotice - Proposed Collection; Comment Request2017-10-11T00:00:00-07:002017-10-11T00:00:00-07:002017-21909Noticehttps://www.gpo.gov/fdsys/pkg/FR-2017-10-11/pdf/2017-21909.pdfhttps://regulations.justia.com/regulations/fedreg/2017/10/11/2017-21846.htmlNotice - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to the Review Charges for Communications Filed With or Submitted to FINRA2017-10-11T00:00:00-07:002017-10-11T00:00:00-07:002017-21846Noticehttps://www.gpo.gov/fdsys/pkg/FR-2017-10-11/pdf/2017-21846.pdfhttps://regulations.justia.com/regulations/fedreg/2017/10/11/2017-21816.htmlNotice - Self-Regulatory Organizations; LCH SA; Notice of Designation of Longer Period for Commission Action on Proposed Rule Change Relating to Options on Index Credit Default Swaps2017-10-11T00:00:00-07:002017-10-11T00:00:00-07:002017-21816Noticehttps://www.gpo.gov/fdsys/pkg/FR-2017-10-11/pdf/2017-21816.pdfhttps://regulations.justia.com/regulations/fedreg/2017/10/11/2017-21815.htmlNotice - Self-Regulatory Organizations; LCH SA; Notice of Designation of Longer Period for Commission Action on Proposed Rule Change Relating to Options on Index Credit Default Swaps2017-10-11T00:00:00-07:002017-10-11T00:00:00-07:002017-21815Noticehttps://www.gpo.gov/fdsys/pkg/FR-2017-10-11/pdf/2017-21815.pdfhttps://regulations.justia.com/regulations/fedreg/2017/10/11/2017-21814.htmlNotice - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing of Proposed Rule Change To Modify the Listing Requirements Related to Special Purpose Acquisition Companies Listing Standards To Reduce Round Lot Holders on Nasdaq Capital Market for Initial Listing From 300 to 150 and Eliminate Public Holders for Continued Listing From 300 to Zero, Require $5 Million in Net Tangible Assets for Initial and Continued Listing, and Impose a Deadline To Demonstrate Compliance With Initial Listing Requirements on All Nasdaq Markets Within 30 Days Following Each Business Combination2017-10-11T00:00:00-07:002017-10-11T00:00:00-07:002017-21814Noticehttps://www.gpo.gov/fdsys/pkg/FR-2017-10-11/pdf/2017-21814.pdfhttps://regulations.justia.com/regulations/fedreg/2017/10/11/2017-21813.htmlNotice - Self-Regulatory Organizations; Bats BZX Exchange, Inc.; Notice of Filing of a Proposed Rule Change To List and Trade Shares of the CBOE S&P 500® Dividend Aristocrats® Target Income Index ETF Under the ETF Series Solutions Trust, Under Rule 14.11(c)(3), Index Fund Shares2017-10-11T00:00:00-07:002017-10-11T00:00:00-07:002017-21813Noticehttps://www.gpo.gov/fdsys/pkg/FR-2017-10-11/pdf/2017-21813.pdfhttps://regulations.justia.com/regulations/fedreg/2017/10/11/2017-21812.htmlNotice - Self-Regulatory Organizations; NASDAQ PHLX LLC; Notice of Filing of Proposed Rule Change To Amend Rule 1009 To Modify the Criteria for Listing an Option on an Underlying Covered Security2017-10-11T00:00:00-07:002017-10-11T00:00:00-07:002017-21812Noticehttps://www.gpo.gov/fdsys/pkg/FR-2017-10-11/pdf/2017-21812.pdfhttps://regulations.justia.com/regulations/fedreg/2017/10/11/2017-21811.htmlNotice - Whitford Asset Management, LLC, et al.2017-10-11T00:00:00-07:002017-10-11T00:00:00-07:002017-21811Noticehttps://www.gpo.gov/fdsys/pkg/FR-2017-10-11/pdf/2017-21811.pdfhttps://regulations.justia.com/regulations/fedreg/2017/10/11/2017-21776.htmlNotice - USCF Fund Advisors, LLC, et