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?limit=200&registers=between&min-day=1&max-day=31&mode=atom 2020-03-31T01:25:45-07:00 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/2017/10/31/2017-23670.html Notice - Fixed Income Market Structure Advisory Committee 2017-10-31T00:00:00-07:00 2017-10-31T00:00:00-07:00 2017-23670 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-10-31/pdf/2017-23670.pdf https://regulations.justia.com/regulations/fedreg/2017/10/31/2017-23658.html Notice - Submission for OMB Review; Comment Request 2017-10-31T00:00:00-07:00 2017-10-31T00:00:00-07:00 2017-23658 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-10-31/pdf/2017-23658.pdf https://regulations.justia.com/regulations/fedreg/2017/10/31/2017-23657.html Notice - Proposed Collection; Comment Request 2017-10-31T00:00:00-07:00 2017-10-31T00:00:00-07:00 2017-23657 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-10-31/pdf/2017-23657.pdf https://regulations.justia.com/regulations/fedreg/2017/10/31/2017-23584.html Notice - Self-Regulatory Organizations; NASDAQ BX, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to the Exchange's Name Change 2017-10-31T00:00:00-07:00 2017-10-31T00:00:00-07:00 2017-23584 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-10-31/pdf/2017-23584.pdf https://regulations.justia.com/regulations/fedreg/2017/10/31/2017-23583.html Notice - 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) 2017-10-31T00:00:00-07:00 2017-10-31T00:00:00-07:00 2017-23583 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-10-31/pdf/2017-23583.pdf https://regulations.justia.com/regulations/fedreg/2017/10/31/2017-23582.html Notice - 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-E 2017-10-31T00:00:00-07:00 2017-10-31T00:00:00-07:00 2017-23582 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-10-31/pdf/2017-23582.pdf https://regulations.justia.com/regulations/fedreg/2017/10/31/2017-23581.html Notice - 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 Mechanisms 2017-10-31T00:00:00-07:00 2017-10-31T00:00:00-07:00 2017-23581 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-10-31/pdf/2017-23581.pdf https://regulations.justia.com/regulations/fedreg/2017/10/31/2017-23580.html Notice - 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 Fees 2017-10-31T00:00:00-07:00 2017-10-31T00:00:00-07:00 2017-23580 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-10-31/pdf/2017-23580.pdf https://regulations.justia.com/regulations/fedreg/2017/10/30/2017-23507.html Rule - Covered Securities Pursuant to Section 18 of the Securities Act of 1933 2017-10-30T00:00:00-07:00 2017-10-30T00:00:00-07:00 2017-23507 Rule https://www.gpo.gov/fdsys/pkg/FR-2017-10-30/pdf/2017-23507.pdf https://regulations.justia.com/regulations/fedreg/2017/10/30/2017-23488.html Notice - Self-Regulatory Organizations; NASDAQ PHLX LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to the Exchange's Name Change 2017-10-30T00:00:00-07:00 2017-10-30T00:00:00-07:00 2017-23488 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-10-30/pdf/2017-23488.pdf https://regulations.justia.com/regulations/fedreg/2017/10/30/2017-23487.html Notice - 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 Incorporation 2017-10-30T00:00:00-07:00 2017-10-30T00:00:00-07:00 2017-23487 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-10-30/pdf/2017-23487.pdf https://regulations.justia.com/regulations/fedreg/2017/10/30/2017-23485.html Notice - 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 Incorporation 2017-10-30T00:00:00-07:00 2017-10-30T00:00:00-07:00 2017-23485 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-10-30/pdf/2017-23485.pdf https://regulations.justia.com/regulations/fedreg/2017/10/30/2017-23484.html Notice - Self-Regulatory Organizations; Nasdaq GEMX, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Rule 723 To Remove Obsolete Rule Text 2017-10-30T00:00:00-07:00 2017-10-30T00:00:00-07:00 2017-23484 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-10-30/pdf/2017-23484.pdf https://regulations.justia.com/regulations/fedreg/2017/10/30/2017-23483.html Notice - Self-Regulatory Organizations; Nasdaq MRX, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Rule 723 To Remove Obsolete Rule Text 2017-10-30T00:00:00-07:00 2017-10-30T00:00:00-07:00 2017-23483 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-10-30/pdf/2017-23483.pdf https://regulations.justia.com/regulations/fedreg/2017/10/30/2017-23482.html 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 2017-10-30T00:00:00-07:00 2017-10-30T00:00:00-07:00 2017-23482 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-10-30/pdf/2017-23482.pdf https://regulations.justia.com/regulations/fedreg/2017/10/30/2017-23481.html Notice - 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 Feeds 2017-10-30T00:00:00-07:00 2017-10-30T00:00:00-07:00 2017-23481 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-10-30/pdf/2017-23481.pdf https://regulations.justia.com/regulations/fedreg/2017/10/30/2017-23480.html Notice - Self-Regulatory Organizations; MIAX PEARL, LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the MIAX PEARL Fee Schedule 2017-10-30T00:00:00-07:00 2017-10-30T00:00:00-07:00 2017-23480 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-10-30/pdf/2017-23480.pdf https://regulations.justia.com/regulations/fedreg/2017/10/30/2017-23479.html Notice - 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 Exchange 2017-10-30T00:00:00-07:00 2017-10-30T00:00:00-07:00 2017-23479 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-10-30/pdf/2017-23479.pdf https://regulations.justia.com/regulations/fedreg/2017/10/30/2017-23478.html