Federal Register Recent Federal Regulation Documents - Justia Regulation Tracker - Justia Regulations Tracker https://regulations.justia.com/regulations/fedreg/agencies/securities-and-exchange-commission/2017/11?limit=200&registers=between&min-day=1&max-day=30&mode=atom 2021-06-13T14:35:21-07:00 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/2017/11/29/2017-25688.html Notice - Self-Regulatory Organizations; Nasdaq PHLX LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Adopt Investigatory and Disciplinary Processes Substantially Similar to Nasdaq BX, Inc. and The Nasdaq Stock Market LLC 2017-11-29T00:00:00-08:00 2017-11-29T00:00:00-08:00 2017-25688 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-11-29/pdf/2017-25688.pdf https://regulations.justia.com/regulations/fedreg/2017/11/28/2017-25710.html Notice - Proposed Collection; Comment Request 2017-11-28T00:00:00-08:00 2017-11-28T00:00:00-08:00 2017-25710 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-11-28/pdf/2017-25710.pdf https://regulations.justia.com/regulations/fedreg/2017/11/28/2017-25709.html Notice - Proposed Collection; Comment Request 2017-11-28T00:00:00-08:00 2017-11-28T00:00:00-08:00 2017-25709 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-11-28/pdf/2017-25709.pdf https://regulations.justia.com/regulations/fedreg/2017/11/28/2017-25708.html Notice - Proposed Collection; Comment Request 2017-11-28T00:00:00-08:00 2017-11-28T00:00:00-08:00 2017-25708 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-11-28/pdf/2017-25708.pdf https://regulations.justia.com/regulations/fedreg/2017/11/28/2017-25694.html Notice - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Extend the Tier Size Pilot of Rule 6433 (Minimum Quotation Size Requirements for OTC Equity Securities) 2017-11-28T00:00:00-08:00 2017-11-28T00:00:00-08:00 2017-25694 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-11-28/pdf/2017-25694.pdf https://regulations.justia.com/regulations/fedreg/2017/11/28/2017-25693.html Notice - Self-Regulatory Organizations; The Nasdaq Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Rule 4702 2017-11-28T00:00:00-08:00 2017-11-28T00:00:00-08:00 2017-25693 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-11-28/pdf/2017-25693.pdf https://regulations.justia.com/regulations/fedreg/2017/11/28/2017-25692.html Notice - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Rule 497(c) Regarding the Requirements for the Listing of Securities That Are Issued by the Exchange or Any of Its Affiliates 2017-11-28T00:00:00-08:00 2017-11-28T00:00:00-08:00 2017-25692 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-11-28/pdf/2017-25692.pdf https://regulations.justia.com/regulations/fedreg/2017/11/28/2017-25691.html Notice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Rule 5.1-E(c) Regarding the Requirements for the Listing of Securities That Are Issued by the Exchange or Any of Its Affiliates 2017-11-28T00:00:00-08:00 2017-11-28T00:00:00-08:00 2017-25691 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-11-28/pdf/2017-25691.pdf https://regulations.justia.com/regulations/fedreg/2017/11/28/2017-25690.html Notice - Self-Regulatory Organizations; NYSE American LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Rule 497-Equities (c) Regarding the Requirements for the Listing of Securities That Are Issued by the Exchange or Any of Its Affiliates 2017-11-28T00:00:00-08:00 2017-11-28T00:00:00-08:00 2017-25690 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-11-28/pdf/2017-25690.pdf https://regulations.justia.com/regulations/fedreg/2017/11/28/2017-25689.html Notice - Self-Regulatory Organizations; Nasdaq PHLX LLC; Notice of Designation of a Longer Period for Commission Action on Proposed Rule Change To Amend Rule 1009 To Modify the Criteria for Listing an Option on an Underlying Covered Security 2017-11-28T00:00:00-08:00 2017-11-28T00:00:00-08:00 2017-25689 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-11-28/pdf/2017-25689.pdf https://regulations.justia.com/regulations/fedreg/2017/11/28/2017-25687.html Notice - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Designation of a Longer Period for Commission Action on a Proposed Rule Change To Modify the Listing Requirements Related to Special Purpose Acquisition Companies 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 on Nasdaq Capital Market, and Impose a Deadline To Demonstrate Compliance With Initial Listing Requirements on All Nasdaq Markets Within 30 Days Following Each Business Combination 2017-11-28T00:00:00-08:00 2017-11-28T00:00:00-08:00 2017-25687 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-11-28/pdf/2017-25687.pdf https://regulations.justia.com/regulations/fedreg/2017/11/28/2017-25686.html Notice - Self-Regulatory Organizations; Nasdaq ISE, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the Schedule of Fees for Regular Orders in Select Symbols 2017-11-28T00:00:00-08:00 2017-11-28T00:00:00-08:00 2017-25686 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-11-28/pdf/2017-25686.pdf https://regulations.justia.com/regulations/fedreg/2017/11/28/2017-25648.html Notice - Self-Regulatory Organizations; MIAX PEARL, LLC; Notice of Filing of Proposed Minor Rule Violation Plan 2017-11-28T00:00:00-08:00 2017-11-28T00:00:00-08:00 2017-25648 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-11-28/pdf/2017-25648.pdf https://regulations.justia.com/regulations/fedreg/2017/11/28/2017-25647.html Notice - Self-Regulatory Organizations; Miami International Securities Exchange, LLC; Notice of Filing of Proposed Minor Rule Violation Plan 2017-11-28T00:00:00-08:00 2017-11-28T00:00:00-08:00 2017-25647 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-11-28/pdf/2017-25647.pdf https://regulations.justia.com/regulations/fedreg/2017/11/28/2017-25646.html Notice - Order Extending Conditional Temporary Exemption for Nationally Recognized Statistical Rating Organizations From Requirements of Rule 17g-5(A)(3) Under the Securities Exchange Act of 1934 2017-11-28T00:00:00-08:00 2017-11-28T00:00:00-08:00 2017-25646 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-11-28/pdf/2017-25646.pdf https://regulations.justia.com/regulations/fedreg/2017/11/28/2017-25643.html Notice - Submission for OMB Review; Comment Request 2017-11-28T00:00:00-08:00 2017-11-28T00:00:00-08:00 2017-25643 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-11-28/pdf/2017-25643.pdf https://regulations.justia.com/regulations/fedreg/2017/11/28/2017-25642.html Notice - Submission for OMB Review; Comment Request 2017-11-28T00:00:00-08:00 2017-11-28T00:00:00-08:00 2017-25642 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-11-28/pdf/2017-25642.pdf https://regulations.justia.com/regulations/fedreg/2017/11/28/2017-25608.html Notice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Rule 7.35-E Relating to Auction Collars and To Add Temporary Rules 2017-11-28T00:00:00-08:00 2017-11-28T00:00:00-08:00 2017-25608 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-11-28/pdf/2017-25608.pdf https://regulations.justia.com/regulations/fedreg/2017/11/28/2017-25607.html Notice - Self-Regulatory Organizations; NYSE American LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Rule 7.35E Relating to Auction Collars and To Add Temporary Rules 2017-11-28T00:00:00-08:00 2017-11-28T00:00:00-08:00 2017-25607 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-11-28/pdf/2017-25607.pdf https://regulations.justia.com/regulations/fedreg/2017/11/28/2017-25606.html Notice - Self-Regulatory Organizations; NYSE Arca, Inc.; Order Approving a Proposed Rule Change, as Modified by Amendments No. 1 and 2, To List and Trade Shares of the U.S. Equity Cumulative Dividends Fund-Series 2027 and the U.S. Equity Ex-Dividend Fund-Series 2027 Under NYSE Arca Rule 8.200-E, Commentary .02 2017-11-28T00:00:00-08:00 2017-11-28T00:00:00-08:00 2017-25606 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-11-28/pdf/2017-25606.pdf https://regulations.justia.com/regulations/fedreg/2017/11/28/2017-25605.html Notice - Self-Regulatory Organizations; Miami International Securities Exchange LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the MIAX Order Feed (“MOR”) 2017-11-28T00:00:00-08:00 2017-11-28T00:00:00-08:00 2017-25605 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-11-28/pdf/2017-25605.pdf https://regulations.justia.com/regulations/fedreg/2017/11/28/2017-25604.html Notice - Self-Regulatory Organizations; Bats BZX Exchange, Inc.; Bats EDGX Exchange, Inc.; BOX Options Exchange LLC; C2 Options Exchange, Incorporated; Chicago Board Options Exchange, Incorporated; Financial Industry Regulatory Authority, Inc.; International Securities Exchange, LLC; Investors Exchange LLC; Miami International Securities Exchange LLC; MIAX PEARL, LLC; The NASDAQ Stock Market LLC; NASDAQ BX, Inc.; NASDAQ PHLX LLC; New York Stock Exchange LLC; NYSE Arca, Inc.; NYSE MKT LLC; Notice of Designation of Longer Period for Commission Action on Proceedings To Determine Whether To Approve or Disapprove the Proposed Rule Changes, as Modified by Amendments Thereto, To Eliminate Requirements That Will Be Duplicative of CAT 2017-11-28T00:00:00-08:00 2017-11-28T00:00:00-08:00 2017-25604 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-11-28/pdf/2017-25604.pdf