al.2017-10-11T00:00:00-07:002017-10-11T00:00:00-07:002017-21776Noticehttps://www.gpo.gov/fdsys/pkg/FR-2017-10-11/pdf/2017-21776.pdfhttps://regulations.justia.com/regulations/fedreg/2017/10/11/2017-21775.htmlNotice - OppenheimerFunds, Inc., et al.2017-10-11T00:00:00-07:002017-10-11T00:00:00-07:002017-21775Noticehttps://www.gpo.gov/fdsys/pkg/FR-2017-10-11/pdf/2017-21775.pdfhttps://regulations.justia.com/regulations/fedreg/2017/10/10/2017-21705.htmlNotice - Sunshine Act Meetings2017-10-10T00:00:00-07:002017-10-10T00:00:00-07:002017-21705Noticehttps://www.gpo.gov/fdsys/pkg/FR-2017-10-10/pdf/2017-21705.pdfhttps://regulations.justia.com/regulations/fedreg/2017/10/10/2017-21674.htmlNotice - Self-Regulatory Organizations; Bats BZX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Rule 11.9, Orders and Modifiers, To Add New Optional Functionality to Minimum Quantity Orders2017-10-10T00:00:00-07:002017-10-10T00:00:00-07:002017-21674Noticehttps://www.gpo.gov/fdsys/pkg/FR-2017-10-10/pdf/2017-21674.pdfhttps://regulations.justia.com/regulations/fedreg/2017/10/10/2017-21673.htmlNotice - Self-Regulatory Organizations; Bats BYX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Rule 11.9, Orders and Modifiers, To Add New Optional Functionality to Minimum Quantity Orders2017-10-10T00:00:00-07:002017-10-10T00:00:00-07:002017-21673Noticehttps://www.gpo.gov/fdsys/pkg/FR-2017-10-10/pdf/2017-21673.pdfhttps://regulations.justia.com/regulations/fedreg/2017/10/10/2017-21672.htmlNotice - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Remove Obsolete Text From Options Regulatory Fee Rule2017-10-10T00:00:00-07:002017-10-10T00:00:00-07:002017-21672Noticehttps://www.gpo.gov/fdsys/pkg/FR-2017-10-10/pdf/2017-21672.pdfhttps://regulations.justia.com/regulations/fedreg/2017/10/10/2017-21671.htmlNotice - Self-Regulatory Organizations; NASDAQ BX, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Remove Obsolete Text From Options Regulatory Fee Rule2017-10-10T00:00:00-07:002017-10-10T00:00:00-07:002017-21671Noticehttps://www.gpo.gov/fdsys/pkg/FR-2017-10-10/pdf/2017-21671.pdfhttps://regulations.justia.com/regulations/fedreg/2017/10/10/2017-21670.htmlNotice - Self-Regulatory Organizations; Nasdaq ISE, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Remove Obsolete Text From Options Regulatory Fee Rule2017-10-10T00:00:00-07:002017-10-10T00:00:00-07:002017-21670Noticehttps://www.gpo.gov/fdsys/pkg/FR-2017-10-10/pdf/2017-21670.pdfhttps://regulations.justia.com/regulations/fedreg/2017/10/10/2017-21669.htmlNotice - Self-Regulatory Organizations; Nasdaq GEMX, LLC; Order Granting Approval of a Proposed Rule Change, as Modified by Amendment No. 1 Thereto, To Adopt New Corporate Governance and Related Processes Similar to Those of the Nasdaq Exchanges2017-10-10T00:00:00-07:002017-10-10T00:00:00-07:002017-21669Noticehttps://www.gpo.gov/fdsys/pkg/FR-2017-10-10/pdf/2017-21669.pdfhttps://regulations.justia.com/regulations/fedreg/2017/10/10/2017-21661.htmlNotice - EntrepreneurShares Series Trust, et al.2017-10-10T00:00:00-07:002017-10-10T00:00:00-07:002017-21661Noticehttps://www.gpo.gov/fdsys/pkg/FR-2017-10-10/pdf/2017-21661.pdfhttps://regulations.justia.com/regulations/fedreg/2017/10/06/2017-21541.htmlNotice - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the Exchange's Connectivity Fees at Rule 70512017-10-06T00:00:00-07:002017-10-06T00:00:00-07:002017-21541Noticehttps://www.gpo.gov/fdsys/pkg/FR-2017-10-06/pdf/2017-21541.pdfhttps://regulations.justia.com/regulations/fedreg/2017/10/06/2017-21540.htmlNotice - Self-Regulatory Organizations; ICE Clear Credit LLC; Order Approving Proposed Rule Change Relating to ICC's Liquidity Risk Management Framework and ICC's Stress Testing Framework2017-10-06T00:00:00-07:002017-10-06T00:00:00-07:002017-21540Noticehttps://www.gpo.gov/fdsys/pkg/FR-2017-10-06/pdf/2017-21540.pdfhttps://regulations.justia.com/regulations/fedreg/2017/10/06/2017-21539.htmlNotice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the Schedule of Fees and Charges Relating to the Listing Fees Applicable to Exchange Traded Products2017-10-06T00:00:00-07:002017-10-06T00:00:00-07:002017-21539Noticehttps://www.gpo.gov/fdsys/pkg/FR-2017-10-06/pdf/2017-21539.pdfhttps://regulations.justia.com/regulations/fedreg/2017/10/06/2017-21538.htmlNotice - Self-Regulatory Organizations; Nasdaq MRX, LLC; Notice of Filing of Proposed Rule Change To Adopt New Corporate Governance and Related Process Similar to Those of the Nasdaq Exchanges2017-10-06T00:00:00-07:002017-10-06T00:00:00-07:002017-21538Noticehttps://www.gpo.gov/fdsys/pkg/FR-2017-10-06/pdf/2017-21538.pdfhttps://regulations.justia.com/regulations/fedreg/2017/10/06/2017-21537.htmlNotice - Self-Regulatory Organizations; NYSE Arca, Inc.; Order Instituting Proceedings To Determine Whether To Approve or Disapprove a Proposed Rule Change, as Modified by Amendment No. 1, To List and Trade Pursuant to NYSE Arca Rule 5.2-E(j)(3) Twelve Series of Investment Company Units2017-10-06T00:00:00-07:002017-10-06T00:00:00-07:002017-21537Noticehttps://www.gpo.gov/fdsys/pkg/FR-2017-10-06/pdf/2017-21537.pdfhttps://regulations.justia.com/regulations/fedreg/2017/10/06/2017-21536.htmlNotice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Reflect a Change to the Administrator for the London Bullion Market Association Silver Price to ICE Benchmark Administration2017-10-06T00:00:00-07:002017-10-06T00:00:00-07:002017-21536Noticehttps://www.gpo.gov/fdsys/pkg/FR-2017-10-06/pdf/2017-21536.pdfhttps://regulations.justia.com/regulations/fedreg/2017/10/06/2017-21535.htmlNotice - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Its Price List To Permit Affiliated Member Organizations That Are Supplemental Liquidity Providers2017-10-06T00:00:00-07:002017-10-06T00:00:00-07:002017-21535Noticehttps://www.gpo.gov/fdsys/pkg/FR-2017-10-06/pdf/2017-21535.pdfhttps://regulations.justia.com/regulations/fedreg/2017/10/05/2017-21416.htmlNotice - Notice of Applications for Deregistration Under Section 8(f) of the Investment Company Act of 19402017-10-05T00:00:00-07:002017-10-05T00:00:00-07:002017-21416Noticehttps://www.gpo.gov/fdsys/pkg/FR-2017-10-05/pdf/2017-21416.pdfhttps://regulations.justia.com/regulations/fedreg/2017/10/05/2017-21415.htmlNotice - 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 Guide2017-10-05T00:00:00-07:002017-10-05T00:00:00-07:002017-21415Noticehttps://www.gpo.gov/fdsys/pkg/FR-2017-10-05/pdf/2017-21415.pdfhttps://regulations.justia.com/regulations/fedreg/2017/10/05/2017-21414.htmlNotice - 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 Exchange2017-10-05T00:00:00-07:002017-10-05T00:00:00-07:002017-21414Noticehttps://www.gpo.gov/fdsys/pkg/FR-2017-10-05/pdf/2017-21414.pdfhttps://regulations.justia.com/regulations/fedreg/2017/10/05/2017-21413.htmlNotice - 