Notice - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Nasdaq Closing Cross Rules 2017-10-30T00:00:00-07:00 2017-10-30T00:00:00-07:00 2017-23478 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-10-30/pdf/2017-23478.pdf https://regulations.justia.com/regulations/fedreg/2017/10/30/2017-23476.html Notice - 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 Feeds 2017-10-30T00:00:00-07:00 2017-10-30T00:00:00-07:00 2017-23476 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-10-30/pdf/2017-23476.pdf https://regulations.justia.com/regulations/fedreg/2017/10/30/2017-23475.html Notice - 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-Specialists 2017-10-30T00:00:00-07:00 2017-10-30T00:00:00-07:00 2017-23475 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-10-30/pdf/2017-23475.pdf https://regulations.justia.com/regulations/fedreg/2017/10/30/2017-23474.html Notice - 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 Feeds 2017-10-30T00:00:00-07:00 2017-10-30T00:00:00-07:00 2017-23474 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-10-30/pdf/2017-23474.pdf https://regulations.justia.com/regulations/fedreg/2017/10/30/2017-23471.html Notice - Submission for OMB Review; Comment Request 2017-10-30T00:00:00-07:00 2017-10-30T00:00:00-07:00 2017-23471 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-10-30/pdf/2017-23471.pdf https://regulations.justia.com/regulations/fedreg/2017/10/27/2017-23379.html Notice - 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 Standards 2017-10-27T00:00:00-07:00 2017-10-27T00:00:00-07:00 2017-23379 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-10-27/pdf/2017-23379.pdf https://regulations.justia.com/regulations/fedreg/2017/10/27/2017-23378.html Notice - 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 Incorporation 2017-10-27T00:00:00-07:00 2017-10-27T00:00:00-07:00 2017-23378 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-10-27/pdf/2017-23378.pdf https://regulations.justia.com/regulations/fedreg/2017/10/27/2017-23377.html Notice - 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 Incorporation 2017-10-27T00:00:00-07:00 2017-10-27T00:00:00-07:00 2017-23377 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-10-27/pdf/2017-23377.pdf https://regulations.justia.com/regulations/fedreg/2017/10/27/2017-23376.html Notice - Self-Regulatory Organizations; Bats EDGX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Rule 11.10, Order Execution 2017-10-27T00:00:00-07:00 2017-10-27T00:00:00-07:00 2017-23376 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-10-27/pdf/2017-23376.pdf https://regulations.justia.com/regulations/fedreg/2017/10/27/2017-23375.html Notice - 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 Exchange 2017-10-27T00:00:00-07:00 2017-10-27T00:00:00-07:00 2017-23375 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-10-27/pdf/2017-23375.pdf https://regulations.justia.com/regulations/fedreg/2017/10/27/2017-23374.html Notice - 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 Act 2017-10-27T00:00:00-07:00 2017-10-27T00:00:00-07:00 2017-23374 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-10-27/pdf/2017-23374.pdf https://regulations.justia.com/regulations/fedreg/2017/10/27/2017-23373.html Notice - 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 Migration 2017-10-27T00:00:00-07:00 2017-10-27T00:00:00-07:00 2017-23373 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-10-27/pdf/2017-23373.pdf https://regulations.justia.com/regulations/fedreg/2017/10/27/2017-23372.html Notice - 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 Migration 2017-10-27T00:00:00-07:00 2017-10-27T00:00:00-07:00 2017-23372 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-10-27/pdf/2017-23372.pdf https://regulations.justia.com/regulations/fedreg/2017/10/27/2017-23371.html Notice - 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-E 2017-10-27T00:00:00-07:00 2017-10-27T00:00:00-07:00 2017-23371 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-10-27/pdf/2017-23371.pdf https://regulations.justia.com/regulations/fedreg/2017/10/27/2017-23370.html Notice - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to the Exchange's Name Change 2017-10-27T00:00:00-07:00 2017-10-27T00:00:00-07:00 2017-23370 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-10-27/pdf/2017-23370.pdf https://regulations.justia.com/regulations/fedreg/2017/10/27/2017-23369.html Notice - PIMCO Funds, et al. 2017-10-27T00:00:00-07:00 2017-10-27T00:00:00-07:00 2017-23369 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-10-27/pdf/2017-23369.pdf https://regulations.justia.com/regulations/fedreg/2017/10/27/2017-23368.html Notice - Blackstone/GSO Floating Rate Enhanced Income Fund, et al. 2017-10-27T00:00:00-07:00 2017-10-27T00:00:00-07:00 2017-23368 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-10-27/pdf/2017-23368.pdf https://regulations.justia.com/regulations/fedreg/2017/10/27/2017-23367.html Notice - Blackstone/GSO Floating Rate Enhanced Income Fund, et al. 2017-10-27T00:00:00-07:00 2017-10-27T00:00:00-07:00 2017-23367 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-10-27/pdf/2017-23367.pdf https://regulations.justia.com/regulations/fedreg/2017/10/26/2017-23265.html 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 Thereto, To List and Trade Shares of the Hartford Municipal Opportunities ETF Under NYSE Arca Rule 8.600-E 2017-10-26T00:00:00-07:00 2017-10-26T00:00:00-07:00 2017-23265 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-10-26/pdf/2017-23265.pdf https://regulations.justia.com/regulations/fedreg/2017/10/26/2017-23264.html