https://regulations.justia.com/regulations/fedreg/2017/11/28/2017-25603.html Notice - Self-Regulatory Organizations; Nasdaq MRX, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Remove Directed Order Functionality 2017-11-28T00:00:00-08:00 2017-11-28T00:00:00-08:00 2017-25603 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-11-28/pdf/2017-25603.pdf https://regulations.justia.com/regulations/fedreg/2017/11/28/2017-25601.html Notice - Submission for OMB Review; Comment Request 2017-11-28T00:00:00-08:00 2017-11-28T00:00:00-08:00 2017-25601 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-11-28/pdf/2017-25601.pdf https://regulations.justia.com/regulations/fedreg/2017/11/28/2017-25600.html Notice - Submission for OMB Review; Comment Request 2017-11-28T00:00:00-08:00 2017-11-28T00:00:00-08:00 2017-25600 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-11-28/pdf/2017-25600.pdf https://regulations.justia.com/regulations/fedreg/2017/11/28/2017-25599.html Notice - Submission for OMB Review; Comment Request 2017-11-28T00:00:00-08:00 2017-11-28T00:00:00-08:00 2017-25599 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-11-28/pdf/2017-25599.pdf https://regulations.justia.com/regulations/fedreg/2017/11/27/2017-25701.html Notice - Sunshine Act Meetings 2017-11-27T00:00:00-08:00 2017-11-27T00:00:00-08:00 2017-25701 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-11-27/pdf/2017-25701.pdf https://regulations.justia.com/regulations/fedreg/2017/11/27/2017-25700.html Notice - Sunshine Act Meetings 2017-11-27T00:00:00-08:00 2017-11-27T00:00:00-08:00 2017-25700 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-11-27/pdf/2017-25700.pdf https://regulations.justia.com/regulations/fedreg/2017/11/27/2017-25476.html Notice - Self-Regulatory Organizations; Nasdaq ISE, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Remove Directed Order Functionality 2017-11-27T00:00:00-08:00 2017-11-27T00:00:00-08:00 2017-25476 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-11-27/pdf/2017-25476.pdf https://regulations.justia.com/regulations/fedreg/2017/11/27/2017-25474.html Notice - Self-Regulatory Organizations; Nasdaq ISE, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to All-Or-None Orders 2017-11-27T00:00:00-08:00 2017-11-27T00:00:00-08:00 2017-25474 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-11-27/pdf/2017-25474.pdf https://regulations.justia.com/regulations/fedreg/2017/11/27/2017-25473.html Notice - Self-Regulatory Organizations; Nasdaq MRX, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to All-Or-None Orders 2017-11-27T00:00:00-08:00 2017-11-27T00:00:00-08:00 2017-25473 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-11-27/pdf/2017-25473.pdf https://regulations.justia.com/regulations/fedreg/2017/11/27/2017-25472.html Notice - Self-Regulatory Organizations; Nasdaq GEMX, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to All-Or-None Orders 2017-11-27T00:00:00-08:00 2017-11-27T00:00:00-08:00 2017-25472 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-11-27/pdf/2017-25472.pdf https://regulations.justia.com/regulations/fedreg/2017/11/27/2017-25471.html Notice - Self-Regulatory Organizations; Investors Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Modify Its Fee Schedule, Pursuant to IEX Rule 15.110(a) and (c), To Adopt Pricing for Orders That Execute in an IEX Auction for IEX-Listed Securities 2017-11-27T00:00:00-08:00 2017-11-27T00:00:00-08:00 2017-25471 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-11-27/pdf/2017-25471.pdf https://regulations.justia.com/regulations/fedreg/2017/11/27/2017-25470.html Notice - Self-Regulatory Organizations; Cboe EDGX Exchange, Inc.; Notice of Filing of a Proposed Rule Change Relating to Its Director Nomination and Committee Appointment Process and Its Nominating and Governance Committee 2017-11-27T00:00:00-08:00 2017-11-27T00:00:00-08:00 2017-25470 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-11-27/pdf/2017-25470.pdf https://regulations.justia.com/regulations/fedreg/2017/11/27/2017-25469.html Notice - Self-Regulatory Organizations; Cboe EDGA Exchange, Inc.; Notice of Filing of a Proposed Rule Change Relating to Its Director Nomination and Committee Appointment Process and Its Nominating and Governance Committee 2017-11-27T00:00:00-08:00 2017-11-27T00:00:00-08:00 2017-25469 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-11-27/pdf/2017-25469.pdf https://regulations.justia.com/regulations/fedreg/2017/11/27/2017-25468.html Notice - Self-Regulatory Organizations; Cboe BZX Exchange, Inc.; Notice of Filing of a Proposed Rule Change Relating to Its Director Nomination and Committee Appointment Process and Its Nominating and Governance Committee 2017-11-27T00:00:00-08:00 2017-11-27T00:00:00-08:00 2017-25468 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-11-27/pdf/2017-25468.pdf https://regulations.justia.com/regulations/fedreg/2017/11/27/2017-25467.html Notice - Self-Regulatory Organizations; Cboe BYX Exchange, Inc.; Notice of Filing of a Proposed Rule Change Relating to Its Director Nomination and Committee Appointment Process and Its Nominating and Governance Committee 2017-11-27T00:00:00-08:00 2017-11-27T00:00:00-08:00 2017-25467 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-11-27/pdf/2017-25467.pdf https://regulations.justia.com/regulations/fedreg/2017/11/27/2017-25466.html Notice - Self-Regulatory Organizations; Cboe C2 Exchange, Inc.; Notice of Filing of a Proposed Rule Change Relating to Its Nominating and Governance Committee and Regulatory Oversight and Compliance Committee 2017-11-27T00:00:00-08:00 2017-11-27T00:00:00-08:00 2017-25466 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-11-27/pdf/2017-25466.pdf https://regulations.justia.com/regulations/fedreg/2017/11/27/2017-25465.html Notice - Self-Regulatory Organizations; Cboe Exchange, Inc.; Notice of Filing of a Proposed Rule Change Relating to Its Nominating and Governance Committee and Regulatory Oversight and Compliance Committee 2017-11-27T00:00:00-08:00 2017-11-27T00:00:00-08:00 2017-25465 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-11-27/pdf/2017-25465.pdf https://regulations.justia.com/regulations/fedreg/2017/11/27/2017-25464.html Notice - Submission for OMB Review; Comment Request 2017-11-27T00:00:00-08:00 2017-11-27T00:00:00-08:00 2017-25464 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-11-27/pdf/2017-25464.pdf https://regulations.justia.com/regulations/fedreg/2017/11/27/2017-25463.html Notice - Submission for OMB Review; Comment Request 2017-11-27T00:00:00-08:00 2017-11-27T00:00:00-08:00 2017-25463 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-11-27/pdf/2017-25463.pdf https://regulations.justia.com/regulations/fedreg/2017/11/27/2017-25462.html Notice - New Mountain Finance Corporation, et al. 2017-11-27T00:00:00-08:00 2017-11-27T00:00:00-08:00 2017-25462 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-11-27/pdf/2017-25462.pdf https://regulations.justia.com/regulations/fedreg/2017/11/24/2017-25475.html Notice - Self-Regulatory Organizations; Nasdaq GEMX, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Remove Directed Order Functionality 2017-11-24T00:00:00-08:00 2017-11-24T00:00:00-08:00 2017-25475 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-11-24/pdf/2017-25475.pdf https://regulations.justia.com/regulations/fedreg/2017/11/24/2017-25359.html Notice - Motley Fool Asset Management, LLC, et al.; Notice of Application 2017-11-24T00:00:00-08:00 2017-11-24T00:00:00-08:00 2017-25359 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-11-24/pdf/2017-25359.pdf https://regulations.justia.com/regulations/fedreg/2017/11/24/2017-25357.html Notice - Self-Regulatory Organizations; BOX Options Exchange LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Rule 7300 2017-11-24T00:00:00-08:00 2017-11-24T00:00:00-08:00 2017-25357 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-11-24/pdf/2017-25357.pdf https://regulations.justia.com/regulations/fedreg/2017/11/24/2017-25356.html Notice - Self-Regulatory Organizations; BOX Options Exchange LLC; Notice of Filing of Proposed Rule Change To Amend the Minimum Order Size for the Floor Broker Guarantee Provided in Rule 7600(f) 2017-11-24T00:00:00-08:00 2017-11-24T00:00:00-08:00 2017-25356 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-11-24/pdf/2017-25356.pdf https://regulations.justia.com/regulations/fedreg/2017/11/24/2017-25355.