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)2017-10-05T00:00:00-07:002017-10-05T00:00:00-07:002017-21413Noticehttps://www.gpo.gov/fdsys/pkg/FR-2017-10-05/pdf/2017-21413.pdfhttps://regulations.justia.com/regulations/fedreg/2017/10/05/2017-21412.htmlNotice - 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 14.122017-10-05T00:00:00-07:002017-10-05T00:00:00-07:002017-21412Noticehttps://www.gpo.gov/fdsys/pkg/FR-2017-10-05/pdf/2017-21412.pdfhttps://regulations.justia.com/regulations/fedreg/2017/10/05/2017-21411.htmlNotice - 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 Manual2017-10-05T00:00:00-07:002017-10-05T00:00:00-07:002017-21411Noticehttps://www.gpo.gov/fdsys/pkg/FR-2017-10-05/pdf/2017-21411.pdfhttps://regulations.justia.com/regulations/fedreg/2017/10/05/2017-21410.htmlNotice - 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 Series2017-10-05T00:00:00-07:002017-10-05T00:00:00-07:002017-21410Noticehttps://www.gpo.gov/fdsys/pkg/FR-2017-10-05/pdf/2017-21410.pdfhttps://regulations.justia.com/regulations/fedreg/2017/10/05/2017-21409.htmlNotice - Self-Regulatory Organizations; National Securities Clearing Corporation; Order Approving Proposed Rule Change To Amend and Clarify a Margin Charge Relating to CNS Fails Positions2017-10-05T00:00:00-07:002017-10-05T00:00:00-07:002017-21409Noticehttps://www.gpo.gov/fdsys/pkg/FR-2017-10-05/pdf/2017-21409.pdfhttps://regulations.justia.com/regulations/fedreg/2017/10/05/2017-21408.htmlNotice - 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 58102017-10-05T00:00:00-07:002017-10-05T00:00:00-07:002017-21408Noticehttps://www.gpo.gov/fdsys/pkg/FR-2017-10-05/pdf/2017-21408.pdfhttps://regulations.justia.com/regulations/fedreg/2017/10/05/2017-21407.htmlNotice - 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 Mechanism2017-10-05T00:00:00-07:002017-10-05T00:00:00-07:002017-21407Noticehttps://www.gpo.gov/fdsys/pkg/FR-2017-10-05/pdf/2017-21407.pdfhttps://regulations.justia.com/regulations/fedreg/2017/10/05/2017-21406.htmlNotice - 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 Mechanism2017-10-05T00:00:00-07:002017-10-05T00:00:00-07:002017-21406Noticehttps://www.gpo.gov/fdsys/pkg/FR-2017-10-05/pdf/2017-21406.pdfhttps://regulations.justia.com/regulations/fedreg/2017/10/05/2017-21405.htmlNotice - 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 Recovery2017-10-05T00:00:00-07:002017-10-05T00:00:00-07:002017-21405Noticehttps://www.gpo.gov/fdsys/pkg/FR-2017-10-05/pdf/2017-21405.pdfhttps://regulations.justia.com/regulations/fedreg/2017/10/05/2017-21404.htmlNotice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the NYSE Arca Options Fee Schedule2017-10-05T00:00:00-07:002017-10-05T00:00:00-07:002017-21404Noticehttps://www.gpo.gov/fdsys/pkg/FR-2017-10-05/pdf/2017-21404.pdfhttps://regulations.justia.com/regulations/fedreg/2017/10/05/2017-21403.htmlNotice - 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-E2017-10-05T00:00:00-07:002017-10-05T00:00:00-07:002017-21403Noticehttps://www.gpo.gov/fdsys/pkg/FR-2017-10-05/pdf/2017-21403.pdfhttps://regulations.justia.com/regulations/fedreg/2017/10/05/2017-21402.htmlNotice - 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 Mechanism2017-10-05T00:00:00-07:002017-10-05T00:00:00-07:002017-21402Noticehttps://www.gpo.gov/fdsys/pkg/FR-2017-10-05/pdf/2017-21402.pdfhttps://regulations.justia.com/regulations/fedreg/2017/10/05/2017-21401.htmlNotice - Self-Regulatory Organizations; Chicago Stock Exchange, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Related