Notice - 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 Time 2017-10-26T00:00:00-07:00 2017-10-26T00:00:00-07:00 2017-23264 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-10-26/pdf/2017-23264.pdf https://regulations.justia.com/regulations/fedreg/2017/10/25/2017-23122.html Notice - 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 Basis 2017-10-25T00:00:00-07:00 2017-10-25T00:00:00-07:00 2017-23122 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-10-25/pdf/2017-23122.pdf https://regulations.justia.com/regulations/fedreg/2017/10/25/2017-23121.html Notice - Self-Regulatory Organizations; The Options Clearing Corporation; Notice of Filing of Proposed Rule Change Related to a Comprehensive Risk Management Framework 2017-10-25T00:00:00-07:00 2017-10-25T00:00:00-07:00 2017-23121 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-10-25/pdf/2017-23121.pdf https://regulations.justia.com/regulations/fedreg/2017/10/25/2017-23120.html Notice - Self-Regulatory Organizations; Nasdaq MRX, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the Exchange's Schedule of Fees 2017-10-25T00:00:00-07:00 2017-10-25T00:00:00-07:00 2017-23120 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-10-25/pdf/2017-23120.pdf https://regulations.justia.com/regulations/fedreg/2017/10/25/2017-23119.html Notice - 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 Platform 2017-10-25T00:00:00-07:00 2017-10-25T00:00:00-07:00 2017-23119 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-10-25/pdf/2017-23119.pdf https://regulations.justia.com/regulations/fedreg/2017/10/25/2017-23118.html 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 2017-10-25T00:00:00-07:00 2017-10-25T00:00:00-07:00 2017-23118 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-10-25/pdf/2017-23118.pdf https://regulations.justia.com/regulations/fedreg/2017/10/25/2017-23117.html Notice - Self-Regulatory Organizations; Nasdaq GEMX, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the Exchange's Schedule of Fees 2017-10-25T00:00:00-07:00 2017-10-25T00:00:00-07:00 2017-23117 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-10-25/pdf/2017-23117.pdf https://regulations.justia.com/regulations/fedreg/2017/10/25/2017-23116.html Notice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the NYSE Arca Equities Fees and Charges 2017-10-25T00:00:00-07:00 2017-10-25T00:00:00-07:00 2017-23116 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-10-25/pdf/2017-23116.pdf https://regulations.justia.com/regulations/fedreg/2017/10/25/2017-23115.html Notice - 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 Fee 2017-10-25T00:00:00-07:00 2017-10-25T00:00:00-07:00 2017-23115 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-10-25/pdf/2017-23115.pdf https://regulations.justia.com/regulations/fedreg/2017/10/25/2017-23114.html Notice - 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 Fee 2017-10-25T00:00:00-07:00 2017-10-25T00:00:00-07:00 2017-23114 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-10-25/pdf/2017-23114.pdf https://regulations.justia.com/regulations/fedreg/2017/10/24/2017-23123.html Notice - Sunshine Act Meetings 2017-10-24T00:00:00-07:00 2017-10-24T00:00:00-07:00 2017-23123 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-10-24/pdf/2017-23123.pdf https://regulations.justia.com/regulations/fedreg/2017/10/24/2017-22974.html Notice - 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) 2017-10-24T00:00:00-07:00 2017-10-24T00:00:00-07:00 2017-22974 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-10-24/pdf/2017-22974.pdf https://regulations.justia.com/regulations/fedreg/2017/10/24/2017-22973.html Notice - 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. 2017-10-24T00:00:00-07:00 2017-10-24T00:00:00-07:00 2017-22973 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-10-24/pdf/2017-22973.pdf https://regulations.justia.com/regulations/fedreg/2017/10/24/2017-22972.html Notice - 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 Options 2017-10-24T00:00:00-07:00 2017-10-24T00:00:00-07:00 2017-22972 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-10-24/pdf/2017-22972.pdf https://regulations.justia.com/regulations/fedreg/2017/10/24/2017-22955.html Notice - Stephens Inc. 2017-10-24T00:00:00-07:00 2017-10-24T00:00:00-07:00 2017-22955 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-10-24/pdf/2017-22955.pdf https://regulations.justia.com/regulations/fedreg/2017/10/23/2017-22907.html Notice - Submission for OMB Review; Comment Request 2017-10-23T00:00:00-07:00 2017-10-23T00:00:00-07:00 2017-22907 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-10-23/pdf/2017-22907.pdf https://regulations.justia.com/regulations/fedreg/2017/10/23/2017-22887.html Notice - 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 Rules 2017-10-23T00:00:00-07:00 2017-10-23T00:00:00-07:00 2017-22887 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-10-23/pdf/2017-22887.pdf https://regulations.justia.com/regulations/fedreg/2017/10/23/2017-22886.html Notice - 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 Exchange 2017-10-23T00:00:00-07:00 2017-10-23T00:00:00-07:00 2017-22886 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-10-23/pdf/2017-22886.pdf https://regulations.justia.com/regulations/fedreg/2017/10/23/2017-22885.html Notice - 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-E 2017-10-23T00:00:00-07:00 2017-10-23T00:00:00-07:00 2017-22885 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-10-23/pdf/2017-22885.pdf https://regulations.justia.com/regulations/fedreg/2017/10/23/2017-22884.html Notice - 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. 