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 612, Aggregate Risk Manager (“ARM”) 2017-11-24T00:00:00-08:00 2017-11-24T00:00:00-08:00 2017-25355 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-11-24/pdf/2017-25355.pdf https://regulations.justia.com/regulations/fedreg/2017/11/24/2017-25354.html Notice - Self-Regulatory Organizations; LCH SA; Order Approving Proposed Rule Changes To Add Rules Related to the Clearing of Options on Index Credit Default Swaps 2017-11-24T00:00:00-08:00 2017-11-24T00:00:00-08:00 2017-25354 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-11-24/pdf/2017-25354.pdf https://regulations.justia.com/regulations/fedreg/2017/11/24/2017-25353.html Notice - Self-Regulatory Organizations; Bats BZX Exchange, Inc.; Notice of Designation of a Longer Period for Commission Action on Proceedings To Determine Whether To Approve or Disapprove a Proposed Rule Change To Introduce Bats Market Close, a Closing Match Process for Non-BZX Listed Securities Under New Exchange Rule 11.28 2017-11-24T00:00:00-08:00 2017-11-24T00:00:00-08:00 2017-25353 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-11-24/pdf/2017-25353.pdf https://regulations.justia.com/regulations/fedreg/2017/11/24/2017-25352.html Notice - Self-Regulatory Organizations; Cboe EDGX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Related to Fees for Use on Cboe EDGX Exchange, Inc. 2017-11-24T00:00:00-08:00 2017-11-24T00:00:00-08:00 2017-25352 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-11-24/pdf/2017-25352.pdf https://regulations.justia.com/regulations/fedreg/2017/11/24/2017-25347.html Notice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing of Proposed Rule Change To List and Trade Shares of the Sprott Physical Gold and Silver Trust Under NYSE Arca Rule 8.201-E 2017-11-24T00:00:00-08:00 2017-11-24T00:00:00-08:00 2017-25347 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-11-24/pdf/2017-25347.pdf https://regulations.justia.com/regulations/fedreg/2017/11/24/2017-25346.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 the CBOE S&P 500® Dividend Aristocrats® Target Income Index ETF Under the ETF Series Solutions Trust, Under Exchange Rule 14.11(c)(3), Index Fund Shares 2017-11-24T00:00:00-08:00 2017-11-24T00:00:00-08:00 2017-25346 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-11-24/pdf/2017-25346.pdf https://regulations.justia.com/regulations/fedreg/2017/11/24/2017-25345.html Notice - Self-Regulatory Organizations; BOX Options Exchange LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Rule 7050 (Minimum Trading Increments) 2017-11-24T00:00:00-08:00 2017-11-24T00:00:00-08:00 2017-25345 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-11-24/pdf/2017-25345.pdf https://regulations.justia.com/regulations/fedreg/2017/11/22/2017-25241.html Notice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing of Amendment No. 2, and Order Instituting Proceedings To Determine Whether To Approve or Disapprove a Proposed Rule Change, as Modified by Amendment No. 2, To List and Trade Shares of ProShares QuadPro Funds Under NYSE Arca Rule 8.200-E 2017-11-22T00:00:00-08:00 2017-11-22T00:00:00-08:00 2017-25241 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-11-22/pdf/2017-25241.pdf https://regulations.justia.com/regulations/fedreg/2017/11/22/2017-25233.html Notice - Self-Regulatory Organizations; Cboe Exchange, Inc.; Notice of Filing of a Proposed Rule Change Relating to Rule 6.56 2017-11-22T00:00:00-08:00 2017-11-22T00:00:00-08:00 2017-25233 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-11-22/pdf/2017-25233.pdf https://regulations.justia.com/regulations/fedreg/2017/11/22/2017-25232.html Notice - Self-Regulatory Organizations; Nasdaq MRX, LLC; Order Granting Approval of a Proposed Rule Change To Adopt New Corporate Governance and Related Processes Similar to Those of the Nasdaq Exchanges 2017-11-22T00:00:00-08:00 2017-11-22T00:00:00-08:00 2017-25232 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-11-22/pdf/2017-25232.pdf https://regulations.justia.com/regulations/fedreg/2017/11/22/2017-25231.html Notice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Changes to the NYSE Arca Equities Proprietary Market Data Fees 2017-11-22T00:00:00-08:00 2017-11-22T00:00:00-08:00 2017-25231 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-11-22/pdf/2017-25231.pdf https://regulations.justia.com/regulations/fedreg/2017/11/22/2017-25230.html Notice - Self-Regulatory Organizations; NYSE American LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Rule 903 (Series of Options Open for Trading) 2017-11-22T00:00:00-08:00 2017-11-22T00:00:00-08:00 2017-25230 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-11-22/pdf/2017-25230.pdf https://regulations.justia.com/regulations/fedreg/2017/11/22/2017-25229.html Notice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Rule 6.4-O (Series of Options Open for Trading) 2017-11-22T00:00:00-08:00 2017-11-22T00:00:00-08:00 2017-25229 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-11-22/pdf/2017-25229.pdf https://regulations.justia.com/regulations/fedreg/2017/11/22/2017-25228.html Notice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the Fees for NYSE Arca BBO and NYSE Arca Trades To Lower the Enterprise Fee for Those Products 2017-11-22T00:00:00-08:00 2017-11-22T00:00:00-08:00 2017-25228 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-11-22/pdf/2017-25228.pdf https://regulations.justia.com/regulations/fedreg/2017/11/22/2017-25227.html Notice - Self-Regulatory Organizations; Chicago Stock Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Related to the Plan To Address Extraordinary Market Volatility Pursuant to Rule 608 of Regulation NMS 2017-11-22T00:00:00-08:00 2017-11-22T00:00:00-08:00 2017-25227 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-11-22/pdf/2017-25227.pdf https://regulations.justia.com/regulations/fedreg/2017/11/22/2017-25226.html Notice - Self-Regulatory Organizations; Cboe BZX Exchange, Inc.; Notice of Filing of a Proposed Rule Change To List and Trade Shares of the Innovator S&P 500 15% Shield Strategy ETF Series, Innovator S&P 500 −5% to −35% Shield Strategy ETF Series, Innovator S&P 500 Enhance and 10% Shield Strategy ETF Series, and Innovator S&P 500 Ultra Strategy ETF Series Under Rule 14.11(i) 2017-11-22T00:00:00-08:00 2017-11-22T00:00:00-08:00 2017-25226 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-11-22/pdf/2017-25226.pdf https://regulations.justia.com/regulations/fedreg/2017/11/21/2017-25145.html Notice - Self-Regulatory Organizations; Fixed Income Clearing Corporation; Order Approving a Proposed Rule Change To Implement the Capped Contingency Liquidity Facility in the Government Securities Division Rulebook 2017-11-21T00:00:00-08:00 2017-11-21T00:00:00-08:00 2017-25145 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-11-21/pdf/2017-25145.pdf https://regulations.justia.com/regulations/fedreg/2017/11/21/2017-25144.html Notice - Self-Regulatory Organizations; Cboe Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Describe Functionality of and Adopt Fees for a New Front-End Order Entry and Management Platform 2017-11-21T00:00:00-08:00 2017-11-21T00:00:00-08:00 2017-25144 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-11-21/pdf/2017-25144.pdf https://regulations.justia.com/regulations/fedreg/2017/11/21/2017-25143.html Notice - Self-Regulatory Organizations; Cboe EDGA Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Rule 11.8, Order Types, To Clarify When a MidPoint Discretionary Order May Execute at Sub-Penny Prices 2017-11-21T00:00:00-08:00 2017-11-21T00:00:00-08:00 2017-25143 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-11-21/pdf/2017-25143.pdf https://regulations.justia.com/regulations/fedreg/2017/11/21/2017-25142.html Notice - Self-Regulatory Organizations; Nasdaq PHLX LLC; Notice of Designation of a Longer Period for Commission Action on Proposed Rule Change To Introduce the Intellicator Analytic Tool 2017-11-21T00:00:00-08:00 2017-11-21T00:00:00-08:00 2017-25142 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-11-21/pdf/2017-25142.pdf https://regulations.justia.com/regulations/fedreg/2017/11/21/2017-25141.html Notice - Self-Regulatory Organizations; NYSE National, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the Governing Documents of Its Intermediate Parent Companies Intercontinental Exchange Holdings, Inc., NYSE Holdings LLC and NYSE Group, Inc. To Make Them More Consistent With the Governing Documents of Their Ultimate Parent Intercontinental Exchange, Inc. 2017-11-21T00:00:00-08:00 2017-11-21T00:00:00-08:00 2017-25141 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-11-21/pdf/2017-25141.pdf https://regulations.justia.com/regulations/fedreg/2017/11/21/2017-25140.html Notice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the Governing Documents of Its Intermediate Parent Companies Intercontinental Exchange Holdings, Inc., NYSE Holdings LLC and NYSE Group, Inc. To Make Them More Consistent With the Governing Documents of Their Ultimate Parent Intercontinental Exchange, Inc. 2017-11-21T00:00:00-08:00 2017-11-21T00:00:00-08:00 2017-25140 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-11-21/pdf/2017-25140.pdf https://regulations.justia.com/regulations/fedreg/2017/11/21/2017-25139.html Notice - Self-Regulatory Organizations; NYSE American LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the Governing Documents of Its Intermediate Parent Companies Intercontinental Exchange Holdings, Inc., NYSE Holdings LLC and NYSE Group, Inc. To Make Them More Consistent With the Governing Documents of Their Ultimate Parent Intercontinental Exchange, Inc. 2017-11-21T00:00:00-08:00 2017-11-21T00:00:00-08:00 2017-25139 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-11-21/pdf/2017-25139.pdf https://regulations.justia.com/regulations/fedreg/2017/11/21/2017-25138.html Notice - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the Governing Documents of Its Intermediate Parent Companies Intercontinental Exchange Holdings, Inc., NYSE Holdings LLC and NYSE