to Sponsored Access2017-10-05T00:00:00-07:002017-10-05T00:00:00-07:002017-21401Noticehttps://www.gpo.gov/fdsys/pkg/FR-2017-10-05/pdf/2017-21401.pdfhttps://regulations.justia.com/regulations/fedreg/2017/10/05/2017-21400.htmlNotice - 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 M2017-10-05T00:00:00-07:002017-10-05T00:00:00-07:002017-21400Noticehttps://www.gpo.gov/fdsys/pkg/FR-2017-10-05/pdf/2017-21400.pdfhttps://regulations.justia.com/regulations/fedreg/2017/10/05/2017-21398.htmlNotice - Olden Lane Securities LLC and Olden Lane Trust; Notice of Application2017-10-05T00:00:00-07:002017-10-05T00:00:00-07:002017-21398Noticehttps://www.gpo.gov/fdsys/pkg/FR-2017-10-05/pdf/2017-21398.pdfhttps://regulations.justia.com/regulations/fedreg/2017/10/04/2017-21284.htmlNotice - Exemptive Relief for Individuals and Entities Affected by Hurricanes Harvey, Irma or Maria2017-10-04T00:00:00-07:002017-10-04T00:00:00-07:002017-21284Noticehttps://www.gpo.gov/fdsys/pkg/FR-2017-10-04/pdf/2017-21284.pdfhttps://regulations.justia.com/regulations/fedreg/2017/10/04/2017-21282.htmlNotice - National Securities Clearing Corporation2017-10-04T00:00:00-07:002017-10-04T00:00:00-07:002017-21282Noticehttps://www.gpo.gov/fdsys/pkg/FR-2017-10-04/pdf/2017-21282.pdfhttps://regulations.justia.com/regulations/fedreg/2017/10/04/2017-21281.htmlNotice - Self-Regulatory Organizations; Nasdaq GEMX, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the Schedule of Fees To Make It Clear That the Nasdaq GEMX Trades Feed Is a Free Offering of the Exchange2017-10-04T00:00:00-07:002017-10-04T00:00:00-07:002017-21281Noticehttps://www.gpo.gov/fdsys/pkg/FR-2017-10-04/pdf/2017-21281.pdfhttps://regulations.justia.com/regulations/fedreg/2017/10/04/2017-21280.htmlNotice - Self-Regulatory Organizations; NYSE American LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend NYSE American Rule 5.2E (j)(6)2017-10-04T00:00:00-07:002017-10-04T00:00:00-07:002017-21280Noticehttps://www.gpo.gov/fdsys/pkg/FR-2017-10-04/pdf/2017-21280.pdfhttps://regulations.justia.com/regulations/fedreg/2017/10/04/2017-21279.htmlNotice - Self-Regulatory Organizations; NASDAQ PHLX LLC; Notice of Filing of Proposed Rule Change To Introduce the Intellicator Analytic Tool2017-10-04T00:00:00-07:002017-10-04T00:00:00-07:002017-21279Noticehttps://www.gpo.gov/fdsys/pkg/FR-2017-10-04/pdf/2017-21279.pdfhttps://regulations.justia.com/regulations/fedreg/2017/10/04/2017-21278.htmlNotice - Self-Regulatory Organizations; Miami International Securities Exchange LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend MIAX Options Rule 529, Order Routing to Other Exchanges2017-10-04T00:00:00-07:002017-10-04T00:00:00-07:002017-21278Noticehttps://www.gpo.gov/fdsys/pkg/FR-2017-10-04/pdf/2017-21278.pdfhttps://regulations.justia.com/regulations/fedreg/2017/10/04/2017-21277.htmlNotice - Self-Regulatory Organizations; Bats BYX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Rule 11.23, Opening Process, and Rule 11.26, Usage of Data Feeds, To Reflect the Name Change of NYSE MKT to NYSE American2017-10-04T00:00:00-07:002017-10-04T00:00:00-07:002017-21277Noticehttps://www.gpo.gov/fdsys/pkg/FR-2017-10-04/pdf/2017-21277.pdfhttps://regulations.justia.com/regulations/fedreg/2017/10/04/2017-21276.htmlNotice - Self-Regulatory Organizations; Bats EDGA Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Rule 11.7, Opening