2017-10-23T00:00:00-07:00 2017-10-23T00:00:00-07:00 2017-22884 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-10-23/pdf/2017-22884.pdf https://regulations.justia.com/regulations/fedreg/2017/10/23/2017-22883.html Notice - 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 Modifiers 2017-10-23T00:00:00-07:00 2017-10-23T00:00:00-07:00 2017-22883 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-10-23/pdf/2017-22883.pdf https://regulations.justia.com/regulations/fedreg/2017/10/23/2017-22882.html Notice - 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 Modifiers 2017-10-23T00:00:00-07:00 2017-10-23T00:00:00-07:00 2017-22882 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-10-23/pdf/2017-22882.pdf https://regulations.justia.com/regulations/fedreg/2017/10/20/2017-22759.html Notice - 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 Framework 2017-10-20T00:00:00-07:00 2017-10-20T00:00:00-07:00 2017-22759 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-10-20/pdf/2017-22759.pdf https://regulations.justia.com/regulations/fedreg/2017/10/20/2017-22758.html Notice - 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) 2017-10-20T00:00:00-07:00 2017-10-20T00:00:00-07:00 2017-22758 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-10-20/pdf/2017-22758.pdf https://regulations.justia.com/regulations/fedreg/2017/10/20/2017-22757.html Notice - 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 Ports 2017-10-20T00:00:00-07:00 2017-10-20T00:00:00-07:00 2017-22757 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-10-20/pdf/2017-22757.pdf https://regulations.justia.com/regulations/fedreg/2017/10/20/2017-22756.html Notice - 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 Exchange 2017-10-20T00:00:00-07:00 2017-10-20T00:00:00-07:00 2017-22756 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-10-20/pdf/2017-22756.pdf https://regulations.justia.com/regulations/fedreg/2017/10/20/2017-22755.html Notice - 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 128 2017-10-20T00:00:00-07:00 2017-10-20T00:00:00-07:00 2017-22755 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-10-20/pdf/2017-22755.pdf https://regulations.justia.com/regulations/fedreg/2017/10/20/2017-22754.html Notice - 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 Options 2017-10-20T00:00:00-07:00 2017-10-20T00:00:00-07:00 2017-22754 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-10-20/pdf/2017-22754.pdf https://regulations.justia.com/regulations/fedreg/2017/10/20/2017-22753.html Notice - 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 Cap 2017-10-20T00:00:00-07:00 2017-10-20T00:00:00-07:00 2017-22753 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-10-20/pdf/2017-22753.pdf https://regulations.justia.com/regulations/fedreg/2017/10/20/2017-22752.html Notice - 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) 2017-10-20T00:00:00-07:00 2017-10-20T00:00:00-07:00 2017-22752 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-10-20/pdf/2017-22752.pdf https://regulations.justia.com/regulations/fedreg/2017/10/19/2017-22646.html Notice - Proposed Collection; Comment Request 2017-10-19T00:00:00-07:00 2017-10-19T00:00:00-07:00 2017-22646 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-10-19/pdf/2017-22646.pdf https://regulations.justia.com/regulations/fedreg/2017/10/19/2017-22644.html Notice - 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 Companies 2017-10-19T00:00:00-07:00 2017-10-19T00:00:00-07:00 2017-22644 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-10-19/pdf/2017-22644.pdf https://regulations.justia.com/regulations/fedreg/2017/10/19/2017-22643.html Notice - 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 Schedule 2017-10-19T00:00:00-07:00 2017-10-19T00:00:00-07:00 2017-22643 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-10-19/pdf/2017-22643.pdf https://regulations.justia.com/regulations/fedreg/2017/10/18/2017-22542.html Notice - Submission for OMB Review; Comment Request 2017-10-18T00:00:00-07:00 2017-10-18T00:00:00-07:00 2017-22542 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-10-18/pdf/2017-22542.pdf https://regulations.justia.com/regulations/fedreg/2017/10/18/2017-22541.html 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 Rule 7030 That Apply to Use of the Nasdaq Testing Facility 2017-10-18T00:00:00-07:00 2017-10-18T00:00:00-07:00 2017-22541 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-10-18/pdf/2017-22541.pdf https://regulations.justia.com/regulations/fedreg/2017/10/18/2017-22540.html 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 the Exchange's Equity Options Platform 2017-10-18T00:00:00-07:00 2017-10-18T00:00:00-07:00 2017-22540 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-10-18/pdf/2017-22540.pdf https://regulations.justia.com/regulations/fedreg/2017/10/18/2017-22539.html Notice - 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 Standards 2017-10-18T00:00:00-07:00 2017-10-18T00:00:00-07:00 2017-22539 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-10-18/pdf/2017-22539.pdf https://regulations.justia.com/regulations/fedreg/2017/10/18/2017-22538.html Notice - Self-Regulatory Organizations; Nasdaq ISE, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Rule 723 and Rule 1614 2017-10-18T00:00:00-07:00 2017-10-18T00:00:00-07:00 2017-22538 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-10-18/pdf/2017-22538.pdf https://regulations.justia.com/regulations/fedreg/2017/10/18/2017-22537.html Notice - 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 Type 2017-10-18T00:00:00-07:00 2017-10-18T00:00:00-07:00 2017-22537 