Group, Inc. To Make Them More Consistent With the Governing Documents of Their Ultimate Parent Intercontinental Exchange, Inc. 2017-11-21T00:00:00-08:00 2017-11-21T00:00:00-08:00 2017-25138 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-11-21/pdf/2017-25138.pdf https://regulations.justia.com/regulations/fedreg/2017/11/21/2017-25137.html Notice - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Section 902.06 of the NYSE Listed Company Manual 2017-11-21T00:00:00-08:00 2017-11-21T00:00:00-08:00 2017-25137 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-11-21/pdf/2017-25137.pdf https://regulations.justia.com/regulations/fedreg/2017/11/21/2017-25136.html Notice - Self-Regulatory Organizations; NYSE Arca, Inc.; Order Granting Approval of a Proposed Rule Change, as Modified by Amendment Nos. 1 and 2, To List and Trade Shares of the JPMorgan Managed Futures ETF Under NYSE Arca Rule 8.600-E 2017-11-21T00:00:00-08:00 2017-11-21T00:00:00-08:00 2017-25136 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-11-21/pdf/2017-25136.pdf https://regulations.justia.com/regulations/fedreg/2017/11/20/2017-25041.html Notice - Self-Regulatory Organizations; Bats BZX Exchange, Inc.; Notice of Withdrawal of 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) 2017-11-20T00:00:00-08:00 2017-11-20T00:00:00-08:00 2017-25041 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-11-20/pdf/2017-25041.pdf https://regulations.justia.com/regulations/fedreg/2017/11/20/2017-25040.html Notice - Self-Regulatory Organizations; LCH SA; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to Margin Framework and Default Fund Methodology for Options on Index Credit Default Swaps 2017-11-20T00:00:00-08:00 2017-11-20T00:00:00-08:00 2017-25040 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-11-20/pdf/2017-25040.pdf https://regulations.justia.com/regulations/fedreg/2017/11/20/2017-25039.html Notice - Self-Regulatory Organizations; Nasdaq BX, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the Exchange's Transaction Fees at Rule 7018 To Change the Amounts of Certain Credits for Entering Orders That Access Liquidity in the Exchange's Equities System 2017-11-20T00:00:00-08:00 2017-11-20T00:00:00-08:00 2017-25039 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-11-20/pdf/2017-25039.pdf https://regulations.justia.com/regulations/fedreg/2017/11/20/2017-25038.html Notice - Self-Regulatory Organizations; Nasdaq PHLX LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Section VIII of the Nasdaq PHLX LLC Pricing Schedule 2017-11-20T00:00:00-08:00 2017-11-20T00:00:00-08:00 2017-25038 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-11-20/pdf/2017-25038.pdf https://regulations.justia.com/regulations/fedreg/2017/11/20/2017-25037.html Notice - Self-Regulatory Organizations; The Nasdaq Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Rule 7018 2017-11-20T00:00:00-08:00 2017-11-20T00:00:00-08:00 2017-25037 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-11-20/pdf/2017-25037.pdf https://regulations.justia.com/regulations/fedreg/2017/11/20/2017-25030.html Notice - Self-Regulatory Organizations; Chicago Stock Exchange, Inc.; Notice of Filing of Amendment No. 2 to Proposed Rule Change in Connection With the Proposed Transaction Involving CHX Holdings, Inc. and North America Casin Holdings, Inc. 2017-11-20T00:00:00-08:00 2017-11-20T00:00:00-08:00 2017-25030 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-11-20/pdf/2017-25030.pdf https://regulations.justia.com/regulations/fedreg/2017/11/20/2017-25028.html Notice - Joint Industry Plan; Notice of Filing and Immediate Effectiveness of the Fortieth Amendment to the Joint Self-Regulatory Organization Plan Governing the Collection, Consolidation and Dissemination of Quotation and Transaction Information for Nasdaq-Listed Securities Traded on Exchanges on an Unlisted Trading Privileges Basis 2017-11-20T00:00:00-08:00 2017-11-20T00:00:00-08:00 2017-25028 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-11-20/pdf/2017-25028.pdf https://regulations.justia.com/regulations/fedreg/2017/11/20/2017-25027.html Notice - Consolidated Tape Association; Notice of Filing and Immediate Effectiveness of the Twenty-Second Charges Amendment to the Second Restatement of the CTA Plan and the Thirteenth Charges Amendment to the Restated CQ Plan 2017-11-20T00:00:00-08:00 2017-11-20T00:00:00-08:00 2017-25027 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-11-20/pdf/2017-25027.pdf https://regulations.justia.com/regulations/fedreg/2017/11/17/2017-24945.html Notice - Proposed Collection; Comment Request 2017-11-17T00:00:00-08:00 2017-11-17T00:00:00-08:00 2017-24945 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-11-17/pdf/2017-24945.pdf https://regulations.justia.com/regulations/fedreg/2017/11/17/2017-24939.html Notice - In the Matter of the Petitions of: Virtu Financial Inc. and Virtu Americas, LLC and Susquehanna International Group, et al.; Order Granting Motion To Substitute Parties and Motion for Extension of Time; Securities Exchange Act of 1934 2017-11-17T00:00:00-08:00 2017-11-17T00:00:00-08:00 2017-24939 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-11-17/pdf/2017-24939.pdf https://regulations.justia.com/regulations/fedreg/2017/11/17/2017-24938.html Notice - Self-Regulatory Organizations; NYSEArca, Inc.; Notice of Filing of Amendment No. 3, and Order Granting Accelerated Approval of a Proposed Rule Change, as Modified by Amendment No. 3, To Amend NYSE Arca Rule 8.700-E and To List and Trade Shares of the ProShares European Volatility Futures ETF 2017-11-17T00:00:00-08:00 2017-11-17T00:00:00-08:00 2017-24938 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-11-17/pdf/2017-24938.pdf https://regulations.justia.com/regulations/fedreg/2017/11/17/2017-24937.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 Fees at Rule 7036 To Withdraw the Nasdaq Market Analytics Data Package From Sale 2017-11-17T00:00:00-08:00 2017-11-17T00:00:00-08:00 2017-24937 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-11-17/pdf/2017-24937.pdf https://regulations.justia.com/regulations/fedreg/2017/11/17/2017-24936.html Notice - Self-Regulatory Organizations; Cboe EDGX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Modify Its Fees for Physical Ports as They Relate to the Exchange's Equity Options Platform 2017-11-17T00:00:00-08:00 2017-11-17T00:00:00-08:00 2017-24936 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-11-17/pdf/2017-24936.pdf https://regulations.justia.com/regulations/fedreg/2017/11/17/2017-24935.html Notice - Self-Regulatory Organizations; ICE Clear Europe Limited; Notice of Filing of Proposed Rule Change, Security Based Swap Submission, or Advance Notice Relating to Amendments to the ICE Clear Europe Collateral and Haircut Policy 2017-11-17T00:00:00-08:00 2017-11-17T00:00:00-08:00 2017-24935 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-11-17/pdf/2017-24935.pdf https://regulations.justia.com/regulations/fedreg/2017/11/17/2017-24934.html Notice - Self-Regulatory Organizations; The Nasdaq Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Rule 7014 2017-11-17T00:00:00-08:00 2017-11-17T00:00:00-08:00 2017-24934 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-11-17/pdf/2017-24934.pdf https://regulations.justia.com/regulations/fedreg/2017/11/17/2017-24933.html Notice - Self-Regulatory Organizations; Cboe EDGA Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Modify Its Fees for Physical Ports 2017-11-17T00:00:00-08:00 2017-11-17T00:00:00-08:00 2017-24933 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-11-17/pdf/2017-24933.pdf https://regulations.justia.com/regulations/fedreg/2017/11/17/2017-24932.html Notice - Self-Regulatory Organizations; Cboe EDGX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Modify Its Fees for Physical Ports 2017-11-17T00:00:00-08:00 2017-11-17T00:00:00-08:00 2017-24932 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-11-17/pdf/2017-24932.pdf https://regulations.justia.com/regulations/fedreg/2017/11/17/2017-24931.html Notice - Self-Regulatory Organizations; Nasdaq BX, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the Exchange's Options Pricing at Chapter XV, Section 2 2017-11-17T00:00:00-08:00 2017-11-17T00:00:00-08:00 2017-24931 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-11-17/pdf/2017-24931.pdf https://regulations.justia.com/regulations/fedreg/2017/11/17/2017-24930.html Notice - Self-Regulatory Organizations: Investors Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Adopt Rules Pertaining to Certain Listing Regulatory Reporting and Operational Requirements 2017-11-17T00:00:00-08:00 2017-11-17T00:00:00-08:00 2017-24930 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-11-17/pdf/2017-24930.pdf https://regulations.justia.com/regulations/fedreg/2017/11/17/2017-24929.html Notice - Self-Regulatory Organizations; Cboe EDGX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Adopt Fees for Its Recently Adopted Functionality for the Handling of Complex Orders on Its Equity Options Platform 2017-11-17T00:00:00-08:00 2017-11-17T00:00:00-08:00 2017-24929 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-11-17/pdf/2017-24929.pdf https://regulations.justia.com/regulations/fedreg/2017/11/17/2017-24928.html