Process, and Rule 13.4, Usage of Data Feeds, To Reflect the Name Change of NYSE MKT to NYSE American2017-10-04T00:00:00-07:002017-10-04T00:00:00-07:002017-21276Noticehttps://www.gpo.gov/fdsys/pkg/FR-2017-10-04/pdf/2017-21276.pdfhttps://regulations.justia.com/regulations/fedreg/2017/10/04/2017-21275.htmlNotice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Withdrawal of a Proposed Rule Change, as Modified by Amendment No. 2, Relating to the Listing and Trading of Shares of the Bitcoin Investment Trust Under NYSE Arca Equities Rule 8.2012017-10-04T00:00:00-07:002017-10-04T00:00:00-07:002017-21275Noticehttps://www.gpo.gov/fdsys/pkg/FR-2017-10-04/pdf/2017-21275.pdfhttps://regulations.justia.com/regulations/fedreg/2017/10/04/2017-21274.htmlNotice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Designation of a Longer Period for Commission Action on a Proposed Rule Change To List and Trade Shares of ProShares QuadPro Funds Under Commentary .02 to NYSE Arca Equities Rule 8.2002017-10-04T00:00:00-07:002017-10-04T00:00:00-07:002017-21274Noticehttps://www.gpo.gov/fdsys/pkg/FR-2017-10-04/pdf/2017-21274.pdfhttps://regulations.justia.com/regulations/fedreg/2017/10/04/2017-21273.htmlNotice - Self-Regulatory Organizations; The Depository Trust Company; National Securities Clearing Corporation; Fixed Income Clearing Corporation; Order Approving Proposed Rule Changes To Adopt the Clearing Agency Operational Risk Management Framework2017-10-04T00:00:00-07:002017-10-04T00:00:00-07:002017-21273Noticehttps://www.gpo.gov/fdsys/pkg/FR-2017-10-04/pdf/2017-21273.pdfhttps://regulations.justia.com/regulations/fedreg/2017/10/03/2017-21228.htmlNotice - American Century ETF Trust and American Century Investment Management, Inc.2017-10-03T00:00:00-07:002017-10-03T00:00:00-07:002017-21228Noticehttps://www.gpo.gov/fdsys/pkg/FR-2017-10-03/pdf/2017-21228.pdfhttps://regulations.justia.com/regulations/fedreg/2017/10/03/2017-21193.htmlNotice - Proposed Collection; Comment Request2017-10-03T00:00:00-07:002017-10-03T00:00:00-07:002017-21193Noticehttps://www.gpo.gov/fdsys/pkg/FR-2017-10-03/pdf/2017-21193.pdfhttps://regulations.justia.com/regulations/fedreg/2017/10/03/2017-21163.htmlNotice - Self-Regulatory Organizations; Miami International Securities Exchange LLC; Order Granting Approval of a Proposed Rule Change To Adopt Rules Relating to Trading in Index Options2017-10-03T00:00:00-07:002017-10-03T00:00:00-07:002017-21163Noticehttps://www.gpo.gov/fdsys/pkg/FR-2017-10-03/pdf/2017-21163.pdfhttps://regulations.justia.com/regulations/fedreg/2017/10/03/2017-21162.htmlNotice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Withdrawal of a Proposed Rule Change To Extend the Implementation Date for Certain Changes to the NYSE Arca Rule 5 and Rule 8 Series2017-10-03T00:00:00-07:002017-10-03T00:00:00-07:002017-21162Noticehttps://www.gpo.gov/fdsys/pkg/FR-2017-10-03/pdf/2017-21162.pdfhttps://regulations.justia.com/regulations/fedreg/2017/10/03/2017-21161.htmlNotice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing of Proposed Rule Change To List and Trade Shares of the GraniteShares Palladium Trust Under NYSE Arca Rule 8.201-E2017-10-03T00:00:00-07:002017-10-03T00:00:00-07:002017-21161Noticehttps://www.gpo.gov/fdsys/pkg/FR-2017-10-03/pdf/2017-21161.pdfhttps://regulations.justia.com/regulations/fedreg/2017/10/03/2017-21160.htmlNotice - Self-Regulatory Organizations; Bats