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-10-18/pdf/2017-22537.pdf https://regulations.justia.com/regulations/fedreg/2017/10/18/2017-22536.html Notice - 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 Changes 2017-10-18T00:00:00-07:00 2017-10-18T00:00:00-07:00 2017-22536 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-10-18/pdf/2017-22536.pdf https://regulations.justia.com/regulations/fedreg/2017/10/18/2017-22518.html Notice - 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 Instruction 2017-10-18T00:00:00-07:00 2017-10-18T00:00:00-07:00 2017-22518 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-10-18/pdf/2017-22518.pdf https://regulations.justia.com/regulations/fedreg/2017/10/18/2017-22517.html Notice - Steadfast Alcentra Global Credit Fund and Steadfast Investment Adviser, LLC 2017-10-18T00:00:00-07:00 2017-10-18T00:00:00-07:00 2017-22517 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-10-18/pdf/2017-22517.pdf https://regulations.justia.com/regulations/fedreg/2017/10/17/2017-22408.html Notice - 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 Receipts 2017-10-17T00:00:00-07:00 2017-10-17T00:00:00-07:00 2017-22408 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-10-17/pdf/2017-22408.pdf https://regulations.justia.com/regulations/fedreg/2017/10/17/2017-22392.html Notice - 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 Orders 2017-10-17T00:00:00-07:00 2017-10-17T00:00:00-07:00 2017-22392 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-10-17/pdf/2017-22392.pdf https://regulations.justia.com/regulations/fedreg/2017/10/17/2017-22391.html Notice - 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 Date 2017-10-17T00:00:00-07:00 2017-10-17T00:00:00-07:00 2017-22391 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-10-17/pdf/2017-22391.pdf https://regulations.justia.com/regulations/fedreg/2017/10/17/2017-22390.html Notice - 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 ETFs 2017-10-17T00:00:00-07:00 2017-10-17T00:00:00-07:00 2017-22390 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-10-17/pdf/2017-22390.pdf https://regulations.justia.com/regulations/fedreg/2017/10/17/2017-22389.html Notice - 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 Cap 2017-10-17T00:00:00-07:00 2017-10-17T00:00:00-07:00 2017-22389 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-10-17/pdf/2017-22389.pdf https://regulations.justia.com/regulations/fedreg/2017/10/17/2017-22388.html Notice - 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) 2017-10-17T00:00:00-07:00 2017-10-17T00:00:00-07:00 2017-22388 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-10-17/pdf/2017-22388.pdf https://regulations.justia.com/regulations/fedreg/2017/10/17/2017-22387.html Notice - 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, Incorporated 2017-10-17T00:00:00-07:00 2017-10-17T00:00:00-07:00 2017-22387 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-10-17/pdf/2017-22387.pdf https://regulations.justia.com/regulations/fedreg/2017/10/17/2017-22386.html Notice - 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 .02 2017-10-17T00:00:00-07:00 2017-10-17T00:00:00-07:00 2017-22386 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-10-17/pdf/2017-22386.pdf https://regulations.justia.com/regulations/fedreg/2017/10/16/2017-22264.html Notice - Self-Regulatory Organizations; MIAX PEARL, LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the MIAX PEARL Fee Schedule 2017-10-16T00:00:00-07:00 2017-10-16T00:00:00-07:00 2017-22264 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-10-16/pdf/2017-22264.pdf https://regulations.justia.com/regulations/fedreg/2017/10/16/2017-22263.html Notice - 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-E 2017-10-16T00:00:00-07:00 2017-10-16T00:00:00-07:00 2017-22263 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-10-16/pdf/2017-22263.pdf https://regulations.justia.com/regulations/fedreg/2017/10/16/2017-22262.html Notice - 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 Fee 2017-10-16T00:00:00-07:00 2017-10-16T00:00:00-07:00 2017-22262 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-10-16/pdf/2017-22262.pdf https://regulations.justia.com/regulations/fedreg/2017/10/13/2017-22160.html Notice - 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 Companies 2017-10-13T00:00:00-07:00 2017-10-13T00:00:00-07:00 2017-22160 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-10-13/pdf/2017-22160.pdf https://regulations.justia.com/regulations/fedreg/2017/10/13/2017-22159.html Notice - 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 Companies 2017-10-13T00:00:00-07:00 2017-10-13T00:00:00-07:00 2017-22159 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-10-13/pdf/2017-22159.pdf https://regulations.justia.com/regulations/fedreg/2017/10/13/2017-22158.html Notice - Self-Regulatory Organizations; C2 Options Exchange, Incorporated; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the Fees Schedule 2017-10-13T00:00:00-07:00 2017-10-13T00:00:00-07:00 2017-22158 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-10-13/pdf/2017-22158.pdf https://regulations.justia.com/regulations/fedreg/2017/10/12/2017-21998.html Notice - Self-Regulatory Organizations; NYSE American LLC; Notice of Filing and Immediate Effectiveness of Proposed Change To Modify the NYSE American Options Fee Schedule 2017-10-12T00:00:00-07:00 2017-10-12T00:00:00-07:00 2017-21998 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-10-12/pdf/2017-21998.pdf https://regulations.justia.com/regulations/fedreg/2017/10/12/2017-21997.html Notice - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to the Fees Schedule 