Notice - Self-Regulatory Organizations; Municipal Securities Rulemaking Board; Notice of Filing of Amendment No. 1 to Proposed Rule Change To Amend MSRB Rule G-34, on CUSIP Numbers, New Issue, and Market Information Requirements 2017-11-17T00:00:00-08:00 2017-11-17T00:00:00-08:00 2017-24928 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-11-17/pdf/2017-24928.pdf https://regulations.justia.com/regulations/fedreg/2017/11/17/2017-24920.html Notice - Self-Regulatory Organizations; The Options Clearing Corporation; Notice of Filing of Advance Notice Concerning Liquidity for Same-Day Settlement 2017-11-17T00:00:00-08:00 2017-11-17T00:00:00-08:00 2017-24920 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-11-17/pdf/2017-24920.pdf https://regulations.justia.com/regulations/fedreg/2017/11/17/2017-24919.html Notice - Self-Regulatory Organizations; The Options Clearing Corporation; Notice of Filing of Advance Notice Concerning the Use of the Society of Worldwide Interbank Financial Telecommunication Messaging Network in OCC's Cash Settlement Process 2017-11-17T00:00:00-08:00 2017-11-17T00:00:00-08:00 2017-24919 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-11-17/pdf/2017-24919.pdf https://regulations.justia.com/regulations/fedreg/2017/11/16/2017-24784.html Notice - Self-Regulatory Organizations; LCH SA; Notice of Filing of Proposed Rule Change, Security-Based Swap Submission, or Advance Notice Relating to Wrong Way Risk Margin 2017-11-16T00:00:00-08:00 2017-11-16T00:00:00-08:00 2017-24784 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-11-16/pdf/2017-24784.pdf https://regulations.justia.com/regulations/fedreg/2017/11/16/2017-24783.html Notice - Self-Regulatory Organizations; Cboe BYX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Modify Its Fees for Physical Ports 2017-11-16T00:00:00-08:00 2017-11-16T00:00:00-08:00 2017-24783 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-11-16/pdf/2017-24783.pdf https://regulations.justia.com/regulations/fedreg/2017/11/16/2017-24782.html Notice - Self-Regulatory Organizations; Cboe BZX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Modify Its Fees for Physical Ports 2017-11-16T00:00:00-08:00 2017-11-16T00:00:00-08:00 2017-24782 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-11-16/pdf/2017-24782.pdf https://regulations.justia.com/regulations/fedreg/2017/11/16/2017-24781.html Notice - Self-Regulatory Organizations; Bats BYX Exchange, Inc.; Bats BZX Exchange, Inc.; Bats EDGA Exchange, Inc.; Bats EDGX Exchange, Inc.; BOX Options Exchange LLC; C2 Options Exchange, Incorporated; Chicago Board Options Exchange, Incorporated; Chicago Stock Exchange, Inc.; Financial Industry Regulatory Authority, Inc.; Investors Exchange LLC; Miami International Securities Exchange, LLC; MIAX PEARL LLC; Nasdaq BX, Inc.; Nasdaq GEMX, LLC; Nasdaq ISE, LLC; Nasdaq MRX, LLC; Nasdaq PHLX LLC; The Nasdaq Stock Market LLC; New York Stock Exchange LLC; NYSE Arca, Inc. and NYSE MKT LLC; Notice of Designation of Longer Period for Commission Action on Proceedings To Determine Whether To Approve or Disapprove Proposed Rule Changes To Establish Fees for Industry Members To Fund the Consolidated Audit Trail 2017-11-16T00:00:00-08:00 2017-11-16T00:00:00-08:00 2017-24781 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-11-16/pdf/2017-24781.pdf https://regulations.justia.com/regulations/fedreg/2017/11/16/2017-24780.html Notice - Self-Regulatory Organizations; Cboe BYX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Related to Fees for Use on Cboe BYX Exchange, Inc. 2017-11-16T00:00:00-08:00 2017-11-16T00:00:00-08:00 2017-24780 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-11-16/pdf/2017-24780.pdf https://regulations.justia.com/regulations/fedreg/2017/11/16/2017-24779.html Notice - Self-Regulatory Organizations; Nasdaq PHLX LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Rule 1059, Accommodation Transactions 2017-11-16T00:00:00-08:00 2017-11-16T00:00:00-08:00 2017-24779 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-11-16/pdf/2017-24779.pdf https://regulations.justia.com/regulations/fedreg/2017/11/16/2017-24778.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 the Breakwave Dry Bulk Shipping ETF Under NYSE Arca Rule 8.200-E, Commentary .02 2017-11-16T00:00:00-08:00 2017-11-16T00:00:00-08:00 2017-24778 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-11-16/pdf/2017-24778.pdf https://regulations.justia.com/regulations/fedreg/2017/11/16/2017-24777.html Notice - Self-Regulatory Organizations; Cboe BZX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Modify Its Fees for Physical Ports as They Apply to the Exchange's Equity Options Platform 2017-11-16T00:00:00-08:00 2017-11-16T00:00:00-08:00 2017-24777 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-11-16/pdf/2017-24777.pdf https://regulations.justia.com/regulations/fedreg/2017/11/16/2017-24755.html Notice - Submission for OMB Review; Comment Request 2017-11-16T00:00:00-08:00 2017-11-16T00:00:00-08:00 2017-24755 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-11-16/pdf/2017-24755.pdf https://regulations.justia.com/regulations/fedreg/2017/11/16/2017-24754.html Notice - Submission for OMB Review; Comment Request 2017-11-16T00:00:00-08:00 2017-11-16T00:00:00-08:00 2017-24754 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-11-16/pdf/2017-24754.pdf https://regulations.justia.com/regulations/fedreg/2017/11/16/2017-24753.html Notice - Submission for OMB Review; Comment Request 2017-11-16T00:00:00-08:00 2017-11-16T00:00:00-08:00 2017-24753 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-11-16/pdf/2017-24753.pdf https://regulations.justia.com/regulations/fedreg/2017/11/16/2017-24752.html Notice - Submission for OMB Review; Comment Request 2017-11-16T00:00:00-08:00 2017-11-16T00:00:00-08:00 2017-24752 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-11-16/pdf/2017-24752.pdf https://regulations.justia.com/regulations/fedreg/2017/11/16/2017-24751.html Notice - Proposed Collection; Comment Request 2017-11-16T00:00:00-08:00 2017-11-16T00:00:00-08:00 2017-24751 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-11-16/pdf/2017-24751.pdf https://regulations.justia.com/regulations/fedreg/2017/11/16/2017-24750.html Notice - Proposed Collection; Comment Request 2017-11-16T00:00:00-08:00 2017-11-16T00:00:00-08:00 2017-24750 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-11-16/pdf/2017-24750.pdf https://regulations.justia.com/regulations/fedreg/2017/11/16/2017-24749.html Notice - Submission for OMB Review; Comment Request 2017-11-16T00:00:00-08:00 2017-11-16T00:00:00-08:00 2017-24749 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-11-16/pdf/2017-24749.pdf https://regulations.justia.com/regulations/fedreg/2017/11/15/2017-24692.html Notice - Investor Advisory Committee Meeting 2017-11-15T00:00:00-08:00 2017-11-15T00:00:00-08:00 2017-24692 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-11-15/pdf/2017-24692.pdf https://regulations.justia.com/regulations/fedreg/2017/11/15/2017-24660.html Notice - Self-Regulatory Organizations; ICE Clear Europe Limited; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to Amendments to the ICE Clear Europe Delivery Procedures 2017-11-15T00:00:00-08:00 2017-11-15T00:00:00-08:00 2017-24660 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-11-15/pdf/2017-24660.pdf https://regulations.justia.com/regulations/fedreg/2017/11/15/2017-24659.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, To List and Trade Shares of the GraniteShares Silver Trust Under NYSE Arca Rule 8.201-E 2017-11-15T00:00:00-08:00 2017-11-15T00:00:00-08:00 2017-24659 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-11-15/pdf/2017-24659.pdf https://regulations.justia.com/regulations/fedreg/2017/11/15/2017-24658.html Notice - Self-Regulatory Organizations; The Nasdaq Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to the Access and Redistribution Fee 2017-11-15T00:00:00-08:00 2017-11-15T00:00:00-08:00 2017-24658 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-11-15/pdf/2017-24658.pdf https://regulations.justia.com/regulations/fedreg/2017/11/15/2017-24657.html Notice - Self-Regulatory Organizations; Nasdaq BX, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to the Access and Redistribution Fee 2017-11-15T00:00:00-08:00 2017-11-15T00:00:00-08:00 2017-24657 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-11-15/pdf/2017-24657.pdf https://regulations.justia.com/regulations/fedreg/2017/11/15/2017-24656.html Notice - Self-Regulatory Organizations; Nasdaq PHLX LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Its Index Options Rules To Be More Clear and Conformed More Closely to Those of the Options Clearing Corporation (“OCC”) and Other Exchanges 2017-11-15T00:00:00-08:00 2017-11-15T00:00:00-08:00 2017-24656 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-11-15/pdf/2017-24656.pdf https://regulations.justia.com/regulations/fedreg/2017/11/15/2017-24655.html Notice - Self-Regulatory Organizations; Nasdaq PHLX LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to the Access and Redistribution Fee 2017-11-15T00:00:00-08:00 2017-11-15T00:00:00-08:00 2017-24655 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-11-15/pdf/2017-24655.pdf