BZX Exchange, Inc.; Notice of Withdrawal of a Proposed Rule Change To Extend the Implementation Date For Certain Changes to Exchange Rules 14.11 and 14.122017-10-03T00:00:00-07:002017-10-03T00:00:00-07:002017-21160Noticehttps://www.gpo.gov/fdsys/pkg/FR-2017-10-03/pdf/2017-21160.pdfhttps://regulations.justia.com/regulations/fedreg/2017/10/03/2017-21156.htmlNotice - PREDEX and PREDEX Capital Management, LLC2017-10-03T00:00:00-07:002017-10-03T00:00:00-07:002017-21156Noticehttps://www.gpo.gov/fdsys/pkg/FR-2017-10-03/pdf/2017-21156.pdfhttps://regulations.justia.com/regulations/fedreg/2017/10/03/2017-21131.htmlNotice - Wells Fargo Exchange-Traded Funds Trust, et al.2017-10-03T00:00:00-07:002017-10-03T00:00:00-07:002017-21131Noticehttps://www.gpo.gov/fdsys/pkg/FR-2017-10-03/pdf/2017-21131.pdfhttps://regulations.justia.com/regulations/fedreg/2017/10/02/2017-21159.htmlNotice - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Withdrawal of a Proposed Rule Change To Extend the Implementation Date for Certain Changes to the Rule 5700 Series and Rule 58102017-10-02T00:00:00-07:002017-10-02T00:00:00-07:002017-21159Noticehttps://www.gpo.gov/fdsys/pkg/FR-2017-10-02/pdf/2017-21159.pdfhttps://regulations.justia.com/regulations/fedreg/2017/10/02/2017-21094.htmlRule - Regulation Crowdfunding and Regulation A Relief and Assistance for Victims of Hurricane Harvey, Hurricane Irma, and Hurricane Maria2017-10-02T00:00:00-07:002017-10-02T00:00:00-07:002017-21094Rulehttps://www.gpo.gov/fdsys/pkg/FR-2017-10-02/pdf/2017-21094.pdfhttps://regulations.justia.com/regulations/fedreg/2017/10/02/2017-21002.htmlNotice - Self-Regulatory Organizations: Investors Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Related to Listing Fees2017-10-02T00:00:00-07:002017-10-02T00:00:00-07:002017-21002Noticehttps://www.gpo.gov/fdsys/pkg/FR-2017-10-02/pdf/2017-21002.pdfhttps://regulations.justia.com/regulations/fedreg/2017/10/02/2017-21001.htmlNotice - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Delay the Implementation Date of Certain Amendments to FINRA Rule 4210 Approved Pursuant to SR-FINRA-2015-0362017-10-02T00:00:00-07:002017-10-02T00:00:00-07:002017-21001Noticehttps://www.gpo.gov/fdsys/pkg/FR-2017-10-02/pdf/2017-21001.pdfhttps://regulations.justia.com/regulations/fedreg/2017/10/02/2017-21000.htmlNotice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Designation of a Longer Period for Commission Action on Proposed Rule Change, as Modified by Amendment No. 1, 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 ETF2017-10-02T00:00:00-07:002017-10-02T00:00:00-07:002017-21000Noticehttps://www.gpo.gov/fdsys/pkg/FR-2017-10-02/pdf/2017-21000.pdfhttps://regulations.justia.com/regulations/fedreg/2017/10/02/2017-20974.htmlNotice - Joint Industry Plan; Notice of Filing and Immediate Effectiveness of the Fifteenth Amendment to the National Market System Plan To Address Extraordinary Market Volatility by Bats BZX Exchange, Inc., Bats BYX Exchange, Inc., Bats EDGA Exchange, Inc., Bats EDGX Exchange, Inc., Chicago Stock Exchange, Inc., Financial Industry Regulatory Authority, Inc., Investors Exchange LLC, NASDAQ BX, Inc., NASDAQ PHLX LLC, The Nasdaq Stock Market LLC, NYSE National, Inc., New York Stock Exchange LLC, NYSE American LLC, and NYSE Arca, Inc.2017-10-02T00:00:00-07:002017-10-02T00:00:00-07:002017-20974Noticehttps://www.gpo.gov/fdsys/pkg/FR-2017-10-02/pdf/2017-20974.pdf