2017-10-12T00:00:00-07:00 2017-10-12T00:00:00-07:00 2017-21997 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-10-12/pdf/2017-21997.pdf https://regulations.justia.com/regulations/fedreg/2017/10/12/2017-21996.html Notice - Self-Regulatory Organizations; NASDAQ PHLX LLC; Order Approving a Proposed Rule Change Relating to Quarterly Trading Requirements 2017-10-12T00:00:00-07:00 2017-10-12T00:00:00-07:00 2017-21996 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-10-12/pdf/2017-21996.pdf https://regulations.justia.com/regulations/fedreg/2017/10/12/2017-21995.html Notice - Self-Regulatory Organizations; Bats BYX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Related to Transaction Fees 2017-10-12T00:00:00-07:00 2017-10-12T00:00:00-07:00 2017-21995 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-10-12/pdf/2017-21995.pdf https://regulations.justia.com/regulations/fedreg/2017/10/12/2017-21994.html Notice - 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 Volatility 2017-10-12T00:00:00-07:00 2017-10-12T00:00:00-07:00 2017-21994 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-10-12/pdf/2017-21994.pdf https://regulations.justia.com/regulations/fedreg/2017/10/11/2017-21988.html Notice - Sunshine Act Meetings 2017-10-11T00:00:00-07:00 2017-10-11T00:00:00-07:00 2017-21988 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-10-11/pdf/2017-21988.pdf https://regulations.justia.com/regulations/fedreg/2017/10/11/2017-21987.html Notice - Sunshine Act Meetings 2017-10-11T00:00:00-07:00 2017-10-11T00:00:00-07:00 2017-21987 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-10-11/pdf/2017-21987.pdf https://regulations.justia.com/regulations/fedreg/2017/10/11/2017-21911.html Notice - Proposed Collection; Comment Request 2017-10-11T00:00:00-07:00 2017-10-11T00:00:00-07:00 2017-21911 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-10-11/pdf/2017-21911.pdf https://regulations.justia.com/regulations/fedreg/2017/10/11/2017-21910.html Notice - Submission for OMB Review; Comment Request 2017-10-11T00:00:00-07:00 2017-10-11T00:00:00-07:00 2017-21910 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-10-11/pdf/2017-21910.pdf https://regulations.justia.com/regulations/fedreg/2017/10/11/2017-21909.html Notice - Proposed Collection; Comment Request 2017-10-11T00:00:00-07:00 2017-10-11T00:00:00-07:00 2017-21909 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-10-11/pdf/2017-21909.pdf https://regulations.justia.com/regulations/fedreg/2017/10/11/2017-21846.html Notice - 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 FINRA 2017-10-11T00:00:00-07:00 2017-10-11T00:00:00-07:00 2017-21846 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-10-11/pdf/2017-21846.pdf https://regulations.justia.com/regulations/fedreg/2017/10/11/2017-21816.html Notice - 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 Swaps 2017-10-11T00:00:00-07:00 2017-10-11T00:00:00-07:00 2017-21816 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-10-11/pdf/2017-21816.pdf https://regulations.justia.com/regulations/fedreg/2017/10/11/2017-21815.html Notice - 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 Swaps 2017-10-11T00:00:00-07:00 2017-10-11T00:00:00-07:00 2017-21815 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-10-11/pdf/2017-21815.pdf https://regulations.justia.com/regulations/fedreg/2017/10/11/2017-21814.html Notice - 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 Combination 2017-10-11T00:00:00-07:00 2017-10-11T00:00:00-07:00 2017-21814 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-10-11/pdf/2017-21814.pdf https://regulations.justia.com/regulations/fedreg/2017/10/11/2017-21813.html Notice - 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 Shares 2017-10-11T00:00:00-07:00 2017-10-11T00:00:00-07:00 2017-21813 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-10-11/pdf/2017-21813.pdf https://regulations.justia.com/regulations/fedreg/2017/10/11/2017-21812.html Notice - 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 Security 2017-10-11T00:00:00-07:00 2017-10-11T00:00:00-07:00 2017-21812 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-10-11/pdf/2017-21812.pdf https://regulations.justia.com/regulations/fedreg/2017/10/11/2017-21811.html Notice - Whitford Asset Management, LLC, et al. 2017-10-11T00:00:00-07:00 2017-10-11T00:00:00-07:00 2017-21811 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-10-11/pdf/2017-21811.pdf https://regulations.justia.com/regulations/fedreg/2017/10/11/2017-21776.html Notice - USCF Fund Advisors, LLC, et al. 2017-10-11T00:00:00-07:00 2017-10-11T00:00:00-07:00 2017-21776 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-10-11/pdf/2017-21776.pdf https://regulations.justia.com/regulations/fedreg/2017/10/11/2017-21775.html Notice - OppenheimerFunds, Inc., et al. 2017-10-11T00:00:00-07:00 2017-10-11T00:00:00-07:00 2017-21775 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-10-11/pdf/2017-21775.pdf https://regulations.justia.com/regulations/fedreg/2017/10/10/2017-21705.html Notice - Sunshine Act Meetings 2017-10-10T00:00:00-07:00 2017-10-10T00:00:00-07:00 2017-21705 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-10-10/pdf/2017-21705.pdf https://regulations.justia.com/regulations/fedreg/2017/10/10/2017-21674.html Notice - 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 Orders 2017-10-10T00:00:00-07:00 2017-10-10T00:00:00-07:00 2017-21674 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-10-10/pdf/2017-21674.pdf https://regulations.justia.com/regulations/fedreg/2017/10/10/2017-21673.html Notice - 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 Orders 