https://regulations.justia.com/regulations/fedreg/2017/11/15/2017-24654.html Notice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Designation of a Longer Period for Commission Action on Proposed Rule, as Modified by Amendment No. 1 Thereto, to List and Trade Shares of the GraniteShares Palladium Trust under NYSE Arca Rule 8.201-E 2017-11-15T00:00:00-08:00 2017-11-15T00:00:00-08:00 2017-24654 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-11-15/pdf/2017-24654.pdf https://regulations.justia.com/regulations/fedreg/2017/11/14/2017-24681.html Notice - Sunshine Act Meetings 2017-11-14T00:00:00-08:00 2017-11-14T00:00:00-08:00 2017-24681 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-11-14/pdf/2017-24681.pdf https://regulations.justia.com/regulations/fedreg/2017/11/14/2017-24629.html Notice - Order Scheduling Filing of Statements on Review 2017-11-14T00:00:00-08:00 2017-11-14T00:00:00-08:00 2017-24629 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-11-14/pdf/2017-24629.pdf https://regulations.justia.com/regulations/fedreg/2017/11/14/2017-24628.html Notice - Meeder Funds Trust, et al. 2017-11-14T00:00:00-08:00 2017-11-14T00:00:00-08:00 2017-24628 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-11-14/pdf/2017-24628.pdf https://regulations.justia.com/regulations/fedreg/2017/11/14/2017-24577.html Notice - Self-Regulatory Organizations; New York Stock Exchange LLC; Order Instituting Proceedings To Determine Whether To Approve or Disapprove a Proposed Rule Change To Adopt New Equity Trading Rules To trade Securities Pursuant to Unlisted Trading Privileges, Including Orders and Modifiers, Order Ranking and Display, and Order Execution and Routing on Pillar, the Exchange's New Trading Technology Platform 2017-11-14T00:00:00-08:00 2017-11-14T00:00:00-08:00 2017-24577 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-11-14/pdf/2017-24577.pdf https://regulations.justia.com/regulations/fedreg/2017/11/14/2017-24576.html Notice - Self-Regulatory Organizations; NYSE American 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 NYSE American Rule 980NY To Clarify the Priority of Electronic Complex Orders and To Modify Aspects of the Complex Order Auction Process 2017-11-14T00:00:00-08:00 2017-11-14T00:00:00-08:00 2017-24576 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-11-14/pdf/2017-24576.pdf https://regulations.justia.com/regulations/fedreg/2017/11/14/2017-24575.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, To List and Trade Shares of the GraniteShares Platinum Trust Under NYSE Arca Rule 8.201-E 2017-11-14T00:00:00-08:00 2017-11-14T00:00:00-08:00 2017-24575 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-11-14/pdf/2017-24575.pdf https://regulations.justia.com/regulations/fedreg/2017/11/14/2017-24574.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 the iShares Inflation Hedged Corporate Bond ETF, a Series of the iShares U.S. ETF Trust, Under Rule 14.11(i), Managed Fund Shares 2017-11-14T00:00:00-08:00 2017-11-14T00:00:00-08:00 2017-24574 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-11-14/pdf/2017-24574.pdf https://regulations.justia.com/regulations/fedreg/2017/11/13/2017-24487.html Notice - CBOE Vest Financial, LLC, et al. 2017-11-13T00:00:00-08:00 2017-11-13T00:00:00-08:00 2017-24487 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-11-13/pdf/2017-24487.pdf https://regulations.justia.com/regulations/fedreg/2017/11/13/2017-24486.html Notice - Submission for OMB Review; Comment Request 2017-11-13T00:00:00-08:00 2017-11-13T00:00:00-08:00 2017-24486 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-11-13/pdf/2017-24486.pdf https://regulations.justia.com/regulations/fedreg/2017/11/13/2017-24485.html Notice - Submission for OMB Review; Comment Request 2017-11-13T00:00:00-08:00 2017-11-13T00:00:00-08:00 2017-24485 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-11-13/pdf/2017-24485.pdf https://regulations.justia.com/regulations/fedreg/2017/11/13/2017-24442.html Notice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the NYSE Arca Options Fees and Charges Schedule and the NYSE Arca Equities Fees and Charges Schedule Relating to Co-Location Services To Reflect the Name Change of a Third Party Data Feed 2017-11-13T00:00:00-08:00 2017-11-13T00:00:00-08:00 2017-24442 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-11-13/pdf/2017-24442.pdf https://regulations.justia.com/regulations/fedreg/2017/11/13/2017-24441.html Notice - Self-Regulatory Organizations; NYSE American LLC; Notice of Filing and Immediate Effectiveness of Proposed Change To Amend the NYSE American Equities Price List and the NYSE American Options Fee Schedule Relating to Co-Location Services To Reflect the Name Change of a Third Party Data Feed 2017-11-13T00:00:00-08:00 2017-11-13T00:00:00-08:00 2017-24441 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-11-13/pdf/2017-24441.pdf https://regulations.justia.com/regulations/fedreg/2017/11/13/2017-24440.html Notice - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Certain of Its Listing Fees 2017-11-13T00:00:00-08:00 2017-11-13T00:00:00-08:00 2017-24440 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-11-13/pdf/2017-24440.pdf https://regulations.justia.com/regulations/fedreg/2017/11/13/2017-24439.html Notice - Self-Regulatory Organizations; Nasdaq PHLX LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Pricing Schedule Section II, Entitled Multiply Listed Options Fees 2017-11-13T00:00:00-08:00 2017-11-13T00:00:00-08:00 2017-24439 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-11-13/pdf/2017-24439.pdf https://regulations.justia.com/regulations/fedreg/2017/11/13/2017-24438.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 Relating to Co-Location Services To Reflect the Name Change of a Third Party Data Feed 2017-11-13T00:00:00-08:00 2017-11-13T00:00:00-08:00 2017-24438 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-11-13/pdf/2017-24438.pdf https://regulations.justia.com/regulations/fedreg/2017/11/13/2017-24437.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 2017-11-13T00:00:00-08:00 2017-11-13T00:00:00-08:00 2017-24437 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-11-13/pdf/2017-24437.pdf https://regulations.justia.com/regulations/fedreg/2017/11/09/2017-24371.html Notice - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing of Amendment No. 2 and Order Instituting Proceedings To Determine Whether To Approve or Disapprove a Proposed Rule Change, as Modified by Amendment Nos. 1 and 2, To Adopt the Midpoint Extended Life Order 2017-11-09T00:00:00-08:00 2017-11-09T00:00:00-08:00 2017-24371 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-11-09/pdf/2017-24371.pdf https://regulations.justia.com/regulations/fedreg/2017/11/09/2017-24370.html Notice - Self-Regulatory Organizations; Nasdaq PHLX LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Rule 1080(p)(2) To Enhance Anti-Internalization Functionality 2017-11-09T00:00:00-08:00 2017-11-09T00:00:00-08:00 2017-24370 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-11-09/pdf/2017-24370.pdf https://regulations.justia.com/regulations/fedreg/2017/11/09/2017-24369.html Notice - Self-Regulatory Organizations; The Options Clearing Corporation; Notice of Filing of Proposed Rule Change Related to The Options Clearing Corporation's Collateral Risk Management Policy 2017-11-09T00:00:00-08:00 2017-11-09T00:00:00-08:00 2017-24369 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-11-09/pdf/2017-24369.pdf https://regulations.justia.com/regulations/fedreg/2017/11/09/2017-24368.html Notice - Self-Regulatory Organizations; Nasdaq PHLX LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the Exchange's Pricing Schedule at Section IV, Entitled “Other Transaction Fees” 2017-11-09T00:00:00-08:00 2017-11-09T00:00:00-08:00 2017-24368 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-11-09/pdf/2017-24368.pdf https://regulations.justia.com/regulations/fedreg/2017/11/08/2017-24257.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 Securities Valuation Framework 2017-11-08T00:00:00-08:00 2017-11-08T00:00:00-08:00 2017-24257 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-11-08/pdf/2017-24257.pdf https://regulations.justia.com/regulations/fedreg/2017/11/08/2017-24256.html Notice - Self-Regulatory Organizations; NASDAQ PHLX LLC; Order Approving Proposed Rule Changes To Amend Rules 1024, Conduct of Accounts for Options Trading, and 1025, Supervision of Accounts 2017-11-08T00:00:00-08:00 2017-11-08T00:00:00-08:00 2017-24256 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-11-08/pdf/2017-24256.pdf https://regulations.justia.com/regulations/fedreg/2017/11/08/2017-24255.html Notice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend NYSE Arca Rules 7.31-E and 7.35-E 2017-11-08T00:00:00-08:00 2017-11-08T00:00:00-08:00 2017-24255 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-11-08/pdf/2017-24255.pdf https://regulations.justia.com/regulations/fedreg/2017/11/08/2017-24254.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 Fees at Rule 7058 2017-11-08T00:00:00-08:00 2017-11-08T00:00:00-08:00 2017-24254 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-11-08/pdf/2017-24254.pdf https://regulations.justia.com/regulations/fedreg/2017/11/08/2017-24253.html Notice - Self-Regulatory Organizations; Nasdaq PHLX LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the Price Improvement XL Auction 2017-11-08T00:00:00-08:00 2017-11-08T00:00:00-08:00 2017-24253 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-11-08/pdf/2017-24253.pdf https://regulations.justia.com/regulations/fedreg/2017/11/08/2017-24252.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 2017-11-08T00:00:00-08:00 2017-11-08T00:00:00-08:00 2017-24252 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-11-08/pdf/2017-24252.pdf https://regulations.justia.com/regulations/fedreg/2017/11/08/2017-24251.html Notice - Self-Regulatory Organizations; The Nasdaq Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to an Incentive to the Market Access and Routing Subsidy Program 2017-11-08T00:00:00-08:00 2017-11-08T00:00:00-08:00 2017-24251 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-11-08/pdf/2017-24251.pdf https://regulations.justia.com/regulations/fedreg/2017/11/07/2017-24260.html Notice - Sunshine Act Meetings 2017-11-07T00:00:00-08:00 2017-11-07T00:00:00-08:00 2017-24260 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-11-07/pdf/2017-24260.pdf https://regulations.justia.com/regulations/fedreg/2017/11/07/2017-24225.html Notice - Princeton Fund Advisors, LLC. et al. 2017-11-07T00:00:00-08:00 2017-11-07T00:00:00-08:00 2017-24225 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-11-07/pdf/2017-24225.pdf https://regulations.justia.com/regulations/fedreg/2017/11/07/2017-24224.html Notice - Brandes Investment Trust, et al. 2017-11-07T00:00:00-08:00 2017-11-07T00:00:00-08:00 2017-24224 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-11-07/pdf/2017-24224.pdf https://regulations.justia.com/regulations/fedreg/2017/11/07/2017-24138.html Notice - Reinhart Partners, Inc., et al. 2017-11-07T00:00:00-08:00 2017-11-07T00:00:00-08:00 2017-24138 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-11-07/pdf/2017-24138.pdf https://regulations.justia.com/regulations/fedreg/2017/11/07/2017-24132.html Notice - Self-Regulatory Organizations; NYSE American LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Annual Listing Fees for Common Stocks and Warrants 2017-11-07T00:00:00-08:00 2017-11-07T00:00:00-08:00 2017-24132 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-11-07/pdf/2017-24132.pdf https://regulations.justia.com/regulations/fedreg/2017/11/07/2017-24131.html Notice - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Establish Fees for the New TRACE Security Activity Report and End-of-Day TRACE Transaction File 2017-11-07T00:00:00-08:00 2017-11-07T00:00:00-08:00 2017-24131 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-11-07/pdf/2017-24131.pdf https://regulations.justia.com/regulations/fedreg/2017/11/07/2017-24130.html Notice - Self-Regulatory Organizations; ICE Clear Europe Limited; Notice of Filing of Proposed Rule Change, Security-Based Swap Submission or Advance Notice Relating to the ICE Clear Europe Procyclicality Framework 2017-11-07T00:00:00-08:00 2017-11-07T00:00:00-08:00 2017-24130 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-11-07/pdf/2017-24130.pdf https://regulations.justia.com/regulations/fedreg/2017/11/06/2017-24056.html Notice - Order Temporarily Exempting Certain Broker-Dealers From Specified Provisions of the Recordkeeping, Reporting, and Monitoring Responsibilities of Rule 13h-1 Under the Securities Exchange Act of 1934 2017-11-06T00:00:00-08:00 2017-11-06T00:00:00-08:00 2017-24056 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-11-06/pdf/2017-24056.pdf https://regulations.justia.com/regulations/fedreg/2017/11/06/2017-24051.html Notice - Self-Regulatory Organizations; Cboe EDGX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Rule 20.6, Nullification and Adjustment of Options Transactions Including Obvious Errors 2017-11-06T00:00:00-08:00 2017-11-06T00:00:00-08:00 2017-24051 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-11-06/pdf/2017-24051.pdf https://regulations.justia.com/regulations/fedreg/2017/11/06/2017-24050.html Notice - Self-Regulatory Organizations; Nasdaq ISE, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Rule 1614 2017-11-06T00:00:00-08:00 2017-11-06T00:00:00-08:00 2017-24050 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-11-06/pdf/2017-24050.pdf https://regulations.justia.com/regulations/fedreg/2017/11/06/2017-24049.html Notice - Self-Regulatory Organizations; The Depository Trust Company; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Establish a Special Segregation Account for a Participant or Pledgee That Is a Derivatives Clearing Organization or Futures Commission Merchant 2017-11-06T00:00:00-08:00 2017-11-06T00:00:00-08:00 2017-24049 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-11-06/pdf/2017-24049.pdf https://regulations.justia.com/regulations/fedreg/2017/11/06/2017-24048.html Notice - Self-Regulatory Organizations; Investors Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Adopt New Rule 6.210 Related to Ex-Dates for Securities Listed or Traded on the Exchange 2017-11-06T00:00:00-08:00 2017-11-06T00:00:00-08:00 2017-24048 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-11-06/pdf/2017-24048.pdf https://regulations.justia.com/regulations/fedreg/2017/11/06/2017-24047.html Notice - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Order Granting Approval of Proposed Rule Change, as Modified by Amendments No. 1 and 2, To List and Trade Shares of the Calvert Ultra-Short Duration Income NextSharesTM 2017-11-06T00:00:00-08:00 2017-11-06T00:00:00-08:00 2017-24047 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-11-06/pdf/2017-24047.pdf https://regulations.justia.com/regulations/fedreg/2017/11/06/2017-24046.html Notice - Self-Regulatory Organizations; The Nasdaq Stock Market LLC; Notice of Designation of a Longer Period for Commission Action on a Proposed Rule Change To Amend Rule 4703(a) To Allow Members To Designate When an Order With a RTFY or SCAN Routing Order Attribute Will Be Activated 2017-11-06T00:00:00-08:00 2017-11-06T00:00:00-08:00 2017-24046 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-11-06/pdf/2017-24046.pdf https://regulations.justia.com/regulations/fedreg/2017/11/06/2017-24045.html Notice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Regarding Exchange Calculation of the Intraday Indicative Value for Specified Exchange-Traded Products 2017-11-06T00:00:00-08:00 2017-11-06T00:00:00-08:00 2017-24045 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-11-06/pdf/2017-24045.pdf https://regulations.justia.com/regulations/fedreg/2017/11/03/2017-23928.html Notice - Self-Regulatory Organizations; Investors Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Clarify the Eligibility of Market Orders and Limit Orders With a Time-In-Force of DAY for a Volatility Auction Occurring Outside of Regular Market Hours 2017-11-03T00:00:00-07:00 2017-11-03T00:00:00-07:00 2017-23928 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-11-03/pdf/2017-23928.pdf https://regulations.justia.com/regulations/fedreg/2017/11/03/2017-23927.html Notice - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Reflect in the Exchange's Governing Documents, Rulebook and Fees Schedules, a Non-Substantive Corporate Branding Change, Including Changes to the Company's Name, the Intermediate's Name, and the Exchange's Name 2017-11-03T00:00:00-07:00 2017-11-03T00:00:00-07:00 2017-23927 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-11-03/pdf/2017-23927.pdf https://regulations.justia.com/regulations/fedreg/2017/11/03/2017-23926.html Notice - Self-Regulatory Organizations; Nasdaq PHLX 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 add an Exception to Phlx Rule 1000(f)(iii) for Certain Floor Broker Transactions and add the Snapshot Functionality to the Options Floor Broker Management System 2017-11-03T00:00:00-07:00 2017-11-03T00:00:00-07:00 2017-23926 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-11-03/pdf/2017-23926.pdf https://regulations.justia.com/regulations/fedreg/2017/11/03/2017-23925.html Notice - Self-Regulatory Organizations; C2 Options Exchange, Incorporated; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating To Reflect in the Exchange's Governing Documents, Rulebook and Fees Schedules, a Non-Substantive Corporate Branding Change, Including Changes to the Company's Name, the Intermediate's Name, and the Exchange's Name 2017-11-03T00:00:00-07:00 2017-11-03T00:00:00-07:00 2017-23925 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-11-03/pdf/2017-23925.pdf https://regulations.justia.com/regulations/fedreg/2017/11/03/2017-23924.html Notice - Self-Regulatory Organizations; Nasdaq BX, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Remove References to Nasdaq Options Services 2017-11-03T00:00:00-07:00 2017-11-03T00:00:00-07:00 2017-23924 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-11-03/pdf/2017-23924.pdf https://regulations.justia.com/regulations/fedreg/2017/11/03/2017-23923.html Notice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Designation of Longer Period for Commission Action on Proceedings To Determine Whether To Approve or Disapprove a Proposed Rule Change To Adopt NYSE Arca Equities Rule 8.900 To Permit Listing and Trading of Managed Portfolio Shares and To List and Trade Shares of the Royce Pennsylvania ETF, Royce Premier ETF, and Royce Total Return ETF Under Proposed NYSE Arca Equities Rule 8.900 2017-11-03T00:00:00-07:00 2017-11-03T00:00:00-07:00 2017-23923 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-11-03/pdf/2017-23923.pdf https://regulations.justia.com/regulations/fedreg/2017/11/03/2017-23922.