2017-10-10T00:00:00-07:00 2017-10-10T00:00:00-07:00 2017-21673 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-10-10/pdf/2017-21673.pdf https://regulations.justia.com/regulations/fedreg/2017/10/10/2017-21672.html Notice - 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 Rule 2017-10-10T00:00:00-07:00 2017-10-10T00:00:00-07:00 2017-21672 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-10-10/pdf/2017-21672.pdf https://regulations.justia.com/regulations/fedreg/2017/10/10/2017-21671.html Notice - Self-Regulatory Organizations; NASDAQ BX, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Remove Obsolete Text From Options Regulatory Fee Rule 2017-10-10T00:00:00-07:00 2017-10-10T00:00:00-07:00 2017-21671 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-10-10/pdf/2017-21671.pdf https://regulations.justia.com/regulations/fedreg/2017/10/10/2017-21670.html Notice - Self-Regulatory Organizations; Nasdaq ISE, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Remove Obsolete Text From Options Regulatory Fee Rule 2017-10-10T00:00:00-07:00 2017-10-10T00:00:00-07:00 2017-21670 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-10-10/pdf/2017-21670.pdf https://regulations.justia.com/regulations/fedreg/2017/10/10/2017-21669.html Notice - 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 Exchanges 2017-10-10T00:00:00-07:00 2017-10-10T00:00:00-07:00 2017-21669 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-10-10/pdf/2017-21669.pdf https://regulations.justia.com/regulations/fedreg/2017/10/10/2017-21661.html Notice - EntrepreneurShares Series Trust, et al. 2017-10-10T00:00:00-07:00 2017-10-10T00:00:00-07:00 2017-21661 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-10-10/pdf/2017-21661.pdf https://regulations.justia.com/regulations/fedreg/2017/10/06/2017-21541.html Notice - 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 7051 2017-10-06T00:00:00-07:00 2017-10-06T00:00:00-07:00 2017-21541 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-10-06/pdf/2017-21541.pdf https://regulations.justia.com/regulations/fedreg/2017/10/06/2017-21540.html Notice - 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 Framework 2017-10-06T00:00:00-07:00 2017-10-06T00:00:00-07:00 2017-21540 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-10-06/pdf/2017-21540.pdf https://regulations.justia.com/regulations/fedreg/2017/10/06/2017-21539.html Notice - 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 Products 2017-10-06T00:00:00-07:00 2017-10-06T00:00:00-07:00 2017-21539 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-10-06/pdf/2017-21539.pdf https://regulations.justia.com/regulations/fedreg/2017/10/06/2017-21538.html Notice - 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 Exchanges 2017-10-06T00:00:00-07:00 2017-10-06T00:00:00-07:00 2017-21538 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-10-06/pdf/2017-21538.pdf https://regulations.justia.com/regulations/fedreg/2017/10/06/2017-21537.html Notice - 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 Units 2017-10-06T00:00:00-07:00 2017-10-06T00:00:00-07:00 2017-21537 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-10-06/pdf/2017-21537.pdf https://regulations.justia.com/regulations/fedreg/2017/10/06/2017-21536.html Notice - 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 Administration 2017-10-06T00:00:00-07:00 2017-10-06T00:00:00-07:00 2017-21536 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-10-06/pdf/2017-21536.pdf https://regulations.justia.com/regulations/fedreg/2017/10/06/2017-21535.html Notice - 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 Providers 2017-10-06T00:00:00-07:00 2017-10-06T00:00:00-07:00 2017-21535 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-10-06/pdf/2017-21535.pdf 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 https://regulations.justia.com/regulations/fedreg/2017/10/04/2017-21284.html Notice - Exemptive Relief for Individuals and Entities Affected by Hurricanes Harvey, Irma or Maria 2017-10-04T00:00:00-07:00 2017-10-04T00:00:00-07:00 2017-21284 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-10-04/pdf/2017-21284.pdf https://regulations.justia.com/regulations/fedreg/2017/10/04/2017-21282.html Notice - National Securities Clearing Corporation 2017-10-04T00:00:00-07:00 2017-10-04T00:00:00-07:00 2017-21282 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-10-04/pdf/2017-21282.pdf https://regulations.justia.com/regulations/fedreg/2017/10/04/2017-21281.html Notice - 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 Exchange 2017-10-04T00:00:00-07:00 2017-10-04T00:00:00-07:00 2017-21281 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-10-04/pdf/2017-21281.pdf https://regulations.justia.com/regulations/fedreg/2017/10/04/2017-21280.html Notice - 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) 2017-10-04T00:00:00-07:00 2017-10-04T00:00:00-07:00 2017-21280 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-10-04/pdf/2017-21280.pdf https://regulations.justia.com/regulations/fedreg/2017/10/04/2017-21279.html Notice - Self-Regulatory Organizations; NASDAQ PHLX LLC; Notice of Filing of Proposed Rule Change To Introduce the Intellicator Analytic Tool 2017-10-04T00:00:00-07:00 2017-10-04T00:00:00-07:00 2017-21279 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-10-04/pdf/2017-21279.pdf https://regulations.justia.com/regulations/fedreg/2017/10/04/2017-21278.html 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 529, Order Routing to Other Exchanges 2017-10-04T00:00:00-07:00 2017-10-04T00:00:00-07:00 2017-21278 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-10-04/pdf/2017-21278.pdf