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 Rules 700, 1322, and 517 2017-11-03T00:00:00-07:00 2017-11-03T00:00:00-07:00 2017-23922 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-11-03/pdf/2017-23922.pdf https://regulations.justia.com/regulations/fedreg/2017/11/03/2017-23920.html Notice - Horizon Technology Finance Corporation, et al. 2017-11-03T00:00:00-07:00 2017-11-03T00:00:00-07:00 2017-23920 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-11-03/pdf/2017-23920.pdf https://regulations.justia.com/regulations/fedreg/2017/11/02/2017-23837.html Notice - Notice of Applications for Deregistration Under Section 8(f) of the Investment Company Act of 1940 2017-11-02T00:00:00-07:00 2017-11-02T00:00:00-07:00 2017-23837 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-11-02/pdf/2017-23837.pdf https://regulations.justia.com/regulations/fedreg/2017/11/02/2017-23832.html Notice - Self-Regulatory Organizations; Nasdaq GEMX, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to an Optional Kill Switch Protection 2017-11-02T00:00:00-07:00 2017-11-02T00:00:00-07:00 2017-23832 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-11-02/pdf/2017-23832.pdf https://regulations.justia.com/regulations/fedreg/2017/11/02/2017-23831.html Notice - Self-Regulatory Organizations; Nasdaq PHLX LLC; Notice of Filing of Proposed Rule Change, as Modified by Amendment No. 1, To Establish a Nonstandard Expirations Pilot Program on a Pilot Basis, for an Initial Period of Twelve Months From the Date of Approval of This Proposed Rule Change 2017-11-02T00:00:00-07:00 2017-11-02T00:00:00-07:00 2017-23831 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-11-02/pdf/2017-23831.pdf https://regulations.justia.com/regulations/fedreg/2017/11/02/2017-23830.html Notice - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Order Granting Approval of Proposed Rule Change, as Modified by Amendment No. 1, To List and Trade Shares of the Eaton Vance Oaktree Diversified Credit NextSharesTM 2017-11-02T00:00:00-07:00 2017-11-02T00:00:00-07:00 2017-23830 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-11-02/pdf/2017-23830.pdf https://regulations.justia.com/regulations/fedreg/2017/11/02/2017-23829.html Notice - Self-Regulatory Organizations; The Nasdaq Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Remove References to Nasdaq Options Services 2017-11-02T00:00:00-07:00 2017-11-02T00:00:00-07:00 2017-23829 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-11-02/pdf/2017-23829.pdf https://regulations.justia.com/regulations/fedreg/2017/11/02/2017-23828.html Notice - Self-Regulatory Organizations; Nasdaq ISE, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to an Optional Kill Switch Protection 2017-11-02T00:00:00-07:00 2017-11-02T00:00:00-07:00 2017-23828 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-11-02/pdf/2017-23828.pdf https://regulations.justia.com/regulations/fedreg/2017/11/02/2017-23827.html Notice - Self-Regulatory Organizations; Nasdaq MRX, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to an Optional Kill Switch Protection 2017-11-02T00:00:00-07:00 2017-11-02T00:00:00-07:00 2017-23827 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-11-02/pdf/2017-23827.pdf https://regulations.justia.com/regulations/fedreg/2017/11/02/2017-23826.html Notice - Self-Regulatory Organizations; NYSE American LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Exchange Rule 7.10E To Exclude Trading Halt Auctions From Being Reviewed as Clearly Erroneous, Rule 7.11E To Conform to the Limit Up-Limit Down NMS Plan, Rule 7.31E To Add a New Imbalance Only Order, and Rule 7.35E To Enhance the Information Available Before an Auction and Revise Procedures for Trading Halt Auctions 2017-11-02T00:00:00-07:00 2017-11-02T00:00:00-07:00 2017-23826 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-11-02/pdf/2017-23826.pdf https://regulations.justia.com/regulations/fedreg/2017/11/02/2017-23825.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 518 Relating to Derived Orders 2017-11-02T00:00:00-07:00 2017-11-02T00:00:00-07:00 2017-23825 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-11-02/pdf/2017-23825.pdf https://regulations.justia.com/regulations/fedreg/2017/11/02/2017-22374.html Proposed Rule - FAST Act Modernization and Simplification of Regulation S-K 2017-11-02T00:00:00-07:00 2017-11-02T00:00:00-07:00 2017-22374 Proposed Rule https://www.gpo.gov/fdsys/pkg/FR-2017-11-02/pdf/2017-22374.pdf https://regulations.justia.com/regulations/fedreg/2017/11/01/2017-23739.html Notice - Self-Regulatory Organizations; Bats EDGX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Reflect in the Exchange's Governing Documents, Rulebook and Fees Schedules, a Non-Substantive Corporate Branding Change, Including Changes to the Company's Name, the Intermediate's Name, and the Exchange's Name 2017-11-01T00:00:00-07:00 2017-11-01T00:00:00-07:00 2017-23739 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-11-01/pdf/2017-23739.pdf https://regulations.justia.com/regulations/fedreg/2017/11/01/2017-23738.html Notice - Self-Regulatory Organizations; Bats BZX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Reflect in the Exchange's Governing Documents, Rulebook and Fees Schedules, a Non-Substantive Corporate Branding Change, Including Changes to the Company's Name, the Intermediate's Name, and the Exchange's Name 2017-11-01T00:00:00-07:00 2017-11-01T00:00:00-07:00 2017-23738 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-11-01/pdf/2017-23738.pdf https://regulations.justia.com/regulations/fedreg/2017/11/01/2017-23737.html Notice - Self-Regulatory Organizations; Bats EDGA Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Reflect in the Exchange's Governing Documents, Rulebook and Fee Schedule, a Non-Substantive Corporate Branding Change, Including Changes to the Company's Name, the Intermediate's Name, and the Exchange's Name 2017-11-01T00:00:00-07:00 2017-11-01T00:00:00-07:00 2017-23737 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-11-01/pdf/2017-23737.pdf https://regulations.justia.com/regulations/fedreg/2017/11/01/2017-23736.html Notice - Self-Regulatory Organizations; The Options Clearing Corporation; Notice of Filing of Proposed Rule Change Concerning Liquidity for Same Day Settlement 2017-11-01T00:00:00-07:00 2017-11-01T00:00:00-07:00 2017-23736 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-11-01/pdf/2017-23736.pdf https://regulations.justia.com/regulations/fedreg/2017/11/01/2017-23735.html Notice - Self-Regulatory Organizations; The Options Clearing Corporation; Notice of Filing of Proposed Rule Change Related to The Options Clearing Corporation's Default Management Policy 2017-11-01T00:00:00-07:00 2017-11-01T00:00:00-07:00 2017-23735 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-11-01/pdf/2017-23735.pdf https://regulations.justia.com/regulations/fedreg/2017/11/01/2017-23734.html Notice - Self-Regulatory Organizations; NASDAQ BX, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Remove References To Surrender Feature for Auto-Match Submissions in the Price Improvement Auction 2017-11-01T00:00:00-07:00 2017-11-01T00:00:00-07:00 2017-23734 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-11-01/pdf/2017-23734.pdf https://regulations.justia.com/regulations/fedreg/2017/11/01/2017-23733.html Notice - Self-Regulatory Organizations; Bats BYX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Reflect in the Exchange's Governing Documents, Rulebook and Fee Schedule, a Non-Substantive Corporate Branding Change, Including Changes to the Company's Name, the Intermediate's Name, and the Exchange's Name 2017-11-01T00:00:00-07:00 2017-11-01T00:00:00-07:00 2017-23733 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-11-01/pdf/2017-23733.pdf https://regulations.justia.com/regulations/fedreg/2017/11/01/2017-23732.html Notice - Self-Regulatory Organizations; Cboe BZX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Update Rule 21.1 To Adopt a New Time in Force Applicable to the Exchange's Equity Options Platform 2017-11-01T00:00:00-07:00 2017-11-01T00:00:00-07:00 2017-23732 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-11-01/pdf/2017-23732.pdf https://regulations.justia.com/regulations/fedreg/2017/11/01/2017-23731.html Notice - Self-Regulatory Organizations; The Options Clearing Corporation; Notice of Filing of Proposed Rule Change Related to The Options Clearing Corporation's Counterparty Credit Risk Management Policy 2017-11-01T00:00:00-07:00 2017-11-01T00:00:00-07:00 2017-23731 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-11-01/pdf/2017-23731.pdf https://regulations.justia.com/regulations/fedreg/2017/11/01/2017-23695.html Notice - The Relative Value Fund et al. 2017-11-01T00:00:00-07:00 2017-11-01T00:00:00-07:00 2017-23695 Notice https://www.gpo.gov/fdsys/pkg/FR-2017-11-01/pdf/2017-23695.pdf