https://regulations.justia.com/regulations/fedreg/2017/10/04/2017-21277.html Notice - 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 American 2017-10-04T00:00:00-07:00 2017-10-04T00:00:00-07:00 2017-21277 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-10-04/pdf/2017-21277.pdf https://regulations.justia.com/regulations/fedreg/2017/10/04/2017-21276.html Notice - 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 American 2017-10-04T00:00:00-07:00 2017-10-04T00:00:00-07:00 2017-21276 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-10-04/pdf/2017-21276.pdf https://regulations.justia.com/regulations/fedreg/2017/10/04/2017-21275.html Notice - 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 8.201 2017-10-04T00:00:00-07:00 2017-10-04T00:00:00-07:00 2017-21275 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-10-04/pdf/2017-21275.pdf https://regulations.justia.com/regulations/fedreg/2017/10/04/2017-21274.html Notice - 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 8.200 2017-10-04T00:00:00-07:00 2017-10-04T00:00:00-07:00 2017-21274 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-10-04/pdf/2017-21274.pdf https://regulations.justia.com/regulations/fedreg/2017/10/04/2017-21273.html Notice - 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 Framework 2017-10-04T00:00:00-07:00 2017-10-04T00:00:00-07:00 2017-21273 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-10-04/pdf/2017-21273.pdf https://regulations.justia.com/regulations/fedreg/2017/10/03/2017-21228.html Notice - American Century ETF Trust and American Century Investment Management, Inc. 2017-10-03T00:00:00-07:00 2017-10-03T00:00:00-07:00 2017-21228 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-10-03/pdf/2017-21228.pdf https://regulations.justia.com/regulations/fedreg/2017/10/03/2017-21193.html Notice - Proposed Collection; Comment Request 2017-10-03T00:00:00-07:00 2017-10-03T00:00:00-07:00 2017-21193 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-10-03/pdf/2017-21193.pdf https://regulations.justia.com/regulations/fedreg/2017/10/03/2017-21163.html Notice - Self-Regulatory Organizations; Miami International Securities Exchange LLC; Order Granting Approval of a Proposed Rule Change To Adopt Rules Relating to Trading in Index Options 2017-10-03T00:00:00-07:00 2017-10-03T00:00:00-07:00 2017-21163 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-10-03/pdf/2017-21163.pdf https://regulations.justia.com/regulations/fedreg/2017/10/03/2017-21162.html Notice - 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 Series 2017-10-03T00:00:00-07:00 2017-10-03T00:00:00-07:00 2017-21162 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-10-03/pdf/2017-21162.pdf https://regulations.justia.com/regulations/fedreg/2017/10/03/2017-21161.html Notice - 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-E 2017-10-03T00:00:00-07:00 2017-10-03T00:00:00-07:00 2017-21161 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-10-03/pdf/2017-21161.pdf https://regulations.justia.com/regulations/fedreg/2017/10/03/2017-21160.html Notice - 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 14.12 2017-10-03T00:00:00-07:00 2017-10-03T00:00:00-07:00 2017-21160 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-10-03/pdf/2017-21160.pdf https://regulations.justia.com/regulations/fedreg/2017/10/03/2017-21156.html Notice - PREDEX and PREDEX Capital Management, LLC 2017-10-03T00:00:00-07:00 2017-10-03T00:00:00-07:00 2017-21156 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-10-03/pdf/2017-21156.pdf https://regulations.justia.com/regulations/fedreg/2017/10/03/2017-21131.html Notice - Wells Fargo Exchange-Traded Funds Trust, et al. 2017-10-03T00:00:00-07:00 2017-10-03T00:00:00-07:00 2017-21131 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-10-03/pdf/2017-21131.pdf https://regulations.justia.com/regulations/fedreg/2017/10/02/2017-21159.html Notice - 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 5810 2017-10-02T00:00:00-07:00 2017-10-02T00:00:00-07:00 2017-21159 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-10-02/pdf/2017-21159.pdf https://regulations.justia.com/regulations/fedreg/2017/10/02/2017-21094.html Rule - Regulation Crowdfunding and Regulation A Relief and Assistance for Victims of Hurricane Harvey, Hurricane Irma, and Hurricane Maria 2017-10-02T00:00:00-07:00 2017-10-02T00:00:00-07:00 2017-21094 Rule https://www.gpo.gov/fdsys/pkg/FR-2017-10-02/pdf/2017-21094.pdf https://regulations.justia.com/regulations/fedreg/2017/10/02/2017-21002.html Notice - Self-Regulatory Organizations: Investors Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Related to Listing Fees 2017-10-02T00:00:00-07:00 2017-10-02T00:00:00-07:00 2017-21002 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-10-02/pdf/2017-21002.pdf https://regulations.justia.com/regulations/fedreg/2017/10/02/2017-21001.html Notice - 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-2015-036 2017-10-02T00:00:00-07:00 2017-10-02T00:00:00-07:00 2017-21001 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-10-02/pdf/2017-21001.pdf https://regulations.justia.com/regulations/fedreg/2017/10/02/2017-21000.html Notice - 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 ETF 2017-10-02T00:00:00-07:00 2017-10-02T00:00:00-07:00 2017-21000 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-10-02/pdf/2017-21000.pdf https://regulations.justia.com/regulations/fedreg/2017/10/02/2017-20974.html Notice - 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. 2017-10-02T00:00:00-07:00 2017-10-02T00:00:00-07:00 2017-20974 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-10-02/pdf/2017-20974.pdf